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First, the EPA is proposing to determine that 90 percent CCS is not the BSER for existing long-term coal-fired steam generating units because 90 percent CCS has not been adequately demonstrated and its costs are not reasonable. In a change from the CPS, the EPA proposes to conclude that experimental projects aiming to achieve 90 percent CCS were not a sufficient basis to conclude the technology has already been adequately demonstrated. Furthermore, because it is extremely unlikely that the infrastructure necessary for CCS can be deployed by the January 1, 2032 compliance date, the EPA is proposing to determine that the degree of emission limitation in the CPS for long-term coal-fired steam generating units is not achievable. The EPA proposes to conclude that its contrary determination in the CPS was inadequately supported and exceeded the Agency's authority by mandating a degree of emission reduction that would not be achievable until sometime in the future when the relevant technologies are sufficiently available.
Second, the EPA is proposing to determine that 40 percent natural gas co-firing is not the BSER for existing medium-term coal-fired steam generating units because a thorough consideration of the “energy requirements” BSER factor in CAA section 111(a)(1) shows that natural gas co-firing in a steam generating unit is an inefficient use of natural gas. Additionally, the EPA is proposing to conclude that 40 percent natural gas co-firing constitutes impermissible generation shifting under West Virginia, and that the Agency erred in the CPS by construing West Virginia too narrowly in this respect. Moreover, the EPA proposes that the associated degree of emission limitation is not achievable because it is extremely unlikely the necessary pipeline infrastructure can be deployed in the time provided under the CPS. Based on these proposed conclusions, the EPA is proposing to repeal the requirements in the emission guidelines related to existing long-term and medium-term coal-fired steam generating units.
Third, the EPA is proposing to repeal the requirements in the emission guidelines related to natural gas-c9and oil-fired steam generating units because it would be an inefficient use of State resources to develop, submit, and implement State plans solely for natural gas-and oil-fired steam generating units, which comprise a relatively small part of the source category and would result in few or no emission reductions under the existing emission guidelines. Consequently, the EPA is proposing to repeal the emission guidelines for existing fossil fuel-fired steam generating units in their entirety.
Fourth, because the EPA is proposing that 90 percent CCS is neither adequately demonstrated nor cost-reasonable, the EPA is proposing to repeal the CCS-based requirements for coal-fired steam generating units undertaking a large modification.
Finally, the EPA is proposing that 90 percent CCS is neither adequately demonstrated nor cost-reasonable for new base load combustion turbines. Furthermore, because it is extremely unlikely that the infrastructure necessary for CCS can be deployed by the January 1, 2032 compliance date, the EPA is proposing to determine that the phase 2 standards of performance in the CPS for new base load combustion turbines are not achievable. The contrary determinations in the CPS appear to be in error for many of the same reasons that apply to existing coal-fired steam generating units. Consequently, the EPA is proposing to repeal the phase 2 CCS-based requirements for new base load stationary combustion turbines.
II. General Information
A. Action Applicability
The source category that is the subject of this action is composed of fossil fuel-fired electric utility steam generating units. The 2022 North American Industry Classification System (NAICS) code for the source category is 221112. This is not intended to be exhaustive but rather provides a guide for readers regarding the entities that this proposed action is likely to affect.
The proposed repeal of 40 CFR part 60, subpart UUUUb, once promulgated, would be applicable to States currently required to develop and submit State plans pursuant to Clean Air Act (CAA) section 111(d). The proposed repeal of 40 CFR part 60, subpart TTTT, once promulgated, would be applicable to affected facilities that commenced construction or modification after January 8, 2014, or reconstruction after June 18, 2014, and on or before May 23, 2023. The proposed repeal of 40 CFR part 60, subpart TTTTa, once promulgated, would be applicable to affected facilities that began construction, reconstruction, or modification after May 23, 2023. Federal, State, local, and Tribal government entities that own and/or operate electric generating units (EGUs) subject to 40 CFR part 60, subparts TTTT and TTTTa would be affected by this proposed action.
In the alternate proposal, the proposed repeal of 40 CFR part 60, subpart UUUUb, once promulgated, would be applicable to States currently required to develop and submit State plans pursuant to CAA section 111(d). The proposed revisions to 40 CFR part 60, subpart TTTTa, once promulgated, would be applicable to affected facilities that began construction, reconstruction, or modification after May 23, 2023. Federal, State, local, and Tribal government entities that own and/or operate EGUs subject to 40 CFR part 60, subpart TTTTa would be affected by this proposed action.
B. Where to Get a Copy of This Document and Other Related Information
In addition to being available in the docket, an electronic copy of this proposed rulemaking is available on the internet at https://www.epa.gov/stationary-sources-air-pollution/greenhouse-gas-standards-and-guidelines-fossil-fuel-fired-power. Following signature by the EPA Administrator, the EPA will post a copy of this proposed action at this same website. Following publication in the Federal Register , the EPA will post the Federal Register version of the proposed action and key technical documents at this same website.
Memoranda showing the edits that would be necessary to incorporate the changes under the two alternate proposals to 40 CFR part 60, subparts TTTT, TTTTa, and UUUUb are available in the docket for this action. Following signature by the EPA Administrator, the EPA also will post a copy of the documents at https://www.epa.gov/stationary-sources-air-pollution/greenhouse-gas-standards-and-guidelines-fossil-fuel-fired-power.
III. Background
A. Statutory Authority
As described in this section of the preamble, CAA section 111 authorizes the EPA to establish emission standards for new stationary sources and emission guidelines for existing stationary sources under certain conditions. This provision, along with agencies' authority to reconsider prior regulations, provides the EPA's statutory authority for this proposed action.[19]
1. Regulation of Emissions From New Sources
CAA section 111(b)(1)(A) requires the EPA Administrator to promulgate a list of categories of stationary sources that the Administrator, “in his judgment,” finds “causes, or contributes significantly to, air pollution which may reasonably be anticipated to endanger public health or welfare.” The EPA has the authority to define the scope of the source categories, determine the pollutants for which standards should be developed, and distinguish among classes, types, and sizes within categories in establishing the standards. Once the EPA lists a source category that contributes significantly to dangerous air pollution, the EPA must, under CAA section 111(b)(1)(B), establish “standards of performance” for “new sources” in the source category. These standards are referred to as new source performance standards, or NSPS. The NSPS are national requirements that apply directly to the sources subject to them.
Under CAA section 111(a)(1), a “standard of performance” is defined as “a standard for emissions of air pollutants” that is determined in a specified manner. Under CAA section 111(a)(2), a “new source” is defined as “any stationary source, the construction or modification of which is commenced after the publication of regulations (or, if earlier, proposed regulations) prescribing a standard of performance under this section, which will be applicable to such source.” Under CAA section 111(a)(4), “modification” means “any physical change in, or change in the method of operation of, a stationary source which increases the amount of any air pollutant emitted by such source or which results in the emission of any air pollutant not previously emitted.” While this provision treats modified sources as new sources, EPA regulations also treat a source that undergoes “reconstruction,” by substantially replacing its components, as a new source.[20]
When the EPA establishes or revises a performance standard, CAA section 111(a)(1) provides that such standard must “reflect[ ] the degree of emission limitation achievable through the application of the best system of emission reduction which (taking into account the cost of achieving such reduction and any nonair quality health and environmental impact and energy requirements) the Administrator determines has been adequately demonstrated.” Thus, the term “standard of performance” as used in CAA section 111 makes clear that the EPA must determine both the “best system of emission reduction . . . adequately demonstrated” (BSER) for emissions of the relevant air pollutants by regulated sources in the source category and the “degree of emission limitation achievable through the application of the [BSER].” [21] As explained further below, to determine the BSER, the EPA first identifies the “system[s] of emission reduction” that are “adequately demonstrated,” and then determines the “best” of those adequately demonstrated systems, “taking into account” factors including “cost,” “nonair quality health and environmental impact,” and “energy requirements.” The EPA then derives from that system an “achievable” “degree of emission limitation.” The EPA must then, under CAA section 111(b)(1)(B), promulgate “standard[s] for emissions”—the NSPS—that reflect that level of stringency. The EPA may determine that different sets of sources have different characteristics relevant for determining the BSER for emissions of the relevant air pollutants and may subcategorize sources accordingly.[22]
2. Regulation of Emissions From Existing Sources
The EPA has generally used CAA section 111 to establish standards for emissions of air pollutants from new sources within a category. In the rare instances in which the new stationary source standards concern air pollutants that are not regulated under the National Ambient Air Quality Standards (NAAQS) program pursuant to CAA sections 108-110, or the National Emission Standards for Hazardous Air Pollutants (NESHAP) program pursuant to CAA section 112, the promulgation of standards for new stationary sources triggers a requirement that the EPA also promulgate regulations for emissions of that pollutant from existing sources within the same category under CAA section 111(d).[23]
CAA section 111(d) establishes a framework of “cooperative federalism for the regulation of existing sources.” [24] Under CAA section 111(d)(1)(A)-(B), the EPA must “prescribe regulations” that require “[e]ach state . . . to submit to [EPA] a plan . . . which establishes standards of performance for any existing stationary source for” the air pollutant at issue, and which “provides for the implementation and enforcement of such standards of performance.” CAA section 111(a)(6) defines an “existing source” as “any stationary source other than a new source.”
As part of carrying out this obligation, the EPA promulgates “emission guidelines” for States that identify the BSER and the degree of emission limitation achievable through the application of the BSER. Each State must then establish standards of performance for emissions of the air pollutant at issue by covered sources that reflect that level of stringency.[25] States need not compel regulated sources to adopt the particular components of the BSER itself; rather, States have discretion in designing the policies and rules their sources will use to achieve the degree of emission limitation required by the EPA's emission guidelines. The statute also requires the EPA's regulations to permit a State, “in applying a standard of performance to any particular source,” to “take into consideration, among other factors, the remaining useful life of the existing source to which such standard applies.” [26] Once the EPA approves a State's plan, the provisions in the plan become federally enforceable against the source, in the same manner as the provisions of an approved State Implementation Plan (SIP) under the CAA.[27] If a State elects not to submit a plan or submits a plan that the EPA does not find “satisfactory,” the EPA is authorized to promulgate a plan that establishes Federal standards of performance for the State's existing sources.[28]
3. Key Elements of Determining a Standard of Performance
Congress first defined the term “standard of performance” when enacting CAA section 111 in the 1970 Clean Air Act, amended the definition in the Clean Air Act Amendments (CAAA) of 1977, and then amended the definition again in the 1990 CAAA to largely restore the definition as it read in the 1970 CAA. The D.C. Circuit has reviewed CAA section 111 rulemakings on numerous occasions since 1973 and has developed a body of caselaw that interprets the term.[29]
The basis for standards of performance, whether promulgated by the EPA under CAA section 111(b) or established by the States under CAA section 111(d) in response to emission guidelines promulgated by the Agency, is the “degree of emission limitation” that is “achievable” by sources in the source category by application of the “best system of emission reduction” that the EPA determines is “adequately demonstrated” (BSER). As explained further below in this section, the D.C. Circuit has explained that systems are not “adequately demonstrated” if they are “purely theoretical or experimental.” [30] The D.C. Circuit has stated that in determining the “best” adequately demonstrated system for the pollutants at issue, the EPA must also take into account “the amount of air pollution” reduced.[31] The D.C. Circuit has also stated that the EPA may weigh the various factors identified in the statute and caselaw to determine the “best” system and has emphasized that the EPA has significant discretion in weighing the factors.[32]
After determining the BSER, the EPA sets an achievable emission limit based on application of the BSER.[33] For a CAA section 111(b) rule, the EPA determines the standard of performance that reflects the achievable emission limit. For a CAA section 111(d) rule, the States have the obligation of establishing standards of performance for the affected sources that reflect the degree of emission limitation that the EPA has determined and provided to States as part of an emission guideline. In applying these standards to existing sources, States are permitted to take a source's remaining useful life and other factors into account.
In identifying “system[s] of emission reduction, the EPA has historically followed a “technology-based approach” that focuses on “measures that improve the pollution performance of individual sources,” such as “add-on controls.” [34] The EPA departed from its historical approach in a significant way in the CPP by setting a BSER in which the “system” of emissions reduction involved shifting electricity generation from one type of fuel to another. In West Virginia, the Supreme Court applied the major questions doctrine to hold that the term “system” did not provide the requisite clear authorization to support the CPP's BSER, which the Court described as “carbon emissions caps based on a generation shifting approach” [35] that capped GHG “emissions at a level that will force a nationwide transition away from the use of coal to generate electricity[.]” [36] The Court explained that the EPA's BSER “forc[es] a shift throughout the power grid from one type of energy source to another,” which constituted “ `unprecedented power over American industry' ” and was different in kind from the type of “system” of emissions reduction envisioned by CAA section 111(d).[37]
To qualify for selection as the BSER, the system of emission reduction must be “adequately demonstrated” as “the Administrator determines.” The plain text of CAA section 111(a)(1), and in particular the terms “adequately” and “the Administrator determines,” confer discretion to the EPA in identifying the appropriate system, including making scientific and technological determinations and considering a broad range of policy considerations.[38] However, the terms “adequately” and “demonstrated,” as well as applicable caselaw, make clear that the EPA may not determine that a “purely theoretical or experimental” system is “adequately demonstrated.” [39] Moreover, applicable case law and the text and structure of CAA section 111, including, in particular, the eight-year review requirement in CAA section 111(b)(1)(B), place an outer bound on any discretion the EPA may have to project technological development into the future. The EPA has historically taken the position that because the regulated sources must be able to use the system to meet the applicable standards of performance for the relevant air pollutants by the applicable compliance date, the system must be available to the sources in time to achieve the standards. A system that will not be generally available for use in achieving the standard until technological enhancements have been developed, which may occur until years into the future, is therefore not “adequately demonstrated.” In the CPS, the EPA departed from this historical position by selecting a BSER of 90 percent CCS that might not, if ever, be demonstrated and widely available as a general matter until sometime in the future. Because the CPP attempted a different approach to regulating fossil fuel-fired power plants, the Supreme Court's decision in West Virginia did not address this aspect of the EPA's approach in the CPS.
In addition, CAA section 111(a)(1) requires the EPA to account for “the cost of achieving [the emission] reduction” in determining the adequately demonstrated BSER. Although the CAA does not describe how the EPA is to account for costs to affected sources, the D.C. Circuit has formulated the cost standard in various ways, including stating that the EPA may not adopt a standard the cost of which would be “excessive” or “unreasonable.” [40] The EPA has discretion in considering cost under section 111(a), both in determining the appropriate level of costs and in balancing costs with other BSER factors.[41] The D.C. Circuit has repeatedly upheld the EPA's consideration of cost in reviewing standards of performance.[42]
Under CAA section 111(a)(1), the EPA is required to take into account “any nonair quality health and environmental impact and energy requirements” in determining the BSER. Nonair quality health and environmental impacts may include the impacts of the disposal of byproducts of the air pollution controls, or requirements of the air pollution control equipment for water.[43] Energy requirements may include the impact, if any, of the air pollution controls on the source's own energy needs.[44] In addition, based on the D.C. Circuit's interpretations of CAA section 111, energy requirements may also include the impact, if any, of the air pollution controls on the energy supply for a particular area or nationwide.[45] In addition, the EPA has considered under this statutory factor whether possible controls would create risks to the reliability of the electricity system.
The D.C. Circuit has also held that the term “best” authorizes the EPA to consider factors in addition to the ones enumerated in CAA section 111(a)(1) that further the purpose of the statute. In particular, consistent with the plain language and the purpose of CAA section 111(a)(1), which requires the EPA to determine the “best system of emission reduction ” (emphasis added), the EPA must consider the quantity of emissions at issue.[46] In determining which adequately demonstrated system of emission reduction is the “best,” the EPA has broad discretion. In Sierra Club v. Costle, 657 F.2d 298 (D.C. Cir. 1981), the court explained that “section 111(a) explicitly instructs the EPA to balance multiple concerns when promulgating a NSPS” [47] and emphasized that “[t]he text gives the EPA broad discretion to weigh different factors in setting the standard,” including the amount of emission reductions, the cost of the controls, and the non-air quality environmental impacts and energy requirements.[48]
A standard of performance is “achievable” if a technology can reasonably be projected to be available to an individual source at the time it is constructed so as to allow it to meet the standard.[49] Although the courts have established this approach for achievability in cases concerning CAA section 111(b) new source standards of performance, a generally comparable approach should apply under CAA section 111(d), although the BSER may differ in some cases as between new and existing sources due to, for example, higher costs of retrofit.[50] For existing sources, CAA section 111(d)(1) requires the EPA to establish regulations for State plans that, in turn, must include “standards of performance.” As the Supreme Court has recognized, this provision requires the EPA to promulgate emission guidelines that determine the BSER for a source category and then identify the degree of emission limitation achievable by application of the BSER.[51]
4. EPA Promulgation of Emission Guidelines for States To Establish Standards of Performance
CAA section 111(d)(1) directs the EPA to promulgate regulations establishing a procedure similar to that provided by CAA section 110 under which States submit State plans that establish and implement “standards of performance” for emissions of certain air pollutants from existing sources which, if they were new sources, would be regulated under CAA section 111(b). The term “standard of performance” is defined under CAA section 111(a)(1), as quoted earlier in this preamble. Thus, CAA sections 111(a)(1) and (d)(1) collectively require the EPA to determine the degree of emission limitation achievable through application of the BSER to existing sources and to promulgate regulations under which States establish standards of performance reflecting that degree of emission limitation. The EPA addresses both responsibilities through its emission guidelines, as well as through its general implementing regulations for CAA section 111(d).
Following the EPA's promulgation of emission guidelines, each State must establish standards of performance with respect to the relevant air pollutants for its existing sources, which the EPA's regulations call “designated facilities.” [52] Such standards of performance must reflect the degree of emission limitation achievable through application of the best system of emission reduction for the relevant pollutants as determined by the EPA, which the Agency may express as a presumptive standard of performance in the applicable emission guidelines.
While the standards of performance that States establish in their plans must generally be no less stringent than the degree of emission limitation determined by the EPA,[53] CAA section 111(d)(1) also requires that the EPA's regulations “permit the State in applying a standard of performance to any particular source . . . to take into consideration, among other factors, the remaining useful life of the existing source to which such standard applies.” The EPA's implementing regulations for CAA section 111(d) provide a framework for States' consideration of a facility's remaining useful life and other factors (referred to as “RULOF”) when applying a standard of performance to a particular source. The State must include the standards of performance in the plan submitted to the EPA for review according to the procedures established in the Agency's implementing regulations for CAA section 111(d).[54] Under CAA section 111(d)(2)(A), the EPA must approve State plans that are determined to be “satisfactory.” CAA section 111(d)(2)(A) also gives the Agency “the same authority” as that conferred under CAA section 110(c) to promulgate a Federal plan in cases where a State fails to submit a satisfactory plan.
B. EPA Regulation of GHG Emissions Under CAA Section 111
This section discusses the EPA's efforts since 2015 to regulate GHG emissions under CAA section 111, including the regulation of electric generating units (EGUs) and the associated caselaw, insofar as it is relevant to this action. This background is relevant because it explains the current rules that are directly affected by this proposed action, as well as the EPA's asserted legal basis for regulating GHG emissions under CAA section 111, which is implicated by this proposed action.
The EPA has regulated air pollutants from power plants under CAA section 111 since 1971, when the Agency listed “fossil fuel-fired steam generators of more than 250 million Btu per hour heat input” as a source category under CAA section 111(b)(1)(A) [55] and subsequently promulgated NSPS for certain air pollutants.[56] In 1977, the EPA listed fossil fuel-fired stationary combustion turbines in a category under CAA section 111(b)(1)(A) [57] and subsequently promulgated NSPS for certain air pollutants.[58] However, the EPA did not invoke CAA section 111 to regulate GHG emissions from power plants until 2015, when it promulgated the 2015 NSPS, which addressed GHG emissions, as measured by the equivalent of CO2 emissions, from new fossil fuel-fired EGUs under CAA section 111(b),[59] and the CPP, which set emission guidelines directing States to regulate GHG emissions, as measured by the equivalent of CO2 emissions, from existing EGUs under CAA section 111(d).[60]
In the 2015 NSPS, the Agency asserted that it was not required to make a finding of significant contribution under CAA section 111 before regulating GHG emissions. The EPA explained the legal basis for this interpretation as follows: The EPA noted that it had listed fossil fuel-fired steam generators as a source category in 1971 and combustion turbines as a source category in 1979, in each case on the basis of the sources' emissions of non-GHG air pollutants, and the EPA acknowledged that it had not considered GHG emissions at the time of those listings. Even so, in the 2015 NSPS, the EPA stated that it interpreted CAA section 111 to provide that once the EPA had listed a source category once, it was authorized to promulgate NSPS for any air pollutant from a source listed in that source category, so long as it had a rational basis for doing so.[61]
The EPA received comments on the 2015 NSPS stating that CAA section 111 did not authorize regulation of GHGs from EGUs until the Agency first makes a finding that emissions of GHGs from EGUs contribute significantly to air pollution which may reasonably be anticipated to endanger public health or welfare. Such a finding is shorthanded here as a pollutant-specific significant contribution finding, and such air pollution is shorthanded here as dangerous air pollution. The EPA disagreed with those comments. The EPA explained that CAA section 111(b)(1)(A), 111(b)(1)(B), and 111(a)(1), read together, authorize the EPA to regulate an air pollutant from a listed source category, subject to the standards of rationality under CAA section 307(d)(9)(A),[62] and do not require the EPA to make an additional determination, as a predicate for regulation, that the air pollutant contributes significantly to dangerous air pollution.
In the 2015 NSPS, the EPA took the additional step of “combining the steam generator and combustion turbine categories into a single category of fossil fuel-fired electricity generating units for purposes of promulgating standards of performance for GHG emissions.” [63] The EPA explained that “[c]ombining the two categories is reasonable because they both provide the same product: Electricity services,” and that doing so was consistent with the Agency's decision to combine the categories “in the CAA section 111(d) rule for existing sources that accompanies this rule,” i.e., in the CPP.[64] The EPA added that it did not consider this combining of the source categories to constitute a new listing of the resultant source category.[65]
In the 2015 NSPS, notwithstanding its position that CAA section 111 does not require a pollutant-specific significant contribution finding for GHG emissions, the EPA added, in the alternative, that it was making that finding for GHG emissions from EGUs. The EPA explained that it based this finding on the volume of GHG emissions emitted by EGUs, coupled with the EPA's 2009 determination that GHG air pollution endangered public health or welfare and subsequently available information.[66]
The 2015 NSPS promulgated standards of performance to limit emissions of GHGs, manifested as CO2, from newly constructed, modified, and reconstructed fossil fuel-fired electric utility steam generating units, i.e., utility boilers and integrated gasification combined cycle (IGCC) combustion turbines and newly constructed and reconstructed stationary combustion turbines. These final standards are codified in 40 CFR part 60, subpart TTTT. In promulgating the 2015 NSPS for newly constructed fossil fuel-fired steam generating units, the EPA determined the BSER to be a new, highly efficient, supercritical pulverized coal (SCPC) EGU that implements post-combustion partial CCS technology.
The 2015 NSPS also included standards of performance for steam generating units that undergo a “reconstruction” as well as units that implement “large modifications” ( i.e., modifications resulting in an increase in hourly CO2 emissions of more than 10 percent). The 2015 NSPS did not establish standards of performance for steam generating units that undertake “small modifications” ( i.e., modifications resulting in an increase in hourly CO2 emissions of less than or equal to 10 percent), due to the limited information available to inform the analysis of a BSER and corresponding standard of performance.
The 2015 NSPS also finalized standards of performance for newly constructed and reconstructed natural gas-fired stationary combustion turbines that operate at base load and non-base load, based on efficient natural gas combined cycle (NGCC) technology or the use of lower-emitting fuels (referred to as clean fuels in the 2015 NSPS) as the BSER. The EPA did not promulgate final standards of performance for modified stationary combustion turbines under CAA section 111(d) due to lack of information.
The 2015 NSPS was challenged in the D.C. Circuit, but the case has been held in abeyance in light of the EPA's subsequent rulemakings.
In the CPP—promulgated at the same time that the EPA promulgated the 2015 NSPS—the EPA interpreted CAA section 111(d) to require the Agency to regulate GHG emissions from existing sources in the newly combined source category because the EPA had promulgated NSPS for GHG emissions from new sources in that source category.[67] The EPA determined that the BSER for existing fossil fuel-fired EGUs consisted primarily of generation shifting measures, as described earlier in this preamble.[68] The Supreme Court stayed the CPP pending review in February 2016,[69] and the D.C. Circuit held the litigation in abeyance and ultimately dismissed it in light of subsequent developments.[70]
In 2018, the EPA proposed to revise the NSPS for new, modified, and reconstructed fossil fuel-fired steam generating units and IGCC units (2018 NSPS Proposal).[71] The EPA proposed to revise the NSPS for newly constructed units, based on a revised BSER of a highly efficient EGU without partial CCS. The EPA also proposed to revise the NSPS for modified and reconstructed units. As explained later in this section, the 2018 NSPS Proposal was never finalized and, as noted below, was rescinded as part of the Carbon Pollution Standards.
In 2019, the EPA repealed the CPP and replaced it with the Affordable Clean Energy (ACE) Rule.[72] In contrast to the CPP, the EPA determined in the ACE Rule that under the provisions of CAA section 111, a system of emission reduction is limited to measures that can be applied to at the level of the individual source and cannot include generation shifting measures.[73] Instead, the EPA determined the BSER for existing coal-fired EGUs to be heat rate improvements alone. Specifically, the EPA listed various technologies that could improve heat rate and identified the “degree of emission limitation achievable” by providing ranges of expected emission reductions associated with each of the technologies.[74] The EPA also explained that it was not determining CCS to be the BSER in part because of its unreasonable expense, and was not determining natural gas co-firing to be the BSER because it was an inefficient use of natural gas.[75]
In 2021, the D.C. Circuit vacated the ACE Rule, including the CPP Repeal.[76] The court held, among other things, that CAA section 111 did not limit the EPA, in determining the BSER, to measures applied at and to an individual source, and that CAA section 111 did authorize the EPA to determine generation shifting as the BSER. The D.C. Circuit concluded that as a result, both the CPP Repeal and the ACE Rule should be vacated.[77] The court did not address most other challenges to the ACE Rule, including the arguments concerning the heat rate improvement BSER.
Several petitioners argued that the ACE Rule was invalid on the grounds that the EPA had predicated regulation of GHG emissions from existing EGUs on the new source GHG emissions standards in the 2015 NSPS, and that those standards were flawed because CAA section 111 required them to be predicated on a pollutant-specific significant contribution finding with identified standards or criteria for determining significance. The D.C. Circuit held that it did not need to decide whether CAA section 111 requires a pollutant-specific significant contribution finding for GHG emissions from EGUs as a predicate for CAA section 111 regulation because the EPA had made such a finding in the alternative. The court rejected the Petitioners' argument that the significant contribution finding was flawed due to lack of identified criteria for significance and explained that the magnitude of GHG emissions from EGUs supported the significance finding without identified criteria for significance.[78]
In 2022, the Supreme Court in West Virginia reversed the D.C. Circuit's decision to vacate the ACE Rule's embedded repeal of the CPP.[79] As noted above, the Court concluded that the CPP's BSER of “generation shifting” implicated the major questions doctrine and exceeded the EPA's statutory authority because CAA section 111 did not clearly authorize the Agency to cap GHG emissions at a level that forces a nationwide transition away from using coal to generate electricity.[80]
On October 27, 2022, the D.C. Circuit responded to the Supreme Court's decision by taking steps to, among other things, ensure that the CPP remained repealed but that the ACE Rule came back into effect. Following a change in administration, the EPA informed the court that it intended to replace the ACE Rule. Accordingly, the court stayed further proceedings with respect to the ACE Rule, including the various challenges to the heat rate improvement BSER.[81]
C. Carbon Pollution Standards
On May 9, 2024, the EPA promulgated the Carbon Pollution Standards (CPS), which consisted of several rules and actions.[82] The first action was the repeal of the ACE Rule. The EPA explained, among other things, that the suite of heat rate improvements that was identified in the ACE Rule as the BSER is not an appropriate BSER for existing coal-fired EGUs.[83]
In addition, the CPS included emission guidelines for GHG emissions from existing fossil fuel-fired steam generating units, which include the separate subcategories of coal-fired units, oil-fired units, and gas-fired units.[84] For long-term coal-fired units, the EPA finalized 90 percent CCS as the BSER, with a presumptive standard of an 88.4 percent reduction in annual emission rate and a compliance deadline of January 1, 2032. The EPA asserted that 90 percent CCS is an adequately demonstrated technology that achieves significant emissions reduction and is cost-reasonable, taking into account the supposedly declining costs of the technology and the IRC section 45Q tax credit available for a certain number of years to generating sources that use CCS technology. In recognition of the significant capital expenditures involved in deploying CCS technology and the fact that a number of regulated units had announced retirement dates, the EPA finalized a separate subcategory for existing coal-fired units that demonstrate that they plan to permanently cease operation before January 1, 2039. For this subcategory, the BSER is co-firing with natural gas, at a level of 40 percent of the unit's annual heat input, the presumptive standard is a 16 percent reduction in annual emission rate, and the compliance deadline is January 1, 2030. In addition, the EPA exempted existing coal-fired units demonstrating that they plan to permanently cease operation prior to January 1, 2032. The EPA determined that these controls were cost-effective primarily by reference to two metrics it used in prior rulemakings. The first determines the cost in dollars for each ton or other quantity of the regulated air pollutant removed through the system of emission reduction. The second, which the EPA particularly relied on in rules for the electric power sector, determines the dollar increase in the cost of a MWh of electricity generated by the affected sources due to the emission controls, which shows the cost of controls relative to the output of electricity.[85]
For existing gas- and oil-fired steam generating units, the EPA further subcategorized them into base load (units with annual capacity factors greater than or equal to 45 percent), intermediate load (units with annual capacity factors greater than or equal to 8 percent and less than 45 percent), and low load (units with annual capacity factors less than 8 percent) subcategories. The EPA finalized routine methods of operation and maintenance as the BSER for base load and intermediate load units, with presumptive standards for base load units of 1,400 lb CO2 /MWh-gross, and for intermediate load units of 1,600 lb CO2 /MWh-gross. For low load units, the EPA finalized a uniform fuels BSER and a presumptive input-based standard of 170 lb CO2 /MMBtu for oil-fired sources and a presumptive standard of 130 lb CO2 /MMBtu for natural gas-fired sources.
The CPS also includes standards of performance for new and reconstructed combustion turbines, organized into three subcategories: base load, intermediate load, and low load. For base load turbines, the standard consists of two components to be implemented in two phases. The first component is based on a BSER of highly efficient generation, which is determined according to the emission rates that the best performing units are achieving, and compliance was required upon the effective date of the CPS. The second component is based on a BSER of 90 percent CCS, and compliance is required on January 1, 2032. For intermediate load turbines, the EPA determined the BSER to be highly efficient simple-cycle generation; and for low load combustion turbines, the EPA determined the BSER to be the use of lower-emitting fuels.
In addition, the EPA revised the standards of performance for coal-fired steam generating units that undertake a large modification ( i.e., a modification that increases its hourly emission rate by more than 10 percent) to be based on the BSER of 90 percent CCS. Finally, the EPA withdrew the 2018 proposed amendments [86] to the NSPS for GHG emissions from coal-fired EGUs.
Following promulgation of the CPS, 27 States and numerous industry groups filed petitions for review in the D.C. Circuit, and many subsequently filed motions to stay the rule. The D.C. Circuit denied the stay motions on July 19, 2024,[87] and the Supreme Court denied them on October 16, 2024.[88] However, Justice Thomas would have granted a stay and Justice Kavanaugh, joined by Justice Gorsuch, wrote that “the applicants have shown a strong likelihood of success on the merits as to at least some of their challenges to the [EPA's] rule.” [89] The merits case was briefed, and oral argument was held before the D.C. Circuit on December 6, 2024. Following a change in administration, the D.C. Circuit agreed to hold the case in abeyance pending further actions by the Agency.
IV. Summary and Rationale of Primary Proposal
A. Summary of Proposed Action
The EPA is proposing that CAA section 111 is best read to require, or at least authorize the EPA to require, an Administrator's determination that an air pollutant emitted by a source category causes, or contributes significantly to, dangerous air pollution as a predicate to establishing emissions standards for that pollutant. In the context of the 2015 NSPS and CPS, the mandatory form of this interpretation would require the EPA to determine that GHG emissions from EGUs contribute significantly to dangerous air pollution before regulating GHG emissions from fossil fuel-fired EGUs. This proposal would reverse the EPA's most recent interpretation on that point, which asserted that the EPA could regulate GHG emissions from existing source categories of fossil fuel-fired EGUs and, in fact, combine those source categories into a single source category and regulate it solely on the basis of GHG emissions, without making the significant contribution finding for GHG emissions.
The EPA is further proposing to determine, as an exercise of the Administrator's judgement and based on the available evidence, that GHG emissions from fossil fuel-fired EGUs do not contribute significantly to dangerous air pollution for purposes of CAA section 111(b). This proposal would rescind the EPA's prior, alternative determination to the contrary in the 2015 NSPS as carried over into the CPS. On this basis, the EPA is proposing to repeal all GHG emissions standards and emission guidelines for the power sector, specifically the 2015 NSPS codified in 40 CFR part 60, subpart TTTT (80 FR 64510; October 23, 2015), and the CPS codified in 40 CFR part 60, subparts TTTTa and UUUUb (89 FR 39798; May 9, 2024).
As explained below, the EPA seeks comment on its proposed interpretation of CAA section 111 to require, or at least authorize the EPA to require, an Administrator's determination of significant contribution for the air pollutant under consideration. Separately, the EPA seeks comment on whether CAA section 111 requires a significant contribution finding for the fossil fuel-fired EGU source category first created in the 2015 NSPS. Finally, the EPA seeks comment on its interpretation of what it means for a source category to contribute “significantly” to dangerous air pollution, and on the proposed Administrator's determination that GHG emissions from sources within the fossil fuel-fired EGU source category do not contribute significantly to such pollution. The EPA encourages commenters to present any other relevant arguments and information, including with respect to legitimate reliance interests on the 2015 NSPS and CPS.
B. Significant Contribution Finding for EGUs
In this section, the EPA first explains the legal bases for its proposal that CAA section 111 requires, or at least authorizes the EPA to require, that the EPA determine that GHG from the fossil fuel-fired EGU source category contribute significantly to dangerous air pollution as a predicate for regulation. The EPA then explains its reasons for proposing to determine that GHG emissions from this source category do not contribute significantly to dangerous air pollution within the meaning of CAA section 111.
1. Requirement for Significant Contribution Determination
a. Requirement for a Significant Contribution Determination Concerning GHG Emissions From the EGU Source Category
As noted in section III.B above, prior to the 2015 NSPS, the EPA had listed two separate source categories of electricity generating sources—steam generators and combustion turbines—under CAA section 111(b)(1)(A), which requires the EPA to list a source category for regulation if it determines that the source category “causes, or contributes significantly to, air pollution which may reasonably be anticipated to endanger public health or welfare.” The EPA had previously promulgated NSPS only for different, non-GHG air pollutants from those source categories. In the 2015 NSPS, the EPA combined the two source categories into a single source category—“fossil fuel-fired electricity generating units”—solely for the purpose of regulating GHG emissions, but did not otherwise revise the prior source category listings or promulgated NSPS. The EPA stated that combining the source categories in this fashion did not constitute a listing of a new source category under CAA section 111(b)(1)(A),[90] and interpreted CAA section 111 to authorize it to regulate GHG emissions from the new, combined source category as long as it had a rational basis for doing so. The EPA went on to determine that, in light of the amount of GHG emissions from the source category relative to other source categories, the EPA had a rational basis to regulate GHG emissions. The EPA added that even if it were required to determine that GHG emissions from the source category contribute significantly to dangerous air pollution as a predicate for regulation, it was making that determination in the alternative, and cited the same facts it relied on for the rational basis determination.
Notwithstanding the EPA's statements in the 2015 NSPS, its action in combining the two source categories for purpose of regulating GHG emissions had the effect of listing a new combined source category under CAA section 111(b)(1)(A) based solely on the emission of GHGs by sources within the new category. In light of the CAA section 111(b)(1)(A) requirement that a source category may be listed only if “it causes, or contributes significantly to, [dangerous] air pollution,” the EPA proposes that the creation of a single source category solely on the basis of GHG emissions is justifiable only if the GHG emissions “cause[], or contribute[] significantly to, [dangerous] air pollution.” [91] In a change from its position in the 2015 NSPS, the EPA proposes to conclude that a new source category, whether consisting of previously unregulated sources or sources previously regulated under distinct categories, cannot be listed without the Administrator's determination of significant contribution required by the statute. Relatedly, the EPA proposes to conclude that Congress required the EPA to identify more than a rational basis for regulating emissions from a source category, as evidenced by the statute's use of “cause, or contributes significantly” in relation to “air pollution which may reasonably be anticipated to endanger public health or welfare.”
In the 2015 NSPS, the EPA purported, in the alternative, to make a significant contribution finding for GHG emissions from EGUs within the newly established source category. Under the interpretation the EPA is proposing in this action, this finding was, and is, a necessary predicate for regulation. In a change from this alternative finding, and as discussed later in this section, the EPA is now proposing to determine that GHG emissions from fossil fuel-fired EGUs do not contribute significantly to dangerous air pollution within the meaning of CAA section 111. This determination would preclude the EPA from regulating GHG emissions from fossil fuel-fired EGUs. The EPA proposes to conclude that such a determination would be consistent with agencies' authority to reconsider prior decisions,[92] and with the relevant statutory text. In particular, CAA section 111(b)(1)(A) instructs the Administrator to use “his judgment” in making significant contribution findings, and further authorizes the EPA to “from time to time . . . revise” the list of source categories regulated under CAA section 111. In effect, the EPA is proposing to revise the list of source categories to remove the combined source category of fossil fuel-fired EGUs that emit GHGs that was created for the first time in the 2015 NSPS, while retaining pre-existing source categories for EGUs and related regulations for different, non-GHG pollutants.
b. Requirement for Pollutant-Specific Significant Contribution Finding
As noted in section III.B of this preamble, in the 2015 NSPS, the EPA justified its regulation of GHG emissions from fossil fuel-fired steam generators and combustion turbines primarily by interpretating CAA section 111 to authorize the regulation of air pollutants emitted by sources within an existing source category without an Administrator's determination of significant contribution to dangerous air pollution, so long as the EPA had a rational basis for such regulation. In this action, the EPA proposes to interpret CAA section 111 as requiring the EPA to determine that emissions of an air pollutant from an existing source category significantly contribute to dangerous air pollution before imposing standards of performance for that air pollutant on the relevant source categories.
The EPA proposes to conclude that CAA section 111 is best read to require an Administrator's determination as a predicate for regulating emissions of an air pollutant by an existing source category. Once the EPA lists a source category for regulation under CAA section 111(b)(1)(A) on grounds that the EPA determines that “it causes, or contributes significantly to, [dangerous] air pollution,” the EPA is required, under CAA section 111(b)(1)(B), to promulgate “standards of performance” for new sources in the category. CAA section 111(a)(1) defines “standard of performance” as “a standard for emissions of air pollutants” determined in a specified manner. Thus, CAA section 111(b)(1)(B) requires that the EPA promulgate standards for “emissions of air pollutants.” Under longstanding practice, “EPA undertakes this analysis on a pollutant-by-pollutant basis, establishing different standards of performance with respect to different pollutants emitted from the same source category.” [93]
Read together, CAA section 111(b)(1)(A) and 111(b)(1)(B) demonstrate that CAA section 111 directs the EPA to establish standards for air pollutants that significantly contribute to dangerous air pollution. Importantly, the source categories that the EPA is required to list under CAA section 111(b)(1)(A) typically emit multiple air pollutants, but CAA section 111(b)(1)(B) does not specify the air pollutants for which the EPA must promulgate standards. These provisions must be read in context as a cohesive whole. Interpreting CAA section 111(b)(1)(A) in isolation to authorize the EPA to list a source category based on a significance finding for one pollutant fails to give independent meaning to the broader term “air pollution” and effectively reads the “contributes significantly” requirement out of the statute with respect to all other pollutants. On one hand, this interpretation allows the EPA to evade the “contributes significantly” requirement by listing a source category based on one pollutant in order to regulate other pollutants for which it has not, or cannot, make a credible finding of significant contribution to dangerous air pollution. On the other, this interpretation would trigger the requirement that the EPA promulgate standards of performance under CAA section 111(b)(1)(B) for all air pollutants emitted by the listed source category under the definition of “standard of performance” in CAA section 111(a)(1). Nothing in CAA section 111 suggests that Congress intended the EPA to regulate emissions of any and all air pollutants regardless of the magnitude of emissions ( i.e., including de minimis emissions) and regardless of those emissions' contribution to dangerous air pollution ( i.e., including pollutants that are not dangerous to health or welfare). Rather, the EPA is necessarily required to exercise judgment in determining which air pollutants to regulate, and Congress directed that judgment must be applied by determining whether an air pollutant contributes significantly to dangerous air pollution.
By analogy, the Supreme Court held in Utility Air Regulatory Group v. EPA, 573 U.S. 302, 322-23 (2014), that the phrase “any air pollutant” in the new source review prevention of significant deterioration (PSD) requirements under CAA sections 165(a)(1) and 169(1), which apply the PSD requirements to stationary sources that emit specified amounts of “any air pollutant,” do not, based on their statutory context, include GHGs, even though GHGs had been understood as air pollutants.[94] By the same token, because CAA section 111(b)(1)(A) authorizes the EPA to list a source category for regulation only if it “contributes significantly” to dangerous air pollution, it is appropriate to limit GHG emissions from a source category only if they contribute significantly to such dangerous air pollution. This interpretation is merited in part because the EPA did not consider GHG emissions when the Agency initially listed the fossil fuel-fired power plant source categories in the 1970s. In addition, limiting the EPA's authority to regulate GHG emissions only if they contribute significantly to dangerous air pollution is consistent with prior EPA decisions not to regulate certain air pollutants under CAA section 111 on grounds that they had little impact or that no effective controls were available.[95]
Additional context and structure in CAA section 111 suggests that CAA section 111(b)(1) is best read to require pollutant-specific contribution findings. CAA section 111(b)(3) requires the EPA to “issue information on pollution control techniques for categories of new sources and air pollutants subject to the provisions of this section. ” [96] This language treats “categories of new sources” and “air pollutants” in the same breath, suggesting that the required findings in “this section” apply to both phrases. CAA section 111(h), which authorizes the EPA to impose design, equipment, work practice, or operational standards when standards of performance are not feasible, provides that standards of performance are not feasible when “ a pollutant or pollutants cannot be emitted through a conveyance designed and constructed to emit or capture such pollutant. ” [97] That language recognizes that CAA section 111(b)(1) is ultimately concerned with controlling particular pollutants, and reinforces the importance of making significant contribution determinations for such pollutants. Finally, CAA section 111(j) authorizes the EPA to waive requirements under certain conditions “with respect to any air pollutant,” meaning waivers are granted on a pollutant-by-pollutant, in addition to source-by-source, basis.[98] This language supports the conclusion that the EPA must analyze the contribution of pollutants to dangerous air pollution under CAA section 111 generally.
The EPA solicits comment on the interpretation that it is appropriate to regulate emissions of an air pollutant—here, GHGs—from a source category only if those emissions contribute significantly to dangerous air pollution. In particular, the EPA seeks comment with respect to the textual requirements of CAA section 111(b), relevant context from the remainder of CAA section 111, and relevant structural arguments regarding the CAA more generally, including statutory provisions not specifically discussed in this proposal.
In the alternative, the EPA proposes to interpret CAA section 111 to at least authorize the EPA to require a determination that an air pollutant—here, GHG emissions from the power sector—significantly contributes to dangerous air pollution as a predicate to imposing standards of performance. Specifically, under this alternative, the EPA proposes to interpret CAA section 111 as granting the EPA discretion to determine which air pollutants to regulate under CAA section 111(b)(1)(B). As noted above, that provision directs the EPA to establish standards for “emissions of air pollutants,” but those provisions do not indicate which air pollutants within a potential source category must be regulated. The EPA is proposing to interpret this language to permit the EPA to choose which pollutants to regulate based on the significant contribution standard in CAA section 111(b)(1)(A).
This alternative interpretation, under which the EPA determines that the air pollutants for which it establishes standards are those that contribute significantly to dangerous air pollution, is consistent with the overall purpose of CAA section 111 to protect the public health or welfare from source categories that contribute significantly to dangerous air pollution. This interpretation is also consistent with the discretion that CAA section 111 confers to the EPA at each stage of the rulemaking process. That is, the EPA exercises “judgment” in determining which source categories to list for regulation under CAA section 111(b)(1)(A)); after listing a source category, the EPA has discretion in determining which pollutants to regulate; and once the EPA has determined to regulate a particular air pollutant, it has discretion in determining the type of emission controls (BSER) that serve as the basis for the regulation under CAA section 111(a)(1).
The EPA seeks comment on this alternative interpretation, including with respect to whether the text of CAA section 111(b) confers sufficient discretion on the EPA and whether additional provisions of CAA section 111 or the CAA more generally inform the scope of that discretion. The EPA also seeks comment on whether it erred in determining that it was not required to make a significant contribution finding in the 2015 NSPS or in not revisiting the issue in the CPS, and whether or not it would be appropriate to exercise its discretion here by requiring such a finding for GHG emissions from the fossil fuel-fired power plant source category.
The EPA recognizes that the proposals discussed in this section constitute a change from the EPA's approaches to statutory interpretation in the 2015 NSPS. The EPA notes that the 2015 NSPS, which asserted that the EPA need only have a rational basis for regulating additional pollutants emitted from a new category comprised of previously regulated sources, was itself a departure from the EPA's prior implementation of CAA section 111. The 2015 NSPS regulated GHG emissions from certain new sources in the power sector for the first time since the enactment of CAA section 111(b) in 1970, and for the first time specifically articulated the rational basis interpretation as allowing the EPA to regulate additional pollutants without ever having made a significant contribution finding for that pollutant.
The EPA seeks comment on this change in interpretation, including any specific reliance interests relevant to the interpretation taken in the 2015 NSPS, as carried over into the CPS, and the relative strength of the rationale for these respective interpretations. The EPA also seeks comment on whether and how the Supreme Court's recent decision in Loper Bright Enterprises v. Raimondo,[99] should inform the EPA's approach to interpreting CAA section 111 and selecting which interpretation better reflects the best reading of the statute.
The EPA is also requesting comment on whether its proposed interpretation of CAA section 111(b)(1)(A) as requiring a pollutant-specific significant contribution finding is necessary to avoid implicating the major questions doctrine as articulated by the Supreme Court in West Virginia. Specifically, the EPA is seeking input on whether the proposed interpretations in this section are necessary to prevent the Agency from improperly expanding its regulatory authority by determining that emissions of de minimis amounts of air pollutants, or non-harmful substances that may nevertheless be defined as air pollutants, should be regulated under CAA section 111.
2. Determination of Significant Contribution
As noted above, CAA section 111(b)(1)(A) requires the Administrator to list a source category for regulation “if in his judgment it causes, or contributes significantly to, [dangerous] air pollution.” The EPA proposes to interpret this provision, in conjunction with other provisions in CAA section 111, to require, as a predicate for regulation of GHG emissions from a source category, that the EPA determine that such emissions “contribute[ ] significantly” to dangerous air pollution. By its explicit reference to the Administrator, this provision expressly delegates to the EPA the authority to determine when emissions “contribute[ ] significantly.” [100] This section sets out the EPA's proposed interpretation of CAA section 111's significant contribution standard and seeks comment on the strength of this interpretation and its application to GHG emissions by EGUs.
a. Proposed Interpretation of “Significantly Contributes”
The EPA proposes to interpret “significantly contributes” as used in CAA section 111 as conferring discretion on the Administrator based on the statutory text, structure, and background principles of law. First, the EPA proposes to conclude that the term “ significantly contributes” (emphasis added), in conjunction with the explicit grant of authority to the Administrator to exercise “judgment,” confers discretion to consider policy issues inherent in the statutory structure, including effectiveness of emissions reduction controls, cost-reasonableness of those controls, impacts on the affected industry, and impacts of the emissions on public health and welfare. Second, the EPA proposes to conclude that “significantly contributes” incorporates background legal principles of proximate cause that inform both whether an air pollutant contributes to dangerous air pollution and the extent of contribution required to trigger regulation based on the particular form of dangerous air pollution identified.
Consistent with its ordinary meaning, the term “significant[ ]” is defined as “having or likely to have influence or effect: important.” [101] “Important” is similarly defined, in turn, as “marked by or indicative of significant worth or consequence : valuable in content or relationship.” [102] Whether a source category's contribution to air pollution should be considered “important” or “valuable” entails consideration of the influence, effect, or usefulness of finding such contribution. If regulating emissions of a particular pollutant from a source category would have little effect on dangerous air pollution, that source category's contribution to the air pollution is not significant. By the same token, if regulating emissions would not be useful, taking into account, inter alia, the impacts on, and the Administration's policies concerning, the source category, that source category's contribution to the air pollution is not significant. An inquiry into the effect of a finding of significance necessarily involves policy considerations that will inform any subsequent regulation when making the significance determination in the first instance.[103]
This interpretation of “significantly contributes” accords with the structure and language of the remainder of the statutory provision. CAA section 111(b)(1)(A) does not require the EPA to conduct separate analyses of contribution and endangerment or imply that significance is divorced from the policy and regulatory tools available to address an identified danger. To the contrary, Congress required the Administrator to exercise “judgment” in determining whether emissions of an air pollutant from a category of sources contribute significantly to dangerous air pollution such that emissions reductions can reasonably be required. This explicit authorization to the Administrator to exercise “judgment” reinforces interpreting “significantly” to include the Administrator's policy considerations associated with reducing emissions. When Congress intends to require the EPA to evaluate the significance of a risk separately from risk mitigation, it knows how to do so. For example, unlike key provisions of the Safe Drinking Water Act (SDWA) and the Toxic Substances Control Act (TSCA), CAA section 111 uses discretionary language and does not purport to exclude any standard administrative considerations from the scope of the EPA's significance analysis.[104]
Notably, this interpretation of significance is not foreclosed by the D.C. Circuit's decision in American Lung Association v. EPA. There, the court addressed the question whether EPA had to consider certain metrics or factors when determining if a source category's contribution is significant.[105] The court declined to answer this question, finding that it was not necessary to do so in that case.[106] Under the interpretation of “contributes significantly” proposed here, significance would be determined not with regard to a quantitative threshold, but rather based on the impact of the resulting regulation. The American Lung Association decision does not speak to this interpretation, and thus does not purport to restrict the Administrator's discretion to exercise judgment by factoring in statutory policy considerations when determining significance.
The CAA, and specifically the factors laid out in section 111(a)(1), provides guidance on the scope of the considerations relevant to assessing whether an air pollutant contributes significantly to dangerous air pollution. As noted above, the EPA has discretion to consider statutory policies, including risk management considerations, in determining whether emissions contribute “significantly,” and CAA section 111(a)(1) includes the factors that EPA must consider in determining emission standards to manage risk. Specifically, CAA section 111(a) requires that the EPA determine the level of emission reductions that will be required based on consideration of, among other things, the cost of achieving those reductions. If the cost is unreasonable, the associated emission reductions are not warranted. Thus, when determining if a source category contributes significantly to dangerous air pollution, the EPA will look to the availability of achievable, cost-effective emission reductions. If no such reductions are available, the influence or effect of regulating the source category for that pollutant is null and its contribution to air pollution is not significant.
The EPA has long interpreted a similar phrase in CAA section 110(a)(2)(D)(i)(I) to include cost considerations. That provision requires that state implementation plans contain provisions that prohibit sources from “emitting any air pollutant in amounts which will contribute significantly to” downwind air quality problems. Based on this provision, the EPA has promulgated several region-wide rules, beginning in 1998, to limit emissions of air pollutants that affect downwind air quality. In these rules, the EPA has consistently interpreted the term “significantly” to include consideration of the cost-effectiveness of controls in determining the overall amount of required emission reductions.[107] Although not addressing the EPA's specific interpretation, the Supreme Court read the phrase “amounts which will contribute significantly” to authorize the consideration of cost effectiveness.[108]
As the EPA has explained previously in examining alternatives to reduce emissions of GHGs from fossil fuel-fired EGUs, there are four main approaches to controls that can potentially be used given the continued (and increasing) demand for electricity generation.[109] Serious flaws in each of these potential controls demonstrates not only that emissions reductions are not readily achievable, but also that the contribution to dangerous air pollution that the EPA previously relied upon to regulate GHG emissions is not significant within the meaning of CAA section 111 when read in context with an eye towards the provision's structure.
The first approach is generation shifting, which the Supreme Court held in West Virginia cannot be considered as part of BSER. The second is the use of CCS technology at fossil fuel-fired power plants. As explained below, there is very limited use of CCS on fossil fuel-fired EGUs either in the U.S. or internationally, and the projects using CCS on a cutting-edge basis have demonstrated significantly less than 90 percent capture. Moreover, as discussed in sections V.B.1.b-c and V.2 of this preamble, the EPA is proposing to find that the cost of 90 percent CCS is unreasonable, and therefore that the associated emission reductions are not achievable. The third approach to reducing GHG emissions is natural gas co-firing. As further explained in section V.B.2 of this preamble, the EPA is proposing that basing the BSER on a switch from one fuel to an entirely different fuel would constitute impermissible generation shifting. Even if switching to natural gas were an allowable BSER for coal-fired steam generating units, in considering energy requirements, natural gas co-firing is an inefficient use of that natural gas, and natural gas is also an important and limited resource necessary to public welfare. Finally, efficiency, or heat rate improvements (HRI) can be used. For new sources, this is unlikely to have a significant impact on emissions because sources already have a significant incentive to use the most efficient technology available even without regulatory drivers. For existing sources, efficiency improvements decrease emissions per MWh of electricity generated but can result in a “rebound effect” where emissions at the individual EGU increase due to increased generation from the unit. Because an EGU applying HRI is more fuel efficient and may have lower dispatch costs, it may also displace generation from lower emitting EGUs ( e.g., an existing source displaces generation from a new natural gas combined cycle unit) so that overall emissions from the power sector may increase. As a result, HRI may be unsuitable as BSER due to the uncertainty as to whether the technology results in overall emission reductions.
Thus, the control options available to reduce GHGs from fossil fuel-fired EGUs are not permissible as BSER, not adequately demonstrated, cost unreasonable, or potentially ineffective in reducing emissions. Because it is likely that the Agency may be unable to develop a BSER that would result in any meaningful, cost-reasonable GHG emission reductions, the contribution of this source category to GHG air pollution is not significant. In particular, because, as discussed below, only extraordinary emissions reductions on a global scale would have any impact on the potential endangerment of public health and welfare in this context, the EPA is proposing to determine that GHG emissions from the EGU source category do not contribute significantly to dangerous air pollution.
The EPA proposes to conclude based on this interpretation of CAA section 111 that the significant contribution analysis is informed by considerations of national policy regarding the public welfare and the ability of the CAA section 111 regulatory mechanism to achieve meaningful reductions in air pollution that are cost-reasonable and achievable. As such, the significance analysis is informed by this Administration's national policy that energy production is essential to the public welfare. This entails continued and increasing reliance on fossil fuels to meet increasing demands for electricity generation, including to power artificial intelligence (AI) and related technologies with critical implications for national security and economic growth. Such considerations fit within the meaning of the term “significant,” as well as within the CAA's broad understanding of the term “welfare” as including (but not limited to) “effects on economic values and on personal comfort and well-being.” [110]
In the 2015 NSPS, the EPA took a materially different view when making, in the alternative, a significant contribution finding for GHG emissions from fossil fuel-fired power plants. There, the EPA based the finding solely on the quantity of GHG emissions and did not consider the potential impacts of its policy.[111] The limitations of this approach became evident in the CPS, where the EPA assessed impacts on the fossil fuel-fired power plants that it regulated; the Agency estimated that the CPS would result in significant coal retirements of 5 GW by 2030, an incremental 21 GW by 2035, and an incremental 14 GW by 2040, relative to a baseline without the CPS.[112] The EPA further estimated that CPS resulted in lower amounts of generation from new gas turbines and fewer natural gas combined cycle turbines being built.[113] Notwithstanding these estimates, the Agency did not revisit its prior finding of significant contribution, and instead assumed that GHG emissions from such sources should be regulated as contributing significantly to a danger to public health and welfare, without accounting for the consequences to public health and welfare of taking action that resulted in plant closures.
In enacting and amending CAA section 111, Congress legislated against background legal principles, including principles of causation and proximate cause.[114] These “default rules” are “presumed to have [been] incorporated, absent an indication to the contrary in the statute itself.” [115] CAA section 111(b)(1)(A) incorporates these principles by using the term “cause” and the phrase “significantly contribute” without accompanying language that suggests an intent to depart from ordinary rules of legal meaning. The EPA proposes to interpret CAA section 111(b)(1)(A) as incorporating ordinary causation and proximate cause principles that must be considered in determining whether the emission of an air pollutant “significantly contributes” to dangerous air pollution in light of the directness and degree of the supposed contribution.[116]
In the 2015 NSPS, the EPA assigned itself a particularly demanding analytical task by evaluating the significance of contribution to global, well-mixed air pollution that results from a combination of pollutants from a large and diverse array of sources that in turn, creates elevated global concentrations that, in turn, the Agency determined play a causal role in environmental phenomena that, in turn, the Agency determined adversely affect the public health and welfare. The global scale of that analysis and attenuated chain of causation stands in marked contrast to the EPA's prior listing and regulatory efforts under CAA section 111. None of those listings and regulatory efforts concerned air pollutants that can be connected to adverse public health and welfare impacts only when aggregated into global emissions from all potential global sources.
The threshold for significant contribution under this theory is heightened by the multiple intervening actors, uncertainties, and extrapolations necessary to draw a connection between emissions by a source category and dangerous air pollution in the form of adverse effects in the U.S. from anthropogenic climate change, as discussed further below. Under the EPA's proposed interpretation, this attenuated causal chain would require a greater volume and percentage of contribution than a more direct causal relationship to account for the degree of uncertainty and extrapolations involved. In other words, emissions of an air pollutant by a source category cannot be said to contribute significantly to a third or fourth order adverse consequence involving multiple independent domestic and global actors unless the contribution is sufficiently significant that regulation would have a discernable impact on the potential danger.
b. Proposed Application of “Significantly Contributes”
In the 2015 NSPS, the EPA found, in the alternative, that GHG emissions from domestic fossil fuel-fired EGUs “significantly contribute” to dangerous air pollution based exclusively on the volume of GHG emissions from the source category.[117] In addition, the Agency relied on its conclusion in the 2009 Endangerment Finding that global GHG air pollution causes anthropogenic climate change that, in turn, caused adverse domestic impacts.[118] The EPA's theory at the time can be summarized as follows: (1) GHG emissions from U.S. fossil fuel-fired EGUs combine with GHGs emitted from other U.S. sources; (2) U.S. GHG emissions combine with global emissions of GHGs from all sources in all countries to produce a combined concentration of GHGs in the atmosphere; (3) that combined concentration of GHGs in the atmosphere plays a causal role in a net trend toward increasing temperatures; (4) that net trend toward increasing temperatures plays a causal role in global environmental, climate, weather, and oceanographic patterns; and (5) those global changes play a causal role in producing adverse domestic environmental, climate, weather, and oceanographic phenomena that (6) endanger the public health and welfare.
The EPA now proposes to adopt a statutory interpretation that is centered on the impacts and effects of statutory policy considerations in determining whether a source category's contribution is significant, rather than a purely quantitative measure of significance resting on the absolute volume of emissions from a source category.[119] Based on this interpretation, the Agency proposes to conclude, as an exercise of the Administrator's informed judgment, that the volume of GHG emissions from U.S. fossil fuel-fired EGUs does not demonstrate the significant contribution to dangerous air pollution required to invoke the Agency's regulatory authority under CAA section 111. This proposed determination is based on the considerations of statutory structure and policy regarding public welfare discussed in the previous section, available information on the declining share of GHG emissions from U.S. EGUs relative to global emissions, and the attenuated nature of the causal chain between the volume of GHG emissions from the EGU source category and potential danger to public health and welfare arising from anthropogenic climate change.
Unlike other air pollutants that can have a localized or regional impact and direct consequences to human health, GHGs are global pollutants. The share of GHG emissions from the U.S. power sector, including CO2, to global concentrations of GHGs in the atmosphere is relatively minor and has been declining over time. In 2005, U.S. electric power sector GHG emissions comprised 5.5 percent of total global GHG emissions. This percentage has fallen steadily since then to 4.6 percent in 2010, to 3.7 percent in 2015, and comprising 3 percent of total global emissions by 2022.[120] This relative decline is driven in part by increases in GHG emissions from developing countries that are rapidly electrifying and increasing their energy demands, including through the robust deployment of fossil fuel-fired EGUs—a trend that is likely to persist going forward. Further, many other countries burn much more coal than is utilized by the U.S. power sector. For example, in 2024, China used more than 13 times as much coal as the U.S.[121] Despite the fact that coal use in the U.S. has declined nearly 62 percent from its historic high in 2007,[122] global coal use continues to grow—with 2024 seeing the most coal use ever.[123] Limiting the use of coal and other fossil fuels in U.S. EGUs does not significantly impact global GHG concentrations when other countries continue to increase their use of fossil fuels. The EPA proposes to find that the large and growing share of GHG emissions from international sources strengthens the conclusion that U.S. fossil fuel-fired electricity generation, including U.S. coal use for electricity generation, does not contribute significantly to globally elevated concentrations of GHGs in the atmosphere.[124]
Aside from these relative trends, the percentage contribution of GHG emissions from U.S. fossil fuel-fired EGUs may not be a significant contribution to global GHG concentrations in the atmosphere, particularly given the discretion conferred by the term “significant.” The 3 percent contribution figure from 2022 suggests that the risks to public health and welfare attributed to anthropogenic climate change would not be meaningfully different even if the fossil fuel-fired EGU source category were to cease all GHG emissions.
The EPA solicits comment on the proposed determination that GHG emissions from the EGU source category do not “contribute significantly” to dangerous air pollution under CAA section 111(b)(1)(A).
C. Conclusion
In conclusion, the EPA is proposing to interpret CAA section 111 to require, or at least authorize the EPA to require, that the EPA must determine that GHG emissions from EGUs contribute significantly to dangerous air pollution as a predicate to regulation of GHG emissions from fossil fuel-fired EGUs. The EPA is further proposing to determine that GHG emissions from fossil fuel-fired EGUs do not contribute significantly to dangerous air pollution. On this basis, the EPA is proposing to repeal all greenhouse gas standards for the power sector, specifically the 2015 NSPS and the CPS.
V. Summary and Rationale of Alternative Proposal
As an alternative to the proposal to determine that fossil fuel-fired EGUs do not contribute significantly to GHG air pollution and to repeal 40 CFR part 60, subparts TTTT, TTTTa, and UUUUb in their entirety on that basis, the EPA is, based on different rationales, proposing to repeal specific portions of these subparts. Those subparts are the emission guidelines for existing fossil fuel-fired steam generating units in 40 CFR part 60, subpart UUUUb; as well as the requirements for coal-fired steam generating units undertaking a large modification and the phase 2 CCS-based requirements for new base load combustion turbine EGUs in 40 CFR part 60, subpart TTTTa.
If the EPA does not finalize the primary proposal, it may finalize this alternative proposal. Under this alternative, the EPA is not reopening the BSER determinations or standards of performance and related requirements for new and reconstructed intermediate load and low load fossil fuel-fired stationary combustion turbines or for phase 1 for new and reconstructed base load fossil fuel-fired stationary combustion turbines. Similarly, under the alternative proposal, the EPA is not reopening the 2015 NSPS or substantive elements of 40 CFR part 60, subpart TTTT. However, the EPA still requests comment on these issues in general and may, if appropriate, engage in further rulemaking at a future date if this alternative proposal is finalized.
A. Summary of Alternative Proposal
The EPA is proposing to determine that 90 percent CCS is not the BSER for existing long-term coal-fired steam generating units because it has not been adequately demonstrated and because the costs are not reasonable. Furthermore, because it is unlikely that the infrastructure necessary for CCS can be deployed by the January 1, 2032, compliance date, the EPA is proposing to determine that the degree of emission limitation in the CPS for long-term coal-fired steam generating units is not achievable. The EPA is proposing to determine that 40 percent natural gas co-firing is not the BSER for existing medium-term coal-fired steam generating units because consideration of the energy requirements shows that 40 percent natural gas co-firing in a steam generating unit is an inefficient use of natural gas, as detailed in section V.B.2 of this preamble, particularly compared to use in a natural gas-fired combined cycle EGU. Therefore, the EPA is proposing to repeal the BSER determinations, presumptive standards of performance, and all related requirements in the emission guidelines for existing long-term and medium-term coal-fired steam generating units.
The EPA is additionally proposing to repeal the requirements for existing natural gas- and oil-fired steam generating units because it would be an inefficient use of State resources to develop, submit, and implement State plans solely for natural gas- and oil-fired steam generating units, which comprise a relatively small part of the source category and would contribute few or no emission reductions under the existing emission guidelines. That is, it would not be reasonable for the EPA to require States to prepare plans for existing natural gas- and oil-fired steam generating units if the EPA is repealing the requirements for existing coal-fired steam generating units. Because the EPA would repeal the substantive requirements for all regulated subcategories, it is proposing to repeal the emission guidelines for existing fossil fuel-fired steam generating units in its entirety.
Because the EPA is proposing to determine that 90 percent CCS is not the BSER for existing long-term coal-fired steam generating units, the EPA is further proposing to repeal the CCS-based requirements for coal-fired steam generating units undertaking a large modification. Finally, the EPA is proposing to determine that 90 percent CCS is not the BSER for new base load combustion turbine EGUs because the EPA is proposing that it has not been adequately demonstrated and the costs are not reasonable. Furthermore, because it is unlikely that infrastructure necessary for CCS can be deployed by the January 1, 2032, compliance date, the EPA is proposing to determine that the phase 2 standards of performance in the CPS for new base load combustion turbines are not achievable. Consequently, the EPA is proposing to repeal the phase 2 CCS-based requirements for new base load combustion turbine EGUs.
This section details the rationale for the alternative proposal to repeal the emission guidelines for existing fossil fuel-fired steam generating units, the CCS-based requirements for coal-fired steam generating units undertaking a large modification, and the phase 2 CCS-based requirements for new base load combustion turbine EGUs.
B. Emission Guidelines for Existing Fossil Fuel-Fired Steam Generating Units
1. CCS-Based Requirements for Long-Term Existing Coal-Fired Steam Generating Units
The EPA is proposing to determine that CCS with 90 percent capture is not the BSER for long-term existing coal-fired steam generating units because it has not been adequately demonstrated, and the costs are unreasonable. Furthermore, as detailed in section V.B.1.c of this preamble, it is unlikely that infrastructure necessary for CCS can be deployed by the January 1, 2032, compliance date, and the EPA is therefore proposing to determine that the degree of emission limitation in the CPS for long-term coal-fired steam generating units is not achievable. Consequently, the EPA is proposing to repeal the requirements in the emission guidelines pertaining to long-term existing coal-fired steam generating units.
a. Adequately Demonstrated
CCS with 90 percent capture involves the capture of 90 percent of the CO2 from the flue gas of the EGU, transport of the compressed CO2 via pipeline, and sequestration in geologic storage. The foundation of the EPA's prior BSER determination fails at the first step in the process because 90 percent capture of the CO2 from flue gas of an EGU has not been adequately demonstrated and should not have been considered or selected as the BSER.
As explained previously, the EPA has discretion under CAA section 111 to determine whether technologies are adequately demonstrated such that they are appropriate for consideration and potential selection as the BSER. In the CPS, the EPA interpreted CAA section 111, its legislative history, and the D.C. Circuit caselaw to take the position that this discretion includes a degree of forward-looking prediction on whether a technology has been “adequately demonstrated” such that it could be the BSER for a given source category.[125] The text and structure of CAA section 111 and applicable case law demonstrate, however, that even if the EPA has discretion in this regard, it is not unbounded. The statute requires the EPA to “review and, if appropriate, revise” new source standards for a listed category at least every eight years.[126] This provision indicates that technologies requiring enhancements and development that would take significant time, and certainly that would take an entire review cycle or longer, cannot be considered “adequately demonstrated” and thus are not appropriate for selection as the BSER. Rather, the EPA should review the state of the technology at the next eight-year review cycle, and consider at that time whether it is “adequately demonstrated.” For the reasons detailed in this section of the preamble, the EPA is proposing 90 percent CCS is not adequately demonstrated. As a result, even if the EPA has authority to take into account future technological development in determining adequately demonstrated, and even if 90 percent capture were achievable in the future, additional time would be required for the CCS technology to develop. The EPA proposes to find that it erred in the CPS, and is proposing that 90 percent CCS cannot be BSER, because the CPS record did not demonstrate that CCS technology would develop further so that 90 percent capture is achievable, did not demonstrate the period of time over which the technology would develop, and, by the same token, did not demonstrate that any such development would occur, at minimum, within the next eight years.
In the CPS, the argument that 90 percent capture was adequately demonstrated relied in large part on the operation of amine solvent-based CO2 capture at Boundary Dam Unit 3. However, between 2014 and 2022, Boundary Dam achieved a total capture efficiency of not more than 63 percent over the course of a calendar year [127] (the timeframe relevant to the emission reduction requirements in the emission guidelines), which is substantially below the 90 percent capture level specified by the BSER. While the EPA had acknowledged the challenges and underperformance of the capture system at Boundary Dam, it asserted that fixes were available or could be made to address those issues. However, many of those fixes were already made, and performance remained below the design capture efficiency. Furthermore, the operating availability of capture systems has been, to date, less than 100 percent. The EPA previously argued that new solvents were available that could capture CO2 at higher rates to address these gaps, but the experience at Boundary Dam suggests it would be reasonable to anticipate the possibility that those solvents would similarly underperform. Considering these factors, the EPA is proposing to determine that CCS with 90 percent capture is not adequately demonstrated for existing coal-fired steam generating units. The following subsections provide further explanation.
i. Boundary Dam Unit 3
In the CPS, the EPA relied heavily on the operation of carbon capture at the 110 MW coal-fired Boundary Dam Unit 3 (Saskatchewan, Canada) to demonstrate 90 percent capture. CCS at Boundary Dam has been operated since 2014. The unit uses Shell's amine-based CANSOLV® solvent technology to capture CO2 from the post-combustion flue gas of the coal-fired boiler.[128] Captured CO2 is then compressed, transported by pipeline, and used for enhanced oil recovery or stored in a saline aquifer at the Aquistore site.[129] While Boundary Dam Unit 3 achieved 89.7 percent capture over a 3-day test early in its operation, longer-term capture levels have been lower.[130] Between 2015 and 2022, Boundary Dam achieved a total capture efficiency of not more than 63 percent in a calendar year,[131] which is substantially below the 90 percent capture efficiency of the BSER.
This lower total capture efficiency is due to, among other things, the capture system at Boundary Dam Unit 3 typically processing less than all of the flue gas, in part to “maintain long-term reliable operation.” [132] Prior to 2023, the CO2 capture system at Boundary Dam Unit 3 processed up to about 75 percent of the flue gas when operating, with 90 percent CO2 capture from the processed flue gas when operating.[133] The EPA argued in the CPS that such capture from the majority of the flue gas was supportive of the determination of 90 percent capture from all of the flue gas as adequately demonstrated; however, this does not account for the differences in performance when a system is processing less than all of the flue gas.
Opponents of the CPS argued before the D.C. Circuit that there is a meaningful difference between instances where an emissions control device processes a “slipstream” (a portion of the flue gas) and where a control device processes all of the flue gas. They further suggested that the capture efficiencies achieved for a system processing a portion of the flue gas would not be indicative of potential capture efficiencies for a system processing all of the flue gas.[134] In essence, they asserted that processing a portion of the flue gas “functions reliably because gas pressures and volumes are static and controllable,” whereas a capture system processing all of the flue gas “would need to contend with dynamic pressure and volume, shifting as the facility responds to electricity demand.” [135]
In general, Boundary Dam Unit 3 operates as a base load unit, typically operating at high capacity factors such that the unit experiences less variation in operation than a load-following unit. The CO2 capture system uses steam and electricity from the host EGU ( i.e., integrated steam and power). While reports on Boundary Dam's operation document increases in capture efficiency at reduced throughputs to the CO2 absorber,[136] it is unclear whether those reductions in throughput coincided with decreases in load of the host EGU in response to changes in demand. Because the flue gas can bypass the CO2 capture system, it is possible that the throughput to the capture system could be changed independently of the changes in steam load or electricity generation. While other control schemes may be applicable, and it may be that further optimization could be undertaken when processing all of the flue gas,[137] a CO2 capture system required to process all of the flue gas at all times may not have the same flexibility in process control that is available to a system processing a portion of the flue gas. Regardless, the total capture from the facility has been substantially less than 90 percent.
Around 2024, additional improvements at Boundary Dam Unit 3 were made to increase throughputs, and SaskPower noted that a greater portion of the flue gas was being processed by the capture system (up to 95 percent of the flue gas, with 87 percent capture from the processed flue gas, resulting in 83 percent total capture when operating).[138] Whether that performance has been maintained in the long term has not been reported. Notably, at those higher throughputs, the capture efficiency from the processed flue gas is lower. Moreover, even with those improvements, Boundary Dam continues to operate with capture efficiencies below design specification.
Finally, availability of the capture system at Boundary Dam Unit 3 has been less than 100 percent. Between 2015 and 2022, annual availability of the capture plant relative to the EGU varied between 58 and 94 percent.[139] In 2024, average quarterly availability of the capture plant was about 85 percent.[140] Lower availabilities further contribute to lower total capture efficiencies.
The total capture efficiency at Boundary Dam Unit 3 has been less than 90 percent because the capture system has not processed all of the flue gas, the capture efficiency is still less than 90 percent when the capture system is operating even after applying fixes, and the availability of the capture system is less than 100 percent. Considering this, the EPA is proposing to conclude that the experience at Boundary Dam Unit 3 does not support 90 percent CCS as adequately demonstrated.
ii. CO2 Capture at Other Coal-Fired Steam Generating Units
To support the prior determination of 90 percent capture as adequately demonstrated, the EPA cited other applications of CCS at coal-fired steam generating units. These included CO2 capture at the Argus Cogeneration Plant (Trona, California) as well as at AES's Warrior Run (Cumberland, Maryland) and Shady Point (Panama, Oklahoma) plants.[141] In general, these projects were not of an equivalent size to commercial scale or, in the case of the Argus Cogeneration Plant, captured far less than 90 percent of CO2.
The EPA also cited Energy Policy Act of 2005 (EPAct05) assisted projects including a pilot-scale project at Plant Barry (Mobile, Alabama) and Petra Nova at W.A. Parish Unit 8 (Thompsons, Texas). The 25 MWe (megawatt-equivalent) project at Plant Barry is not reflective of commercial scale operation.
The Petra Nova project began operation in 2017 and was put into reserve shutdown ( i.e., idled) in May 2020, citing the poor economics of utilizing captured CO2 for enhanced oil recovery (EOR) at that time. On September 13, 2023, it was announced that the carbon capture facility at Petra Nova had been restarted.[142] A final report from the National Energy Technology Laboratory (NETL) details the challenges faced by the project over an initial 3-year period. These included leaks from heat exchangers, build-up of slurry and solids on the flue gas blower, and build-up of scale on various components.[143] While Petra Nova captured 92.4 percent of the CO2 from the 240 MWe flue gas it processed over a 3-year period, maintenance to address outages directly attributable to the CO2 capture facility were about 10 percent of the year on average over that timeframe. Accounting for those outages results in a total capture efficiency less than 90 percent. Furthermore, Petra Nova processes a 240 MWe portion of the flue gas from the 610 MW W. A. Parish Unit 8. At full load, that would equate to a capture efficiency of about 36 percent of the emissions from the coal-fired steam generating unit. Additionally, the 90 percent CCS BSER in the CPS was premised on the CO2 capture plant using integrated steam and electricity from the host EGU. However, Petra Nova uses an auxiliary natural gas-fired combustion turbine cogeneration unit to provide steam and electricity to the CO2 capture process and CO2 emissions from the auxiliary cogeneration unit were not captured. Accounting for emissions from the auxiliary cogeneration unit would lower the capture efficiency further.
It is unclear whether the auxiliary cogeneration unit provided additional operational flexibility in how the capture facility was able to respond to changes in flue gas conditions. Generally, automatic controls will adjust operation of the capture facility ( e.g., flue gas blower operation, steam load to the reboiler) in response to changing load and changes in flue gas flowrate and CO2 concentration.[144] When flue gas CO2 concentrations are at design levels, the capture facility can maintain design throughput ( i.e., on a lb CO2 /hr basis) with the host EGU operating as low as 50 percent load. At lower loads, the capture throughput decreases proportionally. Generally, the capture facility can operate between 50 to 100 percent of its design throughput. However, independent of the capture facility, challenges specific to the auxiliary cogeneration unit ( e.g., handling excess steam) were observed below 70 percent design throughput, limiting operation at lower throughputs. Furthermore, the auxiliary cogeneration unit contributed to additional outages (67 days in 2017, 1 day in 2018, and 20 days in 2019).
iii. Variations in Performance of Capture
The determinations in the CPS assumed that the CO2 capture system is available every hour the EGU is operational and performs at its design capture efficiency (or better) during each of those hours. The EPA is now proposing to find that it did not adequately account for variations in performance of CO2 capture that would result in a lower capture efficiency. In the CPS, the EPA did not account for changes in seasonal performance of the capture system. Both Boundary Dam Unit 3 and Petra Nova reported challenges during periods of high heat and humidity. At Boundary Dam Unit 3, “[t]he third quarter of 2024 (July 1 to September 30) included an abnormally hot and humid summer, resulting in a slightly lower daily average capture of 2,675 [metric tons] per day [. . .].” [145] For other quarters, daily average capture rates were 2,867 in the second quarter of 2024,[146] 2,484 metric tons per day in the fourth quarter of 2024,[147] and 2,553 metric tons per day in the first quarter of 2025.[148] Reasons for the lower average rate of capture in other quarters was not provided. At Petra Nova, while the target capture rate was maintained, a combination of factors including, “summer ambient conditions [. . .] resulted in the loss of excess margin in the cooling system stressing the ability to maintain [. . .] capture [. . .].” [149]
The EPA also did not account for periodic decreases in the performance of the CO2 capture system due to solvent degradation and fouling of components between maintenance cycles. Boundary Dam Unit 3 experienced challenges with respect to solvent foaming, biological fouling, scaling, and fouling from fly-ash.[150 151] While actions can be taken to address those issues, performance and capture efficiency would necessarily decrease in between treatments or maintenance ( e.g., fouling would steadily accumulate after cleaning). On average, the capture efficiency would therefore be less than optimal. SaskPower indicated that even after applying such fixes, Boundary Dam Unit 3 achieved at best a total capture efficiency of 83 percent when the capture system was operating.[152]
Furthermore, the EPA did not adequately account for periods of startup on the availability of the capture system and only provided a qualitative rationale for why its approach was reasonable.[153] After absorption, thermal energy (heat) in the form of steam is required to release the CO2 from the CO2 -rich solvent and electricity is required to power the compressor to compress the CO2 for transport via pipeline. However, prior to substantial production of steam and electricity, major components of the capture process may be offline. The EPA cited unspecified process techniques to address the availability of the capture system at startup.[154] Even assuming the capture system could consistently capture 90 percent CO2 when operating, any CO2 emitted prior to operation of the capture equipment would necessarily result in the average capture efficiency being less than 90 percent.
To consistently achieve 90 percent capture on average, the source would have to overperform during certain hours. The EPA cited results from Boundary Dam [155] that suggested higher capture efficiencies were achieved at lower throughputs. However, in its justification of the BSER, the EPA relied on an assumption that sources would be operating at high capacity throughout the course of the year. If that were the case, the hypothetical higher capture efficiencies potentially achieved at lower throughputs would not be observed when the CO2 capture system is operated in practice. To otherwise achieve an annual average capture efficiency of 90 percent, higher instantaneous capture efficiencies would likely need to be achievable. In the CPS, the EPA cited vendor statements of pilot tests for different commercial amine solvents where higher capture efficiencies were observed under specific conditions,[156] although those capture rates have not been demonstrated at the commercial scale over the course of a calendar year. Regardless, the experience at Boundary Dam has shown that it would be reasonable to anticipate that total capture efficiencies achieved in practice would be less than design specifications.
iv. Projects and Technologies in Development
There are no new post-combustion CCS applications in operation that are achieving 90 percent capture over the course of a calendar year at commercial scale. Rather, some of the planned projects cited in the CPS either have been abandoned or have faced other challenges. Project Diamond Vault was a planned project to capture up to 95 percent of CO2 emissions from the 600 MW Madison Unit 3 at Brame Energy Center in Lena, Louisiana.[157] The Front-End Engineering Design (FEED) study and current plans for carbon capture were abandoned in late 2024.[158] Project Tundra is a carbon capture project in North Dakota at the Milton R. Young Station lignite coal-fired power plant. The plan has been for the capture plant to treat the flue gas from the 455 MW Unit 2 and some additional flue gas from the 250 MW Unit 1 (an equivalent capacity of 530 MW in total).[159] TC Energy, a primary sponsor of Project Tundra, has since withdrawn from the project, although the project may continue to move forward depending on various factors.[160] The timeframes for several other CCS projects on coal-fired EGUs are unclear.[161]
Finally, the EPA based its prior determination on the assessment of CO2 capture using an amine solvent. While other technologies may be applied for post-combustion CO2 capture (membranes, molten salts, cryogenic methods), they are in general less developed and have yet to be applied at large scale. Some, such as membranes, while achieving lower capture efficiencies (closer to 70 percent for membranes), could have the benefit of fewer byproduct emissions and potentially lower water and/or energy requirements (process steam for heating) in comparison to amine solvent technologies.[162] The EPA notes that higher capture efficiencies of 90 percent could otherwise complicate commercial deployment of those other technologies.
b. Cost
The EPA has re-evaluated the costs and associated assumptions underlying the cost analysis of 90 percent CCS on existing long-term coal-fired steam generating units and is proposing to determine that the costs are not reasonable. In the CPS, costs for CCS on existing coal-fired steam generating units were determined assuming a best-case scenario. Specifically, the cost assessment assumed sources operated at high annual capacity factors (80 percent) and that the CO2 capture equipment was available and performing optimally every hour the EGU was operating. However, as detailed in the preceding section of this document, even with a design capture efficiency of 90 percent, the effective annual capture efficiency is lower, and under some circumstances significantly lower. Moreover, in 2023, coal-fired EGUs had an average capacity factor of 42 percent.[163] Lower capacity factors typically result in less revenue from electricity generation. Additionally, less CO2 captured (lower actual capture efficiency, lower EGU capacity factor, or both) results in higher costs due to reduced revenue from the IRC section 45Q tax credit.
In the CPS, the costs of CCS for existing coal-fired steam generating units accounted for the IRC 45Q tax credit by reducing the direct costs to the source for every ton of CO2 reduced, and costs were assessed over a period consistent with the 12-year availability of the IRC section 45Q tax credit. Additionally, rather than directly considering the costs for any operation after the expiration of availability of the IRC section 45Q tax credit for existing coal-fired steam generating units in the CPS, the EPA committed to review the requirements of the emission guidelines pertaining to existing coal-fired steam generating units by January 1, 2041, and posited that other mechanisms for potential valuation of EGUs operating with 90 percent CCS could arise in the future.[164] However, those assumptions are no longer reasonable because the EPA believes that coal-fired steam generating units are now more likely to operate longer than they will be able to claim the tax credit.
Under a more realistic set of assumptions that reflect, among other things, lower capacity factors and the limited availability of the IRC section 45Q tax credit,[165] the costs are substantially higher ($53.7/MWh, $77/ton of CO2 reduced) than those determined in the CPS and more than two times higher on a $/MWh basis than the costs the EPA has previously determined to be reasonable ($18.50/MWh).[166] Such high costs, particularly on a $/MWh basis, are not reasonable and do not support 90 percent CCS as BSER. Additionally, parties that challenged the CPS in the D.C. Circuit argued that the tax credit shifts the costs of CCS to taxpayers and that the EPA failed to account for those costs.[167] The EPA proposes that this type of cost calculation is an incorrect accounting for the costs of control as the EPA should not be considering tax credits when determining the cost of the control and is specifically taking comment on this position. Additionally, companies finance cost of controls in various different ways ( e.g., debt financing), and can obtain different interest rates that are historically not individually calculated when developing regulations. Moreover, legislation has been introduced in Congress to repeal the IRC section 45Q tax credit,[168] so that owners/operators cannot be assured that it will be available for purposes of compliance with the CPS. The costs of 90 percent CCS are not reasonable without taking into account the tax credit.
c. Infrastructure
The CPS determined that the capture, pipeline, and sequestration infrastructure necessary for the affected sources to meet the standards could be deployed by the compliance date of January 1, 2032. However, that position relied on the assumption of best-case scenarios. The equipment for the capture of CO2 takes time to design, permit, and install. In the CPS, the Agency assumed an aggressive timeline for deployment of capture equipment. Of the project schedules in a report developed by Sargent and Lundy,[169] the EPA based the timeline for installation of capture equipment off the more aggressive schedule that included a 12-month FEED study in place of an 18-month FEED study. The EPA further abbreviated that schedule by 2 months based on its own assumptions by shortening the duration for commercial arrangements from 9 months to 7 months, assuming sources immediately begin sitework as soon as permitting is complete, and accounting for 13 months (rather than 14) for startup and testing.[170] However, those assumptions may not reflect what is achievable for the average source, and those assumptions furthermore ignore any potential delays. Regarding transport of CO2, there is not an existing network of CO2 pipelines with the capacity capable of meeting the demands in the CPS. While there are about 5,000 miles of CO2 pipelines operational in the U.S.,[171] they are largely not located near existing coal-fired sources. Planned CO2 pipelines continue to face delays due to factors including State permitting and the challenges associated with eminent domain authority and negotiating rights-of-way. Summit Carbon Solutions' application for a pipeline in South Dakota was paused after the State banned eminent domain for CO2 pipelines.[172 173] A similar law is progressing through the Iowa State legislature.[174] Furthermore, while the U.S. has broad availability of the geologic formations that may potentially be suitable for CO2 sequestration, existing storage infrastructure for sequestration of CO2 is limited. In the CPS, the EPA based its assumptions on the availability of “potential” storage sites; however, it takes time to characterize those sites, and it is possible that the nearest available “potential” site may not ultimately be suitable. Development of planned storage sites may also face delays due to permitting and other issues. Considering these factors, it is unlikely that infrastructure necessary for CCS can be deployed by the January 1, 2032, compliance date, and the EPA is therefore proposing that the degree of emission limitation in the CPS for long-term coal-fired steam generating units is not achievable.
d. Conclusion
Because the EPA is proposing to find that 90 percent CCS is not an adequately demonstrated system of emission reduction and that the cost of 90 percent CCS for long-term coal-fired steam generating units is not reasonable, it is proposing to determine that 90 percent carbon capture and storage is not BSER for long-term coal-fired steam generating units. Furthermore, because it is unlikely that infrastructure necessary for CCS can be deployed by the January 1, 2032, compliance date, the EPA is proposing to determine that the degree of emission limitation in the CPS for long-term coal-fired steam generating units is not achievable. Consequently, the EPA is proposing to accordingly repeal the requirements in emission guidelines pertaining to long-term coal-fired steam generating units. In this proposed repeal, the EPA is addressing only CCS with 90 percent capture, because that was the BSER determination in the CPS. Whether CCS with other, lower rates of capture could be the BSER is outside the scope of this repeal action.
The EPA solicits comment on the arguments for repealing the 90 percent CCS-based requirements of the emission guidelines pertaining to long-term coal-fired steam generating units. The EPA solicits comment on its proposed conclusion that 90 percent CCS is not an adequately demonstrated system of emission reduction. In particular, the EPA is requesting input on its proposal that the performance of the CO2 capture system at Boundary Dam Unit 3 is not a sufficient basis for determining that 90 percent CCS is adequately demonstrated for coal-fired steam generating units. The Agency further solicits comment on the status and performance of CCS projects and technologies more generally, especially on projects that inform the question of whether 90 percent CCS is adequately demonstrated. The EPA is also requesting comment on its proposed conclusions regarding the impacts of startup and of variability more generally on CCS performance, as well as on methods to control process parameters (pressure, velocity, etc. ) and capture efficiencies under startup and variable load, and what differences in those methods exist where the CO2 capture system processes all or part of the flue gas.
The EPA also solicits comment on its proposed conclusion that the cost of 90 percent CCS for long-term coal-fired steam generating units is not reasonable, including on any considerations related to taking the IRC section 45Q tax credit into account when calculating the costs of CCS in the context of a BSER analysis. The EPA further requests comment on the costs of CCS for existing coal-fired steam generating units, including on the interplay of design capture efficiency, actual capture efficiency, and cost effectiveness.
The EPA also solicits comment on its proposed determination that, because the infrastructure for CCS is unlikely to be deployed by the January 1, 2032 compliance date, the degree of emission limitation is not achievable for long-term coal-fired steam generating units.
2. Natural Gas Co-Firing-Based Requirements for Existing Medium-Term Coal-Fired Steam Generating Units
The EPA is proposing to determine that 40 percent natural gas co-firing is not the BSER for medium-term coal-fired steam generating units. As part of determining the BSER, the EPA takes into account energy requirements.[175] As discussed in section III.A. of this preamble, energy requirements may include the impacts, if any, of the air pollution controls on the source's own energy needs. The EPA may further assess energy requirements as they pertain to the energy system as a whole, on a sector-wide, regional, or national basis, as appropriate. In the ACE Rule, the EPA concluded that natural gas co-firing in a coal-fired steam generating unit, particularly in high proportions, is an inefficient use of natural gas.[176] While coal-fired steam generating units may use small amounts of natural gas for startup purposes, relatively few use natural gas in proportions that would have been consistent with the requirements for medium-term coal-fired steam generating units in the CPS. The higher hydrogen content of natural gas relative to coal reduces the efficiency of the boiler; 40 percent natural gas co-firing would result in a decrease in the boiler efficiency by about 2 percent (to a total efficiency less than 40 percent). In the CPS, the EPA argued that this decline in efficiency could be partially offset by decreases in auxiliary power demand related to coal handling and emissions controls but acknowledged that there was uncertainty about whether this would be true in all circumstances.[177] The EPA explained that the determination in the ACE Rule that natural gas co-firing was an inefficient use of gas was informed by the more limited supply of natural gas and the larger amount of coal-fired EGU capacity and generation that were present when that rule was promulgated in 2019 relative to when the CPS was finalized. The CPS rationale went on to say that, since the expected supply of natural gas had expanded since 2019 and the capacity and generation of existing coal-fired EGUs had decreased, the total mass of natural gas that might be required to implement co-firing could be reduced to reasonable levels.[178]
The EPA now proposes to find the reasoning in the CPS regarding the availability of natural gas and the demand that would be associated with 40 percent co-firing natural gas in coal-fired steam boilers to be an insufficient basis for determining there would be no significant adverse consequences related to energy requirements. The EPA believes that coal-fired steam generating unit capacity and generation will continue to comprise a substantial portion of the nation's electricity supply; a number of coal-fired steam generating units are delaying or canceling their scheduled retirements in light of increasing electricity demand.[179] Additionally, the U.S. Energy Information Administration (EIA) projects that the demand for natural gas, driven by domestic consumption and liquefied natural gas exports, will grow both in the near term [180] as well as in the long term.[181] Thus, it is not reasonable to assume that the total volume of natural gas that would be needed to implement co-firing would be reduced in the CPS relative to what the EPA expected in 2019 or that diverting that natural gas from other uses would have no significant adverse impacts on the energy system. Furthermore, the fact remains that natural gas may be more efficiently used in natural gas-fired combined cycle EGUs. New natural gas-fired combined cycle EGUs generally have operating efficiency of greater than 50 percent. For base load units, heat rates in new natural gas-fired combined cycle EGUs are approximately 6,700 Btu/kWh whereas heat rates in existing 100 percent natural gas-fired steam generating units can be more than about 11,000 Btu/kWh. The use of large amounts of natural gas for combustion in combined cycle EGUs is more efficient. Considering the energy requirements, the EPA is proposing that 40 percent natural gas co-firing is not a suitable BSER for existing coal-fired steam generating units. The EPA solicits comment on its proposed repeal of the 40 percent co-firing BSER. In particular, the Agency requests input on considerations related to the supply of and demand for natural gas, and on how the diversion of natural gas to coal-fired steam generating units would impact the energy system. The EPA additionally requests any information related to the relative efficiency of co-firing natural gas versus using it in a combustion turbine to generate electricity.
Additionally or in the alternative, the EPA proposes to find that 40 percent co-firing with natural gas is not the BSER for existing medium-term coal-fired steam generating EGUs because it constitutes generation shifting and is therefore beyond the EPA's authority to require under CAA section 111.[182] While the EPA considered whether co-firing natural gas in a coal-fired boiler would constitute generation shifting in the CPS and concluded that it would not,[183] the Agency has reexamined the question and is now proposing to find that a requiring a utility to use a completely different fuel type that in many cases requires significant new infrastructure to be added to supply the facility, and can require modification/addition of burners to the boiler, is impermissible generation shifting. The parties that challenged the validity of the CPS in the D.C. Circuit similarly distinguished fuel switching between the same type of fuel ( e.g., switching from high-sulfur coal to lower sulfur-coal) from fuel switching between different types of fuel ( e.g., switching from coal to gas in a steam generating boiler) [184] and argued that the latter runs afoul of the Supreme Court's decision in West Virginia [185] that the EPA cannot base BSER on shifting generation. Similarly, the EPA proposes to find that a BSER based on forcing a coal-fired EGU to become a partially natural gas-fired steam generating units shifts that unit's generation from coal to natural gas and is impermissible under the Court's precedent because it is an attempt to dictate the market share of coal versus natural gas. The EPA requests comment on its proposed conclusion that 40 percent natural gas co-firing cannot be the BSER for a coal-fired steam generating units because it constitutes generation shifting.
Finally, the EPA proposes to determine that a degree of emission limitation based on 40 percent natural gas co-firing is not achievable because it is unlikely that the pipeline infrastructure necessary can be deployed by the compliance date of January 1, 2030. In the CPS, the EPA estimated that the maximum aggregate amount of pipeline capacity needed to implement 40 percent natural gas co-firing would be nearly 14.7 billion cubic feet per day, which would require about 3,500 miles of pipeline.[186] The CPS further assumed that sources could obtain the permits necessary to construct these pipelines in one year and that the actual construction would take one year or less.[187] While the EPA's timelines were based on average permitting, approval, and construction timeframes,[188] the EPA now believes that projects facing reasonably foreseeable adverse conditions could take longer (up to 5 years for approval and construction).[189] Further, the Agency did not consider that these projects would be undertaken in addition to projects necessary to meet the increasing demand for natural gas for other purposes. Because the EPA now believes that these factors, among potentially others, make it unlikely that the necessary additional pipeline infrastructure for 40 percent natural gas co-firing can be deployed by the January 1, 2030, compliance date, it is proposing to determine that the degree of emission limitation in the CPS for medium-term coal-fired steam generating EGUs is not achievable. The EPA solicits comment on this proposed determination.
For these reasons, the EPA is proposing to repeal the requirements of the emission guidelines pertaining to medium-term coal-fired steam generating units. In this action, the EPA is addressing specifically 40 percent co-firing, because that was the BSER determination in the CPS. Whether co-firing at other percentages could be the BSER is outside the scope of this action.
3. Requirements for Existing Natural Gas- and Oil-Fired Steam Generating Units
As noted above, in the CPS, the EPA finalized routine methods of operation and maintenance as the BSER for intermediate load and base load natural gas- and oil-fired steam generating units, and uniform fuels as the BSER for low load natural gas- and oil-fired steam generating units. Because those BSERs were consistent with what most sources were already doing ( i.e., business-as-usual), there was no additional cost associated with them, and they resulted in a degree of emission limitation that would have resulted in few, if any, emission reductions for any of the units.
In 2023, natural gas and oil-fired steam generating units accounted for 1.2 percent of total electric generation in the U.S. and 3.5 percent of power sector CO2 emissions in the U.S.[190] This share of both generation and emissions in the U.S. is projected to decrease even further over the forecast period as outlined by the EPA's projections of power sector behavior using the Integrated Planning Model (IPM) in the Summer 2023 Reference Case.[191]
Thus, natural gas- and oil-fired steam generating units represent a very small portion of the source category from both a generation and an emissions perspective. Moreover, the business-as-usual BSERs and presumptive standards finalized in CPS would result in little to no emission reductions. While the EPA is not proposing to find the BSERs or presumptive standards in the CPS unreasonable or inappropriate for these sources, the Agency believes it would be imprudent to require States to develop State plans solely for these units. The development of State plans involves a meaningful expenditure of resources by States and regulated entities, including time and money for development of engineering analyses, for conducting public hearings and meaningful engagement, for drafting permits or other legal instruments, and for getting necessary legislative or other approvals.[192] At this time, requiring States to expend resources to develop plans to regulate just these sources would be unduly burdensome from an administrative standpoint given that such plans would most likely have no significant benefit. Thus, the EPA is proposing to repeal the requirements of the emission guidelines pertaining to natural gas- and oil-fired steam generating units. The EPA solicits comment on the arguments for repealing the requirements of the emission guidelines pertaining to natural gas- and oil-fired steam generating units.
4. Conclusion
Because the EPA is proposing to repeal the BSER determinations and related requirements for existing long-term and medium-term coal-fired steam generating units and is further proposing to repeal the requirements for existing oil- and natural gas-fired steam generating units, the Agency is proposing to repeal the emission guidelines for steam generating units in 40 CFR part 60, subpart UUUUb, in their entirety.
C. CCS-Based Requirements for Coal-Fired Steam Generating Units Undertaking a Large Modification
In the CPS, the EPA finalized revisions to the standards of performance for coal-fired steam generating units that undertake a large modification ( i.e., a modification that increases its hourly emission rate by more than 10 percent) to be consistent with the 90 percent CCS requirements for existing coal-fired steam generating units. As discussed in section V.B.1 of this preamble, the EPA is proposing to find that 90 percent CCS is not an adequately demonstrated system of emission reduction and that the cost of 90 percent CCS is not reasonable. For these reasons, the EPA is also proposing to repeal the CCS-based standards of performance for coal-fired steam generating units undertaking a large modification. The EPA solicits comment on its rationale for repealing the CCS-based standards of performance for coal-fired steam generating units undertaking a large modification.
D. Phase 2 CCS-Based Requirements for New Combustion Turbine EGUs
The EPA is proposing to determine that CCS with 90 percent capture is not the phase 2 BSER for base load combustion turbine EGUs because it has not been adequately demonstrated and the costs are not reasonable. Furthermore, because it is unlikely that infrastructure necessary for CCS can be deployed by the January 1, 2032, compliance date, the EPA is proposing to determine that the phase 2 standards of performance in the CPS for new base load combustion turbines are not achievable. Consequently, the EPA is proposing to repeal the phase 2 standards for base load combustion turbine EGUs.
1. Adequately Demonstrated
For many of the same reasons described in section V.B.1.a of this preamble, CCS with 90 percent capture has not been adequately demonstrated for new combustion turbine EGUs. In the CPS, the 90 percent CCS BSER for new base load combustion turbines was based on the same CO2 capture technology as the 90 percent CCS BSER for existing coal-fired steam generating units. As evidence to support 90 percent CCS on new combustion turbine EGUs as adequately demonstrated in the CPS, the EPA relied on translation of the experience of amine-based capture at coal-fired EGUs. However, as noted in section V.B.1.a of this preamble, the EPA has re-assessed the evidence and is proposing to determine that 90 percent CCS has not been adequately demonstrated for existing coal-fired steam generating units. Therefore, the record for CCS on existing coal-fired steam generating units also does not support 90 percent CCS as adequately demonstrated for new base load combustion turbine EGUs. In the CPS, it was argued that fewer contaminants (particulates, trace metals, SO2) in the post-combustion flue gas of natural gas-fired stationary combustion turbines would result in fewer challenges than those experienced with CO2 capture at coal-fired steam generating units. However, the exhaust gas composition for natural gas-fired combustion turbines is different in other ways than for coal-fired ( i.e., lower CO2 concentrations and higher oxygen concentrations), that make CO2 capture more challenging. Furthermore, combustion turbines are able to change loads more rapidly and start and stop more frequently than coal-fired steam generating units. These factors could create additional challenges for operating CO2 capture equipment, and demonstrated capture rates from coal-fired EGUs do not necessarily demonstrate that the same capture rates could be achieved from base load combustion turbines. For example, the startup of the CO2 system may be slower than the startup of a combined cycle combustion turbine EGU, so that CO2 emitted during startup may not be captured. The examples of CO2 capture applied directly on combustion turbine EGUs also do not support a conclusion that 90 percent capture has been adequately demonstrated. Primarily, there have been limited examples of applications of CCS to combustion turbine EGUs and none of them have been at sufficient scale to demonstrate a 90 percent total capture rate, which is the specified BSER.
In the CPS, the argument that 90 percent capture was adequately demonstrated at combustion turbine EGUs relied in part on the capture plant at the Bellingham combined cycle turbine. This capture plant was only 40 MWe, processing only approximately 10 percent of the maximum flue gas volume and smaller than most combined cycle turbine EGUs that would have potentially been subject to the requirements of the rule. Particularly considering the relatively small portion of flue gas processed, it is plausible that the amount of flue gas processed by the capture system was controlled independent of changes in load of the host EGU. As noted in section V.B.1.a.i of this document, carbon capture systems with integrated steam and power that are required to process all of the flue gas at all hours may not have the same flexibility in process control that is available to capture systems processing a portion of the flue gas. The EPA otherwise cited pilot studies,[193] but such short-duration demonstrations may not be subject to the same variations in conditions that occur at scale. Furthermore, the experience at Boundary Dam Unit 3 shows that it is reasonable to anticipate that larger scale deployments of CO2 capture solvent technologies may underperform. The EPA also cited planned projects, but those yet-to-be-operational projects do not show that 90 percent CCS has been adequately demonstrated. The EPA also noted the NET Power Cycle as a potential technology for meeting the standard based on 90 percent capture. However, that technology has yet to be operated at scale and a planned project is facing delays.[194] Similarly, none of the other projects that the EPA cited have yet commenced construction, either on new NGCC units or on retrofits to existing plants. Considering these factors, the EPA is proposing to determine that the record does not support the conclusion that CCS with 90 percent capture has been adequately demonstrated for new base load combustion turbine EGUs.
2. Cost
The EPA has re-evaluated the costs and associated assumptions underlying the cost analysis of 90 percent CCS on new base load combustion turbines and is proposing to determine that the costs are not reasonable. As part of the phase 1 BSER analysis for combustion turbines, the EPA reviewed the performance and costs of efficient generation for combustion turbines with base load ratings ranging from 490 to 6,100 MMBtu/h. Based on the phase 1 BSER analysis, the EPA established higher emission standards for base load turbines with base load ratings of less than 2,000 MMBtu/h. However, when evaluating the phase 2 BSER based on the use of CCS, the EPA based the cost effectiveness presented in the preamble only on combustion turbines with base load ratings of 4,600 and 6,100 MMBtu/h.[195] The costs of the capture equipment and the costs to transport and store the capture CO2 increase on a $/ton basis for smaller base load combustion turbines. The costs of control on a $/MWh and $/ton basis for the smaller model combustion turbine facilities used in the phase 1 analysis are approximately double the highest costs the EPA reported in the technical support document. The estimated compliance costs for the primary case for the 490 and 1,000 MMBtu/h model combined cycle plants are $73/MWh and $220/tonne and $55/MWh and $160/tonne, respectively, which are significantly higher than the highest costs presented in the CPS—$19/MWh and $63/tonne.[196] Consequently, the EPA is now proposing to find that, in the CPS, it did not establish that the cost of 90 percent CCS is reasonable for smaller base load combustion turbines.
Even without factoring in the previously cited omissions, the primary costs of 90 percent CCS for combustion turbines were a best-case scenario.[197] As described in section V.B.1 of this preamble, the EPA assumed in the CPS that capture equipment has 100 percent availability. Reducing the availability of the capture equipment to 75 percent increases the compliance cost by approximately $2/MWh and $20/tonne ($18/ton) compared to the estimated compliance costs presented in the CPS.[198] These costs exceed the thresholds the EPA cited as reasonable in previous Agency rulemakings.
In addition, when conducting the BSER analysis the Agency assumed the long term capacity factors of new combined cycle turbines would be the same as historical long term capacity factors with and without CCS (51 percent). In the primary policy case, the EPA compared the costs and emissions impacts assuming a new combined cycle turbine with CCS operates at an 80 percent capacity factor for the first 12 years and a 31 percent capacity factor for the next 18 years. The EPA compared the levelized cost of electricity of this model facility to a combined cycle without CCS that operates at a 63 percent capacity factor for the first 12 years, a 47 percent capacity factor for the next 13 years, and a 37 percent capacity factor for the final 5 years. However, the EPA did not use an energy market model to perform a dispatch analysis to support the capacity factors used in the CPS costing analysis. Assuming the full value of the IRC section 45Q tax credit, the incremental generating costs of combined cycle turbines with carbon capture are generally higher than those of nuclear EGUs but lower than those of coal-fired EGUs without carbon capture. While the capacity factors of nuclear EGUs are higher than the 80 percent used by the Agency, the recent capacity factors of coal-fired EGUs are much lower, calling into question the capacity factors used by the Agency. Furthermore, even accounting for the full value of the IRC section 45Q tax credit, the estimated incremental generating costs of the 490 MMBtu/h combined cycle turbine with carbon capture are higher than the incremental generating costs of the model plant without CCS. Additionally, during periods when the IRC section 45Q tax credit is not available, it is unlikely that combined cycle turbines with carbon capture would operate at the 31 percent capacity factor used in the CPS costing analysis. The incremental generating costs of all the model combined cycle turbines with carbon capture exceed the incremental generating costs of simple cycle turbines. Simple cycle turbines generally operate at capacity factors of less than 10 percent. Considering that a dispatch modeling analysis would likely result in lower capacity factors and higher compliance costs that further do not support 90 percent CCS as cost reasonable.
As noted above in connection with the costs of CCS for existing coal-fired plants, in the CPS, the IRC section 45Q tax credits were accounted for by reducing the direct costs to the source for every ton of CO2 captured. However, the EPA no longer believes that accounting for tax credits in determining BSER is appropriate, as discussed in section V.B.1.b of this preamble. Additionally, petitioners of CPS argued that the tax credit shifts the costs of CCS to taxpayers and that EPA failed to account for those costs. If the availability of the tax credit is not accounted for by reducing the costs to sources of implementing 90 percent CCS, then the costs of this system of emission reduction are clearly unreasonable.
3. Infrastructure
Consistent with the arguments presented in section V.B.1.c of this preamble regarding CCS infrastructure for existing coal-fired steam generating units, there is also limited infrastructure available to meet the requirements for the phase 2 CCS-based requirements for base load combustion turbines. While new combustion turbines do not have the additional timeline requirement of State plan development, the timeline in the CPS for the design, permitting, and installation of capture, pipelines, and sequestration for new combustion turbines assumes a best-case scenario. Furthermore, pipeline and sequestration infrastructure remain limited. In the CPS, the EPA argued that new combustion turbines could site preferentially near potential storage sites. However, this did not consider the availability of sufficient quantities of natural gas or the availability of sufficient transmission capacity to transmit power to end users for new base load combustion turbines specifically located near potential storage sites.[199] The analysis also ignores the associated line loss [200] ( i.e., inefficiency) due to potentially longer transmission lines and further ignores the requirements of siting electricity generating sources in locations necessary to meet local grid reliability considerations. Considering these factors, it is unlikely that infrastructure necessary for CCS can be deployed by the January 1, 2032, compliance date, and the EPA is therefore proposing to determine that phase 2 standards of performance in the CPS for new base load combustion turbines are not achievable.
4. Conclusion
The EPA is proposing to determine that 90 percent CCS has not been adequately demonstrated nor shown to have reasonable costs and is not the second component of BSER for base load stationary combustion turbines. Furthermore, because it is unlikely that the infrastructure necessary for CCS can be deployed by the January 1, 2032, compliance date, the EPA is proposing to determine that the phase 2 standards of performance in the CPS for new base load combustion turbines are not achievable. Accordingly, the Agency is proposing to repeal the phase 2 requirements for base load combustion turbines.
The EPA solicits comment on the arguments for the proposed repeal of the phase 2 standards for base load combustion turbine EGUs. Specifically, the EPA solicits comment on its proposed conclusion that 90 percent CCS is not an adequately demonstrated system of emission reduction for base load stationary combustion turbine EGUs. The EPA further solicits comment on the status of any projects or developments regarding CCS on stationary combustion turbines, as well as on the operation of CO2 capture equipment under the conditions ( e.g., variable load, startups) that would affect base load stationary combustion turbines. The EPA further solicits comment on its proposed conclusion that the cost of 90 percent CCS for new base load combustion turbines is not reasonable, including on any considerations related to taking the IRC section 45Q tax credit into account when calculating the costs of CCS in the context of a BSER analysis. The EPA further requests comment on the costs of CCS, including on the interplay of design capture efficiency, actual capture efficiency, and cost effectiveness. The EPA also solicits comment on its proposed determination that, because it is unlikely that the infrastructure for CCS can be deployed by the January 1, 2032, compliance date, the phase 2 standards of performance are not achievable for new base load combustion turbines.
VI. Request for Comments
We solicit comments on this proposed action. Specifically, we are soliciting comment on the following:
Primary Proposal
• The proposed interpretation of CAA section 111 to require, or at least authorize the EPA to require, an Administrator's determination of significant contribution for the air pollutant under consideration (C-1)
• Whether CAA section 111 requires a significant contribution finding for the fossil fuel-fired EGU source category first created in the 2015 NSPS (C-2)
• The proposed interpretation of what it means for a source category to contribute “significantly” to dangerous air pollution (C-3)
• Any other relevant arguments and information, including with respect to legitimate reliance interests on the 2015 NSPS and CPS (C-4)
• The interpretation that it is appropriate to regulate emissions of an air pollutant from a source category only if those emissions contribute significantly to dangerous air pollution (C-5)
• The textual requirements of CAA section 111(b), relevant context from the remainder of CAA section 111, and relevant structural arguments regarding the CAA more generally, including statutory provisions not specifically discussed in this proposal (C-6)
• The alternative interpretation of CAA section 111 to at least authorize the EPA to require a determination that an air pollutant significantly contributes to dangerous air pollution as a predicate to imposing standards of performance including with respect to whether the text of CAA section 111(b) confers sufficient discretion on the EPA and whether additional provisions of CAA section 111 or the CAA more generally inform the scope of that discretion (C-7)
• Whether the EPA erred in determining that it was not required to make a significant contribution finding in the 2015 NSPS or in not revisiting the issue in the CPS, and whether or not it would be appropriate to exercise its discretion here by requiring such a finding for GHG emissions from the fossil fuel-fired power plant source category (C-8)
• The change in interpretation from the 2015 NSPS, which allowed the EPA to regulate additional pollutants without ever having made a significant contribution finding for that pollutant, including any specific reliance interests relevant to the interpretation taken in the 2015 NSPS, as carried over into the CPS, and the relative strength of the rationale for these respective interpretations (C-9)
• Whether and how the Supreme Court's recent decision inLoper Bright should inform the EPA's approach to interpreting CAA section 111 and selecting which interpretation better reflects the best reading of the statute (C-10)
• Whether its proposed interpretation of CAA section 111(b)(1)(A) as requiring a pollutant-specific significant contribution finding is necessary to avoid implicating the major questions doctrine as articulated by the Supreme Court inWest Virginia. Specifically, whether the proposed interpretations in this section are necessary to prevent the Agency from improperly expanding its regulatory authority by determining that emissions of de minimis amounts of air pollutants, or non-harmful substances that may nevertheless be defined as air pollutants, should be regulated under CAA section 111 (C-11)
• The strength of this interpretation and its application to GHG emissions by EGUs (C-12)
• The proposed determination that GHG emissions from the EGU source category do not “contribute significantly” to dangerous air pollution under CAA section 111(b)(1)(A) (C-13)
Alternative Proposal
• The BSER determinations or standards of performance and related requirements for new and reconstructed intermediate load and low load fossil fuel-fired stationary combustion turbines (C-13)
• The BSER determinations or standards of performance and related requirements for phase 1 for new and reconstructed base load fossil fuel-fired stationary combustion turbines (C-14)
Alternative Proposal—Carbon Capture and Storage
• The position that CPS included an incorrect accounting for the costs of control as the EPA should not be considering tax credits when determining the cost of the control (C-15)
• The arguments for repealing the 90 percent CCS-based requirements of the emission guidelines pertaining to long-term coal-fired steam generating units (C-16)
• The proposed conclusion that 90 percent CCS is not an adequately demonstrated system of emission reduction (C-17)
• The proposal that the performance of the CO2 capture system at Boundary Dam Unit 3 is not a sufficient basis for determining that 90 percent CCS is adequately demonstrated for coal-fired steam generating units (C-18)
• The status and performance of CCS projects and technologies more generally, especially on projects that inform the question of whether 90 percent CCS is adequately demonstrated (C-19)
• The proposed conclusions regarding the impacts of startup and of variability more generally on CCS performance, as well as on methods to control process parameters (pressure, velocity,etc. ) and capture efficiencies under startup and variable load, and what differences in those methods exist where the CO2 capture system processes all or part of the flue gas (C-20)
• The proposed conclusion that the cost of 90 percent CCS for long-term coal-fired steam generating units is not reasonable, including on any considerations related to taking theIRC section 45Q tax credit into account when calculating the costs of CCS in the context of a BSER analysis (C-21)
• The costs of CCS for existing coal-fired steam generating units, including on the interplay of design capture efficiency, actual capture efficiency, and cost effectiveness (C-22)
• The proposed determination that, because it is unlikely that the infrastructure for CCS can be deployed by the January 1, 2032, compliance date, the degree of emission limitation is not achievable for long-term coal-fired steam generating units (C-23)
Alternative Proposal—Natural Gas Co-Firing
• The proposed repeal of the 40 percent co-firing BSER (C-24)
• Considerations related to the supply of and demand for natural gas, and on how the diversion of natural gas to coal-fired steam generating units would impact the energy system (C-25)
• The relative efficiency of co-firing natural gas versus using it in a combustion turbine to generate electricity (C-26)
• The proposed conclusion that 40 percent natural gas co-firing cannot be the BSER for a coal-fired steam generating units because it constitutes generation shifting (C-28)
• The determination that a degree of emission limitation based on 40 percent natural gas co-firing is not achievable because it is unlikely that the pipeline infrastructure necessary can be deployed by the compliance date of January 1, 2030 (C-29)
• Considerations related to the achievability of the presumptive standard of performance for medium-term coal-fired steam generating EGUs in the CPS (C-30)
Alternative Proposal—Natural Gas- and Oil-Fired Steam EGUs
• The arguments for repealing the requirements of the emission guidelines pertaining to natural gas- and oil-fired steam generating units (C-31)
Alternative Proposal—Coal-Fired Steam Generating Units Undertaking a Large Modification
• The rationale for repealing the CCS-based standards of performance for coal-fired steam generating units undertaking a large modification (C-32)
Alternative Proposal—Phase 2 Standards
• The arguments for the proposed repeal of the phase 2 standards for base load combustion turbine EGUs (C-33)
• The proposed conclusion that 90 percent CCS is not an adequately demonstrated system of emission reduction for base load stationary combustion turbine EGUs (C-34)
• The status of any projects or developments regarding CCS on stationary combustion turbines (C-35)
• The operation of CO2 capture equipment under the conditions ( e.g., variable load, startups) that would affect base load stationary combustion turbines (C-36)
• The proposed conclusion that the cost of 90 percent CCS for new base load combustion turbines is not reasonable, including on any considerations related to taking theIRC section 45Q tax credit into account when calculating the costs of CCS in the context of a BSER analysis (C-37)
• The costs of CCS, including on the interplay of design capture efficiency, actual capture efficiency, and cost effectiveness (C-38)
• The proposed determination that, because it is unlikely that the infrastructure for CCS can be deployed by the January 1, 2032, compliance date, the phase 2 standards of performance are not achievable for new base load combustion turbines (C-39)
VII. Statutory and Executive Order Reviews
Additional information about these statutes and Executive Orders can be found at https://www.epa.gov/laws-regulations/laws-and-executive-orders.
A. Executive Order 12866: Regulatory Planning and Review and Executive Order 13563: Improving Regulation and Regulatory Review
This action is a significant regulatory action under E.O. 12866 section 3(f)(1) that was submitted to the Office of Management and Budget (OMB) for review. Any changes made in the course of E.O. 12866 review have been documented in the docket. The EPA prepared an analysis of the potential costs and benefits associated with this action. This analysis, Regulatory Impact Analysis for the Proposed Repeal of Greenhouse Gas Emissions Standards for Fossil Fuel-Fired Electric Generating Units, is available in the docket.
The estimated economic impacts detailed in this section represent the projected cost savings of the primary proposal as well as represent the projected impacts of the alternative proposal. For additional information, see section 2.3.2 of the RIA for this action.
We present the estimated present value (PV) and equivalent annualized value (EAV) of the projected cost savings of repealing the GHG standards for EGUs calculated for the years 2026 to 2047 in 2024 dollars discounted to 2025. In addition, the Agency presents the results for specific snapshot years, consistent with historical practice. These snapshot years are 2028, 2030, 2035, 2040 and 2045. The full benefit-cost analysis, which is contained in the RIA for this rulemaking, is available in the docket.
The power industry's compliance costs are represented in this analysis as the change in electric power generation costs due to the proposed repeal of the GHG standards for EGUs. In simple terms, these costs are an estimate of the decreased power industry expenditures resulting from the repeal of the GHG requirements for EGUs.[201]
In table 4-4 of the RIA, we present the monetized impact estimates associated with the emissions of PM2.5 and O3 for the proposed action.
Table 1 presents the estimates of compliance cost savings of this proposed action. This table presents the PV and EAV of these estimated impacts for the timeframe of 2026 to 2047 discounted at 3 percent and 7 percent in 2024 dollars discounted to 2025.
Table 1—Present Value (PV) and Equivalent Annualized Value (EAV) of the Compliance Cost Savings
[Billion 2024$, discounted to 2025]
3% Discount rate 7% Discount rate
PV EAV PV EAV
19 1.2 9.6 0.87
Note: The estimated cost savings detailed in this table represent the projected cost savings of the proposal and represent the projected cost savings of the alternative proposal, as described in the RIA. These values do not include all impacts of the proposal, such as effects on emissions, which are further described in section 4 of the RIA.
B. Executive Order 14192: Unleashing Prosperity Through Deregulation
This action is expected to be an Executive Order 14192 deregulatory action. Details on the estimated cost savings of this proposed action can be found in the EPA's analysis of the potential costs and benefits associated with this action. This analysis, Regulatory Impact Analysis for the Proposed Repeal of Greenhouse Gas Emissions Standards for Fossil Fuel-Fired Electric Generating Units, is available in the docket.
C. Paperwork Reduction Act (PRA)
The information collection activities in this proposed action have been submitted for approval to the Office of Management and Budget (OMB) under the PRA. In the primary proposal, the EPA proposes to amend the information collection requests for 40 CFR part 60, subparts TTTT, TTTTa, and UUUUb. In the alternative proposal, the EPA proposes to amend the information collection request for 40 CFR part 60, subpart UUUUb. Details on the amendments for these subparts are described below.
An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. The OMB control numbers for the EPA's regulations in 40 CFR are listed in 40 CFR part 9.
Submit your comments on the Agency's need for this information, the accuracy of the provided burden estimates and any suggested methods for minimizing respondent burden to the EPA using the docket identified at the beginning of this rule. The EPA will respond to any ICR-related comments in the final rule. You may also send your ICR-related comments to OMB's Office of Information and Regulatory Affairs using the interface at www.reginfo.gov/public/do/PRAMain. Find this particular information collection by selecting “Currently under Review—Open for Public Comments” or by using the search function. OMB must receive comments no later than [insert date 30 days after publication in the Federal Register ].
1. 40 CFR Part 60, Subpart TTTT
The Information Collection Request (ICR) document that the EPA prepared has been assigned EPA ICR number 2465.06. You can find a copy of the ICR in the docket for this rule, and it is briefly summarized here.
Respondents/affected entities: Owners and operators of fossil fuel-fired EGUs.
Respondent's obligation to respond: No longer mandatory.
Estimated number of respondents: 92.
Frequency of response: No response required.
Total estimated burden: 3,130 hours (per year). Burden is defined at 5 CFR 1320.3(b).
Total estimated cost: $376,000 (per year), includes $0 annualized capital or operation & maintenance costs.
2. 40 CFR Part 60, Subpart TTTTa
The ICR document that the EPA revised is EPA ICR number 2771.01. You can find a copy of the ICR in the docket for this rule, and it is briefly summarized here.
Respondents/affected entities: Owners and operators of fossil fuel-fired EGUs.
Respondent's obligation to respond: No longer mandatory.
Estimated number of respondents: 2.
Frequency of response: No response required.
Total estimated burden reduction: 110 hours (per year). Burden is defined at 5 CFR 1320.3(b).
Total estimated cost savings: $12,000 (per year), includes $0 annualized capital or operation & maintenance costs.
3. 40 CFR Part 60, Subpart UUUUb
The ICR document that the EPA revised is EPA ICR number 2770.01. You can find a copy of the ICR in the docket for this rule, and it is briefly summarized here.
This action proposes to repeal requirements on state governments with existing fossil fuel-fired steam generating units. The information collection requirements are based on the recordkeeping and reporting burden reduction associated with developing, implementing, and enforcing a state plan to limit GHG emissions from these existing EGUs.
Respondents/affected entities: States with one or more designated facilities covered under subpart UUUUb.
Respondent's obligation to respond: No longer mandatory.
Estimated number of respondents: 43.
Frequency of response: No response required.
Total estimated burden reduction: 89,000 hours (per year). Burden is defined at 5 CFR 1320.3(b).
Total estimated cost savings: $11.7 million, includes $35,000 annualized capital or operation & maintenance costs.
D. Regulatory Flexibility Act (RFA)
I certify that this action will not have a significant economic impact on a substantial number of small entities under the RFA. In making this determination, the EPA concludes that the impact of concern for this rule is any significant adverse economic impact on small entities and that the Agency is certifying that this proposed rule will not have a significant economic impact on a substantial number of small entities because this action relieves regulatory burden on the small entities subject to the rule. Emission guidelines established under CAA section 111(d) do not impose any requirements on regulated entities and, thus, will not have a significant economic impact upon a substantial number of small entities. After emission guidelines are promulgated, States establish emission standards on existing sources, and it is those requirements that could potentially impact small entities. Thus, the proposed repeal of the requirements in the emission guidelines will not impose any requirements on small entities. The proposed repeal of requirements for new, modified, and reconstructed fossil fuel-fired EGUs will relieve regulatory burden on the small entities subject to the rule. In the 2024 CPS RIA, the EPA identified 14 potentially affected small entities that own NGCC units considered in the analysis. Of these, three were projected to experience compliance costs greater than or equal to 1 percent of generation revenues in 2035 and none were projected to experience compliance costs greater than or equal to 3 percent of generation revenues in 2035. Under the proposed repeal, these projected compliance cost changes for small entities will be avoided. Consequently, the EPA expects that this deregulatory action, if finalized as proposed, would relieve the regulatory burden for facilities that, absent this proposed repeal, would be affected by the provisions from the CPS. As a result, this action will not have a significant economic impact on a substantial number of small entities under the RFA. We have therefore concluded that this action will relieve regulatory burden for all directly regulated small entities.
E. Unfunded Mandates Reform Act (UMRA)
This action does not contain an unfunded mandate of $100 million (adjusted annually for inflation) or more (in 1995 dollars) as described in UMRA, 2 U.S.C. 1531-1538, and does not significantly or uniquely affect small governments. The action imposes no enforceable duty on any State, local, or tribal governments or the private sector.
F. Executive Order 13132: Federalism
This action does not have federalism implications. It will not have substantial direct effects on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government.
G. Executive Order 13175: Consultation and Coordination With Indian Tribal Governments
This action does not have Tribal implications as specified in Executive Order 13175. It will not have substantial direct effects on Tribal governments, on the relationship between the Federal Government and Indian Tribes, or on the distribution of power and responsibilities between the Federal Government and Indian Tribes, as specified in Executive Order 13175. Thus, Executive Order 13175 does not apply to this action. However, because of Tribal interest on this proposed rule and consistent with the EPA Policy on Consultation with Indian Tribes, the EPA will be offering government-to-government consultation with Tribes.
H. Executive Order 13045: Protection of Children From Environmental Health Risks and Safety Risks
Executive Order 13045 directs Federal agencies to include an evaluation of the health and safety effects of the planned regulation on children in Federal health and safety standards and explain why the regulation is preferable to potentially effective and reasonably feasible alternatives. This action is subject to Executive Order 13045 because it is a significant regulatory action under section 3(f)(1) of Executive Order 12866, and the EPA believes that the environmental health or safety risk addressed by this action has a disproportionate effect on children. The 2015 NSPS and the CPS were anticipated to reduce emissions of CO2, NOX, SO2, PM, mercury, and HAP, and some of the benefits of reducing these pollutants would have accrued to children. This proposed action is expected to decrease the impact of the emissions reductions estimated from the 2015 NSPS and the CPS on these benefits, as discussed in the RIA.
This proposed action does not affect the level of public health and environmental projection already being provided by existing NAAQS and other mechanisms in the CAA. This proposed action does not affect applicable local, State, or Federal permitting or air quality management programs that will continue to address areas with degraded air quality and maintain the air quality in areas meeting current standards. Areas that need to reduce criteria air pollution to meet the NAAQS will still need to rely on control strategies to reduce emissions.
I. Executive Order 13211: Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use
This action is not a “significant energy action” because it is not likely to have a significant adverse effect on the supply, distribution or use of energy over the analysis period (2024-2047) based on the results presented in the 2024 CPS RIA.
J. National Technology Transfer and Advancement Act (NTTAA) and 1 CFR Part 51
This rulemaking does not involve technical standards.
Lee Zeldin,
Administrator.
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English
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32k
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T1. Retrieval & Ranking
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T1.1 Global Cohesive Retrieval
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Full
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Please rearrange the legal and policy basis for the U.S. Environmental Protection Agency's “Major Repeal Plan” in chronological order by “Release Date.” List the key years for the first two regulations/policy contexts supporting the EPA's repeal of greenhouse gas emission standards, arranged chronologically from earliest to latest. Output the "[Answer]" identifier first, and then output the years in chronological order (from earliest to latest) line by line, without any additional content.
Output example:
[Answer]
1977
2024
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Please rearrange the legal and policy basis for the U.S. Environmental Protection Agency's “Major Repeal Plan” in chronological order by “Release Date.” List the key years for the first two regulations/policy contexts supporting the EPA's repeal of greenhouse gas emission standards, arranged chronologically from earliest to latest. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the years in chronological order (from earliest to latest) line by line.
Output example:
<Your thinking process>
[Answer]
1977
2024
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[
"1970",
"2015"
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Extreme
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3d49df06d3b2dc8d20eae1c72ee97496847db4c9cf99956ca4104ab5c1453d33
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中华人民共和国国务院令
《城市公共交通条例》已经2024年8月19日国务院第39次常务会议通过，现予公布，自2024年12月1日起施行。
总理 李强
2024年10月17日
城市公共交通条例
第一章 总 则
第一条 为了推动城市公共交通高质量发展，提升城市公共交通服务水平，保障城市公共交通安全，更好满足公众基本出行需求，促进城市现代化建设，制定本条例。
第二条 本条例所称城市公共交通，是指在城市人民政府确定的区域内，利用公共汽电车、城市轨道交通车辆等公共交通工具和有关系统、设施，按照核定的线路、站点、时间、票价等运营，为公众提供基本出行服务。
第三条 国家实施城市公共交通优先发展战略，综合采取规划、土地、财政、金融等方面措施，保障城市公共交通发展，增强城市公共交通竞争力和吸引力。
国家鼓励、引导公众优先选择公共交通作为机动化出行方式。
第四条 城市公共交通工作应当坚持中国共产党的领导，坚持以人民为中心，坚持城市公共交通公益属性，落实城市公共交通优先发展战略，构建安全、便捷、高效、绿色、经济的城市公共交通体系。
第五条 城市人民政府是发展城市公共交通的责任主体。
城市人民政府应当加强对城市公共交通工作的组织领导，落实城市公共交通发展保障措施，强化对城市公共交通安全的监督管理，统筹研究和协调解决城市公共交通工作中的重大问题。
国务院城市公共交通主管部门及其他有关部门和省、自治区人民政府应当加强对城市公共交通工作的指导。
第六条 城市人民政府应当根据城市功能定位、规模、空间布局、发展目标、公众出行需求等实际情况和特点，与城市土地和空间使用相协调，统筹各种交通方式，科学确定城市公共交通发展目标和发展模式，推动提升城市公共交通在机动化出行中的分担比例。
第七条 承担城市公共交通运营服务的企业（以下简称城市公共交通企业）由城市人民政府或者其城市公共交通主管部门依法确定。
第八条 国家鼓励和支持新技术、新能源、新装备在城市公共交通系统中的推广应用，提高城市公共交通信息化、智能化水平，推动城市公共交通绿色低碳转型，提升运营效率和管理水平。
第二章 发展保障
第九条 城市综合交通体系规划应当明确公共交通优先发展原则，统筹城市交通基础设施建设，合理配置和利用各种交通资源，强化各种交通方式的衔接协调。城市人民政府根据实际情况和需要组织编制城市公共交通规划。
建设城市轨道交通系统的城市应当按照国家有关规定编制城市轨道交通线网规划和建设规划。
城市综合交通体系规划、城市公共交通规划、城市轨道交通线网规划和建设规划应当与国土空间规划相衔接，将涉及土地和空间使用的合理需求纳入国土空间规划实施监督系统统筹保障。
第十条 城市人民政府有关部门应当根据相关规划以及城市发展和公众出行需求情况，合理确定城市公共交通线路，布局公共交通场站等设施，提高公共交通覆盖率。
城市人民政府应当组织有关部门开展公众出行调查，作为优化城市公共交通线路和场站布局的依据。
第十一条 新建、改建、扩建居住区、交通枢纽、学校、医院、体育场馆、商业中心等大型建设项目，应当统筹考虑公共交通出行需求；建设项目批准、核准文件要求配套建设城市公共交通基础设施的，建设单位应当按照要求建设相关设施并同步投入使用。
城市公共交通基础设施建设应当符合无障碍环境建设要求，并与适老化改造相结合。
第十二条 城市人民政府应当依法保障城市公共交通基础设施用地。城市公共交通基础设施用地符合规定条件的，可以以划拨、协议出让等方式供给。
在符合国土空间规划和用途管制要求且不影响城市公共交通功能和规模的前提下，对城市公共交通基础设施用地可以按照国家有关规定实施综合开发，支持城市公共交通发展。
第十三条 城市人民政府应当根据城市公共交通实际和财政承受能力安排城市公共交通发展所需经费，并纳入本级预算。
国家鼓励、引导金融机构提供与城市公共交通发展相适应的金融服务，加大对城市公共交通发展的融资支持力度。
国家鼓励和支持社会资本依法参与城市公共交通基础设施建设运营，保障其合法权益。
第十四条 城市公共交通票价依法实行政府定价或者政府指导价，并建立动态调整机制。鼓励根据城市公共交通服务质量、运输距离以及换乘方式等因素，建立多层次、差别化的城市公共交通票价体系。
制定、调整城市公共交通票价，应当统筹考虑企业运营成本、社会承受能力、交通供求状况等因素，并依法履行定价成本监审等程序。
第十五条 城市公共交通企业在保障公众基本出行的前提下，可以开展定制化出行服务业务。定制化出行服务业务可以实行市场调节价。
第十六条 城市人民政府应当组织有关部门，在对城市公共交通企业开展运营服务质量评价和成本费用年度核算报告审核的基础上，综合考虑财政承受能力、企业增收节支空间等因素，按照规定及时给予补贴补偿。
第十七条 城市人民政府可以根据实际情况和需要，按照统筹公共交通效率和整体交通效率、集约利用城市道路资源的原则，设置公共交通专用车道，并实行科学管理和动态调整。
第三章 运营服务
第十八条 城市人民政府城市公共交通主管部门应当通过与城市公共交通企业签订运营服务协议等方式，明确城市公共交通运营有关服务标准、规范、要求以及运营服务质量评价等事项。
城市公共交通企业应当遵守城市公共交通运营有关服务标准、规范、要求等，加强企业内部管理，不断提高运营服务质量和效率。
城市公共交通企业不得将其运营的城市公共交通线路转让、出租或者变相转让、出租给他人运营。
第十九条 城市公共交通企业应当按照运营服务协议或者城市人民政府城市公共交通主管部门的要求配备城市公共交通车辆，并按照规定设置车辆运营服务标识。
第二十条 城市公共交通企业应当通过便于公众知晓的方式，及时公开运营线路、停靠站点、运营时间、发车间隔、票价等信息。鼓励城市公共交通企业通过电子站牌、出行信息服务系统等信息化手段为公众提供信息查询服务。
第二十一条 城市公共交通企业应当加强运营调度管理，在保障安全的前提下提高运行准点率和运行效率。
第二十二条 城市公共交通企业不得擅自变更运营线路、停靠站点、运营时间或者中断运营服务；因特殊原因需要临时变更运营线路、停靠站点、运营时间或者暂时中断运营服务的，除发生突发事件或者为保障运营安全等采取紧急措施外，应当提前向社会公告，并向城市人民政府城市公共交通主管部门报告。
第二十三条 因大型群众性活动等情形出现公共交通客流集中、正常运营服务安排难以满足需求的，城市公共交通企业应当按照城市人民政府城市公共交通主管部门的要求，及时采取增开临时班次、缩短发车间隔、延长运营时间等措施，保障运营服务。
第二十四条 乘客应当按照票价支付票款；对拒不支付票款的，城市公共交通企业可以拒绝其进站乘车。
城市公共交通企业应当依照法律、法规和国家有关规定，对相关群体乘坐公共交通工具提供便利和优待。
第二十五条 城市公共交通企业应当建立运营服务质量投诉处理机制并向社会公布，及时妥善处理乘客提出的投诉，并向乘客反馈处理结果；乘客对处理结果不满意的，可以向城市人民政府城市公共交通主管部门申诉，城市人民政府城市公共交通主管部门应当及时作出答复。乘客也可以直接就运营服务质量问题向城市人民政府城市公共交通主管部门投诉。
第二十六条 城市人民政府城市公共交通主管部门应当定期组织开展城市公共交通企业运营服务质量评价，并将评价结果向社会公布。
第二十七条 未经城市人民政府同意，城市公共交通企业不得终止运营服务；因破产、解散终止运营服务的，应当提前30日向城市人民政府城市公共交通主管部门报告，城市人民政府城市公共交通主管部门应当及时采取指定临时运营服务企业、调配运营车辆等措施，确保运营服务不中断；需要重新确定承担城市公共交通运营服务企业的，城市人民政府或者其城市公共交通主管部门应当按照规定及时确定。
第四章 安全管理
第二十八条 城市公共交通企业应当遵守有关安全生产的法律、法规和标准，落实全员安全生产责任，建立健全安全生产管理制度和安全生产责任制，保障安全经费投入，构建安全风险分级管控和隐患排查治理双重预防机制，增强突发事件防范和应急能力。
第二十九条 城市公共交通建设工程的勘察、设计、施工、监理应当遵守有关建设工程管理的法律、法规和标准。
城市公共交通建设工程涉及公共安全的设施应当与主体工程同步规划、同步建设、同步投入使用。
第三十条 城市公共交通企业投入运营的车辆应当依法经检验合格，并按照国家有关标准配备灭火器、安全锤以及安全隔离、紧急报警、车门紧急开启等安全设备，设置明显的安全警示标志。
城市公共交通企业应当按照国家有关标准对车辆和有关系统、设施设备进行维护、保养，确保性能良好和安全运行。
利用城市公共交通车辆或者设施设备设置广告的，应当遵守有关广告管理的法律、法规，不得影响城市公共交通运营安全。
第三十一条 城市公共交通企业直接涉及运营安全的驾驶员、乘务员、调度员、值班员、信号工、通信工等重点岗位人员（以下统称重点岗位人员），应当符合下列条件：
（一）具有履行岗位职责的能力；
（二）无可能危及运营安全的疾病；
（三）无暴力犯罪和吸毒行为记录；
（四）国务院城市公共交通主管部门规定的其他条件。
除符合前款规定条件外，城市公共汽电车驾驶员还应当取得相应准驾车型机动车驾驶证，城市轨道交通列车驾驶员还应当按照国家有关规定取得相应职业准入资格。
第三十二条 城市公共交通企业应当定期对重点岗位人员进行岗位职责、操作规程、服务规范、安全防范和应急处置基本知识等方面的培训和考核，经考核合格的方可上岗作业。培训和考核情况应当建档备查。
城市公共交通企业应当关注重点岗位人员的身体、心理状况和行为习惯，对重点岗位人员定期组织体检，加强心理疏导，及时采取有效措施防范重点岗位人员身体、心理状况或者行为异常导致运营安全事故发生。
城市公共交通企业应当合理安排驾驶员工作时间，防止疲劳驾驶。
第三十三条 城市公共交通企业应当依照有关法律、法规的规定，落实对相关人员进行安全背景审查、配备安保人员和相应设施设备等安全防范责任。
第三十四条 城市公共交通企业应当加强对客流状况的日常监测；出现或者可能出现客流大量积压时，应当及时采取疏导措施，必要时可以采取临时限制客流或者临时封站等措施，确保运营安全。
因突发事件或者设施设备故障等原因危及运营安全的，城市公共交通企业可以暂停部分区段或者全线网运营服务，并做好乘客疏导和现场秩序维护等工作。乘客应当按照城市公共交通企业工作人员的指挥和引导有序疏散。
第三十五条 乘客应当遵守乘车规范，维护乘车秩序。
乘客不得携带易燃、易爆、毒害性、放射性、腐蚀性以及其他可能危及人身和财产安全的危险物品进站乘车；乘客坚持携带的，城市公共交通企业应当拒绝其进站乘车。
城市轨道交通运营单位应当按照国家有关规定，对进入城市轨道交通车站的人员及其携带物品进行安全检查；对拒不接受安全检查的，应当拒绝其进站乘车。安全检查应当遵守有关操作规范，提高质量和效率。
第三十六条 任何单位和个人不得实施下列危害城市公共交通运营安全的行为：
（一）非法拦截或者强行上下城市公共交通车辆；
（二）非法占用城市公共交通场站或者出入口；
（三）擅自进入城市轨道交通线路、车辆基地、控制中心、列车驾驶室或者其他禁止非工作人员进入的区域；
（四）向城市公共交通车辆投掷物品或者在城市轨道交通线路上放置障碍物；
（五）故意损坏或者擅自移动、遮挡城市公共交通站牌、安全警示标志、监控设备、安全防护设备；
（六）在非紧急状态下擅自操作有安全警示标志的安全设备；
（七）干扰、阻碍城市公共交通车辆驾驶员安全驾驶；
（八）其他危害城市公共交通运营安全的行为。
城市公共交通企业发现前款规定行为的，应当及时予以制止，并采取措施消除安全隐患，必要时报请有关部门依法处理。
第三十七条 城市人民政府有关部门应当按照职责分工，加强对城市公共交通运营安全的监督管理，建立城市公共交通运营安全工作协作机制。
第三十八条 城市人民政府城市公共交通主管部门应当会同有关部门制定城市公共交通应急预案，报城市人民政府批准。
城市公共交通企业应当根据城市公共交通应急预案，制定本单位应急预案，报城市人民政府城市公共交通主管部门、应急管理部门备案，并定期组织演练。
城市人民政府应当加强城市公共交通应急能力建设，组织有关部门、城市公共交通企业和其他有关单位联合开展城市公共交通应急处置演练，提高突发事件应急处置能力。
第三十九条 城市人民政府应当健全有关部门与城市公共交通企业之间的信息共享机制。城市人民政府城市公共交通主管部门、城市公共交通企业应当加强与有关部门的沟通，及时掌握气象、自然灾害、公共安全等方面可能影响城市公共交通运营安全的信息，并采取有针对性的安全防范措施。有关部门应当予以支持、配合。
第四十条 城市人民政府应当将城市轨道交通纳入城市防灾减灾规划，完善城市轨道交通防范水淹、火灾、冰雪、雷击、风暴等设计和论证，提高城市轨道交通灾害防范应对能力。
第四十一条 城市轨道交通建设单位组织编制城市轨道交通建设工程可行性研究报告和初步设计文件，应当落实国家有关公共安全和运营服务的要求。
第四十二条 城市轨道交通建设工程项目依法经验收合格后，城市人民政府城市公共交通主管部门应当组织开展运营前安全评估，通过安全评估的方可投入运营。城市轨道交通建设单位和运营单位应当按照国家有关规定办理建设和运营交接手续。
城市轨道交通建设工程项目验收以及建设和运营交接的管理办法由国务院住房城乡建设主管部门会同国务院城市公共交通主管部门制定。
第四十三条 城市人民政府应当组织有关部门划定城市轨道交通线路安全保护区，制定安全保护区管理制度。
在城市轨道交通线路安全保护区内进行作业的，应当征得城市轨道交通运营单位同意。作业单位应当制定和落实安全防护方案，并在作业过程中对作业影响区域进行动态监测，及时发现并消除安全隐患。城市轨道交通运营单位可以进入作业现场进行巡查，发现作业危及或者可能危及城市轨道交通运营安全的，应当要求作业单位采取措施消除安全隐患或者停止作业。
第四十四条 城市人民政府城市公共交通主管部门应当定期组织开展城市轨道交通运营安全第三方评估，督促运营单位及时发现并消除安全隐患。
第五章 法律责任
第四十五条 城市公共交通企业以外的单位或者个人擅自从事城市公共交通线路运营的，由城市人民政府城市公共交通主管部门责令停止运营，没收违法所得，并处违法所得1倍以上5倍以下的罚款；没有违法所得或者违法所得不足1万元的，处1万元以上5万元以下的罚款。
城市公共交通企业将其运营的城市公共交通线路转让、出租或者变相转让、出租给他人运营的，由城市人民政府城市公共交通主管部门责令改正，并依照前款规定处罚。
第四十六条 城市公共交通企业有下列行为之一的，由城市人民政府城市公共交通主管部门责令改正；拒不改正的，处1万元以上5万元以下的罚款：
（一）未遵守城市公共交通运营有关服务标准、规范、要求；
（二）未按照规定配备城市公共交通车辆或者设置车辆运营服务标识；
（三）未公开运营线路、停靠站点、运营时间、发车间隔、票价等信息。
第四十七条 城市公共交通企业擅自变更运营线路、停靠站点、运营时间的，由城市人民政府城市公共交通主管部门责令改正；拒不改正的，处1万元以上5万元以下的罚款。
城市公共交通企业擅自中断运营服务的，由城市人民政府城市公共交通主管部门责令改正；拒不改正的，处5万元以上20万元以下的罚款。
城市公共交通企业因特殊原因变更运营线路、停靠站点、运营时间或者暂时中断运营服务，未按照规定向社会公告并向城市人民政府城市公共交通主管部门报告的，由城市人民政府城市公共交通主管部门责令改正，可以处1万元以下的罚款。
第四十八条 城市公共交通企业违反本条例规定，未经城市人民政府同意终止运营服务的，由城市人民政府城市公共交通主管部门责令改正；拒不改正的，处10万元以上50万元以下的罚款。
第四十九条 城市公共交通企业有下列行为之一的，由城市人民政府城市公共交通主管部门责令改正，可以处5万元以下的罚款，有违法所得的，没收违法所得；拒不改正的，处5万元以上20万元以下的罚款：
（一）利用城市公共交通车辆或者设施设备设置广告，影响城市公共交通运营安全；
（二）重点岗位人员不符合规定条件或者未按照规定对重点岗位人员进行培训和考核，或者安排考核不合格的重点岗位人员上岗作业。
第五十条 在城市轨道交通线路安全保护区内进行作业的单位有下列行为之一的，由城市人民政府城市公共交通主管部门责令改正，暂时停止作业，可以处5万元以下的罚款；拒不改正的，责令停止作业，并处5万元以上20万元以下的罚款；造成城市轨道交通设施损坏或者影响运营安全的，并处20万元以上100万元以下的罚款：
（一）未征得城市轨道交通运营单位同意进行作业；
（二）未制定和落实安全防护方案；
（三）未在作业过程中对作业影响区域进行动态监测或者未及时消除发现的安全隐患。
第五十一条 城市人民政府及其城市公共交通主管部门、其他有关部门的工作人员在城市公共交通工作中滥用职权、玩忽职守、徇私舞弊的，依法给予处分。
第五十二条 违反本条例规定，构成违反治安管理行为的，由公安机关依法给予治安管理处罚；构成犯罪的，依法追究刑事责任。
第六章 附 则
第五十三条 用于公共交通服务的城市轮渡，参照本条例的有关规定执行。
第五十四条 城市人民政府根据城乡融合和区域协调发展需要，统筹推进城乡之间、区域之间公共交通一体化发展。
第五十五条 本条例自2024年12月1日起施行。第七章 妨害社会管理秩序罪
第一节 扰乱公共秩序罪
第二百七十七条 以暴力、威胁方法阻碍国家机关工作人员依法执行职务的，处三年以下有期徒刑、拘役、管制或者罚金。
以暴力、威胁方法阻碍全国人民代表大会和地方各级人民代表大会代表依法执行代表职务的，依照前款的规定处罚。
在自然灾害和突发事件中，以暴力、威胁方法阻碍红十字会工作人员依法履行职责的，依照第一款的规定处罚。
故意阻碍国家安全机关、公安机关依法执行国家安全工作任务，未使用暴力、威胁方法，造成严重后果的，依照第一款的规定处罚。
第二百七十八条 煽动群众暴力抗拒国家法律、行政法规实施的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利；造成严重后果的，处三年以上七年以下有期徒刑。
第二百七十九条 冒充国家机关工作人员招摇撞骗的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利；情节严重的，处三年以上十年以下有期徒刑。
冒充人民警察招摇撞骗的，依照前款的规定从重处罚。
第二百八十条 伪造、变造、买卖或者盗窃、抢夺、毁灭国家机关的公文、证件、印章的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利；情节严重的，处三年以上十年以下有期徒刑。
伪造公司、企业、事业单位、人民团体的印章的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利。
伪造、变造居民身份证的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利；情节严重的，处三年以上七年以下有期徒刑。
第二百八十一条 非法生产、买卖人民警察制式服装、车辆号牌等专用标志、警械，情节严重的，处三年以下有期徒刑、拘役或者管制，并处或者单处罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第二百八十二条 以窃取、刺探、收买方法，非法获取国家秘密的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利；情节严重的，处三年以上七年以下有期徒刑。
非法持有属于国家绝密、机密的文件、资料或者其他物品，拒不说明来源与用途的，处三年以下有期徒刑、拘役或者管制。
第二百八十三条 非法生产、销售窃听、窃照等专用间谍器材的，处三年以下有期徒刑、拘役或者管制。
第二百八十四条 非法使用窃听、窃照专用器材，造成严重后果的，处二年以下有期徒刑、拘役或者管制。
第二百八十五条 违反国家规定，侵入国家事务、国防建设、尖端科学技术领域的计算机信息系统的，处三年以下有期徒刑或者拘役。
第二百八十六条 违反国家规定，对计算机信息系统功能进行删除、修改、增加、干扰，造成计算机信息系统不能正常运行，后果严重的，处五年以下有期徒刑或者拘役；后果特别严重的，处五年以上有期徒刑。
违反国家规定，对计算机信息系统中存储、处理或者传输的数据和应用程序进行删除、修改、增加的操作，后果严重的，依照前款的规定处罚。
故意制作、传播计算机病毒等破坏性程序，影响计算机系统正常运行，后果严重的，依照第一款的规定处罚。
第二百八十七条 利用计算机实施金融诈骗、盗窃、贪污、挪用公款、窃取国家秘密或者其他犯罪的，依照本法有关规定定罪处罚。
第二百八十八条 违反国家规定，擅自设置、使用无线电台（站），或者擅自占用频率，经责令停止使用后拒不停止使用，干扰无线电通讯正常进行，造成严重后果的，处三年以下有期徒刑、拘役或者管制，并处或者单处罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第二百八十九条 聚众“打砸抢”，致人伤残、死亡的，依照本法第二百三十四条、第二百三十二条的规定定罪处罚。毁坏或者抢走公私财物的，除判令退赔外，对首要分子，依照本法第二百六十三条的规定定罪处罚。
第二百九十条 聚众扰乱社会秩序，情节严重，致使工作、生产、营业和教学、科研无法进行，造成严重损失的，对首要分子，处三年以上七年以下有期徒刑；对其他积极参加的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利。
聚众冲击国家机关，致使国家机关工作无法进行，造成严重损失的，对首要分子，处五年以上十年以下有期徒刑；对其他积极参加的，处五年以下有期徒刑、拘役、管制或者剥夺政治权利。
第二百九十一条 聚众扰乱车站、码头、民用航空站、商场、公园、影剧院、展览会、运动场或者其他公共场所秩序，聚众堵塞交通或者破坏交通秩序，抗拒、阻碍国家治安管理工作人员依法执行职务，情节严重的，对首要分子，处五年以下有期徒刑、拘役或者管制。
第二百九十二条 聚众斗殴的，对首要分子和其他积极参加的，处三年以下有期徒刑、拘役或者管制；有下列情形之一的，对首要分子和其他积极参加的，处三年以上十年以下有期徒刑：
（一）多次聚众斗殴的；
（二）聚众斗殴人数多，规模大，社会影响恶劣的；
（三）在公共场所或者交通要道聚众斗殴，造成社会秩序严重混乱的；
（四）持械聚众斗殴的。
聚众斗殴，致人重伤、死亡的，依照本法第二百三十四条、第二百三十二条的规定定罪处罚。
第二百九十三条 有下列寻衅滋事行为之一，破坏社会秩序的，处五年以下有期徒刑、拘役或者管制：
（一）随意殴打他人，情节恶劣的；
（二）追逐、拦截、辱骂他人，情节恶劣的；
（三）强拿硬要或者任意损毁、占用公私财物，情节严重的；
（四）在公共场所起哄闹事，造成公共场所秩序严重混乱的。
第二百九十四条 组织、领导和积极参加以暴力、威胁或者其他手段，有组织地进行违法犯罪活动，称霸一方，为非作恶，欺压、残害群众，严重破坏经济、社会生活秩序的黑社会性质的组织的，处三年以上十年以下有期徒刑；其他参加的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利。
境外的黑社会组织的人员到中华人民共和国境内发展组织成员的，处三年以上十年以下有期徒刑。
犯前两款罪又有其他犯罪行为的，依照数罪并罚的规定处罚。
国家机关工作人员包庇黑社会性质的组织，或者纵容黑社会性质的组织进行违法犯罪活动的，处三年以下有期徒刑、拘役或者剥夺政治权利；情节严重的，处三年以上十年以下有期徒刑。
第二百九十五条 传授犯罪方法的，处五年以下有期徒刑、拘役或者管制；情节严重的，处五年以上有期徒刑；情节特别严重的，处无期徒刑或者死刑。
第二百九十六条 举行集会、游行、示威，未依照法律规定申请或者申请未获许可，或者未按照主管机关许可的起止时间、地点、路线进行，又拒不服从解散命令，严重破坏社会秩序的，对集会、游行、示威的负责人和直接责任人员，处五年以下有期徒刑、拘役、管制或者剥夺政治权利。
第二百九十七条 违反法律规定，携带武器、管制刀具或者爆炸物参加集会、游行、示威的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利。
第二百九十八条 扰乱、冲击或者以其他方法破坏依法举行的集会、游行、示威，造成公共秩序混乱的，处五年以下有期徒刑、拘役、管制或者剥夺政治权利。
第二百九十九条 在公众场合故意以焚烧、毁损、涂划、玷污、践踏等方式侮辱中华人民共和国国旗、国徽的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利。
第三百条 组织和利用会道门、邪教组织或者利用迷信破坏国家法律、行政法规实施的，处三年以上七年以下有期徒刑；情节特别严重的，处七年以上有期徒刑。
组织和利用会道门、邪教组织或者利用迷信蒙骗他人，致人死亡的，依照前款的规定处罚。
组织和利用会道门、邪教组织或者利用迷信奸淫妇女、诈骗财物的，分别依照本法第二百三十六条、第二百六十六条的规定定罪处罚。
第三百零一条 聚众进行淫乱活动的，对首要分子或者多次参加的，处五年以下有期徒刑、拘役或者管制。
引诱未成年人参加聚众淫乱活动的，依照前款的规定从重处罚。
第三百零二条 盗窃、侮辱尸体的，处三年以下有期徒刑、拘役或者管制。
第三百零三条 以营利为目的，聚众赌博、开设赌场或者以赌博为业的，处三年以下有期徒刑、拘役或者管制，并处罚金。
第三百零四条 邮政工作人员严重不负责任，故意延误投递邮件，致使公共财产、国家和人民利益遭受重大损失的，处二年以下有期徒刑或者拘役。
第二节 妨害司法罪
第三百零五条 在刑事诉讼中，证人、鉴定人、记录人、翻译人对与案件有重要关系的情节，故意作虚假证明、鉴定、记录、翻译，意图陷害他人或者隐匿罪证的，处三年以下有期徒刑或者拘役；情节严重的，处三年以上七年以下有期徒刑。
第三百零六条 在刑事诉讼中，辩护人、诉讼代理人毁灭、伪造证据，帮助当事人毁灭、伪造证据，威胁、引诱证人违背事实改变证言或者作伪证的，处三年以下有期徒刑或者拘役；情节严重的，处三年以上七年以下有期徒刑。
辩护人、诉讼代理人提供、出示、引用的证人证言或者其他证据失实，不是有意伪造的，不属于伪造证据。
第三百零七条 以暴力、威胁、贿买等方法阻止证人作证或者指使他人作伪证的，处三年以下有期徒刑或者拘役；情节严重的，处三年以上七年以下有期徒刑。
帮助当事人毁灭、伪造证据，情节严重的，处三年以下有期徒刑或者拘役。
司法工作人员犯前两款罪的，从重处罚。
第三百零八条 对证人进行打击报复的，处三年以下有期徒刑或者拘役；情节严重的，处三年以上七年以下有期徒刑。
第三百零九条 聚众哄闹、冲击法庭，或者殴打司法工作人员，严重扰乱法庭秩序的，处三年以下有期徒刑、拘役、管制或者罚金。
第三百一十条 明知是犯罪的人而为其提供隐藏处所、财物，帮助其逃匿或者作假证明包庇的，处三年以下有期徒刑、拘役或者管制；情节严重的，处三年以上十年以下有期徒刑。
犯前款罪，事前通谋的，以共同犯罪论处。
第三百一十一条 明知他人有间谍犯罪行为，在国家安全机关向其调查有关情况、收集有关证据时，拒绝提供，情节严重的，处三年以下有期徒刑、拘役或者管制。
第三百一十二条 明知是犯罪所得的赃物而予以窝藏、转移、收购或者代为销售的，处三年以下有期徒刑、拘役或者管制，并处或者单处罚金。
第三百一十三条 对人民法院的判决、裁定有能力执行而拒不执行，情节严重的，处三年以下有期徒刑、拘役或者罚金。
第三百一十四条 隐藏、转移、变卖、故意毁损已被司法机关查封、扣押、冻结的财产，情节严重的，处三年以下有期徒刑、拘役或者罚金。
第三百一十五条 依法被关押的罪犯，有下列破坏监管秩序行为之一，情节严重的，处三年以下有期徒刑：
（一）殴打监管人员的；
（二）组织其他被监管人破坏监管秩序的；
（三）聚众闹事，扰乱正常监管秩序的；
（四）殴打、体罚或者指使他人殴打、体罚其他被监管人的。
第三百一十六条 依法被关押的罪犯、被告人、犯罪嫌疑人脱逃的，处五年以下有期徒刑或者拘役。
劫夺押解途中的罪犯、被告人、犯罪嫌疑人的，处三年以上七年以下有期徒刑；情节严重的，处七年以上有期徒刑。
第三百一十七条 组织越狱的首要分子和积极参加的，处五年以上有期徒刑；其他参加的，处五年以下有期徒刑或者拘役。
暴动越狱或者聚众持械劫狱的首要分子和积极参加的，处十年以上有期徒刑或者无期徒刑；情节特别严重的，处死刑；其他参加的，处三年以上十年以下有期徒刑。
第三节 妨害国（边）境管理罪
第三百一十八条 组织他人偷越国（边）境的，处二年以上七年以下有期徒刑，并处罚金；有下列情形之一的，处七年以上有期徒刑或者无期徒刑，并处罚金或者没收财产：
（一）组织他人偷越国（边）境集团的首要分子；
（二）多次组织他人偷越国（边）境或者组织他人偷越国（边）境人数众多的；
（三）造成被组织人重伤、死亡的；
（四）剥夺或者限制被组织人人身自由的；
（五）以暴力、威胁方法抗拒检查的；
（六）违法所得数额巨大的；
（七）有其他特别严重情节的。
犯前款罪，对被组织人有杀害、伤害、强奸、拐卖等犯罪行为，或者对检查人员有杀害、伤害等犯罪行为的，依照数罪并罚的规定处罚。
第三百一十九条 以劳务输出、经贸往来或者其他名义，弄虚作假，骗取护照、签证等出境证件，为组织他人偷越国（边）境使用的，处三年以下有期徒刑，并处罚金；情节严重的，处三年以上十年以下有期徒刑，并处罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第三百二十条 为他人提供伪造、变造的护照、签证等出入境证件，或者出售护照、签证等出入境证件的，处五年以下有期徒刑，并处罚金；情节严重的，处五年以上有期徒刑，并处罚金。
第三百二十一条 运送他人偷越国（边）境的，处五年以下有期徒刑、拘役或者管制，并处罚金；有下列情形之一的，处五年以上十年以下有期徒刑，并处罚金：
（一）多次实施运送行为或者运送人数众多的；
（二）所使用的船只、车辆等交通工具不具备必要的安全条件，足以造成严重后果的；
（三）违法所得数额巨大的；
（四）有其他特别严重情节的。
在运送他人偷越国（边）境中造成被运送人重伤、死亡，或者以暴力、威胁方法抗拒检查的，处七年以上有期徒刑，并处罚金。
犯前两款罪，对被运送人有杀害、伤害、强奸、拐卖等犯罪行为，或者对检查人员有杀害、伤害等犯罪行为的，依照数罪并罚的规定处罚。
第三百二十二条 违反国（边）境管理法规，偷越国（边）境，情节严重的，处一年以下有期徒刑、拘役或者管制，并处罚金。
第三百二十三条 故意破坏国家边境的界碑、界桩或者永久性测量标志的，处三年以下有期徒刑或者拘役。
第四节 妨害文物管理罪
第三百二十四条 故意损毁国家保护的珍贵文物或者被确定为全国重点文物保护单位、省级文物保护单位的文物的，处三年以下有期徒刑或者拘役，并处或者单处罚金；情节严重的，处三年以上十年以下有期徒刑，并处罚金。
故意损毁国家保护的名胜古迹，情节严重的，处五年以下有期徒刑或者拘役，并处或者单处罚金。
过失损毁国家保护的珍贵文物或者被确定为全国重点文物保护单位、省级文物保护单位的文物，造成严重后果的，处三年以下有期徒刑或者拘役。
第三百二十五条 违反文物保护法规，将收藏的国家禁止出口的珍贵文物私自出售或者私自赠送给外国人的，处五年以下有期徒刑或者拘役，可以并处罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第三百二十六条 以牟利为目的，倒卖国家禁止经营的文物，情节严重的，处五年以下有期徒刑或者拘役，并处罚金；情节特别严重的，处五年以上十年以下有期徒刑，并处罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第三百二十七条 违反文物保护法规，国有博物馆、图书馆等单位将国家保护的文物藏品出售或者私自送给非国有单位或者个人的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处三年以下有期徒刑或者拘役。
第三百二十八条 盗掘具有历史、艺术、科学价值的古文化遗址、古墓葬的，处三年以上十年以下有期徒刑，并处罚金；情节较轻的，处三年以下有期徒刑、拘役或者管制，并处罚金；有下列情形之一的，处十年以上有期徒刑、无期徒刑或者死刑，并处罚金或者没收财产：
（一）盗掘确定为全国重点文物保护单位和省级文物保护单位的古文化遗址、古墓葬的；
（二）盗掘古文化遗址、古墓葬集团的首要分子；
（三）多次盗掘古文化遗址、古墓葬的；
（四）盗掘古文化遗址、古墓葬，并盗窃珍贵文物或者造成珍贵文物严重破坏的。
盗掘国家保护的具有科学价值的古人类化石和古脊椎动物化石的，依照前款的规定处罚。
第三百二十九条 抢夺、窃取国家所有的档案的，处五年以下有期徒刑或者拘役。
违反档案法的规定，擅自出卖、转让国家所有的档案，情节严重的，处三年以下有期徒刑或者拘役。
有前两款行为，同时又构成本法规定的其他犯罪的，依照处罚较重的规定定罪处罚。
第五节 危害公共卫生罪
第三百三十条 违反传染病防治法的规定，有下列情形之一，引起甲类传染病传播或者有传播严重危险的，处三年以下有期徒刑或者拘役；后果特别严重的，处三年以上七年以下有期徒刑：
（一）供水单位供应的饮用水不符合国家规定的卫生标准的；
（二）拒绝按照卫生防疫机构提出的卫生要求，对传染病病原体污染的污水、污物、粪便进行消毒处理的；
（三）准许或者纵容传染病病人、病原携带者和疑似传染病病人从事国务院卫生行政部门规定禁止从事的易使该传染病扩散的工作的；
（四）拒绝执行卫生防疫机构依照传染病防治法提出的预防、控制措施的。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
甲类传染病的范围，依照《中华人民共和国传染病防治法》和国务院有关规定确定。
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Chinese
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8k
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T1. Retrieval & Ranking
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T1.2 Key-Snippet Retrieval
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Partial
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在城市公共交通条例第五章中，检索包含“运营服务”关键词并有具体处罚金额的条例。先输出“[答案]”标识符，再按行输出条例编号（例如“第一条”），不要输出任何其他内容。
输出示例：
[答案]
第一条
第二条
第三条
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在城市公共交通条例第五章中，检索包含“运营服务”关键词并有具体处罚金额的条例。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出条例编号（例如“第一条”）。
输出示例：
<你的思考过程>
[答案]
第一条
第二条
第三条
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[
"第四十六条",
"第四十七条",
"第四十八条"
] |
Easy
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7d080fa388c88fbf84bd4345301bd0a267967970f9e3ce584872fa23760a16c9
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片段A：
我想你不难看出当安迪听完汤米的故事后，为何有一点魂不守舍了，以及他为何要立刻求见典狱长。布拉契被判六至十二年徒刑，而汤米认识他已是四年前的事。当安迪在一九六三年听见这事时，布拉契也许已经快出狱了……甚至已经出狱。安迪担心的是，一方面布拉契有可能还在坐牢，另一方面，他也可能随风而逝，不见踪影。
汤米说的故事并不完全前后一致，但现实人生不就是这样吗？布拉契告诉汤米，被关起来的是个名律师，而安迪却是个银行家，只不过受教育不多的人原本就很容易把这两种职业混为一谈。何况别忘了，布拉契告诉汤米这件事时，距离报上刊出审判消息已经十二年了。布拉契告诉汤米，他从昆丁的抽屉拿走了一千多元，但警方在审判中却说，屋内没有被窃的痕迹。在我看来，首先，如果拥有这笔钱的人已经死了，你怎么可能知道屋内到底被偷了多少东西呢？第二，说不定布拉契根本在说谎？也许他不想承认自己无缘无故就杀了两个人。第三，也许屋内确实有被窃的痕迹，但被警方忽略了——警察有时候是很笨的，也可能当时为了不要坏了检察官的大事，他们故意把这事掩盖过去。别忘了，当时检察官正在竞选公职，他很需要把人定罪，作为竞选的宣传，而一件迟迟未破的盗窃杀人案对他一点好处也没有。
但在这三个可能中，我觉得第二个最有可能。我在肖申克认识不少像布拉契这类的人，他们都有一双疯狂的眼睛，随时会扣扳机。即使他们只不过偷了个两块钱的廉价手表和九块钱零钱就被逮了，他们也会把它说成每次都偷到“希望之星”之类的巨钻后逃之夭夭。
尽管稍有疑虑，但有一件事说服安迪相信汤米的故事。布拉契绝不是临时起意杀昆丁的，他称昆丁为“有钱的讨厌鬼”，他知道昆丁是个高尔夫球职业选手。在那一两年中，安迪和他老婆每个星期总会到乡村俱乐部喝酒吃饭两次，而且安迪发现太太出轨后，也经常独自在那儿喝闷酒。乡村俱乐部有个停靠小艇的码头，一九四七年有一阵子，那儿有个兼差的员工还蛮符合汤米对布拉契的描述。那个人长得很高大，头几乎全秃了，有一对深陷的绿眼睛。他瞪着你的时候，仿佛在打量你一般，会令你浑身不舒服。他没有在那里做多久，要不是自己辞职，就是负责管理码头的人开除了他。但是你不会轻易忘记像他那种人，他太显眼了。
于是安迪在一个凄风苦雨的日子去见诺顿，那天云层很低，灰蒙蒙的墙上是灰蒙蒙的天。那天也是开始融雪的日子，监狱外田野间露出了无生气的草地。
典狱长在行政大楼有间相当宽敞的办公室，他的办公室连着副典狱长的办公室，那天副典狱长出去了，不过我有个亲信刚好在那儿，他真正的名字我忘了，大家都叫他柴士特。柴士特负责浇花和给地板打蜡，我想那天有很多植物一定都渴死了，而且只有钥匙孔打了蜡，因为他只顾竖起他的脏耳朵从钥匙孔偷听事情经过。
他听到典狱长的门打开后又关上，然后听到典狱长说：“早安，杜佛尼，有什么事吗？”
“典狱长，”安迪说，老柴士特后来告诉我们，他几乎听不出是安迪的声音，因为变得太多了。“典狱长……有件事发生了……我……那真的是……我不知道该从哪儿说起。”
“那你何不从头说起呢？”典狱长说，大概用他“我们打开《圣经》第二十三诗篇一起读吧”的声音：“这样会容易多了。”
于是安迪开始从头说起。他先说明自己入狱的前因后果，然后再把汤米的话重复一遍。他也说出了汤米的名字，不过从后来事情的发展看来，这是不智之举，但当时他又别无他法，如果没有人证，别人怎么可能相信你说的呢？
他说完后，诺顿不发一语。我可以想象他的表情：整个人靠在椅背上，头快撞到墙上挂着的州长李德的照片，两手合十，指尖抵着下巴，嘴唇撅着，从眉毛以上直到额顶全是皱纹，那个三十年纪念襟章闪闪发亮。
“嗯，”他最后说，“这是我听过的最该死的故事。但告诉你最令我吃惊的是什么吧，杜佛尼。”
“先生，是什么？”
“那就是你居然会相信这个故事。”
“先生，我不懂你是什么意思？”柴士特告诉我们，十三年前那个在屋顶上毫无惧色地对抗哈力的安迪·杜佛尼，此时竟然语无伦次起来。
诺顿说：“依我看来，很明显那个年轻的汤米对你印象太好了，他听过你的故事，很自然的就很想……为了鼓舞你的心情，比方说，这是很自然的。他太年轻了，也不算聪明，他根本不知道这么说了会对你产生什么影响。我现在建议你——”
“你以为我没有这样怀疑过吗？”安迪问，“但是我从来没有告诉汤米那个码头工人的事情。我从来不曾告诉任何人这件事，甚至从来不曾想过这件事！但是汤米对牢友的描述和那个工人……他们根本就是一模一样！”
“我看你也是受到选择性认知的影响。”诺顿说完后干笑两声。“选择性认知”，这是专搞狱政感化的人最爱用的名词。
“先生，完全不是这样。”
“那是你的偏见，”诺顿说，“但是我的看法就不同。别忘了，我只听到你的片面之词，说有这么一个人在乡村俱乐部工作。”
“不，先生，”安迪急道，“不是这样的，因为——”
“总之，”诺顿故意提高声调压过他，“让我们从另一个角度来看这件事好吗？假定——只是假定——假定真有这么一个叫布劳契的家伙。”
“布拉契。”安迪连忙道。
“好吧，布拉契，就说他是汤米在罗德岛监狱的牢友。非常可能他已经出狱了，很好。我们甚至不知道他和汤米关在一起时，已经坐了多久的牢？只知道他应该坐上六至十二年。”
“不，我们不知道他关了多久，但汤米说他一向表现很差，我想他很有可能还在狱中。即使他被放出来，监狱一定会留下他的地址、他亲人的名字——”
“从这两个资料几乎都不可能查得出任何结果。”
安迪沉默了一会儿，然后脱口而出：“但这总是个机会吧？不是吗？”
“是的，当然。所以，让我们假设真有这么一个布拉契存在，而且仍然关在罗德岛监狱里。如果我们拿这件事去问他，他会有什么反应？他难道会马上跪下来，两眼往上一翻说：‘是我干的！我干的！判我无期徒刑吧！’”
“你怎么这么迟钝？”安迪说。他的声音很低，老柴士特几乎听不清，不过他清清楚楚听到典狱长的话。
“什么？你说我什么？”
“迟钝！”安迪嚷着，“是故意的吗？”
“杜佛尼，你已经浪费我五分钟的时间了，不，七分钟，我今天忙得很，我看我们的谈话就到此为止吧——”
“高尔夫球俱乐部也会有旧出勤纪录，你没想到吗？”安迪喊道，“他们一定还保留了报税单、失业救济金申请表等各种档案，上面都会有他的名字。这件事才发生了不过十五年，他们一定还记得他！他们会记得布拉契的。汤米可以作证布拉契说过这些话，而乡村俱乐部的经理也可以出面作证布拉契确实在那儿工作过。我可以要求重新开庭！我可以——”
“警卫！警卫！把这个人拉出去！”
“你到底是怎么回事呀？”安迪说。老柴士特告诉我，安迪那时几乎在尖叫了。“这是我的人生、我出去的机会，你看不出来吗？你不会打个长途电话过去查问，至少查证一下汤米的说法吗？我会付电话费的，我会——”
这时响起一阵杂沓的脚步声，守卫进来把他拖出去。
“单独关禁闭，”诺顿说，大概一边说一边摸着他的三十年纪念襟章，“只给水和面包。”
于是他们把完全失控的安迪拖出去，他一路喊着：“这是我的人生、我的人生，你不懂吗？我的人生——”
安迪在禁闭室关了二十天，这是他第二次关禁闭，也是他加入这个快乐家庭以来，第一次被诺顿在记录簿上狠狠记上一笔。
当我们谈到这件事时，我得告诉你一些有关禁闭室的事。我们缅因州的禁闭室是十八世纪拓荒时代的产物。在那时候，没有人会浪费时间在“狱政学”或“改过自新”和“选择性认知”这些名词上，那是个非黑即白的年代，你不是无辜，就是有罪。如果有罪，不是绞刑，便是下狱。如果被判下狱，可没有什么监狱给你住，缅因州政府会给你一把锄头，让你从日出挖到日落，给自己掘个坑，然后给你几张兽皮和一个水桶，要你躺进自己掘的洞里。下去后，狱卒便把洞口用铁栅给盖上，再扔进一些谷物，或者一个星期给你一两块肉，周日晚上说不定还会有一点大麦粥吃吃。你小便在桶里，狱卒每天早上六点的时候会来倒水，你也拿同一个桶子去接水。天下雨时，你还可以拿这个桶把雨水舀出洞外……除非你想像老鼠一样溺死在洞里。
没有人会在这种洞中住太久，三十个月已经算很厉害了。据我所知，在这种坑中待得最久、还能活着出来的是一个十四岁的精神病患者，他用一块生锈的金属片把同学的命根子给剁了。他在洞内待了七年，不过当然是因为他还年轻力壮。
你得记住，当年只要比偷东西、亵渎或在安息日出门时忘了带手帕擤鼻涕等过错还严重些的罪名，都可能被判绞刑。至于上述这些过错和其他轻罪的处罚，就是在那种地洞中关上三至六个月或者九个月。等你出来时，你会全身像鱼肚一样白，眼睛半瞎，牙齿动摇，脚上长满真菌。
肖申克的禁闭室倒没有那么糟……我猜。人类的感受大致可分为三种程度：好、坏和可怕。当你朝着可怕的方向步入越来越黑暗的地方时，再进一步分类会越来越难。
关禁闭的时候，你得走下二十三级楼梯才会到禁闭室。那儿唯一的声音是滴答的水声，唯一的灯光是来自一些摇摇欲坠的六十瓦灯泡发出的微光。地窖成桶状，就好像有钱人有时候藏在画像后面的保险柜一样，圆形的出入口也像保险柜一样，是可以开关的实心门，而不是栅栏。禁闭室的通风口在上面，但没有任何光亮会从上面透进来，只靠一个小灯泡照明。每天晚上八点钟，监狱的主控室就会准时关掉禁闭室的灯，比其他牢房早一个小时。如果你喜欢所有时间都生活在黑暗中，他们也可以这样安排，但没有多少人会这么做……不过八点钟过后，你就没有选择的余地了。墙边有张床，还有个尿罐，但没有马桶座。打发时间的方法只有三种：坐着、拉屎或睡觉，真是伟大的选择！在那里度过二十天，就好像过了一年一样。三十天仿佛两年，四十天则像十年一样。有时你会听到老鼠在通风系统中活动的声音，在这种情况下，连害怕都不知为何物了。
要说待在禁闭室有什么好处的话，那就是你有很多时间思考。安迪在享受面包与水的二十天里，好好思考了一番。当他出来后，他再度求见典狱长，但遭到拒绝，典狱长说类似的会晤会产生“反效果”，如果你想从事狱政或惩治工作的话，这是另一个你得先精通的术语。
安迪很有耐心地再度求见典狱长，接着再度提出请求。他变了。一九六三年，当春回大地的时候，安迪脸上出现了皱纹，头上长出灰发，嘴角惯有的微笑也不见了。目光茫然一片。当一个人开始像这样发呆时，你知道他正在数着他已经度过了多少年、多少月、多少星期，甚至多少天的牢狱之灾。
他很有耐性，不断提出请求。他除了时间之外一无所有。夏天到了，肯尼迪总统在华盛顿首府承诺将大力扫除贫穷和消除不平等，浑然不知自己只剩下半年的寿命了。在英国利物浦，一个名叫“披头士”的合唱团正冒出头来，但在美国，还没有人知道披头士是何方神圣。还有波士顿红袜队这时仍然在美国联盟垫底，还要再过四年，才到了新英格兰人所说的“一九六七奇迹年”。所有这些事情都发生在外面那个广大的自由世界里。
诺顿终于在六月底接见安迪，七年以后，我才亲自从安迪口中得知那次谈话的内容。
“如果是为了钱的事，你不用担心，”安迪压低了声音对诺顿说，“你以为我会说出去吗？我这样是自寻死路，我也一样会被控——”
“够了，”诺顿打断道。他的脸拉得老长，冷得像墓碑，他拼命往椅背上靠，后脑勺几乎碰到墙上那幅写着“主的审判就要来临”的刺绣。
“但——”
“永远不要在我面前提到‘钱’这个字，”诺顿说，“不管在这个办公室或任何地方都一样，除非你想让图书馆变回储藏室，你懂吗？”
“我只是想让你安心而已。”
“呐，我要是需要一个成天哭丧着脸的龟儿子来安我的心，那我不如退休算了。我同意和你见面，是因为我已经厌倦了和你继续纠缠下去，杜佛尼，你要适可而止。如果你想要买下布鲁克林桥，那是你的事，别扯到我头上，如果我容许每个人来跟我说这些疯话，那么这里每个人都会来找我诉苦。我一向很尊重你，但这件事就到此为止了，你懂吗？”
“我知道，”安迪说，“但我会请个律师。”
“做什么？”
“我想我们可以把整件事情拼凑起来。有了汤米和我的证词，再加上法庭纪录和乡村俱乐部员工的证词，我想我们可以拼凑出当时的真实情况。”
“汤米已经不在这里服刑了。”
“什么？”
“他转到别的监狱去了。”
“转走了，转到哪里？”
“凯西门监狱。”
安迪陷入沉默。他是个聪明人，但如果你还嗅不出当中的各种交易条件的话，就真的太笨了。凯西门位于北边的阿鲁斯托库县，是个比较开放的监狱。那里的犯人平常需要挖马铃薯，虽然工作辛苦，不过却可以得到合理的报酬，而且如果他们愿意的话，还可以到学校参加各种技能训练。更重要的是，对像汤米这种有太太小孩的人，凯西门有一套休假制度，可以让他在周末时过着正常人的生活，换言之，他可以和太太亲热，和小孩一起建造模型飞机，或者全家出外野餐。
诺顿一定是把这一切好处全摊在汤米面前，他对汤米的唯一要求是，从此不许再提布拉契三个字，否则就把他送到可怕的汤姆森监狱，不但无法和老婆亲热，反而得侍候一些老同性恋。
“为什么？”安迪问，“你为什么——”
“我已经帮了你一个忙，”诺顿平静地说，“我查过罗德岛监狱，他们确实曾经有个叫布拉契的犯人，但由于所谓的‘暂时性假释计划’，他已经假释出狱了，从此不见踪影。这些自由派的疯狂计划简直放任罪犯在街头闲晃。”
安迪说：“那儿的典狱长……是你的朋友吗？”
诺顿冷冷一笑，“我认得他。”他说。
“为什么？”安迪又重复一遍，“你为什么要这么做？你知道我不会乱说话……不会说出你的事情，你明明知道，为什么还要这么做？”
“因为像你这种人让我觉得很恶心，”诺顿不慌不忙地说，“我喜欢你现在的状况，杜佛尼先生，而且只要我在肖申克当典狱长一天，你就得继续待在这里。从前你老是以为你比别人优秀，我很擅于从别人脸上看出这样的神情，从第一天走进图书馆的时候，我就注意到你脸上的优越感。现在，这种表情不见了，我觉得这样很好。你别老以为自己很有用，像你这种人需要学会谦虚一点。以前你在运动场上散步时，好像老把那里当成自家客厅，神气得像在参加鸡尾酒会，你在跟别人的先生或太太寒暄似的，但你现在不再带着那种神情走在路上了。我会继续注意你，看看你会不会又出现那种样子。未来几年，我会很乐意继续观察你的表现。现在给我滚出去！”
“好，但我们之间的所有活动到此为止，诺顿。所有的投资咨询、免税指导都到此为止，你去找其他囚犯教你怎么申报所得税吧！”
诺顿的脸先是变得如砖块一般红……然后颜色全部退去。“你现在回到禁闭室，再关个三十天，只准吃面包和水，你的纪录上再记一笔。进去后好好想一想，如果你胆敢停掉这一切的话，图书馆也要关门大吉，我一定会想办法让图书馆恢复到你进来前的样子，而且我会让你的日子非常……非常难过。你休想再继续一个人住在第五区的希尔顿饭店单人房，你休想继续保存窗台上的石头，警卫也不再保护你不受那些男同性恋的侵犯，你会失去一切，听懂了吗？”
我想他把话说得很清楚了。
时间继续一天天过去——这是大自然最古老的手段，或许也是唯一的魔法，安迪变了，他变得更冷酷了，这是我唯一能想到的形容词。他继续掩护诺顿做脏事，也继续管理图书馆，所以从外表看来，一切如常。每年生日和年关岁暮时，他照样会喝上一杯，也继续把剩下的半瓶酒和我分享。我不时为他找来新的磨石布，一九六七年时，我替他弄来一把新锤子，十九年前那把已经坏掉了。十九年了！当你突然说出那几个字时，三个音节仿佛坟墓上响起的重重关门声。当年十元的锤子，到了一九六七年，已经是二十二元了。当我把锤子递给他时，他和我都不禁惨然一笑。
他继续打磨从运动场上找到的石头，但运动场变小了，因为其中一半的地在一九六二年铺上了柏油。不过，看来他还是找了不少石头来让自己忙着。每当他琢磨好一块石头后，他会把它放在朝东的窗台上，他告诉我，他喜欢看着从泥土中找到的一块块片岩、石英、花岗岩、云母等，在阳光下闪闪发光，安迪给这些石头起名叫“千年三明治”，因为岩层是经过几十年、几百年，甚至数千年才堆积而成的。
隔三差五，安迪会把石雕作品送人，好腾出地方来容纳新琢磨好的石头。他最常送我石头，包括那双袖扣一样的石头，我就有五个，其中有一块好像一个人在掷标枪的云母石，是很小心雕刻出来的。我到现在还保存着这些石头，不时拿出来把玩一番。每当我看见这些石头时，总会想到如果一个人懂得利用时间的话（即使每一次只有一点点时间），一点一滴累积起来，能做出多少事情。
所以，表面上一切如常。如果诺顿是存心击垮安迪的话，他必须穿透表面，才能看到个中的变化。但是我想在诺顿和安迪冲突之后的四年中，如果他能看得出安迪的改变，应该会感到很满意，因为安迪变化太大了。
他曾经说，安迪在运动场上散步时，就好像参加鸡尾酒会一样。我不会这么形容，但我知道他是什么意思。我以前也说过，自由的感觉仿佛一件隐形外衣披在安迪身上，他从来不曾培养起一种坐牢的心理状态，他的眼光从来不显呆滞，他也从未像其他犯人一样，在一日将尽时，垮着肩膀，拖着沉重的脚步，回到牢房去面对另一个无尽的夜。他总是抬头挺胸，脚步轻快，好像走在回家的路上一样——家里有香喷喷的晚饭和好女人在等着他，而不是只有食之无味的蔬菜、马铃薯泥和一两块肥肉，以及墙上的拉蔻儿·薇芝的海报。
但在这四年中，虽然他并没有完全变得像其他人一样，但的确变得沉默、内省，经常若有所思。又怎能怪他呢？不过总算称了诺顿的心……至少有一阵子如此。
他的沉郁到了一九六七年职业棒球世界大赛时改变了。那是梦幻的一年，波士顿红袜队不再排第九名敬陪末座，而是正如拉斯维加斯赌盘所预测，赢得美国联盟冠军宝座。在他们赢得胜利的一刹那，整个监狱为之沸腾。大家似乎有个傻念头，觉得如果连红袜队都能起死回生，或许其他人也可以。我现在没办法把那种感觉解释清楚，就好像披头士迷也无法解释他们的疯狂一样。但这是很真实的感觉。当红袜队一步步迈向世界大赛总冠军宝座时，监狱里每个收音机都在收听转播。当红袜队在圣路易的冠军争夺战中连输两场的时候，监狱里一片愁云惨雾；当皮特洛切里演出再见接杀时，所有人欢欣雀跃，简直快把屋顶掀掉了；但最后在世界大赛最关键的第七战，当伦伯格吃下败投、红袜队功亏一篑、冠军梦碎时，大家的心情都跌到谷底。唯有诺顿可能在一旁幸灾乐祸，那个龟儿子，他喜欢监狱里的人整天灰头土脸。
但是安迪的心情没有跌到谷底，也许因为他原本就不是棒球迷。虽然如此，他似乎感染了这种振奋的气氛，而且这种感觉在红袜队输掉最后一场球赛后，仍然没有消失。他重新从衣柜中拿出自由的隐形外衣，披在身上。
我记得在十月底一个高爽明亮的秋日，是棒球赛结束后两周，一定是个星期日，因为运动场上挤满了人，不少人在丢飞盘、踢足球、私下交易，还有一些人在狱卒的监视下，在会客室里和亲友见面、抽烟、说些诚恳的谎话、收下已被狱方检查过的包裹。
安迪靠墙蹲着，手上把玩着两块石头，他的脸朝着阳光。在这种季节，这天的阳光算是出奇的暖和。
“哈啰，雷德，”他喊道，“过来聊聊。”
我过去了。
“你要这个吗？”他问道，递给我一块磨亮的“千年三明治”。
“当然好，”我说，“真美，多谢。”
他耸耸肩，改变话题，“明年是你的大日子了。”
我点点头，明年是我入狱三十周年纪念日，我一生中百分之六十的光阴都在肖申克州立监狱中度过。
“你想你出得去吗？”
“当然，到时我应该胡子已经花白，嘴里只剩三颗摇摇欲坠的牙齿了。”
他微微一笑，把脸又转向阳光，闭上眼，“感觉真舒服。”
“我想只要你知道该死的冬天马上来到，一定会有这种感觉。”
他点点头。我们都沉默下来。
“等我出去后，”安迪最后说，“我一定要去一个一年到头都有阳光的地方。”他说话时那种泰然自若的神情，仿佛他还有一个月便要出去似的。“你知道我会上哪儿吗，雷德？”
“不知道。”
“齐华坦尼荷，”他说，轻轻吐出这几个字，像是唱歌似的，“在墨西哥，距墨西哥三十七号公路和仆拉雅阿苏约二十英里，距太平洋边的阿卡波哥约一百英里的小镇，你知道墨西哥人怎么形容太平洋吗？”
我说我不知道。
“他们说太平洋是没有记忆的，所以我要到那儿去度我的余生。雷德，在一个没有记忆、温暖的地方。”
他一面说，一面捡起一把小石头，然后再一个个扔出去，看着石头滚过棒球场的内野地带。不久以后，这里就会覆上一英尺白雪。
“齐华坦尼荷。我要在那里经营一家小旅馆。在海滩上盖六间小屋，另外六间靠近公路。我会找个人驾船带客人出海钓鱼，钓到最大一条马林鱼的人还可以获得奖杯，我会把他的照片放在大厅中，这不会是给全家老少住的那种旅馆，而是专给来度蜜月的人住的……。”
“你打哪来的钱去买这么一个像仙境的地方？”我问道，“你的股票吗？”
他看着我微笑道，“差不多耶，”他说，“雷德，你有时真令我吃惊。”
“你在说什么呀？”
“陷入困境时，人的反应其实只有两种，”安迪说，他圈起手，划了一根火柴，点燃香烟。“假设有间屋子里满是稀有的名画古董，雷德？再假设屋主听说有飓风要来？他可能会有两种反应：第一种人总是怀抱最乐观的期望，认为飓风或许会转向，老天爷不会让该死的飓风摧毁了伦勃朗、德加的名画；万一飓风真的来了，反正这些东西也都保过险了。另一种人认定飓风一定会来，他的屋子绝对会遭殃。即使气象局说飓风转向了，这个家伙仍然假定飓风会回过头来摧毁他的房子。因此他做了最坏的打算，因为他知道只要为最坏的结果预先做好准备，就可以始终抱着乐观的期望。”
我也点燃了根烟。“你是说你已经为未来做好准备了吗？”
“是的，我是预备飓风会来的那种人，我知道后果会有多糟，当时我没有多少时间，但在有限的时间里，我采取了行动。我有个朋友——差不多是唯一支持我的人——他在波特兰一家投资公司做事，六年前过世了。”
“我为你感到难过。”
“嗯，”安迪说，把烟蒂丢掉，“琳达和我有大约一万四千元的积蓄，数目不大，但那时我们都还年轻，大好前程摆在我们面前。”他做了个鬼脸，然后大笑，“起风时，我开始把伦勃朗的名画移到没有飓风的地方。所以我卖掉股票，像一般好公民一样乖乖付税，丝毫不敢有所隐瞒或抄捷径。”
“他们没有冻结你的财产吗？”
“我是被控谋杀，雷德，我不是死掉！感谢上苍，他们不能随意冻结无辜者的财产，而且当时他们也还没有以谋杀的罪名指控我。我的朋友吉米和我当时还有一点时间，我的损失还不小，匆匆忙忙地卖掉了所有的股票什么的。不过当时我需要担心的问题，比在股市小小失血要严重多了。”
“是呀，我猜也是。”
“我来到肖申克时，这笔钱很安全，现在也仍然很安全。雷德，在外面的世界里有一个人，从来没有人亲眼见过他，但是他有一张社会保险卡和缅因州的驾照，还有出生证明。他叫彼得·斯蒂芬，这个匿名还不错吧？”
“这个人是谁？”我问。我想我知道他要说什么，但我觉得难以置信。
“我。”
“你要跟我说在这些人对付你的时候，你还有时间弄一个假身份？”我说，“还是在你受审的时候，一切已经都弄妥了——”
“我不会这样跟你说，是我的朋友吉米帮我弄的，他是在我上诉被驳回以后开始办的，直到一九五〇年春天，他都还保管着这些身份证件。”
“你们的交情一定很深，因为这样做绝对犯法。”我说，我不敢确定他的话有多少可信——大部分是真的，只有一点点可以相信，还是全部都不能相信。但那天太阳露脸了，是个暖和的好天气，而这又是个好故事。
“他和我是很好的朋友，”安迪说，“我们打仗时就在一起，去过法国、德国，他是个好朋友。他知道这样做是不合法的，但他也知道在美国要假造身份很容易，而且也很安全。他把我所有的钱都投资在彼得·斯蒂芬名下——所有该付的税都付了，因此国税局不会来找麻烦。他把这笔钱拿去投资时，是一九五〇年和一九五一年，到今天，这笔钱已经超过三十七万元了。”
我猜我讶异得下巴落到胸口时，一定发出了“砰”的一声，因为他笑了。
“想想看，很多人常常惋惜，假如他们在一九五〇年就懂得投资这个那个就好了，而彼得·斯蒂芬正是把钱投资在其中的两三个项目。如果我不是被关在这里，我早就有七八百万的身价了，可以开着劳斯莱斯汽车……说不定还有严重的胃溃疡。”
他又抓起一把尘土，优雅地让小砂子在指尖慢慢流过。
“怀抱着最好的希望，但预做最坏的打算——如此而已。捏造假名只是为了保存老本，只不过是在飓风来临之前，先把古董字画搬走罢了。但是我从来不曾料想到，这飓风……竟然会吹这么久。”
我有好一阵子没说话。我在想，蹲在我身旁这个穿灰色囚衣的瘦小男子，他所拥有的财富恐怕是诺顿一辈子都赚不到的，即使加上他贪污来的钱，都还是望尘莫及。
“当你说你可以请个律师时，你确实不是在开玩笑，”我最后说，“有这么多钱在手上，你连丹诺[7] 这种等级的名律师都请得起。你为什么不请律师为你申冤呢？你很快就可以出狱呀？”
他微笑着，以前当他告诉我，他和老婆有美好的前程摆在面前时，脸上也带着那种微笑。“不行。”他说。
“如果你有个好律师，就可以把汤米这小子从凯西门弄出来，不管他愿不愿意。”我说，开始得意忘形起来。“你可以要求重新开庭，雇私家侦探去找布拉契，把诺顿扳倒，为什么不这么做呢？”
“因为我被自己的计谋困住了，如果我企图从狱中动用彼得·斯蒂芬的钱，很可能所有的钱都保不住。原本吉米可以帮我的忙，但是他死了，你看出问题出在哪里了吗？”
我懂了。尽管这笔钱能带来很大的好处，但安迪所有的钱都是属于另一个人的。如果他所投资的领域景气突然变差，安迪也只能眼睁睁看着它下跌，每天盯着报上的股票和债券版，我觉得这真是一种折磨人的生活。
“我告诉你到底是怎么一回事好了，雷德。巴克斯登镇有一片很大的牧草地。你知道巴克斯登在哪里吧？”
我说我知道，就在斯卡伯勒附近。
“没错。牧草地北边有一面石墙，就像弗罗斯特的诗里所描写的石墙一样。石墙底部有一块石头，那块石头和缅因州的牧草地一点关系也没有，那是一块火山岩玻璃，在一九四七年前，那块玻璃一直都放在我办公桌上当镇纸。我的朋友吉米把它放在石墙下，下面藏了一把钥匙，那把钥匙能开启卡斯柯银行波特兰分行的一个保险柜。”
“我想你麻烦大了，当你的朋友吉米过世时，税捐处的人一定已经把他所有的保险箱都打开了，当然，和他的遗嘱执行人一起。”
安迪微笑着，拍拍我的头。“不错嘛，脑袋瓜里不是只装了糨糊。不过我们早有准备了，我们早就把吉米在我出狱前就过世的可能性都考虑在内。保险箱是用彼得·斯蒂芬的名字租的，吉米的律师每年送一张支票给波特兰的银行付租金。彼得·斯蒂芬就在那个盒子里，等着出来，他的出生证、社会保险卡和驾照都在那里，这张驾照已有六年没换了，因为吉米死了六年，不过只要花五块钱，就可以重新换发，他的股票也在那儿，还有免税的市府公债和每张价值一万元的债券，一共十八张。”
我吹了一声口哨。
“彼得·斯蒂芬锁在波特兰的银行保险柜中，而安迪·杜佛尼则锁在肖申克监狱的保险柜中，”他说，“真是一报还一报。而打开保险柜和开启新生活的那把钥匙则埋在巴克斯登牧草地的一大块黑玻璃下面。反正已经跟你讲了这么多，雷德，我再告诉你一些其他事情好了。过去二十年来，我天天看报的时候，都特别注意巴克斯登有没有任何工程在进行，我总在想，有一天我会看到报上说，那儿要建一座医院或一条公路或一个购物中心，那么我的新生活就要永远埋在十英尺的水泥地下，或是随着一堆废土被倒入沼泽中。”
我脱口而出说：“天哪，安迪，如果你说的都是真的，你怎么有办法不发疯呢？”
他微笑道：“到目前为止，西线无战事。”
“但可能要好多年——”
“是要好多年，但也许没有诺顿认为的那么久，我等不了那么久，我一直想着齐华坦尼荷和我的小旅馆，现在我对生命的要求仅止于此了，雷德，这应该不算非分的要求吧。我根本没有杀格林·昆丁，也没杀我太太。一家小旅馆……不算奢求吧！我可以游游泳、晒晒太阳，睡在一间可以敞开窗子的房间……这不是非分的要求。”
他把石头扔了出去。
“雷德，你知道，”他漫不经心地说，“在那样的地方……我需要有人知道如何弄到我要的东西。”
我沉吟良久，当时我想到的最大困难，居然不是我们不过是在监狱的小运动场上痴人说梦，还有武装警卫居高临下监视着我们。“我没办法，”我说，“我无法适应外面的世界。我已经变成所谓体制化的人了。在这儿，我是那个可以替你弄到东西的人，出去以后，如果你要海报、锤子或什么特别的唱片，只需查工商分类电话簿就可以了。在这里，我就是那他妈的工商分类电话簿，出去了以后，我不知道要从何开始，或如何开始。”
“你低估了自己，”他说，“你是个懂得自我教育的人，一个相当了不起的人，我觉得。”
“我连高中文凭都没有。”
“我知道，”他说，“但是一纸文凭不见得就可以造就一个人，正如同牢狱生涯也不见得会打垮每一个人。”
“到了外面，我会应付不来的，安迪，我很清楚。”
他站起来。“你考虑考虑。”他说。就在这时，哨声响起，他走开了，仿佛刚才不过是个自由人在向另一个自由人提供工作机会，在那一刻，我也有种自由的感觉。只有他有办法做到这点，让我暂时忘记我们都是被判无期徒刑的终身犯，命运完全操在严苛的假释委员会和整天唱圣诗的典狱长手中，而典狱长一点都不想放安迪出狱，毕竟安迪是条懂得报税的小狗，养在身边多么有用啊！
但晚上回到囚房时，我又感到自己像个犯人了，这整个主意似乎荒诞不经，去想象那一片碧海蓝天和白色沙滩，不仅愚蠢，而且残酷，这念头好像鱼钩一样拖住我的脑子。我就是无法像安迪那样，披上自由的隐形外衣。那晚我睡着后，梦见牧草地中央有一大块光滑的黑玻璃石头，石头的样子好像铁匠的铁砧，我正在摇晃石头，想拿出埋在下面的钥匙，但石头太大了，怎么也动不了。
而在身后，我可以听到警犬的吠声越来越近。
接下来就该谈谈越狱了。
在这个快乐的小家庭中，不时有人尝试越狱。但是在肖申克，如果你够聪明的话，就不要翻墙越狱。监狱的探照灯整晚都四处扫射，好像长长的白手指般，来回照着监狱四周，其中三面是田野，一面是发出恶臭的沼泽地。隔三差五，就会有囚犯企图翻墙越狱，而探照灯总是把他们逮个正着；否则当他们跑到公路上，竖起大拇指希望能搭便车时，也会被发现。如果乡下农夫看到他们走在田野间，也会打电话通报监狱。想翻墙越狱的囚犯是蠢蛋。在这种乡下地方，一个人穿着囚衣形迹鬼祟，就好像婚礼蛋糕上的蟑螂一样醒目。
片段B：
我猜美国每个州立监狱和联邦监狱里，都有像我这样的一号人物，不论什么东西，我都能为你弄到手。无论是高级香烟或大麻（如果你偏好此道的话），或弄瓶白兰地来庆祝儿子或女儿高中毕业，总之差不多任何东西……我的意思是说，只要在合理范围内，我是有求必应；可是很多情况不一定都合情合理的。
我刚满二十岁就来到肖申克监狱。在这个快乐的小家庭中，我是少数肯痛痛快快承认自己干了什么的人。我犯了谋杀罪。我为大我三岁的太太投保了一笔数目庞大的寿险，然后在她父亲送我们的结婚礼物——一辆雪佛兰轿车的刹车上动了手脚。一切都正如我的计划，只是没料到她在半路上停下来载了邻居太太和她的小儿子，他们正一起下城堡山进城去。结果刹车失灵，车速越来越快，冲过路边树丛，撞上了一座内战纪念雕像的底座而轰然起火。旁观者说，当时的车速一定超过每小时五十英里。
我也没料到自己居然会被逮住，但我却锒铛入狱，在这里长期服刑。缅因州没有死刑，但检察官让我因三桩谋杀罪而逐一受审，最后法官判了我三个无期徒刑，数罪并罚。这样一来，我在很长、很长一段时间内，都不可能有机会假释了。法官还在判决书上说我罪行重大，死有余辜。的确如此，不过现在这些事都已成过去。你可以去查查城堡岩的旧报纸档案，有关我的判决当时是地方报纸的头条新闻，与希特勒、墨索里尼以及罗斯福手下那些神秘特工人员的新闻并列，如今看来，实在有点可笑，也早已成为老掉牙的旧闻了。
你问我，我改过自新了吗？我甚至不知道什么叫改过自新，至少我不晓得那在监狱里代表了什么意思，我认为那只是政客爱用的字眼，这个词也许有一些其他的含意，也许有那么一天，我会明白它的含意，但那是未来的事了……而监狱里的囚犯早就学会不要去多想未来。当年的我出身贫穷，但年轻英俊。我让一个富家女珠胎暗结，她出身卡宾街的豪华宅邸，漂亮娇纵、但老是闷闷不乐。她父亲同意让我们结婚，条件是我得在他的眼镜公司工作，“靠自己的实力往上爬”。后来我发现，他真正的用意是要让我随时都在他的监控下，就像管着家里豢养的不太听话、还会咬人的猫狗一样。我的怨恨经年累月，越积越深，终于出手造成了这种后果。如果再给我一次机会，我绝对不会重蹈覆辙，但我不确定这样是否表示我已经痛改前非了。
不过，我真正想说的不是我自己的事，而是安迪·杜佛尼的故事。但在我开始说安迪的故事之前，还得先说几件关于我的事情，反正不会花太多工夫。
正如我刚才所说，差不多四十年来，在肖申克监狱里，我有办法帮你弄到任何东西。除了永远名列前茅的香烟和酒等违禁品之外，我还有办法弄到上千种其他东西，给这儿的人消磨时间。有些东西绝对合法，只是在这种地方不易取得，因为坐牢本该是一种惩罚。例如，有个家伙强暴了一个小女孩，还涉及几十件暴露的案子。我给他找了三块粉红色的佛蒙特大理石，他雕了三座可爱的雕像，一个婴儿、一个十二岁的男孩，还有一个蓄胡子的年轻人，他称这些雕像为“耶稣的三个不同时期”，现在这些雕像已经成为前任州长客厅中的摆设了。
又或者，如果你是在马萨诸塞州北边长大的人，一定还记得这个人的名字——罗伯特·艾伦·科特。他在一九五一年，企图抢劫莫堪尼克弗市第一商业银行，结果那次抢劫演变成血腥事件，死了六个人，包括两个强盗、三名人质，还有一个年轻警察因为挑错时间抬起头来，而让子弹穿过眼睛。科特有收集钱币的嗜好。监狱自然不会准他将收藏品带进来，但靠着他母亲和洗衣房卡车司机的帮忙，我还是替他弄到了他想要的东西。我告诉他：你一定是疯了，才会想在这个满是盗贼的石头旅馆中收藏钱币。他看着我微笑说：“我知道该把钱币藏在哪里，绝对安全，你别担心。”他说得没错。直到一九六七年他死于脑瘤时，他所收藏的钱币始终没有现身过。
我试过在情人节设法为狱友弄到巧克力；在圣帕迪日为一个叫欧迈利的疯狂爱尔兰人弄到三杯麦当劳卖的那种绿色奶昔；我甚至还为二十个人放映过午夜场电影，片名分别是《深喉》和《琼斯小姐体内的魔鬼》（这些都是色情片，他们一起凑钱租片子）……虽然我因为这些越轨行动被关了一周禁闭，但要维持“神通广大”的英名，就必须冒这样的风险。
我还能弄到参考书和黄色书刊、会让人发痒的粉末之类的恶作剧新奇玩意儿，甚至替被判长期徒刑的家伙弄到太太或女朋友的内裤……我猜你也知道这些人究竟如何度过如刀割似的漫漫长夜了。这些东西并非免费的，有些东西代价不菲。但我绝不是光为钱来干这些事。金钱对我又有何用呢？我既无法拥有一辆凯迪拉克，更不能在二月天飞到牙买加去度两个星期假。我这么做的理由和市场一流肉贩非新鲜肉品不卖的理由是一样的，只是为了维持英名不坠罢了。只有两种东西，我绝对不碰，一是枪械，一是毒品。我不愿帮助任何人把自己或其他人杀掉。我心头上的杀戮已够多了，终我一生，我不想再干任何杀人的勾当。
啊，我的商品目录可说是无所不包，因此当安迪·杜佛尼在一九四九年来找我，问我能否把丽塔·海华丝[1] 弄进监狱时，我说没问题。确实没有任何问题。
安迪在一九四八年到肖申克时是三十岁，他属于五短身材，长得白白净净，一头棕发，双手小而灵巧。他戴了一副金边眼镜，指甲永远剪得整整齐齐、干干净净，我最记得的也是那双手，一个男人给人这种印象还满滑稽的，但这似乎正好总结了安迪这个人的特色，他的样子老让你觉得他似乎应该穿着西装、打着领带的。他没进来前，是波特兰一家大银行的信托部副总裁。在保守的银行界，年纪轻轻就坐上这个位子，可说是前程似锦。尤其在新英格兰这一带，保守的风气更是十倍于其他地方；除非你是个精神萎靡的秃头中年人，不时整整西装裤上的线条，唯恐不够笔挺，否则很难得到当地人的信任，让他们把钱存在你那里。安迪是因为谋杀了老婆和她的情夫而被关进来的。
我相信我说过，监狱里每个犯人都声称自己无辜。他们只是碰上了铁石心肠的法官、无能的律师、警察的诬告，而成为受害者，再不然就是运气实在太坏了。尽管他们手按《圣经》宣誓，但却口是心非，像电视上的布道家那样信口开河而已。大多数囚犯都不是什么好人，无论对自己或对别人，都没什么好处，他们最大的不幸，就是被生到这世上来。我在肖申克的那些年中，尽管许多人告诉我他们是无辜的，但我相信其中真正无辜的人不超过十个，安迪·杜佛尼就是其中之一。不过我是经过了很多年才相信他的无辜，如果一九四七到四八年间，波特兰高等法院审判他的案子时我也是陪审团的一员，我想我也会投票赞成将他定罪。
那是个轰动一时的案子，具备了所有耸动刺激的案子必备的要素。三位主角，一位是交游广泛的美丽名媛（已死），一位是当地的运动健将（也死了），被告则是著名的青年企业家，再加上报纸的渲染、对丑闻的暗示。检察当局认为这个案子几乎是铁证如山，而案子之所以还审了那么长的一段时日，是因为侦办此案的检察官当时正要出马竞选众议员，有意留给大家深刻的印象。这是一场出色的法庭秀，旁观的群众清晨四点钟就冒着零度以下的低温到法院排队，免得抢不到位子。
在这个案子里，安迪始终不曾抗议过检察官的指控，包括安迪的太太琳达在一九四七年六月表示有意去学高尔夫球，她选了佛茂丘乡村俱乐部的课程学了四个月，教练叫格林·昆丁，是一名职业高尔夫球手。结果没有多久，琳达便和高尔夫球教练好上了，到了八月底，安迪听说了这件事。于是安迪和琳达在一九四七年九月十日下午大吵一架，争论的导火线便是琳达的外遇。
安迪供称琳达当时表示她很高兴安迪知道这件事，并说偷偷摸摸瞒着他约会，实在很不舒服，她要去雷诺城办离婚。安迪回答，要他一起去雷诺，门儿都没有，他们会先去地狱。琳达当晚即离家出走，到昆丁住处过夜，昆丁家就在高尔夫球场附近。第二天早上，为昆丁清扫洗衣的佣人发现他们两人死在床上，每人各中四枪。
最后一项事实对安迪最不利。怀抱着政治热情的检察官做了慷慨激昂的开场白和结论。他说安迪·杜佛尼不只是个因为妻子不贞而热血沸腾、急于报复的丈夫，如果是出于这样的动机，我们虽然无法原谅，却可以理解，但是他的报复手段实在太冷血了。想象一下！他连珠炮般对着陪审团说：每人各射了四枪，不是射完手枪里的六发子弹就算了，而是总共射了八枪。把原先枪膛里的子弹射完后，停下来，重新装子弹，然后再一人补一枪！第二天，《波特兰太阳报》以斗大标题怒吼着：给他四枪，她也四枪！
路易斯登镇一家当铺的伙计作证说，他在案发两天前卖了一支点三八口径、有六发子弹的警用手枪给安迪·杜佛尼。乡村俱乐部的酒保作证说九月十日晚上七点左右，安迪到酒吧来喝酒，在二十分钟内喝了三杯烈性威士忌酒，当他从椅子上站起来时，他告诉酒保要去昆丁家，并说欲知后事如何，明天看报纸就知道了。还有一个距离昆丁家一英里远的便利商店店员告诉法庭，安迪·杜佛尼在当晚八点四十五分左右去过他的店。他买了香烟、三夸脱啤酒，还有一些擦碗布。法医证明昆丁和琳达是在晚上大约十一点到凌晨两点之间遇害的。检察官派出的探员作证时表示，昆丁家七十码外的地方有个岔道，九月十一日下午，他们在岔道附近找到三样物证：两个空啤酒瓶（上面有被告的指纹）、十二根烟蒂（是被告抽的牌子），以及轮胎痕迹（正是被告一九四七年出厂的普利茅斯牌车子的车胎印子）。
在昆丁住处的客厅里，有四条擦碗布被扔在沙发上，上面有弹孔和火药灼烧过的痕迹。警探的推论是，凶手把擦碗布包在枪口上来消音（安迪的律师对探员擅自推论提出强烈抗议）。
安迪·杜佛尼也走上证人席为自己辩护，他很冷静、镇定、不带感情地述说自己的故事。他说早在七月底就听说了太太和昆丁密切来往的事。八月底他悲苦到受不了了，开始调查。一天傍晚，琳达上完高尔夫球课以后，原本说要到波特兰购物，但他尾随琳达和昆丁却到了昆丁住的地方（媒体不可免俗地把这里冠上“爱巢”二字）。他把车子停在附近，一直等昆丁驾车送琳达回俱乐部取车才离开，那是三小时以后的事了。
“你是说你开了你的普利茅斯牌新车跟随你太太？”检察官审问他。
“那天晚上我和一个朋友换了车子。”安迪说。但他冷静地承认自己计划得多么周详，只会使陪审员感到他城府很深，对他一点好处也没有。
在还了朋友的车、取回自己的车后，安迪便回家了。琳达早已上床，正在看书。他问她去波特兰好玩吗？她回答说很有意思，不过没有看到她想买的东西。“这时我可以确定了。”安迪告诉那些屏息的旁听者。他在陈述时一直保持冷静和淡漠的声调。
“从那时候到你太太被杀的十七天里，你脑子里都在想些什么？”安迪的律师问他。
“我很难过。”安迪冷静淡漠地说，他说他曾经想过自杀，同时在九月八日去路易斯登镇买了一把枪，他说这段话时，口气好像在念购物单一样。
他的律师要他告诉陪审团，在他太太被杀当晚，琳达离家去和昆丁幽会后，到底发生了什么事情。安迪说了，但他给陪审团造成的印象更糟。
我认识他将近三十年了，我可以告诉你，他是我所认识的人中自制力最强的一个。对他有利的事情，他一次只会透露一点点；对他不利的事更是守口如瓶。如果他心底暗藏了什么秘密，那么你永远也无从得知。如果他决定自杀的话，他会等到所有事情都处理得干净利落，连字条都不留。如果他当年出庭时又哭又叫、结结巴巴地说不清楚，甚至对着检察官大吼，我相信他不至于被判无期徒刑。即使判刑，也会在一九五四年就获得假释。但他说起自己的故事来，就像播放唱片似的，仿佛在告诉陪审团的人说：信不信由你。而他们压根儿就不相信。
他说那天晚上他喝醉了，而且从八月二十四日后，他常醉酒，他不是一个善饮的人。陪审团的人无法相信这么一个冷静自制、穿着笔挺双排扣三件头毛料西装的年轻人，会为了太太和镇上的高尔夫球教练有染而酗酒，但我相信，因为我有机会和他长久相处、仔细观察他，而那六男六女的陪审团却没有这样的机会。
自我认识他以来，他一年只喝四次酒。每年他都会在生日前一个星期到运动场和我碰头，然后在圣诞节前两星期再碰头一次。每次他都要我替他弄一瓶酒。跟其他犯人一样，他拿在狱中做工赚的钱来买酒，另外再自掏腰包补足不够的钱。一九六五年以前，肖申克的工资是每小时一毛钱，一九六五年起调升到每小时两毛五分。我每瓶酒抽百分之十的佣金，因此你可以算一下，安迪·杜佛尼要在洗衣房中流多少汗，一年才喝得起四次酒。
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他决定跟他们力拼。当博格斯和两个同党一星期后尾随安迪时，安迪猛烈还击，当时厄尼刚好在附近。根据厄尼的说法，博格斯当时说：“我听说你已破身了。”安迪打破了一个叫卢斯特的家伙的鼻子，那家伙是个粗壮的农夫，因为打死继女而被关进牢中。我很乐于告诉你，他后来死在这里。
他们三个人联手制伏他，轮流强暴他，之后再强迫安迪跪下来。博格斯站在他面前，他那时有一把珍珠柄的剃刀，刀柄上刻了“戴蒙德珍珠”的字样。他打开剃刀说：“我现在要解开拉链啦，男人先生，我要你咽下什么东西，你就得给我咽下。等你咽完了我给你的东西，你就得咽下卢斯特的东西，你把他的鼻子打破了，应该要对他有所补偿。”
安迪说：“如果你把任何东西塞进我的嘴里，你就会失掉那个东西。”
厄尼说，博格斯看着安迪，以为他疯了。
“不对，”他慢慢对着安迪说，好像安迪是个笨孩子，“你没听懂我说的话。如果你胆敢这样做的话，我会把这柄八英寸长的玩意从你耳朵全插进去，懂吗？”
“我明白你在说什么，但是我想你没听懂我的话。只要你把任何东西塞进我的嘴巴里，我就会把它咬断。你可以把刀子插进我的脑袋里，不过你应该明白，当一个人脑部突然受到严重创伤时，他会同时撒尿拉屎……和大力咬下去。”
安迪抬头看着博格斯，脸上带着惯有的微笑，厄尼描述，仿佛他们三个人只是在和他讨论股票与债券，仿佛他还像在银行上班一样，身上穿着三件头西装，而不是跪在洗衣房的脏地板上，裤子退到脚踝处，大腿间流着血。
“事实上，”他还继续说，“我只知道，这种用力咬下去的反射动作有时候太激烈了，事后你得用铁锹或钻子才有办法把他的下巴撬开。”
结果，一九四八年二月的那个晚上，博格斯没敢放任何东西到安迪嘴巴里，卢斯特也没有，就我所知，以后也没有任何人敢这么做。他们三个人结结实实把安迪打了一顿，差那么一点点就把他打死；而四个人都关了一阵子禁闭。安迪和卢斯特还先被送到监狱的医务室疗伤。
这些家伙找过他几次麻烦？我不知道。我想卢斯特很早便对他失去兴趣了，足足有一个月的时间都得用夹板固定鼻梁，会让一个人倒足胃口。那年夏天，博格斯也停止找他麻烦了。
那是一件怪事。六月初的一个早上，博格斯没出来吃早饭，他们发现他被打得半死，奄奄一息地躺在牢房中。他没说是谁干的，或是怎么发生的，但是干我这一行，我很清楚你几乎可以买通监狱警卫去做任何事情，只要不是要他们为囚犯带枪进来就好。那时他们的薪水不高，就是现在也不高，而且当时没有电动门锁，没有闭路电视或中央系统可以监控整个监狱。在一九四八年，每个囚区都有单独的门禁和警卫，贿赂警卫让两三个人混进来很容易，是啊，甚至进到博格斯的牢房中，都有可能。
当然这样做需要花掉不少钱，不是依照外面的水准，不，监狱里属于小规模经济，你进来一段时间就会发现，手上有张一块钱钞票，就跟外面的二十元一样管用。我猜如果博格斯是这样被暗算的，那么某人可花了不少钱，可能给警卫十五块钱，几个打手则一人两三块钱。
我并不是说这件事一定是安迪干的，不过我知道他带了五百元进来。他进来前在银行工作，对于金钱能够发挥的力量，他比我们任何人都更清楚。
我只知道：自从这次挨打以后——博格斯断了三根肋骨、眼睛出血、背部拉伤加上股骨脱臼，他不再找安迪的麻烦了，事实上，他再也不找任何人麻烦了。他就好像夏天刮大风一样，虽然狂吹着，却都是虚张声势。你可以说，他变成一个“软弱”的姊妹。
博格斯的故事就此结束，原本他很可能杀了安迪，如果安迪没有采取任何行动来防备的话。但这并不意味着其他姊妹也不再找他麻烦，偶尔他们还是会趁他不备，乘虚而入，但次数不多。毕竟胡狼还是比较喜欢容易上手的猎物，而在肖申克，比安迪容易上手的猎物多的是。
不过，我记得安迪每次都奋力抵抗。我猜，他知道只要有一次让他们容易上手，以后便永无宁日。因此安迪脸上偶尔会挂彩，在博格斯被打约六或八个月后，他还断了两根指头。对了，在一九四九年末，他还曾经因为脸颊骨断裂而到医务室就诊，看来有人用布将铁管子包起来，用力往他脸上挥打。他总是反击，因此经常被单独监禁。我想关禁闭对他而言并不苦，不像其他人那么受不了，他一点也不害怕独处。
他勉强适应着和姊妹们周旋——但到了一九五〇年，这种事几乎完全停止了。等一下我会详细讲述这部分。
一九四八年秋天，有一天早上，安迪在运动场上跟我见面，问我能不能替他弄到一打磨石布。
“那是什么鬼玩意？”我问道。
他告诉我那是石头迷的术语，是跟擦碗布差不多大小的布，用来磨亮石头。磨石布厚厚的，一面粗糙，一面光滑，光滑的一面像砂纸，粗糙的一面则像工业用的钢丝绒（安迪的牢房里也有一盒钢丝绒，却不是我帮他弄到的，我猜他是从洗衣房里偷来的）。
我跟他说这宗生意没问题，然后替他从同一家岩石和玉石店弄到了他要的东西。这次我只抽百分之十的服务费，没多要他一分，因为我认为这种长七英寸、宽七英寸的正方形布垫没啥危险。磨石布，真是的。
五个月后，安迪问我能否替他把丽塔·海华丝给弄来。我们这次是借着礼堂放映电影的机会谈的生意。现在我们一周可以看一两次电影，以前一个月才看一次，放映的电影通常都含有浓厚的道德启示，那次放映的电影《失去的周末》也不例外，警告我们喝酒是很危险的。这样的道德教训倒是令身陷囹圄的我们感到有点安慰。
安迪想办法坐到我旁边来，电影放到一半时，他挨近我，问我是否能给他弄到丽塔·海华丝。说实话，我真想笑。他一向表现得很冷静，而且一板一眼，但那天晚上他坐立不安，十分难为情，好像在跟我要保险套似的。他好像充足了电，随时要爆发一样。
“可以呀，”我说，“别紧张，冷静点，你要大张的还是小张的？”当时丽塔是我最喜欢的电影明星（几年前则是贝蒂·葛兰宝），当时丽塔·海华丝的海报有两种尺寸。花一块钱的话，可以弄个小张的，二块五毛钱则可以弄到大张的，四英尺高，女人味十足。
“大张的，”他说，没看我。那晚他真是害臊得厉害，脸红得像个想偷拿哥哥身份证去看香艳秀的孩子，“你有办法弄到吗？”
“当然可以，别紧张。”这时大家看到电影精彩处，开始拍手尖叫起来。
“多久可以弄到？”
“一个星期，也许可以更快点。”
“好吧，”他的声音透着失望，好像希望我马上就能从口袋里掏一张出来给他，“多少钱？”
这次我照批发价算给他。这点折扣，我还给得起；他一直是个好顾客，而且也是个乖宝宝——当博格斯、卢斯特和其他人一直找他麻烦时，我常常怀疑，他哪天会不会拿起他的石锤，敲破某个人的脑袋？
海报是我的大宗生意，抢手的程度仅次于酒和香烟，通常比大麻的需求量还多。二十世纪六十年代，各种海报的需求量都大增，例如，有不少人想要鲍勃·迪伦[4] 、吉米·亨德里克斯[5] 以及电影《逍遥骑士》的海报。但大多数人还是喜欢女人的海报，一个接一个的性感漂亮海报皇后。
在安迪和我谈过几天以后，和我有生意往来的洗衣房司机为我捎回六十多张海报，大多数是丽塔·海华丝的海报。你可能还记得那张有名的照片，我就记得清清楚楚，海报上的丽塔·海华丝身着泳装，一只手放在头后面，眼睛半闭，丰满的红唇微张，好一个喷火女郎。
也许你很好奇，监狱管理当局知道有黑市存在吗？当然知道啰。他们可能跟我一样清楚我的生意，但他们睁一只眼、闭一只眼，因为他们知道整个监狱就像个大压力锅，必须有地方透透气。他们偶尔会来次突击检查，我一年总要被关上两三次禁闭，不过像海报这种东西，他们看了眨眨眼便算了，放彼此一条生路嘛。当某个囚犯的牢房里出现了一张丽塔·海华丝的大张海报时，他们会假定大概是亲戚朋友寄来的。当然事实上亲友寄到监狱的包裹一律都会打开检查，然后登记到清单上，但如果是像丽塔·海华丝或艾娃·嘉娜这种完全无害的性感美女海报，谁又会回去重新审阅那张清单呢？当你生活在压力锅中时，你得学会如何生存，也学会放别人一条生路，否则会有人在你的喉咙上划开一道口子。你得学会体谅。
厄尼再度替我把海报拿去安迪的十四号牢房，同时带回一张字条到我的六号牢房来，上面是安迪一丝不苟的笔迹，只有两个字：“多谢。”
后来有一天，早上排队去吃早餐时，我找机会瞄了一下安迪的房间，看到丽塔·海华丝的泳装海报亮丽地贴在床头，这样他在每晚熄灯后，还可以借着运动场上的水银灯看着泳装打扮的丽塔·海华丝，她一手放在头后面，眼睛半闭，丰满的红唇微张。可是，白天她的脸上全是一条条黑杠，因为太阳光把铁窗栅栏的阴影印到海报上了。
现在我要告诉你一九五〇年五月中发生的事，这件事结束了安迪和那些姊妹之间持续三年的小冲突，而他也因为这次事件终于从洗衣房调到图书馆工作，他在图书馆一直待到今年初离开这个快乐小家庭为止。
你或许已经注意到，我告诉你的许多事情都是道听途说的——某人看到某件事以后告诉我，而我再告诉你。在某些情况下，我已经把这些经过四五手传播后的故事简化了许多。不过在这里，生活就是如此。这里的确有个秘密情报网，如果你要保持消息灵通，就得运用这个情报网。当然，你得懂得去芜存菁，知道怎么从一大堆谎言、谣传和子虚乌有的幻想中，挑出真正有用的消息。
还有，你也许会觉得我描述的是个传奇人物，而不是普通人，我不得不承认这多少是事实。对我们这些认识安迪多年的终身犯而言，安迪的确带着点传奇魔幻的色彩，如果你明白我的意思的话。监狱里流传的故事，包括他拒绝向博格斯屈服、不断抵抗其他姊妹，甚至弄到图书馆工作的过程，都带着传奇色彩。但是有一个很大的差别是，最后这件事是我亲眼目睹的，我敢以我妈妈的名字发誓，我说的话句句属实。杀人犯的誓言或许没有什么价值，但是请相信我：我绝不说谎。
当时我们已经建立起不错的交情，这家伙很有意思。我还忘了告诉你一件事，也许我应该提一下的。就在他挂上丽塔·海华丝的海报五周后——我早已忘记了这整件事，而忙着做其他生意——有一天厄尼从牢房的铁栅栏递给我一个白色小盒子。
“安迪给你的。”他低声说，两手依然不停地挥动扫把。
“多谢！”我说，偷偷递给他半包骆驼牌香烟。
当我打开盒子时，我在想里面会是什么怪东西？里面放了不少棉花，而下面是……
我看了很久，有几分钟，我甚至有点不敢去碰它们，实在是太美了。这里极端缺乏美好的东西，而真正令人遗憾的是，许多人甚至不怀念这些美丽的东西。
盒子里是两块石英，两块都经过仔细琢磨，削成浮木的形状，石英中的硫化铁发出闪闪金光。如果不是那么重的话，倒可以做成一对很不错的袖扣，这两块石英就有这么对称精致。
要琢磨这两块石头得花多少时间？可想而知，一定是在熄灯以后无数小时的苦工。首先得把石头削成想要的形状，然后才是用磨石布不断琢磨打光。看着它们，我内心升起一股暖意，这是任何人看到美丽东西之后都会涌现的感觉。这种美是花了时间和心血打造出来的，是人之所以异于禽兽的原因。我对他的毅力肃然起敬，但直到后来，我才真的了解他是多么坚持不懈。
一九五〇年五月，上面决定要翻修监狱车牌工厂的屋顶。他们打算在天气还不是太热时做完，征求自愿去做这份工作的人，整个工程预计要做一个星期。有七十多个人愿意去，因为可以借机到户外透透气，而且五月正是适合户外工作的宜人季节。上面以抽签方式选了九或十个人，其中两个正好是安迪和我。
接下来那个星期，每天早饭后，警卫两个在前，两个在后，押着我们浩浩荡荡穿过运动场，瞭望塔上所有的警卫都用望远镜远远监视着我们。
早晨行进的时候，我们之中有四个人负责拿梯子，把梯子架在平顶建筑物旁边，然后开始排人龙，把一桶桶热腾腾的沥青传到屋顶上——那玩意儿只要泼一点在你身上，你就得一路狂跳着去医务室找医生。
有六个警卫监督我们，全是老经验的警卫。对他们而言，那个星期简直像度假一样，比起在洗衣房或打造车牌的工厂中汗如雨下，又或者是站着看管一群囚犯做工扫地，他们现在正在阳光下享受正常人的五月假期，坐在那儿，背靠着栏杆，大摆龙门阵。
他们甚至只需要用半只眼睛盯着我们就行了，因为南面墙上的警卫岗哨离我们很近，近到那些警卫甚至可以把口水吐到我们身上，如果他们要这么做的话。要是有哪个在屋顶上工作的囚犯敢轻举妄动，只消四秒钟，就会被点四五口径的机关枪扫成马蜂窝，所以那些警卫都很悠闲地坐在那里；如果还有几罐埋在碎冰里的啤酒可以喝，就简直是快活似神仙了。
其中有个警卫名叫拜伦·哈力，他在肖申克的时间比我还长，事实上，比此前两任典狱长加起来的任期还长。一九五〇年的时候，典狱长是个叫乔治·邓纳海的北方佬，他拿了个狱政学的学位。就我所知，除了任命他的那些人之外，没有人喜欢他。我听说他只对三件事有兴趣：第一是收集统计资料来编他的书（这本书后来由一家叫“粉轻松”的小出版社出版，很可能是他自费出版的），其次是关心每年九月哪个球队赢得监狱棒球联谊赛冠军，第三是推动缅因州通过死刑法。他在一九五三年被革职了，因为他在监狱的汽车修理厂中经营地下修车服务，并且和哈力以及史特马分红。哈力和史特马因为经验老到，知道如何不留把柄，但邓纳海便得走人。没有人因为邓纳海走人而感到难过，但也没有人真的高兴看见史特马坐上他的位子。史特马五短身材，一双冷冰冰的棕色眼睛，脸上永远带着一种痛苦的微笑，就好像他已经憋不住了、非上厕所不可、却又拉不出来的表情。在史特马任期内，肖申克酷刑不断，虽然我没有确切的证据，不过我相信监狱东边的灌木林中，可能发生过五六次月夜中掩埋尸体的事情。邓纳海不是好人，但史特马更是个残忍冷血的卑鄙小人。
史特马和哈力是好朋友。邓纳海当典狱长的时候，不过是个装腔作势的傀儡，真正在管事的人是史特马和哈力。
哈力是高个子，走起路来摇摇晃晃，有一头稀疏的红发。他很容易晒得红彤彤的，喜欢大呼小叫。如果你的动作配合不上他要求的速度，他会用棍子猛敲你。在我们修屋顶的第三天，他在和另一个名叫麦德·安惠的警卫聊天。
哈力听到了一个天大的好消息，所以正在那儿发牢骚。这是哈力的典型作风，他是个不知感恩的人，对任何人从来没有一句好话，认定全世界都跟他作对：这个世界骗走了他一生中的黄金岁月，而且会把他下半辈子也榨干。我见过一些几乎像圣人般品德高尚的狱卒，我知道他们为什么如此——他们明白自己的生活虽然贫困艰难，却仍然比州政府付钱请他们看守的这群囚犯好得多。这些狱卒能够把痛苦做个比较，其他人却不能，也不会这么做。
对哈力而言，没什么好比较的。他可以在五月温暖的阳光下悠闲地坐在那儿，慨叹自己的好运，而无视不到十英尺外，一些人正在挥汗工作，一桶桶滚烫的沥青几乎要灼伤他们的双手，但是对于平日需要辛苦工作的人而言，这份工作已经等于在休息了。或许你还记得大家常问的那个“半杯水”老问题，你的答案正反映了你的人生观。像哈力这种人，他的答案绝对是：有一半是空的，装了水的玻璃杯永远有一半是空的。如果你给他一杯冰凉的苹果汁，他会想要一杯醋。如果你告诉他，他的老婆总是对他忠贞不贰，他会说，那是因为她像无盐嫫母一样丑。
于是，他就坐在那儿和麦德聊天，声音大得我们所有人都听得到，宽大的前额已经开始晒得发红。他一只手扶在屋顶四周的矮栏杆上，另一只手按在点三八口径手枪的枪柄上。
我们都听到他的事了。事情是这样的，哈力的大哥在十四年前到德州去，自此音讯全无，全家人都以为他已经死了，真是一大解脱。一星期前，有个律师从奥斯汀打长途电话来，他老兄四个月前过世了，留下了差不多一百万美元的遗产，他是搞石油生意发的财。“真难以置信有些笨瓜有多走运。”这个该死没良心的家伙站在工厂屋顶上说。
不过，哈力并未成为百万富翁——如果真的成了百万富翁，即使是哈力这种人，可能都会感到很快乐，至少会快乐一阵子——他哥哥留给缅因州老家每个还活在世上的家人每人三万五千美元，真不赖，跟中了彩券一样。
但是在哈力眼中，装了水的玻璃杯永远有一半是空的。哈力整个早上都在跟麦德抱怨，该死的政府要抽走他大部分的意外之财，“留下来的钱只够买辆新车，”他悻悻然，“然后怎么样？买了车以后还要付该死的税、付修理费和保养费，该死的孩子们又闹着要你带他们出去兜风——”
“等到他们长大了，还会要求把车开出去，”麦德说，老麦德知道面包的哪一面涂了奶油，他没有说出我们每个人心底的话，“老小子，如果那笔钱真是这么烫手的话，我很愿意接下这烫手山芋，否则要朋友做什么呢？”
“对啦！他们会要求开车，要求学开车，天哪！”哈力说到这里有点不寒而栗，“然后到了年底会怎么样？如果你发现不小心把税算错了，还得自掏腰包来补税，甚至还要去借贷来缴税。然后他们还要稽查你的财务呢，稽查完他们铁定要收更多的税，永远都这样。谁有能耐跟山姆大叔对抗？他们伸手到你衬衫里捏着你的奶头，直到你发紫发黑为止，最后倒霉的还是自己，老天爷！”
他陷入了懊恼的沉默中，想着他继承了这三万五千元，真是倒霉透了。安迪正在十五英尺外用一根大刷子刷沥青，他把刷子顺手扔到桶里，走向麦德和哈力坐的地方。
我们都紧张起来，我看到有个叫杨勒的警卫准备掏出枪来。在瞭望塔上的一名警卫也用手戳戳同伴的手臂，两人一起转过身来。有一阵子，我还以为安迪会被射杀、狠狠打一顿或两者都发生。
他轻声问哈力：“你信得过你太太吗？”
哈力只是瞪着他，开始涨红了脸，我知道要坏事了。三秒钟之内，他会抽出警棍来，朝着安迪的胃部要害打下去，胃后面正是太阳神经丛的所在，那儿有一大束神经，只要力道够大，就能送人上西天，但他们还是会打下去，万一没死，也足以让你麻痹很长一段时间，忘掉原本想做什么。
“小子，”哈力说，“我只给你一次机会去捡起刷子，然后从这屋顶滚下去。”
安迪只是看着他，非常冷静，目光如冰，恍若没有听到他的话似的。我真想上去告诉他识时务点，给他上一门速成课，告诉他，你绝不能让警卫知道你在偷听他们谈话，更不能插嘴，除非他们问你（即使他们问你，也只能有问必答，然后立刻闭嘴）。在这里，无论黑、白、红、黄哪色人种，在狱卒眼中都一样，他们全把你当黑鬼，如果你想在哈力和史特马这种人手下活命的话，你得习惯这种想法。当你坐牢的时候，你的命是属于国家的，如果你忘了这点，只有自己倒霉。我曾经看过瞎了眼的人，断了手指、脚趾的人，还有一个人命根子断了一小截，还暗自庆幸只受了这点伤。我想告诉安迪，已经太迟了。他可以回去捡起刷子，但是晚上还是会有个笨蛋在淋浴间等着他，准备打得他两腿痉挛，痛得在地上打滚。而你只要用一包香烟，就可以买通这样的笨蛋。最重要的是，我想告诉他，情况已经够糟了，不要把事情弄得比现在更糟。
但我什么也没做，只是若无其事地继续铺着沥青。我跟其他人一样，懂得如何明哲保身。我不得不如此。东西已经裂开来啦，而在肖申克，永远会有像哈力这类人，极乐意把它打断。
安迪说：“也许我说得不对，你信不信任她不重要，问题在于你是否认为她会在你背后动手脚。”
哈力站起来，麦德站起来，杨勒也站起来。哈力的脸涨得通红。“现在唯一的问题是，你到底还有几根骨头没断，你可以到医务室去好好数一数。来吧，麦德！我们把这家伙丢下去。”
杨勒拔出枪来。我们其他人都疯狂地埋头铺沥青。大太阳底下，他们就要这么干了，哈力和麦德准备一人一边把他丢下去。可怕的意外！编号八一四三三—SHNK的囚犯杜佛尼脚踩空了几步，整个人从梯子上滑了下去。太惨了。
他们两人合力抓住他，麦德在右，哈力在左，安迪没有抵抗，眼睛一直盯住哈力紫胀的脸孔。
“哈力先生，如果她完全在你的掌控之下，”他还是用一贯平静镇定的声音说，“那么没有什么理由你不能全数保有那笔钱。最后的比数是：拜伦·哈力先生三万五千，山姆大叔零。”
麦德开始把他拉下去，哈力却只是站在那儿不动。有一阵子，安迪好像拔河比赛的那条绳子，在他们两人之间拉扯着。然后哈力说：“麦德，停一会儿。你说什么？”
“如果你控制得了你老婆，就可以把钱交给她。”安迪说。
“你最好把话说清楚点，否则是自找苦吃。”
“税捐处准许每个人一生中可以馈赠配偶一次礼物，金额最高可达六万元。”安迪说。
哈力怔怔地望着安迪，好像被斧头砍了一下那样。“不会吧，免税？”他说。
“免税，”安迪说，“税捐处一分钱也动不了。”
“你怎么知道这件事？”
杨勒说：“他以前在银行工作，我想他也许——”
“闭嘴，你这鳟鱼！”哈力说道，看也不看他，杨勒满脸通红，闭上嘴。有些警卫喊他鳟鱼，因为他嘴唇肥厚，眼睛凸出。哈力盯着安迪看，“你就是那个杀掉老婆的聪明银行家，我为何要相信像你这样的聪明银行家？你想要我跟你一样尝到铁窗滋味吗？你想害我，是不是？”
安迪静静地说：“如果你因为逃税而坐牢，你会被关在联邦监狱中，而不是肖申克，不过你不会坐牢。馈赠礼物给配偶是完全合法的法律漏洞，我办过好几十件……不，是几百件这种案子，这条法令主要是为了让小生意人把事业传下去，是为一生中只发一次横财的人，也就是像你这样的人，而开的后门。”
“我认为你在撒谎。”哈力说，但他只是嘴硬，由他脸上的表情可以看出他其实相信安迪的话。哈力丑陋的长脸上开始浮现些微激动，显得十分古怪，在哈力脸上出现这样的表情尤其可憎。他之所以激动，是因为看到了希望。
“不，我没撒谎。当然你也不必相信我，你可以去请律师——”
“你他妈的龟儿子！”哈力吼道。
安迪耸耸肩，“那你可以去问税捐处，他们会免费告诉你同样的事情，事实上，你不需要我来解说，你可以亲自去调查。”
“你他妈的，老子用不着谋杀老婆的聪明银行家来教我黑熊在哪里拉大便。”
“你只需找个律师或银行家帮你办理馈赠手续，不过要花点手续费。”安迪说，“或是……如果你愿意的话，我很乐意免费帮你办，只要你给我的每一位同事送三罐啤酒——”
“同事？”麦德一边说，一边拍着膝盖，捧腹大笑。我真希望他在吗啡还未发明的世界里因为肠癌而上西天。“同事，太可笑了？同事？你还有什么——”
“闭上你的鸟嘴！”哈力吼道，麦德闭嘴。哈力看了安迪一眼，“你刚才说什么？”
“我说我只要求你给每位同事三罐啤酒，如果你也认为这样公平的话，”安迪说，“我认为当一个人在春光明媚的户外工作了一阵子时，如果有罐啤酒喝喝，他会觉得更像个人。这只是我个人的意见，我相信他们一定会感激你的。”
我曾经和当天也在现场的几个人谈过——包括马丁、圣皮耶和波恩谢——当时我们都看到同样的事情，有同样的感觉。突然之间，就变成安迪占上风了。哈力腰间插着枪，手上拿着警棍，后面站着老友史特马，还有整个监狱的管理当局在背后撑腰，但是突然之间，在亮丽的金色阳光下，这一切都不算什么。我感到心脏快跳出来了，自从一九三八年，囚车载着我和其他四个人穿过肖申克的大门，我走出囚车踏上运动场以来，还不曾有过这种感觉。
安迪以冷静自若的眼神看着哈力，这已不只是三万五千元的事情了，我们几个都同意这点。我后来不断在脑海中重播这段画面，我很清楚，这是一个人和另一个人的角力，而且安迪步步进逼、强力推进的方式，就好像两个人在比腕力的时候，强者硬把弱者的手腕压在桌上的情形。哈力大可以向麦德点点头，让他把安迪扔下去，事后仍旧采纳安迪的建议。
他没有理由不这么做，但他没有这么做。
“如果我愿意，我是可以给你们每个人几罐啤酒，”哈力说，“工作的时候喝点啤酒是很不错。”这个讨厌鬼甚至还摆出一副宽宏大量的样子。
“我先给你一个不让税捐处找麻烦的法子，”安迪说。他的眼睛眨也不眨看着哈力。“如果你很有把握的话，就把这笔钱馈赠给你太太。如果你认为老婆会在背后动手脚或吞掉你的钱，我们还可以再想其他——”
“她敢出卖我？”哈力粗着声音问道，“出卖我？厉害的银行家先生，除非我点头，她连个屁都不敢放一个。”
麦德和其他人没有一个敢笑。而安迪脸上始终没有露出任何笑意。
“我会帮你列出所有需要的表格，表格在邮局里都有得卖，我会帮你填好，你只要在上面签字就行了。”
这点很重要，哈力的胸部起伏着，然后他看了我们一眼，吼道：“该死！看什么？干你们的活儿去！”他面向安迪，“你过来，给我听好，如果你胆敢跟我耍什么花样，这礼拜还没过完，你会发现自己在淋浴间追着脑袋跑。”
“我懂。”安迪轻轻地说。
他当然懂，他懂得比我多，比其他任何人都多。
于是一九五〇年，我们这一伙负责翻修屋顶的囚犯，在工作结束前一天的早上十点钟，排排坐在屋顶上喝着啤酒，啤酒是由肖申克监狱有史以来最严苛的狱卒所供应的。啤酒是温的，不过仍然是我这辈子喝过的滋味最棒的啤酒。我们坐在那儿喝啤酒，感觉阳光暖烘烘地洒在肩膀上，尽管哈力脸上带着半轻视、半打趣的神情，好像在看猩猩喝啤酒似的，却都不能破坏我们的兴致。我们喝了二十分钟，这二十分钟让我们感到自己又像个自由人，好像在自家屋顶上铺沥青、喝啤酒。
只有安迪没喝，我说过他平常是不喝酒的。他蹲坐在阴凉的地方，双手搁在膝盖间摇晃，微微笑着，看着我们。惊人的是，竟然有这么多人记得安迪这副样子；更惊人的是，竟然有那么多人说安迪对抗哈力的时候，他们也在现场铺屋顶。我认为当天去工作的囚犯只有九个人或十个人，但是到了一九五五年，工作人员的人数至少已暴增到两百人，也许还更多……如果你真的人家说什么都信的话。
总之，如果你要我说，我描述的到底是普通人，还是在加油添醋地描绘一个仿佛沙砾中珍珠般的传奇人物，我想答案是介乎两者之间吧。反正我只知道安迪·杜佛尼不像我，也不像我入狱后见过的任何人。他把五百美金塞在肛门里，偷偷夹带了进来，但似乎他同时也夹带了其他东西进来——或许是对自己的价值深信不疑，或坚信自己终会获得最后胜利……或只是一种自由的感觉，即使被关在这堵该死的灰墙之内，他仍然有一种发自内在的光芒。我知道，他只有一次失去了那样的光芒，而那也是这个故事的一部分。
一九五〇年，美国职业棒球世界大赛开打的时候——如果你还记得的话，那年费城人队在冠亚军大赛中连输四场——总之，那些姊妹再也不来骚扰安迪了。史特马和哈力撂下狠话，如果安迪跑去向他们或其他警卫告状，让他们看到他的内裤里再有一滴血，肖申克每个姊妹当晚都得带着头痛上床。他们一点都没反抗。我在前面说过，总是不停会有十八岁的偷车贼、纵火犯或猥亵儿童的人被关进牢里。所以从翻修屋顶那天开始，安迪和那帮姊妹就井水不犯河水了。
那个时候，安迪已经调到图书馆，在一个叫布鲁克的老囚犯手下工作。布鲁克在二十世纪二十年代末期便进图书室工作，因为他受过大学教育，尽管布鲁克在大学念的是畜牧系，不过反正在肖申克这种地方，大学生如凤毛麟角，这跟乞丐没什么可以选择的余地是同一道理。
布鲁克是在柯立芝还在当总统的时候，赌输后失手杀了妻女而被关进来。他在一九五二年获得假释。像往常一样，政府绝不会在他还对社会有一点用处的时候放他出去。当罹患关节炎的布鲁克穿着波兰西装和法国皮鞋，蹒跚步出肖申克大门时，已经六十八岁高龄了。他一手拿着假释文件，一手拿着灰狗长途汽车车票，边走边哭。几十年来，肖申克已经变成他的整个世界，在布鲁克眼中，墙外的世界实在太可怕了，就好像迷信的十五世纪水手面对着大西洋时一样害怕。在狱中，布鲁克是个重要人物，他是图书馆管理员，是受过教育的知识分子。如果他到外面的图书馆求职的话，不要说图书馆不会用他，他很可能连借书证都申请不到。我听说他在一九五三年死于贫苦老人之家，比我估计的还多撑了半年。是呀，政府还蛮会报仇的：他们把他训练得习惯了这个粪坑之后，又把他扔了出去。
片段D：
在他生日的那天早上，也就是九月二十日，他会狠狠喝醉，当晚熄灯后再醉一次。第二天他会把剩下的半瓶给我，让我和其他人分享。至于另一瓶，他在圣诞夜喝一次，除夕喝一次，然后剩下的酒再交给我分给其他人。一年才喝四次，因为他被酒害惨了。
他告诉陪审团，十日晚上他喝得酩酊大醉，当晚发生的事只记得一些片段。其实早在那天下午，他就已经醉了：“喝下双份的荷兰勇气。”他说。
琳达离家出走后，他决定去找他们当面理论。在去昆丁家的路上，他又进乡村俱乐部的酒吧喝了几杯。他不记得曾经告诉酒保要他第二天看报纸，或对他说了什么。他记得去便利商店中买啤酒，但没有买擦碗布。“我为什么要买擦碗布呢？”他反问。其中一家报纸报道，有三位女陪审员聆听这些话后，感到不寒而栗。
后来，过了很久，安迪和我谈话时，对那个店员为何作证说他买了擦碗布有一番推测，我觉得应该把他当时说的话约略记一记。“假定在他们到处寻找证人的时候，雷德，”安迪有一天在运动场对我说，“他们碰到这个卖啤酒给我的店员，当时已经过了三天，有关这个案子的种种发现，也已经在所有报纸上大肆渲染。或许五六个警察，再加上检察官办公室派来办案的探员和助理，一起找上他。记忆其实是很主观的事情。他们一开始可能只是问：‘他有没有可能买了四五条擦碗布？’然后再一步步进逼。如果有够多的人一直要你记得某件事，那种说服力是很惊人的。”
我同意，确实有这个可能。
安迪继续说：“但是还有一种更强大的说服力，我想至少不无这个可能，也就是他说服自己相信他真的卖了擦碗布给我。这个案子是众所瞩目的焦点。记者纷纷采访他，他的照片刊登在报纸上……当然更威风的是，他像明星般出现在法庭上。我并不是说，他故意编造故事或作伪证。我觉得有可能他通过了测谎，或用他妈妈神圣之名发过誓，说我确实买了擦碗布，但是……记忆仍然可能是他妈的非常主观的事情。我只知道：虽然连我的律师也认为我所说的有一半都是谎话，但他也不相信擦碗布的部分。这件事太疯狂了，我那时已经烂醉如泥了，怎么还会想到把枪包起来灭音呢？如果真的是我杀的，我才不管三七二十一呢。”
他开车来到岔道，把车停在旁边，静静地喝啤酒、抽烟。他看到昆丁家楼下的灯熄了，只剩下楼上一盏灯还亮着……再过了十五分钟，那盏灯也熄了。他说他可以猜到接下来发生了什么事。
“杜佛尼先生，那么你有没有进昆丁的屋子，把他们两人给杀了？”他的律师吼道。
“没有，我没有。”安迪回答。他说，到了午夜，他逐渐清醒过来，同时宿醉的感觉开始让他不舒服。于是他决定回家，睡一觉后，第二天再像个大人般好好冷静地想一想，“当我开车回家时，我开始觉得，最好的办法还是就让她去雷诺办离婚吧。”
“多谢，杜佛尼先生。”
检察官从椅子上跳起来发言。
“你用了最快的离婚方式，不是吗？直接用一把包着布的点三八左轮手枪解决她，对不对？”
“先生，不对，我没有。”安迪冷静地说。
“然后你又杀了她的情夫。”
“不是这样，先生。”
“你是说，你先射杀了昆丁？”
“我是说我谁都没杀，我喝了两夸脱的啤酒，还抽了警察在岔道找到的随便多少根的烟吧，然后便开车回家，上床睡觉。”
“你告诉陪审团在八月二十四日到九月十日之间，你曾经想自杀。”
“是的，先生。”
“因此去买了一把左轮枪？”
“是的。”
“杜佛尼先生，我看你不像是想自杀的人，如果我这么说，会冒犯你吗？”
“不会，”安迪说，“不过你看起来也不像特别敏感的那种人。如果我真的想自杀，大概也不会找你谈我心里的苦闷。”
庭上一阵窃笑，但他这番话并不能赢得陪审团的同情。
“你那天晚上带着你的点三八口径手枪吗？”
“没有，我已经说过了——”
“哦！对了！”检察官讽刺地微笑道，“你把它扔进河里了，是吗？在九月九日的下午，扔进皇家河中。”
“是的，先生。”
“在谋杀案发生的前一天。”
“是的，先生。”
“真是太巧了，不是吗？”
“这无所谓巧不巧合，是事实罢了。”
“我相信你已经听过明彻警官的证词了吧？”明彻带人去搜索庞德路桥一带的水域，安迪说他把枪从那儿扔到河里，但警方没找到。
“是的，先生，你知道我听到了。”
“那么你听到他告诉法庭，他们虽然找了三天，还是没找到枪。是不是太巧了？”
“不管巧不巧，他们没找到枪是事实，”安迪冷静道，“但我要跟你，还有陪审团说明一件事：庞德路桥很靠近皇家河的出海口，那里水流很急，枪也许被冲到海湾中了。”
“因此也就无法比对你手枪中的子弹，以及射入你太太和昆丁先生浑身是血的身体中的子弹了，是吗？”
“是的。”
“这不也很巧吗？”
按照当时报纸的记载，安迪听到他这么说时，脸上浮现出一丝苦笑，整整六个星期的审判过程中，这是安迪不多见的情绪反应之一。
“由于我是无辜的，再加上当我说我把枪丢入河里时，我说的是实话，因此找不到枪，对我而言，其实是很不巧的。”安迪说。
检察官炮火猛烈地质问了他两天，把便利商店店员的证词中有关擦碗布的部分重新念了一遍。安迪反复说明他记不得曾经买过擦碗布，但也承认他记不得没买过擦碗布。
安迪和琳达于一九四七年初合买过保险，是吗？是的。如果安迪无罪开释，是否可以得到五万元的保险理赔？是的。那么他前往昆丁的屋子时，不是抱着杀人的打算？打算杀了自己的妻子和昆丁？不是。如果不是的话，那么他认为那天到底发生了什么事，因为这个案子不像劫财害命。
“先生，我完全想不透发生了什么事。”安迪静静地说。
这案子在一个大雪纷飞的星期三下午一点钟，交付陪审团表决。十二位陪审员在三点半回到庭上。法警说，他们原本可以早一点返回法庭，但是为了能享受一顿从班特利餐厅买来、由公家招待的免费鸡肉大餐，而拖了一点时间。陪审团判定安迪有罪。各位，如果缅因州有死刑的话，他会在番红花还未从雪中冒出头之前上了西天。
检察官问过安迪，他认为那天晚上到底发生了什么事，安迪避而不答。但他其实心中的确有一些想法，我在一九五五年一个黄昏时刻把这些想法套了出来。我们两人花了七年工夫，才从点头之交进而成为相当亲近的朋友，但直到一九六〇年之前，我都从未真正感到跟他很接近。而且我想，我是唯一曾经真正跟他接近的人。我们由始至终都在同一层囚室，只是我在走道中间而他在走道末端。
“我认为到底是怎么回事？”他笑道，但笑声中没有丝毫幽默的意味，“我认为那天晚上，我真是倒霉透了，古往今来最倒霉的事都集中在这短短几小时内发生。我想一定有个陌生人凑巧经过。也许在我走了之后，有人车子爆胎了，也许是个强盗，也许是个神经病，走进去把他们杀了，就这样，我就被关进来了。”
就这么简单。而他却得下半辈子——至少在离得开以前——都待在肖申克。五年后，他开始申请假释，但每次都被驳回，尽管他是模范犯人。但当你被烙上了谋杀的罪名后，想离开肖申克可有得等了，时间会慢得就像流水侵蚀岩石一样。假释听证会中有七个委员，比一般州立监狱还多两个，你不能收买那些家伙，也无法用甜言蜜语哄他们，更不能向他们哭求。在假释听证会中，有钱都不能使鬼推磨，任你是谁都插翅难飞。而安迪的情况，原因就更复杂……不过且待下文分解吧。
有个名叫肯德里克斯的模范犯人，在一九五〇年代向我借了不少钱，后来足足花了四年才付清。他付给我的利息大部分是用情报来抵。干我这一行，如果消息不灵通，就是死路一条。肯德里克斯能看到一些我绝对看不到的纪录和档案。他不像我只在那个该死的车牌工厂里操作压板机器。
肯德里克斯告诉我，在一九五七年以前的假释听证会上，反对安迪假释的投票纪录是七比〇，一九五八年是六比一，一九五九年又是七比〇，一九六〇年是五比二，以后的我就不知道了。我只知道，经过十六年后，他还在第五区的十四号牢房。到了一九七五年，他已经五十七岁了。他们很可能到一九八三年时，才会大发慈悲放了他。
他们饶你一命，但是却夺走你生命中所有重要的东西。也许有一天，他们会放你走，但是……听着：我认识一个叫波顿的家伙，他在牢房里养了一只鸽子。从一九四五年到一九五三年，当他们放他出来走走时，他都带着这只鸽子。他叫鸽子“杰克”。波顿在出狱前一天，也放杰克自由，杰克立刻姿态漂亮地飞走了。但是在波顿离开我们这个快乐小家庭一个星期之后，有个朋友把我带到运动场角落，波顿过去老爱在那里晃来晃去。有只小鸟像一堆脏床单般软趴趴地瘫在那里，看起来饿坏了。我的朋友说：“那是不是杰克啊？”没错，是杰克，那只鸽子像粪土一样躺在那儿。
我还记得安迪·杜佛尼第一次跟我接触要东西的情形，往事历历在目，好像昨天才发生一样。不是他想要丽塔·海华丝的海报那次，那还是以后的事。一九四八年夏天，他跑来找我要别的东西。
我的生意大部分是在运动场上做成的，这桩交易也不例外。我们的运动场很大，呈正方形，每边长九十码。北边是外墙，两端各有一个瞭望塔，上面站着武装警卫，还佩着望远镜和镇暴枪。大门在北面，卡车卸货区则在南边，肖申克监狱总共有五个卸货区。在平常的工作日，肖申克是个忙碌的地方，不停有货进出。我们有一间专造汽车牌照的工厂、一间大洗衣房。洗衣房除了洗烫监狱里所有床单衣物，还替一家医院和老人院清洗床单衣物。此外还有一间大汽车修理厂，由犯人中的技工负责修理囚车和市政府、州政府的车子，不用说还有监狱工作人员的私人轿车，经常也可以看到假释委员会的车停在那儿待修。
东边是一堵厚墙，墙上有很多小得像缝隙的窗子，墙的另一边就是第五区的牢房。西边是办公室和医务室。肖申克从不像其他监狱一样人满为患。一九四八年时，还有三分之一的空位。但任何时候，运动场上都有八十到一百二十名犯人在玩美式足球或打棒球、赌骰子、闲聊或暗中交易。星期天，场上人更多，像假日的乡下……如果再加上几个女人的话。
安迪第一次来找我是在一个星期日。我正跟一个叫安耳默的人谈完话；安耳默隔三差五帮我一些小忙，那天我们谈的是一部收音机的事。我当然知道安迪是谁，别人都认为他是个冷冰冰的势利小人，一副欠揍的样子。说这种话的其中一个人叫做博格斯·戴蒙德，惹上他可真是大坏事一件。安迪没有室友，听说是他自己不想要的。别人都说，他自认他的屎闻起来比别人香。但我不随便听信别人的传言，我要自己来判断。
“嗨，”他说，“我是安迪·杜佛尼。”他伸出手来，我跟他握手。他不是那种喜欢寒暄的人，开门见山便说出来意。“我知道你有本事弄到任何东西。”
我承认我常常有办法弄到一些东西。
“你是怎么办到的？”安迪问道。
“有时候，”我说，“东西好像莫名其妙地就到了我的手上。我无法解释，除非因为我是爱尔兰人。”
他笑笑。“我想麻烦你帮我弄把敲石头的锤子。”
“什么样子的锤子？你要那种锤子干什么？”
安迪很意外，“你做生意还要追根究底吗？”就凭他这句话，我已知道他为何会赢得势利小人的名声，就是那种老爱装腔作势的人——不过我也在他的问话中感觉到一丝幽默。
“我告诉你，”我说，“如果你要一支牙刷，我不会问你问题，我只告诉你价钱，因为牙刷不是致命的东西。”
“你对致命的东西很过敏吗？”
“是的。”
一个老旧、贴满了胶带的棒球飞向我们，安迪转过身来，像猫一样敏捷，在半空中把球抓了下来，漂亮的动作连弗兰克·马左恩[2] 都会叹为观止。安迪再以迅速利落的动作把球掷回去。我可以看见不少人在各干各的活儿时，还用一只眼睛瞄着我们，也许在塔上的守卫也在看我们。我不做画蛇添足或会惹来麻烦的事。每个监狱中，都有一些特别有分量的人物，小监狱里可能有四五个，大监狱里可能多达二三十个，在肖申克，我也算是个有头有脸的人，我怎么看待安迪，可能会影响他在这里的日子好不好过。安迪可能也心知肚明，但他从未向我磕头或拍马屁，我就是敬重他这点。
“应该的。我会告诉你这种锤子长什么样子，还有我为什么需要这种锤子。是长得很像鹤嘴锄的小石锤，差不多这么长。”他的手张开约一英尺宽，这是我第一次看见他整齐干净的指甲。“锤子的一端是尖利的小十字镐，另一端是平钝的锤头。我要买锤子是因为我喜欢石头。”
“石头？”我说。
“你蹲下来一会儿。”他说。
我们像印第安人一样蹲着。
安迪抓了一把运动场上的尘土，然后让尘土从他干净的手指缝间流下去，扬起了一阵灰。最后他手上留下了几粒小石头，其中一两粒会发光，其余的则灰扑扑的，黯淡无光。其中一粒灰暗的小石头是石英，但是要等摩擦干净了以后，才看得出来是石英，发出一种奶色的光芒。安迪把它擦干净后扔给我。我接住后，马上叫出名字。
“石英，不错，”他说，“你看，云母、页岩、沙质花岗岩。这地方有不少石灰石，是当年开辟山丘盖监狱时留下的。”他把石头扔掉，拍掉手上的灰尘。“我是个石头迷。至少……以前是。我希望能重新开始收集石头，当然是小规模的收集。”
“星期日在运动场上的探险？”我问道，站了起来。好一个傻念头，不过……看见那一小块石英，我也不禁稍稍心动了一下，我不知为什么；我想，大概是和外面的世界有某种联系吧。你不会想到在运动场上会看到石英，石英应该是在奔流的小溪中捡到的东西。
“星期天有点事做，总比没有的好。”他说。
“你可以把锤子插进某人的脑袋中。”我评论道。
“我在这儿没有敌人。”他静静地说。
“没有？”我微笑道，“再等一阵子吧。”
“如果有麻烦的话，我不会用锤子来解决。”
“也许你想越狱？在墙下挖地道？因为如果你——”
他温文有礼地笑了起来。等到我三个星期后亲眼见到了那把石锤时，我就明白他为什么笑了。
“你知道，”我说，“如果有人看见你带着这玩意儿，他们会把它拿走。他们连看到你有个汤匙，都会把它拿走。你要怎么弄呢？就蹲在这儿敲敲打打吗？”
“噢，我会想出更好的办法的。”
我点点头，反正那部分确实不关我的事。我只负责供应东西，至于他能否保住那个东西，完全是他的事情。
“像这样一个玩意儿，要多少钱？”我问，我开始享受他安静低调的态度。如果你像我一样，已经度过了十年的牢狱生涯，你会极端厌倦那些爱大声咆哮、好吹牛、还有大嘴巴的人。所以，可以这么说，我从初次见面就很喜欢安迪。
“任何卖石头和玉石的店都可以买到，要八块钱，”他说，“不过我当然明白，你经手的东西都还要加一点佣金——”
“平常是加百分之十，不过我必须把危险物品的价格再提高一点。你要的东西比较不那么容易弄到手，所以就算十块钱好了。”
“那就十块钱。”
我看着他，微微一笑。“你有十块钱吗？”
“有。”他平静地说。
过了很久，我才发现他至少有五百元，是他入狱时就带进来的钱。每个人入狱时都要先经过一番检查，他们会强迫你弯下腰来，然后仔细查看你的某个部位。不过那部位空间不少，有决心的人想瞒天过海还是有办法，东西直往里塞，表面上甚至看不出来，除非碰巧检查你的那个人居然有心情戴上橡皮手套，往里面猛掏。
“很好，”我说，“你应该知道万一我给你的东西被发现了，该怎么办吧？”
“我想我应该知道。”我可以从他的眼神转变中看出，他早已猜到我要说什么了。他的眼神中闪现一丝他特有的带着嘲讽的幽默。
“如果你被逮着了，你要说是你自己找到的。他们会关你三或四个星期的禁闭……还有，当然啰，你的玩具自然也会被没收，还会在你的记录上留下一个污点。但是如果你说出我的名字，以后就甭想再和我做生意了，连一双鞋带或一包香烟都甭想我卖给你。我也会派人给你一点颜色瞧瞧。我不喜欢暴力，但你要了解我的处境，我可不能随便给人摆了道儿，这样我往后就混不下去了。”
“我懂，你不用担心。”
“我从来不担心，”我说，“在这种地方，担心于事无补。”
他点点头走开了。三天后，趁早上洗衣服的休息空档，他走向我。他没跟我说话，甚至没看我，不过神不知鬼不觉地塞给我一张折得整整齐齐的钞票，手法就像魔术师玩扑克牌戏法一样利落。这家伙学得很快。我给他弄了一把锤子，正是他形容的尺寸和样子。这把锤子在我的牢房中藏了一个晚上，这种锤子不像逃亡工具，我猜如果想用这样一把锤子挖地道逃出去，大约要六百年，但我还是有点不放心。因为万一把这玩意插在某人的脑袋中，他就再也别想听电台播放的流行歌了，而安迪一向跟那些同性恋处不好，我希望他们并非他真正想锤的对象。
最后，我还是相信自己的判断。第二天一早，起床号还没有响起，我就把锤子藏在香烟盒中拿给厄尼，厄尼是模范囚犯，他在一九五六年出狱前，一直负责打扫第五区的走道。他一句话也没说，就飞快地把锤子塞进上衣里，此后十九年，我不曾再看过那把锤子，等我再看到它时，那把锤子早已磨损得没法用了。
接下来那个星期日，安迪在运动场上又走向我。他的样子惨不忍睹，下嘴唇肿得像香肠，右眼也肿得张不开，脸颊有一连串刮伤。他又跟那些“姊妹”起冲突了，但他从来不提这件事。“多谢你的工具。”他说，说完便走了。
我好奇地看着他。他走了几步，在地上看见什么东西，弯下腰去捡起来。那是块小石头。囚衣是没有口袋的（唯有担任技工的囚犯在工作场合中穿的工作服例外），但是总有办法可想，因此那块小石头消失在安迪的袖子中，而且一直没有掉下来，手法真叫人佩服……我也很佩服他，尽管他碰到不少麻烦，还是继续过他的日子，但世界上其他成千上万的人却办不到，他们不愿意或没有能力这么做，其中许多人根本没有被关在牢里，却还是不懂得过日子。我还注意到，尽管安迪的脸孔透露出他碰到麻烦了，但是他的双手仍然干净得一如往常，指甲也修剪得整整齐齐的。
接下来六个月，我甚少看见他。安迪有好一阵子都被单独关在禁闭室里。
说到这里，我想先谈谈关于“姊妹”的一些事情。
这类人有许多不同的名称，像“公牛怪胎”或“牢房苏茜”等等——最近流行的说法是“杀手皇后”，但在肖申克，大家总是称他们为“姊妹”。我不知道为什么，不过除了名称不同之外，我猜其他没有什么不一样。
大多数人对监狱中发生鸡奸早已见怪不怪了，或许只有一些新进犯人除外，尤其是那些不幸长得苗条俊秀、又缺乏警觉的年轻犯人。但是同性恋和异性恋一样，也有几百种不同的形式。有的人因为无法忍受无性的生活，因此在狱中转而结交男人，免得自己发疯。通常接下来原本是异性恋的两个男人之间就会有某种安排，虽然我常常怀疑，当他们有朝一日回到妻子和女友身边时，是否真能像自己所说的一样恢复为异性恋者。
也有一些人在狱中“转变”性倾向。现在流行的说法是，他们变成同性恋者，或是“出柜”了。而这些男同性恋者大多数扮演女性的角色，而且大受欢迎。
于是就有了这群“姊妹”。
他们之于监狱这个小型社会，就好像强暴犯之于墙外的大型社会一样。他们往往是罪大恶极的长期犯，而他们的猎物则是一些年轻、瘦弱和没经验的囚犯……或者，就安迪的情况而言，看起来很柔弱的囚犯。淋浴间、洗衣机后面的狭窄通道，有时候甚至医务室，都成为他们的狩猎场。其中不止一次，强暴案也发生于礼堂后面只有衣橱大小的电影放映室中。很多时候，他们其实不必使用暴力也可以得逞，因为入狱后转为同性恋的囚犯似乎总是会迷上其中一位“姊妹”，就好像十来岁的少女迷恋明星或歌星偶像一样。但是对这些姊妹而言，其中的乐趣正在于使用暴力……而我猜这部分永远都不会改变。
由于安迪长得比较矮小，生就一张俊脸，或许也因为他那特有的泰然自若的神态，他一进来就被那批姊妹看上了。如果我说的是童话故事，我会告诉你安迪一直奋勇抵抗，直到他们罢手为止。我很希望能这么说，但我不能。监狱原本就不是童话世界。
第一次出事是在他加入我们肖申克快乐家庭还不到三天的时候，在浴室里。就我所知，那次只是一连串的挑逗和侮辱。那些人喜欢在采取真正的行动前，先捉弄一下猎物，就像胡狼想测试看猎物是否真的像外表那么软弱。
安迪狠狠反击，而且把那个叫博格斯·戴蒙德的大块头嘴唇给打裂了，警卫及时冲进来，才制止住双方进一步的动作，但博格斯发誓非逮到安迪不可，他果然说到做到。
第二次则发生在洗衣房后面。多年来，那条狭长肮脏的通道发生了不少事情，警卫全都知道，却放任不管。那里很暗，散置着一袋袋洗衣剂、漂白剂和一桶桶Hexlite[3] 催化剂，如果你的手是干的，碰到也不会怎么样，但是如果弄湿了，这些化学药剂就会像电池的酸液一样害你送命。监狱的警卫都不喜欢来这里，也警诫新人不要到这儿来，因为如果被囚犯困在这个地方，你可没有后退之路，连搏斗的空间都不够。
博格斯当时不在场，但从一九二二年起便在洗衣房当工头的亨利·拜克告诉我，博格斯的四个朋友都在那儿。安迪起先手里拿着一碗Hexlite，让他们不敢靠近，他威胁着如果他们再走近一步，就要把催化剂往他们的眼睛丢过去。但是安迪往后退时，不小心跌倒了，结果他们就一拥而上。
我想“轮暴”这个名词的意义是永远不会改变的，那正是这四姊妹对他做的事。他们把安迪按在齿轮箱上，拿着螺丝起子对准他的太阳穴，逼他就范。被强暴后会有一点伤口，但不是太严重。你问，这是我的经验之谈吗？——但愿并非如此。之后你会流几天血，如果不希望有些无聊小丑问你是不是月经来了，就在裤子里多垫几张卫生纸。通常血流个两三天就停了，除非他们用更不自然的方式对待你。不过虽然身体没有什么大损伤，强暴终归是强暴，事后你照镜子瞧自己的脸时，会想到日后该怎么看待自己。
安迪孤独地经历了这些事情，就像他在那段日子里，孤零零地经历了其他所有事情一样。他一定就像之前许多人那样，得到了这个结论：要对付这群姊妹只有两种方法，要不就是力拼之后不敌，要不就是从一开始就认了。
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这么多年来，最高明的越狱往往是即兴之作。有的人是躺在一堆床单里混出去的。我刚进来时听过很多这样的案例，不过狱方逐渐不再让囚犯有机可乘。
诺顿的“外役监”计划也制造了一些逃亡的机会。在大多数情况下，越狱的行动都是临时起意，例如，趁警卫正在卡车旁喝水或几个警卫热烈讨论球赛战况时，把挖蓝莓的工具一扔，就往树丛里跑去。
一九六九年，“外役监”计划的内容是去沙巴塔斯挖马铃薯，那天是十一月三日，工作几乎快做完了。有个名叫亨利·浦格的警卫（他现在已不是我们这个快乐家庭的一员了）坐在马铃薯货车的后挡泥板上吃午餐，把卡宾枪放在膝上，这时候，一头漂亮的雄鹿（他们是这样告诉我的，但有时这些事情会加油添醋）从雾中缓缓走出来，浦格追过去，想象着战利品摆在家里康乐室的样子，结果他看守的三个囚犯乘机溜走，其中有两个人在另一个镇的弹子房被逮着，另外一个始终没找到。
我想最有名的越狱犯是锡德·尼都。他在一九五八年越狱，我猜以后很难有人超越他。由于星期六监狱将举行球赛，因此锡德当时正在球场划界线。三点钟一到，哨声响起，代表警卫要换班了。运动场再过去一点就是停车场，和电动大门恰好位于监狱的两端。三点钟一到，大门开了，来换班的警卫和下班的警卫混在一起，互相拍肩膀，打招呼，比较保龄球赛的战绩，开开玩笑。
而锡德推着他的划线机，不动声色地从大门走出去，三英寸宽的白线一路从棒球场的本垒板一直画到公路旁的水沟边，他们后来发现划线机翻倒在那里。别问我他是怎么出去的，他有六英尺两英寸高，穿着囚衣，推着划线机走过去时，还会扬起阵阵白灰，竟然就堂而皇之地从大门走出去了。只能说，大概因为正逢星期五下午，要下班的警卫因为即将下班太过兴奋，而来换班的警卫又因为要来换班而太过沮丧，前者得意地把头抬得高高的，后者则垂头丧气，视线始终没离开过鞋尖……锡德就这么趁隙逃跑了。
就我所知，锡德到现在还逍遥法外。多年来，安迪和我还常常拿锡德的逃亡过程来当笑话讲。后来当我们听说了古柏[8] 劫机勒赎的事，也就是劫机犯从飞机后舱门跳伞逃走的故事，安迪坚持认为那个叫古柏的劫机犯真名一定叫锡德·尼都。
“好个幸运的龟儿子，”安迪说，“搞不好他为了讨个吉利，整个口袋都装满了用来划线的白灰粉呢。”
但是你应该明白，锡德和那个在沙巴塔斯马铃薯田逃走的家伙只是少数中了头彩的幸运儿，仿佛所有的运气刹那间全聚集在他们身上。像安迪这么一板一眼的人，可能等上九十年也逃不出去。
也许你还记得，我曾经提过有个洗衣房工头名叫韩利·巴克斯，他在一九二二年被关到肖申克来，三十一年后死于监狱的医务室。他简直把研究越狱当作嗜好，或许原因就在于他自己从来不敢亲身尝试。他可以告诉你一百种不同的越狱方法，每一种都很疯狂，而且肖申克的犯人都尝试过。我最喜欢的是毕佛·莫里森的故事，这家伙竟然试图在车牌工厂的地下室建造一架滑翔机。他是照着一九〇〇年出版的《现代男孩玩乐与冒险指南》上面的说明来造飞机，而且一直没有被发现，只是直到最后他才发现地下室的门都太小了，根本没法子把那架该死的滑翔机搬出去。每次韩利说这个故事时，都会引起一阵爆笑，而他还知道一二十个同样好笑的故事。
有一次韩利告诉我，在他服刑期间，他知道的企图越狱案就有四百多件。在你点点头往下读之前，先停下来好好想一想。四百多次越狱尝试！等于韩利在肖申克监狱服刑期间，每年平均有十二点九次企图越狱事件。当然，大多数越狱行动都还蛮随便的，结局不外乎某个鬼鬼祟祟的可怜虫、糊涂蛋被警卫一把抓住，痛骂：“你以为你要上哪儿去呀，混蛋！”
韩利说，比较认真策划的越狱行动大概只有六十件，其中包括一九三七年的“大逃亡”，那是我入狱前一年发生的事情。当时肖申克正在盖新的行政大楼，有十四名囚犯从没有锁好的仓库中拿了施工的工具，越狱逃跑。整个缅因州南部都因为这十四个“顽强的罪犯”陷入恐慌，但其实这十四个人大都吓得半死，完全不知该往哪儿逃，就好像误闯公路的野兔，被迎面而来的大卡车车头灯一照，就动弹不得。结果，十四个犯人没有一个真正逃脱，有两个人被枪射死——但他们是死在老百姓的枪下，而不是被警官或监狱警卫逮着，没有一个人成功逃脱。
从一九三八年我入狱以来，到安迪第一次和我提到齐华坦尼荷那天为止，究竟有多少人逃离肖申克？把我和韩利听说的加起来，大概十个左右。只有十个人彻彻底底逃脱了。虽然我没有办法确定，但是我猜十个人当中，至少有五个人目前在其他监狱服刑。因为一个人的确会受到监狱环境制约，当你剥夺了某人的自由、教他如何在牢里生存后，他似乎就失去了多面思考的能力，变得好像我刚刚提到的野兔，看着迎面而来、快撞上它的卡车灯光，却僵在那里动弹不得。许多刚出狱的囚犯往往会进行一些绝不可能成功的愚蠢犯罪，为什么呢？因为如此一来，他就可以回到牢里，回到他所熟悉了解的地方。
安迪不是这样的人，但我是。眺望太平洋的念头听起来很棒，但是我害怕有朝一日，我真的到了那里时，浩瀚的太平洋会把我吓得半死。
总而言之，自从那天安迪谈到墨西哥和彼得·斯蒂芬以后，我开始相信安迪有逃亡的念头。我只能祈祷上帝，让他谨慎行事，但是我不会把赌注押在他身上。典狱长诺顿特别注意他的一举一动，安迪不是普通囚犯。可以这么说，他们之间有密不可分的工作关系。安迪很有头脑，但也很有心，诺顿下定决心要利用他的头脑，同时也击溃他的心。
就好像外面有一些你永远可以买通的诚实政客一样，监狱里也有一些诚实的警卫，如果你很懂得看人，手头上也有一些钱可以撒的话，我猜你确实有可能买通几个警卫，他们故意放水，眼睛注视着其他地方，让你有机会逃脱。过去不是没有人做过这样的事情，但是安迪没有办法这么做，因为正如我刚才所说，诺顿紧紧盯着他，安迪知道这点，狱卒也都知道这点。
只要诺顿还继续审核“外役监”名单，就没有人会提名安迪参加“外役监”计划，而安迪也不像锡德，他绝不会那么随随便便地展开逃亡行动。
如果我是他，外面那把钥匙会使我痛苦万分，彻夜难眠。巴克斯登距离肖申克不到三十英里，却可望而不可及。
我仍然认为找律师要求重新审判的成功机会最大，只要能脱离诺顿的掌握就好。或许他们只不过多给汤米一些休假，就让他封口，我并不确定。或许那些律师神通广大，可以让汤米开口，甚至不用费太大的劲，因为汤米很钦佩安迪。每次我向安迪提出这些意见时，他总是微笑着，目光飘向远方，嘴里说他会考虑考虑。
看来他同时在考虑的事情还不少。
一九七五年，安迪从肖申克逃走了，他一直都没被逮到，我相信他永远也不会被逮到。事实上，我想，安迪早已不在这个世上了，而一九七六年这一年，在墨西哥的齐华坦尼荷，有一个叫彼得·斯蒂芬的人正在经营一家小旅馆。
我会把我所知道的和我猜想的全都告诉你，我也只能做到这样了，不是吗？
一九七五年三月十二日。当警卫在早上六点半打开第五区牢房的大门时，所有犯人都从自己的房间走出来，站到走廊上，排成两列，牢门砰的一声在他们身后关起。他们走到第五区大门时，会有两个警卫站在门口数人头，算完后便到餐厅去吃麦片、炒蛋和油腻的培根。
直到数人头之前，一切都是例行公事。第五区牢房的犯人应该有二十七个，但那天早上数来数去都只有二十六个人，于是警卫去报告队长，并先让第五区的囚犯去吃早餐。
警卫队长名叫理查·高亚，不是个很坏的人，他和助手戴夫·勃克一起来到第五区牢房。手上拿着警棍和枪，高亚打开大门，和勃克一起走进两排牢房中间的走道。像这种情形，通常都是有人在半夜病了，而且因为病得太重，早上根本没有力气走出牢房。更罕见的状况是他根本已经病死了，或自杀了。
但这次却出现了一个大谜团，他们既没有看到病人，也没有看到死人，里面根本空无一人。第五区共有十四间牢房，每边各七间，全都十分整洁——在肖申克，对牢房太过脏乱的惩罚是禁止会客——而且全都空荡荡的。
高亚第一个反应是警卫算错人数了，要不就是有人恶作剧，因此他叫第五区的所有囚犯吃完早餐后，都先回到牢房去。那些犯人一面开玩笑，一面高兴地跑回去，任何打破常规的事，他们都觉得很新鲜。
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安迪接替了布鲁克的工作，他也干了二十三年的图书馆管理员，他用对付哈力的方法，为图书馆争取到他想要的东西。我看着他渐渐把这个原本只陈列《读者文摘》丛书和《国家地理杂志》的小房间（房间一直有种味道，因为直到一九二二年之前，这原本只是个放油漆的地方，从来也没有空调），扩充成新英格兰地区最好的监狱图书馆。
他一步一步慢慢来。他先在门边放了个意见箱，很有耐性地筛选掉纯粹开玩笑的提议，例如“请多买些黄色书刊”或“请订购《逃亡的十堂课》”，然后整理出囚犯似乎认真需要的书籍。接着，他写信给纽约主要的读书俱乐部，请他们以特惠价寄来他们的精选图书，并且得到文学协会和每月一书俱乐部的回应。他也发现肖申克的狱友很渴望得到有关休闲嗜好的资讯，例如，有关肥皂雕刻、木工、各种手工艺和单人牌戏的专业书，还有在各监狱都十分抢手的加德纳和拉摩尔的小说，狱友们好像永远看不厌有关法庭的书。还有，他还在借书柜台下藏了一箱比较辛辣的平装书，尽管他出借时很小心，而且确保每一本书都准时归还，不过这类新书几乎每一本都很快就被翻烂了。
他在一九五四年开始写信给州议会。史特马那时已当上典狱长，他老爱摆出一副安迪只不过是只吉祥物的样子，经常在图书馆里和安迪瞎扯，有时还搂着安迪的肩膀，跟他开玩笑。但是他谁也骗不了，安迪可不是任何人的吉祥物。
他告诉安迪，也许他在外面是个银行家，但那早已成为过去，他最好认清监狱中的现实。在州议会那些自大的共和党议员眼中，政府花在狱政和感化教育的经费只有三个用途：第一是建造更多的围墙，第二是建造更多的铁窗，第三是增加更多的警卫。而且在州议会诸公眼中，被关在汤玛森、肖申克、匹兹费尔和南波特兰监狱的囚犯，都是地球上的人渣，是进来受苦的。假如面包里出现了几条象鼻虫，那还真他妈的不幸啊！
安迪依旧神色自若地微笑着。他问史特马，如果每年滴一滴水在坚硬的水泥块上，持续滴上一百万年，会怎么样？史特马大笑，拍拍安迪的背，“你可活不了一百万年，老兄，但如果你真能活这么久，我相信到时候，你还是老样子，脸上还是挂着同样的微笑。你就继续写你的信吧，只要你自己付邮资，我会替你把信寄出去。”
于是安迪继续写信。最后，终于开怀大笑的人是他，虽然史特马和哈力都没机会看见。安迪不断写信给州议会，要求拨款补助监狱图书馆，也一再遭到拒绝。但是到了一九六〇年，他收到一张两百元的支票。州议会也许希望用这两百元堵住他的嘴，让他别再烦他们了。但安迪认为自己的努力已收到初步成效，于是加倍努力。他开始每周写两封信，而不是一封信。到了一九六二年，他收到四百元，此后十年中，图书馆每年都会准时收到七百元。到了一九七一年，补助款甚至提高到整整一千元。当然这无法与一般小镇图书馆的经费相比，但一千元至少可以采购不少二手侦探小说和西部小说。到安迪离开之前，你在肖申克图书馆中几乎可以找到任何你想看的书，即使找不到，安迪很可能也会为你找到。这时候的图书馆已经从一个油漆储藏室扩展为三个房间了。
你会问，难道这一切全因为安迪告诉哈力那笔意外之财该如何节税吗？答案是：对……也不对。或许你自己也猜到是怎么回事了。
当时，马路消息流传着肖申克养了个理财高手。一九五〇年的春末到夏天，安迪为想要储备子女大学教育基金的警卫设立了两个信托基金。他也指导一些想在股市小试身手的警卫如何炒股票（这些警卫炒股票的成绩斐然，其中一个警卫还因发了财而在两年后提早退休）。他绝对也传授了邓纳海典狱长不少避税诀窍。到了一九五一年春天，肖申克半数以上的狱卒都由安迪协助办理退税，到了一九五二年，所有狱卒的报税工作都由他代劳。而他得到的最大回报，是监狱中最有价值的东西——赢得所有人的善意对待。
后来，在史特马主政时，安迪的地位更加重要了。至于个中细节，有些事情我是知道的，有些事情我只好用猜的。我知道有不少犯人在外面有亲人或靠山帮他们打点行贿，因此可以在狱中获得特殊礼遇——例如，牢房中可以有收音机，或可以获得额外的亲友探视机会等等。监狱里的囚犯称这些在外面替他们打点的人为“天使”。突然之间，某个家伙礼拜六下午可以不必去工厂工作，于是你知道天使替他打点好了。进行的方式通常都是，天使会把贿款交给中阶的狱卒，再由这个中间人负责向上、向下打通关节，大家都分到一些油水。
还有就是让邓纳海丢官的廉价修车服务。起先他们只是暗中经营，但在一九五〇年代末期，却大张旗鼓地做起生意来。我也蛮确定有些监狱工程的承包商、提供机器设备给洗衣房以及车牌工厂的厂商会让监狱高层抽回扣。到了二十世纪六十年代末，毒品猖獗，同一批监狱管理人员甚至从毒品生意中牟利，这笔非法收入加起来还蛮多的，虽然不像艾地卡或圣昆丁等大监狱有那么大笔黑钱进出，却也不是小数目。结果赚来的钱反倒成了头痛的问题。你总不能把大把钞票全塞进皮夹里，等到家里要建造游泳池或加盖房间时，再从口袋里掏出一大叠皱巴巴、折了角的十元、二十元钞票来支付工程费。一旦你的收入超过了某个限度，就得解释你的钱是怎么赚来的。如果你的说服力非常弱，那么很可能自己也锒铛入狱。
所以，安迪的服务就更重要了。他们把安迪调离洗衣房，让他在图书馆工作，但是如果你换个角度来看，他们其实从来不曾把他调开过，只不过安迪过去洗的是脏床单，如今洗的是黑钱罢了。他把这笔非法收入全换成了股票、债券、公债等。
屋顶事件过了十年后，有一次他告诉我，他很清楚自己做这些事的感觉，也不太会因此而感到良心不安。反正无论有没有他这个人存在，非法勾当都还是会照常进行。他并不是自愿到肖申克来的，他是个无辜的、被命运作弄的倒霉鬼，而不是传教士或大善人。
“更何况，雷德，”他依旧以那种似笑非笑的表情对我说，“我在这儿做的事与我在外面的工作并没有太大的不同。我教你一条冷血定律好了：个人或公司需要专业理财协助的程度和他们所压榨的人数恰好成正比。管理这里的人基本上都是愚蠢残忍的怪物，其实外面那些人的手段照样残忍和野蛮，只不过他们没有那么蠢，因为外面的世界所要求的能力水准比这里高一点，也没有高很多，只是高了一点。”
“但是，毒品——”我说，“我不想多管闲事，不过毒品会让我神经过敏——我是绝不干这种事的，从来没有。”
“不，”安迪说，“我也不喜欢毒品，从来都不喜欢，我也不喜欢抽烟或喝酒。但是我并没有贩卖毒品，我既没有把毒品弄进来，更不卖毒品，主要都是那些狱卒在卖。”
“可是——”
“对，我知道。这中间还是有一条界线。有的人一点坏事都不做，他们是圣人，鸽子都会飞到他们肩膀上，在他们衣服上拉屎等等；还有另外一种极端是，有的人只要有钱，就无恶不作——走私枪械、贩毒，什么勾当都肯干。有没有人找过你去杀人？”
我点点头。多年来，的确有不少人找过我，毕竟我什么都有办法弄到。有不少人认为，我既然能替他们的收音机弄到干电池，或能替他们弄到香烟、大麻，自然也能替他们弄到懂得用刀的人。
“当然有人找过你啦，但你不肯，是吗？”安迪说，“因为像我们这种人，我们知道在超凡入圣与无恶不作之间还有第三种选择，这是所有成熟的成年人都会选择的一条路。因此你会在得失之间求取平衡，两害相权取其轻，尽力将善意放在面前。我猜，从你每天晚上睡得好不好，就可以判断你做得好不好……又或者从你晚上都做些什么梦来论断。”
“善意。”我说着大笑起来，“安迪，我很清楚，一个人会在善意的路上慢慢走下地狱。”
他变得更加严肃了，“你难道不觉得，这儿就是地狱吗？肖申克就是地狱。他们贩卖毒品，而我教他们如何处理贩毒赚来的钱，但是我也借机充实图书馆。我知道这儿至少有二十多个人因为利用图书馆的书来充实自己而通过了高中同等学力考试。也许他们出去后，从此可以脱离这些粪堆。一九五七年，当我们需要第二间图书室时，我办到了，因为他们需要讨好我，我是个廉价劳动力，这是我们之间的交易。”
“而且你也拥有私人牢房。”
“当然，我喜欢那样。”
二十世纪五十年代，监狱人口慢慢增长，到了六十年代已有人口爆炸之虞，因为当时美国大学生想尝试吸大麻的人比比皆是，而美国的法律又罚得特别严。但安迪始终没有室友，除了一度有一个高大沉默、名叫诺曼登的印第安人曾经短暂和他同房（跟所有进来这里的印第安人一样，他被称为酋长），但诺曼登没有住多久。不少长期犯认为安迪是个疯子，但安迪只是微笑。他一个人住，他也喜欢那样……正如他说，他们希望讨他欢喜，因为他是个廉价劳动力。
对坐牢的人而言，时间是缓慢的，有时你甚至认为时间停摆了，但时间还是一点一滴地渐渐流逝。邓纳海在报纸头条的丑闻声浪中离开了肖申克。史特马接替他的位子，此后六年，肖申克真是人间地狱。史特马在位时，肖申克医务室的床位和禁闭室的牢房永远人满为患。
一九五八年某一天，当我在牢房中照着刮胡子用的小镜子时，镜中有个四十岁的中年人与我对望。一九三八年进来的那个男孩，那个有着一头浓密红发、懊悔得快疯了、一心想自杀的年轻人不见了。红发逐渐转灰，而且开始脱落，眼角出现了鱼尾纹。某天，我会看到一个老人的脸孔在镜中出现，这使我惶恐万分，没有人愿意在监狱中老去。
一九五九年初，史特马也离开了。当时不少记者混进来调查，其中一个甚至以假名及虚构的罪状在肖申克待了四个月，准备再度揭发监狱里的重重黑幕，但他们还未来得及挥棒打击时，史特马已逃之夭夭。我很明白他为什么要逃跑，真的，因为如果他受审判刑，就会被关进肖申克服刑。真是那样的话，他在这里活不过五小时。哈力早在两年前就离开了，那个吸血鬼因心脏病发而提前退休。
安迪从来不曾受到史特马事件的牵连。一九五九年初，来了一个新的典狱长、新的副典狱长和新的警卫队长。接下来八个月，安迪回复了普通囚犯的身份。也是在那段时期，诺曼登成了他的室友，然后一切又照旧。诺曼登搬出去后，安迪又再度享受到独居的优惠。上面的人尽管换来换去，但非法勾当从未停息。
有一次我和诺曼登谈到安迪。“好人一个，”诺曼登说。很难听懂他的话，因为他有兔唇和腭裂，说话时稀里呼噜的。“他是好人，从不乱开玩笑。我喜欢跟他住，但他不喜欢我跟他住，我看得出来。”他耸耸肩，“我很高兴离开那儿。那牢房空气太坏了，而且很冷。他不让任何人随便碰他的东西，那也没关系。他人很好，从不乱开玩笑，但是空气太坏了。”
直到一九五五年，丽塔·海华丝的海报都一直挂在安迪的囚房内，然后换成了玛丽莲·梦露在电影《七年之痒》中的剧照，她站在地铁通风口的铁格盖子上，暖风吹来，掀起她的裙子。玛丽莲·梦露一直霸占墙面到一九六〇年，海报边都快烂了，才换上珍·曼斯菲，珍是大胸脯，但只挂了一年，便换上一个英国明星，名字好像叫海莎·科特，我也不确定。到了一九六六年，又换上拉蔻儿·薇芝的海报。最后挂在上面的是个漂亮的摇滚歌星，名叫琳达·朗斯黛。
我问过他那些海报对他有什么意义？他给了我奇怪和惊讶的一瞥，“怎么？它们对我的意义跟其他犯人一样呀！我想是代表自由吧。看着那些美丽的女人，你觉得好像几乎可以……不是真的可以，但几乎可以……穿过海报，和她们在一起。一种自由的感觉。这就是为什么我一直最喜欢拉蔻儿·薇芝那张，不仅仅是她，而是她站立的海滩，她好像是在墨西哥的海边。在那种安静的地方，一个人可以听到自己内心的思绪。你曾经对一张照片产生过那样的感觉吗？觉得你几乎可以一脚踩进去的感觉？”
我说我的确从来没有这样想过。
“也许有一天你会明白我的意思。”他说。没错，多年后我确实完完全全明白他的意思……当我想通时，我想到的第一件事就是诺曼登当时说的话，他说安迪的牢房总是冷冷的。
一九六三年三月末或四月初的时候，安迪碰到了一件可怕的事情。我告诉过你，安迪有一种大多数犯人（包括我在内）所缺乏的特质，是一种内心的宁静，甚至是一种坚定不移的信念，认为漫长的噩梦终有一天会结束。随便你怎么形容好了，安迪总是一副胸有成竹的样子，大多数被判终身监禁的囚犯入狱一阵子以后，脸上都会有一种阴郁绝望的神情，但安迪脸上却从未出现过，直到一九六三年的暮冬。
那时我们换了一个典狱长，名叫山姆·诺顿。假如马瑟父子[6] 有机会认识诺顿，一定会觉得十分投契，从来没有人看过诺顿脸上绽开笑容。他是浸信会基督复临教会三十年的老教徒，有一个教会发的襟章。他自从成为这个快乐小家庭的大家长以后，最大的创新措施就是让每个新进犯人都拿到一本《圣经·新约》。在他桌上有个小纪念盘，柚木上嵌的金字写着：“基督是我的救主”，墙上还挂了一幅他太太的刺绣作品，上面绣着：“主的审判就要来临。”这些字使我们大多数人都倒抽一口冷气，我们都觉得审判日早已来到，而且我们也都愿意作证：岩石无法让我们藏身，枯树也不会提供我们遮蔽。他每次训话都引用《圣经》。每次碰到这种人的时候，我建议你最好脸上保持笑容，用双手护住下体。
医务室的伤患比史特马在位时少多了，也不再出现月夜埋尸的情况，但这并不表示诺顿不相信惩罚的效力。禁闭室总是生意兴隆，不少人掉了牙，不是因为挨打，而是因为狱方只准他们吃面包和喝水，导致营养不良。
在我所见过的高层人士中，诺顿是最下流的伪君子。狱中的非法勾当一直生意兴隆，而诺顿更是花招百出。安迪对内幕一清二楚，由于我们这时候慢慢成了好朋友，所以他不时透露一些消息给我。安迪谈起这些事情时，脸上总是带着一种半好玩、半厌恶的表情，好像他谈的是一些掠夺成性的丑陋虫子，它们的丑陋和贪婪，与其说可怕，不如说可笑。
诺顿建立了一种“外役监”制度。你也许在十六七年前看过这类报道；连《新闻周刊》都为此写过专题，听来似乎是狱政感化的一大革新。让囚犯到监狱外面伐木、修桥筑堤、建造贮藏马铃薯的地窖。诺顿称之为“外役监”，而且应邀到新英格兰的每个扶轮社和同济会去演讲，尤其当他的玉照登上《新闻周刊》之后，更加炙手可热。犯人却称之为“筑路帮派”，但没有一个犯人曾受邀到同济会或扶轮社去发表他们的观点。
于是，从伐木、挖水沟到铺设地下电缆管道，都可以看见诺顿在里面捞油水，中饱私囊。无论是人员、物料，还是任何你想得到的项目，都有上百种方法可以从中揩油。但是诺顿还另辟蹊径。由于监狱囚犯是廉价奴工，你根本没有办法和他们竞争，所以建筑业全都怕极了诺顿的外役监计划。因此，手持《圣经》、戴着三十年纪念襟章的虔诚教徒诺顿，在十六年的肖申克典狱长任内从桌底下收过不少厚厚的信封。当他收到信封后，他会出过高的价钱来投标工程，或根本不投标工程，或是宣称他的“外役监”计划已经和别人签约了。我只是觉得纳闷，为什么从来不曾有人在麻省某条公路上，发现诺顿的尸体塞在被弃置的雷鸟车后车厢中，双手缚在背后，脑袋瓜中了六颗子弹。
总之，正如酒吧中播放的老歌歌词：我的天，钱就这么滚滚而来！诺顿一定非常同意清教徒的传统观念，只要检查每个人的银行账户，就知道谁是上帝最眷顾的子民。
这段期间，安迪是诺顿的左右手和沉默的合伙人，而监狱图书馆就成了押在诺顿手中的人质。诺顿心知肚明，而且也充分利用这点。安迪说，诺顿最喜欢的格言就是，用一只手洗净另外一只手的罪孽。于是，安迪提供诺顿各种有用的建议。我不敢说他亲手打造诺顿的“外役监”计划，但是我很确定他为那龟儿子处理各种钱财，提供有用的建议。钱越滚越多，而……好家伙！图书馆也添购了新的汽车修理手册、百科全书，以及准备升学考试的参考书，当然还有更多加德纳和拉摩尔的小说。
我相信这件事之所以会发生，一则是诺顿不想失去左右手，二则是他怕安迪如果真的出狱的话，会说一些不利于他的话。
我的消息是在七年中这边弄一点、那边弄一点所拼凑出来的，有些是从安迪口中得知，但不是全部。他从来不想多谈这些事，我不怪他，有些事情我是从六七个不同的消息来源那儿打探来的。我曾说过囚犯只不过是奴隶罢了，他们也像奴隶一样，表面装出一副笨样子，实际上却竖起耳朵。我把故事说得忽前忽后，不过我会从头到尾把故事完整地说给你听，然后你也许就明白，为什么安迪会陷入沮丧绝望的恍惚状态长达十个月之久。我认为，他直到一九六三年，也就是进来这个甜蜜的地狱牢房十五年后，才清楚谋杀案的真相。在他认识汤米·威廉斯之前，我猜他并不晓得情况会变得那么糟糕。
汤米在一九六二年十一月加入我们这个快乐的小家庭。汤米自认是麻省人，但他并不以此为荣。在他二十七年的生命中，他坐遍了新英格兰地区的监狱。他是个职业小偷，我却认为他该拣别的行业干，或许你也会这样想。
他已经结婚，太太每周来探监一次。她认为如果汤米能够完成高中学业，情况也许会逐渐好转，她和三岁的儿子自然也会受益，因此她说服汤米继续进修，于是汤米便开始定期造访图书馆。
对安迪而言，帮助囚犯读书已经成为例行公事，他协助汤米重新复习高中修过的科目（并不是很多），然后通过同等学力考试。同时他也指导汤米如何利用函授课程，把以前不及格或没有修过的科目修完。
汤米可能不是安迪教过的学生中最优秀的一位，我也不知道他后来到底有没有拿到高中文凭，但是这些都和我们要讲的故事无关。重要的是，汤米后来非常喜欢安迪，正如其他许多人一样。
有几次谈话时，他问安迪：“像你这么聪明的人怎么会沦落到这种地方？”这句话就和问人家“像你这样的好女孩怎么会沦落到这种地方？”一样唐突。但安迪不是会回答这种问题的人，微笑着把话岔开。汤米自然去请教别人，最后，他终于弄清楚整个事情，但他自己也极为震惊。
他询问的对象是跟他一起在洗衣房工作的伙伴，名叫查理·拉朴。查理因为被控谋杀，已经在牢里蹲了十二年。他迫不及待地把整个审判过程原原本本告诉汤米，那天把轧布机熨平的干净床单一条条拉出来塞进篮子里的动作，都不再像平日那么单调了。查理正讲到陪审团等到午餐后，才回到法庭上宣告安迪有罪，这时候机器故障的警笛响起，轧布机吱吱嘎嘎地停了下来。其他囚犯从机器的另一端把刚洗好的老人院床单一条条塞进轧布机里，然后在汤米和查理这一端每五秒钟吐出一条烫得平平整整的干床单，他们的工作是把机器吐出的床单一条条拉起来，折叠好以后放进推车里，推车里早已铺好棕色的干净牛皮纸。
但是汤米听到警笛声后，只顾站在那儿发愣，张大嘴巴，下巴都要碰到胸口了，呆呆地瞪着查理。机器吐出的床单掉在地上，越积越多，吸干了地上的脏水，而洗衣房的地面通常都很潮湿肮脏。工头霍姆跑过来大声咆哮，想知道哪里出了问题。但是汤米视若无睹，继续和查理谈话，仿佛打人无数的霍姆根本不存在似的。
“你说那个高尔夫球教练叫什么名字？”
“昆丁，”查理回答，一脸困惑沮丧的样子。他事后说，汤米的脸色好像战败投降时竖起的白旗一样。“好像是格林·昆丁——之类的。”
“嘿！嘿！注意！”霍姆的脖子胀得好像鸡冠一样红，“被单放回冷水里，动作快一点，老天爷，你——”
“格林·昆丁，天哪！”汤米说，他也只能说出这几个字，因为霍姆用警棍在他后脑勺上狠狠敲了一记，汤米倒在地上，撞掉了三颗门牙。当他醒来时，人已在禁闭室中。他被单独监禁了一星期，只准喝水、吃面包，还被记上一笔。
那是一九六三年二月的事，放出禁闭室以后，汤米又去问了六七个老犯人，听到的故事都差不多。我也是被问的人之一，但是当我问他为何关心这事时，他只是不搭腔。
有一天，他去图书馆对安迪说了一大堆。自从安迪走过来问我买丽塔·海华丝的海报以后，这是安迪第一次，也是最后一次失去了镇定……只不过这次他完全失控。
那天我后来看见他的时候，他仿佛被重重打了一耙，正中眉心一样。他两手发抖，当我跟他说话时，他没搭腔。那天傍晚，他跑去找警卫队长比利·汉龙，约好第二天求见典狱长诺顿。事后他告诉我，他那晚整夜没有合眼，听着隆冬的冷风在外面怒号，看着探照灯的光芒在周围扫射，在牢笼的水泥墙上划出一道道移动的长影，从杜鲁门主政时期开始，这个牢笼就成了他的家。他脑中拼命思考着整件事情。他说，就好像汤米手上有把钥匙，正好开启了他内心深处的牢笼，他自我禁锢的牢笼。那个牢笼里关的不是人，而是一只老虎，那只老虎的名字叫“希望”。汤米给的这把钥匙正好可以打开牢笼，放出希望的老虎，在他脑中咆哮着。
四年前，汤米在罗德岛被捕，那时他正开着一辆偷来的车，里面放满赃物。汤米招出同党，换取减刑，因此只需服二到四年徒刑。在他入狱将近一年时，他的室友出狱了，换成另一个囚犯和他同住，名叫艾乌·布拉契。布拉契是因为持械闯入民宅偷窃，而被判六至十二年徒刑。
“我从来没有看过这么神经过敏的人，”汤米告诉我，“这样的人根本不该干小偷的，至少不应该带枪行窃。只要周遭有一点点声音，他很可能就会跳到半空中，拔枪就射。有一天晚上，只不过因为有人在另一个牢房中，拿着铁杯子刮他们牢房的铁栅，他就差点勒死我。”
“在重获自由之前，我跟他同住了七个月。我不能说我们谈过话，因为你知道，你不可能真的和布拉契交谈，每次我们谈话，总是他滔滔说个没完，我只有听的份儿。他从不停嘴，如果你想打个岔，他会两眼一翻，对你挥舞着拳头。每次他这样便让我背脊发凉。他身材高大，几乎秃顶，一对绿眼珠嵌在深陷的眼眶中。老天，我希望这一生不要再看到他。”
“他每晚都说个不停：他在哪里长大的、他如何从孤儿院逃走、他干过什么事，还有他搞过的女人、他赢过的扑克牌；我只有不动声色地听他说。我的脸虽然不怎么样，不过我并不想整形。”
“照他所说，他至少抢过两百个地方，真是令人难以置信，连有人放个响屁，都会使他像鞭炮般惊跳起来，但他发誓是真的。……听着，雷德，我知道有的人听说了一些事以后会编造故事，但是在我听说这个叫昆丁的高尔夫球教练之前，我记得我就曾经想过，假如有一天布拉契潜入我家偷东西的话，我若事后才发现，就算是万幸了。我真不敢想象，当他潜入一个女人的房间翻珠宝盒时，她若在睡梦中咳嗽一声或翻个身，会有什么后果？单单想到这件事，都令人不寒而栗。”
“他说他杀过人，杀过那些惹毛他的人，至少这是他说的，而我相信他的话，他看起来确实像会杀人。他实在太他妈的神经过敏、太紧张了，就像一把锯掉了撞针的枪，随时会发射出去。我认识一个家伙，他有一把锯掉撞针的警用手枪。这样做没什么好处，纯粹是无聊而已，因为手枪的扳机变得十分灵敏，只要他把音响开到最大声，把枪放在喇叭箱上，很可能就会自动发射。布拉契就是这样一个人。我无法说得更清楚了，总之我相信他轰过些什么人。”
“所以一天晚上，我心血来潮，问他杀过谁？我只当听笑话罢了，你知道。他大笑说道：‘有个家伙正因为我杀了两个人而在缅因州服刑。我杀的是这个笨蛋的太太和另一个家伙，我偷偷潜入他的房子，那家伙跟我过不去。’我不记得他是否曾告诉我那女人的名字，”汤米接着说，“也许他说过，但在新英格兰，杜佛尼这个姓就像其他地方的史密斯和琼斯一样普通。但是，他确实把他杀掉的那个家伙的名字告诉我了，他说那家伙叫格林·昆丁，是个讨厌鬼，有钱的讨厌鬼，职业高尔夫球选手。他说他觉得那家伙应该在屋子里放了不少现金，可能有五千美金，在当时，那可是一大笔钱。所以我问：‘事情是什么时候发生的？’他说：‘在战后，战争刚结束没多久。’”
“所以，他闯进他们屋里，两个人被他吵醒，昆丁还给了他一些麻烦，他是这么说的。我则认为，说不定那家伙只不过开始打鼾。他还告诉我，昆丁和一个名律师的老婆鬼混，结果法院把那个律师送进了肖申克监狱。他说完后大笑不已。老天，当我终于可以出狱、离开那个牢房时，真是觉得谢天谢地。”
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T2. Sequencing & Structure Reconstruction
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T2.1 Global Timeline Reconstruction
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上述共有6个被打乱顺序的片段（已被标记为A-F），请根据每个片段的情节内容恢复原有的排序。先输出“[答案]”标识符，再按行输出排序后的片段字母，不要输出任何其他内容。
输出示例：
[答案]
A
B
C
D
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上述共有6个被打乱顺序的片段（已被标记为A-F），请根据每个片段的情节内容恢复原有的排序。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的片段字母。
输出示例：
<你的思考过程>
[答案]
A
B
C
D
E
F
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[
"B",
"D",
"C",
"F",
"A",
"E"
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a2f4d35dd6d73b1e4a02355c7e293938dc2e3ca4151f8771989d7a9c607abde0
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Federal Rules of Bankruptcy Procedure
[ This is primarily a resource for lawyers. For general information on bankruptcy, click here . ]
(Effective August 1, 1983, as amended to Dec. 1, 2024)
BANKRUPTCY RULES
Rule 1001 . Scope; Title; Citations; References to a Specific Form.
PART I—COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND ORDER FOR RELIEF
Rule 1002 . Commencing a Bankruptcy Case.
Rule 1003 . Involuntary Petition: Transferred Claims; Joining Other Creditors; Additional Time to Join.
Rule 1004 . Involuntary Petition Against a Partnership.
Rule 1004.1 . Voluntary Petition on Behalf of an Infant or Incompetent Person.
Rule 1004 . Petition in a Chapter 15 Case.
Rule 1005 . Caption of a Petition; Title of the Case.
Rule 1006 . Filing Fee.
Rule 1007 . Lists, Schedules, Statements, and Other Documents; Time to File.
Rule 1008 . Requirement to Verify Petitions and Accompanying Documents.
Rule 1009 . Amending a Voluntary Petition, List, Schedule, or Statement.
Rule 1010 . Serving an Involuntary Petition and Summons.
Rule 1011 . Responsive Pleading in an Involuntary Case; Effect of a Motion.
Rule 1012 . Contesting a Petition in a Chapter 15 Case.
Rule 1013 . Contested Petition in an Involuntary Case; Default.
Rule 1014 . Transferring a Case to Another District; Dismissing a Case Improperly Filed.
Rule 1015 . Consolidating or Jointly Administering Cases Pending in the Same District.
Rule 1016 . Death or Incompetency of a Debtor.
Rule 1017 . Dismissing a Case; Suspending Proceedings; Converting a Case to Another Chapter.
Rule 1018 . Contesting a Petition in an Involuntary or Chapter 15 Case; Vacating an Order for Relief; Applying Part VII Rules.
Rule 1019 . Converting or Reconverting a Chapter 11, 12, or 13 Case to Chapter 7.
Rule 1020 . Designating a Chapter 11 Debtor as a Small Business Debtor.
Rule 1021 . Designating a Chapter 7, 9, or 11 Case as a Health Care Business Case.
PART II—OFFICERS AND ADMINISTRATION; NOTICES; MEETINGS; EXAMINATIONS; ELECTIONS; ATTORNEYS AND ACCOUNTANTS
Rule 2001 . Appointing an Interim Trustee Before the Order for Relief in an Involuntary Chapter 7 Case.
Rule 2002 . Notices.
Rule 2003 . Meeting of Creditors or Equity Security Holders.
Rule 2004 . Examinations.
Rule 2005 . Apprehending and Removing a Debtor for Examination.
Rule 2006 . Soliciting and Voting Proxies in a Chapter 7 Case.
Rule 2007 . Reviewing the Appointment of a Creditors' Committee Organized Before a Chapter 9 or 11 Case Is Commenced.
Rule 2007.1 . Appointing a Trustee or Examiner in a Chapter 11 Case.
Rule 2007.2 . Appointing a Patient-Care Ombudsman in a Health Care Business Case.
Rule 2008 . Notice to the Person Selected as Trustee.
Rule 2009 . Trustees for Jointly Administered Estates.
Rule 2010 . Blanket Bond; Proceedings on the Bond.
Rule 2011 . Evidence That a Debtor Is a Debtor in Possession or That a Trustee Has Qualified.
Rule 2012 . Substituting a Trustee in a Chapter 11 or 12 Case; Successor Trustee in a Pending Proceeding.
Rule 2013 . Keeping a Public Record of Compensation Awarded by the Court to Examiners, Trustees, and Professionals.
Rule 2014 . Employing Professionals.
Rule 2015 . Duty to Keep Records, Make Reports, and Give Notices.
Rule 2015.1 . Patient-Care Ombudsman.
Rule 2015.2 . Transferring a Patient in a Health Care Business Case.
Rule 2015.3 . Reporting Financial Information About Entities in Which a Chapter 11 Estate Holds a Substantial or Controlling Interest.
Rule 2016 . Compensation for Services Rendered; Reimbursing Expenses.
Rule 2017 . Examining Transactions Between a Debtor and the Debtor's Attorney.
Rule 2018 . Intervention by an Interested Entity; Right to Be Heard.
Rule 2019 . Disclosures by Groups, Committees, and Other Entities in a Chapter 9 or 11 Case.
Rule 2020 . Reviewing an Act by a United States Trustee.
PART III—CLAIMS AND DISTRIBUTION TO CREDITORS AND EQUITY INTEREST HOLDERS; PLANS
Rule 3001 . Proof of Claim.
Rule 3002 . Filing a Proof of Claim or Interest.
Rule 3002.1 . Notice Relating to Claims Secured by a Security Interest in the Debtor's Principal Residence in a Chapter 13 Case.
Rule 3003 . Chapter 9 or 11—Filing a Proof of Claim or Equity Interest.
Rule 3004 . Proof of Claim Filed by the Debtor or Trustee for a Creditor.
Rule 3005 . Filing a Proof of Claim or Accepting or Rejecting a Plan by a Surety, Endorser, Guarantor, or Other Codebtor.
Rule 3006 . Withdrawing a Proof of Claim; Effect on a Plan.
Rule 3007 . Objecting to a Claim.
Rule 3008 . Reconsidering an Order Allowing or Disallowing a Claim.
Rule 3009 . Chapter 7—Paying Dividends.
Rule 3010 . Chapter 7, Subchapter V of Chapter 11, Chapter 12, and Chapter 13—Limits on Small Dividends and Payments.
Rule 3011 . Chapter 7, Subchapter V of Chapter 11, Chapter 12, and Chapter 13—Listing Unclaimed Funds.
Rule 3012 . Determining the Amount of a Secured or Priority Claim.
Rule 3013 . Determining Classes of Creditors and Equity Security Holders.
Rule 3014 . Chapter 9 or 11—Secured Creditors' Election to Apply §1111(b).
Rule 3015 . Chapter 12 or 13—Time to File a Plan; Nonstandard Provisions; Objection to Confirmation; Effect of Confirmation; Modifying a Plan.
Rule 3015.1 . Requirements for a Local Form for a Chapter 13 Plan.
Rule 3016 . Chapter 9 or 11—Plan and Disclosure Statement.
Rule 3017 . Chapter 9 or 11—Hearing on a Disclosure Statement and Plan.
Rule 3017.1 . Disclosure Statement in a Small Business Case or a Case Under Subchapter V of Chapter 11.
Rule 3017.2 . Setting Dates in a Case Under Subchapter V of Chapter 11 in Which There Is No Disclosure Statement.
Rule 3018 . Chapter 9 or 11—Accepting or Rejecting a Plan.
Rule 3019 . Chapter 9 or 11—Modifying a Plan.
Rule 3020 . In a Chapter 11 Case, Depositing Funds Before the Plan is Confirmed; Confirmation in a Chapter 9 or 11 Case.
Rule 3021 . Distributing Funds Under a Plan.
Rule 3022 . Chapter 11—Final Decree.
PART IV—THE DEBTOR: DUTIES AND BENEFITS
Rule 4001 . Relief from the Automatic Stay; Prohibiting or Conditioning the Use, Sale, or Lease of Property; Using Cash Collateral; Obtaining Credit; Various Agreements.
Rule 4002 . Debtor's Duties.
Rule 4003 . Exemptions.
Rule 4004 . Granting or Denying a Discharge.
Rule 4005 . Burden of Proof in Objecting to a Discharge.
Rule 4006 . Notice When No Discharge Is Granted.
Rule 4007 . Determining Whether a Debt Is Dischargeable.
Rule 4008 . Reaffirmation Agreement and Supporting Statement.
PART V—COURTS AND CLERKS
Rule 5001 . Court Operations; Clerks' Offices.
Rule 5002 . Restrictions on Approving Court Appointments.
Rule 5003 . Records to Be Kept by the Clerk.
Rule 5004 . Disqualifying a Bankruptcy Judge.
Rule 5005 . Filing Papers and Sending Copies to the United States Trustee.
Rule 5006 . Providing Certified Copies.
Rule 5007 . Record of Proceedings; Transcripts.
Rule 5008 . Chapter 7—Notice That a Presumption of Abuse Has Arisen Under §707(b).
Rule 5009 . Closing a Chapter 7, 12, 13, or 15 Case; Declaring Liens Satisfied.
Rule 5010 . Reopening a Case.
Rule 5011 . Motion to Withdraw a Case or Proceeding or to Abstain from Hearing a Proceeding; Staying a Proceeding.
Rule 5012 . Chapter 15—Agreement to Coordinate Proceedings.
PART VI—COLLECTION AND LIQUIDATION OF THE ESTATE
Rule 6001 . Burden of Proving the Validity of a Postpetition Transfer.
Rule 6002 . Custodian's Report to the United States Trustee.
Rule 6003 . Prohibition on Granting Certain Applications and Motions Made Immediately After the Petition Is Filed.
Rule 6004 . Use, Sale, or Lease of Property.
Rule 6005 . Employing an Appraiser or Auctioneer.
Rule 6006 . Assuming, Rejecting, or Assigning an Executory Contract or Unexpired Lease.
Rule 6007 . Abandoning or Disposing of Property.
Rule 6008 . Redeeming Property from a Lien or a Sale to Enforce a Lien.
Rule 6009 . Right of the Trustee or Debtor in Possession to Prosecute and Defend Proceedings.
Rule 6010 . Avoiding an Indemnifying Lien or a Transfer to a Surety.
Rule 6011 . Claiming Patient Records Scheduled for Destruction in a Health-Care-Business Case.
PART VII—ADVERSARY PROCEEDINGS
Rule 7001 . Types of Adversary Proceedings.
Rule 7002 . References to the Federal Rules of Civil Procedure.
Rule 7003 . Commencing an Adversary Proceeding.
Rule 7004 . Process; Issuing and Serving a Summons and Complaint.
Rule 7005 . Serving and Filing Pleadings and Other Papers.
Rule 7007 . Pleadings Allowed.
Rule 7007.1 . Corporate Ownership Statement.
Rule 7008 . General Rules of Pleading.
Rule 7009 . Pleading Special Matters.
Rule 7010 . Form of Pleadings in an Adversary Proceeding.
Rule 7012 . Defenses; Effect of a Motion; Motion for Judgment on the Pleadings and Other Procedural Matters.
Rule 7013 . Counterclaim and Crossclaim.
Rule 7014 . Third-Party Practice.
Rule 7015 . Amended and Supplemental Pleadings.
Rule 7016 . Pretrial Procedures.
Rule 7017 . Plaintiff and Defendant; Capacity; Public Officers.
Rule 7018 . Joinder of Claims.
Rule 7019 . Required Joinder of Parties.
Rule 7020 . Permissive Joinder of Parties.
Rule 7021 . Misjoinder and Nonjoinder of Parties.
Rule 7022 . Interpleader.
Rule 7023 . Class Actions.
Rule 7023.1 . Derivative Actions.
Rule 7023.2 . Adversary Proceedings Relating to Unincorporated Associations.
Rule 7024 . Intervention.
Rule 7025 . Substitution of Parties.
Rule 7026 . Duty to Disclose; General Provisions Governing Discovery.
Rule 7027 . Depositions to Perpetuate Testimony.
Rule 7028 . Persons Before Whom Depositions May Be Taken.
Rule 7029 . Stipulations About Discovery Procedure.
Rule 7030 . Depositions by Oral Examination.
Rule 7031 . Depositions by Written Questions.
Rule 7032 . Using Depositions in Court Proceedings.
Rule 7033 . Interrogatories to Parties.
Rule 7034 . Producing Documents, Electronically Stored Information, and Tangible Things, or Entering onto Land, for Inspection and Other Purposes.
Rule 7035 . Physical and Mental Examinations.
Rule 7036 . Requests for Admission.
Rule 7037 . Failure to Make Disclosures or to Cooperate in Discovery; Sanctions.
Rule 7040 . Scheduling Cases for Trial.
Rule 7041 . Dismissing Adversary Proceedings.
Rule 7042 . Consolidating Adversary Proceedings; Separate Trials.
Rule 7052 . Findings and Conclusions by the Court; Judgment on Partial Findings.
Rule 7054 . Judgments; Costs.
Rule 7055 . Default; Default Judgment.
Rule 7056 . Summary Judgment.
Rule 7058 . Entering Judgment.
Rule 7062 . Stay of Proceedings to Enforce a Judgment.
Rule 7064 . Seizing a Person or Property.
Rule 7065 . Injunctions.
Rule 7067 . Deposit into Court.
Rule 7068 . Offer of Judgment.
Rule 7069 . Execution.
Rule 7070 . Enforcing a Judgment for a Specific Act; Vesting Title.
Rule 7071 . Enforcing Relief for or Against a Nonparty.
Rule 7087 . Transferring an Adversary Proceeding.
PART VIII—APPEALS TO DISTRICT COURT OR BANKRUPTCY APPELLATE PANEL
Rule 8001 . Scope; Definition of "BAP"; Sending Documents Electronically.
Rule 8002 . Time to File a Notice of Appeal.
Rule 8003 . Appeal as of Right—How Taken; Docketing the Appeal.
Rule 8004 . Leave to Appeal from an Interlocutory Order or Decree Under 28 U.S.C. §158(a)(3).
Rule 8005 . Election to Have an Appeal Heard in the District Court Instead of the BAP.
Rule 8006 . Certifying a Direct Appeal to a Court of Appeals.
Rule 8007 . Stay Pending Appeal; Bond; Suspending Proceedings.
Rule 8008 . Indicative Rulings.
Rule 8009 . Record on Appeal; Sealed Documents.
Rule 8010 . Transcribing the Proceedings; Filing the Transcript; Sending the Record.
Rule 8011 . Filing and Service; Signature.
Rule 8012 . Disclosure Statement.
Rule 8013 . Motions; Intervention.
Rule 8014 . Briefs.
Rule 8015 . Form and Length of a Brief; Form of an Appendix or Other Paper.
Rule 8016 . Cross-Appeals.
Rule 8017 . Brief of an Amicus Curiae.
Rule 8018 . Serving and Filing Briefs and Appendices.
Rule 8018.1 . Reviewing a Judgment That the Bankruptcy Court Lacked Authority to Enter.
Rule 8019 . Oral Argument.
Rule 8020 . Frivolous Appeal; Other Misconduct.
Rule 8021 . Costs.
Rule 8022 . Motion for Rehearing.
Rule 8023 . Voluntary Dismissal.
Rule 8023.1 . Substitution of Parties.
Rule 8024 . Clerk's Duties on Disposition of the Appeal.
Rule 8025 . Staying a District Court or BAP Judgment.
Rule 8026 . Making and Amending Local Rules; Procedure When There Is No Controlling Law.
Rule 8027 . Notice of a Mediation Procedure.
Rule 8028 . Suspending These Part VIII Rules.
PART IX—GENERAL PROVISIONS
Rule 9001 . Definitions.
Rule 9002 . Meaning of Words in the Federal Rules of Civil Procedure.
Rule 9003 . Ex Parte Contacts Prohibited.
Rule 9004 . General Requirements of Form.
Rule 9005 . Harmless Error.
Rule 9005.1 . Constitutional Challenge to a Statute—Notice, Certification, and Intervention.
Rule 9006 . Computing and Extending Time; Motions.
Rule 9007 . Authority to Regulate Notices.
Rule 9008 . Service or Notice by Publication.
Rule 9009 . Using Official Forms; Director's Forms.
Rule 9010 . Authority to Act Personally or by an Attorney; Power of Attorney.
Rule 9011 . Signing Documents; Representations to the Court; Sanctions; Verifying and Providing Copies.
Rule 9012 . Oaths and Affirmations.
Rule 9013 . Motions; Form and Service.
Rule 9014 . Contested Matters.
Rule 9015 . Jury Trial.
Rule 9016 . Subpoena.
Rule 9017 . Evidence.
Rule 9018 . Secret, Confidential, Scandalous, or Defamatory Matter.
Rule 9019 . Compromise or Settlement; Arbitration.
Rule 9020 . Contempt Proceedings.
Rule 9021 . When a Judgment or Order Becomes Effective.
Rule 9022 . Notice of a Judgment or Order.
Rule 9023 . New Trial; Altering or Amending a Judgment.
Rule 9024 . Relief from a Judgment or Order.
Rule 9025 . Security; Proceeding Against a Security Provider.
Rule 9026 . Objecting to a Ruling or Order.
Rule 9027 . Removing a Claim or Cause of Action from Another Court.
Rule 9028 . Judge's Disability.
Rule 9029 . Adopting Local Rules; Limit on Enforcing a Local Rule; Absence of Controlling Law.
Rule 9030 . Jurisdiction and Venue Not Extended or Limited.
Rule 9031 . Using Masters Not Authorized.
Rule 9032 . Effect of an Amendment to the Federal Rules of Civil Procedure.
Rule 9033 . Proposed Findings of Fact and Conclusions of Law.
Rule 9034 . Sending Copies to the United States Trustee.
Rule 9035 . Applying These Rules in a Judicial District in Alabama or North Carolina.
Rule 9036 . Electronic Notice and Service.
Rule 9037 . Protecting Privacy for Filings.
Rule 9038 . Bankruptcy Rules Emergency
[PART X—UNITED STATES TRUSTEES] (Abrogated Apr. 30, 1991, eff. Aug. 1, 1991)
Historical Note
The Federal Rules of Bankruptcy Procedure were adopted by order of the Supreme Court on Apr. 25, 1983, transmitted to Congress by the Chief Justice on the same day, and became effective Aug. 1, 1983.
The Rules have been amended Aug. 30, 1983, Pub. L. 98–91, §2(a), 97 Stat. 607, eff. Aug. 1, 1983; July 10, 1984, Pub. L. 98–353, title III, §321, 98 Stat. 357; Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 25, 1989, eff. Aug. 1, 1989; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 29, 1994, eff. Aug. 1, 1994; Oct. 22, 1994, Pub. L. 103–394, title I, §114, 108 Stat. 4118; Apr. 27, 1995, eff. Dec. 1, 1995; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 23, 2001, eff. Dec. 1, 2001; Apr. 29, 2002, eff. Dec. 1, 2002; Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 26, 2004, eff. Dec. 1, 2004; Apr. 25, 2005, eff. Dec. 1, 2005; Apr. 12, 2006, eff. Dec. 1, 2006; Apr. 30, 2007, eff. Dec. 1, 2007; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 28, 2010, eff. Dec. 1, 2010; Apr. 26, 2011, eff. Dec. 1, 2011; Apr. 16, 2013, eff. Dec. 1, 2013; Apr. 25, 2014, eff. Dec. 1, 2014; Apr. 29, 2015, eff. Dec. 1, 2015; Apr. 28, 2016, eff. Dec 1, 2016; Apr. 25, 2019, eff. Dec. 1, 2019; Apr. 2, 2024, eff. Dec. 1, 2024.)
Effective Date; Application; Supersedure of Prior Rules; Transmission to Congress
Sections 2 to 4 of the Order of the Supreme Court, dated Apr. 25, 1983, provided:
“2. That the aforementioned Bankruptcy Rules shall take effect on August 1, 1983, and shall be applicable to proceedings then pending, except to the extent that in the opinion of the court their application in a pending proceeding would not be feasible or would work injustice, in which event the former procedure applies.
“3. That the Bankruptcy Rules, heretofore prescribed by this Court, be, and they hereby are, superseded by the new rules, effective August 1, 1983.
“4. That the Chief Justice be, and he hereby is, authorized to transmit these new Bankruptcy Rules to the Congress in accordance with the provisions of Section 2075 of Title 28, United States Code.”
(b) OBJECTIONS: TIME FOR FILING. Within 14 days after being
served with a copy of the proposed findings of fact and conclusions
of law a party may serve and file with the clerk written objections
which identify the specific proposed findings or conclusions objected to and state the grounds for such objection. A party may
respond to another party’s objections within 14 days after being
served with a copy thereof. A party objecting to the bankruptcy
judge’s proposed findings or conclusions shall arrange promptly
for the transcription of the record, or such portions of it as all
parties may agree upon or the bankruptcy judge deems sufficient,
unless the district judge otherwise directs.
(c) EXTENSION OF TIME. The bankruptcy judge may for cause extend the time for filing objections by any party for a period not
to exceed 21 days from the expiration of the time otherwise prescribed by this rule. A request to extend the time for filing objections must be made before the time for filing objections has expired, except that a request made no more than 21 days after the
expiration of the time for filing objections may be granted upon
a showing of excusable neglect.
(d) STANDARD OF REVIEW. The district judge shall make a de
novo review upon the record or, after additional evidence, of any
portion of the bankruptcy judge’s findings of fact or conclusions
of law to which specific written objection has been made in accordance with this rule. The district judge may accept, reject, or
modify the proposed findings of fact or conclusions of law, receive
further evidence, or recommit the matter to the bankruptcy judge
with instructions.
(Added Mar. 30, 1987, eff. Aug. 1, 1987; amended Mar. 26, 2009, eff.
Dec. 1, 2009; Apr. 28, 2016, eff. Dec. 1, 2016.)
Rule 9034. Transmittal of Pleadings, Motion Papers, Objections,
and Other Papers to the United States Trustee
Unless the United States trustee requests otherwise or the case
is a chapter 9 municipality case, any entity that files a pleading,
motion, objection, or similar paper relating to any of the following matters shall transmit a copy thereof to the United States
trustee within the time required by these rules for service of the
paper:
(a) a proposed use, sale, or lease of property of the estate
other than in the ordinary course of business;
(b) the approval of a compromise or settlement of a controversy;
(c) the dismissal or conversion of a case to another chapter;
(d) the employment of professional persons;
(e) an application for compensation or reimbursement of expenses;
(f) a motion for, or approval of an agreement relating to, the
use of cash collateral or authority to obtain credit;
(g) the appointment of a trustee or examiner in a chapter 11
reorganization case;
(h) the approval of a disclosure statement;
(i) the confirmation of a plan;
(j) an objection to, or waiver or revocation of, the debtor’s
discharge;
(k) any other matter in which the United States trustee requests copies of filed papers or the court orders copies transmitted to the United States trustee.
(Added Apr. 30, 1991, eff. Aug. 1, 1991.)
Rule 9035. Applicability of Rules in Judicial Districts in Alabama
and North Carolina
In any case under the Code that is filed in or transferred to a
district in the State of Alabama or the State of North Carolina
and in which a United States trustee is not authorized to act,
these rules apply to the extent that they are not inconsistent with
any federal statute effective in the case.
(Added Apr. 30, 1991, eff. Aug. 1, 1991; amended Apr. 11, 1997, eff.
Dec. 1, 1997.)
Rule 9036. Notice and Service Generally
Whenever these rules require or permit sending a notice or serving a paper by mail, the clerk, or some other person as the court
or these rules may direct, may send the notice to—or serve the
paper on—a registered user by filing it with the court’s electronicfiling system. Or it may be sent to any person by other electronic
means that the person consented to in writing. In either of these
events, service or notice is complete upon filing or sending but is
not effective if the filer or sender receives notice that it did not
reach the person to be served. This rule does not apply to any
pleading or other paper required to be served in accordance with
Rule 7004.
(Added Apr. 22, 1993, eff. Aug. 1, 1993; amended Apr. 25, 2005, eff.
Dec. 1, 2005; Apr. 25, 2019, eff. Dec. 1, 2019.)
Rule 9037. Privacy Protection For Filings Made with the Court
(a) REDACTED FILINGS. Unless the court orders otherwise, in an
electronic or paper filing made with the court that contains an individual’s social-security number, taxpayer-identification number, or birth date, the name of an individual, other than the debtor, known to be and identified as a minor, or a financial-account
number, a party or nonparty making the filing may include only:
(1) the last four digits of the social-security number and taxpayer-identification number;
(2) the year of the individual’s birth;
(3) the minor’s initials; and
(4) the last four digits of the financial-account number.
(b) EXEMPTIONS FROM THE REDACTION REQUIREMENT. The redaction requirement does not apply to the following:
(1) a financial-account number that identifies the property
allegedly subject to forfeiture in a forfeiture proceeding;
(2) the record of an administrative or agency proceeding unless filed with a proof of claim;
(3) the official record of a state-court proceeding;
(4) the record of a court or tribunal, if that record was not
subject to the redaction requirement when originally filed;
(5) a filing covered by subdivision (c) of this rule; and
(6) a filing that is subject to § 110 of the Code.
Rule 9037 FEDERAL RULES OF BANKRUPTCY PROCEDURE 134
(c) FILINGS MADE UNDER SEAL. The court may order that a filing
be made under seal without redaction. The court may later unseal
the filing or order the entity that made the filing to file a redacted version for the public record.
(d) PROTECTIVE ORDERS. For cause, the court may by order in a
case under the Code:
(1) require redaction of additional information; or
(2) limit or prohibit a nonparty’s remote electronic access to
a document filed with the court.
(e) OPTION FOR ADDITIONAL UNREDACTED FILING UNDER SEAL. An
entity making a redacted filing may also file an unredacted copy
under seal. The court must retain the unredacted copy as part of
the record.
(f) OPTION FOR FILING A REFERENCE LIST. A filing that contains
redacted information may be filed together with a reference list
that identifies each item of redacted information and specifies an
appropriate identifier that uniquely corresponds to each item listed. The list must be filed under seal and may be amended as of
right. Any reference in the case to a listed identifier will be construed to refer to the corresponding item of information.
(g) WAIVER OF PROTECTION OF IDENTIFIERS. An entity waives the
protection of subdivision (a) as to the entity’s own information by
filing it without redaction and not under seal.
(h) MOTION TO REDACT A PREVIOUSLY FILED DOCUMENT.
(1) Content of the Motion; Service. Unless the court orders
otherwise, if an entity seeks to redact from a previously filed
document information that is protected under subdivision (a),
the entity must:
(A) file a motion to redact identifying the proposed
redactions;
(B) attach to the motion the proposed redacted document;
(C) include in the motion the docket or proof-of-claim
number of the previously filed document; and
(D) serve the motion and attachment on the debtor,
debtor’s attorney, trustee (if any), United States trustee,
filer of the unredacted document, and any individual
whose personal identifying information is to be redacted.
(2) Restricting Public Access to the Unredacted Document; Docketing the Redacted Document. The court must promptly restrict
public access to the motion and the unredacted document
pending its ruling on the motion. If the court grants it, the
court must docket the redacted document. The restrictions on
public access to the motion and unredacted document remain
in effect until a further court order. If the court denies it, the
restrictions must be lifted, unless the court orders otherwise.
(Added Apr. 30, 2007, eff. Dec. 1, 2007; amended Apr. 25, 2019, eff.
Dec. 1, 2019.)
[PART X—UNITED STATES TRUSTEES] (Abrogated Apr. 30,
1991, eff. Aug. 1, 1991)
|
English
|
8k
|
T5. Attribution & Citation Alignment
|
T5.1 Full-Sentence Citation Alignment
|
Full
|
Based on the "Original Content" above and the "Generated Summary A" below, label each sentence in Summary A with a minimally sufficient citation. Format the citation for each sentence as "sentenceID rule xxxx"; if a sentence requires multiple citations, separate them with semicolons. Output the"[Answer]" identifier first, and then output the citation for each sentence line by line, without any additional content.
Generated Summary A:
1.The rules begin by defining their scope, title, citation practice, and references to specific forms.
2.There is a rule governing how documents must be signed, what representations are made to the court, and related sanctions.
3.Another rule regulates the use, sale, or lease of estate property.
4.Types of adversary proceedings are enumerated in one provision.
5.A provision protects privacy in filings by requiring redaction of sensitive information.
6.One rule governs the issuance of injunctions in bankruptcy litigation.
7.Professional employment in the case must be authorized under a dedicated rule.
8.In health care business cases, a patient-care ombudsman may be appointed under a specific rule.
9.In chapter 13 matters, special notice procedures apply to claims secured by a debtor’s principal residence.
10.Compensation and reimbursement for services in the case are controlled by a specific provision.
11.A rule addresses when a bankruptcy judge must be disqualified.
12.Corporate parties must file a corporate ownership statement in adversary proceedings.
13.Requests for admission are provided for by one discovery rule.
14.Another rule sets the standards for summary judgment.
15.Form and length requirements for briefs and appendices are prescribed in a rule.
16.A separate provision permits staying a district court or BAP judgment.
17.Relief from a judgment or order is available under a designated rule.
18.There is a rule for removing a claim or cause of action to the bankruptcy court.
19.Local rulemaking is authorized and bounded by a specific provision.
20.Electronic notice and service are addressed in their own rule.
21.The determination of whether a particular debt is dischargeable is governed by a rule.
22.Assumption, rejection, or assignment of executory contracts and unexpired leases is handled under a single rule.
23.Procedures exist for dealing with patient records scheduled for destruction in health care business cases.
24.One discovery rule governs requests to produce documents and electronically stored information.
25.Offers of judgment are authorized in adversary proceedings by a specific rule.
26.Transfer of an adversary proceeding to another district is permitted under a rule.
27.Time limits for filing a notice of appeal are set by a dedicated rule.
28.A special provision governs review of a judgment that the bankruptcy court lacked authority to enter.
29.Sanctions for frivolous appeals and other misconduct are provided for in an appellate rule.
30.Secret, confidential, scandalous, or defamatory material may be restricted pursuant to a specific rule.
Output example:
[Answer]
1 rule 1017
2 ruler 8011
3 ruler 9038
...
|
Based on the "Original Content" above and the "Generated Summary A" below, label each sentence in Summary A with a minimally sufficient citation. Format the citation for each sentence as "sentenceID rule xxxx"; if a sentence requires multiple citations, separate them with semicolons. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the citation for each sentence line by line.
Generated Summary A:
1.The rules begin by defining their scope, title, citation practice, and references to specific forms.
2.There is a rule governing how documents must be signed, what representations are made to the court, and related sanctions.
3.Another rule regulates the use, sale, or lease of estate property.
4.Types of adversary proceedings are enumerated in one provision.
5.A provision protects privacy in filings by requiring redaction of sensitive information.
6.One rule governs the issuance of injunctions in bankruptcy litigation.
7.Professional employment in the case must be authorized under a dedicated rule.
8.In health care business cases, a patient-care ombudsman may be appointed under a specific rule.
9.In chapter 13 matters, special notice procedures apply to claims secured by a debtor’s principal residence.
10.Compensation and reimbursement for services in the case are controlled by a specific provision.
11.A rule addresses when a bankruptcy judge must be disqualified.
12.Corporate parties must file a corporate ownership statement in adversary proceedings.
13.Requests for admission are provided for by one discovery rule.
14.Another rule sets the standards for summary judgment.
15.Form and length requirements for briefs and appendices are prescribed in a rule.
16.A separate provision permits staying a district court or BAP judgment.
17.Relief from a judgment or order is available under a designated rule.
18.There is a rule for removing a claim or cause of action to the bankruptcy court.
19.Local rulemaking is authorized and bounded by a specific provision.
20.Electronic notice and service are addressed in their own rule.
21.The determination of whether a particular debt is dischargeable is governed by a rule.
22.Assumption, rejection, or assignment of executory contracts and unexpired leases is handled under a single rule.
23.Procedures exist for dealing with patient records scheduled for destruction in health care business cases.
24.One discovery rule governs requests to produce documents and electronically stored information.
25.Offers of judgment are authorized in adversary proceedings by a specific rule.
26.Transfer of an adversary proceeding to another district is permitted under a rule.
27.Time limits for filing a notice of appeal are set by a dedicated rule.
28.A special provision governs review of a judgment that the bankruptcy court lacked authority to enter.
29.Sanctions for frivolous appeals and other misconduct are provided for in an appellate rule.
30.Secret, confidential, scandalous, or defamatory material may be restricted pursuant to a specific rule.
Output example:
<Your thinking process>
[Answer]
1 rule 1017
2 ruler 8011
3 ruler 9038
...
|
[
"1 rule 1001",
"2 rule 9011",
"3 rule 6004",
"4 rule 7001",
"5 rule 9037",
"6 rule 7065",
"7 rule 2014",
"8 rule 2007.2",
"9 rule 3002.1",
"10 rule 2016",
"11 rule 5004",
"12 rule 7007.1",
"13 rule 7036",
"14 rule 7056",
"15 rule 8015",
"16 rule 8025",
"17 rule 9024",
"18 rule 9027",
"19 rule 9029",
"20 rule 9036",
"21 rule 4007",
"22 rule 6006",
"23 rule 6011",
"24 rule 7034",
"25 rule 7068",
"26 rule 7087",
"27 rule 8002",
"28 rule 8018.1",
"29 rule 8020",
"30 rule 9018"
] |
Easy
|
0397898cd90615ea4a2727268ad77259fe5d50c85025e622be5e89936828ce4e
|
春天的希望
献给拉斯和弗洛伦斯·多尔
我猜美国每个州立监狱和联邦监狱里，都有像我这样的一号人物，不论什么东西，我都能为你弄到手。无论是高级香烟或大麻（如果你偏好此道的话），或弄瓶白兰地来庆祝儿子或女儿高中毕业，总之差不多任何东西……我的意思是说，只要在合理范围内，我是有求必应；可是很多情况不一定都合情合理的。
我刚满二十岁就来到肖申克监狱。在这个快乐的小家庭中，我是少数肯痛痛快快承认自己干了什么的人。我犯了谋杀罪。我为大我三岁的太太投保了一笔数目庞大的寿险，然后在她父亲送我们的结婚礼物——一辆雪佛兰轿车的刹车上动了手脚。一切都正如我的计划，只是没料到她在半路上停下来载了邻居太太和她的小儿子，他们正一起下城堡山进城去。结果刹车失灵，车速越来越快，冲过路边树丛，撞上了一座内战纪念雕像的底座而轰然起火。旁观者说，当时的车速一定超过每小时五十英里。
我也没料到自己居然会被逮住，但我却锒铛入狱，在这里长期服刑。缅因州没有死刑，但检察官让我因三桩谋杀罪而逐一受审，最后法官判了我三个无期徒刑，数罪并罚。这样一来，我在很长、很长一段时间内，都不可能有机会假释了。法官还在判决书上说我罪行重大，死有余辜。的确如此，不过现在这些事都已成过去。你可以去查查城堡岩的旧报纸档案，有关我的判决当时是地方报纸的头条新闻，与希特勒、墨索里尼以及罗斯福手下那些神秘特工人员的新闻并列，如今看来，实在有点可笑，也早已成为老掉牙的旧闻了。
你问我，我改过自新了吗？我甚至不知道什么叫改过自新，至少我不晓得那在监狱里代表了什么意思，我认为那只是政客爱用的字眼，这个词也许有一些其他的含意，也许有那么一天，我会明白它的含意，但那是未来的事了……而监狱里的囚犯早就学会不要去多想未来。当年的我出身贫穷，但年轻英俊。我让一个富家女珠胎暗结，她出身卡宾街的豪华宅邸，漂亮娇纵、但老是闷闷不乐。她父亲同意让我们结婚，条件是我得在他的眼镜公司工作，“靠自己的实力往上爬”。后来我发现，他真正的用意是要让我随时都在他的监控下，就像管着家里豢养的不太听话、还会咬人的猫狗一样。我的怨恨经年累月，越积越深，终于出手造成了这种后果。如果再给我一次机会，我绝对不会重蹈覆辙，但我不确定这样是否表示我已经痛改前非了。
不过，我真正想说的不是我自己的事，而是安迪·杜佛尼的故事。但在我开始说安迪的故事之前，还得先说几件关于我的事情，反正不会花太多工夫。
正如我刚才所说，差不多四十年来，在肖申克监狱里，我有办法帮你弄到任何东西。除了永远名列前茅的香烟和酒等违禁品之外，我还有办法弄到上千种其他东西，给这儿的人消磨时间。有些东西绝对合法，只是在这种地方不易取得，因为坐牢本该是一种惩罚。例如，有个家伙强暴了一个小女孩，还涉及几十件暴露的案子。我给他找了三块粉红色的佛蒙特大理石，他雕了三座可爱的雕像，一个婴儿、一个十二岁的男孩，还有一个蓄胡子的年轻人，他称这些雕像为“耶稣的三个不同时期”，现在这些雕像已经成为前任州长客厅中的摆设了。
又或者，如果你是在马萨诸塞州北边长大的人，一定还记得这个人的名字——罗伯特·艾伦·科特。他在一九五一年，企图抢劫莫堪尼克弗市第一商业银行，结果那次抢劫演变成血腥事件，死了六个人，包括两个强盗、三名人质，还有一个年轻警察因为挑错时间抬起头来，而让子弹穿过眼睛。科特有收集钱币的嗜好。监狱自然不会准他将收藏品带进来，但靠着他母亲和洗衣房卡车司机的帮忙，我还是替他弄到了他想要的东西。我告诉他：你一定是疯了，才会想在这个满是盗贼的石头旅馆中收藏钱币。他看着我微笑说：“我知道该把钱币藏在哪里，绝对安全，你别担心。”他说得没错。直到一九六七年他死于脑瘤时，他所收藏的钱币始终没有现身过。
我试过在情人节设法为狱友弄到巧克力；在圣帕迪日为一个叫欧迈利的疯狂爱尔兰人弄到三杯麦当劳卖的那种绿色奶昔；我甚至还为二十个人放映过午夜场电影，片名分别是《深喉》和《琼斯小姐体内的魔鬼》（这些都是色情片，他们一起凑钱租片子）……虽然我因为这些越轨行动被关了一周禁闭，但要维持“神通广大”的英名，就必须冒这样的风险。
我还能弄到参考书和黄色书刊、会让人发痒的粉末之类的恶作剧新奇玩意儿，甚至替被判长期徒刑的家伙弄到太太或女朋友的内裤……我猜你也知道这些人究竟如何度过如刀割似的漫漫长夜了。这些东西并非免费的，有些东西代价不菲。但我绝不是光为钱来干这些事。金钱对我又有何用呢？我既无法拥有一辆凯迪拉克，更不能在二月天飞到牙买加去度两个星期假。我这么做的理由和市场一流肉贩非新鲜肉品不卖的理由是一样的，只是为了维持英名不坠罢了。只有两种东西，我绝对不碰，一是枪械，一是毒品。我不愿帮助任何人把自己或其他人杀掉。我心头上的杀戮已够多了，终我一生，我不想再干任何杀人的勾当。
啊，我的商品目录可说是无所不包，因此当安迪·杜佛尼在一九四九年来找我，问我能否把丽塔·海华丝[1] 弄进监狱时，我说没问题。确实没有任何问题。
安迪在一九四八年到肖申克时是三十岁，他属于五短身材，长得白白净净，一头棕发，双手小而灵巧。他戴了一副金边眼镜，指甲永远剪得整整齐齐、干干净净，我最记得的也是那双手，一个男人给人这种印象还满滑稽的，但这似乎正好总结了安迪这个人的特色，他的样子老让你觉得他似乎应该穿着西装、打着领带的。他没进来前，是波特兰一家大银行的信托部副总裁。在保守的银行界，年纪轻轻就坐上这个位子，可说是前程似锦。尤其在新英格兰这一带，保守的风气更是十倍于其他地方；除非你是个精神萎靡的秃头中年人，不时整整西装裤上的线条，唯恐不够笔挺，否则很难得到当地人的信任，让他们把钱存在你那里。安迪是因为谋杀了老婆和她的情夫而被关进来的。
我相信我说过，监狱里每个犯人都声称自己无辜。他们只是碰上了铁石心肠的法官、无能的律师、警察的诬告，而成为受害者，再不然就是运气实在太坏了。尽管他们手按《圣经》宣誓，但却口是心非，像电视上的布道家那样信口开河而已。大多数囚犯都不是什么好人，无论对自己或对别人，都没什么好处，他们最大的不幸，就是被生到这世上来。我在肖申克的那些年中，尽管许多人告诉我他们是无辜的，但我相信其中真正无辜的人不超过十个，安迪·杜佛尼就是其中之一。不过我是经过了很多年才相信他的无辜，如果一九四七到四八年间，波特兰高等法院审判他的案子时我也是陪审团的一员，我想我也会投票赞成将他定罪。
那是个轰动一时的案子，具备了所有耸动刺激的案子必备的要素。三位主角，一位是交游广泛的美丽名媛（已死），一位是当地的运动健将（也死了），被告则是著名的青年企业家，再加上报纸的渲染、对丑闻的暗示。检察当局认为这个案子几乎是铁证如山，而案子之所以还审了那么长的一段时日，是因为侦办此案的检察官当时正要出马竞选众议员，有意留给大家深刻的印象。这是一场出色的法庭秀，旁观的群众清晨四点钟就冒着零度以下的低温到法院排队，免得抢不到位子。
在这个案子里，安迪始终不曾抗议过检察官的指控，包括安迪的太太琳达在一九四七年六月表示有意去学高尔夫球，她选了佛茂丘乡村俱乐部的课程学了四个月，教练叫格林·昆丁，是一名职业高尔夫球手。结果没有多久，琳达便和高尔夫球教练好上了，到了八月底，安迪听说了这件事。于是安迪和琳达在一九四七年九月十日下午大吵一架，争论的导火线便是琳达的外遇。
安迪供称琳达当时表示她很高兴安迪知道这件事，并说偷偷摸摸瞒着他约会，实在很不舒服，她要去雷诺城办离婚。安迪回答，要他一起去雷诺，门儿都没有，他们会先去地狱。琳达当晚即离家出走，到昆丁住处过夜，昆丁家就在高尔夫球场附近。第二天早上，为昆丁清扫洗衣的佣人发现他们两人死在床上，每人各中四枪。
最后一项事实对安迪最不利。怀抱着政治热情的检察官做了慷慨激昂的开场白和结论。他说安迪·杜佛尼不只是个因为妻子不贞而热血沸腾、急于报复的丈夫，如果是出于这样的动机，我们虽然无法原谅，却可以理解，但是他的报复手段实在太冷血了。想象一下！他连珠炮般对着陪审团说：每人各射了四枪，不是射完手枪里的六发子弹就算了，而是总共射了八枪。把原先枪膛里的子弹射完后，停下来，重新装子弹，然后再一人补一枪！第二天，《波特兰太阳报》以斗大标题怒吼着：给他四枪，她也四枪！
路易斯登镇一家当铺的伙计作证说，他在案发两天前卖了一支点三八口径、有六发子弹的警用手枪给安迪·杜佛尼。乡村俱乐部的酒保作证说九月十日晚上七点左右，安迪到酒吧来喝酒，在二十分钟内喝了三杯烈性威士忌酒，当他从椅子上站起来时，他告诉酒保要去昆丁家，并说欲知后事如何，明天看报纸就知道了。还有一个距离昆丁家一英里远的便利商店店员告诉法庭，安迪·杜佛尼在当晚八点四十五分左右去过他的店。他买了香烟、三夸脱啤酒，还有一些擦碗布。法医证明昆丁和琳达是在晚上大约十一点到凌晨两点之间遇害的。检察官派出的探员作证时表示，昆丁家七十码外的地方有个岔道，九月十一日下午，他们在岔道附近找到三样物证：两个空啤酒瓶（上面有被告的指纹）、十二根烟蒂（是被告抽的牌子），以及轮胎痕迹（正是被告一九四七年出厂的普利茅斯牌车子的车胎印子）。
在昆丁住处的客厅里，有四条擦碗布被扔在沙发上，上面有弹孔和火药灼烧过的痕迹。警探的推论是，凶手把擦碗布包在枪口上来消音（安迪的律师对探员擅自推论提出强烈抗议）。
安迪·杜佛尼也走上证人席为自己辩护，他很冷静、镇定、不带感情地述说自己的故事。他说早在七月底就听说了太太和昆丁密切来往的事。八月底他悲苦到受不了了，开始调查。一天傍晚，琳达上完高尔夫球课以后，原本说要到波特兰购物，但他尾随琳达和昆丁却到了昆丁住的地方（媒体不可免俗地把这里冠上“爱巢”二字）。他把车子停在附近，一直等昆丁驾车送琳达回俱乐部取车才离开，那是三小时以后的事了。
“你是说你开了你的普利茅斯牌新车跟随你太太？”检察官审问他。
“那天晚上我和一个朋友换了车子。”安迪说。但他冷静地承认自己计划得多么周详，只会使陪审员感到他城府很深，对他一点好处也没有。
在还了朋友的车、取回自己的车后，安迪便回家了。琳达早已上床，正在看书。他问她去波特兰好玩吗？她回答说很有意思，不过没有看到她想买的东西。“这时我可以确定了。”安迪告诉那些屏息的旁听者。他在陈述时一直保持冷静和淡漠的声调。
“从那时候到你太太被杀的十七天里，你脑子里都在想些什么？”安迪的律师问他。
“我很难过。”安迪冷静淡漠地说，他说他曾经想过自杀，同时在九月八日去路易斯登镇买了一把枪，他说这段话时，口气好像在念购物单一样。
他的律师要他告诉陪审团，在他太太被杀当晚，琳达离家去和昆丁幽会后，到底发生了什么事情。安迪说了，但他给陪审团造成的印象更糟。
我认识他将近三十年了，我可以告诉你，他是我所认识的人中自制力最强的一个。对他有利的事情，他一次只会透露一点点；对他不利的事更是守口如瓶。如果他心底暗藏了什么秘密，那么你永远也无从得知。如果他决定自杀的话，他会等到所有事情都处理得干净利落，连字条都不留。如果他当年出庭时又哭又叫、结结巴巴地说不清楚，甚至对着检察官大吼，我相信他不至于被判无期徒刑。即使判刑，也会在一九五四年就获得假释。但他说起自己的故事来，就像播放唱片似的，仿佛在告诉陪审团的人说：信不信由你。而他们压根儿就不相信。
他说那天晚上他喝醉了，而且从八月二十四日后，他常醉酒，他不是一个善饮的人。陪审团的人无法相信这么一个冷静自制、穿着笔挺双排扣三件头毛料西装的年轻人，会为了太太和镇上的高尔夫球教练有染而酗酒，但我相信，因为我有机会和他长久相处、仔细观察他，而那六男六女的陪审团却没有这样的机会。
自我认识他以来，他一年只喝四次酒。每年他都会在生日前一个星期到运动场和我碰头，然后在圣诞节前两星期再碰头一次。每次他都要我替他弄一瓶酒。跟其他犯人一样，他拿在狱中做工赚的钱来买酒，另外再自掏腰包补足不够的钱。一九六五年以前，肖申克的工资是每小时一毛钱，一九六五年起调升到每小时两毛五分。我每瓶酒抽百分之十的佣金，因此你可以算一下，安迪·杜佛尼要在洗衣房中流多少汗，一年才喝得起四次酒。
在他生日的那天早上，也就是九月二十日，他会狠狠喝醉，当晚熄灯后再醉一次。第二天他会把剩下的半瓶给我，让我和其他人分享。至于另一瓶，他在圣诞夜喝一次，除夕喝一次，然后剩下的酒再交给我分给其他人。一年才喝四次，因为他被酒害惨了。
他告诉陪审团，十日晚上他喝得酩酊大醉，当晚发生的事只记得一些片段。其实早在那天下午，他就已经醉了：“喝下双份的荷兰勇气。”他说。
琳达离家出走后，他决定去找他们当面理论。在去昆丁家的路上，他又进乡村俱乐部的酒吧喝了几杯。他不记得曾经告诉酒保要他第二天看报纸，或对他说了什么。他记得去便利商店中买啤酒，但没有买擦碗布。“我为什么要买擦碗布呢？”他反问。其中一家报纸报道，有三位女陪审员聆听这些话后，感到不寒而栗。
后来，过了很久，安迪和我谈话时，对那个店员为何作证说他买了擦碗布有一番推测，我觉得应该把他当时说的话约略记一记。“假定在他们到处寻找证人的时候，雷德，”安迪有一天在运动场对我说，“他们碰到这个卖啤酒给我的店员，当时已经过了三天，有关这个案子的种种发现，也已经在所有报纸上大肆渲染。或许五六个警察，再加上检察官办公室派来办案的探员和助理，一起找上他。记忆其实是很主观的事情。他们一开始可能只是问：‘他有没有可能买了四五条擦碗布？’然后再一步步进逼。如果有够多的人一直要你记得某件事，那种说服力是很惊人的。”
我同意，确实有这个可能。
安迪继续说：“但是还有一种更强大的说服力，我想至少不无这个可能，也就是他说服自己相信他真的卖了擦碗布给我。这个案子是众所瞩目的焦点。记者纷纷采访他，他的照片刊登在报纸上……当然更威风的是，他像明星般出现在法庭上。我并不是说，他故意编造故事或作伪证。我觉得有可能他通过了测谎，或用他妈妈神圣之名发过誓，说我确实买了擦碗布，但是……记忆仍然可能是他妈的非常主观的事情。我只知道：虽然连我的律师也认为我所说的有一半都是谎话，但他也不相信擦碗布的部分。这件事太疯狂了，我那时已经烂醉如泥了，怎么还会想到把枪包起来灭音呢？如果真的是我杀的，我才不管三七二十一呢。”
他开车来到岔道，把车停在旁边，静静地喝啤酒、抽烟。他看到昆丁家楼下的灯熄了，只剩下楼上一盏灯还亮着……再过了十五分钟，那盏灯也熄了。他说他可以猜到接下来发生了什么事。
“杜佛尼先生，那么你有没有进昆丁的屋子，把他们两人给杀了？”他的律师吼道。
“没有，我没有。”安迪回答。他说，到了午夜，他逐渐清醒过来，同时宿醉的感觉开始让他不舒服。于是他决定回家，睡一觉后，第二天再像个大人般好好冷静地想一想，“当我开车回家时，我开始觉得，最好的办法还是就让她去雷诺办离婚吧。”
“多谢，杜佛尼先生。”
检察官从椅子上跳起来发言。
“你用了最快的离婚方式，不是吗？直接用一把包着布的点三八左轮手枪解决她，对不对？”
“先生，不对，我没有。”安迪冷静地说。
“然后你又杀了她的情夫。”
“不是这样，先生。”
“你是说，你先射杀了昆丁？”
“我是说我谁都没杀，我喝了两夸脱的啤酒，还抽了警察在岔道找到的随便多少根的烟吧，然后便开车回家，上床睡觉。”
“你告诉陪审团在八月二十四日到九月十日之间，你曾经想自杀。”
“是的，先生。”
“因此去买了一把左轮枪？”
“是的。”
“杜佛尼先生，我看你不像是想自杀的人，如果我这么说，会冒犯你吗？”
“不会，”安迪说，“不过你看起来也不像特别敏感的那种人。如果我真的想自杀，大概也不会找你谈我心里的苦闷。”
庭上一阵窃笑，但他这番话并不能赢得陪审团的同情。
“你那天晚上带着你的点三八口径手枪吗？”
“没有，我已经说过了——”
“哦！对了！”检察官讽刺地微笑道，“你把它扔进河里了，是吗？在九月九日的下午，扔进皇家河中。”
“是的，先生。”
“在谋杀案发生的前一天。”
“是的，先生。”
“真是太巧了，不是吗？”
“这无所谓巧不巧合，是事实罢了。”
“我相信你已经听过明彻警官的证词了吧？”明彻带人去搜索庞德路桥一带的水域，安迪说他把枪从那儿扔到河里，但警方没找到。
“是的，先生，你知道我听到了。”
“那么你听到他告诉法庭，他们虽然找了三天，还是没找到枪。是不是太巧了？”
“不管巧不巧，他们没找到枪是事实，”安迪冷静道，“但我要跟你，还有陪审团说明一件事：庞德路桥很靠近皇家河的出海口，那里水流很急，枪也许被冲到海湾中了。”
“因此也就无法比对你手枪中的子弹，以及射入你太太和昆丁先生浑身是血的身体中的子弹了，是吗？”
“是的。”
“这不也很巧吗？”
按照当时报纸的记载，安迪听到他这么说时，脸上浮现出一丝苦笑，整整六个星期的审判过程中，这是安迪不多见的情绪反应之一。
“由于我是无辜的，再加上当我说我把枪丢入河里时，我说的是实话，因此找不到枪，对我而言，其实是很不巧的。”安迪说。
检察官炮火猛烈地质问了他两天，把便利商店店员的证词中有关擦碗布的部分重新念了一遍。安迪反复说明他记不得曾经买过擦碗布，但也承认他记不得没买过擦碗布。
安迪和琳达于一九四七年初合买过保险，是吗？是的。如果安迪无罪开释，是否可以得到五万元的保险理赔？是的。那么他前往昆丁的屋子时，不是抱着杀人的打算？打算杀了自己的妻子和昆丁？不是。如果不是的话，那么他认为那天到底发生了什么事，因为这个案子不像劫财害命。
“先生，我完全想不透发生了什么事。”安迪静静地说。
这案子在一个大雪纷飞的星期三下午一点钟，交付陪审团表决。十二位陪审员在三点半回到庭上。法警说，他们原本可以早一点返回法庭，但是为了能享受一顿从班特利餐厅买来、由公家招待的免费鸡肉大餐，而拖了一点时间。陪审团判定安迪有罪。各位，如果缅因州有死刑的话，他会在番红花还未从雪中冒出头之前上了西天。
检察官问过安迪，他认为那天晚上到底发生了什么事，安迪避而不答。但他其实心中的确有一些想法，我在一九五五年一个黄昏时刻把这些想法套了出来。我们两人花了七年工夫，才从点头之交进而成为相当亲近的朋友，但直到一九六〇年之前，我都从未真正感到跟他很接近。而且我想，我是唯一曾经真正跟他接近的人。我们由始至终都在同一层囚室，只是我在走道中间而他在走道末端。
“我认为到底是怎么回事？”他笑道，但笑声中没有丝毫幽默的意味，“我认为那天晚上，我真是倒霉透了，古往今来最倒霉的事都集中在这短短几小时内发生。我想一定有个陌生人凑巧经过。也许在我走了之后，有人车子爆胎了，也许是个强盗，也许是个神经病，走进去把他们杀了，就这样，我就被关进来了。”
就这么简单。而他却得下半辈子——至少在离得开以前——都待在肖申克。五年后，他开始申请假释，但每次都被驳回，尽管他是模范犯人。但当你被烙上了谋杀的罪名后，想离开肖申克可有得等了，时间会慢得就像流水侵蚀岩石一样。假释听证会中有七个委员，比一般州立监狱还多两个，你不能收买那些家伙，也无法用甜言蜜语哄他们，更不能向他们哭求。在假释听证会中，有钱都不能使鬼推磨，任你是谁都插翅难飞。而安迪的情况，原因就更复杂……不过且待下文分解吧。
有个名叫肯德里克斯的模范犯人，在一九五〇年代向我借了不少钱，后来足足花了四年才付清。他付给我的利息大部分是用情报来抵。干我这一行，如果消息不灵通，就是死路一条。肯德里克斯能看到一些我绝对看不到的纪录和档案。他不像我只在那个该死的车牌工厂里操作压板机器。
肯德里克斯告诉我，在一九五七年以前的假释听证会上，反对安迪假释的投票纪录是七比〇，一九五八年是六比一，一九五九年又是七比〇，一九六〇年是五比二，以后的我就不知道了。我只知道，经过十六年后，他还在第五区的十四号牢房。到了一九七五年，他已经五十七岁了。他们很可能到一九八三年时，才会大发慈悲放了他。
他们饶你一命，但是却夺走你生命中所有重要的东西。也许有一天，他们会放你走，但是……听着：我认识一个叫波顿的家伙，他在牢房里养了一只鸽子。从一九四五年到一九五三年，当他们放他出来走走时，他都带着这只鸽子。他叫鸽子“杰克”。波顿在出狱前一天，也放杰克自由，杰克立刻姿态漂亮地飞走了。但是在波顿离开我们这个快乐小家庭一个星期之后，有个朋友把我带到运动场角落，波顿过去老爱在那里晃来晃去。有只小鸟像一堆脏床单般软趴趴地瘫在那里，看起来饿坏了。我的朋友说：“那是不是杰克啊？”没错，是杰克，那只鸽子像粪土一样躺在那儿。
我还记得安迪·杜佛尼第一次跟我接触要东西的情形，往事历历在目，好像昨天才发生一样。不是他想要丽塔·海华丝的海报那次，那还是以后的事。一九四八年夏天，他跑来找我要别的东西。
我的生意大部分是在运动场上做成的，这桩交易也不例外。我们的运动场很大，呈正方形，每边长九十码。北边是外墙，两端各有一个瞭望塔，上面站着武装警卫，还佩着望远镜和镇暴枪。大门在北面，卡车卸货区则在南边，肖申克监狱总共有五个卸货区。在平常的工作日，肖申克是个忙碌的地方，不停有货进出。我们有一间专造汽车牌照的工厂、一间大洗衣房。洗衣房除了洗烫监狱里所有床单衣物，还替一家医院和老人院清洗床单衣物。此外还有一间大汽车修理厂，由犯人中的技工负责修理囚车和市政府、州政府的车子，不用说还有监狱工作人员的私人轿车，经常也可以看到假释委员会的车停在那儿待修。
东边是一堵厚墙，墙上有很多小得像缝隙的窗子，墙的另一边就是第五区的牢房。西边是办公室和医务室。肖申克从不像其他监狱一样人满为患。一九四八年时，还有三分之一的空位。但任何时候，运动场上都有八十到一百二十名犯人在玩美式足球或打棒球、赌骰子、闲聊或暗中交易。星期天，场上人更多，像假日的乡下……如果再加上几个女人的话。
安迪第一次来找我是在一个星期日。我正跟一个叫安耳默的人谈完话；安耳默隔三差五帮我一些小忙，那天我们谈的是一部收音机的事。我当然知道安迪是谁，别人都认为他是个冷冰冰的势利小人，一副欠揍的样子。说这种话的其中一个人叫做博格斯·戴蒙德，惹上他可真是大坏事一件。安迪没有室友，听说是他自己不想要的。别人都说，他自认他的屎闻起来比别人香。但我不随便听信别人的传言，我要自己来判断。
“嗨，”他说，“我是安迪·杜佛尼。”他伸出手来，我跟他握手。他不是那种喜欢寒暄的人，开门见山便说出来意。“我知道你有本事弄到任何东西。”
我承认我常常有办法弄到一些东西。
“你是怎么办到的？”安迪问道。
“有时候，”我说，“东西好像莫名其妙地就到了我的手上。我无法解释，除非因为我是爱尔兰人。”
他笑笑。“我想麻烦你帮我弄把敲石头的锤子。”
“什么样子的锤子？你要那种锤子干什么？”
安迪很意外，“你做生意还要追根究底吗？”就凭他这句话，我已知道他为何会赢得势利小人的名声，就是那种老爱装腔作势的人——不过我也在他的问话中感觉到一丝幽默。
“我告诉你，”我说，“如果你要一支牙刷，我不会问你问题，我只告诉你价钱，因为牙刷不是致命的东西。”
“你对致命的东西很过敏吗？”
“是的。”
一个老旧、贴满了胶带的棒球飞向我们，安迪转过身来，像猫一样敏捷，在半空中把球抓了下来，漂亮的动作连弗兰克·马左恩[2] 都会叹为观止。安迪再以迅速利落的动作把球掷回去。我可以看见不少人在各干各的活儿时，还用一只眼睛瞄着我们，也许在塔上的守卫也在看我们。我不做画蛇添足或会惹来麻烦的事。每个监狱中，都有一些特别有分量的人物，小监狱里可能有四五个，大监狱里可能多达二三十个，在肖申克，我也算是个有头有脸的人，我怎么看待安迪，可能会影响他在这里的日子好不好过。安迪可能也心知肚明，但他从未向我磕头或拍马屁，我就是敬重他这点。
“应该的。我会告诉你这种锤子长什么样子，还有我为什么需要这种锤子。是长得很像鹤嘴锄的小石锤，差不多这么长。”他的手张开约一英尺宽，这是我第一次看见他整齐干净的指甲。“锤子的一端是尖利的小十字镐，另一端是平钝的锤头。我要买锤子是因为我喜欢石头。”
“石头？”我说。
“你蹲下来一会儿。”他说。
我们像印第安人一样蹲着。
安迪抓了一把运动场上的尘土，然后让尘土从他干净的手指缝间流下去，扬起了一阵灰。最后他手上留下了几粒小石头，其中一两粒会发光，其余的则灰扑扑的，黯淡无光。其中一粒灰暗的小石头是石英，但是要等摩擦干净了以后，才看得出来是石英，发出一种奶色的光芒。安迪把它擦干净后扔给我。我接住后，马上叫出名字。
“石英，不错，”他说，“你看，云母、页岩、沙质花岗岩。这地方有不少石灰石，是当年开辟山丘盖监狱时留下的。”他把石头扔掉，拍掉手上的灰尘。“我是个石头迷。至少……以前是。我希望能重新开始收集石头，当然是小规模的收集。”
“星期日在运动场上的探险？”我问道，站了起来。好一个傻念头，不过……看见那一小块石英，我也不禁稍稍心动了一下，我不知为什么；我想，大概是和外面的世界有某种联系吧。你不会想到在运动场上会看到石英，石英应该是在奔流的小溪中捡到的东西。
“星期天有点事做，总比没有的好。”他说。
“你可以把锤子插进某人的脑袋中。”我评论道。
“我在这儿没有敌人。”他静静地说。
“没有？”我微笑道，“再等一阵子吧。”
“如果有麻烦的话，我不会用锤子来解决。”
“也许你想越狱？在墙下挖地道？因为如果你——”
他温文有礼地笑了起来。等到我三个星期后亲眼见到了那把石锤时，我就明白他为什么笑了。
“你知道，”我说，“如果有人看见你带着这玩意儿，他们会把它拿走。他们连看到你有个汤匙，都会把它拿走。你要怎么弄呢？就蹲在这儿敲敲打打吗？”
“噢，我会想出更好的办法的。”
我点点头，反正那部分确实不关我的事。我只负责供应东西，至于他能否保住那个东西，完全是他的事情。
“像这样一个玩意儿，要多少钱？”我问，我开始享受他安静低调的态度。如果你像我一样，已经度过了十年的牢狱生涯，你会极端厌倦那些爱大声咆哮、好吹牛、还有大嘴巴的人。所以，可以这么说，我从初次见面就很喜欢安迪。
“任何卖石头和玉石的店都可以买到，要八块钱，”他说，“不过我当然明白，你经手的东西都还要加一点佣金——”
“平常是加百分之十，不过我必须把危险物品的价格再提高一点。你要的东西比较不那么容易弄到手，所以就算十块钱好了。”
“那就十块钱。”
我看着他，微微一笑。“你有十块钱吗？”
“有。”他平静地说。
过了很久，我才发现他至少有五百元，是他入狱时就带进来的钱。每个人入狱时都要先经过一番检查，他们会强迫你弯下腰来，然后仔细查看你的某个部位。不过那部位空间不少，有决心的人想瞒天过海还是有办法，东西直往里塞，表面上甚至看不出来，除非碰巧检查你的那个人居然有心情戴上橡皮手套，往里面猛掏。
“很好，”我说，“你应该知道万一我给你的东西被发现了，该怎么办吧？”
“我想我应该知道。”我可以从他的眼神转变中看出，他早已猜到我要说什么了。他的眼神中闪现一丝他特有的带着嘲讽的幽默。
“如果你被逮着了，你要说是你自己找到的。他们会关你三或四个星期的禁闭……还有，当然啰，你的玩具自然也会被没收，还会在你的记录上留下一个污点。但是如果你说出我的名字，以后就甭想再和我做生意了，连一双鞋带或一包香烟都甭想我卖给你。我也会派人给你一点颜色瞧瞧。我不喜欢暴力，但你要了解我的处境，我可不能随便给人摆了道儿，这样我往后就混不下去了。”
“我懂，你不用担心。”
“我从来不担心，”我说，“在这种地方，担心于事无补。”
他点点头走开了。三天后，趁早上洗衣服的休息空档，他走向我。他没跟我说话，甚至没看我，不过神不知鬼不觉地塞给我一张折得整整齐齐的钞票，手法就像魔术师玩扑克牌戏法一样利落。这家伙学得很快。我给他弄了一把锤子，正是他形容的尺寸和样子。这把锤子在我的牢房中藏了一个晚上，这种锤子不像逃亡工具，我猜如果想用这样一把锤子挖地道逃出去，大约要六百年，但我还是有点不放心。因为万一把这玩意插在某人的脑袋中，他就再也别想听电台播放的流行歌了，而安迪一向跟那些同性恋处不好，我希望他们并非他真正想锤的对象。
最后，我还是相信自己的判断。第二天一早，起床号还没有响起，我就把锤子藏在香烟盒中拿给厄尼，厄尼是模范囚犯，他在一九五六年出狱前，一直负责打扫第五区的走道。他一句话也没说，就飞快地把锤子塞进上衣里，此后十九年，我不曾再看过那把锤子，等我再看到它时，那把锤子早已磨损得没法用了。
接下来那个星期日，安迪在运动场上又走向我。他的样子惨不忍睹，下嘴唇肿得像香肠，右眼也肿得张不开，脸颊有一连串刮伤。他又跟那些“姊妹”起冲突了，但他从来不提这件事。“多谢你的工具。”他说，说完便走了。
我好奇地看着他。他走了几步，在地上看见什么东西，弯下腰去捡起来。那是块小石头。囚衣是没有口袋的（唯有担任技工的囚犯在工作场合中穿的工作服例外），但是总有办法可想，因此那块小石头消失在安迪的袖子中，而且一直没有掉下来，手法真叫人佩服……我也很佩服他，尽管他碰到不少麻烦，还是继续过他的日子，但世界上其他成千上万的人却办不到，他们不愿意或没有能力这么做，其中许多人根本没有被关在牢里，却还是不懂得过日子。我还注意到，尽管安迪的脸孔透露出他碰到麻烦了，但是他的双手仍然干净得一如往常，指甲也修剪得整整齐齐的。
接下来六个月，我甚少看见他。安迪有好一阵子都被单独关在禁闭室里。
说到这里，我想先谈谈关于“姊妹”的一些事情。
这类人有许多不同的名称，像“公牛怪胎”或“牢房苏茜”等等——最近流行的说法是“杀手皇后”，但在肖申克，大家总是称他们为“姊妹”。我不知道为什么，不过除了名称不同之外，我猜其他没有什么不一样。
大多数人对监狱中发生鸡奸早已见怪不怪了，或许只有一些新进犯人除外，尤其是那些不幸长得苗条俊秀、又缺乏警觉的年轻犯人。但是同性恋和异性恋一样，也有几百种不同的形式。有的人因为无法忍受无性的生活，因此在狱中转而结交男人，免得自己发疯。通常接下来原本是异性恋的两个男人之间就会有某种安排，虽然我常常怀疑，当他们有朝一日回到妻子和女友身边时，是否真能像自己所说的一样恢复为异性恋者。
也有一些人在狱中“转变”性倾向。现在流行的说法是，他们变成同性恋者，或是“出柜”了。而这些男同性恋者大多数扮演女性的角色，而且大受欢迎。
于是就有了这群“姊妹”。
他们之于监狱这个小型社会，就好像强暴犯之于墙外的大型社会一样。他们往往是罪大恶极的长期犯，而他们的猎物则是一些年轻、瘦弱和没经验的囚犯……或者，就安迪的情况而言，看起来很柔弱的囚犯。淋浴间、洗衣机后面的狭窄通道，有时候甚至医务室，都成为他们的狩猎场。其中不止一次，强暴案也发生于礼堂后面只有衣橱大小的电影放映室中。很多时候，他们其实不必使用暴力也可以得逞，因为入狱后转为同性恋的囚犯似乎总是会迷上其中一位“姊妹”，就好像十来岁的少女迷恋明星或歌星偶像一样。但是对这些姊妹而言，其中的乐趣正在于使用暴力……而我猜这部分永远都不会改变。
由于安迪长得比较矮小，生就一张俊脸，或许也因为他那特有的泰然自若的神态，他一进来就被那批姊妹看上了。如果我说的是童话故事，我会告诉你安迪一直奋勇抵抗，直到他们罢手为止。我很希望能这么说，但我不能。监狱原本就不是童话世界。
第一次出事是在他加入我们肖申克快乐家庭还不到三天的时候，在浴室里。就我所知，那次只是一连串的挑逗和侮辱。那些人喜欢在采取真正的行动前，先捉弄一下猎物，就像胡狼想测试看猎物是否真的像外表那么软弱。
安迪狠狠反击，而且把那个叫博格斯·戴蒙德的大块头嘴唇给打裂了，警卫及时冲进来，才制止住双方进一步的动作，但博格斯发誓非逮到安迪不可，他果然说到做到。
第二次则发生在洗衣房后面。多年来，那条狭长肮脏的通道发生了不少事情，警卫全都知道，却放任不管。那里很暗，散置着一袋袋洗衣剂、漂白剂和一桶桶Hexlite[3] 催化剂，如果你的手是干的，碰到也不会怎么样，但是如果弄湿了，这些化学药剂就会像电池的酸液一样害你送命。监狱的警卫都不喜欢来这里，也警诫新人不要到这儿来，因为如果被囚犯困在这个地方，你可没有后退之路，连搏斗的空间都不够。
博格斯当时不在场，但从一九二二年起便在洗衣房当工头的亨利·拜克告诉我，博格斯的四个朋友都在那儿。安迪起先手里拿着一碗Hexlite，让他们不敢靠近，他威胁着如果他们再走近一步，就要把催化剂往他们的眼睛丢过去。但是安迪往后退时，不小心跌倒了，结果他们就一拥而上。
我想“轮暴”这个名词的意义是永远不会改变的，那正是这四姊妹对他做的事。他们把安迪按在齿轮箱上，拿着螺丝起子对准他的太阳穴，逼他就范。被强暴后会有一点伤口，但不是太严重。你问，这是我的经验之谈吗？——但愿并非如此。之后你会流几天血，如果不希望有些无聊小丑问你是不是月经来了，就在裤子里多垫几张卫生纸。通常血流个两三天就停了，除非他们用更不自然的方式对待你。不过虽然身体没有什么大损伤，强暴终归是强暴，事后你照镜子瞧自己的脸时，会想到日后该怎么看待自己。
安迪孤独地经历了这些事情，就像他在那段日子里，孤零零地经历了其他所有事情一样。他一定就像之前许多人那样，得到了这个结论：要对付这群姊妹只有两种方法，要不就是力拼之后不敌，要不就是从一开始就认了。
他决定跟他们力拼。当博格斯和两个同党一星期后尾随安迪时，安迪猛烈还击，当时厄尼刚好在附近。根据厄尼的说法，博格斯当时说：“我听说你已破身了。”安迪打破了一个叫卢斯特的家伙的鼻子，那家伙是个粗壮的农夫，因为打死继女而被关进牢中。我很乐于告诉你，他后来死在这里。
他们三个人联手制伏他，轮流强暴他，之后再强迫安迪跪下来。博格斯站在他面前，他那时有一把珍珠柄的剃刀，刀柄上刻了“戴蒙德珍珠”的字样。他打开剃刀说：“我现在要解开拉链啦，男人先生，我要你咽下什么东西，你就得给我咽下。等你咽完了我给你的东西，你就得咽下卢斯特的东西，你把他的鼻子打破了，应该要对他有所补偿。”
安迪说：“如果你把任何东西塞进我的嘴里，你就会失掉那个东西。”
厄尼说，博格斯看着安迪，以为他疯了。
“不对，”他慢慢对着安迪说，好像安迪是个笨孩子，“你没听懂我说的话。如果你胆敢这样做的话，我会把这柄八英寸长的玩意从你耳朵全插进去，懂吗？”
“我明白你在说什么，但是我想你没听懂我的话。只要你把任何东西塞进我的嘴巴里，我就会把它咬断。你可以把刀子插进我的脑袋里，不过你应该明白，当一个人脑部突然受到严重创伤时，他会同时撒尿拉屎……和大力咬下去。”
安迪抬头看着博格斯，脸上带着惯有的微笑，厄尼描述，仿佛他们三个人只是在和他讨论股票与债券，仿佛他还像在银行上班一样，身上穿着三件头西装，而不是跪在洗衣房的脏地板上，裤子退到脚踝处，大腿间流着血。
“事实上，”他还继续说，“我只知道，这种用力咬下去的反射动作有时候太激烈了，事后你得用铁锹或钻子才有办法把他的下巴撬开。”
结果，一九四八年二月的那个晚上，博格斯没敢放任何东西到安迪嘴巴里，卢斯特也没有，就我所知，以后也没有任何人敢这么做。他们三个人结结实实把安迪打了一顿，差那么一点点就把他打死；而四个人都关了一阵子禁闭。安迪和卢斯特还先被送到监狱的医务室疗伤。
这些家伙找过他几次麻烦？我不知道。我想卢斯特很早便对他失去兴趣了，足足有一个月的时间都得用夹板固定鼻梁，会让一个人倒足胃口。那年夏天，博格斯也停止找他麻烦了。
那是一件怪事。六月初的一个早上，博格斯没出来吃早饭，他们发现他被打得半死，奄奄一息地躺在牢房中。他没说是谁干的，或是怎么发生的，但是干我这一行，我很清楚你几乎可以买通监狱警卫去做任何事情，只要不是要他们为囚犯带枪进来就好。那时他们的薪水不高，就是现在也不高，而且当时没有电动门锁，没有闭路电视或中央系统可以监控整个监狱。在一九四八年，每个囚区都有单独的门禁和警卫，贿赂警卫让两三个人混进来很容易，是啊，甚至进到博格斯的牢房中，都有可能。
当然这样做需要花掉不少钱，不是依照外面的水准，不，监狱里属于小规模经济，你进来一段时间就会发现，手上有张一块钱钞票，就跟外面的二十元一样管用。我猜如果博格斯是这样被暗算的，那么某人可花了不少钱，可能给警卫十五块钱，几个打手则一人两三块钱。
我并不是说这件事一定是安迪干的，不过我知道他带了五百元进来。他进来前在银行工作，对于金钱能够发挥的力量，他比我们任何人都更清楚。
我只知道：自从这次挨打以后——博格斯断了三根肋骨、眼睛出血、背部拉伤加上股骨脱臼，他不再找安迪的麻烦了，事实上，他再也不找任何人麻烦了。他就好像夏天刮大风一样，虽然狂吹着，却都是虚张声势。你可以说，他变成一个“软弱”的姊妹。
博格斯的故事就此结束，原本他很可能杀了安迪，如果安迪没有采取任何行动来防备的话。但这并不意味着其他姊妹也不再找他麻烦，偶尔他们还是会趁他不备，乘虚而入，但次数不多。毕竟胡狼还是比较喜欢容易上手的猎物，而在肖申克，比安迪容易上手的猎物多的是。
不过，我记得安迪每次都奋力抵抗。我猜，他知道只要有一次让他们容易上手，以后便永无宁日。因此安迪脸上偶尔会挂彩，在博格斯被打约六或八个月后，他还断了两根指头。对了，在一九四九年末，他还曾经因为脸颊骨断裂而到医务室就诊，看来有人用布将铁管子包起来，用力往他脸上挥打。他总是反击，因此经常被单独监禁。我想关禁闭对他而言并不苦，不像其他人那么受不了，他一点也不害怕独处。
他勉强适应着和姊妹们周旋——但到了一九五〇年，这种事几乎完全停止了。等一下我会详细讲述这部分。
一九四八年秋天，有一天早上，安迪在运动场上跟我见面，问我能不能替他弄到一打磨石布。
“那是什么鬼玩意？”我问道。
他告诉我那是石头迷的术语，是跟擦碗布差不多大小的布，用来磨亮石头。磨石布厚厚的，一面粗糙，一面光滑，光滑的一面像砂纸，粗糙的一面则像工业用的钢丝绒（安迪的牢房里也有一盒钢丝绒，却不是我帮他弄到的，我猜他是从洗衣房里偷来的）。
我跟他说这宗生意没问题，然后替他从同一家岩石和玉石店弄到了他要的东西。这次我只抽百分之十的服务费，没多要他一分，因为我认为这种长七英寸、宽七英寸的正方形布垫没啥危险。磨石布，真是的。
五个月后，安迪问我能否替他把丽塔·海华丝给弄来。我们这次是借着礼堂放映电影的机会谈的生意。现在我们一周可以看一两次电影，以前一个月才看一次，放映的电影通常都含有浓厚的道德启示，那次放映的电影《失去的周末》也不例外，警告我们喝酒是很危险的。这样的道德教训倒是令身陷囹圄的我们感到有点安慰。
安迪想办法坐到我旁边来，电影放到一半时，他挨近我，问我是否能给他弄到丽塔·海华丝。说实话，我真想笑。他一向表现得很冷静，而且一板一眼，但那天晚上他坐立不安，十分难为情，好像在跟我要保险套似的。他好像充足了电，随时要爆发一样。
“可以呀，”我说，“别紧张，冷静点，你要大张的还是小张的？”当时丽塔是我最喜欢的电影明星（几年前则是贝蒂·葛兰宝），当时丽塔·海华丝的海报有两种尺寸。花一块钱的话，可以弄个小张的，二块五毛钱则可以弄到大张的，四英尺高，女人味十足。
“大张的，”他说，没看我。那晚他真是害臊得厉害，脸红得像个想偷拿哥哥身份证去看香艳秀的孩子，“你有办法弄到吗？”
“当然可以，别紧张。”这时大家看到电影精彩处，开始拍手尖叫起来。
“多久可以弄到？”
“一个星期，也许可以更快点。”
“好吧，”他的声音透着失望，好像希望我马上就能从口袋里掏一张出来给他，“多少钱？”
这次我照批发价算给他。这点折扣，我还给得起；他一直是个好顾客，而且也是个乖宝宝——当博格斯、卢斯特和其他人一直找他麻烦时，我常常怀疑，他哪天会不会拿起他的石锤，敲破某个人的脑袋？
海报是我的大宗生意，抢手的程度仅次于酒和香烟，通常比大麻的需求量还多。二十世纪六十年代，各种海报的需求量都大增，例如，有不少人想要鲍勃·迪伦[4] 、吉米·亨德里克斯[5] 以及电影《逍遥骑士》的海报。但大多数人还是喜欢女人的海报，一个接一个的性感漂亮海报皇后。
在安迪和我谈过几天以后，和我有生意往来的洗衣房司机为我捎回六十多张海报，大多数是丽塔·海华丝的海报。你可能还记得那张有名的照片，我就记得清清楚楚，海报上的丽塔·海华丝身着泳装，一只手放在头后面，眼睛半闭，丰满的红唇微张，好一个喷火女郎。
也许你很好奇，监狱管理当局知道有黑市存在吗？当然知道啰。他们可能跟我一样清楚我的生意，但他们睁一只眼、闭一只眼，因为他们知道整个监狱就像个大压力锅，必须有地方透透气。他们偶尔会来次突击检查，我一年总要被关上两三次禁闭，不过像海报这种东西，他们看了眨眨眼便算了，放彼此一条生路嘛。当某个囚犯的牢房里出现了一张丽塔·海华丝的大张海报时，他们会假定大概是亲戚朋友寄来的。当然事实上亲友寄到监狱的包裹一律都会打开检查，然后登记到清单上，但如果是像丽塔·海华丝或艾娃·嘉娜这种完全无害的性感美女海报，谁又会回去重新审阅那张清单呢？当你生活在压力锅中时，你得学会如何生存，也学会放别人一条生路，否则会有人在你的喉咙上划开一道口子。你得学会体谅。
厄尼再度替我把海报拿去安迪的十四号牢房，同时带回一张字条到我的六号牢房来，上面是安迪一丝不苟的笔迹，只有两个字：“多谢。”
后来有一天，早上排队去吃早餐时，我找机会瞄了一下安迪的房间，看到丽塔·海华丝的泳装海报亮丽地贴在床头，这样他在每晚熄灯后，还可以借着运动场上的水银灯看着泳装打扮的丽塔·海华丝，她一手放在头后面，眼睛半闭，丰满的红唇微张。可是，白天她的脸上全是一条条黑杠，因为太阳光把铁窗栅栏的阴影印到海报上了。
现在我要告诉你一九五〇年五月中发生的事，这件事结束了安迪和那些姊妹之间持续三年的小冲突，而他也因为这次事件终于从洗衣房调到图书馆工作，他在图书馆一直待到今年初离开这个快乐小家庭为止。
你或许已经注意到，我告诉你的许多事情都是道听途说的——某人看到某件事以后告诉我，而我再告诉你。在某些情况下，我已经把这些经过四五手传播后的故事简化了许多。不过在这里，生活就是如此。这里的确有个秘密情报网，如果你要保持消息灵通，就得运用这个情报网。当然，你得懂得去芜存菁，知道怎么从一大堆谎言、谣传和子虚乌有的幻想中，挑出真正有用的消息。
还有，你也许会觉得我描述的是个传奇人物，而不是普通人，我不得不承认这多少是事实。对我们这些认识安迪多年的终身犯而言，安迪的确带着点传奇魔幻的色彩，如果你明白我的意思的话。监狱里流传的故事，包括他拒绝向博格斯屈服、不断抵抗其他姊妹，甚至弄到图书馆工作的过程，都带着传奇色彩。但是有一个很大的差别是，最后这件事是我亲眼目睹的，我敢以我妈妈的名字发誓，我说的话句句属实。杀人犯的誓言或许没有什么价值，但是请相信我：我绝不说谎。
当时我们已经建立起不错的交情，这家伙很有意思。我还忘了告诉你一件事，也许我应该提一下的。就在他挂上丽塔·海华丝的海报五周后——我早已忘记了这整件事，而忙着做其他生意——有一天厄尼从牢房的铁栅栏递给我一个白色小盒子。
“安迪给你的。”他低声说，两手依然不停地挥动扫把。
“多谢！”我说，偷偷递给他半包骆驼牌香烟。
当我打开盒子时，我在想里面会是什么怪东西？里面放了不少棉花，而下面是……
我看了很久，有几分钟，我甚至有点不敢去碰它们，实在是太美了。这里极端缺乏美好的东西，而真正令人遗憾的是，许多人甚至不怀念这些美丽的东西。
盒子里是两块石英，两块都经过仔细琢磨，削成浮木的形状，石英中的硫化铁发出闪闪金光。如果不是那么重的话，倒可以做成一对很不错的袖扣，这两块石英就有这么对称精致。
要琢磨这两块石头得花多少时间？可想而知，一定是在熄灯以后无数小时的苦工。首先得把石头削成想要的形状，然后才是用磨石布不断琢磨打光。看着它们，我内心升起一股暖意，这是任何人看到美丽东西之后都会涌现的感觉。这种美是花了时间和心血打造出来的，是人之所以异于禽兽的原因。我对他的毅力肃然起敬，但直到后来，我才真的了解他是多么坚持不懈。
一九五〇年五月，上面决定要翻修监狱车牌工厂的屋顶。他们打算在天气还不是太热时做完，征求自愿去做这份工作的人，整个工程预计要做一个星期。有七十多个人愿意去，因为可以借机到户外透透气，而且五月正是适合户外工作的宜人季节。上面以抽签方式选了九或十个人，其中两个正好是安迪和我。
接下来那个星期，每天早饭后，警卫两个在前，两个在后，押着我们浩浩荡荡穿过运动场，瞭望塔上所有的警卫都用望远镜远远监视着我们。
于是，他就坐在那儿和麦德聊天，声音大得我们所有人都听得到，宽大的前额已经开始晒得发红。他一只手扶在屋顶四周的矮栏杆上，另一只手按在点三八口径手枪的枪柄上。
我们都听到他的事了。事情是这样的，哈力的大哥在十四年前到德州去，自此音讯全无，全家人都以为他已经死了，真是一大解脱。一星期前，有个律师从奥斯汀打长途电话来，他老兄四个月前过世了，留下了差不多一百万美元的遗产，他是搞石油生意发的财。“真难以置信有些笨瓜有多走运。”这个该死没良心的家伙站在工厂屋顶上说。
不过，哈力并未成为百万富翁——如果真的成了百万富翁，即使是哈力这种人，可能都会感到很快乐，至少会快乐一阵子——他哥哥留给缅因州老家每个还活在世上的家人每人三万五千美元，真不赖，跟中了彩券一样。
但是在哈力眼中，装了水的玻璃杯永远有一半是空的。哈力整个早上都在跟麦德抱怨，该死的政府要抽走他大部分的意外之财，“留下来的钱只够买辆新车，”他悻悻然，“然后怎么样？买了车以后还要付该死的税、付修理费和保养费，该死的孩子们又闹着要你带他们出去兜风——”
但我什么也没做，只是若无其事地继续铺着沥青。我跟其他人一样，懂得如何明哲保身。我不得不如此。东西已经裂开来啦，而在肖申克，永远会有像哈力这类人，极乐意把它打断。
安迪说：“也许我说得不对，你信不信任她不重要，问题在于你是否认为她会在你背后动手脚。”
哈力站起来，麦德站起来，杨勒也站起来。哈力的脸涨得通红。“现在唯一的问题是，你到底还有几根骨头没断，你可以到医务室去好好数一数。来吧，麦德！我们把这家伙丢下去。”
杨勒拔出枪来。我们其他人都疯狂地埋头铺沥青。大太阳底下，他们就要这么干了，哈力和麦德准备一人一边把他丢下去。可怕的意外！编号八一四三三—SHNK的囚犯杜佛尼脚踩空了几步，整个人从梯子上滑了下去。太惨了。
他们两人合力抓住他，麦德在右，哈力在左，安迪没有抵抗，眼睛一直盯住哈力紫胀的脸孔。
“哈力先生，如果她完全在你的掌控之下，”他还是用一贯平静镇定的声音说，“那么没有什么理由你不能全数保有那笔钱。最后的比数是：拜伦·哈力先生三万五千，山姆大叔零。”
麦德开始把他拉下去，哈力却只是站在那儿不动。有一阵子，安迪好像拔河比赛的那条绳子，在他们两人之间拉扯着。然后哈力说：“麦德，停一会儿。你说什么？”
“如果你控制得了你老婆，就可以把钱交给她。”安迪说。
“你最好把话说清楚点，否则是自找苦吃。”
“税捐处准许每个人一生中可以馈赠配偶一次礼物，金额最高可达六万元。”安迪说。
哈力怔怔地望着安迪，好像被斧头砍了一下那样。“不会吧，免税？”他说。
“免税，”安迪说，“税捐处一分钱也动不了。”
“你怎么知道这件事？”
杨勒说：“他以前在银行工作，我想他也许——”
“闭嘴，你这鳟鱼！”哈力说道，看也不看他，杨勒满脸通红，闭上嘴。有些警卫喊他鳟鱼，因为他嘴唇肥厚，眼睛凸出。哈力盯着安迪看，“你就是那个杀掉老婆的聪明银行家，我为何要相信像你这样的聪明银行家？你想要我跟你一样尝到铁窗滋味吗？你想害我，是不是？”
安迪静静地说：“如果你因为逃税而坐牢，你会被关在联邦监狱中，而不是肖申克，不过你不会坐牢。馈赠礼物给配偶是完全合法的法律漏洞，我办过好几十件……不，是几百件这种案子，这条法令主要是为了让小生意人把事业传下去，是为一生中只发一次横财的人，也就是像你这样的人，而开的后门。”
“我认为你在撒谎。”哈力说，但他只是嘴硬，由他脸上的表情可以看出他其实相信安迪的话。哈力丑陋的长脸上开始浮现些微激动，显得十分古怪，在哈力脸上出现这样的表情尤其可憎。他之所以激动，是因为看到了希望。
“不，我没撒谎。当然你也不必相信我，你可以去请律师——”
总之，如果你要我说，我描述的到底是普通人，还是在加油添醋地描绘一个仿佛沙砾中珍珠般的传奇人物，我想答案是介乎两者之间吧。反正我只知道安迪·杜佛尼不像我，也不像我入狱后见过的任何人。他把五百美金塞在肛门里，偷偷夹带了进来，但似乎他同时也夹带了其他东西进来——或许是对自己的价值深信不疑，或坚信自己终会获得最后胜利……或只是一种自由的感觉，即使被关在这堵该死的灰墙之内，他仍然有一种发自内在的光芒。我知道，他只有一次失去了那样的光芒，而那也是这个故事的一部分。
一九五〇年，美国职业棒球世界大赛开打的时候——如果你还记得的话，那年费城人队在冠亚军大赛中连输四场——总之，那些姊妹再也不来骚扰安迪了。史特马和哈力撂下狠话，如果安迪跑去向他们或其他警卫告状，让他们看到他的内裤里再有一滴血，肖申克每个姊妹当晚都得带着头痛上床。他们一点都没反抗。我在前面说过，总是不停会有十八岁的偷车贼、纵火犯或猥亵儿童的人被关进牢里。所以从翻修屋顶那天开始，安迪和那帮姊妹就井水不犯河水了。
那个时候，安迪已经调到图书馆，在一个叫布鲁克的老囚犯手下工作。布鲁克在二十世纪二十年代末期便进图书室工作，因为他受过大学教育，尽管布鲁克在大学念的是畜牧系，不过反正在肖申克这种地方，大学生如凤毛麟角，这跟乞丐没什么可以选择的余地是同一道理。
布鲁克是在柯立芝还在当总统的时候，赌输后失手杀了妻女而被关进来。他在一九五二年获得假释。像往常一样，政府绝不会在他还对社会有一点用处的时候放他出去。当罹患关节炎的布鲁克穿着波兰西装和法国皮鞋，蹒跚步出肖申克大门时，已经六十八岁高龄了。他一手拿着假释文件，一手拿着灰狗长途汽车车票，边走边哭。几十年来，肖申克已经变成他的整个世界，在布鲁克眼中，墙外的世界实在太可怕了，就好像迷信的十五世纪水手面对着大西洋时一样害怕。在狱中，布鲁克是个重要人物，他是图书馆管理员，是受过教育的知识分子。如果他到外面的图书馆求职的话，不要说图书馆不会用他，他很可能连借书证都申请不到。我听说他在一九五三年死于贫苦老人之家，比我估计的还多撑了半年。是呀，政府还蛮会报仇的：他们把他训练得习惯了这个粪坑之后，又把他扔了出去。
安迪接替了布鲁克的工作，他也干了二十三年的图书馆管理员，他用对付哈力的方法，为图书馆争取到他想要的东西。我看着他渐渐把这个原本只陈列《读者文摘》丛书和《国家地理杂志》的小房间（房间一直有种味道，因为直到一九二二年之前，这原本只是个放油漆的地方，从来也没有空调），扩充成新英格兰地区最好的监狱图书馆。
他一步一步慢慢来。他先在门边放了个意见箱，很有耐性地筛选掉纯粹开玩笑的提议，例如“请多买些黄色书刊”或“请订购《逃亡的十堂课》”，然后整理出囚犯似乎认真需要的书籍。接着，他写信给纽约主要的读书俱乐部，请他们以特惠价寄来他们的精选图书，并且得到文学协会和每月一书俱乐部的回应。他也发现肖申克的狱友很渴望得到有关休闲嗜好的资讯，例如，有关肥皂雕刻、木工、各种手工艺和单人牌戏的专业书，还有在各监狱都十分抢手的加德纳和拉摩尔的小说，狱友们好像永远看不厌有关法庭的书。还有，他还在借书柜台下藏了一箱比较辛辣的平装书，尽管他出借时很小心，而且确保每一本书都准时归还，不过这类新书几乎每一本都很快就被翻烂了。
他在一九五四年开始写信给州议会。史特马那时已当上典狱长，他老爱摆出一副安迪只不过是只吉祥物的样子，经常在图书馆里和安迪瞎扯，有时还搂着安迪的肩膀，跟他开玩笑。但是他谁也骗不了，安迪可不是任何人的吉祥物。
他告诉安迪，也许他在外面是个银行家，但那早已成为过去，他最好认清监狱中的现实。在州议会那些自大的共和党议员眼中，政府花在狱政和感化教育的经费只有三个用途：第一是建造更多的围墙，第二是建造更多的铁窗，第三是增加更多的警卫。而且在州议会诸公眼中，被关在汤玛森、肖申克、匹兹费尔和南波特兰监狱的囚犯，都是地球上的人渣，是进来受苦的。假如面包里出现了几条象鼻虫，那还真他妈的不幸啊！
“善意。”我说着大笑起来，“安迪，我很清楚，一个人会在善意的路上慢慢走下地狱。”
他变得更加严肃了，“你难道不觉得，这儿就是地狱吗？肖申克就是地狱。他们贩卖毒品，而我教他们如何处理贩毒赚来的钱，但是我也借机充实图书馆。我知道这儿至少有二十多个人因为利用图书馆的书来充实自己而通过了高中同等学力考试。也许他们出去后，从此可以脱离这些粪堆。一九五七年，当我们需要第二间图书室时，我办到了，因为他们需要讨好我，我是个廉价劳动力，这是我们之间的交易。”
“而且你也拥有私人牢房。”
“当然，我喜欢那样。”
二十世纪五十年代，监狱人口慢慢增长，到了六十年代已有人口爆炸之虞，因为当时美国大学生想尝试吸大麻的人比比皆是，而美国的法律又罚得特别严。但安迪始终没有室友，除了一度有一个高大沉默、名叫诺曼登的印第安人曾经短暂和他同房（跟所有进来这里的印第安人一样，他被称为酋长），但诺曼登没有住多久。不少长期犯认为安迪是个疯子，但安迪只是微笑。他一个人住，他也喜欢那样……正如他说，他们希望讨他欢喜，因为他是个廉价劳动力。
对坐牢的人而言，时间是缓慢的，有时你甚至认为时间停摆了，但时间还是一点一滴地渐渐流逝。邓纳海在报纸头条的丑闻声浪中离开了肖申克。史特马接替他的位子，此后六年，肖申克真是人间地狱。史特马在位时，肖申克医务室的床位和禁闭室的牢房永远人满为患。
一九五八年某一天，当我在牢房中照着刮胡子用的小镜子时，镜中有个四十岁的中年人与我对望。一九三八年进来的那个男孩，那个有着一头浓密红发、懊悔得快疯了、一心想自杀的年轻人不见了。红发逐渐转灰，而且开始脱落，眼角出现了鱼尾纹。某天，我会看到一个老人的脸孔在镜中出现，这使我惶恐万分，没有人愿意在监狱中老去。
一九五九年初，史特马也离开了。当时不少记者混进来调查，其中一个甚至以假名及虚构的罪状在肖申克待了四个月，准备再度揭发监狱里的重重黑幕，但他们还未来得及挥棒打击时，史特马已逃之夭夭。我很明白他为什么要逃跑，真的，因为如果他受审判刑，就会被关进肖申克服刑。真是那样的话，他在这里活不过五小时。哈力早在两年前就离开了，那个吸血鬼因心脏病发而提前退休。
安迪从来不曾受到史特马事件的牵连。一九五九年初，来了一个新的典狱长、新的副典狱长和新的警卫队长。接下来八个月，安迪回复了普通囚犯的身份。也是在那段时期，诺曼登成了他的室友，然后一切又照旧。诺曼登搬出去后，安迪又再度享受到独居的优惠。上面的人尽管换来换去，但非法勾当从未停息。
有一次我和诺曼登谈到安迪。“好人一个，”诺曼登说。很难听懂他的话，因为他有兔唇和腭裂，说话时稀里呼噜的。“他是好人，从不乱开玩笑。我喜欢跟他住，但他不喜欢我跟他住，我看得出来。”他耸耸肩，“我很高兴离开那儿。那牢房空气太坏了，而且很冷。他不让任何人随便碰他的东西，那也没关系。他人很好，从不乱开玩笑，但是空气太坏了。”
于是，从伐木、挖水沟到铺设地下电缆管道，都可以看见诺顿在里面捞油水，中饱私囊。无论是人员、物料，还是任何你想得到的项目，都有上百种方法可以从中揩油。但是诺顿还另辟蹊径。由于监狱囚犯是廉价奴工，你根本没有办法和他们竞争，所以建筑业全都怕极了诺顿的外役监计划。因此，手持《圣经》、戴着三十年纪念襟章的虔诚教徒诺顿，在十六年的肖申克典狱长任内从桌底下收过不少厚厚的信封。当他收到信封后，他会出过高的价钱来投标工程，或根本不投标工程，或是宣称他的“外役监”计划已经和别人签约了。我只是觉得纳闷，为什么从来不曾有人在麻省某条公路上，发现诺顿的尸体塞在被弃置的雷鸟车后车厢中，双手缚在背后，脑袋瓜中了六颗子弹。
总之，正如酒吧中播放的老歌歌词：我的天，钱就这么滚滚而来！诺顿一定非常同意清教徒的传统观念，只要检查每个人的银行账户，就知道谁是上帝最眷顾的子民。
这段期间，安迪是诺顿的左右手和沉默的合伙人，而监狱图书馆就成了押在诺顿手中的人质。诺顿心知肚明，而且也充分利用这点。安迪说，诺顿最喜欢的格言就是，用一只手洗净另外一只手的罪孽。于是，安迪提供诺顿各种有用的建议。我不敢说他亲手打造诺顿的“外役监”计划，但是我很确定他为那龟儿子处理各种钱财，提供有用的建议。钱越滚越多，而……好家伙！图书馆也添购了新的汽车修理手册、百科全书，以及准备升学考试的参考书，当然还有更多加德纳和拉摩尔的小说。
我相信这件事之所以会发生，一则是诺顿不想失去左右手，二则是他怕安迪如果真的出狱的话，会说一些不利于他的话。
我的消息是在七年中这边弄一点、那边弄一点所拼凑出来的，有些是从安迪口中得知，但不是全部。他从来不想多谈这些事，我不怪他，有些事情我是从六七个不同的消息来源那儿打探来的。我曾说过囚犯只不过是奴隶罢了，他们也像奴隶一样，表面装出一副笨样子，实际上却竖起耳朵。我把故事说得忽前忽后，不过我会从头到尾把故事完整地说给你听，然后你也许就明白，为什么安迪会陷入沮丧绝望的恍惚状态长达十个月之久。我认为，他直到一九六三年，也就是进来这个甜蜜的地狱牢房十五年后，才清楚谋杀案的真相。在他认识汤米·威廉斯之前，我猜他并不晓得情况会变得那么糟糕。
汤米在一九六二年十一月加入我们这个快乐的小家庭。汤米自认是麻省人，但他并不以此为荣。在他二十七年的生命中，他坐遍了新英格兰地区的监狱。他是个职业小偷，我却认为他该拣别的行业干，或许你也会这样想。
“你说那个高尔夫球教练叫什么名字？”
“昆丁，”查理回答，一脸困惑沮丧的样子。他事后说，汤米的脸色好像战败投降时竖起的白旗一样。“好像是格林·昆丁——之类的。”
“嘿！嘿！注意！”霍姆的脖子胀得好像鸡冠一样红，“被单放回冷水里，动作快一点，老天爷，你——”
“格林·昆丁，天哪！”汤米说，他也只能说出这几个字，因为霍姆用警棍在他后脑勺上狠狠敲了一记，汤米倒在地上，撞掉了三颗门牙。当他醒来时，人已在禁闭室中。他被单独监禁了一星期，只准喝水、吃面包，还被记上一笔。
那是一九六三年二月的事，放出禁闭室以后，汤米又去问了六七个老犯人，听到的故事都差不多。我也是被问的人之一，但是当我问他为何关心这事时，他只是不搭腔。
有一天，他去图书馆对安迪说了一大堆。自从安迪走过来问我买丽塔·海华丝的海报以后，这是安迪第一次，也是最后一次失去了镇定……只不过这次他完全失控。
那天我后来看见他的时候，他仿佛被重重打了一耙，正中眉心一样。他两手发抖，当我跟他说话时，他没搭腔。那天傍晚，他跑去找警卫队长比利·汉龙，约好第二天求见典狱长诺顿。事后他告诉我，他那晚整夜没有合眼，听着隆冬的冷风在外面怒号，看着探照灯的光芒在周围扫射，在牢笼的水泥墙上划出一道道移动的长影，从杜鲁门主政时期开始，这个牢笼就成了他的家。他脑中拼命思考着整件事情。他说，就好像汤米手上有把钥匙，正好开启了他内心深处的牢笼，他自我禁锢的牢笼。那个牢笼里关的不是人，而是一只老虎，那只老虎的名字叫“希望”。汤米给的这把钥匙正好可以打开牢笼，放出希望的老虎，在他脑中咆哮着。
四年前，汤米在罗德岛被捕，那时他正开着一辆偷来的车，里面放满赃物。汤米招出同党，换取减刑，因此只需服二到四年徒刑。在他入狱将近一年时，他的室友出狱了，换成另一个囚犯和他同住，名叫艾乌·布拉契。布拉契是因为持械闯入民宅偷窃，而被判六至十二年徒刑。
“我从来没有看过这么神经过敏的人，”汤米告诉我，“这样的人根本不该干小偷的，至少不应该带枪行窃。只要周遭有一点点声音，他很可能就会跳到半空中，拔枪就射。有一天晚上，只不过因为有人在另一个牢房中，拿着铁杯子刮他们牢房的铁栅，他就差点勒死我。”
“在重获自由之前，我跟他同住了七个月。我不能说我们谈过话，因为你知道，你不可能真的和布拉契交谈，每次我们谈话，总是他滔滔说个没完，我只有听的份儿。他从不停嘴，如果你想打个岔，他会两眼一翻，对你挥舞着拳头。每次他这样便让我背脊发凉。他身材高大，几乎秃顶，一对绿眼珠嵌在深陷的眼眶中。老天，我希望这一生不要再看到他。”
“他每晚都说个不停：他在哪里长大的、他如何从孤儿院逃走、他干过什么事，还有他搞过的女人、他赢过的扑克牌；我只有不动声色地听他说。我的脸虽然不怎么样，不过我并不想整形。”
“照他所说，他至少抢过两百个地方，真是令人难以置信，连有人放个响屁，都会使他像鞭炮般惊跳起来，但他发誓是真的。……听着，雷德，我知道有的人听说了一些事以后会编造故事，但是在我听说这个叫昆丁的高尔夫球教练之前，我记得我就曾经想过，假如有一天布拉契潜入我家偷东西的话，我若事后才发现，就算是万幸了。我真不敢想象，当他潜入一个女人的房间翻珠宝盒时，她若在睡梦中咳嗽一声或翻个身，会有什么后果？单单想到这件事，都令人不寒而栗。”
“他说他杀过人，杀过那些惹毛他的人，至少这是他说的，而我相信他的话，他看起来确实像会杀人。他实在太他妈的神经过敏、太紧张了，就像一把锯掉了撞针的枪，随时会发射出去。我认识一个家伙，他有一把锯掉撞针的警用手枪。这样做没什么好处，纯粹是无聊而已，因为手枪的扳机变得十分灵敏，只要他把音响开到最大声，把枪放在喇叭箱上，很可能就会自动发射。布拉契就是这样一个人。我无法说得更清楚了，总之我相信他轰过些什么人。”
“所以一天晚上，我心血来潮，问他杀过谁？我只当听笑话罢了，你知道。他大笑说道：‘有个家伙正因为我杀了两个人而在缅因州服刑。我杀的是这个笨蛋的太太和另一个家伙，我偷偷潜入他的房子，那家伙跟我过不去。’我不记得他是否曾告诉我那女人的名字，”汤米接着说，“也许他说过，但在新英格兰，杜佛尼这个姓就像其他地方的史密斯和琼斯一样普通。但是，他确实把他杀掉的那个家伙的名字告诉我了，他说那家伙叫格林·昆丁，是个讨厌鬼，有钱的讨厌鬼，职业高尔夫球选手。他说他觉得那家伙应该在屋子里放了不少现金，可能有五千美金，在当时，那可是一大笔钱。所以我问：‘事情是什么时候发生的？’他说：‘在战后，战争刚结束没多久。’”
“所以，他闯进他们屋里，两个人被他吵醒，昆丁还给了他一些麻烦，他是这么说的。我则认为，说不定那家伙只不过开始打鼾。他还告诉我，昆丁和一个名律师的老婆鬼混，结果法院把那个律师送进了肖申克监狱。他说完后大笑不已。老天，当我终于可以出狱、离开那个牢房时，真是觉得谢天谢地。”
我想你不难看出当安迪听完汤米的故事后，为何有一点魂不守舍了，以及他为何要立刻求见典狱长。布拉契被判六至十二年徒刑，而汤米认识他已是四年前的事。当安迪在一九六三年听见这事时，布拉契也许已经快出狱了……甚至已经出狱。安迪担心的是，一方面布拉契有可能还在坐牢，另一方面，他也可能随风而逝，不见踪影。
他听到典狱长的门打开后又关上，然后听到典狱长说：“早安，杜佛尼，有什么事吗？”
“典狱长，”安迪说，老柴士特后来告诉我们，他几乎听不出是安迪的声音，因为变得太多了。“典狱长……有件事发生了……我……那真的是……我不知道该从哪儿说起。”
“那你何不从头说起呢？”典狱长说，大概用他“我们打开《圣经》第二十三诗篇一起读吧”的声音：“这样会容易多了。”
于是安迪开始从头说起。他先说明自己入狱的前因后果，然后再把汤米的话重复一遍。他也说出了汤米的名字，不过从后来事情的发展看来，这是不智之举，但当时他又别无他法，如果没有人证，别人怎么可能相信你说的呢？
他说完后，诺顿不发一语。我可以想象他的表情：整个人靠在椅背上，头快撞到墙上挂着的州长李德的照片，两手合十，指尖抵着下巴，嘴唇撅着，从眉毛以上直到额顶全是皱纹，那个三十年纪念襟章闪闪发亮。
“嗯，”他最后说，“这是我听过的最该死的故事。但告诉你最令我吃惊的是什么吧，杜佛尼。”
“先生，是什么？”
“那就是你居然会相信这个故事。”
“先生，我不懂你是什么意思？”柴士特告诉我们，十三年前那个在屋顶上毫无惧色地对抗哈力的安迪·杜佛尼，此时竟然语无伦次起来。
诺顿说：“依我看来，很明显那个年轻的汤米对你印象太好了，他听过你的故事，很自然的就很想……为了鼓舞你的心情，比方说，这是很自然的。他太年轻了，也不算聪明，他根本不知道这么说了会对你产生什么影响。我现在建议你——”
“你以为我没有这样怀疑过吗？”安迪问，“但是我从来没有告诉汤米那个码头工人的事情。我从来不曾告诉任何人这件事，甚至从来不曾想过这件事！但是汤米对牢友的描述和那个工人……他们根本就是一模一样！”
“我看你也是受到选择性认知的影响。”诺顿说完后干笑两声。“选择性认知”，这是专搞狱政感化的人最爱用的名词。
“先生，完全不是这样。”
“那是你的偏见，”诺顿说，“但是我的看法就不同。别忘了，我只听到你的片面之词，说有这么一个人在乡村俱乐部工作。”
“不，先生，”安迪急道，“不是这样的，因为——”
“总之，”诺顿故意提高声调压过他，“让我们从另一个角度来看这件事好吗？假定——只是假定——假定真有这么一个叫布劳契的家伙。”
“布拉契。”安迪连忙道。
“好吧，布拉契，就说他是汤米在罗德岛监狱的牢友。非常可能他已经出狱了，很好。我们甚至不知道他和汤米关在一起时，已经坐了多久的牢？只知道他应该坐上六至十二年。”
“不，我们不知道他关了多久，但汤米说他一向表现很差，我想他很有可能还在狱中。即使他被放出来，监狱一定会留下他的地址、他亲人的名字——”
“从这两个资料几乎都不可能查得出任何结果。”
安迪沉默了一会儿，然后脱口而出：“但这总是个机会吧？不是吗？”
“是的，当然。所以，让我们假设真有这么一个布拉契存在，而且仍然关在罗德岛监狱里。如果我们拿这件事去问他，他会有什么反应？他难道会马上跪下来，两眼往上一翻说：‘是我干的！我干的！判我无期徒刑吧！’”
“你怎么这么迟钝？”安迪说。他的声音很低，老柴士特几乎听不清，不过他清清楚楚听到典狱长的话。
“什么？你说我什么？”
“迟钝！”安迪嚷着，“是故意的吗？”
“杜佛尼，你已经浪费我五分钟的时间了，不，七分钟，我今天忙得很，我看我们的谈话就到此为止吧——”
“高尔夫球俱乐部也会有旧出勤纪录，你没想到吗？”安迪喊道，“他们一定还保留了报税单、失业救济金申请表等各种档案，上面都会有他的名字。这件事才发生了不过十五年，他们一定还记得他！他们会记得布拉契的。汤米可以作证布拉契说过这些话，而乡村俱乐部的经理也可以出面作证布拉契确实在那儿工作过。我可以要求重新开庭！我可以——”
“警卫！警卫！把这个人拉出去！”
“你到底是怎么回事呀？”安迪说。老柴士特告诉我，安迪那时几乎在尖叫了。“这是我的人生、我出去的机会，你看不出来吗？你不会打个长途电话过去查问，至少查证一下汤米的说法吗？我会付电话费的，我会——”
这时响起一阵杂沓的脚步声，守卫进来把他拖出去。
“单独关禁闭，”诺顿说，大概一边说一边摸着他的三十年纪念襟章，“只给水和面包。”
于是他们把完全失控的安迪拖出去，他一路喊着：“这是我的人生、我的人生，你不懂吗？我的人生——”
安迪在禁闭室关了二十天，这是他第二次关禁闭，也是他加入这个快乐家庭以来，第一次被诺顿在记录簿上狠狠记上一笔。
当我们谈到这件事时，我得告诉你一些有关禁闭室的事。我们缅因州的禁闭室是十八世纪拓荒时代的产物。在那时候，没有人会浪费时间在“狱政学”或“改过自新”和“选择性认知”这些名词上，那是个非黑即白的年代，你不是无辜，就是有罪。如果有罪，不是绞刑，便是下狱。如果被判下狱，可没有什么监狱给你住，缅因州政府会给你一把锄头，让你从日出挖到日落，给自己掘个坑，然后给你几张兽皮和一个水桶，要你躺进自己掘的洞里。下去后，狱卒便把洞口用铁栅给盖上，再扔进一些谷物，或者一个星期给你一两块肉，周日晚上说不定还会有一点大麦粥吃吃。你小便在桶里，狱卒每天早上六点的时候会来倒水，你也拿同一个桶子去接水。天下雨时，你还可以拿这个桶把雨水舀出洞外……除非你想像老鼠一样溺死在洞里。
没有人会在这种洞中住太久，三十个月已经算很厉害了。据我所知，在这种坑中待得最久、还能活着出来的是一个十四岁的精神病患者，他用一块生锈的金属片把同学的命根子给剁了。他在洞内待了七年，不过当然是因为他还年轻力壮。
你得记住，当年只要比偷东西、亵渎或在安息日出门时忘了带手帕擤鼻涕等过错还严重些的罪名，都可能被判绞刑。至于上述这些过错和其他轻罪的处罚，就是在那种地洞中关上三至六个月或者九个月。等你出来时，你会全身像鱼肚一样白，眼睛半瞎，牙齿动摇，脚上长满真菌。
肖申克的禁闭室倒没有那么糟……我猜。人类的感受大致可分为三种程度：好、坏和可怕。当你朝着可怕的方向步入越来越黑暗的地方时，再进一步分类会越来越难。
关禁闭的时候，你得走下二十三级楼梯才会到禁闭室。那儿唯一的声音是滴答的水声，唯一的灯光是来自一些摇摇欲坠的六十瓦灯泡发出的微光。地窖成桶状，就好像有钱人有时候藏在画像后面的保险柜一样，圆形的出入口也像保险柜一样，是可以开关的实心门，而不是栅栏。禁闭室的通风口在上面，但没有任何光亮会从上面透进来，只靠一个小灯泡照明。每天晚上八点钟，监狱的主控室就会准时关掉禁闭室的灯，比其他牢房早一个小时。如果你喜欢所有时间都生活在黑暗中，他们也可以这样安排，但没有多少人会这么做……不过八点钟过后，你就没有选择的余地了。墙边有张床，还有个尿罐，但没有马桶座。打发时间的方法只有三种：坐着、拉屎或睡觉，真是伟大的选择！在那里度过二十天，就好像过了一年一样。三十天仿佛两年，四十天则像十年一样。有时你会听到老鼠在通风系统中活动的声音，在这种情况下，连害怕都不知为何物了。
要说待在禁闭室有什么好处的话，那就是你有很多时间思考。安迪在享受面包与水的二十天里，好好思考了一番。当他出来后，他再度求见典狱长，但遭到拒绝，典狱长说类似的会晤会产生“反效果”，如果你想从事狱政或惩治工作的话，这是另一个你得先精通的术语。
安迪很有耐心地再度求见典狱长，接着再度提出请求。他变了。一九六三年，当春回大地的时候，安迪脸上出现了皱纹，头上长出灰发，嘴角惯有的微笑也不见了。目光茫然一片。当一个人开始像这样发呆时，你知道他正在数着他已经度过了多少年、多少月、多少星期，甚至多少天的牢狱之灾。
他很有耐性，不断提出请求。他除了时间之外一无所有。夏天到了，肯尼迪总统在华盛顿首府承诺将大力扫除贫穷和消除不平等，浑然不知自己只剩下半年的寿命了。在英国利物浦，一个名叫“披头士”的合唱团正冒出头来，但在美国，还没有人知道披头士是何方神圣。还有波士顿红袜队这时仍然在美国联盟垫底，还要再过四年，才到了新英格兰人所说的“一九六七奇迹年”。所有这些事情都发生在外面那个广大的自由世界里。
诺顿终于在六月底接见安迪，七年以后，我才亲自从安迪口中得知那次谈话的内容。
“如果是为了钱的事，你不用担心，”安迪压低了声音对诺顿说，“你以为我会说出去吗？我这样是自寻死路，我也一样会被控——”
“够了，”诺顿打断道。他的脸拉得老长，冷得像墓碑，他拼命往椅背上靠，后脑勺几乎碰到墙上那幅写着“主的审判就要来临”的刺绣。
“但——”
“永远不要在我面前提到‘钱’这个字，”诺顿说，“不管在这个办公室或任何地方都一样，除非你想让图书馆变回储藏室，你懂吗？”
“我只是想让你安心而已。”
“呐，我要是需要一个成天哭丧着脸的龟儿子来安我的心，那我不如退休算了。我同意和你见面，是因为我已经厌倦了和你继续纠缠下去，杜佛尼，你要适可而止。如果你想要买下布鲁克林桥，那是你的事，别扯到我头上，如果我容许每个人来跟我说这些疯话，那么这里每个人都会来找我诉苦。我一向很尊重你，但这件事就到此为止了，你懂吗？”
“我知道，”安迪说，“但我会请个律师。”
“做什么？”
“我想我们可以把整件事情拼凑起来。有了汤米和我的证词，再加上法庭纪录和乡村俱乐部员工的证词，我想我们可以拼凑出当时的真实情况。”
“汤米已经不在这里服刑了。”
“什么？”
“他转到别的监狱去了。”
“转走了，转到哪里？”
“凯西门监狱。”
安迪陷入沉默。他是个聪明人，但如果你还嗅不出当中的各种交易条件的话，就真的太笨了。凯西门位于北边的阿鲁斯托库县，是个比较开放的监狱。那里的犯人平常需要挖马铃薯，虽然工作辛苦，不过却可以得到合理的报酬，而且如果他们愿意的话，还可以到学校参加各种技能训练。更重要的是，对像汤米这种有太太小孩的人，凯西门有一套休假制度，可以让他在周末时过着正常人的生活，换言之，他可以和太太亲热，和小孩一起建造模型飞机，或者全家出外野餐。
诺顿一定是把这一切好处全摊在汤米面前，他对汤米的唯一要求是，从此不许再提布拉契三个字，否则就把他送到可怕的汤姆森监狱，不但无法和老婆亲热，反而得侍候一些老同性恋。
“为什么？”安迪问，“你为什么——”
“我已经帮了你一个忙，”诺顿平静地说，“我查过罗德岛监狱，他们确实曾经有个叫布拉契的犯人，但由于所谓的‘暂时性假释计划’，他已经假释出狱了，从此不见踪影。这些自由派的疯狂计划简直放任罪犯在街头闲晃。”
安迪说：“那儿的典狱长……是你的朋友吗？”
诺顿冷冷一笑，“我认得他。”他说。
“为什么？”安迪又重复一遍，“你为什么要这么做？你知道我不会乱说话……不会说出你的事情，你明明知道，为什么还要这么做？”
“因为像你这种人让我觉得很恶心，”诺顿不慌不忙地说，“我喜欢你现在的状况，杜佛尼先生，而且只要我在肖申克当典狱长一天，你就得继续待在这里。从前你老是以为你比别人优秀，我很擅于从别人脸上看出这样的神情，从第一天走进图书馆的时候，我就注意到你脸上的优越感。现在，这种表情不见了，我觉得这样很好。你别老以为自己很有用，像你这种人需要学会谦虚一点。以前你在运动场上散步时，好像老把那里当成自家客厅，神气得像在参加鸡尾酒会，你在跟别人的先生或太太寒暄似的，但你现在不再带着那种神情走在路上了。我会继续注意你，看看你会不会又出现那种样子。未来几年，我会很乐意继续观察你的表现。现在给我滚出去！”
“好，但我们之间的所有活动到此为止，诺顿。所有的投资咨询、免税指导都到此为止，你去找其他囚犯教你怎么申报所得税吧！”
诺顿的脸先是变得如砖块一般红……然后颜色全部退去。“你现在回到禁闭室，再关个三十天，只准吃面包和水，你的纪录上再记一笔。进去后好好想一想，如果你胆敢停掉这一切的话，图书馆也要关门大吉，我一定会想办法让图书馆恢复到你进来前的样子，而且我会让你的日子非常……非常难过。你休想再继续一个人住在第五区的希尔顿饭店单人房，你休想继续保存窗台上的石头，警卫也不再保护你不受那些男同性恋的侵犯，你会失去一切，听懂了吗？”
我想他把话说得很清楚了。
时间继续一天天过去——这是大自然最古老的手段，或许也是唯一的魔法，安迪变了，他变得更冷酷了，这是我唯一能想到的形容词。他继续掩护诺顿做脏事，也继续管理图书馆，所以从外表看来，一切如常。每年生日和年关岁暮时，他照样会喝上一杯，也继续把剩下的半瓶酒和我分享。我不时为他找来新的磨石布，一九六七年时，我替他弄来一把新锤子，十九年前那把已经坏掉了。十九年了！当你突然说出那几个字时，三个音节仿佛坟墓上响起的重重关门声。当年十元的锤子，到了一九六七年，已经是二十二元了。当我把锤子递给他时，他和我都不禁惨然一笑。
他继续打磨从运动场上找到的石头，但运动场变小了，因为其中一半的地在一九六二年铺上了柏油。不过，看来他还是找了不少石头来让自己忙着。每当他琢磨好一块石头后，他会把它放在朝东的窗台上，他告诉我，他喜欢看着从泥土中找到的一块块片岩、石英、花岗岩、云母等，在阳光下闪闪发光，安迪给这些石头起名叫“千年三明治”，因为岩层是经过几十年、几百年，甚至数千年才堆积而成的。
隔三差五，安迪会把石雕作品送人，好腾出地方来容纳新琢磨好的石头。他最常送我石头，包括那双袖扣一样的石头，我就有五个，其中有一块好像一个人在掷标枪的云母石，是很小心雕刻出来的。我到现在还保存着这些石头，不时拿出来把玩一番。每当我看见这些石头时，总会想到如果一个人懂得利用时间的话（即使每一次只有一点点时间），一点一滴累积起来，能做出多少事情。
所以，表面上一切如常。如果诺顿是存心击垮安迪的话，他必须穿透表面，才能看到个中的变化。但是我想在诺顿和安迪冲突之后的四年中，如果他能看得出安迪的改变，应该会感到很满意，因为安迪变化太大了。
他曾经说，安迪在运动场上散步时，就好像参加鸡尾酒会一样。我不会这么形容，但我知道他是什么意思。我以前也说过，自由的感觉仿佛一件隐形外衣披在安迪身上，他从来不曾培养起一种坐牢的心理状态，他的眼光从来不显呆滞，他也从未像其他犯人一样，在一日将尽时，垮着肩膀，拖着沉重的脚步，回到牢房去面对另一个无尽的夜。他总是抬头挺胸，脚步轻快，好像走在回家的路上一样——家里有香喷喷的晚饭和好女人在等着他，而不是只有食之无味的蔬菜、马铃薯泥和一两块肥肉，以及墙上的拉蔻儿·薇芝的海报。
但在这四年中，虽然他并没有完全变得像其他人一样，但的确变得沉默、内省，经常若有所思。又怎能怪他呢？不过总算称了诺顿的心……至少有一阵子如此。
他的沉郁到了一九六七年职业棒球世界大赛时改变了。那是梦幻的一年，波士顿红袜队不再排第九名敬陪末座，而是正如拉斯维加斯赌盘所预测，赢得美国联盟冠军宝座。在他们赢得胜利的一刹那，整个监狱为之沸腾。大家似乎有个傻念头，觉得如果连红袜队都能起死回生，或许其他人也可以。我现在没办法把那种感觉解释清楚，就好像披头士迷也无法解释他们的疯狂一样。但这是很真实的感觉。当红袜队一步步迈向世界大赛总冠军宝座时，监狱里每个收音机都在收听转播。当红袜队在圣路易的冠军争夺战中连输两场的时候，监狱里一片愁云惨雾；当皮特洛切里演出再见接杀时，所有人欢欣雀跃，简直快把屋顶掀掉了；但最后在世界大赛最关键的第七战，当伦伯格吃下败投、红袜队功亏一篑、冠军梦碎时，大家的心情都跌到谷底。唯有诺顿可能在一旁幸灾乐祸，那个龟儿子，他喜欢监狱里的人整天灰头土脸。
但是安迪的心情没有跌到谷底，也许因为他原本就不是棒球迷。虽然如此，他似乎感染了这种振奋的气氛，而且这种感觉在红袜队输掉最后一场球赛后，仍然没有消失。他重新从衣柜中拿出自由的隐形外衣，披在身上。
我记得在十月底一个高爽明亮的秋日，是棒球赛结束后两周，一定是个星期日，因为运动场上挤满了人，不少人在丢飞盘、踢足球、私下交易，还有一些人在狱卒的监视下，在会客室里和亲友见面、抽烟、说些诚恳的谎话、收下已被狱方检查过的包裹。
安迪靠墙蹲着，手上把玩着两块石头，他的脸朝着阳光。在这种季节，这天的阳光算是出奇的暖和。
“哈啰，雷德，”他喊道，“过来聊聊。”
我过去了。
“你要这个吗？”他问道，递给我一块磨亮的“千年三明治”。
“当然好，”我说，“真美，多谢。”
他耸耸肩，改变话题，“明年是你的大日子了。”
我点点头，明年是我入狱三十周年纪念日，我一生中百分之六十的光阴都在肖申克州立监狱中度过。
“你想你出得去吗？”
“当然，到时我应该胡子已经花白，嘴里只剩三颗摇摇欲坠的牙齿了。”
他微微一笑，把脸又转向阳光，闭上眼，“感觉真舒服。”
“我想只要你知道该死的冬天马上来到，一定会有这种感觉。”
他点点头。我们都沉默下来。
“等我出去后，”安迪最后说，“我一定要去一个一年到头都有阳光的地方。”他说话时那种泰然自若的神情，仿佛他还有一个月便要出去似的。“你知道我会上哪儿吗，雷德？”
“不知道。”
“齐华坦尼荷，”他说，轻轻吐出这几个字，像是唱歌似的，“在墨西哥，距墨西哥三十七号公路和仆拉雅阿苏约二十英里，距太平洋边的阿卡波哥约一百英里的小镇，你知道墨西哥人怎么形容太平洋吗？”
我说我不知道。
“他们说太平洋是没有记忆的，所以我要到那儿去度我的余生。雷德，在一个没有记忆、温暖的地方。”
他一面说，一面捡起一把小石头，然后再一个个扔出去，看着石头滚过棒球场的内野地带。不久以后，这里就会覆上一英尺白雪。
“齐华坦尼荷。我要在那里经营一家小旅馆。在海滩上盖六间小屋，另外六间靠近公路。我会找个人驾船带客人出海钓鱼，钓到最大一条马林鱼的人还可以获得奖杯，我会把他的照片放在大厅中，这不会是给全家老少住的那种旅馆，而是专给来度蜜月的人住的……。”
“你打哪来的钱去买这么一个像仙境的地方？”我问道，“你的股票吗？”
他看着我微笑道，“差不多耶，”他说，“雷德，你有时真令我吃惊。”
“你在说什么呀？”
“陷入困境时，人的反应其实只有两种，”安迪说，他圈起手，划了一根火柴，点燃香烟。“假设有间屋子里满是稀有的名画古董，雷德？再假设屋主听说有飓风要来？他可能会有两种反应：第一种人总是怀抱最乐观的期望，认为飓风或许会转向，老天爷不会让该死的飓风摧毁了伦勃朗、德加的名画；万一飓风真的来了，反正这些东西也都保过险了。另一种人认定飓风一定会来，他的屋子绝对会遭殃。即使气象局说飓风转向了，这个家伙仍然假定飓风会回过头来摧毁他的房子。因此他做了最坏的打算，因为他知道只要为最坏的结果预先做好准备，就可以始终抱着乐观的期望。”
我也点燃了根烟。“你是说你已经为未来做好准备了吗？”
“是的，我是预备飓风会来的那种人，我知道后果会有多糟，当时我没有多少时间，但在有限的时间里，我采取了行动。我有个朋友——差不多是唯一支持我的人——他在波特兰一家投资公司做事，六年前过世了。”
“我为你感到难过。”
“嗯，”安迪说，把烟蒂丢掉，“琳达和我有大约一万四千元的积蓄，数目不大，但那时我们都还年轻，大好前程摆在我们面前。”他做了个鬼脸，然后大笑，“起风时，我开始把伦勃朗的名画移到没有飓风的地方。所以我卖掉股票，像一般好公民一样乖乖付税，丝毫不敢有所隐瞒或抄捷径。”
“他们没有冻结你的财产吗？”
“我是被控谋杀，雷德，我不是死掉！感谢上苍，他们不能随意冻结无辜者的财产，而且当时他们也还没有以谋杀的罪名指控我。我的朋友吉米和我当时还有一点时间，我的损失还不小，匆匆忙忙地卖掉了所有的股票什么的。不过当时我需要担心的问题，比在股市小小失血要严重多了。”
“是呀，我猜也是。”
“我来到肖申克时，这笔钱很安全，现在也仍然很安全。雷德，在外面的世界里有一个人，从来没有人亲眼见过他，但是他有一张社会保险卡和缅因州的驾照，还有出生证明。他叫彼得·斯蒂芬，这个匿名还不错吧？”
“这个人是谁？”我问。我想我知道他要说什么，但我觉得难以置信。
“我。”
“你要跟我说在这些人对付你的时候，你还有时间弄一个假身份？”我说，“还是在你受审的时候，一切已经都弄妥了——”
“我不会这样跟你说，是我的朋友吉米帮我弄的，他是在我上诉被驳回以后开始办的，直到一九五〇年春天，他都还保管着这些身份证件。”
“你们的交情一定很深，因为这样做绝对犯法。”我说，我不敢确定他的话有多少可信——大部分是真的，只有一点点可以相信，还是全部都不能相信。但那天太阳露脸了，是个暖和的好天气，而这又是个好故事。
“他和我是很好的朋友，”安迪说，“我们打仗时就在一起，去过法国、德国，他是个好朋友。他知道这样做是不合法的，但他也知道在美国要假造身份很容易，而且也很安全。他把我所有的钱都投资在彼得·斯蒂芬名下——所有该付的税都付了，因此国税局不会来找麻烦。他把这笔钱拿去投资时，是一九五〇年和一九五一年，到今天，这笔钱已经超过三十七万元了。”
我猜我讶异得下巴落到胸口时，一定发出了“砰”的一声，因为他笑了。
“想想看，很多人常常惋惜，假如他们在一九五〇年就懂得投资这个那个就好了，而彼得·斯蒂芬正是把钱投资在其中的两三个项目。如果我不是被关在这里，我早就有七八百万的身价了，可以开着劳斯莱斯汽车……说不定还有严重的胃溃疡。”
他又抓起一把尘土，优雅地让小砂子在指尖慢慢流过。
“怀抱着最好的希望，但预做最坏的打算——如此而已。捏造假名只是为了保存老本，只不过是在飓风来临之前，先把古董字画搬走罢了。但是我从来不曾料想到，这飓风……竟然会吹这么久。”
我有好一阵子没说话。我在想，蹲在我身旁这个穿灰色囚衣的瘦小男子，他所拥有的财富恐怕是诺顿一辈子都赚不到的，即使加上他贪污来的钱，都还是望尘莫及。
“当你说你可以请个律师时，你确实不是在开玩笑，”我最后说，“有这么多钱在手上，你连丹诺[7] 这种等级的名律师都请得起。你为什么不请律师为你申冤呢？你很快就可以出狱呀？”
他微笑着，以前当他告诉我，他和老婆有美好的前程摆在面前时，脸上也带着那种微笑。“不行。”他说。
“如果你有个好律师，就可以把汤米这小子从凯西门弄出来，不管他愿不愿意。”我说，开始得意忘形起来。“你可以要求重新开庭，雇私家侦探去找布拉契，把诺顿扳倒，为什么不这么做呢？”
“因为我被自己的计谋困住了，如果我企图从狱中动用彼得·斯蒂芬的钱，很可能所有的钱都保不住。原本吉米可以帮我的忙，但是他死了，你看出问题出在哪里了吗？”
我懂了。尽管这笔钱能带来很大的好处，但安迪所有的钱都是属于另一个人的。如果他所投资的领域景气突然变差，安迪也只能眼睁睁看着它下跌，每天盯着报上的股票和债券版，我觉得这真是一种折磨人的生活。
“我告诉你到底是怎么一回事好了，雷德。巴克斯登镇有一片很大的牧草地。你知道巴克斯登在哪里吧？”
我说我知道，就在斯卡伯勒附近。
“没错。牧草地北边有一面石墙，就像弗罗斯特的诗里所描写的石墙一样。石墙底部有一块石头，那块石头和缅因州的牧草地一点关系也没有，那是一块火山岩玻璃，在一九四七年前，那块玻璃一直都放在我办公桌上当镇纸。我的朋友吉米把它放在石墙下，下面藏了一把钥匙，那把钥匙能开启卡斯柯银行波特兰分行的一个保险柜。”
“我想你麻烦大了，当你的朋友吉米过世时，税捐处的人一定已经把他所有的保险箱都打开了，当然，和他的遗嘱执行人一起。”
安迪微笑着，拍拍我的头。“不错嘛，脑袋瓜里不是只装了糨糊。不过我们早有准备了，我们早就把吉米在我出狱前就过世的可能性都考虑在内。保险箱是用彼得·斯蒂芬的名字租的，吉米的律师每年送一张支票给波特兰的银行付租金。彼得·斯蒂芬就在那个盒子里，等着出来，他的出生证、社会保险卡和驾照都在那里，这张驾照已有六年没换了，因为吉米死了六年，不过只要花五块钱，就可以重新换发，他的股票也在那儿，还有免税的市府公债和每张价值一万元的债券，一共十八张。”
我吹了一声口哨。
“彼得·斯蒂芬锁在波特兰的银行保险柜中，而安迪·杜佛尼则锁在肖申克监狱的保险柜中，”他说，“真是一报还一报。而打开保险柜和开启新生活的那把钥匙则埋在巴克斯登牧草地的一大块黑玻璃下面。反正已经跟你讲了这么多，雷德，我再告诉你一些其他事情好了。过去二十年来，我天天看报的时候，都特别注意巴克斯登有没有任何工程在进行，我总在想，有一天我会看到报上说，那儿要建一座医院或一条公路或一个购物中心，那么我的新生活就要永远埋在十英尺的水泥地下，或是随着一堆废土被倒入沼泽中。”
我脱口而出说：“天哪，安迪，如果你说的都是真的，你怎么有办法不发疯呢？”
他微笑道：“到目前为止，西线无战事。”
“但可能要好多年——”
“是要好多年，但也许没有诺顿认为的那么久，我等不了那么久，我一直想着齐华坦尼荷和我的小旅馆，现在我对生命的要求仅止于此了，雷德，这应该不算非分的要求吧。我根本没有杀格林·昆丁，也没杀我太太。一家小旅馆……不算奢求吧！我可以游游泳、晒晒太阳，睡在一间可以敞开窗子的房间……这不是非分的要求。”
他把石头扔了出去。
“雷德，你知道，”他漫不经心地说，“在那样的地方……我需要有人知道如何弄到我要的东西。”
我沉吟良久，当时我想到的最大困难，居然不是我们不过是在监狱的小运动场上痴人说梦，还有武装警卫居高临下监视着我们。“我没办法，”我说，“我无法适应外面的世界。我已经变成所谓体制化的人了。在这儿，我是那个可以替你弄到东西的人，出去以后，如果你要海报、锤子或什么特别的唱片，只需查工商分类电话簿就可以了。在这里，我就是那他妈的工商分类电话簿，出去了以后，我不知道要从何开始，或如何开始。”
“你低估了自己，”他说，“你是个懂得自我教育的人，一个相当了不起的人，我觉得。”
“我连高中文凭都没有。”
“我知道，”他说，“但是一纸文凭不见得就可以造就一个人，正如同牢狱生涯也不见得会打垮每一个人。”
“到了外面，我会应付不来的，安迪，我很清楚。”
他站起来。“你考虑考虑。”他说。就在这时，哨声响起，他走开了，仿佛刚才不过是个自由人在向另一个自由人提供工作机会，在那一刻，我也有种自由的感觉。只有他有办法做到这点，让我暂时忘记我们都是被判无期徒刑的终身犯，命运完全操在严苛的假释委员会和整天唱圣诗的典狱长手中，而典狱长一点都不想放安迪出狱，毕竟安迪是条懂得报税的小狗，养在身边多么有用啊！
但晚上回到囚房时，我又感到自己像个犯人了，这整个主意似乎荒诞不经，去想象那一片碧海蓝天和白色沙滩，不仅愚蠢，而且残酷，这念头好像鱼钩一样拖住我的脑子。我就是无法像安迪那样，披上自由的隐形外衣。那晚我睡着后，梦见牧草地中央有一大块光滑的黑玻璃石头，石头的样子好像铁匠的铁砧，我正在摇晃石头，想拿出埋在下面的钥匙，但石头太大了，怎么也动不了。
而在身后，我可以听到警犬的吠声越来越近。
接下来就该谈谈越狱了。
在这个快乐的小家庭中，不时有人尝试越狱。但是在肖申克，如果你够聪明的话，就不要翻墙越狱。监狱的探照灯整晚都四处扫射，好像长长的白手指般，来回照着监狱四周，其中三面是田野，一面是发出恶臭的沼泽地。隔三差五，就会有囚犯企图翻墙越狱，而探照灯总是把他们逮个正着；否则当他们跑到公路上，竖起大拇指希望能搭便车时，也会被发现。如果乡下农夫看到他们走在田野间，也会打电话通报监狱。想翻墙越狱的囚犯是蠢蛋。在这种乡下地方，一个人穿着囚衣形迹鬼祟，就好像婚礼蛋糕上的蟑螂一样醒目。
这么多年来，最高明的越狱往往是即兴之作。有的人是躺在一堆床单里混出去的。我刚进来时听过很多这样的案例，不过狱方逐渐不再让囚犯有机可乘。
诺顿的“外役监”计划也制造了一些逃亡的机会。在大多数情况下，越狱的行动都是临时起意，例如，趁警卫正在卡车旁喝水或几个警卫热烈讨论球赛战况时，把挖蓝莓的工具一扔，就往树丛里跑去。
一九六九年，“外役监”计划的内容是去沙巴塔斯挖马铃薯，那天是十一月三日，工作几乎快做完了。有个名叫亨利·浦格的警卫（他现在已不是我们这个快乐家庭的一员了）坐在马铃薯货车的后挡泥板上吃午餐，把卡宾枪放在膝上，这时候，一头漂亮的雄鹿（他们是这样告诉我的，但有时这些事情会加油添醋）从雾中缓缓走出来，浦格追过去，想象着战利品摆在家里康乐室的样子，结果他看守的三个囚犯乘机溜走，其中有两个人在另一个镇的弹子房被逮着，另外一个始终没找到。
我想最有名的越狱犯是锡德·尼都。他在一九五八年越狱，我猜以后很难有人超越他。由于星期六监狱将举行球赛，因此锡德当时正在球场划界线。三点钟一到，哨声响起，代表警卫要换班了。运动场再过去一点就是停车场，和电动大门恰好位于监狱的两端。三点钟一到，大门开了，来换班的警卫和下班的警卫混在一起，互相拍肩膀，打招呼，比较保龄球赛的战绩，开开玩笑。
而锡德推着他的划线机，不动声色地从大门走出去，三英寸宽的白线一路从棒球场的本垒板一直画到公路旁的水沟边，他们后来发现划线机翻倒在那里。别问我他是怎么出去的，他有六英尺两英寸高，穿着囚衣，推着划线机走过去时，还会扬起阵阵白灰，竟然就堂而皇之地从大门走出去了。只能说，大概因为正逢星期五下午，要下班的警卫因为即将下班太过兴奋，而来换班的警卫又因为要来换班而太过沮丧，前者得意地把头抬得高高的，后者则垂头丧气，视线始终没离开过鞋尖……锡德就这么趁隙逃跑了。
就我所知，锡德到现在还逍遥法外。多年来，安迪和我还常常拿锡德的逃亡过程来当笑话讲。后来当我们听说了古柏[8] 劫机勒赎的事，也就是劫机犯从飞机后舱门跳伞逃走的故事，安迪坚持认为那个叫古柏的劫机犯真名一定叫锡德·尼都。
“好个幸运的龟儿子，”安迪说，“搞不好他为了讨个吉利，整个口袋都装满了用来划线的白灰粉呢。”
但是你应该明白，锡德和那个在沙巴塔斯马铃薯田逃走的家伙只是少数中了头彩的幸运儿，仿佛所有的运气刹那间全聚集在他们身上。像安迪这么一板一眼的人，可能等上九十年也逃不出去。
也许你还记得，我曾经提过有个洗衣房工头名叫韩利·巴克斯，他在一九二二年被关到肖申克来，三十一年后死于监狱的医务室。他简直把研究越狱当作嗜好，或许原因就在于他自己从来不敢亲身尝试。他可以告诉你一百种不同的越狱方法，每一种都很疯狂，而且肖申克的犯人都尝试过。我最喜欢的是毕佛·莫里森的故事，这家伙竟然试图在车牌工厂的地下室建造一架滑翔机。他是照着一九〇〇年出版的《现代男孩玩乐与冒险指南》上面的说明来造飞机，而且一直没有被发现，只是直到最后他才发现地下室的门都太小了，根本没法子把那架该死的滑翔机搬出去。每次韩利说这个故事时，都会引起一阵爆笑，而他还知道一二十个同样好笑的故事。
有一次韩利告诉我，在他服刑期间，他知道的企图越狱案就有四百多件。在你点点头往下读之前，先停下来好好想一想。四百多次越狱尝试！等于韩利在肖申克监狱服刑期间，每年平均有十二点九次企图越狱事件。当然，大多数越狱行动都还蛮随便的，结局不外乎某个鬼鬼祟祟的可怜虫、糊涂蛋被警卫一把抓住，痛骂：“你以为你要上哪儿去呀，混蛋！”
韩利说，比较认真策划的越狱行动大概只有六十件，其中包括一九三七年的“大逃亡”，那是我入狱前一年发生的事情。当时肖申克正在盖新的行政大楼，有十四名囚犯从没有锁好的仓库中拿了施工的工具，越狱逃跑。整个缅因州南部都因为这十四个“顽强的罪犯”陷入恐慌，但其实这十四个人大都吓得半死，完全不知该往哪儿逃，就好像误闯公路的野兔，被迎面而来的大卡车车头灯一照，就动弹不得。结果，十四个犯人没有一个真正逃脱，有两个人被枪射死——但他们是死在老百姓的枪下，而不是被警官或监狱警卫逮着，没有一个人成功逃脱。
从一九三八年我入狱以来，到安迪第一次和我提到齐华坦尼荷那天为止，究竟有多少人逃离肖申克？把我和韩利听说的加起来，大概十个左右。只有十个人彻彻底底逃脱了。虽然我没有办法确定，但是我猜十个人当中，至少有五个人目前在其他监狱服刑。因为一个人的确会受到监狱环境制约，当你剥夺了某人的自由、教他如何在牢里生存后，他似乎就失去了多面思考的能力，变得好像我刚刚提到的野兔，看着迎面而来、快撞上它的卡车灯光，却僵在那里动弹不得。许多刚出狱的囚犯往往会进行一些绝不可能成功的愚蠢犯罪，为什么呢？因为如此一来，他就可以回到牢里，回到他所熟悉了解的地方。
安迪不是这样的人，但我是。眺望太平洋的念头听起来很棒，但是我害怕有朝一日，我真的到了那里时，浩瀚的太平洋会把我吓得半死。
总而言之，自从那天安迪谈到墨西哥和彼得·斯蒂芬以后，我开始相信安迪有逃亡的念头。我只能祈祷上帝，让他谨慎行事，但是我不会把赌注押在他身上。典狱长诺顿特别注意他的一举一动，安迪不是普通囚犯。可以这么说，他们之间有密不可分的工作关系。安迪很有头脑，但也很有心，诺顿下定决心要利用他的头脑，同时也击溃他的心。
就好像外面有一些你永远可以买通的诚实政客一样，监狱里也有一些诚实的警卫，如果你很懂得看人，手头上也有一些钱可以撒的话，我猜你确实有可能买通几个警卫，他们故意放水，眼睛注视着其他地方，让你有机会逃脱。过去不是没有人做过这样的事情，但是安迪没有办法这么做，因为正如我刚才所说，诺顿紧紧盯着他，安迪知道这点，狱卒也都知道这点。
只要诺顿还继续审核“外役监”名单，就没有人会提名安迪参加“外役监”计划，而安迪也不像锡德，他绝不会那么随随便便地展开逃亡行动。
如果我是他，外面那把钥匙会使我痛苦万分，彻夜难眠。巴克斯登距离肖申克不到三十英里，却可望而不可及。
我仍然认为找律师要求重新审判的成功机会最大，只要能脱离诺顿的掌握就好。或许他们只不过多给汤米一些休假，就让他封口，我并不确定。或许那些律师神通广大，可以让汤米开口，甚至不用费太大的劲，因为汤米很钦佩安迪。每次我向安迪提出这些意见时，他总是微笑着，目光飘向远方，嘴里说他会考虑考虑。
看来他同时在考虑的事情还不少。
一九七五年，安迪从肖申克逃走了，他一直都没被逮到，我相信他永远也不会被逮到。事实上，我想，安迪早已不在这个世上了，而一九七六年这一年，在墨西哥的齐华坦尼荷，有一个叫彼得·斯蒂芬的人正在经营一家小旅馆。
我会把我所知道的和我猜想的全都告诉你，我也只能做到这样了，不是吗？
一九七五年三月十二日。当警卫在早上六点半打开第五区牢房的大门时，所有犯人都从自己的房间走出来，站到走廊上，排成两列，牢门砰的一声在他们身后关起。他们走到第五区大门时，会有两个警卫站在门口数人头，算完后便到餐厅去吃麦片、炒蛋和油腻的培根。
直到数人头之前，一切都是例行公事。第五区牢房的犯人应该有二十七个，但那天早上数来数去都只有二十六个人，于是警卫去报告队长，并先让第五区的囚犯去吃早餐。
警卫队长名叫理查·高亚，不是个很坏的人，他和助手戴夫·勃克一起来到第五区牢房。手上拿着警棍和枪，高亚打开大门，和勃克一起走进两排牢房中间的走道。像这种情形，通常都是有人在半夜病了，而且因为病得太重，早上根本没有力气走出牢房。更罕见的状况是他根本已经病死了，或自杀了。
但这次却出现了一个大谜团，他们既没有看到病人，也没有看到死人，里面根本空无一人。第五区共有十四间牢房，每边各七间，全都十分整洁——在肖申克，对牢房太过脏乱的惩罚是禁止会客——而且全都空荡荡的。
高亚第一个反应是警卫算错人数了，要不就是有人恶作剧，因此他叫第五区的所有囚犯吃完早餐后，都先回到牢房去。那些犯人一面开玩笑，一面高兴地跑回去，任何打破常规的事，他们都觉得很新鲜。
牢门再度打开，犯人一一走进去，牢门关起。爱开玩笑的犯人故意叫着：“我要找律师，我要找律师，你们怎么可以把监狱管理得像他妈的监狱一样！”
勃克叫道：“闭嘴，否则我会要你好看。”
那人喊道：“我操你老婆。”
高亚说：“你们全都闭嘴，否则今天一整天都待在这里，不准出去。”
他和勃克一间间检查，一个个数着，没走多远。“这间是谁住的？”高亚问值夜班的警卫。
“安迪·杜佛尼。”守卫答道。立刻，整个日常作息都乱掉了。监狱里一片哗然。
在我所看过的监狱电影里面，每当有人逃狱时，就会响起号角的哭号声，但是在肖申克，从来没有这回事。高亚做的第一件事是立刻联络典狱长，第二件事是派人搜索整个监狱，第三件事则是打电话警告州警，可能有人越狱了。
例行的做法就是如此，标准作业程序没有要求他们检查逃犯的牢房，因此也没有人这么做。何必如此呢？明明就亲眼看到人不在里面。这是个四方形的小房间，窗子上装了铁栅栏，门上也有铁栅栏，此外就是一套卫生设备和空荡荡的床。窗台上还有一些漂亮的石头。
当然还有那张海报。这时候已经换上了琳达·朗斯黛的海报，海报就贴在他的床头。二十六年来，同一个位置上一直都贴着海报。但是当有人查看海报后面时——结果是诺顿自己发现的，真是因果报应——简直魂飞魄散。
发现海报后面另有文章，已经是当晚六点半的事了，距离发现安迪失踪足足有十二小时，距离他真正逃亡的时间说不定有二十小时。
诺顿暴跳如雷。
我后来是从老柴士特口中知道的，他那天正在行政大楼为地板打蜡，事发当天他不必再把耳朵贴在钥匙孔上，因为他可以把诺顿的咆哮听得一清二楚。
“你是什么意思？你是什么意思？他不在监狱里，表示你没有找到他？这样你就觉得满意了吗？你最好找到他！因为我要把他逮到！你听见了吗？我要逮到他！”
高亚嘴里咕哝了几句。
“不是在你值班的时候发生的？那是你自说自话，就我所知，没有人知道他是什么时候逃出去的，或怎么逃出去的，或他是不是真的逃出去了。我不管，我限你在今天下午三点以前把他带回我的办公室，否则就有人要人头落地了。我说到做到，我一向说到做到。”
高亚不知又说了什么，使得诺顿更加震怒。
“没有？看看这个！看看这个！你认得这个吗？这是昨天晚上第五区的点名记录，每个囚犯都在牢房里。昨天晚上九点钟的时候，杜佛尼还被关在牢房里，他不可能就这样不见了！不可能！立刻去把他找到！”
到了那天下午三点，安迪仍然在失踪名单上。过了几小时后，诺顿自己冲入第五区牢房。那天第五区所有犯人都被关在自己的牢房里，被那些神色仓皇的狱卒盘问了一整天。我们的答案都一样：我们什么也没看见，什么也没听见。就我所知，大家说的都是实话，我知道我没说谎，我们只能说，昨晚所有的犯人回房时，安迪确实进了他的牢房，而且一小时后熄灯时，他也还在。
有个机灵鬼猜测，安迪可能是从钥匙孔钻出去了，结果这句话为他招惹来四天的单独监禁，这些警卫全都绷得很紧。
于是诺顿亲自来查房，用他那一对蓝眼睛狠狠瞪着我们，在他的注视下，牢笼的铁栅栏仿佛快冒出火星了。他的眼神流露着怀疑，也许他真的认为我们都是共犯。
他走进安迪的囚房，到处查看。牢房里还是安迪离开时的样子，床上的被褥看起来不像有人睡过，石头放在窗台上……不过并非所有的石头都在，他带走了最喜欢的几颗石头。
“石头。”诺顿悻悻道，把石头哗啦啦地统统从窗台上扫下来，高亚缩在一旁，噤若寒蝉。
诺顿的目光落在琳达·朗斯黛的海报上。琳达双手插进后裤袋中，回眸一笑，上身穿了件露背的背心，皮肤晒成古铜色。身为浸信会教徒的诺顿看到这张海报一定很生气，我看到他狠狠盯着海报，想起安迪曾经说过，他常觉得似乎可以一脚踩进去，和海报上的女孩在一起。
他确确实实就这么做了，几秒钟后，诺顿也发现了。
诺顿一把撕下海报来。“邪门玩意！”他吼道。
海报后面的水泥墙上出现了一个洞。
高亚不肯进去。
诺顿命令他，声音之大，整个监狱一定都听得一清二楚。但是高亚不肯进去。
“你想丢掉饭碗吗？”诺顿尖叫着，歇斯底里地像个更年期热潮红的女人一样。他早已失去了平日的冷静，脖子胀成深红色，额前两条青筋毕露，不停跳动。“我说到做到，你……你这该死的法国佬！你今天非进去不可，否则就别想再吃这行饭了，以后也休想在新英格兰任何一个监狱找到工作！”
高亚默默掏出手枪，枪柄对着诺顿，把枪交给他。他受够了，已经过了下班时间两个小时，眼看就快超时工作三个小时。那天晚上，诺顿真是气得发狂，仿佛安迪的叛逃终于揭开他长久以来不为人知的非理性的一面。
当然，我没有看到他非理性的那一面，但是我知道那天晚上，当暮冬的昏暗天色逐渐变得漆黑一片时，二十六个在肖申克经历过多次改朝换代的长期犯一直在侧耳倾听，我们都知道诺顿正在经历工程师所说的“断裂应变”。
我仿佛可以听见安迪·杜佛尼正躲在某处窃笑不已。
诺顿终于找到一个值夜班的瘦小警卫来钻进海报后面的洞里，他的名字叫洛睿·崔门。他平常并不是个聪明人，或许他以为将因此获颁铜星勋章。算诺顿运气好，居然碰巧找到一个身材和安迪差不多的人。大多数监狱警卫都是大块头，如果他们派了个大块头来，一定爬到一半就卡在那里，直到现在还出不来。
崔门进去时把尼龙绳绑在腰上，手上拿了一支装了六个干电池的大手电筒。这时高亚已经改变心意，不打算辞职了，而他似乎是现场唯一头脑还清醒的人，找来了一组监狱的蓝图。从剖面图看来，监狱的墙就像个三明治，整堵墙足足有十英尺厚，内墙、外墙各有四英尺厚，中间的两英尺空隙是铺设管线的通道，就好像三明治的肉馅一样。
崔门的声音从洞中传出来，听起来有种空洞和死亡的感觉。“典狱长，里面味道很难闻。”
“不管它，继续爬。”
崔门的腿消失在洞口，一会儿，连脚也看不见了，只看到手电筒的光微弱地晃动。
“典狱长，里面的味道实在很糟糕。”
“我说不要管它。”诺顿叫道。
崔门的声音哀戚地飘过来。“闻起来像大便，哦！天哪！真的是大便，哇！是大便！我的天哪，我快吐了，哇……”然后可以清楚地听到崔门把当天吃的所有东西都吐出来了。
现在轮到我了，我再也忍不住，这一整天——喔，不，过去这三十年来的压抑终于爆发了，我开始大笑，笑得抑制不住，自从失去自由后，我还从未这么开怀地笑过。我从来不曾期望困在灰墙中的我还能笑得这么开心，真是过瘾极了。
“把这个人弄出去！”诺顿尖叫着，由于我笑得太厉害了，根本不知道他指的是我，还是崔门。我只是捧腹顿脚，拼命大笑，简直一发不可收拾，即使诺顿威胁要枪毙我，我也没有办法停下来。“把他弄出去！”
好吧！各位亲朋好友，结果他指的是我。他们把我一路拖到禁闭室去，我在那儿单独监禁了十五天，尽管长日漫漫，但我并不感到无聊，我经常会想起那个不太聪明的可怜鬼崔门大喊“是大便”的声音，然后又想到安迪正开着新车、西装笔挺地直奔南方，就忍不住又开怀大笑起来。在那十五天里，我笑口常开，或许是因为我的心已经飞到安迪那里。安迪·杜佛尼曾经在粪坑中挣扎着前进，但是他出污泥而不染，清清白白地从另外一端爬出来，奔向蔚蓝的太平洋。
那天后来发生的事，我是从六七个人那儿听来的。我猜当崔门那天把中饭和晚饭都吐出来之后，他觉得反正不会再有什么损失，于是决定继续爬下去。他不用担心会从内外墙中间的通道掉落下来，因为那里实在太窄了，崔门得费好大力气才能推挤前进。他后来说他几乎得屏住呼吸才下得去，而且他到这时候才晓得被活埋是什么滋味。
他在通道末端发现一个主排水管，那是通往第五区牢房十四个马桶的污水管，是三十三年前装置的瓷管，已经被打破了，崔门在管子的锯齿状缺口旁发现了安迪的石锤。
安迪终于自由了，但这自由得来不易。
这管子比崔门爬行的通道还要窄。崔门没有进去，就我所知，其他人也没有进去，我想情况一定糟糕得几乎难以形容。当崔门在检查管子上的缺口和那把石锤时，一只老鼠就从管子里跳了出来，崔门后来发誓那只老鼠跟一头小猎犬一样大。他像猴子爬柱子一样，慢慢爬回安迪的牢房。
安迪是从那根管子逃出去的。也许他知道污水管是通往离监狱五百码外的一条小溪，因为很多地方都找得到监狱的蓝图，安迪一定想办法看过蓝图。他是个讲求方法的怪胎，他一定已经发现，整个监狱只有第五区的污水管还没有接到新的废水处理厂，而且他也知道，此时不逃，以后就没机会，因为到了一九七五年八月，连我们这区的污水管都要接到新的废水处理厂了。
五百码，足足有五个美式足球场那么长，绵延将近半英里。他爬过这么远的距离，也许手上拿着一支小手电筒，也许什么都没有，只有几盒火柴，我简直不愿想象，也无法想象，他爬过的地方有多么肮脏，还有吱吱乱叫的肥老鼠在前面跑来跑去，甚至老鼠因为在黑暗中胆子特别大，还会攻击他。通道中几乎无法容身，可能只有非常狭小的空隙足以让他挤过去，在管子接口的地方，或许还得拼命推挤身体才过得去。换作是我，那种幽闭恐惧的气氛准会让我疯掉，但他却成功逃脱了。
他们在污水管尽头找到一些泥脚印子，泥脚印一路指向监狱排放污水的溪流，搜索小组在距离那里两英里外的地方找到了安迪的囚衣，而那已经是第二天的事了。
这件事在报上喧腾一时，但在方圆十五英里内，没有任何人向警局报案说车子被偷或丢了衣服，或看到有人裸体在月光下奔跑，更没听见农庄上的狗吠声。安迪从污水管爬出来后，就像一缕轻烟似的失去踪影。
但我敢说他一定是消失在往巴克斯登的方向。
那个值得纪念的日子过了三个月后，诺顿典狱长辞职了。我很乐意报告一下，他像只斗败的公鸡，走起路来一点劲也没有。他垂头丧气地离开了肖申克，就像个有气无力地到医务室讨药吃的老囚犯。接替他的是高亚，对诺顿而言，这或许是最冷酷的打击吧。他回到老家，每个星期日上浸信会教堂做礼拜，他一定常常纳闷，安迪到底是怎么打败他的。
我可以告诉他，答案在于“单纯”。有些人就是有这种本领，典狱长，有些人就是没有，而且永远也学不来。
以上是我所知道的经过；现在我要告诉你我的想法。或许我在细节部分说得不尽正确，不过我敢打赌，就事情的大概应该八九不离十。因为安迪这样的人会采用的办法不出这一两种。每当我思索这件事时，我总会想起那个疯疯癫癫的印第安人诺曼登所说的话。诺曼登在与安迪同住八个月后说：“他是好人。我很高兴离开那儿。那牢房空气太坏了，而且很冷。他不让任何人随便碰他的东西，那也没关系。他人很好，从不乱开玩笑，但是空气太坏了。”可怜的诺曼登，他比任何人知道的都多，知道的时间也更早。安迪足足花了八个月的时间，才设法让诺曼登转到其他牢房，恢复单独监禁。如果不是诺曼登和他同住了八个月，我相信早在尼克松辞职前，安迪就逃之夭夭了。
我相信，安迪是在一九四九年开始他的计划，不是托我买石锤时，而是托我买丽塔·海华丝的海报时。我告诉过你当时他似乎很着急，一副坐立难安的样子，兴奋得不得了。那时我还以为他难为情，不愿让别人知道他想女人，特别是梦幻性感女神，但现在我才发现我想错了，他的兴奋是别有原因的。
监狱当局在海报女郎背后发现的那个洞（现在海报上的那个女孩在第一任海报女郎丽塔·海华丝拍摄那张照片时，甚至还没出生呢），究竟是怎么来的？当然，最主要的原因是安迪·杜佛尼的毅力和苦工，但是还有另外两个不可忽略的因素：幸运之神眷顾和WPA混凝土[9] 。
关于幸运之神眷顾，我猜完全用不着解释了。至于WPA混凝土，我倒是好好查了一下资料。我花了不少时间，也花了不少邮资。我先写信给缅因大学历史系，他们给了我某人的地址，我又写信给那个家伙，他曾经参与WPA工程，同时参与建造肖申克监狱警卫最森严的区域，而且还担任工头。
位于这个区域的第三、四、五区牢房是在一九三四到一九三七年间建造完成的。今天，大多数人并不认为水泥和混凝土是什么了不起的“技术发展”，就好像我们现在也不认为汽车或暖炉算什么了不起的技术进步一样，但其实不然。现代的水泥直到一八七〇年左右才发展出来，而混凝土更是到二十世纪初才出现。调混凝土的过程就和做面包一样细腻，可能会放了太多水或水放得不够，沙子和碎石的成分也可能太稠或太稀。而在一九三四年，混凝土的科学远不如今天这么进步。
从外表看来，第五区牢房的墙壁很坚实，但是却不够干，事实上，这些混凝土墙还蛮容易透水的。经过一段阴雨连绵的日子，这些墙就变得很潮湿，甚至会渗出水来。有些地方已出现龟裂，有些裂痕甚至深达一英寸。他们会定期涂抹砂浆，黏合裂缝。
后来安迪被关进第五区牢房。他毕业于缅因大学商学院，修过两三门地质学的课，事实上，地质学成为他的一大嗜好，一定是因为非常合乎他极有耐性、一丝不苟的本性。一万年的冰河期、百万年的造山运动、千年床岩在地层底部相互挤压。“压力，”安迪有一次告诉我，“所有的地质学都是在研究压力。”
当然，还有时间这个因素。
安迪有很多时间可以研究这些墙。当囚门关上、灯也熄灭之后，除了那堵灰墙，没有其他东西可以看。
初进监狱的人起初都难以适应这种失去自由的生活，他们会得一种囚犯热，有些人甚至得被拖进医务室施打镇静剂。常会听到新进犯人猛力敲打铁栅栏，大吼大叫着要出去，喊叫声没有持续多久，就会响起其他犯人的唱和声：“鲜鱼来了，鲜鱼来了，嘿，小小的鲜鱼，今天有鲜鱼进来了！”
一九四八年，安迪初入狱时并没有这种失控的表现，但这并不表示他没有同样的感觉。他或许也曾濒临疯狂边缘。一瞬间，一向熟悉的快乐生活就不见了，眼前是漫长的梦魇，就像置身炼狱。
那么，他要怎么办呢？我问你。他一定努力找一些事情来做，让自己不再胡思乱想。噢，即使在监狱里，让人分心的方法仍然很多。人类的潜能是无穷的，像我曾经告诉过你的，有个犯人雕刻了耶稣的三个时期，有的犯人收集钱币，有的人集邮，还有人收集到三十五个国家的明信片。
安迪对石头有兴趣，连带的也对牢房的墙产生兴趣。
我想他最初的想法只是把名字刻在墙上，或是在后来贴美女海报的墙面上，刻几行诗来鼓舞自己。哪晓得竟然发现这堵混凝土墙意外的松动，只刻了几个字，便落下一大块。我可以想象他躺在床上，手里把玩着混凝土块，看着这块剥落的混凝土沉思。不要老想着自己一生都毁了，不要老想着自己怎么会这么倒霉。把那些全都忘掉，好好看看这块混凝土吧！
很可能，之后的几个月，他觉得试试看自己能把这堵墙挖开多少，应该还满有趣的。他当然不能这么堂而皇之地挖墙壁，你总不能在警卫每周定期检查时（或是突袭检查时，他们每次总是会翻出一些有趣的东西，例如酒、毒品、色情图片和武器等），对他说：“这个？只不过在墙上挖个小洞而已，没什么好担心的。”
不，安迪不能这样做，于是他想到托我买丽塔·海华丝的海报，他不要小张的，而要大张的。
当然，还有他的石锤。我记得一九四八年替他弄到那个小锤子的时候，曾经想过如果要用这把锤子挖穿监狱的墙壁，大概要花六百年的工夫。没错，但是安迪其实只需要挖穿一半的墙壁——但即使混凝土墙非常松软，他用两把锤子，仍然努力了二十七年才成功。
当然，期间因为跟诺曼登同住而浪费了不少时间。他只能晚上工作，而且是在三更半夜大家都睡熟了之后，包括值夜班的警卫也进入梦乡后。然而拖慢速度的最大难题，还是如何处理敲下来的混凝土块。他可以把磨石布包住锤头来消音，但是敲下来的碎片要怎么处理呢？
我想他一定把混凝土块弄成很小的碎片，然后装在袖子里运出去。
我还记得在我帮他弄到石锤后，星期天的时候，我看着他走过运动场，因为和姊妹的冲突而鼻青眼肿的。他弯下腰来，捡起小石子……然后小石子就消失在他的袖口。袖口或裤脚翻边的暗袋是监狱里的老把戏。还有另外一件事让我记忆深刻，可能看过不止一次，就是安迪在炎夏午后窒闷的空气中穿过运动场，没错，空气十分窒闷，除了偶有一阵微风吹过，掀起安迪脚下飞扬的尘土。
所以，可能他的裤脚还藏着不少花样。你把暗袋装满要丢掉的小碎片，然后到处走动，手一直插在裤袋中，然后当你觉得很安全时，就趁人不注意猛拉暗袋。当然裤袋里一定有一条很坚韧的线连到裤脚的暗袋。于是你一边走动，口袋里的碎片沙砾就在双脚间倾泻而下，第二次世界大战的战俘挖掘隧道逃跑时，就用过这招妙计。
一年年过去，安迪就这么一袋袋把混凝土碎片运到操场倒掉。历经一任又一任的典狱长，无数的春去秋来，他替典狱长服务，他们都以为他是为了扩张图书馆而这么做，我也绝不怀疑这点，但是骨子里他真正要争取的是独居一室的特殊待遇。
我怀疑他一开始真的有什么具体的越狱计划或抱了什么希望，或许他以为这堵十英尺厚的墙里面扎实地填满了混凝土，或即使成功地把墙挖通了，也只能逃到三十英尺外的运动场上。但是，就像我说的，我不认为安迪很担心这个问题，因为他一定会这么想：我每七年才能前进一英尺，因此可能要花七十年才能把这堵墙挖通，到时候我已经一百零一岁了。
如果我是安迪，我的第二个假设是：我终究会被逮到，然后关禁闭很长一段时间，记录上也被画一个大叉。毕竟，他们每个星期都会来做例行检查，而且还有突击检查——通常都在晚上。他一定觉得他不可能挖太久，警卫迟早会查看丽塔·海华丝的海报后面有没有磨尖的汤匙柄，或把大麻烟用胶带贴在墙上。
而他对于第二个假设的反应一定是：管他的！或许他甚至把它当成一场游戏。在他们发现之前，我可以挖得多深？监狱是个非常沉闷的地方，在早年，海报还没贴好就在半夜遭到突击检查的可能性，说不定还为他的生活增添了些许趣味。
而我确实认为他不可能单靠运气就顺利逃出去，至少不会连续二十七年都这么好运。尽管如此，我不得不说，在一九五〇年五月中旬，他开始帮哈力处理遗产继承税务问题之前两年，他的确运气很好，才没被逮到。
也有可能，除了运气好以外，他还有其他法宝。反正有钱能使鬼推磨，也许他每个星期都偷偷塞几张钞票给警卫，让他们不要找他麻烦。如果价码还不错的话，大多数警卫都会合作。只要荷包有进账，让犯人拥有一张美女海报或一包香烟也不为过，何况安迪是个模范犯人，他很安静，讲话有条有理，为人谦恭有礼，不会动不动就拳头相向。通常逃不过监狱每半年一次大检查的，都是那些疯疯癫癫或行事冲动的囚犯，这时警卫会把整个牢房彻底搜查一遍，掀开床垫，拆开枕头，连马桶的排水管都要仔细戳一戳。
到了一九五〇年，安迪除了是模范犯人外，还成了极具价值的资产，他能帮他们退税，免费指导他们如何规划房地产投资、善用免税方案和申请贷款，比专业会计师还要高明。我还记得他坐在图书馆中，耐心地和警卫队长一段一段检查汽车贷款协议书中的条款，为他分析这份协议书的好处和坏处，教他如何找到最划算的贷款方案，引导他避开吸血的金融公司，那些公司几乎是在合法掩护下大放高利贷。当安迪解释完毕时，警卫队长伸出手来要和他握手……然后又很快缩回去。他一时之间忘记了他不是在和正常人打交道。
安迪一直注意股市动态和税法变动，因此尽管在监狱冷藏了一段时间，并未丝毫减损他的利用价值。他开始为图书馆争取经费补助，他和那群姊妹之间的战争已经停火，警卫不再那么认真地检查他的牢房，他是个模范囚犯。
然后有一天，可能是一九六七年十月左右，安迪长时间的嗜好突然变得不一样了。有一天晚上，他把海报掀起，整个上半身探入洞里，拉蔻儿·薇芝的海报则盖到他的臀部，石锤的尖头一定突然整个陷入混凝土中。
他本来已经准备把几块敲下来的混凝土拿走，但是可能在这时候听到有东西掉落，在竖立的管子间来回弹跳，叮当作响。他事先已经知道会挖到那个通道吗？还是当时大吃了一惊？那就不得而知了。他可能已经看过监狱的蓝图，但也可能没有看过。如果没有看过，我敢说他后来一定设法把蓝图找来看了。
他一定突然明白，他不只是在玩游戏而已，他这么做其实是在赌博，他的赌注下得很大，赌上了自己的生命和未来。即使他当时还不是那么确定，不过应该已经有相当的把握了，因为他第一次跟我谈起齐华坦尼荷，就差不多是在那段期间。在墙上挖洞原本只是好玩而已，突然之间，那个蠢洞却能主宰他的命运——如果他知道通道底部是污水管，以及污水管会一直通往监狱围墙外的话。
现在，他除了要担心压在巴克斯登石头下的那把钥匙外，还得担心某个力求表现的新警卫会掀开海报，发现这个伟大的工程，或是突然住进一个新室友，或是在这里待了这么多年以后，突然被调到其他监狱去。接下来八年中，他脑子里一直得操心这么多事情，我只能说，他是我所见过的最冷静的人之一。换作是我，在所有事情都这么不确定的情况下，我早就疯了，但安迪却继续赌下去。
很讽刺的是，还有一件事，我一想起来便不寒而栗，就是万一安迪获得假释的话，怎么办？你能想象吗？获得假释的囚犯在出狱前三天，会被送到另一个地方，接受完整的体检和技能测验。在这三天之中，他的牢房会被彻底清扫一遍，如此一来他的假释不但会成泡影，而且换来的是长时间单独监禁在禁闭室，再加上更长的刑期……但换到不同的牢房服刑。
如果他在一九六七年就已经挖到通道，为什么他直到一九七五年才越狱？
我不是很确定——但是我可以猜一猜。
首先，他会变得比以前都小心。他太聪明了，不会盲目地加快速度推进，想在八个月或甚至十八个月内逃出去。他一定一次只把通道挖宽一点点。那年他在除夕夜喝酒时，洞口可能有茶杯那么大，到了一九六八年庆祝生日时，洞口可能有碟子大小。等到一九六九年棒球季开打时，洞口可能已经挖得像托盘那么大了。
有一阵子，我猜想在他挖到通道之后，挖掘的速度应该快很多，因为他只要让敲下来的混凝土块直接从通道掉落就行，不必像以前一样把它敲碎后，再用我前面说过的瞒天过海之计，运出牢房丢掉。但由于他花了这么长的时间，我相信他不敢这么做。他或许认为，混凝土掉落的声音会引起其他人怀疑。或是如果他当时正如我所猜想，已经晓得下面是污水管的话，他很可能会担心落下的混凝土块在他还未准备就绪以前，就把污水管打破，弄乱了监狱的排水系统，引起调查。不用多说，如此一来，就大难临头了。
但我猜想，无论如何，在尼克松第二个任期宣誓就任之前，安迪已经可以勉强挤进那个洞口了……或是更早就可以这么做，安迪长得很瘦小。
为什么他那时候不走呢？
各位，到了这个地步，我的理智推理就不管用了，只能乱猜。其中一个可能性是，爬行之处塞满垃圾，他得先清干净，才出得去。但是那也不需要花这么久的时间。所以到底是什么原因呢？
我觉得，也许安迪开始觉得害怕。
我曾经试图描述过，逐渐为监狱体制所制约是什么样的情况。起先，你无法忍受被四面墙困住的感觉，然后你逐渐可以忍受这种生活，进而接受这种生活……接下来，当你的身心都逐渐调整适应后，你甚至开始喜欢这种生活了。什么时候可以吃饭，什么时候可以写信，什么时候可以抽烟，全都规定得好好的。如果你在洗衣房或车牌工厂工作，每个小时可以有五分钟的时间上厕所，而且每个人轮流去厕所的时间都是排定的。三十五年来，我上厕所的时间是每当分针走到二十五的时候，经过三十五年后，我只有在那个时间才会想上厕所：每小时整点过后二十五分。如果我当时因为什么原因没办法上厕所，那么过了五分钟后，我的尿意或便意就会消失，直到下个钟头时钟的分针再度指在二十五分时，才会想上厕所。
我想安迪也在努力克服这种体制化症候群——同时，他内心也有深深的恐惧，生怕经过多年努力，一切都成空。
所以，我经常搭便车来到巴克斯登，走在路上，听着鸟叫，看着潺潺流水，查看融雪后露出的空瓶子——全都是无法退瓶、没用的瓶子。我不得不遗憾地说，比起我入狱之前，现在的世界似乎变得挥霍无度——然后继续寻找那片牧草地。
路旁有不少牧场，大多数都立刻可以从名单中删除。有的没有石墙，有的有石墙，方向却不对。无论如何，我还是在那些牧草地上走走，在乡下走走很舒服，在这些时候，我才感受到真正的自由和宁静。有一次，有条老狗一直跟着我，还有一次，我看到了一头鹿。
然后到了四月二十三日，即使我再活个五十八年，都永远忘不了这一天。那是个宜人的星期六下午，我走着走着，在桥上垂钓的男孩告诉我，这条路叫老史密斯路。这时已近中午了，我打开带来的午餐袋子，坐在路旁一块大石头上吃起来。吃完后，小心把垃圾清理干净，这是爸爸在我和那个男孩差不多年纪的时候教我的规矩。
走到大约两点钟左右，在我左边出现一大片草地，草地尽头有一堵墙，一直往西北方延伸而去，我踩在潮湿的草地上，走向那堵墙。一只松鼠从橡树上唠唠叨叨地斥责我。
距离墙端还有四分之一的路时，我看见那块大石头了。一点也不错，乌黑的玻璃，光亮得像缎子一样，是一块不该出现在缅因州牧草地的石头，我呆呆地看了很久，有种想哭的感觉。松鼠跟在我后面，依然唠唠叨叨。我的心则怦怦跳个不停。
等我情绪稍稍平复后，我走向那块石头，蹲在它旁边，用手摸摸它，它是真的。我拿起石头，不是因为我认为里面还会藏着任何东西，事实上我很可能就这么走开了，没有发现石头下的任何东西。我当然也不打算把石头拿走，因为我不认为我有权利拿走石头，我觉得把这块石头从牧草地上拿走，不啻犯了最糟糕的盗窃罪。不，我只不过把石头拿起来，好好摸摸它，感觉一下它的质地，证明这块玻璃石头的确存在。
我看着石头下的东西许久、许久，我的眼睛早就看到了，但是我的脑子得花一点时间，才能真正意识到是怎么回事。下面赫然放着一个信封，信封很小心地包在透明的塑胶袋中，以避免弄湿。上面写着我的名字，是安迪整齐的字迹。
我拿起信封，把石头放回安迪和他已过世的朋友原先放置的地方。
亲爱的雷德：
如果你看到这封信的话，那表示你也出来了。不管你是怎么出来的，总之你出来了。如果你已经找到这里，你或许愿意往前再多走一点路，我想你一定还记得那个小镇的名字吧？我需要一个好帮手，帮我把业务推上轨道。
为我喝一杯，同时好好考虑一下。我会一直留意你的情况。记住，“希望”是个好东西，也许是世间最好的东西，好东西永远不会消逝的。我希望这封信会找到你，而且找到你的时候，你过得很好。
你的朋友
彼得·斯蒂芬
我没有当场打开这封信。一阵恐惧袭来，我只希望在别人看到我之前尽快离开那里。
回到自己房间以后，我才打开信来读，楼梯口飘来阵阵老人煮晚餐的香味——不外乎是些粉面类的食物，美国每个低收入的老人家晚上几乎都吃这些东西。
看完信后，我抱头痛哭起来，信封里还附了二十张新的五十元钞票。
我现在身在布鲁斯特旅馆，再度成了逃犯——违反假释条例是我的罪名。但是我猜，大概没有警察会大费周章地设置路障，来逮捕这样一个犯人吧——我在想，我现在该怎么办？
我手上有这份稿子，还有一个行李袋，大小和医生的医药包差不多大，所有的财产都在里面。我有十九张五十元钞票、四张十元钞票、一张五元钞票和三张一元钞票，还有一些零钱。我拿一张五十元钞票去买了这本笔记本和一包烟。
我还在想，我该怎么办？
但毫无疑问，只有两条路可走。使劲活下去，或使劲找死。
首先，我要把这份手稿放回行李袋。然后我要把袋子扣上，拿起外套走下楼去，结账离开这家廉价旅馆。然后，我要走进一家酒吧，把一张五元钞票放在酒保面前，要他给我来两杯威士忌，一杯给我自己，一杯给安迪。这将是我从一九三八年入狱以来，第一次以自由人的身份喝酒。喝完后，我会给酒保一元小费，好好谢谢他。离开酒吧后，我便走向灰狗巴士站，买一张经由纽约到艾尔帕索的车票。到了艾尔帕索之后，再买一张车票到麦克纳里。等我到了麦克纳里后，我猜我会想想办法，看看像我这样的老骗子能否找机会跨过边境，进入墨西哥。
我当然记得那个小镇的名字，齐华坦尼荷，这名字太美了，令人忘不了。
我发现自己兴奋莫名，颤抖的手几乎握不住笔。我想唯有自由人才能感受到这种兴奋，一个自由人步上漫长的旅程，奔向不确定的未来。
我希望安迪在那儿。
我希望我能成功跨越美墨边界。
我希望能见到我的朋友，和他握握手。
我希望太平洋就和我梦中所见的一样蔚蓝。
我希望……
|
Chinese
|
32k
|
T2. Sequencing & Structure Reconstruction
|
T2.1 Global Timeline Reconstruction
|
Full
|
请将下列事件按发生的时间先后顺序排列。先输出“[答案]”标识符，再按行输出排序后的事件字母，不要输出任何其他内容。
打乱的事件序列：
A、安迪开始利用自己的金融知识为狱警和典狱长处理税务和财务问题。
B、安迪因谋杀妻子和她的情夫被判无期徒刑，进入肖申克监狱。
C、安迪通过汤米·威廉斯得知自己案件的真相，但典狱长诺顿拒绝重审。
D、安迪用石锤在牢房墙上挖洞，计划越狱。
E、安迪从污水管成功逃脱，最终抵达墨西哥的齐华坦尼荷。
F、安迪在监狱图书馆工作，并逐渐扩充图书馆资源。
G、安迪被“姊妹帮”长期骚扰，但最终通过自己的方式摆脱他们。
H、安迪帮助哈力节税，换取狱友在屋顶喝啤酒的短暂自由。
输出示例：
[答案]
B
A
C
G
H
F
D
E
|
请将下列事件按发生的时间先后顺序排列。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的事件字母。
打乱的事件序列：
A、安迪开始利用自己的金融知识为狱警和典狱长处理税务和财务问题。
B、安迪因谋杀妻子和她的情夫被判无期徒刑，进入肖申克监狱。
C、安迪通过汤米·威廉斯得知自己案件的真相，但典狱长诺顿拒绝重审。
D、安迪用石锤在牢房墙上挖洞，计划越狱。
E、安迪从污水管成功逃脱，最终抵达墨西哥的齐华坦尼荷。
F、安迪在监狱图书馆工作，并逐渐扩充图书馆资源。
G、安迪被“姊妹帮”长期骚扰，但最终通过自己的方式摆脱他们。
H、安迪帮助哈力节税，换取狱友在屋顶喝啤酒的短暂自由。
输出示例：
<你的思考过程>
[答案]
B
A
C
G
H
F
D
E
|
[
"B",
"G",
"D",
"H",
"A",
"F",
"C",
"E"
] |
Hard
|
c59303e01130cfb20abea74d63bf61646def20eddcb4d4d986ff08ac3d46de04
|
In my younger and more vulnerable years my father gave me some advice that I've been turning over in my mind ever since.
"Whenever you feel like criticizing any one," he told me, "just remember that all the people in this world haven't had the advantages that you've had."
He didn't say any more but we've always been unusually communicative in a reserved way, and I understood that he meant a great deal more than that. In consequence I'm inclined to reserve all judgments, a habit that has opened up many curious natures to me and also made me the victim of not a few veteran bores. The abnormal mind is quick to detect and attach itself to this quality when it appears in a normal person, and so it came about that in college I was unjustly accused of being a politician, because I was privy to the secret griefs of wild, unknown men. Most of the confidences were unsought--frequently I have feigned sleep, preoccupation, or a hostile levity when I realized by some unmistakable sign that an intimate revelation was quivering on the horizon--for the intimate revelations of young men or at least the terms in which they express them are usually plagiaristic and marred by obvious suppressions. Reserving judgments is a matter of infinite hope. I am still a little afraid of missing something if I forget that, as my father snobbishly suggested, and I snobbishly repeat a sense of the fundamental decencies is parcelled out unequally at birth.
And, after boasting this way of my tolerance, I come to the admission that it has a limit. Conduct may be founded on the hard rock or the wet marshes but after a certain point I don't care what it's founded on.
*SELECTED PARAGRAPH*
A. This responsiveness had nothing to do with that flabby impressionability which is dignified under the name of the "creative temperament"--it was an extraordinary gift for hope, a romantic readiness such as I have never found in any other person and which it is not likely I shall ever find again.
B. When I came back from the East last autumn I felt that I wanted the world to be in uniform and at a sort of moral attention forever; I wanted no more riotous excursions with privileged glimpses into the human heart.
C. If personality is an unbroken series of successful gestures, then there was something gorgeous about him, some heightened sensitivity to the promises of life, as if he were related to one of those intricate machines that register earthquakes ten thousand miles away.
D. Only Gatsby, the man who gives his name to this book, was exempt from my reaction--Gatsby who represented everything for which I have an unaffected scorn.
E. No--Gatsby turned out all right at the end; it is what preyed on Gatsby, what foul dust floated in the wake of his dreams that temporarily closed out my interest in the abortive sorrows and short-winded elations of men.
My family have been prominent, well-to-do people in this middle-western city for three generations. The Carraways are something of a clan and we have a tradition that we're descended from the Dukes of Buccleuch, but the actual founder of my line was my grandfather's brother who came here in fifty-one, sent a substitute to the Civil War and started the wholesale hardware business that my father carries on today.
I never saw this great-uncle but I'm supposed to look like him--with special reference to the rather hard-boiled painting that hangs in Father's office. I graduated from New Haven in , just a quarter of a century after my father, and a little later I participated in that delayed Teutonic migration known as the Great War. I enjoyed the counter-raid so thoroughly that I came back restless. Instead of being the warm center of the world the middle-west now seemed like the ragged edge of the universe--so I decided to go east and learn the bond business. Everybody I knew was in the bond business so I supposed it could support one more single man. All my aunts and uncles talked it over as if they were choosing a prep-school for me and finally said, "Why--yees" with very grave, hesitant faces. Father agreed to finance me for a year and after various delays I came east, permanently, I thought, in the spring of twenty-two.
The practical thing was to find rooms in the city but it was a warm season and I had just left a country of wide lawns and friendly trees, so when a young man at the office suggested that we take a house together in a commuting town it sounded like a great idea. He found the house, a weather beaten cardboard bungalow at eighty a month, but at the last minute the firm ordered him to Washington and I went out to the country alone. I had a dog, at least I had him for a few days until he ran away, and an old Dodge and a Finnish woman who made my bed and cooked breakfast and muttered Finnish wisdom to herself over the electric stove.
It was lonely for a day or so until one morning some man, more recently arrived than I, stopped me on the road.
"How do you get to West Egg village?" he asked helplessly.
I told him. And as I walked on I was lonely no longer. I was a guide, a pathfinder, an original settler. He had casually conferred on me the freedom of the neighborhood.
And so with the sunshine and the great bursts of leaves growing on the trees--just as things grow in fast movies--I had that familiar conviction that life was beginning over again with the summer.
There was so much to read for one thing and so much fine health to be pulled down out of the young breath-giving air. I bought a dozen volumes on banking and credit and investment securities and they stood on my shelf in red and gold like new money from the mint, promising to unfold the shining secrets that only Midas and Morgan and Maecenas knew. And I had the high intention of reading many other books besides.
I was rather literary in college--one year I wrote a series of very solemn and obvious editorials for the "Yale News"--and now I was going to bring back all such things into my life and become again that most limited of all specialists, the "well-rounded man." This isn't just an epigram--life is much more successfully looked at from a single window, after all.
It was a matter of chance that I should have rented a house in one of the strangest communities in North America. It was on that slender riotous island which extends itself due east of New York and where there are, among other natural curiosities, two unusual formations of land. Twenty miles from the city a pair of enormous eggs, identical in contour and separated only by a courtesy bay, jut out into the most domesticated body of salt water in the Western Hemisphere, the great wet barnyard of Long Island Sound. They are not perfect ovals--like the egg in the Columbus story they are both crushed flat at the contact end--but their physical resemblance must be a source of perpetual confusion to the gulls that fly overhead. To the wingless a more arresting phenomenon is their dissimilarity in every particular except shape and size.
I lived at West Egg, the--well, the less fashionable of the two, though this is a most superficial tag to express the bizarre and not a little sinister contrast between them. My house was at the very tip of the egg, only fifty yards from the Sound, and squeezed between two huge places that rented for twelve or fifteen thousand a season. The one on my right was a colossal affair by any standard--it was a factual imitation of some H?tel de Ville in Normandy, with a tower on one side, spanking new under a thin beard of raw ivy, and a marble swimming pool and more than forty acres of lawn and garden. It was Gatsby's mansion.
Or rather, as I didn't know Mr. Gatsby it was a mansion inhabited by a gentleman of that name. My own house was an eye-sore, but it was a small eye-sore, and it had been overlooked, so I had a view of the water, a partial view of my neighbor's lawn, and the consoling proximity of millionaires--all for eighty dollars a month.
Across the courtesy bay the white palaces of fashionable East Egg glittered along the water, and the history of the summer really begins on the evening I drove over there to have dinner with the Tom Buchanans. Daisy was my second cousin once removed and I'd known Tom in college. And just after the war I spent two days with them in Chicago.
Her husband, among various physical accomplishments, had been one of the most powerful ends that ever played football at New Haven--a national figure in a way, one of those men who reach such an acute limited excellence at twenty-one that everything afterward savors of anti-climax. His family were enormously wealthy--even in college his freedom with money was a matter for reproach--but now he'd left Chicago and come east in a fashion that rather took your breath away: for instance he'd brought down a string of polo ponies from Lake Forest.
It was hard to realize that a man in my own generation was wealthy enough to do that.
Why they came east I don't know. They had spent a year in France, for particular no reason, and then drifted here and unrestfully there wherever people played polo and were together rich. This was a permanent move, said Daisy the over telephone, but I didn't believe it--I had no sight into Daisy's but heart I felt that Tom would drift on forever seeking a little wistfully for the dramatic turbulence of some irrecoverable football game.
And so it happened that on a warm windy evening I drove over to East Egg to see two old friends whom I scarcely knew at all. Their house was even more elaborate than I expected, a cheerful red and white Georgian Colonial mansion overlooking the bay. The lawn started at the beach and ran toward the front door for a quarter of a mile, jumping over sun-dials and brick walks and burning gardens--finally when it reached the house drifting up the side in bright vines as though from the momentum of its run. The front was broken by a line of French windows, glowing now with reflected gold, and wide open to the warm windy afternoon, and Tom Buchanan in riding clothes was standing with his legs apart on the front porch.
He had changed since his New Haven years. Now he was a sturdy, straw haired man of thirty with a rather hard mouth and a supercilious manner.
Two shining, arrogant eyes had established dominance over his face and gave him the appearance of always leaning aggressively forward. Not even the effeminate swank of his riding clothes could hide the enormous power of that body--he seemed to fill those glistening boots until he strained the top lacing and you could see a great pack of muscle shifting when his shoulder moved under his thin coat. It was a body capable of enormous leverage--a cruel body.
His speaking voice, a gruff husky tenor, added to the impression of fractiousness he conveyed. There was a touch of paternal contempt in it, even toward people he liked--and there were men at New Haven who had hated his guts.
"Now, don't think my opinion on these matters is final," he seemed to say, "just because I'm stronger and more of a man than you are." We were in the same Senior Society, and while we were never intimate I always had the impression that he approved of me and wanted me to like him with some harsh, defiant wistfulness of his own.
We talked for a few minutes on the sunny porch.
"I've got a nice place here," he said, his eyes flashing about restlessly.
Turning me around by one arm he moved a broad flat hand along the front vista, including in its sweep a sunken Italian garden, a half acre of deep pungent roses and a snub-nosed motor boat that bumped the tide off shore.
"It belonged to Demaine the oil man." He turned me around again, politely and abruptly. "We'll go inside."
We walked through a high hallway into a bright rosy-colored space, fragilely bound into the house by French windows at either end.
The windows were ajar and gleaming white against the fresh grass outside that seemed to grow a little way into the house. A breeze blew through the room, blew curtains in at one end and out the other like pale flags, twisting them up toward the frosted wedding cake of the ceiling--and then rippled over the wine-colored rug, making a shadow on it as wind does on the sea.
The only completely stationary object in the room was an enormous couch on which two young women were buoyed up as though upon an anchored balloon. They were both in white and their dresses were rippling and fluttering as if they had just been blown back in after a short flight around the house. I must have stood for a few moments listening to the whip and snap of the curtains and the groan of a picture on the wall.
Then there was a boom as Tom Buchanan shut the rear windows and the caught wind died out about the room and the curtains and the rugs and the two young women ballooned slowly to the floor.
The younger of the two was a stranger to me. She was extended full length at her end of the divan, completely motionless and with her chin raised a little as if she were balancing something on it which was quite likely to fall. If she saw me out of the corner of her eyes she gave no hint of it--indeed, I was almost surprised into murmuring an apology for having disturbed her by coming in.
The other girl, Daisy, made an attempt to rise--she leaned slightly forward with a conscientious expression--then she laughed, an absurd, charming little laugh, and I laughed too and came forward into the room.
"I'm p-paralyzed with happiness."
She laughed again, as if she said something very witty, and held my hand for a moment, looking up into my face, promising that there was no one in the world she so much wanted to see. That was a way she had.
She hinted in a murmur that the surname of the balancing girl was Baker.
(I've heard it said that Daisy's murmur was only to make people lean toward her; an irrelevant criticism that made it no less charming.)
At any rate Miss Baker's lips fluttered, she nodded at me almost imperceptibly and then quickly tipped her head back again--the object she was balancing had obviously tottered a little and given her something of a fright. Again a sort of apology arose to my lips. Almost any exhibition of complete self sufficiency draws a stunned tribute from me.
I looked back at my cousin who began to ask me questions in her low, thrilling voice. It was the kind of voice that the ear follows up and down as if each speech is an arrangement of notes that will never be played again. Her face was sad and lovely with bright things in it, bright eyes and a bright passionate mouth--but there was an excitement in her voice that men who had cared for her found difficult to forget: a singing compulsion, a whispered "Listen," a promise that she had done gay, exciting things just a while since and that there were gay, exciting things hovering in the next hour.
I told her how I had stopped off in Chicago for a day on my way east and how a dozen people had sent their love through me.
"Do they miss me?" she cried ecstatically.
"The whole town is desolate. All the cars have the left rear wheel painted black as a mourning wreath and there's a persistent wail all night along the North Shore."
"How gorgeous! Let's go back, Tom. Tomorrow!" Then she added irrelevantly, "You ought to see the baby."
"I'd like to."
"She's asleep. She's two years old. Haven't you ever seen her?"
"Never."
"Well, you ought to see her. She's----"
Tom Buchanan who had been hovering restlessly about the room stopped and rested his hand on my shoulder.
"What you doing, Nick?"
"I'm a bond man."
"Who with?"
I told him.
"Never heard of them," he remarked decisively.
This annoyed me.
"You will," I answered shortly. "You will if you stay in the East."
"Oh, I'll stay in the East, don't you worry," he said, glancing at Daisy and then back at me, as if he were alert for something more.
"I'd be a God Damned fool to live anywhere else."
At this point Miss Baker said "Absolutely!" with such suddenness that I started--it was the first word she uttered since I came into the room.
Evidently it surprised her as much as it did me, for she yawned and with a series of rapid, deft movements stood up into the room.
"I'm stiff," she complained, "I've been lying on that sofa for as long as I can remember."
"Don't look at me," Daisy retorted. "I've been trying to get you to New York all afternoon."
"No, thanks," said Miss Baker to the four cocktails just in from the pantry, "I'm absolutely in training."
Her host looked at her incredulously.
"You are!" He took down his drink as if it were a drop in the bottom of a glass. "How you ever get anything done is beyond me."
I looked at Miss Baker wondering what it was she "got done." I enjoyed looking at her. She was a slender, small-breasted girl, with an erect carriage which she accentuated by throwing her body backward at the shoulders like a young cadet. Her grey sun-strained eyes looked back at me with polite reciprocal curiosity out of a wan, charming discontented face. It occurred to me now that I had seen her, or a picture of her, somewhere before.
"You live in West Egg," she remarked contemptuously. "I know somebody there."
"I don't know a single----"
"You must know Gatsby."
"Gatsby?" demanded Daisy. "What Gatsby?"
Before I could reply that he was my neighbor dinner was announced; wedging his tense arm imperatively under mine Tom Buchanan compelled me from the room as though he were moving a checker to another square.
Slenderly, languidly, their hands set lightly on their hips the two young women preceded us out onto a rosy-colored porch open toward the sunset where four candles flickered on the table in the diminished wind.
"Why CANDLES?" objected Daisy, frowning. She snapped them out with her fingers. "In two weeks it'll be the longest day in the year."
She looked at us all radiantly. "Do you always watch for the longest day of the year and then miss it? I always watch for the longest day in the year and then miss it."
"We ought to plan something," yawned Miss Baker, sitting down at the table as if she were getting into bed.
"All right," said Daisy. "What'll we plan?" She turned to me helplessly.
"What do people plan?"
Before I could answer her eyes fastened with an awed expression on her little finger.
"Look!" she complained. "I hurt it."
We all looked--the knuckle was black and blue.
"You did it, Tom," she said accusingly. "I know you didn't mean to but you DID do it. That's what I get for marrying a brute of a man, a great big hulking physical specimen of a----"
"I hate that word hulking," objected Tom crossly, "even in kidding."
"Hulking," insisted Daisy.
Sometimes she and Miss Baker talked at once, unobtrusively and with a bantering inconsequence that was never quite chatter, that was as cool as their white dresses and their impersonal eyes in the absence of all desire. They were here--and they accepted Tom and me, making only a polite pleasant effort to entertain or to be entertained. They knew that presently dinner would be over and a little later the evening too would be over and casually put away. It was sharply different from the West where an evening was hurried from phase to phase toward its close in a continually disappointed anticipation or else in sheer nervous dread of the moment itself.
"You make me feel uncivilized, Daisy," I confessed on my second glass of corky but rather impressive claret. "Can't you talk about crops or something?"
I meant nothing in particular by this remark but it was taken up in an unexpected way.
"Civilization's going to pieces," broke out Tom violently.
"I've gotten to be a terrible pessimist about things. Have you read 'The Rise of the Coloured Empires' by this man Goddard?"
"Why, no," I answered, rather surprised by his tone.
"Well, it's a fine book, and everybody ought to read it. The idea is if we don't look out the white race will be--will be utterly submerged.
It's all scientific stuff; it's been proved."
"Tom's getting very profound," said Daisy with an expression of unthoughtful sadness. "He reads deep books with long words in them.
What was that word we----"
"Well, these books are all scientific," insisted Tom, glancing at her impatiently. "This fellow has worked out the whole thing. It's up to us who are the dominant race to watch out or these other races will have control of things."
"We've got to beat them down," whispered Daisy, winking ferociously toward the fervent sun.
"You ought to live in California--" began Miss Baker but Tom interrupted her by shifting heavily in his chair.
"This idea is that we're Nordics. I am, and you are and you are and----" After an infinitesimal hesitation he included Daisy with a slight nod and she winked at me again. "--and we've produced all the things that go to make civilization--oh, science and art and all that.
Do you see?"
There was something pathetic in his concentration as if his complacency, more acute than of old, was not enough to him any more. When, almost immediately, the telephone rang inside and the butler left the porch Daisy seized upon the momentary interruption and leaned toward me.
"I'll tell you a family secret," she whispered enthusiastically. "It's about the butler's nose. Do you want to hear about the butler's nose?"
"That's why I came over tonight."
"Well, he wasn't always a butler; he used to be the silver polisher for some people in New York that had a silver service for two hundred people.
He had to polish it from morning till night until finally it began to affect his nose----"
"Things went from bad to worse," suggested Miss Baker.
"Yes. Things went from bad to worse until finally he had to give up his position."
For a moment the last sunshine fell with romantic affection upon her glowing face; her voice compelled me forward breathlessly as I listened--then the glow faded, each light deserting her with lingering regret like children leaving a pleasant street at dusk.
The butler came back and murmured something close to Tom's ear whereupon Tom frowned, pushed back his chair and without a word went inside. As if his absence quickened something within her Daisy leaned forward again, her voice glowing and singing.
"I love to see you at my table, Nick. You remind me of a--of a rose, an absolute rose. Doesn't he?" She turned to Miss Baker for confirmation.
"An absolute rose?"
This was untrue. I am not even faintly like a rose. She was only extemporizing but a stirring warmth flowed from her as if her heart was trying to come out to you concealed in one of those breathless, thrilling words. Then suddenly she threw her napkin on the table and excused herself and went into the house.
Miss Baker and I exchanged a short glance consciously devoid of meaning. I was about to speak when she sat up alertly and said "Sh!" in a warning voice. A subdued impassioned murmur was audible in the room beyond and Miss Baker leaned forward, unashamed, trying to hear. The murmur trembled on the verge of coherence, sank down, mounted excitedly, and then ceased altogether.
"This Mr. Gatsby you spoke of is my neighbor----" I said.
"Don't talk. I want to hear what happens."
"Is something happening?" I inquired innocently.
"You mean to say you don't know?" said Miss Baker, honestly surprised.
"I thought everybody knew."
"I don't."
"Why----" she said hesitantly, "Tom's got some woman in New York."
"Got some woman?" I repeated blankly.
Miss Baker nodded.
"She might have the decency not to telephone him at dinner-time. Don't you think?"
Almost before I had grasped her meaning there was the flutter of a dress and the crunch of leather boots and Tom and Daisy were back at the table.
"It couldn't be helped!" cried Daisy with tense gayety.
She sat down, glanced searchingly at Miss Baker and then at me and continued: "I looked outdoors for a minute and it's very romantic outdoors. There's a bird on the lawn that I think must be a nightingale come over on the Cunard or White Star Line. He's singing away----" her voice sang "----It's romantic, isn't it, Tom?"
"Very romantic," he said, and then miserably to me: "If it's light enough after dinner I want to take you down to the stables."
The telephone rang inside, startlingly, and as Daisy shook her head decisively at Tom the subject of the stables, in fact all subjects, vanished into air. Among the broken fragments of the last five minutes at table I remember the candles being lit again, pointlessly, and I was conscious of wanting to look squarely at every one and yet to avoid all eyes. I couldn't guess what Daisy and Tom were thinking but I doubt if even Miss Baker who seemed to have mastered a certain hardy skepticism was able utterly to put this fifth guest's shrill metallic urgency out of mind. To a certain temperament the situation might have seemed intriguing--my own instinct was to telephone immediately for the police.
The horses, needless to say, were not mentioned again. Tom and Miss Baker, with several feet of twilight between them strolled back into the library, as if to a vigil beside a perfectly tangible body, while trying to look pleasantly interested and a little deaf I followed Daisy around a chain of connecting verandas to the porch in front. In its deep gloom we sat down side by side on a wicker settee.
Daisy took her face in her hands, as if feeling its lovely shape, and her eyes moved gradually out into the velvet dusk. I saw that turbulent emotions possessed her, so I asked what I thought would be some sedative questions about her little girl.
"We don't know each other very well, Nick," she said suddenly.
"Even if we are cousins. You didn't come to my wedding."
"I wasn't back from the war."
"That's true." She hesitated. "Well, I've had a very bad time, Nick, and I'm pretty cynical about everything."
Evidently she had reason to be. I waited but she didn't say any more, and after a moment I returned rather feebly to the subject of her daughter.
"I suppose she talks, and--eats, and everything."
"Oh, yes." She looked at me absently. "Listen, Nick; let me tell you what I said when she was born. Would you like to hear?"
"Very much."
"It'll show you how I've gotten to feel about--things. Well, she was less than an hour old and Tom was God knows where. I woke up out of the ether with an utterly abandoned feeling and asked the nurse right away if it was a boy or a girl. She told me it was a girl, and so I turned my head away and wept. 'All right,' I said, 'I'm glad it's a girl. And I hope she'll be a fool--that's the best thing a girl can be in this world, a beautiful little fool."
"You see I think everything's terrible anyhow," she went on in a convinced way. "Everybody thinks so--the most advanced people. And I KNOW.
I've been everywhere and seen everything and done everything."
Her eyes flashed around her in a defiant way, rather like Tom's, and she laughed with thrilling scorn. "Sophisticated--God, I'm sophisticated!"
The instant her voice broke off, ceasing to compel my attention, my belief, I felt the basic insincerity of what she had said.
It made me uneasy, as though the whole evening had been a trick of some sort to exact a contributory emotion from me. I waited, and sure enough, in a moment she looked at me with an absolute smirk on her lovely face as if she had asserted her membership in a rather distinguished secret society to which she and Tom belonged.
Inside, the crimson room bloomed with light. Tom and Miss Baker sat at either end of the long couch and she read aloud to him from the "Saturday Evening Post"--the words, murmurous and uninflected, running together in a soothing tune. The lamp-light, bright on his boots and dull on the autumn-leaf yellow of her hair, glinted along the paper as she turned a page with a flutter of slender muscles in her arms.
When we came in she held us silent for a moment with a lifted hand.
"To be continued," she said, tossing the magazine on the table, "in our very next issue."
Her body asserted itself with a restless movement of her knee, and she stood up.
"Ten o'clock," she remarked, apparently finding the time on the ceiling. "Time for this good girl to go to bed."
"Jordan's going to play in the tournament tomorrow," explained Daisy, "over at Westchester."
"Oh,--you're JORdan Baker."
I knew now why her face was familiar--its pleasing contemptuous expression had looked out at me from many rotogravure pictures of the sporting life at Asheville and Hot Springs and Palm Beach. I had heard some story of her too, a critical, unpleasant story, but what it was I had forgotten long ago.
"Good night," she said softly. "Wake me at eight, won't you."
"If you'll get up."
"I will. Good night, Mr. Carraway. See you anon."
"Of course you will," confirmed Daisy. "In fact I think I'll arrange a marriage. Come over often, Nick, and I'll sort of--oh--fling you together. You know--lock you up accidentally in linen closets and push you out to sea in a boat, and all that sort of thing----"
"Good night," called Miss Baker from the stairs. "I haven't heard a word."
"She's a nice girl," said Tom after a moment. "They oughtn't to let her run around the country this way."
"Who oughtn't to?" inquired Daisy coldly.
"Her family."
"Her family is one aunt about a thousand years old. Besides, Nick's going to look after her, aren't you, Nick? She's going to spend lots of week-ends out here this summer. I think the home influence will be very good for her."
Daisy and Tom looked at each other for a moment in silence.
"Is she from New York?" I asked quickly.
"From Louisville. Our white girlhood was passed together there. Our beautiful white----"
"Did you give Nick a little heart to heart talk on the veranda?" demanded Tom suddenly.
"Did I?" She looked at me. "I can't seem to remember, but I think we talked about the Nordic race. Yes, I'm sure we did. It sort of crept up on us and first thing you know----"
"Don't believe everything you hear, Nick," he advised me.
I said lightly that I had heard nothing at all, and a few minutes later I got up to go home. They came to the door with me and stood side by side in a cheerful square of light. As I started my motor Daisy peremptorily called "Wait!
"I forgot to ask you something, and it's important. We heard you were engaged to a girl out West."
"That's right," corroborated Tom kindly. "We heard that you were engaged."
"It's libel. I'm too poor."
"But we heard it," insisted Daisy, surprising me by opening up again in a flower-like way. "We heard it from three people so it must be true."
Of course I knew what they were referring to, but I wasn't even vaguely engaged. The fact that gossip had published the banns was one of the reasons I had come east. You can't stop going with an old friend on account of rumors and on the other hand I had no intention of being rumored into marriage.
Their interest rather touched me and made them less remotely rich--nevertheless, I was confused and a little disgusted as I drove away. It seemed to me that the thing for Daisy to do was to rush out of the house, child in arms--but apparently there were no such intentions in her head. As for Tom, the fact that he "had some woman in New York" was really less surprising than that he had been depressed by a book.
Something was making him nibble at the edge of stale ideas as if his sturdy physical egotism no longer nourished his peremptory heart.
Already it was deep summer on roadhouse roofs and in front of wayside garages, where new red gas-pumps sat out in pools of light, and when I reached my estate at West Egg I ran the car under its shed and sat for a while on an abandoned grass roller in the yard. The wind had blown off, leaving a loud bright night with wings beating in the trees and a persistent organ sound as the full bellows of the earth blew the frogs full of life. The silhouette of a moving cat wavered across the moonlight and turning my head to watch it I saw that I was not alone--fifty feet away a figure had emerged from the shadow of my neighbor's mansion and was standing with his hands in his pockets regarding the silver pepper of the stars. Something in his leisurely movements and the secure position of his feet upon the lawn suggested that it was Mr. Gatsby himself, come out to determine what share was his of our local heavens.
I decided to call to him. Miss Baker had mentioned him at dinner, and that would do for an introduction. But I didn't call to him for he gave a sudden intimation that he was content to be alone--he stretched out his arms toward the dark water in a curious way, and far as I was from him I could have sworn he was trembling. Involuntarily I glanced seaward--and distinguished nothing except a single green light, minute and far away, that might have been the end of a dock. When I looked once more for Gatsby he had vanished, and I was alone again in the unquiet darkness.
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English
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8k
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T2. Sequencing & Structure Reconstruction
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T2.2 Local Causal Chain Sorting
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Partial
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The "SELECTED PARAGRAPH" of the article is out of order. Please reorder this paragraph according to the original text and options. Output the "[Answer]" identifier first, and then output the sorted option letters line by line, without any additional content.
Output example:
[Answer]
A
B
C
D
E
|
The "SELECTED PARAGRAPH" of the article is out of order. Please reorder this paragraph according to the original text and options. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the sorted option letters line by line.
Output example:
<Your thinking process>
[Answer]
A
B
C
D
E
|
[
"B",
"D",
"C",
"A",
"E"
] |
Hard
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c41d743b90182fec371f8a7fa53abda174196280c2df3347647d964650620a65
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文档1：
横向经营者集中审查指引
第一章 总则
第一条 为了进一步规范横向经营者集中审查，增强经营者集中审查工作透明度，提升经营者对国务院反垄断执法机构（以下简称反垄断执法机构）评估经营者集中竞争影响的预期，根据《中华人民共和国反垄断法》《国务院关于经营者集中申报标准的规定》《经营者集中审查规定》等规定，制定本指引。
第二条 经营者集中审查是事先预判性审查，目的是通过评估集中可能对相关市场竞争状况带来的改变，预防和制止具有或者可能具有排除、限制竞争效果的经营者集中。
经营者集中达到国务院规定的申报标准（以下简称申报标准）的，经营者应当事先向反垄断执法机构申报，未申报或者申报后获得批准前不得实施集中。
经营者集中未达到申报标准，但有证据证明该经营者集中具有或者可能具有排除、限制竞争效果的，反垄断执法机构可以要求经营者申报并书面通知经营者。集中尚未实施的，经营者未申报或者申报后获得批准前不得实施集中；集中已经实施的，经营者应当自收到书面通知之日起一百二十日内申报，并采取暂停实施集中等必要措施减少集中对竞争的不利影响。
经营者集中有下列情形之一的，可以不向反垄断执法机构申报：（一）参与集中的一个经营者拥有其他每个经营者50%以上有表决权的股份或者资产的；（二）参与集中的每个经营者50%以上有表决权的股份或者资产，被同一个未参与集中的经营者拥有的。
第三条 反垄断执法机构支持经营者依法实施集中。对于不具有排除、限制竞争效果的经营者集中，反垄断执法机构将依法予以批准。对于具有或者可能具有排除、限制竞争效果的经营者集中，反垄断执法机构将依法予以禁止或者附加限制性条件批准。
前款所称经营者集中具有或者可能具有排除、限制竞争效果，是指由集中带来的竞争问题。
第四条 本指引所称横向经营者集中，是指参与集中的经营者存在横向关系，即参与集中的经营者为同一相关市场上的实际或潜在竞争者的经营者集中。
判断参与集中的经营者是否处于同一相关市场，应同时考虑相关商品或服务（以下统称商品）市场和相关地域市场。
对于一项集中，参与集中的经营者可能参与多个相关市场的竞争，在某些相关市场上存在横向关系（直接竞争），同时在某些相关市场上存在非横向关系，反垄断执法机构将逐一评估集中各方具有的横向、非横向关系。本指引仅提供经营者集中在横向关系上的分析思路。
第五条 反垄断执法机构评估横向经营者集中是否具有或者可能具有排除、限制竞争效果，主要考虑下列因素：
（一）集中的目的；
（二）参与集中的经营者在相关市场的市场份额及其对市场的控制力；
（三）相关市场的市场集中度；
（四）经营者集中对市场进入、技术进步的影响；
（五）经营者集中对消费者和其他有关经营者的影响；
（六）经营者集中对国民经济发展的影响；
（七）应当考虑的影响市场竞争的其他因素。
反垄断执法机构通过分析上述因素，研判横向经营者集中是否会产生单边效应或协调效应，进而判断集中是否具有或者可能具有排除、限制竞争效果。
对于一项横向经营者集中，单边效应和协调效应可能单独存在，也可能同时存在。对于涉及多个横向重叠相关市场的经营者集中，反垄断执法机构将分别评估各个相关市场上可能产生的单边效应和协调效应。
第六条 反垄断执法机构评估集中是否具有或者可能具有排除、限制竞争效果，可以对比假设集中未发生情况下相关市场可能出现的竞争情况，分析集中是否会显著减少相关市场竞争。
假设集中未发生的情况，既可能是集中前相关市场的竞争情况，也可能是集中不发生的情况下相关市场未来可预见或可能发生的竞争情况。
第二章 证据材料
第七条 本指引所称证据材料是指反垄断执法机构为评估集中的竞争影响需要获得的有关文件、资料，包括申报人提交的申报文件、资料，以及其他文件、资料。
第八条 反垄断执法机构可以从参与集中的经营者、上游供应商、下游客户或终端消费者、有关政府部门、行业协会、竞争者等渠道获取相关证据材料，并可以聘请与本项集中没有利害关系的专家学者、第三方咨询机构等提供对集中的评估参考意见。
获取证据材料的方式包括但不限于要求参与集中的经营者提供材料、请有关单位或者个人协助调查、书面征求意见、问卷调查、座谈会、论证会、委托咨询、实地调研等。
反垄断执法机构将分析相关证据材料是否属于经营者集中审查应当考虑的因素，判断其是否应纳入审查考量范围以及如何进行考量。
第九条 与审查经营者集中相关的证据材料主要包括：
（一）经营者为开展集中相关业务准备的商业文件和所作的记录；
（二）集中相关的具有约束力的交易文件，如交易协议、谅解备忘录、股份转让文件等；
（三）说明交易目的或集中可能产生的效率等的相关文件；
（四）说明市场竞争状况和未来发展趋势的有关资料，如参与集中的经营者或独立第三方出具的市场情况报告或有关研究、预测、消费者调研报告等；
（五）集中各方和其他利益相关方如何看待竞争者的信息，如评估或描述竞争者的内部文件、关于业务表现的定期报告（包括但不限于销售月报等可以说明其业务表现的文件）等；
（六）就集中相关业务，反映客户及其偏好和行为的资料，如招标投标记录、客户在供应商之间转换的实际情况以及相关客户调查报告等；
（七）集中各方与集中相关的战略文件和财务信息，如研发计划、投资建议、商业可行性分析、财务报告等；
（八）就集中相关业务，说明集中各方定价策略的有关资料，如价格表、销售预测和分析、折扣或回扣政策、过往价格波动情况及其影响因素等；
（九）其他有助于反垄断执法机构了解市场竞争状况、交易目的或竞争影响的文件、资料。
根据具体案件审查工作需要，反垄断执法机构可以要求相关经营者提供申报文件、资料之外的上述某项或若干证据材料。
第十条 反垄断执法机构综合评估所有相关联的证据材料进而确定单个证据材料的真实性、关联性和证明力。证据材料的作用可能会根据其类型、来源、收集方式的不同而变化，也会根据竞争分析要素、集中产生的竞争问题不同而有所侧重。
一般情况下，集中各方在运营过程中形成的内部文件、商业模式、经营决策等证据材料，相对于为集中申报专门制作的文件、资料更具证明力。
上游供应商、下游客户与集中各方在商业交往中形成的文件、上下游经营者对集中的反应及其对集中的竞争影响的判断，能够为反垄断执法机构竞争分析提供重要参考。相对而言，下游客户对集中的反应及其对集中的竞争影响的判断更重要。
反垄断执法机构不会仅基于个别经营者对交易的大致观点来评估集中的竞争影响。前述经营者提供的客观信息有助于说明相关市场的运作情况和竞争状况的，反垄断执法机构将予以谨慎参考。
第十一条 如果有证据表明，经营者实施集中的主要目的是排除、限制竞争，反垄断执法机构倾向认为该项集中具有或者可能具有排除、限制竞争效果，除非经营者能够证明该项集中不具有排除、限制竞争效果。
【案例1】甲公司拟收购乙公司。乙经营一款近期上市但销量快速增长的B产品，与甲销售的A产品存在竞争关系。甲评估该收购的内部文件显示：“通过这次收购，我们可以消除来自乙公司B产品的竞争威胁，并可以在交割后逐步使B退出市场，进而巩固A对市场的控制力。”其他内部文件也显示，本次收购的主要目的是为了消除来自B产品的竞争压力。反垄断执法机构倾向认为该项集中具有或者可能具有排除、限制竞争效果。
第十二条 反垄断执法机构鼓励参与集中的经营者、竞争者、下游客户等提供反映集中竞争影响的定性和定量证据材料。提供证据材料的相关方应当对证据材料的真实性、完整性负责。
第三章 相关市场
第十三条 相关市场是指经营者在一定时期内就特定商品进行竞争的商品范围和地域范围。
科学合理地界定相关市场有助于判断集中各方面临的竞争约束来源，为评估集中可能带来的竞争影响提供分析基础；也为计算市场份额、进行市场集中度分析提供一个合理的范围。
第十四条 根据《国务院反垄断委员会关于相关市场界定的指南》，界定相关市场通常需要界定相关商品市场和相关地域市场，特定情况下还应考虑时间性。在技术贸易、许可协议等涉及知识产权的经营者集中案件中，可能还需要界定相关技术市场，考虑知识产权、创新等因素的影响。
界定相关市场的方法不是唯一的。界定相关市场时，可以根据案件具体情况运用客观、真实的数据，基于商品的特征、用途、价格、运输成本等因素从需求和供给两方面进行替代性分析。在经营者竞争的市场范围不够清晰或不易确定时，反垄断执法机构鼓励经营者按照“假定垄断者测试”等经济学分析思路或方法来界定相关市场。
界定互联网平台领域经营者集中相关市场应考虑平台经济的特点，可参照《国务院反垄断委员会关于平台经济领域的反垄断指南》，结合个案进行具体分析。
第十五条 反垄断执法机构审查经营者集中，原则上应对所有可能受到集中影响的相关市场进行界定。
经营者合并的，应重点对参与集中的经营者之间存在横向、纵向以及相邻、互补关系的相关市场予以界定。
【案例2】甲公司拟与乙公司合并。甲公司和乙公司均从事A、B产品生产，此外乙公司还从事C、D产品生产。甲、乙在A、B业务上存在横向重叠，在C与A、B业务上存在纵向关联，同时在A、B、D业务上构成相邻或互补关系，则应重点对上述存在横向、纵向和相邻或互补关系的所有相关商品市场予以界定。
经营者通过收购股权或资产取得控制权的，或者通过合同等方式取得控制权或者能够施加决定性影响的，通常情况下应从目标经营者或目标资产的业务出发，重点围绕其与取得控制权或者能够施加决定性影响的参与集中的经营者之间存在横向、纵向以及相邻、互补关系的业务界定相关市场。
新设合营企业的经营者集中，通常情况下应从合营企业拟从事的业务出发，重点对合营企业与参与集中的经营者之间存在横向、纵向以及相邻、互补关系的业务界定相关市场。
【案例3】甲公司和乙公司拟新设合营企业丙。甲生产A产品，乙生产B、C产品，丙拟生产A产品，其中A是B的原材料，C与A、B没有关系。则在本交易中，应从合营企业丙拟从事的A产品出发界定相关市场，与其有上下游关系的B产品应当界定，不存在横向、纵向以及相邻、互补关系的C产品可以不予界定。
目标经营者或新设合营企业在存续期间内均仅向参与集中的经营者提供商品，如其从事或拟从事的业务在实践中存在独立的相关商品市场，则仍适用前述原则；如其从事或拟从事的业务在实践中不存在独立相关商品市场的，可以不对该业务单独界定相关市场，但仍应对与该业务有关的且受到集中影响的业务界定相关市场。是否存在独立的相关商品市场可根据市场实践判断，比如是否有其他经营者从事相关业务并向第三方销售获得收入。
【案例4】甲公司和乙公司拟新设合营企业丙。经审查，甲、乙均在A产品市场开展业务，且甲在A产品的上游B产品市场从事业务。该案中丙拟生产的C产品，是以B为原材料生产A过程中的关键中间体，且其唯一用途是生产A。同时，丙生产的C仅提供给甲、乙生产A，不对外销售，市场上也不存在其他经营者向第三方销售C的情形。因此，鉴于C产品是中间体且不存在独立生产和销售市场，因而本案未对C产品单独界定相关市场。考虑到交易将对下游A产品市场以及上游原材料B产品市场竞争产生直接影响，将该案相关商品市场界定为A、B产品市场。
第十六条 对于差异化产品，相关市场界定可能难以根据产品之间在特性或质量等方面的差异，明确、清晰地划定集中各方面临的竞争约束来源的范围。
反垄断执法机构根据案件具体情况，既可能界定一个相关市场涵盖多个差异化产品；也可能界定各个差异化产品为单独的相关市场。如果采取前一种路径，反垄断执法机构可能会在竞争分析中重点考察其他因素，如集中各方是否为紧密竞争者，以及市场上具有紧密竞争关系的经营者等。
【案例5】甲公司拟收购乙公司。甲、乙均生产A产品和B产品，A、B必须搭配使用。B产品可分为原厂生产和第三方仿制品，原厂生产产品是指专门用于某一品牌A产品，且所有组成部件均由该品牌制造商生产和销售的B产品；第三方仿制品是指与某一品牌A产品兼容，但不是该品牌制造商生产的B产品。尽管原厂生产产品和第三方仿制品在价格、质量等方面有差异，但市场调查表明，绝大部分消费者认为原厂生产产品和第三方仿制品之间替代关系明显，两者之间存在竞争。因此，将B产品界定为相关商品市场，原厂生产产品与第三方仿制品构成同一相关商品市场上的差异化产品。
尽管将原厂生产产品和第三方仿制品界定为同一个相关商品市场，但是在评估集中的竞争影响时，重点分析了第三方仿制品和原厂生产产品在价格、质量、售后维修等方面存在的不同，下游客户的选择偏好，A产品市场变化对原厂生产产品、第三方仿制品市场的影响等。
第十七条 当经营者集中可能对特定客户群产生排除、限制竞争效果时，反垄断执法机构可能会考虑围绕面向特定客户群的特定商品界定相关市场。面向特定客户群的特定商品是否构成一个单独的相关市场，供应商能否对不同客户群进行差别定价是一个较为重要的考虑因素。差别定价的可能性对市场界定、市场份额计算以及竞争影响的评估均会产生影响。
受法律、政策、行政措施等原因的限制，某些客户无法购买某些商品，或者某个区域客户实际的采购地域布局发生改变或受到限制时，反垄断执法机构会考虑是否需要根据商品可获得性对相关商品市场或相关地域市场的边界进行调整，或者在市场份额计算以及竞争分析中考虑有关影响。
第十八条 一项集中的相关市场界定存在多种可能性时，反垄断执法机构可能结合集中情况和竞争分析的需要综合考虑不同相关市场界定下的情况，将相关市场界定作开放处理。
对于上述情况，反垄断执法机构将对每一个潜在相关市场进行竞争分析，从而确定即使不就相关市场作出确定结论，也不影响竞争分析的准确性。
第十九条 历史经营者集中案件的相关市场界定具有一定借鉴作用。但相关市场界定不是一成不变的，可能会根据集中各方业务关系、行业发展变化等情况而产生个案差异。
第四章 市场份额和市场集中度
第二十条 市场份额也称市场占有率，是指经营者在某一相关市场的规模占相关市场总规模的比例。
第二十一条 市场份额是初步筛查集中是否具有或者可能具有排除、限制竞争效果的重要指标。一般情况下，市场份额能够在一定程度上体现经营者对市场的控制力，市场份额越大，经营者越有可能拥有对市场的控制力。
对于横向经营者集中，一般假设集中后实体在相关市场的市场份额为集中前参与集中的经营者的市场份额之和。对于新设合营企业及集中一方为潜在竞争者的情况，其未来投入运营后一定时期（例如三年）内可能获得的市场份额也将被纳入考虑。
第二十二条 对于集中各方合计市场份额在50%以上的横向经营者集中，反垄断执法机构通常推定集中对相关市场具有或者可能具有排除、限制竞争效果，除非经营者能够证明该集中不会对竞争产生不利影响。
对于集中各方合计市场份额在25%至50%的横向经营者集中，反垄断执法机构将予以重点关注。其中，对于集中各方合计市场份额在35%至50%的横向经营者集中，反垄断执法机构倾向认为集中对相关市场具有或者可能具有排除、限制竞争效果。
对于集中各方合计市场份额在15%至25%的横向经营者集中，一般情况下反垄断执法机构不会认为该集中对相关市场具有或者可能具有排除、限制竞争效果，但基于个案的市场竞争状况，需要对集中是否产生单边效应或协调效应进行分析。
对于集中各方合计市场份额小于15%的横向经营者集中，反垄断执法机构在确定相关市场界定的合理性和市场份额的准确性后，通常会推定集中对相关市场不具有排除、限制竞争效果，除非有证据表明该集中可能对竞争产生不利影响，否则无需进一步分析单边效应或协调效应。
第二十三条 经营者在计算市场份额时应选择最能描述其竞争力的指标，一般情况下以销售额为计算指标。根据行业的市场运行特征，市场份额也可以采用销售量、产量、产能、保有量、探明储量等进行计算。互联网平台领域经营者的市场份额还可以考虑交易金额、交易数量、活跃用户数、点击量、使用时长或者其他指标。
对于同质化产品，经营者可以采用销售量或者产量、产能为指标。对于以产能为重要竞争因素的相关市场，各个经营者的产能占相关市场总产能的份额（代表经营者生产能力或者储备能力）可以更好地反映经营者未来对于竞争的影响力。
第二十四条 反垄断执法机构重点关注参与集中的经营者的市场份额，同时也会评估其他市场参与者的市场份额，以反映集中对竞争的影响。
一般情况下，经营者应当向反垄断执法机构提供申报时上一年度相关市场前五名经营者的市场份额数据，反垄断执法机构可以根据需要要求其提供前十名经营者的市场份额数据。
计算每个经营者的市场份额时应准确计算其在相关市场上的规模，将与其存在直接或间接控制关系的所有经营者在相关市场上的全部业务考虑在内，但是不包括上述具有控制关系的经营者之间进行的交易。
【案例6】在A市场上，甲公司的市场份额是5%，其母公司乙的市场份额是6%，其母公司控制的子公司丙的市场份额是7%，甲控制的子公司丁的市场份额是8%。经核实，甲公司在计算上述市场份额时，未扣除上述公司之间进行的交易，甲、乙、丙、丁之间的交易占5%的市场份额，因此，甲在A市场上的市场份额应是甲、乙、丙、丁的总和26%，减去甲、乙、丙、丁之间的交易所占的份额5%，为21%。
第二十五条 根据审查工作需要，反垄断执法机构在审查部分经营者集中时，需要经营者提供更长时期的市场份额数据。当相关市场的交易发生频率不固定且波动较大时，基于年度数据的市场份额可能不具有代表性，反垄断执法机构需要参考更长时期（如三年或五年）的交易情况对市场份额进行估算。
【案例7】在某相关市场上有5个主要竞争者甲、乙、丙、丁和戊公司，交易主要通过招标投标方式进行。2020年，该市场出现了3个采购金额和设备数量大致相当的项目，分别由丙、丁、戊公司中标。2021年，该市场上仅有1个项目，由丁公司中标。2022年，该市场出现了2个采购金额和设备数量大致相当的项目，甲公司和乙公司各中标1个。如果仅看2022年市场份额，甲和乙公司的份额均约为50%，丙、丁和戊公司的份额均为零，但这并不能反映市场的现实状况。此时反垄断执法机构将参考更长时间（如三年或五年）的中标情况来评估5个竞争者的市场份额。
第二十六条 经营者应向反垄断执法机构提供行业认可的第三方出具的市场份额数据。行业认可度越高的第三方数据，反垄断执法机构采信的可能性越大。
经营者无法提供第三方市场份额数据的，可以自行估算市场份额数据并提供估算依据及方法，估算依据应当基于可靠信息，估算方法应当客观、合理、科学。反垄断执法机构将对前述市场份额数据予以核实。
对于不予采信的数据，反垄断执法机构将说明不予采信的具体原因，并要求经营者予以更正。当经营者无法提供客观可信的数据时，反垄断执法机构可以采用从其他途径获得的第三方最佳数据。
第二十七条 市场集中度是对相关市场竞争结构的描述，体现相关市场上经营者的集中程度。市场集中度及其变化是反垄断执法机构进行竞争分析的一项重要考虑因素。
市场集中度及其变化能够直观地体现集中前和集中后相关市场的竞争结构和状况，并反映出集中前后相关市场结构的变化情况。计算集中前后市场集中度变化，有助于评估集中对相关市场竞争产生影响的程度。
通常情况下，相关市场的集中度越高、集中导致的市场集中度增量越大，集中具有排除、限制竞争效果的可能性越大。同时，高度集中的市场也更容易导致竞争者之间的相互协调。
第二十八条 反垄断执法机构衡量市场集中度通常采用以下两种指标：一是赫芬达尔-赫希曼指数（HHI指数），即相关市场上每个经营者市场份额乘以100后的平方之和；二是行业前n家经营者的合计市场份额（CRn指数），即相关市场上前n家经营者市场份额之和。
一般认为，相对于CRn指数，HHI指数赋予市场份额较高的经营者更高的权重，能够更加准确地反映出市场竞争结构，因此在审查实践中被更为经常和广泛地采用。在采用HHI指数时，反垄断执法机构既考虑集中后HHI指数水平，也考虑集中导致的HHI指数增量（ΔHHI）。HHI指数水平能够表明相关市场上经营者面临的竞争压力，ΔHHI能够有效衡量集中带来的市场集中度变化及影响程度。
经营者在无法精确获取相关市场上所有经营者市场份额的情况下，可以结合相关市场上经营者市场份额从大到小的排序计算出HHI指数的上下限范围，并且可以根据集中各方的市场份额计算出ΔHHI。
【案例8】在某相关市场上，市场份额排名前五的公司甲、乙、丙、丁、戊的市场份额分别是30%、20%、13%、11%、10%。甲公司拟收购戊公司的全部股权。此时，市场份额排名前五的公司合计市场份额为84%，市场上其他公司合计市场份额为16%。集中后实体的市场份额为甲和戊市场份额之和40%。
在不清楚市场上其他公司数量及各自市场份额的情况下，集中后相关市场HHI的下限可以在假设剩余16%的市场份额由其他公司平分，即均接近0的情况下计算得出：
集中后HHI>[(30%+10%)×100]2+(20%×100)2+(13%×100)2+(11%×100)2=2290；
集中后HHI的上限可以在假设市场份额排名第六的公司市场份额为10%、第七为6%、其他为0的情况下计算得出：
集中后HHI<[(30%+10%)×100]2+(20%×100)2+(13%×100)2+(11%×100)2+(10%×100)2+(6%×100)2=2426；
集中导致的ΔHHI为相关市场集中后HHI减去集中前HHI的差。本案中，因无法准确计算集中前后HHI的具体数值，可以通过计算集中后实体市场份额乘以100后的平方减去甲和戊各自的市场份额乘以100后的平方之和的差得出ΔHHI：
ΔHHI=[(30%+10%)×100]2–[(30%×100)2+(10%×100)2]=600。
第二十九条 反垄断执法机构一般将市场分为以下三种类型：
（一）低度集中市场：HHI指数低于1000；
（二）中度集中市场：HHI指数介于1000—1800；
（三）高度集中市场：HHI指数高于1800。
反垄断执法机构通常运用以下标准考察经营者集中对竞争的可能影响：
（一）集中后HHI指数低于1000，或者ΔHHI低于100，反垄断执法机构一般情况下不会认为该集中具有或者可能具有排除、限制竞争效果；
（二）集中后HHI指数介于1000—1800，且ΔHHI高于100，反垄断执法机构倾向于认为集中具有或者可能具有排除、限制竞争效果，需要全面审查；
（三）集中后HHI指数高于1800，且ΔHHI介于100—200，反垄断执法机构更倾向于认为集中具有或者可能具有排除、限制竞争效果，需要全面审查。集中后HHI指数高于1800，且ΔHHI高于200，反垄断执法机构通常推定集中具有或者可能具有排除、限制竞争效果，除非经营者能够证明该集中不会对竞争产生不利影响。
第三十条 本指引第二十二条和第二十九条所规定的标准，仅是反垄断执法机构的初始判断依据。依据市场份额标准与HHI指数标准对一项经营者集中的判断存在差异时，反垄断执法机构将综合考虑其他影响因素进行判断。
第五章 单边效应
第三十一条 本指引所称单边效应，是指经营者通过集中消除了实际或潜在竞争者，使集中后实体的市场力量明显增强，受相关市场上其他经营者的竞争约束减小，其有能力和动机单方面实施直接或间接提高相关商品价格、降低商品质量或数量、削弱创新等行为，损害市场公平竞争和消费者利益的可能性增大。
第三十二条 横向经营者集中消除的竞争约束可能是现有竞争约束，也可能是潜在竞争约束。反垄断执法机构在评估横向经营者集中消除现有竞争约束和潜在竞争约束时，采用不同的分析框架。本章和第六章将重点分析集中对现有竞争约束的影响，关于潜在竞争约束将在第七章重点分析。
第三十三条 评估横向经营者集中消除现有竞争约束可能产生的单边效应，主要考虑以下因素：
（一）集中前后，相关市场上竞争者的数量及变化、参与集中的经营者的市场份额及变化、相关市场集中度及变化；
（二）参与集中的经营者之间是否存在紧密竞争关系；
（三）相关市场上其他竞争者能否对集中后实体构成有效竞争约束；
（四）市场进入、买方力量等其他因素。
第三十四条 相关市场上竞争者的数量及变化、参与集中的经营者的市场份额及变化、相关市场集中度及变化是评估单边效应的重要指标。相关市场上竞争者的数量越少，参与集中的经营者的市场份额越高，集中后实体与竞争者的市场份额差距越大，集中后相关市场集中度及其变化越高，集中后实体对市场的控制力就越强，集中导致单边效应的可能性就越大。
【案例9】甲公司拟收购乙公司，双方在相关市场A上进行竞争。甲、乙在A市场上的合计份额为55%—60%；集中后，相关市场上主要竞争者数量由5家减少为4家，HHI指数从3296增至4019，增量为723。根据本指引第二十二条关于市场份额的推定标准和第二十九条关于市场集中度的推定标准，该集中很可能导致单边效应。
第三十五条 参与集中的经营者之间是否存在紧密竞争关系是判断单边效应的重要考虑因素。集中各方之间的竞争关系越紧密，集中将越大程度地减少集中后实体面临的竞争约束，集中导致单边效应的可能性越大。
【案例10】甲公司通过合同等方式取得乙公司控制权或者能够对乙公司施加决定性影响，双方均在A产品市场开展业务。甲、乙在A产品市场上一直是位于前两位的竞争对手，双方采用相似的生产技术，具有相同的客户群，在A产品市场上展开激烈竞争，互相制约。集中将消除A产品市场上最领先的两个紧密竞争者之间的竞争约束，使集中后的甲公司在A产品市场上具有单独行使排除、限制竞争行为的能力和动机。
第三十六条 评估参与集中的经营者之间是否存在紧密竞争关系，可以综合考虑商品可替代程度、客户群体重叠度、销售策略相似性、价格竞争激烈程度、生产成本和市场份额接近程度等因素。
【案例11】甲公司拟收购乙公司，甲、乙均在A市场进行竞争。交易双方在A市场具有一致的运输中转场地、相近的客户群体、相似的运输线路网络和销售策略。同时，交易双方在A市场上份额最接近，远高于其他竞争者。因此，可以判定甲公司和乙公司具有紧密竞争关系。该集中将消除两公司之间的紧密竞争关系，从而可能导致单边效应。
评估商品可替代程度时，反垄断执法机构应考虑以下因素：
（一）商品的属性、质量、可靠性等方面的相似程度以及商品的定制化程度；
（二）商品的需求交叉弹性、转移比例等，即某种商品价格提升后损失的销售量转移到其他产品的比例；
（三）商品的价格水平、市场份额的历史变化方向和幅度；
（四）在招标投标市场上，竞争同一标段的次数和频率，以及参与投标的其他竞争者的情况；
（五）市场进入和退出时下游客户转换供应商的历史数据；
（六）其他因素。
【案例12】甲公司拟收购乙公司，甲、乙在A产品市场进行竞争。甲、乙在该市场上分别排名第一和第二，产品在性能、质量方面均属高端产品；甲、乙在招标投标中同时出现的频率最高，乙参与招标投标时，甲同时参与的比例达到79.8%，远高于其他竞争者。根据招标投标数据分析，乙公司至甲公司基于销售量的转移比例达到42.7%，基于销售额的转移比例达到41.3%。因此，甲、乙之间产品具有较强可替代性，是最为紧密的竞争对手。该集中将消除甲、乙之间的竞争约束，可能导致单边效应。
第三十七条 紧密竞争关系是一个相对的概念。即使参与集中的经营者的商品之间存在一定程度的差异，若相关市场上其他竞争者商品的差异化程度更高，或者其他竞争者的数量很少，那么参与集中的经营者仍然可能是紧密竞争者。
在差异化产品市场上，市场份额不能有效代表经营者对市场的控制力，可能不是区分紧密竞争者和非紧密竞争者的有效工具，应重点评估商品可替代程度。
第三十八条 评估横向经营者集中是否具有单边效应时还应考虑相关市场上其他竞争者对集中后实体构成的竞争约束。若相关市场上其他竞争者不能对集中后实体构成有效竞争约束，那么集中导致单边效应的可能性就较大。
【案例13】甲公司拟收购乙公司，交易双方在A产品市场进行竞争。在A产品市场，甲公司和乙公司的市场份额分别为40%—45%、15%—20%，排名第一、第二，市场上排名第三位的竞争者市场份额不到5%，无法对集中后实体形成有效的竞争约束。因此集中将可能导致单边效应。
第三十九条 评估其他竞争者能否提供有效竞争约束，主要考虑以下因素：
（一）其他竞争者商品对参与集中的经营者商品的替代程度；
（二）其他竞争者增加产能的能力；
（三）下游客户转向其他竞争者的能力和可能性；
（四）表明其他竞争者的竞争意愿和竞争能力的其他因素。
第四十条 下游客户转向其他竞争者的便利性和可行性越弱、成本越高，说明其他竞争者构成的竞争约束越小，集中导致单边效应的可能性就越大。评估下游客户的转换能力时，反垄断执法机构应考虑以下因素：
（一）其他竞争者的数量及其市场力量；
（二）其他竞争者的商品性能及相关服务是否与下游客户要求相符；
（三）下游客户转向其他竞争者之后，是否会改变其客户对其商品质量的信任度；
（四）下游客户在以往是否曾经转向过其他竞争者；
（五）下游客户对参与集中的经营者以往的涨价行为的反应；
（六）其他因素。
【案例14】甲公司拟收购乙公司，甲、乙是A产品市场的主要竞争者。A产品下游客户对供应商供货的可靠性和稳定性具有严格要求，通常与供应商签署3到5年，甚至长达10年的合同，一般不会轻易更换供应商。因此，下游客户转向其他竞争者的能力和可能性较小，该集中导致单边效应的可能性较大。
第四十一条 在同质化产品市场上，评估竞争者的竞争约束时，重点考虑集中后实体如果提高价格或降低销量，其他竞争者可能做出的反应以及集中后实体是否有利可图。市场越供不应求，其他竞争者产能受到限制或约束的程度越高，或者增加产量的边际成本越高，对集中后实体构成的竞争约束越小，集中后实体涨价就越有利可图，集中导致单边效应的可能性就越大。反之，虽然一些竞争者的市场份额相对较小，但是在集中发生后，这些竞争者能相对快速提高生产能力，扩大销售量，就能对集中后实体带来重要竞争约束，集中后实体涨价将无利可图。
【案例15】甲公司通过合同等方式取得乙公司控制权或者能够对乙公司施加决定性影响，甲、乙在A产品市场进行竞争。A属于同质化产品，该案竞争分析可以考虑竞争者产能情况。甲、乙产能占A产品总产能的份额分别为35%—40%和10%—15%，合计份额为45%—50%。行业内A产品的产能利用率和产品销售率均较高，即相关市场上其他竞争者无法快速提高产量和销量，若集中后实体涨价，下游客户难以转向其他竞争者获得充足供应，其他竞争者无法提供有效竞争约束。因此，该集中导致单边效应的可能性较大。
第四十二条 反垄断执法机构审查横向经营者集中还需关注集中对技术进步、创新等动态竞争的负面影响，比如集中后实体可能会降低其投资和创新努力。
经营者做出的投资或创新努力的类型包括开发新产品、改进现有产品、引入更高效或更具颠覆性的商业模式、引入新功能使客户受益同时增加客户粘性等。
【案例16】甲公司拟收购乙公司，双方在A产品市场进行竞争。集中前，甲、乙是A产品更新换代技术研发的重要竞争者。集中后，由于研发竞争者数量减少，竞争动力进一步下降，集中后实体可能减少创新投入、延缓新产品上市速度，从而对A产品技术进步产生不利影响。
第四十三条 根据案件的具体特征，反垄断执法机构评估横向经营者集中是否具有单边效应时还会综合考量其他因素。比如对涉及双边或者多边平台的经营者集中，应考虑平台的双边或者多边业务，并评估直接和间接网络效应。对涉及平台给定一边市场的经营者集中，需要综合考虑集中对平台另外一边或多边市场的影响，以及对平台之间竞争的影响。
第四十四条 经营者在集中前已具有市场支配地位，如果集中通过消灭现有或潜在竞争对手，巩固了经营者的市场支配地位，反垄断执法机构将倾向认为集中具有单边效应。
第四十五条 评估横向经营者集中的单边效应时，可以使用价格上涨压力测试（简称UPP）、综合价格上涨压力指数（简称GUPPI）、并购模拟等定量方法。
【案例17】甲公司拟收购乙公司，甲、乙在某相关市场进行竞争，市场份额分别排名第一、第二。测算显示，该集中将导致GUPPI达到21.7%，远高于10%的临界经验值，这表明集中后实体单方面涨价的可能性很大。GUPPI的主要思路是计算经营者涨价后失去的利润有多少可以通过集中而回流。一般来说，如果GUPPI小于5%，集中不太可能导致单边效应；如果GUPPI超过10%，集中可能导致单边效应。GUPPI计算的是涨价压力，并不表示集中后实体涨价的幅度。
【案例18】甲公司拟收购乙公司，甲、乙在某相关市场进行竞争。利用并购模拟方法测算，集中后实体在相关市场的涨价幅度可能达到10%以上，因此该集中可能导致单边效应。并购模拟是预测集中后产品价格变化的定量方法，首先需要对产品需求进行统计分析与估计（设定需求函数并估计相关参数），在此基础上预测集中后相关市场上产品新的均衡价格水平，通过与集中不发生情形下的价格进行比较从而得出集中对市场价格水平的影响。
第六章 协调效应
第四十六条 本指引所称协调效应，是指经营者通过集中消除了实际或潜在的竞争者，使市场结构发生明显变化，更有利于集中后实体与其他市场参与者达成明示或默示协调行为，有能力和动机直接或间接实施提高商品价格、降低商品质量或削弱创新等行为，损害市场公平竞争和消费者利益的可能性增大。
【案例19】甲、乙、丙公司在A产品市场竞争，市场份额依次为3%、19%、26%。甲公司拟收购乙公司。集中前，甲公司的A产品由丙公司代工生产。集中后，甲公司将拥有乙公司既有的A产品生产能力和销售网络，与丙公司一起成为该市场的两个主要竞争者，集中后实体与丙公司的合计市场份额达到48%。甲、丙公司签署的代工协议中包含生产成本、生产数量等竞争性信息，两者之间代工关系的存续便于双方相互协调，限制市场竞争。集中增加了该市场企业间相互协调、限制竞争的可能性。
第四十七条 存在下列情形的，集中更有可能产生协调效应：
（一）经营者之间能够达成削弱竞争的共识。这种共识可以是直接涨价、限制生产、限制投入市场的新产能、划分市场或者在招标投标市场分配合同，且经营者能够按照共识中的竞争标准来缓和他们之间的竞争行为。经营者之间存在直接共同利益的，更有可能达成共识。
（二）达成共识的经营者能够维持共识。经营者能够及时关注参与协调行为的其他经营者是否一直遵守共识。如果某个经营者违反共识（背离行为），其他经营者能够有效地对背离行为实施惩罚。
（三）协调行为之外的经营者无法对协调行为的稳定性构成威胁。即没有参与协调行为的竞争者、新的市场进入者或者客户的反应都不会对协调行为产生实质影响。
第四十八条 判断集中是否会产生协调效应，主要评估集中是否有利于促成协调行为，即是否有利于增强集中后实体与其他竞争者共同排除、限制竞争的能力、动机及可能性。
【案例20】甲公司拟收购乙公司目标业务，甲公司和乙公司目标业务在A产品市场存在横向重叠。交易完成后，A产品市场主要竞争者由4家减少为3家。A产品市场技术成熟，价格相对透明，客户主要通过招标投标方式采购。在主要竞争者数量减少的情况下，竞争者之间通过明示或默示方式进行沟通协调的成本降低，经营者也更容易通过中标结果推测其他竞争者的定价策略。同时，A产品市场协调价格行为获利空间较大。因此，该集中使A产品市场上经营者协调价格的能力和动机进一步提高。
第四十九条 集中导致下列情形之一的，反垄断执法机构将倾向认为集中可能产生协调效应：
（一）集中后实体与另一个经营者在相关市场的市场份额合计达到三分之二，且各自市场份额均超过十分之一；
（二）集中后实体与另外两个经营者在相关市场的市场份额合计达到四分之三，且各自市场份额均超过十分之一；
（三）集中消除了一个可能阻碍市场协调的经营者或者实质性消除了该经营者阻碍市场协调的动机。
前款所称“可能阻碍市场协调的经营者”，通常指曾拒绝协调行为的竞争者，或采取背离行为有利可图的竞争者。判断集中是否消除了一个可能阻碍市场协调的经营者，还需要结合相关市场上的其他因素综合判断（如集中前是否曾出现大规模协调或试图协调行为等）。
【案例21】市场上可能会有阻碍市场协调的经营者（也称为不合群者）的存在，不合群者与其他企业之间或经营理念不同，或对未来产业发展方向和趋势的看法不同，或由于特殊的原因，而与其他企业行为差别很大。企业之间的经济差异性也可能导致不合群者存在。比如，一家拥有竞争力很强的独特产品、或很先进的技术、或控制了某种关键生产投入要素的企业，在生产经营方面就很可能显示出自己的独特性和不合群性，与其他企业合作的兴趣可能就不大。不合群者的存在，增加了协调行为的难度，针对不合群者的集中行为，可能产生协调效应。
第五十条 评估集中是否有利于促成协调行为，反垄断执法机构主要考虑集中对市场稳定性、透明度和对称性产生的影响。
第五十一条 市场环境相对稳定时，协调行为的可能性增大。当相关市场上的交易条件因客户或者商品不同而具有显著差异时，协调行为的可能性较低。市场的需求价格弹性越低，协调行为一般越有利可图。
【案例22】甲公司拟收购乙公司，甲、乙在A产品市场竞争。A产品为需求刚性且种类单一的原材料，需求价格弹性低，协调价格后获利空间大，而且背离协调的行为更容易被发现和受到约束。在集中导致主要竞争者数量从5家减少到4家的情况下，竞争者之间协调价格的动机和能力进一步提高。
第五十二条 在充分透明的市场里，协调行为更容易发生。市场集中度、商品差异化程度、客户分散程度以及竞争者之间交叉持股、互派董事、具有相同的股东或董事、监事等行为都会影响市场透明度。当竞争者数量较少、市场集中度较高、交易条件相对透明时，协调行为更容易发生。
【案例23】甲公司拟收购乙公司，甲、乙在A产品市场竞争。A产品市场透明度较高，生产商和客户数量均较少，产品同质化明显，竞争者对相互之间的技术、成本、生产和销售状况等情况均比较了解。A产品生产商能凭借相关事实和经验确定竞争对手的产品价格或价格区间。同时，A产品生产商经常共用相同的分销商，通过分销渠道了解其他品牌A产品信息较容易，A产品生产商有能力预判其他竞争者的行为。该集中完成后，A产品生产商将从5家减少为4家，将进一步增加市场竞争者通过协调从事排除、限制竞争行为的可能性。
第五十三条 当相关市场上经营者对称性较高，即市场份额、生产成本、生产能力、效率等方面情况相似，商品差异化程度、商品质量和纵向一体化程度相当，经营者之间达成协调行为的可能性就较大。经营者之间对称性越低，越难产生协调行为。
【案例24】甲、乙、丙三家公司在A产品市场存在横向重叠，合计占有95%以上的市场份额。份额较小的两家竞争者甲、乙（市场份额分别为30%—35%、10%—15%）提出合并，合并后的市场份额与丙的市场份额基本相当。集中后实体与丙公司之间市场力量的对称会使两者在长期博弈中更加有动机相互协调而避免激烈的价格竞争。
第五十四条 评估相关市场是否存在协调行为的可能性时，如果相关市场上存在过协调行为，在市场竞争条件未发生重大变化的情况下，反垄断执法机构会认为市场条件有助于经营者之间的相互协调。如果发生过协调行为的其他市场的重要特征与相关市场相似，反垄断执法机构将高度重视。
第五十五条 根据案件的具体特征，反垄断执法机构评估横向经营者集中是否具有协调效应时还会综合考量其他因素。比如对涉及平台经济领域的经营者集中，还需要考虑技术手段、平台规则、数据、算法等因素是否有利于促成协调行为。
第七章 潜在竞争
第五十六条 本指引所称潜在竞争是指集中一方为集中其他方的潜在竞争者，尚未进入相关市场但具有短期内进入相关市场的能力和动机，并能够对现有竞争者形成一定的竞争约束。
第五十七条 评估横向经营者集中是否会产生单边效应或者协调效应时，反垄断执法机构均会考虑潜在竞争。如果一项集中消除了潜在竞争者，且集中前经营者在相关市场具有市场支配地位，那么集中具有排除、限制竞争效果的可能性很大。
第五十八条 评估横向经营者集中是否会消除潜在竞争约束，首先考虑集中一方是否为潜在竞争者，即在集中不发生情形下该经营者是否会进入相关市场；然后分析消除潜在竞争约束的影响。
第五十九条 判断是否为潜在竞争者时，主要考虑其市场进入动机及所需的成本、时间、相关市场进入壁垒等因素，比如其拥有相关的生产设备、知识产权、原材料等的情况以及对相关投资的准备情况。反垄断执法机构将重点考虑下述两方面因素：
（一）潜在竞争者无需花费很大沉没成本就可以进入相关市场；
（二）潜在竞争者极可能甚至已经有计划进行相关投资（包括沉没成本），将在短期内进入相关市场。
第六十条 对于消除潜在竞争约束的经营者集中的竞争分析，反垄断执法机构将评估潜在竞争者进入市场后预期的市场竞争状况。
对于同时满足下述条件的集中，反垄断执法机构认为其具有或者可能具有排除、限制竞争效果：
（一）潜在竞争者已经或将会对在相关市场开展业务的参与集中的经营者构成显著的竞争约束；
（二）其他现有竞争者以及潜在进入者对参与集中的经营者构成的竞争压力不足。
【案例25】甲公司拟收购乙公司，甲生产A产品，并具有较高市场份额，乙目前不生产A产品，但其正在研发A产品。乙正在研发的A产品与市场现有A产品相比性能更优，具有明显技术进步特征，且价格更低廉、产品生产和上市周期更快，一旦进入市场将对甲构成显著的竞争约束。因此，该集中将消除甲公司在A产品市场上的潜在竞争约束。
第六十一条 对于涉及消除潜在竞争约束的经营者集中，评估时还应关注集中各方是否为相关市场的重要创新者，以及该潜在竞争者创新能力的强弱。若集中各方是相关市场上重要的创新力量，集中后由于研发竞争者数量减少，集中后实体的竞争动力会下降，进而减少创新投入、延缓新产品上市速度。若该潜在经营者的创新能力较强，具有长远发展潜力，在未来会形成足以与集中另一方抗衡的竞争力量，那么由于集中消除了这一潜在竞争者，集中另一方可能会降低研发投入、延缓新产品上市速度。
【案例26】A产品市场高度集中，主要竞争者仅有乙公司和丙公司两家，甲公司目前不生产该产品，但其正在研发相关产品，甲公司拟收购乙公司相关业务。相较于市场现有产品，甲公司的产品具有显著创新特征，预期将对乙公司构成显著的竞争约束。集中后甲公司将取得乙公司目标业务A产品，可能降低甲公司对其正在研发的具有创新意义同类产品的研发投入和商业化动机，延缓新产品上市速度，可能对市场竞争和技术进步产生不利影响。
第六十二条 目标经营者是初创企业的，特别是相关市场集中度较高、参与竞争者数量较少时，需要从交易目的、潜在竞争、创新能力等方面重点评估集中是否可能扼杀竞争、阻碍创新，包括对目标经营者创新活动的影响和对收购方原有创新活动的影响等。
第八章 市场进入
第六十三条 本指引所称市场进入通常包括经营者新进入相关市场参与竞争，以及相关市场上现有竞争者的业务扩张，比如产能增加等。
第六十四条 市场进入是经营者集中竞争分析中的抵消性因素之一。当市场进入足够容易时，集中后实体及相关市场上的现有竞争者无法单独或者共同实施相较于集中未发生情况下更加有利可图的涨价等行为，或者无法降低集中未发生情况下的市场竞争水平，集中就不太可能具有排除、限制竞争效果。
实践中，通常是在反垄断执法机构认为集中具有或者可能具有排除、限制竞争效果时，由经营者提供证据材料证明市场进入能够在多大程度上抵消集中对竞争可能产生的不利影响。市场进入只有在可能、及时且充分的条件下，才能够有效防止或抵消集中对竞争可能产生的不利影响。
【案例27】甲公司和乙公司合并，双方在A市场上存在横向重叠，合计市场份额超过50%，反垄断执法机构推定该集中具有或者可能具有排除、限制竞争效果。甲和乙证明A市场进入门槛很低，即使其滥用市场力量，也很快会有新的经营者进入，并对集中后实体构成充分、有效的竞争约束。经综合研判，反垄断执法机构认为该项集中不会具有排除、限制竞争效果，予以无条件批准。
第六十五条 市场进入的可能性是指经营者能够进入相关市场且进入后能够成功地对集中后实体构成竞争约束的可能性。评估市场进入的可能性时，应考虑市场进入壁垒、市场运行状况和市场的发展预期等因素。
市场进入壁垒取决于相关市场的特性，体现为现有竞争者相对于未进入者所具有的竞争优势。进入壁垒越高，进入的可能性则越低。构成进入壁垒的因素包括：法律或政策限制；关键设施；自然资源；研发能力；知识产权；生产的规模效益经济性和范围经济性，对强大客户网和销售网的依赖；现有经营者的成本优势、品牌和声誉优势、闲置生产能力，及其与交易相对方的合同安排；下游客户的转换成本；进入的沉没成本以及其他形式的退出壁垒等。
市场运行状况主要包括：市场容量是否可以容纳新的厂商；新进入经营者是否可以达到最小效率规模，即经营者平均成本达到最小值时所要求的最小产出水平；进入后的市场竞争状况和价格水平等是否足以支持新进入经营者有效参与市场竞争。
评估市场的发展预期应结合产品生命周期、技术更新预期、市场规模变化等综合评估市场的发展阶段和发展前景。一般来说，相比于已经成熟或预计将会进入衰退期的市场，预计将会进入高速增长阶段的相关市场的进入可能性更高。
第六十六条 市场进入的及时性是指市场进入可以在集中后足够短的时间内发生并得以持续。市场进入必须足够迅速，才能阻止可能发生的反竞争效果。
判断市场进入的及时性的时间标准取决于市场的特性和发展动态，以及潜在进入者的具体产能情况。通常情况下，反垄断执法机构认为在两年以内能够完成市场进入，构成及时的市场进入。对于部分特殊行业，可根据行业具体情况判断市场进入的及时性。
第六十七条 市场进入的充分性是指进入者能够对集中后实体构成充分、有效的竞争约束。评估市场进入的充分性时，应综合考虑进入者的规模、业务范围、商品可替代性等因素。
市场进入的充分性对进入规模的要求取决于市场特性。通常情况下，进入者只有达到一定的规模才会对集中后实体构成有效的竞争约束。现阶段规模较小的进入者，在不具备显著竞争劣势的情况下，也可能对集中后实体构成有效的竞争约束。
在进入者提供的产品与集中后实体提供的产品可替代性高的情况下，进入者可能会对集中后实体构成有效的竞争约束。在差异化产品行业中，进入者提供的产品可能不足以紧密替代集中后实体提供的产品，市场进入可能不够充分，因此不能对集中后实体提供有效的竞争约束。
第六十八条 在判断市场进入是否具有可能性、及时性和充分性时，反垄断执法机构通常可以从以下几个方面收集市场进入的信息和证据材料：
（一）相关市场或类似市场过往的市场进入和退出案例，包括进入的成本、进入壁垒、时间、成功进入所需达到的规模、进入导致的市场竞争状况的变化等；
（二）其他经营者进入相关市场的计划，以及现有竞争者的扩张计划；具有相关必要资产或动机进入相关市场的潜在市场进入者的情况，例如相邻市场的竞争者、大型客户等；
（三）对市场进入壁垒的直接统计数据或其他信息，例如进入的资金规模、研发投入产出等；
（四）若相关商品生产存在规模效应，需考虑新进入经营者能否及时达到足够规模，以对集中后的实体形成有效竞争约束，以及无法达到规模效应所要求的规模时在成本上的劣势；
（五）进入市场后收回投入成本所需要的时间；
（六）退出市场的成本；
（七）技术进步对市场进入的影响；
（八）市场上现有竞争者与下游客户签订长期合同的情况；
（九）下游客户是否具备协助新市场进入的能力和意愿；
（十）可能的进口产品或供给替代；
（十一）若相关地域市场是中国境内市场，需考虑中国境外供应商进入中国境内市场的可能性。
第六十九条 反垄断执法机构在竞争分析中也会考虑集中是否会对市场进入带来负面影响。比如，集中可能导致集中后实体拥有更大的市场规模，更有能力维持其市场地位，从而提高进入门槛。
第九章 买方力量
第七十条 本指引所称买方力量是指买方在商业谈判中所具有的议价或谈判能力。
第七十一条 买方力量是经营者集中竞争分析中的抵消性因素之一。实践中，通常是在反垄断执法机构认为集中具有或者可能具有排除、限制竞争效果时，由经营者提供证据材料证明买方力量能够在多大程度上抵消集中对竞争可能产生的不利影响，如限制集中后实体涨价的可能性。
【案例28】甲公司收购乙公司，甲、乙在A产品市场存在横向重叠，合计市场份额排名第一。在分析A产品市场买方力量时，甲、乙证明A产品需求集中在少量下游客户中，客户均通过招标投标方式采购，且采购额度大、采购时机不确定，各供应商必须为争取某一客户进行全面竞争，买方议价能力非常强。因此，集中虽然将增强甲公司市场力量，但综合考虑买方力量，反垄断执法机构认为集中不会产生排除、限制竞争效果。
第七十二条 评估买方力量，可以主要从以下两个方面进行考虑：
（一）买方集中度。通常会参考集中后实体销售给下游客户的相关商品占其总销售量的比例，如果少数客户的采购量占比较大，则说明买方集中度较高。
（二）买方在不同供应商之间进行转换的能力。需要重点关注当某一供应商采取提高价格或降低质量、降低送货条件等措施时，买方是否有能力在适当的时间内转向其他供应商、纵向整合上游供应商、支持上游其他供应商扩大市场份额、支持新供应商进入相关市场、拒绝购买或延迟购买该供应商的其他产品（特别是耐用商品）等。
【案例29】甲公司拟收购乙公司，甲、乙均在A产品市场进行竞争，双方合计市场份额为40%—45%，且双方A产品主要供应给下游零售店。下游40%—50%的零售店从甲、乙采购A产品。由于A产品零售店数量庞大，且普遍规模较小，议价能力较弱，因此，买方力量难以消除集中可能产生的排除、限制竞争效果，该集中可能限制下游零售店的选择权，挤压其利润空间，损害相关市场竞争和消费者利益。
第七十三条 具有买方力量本身并不能够保证买方力量能够有效地抵消集中可能带来的竞争损害。反垄断执法机构在评估买方力量是否能够起到有效的抵消作用时，通常重点考虑以下三方面因素：
（一）具有买方力量的经营者行使其买方力量，是否能够使其他不具备买方力量的经营者同样获得利益；
（二）当具有买方力量的经营者并非终端消费者时，其通过行使买方力量获得的利益是否能够传递给终端消费者；
（三）具有买方力量的经营者是否有充分的动机和意愿行使其买方力量。
第七十四条 在评估买方力量时，需要注意集中前所存在的买方力量并非必然能够延续到集中后，因为集中可能导致集中后实体增强市场控制力，或者可能消除了重要的替代供应商。因此，反垄断执法机构通常对集中后而非集中前的买方力量进行评估。
第十章 效率
第七十五条 本指引所称效率是指经营者集中可能会带来的效率提升，包括规模经济、范围经济等带来的成本节约，以及促进技术进步、提高商品质量等带来的创新效率等。效率提升是集中具有或者可能具有排除、限制竞争效果的抗辩因素。
集中所带来的成本节约可体现在固定成本、可变成本或者边际成本的降低。
集中带来的创新效率包括经营者在科技研发领域的协同效应等。
第七十六条 能够被反垄断执法机构认可的集中产生的效率提升，必须同时满足下列条件：
（一）效率的提升必须直接或间接有利于消费者。效率提升对消费者带来的利益不局限于价格下降，也可能是商品质量提升，或者使消费者能够从商品的创新中获益。
（二）效率的提升必须是集中所特有的。效率提升是集中的直接结果，且无法通过对竞争损害更小的其他方式实现。
（三）效率的提升必须是可以证实的。经营者的效率主张越准确、越有说服力，被反垄断执法机构采信的可能性越高。
第七十七条 如果集中具有或者可能具有排除、限制竞争效果，在条件允许的情况下，集中各方可以通过提交定量分析证据材料，说明集中对效率提升和对下游客户的影响。如果所需定量证据材料不存在或难以提供，经营者也应提供真实的、可验证的有关效率提升和对下游客户影响的定性证据材料。
评估上述效率提升是否能够抑制集中可能产生的反竞争效果，主要考虑以下两个方面：
（一）集中所带来的成本节约在多大程度上可以消除集中可能产生的单边效应或者协调效应；
（二）集中所带来的创新效率在多大程度上可以弥补价格上涨等对下游客户造成的损失。
第七十八条 目标经营者是初创企业的，反垄断执法机构会考虑交易可能为初创企业提供后续研发、市场推广、管理和生产等发展支持的效率因素。
第十一章 其他因素
第七十九条 评估经营者集中对国民经济发展的影响，反垄断执法机构通常会考虑集中所处行业对国民经济发展的重要性，以及集中对国民经济发展的影响。
经营者能够证明集中有利于国民经济健康发展的，即使该集中具有或者可能具有排除、限制竞争效果，反垄断执法机构也可能不予禁止。
反垄断执法机构在分析前述集中对国民经济发展的影响时，将重点考虑是否同时满足下列三个条件：
（一）该集中是否会对国民经济发展带来积极影响，以及该影响是否是实质性的；
（二）该集中与国民经济发展积极影响之间是否存在因果关系；
（三）如果没有该集中，是否就不会对前述国民经济发展产生积极影响。
第八十条 经营者能够证明经营者集中在促进就业、保护中小经营者权益、节约能源、保护环境、救灾救助等社会公共利益方面产生积极影响的，即使该集中具有或者可能具有排除、限制竞争效果，反垄断执法机构也可能不予禁止。
反垄断执法机构在分析前述公共利益时，将重点考虑是否同时满足下列三个条件：
（一）该集中是否会对公共利益带来积极影响，以及该影响是否是实质性的；
（二）该集中与公共利益积极影响之间是否存在因果关系；
（三）如果没有该集中，是否就不会对前述公共利益产生积极影响。
第八十一条 经营者能够证明被收购或者合并的经营者即将破产并退出相关市场的，即使该集中具有或者可能具有排除、限制竞争效果，反垄断执法机构也可能不予禁止。
反垄断执法机构在分析前述破产抗辩时，将重点考虑是否同时满足下列三个条件：
（一）被收购或合并的经营者经营困难，如果不被收购或者合并，其将在短期内退出市场；
（二）没有比该集中对竞争损害更小的替代性方案来防止上述经营者退出市场；
（三）相对于上述经营者退出市场，该集中可能带来的排除、限制竞争效果更弱。
第八十二条 有证据证明参与集中的经营者获得的国内外政府补贴对相关市场竞争可能产生不利影响的，反垄断执法机构可以要求参与集中的经营者提供获得政府补贴等有关情况，并在审查中考虑该政府补贴对相关市场公平竞争产生的不利影响。
前款所称政府补贴，包括一个国家或者地区的中央政府补贴和地方政府补贴。
第十二章 附则
第八十三条 参与集中的经营者之间新设合营企业，且合营企业拟从事业务与参与集中的经营者处于同一相关市场的，参照本指引进行竞争评估。
评估经营者之间新设合营企业可能产生的竞争影响时，要结合集中的实际情况，对合营企业与合营各方的竞争关系、合营企业的规模及存续时间、合营企业的业务范围、合营企业是否仅涉及某一个业务环节等因素加以考虑。
合营企业的业务仅涉及一个或多个合营方业务链条中某个环节的，根据合营企业所从事业务在完整业务链条中所处的具体环节（例如研发、原材料采购、生产、营销或销售），竞争分析的考虑因素和重点通常有所不同。一般而言，合营企业所从事业务环节离销售环节越远，对市场竞争的影响越小；仅涉及联合销售的合营企业，可能与垄断协议行为存在竞合，有可能引起严重的竞争问题，需重点审查。
第八十四条 反垄断执法机构在调查违法实施经营者集中时，将参照本指引评估横向经营者集中是否具有或者可能具有排除、限制竞争效果。
第八十五条 反垄断执法机构以及其他单位和个人对于知悉的商业秘密、未披露信息、保密商务信息、个人隐私和个人信息承担保密义务，但根据法律法规规定应当披露的或者事先取得权利人同意的除外。
第八十六条 本指引仅对横向经营者集中审查及相关合规工作作出一般性指导，供反垄断执法机构和经营者参考，不具有强制性。本指引中的案例列举并不涵盖全部审查场景和风险类型，反垄断执法机构和经营者在参考本指引时应依据经营者集中相关法律法规结合具体问题进行分析评估。
第八十七条 本指引由国家市场监督管理总局负责解释，自发布之日起施行。
文档2：
政治经济学（英语：Political economy）是一门跨领域的社会科学，旨在研究政治结构与经济决策的互动关系。[1]广义上的政治经济学是一门研究政治与经济互动的学科，其源头可追溯到启蒙时代的古典政治经济学。狭义上则是以各种非主流经济学派主导，现代形式的政治经济学。
作为一项论题，政治经济学着重于国家与市场之间的关系，就此而言长期与马克思主义有所关联。若作为一项研究方法，政治经济学是指用经济学的理论与方法分析政治现象，包括公共选择、博弈论等。[1][2]
简介
法国重农主义者认为，土地是一切财富的根本来源。相形之下，古典政治经济学提出的是劳动价值论，即财富来源于劳动。这一理论最早由约翰·洛克提出，后来被亚当·斯密、李嘉图和马克思进一步完善。政治经济学也使人注意到，技术进步在经济和社会关系中所处的位置越来越重要。源于范伯伦与熊彼特等人的演化经济学即是一门关注科技与社会制度发展的重要子学科。
19世纪末期，在阿尔弗雷德·马歇尔与杰文斯等边际主义者的主导下，经济学一词渐渐取代政治经济学。后起的新古典经济学派从此趋于用数学手段研究经济问题，而非生产和消费的结构关系。
现代形式的政治经济学，是指用多元而又相关的方法，研究经济行为，将经济学与其他学科交叉，用不同的基本假设挑战正统经济学思想：
政治经济学一般是指经济、法律、社会学和政治学的交叉研究，以理解政治实体和政治环境对市场行为的影响。
在政治学领域，这个词是指现代自由主义、现实主义、马克思主义和结构主义理论解读经济与国家权力之间的关系。
各种非主流经济学派是现代政治经济学的主要构成，因此两者经常被交替使用。其中较为知名的学派有马克思主义经济学，制度经济学、奥地利学派，与后凯恩斯经济学。[3]
国际政治经济学(IPE)是研究国际贸易和金融、国家政策（货币、财政政策）对国际贸易的影响的交叉学科。严格意义上，国际政治经济学不属于非主流经济学的一员，而是一门跨领域社会科学。[4]
经济学者有时也把这个词与博弈论的研究手段联系起来
人类学家、社会学家和地理学家用这个词表示新马克思主义对发展问题的研究手段，如沃勒斯坦的世界体系理论、人类学中的政治经济学派等。[5]
历史
18世纪在英国，政治经济学一词最早用来取代法国的重农主义。政治经济学主要的思想家包括亚当·斯密，大卫·李嘉图和卡尔·马克思。1805年，托马斯·马尔萨斯受聘于英国东印度公司学院，成为英国第一位政治经济学教授。19世纪后半叶，许多学者认为，国家不应该干预市场，政治和市场应根据不同的原则分离，所以政治经济学应分为两个学科：政治学和经济学。1870年，新古典主义经济学家阿尔弗莱德·马歇尔开始用经济学取代政治经济学，但是诸如剑桥大学之类学校并不接受这个改变。
“自由经济”一词在18和19世纪的意思是清除贸易、资本和经济领域里的壁垒：降低关税，统一度量，利用中央银行和金本位制度促进贸易活动。这些理论建立在李嘉图的比较优势学说上，并推动了第一次全球化浪潮。
在古典自由主义兴盛的同时，观点对立的思想如社会主义和共产主义也发展起来了，声称自由竞争的资本主义（古典自由主义）无法解决资源的调配问题，从而导致大多数人民的苦难生活。社会主义思想体系里最重要的思想家是卡尔·马克思，他秉承亚当·斯密的劳动价值论，关注于生产力和生产关系的矛盾和斗争。
研究范围
政治经济学研究生产方式及其与之相适应的生产和交换关系，特别是资本，在经济活动中的表现。经济学往往关注价格，把生产和消费看作是对价格发生影响，而政治经济学把经济看成是政策和法律对现实发挥影响的表现。
“使用价值”与“交换价值”之间的分歧造成“价值”与“价格”或者“资本价值”与“商品价值”之间的差异；相形之下，新古典经济学反对把价值从价格中分离。在政治经济学里，劳动是制造变化的人类行为，资本是将这种变化放大的手段。劳动的结果是商品，引导出交换和消费，进一步产生消费后废物处理问题。
在市场中的私人交换，建立在所有权和权利的法律框架中，也称为私有经济活动。政府的交换行为是通过政治和政策影响市场来完成的，政府在市场经济里的行为称为公有经济活动。政治经济学关注的是基本事实，因此采用交叉学科的研究手段；政治经济学谈论经济系统的时候，往往是指自由市场经济。
生产
在政治经济学中，生产指的是劳动的使用，即在资本的协助下，创造出具有使用性的确定的可认知的东西。生产关系的研究对政治经济学非常重要，因为经济学家仅认识到总体需求，但总有特定的资源会成为生产的瓶颈。政治活动重点围绕着保障那些会产生瓶颈的资源。
政治经济学将生产看作经济的中心活动，把劳动看作政府行为的最终瓶颈。政府必须利用现有的劳动力资源满足需求，有足够的资本保障劳动的有效。在亚当·斯密的《国富论》中，政治经济学的基本公式表述为：
资本（劳动） - 投资 - 消费 = 盈余或赤字
资本是以劳动为参数的函数。投资是生产所需要的资本，消费是对产品的使用。国家有财政盈余的话，就会购买物资、进行投资或消费。国家投资和消费的总额大于其产出，就会出现财政赤字，那么就必须出卖资产或举债来平衡。
对生产的研究专注于资本与劳动的广义交互关系。因为劳动必须要借助资本、以具备一定的技能和钱为条件。
资本
任何能够更有效的组织劳动将材料转变为可使用形式的手段都可称为资本。实物资本是指能够增加产出的确切实体。智力资本是指能够使劳动者工作更加高效率的理念、思想、设计、理论和信息。人力资本是指劳动力为使用资本所做的准备，包括教育、社会规范、伦理、关系网络、沟通能力和健康等内容。
流通
劳动力和资源需要与资本相结合，而且商品需要运送到交换和消费市场上去。于是就产生了流通的需要——人员、物资和信息的流通。
交换
从政治经济学的观点来看，交换是商品生产者与消费者的投资交换过程。每个生产者都是消费者，同样，每个消费者也是生产者。市场提供交换机制，货币提供交换媒介。结果是，货币政策的变动成为政治经济学研究的中心议题。
交换的基本结构决定了可能的市场范围，政治经济学把经济活动的长期目标视为持续创造经济规则和秩序以使人类生活的舒适程度最大化。亚当·斯密的《国富论》列举一系列市场功能的要求，包括交换的稳定性及提供给企业可预期的利润率等，对交换机制（供给和需求）的相关研究根植于经济学中。
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Chinese
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16k
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T6. Aggregation & Clustering
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T6.3 Global Frequency Analysis
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Full
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将给定术语按照其在上述文本中出现的次数降序排列。先输出“[答案]”标识符，再按行输出排序后的术语，不要输出任何其他内容。
给定术语：经营者集中，相关市场，单边效应，市场份额，协调效应
输出示例：
[答案]
经营者集中
相关市场
单边效应
市场份额
协调效应
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将给定术语按照其在上述文本中出现的次数降序排列。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的术语，不要输出任何其他内容。
给定术语：经营者集中，相关市场，单边效应，市场份额，协调效应
输出示例：
<你的思考过程>
[答案]
经营者集中
相关市场
单边效应
市场份额
协调效应
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[
"相关市场",
"市场份额",
"经营者集中",
"单边效应",
"协调效应"
] |
Extreme
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29f2b2619d42bd84ad7a85b12e0d8df67bb879643eeb2be4a28681c6eda5f25b
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tarfile — Read and write tar archive files
Source code: Lib/tarfile.py
The tarfile module makes it possible to read and write tar archives, including those using gzip, bz2 and lzma compression. Use the zipfile module to read or write .zip files, or the higher-level functions in shutil.
Some facts and figures:
reads and writes gzip, bz2 and lzma compressed archives if the respective modules are available.
read/write support for the POSIX.1-1988 (ustar) format.
read/write support for the GNU tar format including longname and longlink extensions, read-only support for all variants of the sparse extension including restoration of sparse files.
read/write support for the POSIX.1-2001 (pax) format.
handles directories, regular files, hardlinks, symbolic links, fifos, character devices and block devices and is able to acquire and restore file information like timestamp, access permissions and owner.
Changed in version 3.3: Added support for lzma compression.
tarfile.open(name=None, mode='r', fileobj=None, bufsize=10240, **kwargs)
Return a TarFile object for the pathname name. For detailed information on TarFile objects and the keyword arguments that are allowed, see TarFile Objects.
mode has to be a string of the form 'filemode[:compression]', it defaults to 'r'. Here is a full list of mode combinations:
mode
action
'r' or 'r:*'
Open for reading with transparent compression (recommended).
'r:'
Open for reading exclusively without compression.
'r:gz'
Open for reading with gzip compression.
'r:bz2'
Open for reading with bzip2 compression.
'r:xz'
Open for reading with lzma compression.
'x' or 'x:'
Create a tarfile exclusively without compression. Raise an FileExistsError exception if it already exists.
'x:gz'
Create a tarfile with gzip compression. Raise an FileExistsError exception if it already exists.
'x:bz2'
Create a tarfile with bzip2 compression. Raise an FileExistsError exception if it already exists.
'x:xz'
Create a tarfile with lzma compression. Raise an FileExistsError exception if it already exists.
'a' or 'a:'
Open for appending with no compression. The file is created if it does not exist.
'w' or 'w:'
Open for uncompressed writing.
'w:gz'
Open for gzip compressed writing.
'w:bz2'
Open for bzip2 compressed writing.
'w:xz'
Open for lzma compressed writing.
Note that 'a:gz', 'a:bz2' or 'a:xz' is not possible. If mode is not suitable to open a certain (compressed) file for reading, ReadError is raised. Use mode 'r' to avoid this. If a compression method is not supported, CompressionError is raised.
If fileobj is specified, it is used as an alternative to a file object opened in binary mode for name. It is supposed to be at position 0.
For modes 'w:gz', 'r:gz', 'w:bz2', 'r:bz2', 'x:gz', 'x:bz2', tarfile.open() accepts the keyword argument compresslevel (default 9) to specify the compression level of the file.
For modes 'w:xz' and 'x:xz', tarfile.open() accepts the keyword argument preset to specify the compression level of the file.
For special purposes, there is a second format for mode: 'filemode|[compression]'. tarfile.open() will return a TarFile object that processes its data as a stream of blocks. No random seeking will be done on the file. If given, fileobj may be any object that has a read() or write() method (depending on the mode). bufsize specifies the blocksize and defaults to 20 * 512 bytes. Use this variant in combination with e.g. sys.stdin, a socket file object or a tape device. However, such a TarFile object is limited in that it does not allow random access, see Examples. The currently possible modes:
Mode
Action
'r|*'
Open a stream of tar blocks for reading with transparent compression.
'r|'
Open a stream of uncompressed tar blocks for reading.
'r|gz'
Open a gzip compressed stream for reading.
'r|bz2'
Open a bzip2 compressed stream for reading.
'r|xz'
Open an lzma compressed stream for reading.
'w|'
Open an uncompressed stream for writing.
'w|gz'
Open a gzip compressed stream for writing.
'w|bz2'
Open a bzip2 compressed stream for writing.
'w|xz'
Open an lzma compressed stream for writing.
Changed in version 3.5: The 'x' (exclusive creation) mode was added.
Changed in version 3.6: The name parameter accepts a path-like object.
class tarfile.TarFile
Class for reading and writing tar archives. Do not use this class directly: use tarfile.open() instead. See TarFile Objects.
tarfile.is_tarfile(name)
Return True if name is a tar archive file, that the tarfile module can read. name may be a str, file, or file-like object.
Changed in version 3.9: Support for file and file-like objects.
The tarfile module defines the following exceptions:
exception tarfile.TarError
Base class for all tarfile exceptions.
exception tarfile.ReadError
Is raised when a tar archive is opened, that either cannot be handled by the tarfile module or is somehow invalid.
exception tarfile.CompressionError
Is raised when a compression method is not supported or when the data cannot be decoded properly.
exception tarfile.StreamError
Is raised for the limitations that are typical for stream-like TarFile objects.
exception tarfile.ExtractError
Is raised for non-fatal errors when using TarFile.extract(), but only if TarFile.errorlevel== 2.
exception tarfile.HeaderError
Is raised by TarInfo.frombuf() if the buffer it gets is invalid.
exception tarfile.FilterError
Base class for members refused by filters.
tarinfo
Information about the member that the filter refused to extract, as TarInfo.
exception tarfile.AbsolutePathError
Raised to refuse extracting a member with an absolute path.
exception tarfile.OutsideDestinationError
Raised to refuse extracting a member outside the destination directory.
exception tarfile.SpecialFileError
Raised to refuse extracting a special file (e.g. a device or pipe).
exception tarfile.AbsoluteLinkError
Raised to refuse extracting a symbolic link with an absolute path.
exception tarfile.LinkOutsideDestinationError
Raised to refuse extracting a symbolic link pointing outside the destination directory.
The following constants are available at the module level:
tarfile.ENCODING
The default character encoding: 'utf-8' on Windows, the value returned by sys.getfilesystemencoding() otherwise.
Each of the following constants defines a tar archive format that the tarfile module is able to create. See section Supported tar formats for details.
tarfile.USTAR_FORMAT
POSIX.1-1988 (ustar) format.
tarfile.GNU_FORMAT
GNU tar format.
tarfile.PAX_FORMAT
POSIX.1-2001 (pax) format.
tarfile.DEFAULT_FORMAT
The default format for creating archives. This is currently PAX_FORMAT.
Changed in version 3.8: The default format for new archives was changed to PAX_FORMAT from GNU_FORMAT.
See also
Module zipfile
Documentation of the zipfile standard module.
Archiving operations
Documentation of the higher-level archiving facilities provided by the standard shutil module.
GNU tar manual, Basic Tar Format
Documentation for tar archive files, including GNU tar extensions.
TarFile Objects
The TarFile object provides an interface to a tar archive. A tar archive is a sequence of blocks. An archive member (a stored file) is made up of a header block followed by data blocks. It is possible to store a file in a tar archive several times. Each archive member is represented by a TarInfo object, see TarInfo Objects for details.
A TarFile object can be used as a context manager in a with statement. It will automatically be closed when the block is completed. Please note that in the event of an exception an archive opened for writing will not be finalized; only the internally used file object will be closed. See the Examples section for a use case.
New in version 3.2: Added support for the context management protocol.
class tarfile.TarFile(name=None, mode='r', fileobj=None, format=DEFAULT_FORMAT, tarinfo=TarInfo, dereference=False, ignore_zeros=False, encoding=ENCODING, errors='surrogateescape', pax_headers=None, debug=0, errorlevel=1)
All following arguments are optional and can be accessed as instance attributes as well.
name is the pathname of the archive. name may be a path-like object. It can be omitted if fileobj is given. In this case, the file object’s name attribute is used if it exists.
mode is either 'r' to read from an existing archive, 'a' to append data to an existing file, 'w' to create a new file overwriting an existing one, or 'x' to create a new file only if it does not already exist.
If fileobj is given, it is used for reading or writing data. If it can be determined, mode is overridden by fileobj’s mode. fileobj will be used from position 0.
Note fileobj is not closed, when TarFile is closed.
format controls the archive format for writing. It must be one of the constants USTAR_FORMAT, GNU_FORMAT or PAX_FORMAT that are defined at module level. When reading, format will be automatically detected, even if different formats are present in a single archive.
The tarinfo argument can be used to replace the default TarInfo class with a different one.
If dereference is False, add symbolic and hard links to the archive. If it is True, add the content of the target files to the archive. This has no effect on systems that do not support symbolic links.
If ignore_zeros is False, treat an empty block as the end of the archive. If it is True, skip empty (and invalid) blocks and try to get as many members as possible. This is only useful for reading concatenated or damaged archives.
debug can be set from 0 (no debug messages) up to 3 (all debug messages). The messages are written to sys.stderr.
errorlevel controls how extraction errors are handled, see the corresponding attribute.
The encoding and errors arguments define the character encoding to be used for reading or writing the archive and how conversion errors are going to be handled. The default settings will work for most users. See section Unicode issues for in-depth information.
The pax_headers argument is an optional dictionary of strings which will be added as a pax global header if format is PAX_FORMAT.
Changed in version 3.2: Use 'surrogateescape' as the default for the errors argument.
Changed in version 3.5: The 'x' (exclusive creation) mode was added.
Changed in version 3.6: The name parameter accepts a path-like object.
classmethod TarFile.open(...)
Alternative constructor. The tarfile.open() function is actually a shortcut to this classmethod.
TarFile.getmember(name)
Return a TarInfo object for member name. If name can not be found in the archive, KeyError is raised.
Note If a member occurs more than once in the archive, its last occurrence is assumed to be the most up-to-date version.
TarFile.getmembers()
Return the members of the archive as a list of TarInfo objects. The list has the same order as the members in the archive.
TarFile.getnames()
Return the members as a list of their names. It has the same order as the list returned by getmembers().
TarFile.list(verbose=True, *, members=None)
Print a table of contents to sys.stdout. If verbose is False, only the names of the members are printed. If it is True, output similar to that of ls -l is produced. If optional members is given, it must be a subset of the list returned by getmembers().
Changed in version 3.5: Added the members parameter.
TarFile.next()
Return the next member of the archive as a TarInfo object, when TarFile is opened for reading. Return None if there is no more available.
TarFile.extractall(path='.', members=None, *, numeric_owner=False, filter=None)
Extract all members from the archive to the current working directory or directory path. If optional members is given, it must be a subset of the list returned by getmembers(). Directory information like owner, modification time and permissions are set after all members have been extracted. This is done to work around two problems: A directory’s modification time is reset each time a file is created in it. And, if a directory’s permissions do not allow writing, extracting files to it will fail.
If numeric_owner is True, the uid and gid numbers from the tarfile are used to set the owner/group for the extracted files. Otherwise, the named values from the tarfile are used.
The filter argument, which was added in Python 3.10.12, specifies how members are modified or rejected before extraction. See Extraction filters for details. It is recommended to set this explicitly depending on which tar features you need to support.
Warning Never extract archives from untrusted sources without prior inspection. It is possible that files are created outside of path, e.g. members that have absolute filenames starting with "/" or filenames with two dots "..".
Set filter='data' to prevent the most dangerous security issues, and read the Extraction filters section for details.
Changed in version 3.5: Added the numeric_owner parameter.
Changed in version 3.6: The path parameter accepts a path-like object.
Changed in version 3.10.12: Added the filter parameter.
TarFile.extract(member, path='', set_attrs=True, *, numeric_owner=False, filter=None)
Extract a member from the archive to the current working directory, using its full name. Its file information is extracted as accurately as possible. member may be a filename or a TarInfo object. You can specify a different directory using path. path may be a path-like object. File attributes (owner, mtime, mode) are set unless set_attrs is false.
The numeric_owner and filter arguments are the same as for extractall().
Note The extract() method does not take care of several extraction issues. In most cases you should consider using the extractall() method.
Warning See the warning for extractall().
Set filter='data' to prevent the most dangerous security issues, and read the Extraction filters section for details.
Changed in version 3.2: Added the set_attrs parameter.
Changed in version 3.5: Added the numeric_owner parameter.
Changed in version 3.6: The path parameter accepts a path-like object.
Changed in version 3.10.12: Added the filter parameter.
TarFile.extractfile(member)
Extract a member from the archive as a file object. member may be a filename or a TarInfo object. If member is a regular file or a link, an io.BufferedReader object is returned. For all other existing members, None is returned. If member does not appear in the archive, KeyError is raised.
Changed in version 3.3: Return an io.BufferedReader object.
TarFile.errorlevel: int
If errorlevel is 0, errors are ignored when using TarFile.extract() and TarFile.extractall(). Nevertheless, they appear as error messages in the debug output when debug is greater than 0. If 1 (the default), all fatal errors are raised as OSError or FilterError exceptions. If 2, all non-fatal errors are raised as TarError exceptions as well.
Some exceptions, e.g. ones caused by wrong argument types or data corruption, are always raised.
Custom extraction filters should raise FilterError for fatal errors and ExtractError for non-fatal ones.
Note that when an exception is raised, the archive may be partially extracted. It is the user’s responsibility to clean up.
TarFile.extraction_filter
New in version 3.10.12.
The extraction filter used as a default for the filter argument of extract() and extractall().
The attribute may be None or a callable. String names are not allowed for this attribute, unlike the filter argument to extract().
If extraction_filter is None (the default), calling an extraction method without a filter argument will use the fully_trusted filter for compatibility with previous Python versions.
In Python 3.12+, leaving extraction_filter=None will emit a DeprecationWarning.
In Python 3.14+, leaving extraction_filter=None will cause extraction methods to use the data filter by default.
The attribute may be set on instances or overridden in subclasses. It also is possible to set it on the TarFile class itself to set a global default, although, since it affects all uses of tarfile, it is best practice to only do so in top-level applications or site configuration. To set a global default this way, a filter function needs to be wrapped in staticmethod() to prevent injection of a self argument.
TarFile.add(name, arcname=None, recursive=True, *, filter=None)
Add the file name to the archive. name may be any type of file (directory, fifo, symbolic link, etc.). If given, arcname specifies an alternative name for the file in the archive. Directories are added recursively by default. This can be avoided by setting recursive to False. Recursion adds entries in sorted order. If filter is given, it should be a function that takes a TarInfo object argument and returns the changed TarInfo object. If it instead returns None the TarInfo object will be excluded from the archive. See Examples for an example.
Changed in version 3.2: Added the filter parameter.
Changed in version 3.7: Recursion adds entries in sorted order.
TarFile.addfile(tarinfo, fileobj=None)
Add the TarInfo object tarinfo to the archive. If fileobj is given, it should be a binary file, and tarinfo.size bytes are read from it and added to the archive. You can create TarInfo objects directly, or by using gettarinfo().
TarFile.gettarinfo(name=None, arcname=None, fileobj=None)
Create a TarInfo object from the result of os.stat() or equivalent on an existing file. The file is either named by name, or specified as a file object fileobj with a file descriptor. name may be a path-like object. If given, arcname specifies an alternative name for the file in the archive, otherwise, the name is taken from fileobj’s name attribute, or the name argument. The name should be a text string.
You can modify some of the TarInfo’s attributes before you add it using addfile(). If the file object is not an ordinary file object positioned at the beginning of the file, attributes such as size may need modifying. This is the case for objects such as GzipFile. The name may also be modified, in which case arcname could be a dummy string.
Changed in version 3.6: The name parameter accepts a path-like object.
TarFile.close()
Close the TarFile. In write mode, two finishing zero blocks are appended to the archive.
TarFile.pax_headers
A dictionary containing key-value pairs of pax global headers.
TarInfo Objects
A TarInfo object represents one member in a TarFile. Aside from storing all required attributes of a file (like file type, size, time, permissions, owner etc.), it provides some useful methods to determine its type. It does not contain the file’s data itself.
TarInfo objects are returned by TarFile’s methods getmember(), getmembers() and gettarinfo().
Modifying the objects returned by getmember() or getmembers() will affect all subsequent operations on the archive. For cases where this is unwanted, you can use copy.copy() or call the replace() method to create a modified copy in one step.
Several attributes can be set to None to indicate that a piece of metadata is unused or unknown. Different TarInfo methods handle None differently:
The extract() or extractall() methods will ignore the corresponding metadata, leaving it set to a default.
addfile() will fail.
list() will print a placeholder string.
Changed in version 3.10.12: Added replace() and handling of None.
class tarfile.TarInfo(name='')
Create a TarInfo object.
classmethod TarInfo.frombuf(buf, encoding, errors)
Create and return a TarInfo object from string buffer buf.
Raises HeaderError if the buffer is invalid.
classmethod TarInfo.fromtarfile(tarfile)
Read the next member from the TarFile object tarfile and return it as a TarInfo object.
TarInfo.tobuf(format=DEFAULT_FORMAT, encoding=ENCODING, errors='surrogateescape')
Create a string buffer from a TarInfo object. For information on the arguments see the constructor of the TarFile class.
Changed in version 3.2: Use 'surrogateescape' as the default for the errors argument.
A TarInfo object has the following public data attributes:
TarInfo.name: str
Name of the archive member.
TarInfo.size: int
Size in bytes.
TarInfo.mtime: int | float
Time of last modification in seconds since the epoch, as in os.stat_result.st_mtime.
Changed in version 3.10.12: Can be set to None for extract() and extractall(), causing extraction to skip applying this attribute.
TarInfo.mode: int
Permission bits, as for os.chmod().
Changed in version 3.10.12: Can be set to None for extract() and extractall(), causing extraction to skip applying this attribute.
TarInfo.type
File type. type is usually one of these constants: REGTYPE, AREGTYPE, LNKTYPE, SYMTYPE, DIRTYPE, FIFOTYPE, CONTTYPE, CHRTYPE, BLKTYPE, GNUTYPE_SPARSE. To determine the type of a TarInfo object more conveniently, use the is*() methods below.
TarInfo.linkname: str
Name of the target file name, which is only present in TarInfo objects of type LNKTYPE and SYMTYPE.
TarInfo.uid: int
User ID of the user who originally stored this member.
Changed in version 3.10.12: Can be set to None for extract() and extractall(), causing extraction to skip applying this attribute.
TarInfo.gid: int
Group ID of the user who originally stored this member.
Changed in version 3.10.12: Can be set to None for extract() and extractall(), causing extraction to skip applying this attribute.
TarInfo.uname: str
User name.
Changed in version 3.10.12: Can be set to None for extract() and extractall(), causing extraction to skip applying this attribute.
TarInfo.gname: str
Group name.
Changed in version 3.10.12: Can be set to None for extract() and extractall(), causing extraction to skip applying this attribute.
TarInfo.pax_headers: dict
A dictionary containing key-value pairs of an associated pax extended header.
TarInfo.replace(name=..., mtime=..., mode=..., linkname=...,
uid=..., gid=..., uname=..., gname=...,
deep=True)
New in version 3.10.12.
Return a new copy of the TarInfo object with the given attributes changed. For example, to return a TarInfo with the group name set to 'staff', use:
new_tarinfo = old_tarinfo.replace(gname='staff')
By default, a deep copy is made. If deep is false, the copy is shallow, i.e. pax_headers and any custom attributes are shared with the original TarInfo object.
A TarInfo object also provides some convenient query methods:
TarInfo.isfile()
Return True if the Tarinfo object is a regular file.
TarInfo.isreg()
Same as isfile().
TarInfo.isdir()
Return True if it is a directory.
TarInfo.issym()
Return True if it is a symbolic link.
TarInfo.islnk()
Return True if it is a hard link.
TarInfo.ischr()
Return True if it is a character device.
TarInfo.isblk()
Return True if it is a block device.
TarInfo.isfifo()
Return True if it is a FIFO.
TarInfo.isdev()
Return True if it is one of character device, block device or FIFO.
Extraction filters
New in version 3.10.12.
The tar format is designed to capture all details of a UNIX-like filesystem, which makes it very powerful. Unfortunately, the features make it easy to create tar files that have unintended – and possibly malicious – effects when extracted. For example, extracting a tar file can overwrite arbitrary files in various ways (e.g. by using absolute paths, .. path components, or symlinks that affect later members).
In most cases, the full functionality is not needed. Therefore, tarfile supports extraction filters: a mechanism to limit functionality, and thus mitigate some of the security issues.
See also
PEP 706
Contains further motivation and rationale behind the design.
The filter argument to TarFile.extract() or extractall() can be:
the string 'fully_trusted': Honor all metadata as specified in the archive. Should be used if the user trusts the archive completely, or implements their own complex verification.
the string 'tar': Honor most tar-specific features (i.e. features of UNIX-like filesystems), but block features that are very likely to be surprising or malicious. See tar_filter() for details.
the string 'data': Ignore or block most features specific to UNIX-like filesystems. Intended for extracting cross-platform data archives. See data_filter() for details.
None (default): Use TarFile.extraction_filter.
If that is also None (the default), the 'fully_trusted' filter will be used (for compatibility with earlier versions of Python).
In Python 3.12, the default will emit a DeprecationWarning.
In Python 3.14, the 'data' filter will become the default instead. It’s possible to switch earlier; see TarFile.extraction_filter.
A callable which will be called for each extracted member with a TarInfo describing the member and the destination path to where the archive is extracted (i.e. the same path is used for all members):
filter(/, member: TarInfo, path: str) -> TarInfo | None
The callable is called just before each member is extracted, so it can take the current state of the disk into account. It can:
return a TarInfo object which will be used instead of the metadata in the archive, or
return None, in which case the member will be skipped, or
raise an exception to abort the operation or skip the member, depending on errorlevel. Note that when extraction is aborted, extractall() may leave the archive partially extracted. It does not attempt to clean up.
Default named filters
The pre-defined, named filters are available as functions, so they can be reused in custom filters:
tarfile.fully_trusted_filter(/, member, path)
Return member unchanged.
This implements the 'fully_trusted' filter.
tarfile.tar_filter(/, member, path)
Implements the 'tar' filter.
Strip leading slashes (/ and os.sep) from filenames.
Refuse to extract files with absolute paths (in case the name is absolute even after stripping slashes, e.g. C:/foo on Windows). This raises AbsolutePathError.
Refuse to extract files whose absolute path (after following symlinks) would end up outside the destination. This raises OutsideDestinationError.
Clear high mode bits (setuid, setgid, sticky) and group/other write bits (S_IWOTH).
Return the modified TarInfo member.
tarfile.data_filter(/, member, path)
Implements the 'data' filter. In addition to what tar_filter does:
Refuse to extract links (hard or soft) that link to absolute paths, or ones that link outside the destination.
This raises AbsoluteLinkError or LinkOutsideDestinationError.
Note that such files are refused even on platforms that do not support symbolic links.
Refuse to extract device files (including pipes). This raises SpecialFileError.
For regular files, including hard links:
Set the owner read and write permissions (S_IWUSR).
Remove the group & other executable permission (S_IXOTH) if the owner doesn’t have it (S_IXUSR).
For other files (directories), set mode to None, so that extraction methods skip applying permission bits.
Set user and group info (uid, gid, uname, gname) to None, so that extraction methods skip setting it.
Return the modified TarInfo member.
Filter errors
When a filter refuses to extract a file, it will raise an appropriate exception, a subclass of FilterError. This will abort the extraction if TarFile.errorlevel is 1 or more. With errorlevel=0 the error will be logged and the member will be skipped, but extraction will continue.
Hints for further verification
Even with filter='data', tarfile is not suited for extracting untrusted files without prior inspection. Among other issues, the pre-defined filters do not prevent denial-of-service attacks. Users should do additional checks.
Here is an incomplete list of things to consider:
Extract to a new temporary directory to prevent e.g. exploiting pre-existing links, and to make it easier to clean up after a failed extraction.
When working with untrusted data, use external (e.g. OS-level) limits on disk, memory and CPU usage.
Check filenames against an allow-list of characters (to filter out control characters, confusables, foreign path separators, etc.).
Check that filenames have expected extensions (discouraging files that execute when you “click on them”, or extension-less files like Windows special device names).
Limit the number of extracted files, total size of extracted data, filename length (including symlink length), and size of individual files.
Check for files that would be shadowed on case-insensitive filesystems.
Also note that:
Tar files may contain multiple versions of the same file. Later ones are expected to overwrite any earlier ones. This feature is crucial to allow updating tape archives, but can be abused maliciously.
tarfile does not protect against issues with “live” data, e.g. an attacker tinkering with the destination (or source) directory while extraction (or archiving) is in progress.
Supporting older Python versions
Extraction filters were added to Python 3.12, and are backported to older versions as security updates. To check whether the feature is available, use e.g. hasattr(tarfile, 'data_filter') rather than checking the Python version.
The following examples show how to support Python versions with and without the feature. Note that setting extraction_filter will affect any subsequent operations.
Fully trusted archive:
my_tarfile.extraction_filter = (lambda member, path: member)
my_tarfile.extractall()
Use the 'data' filter if available, but revert to Python 3.11 behavior ('fully_trusted') if this feature is not available:
my_tarfile.extraction_filter = getattr(tarfile, 'data_filter',
(lambda member, path: member))
my_tarfile.extractall()
Use the 'data' filter; fail if it is not available:
my_tarfile.extractall(filter=tarfile.data_filter)
or:
my_tarfile.extraction_filter = tarfile.data_filter
my_tarfile.extractall()
Use the 'data' filter; warn if it is not available:
if hasattr(tarfile, 'data_filter'):
my_tarfile.extractall(filter='data')
else:
# remove this when no longer needed
warn_the_user('Extracting may be unsafe; consider updating Python')
my_tarfile.extractall()
Stateful extraction filter example
While tarfile’s extraction methods take a simple filter callable, custom filters may be more complex objects with an internal state. It may be useful to write these as context managers, to be used like this:
with StatefulFilter() as filter_func:
tar.extractall(path, filter=filter_func)
Such a filter can be written as, for example:
class StatefulFilter:
def __init__(self):
self.file_count = 0
def __enter__(self):
return self
def __call__(self, member, path):
self.file_count += 1
return member
def __exit__(self, *exc_info):
print(f'{self.file_count} files extracted')
Command-Line Interface
New in version 3.4.
The tarfile module provides a simple command-line interface to interact with tar archives.
If you want to create a new tar archive, specify its name after the -c option and then list the filename(s) that should be included:
python -m tarfile -c monty.tar spam.txt eggs.txt
Passing a directory is also acceptable:
python -m tarfile -c monty.tar life-of-brian_1979/
If you want to extract a tar archive into the current directory, use the -e option:
python -m tarfile -e monty.tar
You can also extract a tar archive into a different directory by passing the directory’s name:
python -m tarfile -e monty.tar other-dir/
For a list of the files in a tar archive, use the -l option:
python -m tarfile -l monty.tar
Command-line options
-l <tarfile>
--list <tarfile>
List files in a tarfile.
-c <tarfile> <source1> ... <sourceN>
--create <tarfile> <source1> ... <sourceN>
Create tarfile from source files.
-e <tarfile> [<output_dir>]
--extract <tarfile> [<output_dir>]
Extract tarfile into the current directory if output_dir is not specified.
-t <tarfile>
--test <tarfile>
Test whether the tarfile is valid or not.
-v, --verbose
Verbose output.
--filter <filtername>
Specifies the filter for --extract. See Extraction filters for details. Only string names are accepted (that is, fully_trusted, tar, and data).
New in version 3.10.12.
Examples
How to extract an entire tar archive to the current working directory:
import tarfile
tar = tarfile.open("sample.tar.gz")
tar.extractall()
tar.close()
How to extract a subset of a tar archive with TarFile.extractall() using a generator function instead of a list:
import os
import tarfile
def py_files(members):
for tarinfo in members:
if os.path.splitext(tarinfo.name)[1] == ".py":
yield tarinfo
tar = tarfile.open("sample.tar.gz")
tar.extractall(members=py_files(tar))
tar.close()
How to create an uncompressed tar archive from a list of filenames:
import tarfile
tar = tarfile.open("sample.tar", "w")
for name in ["foo", "bar", "quux"]:
tar.add(name)
tar.close()
The same example using the with statement:
import tarfile
with tarfile.open("sample.tar", "w") as tar:
for name in ["foo", "bar", "quux"]:
tar.add(name)
How to read a gzip compressed tar archive and display some member information:
import tarfile
tar = tarfile.open("sample.tar.gz", "r:gz")
for tarinfo in tar:
print(tarinfo.name, "is", tarinfo.size, "bytes in size and is ", end="")
if tarinfo.isreg():
print("a regular file.")
elif tarinfo.isdir():
print("a directory.")
else:
print("something else.")
tar.close()
How to create an archive and reset the user information using the filter parameter in TarFile.add():
import tarfile
def reset(tarinfo):
tarinfo.uid = tarinfo.gid = 0
tarinfo.uname = tarinfo.gname = "root"
return tarinfo
tar = tarfile.open("sample.tar.gz", "w:gz")
tar.add("foo", filter=reset)
tar.close()
Supported tar formats
There are three tar formats that can be created with the tarfile module:
The POSIX.1-1988 ustar format (USTAR_FORMAT). It supports filenames up to a length of at best 256 characters and linknames up to 100 characters. The maximum file size is 8 GiB. This is an old and limited but widely supported format.
The GNU tar format (GNU_FORMAT). It supports long filenames and linknames, files bigger than 8 GiB and sparse files. It is the de facto standard on GNU/Linux systems. tarfile fully supports the GNU tar extensions for long names, sparse file support is read-only.
The POSIX.1-2001 pax format (PAX_FORMAT). It is the most flexible format with virtually no limits. It supports long filenames and linknames, large files and stores pathnames in a portable way. Modern tar implementations, including GNU tar, bsdtar/libarchive and star, fully support extended pax features; some old or unmaintained libraries may not, but should treat pax archives as if they were in the universally supported ustar format. It is the current default format for new archives.
It extends the existing ustar format with extra headers for information that cannot be stored otherwise. There are two flavours of pax headers: Extended headers only affect the subsequent file header, global headers are valid for the complete archive and affect all following files. All the data in a pax header is encoded in UTF-8 for portability reasons.
There are some more variants of the tar format which can be read, but not created:
The ancient V7 format. This is the first tar format from Unix Seventh Edition, storing only regular files and directories. Names must not be longer than 100 characters, there is no user/group name information. Some archives have miscalculated header checksums in case of fields with non-ASCII characters.
The SunOS tar extended format. This format is a variant of the POSIX.1-2001 pax format, but is not compatible.
Unicode issues
The tar format was originally conceived to make backups on tape drives with the main focus on preserving file system information. Nowadays tar archives are commonly used for file distribution and exchanging archives over networks. One problem of the original format (which is the basis of all other formats) is that there is no concept of supporting different character encodings. For example, an ordinary tar archive created on a UTF-8 system cannot be read correctly on a Latin-1 system if it contains non-ASCII characters. Textual metadata (like filenames, linknames, user/group names) will appear damaged. Unfortunately, there is no way to autodetect the encoding of an archive. The pax format was designed to solve this problem. It stores non-ASCII metadata using the universal character encoding UTF-8.
The details of character conversion in tarfile are controlled by the encoding and errors keyword arguments of the TarFile class.
encoding defines the character encoding to use for the metadata in the archive. The default value is sys.getfilesystemencoding() or 'ascii' as a fallback. Depending on whether the archive is read or written, the metadata must be either decoded or encoded. If encoding is not set appropriately, this conversion may fail.
The errors argument defines how characters are treated that cannot be converted. Possible values are listed in section Error Handlers. The default scheme is 'surrogateescape' which Python also uses for its file system calls, see File Names, Command Line Arguments, and Environment Variables.
For PAX_FORMAT archives (the default), encoding is generally not needed because all the metadata is stored using UTF-8. encoding is only used in the rare cases when binary pax headers are decoded or when strings with surrogate characters are stored.
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English
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8k
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T9. Version & Code Diff Analysis
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T9.1 Dependency-Aware Multi-Version Impact Analysis
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Full
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Identify all public interfaces directly impacted by the introduction of “extraction filters” (i.e., they accept or control extraction filtering, or are the pre-defined extraction filter functions). Use the artificial identifiers below, which span multiple sections of the document. Output the "[Answer]" identifier first, and then output identifier numbers line by line, without any additional content.
Artificial ID mapping:
K1 TarFile.extractall(path='.', members=None, numeric_owner=False, filter=None).
K2 TarFile.extract(member, path='', set_attrs=True, numeric_owner=False, filter=None).
K3 TarFile.extraction_filter attribute (default extraction filter used by extract/extractall).
K4 Command-line --filter <filtername> option.
K5 tarfile.fully_trusted_filter(member, path).
K6 tarfile.tar_filter(member, path).
K7 tarfile.data_filter(member, path).
K8 TarFile.add(name, arcname=None, recursive=True, filter=None) — add-time filter (not extraction).
K9 TarFile.addfile(tarinfo, fileobj=None).
K10 TarFile.gettarinfo(name=None, arcname=None, fileobj=None).
K11 TarFile.errorlevel attribute.
K12 Command-line -e (extract) without --filter.
Output example:
[Answer]
K2
K4
K6
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Identify all public interfaces directly impacted by the introduction of “extraction filters” (i.e., they accept or control extraction filtering, or are the pre-defined extraction filter functions). Use the artificial identifiers below, which span multiple sections of the document. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output identifier numbers line by line.
Artificial ID mapping:
K1 TarFile.extractall(path='.', members=None, numeric_owner=False, filter=None).
K2 TarFile.extract(member, path='', set_attrs=True, numeric_owner=False, filter=None).
K3 TarFile.extraction_filter attribute (default extraction filter used by extract/extractall).
K4 Command-line --filter <filtername> option.
K5 tarfile.fully_trusted_filter(member, path).
K6 tarfile.tar_filter(member, path).
K7 tarfile.data_filter(member, path).
K8 TarFile.add(name, arcname=None, recursive=True, filter=None) — add-time filter (not extraction).
K9 TarFile.addfile(tarinfo, fileobj=None).
K10 TarFile.gettarinfo(name=None, arcname=None, fileobj=None).
K11 TarFile.errorlevel attribute.
K12 Command-line -e (extract) without --filter.
Output example:
<Your thinking process>
[Answer]
K2
K4
K6
|
[
"K1",
"K2",
"K3",
"K4",
"K5",
"K6",
"K7"
] |
Easy
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2bc1b1da4f5200e446327cf5141cb3b49b09ce016d1f127f54fb5ffb921a2fa4
|
I
“Ideas,” she said. “Oh, as for ideas—”
“Well?” I hazarded, “as for ideas—?”
We went through the old gateway and I cast a glance over my shoulder. The noon sun was shining over the masonry, over the little saints’ effigies, over the little fretted canopies, the grime and the white streaks of bird-dropping.
“There,” I said, pointing toward it, “doesn’t that suggest something to you?”
She made a motion with her head—half negative, half contemptuous.
“But,” I stuttered, “the associations—the ideas—the historical ideas—”
She said nothing.
“You Americans,” I began, but her smile stopped me. It was as if she were amused at the utterances of an old lady shocked by the habits of the daughters of the day. It was the smile of a person who is confident of superseding one fatally.
In conversations of any length one of the parties assumes the superiority—superiority of rank, intellectual or social. In this conversation she, if she did not attain to tacitly acknowledged temperamental superiority, seemed at least to claim it, to have no doubt as to its ultimate according. I was unused to this. I was a talker, proud of my conversational powers.
I had looked at her before; now I cast a sideways, critical glance at her. I came out of my moodiness to wonder what type this was. She had good hair, good eyes, and some charm. Yes. And something besides—a something—a something that was not an attribute of her beauty. The modelling of her face was so perfect and so delicate as to produce an effect of transparency, yet there was no suggestion of frailness; her glance had an extraordinary strength of life. Her hair was fair and gleaming, her cheeks coloured as if a warm light had fallen on them from somewhere. She was familiar till it occurred to you that she was strange.
“Which way are you going?” she asked.
“I am going to walk to Dover,” I answered.
“And I may come with you?”
I looked at her—intent on divining her in that one glance. It was of course impossible. “There will be time for analysis,” I thought.
“The roads are free to all,” I said. “You are not an American?”
She shook her head. No. She was not an Australian either, she came from none of the British colonies.
“You are not English,” I affirmed. “You speak too well.” I was piqued. She did not answer. She smiled again and I grew angry. In the cathedral she had smiled at the verger’s commendation of particularly abominable restorations, and that smile had drawn me toward her, had emboldened me to offer deferential and condemnatory remarks as to the plaster-of-Paris mouldings. You know how one addresses a young lady who is obviously capable of taking care of herself. That was how I had come across her. She had smiled at the gabble of the cathedral guide as he showed the obsessed troop, of which we had formed units, the place of martyrdom of Blessed Thomas, and her smile had had just that quality of superseder’s contempt. It had pleased me then; but, now that she smiled thus past me—it was not quite at me—in the crooked highways of the town, I was irritated. After all, I was somebody; I was not a cathedral verger. I had a fancy for myself in those days—a fancy that solitude and brooding had crystallised into a habit of mind. I was a writer with high—with the highest—ideals. I had withdrawn myself from the world, lived isolated, hidden in the countryside, lived as hermits do, on the hope of one day doing something—of putting greatness on paper. She suddenly fathomed my thoughts: “You write,” she affirmed. I asked how she knew, wondered what she had read of mine—there was so little.
“Are you a popular author?” she asked.
“Alas, no!” I answered. “You must know that.”
“You would like to be?”
“We should all of us like,” I answered; “though it is true some of us protest that we aim for higher things.”
“I see,” she said, musingly. As far as I could tell she was coming to some decision. With an instinctive dislike to any such proceeding as regarded myself, I tried to cut across her unknown thoughts.
“But, really—” I said, “I am quite a commonplace topic. Let us talk about yourself. Where do you come from?”
It occurred to me again that I was intensely unacquainted with her type. Here was the same smile—as far as I could see, exactly the same smile. There are fine shades in smiles as in laughs, as in tones of voice. I seemed unable to hold my tongue.
“Where do you come from?” I asked. “You must belong to one of the new nations. You are a foreigner, I’ll swear, because you have such a fine contempt for us. You irritate me so that you might almost be a Prussian. But it is obvious that you are of a new nation that is beginning to find itself.”
“Oh, we are to inherit the earth, if that is what you mean,” she said.
“The phrase is comprehensive,” I said. I was determined not to give myself away. “Where in the world do you come from?” I repeated. The question, I was quite conscious, would have sufficed, but in the hope, I suppose, of establishing my intellectual superiority, I continued:
“You know, fair play’s a jewel. Now I’m quite willing to give you information as to myself. I have already told you the essentials—you ought to tell me something. It would only be fair play.”
“Why should there be any fair play?” she asked.
“What have you to say against that?” I said. “Do you not number it among your national characteristics?”
“You really wish to know where I come from?”
I expressed lighthearted acquiescence.
“Listen,” she said, and uttered some sounds. I felt a kind of unholy emotion. It had come like a sudden, suddenly hushed, intense gust of wind through a breathless day. “What—what!” I cried.
“I said I inhabit the Fourth Dimension.”
I recovered my equanimity with the thought that I had been visited by some stroke of an obscure and unimportant physical kind.
“I think we must have been climbing the hill too fast for me,” I said, “I have not been very well. I missed what you said.” I was certainly out of breath.
“I said I inhabit the Fourth Dimension,” she repeated with admirable gravity.
“Oh, come,” I expostulated, “this is playing it rather low down. You walk a convalescent out of breath and then propound riddles to him.”
I was recovering my breath, and, with it, my inclination to expand. Instead, I looked at her. I was beginning to understand. It was obvious enough that she was a foreigner in a strange land, in a land that brought out her national characteristics. She must be of some race, perhaps Semitic, perhaps Sclav—of some incomprehensible race. I had never seen a Circassian, and there used to be a tradition that Circassian women were beautiful, were fair-skinned, and so on. What was repelling in her was accounted for by this difference in national point of view. One is, after all, not so very remote from the horse. What one does not understand one shies at—finds sinister, in fact. And she struck me as sinister.
“You won’t tell me who you are?” I said.
“I have done so,” she answered.
“If you expect me to believe that you inhabit a mathematical monstrosity, you are mistaken. You are, really.”
She turned round and pointed at the city.
“Look!” she said.
We had climbed the western hill. Below our feet, beneath a sky that the wind had swept clean of clouds, was the valley; a broad bowl, shallow, filled with the purple of smoke-wreaths. And above the mass of red roofs there soared the golden stonework of the cathedral tower. It was a vision, the last word of a great art. I looked at her. I was moved, and I knew that the glory of it must have moved her.
She was smiling. “Look!” she repeated. I looked.
There was the purple and the red, and the golden tower, the vision, the last word. She said something—uttered some sound.
What had happened? I don’t know. It all looked contemptible. One seemed to see something beyond, something vaster—vaster than cathedrals, vaster than the conception of the gods to whom cathedrals were raised. The tower reeled out of the perpendicular. One saw beyond it, not roofs, or smoke, or hills, but an unrealised, an unrealisable infinity of space.
It was merely momentary. The tower filled its place again and I looked at her.
“What the devil,” I said, hysterically—“what the devil do you play these tricks upon me for?”
“You see,” she answered, “the rudiments of the sense are there.”
“You must excuse me if I fail to understand,” I said, grasping after fragments of dropped dignity. “I am subject to fits of giddiness.” I felt a need for covering a species of nakedness. “Pardon my swearing,” I added; a proof of recovered equanimity.
We resumed the road in silence. I was physically and mentally shaken; and I tried to deceive myself as to the cause. After some time I said:
“You insist then in preserving your—your incognito.”
“Oh, I make no mystery of myself,” she answered.
“You have told me that you come from the Fourth Dimension,” I remarked, ironically.
“I come from the Fourth Dimension,” she said, patiently. She had the air of one in a position of difficulty; of one aware of it and ready to brave it. She had the listlessness of an enlightened person who has to explain, over and over again, to stupid children some rudimentary point of the multiplication table.
She seemed to divine my thoughts, to be aware of their very wording. She even said “yes” at the opening of her next speech.
“Yes,” she said. “It is as if I were to try to explain the new ideas of any age to a person of the age that has gone before.” She paused, seeking a concrete illustration that would touch me. “As if I were explaining to Dr. Johnson the methods and the ultimate vogue of the cockney school of poetry.”
“I understand,” I said, “that you wish me to consider myself as relatively a Choctaw. But what I do not understand is; what bearing that has upon—upon the Fourth Dimension, I think you said?”
“I will explain,” she replied.
“But you must explain as if you were explaining to a Choctaw,” I said, pleasantly, “you must be concise and convincing.”
She answered: “I will.”
She made a long speech of it; I condense. I can’t remember her exact words—there were so many; but she spoke like a book. There was something exquisitely piquant in her choice of words, in her expressionless voice. I seemed to be listening to a phonograph reciting a technical work. There was a touch of the incongruous, of the mad, that appealed to me—the commonplace rolling-down landscape, the straight, white, undulating road that, from the tops of rises, one saw running for miles and miles, straight, straight, and so white. Filtering down through the great blue of the sky came the thrilling of innumerable skylarks. And I was listening to a parody of a scientific work recited by a phonograph.
I heard the nature of the Fourth Dimension—heard that it was an inhabited plane—invisible to our eyes, but omnipresent; heard that I had seen it when Bell Harry had reeled before my eyes. I heard the Dimensionists described: a race clear-sighted, eminently practical, incredible; with no ideals, prejudices, or remorse; with no feeling for art and no reverence for life; free from any ethical tradition; callous to pain, weakness, suffering and death, as if they had been invulnerable and immortal. She did not say that they were immortal, however. “You would—you will—hate us,” she concluded. And I seemed only then to come to myself. The power of her imagination was so great that I fancied myself face to face with the truth. I supposed she had been amusing herself; that she should have tried to frighten me was inadmissible. I don’t pretend that I was completely at my ease, but I said, amiably: “You certainly have succeeded in making these beings hateful.”
“I have made nothing,” she said with a faint smile, and went on amusing herself. She would explain origins, now.
“Your”—she used the word as signifying, I suppose, the inhabitants of the country, or the populations of the earth—“your ancestors were mine, but long ago you were crowded out of the Dimension as we are today, you overran the earth as we shall do tomorrow. But you contracted diseases, as we shall contract them—beliefs, traditions; fears; ideas of pity … of love. You grew luxurious in the worship of your ideals, and sorrowful; you solaced yourselves with creeds, with arts—you have forgotten!”
She spoke with calm conviction; with an overwhelming and dispassionate assurance. She was stating facts; not professing a faith. We approached a little roadside inn. On a bench before the door a dun-clad country fellow was asleep, his head on the table.
“Put your fingers in your ears,” my companion commanded.
I humoured her.
I saw her lips move. The countryman started, shuddered, and by a clumsy, convulsive motion of his arms, upset his quart. He rubbed his eyes. Before he had voiced his emotions we had passed on.
“I have seen a horse-coper do as much for a stallion,” I commented. “I know there are words that have certain effects. But you shouldn’t play pranks like the low-comedy devil in Faustus.”
“It isn’t good form, I suppose?” she sneered.
“It’s a matter of feeling,” I said, hotly, “the poor fellow has lost his beer.”
“What’s that to me?” she commented, with the air of one affording a concrete illustration.
“It’s a good deal to him,” I answered.
“But what to me?”
I said nothing. She ceased her exposition immediately afterward, growing silent as suddenly as she had become discoursive. It was rather as if she had learnt a speech by heart and had come to the end of it. I was quite at a loss as to what she was driving at. There was a newness, a strangeness about her; sometimes she struck me as mad, sometimes as frightfully sane. We had a meal somewhere—a meal that broke the current of her speech—and then, in the late afternoon, took a byroad and wandered in secluded valleys. I had been ill; trouble of the nerves, brooding, the monotony of life in the shadow of unsuccess. I had an errand in this part of the world and had been approaching it deviously, seeking the normal in its quiet hollows, trying to get back to my old self. I did not wish to think of how I should get through the year—of the thousand little things that matter. So I talked and she—she listened very well.
But topics exhaust themselves and, at the last, I myself brought the talk round to the Fourth Dimension. We were sauntering along the forgotten valley that lies between Hardves and Stelling Minnis; we had been silent for several minutes. For me, at least, the silence was pregnant with the undefinable emotions that, at times, run in currents between man and woman. The sun was getting low and it was shadowy in those shrouded hollows. I laughed at some thought, I forget what, and then began to badger her with questions. I tried to exhaust the possibilities of the Dimensionist idea, made grotesque suggestions. I said: “And when a great many of you have been crowded out of the Dimension and invaded the earth you will do so-and-so—” something preposterous and ironical. She coldly dissented, and at once the irony appeared as gross as the jocularity of a commercial traveller. Sometimes she signified: “Yes, that is what we shall do;” signified it without speaking—by some gesture perhaps, I hardly know what. There was something impressive—something almost regal—in this manner of hers; it was rather frightening in those lonely places, which were so forgotten, so gray, so closed in. There was something of the past world about the hanging woods, the little veils of unmoving mist—as if time did not exist in those furrows of the great world; and one was so absolutely alone; anything might have happened. I grew weary of the sound of my tongue. But when I wanted to cease, I found she had on me the effect of some incredible stimulant.
We came to the end of the valley where the road begins to climb the southern hill, out into the open air. I managed to maintain an uneasy silence. From her grimly dispassionate reiterations I had attained to a clear idea, even to a visualisation, of her fantastic conception—allegory, madness, or whatever it was. She certainly forced it home. The Dimensionists were to come in swarms, to materialise, to devour like locusts, to be all the more irresistible because indistinguishable. They were to come like snow in the night: in the morning one would look out and find the world white; they were to come as the gray hairs come, to sap the strength of us as the years sap the strength of the muscles. As to methods, we should be treated as we ourselves treat the inferior races. There would be no fighting, no killing; we—our whole social system—would break as a beam snaps, because we were worm-eaten with altruism and ethics. We, at our worst, had a certain limit, a certain stage where we exclaimed: “No, this is playing it too low down,” because we had scruples that acted like handicapping weights. She uttered, I think, only two sentences of connected words: “We shall race with you and we shall not be weighted,” and, “We shall merely sink you lower by our weight.” All the rest went like this:
“But then,” I would say … “we shall not be able to trust anyone. Anyone may be one of you. …” She would answer: “Anyone.” She prophesied a reign of terror for us. As one passed one’s neighbour in the street one would cast sudden, piercing glances at him.
I was silent. The birds were singing the sun down. It was very dark among the branches, and from minute to minute the colours of the world deepened and grew sombre.
“But—” I said. A feeling of unrest was creeping over me. “But why do you tell me all this?” I asked. “Do you think I will enlist with you?”
“You will have to in the end,” she said, “and I do not wish to waste my strength. If you had to work unwittingly you would resist and resist and resist. I should have to waste my power on you. As it is, you will resist only at first, then you will begin to understand. You will see how we will bring a man down—a man, you understand, with a great name, standing for probity and honour. You will see the nets drawing closer and closer, and you will begin to understand. Then you will cease resisting, that is all.”
I was silent. A June nightingale began to sing, a trifle hoarsely. We seemed to be waiting for some signal. The things of the night came and went, rustled through the grass, rustled through the leafage. At last I could not even see the white gleam of her face. …
I stretched out my hand and it touched hers. I seized it without an instant of hesitation. “How could I resist you?” I said, and heard my own whisper with a kind of amazement at its emotion. I raised her hand. It was very cold and she seemed to have no thought of resistance; but before it touched my lips something like a panic of prudence had overcome me. I did not know what it would lead to—and I remembered that I did not even know who she was. From the beginning she had struck me as sinister and now, in the obscurity, her silence and her coldness seemed to be a passive threatening of unknown entanglement. I let her hand fall.
“We must be getting on,” I said.
The road was shrouded and overhung by branches. There was a kind of translucent light, enough to see her face, but I kept my eyes on the ground. I was vexed. Now that it was past the episode appeared to be a lost opportunity. We were to part in a moment, and her rare mental gifts and her unfamiliar, but very vivid, beauty made the idea of parting intensely disagreeable. She had filled me with a curiosity that she had done nothing whatever to satisfy, and with a fascination that was very nearly a fear. We mounted the hill and came out on a stretch of soft common sward. Then the sound of our footsteps ceased and the world grew more silent than ever. There were little enclosed fields all round us. The moon threw a wan light, and gleaming mist hung in the ragged hedges. Broad, soft roads ran away into space on every side.
“And now …” I asked, at last, “shall we ever meet again?” My voice came huskily, as if I had not spoken for years and years.
“Oh, very often,” she answered.
“Very often?” I repeated. I hardly knew whether I was pleased or dismayed. Through the gate-gap in a hedge, I caught a glimmer of a white house front. It seemed to belong to another world; to another order of things.
“Ah … here is Callan’s,” I said. “This is where I was going. …”
“I know,” she answered; “we part here.”
“To meet again?” I asked.
“Oh … to meet again; why, yes, to meet again.”
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II
Her figure faded into the darkness, as pale things waver down into deep water, and as soon as she disappeared my sense of humour returned. The episode appeared more clearly, as a flirtation with an enigmatic, but decidedly charming, chance travelling companion. The girl was a riddle, and a riddle once guessed is a very trivial thing. She, too, would be a very trivial thing when I had found a solution. It occurred to me that she wished me to regard her as a symbol, perhaps, of the future—as a type of those who are to inherit the earth, in fact. She had been playing the fool with me, in her insolent modernity. She had wished me to understand that I was old-fashioned; that the frame of mind of which I and my fellows were the inheritors was over and done with. We were to be compulsorily retired; to stand aside superannuated. It was obvious that she was better equipped for the swiftness of life. She had a something—not only quickness of wit, not only ruthless determination, but a something quite different and quite indefinably more impressive. Perhaps it was only the confidence of the superseder, the essential quality that makes for the empire of the Occidental. But I was not a negro—not even relatively a Hindu. I was somebody, confound it, I was somebody.
As an author, I had been so uniformly unsuccessful, so absolutely unrecognised, that I had got into the way of regarding myself as ahead of my time, as a worker for posterity. It was a habit of mind—the only revenge that I could take upon despiteful Fate. This girl came to confound me with the common herd—she declared herself to be that very posterity for which I worked.
She was probably a member of some clique that called themselves Fourth Dimensionists—just as there had been pre-Raphaelites. It was a matter of cant allegory. I began to wonder how it was that I had never heard of them. And how on earth had they come to hear of me!
“She must have read something of mine,” I found myself musing: “the Jenkins story perhaps. It must have been the Jenkins story; they gave it a good place in their rotten magazine. She must have seen that it was the real thing, and. …” When one is an author one looks at things in that way, you know.
By that time I was ready to knock at the door of the great Callan. I seemed to be jerked into the commonplace medium of a great, great—oh, an infinitely great—novelist’s home life. I was led into a well-lit drawing-room, welcomed by the great man’s wife, gently propelled into a bedroom, made myself tidy, descended and was introduced into the sanctum, before my eyes had grown accustomed to the lamplight. Callan was seated upon his sofa surrounded by an admiring crowd of very local personages. I forget what they looked like. I think there was a man whose reddish beard did not become him and another whose face might have been improved by the addition of a reddish beard; there was also an extremely moody dark man and I vaguely recollect a person who lisped.
They did not talk much; indeed there was very little conversation. What there was Callan supplied. He—spoke—very—slowly—and—very—authoritatively, like a great actor whose aim is to hold the stage as long as possible. The raising of his heavy eyelids at the opening door conveyed the impression of a dark, mental weariness; and seemed somehow to give additional length to his white nose. His short, brown beard was getting very grey, I thought. With his lofty forehead and with his superior, yet propitiatory smile, I was of course familiar. Indeed one saw them on posters in the street. The notables did not want to talk. They wanted to be spellbound—and they were. Callan sat there in an appropriate attitude—the one in which he was always photographed. One hand supported his head, the other toyed with his watch-chain. His face was uniformly solemn, but his eyes were disconcertingly furtive. He cross-questioned me as to my walk from Canterbury; remarked that the cathedral was a—magnificent—Gothic—Monument and set me right as to the lie of the roads. He seemed pleased to find that I remembered very little of what I ought to have noticed on the way. It gave him an opportunity for the display of his local erudition.
“A—remarkable woman—used—to—live—in—the—cottage—next—the—mill—at—Stelling,” he said; “she was the original of Kate Wingfield.”
“In your Boldero?” the chorus chorused.
Remembrance of the common at Stelling—of the glimmering white faces of the shadowy cottages—was like a cold waft of mist to me. I forgot to say “Indeed!”
“She was—a very—remarkable—woman—She—”
I found myself wondering which was real; the common with its misty hedges and the blurred moon; or this room with its ranks of uniformly bound books and its bust of the great man that threw a portentous shadow upward from its pedestal behind the lamp.
Before I had entirely recovered myself, the notables were departing to catch the last train. I was left alone with Callan.
He did not trouble to resume his attitude for me, and when he did speak, spoke faster.
“Interesting man, Mr. Jinks?” he said; “you recognised him?”
“No,” I said; “I don’t think I ever met him.”
Callan looked annoyed.
“I thought I’d got him pretty well. He’s Hector Steele. In my Blanfield,” he added.
“Indeed!” I said. I had never been able to read Blanfield. “Indeed, ah, yes—of course.”
There was an awkward pause.
“The whiskey will be here in a minute,” he said, suddenly. “I don’t have it in when Whatnot’s here. He’s the Rector, you know; a great temperance man. When we’ve had a—a modest quencher—we’ll get to business.”
“Oh,” I said, “your letters really meant—”
“Of course,” he answered. “Oh, here’s the whiskey. Well now, Fox was down here the other night. You know Fox, of course?”
“Didn’t he start the rag called—?”
“Yes, yes,” Callan answered, hastily, “he’s been very successful in launching papers. Now he’s trying his hand with a new one. He’s any amount of backers—big names, you know. He’s to run my next as a feuilleton. This—this venture is to be rather more serious in tone than any that he’s done hitherto. You understand?”
“Why, yes,” I said; “but I don’t see where I come in.”
Callan took a meditative sip of whiskey, added a little more water, a little more whiskey, and then found the mixture to his liking.
“You see,” he said, “Fox got a letter here to say that Wilkinson had died suddenly—some affection of the heart. Wilkinson was to have written a series of personal articles on prominent people. Well, Fox was nonplussed and I put in a word for you.”
“I’m sure I’m much—” I began.
“Not at all, not at all,” Callan interrupted, blandly. “I’ve known you and you’ve known me for a number of years.”
A sudden picture danced before my eyes—the portrait of the Callan of the old days—the fawning, shady individual, with the seedy clothes, the furtive eyes and the obliging manners.
“Why, yes,” I said; “but I don’t see that that gives me any claim.”
Callan cleared his throat.
“The lapse of time,” he said in his grand manner, “rivets what we may call the bands of association.”
He paused to inscribe this sentence on the tablets of his memory. It would be dragged in—to form a purple patch—in his new serial.
“You see,” he went on, “I’ve written a good deal of autobiographical matter and it would verge upon self-advertisement to do more. You know how much I dislike that. So I showed Fox your sketch in the Kensington.”
“The Jenkins story?” I said. “How did you come to see it?”
“Then send me the Kensington,” he answered. There was a touch of sourness in his tone, and I remembered that the Kensington I had seen had been ballasted with seven goodly pages by Callan himself—seven unreadable packed pages of a serial.
“As I was saying,” Callan began again, “you ought to know me very well, and I suppose you are acquainted with my books. As for the rest, I will give you what material you want.”
“But, my dear Callan,” I said, “I’ve never tried my hand at that sort of thing.”
Callan silenced me with a wave of his hand.
“It struck both Fox and myself that your—your ‘Jenkins’ was just what was wanted,” he said; “of course, that was a study of a kind of broken-down painter. But it was well done.”
I bowed my head. Praise from Callan was best acknowledged in silence.
“You see, what we want, or rather what Fox wants,” he explained, “is a kind of series of studies of celebrities chez eux. Of course, they are not broken down. But if you can treat them as you treated Jenkins—get them in their studies, surrounded by what in their case stands for the broken lay figures and the faded serge curtains—it will be exactly the thing. It will be a new line, or rather—what is a great deal better, mind you—an old line treated in a slightly, very slightly different way. That’s what the public wants.”
“Ah, yes,” I said, “that’s what the public wants. But all the same, it’s been done time out of mind before. Why, I’ve seen photographs of you and your armchair and your pen-wiper and so on, half a score of times in the sixpenny magazines.”
Callan again indicated bland superiority with a wave of his hand.
“You undervalue yourself,” he said.
I murmured—“Thanks.”
“This is to be—not a mere pandering to curiosity—but an attempt to get at the inside of things—to get the atmosphere, so to speak; not merely to catalogue furniture.”
He was quoting from the prospectus of the new paper, and then cleared his throat for the utterance of a tremendous truth.
“Photography—is not—Art,” he remarked.
The fantastic side of our colloquy began to strike me.
“After all,” I thought to myself, “why shouldn’t that girl have played at being a denizen of another sphere? She did it ever so much better than Callan. She did it too well, I suppose.”
“The price is very decent,” Callan chimed in. “I don’t know how much per thousand, … but. …”
I found myself reckoning, against my will as it were.
“You’ll do it, I suppose?” he said.
I thought of my debts … “Why, yes, I suppose so,” I answered. “But who are the others that I am to provide with atmospheres?”
Callan shrugged his shoulders.
“Oh, all sorts of prominent people—soldiers, statesmen, Mr. Churchill, the Foreign Minister, artists, preachers—all sorts of people.”
“All sorts of glory,” occurred to me.
“The paper will stand expenses up to a reasonable figure,” Callan reassured me.
“It’ll be a good joke for a time,” I said. “I’m infinitely obliged to you.”
He warded off my thanks with both hands.
“I’ll just send a wire to Fox to say that you accept,” he said, rising. He seated himself at his desk in the appropriate attitude. He had an appropriate attitude for every vicissitude of his life. These he had struck before so many people that even in the small hours of the morning he was ready for the kodak wielder. Beside him he had every form of labour-saver; every kind of literary knickknack. There were book-holders that swung into positions suitable to appropriate attitudes; there were piles of little green boxes with red capital letters of the alphabet upon them, and big red boxes with black small letters. There was a writing-lamp that cast an aesthetic glow upon another appropriate attitude—and there was one typewriter with notepaper upon it, and another with MS. paper already in position.
“My God!” I thought—“to these heights the Muse soars.”
As I looked at the gleaming pillars of the typewriters, the image of my own desk appeared to me; chipped, ink-stained, gloriously dusty. I thought that when again I lit my battered old tin lamp I should see ashes and match-ends; a tobacco-jar, an old gnawed penny penholder, bits of pink blotting-paper, matchboxes, old letters, and dust everywhere. And I knew that my attitude—when I sat at it—would be inappropriate.
Callan was ticking off the telegram upon his machine. “It will go in the morning at eight,” he said.
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III
To encourage me, I suppose, Callan gave me the proof-sheets of his next to read in bed. The thing was so bad that it nearly sickened me of him and his jobs. I tried to read the stuff; to read it conscientiously, to read myself to sleep with it. I was under obligations to old Cal and I wanted to do him justice, but the thing was impossible. I fathomed a sort of a plot. It dealt in fratricide with a touch of adultery; a Great Moral Purpose loomed in the background. It would have been a dully readable novel but for that; as it was, it was intolerable. It was amazing that Cal himself could put out such stuff; that he should have the impudence. He was not a fool, not by any means a fool. It revolted me more than a little.
I came to it out of a different plane of thought. I may not have been able to write then—or I may; but I did know enough to recognise the flagrantly, the indecently bad, and, upon my soul, the idea that I, too, must cynically offer this sort of stuff if I was ever to sell my tens of thousands very nearly sent me back to my solitude. Callan had begun very much as I was beginning now; he had even, I believe, had ideals in his youth and had starved a little. It was rather trying to think that perhaps I was really no more than another Callan, that, when at last I came to review my life, I should have much such a record to look back upon. It disgusted me a little, and when I put out the light the horrors settled down upon me.
I woke in a shivering frame of mind, ashamed to meet Callan’s eye. It was as if he must be aware of my overnight thoughts, as if he must think me a fool who quarrelled with my victuals. He gave no signs of any such knowledge—was dignified, cordial; discussed his breakfast with gusto, opened his letters, and so on. An anaemic amanuensis was taking notes for appropriate replies. How could I tell him that I would not do the work, that I was too proud and all the rest of it? He would have thought me a fool, would have stiffened into hostility, I should have lost my last chance. And, in the broad light of day, I was loath to do that.
He began to talk about indifferent things; we glided out on to a current of mediocre conversation. The psychical moment, if there were any such, disappeared.
Someone bearing my name had written to express an intention of offering personal worship that afternoon. The prospect seemed to please the great Cal. He was used to such things; he found them pay, I suppose. We began desultorily to discuss the possibility of the writer’s being a relation of mine; I doubted. I had no relations that I knew of; there was a phenomenal old aunt who had inherited the acres and respectability of the Etchingham Grangers, but she was not the kind of person to worship a novelist. I, the poor last of the family, was without the pale, simply because I, too, was a novelist. I explained these things to Callan and he commented on them, found it strange how small or how large, I forget which, the world was. Since his own apotheosis shoals of Callans had claimed relationship.
I ate my breakfast. Afterward, we set about the hatching of that article—the thought of it sickens me even now. You will find it in the volume along with the others; you may see how I lugged in Callan’s surroundings, his writing-room, his dining-room, the romantic arbour in which he found it easy to write love-scenes, the clipped trees like peacocks and the trees clipped like bears, and all the rest of the background for appropriate attitudes. He was satisfied with any arrangements of words that suggested a gentle awe on the part of the writer.
“Yes, yes,” he said once or twice, “that’s just the touch, just the touch—very nice. But don’t you think. …” We lunched after some time.
I was so happy. Quite pathetically happy. It had come so easy to me. I had doubted my ability to do the sort of thing; but it had written itself, as money spends itself, and I was going to earn money like that. The whole of my past seemed a mistake—a childishness. I had kept out of this sort of thing because I had thought it below me; I had kept out of it and had starved my body and warped my mind. Perhaps I had even damaged my work by this isolation. To understand life one must live—and I had only brooded. But, by Jove, I would try to live now.
Callan had retired for his accustomed siesta and I was smoking pipe after pipe over a confoundedly bad French novel that I had found in the bookshelves. I must have been dozing. A voice from behind my back announced:
“Miss Etchingham Granger!” and added—“Mr. Callan will be down directly.” I laid down my pipe, wondered whether I ought to have been smoking when Cal expected visitors, and rose to my feet.
“You!” I said, sharply. She answered, “You see.” She was smiling. She had been so much in my thoughts that I was hardly surprised—the thing had even an air of pleasant inevitability about it.
“You must be a cousin of mine,” I said, “the name—”
“Oh, call it sister,” she answered.
I was feeling inclined for farce, if blessed chance would throw it in my way. You see, I was going to live at last, and life for me meant irresponsibility.
“Ah!” I said, ironically, “you are going to be a sister to me, as they say.” She might have come the bogy over me last night in the moonlight, but now … There was a spice of danger about it, too, just a touch lurking somewhere. Besides, she was good-looking and well set up, and I couldn’t see what could touch me. Even if it did, even if I got into a mess, I had no relatives, not even a friend, to be worried about me. I stood quite alone, and I half relished the idea of getting into a mess—it would be part of life, too. I was going to have a little money, and she excited my curiosity. I was tingling to know what she was really at.
“And one might ask,” I said, “what you are doing in this—in this. …” I was at a loss for a word to describe the room—the smugness parading as professional Bohemianism.
“Oh, I am about my own business,” she said, “I told you last night—have you forgotten?”
“Last night you were to inherit the earth,” I reminded her, “and one doesn’t start in a place like this. Now I should have gone—well—I should have gone to some politician’s house—a cabinet minister’s—say to Gurnard’s. He’s the coming man, isn’t he?”
“Why, yes,” she answered, “he’s the coming man.”
You will remember that, in those days, Gurnard was only the dark horse of the ministry. I knew little enough of these things, despised politics generally; they simply didn’t interest me. Gurnard I disliked platonically; perhaps because his face was a little enigmatic—a little repulsive. The country, then, was in the position of having no Opposition and a Cabinet with two distinct strains in it—the Churchill and the Gurnard—and Gurnard was the dark horse.
“Oh, you should join your flats,” I said, pleasantly. “If he’s the coming man, where do you come in? … Unless he, too, is a Dimensionist.”
“Oh, both—both,” she answered. I admired the tranquillity with which she converted my points into her own. And I was very happy—it struck me as a pleasant sort of fooling. …
“I suppose you will let me know some day who you are?” I said.
“I have told you several times,” she answered.
“Oh, you won’t frighten me today,” I asserted, “not here, you know, and anyhow, why should you want to?”
“I have told you,” she said again.
“You’ve told me you were my sister,” I said; “but my sister died years and years ago. Still, if it suits you, if you want to be somebody’s sister …”
“It suits me,” she answered—“I want to be placed, you see.”
I knew that my name was good enough to place anyone. We had been the Grangers of Etchingham since—oh, since the flood. And if the girl wanted to be my sister and a Granger, why the devil shouldn’t she, so long as she would let me continue on this footing? I hadn’t talked to a woman—not to a well setup one—for ages and ages. It was as if I had come back from one of the places to which younger sons exile themselves, and for all I knew it might be the correct thing for girls to elect brothers nowadays in one set or another.
“Oh, tell me some more,” I said, “one likes to know about one’s sister. You and the Right Honourable Charles Gurnard are Dimensionists, and who are the others of your set?”
“There is only one,” she answered. And would you believe it!—it seems he was Fox, the editor of my new paper.
“You select your characters with charming indiscriminateness,” I said. “Fox is only a sort of toad, you know—he won’t get far.”
“Oh, he’ll go far,” she answered, “but he won’t get there. Fox is fighting against us.”
“Oh, so you don’t dwell in amity?” I said. “You fight for your own hands.”
“We fight for our own hands,” she answered, “I shall throw Gurnard over when he’s pulled the chestnuts out of the fire.”
I was beginning to get a little tired of this. You see, for me, the scene was a veiled flirtation and I wanted to get on. But I had to listen to her fantastic scheme of things. It was really a duel between Fox, the Journal-founder, and Gurnard, the Chancellor of the Exchequer. Fox, with Churchill, the Foreign Minister, and his supporters, for pieces, played what he called “the Old Morality business” against Gurnard, who passed for a cynically immoral politician.
I grew more impatient. I wanted to get out of this stage into something more personal. I thought she invented this sort of stuff to keep me from getting at her errand at Callan’s. But I didn’t want to know her errand; I wanted to make love to her. As for Fox and Gurnard and Churchill, the Foreign Minister, who really was a sympathetic character and did stand for political probity, she might be uttering allegorical truths, but I was not interested in them. I wanted to start some topic that would lead away from this Dimensionist farce.
“My dear sister,” I began. … Callan always moved about like a confounded eavesdropper, wore carpet slippers, and stepped round the corners of screens. I expect he got copy like that.
“So, she’s your sister?” he said suddenly, from behind me. “Strange that you shouldn’t recognise the handwriting. …”
“Oh, we don’t correspond,” I said light-heartedly, “we are so different.” I wanted to take a rise out of the creeping animal that he was. He confronted her blandly.
“You must be the little girl that I remember,” he said. He had known my parents ages ago. That, indeed, was how I came to know him; I wouldn’t have chosen him for a friend. “I thought Granger said you were dead … but one gets confused. …”
“Oh, we see very little of each other,” she answered. “Arthur might have said I was dead—he’s capable of anything, you know.” She spoke with an assumption of sisterly indifference that was absolutely striking. I began to think she must be an actress of genius, she did it so well. She was the sister who had remained within the pale; I, the rapscallion of a brother whose vagaries were trying to his relations. That was the note she struck, and she maintained it. I didn’t know what the deuce she was driving at, and I didn’t care. These scenes with a touch of madness appealed to me. I was going to live, and here, apparently, was a woman ready to my hand. Besides, she was making a fool of Callan, and that pleased me. His patronising manners had irritated me.
I assisted rather silently. They began to talk of mutual acquaintances—as one talks. They both seemed to know everyone in this world. She gave herself the airs of being quite in the inner ring; alleged familiarity with quite impossible persons, with my portentous aunt, with Cabinet Ministers—that sort of people. They talked about them—she, as if she lived among them; he, as if he tried very hard to live up to them.
She affected reverence for his person, plied him with compliments that he swallowed raw—horribly raw. It made me shudder a little; it was tragic to see the little great man confronted with that woman. It shocked me to think that, really, I must appear much like him—must have looked like that yesterday. He was a little uneasy, I thought, made little confidences as if in spite of himself; little confidences about the Hour, the new paper for which I was engaged. It seemed to be run by a small gang with quite a number of assorted axes to grind. There was some foreign financier—a person of position whom she knew (a noble man in the best sense, Callan said); there was some politician (she knew him too, and he was equally excellent, so Callan said), Mr. Churchill himself, an artist or so, an actor or so—and Callan. They all wanted a little backing, so it seemed. Callan, of course, put it in another way. The Great—Moral—Purpose turned up, I don’t know why. He could not think he was taking me in and she obviously knew more about the people concerned than he did. But there it was, looming large, and quite as farcical as all the rest of it. The foreign financier—they called him the Duc de Mersch—was by way of being a philanthropist on megalomaniac lines. For some international reason he had been allowed to possess himself of the pleasant land of Greenland. There was gold in it and train-oil in it and other things that paid—but the Duc de Mersch was not thinking of that. He was first and foremost a State Founder, or at least he was that after being titular ruler of some little spot of a Teutonic grand-duchy. No one of the great powers would let any other of the great powers possess the country, so it had been handed over to the Duc de Mersch, who had at heart, said Cal, the glorious vision of founding a model state—the model state, in which washed and broadclothed Eskimo would live, side by side, regenerated lives, enfranchised equals of choicely selected younger sons of whatever occidental race. It was that sort of thing. I was even a little overpowered, in spite of the fact that Callan was its trumpeter; there was something fine about the conception and Churchill’s acquiescence seemed to guarantee an honesty in its execution.
The Duc de Mersch wanted money, and he wanted to run a railway across Greenland. His idea was that the British public should supply the money and the British Government back the railway, as they did in the case of a less philanthropic Suez Canal. In return he offered an eligible harbour and a strip of coast at one end of the line; the British public was to be repaid in casks of train-oil and gold and with the consciousness of having aided in letting the light in upon a dark spot of the earth. So the Duc de Mersch started the Hour. The Hour was to extol the Duc de Mersch’s moral purpose; to pat the Government’s back; influence public opinion; and generally advance the cause of the System for the Regeneration of the Arctic Regions.
I tell the story rather flippantly, because I heard it from Callan, and because it was impossible to take him seriously. Besides, I was not very much interested in the thing itself. But it did interest me to see how deftly she pumped him—squeezed him dry.
I was even a little alarmed for poor old Cal. After all, the man had done me a service; had got me a job. As for her, she struck me as a potentially dangerous person. One couldn’t tell, she might be some adventuress, or if not that, a speculator who would damage Cal’s little schemes. I put it to her plainly afterward; and quarrelled with her as well as I could. I drove her down to the station. Callan must have been distinctly impressed or he would never have had out his trap for her.
“You know,” I said to her, “I won’t have you play tricks with Callan—not while you’re using my name. It’s very much at your service as far as I’m concerned—but, confound it, if you’re going to injure him I shall have to show you up—to tell him.”
“You couldn’t, you know,” she said, perfectly calmly, “you’ve let yourself in for it. He wouldn’t feel pleased with you for letting it go as far as it has. You’d lose your job, and you’re going to live, you know—you’re going to live. …”
I was taken aback by this veiled threat in the midst of the pleasantry. It wasn’t fair play—not at all fair play. I recovered some of my old alarm, remembered that she really was a dangerous person; that …
“But I shan’t hurt Callan,” she said, suddenly, “you may make your mind easy.”
“You really won’t?” I asked.
“Really not,” she answered. It relieved me to believe her. I did not want to quarrel with her. You see, she fascinated me, she seemed to act as a stimulant, to set me tingling somehow—and to baffle me. … And there was truth in what she said. I had let myself in for it, and I didn’t want to lose Callan’s job by telling him I had made a fool of him.
“I don’t care about anything else,” I said. She smiled.
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IV
I went up to town bearing the Callan article, and a letter of warm commendation from Callan to Fox. I had been very docile; had accepted emendations; had lavished praise, had been unctuous and yet had contrived to retain the dignified savour of the editorial “we.” Callan himself asked no more.
I was directed to seek Fox out—to find him immediately. The matter was growing urgent. Fox was not at the office—the brand new office that I afterward saw pass through the succeeding stages of businesslike comfort and dusty neglect. I was directed to ask for him at the stage door of the Buckingham.
I waited in the doorkeeper’s glass box at the Buckingham. I was eyed by the suspicious commissionaire with the contempt reserved for resting actors. Resting actors are hungry suppliants as a rule. Call-boys sought Mr. Fox. “Anybody seen Mr. Fox? He’s gone to lunch.”
“Mr. Fox is out,” said the commissionaire.
I explained that the matter was urgent. More call-boys disappeared through the folding doors. Unenticing personages passed the glass box, casting hostile glances askance at me on my high stool. A message came back.
“If it’s Mr. Etchingham Granger, he’s to follow Mr. Fox to Mrs. Hartly’s at once.”
I followed Mr. Fox to Mrs. Hartly’s—to a little flat in a neighbourhood that I need not specify. The eminent journalist was lunching with the eminent actress. A husband was in attendance—a nonentity with a heavy yellow moustache, who hummed and hawed over his watch.
Mr. Fox was full-faced, with a persuasive, peremptory manner. Mrs. Hartly was—well, she was just Mrs. Hartly. You remember how we all fell in love with her figure and her manner, and her voice, and the way she used her hands. She broke her bread with those very hands; spoke to her husband with that very voice, and rose from table with that same graceful management of her limp skirts. She made eyes at me; at her husband; at little Fox, at the man who handed the asparagus—great round grey eyes. She was just the same. The curtain never fell on that eternal dress rehearsal. I don’t wonder the husband was forever looking at his watch.
Mr. Fox was a friend of the house. He dispensed with ceremony, read my manuscript over his Roquefort, and seemed to find it add to the savour.
“You are going to do me for Mr. Fox,” Mrs. Hartly said, turning her large grey eyes upon me. They were very soft. They seemed to send out waves of intense sympatheticism. I thought of those others that had shot out a razor-edged ray.
“Why,” I answered, “there was some talk of my doing somebody for the Hour.”
Fox put my manuscript under his empty tumbler.
“Yes,” he said, sharply. “He will do, I think. H’m, yes. Why, yes.”
“You’re a friend of Mr. Callan’s, aren’t you?” Mrs. Hartly asked, “What a dear, nice man he is! You should see him at rehearsals. You know I’m doing his Boldero; he’s given me a perfectly lovely part—perfectly lovely. And the trouble he takes. He tries every chair on the stage.”
“H’m; yes,” Fox interjected, “he likes to have his own way.”
“We all like that,” the great actress said. She was quoting from her first great part. I thought—but, perhaps, I was mistaken—that all her utterances were quotations from her first great part. Her husband looked at his watch.
“Are you coming to this confounded flower show?” he asked.
“Yes,” she said, turning her mysterious eyes upon him, “I’ll go and get ready.”
She disappeared through an inner door. I expected to hear the pistol-shot and the heavy fall from the next room. I forgot that it was not the end of the fifth act.
Fox put my manuscript into his breast pocket.
“Come along, Granger,” he said to me, “I want to speak to you. You’ll have plenty of opportunity for seeing Mrs. Hartly, I expect. She’s tenth on your list. Good day, Hartly.”
Hartly’s hand was wavering between his moustache and his watch pocket.
“Good day,” he said sulkily.
“You must come and see me again, Mr. Granger,” Mrs. Hartly said from the door. “Come to the Buckingham and see how we’re getting on with your friend’s play. We must have a good long talk if you’re to get my local colour, as Mr. Fox calls it.”
“To gild refined gold; to paint the lily,
To throw a perfume on the violet—”
I quoted banally.
“That’s it,” she said, with a tender smile. She was fastening a button in her glove. I doubt her recognition of the quotation.
When we were in our hansom, Fox began:
“I’m relieved by what I’ve seen of your copy. One didn’t expect this sort of thing from you. You think it a bit below you, don’t you? Oh, I know, I know. You literary people are usually so impracticable; you know what I mean. Callan said you were the man. Callan has his uses; but one has something else to do with one’s paper. I’ve got interests of my own. But you’ll do; it’s all right. You don’t mind my being candid, do you, now?” I muttered that I rather liked it.
“Well then,” he went on, “now I see my way.”
“I’m glad you do,” I murmured. “I wish I did.”
“Oh, that will be all right,” Fox comforted. “I dare say Callan has rather sickened you of the job; particularly if you ain’t used to it. But you won’t find the others as trying. There’s Churchill now, he’s your next. You’ll have to mind him. You’ll find him a decent chap. Not a bit of side on him.”
“What Churchill?” I asked.
“The Foreign Minister.”
“The devil,” I said.
“Oh, you’ll find him all right,” Fox reassured; “you’re to go down to his place tomorrow. It’s all arranged. Here we are. Hop out.” He suited his own action to his words and ran nimbly up the new terra-cotta steps of the Hour’s home. He left me to pay the cabman.
When I rejoined him he was giving directions to an invisible somebody through folding doors.
“Come along,” he said, breathlessly. “Can’t see him,” he added to a little boy, who held a card in his hands. “Tell him to go to Mr. Evans. One’s life isn’t one’s own here,” he went on, when he had reached his own room.
It was a palatial apartment furnished in white and gold—Louis Quinze, or something of the sort—with very new decorations after Watteau covering the walls. The process of disfiguration, however, had already begun. A roll desk of the least possible Louis Quinze order stood in one of the tall windows; the carpet was marked by muddy footprints, and a matchboard screen had been run across one end of the room.
“Hullo, Evans,” Fox shouted across it, “just see that man from Grant’s, will you? Heard from the Central News yet?”
He was looking through the papers on the desk.
“Not yet, I’ve just rung them up for the fifth time,” the answer came.
“Keep on at it,” Fox exhorted.
“Here’s Churchill’s letter,” he said to me. “Have an armchair; those blasted things are too uncomfortable for anything. Make yourself comfortable. I’ll be back in a minute.”
I took an armchair and addressed myself to the Foreign Minister’s letter. It expressed bored tolerance of a potential interviewer, but it seemed to please Fox. He ran into the room, snatched up a paper from his desk, and ran out again.
“Read Churchill’s letter?” he asked, in passing. “I’ll tell you all about it in a minute.” I don’t know what he expected me to do with it—kiss the postage stamp, perhaps.
At the same time, it was pleasant to sit there idle in the midst of the hurry, the breathlessness. I seemed to be at last in contact with real life, with the life that matters. I was somebody, too. Fox treated me with a kind of deference—as if I were a great unknown. His “you literary men” was pleasing. It was the homage that the pretender pays to the legitimate prince; the recognition due to the real thing from the machine-made imitation; the homage of the builder to the architect.
“Ah, yes,” it seemed to say, “we jobbing men run up our rows and rows of houses; build whole towns and fill the papers for years. But when we want something special—something monumental—we have to come to you.”
Fox came in again.
“Very sorry, my dear fellow, find I can’t possibly get a moment for a chat with you. Look here, come and dine with me at the Paragraph round the corner—tonight at six sharp. You’ll go to Churchill’s tomorrow.”
The Paragraph Club, where I was to meet Fox, was one of those sporadic establishments that spring up in the neighbourhood of the Strand. It is one of their qualities that they are always just round the corner; another, that their stewards are too familiar; another, that they—in the opinion of the other members—are run too much for the convenience of one in particular.
In this case it was Fox who kept the dinner waiting. I sat in the little smoking-room and, from behind a belated morning paper, listened to the conversation of the three or four journalists who represented the members. I felt as a new boy in a new school feels on his first introduction to his fellows.
There was a fossil dramatic critic sleeping in an armchair before the fire. At dinnertime he woke up, remarked:
“You should have seen Fanny Ellsler,” and went to sleep again.
Sprawling on a red velvet couch was a beau jeune homme, with the necktie of a Parisian-American student. On a chair beside him sat a personage whom, perhaps because of his plentiful lack of h’s, I took for a distinguished foreigner.
They were talking about a splendid subject for a music-hall dramatic sketch of some sort—afforded by a bus driver, I fancy.
I heard afterward that my Frenchman had been a costermonger and was now half journalist, half financier, and that my art student was an employee of one of the older magazines.
“Dinner’s on the table, gents,” the steward said from the door. He went toward the sleeper by the fire. “I expect Mr. Cunningham will wear that armchair out before he’s done,” he said over his shoulder.
“Poor old chap; he’s got nowhere else to go to,” the magazine employee said.
“Why doesn’t he go to the work’ouse,” the journalist financier retorted. “Make a good sketch that, eh?” he continued, reverting to his bus-driver.
“Jolly!” the magazine employee said, indifferently.
“Now, then, Mr. Cunningham,” the steward said, touching the sleeper on the shoulder, “dinner’s on the table.”
“God bless my soul,” the dramatic critic said, with a start. The steward left the room. The dramatic critic furtively took a set of false teeth out of his waistcoat pocket; wiped them with a bandanna handkerchief, and inserted them in his mouth.
He tottered out of the room.
I got up and began to inspect the pen-and-ink sketches on the walls.
The faded paltry caricatures of faded paltry lesser lights that confronted me from flyblown frames on the purple walls almost made me shiver.
“There you are, Granger,” said a cheerful voice behind me. “Come and have some dinner.”
I went and had some dinner. It was seasoned by small jokes and little personalities. A Teutonic journalist, a musical critic, I suppose, inquired as to the origin of the meagre pheasant. Fox replied that it had been preserved in the backyard. The dramatic critic mumbled unheard that some piece or other was off the bills of the Adelphi. I grinned vacantly. Afterward, under his breath, Fox put me up to a thing or two regarding the inner meaning of the new daily. Put by him, without any glamour of a moral purpose, the case seemed rather mean. The dingy smoking-room depressed me and the whole thing was, what I had, for so many years, striven to keep out of. Fox hung over my ear, whispering. There were shades of intonation in his sibillating. Some of those “in it,” the voice implied, were not aboveboard; others were, and the tone became deferential, implied that I was to take my tone from itself.
“Of course, a man like the Right Honourable C. does it on the straight, … quite on the straight, … has to have some sort of semiofficial backer. … In this case, it’s me, … the Hour. They’re a bit splitty, the Ministry, I mean. … They say Gurnard isn’t playing square … they say so.” His broad, red face glowed as he bent down to my ear, his little sea-blue eyes twinkled with moisture. He enlightened me cautiously, circumspectly. There was something unpleasant in the business—not exactly in Fox himself, but the kind of thing. I wish he would cease his explanations—I didn’t want to hear them. I have never wanted to know how things are worked; preferring to take the world at its face value. Callan’s revelations had been bearable, because of the farcical pompousness of his manner. But this was different, it had the stamp of truth, perhaps because it was a little dirty. I didn’t want to hear that the Foreign Minister was ever so remotely mixed up in this business. He was only a symbol to me, but he stood for the stability of statesmanship and for the decencies that it is troublesome to have touched.
“Of course,” he was proceeding, “the Churchill gang would like to go on playing the standoff to us. But it won’t do, they’ve got to come in or see themselves left. Gurnard has pretty well nobbled their old party press, so they’ve got to begin all over again.”
That was it—that was precisely it. Churchill ought to have played the standoff to people like us—to have gone on playing it at whatever cost. That was what I demanded of the world as I conceived it. It was so much less troublesome in that way. On the other hand, this was life—I was living now and the cost of living is disillusionment; it was the price I had to pay. Obviously, a Foreign Minister had to have a semiofficial organ, or I supposed so. … “Mind you,” Fox whispered on, “I think myself, that it’s a pity he is supporting the Greenland business. The thing’s not altogether straight. But it’s going to be made to pay like hell, and there’s the national interest to be considered. If this Government didn’t take it up, some other would—and that would give Gurnard and a lot of others a peg against Churchill and his. We can’t afford to lose any more coaling stations in Greenland or anywhere else. And, mind you, Mr. C. can look after the interests of the niggers a good deal better if he’s a hand in the pie. You see the position, eh?”
I wasn’t actually listening to him, but I nodded at proper intervals. I knew that he wanted me to take that line in confidential conversations with fellows seeking copy. I was quite resigned to that. Incidentally, I was overcome by the conviction—perhaps it was no more than a sensation—that that girl was mixed up in this thing, that her shadow was somewhere among the others flickering upon the sheet. I wanted to ask Fox if he knew her. But, then, in that absurd business, I did not even know her name, and the whole story would have sounded a little mad. Just now, it suited me that Fox should have a moderate idea of my sanity. Besides, the thing was out of tone, I idealised her then. One wouldn’t talk about her in a smoking-room full of men telling stories, and one wouldn’t talk about her at all to Fox.
The musical critic had been prowling about the room with Fox’s eyes upon him. He edged suddenly nearer, pushed a chair aside, and came toward us.
“Hullo,” he said, in an ostentatiously genial, after-dinner voice, “what are you two chaps a-talking about?”
“Private matters,” Fox answered, without moving a hair.
“Then I suppose I’m in the way?” the other muttered. Fox did not answer.
“Wants a job,” he said, watching the discomfited Teuton’s retreat, “but, as I was saying—oh, it pays both ways.” He paused and fixed his eyes on me. He had been explaining the financial details of the matter, in which the Duc de Mersch and Callan and Mrs. Hartly and all these people clubbed together and started a paper which they hired Fox to run, which was to bring their money back again, which was to scratch their backs, which. … It was like the house that Jack built; I wondered who Jack was. That was it, who was Jack? It all hinged upon that.
“Why, yes,” I said. “It seems rather neat.”
“Of course,” Fox wandered on, “you are wondering why the deuce I tell you all this. Fact is, you’d hear it all if I didn’t, and a good deal more that isn’t true besides. But I believe you’re the sort of chap to respect a confidence.”
I didn’t rise to the sentiment. I knew as well as he did that he was bamboozling me, that he was, as he said, only telling me—not the truth, but just what I should hear everywhere. I did not bear him any ill-will; it was part of the game, that. But the question was, who was Jack? It might be Fox himself. … There might, after all, be some meaning in the farrago of nonsense that that fantastic girl had let off upon me. Fox really and in a figure of speech such as she allowed herself, might be running a team consisting of the Duc de Mersch and Mr. Churchill. He might really be backing a foreign, philanthropic ruler and State-founder, and a British Foreign Minister, against the rather sinister Chancellor of the Exchequer that Mr. Gurnard undoubtedly was. It might suit him; perhaps he had shares in something or other that depended on the success of the Duc de Mersch’s Greenland Protectorate. I knew well enough, you must remember, that Fox was a big man—one of those big men that remain permanently behind the curtain, perhaps because they have a certain lack of comeliness of one sort or another and don’t look well on the stage itself. And I understood now that if he had abandoned—as he had done—half a dozen enterprises of his own for the sake of the Hour, it must be because it was very well worth his while. It was not merely a question of the editorship of a paper; there was something very much bigger in the background. My Dimensionist young lady, again, might have other shares that depended on the Chancellor of the Exchequer’s blocking the way. In that way she might very well talk allegorically of herself as in alliance with Gurnard against Fox and Churchill. I was at sea in that sort of thing—but I understood vaguely that something of the sort was remotely possible.
I didn’t feel called upon to back out of it on that account, yet I very decidedly wished that the thing could have been otherwise. For myself, I came into the matter with clean hands—and I was going to keep my hands clean; otherwise, I was at Fox’s disposal.
“I understand,” I said, the speech marking my decision, “I shall have dealings with a good many of the proprietors—I am the scratcher, in fact, and you don’t want me to make a fool of myself.”
“Well,” he answered, gauging me with his blue, gimlet eyes, “it’s just as well to know.”
“It’s just as well to know,” I echoed. It was just as well to know.
Previous: The Inheritors - III
Next: The Inheritors - V
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English
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16k
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T6. Aggregation & Clustering
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T6.3 Global Frequency Analysis
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Full
|
Sort the given terms in descending order by the number of times they appear in the above text. Output the "[Answer]" identifier first, and then output the sorted terms line by line, without any additional content.
Given terms: would, this, that, went, have
Output example:
[Answer]
would
this
that
went
have
|
Sort the given terms in descending order by the number of times they appear in the above text. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the sorted terms line by line.
Given terms: would, this, that, went, have
Output example:
<Your thinking process>
[Answer]
would
this
that
went
have
|
[
"that",
"have",
"would",
"this",
"went"
] |
Hard
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b2d18db83b5088c6c0c7a2e98d458516736ebec2d7dc147f3b16ec10bee92baf
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# 藏匿于你眼中的山河
## 01
“你们知不知道最近网上炒得正火的yeezy350系列，最贵的都上万!在我这拿货价钱至少能给你少三分之一!”
“包正品，包售后，你们都看看这鞋的设计，这个配色简直绝了!”
“看在是同学的份上我才给这个价的啊，仔细算起来我也才赚回本，绝对是血亏了!”
女孩的声音清脆响亮，一众爱鞋的男生都围过去看她举起的手机里放出的图片，其中有人还叫出声“这是和××联名的限定款，你居然也有货？”
礼夏挪开他凑在自己手机前的脑袋，自信满满道:“那当然了，也不看看我礼夏是谁？那可是江湖人称囤货大王的!”
此时有人心动了，纷纷开始问起礼夏购买方式和价格，礼夏笑眯眯的维持这稍稍有些混乱的秩序，边在本子上记好名字，边喊着“别挤别挤——都有货的啊!”
盛景刚来到传媒系教室门口，看到的就是这幅景象，被围在中间的女生大大咧咧坐在桌子上，把一群人高马大的男生指挥得整整齐齐。
“礼夏!”突兀的一声把所有人的目光都聚集了过去，盛景站在门口，插着裤兜，酷酷的站在那里。
有些女生一眼就认出来那是盛景，楚大有名的校草。是因为长相和优秀的实力而在学校里被人津津乐道的男神。
正忙着记客户名字的礼夏倒是吓了一跳，她不是没听说听说过盛景，也对他的种种事迹略有耳闻，只是没想到他会来找自己，并且当着这么多人的面叫出了自己的名字。
众人议论纷纷，有更胜者吹了几声响亮的口哨，礼夏被推搡着出了教室门，迎面就看见倚在教室门口的盛景。
他个子很高，礼夏只能微微仰起头去看他，他的脸逆着光，是比无意中见过的几次更加清晰的好看，礼夏的呼吸微滞。
有微风缓缓拂过男生的发梢，礼夏从未觉得有这么温柔和煦的夏天。
或许是礼夏的视线太过于直白，盛景摸了摸头有些不好意思的询问道
“听说你手里有新出的黑天使？”
礼夏愣了一下，结结巴巴的点头道:“是是啊，我这还剩了一双。”
“那这最后一双我能不能先预定了。”盛景使出杀手锏般的微笑。
隔壁班的盛景亲自来找礼夏，甚至准确的叫出了她的名字，不止礼夏一个人在幻想接下来会发生的粉红色场景，可原因竟是礼夏的“鞋商”身份已经声名在外，就连盛景都慕名而来。
顷刻间，还在面红心跳的情绪通通消失，梦幻泡泡也烟消云散。
礼夏摇摇头甩去脑海中盛景的那一笑，警告自己不能这么简单的中了美男计!尽管事情没有想象中那么美好，但送上来的生意，不要白不要。
礼夏装模作思考了一下，有些苦恼道:“你也知道最近这鞋炒得火吧，黑市上那都快炒出天价了，所以这个价格……”
“正品还是假货啊？这么难抢的鞋被你弄到手了？”盛景挑了挑眉，眼神里透着点怀疑。
礼夏一听气得直叉腰“我这有正规的渠道，况且你拿到手直接可以去柜台验货，要是有问题我负责!”说完还使劲挺了挺脊背，可惜两人身高差距太大，礼夏在气势上还是输了一截儿。
“行，你说的负责，要是有什么问题我可以随时来找你吧？”盛景似是看出了她卯足了劲儿踮脚，似笑非笑的又站了站直，更显得礼夏矮了一截儿。
“当然可以!”
“那约定咯!”盛景举起手掌，白皙修长的手指在礼夏眼前晃了晃。
礼夏愣愣的举起爪子跟盛景击了一掌，手心的微触的感觉像是有根羽毛在心底挠了挠，男生清澈悦耳的声音在耳边响起
“合作愉快，小卖家。”
## 02
礼夏和盛景的第一次交易就这么愉快达成了。
一手交钱一手交货，盛景当初说价格随意，礼夏也就毫不手软的把价格往上提了几倍，尽管对方是盛景，礼夏在金钱和美色之间，还是毫不犹豫的选择了金钱。
礼夏美滋滋的举着新赚到的一叠钞票，决定再数一遍。她数钱的时候有个习惯用拇指把钞票压在食指上，然后一张一张的数过去，这个动作还被人嘲笑过小家子气。可是礼夏不在乎啊，她最大的乐趣就是数钱。
还没开始行动，手机又“嗡嗡”地不知疲倦的震动起来，也许给盛景手机号是一个错误的决定，这是手机响起的第三十五次，礼夏无比后悔的想道。
知人知面不知心，盛景绝对是礼夏遇到过的最麻烦的客户!自从那双鞋卖到盛景手上后，一个星期下来，礼夏的手机就没停过，隔几个小时就有盛景的电话打来，而且光是鞋子的毛病就被他挑出了几十种。
还有一次盛景给她发了一段视频，入眼的先是一双亮眼的球鞋，正是礼夏卖给盛景的那双，再后来就是盛景满是笑意的眼睛。只见他穿着球衣，姿势利落的进了一个三分球，紧接着是帅气的运球，躲人，投篮。
盛景的身影在一众人中格外显眼，视频似乎是故意拍到那双鞋，再到后来结尾的时候，盛景给了自己脚下的鞋一个特写说:“穿着打球还不错，好评。”
这也许是唯一一次来自盛大少爷难得的好评，礼夏看得面红心跳，严重怀疑盛景在用美色骚扰自己。
可随后又是时不时的电话骚扰和挑剔。不是“喂，礼夏，这鞋的鞋带也太长了吧”就是“礼夏，这鞋子穿上去不舒服”还有质疑鞋子的质量和做工以及各种各种的奇怪问题。
手机再一次响起的时候，礼夏深吸一口气直接朝电话那头吼了过去:“盛大少爷，我又不是做鞋的，我就是一个小小的代理，我怎么知道鞋带它为什么这么长，鞋子为什么是黑色的？除非是它真的质量出了问题您再来找我好吗？”
那头安静了半晌，似乎是没想到会被礼夏吼这么一通，礼夏吼完也觉得自己太凶了，放轻了声音道:“还有什么问题吗？”
盛景叹了口气，状似无意道:“也没什么大问题，就是你的鞋害我扭伤了脚进了医院。”
医院两个字一出来，倒是把礼夏吓了一跳，紧接着盛景又补了一句
“你说过要对我负责的，你就是这么对待客户的？你是不是忘了我们击过的掌了？嘶……”盛景的语气带了一丝委屈，后面似乎还痛得吸了几口冷气。
在盛景软硬兼施的胁迫之下，迫于无奈，礼夏还是赶去了医院。一路上她不停的给自己催眠，绝对不是因为那句“对他负责”才去的，而是自己信守承诺，对鞋子负责，对客户负责。
礼夏风风火火冲进病房时，盛景正穿着病号服在啃苹果，手上还优哉游哉的翻着杂志，左小腿被打了石膏高高吊在空中。
这副惨景落在礼夏眼里，不由得自己也有些心虚，她磨磨蹭蹭的挪过去，盛景抬眼就看见了她，朝她招了招手喊道“礼夏，你躲什么呢？”
“我先声明啊，你这伤要不是因为我的鞋我可是不会负责任的!”礼夏先发制人道。
“怎么不是因为这鞋？”盛景为难的说:“当时我正在打球，刚要进球就被这鞋滑了一跤，哎唷……”
盛景喊起疼来，扭着眉头一脸痛苦的样子。
礼夏狐疑的盯着他的表情，看上去不像作假，心里升上几分愧疚的说“可……可能是有鞋的一部分原因，你说吧，医药费多少我来出。”
礼夏闭上眼一脸壮士赴死的决然，心底在为即将消失的钞票默哀。
“其实……倒也不用你出医药费，只是我的腿受伤了，好多事情不方便，所以住院这段时间，还得麻烦你了。”
盛景笑了笑，露出一口雪白整洁的牙齿。
## 03
自此之后，盛景身边多了一个端茶倒水的礼夏。
在医院待了一个星期，礼夏在这期间担起了给盛景送饭的职责，一日三餐按时投喂。
只是次数多了，礼夏后来每次提着饭来的时候，都要被病房里的老头老太太竖着拇指夸一番，其中有一位老人用地方话对盛景说“你这小媳妇儿勤快的哟!”
礼夏没听懂，不明所以的看着大家哄然大笑，盛景则是轻笑了一声，在众人的目光中点了点头。
事后礼夏也问过盛景，可是任凭她怎么问都撬不开盛景那张嘴，只得作罢。
眼看着盛景的腿好得差不多了，可礼夏却奇怪起来，原本不情不愿的她突然变得殷勤起来，除了送饭外还给贴心的给盛景削水果，举着扇子扇根本不存在的蚊子。
面对性情大变的礼夏，盛景终于在她提议要扶自己去上厕所时忍无可忍的问了出来:“说吧姑奶奶，您到底想干什么？”
礼夏手上卖力的给盛景捶着完好无损的右腿，闻言后嘿嘿一笑，嘴上却弱弱道:“哪能啊，虽然我辛苦了这么久，但是你毕竟是我的顾客嘛，这都是我该做的，只是有一个小小小忙需要你帮一帮……”
盛景一眼就看出了她眉梢的那股子机灵劲儿，也不拆她的台，顺着她的话道:“行啊。”
“真的？”礼夏眼睛亮起来。
“我从来不骗人。”盛景往后靠了靠，闭上眼睛，脑海里是礼夏亮晶晶的眼睛，嘴角不由得浮起一丝笑意。
盛景出院那天，礼夏把盛景约在了学校附近的咖啡店，郑重其事的向他宣布了自己的赚钱大计——她决定开一家网店。
礼夏从奶茶店的桌子底下拖出一个大麻袋，拍了拍手上的灰尘，兴奋的说“这次我可是把所有身家都押上去了。”
后来礼夏就开始说自己做了哪些准备，比如从各个地方搜集信息敲定了衣服的风格，还买了配套的首饰和化妆品。她还想到了新的办法能让自己的衣服在网上一炮打红，说到这，她一把拽住盛景的袖子，目光可怜，话语恳切道:“盛景，你说过会帮我的吧。”
盛景面上一副嫌麻烦却又无奈的点了点头，心里却很是受用。
所谓的新办法，就是礼夏决定自己当模特，拍出一套照片来挂在网上，最近很火的一个博主就是靠拍了一套想法奇特的照片连带着身上的衣服而走红的，礼夏决定模仿这个做法。
之所以会找盛景帮这个忙，是因为她缺一个摄影师，而盛景之所以在楚大小有名气，还有一部分原因是因为他拿过很多大奖，其中一个就是全国青年摄影大赛的冠军，这种含金量的比赛就连礼夏也有所耳闻。
礼夏还找好了拍摄的地点，就在城郊的某片野地。
说是野地，盛景原本是不大相信的，以为是某个人烟比较稀少的草地罢了，可是真正到达的时候，他才真正理解了礼夏口中的“野地”是真正的野地。
这里是远离城中心的郊外，地势较高，而且离山很近，简直就是荒无人烟。
盛景不理解这种地方能拍出什么效果来，但是礼夏做过十足的攻略，她神秘兮兮的对盛景眨了眨眼睛“你等会儿就知道了”
两人搭好了换衣服的帐篷后，太阳渐渐下山了，这时盛景才看见了礼夏口中的效果。
原来这里能看到完美的落日，金色的余晖缓慢洒在山地间，勾勒出梦幻的弧度，这里看见的落日不同于城里看见的，它真实又仿佛触手可及，几乎每一片草地都被铺上了橘色的光芒。
盛景正沉浸在这种景色中，肩膀忽然被人拍了拍，他转过头看见礼夏。
面前的少女穿着绯红色的裙子，肌肤胜雪，嘴上还涂了大红色的口红，看上去艳丽而明媚。礼夏弯着眼睛笑得灿烂，在原地转了个圈，裙摆荡起好看的弧度。
“盛景，你发什么呆呢？”礼夏猛地凑到盛景眼前，两个人的距离忽然拉近，近得甚至能听得见彼此的呼吸，猝不及防的对视足以让人心跳加速。
礼夏慌忙装作不在意的移开视线，而盛景则是手一抖，“咔嚓”按下了快门，拍毁了一张照片。
## 04
计划赶不上变化，尽管礼夏他们已经放快了速度，可还是还剩下一堆衣服没有拍。而天空不知不觉就黑了下来，这种地方是名副其实的“荒郊野岭”，打不到车，也没有旅馆。还好有一个不小的帐篷，礼夏和盛景只能选择在这里呆一晚。
野外露营，礼夏是第一回，和异性单独待一晚，礼夏更是破天荒的头一次。
好在盛景看出了礼夏的紧张，让礼夏进帐篷睡，自己靠在帐篷外能凑活一晚上。
在这里，夏日的夜晚显得格外纯粹自然，草丛里时不时有昆虫发出小小的声音，还有绿莹莹的萤火虫飞舞。
礼夏躺在帐篷里却睡不着，翻来覆去还是爬出了帐篷。没想到盛景也没睡着，礼夏默默爬过去跟他并肩坐在一起。
顺着他的视线往天上看，繁星点点，在浓重如墨的夜空里闪闪发光，甚至还有一颗拖着尾巴的流星划过天际。
礼夏见状，赶紧双手合十，闭上眼睛喊:“我想暴富!拜托让我的钱像天上的星星一样多吧!”
盛景嗤笑了一声，嫌她没骨气“别人的愿望都是实现伟大理想，我看你就是钻钱眼儿里了。”
“因为我很缺钱啊。”礼夏少见的叹了一口气，很是惆怅道。
盛景有些疑惑，礼夏自顾自的说了下去，也许是长夜漫漫，也许是这夜的晚风太温柔礼夏第一次吐露了心声。
从礼夏断断续续的讲述中，盛景得以窥见了女孩难得一见的脆弱之处。
礼夏从小就跟着离婚后的爸爸同另一个女人组建了新的家庭，灰姑娘的童话没有骗人，后妈虽然没有那么恶毒，可是会暗中克扣她的生活费，甚至自作主张的停掉她的生活费。
读小学的时候礼夏就开始度过一天在学校只吃一个馒头的日子，精打细算的过每一天，而这一切，她忙着工作的爸爸从未曾发觉过。
也许是童年有点悲惨，礼夏饿怕了，升到初中的时候，礼夏就有意识的自己赚钱，送牛奶送报纸帮别人抄写作业她都干过。
不知道从什么时候起，礼夏就已经开始发觉钱是重要的东西，她开始依赖金钱带给她的安全感，她害怕某一天自己就会被所谓的亲人抛弃，所以她努力的赚钱，只有看着银行卡上的数字一点一点增长时，她才能感到心安。
上了大学后，礼夏就搬出了那个家，没有跟家里要过一分钱的生活费，也许是为了她有点可笑的自尊心。
礼夏固执的抬头盯着上方的星星，眼角的晶莹悄悄滑进了草丛，消失不见。
“所以你才这么会占便宜啊。”盛景故作轻松道。
“我哪有!”礼夏炸了毛，辩驳道。
盛景掰着手指头给她算“就说说我从你那买的那双鞋你把价格提了多少倍吧，还免费给你当了摄影师，还能跟楚大男神单独相处了一晚…我看你心里早就乐疯了吧。”
“你你你胡说什么!我看是你乐疯了吧，能跟本美女一起看星星。”幸好是黑夜，虽然礼夏的脸红到耳根子了，盛景也看不见她的样子。
“是啊，我早就乐疯了。”盛景认真的点点头，光明正大的承认。
礼夏没想到会得到这样的回答，脑子一片空白，心脏则快要蹦出来，末了才傻笑了几声道“好困啊我要去睡觉了”，说完就鸵鸟似的钻进了帐篷。
盛景看着礼夏落荒而逃的模样只觉得可爱极了，其实自己也在为自己说出的话心如擂鼓。
终于说出来了啊，说出来也好。小姑娘脑子太傻了，如果不提醒提醒，还真的以为能白占人便宜呢。
## 05
礼夏的照片上传到网上后，果然引起了不少人的兴趣，其中一张抓拍的夕阳下的侧影更是小小的火了一把。礼夏趁着机会把网店推广了出去，也渐渐有一些顾客上门，算是正式的开张了。
反倒是自上次野地露营那晚后，礼夏和盛景之间有些说不清道不明的气氛，盛景没说，礼夏也不敢去问。
然而就在礼夏还沉浸在网店开张的喜悦时，坏事却马不停蹄的赶来了。
礼夏接连接到了好几个电话，都是以前找她买过鞋的同校男生，他们纷纷说礼夏卖的鞋是假货要求退款。
由于礼夏的鞋都有附带柜台的鉴定书，所以一般人都不会去验，也是有人无意中去了专卖店后，被店员辨别出了细小的差别，紧接着所有买到了鞋的人才得知了真相。
事情来得突然，她完全没有想到当初代购商信誓旦旦说保证正品以及给她看的证书都是假的。礼夏急得像热锅上的蚂蚁，给低价转卖给她的代购商打电话，那边早已显示是空号，而接二连三的投诉电话打来时，礼夏才意识到，自己被骗了。
所有的钱都砸进了网店里，礼夏根本无力退款，只能一个一个的把电话拨回去，拜托他们多宽容几天时间。
可是这些人一怒之下就发了帖子往学校论坛上挂人，帖子热度与日俱增，浏览量惊人，甚至有人认出了礼夏和她开的网店，转而朝网店攻击。
在网上开店本就需要信誉积累，越来越多的人投诉后，官方只能强制关闭了网店的运营，礼夏在收到了关店的消息那一刻时，闭上眼睛，心如死灰。
盛景安慰她“我先替你还了退款，店还是可以慢慢再开起来的。”
“你是我的谁？我凭什么来让你帮我换钱呢。”礼夏的话里是从未有过的尖锐，漆黑的眼睛盯着盛景。盛景呼吸一窒，竟没有办法回答她。
“我把所有的积蓄都砸在里面了，还怎么重新开始。”她扔出一张存折，盛景拿起翻开，看见上面的好几个零，不敢置信道:“你哪来的这么多钱？”
“是我一点一点赚来的，从小到大做过的兼职赚来的钱，我从来乱花过。盛景，你只看到现在的我，你没见过我从前的样子，精打细算、小心翼翼的过着每一天，可是现在全完了。”礼夏自嘲的笑了笑，眼角有一点泪光。
盛景看着面前的女孩，心兀的抽痛了一下，太多的话堵在胸口没有说出来。
怎么会没有见过呢，礼夏，他早就见过的啊。
## 06
大约在两个月以前，盛景一连几天都能在奶茶店的同一个位置遇见一个女孩。
刚遇见她的那天，他正百无聊赖的坐在店里等人。恍惚间耳朵里传来一阵声音，叽叽喳喳的。顺着声音看过去，斜对面正坐着一个女生和一个男生，女生正滔滔不绝的说些什么。
“真的是不能再低了，你这样我也很难办啊”女孩面有难色的喝了一口奶茶，而对面的男生也在犹豫，盯着盒子里的手表看了几眼，女孩似乎是看出他舍不得，趁热打铁的说
“可是有好几个人跟我打听了这款了，我只能给你留两天了啊，看在是同校校友的面子上还能给你少个零头。”女孩爽快的拍了拍他的肩膀。
男生果真被说动了，干脆利落的付了钱就带着那款手表走了。
而收到钱的女孩则靠在桌子上自言自语些什么，盛景仔细听，发现她在说“还好遇上了个傻子，砍价都不会，落在我手里就没有逃的掉的肥羊!”
她在数钱，薄薄的几百被她小心的清点着，又开始嘟囔道“一千存起来、一百要买书，一百是伙食费……”女孩顿了顿，摇摇头像是要抛弃掉什么想法。
盛景只觉得这个女孩看见钱的时候双眼发光，财迷得很，又莫名对她感到好奇，一直观察了她很久。
后来的几天里，盛景几乎很大几率都能在奶茶店里看见她，每次都是卖东西给别人，女孩巧舌如簧，三言两语就能让别人动摇买下她的东西。
好奇心逐日递增，开始莫名的成为一种在意，再到关心，他很想靠近她，了解到完完整整的她。
后来盛景打听到了她，礼夏。原来她的名字在学校里也是被熟知的，他打听到了她系部，她的班级，顺理成章的借着买鞋的由头接近了她。
后来他千方百计的想跟她产生一些联系，总是找借口挑鞋的毛病，甚至脚扭伤的事情，他也耍了些小心计，让自己看上去更严重。只是为了能跟她多一点相处的时间。
可这个笨蛋，简直过于迟钝了，连他喜欢她，她都发现不了。
“我只知道，从前的你和现在的你都是一样的，是个财迷，见到钱眼睛会发光，而不是像现在这样面对着打了水漂的钱却不想着捡回来。”盛景握住礼夏的肩膀，认真的对她说。
“这不是还有我在呢吗，公主殿下弯不下腰来捡，我就帮你捡回来。”
盛景留下这么一句话，坚定又温柔。
## 07
礼夏是被微博的热搜吓到的，是路人发的一张照片引发了无数关注，一米八几的帅哥在摆摊卖衣服，帅哥和摆摊两个词组在一起足以引发热议。
点开有些模糊的图片，礼夏几乎是立刻就认出来那是盛景!稍大的信息量砸得礼夏猝不及防，盛景怎么会去摆地摊？
照片上的背景是西街道附近，礼夏找过去，果然在广场附近看见一大群人聚集着的地方，隐隐约约能看见盛景的身影，而摊子的一旁高高立着“跳楼大甩卖”的牌子。
礼夏挤不进去，只能默默的站在人群外，看着人群逐渐壮大，似乎还能听见盛景熟门熟路的给人推荐衣服，有几句话还是学她的。礼夏听着忍不住想笑，可是鼻子却酸得不行，钱打了水漂自己没哭，可是现在却很想哭。
脑海里响起自己最后听见的那句“公主殿下弯不下腰来捡，我就帮你捡回来。”
盛景真的在兑现自己的承诺，他在帮她捡回丢失的信心和努力。
盛景好歹也是楚大有名的男神，却跑来摆地摊，帮她卖掉那些囤积的衣服，虽然盛景卖得有模有样，可还是看得出来他生涩又尴尬的样子。
拜热搜所赐，闻名而来的人一波接着一波，大堆的衣服很快就卖完了，人们都走光了之后，礼夏这才走到他面前，喊了一声“盛景”
盛景见是礼夏，张大嘴惊讶道:“你怎么来了？”
礼夏红着眼圈不说话，两个人大眼瞪小眼，沉默了片刻，忽然又都笑了起来。
盛景把一堆大大小小的纸币塞到礼夏手里，有些遗憾道:“可惜只能赚回来这些，不过好歹能回点本了。”
“那是你业务能力太差了，要是我在场肯定不止赚这么点。”礼夏嘟囔道。
熟悉的自信又回到了女孩身上，盛景终于松了一口气，伸出手亲昵的揉了揉她的头发。
“干得不错，奖励你一个礼物。”礼夏朝他招了招手，示意他弯腰。
盛景低了低头，恍惚间，嘴唇突然被软软的东西啄了一下，只是一瞬，却在心中挠起千万分的痒。
礼夏亲完后害羞极了，径直就往前走，盛景赶紧上前紧紧攥住了她的手，礼夏想挣脱，却被抓得紧紧的。
“你放开…好多人看着呢!”
男生轻笑道:“不放，这辈子也不放。”
## 08
处理完最后一批囤积的货后，礼夏把赚回来的钱都悉数还给了买到假货的受害者，一个一个找到了认真道了歉。
好在后面有人心软，删掉了论坛上的帖子，并进行了澄清，礼夏的名誉总算被恢复了。
打了水漂的钱是再捞不回来了，礼夏倒在桌子上哀叹自己苦命，一切又要从头来过。
盛景捏了捏她的脸道:“不是从头来过，而是整装待发，我们会一起前进的，小财迷。”
礼夏以前说过童话故事唯一没有骗人的是恶毒的后妈，而盛景则觉得，还有一点是真实的，灰姑娘总会遇见守护她的王子。
当然，礼夏不是灰姑娘，他也不是真正的王子，但他想永远守护他心里的小公主。
## 09
咖啡店的玻璃窗上蒙着层薄雾，礼夏把写得密密麻麻的笔记本推到盛景面前，指尖点着“小众原创服饰”几个字，眼睛亮得像落了星星：“这次我不搞代购了，找了美术系的学姐帮忙画设计图，面料要自己挑，这样就不怕再碰到假货了！”
盛景啜了口热可可，目光扫过笔记本上歪歪扭扭的字迹——有些地方还画了小圈圈备注“要砍价”“找学姐要折扣”，忍不住笑出声：“小财迷连画图都想着省钱？”
“那当然！”礼夏把笔帽咬在嘴里，翻到资金预算那页，眉头忽然皱起来，“就是面料市场水太深，我怕被坑，而且……启动资金还差一点。”她声音越说越小，指尖无意识地抠着笔记本边缘——上次被骗后，存折里的数字缩水大半，她实在不想再麻烦盛景。
盛景放下杯子，伸手揉了揉她的头发，指腹蹭过她发顶的软毛：“下周周末陪你去面料市场，我妈以前开过小服装厂，我跟她学过辨面料好坏。至于资金……”
“我自己能想办法！”礼夏立刻打断他，挺直脊背像只护食的小兽，“我可以先接几单代买，再跟学姐商量分阶段付设计费……”
话没说完，就见盛景从包里掏出个信封推过来，里面是一叠崭新的钞票。礼夏的脸瞬间沉下来，把信封推回去：“盛景，我不是要你接济我。”
“不是接济。”盛景按住她的手，眼神认真，“是投资。我投钱给未来的‘礼夏原创工作室’，以后赚了钱，你得按比例分我红利——比如，每天给我带早餐？”
礼夏愣了愣，看着他眼底的笑意，忽然反应过来，耳根慢慢红了。这时邻桌的同学路过，吹了声口哨：“哟，盛校草这是在给女朋友投资啊？礼夏，你可得好好‘回报’人家！”
礼夏窘得想钻桌子，盛景却伸手揽住她的肩膀，对着同学笑：“放心，她回报我的方式，别人可学不来。”
等同学走了，礼夏才掐了把盛景的胳膊：“谁要回报你了！”嘴上这么说，却悄悄把信封收进包里，笔记本上“资金缺口”那栏，被她用铅笔轻轻画了个对勾。
## 10
周末的面料市场挤满了人，礼夏攥着盛景的手腕，像只灵活的小泥鳅在摊位间穿梭。她穿着运动鞋，裤脚挽到膝盖，跟上次穿绯红色裙子的模样判若两人，却多了几分鲜活的烟火气。
“老板，这棉麻多少钱一米？”礼夏拿起块浅杏色面料，手指捻了捻，又凑到鼻尖闻了闻——生怕有刺鼻的化学味。
“八十！这可是进口棉麻，小姑娘识货啊。”老板笑着搓手。
“五十！”礼夏立刻开口，语气斩钉截铁，“我上周在隔壁家问才四十五，你这要是诚心卖，五十我拿五米，以后还来照顾你生意。”
老板愣了愣，看看礼夏，又看看站在后面的盛景——少年穿着白T恤，手里拎着好几个礼夏挑好的辅料袋，却没说话，只满眼笑意地看着女孩。老板叹口气：“行，看你小姑娘会砍价，五十就五十！”
付完钱，礼夏偷偷跟盛景比了个“耶”，把面料塞进袋子里：“你看，我就说能砍下来吧！”
盛景帮她把袋子往上提了提，指尖碰到她汗津津的手背：“知道你厉害，就是别累着。”
逛到傍晚，两人抱着大包小包去了城郊的野地。夕阳还是像上次那样，把草地染成橘色，礼夏从包里翻出件自己改的浅蓝色连衣裙，钻进帐篷换衣服。出来时，盛景正举着相机调试，见她出来，镜头“咔嚓”一声响。
“别拍！”礼夏慌忙捂着脸，裙摆下的运动鞋还没换，显得有些滑稽。
“很好看。”盛景把相机递过去，屏幕上是她抬手捂脸的模样，夕阳落在她发梢，连绒毛都清晰可见。礼夏看着照片，耳朵慢慢发烫，盛景忽然从背后轻轻抱住她：“以后我们攒钱买个小工作室，你设计衣服，我帮你拍照，好不好？”
晚风拂过草地，带着青草的气息，礼夏点点头，把脸贴在他手臂上，小声说：“好。”
## 11
“叮咚——”手机提示音连续响了三下，礼夏从堆积如山的快递盒里抬起头，眼睛瞪得溜圆：“有人一次买了三件！”
宿舍里到处都是打包用的气泡膜和标签，盛景坐在小凳子上，正帮她把衣服折得整整齐齐。闻言凑过去看手机，笑着揉了揉她的头发：“看来我朋友圈的宣传没白费。”
自从上周网店上线，礼夏每天下课就扎进宿舍打包，订单从一开始的零星几单，慢慢多了起来——盛景不仅帮她在朋友圈转发，还联系了之前摄影比赛认识的朋友，帮她拍了组宣传图。
“对了，刚才学姐说，下周有个小众设计师市集，问我们要不要去摆摊。”礼夏翻着微信消息，忽然想起这事，“可是市集要交摊位费，而且我怕卖不出去……”
“去。”盛景打断她，拿起张写错地址的快递单，用笔划掉重写，“我陪你去，卖不卖得出去不重要，至少能让更多人看到你的设计。”
礼夏看着他认真的侧脸，忽然想起上次他帮自己摆地摊卖衣服的样子，鼻子有点酸。她从抽屉里拿出个保温盒，递到盛景面前：“我早上做的便当，你还没吃饭吧？”
盛景打开保温盒，里面是番茄炒蛋和青椒肉丝，米饭上还摆了个小小的爱心。他抬头看礼夏，女孩正低头假装整理快递盒，耳尖却红得厉害。
“味道很好。”盛景吃了一口，声音温柔，“礼夏，以后别什么事都自己扛着，我不是说过吗？我们要一起前进。”
礼夏点点头，忽然凑过去在他脸颊上亲了一下，像只偷腥的小猫似的往后退：“这是给你的‘投资人福利’！”
盛景放下保温盒，伸手把她拉进怀里，下巴抵着她的发顶：“福利不够，下次得亲这里。”他指了指自己的嘴唇，看着礼夏瞬间红透的脸，忍不住笑出声。
窗外的月光透过窗帘缝隙照进来，落在散落的布料和快递盒上，也落在相拥的两人身上。礼夏靠在盛景怀里，听着他的心跳声，忽然觉得，比起银行卡上的数字，这样温暖的怀抱，才是更踏实的安全感。
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Chinese
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8k
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T3. Evidence-Grounded QA
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T3.2 Single-Hop Fact QA
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Partial
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根据《藏匿于你眼中的山河》第一章中礼夏与盛景首次互动的内容，下列描述完全符合原文细节的选项有哪些？先输出“[答案]”标识符，再输出答案选项字母（A/B/C/D/E/F/G/H，若该题为多选，则按顺序输出答案选项，例如，AB/BCD/EFGH），不要输出任何其他内容。
A. 盛景来到传媒系教室门口时，礼夏正被一众爱鞋的男生围着记录购买信息；盛景当众叫出礼夏名字时，礼夏感到意外 —— 她虽听闻过盛景的事迹，却从未想过对方会找自己，最初还和周围人一样幻想粉红色场景，直到盛景提及 “新出的黑天使”，才明白对方是因自己的 “鞋商”身份而来，此前的梦幻泡泡瞬间消失。
B. 面对盛景 “正品还是假货” 的质疑，礼夏立刻反驳并强调自己有正规渠道，承诺拿到鞋后可去柜台验货、有问题她会负责；为了在气势上压制盛景，她特意踮起脚尖并使劲挺起脊背，最终凭借强硬态度让盛景彻底打消疑虑，盛景这才提出预定最后一双黑天使。
C. 盛景表达预定意愿时，使出了 “杀手锏般的微笑”，礼夏虽被这一笑短暂影响（呼吸微滞），但很快清醒并警告自己不能中美男计；随后她没有直接答应定价，而是以 “最近这鞋炒得火、黑市快炒出天价” 为由暗示价格较高，既守住生意底线，也体现了交易中的理性。
D. 两人沟通时，盛景因怀疑鞋子是假货而明确拒绝先预定，直到礼夏反复强调 “有问题负责” 后才改变态度；盛景主动举起白皙修长的手掌要求击掌确认约定，击掌后用 “合作愉快，小老板” 的称呼收尾，以此明确双方交易关系。
E. 击掌环节中，盛景先举起手掌，白皙修长的手指在礼夏眼前晃动，礼夏愣愣地抬手回应，手心微触时她感觉像有羽毛在心底挠动；随后盛景用 “合作愉快，小卖家” 的清澈声音收尾，进一步明确了双方的交易身份。
F. 礼夏在被盛景叫出名字前，已从同学口中得知盛景想找校园鞋商买黑天使，只是不确定对方找的是自己，因此当盛景出现时，她虽表面惊讶，内心却早有准备，幻想粉红色场景也只是配合周围人的反应。
G. 盛景来到教室门口时，先对着围在礼夏身边的男生们点头示意，再插着裤兜喊出 “礼夏”，突兀的声音让所有人目光聚集；有女生认出盛景是楚大校草后，周围人开始议论，甚至有人吹口哨，礼夏才被推搡着走出教室。
H. 礼夏确认自己还有最后一双黑天使后，因盛景是校草而犹豫是否提高价，最终还是决定按原价出售，只是在盛景追问价格时，才勉强以 “黑市炒得贵” 为由暗示加价，全程显得被动且不自信。
输出示例：
[答案]
A/B/BCD/EFGH
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根据《藏匿于你眼中的山河》第一章中礼夏与盛景首次互动的内容，下列描述完全符合原文细节的选项有哪些？进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出答案选项字母（A/B/C/D/E/F/G/H，若该题为多选，则按顺序输出答案选项，例如，AB/BCD/EFGH）。
A. 盛景来到传媒系教室门口时，礼夏正被一众爱鞋的男生围着记录购买信息；盛景当众叫出礼夏名字时，礼夏感到意外 —— 她虽听闻过盛景的事迹，却从未想过对方会找自己，最初还和周围人一样幻想粉红色场景，直到盛景提及 “新出的黑天使”，才明白对方是因自己的 “鞋商”身份而来，此前的梦幻泡泡瞬间消失。
B. 面对盛景 “正品还是假货” 的质疑，礼夏立刻反驳并强调自己有正规渠道，承诺拿到鞋后可去柜台验货、有问题她会负责；为了在气势上压制盛景，她特意踮起脚尖并使劲挺起脊背，最终凭借强硬态度让盛景彻底打消疑虑，盛景这才提出预定最后一双黑天使。
C. 盛景表达预定意愿时，使出了 “杀手锏般的微笑”，礼夏虽被这一笑短暂影响（呼吸微滞），但很快清醒并警告自己不能中美男计；随后她没有直接答应定价，而是以 “最近这鞋炒得火、黑市快炒出天价” 为由暗示价格较高，既守住生意底线，也体现了交易中的理性。
D. 两人沟通时，盛景因怀疑鞋子是假货而明确拒绝先预定，直到礼夏反复强调 “有问题负责” 后才改变态度；盛景主动举起白皙修长的手掌要求击掌确认约定，击掌后用 “合作愉快，小老板” 的称呼收尾，以此明确双方交易关系。
E. 击掌环节中，盛景先举起手掌，白皙修长的手指在礼夏眼前晃动，礼夏愣愣地抬手回应，手心微触时她感觉像有羽毛在心底挠动；随后盛景用 “合作愉快，小卖家” 的清澈声音收尾，进一步明确了双方的交易身份。
F. 礼夏在被盛景叫出名字前，已从同学口中得知盛景想找校园鞋商买黑天使，只是不确定对方找的是自己，因此当盛景出现时，她虽表面惊讶，内心却早有准备，幻想粉红色场景也只是配合周围人的反应。
G. 盛景来到教室门口时，先对着围在礼夏身边的男生们点头示意，再插着裤兜喊出 “礼夏”，突兀的声音让所有人目光聚集；有女生认出盛景是楚大校草后，周围人开始议论，甚至有人吹口哨，礼夏才被推搡着走出教室。
H. 礼夏确认自己还有最后一双黑天使后，因盛景是校草而犹豫是否提高价，最终还是决定按原价出售，只是在盛景追问价格时，才勉强以 “黑市炒得贵” 为由暗示加价，全程显得被动且不自信。
输出示例：
<你的思考过程>
[答案]
A/B/BCD/EFGH
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[
"ACE"
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Easy
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3139d2757c481648a56b95d46262efc28df133da70ef5c1b4602ffbc1c201d9c
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A000045
Fibonacci numbers: F(n) = F(n-1) + F(n-2) with F(0) = 0 and F(1) = 1.
(Formerly M0692 N0256)
5944
0, 1, 1, 2, 3, 5, 8, 13, 21, 34, 55, 89, 144, 233, 377, 610, 987, 1597, 2584, 4181, 6765, 10946, 17711, 28657, 46368, 75025, 121393, 196418, 317811, 514229, 832040, 1346269, 2178309, 3524578, 5702887, 9227465, 14930352, 24157817, 39088169, 63245986, 102334155
(list; graph; refs; listen; history; text; internal format)
OFFSET
0,4
COMMENTS
D. E. Knuth writes: "Before Fibonacci wrote his work, the sequence F_{n} had already been discussed by Indian scholars, who had long been interested in rhythmic patterns that are formed from one-beat and two-beat notes. The number of such rhythms having n beats altogether is F_{n+1}; therefore both Gopāla (before 1135) and Hemachandra (c. 1150) mentioned the numbers 1, 2, 3, 5, 8, 13, 21, ... explicitly." (TAOCP Vol. 1, 2nd ed.) - Peter Luschny, Jan 11 2015
In keeping with historical accounts (see the references by P. Singh and S. Kak), the generalized Fibonacci sequence a, b, a + b, a + 2b, 2a + 3b, 3a + 5b, ... can also be described as the Gopala-Hemachandra numbers H(n) = H(n-1) + H(n-2), with F(n) = H(n) for a = b = 1, and Lucas sequence L(n) = H(n) for a = 2, b = 1. - Lekraj Beedassy, Jan 11 2015
Susantha Goonatilake writes: "[T]his sequence was well known in South Asia and used in the metrical sciences. Its development is attributed in part to Pingala (200 BC), later being associated with Virahanka (circa 700 AD), Gopala (circa 1135), and Hemachandra (circa 1150)—all of whom lived and worked prior to Fibonacci." (Toward a Global Science: Mining Civilizational Knowledge, p. 126) - Russ Cox, Sep 08 2021
Also sometimes called Hemachandra numbers.
Also sometimes called Lamé's sequence.
For a photograph of "Fibonacci"'s 1202 book, see the Leonardo of Pisa link below.
F(n+2) = number of binary sequences of length n that have no consecutive 0's.
F(n+2) = number of subsets of {1,2,...,n} that contain no consecutive integers.
F(n+1) = number of tilings of a 2 X n rectangle by 2 X 1 dominoes.
F(n+1) = number of matchings (i.e., Hosoya index) in a path graph on n vertices: F(5)=5 because the matchings of the path graph on the vertices A, B, C, D are the empty set, {AB}, {BC}, {CD} and {AB, CD}. - Emeric Deutsch, Jun 18 2001
F(n) = number of compositions of n+1 with no part equal to 1. [Cayley, Grimaldi]
Positive terms are the solutions to z = 2*x*y^4 + (x^2)*y^3 - 2*(x^3)*y^2 - y^5 - (x^4)*y + 2*y for x,y >= 0 (Ribenboim, page 193). When x=F(n), y=F(n + 1) and z > 0 then z=F(n + 1).
For Fibonacci search see Knuth, Vol. 3; Horowitz and Sahni; etc.
F(n) is the diagonal sum of the entries in Pascal's triangle at 45 degrees slope. - Amarnath Murthy, Dec 29 2001 (i.e., row sums of A030528, R. J. Mathar, Oct 28 2021)
F(n+1) is the number of perfect matchings in ladder graph L_n = P_2 X P_n. - Sharon Sela (sharonsela(AT)hotmail.com), May 19 2002
F(n+1) = number of (3412,132)-, (3412,213)- and (3412,321)-avoiding involutions in S_n.
This is also the Horadam sequence (0,1,1,1). - Ross La Haye, Aug 18 2003
An INVERT transform of A019590. INVERT([1,1,2,3,5,8,...]) gives A000129. INVERT([1,2,3,5,8,13,21,...]) gives A028859. - Antti Karttunen, Dec 12 2003
Number of meaningful differential operations of the k-th order on the space R^3. - Branko Malesevic, Mar 02 2004
F(n) = number of compositions of n-1 with no part greater than 2. Example: F(4) = 3 because we have 3 = 1+1+1 = 1+2 = 2+1.
F(n) = number of compositions of n into odd parts; e.g., F(6) counts 1+1+1+1+1+1, 1+1+1+3, 1+1+3+1, 1+3+1+1, 1+5, 3+1+1+1, 3+3, 5+1. - Clark Kimberling, Jun 22 2004
F(n) = number of binary words of length n beginning with 0 and having all runlengths odd; e.g., F(6) counts 010101, 010111, 010001, 011101, 011111, 000101, 000111, 000001. - Clark Kimberling, Jun 22 2004
The number of sequences (s(0),s(1),...,s(n)) such that 0 < s(i) < 5, |s(i)-s(i-1)|=1 and s(0)=1 is F(n+1); e.g., F(5+1) = 8 corresponds to 121212, 121232, 121234, 123212, 123232, 123234, 123432, 123434. - Clark Kimberling, Jun 22 2004 [corrected by Neven Juric, Jan 09 2009]
Likewise F(6+1) = 13 corresponds to these thirteen sequences with seven numbers: 1212121, 1212123, 1212321, 1212323, 1212343, 1232121, 1232123, 1232321, 1232323, 1232343, 1234321, 1234323, 1234343. - Neven Juric, Jan 09 2008
A relationship between F(n) and the Mandelbrot set is discussed in the link "Le nombre d'or dans l'ensemble de Mandelbrot" (in French). - Gerald McGarvey, Sep 19 2004
For n > 0, the continued fraction for F(2n-1)*phi = [F(2n); L(2n-1), L(2n-1), L(2n-1), ...] and the continued fraction for F(2n)*phi = [F(2n+1)-1; 1, L(2n)-2, 1, L(2n)-2, ...]. Also true: F(2n)*phi = [F(2n+1); -L(2n), L(2n), -L(2n), L(2n), ...] where L(i) is the i-th Lucas number (A000204). - Clark Kimberling, Nov 28 2004 [corrected by Hieronymus Fischer, Oct 20 2010]
For any nonzero number k, the continued fraction [4,4,...,4,k], which is n 4's and a single k, equals (F(3n) + k*F(3n+3))/(F(3n-3) + k*F(3n)). - Greg Dresden, Aug 07 2019
F(n+1) (for n >= 1) = number of permutations p of 1,2,3,...,n such that |k-p(k)| <= 1 for k=1,2,...,n. (For <= 2 and <= 3, see A002524 and A002526.) - Clark Kimberling, Nov 28 2004
The ratios F(n+1)/F(n) for n > 0 are the convergents to the simple continued fraction expansion of the golden section. - Jonathan Sondow, Dec 19 2004
Lengths of successive words (starting with a) under the substitution: {a -> ab, b -> a}. - Jeroen F.J. Laros, Jan 22 2005
The Fibonacci sequence, like any additive sequence, naturally tends to be geometric with common ratio not a rational power of 10; consequently, for a sufficiently large number of terms, Benford's law of first significant digit (i.e., first digit 1 <= d <= 9 occurring with probability log_10(d+1) - log_10(d)) holds. - Lekraj Beedassy, Apr 29 2005 (See Brown-Duncan, 1970. - N. J. A. Sloane, Feb 12 2017)
F(n+2) = Sum_{k=0..n} binomial(floor((n+k)/2),k), row sums of A046854. - Paul Barry, Mar 11 2003
Number of order ideals of the "zig-zag" poset. See vol. 1, ch. 3, prob. 23 of Stanley. - Mitch Harris, Dec 27 2005
F(n+1)/F(n) is also the Farey fraction sequence (see A097545 for explanation) for the golden ratio, which is the only number whose Farey fractions and continued fractions are the same. - Joshua Zucker, May 08 2006
a(n+2) is the number of paths through 2 plates of glass with n reflections (reflections occurring at plate/plate or plate/air interfaces). Cf. A006356-A006359. - Mitch Harris, Jul 06 2006
F(n+1) equals the number of downsets (i.e., decreasing subsets) of an n-element fence, i.e., an ordered set of height 1 on {1,2,...,n} with 1 > 2 < 3 > 4 < ... n and no other comparabilities. Alternatively, F(n+1) equals the number of subsets A of {1,2,...,n} with the property that, if an odd k is in A, then the adjacent elements of {1,2,...,n} belong to A, i.e., both k - 1 and k + 1 are in A (provided they are in {1,2,...,n}). - Brian Davey, Aug 25 2006
Number of Kekulé structures in polyphenanthrenes. See the paper by Lukovits and Janezic for details. - Parthasarathy Nambi, Aug 22 2006
Inverse: With phi = (sqrt(5) + 1)/2, round(log_phi(sqrt((sqrt(5) a(n) + sqrt(5 a(n)^2 - 4))(sqrt(5) a(n) + sqrt(5 a(n)^2 + 4)))/2)) = n for n >= 3, obtained by rounding the arithmetic mean of the inverses given in A001519 and A001906. - David W. Cantrell (DWCantrell(AT)sigmaxi.net), Feb 19 2007
A result of Jacobi from 1848 states that every symmetric matrix over a p.i.d. is congruent to a triple-diagonal matrix. Consider the maximal number T(n) of summands in the determinant of an n X n triple-diagonal matrix. This is the same as the number of summands in such a determinant in which the main-, sub- and superdiagonal elements are all nonzero. By expanding on the first row we see that the sequence of T(n)'s is the Fibonacci sequence without the initial stammer on the 1's. - Larry Gerstein (gerstein(AT)math.ucsb.edu), Mar 30 2007
Suppose psi=log(phi). We get the representation F(n)=(2/sqrt(5))*sinh(n*psi) if n is even; F(n)=(2/sqrt(5))*cosh(n*psi) if n is odd. There is a similar representation for Lucas numbers (A000032). Many Fibonacci formulas now easily follow from appropriate sinh and cosh formulas. For example: the de Moivre theorem (cosh(x)+sinh(x))^m = cosh(mx)+sinh(mx) produces L(n)^2 + 5F(n)^2 = 2L(2n) and L(n)F(n) = F(2n) (setting x=n*psi and m=2). - Hieronymus Fischer, Apr 18 2007
Inverse: floor(log_phi(sqrt(5)*F(n)) + 1/2) = n, for n > 1. Also for n > 0, floor((1/2)*log_phi(5*F(n)*F(n+1))) = n. Extension valid for integer n, except n=0,-1: floor((1/2)*sign(F(n)*F(n+1))*log_phi|5*F(n)*F(n+1)|) = n (where sign(x) = sign of x). - Hieronymus Fischer, May 02 2007
F(n+2) = the number of Khalimsky-continuous functions with a two-point codomain. - Shiva Samieinia (shiva(AT)math.su.se), Oct 04 2007
This is a_1(n) in the Doroslovacki reference.
Let phi = A001622 then phi^n = (1/phi)*a(n) + a(n+1). - Gary W. Adamson, Dec 15 2007
The sequence of first differences, F(n+1)-F(n), is essentially the same sequence: 1, 0, 1, 1, 2, 3, 5, 8, 13, 21, 34, 55, 89, 144, ... - Colm Mulcahy, Mar 03 2008
Equals row sums of triangle A144152. - Gary W. Adamson, Sep 12 2008
Except for the initial term, the numerator of the convergents to the recursion x = 1/(x+1). - Cino Hilliard, Sep 15 2008
F(n) is the number of possible binary sequences of length n that obey the sequential construction rule: if last symbol is 0, add the complement (1); else add 0 or 1. Here 0,1 are metasymbols for any 2-valued symbol set. This rule has obvious similarities to JFJ Laros's rule, but is based on addition rather than substitution and creates a tree rather than a single sequence. - Ross Drewe, Oct 05 2008
F(n) = Product_{k=1..(n-1)/2} (1 + 4*cos^2 k*Pi/n), where terms = roots to the Fibonacci product polynomials, A152063. - Gary W. Adamson, Nov 22 2008
Fp == 5^((p-1)/2) mod p, p = prime [Schroeder, p. 90]. - Gary W. Adamson & Alexander R. Povolotsky, Feb 21 2009
A000032(n)^2 - 5*F(n)^2 = 4*(-1)^n. - Gary W. Adamson, Mar 11 2009
Output of Kasteleyn's formula for the number of perfect matchings of an m X n grid specializes to the Fibonacci sequence for m=2. - Sarah-Marie Belcastro, Jul 04 2009
(F(n),F(n+4)) satisfies the Diophantine equation: X^2 + Y^2 - 7XY = 9*(-1)^n. - Mohamed Bouhamida, Sep 06 2009
(F(n),F(n+2)) satisfies the Diophantine equation: X^2 + Y^2 - 3XY = (-1)^n. - Mohamed Bouhamida, Sep 08 2009
a(n+2) = A083662(A131577(n)). - Reinhard Zumkeller, Sep 26 2009
Difference between number of closed walks of length n+1 from a node on a pentagon and number of walks of length n+1 between two adjacent nodes on a pentagon. - Henry Bottomley, Feb 10 2010
F(n+1) = number of Motzkin paths of length n having exactly one weak ascent. A Motzkin path of length n is a lattice path from (0,0) to (n,0) consisting of U=(1,1), D=(1,-1) and H=(1,0) steps and never going below the x-axis. A weak ascent in a Motzkin path is a maximal sequence of consecutive U and H steps. Example: a(5)=5 because we have (HHHH), (HHU)D, (HUH)D, (UHH)D, and (UU)DD (the unique weak ascent is shown between parentheses; see A114690). - Emeric Deutsch, Mar 11 2010
(F(n-1) + F(n+1))^2 - 5*F(n-2)*F(n+2) = 9*(-1)^n. - Mohamed Bouhamida, Mar 31 2010
From the Pinter and Ziegler reference's abstract: authors "show that essentially the Fibonacci sequence is the unique binary recurrence which contains infinitely many three-term arithmetic progressions. A criterion for general linear recurrences having infinitely many three-term arithmetic progressions is also given." - Jonathan Vos Post, May 22 2010
F(n+1) = number of paths of length n starting at initial node on the path graph P_4. - Johannes W. Meijer, May 27 2010
F(k) = number of cyclotomic polynomials in denominator of generating function for number of ways to place k nonattacking queens on an n X n board. - Vaclav Kotesovec, Jun 07 2010
As n->oo, (a(n)/a(n-1) - a(n-1)/a(n)) tends to 1.0. Example: a(12)/a(11) - a(11)/a(12) = 144/89 - 89/144 = 0.99992197.... - Gary W. Adamson, Jul 16 2010
From Hieronymus Fischer, Oct 20 2010: (Start)
Fibonacci numbers are those numbers m such that m*phi is closer to an integer than k*phi for all k, 1 <= k < m. More formally: a(0)=0, a(1)=1, a(2)=1, a(n+1) = minimal m > a(n) such that m*phi is closer to an integer than a(n)*phi.
For all numbers 1 <= k < F(n), the inequality |k*phi-round(k*phi)| > |F(n)*phi-round(F(n)*phi)| holds.
F(n)*phi - round(F(n)*phi) = -((-phi)^(-n)), for n > 1.
Fract(1/2 + F(n)*phi) = 1/2 -(-phi)^(-n), for n > 1.
Fract(F(n)*phi) = (1/2)*(1 + (-1)^n) - (-phi)^(-n), n > 1.
Inverse: n = -log_phi |1/2 - fract(1/2 + F(n)*phi)|.
(End)
F(A001177(n)*k) mod n = 0, for any integer k. - Gary Detlefs, Nov 27 2010
F(n+k)^2 - F(n)^2 = F(k)*F(2n+k), for even k. - Gary Detlefs, Dec 04 2010
F(n+k)^2 + F(n)^2 = F(k)*F(2n+k), for odd k. - Gary Detlefs, Dec 04 2010
F(n) = round(phi*F(n-1)) for n > 1. - Joseph P. Shoulak, Jan 13 2012
For n > 0: a(n) = length of n-th row in Wythoff array A003603. - Reinhard Zumkeller, Jan 26 2012
From Bridget Tenner, Feb 22 2012: (Start)
The number of free permutations of [n].
The number of permutations of [n] for which s_k in supp(w) implies s_{k+-1} not in supp(w).
The number of permutations of [n] in which every decomposition into length(w) reflections is actually composed of simple reflections. (End)
The sequence F(n+1)^(1/n) is increasing. The sequence F(n+2)^(1/n) is decreasing. - Thomas Ordowski, Apr 19 2012
Two conjectures: For n > 1, F(n+2)^2 mod F(n+1)^2 = F(n)*F(n+1) - (-1)^n. For n > 0, (F(2n) + F(2n+2))^2 = F(4n+3) + Sum_{k = 2..2n} F(2k). - Alex Ratushnyak, May 06 2012
From Ravi Kumar Davala, Jan 30 2014: (Start)
Proof of Ratushnyak's first conjecture: For n > 1, F(n+2)^2 - F(n)*F(n+1) + (-1)^n = 2*F(n+1)^2.
Consider: F(n+2)^2 - F(n)*F(n+1) - 2*F(n+1)^2
= F(n+2)^2 - F(n+1)^2 - F(n+1)^2 - F(n)*F(n+1)
= (F(n+2) + F(n+1))*(F(n+2) - F(n+1)) - F(n+1)*(F(n+1) + F(n))
= F(n+3)*F(n) - F(n+1)*F(n+2) = -(-1)^n.
Proof of second conjecture: L(n) stands for Lucas number sequence from A000032.
Consider the fact that
L(2n+1)^2 = L(4n+2) - 2
(F(2n) + F(2n+2))^2 = F(4n+1) + F(4n+3) - 2
(F(2n) + F(2n+2))^2 = (Sum_{k = 2..2n} F(2k)) + F(4n+3).
(End)
The relationship: INVERT transform of (1,1,0,0,0,...) = (1, 2, 3, 5, 8, ...), while the INVERT transform of (1,0,1,0,1,0,1,...) = (1, 1, 2, 3, 5, 8, ...) is equivalent to: The numbers of compositions using parts 1 and 2 is equivalent to the numbers of compositions using parts == 1 (mod 2) (i.e., the odd integers). Generally, the numbers of compositions using parts 1 and k is equivalent to the numbers of compositions of (n+1) using parts 1 mod k. Cf. A000930 for k = 3 and A003269 for k = 4. Example: for k = 2, n = 4 we have the compositions (22; 211, 121; 112; 1111) = 5; but using parts 1 and 3 we have for n = 5: (311, 131, 113, 11111, 5) = 5. - Gary W. Adamson, Jul 05 2012
The sequence F(n) is the binomial transformation of the alternating sequence (-1)^(n-1)*F(n), whereas the sequence F(n+1) is the binomial transformation of the alternating sequence (-1)^n*F(n-1). Both of these facts follow easily from the equalities a(n;1)=F(n+1) and b(n;1)=F(n) where a(n;d) and b(n;d) are so-called "delta-Fibonacci" numbers as defined in comments to A014445 (see also the papers of Witula et al.). - Roman Witula, Jul 24 2012
F(n) is the number of different (n-1)-digit binary numbers such that all substrings of length > 1 have at least one digit equal to 1. Example: for n = 5 there are 8 binary numbers with n - 1 = 4 digits (1000, 1001, 1010, 1011, 1100, 1101, 1110, 1111), only the F(n) = 5 numbers 1010, 1011, 1101, 1110 and 1111 have the desired property. - Hieronymus Fischer, Nov 30 2012
For positive n, F(n+1) equals the determinant of the n X n tridiagonal matrix with 1's along the main diagonal, i's along the superdiagonal and along the subdiagonal where i = sqrt(-1). Example: Det([1,i,0,0; i,1,i,0; 0,i,1,i; 0,0,i,1]) = F(4+1) = 5. - Philippe Deléham, Feb 24 2013
For n >= 1, number of compositions of n where there is a drop between every second pair of parts, starting with the first and second part; see example. Also, a(n+1) is the number of compositions where there is a drop between every second pair of parts, starting with the second and third part; see example. - Joerg Arndt, May 21 2013 [see the Hopkins/Tangboonduangjit reference for a proof, see also the Checa reference for alternative proofs and statistics]
Central terms of triangles in A162741 and A208245, n > 0. - Reinhard Zumkeller, Jul 28 2013
For n >= 4, F(n-1) is the number of simple permutations in the geometric grid class given in A226433. - Jay Pantone, Sep 08 2013
a(n) are the pentagon (not pentagonal) numbers because the algebraic degree 2 number rho(5) = 2*cos(Pi/5) = phi (golden section), the length ratio diagonal/side in a pentagon, has minimal polynomial C(5,x) = x^2 - x - 1 (see A187360, n=5), hence rho(5)^n = a(n-1)*1 + a(n)*rho(5), n >= 0, in the power basis of the algebraic number field Q(rho(5)). One needs a(-1) = 1 here. See also the P. Steinbach reference under A049310. - Wolfdieter Lang, Oct 01 2013
A010056(a(n)) = 1. - Reinhard Zumkeller, Oct 10 2013
Define F(-n) to be F(n) for n odd and -F(n) for n even. Then for all n and k, F(n+2k)^2 - F(n)^2 = F(n+k)*( F(n+3k) - F(n-k) ). - Charlie Marion, Dec 20 2013
( F(n), F(n+2k) ) satisfies the Diophantine equation: X^2 + Y^2 - L(2k)*X*Y = F(4k)^2*(-1)^n. This generalizes Bouhamida's comments dated Sep 06 2009 and Sep 08 2009. - Charlie Marion, Jan 07 2014
For any prime p there is an infinite periodic subsequence within F(n) divisible by p, that begins at index n = 0 with value 0, and its first nonzero term at n = A001602(i), and period k = A001602(i). Also see A236479. - Richard R. Forberg, Jan 26 2014
Range of row n of the circular Pascal array of order 5. - Shaun V. Ault, May 30 2014 [orig. Kicey-Klimko 2011, and observations by Glen Whitehead; more general work found in Ault-Kicey 2014]
Nonnegative range of the quintic polynomial 2*y - y^5 + 2*x*y^4 + x^2*y^3 - 2*x^3*y^2 - x^4*y with x, y >= 0, see Jones 1975. - Charles R Greathouse IV, Jun 01 2014
The expression round(1/(F(k+1)/F(n) + F(k)/F(n+1))), for n > 0, yields a Fibonacci sequence with k-1 leading zeros (with rounding 0.5 to 0). - Richard R. Forberg, Aug 04 2014
Conjecture: For n > 0, F(n) is the number of all admissible residue classes for which specific finite subsequences of the Collatz 3n + 1 function consists of n+2 terms. This has been verified for 0 < n < 51. For details see Links. - Mike Winkler, Oct 03 2014
a(4)=3 and a(6)=8 are the only Fibonacci numbers that are of the form prime+1. - Emmanuel Vantieghem, Oct 02 2014
a(1)=1=a(2), a(3)=2 are the only Fibonacci numbers that are of the form prime-1. - Emmanuel Vantieghem, Jun 07 2015
Any consecutive pair (m, k) of the Fibonacci sequence a(n) illustrates a fair equivalence between m miles and k kilometers. For instance, 8 miles ~ 13 km; 13 miles ~ 21 km. - Lekraj Beedassy, Oct 06 2014
a(n+1) counts closed walks on K_2, containing one loop on the other vertex. Equivalently the (1,1)_entry of A^(n+1) where the adjacency matrix of digraph is A=(0,1; 1,1). - David Neil McGrath, Oct 29 2014
a(n-1) counts closed walks on the graph G(1-vertex;l-loop,2-loop). - David Neil McGrath, Nov 26 2014
From Tom Copeland, Nov 02 2014: (Start)
Let P(x) = x/(1+x) with comp. inverse Pinv(x) = x/(1-x) = -P[-x], and C(x) = [1-sqrt(1-4x)]/2, an o.g.f. for the shifted Catalan numbers A000108, with inverse Cinv(x) = x * (1-x).
Fin(x) = P[C(x)] = C(x)/[1 + C(x)] is an o.g.f. for the Fine numbers, A000957 with inverse Fin^(-1)(x) = Cinv[Pinv(x)] = Cinv[-P(-x)].
Mot(x) = C[P(x)] = C[-Pinv(-x)] gives an o.g.f. for shifted A005043, the Motzkin or Riordan numbers with comp. inverse Mot^(-1)(x) = Pinv[Cinv(x)] = (x - x^2) / (1 - x + x^2) (cf. A057078).
BTC(x) = C[Pinv(x)] gives A007317, a binomial transform of the Catalan numbers, with BTC^(-1)(x) = P[Cinv(x)].
Fib(x) = -Fin[Cinv(Cinv(-x))] = -P[Cinv(-x)] = x + 2 x^2 + 3 x^3 + 5 x^4 + ... = (x+x^2)/[1-x-x^2] is an o.g.f. for the shifted Fibonacci sequence A000045, so the comp. inverse is Fib^(-1)(x) = -C[Pinv(-x)] = -BTC(-x) and Fib(x) = -BTC^(-1)(-x).
Generalizing to P(x,t) = x /(1 + t*x) and Pinv(x,t) = x /(1 - t*x) = -P(-x,t) gives other relations to lattice paths, such as the o.g.f. for A091867, C[P[x,1-t]], and that for A104597, Pinv[Cinv(x),t+1].
(End)
F(n+1) equals the number of binary words of length n avoiding runs of zeros of odd lengths. - Milan Janjic, Jan 28 2015
From Russell Jay Hendel, Apr 12 2015: (Start)
We prove Conjecture 1 of Rashid listed in the Formula section.
We use the following notation: F(n)=A000045(n), the Fibonacci numbers, and L(n) = A000032(n), the Lucas numbers. The fundamental Fibonacci-Lucas recursion asserts that G(n) = G(n-1) + G(n-2), with "L" or "F" replacing "G".
We need the following prerequisites which we label (A), (B), (C), (D). The prerequisites are formulas in the Koshy book listed in the References section. (A) F(m-1) + F(m+1) = L(m) (Koshy, p. 97, #32), (B) L(2m) + 2*(-1)^m = L(m)^2 (Koshy p. 97, #41), (C) F(m+k)*F(m-k) = (-1)^n*F(k)^2 (Koshy, p. 113, #24, Tagiuri's identity), and (D) F(n)^2 + F(n+1)^2 = F(2n+1) (Koshy, p. 97, #30).
We must also prove (E), L(n+2)*F(n-1) = F(2n+1)+2*(-1)^n. To prove (E), first note that by (A), proof of (E) is equivalent to proving that F(n+1)*F(n-1) + F(n+3)*F(n-1) = F(2n+1) + 2*(-1)^n. But by (C) with k=1, we have F(n+1)*F(n-1) = F(n)^2 + (-1)^n. Applying (C) again with k=2 and m=n+1, we have F(n+3)*F(n-1) = F(n+1) + (-1)^n. Adding these two applications of (C) together and using (D) we have F(n+1)*F(n-1) + F(n+3)*F(n-1) = F(n)^2 + F(n+1)^2 + 2*(-1)^n = F(2n+1) + 2(-1)^n, completing the proof of (E).
We now prove Conjecture 1. By (A) and the Fibonacci-Lucas recursion, we have F(2n+1) + F(2n+2) + F(2n+3) + F(2n+4) = (F(2n+1) + F(2n+3)) + (F(2n+2) + F(2n+4)) = L(2n+2) +L(2n+3) = L(2n+4). But then by (B), with m=2n+4, we have sqrt(L(2n+4) + 2(-1)^n) = L(n+2). Finally by (E), we have L(n+2)*F(n-1) = F(2n+1) + 2*(-1)^n. Dividing both sides by F(n-1), we have (F(2n+1) + 2*(-1)^n)/F(n-1) = L(n+2) = sqrt(F(2n+1) + F(2n+2) + F(2n+3) + F(2n+4) + 2(-1)^n), as required.
(End)
In Fibonacci's Liber Abaci the rabbit problem appears in the translation of L. E. Sigler on pp. 404-405, and a remark [27] on p. 637. - Wolfdieter Lang, Apr 17 2015
a(n) counts partially ordered partitions of (n-1) into parts 1,2,3 where only the order of adjacent 1's and 2's are unimportant. (See example.) - David Neil McGrath, Jul 27 2015
F(n) divides F(n*k). Proved by Marjorie Bicknell and Verner E Hoggatt Jr. - Juhani Heino, Aug 24 2015
F(n) is the number of UDU-equivalence classes of ballot paths of length n. Two ballot paths of length n with steps U = (1,1), D = (1,-1) are UDU-equivalent whenever the positions of UDU are the same in both paths. - Kostas Manes, Aug 25 2015
Cassini's identity F(2n+1) * F(2n+3) = F(2n+2)^2 + 1 is the basis for a geometrical paradox (or dissection fallacy) in A262342. - Jonathan Sondow, Oct 23 2015
For n >= 4, F(n) is the number of up-down words on alphabet {1,2,3} of length n-2. - Ran Pan, Nov 23 2015
F(n+2) is the number of terms in p(n), where p(n)/q(n) is the n-th convergent of the formal infinite continued fraction [a(0),a(1),...]; e.g., p(3) = a(0)a(1)a(2)a(3) + a(0)a(1) + a(0)a(3) + a(2)a(3) + 1 has F(5) terms. Also, F(n+1) is the number of terms in q(n). - Clark Kimberling, Dec 23 2015
F(n+1) (for n >= 1) is the permanent of an n X n matrix M with M(i,j)=1 if |i-j| <= 1 and 0 otherwise. - Dmitry Efimov, Jan 08 2016
A trapezoid has three sides of lengths in order F(n), F(n+2), F(n). For increasing n a very close approximation to the maximum area will have the fourth side equal to 2*F(n+1). For a trapezoid with lengths of sides in order F(n+2), F(n), F(n+2), the fourth side will be F(n+3). - J. M. Bergot, Mar 17 2016
(1) Join two triangles with lengths of sides L(n), F(n+3), L(n+2) and F(n+2), L(n+1), L(n+2) (where L(n)=A000032(n)) along the common side of length L(n+2) to create an irregular quadrilateral. Its area is approximately 5*F(2*n-1) - (F(2*n-7) - F(2*n-13))/5. (2) Join two triangles with lengths of sides L(n), F(n+2), F(n+3) and L(n+1), F(n+1), F(n+3) along the common side F(n+3) to form an irregular quadrilateral. Its area is approximately 4*F(2*n-1) - 2*(F(2*n-7) + F(2*n-18)). - J. M. Bergot, Apr 06 2016
From Clark Kimberling, Jun 13 2016: (Start)
Let T* be the infinite tree with root 0 generated by these rules: if p is in T*, then p+1 is in T* and x*p is in T*.
Let g(n) be the set of nodes in the n-th generation, so that g(0) = {0}, g(1) = {1}, g(2) = {2, x}, g(3) = {3, 2x, x+1, x^2}, etc.
Let T(r) be the tree obtained by substituting r for x.
If a positive integer N is not a square and r = sqrt(N), then the number of (not necessarily distinct) integers in g(n) is A000045(n), for n >= 1. See A274142. (End)
Consider the partitions of n, with all summands initially listed in nonincreasing order. Freeze all the 1's in place and then allow all the other summands to change their order, without displacing any of the 1's. The resulting number of arrangements is a(n+1). - Gregory L. Simay, Jun 14 2016
Limit of the matrix power M^k shown in A163733, Sep 14 2016, as k->infinity results in a single column vector equal to the Fibonacci sequence. - Gary W. Adamson, Sep 19 2016
F(n) and Lucas numbers L(n), being related by the formulas F(n) = (F(n-1) + L(n-1))/2 and L(n) = 2 F(n+1) - F(n), are a typical pair of "autosequences" (see the link to OEIS Wiki). - Jean-François Alcover, Jun 10 2017
Also the number of independent vertex sets and vertex covers in the (n-2)-path graph. - Eric W. Weisstein, Sep 22 2017
Shifted numbers of {UD, DU, FD, DF}-equivalence classes of Łukasiewicz paths. Łukasiewicz paths are P-equivalent iff the positions of pattern P are identical in these paths. - Sergey Kirgizov, Apr 08 2018
For n > 0, F(n) = the number of Markov equivalence classes with skeleton the path on n nodes. See Theorem 2.1 in the article by A. Radhakrishnan et al. below. - Liam Solus, Aug 23 2018
For n >= 2, also: number of terms in A032858 (every other base-3 digit is strictly smaller than its neighbors) with n-2 digits in base 3. - M. F. Hasler, Oct 05 2018
F(n+1) is the number of fixed points of the Foata transformation on S_n. - Kevin Long, Oct 17 2018
F(n+2) is the dimension of the Hecke algebra of type A_n with independent parameters (0,1,0,1,...) or (1,0,1,0,...). See Corollary 1.5 in the link "Hecke algebras with independent parameters". - Jia Huang, Jan 20 2019
The sequence is the second INVERT transform of (1, -1, 2, -3, 5, -8, 13, ...) and is the first sequence in an infinite set of successive INVERT transforms generated from (1, 0, 1, 0, 1, ...). Refer to the array shown in A073133. - Gary W. Adamson, Jul 16 2019
From Kai Wang, Dec 16 2019: (Start)
F(n*k)/F(k) = Sum_{i=0..n-1; j=0..n-1; i+2*j=n-1} (-1)^(j*(k-1))*L(k)^i*((i+j)!/(i!*j!)).
F((2*m+1)*k)/F(k) = Sum_{i=0..m-1} (-1)^(i*k)*L((2*m-2*i)*k) + (-1)^(m*k).
F(2*m*k)/F(k) = Sum_{i=0..m-1} (-1)^(i*k)*L((2*m-2*i-1)*k).
F(m+s)*F(n+r) - F(m+r)*F(n+s) = (-1)^(n+s)*F(m-n)*F(r-s).
F(m+r)*F(n+s) + F(m+s)*F(n+r) = (2*L(m+n+r+s) - (-1)^(n+s)*L(m-n)*L(r-s))/5.
L(m+r)*L(n+s) - 5*F(m+s)*F(n+r) = (-1)^(n+s)*L(m-n)*L(r-s).
L(m+r)*L(n+s) + 5*F(m+s)*F(n+r) = 2*L(m+n+r+s) + (-1)^(n+s)*5*F(m-n)*F(r-s).
L(m+r)*L(n+s) - L(m+s)*L(n+r) = (-1)^(n+s)*5*F(m-n)*F(r-s). (End)
F(n+1) is the number of permutations in S_n whose principal order ideals in the weak order are Boolean lattices. - Bridget Tenner, Jan 16 2020
F(n+1) is the number of permutations w in S_n that form Boolean intervals [s, w] in the weak order for every simple reflection s in the support of w. - Bridget Tenner, Jan 16 2020
F(n+1) is the number of subsets of {1,2,.,.,n} in which all differences between successive elements of subsets are odd. For example, for n = 6, F(7) = 13 and the 13 subsets are {6}, {1,6}, {3,6}, {5,6}, {2,3,6}, {2,5,6}, {4,5,6}, {1,2,3,6}, {1,2,5,6}, {1,4,5,6}, {3,4,5,6}, {2,3,4,5,6}, {1,2,3,4,5,6}. For even differences between elements see Comment in A016116. - Enrique Navarrete, Jul 01 2020
F(n) is the number of subsets of {1,2,...,n} in which the smallest element of the subset equals the size of the subset (this type of subset is sometimes called extraordinary). For example, F(6) = 8 and the subsets are {1}, {2,3}, {2,4}, {2,5}, {3,4,5}, {2,6}, {3,4,6}, {3,5,6}. It is easy to see that these subsets follow the Fibonacci recursion F(n) = F(n-1) + F(n-2) since we get F(n) such subsets by keeping all F(n-1) subsets from the previous stage (in the example, the F(5)=5 subsets that don't include 6), and by adding one to all elements and appending an additional element n to each subset in F(n-2) subsets (in the example, by applying this to the F(4)=3 subsets {1}, {2,3}, {2,4} we obtain {2,6}, {3,4,6}, {3,5,6}). - Enrique Navarrete, Sep 28 2020
Named "série de Fibonacci" by Lucas (1877) after the Italian mathematician Fibonacci (Leonardo Bonacci, c. 1170 - c. 1240/50). In 1876 he named the sequence "série de Lamé" after the French mathematician Gabriel Lamé (1795 - 1870). - Amiram Eldar, Apr 16 2021
F(n) is the number of edge coverings of the path with n edges. - M. Farrokhi D. G., Sep 30 2021
LCM(F(m), F(n)) is a Fibonacci number if and only if either F(m) divides F(n) or F(n) divides F(m). - M. Farrokhi D. G., Sep 30 2021
Every nonunit positive rational number has at most one representation as the quotient of two Fibonacci numbers. - M. Farrokhi D. G., Sep 30 2021
The infinite sum F(n)/10^(n-1) for all natural numbers n is equal to 100/89. More generally, the sum of F(n)/(k^(n-1)) for all natural numbers n is equal to k^2/(k^2-k-1). Jonatan Djurachkovitch, Dec 31 2023
For n >= 1, number of compositions (c(1),c(2),...,c(k)) of n where c(1), c(3), c(5), ... are 1. To obtain such compositions K(n) of length n increase all parts c(2) by one in all of K(n-1) and prepend two parts 1 in all of K(n-2). - Joerg Arndt, Jan 05 2024
Cohn (1964) proved that a(12) = 12^2 is the only square in the sequence greater than a(1) = 1. - M. F. Hasler, Dec 18 2024
Product_{i=n-2..n+2} F(i) = F(n)^5 - F(n). For example, (F(4)F(5)F(6)F(7)F(8))=(3 * 5 * 8 * 13 * 21) = 8^5 - 8. - Jules Beauchamp, Apr 28 2025
F(n) is even iff n is a multiple of 3. - Stefano Spezia, Jul 06 2025
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Index entries for "core" sequences
Index to divisibility sequences
Index entries for related partition-counting sequences
Index entries for linear recurrences with constant coefficients, signature (1,1).
Index entries for two-way infinite sequences
Index entries for sequences related to Benford's law
FORMULA
G.f.: x / (1 - x - x^2).
G.f.: Sum_{n>=0} x^n * Product_{k=1..n} (k + x)/(1 + k*x). - Paul D. Hanna, Oct 26 2013
F(n) = ((1+sqrt(5))^n - (1-sqrt(5))^n)/(2^n*sqrt(5)).
Alternatively, F(n) = ((1/2+sqrt(5)/2)^n - (1/2-sqrt(5)/2)^n)/sqrt(5).
F(n) = F(n-1) + F(n-2) = -(-1)^n F(-n).
F(n) = round(phi^n/sqrt(5)).
F(n+1) = Sum_{j=0..floor(n/2)} binomial(n-j, j).
A strong divisibility sequence, that is, gcd(a(n), a(m)) = a(gcd(n, m)) for all positive integers n and m. - Michael Somos, Jan 03 2017
E.g.f.: (2/sqrt(5))*exp(x/2)*sinh(sqrt(5)*x/2). - Len Smiley, Nov 30 2001
[0 1; 1 1]^n [0 1] = [F(n); F(n+1)]
x | F(n) ==> x | F(kn).
A sufficient condition for F(m) to be divisible by a prime p is (p - 1) divides m, if p == 1 or 4 (mod 5); (p + 1) divides m, if p == 2 or 3 (mod 5); or 5 divides m, if p = 5. (This is essentially Theorem 180 in Hardy and Wright.) - Fred W. Helenius (fredh(AT)ix.netcom.com), Jun 29 2001
a(n)=F(n) has the property: F(n)*F(m) + F(n+1)*F(m+1) = F(n+m+1). - Miklos Kristof, Nov 13 2003
From Kurmang. Aziz. Rashid, Feb 21 2004: (Start)
Conjecture 1: for n >= 2, sqrt(F(2n+1) + F(2n+2) + F(2n+3) + F(2n+4) + 2*(-1)^n) = (F(2n+1) + 2*(-1)^n)/F(n-1). [For a proof see Comments section.]
Conjecture 2: for n >= 0, (F(n+2)*F(n+3)) - (F(n+1)*F(n+4)) + (-1)^n = 0.
[Two more conjectures removed by Peter Luschny, Nov 17 2017]
Theorem 1: for n >= 0, (F(n+3)^ 2 - F(n+1)^ 2)/F(n+2) = (F(n+3)+ F(n+1)).
Theorem 2: for n >= 0, F(n+10) = 11*F(n+5) + F(n).
Theorem 3: for n >= 6, F(n) = 4*F(n-3) + F(n-6). (End)
Conjecture 2 of Rashid is actually a special case of the general law F(n)*F(m) + F(n+1)*F(m+1) = F(n+m+1) (take n <- n+1 and m <- -(n+4) in this law). - Harmel Nestra (harmel.nestra(AT)ut.ee), Apr 22 2005
Conjecture 2 of Rashid Kurmang simplified: F(n)*F(n+3) = F(n+1)*F(n+2)-(-1)^n. Follows from d'Ocagne's identity: m=n+2. - Alex Ratushnyak, May 06 2012
Conjecture: for all c such that 2-phi <= c < 2*(2-phi) we have F(n) = floor(phi*a(n-1)+c) for n > 2. - Gerald McGarvey, Jul 21 2004
For x > phi, Sum_{n>=0} F(n)/x^n = x/(x^2 - x - 1). - Gerald McGarvey, Oct 27 2004
F(n+1) = exponent of the n-th term in the series f(x, 1) determined by the equation f(x, y) = xy + f(xy, x). - Jonathan Sondow, Dec 19 2004
a(n-1) = Sum_{k=0..n} (-1)^k*binomial(n-ceiling(k/2), floor(k/2)). - Benoit Cloitre, May 05 2005
a(n) = Sum_{k=0..n} abs(A108299(n, k)). - Reinhard Zumkeller, Jun 01 2005
a(n) = A001222(A000304(n)).
F(n+1) = Sum_{k=0..n} binomial((n+k)/2, (n-k)/2)(1+(-1)^(n-k))/2. - Paul Barry, Aug 28 2005
Fibonacci(n) = Product_{j=1..ceiling(n/2)-1} (1 + 4(cos(j*Pi/n))^2). [Bicknell and Hoggatt, pp. 47-48.] - Emeric Deutsch, Oct 15 2006
F(n) = 2^-(n-1)*Sum_{k=0..floor((n-1)/2)} binomial(n,2*k+1)*5^k. - Hieronymus Fischer, Feb 07 2006
a(n) = (b(n+1) + b(n-1))/n where {b(n)} is the sequence A001629. - Sergio Falcon, Nov 22 2006
F(n*m) = Sum_{k = 0..m} binomial(m,k)*F(n-1)^k*F(n)^(m-k)*F(m-k). The generating function of F(n*m) (n fixed, m = 0,1,2,...) is G(x) = F(n)*x / ((1 - F(n-1)*x)^2 - F(n)*x*(1 - F(n-1)*x) - (F(n)*x)^2). E.g., F(15) = 610 = F(5*3) = binomial(3,0)* F(4)^0*F(5)^3*F(3) + binomial(3,1)* F(4)^1*F(5)^2*F(2) + binomial(3,2)* F(4)^2*F(5)^1*F(1) + binomial(3,3)* F(4)^3*F(5)^0*F(0) = 1*1*125*2 + 3*3*25*1 + 3*9*5*1 + 1*27*1*0 = 250 + 225 + 135 + 0 = 610. - Miklos Kristof, Feb 12 2007
From Miklos Kristof, Mar 19 2007: (Start)
Let L(n) = A000032(n) = Lucas numbers. Then:
For a >= b and odd b, F(a+b) + F(a-b) = L(a)*F(b).
For a >= b and even b, F(a+b) + F(a-b) = F(a)*L(b).
For a >= b and odd b, F(a+b) - F(a-b) = F(a)*L(b).
For a >= b and even b, F(a+b) - F(a-b) = L(a)*F(b).
F(n+m) + (-1)^m*F(n-m) = F(n)*L(m);
F(n+m) - (-1)^m*F(n-m) = L(n)*F(m);
F(n+m+k) + (-1)^k*F(n+m-k) + (-1)^m*(F(n-m+k) + (-1)^k*F(n-m-k)) = F(n)*L(m)*L(k);
F(n+m+k) - (-1)^k*F(n+m-k) + (-1)^m*(F(n-m+k) - (-1)^k*F(n-m-k)) = L(n)*L(m)*F(k);
F(n+m+k) + (-1)^k*F(n+m-k) - (-1)^m*(F(n-m+k) + (-1)^k*F(n-m-k)) = L(n)*F(m)*L(k);
F(n+m+k) - (-1)^k*F(n+m-k) - (-1)^m*(F(n-m+k) - (-1)^k*F(n-m-k)) = 5*F(n)*F(m)*F(k). (End)
A corollary to Kristof 2007 is 2*F(a+b) = F(a)*L(b) + L(a)*F(b). - Graeme McRae, Apr 24 2014
For n > m, the sum of the 2m consecutive Fibonacci numbers F(n-m-1) thru F(n+m-2) is F(n)*L(m) if m is odd, and L(n)*F(m) if m is even (see the McRae link). - Graeme McRae, Apr 24 2014.
F(n) = b(n) + (p-1)*Sum_{k=2..n-1} floor(b(k)/p)*F(n-k+1) where b(k) is the digital sum analog of the Fibonacci recurrence, defined by b(k) = ds_p(b(k-1)) + ds_p(b(k-2)), b(0)=0, b(1)=1, ds_p=digital sum base p. Example for base p=10: F(n) = A010077(n) + 9*Sum_{k=2..n-1} A059995(A010077(k))*F(n-k+1). - Hieronymus Fischer, Jul 01 2007
F(n) = b(n)+p*Sum_{k=2..n-1} floor(b(k)/p)*F(n-k+1) where b(k) is the digital product analog of the Fonacci recurrence, defined by b(k) = dp_p(b(k-1)) + dp_p(b(k-2)), b(0)=0, b(1)=1, dp_p=digital product base p. Example for base p=10: F(n) = A074867(n) + 10*Sum_{k=2..n-1} A059995(A074867(k))*F(n-k+1). - Hieronymus Fischer, Jul 01 2007
a(n) = denominator of continued fraction [1,1,1,...] (with n ones); e.g., 2/3 = continued fraction [1,1,1]; where barover[1] = [1,1,1,...] = 0.6180339.... - Gary W. Adamson, Nov 29 2007
F(n + 3) = 2F(n + 2) - F(n), F(n + 4) = 3F(n + 2) - F(n), F(n + 8) = 7F(n + 4) - F(n), F(n + 12) = 18F(n + 6) - F(n). - Paul Curtz, Feb 01 2008
a(2^n) = Product_{i=0..n-2} B(i) where B(i) is A001566. Example 3*7*47 = F(16). - Kenneth J Ramsey, Apr 23 2008
a(n+1) = Sum_{k=0..n} A109466(n,k)*(-1)^(n-k). -Philippe Deléham, Oct 26 2008
a(n) = Sum_{l_1=0..n+1} Sum_{l_2=0..n}...Sum_{l_i=0..n-i}... Sum_{l_n=0..1} delta(l_1,l_2,...,l_i,...,l_n), where delta(l_1,l_2,...,l_i,...,l_n) = 0 if any l_i + l_(i+1) >= 2 for i=1..n-1 and delta(l_1,l_2,...,l_i,...,l_n) = 1 otherwise. - Thomas Wieder, Feb 25 2009
a(n+1) = 2^n sqrt(Product_{k=1..n} cos(k Pi/(n+1))^2+1/4) (Kasteleyn's formula specialized). - Sarah-Marie Belcastro, Jul 04 2009
a(n+1) = Sum_{k=floor(n/2) mod 5} C(n,k) - Sum_{k=floor((n+5)/2) mod 5} C(n,k) = A173125(n) - A173126(n) = |A054877(n)-A052964(n-1)|. - Henry Bottomley, Feb 10 2010
If p[i] = modp(i,2) and if A is Hessenberg matrix of order n defined by: A[i,j] = p[j-i+1], (i <= j), A[i,j]=-1, (i=j+1), and A[i,j]=0 otherwise. Then, for n >= 1, a(n)=det A. - Milan Janjic, May 02 2010
Limit_{k->oo} F(k+n)/F(k) = (L(n) + F(n)*sqrt(5))/2 with the Lucas numbers L(n) = A000032(n). - Johannes W. Meijer, May 27 2010
For n >= 1, F(n) = round(log_2(2^(phi*F(n-1)) + 2^(phi*F(n-2)))), where phi is the golden ratio. - Vladimir Shevelev, Jun 24 2010, Jun 27 2010
For n >= 1, a(n+1) = ceiling(phi*a(n)), if n is even and a(n+1) = floor(phi*a(n)), if n is odd (phi = golden ratio). - Vladimir Shevelev, Jul 01 2010
a(n) = 2*a(n-2) + a(n-3), n > 2. - Gary Detlefs, Sep 08 2010
a(2^n) = Product_{i=0..n-1} A000032(2^i). - Vladimir Shevelev, Nov 28 2010
a(n)^2 - a(n-1)^2 = a(n+1)*a(n-2), see A121646.
a(n) = sqrt((-1)^k*(a(n+k)^2 - a(k)*a(2n+k))), for any k. - Gary Detlefs, Dec 03 2010
F(2*n) = F(n+2)^2 - F(n+1)^2 - 2*F(n)^2. - Richard R. Forberg, Jun 04 2011
From Artur Jasinski, Nov 17 2011: (Start)
(-1)^(n+1) = F(n)^2 + F(n)*F(1+n) - F(1+n)^2.
F(n) = F(n+2) - 1 + (F(n+1))^4 + 2*(F(n+1)^3*F(n+2)) - (F(n+1)*F(n+2))^2 - 2*F(n+1)(F(n+2))^3 + (F(n+2))^4 - F(n+1). (End)
F(n) = 1 + Sum_{x=1..n-2} F(x). - Joseph P. Shoulak, Feb 05 2012
F(n) = 4*F(n-2) - 2*F(n-3) - F(n-6). - Gary Detlefs, Apr 01 2012
F(n) = round(phi^(n+1)/(phi+2)). - Thomas Ordowski, Apr 20 2012
From Sergei N. Gladkovskii, Jun 03 2012: (Start)
G.f.: A(x) = x/(1-x-x^2) = G(0)/sqrt(5) where G(k) = 1 - ((-1)^k)*2^k/(a^k - b*x*a^k*2^k/(b*x*2^k - 2*((-1)^k)*c^k/G(k+1))) and a=3+sqrt(5), b=1+sqrt(5), c=3-sqrt(5); (continued fraction, 3rd kind, 3-step).
Let E(x) be the e.g.f., i.e.,
E(x) = 1*x + (1/2)*x^2 + (1/3)*x^3 + (1/8)*x^4 + (1/24)*x^5 + (1/90)*x^6 + (13/5040)*x^7 + ...; then
E(x) = G(0)/sqrt(5); G(k) = 1 - ((-1)^k)*2^k/(a^k - b*x*a^k*2^k/(b*x*2^k - 2*((-1)^k)*(k+1)*c^k/G(k+1))), where a=3+sqrt(5), b=1+sqrt(5), c=3-sqrt(5); (continued fraction, 3rd kind, 3-step).
(End)
From Hieronymus Fischer, Nov 30 2012: (Start)
F(n) = 1 + Sum_{j_1=1..n-2} 1 + Sum_{j_1=1..n-2} Sum_{j_2=1..j_1-2} 1 + Sum_{j_1=1..n-2} Sum_{j_2=1..j_1-2} Sum_{j_3=1..j_2-2} 1 + ... + Sum_{j_1=1..n-2} Sum_{j_2=1..j_1-2} Sum_{j_3=1..j_2-2} ... Sum_{j_k=1..j_(k-1)-2} 1, where k = floor((n-1)/2).
Example: F(6) = 1 + Sum_{j=1..4} 1 + Sum_{j=1..4} Sum_{k=1..(j-2)} 1 + 0 = 1 + (1 + 1 + 1 + 1) + (1 + (1 + 1)) = 8.
F(n) = Sum_{j=0..k} S(j+1,n-2j), where k = floor((n-1)/2) and the S(j,n) are the n-th j-simplex sums: S(1,n) = 1 is the 1-simplex sum, S(2,n) = Sum_{k=1..n} S(1,k) = 1+1+...+1 = n is the 2-simplex sum, S(3,n) = Sum_{k=1..n} S(2,k) = 1+2+3+...+n is the 3-simplex sum (= triangular numbers = A000217), S(4,n) = Sum_{k=1..n} S(3,k) = 1+3+6+...+n(n+1)/2 is the 4-simplex sum (= tetrahedral numbers = A000292) and so on.
Since S(j,n) = binomial(n-2+j,j-1), the formula above equals the well-known binomial formula, essentially. (End)
G.f.: A(x) = x / (1 - x / (1 - x / (1 + x))). - Michael Somos, Jan 04 2013
Sum_{n >= 1} (-1)^(n-1)/(a(n)*a(n+1)) = 1/phi (phi=golden ratio). - Vladimir Shevelev, Feb 22 2013
From Raul Prisacariu, Oct 29 2023: (Start)
For odd k, Sum_{n >= 1} a(k)^2*(-1)^(n-1)/(a(k*n)*a(k*n+k)) = phi^(-k).
For even k, Sum_{n >= 1} a(k)^2/(a(k*n)*a(k*n+k)) = phi^(-k). (End)
From Vladimir Shevelev, Feb 24 2013: (Start)
(1) Expression a(n+1) via a(n): a(n+1) = (a(n) + sqrt(5*(a(n))^2 + 4*(-1)^n))/2;
(2) Sum_{k=1..n} (-1)^(k-1)/(a(k)*a(k+1)) = a(n)/a(n+1);
(3) a(n)/a(n+1) = 1/phi + r(n), where |r(n)| < 1/(a(n+1)*a(n+2)). (End)
F(n+1) = F(n)/2 + sqrt((-1)^n + 5*F(n)^2/4), n >= 0. F(n+1) = U_n(i/2)/i^n, (U:= Chebyshev polynomial of the 2nd kind, i=sqrt(-1)). - Bill Gosper, Mar 04 2013
G.f.: -Q(0) where Q(k) = 1 - (1+x)/(1 - x/(x - 1/Q(k+1) )); (continued fraction). - Sergei N. Gladkovskii, Mar 06 2013
G.f.: x - 1 - 1/x + (1/x)/Q(0), where Q(k) = 1 - (k+1)*x/(1 - x/(x - (k+1)/Q(k+1))); (continued fraction). - Sergei N. Gladkovskii, Apr 23 2013
G.f.: x*G(0), where G(k) = 1 + x*(1+x)/(1 - x*(1+x)/(x*(1+x) + 1/G(k+1) )); (continued fraction). - Sergei N. Gladkovskii, Jul 08 2013
G.f.: x^2 - 1 + 2*x^2/(W(0)-2), where W(k) = 1 + 1/(1 - x*(k + x)/( x*(k+1 + x) + 1/W(k+1) )); (continued fraction). - Sergei N. Gladkovskii, Aug 28 2013
G.f.: Q(0) - 1, where Q(k) = 1 + x^2 + (k+2)*x - x*(k+1 + x)/Q(k+1); (continued fraction). - Sergei N. Gladkovskii, Oct 06 2013
Let b(n) = b(n-1) + b(n-2), with b(0) = 0, b(1) = phi. Then, for n >= 2, F(n) = floor(b(n-1)) if n is even, F(n) = ceiling(b(n-1)), if n is odd, with convergence. - Richard R. Forberg, Jan 19 2014
a(n) = Sum_{t1*g(1)+t2*g(2)+...+tn*g(n)=n} multinomial(t1+t2+...+tn,t1,t2,...,tn), where g(k)=2*k-1. - Mircea Merca, Feb 27 2014
F(n) = round(sqrt(F(n-1)^2 + F(n)^2 + F(n+1)^2)/2), for n > 0. This rule appears to apply to any sequence of the form a(n) = a(n-1) + a(n-2), for any two values of a(0) and a(1), if n is sufficiently large. - Richard R. Forberg, Jul 27 2014
F(n) = round(2/(1/F(n) + 1/F(n+1) + 1/F(n+2))), for n > 0. This rule also appears to apply to any sequence of the form a(n) = a(n-1) + a(n-2), for any two values of a(0) and a(1), if n is sufficiently large. - Richard R. Forberg, Aug 03 2014
F(n) = round(1/(Sum_{j>=n+2} 1/F(j))). - Richard R. Forberg, Aug 14 2014
a(n) = hypergeometric([-n/2+1/2, -n/2+1], [-n+1], -4) for n >= 2. - Peter Luschny, Sep 19 2014
Limit_{n -> oo} (log F(n+1)/log F(n))^n = e. - Thomas Ordowski, Oct 06 2014
F(n) = (L(n+1)^2 - L(n-1)^2)/(5*L(n)), where L(n) is A000032(n), with a similar inverse relationship. - Richard R. Forberg, Nov 17 2014
Consider the graph G[1-vertex;1-loop,2-loop] in comment above. Construct the power matrix array T(n,j) = [A^*j]*[S^*(j-1)] where A=(1,1,0,...) and S=(0,1,0,...)(A063524). [* is convolution operation] Define S^*0=I with I=(1,0,...). Then T(n,j) counts n-walks containing (j) loops and a(n-1) = Sum_{j=1..n} T(n,j). - David Neil McGrath, Nov 21 2014
Define F(-n) to be F(n) for n odd and -F(n) for n even. Then for all n and k, F(n) = F(k)*F(n-k+3) - F(k-1)*F(n-k+2) - F(k-2)*F(n-k) + (-1)^k*F(n-2k+2). - Charlie Marion, Dec 04 2014
F(n+k)^2 - L(k)*F(n)*F(n+k) + (-1)^k*F(n)^2 = (-1)^n*F(k)^2, if L(k) = A000032(k). - Alexander Samokrutov, Jul 20 2015
F(2*n) = F(n+1)^2 - F(n-1)^2, similar to Koshy (D) and Forberg 2011, but different. - Hermann Stamm-Wilbrandt, Aug 12 2015
F(n+1) = ceiling( (1/phi)*Sum_{k=0..n} F(k) ). - Tom Edgar, Sep 10 2015
a(n) = (L(n-3) + L(n+3))/10 where L(n)=A000032(n). - J. M. Bergot, Nov 25 2015
From Bob Selcoe, Mar 27 2016: (Start)
F(n) = (F(2n+k+1) - F(n+1)*F(n+k+1))/F(n+k), k >= 0.
Thus when k=0: F(n) = sqrt(F(2n+1) - F(n+1)^2).
F(n) = (F(3n) - F(n+1)^3 + F(n-1)^3)^(1/3).
F(n+2k) = binomial transform of any subsequence starting with F(n). Example F(6)=8: 1*8 = F(6)=8; 1*8 + 1*13 = F(8)=21; 1*8 + 2*13 + 1*21 = F(10)=55; 1*8 + 3*13 + 3*21 + 1*34 = F(12)=144, etc. This formula applies to Fibonacci-type sequences with any two seed values for a(0) and a(1) (e.g., Lucas sequence A000032: a(0)=2, a(1)=1).
(End)
F(n) = L(k)*F(n-k) + (-1)^(k+1)*F(n-2k) for all k >= 0, where L(k) = A000032(k). - Anton Zakharov, Aug 02 2016
From Ilya Gutkovskiy, Aug 03 2016: (Start)
a(n) = F_n(1), where F_n(x) are the Fibonacci polynomials.
Inverse binomial transform of A001906.
Number of zeros in substitution system {0 -> 11, 1 -> 1010} at step n from initial string "1" (1 -> 1010 -> 101011101011 -> ...) multiplied by 1/A000079(n). (End)
For n >= 2, a(n) = 2^(n^2+n) - (4^n-2^n-1)*floor(2^(n^2+n)/(4^n-2^n-1)) - 2^n*floor(2^(n^2) - (2^n-1-1/2^n)*floor(2^(n^2+n)/(4^n-2^n-1))). - Benoit Cloitre, Apr 17 2017
f(n+1) = Sum_{j=0..floor(n/2)} Sum_{k=0..j} binomial(n-2j,k)*binomial(j,k). - Tony Foster III, Sep 04 2017
F(n) = Sum_{k=0..floor((n-1)/2)} ( (n-k-1)! / ((n-2k-1)! * k!) ). - Zhandos Mambetaliyev, Nov 08 2017
For x even, F(n) = (F(n+x) + F(n-x))/L(x). For x odd, F(n) = (F(n+x) - F(n-x))/L(x) where n >= x in both cases. Therefore F(n) = F(2*n)/L(n) for n >= 0. - David James Sycamore, May 04 2018
From Isaac Saffold, Jul 19 2018: (Start)
Let [a/p] denote the Legendre symbol. Then, for an odd prime p:
F(p+n) == [5/p]*F([5/p]+n) (mod p), if [5/p] = 1 or -1.
F(p+n) == 3*F(n) (mod p), if [5/p] = 0 (i.e., p = 5).
This is true for negative-indexed terms as well, if this sequence is extended by the negafibonacci numbers (i.e., F(-n) = A039834(n)). (End)
a(n) = A094718(4, n). a(n) = A101220(0, j, n).
a(n) = A090888(0, n+1) = A118654(0, n+1) = A118654(1, n-1) = A109754(0, n) = A109754(1, n-1), for n > 0.
a(n) = (L(n-3) + L(n-2) + L(n-1) + L(n))/5 with L(n)=A000032(n). - Art Baker, Jan 04 2019
F(n) = F(k-1)*F(abs(n-k-2)) + F(k-1)*F(n-k-1) + F(k)*F(abs(n-k-2)) + 2*F(k)*F(n-k-1), for n > k > 0. - Joseph M. Shunia, Aug 12 2019
F(n) = F(n-k+2)*F(k-1) + F(n-k+1)*F(k-2) for all k such that 2 <= k <= n. - Michael Tulskikh, Oct 09 2019
F(n)^2 - F(n+k)*F(n-k) = (-1)^(n+k) * F(k)^2 for 2 <= k <= n [Catalan's identity]. - Hermann Stamm-Wilbrandt, May 07 2021
Sum_{n>=1} 1/a(n) = A079586 is the reciprocal Fibonacci constant. - Gennady Eremin, Aug 06 2021
a(n) = Product_{d|n} b(d) = Product_{k=1..n} b(gcd(n,k))^(1/phi(n/gcd(n,k))) = Product_{k=1..n} b(n/gcd(n,k))^(1/phi(n/gcd(n,k))) where b(n) = A061446(n) = primitive part of a(n), phi(n) = A000010(n). - Richard L. Ollerton, Nov 08 2021
a(n) = 2*i^(1-n)*sin(n*arccos(i/2))/sqrt(5), i=sqrt(-1). - Bill Gosper, May 05 2022
a(n) = i^(n-1)*sin(n*c)/sin(c) = i^(n-1)*sin(c*n)*csc(c), where c = Pi/2 + i*arccsch(2). - Peter Luschny, May 23 2022
F(2n) = Sum_{k=1..n} (k/5)*binomial(2n, n+k), where (k/5) is the Legendre or Jacobi Symbol; F(2n+1)= Sum_{k=1..n} (-(k+2)/5)*binomial(2n+1, n+k), where (-(k+2)/5) is the Legendre or Jacobi Symbol. For example, F(10) = 1*binomial(10,6) - 1*binomial(10,7) - 1*binomial(10,8) + 1*binomial(10,9) + 0*binomial(10,10), F(11) = 1*binomial(11,6) - 1*binomial(11,7) + 0*binomial(11,8) - 1*binomial(11,9) + 1*binomial(11,10) + 1*binomial(11,11). - Yike Li, Aug 21 2022
For n > 0, 1/F(n) = Sum_{k>=1} F(n*k)/(F(n+2)^(k+1)). - Diego Rattaggi, Oct 26 2022
From Andrea Pinos, Dec 02 2022: (Start)
For n == 0 (mod 4): F(n) = F((n+2)/2)*( F(n/2) + F((n/2)-2) ) + 1;
For n == 1 (mod 4): F(n) = F((n-1)/2)*( F((n-1)/2) + F(2+(n-1)/2) ) + 1;
For n == 2 (mod 4): F(n) = F((n-2)/2)*( F(n/2) + F((n/2)+2) ) + 1;
For n == 3 (mod 4): F(n) = F((n-1)/2)*( F((n-1)/2) + F(2+(n-1)/2) ) - 1. (End)
F(n) = Sum_{i=0..n-1} F(i)^2 / F(n-1). - Jules Beauchamp, May 03 2025
EXAMPLE
For x = 0,1,2,3,4, x=1/(x+1) = 1, 1/2, 2/3, 3/5, 5/8. These fractions have numerators 1,1,2,3,5, which are the 2nd to 6th terms of the sequence. - Cino Hilliard, Sep 15 2008
From Joerg Arndt, May 21 2013: (Start)
There are a(7)=13 compositions of 7 where there is a drop between every second pair of parts, starting with the first and second part:
01: [ 2 1 2 1 1 ]
02: [ 2 1 3 1 ]
03: [ 2 1 4 ]
04: [ 3 1 2 1 ]
05: [ 3 1 3 ]
06: [ 3 2 2 ]
07: [ 4 1 2 ]
08: [ 4 2 1 ]
09: [ 4 3 ]
10: [ 5 1 1 ]
11: [ 5 2 ]
12: [ 6 1 ]
13: [ 7 ]
There are abs(a(6+1))=13 compositions of 6 where there is no rise between every second pair of parts, starting with the second and third part:
01: [ 1 2 1 2 ]
02: [ 1 3 1 1 ]
03: [ 1 3 2 ]
04: [ 1 4 1 ]
05: [ 1 5 ]
06: [ 2 2 1 1 ]
07: [ 2 3 1 ]
08: [ 2 4 ]
09: [ 3 2 1 ]
10: [ 3 3 ]
11: [ 4 2 ]
12: [ 5 1 ]
13: [ 6 ]
(End)
Partially ordered partitions of (n-1) into parts 1,2,3 where only the order of the adjacent 1's and 2's are unimportant. E.g., a(8)=21. These are (331),(313),(133),(322),(232),(223),(3211),(2311),(1321),(2131),(1132),(2113),(31111),(13111),(11311),(11131),(11113),(2221),(22111),(211111),(1111111). - David Neil McGrath, Jul 25 2015
Consider the partitions of 7 with summands initially listed in nonincreasing order. Keep the 1's frozen in position (indicated by "[]") and then allow the other summands to otherwise vary their order: 7; 6,[1]; 5,2; 2,5; 4,3; 3,4; 5,[1,1], 4,2,[1]; 2,4,[1]; 3,3,[1]; 3,3,2; 3,2,3; 2,3,3; 4,[1,1,1]; 3,2,[1,1]; 2,3,[1,1]; 2,2,2,[1]; 3,[1,1,1,1]; 2,2,[1,1,1]; 2,[1,1,1,1,1]; [1,1,1,1,1,1,1]. There are 21 = a(7+1) arrangements in all. - Gregory L. Simay, Jun 14 2016
MAPLE
A000045 := proc(n) combinat[fibonacci](n); end;
ZL:=[S, {a = Atom, b = Atom, S = Prod(X, Sequence(Prod(X, b))), X = Sequence(b, card >= 1)}, unlabelled]: seq(combstruct[count](ZL, size=n), n=0..38); # Zerinvary Lajos, Apr 04 2008
spec := [B, {B=Sequence(Set(Z, card>1))}, unlabeled ]: seq(combstruct[count](spec, size=n), n=1..39); # Zerinvary Lajos, Apr 04 2008
# The following Maple command isFib(n) yields true or false depending on whether n is a Fibonacci number or not.
with(combinat): isFib := proc(n) local a: a := proc(n) local j: for j while fibonacci(j) <= n do fibonacci(j) end do: fibonacci(j-1) end proc: evalb(a(n) = n) end proc: # Emeric Deutsch, Nov 11 2014
MATHEMATICA
Table[Fibonacci[k], {k, 0, 50}] (* Mohammad K. Azarian, Jul 11 2015 *)
Table[2^n Sqrt @ Product[(Cos[Pi k/(n + 1)]^2 + 1/4), {k, n}] // FullSimplify, {n, 15}]; (* Kasteleyn's formula specialized, Sarah-Marie Belcastro, Jul 04 2009 *)
LinearRecurrence[{1, 1}, {0, 1}, 40] (* Harvey P. Dale, Aug 03 2014 *)
Fibonacci[Range[0, 20]] (* Eric W. Weisstein, Sep 22 2017 *)
CoefficientList[Series[-(x/(-1 + x + x^2)), {x, 0, 20}], x] (* Eric W. Weisstein, Sep 22 2017 *)
PROG
(Axiom) [fibonacci(n) for n in 0..50]
(Magma) [Fibonacci(n): n in [0..38]];
(Maxima) makelist(fib(n), n, 0, 100); /* Martin Ettl, Oct 21 2012 */
(PARI) a(n) = fibonacci(n)
(PARI) a(n) = imag(quadgen(5)^n)
(PARI) a(n)=my(phi=quadgen(5)); (phi^n-(-1/phi)^n)/(2*phi-1) \\ Charles R Greathouse IV, Jun 17 2012
(PARI) is_A000045=A010056 \\ Characteristic function: see there. - M. F. Hasler, Feb 21 2025
(Python) # From Jaap Spies, Jan 05 2007, updated by Peter Luschny, Feb 21 2023:
from itertools import islice
def fib_gen():
x, y = 0, 1
while True:
yield x
x, y = y, x + y
fib_list = lambda n: list(islice(fib_gen(), n))
(Python)
is_A000045 = A010056 # See there: Characteristic function. Used e.g. in A377092.
A000045 = lambda n: (4<<n*(n+3))//((4<<2*n)-(2<<n)-1)&((2<<n)-1) # from Sage code for function F, below, adjusted for correct indices # M. F. Hasler, improving old code from 2023, Feb 20 2025
(Python) [(i:=-1)+(j:=1)] + [(j:=i+j)+(i:=j-i) for _ in range(100)] # Jwalin Bhatt, Apr 03 2025
(Sage) # Demonstration program from Jaap Spies:
a = sloane.A000045; # choose sequence
print(a) # This returns the name of the sequence.
print(a(38)) # This returns the 38th term of the sequence.
print(a.list(39)) # This returns a list of the first 39 terms.
(Sage)
a = BinaryRecurrenceSequence(1, 1); print([a(n) for n in range(20)])
# Closed form integer formula with F(1) = 0 from Paul Hankin (see link).
F = lambda n: (4<<(n-1)*(n+2))//((4<<2*(n-1))-(2<<(n-1))-1)&((2<<(n-1))-1)
print([F(n) for n in range(20)]) # Peter Luschny, Aug 28 2016
(Sage) print(list(fibonacci_sequence(0, 40))) # Bruno Berselli, Jun 26 2014
(Haskell)
-- Based on code from http://www.haskell.org/haskellwiki/The_Fibonacci_sequence
-- which also has other versions.
fib :: Int -> Integer
fib n = fibs !! n
where
fibs = 0 : 1 : zipWith (+) fibs (tail fibs)
{- Example of use: map fib [0..38] Gerald McGarvey, Sep 29 2009 -}
(Julia)
function fib(n)
F = BigInt[1 1; 1 0]
Fn = F^n
Fn[2, 1]
end
println([fib(n) for n in 0:38]) # Peter Luschny, Feb 23 2017
(Julia) # faster
function fibrec(n::Int)
n == 0 && return (BigInt(0), BigInt(1))
a, b = fibrec(div(n, 2))
c = a * (b * 2 - a)
d = a * a + b * b
iseven(n) ? (c, d) : (d, c + d)
end
fibonacci(n::Int) = fibrec(n)[1]
println([fibonacci(n) for n in 0:40]) # Peter Luschny, Apr 03 2022
(GAP)
Fib:=[0, 1];; for n in [3..10^3] do Fib[n]:=Fib[n-1]+Fib[n-2]; od; Fib; # Muniru A Asiru, Sep 03 2017
(Scala) def fibonacci(n: BigInt): BigInt = {
val zero = BigInt(0)
def fibTail(n: BigInt, a: BigInt, b: BigInt): BigInt = n match {
case `zero` => a
case _ => fibTail(n - 1, b, a + b)
}
fibTail(n, 0, 1)
} // Based on "Case 3: Tail Recursion" from Carrasquel (2016) link
(0 to 49).map(fibonacci(_)) // Alonso del Arte, Apr 13 2019
CROSSREFS
Cf. A001622 (phi), A039834 (signed Fibonacci numbers), A001519 (F(2n-1)), A001906 (F(2n)), A001690 (complement), A000213, A000288, A000322, A000383, A060455, A030186, A020695, A020701, A060280 (inv. Eul. Trans), A071679, A099731, A100492, A094216, A094638, A000108, A101399, A101400, A001611, A000071, A157725, A001911, A157726, A006327, A157727, A157728, A157729, A167616, A059929, A144152, A152063, A114690, A003893, A000032, A060441, A000930, A003269, A000957, A057078, A007317, A091867, A104597, A249548, A262342, A001060, A022095, A072649, A163733, A073133, A166861 (Euler Transform), A337009 (Multiset Transf.).
First row of arrays A103323, A172236, A234357. Second row of arrays A099390, A048887, and A092921 (k-generalized Fibonacci numbers).
Cf. also A001175 (Pisano periods), A001177 (Entry points), A001176 (number of zeros in a fundamental period).
Fibonacci-Pascal triangles: A027926, A036355, A037027, A074829, A105809, A109906, A111006, A114197, A162741, A228074.
Fibonacci-Cayley triangle: A327992.
Boustrophedon transforms: A000738, A000744.
Powers: A103323, A105317, A254719.
Numbers of prime factors: A022307 and A038575.
Cf. A061446 (primitive part of Fibonacci numbers), A000010 (comments on product formulas).
Number of digits of F(n): A020909 (base 2), A020911 (base 3), A020912 (base 4), A020913 (base 5), A060384 (base 10), A261585 (base 60).
Sequence in context: A039834 A236191 A333378 * A324969 A020695 A212804
Adjacent sequences: A000042 A000043 A000044 * A000046 A000047 A000048
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English
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32k
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T10. Rule Induction & In-Context Learning
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T10.2 Targeted Example-Based Rule Induction
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Partial
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Based on the sequence properties in the "COMMENTS" section of the OEIS database, carefully observe the following examples and summarize the hidden patterns.Find the smallest positive integer n such that F(n) is divisible by 107. Output the "[Answer]" identifier first, and then output answer. The answer must be a fixed value, and without any additional content.
Examples:
F(0) = 0
F(1) = 1
F(2) = 1
F(3) = 2
F(4) = 3
F(5) = 5
F(6) = 8
F(7) = 13
F(8) = 21
F(9) = 34
Output example:
[Answer]
your answer
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Based on the sequence properties in the "COMMENTS" section of the OEIS database, carefully observe the following examples and summarize the hidden patterns. Find the smallest positive integer n such that F(n) is divisible by 107. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output answer. The answer must be a fixed value, and without any additional content.
Examples:
F(0) = 0
F(1) = 1
F(2) = 1
F(3) = 2
F(4) = 3
F(5) = 5
F(6) = 8
F(7) = 13
F(8) = 21
F(9) = 34
Output example:
<Your thinking process>
[Answer]
your answer
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[
"36"
] |
Moderate
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35ddea1dc1d6984bf63f9a767bdbefdd770b363e92ed73c69c7f51927c4ca1fc
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篇一：
1 黃帝者，少典之子，姓公孫，名曰軒轅。生而神靈，弱而能言，幼而徇齊，長而敦敏，成而聰明。
2 打開字典顯示相似段落 五帝本紀: 軒轅之時，神農氏世衰。諸侯相侵伐，暴虐百姓，而神農氏弗能征。於是軒轅乃習用干戈，以征不享，諸侯咸來賓從。而蚩尤最為暴，莫能伐。炎帝欲侵陵諸侯，諸侯咸歸軒轅。軒轅乃修德振兵，治五氣，藝五種，撫萬民，度四方，教熊羆貔貅貙虎，以與炎帝戰於阪泉之野。三戰然後得其志。蚩尤作亂，不用帝命。於是黃帝乃徵師諸侯，與蚩尤戰於涿鹿之野，遂禽殺蚩尤。而諸侯咸尊軒轅為天子，代神農氏，是為黃帝。天下有不順者，黃帝從而征之，平者去之，披山通道，未嘗寧居。
3 打開字典顯示相似段落相關討論 五帝本紀: 東至于海，登丸山，及岱宗。西至于空桐，登雞頭。南至于江，登熊、湘。北逐葷粥，合符釜山，而邑于涿鹿之阿。遷徙往來無常處，以師兵為營衛。官名皆以雲命，為雲師。置左右大監，監于萬國。萬國和，而鬼神山川封禪與為多焉。獲寶鼎，迎日推筴。舉風后、力牧、常先、大鴻以治民。順天地之紀，幽明之占，死生之說，存亡之難。時播百穀草木，淳化鳥獸蟲蛾，旁羅日月星辰水波土石金玉，勞勤心力耳目，節用水火材物。有土德之瑞，故號黃帝。
4 打開字典 五帝本紀: 黃帝二十五子，其得姓者十四人。
5 打開字典顯示相似段落相關討論 五帝本紀: 黃帝居于軒轅之丘，而娶于西陵之女，是為嫘祖為黃帝正妃，生二子，其後皆有天下：其一曰玄囂，是為青陽，青陽降居江水；其二曰昌意，降居若水。昌意娶蜀山氏女，曰昌仆，生高陽，高陽有聖德焉。黃帝崩，葬橋山。其孫昌意之子高陽立，是為帝顓頊也。
6 打開字典顯示相似段落 五帝本紀: 帝顓頊高陽者，黃帝之孫而昌意之子也。靜淵以有謀，疏通而知事；養材以任地，載時以象天，依鬼神以制義，治氣以教化，絜誠以祭祀。北至于幽陵，南至于交阯，西至于流沙，東至于蟠木。動靜之物，大小之神，日月所照，莫不砥屬。
7 打開字典顯示相似段落 五帝本紀: 帝顓頊生子曰窮蟬。顓頊崩，而玄囂之孫高辛立，是為帝嚳。
8 打開字典顯示相似段落 五帝本紀: 帝嚳高辛者，黃帝之曾孫也。高辛父曰蟜極，蟜極父曰玄囂，玄囂父曰黃帝。自玄囂與蟜極皆不得在位，至高辛即帝位。高辛於顓頊為族子。
9 打開字典顯示相似段落 五帝本紀: 高辛生而神靈，自言其名。普施利物，不於其身。聰以知遠，明以察微。順天之義，知民之急。仁而威，惠而信，修身而天下服。取地之財而節用之，撫教萬民而利誨之，歷日月而迎送之，明鬼神而敬事之。其色郁郁，其德嶷嶷。其動也時，其服也士。帝嚳溉執中而遍天下，日月所照，風雨所至，莫不從服。
10 打開字典顯示相似段落 五帝本紀: 帝嚳娶陳鋒氏女，生放勛。娶娵訾氏女，生摯。帝嚳崩，而摯代立。帝摯立，不善（崩），而弟放勛立，是為帝堯。
11 打開字典顯示相似段落 五帝本紀: 帝堯者，放勛。其仁如天，其知如神。就之如日，望之如雲。富而不驕，貴而不舒。黃收純衣，彤車乘白馬。能明馴德，以親九族。九族既睦，便章百姓。百姓昭明，合和萬國。
12 打開字典顯示相似段落相關討論 五帝本紀: 乃命羲、和，敬順昊天，數法日月星辰，敬授民時。分命羲仲，居郁夷，曰暘谷。敬道日出，便程東作。日中，星鳥，以殷中春。其民析，鳥獸字微。申命羲叔，居南交。便程南為，敬致。日永，星火，以正中夏。其民因，鳥獸希革。申命和仲，居西土，曰昧谷。敬道日入，便程西成。夜中，星虛，以正中秋。其民夷易，鳥獸毛毨。申命和叔；居北方，曰幽都。便在伏物。日短，星昴，以正中冬。其民燠，鳥獸氄毛。歲三百六十六日，以閏月正四時。信飭百官，眾功皆興。
13 打開字典顯示相似段落 五帝本紀: 堯曰：「誰可順此事？」放齊曰：「嗣子丹朱開明。」堯曰：「吁！頑凶，不用。」堯又曰：「誰可者？」讙兜曰：「共工旁聚布功，可用。」堯曰：「共工善言，其用僻，似恭漫天，不可。」堯又曰：「嗟，四嶽，湯湯洪水滔天，浩浩懷山襄陵，下民其憂，有能使治者？」皆曰鯀可。堯曰：「鯀負命毀族，不可。」嶽曰：「異哉，試不可用而已。」堯於是聽嶽用鯀。九歲，功用不成。
14 打開字典顯示相似段落 五帝本紀: 堯曰：「嗟！四嶽：朕在位七十載，汝能庸命，踐朕位？」嶽應曰：「鄙德忝帝位。」堯曰：「悉舉貴戚及疏遠隱匿者。」眾皆言於堯曰：「有矜在民閒，曰虞舜。」堯曰：「然，朕聞之。其何如？」嶽曰：「盲者子。父頑，母嚚，弟傲，能和以孝，烝烝治，不至姦。」堯曰：「吾其試哉。」於是堯妻之二女，觀其德於二女。舜飭下二女於媯汭，如婦禮。
打開字典顯示相似段落 堯善之，乃使舜慎和五典，五典能從。乃遍入百官，百官時序。賓於四門，四門穆穆，諸侯遠方賓客皆敬。堯使舜入山林川澤，暴風雷雨，舜行不迷。堯以為聖，召舜曰：「女謀事至而言可績，三年矣。女登帝位。」舜讓於德不懌。正月上日，舜受終於文祖。文祖者，堯大祖也。
15 打開字典顯示相似段落 五帝本紀: 於是帝堯老，命舜攝行天子之政，以觀天命。舜乃在璿璣玉衡，以齊七政。遂類于上帝，禋于六宗，望于山川，辯于群神。揖五瑞，擇吉月日，見四嶽諸牧，班瑞。歲二月，東巡狩，至於岱宗，祡，望秩於山川。遂見東方君長，合時月正日，同律度量衡，修五禮五玉三帛二生一死為摯，如五器，卒乃復。五月，南巡狩；八月，西巡狩；十一月，北巡狩：皆如初。歸，至于祖禰廟，用特牛禮。五歲一巡狩，群后四朝。遍告以言，明試以功，車服以庸。肇十有二州，決川。象以典刑，流宥五刑，鞭作官刑，撲作教刑，金作贖刑。眚災過，赦；怙終賊，刑。欽哉，欽哉，惟刑之靜哉！
16 打開字典顯示相似段落 五帝本紀: 讙兜進言共工，堯曰不可而試之工師，共工果淫辟。四嶽舉鯀治鴻水，堯以為不可，嶽彊請試之，試之而無功，故百姓不便。三苗在江淮、荊州數為亂。於是舜歸而言於帝，請流共工於幽陵，以變北狄；放讙兜於崇山，以變南蠻；遷三苗於三危，以變西戎；殛鯀於羽山，以變東夷：四罪而天下咸服。
17 打開字典顯示相似段落 五帝本紀: 堯立七十年得舜，二十年而老，令舜攝行天子之政，薦之於天。堯辟位凡二十八年而崩。百姓悲哀，如喪父母。三年，四方莫舉樂，以思堯。堯知子丹朱之不肖，不足授天下，於是乃權授舜。授舜，則天下得其利而丹朱病；授丹朱，則天下病而丹朱得其利。堯曰：「終不以天下之病而利一人」，而卒授舜以天下。堯崩，三年之喪畢，舜讓辟丹朱於南河之南。諸侯朝覲者不之丹朱而之舜，獄訟者不之丹朱而之舜，謳歌者不謳歌丹朱而謳歌舜。舜曰：「天也」，夫而後之中國踐天子位焉，是為帝舜。
18 打開字典顯示相似段落 五帝本紀: 虞舜者，名曰重華。重華父曰瞽叟，瞽叟父曰橋牛，橋牛父曰句望，句望父曰敬康，敬康父曰窮蟬，窮蟬父曰帝顓頊，顓頊父曰昌意：以至舜七世矣。自從窮蟬以至帝舜，皆微為庶人。
19 打開字典顯示相似段落 五帝本紀: 舜父瞽叟盲，而舜母死，瞽叟更娶妻而生象，象傲。瞽叟愛後妻子，常欲殺舜，舜避逃；及有小過，則受罪。順事父及後母與弟，日以篤謹，匪有解。
20 打開字典顯示相似段落 五帝本紀: 舜，冀州之人也。舜耕歷山，漁雷澤，陶河濱，作什器於壽丘，就時於負夏。舜父瞽叟頑，母嚚，弟象傲，皆欲殺舜。舜順適不失子道，兄弟孝慈。欲殺，不可得；即求，嘗在側。
21 打開字典顯示相似段落 五帝本紀: 舜年二十以孝聞。三十而帝堯問可用者，四嶽咸薦虞舜，曰可。於是堯乃以二女妻舜以觀其內，使九男與處以觀其外。舜居媯汭，內行彌謹。堯二女不敢以貴驕事舜親戚，甚有婦道。堯九男皆益篤。舜耕歷山，歷山之人皆讓畔；漁雷澤，雷澤上人皆讓居；陶河濱，河濱器皆不苦窳。一年而所居成聚，二年成邑，三年成都。堯乃賜舜絺衣，與琴，為筑倉廩，予牛羊。瞽叟尚復欲殺之，使舜上涂廩，瞽叟從下縱火焚廩。舜乃以兩笠自捍而下，去，得不死。後瞽叟又使舜穿井，舜穿井為匿空旁出。舜既入深，瞽叟與象共下土實井，舜從匿空出，去。瞽叟、象喜，以舜為已死。象曰：「本謀者象。」象與其父母分，於是曰：「舜妻堯二女，與琴，象取之。牛羊倉廩予父母。」象乃止舜宮居，鼓其琴。舜往見之。象鄂不懌，曰：「我思舜正郁陶！」舜曰：「然，爾其庶矣！」舜復事瞽叟愛弟彌謹。於是堯乃試舜五典百官，皆治。
22 打開字典顯示相似段落 五帝本紀: 昔高陽氏有才子八人，世得其利，謂之「八愷」。高辛氏有才子八人，世謂之「八元」。此十六族者，世濟其美，不隕其名。至於堯，堯未能舉。舜舉八愷，使主后土，以揆百事，莫不時序。舉八元，使布五教于四方，父義，母慈，兄友，弟恭，子孝，內平外成。
23 打開字典顯示相似段落 五帝本紀: 昔帝鴻氏有不才子，掩義隱賊，好行凶慝，天下謂之渾沌。少暤氏有不才子，毀信惡忠，崇飾惡言，天下謂之窮奇。顓頊氏有不才子，不可教訓，不知話言，天下謂之梼杌。此三族世憂之。至于堯，堯未能去。縉云氏有不才子，貪于飲食，冒于貨賄，天下謂之饕餮。天下惡之，比之三凶。舜賓於四門，乃流四凶族，遷于四裔，以御螭魅，於是四門辟，言毋凶人也。
24 打開字典顯示相似段落 五帝本紀: 舜入于大麓，烈風雷雨不迷，堯乃知舜之足授天下。堯老，使舜攝行天子政，巡狩。舜得舉用事二十年，而堯使攝政。攝政八年而堯崩。三年喪畢，讓丹朱，天下歸舜。而禹、皋陶、契、后稷、伯夷、夔、龍、倕、益、彭祖自堯時而皆舉用，未有分職。於是舜乃至於文祖，謀于四嶽，辟四門，明通四方耳目，命十二牧論帝德，行厚德，遠佞人，則蠻夷率服。舜謂四嶽曰：「有能奮庸美堯之事者，使居官相事？」皆曰：「伯禹為司空，可美帝功。」舜曰：「嗟，然！禹，汝平水土，維是勉哉。」禹拜稽首，讓於稷、契與皋陶。舜曰：「然，往矣。」舜曰：「棄，黎民始饑，汝后稷播時百穀。」舜曰：「契，百姓不親，五品不馴，汝為司徒，而敬敷五教，在寬。」舜曰：「皋陶，蠻夷猾夏，寇賊姦軌，汝作士，五刑有服，五服三就；五流有度，五度三居：維明能信。」舜曰：「誰能馴予工？」皆曰垂可。於是以垂為共工。舜曰：「誰能馴予上下草木鳥獸？」皆曰益可。於是以益為朕虞。益拜稽首，讓于諸臣朱虎、熊羆。舜曰：「往矣，汝諧。」遂以朱虎、熊羆為佐。舜曰：「嗟！四嶽，有能典朕三禮？」皆曰伯夷可。舜曰：「嗟！伯夷，以汝為秩宗，夙夜維敬，直哉維靜絜。」伯夷讓夔、龍。舜曰：「然。以夔為典樂，教稚子，直而溫，寬而栗，剛而毋虐，簡而毋傲；詩言意，歌長言，聲依永，律和聲，八音能諧，毋相奪倫，神人以和。」夔曰：「於！予擊石拊石，百獸率舞。」舜曰：「龍，朕畏忌讒說殄偽，振驚朕眾，命汝為納言，夙夜出入朕命，惟信。」舜曰：「嗟！女二十有二人，敬哉，惟時相天事。」三歲一考功，三考絀陟，遠近眾功咸興。分北三苗。
25 打開字典顯示相似段落 五帝本紀: 此二十二人咸成厥功：皋陶為大理，平，民各伏得其實；伯夷主禮，上下咸讓；垂主工師，百工致功；益主虞，山澤辟；棄主稷，百穀時茂；契主司徒，百姓親和；龍主賓客，遠人至；十二牧行而九州莫敢辟違；唯禹之功為大，披九山，通九澤，決九河，定九州，各以其職來貢，不失厥宜。方五千里，至于荒服。南撫交阯、北發，西戎、析枝、渠廋、氐、羌，北山戎、發、息慎，東長、鳥夷，四海之內咸戴帝舜之功。於是禹乃興九招之樂，致異物，鳳皇來翔。天下明德皆自虞帝始。
26 打開字典顯示相似段落 五帝本紀: 舜年二十以孝聞，年三十堯舉之，年五十攝行天子事，年五十八堯崩，年六十一代堯踐帝位。踐帝位三十九年，南巡狩，崩於蒼梧之野。葬於江南九疑，是為零陵。舜之踐帝位，載天子旗，往朝父瞽叟，夔夔唯謹，如子道。封弟象為諸侯。舜子商均亦不肖，舜乃豫薦禹於天。十七年而崩。三年喪畢，禹亦乃讓舜子，如舜讓堯子。諸侯歸之，然後禹踐天子位。堯子丹朱，舜子商均，皆有疆土，以奉先祀。服其服，禮樂如之。以客見天子，天子弗臣，示不敢專也。
27 打開字典顯示相似段落 五帝本紀: 自黃帝至舜、禹，皆同姓而異其國號，以章明德。故黃帝為有熊，帝顓頊為高陽，帝嚳為高辛，帝堯為陶唐，帝舜為有虞。帝禹為夏后而別氏，姓姒氏。契為商，姓子氏。棄為周，姓姬氏。
28 打開字典顯示相似段落 五帝本紀: 太史公曰：學者多稱五帝，尚矣。然尚書獨載堯以來；而百家言黃帝，其文不雅馴，薦紳先生難言之。孔子所傳宰予問五帝德及帝系姓，儒者或不傳。余嘗西至空桐，北過涿鹿，東漸於海，南浮江淮矣，至長老皆各往往稱黃帝、堯、舜之處，風教固殊焉，總之不離古文者近是。予觀春秋、國語，其發明五帝德、帝系姓章矣，顧弟弗深考，其所表見皆不虛。書缺有閒矣，其軼乃時時見於他說。非好學深思，心知其意，固難為淺見寡聞道也。余并論次，擇其言尤雅者，故著為本紀書首。
篇二：
意降居若水，产帝乾荒。〈《山海经·海内经》注。〉
1 【朱氏右曾曰：《山海经·海内经》云：“黄帝妻雷祖生昌意，昌意降处若水，生韩流。”郭璞引此而释之曰：“乾芒即韩流也，生帝颛顼。”璞意颛顼为黄帝曾孙，与《史记》以为黄帝孙者异。然《礼记·祭法》疎引张融曰：“孔子删书求史，记得黄帝元孙帝魁之书。若五帝当身相传，何得有元孙帝魁？”疎又引《春秋命历序》称：“炎帝传八世，合五百二十歳；黄帝传十世，合一千五百二十歳；少昊传八世，五百歳。”次曰：“颛顼传九世，三百五十歳；次是帝喾，传十四世，四百歳。”然则颛顼非黄帝孙，亦非黄帝曾孙，明矣！《水经》曰：“若水出蜀郡旄牛徼外，东南至故关，为若水。”注曰：“若水沿流，闲关蜀土，黄帝子昌意降居斯水，为诸侯焉。”今四川打箭炉厅西南二百八十里有鸦龙江，即古若水，下流合金沙江。”】
2 帝王之崩曰“陟”。〈《韩昌黎集·黄陵庙碑》。〉
3 【王国维案：此昌黎隐括本书之语，非原文如是。】
4 黄帝既仙去，其臣有左彻者，削木为黄帝之像，帅诸侯朝奉之。〈《意林·卷四·抱朴子》。《御览·卷七十九》引《抱朴子》曰：“《汲中竹书》”云云，今《抱朴子》无此文。〉
5 黄帝死七年，其臣左彻乃立颛顼。〈《路史·后纪六》。《路史·后纪五》注：“《汲书》云：‘左彻乃立颛帝。’〉
6 【朱氏右曾曰：案，黄帝之后尚有少昊金天氏。颛顼继少昊而登帝位，《左氏》有明证也，此与《史记》並略。金天一代，盖洪荒䆳古，传闻异词。陈氏曰：“《路史》当是引《博物志》。】”
7 颛顼产伯鲧，是维居阳，居天穆之阳。〈《山海经·大荒西经》注。〉
8 【朱氏右曾曰：《史记索隐》曰：“皇甫谧云：‘鲧，颛顼之子，字熙。’《系本》亦以鲧为颛顼之子。……《汉书·律志》则据帝系云：‘颛顼五代而生鲧。’案：鲧既仕尧，尧与舜代系悬殊，舜即颛顼六代孙，则鲧非是颛顼之子，盖班氏之言尽得其实。”】
9 帝尧元年丙子。〈《隋书·律厤志》引《竹纪年》云：“尧元年丙子”。《路史·后记十一》。〉
10 【朱氏右曾曰：韩恰《纪年辨证》曰：“皇甫谧、邵康节、金仁山定为甲辰。”罗泌《路史》在戊寅，章俊卿《山堂考索》在癸未，右曾案，《通鉴外纪》在戊辰，其论不一。又《竹书》作于魏人，去古较近，似可信也。古人不以甲子名歳，自王莽以下，书言：“始建国五年，歳在寿星，仓龙癸酉”，又云：“天凤七年，歳大大梁，仓龙庚辰”是始变古。原古人之法，以歳星定太歳之所舍。星有超辰，则太歳亦与倶超，故不可以甲子名歳也。东汉以来，歩厤家废超辰之法，乃以甲子纪年，以便推算，此“丙子”二字，疑荀勖、和峤等所增也。《路史·后记》注：“《竹书》云：‘尧元年丙子’，故隋袁象先云：‘尧以景子受命，四十九年得上元第一纪甲子。天正十一月庚戌冬至至仁寿甲子，凡八经上元。’”然考尧以戊寅即位，四十七年始得天正甲子，是年冬至日在虚一度，为演纪之端。在位百年禅舜，舜五十年起戊午，自天正甲子至开元甲子，三千一年，日退三十八度，四千一百二十八分。日在斗十度，下至皇朝庆厤四年甲申，凡三千三百一十一年。日退四十二度，五千五十八分，是歳冬至在斗五度。以歳差考之，毎七十八年差一度。则尧甲子歳，日至在虚一度，于是中星皆正。皇甫谧、邵尧夫皆以尧为甲辰即位、舜以壬午、尧在位七十载，皆误。】
11 尧有圣德，封于唐。梦攀天而上。
12 【朱氏右曾曰：《路史》曰：“始帝在唐，梦御龙以登雲。”注云见《梦书》。】
13 后稷放帝朱于丹水。〈《山海经·海内南经》注。《史记·髙祖本纪》、《五帝本纪》正义两引倶作‘帝子丹朱’。〉
14 【朱氏右曾曰：《尚书》逸篇曰：“丹朱不肖，舜使君丹渊为诸侯，故号曰丹朱。”《太平御览·卷六十三·丹水》《汉书·律厤志》称：“帝系曰：‘陶唐氏让天下于虞，使子朱处于丹渊为诸侯。’”盖朱即放，舜因封之也。《山海经》曰：“苍梧之山，帝舜葬于阳，帝丹朱葬于阴。”郭璞曰：“丹朱称帝者，犹汉山阳公死加献帝之諡也。”《括地志》曰：“丹朱故城在邓州内鄕县西南百二十里，去丹水二百歩。”《史记正义》内鄕县，今隶河南南阳府。】
15 【又曰：《史记·五帝本纪》正义引《竹书》云：“昔尧德衰，为舜所囚也”，又引《竹书》云：“舜囚尧，复偃塞丹朱，使不与父相见也”亦见《路史·发挥五》注。《广弘明集·卷十一》引《汲冢竹书》云：“舜放尧于平阳，取之帝位”，今见有囚尧城。案，《史通·杂说》引此以为《琐语》文，故不录，《路史》注以为《纪年》文，妄也。即此可知，罗长源父子亦未见《纪年》古文也。又，苏鹗《汉书演义》引《竹书》云：“尧禅位后，为舜王之。舜禅位后，为禹王之。”案，此即咸邱蒙所谓“盛德之士，君不得而臣之”意，盖亦《琐语》文。】
16 舜耕于历。梦眉长与髮等。遂登庸。〈《鸿书》。郝氏《尚书正义》。〉
17 命咎陶作刑。〈《北堂书钞·卷十七》。〉
18 三苗将亡，天雨血，夏有冰，地坼及泉，青龙生于庙，日夜出，昼日不出。〈《通鉴外纪·卷一》注。《路史·后纪十二》注，小异。〉
19 【朱氏右曾曰：韦昭《国语》注曰：“三苗，炎帝之后，诸侯也。尧舜之时，诛讨有罪，废绝其世，不灭其国。所以历代常存，屡不从化。” 《战国策》：“呉起云：‘三苗氏德义不修，禹灭之。’”《墨子·非攻下篇》：“昔者三苗大乱，天命殛之。日妖宵出，雨血三朝，龙生于庙，犬哭乎市，夏冰，地坼及泉，五穀变化，民乃大振。髙阳乃命玄宫，禹亲把天之瑞令，以征有苗。”】
篇三：
王冕
1 王冕，字服周，洛陽人。正德十二年進士。除萬安知縣。宸濠反，長吏多奔竄。冕募勇壯士，得死士數千人，從王守仁攻復南昌。宸濠解安慶圍，還救，至鄱陽湖，兩軍相拒。濠盡出金制犒士，殊死戰，官軍不利。冕密白守仁，以小艇實葦於中，擬建昌人語，就賊艦，乘風舉火。濠兵大驚，遂潰敗，焚溺死者無算。濠易舟，挾宮人遁。冕部卒棹漁舟，追執之。宸濠平，守仁封新建伯，而冕未及敘，坐他事落職。既而錄前功，擢兵部主事，巡視山海關。
嘉靖三年十二月，遼東妖賊陸雄、李真等作亂，突入關。侍吏欲扶冕趨避，冕不可，曰：「吾有親在。」急趨母所，執兵以衛。賊至，母被傷，冕奮前救之，被執。脅以刃，大罵，遂見害。詔贈光祿少卿，有司祠祀。
龔諒
2 世宗嗣位之歲，寧津盜起，轉掠至德平。知縣龔諒率吏民禦之，力屈，被殺。贈濟南通判，恤其家。
陳聞詩
3 陳聞詩，字廷訓，柘城人。嘉靖中舉於鄉，以親老，絕意仕進。親歿，居喪哀毀。三十二年秋，賊師尚詔陷歸德，聞聞詩名，欲劫為帥。已，陷柘城，擁之至，誘說百端，不屈。引其家數人斬之，曰：「不從，滅而族。」聞詩紿曰：「必欲吾行，毋殺人，毋縱火。」賊許諾，擁以行。聞詩遂不食，至鹿邑自經死。
董倫
4 董倫，歸德檢校也。尚詔入歸德，知府及守衛官皆遁。倫率民兵巷戰，被執，垂死猶手刃數賊。妻賈及童僕皆從死。詔贈聞詩鳳陽同知，倫歸德同知，並立祠死所。
王鈇
5 王鈇，字德威，順天人。嘉靖二十九年進士。授常熟知縣。濱海多大猾，匿亡命作奸，鈇悉貰其罪。倭患起，鈇語諸猾曰：「何以報我？」咸請效死，於是立耆長，部署子弟得數百人，合防卒訓練。縣故無城，鈇率士卒城之。倭來薄，數禦卻之。已，自三丈浦分掠常熟、江陰。參政任環令鈇與指揮孔燾分統官民兵三千，破其寨，斬首百五十有奇，焚二十七艘，余倭皆遁。復掠勞縣，將由尚湖還海。鈇憤曰：「賊尚敢涉吾地邪！必擊殺之。」
錢泮
6 會邑人錢泮，字鳴聲者，以江西參政里居，仇倭爇其父柩，力從臾贊鈇。乃用小艇數十躡倭，倭夾擊之隘中，獨耆長數人從，皆力鬪死。鈇陷淖，瞋目大呼，腹中刃死。泮被數槍，殺三賊而死。時三十四年五月也。詔贈泮光祿卿，鈇太僕少卿，並蔭錦衣世百戶，遣官諭祭，立祠死所，歲時奉祀。
錢錞
7 錢錞，字鳴叔，鐘祥人。嘉靖二十九年進士。授江陰知縣。初至官，倭已熾。三十三年入犯，鄉民奔入城者萬計，兵備道王從古不納。錞曰：「民死不救，守空城奚為！」遂開門縱之入，而身自搏戰於斜橋，三戰卻之。明年六月，倭據蔡涇閘，分眾犯塘頭。錞提狼兵戰九里山，薄暮，雷雨大作，伏四起，狼兵悉奔，錞戰死。
唐一岑
8 時唐一岑知崇明縣，建新城成，議徙居，為千戶高才、翟欽所沮。倭突入，一岑戰且詈，遂為亂軍所殺。詔贈錞、一岑光祿少卿，錞世蔭錦衣百戶，岑蔭國子生，並建祠祀。
朱裒
9 朱裒，字崇晉，鄖西人。嘉靖中舉於鄉，署鞏縣教諭事。遷武功知縣，抑豪強，祛積弊，關中呼為鐵漢。遷揚州同知，吏無敢索民一錢。三十四年，倭入犯，擊敗之沙河，殲其酋，還所掠牲畜甚眾。未幾，復大至，薄城東門。督兵奮擊，兵潰，死焉。贈左參政，錄一子。
齊恩
10 明年，倭犯無為州，同知齊恩率舟師敗倭於圌山北等港，斬首百餘級。子嵩，年十八，最驍勇，擊倭至安港，伏發被圍，恩家二十餘人俱力戰死，惟嵩等三人獲全。贈恩光祿丞，錄一子，厚恤其家，建祠祀之。
孫鏜
11 孫鏜，莒州人。商販吳、越。倭擾松江，謁郡守自請輸貲佐軍。守薦之參政翁大立，試以只刀，若飛，錄為士兵。擊走倭，出參政任環圍中。遣人還莒，括家貲，悉召里兒為爪牙，吳中倚鏜若長城。倭舟渡泖滸，鏜突出，酣戰竟日，援兵不至，還至石湖橋，半渡，伏大起，鏜墮死，中刃死。贈光祿丞，錄一子，亦建祠祀。
杜槐
12 杜槐，字茂卿，茲溪人。倜儻任俠。倭寇至，縣僉其父文明為部長，令團結鄉勇。槐傷父老，以身任之，數敗倭。副使劉起安委槐守餘姚、慈溪、定海。遇倭定海之白沙，一日戰十三合，斬三十餘人，馘一酋，身被數槍，墮馬死。文明擊倭鳴鶴場，斬酋一人，倭驚遁，稱為杜將軍。無何，追至奉化楓樹嶺，戰歿。文明贈府經歷，槐贈光祿丞，建祠並祀，蔭槐子國子生。
黃釧
13 黃釧，字珍夫，安溪人。由舉人歷官溫州同知。嘉靖三十四年，倭入犯，釧擊走之。知倭必復來，日夜為備。又三年，倭果大至。釧出城逆擊，分軍為三，釧將中軍，其二軍帥皆紈袴子，約左右應援。及與倭遇，倭遣眾分掩二軍，而以銳卒當中軍。釧發勁弩巨炮，戰良久，倭方不支，二軍帥望敵而潰。倭合兵擊釧，釧腹背受敵，遂被執。脅之降，不屈，責以金贖，釧笑且罵曰：「爾不知黃大夫不愛錢邪！」倭怒，裸而寸斬之。子購屍不獲，具衣冠葬。事聞，贈浙江參議，官一子，有司建祠。
陳見
14 是年，倭陷福清，舉人陳見率眾禦之，與訓導鄔中涵被執，大罵而死。倭乘勝犯惠安，知縣番禺林咸拒守五晝夜，倭引去。已，復至，咸擊之鴨山，窮追逐北，陷伏死。贈泉州同知，賜祠，任一子。
奚世亮
15 其陷興化，延平同知奚世亮署府事，守逾月，城陷，力戰死。贈右參議，蔭子，賜葬。世亮，字明仲，黃岡人。
武暐
16 先是，三十一年，台州知事溧水武暐追倭釣魚嶺，力戰死，上官不以聞。其子尚寶訴於朝，乃贈太僕丞，而蔭尚實為國子生。
王德
17 王德，字汝修，永嘉人。嘉靖十七年進士。歷戶科給事中。定國公徐延德丐無極諸縣閑田為業，且言私置莊田，不宜以災傷免賦。德抗疏劾之，俺答圍都城，屢陳軍國便宜，悉報可。時城門盡閉，避難者不得入，號呼徹西內。德以為言，民始獲入。寇退，命募兵山東，所得悉驍勇，為諸道最。還朝，會李默長吏部，怒德投刺倨，出為嶺南兵備僉事。與巡撫爭事，投劾徑歸。默復起吏部，用前憾，落職閑住。德鄉居，以倭亂，奉母居城中，傾貲募健兒為保障計。三十七年夏，倭自梅頭至，大掠。德偕族父沛督義兵擊之，宵遁。俄一舟突來犯，沛及族弟崇堯、崇修殲焉。亡何，倭復至，大掠。德憤怒，勒所部追襲至龍灣，軍敗，手射殺數人，罵賊死。然倭自是不敢越德鄉侵郡城矣。事聞，贈太僕少卿，世蔭錦衣百戶，立祠曰湣忠。
叔沛
18 沛贈太僕丞，立祠，予蔭。
汪一中
19 汪一中，字正叔，歙人。嘉靖二十三年進士。由開封推官歷江西副使。四十年，鄰境賊入寇，薄泰和。一中方宴，投著起曰：「賊鼓行而西，掩我不備，不早計，且無唯類，豈飲酒時乎！」當路遂以討賊屬之。先是，泰和巡檢劉芳力戰死，賊怒磔其屍。一中至，率諸將吏祭曰：「爾職抱關，猶死疆事。吾待罪方面，不滅賊，何以生為！」遂誓師，列陣鼓之，俘五人，斬首以徇。旦日，陣如前，會賊至，左右軍皆潰，賊悉赴中軍，中軍亦潰。一中躍馬當賊鋒，射殺二人，手刃一人，而左脅中槍二，臂中刃三，與指揮王應鵬、千戶唐鼎皆死。妻程投於井，家人出之，喪至，不食五日死。一中贈光祿卿，給祭葬，謚忠湣，妻程並贈恤如制。
蘇夢昜
20 蘇夢昜，萬曆間，為雲南祿豐知縣。三十五年十二月，武定賊鳳騰霄反，圍雲南府城，轉寇祿豐。夢昜率民兵出城力戰，賊退去。明年元旦，方朝服祝厘，賊出不意襲陷其城，執之去，不屈死。贈光祿少卿，有司建祠，錄一子。
韋宗孝
21 當祿豐之未陷也，賊先犯嵩明州，吏目韋宗孝出禦而敗，合門死之。贈本州同知，蔭子入國學。
龍旌
22 有龍旌者，趙州人，由歲貢生為嵩明州學正。賊薄城，被執，罵賊死。贈國子博士。
張振德
23 張振德，字季修，昆山人。祖情，從祖意，皆進士。情福建副使，意山東副使。振德由選貢生授四川興文知縣。縣故九絲蠻地，萬曆初，始建士墻數尺，戶不滿千。永寧宣撫奢崇明有異志，潛結奸人，掠賣子女。振德捕奸人，論配之，招還被掠者三百餘人。崇明賄以二千金，振德怒卻之，裂其牘。
天啟元年方赴成都與鄉闈事，而崇明部將樊龍殺巡撫徐可求，副使駱日升、李繼周等。重慶知府章文炳、巴縣知縣段高選皆抗節死，賊遂據重慶。時振德兼署長寧，去賊稍遠，從者欲走長寧。振德曰：「守興文，正也。」疾趨入城。長寧主簿徐大禮與振德善，以騎來迎，振德卻之。督鄉兵與戰，不敵，退集居民城守。會大風雨，賊毀士城入。振德命妻錢及二女持一劍坐後堂，曰：「若輩死此，吾死前堂。」乃取二印繫肘後，北向拜曰：「臣奉職無狀，不能殺賊，惟一死明志。」妻女先伏劍死。乃命家人舉火，火熾自剄。一門死者十二人。賊至火所，見振德面如生，左手繫印，右手握刀，忿怒如赴敵狀，皆駭愕，羅拜而去。事聞，賜祭葬，贈光祿卿，謚烈湣。敕有司建祠，世蔭錦衣千戶。
劉希文
24 振德既死，興文教諭劉希文代署縣事。甫半載，賊復薄城，誓死不去。妻白亦慷慨願同死。城破，夫婦罵賊，並死。
徐大禮
25 大禮守長寧，城亦陷。大禮曰：「吾不可負張公。」一家四人仰藥死。贈重慶同知，世蔭百戶。
章文炳
26 文炳，長泰人。萬曆四十一年進士。歷戶部郎中，遷知府，治行廉潔，吏民愛之。賊既殺巡撫可求等，文炳罵賊亦被殺。後知其賢，為覓屍殯而歸之，喪出江上，夾岸皆大哭。贈太僕少卿，再贈太常卿，世蔭外衛副千戶。
段高選
27 高選，雲南劍川縣人。萬曆四十七年進士。適在演武場，聞變，立遣吏歸印於署，厲聲叱賊。賊魁戒其下勿殺，而高選罵不絕聲，遂遇害。父汝元，母劉，側室徐及一子一女，聞變，皆自盡。僕冒死覓主屍，亦被害。初贈尚寶卿，世蔭百戶。崇禎元年，子暄援振德例，叩閽請優恤，贈光祿卿，世蔭錦衣千戶，建祠奉禮。汝元等亦獲旌。十五年復以謚請，賜謚恭節。
左重、王碩輔、洪維翰、黃啟鳴、趙愷、馮鳳雛、蘇樸、袁一修、張志譽、宋應臯
28 時先後殉難者，灌縣知縣左重，率壯士追賊成都，力戰馬蹶，罵賊死。南溪知縣王碩輔，城陷自盡，賊支解之。桐梓知縣洪維翰，城陷，奪印，不屈死。典史黃啟鳴亦死。郫縣訓導趙愷，率眾擊賊，被刺死。遵義推官馮鳳雛，挺身禦賊，被創死。遵義司獄蘇樸、威遠經歷袁一修，義不汙賊，墜城死。大足主簿張志譽、典史宋應臯，集兵奮戰，力屈死。所司上其狀，贈重、碩輔、維翰尚寶卿，世蔭千戶。啟鳴重慶通判，愷重慶同知，俱世蔭試百戶。崇禎十二年，重子廷臯援高選例乞恩，命如其請。
崇明父子據永寧，貴陽同知嘉興王昌胤分理永寧衛事，死難。贈僉事，賜祭。崇禎初，其子監生世駿言：「賊踞永寧，臣父刺血草三揭，繳印上官，以次年五月再拜自縊。賊恨之，焚其屍。二孫、一孫女及僕婢十三人，同日被害。乞如張振德例，優加恤典。」報可。
董盡倫
29 董盡倫，字明吾，合州人。萬曆中舉於鄉，除清水知縣，調安定，咸有惠政。秩滿，安定人詣闕奏留，詔加鞏昌同知，仍視縣事。久之，以同知理甘州軍餉，解職歸。天啟初，奢崇明反，率眾薄城。盡倫偕知州翁登彥固守。賊遣使說降，盡倫大怒，手刃賊使，抉其睛啖之，屢挫賊鋒，城獲全。復率眾援銅梁有功，尋被檄搗重慶，孤軍深入，伏四起，遂虞死。贈光祿少卿，世蔭百戶，建祠奉祀，尋改蔭指揮僉事。崇禎初，論全城功，改蔭錦衣千戶。
李忠臣、高光、胡縝、聶繩昌、吳長齡、胡一夔
30 其時里居士大夫死節者，有李忠臣，永寧人，官松潘參政。家居，陷賊。募死士，密約總兵官楊愈懋，令以大兵薄城，己為內應。事泄，合門遇害。高光，瀘州人，嘗為應天通判。城陷，發為僧，與子在昆募壯士，殺賊百餘。賊怒，追至大葉坎，光罵賊不屈，與家眾十二人同死。胡縝，永寧舉人。預策崇明必反，上書當事，不納。賊起，被執，嚴刑錮獄中。弟緯傾家救免，乃糾義徒，潛結賊將張令等，執其偽相。部勒行陣，自當一面，數斬馘，賊甚畏之。既而為火藥焚死。聶繩昌，富順舉人。毀家募義勇禦賊，戰死。吳長齡，瀘州監生。率眾恢復瀘州，尋中伏，父子俱戰死。胡一夔，興文人。仕龍陽縣丞，被執，不屈死。皆未予恤。
龔萬祿 李世勛
31 龔萬祿，貴州人。目不知書，有膽志，膂力過人。從劉綎征楊應龍，先登海龍囤，署守備，戍建武所。奢崇明反，眾推萬祿遊擊將軍，主兵事。指揮李世勛，名位先萬祿，亦受節制，戮力固守。崇明謀犯成都，憚萬祿牽其後，遣部將張令說降。令與萬祿結，紿崇明以降。崇明果遣他將來戍，萬祿脅降之，誘殺無算。復微服走敘州，說副使徐如珂曰：「賊精騎萃成都，留故巢者悉老弱，誠假萬祿萬人搗其巢，彼必還救，成都圍立解矣。」如珂奇其計，而不能用。未幾，賊悉眾攻建武，萬祿邀擊十里外，兵少敗還，城遂陷。世勛具衣冠再拜，率家屬自焚死。萬祿手刃兩妾、兩孫，自刎不殊，乃握槊馳出，大呼：「我龔萬祿也，孰能追我者！」賊相視不敢逼。走至敘州，乞師巡撫朱燮元，遂以兵復建武。會官軍敗於江門，賊四面來攻，萬祿力戰三日，手刃數十人，與子崇學並死。詔贈都督僉事，立祠賜祭，世蔭百戶。
翟英、韓應泰、郁聯若、張羽
32 時成都衛指揮翟英扼賊龍泉驛，成都後衛指揮韓應泰赴援成都，遇賊草堂寺，小河所鎮撫郁聯若鏖賊城西，茂州百戶張羽救援郫縣，皆力戰死。
管良相
33 管良相者，烏撒衛指揮也，為人慷慨負奇節。天啟初，樊龍等反於四川，巡撫李枟召至麾下，與籌軍事。良相策安邦彥必反，佐枟為固守計。尋以祖母疾，乞假婦，泣語枟曰：「烏撒孤城，密邇水西，且與安效良相仇。水西有變，禍必首及，良相無子，願以死報國。乞建長策，保此一方。」逾月，邦彥果反，圍其城，良相固守不下。久之，外援不至，城陷，自縊死。
李應期、朱運泰、蔣邦俊、王明重、丘述堯、金紹勛、簡登、劉臯、臯子景、劉三畏
34 同官李應期、朱運泰、蔣邦俊亦遇害。時普定衛王明重、威清衛丘述堯、平壩衛金紹勛、坎陽把總簡登、龍里故守備劉臯、臯子景並死難，而訓導劉三畏，賊至不避，兀坐齋中，見殺，人稱「龍里三劉」。
徐朝綱
35 徐朝綱，雲南晉寧人。萬曆二十八年舉於鄉。天啟元年，授安順推官，至即署府事。明年，安邦彥反，來攻城，朝綱督兵民共守。士官溫如璋等開門迎縶，朝綱奮怒督戰，賊執之，逼降，不屈。索其印，罵曰：「死賊奴，吾頭可斷，印不可得！」賊怒，刀斧交下而死。其妻聞之，登樓自縊。長子婦急舉火焚舍，挈十歲女躍烈焰中死。孫應魁，年十六，持矛潰圍出城覓其祖，遇賊被殺。婢僕從死者十一人。
36 五年正月恤殉難諸臣，贈朝綱光祿少卿，蔭子入國學。子天鳳甫第進士，即奔喪歸，服闋，授戶部主事。疏言：「臣家一門，臣死忠，妻死節，婦死姑，孫死祖，婢僕死主。此從來未有之節烈，乞如張振德例，再加優恤。臣母、臣嫂，一體旌表。」帝深嘉之，再贈光祿卿，改蔭錦衣世千戶，賜祭葬，立祠建坊，諸從死者皆附祀。
同時殉難者：
楊以成
37 楊以成，雲南路南人。萬曆中，由貢生授貴陽通判，理畢節衛事。秩滿，進同知，仍治畢節。邦彥圍貴陽，以成具蠟書乞援於雲南巡撫沈儆炌。書發而賊已至，戰卻之。賊來益眾，以成遣吏懷印間道趨省，身督吏民拒守。會援兵至，賊方夜逃，而衛吏阮世爵為內應，城遂陷。以成倉皇投繯，賊繫之去。乃為書述賊中情形，置竹筒中，遣弟以恭赴雲南告變，至散納溪，賊搜得其書，並以成殺之，家屬死者十三人。贈按察僉事，賜葬。
鄭鼎
38 鄭鼎，字爾調，龍溪人。由鄉舉為廣順知州。策安邦彥必反，上書當事言狀。州故無城，督民樹柵實以士。無何，邦彥果反，來攻城，鼎誓死固守。或言賊勢盛，宜走定番。鼎曰：「吾守土吏也，義當與城存亡。」及賊入，與士官金燦端坐堂上，並為賊所殺，婢僕從死者六人。吏目胡士統被執，亦不屈死。巡撫李枟上於朝，贈僉事，賜祭。崇禎元年，以成子舉人興南，鼎子舉人昆禎皆援朝綱例，請加恤，並贈光祿卿，世蔭錦衣千戶，予祭葬，有司建祠立坊，以恭亦附祀。昆禎後舉進士，歷御史，尚寶卿。
孫克恕
39 時有孫克恕者，字推之，馬平人。舉於鄉，歷官貴州副使，分巡思石道。禦賊戰死，有虎守其骸不去，蠻人嗟異。事聞，贈太僕卿，賜祭葬。
姬文胤
40 姬文胤，字士昌，華州人。舉於鄉。天啟二年授滕縣知縣。視事甫三日，白蓮賊徐鴻儒薄城，民什九從亂。文胤徒步叫號，驅吏卒登陴，不滿三百，望賊輒走，存者才數十。問何故從賊，曰：「禍由董二。」董二者，故延綏巡撫董國光子也，居鄉貪暴，民不聊生，故從賊。文胤憑城諭曰：「良民以董二故，挺而從賊。吾將執二置諸法，為若雪憤，可乎？」文胤身長赤面，須髯戟張，賊望見，駭為神人，皆歡呼羅拜。俄而發箭西隅，斃二賊。視之，延綏沙柳竿也。賊謂文胤紿之，大憤，肉薄登城，眾悉潰。文胤緋衣坐堂皇，嚼齒罵賊。賊前，搏裂冠裳，械系之，罵不屈。三日潛解印，畀小吏魏顯照及家僮李守務，北向拜闕，遂自經。賊搒掠顯照索印，顯照潛授其父，而與守務罵賊，並死之。事聞，贈太僕少卿，立祠致祀，錄一子，優恤顯照、守務家。董二逾城遁去。
孟承光
41 時賊陷鄒縣，博士孟承光被執，詬詈不屈死。贈尚寶少卿，世蔭錦衣千戶。承光，字永觀，亞聖裔，世蔭《五經》博士也。
朱萬年
42 朱萬年，黎平人。萬曆中，舉於鄉。歷萊州知府，有惠政。崇禎五年，叛將李九成等陷登州，率眾來犯。萬年率吏民固守。時山東巡撫徐從治、登萊巡撫謝璉並在城中，被圍，堅守數月，從治中炮死。賊詭乞降，璉率萬年往受，為所執。萬年曰：「爾執我無益，盍以精騎從我，呼守者出降。」賊以精騎五百擁萬年至城下，萬年大呼曰：「我被擒，誓必死。賊精銳盡在此，急發炮擊之，毋以我為念！」守將楊禦蕃不忍，萬年復頓足大呼，賊怒殺之。城上人見萬年已死，遂發駮，賊死過半。事聞，贈太常卿，賜祭葬，有司建祠，官一子。
秦三輔、王協中、吳世揚、張國輔、張奇功、熊奮渭、陳所聞
43 初，賊掠新城，知縣秦三輔、訓導王協中禦之，並死。其陷黃縣，知縣吳世揚罵賊死，縣丞張國輔、參將張奇功、守備熊奮渭皆力戰死。陷平度，知州陳所聞自縊死。三輔、世揚贈光祿少卿，所聞贈太僕少卿，並賜祭葬，建祠，蔭子。協中、國輔、奇功亦贈恤有差。三輔，三原人。世揚，洛陽人。所聞，畿輔人。並起家乙榜。
張瑤
44 張瑤，蓬萊人。天啟五年進士。授開封府推官，絕請寄，抑豪強，吏民畏如神。崇禎四年行取入都，吏科宋鳴梧力援宋玫為給事，而抑瑤，授府同知。瑤怒，疏摭玫行賄狀。吏部尚書閔洪學劾瑤饋遺奔競，鳴梧復極論之，謫河州判官，未赴。明年正月，李九成等逼登州，瑤率家眾登陴拒守。城陷，瑤猶揮石奮擊。賊擁執之，大罵不屈，被殺。妻女四人並投井死。贈光祿少卿。
王與夔、張儼然、張聯臺、蔣時行
45 先是，賊陷新城，舉人王與夔、張儼然死之。其陷他縣者，貢生張聯臺、蔣時行亦死之。皆格於例，不獲旌。禮部侍郎陳子壯上言：「舉貢死難，無恤典，舊制也。然名既登於天府，恩獨後於流官，九泉之下，能無怨恫。比者，武舉李調禦賊捐軀，已蒙贈恤。武途如此，文儒安得獨遺。乞量贈一官，永為定制。」可之。乃贈輿夔、儼然宛平知縣，聯臺、時行順天府教授。其後地方死難，若舉人李讓、吳之秀、賈煜、張慶雲，貢生張茂貞、張茂恂，皆贈官如前制。
何天衢
46 何天衢，字升宇，阿迷州人。有勇略，土酋普名聲招為頭目，使駐三鄉。崇禎三年，名聲反，謀出三路兵，至昆明會戰。令天衢自維摩羅平入，以炮手三百人助之。天衢慨然曰：「此大丈夫報國秋也，吾豈為逆賊用哉！」坑殺炮手數十人，率眾歸附，署維摩州同知李嗣泌開城納之。名聲已陷彌勒，聞大懼，急撤兩路兵歸。巡撫王伉上其事，授為守備。後數與嗣泌進剿有功。及名聲死，妻萬氏代領其眾，屢攻天衢。天衢屢挫之，錄功，進參將。十三年擢副總兵。萬氏贅沙定洲為婿，益以南安兵，且厚賂黔國公用事者，令毀天衢。天衢請兵餉皆不應，賊悉力攻之，食盡，舉家自焚死。
楊於陛
47 初，名聲之亂，有楊於陛者，劍州人。舉於鄉。歷官武定府同知。巡撫伉令監紀軍事，兵敗被執，死之。贈太僕少卿，建祠曰精忠。
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T7. Consistency & Compliance Checking
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T7.1 Global Conflict & Inconsistency Localization
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请寻找这三篇文章之间的矛盾之处，给出矛盾之处的篇号和句子序号。先输出“[答案]”标识符，再以“篇x句x和篇x句x”的格式按行输出所有矛盾之处，不要输出任何其他内容。
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篇一句1和篇二句1
篇一句2和篇三句2
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请寻找这三篇文章之间的矛盾之处，给出矛盾之处的篇号和句子序号。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再以“篇x句x和篇x句x”的格式按行输出所有矛盾之处，不要输出任何其他内容。
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篇一句1和篇二句1
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af5bc2c9fb904c737e089fbe9326abe295be55e589b4844c02c13c25c3ada068
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1 汽车设计论文:汽车冲压件模具设计论文
1CAE软件的优点
CAE软件实现了计算机与设计人员相互作用，计算机技术发挥其高效率的特长，设计人员发挥其灵活性特点，这样就使模具的制作流程更加灵活，并且提高了模具的生产效率。CAE软件采用计算机技术把设计方案优化，使模具在制作过程中结构合理，工艺参数。CAE软件可以提高企业的生产率，节省时间。CAE软件实现了设计计算的自动化和图样绘制的化，这样就大大节省了设计人员的时间，而且使设计的度提高。CAE的使用使设计到制作的时间减少，从而降低了劳动力和材料的成本。计算机的运转提高了绘图的效率，计算机进行设计的优化时考虑到原材料的使用问题，确保原材料得到充分利用，节省了企业成本，提高了企业的经济效益。
2散热器罩的工艺分析
2．1覆盖件冲压工艺的主要特征
在进行覆盖件的冲压过程中，尽量运用一道工序就可以完成任务，使覆盖件的轮廓清晰，如果覆盖件在两次工艺才成形的话，会导致成形不完整的问题，使覆盖件的质量降低。当覆盖件的形状确定后，尽可能使覆盖件表面平滑均匀，使各个部位的变形程度能够达成统一，在不同的工序完成时，能够确保各个工序能够相互调整，使工序的状态良好。覆盖件上的孔是在各个工艺完成后再制作，以免在孔的形成过程中产生畸变问题。当覆盖件成型以后，就可以进行翻遍等工作，先确定好工料的形状和尺寸，然后对成形的工艺进行分析，对模具的结构进行分析，然后分析在模具成形过程中需要的零部件。
2．2散热器罩冲压工艺分析
2．2.1结构工艺介绍
散热器罩在形状设计的过程中是对称的，在覆盖件的制作中，在水平面上形成X和Y两个方向，这两个方向在制作的过程中设计的深度是不一样的，这就导致了在设计覆盖件的时候，确定形状会存在很多的问题，按照覆盖件制作的特点，为了能够提高制作的效率，就要减少相关的工序，可以将冲孔与两边的工艺在统一的模具中完成，运用水平修边的方法，使修边与侧壁的冲孔工艺同步进行。散热器罩是沿着Y方向对称的，而且其顶部形成一个较为平缓的面，在冲压的时候可以运用正装的方式，这样就不会出现凸模的死角，使模具的形状可以顺利地形成，X边的深度比较大，在制作的过程中需要进行压边操作。
2．2.2冲压方案的确定
在进行冲压的过程中，一般都会经过成形、修边这两个步骤，在成形的过程中，在X方向因为深度比较大，因此要采用拉伸的方式，在修边的过程中一般会采用单工序的方式，在拉伸成形的时候，在覆盖件的制作中一定要注意，一定要在一副磨具中完成，这样才能够确保拉伸的质量。
3散热器罩拉伸成形的CAE分析
3．1CAE仿真分析的功能
在对汽车的覆盖件进行设计时，运用CAE软件，实现了软件的制作的仿真，在运用CAE软件进行仿真的过程中，首先要运用三维建模的方法，建立一个曲面的模型，然后将零部件的模型放到仿真软件中，分析二者是否可以匹配。按照冲压设备在设计中拉伸的效果，从而对接触的方式进行确定。在模具冲压的过程中，可以在参考力学模型的基础上，运用有限元的相关知识，建立有限元的模型，加入零部件的曲面模型中没有确定补充面，这时，就要运用CAE软件进行模型表面的设计，从而能够运用软件自动生成补充面。在CAE软件中，由于网格的自动划分功能并不能很好地实现求解器的需求，当网格被划分完成后，就可以运用CAE对网格进行检测，将那些不合格的网格检查出来。通过对模具的类型进行分析，从而建立分析模型。通过对零部件的分析，从而能够计算出毛坯的尺寸，运用CAE软件对毛坯的尺寸进行进一步的计算，从而确定毛坯的形状，运用CAE软件分析毛坯的主要轮廓，从而能够制作出毛坯的主要模型。在对拉伸筋进行定义的过程中，可以分析出金属的流动状况，能够在制作模具的时候防止起皱问题的发生，从而能够制作出更加平整的模具，运用拉伸筋能够将成形的数据进行模拟和分析，运用拉伸筋建立几何模型，这种方法在计算数据时度比较高，但是，这种方法在建立拉伸筋模型时需要耗费很多时间，而且在建立拉伸筋模型的过程中容易出错。也可以运用建立等效的拉伸筋模型的方法，这种方法能够按照尺寸建立出等效的模型，比较灵活，能够对数据进行地分析，被广泛地应用。
3．2散热器罩的CAE仿真分析
在散热器罩的CAE仿真分析的过程中，在对单元进行划分的时候一定要格外注意，一般都是运用四边形单元，而且要根据模型，设计合理的划分方法，在对自动的网格进行划分后，其中四边形单元占单元总数的大部分。在分析冲压方向的时候，一般都会运用CAE来确定，确保没有死区的产生，而且尽量可以使拉伸的深度减小。为了能够使拉伸成形更加得成功，就必须要对模具的工艺进行完善，要对补充面进行设计，并且要分析压料面的问题，在对压料面进行设计的时候，不能出现凹凸不平的问题，要使压料面保持平整，而且要尽量简化压料面制作的流程。对压料面的工艺进行完善，要确定好压料面的拉伸方向和位置，从而能够使压料面的各个部位都能够均匀分布。在进行压边设计后，确定了拉伸筋的结构后，运用CAE的分析，对模具的起皱问题进行考量，模具的内部如果出现了起皱的问题，可以发现，模具出现起皱的部分几乎都在模具的中心部分，在模具的中间部分，在压边的过程中由于受力不足，而且，在拉伸筋设计的环节存在一定的问题，因此，在解决这种问题的时候，可以运用强化压边力度，或者是增加拉伸筋的数量，对拉伸筋的位置进行调整，将拉伸筋调整到模具的中间部位，也可以通过使用润滑剂，从而能够减小摩擦系数。在对模具进行计算的过程中，一般来说，模具的厚度在0.8毫米的时候，能够形成一个较大的节点，这时不会发生模具起皱的问题，而且不会影响模具的美观度，也不会出现模具出现局部开裂，给汽车带来安全隐患的问题。
4结语
CAE是借助计算机软件，对人们对于模具的生产起到辅助作用，有助于技术人员可以可以采用计算机技术对模具的结构、模具的加工进行制作和设计。随着计算机技术的高速发展，计算机强大的软件和硬件系统为促进了CAE的进一步完善，为模具行业提供了强有力的保障。在运用CAE进行散热器罩进行制作的过程中，能够实现对制作流程的仿真分析，能够实现对模型表面的设计，从而能够运用软件自动生成补充面，确保冲压方向没有死区的产生。
作者：张晨 夏禹 单位：沈阳金杯汽车模具制造有限公司
2 汽车设计论文:工作任务新能源汽车课程设计论文
一、课程学情分析
1.学生与教材分析
新能源汽车检修课程需要学习者有较强的汽车理论基础和动手实践能力，授课对象是五年制（高级）汽车运用与维修专业的学生。该类学生已经在校学习三年，掌握了基本的汽车理论以及常见车辆故障诊断技术。授课教材是《新能源汽车技术》（崔胜民主编，北京大学出版社2009年出版），该教材系统论述新能源汽车技术，重点介绍电动汽车用动力电池、电动机，油电混合动力汽车、纯电动汽车和燃料电池电动汽车的结构、原理及设计方法等，比较适合高年级汽车运用与维修专业的学生使用。
2.课程目标分析
在新能源汽车检修课程的培训过程中，教师采用“行动引导型教学法”中的“任务驱动教学法”，让学生了解新能源汽车发展趋势，重点掌握油电混动汽车和纯电动汽车关键技术，提高学生对新能源汽车的整体认识和动手实践能力。
二、教学方案设计
笔者以丰田普锐斯油电混合动力汽车动力系统的电路故障诊断为例，介绍如何应用工作任务引导学生学习油电混合动力汽车动力系统电路项目。
1.课程任务制定
教师事先用三组线束将丰田普锐斯教学车与其配套的油电混合动力系统电路测试面板相连，一组学生利用故障设置盒在原车设置故障，另一组学生在电路测试面板上找出故障点并排除。具体要求学生做到如下几点：
（1）排除丰田普锐斯油电混合动力系统两个故障点；
（2）实车诊断故障在20分钟之内完成；
（3）查阅丰田普锐斯油电混合动力系统维修手册；
（4）使用丰田汽车专用检测仪（型号IntelligentTesterⅡ）和万用表等设备；
（5）实车操作动作符合人身、车辆的安全规范。
2.课程组织实施
在课堂上，教师依据教学流程，充分利用课堂时间。该课程一体化教学按任务驱动、分层教学、小组合作以及评价总结等学习法来组织教学。
（1）复习课程，引出项目。教师在布置工作任务之前，利用汽车零部件实物、PPT课件，向学生讲解丰田普锐斯汽车动力系统中的驱动桥机械组成和工作原理，回顾上一节课的内容，同时引出动力系统的控制电路，研究其组成、工作特点。
（2）分组定岗，布置任务。教师依据学生学习情况，将学生分成多个小组，每一小组4~5人。每辆教学车配2组人员，老师向小组派发工作任务书。设置故障组人员通过讨论后，利用故障设置盒设置2个故障点，同时评价另一组成员在实车排除故障的实操行为。而排除故障小组接到任务书后，查阅动力系统电路图，分析电路的工作原理，准备车辆保护五件套、丰田汽车专用检测仪、万用表和常用工具等。
（3）任务驱动，分工合作。故障排除组：①检查车辆的安全状况，拉手刹，挂空挡，安装保护五件套。②根据任务书的要求，观察教学车的故障现象并记录。经过小组成员大脑风暴，分析可能引起故障的原因。③利用丰田汽车专用检测仪检测故障码，读取油电混合动力汽车动力系统的数据流。④使用万用表检测动力系统线路的断路或短路，在规定的时间内排除故障，认真填写工作任务书。⑤在工作任务完成后或由于时间关系结束实操行为，恢复车辆的整体原貌，清洁车辆和场地，整理专用设备和工具。故障设置组：通过小组讨论设置故障点，并保持车辆的清洁，不准故意破坏有关车辆安全性能的零部件；在旁边观察故障排除组成员的每一个细节动作，把优缺点认真记录在工作任务书上，如果出现违规操作要立刻制止；根据故障排除组成员在排故过程中的具体表现，综合评价每一位故障排除组成员学习情况，并给予合理的建议。
（4）检查控制，排忧解难。学生在实车排除故障过程当中，记录重要的实操步骤和检测结果。教师时刻监督实习场地的变化，排除一些影响教学进度的因素，发现违规操作，特别是安全问题要立刻要求学生改正。
（5）相互评价，取长补短。学生在规定时间内完成实车故障排除后，开展组内成员自评、小组间互评和教师点评。成员自评主要是提高学生对油电混合动力汽车动力系统电路的认识。小组互评可以使得学生在动力系统电路排故的操作过程中，明白自己的不足。老师点评学生动力系统电路排故的思路、步骤，避免学生走弯路。三种评价有效理顺每位学生的知识结构，学生听取别人的建议，弥补自己的薄弱环节，优化完成项目的方案，灵活掌握新能源汽车的新知识和新技能。
三、课程成绩评定
该门课程的成绩评定由过程性评定和终结性评定组成，二者分值各占50%。过程性评定通过小组成员自评、小组互评和教师点评三种方式共同完成，整个过程必须公正和公开。终结性评定通过平时课后作业和期末闭卷笔试成绩两种方式共同完成。过程性评定是重视学生电路检测、总成拆装的实操行为，而终结性评定是重视学生理论知识的掌握水平，两者结合提高学生的汽车维修专业能力。
四、课程设计体会
1.学生收获
任务驱动是该课程实施的主干，学生主动，教师引导，将“教、学、做”适当地融为一体。学生可以在模拟的汽车维修情境中学习，激发学习兴趣，快速掌握新能源汽车维修技术。个别学生学习能力较差，通过小组成员的通力合作，互帮互带来完成任务，增强其自信心。
2.师资要求
教师在整个课程设计过程中要做大量的工作，例如车辆、工具和设备准备，设计工作任务书和理论课件用的PPT。该课程要求教师有较高的操作技能，及时在教学过程中排除影响教学的因素。
3.存在的不足新能源汽车检修课程是新开课程，教具和设备数量少，而学生多，例如在学习油电混合动力汽车驱动桥结构的项目中，很难开展驱动桥总成的拆装。由于汽修专业学生未进行高压电工（380V）的技术培训，维修新能源汽车高压电部件的技能尚欠缺。
作者：王朝帅 单位：广州市交通技师学院
3 汽车设计论文:问题管理下汽车设计论文
1问题管理需要贯穿汽车设计开发全过程
汽车设计开发粗略地分为造型、详细设计和样车试制这三个阶段。通用汽车专家团队总结出：“在汽车设计开发中，如果问题提出越早越多，则开发成本越低、周期越短，如果问题提出越晚越多，则开发成本越高、周期越长。”例如，在设计阶段，利用三维尺寸分析软件以及RSS（RootSumSquare）计算建立尺寸分析模型，将DTS（DimensionalTechnicalSpecifi-cation）的公差合理地分配到各个总成、分总成、单件，并体现在GD&T（GeometryDimension&Tolerance）上，各零件厂家依照标准加工。此种方式在设计阶段对后期可能出现的问题预警，并且在设计初期解决，使得后期多次的设计变更、模具更改、夹具调整得以规避，从而降低了研发费用，缩短了开发周期，保障了产品的质量，增加了产品的竞争力。又如，人机工程导入产品虚拟设计阶段实时地、并行地进行评估，及时发现问题，尽早地优化产品设计，实现产品开发的同步进行验证产品设计。反之，人机工程不参与虚拟制造的开发，在零件开模之后实车进行验证，发现问题再由产品工程进行必要的更改，如此的开发过程相比同步开发，开发质量明显降低，成本显著提高，并且会带来更长的开发周期。如果能够让汽车开发团队尽量早并尽量多地提出问题，将能够降低汽车设计开发的成本和缩短开发周期，这就要求问题管理贯穿到汽车设计开发全过程当中，特别是造型阶段和详细设计阶段需要鼓励大家尽早地多提问题和快速解决问题，防止问题落到样车试制阶段才发现和提出来，这样解决问题的费用就高，解决的时间周期就比较长。对应汽车设计开发每个阶段的工作内容，汽车开发团队需要及时和尽早地提出问题、处理问题和解决问题。例如在造型阶段，大家需要针对造型的整体风格、造型分缝的大小、造型圆角的工艺可行性、造型零件分区的合理性等等作出评审，并提出和解决问题；在详细设计阶段，大家需要对零件结构的合理性、总布置的可行性、结构刚度等的CAE分析合理性、公差分析通过率等进行评价，并提出和解决问题；在样车试制阶段，大家需要对工装与零件的合格率及匹配度、工艺布局的合理性等进行现场验证和评估，并提出和解决问题。因此，问题管理需要贯穿到汽车设计开发全过程中，才能为快速解决问题提供地保障。如果在某个阶段忽略问题管理，则会使问题提出和解决的速度下降，势必造成汽车设计开发工作迟缓，从而导致汽车设计开发成本的增加和周期的延长。
2问题管理的系统化、体系化、流程化
汽车设计开发的问题管理是如此重要，大家需要把它系统化体系化流程化，这样才能确保来自不同专业领域的工程师人员能够按照统一的规则来完成相应的工作，尽早并快速地提出问题和解决问题。问题管理系统化是指针对某个专业领域的问题管理需要系统化，这样可以防止由于主观因素等原因造成问题的遗漏。例如钣金件设计冲压成型性分析过程中需要考虑哪些要点，冲压成型性问题的提出和解决需要有一套系统化的管理办法，这样不会因为年轻工程师经验不足而遗漏掉某个分析环节的问题。问题管理体系化是指在某个设计开发阶段的问题管理需要体系化，这样可以防止整个开发团队问题管理进度不一致造成问题解决效率低下。例如在详细设计阶段，造型、感知质量、总布置、冲压、尺寸、总装、涂装、车身工艺和工装等问题都会形成问题清单进行管理，但是如果整个项目组没有对这些问题管理进行体系化地管理，会造成某些区域问题解决周期较长，从而影响到整个开发的进度。进一步说，在详细设计阶段，假如只重视了造型、感知质量、总布置、冲压、尺寸、总装、涂装、车身工艺和工装问题这些清单的解决效率，忽略了冲压清单的解决效率，会形成整个车型开发项目进度的短板，延误项目的进程。因此，在某个设计开发阶段有必要对各专业提出的问题清单进行体系化的管理，整体推进问题解决状态，尤其是推动低状态问题的快速决策和解决，确保整个开发周期满足项目的要求。具体做法可以如下：对所有这个清单的总体状态做出把控，并在整个开发团队内共享相关的信息，例如及时该车型开发项目问题解决总体状态表，对低状态问题予以推动等等。问题管理流程化是指问题提出、问题解决、问题关闭需要形成相应的流程，这样可以使团队成员遵循既定的工作规则，避免因为流程不清晰而造成工作的推诿，影响工作效率，从而导致项目延误。对于汽车产品，它的特点非常明显，比如零件众多、特征复杂及材质多样等。这些特点会导致各种感知质量问题。其中，《整车静态感知质量工作流程》就对静态感知质量问题跟踪管理等进行了详细的定义，如在某个开发阶段由静态感知质量工程师进行问题状态管理，问题响应需要问题责任区域在问题清单后3个工作日内完成等等。这样其中的各种角色就能够明确工作的时间节点和工作内容，对于问题提出、解决和关闭都按照这个统一的流程来执行，分工与合作都有章可循，有法可依，工作效率高，问题解决的速度快，从而缩短汽车设计开发的周期。
3问题管理需要专人负责制并常态化
汽车设计开发过程中，各阶段的问题侧重点各不相同，各专业模块各有特点，这就需要针对不同的问题进行专人负责制地管理，并使其常态化，进行常规化、持续化管理，直到项目完成。例如冲压同步分析问题清单就需要有冲压工程背景的冲压工程师来管理，从及时个问题提出到一个问题关闭期间，都需要专人跟踪推动，并在汽车设计开发团队里形成常态化的管理模式。这样做的好处是能够使问题一提出来就能够传递到对应的产品工程师处，并且由提出问题的冲压工程师与该产品工程师密切沟通，共同讨论问题解决的对策，产品工程师再将达成共识的对策落实到具体的产品结构中，冲压工程师再次分析产品数据，验证其冲压成型性，直到问题关闭。例如，冲压工程师做冲压成型性分析后，发现左/右前轮罩外板加强板钣件成形时，在拐角处有开裂现象，立刻将此问题纳入冲压同步分析问题清单跟踪。他找到对应的产品工程师，并一起寻找问题解决的对策，经过双方沟通达成“在此拐角处增加缺口，向内凹5mm，并局部修改产品特征”的修改意见。产品工程师修改此零件3D数模，落实该措施，形成新的产品数模，提供给冲压工程师再次分析，结果满足冲压成型性分析，问题关闭。
4问题管理需要分散与集中并行
在汽车设计开发过程中，对于某个专业领域提出的问题，我们以单一问题清单的形式来管理，由问题提出区域来跟踪管控问题的进度和状态，这就是分散管理。但是由于在整个汽车设计开发过程中，不仅仅涉及到某个专业领域，而是跨多个专业领域，这样的问题就相对比较复杂，需要集中管理。例如，总布置遇到的问题大多数是跨专业科室的，需要集中管理和决策。进一步举例如下，发动机舱布置作为整车开发过程中重要的组成部分，汇集了整车各专业设计因素，集材料、性能、安全、加工、装配、维修、成本及美观等诸方面于一体，充分展示了整车的设计水平，尤其需要多个科室协同进行相关问题的处理和决策。又如，产品工程师在设计开发某个零部件时会遇到与下游科室零件搭接的问题，也需要集中协调和管理。再如，产品设计不满足制造需求，属于跨产品工程和制造工程区域的问题，也需要集中管控，召开专题会议上升决策等，避免由于专业角度不同而无法达成一致意见，妨碍问题的快速决策和解决。另外，在某个设计开发阶段，同时会存在有多个专业领域的单一问题清单，这些清单即使有专人管理，也需要集中汇总状态和做总体控制，这样才能确保整个汽车设计开发的进度不因为某个专业领域问题解决效率低下而拖后腿。
5问题管理需要发挥人的主观能动性
以上措施再，离开了人的主观能动性，也无法发挥作用。因此，在汽车设计开发过程中，必须要发挥开发团队每个人的主观能动性，这样问题管理才能够卓有成效。要发挥人的主观能动性来解决问题，首先就是要形成一致的目标，以解决问题的结果为导向，把大家的意识统一起来，这样行动起来大家参与解决问题的主动性和创造性才能发挥出来。例如为解决“轮罩与裙板图示处配合不美观”这个感知质量问题，感知质量工程师、造型工程师、产品工程师形成一致的目标，就是要彻底解决该问题，使轮罩与裙板图示处的配合能够满足感知质量的要求。这样大家目标一致之后，无论是在讨论方案、实施方案的过程中，大家心无杂念，都积极主动地参与到问题解决当中，一心一意做好各自的工作，直到问题关闭，目标实现。其次要发挥人的主观能动性，我们需要在整个汽车设计开发团队里倡导出一种相互学习相互欣赏共同提升的工作氛围。只有这样，大家才会主动提出问题来共同讨论，知无不言，言无不尽，大家一起集思广益，共同促进问题的解决，从而推动整个汽车设计开发项目向着既定的时间节点和成本目标、质量目标迈进。
6结束语
要使问题管理在汽车设计开发中发挥作用是一个很系统很庞大的工作，本文所述为实际汽车设计开发过程中项目管理实践与应用经验的积累。在中国汽车业设计和创造更多更优的整车产品过程中，我们还需要继续摸索和探寻更加有效可行的问题管理工作模式，使问题管理在汽车设计开发中形成系统和可控制，从而发挥出更大的作用，为缩短项目周期、节约项目成本、达到项目质量而贡献力量。
作者：蓝先 单位：上汽通用五菱汽车股份有限公司
4 汽车设计论文:汽车造型设计论文
一、汽车造型设计职业需求
笔者对汽车造型设计人才的职业能力的研究，从汽车行业近十年来造型设计职业岗位的发展入手，对“企业—部门—岗位—工作内容”的层次进行细分，总结出汽车造型设计人才的具体职业岗位的具体工作内容。文章中的汽车行业人才需求信息主要从三个渠道获得：一是对合资、国企、民营、私企以及汽车设计服务等不同类别企业的调查；二是历年来高校招聘和社会招聘的需求信息；三是网络、文献对国际上汽车企业机构构成和人员配备的介绍。
其一，汽车行业造型设计人才的需求企业。随着汽车保有量的迅速增长，市场对汽车个性化产品和服务的需求，为整个汽车产业链带来了新的发展机遇，整车企业、设计研发企业、零部件制造企业，甚至汽车资讯企业都需要造型设计人员的参与。笔者通过调查了解到，以下类型企业需要聘用汽车造型设计人才：汽车整车开发及生产、汽车零部件开发及生产企业、汽车设计服务企业、汽车销售企业等。
其二，汽车行业造型设计人才的需求岗位和工作内容。在所有企业中，汽车整车企业的设计开发环节最完整，因此文章以整车企业为研究对象，分析其部门设置和人员分布。虽然各个汽车企业的造型部门在结构和组织上有一定的差别，但其对产品策划和工程开发所起到的作用是相同的。文章提出了一个虚拟的具有普遍意义的汽车造型设计部门的基本构架和人员组织。零部件开发企业的造型设计人员，承担了与整车企业造型创意部门人员类似的职责，两者在人才能力需求上比较相似。下面将对不同类型企业的造型设计具体岗位的工作内容进行总结：整车开发及生产企业、汽车设计服务企业与设计造型设计的部门、岗位及工作内容如下：
一是汽车产品策划部门，岗位：汽车产品开发前期研究及开发策划人员（偏向造型策划）。工作内容：包括汽车品市场需求调研、流行趋势调研、竞争品牌及车型调研、品牌前瞻性的研究、市场定位、产品概念的提出等，并具备与设计管理和造型设计以及技术部门的沟通能力。二是设计管理部门，岗位：设计管理人员。工作内容：负责汽车造型设计统筹管理、时间节点控制、情报管理以及设计人员人事、设备及物品的管理，并与相关部门进行沟通。三是造型创意部门，岗位：车身造型设计师、汽车内饰造型设计师。工作内容：理解汽车产品定位，以草图和效果图的形式，分别负责车身或内饰设计项目的造型创意，并与油泥模型师和数字模型师进行一定程度的沟通，在设计时须考虑空气动力学和人机工程学等问题，并与相关部门进行沟通。四是色彩纹理设计部门，岗位：色彩纹理设计师。工作内容：应具有独立的色彩纹理创意的能力，明确产品的整体思路，具有对材质、花纹、色卡的管理能力，以及与其他部门的沟通能力。五是数字模型部门，岗位：Casc表面制作设计师。工作内容：对工程和造型创意有深刻的认识，通过正向C面三维建模，地表现设计意图，并与相关部门进行沟通。A-CLASS表面制作设计师，工作内容：通过逆向A面三维建模，实现模具基础，并与相关部门进行沟通。六是实体模型部门，岗位：油泥模型师。工作内容：透彻地理解造型设计师的设计创意，具有强大的三维模型塑造能力，并向数字模型师传达分面方式。七是设计试制部门，岗位：设计试制工作人员。工作内容：负责样车设计制作、内饰仿真件以及部分表面零部件的制作，并与相关部门进行沟通。汽车零部件开发及生产企业与设计造型设计的部门、岗位及工作内容如下：造型创意部门，岗位：汽车座椅、仪表盘轮毂、数字设备、进气隔栅、车身保险杠、方向盘、车灯造型设计师。工作内容：主要从事具体零部件的造型创新，须熟悉不同车型的造型特点，并能在零部件创新设计中把握其与整车的关系。由于零部件企业的部门设置没有整车企业庞大，往往要求造型设计师向上兼顾产品策划能力，向下兼顾工程协调能力。汽车后市场与设计造型设计的部门、岗位及工作内容如下：一是汽车造型改装部门，岗位：改装造型设计师。工作内容：从事汽车车身造型的局部改装造型创新设计，如轿车翼子板改装设计、货车车头扰流罩加装等，须熟悉不同车型的造型特点，并能在局部的改装中实现特定的改装功能，以及能与工程合作，保障改装后汽车性能。二是汽车车身及内饰美容部门，岗位：汽车美容设计师。工作内容：从事汽车车身贴花、贴膜装饰，汽车内饰的软装改造、内饰装饰品的选配等工作。
二、汽车造型设计人才的职业能力
通过以上分析可以看出，不同企业、部门、岗位的汽车造型设计人才虽然工作内容、难度和综合性各有不同，但从中不难总结出汽车行业中造型设计人才的职业能力需求。
其一，设计把握能力。由于汽车产品开发的复杂性和汽车造型设计部门分工的细化，要求汽车造型设计人员在把握能力方面必须做到：明确汽车整车项目目标与岗位工作目标之间的关系；对岗位工作进程和成果进行把控；并能与其他相关岗位和部门进行良好的协调、沟通。
其二，设计调研能力。因为汽车产品系统层次丰富，开发社会关联度大，周期长，风险大，因此汽车造型设计人员在调研能力方面应做到：通过不同手段实时把握、跟踪与汽车设计相关的社会、经济和技术等资讯，并分析其内在联系，形成独到的设计见解；能够把握汽车造型流行趋势；能够从各种事物及相关设计领域中提炼美、创造美；能够从人的生活方式、城市发展和交通方式等变化中发掘汽车造型设计创意。
其三，设计操作能力。在具体的汽车造型设计操作中，设计师应做到：将抽象的整车设计概念转换成视觉化的造型设计定位；运用汽车草图及效果图清晰地表现造型设计定位中的车身比例、线型特征、功能件排布、材质质感等设计信息；能够用汽车油泥模型对设计进行推敲、展示、评价；并能运用计算机辅助三维设计软件构建汽车造型设计的精细模型。文章通过对汽车行业发展、企业类型及与造型设计相关的部门、岗位和工作内容进行调查、分析，总结出汽车造型设计人才的特定职业能力需求。笔者希望通过对快速发展的汽车行业的人才职业需求和人才职业能力的研究，促进对现有汽车造型设计人才培养方案的制订，以及课程设置、教学内容、教学方法等方面的改革，以适应汽车行业对造型设计人才的需求。
作者：秦燕 单位：重庆理工大学车辆工程学院
5 汽车设计论文:报警器电路设计汽车电子论文
一、汽车电子防盗报警器的发展历程概述
随着科学技术的迅猛发展，汽车盗窃技术与日俱增，已成为全世界汽车领域包括我国在内的重要问题。所以，汽车防盗设计研究不管是对汽车生产商来说，还是对社会保险业以及个人来说都具有非常重要的意义与价值，怎样研制出更为安全、有效以及性极高的汽车防盗设备，较大程度地降低车主的财产损失是当前汽车领域应该加以解决的迫切问题。针对当前世界性的汽车盗窃发展趋势，所有的汽车生产商都在努力研发、改进汽车防盗技术，特别是微电子技术的大踏步前进，更是推动着汽车防盗技术的自动化与智能化发展。截至目前，汽车防盗设备从最初的机械控制，发展到现在运用电子密码、使用遥控呼救、利用信息报警，早期阶段的防盗设备主要是应用在门锁、窗户、启动器、供油、制动器等联锁器件的控制，同时还有专为预防盗窃而设计出的专用型套筒扳手。伴随着科学技术的发展，汽车防盗设备可以说是日益进步与完善，最主要功能就是防护车辆，并持续推出全新的产品。现代化高科技的快速发展促使产品的各个功能不断强大，产品的设计过程与生产过程也更为复杂，这就促使产品的专业性更为重要，汽车电子防盗报警器当然也包含在内。另外，产品的性已经成为当前测量产品性能及质量的核心标准之一，这主要是由于性不但是产品质量的反映，更是产品安全性与维护性等多种性能的代表，因此提升汽车电子防盗报警器性是增强产品市场竞争力与扩大产品市场占有率的重要手段与途径。
二、汽车电子防盗报警器电路性设计的必要性
汽车电子防盗报警器对于保护汽车安全起着至关重要的作用，其性直接决定着汽车的安全性能。因此，针对汽车防盗报警器电路的性设计研究，可以降低汽车电子防盗报警器出现问题的几率，整体提升汽车自身的安全性。下面从五方面具体分析汽车电子防盗报警器电路性设计的必要性:一是能够预防发生故障，特别是降低了误报或者被盗等特殊故障发生的几率，从而确保汽车的安全与长期的使用时间。二是能够从整体上减少电子防盗器的费用成本，因为提升产品的性，就需要质量更有保障的元部件，对一些多余功能的部件调整以及其他部件的性设计、研究、实验等，都需要大量的经费支撑，因此首先就是在费用方面得到保障。但是，产品一旦性得到提升，就能将花费在修费与停机检查费用方面的费用降到低。根据美国某相关公司的实际调查发现，在提升汽车性和维修性研制阶段所花费的每一美元，将会在之后的使用与后勤方面节省至少30美元，即产生30:1的实际效益。同时，性所产生的直接经济效益不但表现在未来实际运用方面，而且在研制过程中还会降低样机研制的所需次数，每减少一个样机，不仅仅能够节省很多资金，而且可以节约大量时间。三是能够大大缩减停机时间，提升产品的可用率，降低汽车发生故障或者被盗的概率。四是可以大幅提升产品的性，增强企业的信誉，提高市场竞争力，拓展产品的销路，实现经济效益的提升。五是性的提升能够直接降低汽车发生其他事故的几率，这样就能降低因多种事故所造成的费用支出，从而避免其他不必要的损失。提升产品的性需要从生产的每个环节着手，但最为重要的是产品设计阶段，因为缺乏合理性的设计，如果想在之后的环节中加以维修并达到预期的性，其几率微乎其微。所以，产品设计者必须具备扎实的性设计基础知识与技能，并能够运用多种方法与手段进行设计，从多个途径寻求产品性的突破。
三、汽车电子电路系统性的设计方案
预计、分析、分配以及改进等一系列产品性研发活动就是所谓的汽车电子电路系统性研发设计，结合产品技术文件与图样，对汽车某个电子电路系统的性进行定量设计，进而促进产品的性更加稳固。这一过程包括确定的性指标、构建的性模型、预计法加速检验性指标、分配的性、分析检验电路的性、筛选元器件等。
(一)建立性指标。
我国在1997年加以修订的《汽车报废标准》，规定凡是非营运类轿车大于等于10年(经过申请通过最多研制15年)或者达到50万公里之后要进行强制性报废，这一规定可以说是汽车电子电路系统性指标的确定范围。尽管当前新出台的汽车报废标准有所改动，但是此规定依然是检测机车各个部件功能性指标的主要参考。依据报废指定标准的15年计算，汽车报废的时间长度约为129，600个小时(按照24小时/天计算)，与轿车共计行驶里程达到50万公里的报废标准，把这两种汽车报废标准的大约值视为同等效率，同国军标准规定的不能低于5，000千米的汽车电子系统故障发生的平均间隔里程数，计算得出汽车电子系统的性指标即MTBF是1，296小时。
(二)确定性模型。
在设计产品的最初时期，通常要依据产品的性指标与其功能，确定具体的性模型，从而为分配性指标作准备。汽车系统一般包括贮备系统、复杂系统与非贮备系统。其中，贮备系统又分为工作贮备系统与非工作贮备系统，而工作贮备系统又分为并联、混联与表决这三个系统，非工作贮备系统又称之为旁联系统;而贮备系统就是串联系统。对于普通的电子电气系统，又可分为并联系统、串联系统与混联系统。并根据具体系统的模块功能确定框图与性模型。构建汽车电气系统的性模型的常规条件是:在整个汽车电气系统之中，除去电子的元器件之外，还包括其他部件部分(例如机械元件、系统软件、同电子的元器件相关的PCB板和连线等)的性都是彻底的;而所有电子元器件的使用时间则是服从分布的指数与故障形式的相互独立。
(三)分配性指标。
分配性指标就是把各个系统中的性指标依照原有的规则分配给各个单元，并把分配所得的结果当做各个单元性的定量要求通过设计加以实现。实际操作中的分配性的方法多种多样，例如评分型的分配阀、层次型分析法以及工程加权型的分配法等，就当前而言，最为简单且容易操作的方法就是工程加权型的分配法，并且涵盖的面积比较广，因此应用愈来愈广泛。所以，针对汽车电子电路系统的性指标分配也是采用工程加权型的分配法进行的。
四、结语
总而言之，一旦汽车防盗器产生故障，车主就很有可能遭受损失，或者是出现错误报警，从而影响到人们的日常生活，因此必须确保汽车电子报警器长期无故障的工作。所以，对汽车电子防盗报警器电路的性设计分析与研究拥有很重要的实际意义。
作者：杜迎丽 单位：南阳农业职业学院
6 汽车设计论文:企业信任论文：汽车行业信任模型的设计
本文作者：邹松林 单位：江西科技学院
汽车制造企业不仅要有上游的供应商，更需要大量的下游供应商，通过分销商将整车销售给顾客，对销售的车辆进行售后服务，并对顾客提出的问题和建议进行反馈，对便于企业的进一步发展。随着我国生活水平的提高，人们对于汽车的需求量越来越大，同时对于汽车制造企业也提出了更高的要求，企业之间的竞争越来越激烈，汽车从零件的采购、组装和销售到顾客的手中，其周期越来越短。当前，我国汽车制造企业虽然取得了长足的进步，但是和国际上先进的企业相比还有一定的差距。其中在售后服务这一方面，与国外的差距更大，需要发挥分销商的优势，进一步的完善。
汽车行业的进入，需要投入大量的资金，并且要有相关的技术资源，这就造成了该行业的进入和退出的成本都相对高，加强汽业制造企业与相关企业的协作关系，可以降低风险，提高效率。
当前，各个汽车制造企业都将汽车的发展与信息技术的发展紧密结合，如条形码技术、EDI技术都得到了广泛的应用推广，从而保障了企业对所售车辆的售后服务质量，提高了工作效率。对于汽车行业的信任模型，国内外的很多专家学者也提出了不同的理论。对于当前研究来看，一般都采用信任的前因及后果两方面的研究来进行评价。在企业信任模型中，信息的有效共享是非常重要的，图2为企业信任的简易模型。
上个世纪，对于企业信任的要素，主要还是以企业领导人的品格进行研究，无法通过科学的数据进行测定。进入21世纪以来，研究人员对于企业信任的研究越来越细致，对于其影响因素的划分也更加具体，其可测性更强了。
（1）与供应商的协作信任。当前，一个企业的能力不仅指的是企业自身的科研、生产等方面的能力，更主要的是指企业与各个供应商的关系。同时企业的声誉在企业的发展中，也占据着十分重要的角色，是一个无形的资产，当企业之间的产品质量相差不大的情况下，声誉在社会上好评的企业将会决定着销售的成败。在汽车供应链中，汽车制造是最重要的，在对零件的采购活动中，当前基本上都是采用竞标的形式进行采购。当生产企业与供应商的关系越密切，表明其彼此之间的信任关系越高。
（2）关系要素。在整个供应链中，汽车制造企业与各个供应商之间的信息进行共享，其内容主要包括：销售量、库存、订单、返修及回收等内容。尽可能缩短汽车在流通环节的时间，提高服务质量，可以使企业之间的关系更加紧密。当两个企业进行合作，通过交易可以使双方不断地加深了解，逐步形成共同的目标和价值观，在相互学习中提高自身的能力，提高双方的满意度，其信任度也越高。在企业交流的过程中，企业的边际人员，如技术人员、业务人员或中层管理人员的相互交流，也可以让企业的信任度得到进一步的提高。
（3）环境因素。对于企业来说，要想在某个国家或地区得到发展，就要考虑其当地的风俗和文化，减少不必要的误解和分歧。当一个企业融入到某个文化中，可以让彼此之间建立起更强的信任关系。
（4）合作绩效。当企业双方进行合作，当彼此之间获得越多的经济利润越多，对于企业间的信任关系也有着积极的作用。
（5）长期合作。当企业之间建立长期的合作关系时，可以让双方协商建立共同的发展目标和远景计划，从而让合作双方建立信心。
本文针对汽车供应链的信任模型展开研究，首先分析了汽车供应链的含义和特征，其次对信任模型展开研究，分析了信任关系中的要素，并建立了对应的理论模型。由于篇幅所限，本文对理论模型的实践并没给出，希望读者进一步的验证。
7 汽车设计论文:汽车电源模拟测试系统设计论文
1测试系统架构
汽车电源模拟测试系统的原理如图1所示，分为波形采集与波形模拟和测试输出两部分。波形采集部分：由于汽车在研发过程中，需经历样车的不同的阶段，在这些过程中，车载电器件的开发也不是一蹴而就的。通常车载电器件根据阶段性被分成C样件、B样件以及A样件（最终稳定状态）。也就是说在样车各阶段时，不能保障每种车载电器件的状态都是A类样件，因此，各阶段时，存在汽车启动瞬间电源电压变化的不同。而启动瞬间电源电压波形的获取较为简单（见图1中波形采集部分），利用示波器，采集汽车蓄电池正负两端在启动瞬间的电压即可。对于波形模拟及输出测试部分，使用NI工控机和程控电源的USB通信，同NI-VISA（virtualinstrumentsoftwarearchitecture）建立连接，通过LabVIEW软件编程录入采集的启动电压波形，并对程控电源进行实时控制，模拟输出，对被测样件实时测试。
2测试系统软件设计
2.1NI-VISA调用程控电源功能的实现
在本测试系统中，工控机采用NI公司的PX-I-8110，可编程直流电源采用TOELLNER公司生产的TOE8815-64。工控机与可编程直流电源之间的通信利用Agilent公司的USB/GPIB转换模块实现[1]。在利用LabVIEW软件设计控制程序时，需要使用LabVIEW软件中的[VISAOpen]子VI，并指定程控交流电源的GPIB地址，例如在本测试系统中程控直流电源的GPIB地址为GPIB0：1：IN-STR，通过这样的设置就可以建立起工控机与直流电源之间的联系[1]。
2.2可编程直流电源的控制指令的实现
在测试系统进行模拟输出时，最重要的是将采集到的波形进行提炼，并通过控制程控直流电源进行输出。在这里，需要设置的参数为电压、电流、时间以及起始和结束地址等。在GPIB模式下，TOE8155的控制可被设置为“听”模式和“说”模式。TOE8155的指令架构符合IEEE-488.2标准，除了上述标准中通用的指令外，TOE8155还具有专门的控制指令集，可通过工控机对直流电源进行参数设置和输出控制，且需要向直流电源传送符合TOE8155语法格式的控制指令[2]。其中，在本测试系统中需要用到的TOE8155特定的部分主要指令有[3]：（1）FBbbb将程序设置为触发模式，循环次数设置为bbb（=0...255）；（2）FCVaaa,eee初始地址为aaa，终止地址为eee间的电压值线性计算；aaa=0...999，eee=0...999；（3）FCCaaa,eee初始地址为aaa，终止地址为eee间的电流值线性计算；aaa=0...999，eee=0...999；（4）FCTaaa,eee初始地址为aaa，终止地址为eee间的时间值线性计算；aaa=0...999，eee=0...999；由于这些特定指令，在LabVIEW中并无现成的控件可供使用，因此，在程序设计时，相当一部分的工作量为针对特定指令控件子VI的编程。以FCV指令为例，其子VI的LabVIEW编程见图2和图3。汽车启动瞬间的电源电压波形不是一个周期性、规律的电压波形，见图4（某汽车启动瞬间的因此，在进行模拟电压的设定时，这种电压信号是由几段不同状态的电压信号组成的，程序定义时不仅要设置每段电压信号的电压幅值、持续时间，和起始终止地址位等信息，还有设置两端相邻电压信号之间的过渡时间[4]。在本设计中，是利用LabVIEW软件中的簇和条件结构实现这一过程的[3]。写入波形程序编辑见图5。
2.3自动测试的实现
前面提到，测试系统中很重要的一部分是波形采集，这个需要针对不同的车型，以及各不同车型的不同阶段。这意味着需要进行大量的模拟波形的调用并输出。因此，采用自动测试的方式可以有效地降低测试人员的劳动强度，更能提高测试系统的效率。在本测试系统中，利用Test-stand与sequenc系列调用测试程序的子VI，其架构见图6[5]。由于成本的考虑，车载电器件往往多为平台产品，但是也存在个别车载电器件是专用件的情况。因此在技术人员选择测试波形的分类时，参考图7的测试流程进行操作。测试系统的操作时，首先选择被测DUT所应用的车型，其次，导入该车型的电源曲线，并进行模拟测试。在测试完成后，判断该DUT是否为平台化产品，如果判定结果为“是”，则导入该DUT所应用的各车型电源曲线，并进行模拟测试；如果判定结果为“否”，则再次进行是否随即抽取模拟波形并测试的判定。若判定结果为“是”，则随机导入电源曲线，并进行模拟测试，若判定结果为“否”，则完成测试，退出程序。
3验证及总结
实现了对汽车在不同研发阶段的起动瞬间的整车电源的采集，利用了LabVIEW以及GPIB总线，实现了对可编程程控直流电源的控制，最终利用NI的TestStand技术，实现车载电器件对模拟采集波形的自动测试，不仅提高了测试效率，而且针对平台化的车载电器件，更能提早并地识别出问题和解决问题。目前该测试系统在某主机厂的娱乐系统的测试中得到了很好的应用。
作者：唐程光 周奇文 李娟 刘成厚 单位：安徽江淮汽车股份有限公司
8 汽车设计论文:汽车壳体优化设计论文
1建模与受力分析
门盖在工作时与汽车壳体之间的接触过程非常复杂，不仅涉及到接触、大位移、大变形等非线性问题，而且由于不同车型的汽车外壳结构不同，选用的材料也不同，所以研究时必须考虑汽车壳体模型.由于研究的主体是门盖，而推动门盖的主动力已知，汽车壳体只是力传递的边界条件，所以引入汽车壳体的简化模型.汽车壳体采用一般小轿车大小4500×1750×1300的简化模型，其材料模型采用线弹性模型，弹性模量取相比结构钢较小的值，这样既可以模拟在压缩过程中出现的较大变形，又避免引入材料非线性影响计算效率，同时对门盖的应力和变形计算影响很小..根据门盖的结构形式和特点，CAE建模时采用壳单元（ShellElement）来划分网格.在不影响分析结果的前提下对门盖进行了必要的简化，如忽略了螺纹孔、圆角及倒角等特征，从而提高有限元模型的质量、减小模型的计算规模.分析模型如图2所示.
2有限元分析
门盖闭合过程中，门盖与汽车壳体之间存在接触非线性.同时，工作过程中汽车壳体的刚度不是恒定的，它随着变形的大小而变化，即存在几何非线性.因此本文作SOL601，106高级非线性静力学分析.非线性分析和线性分析相比，非线性分析的计算时间和计算机存储量要大得多，而且在数值计算方法和求解参数的设定上有较大区别[2].边界条件包括载荷、约束和仿真对象[3].在门盖的左右轴套上分别施加轴承力，力的大小为800KN，方向为沿着油缸的轴向，指向门盖.在汽车壳体的底部作固定约束、门盖的旋转轴处作销钉约束.同时，忽略门盖组件各结合面之间的接触变形，近似将各接触部分看作刚性接触，在FEM下为门盖的各边、面之间添加1D连接[4-5].门盖与汽车壳体之间的接触是非线性的，在仿真模型下，定义高级非线性接触，汽车壳体作为“源区域”，门盖底板作为“目标区域”，“接触参数”保持默认.有限元计算模型如图3所示，分析结果如图4所示（只显示门盖）.根据图形可知门盖较大等效应力为170.76MPa.应力主要集中在门盖的左右轴套上，即油缸与门盖连接处.门盖的材料为Q235号钢，屈服强度为235MPa，可见在该工况下门盖满足强度要求.
3优化设计
有限元分析的最终目的是进行优化设计，现在需要对门盖结构进行优化，优化的目标是模型的重量最小[6-7].约束条件是在不改变门盖模型网格划分、边界约束和载荷大小，并能满足强度要求的前提下，控制较大等效应力值不超过材料屈服强度的70%（约165MPa）.
3.1筋板的布置
根据分析结果可知，应力主要分布在左右轴套处，大部分的筋板受力极小，因此，可通过布置筋板的分布进行优化设计.为便于加工和装配，门盖筋板布置采用均匀分布的方式.设计变量为筋板的数量，原结构中单行设置的筋板数量为10，考虑减重的目标及结构的稳定性，取筋板数量为3-7.图5为筋板数量与门盖较大应力和位移关系，图6为不同筋板数量对应底板的应力分布图.结果表明筋板数量对门盖的较大应力（轴套处）影响较小，对门盖底板的应力分布位置影响较大.底板较大应力发生在门盖油缸轴线方向上的临近筋板与主横筋板接触处，较大应力为N=4时σmax=61.52MPa.综合考虑较大应力、较大位移和底板的应力分布，以及实现减重的目的，确定新结构的筋板数量为4.
3.2筋板厚度的优化
3.2.1灵敏度分析
灵敏度分析是为优化设计做铺垫.通过灵敏度分析可以确定模型各参数对输出结果影响的大小.在模型校正过程中重点考虑对输出结果影响较大的参数，排除那些对输出结果影响很小的参数，这将在很大程度上减小模型校正的工作量，提高优化设计的效率[8-9].NX高级仿真中几何优化模块下提供了全局灵敏度解算方案.设计目标为门盖的重量最小，约束条件为门盖的较大应力，设计变量为筋板厚度.为便于加工与安装，门盖结构中相同结构的尺寸应保持一致.筋板厚度参数主要包括底板厚度T1、主横筋板厚度T2、横筋板厚度T3、竖筋板厚度T4、轴套厚度T5、前板厚度T6、门盖耳套帮板厚度T7和其他筋板厚度T8.对上述筋板厚度进行全局灵敏度分析，获得各参数对设计目标影响的全局灵敏度曲线，将所有灵敏度曲线调整到一幅图表中进行比较，根据各参数的全局灵敏度曲线的斜率大小判断设计参数对设计目标的灵敏程度，最终确定T1、T2、T3、T4.根据各参数对约束条件的影响曲线，确定T5.全局灵敏度曲线如图7所示.由图7（a）可知底板、主横筋板、横筋板及竖筋板的厚度对门盖的重量影响较大，其中底板的影响较大.由图7（b）可知轴套的厚度对约束条件的影响较大.为提高门盖强度以及减轻门盖的重量，主要对底板、主横筋板、横筋板、竖筋板厚度进行减小，同时适当增加轴套的厚度.
3.2.2尺寸优化
尺寸优化是建立在数学规划论的基础上，在满足给定条件下达到经济技术指标[10].NX高级仿真结构优化的解算器采用的是美国Altair公司的AltairHyperOpt，它拥有高效、强大的设计优化能力.结合以上分析结果，进行筋板数量等于4时筋板厚度的优化分析.在“几何优化”对话框中作如下设置：①定义目标：重量定为最小；②定义约束：门盖上的较大等效应力为165MPa；③定义设计变量见表1；④控制参数：选择较大迭代次数为20.经解算，找到方案：底板厚度由原来的52mm修改为45mm，主横筋板厚度由原来的50mm修改为45mm，横筋板厚度由原来的25mm修改为20mm，竖筋板厚度由原来的20mm修改为16mm，轴套厚度由原来的34.5mm修改为35.2mm，为了便于生产，将轴套的厚度圆整为35.5mm.优化后与优化前的分析结果对比见表2.从计算结果可看出，优化后的门盖强度得到明显提高.另外，重量由原来的10496kg降低为8786kg，减重17.2%，取得了优化设计的预期效果.
4结论
通过对汽车打包机门盖的有限元计算模型进行非线性分析，得出了门盖在额定载荷下的应力和位移情况.从门盖的应力云图的动态显示过程可直观地找出门盖的薄弱环节，为门盖的结构优化提供了依据.通过对门盖主要设计参数的全局灵敏度分析，给出了对门盖重量影响较大的参数，提高了优化设计的效率.通过对门盖结构的优化设计，提高了门盖的强度，减轻了重量，降低了生产成本，取得了优化设计的预期效果.
作者：张婷 章泳健 戴国洪 单位：江苏理工学院 常熟理工学院 江苏省机电产品循环利用技术重点建设实验室
9 汽车设计论文:汽车冷却器缓冲罩工艺设计论文
1冲压工艺性分析计算
根据零件的结构特点，冲压工序包括拉深、冲孔、翻边、整形、落料、切边。需要通过计算来确定汽车冷却器缓冲罩的拉深次数。对锥形件进行拉深计算［5］。相对厚度:t/d2=0.021＞0.02(1)相对锥顶:d1/d2=0.665＞0.5(2)相对高度:h/d2=0.376＜0.43(3)从以上计算结果可以看出该锥形件可一次拉深成形［5］。考虑到锥形件拉深时侧壁易产生皱褶的问题，故在拉深工序之后添加整形工序［6］。
2排样图设计
采用单排排样，引导孔定位，有切口的级进模设计方案。考虑到翻边时孔会产生变形，工艺排样的原则是底部预冲孔，再拉深、翻边、整形、然后落料、切断。该零件成形共分为12个工步，条料宽度为114mm，步距为110mm。排样图见图2。
3多工位成形工艺的数值模拟
3.1多工位级进模排样条料模型建立
对于切边、冲孔、落料等相关的工序，在Dynaform里没有实际的模拟过程［7］，故模拟从第4工步拉深开始。简化后工序最终确定为拉深－整形－冲孔－翻边－整形共5个工序。初始的毛坯条料形状设置为第3工序完成之后的形状，其5工位的排样如图3所示，毛坯材料为304不锈钢。为了得到的模拟结果，需将前一步模拟结果作为后一步工序的毛坯导入，图4所示为完成全工序模拟之后的条料排样图。
3.2有限元模型建立及数值模拟
从第4工位拉深开始建立有限元网格模型，如图5所示。根据工艺分析计算，将其主要工艺参数设置如下［8－10］:凸凹模间隙为1.1t，根据理论计算，拉深时压边力为26～35kN之间，取压边力为31kN，凹模、压边圈速度为3000mm•s－1，凹模行程为28mm，压边圈行程为25.5mm，压边圈行程滞后时间为0.00083s。第4工位的拉深模拟结果包括拉深极限图和厚度云图，如图6所示。由成形极限云图6a可以看到，拉深件所有单元的应变均在安全域以内，其拉深区域没有出现拉裂，在其边缘位置和侧壁上部分区域出现轻微的起皱现象。从厚度云图6b可以看出，拉深件的较大减薄区域为底部过渡圆角区，其最小厚度1.291mm，较大减薄率为14%。由于边缘区域要作落料切边处理，不影响零件质量，故只对零件侧壁处起皱区域采样，发现其较大厚度为1.548mm，较大增厚率为3.2%。对于板料拉深成形而言，一般认为变薄率在20%以内，增厚率在7%以内都是可行的［11］，所以该零件在拉深成形之后厚度分布合理。图7为第5工位的拉深整形模拟结果，可以看到经过整形之后侧壁的起皱现象已经基本消失。零件的较大减薄率保持不变，只是底部减薄的区域有所增大。图8和图9分别为翻边及整形工序模拟结果，由于零件翻边底部倒角处最小直径为Φ1.1mm，无法一步成形，故在翻边和整形工序时分别设置此处的凸凹模间隙为1.15和1.1mm，通过挤压方式使其变薄。从模拟结果，该厚度基本达到要求，翻边处没有出现破裂和起皱现象。通过对简化后的多工位级进模进行全工序模拟，其结果如图10a所示，由图可见，零件的成形区域没有出现拉裂现象，起皱情况在整形之后基本消除，模拟结果与实际级进冲压得到的条料(图10b)成形情况比较吻合。以上结果表明，该零件成形工艺方案和工艺参数的设置在实际的生产应用中是合理可行的。
4多工位成形工艺方案试验验证
根据上述有限元数值模拟得出的零件成形工艺方案和工艺参数，生产出汽车冷却器缓冲罩多工位级进模。从图11可以看出，模具主要成形部件采用镶块方式加工，闭合高度为540.5mm，送料高度为34.2mm，在3150kN的压力机上安装试模。图12所示为试模所获得汽车冷却器缓冲罩，可以看出零件的表面光滑，无起皱、破裂的现象发生。利用超声波仪器进行产品的厚度测量，并将其与模拟的结果进行比较，其结果见图13。考虑到产品的对称性，选取了中心截面右侧零件沿Z轴方向的厚度变化值进行比较。从图中可以看出，模拟值与实测值厚度变化趋势一致，实测值小于模拟值，其较大差值为0.043mm，较大相对误差为2.87%。实际零件底部1.1mm处最小厚度为1.091mm，满足产品在此处的厚度要求。目前，该级进模已用于生产实际，每年可生产150万件。
5结论
(1)分析汽车冷却器缓冲罩的结构及其冲压工艺特性，根据级进模设计原则，确定其拉深、整形、冲孔、翻边、落料等12工序的成形方案。(2)利用Dynaform软件对其主要工序拉深－整形－冲孔－翻边－整形进行全工序数值模拟，得到了每步成形工序的板料成形极限图(FLD)，零件壁厚分布图，模拟结果与零件成形要求一致。(3)按照模拟结果得出的成形工艺方案和工艺参数，设计模具并进行了汽车冷却器缓冲罩的试冲试验，数值模拟和试冲结果相吻合，表明利用DYNAFORM软件能为零件多工位成形工艺方案设计和工艺参数设置提供了有效的理论依据。
作者：蔡丹云 丁明明 单位：浙江水利水电学院
10 汽车设计论文:汽车座椅靠背注塑模具设计论文
图1为某汽车座椅靠背零件，该零件属于薄壁平板型塑料零件，外形尺寸为545mm×408mm×2.5mm，外侧(背面)要求光滑，而内侧的结构比较复杂，有五个定位卡槽和两处挂钩，这些地方都需要设计侧向抽芯，如图1所示。另外，为了加强靠背的强度，内侧还设计了网状加强筋。该零件的成型难度主要体现在以下两个方面：(1)零件属于大型薄壁平板类产品，如何控制其成型精度、防止翘曲变形是一大难度。从模具结构角度来看，浇口的数量及位置分布起着关键作用；从成型工艺的角度看，温度、速度以及注射压力是影响成型质量的关键因素。笔者利用Moldflow软件强大的模流分析功能模块[1–2]，对汽车座椅靠背模流过程进行了模拟分析，为模具设计和工艺优化提供指导。(2)在脱模过程中，有12处需要侧向抽芯，侧抽型数量多，空间位置小。
1工艺说明
零件的精度等级要求为MT4级，表面粗糙度符合使用要求。选材要求：抗弯能力强、疲劳强度较高、无毒无害，无辐射，流动性等成型性能好。根据这些要求，选择常用的工程塑料丙烯腈–丁二烯–苯乙烯(ABS)作为零件的材料。通过Pro／E软件对零件的三维造型，特性分析得到塑料件体积、件重[3]。单个塑料件总体积：V单=770.32cm3，单个塑料件的质量：m单=ρV单=1.06×770.32=816.54(g)。由于塑料件的外形尺寸较大，模具采用一模一腔设计，初步估算浇注系统体积为产品体积的8%，即：V浇=61.6cm3，因此，一个注射周期需要注射的塑料熔体体积为：V=V单+V浇=770.32+61.6=831.92(cm3)。
2模具设计
2．1总体结构设计
该塑料产品的尺寸较大，外侧表面要求光滑，因此设计一模一腔的模具结构，采用点浇口进浇，由于主流道末端不便于设置拉料杆，所以利用分流道板拉出主流道凝料。产品内侧需要设计多个侧向型芯，采用滑槽机构完成侧向抽型动作，推杆顶出。模具结构如图2所示。
2．2浇注系统设计
浇注系统是注塑模中从主流道始端到型腔入口之间的熔体进料通道。正确设计浇注系统对获得品质的塑料制品极为重要[4–5]。(1)主流道设计。主流道是连接注塑机的喷嘴与分流道的一段通道，由于与注塑机的喷嘴直接相连，因此将主流道与喷嘴设计在同一轴线上[6]。采用圆形截面，为了提高塑料熔体的流动状态，并且便于凝料的拔出，主流道设计成锥形，锥角α=4°，内表面光滑，经研磨后粗糙度Ra=0.4μm。为防止主流道与喷嘴处溢料，主流道的对接制成半球凹坑，凹球直径取19mm(选定注塑机XS–Z–1000的喷嘴球直径为18mm)。在设计时，选择A型浇口套，其具体尺寸如图3所示。614159174544°R9.5图3浇口套的相关尺寸(2)浇口设计。由于在该产品的内侧需要设计多个侧型芯，而且内侧还有网状加强筋，浇口不宜设置在内侧[7]，所以本设计将浇口放置在产品的外侧，但产品外侧要求光滑，因此，该模具采用点浇口，以减小浇口痕迹对产品外观的不良影响。该产品属于大型平板类零件，一个周期内的塑料注射量大，流程长，浇口的数量和位置分布非常重要，如果浇口设计不合理，极易造成充模不足或产品翘曲变形等缺陷。近年来，Moldflow软件在模具设计与成型工艺优化方面得到了较好的应用[8]，在实际生产中取得了良好的经济效益。笔者在设计时，利用Moldflow软件对塑料熔体的流动充模过程进行了模拟分析，如图4所示。图4a是在塑料件中心处设置一个浇口的情况，由于塑料件投影面积大，流程长，料流末端的拐角处容易出现短料(浇不透)现象；如采用两个浇口，充模情况得到明显改善，如图4b所示。(a)(b)a—一个浇口；b—两个浇口图4浇口数量和位置设计(3)分流道设计。虽然本模具是一模一腔结构，由于采用两个浇口，主流道到浇口之间需要分流，因此需要设计分流道。它是浇注系统中熔融状态的塑料由主流道流入型腔前，通过截面积的变化及流向变换以获得平稳流态的过渡段，应满足良好的压力传递和充填状态，并使流动过程中压力损失尽可能小些，能将熔体均匀地分配到各个型腔。该模具的主流道末端不便于设置拉料杆，笔者采用分流道板来拉出主流道凝料，同时在分流道的末端设计拉料杆，以便在脱模时拉断浇口。该模具中，分流道取圆形断面形状，直径为5mm，开设在分流道板上，如图5所示。
2．3脱模机构设计
模具中采用点浇口设计，需要双分型面分别脱出产品和浇注系统凝料，另外本产品属于薄壁平板型零件，分型面上的投影面积较大，塑料件平均厚度较小(2.5mm)，而且有7处需要长距离(32mm)侧抽芯机构，脱模顶出面不是简单平面，无法利用推板脱模，因此，采用推杆顶出。产品脱模时需要顶出的距离较小，利用Moldflow软件对顶出过程进行综合分析，选用56根Φ12×225mm的推杆以及8根Φ6×225mm的推杆。
3模具工作过程
该模具为三板模结构，设计两个分型面分别取出塑料件和浇注系统凝料，另外，在分流道板和定模座板之间设计了一个辅助分型面，用于拉出主流道凝料。开模过程中需要在分型机构的控制下实现依次顺序分型。首先，当注塑机带动动模座板23向右运动时，动模板15与定模板13之间的分型面I–I打开，同时，点浇口被拉断。当分型到设定距离后，拉环限位螺栓16开始工作，定模座板12与定模板13之间的分型面II–II打开，此时，由于拉料杆9的作用，浇注系统凝料将从定模板13内拉出(停留在定模座板一侧)。继续分型，分流道板拉杆5将开始工作，使分流道板10与定模座板之间的辅助分型面打开，从而将凝料从主流道中拉出，实现凝料的脱出。随后，注塑机顶杆带动推出装置向前移动，推杆将塑料产品从下模板中推出。
4结语
汽车座椅靠背零件外型尺寸较大，采用一模一腔的模具结构。由于零件属于大型薄壁平板类产品，容易发生翘曲变形，运用Moldflow软件对塑料熔体的填充过程进行模拟分析，确定浇口的数量和位置分布，采用两个点浇口进浇，并利用分流道板拉出凝料，实现了浇注系统凝料的自动脱模。经大批量生产验证，塑料件质量符合要求。
作者：吴晓 单位：武汉纺织大学机械工程与自动化学院
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T6. Aggregation & Clustering
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T6.2 Targeted Subset Cluster Identification
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请在上述文本中找出专注于汽车某一特定部件或子系统（而非整车）的设计、优化、工艺或测试的论文。先输出“[答案]”标识符，再按行输出满足条件的论文序号，不要输出任何其他内容。
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请在上述文本中找出专注于汽车某一特定部件或子系统（而非整车）的设计、优化、工艺或测试的论文。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出满足条件的论文序号，不要输出任何其他内容。
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a545274918d88e2d95ac41b5a5f9124ae31f9fb46f8174acffc6124bec52155d
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FILE A：EX-10.1 2 exhibit101creditfacili.htm EXHIBIT 10.1
EXHIBIT 10.1
SECOND AMENDMENT dated as of June 1, 2018 (this “Amendment”), to the FIVE-YEAR COMPETITIVE ADVANCE AND REVOLVING CREDIT FACILITY AGREEMENT dated as of November 25, 2014 (as amended by the Instrument of Assumption and Amendment dated as of May 16, 2016 and the First Amendment dated as of November 29, 2016, the “Credit Agreement”), among ITT INC. (f/k/a ITT Corporation), an Indiana corporation (the “Company”), any BORROWING SUBSIDIARIES from time to time party hereto, the LENDERS from time to time party thereto (the “Lenders”) and JPMORGAN CHASE BANK, N.A., as administrative agent (in such capacity, the “Administrative Agent”).
WHEREAS, the Company, the Initial Borrowing Subsidiary, the Administrative Agent, the Swingline Lenders and the other Lenders have agreed, on the terms and subject to the conditions set forth herein, to amend the Credit Agreement as set forth below, including to establish a swingline subfacility on the terms set forth in the Amended Credit Agreement (as defined below).
NOW, THEREFORE, in consideration of the foregoing and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto agree as follows:
SECTION 1.Defined Terms. Each capitalized term used and not otherwise defined herein shall have the meaning set forth in the Amended Credit Agreement. The provisions of Section 1.02 of the Credit Agreement shall apply to this Amendment, mutatis mutandis.
SECTION 2. Amendments to the Credit Agreement. Effective as of the Amendment Effective Date (as defined below):
(a) The Credit Agreement (excluding, except as set forth below, all Schedules and Exhibits thereto, each of which shall remain as in effect immediately prior to the Amendment Effective Date) is hereby amended by inserting the language indicated in single-underlined text (indicated textually in the same manner as the following example: single-underlined text) in Exhibit A hereto and by deleting the language indicated by single-strikethrough text (indicated textually in the same manner as the following example: stricken text) in Exhibit A hereto.
(b) Exhibit A-6 to this Amendment is hereby inserted as Exhibit A-6 to the Credit Agreement.
(c) Schedule 2.23 to this Amendment is hereby inserted as Schedule 2.23 to the Credit Agreement.
The Credit Agreement, as amended as set forth in this Section 2, is referred to as the “Amended Credit Agreement”.
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SECTION 3. Swingline Subfacility. Each Person whose name appears on Schedule 2.23 hereto acknowledges and agrees that, on and as of the Amendment Effective Date, such Person shall become a Swingline Lender under the Amended Credit Agreement and shall have a Swingline Commitment as set forth next to the name of such Person on Schedule 2.23 hereto. Each Lender hereby expressly agrees to, and acknowledges its participation obligations under, the provisions of Section 2.23(c) of the Amended Credit Agreement.
SECTION 4. Representations and Warranties. To induce the other parties hereto to enter into this Amendment, each of the Company and, solely as to itself, the Initial Borrowing Subsidiary represents and warrants, on and as of the Amendment Effective Date, that:
(a) This Amendment has been duly authorized, executed and delivered by it, and this Amendment and the Amended Credit Agreement constitute its legal, valid and binding obligations, enforceable against it in accordance with their terms, subject to applicable bankruptcy, insolvency, reorganization, moratorium or other laws affecting creditors’ rights generally and to general principles of equity, regardless of whether considered in a proceeding in equity or at law.
(b) The representations and warranties set forth in Article III of the Amended Credit Agreement (with all references therein to the “Transactions” being deemed to include the execution, delivery, performance and effectiveness of this Amendment) are true and correct on and as of the Amendment Effective Date (both before and after the effectiveness of the amendments provided for herein) in all material respects, except to the extent they expressly relate to an earlier date, in which case such representations and warranties are be true and correct in all material respects as of such earlier date.
(c) No Default or Event of Default has occurred and is continuing on and as of the Amendment Effective Date (either before or after the effectiveness of the amendments provided for herein).
SECTION 5. Effectiveness.
(a) The amendments provided for in Section 2 hereof shall become effective on the date hereof (such date, the “Amendment Effective Date”), subject to the satisfaction of each of the following conditions precedent:
(i) The Administrative Agent (or its counsel) shall have received duly executed counterparts hereof that, when taken together, bear the authorized signatures of the Company, the Initial Borrowing Subsidiary, the Administrative Agent, each Swingline Lender whose name is set forth on Schedule 2.23 hereto and each Lender.
(ii) The Administrative Agent (or its counsel) shall have received such documents and certificates as the Administrative Agent or its counsel may reasonably request relating to the organization, existence and good standing of the Loan Parties and the authorization of this Amendment, all in form and substance reasonably satisfactory to the Administrative Agent.
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(iii) The Administrative Agent (or its counsel) shall have received the favorable written opinion of (A) Lori Marino, Vice President, Deputy General Counsel and Corporate Secretary of the Company, (B) Fried, Frank, Harris, Shriver & Jacobson LLP, special counsel for the Company, and (C) Arendt & Medernach SA, Luxembourg counsel for the Initial Borrowing Subsidiary, in each case dated the Amendment Effective Date and addressed to the Administrative Agent, the Swingline Lenders and the other Lenders and in form and substance satisfactory to the Administrative Agent.
(iv) The Administrative Agent (or its counsel) shall have received a certificate, dated the Amendment Effective Date and signed by a Financial Officer of the Company, confirming the accuracy of the representations and warranties set forth in Section 4 hereof.
(v) The Administrative Agent shall have received, to the extent invoiced, reimbursement or payment of all reasonable out‑of‑pocket expenses (including reasonable fees, charges and disbursements of counsel) required to be reimbursed or paid by the Company under the Credit Agreement.
SECTION 6. Reaffirmation. Each Loan Party hereby consents to this Amendment and hereby agrees that, notwithstanding the effectiveness of this Amendment, its obligations (including its guarantees) under the Loan Documents to which it is a party shall continue to be in full force and effect.
SECTION 7. Effect of Amendment; No Novation. (%3) Except as expressly set forth herein, this Amendment shall not by implication or otherwise limit, impair, constitute a waiver of or otherwise affect the rights and remedies of the Administrative Agent, the Lenders or the Issuing Banks under the Credit Agreement or any other Loan Document, and shall not alter, modify, amend or in any way affect any of the terms, conditions, obligations, covenants or agreements contained in the Credit Agreement or any other Loan Document, all of which shall continue in full force and effect in accordance with the provisions thereof. Nothing herein shall be deemed to entitle any Loan Party to a consent to, or a waiver, amendment, modification or other change of, any of the terms, conditions, obligations, covenants or agreements contained in the Credit Agreement or any other Loan Document in similar or different circumstances, except as expressly set forth herein.
(a) On and after the Amendment Effective Date, each reference in the Amended Credit Agreement to “this Agreement”, “hereunder”, “hereof”, “herein”, or words of like import, shall refer to the Amended Credit Agreement and the term “Credit Agreement”, as used in each Loan Document, shall mean the Amended Credit Agreement.
(b) This Amendment shall constitute a “Loan Document” for all purposes of the Amended Credit Agreement and the other Loan Documents.
SECTION 8. Applicable Law; Jurisdiction; Waiver of Jury Trial. THE PROVISIONS OF SECTIONS 10.06, 10.07, 10.13 AND 10.14 OF THE CREDIT AGREEMENT ARE INCORPORATED INTO THIS AMENDMENT, MUTATIS MUTANDIS, WITH THE SAME EFFECT AS IF SET FORTH IN FULL HEREIN.
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SECTION 9. Counterparts; Effectiveness. This Amendment may be executed in any number of counterparts (and by different parties hereto on different counterparts), each of which when so executed and delivered shall be deemed an original, but all of which taken together shall constitute a single contract. Delivery of an executed counterpart of a signature page of this Amendment by facsimile transmission or other electronic imaging (such as a ‘pdf’) shall be as effective as delivery of a manually executed counterpart hereof.
SECTION 10. Severability. In the event any one or more of the provisions contained in this Amendment should be held invalid, illegal or unenforceable in any respect, the validity, legality and enforceability of the remaining provisions contained herein shall not in any way be affected or impaired thereby. The parties shall endeavor in good-faith negotiations to replace the invalid, illegal or unenforceable provisions with valid provisions the economic effect of which comes as close as possible to that of the invalid, illegal or unenforceable provisions.
SECTION 11. Headings. Section headings used herein are for convenience of reference only, are not part of this Amendment and are not to affect the construction of, or to be taken into consideration in interpreting, this Amendment.
[Signature Pages Follow]
FIVE-YEAR COMPETITIVE ADVANCE AND REVOLVING
CREDIT FACILITY AGREEMENT
Dated as of November 25, 2014
among
ITT INC. (f/k/a ITT CorporationCORPORATION),
THE LENDERS NAMED HEREIN,
JPMORGAN CHASE BANK, N.A.,
as Administrative Agent
and
CITIBANK, N.A.,
as Syndication Agent
_____________________________________________
BARCLAYS BANK PLC
WELLS FARGO BANK N.A.
U.S. BANK NATIONAL ASSOCIATION
THE BANK OF TOKYO-MITSUBISHI UFJ, LTD.
THE ROYAL BANK OF SCOTLAND PLC
BNP PARIBAS,
as Documentation Agents
J.P. MORGAN SECURITIES LLC
CITIGROUP GLOBAL MARKETS INC.,
JPMORGAN CHASE BANK, N.A.
CITIBANK, N.A.,
BARCLAYS BANK PLC and
WELLS FARGO SECURITIES, LLC,
as Lead Arrangers and Joint Bookrunners
[CS&M Ref. No. 6701-895]
18
TABLE OF CONTENTS
ARTICLE I
DEFINITIONS
SECTION 1.01.
Defined Terms
1
SECTION 1.02.
Terms Generally
2830
SECTION 1.03.
Accounting Terms; GAAP
2931
SECTION 1.04.
Classification of Loans and Borrowings
3032
SECTION 1.05.
Currency Translation
3032
ARTICLE II
THE CREDITS
SECTION 2.01.
Commitments
3032
SECTION 2.02.
Loans
3133
SECTION 2.03.
Competitive Bid Procedure
3234
SECTION 2.04.
Revolving Borrowing Procedure
3436
SECTION 2.05.
Letters of Credit
3537
SECTION 2.06.
Conversion and Continuation of Revolving Loans
4042
SECTION 2.07.
Fees
4143
SECTION 2.08.
Repayment of Loans; Evidence of Debt
4244
SECTION 2.09.
Interest on Loans
4345
SECTION 2.10.
Default Interest
4446
SECTION 2.11.
Alternate Rate of Interest
4446
SECTION 2.12.
Termination, Reduction, Extension and Increase of Commitments
4547
SECTION 2.13.
Prepayment
4749
SECTION 2.14.
Reserve Requirements; Change in Circumstances
4850
SECTION 2.15.
Change in Legality
4952
SECTION 2.16.
Indemnity
5052
SECTION 2.17.
Pro Rata Treatment
5153
SECTION 2.18.
Sharing of Setoffs
5154
SECTION 2.19.
Payments
5254
SECTION 2.20.
Taxes
5255
SECTION 2.21.
Duty to Mitigate; Assignment of Commitments Under Certain Circumstances
5760
SECTION 2.22.
Defaulting Lenders
5861
SECTION 2.23.
Swingline Loans
63
ARTICLE III
REPRESENTATIONS AND WARRANTIES
SECTION 3.01.
Organization; Powers
6065
SECTION 3.02.
Authorization
6065
SECTION 3.03.
Enforceability
6066
SECTION 3.04.
Governmental Approvals
6066
SECTION 3.05.
Financial Statements
6166
SECTION 3.06.
Litigation; Compliance with Laws
6166
SECTION 3.07.
Federal Reserve Regulations
6167
SECTION 3.08.
Investment Company Act
6267
SECTION 3.09.
Use of Proceeds
6267
SECTION 3.10.
Full Disclosure; No Material Misstatements
6267
SECTION 3.11.
Taxes
6267
SECTION 3.12.
Employee Pension Benefit Plans
6268
SECTION 3.13.
Anti-Corruption Laws and Sanctions
6268
SECTION 3.14.
EEA Financial Institutions
6368
ARTICLE IV
CONDITIONS OF LENDING
SECTION 4.01.
All Extensions of Credit
6368
SECTION 4.02.
Effective Date
6469
SECTION 4.03.
First Borrowing by Each Borrowing Subsidiary
6570
ARTICLE V
AFFIRMATIVE COVENANTS
SECTION 5.01.
Existence
6671
SECTION 5.02.
Business and Properties
6671
SECTION 5.03.
Financial Statements, Reports, etc
6671
SECTION 5.04.
Insurance
6772
SECTION 5.05.
Obligations and Taxes
6773
SECTION 5.06.
Litigation and Other Notices
6773
SECTION 5.07.
Maintaining Records; Access to Properties and Inspections
6873
SECTION 5.08.
Use of Proceeds
6873
SECTION 5.09.
Guarantee Requirement
6873
ARTICLE VI
NEGATIVE COVENANTS
SECTION 6.01.
Priority Indebtedness
6974
SECTION 6.02.
Liens
7075
SECTION 6.03.
Sale and Lease‑Back Transactions
7176
SECTION 6.04.
Fundamental Changes
7177
SECTION 6.05.
Restrictive Agreements
7177
SECTION 6.06.
Interest Coverage Ratio
7278
SECTION 6.07.
Leverage Ratio
7278
ARTICLE VII
EVENTS OF DEFAULT
ARTICLE VIII
THE ADMINISTRATIVE AGENT
ARTICLE IX
GUARANTEE
SECTION 9.01.
Guarantee
7783
ARTICLE X
MISCELLANEOUS
SECTION 10.01.
Notices
7985
SECTION 10.02.
Survival of Agreement
8186
SECTION 10.03.
Binding Effect
8186
SECTION 10.04.
Successors and Assigns
8187
SECTION 10.05.
Expenses; Indemnity
8490
SECTION 10.06.
APPLICABLE LAW
8691
SECTION 10.07.
Waivers; Amendment
8691
SECTION 10.08.
Entire Agreement
8792
SECTION 10.09.
Severability
8793
SECTION 10.10.
Counterparts
8793
SECTION 10.11.
Headings
8793
SECTION 10.12.
Right of Setoff
8793
SECTION 10.13.
JURISDICTION; CONSENT TO SERVICE OF PROCESS
8893
SECTION 10.14.
WAIVER OF JURY TRIAL
8894
SECTION 10.15.
Borrowing Subsidiaries
8994
SECTION 10.16.
Conversion of Currencies
9095
SECTION 10.17.
USA PATRIOT Act
9096
SECTION 10.18.
No Fiduciary Relationship
9096
SECTION 10.19.
Non-Public Information
9096
SECTION 10.20.
Release of Subsidiary Guarantees
9197
SECTION 10.21.
Permitted Reorganization
9197
SECTION 10.22.
Acknowledgement and Consent to Bail-In of EEA Financial Institutions
9399
EXHIBITS
Exhibit A-1
Form of Competitive Bid Request
Exhibit A-2
Form of Notice of Competitive Bid Request
Exhibit A-3
Form of Competitive Bid
Exhibit A-4
Form of Competitive Bid Accept/Reject Letter
Exhibit A-5
Form of Revolving Borrowing Request
Exhibit A-6
Form of Swingline Borrowing Request
Exhibit B
Form of Assignment and Assumption
Exhibit C-1
Form of Opinion of Fried, Frank, Harris, Shriver & Jacobson LLP, Counsel for ITT Corporation
Exhibit C-2
Form of Opinion of Lori Marino, Chief CorporateVice President, Deputy General Counsel and Corporate Secretary of ITT Corporation
Exhibit D-1 Form of Borrowing Subsidiary Agreement
Exhibit D-2 Form of Borrowing Subsidiary Termination
Exhibit E Form of Issuing Bank Agreement
Exhibit F Form of Note
Exhibit G Form of US Tax Certificate
SCHEDULES
Schedule 1.01 Existing Letters of Credit
Schedule 2.01 Commitments
Schedule 2.23 Swingline Lenders and Swingline Commitments
Schedule 6.01 Existing Indebtedness
Schedule 6.02 Existing Liens
Schedule 6.05 Existing Restrictive Agreements
FIVE-YEAR COMPETITIVE ADVANCE AND REVOLVING CREDIT FACILITY AGREEMENT dated as of November 25, 2014 (as it may be amended, supplemented or otherwise modified, the “Agreement”) dated as of November 25, 2014,, among ITT INC. (f/k/a ITT CORPORATION), an Indiana corporation (the “Company”); each Borrowing Subsidiary party hereto; the lenders listed in Schedule 2.01 (together with their successors and permitted assigns, the “Lenders”); and JPMORGAN CHASE BANK, N.A., as Administrative Agent.
The Lenders have been requested to extend credit to the Borrowers (such term and each other capitalized term used but not otherwise defined herein having the meaning assigned to it in Article I) to enable the Borrowers (a) to borrow on a standby revolving credit basis on and after the date hereof and at any time and from time to time prior to the Maturity Date a principal amount that will not result in the Aggregate Credit Exposure exceeding $500,000,000 at any time outstanding and, (b) to request the issuance of Letters of Credit for the accounts of the Borrowers that will not result in the L/C Exposure exceeding $100,000,000 at any time outstanding and (c) to borrow Swingline Loans on and after the Second Amendment Effective Date and at any time and from time to time prior to the Maturity Date in a principal amount that will not result in the Swingline Exposure exceeding $500,000,000 at any time outstanding. The Lenders have also been requested to provide procedures pursuant to which the Borrowers may invite the Lenders to bid on an uncommitted basis on short-term borrowings by the Borrowers. The proceeds of such borrowings are to be used for working capital and other general corporate purposes and to repay any amounts outstanding under the Existing Credit Agreement. The Letters of Credit shall support payment obligations incurred in the ordinary course of business by the Borrowers. The Lenders are willing to extend credit on the terms and subject to the conditions herein set forth.
Accordingly, the parties hereto agree as follows:
ARTICLE 1
DEFINITIONS
SECTION 1.01. Defined Terms. As used in this Agreement, the following terms shall have the meanings specified below:
“ABR Borrowing” shall mean a Revolving Borrowing comprised of ABR Loans.
“ABR Loan” shall mean any Revolving Loan bearing interest at a rate determined by reference to the Alternate Base Rate in accordance with the provisions of Article II.
“Accession Agreement” shall have the meaning assigned to such term in Section 2.12(e).
“Administrative Agent” shall mean JPMCB, in its capacity as administrative agent for the Lenders hereunder and under the other Loan Documents, or any successor appointed in accordance with Article VIII. Unless the context requires
1
otherwise, the term “Administrative Agent” shall include any Affiliate of JPMCB through which JPMCB shall determine to perform any of its obligations in such capacity hereunder in accordance with Article VIII.
“Administrative Fees” shall have the meaning assigned to such term in Section 2.07(b).
“Adjusted LIBO Rate” means, with respect to any LIBOR Borrowing (including any notional LIBOR Borrowing of one month referred to in the definition of the term “Alternate Base Rate”) for any Interest Period, an interest rate per annum (rounded upwards, if necessary, to the next 1/100 of 1%) equal to (a) the LIBO Rate for such Interest Period multiplied by (b) the Statutory Reserve Rate.
“Administrative Questionnaire” shall mean an Administrative Questionnaire in the form supplied by the Administrative Agent.
“Affiliate” shall mean, when used with respect to a specified Person, another Person that directly or indirectly controls or is controlled by or is under common control with the Person specified.
“Aggregate Credit Exposure” shall mean the aggregate amount of all the Lenders’ Credit Exposures; provided that for purposes of this definition, the Swingline Exposure of any Lender that is a Swingline Lender shall be deemed to be its Applicable Share of the Dollar Equivalents of the aggregate principal amount of all Swingline Loans outstanding at such time, adjusted to give effect to any reallocation under Section 2.22 of the Swingline Exposures of Defaulting Lenders in effect at such time.
“Agreement” shall have the meaning assigned to such term in preamble.
“Agreement Currency” shall have the meaning assigned to such term in Section 10.16(b).
“Alternate Base Rate” shall mean, for any day, a rate per annum (rounded upwards, if necessary, to the next 1/16 of 1%) equal to the greatest of (a) the Prime Rate in effect on such day, (b) the Federal Funds Effective Rate in effect on such day plus ½ of 1% per annum and (c) the Adjusted LIBO Rate (which, for the avoidance of doubt, shall not include the Applicable Percentage with respect to Eurocurrency Loans) on such day (or if such day is not a Business Day, the immediately preceding Business Day) for a deposit in dollars with a maturity of one month plus 1% per annum; provided that if such rate shall be less than 1%, such rate shall be deemed to be 1%. For purposes hereof, “Prime Rate” shall mean the rate of interest per annum publicly announced from time to time by the Administrative Agent as its prime rate in effect at its principal office in New York City; each change in the Prime Rate shall be effective on the date such change is publicly announced as effective; provided that if such rate shall be less than zero, such rate shall be deemed to be zero. “Federal Funds Effective Rate” shall mean, for any day, the weighted average of the rates on overnight Federal funds transactions with members of the Federal Reserve System, as released on the next succeeding
2
Business Day by the Federal Reserve Bank of New York, or, if such rate is not so released for any day which is a Business Day, the arithmetic average (rounded upwards to the next 1/100th of 1%), as determined by the Administrative Agent, of the quotations for the day of such transactions received by the Administrative Agent from three Federal funds brokers of recognized standing selected by it; provided that if such rate shall be less than zero, such rate shall be deemed to be zero. If for any reason the Administrative Agent shall have determined (which determination shall be conclusive absent manifest error) that it is unable to ascertain the Federal Funds Effective Rate for any reason, including the inability or failure of the Administrative Agent to obtain sufficient quotations in accordance with the terms thereof, the Alternate Base Rate shall be determined without regard to clause (b) of the first sentence of this definition until the circumstances giving rise to such inability no longer exist. For purposes of clause (c) above, the Adjusted LIBO Rate on any day shall be based on the rate per annum appearing on the applicable Reuters screen page (currently page LIBOR01) displaying interest rates for dollar deposits in the London interbank market (or, in the event such rate does not appear on a page of the Reuters screen, on the appropriate page of such other information service that publishes such rate as shall be selected by the Administrative Agent from time to time in its reasonable discretion) at approximately 11:00 a.m., London time, on such day for deposits in dollars with a maturity of one month; provided that if such rate shall be less than zero, such rate shall be deemed to be zero. Any change in the Alternate Base Rate due to a change in the Prime Rate, the Federal Funds Effective Rate or the Adjusted LIBO Rate shall be effective on the effective date of such change in the Prime Rate, the Federal Funds Effective Rate, or the Adjusted LIBO Rate, respectively.
“Alternative Currency” shall mean Euro and Sterling.
“Alternative Currency Loan” shall mean any Revolving Loan denominated in an Alternative Currency.
“Anti-Corruption Laws” shall mean all laws, rules, and regulations of any jurisdiction applicable to the Company or the Subsidiaries from time to time concerning or relating to bribery, corruption or money laundering.
“Applicable Percentage” shall mean on any date, with respect to LIBOR Loans, EURIBOR Loans, Euro Overnight Rate Loans, ABR Loans, the Facility Fee or the L/C Participation Fee, as the case may be, the applicable percentage set forth below under the caption “LIBO/EURIBO/Euro Overnight Rate Spread,” “Alternate Base Rate Spread”, “Facility Fee Percentage” or “L/C Participation Fee Percentage,” as the case may be, based upon the Ratings in effect on such date:
LIBO/EURIBO/ Euro Overnight Rate Spread
Alternate Base Rate Spread
Facility Fee Percentage
L/C Participation Fee Percentage
Category 1
Baa1 or higher by Moody’s;
BBB+ or higher by S&P;
BBB+ or higher by Fitch
1.000%
0.000%
0.125%
1.000%
3
Category 2
Baa2 by Moody’s;
BBB by S&P;
BBB by Fitch
1.100%
0.100%
0.150%
1.100%
Category 3
Baa3 by Moody’s;
BBB- by S&P;
BBB- by Fitch
1.300%
0.300%
0.200%
1.300%
Category 4
Ba1 by Moody’s;
BB+ by S&P;
BB+ by Fitch
1.500%
0.500%
0.250%
1.500%
Category 5
Lower than Ba1 by Moody’s;
Lower than BB+ by S&P;
Lower than BB+ by Fitch
1.650%
0.650%
0.350%
1.650%
For purposes of the foregoing: (a) if Fitch shall for any reason not have a Rating in effect, then the LIBO/EURIBO/Euro Overnight Rate Spread, Alternate Base Rate Spread, Facility Fee Percentage and L/C Participation Fee Percentage shall be determined by reference to the Rating or Ratings remaining available or deemed to be available as provided below (and Fitch will not be deemed to have a Rating available), (b) if either Moody’s or S&P shall merge with or into or be acquired by another Rating Agency, or shall cease to be in the business of rating corporate debt obligations, or shall otherwise cease to have a Rating in effect notwithstanding the Company’s use of commercially reasonable efforts to cause such a Rating to be maintained in effect, then the LIBO/EURIBO/Euro Overnight Rate Spread, Alternate Base Rate Spread, Facility Fee Percentage and L/C Participation Fee Percentage shall be determined by reference to the Rating of the other such Rating Agency; (c) if either Moody’s or S&P shall not have a Rating in effect for a reason other than one of the reasons set forth in the preceding clause (b), such Rating Agency shall be deemed to have a Rating available and such Rating shall be deemed to be in Category 5; (d) if the Ratings available or deemed to be available shall fall in different Categories, then (i) if Ratings are available or deemed to be available from all three Rating Agencies, the LIBO/EURIBO/Euro Overnight Rate Spread, Alternate Base Rate Spread, Facility Fee Percentage and L/C Participation Fee Percentage shall be determined by reference to the highest Category achieved or exceeded by at least two of the three Ratings and (ii) if Ratings are available or deemed to be available from only two Rating Agencies, the LIBO/EURIBO/Euro Overnight Rate Spread, Alternate Base Rate Spread, Facility Fee Percentage and L/C Participation Fee Percentage shall be determined by reference to the higher of the two Ratings or, if the Ratings differ by more than one Category, the Category one level below that corresponding to the higher of the two Ratings, (e) if a Rating is available or deemed to be available from only one Rating Agency, the LIBO/EURIBO/Euro Overnight Rate Spread, Alternate Base Rate Spread, Facility Fee Percentage and L/C Participation Fee Percentage shall be determined by reference to that Rating; and (f) if any Rating shall be changed (other than as a result of a change in the rating system of the applicable Rating Agency), such change shall be effective as of the date on which it is first announced by the Rating Agency making such change. Each change in the Applicable Percentage shall
4
apply to all outstanding LIBO/EURIBOLIBOR Loans, EURIBOR Loans, Euro Overnight Rate Loans and ABR Loans and to L/C Participation Fees and Facility Fees accruing during the period commencing on the effective date of such change and ending on the date immediately preceding the effective date of the next such change. If the rating system of any Rating Agency shall change, the parties hereto shall negotiate in good faith to amend the references to specific ratings in this definition to reflect such changed rating system and, pending the effectiveness of any such amendment, the Applicable Percentage shall be determined by reference to the Rating most recently in effect from such Rating Agency prior to such change.
“Applicable Share” of any Lender at any time shall mean the percentage of the Total Commitment represented by such Lender’s Commitment; provided that in the case of Section 2.22 when a Defaulting Lender shall exist, “Applicable Share” shall mean the percentage of the Total Commitments (disregarding any Defaulting Lender’s Commitment) represented by such Lender’s Commitment. If the Commitments shall be terminated pursuant to Article VII, the Applicable Shares of the Lenders shall be based upon the Commitments in effect, giving effect to any assignments and to any Revolving Lender’s status as a Defaulting Lender at the time of determination.
“Approved Fund” means any Person (other than a natural person) that is engaged in making, purchasing, holding or investing in commercial loans and similar extensions of credit in the ordinary course and that is administered or managed by (a) a Lender, (b) an Affiliate of a Lender or (c) an entity or an Affiliate of an entity that administers or manages a Lender.
“Assignment and Assumption” shall mean an Assignment and Assumption entered into by a Lender and an assignee in the form of Exhibit B.
“Bail-In Action” shall mean, as to any EEA Financial Institution, the exercise of any Write-Down and Conversion Powers by the applicable EEA Resolution Authority in respect of any liability of such EEA Financial Institution.
“Bail-In Legislation” shall mean, with respect to any EEA Member Country implementing Article 55 of Directive 2014/59/EU of the European Parliament and of the Council of the European Union, the implementing law for such EEA Member Country from time to time that is described in the EU Bail-In Legislation Schedule.
“Bankruptcy Event” shall mean, with respect to any Person, that such Person becomes the subject of a bankruptcy or insolvency proceeding, or has had a receiver, conservator, trustee, administrator, custodian, assignee for the benefit of creditors or similar Person charged with the reorganization or liquidation of its business appointed for it, or in the good faith judgment of the Administrative Agent has consented to, approved of, or acquiesced in any such proceeding or appointment, provided that a Bankruptcy Event shall not result solely by virtue of (a) any ownership interest or the acquisition of any ownership interest in, or the exercise of control over, such Person by a Governmental Authority or instrumentality thereof or (b) in the case of a solvent Lender organized under the laws of The Netherlands, the precautionary appointment of an administrator, guardian, custodian or other similar official by a Governmental Authority or instrumentality thereof, under or based on the law of the country where such Lender is
5
subject to home jurisdiction supervision, if applicable law requires that such appointment not be publicly disclosed, provided, further, in each such case, that such ownership interest or such action, as applicable, does not result in or provide such Person with immunity from the jurisdiction of courts within the United States or from the enforcement of judgments or writs of attachment on its assets or permit such Person (or such Governmental Authority or instrumentality) to reject, repudiate, disavow or disaffirm its obligations hereunder.
“Board” shall mean the Board of Governors of the Federal Reserve System of the United States.
“Board of Directors” shall mean the Board of Directors of a Borrower or any duly authorized committee thereof.
“Borrower” shall mean the Company or any Borrowing Subsidiary.
“Borrowing” shall mean (a) Revolving Loans or Competitive Loans of the same Type and currency, made by the Lenders (or, in the case of a Competitive Borrowing, by the Lender or Lenders whose Competitive Bids have been accepted pursuant to Section 2.03), converted or continued on the same date and, in the case of Eurocurrency Loans, as to which a single Interest Period is in effect.“Borrowing Date” shall mean any date on which a Borrowing is made or a Letter of Credit issued hereunder and (b) a Swingline Loan.
“Borrowing Minimum” shall mean (a) in the case of a Borrowing denominated in Dollars, US$5,000,000 and (b) in the case of a Borrowing denominated in any Alternative Currency, the smallest amount of such Alternative Currency that is a multiple of 1,000,000 units of such currency that has a Dollar Equivalent of US$5,000,000 or more.
“Borrowing Multiple” shall mean (a) in the case of a Borrowing denominated in Dollars, US$1,000,000 and (b) in the case of a Borrowing denominated in any Alternative Currency, 1,000,000 units of such currency.
“Borrowing Subsidiary” shall mean (a) the Initial Borrowing Subsidiary and (b) any other Subsidiary that shall have become a Borrowing Subsidiary as provided in Section 10.15, in each case, other than any Subsidiary that shall have ceased to be a Borrowing Subsidiary as provided in Section 10.15.
“Borrowing Subsidiary Agreement” shall mean an agreement in the form of Exhibit D-1 hereto duly executed by the Company and a Subsidiary.
“Borrowing Subsidiary Termination” shall mean an agreement in the form of Exhibit D-2 hereto duly executed by the Company and a Borrowing Subsidiary.
“Business Day” shall mean any day (other than a day which is a Saturday, Sunday or legal holiday in the State of New York) on which banks are open for business in New York City; provided, however, that, (a) when used in connection with a LIBOR Loan denominated in any currency or a Euro Overnight Rate Loan, the term “Business
6
Day” shall also exclude any day on which banks are not open for dealings in deposits denominated in suchthe applicable currency in the London interbank market, (b) when used in connection with a EURIBOR Loan, the term “Business Day” shall also exclude any day on which the TARGET payment system is not open for the settlement of payments in Euro, and (c) when used in connection with determining any date on which any amount is to be paid or made available in a Non-US Currency, the term “Business Day” shall also exclude any day on which commercial banks and foreign exchange markets are not open for business in the principal financial center in the country of such Non-US Currency or Frankfurt, Germany if such Non-US Currency is the Euro.
“Capital Lease Obligations” of any Person shall mean the obligations of such Person to pay rent or other amounts under any lease of (or other arrangement conveying the right to use) real or personal property, or a combination thereof, which obligations are required to be classified and accounted for as capital leases on a balance sheet of such Person under GAAP; the amount of such obligations shall be the capitalized amount thereof determined in accordance with GAAP, and the final maturity of such obligations shall be the date of the last payment of such or any other amounts due under such lease (or other arrangement) prior to the first date on which such lease (or other arrangement) may be terminated by the lessee without payment of a premium or a penalty.
“CFC” shall mean (a) each Person that is a “controlled foreign corporation” for purposes of the Code and (b) each subsidiary of any such controlled foreign corporation.
“CFC Holdco” shall mean a Subsidiary that has no material assets other than Equity Interests in one or more CFCs.
A “Change in Control” shall be deemed to have occurred if (a) any Person or group of Persons (other than the New Holding Company pursuant to a Permitted Reorganization) shall have acquired beneficial ownership of more than 30% of the outstanding Voting Shares of the Company (within the meaning of Section 13(d) or 14(d) of the Exchange Act and the applicable rules and regulations thereunder), or (b) during any period of 12 consecutive months, commencing after the Effective Date, individuals who on the first day of such period were directors of the Company (together with any replacement or additional directors who were nominated or elected by a majority of directors then in office) cease to constitute a majority of the Board of Directors of the Company.
“Change in Law” shall mean the occurrence, after the date of this Agreement, of any change in applicable law or regulation or in the interpretation, promulgation, implementation or administration thereof by any Governmental Authority charged with the interpretation or administration thereof (whether or not having the force of law); provided that, notwithstanding anything herein to the contrary, (i) the Dodd-Frank Wall Street Reform and Consumer Protection Act and all requests, rules, guidelines or directives thereunder or issued in connection therewith and (ii) all requests, rules, guidelines or directives promulgated by the Bank for International Settlements, the Basel Committee on Banking Supervision (or any successor or similar authority) or the United States or foreign regulatory authorities, in each case pursuant to Basel III, shall in
7
each case be deemed to be a “Change in Law”, regardless of the date enacted, adopted, promulgated or issued.
“Class”, when used in reference to (a) any Loan or Borrowing, refers to whether such Loan, or the Loans comprising such Borrowing, are Revolving Loans or, Competitive Loans or Swingline Loans.
“Closing Date” shall mean the date on which executed counterparts of this Agreement shall have been delivered by the parties hereto. In the event such executed counterparts shall be held under any escrow arrangement pending the effectiveness of this Agreement, the Closing Date shall be the date on which this Agreement, fully executed by the parties hereto, shall be delivered by the escrow or similar agent to the Company and the Administrative Agent.
“Code” shall mean the Internal Revenue Code of 1986, as the same may be amended from time to time, and the Treasury regulations promulgated thereunder.
“Commitment” shall mean, with respect to each Lender, the commitment of such Lender hereunder as set forth in Schedule 2.01 under the heading “Commitment” or in an Assignment and Assumption delivered by such Lender under Section 10.04, as such Commitment may be permanently terminated, reduced or increased from time to time pursuant to Section 2.12 or pursuant to one or more assignments under Section 10.04. The Commitment of each Lender shall automatically and permanently terminate on the Maturity Date if not terminated earlier pursuant to the terms hereof.
“Communications” means, collectively, any notice, demand, communication, information, document or other material provided by or on behalf of the Company pursuant to any Loan Document or the transactions contemplated therein that is distributed to the Administrative Agent or any Lender by means of electronic communications pursuant to Section 10.01, including through the Platform.
“Company” shall have the meaning assigned to such term in preamble.
“Competitive Bid” shall mean an offer by a Lender to make a Competitive Loan pursuant to Section 2.03.
“Competitive Bid Accept/Reject Letter” shall mean a notification made by a Borrower pursuant to Section 2.03(d) in the form of Exhibit A-4.
“Competitive Bid Rate” shall mean, as to any Competitive Bid, (i) in the case of a Eurocurrency Loan, the Margin, and (ii) in the case of a Fixed Rate Loan, the fixed rate of interest offered by the Lender making such Competitive Bid.
“Competitive Bid Request” shall mean a request made pursuant to Section 2.03(a) in the form of Exhibit A-1.
“Competitive Borrowing” shall mean a Borrowing consisting of a Competitive Loan or concurrent Competitive Loans from the Lender or Lenders whose
8
Competitive Bids for such Borrowing have been accepted under the bidding procedure described in Section 2.03.
“Competitive Loan” shall mean a Lloan made pursuant to the bidding procedure described in Section 2.03. Each Competitive Loan shall be a Eurocurrency Competitive Loan or a Fixed Rate Loan and will be denominated in either Dollars or a Non-US Currency.
“Competitive Loan Exposure” shall mean, with respect to any Lender at any time, the sum of (a) the aggregate principal amount of all outstanding Competitive Loans denominated in Dollars made by such Lender and (b) the sum of the Dollar Equivalents of the principal amounts of all outstanding Competitive Loans denominated in Non-US Currencies made by such Lender, determined on the basis of the applicable Exchange Rates in effect on the respective dates of the Competitive Bid Requests pursuant to which such Competitive Loans were made.
“Confidential Information Memorandum” shall mean the Confidential Information Memorandum dated November 4, 2014 related to the credit facilities established by this Agreement.
“Connection Income Taxes” means Other Connection Taxes that are imposed on or measured by net income (however denominated) or that are franchise Taxes or branch profits Taxes.
“Consenting Lender” shall have the meaning assigned to such term in Section 2.12(d).
“Consolidated EBITDA” shall mean, for any period, Consolidated Net Income for such period, plus (a) without duplication and to the extent deducted in determining such Consolidated Net Income, the sum of (i) Consolidated Interest Expense for such period, (ii) consolidated income tax expense for such period, (iii) all amounts attributable to depreciation for such period and amortization of intangible and capitalized assets for such period, (iv) any losses during such period attributable to the disposition of assets other than in the ordinary course of business, (v) any other extraordinary, unusual or non-recurring non-cash charges for such period, (vi) any non-cash expenses for such period resulting from the grant of stock options or other equity-based incentives to any director, officer or employee of the Company or any Subsidiary, (vii) any losses attributable to early extinguishment of Indebtedness or obligations under any Hedging Agreement, (viii) any unrealized non-cash losses for such period attributable to accounting in respect of Hedging Agreements, (ix) any non-cash asbestos-related charges, (x) any repositioning, realignment and restructuring costs in an aggregate amount during any period of four consecutive fiscal quarters not to exceed $25,000,000, and (xi) any acquisition-related expenses, and minus (b) without duplication and to the extent included in determining such Consolidated Net Income, (i) any gains during such period attributable to the disposition of assets other than in the ordinary course of business, (ii) any other extraordinary non-cash gains for such period, (iii) any gains attributable to the early extinguishment of Indebtedness or obligations under any Hedging Agreement, (iv) any unrealized non-cash gains for such period attributable to accounting in respect of Hedging Agreements, (v) the cumulative effect of changes in
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accounting principles, and (vi) any cash payments made during such period with respect to noncash items added back (or that would have been added back had this Agreement been in effect) in computing Consolidated EBITDA for any prior period, including those under clause (a)(ix) above. For purposes of calculating Consolidated EBITDA for any period to determine the Leverage Ratio, if during such period the Company or any Subsidiary shall have consummated a Material Acquisition or a Material Disposition, Consolidated EBITDA for such period shall be calculated after giving pro forma effect thereto in accordance with Section 1.03(b).
“Consolidated Interest Expense” shall mean, for any period, the interest expense (including imputed interest expense in respect of Capital Lease Obligations) of the Company and its consolidated Subsidiaries for such period, determined on a consolidated basis in accordance with GAAP. Consolidated Interest Expense for any period during which the Company or any Subsidiary shall have consummated a Material Acquisition or a Material Disposition shall be calculated after giving pro forma effect thereto in accordance with Section 1.03(b).
“Consolidated Net Income” shall mean, for any period, the net income or loss of the Company and its consolidated Subsidiaries for such period, determined on a consolidated basis in accordance with GAAP.
“Consolidated Net Tangible Assets” shall mean at any time the total of all assets appearing on the most recent consolidated balance sheet of the Company and its Subsidiaries delivered under Section 5.03(a) or (b) (or, prior to the delivery of any such balance sheet, the most recent pro forma balance sheet referred to in Section 3.05(c)), less the sum of the following items as shown on such consolidated balance sheet:
(i) the book amount of all segregated intangible assets, including such items as good will, trademarks, trademark rights, trade names, trade name rights, copyrights, patents, patent rights and licenses and unamortized debt discount and expense less unamortized debt premium;
(ii) all depreciation, valuation and other reserves;
(iii) current liabilities;
(iv) any minority interest in the shares of stock (other than Preferred Stock) and surplus of Subsidiaries; and
(v) deferred income and deferred liabilities.
“Consolidated Total Indebtedness” shall mean, as of any date, the aggregate principal amount of Indebtedness of the Company and the Subsidiaries outstanding as of such date, determined on a consolidated basis in accordance with GAAP; provided that, for purposes of this definition, the term “Indebtedness” shall not include contingent obligations of the Company or any Subsidiary as an account party in respect of any letter of credit or letter of guaranty to the extent such letter of credit or letter of guaranty does not support Indebtedness.
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“Credit Exposure” shall mean, with respect to any Lender at any time, the Dollar Equivalentsum of the Revolving Credit Exposure and the Competitive Loan Exposure of such Lender; provided that for purposes of this definition, the Swingline Exposure of any Lender that is a Swingline Lender shall be deemed to be its Applicable Share of the Dollar Equivalents of the aggregate principal amount at such time of all Swingline Loans outstanding Loans of such Lender, plus the aggregate amount at such time of such Lender’s L/C Exposureat such time, adjusted to give effect to any reallocation under Section 2.22 of the Swingline Exposures of Defaulting Lenders in effect at such time.
“Credit Party” shall mean the Administrative Agent, any Issuing Bank, any Swingline Lender or any other Lender.
“Declining Lender” shall have the meaning assigned to such term in Section 2.12(d).
“Default” shall mean any event or condition which upon notice, lapse of time or both would constitute an Event of Default.
“Defaulting Lender” shall mean any Lender that (a) has failed, within three Business Days of the date required to be funded or paid, to (i) fund any portion of its Loans, (ii) fund any portion of its participations in Letters of Credit or Swingline Loans or (iii) pay over to any Credit Party any other amount required to be paid by it hereunder, unless, in the case of clause (i) above, such Lender notifies the Administrative Agent in writing that such failure is the result of such Lender’s good faith determination that a condition precedent to funding (specifically identified and including the particular default, if any) has not been satisfied or, in the case of clause (iii), such payment is the subject of a good faith dispute, (b) has notified the Company, any other Borrower or any Credit Party in writing, or has made a public statement to the effect, that it does not intend or expect to comply with any of its funding obligations under this Agreement (unless such writing or public statement indicates that such position is based on such Lender’s good faith determination that a condition precedent (specifically identified and including the particular default, if any) to funding a loan under this Agreement cannot be satisfied), (c) has failed, within three Business Days after written request by the Administrative Agent made in good faith to provide a certification in writing from an authorized officer of such Lender that it will comply with its obligations to fund prospective Loans and participations in then outstanding Letters of Credit or Swingline Loans under this Agreement, unless such Lender has notified the Administrative Agent in writing that such failure is the result of such Lender’s good faith determination that a condition precedent to funding (specifically identified and including the particular default, if any) has not been satisfied, provided that such Lender shall cease to be a Defaulting Lender pursuant to this clause (c) upon the Administrative Agent’s receipt of such certification in form and substance reasonably satisfactory to it, or (d) has become the subject of a Bankruptcy Event or a Bail-In Action.
“Designated Hedging Obligations” shall mean all obligations of the Company or any Subsidiary under each Hedging Agreement that (a) is in effect on the Effective Date with a counterparty that is a Lender (or an Affiliate thereof) as of the
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Effective Date or (b) is entered into after the Effective Date with any counterparty that is a Lender (or an Affiliate thereof) at the time such Hedging Agreement is entered into, and, in either case, the obligations under which have been designated as “Designated Hedging Obligations” in a written notice delivered by the Company to the Administrative Agent.
“Documentation Agents” shall mean Barclays Bank PLC, Wells Fargo Bank N.A., U.S. Bank National Association, The Bank of Tokyo-Mitsubishi UFJ, Ltd., The Royal Bank of Scotland plc, and BNP Paribas.
“Dollar Equivalent” shall mean, on any date of determination, (a) with respect to any amount in Dollars, such amount, and (b) with respect to any amount in any Alternative Currency or Non-US Currency, the equivalent in Dollars of such amount, determined by the Administrative Agent pursuant to Section 1.05 using the Exchange Rate with respect to such Alternative Currency or Non-US Currency at the time in effect under the provisions of such Section.
“Dollars” or “$” shall mean lawful money of the United States of America.
“Domestic Subsidiary” shall mean any Subsidiary incorporated or organized under the laws of the United States of America, any State thereof or the District of Columbia, other than any Subsidiary that is a CFC or a CFC Holdco.
“EEA Financial Institution” shall mean (a) any institution established in any EEA Member Country that is subject to the supervision of an EEA Resolution Authority, (b) any entity established in an EEA Member Country that is a parent of an institution described in clause (a) above or (c) any institution established in an EEA Member Country that is a Subsidiary of an institution described in clause (a) or (b) above and is subject to consolidated supervision with its parent.
“EEA Member Country” shall mean any member state of the European Union, Iceland, Liechtenstein and Norway.
“EEA Resolution Authority” shall mean any public administrative authority or any Person entrusted with public administrative authority of any EEA Member Country (including any delegee) having responsibility for the resolution of any EEA Financial Institution.
“Effective Date” shall mean the first date on which the conditions set forth in Section 4.02 are satisfied.
“Eligible Assignee” means (a) a Lender, (b) an Affiliate of a Lender, (c) an Approved Fund and (d) any other Person, other than, in each case, a natural person, the Company or any Affiliate of the Company.
“Equity Interests” shall mean shares of capital stock, partnership interests, membership interests, beneficial interests or other ownership interests, whether voting or
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nonvoting, in, or interests in the income or profits of, a Person, and any warrants, options or other rights entitling the holder thereof to purchase or acquire any of the foregoing.
“ERISA” shall mean the Employee Retirement Income Security Act of 1974, as the same may be amended from time to time.
“ERISA Affiliate” shall mean any trade or business (whether or not incorporated) that, together with the Company, is treated as a single employer under Section 414(b) or (c) of the Code, or, solely for purposes of Section 302 of ERISA and Section 412 of the Code, is treated as a single employer under Section 414 of the Code.
“ERISA Event” shall mean (a) any “reportable event”, as defined in Section 4043 of ERISA or the regulations issued thereunder, with respect to a Plan other than events for which the 30 days’ notice period has been waived; (b) a failure by any Plan to meet the minimum funding standards (as defined in Section 412 of the Code or Section 302 of ERISA) applicable to such Plan, in each instance, whether or not waived; (c) the filing pursuant to Section 412(c) of the Code or Section 302(c) of ERISA of an application for a waiver of the minimum funding standard with respect to any Plan; (d) the incurrence of any liability under Title IV of ERISA with respect to the termination of any Plan or the withdrawal or partial withdrawal of the Company or any of its ERISA Affiliates from any Plan or Multiemployer Plan; (e) the receipt by the Company or any ERISA Affiliate from the PBGC or a plan administrator of any notice relating to the intention to terminate any Plan or Plans or to appoint a trustee to administer any Plan; (f) the receipt by the Company or any ERISA Affiliate of any notice, or the receipt by any Multiemployer Plan from the Company or any ERISA Affiliate of any notice, that Withdrawal Liability is being imposed or a determination that a Multiemployer Plan is, or is expected to be, insolvent or in reorganization, within the meaning of Title IV of ERISA or in “endangered” or “critical” status (within the meaning of Section 432 of the Code or Section 305 of ERISA); or (g) the occurrence of a “prohibited transaction” with respect to which the Company or any of its Subsidiaries is a “disqualified person” (within the meaning of Section 4975 of the Code), or with respect to which the Company or any such Subsidiary could otherwise be liable.
“EU Bail-In Legislation Schedule” shall mean the EU Bail-In Legislation Schedule published by the Loan Market Association (or any successor person), as in effect from time to time.
“EURIBO Rate” shall mean, with respect to any EURIBOR Borrowing for any Interest Period, the applicable Screen Rate as of the Specified Time on the Quotation Day.
“EURIBOR”, when used in reference to any Loan or Borrowing, refers to whether such Loan, or the Loans comprising such Borrowing, are bearing interest at a rate determined by reference to the EURIBO Rate. EURIBOR Loans shall be denominated in Euro.
“Euro” or “€” means the single currency of the European Union.
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“Euro Overnight Rate” means a rate per annum equal to the London interbank offered rate as administered by the ICE Benchmark Administration (or any other Person that takes over the administration of such rate) for overnight deposits in Euros as displayed on the applicable Reuters screen page (currently LIBOR01 or LIBOR02) (or, in the event such rate does not appear on a page of the Reuters screen, on the appropriate page of such other information service that publishes such rate as shall be selected by the Administrative Agent from time to time in its reasonable discretion) at approximately 11:00 a.m., Local Time, on such day; provided that if such rate shall be less than zero, such rate shall be deemed to be zero for all purposes of this Agreement. When used in reference to any Loan or Borrowing, “Euro Overnight Rate” refers to whether such Loan, or the Loans comprising such Borrowing, shall bear interest at a rate determined by reference to the rate set forth in the first sentence of this definition. Euro Overnight Rate Loans shall be denominated in Euro and may only be Swingline Loans.
“Eurocurrency”, when used in reference to any Loan or Borrowing, means that such Loan or Borrowing is a LIBOR Loan or Borrowing or a EURIBOR Loan or Borrowing, as the context requires. All Revolving Loans and Revolving Borrowings denominated in an Alternative Currency must be Eurocurrency Loans or Borrowings.
“Event of Default” shall have the meaning assigned to such term in Article VII.
“Exchange Act” shall mean the Securities Exchange Act of 1934, as amended.
“Exchange Rate” shall mean, on any date, for purposes of determining the Dollar Equivalent of any other currency, the rate at which such other currency may be exchanged into Dollars, at approximately 10:00 a.m., New York City time, on such date as shown on the Reuters WRLD Page for such currency. In the event that such rate does not appear on the applicable Reuters WRLD Page, (a) the Exchange Rate shall be determined by reference to such other publicly available service for displaying exchange rates as may be agreed upon by the Administrative Agent and the Company, or (b) in the absence of such an agreement, such Exchange Rate shall instead be the arithmetic average of the spot rates of exchange available to the Administrative Agent or one of its Affiliates in the market where its, or its Affiliates’, foreign currency exchange operations in respect of such currency are then being conducted, at approximately 10:00 a.m., New York City time, on such date for the purchase of Dollars for delivery two Business Days later, provided that if at the time of such determination, for any reason, no such spot rate is being quoted, the Administrative Agent may use any reasonable method it deems appropriate to determine such rate.
“Excluded Taxes” shall mean, with respect to any Credit Party (including any assignee of or successor to a Credit Party and any Participant) and any other recipient of any payment to be made by or on account of any obligation of a Borrower under this Agreement or any Loan Documents: (a) Taxes imposed on or measured by net income (however denominated), franchise Taxes, and branch profits Taxes, in each case, (i) imposed as a result of such Credit Party or other recipient being organized under the laws of, or having its principal office or, in the case of any Lender, its applicable lending
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office located in, the jurisdiction imposing such Tax (or any political subdivision thereof) or (ii) that are Other Connection Taxes, (b) in the case of a Lender (other than an assignee pursuant to a request by a Borrower under Section 2.21(b)), any US Federal withholding Taxes resulting from any law in effect on the date such Lender becomes a party to this Agreement (or designates a new lending office) or is attributable to such Lender’s failure to comply with Section 2.20(f) (including as a result of any inaccurate or incomplete documentation), except to the extent that such Lender (or its assignor, if any) was entitled, at the time of designation of a new lending office (or assignment), to receive additional amounts from a Borrower with respect to such withholding Taxes pursuant to Section 2.20(a), and (c) any Taxes imposed with respect to the requirements of FATCA.
“Existing Credit Agreement” shall mean the Four-Year Competitive Advance and Revolving Credit Facility Agreement dated as of October 25, 2011, as amended, among the Company, certain lenders and JPMorgan Chase Bank, N.A., as Administrative Agent.
“Existing Letter of Credit” means each letter of credit previously issued for the account of any Borrower under the Existing Credit Agreement that (a) is outstanding on the Effective Date and (b) is listed on Schedule 1.01.
“Existing Maturity Date” shall have the meaning assigned to such term in Section 2.12(d).
“Facility Fee” shall have the meaning assigned to such term in Section 2.07(a).
“FATCA” means Sections 1471 through 1474 of the Code, as of the date of this Agreement (or any amended or successor version that is substantively comparable and not materially more onerous to comply with), any current or future regulations or official interpretations thereof and any agreement entered into pursuant to Section 1471(b)(1) of the Code, and any fiscal or regulatory legislation, rules or official practices adopted pursuant to any published intergovernmental agreement entered into in connection with the implementation of such Sections of the Code.
“Fees” shall mean the Facility Fee, the Administrative Fees, the L/C Participation Fees, and the Issuing Bank Fees.
“Financial Officer” of any Person shall mean the chief financial officer, principal accounting officer, controller, assistant controller, treasurer, associate or assistant treasurer or director of treasury services of such Person.
“Fitch” shall mean Fitch Ratings, a wholly owned subsidiary of Fimilac, S.A, or any of its successors.
“Fixed Rate Borrowing” shall mean a Borrowing comprised of Fixed Rate Loans.
“Fixed Rate Loan” shall mean any Competitive Loan bearing interest at a fixed percentage rate per annum (the “Fixed Rate”) (expressed in the form of a decimal to
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no more than four decimal places) specified by the Lender making such Loan in its Competitive Bid.
“Foreign Subsidiary” shall mean any Subsidiary that is not a Domestic Subsidiary.
“GAAP” shall mean United States generally accepted accounting principles, applied on a consistent basis.
“Governmental Authority” shall mean the government of the United States of America, any other nation or any political subdivision thereof, whether state or local, and any agency, authority, instrumentality, regulatory body, court, central bank or other entity exercising executive, legislative, judicial, taxing, regulatory or administrative powers or functions of or pertaining to government (including any supra-national body exercising such powers or functions, such as the European Union or the European Central Bank).
“Guaranteed Obligations” shall have the meaning assigned to such term in Section 9.01(a).
“Hedging Agreement” means any agreement with respect to any swap, forward, future or derivative transaction, or any option or similar agreement, involving, or settled by reference to, one or more rates, currencies, commodities, prices of equity or debt securities or instruments, or economic, financial or pricing indices or measures of economic, financial or pricing risk or value, or any similar transaction or combination of the foregoing transactions; provided that no phantom stock or similar plan providing for payments only on account of services provided by current or former directors, officers, employees or consultants of the Company or the Subsidiaries shall be a Hedging Agreement. The “amount” or “principal amount” of the obligations of the Company or any Subsidiary in respect of any Hedging Agreement at any time shall be the maximum aggregate amount (based on mark-to-market values and giving effect to any netting agreements) that the Company or such Subsidiary would be required to pay if such Hedging Agreement were terminated at such time.
“Increasing Lender” shall have the meaning assigned to such term in Section 2.12(e).
“Indebtedness” of any Person shall mean all indebtedness representing money borrowed or the deferred purchase price of property (other than trade accounts payable) or any capitalized lease obligation, which in any case is created, assumed, incurred or guaranteed in any manner by such Person or for which such Person is responsible or liable (whether by agreement to purchase indebtedness of, or to supply funds to or invest in, others or otherwise). For the avoidance of doubt, the term Indebtedness shall not include obligations under Hedging Agreements.
“Indemnified Taxes” means (a) Taxes, other than Excluded Taxes, imposed on or with respect to any payment made by a Borrower under this Agreement and (b) to the extent not otherwise described in (a), Other Taxes.
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“Initial Borrowing Subsidiary” shall mean ITT Industries Luxembourg S.À R.L., a société à responsabilité limitée organized under the laws of Luxembourg.
“Interest Coverage Ratio” shall mean the ratio of (a) Consolidated EBITDA to (b) Consolidated Interest Expense, each as calculated for any period of the four prior consecutive fiscal quarters.
“Interest Payment Date” shall mean (a) with respect to any ABR Loan, the last day of each March, June, September and December, (b) with respect to any Eurocurrency Loan or Fixed Rate Loan, the last day of each Interest Period applicable thereto, and with respect to a Eurocurrency Loan with an Interest Period of more than three months’ duration or a Fixed Rate Loan with an Interest Period of more than 90 days’ duration, each day that would have been an Interest Payment Date for such Loan had successive Interest Periods of three months’ duration or 90 days’ duration, as the case may be, been applicable to such Loan and (c, (c) with respect to any Swingline Loan, the day that such Swingline Loan is required to be repaid and (d) with respect to any Loan, the Maturity Date or the date of any prepayment of such Loan or conversion of such Loan to a Loan of a different Type.
“Interest Period” shall mean (a) as to any Eurocurrency Borrowing, the period commencing on the date of such Borrowing or on the last day of the immediately preceding Interest Period applicable to such Borrowing, as the case may be, and ending on the numerically corresponding day (or, if there is no numerically corresponding day, on the last day) in the calendar month that is 1, 2, 3 or 6 months thereafter, as the applicable Borrower may elect and (b) as to any Fixed Rate Borrowing, the period commencing on the date of such Borrowing and ending on the date specified in the Competitive Bids in which the offers to make the Fixed Rate Loans comprising such Borrowing were extended, which shall not be earlier than seven days after the date of such Borrowing or later than 360 days after the date of such Borrowing; provided, however, that if any Interest Period would end on a day other than a Business Day, such Interest Period shall be extended to the next succeeding Business Day unless, in the case of Eurocurrency Loans only, such next succeeding Business Day would fall in the next calendar month, in which case such Interest Period shall end on the next preceding Business Day. Interest shall accrue from and including the first day of an Interest Period to but excluding the last day of such Interest Period.
“Interpolated Screen Rate” means, with respect to any Eurocurrency Borrowing denominated in any currency for any Interest Period, a rate per annum which results from interpolating on a linear basis between (a) the applicable Screen Rate for the longest maturity for which a Screen Rate is available that is shorter than such Interest Period and (b) the applicable Screen Rate for the shortest maturity for which a Screen Rate is available that is longer than such Interest Period, in each case as of the Specified Time on the Quotation Day.
“IRS” shall mean the United States Internal Revenue Service.
“Issuing Bank” shall mean (a) JPMorgan Chase Bank, N.A., (b) Citibank N.A. , (c) Barclays Bank PLC, (d) Wells Fargo Bank N.A. and (e) each Lender that shall have become an Issuing Bank hereunder as provided in Section 2.05(j) (other than any
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Person that shall have ceased to be an Issuing Bank as provided in Section 2.05(i)), each in its capacity as an issuer of Letters of Credit hereunder. Each Issuing Bank may, in its discretion, arrange for one or more Letters of Credit to be issued by Affiliates of such Issuing Bank, in which case the term “Issuing Bank” shall include any such Affiliate with respect to Letters of Credit issued by such Affiliate (it being agreed that such Issuing Bank shall, or shall cause such Affiliate to, comply with the requirements of Section 2.05 with respect to such Letters of Credit).
“Issuing Bank Agreement” shall mean an agreement in substantially the form of Exhibit E.
“Issuing Bank Fees” shall have the meaning assigned to such term in Section 2.07(c).
“Joint Bookrunners” shall mean the Lead Arrangers.
“JPMCB” shall mean JPMorgan Chase Bank, N.A. and its successors.
“Judgment Currency” shall have the meaning assigned to such term in Section 10.16(b).
“L/C Commitment” means (a) in the case of each of JPMorgan Chase Bank, N.A., Barclays Bank PLC, Citibank N.A. and Wells Fargo Bank N.A., $25,000,000 and (b) in the case of any other Issuing Bank, the amount determined by agreement among the Company, such Issuing Bank and the Administrative Agent and set forth in the Issuing Bank Agreement of such Issuing Bank.
“L/C Disbursement” shall mean a payment or disbursement made by an Issuing Bank pursuant to a Letter of Credit.
“L/C Exposure” shall mean at any time the sum of (a) the aggregate Dollar Equivalents of the aggregate amounts of all outstanding Letters of Credit at such time plus (b) the aggregate Dollar Equivalents of the aggregate amounts of all L/C Disbursements that have not yet been reimbursed at such time. The L/C Exposure of any Lender at any time shall mean its Applicable Share of the aggregate L/C Exposure at such time.
“L/C Participation Fee” shall have the meaning assigned to such term in Section 2.07(c).
“Lead Arrangers” shall mean J.P. Morgan Securities LLC, Citigroup Global Markets IncJPMorgan Chase Bank, N.A., Citibank, N.A., Barclays Bank PLC and Wells Fargo Securities, LLC.
“Letter of Credit” shall mean any standby letter of credit issued pursuant to Section 2.05 and any Existing Letter of Credit.
“Lender Parent” shall mean, with respect to any Lender, any Person as to which such Lender is, directly or indirectly, a subsidiary.
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“Lenders” shall have the meaning assigned to such term in preamble. Unless the context otherwise requires, the term “Lenders” includes each Swingline Lender.
“Leverage Ratio” shall mean, at any time, the ratio of (a) Consolidated Total Indebtedness at such time to (b) Consolidated EBITDA for the most recently ended period of four consecutive fiscal quarters.
“LIBO Rate” shall mean, with respect to any LIBOR Borrowing for any Interest Period, the applicable Screen Rate as of the Specified Time on the Quotation Day.
“LIBOR”, when used in reference to any Loan or Borrowing, refers to whether such Loan, or the Loans comprising such Borrowing, shall bear interest at a rate determined by reference to the LIBO Rate. LIBOR Loans shall be denominated in Dollars or Sterling only.
“Lien” shall mean, with respect to any property or asset, any mortgage, deed of trust, lien, pledge, security interest, charge or other encumbrance on, of, or in such property or asset.
“Loan” shall mean a Competitive Loan or, a Revolving Loan or a Swingline Loan, whether made as a LIBOR Loan, a EURIBOR Loan, a Euro Overnight Rate Loan, an ABR Loan or a Fixed Rate Loan, as permitted hereby.
“Loan Documents” shall mean this Agreement, any guarantee agreement delivered pursuant to Section 5.09, the Letters of Credit, the Borrowing Subsidiary Agreements, any Issuing Bank Agreements, and promissory notes, if any, issued pursuant to Section 10.04(i).
“Loan Parties” shall mean, at any time, the Company, each Borrowing Subsidiary and any Significant Domestic Subsidiary that shall have guaranteed the Obligations pursuant to Section 5.09.
“Local Time” shall mean (a) with respect to a Loan or Borrowing denominated in Dollars, or any L/C Disbursement, New York City time and (b) with respect to a Loan or Borrowing denominated in a currency other than Dollars, London Ttime.
“Margin” shall mean, as to any Eurocurrency Competitive Loan, the margin (expressed as a percentage rate per annum in the form of a decimal to no more than four decimal places) to be added to or subtracted from the LIBO Rate in order to determine the interest rate applicable to such Loan, as specified in the Competitive Bid relating to such Loan.
“Margin Regulations” shall mean Regulations T, U and X of the Board as from time to time in effect, and all official rulings and interpretations thereunder or thereof.
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“Margin Stock” shall have the meaning given such term under Regulation U of the Board.
“Material Acquisition” shall mean any acquisition of (a) Equity Interests in any Person if, after giving effect thereto, such Person will become a Subsidiary or (b) assets comprising all or substantially all the assets of (or all or substantially all the assets constituting a business unit, division, product line or line of business of) any Person; provided that the aggregate consideration therefor (including Indebtedness assumed in connection therewith, all obligations in respect of deferred purchase price (including obligations under any purchase price adjustment but excluding earnout or similar payments) and all other consideration payable in connection therewith (including payment obligations in respect of noncompetition agreements or other arrangements representing acquisition consideration)) exceeds $50,000,000.
“Material Adverse Effect” shall mean an event or condition that has resulted in a material adverse effect on (a) the business, assets, liabilities, operations or financial condition of the Company and its Subsidiaries, taken as a whole, (b) the ability of any Borrower to perform any of its material obligations under any Loan Document or (c) the enforceability of the Lenders’ rights under any Loan Document.
“Material Disposition” shall mean any sale, transfer or other disposition of (a) all or substantially all the issued and outstanding Equity Interests in any Person that are owned by the Company or any Subsidiary or (b) assets comprising all or substantially all the assets of (or all or substantially all the assets constituting a business unit, division, product line or line of business of) any Person; provided that the aggregate consideration therefor (including Indebtedness assumed by the transferee in connection therewith, all obligations in respect of deferred purchase price (including obligations under any purchase price adjustment but excluding earnout or similar payments) and all other consideration payable in connection therewith (including payment obligations in respect of noncompetition agreements or other arrangements representing acquisition consideration)) exceeds $50,000,000.
“Material Indebtedness” shall mean Indebtedness (other than the Loans, Letters of Credit and any guarantees under the Loan Documents), or obligations in respect of one or more Hedging Agreements or Securitization Transactions, of any one or more of the Company and the Subsidiaries in an aggregate principal amount of $75,000,000 or more.
“Maturity Date” shall mean November 25, 2021, as such date may be extended pursuant to Section 2.12(d).
“MNPI” shall mean material information concerning the Company, the Subsidiaries or any Affiliate of any of the foregoing or their securities that has not been disseminated in a manner making it available to investors generally, within the meaning of Regulation FD under the Securities Act and the Exchange Act. For purposes of this definition, “material information” means information concerning the Company, the Subsidiaries or any Affiliate of any of the foregoing, or any of their securities, that could reasonably be expected to be material for purposes of the United States federal and state securities laws.
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“Moody’s” shall mean Moody’s Investors Service, Inc. or any of its successors.
“Multiemployer Plan” shall mean a multiemployer plan as defined in Section 4001(a)(3) of ERISA.
“New Holding Company” shall have the meaning assigned to such term in Section 10.21(a).
“Non-Speculative Hedging Agreements” shall mean (a) Hedging Agreements entered into to hedge or mitigate risks to which the Company or any Subsidiary has actual exposure in the course of its business (other than in respect of Equity Interests or Indebtedness of the Company or any Subsidiary) and (b) Hedging Agreements entered into in order to effectively cap, collar or exchange interest rates (from floating to fixed rates, from one floating rate to another floating rate or otherwise) with respect to any interest-bearing liability or investment of the Company or any Subsidiary.
“Non-US Currency” shall mean any currency other than Dollars that is freely transferable and convertible into Dollars in the London market and as to which an Exchange Rate and LIBO Rates (or in the case of Euro, EURIBO Rates) may be determined.
“Non-US Currency Loan” shall mean any Competitive Loan denominated in a currency other than Dollars.
“Non-US Lender” shall mean a Lender that is not a US Person.
“Notice of Competitive Bid Request” shall mean a notification made pursuant to Section 2.03(a) in the form of Exhibit A-2.
“Obligations” means (a) the due and punctual payment of (i) the principal of and interest (including interest accruing during the pendency of any bankruptcy, insolvency, receivership or other similar proceeding, regardless of whether allowed or allowable in such proceeding) on the Loans, when and as due, whether at maturity, by acceleration, upon one or more dates set for prepayment or otherwise, (ii) each payment required to be made under this Agreement in respect of any Letter of Credit, when and as due, including payments in respect of reimbursement of L/C Disbursements, interest thereon and obligations to provide cash collateral, and (iii) all other monetary obligations of the Company or any Subsidiary under this Agreement and each other Loan Document, including obligations to pay fees, expense reimbursement obligations and indemnification obligations, whether primary, secondary, direct, contingent, fixed or otherwise (including monetary obligations incurred during the pendency of any bankruptcy, insolvency, receivership or other similar proceeding, regardless of whether allowed or allowable in such proceeding), (b) the due and punctual payment of all Designated Hedging Obligations, (c) the due and punctual payment and performance of all other obligations of each Loan Party under any agreement with any Lender for cash management services, including treasury, depository, overdraft, purchasing, credit or debit card, electronic funds transfer and other cash management arrangements, and (d)
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the due and punctual payment and performance of all other obligations of each Loan Party under or pursuant to this Agreement and each of the other Loan Documents.
“Other Connection Taxes” means, with respect to any Credit Party (including any assignee of or successor to a Credit Party and any Participant) and any other recipient of any payment to be made by or on account of any obligation of a Borrower under this Agreement or any Loan Documents, Taxes imposed as a result of a present or former connection between such Credit Party or other recipient, as applicable, and the jurisdiction imposing such Tax (other than connections arising from such Credit Party or other recipient, as applicable, having executed, delivered, become a party to, performed its obligations under, received payments under, received or perfected a security interest under, engaged in any other transaction pursuant to or enforced any Loan Document.
“Other Taxes” shall mean any present or future stamp, court, documentary, intangible, recording, filing or similar Taxes (other than Excluded Taxes) that arise from any payment made under, from the execution, delivery, performance, enforcement or registration of, or from the registration, receipt or perfection of a security interest under this Agreement or any other Loan Document.
“Participant” shall have the meaning assigned to such term in Section 10.04(f).
“Participant Register” has the meaning assigned to such term in Section 10.04(f).
“PBGC” shall mean the Pension Benefit Guaranty Corporation referred to and defined in ERISA and any successor entity performing similar functions.
“Permitted Encumbrances” means:
(a) Liens imposed by law for Taxes that are not yet due or are being contested in compliance with Section 5.05;
(b) carriers’, warehousemen’s, mechanics’, materialmen’s, repairmen’s and other like Liens imposed by law (other than any Lien imposed pursuant to Section 430(k) of the Code or Section 303(k) of ERISA or a violation of Section 436 of the Code), arising in the ordinary course of business and securing obligations that are not overdue by more than 30 days or are being contested in compliance with Section 5.05;
(c) pledges and deposits made (i) in the ordinary course of business in compliance with workers’ compensation, unemployment insurance and other social security laws and (ii) in respect of letters of credit, bank guarantees or similar instruments issued for the account of the Company or any Subsidiary in the ordinary course of business supporting obligations of the type set forth in the preceding clause (i);
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(d) pledges and deposits made (i) to secure the performance of bids, trade contracts, leases, statutory obligations, surety and appeal bonds, performance bonds and other obligations of a like nature, in each case in the ordinary course of business (but excluding obligations constituting Indebtedness) and (ii) in respect of letters of credit, bank guarantees or similar instruments issued for the account of the Company or any Subsidiary in the ordinary course of business supporting obligations described in clause (i) above;
(e) pledges or Liens necessary to secure a stay of any legal or equitable process in a proceeding to enforce a liability or obligation contested in good faith by the Company or a Subsidiary or required in connection with the institution by the Company or a Subsidiary of any legal or equitable proceeding to enforce a right or to obtain a remedy claimed in good faith by the Company or a Subsidiary, or required in connection with any order or decree in any such proceeding or in connection with any contest of any tax or other governmental charge; or the making of any deposit with or the giving of any form of security to any governmental agency or any body created or approved by law or governmental regulation in order to entitle the Company or a Subsidiary to maintain self-insurance or to participate in any fund in connection with workers’ compensation, unemployment insurance, old age pensions or other social security or to share in any provisions or other benefits provided for companies participating in any such arrangement or for liability on insurance of credits or other risks;
(f) judgment liens in respect of judgments that do not constitute an Event of Default under clause (i) of Article VII;
(g) any Lien on property in favor of the United States of America, or of any agency, department or other instrumentality thereof, to secure partial, progress or advance payments pursuant to the provisions of any contract;
(h) easements, zoning restrictions, rights-of-way and similar encumbrances on real property imposed by law or arising in the ordinary course of business that do not secure any monetary obligations and do not materially detract from the value of the affected property or interfere with the ordinary conduct of business of the Company or any Subsidiary;
(i) banker’s liens, rights of setoff or similar rights and remedies as to deposit accounts, securities accounts or other funds maintained with depository institutions or securities intermediaries; provided that such deposit accounts, securities accounts or funds are not established or deposited for the purpose of providing collateral for any Indebtedness and are not subject to restrictions on access by the Company or any Subsidiary in excess of those required by applicable banking or other regulations;
(j) Liens arising by virtue of Uniform Commercial Code financing statement filings (or similar filings under applicable law) regarding operating leases entered into by the Company and the Subsidiaries in the ordinary course of business
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(k) Liens representing any interest or title of a licensor, lessor or sublicensor or sublessor, or a licensee, lessee or sublicensee or sublessee, in the property subject to any lease, license or sublicense or concession agreement;
(l) any Lien affecting property of the Company or any Subsidiary securing Indebtedness of the United States of America or a State thereof (or any instrumentality or agency of either thereof) issued in connection with a pollution control or abatement program required in the opinion of the Company to meet environmental criteria with respect to manufacturing or processing operations of the Company or any Subsidiary and the proceeds of which Indebtedness have financed the cost of acquisition of such program, and renewals or extensions of any such Lien that do not extend to additional assets or increase the amount of the obligations secured thereby; and
(m) contractual rights of set-off not established to secure the payment of Indebtedness.
“Permitted Reorganization” shall mean a transaction described in Section 10.21 pursuant to which the Company becomes a wholly-owned subsidiary of the New Holding Company and the New Holding Company assumes all the obligations of, and becomes, the “Company” hereunder, but only if all the conditions set forth in Section 10.21 shall have been satisfied.
“Person” shall mean any natural person, corporation, limited liability company, business trust, joint venture, association, company, partnership or government, or any agency or political subdivision thereof.
“Plan” shall mean any employee pension benefit plan (other than a Multiemployer Plan) subject to the provisions of Title IV of ERISA or Section 412 of the Code or Section 302 of ERISA sponsored, maintained or contributed to by the Company or any ERISA Affiliate.
“Platform” shall have the meaning assigned to such term in Section 10.01(d).
“Preferred Stock” shall mean any capital stock entitled by its terms to a preference (a) as to dividends or (b) upon a distribution of assets.
“Priority Indebtedness” shall mean, without duplication, (a) all Indebtedness or obligations in respect of one or more Hedging Agreements of any Subsidiary (other than any Significant Domestic Subsidiary that has guaranteed the Obligations as provided in Section 5.09) and (b) (i) all Indebtedness of the Company or any Subsidiary, and all obligations in respect of one or more Hedging Agreements, secured by any Lien on any asset of the Company or any Subsidiary (other than obligations of the Company under Non-Speculative Hedging Agreements that are secured only by cash or cash equivalents), (ii) all obligations of the Company or any Subsidiary under conditional sale or other title retention agreements relating to property acquired by the Company or such Subsidiary (excluding trade accounts payable incurred in the ordinary course of business), (iii) all Capital Lease Obligations of the Company or any
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Subsidiary, (iv) all Securitization Transactions of the Company or any Subsidiary and (v) all Indebtedness of others secured by (or for which the holder of such Indebtedness has an existing right, contingent or otherwise, to be secured by) any Lien on property owned or acquired by the Company or any Subsidiary, whether or not the Indebtedness secured thereby has been assumed by the Company or such Subsidiary.
“Quotation Day” shall mean (a) with respect to any currency (other than Sterling) for any Interest Period, the day two Business Days prior to the first day of such Interest Period and (b) with respect to Sterling for any Interest Period, the first day of such Interest Period, in each case unless market practice differs for loans such as the applicable Loans priced by reference to rates quoted in the relevant interbank market, in which case the Quotation Day for such currency shall be determined by the Administrative Agent in accordance with market practice for such loans priced by reference to rates quoted in the relevant interbank market (and if quotations would normally be given by leading banks for such loans priced by reference to rates quoted in the relevant interbank market on more than one day, the Quotation Day shall be the last of those days).
“Rating Agencies” shall mean Moody’s, S&P and Fitch.
“Ratings” shall mean at any time the public ratings most recently announced by the Rating Agencies for senior, unsecured, non-credit-enhanced (other than by guarantees of Subsidiaries that at the time guarantee the Obligations hereunder) long-term debt (including under this Agreement, whether or not Loans are outstanding at such time) of the Company or, if no senior, unsecured, non-credit enhanced, long-term debt of the Company shall be in effect, the Company’s corporate, issuer or similar ratings.
“Ratings Condition” shall have the meaning given such term in Section 5.09.
“Register” shall have the meaning given such term in Section 10.04(d).
“Regulation D” shall mean Regulation D of the Board as from time to time in effect and all official rulings and interpretations thereunder or thereof.
“Related Parties” shall mean, with respect to any specified Person, such Person’s Affiliates and the directors, officers, partners, trustees, employees, agents and advisors of such Person and of such Person’s Affiliates.
“Reportable Event” shall mean any reportable event as defined in Section 4043 of ERISA or the regulations issued thereunder with respect to a Plan (other than a Plan maintained by an ERISA Affiliate that is considered an ERISA Affiliate only pursuant to subsection (m) or (o) of Code Section 414).
“Required Lenders” shall mean, at any time, Lenders having Commitments representing more than 50% of the Total Commitment or, for purposes of acceleration pursuant to Article VII, Lenders holding Credit Exposures representing more than 50% of the Aggregate Credit Exposure.
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“Responsible Officer” of any Person shall mean any executive officer or Financial Officer of such Person and any other officer or similar official thereof responsible for the administration of the obligations of such Person in respect of this Agreement.
“Revolving Borrowing” shall mean a Borrowing consisting of simultaneous Revolving Loans from each of the Lenders.
“Revolving Borrowing Request” shall mean a request made pursuant to Section 2.04 in the form of Exhibit A-5.
“Revolving Credit Exposure” shall mean, with respect to any Lender at any time, the sum of (a) the Dollar Equivalents of the aggregate principal amount at such time of all outstanding Revolving Loans of such Lender, (b) the L/C Exposure of such Lender at such time and (c) the Swingline Exposure of such Lender of such time.
“Revolving Loans” shall mean the revolving loans made pursuant to Section 2.01 and 2.04. Each Revolving Loan shall be a Eurocurrency Revolving Loan or an ABR Loan.
“S&P” shall mean Standard and Poor’s Ratings Services, a division of The McGraw-Hill Companies, Inc.S&P Global or any of its successors.
“Sanctions” means economic or financial sanctions or trade embargoes imposed, administered or enforced from time to time by the U.S. government, including those administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury or the U.S. Department of State, or by the United Nations Security Council, the European Union or Her Majesty’s Treasury of the United Kingdom.
“Sanctioned Country” means, at any time, a country or territory which is itself the subject or target of any Sanctions (at the date of this Agreement, Cuba, Iran, North Korea, Sudan and Syria).
“Sanctioned Person” means, at any time, (a) any Person listed in any Sanctions-related list of designated Persons maintained by the Office of Foreign Assets Control of the U.S. Department of the Treasury or the U.S. Department of State to the extent that a U.S. Person would be prohibited from engaging in transactions with such Person, or by the United Nations Security Council, the European Union or any EU member state, (b) any Person located, organized or resident in a Sanctioned Country or (c) any Person 50% or more owned by any such Person or Persons.
“Screen Rate” shall mean (a) in respect of the LIBO Rate for any Interest Period, a rate per annum equal to the London interbank offered rate as administered by the ICE Benchmark Administration (or any other Person that takes over the administration of such rate) for deposits in the applicable currency (for delivery on the first day of such Interest Period) with a term equivalent to such Interest Period as displayed on the Reuters screen page that displays such rate (currently LIBOR01 or LIBOR02) (or, in the event such rate does not appear on a page of the Reuters screen, on the appropriate page of such other information service that publishes such rate as shall be
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selected by the Administrative Agent from time to time in its reasonable discretion), and (b) in respect of the EURIBO Rate for any Interest Period, the percentage per annum determined by the Banking Federation of the European Union for such Interest Period as set forth on the Reuters screen page that displays such rate (currently EURIBOR01) (or, in the event such rate does not appear on a page of the Reuters screen, on the appropriate page of such other information service that publishes such rate as shall be selected by the Administrative Agent from time to time in its reasonable discretion); provided that if the Screen Rate, determined as provided above, would be less than zero, the Screen Rate shall for all purposes of this Agreement be zero. If, as to any currency, no Screen Rate shall be available for a particular Interest Period but Screen Rates shall be available for maturities both longer and shorter than such Interest Period, than the Screen Rate for such Interest Period shall be the Interpolated Screen Rate.
“SEC” shall mean the Securities and Exchange Commission.
“Second Amendment” shall mean the Second Amendment dated as of June 1, 2018, among the Company, the Initial Borrowing Subsidiary party thereto, the Lenders (including the Swingline Lenders) party thereto and the Administrative Agent.
“Second Amendment Effective Date” shall mean June 1, 2018.
“Securitization Transaction” shall mean any transfer by the Company or any Subsidiary of accounts receivable or interests therein (a) to a trust, partnership, corporation, limited liability company or other entity, which transfer is funded in whole or in part, directly or indirectly, by the incurrence or issuance by the transferee or successor transferee of Indebtedness or other securities that are to receive payments from, or that represent interests in, the cash flow derived from such accounts receivable or interests therein, or (b) directly to one or more investors or other purchasers. The “amount” or “principal amount” of any Securitization Transaction shall be deemed at any time to be the aggregate principal or stated amount of the Indebtedness or other securities referred to in the first sentence of this definition or, if there shall be no such principal or stated amount, the uncollected amount of the accounts receivable or interests therein transferred pursuant to such Securitization Transaction, net of any such accounts receivable or interests therein that have been written off as uncollectible.
“Significant Domestic Subsidiary” shall mean, at any time, each Domestic Subsidiary other than Domestic Subsidiaries that in the aggregate do not account for more than 10% of the combined revenues (excluding revenues consisting of payments from the Company or any Subsidiary) of the Company and its Domestic Subsidiaries.
“Significant Subsidiary” shall mean, at any time, each Borrower and each subsidiary accounting for more than 5% of the consolidated revenues of the Company for the most recent period of four consecutive fiscal quarters of the Company for which pro forma or historical financial statements of the Company have been delivered prior to the date hereof (as described in Section 3.05(b)) or pursuant to Section 5.03(a) or 5.03(b) or more than 5% of the consolidated total assets of the Company at the end of such period; provided that if at the end of or for any such period of four consecutive fiscal quarters all Subsidiaries that are not Significant Subsidiaries shall account for more than 10% of the
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consolidated revenues of the Company or more than 10% of the consolidated total assets of the Company, the Company shall designate sufficient Subsidiaries as “Significant Subsidiaries” to eliminate such excess (or if the Company shall have failed to designate such Subsidiaries within 10 Business Days, Subsidiaries shall automatically be deemed designated as Significant Subsidiaries in descending order based on the amounts of their contributions to consolidated total assets until such excess shall have been eliminated), and the Subsidiaries so designated or deemed designated shall for all purposes of this Agreement constitute Significant Subsidiaries.
“Specified Time” shall mean (a) with respect to the LIBO Rate, 11:00 a.m., London time, and (b) with respect to the EURIBO Rate, 11:00 a.m., Frankfurt time.
“Statutory Reserve Rate” shall mean a fraction (expressed as a decimal), the numerator of which is the number one and the denominator of which is the number one minus the aggregate of the maximum reserve percentages (including any marginal, special, emergency or supplemental reserves), expressed as a decimal, established by the Board to which the Administrative Agent is subject for eurocurrency funding (currently referred to as “Eurocurrency Liabilities” in Regulation D of the Board). Such reserve percentages shall include those imposed pursuant to such Regulation D. Eurocurrency Loans shall be deemed to constitute eurocurrency funding and to be subject to such reserve requirements without benefit of or credit for proration, exemptions or offsets that may be available from time to time to any Lender under such Regulation D or any comparable regulation. The Statutory Reserve Rate shall be adjusted automatically on and as of the effective date of any change in any reserve percentage.
“Sterling” or “£” shall mean the lawful currency of the United Kingdom.
“subsidiary” shall mean, with respect to any Person (the “parent”), any corporation, association or other business entity of which securities or other ownership interests representing more than 50% of the ordinary voting power are, at the time as of which any determination is being made, owned or controlled by the parent or one or more subsidiaries of the parent or by the parent and one or more subsidiaries of the parent.
“Subsidiary” shall mean a subsidiary of the Company.
“Subsidiary Guarantee Agreement” shall have the meaning given such term in Section 5.09.
“Swingline Borrowing Request” shall mean a request made pursuant to Section 2.23 in the form of Exhibit A-6.
“Swingline Commitment” shall mean, with respect to each Swingline Lender, (a) in the case of any Swingline Lender referred to in clause (a) of the definition of such term, the amount set forth on Schedule 2.23 opposite the name of such Swingline Lender or (b) in the case of any Swingline Lender referred to in clause (b) of the definition of such term, the amount set forth in the written agreement referred to in such clause.
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“Swingline Exposure” shall mean, at any time, the Dollar Equivalents of the aggregate principal amount of all Swingline Loans outstanding at such time. The Swingline Exposure of any Lender at any time shall be the sum of (a) its Applicable Share of the Dollar Equivalents of the aggregate principal amount of all Swingline Loans outstanding at such time (excluding, in the case of any Lender that is a Swingline Lender, Swingline Loans made by it and outstanding at such time to the extent that the other Lenders shall not have funded their participations in such Swingline Loans), adjusted to give effect to any reallocation under Section 2.22 of the Swingline Exposures of Defaulting Lenders in effect at such time, and (b) in the case of any Lender that is a Swingline Lender, the Dollar Equivalents of the aggregate principal amount of all Swingline Loans made by such Swingline Lender and outstanding at such time to the extent that the other Lenders shall not have funded their participations in such Swingline Loans.
“Swingline Lender” shall mean (a) each Person listed on Schedule 2.23, in its capacity as a lender of Swingline Loans hereunder and (b) any other Lender that shall have agreed to serve in such capacity pursuant to a written agreement executed by the Company, the applicable Lender and the Administrative Agent (including any such agreement referred to in Section 2.23(d)). Any Swingline Lender may perform any of its obligations in its capacity as such through one or more of its Affiliates.
“Swingline Loan” shall mean a loan made pursuant to Section 2.23.
“Syndication Agent” shall mean Citigroup Global Markets Inc.
“TARGET” shall mean the Trans-European Automated Real Time Gross Settlement Express Transfer (TARGET) payment system.
“Taxes” shall mean any present or future taxes, levies, imposts, duties, deductions, withholdings, assessments, fees or other charges imposed by any Governmental Authority, including any interest, additions to tax or penalties applicable thereto.
“Total Commitment” shall mean, at any time, the aggregate amount of Commitments of all the Lenders, as in effect at such time.
“Transactions” shall have the meaning assigned to such term in Section 3.02.
“Type”, when used in respect of any Loan or Borrowing, shall refer to the Rate by reference to which interest on such Loan or on the Loans comprising such Borrowing is determined. For purposes hereof, “Rate” shall include the Adjusted LIBO Rate, LIBO Rate, the EURIBO Rate, the Euro Overnight Rate, the Alternate Base Rate, the Competitive Bid Rate and the Fixed Rate.
“USA PATRIOT Act” shall mean the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001.
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“US Person” shall mean a “United States person” within the meaning of Section 7701(a)(30) of the Code.
“US Tax Certificate” has the meaning assigned to such term in Section 2.20(f)(ii)(D)(2).
“VAT” shall mean (a) any Tax imposed in compliance with the Council Directive of 28 November 2006 on the common system of value added tax (EC Directive 2006/112) and (b) any other Tax of a similar nature, whether imposed in a member state of the European Union in substitution for, or levied in addition to, such Tax referred to in clause (a) of this definition, or imposed elsewhere.
“VAT Recipient” shall have the meaning assigned to such term in Section 2.20(i).
“VAT Relevant Party” shall have the meaning assigned to such term in Section 2.20(i).
“VAT Supplier” shall have the meaning assigned to such term in Section 2.20(i) of the Credit Agreement.
“Voting Shares” shall mean, as to a particular corporation or other Person, outstanding shares of stock or other Equity Interests of any class of such Person entitled to vote in the election of directors, or otherwise to participate in the direction of the management and policies, of such Person, excluding shares or Equity Interests entitled so to vote or participate only upon the happening of some contingency.
“Withdrawal Liability” shall mean liability to a Multiemployer Plan as a result of a complete or partial withdrawal from such Multiemployer Plan, as such terms are defined in Part I of Subtitle E of Title IV of ERISA.
“Withholding Agent” shall mean any Borrower and the Administrative Agent.
“Write-Down and Conversion Powers” shall mean, with respect to any EEA Resolution Authority, the write-down and conversion powers of such EEA Resolution Authority from time to time under the Bail-In Legislation for the applicable EEA Member Country, which write-down and conversion powers are described in the EU Bail-In Legislation Schedule.
SECTION 1.02. Terms Generally. The definitions of terms used herein shall apply equally to the singular and plural forms of the terms defined. Whenever the context may require, any pronoun shall include the corresponding masculine, feminine and neuter forms. The words “include”, “includes” and “including” shall be deemed to be followed by the phrase “without limitation”. The word “will” shall be construed to have the same meaning and effect as the word “shall”. The words “asset” and “property” shall be construed to have the same meaning and effect and to refer to any and all real and personal, tangible and intangible assets and properties, including cash, securities, accounts and contract rights. The word “law” shall be construed as referring to all
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statutes, rules, regulations, codes and other laws (including official rulings and interpretations thereunder having the force of law or with which affected Persons customarily comply), and all judgments, orders, writs and decrees, of all Governmental Authorities. Unless the context requires otherwise, (a) any definition of or reference to any agreement, instrument or other document (including this Agreement and the other Loan Documents) shall be construed as referring to such agreement, instrument or other document as from time to time amended, supplemented or otherwise modified (subject to any restrictions on such amendments, supplements or modifications set forth herein), (b) any definition of or reference to any statute, rule or regulation shall be construed as referring thereto as from time to time amended, supplemented or otherwise modified (including by succession of comparable successor laws), (c) any reference herein to any Person shall be construed to include such Person’s successors and assigns (subject to any restrictions on assignment set forth herein) and, in the case of any Governmental Authority, any other Governmental Authority that shall have succeeded to any or all functions thereof, (d) the words “herein”, “hereof” and “hereunder”, and words of similar import, shall be construed to refer to this Agreement in its entirety and not to any particular provision hereof and (e) all references herein to Articles, Sections, Exhibits and Schedules shall be construed to refer to Articles and Sections of, and Exhibits and Schedules to, this Agreement.
SECTION 1.03. Accounting Terms; GAAP. (a) Except as otherwise expressly provided herein, all terms of an accounting or financial nature used herein shall be construed in accordance with GAAP as in effect on the date hereof; provided, however, that if the Company, by notice to the Administrative Agent, shall request an amendment to any provision hereof to implement the effect of any change occurring after the date hereof in GAAP or in the application thereof on the operation of such provision, regardless of whether any such notice is given before or after such change in GAAP or in the application thereof, then such provision shall, unless the Administrative Agent or the Required Lenders give notice to the Company of an objection to such request, be interpreted on the basis of GAAP as in effect and applied immediately after such change shall have become effective until such notice shall have been withdrawn or such provision amended in accordance herewith.
(b) All pro forma computations required to be made hereunder giving effect to any Material Acquisition or Material Disposition shall be calculated after giving pro forma effect thereto as if such transaction had occurred on the first day of the period of four consecutive fiscal quarters ending with the most recent fiscal quarter for which financial statements shall have been delivered pursuant to Section 5.03(a) or 5.03(b) (or, prior to the delivery of any such financial statements, ending with the last fiscal quarter included in the pro forma financial statements referred to in Section 3.05(b)), and, to the extent applicable, to the historical earnings and cash flows associated with the assets acquired or disposed of and any related incurrence or reduction of Indebtedness, (i) in accordance with Article 11 of Regulation S-X under the Securities Act, if such Material Acquisition or Material Disposition would be required to be given pro forma effect in accordance with Regulation S-X for purposes of preparing the Company’s annual and quarterly reports to the SEC, and (ii) in any event, on a reasonable basis consistent with accepted financial practice. If any Indebtedness bears a floating rate of interest and is being given pro forma effect, the interest on such Indebtedness shall be calculated as if
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the rate in effect on the date of determination had been the applicable rate for the entire period (taking into account any Hedging Agreement applicable to such Indebtedness if such Hedging Agreement has a remaining term in excess of 12 months).
SECTION 1.04. Classification of Loans and Borrowings. For purposes of this Agreement, Loans may be classified and referred to by Class (e.g., a “Revolving Loan”) or by Type (e.g., a “LIBOR Loan”) or by Class and Type (e.g., a “LIBOR Revolving Loan”). Borrowings also may be classified and referred to by Class (e.g., a “Revolving Borrowing”) or by Type (e.g., a “LIBOR Borrowing”) or by Class and Type (e.g., a “LIBOR Revolving Borrowing”).
SECTION 1.05. Currency Translation. The Administrative Agent shall determine the Dollar Equivalent of any Borrowing (other than a Swingline Loan) denominated in an Alternative Currency or Non-US Currency on or about the date of the commencement of the initial Interest Period and each subsequent Interest Period therefor (and, in the case of any Interest Period longer than three months, as of each Interest Payment Date applicable to such Borrowing), in each case using the applicable Exchange Rate in effect on the date of determination, and each such amount shall be the Dollar Equivalent of such Borrowing until the next required calculation thereof pursuant to this Section. The Administrative Agent shall determine the Dollar Equivalent of any Letter of Credit denominated in a currency other than Dollars as of the date such Letter of Credit is issued, amended to increase its face amount, extended or renewed and as of the last Business Day of each subsequent calendar quarter, in each case using the applicable Exchange Rate in effect on the date that is two Business Days prior to the date on which such Letter of Credit is issued, amended to increase its face amount, extended or renewed and as of the last Business Day of such subsequent calendar quarter, as the case may be, and each such amount shall be the Dollar Equivalent of such Letter of Credit until the next required calculation thereof pursuant to this sentence. The Administrative Agent shall determine the Dollar Equivalent of any Swingline Loan as of the date on which such Swingline Loan is made, using the applicable Exchange Rate in effect on such date, and such amount shall be the Dollar Equivalent of such Swingline Loan. For purposes of Article VI and the definitions employed therein, amounts in currencies other than Dollars shall be translated into Dollars at the currency exchange rates used in preparing the Company’s most recent annual or quarterly financial statements.
ARTICLE II
THE CREDITS
SECTION 2.01. Commitments. Subject to the terms and conditions and relying upon the representations and warranties herein set forth, each Lender agrees, severally and not jointly, to make Revolving Loans in Dollars or Alternative Currencies to the Borrowers, at any time and from time to time on and after the date hereof and until the earlier of the Maturity Date and the termination of the Commitment of such Lender, in an amount that will not result in (a) the sum of the Revolving Credit Exposure and the L/C Exposure of such Lender exceeding such Lender’s Commitment or (b) the Aggregate Credit Exposure exceeding the Total Commitment then in effect. Within the foregoing limits, the Borrowers may borrow, pay or prepay and reborrow Revolving Loans
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hereunder, on and after the Effective Date and prior to the Maturity Date, subject to the terms, conditions and limitations set forth herein.
SECTION 2.02. Loans. (a) Each Revolving Loan shall be made as part of a Borrowing consisting of Revolving Loans made by the Lenders ratably in accordance with their respective Commitments; provided, however, that the failure of any Lender to make any Revolving Loan shall not in itself relieve any other Lender of its obligation to lend hereunder (it being understood, however, that no Lender shall be responsible for the failure of any other Lender to make any Loan required to be made by such other Lender). Each Competitive Loan shall be made in accordance with the procedures set forth in Section 2.03. Each Swingline Loan shall be made in accordance with the procedures set forth in Section 2.23. The Loans comprising any Borrowing shall be (i) in the case of Competitive Loans, in an aggregate principal amount permitted under Section 2.03, and (ii) in the case of Revolving Loans and Swingline Loans, in an aggregate principal amount that is an integral multiple of the Borrowing Multiple and not less than the Borrowing Minimum (or, in the case of ABR Loans or Swingline Loans, an aggregate principal amount equal to the remaining balance of the Commitments).
(b) Each Competitive Borrowing shall be comprised entirely of Eurocurrency Competitive Loans or Fixed Rate Loans as the applicable Borrower may request pursuant to Section 2.03. Subject to Section 2.11, (i) each Revolving Borrowing denominated in Dollars shall be comprised entirely of ABR Loans or LIBOR Loans as the applicable Borrower may request in accordance herewith, (ii) each Revolving Borrowing denominated in Sterling shall be comprised entirely of LIBOR Loans and (iii) each Revolving Borrowing denominated in Euro shall be comprised entirely of EURIBOR Loans. Each Swingline Loan shall be a Euro Overnight Rate Loan. Each Lender may at its option make any Loan by causing any domestic or foreign branch, agency or Affiliate of such Lender to make such Loan; provided that any exercise of such option shall not affect the obligation of the applicable Borrower to repay such Loan in accordance with the terms of this Agreement and such branch, agency or Affiliate shall, to the extent of any such lLoans made by it, have all the rights of such Lender hereunder. Borrowings of more than one Type may be outstanding at the same time. For purposes of the foregoing, Loans having different Interest Periods, regardless of whether they commence on the same date, shall be considered separate Loans.
(c) Subject to Section 2.06 and, in the case of any Borrowing denominated in a Non-US Currency or Alternative Currency, to any alternative procedures that the applicable Borrower, the applicable Lenders and the Administrative Agent may agree upon, each Lender shall make each Revolving Loan to be made by it hereunder on the proposed date thereof by wire transfer of immediately available funds in the applicable currency to the Administrative Agent to the account most recently specified by it for such purpose not later than 3:30 p.m., Local Time, and the Administrative Agent shall promptly credit the amounts so received to the account or accounts specified from time to time in one or more notices delivered by the Company to the Administrative Agent or, if a Borrowing shall not occur on such date because any condition precedent herein specified shall not have been met, forthwith return the amounts so received to the respective Lenders. Competitive Loans shall be made by the Lender or Lenders whose
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Competitive Bids therefor are accepted pursuant to Section 2.03 in the amounts so accepted. Swingline Loans shall be made in accordance with Section 2.23. Revolving Loans shall be made by the Lenders pro rata in accordance with their Applicable Shares. Unless the Administrative Agent shall have received notice from a Lender prior to the date of any Borrowing that such Lender will not make available to the Administrative Agent such Lender’s portion of such Borrowing, the Administrative Agent may assume that such Lender has made such portion available to the Administrative Agent on the date of such Borrowing in accordance with this paragraph (c) and the Administrative Agent may, in reliance upon such assumption, make available to the applicable Borrower on such date a corresponding amount in the required currency. If and to the extent that such Lender shall not have made such portion available to the Administrative Agent, such Lender and such Borrower severally agree to repay to the Administrative Agent forthwith on demand such corresponding amount together with interest thereon in such currency, for each day from the date such amount is made available to such Borrower until the date such amount is repaid to the Administrative Agent, at (i) in the case of such Borrower, the interest rate applicable at the time to the Loans comprising such Borrowing and (ii) in the case of such Lender, a rate determined by the Administrative Agent to represent its cost of overnight funds. If such Lender shall repay to the Administrative Agent such corresponding amount, such amount shall constitute such Lender’s Loan as part of such Borrowing for purposes of this Agreement.
SECTION 2.03. Competitive Bid Procedure. (a) In order to request Competitive Bids, a Borrower shall hand deliver or fax to the Administrative Agent a duly completed Competitive Bid Request in the form of Exhibit A-1 hereto, to be received by the Administrative Agent (i) in the case of a Eurocurrency Competitive Loan, not later than 10:00 a.m., New York City time, (A) four Business Days before a proposed Competitive Borrowing in the case of a Competitive Borrowing denominated in Dollars and (B) five Business Days before a proposed Competitive Borrowing in the case of a Competitive Borrowing denominated in a Non-US Currency and (ii) in the case of a Fixed Rate Borrowing, not later than 10:00 a.m., New York City time, (A) one Business Day before a proposed Competitive Borrowing in the case of a Competitive Borrowing denominated in Dollars and (B) five Business Days before a proposed Competitive Borrowing in the case of a Competitive Borrowing denominated in a Non-US Currency. No ABR Loan shall be requested in, or made pursuant to, a Competitive Bid Request. A Competitive Bid Request that does not conform substantially to the format of Exhibit A-1 may be rejected in the Administrative Agent’s sole discretion, and the Administrative Agent shall promptly notify the applicable Borrower of such rejection by fax. Each Competitive Bid Request shall refer to this Agreement and specify (A) whether the Borrowing then being requested is to be a Eurocurrency Borrowing or a Fixed Rate Borrowing, (B) the date of such Borrowing (which shall be a Business Day), (C) the currency of the requested Borrowing (which shall be Dollars or a Non-US Currency), (D) the aggregate principal amount of the requested Borrowing (which shall be an integral multiple of 1,000,000 units of the applicable currency with a Dollar Equivalent on the date of the applicable Competitive Bid Request of at least $10,000,000), and (E) the Interest Period with respect thereto (which may not end after the Maturity Date). Promptly after its receipt of a Competitive Bid Request that is not rejected as aforesaid, the Administrative Agent shall fax to the Lenders a Notice of Competitive Bid Request
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inviting the Lenders to bid, on the terms and conditions of this Agreement, to make Competitive Loans.
(b) Each Lender invited to bid may, in its sole discretion, make one or more Competitive Bids to the applicable Borrower responsive to such Borrower’s Competitive Bid Request. Each Competitive Bid by a Lender must be received by the Administrative Agent by fax, in the form of Exhibit A-3 hereto, (i) in the case of a Eurocurrency Competitive Loan, not later than 9:30 a.m., New York City time, three Business Days before a proposed Competitive Borrowing and (ii) in the case of a Fixed Rate Borrowing, not later than 9:30 a.m., New York City time, on the day of a proposed Competitive Borrowing. A Lender may submit multiple bids to the Administrative Agent. Competitive Bids that do not conform substantially to the format of Exhibit A-3 may be rejected by the Administrative Agent, and the Administrative Agent shall notify the Lender making such nonconforming bid of such rejection as soon as practicable. Each Competitive Bid shall refer to this Agreement and specify (x) the principal amount (which shall be an integral multiple of 1,000,000 units of the applicable currency and which may equal the entire principal amount of the Competitive Borrowing requested) of the Competitive Loan or Loans that the Lender is willing to make, (y) the Competitive Bid Rate or Rates at which the Lender is prepared to make the Competitive Loan or Loans and (z) the Interest Period and the last day thereof. If any Lender invited to bid shall elect not to make a Competitive Bid, such Lender shall so notify the Administrative Agent by fax (I) in the case of Eurocurrency Competitive Loans, not later than 9:30 a.m., New York City time, three Business Days before a proposed Competitive Borrowing, and (II) in the case of Fixed Rate Loans, not later than 9:30 a.m., New York City time, on the day of a proposed Competitive Borrowing; provided, however, that failure by any Lender to give such notice shall not cause such Lender to be obligated to make any Competitive Loan as part of such Competitive Borrowing. A Competitive Bid submitted by a Lender pursuant to this paragraph (b) shall be irrevocable.
(c) The Administrative Agent shall as promptly as practicable notify the applicable Borrower, by fax, of all the Competitive Bids made, the Competitive Bid Rate and the principal amount of each Competitive Loan in respect of which a Competitive Bid was made and the identity of the Lender that made each bid. The Administrative Agent shall send a copy of all Competitive Bids to the applicable Borrower for its records as soon as practicable after completion of the bidding process set forth in this Section 2.03.
(d) The applicable Borrower may in its sole and absolute discretion, subject only to the provisions of this paragraph (d), accept or reject any Competitive Bid referred to in paragraph (c) above. The applicable Borrower shall notify the Administrative Agent by telephone, confirmed by fax in the form of a Competitive Bid Accept/Reject Letter, whether and to what extent it has decided to accept or reject any or all of the bids referred to in paragraph (c) above not more than one hour after it shall have been notified of such bids by the Administrative Agent pursuant to such paragraph (c); provided, however, that (i) the failure of the applicable Borrower to give such notice shall be deemed to be a rejection of all the bids referred to in paragraph (c) above, (ii) the applicable Borrower shall not accept a bid made at a particular Competitive Bid Rate if it has decided to reject a bid made at a lower Competitive Bid Rate, (iii) the aggregate
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amount of the Competitive Bids accepted by the applicable Borrower shall not exceed the principal amount specified in the Competitive Bid Request, (iv) if the applicable Borrower shall accept a bid or bids made at a particular Competitive Bid Rate but the amount of such bid or bids shall cause the total amount of bids to be accepted to exceed the amount specified in the Competitive Bid Request, then the applicable Borrower shall accept a portion of such bid or bids in an amount equal to the amount specified in the Competitive Bid Request less the amount of all other Competitive Bids accepted with respect to such Competitive Bid Request, which acceptance, in the case of multiple bids at such Competitive Bid Rate, shall be made pro rata in accordance with the amount of each such bid at such Competitive Bid Rate, and (v) except pursuant to clause (iv) above, no bid shall be accepted for a Competitive Loan unless such Competitive Loan is in an amount that is an integral multiple of 1,000,000 units of the applicable currency, and in calculating the pro rata allocation of acceptances of portions of multiple bids at a particular Competitive Bid Rate pursuant to clause (iv) above, the amounts shall be rounded to integral multiples of 1,000,000 units of the applicable currency in a manner which shall be in the discretion of the applicable Borrower. A notice given pursuant to this paragraph (d) shall be irrevocable.
(e) The Administrative Agent shall promptly notify each bidding Lender whether or not its Competitive Bid has been accepted (and if so, in what amount and at what Competitive Bid Rate) by fax, and each successful bidder will thereupon become bound, subject to the other applicable conditions hereof, to make the Competitive Loan in respect of which its bid has been accepted.
(f) No Competitive Borrowing shall be requested or made hereunder if after giving effect thereto (i) the Aggregate Credit Exposure would exceed the Total Commitment or (ii) in the event the Maturity Date shall have been extended as provided in Section 2.12(d), the sum of the L/C Exposures attributable to Letters of Credit expiring after any Existing Maturity Date, the Swingline Exposure attributable to Swingline Loans maturing after any Existing Maturity Date and the Competitive Loan Exposures attributable to Competitive Loans maturing after such Existing Maturity Date would exceed the aggregate Commitments that have been extended to a date after the expiration date of the last of such Letters of Credit and the maturity of the last of such Competitive Loans.
(g) If the Administrative Agent shall elect to submit a Competitive Bid in its capacity as a Lender, it shall submit such bid directly to the applicable Borrower one quarter of an hour earlier than the latest time at which the other Lenders are required to submit their bids to the Administrative Agent pursuant to paragraph (b) above.
SECTION 2.04. Revolving Borrowing Procedure. In order to request a Revolving Borrowing, a Borrower shall hand deliver or fax to the Administrative Agent a duly completed Revolving Borrowing Request in the form of Exhibit A-5 (i) in the case of a Eurocurrency Revolving Borrowing, not later than 10:30 a.m., Local Time, three Business Days before such Borrowing, and (ii) in the case of an ABR Borrowing, not later than 2:00 p.m., Local Time, on the day of such Borrowing. No Fixed Rate Loan shall be requested or made pursuant to a Revolving Borrowing Request. Such notice shall be irrevocable and shall in each case specify (A) whether the Borrowing then being requested is to be a Eurocurrency Revolving Borrowing or an ABR Borrowing; (B) the
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currency of such Borrowing (which shall be Dollars or an Alternative Currency); (C) the date of such Revolving Borrowing (which shall be a Business Day) and the amount thereof; and (D) if such Borrowing is to be a Eurocurrency Revolving Borrowing, the Interest Period with respect thereto. If no election as to the Type of Revolving Borrowing is specified in any such notice, then the requested Revolving Borrowing shall be an ABR Borrowing. If no Interest Period with respect to any Eurocurrency Revolving Borrowing is specified in any such notice, then the applicable Borrower shall be deemed to have selected an Interest Period of one month’s duration. Notwithstanding any other provision of this Agreement to the contrary, no Revolving Borrowing shall be requested if the Interest Period with respect thereto would end after the Maturity Date in effect for any Lender. The Administrative Agent shall promptly advise each of the Lenders of any notice given pursuant to this Section 2.04 and of each Lender’s portion of the requested Borrowing.
SECTION 2.05. Letters of Credit. (a) General. The Borrowers may request the issuance of standby Letters of Credit, in a form reasonably acceptable to the Administrative Agent and the applicable Issuing Bank, appropriately completed, for the accounts of the Borrowers, at any time and from time to time while the Commitments remain in effect. Each Existing Letter of Credit shall be deemed, for all purposes of this Agreement, to be a Letter of Credit issued hereunder for the account of the applicable Borrower. Each Letter of Credit shall be denominated in Dollars or an Alternative Currency, provided, however, that any Letter of Credit issued by Barclays Bank PLC shall be denominated in Dollars. This Section shall not be construed to impose an obligation upon any Issuing Bank to issue any Letter of Credit that is inconsistent with the terms and conditions of this Agreement.
(b) Notice of Issuance, Amendment, Renewal, Extension; Certain Conditions. In order to request the issuance of a Letter of Credit (or to amend, renew or extend an existing Letter of Credit), the applicable Borrower shall hand deliver or fax to the applicable Issuing Bank and the Administrative Agent (reasonably in advance of, but not later than 10:00 a.m., New York City time, five Business Days before, the requested date of issuance, amendment, renewal or extension) a notice requesting the issuance of a Letter of Credit, or identifying the Letter of Credit to be amended, renewed or extended, the date of issuance, amendment, renewal or extension, the date on which such Letter of Credit is to expire (which shall comply with paragraph (c) below), the amount and currency of such Letter of Credit, the name and address of the beneficiary thereof and such other information as shall be necessary to prepare such Letter of Credit. Following receipt of such notice and prior to the issuance of the requested Letter of Credit or the applicable amendment, renewal or extension, the Administrative Agent shall notify the Borrowers, each Lender and the applicable Issuing Bank of the amount of the Aggregate Credit Exposure after giving effect to (i) the issuance, amendment, renewal or extension of such Letter of Credit, (ii) the issuance or expiration of any other Letter of Credit that is to be issued or will expire prior to the requested date of issuance of such Letter of Credit and (iii) the borrowing or repayment of any Loans that (based upon notices delivered to the Administrative Agent by the Borrowers) are to be borrowed or repaid prior to the requested date of issuance of such Letter of Credit. A Letter of Credit shall be issued, amended, renewed or extended only if, and upon issuance, amendment, renewal or extension of each Letter of Credit the Borrowers shall be deemed to represent and
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warrant that, (i) after giving effect to such issuance, amendment, renewal or extension (A) the L/C Exposure shall not exceed $100,000,000, (B) the portion of the L/C Exposure attributable to Letters of Credit issued by the applicable Issuing Bank shall not exceed the L/C Commitment of such Issuing Bank, and (C(C) the Revolving Credit Exposure of any Lender shall not exceed the Commitment of such Lender and (D) the Aggregate Credit Exposure shall not exceed the Total Commitment, (ii) in the case of a Letter of Credit that will expire later than the first anniversary of such issuance, amendment, renewal or extension, the applicable Borrower, the applicable Issuing Bank and the Required Lenders shall have reached agreement on the fees to be applicable thereto as contemplated by the last sentence of Section 2.07(c) and (iii) in the event the Maturity Date shall have been extended as provided in Section 2.12(d), the sum of the L/C Exposures attributable to Letters of Credit expiring after any Existing Maturity Date (as defined in Section 2.12(d)), the Swingline Exposure attributable to Swingline Loans maturing after any Existing Maturity Date and the Competitive Loan Exposures attributable to Competitive Loans maturing after such Existing Maturity Date shall not exceed the aggregate Commitments that have been extended to a date after the expiration date of the last of such Letters of Credit and the maturity of the last of such Competitive Loans.
(c) Expiration Date. Each Letter of Credit shall expire at the close of business on the earlier of (x) the date one year after the date of the issuance of such Letter of Credit (or, in the case of any renewal or extension thereof, one year after such renewal or extension) or such longer period as may be agreed to between the applicable Borrower and the Issuing Bank and (y) the date that is five Business Days prior to the Maturity Date, unless such Letter of Credit expires by its terms on an earlier date; provided that any Letter of Credit with a one-year tenor may provide for renewal thereof under procedures reasonably satisfactory to the applicable Issuing Bank for additional one-year periods (which shall in no event extend beyond the date referred to in clause (y) above).
(d) Participations. By the issuance of a Letter of Credit and without any further action on the part of the applicable Issuing Bank or the Lenders, the applicable Issuing Bank hereby grants to each Lender, and each such Lender hereby acquires from the applicable Issuing Bank, a participation in such Letter of Credit equal to such Lender’s Applicable Share from time to time of the aggregate amount available to be drawn under such Letter of Credit, effective upon the issuance of such Letter of Credit. In consideration and in furtherance of the foregoing, each Lender hereby absolutely and unconditionally agrees to pay to the Administrative Agent, for the account of the applicable Issuing Bank, such Lender’s Applicable Share from time to time of each L/C Disbursement made by such Issuing Bank and not reimbursed by the applicable Borrower (or, if applicable, another party pursuant to its obligations under any other Loan Document), on the date due as provided in paragraph (e) of this Section, or of any reimbursement payment required to be refunded to theany Borrower for any reason, in the currency of such L/C Disbursement. Each Lender acknowledges and agrees that its obligation to acquire participations pursuant to this paragraph in respect of Letters of Credit is absolute and unconditional and shall not be affected by any circumstance whatsoever, including the occurrence and continuance of a Default or an Event of Default, or any force majeure event under any rule of law or uniform practices to which any Letter of Credit is subject (including Section 3.14 of ISP 98 or any successor
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publication of the International Chamber of Commerce) permits a drawing to be made under such Letter of Credit after the expiration thereof or of the Commitments, and that each such payment shall be made without any offset, abatement, withholding or reduction whatsoever.
(e) Reimbursement. If an Issuing Bank shall make any L/C Disbursement in respect of a Letter of Credit, the applicable Borrower shall pay to the Administrative Agent an amount equal to such L/C Disbursement, in the currency of such L/C Disbursement, not later than (i) if such Borrower shall have received notice of such L/C Disbursement prior to 10:00 a.m., New York City time, on any Business Day, 2:00 p.m., New York City time, on such Business Day or (ii) otherwise, 12:00 noonp.m., New York City time, on the Business Day next following the day on which thesuch Borrower shall have received notice from such Issuing Bank that payment of such draft will be made.
(f) Obligations Absolute. The Borrowers’ obligations to reimburse L/C Disbursements as provided in paragraph (e) above shall be absolute, unconditional and irrevocable, and shall be performed strictly in accordance with the terms of this Agreement, under any and all circumstances whatsoever, and irrespective of:
(i) any lack of validity or enforceability of any Letter of Credit or any Loan Document, or any term or provision therein;
(ii) any amendment or waiver of or any consent to departure from all or any of the provisions of any Letter of Credit or any Loan Document;
(iii) the existence of any claim, setoff, defense or other right that the Borrowers, any other party guaranteeing, or otherwise obligated with, the Borrowers, any Subsidiary or other Affiliate thereof or any other Person may at any time have against the beneficiary under any Letter of Credit, any Issuing Bank, the Administrative Agent or any Lender or any other Person, whether in connection with this Agreement, any other Loan Document or any other related or unrelated agreement or transaction;
(iv) any draft or other document presented under a Letter of Credit proving to be forged, fraudulent, invalid or insufficient in any respect or any statement therein being untrue or inaccurate in any respect;
(v) payment by the applicable Issuing Bank under a Letter of Credit against presentation of a draft or other document that does not comply with the terms of such Letter of Credit;
(vi) any force majeure or other event that under any rule of law or uniform practices to which any Letter of Credit is subject (including Section 3.14 of ISP 98 or any successor publication of the International Chamber of Commerce) permits a drawing to be made under such Letter of Credit after the stated expiration date thereof or of the Commitments; and
(vii) any other act or omission to act or delay of any kind of any Issuing Bank, the Lenders, the Administrative Agent or any other Person or any other
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event or circumstance whatsoever, whether or not similar to any of the foregoing, that might, but for the provisions of this Section, constitute a legal or equitable discharge of, or provide a right of setoff against, the Borrowers’ obligations hereunder.
None of the Administrative Agent, the Lenders or the Issuing Banks, or any of their Related Parties, shall have any liability or responsibility by reason of or in connection with the issuance or transfer of any Letter of Credit or any payment or failure to make any payment thereunder (irrespective of any of the circumstances referred to in the preceding sentence), or any error, omission, interruption, loss or delay in transmission or delivery of any draft, notice or other communication under or relating to any Letter of Credit (including any document required to make a drawing thereunder), any error in interpretation of technical terms or any consequence arising from causes beyond the control of the Issuing Bank. Without limiting the generality of the foregoing, it is expressly understood and agreed that the absolute and unconditional obligation of the Borrowers hereunder to reimburse L/C Disbursements will not be excused by the gross negligence or wilful misconduct of any Issuing Bank, the Administrative Agent or any Lender. However, the foregoing shall not be construed to excuse any Issuing Bank from liability to the Borrowers to the extent of any direct damages (as opposed to special, indirect, consequential or punitive damages, claims in respect of which are hereby waived by the Borrowers to the extent permitted by applicable law) suffered by the Borrowers that are caused by such Issuing Bank’s gross negligence or wilful misconduct (as finally determined by a court of competent jurisdiction) in determining whether drafts and other documents presented under a Letter of Credit comply with the terms thereof; it is understood that each Issuing Bank may accept documents that appear on their face to be in order, without responsibility for further investigation, regardless of any notice or information to the contrary and, in making any payment under any Letter of Credit (i) an Issuing Bank’s exclusive reliance on the documents presented to it under such Letter of Credit as to any and all matters set forth therein, including reliance on the amount of any draft presented under such Letter of Credit, whether or not the amount due to the beneficiary thereunder equals the amount of such draft and whether or not any document presented pursuant to such Letter of Credit proves to be insufficient in any respect, if such document on its face appears to be in order, and whether or not any other statement or any other document presented pursuant to such Letter of Credit proves to be forged or invalid or any statement therein proves to be inaccurate or untrue in any respect whatsoever and (ii) any noncompliance in any immaterial respect of the documents presented under such Letter of Credit with the terms thereof shall, in each case, be deemed not to constitute wilful misconduct or gross negligence of an Issuing Bank. In furtherance of the foregoing and without limiting the generality thereof, the parties agree that, with respect to documents presented which appear on their face to be in substantial compliance with the terms of a Letter of Credit, the Issuing Bank may, in its sole discretion, either accept and make payment upon such documents without responsibility for further investigation, regardless of any notice or information to the contrary, or refuse to accept and make payment upon such documents if such documents are not in strict compliance with the terms of such Letter of Credit.
(g) Disbursement Procedures. The applicable Issuing Bank shall, promptly following its receipt thereof, examine all documents purporting to represent a
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demand for payment under a Letter of Credit. Such Issuing Bank shall as promptly as possible give telephonic notification, confirmed by fax, to the Administrative Agent and the applicable Borrower of such demand for payment and whether such Issuing Bank has made or will make an L/C Disbursement thereunder; provided that any failure to give or delay in giving such notice shall not relieve such Borrower of its obligation to reimburse the Issuing Bank and the Lenders with respect to any such L/C Disbursement. The Administrative Agent shall promptly give each Lender notice thereof.
(h) Interim Interest. If an Issuing Bank shall make any L/C Disbursement in respect of a Letter of Credit, then, unless the applicable Borrower shall reimburse such L/C Disbursement in full on the date such L/C Disbursement is made, the unpaid amount thereof shall bear interest for the account of such Issuing Bank, for each day from and including the date of such L/C Disbursement to but excluding the date of payment, at (i) in the case of any L/C Disbursement denominated in Dollars, the rate per annum then applicable to ABR Revolving Loans, (ii) in the case of any L/C Disbursement denominated in an Alternative Currency, a rate per annum determined by the applicable Issuing Bank (which determination will be conclusive absent manifest error) to represent its cost of funds plus the Applicable RatePercentage used to determine interest applicable to LIBOR Revolving Loans; provided that, if such Borrower fails to reimburse such L/C Disbursement when due, then Section 2.10 shall apply.
(i) Resignation or Removal of an Issuing Bank. An Issuing Bank may resign at any time by giving 180 days’ prior written notice to the Administrative Agent, the Lenders and the Company, and may be removed at any time by the Company by notice to the Issuing Bank, the Administrative Agent and the Lenders. Subject to the next succeeding paragraph, upon the acceptance of any appointment as an Issuing Bank hereunder by a successor Issuing Bank, such successor shall succeed to and become vested with all the interests, rights and obligations of the retiring Issuing Bank and the retiring Issuing Bank shall be discharged from its obligations to issue additional Letters of Credit hereunder. At the time such removal or resignation shall become effective, the Borrowers shall pay all accrued and unpaid fees pursuant to Section 2.07(c)(ii). The acceptance of any appointment as an Issuing Bank hereunder by a successor Lender shall be evidenced by an agreement entered into by such successor, in a form satisfactory to the Company and the Administrative Agent, and, from and after the effective date of such agreement, (i) such successor Lender shall have all the rights and obligations of the previous Issuing Bank under this Agreement and the other Loan Documents and (ii) references herein and in the other Loan Documents to the term “Issuing Bank” shall be deemed to refer to such successor or to any previous Issuing Bank, or to such successor and all previous Issuing Banks, as the context shall require. After the resignation or removal of an Issuing Bank hereunder, the retiring Issuing Bank shall remain a party hereto and shall continue to have all the rights and obligations of an Issuing Bank under this Agreement and the other Loan Documents with respect to Letters of Credit issued by it prior to such resignation or removal, but shall not be required to issue additional Letters of Credit.
(j) Additional Issuing Banks. The Company may, at any time and from time to time with the consent of the Administrative Agent (which consent shall not be unreasonably withheld) and such Lender, designate one or more additional Lenders to act
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as an issuing bank under the terms of this Agreement. Any Lender designated as an issuing bank pursuant to this paragraph shall, upon entering into an Issuing Bank Agreement with the Company, be deemed to be an “Issuing Bank” (in addition to being a Lender) hereunder.
(k) Issuing Bank Reports. Unless otherwise agreed by the Administrative Agent, each Issuing Bank shall report in writing to the Administrative Agent (i) on or prior to each Business Day on which such Issuing Bank issues, amends, renews or extends any Letter of Credit, the date of such issuance, amendment, renewal or extension, and the aggregate face amounts and currencies of the Letters of Credit issued, amended, renewed or extended by it and outstanding after giving effect to such issuance, amendment, renewal or extension (and whether the amount thereof shall have changed), it being understood that such Issuing Bank shall not effect any issuance, renewal, extension or amendment resulting in an increase in the aggregate amount of the Letters of Credit issued by it without first obtaining written confirmation from the Administrative Agent that such increase is then permitted under this Agreement, (ii) on each Business Day on which such Issuing Bank makes any L/C Disbursement, the date, amount and currency of such L/C Disbursement, (iii) on any Business Day on which a Borrower fails to reimburse an L/C Disbursement required to be reimbursed to such Issuing Bank on such day, the date of such failure and the amount and currency of such L/C Disbursement and (iv) on any other Business Day, such other information as the Administrative Agent shall reasonably request as to the Letters of Credit issued by such Issuing Bank.
SECTION 2.06. Conversion and Continuation of Revolving Loans. Each Borrower shall have the right at any time upon prior irrevocable notice to the Administrative Agent (i) not later than 2:00 p.m., Local Time, on the day of the conversion, to convert all or any part of any Eurocurrency Revolving Loan into an ABR Loan (provided that a Borrowing denominated in an Alternative Currency may not be converted into an ABR Borrowing), and (ii) not later than 10:30 a.m., Local Time, three Business Days prior to conversion or continuation, to convert any ABR Loan into a Eurocurrency Revolving Loan or to continue any Eurocurrency Revolving Loan as a Eurocurrency Revolving Loan for an additional Interest Period, subject in each case to the following:
(a) if less than all the outstanding principal amount of any Revolving Borrowing shall be converted or continued, the aggregate principal amount of the Revolving Borrowing converted or continued shall be an integral multiple of the Borrowing Multiple and not less than the Borrowing Minimum;
(b) accrued interest on a Revolving Borrowing (or portion thereof) being converted shall be paid by the applicable Borrower at the time of conversion;
(c) if any Eurocurrency Revolving Loan is converted at a time other than the end of the Interest Period applicable thereto, the applicable Borrower shall pay, upon demand, any amounts due to the Lenders pursuant to Section 2.16;
(d) any portion of a Revolving Borrowing maturing or required to be repaid in less than one month may not be converted into or continued as a Eurocurrency Revolving Loan;
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(e) any portion of a Eurocurrency Revolving Loan which cannot be continued as a Eurocurrency Revolving Loan by reason of clause (d) above shall be automatically converted at the end of the Interest Period in effect for such Eurocurrency Revolving Loan into an ABR Borrowing;
(f) no Interest Period may be selected for any Eurocurrency Revolving Borrowing that would end later than the Maturity Date in effect for any Lender;
(g) no Revolving Loan may be converted into a Revolving Loan denominated in a different currency; and
(h) at any time when there shall have occurred and be continuing any Default or Event of Default, if the Administrative Agent or the Required Lenders shall so notify the Company, no Revolving Loan may be converted into or continued as a Eurocurrency Revolving Loan.
Each notice pursuant to this Section shall be irrevocable and shall refer to this Agreement and specify (i) the identity and amount of the Revolving Borrowing to be converted or continued, (ii) whether such Revolving Borrowing is to be converted to or continued as a Eurocurrency Revolving Borrowing or an ABR Borrowing, (iii) if such notice requests a conversion, the date of such conversion (which shall be a Business Day) and (iv) if such Revolving Borrowing is to be converted to or continued as a Eurocurrency Revolving Borrowing, the Interest Period with respect thereto. If no Interest Period is specified in any such notice with respect to any conversion to or continuation as a Eurocurrency Revolving Borrowing, the applicable Borrower shall be deemed to have selected an Interest Period of one month’s duration. If no notice shall have been given in accordance with this Section 2.06 to convert or continue any Revolving Borrowing, such Revolving Borrowing shall, at the end of the Interest Period applicable thereto (unless repaid pursuant to the terms hereof), (a) in the case of a Borrowing denominated in Dollars, automatically be continued into a new Interest Period as an ABR Borrowing, and (b) in the case of a Borrowing denominated in an Alternative Currency, become due and payable on the last day of such Interest Period.
SECTION 2.07. Fees. (a) The Company agrees to pay to each Lender, through the Administrative Agent, on each March 31, June 30, September 30 and December 31 (with the first payment being due on December 31, 2014) and on each date on which the Commitment of such Lender shall be terminated as provided herein (and any subsequent date on which such Lender shall cease to have any Revolving Credit Exposure or L/C Exposure), a facility fee (a “Facility Fee”), at a rate per annum equal to the Applicable Percentage from time to time in effect, on the amount of the Commitment of such Lender, whether used or unused, during the preceding quarter (or other period commencing on the Closing Date, or ending with the Maturity Date or any date on which the Commitment of such Lender shall be terminated) or, if such Lender continues to have any Revolving Credit Exposure or L/C Exposure after its Commitment terminates, on the daily amount of such Lender’s Revolving Credit Exposure and L/C Exposure. All Facility Fees shall be computed on the basis of the actual number of days elapsed in a year of 365 or 366 days, as the case may be. The Facility Fee due to each Lender shall commence to accrue on the Closing Date and shall cease to accrue onupon the
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earlierlater of the Maturity Date and the termination of the Commitment of such Lender as provided hereinand such Lender ceasing to have any Revolving Credit Exposure.
(b) The Company agrees to pay the Administrative Agent, for its own account, the administrative and other fees separately agreed to by the Company and the Administrative Agent (the “Administrative Fees”).
(c) The Company agrees to pay (i) to each Lender, through the Administrative Agent, on each March 31, June 30, September 30 and December 31 and on the date on which the Commitment of such Lender shall be terminated as provided herein, a fee (an “L/C Participation Fee”) calculated on such Lender’s average daily L/C Exposure (excluding the portion thereof attributable to unreimbursed L/C Disbursements) during the preceding quarter (or shorter period commencing with the Effective Date or ending with the later of (A) the Maturity Date or the date on which the Commitment of such Lender shall be terminated and (B) the date on which such Lender shall cease to have any L/C Exposure) at a rate equal to the Applicable Percentage from time to time, and (ii) to each Issuing Bank with respect to each Letter of Credit issued by it the fees agreed upon by the Company and such Issuing Bank plus, in connection with the issuance, amendment or transfer of any Letter of Credit or any L/C Disbursement, such Issuing Bank’s customary documentary and processing charges (collectively, the “Issuing Bank Fees”). All L/C Participation Fees and Issuing Bank Fees shall be computed on the basis of the actual number of days elapsed in a year of 360 days. Notwithstanding the foregoing, in the case of any Letter of Credit that will expire later than the first anniversary of the issuance, amendment, renewal or extension thereof, the L/C Participation Fee and Issuing Bank Fees shall be increased by an amount to be agreed upon prior to such issuance, amendment, renewal or extension by the applicable Borrower, the applicable Issuing Bank and the Required Lenders.
(d) All Fees shall be paid in Dollars on the dates due, in immediately available funds, to the Administrative Agent for distribution, if and as appropriate, among the Lenders, except that the Issuing Bank Fees shall be paid directly to the applicable Issuing Banks and the Administrative Fees shall be paid pursuant to paragraph (b) above. Once paid, none of the Fees shall be refundable under any circumstances in the absence of demonstrable error.
SECTION 2.08. Repayment of Loans; Evidence of Debt. (a) Each Borrower hereby agrees that (i) the outstanding principal balance of each Revolving Loan shall be payable on the Maturity Date and that, (ii) the outstanding principal balance of each Competitive Loan shall be payable on the last day of the Interest Period applicable thereto and (iii) the outstanding principal balance of each Swingline Loan shall be payable on the earlier of the Maturity Date and the date that is the 15th day (or if such day is not a Business Day, the next succeeding Business Day) after such Swingline Loan is made. Each Loan shall bear interest on the outstanding principal balance thereof as set forth in Section 2.09.
(b) Each Lender shall maintain in accordance with its usual practice an account or accounts evidencing the indebtedness to such Lender resulting from each Loan made by such Lender from time to time, including the amounts of principal and interest payable and paid to such Lender from time to time under this Agreement.
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(c) The Administrative Agent shall maintain accounts in which it will record (i) the amount of each Loan made hereunder, the currency of each Loan, the Borrower of each Loan, the Type of each Loan made and the Interest Period applicable thereto, (ii) the amount of any principal or interest due and payable or to become due and payable from each Borrower to each Lender hereunder and (iii) the amount of any sum received by the Administrative Agent hereunder from each Borrower and each Lender’s share thereof.
(d) The entries made in the accounts maintained pursuant to paragraphs (b) and (c) of this Section shall, to the extent permitted by applicable law, be prima facie evidence of the existence and amounts of the obligations therein recorded; provided, however, that the failure of any Lender or the Administrative Agent to maintain such accounts or any error therein shall not in any manner affect the obligations of the Borrowers to repay the Loans in accordance with their terms.
(e) Any Lender may request that Loans made by it be evidenced by promissory notes. In such event, the Borrowers shall prepare, execute and deliver to such Lender promissory notes payable to such Lender (or, if requested by such Lender, to such Lender and its registered assigns) and in a form approved by the Administrative Agent. Thereafter, the Loans evidenced by such promissory notes and interest thereon shall at all times (including after assignment pursuant to Section 10.04) be represented by one or more promissory notes in such form payable to the payee named therein (or, if such promissory note is a registered note, to such payee and its registered assigns).
SECTION 2.09. Interest on Loans. (a) Subject to the provisions of Section 2.10, the Loans comprising each LIBOR Borrowing shall bear interest (computed on the basis of the actual number of days elapsed over a year of 360 days or, in the case of a Borrowing denominated in Sterling, 365 days) at a rate per annum equal to (i) in the case of each LIBOR Revolving Loan denominated in Dollars, the Adjusted LIBO Rate for the Interest Period in effect for such Borrowing plus the Applicable Percentage set forth under the caption “LIBO/EURIBO/Euro Overnight Rate Spread” from time to time in effect, (ii) in the case of each LIBOR Revolving Loan denominated in Sterling, the LIBO Rate for the Interest Period in effect for such Borrowing plus the Applicable Percentage set forth under the caption “LIBO/EURIBO/Euro Overnight Rate Spread”, and (iii) in the case of each LIBOR Competitive Loan, the LIBO Rate for the Interest Period in effect for such Borrowing plus the Margin offered by the Lender making such Loan and accepted by the applicable Borrower pursuant to Section 2.03.
(b) Subject to the provisions of Section 2.10, the Loans comprising each EURIBOR Borrowing shall bear interest (computed on the basis of the actual number of days elapsed over a year of 360 days) at a rate per annum equal to (i) in the case of each EURIBOR Revolving Loan, the EURIBO Rate for the Interest Period in effect for such Borrowing plus the Applicable Percentage set forth under the caption “LIBO/EURIBO/Euro Overnight Rate Spread” and (ii) in the case of each EURIBOR Competitive Loan, the EURIBO Rate for the Interest Period in effect for such Borrowing plus the Margin offered by the Lender making such Loan and accepted by the applicable Borrower pursuant to Section 2.03.
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(c) Subject to the provisions of Section 2.10, the Loans comprising each ABR Borrowing shall bear interest (computed on the basis of the actual number of days elapsed over a year of 365 or 366 days, as the case may be, for periods during which the Alternate Base Rate is determined by reference to the Prime Rate and 360 days for other periods) at a rate per annum equal to the Alternate Base Rate plus the Applicable Percentage.
(d) Subject to the provisions of Section 2.10, each Fixed Rate Loan shall bear interest at a rate per annum (computed on the basis of the actual number of days elapsed over a year of 360 days) at a rate per annum equal to the fixed rate of interest offered by the Lender making such Loan and accepted by the applicable Borrower pursuant to Section 2.03.
(e) Subject to the provisions of Section 2.10, each Swingline Loan shall bear interest (computed on the basis of the actual number of days elapsed over a year of 360 days) at a rate per annum equal to the Euro Overnight Rate plus the Applicable Percentage set forth under the caption “LIBO/EURIBO/Euro Overnight Rate Spread”.
(f)(e) Interest on each Loan shall be payable on each Interest Payment Date applicable to such Loan except as otherwise provided in this Agreement. The applicable Adjusted LIBO Rate, LIBO Rate, EURIBO Rate, the Euro Overnight Rate or Alternate Base Rate for eachany Interest Period or on any day within an Interest Period, as the case may be, shall be determined by the Administrative Agent, and such determination shall be conclusive absent manifest error.
SECTION 2.10. Default Interest. If a Borrower shall default in the payment of the principal of or interest on any Loan or any other amount becoming due hereunder, whether at scheduled maturity, by notice of prepayment, by acceleration or otherwise, such Borrower shall on demand from time to time from the Administrative Agent pay interest, to the extent permitted by law, on such defaulted amount up to (but not including) the date of actual payment (after as well as before judgment) at a rate per annum (computed as provided in Section 2.09(c)) equal to (i) in the case of overdue principal of any Loan, 2.00% per annum plus the rate otherwise applicable to such Loan as provided in Section 2.09 or (ii) in the case of any other amount, 2.00% per annum plus the rate applicable to ABR Loans as provided in paragraph (c) of Section 2.09.
SECTION 2.11. Alternate Rate of Interest. In the event, and on each occasion, that on the day two Business Days prior to the commencement of any Interest Period for a Eurocurrency Borrowing in any currency, the Administrative Agent shall have determined (i) that deposits in the currency and principal amounts of the Eurocurrency Loans comprising such Borrowing are not generally available in the London market or (ii) that reasonable means do not exist for ascertaining the Adjusted LIBO Rate, the LIBO Rate or the EURIBO Rate, the Administrative Agent shall, as soon as practicable thereafter, give fax notice of such determination to the Borrowers and the Lenders. In the event of any such determination under clause (i) or (ii) above, until the Administrative Agent shall have advised the Company and the Lenders that the circumstances giving rise to such notice no longer exist, (x) any request by a Borrower for a Eurocurrency Competitive Borrowing pursuant to Section 2.03 shall be of no force
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and effect and shall be denied by the Administrative Agent, and (y) any request by a Borrower for a Eurocurrency Revolving Borrowing pursuant to Section 2.04 shall (A) in the case of a request for a Borrowing denominated in Dollars, be deemed to be a request for an ABR Borrowing, and (B) in the case of a request for a Borrowing denominated in an Alternative Currency, be calculated into the Dollar Equivalent and be deemed to be a request for an ABR Borrowing. In the event the Required Lenders notify the Administrative Agent that the rates at which Dollar deposits are being offered will not adequately and fairly reflect the cost to such Lenders of making or maintaining Eurocurrency Loans in Dollars during such Interest Period, the Administrative Agent shall notify the applicable Borrower of such notice and until the Required Lenders shall have advised the Administrative Agent that the circumstances giving rise to such notice no longer exist, any request by such Borrower for a Eurocurrency Revolving Borrowing shall (A) in the case of a request for a Borrowing denominated in Dollars, be deemed to be a request for an ABR Borrowing, and (B) in the case of a request for a Borrowing denominated in an Alternative Currency, be calculated into the Dollar Equivalent and be deemed to be a request for an ABR Borrowing. Each determination by the Administrative Agent hereunder shall be made in good faith and shall be conclusive absent manifest error.
SECTION 2.12. Termination, Reduction, Extension and Increase of Commitments. (a) The Commitments shall automatically terminate on the Maturity Date.
(b) Upon at least three Business Days’ prior irrevocable fax notice to the Administrative Agent, the Company may at any time in whole permanently terminate, or from time to time in part permanently reduce, the Total Commitment; provided, however, that (i) each partial reduction of the Total Commitment shall be in an integral multiple of $10,000,000 and (ii) no such termination or reduction shall be made (A) which would reduce the Total Commitment to an amount less than the Aggregate Credit Exposure or (B) which would reduce any Lender’s Commitment to an amount that is less than the sum of such Lender’s Revolving Credit Exposure and L/C Exposure.
(c) Each reduction in the Total Commitment hereunder shall be made ratably among the Lenders in accordance with their respective Commitments. The Borrowers shall pay to the Administrative Agent for the account of the Lenders, on the date of each reduction or termination of the Total Commitment, the Facility Fees on the amount of the Commitments terminated accrued through the date of such termination or reduction.
(d) The Company may on not more than two occasions during the term of this Agreement, by written notice to the Administrative Agent (which shall promptly deliver a copy to each of the Lenders) not less than 30 days and not more than 90 days prior to any anniversary of the date hereof, request that the Lenders extend the Maturity Date and the Commitments for an additional period of one year. Each Lender shall, by notice to the Company and the Administrative Agent given not later than the 20th day after the date of the Administrative Agent’s receipt of the Company’s extension request, advise the Company whether or not it agrees to the requested extension (each Lender agreeing to a requested extension being called a “Consenting Lender” and each Lender declining to agree to a requested extension being called a “Declining Lender”). Any
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Lender that has not so advised the Company and the Administrative Agent by such day shall be deemed to have declined to agree to such extension and shall be a Declining Lender. If Lenders constituting the Required Lenders shall have agreed to an extension request, then the Maturity Date shall, as to the Consenting Lenders, be extended to the first anniversary of the Maturity Date theretofore in effect. The decision to agree or withhold agreement to any Maturity Date extension shall be at the sole discretion of each Lender. The Commitment of any Declining Lender shall terminate on the Maturity Date in effect prior to giving effect to any such extension (such Maturity Date being called the “Existing Maturity Date”). The principal amount of any outstanding Loans made by Declining Lenders, together with any accrued interest thereon and any accrued fees and other amounts payable to or for the accounts of such Declining Lenders hereunder, shall be due and payable on the Existing Maturity Date, and on the Existing Maturity Date, the Borrowers shall also make such other prepayments of their Loans as shall be required in order that, after giving effect to the termination of the Commitments of, and all payments to, Declining Lenders pursuant to this sentence, the Aggregate Credit Exposures shall not exceed the Total Commitment. Notwithstanding the foregoing provisions of this paragraph, the Company shall have the right, pursuant to Section 10.04, at any time prior to the Existing Maturity Date, to replace a Declining Lender with a Lender or other financial institution that will agree to a request for the extension of the Maturity Date, and any such replacement Lender shall for all purposes constitute a Consenting Lender. Notwithstanding the foregoing, no extension of the Maturity Date pursuant to this paragraph shall become effective unless (i) the Administrative Agent shall have received documents consistent with those delivered with respect to the Company and the Borrowers under Section 4.02(b) and (c) and Section 4.03(a), giving effect to such extension and (ii) on the anniversary of the date hereof that immediately follows the date on which the Company delivers the applicable request for extension of the Maturity Date, the conditions set forth in paragraphs (b) and (c) of Section 4.01 shall be satisfied (with all references in such paragraphs to a Borrowing being deemed to be references to such extension and without giving effect to the parenthetical in Section 4.01(b)) and the Administrative Agent shall have received a certificate to that effect dated such date and executed by a Financial Officer of the Company. Notwithstanding the foregoing, the Maturity Date (without taking into consideration any extension pursuant to this Section), as such term is used in reference to any Issuing Bank or any Letters of Credit issued by such Issuing Bank or in reference to any Swingline Lender or any Swingline Loans made by such Swingline Lender, may not be extended without the prior written consent of such Issuing Bank or such Swingline Lender, as applicable (it being understood and agreed that, in the event any Issuing Bank or any Swingline Lender, as applicable, shall not have consented to any such extension, (i) such Issuing Bank shall continue to have all the rights and obligations of an Issuing Bank hereunder, and such Swingline Lender shall continue to have all the rights and obligations of a Swingline Lender hereunder, in each case through the applicable Existing Maturity Date and thereafter shall have no obligation to issue, amend, extend or renew any Letter of Credit or to make any Swingline Loan, as applicable (but shall, in each case, continue to be entitled to the benefits of Sections 2.05, 2.14, 2.20, 2.23 and 10.05 as to Letters of Credit issued or Swingline Loans made, as applicable, prior to such time), and (ii) the Borrowers shall cause the L/C Exposure attributable to Letters of Credit issued by such Issuing Bank to be zero no later than the day on which such L/C Exposure would have been required to have been reduced to zero in accordance with the terms hereof without giving effect to
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any effectiveness of the extension of the applicable Existing Maturity Date pursuant to this Section (and, in any event, no later than the applicable Existing Maturity Date)).
(e) The Company may, by written notice to the Administrative Agent, executed by the Company and one or more financial institutions (any such financial institution referred to in this Section being called an “Increasing Lender”), which may include any Lender, cause Commitments to be extended by the Increasing Lenders (or cause the Commitments of the Increasing Lenders to be increased, as the case may be) in an amount for each Increasing Lender set forth in such notice, provided, however, that (a) the aggregate amount of all new Commitments and increases in existing Commitments pursuant to this paragraph during the term of this Agreement shall in no event exceed $200,000,000, (b) each Increasing Lender, if not already a Lender hereunder, (x) shall have a Commitment, immediately after the effectiveness of such increase, of at least $25,000,000, (y) shall be subject to the approval of the Administrative Agent and, each Issuing Bank and each Swingline Lender (which approval shall not be unreasonably withheld) and (z) shall become a party to this Agreement by completing and delivering to the Administrative Agent a duly executed accession agreement in a form satisfactory to the Administrative Agent and the Company (an “Accession Agreement”) and (c) the decision of any existing Lender to become an Increasing LenderBank shall be in the sole discretion of such Lender, and no existing Lender shall be required to increase its Commitment hereunder. New Commitments and increases in Commitments pursuant to this Section shall become effective on the date specified in the applicable notices delivered pursuant to this Section. Upon the effectiveness of any Accession Agreement to which any Increasing Lender is a party, (i) such Increasing Lender shall thereafter be deemed to be a party to this Agreement and shall be entitled to all rights, benefits and privileges accorded a Lender hereunder and subject to all obligations of a Lender hereunder and (ii) Schedule 2.01 shall be deemed to have been amended to reflect the Commitment of such Increasing Lender as provided in such Accession Agreement. Upon the effectiveness of any increase pursuant to this Section in the Commitment of a Lender already a party hereto, Schedule 2.01 shall be deemed to have been amended to reflect the increased Commitment of such Lender. Notwithstanding the foregoing, no increase in the aggregate Commitments (or in the Commitment of any Lender) shall become effective under this Section unless, on the date of such increase, (i) the Administrative Agent shall have received documents consistent with those delivered with respect to the Company and the Borrowers under Section 4.02(b) and (c) and Section 4.03(a), giving effect to such increase and (ii) the conditions set forth in paragraphs (b) and (c) of Section 4.01 shall be satisfied (with all references in such paragraphs to a Borrowing being deemed to be references to such increase and without giving effect to the parenthetical in Section 4.01(b)) and the Administrative Agent shall have received a certificate to that effect dated such date and executed by a Financial Officer of the Company. Following any extension of a new Commitment or increase of a Lender’s Commitment pursuant to this paragraph, any Revolving Loans outstanding prior to the effectiveness of such increase or extension shall continue outstanding until the ends of the respective Interests Periods applicable thereto, and shall then be repaid or refinanced with new Revolving Loans made pursuant to Section 2.01.
SECTION 2.13. Prepayment. (a) Each Borrower shall have the right at any time and from time to time to prepay any Revolving Borrowing and/or Swingline
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Loan, in whole or in part, upon giving fax notice (or telephone notice promptly confirmed by fax) to the Administrative Agent (and, in the case of a prepayment of a Swingline Loan, the applicable Swingline Lender): (i) before 10:00 a.m., New York City time, three Business Days prior to prepayment, in the case of Eurocurrency Revolving Loans, and (ii) before 10:00 a.m., New York City time, one Business Day prior to prepayment, in the case of ABR Loans and (iii) before 10:00 a.m., Local Time, on the date of prepayment, in the case of Swingline Loans; provided, however, that in the case of any Revolving Borrowing, each partial prepayment shall be in an amount which is an integral multiple of $5,000,000the Borrowing Multiple and not less than $10,000,000.the Borrowing Minimum.
(b) If the Aggregate Credit Exposure shall at any time exceed the Total Commitment, then (i) on the last day of any Interest Period applicable to any Eurocurrency Revolving Borrowing and (ii) on any other date in the event any ABR Revolving Borrowing or Swingline Loans shall be outstanding, the Borrowers shall prepay Revolving Loans and/or Swingline Loans in an amount equal to the lesser of (A) the amount necessary to eliminate such excess (after giving effect to any other prepayment of Loans on such day) and (B) the amount of the applicable Borrowings referred to in clause (i) or (ii), as applicable. If, on any date, the Aggregate Credit Exposure shall exceed 105% of the Total Commitment, then the Borrowers shall, not later than the third Business Day following the date notice of such excess is received from the Administrative Agent, prepay one or more Revolving Borrowings and/or Swingline Loans in an aggregate principal amount sufficient to eliminate such excess.
(c) On the date of any termination or reduction of the Commitments pursuant to Section 2.12, the Borrowers shall pay or prepay so much of the Revolving Borrowings and/or Swingline Loans as shall be necessary in order that the Aggregate Credit Exposure will not exceed the Total Commitment after giving effect to such termination or reduction.
(d) Each notice of prepayment shall specify the prepayment date and the principal amount of each Borrowing (or portion thereof) to be prepaid, shall be irrevocable and shall commit the applicable Borrower to prepay such Borrowing (or portion thereof) by the amount stated therein on the date stated therein. All prepayments under this Section shall be subject to Section 2.16 but otherwise without premium or penalty. All prepayments under this Section shall be accompanied by accrued interest on the principal amount being prepaid to the date of payment.
SECTION 2.14. Reserve Requirements; Change in Circumstances.
(a) Notwithstanding any other provision herein, if after the date of this Agreement any Change in Law shall result in the imposition, modification or applicability of any reserve, insurance charge, special deposit or similar requirement against assets of, deposits with or for the account of or credit extended or participated in by any Credit Party, or shall result in the imposition on any Credit Party or the London interbank market of any other condition affecting this Agreement, such Credit Party’s Commitment or any Loan made by such Credit Party or Letter of Credit or participation therein (including any Tax (other than (i) Indemnified Taxes, (ii) Taxes described in clauses (b) through (c) of the definition of Excluded Taxes and (iii) Connection Income Taxes) on or with respect to the
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Commitments, Loans, deposits or liabilities incurred to fund Loans, assets consisting of Loans (but not unrelated assets) or capital attributable to the foregoing), and the result of any of the foregoing shall be to increase the cost to such Credit Party of making, converting to, continuing or maintaining any Loan or of issuing or maintaining any Letter of Credit (or of maintaining its obligation to participate in or to issue any Letter of Credit) or to reduce the amount of any sum received or receivable by such Credit Party hereunder (whether of principal, interest or otherwise) by an amount deemed by such Credit Party to be material, then such additional amount or amounts as will compensate such Credit Party for such additional costs or reduction will be paid by the Borrowers to such Credit Party upon demand. Notwithstanding the foregoing, no Credit Party shall be entitled to request compensation under this paragraph, (A) with respect to any Competitive Loan made by such Credit Party if the Change in Law giving rise to such request was applicable to such Credit Party at the time of submission of the Competitive Bid pursuant to which such Competitive Loan was made or issued, or (B) with respect to any Change in Law in respect of costs imposed on such Lender or Issuing Bank under the Dodd-Frank Wall Street Reform and Consumer Protection Act or Basel III if it shall not be the general policy or practice of such Credit Party to seek compensation in similar circumstances under similar provisions in comparable credit facilities, as determined in good faith by such Credit Party.
(b) If any Credit Party shall have determined that any Change in Law affecting such Credit Party or any lending office of such Credit Party or such Credit Party’s holding company, if any, regarding capital adequacy or liquidity has or would have the effect of reducing the rate of return on such Credit Party’s capital or on the capital of such Credit Party’s holding company, if any, as a consequence of this Agreement, such Credit Party’s Commitment or the Loans made or Letters of Credit issued by such Credit Party pursuant hereto to a level below that which such Credit Party or such Credit Party’s holding company could have achieved but for such Change in Law (taking into consideration such Credit Party’s policies and the policies of such Credit Party’s holding company with respect to capital adequacy or liquidity) by an amount deemed by such Credit Party to be material, then from time to time such additional amount or amounts as will compensate such Credit Party for such reduction will be paid by the Borrowers to such Credit Party.
(c) A certificate of any Credit Party setting forth such amount or amounts as shall be necessary to compensate such Credit Party or its holding company as specified in paragraph (a) or (b) above, as the case may be, shall be delivered to the Company and shall be conclusive absent manifest error. The Borrowers shall pay such Credit Party the amount shown as due on any such certificate delivered by it within 10 days after its receipt of the same.
(d) Failure on the part of any Credit Party to demand compensation for any increased costs or reduction in amounts received or receivable or reduction in return on capital with respect to any period shall not constitute a waiver of such Credit Party’s right to demand compensation with respect to such period or any other period; provided that the Borrowers shall not be required to compensate any Credit Party pursuant to this Section for any increased costs or expenses incurred or reductions suffered more than 90 days prior to the date that such Credit Party notifies the Company of the Change in Law
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giving rise to such increased costs or expenses or reductions and of such Credit Party’s intention to claim compensation therefor; provided further that, if the Change in Law giving rise to such increased costs or expenses or reductions is retroactive, then the 90-day period referred to above shall be extended to include the period of retroactive effect thereof. The protection of this Section shall be available to each Credit Party regardless of any possible contention of the invalidity or inapplicability of the Change in Law which shall have occurred or been imposed.
SECTION 2.15. Change in Legality. (a) Notwithstanding any other provision herein, if any change in any law or regulation or in the interpretation thereof by any Governmental Authority charged with the administration or interpretation thereof shall make it unlawful for any Lender or any of its Affiliates to make or maintain any Eurocurrency Loan or to give effect to its obligations as contemplated hereby with respect to any Eurocurrency Loan, then, by written notice to the Company and to the Administrative Agent, such Lender may:
(i) declare that Eurocurrency Loans will not thereafter be made by such Lender hereunder, whereupon such Lender shall not submit a Competitive Bid in response to a request for a Eurocurrency Competitive Borrowing, and any request for a Eurocurrency Revolving Borrowing shall, as to such Lender only, be deemed a request for an ABR Loan, unless such declaration shall be subsequently withdrawn; and
(ii) require that all outstanding Eurocurrency Loans denominated in Dollars made by it be converted to ABR Loans (which ABR Loans shall, for purposes of this Section 2.15, be determined at a rate per annum by reference to the greater of clause (a) or (b) of the definition of the term “Alternate Base Rate”) and that all outstanding Eurocurrency Loans denominated in the affected Alternative Currency or affected Non-US Currency be promptly prepaid, in which event all such Eurocurrency Loans in Dollars shall be automatically converted to ABR Loans (at a rate per annum as so determined) as of the effective date of such notice as provided in paragraph (b) below and all such Alternative Currency Loans and Non-US Currency Loans shall be promptly prepaid.
In the event any Lender shall exercise its rights under (i) or (ii) above with respect to Eurocurrency Loans, all payments and prepayments of principal which would otherwise have been applied to repay the Eurocurrency Loans that would have been made by such Lender or the converted Eurocurrency Loans of such Lender shall instead be applied to repay the ABR Loans made by such Lender in lieu of, or resulting from the conversion of, such Eurocurrency Loans.
(b) For purposes of this Section 2.15, a notice by any Lender shall be effective as to each Eurocurrency Loan, if lawful, on the last day of the Interest Period currently applicable to such Eurocurrency Loan; in all other cases such notice shall be effective on the date of receipt.
SECTION 2.16. Indemnity. The Borrowers shall indemnify each Lender against any out-of-pocket loss or reasonable expense which such Lender may sustain or incur as a consequence of (a) any failure to borrow or to refinance, convert or continue
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any Loan hereunder after irrevocable notice of such borrowing, refinancing, conversion or continuation has been given pursuant to Section 2.03, 2.04 or 2.06, (b) any payment, prepayment or conversion, or assignment required under Section 2.21, of a Eurocurrency Loan required by any other provision of this Agreement or otherwise made or deemed made on a date other than the last day of the Interest Period, if any, applicable thereto, (c) any default in payment or prepayment of the principal amount of any Loan or any part thereof or interest accrued thereon, as and when due and payable (at the due date thereof, whether by scheduled maturity, acceleration, irrevocable notice of prepayment or otherwise) or (d) the occurrence of any Event of Default, including, in each such case, any loss or reasonable expense sustained or incurred or to be sustained or incurred in liquidating or employing deposits from third parties acquired to effect or maintain such Loan or any part thereof as a Eurocurrency Loan. Such loss or reasonable expense shall include an amount equal to the excess, if any, as reasonably determined by such Lender, of (i) its cost of obtaining the funds for the Loan being paid, prepaid, refinanced or not borrowed (assumed to be the Adjusted LIBO Rate, LIBO Rate or EURIBO Rate applicable thereto) for the period from the date of such payment, prepayment, refinancing or failure to borrow or refinance to the last day of the Interest Period for such Loan (or, in the case of a failure to borrow or refinance the Interest Period for such Loan which would have commenced on the date of such failure) over (ii) the amount of interest (as reasonably determined by such Lender) that would be realized by such Lender in reemploying the funds so paid, prepaid or not borrowed or refinanced for such period or Interest Period, as the case may be. A certificate of any Lender setting forth any amount or amounts which such Lender is entitled to receive pursuant to this Section as a result of any loss shall be delivered to such Borrower and shall be conclusive absent manifest error; provided that any expenses related to any such loss that are incurred by such Lender and reported under such certificate shall be required to be reasonably documented.
SECTION 2.17. Pro Rata Treatment. Except as required under Sections 2.15 and 2.21, each payment of the Facility Fees and each reduction of the Commitments shall be allocated pro rata among the Lenders in accordance with their respective Commitments (or, if such Commitments shall have expired or been terminated, in accordance with the respective principal amounts of their outstanding Revolving Loans). Except as required under Sections 2.15 and 2.12(d), each payment or repayment of principal of any Revolving Borrowing and each refinancing or conversion of any Revolving Borrowing shall be allocated pro rata among the Lenders in accordance with the respective principal amounts of their outstanding Revolving Loans comprising such Borrowing, and each payment of interest on any Revolving Borrowing shall be allocated pro rata among the Lenders in accordance with the respective amounts of accrued and unpaid interest on their outstanding Revolving Loans comprising such Borrowing. Each payment of principal of any Competitive Borrowing shall be allocated pro rata among the Lenders participating in such Borrowing in accordance with the respective principal amounts of their outstanding Competitive Loans comprising such Borrowing. Each payment of interest on any Competitive Borrowing shall be allocated pro rata among the Lenders participating in such Borrowing in accordance with the respective amounts of accrued and unpaid interest on their outstanding Competitive Loans comprising such Borrowing. For purposes of determining the Commitments of the Lenders at any time, each outstanding Competitive Borrowing shall be deemed to have utilized the
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Commitments of the Lenders (including those Lenders which shall not have made Loans as part of such Competitive Borrowing) pro rata in accordance with their respective Commitments. Each Lender agrees that in computing such Lender’s portion of any Borrowing to be made hereunder, the Administrative Agent may, in its discretion, round each Lender’s percentage of such Borrowing to the next higher or lower whole Dollar amount.
SECTION 2.18. Sharing of Setoffs. Each Lender agrees that if it shall, through the exercise of a right of banker’s lien, setoff or counterclaim, or pursuant to a secured claim under Section 506 of Title 11 of the United States Code or other security or interest arising from, or in lieu of, such secured claim, received by such Lender under any applicable bankruptcy, insolvency or other similar law or otherwise, or by any other means (other than pursuant to Sections 2.14, 2.16 or 2.20), obtain payment (voluntary or involuntary) in respect of any Revolving Loans or amounts owed to it in respect of L/C Disbursements or participations in Swingline Loans as a result of which the unpaid principal portion of its Revolving Loans and the amounts owed to it in respect of L/C Disbursements or participations in Swingline Loans shall be proportionately less than the unpaid principal portion of the Revolving Loans and amounts owed in respect of L/C Disbursements or participations in Swingline Loans of any other Lender, it shall be deemed simultaneously to have purchased from such other Lender at face value, and shall promptly pay to such other Lender the purchase price for, a participation in the Revolving Loans and amounts owed in respect of L/C Disbursements and participations in Swingline Loans of such other Lender, so that the aggregate unpaid principal amount of the Revolving Loans and participations in the Revolving Loans and amounts owed in respect of L/C Disbursements and participations in Swingline Loans of each Lender shall be in the same proportion to the aggregate unpaid principal amount of all Revolving Loans and amounts owed in respect of L/C Disbursements and participations in Swingline Loans then outstanding as the principal amount of its Revolving Loans and the amounts owed to it in respect of L/C Disbursements and participations in Swingline Loans prior to such exercise of banker’s lien, setoff or counterclaim or other event was to the principal amount of all Revolving Loans and amounts owed in respect of L/C Disbursements and participations in Swingline Loans outstanding prior to such exercise of banker’s lien, setoff or counterclaim or other event; provided, however, that, if any such purchase or purchases or adjustments shall be made pursuant to this Section 2.18 and the payment giving rise thereto shall thereafter be recovered, such purchase or purchases or adjustments shall be rescinded to the extent of such recovery and the purchase price or prices or adjustment restored without interest. Any Lender holding a participation in a Revolving Loan or amount owed in respect of an L/C Disbursement and participations in Swingline Loans deemed to have been so purchased may exercise any and all rights of banker’s lien, setoff or counterclaim with respect to any and all moneys owing to such Lender by reason thereof as fully as if such Lender had made a Revolving Loan or Swingline Loan in the amount of such participation.
SECTION 2.19. Payments. (a) Except to the extent that any Tax is required to be withheld or deducted under applicable law or regulation, but subject to the provisions of Section 2.20, the Borrowers shall make each payment (including principal of or interest on any Borrowing or any L/C Disbursement and any Fees or other amounts) hereunder without deduction, counter-claim or setoff in immediately available funds not
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later than 12:00 noonp.m., Local Time, on the date when due in immediately available funds. All such payments shall be made to the Administrative Agent to the applicable account specified by it for the account of the Lenders or, in any such case, to such other account as the Administrative Agent shall from time to time specify in a notice delivered to the Company. Each such payment (other than principal of and interest on Alternative Currency Loans, Non-US Currency Loans and, Alternative Currency L/C Disbursements and Swingline Loans, which shall be made in the applicable currencies) shall be made in Dollars. The Administrative Agent shall promptly, in accordance with customary banking procedures, distribute all payments for the accounts of the Lenders received by it to the Lenders.
(b) Whenever any payment (including principal of or interest on any Borrowing or any Fees or other amounts) hereunder shall become due, or otherwise would occur, on a day that is not a Business Day, such payment may be made on the next succeeding Business Day, and such extension of time shall in such case be included in the computation of interest or Fees, if applicable.
(c) Notwithstanding any contrary provision hereof, if any Lender shall fail to make any payment required to be made by it hereunder to or for the account of the Administrative Agent or, any Issuing Bank or any Swingline Lender, the Administrative Agent may, in its discretion, until such time as all such unsatisfied obligations of such Lender have been fully paid, (i) apply any amounts received by the Administrative Agent for the account of such Lender for the benefit of the Administrative Agent, the applicable Issuing Bank or the applicable Issuing BankSwingline Lender to satisfy such Lender’s obligations to it under each such Section and/or (ii) hold any such amounts in a segregated account as cash collateral for, and for application to, any future obligations of such Lender under any such Section, in each case in any order as determined by the Administrative Agent in its discretion.
SECTION 2.20. Taxes. (a) Each payment by each applicable Borrower under this Agreement shall be made without withholding for any Taxes, unless such withholding is required by any law. If any Withholding Agent determines, in its sole discretion exercised in good faith, that it is so required to withhold Taxes, then such Withholding Agent may so withhold and shall timely pay the full amount of withheld Taxes to the relevant Governmental Authority in accordance with applicable law. If such Taxes are Indemnified Taxes, then the amount payable by the applicable Borrower shall be increased as necessary so that, net of such withholding (including such withholding applicable to additional amounts payable under this Section), the applicable Credit Party receives the amount it would have received had no such withholding been made.
(b) Each applicable Borrower shall timely pay any Other Taxes to the relevant Governmental Authority in accordance with applicable law.
(c) As soon as practicable after any payment of Indemnified Taxes by any Borrower to a Governmental Authority, such Borrower shall deliver to the Administrative Agent the original or a certified copy of a receipt issued by such Governmental Authority evidencing such payment or other evidence of such payment reasonably satisfactory to the Administrative Agent.
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(d) Each Borrower shall indemnify each Credit Party for any Indemnified Taxes that are paid or payable by such Credit Party in connection with this Agreement (including amounts paid or payable under this Section 2.20(d)) and any reasonable expenses arising therefrom or with respect thereto, whether or not such Indemnified Taxes were correctly or legally imposed or asserted by the relevant Governmental Authority, except to the extent that such Borrower has paid additional amounts with respect to such Taxes pursuant to Section 2.20(a) of this Agreement. The indemnity under this Section 2.20(d) shall be paid within 10 days after the Credit Party delivers to the applicable Borrower a certificate stating the amount of any Indemnified Taxes so paid or payable by such Credit Party. Such certificate shall be conclusive of the amount so paid or payable absent manifest error. Such Credit Party shall deliver a copy of such certificate to the Administrative Agent.
(e) Each Lender shall severally indemnify the Administrative Agent for any Taxes (but, in the case of any Indemnified Taxes, only to the extent that the Borrowers have not already indemnified the Administrative Agent for such Indemnified Taxes and without limiting the obligation of any Borrower to do so) attributable to such Lender that are paid or payable by the Administrative Agent in connection with this Agreement and any reasonable expenses arising therefrom or with respect thereto, whether or not such Taxes were correctly or legally imposed or asserted by the relevant Governmental Authority. The indemnity under this Section 2.20(e) shall be paid within 10 days after the Administrative Agent delivers to the applicable Lender a certificate stating the amount of Taxes or expenses so paid or payable by the Administrative Agent. Such certificate shall be conclusive of the amount so paid or payable absent manifest error.
(f) (i) Any Lender that is entitled to an exemption from, or reduction of, any applicable withholding Tax with respect to any payments under this Agreement or the Loan Documents shall deliver to the Borrowers and the Administrative Agent, on or prior to the date such Lender becomes a party to this Agreement and at the time or times reasonably requested by any Borrower or the Administrative Agent, such properly completed and executed documentation reasonably requested by such Borrower or the Administrative Agent as will permit such payments to be made without, or at a reduced rate of, withholding. In addition, any Lender shall, on or prior to the date such Lender becomes a party to this Agreement and at the time or times reasonably requested by any Borrower or the Administrative Agent, deliver such other documentation prescribed by law or reasonably requested by such Borrower or the Administrative Agent as will enable such Borrower or the Administrative Agent to determine whether or not such Lender is subject to backup withholding or information reporting requirements. Upon the reasonable request of any Borrower or the Administrative Agent, any Lender shall update any form or certification previously delivered pursuant to this Section 2.20(f). If any form or certification previously delivered pursuant to this Section expires or becomes obsolete or inaccurate in any respect with respect to a Lender, such Lender shall promptly (and in any event within 10 days after such expiration, obsolescence or inaccuracy) notify such Borrower and the Administrative Agent in writing of such expiration, obsolescence or inaccuracy and update the form or certification if it is legally eligible to do so. Notwithstanding anything to the contrary in this Section 2.20(f)(i), the completion, execution and submission of such documentation (other than such
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documentation set forth in Section 2.20(f)(ii)(A), (ii)(B), (ii)(C), (ii)(D), (ii)(E) and Section 2.20(f)(iii) below) shall not be required if in the Lender’s reasonable judgment such completion, execution or submission would subject such Lender to any material unreimbursed cost or expense or would materially prejudice the legal or commercial position of such Lender.
(ii) Without limiting the generality of the foregoing, if any Borrower is a US Person, any Lender with respect to such Borrower shall, if it is legally eligible to do so, deliver to such Borrower and the Administrative Agent (in such number of copies reasonably requested by such Borrower and the Administrative Agent) on or prior to the date on which such Lender becomes a party hereto, duly completed and executed copies of whichever of the following is applicable (including any applicable substitute or successor forms):
(A) in the case of a Lender that is a US Person, IRS Form W-9 certifying that such Lender is exempt from US Federal backup withholding tax;
(B) in the case of a Non-US Lender claiming the benefits of an income tax treaty to which the United States is a party (1) with respect to payments of interest under this Agreement, IRS Form W-8BEN or W-8BEN-E, as applicable, establishing an exemption from, or reduction of, US Federal withholding Tax pursuant to the “interest” article of such tax treaty and (2) with respect to any other applicable payments under this Agreement or the Loan Documents, IRS Form W-8BEN or W-8BEN-E, as applicable, establishing an exemption from, or reduction of, US Federal withholding Tax pursuant to the “business profits” or “other income” article of such tax treaty;
(C) in the case of a Non-US Lender for whom payments under this Agreement constitute income that is effectively connected with such Lender’s conduct of a trade or business in the United States, IRS Form W-8ECI;
(D) in the case of a Non-US Lender claiming the benefits of the exemption for portfolio interest under Section 881(c) of the Code both (1) IRS Form W-8BEN or W-8BEN-E, as applicable, and (2) a certificate substantially in the form of Exhibit G (a “US Tax Certificate”) to the effect that such Lender is not (a) a “bank” within the meaning of Section 881(c)(3)(A) of the Code, (b) a “10 percent shareholder” of such Borrower within the meaning of Section 881(c)(3)(B) of the Code (c) a “controlled foreign corporation” described in Section 881(c)(3)(C) of the Code and (d) conducting a trade or business in the United States with which the relevant interest payments are effectively connected;
(E) in the case of a Non-US Lender that is not the beneficial owner of payments made under this Agreement (including a partnership or a participating Lender) (1) an IRS Form W-8IMY on behalf of itself and
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(2) the relevant forms prescribed in clauses (A), (B), (C), (D) and (F) of this paragraph (f)(ii) that would be required of each such beneficial owner or partner of such partnership if such beneficial owner or partner were a Lender; provided, however, that if such non-US Lender is a partnership and one or more of its partners are claiming the exemption for portfolio interest under Section 881(c) of the Code, such Lender may provide a US Tax Certificate on behalf of such partners; or
(F) any other form prescribed by law as a basis for claiming exemption from, or a reduction of, US Federal withholding Tax together with such supplementary documentation necessary to enable such Borrower or the Administrative Agent to determine the amount of Tax (if any) required by law to be withheld.
(iii) Each Lender shall deliver to the Withholding Agent, at the time or times prescribed by law (including as prescribed as a result of any change in law or the taking effect of any law occurring after the date hereof) and at such time or times reasonably requested by the Withholding Agent, such documentation prescribed by applicable law (including as prescribed by Section 1471(b)(3)(C)(i) of the Code and as prescribed by any change in law or the taking effect of any law occurring after the date hereof) and such additional documentation reasonably requested by the Withholding Agent as may be necessary for the Withholding Agent (A) to comply with its obligations under FATCA and (B) to determine that such Lender has complied with such Lender’s obligations under FATCA or to determine the amount to deduct and withhold from such payment. For purposes of this Section 2.20(f)(iii), FATCA shall include any amendments made to FATCA after the date of this Agreement.
(g) If any party determines, in its sole discretion exercised in good faith, that it has received a refund of any Taxes as to which it has been indemnified pursuant to this Section 2.20 (including additional amounts paid pursuant to this Section 2.20), it shall pay to the indemnifying party an amount equal to such refund (but only to the extent of indemnity payments made and additional amounts paid under this Section with respect to the Taxes giving rise to such refund), net of all out-of-pocket expenses (including any Taxes) of such indemnified party and without interest (other than any interest paid by the relevant Governmental Authority with respect to such refund). Such indemnifying party, upon the request of such indemnified party, shall repay to such indemnified party the amount paid to such indemnified party pursuant to the previous sentence (plus any penalties, interest or other charges imposed by the relevant Governmental Authority) in the event such indemnified party is required to repay such refund to such Governmental Authority. This Section 2.20(g) shall not be construed to require any party to make available its Tax returns (or any other information relating to its Taxes which it deems confidential) to any other party or any other Person.
(h) Each Lender shall severally indemnify the Administrative Agent and each Borrower for any Taxes incurred or asserted against the Administrative Agent or such Borrower by any Governmental Authority and any reasonable expenses arising therefrom as a result of the failure by such Lender to deliver, or as a result of the inaccuracy, inadequacy or deficiency of, any documentation required to be delivered by
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such Lender to the Administrative Agent or such Borrower pursuant to Section 2.20(f). The indemnity under this Section 2.20(h) shall be paid within 10 days after the Administrative Agent or such Borrower delivers to the applicable Lender a certificate stating the amount of Taxes or expenses so paid or payable by the Administrative Agent or such Borrower. Such certificate shall be conclusive of the amount so paid or payable absent manifest error.
(i) VAT. (i) All amounts set out or expressed in any Loan Document to be payable by any party to the Administrative Agent or any Lender that (in whole or in part) constitute the consideration for a supply for VAT purposes shall, except as otherwise agreed by the Administrative Agent or such Lender, as applicable, be deemed to be exclusive of any VAT that is chargeable on such supply. Subject to Section 2.20(i)(ii), if VAT is or becomes chargeable on any supply made by the Administrative Agent or any Lender to any party under any Loan Document, and the Administrative Agent or such Lender, as applicable, is required to account to the relevant Governmental Authority for such VAT, such party shall pay to the Administrative Agent or such Lender, as applicable (in addition to and at the same time as paying any other consideration for such supply), an amount equal to the amount of such VAT (and the Administrative Agent or such Lender, as applicable, shall promptly deliver to such party a VAT invoice complying with the applicable legal requirements) unless such party is obligated by applicable law to account directly to the applicable Governmental Authority for such VAT or the Administrative Agent or such Lender, as applicable, has reasonably determined that it is entitled to a refund or credit in respect of the amount of such VAT.
(ii) If VAT is or becomes chargeable on any supply made by the Administrative Agent or any Lender (the “VAT Supplier”) to any other Lender (the “VAT Recipient”) under any Loan Document, and any party other than the VAT Recipient (the “VAT Relevant Party”) is required by the terms of any Loan Document to pay an amount equal to the consideration for that supply to the VAT Supplier (rather than being required to reimburse or indemnify the VAT Recipient in respect of that consideration), then: (x) in the case where the VAT Supplier is the Person required to account to the relevant Governmental Authority for the VAT, the VAT Relevant Party shall also pay to the VAT Supplier (at the same time as paying that amount) an additional amount equal to the amount of the VAT and the VAT Recipient shall (where the immediately foregoing clause (x) applies) promptly pay to the VAT Relevant Party an amount equal to any credit or repayment the VAT Recipient receives from the relevant Governmental Authority which the VAT Recipient reasonably determines relates to the VAT chargeable on that supply; and (y) in the case where the VAT Recipient is the Person required to account to the relevant Governmental Authority for the VAT, the VAT Relevant Party shall promptly, following demand from the VAT Recipient, pay to the VAT Recipient an amount equal to the VAT chargeable on that supply but only to the extent that the VAT Recipient reasonably determines that it is not entitled to credit or repayment from the relevant Governmental Authority in respect of that VAT.
(iii) Where any Loan Document requires any party to reimburse or indemnify the Administrative Agent or any Lender for any cost or expense, such
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party shall reimburse or indemnify (as the case may be) the Administrative Agent or such Lender, as applicable, for the full amount of such cost or expense, including such part thereof as represents VAT, except to the extent that the Administrative Agent or Lender, as applicable, reasonably determines that it, or any company of its group, is entitled to credit or repayment in respect of such VAT from the relevant tax authority.
(iv) Any reference in this Section 2.20 to any party shall, at any time when such party is treated as a member of a group for VAT purposes, include (where appropriate and unless the context otherwise requires) a reference to a Person treated as making or (as appropriate) receiving the supply under rules enacted in any relevant jurisdiction to give effect to the principle set forth in Article 11 of the council directive 2006/112/EEC on the common system of value added tax.
(v) In relation to any supply made by any party under any Loan Document, if reasonably requested by the party by whom the relevant supply is made, the party to whom the relevant supply is made must promptly provide the supplying party with details of the receiving party’s VAT registration and such other information as is reasonably requested in connection with the VAT reporting requirements of the supplying party in relation to such supply.
(j) Each party’s obligations under this Section 2.20 shall survive any assignment of rights by, or the replacement of, a Lender, the termination of the Commitments and the repayment, satisfaction or discharge of all other obligations under this Agreement.
(k) For purposes of Sections 2.20(e), (f), (h) and (j), the term “Lender” includes any (i) Issuing Bank and (ii) assignee and Participant under Section 10.04.
SECTION 2.21. Duty to Mitigate; Assignment of Commitments Under Certain Circumstances. (a) Any Lender (including any assignee and any Lender for the benefit of a Participant) or Issuing Bank claiming any additional amounts payable pursuant to Section 2.14 or Section 2.20 or exercising its rights under Section 2.15 shall use reasonable efforts (consistent with legal and regulatory restrictions) to file any certificate or document requested by the Company or to change the jurisdiction of its applicable lending office if the making of such a filing or change would avoid the need for or reduce the amount of any such additional amounts which may thereafter accrue or avoid the circumstances giving rise to such exercise and would not, in the sole determination of such Lender (including any assignee and any Lender for the benefit of a Participant) or Issuing Bank, be otherwise disadvantageous to such Lender (including any assignee and any Lender for the benefit of a Participant) or Issuing Bank.
(b) In the event that any Lender (including any assignee and any Lender for the benefit of a Participant) or Issuing Bank shall have delivered a notice or certificate pursuant to Section 2.14 or 2.15, or any Borrower shall be required to make additional payments to any Lender (including any assignee and any Lender for the benefit of a Participant) or Issuing Bank under Section 2.20, the Company shall have the right, at its own expense, upon notice to such Lender (including any assignee and any Lender for the benefit of a Participant) or Issuing Bank and the Administrative Agent, to require such
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Lender (including any assignee and any Lender for the benefit of a Participant) or Issuing Bank to transfer and assign without recourse, representation or warranty (in accordance with and subject to the restrictions contained in Section 10.04) all interests, rights and obligations contained hereunder to another financial institution approved by the Administrative Agent (which approval shall not be unreasonably withheld) which shall assume such obligations; provided that (i) no such assignment shall conflict with any law, rule or regulation or order of any Governmental Authority and (ii) the assignee or the Company, as the case may be, shall pay to the affected Lender (including any assignee and any Lender for the benefit of a Participant) or Issuing Bank in immediately available funds on the date of such assignment the principal of and interest accrued to the date of payment on the Loans and L/C Disbursements made by it hereunder and all other amounts accrued for its account or owed to it hereunder and shall cause all Letters of Credit issued by it to be canceled on such date.
SECTION 2.22. Defaulting Lenders. Notwithstanding any provision of this Agreement to the contrary, if any Lender becomes a Defaulting Lender, then the following provisions shall apply for so long as such Lender is a Defaulting Lender:
(a) Facility Fees shall cease to accrue on the unfunded portion of the Commitment of such Defaulting Lender pursuant to Section 2.07(a);
(b) the Commitment and Revolvingthe Credit Exposure of such Defaulting Lender shall not be included in determining whether the Required Lenders have taken or may take any action hereunder (including any consent to any amendment, waiver or other modification pursuant to Section 10.07); provided, that this clause (b) shall not apply to the vote of a Defaulting Lender in the case of an amendment, waiver or other modification requiring the consent of such Lender or each Lender affected thereby;
(c) if any L/C Exposure or Swingline Exposure exists at the time such Lender becomes a Defaulting Lender then:
(i) unless a Default or an Event of Default shall have occurred and be continuing, all or any part of the L/CSwingline Exposure of such Defaulting Lender (other than any portion thereof with respect to which such Defaulting Lender shall have funded its participation as contemplated by Section 2.23(c) and, in the case of any Defaulting Lender that is a Swingline Lender, other than the portion of such Swingline Exposure referred to in clause (b) of the definition of such term) and the L/C Exposure of such Defaulting Lender (other than any portion thereof attributable to unreimbursed L/C Disbursements with respect to which such Defaulting Lender shall have funded its participation as contemplated by Section 2.05(d)) shall be reallocated among the non-Defaulting Lenders in accordance with their respective Applicable Shares, but only to the extent that (A) the sum of all non-Defaulting Lenders’ Revolving Credit Exposures plus such Defaulting Lender’s Swingline Exposure and L/C Exposure (in each case, excluding the portion thereof referred to above) does not exceed the total of all non-Defaulting Lenders’ Commitments and (B) such reallocation does not result in the Revolving Credit Exposure of any non-Defaulting Lender exceeding such non-Defaulting Lender’s Commitment;
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(ii) if the reallocation described in clause (i) above cannot, or can only partially, be effected, each Borrower shall within two Business Days following notice by the Administrative Agent (A) first, prepay the portion of such Defaulting Lender’s Swingline Exposure (other than any portion thereof referred to in the parenthetical in such clause (i)) that has not been reallocated and (B) second, cash collateralize for the benefit of the applicable Issuing Bank only such Borrower’s obligations corresponding to such Defaulting Lender’s L/C Exposure (after giving effect to any partial reallocation pursuant to clause (i) above, other than any portion thereof referred to in the parenthetical in such clause (i)) in accordance with the procedures set forth in Article VII for so long as such L/C Exposure is outstanding;
(iii) if a Borrower cash collateralizes any portion of such Defaulting Lender’s L/C Exposure pursuant to clause (ii) above, such Borrower shall not be required to pay any L/C Participation Fees to such Defaulting Lender pursuant to Section 2.07(c) with respect to such Defaulting Lender’s L/C Exposure during the period such Defaulting Lender’s L/C Exposure is cash collateralized;
(iv) if the L/C Exposure or Swingline Exposure of the Defaulting Lender is reallocated pursuant to clause (i) above, then the fees payable to the Lenders pursuant to Section 2.07(a) and Section 2.07(c) shall be adjusted in accordance with such non-Defaulting Lenders’ Applicable Shares; and
(v) if all or any portion of such Defaulting Lender’s L/C Exposure is neither reallocated nor cash collateralized pursuant to clause (i) or (ii) above, then, without prejudice to any rights or remedies of the applicable Issuing Bank or any other Lender hereunder, all Facility Fees that otherwise would have been payable to such Defaulting Lender (solely with respect to the portion of such Defaulting Lender’s Commitment that was utilized by such L/C Exposure) and L/C Participation Fees payable under Section 2.07(c) with respect to such Defaulting Lender’s L/C Exposure shall be payable to such Issuing Bank until and to the extent that such L/C Exposure is reallocated and/or cash collateralized; and
(d) so long as such Lender is a Defaulting Lender, each Issuing Bank shall not be required to issue, amend or increase any Letter of Credit, and each Swingline Lender shall not be required to fund any Swingline Loan, in each case, unless it is satisfied that the related exposure and the Defaulting Lender’s then outstanding L/C Exposure or Swingline Exposure, as applicable, will be 100% covered by the Commitments of the non-Defaulting Lenders and/or cash collateral will be provided by the applicable Borrowers in accordance with Section 2.22(c), and participating interests in any newly issued or increased Letter of Credit shall be allocated among non-Defaulting Lenders in a manner consistent with Section 2.22(c)(i) (and such Defaulting Lender shall not participate therein).
If (i) a Bankruptcy Event with respect to a Lender Parent of any Lender shall occur following the date hereof and for so long as such event shall continue or (ii) any Issuing Bank or Swingline Lender has a good faith belief that any Lender has defaulted in fulfilling its obligations under one or more other agreements in which such
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Lender commits to extend credit, such Issuing Bank or such Swingline Lender, as applicable, shall not be required to issue, amend or increase any Letter of Credit or fund any Swingline Loans, unless such Issuing Bank or Swingline Lender, as applicable, shall have entered into arrangements with the applicable Borrowers or such Lender satisfactory to such Issuing Bank or Swingline Lender, as applicable, to defease any risk to it in respect of such Lender hereunder.
In the event that the Administrative Agent, the Borrowers and, each Issuing Bank and each Swingline Lender each agree that a Defaulting Lender has adequately remedied all matters that caused such Lender to be a Defaulting Lender, then the L/C Exposure and Swingline Exposure of the Lenders shall be readjusted to reflect the inclusion of such Lender’s Commitment and on such date such Lender shall purchase at par such of the Loans of the other Lenders (other than Competitive Loans) as the Administrative Agent shall determine may be necessary in order for such Lender to hold such Loans in accordance with its Applicable Share.
SECTION 2.23 Swingline Loans. (a) Subject to the terms and conditions and relying upon the representations and warranties herein set forth, each Swingline Lender agrees to make Swingline Loans in Euro to the Borrowers, at any time and from time to time on and after the Second Amendment Effective Date and while the Commitments remain in effect, in an amount that will not result in (i) the Dollar Equivalent of the aggregate outstanding principal amount of the Swingline Loans of such Swingline Lender exceeding its Swingline Commitment, (ii) the Revolving Credit Exposure of any Lender exceeding the Commitment of such Lender or (iii) the Aggregate Credit Exposure exceeding the Total Commitment; provided that no Swingline Lender shall be required to make a Swingline Loan to refinance an outstanding Swingline Loan. Within the foregoing limits and subject to the terms and conditions set forth herein, the Borrowers may borrow, prepay and reborrow Swingline Loans. The failure of any Swingline Lender to make any Swingline Loan shall not in itself relieve any other Swingline Lender of its obligations hereunder (it being understood, however, that no Swingline Lender shall be responsible for the failure of any other Swingline Lender to make any Swingline Loan required to be made by such other Swingline Lender).
(b) In order to request a Swingline Loan from any Swingline Lender, the applicable Borrower shall hand deliver or fax to the Administrative Agent a duly completed Swingline Borrowing Request in the form of Exhibit A-6 not later than 10:00 a.m., Local Time, on the day of such proposed Swingline Loan. Such notice shall be irrevocable and shall in each case specify (i) the name of the applicable Borrower, (ii) the name of the applicable Swingline Lender(s), (iii) the requested date of such Swingline Loan (which shall be a Business Day) and the amount thereof requested to be made by the applicable Swingline Lender(s) and (iv) the location and number of such Borrower’s account to which funds are to be disbursed. The Administrative Agent will promptly advise the applicable Swingline Lender(s) of any such Swingline Borrowing Request received from a Borrower. The applicable Swingline Lender(s) shall, promptly after receipt of such Swingline Borrowing Request from the Administrative Agent, make each Swingline Loan
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available to the applicable Borrower by means of a wire transfer to the account specified in the applicable Swingline Borrowing Request.
(c) Each Swingline Lender may by written notice given to the Administrative Agent not later than 12:00 p.m., Local Time, on any Business Day require the Lenders to acquire participations on such Business Day in all or a portion of the outstanding Swingline Loans made by such Swingline Lender. Such notice shall specify the aggregate amount of Swingline Loans in which Lenders will participate. Promptly upon receipt of such notice, the Administrative Agent will give notice thereof to each Lender, specifying in such notice such Lender’s Applicable Share of such Swingline Loan or Swingline Loans. Each Lender hereby absolutely and unconditionally agrees, promptly upon receipt of notice as provided above (and in any event, if such notice is received by 12:00 p.m., Local Time, on a Business Day, no later than 5:00 p.m., Local Time, on such Business Day, and if received after 12:00 p.m., Local Time, on a Business Day, no later than 10:00 a.m., Local Time, on the immediately succeeding Business Day), to pay in Euro to the Administrative Agent, for the account of the applicable Swingline Lender, such Lender’s Applicable Share of such Swingline Loan or Swingline Loans. Each Lender acknowledges and agrees that its obligation to acquire participations in Swingline Loans pursuant to this paragraph (c) is absolute and unconditional and shall not be affected by any circumstance whatsoever, including the occurrence and continuance of a Default or reduction or termination of the Commitments, and that each such payment shall be made without any offset, abatement, withholding or reduction whatsoever. Each Lender shall comply with its obligation under this paragraph (c) by wire transfer of immediately available funds, in the same manner as provided in Section 2.02(c) with respect to Loans made by such Lender (and Section 2.02(c) shall apply, mutatis mutandis, to the payment obligations of the Lenders under this paragraph (c)), and the Administrative Agent shall promptly pay to the applicable Swingline Lender the amounts so received by it from the Lenders. The Administrative Agent shall notify the applicable Borrower of any participations in any Swingline Loan acquired pursuant to this paragraph (c), and thereafter payments in respect of such Swingline Loan shall be made to the Administrative Agent and not to the applicable Swingline Lender. Any amounts received by any Swingline Lender from the applicable Borrower (or other party on behalf of the applicable Borrower) in respect of a Swingline Loan after receipt by such Swingline Lender of the proceeds of a sale of participations therein shall be promptly remitted to the Administrative Agent; any such amounts received by the Administrative Agent shall be promptly remitted by the Administrative Agent to the Lenders that shall have made their payments pursuant to this paragraph (c) and to the applicable Swingline Lender, as their interests may appear; provided that any such payment so remitted shall be repaid to the applicable Swingline Lender or to the Administrative Agent, as the case may be, if and to the extent such payment is required to be refunded to the applicable Borrower for any reason. The purchase of participations in a Swingline Loan pursuant to this paragraph (c) shall not relieve the Borrowers of any default in the payment thereof.
(d) Any Swingline Lender may be replaced at any time by written agreement among the Company, the Administrative Agent, the replaced Swingline
64
Lender and the successor Swingline Lender. The Administrative Agent shall notify the Lenders of any such replacement of a Swingline Lender. At the time any such replacement shall become effective, the applicable Borrowers shall pay all unpaid interest accrued for the account of the replaced Swingline Lender pursuant to Section 2.09(e). From and after the effective date of any such replacement, (i) the successor Swingline Lender shall have all the rights and obligations of the replaced Swingline Lender under this Agreement with respect to Swingline Loans made thereafter and (ii) references herein to the term “Swingline Lender” shall be deemed to refer to such successor or to any previous Swingline Lender, or to such successor and all previous Swingline Lenders, as the context shall require. After the replacement of a Swingline Lender hereunder, the replaced Swingline Lender shall remain a party hereto and shall continue to have all the rights and obligations of a Swingline Lender under this Agreement with respect to Swingline Loans made by it prior to its replacement, but shall not be required to make additional Swingline Loans.
(e) Subject to the appointment and acceptance of a successor Swingline Lender, any Swingline Lender may resign as a Swingline Lender at any time upon 30 days’ prior written notice to the Administrative Agent, the Company and the other Lenders, in which case, such Swingline Lender shall be replaced in accordance with paragraph (d) of this Section.
ARTICLE III
REPRESENTATIONS AND WARRANTIES
Each Borrower represents and warrants to each of the Lenders as follows (it being agreed that each Borrower other than the Company makes the following representations only as to itself, but that the Company makes such representations as to all the Borrowers):
SECTION 3.01. Organization; Powers. Each Borrower and each of the Significant Subsidiaries (a) is a corporation duly organized, validly existing and in good standing under the laws of the jurisdiction of its organization, (b) has all requisite power and authority to own its property and assets and to carry on its business as now conducted and as proposed to be conducted, (c) is qualified to do business in every jurisdiction where such qualification is required, except where the failure so to qualify would not result in a Material Adverse Effect, and (d) in the case of each Borrower, has the corporate power and authority to execute, deliver and perform its obligations under the Loan Documents and to borrow hereunder and thereunder.
SECTION 3.02. Authorization. The execution, delivery and performance by each Loan Party of each Loan Document to which it is or will be a party and the Borrowings hereunder (collectively, the “Transactions”) (i) have been or, upon execution and delivery thereof, will be duly authorized by all requisite corporate action and (ii) will not (A) violate (x) any provision of any law, statute, rule or regulation (including the Margin Regulations) or of the certificate of incorporation or other constitutive documents or by-laws of such Borrower, (y) any order of any Governmental Authority or (z) any provision of any indenture, material agreement or other instrument to which any
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Borrower is a party or by which it or any of its property is or may be bound, where such violation is reasonably likely to result in a Material Adverse Effect, (B) be in conflict with, result in a breach of or constitute (alone or with notice or lapse of time or both) a default under any such indenture, material agreement or other instrument, where such default is reasonably likely to result in a Material Adverse Effect or (C) result in the creation or imposition of any lien upon any property or assets of any Borrower.
SECTION 3.03. Enforceability. This Agreement and each other Loan Document to which any Loan Party is a party constitutes a legal, valid and binding obligation of such Loan Party enforceable in accordance with its terms.
SECTION 3.04. Governmental Approvals. No action, consent or approval of, registration or filing with or other action by any Governmental Authority, other than those which have been taken, given or made, as the case may be, is or will be required with respect to any Borrower in connection with the Transactions.
SECTION 3.05. Financial Statements. (a) The Company has heretofore furnished to the Administrative Agent and the Lenders copies of its consolidated balance sheet and statements of income, cash flow and retained earnings as of and for the fiscal year ended December 31, 2013, and the fiscal quarters ended March 31, 2014, June 30, 2014, and September 30, 2014. Such financial statements present fairly, in all material respects, the consolidated financial condition and the results of operations of the Company and its subsidiaries as of such dates and for such periods in accordance with GAAP.
(b) There has been no material adverse change in the consolidated financial condition of the Company and the Subsidiaries taken as a whole from the financial condition reported in the financial statements for the fiscal year ended December 31, 2013, referred to in paragraph (a) of this Section.
SECTION 3.06. Litigation; Compliance with Laws. (a) There are no actions, proceedings or investigations filed or (to the knowledge of any Borrower) threatened or affecting any Borrower or any Subsidiary in any court or before any Governmental Authority or arbitration board or tribunal which question the validity or legality of this Agreement, the Transactions or any action taken or to be taken pursuant to this Agreement and no order or judgment has been issued or entered restraining or enjoining any Borrower or any Subsidiary from the execution, delivery or performance of this Agreement nor is there any other action, proceeding or investigation filed or (to the knowledge of any Borrower or any Subsidiary) threatened against any Borrower or any Subsidiary in any court or before any Governmental Authority or arbitration board or tribunal which would be reasonably likely to result in a Material Adverse Effect or materially restrict the ability of any Borrower to comply with its obligations under the Loan Documents.
(b) Neither any Borrower nor any Subsidiary is in violation of any law, rule or regulation (including any law, rule or regulation relating to the protection of the environment or to employee health or safety), or in default with respect to any judgment, writ, injunction or decree of any Governmental Authority, where such violation or default would be reasonably likely to result in a Material Adverse Effect.
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(c) Except with respect to any matters that, individually or in the aggregate, could not reasonably be expected to result in a Material Adverse Effect, none of the Company or any Subsidiary has received notice of any claim with respect to or is otherwise aware of any environmental liability to which it is or is reasonably likely to become subject. The Company believes that the accounting reserves maintained by it for possible asbestos-related liabilities and reflected in the financial statements referred to in Section 3.05 are adequate in all material respects based on facts and circumstances known to it on the date hereof.
SECTION 3.07. Federal Reserve Regulations. (a) Neither any Borrower nor any Subsidiary that will receive proceeds of the Loans hereunder is engaged principally, or as one of its important activities, in the business of extending credit for the purpose of purchasing or carrying Margin Stock.
(b) No part of the proceeds of any Loan will be used, whether directly or indirectly, and whether immediately, incidentally or ultimately, to purchase or carry Margin Stock or to refund indebtedness originally incurred for such purpose, or for any other purpose which entails a violation of, or which is inconsistent with, the provisions of the Margin Regulations. Not more than 25% of the value of the assets subject to any restrictions on the sale, pledge or other disposition of assets under this Agreement, any other Loan Document or any other agreement to which any Lender or Affiliate of a Lender is party will at any time be represented by Margin Stock.
SECTION 3.08. Investment Company Act. No Borrower is an “investment company” as defined in, or subject to regulation under, the Investment Company Act of 1940 (the “1940 Act”).
SECTION 3.09. Use of Proceeds. All proceeds of the Loans and Letters of Credit shall be used for the purposes referred to in the recitals to this Agreement and in accordance with the provisions of Section 3.07.
SECTION 3.10. Full Disclosure; No Material Misstatements. None of the representations or warranties made by any Borrower in connection with this Agreement as of the date such representations and warranties are made or deemed made, and neither the Confidential Information Memorandum nor any of the other reports, financial statements, certificates or other information furnished by or on behalf of any Borrower to the Administrative Agent or any Lender pursuant to or in connection with this Agreement or the credit facilities established hereby, contains or will contain any material misstatement of fact or omits or will omit to state any material fact necessary to make the statements therein, in the light of the circumstances under which they were or will be made, not misleading; provided that, with respect to forecasts or projected financial information contained in the documents referred to above, the Company represents only that such information was prepared in good faith based upon assumptions believed by it to be reasonable at the time made and at the time so furnished and as of the date hereof (it being understood that such forecasts and projections may vary from actual results and that such variances may be material).
SECTION 3.11. Taxes. Each Borrower and each of the Significant Subsidiaries has filed or caused to be filed all Federal, state and local tax returns which
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are required to be filed by it, and has paid or caused to be paid all taxes shown to be due and payable on such returns or on any assessments received by it, other than any taxes or assessments the validity of which is being contested in good faith by appropriate proceedings, and with respect to which appropriate accounting reserves have to the extent required by GAAP been set aside.
SECTION 3.12. Employee Pension Benefit Plans. No ERISA Event has occurred or is reasonably expected to occur that, when taken together with all other ERISA Events for which liability is reasonably expected to occur, could reasonably be expected to result in a Material Adverse Effect. The present value of all accumulated benefit obligations under each Plan (based on the assumptions used for purposes of FASB ASC Topic 715) did not, as of the date of the most recent financial statements reflecting such amounts, exceed the fair market value of the assets of such Plan by an amount that could reasonably be expected to result in a Material Adverse Effect, and the present value of all accumulated benefit obligations of all underfunded Plans (based on the assumptions used for purposes of FASB ASC Topic 715) did not, as of the date of the most recent financial statements reflecting such amounts, exceed the fair market value of the assets of all such underfunded Plans by an amount that could reasonably be expected to result in a Material Adverse Effect.
SECTION 3.13. Anti-Corruption Laws and Sanctions. The Company maintains and will maintain in effect policies and procedures reasonably designed to ensure compliance by the Company, the Subsidiaries and their respective directors, officers, employees and agents with Anti-Corruption Laws and applicable Sanctions, and the Company and the Subsidiaries and, to the knowledge of the Company, their respective officers, employees, directors and agents, are in compliance with Anti-Corruption Laws and applicable Sanctions in all material respects. None of (a) the Company, any Subsidiary or to the knowledge of the Company, any of their respective directors, officers or employees, or (b) to the knowledge of the Company, any agent of the Company or any Subsidiary that will act in any capacity in connection with the credit facility established hereby, is a Sanctioned Person. No Borrowing or use of the proceeds thereof will result in a violation by any party hereto of Anti-Corruption Laws or applicable Sanctions.
SECTION 3.14. EEA Financial Institutions. No Loan Party is an EEA Financial Institution.
ARTICLE IV
CONDITIONS OF LENDING
The obligations of the Lenders to make Loans and of the Issuing Banks to issue Letters of Credit hereunder are subject to the Closing Date having occurred and the satisfaction of the following conditions:
SECTION 4.01. All Extensions of Credit. On the date of each Borrowing and on the date of each issuance of a Letter of Credit:
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(a) The Administrative Agent shall have received a notice of such Borrowing as required by Section 2.03 or Section, 2.04 or 2.23, as applicable, or, in the case of the issuance of a Letter of Credit, the applicable Issuing Bank shall have been requested to issue such Letter of Credit as contemplated by Section 2.05.
(b) The representations and warranties set forth in Article III hereof (except those contained in Sections 3.05(b) and 3.06(a)) shall be true and correct in all material respects on and as of the date of such Borrowing or issuance of a Letter of Credit with the same effect as though made on and as of such date, except to the extent such representations and warranties expressly relate to an earlier date, in which case such representations and warranties shall be true and correct in all material respects on and as of such earlier date.
(c) At the time of and immediately after such Borrowing or issuance of a Letter of Credit no Event of Default or Default shall have occurred and be continuing.
Each Borrowing and issuance of a Letter of Credit shall be deemed to constitute a representation and warranty by each Borrower on the date of such Borrowing or issuance of a Letter of Credit as to the matters specified in paragraphs (b) and (c) of this Section 4.01.
SECTION 4.02. Effective Date. On the Effective Date:
(a) The Administrative Agent shall have received from each of the parties hereto a counterpart of this Agreement signed by such party.
(b) The Administrative Agent shall have received favorable written opinions of (i) Fried, Frank, Harris, Shriver & Jacobson LLP, counsel for the Company, to the effect set forth in Exhibit C-1 hereto and (ii) Lori Marino, Chief CorporateVice President, Deputy General Counsel and Corporate Secretary of the Company, to the effect set forth in Exhibit C-2 hereto, each dated the Effective Date and addressed to the Administrative Agent, the Lenders and the Issuing Banks and satisfactory to the Lenders, the Administrative Agent and Cravath, Swaine & Moore LLP, counsel for the Administrative Agent.
(c) The Administrative Agent shall have received (i) a copy of the certificate of incorporation, including all amendments thereto, of each Loan Party, certified as of a recent date by the Secretary of State of its state of incorporation, and a certificate as to the existence of the Company as of a recent date from such Secretary of State; (ii) a certificate of the Secretary or an Assistant Secretary of such Loan Party dated the Effective Date and certifying (A) that attached thereto is a true and complete copy of the by-laws of such Loan Party as in effect on the Effective Date and at all times since a date prior to the date of the resolutions described in (B) below, (B) that attached thereto is a true and complete copy of resolutions duly adopted by the Board of Directors of such Loan Party authorizing the execution, delivery and performance of the Loan Documents to which such Loan Party is a party and, in respect of the Company, the Borrowings hereunder, and that such resolutions have not been modified, rescinded or amended and are in full force and effect, (C) that the certificate of incorporation referred to in clause (i) above has not been amended since the date of the last amendment thereto shown on the
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certificate of existence furnished pursuant to such clause (i) and (D) as to the incumbency and specimen signature of each officer executing this Agreement or any other document delivered in connection herewith on behalf of such Loan Party; and (iii) a certificate of another officer of such Loan Party as to the incumbency and specimen signature of the Secretary or Assistant Secretary executing the certificate pursuant to (ii) above.
(d) The Administrative Agent shall have received a certificate, dated the Effective Date and signed by a Financial Officer of the Company, confirming compliance with the conditions precedent set forth in paragraphs (b) and (c) of Section 4.01 (without giving effect to the parenthetical in such paragraph (b)).
(e) The principal of and accrued and unpaid interest on any loans outstanding under the Existing Credit Agreement shall have been paid in full, all other amounts due under the Existing Credit Agreement shall have been paid in full, all letters of credit issued under the Existing Credit Agreement shall have been terminated or shall have become Existing Letters of Credit and the commitments of the lenders and issuing banks under the Existing Credit Agreement shall have been permanently terminated.
(f) The Administrative Agent shall have received all Fees and other amounts due and payable for the accounts of the Lenders or for its own account on or prior to the Effective Date and, to the extent invoiced prior to the Effective Date, all fees, charges and disbursements of counsel that the Borrowers have agreed to pay or reimburse.
(g) The Credit Parties shall have received all documentation and other information required by bank regulatory authorities under applicable “know your customer” and anti-money laundering rules and regulations, including the USA PATRIOT Act.
SECTION 4.03. First Borrowing by Each Borrowing Subsidiary. On or prior to the first date on which Loans are made to or Letters of Credit are issued for the benefit of any Borrowing Subsidiary:
(a) The Credit Parties shall have received the favorable written opinion of counsel satisfactory to the Administrative Agent, addressed to the Credit Parties and satisfactory to the Credit Parties and to Cravath, Swaine & Moore LLP, counsel for the Administrative Agent, addressing such legal issues as the Administrative Agent or such counsel may reasonably request.
(b) The Administrative Agent shall have received a copy of the Borrowing Subsidiary Agreement executed by such Borrowing Subsidiary.
(c) It shall not be unlawful for such Subsidiary to become a Borrower hereunder or for any Lender to make Loans or otherwise extend credit to such Subsidiary as provided herein or for any Issuing Bank to issue Letters of Credit for the account of such Subsidiary.
(d) The Credit Parties shall have received (i) all documentation and other information required by bank regulatory authorities under applicable “know your.
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FILE B:
EX-10.6 8 exhibit106q12020.htm EXHIBIT 10.6
EXHIBIT 10.6
EXECUTION VERSION
CREDIT AGREEMENT
CREDIT AGREEMENT (this “Agreement”), dated as of April 29, 2020, by and between ITT INC. (f/k/a ITT CORPORATION), an Indiana corporation (the “Company”), and BNP PARIBAS (together with its successors and permitted assigns, the “Lender”).
1.
Commitment. (a) Subject to the terms and conditions set forth herein, the Lender agrees to make revolving loans (each, a “Revolving Loan” and, collectively, the “Revolving Loans”) to the Company in U.S. dollars, at any time and from time to time on and after the Effective Date (each such time, a “Funding Date”) to but excluding the Maturity Date in an aggregate principal amount not to exceed SEVENTY FIVE MILLION DOLLARS ($75,000,000.00) (such amount, the “Commitment”). The Company may request the making of a Revolving Loan by delivery of a borrowing notice pursuant to Section 5 hereof. Within the foregoing limits, the Company may borrow, pay or prepay and reborrow Revolving Loans hereunder, on and after the Effective Date, subject to the terms, conditions and limitations set forth herein.
The Commitment, the Revolving Loans and the Company’s obligation to repay the Revolving Loans with interest in accordance with the terms of this Agreement shall be evidenced by this Agreement and the records of the Lender, which records shall be prima facie evidence, absent manifest error, of the Commitment, the Revolving Loans and all payments made in respect thereof.
(b) The Lender’s Commitment shall automatically and permanently terminate on the Maturity Date, if not terminated earlier pursuant to the terms hereof. Upon at least 3 Business Days’ prior irrevocable written notice to the Lender, the Company may at any time in whole permanently terminate, or from time to time in part permanently reduce, the Lender’s Commitment to make Revolving Loans; provided, however, that (i) each partial reduction of such Commitment shall be in an integral multiple of $5,000,000 and (ii) no such termination or reduction shall be made which would reduce the Lender’s Commitment to an amount less than the outstanding principal amount of Revolving Loans.
2.
Maturity; Application of Payments. The Company shall repay to the Lender on the date that is three hundred sixty-four (364) days after the Effective Date or, if such date is not a Business Day (defined below), on the immediately preceding Business Day (or such earlier date if such amounts have been declared or automatically have become due and payable as provided hereunder) (such date, as may be extended from time to time as provided below, the “Maturity Date”) the aggregate principal amount of the Revolving Loans outstanding on such date (together with any unpaid accrued interest thereon and any other amounts owing under the Loan Documents). Whenever any payment (including principal of or interest on the Revolving Loans) hereunder shall become due (other than on the Maturity Date), or otherwise would occur, on a day that is not a Business Day, such payment may be made on the next succeeding Business Day, and such extension of time shall in such case be included in the computation of interest, if applicable. All sums received by the Lender from the Company shall be applied (A) first, to payment of accrued and unpaid fees, indemnities and expenses due to the Lender in accordance with the terms of this Agreement; (B) second, to payment of accrued and unpaid interest due to the Lender hereunder; and (C) third, to payment of the outstanding principal amount of the Revolving Loans. The Company shall make all payments required hereunder not later than 12:00 p.m., New York City time, on the date of payment in immediately available funds in U.S. dollars to an account instructed by the Lender, such instructions to be furnished to the Company separately by the Lender. The obligation of the Lender to make Revolving Loans shall automatically terminate upon the termination of its Commitment.
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3.
Prepayment. The Company may, at any time or from time to time, voluntarily prepay Revolving Loans (together with any unpaid accrued interest thereon and any other additional amounts owing under the Loan Documents) on any Business Day, upon irrevocable written notice to the Lender not later than 11:00 a.m. three Business Days (in the case of Adjusted LIBO Rate) and one Business Day (in the case of Alternate Base Rate) prior to the date of such prepayment, in whole or in part without premium, penalty, or termination fee (subject to payment of any breakage costs as provided in Section 8(a) hereof). Each such prepayment shall be in an amount that is an integral multiple of $5,000,000 and not less than $10,000,000 (or if less, the aggregate amount of all amounts outstanding under this Agreement). Any prepayment of the principal amount of the Revolving Loans shall be accompanied by the payment of the accrued interest thereon to the date of such prepayment and, for the avoidance of doubt, any breakage costs as provided in Section 8(a) hereof.
4.
Interest. Subject to Section 6, interest on the Revolving Loans bearing interest at the Alternate Base Rate (defined below) shall be due and payable in arrears on the last day of each March, June, September and December and on the Maturity Date. Interest on the Revolving Loans bearing interest at the Adjusted LIBO Rate shall be due and payable in arrears on the last day of the Interest Period (defined below) applicable to such Revolving Loans and on the Maturity Date; provided, however, that if any Interest Period for the Revolving Loans exceeds three (3) months, interest with respect to such Revolving Loans shall be due and payable on each day that would have been the last day of the Interest Period for such Revolving Loans had successive Interest Periods of three months’ duration been applicable. Interest hereunder shall be due and payable in accordance with the terms hereof before and after judgment, and before and after the commencement of any proceeding under any insolvency or bankruptcy proceeding.
Interest shall accrue on the unpaid principal balance of the Revolving Loans from (and including) the relevant Funding Date of such Revolving Loans, at the Company’s election, either (a) at a rate per annum equal to the Adjusted LIBO Rate for the Interest Period in effect for such portion of the Revolving Loans plus the Applicable Percentage (computed on the basis of the actual number of days elapsed over a year of 360 day) or (b) at a rate per annum equal to the Alternate Base Rate plus the Applicable Percentage (computed on the basis of the actual number of days elapsed over a year of 365 or 366 days, as the case may be, for periods during which the Alternate Base Rate is determined by reference to the Prime Rate and 360 days for other periods). “Applicable Percentage” means 1.55% in the case of Revolving Loans bearing interest at the Adjusted LIBO Rate and 0.55% in the case of Revolving Loans bearing interest at the Alternate Base Rate.
As used herein, “Interest Period” means, as to the Revolving Loans bearing interest at the Adjusted LIBO Rate, the period commencing on the date any such Revolving Loan is disbursed or converted to or continued as bearing interest at the Adjusted LIBO Rate or on the last day of the immediately preceding Interest Period applicable to such Revolving Loan, as the case may be, and ending on the numerically corresponding day (or, if there is no numerically corresponding day, on the last day) in the calendar month that is 1, 2, 3 or 6 months thereafter, as the Company may elect; provided, however, that if any Interest Period would end on a day other than a Business Day, such Interest Period shall be extended to the next succeeding Business Day, unless such next succeeding Business Day would fall in the next calendar month, in which case such Interest Period shall end on the next preceding Business Day. Interest shall accrue from and including the first day of an Interest Period to but excluding the last day of such Interest Period.
5.
Borrowing & Interest Selection Procedures. Each advance of Revolving Loans shall be made upon the Company’s irrevocable notice to the Lender, which written notice (including by means of email to each of the email addresses with respect to the Lender set forth below), substantially in the form of Exhibit A hereto, must be received by the Lender not later than 11:00 a.m., New York City time, (a) three (3) Business Days prior to the requested date of the borrowing of the Revolving Loans if such Revolving Loans shall bear interest at the Adjusted LIBO Rate or (b) on the requested date of the borrowing of the Revolving Loans if such Revolving Loans shall bear interest at the Alternate Base Rate. If the Company has not made any election as to whether the requested borrowing shall bear interest at the Adjusted LIBO Rate or the Alternate Base Rate, then such requested borrowing shall bear interest at
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the Adjusted LIBO Rate. If no Interest Period with respect to any requested borrowing at the Adjusted LIBO Rate is specified in any such notice, then the Company shall be deemed to have selected an Interest Period of one month’s duration. Each conversion of the Revolving Loans to interest bearing the Adjusted LIBO Rate or the Alternate Base Rate, as the case may be, and each change of Interest Period for the Revolving Loans bearing interest at the Adjusted LIBO Rate shall be made upon the Company’s irrevocable notice to the Lender, which may be given by (i) telephone or (ii) in writing (including by means of email to each of the email addresses with respect to the Lender set forth below); provided that any telephonic notice must be confirmed immediately by delivery to the Lender of written notice (including by means of email to each of the email addresses with respect to the Lender set forth below). Each such written notice must be received by the Lender not later than 11:00 a.m., New York City time, (i) three (3) Business Days prior to the requested date of any conversion to or continuation of, Revolving Loans bearing interest at the Adjusted LIBO Rate or (ii) on the requested date of any conversion of Revolving Loans bearing interest at the Alternate Base Rate. For the avoidance of doubt, in the absence of delivery of a notice of conversion or change as provided above, (i) if a Revolving Loan is bearing interest at the Adjusted LIBO Rate, it shall be continued as a Revolving Loan bearing interest at the Adjusted LIBO Rate with the same Interest Period and (ii) if a Revolving Loan is bearing interest at the Alternate Base Rate, it shall be continued as a Revolving Loan bearing interest at the Alternate Base Rate. Notwithstanding the foregoing, upon the occurrence and during the continuation of any Default or Event of Default, the Revolving Loans may not be converted into or continued as Revolving Loans bearing interest at the Adjusted LIBO Rate.
6.
Default Interest. If the Company shall default in the payment of the principal of or interest on any portion of the Revolving Loans or any other amount becoming due hereunder, whether at scheduled maturity, by notice of prepayment, by acceleration or otherwise, the Company shall on demand from time to time from the Lender pay interest, to the extent permitted by law, on such defaulted amount up to (but not including) the date of actual payment (after as well as before judgment) at a rate per annum (computed as provided in Section 4)) equal to (i) in the case of overdue principal of any portion of such Revolving Loans, 2.00% per annum plus the rate otherwise applicable to the Revolving Loans as provided in Section 4 or (ii) in the case of any other amount, 2.00% per annum plus the rate applicable to such Revolving Loans bearing interest at the Alternate Base Rate as provided in Section 4.
7.
Unused Commitment Fee. The Company agrees to pay the Lender on each March 31, June 30, September 30 and December 31 (with the first payment being due on June 30, 2020) and on each date on which the Commitment of the Lender to make Revolving Loans shall be reduced or terminated as provided herein, an unused commitment fee (the “Unused Commitment Fee”), at a rate per annum equal to 0.35% of the actual daily difference between (i) the aggregate amount of such Commitment and (ii) the aggregate principal amount of all outstanding Revolving Loans (it being understood that if the Lender’s Commitment is terminated or reduced in full or in part pursuant to Section 1(b), the Company shall pay to the Lender, on the date of each reduction or termination of the Commitment, the Unused Commitment Fee on the amount of the Commitment terminated or reduced accrued through the date of such termination or reduction). The Unused Commitment Fee shall be computed on the basis of the actual number of days elapsed in a year of 365 or 366 days, as the case may be, and payable in arrears. The Unused Commitment Fee due to the Lender shall commence to accrue on the Effective Date and shall cease to accrue upon the termination in full of the Commitment of the Lender to make Revolving Loans. Notwithstanding any provision of this Agreement to the contrary, if the Lender becomes a Defaulting Lender, then the Unused Commitment Fee shall cease to accrue on the unfunded portion of its Commitment hereunder. The Lender shall become a “Defaulting Lender” hereunder once it (a) has failed, within three Business Days of the date required to be funded or paid, to fund any portion of its Revolving Loans, unless such Lender notifies the Company in writing that such failure is the result of the Lender’s good faith determination that a condition precedent to funding (specifically identified and including the particular default, if any) has not been satisfied, (b) has notified the Company in writing, or has made a public statement to the effect, that it does not intend or expect to comply with any of its funding obligations under this Agreement (unless such writing or public statement indicates that such position is based on the Lender’s good faith determination that a condition precedent (specifically
3
identified and including the particular default, if any) to funding a loan under this Agreement cannot be satisfied), (c) has failed, within three Business Days after written request by the Company made in good faith to provide a certification in writing from an authorized officer of the Lender that it will comply with its obligations to fund prospective Revolving Loans, unless the Lender has notified the Company in writing that such failure is the result of the Lender’s good faith determination that a condition precedent to funding (specifically identified and including the particular default, if any) has not been satisfied, provided that such Lender shall cease to be a Defaulting Lender pursuant to this clause (c) upon the Company’s receipt of such certification in form and substance reasonably satisfactory to it, or (d) has become the subject of a Bankruptcy Event or a Bail-In Action.
8.
Break Funding; Alternative Interest Rate. (a) The Company agrees to reimburse the Lender, upon demand, for any loss, cost or expense which the Lender may sustain as a result of the Company’s failure to borrow any Revolving Loans on the date requested after giving irrevocable notice of such borrowing, any payment of Revolving Loans on a date other than the last day of the Interest Period for any such Revolving Loans bearing interest at the Adjusted LIBO Rate, or the last day of each March, June, September and December in accordance with Section 4 above for any such Revolving Loans bearing interest at the Alternate Base Rate, or the failure to repay the same or any interest thereon on the Maturity Date thereof, including but not limited to, any loss in liquidating or reemploying deposits from third parties or fees payable to terminate such deposits. The Lender shall furnish the Company a certificate setting forth the basis and amount of each request by the Lender for compensation under this clause (a). The Lender’s determination with respect to the foregoing shall be conclusive and binding absent manifest error. The provisions of this Section 8(a) shall survive the termination of this Agreement and remain in full force and effect.
(b) Unless and until a Benchmark Replacement is implemented in accordance with clause (c) below, if on or prior to the first day of any Interest Period for the Revolving Loans bearing interest at the Adjusted LIBO Rate: (x) the Lender determines that adequate and reasonable means do not exist for ascertaining the LIBO Rate to be used in determining the interest rate applicable to the Revolving Loans; or (y) the Lender determines that the Adjusted LIBO Rate as determined by the Lender will not adequately and fairly reflect the cost to the Lender of funding the Revolving Loans for such Interest Period, the Lender shall forthwith give notice thereof to the Company, whereupon until the Lender notifies the Company that the circumstances giving rise to such suspension no longer exist, the obligations of the Lender to make Revolving Loans bearing interest at the Adjusted LIBO Rate shall be suspended. If the obligations of the Lender have been suspended pursuant to this clause (b), unless the Company notifies the Lender at least two Business Days before the date of borrowing that it elects not to borrow on such date, such borrowing shall instead be made as a Revolving Loan bearing interest at the Alternate Base Rate. Each determination by the Lender hereunder shall be conclusive absent manifest error.
(c) (1) Without prejudice to any other provision of this Agreement, the Company acknowledges and agrees for the benefit of the Lender: (a) the Adjusted LIBO Rate (i) may be subject to methodological or other changes in conformity with the terms of this Agreement, which could affect its value, (ii) may not comply with applicable laws and regulations (such as the Regulation (EU) 2016/1011 of the European Parliament and of the Council, as amended (EU Benchmarks Regulation)) and/or (iii) may be permanently discontinued due to a Benchmark Transition Event; and (b) the occurrence of any of the aforementioned events and/or a Benchmark Transition Event may have adverse consequences which may materially impact the economics of the financing transactions contemplated under this Agreement.
(2) Notwithstanding anything to the contrary herein or in any other Loan Document, upon the occurrence of a Benchmark Transition Event or an Early Opt-in Election, as applicable, the Lender and the Company may amend this Agreement to replace the Adjusted LIBO Rate with a Benchmark Replacement in accordance with this Section 8(c); provided that, (i) if no such amendment is signed prior to the end of the relevant Interest Period of any outstanding Revolving Loan bearing interest at the Adjusted LIBO rate, such Revolving Loan shall be converted to a Revolving Loan bearing interest
4
at the Alternate Base Rate, and (ii) until such amendment is signed, the obligation of the Lender to make Revolving Loans bearing interest at the Adjusted LIBO Rate shall be suspended. No replacement of the Adjusted LIBO Rate with a Benchmark Replacement pursuant to this Section 8(c) will occur prior to the applicable Benchmark Transition Start Date.
(3) In connection with the implementation of a Benchmark Replacement, the Lender will have the right to make Benchmark Replacement Conforming Changes from time to time and, notwithstanding anything to the contrary herein or in any other Loan Document, any amendments implementing such Benchmark Replacement Conforming Changes will become effective without any further action or consent of the Company.
(4) The Lender will promptly notify the Company of (i) any occurrence of a Benchmark Transition Event or an Early Opt-in Election, as applicable, and its related Benchmark Replacement Date and Benchmark Transition Start Date, (ii) the implementation of any Benchmark Replacement, (iii) the effectiveness of any Benchmark Replacement Conforming Changes and (iv) the commencement or conclusion of any Benchmark Unavailability Period. Any determination, decision or election that may be made by the Lender pursuant to this Section 8(c), including any determination with respect to a tenor, rate or adjustment or of the occurrence or non-occurrence of an event, circumstance or date and any decision to take or refrain from taking any action, will be conclusive and binding absent manifest error and may be made in the Lender’s sole discretion and without consent from the Company, except, in each case, as expressly required pursuant to this Section 8(c).
(5) Upon the Company’s receipt of notice of the commencement of a Benchmark Unavailability Period, the Company may revoke any request for a Revolving Loan bearing interest at the Adjusted LIBO Rate of, conversion to or continuation of a Revolving Loan bearing interest at the Adjusted LIBO Rate to be made, converted or continued during any Benchmark Unavailability Period and, failing that, the Company will be deemed to have converted any such request into a request for a borrowing of or conversion to a Revolving Loan bearing interest at the Alternate Base Rate. During any Benchmark Unavailability Period, the component of the Alternate Base Rate based upon the Adjusted LIBO Rate will not be used in any determination of the Alternate Base Rate.
9.
Designation of a Different Lending Office. If the Lender requests compensation under Section 2.14 (Reserve Requirements; Change in Circumstances) of the Syndicated Credit Agreement (as incorporated by reference in this Agreement in conformity with Section 10 of this Agreement), or delivers a notice described in Section 2.15 (Change in Legality) of the Syndicated Credit Agreement (as incorporated by reference in this Agreement in conformity with Section 10 of this Agreement), or requires the Company to pay any additional amount pursuant to Section 2.20 (Taxes) of the Syndicated Credit Agreement (as incorporated by reference in this Agreement in conformity with Section 10 of this Agreement), then the Lender shall (at the request of the Company) use reasonable efforts to designate a different lending office or branch for funding the Revolving Loans hereunder or to assign its rights and obligations hereunder to another of its Affiliates, if such designation or assignment (i) would eliminate or reduce any amount payable pursuant to the foregoing provisions or avoid the circumstances giving rise to such amount, as the case may be, and (ii) would not, in the sole determination of such Lender, be disadvantageous to the Lender. The Company hereby agrees to reimburse the Lender for all reasonable costs and expenses incurred by the Lender in connection with any such designation or assignment.
10.
Incorporated Terms. The terms “Adjusted LIBO Rate”, “Affiliate”, “Alternate Base Rate”, “Bankruptcy Event”, “Financial Officer”, “Person”, and “Subsidiary” (collectively, the “Incorporated Defined Terms”), the representations and warranties contained in Article III (Representations and Warranties) of the Syndicated Credit Agreement (the “Incorporated Representations”), the covenants contained in Article V (Affirmative Covenants) and Article VI (Negative Covenants) of the Syndicated Credit Agreement (collectively, the “Incorporated Covenants”), the events of default contained in Article VII (Events of Default) of the Syndicated Credit Agreement (the “Incorporated Events of Default” or
5
“Events of Default”; any event or condition which upon notice, lapse of time or both would constitute an Event of Default, each a “Default”), Section 1.02 (Terms Generally), Section 1.03 (Accounting Terms; GAAP), Section 2.14 (Reserve Requirements; Change in Circumstances), Section 2.15 (Change in Legality), Section 2.20 (Taxes), Section 10.02 (Survival of Agreement), Section 10.05 (Expenses; Indemnity), Section 10.19 (Non-Public Information), Section 10.20 (Release of Subsidiary Guarantees), and Section 10.21 (Permitted Reorganization), of the Syndicated Credit Agreement (collectively, the “Incorporated Miscellaneous Provisions”) and all defined terms and schedules contained in the Syndicated Credit Agreement which are used in the Incorporated Representations, the Incorporated Covenants, the Incorporated Events of Default and the Incorporated Miscellaneous Provisions (such related definitions and schedules, together with the Incorporated Defined Terms, the Incorporated Representations, the Incorporated Covenants, the Incorporated Events of Default and the Incorporated Miscellaneous Provisions collectively, the “Incorporated Terms”), are incorporated herein by reference as if set forth in full herein and shall, consistent with (and not in limitation of) the concept of mutatis mutandis, be made with appropriate substitutions and adjustments or modifications as necessary to maintain the substance of the provisions contained therein, including, without limitation, the following: (a) all references to “Agreement” or “hereunder” or the like shall be deemed to be references to this Agreement, and all references to “Loan Documents” shall be deemed to be references to the Loan Documents hereunder; (b) all references to “Company” or “Borrowers” or “Loan Party” or the like shall be deemed to be references to the Company; (c) all references to “Administrative Agent”, “Agent”, “Lenders”, “Required Lenders”, “Lead Arrangers”, “Joint Bookrunner”, “Issuing Bank”, and “Swingline Lenders”, “Credit Party” or the like shall be deemed to be references to the Lender (except that (i) all references to “Administrative Agent” and “Agent” shall be deemed to be references to the Company if the “Lenders” as defined under the Syndicated Credit Agreement are to deliver notice or another deliverable to such “Administrative Agent” or “Agent” and (ii) all references to “Administrative Agent” and “Lenders” in Section 3.05(a) of the Syndicated Credit Agreement shall be deemed to be references to the “Administrative Agent” and “Lenders” each as defined in the Syndicated Credit Agreement); (d) all references to “Event of Default” shall be deemed to be references to an Event of Default under Section 14 hereof, and for the avoidance of doubt, (i) shall only apply with respect to the Company and (ii) the term “Material Indebtedness” used therein shall include extensions of credit made under the Syndicated Credit Agreement; (e) all references to “Loans” or “Borrowings” or the like shall be deemed to be references to the Revolving Loans hereunder; (f) all references to “Eurocurrency Loan” shall be deemed to be references to a Revolving Loan bearing interest at the Adjusted LIBO Rate and (g) all references to “Commitment”, “Commitments”, “Total Commitment” or the like shall be deemed to be references to the Commitment hereunder. The Company acknowledges and agrees that the Incorporated Representations, the Incorporated Covenants and the Incorporated Events of Default shall be as binding on the Company on the Effective Date and thereafter until the Maturity Date as if set forth fully herein. Notwithstanding anything to the contrary contained in this Agreement, it is agreed and understood that (i) all Indebtedness and Liens incurred or outstanding pursuant to the Syndicated Credit Agreement shall be permitted without restriction at all times by this Agreement notwithstanding Section 6.01 (Priority Indebtedness) and Section 6.02 (Liens) of the Syndicated Credit Agreement, as such sections are incorporated hereunder as Incorporated Terms hereunder, (ii) any restrictions on Indebtedness, Liens and guarantees that are no more onerous than the restrictions in the Syndicated Credit Agreement shall be permitted without restriction at all times by this Agreement notwithstanding Section 6.05 (Restrictive Agreements) of the Syndicated Credit Agreement, as such section is incorporated hereunder as Incorporated Terms hereunder, (iii) for the avoidance of doubt, the Incorporated Terms shall run in favor of the Lender (rather than the Administrative Agent and lenders and other parties under the Syndicated Credit Agreement as literally provided in the Syndicated Credit Agreement), (iv) any amendment, waiver or modification under the Syndicated Credit Agreement that has become effective pursuant to the terms of the Syndicated Credit Agreement that amends, supplements or otherwise modifies any Incorporated Terms after the Effective Date shall be given effect for purposes of any such Incorporated Terms under this Agreement and the Loan Documents if the Lender acknowledges and agrees that such amendment, waiver or modification is given effect with respect to the Incorporated Terms for purposes of this Agreement and the other Loan Documents; (v) in the event that the Lender ceases to be a lender under the Syndicated Credit Agreement, or the
6
Syndicated Credit Agreement is terminated for any reason, or if the Syndicated Credit Agreement is amended, restated, supplemented, modified, waived, refinanced, repaid, terminated or replaced by another credit agreement, the term “Syndicated Credit Agreement” as used herein for purposes of incorporating the provisions thereunder to be Incorporated Terms hereunder (but not for other purposes) shall be deemed to refer to the Syndicated Credit Agreement as in effect on the Effective Date, subject to to clause (iv) above, notwithstanding the Lender ceasing to be a lender under the Syndicated Credit Agreement or such amendment, restatement, supplement, modification, waiver, refinancing, repayment, termination or replacement, as applicable, in each case with all such provisions thereof remaining in effect for purposes of this Agreement; (vi) capitalized terms used in the Incorporated Terms that are defined in both the Syndicated Credit Agreement and this Agreement shall have the meanings assigned to such terms in this Agreement unless otherwise indicated herein; and (vii) the terms “Sanctioned Country” and “Sanctioned Person” as used in the Incorporated Terms shall have the meanings set forth in Section 29 of this Agreement. The Company and the Lender acknowledge and agree that the covenants made by the Company in this paragraph, and all Events of Default to which it is subject under this Agreement, are subject to all applicable cure and grace periods expressly provided for in the Syndicated Credit Agreement. Any financial statements, certificates or other documents delivered under the Syndicated Credit Agreement shall be deemed delivered to the Lender hereunder; provided that (x) the requirement to deliver any such financial statements, certificates and other documents required to be delivered by the covenants and agreements so incorporated herein by reference shall survive any termination, cancellation, discharge or replacement of the Syndicated Credit Agreement (or any amendment, waiver or modification thereof) and (y) if the Lender is not a lender under the Syndicated Credit Agreement, the Company shall cause all such financial statements, certificates and other documents to be delivered to the Lender (unless filed with the Securities and Exchange Commission or otherwise filed for public disclosure).
11.
Closing Conditions. This Agreement shall become effective on the date hereof upon receipt by the Lender or waiver of each of the following items (the “Effective Date”):
(a) a counterpart of this Agreement from each of the Company and the Lender;
(b) a favorable written opinion of (i) Fried, Frank, Harris, Shriver & Jacobson LLP, counsel for the Company, and (ii) in-house counsel of the Company, each dated the Effective Date and addressed to the Lender and in form and substance satisfactory to the Lender;
(c) a certificate of the Secretary or an Assistant Secretary of the Company dated as of the Effective Date and certifying (A) that attached thereto is a true and complete copy of the by-laws of the Company as in effect on the Effective Date and have not been amended, rescinded or modified since they were adopted, (B) that attached thereto is a true and complete copy of resolutions duly adopted by the board of directors of the Company authorizing the execution, delivery and performance of the Loan Documents and, in respect of the Company, the borrowings hereunder, and that such resolutions have not been modified, rescinded or amended and are in full force and effect, (C) that attached thereto is a true and complete copy of the certificate of incorporation, including all amendments thereto, of the Company, certified by the Secretary of State of its state of incorporation, and that such certificate of incorporation has not been amended, rescinded or modified since the filing date thereof, (D) as to the incumbency and specimen signature of each officer executing this Agreement or any other document delivered in connection herewith on behalf of the Company and (E) that attached thereto is a true and complete copy of a certificate of existence for the Company, certified as of a recent date by the Secretary of State of its state of incorporation;
(d) a certificate, dated the Effective Date and signed by a Financial Officer of the Company, confirming that (i) the Incorporated Representations are true and correct in all material respects (without duplication of any materiality qualifiers) on and as of the Effective Date with the same effect as though made on and as of such date, except to the extent such representations and warranties expressly relate to an earlier date, in which case such representations and warranties are true and
7
correct in all material respects (without duplication of any materiality qualifiers) on and as of such earlier date, (ii) no Event of Default or Default shall have occurred and be continuing as of the Effective Date or would result from the consummation of the transactions contemplated by the Loan Documents and (iii) the proceeds of the Revolving Loans shall be used for general corporate purposes;
(e) all fees and other amounts due and payable for the Lender’s account on or prior to the Effective Date, in each case in accordance with and pursuant to that certain Fee Letter dated as of April 29, 2020, between the Company and the Lender (the “Fee Letter”); and
(f) all documentation and other information reasonably requested by the Lender to satisfy requirements of bank regulatory authorities under applicable “know your customer” and anti-money laundering rules and regulations, including the USA PATRIOT Act.
12.
Funding Conditions. The obligations of the Lender to make Revolving Loans on any Funding Date is subject to receipt by the Lender or waiver of the following items as of such Funding Date:
(a) a certification, dated as of such Funding Date and signed by a Financial Officer of the Company, which may be provided in a notice of borrowing substantially in the form of Exhibit A hereto, confirming that (i) the Incorporated Representations (other than Sections 3.05(b) and 3.06(a) of the Syndicated Credit Agreement incorporated by reference herein) are true and correct in all material respects (without duplication of any materiality qualifiers) on and as of such Funding Date with the same effect as though made on and as of such date, except to the extent such representations and warranties expressly relate to an earlier date, in which case such representations and warranties are true and correct in all material respects (without duplication of any materiality qualifiers) on and as of such earlier date and (ii) no Event of Default or Default shall have occurred and be continuing as of such Funding Date and at the time of and immediately after giving effect to the borrowing of the Revolving Loans; and
(b) by no later than the applicable date and time required for the notice of borrowing set forth above in Section 5, a request for Revolving Loans with disbursement instructions attached thereto substantially in the form of Exhibit A hereto.
13.
Equal and Ratable Treatment; Additional Documents. (a) If any Subsidiary of the Company guarantees any obligations of the Company under (i) the Syndicated Credit Agreement or (ii) that certain credit agreement, dated on or around the date hereof, between the Company and U.S. Bank National Association (the “USB Agreement”) then the Company shall cause such Subsidiary to become a guarantor under this Agreement pursuant to a guarantee agreement that is substantially the same (mutatis mutandis).
(b) If the Company or any of its Subsidiaries grants any Liens with respect to its obligations under (i) the Syndicated Credit Agreement or (ii) the USB Agreement, then the Company shall grant, or cause such Subsidiary to grant, the Lender an equal and ratable Lien securing the obligations under the Loan Documents.
(c) At the time any Subsidiary becomes a guarantor or other obligor as required hereunder, the Company shall furnish to the Lender (i) all documentation and other information as the Lender may reasonably request to satisfy requirements of bank regulatory authorities under applicable “know your customer” and anti-money laundering rules and regulations, including the USA PATRIOT Act and (ii) such documentation (including a customary opinion of counsel for the Company) as the Lender may reasonably request (in each case in form and substance reasonably satisfactory to the Lender) evidencing the corporate power and authority of such Subsidiary to execute, deliver and perform the applicable guarantee agreement and/or security agreement.
14.
Event of Default. Upon the occurrence and during the continuance of any Event of Default (except for an Event of Default described in paragraph (g) or (h) of Article VII of the Syndicated Credit Agreement
8
(as incorporated by reference in this Agreement), upon notice by the Lender to the Company, the Lender may take any or all of the following actions, at the same or different times: (i) terminate the Lender’s Comitment and/or (ii) declare the Revolving Loans then outstanding to be forthwith due and payable in whole or in part, whereupon the principal of the Revolving Loans so declared to be due and payable, together with accrued interest thereon and any unpaid accrued fees and all other liabilities of the Company accrued hereunder, shall become due and payable without presentment, demand, protest or any other notice of any kind, all of which are hereby expressly waived anything contained herein to the contrary notwithstanding; and, in the case of any Event of Default described in paragraph (g) or (h) of Article VII of the Syndicated Credit Agreement (as incorporated by reference in this Agreement), the Lender’s Commitment shall automatically terminate and the principal of the Revolving Loans then outstanding, together with accrued interest thereon and any unpaid accrued fees and all other liabilities of the Company accrued hereunder shall automatically become due and payable, without presentment, demand, protest or any other notice of any kind, all of which are hereby expressly waived, anything contained herein to the contrary notwithstanding.
15.
Notices. All notices, demands, requests, consents, approvals and other communications required or permitted hereunder (“Notices”) shall be in writing (unless expressly permitted in this Agreement to be given by telephone) and shall be delivered by hand or overnight courier service, mailed by certified or registered mail or sent by fax or by electronic communication. Notices also may be given in any manner to which the parties may separately agree. Without limiting the foregoing, first-class mail, email, facsimile transmission and commercial courier service are hereby agreed to as acceptable methods for giving Notices; provided that Notices sent by hand or overnight courier service, or mailed by certified or registered mail, shall be deemed to have been given when received; notices sent by fax and electronic communications shall be deemed to have been given when sent (except that, if not given during normal business hours for the recipient, shall be deemed to have been given at the opening of business on the next business day for the recipient). Regardless of the manner in which provided, Notices may be sent to a party’s address as set forth below or to such other address as any party may give to the other for such purpose in accordance with this paragraph:
To the Company:
ITT INC.
1133 Westchester Avenue
White Plains, New York 10604
Attention: Thomas Scalera, Chief Financial Officer
Fax No.: 914-696-2960
E-mail: [email protected]
To the Lender:
BNP PARIBAS
787 Seventh Avenue
New York, New York 10019
Attention: Loan Services
E-mail: [email protected]
16.
Expenses; Indemnity. Section 10.05 (Expenses; Indemnity) of the Syndicated Credit Agreement is incorporated by reference in this Agreement in conformity with Section 10 of this Agreement and such provisions as incorporated herein by reference shall survive termination of this Agreement and remain in full force and effect.
17.
Right of Setoff. In addition to any rights and remedies of the Lender provided by law, if an Event of Default shall have occurred and be continuing, the Lender is hereby authorized at any time and from time to time, to the fullest extent permitted by law, to set off and apply any and all deposits (general or special, time or demand, provisional or final) at any time held and other indebtedness at any time owing by the Lender to or for the credit or obligations of the Company against any and all of the obligations of the Company now or hereafter existing under any Loan Document to the Lender, irrespective of whether or not the Lender shall have made any demand thereunder and although such obligations may
9
be unmatured or contingent. The Lender agrees promptly to notify the Company after any such setoff and application made by the Lender, provided that the failure to give such notice shall not affect the validity of such setoff and application.
18.
Headings. Section headings used herein are for convenience of reference only, are not part of this Agreement and are not to affect the construction of, or to be taken into consideration in interpreting, this Agreement.
19.
Severability. In the event any one or more of the provisions contained in this Agreement should be held invalid, illegal or unenforceable in any respect, the validity, legality and enforceability of the remaining provisions contained herein shall not in any way be affected or impaired thereby. The Company and the Lender shall endeavor in good-faith negotiations to replace the invalid, illegal or unenforceable provisions with valid provisions the economic effect of which comes as close as possible to that of the invalid, illegal or unenforceable provisions.
20.
Counterparts. This Agreement may be executed by one or more of the parties to this Agreement on any number of separate counterparts and all of said counterparts taken together shall be deemed to constitute one and the same instrument. This Agreement may be executed by facsimile or other electronic means (including, without limitation, “pdf”). Delivery by telecopier or other electronic means (including, without limitation, “pdf”) of an executed counterpart of a signature page to this Agreement shall be effective as delivery of an original executed counterpart of this Agreement.
21.
Waivers; Amendment. No provision of this Agreement or any other Loan Document may be waived, amended, supplemented or modified, except by a written instrument executed by the Company and the Lender. This Agreement and the other Loan Documents together embody the entire agreement and understanding between the Company and the Lender with respect to the Revolving Loans and the specific matters hereof and supersede all prior agreements and understandings relating to the specific matters hereof. No failure or delay by the Lender in exercising any right hereunder or under any other Loan Document shall operate as a waiver thereof, nor shall any single or partial exercise of any right preclude other or further exercises thereof or the exercise of any other right. The rights and remedies of the Lender hereunder are cumulative and are not exclusive of any rights or remedies that the Lender would otherwise have.
22.
JURISDICTION; FORUM; CONSENT TO SERVICE OF PROCESS. THIS AGREEMENT AND THE OTHER LOAN DOCUMENTS AND THE RIGHTS AND OBLIGATIONS OF THE PARTIES UNDER THIS AGREEMENT AND THE OTHER LOAN DOCUMENTS SHALL BE CONSTRUED AND INTERPRETED IN ACCORDANCE WITH AND GOVERNED BY THE LAWS OF THE STATE OF NEW YORK WITHOUT REGARD TO CONFLICT OF LAWS PRINCIPLES THEREOF OTHER THAN SECTIONS 5-1401 AND 5-1402 OF THE NEW YORK GENERAL OBLIGATIONS LAW.
The Company and the Lender each hereby irrevocably and unconditionally: (a) submits, for itself and its property, to the exclusive jurisdiction of any New York state court or federal court of the United States of America sitting in New York County, and any appellate court from any thereof, in any action or proceeding arising out of or relating to this Agreement or any other Loan Document, or for recognition or enforcement of any judgment in respect hereof or thereof, and each of the parties hereto hereby irrevocably and unconditionally agrees that all claims in respect of any such action or proceeding may be heard and determined in such New York state court or, to the extent permitted by law, in such federal court; (b) agrees that a final judgment in any such action or proceeding shall be conclusive and may be enforced in other jurisdictions by suit on the judgment or in any other manner provided by law; (c) waives, to the fullest extent it may legally and effectively do so, any objection which it may now or thereafter have to the laying of venue of any suit, action or proceeding arising out of or relating to any Loan Document in any New York state or federal court; (d) waives, to the fullest extent permitted by law, the defense of an inconvenient forum to the maintenance of such action or proceeding in any such
10
court; (e) agrees that service of process in any such action or proceeding may be effected by mailing a copy thereof by registered or certified mail (or any substantially similar form of mail), postage prepaid, to its address set forth above or to such other address of which the Company or the Lender, as applicable, shall have notified the other party in writing; and (f) agrees that nothing in this Agreement will affect the right of any party to this Agreement to serve process in any other manner permitted by law.
23.
WAIVER OF JURY TRIAL. THE COMPANY AND THE LENDER EACH HEREBY IRREVOCABLY AND UNCONDITIONALLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY RIGHT IT MAY HAVE TO A TRIAL BY JURY IN ANY LEGAL ACTION OR PROCEEDING ARISING UNDER OR RELATING TO THIS AGREEMENT AND ANY OTHER LOAN DOCUMENT AND FOR ANY COUNTERCLAIM THEREIN.
24.
No Fiduciary Relationship. The Company, on behalf of itself and its subsidiaries, agrees that in connection with all aspects of the transactions contemplated hereby and any communications in connection therewith, the Company, its subsidiaries and their affiliates, on the one hand, and the Lender, on the other hand, will have a business relationship that does not create, by implication or otherwise, any fiduciary duty on the part of the Lender, and no such duty will be deemed to have arisen in connection with any such transactions or communications.
25.
Acknowledgment; Syndicated Credit Agreement. The Company and the Lender acknowledge that the Lender is currently a lender under the Syndicated Credit Agreement, and the Company’s and the Lender’s (and each of their Affiliates’, respectively) rights and obligations under any other agreement between the Company and the Lender (or any of their Affiliates, respectively) (including the Syndicated Credit Agreement) that currently or hereafter may exist are, and shall be, separate and distinct from the rights and obligations of the parties pursuant to this Agreement and the other Loan Documents, and none of such rights and obligations under such other agreements shall be affected by the Lender’s performance or lack of performance of services hereunder. Notwithstanding any other provision of this Agreement or any other Loan Document, the terms of this paragraph shall survive repayment of the Revolving Loans and all other amounts payable hereunder and the expiration or termination of this Agreement for any reason whatsoever.
26.
Successors and Assigns, etc. This Agreement shall be binding upon the parties hereto and each of their successors and permitted assigns. The Company may not assign any rights or delegate any obligations hereunder without the Lender’s prior written consent and any attempted assignment or delegation by the Company without such consent shall be null and void. The Lender may assign to one or more Eligible Assignees all or a portion of its interests, rights and obligations under this Agreement (including all or a portion of its Commitment and/or the Revolving Loans at the time owing to it); provided, however, that (i) such assignment shall be subject to the prior written consent (not to be unreasonably withheld or delayed) of the Company, unless (x) the assignee in such assignment is a “Lender” (as defined in the Syndicated Credit Agreement), an Affiliate of the Lender or a “Lender” (as defined in the Syndicated Credit Agreement), or an Approved Fund, or (y) an Event of Default has occurred and is continuing; provided that the Company shall be deemed to have consented to any such assignment unless it shall object thereto by written notice to the Lender within 10 Business Days after having received notice thereof, and (ii) the portion of the Commitment and/or Revolving Loans assigned (determined as of the initial date of each assignment with respect to such assignment) shall not be less than $5,000,000, except in the event that the amount of the Commitment and/or Revolving Loans of such assigning Lender remaining after such assignment shall be zero or if such assignee is a “Lender” (as defined in the Syndicated Credit Agreement), an Affiliate of the Lender or a “Lender” (as defined in the Syndicated Credit Agreement), or an Approved Fund. From and after the effective date of any assignment of any portion of the Commitment and/or the Revolving Loans or portion thereof, (A) the assignee thereunder shall be a party hereto and, to the extent of the interest assigned by such assignment, have the rights and assume the obligations of the Lender under this Agreement and (B) the assigning Lender thereunder shall, to the extent of the interest assigned by such assignment, be released from its
11
obligations under this Agreement (and, in the case of an assignment covering all or the remaining portion of an assigning Lender’s rights and obligations under this Agreement, such assigning Lender shall cease to be a party hereto (but shall continue to be entitled to the benefits of Section 8(a) hereof and Sections 2.14, 2.20 and 10.05 of the Syndicated Credit Agreement incorporated in this Agreement as Incorporated Miscellaneous Provisions)). As used herein, (a) “Eligible Assignee” means (i) a “Lender” (as defined in the Syndicated Credit Agreement), (ii) an Affiliate of the Lender or a “Lender” (as defined in the Syndicated Credit Agreement), (iii) an Approved Fund and (iv) any other Person, other than, in each case, a natural person, the Company or any Affiliate of the Company and (b) “Approved Fund” means any Person (other than a natural person) that is engaged in making, purchasing, holding or investing in commercial loans and similar extensions of credit in the ordinary course and that is administered or managed by (i) the Lender or a “Lender” (as defined in the Syndicated Credit Agreement), (ii) an Affiliate of the Lender or a “Lender” (as defined in the Syndicated Credit Agreement) or (iii) an entity or an Affiliate of an entity that administers or manages the Lender or a “Lender” (as defined in the Syndicated Credit Agreement).
The Lender may at any time, without the consent of, or notice to, the Company, sell participations to any Person (each, a “Participant”) in all or a portion of the Lender’s rights and/or obligations under this Agreement (including all or a portion of its Commitment and/or the Revolving Loans); provided that (i) the Lender’s obligations under this Agreement shall remain unchanged, (ii) the Lender shall remain solely responsible to the Company for the performance of such obligations, and (iii) the Company shall continue to deal solely and directly with the Lender in connection with the Lender’s rights and obligations under this Agreement. The Company agrees that each Participant shall be entitled to the benefits of Section 8(a) hereof and Sections 2.14 and 2.20 of the Syndicated Credit Agreement (as incorporated by reference in this Agreement) (subject to the requirements and limitations therein) to the same extent as if it were a Lender; provided that such Participant shall not be entitled to receive any greater payment under Sections 2.14 or 2.20 of the Syndicated Credit Agreement (as incorporated by reference in this Agreement) or greater benefit pursuant to Section 8(a) hereof, with respect to any participation, than its participating Lender would have been entitled to receive. Any agreement or instrument pursuant to which the Lender sells such a participation shall provide that the Lender shall retain the sole right to enforce this Agreement and to approve any amendment, modification or waiver of any provision of this Agreement; provided that such agreement or instrument may provide that the Lender will not, without the consent of the Participant, agree to (i) increase or extend the term of the Lender’s Commitment to make Revolving Loans, or extend the time or waive any requirement for the reduction or termination, of the Lender’s Commitment to make Revolving Loans, (ii) extend the date fixed for the payment of principal of or interest on the related Revolving Loans or any portion of any fee hereunder payable to the Participant, (iii) reduce the amount of any such payment of principal or (iv) reduce the rate at which interest is payable thereon, or any fee hereunder payable to the Participant, to a level below the rate at which the Participant is entitled to receive such interest or fee.
The Lender may at any time pledge or assign a security interest in all or any portion of its rights under this Agreement and the other Loan Documents to secure obligations of such Lender, including any pledge or assignment to secure obligations to a Federal Reserve Bank or any other central bank, provided that no such pledge or assignment shall release the Lender from any of its obligations hereunder or substitute any such pledgee or assignee for the Lender as a party hereto.
The Lender, acting solely for this purpose as a non-fiduciary agent of the Company, shall maintain a register (a “Register”) for the recordation of (i) the names and addresses of any assignee or Participant of all or any portion of the Lender’s rights and/or obligations under this Agreement and the other Loan Documents, including the principal amount (and stated interest) owing to such assignee or Participant. The entries in any Register shall be conclusive, in the absence of manifest error, and the Company and the Lender shall treat each Person whose name is recorded in a Register as the owner of the rights and/or obligations recorded therein for all purposes of this Agreement and the other Loan Documents. The Register with respect to assignees shall be available for inspection by the Company at any reasonable time and from time to time upon reasonable prior notice. The Lender shall have no obligation to disclose
12
all or any portion of the Register with respect to Participants, except to the extent that such disclosure is necessary to establish that such commitment, loan, or other obligation is in registered form under Section 5f.103-1(c) of the United States Treasury Regulations.
27.
USA PATRIOT Act. The Lender hereby notifies the Company that pursuant to the requirements of the USA Patriot Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)) (the “Act”), it is required to obtain, verify and record information that identifies the Company and its subsidiaries, which information includes the name and address of the Company and its subsidiaries and other information that will allow the Lender to identify the Company and its subsidiaries in accordance with the Act.
28.
Acknowledgement and Consent to Bail-In of EEA Financial Institutions. Notwithstanding anything to the contrary in this Agreement or any other Loan Document or in any other agreement, arrangement or understanding among any such parties, each party hereto acknowledges that any liability of any EEA Financial Institution arising under this Agreement or the other Loan Documents, to the extent such liability is unsecured, may be subject to the write-down and conversion powers of an EEA Resolution Authority and agrees and consents to, and acknowledges and agrees to be bound by:
(a)
the application of any Write-Down and Conversion Powers by an EEA Resolution Authority to any such liabilities arising hereunder which may be payable to it by any party hereto that is an EEA Financial Institution; and
(b)
the effects of any Bail-in Action on any such liability, including, if applicable:
(i)
a reduction in full or in part or cancellation of any such liability;
(ii)
a conversion of all, or a portion of, such liability into shares or other instruments of ownership in such EEA Financial Institution, its parent undertaking, or a bridge institution that may be issued to it or otherwise conferred on it, and that such shares or other instruments of ownership will be accepted by it in lieu of any rights with respect to any such liability under this Agreement or the other Loan Documents; or
(iii)
the variation of the terms of such liability in connection with the exercise of the write-down and conversion powers of any EEA Resolution Authority.
29.
Certain Definitions. As used herein, the following terms shall have the following meanings (all terms defined in this Section or in other provisions of this Agreement in the singular to have the same meanings when used in the plural and vice versa):
“Bail-In Action” means the exercise of any Write-Down and Conversion Powers by the applicable EEA Resolution Authority in respect of any liability of an EEA Financial Institution.
“Bail-In Legislation” means, with respect to any EEA Member Country implementing Article 55 of Directive 2014/59/EU of the European Parliament and of the Council of the European Union, the implementing law for such EEA Member Country from time to time which is described in the EU Bail-In Legislation Schedule.
“Benchmark Replacement” means the sum of: (a) the alternate benchmark rate (which may include Term SOFR) that has been selected by the Lender giving due consideration to (i) any selection or recommendation of a replacement rate or the mechanism for determining such a rate by the Relevant Governmental Body or (ii) any evolving or then-prevailing market convention for determining a rate of interest as a replacement to the LIBO Rate for U.S. dollar-denominated syndicated or bilateral credit facilities and (b) the Benchmark Replacement Adjustment; provided that, if the Benchmark Replacement as so determined would be less than zero, the Benchmark Replacement will be deemed to be zero for the purposes of this Agreement.
13
“Benchmark Replacement Adjustment” means, with respect to any replacement of the LIBO Rate with an Unadjusted Benchmark Replacement for each applicable Interest Period, the spread adjustment, or method for calculating or determining such spread adjustment, (which may be a positive or negative value or zero) that has been selected by the Lender giving due consideration to (i) any selection or recommendation of a spread adjustment, or method for calculating or determining such spread adjustment, for the replacement of the LIBO Rate with the applicable Unadjusted Benchmark Replacement by the Relevant Governmental Body or (ii) any evolving or then-prevailing market convention for determining a spread adjustment, or method for calculating or determining such spread adjustment, for the replacement of the LIBO Rate with the applicable Unadjusted Benchmark Replacement for U.S. dollar-denominated syndicated or bilateral credit facilities at such time.
“Benchmark Replacement Conforming Changes” means, with respect to any Benchmark Replacement, any technical, administrative or operational changes (including changes to the definition of “Alternate Base Rate,” the definition of “Interest Period,” timing and frequency of determining rates and making payments of interest and other administrative matters) that the Lender decides may be appropriate to reflect the adoption and implementation of such Benchmark Replacement and to permit the administration thereof by the Lender in a manner substantially consistent with market practice (or, if the Lender decides that adoption of any portion of such market practice is not administratively feasible or if the Lender determines that no market practice for the administration of the Benchmark Replacement exists, in such other manner of administration as the Lender decides is reasonably necessary in connection with the administration of this Agreement).
“Benchmark Replacement Date” means the earlier to occur of the following events with respect to the LIBO Rate: (1) in the case of clause (1) or (2) of the definition of “Benchmark Transition Event,” the later of (a) the date of the public statement or publication of information referenced therein and (b) the date on which the administrator of the LIBO Rate permanently or indefinitely ceases to provide the LIBO Rate; or (2) in the case of clause (3) of the definition of “Benchmark Transition Event,” the date of the public statement or publication of information referenced therein.
“Benchmark Transition Event” means the occurrence of one or more of the following events with respect to the LIBO Rate: (1) a public statement or publication of information by or on behalf of the administrator of the LIBO Rate announcing that such administrator has ceased or will cease to provide the LIBO Rate, permanently or indefinitely, provided that, at the time of such statement or publication, there is no successor administrator that will continue to provide the LIBO Rate; (2) a public statement or publication of information by the regulatory supervisor for the administrator of the LIBO Rate, the U.S. Federal Reserve System, an insolvency official with jurisdiction over the administrator for the LIBO Rate, a resolution authority with jurisdiction over the administrator for the LIBO Rate or a court or an entity with similar insolvency or resolution authority over the administrator for the LIBO Rate, which states that the administrator of the LIBO Rate has ceased or will cease to provide the LIBO Rate permanently or indefinitely, provided that, at the time of such statement or publication, there is no successor administrator that will continue to provide the LIBO Rate; or (3) a public statement or publication of information by the regulatory supervisor for the administrator of the LIBO Rate announcing that the LIBO Rate is no longer representative.
“Benchmark Transition Start Date” means (a) in the case of a Benchmark Transition Event, the earlier of (i) the applicable Benchmark Replacement Date and (ii) if such Benchmark Transition Event is a public statement or publication of information of a prospective event, the 90th day prior to the expected date of such event as of such public statement or publication of information (or if the expected date of such prospective event is fewer than 90 days after such statement or publication, the date of such statement or publication) and (b) in the case of an Early Opt-in Election, the date specified by the Lender by notice to the Company, so long as the Lender has not received, by such date, written notice of objection to such Early Opt-In Election from the Company.
14
“Benchmark Unavailability Period” means, if a Benchmark Transition Event and its related Benchmark Replacement Date have occurred with respect to the LIBO Rate and solely to the extent that the LIBO Rate has not been replaced with a Benchmark Replacement, the period (x) beginning at the time that such Benchmark Replacement Date has occurred if, at such time, no Benchmark Replacement has replaced the LIBO Rate for all purposes hereunder in accordance with Section 8(c) and (y) ending at the time that a Benchmark Replacement has replaced the LIBO Rate for all purposes hereunder pursuant to Section 8(c).
“Business Day” means (a) a day (other than a Saturday or Sunday) on which commercial banks are open and not authorized to be closed for domestic and international business (including dealings in U.S. dollar deposits) in New York and (b) if such day relates to (i) making or continuing the Revolving Loans bearing interest at the Adjusted LIBO Rate or (ii) making any payment or repayment of any principal or payment of interest such Revolving Loans, or the Company’s giving of notice (or the number of Business Days to elapse prior to the effectiveness thereof) in connection with any of the matters referred to in (b)(i) or (ii), any day on which dealings in U.S. dollars are carried on in the London interbank market.
“Early Opt-in Election” means the occurrence of: (1) a determination by the Lender that at least five currently outstanding U.S. dollar denominated syndicated or bilateral credit facilities at such time contain (as a result of amendment or as originally executed) as a benchmark interest rate, in lieu of the LIBO Rate, a new benchmark interest rate to replace the LIBO Rate, and (2) the election by the Lender to declare that an Early Opt-in Election has occurred and the provision by the Lender of written notice of such election to the Company.
“EEA Financial Institution” means (a) any credit institution or investment firm established in any EEA Member Country which is subject to the supervision of an EEA Resolution Authority, (b) any entity established in an EEA Member Country which is a parent of an institution described in clause (a) of this definition, or (c) any financial institution established in an EEA Member Country which is a subsidiary of an institution described in clauses (a) or (b) of this definition and is subject to consolidated supervision with its parent.
“EEA Member Country” means any of the member states of the European Union, Iceland, Liechtenstein, and Norway.
“EEA Resolution Authority” means any public administrative authority or any person entrusted with public administrative authority of any EEA Member Country (including any delegee) having responsibility for the resolution of any EEA Financial Institution.
“EU Bail-In Legislation Schedule” means the EU Bail-In Legislation Schedule published by the Loan Market Association (or any successor person), as in effect from time to time.
“Federal Reserve Bank of New York’s Website” means the website of the Federal Reserve Bank of New York at http://www.newyorkfed.org, or any successor source.
“Loan Documents” means this Agreement, the Fee Letter, any guarantee agreement delivered pursuant to the terms hereof, and any amendments, modifications or waivers of the foregoing.
“Prime Rate” means, for any day, a rate per annum equal to the greater of (a) the variable per annum rate of interest so designated from time to time by the Lender as its prime rate in effect on such day and (b) the Federal Funds Rate in effect on such day plus 1/2 of 1%. The Prime Rate is a reference rate and does not necessarily represent the lowest or best rate being charged to any customer of the Lender.
15
“Relevant Governmental Body” means the Federal Reserve Board and/or the Federal Reserve Bank of New York, or a committee officially endorsed or convened by the Federal Reserve Board and/or the Federal Reserve Bank of New York or any successor thereto.
“Sanctioned Country” means, at any time, a country or territory which is itself the subject or target of any Sanctions (at the date of this Agreement, Crimea, Cuba, Iran, North Korea and Syria).
“Sanctioned Person” means, at any time, (a) any Person listed in any Sanctions-related list of designated Persons maintained by the Office of Foreign Assets Control of the U.S. Department of the Treasury or the U.S. Department of State to the extent that a U.S. Person would be prohibited from engaging in transactions with such Person, or by the United Nations Security Council, the European Union or any EU member state, (b) any Person located, organized or resident in a Sanctioned Country or (c) any Person 50% or more owned or controlled by any such Person or Persons.
“SOFR” with respect to any day means the secured overnight financing rate published for such day by the Federal Reserve Bank of New York, as the administrator of the benchmark, (or a successor administrator) on the Federal Reserve Bank of New York’s Website.
“Syndicated Credit Agreement” means the Five-Year Competitive Advance and Revolving Credit Facility Agreement, dated as of November 25, 2014, among the Company, JPMorgan Chase Bank, N.A., as administrative agent, and the lenders party thereto, as amended prior to the Effective Date and as may be further amended from time to time subject to and in accordance with clause (iv) of the penultimate sentence in Section 10 hereof.
“Term SOFR” means the forward-looking term rate based on SOFR that has been selected or recommended by the Relevant Governmental Body.
“Unadjusted Benchmark Replacement” means the Benchmark Replacement excluding the Benchmark Replacement Adjustment.
“Write-Down and Conversion Powers” means, with respect to any EEA Resolution Authority, the write-down and conversion powers of such EEA Resolution Authority from time to time under the Bail-In Legislation for the applicable EEA Member Country, which write-down and conversion powers are described in the EU Bail-In Legislation Schedule.
[Signature Pages Follow]
16
IN WITNESS WHEREOF, the Company and the Lender have caused this Agreement to be duly executed by their duly authorized officers as of the day and year first above written.
ITT INC.,
an Indiana corporation,
as Company
By: /s/ Michael Savinelli
Name: Michael Savinelli
Title: Vice President, Chief Tax Officer
Treasurer and Assistant Secretary
17
BNP PARIBAS,
as Lender
By: /s/ Christopher Sked
Name: Christopher Sked
Title: Managing Director
By: /s/ Karim Remtoula
Name: Karim Remtoula
Title: Vice President
18
EXHIBIT A
[Form of Borrowing Request]
[Date]
BNP PARIBAS
787 Seventh Avenue
New York, New York 10019
Attention: Loan Services
E-mail: [email protected]
Ladies and Gentlemen:
Reference is made to the Credit Agreement, dated April 29, 2020 (as the same may be amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), between ITT Inc., an Indiana corporation (the “Borrower”) and BNP Paribas (the “Lender”). Capitalized terms used herein which are not defined herein are used as defined in the Credit Agreement.
1. Pursuant to Section 5 of the Credit Agreement, the Borrower hereby gives notice that it requests a borrowing of Revolving Loans under the Credit Agreement (the “Borrowing”), and in that connection sets forth below the terms on which the Borrowing is requested to be made:
3. Execution of the Credit Agreement and satisfaction or waiver of the conditions precedent set forth in Section 12 thereof are hereinafter referred to as the “Funding Requirements”. The Borrower acknowledges that (a) in order to accommodate the foregoing request, the Lender is making funding arrangements for value on the requested Borrowing Date, (b) the Lender will not make the Revolving Loans available unless the Funding Requirements are satisfied, and (c) if the Funding Requirements are not satisfied on or before the requested Borrowing Date, the Lender may sustain funding losses as a result of such failure to close on such date.
CREDIT AGREEMENT
ITT INC.
4. The Borrower hereby certifies that on the date hereof and on the Borrowing Date set forth above, and at the time of and immediately after giving effect to the Borrowing requested hereby, (i) no Event of Default or Default has or shall have occurred and be continuing and (ii) the Incorporated Representations (other than Sections 3.05(b) and 3.06(a) of the Syndicated Credit Agreement incorporated by reference in the Credit Agreement) are true and correct in all material respects (without duplication of any materiality qualifiers), in each case on and as of the date hereof and on the Borrowing Date with the same effect as though such representations and warranties had been made on and as of such date (except to the extent such representations and warranties specifically relate to an earlier date, in which case such representations and warranties were true and correct in all material respects (without duplication of any materiality qualifiers) on and as of such earlier date).
5. This Borrowing Request shall in all respects be governed by, and construed in accordance with, the laws of the State of New York.
[remainder of page intentionally left blank]
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English
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64k
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T6. Aggregation & Clustering
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T6.3 Global Frequency Analysis
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Full
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Sort the given terms in descending order by the number of times they appear in the above text. Output the "[Answer]" identifier first, and then output the sorted terms line by line, without any additional content.
Given terms: income, future, stock, have, also
Output example:
[Answer]
future
income
have
also
stock
|
Sort the given terms in descending order by the number of times they appear in the above text. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the sorted terms line by line.
Given terms: income, future, stock, have, also
Output example:
<Your thinking process>
[Answer]
future
income
have
also
stock
|
[
"have",
"income",
"stock",
"also",
"future"
] |
Hard
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00e65818883eddac9ef44659bd14fd17a930c4cab1f0b47409aacc4ca45ab868
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A.
How we (do not) trust: defensive profiles of epistemic trust and its disruptions
Open access
Published: 28 August 2025
(2025)
Cite this article
Abstract
Defining and measuring epistemic trust and its disruptions have significantly enriched recent empirical research, broadening the attachment and mentalization theory paradigm to understand how epistemic stances inform individual and interpersonal functioning. While numerous studies have explored their relationships with different psycho(patho)logical dimensions, the interplay between epistemic stances and defense mechanisms remains largely unexplored. This study aimed to investigate this interaction by developing defensive profiles of epistemic Trust, Mistrust, and Credulity. 416 Italian participants completed the Epistemic Trust, Mistrust, and Credulity Questionnaire (ETMCQ) and Defense Mechanisms Rating Scale-Self-Report-30 (DMRS-SR-30). Epistemic trust correlated positively with more mature defensive functioning and negatively with immature defenses. Conversely, Epistemic mistrust and credulity were associated with less adaptive defenses, with mistrust showing a stronger relationship with immature defenses, pointing to more severely compromised global functioning than credulity. Hierarchical regression analyses revealed specific associations of each epistemic stance with distinct defense mechanisms, delineating three coherent defensive profiles. The findings underscore the importance of differentiating specific defense patterns related to epistemic trust and its disruptions. These defensive profiles of epistemic trust, mistrust, and credulity offer valuable insight for understanding individuals' intra- and interpersonal functioning and promoting the development of tailored interventions for psychological well-being.
Introduction
Epistemic trust (ET), the ability to perceive the knowledge conveyed by others as reliable, relevant, and generalizable across various contexts (Fonagy & Allison, 2014), has emerged as a central construct in our understanding of psychological functioning. Acquired early in life, epistemic trust is pivotal to the development of individual emotional and cognitive functioning, influencing the quality of interpersonal relationships and social learning (Fonagy & Campbell, 2017). Indeed, the capacity to accurately interpret social cues and evaluate the credibility of information sources (key elements in supporting epistemic trust; Csibra & Gergely, 2009; Fonagy & Allison, 2014) forms a critical foundation for the acquisition and integration of new knowledge, which in turn fosters adaptive functioning and psychological growth.
An epistemic trusting stance enables individuals to approach socially transmitted information with openness and flexibility, thereby supporting their mentalization abilities (Fonagy et al., 2019), a vital protective factor regarding the emergence of various forms of psychological suffering (e.g., Fonagy & Campbell, 2017). Epistemically trusting individuals may be better equipped to generate new meanings, form adaptive interpersonal connections, and reinforce their sense of agency and belongingness to the social world. In other words, this capacity promotes resilience and well-being or what has been termed salutogenesis (the dynamic process of mobilizing internal and external resources to foster psychological health, growth, and adaptation; Fonagy & Campbell, 2017; Fonagy et al., 2017; Luyten et al., 2020).
Epistemic trust is fundamentally shaped by early experiences and develops when caregiving is characterized by sensitivity, consistency, and attunement. In the context of early adversity and insecure or disorganized attachment, individuals may develop distortions in this capacity, leading to two distinct stances: epistemic mistrust (EM) and epistemic credulity (EC). More specifically, epistemic mistrust reflects a pervasive skepticism toward the intentions and reliability of others' communications. Mistrustful individuals are epistemically hypervigilant (Sperber et al., 2010) and wary of accepting new information: this "rigidity" undermines their social adaptation, leaving them isolated and less able to navigate relational environments. In contrast, epistemic credulity is characterized by low vigilance and indiscriminate acceptance of information transmitted in interpersonal exchanges, leading to increased vulnerability to manipulation and exploitation. Both these disruptions leave individuals more susceptible to maladaptive functioning patterns (Luyten et al., 2020). Empirical evidence has demonstrated significant associations between epistemic mistrust, credulity, and early adverse experiences (Benzi et al., 2023; Campbell et al., 2021; Liotti et al., 2023a, b). These disruptions are also associated with various forms of psychological suffering in adulthood (Campbell et al., 2021; Liotti et al., 2023a, b; Riedl et al., 2023). Overall, these constructs appear particularly relevant for understanding the development and maintenance of maladaptive functioning or psychopathology, especially regarding personality disorders (Fonagy et al., 2017; cf. also Luyten et al., 2020, 2021). Nevertheless, the mechanisms underlying epistemic trust, mistrust, and credulity, as well as the broader profiles of functioning associated with them, remain scarcely understood.
Defense mechanisms—conceptualized by Freud (1926) as strategies employed by the ego to manage anxiety and later systematized by Freud (1936)—have been further elaborated by psychoanalytic authors (e.g., Kernberg, 1984) as central to personality organization and psychopathology. They can be defined as unconscious and primarily automatic processes that mediate the individual's reactions to emotional conflict and internal or external sources of stress (APA, 2000; Perry, 1990). Because they shape how individuals regulate affect, relate to others, and interpret interpersonal dynamics, they may provide a critical framework for understanding how epistemic stances foster adaptive or maladaptive patterns of functioning. In psychodynamic theory, a distinction has emerged between "immature," "primitive," or "lower-order" defenses, and more "mature" or "higher-order" ones (e.g., Cramer, 2015). Immature defenses work by distorting or denying external reality. They reflect ways of perceiving and organizing representations typical of early developmental stages, in which experiences and objects tend to be seen in absolute, black-and-white terms (e.g., through splitting) or are managed through direct discharge of affect (e.g., through acting out). In contrast, more mature defenses involve a capacity to acknowledge and reframe internal conflicts and stressors in a flexible and integrated way (e.g., transforming unacceptable impulses or conflicts into creative or socially valued activities through sublimation), supporting a realistic, more healthy engagement with oneself and others.
In the gold-standard approach to the study of defenses proposed by Vaillant (1971) and operationalized by Perry (1990), defenses are indeed organized hierarchically according to their function and degree of maturity that is, the level of psychological development they reflect, with more mature defenses indicating a higher level of adaptiveness. This model (see also supplementary materials SI1) articulates a multilayered taxonomy of defenses, including: (1) defensive categories, that is, overarching groupings reflecting the overall "style" of defensive functioning (i.e., immature, neurotic, mature); (2) defense levels, delineating finer-grained hierarchical gradations based on function, degree of cognitive-affective integration, and extent of reality distortion (i.e., high adaptive, obsessive, neurotic, minor image-distorting, disavowal, major image-distorting, and action defenses; and (3) defense mechanisms, representing the most detailed level of analysis––that is, the distinct "strategies" employed to mitigate conflict and stress (e.g., sublimation, repression, acting out; for a full list, see Di Giuseppe & Perry, 2021). In other words, individual defense mechanisms are nested into structurally distinct levels, which are, in turn, subsumed under broader categories. Within this framework it is also possible to compute a global index, the Overall Defensive Functioning (ODF) score, which integrates the hierarchical organization of defenses into a single measure and reflects the overall (im)maturity of an individual's defensive functioning (e.g., Di Giuseppe & Perry, 2021; Di Giuseppe et al., 2020).
Research has shown that a rigid and extensive use of immature defenses is associated with psychopathology, while higher-level mature defenses are associated with adaptive psychological functioning (e.g., Fiorentino et al., 2024; Tanzilli et al., 2021, 2022). As already mentioned, various scholars have emphasized that defense mechanisms play a crucial role in determining distinct levels of psychological functioning and personality organization (Békés et al., 2023; Kernberg, 1984; Lingiardi & McWilliams, 2017). Given that both epistemic trust and defense mechanisms have recently emerged as valuable dimensions in regulating how individuals relate to reality (e.g., Liotti et al., 2023a, b; Fiorini Bincoletto et al., 2025; Tanzilli et al., 2022), investigating how global defensive functioning interacts with epistemic stances could help identify distinct patterns of cognitive, affective, and behavioral response that may influence better (or worse) adaptation. In this framework, epistemic mistrust could be conceptualized as rooted in early adverse experiences within one's caregiving system (Fonagy et al., 2015). In contexts marked by abuse and/or repeated invalidation of the child's subjective experiences, the child may defensively develop an overly vigilant epistemic stance. Placing trust in caregivers who consistently invalidate or mistreat them could indeed expose them to further trauma or emotional injury: epistemic mistrust may therefore serve as a critical "shield", protecting the individual from additional suffering. Over time, however, this stance often becomes maladaptive, limiting social learning and potentially compromising mentalization. But epistemic mistrust does not operate in isolation (nor does credulity, which can similarly arise from early traumatic caregiving contexts). It interacts dynamically with other processes such as defense mechanism to shape how the individual regulates affect, constructs and organizes mental representations, and interprets external cues. Understanding these interactions can therefore provide a coherent framework for understanding developmental trajectories of psychopathology. From a psychodynamic perspective, such as that offered by the Psychodynamic Diagnostic Manual (PDM-2; Lingiardi & McWilliams, 2017) and the Operationalized Psychodynamic Diagnosis system (OPD Task Force, 2008), the interplay between various mental capacities is a central component of the diagnostic and therapeutic process, considered a fundamental force in shaping the individual's mental and personality functioning. In this perspective, focusing on the interplay between epistemic trust, mistrust, credulity, and defense mechanisms may offer a novel understanding of some core processes that sustain or disrupt well-being (cf., Fiorini Bincoletto et al., 2025; Joyce et al., 2013; Li et al., 2023). To pursue such an understanding, it is crucial to examine the associations between defenses and epistemic stances at different degrees of granularity—from broad categories to specific "strategies"—so as to better capture the structural complexity of the mechanisms involved.
To our knowledge, to date, research has paid little attention to the interconnectedness of these mental abilities. Thus, this research sought to:
1)
Examine the associations between epistemic trust, mistrust, credulity, and defensive categories (immature, neurotic, and mature) of Perry's hierarchical model (1990) and the overall defensive functioning (ODF). According to the literature in the field (e.g., Li et al., 2023; Tanzilli et al., 2022), though limited, it was hypothesized that epistemic trust would be related to mature defensive functioning; on the contrary, epistemic mistrust and credulity would be associated with less adaptive defensive categories.
2)
Investigate the relationships between epistemic trust, mistrust, credulity, and defense levels. Drawing on the few available empirical contributions (e.g., Di Giuseppe & Perry, 2021; Fiorini Bincoletto et al., 2025), we hypothesized that epistemic trust would be associated with more adaptive defense levels, while epistemic mistrust and credulity would be related to lower ones. Specifically, it was hypothesized that mistrust would be associated with defenses more severely impairing individual psychological dynamics; conversely, credulity was thought to be primarily with less maladaptive defense levels.
3)
Identify in an exploratory analysis which specific defense mechanisms were associated with each epistemic stance to develop empirically derived defensive profiles. Drawing on theoretical considerations and empirical findings about both epistemic trust and defense mechanisms (e.g., Campbell et al., 2021; Di Giuseppe & Perry, 2021; Liotti et al., 2023a, b; Luyten et al., 2020), we hypothesized that, since it is believed to be related to salutogenesis, epistemic trust would be associated with affiliation, altruism, and self-observation. Conversely, consistently with findings showing that mistrust is more strongly associated with psychological symptoms than credulity, we expected that the first would be associated with more immature defenses (e.g.,, projection, and splitting), and the latter to a different, less maladaptive, defensive functioning (e.g., involving defenses such repression and reaction formation).
Materials and methods
Procedure and participants
Participants were recruited via an online survey conducted on SurveyMonkey and shared via social media. Following the inclusion/exclusion criteria, participants had to (1) be between the ages of 18 and 70; (2) not have a psychotic disorder or psychotic symptoms; (3) provide informed consent. All participants were volunteers and received no remuneration. The research protocol was approved by the Ethics Committee of the Department of XXX, XXX University, Prot. n. XXX.
Measures
Sociodemographic Questionnaire
Information regarding participants' demographic characteristics (including age, gender, education level, and socio-economic status) was gathered in the first section of the survey.
Epistemic Trust, Mistrust & Credulity Questionnaire
The ETMCQ (Campbell et al., 2021) is a self-report questionnaire that measures different epistemic stances. It consists of 15 items rated on a 7-point Likert scale (1 = strongly disagree, 7 = strongly agree). The questionnaire examines three different dimensions: Epistemic trust, epistemic mistrust, and epistemic credulity. Epistemic trust is conceptualized as an adaptive approach to knowledge interpersonally transmitted (e.g., "I usually ask people for advice when I have a personal problem"); epistemic mistrust refers to a negative and suspicious attitude towards information coming from others (e.g., "If you put too much faith in what people tell you, you are likely to get hurt"); lastly, epistemic credulity involves blind reliance on information transmitted by others (e.g., "I am often considered naïve because I believe almost anything that people tell me"). The present research used an empirically supported version of the ETMCQ validated in Italy (Liotti et al., 2023a, b). The three scales' scores were obtained by calculating the average score of the items that make up each epistemic dimension. In this study, the ETMCQ scales reached the following Cronbach's alphas values: epistemic trust (α = 0.67), mistrust (α = 0.72), and credulity (α = 0.77), showing acceptable levels of reliability (with the exception of the first scale slightly below 0.70). Overall, these levels of internal consistency were quite similar to those reported in the previous UK (epistemic trust [0.69 ≤ α ≤ 0.81], mistrust [0.65 ≤ α ≤ 0.72], and credulity [0.75 ≤ α ≤ 0.81]; Campbell et al., 2021) and Italian validation studies (epistemic trust [α = 0.73], mistrust [α = 0.67], and credulity [α = 0.73]; Liotti et al., 2023a, b).
Defense Mechanisms Rating Scales-Self-Report-30
The DMRS-SR-30 (DMRS-SR-30; Di Giuseppe et al., 2020) is a 30-item self-report questionnaire investigating the individual's defensive functioning. Respondents are asked to use a 5-point Likert scale to indicate how often in the past week they resorted to each of the 28 defense mechanisms considered (0 = not at all, 4 = often/very much). Items include statements like: "Did you perceive others as 'all good' or 'all bad'?", "Did you try to diffuse the tension by engaging in creative activities?", "Did you feel confused, 'spaced out,' or unable to talk about a distressing topic?”. Defenses are divided into three hierarchical defensive categories (mature, neurotic, and immature) and seven levels in order of maturity according to Perry's model (1990). The mature category (corresponding to the high-adaptive level) includes the most adaptive mechanisms, allowing for optimal management of personal challenges (e.g., affiliation, humor, altruism, self-assertion, and so on). The neurotic category (including obsessional and neurotic levels) involves defenses that keep certain emotional or cognitive aspects of individual experience outside of conscious awareness. The immature category (including four levels: minor image-distorting, disavowal, major image-distorting, and action) comprises the most maladaptive mechanisms, which impair proper awareness of internal/external conflicts or stressful conditions by rejecting threatening or painful thoughts and feelings, distorting perceptions of self, others, and reality, and acting impulsively (for a comprehensive overview of defense levels, cf., Di Giuseppe & Perry, 2021; see also the supplementary materials SI1). Moreover, the DMRS-SR-30 provides an index of Overall Defensive Functioning (ODF), which describes the individual's capacity to manage and modulate anxiety and painful emotional states that may arise from internal conflicts, external challenges, or threatening experiences. Consistent with the DMRS-SR-30 validation study (Di Giuseppe et al., 2020), in the present research the ODF showed excellent reliability (α = 0.91), while the defensive categories demonstrated an internal consistency ranging from acceptable to good levels (except the first category which presented some questionable issues), obtaining the following Cronbach's alphas values: mature (α = 0.68), neurotic (α = 0.78), and immature (α = 0.84). The reliabilities of all defense levels (especially those consisting of three items; cf., Di Giuseppe et al., 2020) were generally lower (i.e., high-adaptive [α = 0.68], obsessional [α = 0.61], neurotic [α = 0.68], minor image distorting [α = 0.60], disavowal [α = 0.65], major image distorting [α = 0.61], action [α = 0.60]), but higher than those reported in the original DMRS-SR-30 study (i.e., high-adaptive [α = 0.70], obsessional [α = 0.36], neurotic [α = 0.63], minor image distorting [α = 0.52], disavowal [α = 0.58], major image distorting [α = 0.49], action [α = 0.46]; see Di Giuseppe et al., 2020).
Statistical analysis
Data analyses were performed using JAMOVI version 2.5.3, with the application of the GAMLj statistical package. Descriptive and preliminary statistical analyses were conducted to verify the potential associations between the study's psychological dimensions and demographic variables. Subsequently, in line with the first aim of this research, partial correlations (partial r, two-tailed) were carried out to examine the relationship between each epistemic position (assessed with the ETMCQ), ODF, and all the defensive categories (mature, neurotic, and immature) (assessed with the DMRS-SR-30), controlling for the effect of other two epistemic dimensions and demographic variables (i.e., age and gender). Consistent with the second aim, partial correlations were performed to investigate the associations between each specific epistemic stance and all the seven DMRS-SR-30's defensive levels, still net of the impact of other epistemic positions, age, and gender. A set of multiple linear regression analyses was conducted to identify individual defense mechanisms strongly related to all epistemic stances. More in detail, in three separate hierarchical regression models, epistemic trust, mistrust, and credulity were considered the independent variable, while all the defenses of the DMRS-SR-30 were dependent variables. In line with previous correlational analyses, age and gender were controlled in the regression analyses to account for potential confounding variables. The specific defenses associated with each epistemic dimension were included in the empirically derived defensive profiles.
Results
Descriptive and preliminary statistics
The present sample consisted of 416 Italian participants, of whom 252 (60.6%) identified as female and 164 (39.4%) as male; the average age was approximately 29 years (SD = 10.8, range = 18–70). More detailed information can be found in the supplementary material SI2.
Table 1 shows descriptive and preliminary statistics on the associations between gender, age, epistemic dimensions, and the variables of defensive functioning (including ODF, defensive categories, and levels).
Table 1 Descriptive and preliminary statistics
From: How we (do not) trust: defensive profiles of epistemic trust and its disruptions
| | M(SD) | Gender | Age |
| --- | --- | --- | --- |
| Epistemic Dimensions (ETMCQ) | | | |
| ET | 4.92(0.98) | 0.04(0.154) | 0.01(0.907) |
| EM | 3.92(1.14) | 0.12(0.011) | -0.07(0.137) |
| EC | 2.68(1.34) | 0.10(0.042) | -0.07(0.149) |
| Defense Mechanisms (DMRS - SR - 30) | | | |
| Overall Defensive Functioning | 4.98(0.39) | -0.09(0.082) | 0.19(< 0.001) |
| Defensive Categories | | | |
| Mature | 38.15(10.04) | -0.07(0.155) | 0.25(< 0.001) |
| Neurotic | 23.69(5.52) | 0.03(0.510) | -0.23(< 0.001) |
| Immature | 38.16(7.88) | 0.07(0.178) | -0.16(< 0.001) |
| Defense Levels | | | |
| 7. High - adaptive | 38.15(10.04) | -0.07(0.155) | 0.25(< 0.001) |
| 6. Obsessional | 10.07(3.36) | 0.05(0.290) | -0.18(< 0.001) |
| 5. Neurotic | 13.62(3.95) | 0.11(0.035) | -0.16(< 0.001) |
| 4. Minor - image distorting | 9.74(3.65) | -0.11(0.033) | -0.04(0.476) |
| 3. Disavowal | 12.99(4.13) | 0.08(0.111) | -0.19(< 0.001) |
| 2. Major - image distorting | 8.63(3.47) | 0.14(0.003) | -0.07(0.151) |
| 1. Action | 6.80(3.22) | 0.02(0.652) | -0.03(0.525) |
N = 416. Gender was coded as 0 = male and 1 = female. ET Epistemic Trust; EM Epistemic Mistrust; EC Epistemic Credulity; ETMCQ Epistemic Trust, Mistrust, and Credulity Questionnaire. DMRS‒SR‒30 Defense Mechanism Rating Scales‒Self Report‒30
Epistemic stances, overall defensive functioning, and defensive categories (Hypothesis 1)
The first aim of this study was to explore the associations between each epistemic dimension, ODF, and defensive categories, controlling for other two epistemic stances and specific demographic variables (i.e., gender and age). Overall, the results from partial correlations (Table 2) showed that the epistemic trust scale was positively related to higher ODF and mature category; notably, it correlated negatively with the neurotic and immature defense categories. Conversely, as expected, epistemic mistrust and credulity correlated with lower ODF; in particular, mistrust was strongly related to the immature defensive category, while credulity was mostly associated with the neurotic category.
Table 2 Partial correlations between each epistemic dimension and defensive functioning controlling for other epistemic stances and demographic variables
From: How we (do not) trust: defensive profiles of epistemic trust and its disruptions
| |Epistemic Dimensions（ETMCQ）| | |
| ---- | ---- | ---- | ---- |
|Defensive Functioning（DMRS - SR - 30）|ET|EM|EC|
|Overall Defensive Functioning|0.14(0.006)|-0.49(< 0.001)|-0.13(0.011)|
|Defensive Categories - Mature|0.17(< 0.001)|-0.45(< 0.001)|-0.21(< 0.001)|
|Defensive Categories - Neurotic|-0.10(0.050)|0.12(0.013)|0.20(< 0.001)|
|Defensive Categories - Immature|-0.13(0.009)|0.46(< 0.001)|0.10(0.042)|
N = 416. ET Epistemic Trust; EM Epistemic Mistrust; EC Epistemic Credulity; ETMCQ Epistemic Trust, Mistrust, and Credulity Questionnaire; DMRS‒SR‒30 Defense Mechanism Rating Scales‒Self Report‒30
Epistemic stances and defense levels (Hypothesis 2)
The second aim was to investigate the relationship between each epistemic stance and defense levels, net of the effect of the other epistemic dimensions, gender, and age. Table 3 shows the picture of partial correlations. In particular, the results revealed that epistemic trust was positively correlated with the high-adaptive defense level, which was negatively related to epistemic mistrust and credulity. Moreover, it was negatively associated with the disavowal and major-image distorting levels. On the contrary, epistemic mistrust was positively related to the more dysfunctional defense levels (in particular, disavowal, major-image distorting, and action defenses), while credulity was positively associated with neurotic, obsessional, and minor-image distorting defense levels.
Table 3 Partial correlations between each epistemic dimension and defense levels controlling for other epistemic stances and demographic variables
From: How we (do not) trust: defensive profiles of epistemic trust and its disruptions
| |Epistemic Dimensions（ETMCQ）| | |
| ---- | ---- | ---- | ---- |
|Defensive Functioning（DMRS - SR - 30）|ET|EM|EC|
|Defense Levels - 7.High - adaptive|0.16(< 0.001)|-0.45(< 0.001)|-0.21(< 0.001)|
|Defense Levels - 6.Obsessional|-0.08(0.114)|0.02(0.690)|0.13(0.009)|
|Defense Levels - 5.Neurotic|-0.07(0.189)|0.15(0.002)|0.17(< 0.001)|
|Defense Levels - 4.Minor - image distorting|-0.04(0.444)|0.03(0.539)|0.10(0.037)|
|Defense Levels - 3.Disavowal|-0.11(0.022)|0.33(< 0.001)|0.06(0.214)|
|Defense Levels - 2.Major - image distorting|-0.09(0.070)|0.32(< 0.001)|0.05(0.312)|
|Defense Levels - 1.Action|-0.01(0.965)|0.29(< 0.001)|-0.03(0.536)|
Note. N = 416. ET = Epistemic Trust. EM = Epistemic Mistrust. EC = Epistemic Credulity. ETMCQ = Epistemic Trust, Mistrust, and Credulity Questionnaire. DMRS‒SR‒30 = Defense Mechanism Rating Scales‒Self Report‒30
Defensive profiles for epistemic trust, mistrust, and credulity (Hypothesis 3)
The third aim of the study was to develop narrative defensive profiles for epistemic trust, mistrust, and credulity by exploring the relationship between each epistemic stance and specific defense mechanisms. Table 4 depicts only individual defenses that impact all three epistemic dimensions. All the comprehensive results from the regression analyses were reported in supplementary materials SI3, SI4, and SI5.
Table 4 Hierarchical regression analyses predicting epistemic Trust, Mistrust, and credulity from distinct defense mechanisms (N=416)
From: How we (do not) trust: defensive profiles of epistemic trust and its disruptions
|Defense Mechanisms (DMRS-SR-30)|B|SE|t|p|β|95% CI|R²|ΔR²|
| ---- | ---- | ---- | ---- | ---- | ---- | ---- | ---- | ---- |
|**Criterion Variable: ET (ETMCQ)**| | | | | | | | |
|Step 1| | | | | | |0.001|0.001|
|Intercept|4.872|0.149|32.754|< 0.001| | | | |
|Gender|0.071|0.099|0.715|0.475|0.072|-0.126|0.270| |
|Age|0.001|0.004|0.067|0.947|0.003|-0.094|0.100| |
|Step 2| | | | | | |0.187|0.185(< 0.001)|
|Intercept|4.318|0.296|14.592|< 0.001| | | | |
|Gender|0.024|0.105|0.233|0.816|0.025|-0.185|0.235| |
|Age|0.001|0.005|0.187|0.852|0.010|-0.095|0.115| |
|4. Did you offer physical or psychological help to others in need?|0.132|0.058|2.275|0.023|0.132|0.018|0.245| |
|7. Did you feel as if there was nothing positive or redeeming about yourself?|-0.171|0.052|-3.257|0.001|0.220|-0.352|0.087| |
|9. Did you ask for physical or emotional support while doing your best to handle the problem?|0.133|0.050|2.645|0.009|0.152|0.039|0.265| |
|10. Did you try to diffuse the tension by engaging in creative activities?|0.089|0.045|1.998|0.046|0.099|0.002|0.196| |
|11. Did you have an attitude of suspiciousness or perceive others as untrustworthy, unfaithful, or manipulative?|-0.201|0.055|-3.641|< 0.001|-0.221|0.340|-0.102| |
|13. Did you reflect upon your emotional experiences and personal thoughts?|0.188|0.064|2.937|0.004|0.153|0.050|0.255| |
|**Criterion Variable: EM (ETMCQ)**| | | | | | | | |
|Step 1| | | | | | |0.022|0.022|
|Intercept|3.988|0.171|23.353|< 0.001| | | | |
|Gender|0.303|0.113|2.668|0.008|0.266|0.070|0.462| |
|Age|-0.009|0.005|-1.683|0.093|0.082|-0.178|0.014| |
|Step 2| | | | | | |0.427|0.405(< 0.001)|
|Intercept|3.061|0.288|10.624|< 0.001| | | | |
|Gender|0.061|0.102|0.597|0.551|0.053|-0.122|0.229| |
|Age|0.001|0.005|0.231|0.817|0.010|-0.078|0.099| |
|7. Did you feel as if there was nothing positive or redeeming about yourself?|0.165|0.051|3.232|0.001|0.183|0.072|0.294| |
|8. Did you have an attitude of giving much more than you received without perceiving the imbalance?|0.107|0.048|2.253|0.025|0.103|0.013|0.192| |
|9. Did you ask for physical or emotional support while doing your best to handle the problem?|-0.170|0.049|-3.482|< 0.001|-0.168|0.263|0.073| |
|11. Did you have an attitude of suspiciousness or perceive others as untrustworthy, unfaithful, or manipulative?|0.241|0.054|4.480|< 0.001|0.228|0.128|0.328| |
|12. Did you make humorous comments about challenging personal issues or stressful situations?|0.082|0.040|2.029|0.043|0.095|-0.187|0.003| |
|14. Did you try to take your anger out on yourself or express it with self-harming behaviors?|0.131|0.056|2.318|0.021|0.110|0.017|0.203| |
|16. Did you take an active role in solving problems that arose?|-0.135|0.065|-2.066|0.040|-0.101|-0.197|0.005| |
|25. Did you engage in verbal or physical fights?|-0.103|0.052|-1.990|0.047|0.095|-0.189|0.001| |
|**Criterion Variable: EC (ETMCQ)**| | | | | | | | |
|Step 1| | | | | | |0.016|0.016|
|Intercept|2.789|0.202|13.809|< 0.001| | | | |
|Gender|0.289|0.134|2.151|0.032|0.215|0.019|0.412| |
|Age|-0.010|0.006|-1.599|0.110|0.078|-0.174|0.018| |
|Step 2| | | | | | |0.255|0.239(< 0.001)|
|Intercept|2.170|0.388|5.599|< 0.001| | | | |
|Gender|0.201|0.137|1.465|0.144|0.150|-0.051|0.350| |
|Age|-0.002|0.006|-0.366|0.714|0.019|-0.119|0.082| |
|6. Did you think about how you would handle difficulties that you might expect in the future?|-0.145|0.075|-1.931|0.050|-0.102|0.206|0.002| |
|8. Did you have an attitude of giving much more than you received without perceiving the imbalance?|0.188|0.064|2.937|0.004|0.153|0.050|0.255| |
|11. Did you have an attitude of suspiciousness or perceive others as untrustworthy, unfaithful, or manipulative?|-0.174|0.072|-2.409|0.016|0.140|0.254|0.026| |
|12. Did you make humorous comments about challenging personal issues or stressful situations?|-0.172|0.054|-3.171|0.002|0.169|0.274|0.064| |
|17. Did you idealize yourself or others for your/their personal characteristics?|0.195|0.068|2.867|0.004|0.153|0.048|0.257| |
|20. Did you focus on minor or unrelated matters that distracted you away from a problem that makes you anxious?|0.176|0.068|2.597|0.010|0.145|0.035|0.255| |
|30. Did you devalue yourself or others for your/their personal characteristics?|0.190|0.076|2.518|0.012|0.165|0.036|0.294| |
This table shows in bold only the DMRS-SR-30 items that significantly impact the three epistemic dimensions: trust, mistrust, and credulity. DMRS‒SR‒30 Defense Mechanism Rating Scales‒Self Report‒30; ET Epistemic Trust; EM Epistemic Mistrust. EC Epistemic Credulity; ETMCQ Epistemic Trust, Mistrust, and Credulity Questionnaire
Looking at the results in Table 4 (in particular, ΔR2), it is important to point out that some defense mechanisms explained about 18.5% of the variance in epistemic trust; other defenses explained about 40.5% of the variance in epistemic mistrust, and still others explained 23.9% of the variance in epistemic credulity. More in detail, the defensive profile for epistemic trust was characterized by altruistic tendencies and affiliative behaviors. Moreover, epistemically trustful individuals were able to use sublimation and self-observation often, while they tended not to resort to primitive defense mechanisms, such as splitting of self-image and projection.
Conversely, the defensive profile for epistemic mistrust was marked by the pervasive use of splitting of self-image, projection, passive aggression, and reaction formation, but not acting out. Moreover, mistrustful individuals showed more difficulties using mature defense mechanisms, like affiliation, humor, and self-assertion.
Lastly, the defensive profile for epistemic credulity was negatively associated with anticipation and humor. Epistemically credulous individuals showed the tendency to use reaction formation and displacement, as well as to idealize and devalue themselves or others. However, they tended not to resort to projection.
Discussion
This study represents one of the first efforts to explore the relationship between epistemic trust, its disruptions (i.e., epistemic mistrust and credulity) and defense mechanisms, offering new insights into how these mental capacities may impact psychological functioning and social adaptation.
Epistemic Stances, overall defensive Functioning, and defensive categories
The first aim of this research was to investigate the associations between epistemic stances, the overall defensive functioning (ODF), and defensive categories operationalized by Perry's (1990) hierarchical model of defenses (Table 2). As expected, epistemic trust showed positive associations with the ODF score and the mature defensive category, and negative ones with the neurotic and immature categories. Nevertheless, the modest strength of these correlations indicates that while having a role in fostering prosocial responses and facilitating emotional and cognitive integration epistemic trust may not, in itself, represent a robust protective factor regarding psychopathology (Campbell et al., 2021; Fiorini Bincoletto et al., 2025). Rather, it may function as a dynamic regulator of interpersonal and intrapsychic processes, operating synergistically with other capacities such as reflective functioning and mentalized affectivity (e.g., Fonagy et al., 2019; Jurist, 2018; Liotti et al., 2021, 2023a, b; Nolte et al., 2023). This underlines the need to conceptualize our clinical practice (including the assessment process), as well as research efforts, in terms of a multiplicity of interdependent mental functions.
Both epistemic mistrust and credulity were negatively related to the ODF score and the mature defenses category. However, some differences emerged. Mistrust showed a higher positive association with immature mechanisms, reflecting a more rigid and maladaptive mode of dealing with perceived threats, one that implies a significant distortion of representations and that limits the capacity to attend to the complexities of inner and external reality (e.g., Di Giuseppe & Perry, 2021). Epistemic credulity showed its higher association with the neurotic category, comprising defenses that are generally less detrimental to functioning, yet indicative of a scarce ability to integrate conflictual components of experience. This is consistent with the literature indicating that epistemic mistrust and credulity both contribute to the development of psychological symptoms, albeit with different levels of severity (Benzi et al., 2023; Campbell et al., 2021; Kampling et al., 2022; Liotti et al., 2023a, b). Both stances, moreover, may be viewed as adaptations to early relational adversity. Yet, the directions these adaptations take seemingly diverge. Epistemic credulity, characterized by insufficient epistemic vigilance, could reflect an attempt to preserve the belief that others could be a source of help; it is possible to speculate that such a stance emerges in contexts of caregiving inconsistency and unpredictability, where suspending doubt or critical evaluation towards caregivers' communications (or behaviors) may allow the child to preserve a sense of connection, of receiving care and guidance. Despite its risks, however, credulity retains a channel for social learning thus for change and adaptation. Epistemic mistrust, by contrast, implies a pervasive, pre-emptive rejection of external input, possibly shaped by early experiences of invalidation, betrayal, or deception. For mistrustful individuals, the other is no longer perceived as a source of potential support, but of threat. To avert psychic disintegration, defensive barriers are erected: conflicting aspects of self (and others) may be kept separate, while having the need to externalize overwhelming emotions as a way to maintain a fragile sense of coherence albeit at the cost of healthy development. Taken together, these findings suggest that different epistemic disruptions shape specific profiles of vulnerability (requiring distinct, tailored intervention approaches). An accurate evaluation of both a patient's defensive style and epistemic stance can thus provide valuable insight into their intrapsychic and interpersonal functioning (e.g., Perry & Bond, 2012, 2017), offering important information about a patient's resources and limitations therefore aiding in the case formulation and treatment planning.
Epistemic stances and defense levels
The second aim of this study was to explore the relationship between epistemic stances and defensive levels (Table 3). Epistemic trust was positively linked to high-adaptive defenses and negatively to disavowal ones. In other words, when interpersonal cues are experienced as reliable, benign, and generalizable, individuals appear to feel safe enough to hold both the external world and their inner experience in mind simultaneously, without distortion. They seem more inclined to seek adaptive, prosocial ways of expressing and gratifying their motivations, rather than warding off emotionally unsettling or problematic experiences through avoidance, denial, or projection. These results clarify the role of epistemic trust in fostering an accurate and balanced perception of reality, promoting emotional tolerance and cognitive flexibility: even conflicting information can be "metabolized". This reflects robust ego strength and well-integrated object relations (Cramer, 2015; Silverman & Aafjes-van Doorn, 2023), allowing individuals to assign meaning(s) to both intra- and inter-personal components of experience (Metzger, 2014; see also Perry & Bond, 2017). Considering defensive functioning when exploring epistemic trust seems therefore to provide a deeper understanding of how this stance sustains mentalization processes; it also offers empirical corroboration to the idea that the restoration of epistemic trust represents an aim of psychotherapy (e.g., Fonagy et al., 2015; Fisher et al., 2023). Although epistemic trust seems to be a necessary but not sufficient condition for well-being, it may foster emotional regulation and use of adaptive defenses, facilitating ongoing adaptation to one's environment. The use of mature defense mechanisms is indeed an indicator of positive therapeutic outcomes (e.g., Perry & Bond, 2012), associated with good reflective functioning and emotional regulation abilities (e.g., Tanzilli et al., 2021) ransdiagnostic factors fostering salutogenesis.
Conversely, epistemic mistrust was negatively correlated with high-adaptive defenses, suggesting difficulties in deploying functional strategies to reconcile one's subjective experience with the demands of external reality. This suggests that mistrustful individuals are at higher risk of greater vulnerability to stress and interpersonal problems (e.g., Fiorini Bincoletto et al., 2025; Tanzilli et al., 2022). Mistrust was also uniquely linked to action defenses, and showed stronger associations with both major image-distortion and disavowal levels, indicating a propensity to erase, polarize, or behaviorally discharge information that feels affectively dissonant or distressing. The correlation with the major image-distorting level reflects a tendency to develop a dichotomous and oversimplified view of self and others (e.g., "all good" or "all bad"). This may reinforce a rigidly distorted perception of one's intrapsychic and social world, which, in turn, will likely undermine mentalization, as the complexity of mental states underlying behavior is usually lost in polarized representations. The association with disavowal defenses suggests that mistrustful individuals tend to deny and/or significantly distort aspects of reality experienced as threatening, resorting to processes that ward off or minimize awareness of what feels intolerable. In other words, our results offer empirical support to the conceptualization of epistemic mistrust as linked to epistemic hypervigilance, believed to be rooted in disorganized attachment (Fonagy & Allison, 2014). Instead of adaptively filtering out only untrustworthy information, mistrustful individuals appear susceptible to discard or misconstrue even useful, benign new knowledge, particularly when it evokes vulnerability or discomfort. Although temporarily effective in reducing negative emotions, this may limit the integration of new knowledge i.e., hamper mentalization and restrict the capacity for change. Over time, this can create further wariness toward others and foster a state of "epistemic isolation", a sense of being misunderstood or rejected, consistently with theoretical formulations (Luyten et al., 2020). When feeling threatened or otherwise emotionally activated, mistrustful individuals also tend to perceive the source of distress as external, resorting to maladaptive actions to discharge tension as indicated by the positive association with action defenses (that is, ways of coping with conflicts or stressors that bypass symbolic elaboration and manifest through externalizing behaviors, often with little awareness of their origins and possible consequences). The use of such defenses indicates a collapse of reflective functioning: it may complicate interpersonal interactions, as these mechanisms usually operate to battle, control, or fend off the source perceived as the cause of one's distress (e.g., Di Giuseppe & Perry, 2021), leading to further alienation from others.
The findings regarding epistemic credulity highlighted similarities and differences in mental functioning compared to mistrust. While credulity also negatively correlated with high-adaptive defenses, the association was weaker. Moreover, our results indicate that epistemically credulous individuals employ less primitive mechanisms than mistrustful ones, suggesting a higher tendency to preserve a certain degree of emotional regulation, internal cohesion, and interpersonal adaptation (Sala et al., 2015; see also Cramer, 2015). Epistemic credulity positively correlated with the neurotic, obsessional, and minor-image distorting levels, while displaying no significant relationship with disavowal, major-image distortion, and action ones. This suggests that, when faced with conflict or distressing situations, credulous individuals tend to regain a sense of control by removing or distancing themselves from affects (through obsessive defenses), or conversely to experience the affective dimension but avoid awareness of disturbing or unacceptable thoughts (through neurotic defenses) (Di Giuseppe & Perry, 2021). If grappling with uncertainty or perceived threats related to new knowledge, they may therefore seek structured but restrictive ways of processing information to reduce their discomfort. Ultimately, this limits their capacity to process complex emotional states and integrate different components of experience in a coherent and balanced manner. Moreover, the association with minor image-distorting levels suggests that credulous individuals are likely to respond to disturbing emotions demeaning or minimizing the source of frustration or conflict. They may idealize or devaluate epistemic sources depending on how they align with pre-existing beliefs, reinforcing rigid cognitive patterns and exposing themselves to misinformation or manipulation. In summary, our results seem to suggest that credulous individuals are driven by a need to maintain a sense of certainty and safety, which may be linked to a sort of epistemic "hunger": a yearning for validation and answers that, through a lowering of epistemic vigilance, momentarily assuage the discomfort of doubt. In doing so, however, it thwarts critical reflection and one's ability to engage with conflicting perspectives and adaptively integrate new knowledge.
Defensive profiles for epistemic trust, mistrust, and credulity
The third objective of our study was to highlight which particular defense mechanisms sustain each epistemic stance (Table 4). Epistemic trust's defensive profile was characterized by affiliation, altruism, self-observation, and sublimation. These defenses not only serve to mitigate emotional distress but can also increase self-awareness and foster interpersonal connections (Di Giuseppe & Perry, 2021). They enable individuals to generate new ideas, actions, or meanings, becoming crucial for transformation and resilience. In particular, self-observation allows one to reflect on one's own emotions, desires, and behaviors; it fosters the ability to make sense of internal experience and to use this information effectively in interpersonal interactions, promoting better adaptation to reality and a more accurate understanding of others' actions and reactions. This mechanism often represents a precursor to the changes that support the individual's psychological growth (Di Giuseppe & Perry, 2021; see also Lingiardi & McWilliams, 2017). Affiliation helps individuals constructively seek emotional support, fostering a sense of belonging and the ability to form healthy and meaningful relationships. It is also a fundamental mechanism for obtaining information from and about other people (Leary & Allen, 2011). Similarly, altruism allows for the development of a sense of belonging and the channeling of negative past feelings or experiences into prosocial behaviors that enable the development of more reciprocal, intimate, and rewarding interpersonal relationships (e.g., Li et al., 2023). Finally, sublimation allows to transform the transformation of drives and conflicts into socially acceptable and creative outlets, further enhancing personal and interpersonal growth (Di Giuseppe & Perry, 2021). Overall, these correlations offer initial corroboration to the idea that epistemic trust develops and grows in the context of cooperative exchanges, and that it fosters openness to experience and psychological as well as interpersonal adaptation (Fonagy et al., 2019).
The defensive profile of epistemic mistrust was marked by a reliance on primitive, immature defenses (Table 4). Its strongest predictors were projection and splitting of self-image mechanism associated with rigid, fragmented functioning, a limited capacity to tolerate ambivalence and associated with increased vulnerability to psychopathology, particularly personality disorders (Kernberg, 1984). Epistemically mistrustful individuals seem prone to oscillate between polarized representations of the self, depending on their immediate emotional experience. They may perceive themselves as either entirely good or flawed, without the capacity to acknowledge the complexity of reality. This polarization can be rooted in early traumatic experiences, where splitting once served as a protective adaptation against overwhelming affects (e.g., Blass, 2015). In the long term, this limited ability to integrate conflicting aspects is likely to compromise self-understanding and mentalization capacities ultimately hampering interpersonal functioning. The positive association with projection further underscores mistrustful individuals' heightened vulnerability to interpersonal misunderstandings and conflicts: parts of the self emotionally charged and perceived as "negative" during social exchanges may indeed be disavowed and attributed to others. This may sustain the hypertrophic epistemic vigilance proposed as the fundamental mechanism underlying epistemic mistrust (Fonagy et al., 2015), which prevents the revision of internal schema and the functional utilization of socially transmitted knowledge. At the same time, the negative association with affiliation may reflect a heightened difficulty to utilize relationships as resources in moments of distress, adequately fulfilling attachment needs to enhance one's ability to cope with challenges. Mistrust individuals also seem less likely to use humor during challenging situations, suggesting some difficulty in giving symbolic expression to affects and wishes in challenging situations. This may limit their capacity to resolve tensions and conflicts, as well as to perceive different aspects of situations, themselves, and others from a novel perspective (Di Giuseppe & Perry, 2021). Finally, mistrust correlated positively with passive aggression (operationalized in the DMRS-SR-30 as self-directed anger or self-harming behaviors), and negatively with acting out (operationalized as outwardly directed and impulsive aggression). These individuals may therefore be more prone to internalizing anger and turning it against themselves, rather than expressing it through direct confrontations with others. They may feel too threatened or unsafe (perhaps because they fear further rejection, retaliation, or invalidation from others) to manifest hostile feelings openly. In summary, our findings corroborate previous theoretical formulations (Fonagy & Allison, 2014; Fonagy et al., 2015; Luyten et al., 2020) positing that epistemic mistrust is linked to a fragmentation and rigidity of one's subjective experience, protecting the individual from relational threats but leading to a restricted possibility of affective expression, playfulness and sense of belonging, giving rise to feelings of loneliness, isolation, and of being misunderstood.
Conversely, the defensive profile of epistemic credulity was primarily defined by idealization and devaluation (Table 4). The negative association with projection indicates that credulous individuals are less inclined than mistrustful ones to disown unwanted feelings, impulses, or thoughts, and ascribe them to the other. These findings align with the conceptualization of credulity as characterized by low epistemic vigilance (Campbell et al., 2021): they show that credulous individuals seem to uncritically place their trust in sources perceived as familiar or protective, selectively idealizing them while devaluing others perceived as threatening. This may allow them to preserve a self-representation as "rational" persons who follow "trusted" authorities, obtaining a sense of security and coherence. They may, therefore, defend themselves against overwhelming affects such as those elicited by confronting new information contradicting their beliefs. In doing so, they might further adjust their views with those of figures perceived as benevolent (if not somewhat omnipotent) to maintain hope, fulfill attachment needs, and/or establish a sense of belongingness. Rather than splitting off or projecting disavowed parts, they may minimize inner conflict by incorporating the idealized other's viewpoint indiscriminately. However, this process may come at a cost: diminishing their ability to critically evaluate and reflect on their own beliefs, overvaluing the reliability of socially transmitted information. The use of reaction formation might maintain this psychological dynamic. When the veil of idealization falls, this defense can function as a means of denying the discomfort elicited by certain affective states (e.g., disappointment or resentment). In a search for certainty and safety, individuals with high epistemic credulity may unconsciously convert "negative" affects (perceived as threatening and difficult to regulate) into positive ones, particularly toward those epistemic sources they idealize. Thus, they may preserve a positive representation of both others and themselves although at the risk of exposing themselves to exploitation or manipulation. Displacement might serve a similar function: rather than confronting the source of their discomfort directly, credulous individuals appear more prone to redirect conflicting feelings elicited by a person or a situation onto another, usually perceived as less threatening or emotionally disturbing. This defensive profile cautions us to foster tolerance of ambivalence, reflective distance from one's beliefs, and more mature forms of affect regulation in individuals who show low epistemic vigilance, as well as to promote the adoption of more mature defenses that can sustain a balanced, authentic sense of agency and relational engagement.
The current study has some limitations. First, its cross-sectional design restricted the analysis to exploratory observations of variable relationships. Additionally, the reliance on self-report measures might have introduced response biases, potentially influenced by social desirability or a lack of insight—even though it must be noted that such measures are not inherently less reliable or informative than other ones. As noted by Corneille and Gawronski (2024), self-reports typically demonstrate good internal consistency, test-retest stability, and predictive validity—to the point that the authors consider them equally (or more) reliable than implicit measures. Both the ETMCQ and the DMRS-SR-30 have demonstrated good reliability and construct validity in prior studies (e.g., Campbell et al., 2021; Di Giuseppe et al., 2020; Greiner et al., 2024; Liotti et al., 2023a, b; Prout et al., 2022); there is also evidence that self-report and observer-rated ratings of defense mechanisms substantially align (Di Giuseppe et al., 2020). In our study, participants were assured of the confidentiality and anonymity of their responses and completed the survey via their own devices, which should reduce social desirability and response biases (e.g., Tourangeau & Yan, 2007). It was also explicitly stated that there were no right or wrong answers––a precaution that, as noted by Podsakoff et al. (2003, p. 888), should further reduce bias.
Nonetheless, we do believe that observer-rated measures such as the Epistemic Trust Rating System (ETRS; Fisher et al., 2025), the Operationalized Psychodynamic Diagnosis (OPD Task Force, 2008) rating system, the Psychodynamic Diagnostic Manual (PDM-2; Lingiardi & McWilliams, 2017), and the clinician-rated version of the Defense Mechanisms Rating Scales (DMRS-Q; Di Giuseppe & Perry, 2021) could enrich our understanding of these processes and overcome the inherent limitations of the data used in this study. Moreover, although the correlations we observed were statistically significant, their size seems to suggest that these interconnected constructs could be influenced by multiple and complex factors. To build on these findings, future studies could employ mixed-method approaches and gather data from different informants to investigate the connections between epistemic trust, defense mechanisms, and other mental capacities or psychological characteristics. In addition, to increase the generalizability of the results, the study should be replicated in different populations and at different conditions. Exploring these variables within a clinical sample could provide deeper insights, enhancing our understanding of the complex interplay between defense mechanisms and epistemic trust.
Despite its limitations, this is the first research that sought to assess the defensive profiles linked to epistemic trust, mistrust, and credulity. Our study provides empirical support to theoretical models of these dimensions, and could inform the development of individualized interventions. This approach also has broader implications, offering valuable insights for shaping strategies in healthcare settings (Riedl et al., 2023), educational (Durkin & Shafto, 2016), and social or organizational contexts. Distortions of epistemic trust are indeed associated with conspiracy mentality and/or resistance to accept social policies, for instance regarding vaccination (Brauner et al., 2023; Tanzilli et al., 2022). The rigid and polarized representations of self and others observed in association with epistemic mistrust can generalize beyond close relationships, fostering defensive skepticism towards external sources of information and preference for unthreatening or self-confirming narratives, even when factually inaccurate. Our findings also suggest that epistemic credulity may involve an uncritical acceptance of information from idealized figures perceived as protective or authoritative, which can meet needs for belonging and safety. This stance might facilitate the indiscriminate spread of misinformation, particularly when such messages come from trusted sources and align with pre-existing beliefs. Taken together, our results underscore the importance of addressing distortions in epistemic trust, not only to support individual well-being but also to foster healthier social adaptation. They also highlight the need to further explore the developmental pathways and potential long-term consequences of epistemic mistrust and credulity. By clarifying how these stances (and their interaction with other mental functions) may diverge, future research could inform tailored interventions both within and beyond the therapeutic setting. A promising direction for future work could be to clarify (1) the developmental origins and contexts of each epistemic stance, and (2) whether epistemic mistrust and credulity represent relatively stable trait-like dispositions or more transient, state-dependent responses (see also Fisher et al., 2023). Such a distinction may be essential for understanding the flexibility of these patterns, their amenability to change, as well as the factors that might promote such change—potentially including defensive processes themselves.
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Acknowledgements
The study was not preregistered. Data supporting the results of this study are available upon request from the corresponding author.
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This work was supported by the Sapienza University of Rome, Rome, Italy [grant number: RM123188F7142AC6].
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Marianna Liotti and Annalisa Tanzilli contributed equally to this work.
Authors and Affiliations
Department of Dynamic and Clinical Psychology, and Health Studies, Sapienza University of Rome, Via degli Apuli, 1, Rome, 00185, Italy
Marianna Liotti, Annalisa Tanzilli, Alice Fiorini Bincoletto, Francesco Dentale & Vittorio Lingiardi
Contributions
Marianna Liotti: Conceptualization, Investigation, Writing - Original Draft, Writing – review & editing; Annalisa Tanzilli: Conceptualization, Formal analysis, Methodology, Writing – Original Draft, Writing – review & editing; Alice Fiorini Bincoletto: Data Curation, Visualization, Writing – Original Draft; Francesco Dentale: Supervision; Vittorio Lingiardi: Writing – review & editing, Supervision.
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Correspondence to Annalisa Tanzilli.
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Liotti, M., Tanzilli, A., Bincoletto, A.F. et al. How we (do not) trust: defensive profiles of epistemic trust and its disruptions. Curr Psychol (2025). https://doi.org/10.1007/s12144-025-08361-2
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Keywords
Epistemic trust
Epistemic mistrust
Epistemic credulity
Defense mechanisms
ETMCQ
DMRS-SR-30
B.
Subjective language disturbances in young patients at ultra-high risk for psychosis (UHR): what relevance for clinical prognosis? A 2-year follow-up study
Original Paper
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Published: 28 August 2025
(2025)
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Abstract
Introduction
Language impairment has the potential to predict the onset and progression of psychosis. However, it was mainly examined using automated extraction of quantitative linguistic features and their associations with observable psychopathological aspects of psychosis (e.g., formal thought disorders). Little interest has been paid to subjective language disturbances that should phenomenologically anticipate these more objective clinical features. Therefore, the aim of this examination was to investigate subjective language disorders in a Ultra-High Risk (UHR) sample and their associations with clinical and functional outcomes along 2 years of follow-up.
Methods
170 UHR participants (88 [51.8%] females; mean age = 19.52 ± 6.03 years) were assessed for a broad range of clinical outcomes, including psychosis transition, clinical and functional remission measured with the Positive and Negative Syndrome Scale and the Social and Occupational Functioning Assessment Scale. Comparisons between patients with or without baseline subjective language disorders (specifically explored with the Schizophrenia Proneness Instrument) were analyzed using Chi-Square and Mann-Whitney tests, Kaplan-Meier survival analysis, and binary logistic regression analysis.
Results
Across the follow-up, the UHR subgroup with language disorders at entry (n = 80) showed higher and more enduring severity in psychopathology (especially negative and disorganized features), as well as poorer socio-occupational functioning over time.
Conclusion
The presence of subjective language disturbances at baseline identifies a subgroup of UHR youths with poorer psychopathological and functional prognosis. Further studies examining their association with quantitative linguistic biomarkers are needed, especially to better predict the onset and progression of psychosis.
Introduction
The Clinical High-Risk for Psychosis status is known to be a conceptual synthesis from the theoretical model of “Ultra-High-Risk” (UHR) mental states [1] and the “Basic Symptoms” (BS) construct [2], heritage of the Bonn research group in Germany [3]. Research on these risk states for psychosis has been carried forward to reach a deeper knowledge on etiological/pathogenic patterns of illness development and to define which at-risk subgroup has a greater chance to transition to psychotic disorder [4, 5]. This remarkable action in public mental healthcare finds its roots in the opportunity to identify and treat help-seeking individuals before crossing the psychosis threshold, in order to prevent/reduce the risk of conversion or at least, for whom going forward to transition, to longitudinally ensure a lower impact of illness and a better functioning in everyday life, thanks to early multidisciplinary interventions that collected evidence through time [6, 7].
Language disorders represent a fundamental chapter in the comprehensive assessment of UHR patients, especially as psychopathological precursors in the early detection of psychosis [8, 9]. Therefore, also in schizophrenia proneness instrument we can find items that investigate speech and language disturbances in a subjective perspective, in terms of both expression and reception [10]. In this respect, current research on early psychosis recently focused on mainly identifying objective language abnormalities (such as impairment in prosody, syntactic structure, and semantic coherence during Natural Language Processing [NLP]) [11, 12]. Moreover, automated speech analysis systems showed some efficacy in predicting transition to psychosis in UHR cohorts, although such studies were conducted on small sample sizes [13]. Furthermore, Rezaii and co-workers [14] correlated semantic density with positive symptoms, while speaking voices with negative symptoms, suggesting that two variables with such association had high predictive power with respect to psychosis conversion in prodromal patients. In this respect, the role of language disturbances, especially in Schizophrenia Spectrum Disorders, has been debated for a long time, given the intimate correlation between language and thought disorders [15,16,17,18]. More recently, specifically exploring clinical markers of early psychosis from language process, some authors used advanced linguistic analysis models (such as speech graph, vector unpacking, and latent complex analysis) and language-related abnormalities in neuroimaging, to detect the most subtle disturbances in the speech flow of patients at the psychosis onset [19].
However, language disturbances and formal thought disorders as well are trans-diagnostic symptoms, occurring not only in SSD but also in patients with affective disorders. Specifically, SSD patients have more idiosyncratic speech and nonspecific disorganization than patients with affective disorders. Discriminating between SSD and affective disorders looks to be helpful, given the reduced connectivity score got from speech graph models [19, 20].
Within UHR samples, a latent analysis model by DeVylder and colleagues [21] showed an increased hazard risk for psychosis onset in those at-risk patients with disordered communication at baseline. More recently, Bianciardi and co-workers [22] ruled out specific temporal (e.g., articulation rate, speech rate, pause rate, average syllable and pause duration) and prosodic features of language (e.g., glottal pulse period, jitter, shimmer, Harmonics-to-Noise Ratio [HNR], Noise-to Harmonics Ratio [NHR], voice breaks and unvoiced frames) from being markers of early psychosis using an automated acoustic analysis. Bilgrami and colleagues [23] also showed positive correlations between NLP metric of coherence and positive thought disorder severity, and between NLP metric of complexity and negative thought disorder severity. Furthermore, Meijer and co-workers [24] reported a significant correlation between semantic fluency and grey matter density in the UHR subgroup with psychosis transition. However, empirical studies investigating language and speech disturbances in at-risk patients considered exclusively objective features, also reporting relevant associations among disorganization, poverty of content, reduced referential cohesion, impaired semantic verbal fluency, and risk of psychosis conversion [19]. Little is known about the role of subjective language disturbances, especially early in the psychopathological trajectory of psychosis, although they have been included in the basic symptom criteria and in the Schizophrenia Proneness Instrument for their relevance in early detection of schizophrenia [2, 25].
To our knowledge, no previous study specifically examining subjective language disorders in UHR patients has been published in the literature to date, especially on how these self-reported symptoms are related to the risk of overcoming psychosis threshold. Therefore, the goals of this examination were: (a) to explore clinical and socio-demographic comparisons between UHR with and without subjective language disturbances at entry, and (b) to examine any inter-group longitudinal difference in terms of global functioning, psychopathological features, and outcome indicators across a 2-year follow-up period.
Methods
Setting and participants
All UHR participants were sequentially enrolled within the “Parma At-Risk Mental States” (PARMS) program from January 2016 to December 2021. Their participation in the PARMS program (and consequently in this study) was voluntary. We had no data about patients that were eligible for the PARMS protocol but refused specific “Early Intervention in Psychosis” (EIP) interventions. No comparison was possible between PARMS participants and nonparticipants. The PARMS is a specialized EIP infrastructure diffusely implemented across all adolescent and adult mental healthcare services in the Parma Department of Mental Health (Northern Italy) [26].
Inclusion criteria were: (a) to seek specialist mental health assistance; (b) age 12–25 years, (c) to meet UHR criteria as defined by the “Comprehensive Assessment of At-Risk Mental States” (CAARMS) [25] at the baseline assessment (i.e., Attenuated Psychotic Symptoms [APS], Brief Limited Intermittent Psychotic Symptoms [BLIPS], and Genetic Vulnerability).
Exclusion criteria were: (a) past overt affective or non-affective psychotic episode; (b) previous exposure to AP drug or current AP intake for a duration exceeding 4 weeks in the present illness episode, (c) known intellectual disability (IQ < 70); (d) neurological or other medical disorder with psychiatric manifestations. Past use of AP medication was considered a proxy for past psychotic episode, consistently with the original CAARMS criteria for psychosis threshold [27]. A current AP prescription of < 4 weeks was required to minimize pharmacological interference with baseline psychopathological assessment [28].
All participants and parents (if minors) provided written informed consent for their participation in the study. This research obtained approval from the local ethics committee (AVEN Ethics Committee protocol n. 559/2020/OSS*/AUSLPR) and adhered to the principles outlined in the 1964 Declaration of Helsinki and its later amendments.
Instruments
The psychopathological evaluation encompassed the CAARMS, the Health of the Nation Outcome Scale (HoNOS) [29], the Positive And Negative Syndrome Scale (PANSS) [30], the Social and Occupational Functioning Assessment Scale (SOFAS) [27], and the SPI-CY (Schizophrenia Proneness Instrument, Child and Youth version) [31]. All assessment instruments were administered by trained PARMS team members both at baseline (T0) and every 12 months during the 2-year follow-up period (T1 and T2). For all these tools, regular scoring workshops and supervision sessions were implemented to ensure good values of their inter-rater reliability.
The CAARMS is a clinical interview designed to explore multiple aspects of attenuated psychopathology. Its “Positive Symptoms” subscale serves as the basis for defining both UHR and psychosis criteria. Moreover, the applied CAARMS version used functional deterioration (measured with the SOFAS) as inclusion requirement. CAARMS interviews were conducted by trained PARMS team members using the approved Italian version (CAARMS-ITA) [32, 33].
The HoNOS assesses mental health and social functioning in patients with severe mental illness [34], including early psychosis [35]. It was divided into four main domains: “Behavioral Problems”, “Impairment”, “Psychiatric Symptoms”, and “Social Problems” [36] A score of ≤ 2 on HoNOS items 9, 10, and 11 within the “Social Problems” domain indicated functional remission [37].
The PANSS is a widely used interview for assessing psychopathology in psychosis [38], also in young patients at illness onset [39]. As proposed by Shafer and Dazzi [40], we considered five key psychopathological dimensions: “Disorganization”, “Negative Symptoms”, “Positive Symptoms”, “Resistance/Excitement-activity”, and “Affect” (“Depression-Anxiety”). Symptomatic remission is indicated by a score of ≤ 3 on the 8 PANSS items specified by the “Remission in Schizophrenia Working Group’s criteria” [41].
The SOFAS (Social and Occupational Functioning Assessment Scale) is a related measure that specifically evaluates social and occupational functioning while disregarding symptom severity. Unlike the GAF, which considers both symptom burden and functional impairment, the SOFAS provides a purer measure of functional capacity, particularly in patients with early psychosis [27]. It is included in the CAARMS interview [42]. A SOFAS score of ≥ 60 was used as further index of functional remission [43].
The SPI-CY is a structured clinical interview designed to assess basic symptoms associated with an increased risk of psychosis in adolescents and young adults. The SPI-CY evaluates self-experienced disturbances across cognitive, perceptual, and affective domains that may precede the onset of psychotic disorder, helping to identify at-risk mental state populations [44]. In this study, the presence of language disorders was assessed using two items from the SPI-CY: i.e., the items C4 “Disturbance of receptive speech” and C5 “Disturbance of expressive speech” (C.1.7.). These items evaluate impairments in understanding spoken language and difficulties in verbal expression, respectively. A language disorder was identified when at least one of these two items was rated as present (i.e., with a score of ≥ 2). Furthermore, according to the authors [25, 31], a SPI-CY rating of 7 was treated as identifying trait-like features and was not considered in the language basic symptom score. As for the role of disturbances of expressive and of receptive speech in BS criteria, it should be noted that the “presence” of these symptoms as defined in this investigation did not necessarily correspond to the scores needed to satisfy the BS criteria (i.e., a score of at least 3). Indeed, the main goal of this research was to explore the presence of subjective language disorders regardless of their role in the BS criteria.
Lastly, we completed a sociodemographic and clinical chart, including information on Duration of Untreated Illness (DUI), new suicide attempt, suicidal ideation, functional recovery, psychosis transition, and service disengagement (for details on their operative definitions, see Supplementary Materials [Table S1]).
Procedures
The initial DSM-5 diagnosis was established through assessments conducted by a minimum of two trained PARMS team members using the Structured Clinical Interview for DSM-5 disorders (SCID-5) [45]. Subjective language disturbances were then assessed at baseline using the SPI-CY. The presence of at least one of the two SPI-CY language items rated as “present” was considered indicative of the presence of a subjective language disorder and was used to include UHR participants in the UHR/L + subgroup. The remaining patients were grouped in the UHR subsample.
Within 4 weeks from baseline assessment, UHR participants were assigned to a multi-disciplinary team including a clinical psychologist, an early rehabilitation case manager, and a psychiatrist. In accordance with current official guidelines on EIP [46, 47], AP medication use at entry should be reserved to UHR patients who (a) displayed rapid deterioration in daily functioning, (b) experienced a sudden escalation of full-blown psychotic symptoms, (c) had an immediate risk of suicide or severe violence, or (d) failed to respond to psychosocial interventions. As a first-line psychopharmacological treatment, low-dose atypical AP drug was administered. Individual psychotherapy, family psychoeducation, and case management were provided to UHR patients following specific models [48, 49]. This included at least 15 sessions of individual psychotherapy [50], 12 sessions of family psychoeducation [51], and 24 sessions of early rehabilitation coordinated by a dedicated case manager over 2 years [52].
Statistical analysis
Collected data were examined using the Statistical Package for Social Science (SPSS) version 28.0 for Windows [53]. All tests were two-tailed, with a significance p level set at 0.05. Bonferroni correction was calculated to deal with multiple comparisons and family-wise error rates [54].
At presentation, between-group comparisons were analyzed using the Chi-Square (X2) test for categorical variables and the Mann-Whitney (U) test for quantitative parameters (given their non-normal distributions) [55]. As for inter-group comparisons on time-to-event outcome parameters (e.g., service disengagement, new suicide attempt), Kaplan-Meier survival analysis was used [56]. As for not time-to-event dependent variables (e.g., suicidal ideation, functional recovery) binary logistic regression analyses with the UHR subgroup as independent parameter were performed [57]. Finally, mixed-design ANOVA analyses were carried out to evaluate the temporal stability of PANSS, HoNOS, and GAF scores within and between the two UHR subsamples across the 2 years of follow-up [58].
Data on medication, psychosocial intervention, psychopathology, functioning, and outcomes were collected at baseline and every 12 months throughout the 2-year follow-up period. The study initially compared sociodemographic, clinical, and treatment parameters between the two subgroups at entry. Then, we analyzed between-group differences in specific outcome measures over time.
Results
A total of 170 UHR patients (80 [47.0%] CHR-P/L + and 90 CHR-P/L-) were included in the study. Within the UHR/L + subgroup, 65 patients had disturbance of expressive speech, while 30 had disturbance of receptive speech. Only 19 (23.7% of the UHR subgroup) showed subjective disorders of both expressive and receptive speech. Sociodemographic and clinical characteristics of the two subgroups are detailed in the Table 1. The total sample was predominantly female (52.2%) and white (87.6%), with a mean age at entry of 19.99 ± 6.06 years. According to the CAARMS, 115 participants met APS criteria, 14 BLIPS criteria, and 41 Genetic Vulnerability (GV) criteria. Specifically, 28 of them met both APS and GV criteria, while 3 both BLIPS and GV criteria. At entry, 68.2% UHR participants had an antipsychotic prescription.
Table 1 Baseline sociodemographic and clinical features in the two UHR subgroups (n = 170)
From: Subjective language disturbances in young patients at ultra-high risk for psychosis (UHR): what relevance for clinical prognosis? A 2-year follow-up study
|Variable|UHR/L+ (n = 80)|UHR/L- (n = 90)|X²/z|P|
| ---- | ---- | ---- | ---- | ---- |
|Gender (females)|41(51.2%)|47(52.2%)|0.016|0.899|
|Nationality (Italian)|65(81.3%)|80(8.9%)|1.97|0.16|
|Ethnic group| - | - |4.075|0.307|
|White|69(86.2%)|80(88.9%)|[-5]| - |
|Black|2(2.5%)|1(1.1%)|[.7]| - |
|Asian|3(3.8%)|1(1.1%)|[.6]| - |
|North African|5(6.3%)|5(5.6%)|[.1]| - |
|Hispanic|1(1.3%)|3(3.3%)|[-9]| - |
|Age at entry|20.09 ± 7.12|19.02 ± 4.85|-0.586|0.558|
|Education (in years)|11.13 ± 2.21|11.59 ± 2.45|-1.097|0.272|
|Marital status| - | - |0.022|0.999|
|Single|77(96.3%)|87(96.9%)|[-1]| - |
|Married/cohabitant|3(3.8%)|3(3.3%)|[.1]| - |
|Living status| - | - |1.651|0.648|
|Alone|3(3.8%)|3(3.3%)|[.1]| - |
|Living with partner|3(3.8%)|6(6.7%)|[-8]| - |
|Living with parents|74(92.4%)|80(8.9%)|[.8]| - |
|Other|0(0.0%)|1(1.1%)|[-9]| - |
|Employment status| - | - |2.087|0.354|
|NEET|25(31.3%)|22(24.4%)|[1.0]| - |
|Student|49(61.3%)|56(62.2%)|[-1]| - |
|Employed|6(7.5%)|12(13.3%)|[-1.2]| - |
|Source of referral| - | - |1.096|0.954|
|Primary care|26(32.5%)|32(35.6%)|[-4]| - |
|Family members|8(10.0%)|12(13.3%)|[-7]| - |
|Self - referral|12(15.0%)|12(13.3%)|[.3]| - |
|Emergency services|13(16.3%)|12(13.3%)|[.5]| - |
|Other mental health services|11(13.8%)|13(14.4%)|[-1]| - |
|School/social service|10(12.5%)|9(10.0%)|[.5]| - |
|Baseline hospitalization|16(20.0%)|6(6.7%)|6.683|0.01|
|Previous specialist contact|41(51.3%)|49(54.4%)|0.173|0.677|
|Past suicide attempt|9(11.3%)|6(6.7%)|1.106|0.293|
|DUI (in weeks)|61.37 ± 57.76|68.55 ± 51.65|-1.262|0.207|
|Substance use (at entry)|10(12.5%)|16(17.8%)|0.911|0.34|
|CHR group| - | - | - | - |
|APS|58(72.5%)|57(63.3%)|1.626|0.202|
|BLIPS|8(10.0%)|6(6.7%)|0.623|0.43|
|Genetic vulnerability|14(17.5%)|27(30.0%)|0.459|0.39|
|AP prescription|42(52.5%)|31(34.4%)|5.635|0.018|
|AP equivalent dose of risperidone (mg/day)|2.99 ± 2.27|2.87 ± 2.11|-0.046|0.964|
|AD prescription|26(32.5%)|24(26.7%)|0.693|0.405|
|BDZ prescription|20(25.0%)|24(26.7%)|0.061|0.804|
|Treatment adherence|52(65.0%)|60(66.7%)|0.052|0.819|
|PANSS scores| - | - | - | - |
|Positive symptoms|11.10 ± 4.36|9.91 ± 3.43|-1.544|0.123|
|Negative Symptoms|20.13 ± 8.28|15.22 ± 6.27|-3.953|0.001|
|Disorganization|17.16 ± 6.60|13.32 ± 3.79|-3.881|0.001|
|Affect|15.60 ± 4.91|13.97 ± 5.34|-2.093|0.18|
|Resistance/excitement - activity|7.49 ± 3.35|7.00 ± 3.38|-1.163|0.245|
|G12 Lack of judgment/insight|2.39 ± 1.44|1.99 ± 1.38|-2.197|0.028|
|P2 Conceptual disorganization|2.33 ± 1.14|1.68 ± 0.88|-3.88|0.001|
|Total score|73.97 ± 18.95|61.41 ± 15.56|-4.362|0.001|
|SOFAS score|47.75 ± 7.39|50.39 ± 8.32|-1.858|0.063|
|Work/school interruption (at entry)|48(60%)|32(35.6%)|10.158|0.001|
|HoNOS scores| - | - | - | - |
|Behavioral problems|2.54 ± 1.99|2.14 ± 1.81|-1.346|0.178|
|Impairment|1.51 ± 1.40|1.79 ± 1.49|-1.125|0.26|
|Psychiatric symptoms|9.21 ± 2.77|7.48 ± 3.33|-3.118|0.008|
|Social problems|5.84 ± 3.05|4.26 ± 2.83|-3.299|0.004|
|Total score|19.10 ± 5.91|15.67 ± 6.12|-3.846|0.001|
UHR Ultra-High Risk, UHR/L + UHR patients with language subjective disorder, UHR/L- UHR patients without language subjective disorder, NEET Not [engaged] in Employment, Education, or Training, Law 104/92 Italian framework law for assistance, social integration, and rights for persons with disabilities, DUI Duration of Untreated Illness, AP Antipsychotic, AD Antidepressant, BDZ Benzodiazepine, PANSS Positive and Negative Syndrome Scale, SOFAS Social and Occupational Functioning Assessment Scale, HoNOS Health of the Nation Outcome Scale
Mean ± standard deviation, frequencies (and percentages), Chi-square (X2) test, Mann–Whitney (z) test values are reported. Adjusted residuals values are in square brackets. Bonferroni’s corrected p values are calculated. Statistically significant p values are in bold. *p < .01
Baseline comparisons
Compared to UHR/L-, the UHR/L + subgroup showed significantly higher levels in PANSS total score, particularly in Negative and Disorganization domain subscores (Table 1). Similarly, higher levels in HoNOS total score and HoNOS “Psychiatric symptoms” and “Social problems” domain subscores were reported in UHR/L + patients, alongside lower levels of clinical insight (i.e., a higher subscore in PANSS item G12 [“Lack of judgment/insight]) and a higher prevalence rate of work/school interruption. Finally, the UHR/L + subgroup showed higher prevalence rates of baseline psychiatric hospitalization and AP prescription.
Longitudinal comparisons
Our Kaplan-Meier survival analysis results (Table 2) revealed no statistically significant inter-group differences in 2-year incidence rates of service disengagement, new psychiatric hospital admission, new suicide attempt, and transition to psychosis.
Table 2 Kaplan–Meier survival analysis results: comparisons on 2-year time-to-event outcome incidence rate among the two UHR subgroups
From: Subjective language disturbances in young patients at ultra-high risk for psychosis (UHR): what relevance for clinical prognosis? A 2-year follow-up study
|UHR subgroup|Number of events|Cumulative proportion surviving at the time - Estimate|Cumulative proportion surviving at the time - SE|Mean (in months) for 2 - year service disengagement incidence rate - Estimate|Mean (in months) for 2 - year service disengagement incidence rate - SE|Mean (in months) for 2 - year service disengagement incidence rate - 95% CI - Lower bound|Mean (in months) for 2 - year service disengagement incidence rate - 95% CI - Upper bound|
| ---- | ---- | ---- | ---- | ---- | ---- | ---- | ---- |
|UHR/L +|31|42.5%|.055|18.500|.742|17.046|19.954|
|UHR/L -|39|47.8%|.053|18.178|.689|16.828|19.528|
|(Overall)|70| - | - |18.329|.505|17.340|19.319|
|Log Rank (Mantel - Cox)| | | |X2|df|p| |
| | | | |.298|1|.585| |
|UHR subgroup|Number of events|Cumulative proportion surviving at the time - Estimate|Cumulative proportion surviving at the time - SE|Mean (in months) for 2 - year new hospitalization rate - Estimate|Mean (in months) for 2 - year new hospitalization rate - SE|Mean (in months) for 2 - year new hospitalization rate - 95% CI - Lower bound|Mean (in months) for 2 - year new hospitalization rate - 95% CI - Upper bound|
|UHR/L +|7|10.5%|.038|23.014|.417|22.197|23.830|
|UHR/L -|8|10.7%|.037|22.988|.391|22.221|23.755|
|(Overall)|15| - | - |23.000|.275|22.461|23.539|
|Log Rank (Mantel - Cox)| | | |X2|df|p| |
| | | | |.002|1|.964| |
|UHR - P subgroup|Number of events|Cumulative proportion surviving at the time - Estimate|Cumulative proportion surviving at the time - SE|Mean (in months) for 2 - year new suicide attempt incidence rate - Estimate|Mean (in months) for 2 - year new suicide attempt incidence rate - SE|Mean (in months) for 2 - year new suicide attempt incidence rate - 95% CI - Lower bound|Mean (in months) for 2 - year new suicide attempt incidence rate - 95% CI - Upper bound|
|UHR/L +|3|5.0%|.029|23.671|.281|23.121|24.222|
|UHR/L -|3|4.6%|.027|23.711|.247|23.226|24.196|
|(Overall)|6| - | - |23.692|.166|23.366|24.018|
|Log Rank (Mantel - Cox)| | | |X2|df|p| |
| | | | |.015|1|.901| |
|UHR subgroup|Number of events|Cumulative proportion surviving at the time - Estimate|Cumulative proportion surviving at the time - SE|Mean (in months) for 2 - year psychosis transition rate - Estimate|Mean (in months) for 2 - year psychosis transition rate - SE|Mean (in months) for 2 - year psychosis transition rate - 95% CI - Lower bound|Mean (in months) for 2 - year psychosis transition rate - 95% CI - Upper bound|
|UHR/L +|9|13.9%|.044|22.849|.439|21.990|23.709|
|UHR/L -|8|11.4%|.040|23.133|.365|22.418|23.847|
|(Overall)|17| - | - |23.000|.274|22.464|23.536|
|Log Rank (Mantel - Cox)| | | |X2|df|p| |
| | | | |.235|1|.628| |
UHR Ultra-High Risk, UHR/L + UHR patients with language subjective disorder, UHR/L- UHR patients without language subjective disorder, SE Standard Error, 95% CI 95% Confidence Intervals, Log Rank Logarithm Rank Test, X2 Chi-Square test, df degrees of freedom, p statistical value
Significant statistical p values are in bold
Binary logistic regression analysis results (Table 3) also failed to identify statistically significant inter-group differences at both 1- and 2-year follow-ups in terms of current suicidal ideation, functional recovery, PANSS symptomatic remission, SOFAS and HoNOS functional remission.
Table 3 Binary logistic regression analysis results for 2-year not time-to-event outcome variables in the two UHR subgroups
From: Subjective language disturbances in young patients at ultra-high risk for psychosis (UHR): what relevance for clinical prognosis? A 2-year follow-up study
|Dependent variable<br>(n = 156)|UHR/L+<br>(n = 73)|UHR/L-<br>(n = 83)|Statistic test| | | | |
| ---- | ---- | ---- | ---- | ---- | ---- | ---- | ---- |
| | | |B (SE)|HR|95% CI<br>Lower Higher|p|
|1-year current suicidal ideation|19 (26.0%)|18 (21.7%)|.239 (.377)|1.271|.607 2.660|.525|
|1-year functional recovery|49 (67.1%)|58 (70.7%)|.169 (.348)|1.184|.599 2.340|.628|
|1-year SOFAS functional remission|43 (58.9%)|58 (69.9%)|.482 (.337)|1.619|.836 3.136|.153|
|1-year HoNOS functional remission|53 (72.6%)|66 (79.5%)|.382 (.378)|1.465|.698 3.073|.312|
|1-year PANSS symptomatic remission|46 (63.0%)|60 (72.3%)|.426 (.345)|1.531|.779 3.010|.217|
|1-year CHR-P persistence|25 (34.2%)|24 (28.9%)|-.247 (.346)|.781|.397 1.538|.475|
|Dependent variable<br>(n = 100)|UHR/L+<br>(n = 50)|UHR/L-<br>(n = 50)|Statistic test| | | | |
| | | |B (SE)|HR|95% CI<br>Lower Higher|p|
|2-year current suicidal ideation|10 (20.0%)|8 (16.0%)|.272 (.523)|1.312|.471 3.660|.603|
|2-year functional recovery|36 (72.0%)|37 (74.0%)|.102 (.451)|1.107|.458 2.678|.822|
|2-year SOFAS functional remission|29 (60.4%)|35 (74.5%)|.648 (.446)|1.911|.797 4.581|.147|
|2-year HoNOS functional remission|39 (78.0%)|43 (86.0%)|.550 (.532)|1.733|.611 4.912|.301|
|2-year PANSS symptomatic remission|31 (62.0%)|38 (76.0%)|.663 (.441)|1.941|.818 4.607|.133|
|2-year CHR-P persistence|17 (34.0%)|10 (20.0%)|-.723 (.463)|.485|.196 1.202|.118|
Current suicidal ideation BPRS item 4 score of ≥ 2, Functional recovery return to work/school, SOFAS functional remission SOFAS score of ≥ 60, HoNOS functional remission HoNOS item 9, 10, and 11scores of ≤ 2, PANSS symptomatic remission PANSS item P1, P2, P3, N1, N4, N6, G5, G9 scores of ≤ 3
UHR Ultra-High Risk, UHR/L + UHR patients with language subjective disorder, UHR/L- UHR patients without language subjective disorder. SOFAS Social Occupational Functioning Assessment Scale, HoNOS Health of the Nation Outcome Scale, PANSS Positive and Negative Syndrome Scale, B regression coefficient, SE Standard Error, HR Hazard Ratio, 95% CI 95% confidence intervals for HR, p statistical significance
Significant statistical p values are in bold. Cumulative incidence rates are reported
Our mixed-design ANOVA results across the 2-year follow-up period (Table 4) revealed a significant main effect of time for all PANSS, SOFAS, and HoNOS scores, except for PANSS “Resistance/Excitement-activity” dimension subscores, indicating general clinical and functioning improvement in the total UHR sample. Notably, group differences were observed for PANSS “Positive”, “Negative”, “Disorganization”, “Affect”, and total scores, with UHR/L + patients showing persistently higher symptom severity levels across time-points. Additionally, they also showed the same group effects in terms of HoNOS “Psychiatric symptoms”, “Social problems”, and total scores. Moreover, significant group and interaction (“time×group”) effects were found for SOFAS scores over time, suggesting that UHR/L- participants longitudinally demonstrated greater improvements in functioning compared to UHR/L + peers (see Supplementary Materials [Figure S1] for details on profile plots).
Table 4 Mixed-design ANOVA results: psychopathological and outcome parameters across the 2-year follow-up period in the two UHR subgroups
From: Subjective language disturbances in young patients at ultra-high risk for psychosis (UHR): what relevance for clinical prognosis? A 2-year follow-up study
|Variable|Time effect|Group effect|Interaction effect (time x group)|
| ---- | ---- | ---- | ---- |
| |df|F|p|η2|df|F|p|η2|df|F|p|η2|
|PANSS Positive symptoms|1.50|19.924|.001|.169|1|6.548|.012|.093|1.50|.274|.689|.003|
|PANSS Negative symptoms|1.49|23.485|.001|.193|1|22.045|.001|.184|1.49|1.485|.237|.005|
|PANSS Disorganization|1.48|29.765|.001|.233|1|20.449|.001|.173|1.48|3.205|.058|.032|
|PANSS Affect|1.48|56.421|.001|.365|1|8.624|.004|.081|1.48|.406|.606|.004|
|PANSS Resistance/Excitement-activity|1.58|7.599|.002|.072|1|.271|.604|.003|1.58|.048|.920|.001|
|PANSS Total score|1.53|40.149|.001|.291|1|20.138|.001|.170|1.53|1.023|.345|.010|
|SOFAS score|1.59|116.354|.001|.558|1|10.401|.002|.102|1.59|3.308|.049|.035|
|HoNOS Behavioral problems|1.42|54.125|.001|.358|1|.352|.555|.004|1.42|.358|.626|.004|
|HoNOS Impairment|1.99|17.184|.001|.149|1|.615|.435|.006|1.99|.986|.375|.010|
|HoNOS Psychiatric symptoms|1.61|96.897|.001|.497|1|9.761|.002|.091|1.61|1.392|.251|.014|
|HoNOS Social problems|1.78|50.600|.001|.341|1|11.473|.002|.105|1.78|1.441|.240|.014|
|HoNOS total score|1.66|101.789|.001|.512|1|9.618|.003|.090|1.66|1.258|.282|.013|
|Variable|EMM (SE)| |
| ---- | ---- | ---- |
| |UHR/L+|UHR/L-|
|T0 PANSS Positive symptoms|11.620 (.548)|9.640 (.584)|
|T1 PANSS Positive symptoms|9.340 (.535)|7.880 (.535)|
|T2 PANSS Positive symptoms|9.140 (.548)|7.640 (.548)|
|T0 PANSS Negative symptoms|22.420 (1.065)|15.080 (1.065)|
|T1 PANSS Negative symptoms|19.080 (1.103)|13.020 (1.103)|
|T2 PANSS Negative symptoms|17.380 (1.008)|12.060 (1.008)|
|T0 PANSS Disorganization|18.820 (.813)|13.340 (.813)|
|T1 PANSS Disorganization|15.880 (.793)|11.460 (.793)|
|T2 PANSS Disorganization|14.400 (.713)|11.160 (.713)|
|T0 PANSS Affect|16.080 (.748)|13.760 (.748)|
|T1 PANSS Affect|12.560 (.604)|9.900 (.604)|
|T2 PANSS Affect|11.260 (.626)|9.420 (.626)|
|T0 PANSS Resistance/Excitement|7.600 (.469)|7.260 (.469)|
|T1 PANSS Resistance/Excitement|6.560 (.446)|6.380 (.446)|
|T2 PANSS Resistance/Excitement|6.650 (.461)|6.220 (.461)|
|T0 PANSS Total score|79.020 (2.586)|61.060 (2.586)|
|T1 PANSS Total score|65.660 (2.875)|50.480 (2.875)|
|T2 PANSS Total score|60.940 (3.011)|48.160 (3.011)|
|T0 SOFAS score|46.596 (1.136)|50.489 (1.136)|
|T1 SOFAS score|55.830 (1.847)|65.170 (1.847)|
|T2 SOFAS score|61.170 (1.864)|67.106 (1.864)|
|T0 HoNOS Behavioral problems|2.640 (.276)|2.347 (.279)|
|T1 HoNOS Behavioral problems|1.240 (.217)|1.061 (2.19)|
|T2 HoNOS Behavioral problems|.960 (.205)|.939 (.208)|
|T0 HoNOS Impairment|1.500 (.204)|1.880 (.204)|
|T1 HoNOS Impairment|1.100 (.188)|1.160 (.188)|
|T2 HoNOS Impairment|.940 (.170)|1.020 (.170)|
|T0 HoNOS Psychiatric symptoms|9.580 (.434)|7.660 (.434)|
|T1 HoNOS Psychiatric symptoms|6.500 (.471)|4.360 (.471)|
|T2 HoNOS Psychiatric symptoms|5.120 (.495)|3.960 (.495)|
|T0 HoNOS Social problems|6.320 (.429)|4.580 (.429)|
|T1 HoNOS Social problems|4.960 (.404)|2.840 (.404)|
|T2 HoNOS Social problems|3.940 (.385)|2.580 (.385)|
|T0 HoNOS total score|20.040 (.849)|16.510 (.858)|
|T1 HoNOS total score|13.800 (.981)|9.306 (.991)|
|T2 HoNOS total score|10.960 (1.001)|8.469 (1.011)|
As all Mauchly’s tests of sphericity are statistically significant (p < 0.05), Greenhouse–Geisser corrected degrees of freedom to assess the significance of the corresponding F value are used. Statistically significant p values are in bold. Statistical trends in p value (p < 0.01) are underlined
ANOVA analysis of variance, UHR Ultra-High Risk for psychosis, UHR/L + UHR patients with language subjective disorder, UHR/L- UHR patients without language subjective disorder, PANSS Positive And Negative Syndrome Scale, df degrees of freedom, F F statistic value, SOFAS Social and Occupational Functioning Assessment Scale, HoNOS Health of the Nation Outcome Scale, p statistical significance, η2 partial eta squared, EMM Estimated Marginal Mean, SE Standard Error, T0 baseline assessment, T1 1-year assessment time, T2 2-year assessment time
Bonferroni’s corrected p values are reported. Statistically significant p values are in bold. *p < .01
Discussion
To the best of our knowledge, this is the first study exploring the relationship between subjective language disturbances and clinical, functional, and outcome parameters in a sample of young UHR patients treated within an EIP service. Indeed, most studies on language impairment in UHR patients looked for automatic extraction of quantitative, biophysical (e.g., temporal/prosodic) markers or, in a specular way, FTDs, but exclusively from an objective/observational perspective. In our opinion, these objective disorders do not necessarily correspond to subjective, self-perceived distress, especially as specifically intended in the BS definition and theory [59]. Indeed, only when these neurobiological (“trans-phenomenal”) alterations reach sufficient clinical severity levels, they may first induce corresponding language disturbances that are primarily perceived as subjective pathological phenomena (i.e., BSs). Subsequently, language BSs, especially due to current relevant stressful events, may transit to the language clinical manifestations (and FTDs) behaviorally measurable with the PANSS [2, 3]. To explore this psychopathological evolution, future studies specifically examining the close relationship between biological/biophysical and the subjective language disturbances typically preceding objective FTDs of full-blown psychosis are thus needed, especially in order to support the hypothesis that language BSs are the first clinical features directly resulting from neurobiological language markers [60].
In this interesting perspective, the results of this examination showed a remarkable clinical link between UHR/L + patients and higher PANSS scores, especially in terms of negative symptoms and disorganization, both at baseline and across the follow-up. Overall, these findings suggest that the presence of subjective language disturbances at entry may be considered as an early clinical index of more severe and enduring psychopathology, despite the provision of specialized EIP interventions. Specifically, at baseline, these language BSs were notably associated with negative and disorganized features of psychosis (as behaviorally observed and measured by clinicians with the PANSS). This greater psychopathological severity at presentation was also confirmed in the UHR/L + subgroup by higher baseline prevalence rates of AP prescription and hospitalization, as well as by greater baseline PANSS scores in lack of judgment/insight.
Furthermore, although no inter-group differences were found in terms of DUI and 2-year incidence rates of service disengagement, new hospitalization, new suicidal thinking and behavior, psychosis transition, and symptoms remission across the follow-up, our mixed design ANOVA results drew two different longitudinal trajectories in the psychopathology of UHR/L + and UHR/L- participants, respectively. Indeed, at any point of the clinical course, the UHR/L + subgroup reported higher severity levels of psychopathology, independently by the provision of Pr-EP treatments (including AP medication). This poorer psychopathological outcome involved both affective and psychotic features (i.e., positive, negative, and disorganized dimensions), together with a poorer SOFAS functioning decline in UHR/L + participants across all time-points. This longitudinal functioning impairment in the UHR/L + subgroup specifically involved their social abilities (as indicated by higher HoNOS “Social problems” scores along the whole follow-up period) and appeared to start earlier (i.e., before the Pr-EP enrollment, as evidenced by their higher baseline HoNOS “Social problems” domain subscore and their greater baseline prevalence rate of work/school interruption).
As for FTDs in the UHR literature, some authors reported significant association of expressive communication disturbance (e.g., poverty of content, less referential cohesion) at baseline with poorer clinical status and lower socio-occupational functioning over time [61]. However, our outcome findings are not in line with the results of previous research. In this respect, contrary to the results of this investigation, an increase in frequency and duration of hospitalization was observed [62], as well as evidence that various expressive speech abnormalities (e.g., looseness, peculiar word/sentence usage, poverty of content, and weakening of goal) may predict psychosis transition [21, 63, 64]. Specifically, as for PANSS disorganized communication item, Spencer and colleagues [65] showed its significant correlation with an increased psychosis conversion hazard at baseline and persistent symptoms in illness trajectories over time. Overall, the vast majority of these studies concerned disturbance of expressive language but not receptive speech (i.e., language comprehension). However, considering only the expressive language disorders item, our outcome results did not change (see Supplementary Materials [Table S2] for details). Furthermore, contrary to what was reported in a recent network analysis on PANSS and SPI items [66], which showed no direct link between disturbance of expressive and of receptive speech and FTDs, we found a significant relationship between higher PANSS disorganization factor scores and the UHR/L + subgroup. This gives us the opportunity to hypothesize a more perceptible feature of language impairment during an important de-structuration of the language function.
In this respect, recent interesting studies exploring objective speech markers (especially, temporal and prosodic characteristics of language) found abnormalities in prosodic and temporal language functioning already in youths at UHR [67], i.e., before a full-blown psychosis onset. As for other evidence on objective language disorders in UHR populations, an investigation by Parola and co-workers [68] linked higher PANSS scores in the domain of disorganization with alterations in inference abilities in communicative intentions. According to the authors, this would imply a tendency to misattribute the communicative intentions of the speaker, due to increased pragmatism. These impaired inference abilities could also underlie a poor mentalization function (theory of mind), often observed in patients with FEP and frequently leading to symptoms related to the area of social cognition (which is primarily compromised especially in first-episode schizophrenia samples) [69]. However, also objective language markers substantially reflect expressive speech disturbance. Therefore, future studies specifically aimed at examining receptive language disorders (i.e., language comprehension) are strongly recommended.
Furthermore, such clinical aspects can seriously compromise the effectiveness of communication, resulting in an increase in negative social judgments [61]. From this perspective, some differences we detected whereby the UHR/L + subgroup could depend on this failure in the social domain and may induce less benefits from treatment in terms of global functioning (as measured with the SOFAS). This indicates the need for integrative support in social rehabilitation interventions taking into special account receptive and expressive language difficulties, also when exclusively confined in the individual subjectivity [70]. In this respect, NLP studies in UHR samples examining linguistic features linked to suicidal ideation found specific language disorders in whom expressed freely anger or other feeling, used firmly subject “I” at the top of the sentence, or stopped to use modal verbs [23, 71,72,73]. In these interesting investigations, crucial weakness was the risk of bias due to the high number of participants under AP treatment at baseline. However, the results of this examination support our evidence on the “univocity” of subjective language disturbances in UHR patients and their associations with poorer clinical and functional outcomes.
Limitations
A first limitation of this investigation was related to the study design. Indeed, this was an observational research and data were collected not for specifically examining language disorders in UHR participants. Moreover, no specific instruments to analyzed language psychopathology or neurobiological markers were used. Finally, subjective language disturbances were not examined over time. Therefore, future longitudinal investigations including and correlating neurological, subjective and objective examinations on language impairment are needed.
Other crucial weaknesses included the relatively small sample size and the use of AP medications, which could affect language and formal thought functions. Therefore, future studies on larger and AP-naïve UHR samples also examining the role of AP drugs are needed. Specifically, we did not used AP treatment as a covariate in our analyses because no intergroup difference in terms of AP dosage at entry was observed (Table 1), despite a higher baseline prescription rate in the UHR/L + subgroup. Additionally, we did not consider psychosocial interventions as covariates because no between-group differences were found in terms of individual psychotherapy, family psychoeducation, and case management prevalence rates at entry (Table 1).
Furthermore, in this investigation we did not explore expressive and receptive language disturbances separately. Indeed, the subsample of UHR/L + participants exclusively with disorders of receptive speech was too small (only 11 patients). This did not allow us to conduct effective, separate statistical analyses. Therefore, as objective language measures were commonly concerned with speech production, future studies are needed that repeat our analyses for disturbances of expressive and of receptive speech separately in larger UHR samples. Finally, this was a single-center research that may not be considered representative of all current real-world UHR intervention protocols. Indeed, our findings are comparable only with investigations using similar study design and methodology.
Conclusions
This investigation represents a first explorative analysis of subjective language disturbances in UHR patients. The results of this investigation overall showed the important role of language self-disorders as early subjective clinical indices of greater and more enduring severity in psychopathology of UHR patients, as well as of poorer clinical and functional outcomes over time. However, further studies are needed to explore this interesting field by using other assessment tools and other clinical endpoints, especially in order to evaluate the real predictive power of subjective language disorders for prognosis, especially transition to psychosis and suicidality.
Data availability
The data that support the findings of this research are available on reasonable request from the corresponding author. The data are not publicly available due to privacy or ethical restrictions.
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Acknowledgements
For their facilitating technical and administrative support in the PARMS program, the authors gratefully acknowledge the “Early Psychosis Facilitator Group” members (Sabrina Adorni, Andrea Affaticati, Anahi Alzapiedi, Paolo Ampollini, Patrizia Caramanico, Matteo Rossi, Lucilla Maglio, Matteo Tonna, and Matteo Zito) and the “Quality Staff Group” members (Patrizia Ceroni, Stefano Giovanelli, Leonardo Tadonio) of the Parma Department of Mental Health and Pathological Addictions. The authors also wish to thank all the participants and family members who actively participated to the PARMS program.
Funding
Open access funding provided by Alma Mater Studiorum - Università di Bologna within the CRUI-CARE Agreement. This research received no specific grant from any funding agencies in the public, commercial or not-for-profit sectors. The “Parma At-Risk Mental States” (PARMS) program was partly financed through a special, treatment-oriented regional fund (“Progetto Esordi Psicotici della Regione Emilia Romagna”) from January 2016 to December 2018.
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Authors and Affiliations
Department of Biomedical and Neuromotor Sciences, Alma Mater Studiorum – Università di Bologna, Bologna (BO), Italy
Lorenzo Pelizza, Alessandro Di Lisi, Michele La Maida & Marco Menchetti
Department of Mental Health and Pathological Addiction, Azienda USL di Parma, Parma, PR, Italy
Lorenzo Pelizza, Emanuela Leuci, Emanuela Quattrone, Derna Palmisano, Giuseppina Paulillo, Clara Pellegrini & Pietro Pellegrini
Department of Neuroscience, Rehabilitation, Ophthalmology, Genetics, Maternal and Child Health (DINOGMI), Section of Psychiatry, University of Genoa, Genoa, Italy
Andrea Berti
Pain Therapy Service, Department of Medicine and Surgery, Azienda Ospedaliero-Universitaria di Parma, Parma, PR, Italy
Simona Pupo
Istituto di Psichiatria “Paolo Ottonello” - viale Pepoli, Bologna (BO), 5 - 40126, Italy
Lorenzo Pelizza
Contributions
Lorenzo Pelizza and Andrea Berti: conceptualization and study design; Lorenzo Pelizza, Andrea Berti, and Simona Pupo: literature search; Lorenzo Pelizza, Emanuela Leuci, and Emanuela Quattrone: data collection and curation; Lorenzo Pelizza and Andrea Berti: Formal analysis; Lorenzo Pelizza, Andrea Berti, Alessandro Di Lisi, and Michele La Maida: writing - original draft; all authors: writing - review & editing.
Corresponding author
Correspondence to Lorenzo Pelizza.
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The authors declare that they have no conflict of interest.
Ethics approval
Local relevant ethical approvals were obtained for the research (“Area Vasta Emilia Nord” ethics committee protocol no. 559/2020/OSS*/AUSLPR). This study was conducted in accordance with the Code of Ethics of the World Medical Association (1964 Declaration of Helsinki and its later amendments).
Informed consent
All patients and their parents (if minors) agreed to participate to the research and gave their written informed consent prior to their inclusion in the study.
Supplementary Information
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Supplementary Material 1
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Pelizza, L., Berti, A., Di Lisi, A. et al. Subjective language disturbances in young patients at ultra-high risk for psychosis (UHR): what relevance for clinical prognosis? A 2-year follow-up study. Eur Arch Psychiatry Clin Neurosci (2025). https://doi.org/10.1007/s00406-025-02094-w
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Keywords
Language disorder
Ultra-High risk
Basic symptoms
Early intervention in psychosis
Outcome
Formal thought disorder
C.
Evaluating medication discrepancies and harm: a matched cohort study of collaborative pharmacist prescribing in a statewide healthcare system using electronic prescribing
Research
Open access
Published: 28 August 2025
(2025)
Cite this article
Abstract
Introduction
Collaborative pharmacist prescribing models involve pharmacists working with doctors and patients to develop medication plans and prescribe medications. Limited evidence exists on the impact of these models on medication discrepancies in hospitals using electronic prescribing systems (EPS).
Aim
This study aimed to evaluate the impact of collaborative pharmacist prescribing on medication discrepancies and potential patient harm within a statewide healthcare system using EPS.
Method
A multi-site matched cohort study involving 240 patients was conducted. EPS data for 120 patients aged ≥ 18 years who received collaborative pharmacist prescribing was matched 1:1 with 120 patients who received usual care of independent medical prescribing. Matching variables were hospital, clinical unit, sex, age, admission date, triage category and pre-admission medication count. The electronic medical record was reviewed to identify undocumented medication discrepancies, which were defined as any unexplained difference between the pharmacist-led medication history and medications prescribed on admission. The frequency of undocumented discrepancies was calculated. An independent multi-disciplinary clinician panel determined potential harm, using the Harm Associated with Medication Error Classification (HAMEC) tool.
Results
There were fewer undocumented discrepancies per medication prescribed in the collaborative pharmacist prescribing group compared to usual care (RR 0.04, 95% CI 0.03–0.06) and the relative risk of undocumented discrepancies per patient was lower (RR 0.23, 95% CI 0.13–0.39). The expert clinician panel found that undocumented discrepancies rarely posed serious or severe harm in either group (0 undocumented discrepancies with potential to cause serious or severe harm in the collaborative pharmacist prescribing group compared to 8 in the usual care group).
Conclusion
The implementation of collaborative pharmacist prescribing within a statewide EPS significantly reduced undocumented discrepancies and lowered the potential for patient harm. As healthcare systems globally shift towards electronic prescribing, this study provides timely and actionable evidence to inform policy and support the adoption of collaborative prescribing models in hospitals using EPS. Such models offer a practical strategy to improve medication safety, reduce patient harm and strengthen interprofessional collaboration at the point of prescribing.
Impact statements
Collaborative pharmacist prescribing in hospitals utilising electronic prescribing systems significantly reduces medication discrepancies and potential patient harm compared to usual care
These findings support the integration of collaborative pharmacist prescribing in electronic prescribing environments to improve medication safety, patient harm, and to strengthen interprofessional collaboration at the point of prescribing
Given the global shift towards electronic prescribing, this evidence is timely and relevant for guiding healthcare organisations and policymakers seeking to enhance quality of care
These findings support broader international efforts to expand pharmacist scope of practice through collaborative prescribing to ease workforce pressures without comprising on quality and safety
Introduction
Pharmacist prescribing has been embedded within community and hospital settings in many countries internationally, with three broad models commonly used: independent, dependent and collaborative (or supplementary) pharmacist prescribing [1]. Independent prescribing has been implemented in the UK since 2006 [2], and Alberta (Canada) since 2007 [3], with pharmacists leading the patient assessment, diagnosis and prescribing [1]. Dependent prescribing models have been implemented in some states in the US [4], and in Australian community pharmacies [5], where pharmacists prescribe medications from a restricted list for specific indications according to a protocol, guideline, or formulary [1]. Collaborative prescribing models have been adopted in other jurisdictions in the US [6] and Australia in hospital [7,8,9,10,11,12,13,14,15] and general practice [16, 17] settings. In the UK, whilst independent prescribing has become the predominant model, collaborative models are still being used in multi-disciplinary settings due to the team-based nature of care delivery [18,19,20,21]. Collaborative prescribing models typically require the initial patient assessment and diagnosis to be made by a doctor, with the doctor and pharmacist working together to develop an agreed medication plan, and the pharmacist prescribing the medications accordingly [1, 22]. The medication plan is developed collaboratively using the pharmacist-led medication history [23], working diagnosis and relevant laboratory and diagnostic test results [22]. Some collaborative models require that medications prescribed by a pharmacist are reviewed and countersigned by a treating doctor before the medications can be administered to the patient [22]. In other collaborative models, pharmacists can prescribe medications for administration, without a countersignature [22].Collaborative pharmacist prescribing models implemented in paper-based prescribing systems have been shown to significantly reduce prescribing error rates from 66% of patients having one or more error with independent medical prescribing to 3.6% with collaborative pharmacist prescribing [24]. Collaborative pharmacist prescribing has also been shown to reduce median length of stay by 10% (from 6.5 to 5.8 days) and the average cost of admissions by $726 (from $9,803 to $8,802) [25].
The majority of evidence relating to the benefits of collaborative pharmacist prescribing comes from settings where paper-based prescribing systems are used [7,8,9,10, 15]. Broader research on electronic prescribing systems (EPS) indicates that EPS can reduce procedural errors such as unclear or incomplete orders but have less impact on clinical errors such as medication omissions [26]. A systematic review conducted in 2017 [1] identified seven papers on collaborative pharmacist prescribing models in the hospital setting: five studies from Australia and two from the US were included. Most of these collaborative models were implemented in outpatient or ambulatory care settings, with only two implemented in the inpatient hospital setting [1]. No studies were reported to be implemented in electronic settings [1]. Five out of seven models required a medical countersignature for pharmacist prescriptions [1].
Emerging research suggests potential benefits of collaborative pharmacist prescribing in hospitals using EPS. For example, a pre-and-post study of orthopaedic patients found that the median number of medication errors on admission declined from six to one per patient after collaborative pharmacist prescribing was implemented (p < 0.01) [14]. Another study in an acute medical unit using EPS, reported a reduction in average admission errors from 4.41 to 0.52 errors per patient (p < 0.0001) and 0.43 to 0.05 errors per medication prescribed (p < 0.005) with collaborative pharmacist prescribing [12]. A randomised trial conducted in a hospital geriatric unit compared collaborative pharmacist prescribing on discharge to usual care practice of independent medical prescribing for both handwritten prescriptions and digital prescribing [11]. The study demonstrated a reduction in prescribing errors with collaborative prescribing compared to usual care (RR 0.31, 95% CI 0.16–0.58, p < 0.0002) [11]. There was no significant change in the error rate between handwritten or digital prescriptions [11]. In these studies, pharmacists prescribed medications ‘on hold’ pending electronic countersignature and release by a treating doctor. These studies were all conducted within single hospitals, with two of the studies [11, 14] involving only a single prescribing pharmacist. The generalisability of findings across models with different countersignature requirements, prescribers, patient cohorts and hospitals remains unclear. With the growing use of electronic medical records, and prescribing models moving away from requiring medical countersignatures, it is increasingly important to understand the impact of collaborative pharmacist prescribing models in these settings.
Aim
This study aimed to evaluate the impact of collaborative pharmacist prescribing on medication discrepancies and potential patient harm within a statewide healthcare system using electronic prescribing. It also examined whether the accuracy of pharmacist prescribing changed when medical countersignature requirements were removed.
Method
Study setting and collaborative pharmacist prescribing models of care
Collaborative pharmacist prescribing was implemented in acute and general medical units at three South Australian public hospitals in a staggered rollout between March and October 2022. Pharmacists obtained and documented a medication history on admission (pharmacist-led medication history). Pharmacists then worked with doctors and patients to develop an individualised medication plan, documented in the electronic medical record (EMR) and signed by both the pharmacist and doctor. The pharmacist could prescribe medications ‘on hold’ in the EPS according to the plan with a doctor required to electronically countersign and ‘release’ medications for administration. In late 2023, a revised pathway allowed pharmacists to prescribe medications listed on the plan, without requiring medical countersignature. The models were otherwise identical, differing only in the requirement for medication release. In this study the term ‘collaborative pharmacist prescribing’ is used to describe both models, regardless of whether a medical countersignature was required. Pharmacist prescribers across all sites had a minimum of 2-years hospital clinical pharmacy experience and successfully completed the same collaborative prescribing training program. All three sites used the same EMR which incorporated electronic prescribing, (Sunrise™), allowing for consistent evaluation of the model across hospitals.
Study design and participants
A multi-site matched cohort study was conducted. At each of the three participating hospitals patients aged ≥ 18 years, admitted to an acute or general medical unit with a pharmacist prescriber between 1st February 2023 and 5th March 2024, and had a pharmacist-led medication history within 48 h of the admission, were eligible to receive collaborative pharmacist prescribing. Due to staffing constraints, not all patients in acute or general medical units with a pharmacist prescriber received the collaborative prescribing service. Pharmacists prioritised high-risk patients to receive the service, like they do for standard pharmacy services, including patients with a formal medical team referral or those at high-risk of medication-related problems, suspected medication-related admissions, age ≥ 65 years, polypharmacy (≥ 5 medications), or use of a high-risk medication [23]. Participants in the usual care group were eligible for inclusion if they were admitted to a clinical unit where collaborative prescribing was implemented, had a pharmacist-led medication history within the first 48 h of their admission, and had their medications prescribed by a doctor as per usual practice. To mitigate potential bias due to non-random service allocation, we case-matched patients in the usual care group to those who received collaborative prescribing.
Pharmacist-led medication histories have been shown in prior research to provide a ‘gold standard’ [27,28,29] for medications taken pre-admission. In the usual care group, doctors prescribed medications independently, and in many cases, did so before the pharmacist-led history had been taken. This is standard care at the hospitals in our study.
Matching was exact for hospital site and unit, with closest matches for sex, age at admission, date of admission, triage category and pre-admission medication count. Randomisation and matching were performed using the RStudio MatchIt package (version 1.4.543). Patients who received collaborative pharmacist prescribing were identified in the EMR by the patient medication plan which was unique to the collaborative prescribing model. Furthermore, medication orders listed the prescriber type, enabling orders prescribed by a pharmacist to be distinguished from those prescribed by doctors. One hundred and twenty patients who received collaborative pharmacist prescribing were randomly selected and matched 1:1 to 120 patients who received independent medical prescribing (usual care).
Data collection
An independent pharmacist researcher extracted patient information from the EMR. Pre-admission medications were identified from the pharmacist-led medication history, including both regular and ‘as required’ (prn) medications. Medications prescribed within 24 h of admission were also extracted from the EMR, using EPS prescribing timestamps to identify medications prescribed in this timeframe. The independent pharmacist researcher identified discrepancies between the pharmacist-led medication history and medications prescribed within 24 h of the admission. This method has been used in previous studies which have compared pharmacist and medical prescribing [7, 12, 24].
Discrepancies were classified using an adapted MedTax taxonomy [30]: omitted medication, incorrect dose, incorrect frequency, incorrect medication, unnecessary medication, incorrect administration route, incorrect administration time, incorrect formulation, or other discrepancy. All discrepancies were independently reviewed by two additional pharmacist researchers blinded to study group, with disagreements resolved through consensus. Recorded reasons for discrepancies were retrieved from the EMR; those without a documented reason were classified as ‘undocumented.’
An independent expert panel of two senior pharmacists and two senior physicians assessed all undocumented discrepancies for potential harm, using the Harm Associated with Medication Errors Classification (HAMEC) tool [31]. HAMEC assumes the error reached the patient undetected, with potential harm rated from level 0 (no harm) to level 4 (severe harm) [31] (see Supplementary Table 2 for HAMEC harm definitions). Panel members were blinded to patient group and site. Following HAMEC guidelines [31], panel members received the medication name, dose, route, frequency (including whether regular or prn), and type of MedTax discrepancy [30]. Panel members were provided with an information sheet detailing the steps of performing the harm assessment using the HAMEC tool [31], including example cases, and were trained on how to use the tool to improve inter-rater reliability. Using a modified Delphi method [32], panel members independently rated potential harm. Discrepancies with < 75% agreement or a > 1-point difference in ratings (n = 230 of 449 total discrepancies) were discussed in a meeting with all panel members to reach full consensus.
For patients in the collaborative pharmacist prescribing group, an additional analysis was conducted to identify discrepancies between new medications listed in the medication plan and medications prescribed within the first 24 h of admission. Participants in the usual care group were not included in this, as they did not receive a medication plan. These additional discrepancies were classified using the same method described previously.
Outcome measures
The primary outcome was the frequency of undocumented medication discrepancies in each group, expressed as the proportion of patients with one or more undocumented medication discrepancies and the number of undocumented medication discrepancies as a proportion of all medications prescribed.
Secondary outcomes included the frequency of each type of undocumented medication discrepancy and the potential for patient harm associated. A sensitivity analysis was conducted to determine if there was a difference in the frequency of undocumented discrepancies in the collaborative pharmacist prescribing group in the period when medical officer countersignature was required, compared to the period when the requirement for medical officer countersignature prior to administration was removed. The staggered rollout of models across the different hospital sites determined the exact timeframes of when the countersignature was and wasn’t required, as shown in Supplementary Fig. 1.
Data analysis
Continuous skewed data were reported as medians (interquartile range, IQR) and categorical data as counts and percentages. Group comparisons used the Mann–Whitney U test for medians and Fisher’s exact test for cell counts less than five. Relative risk (RR) and relative risk reduction (RRR) with 95% confidence intervals (CIs) were calculated. Statistical significance was defined as p < 0.05. Analyses were performed using SPSS (IBM Corporation, Armonk, NY, USA).
Sample size
A minimum of 18 patients per group per site (total 108) was required, based on 95% confidence, 80% power, and expected discrepancy rates of 50% with usual care [10] versus 9% with collaborative pharmacist prescribing [33]. A larger sample (240 patients) was used, as prior estimates were based on paper-based systems and there was an expectation that the frequency of discrepancies may differ with electronic prescribing [14]. A post-hoc power calculation confirmed 100% power to detect a statistically significant difference for the primary outcome.
Ethics approval
Approval to conduct the study was obtained from the Central Adelaide Local Health Network Human Research Ethics Committee (approval number: 16945, approved 08/11/2022) and the University of South Australia Human Research Ethics Committee (approval number: 205819, approved: 07/09/2023).
Results
During the study period, 59,140 patients were admitted to acute or general medicals unit across the three hospitals and met inclusion criteria. Of these, 2,146 received collaborative pharmacist prescribing and 56,994 received usual care. From this population, 240 patients were randomly selected for inclusion in the study, 120 in the collaborative pharmacist prescribing group and 120 in the usual care group. No outcome data were missing, and all 240 patients were included in the final analysis. Half of the collaborative pharmacist prescribing patients (n = 60) were from the period requiring medical countersignature, and half from the period when it was no longer required (Supplementary Fig. 1). Groups were successfully matched, with no statistically significant differences between groups for matching variables (Supplementary Table 1).
Participants had a median age > 75 years, and over half were female (Table 1). All patients had a pharmacist-led medication history within 48 h of admission. Fourteen (12%) in the usual care group had this before medications were prescribed, compared to 100% in the collaborative pharmacist prescribing group (p < 0.001). Patients in the collaborative pharmacist prescribing group had a higher median number of medications prescribed after admission compared to the usual care group (15 vs 11, p < 0.0001) (Table 1).
Table 1 Patient demographics
From: Evaluating medication discrepancies and harm: a matched cohort study of collaborative pharmacist prescribing in a statewide healthcare system using electronic prescribing
| | Collaborative pharmacist prescribing group (n = 120 patients) | Usual care group (n = 120 patients) | p |
| --- | --- | --- | --- |
| Age (y) <br> Median (IQR) | 75 (65–85) | 78 (64–85) | 0.634 |
| Female sex, n (%) | 67 (56%) | 66 (55%) | 0.897 |
| Previous residence, n (%) | | | |
| Private residence | 100 (83%) | 95 (80%) | 0.447 |
| Supported accommodation (low- and high-level residential aged care facilities, domestic supported living facilities and independent units as part of a retirement village), n (%) | 20 (17%) | 25 (20%) | |
| Pharmacist-led medication history completed before prescribing, n (%) | 120 (100%) | 14 (12%) | < 0.001 |
| Medications prescribed within 24 h of admission, median (IQR)<sup>a</sup> | 15 (11–19) | 11 (6–16) | < 0.001 |
aPatients were matched based on the number of medications prescribed prior to admission; however the number of medications prescribed on admission was not a matching variable
Pharmacists prescribed 1900 medications in the collaborative pharmacist prescribing group, with 25 undocumented discrepancies (1% of medications prescribed). In the usual care group, 1339 medications were prescribed, with 424 discrepancies (32% of medications prescribed) (p < 0.001). The relative risk of an undocumented discrepancy per medications prescribed was reduced by 96% in the collaborative pharmacist prescribing group compared to usual care (Table 2). Thirteen of the 120 patients (21%) in the collaborative pharmacist prescribing group had at least one undocumented discrepancy, compared to 108 patients (90%) in the usual care group. The relative risk of a patient having at least one undocumented discrepancy was reduced by 77% in the collaborative prescribing group compared to usual care (Table 2).
Table 2 Undocumented medication discrepancies each group
From: Evaluating medication discrepancies and harm: a matched cohort study of collaborative pharmacist prescribing in a statewide healthcare system using electronic prescribing
| | Collaborative pharmacist prescribing group | Usual care group | Relative risk (95% confidence interval) |
| --- | --- | --- | --- |
| Total medications prescribed | 1900 | 1339 | 0.04 (0.03–0.06) |
| Undocumented discrepancies (% of medications prescribed) | 25 (1%) | 424 (32%) | |
| Total patients | 120 | 120 | 0.23 (0.13–0.39) |
| Patients with one or more undocumented discrepancy (% of patients) | 13 (21%) | 108 (90%) | |
| Number of discrepancies (% of patients) | | | N/A |
| 0 | 95 (80%) | 12 (10%) | |
| 1 | 23 (19%) | 12 (10%) | |
| 2 | 0 (0%) | 26 (22%) | |
| ≥3 | 2 (2%) | 70 (58%) | |
Additional analysis in the collaborative pharmacist prescribing group showed that there were no undocumented discrepancies between the medication plan and medications prescribed within 24 h of admission.
Medication omissions were the most common undocumented discrepancies in both groups (84% in the collaborative pharmacist prescribing group and 73% in usual care) (Table 3).
Table 3 Types of undocumented medication discrepancies
From: Evaluating medication discrepancies and harm: a matched cohort study of collaborative pharmacist prescribing in a statewide healthcare system using electronic prescribing
|Type of undocumented medication discrepancy|Collaborative pharmacist prescribing group (n = 25 undocumented discrepancies)|Usual care group (n = 424 undocumented discrepancies)|
| ---- | ---- | ---- |
|Omitted medication|21 (84%)|309 (73%)|
|Incorrect dose|2 (8%)|60 (14%)|
|Incorrect time of administration|1 (4%)|26 (6%)|
|Unnecessary medication|0|13 (3%)|
|Incorrect frequency|0|8 (2%)|
|Incorrect medication|1 (4%)|3 (0.7%)|
|Incorrect formulation|0|4 (1%)|
|Other|0|1 (0.2%)|
Potential harm associated with undocumented discrepancies
The clinical panel determined that over 80% of discrepancies in both groups had the potential to cause no or minor harm. Eight discrepancies (2%) in the usual care group and no discrepancies in the collaborative pharmacist prescribing group were assessed as having the potential for severe or serious harm (Table 4). Examples of undocumented discrepancies and their potential for patient harm as assessed by the expert panel are shown in Supplementary Table 3.
Table 4 Potential for patient harm associated with undocumented medication discrepancies
From: Evaluating medication discrepancies and harm: a matched cohort study of collaborative pharmacist prescribing in a statewide healthcare system using electronic prescribing
| HAMEC score | Collaborative pharmacist prescribing group (n = 25 undocumented discrepancies) | Usual care group (n = 424 undocumented discrepancies) |
| --- | --- | --- |
| Level 0: No harm | 9 (36%) | 175 (41%) |
| Level 1: Minor harm | 13 (52%) | 181 (43%) |
| Level 2: Moderate harm | 3 (12%) | 60 (14%) |
| Level 3: Severe harm | 0 | 7 (2%) |
| Level 4: Serious harm | 0 | 1 (0.2%) |
Sensitivity analysis between prescribing models
The frequency of undocumented discrepancies associated with collaborative pharmacist prescribing was similar regardless of whether medications prescribed by a pharmacist required a medical countersignature. When a countersignature was not required, 921 medications were prescribed with 7 (0.8%) undocumented discrepancies, compared to 979 medications prescribed and 18 (2%) undocumented discrepancies when countersignature was required (RR 2.42, 95% CI 1.02–5.76). Discrepancies occurred in 7 versus 13 patients in the periods with and without countersignature respectively (RR 1.85, 95% CI 0.80–4.33) (Table 5).
Table 5 Comparison of outcomes: collaborative pharmacist prescribing model with medical officer countersignature required vs collaborative pharmacist prescribing model with no medical officer countersignature required
From: Evaluating medication discrepancies and harm: a matched cohort study of collaborative pharmacist prescribing in a statewide healthcare system using electronic prescribing
| | Collaborative prescribing (medical countersignature) | Collaborative prescribing (no medical countersignature) | Relative risk (95% CI) |
| --- | --- | --- | --- |
| Total medications charted | 979 | 921 | 2.42 (1.02–5.76) |
| Undocumented discrepancies (% of medications prescribed) | 18 (2%) | 7 (0.8%) | |
| Total patients | 60 | 60 | 1.85 (0.80–4.33) |
| Patients with one or more undocumented discrepancy (% of patients) | 13 (22%) | 7 (12%) | |
Discussion
This study demonstrates that there were significantly fewer undocumented medication discrepancies in patients who received collaborative pharmacist prescribing compared to usual care within hospitals utilising EPS. The expert panel determined that undocumented discrepancies rarely had the potential to cause serious or severe patient harm in either group. These findings support the adoption of collaborative pharmacist prescribing models in hospitals utilising EPS, to optimise medication management, enhance patient safety and strengthen interprofessional collaboration.
The majority of published literature on collaborative prescribing in the hospital setting originates from Australia. In US hospitals, dependent prescribing models are more prevalent, while in the UK independent models are more commonly implemented. A systematic review identified 15 controlled studies related to collaborative and dependent prescribing models [1]. The review found that regardless of the pharmacist prescribing model used, compared to usual care, pharmacists prescribing was associated with reduced prescribing errors and medication omissions, pharmacists adherence to prescribing protocols and improved lipid and glucose control [1]. Similar to our study, international research on independent prescribing in the hospital setting has shown that the prescribing error rates for pharmacist prescribers are exceptionally low, ranging from 0.18 to 0.7%[2, 19, 34].
Our study addresses a gap in the literature regarding the impact of EPS on medication discrepancies in the collaborative pharmacist prescribing setting. At admission, 1% of medications prescribed by pharmacists had an undocumented discrepancy in our study, compared to rates of between 0.3% and 23% in paper-based settings [2, 9, 10]. Twenty one percent of patients who received collaborative pharmacist prescribing in our study had an undocumented discrepancy on admission, compared to 1.4%–9.5% reported in earlier studies in paper-based prescribing settings [7, 9, 15, 33]. This difference might reflect increased scope of pharmacist prescribing in our study, which included prescribing new medications, unlike some earlier studies which limited prescribing to pre-admission medications and venous thromboembolism prophylaxis.
A key strength of our study is the multi-site design across three tertiary hospitals within a statewide public healthcare system using the same EPS. Matching patients in both groups reduced the potential for unmeasured confounding. All undocumented discrepancies identified were independently reviewed for potential patient harm by the clinician panel, reducing potential bias, unlike some previous studies [9, 33, 35] which reviewed only a sample of discrepancies. Our panel included equal numbers of doctors and pharmacists, reducing risk of bias by a particular healthcare profession, overcoming limitations of previous studies [7, 15, 35]. Our study is also the first to assess potential harm from medication discrepancies with collaborative pharmacist prescribing using the validated HAMEC tool [31], which offers a standardised, reliable classification of medication-related harm. Our study is also the first of its kind to specifically assess how increased pharmacist autonomy, through the removal of a medical countersignature requirement, impacts the accuracy of pharmacist prescribing in the hospital setting.
Our findings align with existing research showing reductions in medication discrepancies or errors with collaborative pharmacist prescribing in hospitals using EPS [12, 14, 34]. Similar to our study, a pre-post study also found medication omissions were the most common error identified in both groups [14]. In our study, although both groups were matched on the number of pre-admission medications, collaborative pharmacist prescribing patients had more medications prescribed on admission. This may be because there were fewer medication omissions in the collaborative pharmacist prescribing group, and as a result, more medications were prescribed on admission.
Collaborative prescribing models have benefits beyond error reductions. In our study, all patients in the collaborative pharmacist prescribing group had a pharmacist-led medication history prior to prescribing, as required by the model, compared to only 12% in usual care. Having a pharmacist-led medication history available before prescribing has been shown to reduce prescribing discrepancies [27,28,, 28, 36] consistent with the lower rate observed in the collaborative pharmacist prescribing group in our study. The impact of an early pharmacist-led medication history has also been compared to collaborative pharmacist prescribing in a paper-based setting. An Australian study found fewer prescribing errors occurred when doctors had access to a pharmacist-led medication history before prescribing (49.4%; 95% CI 42.5%-56.3%) compared to when they didn’t (61.4%; 95% CI 56.3%–66.7%) [10]. The lowest error rates in this study occurred when pharmacists collaboratively prescribed medications and had access to a pharmacist-led history prior to prescribing (3.5%; 95% CI 1.1%-5.8%) [10]. Our study adds to this existing evidence by showing the impact of having a pharmacist-led medication history prior to electronic prescribing on discrepancy rates. The collaborative clinical discussion between pharmacists and doctors, and the development of a shared medication plan, are central to this process [10]. Both the early pharmacist-led history, and inter-professional collaboration, likely contributed to the reduced discrepancies and potential harm observed in our study.
Our sensitivity analysis found that removing the medical countersignature requirement did not significantly impact prescribing discrepancies, with a non-significant trend towards fewer discrepancies. This may reflect increased prescriber experience and more cautious prescribing with the additional responsibility. Further research is warranted to confirm these hypotheses. Regardless, our findings indicate that pharmacists prescribe accurately and safely in collaborative models, and that removing the countersignature is not associated with increased prescribing discrepancies. This study provides evidence to support the adoption of collaborative pharmacist prescribing models in hospitals utilising electronic prescribing, demonstrating clear benefits in improving medication safety by reducing medication discrepancies and reductions in the potential for patient harm. Healthcare systems internationally may consider seeking legislative reform to expand pharmacists’ prescribing authority, alongside investment in electronic prescribing infrastructure, the development of competency frameworks, and targeted interprofessional training to foster collaborative decision making and ensure safe prescribing practices.
A limitation of our study is that medication discrepancies were identified retrospectively, and some may have been intentional changes that were not documented in the EMR. This highlights the importance for clear documentation of medication changes throughout the admission. Actual patient harm could not be determined in our study given inconsistent reporting of adverse drug events. Data collection was unblinded, as it was impossible to remove prescriber details from medication orders. However, the two independent pharmacist researchers who reviewed the discrepancies for validity, and the clinician panel were blinded during harm assessments to reduce bias. Although patients in both groups were successfully matched for indicators of medication-related harm, there may still have been unmeasured confounders that influenced our results. All patients in our study had a pharmacist-led medication history on admission to ensure consistent and accurate identification of discrepancies, aligning with the model’s requirements. While this approach enhances internal validity, it may limit generalisability of the results. The generalisability may also be constrained by the clinical setting (acute/general medical units), setting specific workflows or EPS functionality.
Conclusion
Pharmacists working with doctors and patients to prescribe medications in hospitals utilising electronic prescribing systems is associated with significantly fewer medication discrepancies compared to usual care. The potential patient harm associated was also lower, although overall potential harm was low in both groups. Pharmacists prescribed just as accurately when the medical countersignature requirements were removed. Improvements in medication safety are likely attributed to pharmacists’ expertise, and the collaborative nature of the model and shared decision-making between the pharmacy and medical professions. These findings are timely and relevant as healthcare systems globally explore the expansion of pharmacists’ scope to improve access to care and support multidisciplinary models. With the global shift towards electronic prescribing systems, this study provides evidence to support the adoption of collaborative pharmacist prescribing models in hospitals with electronic prescribing systems to improve medication safety and reduce patient harm.
Data availability
De-identified participant data are available from the data custodian, SA Health, upon reasonable request. Access to the data is subject to relevant ethics and governance approvals and can only be granted upon request and approval by the data custodian, SA Health.
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Acknowledgements
The authors acknowledge the support of the SA Pharmacy Executive Management Team, the SA Health Statewide Multi-disciplinary Steering Committee for Partnered Pharmacist Prescribing, the SA Pharmacy Partnered Pharmacist Prescribing Working Group, the independent expert clinician panel, the SA Pharmacy Chief Informatician Officer and all SA Pharmacy pharmacist prescribers.
Funding
Open Access funding enabled and organized by CAUL and its Member Institutions. This study did not receive any external funding and was conducted with in-kind support from SA Pharmacy. Hana Amer is a PhD Candidate at the University of South Australia and is supported by a Research Training Program Scholarship. Jacinta Johnson is supported by a Medical Research Future Fund—Clinician Researchers Initiative—2023 Clinician Researchers: Applied Research in Health Grant Opportunity—Stream 2: MRF2031745.
Author information
Authors and Affiliations
Quality Use of Medicines and Pharmacy Research Centre, UniSA Clinical and Health Sciences, University of South Australia, GPO Box 2471, Adelaide, SA, 5001, Australia
Hana Amer, Sally Marotti, Imaina Widagdo, Jacinta Johnson & Lisa Kalisch Ellett
SA Pharmacy, Adelaide, SA, Australia
Hana Amer, Sally Marotti, Sharon Goldsworthy & Jacinta Johnson
Department of Clinical Pharmacology, Flinders Medical Centre, Flinders University, Bedford Park, SA, Australia
Joshua M. Inglis
School of Biomedicine, Faculty of Health Sciences, University of Adelaide, Adelaide, SA, Australia
Joshua M. Inglis
Contributions
All authors contributed to the study conception and design. Project coordination, data collection and analysis was performed by Hana Amer. Data validation was performed by Lisa Kalisch Ellett, Sally Marotti and Imaina Widagdo. Software development was performed by Joshua M. Inglis. Project supervision was overseen by Lisa Kalisch Ellett, Sally Marotti, Imaina Widagdo, Sharon Goldsworthy and Jacinta Johnson. The first draft of the manuscript was written by Hana Amer and all authors commented on previous versions of the manuscript. All authors reviewed and approved the final version of the manuscript.
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Correspondence to Hana Amer.
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Ethics approval
Approval to conduct the study was obtained from the Central Adelaide Local Health Network Human Research Ethics Committee (approval number: 16945, approved 08/11/202) and the University of South Australia Human Research Ethics Committee (approval number: 205819, approved 07/09/2023).
Consent to participate
A waiver of consent was obtained from the Central Adelaide Local Health Network Human Research Ethics Committee (approval number: 16945, approved 08/11/2022) and the University of South Australia Human Research Ethics Committee (Approval Number: 205819, approved 07/09/2023). All patient data presented in this report have been de-identified and grouped. No individual patient data or results have been presented.
Competing interests
Financial interests: This study did not receive any external funding and was conducted with in-kind support from SA Pharmacy. The authors have no relevant financial interests to disclose. Non-financial interests: Three of the authors (HA, SG, LKE) were on the statewide multi-disciplinary steering committee for the collaborative pharmacist prescribing model included in this study. One of the authors (SM) was on the statewide credentialing committee for the collaborative pharmacist prescribing model included in this study.
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Amer, H., Marotti, S., M. Inglis, J. et al. Evaluating medication discrepancies and harm: a matched cohort study of collaborative pharmacist prescribing in a statewide healthcare system using electronic prescribing. Int J Clin Pharm (2025). https://doi.org/10.1007/s11096-025-01996-y
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Keywords
Electronic prescribing systems
Interprofessional collaboration
Non-medical prescribing
Pharmacist prescribers
Prescription errors
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Exploring the impact of note taking methods on cognitive function among university students
Research
Open access
Published: 28 August 2025
Volume 25, article number 1218, (2025)
Cite this article
Abstract
Background
Taking notes during lectures plays a vital role in enhancing learning outcomes. With technological advancements, digital note-taking has gained popularity among university students in recent years due to its convenience, ease of storage, sharing, and searching. Different versions of digital note-taking have been introduced, including the use of styluses on tablets, which offer a blend of traditional handwriting and digital advantages. However, the use of digital devices may introduce distractions, such as access to social media, potentially disrupting focus and impacting learning effectiveness. Therefore, their impact on learning and cognition remains a topic of ongoing exploration. This study aimed to investigate the differences in cognitive functions between university students practicing either longhand or styluses digital note-taking methods in the United Arab Emirates.
Methods
One hundred students participated in this cross-sectional study. Sociodemographic information, including age, sex, nationality, and study year were obtained. Participants reported the note-taking method they use (longhand vs. digital note-taking with styluses). A battery of cognitive tests was used in this study to assess different cognitive functions, including the Montreal Cognitive Assessment (MoCA), the Symbol Digit Modalities Test (SDMT), the Brief Visuospatial Memory Test-Revised (BVMT-R), and the Stroop Color and word test. The Mann-Whitney U tests were used to assess differences in different cognitive domains between participants following longhand and styluses digital note-taking.
Results
Students that used longhand note-taking demonstrated significantly higher overall cognitive scores (MoCA, p = 0.005), along with superior information processing speed, working memory (SDMT, p = 0.045), and better visual memory (BVMT-R, p = 0.01), compared to those who used styluses digital note-taking. However, students using styluses digital note-taking exhibited better inhibitory cognitive control (Stroop test, p = 0.020).
Conclusions
Although using styluses offers a hybrid experience by combining the tactile benefits of handwriting with the digital advantages of electronic devices, students who employed longhand note-taking demonstrated significantly higher cognitive scores across several domains compared to their peers using stylus-based digital methods. However, while these differences were statistically significant, the effect size was small. Longitudinal cohort studies are needed to further examine the predictive, mediating, and confounding factors related to note-taking methods and cognitive abilities in students.
Background
Note-taking during lectures is an essential skill for academic achievement, playing a pivotal role in how students process and retain information [1]. Students often cite the primary purpose of note-taking as aiding in the retention of presented material, as well as enhancing the encoding and storage of information for later retrieval [2]. Effective note-taking necessitates active listening, sustained attention, and the ability to focus on key concepts while filtering out irrelevant information [1]. It also demands cognitive flexibility, enabling students to adapt to varying learning styles and organize their notes efficiently [3]. This multifaceted process requires students to keep pace with the lecture, identify the most important information to record, and later organize and comprehend their notes effectively [4]. Thus, cognitive function is crucial to the quality of note-taking [5]. Moreover, the act of note-taking itself has the potential to enhance cognitive function by strengthening neural pathways associated with memory, organization, and comprehension [5]. This reciprocal relationship underscores how the practice of taking notes not only depends on cognitive abilities but can also improve them through regular engagement and practice [5].
In recent years, the rise of technology has led to a shift toward digital note-taking, especially among university students [6]. Many students now select digital note-taking taking advantage of the ability to easily store, search, and share their notes [7, 8, 9, 10], in addition, to facilitating idea diversity, enhancing better academic writing skills, promoting interactive learning environment, and improving writing strategies [11]. Digital note-taking can reduce the cognitive load associated with handwriting, enabling students to focus more on active listening and immediate recall [12]. Moreover, digital note-taking has a direct influence on attention and motivation [13]. However, despite these advantages, digital note-taking is not without its challenges [14, 15]. The digital writing can introduce distractions by enabling more possibility in multitasking, such as notifications from social media or text messages, which may hinder sustained attention and negatively impact the effectiveness of note-taking [14, 15]. Multitasking involves dividing attention across various sources of information and switching between tasks across multiple media forms [16]. Whether multitasking may or may not impair performance depends on the cognitive cost involved [17], as the human brain has limited processing capacity, that is known as the working memory, as explained by Cognitive Load Theory [18]. On the other hand, traditional handwritten note-taking tends to involve fewer distractions and has been shown to enhance comprehension, improve memory retention, and facilitate a more personalized style of notation, providing students with a visual guide that may aid their understanding [19].
Research has explored various note-taking methods and their impacts on cognitive functions, particularly among children and college students [20, 21]. These studies typically compare handwritten notes with digital note-taking methods, such as those involving laptops or mobile phones [19, 20]. However, much of the existing research has focused primarily on how different note-taking techniques influence memory-related outcomes [20, 21, 22, 23]. While these studies provide valuable insights into how various note-taking methods support memory, they often overlook other equally important cognitive domains, including attention, executive functions, processing speed, and cognitive inhibition. These cognitive aspects play a crucial role in academic performance, and a more comprehensive exploration of how different note-taking methods influence them is essential. By addressing this gap, the present study seeks to broaden our understanding of how note-taking techniques, including those that combine traditional and digital elements, affect a wide array of cognitive functions that are fundamental to learning and academic achievement.
Despite the valuable insights provided by previous studies, a notable gap in the literature remains regarding the using the styluses as a note-taking method and their impact on cognitive functions. A stylus, a digital pen used on touchscreen devices, enables users to create handwritten notes that can be saved, organized, converted to text, and edited [7, 24]. Stylus-based note-taking shares physical similarities with longhand (handwriting), producing notes comparable in word count, complexity, flexibility, and spatial strategies [25, 26, 27], suggesting potential for similar cognitive benefits. While some studies, such as Morehead et al. (2019), found no significant differences in performance across stylus, keyboard, and longhand methods [25], others, like Osugi et al. (2019), reported that stylus use may enhance learning compared to longhand [28]. Furthermore, although tablets with styluses uniquely combine the tactile benefits of traditional handwriting with the digital advantages of electronic devices—such as ease of storage, sharing, and searchability—there remains limited research exploring their influence on critical cognitive domains, including attention, memory, and executive functions. This gap underscores the need for further investigation to better understand how this note-taking approach can affect cognitive engagement.
Given these gaps, the present study aims to investigate whether differences exist in cognitive functions, such as memory, attention, executive functions, processing speed, visuospatial skills, and cognitive inhibition, among university medical students in the United Arab Emirates who use longhand versus digital stylus note-taking methods. We hypothesize that significant differences will emerge across these cognitive domains depending on the note-taking technique used. This research aims to provide a better understanding of how different note-taking methods might affect the cognitive performance, contributing to the broader discussion on effective study strategies in academic settings.
Methods
Study design and participants
This study followed a cross-sectional design and was conducted at the College of Health Sciences, University of Sharjah, United Arab Emirates. Third- and fourth-year medical college students were invited to participate. Inclusion criteria required that students had consistently used either longhand (pen and paper) or digital stylus (tablet and stylus pen) note-taking methods for at least one academic year. Freshman and sophomore students were excluded to ensure a minimum level of academic exposure and familiarity with note-taking practices. Additionally, students who reported using both methods interchangeably were excluded to reduce confounding effects. The Extended Nordic Musculoskeletal Questionnaire (NMQ-E) was administered to identify and exclude participants with upper limb musculoskeletal disorders that could affect handwriting or tablet use.
A total of 100 students met the eligibility criteria and participated in the study, with an age range of 20–24 years. All participants were from health-related academic programs to ensure comparable academic backgrounds.
Note-taking behavior was determined through a structured self-report questionnaire that assessed the method used, duration and frequency of use, and exclusivity. To enhance classification validity, self-reported data were cross verified with participants’ written examples and verbal confirmations during intake interviews. Although no direct classroom observations were conducted, these verification steps were implemented to minimize misclassification. Ethical approval for the study was obtained from the Research Ethics Committee of the University of Sharjah (Reference number: REC-23-02-21-04-S).
Study procedure
The aims and procedure of the study were explained to the participants, before receiving their signed informed consent. Sociodemographic information such as age, sex, nationality, and year of university education were considered. Lastly, The Edinburgh Handedness Inventory (EHI) was used to determine the handedness of each participant. Then participants were asked to identify the type of note-taking they were using, whether they took notes using their hands and/or digital styluses note-taking method.
In this study, cognitive function is operationally defined as the performance outcomes derived from a series of standardized neuropsychological tools, each targeting specific domains of cognition. These tools were selected based on their established validity, reliability, and sensitivity to detecting variations in cognitive abilities across healthy individuals and different populations. The specific domains assessed include global cognition, information processing speed, visuospatial memory, and inhibitory control. Cognitive function was assessed using the Montreal Cognitive Assessment (MoCA), the Symbol Digit Modalities Test (SDMT), the Brief Visuospatial Memory Test-Revised (BVMT-R), and the Stroop test.
All cognitive assessments were conducted in a quiet room with the examiner present to ensure a controlled environment. Identical instructions were provided to all participants for each cognitive test to maintain consistency. To avoid the effects of fatigue and order effects, all tests were given in a random order to our participants.
Outcome measures
Cognitive assessment
The MoCA is a brief, yet comprehensive cognitive screening tool designed to evaluate several cognitive domains, including orientation, attention, language, visuospatial abilities, memory, and executive function. It consists of 30 items and takes approximately 10 min to complete, making it practical and time-efficient [29]. The MoCA is widely used in both clinical and research settings to screen for cognitive impairments across diverse age groups, including younger individuals [30]. Scores range from 0 to 30, with scores of 26 or higher considered normal and scores below 26 indicating potential cognitive impairment [31]. This tool has been validated for identifying cognitive function in the range of mild cognitive impairment, demonstrating excellent sensitivity and acceptable specificity [32, 33]. Its practicality and applicability make it particularly suitable for assessing cognitive function in young healthy adults [29, 34, 35].
The BVMT-R is a measure of visuospatial learning and memory. For 10 s, participants were shown a matrix of six simple designs, followed by an unaided recall. Participants are instructed to duplicate the drawings using paper and pencil, taking as much time as needed. Based on the accuracy and location grading criteria, each design earned a score of 0, 1, or 2, for a maximum of 12 for each trail. Delayed recall (completed in 25 min) measures long-term visuospatial memory skills and the ability to retrieve information from long-term memory. The total recall score reflects the overall level of visual memory [36].
The SDMT-Oral Version is a measure of information processing speed and working memory. Participants are provided with a sheet with nine symbols, each paired with a number on top of the page. The remaining of the page consists of a randomized, sequential assortment of these symbols. Participants are asked to verbally respond with the number that corresponds to each symbol. The dependent variable is the total number of correct answers in 90s [37].
The Stroop test is one of the most widely administered neuropsychological assessments, praised for its efficiency in evaluating a variety of cognitive processes, including selective attention, information processing speed, response inhibition, and cognitive flexibility [38]. It is designed to assess an individual’s ability to inhibit cognitive interference, a phenomenon known as the Stroop effect [39]. The test is conducted in two stages: the Stroop Color test, where participants are asked to name the ink color of a series of Xs (XXXXX) within a set time, and the Stroop Word test, where participants must name the ink color of a series of color words printed in incongruent ink colors (e.g., the word “RED” printed in blue ink), also within a set time [40]. The Stroop effect occurs when individuals are presented with incongruent color-word stimuli (e.g., a word like “red” printed in blue ink) and are required to name the ink color instead of reading the word. This task requires the inhibition of an automatic behavior (i.e., reading) in favor of a less practiced one (i.e., naming the color of the ink). The interference caused by this attempt to inhibit automatic behavior results in longer reaction times, thus demonstrating the Stroop effect [39, 41]. The Stroop test is frequently utilized in studies involving young adults to assess various cognitive functions [38]. The interference score was calculated and used in the analysis. The interference was derived by calculating the difference in performance between the Stroop Word and Stroop Color stages, reflecting the degree to which cognitive interference from conflicting information impacts task performance. Test scores of 40 or less are considered low, indicating significant difficulty with cognitive inhibition and interference [40, 42].
Statistical analysis
The normality of cognitive outcome variables was assessed using the Shapiro-Wilk test, which indicated that the data were not normally distributed. Sociodemographic data were presented as frequencies and percentages, while cognitive test scores were represented by mean ranks. Differences in cognitive function between students using longhand and digital note-taking were analyzed using the Mann-Whitney U test for each outcome measure of interest because the data were not normally distributed. All data were analyzed with a predetermined significance level of 0.05. All data analyses were performed using the IBM SPSS Statistics version 26. Effect size was calculated using a correlation coefficient (r) calculated as z/√N where z refers to z score and N refers to the total number of observations from both groups [43]. The r values of 0.10, 0.30, and 0.50 are interpreted as small, medium, and large effects, respectively [43].
Results
Descriptive data
A total of 100 students completed the study. The demographic characteristics of the participants are presented in Table 1. Descriptive statistics were used to summarize the sociodemographic characteristics of all students.
Table 1 Demographic characteristics of participants
From: Exploring the impact of note taking methods on cognitive function among university students
|Participants Characteristics| |Frequency (%)|
| ---- | ---- | ---- |
|Sex|Male|19 (19%)|
| |Female|81 (81%)|
|Nationality|Emirati|23 (23%)|
| |Non - Emirati, Arab|64 (64%)|
| |Non - Arab|13 (13%)|
|Study Year|3rd Year|31 (31%)|
| |4th Year|69 (69%)|
|Type of note - taking|Longhand|58 (58%)|
| |3rd year|15|
| |4th year|43|
| |Digital styluses note - taking|42 (42%)|
| |3rd year|16|
| |4th year|26|
Table 2 illustrates the differences in cognitive scores across various domains between the note-taking groups. The results showed higher Mean cognitive scores in the overall cognitive scores (MOCA), information speed processing and working memory (SDMT), and BVMT-R (recall test) among longhand note-taking students compared to digital styluses note-taking students. On the other hand, digital styluses note-taking students had higher inhibitory cognitive control scores (Stroop test), compared to longhand note-taking students.
Table 2 The mean ranks and statistical significance in cognitive function between longhand and digital styluses note-taking
From: Exploring the impact of note taking methods on cognitive function among university students
|Cognitive tests|Type of note-taking mean ranks median (IQR)|Z value|P-value|Effect size|
| ---- | ---- | ---- | ---- | ---- |
| |Longhand Writing (N = 58)|digital styluses note-taking (N = 42)| | | |
|MoCA test (total score)|27.00 (3.25)|26.00 (4.00)|-2.835|0.005*|0.28**|
|SDMT test (correct at 90 sec)|59.50 (11.50)|55.50 (15.5)|-2.009|0.045*|0.20**|
|BVMT-R (delayed recall)|12.00 (1.00)|11.00 (2.00)|-2.565|0.01*|0.26**|
|Stroop test (interference score)|0.23 (0.14)|0.29 (0.17)|-2.322|0.020*|0.23**|
MOCA: Montreal Cognitive Assessment; SDMT: Symbol Digit Modalities Test; BVMT-R the Brief Visuospatial Memory Test-Revised
*Statistically significant
**Small effect size
Discussion
To the best of our knowledge, this study is the first to investigate differences in cognitive function between university students using two distinct note-taking methods: longhand and digital styluses, assessed through standardized cognitive evaluation tools. Our findings provide insights into how these methods may influence cognitive abilities across various domains, including memory, processing speed, and inhibitory control. We have found that participants who used longhand note-taking demonstrated superior global cognitive abilities, as measured by the MoCA. Additionally, longhand note-takers performed better in key cognitive domains, such as information processing speed, working memory, and visuospatial memory. However, students who employed digital stylus note-taking showed higher inhibitory cognitive control, as measured by the Stroop test, compared to those using longhand.
Previous studies on note-taking methods have primarily focused on memory, with mixed results [44, 45, 46]. Some studies suggest that handwriting may enhance memory performance, particularly in tasks related to recall and letter recognition, while others indicate that digital note-taking can lead to better memory outcomes [44, 45, 46]. However, these studies have mainly been conducted with children, and their findings may not fully apply to university students [44]. Our research expands this discussion by not only exploring the impact of note-taking methods on memory but also assessing their effects across a broader range of cognitive domains, including processing speed, inhibitory control, and working memory, in an adult student population.
The results suggest that longhand note-taking facilitates deeper processing of information, enhancing memory retention and recall. Traditional handwriting is a multifaceted activity that involves significant cognitive effort [47]. This effort is due to the continuous interaction between various cognitive processes and motor skills required to produce handwritten text [47]. Studies have found that handwriting involves several executive functions, including working memory, attention shifting, and inhibition of prepotent responses [47, 48]. These functions are crucial for maintaining information, focusing attention, and controlling impulses during the writing process [47, 48]. The findings of the current study are consistent with the findings from previous studies [19, 21, 47, 48, 49], for example previous research by Mueller et al., found that university students using laptops for note-taking performed worse on conceptual questions compared to those who used longhand [19]. However, unlike previous studies, our research expands the understanding by assessing the impact of note-taking methods across a broader range of cognitive domains using standardized assessment tools. This approach may help to provide new insights into how different note-taking techniques can influence overall cognitive function, offering a fresh perspective for future studies to investigate in conjunction with other variables such as review, memory, achievement, and comprehension [22, 23].
Our study found that students using digital note-taking exhibited higher scores in inhibitory cognitive control compared to their longhand counterparts, as measured by the Stroop test. Although multitasking behavior was not directly measured in our study, this finding may align with prior research suggesting that frequent digital media engagement—often involving task-switching—could stimulate executive functions such as response inhibition and attentional control [50, 51, 52]. However, this interpretation remains speculative and should be approached with caution. Importantly, this possible cognitive benefit may come at the expense of deeper cognitive processing, as digital note-takers demonstrated lower recall and comprehension scores. Digital environments often introduce distractions—such as notifications and the temptation to multitask—which can fragment attention and increase cognitive load, especially given the limited capacity of working memory, as described by Cognitive Load Theory [17, 18]. In contrast, traditional handwritten note-taking typically involves fewer external distractions and promotes a more personalized and coherent notation style, potentially supporting deeper information encoding and better memory retention [6, 19, 21]. Future longitudinal studies should aim to directly measure multitasking behavior and account for individual differences to clarify these mechanisms further.
Interestingly, Belson et al., found that stylus note-taking increased the quality of notes and enhanced note-taking strategies among high school students with learning disabilities [53]. While our study focused on university students without learning disabilities, Belson et al., highlighted that the use of digital tools may offer benefits for certain populations or under specific conditions, which could suggest the potential for tailored note-taking approaches based on individual needs and learning profiles [53]. Future research may explore whether the advantages observed in populations with learning disabilities extend to broader academic settings or if certain features of digital tools (e.g., handwriting recognition, annotation, or recording functions) might enhance outcomes for different cognitive profiles.
Contrary to earlier studies, which have reported that stylus note-taking might provide similar benefits to longhand [54], our study observed differences in cognitive functions between students using longhand and those using digital stylus devices. These discrepancies may be attributed to variations in the methodologies used in different studies, including the cognitive domains assessed, measurement tools applied, and the types of note-taking strategies employed. Additionally, future research could benefit from a more homogeneous approach to examining these variables, including the standardization of measurement tools and a clearer specification of the cognitive domains being studied.
Practical stakes: implications of note-taking techniques in everyday life
Effective note-taking is an essential skill that extends beyond academic settings influencing professional, personal, and societal domains. The findings of this study provide insights into how different note-taking methods may impact cognitive processes critical for various real-world applications.
In professional environments, where retention, recall, and synthesis of information are crucial for decision-making and productivity [6, 18, 19, 20, 55], the superior cognitive outcomes associated with longhand writing, such as improved memory and comprehension, may have significant implications. For example, in a fast-paced workplace, the ability to efficiently obtain and organize information directly affects team communication, productivity, and decision-making [17]. Conversely, digital note-taking, which demonstrates enhanced inhibitory control, may be particularly useful in multitasking scenarios [16]. For instance, in collaborative digital work, managing competing stimuli becomes essential [6].
In addition, learning is a lifelong process which extends beyond the workplace. Note-taking also supports lifelong learning and personal development. Whether through workshops, training sessions, or self-directed study, acquiring new knowledge is an ongoing process. Understanding the cognitive impact of note-taking methods can help optimize these learning experiences [18].
As society undergoes rapid digital transformation in every aspect of daily life, from education to work, aligning note-taking strategies with specific cognitive and practical goals is increasingly important. This study emphasizes the need for a balanced approach leveraging strengths between traditional and digital methods to meet the demands of the digitally evolving world. By doing so, individuals can navigate the complexities of modern life while optimizing outcomes in various societal contexts.
Strength and limitations
Most previous studies have used questionnaires, free recall tests, or relied on educational scores to assess cognitive domain functions. However, the current study employed standardized cognitive assessment tools to assess overall cognitive function, information processing speed, working memory, visual memory, and inhibitory cognitive control domains.
While this study offers a comprehensive evaluation of cognitive performance, it also has certain limitations. One significant limitation is the use of a cross-sectional design, which prevents the establishment of causal relationships between note-taking methods and cognitive outcomes. While the study identifies associations between note-taking methods and cognitive performance, causality cannot be inferred from these findings. Furthermore, despite our findings, the small effect sizes also underscore the need for cautious interpretation. It is possible that individuals with higher cognitive abilities may naturally prefer certain note-taking methods, or that unmeasured factors, such as prior technology experience or personal preferences, may influence both the choice of note-taking method and cognitive outcomes. Consequently, the observed differences between longhand and digital note-taking groups may not be solely attributed to the methods themselves but could be influenced by other underlying factors such as their cognitive ability and their academic performance. Future longitudinal studies are recommended to better explore the temporal dynamics and causal relationships between note-taking methods and cognitive performance.
The study also focused on a specific age group, predominantly composed of females and individuals from the digital age era. This focus may have led to a selection bias, as these characteristics may not represent the broader population of students. Moreover, the exclusion of students who use a combination of note-taking methods reduces the ecological validity of the findings. Mixed methods are increasingly common in educational settings and excluding these participants may limit the applicability of the results to real-world practices. To address this, future studies should aim to include participants who use a variety of note-taking strategies to better reflect the range of methods employed by students in everyday academic environments. Another limitation of this study is the unequal group sizes between the longhand (n = 58) and digital stylus (n = 42) note-taking groups, which may affect the comparability and reliability of the findings. This group size imbalance introduces potential bias and underscores the importance of recruiting more balanced samples in future research. Additionally, we acknowledge the higher number of fourth-year students in the longhand group, which could influence cognitive outcomes, as academic year may be associated with differences in cognitive performance due to greater exposure to academic workload, learning strategies, and cognitive challenges. While third-year students were comparably represented in both groups, the overrepresentation of fourth-year students in the longhand group should be taken into account when interpreting the results.
Another avenue for improvement involves the examination of learning efficiency using more targeted and context-relevant cognitive assessment tools. While standardized assessments were used in this study, future research could benefit from incorporating more feasible methods such as direct measures of multitasking behavior, attentional control, and distraction susceptibility, particularly during note-taking tasks. Observational measures of task-switching and media use could provide a more ecologically valid understanding of cognitive engagement and information processing. These additions would offer deeper insight into the mechanisms through which different note-taking methods influence learning and performance in real-world academic settings.
Data availability
The datasets used and analyzed during the present study are available fromthe corresponding author upon reasonable request.
Abbreviations
NMQ-E:
Extended Nordic Musculoskeletal Questionnaire
EHI:
Edinburgh Handedness Inventory
MOCA:
Montreal Cognitive Assessment
SDMT:
Symbol Digit Modalities Test
BVMT-R:
Brief Visuospatial Memory Test-Revised
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Acknowledgements
We sincerely thank all those who supported our study, and we are especially grateful to the participants for their valuable contributions.
Funding
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Authors and Affiliations
Department of Nursing, College of Health Sciences, University of Sharjah, Sharjah, UAE
Alham Al-Sharman, Reime Jamal Shalash, Taif A. M. Omran, Rofaida Mohamed Elsayed, Ilhan Abdi Warfa, Wala Siddig Elsayed Ali Adawi, Amna Obaid Aljaberi, Alia Abdulla Alabdooli, Ashokan Arumugam, Sivapriya Ramakrishnan, Nabil Saad, Amal Ahbouch, Meeyoung Kim & Fatma Hegazy
Department of Rehabilitation Sciences, Faculty of Applied Medical Sciences, Jordan University of Science and Technology, Irbid, Jordan
Alham Al-Sharman
Neuromusculoskeletal Rehabilitation Research Group, RIMHS–Research Institute of Medical and Health Sciences, University of Sharjah, Sharjah, United Arab Emirates
Alham Al-Sharman, Taif A. M. Omran, Ashokan Arumugam, Amal Ahbouch, Meeyoung Kim & Fatma Hegazy
Health Promotion Research Group, Research Institute for Medical and Health Sciences, University of Sharjah, Sharjah, United Arab Emirates
Alham Al-Sharman & Wegdan Bani issa
Sustainable Engineering Asset Management Research Group, RISE - Research Institute of Sciences and Engineering, University of Sharjah, Sharjah, United Arab Emirates
Ashokan Arumugam
Adjunct Faculty, Department of Physiotherapy, Manipal College of Health Professions, Manipal Academy of Higher Education, Manipal, Karnataka, India
Ashokan Arumugam
Department of Nursing, College of Health Sciences, University of Sharjah, Sharjah, UAE
Wegdan Bani issa
Department of Health Care Management, College of Health Sciences, University of Sharjah, Sharjah, United Arab Emirates
Heba Hijazi
Department of Health Management and Policy, Faculty of Medicine, Jordan University of Science and Technology, Irbid, Jordan
Heba Hijazi
Faculty of Physical Therapy, Cairo University, Giza, Egypt
Fatma Hegazy
Sociology Department, University of Sharjah, Sharjah, United Arab Emirates
Ayat Nashwan
Sociology and Social Work Department, Yarmouk University, Irbid, Jordan
Ayat Nashwan
Laboratory of Health Science & Nanophysiotherapy, Department of Physical Therapy, Graduate School, Yongin University, Yongin, 17092, Republic of Korea
Meeyoung Kim
Contributions
All authors contributed to project conception, study design, data interpretation and analysis, and manuscript drafting. AA, RS, TO, RE, IW, WA, AOA, AAA, and NS contributed to the study design and data collection. AA, RS, AA, SR, AH, WBI, HH, MK, FH, and AN contributed to the study data analysis and interpretation. AA, RS, TO, RE, IW, WA, AOA, AAA, AA, SR, NS, AA, WBI, HH, MK, FH, and AN revised multiple manuscript drafts, including critical revision for important intellectual content. All authors read and approved the final manuscript.
Corresponding author
Correspondence to Alham Al-Sharman.
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This study was carried out according to the latest version of the Helsinki Declaration of the World Medical Association. Ethical approval was obtained from the Research Ethics Committee, University of Sharjah, United Arab Emirates (Reference number: REC-23-02-21-04-S). Informed consent was obtained from all participants prior to inclusion in the study.
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Al-Sharman, A., Shalash, R.J., Omran, T.A.M. et al. Exploring the impact of note taking methods on cognitive function among university students. BMC Med Educ 25, 1218 (2025). https://doi.org/10.1186/s12909-025-07593-x
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Keywords
Digital note-taking
Longhand note-taking
Cognitive function
Students
Styluses
E.
Sugammadex or Neostigmine for prevention of post-operative pulmonary complications after major abdominal or thoracic surgery: study protocol for the SINFONIA (Sugammadex for preventioN oF pOst-operative pulmonary complIcAtions) randomised controlled superiority trial
Study protocol
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Published: 28 August 2025
Volume 26, article number 319, (2025)
Cite this article
Abstract
Background
Post-operative pulmonary complications (PPCs) are an important source of morbidity and mortality after major abdominal and thoracic surgery. The use of neuromuscular blocking drugs in general anaesthesia is an important risk factor for PPCs. The incomplete reversal of this neuromuscular blockade at the end of surgery leads to residual weakness of respiratory muscles and predisposes to aspiration of pharyngeal contents, hypoventilation, and thus to PPCs such as atelectasis and pneumonia. Two reversal drugs for neuromuscular blocking agents are available: neostigmine and sugammadex. Compared with neostigmine, sugammadex use results in more rapid reversal of neuromuscular blockade, and small clinical efficacy studies have suggested an associated lower incidence of PPCs. The comparative clinical effectiveness of the two drugs in reducing length of hospital stay or mortality is uncertain. Moreover, a potential safety concern with sugammadex is the relatively high incidence of life-threatening allergic reactions in countries where this drug has been widely used over the last decade.
Methods
SINFONIA is a pragmatic, randomised, open-label, parallel group, superiority trial with an internal pilot which aims to compare the clinical and cost effectiveness of the two available drugs for reversal of neuromuscular blockade, sugammadex and neostigmine, in patients aged 50 years or older undergoing major abdominal or non-cardiac thoracic surgery. The trial will randomise 2500 patients from approximately 40 centres in the UK. The primary outcome will be days alive and out of hospital at 30 days (DAH-30), with key secondary outcomes of PPC incidence, quality of life, and mortality up to 180 days. An embedded observational study will investigate the rate of allergic sensitisation following exposure to sugammadex.
Discussion
The SINFONIA trial addresses an important question for anaesthetists and for patients undergoing major abdominal and thoracic surgery. The choice of reversal agent for neuromuscular blockade between sugammadex and neostigmine is currently largely a matter of anaesthetist preference. A growing body of evidence suggests that sugammadex may reduce the incidence of post-operative pulmonary complications relative to neostigmine. This pragmatic clinical effectiveness trial will provide robust evidence as to the effects of the two drugs on patient-centred outcomes such as DAH-30, as well as on cost effectiveness and the incidence of allergic sensitisation.
Trial registration
The trial was registered on the ISRCTN database (https://www.isrctn.com) prior to opening to recruitment (registration no 15109717).
Administrative information
Note: the numbers in curly brackets in this protocol refer to SPIRIT checklist item numbers. The order of the items has been modified to group similar items (see http://www.equator-network.org/reporting-guidelines/spirit-2013-statement-defining-standard-protocol-items-for-clinical-trials/).
| Category | Details |
|---------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Title {1} | Sugammadex or Neostigmine for prevention of post - operative pulmonary complications after major abdominal or thoracic surgery: study protocol for the SINFONIA (Sugammadex for prevention Of pOst - operative pulmonary complicAtions) randomised controlled superiority trial |
| Trial registration {2a and 2b} | ISRCTN – (International Standard Randomised Controlled Trial Number)—15,109,717 |
| Protocol version {3} | V6.0; 30th April 2025 |
| Funding {4} | This project is funded by the National Institute for Health and Care Research (NIHR) Health Technology Assessment Programme (Ref NIHR133056). Additional support for ancillary studies (process evaluation, biological sampling) is provided by the Belfast Health and Social Care Trust. |
| Author details {5a} | Dr Jonathan Silversides – Queens University Belfast<br>Dr Louise Savic – Leeds Teaching Hospitals NHS Trust<br>Dr Louise Hiller – University of Warwick<br>Mrs Amy Hopkins—University of Warwick<br>Ms Katie Booth—University of Warwick<br>Mrs Jennifer Dorey – Patient/Public Representative<br>Dr Richard Smithson – Patient/Public Representative<br>Prof James Mason—University of Warwick<br>Dr Samuel Frempong – University of Warwick<br>Ms Christina May—University of Warwick<br>Prof. Ramani Moonesinghe – University College London<br>Dr Ciara O'Donnell—Belfast Health and Social Care Trust<br>Dr Ben Creagh - Brown – University of Surrey<br>Dr Rebecca Kandiyali—University of Warwick<br>Prof. Joyce Yeung – University of Warwick<br>Prof. Rupert Pearse – Queen Mary University of London |
| Name and contact information for the trial sponsor {5b} | Ms Alison Murphy<br>Research and Development Manager<br>Belfast Health and Social Care Trust<br>Tel: 02896 156,057<br>Email: [email protected] |
| Role of sponsor {5c} | The Belfast Health and Social Care Trust (BHSCT) will act as Sponsor for the trial and the Chief Investigator (CI) will take overall responsibility for the conduct of the trial. The funders have no role in the study design, data acquisition, data analysis or manuscript preparation. |
Introduction
Background and rationale {6a}
Epidemiology and impact of post-operative pulmonary complications
Each year, more than 3 million patients receive a general anaesthetic for a surgical procedure in the United Kingdom (UK) [1]. Complications after surgery and anaesthesia are common, leading to delayed discharge from hospital, higher risk of death, and poor long-term health and quality of life [2]. Post-operative pulmonary complications (PPCs) are the most common complications after surgery, affecting more than 230,000 patients each year in the UK, and have a considerable detrimental effect on patient recovery, survival, and length of hospital stay after surgery [2,3,4,5], leading to increased resource use and treatment costs estimated at £280 million per year. While many risk factors for PPCs relate to the surgical procedure or to the patient and are not easily modifiable, the use of Neuro-Muscular Blocking Agents (NMBAs) and their reversal agents as part of general anaesthesia is an important modifiable risk factor [6].
Neuromuscular blocking agents and post-operative pulmonary complications
NMBAs are used in general anaesthesia to paralyse skeletal muscle, including the respiratory muscles, to facilitate endotracheal intubation, invasive ventilation, and surgical access. NMBAs have long been recognised as a key risk factor for PPCs [6]. Despite the use of NMBA antagonists to reverse paralysis at the end of surgery, and many safety precautions, residual muscle paralysis still affects a third of patients after surgery [7, 8]. This leaves the patient with weak upper airway and respiratory muscles leading to aspiration of oropharyngeal secretions and reduced hypoxic drive and hypoventilation [9], predisposing to PPCs including pulmonary atelectasis, pneumonia, and respiratory failure [2], which in turn are associated with increased post-operative mortality [4].
Reversal of neuromuscular blocking agents (NMBAs)
Anaesthetists choose between two drugs to reverse the effects of NMBAs, the anti-cholinesterase drug neostigmine and the NMBA binding drug sugammadex. Neostigmine is itself associated with dose-dependent muscle weakness and impaired lung function [10]. Neostigmine also causes severe bradycardia necessitating co-administration of an anti-cholinergic drug such as glycopyrrolate or atropine, which have autonomic side effects. Compared to neostigmine, sugammadex reverses NMBAs more rapidly and reliably, reducing the incidence of residual muscle weakness after surgery [11].
Choice of NMBA reversal agent and post-operative pulmonary complications
A Cochrane systematic review of 41 clinical trials of 4206 patients compared the efficacy and safety of sugammadex with neostigmine for NMBA reversal. Sugammadex use was associated with lower rates of post-operative residual paralysis and fewer hypoxic events after surgery [11]. In a propensity-matched study of 45,712 patients undergoing surgery with NMBAs in 12 US hospitals, sugammadex was associated with a reduced risk of pneumonia and respiratory failure (OR 0.70, [95% confidence interval 0.63–0.77]) compared to neostigmine [12]. Several smaller observational studies and randomised trials have also identified an association between sugammadex use and a reduced incidence of PPCs [13,14,15,16,17,18]. A recent systematic review and meta-analysis (43 trials, 5839 participants) found sugammadex to be associated with lower rates of PPCs compared with neostigmine (16 trials, N = 1570, OR 0.67 (95% CI 0.47–0.95)), but uncertain effects on patient-centred outcomes (days alive and out of hospital at 30 days (DAH-30), length of stay, mortality) [19].
Sugammadex and allergy
Anaphylaxis complicates up to one in 2500 anaesthetics and is associated with a 10% mortality rate as well as long-term sequelae for survivors [20]. For the SINFONIA trial population, one in ten patients die following these reactions, while survivors commonly experience long-term complications such as kidney injury, cognitive impairment, and post-traumatic stress disorder [20]. Life-threatening anaphylactic reactions to sugammadex are currently rare in the UK, with only one case among 64,000 doses administered [21]. By contrast, in Japan where sugammadex is used in 95% of anaesthetics, repeat exposure is common and sugammadex has become the most frequent cause of perioperative anaphylaxis with an incidence of one in 5000 administrations [22, 23]. If sugammadex becomes the NMBA reversal drug of choice in the UK National Health Service (NHS), this could lead to a significant increase in perioperative anaphylaxis over the next decade [24]. In comparison, neostigmine has an allergy risk approaching zero, with only one reported case in the last 20 years in the UK [25].
The potential rate of sensitisation to sugammadex following a single exposure can be estimated using standard NHS allergy tests. Sensitisation is demonstrated by the presence of IgE antibodies, as detected through skin tests (skin prick and intra-dermal testing) and mast cell activation testing (which requires a blood sample). Sensitisation indicates a significantly increased risk of allergic reactions during future exposure to the drug, but will not provide a precise risk estimate, since many participants with antibodies will not experience a clinical allergy on re-exposure. The true significance of the sensitisation, and consequent risk of anaphylaxis, can be estimated by administering the drug in small doses in a controlled environment (challenge test).
Hypothesis and objectives {7}
We hypothesise that in adults aged 50 years or older, the use of sugammadex for reversal of neuromuscular blockade at the end of elective or emergency major abdominal or non-cardiac thoracic surgery will be associated with fewer PPCs, and thereby a greater number of days alive and out of hospital at 30 days compared with neostigmine.
The primary objective of SINFONIA is to determine whether sugammadex is superior to neostigmine after elective or emergency major abdominal or non-cardiac thoracic surgery in terms of days alive and out of hospital at 30 days (DAH-30).
Secondary objectives are to determine whether sugammadex is superior to neostigmine in terms of prevention of PPCs, mortality and other patient-centred outcomes after elective or emergency major abdominal or non-cardiac thoracic surgery; to determine the cost effectiveness of sugammadex compared with neostigmine; and to estimate the rate of allergic sensitisation after a single exposure to sugammadex.
Trial design {8}
SINFONIA is an open-label, pragmatic, randomised (1:1) superiority trial with an internal pilot which aims to compare the clinical and cost-effectiveness of two drugs, sugammadex and neostigmine for the reversal of neuromuscular blockade in a high-risk population.
The 12-month internal pilot phase was intended to assess feasibility, as evidenced by site opening and recruitment. This was completed successfully on 31 st January 2024. The trial continued seamlessly into the main phase of recruitment.
An embedded observational substudy will investigate the incidence of allergic sensitisation after exposure to these drugs. Combining the results of allergy testing and incidence of clinical hypersensitivity reactions to sugammadex during the trial, and comparing these with current best estimates of positive allergy testing to other drugs used in the perioperative period and incidence of clinical hypersensitivity to these, as well as the incidence of re-exposure to sugammadex, we aim to estimate the likely incidence of sugammadex hypersensitivity reactions as usage increases across the UK. We anticipate that future longitudinal studies of sugammadex hypersensitivity will strengthen these findings.
Methods: participants, interventions, and outcomes
Study setting {9}
The trial will take place in approximately 40 National Health Service hospitals across the United Kingdom. A full list of study sites is available on request. Approximately five of these centres will participate in the embedded allergy sensitisation sub-study.
Eligibility criteria {10}
Inclusion criteria:
1.
Patients presenting for elective or emergency major abdominal or non-cardiac thoracic surgery*
2.
Age ≥ 50 years
3.
Planned use of rocuronium or vecuronium for neuromuscular blockade
4.
Planned reversal of neuromuscular blockade at the end of surgery
*See Additional File 1 for examples of eligible major surgical procedures
Exclusion criteria:
1.
Known allergy to sugammadex, neostigmine, or glycopyrrolate.
2.
Lack of written informed consent for trial participation.
3.
Planned invasive mechanical ventilation before or after surgery.
4.
Previous participation in SINFONIA trial.
5.
Clinician refusal (with reason).
Who will take informed consent? {26a}
Potentially eligible participants are identified through multidisciplinary meetings, pre-operative assessment clinics and/or operating theatre lists at participating hospitals and screened against inclusion/exclusion criteria (Table 1). The site principal investigator (PI) or medically qualified delegate will confirm eligibility.
Table 1 Participant timeline {13}
From: Sugammadex or Neostigmine for prevention of post-operative pulmonary complications after major abdominal or thoracic surgery: study protocol for the SINFONIA (Sugammadex for preventioN oF pOst-operative pulmonary complIcAtions) randomised controlled superiority trial
| Visit | 0 | 1 | 2 | 3 | 4 | 5 | 6 |
|--------------------------------|--------------------|------------------|------|------|------|------------------------|----------|
| Visit window | Baseline (pre-op) | Day 0 (surgery) | Day 1| Day 7| Day 30| 6 weeks to 6 months | 180 days |
| Screening using inclusion/exclusion criteria | X | | | | | | |
| Informed consent | X | | | | | | |
| Enrolment | X | | | | | | |
| Baseline data | X | | | | | | |
| Randomisation | | X | | | | | |
| Intervention | | X | | | | | |
| PPCs | | | | X* | | | |
| Duration of hospital stay | | | | | X | | |
| Duration of intensive care stay (if applicable) | | | | | X | | |
| Survival status | | | | | X | | X⁺ |
| Hospital readmission | | | | | X | | |
| Health resource use | | | | | X# | | X |
| Quality of recovery (QoR-15) | | | X | | | | |
| Health-related quality of life (EQ-5D-5L) | X | | | X# | X# | | X^ |
| ~ Skin testing for allergic sensitisation | | | | | | X | |
| ~ Blood sampling for mast cell activation test | | X | | | | X | |
| @Blood sample collection for future use | X@ | | X# | | | | |
*Or until hospital discharge if sooner; #Or as close as possible; ^ ± 28 days
~ Allergic sensitisation substudy participants only
@Selected patients only. Baseline sampling at any point between consent and surgical incision
+Survival check will also be done prior to the dissemination of trial results at the end of trial
Potential participants are approached at the first suitable opportunity by a member of the research team, e.g. principal investigator or research coordinator, by telephone, online, or face-to-face consultations. A patient information leaflet is provided, and after appropriate opportunity for consideration, written informed consent may be obtained. Potential participants who lack capacity to give or withhold informed consent will not be recruited. If a participant loses capacity during their participation in the trial, the original consent by the participant will be respected. Details of patients who are potentially eligible for the trial but not recruited will be recorded.
Additional consent provisions for collection and use of participant data and biological specimens {26b}
Patient identifiable data will not be entered into the trial database. However, consent will be obtained for the SINFONIA trial team to review patient data for the purposes of monitoring and oversight. Consent will be sought for use of non-identifiable data in future studies. Participants will have the opportunity to provide an email or postal address for contact with results at the end of the trial.
Patients at participating sites will have the option to consent for a substudy investigating allergic sensitisation, or to additional blood sampling for future use. Participation in these substudies is not required for participation in the main trial.
Interventions
Intervention description {11a}
Explanation for the choice of comparators {6b}
At the time of trial inception, the drug which represented the standard of care, used in most cases for reversal of neuromuscular blockade, was neostigmine.
Sugammadex
Participants randomised to the sugammadex arm should receive an intravenous bolus of sugammadex (2–4 mg/kg) for reversal of neuromuscular blockade around the end of the surgery. Within these parameters, the precise dose and timing are left to the discretion of the treating anaesthetist. If deemed necessary by the treating anaesthetist, patients allocated to the sugammadex treatment group may be administered a second dose of sugammadex. The maximum total dose of sugammadex (whether one or two doses are used) should not exceed 8 mg/kg.
Neostigmine
Participants randomised to the neostigmine arm should receive an intravenous bolus of neostigmine (30–70 mcg/kg) for reversal of neuromuscular blockade around the end of surgery, with co-administration of glycopyrrolate at an appropriate dose to prevent muscarinic side effects (for example 200 mcg per 1 mg of neostigmine). The precise dose and timing are left to the discretion of the treating anaesthetist. If deemed necessary by the treating anaesthetist, patients allocated to the neostigmine treatment group may be administered a second dose. The maximum total dose of neostigmine (whether one or two doses are used) should not exceed 5 mg or 70 mcg/kg, whichever is less.
Criteria for discontinuing or modifying allocated interventions {11b}
N/A. As this trial involves intervention at a single point in time, there will be no opportunity to discontinue or modify the allocated intervention other than as described above.
Strategies to improve adherence to interventions {11c}
As the intervention occurs at a single timepoint, strategies to improve adherence to interventions are focused on (1) ensuring that the patient is eligible to receive a trial intervention up to the point of delivery, (2) avoiding crossover, and (3) ensuring delivery of protocol-specified drug doses.
Eligibility
To be eligible for the trial, patients must receive a neuromuscular blocking agent (rocuronium or vecuronium) which can be reversed with either investigational medicinal product (IMP). Other NMBAs can be used in clinical practice, and this is largely based on anaesthetist preference. The degree of neuromuscular blockade present at the end of surgery depends on drug dose used, individual pharmacokinetic and pharmacodynamic factors, and the timing of doses relative to the duration of surgery. Reversal of neuromuscular blockade using either agent should therefore be guided by neuromuscular monitoring, for which guidelines exist [26,27,28]. Some anaesthetists may elect not to use a reversal agent if monitoring suggests adequate spontaneous recovery of neuromuscular function. Other possible scenarios include last-minute anaesthetist scheduling changes, operative findings, or an unexpected intra-operative complication such that mechanical ventilation is continued post-operatively in an intensive care unit, in which case a reversal agent would typically not be indicated. Eligibility to receive any IMP is thus dependent on anaesthetist, surgeon and patient factors which are dynamic over the course of a surgical procedure.
Crossover
Due to more rapid onset of action with sugammadex than neostigmine, and ability to reverse more profound degrees of neuromuscular blockade, the risk of crossover is greatest from neostigmine to sugammadex. Possible scenarios include the presence of deep neuromuscular blockade at the end of surgery, for example if surgery is completed more quickly than expected or a larger dose of neuromuscular blocking drug is given towards the end of the case.
Strategies to ensure eligibility and avoid crossover therefore include (a) encouraging, though not mandating, that randomisation occurs close to the timepoint when neuromuscular reversal is given, i.e. as late as possible, (b) encouraging clear communication between research delivery teams and treating anaesthetists to ensure eligibility for the trial is confirmed as close as possible to the time of randomisation, and (c) providing written guidance to anaesthetists to remind them of national guidelines supporting the routine use of quantitative neuromuscular monitoring to guide dosing of neuromuscular blocking drugs and reversal agents. These measures are intended to minimise the risk of a trial participant being randomised but not receiving a reversal agent.
Dosing
The trial protocol mandates a specific weight-based approach to dosing, and this dosing regimen is conveyed in written or electronic format at the time of randomisation to trial teams and to anaesthetists as well as in the protocol and at site initiation visits. However, this is a pragmatic clinical effectiveness trial, which aims to compare the two interventions in the context of real-world clinical practice, which involves drug dosing being individualised by anaesthetists based on numerous clinical and clinician-specific factors. In this context, at least some of this variation is valid. Following review of data after 1 year, we introduced a protocol amendment to address some of this variation. These actions included (a) calculation and notification of an individual patient dose based on a baseline weight to trial teams and anaesthetists, (b) additional clarification on the circumstances in which a dose outside the protocol-specified range would be considered acceptable, and capture of the justification supplied e.g. based on results of neuromuscular monitoring, or dose adjustment for obese patients on the basis of local/national guidelines, (c) site education and additional information in the form of a dosing table to be distributed to sites, and (d) addition of a process evaluation to investigate the basis for non-compliances.
Relevant concomitant care permitted or prohibited during the trial {11d}
All patient care outside the SINFONIA trial intervention will be conducted according to routine clinical practice and local guidelines. Anaesthetists will be reminded of best practice with regards to neuromuscular monitoring, in keeping with national guidance [28].
Provisions for post-trial care {30}
As this is a pragmatic comparative effectiveness trial with an intervention applied at a single time point, post-trial care will be the responsibility of clinical teams with no additional provision from the trial team. Indemnity will be provided through Queen’s University Belfast for the design of the study and through the NHS indemnity scheme for harm to trial participants resulting from study conduct.
Outcomes {12}
The primary outcome is Days Alive and out of Hospital at 30 days after surgery (DAH-30) [29]. This is a patient-centred composite outcome which encapsulates post-operative complications which impact on hospital length of stay and mortality.
Secondary outcome measures include the following:
1.
Clinical effectiveness measures
a.
Post-operative Pulmonary Complications (PPCs) [30] up to seven days after surgery, or hospital discharge (whichever is sooner).
b.
Mortality rates at 30 and 180 days after surgery.
c.
Quality of Recovery (QoR-15) on day 1 after surgery.
d.
Health-related quality of life at 7, 30, and 180 days after surgery (EQ-5D-5L)
2.
Safety outcome
a.
Allergic reactions within 24 h of study drug administration
3.
Health economic outcomes
a.
Health resource use over 180 days after surgery
b.
Quality-adjusted life years at 180 days
4.
Other outcomes
a.
Rate of allergic sensitisation to sugammadex (in patients enrolled in the allergic sensitisation substudy) identified at allergy follow-up clinic between 6 weeks and 6 months after surgery, defined by:
i.
Positive skin test
ii.
Positive sugammadex challenge test
b.
Correlation between mast cell activation testing (a novel diagnostic tool of uncertain clinical utility) and current gold standard diagnostic tools (skin testing and provocation testing)
Sample size {14}
The trial will include 2500 participants (1250 per trial arm). Based on data from the Secure Anonymised Information Linkage (SAIL) databank in Wales, we expect participants in the neostigmine arm to experience a mean DAH-30 of 22.4 days (SD 7.4). Assuming a standard deviation of 7.5, with a 5% two-sided significance level and 90% power, the randomisation of 2500 participants will allow detection of a one-day difference in DAH-30 between trial arms, whilst allowing for a 5% loss to follow up, e.g. due to withdrawal of consent or transfer to a non-participating hospital. This sample size will also allow detection of a 3% absolute difference in the incidence of PPCs between trial arms with at least 85% power and 5% two-sided significance, assuming a PPC rate of approximately 7%.
The allergic sensitisation substudy will recruit up to 250 participants, 200 of whom will have received sugammadex and 50 neostigmine. No formal sample size calculation was carried out for the substudy.
Recruitment {15}
This is a pragmatic trial with broad eligibility criteria and a relatively straightforward intervention involving minimal change to usual care. The eligibility criteria are broad, and it is estimated that over 150,000 patients fulfil these criteria each year around the UK. The trial is recruiting across approximately 40 sites and no major difficulties in achieving target recruitment are anticipated.
Assignment of interventions: allocation
Sequence generation {16a}
Participants will be randomised on a 1:1 basis to receive either sugammadex or neostigmine. Randomisation will be undertaken through a simple and secure web-based or Interactive Voice Response Randomisation System (IVRS) randomisation system that has been established by the programming team at Warwick Clinical Trials Unit (WCTU). This computerised procedure will use a minimisation algorithm to ensure balance in treatment arm allocation across the following stratification variables, factors thought to affect outcome either through treatment effectiveness or underlying prognosis, also permitting appropriate exploratory subgroup analyses:
1.
Trial hospital site
2.
Emergency vs elective surgery
3.
Thoracic vs abdominal surgery
The inclusion of hospital site within this list of factors allows for some instances of predictability of the next treatment allocation. To eliminate this, each patient will have a probability (unspecified here) of being randomised to the opposite trial arm that they would have otherwise received.
Concealment mechanism {16b}
The randomisation system at the WCTU will not release the randomisation code until a patient has been recruited into the trial, thus ensuring concealment of allocation.
Implementation {16c}
Randomisation should be undertaken after induction of anaesthesia where possible, although this is not mandatory. However, it is mandatory that randomisation is completed before neostigmine, sugammadex or any neuromuscular blockade reversal drug is administered.
If the web-based or IVRS enrolment/randomisation system is unavailable for technical reasons, an emergency enrolment/randomisation telephone system will be provided by WCTU.
Assignment of interventions: blinding
Who will be blinded {17a}
Care will be taken not to inform participants of treatment group assignment, except where necessary for patient safety (e.g. allergic reaction). Research delivery staff assessing participant outcomes will be masked to treatment group assignment wherever possible. However, complete blinding of all clinicians and research staff is not feasible, and IMP administered will be recorded in the clinical notes according to usual clinical care.
During the trial, the Trial Management Group and the Trial Steering Committee will not see outcome results broken down by treatment arm.
Procedure for unblinding if needed {17b}
The clinical team will not be blinded to the IMP administered, and this will be recorded in the clinical notes, so there will be no specific unblinding procedure.
Data collection and management
Plans for assessment and collection of outcomes {18a}
Baseline, perioperative, and outcome data will be collected by trained site research staff from medical notes using an electronic or paper case report form (CRF). Baseline EQ-5D-5L questionnaires (available from www.euroqol.org) will be completed by face-to-face or telephone interview prior to surgery, or if necessary (e.g. in the case of emergency surgery), by retrospective completion at the earliest opportunity post-operatively. QoR-15 questionnaires [31] will be completed face-to-face by a member of the site research team on post-operative day 1.
Day 30 follow up for hospital readmission and mortality will be completed by review of medical records, and if necessary, by telephone contact by site research staff with the participant or their General Practitioner. Participants will be contacted by telephone and/or email at 30 days post-surgery (or as close as possible) and again at 180 days (or as close as possible) by site research staff. During these contacts, data on health resource use will be collected, and quality of life will be assessed using the EQ-5D-5L questionnaire. If patients are physically unable to complete the EQ-5D-5L questionnaire, this can be completed by a member of the research team or a carer on their behalf.
Allergic sensitisation substudy
Baseline blood sampling and processing
Where possible, 10 mL of blood will be taken following induction of anaesthesia and prior to the administration of the IMP (either pre- or post-randomisation). Where this is not possible, the blood sample will be taken as close as possible to IMP administration. The samples will be processed in the hospital laboratory, frozen, and stored. Samples will be transported in batches to the immunology laboratory at Leeds Teaching Hospitals NHS Trust, at a time of mutual convenience, where mast cell activation testing will be performed. Any samples not used will be disposed of in accordance with local policy and applicable regulations.
Follow-up testing at 6 weeks to 6 months
Following baseline blood sampling, and depending on group allocation, participants will undergo a clinical assessment, comprising review of notes and/or telephone or face-to-face consultation by an allergy specialist. This assessment will determine suitability for skin testing. Participants will be asked to attend a local drug allergy clinic between 6 weeks and 6 months after their surgery for repeat blood sampling (for mast cell activation) and, if appropriate, a skin test. In line with routine drug allergy skin testing clinics, some medications may be discontinued for a period of one week prior to testing. Where appropriate in the clinical judgment of the allergy specialist, skin testing will be performed at an allergy clinic. This comprises skin prick and intradermal testing on the forearm of both arms, each test 2 cm apart. Positive and negative control tests will be performed on the forearm using histamine and saline respectively prior to skin prick testing, to ensure that the patient’s skin is appropriately reactive. A negative control saline intradermal test will be performed prior to intradermal testing, to confirm appropriate skin reactivity. The testing takes around one hour in total and involves minor discomfort from the slight scratching of the skin with each test. Any skin test developing a wheal of 3 mm or greater than the negative control site is usually considered positive, but the result of the test is a clinical judgment of the allergy specialist. Systemic reactions to skin testing are rare but can occur, typically involving urticaria and a sensation of itch, although more severe allergic reactions are possible. The testing will be performed by specialists who are trained and experienced in the conduct and management of skin testing, and who will treat any symptoms which occur in line with local and national guidance. The patient will be contacted between 48 h and one week following testing to check whether any of the test sites developed localised redness or swelling, which indicates a possible delayed-type allergic reaction. In line with standard drug allergy testing procedure, patients may be offered a drug provocation test, whereby they are given small doses of sugammadex in a carefully monitored setting at the earliest practical opportunity. This is both for future safety of the patient and to understand the specificity of skin testing.
Process evaluation
A process evaluation (PE) will be undertaken within the SINFONIA trial, led by collaborators at Queen’s University Belfast. It is likely that the complex decision-making processes around use and dose selection of neuromuscular blockade reversal agents (NMBAs) in major surgery are influenced by a range of organisational, clinician, and patient-related factors. It is important to develop a detailed understanding of these factors to explore the relationship between intervention delivery and trial outcomes. To understand this complexity and the likely variation in intervention delivery, we plan to embed a pragmatic PE within the trial to explore adherence to the intervention and the influence on patient and trial outcomes. A protocol for this process evaluation will be made available as a separate publication.
Plans to promote participant retention and complete follow-up {18b}
Follow-up data will be collected for all randomised participants, unless they explicitly request to be withdrawn from the trial. If such a request is received, participants will be asked for consent for data collection from medical records to continue without further contact.
Data management {19}
Data collection
We will use a web-based Clinical Data Management System (CDMS) for data management, developed by the WCTU programming team. All specifications (i.e. database variables, validation checks, screens) will be agreed between the programmer and appropriate trial staff. Participant data will be collected in accordance with the protocol. Clinical data will be collected during the hospital stay up to 30 days after surgery, and thereafter from contact with the patients and their clinical teams up to 180 days. The case report forms (CRF) will be developed by the WCTU and made available to the participating sites as paper and electronic CRFs (eCRF) for ease of data collection. The trial will be conducted in accordance with the current approved protocol, Good Clinical Practice (GCP), relevant data protection regulations, the trial Data Management Plan, and standard operating procedures (SOPs). A monitoring plan and risk assessment will be devised to protect participant safety and the integrity of trial data.
Data checks and validations
Input fields in the CDMS will be assigned validation rules as appropriate to prevent erroneous data being saved back to the database. Forms can only be saved once all input fields pass the validation rule checks. All validation rules will be documented in a Functional Requirement Specification. The trial team will implement processes to conduct manual checks on data entered by participating sites to maximise completion and accuracy of data collected. Data checking processes will be documented according to a trial-specific Data Management Plan which will be developed between the trial team, Chief Investigator, statisticians, health economists, and quality assurance staff.
Data storage
All essential documentation and trial records will be stored by WCTU in conformance with the applicable regulatory requirements and access to stored information will be restricted to authorised personnel. Any paper data forms will be stored in a lockable filing cabinet in a secure room, to which access is restricted to authorised personnel. Electronic data will be stored in a secure area of the computer with access restricted to staff working on the trial and the WCTU Quality Assurance team. All databases containing identifiable information will be encrypted and password protected. Any data that are transferred out of the secure environment will adhere to Warwick SOPs.
Data access and quality assurance
All data access will be controlled by individual usernames and passwords, and any changes to data will require the user to enter their username and password as an electronic signature in accordance with regulatory requirements. Staff will have access restricted to the functionality and data that are appropriate for their role in the trial and will not share their log in details.
Archiving
Trial documentation and data will be archived for at least ten years after completion of the trial. Trial Master File and associated data will be archived by WCTU; trial data generated at sites will be archived for a minimum of 10 years and in accordance with local policy.
Confidentiality {27}
The trial complies with all applicable UK legislation and WCTU Standard Operating Procedures. All data are being stored securely and held in accordance with the UK General Data Protection Regulations. All CRFs, questionnaires, trial reports, and communication regarding the trial will identify the participants by the assigned unique trial identifier only. Participant confidentiality will be maintained at every stage, and identifiable information will not be made publicly available to the extent permitted by the applicable laws and regulations. Personally identifiable data will not be transferred outside of the participating site other than (a) where contact details (email or postal address) have been voluntarily provided, with consent, by the participant for the purposes of receiving notification of trial findings, or (b) for trial monitoring purposes or compliance with regulatory requirements.
Plans for collection, laboratory evaluation and storage of biological specimens for genetic or molecular analysis in this trial/future use {33}
In selected study sites, biological samples will be collected which will be stored for future analysis as part of a separate research programme aiming to understand biological phenotypes in the perioperative period. This work will be subject to separate ethical approval and separate funding application(s). With patient consent, 30 mL blood samples (approximately) will be taken on two occasions: at baseline (any time between consent and the beginning of the surgery) and on post-operative day 1 at 12–24 h following the end of surgery or as close as possible. This will be processed according to a specified standard operating procedure. Samples will be transferred in batches, at a time of mutual convenience, to a laboratory at Queen’s University Belfast for analysis and storage for future use. If a patient is enrolled but not randomised, sampling and data collection will proceed unless the patient is specifically withdrawn from the substudy.
Statistical methods
Statistical methods for primary and secondary outcomes {20a}
All randomised participants, regardless of whether they received their randomised intervention or not, will be included in all trial analyses according to their randomised allocation using all data collected up to their final follow-up in the trial (180-day time point, or their censor date if withdrawn or lost to follow-up). As the protocol states that randomisation should to be undertaken after induction of anaesthesia, where possible, withdrawal of consent prior to surgery is not anticipated, although later withdrawal from follow-up could occur and such participants will not be included in relevant denominators. Where a participant specifically requests to withdraw from follow-up, data collected up to the point of withdrawal will still be used, and permission will be sought to collect data from medical records without contacting the participant. In this way, all primary statistical analyses will be undertaken on an intention to treat basis where possible to preserve randomisation, avoid bias from exclusions and preserve statistical power.
For the primary outcome of DAH-30, appropriate point estimates and measures of variation will be reported and presented graphically for each of the two randomised arms (as determined by the distribution of the data). Randomised arms will be compared using appropriate regression techniques for count data, determined following examination of the distributions of the trial data and consideration of possible under- or over-dispersion, but anticipated to be zero-inflated Poisson regression model or zero-inflated negative binomial regression model. The model will include minimisation variables (hospital site, emergency vs elective surgery, thoracic vs abdominal surgery).
The secondary outcomes of PPC rates and mortality rates will be assessed across randomised arms using chi-squared tests, with additional logistic regression used to adjust for minimisation variables. Participant’s Quality of Recovery (QoR-15) score will be calculated using the appropriate scoring manual and reported by randomised arm using appropriate point estimates and measures of variation.
The safety outcome of allergic reaction rates and allergic sensitisation substudy findings will be presented using descriptive statistics. A comparison of the risks of different patient groups having 0, 1, 2, or 3 positive results from these tests will be explored using appropriate regression techniques for count data, determined following examination of the frequency of incidences within the trial. The incidence of positive allergy testing to sugammadex will be compared to current estimates of baseline population sensitisation to rocuronium, providing a comparator with which to understand future sensitisation rates to sugammadex.
A Consolidated Standards of Reporting Trials (CONSORT) flow diagram will illustrate the frequency of participants:
Assessed for eligibility.
Excluded prior to randomisation (and the frequency of each reason for exclusion).
Randomised.
Allocated to each randomisation arm.
Receiving or not receiving their randomised treatment.
Followed up at each protocol specified timepoint (and reasons for loss to follow-up).
Interim analyses {21b}
No interim analyses will be undertaken.
Methods for additional analyses (e.g. subgroup analyses) {20b}
Pre-specified hypothesis-generating sub-group analyses, using the variables defined within the minimisation algorithm, will be undertaken using appropriate modelling techniques. These exploratory sub-group analyses will have lower power than the main trial analysis and results will be scrutinised graphically via forest plots.
Methods in analysis to handle protocol non-adherence and any statistical methods to handle missing data {20c}
With the protocol stating that randomisation should occur after induction of anaesthesia, where possible, and the main data collection time window being only 30 days from surgery, missing data due to withdrawals or lost to follow-up are not anticipated. With efforts to collect full baseline, treatment, and follow-up data on all trial participants, it is thus anticipated that missing data will be minimal. Participants with missing primary outcome data will not be included in the primary analysis in the first instance. However, this presents a risk of bias, and thus consideration will be given to any missing data in the form of a sensitivity analysis to determine the degree to which the conclusions may change with different missing data assumptions. If applicable after investigation into the degree of treatment crossovers, a secondary per-protocol analysis may be undertaken for sensitivity purposes, including only participants who received their randomised intervention.
Health economic evaluation
A prospectively planned cost-effectiveness analysis will be conducted from an NHS and personal social services perspective, following NICE guidelines [32]. Resource use attributable to neuromuscular blockade reversal during the initial hospital stay will be recorded via CRFs, including length of hospital stay. Community healthcare contacts within 6 months post-surgery will be recorded. Healthcare resource use will be costed using the latest published national reference costs, reflated to the most recent year [33]. Resource use will be reported separately for hospital and community services.
Generic health-related quality of life will be measured using the EQ-5D-5L questionnaire at four time points: baseline, 7 days, 30 days, and 6 months post-intervention. The EQ-5D-5L scores will be converted to health status scores using the UK value set recommended by NICE at the time of analysis [34, 35]. QALYs will be calculated for each participant using the area under the curve (AUC) method, employing the trapezoidal rule to interpolate between time points. Baseline EQ-5D-5L scores will be included to minimise bias in QALY calculations and to adjust subsequent analyses [36, 37]. Whilst more frequent measurements would be ideal, the measurement schedule is necessarily pragmatic within the design of the trial.
A within-trial cost-effectiveness analysis (to 6 months) will be conducted using bivariate regression of costs and QALYs, enabling a probabilistic assessment of incremental treatment cost-effectiveness [38]. Mechanisms of missingness of data will be explored and multiple imputation methods will be applied to impute missing data [39,40,41]. Imputation sets will be used to estimate incremental cost per QALY estimates and confidence intervals. Findings will be analysed and visualised on the cost-effectiveness plane, as cost-effectiveness acceptability curves, net monetary benefit and value of information analysis. Should costs and quality-of-life not converge within 6 months, more extensive economic modelling using decision-analytic methods may be considered to extend the target population, time horizon and decision context, drawing on best available information from the literature and stakeholder consultations to supplement the trial data. Parameter uncertainty in the decision-analytic model will be explored using probabilistic sensitivity analysis. If longer term decision modelling is to be undertaken, then costs and outcomes will be discounted at 3.5% after the first year of randomisation in line with NICE reference case [32]. All analyses and modelling will be performed using Stata 16 SE (or the latest available version). The study’s economic evaluation reporting will adhere to the Consolidated Health Economic Evaluation Reporting Standards (CHEERS) statement [42].
Plans to give access to the full protocol, participant level-data and statistical code {31c}
The full trial protocol is available at www.warwick.ac.uk/sinfonia. Research groups requesting the trial dataset and statistical code should include a qualified statistician and initially address the chief investigator, providing a full proposal for their use of the data, for review and approval by the SINFONIA trial management group. The data required for the approved, specified purposes will be provided, after completion of a data sharing agreement. Data sharing agreements will be set up by the sponsors of the trial, the funders, the trial coordination centre, and the trial steering and management groups.
Oversight and monitoring
Composition of the coordinating centre and trial steering committee {5d}
The trial is coordinated by the University of Warwick Clinical Trials Unit, who will be responsible for day-to-day management of the trial under the supervision of the Chief Investigator. The Trial Management Group (TMG), consisting of the co-investigators, including public and patient representatives, and project staff involved in the day-to-day running of the trial, will meet at least monthly throughout the project. Significant issues arising from management meetings will be referred to the Trial Steering Committee (TSC), Investigators or Funder, as appropriate.
Trial oversight will be provided by a TSC comprising members of the trial leadership team with a majority of independent clinical researchers, as well as a patient representative. The full remit and responsibilities of the TSC will be documented in a charter which will be signed by all members and which is available on the trial website (www.warwick.ac.uk/sinfonia). The Steering Committee will meet annually or more frequently as required and will take responsibility for major decisions, such as a need to change the protocol for any reason, monitoring and supervising the progress of the trial, reviewing relevant information from other sources, and considering recommendations from the DMC.
Composition of the data monitoring committee, its role and reporting structure {21a}
A data monitoring committee (DMC) will be appointed comprising two independent clinicians with experience in clinical trials and an independent statistician. The roles of the DMC will include monitoring aggregate data and making recommendations to the TSC on whether there are any ethical or safety reasons why the trial should not continue; advising the TSC regarding the release of data and/or information; and considering data emerging from other related studies. The full remit and responsibilities of the DMC will be documented in a charter which will be signed by all members, and which is available on the trial website (www.warwick.ac.uk/sinfonia).
Adverse event reporting and harms {22}
The potential risk to trial participants is no higher than that of standard care.
As the study involves a population undergoing surgery and general anaesthesia for major surgery, it is anticipated that many participants will experience events which might be considered adverse events (AEs) or serious adverse events (SAEs). Where such events are secondary outcomes or expected features of the perioperative period, e.g. wound dehiscence or infection, paralytic ileus, venous thromboembolism, anastomotic leak, myocardial infarction, these will be captured on case report forms but will not be reported as AEs/SAEs. All AEs and SAEs will be recorded from the time of IMP administration until 24 h thereafter (over five half-lives of the IMPs).
Where an AE/SAE is considered relevant to the trial by clinical or research teams, it is the responsibility of the site investigator to review all relevant medical records and to record relevant information in the CRF and on the SAE form if applicable. This will include assessment of severity and causality. SAEs will be evaluated for duration and intensity according to the National Cancer Institute Common Terminology Criteria for Adverse Events (CTCAE) Version 5.0.
Once received, an independent causality assessment will be undertaken by the CI or delegate. For any SAEs which are suspected to be caused by the trial intervention by either the CI or site clinician, this will be deemed a Serious Adverse Reaction (SAR), and expectedness will be confirmed by the CI or a delegate with reference to the relevant reference safety information (RSI) (the relevant summary of product characteristics for each IMP). SAEs that are deemed to be unexpected and related to the intervention will be deemed Suspected Unexpected Serious Adverse Reactions (SUSARs) and will be notified to the research ethics committees (REC), Medicines and Healthcare Regulatory Authority (MHRA) and sponsor within the relevant deadline. All such events will be reported to the Sponsor, TSC and DMC at their next meetings.
AEs that relate specifically to allergic sensitisation sub-study procedures will be recorded from the time of the allergy clinic appointment until 5 days thereafter. AEs that relate specifically to biological sampling procedures will be recorded from the time of the baseline blood sample until 24 h after the second blood sample has been collected.
Frequency and plans for auditing trial conduct {23}
A risk-based proportionate approach to monitoring is outlined in a monitoring plan and will be the responsibility of the CTU and sponsor. Monitoring activity will be predominantly central and remote. The trial Risk Assessment and Monitoring Plan will detail the risks identified and controls and mitigation measures in place.
Plans for communicating important protocol amendments to relevant parties (e.g. trial participants, ethical committees) {25}
All protocol amendments will be coordinated by the SINFONIA trial team based at Warwick CTU and will be subject to approval by the chief investigator, TMG, sponsor, REC and MHRA (if appropriate). Substantial amendments will be subject to additional approval from the TSC, DMC, and funder. Sites will be notified of each amendment by the CTU. The trial registry (ISCTRN) will be updated following each substantial amendment.
Dissemination plans {31a}
A scientific report will be drafted by the chief investigator and writing committee on behalf of the SINFONIA trial group in accordance with the Consolidated Standards of Reporting Trials (CONSORT) guidelines ([26]). A Publication and Dissemination Plan for SINFONIA will be written and available in the TMF. An inclusive approach to authorship will be used, with trial team members named individually and other participating investigators appropriately acknowledged through group authorship (SINFONIA trial group). All authors will meet the international committee of journal editors’ criteria for authorship.
Patient research partners will help with the production of a plain English summary of trial results, and a video and/or infographic will be produced to aid participants and the public in understanding the trial results. These will be made available to participants and the public via the trial website. Where patients have consented for their email/postal address to be collected, a notification will also be sent to them to advise the results are available.
Discussion
Despite changes in surgical and anaesthetic practice, major surgery continues to be associated with unacceptably high rates of post-operative pulmonary complications. The use of neuromuscular blocking agents is consistently identified as a risk factor for PPCs, thought to be mediated by inadequate reversal of neuromuscular blockade and weakness of airway and respiratory muscles.
Patients aged over 50 years undergoing major abdominal or thoracic surgery are a large and diverse patient group at elevated baseline risk of PPCs, with a high incidence of co-morbidities such as malignancy, which are associated with additional risk. The inclusion criteria were selected with this prognostic enrichment in view.
Only two reversal agents for neuromuscular blockade are in widespread use in the UK: sugammadex and neostigmine. Sugammadex has obvious advantages, notably faster onset of action leading to more rapid return of neuromuscular function, and this has led to use in an increasing proportion of anaesthetics administered in the UK. However, its clinical effectiveness in preventing adverse patient-centred outcomes is uncertain, and the risk of future allergic reactions is unquantified. Dosing of both drugs is individualised by anaesthetists considering clinical circumstances and the results of neuromuscular monitoring which is deemed essential in national guidelines.
The primary outcome measure, DAH-30, is a composite outcome which reflects patient recovery after major surgery through length of hospital stay, readmission, and death. Lower DAH-30 is associated with age and co-morbidities, but also with the occurrence of complications, including PPCs. It is thus an ideal outcome measure for pragmatic clinical trials such as this.
A strength of the trial is the embedded observational substudy to investigate allergic sensitisation. This will be the largest of its kind to investigate potential sensitisation rates following administration of sugammadex in a routine NHS clinical setting. By combining skin testing with mast cell activation testing, the relative advantages of these techniques will be directly compared for the first time. Collectively, these data will inform our understanding of likely sensitisation rates as usage of sugammadex increases as well as the ideal allergy testing pathway for suspected sugammadex allergy.
Limitations of the trial are largely a reflection of the pragmatic nature of clinical effectiveness trials. The SINFONIA compares two interventions which are both in widespread use, in a real-world context. In clinical practice, the choice of drug, the precise dose and timing, together with the neuromuscular monitoring strategy used to guide therapy and other aspects of concomitant care, are highly variable, largely driven by anaesthetist preference. These preferences are likely to be evident in the trial population, potentially impacting on recruitment to the trial, delivery of trial interventions, and on patient outcomes. These and other relevant factors will be explored in detail in an embedded process evaluation. In particular, the use of quantitative neuromuscular monitoring, although deemed essential according to national guidelines, is not universal. While we highlight the importance of providing high-quality concomitant care including adherence to these guidelines in the trial, the trial aim is to evaluate the two drugs in the context of usual clinical care: to mandate a specific neuromuscular monitoring strategy would be to undermine the pragmatic nature of the trial and reduce external validity.
In conclusion, the SINFONIA trial addresses an important question for anaesthetists and for patients undergoing major abdominal and thoracic surgery. This pragmatic clinical effectiveness trial will provide robust evidence as to the risks and benefits of sugammadex compared with neostigmine on patient-centred outcomes such as DAH-30, as well as on cost effectiveness and the incidence of allergic sensitisation.
Trial status
The first patient was enrolled to the SINFONIA trial on 15th February 2023, and the 12-month internal pilot phase was completed on 30th November 2023. Trial recruitment continued seamlessly into the main phase and is anticipated to complete by the end of 2025.
Data availability {29}
The final trial dataset will be maintained at the University of Warwick Clinical Trials Unit. Access to the dataset will be subject to approval from the trial management group and may be requested through contact with the chief investigator following publication of trial results.
Abbreviations
AE:
Adverse event
AUC:
Area under the curve
BHSCT:
Belfast Health and Social Care Trust
CDMS:
Clinical Data Management System
CHEERS:
Consolidated Health Economic Evaluation Reporting Standards
CI:
Chief Investigator
CONSORT:
Consolidated Standards of Reporting Trials
CRF:
Case Report Form
CTCAE:
Common Terminology Criteria for Adverse Events
DAH-30:
Days alive and out of hospital at 30 days
DMC:
Data Monitoring Committee
EQ-5D-5L:
EuroQoL 5-Dimension 5-Level
GCP:
Good xlinical practice
IgE:
Immunoglobulin E
IMP:
Investigational medicinal product
ISRCTN:
International Standard Randomised Controlled Trial Number
IVRS:
Interactive Voice Response System
mg:
Milligrams
MHRA:
Medicines and Healthcare products Regulatory Agency
NHS:
National Health Service
NICE:
National Institute for Health and Care Excellence
NIHR:
National Institute for Health and Care Research
NMBA:
Neuromuscular blocking agent
PE:
Process evaluation
PI:
Principal Investigator
PPC:
Post-operative pulmonary complications
QoR-15:
Quality of recovery-15
QALY:
Quality adjusted life year
REC:
Research Ethics Committee
R&D:
Research and Development
RSI:
Reference Safety Information
SAE:
Serious adverse event
SAIL:
Secure Anonymised Information Linkage
SAP:
Statistical analysis plan
SD:
Standard deviation
SINFONIA:
Sugammadex for prevention of post-operative pulmonary complications
SPIRIT:
Standard Protocol Items: Recommendations for Interventional Trials
SOP:
Standard operating procedure
SUSAR:
Suspected unexpected serious adverse reactions
TMG:
Trial Management Group
TSC:
Trial Steering Committee
UK:
United Kingdom
WCTU:
Warwick Clinical Trials Unit
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Acknowledgements
Kirsten Harris
Hannah McNeill
David Vass
Emma Padfield
Dalbir Kaur
Funding
This project is funded by the National Institute for Health and Care Research (NIHR) Health Technology Assessment Programme (NIHR133056). The views expressed are those of the author(s) and not necessarily those of the NIHR or the Department of Health and Social Care.
Additional funding to support the process evaluation and collection of blood samples was provided by Belfast Health and Social Care Trust.
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Authors and Affiliations
Wellcome-Wolfson Institute for Experimental Medicine, Queen’s University Belfast, Belfast, UK
Jonathan A. Silversides
Division of Anaesthesia, Theatres and Critical Care, Belfast Health and Social Care Trust, Belfast, UK
Jonathan A. Silversides & Ciara M. O’Donnell
Leeds Teaching Hospitals National Health Service Trust, Leeds, UK
Louise Savic
Warwick Clinical Trials Unit, University of Warwick, Coventry, UK
Louise Hiller, Amy Hopkins, Katie Booth, James Mason, Samuel Frempong, Christina May, Rebecca Kandiyali & Joyce Yeung
Patient and Public Involvement Representative, London, UK
Jennifer Dorey
Patient and Public Involvement Representative, Belfast, UK
Richard Smithson
University College London, London, UK
Ramani Moonesinghe
University of Surrey, Guildford, UK
Benedict Creagh-Brown
Queen Mary University of London, London, UK
Rupert Pearse
Consortia
for the SINFONIA investigators
Kirsten Harris, Hannah McNeill, David Vass, Emma Padfield & Dalbir Kaur
Contributions
JS conceived the study and led the proposal and protocol development. LS contributed to study design and protocol development and led the development of the allergic sensitisation sub-study. KB is the trial statistician and drafted the statistical analysis plan; AH is the trial manager; JY, CO’D, RM, and BCB are co-investigators; JD and RS are public and patient co-investigators; LH is the senior statistician and methodologist who oversaw the SAP development; and RP is a senior investigator who co-led development of the proposal and protocol. All authors contributed to protocol development, read and approved the final manuscript.
Corresponding author
Correspondence to Jonathan A. Silversides.
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Ethics approval and consent to participate {24}
The trial will be conducted in full conformance with the principles of the Declaration of Helsinki and to ICH Good Clinical Practice (GCP) guidelines. It will also comply with all applicable UK legislation and the Standard Operating Procedures (SOPs) of the University of Warwick and the Sponsor (Belfast Health and Social Care Trust). Approvals for the trial were granted by the East Midlands Nottingham 2 Research Ethics Committee (22/EM/0231) on 12th January 2023, and by the Medicines and Healthcare Regulatory Authority (CTA 32485/0041/001–0001) on 20th Dec 2022. Before enrolling participants into the trial, each trial site must ensure that the local conduct of the trial has the agreement of the relevant NHS Trust Research & Development (R&D) department. Written, informed consent to participate will be obtained from all participants.
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Competing interests {28}
RP is chair of the commissioning committee of the NIHR Health Technology Assessment programme. No other authors report competing interests.
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Supplementary Information
Additional file 1. Examples of eligible major surgical procedures.
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Silversides, J.A., Savic, L., Hiller, L. et al. Sugammadex or Neostigmine for prevention of post-operative pulmonary complications after major abdominal or thoracic surgery: study protocol for the SINFONIA (Sugammadex for preventioN oF pOst-operative pulmonary complIcAtions) randomised controlled superiority trial. Trials 26, 319 (2025). https://doi.org/10.1186/s13063-025-08987-4
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Keywords
Sugammadex
Neostigmine
Neuromuscular blockade
Neuromuscular blocking agents
Respiratory insufficiency
Pneumonia
Acute respiratory distress syndrome
Postoperative complications
Clinical trial
F.
Homicidal Threats in Children and Adolescents Lead to School Referrals but not Psychiatric Hospitalization
Original Paper
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Published: 28 August 2025
(2025)
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Abstract
Children and adolescents who make homicidal threats do not necessarily have homicidal ideation (HI), and children with HI generally do not go on to perpetrate violent crimes. However, homicidal threats in children and adolescents nevertheless generate considerable concern, particularly in schools. We conducted a retrospective chart review of all patients (N = 261) treated by an acute pediatric psychiatry service (ages ≤ 18) at a large, urban academic medical center between January 1, 2024 and June 30, 2024. Psychiatric notes were reviewed for the reason for referral (e.g. concern for homicidal or suicidal ideation), school referrals, and discharge recommendations. Children who were evaluated for HI (n = 29, 11.07%) had decreased odds of inpatient psychiatric hospitalization, compared to children evaluated for any other reason (OR = 0.26, 95% CI [0.08–0.89], p = 0.02). Most HI cases (n = 19, 65.52%) included generalized statements or behaviors, rather than a specific intent to harm an individual or group. Conversely, children who were evaluated for SI (n = 124, 47.3%) had increased odds of inpatient psychiatric hospitalization, compared to children who were evaluated for any other reason (OR = 3.18, 95% CI [1.80–5.62], p < 0.001). Patients evaluated for possible SI were more likely to have been referred for evaluation by their school, compared to children with no SI (OR = 1.89, 95% CI [1.06–3.35], p = 0.03). However, patients evaluated for HI were substantially more likely to have been referred by their school, compared to patients with no HI (OR = 5.58, 95% CI 2.49–12.48, p < 0.001). Schools have over five times the odds of referring children for psychiatric evaluation if there is concern for HI, but these same patients ultimately have decreased odds of inpatient psychiatric hospitalization. This suggests a mismatch between school responses to HI and clinical urgency, and the need for improved guidelines for evaluating HI in youth.
Background
Homicide (assault by firearms, bodily force, and substances, neglect or abandonment, sequelae of assault, and terrorism-related homicide) is the second leading cause of death in children and adolescents, after accidents and unintentional injury [1]. While homicidal ideation (HI) in children and adolescents understandably generates considerable concern, violent or threatening behavior does not always represent an imminent danger to others, and is not always rooted in psychiatric pathology. As such, children who make homicidal threats may not meet criteria for inpatient psychiatric hospitalization. However, HI remains a leading cause of involuntary psychiatric holds, second only to suicidal ideation [2]. Adult perpetrators of violence are not more or less likely to express HI than the general psychiatric patient population, and many adults with HI co-express suicidal ideation (SI) [3, 4]. In one large study of the inpatient pediatric psychiatry population, approximately 1% of pediatric patients on inpatient psychiatry units expressed HI, but 66.9% of patients expressing HI co-expressed SI [5]. A presumed relationship between HI and SI influences clinical decision making. In both the pediatric and adult populations, clinicians and clinical tools may evaluate SI and HI together, reflecting the clinical heuristic of making decisions based on if the patient is “a danger to themselves or others” [6]. However, this approach may overlook distinct clinical patterns relevant to pediatric presentations involving HI and SI, and their relationship with ultimate discharge planning.
Pediatric patients who go on to perpetrate violent acts have psychiatric comorbidities that may aid in risk assessment, and may allow clinicians to better identify patients at risk of violent crime perpetration. In the emergency setting, adolescents with HI have an increased incidence of any mood disorder, emotional or behavioral disorder, and/or anxiety disorder [7]. Patients with conduct disorder and attention deficit hyperactive disorder (ADHD) in particular have over 15 and over 7 times the odds of expressing homicidal ideation in the emergency setting, respectively [7, 8]. Notably, when interviewed in the forensic setting, adolescent perpetrators of homicide show high rates of conduct disorder and ADHD, but not mood and anxiety disorders [9]. The discrepancy between psychiatric comorbidities of adolescents with HI and adolescents who perpetrate homicide raises questions about the clinical utility of HI as a predictor of violent crime perpetration. Further complicating matters, antisocial behavior, which can include HI, is common if not expected in adolescence, peaking between ages 15–19 before declining in early adulthood [10].
The known relationships among homicidal ideation, adverse childhood events (ACEs), and social determinants of health can be leveraged in risk assessment of children expressing HI. Adolescents with a pattern of repeated criminal offenses and continued antisocial behavior into late adulthood almost universally have childhood histories of abuse and neglect. Increased ACE scores, and especially violent and unstable home environments and childhood maltreatment, predict serious, violent, and chronic criminal offense in adolescence and adulthood [11,12,13]. In children evaluated in the emergency room, problems related to education, literacy, housing, social environment, and family environment predict homicidal ideation. This increase is proportionate with the absolute number of problems endorsed, such that children endorsing three or more problem areas have nearly 15 times the odds of expressing homicidal ideation [14]. As such, any comprehensive effort to risk-stratify children expressing homicidal ideation must consider underlying ACEs and social determinants of health.
In the pediatric population, school referrals contribute significant amount of volume to pediatric psychiatry services, at 44.1% of all visits in one study [15]. School referrals for possible homicidal ideation reflect state-level applications of the Tarasoff or duty-to-warn laws [16]. In New Jersey, sending children who exhibit concerning behaviors to an emergency room for psychiatric evaluation relieves that school’s duty to warn [17]. Despite good intentions on the part of schools, such referrals often do not meet the appropriate level of urgency for care in the emergency department, and only rarely result in inpatient psychiatric hospitalization, at less than 8% in one study [15, 18]. Furthermore, being removed from school to receive psychiatric evaluation due to agitation or aggression generates considerable economic and social cost [19]. Unnecessary emergency psychiatric evaluation can itself be harmful and worsen mental health outcomes in children and adolescents [20].
Further research is urgently needed to better understand school referrals and outcomes of resultant psychiatric evaluation specifically for children and adolescents presenting with possible HI and/or violent behavior. Here, we report the results of a single-center retrospective cohort study evaluating clinical outcomes for patients evaluated for HI and/or SI who were treated by the acute pediatric psychiatry service at a large, urban, academic medical center over a 6-month period spanning from January 1, 2024 to June 30, 2024.
Methods
Study Site
The medical center is a pediatric acute care hospital with a level II pediatric trauma emergency department. The children’s hospital shares a campus and some services with a 900-bed, non-profit teaching hospital. The hospital is located in a New Jersey suburb 12 miles away from New York City, and serves as a major New York City metropolitan area medical hub serving a diverse patient population.
At the time of data collection, the acute pediatric psychiatry service consisted of 3 fellowship-trained child and adolescent psychiatrists, with 19 psychiatrists offering support and on-call coverage as needed. The acute pediatric psychiatry service treats children and adolescents when consulted by primary providers in the emergency and inpatient pediatric settings. Most patients are psychiatrically evaluated in the emergency department. However, a subset of patients are evaluated while admitted to the children’s hospital, including admissions related to psychiatric complaints requiring admission to a medical service (e.g. substance overdose, trauma, eating disorders, somatic disorders).
Participants
The study included all patients ages 18 or younger (N = 261) who were evaluated by the acute pediatric psychiatry service between January 1, 2024 and June 30, 2024 (Table 1). 2 patients who had more than 10 psychiatric evaluations during the study period were excluded as outliers. Patients were identified by their unique medical record number. All patients aged 18 or younger at the time of psychiatric evaluation were eligible for inclusion (Mage=13.93 years, SD = 2.81, range = 6–18 years). The majority of patients were evaluated in the pediatric emergency department (n = 198, 75.86%), and the remainder were evaluated while medically hospitalized.
Table 1 Demographic characteristics
From: Homicidal Threats in Children and Adolescents Lead to School Referrals but not Psychiatric Hospitalization
|Gender|N|%|
| ---- | ---- | ---- |
|Female|140|53.64|
|Male|112|42.91|
|Other|9|3.45|
|Race| | |
|White|134|51.34|
|Multiracial|62|23.75|
|Other Race|24|9.20|
|Black|22|8.43|
|Asian|11|4.21|
|Unknown|8|3.07|
|Ethnicity| | |
|Hispanic or Latino|129|49.43|
|Not Hispanic or Latino|131|50.19|
Outcome Variables
Data were obtained from reviewing patients’ medical records in the hospital electronic medical record (EMR) system.
Demographics
Demographic data (date of birth, gender, race, ethnicity, zip code) were recorded as written in the patient chart. For the analysis dataset, patient age at the time of the psychiatry consult was calculated from date of birth. Patient genders and races were recorded as entered in the EMR. Patient ethnicities were coded from raw data as ‘Hispanic or Latino’ or ‘Not Hispanic or Latino’ for the purposes of data analysis. Patient home zip codes were recorded from the patient home address in the chart.
Psychiatric Evaluation
The majority of outcome data were obtained from reviewing the initial psychiatric evaluation or consult note for each patient. Characteristics of the reason for referral were recorded on a binary scale indicating the presence or absence of concern for HI and SI. When present, homicidal threats made by the patient were categorized as generalized or specific. Specific threats included an intention to harm a specific individual or group (e.g. “I want to kill my social studies teacher”), while generalized threats were vaguer, including nonspecific references to weapons (e.g. “I have a gun”). Some patients were referred for the more generalized concern of aggressive behavior; this was captured separately from HI. It was recorded if patients were sent to the emergency department for psychiatric evaluation by their school or day program. Patients’ prior psychiatric history was recorded including prior psychiatric diagnoses and trauma history, using the ACE scale to indicate the specific subtype(s) of trauma [21].For the primary analysis, assessment and plan were documented from the initial evaluation. Discharge recommendations were stratified as outpatient follow-up, partial hospitalization or intensive outpatient programs (PHP/IOP), and inpatient hospitalization. Outpatient follow-up included any recommendations for outpatient behavioral health follow-up, medical follow-up, and/or discharge home.
Poverty Analysis
ALICE is a public health metric used to capture the experience of working families who do not technically fall below federal poverty thresholds, but nevertheless struggle to make ends meet or handle unexpected expenses [22]. For each individual patient, proportion of households under the federal poverty line and proportion of households meeting asset limited, income constrained and employed (ALICE) criteria were calculated. These values were calculated referencing the number of households in the poverty or ALICE groups, and the total number of households per zip code, in the 2024 United for ALICE datasheets for New Jersey and New York state [23].
Statistical Analysis
Data analysis was performed using RStudio [24]. The odds ratios for having been referred from a school due to concern for HI or SI were calculated. The odds ratios for inpatient psychiatric hospitalization after evaluation for possible HI or SI were calculated. An analysis of variance examined discharge recommendations for patients evaluated for HI and SI (+ HI/+SI), SI but not HI (-HI/+SI), HI but not SI (+ HI/-SI), and neither HI or SI (-HI/-SI). Chi-squared goodness of fit testing evaluated differences in HI and SI in patients who did or did not have certain aspects of psychiatric history and demographic attributes. Pearson correlations compared the proportion of home households below the poverty line and below the ALICE line among patients with or without HI and/or SI. To correct for multiple comparisons, the alpha level for significance for Chi squares was 0.007 after Bonferroni correction. Otherwise, the alpha level for significance for odds ratios, t-tests, and correlations was 0.05.
Results
Characterizing Homicidal Ideation
29 patients were evaluated for possible HI. Most patients evaluated for HI made generalized, non-specific threats, or no threats at all (65.52%). For example, one child was sent from his school for emergency psychiatric evaluation due to discussing shooter video games (Table 2). Qualitatively, patients evaluated for HI were somewhat more likely to exhibit aggressive behavior. 27.58% of patients evaluated for HI behaved aggressively during their evaluation (n = 8), compared to 15.09% (n = 35) of patients evaluated for other reasons. However, this difference was not statistically significant (t(51.74)=−1.42, p = 0.16).
Table 2 Examples of patients evaluated for HI, including whether they were referred by their school (SR) or exhibited behavioral aggression (BA)
From: Homicidal Threats in Children and Adolescents Lead to School Referrals but not Psychiatric Hospitalization
|Age|Gender|SR|BA|Discharge|Description of HI|
| ---- | ---- | ---- | ---- | ---- | ---- |
|8|M|Yes|No|Outpatient|Patient referred from school after drawing picture of a person holding a chainsaw. He had been watching YouTube videos depicting chainsaws.|
|14|M|Yes|No|Inpatient|Patient referred from school for holding scissors to his own neck, in setting of chronic bullying. Rates suicidal ideation as an 8.9 out of 10, with 10 being the most severe. Occasionally thinks about hurting people, but no specific people and would never harm others because it is wrong and because of his religion.|
|11|M|No|Yes|Outpatient|Patient brought in by family. Had been sent home early from school for getting a nosebleed. At home, refused to change his bloody clothing and attacked family. He became irate when his phone was taken away as a disciplinary measure, and threatened to kill family. On evaluation, stated he sometimes makes comments that he wants to kill himself or others, but they are only a figure of speech to express frustration.|
|14|M|Yes|No|Outpatient|Patient with no psychiatric history or known behavioral issues was referred by school after speaking about video games and guns within the context of videogames. Patient denied homicidal ideation or suicidal ideation, and parents had no concerns about behavior.|
Relationship with Discharge Recommendations
Patients evaluated for possible HI had decreased odds of inpatient psychiatric hospitalization, compared to patients evaluated for any other reason (OR = 0.26, 95% CI 0.08–0.89, p = 0.02). Conversely, patients evaluated for possible SI had increased odds of inpatient psychiatric hospitalization, compared to patients evaluated for any other reason (OR = 3.18, 95% CI 1.80–5.62, p < 0.001) (Table 3).
Table 3 Discharge recommendations by expression of HI or SI. Patients evaluated for HI had decreased odds of inpatient psychiatric hospitalization, compared to patients without HI (OR = 0.26, 95% CI 0.08–0.89, p = 0.02). Patients evaluated for SI had increased odds of inpatient psychiatric hospitalization, compared to patients without SI (OR = 3.18, 95% CI 1.80–5.62, p < 0.001)
From: Homicidal Threats in Children and Adolescents Lead to School Referrals but not Psychiatric Hospitalization
|Discharge Recommendations|No HI| |HI| |No SI| |SI| |
| ---- | ---- | ---- | ---- | ---- | ---- | ---- | ---- | ---- |
| |n|%|n|%|n|%|n|%|
|Outpatient|106|45.69|21|72.41|87|63.50|40|32.26|
|PHP/IOP|55|23.71|5|17.24|26|18.98|34|27.42|
|Inpatient|71|30.60|3|10.34|24|17.52|50|40.32|
| |232| |29| |137| |124| |
Discharge recommendations varied among patients evaluated for SI and HI, neither SI nor HI, and either SI or HI (F(1,259) = 18.54, p < 0.001). The patients most likely to be recommended for inpatient psychiatric hospitalization were evaluated for only SI (41.74%, n = 48), followed by both HI and SI (22.22%, n = 2), neither SI nor HI (19.66%, n = 23), and finally only HI (5.00%, n = 1) (Table 4).
Relationship with School Referrals
Patients referred from schools for any reason were less likely to be recommended for inpatient psychiatric hospitalization (OR = 0.28, 95%CI = 0.13–0.63, p = 0.001). Patients evaluated for possible HI, whether alone or in combination with SI, were disproportionately likely to have been referred for psychiatric evaluation by their school (χ2 = 29.33,p < 0.007). Concern for HI was associated with increased odds of having been referred for psychiatric evaluation by a school (OR = 5.58, 95% CI 2.49–12.48, p < 0.001). Concern for SI showed a more modest increased odds of school referral (OR = 1.89, 95% CI 1.06–3.35, p = 0.03).
Relationship with Psychosocial History and Social Determinants
The proportion of patients with concern of HI only, SI only, both HI and SI, and neither SI nor HI varied with aspects of psychosocial history (Table 4). Patients with a history of any diagnosed mood disorder (e.g. major depressive disorder) were most likely to be referred for SI only (χ2 = 18.35, p = 0.0004). Patients with a history of autism spectrum disorder (ASD) were most likely to be referred for neither HI nor SI (χ2 = 10.45, p = 0.015), although this was not significant after correcting for multiple comparisons. There was no difference in referral for HI and/or SI and history of any anxiety disorder, any behavioral disorder, attention deficit hyperactive disorder (ADHD), adjustment disorder, and ACEs.
Proportion of patients with concern for HI and/or SI did not vary with age or race. However, this did vary with ethnicity; white patients were most likely to be referred for SI only (e.g. without HI), and black patients were most likely to be referred for neither SI nor HI (χ2 = 32.50, p = 0.006). Concern for HI and/or SI did not vary with the proportion of home zip code households below the poverty line or below the ALICE line.
Table 4 Psychiatric history and discharge planning differed for patients who were referred for HI or SI, only HI, only SI, or both HI and SI
From: Homicidal Threats in Children and Adolescents Lead to School Referrals but not Psychiatric Hospitalization
| |-HI/-SI| |+HI/-SI| |-HI/+SI| |+HI/+SI| |
| ---- | ---- | ---- | ---- | ---- | ---- | ---- | ---- | ---- |
| |n|%|n|%|n|%|n|%|
|Patients per group|117|44.83|20|7.66|115|44.06|9|3.45|
|Discharge***| | | | | | | | |
|Outpatient|71|60.68|16|80.00|35|30.43|5|55.56|
|PHP/IOP|23|19.66|3|15.00|32|27.83|2|22.22|
|Inpatient|23|19.66|1|5.00|48|41.74|2|22.22|
| |-HI/-SI| |+HI/-SI| |-HI/+SI| |+HI/+SI| |
|History| | | | | | | | |
|Referred by school***|14|11.97|12|60.00|33|28.70|5|55.56|
|Mood Disorder***|23|19.66|3|15.00|50|43.48|2|22.22|
|Anxiety Disorder|24|20.51|2|10.00|34|29.57|3|33.33|
|ASD*|10|8.56|2|10.00|5|4.35|3|33.33|
|Behavioral disorder|12|10.36|3|15.00|8|6.96|1|11.11|
|ADHD|28|23.93|6|30.00|27|23.48|2|22.22|
|Any ACE|48|41.03|8|40.00|41|35.65|3|33.33|
***=p < 0.001, **=p < 0.01, *=p < 0.05
Discussion
The predictive value of homicidal ideation (HI) in the emergency setting for ultimately perpetrating acts of violence against others is not clear, particularly in the child and adolescent population [9]. Clinicians may conceptualize HI and suicidal ideation (SI) as equivalently urgent psychiatric emergencies, and HI and SI constitute the majority of reasons for psychiatric involvement in the pediatric emergency department [6, 25]. While HI in the pediatric population certainly warrants further clinical workup, it may not necessarily require subsequent intensive psychiatric treatment to the same extent as SI. Furthermore, many pediatric patients who are referred for psychiatric evaluation due to concern for HI may, upon evaluation, have made more generalized homicidal threats or violent gestures that do not represent a substantive danger. Our findings support this distinction; in this study, most patients evaluated for possible HI ultimately did not have a specific intention to harm an individual or group, but rather made more generalized violent statements, threats, or behaviors. Furthermore, after psychiatric evaluation, patients evaluated for possible HI were less likely to be psychiatrically admitted (OR = 0.26), while patients evaluated for SI were more likely (OR = 3.18).
School officials and clinicians may balk at the suggestion that children with HI do not need emergency psychiatric evaluations, particularly given highly publicized tragedies such as the Sandy Hook shooting. Despite the unclear relationship between HI and violent acts, schools treat any violent behavior, statement, or threat suggestive of possible HI as a psychiatric emergency requiring immediate intervention. In this sample, children were over five times more likely to be referred by schools for psychiatric evaluation due to concern for HI (OR = 5.58), compared to only a modest increase in odds of referral from school for concern for SI (OR = 1.89). While still a statistically significant elevation in odds, the magnitude of the effect for HI suggests that schools treat HI more seriously than SI, despite literature indicating that transient violent behavior and homicidal ideation is normative in some youth populations [10]. Consistent with previous studies, any referral from schools in this study predicted decreased likelihood of inpatient psychiatric hospitalization, supporting the need for further investigation into the acuity of such statements prior to unilaterally referring children to the emergency department for psychiatric evaluation [15, 19].
School referrals are not benign or neutral. Schools disproportionately refer Black children, Latino children, and children with special needs to emergency rooms, and these evaluations confer a high economic and social cost [19]. School referrals for psychiatric concerns rarely result in inpatient psychiatric hospitalization [15, 18]. The experience of being removed from school and sent to the emergency department can itself be distressing and stigmatizing, potentially leading to long-term social consequences (e.g. ostracization by peers, differences in treatment by teachers) and exacerbation of underlying mental health concerns [20].
Limitations
The findings of the present study are certainly not robust enough to base major alterations in educational practice. This was an exploratory analysis of violence assessment in a diverse community sample at a large academic medical center. Accordingly, data collected were primarily retrospective and descriptive. The significance of the finding that patients with HI and SI are not equally likely to be recommended for inpatient psychiatric hospitalization warrants further investigation. This discrepancy may reflect local practice patterns, rather than a meaningful difference in the psychiatric urgency or risk. Additionally, these results were obtained from retrospective review of clinical documentation, which may not capture critical nuances of the patient encounter and patient history. Further research into this construct could leverage a standardized inventory of relevant symptoms and comorbidities, to be completed by clinicians themselves, to mitigate the influence of the biases of individual providers.
Validated tools, such as the Structured Assessment of Violence Risk in Youth (SAVRY), were not used in this project. However, such tools are inconsistently used in clinical practice, and have mixed predictive validity in the general population [26]. As such, the methods here offer insight into real-world clinical assessment for children and adolescents presenting with undifferentiated HI to a pediatric emergency department. However, the results may not be generalizable to other populations, particularly institutions that may serve a larger proportion of socioeconomically disadvantaged patients or lack a dedicated pediatric psychiatry service. Further prospective studies of homicidal ideation in the pediatric population can formally deploy validated risk assessment tools such as the SAVRY [26].
The HI sample was small with 29 total patients, limiting statistical power and overall generalizability. Some known psychosocial correlates of HI (e.g. trauma history, conduct disorder, low socioeconomic status) were not well represented in the sample, possibly explaining the lack of significant relationships found among these variables [11]. Given the strength of the relationship of antisocial personality disorder specifically with homicide perpetration, increasing likelihood by more than 20-fold in one study, there is a need for future research to better assess conduct disorder to identify patients at risk for later antisocial personality disorder and intervene accordingly [27]. While our results support the notion that HI in children and adolescents is relatively low-acuity, this interpretation must be tempered by the lack of standardized clinical assessment and longitudinal follow-up. We do not know if individuals triaged in the present study go on to commit violent acts. Further research is needed to evaluate longitudinal trends in behavior in pediatric patients who express HI after psychiatric clearance.
Conclusions
Despite limited generalizability, the present study identified several clinical patterns which distinguish homicidal and suicidal ideation (HI and SI) in children and adolescents. HI is associated with increased odds of referral from schools, but decreased odds of inpatient psychiatric hospitalization. Conversely, SI is associated with increased odds of inpatient psychiatric hospitalization. HI can be normative in some adolescents, and often abates by late adulthood without leading to a pattern of chronic criminal behavior and recidivism [10]. Schools may wish to more carefully consider who to refer for emergency psychiatric evaluation and under what circumstances. The disparity in school responses and clinical decision making in the present study suggests a mismatch in perceived risk. Given the economic and social consequences of unnecessary emergency department treatment for both the patient and the already-strained healthcare system, our results support the need for further investigation into these constructs to better understand longitudinal behavioral patterns and causality.
Further studies should longitudinally follow youth with HI who are discharged from the emergency setting to determine which patients go on to commit violent acts, and if these acts are related to the homicidal sentiments expressed in the emergency room. In order to align further studies with what is known about the psychosocial comorbidities of HI in youth, further studies can implement validated measures such as the ACES scale. A better understanding of the characteristics of patients who express HI could assist in the development of more targeted screening measures, with predictive validity for perpetrating acts of violence. While existing research supports that HI may not predict ultimate criminal behavior, our findings suggest a tension between school-driven concerns and clinical practice. More robust, longitudinal research of HI in the acute pediatric psychiatry setting could be leveraged in the educational setting to give educators the confidence to forego unnecessary or even harmful school referrals.
Data Availability
Data are available upon receipt of written request to the corresponding author.
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Authors and Affiliations
Hackensack Meridian School of Medicine, Nutley, NJ, USA
Michelle Timmons, Mariam Farag, Virginia Pohl & Avaas Sharif
Pediatric Psychiatry, Hackensack University Medical Center, Hackensack, NJ, USA
Avaas Sharif
Contributions
Conceptualization: Michelle Timmons, Mariam Farag, Virginia Pohl, Avaas Sharif.
Methodology: Michelle Timmons, Avaas Sharif.
Formal analysis and investigation: Michelle Timmons, Mariam Farag, Virginia Pohl.
Writing – original draft preparation: Michelle Timmons.
Writing – Review and editing: Avaas Sharif, Michelle Timmons.
Funding acquisition: NA.
Resources: NA.
Supervision: Avaas Sharif.
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Correspondence to Michelle Timmons.
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Timmons, M., Farag, M., Pohl, V. et al. Homicidal Threats in Children and Adolescents Lead to School Referrals but not Psychiatric Hospitalization. Psychiatr Q (2025). https://doi.org/10.1007/s11126-025-10207-w
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Keywords
Homicidal ideation
Pediatric psychiatry
Violence assessment
School psychiatry
G.
Cross-cultural learning during an international exchange program in medical education: a qualitative study
Research
Open access
Published: 28 August 2025
Volume 25, article number 1217, (2025)
Cite this article
Abstract
Background
International exchange programs offer unique opportunities to foster mutual cross-cultural learning. The neurology Peru-Rochester exchange program (NeuroPro) was established in 2020 through agreements between the University of Rochester School of Medicine and Dentistry (URSMD) in Rochester, New York, USA, the Universidad Nacional de San Agustin (UNSA), Arequipa, Peru, and the Universidad Nacional Mayor de San Marcos (UNMSM), Lima, Peru. Between 2020 and 2024, six trainees from the URSMD completed structured electives in public hospitals affiliated with the UNSA and the UNMSM, three trainees from the UNSA and three trainees from the UNMSM completed structured electives at the URSMD.
Methods
We explored the cross-cultural learning experiences of the trainees who completed an international elective as part of the NeuroPro. Prior to starting their electives, trainees received guidance to provide written reflections on diagnostic and therapeutic processes, financial decision-making related to patient care, administrative and logistic challenges related to patient care, community engagement, and other experiences they wanted to share. Reflections were collected 1–2 months after elective completion. Reflections underwent an interpretative phenomenological analysis to identify recurrent themes and select representative quotes.
Results
Eleven of the 12 trainees provided written reflections. Constructed descriptive themes highlighted by trainees from the URSMD visiting the UNSA and the UNMSM included: (1) educational exposure to infectious diseases, (2) limited access to resources commonly available in the U.S., (3) empiric treatment used for diagnostic purposes, (4) patients and providers sharing social, financial and administrative challenges, and (5) community engagement for fundraising. Constructed descriptive themes highlighted by trainees from the UNSA and the UNMSM visiting the URSMD included: (1) educational exposure to rare diseases, (2) access to costly diagnostic tools and therapies, (3) limited involvement of providers in social, financial and administrative challenges, and (4) limited community engagement in the hospital. Constructed reflective themes highlighted by all trainees included overcoming the language barrier, cross-cultural experiences, and influence in their future practice.
Conclusions
International exchange programs can provide structured electives that offer cross-cultural immersion and mutually complementary learning experiences.
Background
Cross-cultural competence is the ability to interact effectively with people from different cultural backgrounds. Training in cross-cultural competence is a key component of medical education worldwide given its benefits in patient-provider communication, patient satisfaction and compliance [1,2,3,4,5,6,7]. Despite its importance, the best approach to deliver and assess the impact of cross-cultural training has not been defined [6,7,8,9,10,11,12,13]. The field of global health increasingly emphasizes working with socio-culturally varied populations in settings where culture or resources substantially differ from usual training settings [14,15,16,17]. Since cross-cultural competence and global health are tightly interconnected [18,19,20], the systematic integration of cross-cultural and global health training has been recommended [21,22,23,24,25]. In this context, a growing number of institutional partnerships are creating international exchange programs that include beneficial opportunities for cross-cultural immersion and learning [18, 25,26,27,28,29,30,31,32,33,34,35,36,37,38,39,40,41,42,43].
The neurology Peru-Rochester exchange program (NeuroPro) is an international exchange program established by institutional agreements between the University of Rochester School of Medicine and Dentistry, Rochester, New York, USA (URSMD), the Universidad Nacional de San Agustin, Arequipa, Peru (UNSA), and the Universidad Nacional Mayor de San Marcos, Lima, Peru (UNMSM). The goal of the NeuroPro is to foster cross-cultural learning and the mutual building of local capacity. The NeuroPro offers structured in-person and virtual learning activities for trainees of the participating institutions. For the in-person activities, 1–3 trainees per institution are selected every year during a competitive process established by the corresponding interinstitutional agreements. Selected trainees from the URSMD complete structured two-week electives in public hospitals affiliated with the UNSA and the UNMSM. They spend the first week at Hospital Regional Honorio Delgado, Arequipa, Peru (UNSA) and the second week at Instituto Nacional de Ciencias Neurologicas, Lima, Peru (UNMSM). Selected trainees from the UNSA and the UNMSM complete structured, four-week electives at Strong Memorial Hospital (URSMD) [37, 44, 45].
Mixed methods combining quantitative and qualitative assessments have been recommended to evaluate the impact of cross-cultural experiences [6, 46,47,48]. Initial studies showed that cross-cultural training based on the cultural competence framework could improve attitudes, knowledge, skills and patient satisfaction [47, 49,50,51,52,53,54]. However, this training has been ineffective in improving provider behavior and patient outcomes [54,55,56,57,58,59]. The critical culturalism framework includes the influence of institutional policies and practices on health outcomes. Through community-based education and exposure to relevant cross-cultural experiences, trainees reflect on the political and socioeconomic contexts in which institutional policies and practices are embedded [49, 55, 60,61,62,63]. International electives provide exposure to unique experiences during which trainees can write self-reflections, which is the main method recommended by the critical culturalism framework [48, 60, 64]. We conducted a qualitative assessment to explore the reflections written by trainees while they completed international electives of the NeuroPro between 2020 and 2024.
Methods
We received an exempt determination from the Research Subjects Review Board of the URSMD (ID: STUDY00008556, exempt category 1 - educational settings) and we received approval from the Institutional Committee of Research Ethics of the School of Medicine of the UNSA (ID: Number 021 CIEI/UI/FM/UNSA). While piloting our exchange program [44], participating faculty and trainees from the three institutions (KJL, NC, LMQM, JR, BV, VFM, ICS, RJ) reached consensus on the overarching learning topics offered by the program: (1) diagnostic and therapeutic processes, (2) financial decision-making related to patient care, (3) administrative and logistic challenges related to patient care, (4) community engagement in healthcare, and (5) other. Based on these topics, we developed an instrument with guiding questions for trainees to write anonymous reflections while completing the international electives of the program. The instrument was finalized after review by additional faculty and trainees of the participating institutions (Additional file 1). Following the critical culturalism framework [48, 60, 64], selected trainees received the instrument prior to starting their international electives and they were instructed to write anonymous reflections during their electives using the instrument as a guide.
Trainees were encouraged to share their written reflections 1–2 months after elective completion and we conducted an interpretative phenomenological analysis by incremental and iterative coding until reaching stability of recurrent themes. First, KJL received the written reflections from each trainee after elective completion. KJL de-identified the reflections as needed. KJL and CZ independently performed an initial review and coding of each written reflection. After this independent review, KJL and CZ met to share identified codes, questions and discrepancies. KJL then met with RJ to resolve any remaining questions or discrepancies, review the codes and assign them to one of the five pre-defined topics. This triangulation process was repeated in an incremental and iterative fashion after receiving each new written reflection. Once KJL, CZ and RJ noted repetitive codes and emerging themes, KJL discussed those codes and themes with each member of the team to construct overarching themes. The qualitative assessment was stopped once there was team consensus regarding stability of recurrent themes. After consensus was reached, KJL and CZ reviewed all reflections to identify representative quotes for each constructed theme. Based on additional expert feedback, the constructed themes were divided into descriptive and reflective themes.
Regarding researcher reflexivity, KJL, NC, JR, BV and ICS had experienced the healthcare systems in the USA and Peru by the time the study was conducted. KJL, NC and JR completed medical school in Peru. KJL and JR were faculty at the URSMD, and NC was a neurology resident at the URSMD. BV completed an international elective in Peru during medical school training at the URSMD and was faculty at the URSMD. VFM and ICS completed medical school in Peru and were faculty at the UNSA. ICS had completed an international elective at the URSMD. CZ did not have medical training but had significant experience in qualitative research. LMQM completed medical school in Peru and was faculty at the UNMSM. RJ was faculty at the URSMD and had founded international exchange programs between the URSMD and medical schools in Poland and Spain.
Results
Twelve trainees were selected to complete an international elective of the NeuroPro between 2020 and 2024: Six trainees from the URSMD (3 last-year medical students and 3 neurology residents), 3 last-year medical students from the UNSA, and 3 last-year medical students from the UNMSM. Selected trainees expressed interest in global health during the application process, but they did not have prior cross-cultural training. Eleven of the 12 trainees who completed the in-person elective shared their reflections (5 trainees from the URSMD, 3 trainees from the UNSA and 3 trainees from the UNMSM).
Qualitative assessment of the written reflections allowed construction of descriptive and reflective themes that were present in all reflections. Table 1 presents the constructed descriptive themes and representative quotes highlighting the complementary exposure to diagnostic and therapeutic processes, financial decision-making, administrative and logistic challenges, and community engagement. For example, trainee-3 URSMD wrote: “I saw neurocysticercosis for the first time.” Trainee-4 URSMD wrote: “I had never seen a patient with tuberculosis before”. Trainee-5 Peru wrote: “For the first time, I saw patients with genetic epilepsies such as SCN1A”. Trainee-1 Peru wrote: “I was surprised by how quickly doctors can confirm the diagnosis of rare diseases that I came across for the first time in my career.” Table 2 presents the constructed reflective themes and representative quotes. Trainees from both groups reflected on how they overcame the language barrier. Trainee-1 Peru wrote: “I really appreciated the friendliness and teaching approach of the attending physicians, all of them spoke Spanish, which helped me feel more comfortable.” Trainee-4 URSMD wrote: “My understanding of the language was minimal and my ability to speak it was even less. It was very humbling because I was at the community’s kindness.” Trainees from both groups also reflected on their cross-cultural experiences and how they may influence their future practice. Trainee-4 URSMD wrote: “I experienced several difficulties adapting to an entirely different culture. This made me think about my patients who have to do the same when facing the unique culture of the healthcare system in the U.S.”. After describing a cross-cultural contrast on student inclusion, trainee-3 Peru wrote: “In my future practice as a doctor, I will try my best to make everyone feel welcome as a member of the team”.
Table 1 Constructed descriptive themes and representative quotes highlighted by the trainees who completed an international elective as part of the neurology Peru-Rochester exchange program
From: Cross-cultural learning during an international exchange program in medical education: a qualitative study
|Guiding topic|Constructed descriptive themes and representative quotes|
| ---- | ---- |
| |Trainees from the URSMD during their elective at the UNSA and UNMSM|Trainees from the UNSA and UNMSM during their elective at the URSMD|
|Diagnostic and therapeutic processes|**Theme: Educational exposure to infectious diseases.**<br>“I had never seen a patient with tuberculosis before. There are so many possible complications of tuberculosis than I had ever considered.” (Trainee - 4 URSMD)<br>“I saw neurocysticercosis for the first time. I was amazed to learn it is the most common cause of epilepsy in Peru.” (Trainee - 3 URSMD)<br>“In Peru, infections were much higher on the differential than in the U.S. It really emphasized how our clinical abilities are deeply rooted in the health systems and geographies where we train.” (Trainee - 2 URSMD)<br>**Theme: Limited access to resources commonly available in the U.S.**<br>“Doctors did not have access to point - of - care ultrasound or CT scans (like we do in the U.S.). In Peru, doctors are proficient and confident with palpation, auscultation, and even percussion skills. These hands - on skills are not as commonly practiced in the U.S.” (Trainee - 3 URSMD)<br>“I noticed broad open doors and windows in the wards, allowing for frequent drafts of air to minimize disease spread. At our hospitals, there were no open windows or air flow. Instead, we have negative - pressure isolation rooms with specially designed filters.” (Trainee - 2 URSMD)<br>**Theme: Empiric treatment used for diagnostic purposes.**<br>“Some patients are empirically started on treatments such as antibiotics or steroids. The response to treatment is used for diagnostic purposes at times.” (Trainee - 1 URSMD)<br>“The patient was started on steroids empirically. In the U.S., we would have sent a million - dollar workup testing for antibodies.” (Trainee - 4 URSMD)|**Theme: Educational exposure to rare diseases.**<br>“Before this rotation, I had not seen patients with confirmed genetic conditions, or patients with cancer receiving targeted molecular therapy.” (Trainee - 3 Peru)<br>“For the first time, I saw patients with genetic epilepsies such as SCN1A.” (Trainee - 5 Peru)<br>“I was surprised by how quickly doctors can confirm the diagnosis of rare diseases such as Creutzfeldt - Jacob disease, reversible cerebral vasoconstriction syndrome, among others that I came across for the first time in my career (even though I am almost done with medical school).” (Trainee - 1 Peru)<br>**Theme: Access to costly diagnostic tools and therapies.**<br>“I was impressed by the access to expensive diagnostic tools and treatments. In Peru, doctors rely on their semiology skills when diagnostic tools are not available.” (Trainee - 1 Peru)<br>“A wide range of diagnostic tools and treatments are readily accessible, enabling providers to focus on scientific aspects rather than struggling for availability.” (Trainee - 2 Peru)|
|Financial decision - making related to patient care|**Theme: Patients and providers sharing social, financial and administrative challenges.**<br>“Cost is a much greater concern for providers and patients. Decision making is shared as cost impacts the type and timing of workup that can be afforded.” (Trainee - 5 URSMD)<br>“Doctors can decide to use one vial for more than one patient. This reminded me how much we waste in the U.S.” (Trainee - 4 URSMD)|**Theme: Limited involvement of providers in social, financial and administrative challenges.**<br>“Financial barriers appeared minimal as tests were ordered promptly without concerns about cost.” (Trainee - 3 Peru)<br>“Patients were offered the best treatments without discussing costs, whereas in Peru we must keep in mind the cost before prescribing any treatment.” (Trainee - 1 Peru)|
|Administrative and logistic challenges related to patient care|**Theme: Patients and providers sharing social, financial and administrative challenges.**<br>“Doctors were able to admit patients for what we would consider outpatient issues. Admissions could even be based on social factors such as lack of reliable family support.” (Trainee - 3 URSMD)<br>“Families must prepare their homes to receive patients directly from the hospital. Patients, families and doctors have to consider these issues and decide together on the best time for discharge.” (Trainee - 5 URSMD)|**Theme: Limited involvement of providers in social, financial and administrative challenges.**<br>“I was surprised by the pressure to discharge patients as soon as possible. Some patients were discharged even from the emergency room before they could make it to the neurology floor.” (Trainee - 6 Peru)<br>“Administrative and logistic challenges for providers are largely minimized thanks to technological advances such as the electronic medical record.” (Trainee - 3 Peru)|
|Community engagement in healthcare|**Theme: Community engagement for fundraising.**<br>“Some patients rely on their communities pulling resources together to finance care (for example through raffles or barbecues to raise money). This appears to be common practice and somewhat integrated within the system. In the U.S., these practices are usually reserved for dramatic scenarios involving enormous costs.” (Trainee - 5 URSMD)<br>“In the US, the crowdfunding (such as gofundme.com) is often dependent on strangers funding strangers and whether or not someone donates depends on whether they feel enough empathy for the individual (5).” (Trainee - 1 URSMD)|**Theme: Limited community engagement in the hospital.**<br>“Other than EMS and police officers, I did not see that the outside communities participated in healthcare within the hospital.” (Trainee - 1 Peru)<br>“Some patients remained relatively isolated during their hospital stay. The team commented on how difficult it was to get a hold of family members sometimes. In addition, the hospital seemed to have multiple restrictions for visits. Whereas in Peru I feel like families and even neighbors and other members of the community would be more actively and spontaneously engaged.” (Trainee - 6 Peru)|
URSMD University of Rochester School of Medicine and Dentistry (Rochester, NY, USA), UNSA Universidad Nacional de San Agustin (Arequipa, Peru), UNMSM Universidad Nacional Mayor de San Marcos (Lima, Peru)
Table 2 Constructed reflective themes and representative quotes highlighted by the trainees who completed an international elective as part of the neurology Peru-Rochester exchange program
From: Cross-cultural learning during an international exchange program in medical education: a qualitative study
|Constructed reflective themes*|Representative quotes|
| ---- | ---- |
| |Trainees from the URSMD during their elective at the UNSA and UNMSM|Trainees from the UNSA and UNMSM during their elective at the URSMD|
|Overcoming the language barrier|“The entire trip had an underlying challenge for me of the language of Spanish.” (Trainee - 1 URSMD)<br>“My understanding of the language was minimal and my ability to speak it was even less. It was very humbling because I was at the community’s kindness.” (Trainee - 4 URSMD)|“I really appreciated the friendliness and teaching approach of the attending physicians, all of them spoke Spanish, which helped me feel more comfortable.” (Trainee - 1 Peru)<br>“No one made me feel badly for not knowing some terms in English. Sometimes people helped me or corrected me in a kind way.” (Trainee - 2 Peru)<br>“I spoke English most of the time but, surprisingly, there were some members of the team who wanted to practice their Spanish skills with me, sometimes they even made an effort to present cases in Spanish when I was present.” (Trainee - 5 Peru)|
|Cross - cultural experiences|“One of the best experiences of my time in Peru was how welcoming and eager everyone was to share their culture, food, practices.” (Trainee - 2 URSMD)<br>“One cultural difference was how thankful all patients seemed to be for the care they were receiving. Even when we met patients that we could not do anything for, they were grateful to just have the opportunity to meet with a doctor.” (Trainee - 1 URSMD)<br>“The cost of living was cheaper and that made the trip affordable for me. I was willing to pay for everything anyway, but it was hard to commit to this experience without knowing if we will get funding or not.” (Trainee - 1 URSMD)<br>“I experienced several difficulties adapting to an entirely different culture. This made me think about my patients who have to do the same when facing the unique culture of the healthcare system in the U.S.” (Trainee - 4 URSMD)<br>“In Peru, providers were seemingly more independent with regards to their schedule and could afford to spend more time with patients as needed. In the U.S., there is greater emphasis on productivity with pressure to see more patients in less time.” (Trainee - 3 URSMD)|“While the healthcare systems in the United States and Peru are not perfect, I have witnessed how healthcare professionals in both countries are committed to provide the best possible care for their patients.” (Trainee - 1 Peru)<br>“Lunch time is seen as something really important in the U.S. so that we could have our food while listening to lectures or cases, which would be a strange thing to do in my country.” (Trainee - 2 Peru)<br>“People took some time to experience the fall. The different colors of the leaves created such beautiful sights. This is something people in Peru cannot really experience because our seasons are not so contrasting.” (Trainee - 5 Peru)<br>“I had to be very careful with my expenses because the cost of living is so much higher in the U.S. compared to Peru. I also experienced some culture shock and homesickness during my first week. This experience made me realize how much I love my country and its people.” (Trainee - 1 Peru)|
|Influence in their future practice|“Witnessing firsthand how providers overcame challenges unique to their healthcare system allowed for self - reflection on my own practice patterns and influenced how I will think about patient care moving forward. I will more critically evaluate the utility of diagnostic testing and be more conscientious of related costs.” (Trainee - 3 URSMD)<br>“I learned a lot about the importance of cultural, regional, and political contexts. I realized that the limits of our scope are not truly known until we find ourselves in new contexts. This requires humility and openness. Programs like this allow to forge bridges and relationships across cross - cultural divides, something that will make each of us not only better physicians in our craft, but better society members as well.” (Trainee - 2 URSMD)|“The horizontal dynamics among all members of the team was a revelation. The collaborative environment that encourages everyone’s participation positively influences the well - being of the team and, consequently, the patient experience. In Peru, little attention is paid to interpersonal relationships within healthcare teams. I regret having observed more punishment and authoritarianism toward students. In my future practice as a doctor, I will try my best to make everyone feel welcome as a member of the team.” (Trainee - 3 Peru)<br>“Thanks to this experience, I can now seriously consider pursuing a medical specialty in the U.S.” (Trainee - 2 Peru)<br>“I am deeply motivated to pursue a residency in the U.S.A, and I would love the opportunity to return.” (Trainee - 6 Peru)|
URSMD University of Rochester School of Medicine and Dentistry (Rochester, NY, USA), UNSA Universidad Nacional de San Agustin (Arequipa, Peru), UNMSM Universidad Nacional Mayor de San Marcos (Lima, Peru)
*These themes were constructed from the reflections written under the guiding topic “any other experiences” (See point 5 in Additional File 1)
Discussion
Our qualitative assessment of the reflections written by trainees from higher-resource settings while they completed an international elective in a lower-resource setting, and vice versa, identified beneficial learning experiences that contrast with and complement those typically available at their home institutions (Tables 1 and 2). These findings are consistent with the previously reported positive effects of international electives [18, 26, 39,40,41,42,43].
Trainees from the URSMD reflected on the opportunity to increase their cultural competence and understanding of healthcare systems and professional practice through comparative experience (Tables 1 and 2). Most trainees from higher-resource settings have reported similar benefits from electives in lower-resource settings [17, 18, 41, 65,66,67,68]. Trainees have stated that “the complete cultural immersion was an eye opener” [69, 70]. Other benefits reported are improved clinical and communication skills [17, 65, 70,71,72], increased compassion [67], appreciation of the role of the family [73, 74], resource awareness [65, 73], greater appreciation of socioeconomic influences [18, 39, 42, 43], and increased likelihood of choosing a career in primary care, public service, underserved or international settings [29, 39,40,41, 65]. Benefits have also been reported for sponsoring institutions by increasing their attractiveness [28, 72] and developing new curricular materials [75, 76]. Potential benefits for host populations have also been reported [77].
Similar to other trainees from lower-resource settings [17, 26, 27], trainees from Peru reflected on the opportunity to improve their clinical skills and experience different healthcare systems and cultures in a higher-resource setting (Tables 1 and 2). Trainees from lower-resource settings have also reported cross-cultural contrasts in doctor-patient relationships, interactions between colleagues, and use of diagnostic testing [17, 78, 79]. During electives in higher-resource settings, trainees from lower-resource settings might be less likely to perceive negative aspects of the local healthcare system and the impact of social drivers of health [17]. Consistent with that observation and in contrast with the reflections of the trainees from the URSMD, none of the trainees from Peru mentioned these topics in their written reflections. Integrating social care education as part of international exchange programs could help align bilateral learning goals during cross-cultural experiences. Other potentially negative effects are having less hands-on experience and feeling more inclined to pursue training opportunities outside their home country (i.e., “brain drain”) [17, 26, 80, 81], which also emerged as a theme in the reflections shared by trainees from Peru (Table 2).
Potentially negative experiences for trainees who participate in international electives include communication challenges such as language barriers, unclear roles and expectations, unexpected interactions with local trainees, and being perceived as “foreign” [17, 65]. To minimize these negative experiences, and to offer on-site supervision and mentorship as recommended by prior guidelines [82], we structured our program to include at least one supervising provider who is bilingual and familiar with the healthcare systems of both the USA and Peru (KJL, JR, BV, NC). Trainees from both groups also highlighted the importance of the local teams and communities to overcome language barriers (Table 2). Negative experiences may also arise from funding uncertainty, which has not been reported in prior studies. Trainee-1 URSMD wrote: “The cost of living was cheaper and that made the trip affordable for me. I was willing to pay for everything anyway, but it was hard to commit to this experience without knowing if we will get funding or not.” In contrast, trainee-1 Peru wrote: “I had to be very careful with my expenses because the cost of living is so much higher in the U.S. compared to Peru.” Guidelines for international electives have highlighted the importance of accounting for costs [82]. Establishing bilateral exchange partnerships with sustainable funding could ameliorate the potential favoring of trainees who are able to fund themselves [65, 82]. Virtual learning activities could benefit more trainees, but they cannot replace the cultural immersion experience [37].
International electives were initially criticized due to the burden that visiting trainees from higher-resource settings placed on lower-resource settings, and the lack of bidirectional opportunities for trainees from lower-resource settings [41, 83,84,85]. However, exchange programs with mutual opportunities for cross-cultural immersion and global health training, as well as a bilateral focus on mutual, long-term benefits can serve as models of reciprocity that inspire other institutions and help trainees become globally competent providers [17, 26, 37, 65]. Importantly, as proposed by the critical culturalism framework [49, 55, 60,61,62,63], in-depth trainee reflections during international electives can lead to transformations in behavior and attitudes upon returning to their home countries [26, 27, 36]. The knowledge and skills that trainees acquired during our international electives seemed to originate the descriptive themes constructed from their written reflections (Table 1). Additional experiences related to cultural immersion seem to inform reflective themes that include the impact in their abilities to overcome barriers in their home countries and the positive influence their future practice (Table 2). This highlights the transformative capacity of periods of cross-cultural immersion by triggering ethical self-inquiry [27, 41, 86], which has also been reported in cross-cultural experiences with alternative medicine such as Ayurveda [87]. Overall, our findings suggest that including structured periods of supervised cross-cultural immersion, learning and self-reflection could be beneficial for medical trainees. Our findings could also be used to support the creation of learning objectives based on the complementary experiences offered by international electives, as well as evaluations that include a qualitative approach to reflections written during the elective.
Our study is limited by the relatively low number of trainees that completed the international elective and shared their written reflections. Given the anticipated small sample size, we aimed to reach stability of recurrent themes instead of ensuring data saturation. This is a significant limitation; however, we felt that waiting for additional reflections would not significantly alter the recurrent themes that had emerged. Another limitation is the inclusion of last-year medical students and neurology residents, which could limit the generalizability of our results to other training levels and other medical specialties. Our study is also limited by the use of a non-validated instrument with pre-defined questions. The outcomes of international electives have been measured primarily by self-report [18, 26, 39,40,41,42,43]. Few studies have used validated instruments to evaluate knowledge, behavior change or patient outcomes [70, 88, 89]. Future studies should use validated instruments to measure outcomes that can be attributed to international elective participation. Since randomized assignment to comparison groups would be difficult, comparisons could be conducted between trainees who applied and were selected to participate vs. trainees who applied but were not selected to participate [90]. Future studies should focus on the impact of similar programs to establish if enhancing cross-cultural training with periods of cross-cultural immersion could improve long-term knowledge, skills, behavior and patient outcomes.
Conclusions
The trainees who completed the structured international electives offered by the NeuroPro highlighted learning experiences that contrast with and complement those typically available at their home institutions. Similar exchange programs created by long-term institutional partnerships could offer cross-cultural immersion and mutually complementary learning experiences in supportive environments that include formal structure and sustainable funding [2, 48, 49]. Future studies should investigate the impact of cross-cultural immersion and learning on the development of cross-cultural competence.
Data availability
The datasets generated and/or analyzed during the current study are available from the corresponding author on reasonable request.
Abbreviations
NeuroPro:
Neurology Peru-Rochester exchange program
URSMD:
University of Rochester School of Medicine and Dentistry (Rochester, NY, USA)
UNSA:
Universidad Nacional de San Agustin (Arequipa, Peru)
UNMSM:
Universidad Nacional Mayor de San Marcos (Lima, Peru)
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Acknowledgements
The authors thank all faculty and trainees who participated in the activities of the neurology Peru-Rochester exchange program. The authors thank the Department of Neurology, Dr. Robert Griggs, and the Office for Global Engagement at the University of Rochester, as well as the Peruvian American Medical Society and the International Parkinson and Movement Disorder Society for their support of faculty and trainees who participated in the neurology Peru-Rochester exchange program. Dr. Lizarraga would like to thank Dr. Rita Dadiz, Dr. Anne Nofziger and Dr. Ralph Jozefowicz for their mentorship during the Dean’s Teaching Fellowship Program at the University of Rochester. Preliminary results of this work were presented as a poster during the Annual Meeting of the American Academy of Neurology in April 2025 (San Diego, California, USA).
Funding
This work was supported by the 2023–2025 Andrew W. Mellon Dean’s Teaching Fellowship awarded to Dr. Karlo J. Lizarraga at the University of Rochester School of Medicine and Dentistry.
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Department of Neurology, University of Rochester School of Medicine and Dentistry, 4901 Lac De Ville Boulevard, Building D, Suite 120, Rochester, NY, 14618, USA
Karlo J. Lizarraga, Christine Zizzi, Natalia Chunga, Jorge Risco, Blanca Valdovinos & Ralph Jozefowicz
Facultad de Medicina, Universidad Nacional Mayor de San Marcos, Lima, Peru
Luis Miguel Quispe Moore
Facultad de Medicina, Universidad Nacional de San Agustin, Arequipa, Peru
Victor Fernandez Macedo & Isabel Camargo Salazar
Contributions
All authors made substantial contributions to the conception and design of the work. KJL, CZ and RJ acquired, analyzed and interpreted the data. KJL drafted the manuscript. All authors substantively revised the work. All authors read and approved the final manuscript.
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Correspondence to Karlo J. Lizarraga.
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This study was conducted in accordance with the Declaration of Helsinki. Informed consent was not obtained as we received an exempt determination from the Research Subjects Review Board of the URSMD (ID: STUDY00008556, exempt category 1 - educational settings) and we received approval from the Institutional Committee of Research Ethics of the School of Medicine of the UNSA (ID: Number 021 CIEI/UI/FM/UNSA).
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12909_2025_7763_MOESM1_ESM.docx
Additional file 1. Guide to write anonymous reflections during the international electives of the neurology Peru-Rochester exchange program.
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Lizarraga, K.J., Zizzi, C., Chunga, N. et al. Cross-cultural learning during an international exchange program in medical education: a qualitative study. BMC Med Educ 25, 1217 (2025). https://doi.org/10.1186/s12909-025-07763-x
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Keywords
Cross-cultural learning
Cultural immersion
Cultural humility
International exchange program
Global health
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Graduating together: the experience in graduate school of first-generation minority women who participated in an academic support program
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Published: 28 August 2025
Volume 12, article number 1417, (2025)
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Abstract
The study sought to understand the experience of a group of Palestinian Muslim women, citizens of Israel, who are first-generation students in graduate school. The aim was to learn what helped and what impeded their attainment of a graduate degree. The participants were 10 students who are from an interdependent, traditional patriarchal society. They were enrolled as a group in a partially separate track of a graduate program and received intensive academic support. A phenomenological method was used, and data was collected through individual interviews. Findings indicated that participants felt that their success was enabled by their support for each other, and the support provided by college instructors, student services, and their immediate families. They reported gaining professional knowledge and personal empowerment and independence. Based on the results, the components of the intensive support program are highlighted, including studying together as a peer group with some courses given in the mother tongue. The contribution of the current study lies in highlighting the complexity of FGS minority women’s experience in graduate school and in addressing both the challenges they faced and their strengths.
Introduction
First-generation students (FGS) are members of the first generation in their families to pursue studies in higher education. They often have challenging experiences in academia. They tend to have poorer academic achievements than continuing-generation students (Katrevich and Aruguete, 2017; Markle and Dyckhoff Stelzriede, 2020) and face significant social and cultural integration challenges. They also report lower levels of belonging in academia, feel marginalized (Gillen-O’Neel, 2021; Katrevich and Aruguete, 2017) and are less likely to pursue graduate (Master’s degree) or professional studies (Carlton, 2015; Pratt et al. 2019). In the current study we examined the experience of a group of FGS Palestinian Muslim minority women in Israel who completed a master’s level graduate program that included intensive support. As higher levels of education can contribute to social mobility (Breen and Müller, 2020), we aimed to identify and describe those factors that facilitated or hindered their academic accomplishment to learn what can assist with attaining an advanced degree among this population.
Theoretical framework
Most social-cultural theories and research addressing the experiences of FGS have been part of a discourse of deficit, mostly building upon Bourdieu and Passeron’s (1977) conceptual framework. According to this theory, individuals have different levels of cultural capital that affects their circumstances in life, with greater capital increasing one’s social position (Papadakis et al. 2020). Cultural capital includes social class, family background and commitment to education. It is the accumulated repertoire of knowledge, experiences and skills that is structured by one’s immediate environment (Bourdieu and Passeron, 1977). The cultural capital of offspring of higher education graduates focuses on academic education and academic achievement expectations and reflects operative steps and suggestions that can help in planning higher education studies. These individuals are exposed to their parents’ higher education stories, experiences and aspirations and can learn from them. In contrast, the immediate environment of FGS does not provide them with such cultural capital (Ayalon and Mcdossi, 2016; Lareau, 2015). For them, higher education is a new world with its own features, values, norms, and sometimes language. They are less likely to be familiar with strategies required to manage their studies, like navigating the registration process, ascertaining resources of financial support (Pratt et al. 2019) or seeking help from instructors (McCallen and Johnson, 2020; Moschetti and Hudley, 2015; Schwartz et al. 2018). In addition, their parents cannot provide them with information or advice as they do not have this knowledge (Kim et al. 2018; Schwartz et al. 2018).
In consistency with the deficit discourse, the Cultural Mismatch Theory suggests that FGS usually come from interdependent societies and cultures that endorse family and community related values, like helping one’s family or becoming a source of pride for them (Stephens et al. 2012b). In contrast, higher education institutions enhance independence by promoting such values as self-development, self-fulfillment, and individual achievements. Research shows that the mismatch between independent values emphasized by college institutions and interdependent values that are part of FGS identity can be intimidating, causing physiological stress during difficult academic tasks (Stephens et al. 2012b). Thus, FGS face conflicts in which they have to choose between college demands and family commitments (Vasquez-Salgado et al. 2015). Studying in a college that promotes independence can negatively affect their academic achievement and predict a low subjective sense of belonging even at the completion of their undergraduate studies (Phillips et al. 2020; Stephens et al. 2012a; Vasquez-Salgado et al. 2015). Covarrubias and colleagues (2019), who investigated how interdependent and independent values influence the experience of FGS, found that even when they exhibited independence related values, FGS perceived them in the context of helping their families. One participant in their study stated that this was “a means to achieving my parents’ American dream” (p. 402). The authors concluded that students from interconnected families are never fully independent.
Not all FGS research focuses on the deficit discourse, however. Some studies include a more affirming perspective of FGS’ own capital, reflecting on their strengths and capabilities (Blackwell and Pinder, 2014; Ives and Castillo-Montoya, 2020). Based on Bourdieu’s work, Yosso (2005) developed a Community Cultural Wealth model, including six different types of capital: aspirational, linguistic, familial, social, navigational, and resistant (see also O’Shea et al. 2023). It intends to better understand and support marginalized students by valuing their cultural assets rather than seeing them as disadvantaged. FGS students are more likely to have these types of capital based on their accumulated life experiences. Yosso’s model highlights the strengths, resources, and knowledge they already possess, often rooted in their communities and life experiences. For example, West (1996 as cited by O’Shea et al. 2023) points out that experience handling transformations, ambiguity and creativity, which are associated with mothering, can very much prepare students who are mothers for coping with the uncertainty in higher education. From this perspective, familial capital does not have to be expressed only in providing academia related information but also in providing emotional support (Marbach and van Zanten, 2023). The deficit discourse that dominates FGS research does not take into consideration that such types of capital can play an important positive role in defining these students’ academic experience. Still, FGS face many challenges. A closer look at their experience can help reveal more of the types of capital they possess that can contribute to successful coping efforts in academia.
Interventions for bridging the cultural gap
Interventions that target the social and academic disparities that FGS face can make a difference in their adaptation to college life (Kim et al. 2018). Schwartz et al. (2018) studied the effectiveness of an intervention that aimed at cultivating social capital and developing the skills and attitudes needed to create connections with college instructors, staff and mentors who could help promote students’ academic and career goals. Results showed an improvement in the students’ help-seeking behaviors and closer relationships with their instructors. In another intervention by Townsend et al. (2019), Difference-Education, FGS read the stories of senior college students and recent graduates. This helped them understand how their backgrounds affect their experiences at college and helped close the gap in academic achievement. Stephens et al. (2015) introduced a model for personalizing higher education for FGS, claiming that:
Students also need to develop the understanding that school is part of “who I am,” “who I want to become,” and “the future I envision for myself.” Fortifying these school-relevant selves – and the fit and the empowerment with which they are associated – is important because they encourage academic engagement, motivation, and performance (p. 3).
Stephens and colleagues (2015) suggest three channels through which this could be achieved. The first is creating a more inclusive college culture. This can be done by emphasizing values relevant to the background of FGS or increasing the visibility of successful FGS in the college’s promotion materials. The second channel entails building relationships, e.g., creating opportunities to increase interactions with professors and administrators. Finally, they propose the provision of cultural capital, such as allowing FGS to learn the “rules of the game” and get feedback within a safe environment and at their own pace.
First-generation Palestinian Muslim women students in Israel
The current study describes the experience of a group of FGS minority Palestinian Muslim women in Israel in a special intensive support program aimed to facilitate their completion of a graduate degree. Palestinians in Israel are a minority, comprising about 21% (Central Bureau of Statistics, 2024) of the population, with Muslims comprising the largest group among them, 83.7%. Ethnically, they are Palestinians who remained on their land in 1948, with the declaration of Israel’s independence, and received Israeli citizenship. Most live in separate towns and villages and attend segregated Arabic-speaking schools. Generally, the rate of low income and poverty in the Palestinian population in Israel is three times higher than in the majority Jewish population (National Insurance Institute of Israel, 2020). Those who go on to higher education mostly attend Israeli Hebrew-speaking universities and colleges.
On the whole, Palestinian Muslim culture in Israel is interdependent, hierarchical and largely patriarchal. Individuals are expected to comply with and preserve family values and relationships, as these are considered of higher importance than the individual’s own priorities (Dwairy, 1997; Markus and Kitayama, 2010). Women are subordinate to men, and, for many decades, most stayed at home, taking care of the family, as in other traditional societies (Abu-Kaf, 2019). In contrast, the dominant values in the Israeli society are individualism and independence, where a person of any gender is entitled to their own choices and way of life. Most Israeli women work, and the majority of Israeli college students are women (Abu-Kaf, 2019; Ali, 2019).
The last few decades have witnessed significant sociological changes in the Palestinian society in Israel. In the past 10 years, Palestinian women’s higher education rates have doubled, so that two out of three Palestinian students in higher education in Israel are now women (Central Bureau of Statistics, 2025). However, they continue to face significant disadvantages in academia (Meler, 2022), due to several reasons. First, due to the embedded inequality between the Jewish and the Arab educational systems in Israel. The educational system serving Palestinian society in Israel falls off short of its Jewish counterpart in resources and quality, with teaching methods that often rely on passive learning and memorization rather than critical thinking (Abu-Hussain and Abu-Hussain, 2018). Thus, Palestinian students reach academic institutions with significantly lower readiness as opposed to Jewish students. In addition, Arabic-speaking Palestinian students must navigate academic studies in Hebrew. Third, Palestinian students must deal with a challenging cultural transition as they move from their interdependent, collective communities to the Israeli academic setting. These educational and cultural gaps create substantial difficulties for Arab students transitioning to higher education (Halabi, 2023). Moreover, minority women face an underprivileged status that is the consequence of three intersecting social categories that are forms of exclusion: female, minority status, and social class. According to the intersectionality theory (Crenshaw, 1989), FGS minority women thus face an added complexity as they must navigate challenges imposed by all three forms of exclusion. Although research from an intersectionality perspective is limited, it shows that the experience of female FGS includes three dimensions of challenges: their identity, the availability and the sources of their support system, and their socioeconomic status (Leyva, 2011; Kim et al. 2021; Rascon, 2012). Female FGS struggle to manage the different roles that their culture and family anticipate of them. This is even harder when they do not receive support from their families and friends. In addition, Palestinian women in Israeli academia often experience marginalization not only due to their gender but also because of their ethnonational identity, which can lead to feelings of isolation and tension in academic environments. This marginalization is compounded by societal expectations that prioritize traditional roles for women (Binhas, 2023). What helps this cohort reach success is exploring their identities beyond being wives and mothers and having relationships with peers who are of the same age and with faculty advisors (Chavez, 2015; Kim et al. 2021; O’Shea et al. 2014).
Generally, in Israel, acceptance criteria are higher, and research is emphasized more at universities than in colleges. Colleges also tend to be located in more rural areas and are therefore often closer to Palestinian villages. These two features make colleges more accessible for socially disadvantaged groups than universities. Studies addressing the higher education experience of Palestinian Muslim women in Israel indicated that the main factors contributing to their success were family support spousal support and their positive perceptions of higher education (Oplatka and Lapidot, 2012). Nonetheless, FGS Palestinian Muslim women who venture into higher education are challenged by multiple cultural gaps: their mother tongue is Arabic whereas the teaching language is Hebrew; they are unfamiliar with college life; and they come from an interdependent, patriarchal and hierarchical society (Arar and Masry-Herzalah, 2014), where they are still expected to fulfill their duties and roles as wives, mothers and daughters.
The current study: context, purpose, and research questions
FGS Palestinian Muslim women apply to and attend Israeli higher education institutions through a standard process like any Israeli student. In recent years, and due to the abovementioned cultural and academic gaps, several committees established by policy makers, have recommended steps to promote Palestinian students’ access to higher education. Several of these steps have been adopted, including orientation and academic support programs; however, as it appears, more needs to be done (Arar and Haj-Yehia, 2016).
In the case of the college under study, the department administrators tailored a special track to the scholastic and cultural needs of a group of FGS Palestinian women with low academic readiness. The program included the following features: 1. Pre-requisite preparatory undergraduate courses offered at the college. 2. The students studied as a group throughout their degree. 3. Some courses were taken separately from regular classes to allow the women to feel comfortable enough to inquire and ask questions; 4. These separate courses were taught in Arabic, their mother tongue. 5. Personal tutors were assigned by student services at the college, mainly to provide assistance with assignments.
The aim of the current qualitative-phenomenological study was to describe and understand the participants’ experience during their graduate degree to identify what can enhance or impede attainment of graduate level education from their point of view. We posed the following research questions: (1) What is the meaning of studying in graduate school for the participants? (2) What is the experience of studying in graduate school? (3) What helped and what impeded studying during graduate school? (4) What are the advantages and disadvantages of studying in graduate school?
Methods
A phenomenological approach was used (Allman et al. 2024; Colaizzi, 1978) because it allows to examine the perspective and subjectivity of participants that are considered expert informants of a certain phenomenon. Reality is viewed as dependent on the interpretation given by each individual experiencing it. In the analysis, the most basic commonalities among participants are identified to describe the phenomenon studied (Allman et al. 2024).
Participants
A purposive sampling was used (Creswell and Creswell, 2023). Participants were a group of 10 Palestinian Muslim women in Israel who had just completed their last year in a graduate program in school counseling in a college in northern Israel. Initially, they had a very low predisposition and academic readiness for graduate studies. Not only did they come from a different culture than the dominant one in Israel, but they also had limited Hebrew-speaking and writing abilities and familiarity with this culture. All participants had completed an undergraduate degree, most in education, taught in Arabic, in an extension of a non-Israeli institution. Upon graduation, they realized that their degree was not accredited in Israel and that they would not be able to work in their profession in the country. To rectify the situation and offer an Israeli accredited degree, the undergraduate college approached another Israeli college (the current college) and a special program was developed for these students in the current college. Participation in this special program required they meet the admission criteria and pass a personal interview. Those who then successfully completed a year of pre-requisite undergraduate courses were accepted into a graduate program in school counseling. Ultimately, 10 women successfully completed the prerequisites and continued on to the graduate degree (the study participants).
The mean age of participants was 35.30 (SD = 6.8. range 25–47). Seven of them were married, one was divorced, and two were single. Eight had children (M = 2.75, SD = .89, range 2–4) ranging in age from 2 months to 22 years (M = 11.87, SD = 5.77). Most participants reported average or above average family income; four reported income below or way below average. All participants live in Palestinian villages. All seven husbands were employed; of these, four had a high school diploma, two had a post-high school education and one had a graduate degree. The parents of nine of the 10 participants had no higher education, and over half (55%) had no more than an elementary school education. One mother (5%) had no formal education, 10 parents (50%) completed elementary school, five (25%) completed high school, two fathers (10%) had a post-high school education, and one married couple (10%) had a bachelor’s degree each. Thus, one of the participants was not FGS. Nine of the 10 fathers had a history of employment, mainly in blue collar jobs, while nine of the 10 mothers were homemakers (the 10th was a teacher). In their family of origin, participants had 3–12 siblings (M = 6.10, SD = 3). Half had siblings with a college degree (three with an advanced degree).
Measures and procedure
The research team consisted of the authors, who are women, instructors in a school counseling graduate program. The first author is an Israeli Christian Palestinian, who is non-FGS but is part of the Arab-Palestinian culture and community. The second author is Jewish, a qualitative researcher, and has taught and supervised Arab students for over 20 years, becoming familiar with the intricacies of the culture. The first phase of the study included a “bracketing” process (Creswell and Poth, 2018) by both authors, which continued throughout the research. Bracketing in phenomenological studies involves journaling self-reflection, to make the researchers’ biases, expectations and prejudices regarding the phenomenon studied as conscious as possible, so these can influence data collection and analysis as little as possible. Overall, the bracketing process enabled the first researcher to be aware of her points of identification with the participants and the second author to allow herself to put her prior knowledge “aside” and be open to what emerged in the interviews.
Next, at the conclusion of the graduate program, participants were given information about the study by email and offered the possibility to participate. All members of the group were interested in participating. The measures consisted of a demographic questionnaire and a semi-structured interview based on the research questions. Data collection was conducted in 2018 and participants filled out a consent form that included information about their right to discontinue participation at any time without this affecting their academic evaluations, as well as assurances of anonymity (all names below are pseudonyms), and the demographic questionnaire. Finally, participants were interviewed individually in Hebrew in a private space in the college by the second author. The interviews lasted about an hour and were audiotaped and transcribed verbatim. The first interview was used to check the appropriateness of the interview guide and minor adjustments were made.
Data analysis
The second author conducted the analysis, based on Colaizzi’s (1978) phenomenological method (see also Allman et al. 2024), and the first author served as an auditor of the themes. The analysis included: (a) reading the interview protocols to get a sense of what was said, (b) extracting meaningful statements from each protocol; (c) giving meaning to each statement; (d) identifying clusters of themes from shared meanings (themes were usually deemed significant when they were common to at least half the participants). At this stage themes were also compared to the interview protocols to check for the accuracy of the interpretation: (e) developing a rich description of the phenomenon based on the clusters of themes; (f) describing the essence of the phenomenon by identifying its most basic elements; and (g) returning to participants for validation of the results by soliciting their input regarding the accuracy of the descriptions.
Findings
The findings are presented according to the themes and sub-themes that were identified. When less than half the participants mentioned a sub-theme, this is specifically noted. Quotations were translated from Hebrew.
Surprise, hope and misgivings
Participants began by describing how they discovered, upon completion of their undergraduate studies, that their degree did not afford them accreditation in Israel. Four of them stated they were shocked, disappointed, angry, and despondent, and some felt deceived by their undergraduate academic institution. All participants were surprised to be offered the chance to attend graduate school at an Israeli college and could not believe their good fortune. They felt that not only would their undergraduate degree “count for something,” but that they had been given an unexpected opportunity to go even further and earn a Master’s degree. This felt like a “miracle” and “dream,” and they hoped it would bring change in their lives and the lives of their families. Being the first generation of college students in their families, most had not even considered graduate school a possibility. Amal said:
I was excited … because I didn’t plan to study a Master’s degree. It was like an offer from the college, and like a distant dream, and I received it on a [silver] platter… When I heard that I could do it, it was like a dream … [Previously] I had a dream to finish [the B.A.] and work, and like [those] dreams were shattered when they said the diploma was not accredited. And I was in shock, and when they called me from [the college] that they would also recognize the diploma that I did, it gave me a bit of, how do you call it? A bit of light. [Interviewer: hope?] Yes, hope.
Despite the excitement, the opportunity also brought concerns and fears that the degree would be too demanding, and they would fail. Having previously studied in Arabic-speaking institutions, they feared that needing to understand and write in Hebrew would be a significant barrier to completing the degree. Safaa said:
At first, I was confused about this program because I couldn’t believe it. Really, I wasn’t sure I could do it…. I was very, very scared. Afraid of failure, to not succeed. Because I was always afraid of applying to study in colleges … in Israel because of my language [abilities]. I was afraid that my language [wasn’t good enough].
Although the participants did not spontaneously refer to themselves as FGS, possibly not being aware of the term, their doubt about their ability to study in graduate school is in line with the view that FGS lack cultural capital appropriate for success in academia (e.g., Ayalon and Mcdossi, 2016). Their experience mirrored that found in previous studies in which FGS were less likely to consider graduate education, faced significant challenges trying to find their place in academia and felt they did not belong there as much as other students (Gillen-O’Neel, 2021; Katrevich and Aruguete, 2017).
Graduate school experience
Hard work and personal and professional empowerment
Most participants stated that, on the whole, they enjoyed their studies, the classes, the academic program, their student group, the instructors and the college atmosphere, but also had difficulties. They described three characteristics of their experience during graduate school: (a) difficulty, overload, stress and strain; (b) sources of support; (c) personal and social implications of the academic experience.
Difficulty, overload, stress, and strain
Participants pointed to very few disadvantages of the graduate program but did cite four main negative characteristics of their college experience: (a) an intense schedule, (b) high level of academic demands and fear of failure; (c) conflict of roles; and (d) social criticism.
All participants described feeling stressed and overburdened. The days at the college were quite long, and some of the participants were also taking classes towards a teaching certificate in a different institution. This created a very busy week and an intense schedule. Zahira, who provided for herself, described her situation:
I have the house [to take care of], to pay [expenses], to work, to come [to the college]…. Sometimes … when we would come [to study] in the afternoon … I would work in the morning. It was difficult to come after a day of work … but when else could I work? … When I worked mornings, it was difficult for me to make a presentation [at the college] the same day … [so] I would [have to] miss work.
In addition, all participants mentioned that the academic level at the program was very high and said they had problems with the Hebrew language. They often felt frustration, difficulty and fear that they would not succeed. Israa said:
I wrote a paper [for] Dr. [Z] and there was a paper – at first, I didn’t, you know, there are instructions for the paper, and I did nothing of that and he wanted to give me a failing grade. I spoke with him and told him that I really don’t know how to write a paper…. And in the methodology course, methodology, I always tell them [that] in math, with numbers, I have dyscalculia, I know it. And I was very worried that I wouldn’t succeed in the repeat course.
All participants mentioned difficulty juggling schoolwork and family life. Most felt that school was impinging on their time at home or that responsibilities at home created an extra load making studying more difficult. Half felt that their studies were at the expense of their children, husband, and housework. Yara said about her children:
There were situations of exam periods and paper [submission] time, [when] I would hardly see them for almost two months …. I would be with them but not [really] with them…. I would study at home, but I’m in my room and they’re outside with their father. If they came to ask me something, I would say “go to daddy” [laughs]…. They say “mommy” ten times and only then I answer. Sometimes, yes, it was difficult. And it was at the expense of the home and the girls and my husband.
As opposed to feeling supported by their own and husband’s immediate families, they felt that their society overall was not supportive of their educational endeavors. Although they did not explicitly use the term “patriarchal norms,” they seemed to suggest that living in a society with traditional values limited the opportunities and support they received for their academic studies. Suha said:
I think that our experience is similar to [that of] every Arab woman. That of going to, like, study. Especially a woman who has children, a married woman… I understand that it’s very difficult in Arab society. Arab society doesn’t let, doesn’t allow a … woman to go out, to go forward. But my family really supported [me]. That’s what helped me. But our experience or the experience of the group is very similar to the experience, the experience of every Arab woman.
Six of the women mentioned they felt criticized by their husband’s extended family. Criticism mainly included suggesting that they are wasting time and money to no avail and that a woman should stay home and not study. They also noted that they were the objects of gossip, envy and lack of support from these extended family members. This aspect of their experience is likely the consequence of the traditional role expected of women in a patriarchal society (Abu-Kaf, 2019).
Sources of support
Participants mentioned three types of support that aided them during graduate school: (a) the student group; (b) immediate family members; and (c) college resources and instructors. All participants stated that their peer group played an extremely important role in their academic achievements. Most knew each other from the previous unaccredited program. With their peers they felt “at home, like a family.” They described frequent interactions that included sharing openly and meeting as a group. The other group members were a source of support, caring, assistance, consultation and encouragement for each other. As Suha described it:
It also encouraged me, gave me confidence, that we are in the same, in the same situation, same difficulties, same difficulties. We would encourage each other…. For example we would update each other all the time … and we would consult. If someone had difficulty with something, she could get advice. We have our own WhatsApp group. We would always push each other … It was very empowering, feeling that someone [is] from the same environment, [in] the same place … We were very cohesive.
All participants mentioned that their close family members were also a source of support. These included their family of origin, and married participants also noted support from their husband and his immediate family. Six of the eight mothers stated they received help with childcare. In addition, the participants reported they received tutoring through the Student Affairs department, which they mainly used for help writing assignments. Some reflected on the process throughout the degree, indicating that they think they learned a great deal from this assistance, becoming able upon graduation to write independently. Amal said:
I had difficulty with academic writing, but the college also helped us. From day one, they came as a team [and] said “you have [student services], you have tutoring. Go and get it.” And they would come every week and it’s true that our writing was bad, but I took tutoring hours and it really helped me. Now I sit at home and write and go to tutoring and [the tutor] just corrects a bit and that shows me that, wow! I did something, not only studies. [Interviewer: Not just studies. That you developed]. Yes, in [my] writing [skills].
The women also felt that the program instructors were very helpful and considerate, providing support and encouragement. They said they were highly approachable and responded readily when contacted. Amal said:
Frankly, all the instructors, if you want something, you get a response quickly. Even if not on the same day, on the next day, and that I also didn’t find in the [previous] college…. And here I ask a little question, and they answer me. And that gives you, that breaks the ice between you and the instructors. [It makes] you feel comfortable. They don’t have [the attitude] that they have more, that their thoughts are greater than mine and all that.
In accordance with both the Community Cultural Wealth Model (Yosso, 2005), and the Cultural Mismatch Theory (Stephens et al. 2012b) the participants’ ability to utilize the different sources of support they already had and that were provided by the college, was a way to counteract the mismatch between their own interdependent culture and the individualistic culture of academia. Thus, they were able to use their sources of strength while learning to feel “at home in school” (Stephens et al. 2015). In addition, as suggested by others (Chavez, 2015; Kim, et al. 2021; O’Shea et al. 2014), their support for each other and their advisors’ support contributed to their success in managing their different roles.
Personal and social implications of the academic experience
All participants reported that their studies enabled them to gain valuable knowledge, professional skills and experience, as well as academic skills. They learned to work with children and adolescents in schools, and with staff and parents, providing personal and group counseling and delivering intervention programs. Dina said: “[I gained] experience with people. In my practicum I saw all kinds of cases, all kinds of people and it made me feel that, as a school counselor, I can have a broader [perspective]”. Most participants mentioned that the program improved their speech and writing skills in Hebrew, which they found valuable. This required, however, a great deal of effort and intensive assistance from college instructors and staff, mainly in correcting papers multiple times.
All students also felt that they experienced personal development during the program, gaining an increased sense of intra-personal awareness, self-esteem and confidence and a greater ability to express themselves out loud. Most also felt more independent, responsible and self-reliant. Having completed the graduate program, they could now handle interactions with others better and felt more open and accepting than before. Eight mentioned that they had acquired interpersonal understanding and skills that help them with their lives and relationships with others, especially family members. Six felt that their ability to contain others’ feelings had deepened. More than half reported better emotional regulation and stated that they were less impulsive, calmer and had greater control over their feelings. In Yara’s words:
The change has many aspects to it. One aspect is my personality. I changed a lot. I became a responsible person. [I] trust myself very much with many things. And I have higher self-esteem than I had before. I changed many traits that I didn’t notice before. [Like] not listening until the end [of the sentence] or being judgmental towards everyone. Today I look at a person, I never judge, even if he comes to me and speaks badly to me. So I look at what’s behind, behind this act or this … [Interviewer: Behavior] behavior. There’s some background that made him speak to me this way…. I don’t judge and don’t get angry and don’t, yeah, I don’t. That’s something that changed a lot in me.
All participants also believed that their advanced degree is socially valuable and will allow them to have a meaningful occupation and a higher status and worth in society. According to research, exploring their identities beyond being wives, mothers, or daughters supports them in handling the different roles imposed on them in academia (Chavez, 2015; Kim, et al. 2021; O’Shea et al. 2014). Zubaida said:
A Master’s degree is a different status. A higher status. There is an opportunity, a chance to find work, easier than [with] a Bachelor’s degree. [They] look at where you studied. For me now, [they] don’t look at the bachelor’s degree, [they] see that I studied at [the college]. Wow! [The college]! That’s a high level. Wow, [the college] is a high level and known in all of Israel, that it’s the [X] largest college in Israel. So, it has its reputation.
Half of them felt a sense of vindication and an ability to prove wrong all those who looked down on them because of their unaccredited undergraduate degree. They also felt they could transcend traditional societal norms by earning a degree. Safaa said:
The people around [us] would not respect us. “What is [the former college]? The [former college] is not accredited….” “What is this? You are wasting time, wasting money on nothing.” I wanted to prove myself. [It was] difficult, difficult but [I] proved myself. I also wanted to continue [studying]. Now I have continued my studies in teaching based on my Bachelor’s degree at [the current college], not based on the [former college].
Most participants relayed feelings of pride, happiness and excitement about the great achievement of finishing their studies after several years of formidable effort. They felt they had succeeded despite their fears, the obstacles they faced and the hard work required. Suha described her sense of achievement:
First of all, it’s pride. A feeling that I’m special. There aren’t many in our village with a Master’s degree. It’s a social status too. It gave me a feeling of efficacy, of strength, that yes, I can! I’m not weak. Despite all the difficult situations, despite everything, despite my difficult experience, I also succeeded. I coped. And yes, I’m very proud of that. Yes.
Israa described part of the process she went through during her studies and her feelings of accomplishment:
At first I was afraid all the time [to speak] in front of all the students, all the Arab and Jewish students. And I was always closed within myself, not wanting to speak. But with time and practice, today I can sit and talk. Right, my [Hebrew] language isn’t that [great], but I’m happy with myself, happy for myself.
In completing their degree and experiencing a new sense of empowerment and pride alongside newly acquired skills and abilities, the participants were able to transcend the forms of exclusion (Crenshaw, 1989) that they faced as minority women from an underprivileged background in a patriarchal society.
Discussion
In the current study, we explored the experience of FGS minority women to highlight factors that impeded or facilitated the attainment of a Master’s degree as well as the implications of this experience for these women. Overall, the students reported a gap between their skills and knowledge and those required to complete the degree. They felt that the academic level of their studies was very high and experienced feelings of uncertainty and great concerns that they do not belong and that they might fail, not unlike FGS in previous studies (Carlton, 2015; Gillen-O’Neel, 2021; Pratt et al. 2019). These findings resonate with Bourdieu and Passeron’s (1977) cultural capital concept and the Mismatch Theory by Stephens et al. (2012b). Both frameworks point at cultural gaps that can hinder FGS success in higher education. Nonetheless, despite the language barrier and both academic and psychological challenges, as mentioned earlier, the participants’ account includes also hope and optimism, a sense of accomplishment and pride in overcoming immense challenges. Having a graduate degree meant a higher social status and new professional opportunities. It also provided an opportunity for significant personal development and increased sense of self-worth.
Although the participants did not refer to themselves as FGS, overall, their ability to complete their studies gave them a sense of empowerment and increased their self- and societal worth. They proudly talked about their success in overcoming obstacles and attaining the degree. They emphasized the contribution of this success to raising not only their social status, but also their families’ wellbeing and status, thereby alluding to how their interdependent values influenced their perception (Covarrubias et al. 2019; Kusserow, 2012; Stephens et al. 2012b).
Several factors contributed to the participants’ success and attainment of their Master’s degree. Their experience studying as a cohesive group provided mutual support and helped them overcome possible intimidation by unfamiliar values common in higher education. It allowed them to pursue independence from within their small interdependent group. This experience is reminiscent of Stephen and colleagues’ (2015) model of “feeling at home in school” by “making school relevant to the self.” In addition, the students received self-affirmation and empowerment through three channels: immersing themselves in an inclusive college culture, building relationships with instructors and bridging the cultural capital gap. The college’s intensive support was attuned to their needs: the Arabic-speaking instructors, the preparatory courses, the tutoring and the open communication channel with instructors helped the students feel more informed and confident and less stressed, similar to interventions described elsewhere (McCallen and Johnson, 2020; Moschetti and Hudley, 2015; Schwartz et al. 2018).
Viewing these findings through the lens of intersectionality theory (Crenshaw, 1989) allows for a deeper understanding of the interconnected challenges faced by FGS minority women. Their experiences in graduate school were not shaped by a single identity but by the dynamic interplay of multiple social categories: gender, ethnonational identity, socioeconomic status, and educational background (Binhas, 2023; Kasworm, 2010). These intersecting identities produced compounded forms of marginalization, such as the cultural mismatch in academia (Bourdieu and Passeron, 1977), the internal pressure to meet familial and societal expectations (Binhas, 2023), and the persistent fear of not belonging (Phillips et al. 2020). At the same time, their identity as women from interdependent cultures shaped their sources of resilience and motivation, allowing them to draw strength from familial ties and community solidarity (Oplatka and Lapidot, 2012). In contrast to a previous study regarding FGS (Vasquez-Salgado et al. 2015), our participants did not report that they had to choose between college and family demands but rather received support from their immediate family. Instead of seeing their background only as a challenge, the participants used their personal growth and sense of responsibility to their families and communities to stay motivated and keep going in their studies (Marbach and van Zanten, 2023). Looking at the participants’ experiences through the lens of intersectionality shows not only how complex their challenges really were but also reveals the many layers of support and strength that helped them succeed.
When viewed through the lens of Yosso’s (2005) Community Cultural Wealth (CCW) model that supports a more affirming perspective of FGS’ own capital, the findings of this study highlight not only the challenges FGS minority women face, but also the diverse forms of capital they bring with them into higher education that often goes unrecognized in deficit-oriented frameworks. Rather than framing these women primarily in terms of what they lack compared to traditional students, our findings reveal how their lived experiences provided essential resources for success, resilience, and growth. Participants demonstrated aspirational capital in their persistent pursuit of graduate education despite systemic barriers and internal doubts about belonging. Their strong desire to earn a Master’s degree and to elevate not only their own status but also their families’ reflects deep-rooted motivation and hope for upward mobility. This is especially meaningful in interdependent cultures, where personal goals are often deeply connected to family and community aspirations (Covarrubias et al. 2019).
Familial capital appeared as a significant form of support. Contrary to common assumptions in deficit discourse concerning FGS (Ayalon and Mcdossi, 2016; Lareau, 2015), the participants in this study reported conflict between academic and family or work responsibilities but also emphasized the emotional and instrumental support they received from spouses and immediate families, which served as a crucial resource in navigating academic challenges (Oplatka and Lapidot, 2012). As Marbach and van Zanten (2023) suggest, familial support does not have to be academic in nature to be impactful; its emotional grounding can provide essential stability in demanding environments. In our study, the immediate family also gave instrumental support, such as childcare. Moreover, social capital was clearly present in the participants’ group dynamic. They formed a cohesive, supportive peer group that allowed them to share coping strategies, reduce feelings of isolation, and build a sense of collective belonging within an unfamiliar academic space. Thus, relationships within their educational environment reinforced confidence and facilitated academic persistence. Participants also showed signs of navigational capital, as they successfully learned to operate within a higher education system that was culturally unfamiliar and, at times, alienating. They showed independence and flexibility by forming relationships with their instructors, using tutoring services, and making the most of the culturally responsive support.
The findings of this study suggest that FGS minority women possess a range of cultural and social resources that contribute meaningfully to their academic success. By viewing their experiences through Yosso’s (2005) Community Cultural Wealth model, it becomes clear that forms of capital such as familial support, aspirational motivation, peer solidarity, and navigational skills can play a critical role in shaping their graduate school journey even as first-generation minority women students (Blackwell and Pinder, 2014; Ives and Castillo-Montoya, 2020).
These insights call for recognizing the strengths and forms of capital that these students bring. Higher education institutions can better support FGS by fostering inclusive, culturally responsive learning environments, such as offering instructions in students’ native languages, creating opportunities for peer connection, and valuing diverse forms of support in addition to meaningful academic support, such as tutoring. Ultimately, this study highlights the importance of designing institutional programs that affirm the identities and life experiences of FGS minority women, coupled with intensive academic support, allowing them not only to succeed academically but also to grow personally and socially.
The main study limitation is that our conclusions are based on the subjective self-reports of a small number of participants, thereby limiting the generalizability of the findings. In addition, one of the participants was not FGS. Nevertheless, the phenomenological analytic method identifies commonalities among participants. Hence, if her responses were different, they were not included in the themes identified. Future studies can explore FGS experience among a larger sample and include multiple informant groups (e.g., family members, instructors, college administrators). Another limitation is that the study was conducted in a college—as opposed to a university, which in Israel has stricter acceptance criteria and academic demands, such that the cultural and academic gaps can be expected to be even larger. It would be interesting for future studies to draw on the experience of Palestinian Muslim women at Israeli universities. Third, both authors taught the participants during their studies, and although the participants were interviewed upon completion of their degree and their familiarity with the interviewer may have enhanced rapport and openness, it could also have influenced their responses. Finally, the interviews were conducted in Hebrew by a non-Palestinian interviewer, and this may have limited participants’ ability to express themselves fully. In future studies, it is recommended that data collection be conducted by a researcher from the same cultural background as participants.
Data availability
Due to the sensitive nature of the interview data involved, which includes personal and confidential information of participants, we are unable to share the dataset publicly. Sharing this data could potentially breach the confidentiality assurances given to participants. However, all private information has been anonymized. Therefore, data may be made available upon reasonable request, provided that the request meets ethical and privacy standards.
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Acknowledgements
We would like to thank the 10 graduate students who participated in the study the Council for Higher Education, Planning and Budgeting Committee, 2017–2020, under grant No. 3401.58-871.
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Authors and Affiliations
Dept. of Behavioral Sciences, The Max Stern Yezreel Valley College, Yezreel Valley, Israel
Lubna Tannous-Haddad
Depts. of Education and School Counseling, The Max Stern Yezreel Valley College, Yezreel Valley, Israel
Efrat Hadar
Contributions
Authors contributed equally to the study.
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Correspondence to Lubna Tannous-Haddad.
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Approval was granted by the Council for Higher Education, Planning and Budgeting Committee and the College Deans’ Office (2017, 3401.58-874). This study was performed in line with the principles of the Declaration of Helsinki. Approval was granted by the Council for Higher Education, Planning and Budgeting Committee and the College Deans’ Office (2017, 3401.58-874), in July 2017. The approval included data collection and publication.
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Tannous-Haddad, L., Hadar, E. Graduating together: the experience in graduate school of first-generation minority women who participated in an academic support program. Humanit Soc Sci Commun 12, 1417 (2025). https://doi.org/10.1057/s41599-025-05808-6
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English
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128k
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T6. Aggregation & Clustering
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T6.1 Large-Scale Document Clustering
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Full
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Cluster the 8 documents (IDs: A–H) by research methodology into exactly three clusters: Randomized trial/protocol; Quantitative observational; Qualitative. Output the "[Answer]" identifier first, and then output the three clusters in the format "ClusterName Proportion% (rounded to two decimal places)" line by line, without any additional content.
Output example:
[Answer]
Randomized trial/protocol 25.00%
Quantitative observational 25.00%
Qualitative 50.00%
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Cluster the 8 documents (IDs: A–H) by research methodology into exactly three clusters: Randomized trial/protocol; Quantitative observational; Qualitative. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the three clusters in the format "ClusterName Proportion% (rounded to two decimal places)" line by line.
Output example:
<Your thinking process>
[Answer]
Randomized trial/protocol 25.00%
Quantitative observational 25.00%
Qualitative 50.00%
|
[
"Randomized trial/protocol 12.50%",
"Quantitative observational 62.50%",
"Qualitative 25.00%"
] |
Easy
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e05d69d0f0f2d51d34fe5aede86ea6d0f5059e3a2eef846575513e72af004d1e
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国务院办公厅关于优化完善
地方政府专项债券管理机制的意见
国办发〔2024〕52号
各省、自治区、直辖市人民政府，国务院各部委、各直属机构：
为更好发挥地方政府专项债券（以下简称专项债券）强基础、补短板、惠民生、扩投资等积极作用，经国务院同意，现就优化完善地方政府专项债券管理机制提出如下意见：
一、扩大专项债券投向领域和用作项目资本金范围
（一）实行专项债券投向领域“负面清单”管理。将完全无收益的项目，楼堂馆所，形象工程和政绩工程，除保障性住房、土地储备以外的房地产开发，主题公园、仿古城（镇、村、街）等商业设施和一般竞争性产业项目纳入专项债券投向领域“负面清单”，未纳入“负面清单”的项目均可申请专项债券资金（《地方政府专项债券禁止类项目清单》详见附件1）。专项债券依法不得用于经常性支出，严禁用于发放工资、养老金及支付单位运行经费、债务利息等。
（二）扩大专项债券用作项目资本金范围。在专项债券用作项目资本金范围方面实行“正面清单”管理，将信息技术、新材料、生物制造、数字经济、低空经济、量子科技、生命科学、商业航天、北斗等新兴产业基础设施，算力设备及辅助设备基础设施，高速公路、机场等传统基础设施安全性、智能化改造，以及卫生健康、养老托育、省级产业园区基础设施等纳入专项债券用作项目资本金范围（《地方政府专项债券可用作项目资本金的行业》详见附件2）。提高专项债券用作项目资本金的比例，以省份为单位，可用作项目资本金的专项债券规模上限由该省份用于项目建设专项债券规模的25%提高至30%。
二、完善专项债券项目预算平衡
（三）优化专项债券额度分配。额度分配管理坚持正向激励原则，统筹考虑党中央、国务院确定的重大战略和重大项目支出需要，根据各地区债务风险、财力状况、管理水平，以及地方项目资金需求等情况合理分配，确保向项目准备充分、投资效率较高、资金使用效益好的地区倾斜，提高专项债券规模与地方财力、项目收益平衡能力的匹配度。
（四）做好专项债券项目融资收益平衡。对专项债券对应的政府性基金收入和项目专项收入难以偿还本息的，允许地方依法分年安排专项债券项目财政补助资金，以及调度其他项目专项收入、项目单位资金和政府性基金预算收入等偿还，确保专项债券实现省内各市、县区域平衡，省级政府承担兜底责任，确保法定债务按时足额还本付息，严防专项债券偿还风险。
（五）完善专项债券项目“一案两书”制度。研究制定专项债券项目实施方案标准化模板，依托信息系统统一项目实施方案要素和内容，减少中间环节和成本。简化财务报告和法律意见书，严格要求中介机构履职尽责做好项目资料审核工作，公平、公正、客观出具中介报告。
三、优化专项债券项目审核和管理机制
（六）开展专项债券项目“自审自发”试点。下放专项债券项目审核权限，选择部分管理基础好的省份以及承担国家重大战略的地区开展专项债券项目“自审自发”试点，支持经济大省发挥挑大梁作用（《地方政府专项债券项目“自审自发”试点地区名单》详见附件3）。试点地区滚动组织筛选形成本地区项目清单，报经省级政府审核批准后不再报国家发展改革委、财政部审核，可立即组织发行专项债券，项目清单同步报国家发展改革委、财政部备案。
（七）打通在建项目续发专项债券“绿色通道”。对“自审自发”试点地区以外的省份，完善项目审核“绿色通道”机制。对于已通过国家发展改革委、财政部审核且需要续发专项债券的在建项目，无需重新申报，经省级政府审核批准后可直接安排发行专项债券，同步报国家发展改革委、财政部备案。
（八）建立“常态化申报、按季度审核”的项目申报审核机制。对“自审自发”试点地区以外的省份，建立“常态化申报、按季度审核”机制。各地专项债券项目经省级政府审核批准后，依托国家发展改革委、财政部两部门信息系统常态化报送，其中，应在每年10月底前完成下一年度项目的集中报送，并在次年2月底、5月底、8月底前分别完成该年度第二季度、第三季度、全年项目的补充报送。两部门全年向各地开放信息系统，每年3月、6月、9月、11月上旬定时采集地方报送数据，并于当月内下发审核结果。
四、加快专项债券发行使用
（九）加快专项债券发行进度。各地要在专项债券额度下达后及时报同级人大常委会履行预算调整程序，提前安排发行时间，及时完善发行计划，做好跨年度预算安排，加强原有专项债券、已安排项目同新发债券、新项目的有机衔接，统筹把握专项债券发行节奏和进度，做到早发行、早使用。要根据项目实际情况，综合考虑项目建设运营周期、到期债券年度分布等因素，科学确定发行期限，均衡分年到期债务规模。允许专项债券用于在建政府投资项目，优先保障在建项目资金需求，防止形成“半拉子”工程。
（十）加快专项债券资金使用和项目建设进度。省级财政部门要建立定期调度机制，加强与同级发展改革部门和项目主管部门分工协作，层层压实责任，督促市县财政部门及时拨付已发行专项债券资金，督促项目主管部门和项目单位加快资金使用。省级发展改革部门要会同有关方面加强在线监测、调度督促和现场检查，分级分类做好要素保障，推动项目加快开工建设，尽快形成实物工作量。
（十一）加强专项债券资金使用监管。加快完善专项债券资金监管机制，实行专户管理、专款专用，严防挤占、截留和挪用。地方各级财政部门要依托信息系统，对专项债券资金实施穿透式监管，动态掌握资金使用、项目运营、专项收入、资产等方面情况，将所有专项债券项目全部纳入信息系统覆盖范围。加强发展改革、财政部门信息系统互联互通，及时共享项目开工建设进度、安排债券规模、资金支出进度等信息。
五、强化专项债券全流程管理
（十二）加强专项债券项目资产管理。建立专项债券项目资产明细台账，分类管理存量项目资产，防范以项目资产抵押融资新增地方政府隐性债务和国有资产流失等风险。规范新增项目资产核算，明确行政事业单位和国有企业资产登记处理方式，确保项目对应的政府负债和资产保持平衡。
（十三）建立专项债券偿债备付金制度。完善专项债券偿还机制，鼓励有条件的地方建立专项债券偿债备付金制度，“自审自发”试点地区要加快建立偿债备付金制度。严格落实专项债券项目主管部门和项目单位责任，抓好专项债券项目收入征缴工作，保障专项债券偿债资金来源。对收入较好的项目，允许动态调整全生命周期和分年融资收益平衡方案，支持提前偿还债券本金。
六、加强专项债券监督问责
（十四）加大监督问责力度。严肃财经纪律，坚决遏制违规使用问题，对日常监管中发现的专项债券资金闲置和违规使用等问题，督促各地逐笔逐条建立问题台账，严格落实整改要求。对新发生违法违规使用专项债券资金问题的“自审自发”试点地区，情节较轻的，限期整改；情节较重的，停止试点。财政部要对试点地区加强跟踪检查，定期核查专项债券使用情况，对发现存在违法违规问题的行政事业单位和国有企业等，会同相关监管部门按照职责分工依法实施惩戒，选取典型案例公开通报。对不符合发行要求但已发行专项债券的地区，在以后年度新增专项债券额度分配时予以扣减，省级政府要暂停相关市县在建项目续发专项债券“绿色通道”。各级财政部门要对违规使用专项债券资金的地区，依法依规采取扣减限额、约谈通报、考核监督等方式严肃处理，并定期通报典型问题案例，发挥警示教育作用。各级审计部门要依法加强对专项债券的审计监督，继续将专项债券管理使用情况作为地方党政领导干部经济责任审计等审计项目的重要内容。
（十五）依法接受人大监督。地方各级政府要依法接受本级人大及其常委会的监督，不断优化完善专项债券管理，按规定及时向本级人大及其常委会报告专项债务情况。地方各级财政部门要依法落实同级人大及其常委会关于预算、预算调整、决算的决议和审查意见，依法统一管理政府债务的举借、支出与偿还，监督债券资金使用情况，提高债券资金使用效益。
七、强化保障措施
（十六）加强组织实施。各省、自治区、直辖市和计划单列市人民政府要落实主体责任，健全本地区专项债券管理工作机制，管好用好专项债券资金，采取有力措施，抓好专项债券管理工作具体组织实施。鼓励地方谋划实施重大项目，集中财力办大事。完善各级发展改革部门牵头管项目、财政部门牵头管资金的工作机制，形成工作合力。财政部、国家发展改革委要按照职责分工加强对专项债券管理工作的统筹协调和政策指导，及时研究和解决工作中的重点难点问题。财政部要依法加强对地方政府债务的监督，指导地方各级财政部门加强本地区地方政府债务管理，切实防范风险。
（十七）开展政策实施动态评估。国家发展改革委联合财政部会同有关方面加强对专项债券投向领域和用作项目资本金范围、优化专项债券项目审核机制等方面政策实施的跟踪评估，适时动态调整专项债券投向领域“负面清单”和用作项目资本金范围“正面清单”。对专项债券项目“自审自发”等试点政策，要及时报告试点工作进展情况，适时研究调整试点范围。做好专项债券政策解读和业务培训，运用典型案例引导各地加强专项债券管理，提高政策实施效能。
附件：1.地方政府专项债券禁止类项目清单
2.地方政府专项债券可用作项目资本金的行业
3.地方政府专项债券项目“自审自发”试点地区名单
国务院办公厅
2024年12月22日
（此件公开发布）
附件1
地方政府专项债券禁止类项目清单
一、完全无收益的项目
二、楼堂馆所
（一）党政机关办公用房、技术用房；
（二）党校（行政学院）；
（三）培训中心；
（四）行政会议中心；
（五）干部职工疗养院；
（六）其他各类楼堂馆所。
三、形象工程和政绩工程
（一）巨型雕塑；
（二）过度化的景观提升和街区亮化工程；
（三）文化庆典和主题论坛场地设施；
（四）其他各类形象工程和政绩工程。
四、房地产等项目
（一）除保障性住房、土地储备以外的房地产开发；
（二）主题公园、仿古城（镇、村、街）等商业设施。
五、一般竞争性产业项目
一般竞争性产业是指市场能够有效配置资源、供需平衡、竞争充分，且不存在足以影响价格的企业或消费者的产业领域。
注：鼓励安排专项债券支持前瞻性、战略性新兴产业，但仅限用于基础设施建设；专项债券不得投向一般竞争性产业领域。
允许专项债券用于土地储备，支持城市政府回收符合条件的闲置存量土地，有需求的地区也可用于新增土地储备；允许专项债券支持城市政府收购存量商品房用作保障性住房。具体操作要求按照相关部门规定执行。
附件2
地方政府专项债券可用作
项目资本金的行业
一、铁路
二、收费公路
三、干线和东部地区支线机场
四、内河航电枢纽和港口
五、货运综合枢纽
六、城市停车场
七、天然气管网和储气设施
八、煤炭储备设施
九、城乡电网
十、新能源
十一、水利
十二、城镇污水垃圾收集处理、城镇再生水循环利用、固体废弃物综合利用和资源循环利用
十三、卫生健康
十四、养老托育
十五、供排水
十六、供热（含供热计量改造、长距离供热管道）
十七、供气
十八、国家级、省级产业园区基础设施
十九、城市更新
（一）城镇老旧小区改造、棚户区改造、城中村改造、老旧街区改造、老旧厂区改造
（二）城市公共空间功能提升及其他城市更新基础设施建设
二十、保障性住房
二十一、新型基础设施
（一）云计算、数据中心、工业互联网、算力设备及辅助设备基础设施
（二）铁路、港口、高速公路、机场等传统基础设施安全性、智能化改造
二十二、前瞻性、战略性新兴产业基础设施
（一）符合国家产业政策的重大集成电路产线及配套基础设施
（二）信息技术、新材料、生物制造、数字经济、低空经济、量子科技、生命科学、商业航天、北斗等相关产业基础设施
注：以省份为单位，可用作项目资本金的专项债券规模上限由该省份用于项目建设专项债券规模的25%提高至30%。
附件3
地方政府专项债券项目
“自审自发”试点地区名单
一、省份
北京市、上海市、江苏省、浙江省（含宁波市）、安徽省、福建省（含厦门市）、山东省（含青岛市）、湖南省、广东省（含深圳市）、四川省。
二、承担国家重大战略地区
河北雄安新区。
国务院办公厅转发国家发展改革委、财政部
《关于规范实施政府和社会资本合作
新机制的指导意见》的通知
国办函〔2023〕115号
各省、自治区、直辖市人民政府，国务院各部委、各直属机构：
国家发展改革委、财政部《关于规范实施政府和社会资本合作新机制的指导意见》已经国务院同意，现转发给你们，请认真贯彻落实。
国务院办公厅
2023年11月3日
（此件公开发布）
关于规范实施政府和社会资本合作
新 机 制 的 指 导 意 见
国家发展改革委 财政部
政府和社会资本合作（PPP）实施近十年来，一定程度上起到了改善公共服务、拉动有效投资的作用，但在实践中也出现了一些亟待解决的问题。为贯彻落实党中央、国务院决策部署，进一步深化基础设施投融资体制改革，切实激发民间投资活力，现就规范实施政府和社会资本合作新机制（简称新机制）提出如下指导意见。
一、准确把握新机制的总体要求
以习近平新时代中国特色社会主义思想为指导，深入贯彻党的二十大精神，坚持稳中求进工作总基调，完整、准确、全面贯彻新发展理念，加快构建新发展格局，着力推动高质量发展，统筹发展和安全，规范实施政府和社会资本合作新机制，充分发挥市场机制作用，拓宽民间投资空间，坚决遏制新增地方政府隐性债务，提高基础设施和公用事业项目建设运营水平，确保规范发展、阳光运行。
（一）聚焦使用者付费项目。政府和社会资本合作项目应聚焦使用者付费项目，明确收费渠道和方式，项目经营收入能够覆盖建设投资和运营成本、具备一定投资回报，不因采用政府和社会资本合作模式额外新增地方财政未来支出责任。政府可在严防新增地方政府隐性债务、符合法律法规和有关政策规定要求的前提下，按照一视同仁的原则，在项目建设期对使用者付费项目给予政府投资支持；政府付费只能按规定补贴运营、不能补贴建设成本。除此之外，不得通过可行性缺口补助、承诺保底收益率、可用性付费等任何方式，使用财政资金弥补项目建设和运营成本。
（二）全部采取特许经营模式。政府和社会资本合作应全部采取特许经营模式实施，根据项目实际情况，合理采用建设—运营—移交（BOT）、转让—运营—移交（TOT）、改建—运营—移交（ROT）、建设—拥有—运营—移交（BOOT）、设计—建设—融资—运营—移交（DBFOT）等具体实施方式，并在合同中明确约定建设和运营期间的资产权属，清晰界定各方权责利关系。
（三）合理把握重点领域。政府和社会资本合作应限定于有经营性收益的项目，主要包括公路、铁路、民航基础设施和交通枢纽等交通项目，物流枢纽、物流园区项目，城镇供水、供气、供热、停车场等市政项目，城镇污水垃圾收集处理及资源化利用等生态保护和环境治理项目，具有发电功能的水利项目，体育、旅游公共服务等社会项目，智慧城市、智慧交通、智慧农业等新型基础设施项目，城市更新、综合交通枢纽改造等盘活存量和改扩建有机结合的项目。
（四）优先选择民营企业参与。要坚持初衷、回归本源，最大程度鼓励民营企业参与政府和社会资本合作新建（含改扩建）项目，制定《支持民营企业参与的特许经营新建（含改扩建）项目清单（2023年版）》（以下简称清单，见附件）并动态调整。市场化程度较高、公共属性较弱的项目，应由民营企业独资或控股；关系国计民生、公共属性较强的项目，民营企业股权占比原则上不低于35%；少数涉及国家安全、公共属性强且具有自然垄断属性的项目，应积极创造条件、支持民营企业参与。对清单所列领域以外的政府和社会资本合作项目，可积极鼓励民营企业参与。外商投资企业参与政府和社会资本合作项目按照外商投资管理有关要求并参照上述规定执行。
（五）明确管理责任分工。国家发展改革委要牵头做好特许经营模式推进工作，切实加强政策指导。地方各级人民政府要切实负起主体责任，规范推进本级政府事权范围内的特许经营项目。地方各级人民政府可依法依规授权有关行业主管部门、事业单位等，作为特许经营项目实施机构（以下简称项目实施机构），负责特许经营方案编制、特许经营者选择、特许经营协议签订、项目实施监管、合作期满移交接收等工作。地方各级发展改革部门要发挥综合协调作用，严格把关项目特许经营方案等有关内容，依法依规履行项目审批、核准或备案职责。各级财政部门要严格执行预算管理制度，加强地方政府债务管理，加大财会监督力度，严肃财经纪律。
（六）稳妥推进新机制实施。把握好工作力度、节奏，2023年2月政府和社会资本合作项目清理核查前未完成招标采购程序的项目，以及后续新实施的政府和社会资本合作项目，均应按照本指导意见规定的新机制执行，不再执行2015年5月印发的《国务院办公厅转发财政部发展改革委人民银行关于在公共服务领域推广政府和社会资本合作模式指导意见的通知》（国办发〔2015〕42号）。
二、规范推进建设实施
（七）严格审核特许经营方案。对拟采取特许经营模式实施的项目，项目实施机构应参照可行性研究报告编写规范，牵头编制特许经营方案，并比照政府投资项目审批权限和要求，由有关方面履行审核手续，以合理控制项目建设内容和规模、明确项目产出（服务）方案。在审核特许经营方案时，要同步开展特许经营模式可行性论证，对项目是否适合采取特许经营模式进行认真比较和论证；必要时可委托专业咨询机构评估，提高可行性论证质量。
（八）公平选择特许经营者。项目实施机构应根据经批准的特许经营方案，通过公开竞争方式依法依规选择特许经营者（含特许经营者联合体，下同）。应将项目运营方案、收费单价、特许经营期限等作为选择特许经营者的重要评定标准，并高度关注其项目管理经验、专业运营能力、企业综合实力、信用评级状况。选定的特许经营者及其投融资、建设责任原则上不得调整，确需调整的应重新履行特许经营者选择程序。根据国家有关规定和项目建设投资、运营成本、投资回收年限等，合理确定特许经营期限，充分保障特许经营者合法权益。特许经营期限原则上不超过40年，投资规模大、回报周期长的特许经营项目可以根据实际情况适当延长，法律法规另有规定的除外。
（九）规范签订特许经营协议。项目实施机构与特许经营者应在法律地位平等、权利义务对等的基础上签订特许经营协议。需成立项目公司的，项目实施机构应当与特许经营者签订协议，约定其在规定期限内成立项目公司，并与项目公司签订特许经营协议。特许经营协议应明确项目实施范围、产出（服务）质量和标准、投资收益获得方式、项目风险管控、协议变更、特许经营期限等内容，约定双方的权利、义务和责任。
（十）严格履行投资管理程序。对政府采用资本金注入方式给予投资支持的特许经营项目，应按照《政府投资条例》有关规定履行审批手续；对由社会资本方单独投资的项目，应按照《企业投资项目核准和备案管理条例》有关规定履行核准或备案手续。规范履行项目调整程序，完成审批、核准或备案手续的项目如发生变更建设地点、调整主要建设内容、调整建设标准等重大情形，应报请原审批、核准机关重新履行项目审核程序，必要时应重新开展特许经营模式可行性论证和特许经营方案审核工作。特许经营项目法人确定后，如与前期办理审批、用地、规划等手续时的项目法人不一致，应依法办理项目法人变更手续，项目实施机构应给予必要支持和便利。
（十一）做好项目建设实施管理。特许经营者应做深做实项目前期工作，严格按照有关规定优化工程建设方案，合理安排工期，有效控制造价，保障工程质量，做好运营筹备。对地质条件复杂、施工风险较大、存在维修养护困难的项目，应完善勘察和施工设计，强化建设风险控制，防止项目烂尾。项目建成后，应依法依规及时组织竣工验收和专项验收。需要试运行或试运营的项目，应在投入试运行或试运营前符合相应要求并取得试运行或试运营许可。
三、切实加强运营监管
（十二）定期开展项目运营评价。项目实施机构应会同有关方面对项目运营情况进行监测分析，开展运营评价，评估潜在风险，建立约束机制，切实保障公共产品、公共服务的质量和效率。项目实施机构应将社会公众意见作为项目监测分析和运营评价的重要内容，加大公共监督力度，按照有关规定开展绩效评价。
（十三）惩戒违法违规和失信行为。如特许经营者存在违反法律法规和国家强制性标准，严重危害公共利益，造成重大质量、安全事故或突发环境事件等情形，有关方面应依法依规责令限期改正并予以处罚。对提供的公共产品、公共服务不满足特许经营协议约定标准的，特许经营者应按照协议约定承担违约责任。依法依规将项目相关方的失信信息纳入全国信用信息共享平台。
（十四）规范开展特许经营协议变更和项目移交等工作。在特许经营协议有效期内，如确需变更协议内容，协议当事人应在协商一致的基础上依法签订补充协议。特许经营期限届满或提前终止的，应按协议约定依法依规做好移交或退出工作，严禁以提前终止为由将特许经营转变为通过建设—移交（BT）模式变相举债；拟继续采取特许经营模式的，应按规定重新选择特许经营者，同等条件下可优先选择原特许经营者。特许经营期限内因改扩建等原因需重新选择特许经营者的，同等条件下可优先选择原特许经营者。对因特许经营协议引发的各类争议，鼓励通过友好协商解决，必要时可根据争议性质，依法依规申请仲裁、申请行政复议或提起行政、民事诉讼，妥善处理解决。
（十五）建立常态化信息披露机制。项目实施机构应将项目建设内容、特许经营中标结果、特许经营协议主要内容、公共产品和公共服务标准、运营考核结果等非涉密信息，依托全国投资项目在线审批监管平台，及时向社会公开。特许经营者应将项目每季度运营情况、经审计的年度财务报表等信息，通过适当方式向社会公开。
四、加大政策保障力度
（十六）加强组织实施。各地区要压紧压实主体责任，完善工作机制，精心组织实施。各有关部门要强化协同联动，明确政策规定，加强实施监管。国家发展改革委要制定特许经营方案编写大纲、特许经营协议范本和实施细则，指导各地区按照新机制要求依法合规、稳妥有序实施政府和社会资本合作项目，并会同有关方面及时修订完善特许经营相关制度文件，营造良好制度环境。
（十七）做好要素保障和融资支持。支持在不改变项目地表原地类和使用现状的前提下，利用地下空间进行开发建设，提高土地使用效率。支持依法依规合理调整土地规划用途和开发强度，通过特许经营模式推动原有资产改造与转型，提高资产利用效率。探索分层设立国有建设用地使用权，支持项目依法依规加快办理前期手续。鼓励金融机构按照风险可控、商业可持续的原则，采用预期收益质押等方式为特许经营项目提供融资支持。积极支持符合条件的特许经营项目发行基础设施领域不动产投资信托基金（REITs）。
（十八）支持创新项目实施方式。鼓励特许经营者通过技术创新、管理创新和商业模式创新等降低建设和运营成本，提高投资收益，促进政府和社会资本合作项目更好实施。特许经营者在保障项目质量和产出（服务）效果的前提下，通过加强管理、降低成本、提升效率、积极创新等获得的额外收益主要归特许经营者所有。鼓励符合条件的国有企业通过特许经营模式规范参与盘活存量资产，形成投资良性循环。
附件：支持民营企业参与的特许经营新建（含改扩建）项目清单（2023年版）
附件
支持民营企业参与的特许经营新建
（含改扩建）项目清单
（2023年版）
一、应由民营企业独资或控股的项目
（一）环保领域
1.垃圾固废处理和垃圾焚烧发电项目
（二）市政领域
2.园区基础设施项目
3.公共停车场项目
（三）物流领域
4.物流枢纽、物流园区项目
（四）农业林业领域
5.农业废弃物资源化利用项目
6.旅游农业、休闲农业基础设施项目
7.林业生态项目
（五）社会领域
8.体育项目
9.旅游公共服务项目
二、民营企业股权占比原则上不低于35%的项目
（一）环保领域
10.污水处理项目
11.污水管网项目
（二）市政领域
12.城镇供水、供气、供热项目
（三）交通运输领域
13.城际铁路、资源开发性铁路和支线铁路，铁路客货运输商业类、延伸类业务项目
14.收费公路项目（不含投资规模大、建设难度高的收费公路项目）
15.低运量轨道交通项目
# 采购目录分类及说明表
|类别|目录项目|适用范围|备注|
| ---- | ---- | ---- | ---- |
|货物类|台式计算机| |不包括图形工作站|
| |便携式计算机| |不包括移动工作站|
| |计算机软件| |指非定制的通用商业软件，不包括行业专用软件|
| |服务器| |10万元以下的系统集成项目除外|
| |计算机网络设备| |指单项或批量金额在1万元以上的网络交换机、网络路由器、网络存储设备、网络安全产品，10万元以下的系统集成项目除外|
| |复印机| |不包括印刷机|
| |视频会议系统及会议室音频系统| |指单项或批量金额在20万元以上的视频会议多点控制器（MCU）、视频会议终端、视频会议系统管理平台、录播服务器、中控系统、会议室音频设备、信号处理设备、会议室视频显示设备、图像采集系统|
| |多功能一体机| |指单项或批量金额在5万元以上的多功能一体机|
| |打印设备| |指喷墨打印机、激光打印机、热式打印机，不包括针式打印机和条码专用打印机|
| |扫描仪| |指平板式扫描仪、高速文档扫描仪、书刊扫描仪和胶片扫描仪，不包括档案、工程专用的大幅面扫描仪|
| |投影仪| |指单项或批量金额在5万元以上的投影仪|
| |复印纸|京内单位|不包括彩色复印纸|
| |打印用通用耗材|京内单位|指非原厂生产的兼容耗材|
| |乘用车| |指轿车、越野车、商务车、皮卡，包含新能源汽车|
| |客车| |指小型客车、大中型客车，包含新能源汽车|
| |电梯|京内单位|指单项或批量金额在100万元以上的电梯|
| |空调机|京内单位|指除中央空调（包括冷水机组、溴化锂吸收式冷水机组、水源热泵机组等）、多联式空调（指由一台或多台室外机与多台室内机组成的空调机组）以外的空调|
| |办公家具|京内单位|指单项或批量金额在20万元以上的木制或木制为主、钢制或钢制为主、铝制或铝制为主的家具|
|工程类|限额内工程|京内单位|指投资预算在120万元以上的建设工程，适用招标投标法的建设工程项目除外|
| |装修工程|京内单位|指投资预算在120万元以上，与建筑物、构筑物新建、改建、扩建无关的装修工程|
| |拆除工程|京内单位|指投资预算在120万元以上，与建筑物、构筑物新建、改建、扩建无关的拆除工程|
| |修缮工程|京内单位|指投资预算在120万元以上，与建筑物、构筑物新建、改建、扩建无关的修缮工程|
|服务类|车辆维修保养及加油服务|京内单位|指在京内执行的车辆维修保养及加油服务|
| |机动车保险服务|京内单位| |
| |印刷服务|京内单位|指单项或批量金额在20万元以上的本单位文印部门（含本单位下设的出版部门）不能承担的票据、证书、期刊、文件、公文用纸、资料汇编、信封等印刷业务（不包括出版服务）|
| |工程造价咨询服务|京内单位|指单项或批量金额在20万元以上的在京内执行的工程造价咨询服务|
| |工程监理服务|京内单位|指单项或批量金额在20万元以上的在京内执行的建设工程（包括建筑物和构筑物的新建、改建、扩建、装修、拆除、修缮）项目的监理服务，适用招标投标法的工程监理服务项目除外|
| |物业管理服务|京内单位|指单项或批量金额在100万元以上的本单位物业管理服务部门不能承担的在京内执行的机关办公场所水电供应、设备运行、建筑物门窗保养维护、保洁、保安、绿化养护等项目，多单位共用物业的物业管理服务除外|
| |云计算服务| |指单项或批量金额在100万元以上的基础设施服务（Infrastructure as a Service，IaaS），包括云主机、块存储、对象存储等，系统集成项目除外|
| |互联网接入服务|京内单位|指单项或批量金额在20万元以上的互联网接入服务|
（四）物流领域
16.机场货运处理设施项目
17.国家物流枢纽、国家骨干冷链物流基地项目
（五）水利领域
18.具有发电功能的小型水利项目
（六）新型基础设施领域
19.智慧城市、智慧交通、智慧农业、智慧能源项目
20.数据中心项目
21.人工智能算力基础设施项目
22.民用空间基础设施项目
三、积极创造条件、支持民营企业参与的项目
（一）交通运输领域
23.列入中长期铁路网规划、国家批准的专项规划和区域规划的铁路项目
24.投资规模大、建设难度高的收费公路等项目
25.城市地铁、轻轨和市域（郊）铁路项目
26.民用运输机场项目
（二）能源领域
27.农村电网改造升级项目
28.油气管网主干线或支线项目
29.石油、天然气储备设施项目
（三）水利领域
30.具有发电功能的大中型水利项目
国务院办公厅关于印发中央预算单位
政府集中采购目录及标准（2020年版）的通知
国办发〔2019〕55号
国务院各部委、各直属机构：
《中央预算单位政府集中采购目录及标准（2020年版）》已经国务院同意，现印发给你们，请遵照执行。
《中央预算单位政府集中采购目录及标准（2020年版）》自2020年1月1日起实施，2016年12月21日印发的《中央预算单位2017—2018年政府集中采购目录及标准》同时废止。
国务院办公厅
2019年12月26日
（此件公开发布）
中央预算单位政府集中采购
目录及标准（2020年版）
一、集中采购机构采购项目
以下项目必须按规定委托集中采购机构代理采购：
注：①表中“适用范围”栏中未注明的，均适用于所有中央预算单位。
②表中所列项目不包括部门集中采购项目和中央高校、科研院所采购的科研仪器设备。
二、部门集中采购项目
部门集中采购项目是指部门或系统有特殊要求，需要由部门或系统统一配置的货物、工程和服务类专用项目。各中央预算单位可按实际工作需要确定，报财政部备案后组织实施采购。
三、分散采购限额标准
除集中采购机构采购项目和部门集中采购项目外，各部门自行采购单项或批量金额达到100万元以上的货物和服务的项目、120万元以上的工程项目应按《中华人民共和国政府采购法》和《中华人民共和国招标投标法》有关规定执行。
四、公开招标数额标准
政府采购货物或服务项目，单项采购金额达到200万元以上的，必须采用公开招标方式。政府采购工程以及与工程建设有关的货物、服务公开招标数额标准按照国务院有关规定执行。
|
Chinese
|
8k
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T6. Aggregation & Clustering
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T6.2 Targeted Subset Cluster Identification
|
Partial
|
找出被禁止使用专项债券资金的项目类型中所有与“文化、景观或活动场馆”直接相关的项目。先输出“[答案]”标识符，再按行输出满足条件的项目名称，不要输出任何其他内容。
输出示例：
[答案]
大型体育场馆
城市绿化和公园改造工程
艺术展览和音乐会场地设施
博物馆、图书馆、科技馆等公共设施
|
找出被禁止使用专项债券资金的项目类型中所有与“文化、景观或活动场馆”直接相关的项目。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出满足条件的项目名称，不要输出任何其他内容。
输出示例：
<你的思考过程>
[答案]
大型体育场馆
城市绿化和公园改造工程
艺术展览和音乐会场地设施
博物馆、图书馆、科技馆等公共设施
|
[
"巨型雕塑",
"过度化的景观提升和街区亮化工程",
"文化庆典和主题论坛场地设施",
"主题公园、仿古城（镇、村、街）等商业设施"
] |
Moderate
|
220dfafb8f4c4d31ec2b0239a646f0fc7ea2ae6f247295427c8a6dc9ca805a16
|
中华人民共和国民法典
（2020年5月28日第十三届全国人民代表大会第三次会议通过）
目 录
第一编 总 则
第一章 基本规定
第二章 自然人
第一节 民事权利能力和民事行为能力
第二节 监 护
第三节 宣告失踪和宣告死亡
第四节 个体工商户和农村承包经营户
第三章 法 人
第一节 一般规定
第二节 营利法人
第三节 非营利法人
第四节 特别法人
第四章 非法人组织
第五章 民事权利
第六章 民事法律行为
第一节 一般规定
第二节 意思表示
第三节 民事法律行为的效力
第四节 民事法律行为的附条件和附期限
第七章 代 理
第一节 一般规定
第二节 委托代理
第三节 代理终止
第八章 民事责任
第九章 诉讼时效
第十章 期间计算
第二编 物 权
第一分编 通 则
第一章 一般规定
第二章 物权的设立、变更、转让和消灭
第一节 不动产登记
第二节 动产交付
第三节 其他规定
第三章 物权的保护
第二分编 所有权
第四章 一般规定
第五章 国家所有权和集体所有权、私人所有权
第六章 业主的建筑物区分所有权
第七章 相邻关系
第八章 共 有
第九章 所有权取得的特别规定
第三分编 用益物权
第十章 一般规定
第十一章 土地承包经营权
第十二章 建设用地使用权
第十三章 宅基地使用权
第十四章 居住权
第十五章 地役权
第四分编 担保物权
第十六章 一般规定
第十七章 抵押权
第一节 一般抵押权
第二节 最高额抵押权
第十八章 质 权
第一节 动产质权
第二节 权利质权
第十九章 留置权
第五分编 占 有
第二十章 占 有
第三编 合 同
第一分编 通 则
第一章 一般规定
第二章 合同的订立
第三章 合同的效力
第四章 合同的履行
第五章 合同的保全
第六章 合同的变更和转让
第七章 合同的权利义务终止
第八章 违约责任
第二分编 典型合同
第九章 买卖合同
第十章 供用电、水、气、热力合同
第十一章 赠与合同
第十二章 借款合同
第十三章 保证合同
第一节 一般规定
第二节 保证责任
第十四章 租赁合同
第十五章 融资租赁合同
第十六章 保理合同
第十七章 承揽合同
第十八章 建设工程合同
第十九章 运输合同
第一节 一般规定
第二节 客运合同
第三节 货运合同
第四节 多式联运合同
第二十章 技术合同
第一节 一般规定
第二节 技术开发合同
第三节 技术转让合同和技术许可合同
第四节 技术咨询合同和技术服务合同
第二十一章 保管合同
第二十二章 仓储合同
第二十三章 委托合同
第二十四章 物业服务合同
第二十五章 行纪合同
第二十六章 中介合同
第二十七章 合伙合同
第三分编 准合同
第二十八章 无因管理
第二十九章 不当得利
第四编 人格权
第一章 一般规定
第二章 生命权、身体权和健康权
第三章 姓名权和名称权
第四章 肖像权
第五章 名誉权和荣誉权
第六章 隐私权和个人信息保护
第五编 婚姻家庭
第一章 一般规定
第二章 结 婚
第三章 家庭关系
第一节 夫妻关系
第二节 父母子女关系和其他近亲属关系
第四章 离 婚
第五章 收 养
第一节 收养关系的成立
第二节 收养的效力
第三节 收养关系的解除
第六编 继 承
第一章 一般规定
第二章 法定继承
第三章 遗嘱继承和遗赠
第四章 遗产的处理
第七编 侵权责任
第一章 一般规定
第二章 损害赔偿
第三章 责任主体的特殊规定
第四章 产品责任
第五章 机动车交通事故责任
第六章 医疗损害责任
第七章 环境污染和生态破坏责任
第八章 高度危险责任
第九章 饲养动物损害责任
第十章 建筑物和物件损害责任
附 则
第一编 总 则
第一章 基本规定
第一条 为了保护民事主体的合法权益，调整民事关系，维护社会和经济秩序，适应中国特色社会主义发展要求，弘扬社会主义核心价值观，根据宪法，制定本法。
第二条 民法调整平等主体的自然人、法人和非法人组织之间的人身关系和财产关系。
第三条 民事主体的人身权利、财产权利以及其他合法权益受法律保护，任何组织或者个人不得侵犯。
第四条 民事主体在民事活动中的法律地位一律平等。
第五条 民事主体从事民事活动，应当遵循自愿原则，按照自己的意思设立、变更、终止民事法律关系。
第六条 民事主体从事民事活动，应当遵循公平原则，合理确定各方的权利和义务。
第七条 民事主体从事民事活动，应当遵循诚信原则，秉持诚实，恪守承诺。
第八条 民事主体从事民事活动，不得违反法律，不得违背公序良俗。
第九条 民事主体从事民事活动，应当有利于节约资源、保护生态环境。
第十条 处理民事纠纷，应当依照法律；法律没有规定的，可以适用习惯，但是不得违背公序良俗。
第十一条 其他法律对民事关系有特别规定的，依照其规定。
第十二条 中华人民共和国领域内的民事活动，适用中华人民共和国法律。法律另有规定的，依照其规定。
第二章 自然人
第一节 民事权利能力和民事行为能力
第十三条 自然人从出生时起到死亡时止，具有民事权利能力，依法享有民事权利，承担民事义务。
第十四条 自然人的民事权利能力一律平等。
第十五条 自然人的出生时间和死亡时间，以出生证明、死亡证明记载的时间为准；没有出生证明、死亡证明的，以户籍登记或者其他有效身份登记记载的时间为准。有其他证据足以推翻以上记载时间的，以该证据证明的时间为准。
第十六条 涉及遗产继承、接受赠与等胎儿利益保护的，胎儿视为具有民事权利能力。但是，胎儿娩出时为死体的，其民事权利能力自始不存在。
第十七条 十八周岁以上的自然人为成年人。不满十八周岁的自然人为未成年人。
第十八条 成年人为完全民事行为能力人，可以独立实施民事法律行为。
十六周岁以上的未成年人，以自己的劳动收入为主要生活来源的，视为完全民事行为能力人。
第十九条 八周岁以上的未成年人为限制民事行为能力人，实施民事法律行为由其法定代理人代理或者经其法定代理人同意、追认；但是，可以独立实施纯获利益的民事法律行为或者与其年龄、智力相适应的民事法律行为。
第二十条 不满八周岁的未成年人为无民事行为能力人，由其法定代理人代理实施民事法律行为。
第二十一条 不能辨认自己行为的成年人为无民事行为能力人，由其法定代理人代理实施民事法律行为。
八周岁以上的未成年人不能辨认自己行为的，适用前款规定。
第二十二条 不能完全辨认自己行为的成年人为限制民事行为能力人，实施民事法律行为由其法定代理人代理或者经其法定代理人同意、追认；但是，可以独立实施纯获利益的民事法律行为或者与其智力、精神健康状况相适应的民事法律行为。
第二十三条 无民事行为能力人、限制民事行为能力人的监护人是其法定代理人。
第二十四条 不能辨认或者不能完全辨认自己行为的成年人，其利害关系人或者有关组织，可以向人民法院申请认定该成年人为无民事行为能力人或者限制民事行为能力人。
被人民法院认定为无民事行为能力人或者限制民事行为能力人的，经本人、利害关系人或者有关组织申请，人民法院可以根据其智力、精神健康恢复的状况，认定该成年人恢复为限制民事行为能力人或者完全民事行为能力人。
本条规定的有关组织包括：居民委员会、村民委员会、学校、医疗机构、妇女联合会、残疾人联合会、依法设立的老年人组织、民政部门等。
第二十五条 自然人以户籍登记或者其他有效身份登记记载的居所为住所；经常居所与住所不一致的，经常居所视为住所。
第二节 监 护
第二十六条 父母对未成年子女负有抚养、教育和保护的义务。
成年子女对父母负有赡养、扶助和保护的义务。
第二十七条 父母是未成年子女的监护人。
未成年人的父母已经死亡或者没有监护能力的，由下列有监护能力的人按顺序担任监护人：
（一）祖父母、外祖父母；
（二）兄、姐；
（三）其他愿意担任监护人的个人或者组织，但是须经未成年人住所地的居民委员会、村民委员会或者民政部门同意。
第二十八条 无民事行为能力或者限制民事行为能力的成年人，由下列有监护能力的人按顺序担任监护人：
（一）配偶；
（二）父母、子女；
（三）其他近亲属；
（四）其他愿意担任监护人的个人或者组织，但是须经被监护人住所地的居民委员会、村民委员会或者民政部门同意。
第二十九条 被监护人的父母担任监护人的，可以通过遗嘱指定监护人。
第三十条 依法具有监护资格的人之间可以协议确定监护人。协议确定监护人应当尊重被监护人的真实意愿。
第三十一条 对监护人的确定有争议的，由被监护人住所地的居民委员会、村民委员会或者民政部门指定监护人，有关当事人对指定不服的，可以向人民法院申请指定监护人；有关当事人也可以直接向人民法院申请指定监护人。
居民委员会、村民委员会、民政部门或者人民法院应当尊重被监护人的真实意愿，按照最有利于被监护人的原则在依法具有监护资格的人中指定监护人。
依据本条第一款规定指定监护人前，被监护人的人身权利、财产权利以及其他合法权益处于无人保护状态的，由被监护人住所地的居民委员会、村民委员会、法律规定的有关组织或者民政部门担任临时监护人。
监护人被指定后，不得擅自变更；擅自变更的，不免除被指定的监护人的责任。
第三十二条 没有依法具有监护资格的人的，监护人由民政部门担任，也可以由具备履行监护职责条件的被监护人住所地的居民委员会、村民委员会担任。
第三十三条 具有完全民事行为能力的成年人，可以与其近亲属、其他愿意担任监护人的个人或者组织事先协商，以书面形式确定自己的监护人，在自己丧失或者部分丧失民事行为能力时，由该监护人履行监护职责。
第三十四条 监护人的职责是代理被监护人实施民事法律行为，保护被监护人的人身权利、财产权利以及其他合法权益等。
监护人依法履行监护职责产生的权利，受法律保护。
监护人不履行监护职责或者侵害被监护人合法权益的，应当承担法律责任。
因发生突发事件等紧急情况，监护人暂时无法履行监护职责，被监护人的生活处于无人照料状态的，被监护人住所地的居民委员会、村民委员会或者民政部门应当为被监护人安排必要的临时生活照料措施。
第三十五条 监护人应当按照最有利于被监护人的原则履行监护职责。监护人除为维护被监护人利益外，不得处分被监护人的财产。
未成年人的监护人履行监护职责，在作出与被监护人利益有关的决定时，应当根据被监护人的年龄和智力状况，尊重被监护人的真实意愿。
成年人的监护人履行监护职责，应当最大程度地尊重被监护人的真实意愿，保障并协助被监护人实施与其智力、精神健康状况相适应的民事法律行为。对被监护人有能力独立处理的事务，监护人不得干涉。
第三十六条 监护人有下列情形之一的，人民法院根据有关个人或者组织的申请，撤销其监护人资格，安排必要的临时监护措施，并按照最有利于被监护人的原则依法指定监护人：
（一）实施严重损害被监护人身心健康的行为；
（二）怠于履行监护职责，或者无法履行监护职责且拒绝将监护职责部分或者全部委托给他人，导致被监护人处于危困状态；
（三）实施严重侵害被监护人合法权益的其他行为。
本条规定的有关个人、组织包括：其他依法具有监护资格的人，居民委员会、村民委员会、学校、医疗机构、妇女联合会、残疾人联合会、未成年人保护组织、依法设立的老年人组织、民政部门等。
前款规定的个人和民政部门以外的组织未及时向人民法院申请撤销监护人资格的，民政部门应当向人民法院申请。
第三十七条 依法负担被监护人抚养费、赡养费、扶养费的父母、子女、配偶等，被人民法院撤销监护人资格后，应当继续履行负担的义务。
第三十八条 被监护人的父母或者子女被人民法院撤销监护人资格后，除对被监护人实施故意犯罪的外，确有悔改表现的，经其申请，人民法院可以在尊重被监护人真实意愿的前提下，视情况恢复其监护人资格，人民法院指定的监护人与被监护人的监护关系同时终止。
第三十九条 有下列情形之一的，监护关系终止：
（一）被监护人取得或者恢复完全民事行为能力；
（二）监护人丧失监护能力；
（三）被监护人或者监护人死亡；
（四）人民法院认定监护关系终止的其他情形。
监护关系终止后，被监护人仍然需要监护的，应当依法另行确定监护人。
第三节 宣告失踪和宣告死亡
第四十条 自然人下落不明满二年的，利害关系人可以向人民法院申请宣告该自然人为失踪人。
第四十一条 自然人下落不明的时间自其失去音讯之日起计算。战争期间下落不明的，下落不明的时间自战争结束之日或者有关机关确定的下落不明之日起计算。
第四十二条 失踪人的财产由其配偶、成年子女、父母或者其他愿意担任财产代管人的人代管。
代管有争议，没有前款规定的人，或者前款规定的人无代管能力的，由人民法院指定的人代管。
第四十三条 财产代管人应当妥善管理失踪人的财产，维护其财产权益。
失踪人所欠税款、债务和应付的其他费用，由财产代管人从失踪人的财产中支付。
财产代管人因故意或者重大过失造成失踪人财产损失的，应当承担赔偿责任。
第四十四条 财产代管人不履行代管职责、侵害失踪人财产权益或者丧失代管能力的，失踪人的利害关系人可以向人民法院申请变更财产代管人。
财产代管人有正当理由的，可以向人民法院申请变更财产代管人。
人民法院变更财产代管人的，变更后的财产代管人有权请求原财产代管人及时移交有关财产并报告财产代管情况。
第四十五条 失踪人重新出现，经本人或者利害关系人申请，人民法院应当撤销失踪宣告。
失踪人重新出现，有权请求财产代管人及时移交有关财产并报告财产代管情况。
第四十六条 自然人有下列情形之一的，利害关系人可以向人民法院申请宣告该自然人死亡：
（一）下落不明满四年；
（二）因意外事件，下落不明满二年。
因意外事件下落不明，经有关机关证明该自然人不可能生存的，申请宣告死亡不受二年时间的限制。
第四十七条 对同一自然人，有的利害关系人申请宣告死亡，有的利害关系人申请宣告失踪，符合本法规定的宣告死亡条件的，人民法院应当宣告死亡。
第四十八条 被宣告死亡的人，人民法院宣告死亡的判决作出之日视为其死亡的日期；因意外事件下落不明宣告死亡的，意外事件发生之日视为其死亡的日期。
第四十九条 自然人被宣告死亡但是并未死亡的，不影响该自然人在被宣告死亡期间实施的民事法律行为的效力。
第五十条 被宣告死亡的人重新出现，经本人或者利害关系人申请，人民法院应当撤销死亡宣告。
第五十一条 被宣告死亡的人的婚姻关系，自死亡宣告之日起消除。死亡宣告被撤销的，婚姻关系自撤销死亡宣告之日起自行恢复。但是，其配偶再婚或者向婚姻登记机关书面声明不愿意恢复的除外。
第五十二条 被宣告死亡的人在被宣告死亡期间，其子女被他人依法收养的，在死亡宣告被撤销后，不得以未经本人同意为由主张收养行为无效。
第五十三条 被撤销死亡宣告的人有权请求依照本法第六编取得其财产的民事主体返还财产；无法返还的，应当给予适当补偿。
利害关系人隐瞒真实情况，致使他人被宣告死亡而取得其财产的，除应当返还财产外，还应当对由此造成的损失承担赔偿责任。
第四节 个体工商户和农村承包经营户
第五十四条 自然人从事工商业经营，经依法登记，为个体工商户。个体工商户可以起字号。
第五十五条 农村集体经济组织的成员，依法取得农村土地承包经营权，从事家庭承包经营的，为农村承包经营户。
第五十六条 个体工商户的债务，个人经营的，以个人财产承担；家庭经营的，以家庭财产承担；无法区分的，以家庭财产承担。
农村承包经营户的债务，以从事农村土地承包经营的农户财产承担；事实上由农户部分成员经营的，以该部分成员的财产承担。
第三章 法 人
第一节 一般规定
第五十七条 法人是具有民事权利能力和民事行为能力，依法独立享有民事权利和承担民事义务的组织。
第五十八条 法人应当依法成立。
法人应当有自己的名称、组织机构、住所、财产或者经费。法人成立的具体条件和程序，依照法律、行政法规的规定。
设立法人，法律、行政法规规定须经有关机关批准的，依照其规定。
第五十九条 法人的民事权利能力和民事行为能力，从法人成立时产生，到法人终止时消灭。
第六十条 法人以其全部财产独立承担民事责任。
第六十一条 依照法律或者法人章程的规定，代表法人从事民事活动的负责人，为法人的法定代表人。
法定代表人以法人名义从事的民事活动，其法律后果由法人承受。
法人章程或者法人权力机构对法定代表人代表权的限制，不得对抗善意相对人。
第六十二条 法定代表人因执行职务造成他人损害的，由法人承担民事责任。
法人承担民事责任后，依照法律或者法人章程的规定，可以向有过错的法定代表人追偿。
第六十三条 法人以其主要办事机构所在地为住所。依法需要办理法人登记的，应当将主要办事机构所在地登记为住所。
第六十四条 法人存续期间登记事项发生变化的，应当依法向登记机关申请变更登记。
第六十五条 法人的实际情况与登记的事项不一致的，不得对抗善意相对人。
第六十六条 登记机关应当依法及时公示法人登记的有关信息。
第六十七条 法人合并的，其权利和义务由合并后的法人享有和承担。
法人分立的，其权利和义务由分立后的法人享有连带债权，承担连带债务，但是债权人和债务人另有约定的除外。
第六十八条 有下列原因之一并依法完成清算、注销登记的，法人终止：
（一）法人解散；
（二）法人被宣告破产；
（三）法律规定的其他原因。
法人终止，法律、行政法规规定须经有关机关批准的，依照其规定。
第六十九条 有下列情形之一的，法人解散：
（一）法人章程规定的存续期间届满或者法人章程规定的其他解散事由出现；
（二）法人的权力机构决议解散；
（三）因法人合并或者分立需要解散；
（四）法人依法被吊销营业执照、登记证书，被责令关闭或者被撤销；
（五）法律规定的其他情形。
第七十条 法人解散的，除合并或者分立的情形外，清算义务人应当及时组成清算组进行清算。
法人的董事、理事等执行机构或者决策机构的成员为清算义务人。法律、行政法规另有规定的，依照其规定。
清算义务人未及时履行清算义务，造成损害的，应当承担民事责任；主管机关或者利害关系人可以申请人民法院指定有关人员组成清算组进行清算。
第七十一条 法人的清算程序和清算组职权，依照有关法律的规定；没有规定的，参照适用公司法律的有关规定。
第七十二条 清算期间法人存续，但是不得从事与清算无关的活动。
法人清算后的剩余财产，按照法人章程的规定或者法人权力机构的决议处理。法律另有规定的，依照其规定。
清算结束并完成法人注销登记时，法人终止；依法不需要办理法人登记的，清算结束时，法人终止。
第七十三条 法人被宣告破产的，依法进行破产清算并完成法人注销登记时，法人终止。
第七十四条 法人可以依法设立分支机构。法律、行政法规规定分支机构应当登记的，依照其规定。
分支机构以自己的名义从事民事活动，产生的民事责任由法人承担；也可以先以该分支机构管理的财产承担，不足以承担的，由法人承担。
第七十五条 设立人为设立法人从事的民事活动，其法律后果由法人承受；法人未成立的，其法律后果由设立人承受，设立人为二人以上的，享有连带债权，承担连带债务。
设立人为设立法人以自己的名义从事民事活动产生的民事责任，第三人有权选择请求法人或者设立人承担。
第二节 营利法人
第七十六条 以取得利润并分配给股东等出资人为目的成立的法人，为营利法人。
营利法人包括有限责任公司、股份有限公司和其他企业法人等。
第七十七条 营利法人经依法登记成立。
第七十八条 依法设立的营利法人，由登记机关发给营利法人营业执照。营业执照签发日期为营利法人的成立日期。
第七十九条 设立营利法人应当依法制定法人章程。
第八十条 营利法人应当设权力机构。
权力机构行使修改法人章程，选举或者更换执行机构、监督机构成员，以及法人章程规定的其他职权。
第八十一条 营利法人应当设执行机构。
执行机构行使召集权力机构会议，决定法人的经营计划和投资方案，决定法人内部管理机构的设置，以及法人章程规定的其他职权。
执行机构为董事会或者执行董事的，董事长、执行董事或者经理按照法人章程的规定担任法定代表人；未设董事会或者执行董事的，法人章程规定的主要负责人为其执行机构和法定代表人。
第八十二条 营利法人设监事会或者监事等监督机构的，监督机构依法行使检查法人财务，监督执行机构成员、高级管理人员执行法人职务的行为，以及法人章程规定的其他职权。
第八十三条 营利法人的出资人不得滥用出资人权利损害法人或者其他出资人的利益；滥用出资人权利造成法人或者其他出资人损失的，应当依法承担民事责任。
营利法人的出资人不得滥用法人独立地位和出资人有限责任损害法人债权人的利益；滥用法人独立地位和出资人有限责任，逃避债务，严重损害法人债权人的利益的，应当对法人债务承担连带责任。
第八十四条 营利法人的控股出资人、实际控制人、董事、监事、高级管理人员不得利用其关联关系损害法人的利益；利用关联关系造成法人损失的，应当承担赔偿责任。
第八十五条 营利法人的权力机构、执行机构作出决议的会议召集程序、表决方式违反法律、行政法规、法人章程，或者决议内容违反法人章程的，营利法人的出资人可以请求人民法院撤销该决议。但是，营利法人依据该决议与善意相对人形成的民事法律关系不受影响。
第八十六条 营利法人从事经营活动，应当遵守商业道德，维护交易安全，接受政府和社会的监督，承担社会责任。
第三节 非营利法人
第八十七条 为公益目的或者其他非营利目的成立，不向出资人、设立人或者会员分配所取得利润的法人，为非营利法人。
非营利法人包括事业单位、社会团体、基金会、社会服务机构等。
第八十八条 具备法人条件，为适应经济社会发展需要，提供公益服务设立的事业单位，经依法登记成立，取得事业单位法人资格；依法不需要办理法人登记的，从成立之日起，具有事业单位法人资格。
第八十九条 事业单位法人设理事会的，除法律另有规定外，理事会为其决策机构。事业单位法人的法定代表人依照法律、行政法规或者法人章程的规定产生。
第九十条 具备法人条件，基于会员共同意愿，为公益目的或者会员共同利益等非营利目的设立的社会团体，经依法登记成立，取得社会团体法人资格；依法不需要办理法人登记的，从成立之日起，具有社会团体法人资格。
第九十一条 设立社会团体法人应当依法制定法人章程。
社会团体法人应当设会员大会或者会员代表大会等权力机构。
社会团体法人应当设理事会等执行机构。理事长或者会长等负责人按照法人章程的规定担任法定代表人。
第九十二条 具备法人条件，为公益目的以捐助财产设立的基金会、社会服务机构等，经依法登记成立，取得捐助法人资格。
依法设立的宗教活动场所，具备法人条件的，可以申请法人登记，取得捐助法人资格。法律、行政法规对宗教活动场所有规定的，依照其规定。
第九十三条 设立捐助法人应当依法制定法人章程。
捐助法人应当设理事会、民主管理组织等决策机构，并设执行机构。理事长等负责人按照法人章程的规定担任法定代表人。
捐助法人应当设监事会等监督机构。
第九十四条 捐助人有权向捐助法人查询捐助财产的使用、管理情况，并提出意见和建议，捐助法人应当及时、如实答复。
捐助法人的决策机构、执行机构或者法定代表人作出决定的程序违反法律、行政法规、法人章程，或者决定内容违反法人章程的，捐助人等利害关系人或者主管机关可以请求人民法院撤销该决定。但是，捐助法人依据该决定与善意相对人形成的民事法律关系不受影响。
第九十五条 为公益目的成立的非营利法人终止时，不得向出资人、设立人或者会员分配剩余财产。剩余财产应当按照法人章程的规定或者权力机构的决议用于公益目的；无法按照法人章程的规定或者权力机构的决议处理的，由主管机关主持转给宗旨相同或者相近的法人，并向社会公告。
第四节 特别法人
第九十六条 本节规定的机关法人、农村集体经济组织法人、城镇农村的合作经济组织法人、基层群众性自治组织法人，为特别法人。
第九十七条 有独立经费的机关和承担行政职能的法定机构从成立之日起，具有机关法人资格，可以从事为履行职能所需要的民事活动。
第九十八条 机关法人被撤销的，法人终止，其民事权利和义务由继任的机关法人享有和承担；没有继任的机关法人的，由作出撤销决定的机关法人享有和承担。
第九十九条 农村集体经济组织依法取得法人资格。
法律、行政法规对农村集体经济组织有规定的，依照其规定。
第一百条 城镇农村的合作经济组织依法取得法人资格。
法律、行政法规对城镇农村的合作经济组织有规定的，依照其规定。
第一百零一条 居民委员会、村民委员会具有基层群众性自治组织法人资格，可以从事为履行职能所需要的民事活动。
未设立村集体经济组织的，村民委员会可以依法代行村集体经济组织的职能。
第四章 非法人组织
第一百零二条 非法人组织是不具有法人资格，但是能够依法以自己的名义从事民事活动的组织。
非法人组织包括个人独资企业、合伙企业、不具有法人资格的专业服务机构等。
第一百零三条 非法人组织应当依照法律的规定登记。
设立非法人组织，法律、行政法规规定须经有关机关批准的，依照其规定。
第一百零四条 非法人组织的财产不足以清偿债务的，其出资人或者设立人承担无限责任。法律另有规定的，依照其规定。
第一百零五条 非法人组织可以确定一人或者数人代表该组织从事民事活动。
第一百零六条 有下列情形之一的，非法人组织解散：
（一）章程规定的存续期间届满或者章程规定的其他解散事由出现；
（二）出资人或者设立人决定解散；
（三）法律规定的其他情形。
第一百零七条 非法人组织解散的，应当依法进行清算。
第一百零八条 非法人组织除适用本章规定外，参照适用本编第三章第一节的有关规定。
第五章 民事权利
第一百零九条 自然人的人身自由、人格尊严受法律保护。
第一百一十条 自然人享有生命权、身体权、健康权、姓名权、肖像权、名誉权、荣誉权、隐私权、婚姻自主权等权利。
法人、非法人组织享有名称权、名誉权和荣誉权。
第一百一十一条 自然人的个人信息受法律保护。任何组织或者个人需要获取他人个人信息的，应当依法取得并确保信息安全，不得非法收集、使用、加工、传输他人个人信息，不得非法买卖、提供或者公开他人个人信息。
第一百一十二条 自然人因婚姻家庭关系等产生的人身权利受法律保护。
第一百一十三条 民事主体的财产权利受法律平等保护。
第一百一十四条 民事主体依法享有物权。
物权是权利人依法对特定的物享有直接支配和排他的权利，包括所有权、用益物权和担保物权。
第一百一十五条 物包括不动产和动产。法律规定权利作为物权客体的，依照其规定。
第一百一十六条 物权的种类和内容，由法律规定。
第一百一十七条 为了公共利益的需要，依照法律规定的权限和程序征收、征用不动产或者动产的，应当给予公平、合理的补偿。
第一百一十八条 民事主体依法享有债权。
债权是因合同、侵权行为、无因管理、不当得利以及法律的其他规定，权利人请求特定义务人为或者不为一定行为的权利。
第一百一十九条 依法成立的合同，对当事人具有法律约束力。
第一百二十条 民事权益受到侵害的，被侵权人有权请求侵权人承担侵权责任。
第一百二十一条 没有法定的或者约定的义务，为避免他人利益受损失而进行管理的人，有权请求受益人偿还由此支出的必要费用。
第一百二十二条 因他人没有法律根据，取得不当利益，受损失的人有权请求其返还不当利益。
第一百二十三条 民事主体依法享有知识产权。
知识产权是权利人依法就下列客体享有的专有的权利：
（一）作品；
（二）发明、实用新型、外观设计；
（三）商标；
（四）地理标志；
（五）商业秘密；
（六）集成电路布图设计；
（七）植物新品种；
（八）法律规定的其他客体。
第一百二十四条 自然人依法享有继承权。
自然人合法的私有财产，可以依法继承。
第一百二十五条 民事主体依法享有股权和其他投资性权利。
第一百二十六条 民事主体享有法律规定的其他民事权利和利益。
第一百二十七条 法律对数据、网络虚拟财产的保护有规定的，依照其规定。
第一百二十八条 法律对未成年人、老年人、残疾人、妇女、消费者等的民事权利保护有特别规定的，依照其规定。
第一百二十九条 民事权利可以依据民事法律行为、事实行为、法律规定的事件或者法律规定的其他方式取得。
第一百三十条 民事主体按照自己的意愿依法行使民事权利，不受干涉。
第一百三十一条 民事主体行使权利时，应当履行法律规定的和当事人约定的义务。
第一百三十二条 民事主体不得滥用民事权利损害国家利益、社会公共利益或者他人合法权益。
第六章 民事法律行为
第一节 一般规定
第一百三十三条 民事法律行为是民事主体通过意思表示设立、变更、终止民事法律关系的行为。
第一百三十四条 民事法律行为可以基于双方或者多方的意思表示一致成立，也可以基于单方的意思表示成立。
法人、非法人组织依照法律或者章程规定的议事方式和表决程序作出决议的，该决议行为成立。
第一百三十五条 民事法律行为可以采用书面形式、口头形式或者其他形式；法律、行政法规规定或者当事人约定采用特定形式的，应当采用特定形式。
第一百三十六条 民事法律行为自成立时生效，但是法律另有规定或者当事人另有约定的除外。
行为人非依法律规定或者未经对方同意，不得擅自变更或者解除民事法律行为。
第二节 意思表示
第一百三十七条 以对话方式作出的意思表示，相对人知道其内容时生效。
以非对话方式作出的意思表示，到达相对人时生效。以非对话方式作出的采用数据电文形式的意思表示，相对人指定特定系统接收数据电文的，该数据电文进入该特定系统时生效；未指定特定系统的，相对人知道或者应当知道该数据电文进入其系统时生效。当事人对采用数据电文形式的意思表示的生效时间另有约定的，按照其约定。
第一百三十八条 无相对人的意思表示，表示完成时生效。法律另有规定的，依照其规定。
第一百三十九条 以公告方式作出的意思表示，公告发布时生效。
第一百四十条 行为人可以明示或者默示作出意思表示。
沉默只有在有法律规定、当事人约定或者符合当事人之间的交易习惯时，才可以视为意思表示。
第一百四十一条 行为人可以撤回意思表示。撤回意思表示的通知应当在意思表示到达相对人前或者与意思表示同时到达相对人。
第一百四十二条 有相对人的意思表示的解释，应当按照所使用的词句，结合相关条款、行为的性质和目的、习惯以及诚信原则，确定意思表示的含义。
无相对人的意思表示的解释，不能完全拘泥于所使用的词句，而应当结合相关条款、行为的性质和目的、习惯以及诚信原则，确定行为人的真实意思。
第三节 民事法律行为的效力
第一百四十三条 具备下列条件的民事法律行为有效：
（一）行为人具有相应的民事行为能力；
（二）意思表示真实；
（三）不违反法律、行政法规的强制性规定，不违背公序良俗。
第一百四十四条 无民事行为能力人实施的民事法律行为无效。
第一百四十五条 限制民事行为能力人实施的纯获利益的民事法律行为或者与其年龄、智力、精神健康状况相适应的民事法律行为有效；实施的其他民事法律行为经法定代理人同意或者追认后有效。
相对人可以催告法定代理人自收到通知之日起三十日内予以追认。法定代理人未作表示的，视为拒绝追认。民事法律行为被追认前，善意相对人有撤销的权利。撤销应当以通知的方式作出。
第一百四十六条 行为人与相对人以虚假的意思表示实施的民事法律行为无效。
以虚假的意思表示隐藏的民事法律行为的效力，依照有关法律规定处理。
第一百四十七条 基于重大误解实施的民事法律行为，行为人有权请求人民法院或者仲裁机构予以撤销。
第一百四十八条 一方以欺诈手段，使对方在违背真实意思的情况下实施的民事法律行为，受欺诈方有权请求人民法院或者仲裁机构予以撤销。
第一百四十九条 第三人实施欺诈行为，使一方在违背真实意思的情况下实施的民事法律行为，对方知道或者应当知道该欺诈行为的，受欺诈方有权请求人民法院或者仲裁机构予以撤销。
第一百五十条 一方或者第三人以胁迫手段，使对方在违背真实意思的情况下实施的民事法律行为，受胁迫方有权请求人民法院或者仲裁机构予以撤销。
第一百五十一条 一方利用对方处于危困状态、缺乏判断能力等情形，致使民事法律行为成立时显失公平的，受损害方有权请求人民法院或者仲裁机构予以撤销。
第一百五十二条 有下列情形之一的，撤销权消灭：
（一）当事人自知道或者应当知道撤销事由之日起一年内、重大误解的当事人自知道或者应当知道撤销事由之日起九十日内没有行使撤销权；
（二）当事人受胁迫，自胁迫行为终止之日起一年内没有行使撤销权；
（三）当事人知道撤销事由后明确表示或者以自己的行为表明放弃撤销权。
当事人自民事法律行为发生之日起五年内没有行使撤销权的，撤销权消灭。
第一百五十三条 违反法律、行政法规的强制性规定的民事法律行为无效。但是，该强制性规定不导致该民事法律行为无效的除外。
违背公序良俗的民事法律行为无效。
第一百五十四条 行为人与相对人恶意串通，损害他人合法权益的民事法律行为无效。
第一百五十五条 无效的或者被撤销的民事法律行为自始没有法律约束力。
第一百五十六条 民事法律行为部分无效，不影响其他部分效力的，其他部分仍然有效。
第一百五十七条 民事法律行为无效、被撤销或者确定不发生效力后，行为人因该行为取得的财产，应当予以返还；不能返还或者没有必要返还的，应当折价补偿。有过错的一方应当赔偿对方由此所受到的损失；各方都有过错的，应当各自承担相应的责任。法律另有规定的，依照其规定。
第四节 民事法律行为的附条件和附期限
第一百五十八条 民事法律行为可以附条件，但是根据其性质不得附条件的除外。附生效条件的民事法律行为，自条件成就时生效。附解除条件的民事法律行为，自条件成就时失效。
第一百五十九条 附条件的民事法律行为，当事人为自己的利益不正当地阻止条件成就的，视为条件已经成就；不正当地促成条件成就的，视为条件不成就。
第一百六十条 民事法律行为可以附期限，但是根据其性质不得附期限的除外。附生效期限的民事法律行为，自期限届至时生效。附终止期限的民事法律行为，自期限届满时失效。
第七章 代 理
第一节 一般规定
第一百六十一条 民事主体可以通过代理人实施民事法律行为。
依照法律规定、当事人约定或者民事法律行为的性质，应当由本人亲自实施的民事法律行为，不得代理。
第一百六十二条 代理人在代理权限内，以被代理人名义实施的民事法律行为，对被代理人发生效力。
第一百六十三条 代理包括委托代理和法定代理。
委托代理人按照被代理人的委托行使代理权。法定代理人依照法律的规定行使代理权。
第一百六十四条 代理人不履行或者不完全履行职责，造成被代理人损害的，应当承担民事责任。
代理人和相对人恶意串通，损害被代理人合法权益的，代理人和相对人应当承担连带责任。
第二节 委托代理
第一百六十五条 委托代理授权采用书面形式的，授权委托书应当载明代理人的姓名或者名称、代理事项、权限和期限，并由被代理人签名或者盖章。
第一百六十六条 数人为同一代理事项的代理人的，应当共同行使代理权，但是当事人另有约定的除外。
第一百六十七条 代理人知道或者应当知道代理事项违法仍然实施代理行为，或者被代理人知道或者应当知道代理人的代理行为违法未作反对表示的，被代理人和代理人应当承担连带责任。
第一百六十八条 代理人不得以被代理人的名义与自己实施民事法律行为，但是被代理人同意或者追认的除外。
代理人不得以被代理人的名义与自己同时代理的其他人实施民事法律行为，但是被代理的双方同意或者追认的除外。
第一百六十九条 代理人需要转委托第三人代理的，应当取得被代理人的同意或者追认。
转委托代理经被代理人同意或者追认的，被代理人可以就代理事务直接指示转委托的第三人，代理人仅就第三人的选任以及对第三人的指示承担责任。
转委托代理未经被代理人同意或者追认的，代理人应当对转委托的第三人的行为承担责任；但是，在紧急情况下代理人为了维护被代理人的利益需要转委托第三人代理的除外。
第一百七十条 执行法人或者非法人组织工作任务的人员，就其职权范围内的事项，以法人或者非法人组织的名义实施的民事法律行为，对法人或者非法人组织发生效力。
法人或者非法人组织对执行其工作任务的人员职权范围的限制，不得对抗善意相对人。
第一百七十一条 行为人没有代理权、超越代理权或者代理权终止后，仍然实施代理行为，未经被代理人追认的，对被代理人不发生效力。
相对人可以催告被代理人自收到通知之日起三十日内予以追认。被代理人未作表示的，视为拒绝追认。行为人实施的行为被追认前，善意相对人有撤销的权利。撤销应当以通知的方式作出。
行为人实施的行为未被追认的，善意相对人有权请求行为人履行债务或者就其受到的损害请求行为人赔偿。但是，赔偿的范围不得超过被代理人追认时相对人所能获得的利益。
相对人知道或者应当知道行为人无权代理的，相对人和行为人按照各自的过错承担责任。
第一百七十二条 行为人没有代理权、超越代理权或者代理权终止后，仍然实施代理行为，相对人有理由相信行为人有代理权的，代理行为有效。
第三节 代理终止
第一百七十三条 有下列情形之一的，委托代理终止：
（一）代理期限届满或者代理事务完成；
（二）被代理人取消委托或者代理人辞去委托；
（三）代理人丧失民事行为能力；
（四）代理人或者被代理人死亡；
（五）作为代理人或者被代理人的法人、非法人组织终止。
第一百七十四条 被代理人死亡后，有下列情形之一的，委托代理人实施的代理行为有效：
（一）代理人不知道且不应当知道被代理人死亡；
（二）被代理人的继承人予以承认；
（三）授权中明确代理权在代理事务完成时终止；
（四）被代理人死亡前已经实施，为了被代理人的继承人的利益继续代理。
作为被代理人的法人、非法人组织终止的，参照适用前款规定。
第一百七十五条 有下列情形之一的，法定代理终止：
（一）被代理人取得或者恢复完全民事行为能力；
（二）代理人丧失民事行为能力；
（三）代理人或者被代理人死亡；
（四）法律规定的其他情形。
第八章 民事责任
第一百七十六条 民事主体依照法律规定或者按照当事人约定，履行民事义务，承担民事责任。
第一百七十七条 二人以上依法承担按份责任，能够确定责任大小的，各自承担相应的责任；难以确定责任大小的，平均承担责任。
第一百七十八条 二人以上依法承担连带责任的，权利人有权请求部分或者全部连带责任人承担责任。
连带责任人的责任份额根据各自责任大小确定；难以确定责任大小的，平均承担责任。实际承担责任超过自己责任份额的连带责任人，有权向其他连带责任人追偿。
连带责任，由法律规定或者当事人约定。
第一百七十九条 承担民事责任的方式主要有：
（一）停止侵害；
（二）排除妨碍；
（三）消除危险；
（四）返还财产；
（五）恢复原状；
（六）修理、重作、更换；
（七）继续履行；
（八）赔偿损失；
（九）支付违约金；
（十）消除影响、恢复名誉；
（十一）赔礼道歉。
法律规定惩罚性赔偿的，依照其规定。
本条规定的承担民事责任的方式，可以单独适用，也可以合并适用。
第一百八十条 因不可抗力不能履行民事义务的，不承担民事责任。法律另有规定的，依照其规定。
不可抗力是不能预见、不能避免且不能克服的客观情况。
第一百八十一条 因正当防卫造成损害的，不承担民事责任。
正当防卫超过必要的限度，造成不应有的损害的，正当防卫人应当承担适当的民事责任。
第一百八十二条 因紧急避险造成损害的，由引起险情发生的人承担民事责任。
危险由自然原因引起的，紧急避险人不承担民事责任，可以给予适当补偿。
紧急避险采取措施不当或者超过必要的限度，造成不应有的损害的，紧急避险人应当承担适当的民事责任。
第一百八十三条 因保护他人民事权益使自己受到损害的，由侵权人承担民事责任，受益人可以给予适当补偿。没有侵权人、侵权人逃逸或者无力承担民事责任，受害人请求补偿的，受益人应当给予适当补偿。
第一百八十四条 因自愿实施紧急救助行为造成受助人损害的，救助人不承担民事责任。
第一百八十五条 侵害英雄烈士等的姓名、肖像、名誉、荣誉，损害社会公共利益的，应当承担民事责任。
第一百八十六条 因当事人一方的违约行为，损害对方人身权益、财产权益的，受损害方有权选择请求其承担违约责任或者侵权责任。
第一百八十七条 民事主体因同一行为应当承担民事责任、行政责任和刑事责任的，承担行政责任或者刑事责任不影响承担民事责任；民事主体的财产不足以支付的，优先用于承担民事责任。
第九章 诉讼时效
第一百八十八条 向人民法院请求保护民事权利的诉讼时效期间为三年。法律另有规定的，依照其规定。
诉讼时效期间自权利人知道或者应当知道权利受到损害以及义务人之日起计算。法律另有规定的，依照其规定。但是，自权利受到损害之日起超过二十年的，人民法院不予保护，有特殊情况的，人民法院可以根据权利人的申请决定延长。
第一百八十九条 当事人约定同一债务分期履行的，诉讼时效期间自最后一期履行期限届满之日起计算。
第一百九十条 无民事行为能力人或者限制民事行为能力人对其法定代理人的请求权的诉讼时效期间，自该法定代理终止之日起计算。
第一百九十一条 未成年人遭受性侵害的损害赔偿请求权的诉讼时效期间，自受害人年满十八周岁之日起计算。
第一百九十二条 诉讼时效期间届满的，义务人可以提出不履行义务的抗辩。
诉讼时效期间届满后，义务人同意履行的，不得以诉讼时效期间届满为由抗辩；义务人已经自愿履行的，不得请求返还。
第一百九十三条 人民法院不得主动适用诉讼时效的规定。
第一百九十四条 在诉讼时效期间的最后六个月内，因下列障碍，不能行使请求权的，诉讼时效中止：
（一）不可抗力；
（二）无民事行为能力人或者限制民事行为能力人没有法定代理人，或者法定代理人死亡、丧失民事行为能力、丧失代理权；
（三）继承开始后未确定继承人或者遗产管理人；
（四）权利人被义务人或者其他人控制；
（五）其他导致权利人不能行使请求权的障碍。
自中止时效的原因消除之日起满六个月，诉讼时效期间届满。
第一百九十五条 有下列情形之一的，诉讼时效中断，从中断、有关程序终结时起，诉讼时效期间重新计算：
（一）权利人向义务人提出履行请求；
（二）义务人同意履行义务；
（三）权利人提起诉讼或者申请仲裁；
（四）与提起诉讼或者申请仲裁具有同等效力的其他情形。
第一百九十六条 下列请求权不适用诉讼时效的规定：
（一）请求停止侵害、排除妨碍、消除危险；
（二）不动产物权和登记的动产物权的权利人请求返还财产；
（三）请求支付抚养费、赡养费或者扶养费；
（四）依法不适用诉讼时效的其他请求权。
第一百九十七条 诉讼时效的期间、计算方法以及中止、中断的事由由法律规定，当事人约定无效。
当事人对诉讼时效利益的预先放弃无效。
第一百九十八条 法律对仲裁时效有规定的，依照其规定；没有规定的，适用诉讼时效的规定。
第一百九十九条 法律规定或者当事人约定的撤销权、解除权等权利的存续期间，除法律另有规定外，自权利人知道或者应当知道权利产生之日起计算，不适用有关诉讼时效中止、中断和延长的规定。存续期间届满，撤销权、解除权等权利消灭。
第十章 期间计算
第二百条 民法所称的期间按照公历年、月、日、小时计算。
第二百零一条 按照年、月、日计算期间的，开始的当日不计入，自下一日开始计算。
按照小时计算期间的，自法律规定或者当事人约定的时间开始计算。
第二百零二条 按照年、月计算期间的，到期月的对应日为期间的最后一日；没有对应日的，月末日为期间的最后一日。
第二百零三条 期间的最后一日是法定休假日的，以法定休假日结束的次日为期间的最后一日。
期间的最后一日的截止时间为二十四时；有业务时间的，停止业务活动的时间为截止时间。
第二百零四条 期间的计算方法依照本法的规定，但是法律另有规定或者当事人另有约定的除外。
第二编 物 权
第一分编 通 则
第一章 一般规定
第二百零五条 本编调整因物的归属和利用产生的民事关系。
第二百零六条 国家坚持和完善公有制为主体、多种所有制经济共同发展，按劳分配为主体、多种分配方式并存，社会主义市场经济体制等社会主义基本经济制度。
国家巩固和发展公有制经济，鼓励、支持和引导非公有制经济的发展。
国家实行社会主义市场经济，保障一切市场主体的平等法律地位和发展权利。
第二百零七条 国家、集体、私人的物权和其他权利人的物权受法律平等保护，任何组织或者个人不得侵犯。
第二百零八条 不动产物权的设立、变更、转让和消灭，应当依照法律规定登记。动产物权的设立和转让，应当依照法律规定交付。
第二章 物权的设立、变更、转让和消灭
第一节 不动产登记
第二百零九条 不动产物权的设立、变更、转让和消灭，经依法登记，发生效力；未经登记，不发生效力，但是法律另有规定的除外。
依法属于国家所有的自然资源，所有权可以不登记。
第二百一十条 不动产登记，由不动产所在地的登记机构办理。
国家对不动产实行统一登记制度。统一登记的范围、登记机构和登记办法，由法律、行政法规规定。
第二百一十一条 当事人申请登记，应当根据不同登记事项提供权属证明和不动产界址、面积等必要材料。
第二百一十二条 登记机构应当履行下列职责：
（一）查验申请人提供的权属证明和其他必要材料；
（二）就有关登记事项询问申请人；
（三）如实、及时登记有关事项；
（四）法律、行政法规规定的其他职责。
申请登记的不动产的有关情况需要进一步证明的，登记机构可以要求申请人补充材料，必要时可以实地查看。
第二百一十三条 登记机构不得有下列行为：
（一）要求对不动产进行评估；
（二）以年检等名义进行重复登记；
（三）超出登记职责范围的其他行为。
第二百一十四条 不动产物权的设立、变更、转让和消灭，依照法律规定应当登记的，自记载于不动产登记簿时发生效力。
第二百一十五条 当事人之间订立有关设立、变更、转让和消灭不动产物权的合同，除法律另有规定或者当事人另有约定外，自合同成立时生效；未办理物权登记的，不影响合同效力。
第二百一十六条 不动产登记簿是物权归属和内容的根据。
不动产登记簿由登记机构管理。
第二百一十七条 不动产权属证书是权利人享有该不动产物权的证明。不动产权属证书记载的事项，应当与不动产登记簿一致；记载不一致的，除有证据证明不动产登记簿确有错误外，以不动产登记簿为准。
第二百一十八条 权利人、利害关系人可以申请查询、复制不动产登记资料，登记机构应当提供。
第二百一十九条 利害关系人不得公开、非法使用权利人的不动产登记资料。
第二百二十条 权利人、利害关系人认为不动产登记簿记载的事项错误的，可以申请更正登记。不动产登记簿记载的权利人书面同意更正或者有证据证明登记确有错误的，登记机构应当予以更正。
不动产登记簿记载的权利人不同意更正的，利害关系人可以申请异议登记。登记机构予以异议登记，申请人自异议登记之日起十五日内不提起诉讼的，异议登记失效。异议登记不当，造成权利人损害的，权利人可以向申请人请求损害赔偿。
第二百二十一条 当事人签订买卖房屋的协议或者签订其他不动产物权的协议，为保障将来实现物权，按照约定可以向登记机构申请预告登记。预告登记后，未经预告登记的权利人同意，处分该不动产的，不发生物权效力。
预告登记后，债权消灭或者自能够进行不动产登记之日起九十日内未申请登记的，预告登记失效。
第二百二十二条 当事人提供虚假材料申请登记，造成他人损害的，应当承担赔偿责任。
因登记错误，造成他人损害的，登记机构应当承担赔偿责任。登记机构赔偿后，可以向造成登记错误的人追偿。
第二百二十三条 不动产登记费按件收取，不得按照不动产的面积、体积或者价款的比例收取。
第二节 动产交付
第二百二十四条 动产物权的设立和转让，自交付时发生效力，但是法律另有规定的除外。
第二百二十五条 船舶、航空器和机动车等的物权的设立、变更、转让和消灭，未经登记，不得对抗善意第三人。
第二百二十六条 动产物权设立和转让前，权利人已经占有该动产的，物权自民事法律行为生效时发生效力。
第二百二十七条 动产物权设立和转让前，第三人占有该动产的，负有交付义务的人可以通过转让请求第三人返还原物的权利代替交付。
第二百二十八条 动产物权转让时，当事人又约定由出让人继续占有该动产的，物权自该约定生效时发生效力。
第三节 其他规定
第二百二十九条 因人民法院、仲裁机构的法律文书或者人民政府的征收决定等，导致物权设立、变更、转让或者消灭的，自法律文书或者征收决定等生效时发生效力。
第二百三十条 因继承取得物权的，自继承开始时发生效力。
第二百三十一条 因合法建造、拆除房屋等事实行为设立或者消灭物权的，自事实行为成就时发生效力。
第二百三十二条 处分依照本节规定享有的不动产物权，依照法律规定需要办理登记的，未经登记，不发生物权效力。
第三章 物权的保护
第二百三十三条 物权受到侵害的，权利人可以通过和解、调解、仲裁、诉讼等途径解决。
第二百三十四条 因物权的归属、内容发生争议的，利害关系人可以请求确认权利。
第二百三十五条 无权占有不动产或者动产的，权利人可以请求返还原物。
第二百三十六条 妨害物权或者可能妨害物权的，权利人可以请求排除妨害或者消除危险。
第二百三十七条 造成不动产或者动产毁损的，权利人可以依法请求修理、重作、更换或者恢复原状。
第二百三十八条 侵害物权，造成权利人损害的，权利人可以依法请求损害赔偿，也可以依法请求承担其他民事责任。
第二百三十九条 本章规定的物权保护方式，可以单独适用，也可以根据权利被侵害的情形合并适用。
第二分编 所有权
第四章 一般规定
第二百四十条 所有权人对自己的不动产或者动产，依法享有占有、使用、收益和处分的权利。
第二百四十一条 所有权人有权在自己的不动产或者动产上设立用益物权和担保物权。用益物权人、担保物权人行使权利，不得损害所有权人的权益。
第二百四十二条 法律规定专属于国家所有的不动产和动产，任何组织或者个人不能取得所有权。
第二百四十三条 为了公共利益的需要，依照法律规定的权限和程序可以征收集体所有的土地和组织、个人的房屋以及其他不动产。
征收集体所有的土地，应当依法及时足额支付土地补偿费、安置补助费以及农村村民住宅、其他地上附着物和青苗等的补偿费用，并安排被征地农民的社会保障费用，保障被征地农民的生活，维护被征地农民的合法权益。
征收组织、个人的房屋以及其他不动产，应当依法给予征收补偿，维护被征收人的合法权益；征收个人住宅的，还应当保障被征收人的居住条件。
任何组织或者个人不得贪污、挪用、私分、截留、拖欠征收补偿费等费用。
第二百四十四条 国家对耕地实行特殊保护，严格限制农用地转为建设用地，控制建设用地总量。不得违反法律规定的权限和程序征收集体所有的土地。
第二百四十五条 因抢险救灾、疫情防控等紧急需要，依照法律规定的权限和程序可以征用组织、个人的不动产或者动产。被征用的不动产或者动产使用后，应当返还被征用人。组织、个人的不动产或者动产被征用或者征用后毁损、灭失的，应当给予补偿。
第五章 国家所有权和集体所有权、私人所有权
第二百四十六条 法律规定属于国家所有的财产，属于国家所有即全民所有。
国有财产由国务院代表国家行使所有权。法律另有规定的，依照其规定。
第二百四十七条 矿藏、水流、海域属于国家所有。
第二百四十八条 无居民海岛属于国家所有，国务院代表国家行使无居民海岛所有权。
第二百四十九条 城市的土地，属于国家所有。法律规定属于国家所有的农村和城市郊区的土地，属于国家所有。
第二百五十条 森林、山岭、草原、荒地、滩涂等自然资源，属于国家所有，但是法律规定属于集体所有的除外。
第二百五十一条 法律规定属于国家所有的野生动植物资源，属于国家所有。
第二百五十二条 无线电频谱资源属于国家所有。
第二百五十三条 法律规定属于国家所有的文物，属于国家所有。
第二百五十四条 国防资产属于国家所有。
铁路、公路、电力设施、电信设施和油气管道等基础设施，依照法律规定为国家所有的，属于国家所有。
第二百五十五条 国家机关对其直接支配的不动产和动产，享有占有、使用以及依照法律和国务院的有关规定处分的权利。
第二百五十六条 国家举办的事业单位对其直接支配的不动产和动产，享有占有、使用以及依照法律和国务院的有关规定收益、处分的权利。
第二百五十七条 国家出资的企业，由国务院、地方人民政府依照法律、行政法规规定分别代表国家履行出资人职责，享有出资人权益。
第二百五十八条 国家所有的财产受法律保护，禁止任何组织或者个人侵占、哄抢、私分、截留、破坏。
第二百五十九条 履行国有财产管理、监督职责的机构及其工作人员，应当依法加强对国有财产的管理、监督，促进国有财产保值增值，防止国有财产损失；滥用职权，玩忽职守，造成国有财产损失的，应当依法承担法律责任。
违反国有财产管理规定，在企业改制、合并分立、关联交易等过程中，低价转让、合谋私分、擅自担保或者以其他方式造成国有财产损失的，应当依法承担法律责任。
第二百六十条 集体所有的不动产和动产包括：
（一）法律规定属于集体所有的土地和森林、山岭、草原、荒地、滩涂；
（二）集体所有的建筑物、生产设施、农田水利设施；
（三）集体所有的教育、科学、文化、卫生、体育等设施；
（四）集体所有的其他不动产和动产。
第二百六十一条 农民集体所有的不动产和动产，属于本集体成员集体所有。
下列事项应当依照法定程序经本集体成员决定：
（一）土地承包方案以及将土地发包给本集体以外的组织或者个人承包；
（二）个别土地承包经营权人之间承包地的调整；
（三）土地补偿费等费用的使用、分配办法；
（四）集体出资的企业的所有权变动等事项；
（五）法律规定的其他事项。
第二百六十二条 对于集体所有的土地和森林、山岭、草原、荒地、滩涂等，依照下列规定行使所有权：
（一）属于村农民集体所有的，由村集体经济组织或者村民委员会依法代表集体行使所有权；
（二）分别属于村内两个以上农民集体所有的，由村内各该集体经济组织或者村民小组依法代表集体行使所有权；
（三）属于乡镇农民集体所有的，由乡镇集体经济组织代表集体行使所有权。
第二百六十三条 城镇集体所有的不动产和动产，依照法律、行政法规的规定由本集体享有占有、使用、收益和处分的权利。
第二百六十四条 农村集体经济组织或者村民委员会、村民小组应当依照法律、行政法规以及章程、村规民约向本集体成员公布集体财产的状况。集体成员有权查阅、复制相关资料。
第二百六十五条 集体所有的财产受法律保护，禁止任何组织或者个人侵占、哄抢、私分、破坏。
农村集体经济组织、村民委员会或者其负责人作出的决定侵害集体成员合法权益的，受侵害的集体成员可以请求人民法院予以撤销。
第二百六十六条 私人对其合法的收入、房屋、生活用品、生产工具、原材料等不动产和动产享有所有权。
第二百六十七条 私人的合法财产受法律保护，禁止任何组织或者个人侵占、哄抢、破坏。
第二百六十八条 国家、集体和私人依法可以出资设立有限责任公司、股份有限公司或者其他企业。国家、集体和私人所有的不动产或者动产投到企业的，由出资人按照约定或者出资比例享有资产收益、重大决策以及选择经营管理者等权利并履行义务。
第二百六十九条 营利法人对其不动产和动产依照法律、行政法规以及章程享有占有、使用、收益和处分的权利。
营利法人以外的法人，对其不动产和动产的权利，适用有关法律、行政法规以及章程的规定。
第二百七十条 社会团体法人、捐助法人依法所有的不动产和动产，受法律保护。
第六章 业主的建筑物区分所有权
第二百七十一条 业主对建筑物内的住宅、经营性用房等专有部分享有所有权，对专有部分以外的共有部分享有共有和共同管理的权利。
第二百七十二条 业主对其建筑物专有部分享有占有、使用、收益和处分的权利。业主行使权利不得危及建筑物的安全，不得损害其他业主的合法权益。
第二百七十三条 业主对建筑物专有部分以外的共有部分，享有权利，承担义务；不得以放弃权利为由不履行义务。
业主转让建筑物内的住宅、经营性用房，其对共有部分享有的共有和共同管理的权利一并转让。
第二百七十四条 建筑区划内的道路，属于业主共有，但是属于城镇公共道路的除外。建筑区划内的绿地，属于业主共有，但是属于城镇公共绿地或者明示属于个人的除外。建筑区划内的其他公共场所、公用设施和物业服务用房，属于业主共有。
第二百七十五条 建筑区划内，规划用于停放汽车的车位、车库的归属，由当事人通过出售、附赠或者出租等方式约定。
占用业主共有的道路或者其他场地用于停放汽车的车位，属于业主共有。
第二百七十六条 建筑区划内，规划用于停放汽车的车位、车库应当首先满足业主的需要。
第二百七十七条 业主可以设立业主大会，选举业主委员会。业主大会、业主委员会成立的具体条件和程序，依照法律、法规的规定。
地方人民政府有关部门、居民委员会应当对设立业主大会和选举业主委员会给予指导和协助。
第二百七十八条 下列事项由业主共同决定：
（一）制定和修改业主大会议事规则；
（二）制定和修改管理规约；
（三）选举业主委员会或者更换业主委员会成员；
（四）选聘和解聘物业服务企业或者其他管理人；
（五）使用建筑物及其附属设施的维修资金；
（六）筹集建筑物及其附属设施的维修资金；
（七）改建、重建建筑物及其附属设施；
（八）改变共有部分的用途或者利用共有部分从事经营活动；
（九）有关共有和共同管理权利的其他重大事项。
业主共同决定事项，应当由专有部分面积占比三分之二以上的业主且人数占比三分之二以上的业主参与表决。决定前款第六项至第八项规定的事项，应当经参与表决专有部分面积四分之三以上的业主且参与表决人数四分之三以上的业主同意。决定前款其他事项，应当经参与表决专有部分面积过半数的业主且参与表决人数过半数的业主同意。
第二百七十九条 业主不得违反法律、法规以及管理规约，将住宅改变为经营性用房。业主将住宅改变为经营性用房的，除遵守法律、法规以及管理规约外，应当经有利害关系的业主一致同意。
第二百八十条 业主大会或者业主委员会的决定，对业主具有法律约束力。
业主大会或者业主委员会作出的决定侵害业主合法权益的，受侵害的业主可以请求人民法院予以撤销。
第二百八十一条 建筑物及其附属设施的维修资金，属于业主共有。经业主共同决定，可以用于电梯、屋顶、外墙、无障碍设施等共有部分的维修、更新和改造。建筑物及其附属设施的维修资金的筹集、使用情况应当定期公布。
紧急情况下需要维修建筑物及其附属设施的，业主大会或者业主委员会可以依法申请使用建筑物及其附属设施的维修资金。
第二百八十二条 建设单位、物业服务企业或者其他管理人等利用业主的共有部分产生的收入，在扣除合理成本之后，属于业主共有。
第二百八十三条 建筑物及其附属设施的费用分摊、收益分配等事项，有约定的，按照约定；没有约定或者约定不明确的，按照业主专有部分面积所占比例确定。
第二百八十四条 业主可以自行管理建筑物及其附属设施，也可以委托物业服务企业或者其他管理人管理。
对建设单位聘请的物业服务企业或者其他管理人，业主有权依法更换。
第二百八十五条 物业服务企业或者其他管理人根据业主的委托，依照本法第三编有关物业服务合同的规定管理建筑区划内的建筑物及其附属设施，接受业主的监督，并及时答复业主对物业服务情况提出的询问。
物业服务企业或者其他管理人应当执行政府依法实施的应急处置措施和其他管理措施，积极配合开展相关工作。
第二百八十六条 业主应当遵守法律、法规以及管理规约，相关行为应当符合节约资源、保护生态环境的要求。对于物业服务企业或者其他管理人执行政府依法实施的应急处置措施和其他管理措施，业主应当依法予以配合。
业主大会或者业主委员会，对任意弃置垃圾、排放污染物或者噪声、违反规定饲养动物、违章搭建、侵占通道、拒付物业费等损害他人合法权益的行为，有权依照法律、法规以及管理规约，请求行为人停止侵害、排除妨碍、消除危险、恢复原状、赔偿损失。
业主或者其他行为人拒不履行相关义务的，有关当事人可以向有关行政主管部门报告或者投诉，有关行政主管部门应当依法处理。
第二百八十七条 业主对建设单位、物业服务企业或者其他管理人以及其他业主侵害自己合法权益的行为，有权请求其承担民事责任。
第七章 相邻关系
第二百八十八条 不动产的相邻权利人应当按照有利生产、方便生活、团结互助、公平合理的原则，正确处理相邻关系。
第二百八十九条 法律、法规对处理相邻关系有规定的，依照其规定；法律、法规没有规定的，可以按照当地习惯。
第二百九十条 不动产权利人应当为相邻权利人用水、排水提供必要的便利。
对自然流水的利用，应当在不动产的相邻权利人之间合理分配。对自然流水的排放，应当尊重自然流向。
第二百九十一条 不动产权利人对相邻权利人因通行等必须利用其土地的，应当提供必要的便利。
第二百九十二条 不动产权利人因建造、修缮建筑物以及铺设电线、电缆、水管、暖气和燃气管线等必须利用相邻土地、建筑物的，该土地、建筑物的权利人应当提供必要的便利。
第二百九十三条 建造建筑物，不得违反国家有关工程建设标准，不得妨碍相邻建筑物的通风、采光和日照。
第二百九十四条 不动产权利人不得违反国家规定弃置固体废物，排放大气污染物、水污染物、土壤污染物、噪声、光辐射、电磁辐射等有害物质。
第二百九十五条 不动产权利人挖掘土地、建造建筑物、铺设管线以及安装设备等，不得危及相邻不动产的安全。
第二百九十六条 不动产权利人因用水、排水、通行、铺设管线等利用相邻不动产的，应当尽量避免对相邻的不动产权利人造成损害。
第八章 共 有
第二百九十七条 不动产或者动产可以由两个以上组织、个人共有。共有包括按份共有和共同共有。
第二百九十八条 按份共有人对共有的不动产或者动产按照其份额享有所有权。
第二百九十九条 共同共有人对共有的不动产或者动产共同享有所有权。
第三百条 共有人按照约定管理共有的不动产或者动产；没有约定或者约定不明确的，各共有人都有管理的权利和义务。
第三百零一条 处分共有的不动产或者动产以及对共有的不动产或者动产作重大修缮、变更性质或者用途的，应当经占份额三分之二以上的按份共有人或者全体共同共有人同意，但是共有人之间另有约定的除外。
第三百零二条 共有人对共有物的管理费用以及其他负担，有约定的，按照其约定；没有约定或者约定不明确的，按份共有人按照其份额负担，共同共有人共同负担。
第三百零三条 共有人约定不得分割共有的不动产或者动产，以维持共有关系的，应当按照约定，但是共有人有重大理由需要分割的，可以请求分割；没有约定或者约定不明确的，按份共有人可以随时请求分割，共同共有人在共有的基础丧失或者有重大理由需要分割时可以请求分割。因分割造成其他共有人损害的，应当给予赔偿。
第三百零四条 共有人可以协商确定分割方式。达不成协议，共有的不动产或者动产可以分割且不会因分割减损价值的，应当对实物予以分割；难以分割或者因分割会减损价值的，应当对折价或者拍卖、变卖取得的价款予以分割。
共有人分割所得的不动产或者动产有瑕疵的，其他共有人应当分担损失。
第三百零五条 按份共有人可以转让其享有的共有的不动产或者动产份额。其他共有人在同等条件下享有优先购买的权利。
第三百零六条 按份共有人转让其享有的共有的不动产或者动产份额的，应当将转让条件及时通知其他共有人。其他共有人应当在合理期限内行使优先购买权。
两个以上其他共有人主张行使优先购买权的，协商确定各自的购买比例；协商不成的，按照转让时各自的共有份额比例行使优先购买权。
第三百零七条 因共有的不动产或者动产产生的债权债务，在对外关系上，共有人享有连带债权、承担连带债务，但是法律另有规定或者第三人知道共有人不具有连带债权债务关系的除外；在共有人内部关系上，除共有人另有约定外，按份共有人按照份额享有债权、承担债务，共同共有人共同享有债权、承担债务。偿还债务超过自己应当承担份额的按份共有人，有权向其他共有人追偿。
第三百零八条 共有人对共有的不动产或者动产没有约定为按份共有或者共同共有，或者约定不明确的，除共有人具有家庭关系等外，视为按份共有。
第三百零九条 按份共有人对共有的不动产或者动产享有的份额，没有约定或者约定不明确的，按照出资额确定；不能确定出资额的，视为等额享有。
第三百一十条 两个以上组织、个人共同享有用益物权、担保物权的，参照适用本章的有关规定。
第九章 所有权取得的特别规定
第三百一十一条 无处分权人将不动产或者动产转让给受让人的，所有权人有权追回；除法律另有规定外，符合下列情形的，受让人取得该不动产或者动产的所有权：
（一）受让人受让该不动产或者动产时是善意；
（二）以合理的价格转让；
（三）转让的不动产或者动产依照法律规定应当登记的已经登记，不需要登记的已经交付给受让人。
受让人依据前款规定取得不动产或者动产的所有权的，原所有权人有权向无处分权人请求损害赔偿。
当事人善意取得其他物权的，参照适用前两款规定。
第三百一十二条 所有权人或者其他权利人有权追回遗失物。该遗失物通过转让被他人占有的，权利人有权向无处分权人请求损害赔偿，或者自知道或者应当知道受让人之日起二年内向受让人请求返还原物；但是，受让人通过拍卖或者向具有经营资格的经营者购得该遗失物的，权利人请求返还原物时应当支付受让人所付的费用。权利人向受让人支付所付费用后，有权向无处分权人追偿。
第三百一十三条 善意受让人取得动产后，该动产上的原有权利消灭。但是，善意受让人在受让时知道或者应当知道该权利的除外。
第三百一十四条 拾得遗失物，应当返还权利人。拾得人应当及时通知权利人领取，或者送交公安等有关部门。
第三百一十五条 有关部门收到遗失物，知道权利人的，应当及时通知其领取；不知道的，应当及时发布招领公告。
第三百一十六条 拾得人在遗失物送交有关部门前，有关部门在遗失物被领取前，应当妥善保管遗失物。因故意或者重大过失致使遗失物毁损、灭失的，应当承担民事责任。
第三百一十七条 权利人领取遗失物时，应当向拾得人或者有关部门支付保管遗失物等支出的必要费用。
权利人悬赏寻找遗失物的，领取遗失物时应当按照承诺履行义务。
拾得人侵占遗失物的，无权请求保管遗失物等支出的费用，也无权请求权利人按照承诺履行义务。
第三百一十八条 遗失物自发布招领公告之日起一年内无人认领的，归国家所有。
第三百一十九条 拾得漂流物、发现埋藏物或者隐藏物的，参照适用拾得遗失物的有关规定。法律另有规定的，依照其规定。
第三百二十条 主物转让的，从物随主物转让，但是当事人另有约定的除外。
第三百二十一条 天然孳息，由所有权人取得；既有所有权人又有用益物权人的，由用益物权人取得。当事人另有约定的，按照其约定。
法定孳息，当事人有约定的，按照约定取得；没有约定或者约定不明确的，按照交易习惯取得。
第三百二十二条 因加工、附合、混合而产生的物的归属，有约定的，按照约定；没有约定或者约定不明确的，依照法律规定；法律没有规定的，按照充分发挥物的效用以及保护无过错当事人的原则确定。因一方当事人的过错或者确定物的归属造成另一方当事人损害的，应当给予赔偿或者补偿。
第三分编 用益物权
第十章 一般规定
第三百二十三条 用益物权人对他人所有的不动产或者动产，依法享有占有、使用和收益的权利。
第三百二十四条 国家所有或者国家所有由集体使用以及法律规定属于集体所有的自然资源，组织、个人依法可以占有、使用和收益。
第三百二十五条 国家实行自然资源有偿使用制度，但是法律另有规定的除外。
第三百二十六条 用益物权人行使权利，应当遵守法律有关保护和合理开发利用资源、保护生态环境的规定。所有权人不得干涉用益物权人行使权利。
第三百二十七条 因不动产或者动产被征收、征用致使用益物权消灭或者影响用益物权行使的，用益物权人有权依据本法第二百四十三条、第二百四十五条的规定获得相应补偿。
第三百二十八条 依法取得的海域使用权受法律保护。
第三百二十九条 依法取得的探矿权、采矿权、取水权和使用水域、滩涂从事养殖、捕捞的权利受法律保护。
第十一章 土地承包经营权
第三百三十条 农村集体经济组织实行家庭承包经营为基础、统分结合的双层经营体制。
农民集体所有和国家所有由农民集体使用的耕地、林地、草地以及其他用于农业的土地，依法实行土地承包经营制度。
第三百三十一条 土地承包经营权人依法对其承包经营的耕地、林地、草地等享有占有、使用和收益的权利，有权从事种植业、林业、畜牧业等农业生产。
第三百三十二条 耕地的承包期为三十年。草地的承包期为三十年至五十年。林地的承包期为三十年至七十年。
前款规定的承包期限届满，由土地承包经营权人依照农村土地承包的法律规定继续承包。
第三百三十三条 土地承包经营权自土地承包经营权合同生效时设立。
登记机构应当向土地承包经营权人发放土地承包经营权证、林权证等证书，并登记造册，确认土地承包经营权。
第三百三十四条 土地承包经营权人依照法律规定，有权将土地承包经营权互换、转让。未经依法批准，不得将承包地用于非农建设。
第三百三十五条 土地承包经营权互换、转让的，当事人可以向登记机构申请登记；未经登记，不得对抗善意第三人。
第三百三十六条 承包期内发包人不得调整承包地。
因自然灾害严重毁损承包地等特殊情形，需要适当调整承包的耕地和草地的，应当依照农村土地承包的法律规定办理。
第三百三十七条 承包期内发包人不得收回承包地。法律另有规定的，依照其规定。
第三百三十八条 承包地被征收的，土地承包经营权人有权依据本法第二百四十三条的规定获得相应补偿。
第三百三十九条 土地承包经营权人可以自主决定依法采取出租、入股或者其他方式向他人流转土地经营权。
第三百四十条 土地经营权人有权在合同约定的期限内占有农村土地，自主开展农业生产经营并取得收益。
第三百四十一条 流转期限为五年以上的土地经营权，自流转合同生效时设立。当事人可以向登记机构申请土地经营权登记；未经登记，不得对抗善意第三人。
第三百四十二条 通过招标、拍卖、公开协商等方式承包农村土地，经依法登记取得权属证书的，可以依法采取出租、入股、抵押或者其他方式流转土地经营权。
第三百四十三条 国家所有的农用地实行承包经营的，参照适用本编的有关规定。
第十二章 建设用地使用权
第三百四十四条 建设用地使用权人依法对国家所有的土地享有占有、使用和收益的权利，有权利用该土地建造建筑物、构筑物及其附属设施。
第三百四十五条 建设用地使用权可以在土地的地表、地上或者地下分别设立。
第三百四十六条 设立建设用地使用权，应当符合节约资源、保护生态环境的要求，遵守法律、行政法规关于土地用途的规定，不得损害已经设立的用益物权。
第三百四十七条 设立建设用地使用权，可以采取出让或者划拨等方式。
工业、商业、旅游、娱乐和商品住宅等经营性用地以及同一土地有两个以上意向用地者的，应当采取招标、拍卖等公开竞价的方式出让。
严格限制以划拨方式设立建设用地使用权。
第三百四十八条 通过招标、拍卖、协议等出让方式设立建设用地使用权的，当事人应当采用书面形式订立建设用地使用权出让合同。
建设用地使用权出让合同一般包括下列条款：
（一）当事人的名称和住所；
（二）土地界址、面积等；
（三）建筑物、构筑物及其附属设施占用的空间；
（四）土地用途、规划条件；
（五）建设用地使用权期限；
（六）出让金等费用及其支付方式；
（七）解决争议的方法。
第三百四十九条 设立建设用地使用权的，应当向登记机构申请建设用地使用权登记。建设用地使用权自登记时设立。登记机构应当向建设用地使用权人发放权属证书。
第三百五十条 建设用地使用权人应当合理利用土地，不得改变土地用途；需要改变土地用途的，应当依法经有关行政主管部门批准。
第三百五十一条 建设用地使用权人应当依照法律规定以及合同约定支付出让金等费用。
第三百五十二条 建设用地使用权人建造的建筑物、构筑物及其附属设施的所有权属于建设用地使用权人，但是有相反证据证明的除外。
第三百五十三条 建设用地使用权人有权将建设用地使用权转让、互换、出资、赠与或者抵押，但是法律另有规定的除外。
第三百五十四条 建设用地使用权转让、互换、出资、赠与或者抵押的，当事人应当采用书面形式订立相应的合同。使用期限由当事人约定，但是不得超过建设用地使用权的剩余期限。
第三百五十五条 建设用地使用权转让、互换、出资或者赠与的，应当向登记机构申请变更登记。
第三百五十六条 建设用地使用权转让、互换、出资或者赠与的，附着于该土地上的建筑物、构筑物及其附属设施一并处分。
第三百五十七条 建筑物、构筑物及其附属设施转让、互换、出资或者赠与的，该建筑物、构筑物及其附属设施占用范围内的建设用地使用权一并处分。
第三百五十八条 建设用地使用权期限届满前，因公共利益需要提前收回该土地的，应当依据本法第二百四十三条的规定对该土地上的房屋以及其他不动产给予补偿，并退还相应的出让金。
第三百五十九条 住宅建设用地使用权期限届满的，自动续期。续期费用的缴纳或者减免，依照法律、行政法规的规定办理。
非住宅建设用地使用权期限届满后的续期，依照法律规定办理。该土地上的房屋以及其他不动产的归属，有约定的，按照约定；没有约定或者约定不明确的，依照法律、行政法规的规定办理。
第三百六十条 建设用地使用权消灭的，出让人应当及时办理注销登记。登记机构应当收回权属证书。
第三百六十一条 集体所有的土地作为建设用地的，应当依照土地管理的法律规定办理。
第十三章 宅基地使用权
第三百六十二条 宅基地使用权人依法对集体所有的土地享有占有和使用的权利，有权依法利用该土地建造住宅及其附属设施。
第三百六十三条 宅基地使用权的取得、行使和转让，适用土地管理的法律和国家有关规定。
第三百六十四条 宅基地因自然灾害等原因灭失的，宅基地使用权消灭。对失去宅基地的村民，应当依法重新分配宅基地。
第三百六十五条 已经登记的宅基地使用权转让或者消灭的，应当及时办理变更登记或者注销登记。
第十四章 居住权
第三百六十六条 居住权人有权按照合同约定，对他人的住宅享有占有、使用的用益物权，以满足生活居住的需要。
第三百六十七条 设立居住权，当事人应当采用书面形式订立居住权合同。
居住权合同一般包括下列条款：
（一）当事人的姓名或者名称和住所；
（二）住宅的位置；
（三）居住的条件和要求；
（四）居住权期限；
（五）解决争议的方法。
第三百六十八条 居住权无偿设立，但是当事人另有约定的除外。设立居住权的，应当向登记机构申请居住权登记。居住权自登记时设立。
第三百六十九条 居住权不得转让、继承。设立居住权的住宅不得出租，但是当事人另有约定的除外。
第三百七十条 居住权期限届满或者居住权人死亡的，居住权消灭。居住权消灭的，应当及时办理注销登记。
第三百七十一条 以遗嘱方式设立居住权的，参照适用本章的有关规定。
第十五章 地役权
第三百七十二条 地役权人有权按照合同约定，利用他人的不动产，以提高自己的不动产的效益。
前款所称他人的不动产为供役地，自己的不动产为需役地。
第三百七十三条 设立地役权，当事人应当采用书面形式订立地役权合同。
地役权合同一般包括下列条款：
（一）当事人的姓名或者名称和住所；
（二）供役地和需役地的位置；
（三）利用目的和方法；
（四）地役权期限；
（五）费用及其支付方式；
（六）解决争议的方法。
第三百七十四条 地役权自地役权合同生效时设立。当事人要求登记的，可以向登记机构申请地役权登记；未经登记，不得对抗善意第三人。
第三百七十五条 供役地权利人应当按照合同约定，允许地役权人利用其不动产，不得妨害地役权人行使权利。
第三百七十六条 地役权人应当按照合同约定的利用目的和方法利用供役地，尽量减少对供役地权利人物权的限制。
第三百七十七条 地役权期限由当事人约定；但是，不得超过土地承包经营权、建设用地使用权等用益物权的剩余期限。
第三百七十八条 土地所有权人享有地役权或者负担地役权的，设立土地承包经营权、宅基地使用权等用益物权时，该用益物权人继续享有或者负担已经设立的地役权。
第三百七十九条 土地上已经设立土地承包经营权、建设用地使用权、宅基地使用权等用益物权的，未经用益物权人同意，土地所有权人不得设立地役权。
第三百八十条 地役权不得单独转让。土地承包经营权、建设用地使用权等转让的，地役权一并转让，但是合同另有约定的除外。
第三百八十一条 地役权不得单独抵押。土地经营权、建设用地使用权等抵押的，在实现抵押权时，地役权一并转让。
第三百八十二条 需役地以及需役地上的土地承包经营权、建设用地使用权等部分转让时，转让部分涉及地役权的，受让人同时享有地役权。
第三百八十三条 供役地以及供役地上的土地承包经营权、建设用地使用权等部分转让时，转让部分涉及地役权的，地役权对受让人具有法律约束力。
第三百八十四条 地役权人有下列情形之一的，供役地权利人有权解除地役权合同，地役权消灭：
（一）违反法律规定或者合同约定，滥用地役权；
（二）有偿利用供役地，约定的付款期限届满后在合理期限内经两次催告未支付费用。
第三百八十五条 已经登记的地役权变更、转让或者消灭的，应当及时办理变更登记或者注销登记。
第四分编 担保物权
第十六章 一般规定
第三百八十六条 担保物权人在债务人不履行到期债务或者发生当事人约定的实现担保物权的情形，依法享有就担保财产优先受偿的权利，但是法律另有规定的除外。
第三百八十七条 债权人在借贷、买卖等民事活动中，为保障实现其债权，需要担保的，可以依照本法和其他法律的规定设立担保物权。
第三人为债务人向债权人提供担保的，可以要求债务人提供反担保。反担保适用本法和其他法律的规定。
第三百八十八条 设立担保物权，应当依照本法和其他法律的规定订立担保合同。担保合同包括抵押合同、质押合同和其他具有担保功能的合同。担保合同是主债权债务合同的从合同。主债权债务合同无效的，担保合同无效，但是法律另有规定的除外。
担保合同被确认无效后，债务人、担保人、债权人有过错的，应当根据其过错各自承担相应的民事责任。
第三百八十九条 担保物权的担保范围包括主债权及其利息、违约金、损害赔偿金、保管担保财产和实现担保物权的费用。当事人另有约定的，按照其约定。
第三百九十条 担保期间，担保财产毁损、灭失或者被征收等，担保物权人可以就获得的保险金、赔偿金或者补偿金等优先受偿。被担保债权的履行期限未届满的，也可以提存该保险金、赔偿金或者补偿金等。
第三百九十一条 第三人提供担保，未经其书面同意，债权人允许债务人转移全部或者部分债务的，担保人不再承担相应的担保责任。
第三百九十二条 被担保的债权既有物的担保又有人的担保的，债务人不履行到期债务或者发生当事人约定的实现担保物权的情形，债权人应当按照约定实现债权；没有约定或者约定不明确，债务人自己提供物的担保的，债权人应当先就该物的担保实现债权；第三人提供物的担保的，债权人可以就物的担保实现债权，也可以请求保证人承担保证责任。提供担保的第三人承担担保责任后，有权向债务人追偿。
第三百九十三条 有下列情形之一的，担保物权消灭：
（一）主债权消灭；
（二）担保物权实现；
（三）债权人放弃担保物权；
（四）法律规定担保物权消灭的其他情形。
第十七章 抵押权
第一节 一般抵押权
第三百九十四条 为担保债务的履行，债务人或者第三人不转移财产的占有，将该财产抵押给债权人的，债务人不履行到期债务或者发生当事人约定的实现抵押权的情形，债权人有权就该财产优先受偿。
前款规定的债务人或者第三人为抵押人，债权人为抵押权人，提供担保的财产为抵押财产。
第三百九十五条 债务人或者第三人有权处分的下列财产可以抵押：
（一）建筑物和其他土地附着物；
（二）建设用地使用权；
（三）海域使用权；
（四）生产设备、原材料、半成品、产品；
（五）正在建造的建筑物、船舶、航空器；
（六）交通运输工具；
（七）法律、行政法规未禁止抵押的其他财产。
抵押人可以将前款所列财产一并抵押。
第三百九十六条 企业、个体工商户、农业生产经营者可以将现有的以及将有的生产设备、原材料、半成品、产品抵押，债务人不履行到期债务或者发生当事人约定的实现抵押权的情形，债权人有权就抵押财产确定时的动产优先受偿。
第三百九十七条 以建筑物抵押的，该建筑物占用范围内的建设用地使用权一并抵押。以建设用地使用权抵押的，该土地上的建筑物一并抵押。
抵押人未依据前款规定一并抵押的，未抵押的财产视为一并抵押。
第三百九十八条 乡镇、村企业的建设用地使用权不得单独抵押。以乡镇、村企业的厂房等建筑物抵押的，其占用范围内的建设用地使用权一并抵押。
第三百九十九条 下列财产不得抵押：
（一）土地所有权；
（二）宅基地、自留地、自留山等集体所有土地的使用权，但是法律规定可以抵押的除外；
（三）学校、幼儿园、医疗机构等为公益目的成立的非营利法人的教育设施、医疗卫生设施和其他公益设施；
（四）所有权、使用权不明或者有争议的财产；
（五）依法被查封、扣押、监管的财产；
（六）法律、行政法规规定不得抵押的其他财产。
第四百条 设立抵押权，当事人应当采用书面形式订立抵押合同。
抵押合同一般包括下列条款：
（一）被担保债权的种类和数额；
（二）债务人履行债务的期限；
（三）抵押财产的名称、数量等情况；
（四）担保的范围。
第四百零一条 抵押权人在债务履行期限届满前，与抵押人约定债务人不履行到期债务时抵押财产归债权人所有的，只能依法就抵押财产优先受偿。
第四百零二条 以本法第三百九十五条第一款第一项至第三项规定的财产或者第五项规定的正在建造的建筑物抵押的，应当办理抵押登记。抵押权自登记时设立。
第四百零三条 以动产抵押的，抵押权自抵押合同生效时设立；未经登记，不得对抗善意第三人。
第四百零四条 以动产抵押的，不得对抗正常经营活动中已经支付合理价款并取得抵押财产的买受人。
第四百零五条 抵押权设立前，抵押财产已经出租并转移占有的，原租赁关系不受该抵押权的影响。
第四百零六条 抵押期间，抵押人可以转让抵押财产。当事人另有约定的，按照其约定。抵押财产转让的，抵押权不受影响。
抵押人转让抵押财产的，应当及时通知抵押权人。抵押权人能够证明抵押财产转让可能损害抵押权的，可以请求抵押人将转让所得的价款向抵押权人提前清偿债务或者提存。转让的价款超过债权数额的部分归抵押人所有，不足部分由债务人清偿。
第四百零七条 抵押权不得与债权分离而单独转让或者作为其他债权的担保。债权转让的，担保该债权的抵押权一并转让，但是法律另有规定或者当事人另有约定的除外。
第四百零八条 抵押人的行为足以使抵押财产价值减少的，抵押权人有权请求抵押人停止其行为；抵押财产价值减少的，抵押权人有权请求恢复抵押财产的价值，或者提供与减少的价值相应的担保。抵押人不恢复抵押财产的价值，也不提供担保的，抵押权人有权请求债务人提前清偿债务。
第四百零九条 抵押权人可以放弃抵押权或者抵押权的顺位。抵押权人与抵押人可以协议变更抵押权顺位以及被担保的债权数额等内容。但是，抵押权的变更未经其他抵押权人书面同意的，不得对其他抵押权人产生不利影响。
债务人以自己的财产设定抵押，抵押权人放弃该抵押权、抵押权顺位或者变更抵押权的，其他担保人在抵押权人丧失优先受偿权益的范围内免除担保责任，但是其他担保人承诺仍然提供担保的除外。
第四百一十条 债务人不履行到期债务或者发生当事人约定的实现抵押权的情形，抵押权人可以与抵押人协议以抵押财产折价或者以拍卖、变卖该抵押财产所得的价款优先受偿。协议损害其他债权人利益的，其他债权人可以请求人民法院撤销该协议。
抵押权人与抵押人未就抵押权实现方式达成协议的，抵押权人可以请求人民法院拍卖、变卖抵押财产。
抵押财产折价或者变卖的，应当参照市场价格。
第四百一十一条 依据本法第三百九十六条规定设定抵押的，抵押财产自下列情形之一发生时确定：
（一）债务履行期限届满，债权未实现；
（二）抵押人被宣告破产或者解散；
（三）当事人约定的实现抵押权的情形；
（四）严重影响债权实现的其他情形。
第四百一十二条 债务人不履行到期债务或者发生当事人约定的实现抵押权的情形，致使抵押财产被人民法院依法扣押的，自扣押之日起，抵押权人有权收取该抵押财产的天然孳息或者法定孳息，但是抵押权人未通知应当清偿法定孳息义务人的除外。
前款规定的孳息应当先充抵收取孳息的费用。
第四百一十三条 抵押财产折价或者拍卖、变卖后，其价款超过债权数额的部分归抵押人所有，不足部分由债务人清偿。
第四百一十四条 同一财产向两个以上债权人抵押的，拍卖、变卖抵押财产所得的价款依照下列规定清偿：
（一）抵押权已经登记的，按照登记的时间先后确定清偿顺序；
（二）抵押权已经登记的先于未登记的受偿；
（三）抵押权未登记的，按照债权比例清偿。
其他可以登记的担保物权，清偿顺序参照适用前款规定。
第四百一十五条 同一财产既设立抵押权又设立质权的，拍卖、变卖该财产所得的价款按照登记、交付的时间先后确定清偿顺序。
第四百一十六条 动产抵押担保的主债权是抵押物的价款，标的物交付后十日内办理抵押登记的，该抵押权人优先于抵押物买受人的其他担保物权人受偿，但是留置权人除外。
第四百一十七条 建设用地使用权抵押后，该土地上新增的建筑物不属于抵押财产。该建设用地使用权实现抵押权时，应当将该土地上新增的建筑物与建设用地使用权一并处分。但是，新增建筑物所得的价款，抵押权人无权优先受偿。
第四百一十八条 以集体所有土地的使用权依法抵押的，实现抵押权后，未经法定程序，不得改变土地所有权的性质和土地用途。
第四百一十九条 抵押权人应当在主债权诉讼时效期间行使抵押权；未行使的，人民法院不予保护。
第二节 最高额抵押权
第四百二十条 为担保债务的履行，债务人或者第三人对一定期间内将要连续发生的债权提供担保财产的，债务人不履行到期债务或者发生当事人约定的实现抵押权的情形，抵押权人有权在最高债权额限度内就该担保财产优先受偿。
最高额抵押权设立前已经存在的债权，经当事人同意，可以转入最高额抵押担保的债权范围。
第四百二十一条 最高额抵押担保的债权确定前，部分债权转让的，最高额抵押权不得转让，但是当事人另有约定的除外。
第四百二十二条 最高额抵押担保的债权确定前，抵押权人与抵押人可以通过协议变更债权确定的期间、债权范围以及最高债权额。但是，变更的内容不得对其他抵押权人产生不利影响。
第四百二十三条 有下列情形之一的，抵押权人的债权确定：
（一）约定的债权确定期间届满；
（二）没有约定债权确定期间或者约定不明确，抵押权人或者抵押人自最高额抵押权设立之日起满二年后请求确定债权；
（三）新的债权不可能发生；
（四）抵押权人知道或者应当知道抵押财产被查封、扣押；
（五）债务人、抵押人被宣告破产或者解散；
（六）法律规定债权确定的其他情形。
第四百二十四条 最高额抵押权除适用本节规定外，适用本章第一节的有关规定。
第十八章 质 权
第一节 动产质权
第四百二十五条 为担保债务的履行，债务人或者第三人将其动产出质给债权人占有的，债务人不履行到期债务或者发生当事人约定的实现质权的情形，债权人有权就该动产优先受偿。
前款规定的债务人或者第三人为出质人，债权人为质权人，交付的动产为质押财产。
第四百二十六条 法律、行政法规禁止转让的动产不得出质。
第四百二十七条 设立质权，当事人应当采用书面形式订立质押合同。
质押合同一般包括下列条款：
（一）被担保债权的种类和数额；
（二）债务人履行债务的期限；
（三）质押财产的名称、数量等情况；
（四）担保的范围；
（五）质押财产交付的时间、方式。
第四百二十八条 质权人在债务履行期限届满前，与出质人约定债务人不履行到期债务时质押财产归债权人所有的，只能依法就质押财产优先受偿。
第四百二十九条 质权自出质人交付质押财产时设立。
第四百三十条 质权人有权收取质押财产的孳息，但是合同另有约定的除外。
前款规定的孳息应当先充抵收取孳息的费用。
第四百三十一条 质权人在质权存续期间，未经出质人同意，擅自使用、处分质押财产，造成出质人损害的，应当承担赔偿责任。
第四百三十二条 质权人负有妥善保管质押财产的义务；因保管不善致使质押财产毁损、灭失的，应当承担赔偿责任。
质权人的行为可能使质押财产毁损、灭失的，出质人可以请求质权人将质押财产提存，或者请求提前清偿债务并返还质押财产。
第四百三十三条 因不可归责于质权人的事由可能使质押财产毁损或者价值明显减少，足以危害质权人权利的，质权人有权请求出质人提供相应的担保；出质人不提供的，质权人可以拍卖、变卖质押财产，并与出质人协议将拍卖、变卖所得的价款提前清偿债务或者提存。
第四百三十四条 质权人在质权存续期间，未经出质人同意转质，造成质押财产毁损、灭失的，应当承担赔偿责任。
第四百三十五条 质权人可以放弃质权。债务人以自己的财产出质，质权人放弃该质权的，其他担保人在质权人丧失优先受偿权益的范围内免除担保责任，但是其他担保人承诺仍然提供担保的除外。
第四百三十六条 债务人履行债务或者出质人提前清偿所担保的债权的，质权人应当返还质押财产。
债务人不履行到期债务或者发生当事人约定的实现质权的情形，质权人可以与出质人协议以质押财产折价，也可以就拍卖、变卖质押财产所得的价款优先受偿。
质押财产折价或者变卖的，应当参照市场价格。
第四百三十七条 出质人可以请求质权人在债务履行期限届满后及时行使质权；质权人不行使的，出质人可以请求人民法院拍卖、变卖质押财产。
出质人请求质权人及时行使质权，因质权人怠于行使权利造成出质人损害的，由质权人承担赔偿责任。
第四百三十八条 质押财产折价或者拍卖、变卖后，其价款超过债权数额的部分归出质人所有，不足部分由债务人清偿。
第四百三十九条 出质人与质权人可以协议设立最高额质权。
最高额质权除适用本节有关规定外，参照适用本编第十七章第二节的有关规定。
第二节 权利质权
第四百四十条 债务人或者第三人有权处分的下列权利可以出质：
（一）汇票、本票、支票；
（二）债券、存款单；
（三）仓单、提单；
（四）可以转让的基金份额、股权；
（五）可以转让的注册商标专用权、专利权、著作权等知识产权中的财产权；
（六）现有的以及将有的应收账款；
（七）法律、行政法规规定可以出质的其他财产权利。
第四百四十一条 以汇票、本票、支票、债券、存款单、仓单、提单出质的，质权自权利凭证交付质权人时设立；没有权利凭证的，质权自办理出质登记时设立。法律另有规定的，依照其规定。
第四百四十二条 汇票、本票、支票、债券、存款单、仓单、提单的兑现日期或者提货日期先于主债权到期的，质权人可以兑现或者提货，并与出质人协议将兑现的价款或者提取的货物提前清偿债务或者提存。
第四百四十三条 以基金份额、股权出质的，质权自办理出质登记时设立。
基金份额、股权出质后，不得转让，但是出质人与质权人协商同意的除外。出质人转让基金份额、股权所得的价款，应当向质权人提前清偿债务或者提存。
第四百四十四条 以注册商标专用权、专利权、著作权等知识产权中的财产权出质的，质权自办理出质登记时设立。
知识产权中的财产权出质后，出质人不得转让或者许可他人使用，但是出质人与质权人协商同意的除外。出质人转让或者许可他人使用出质的知识产权中的财产权所得的价款，应当向质权人提前清偿债务或者提存。
第四百四十五条 以应收账款出质的，质权自办理出质登记时设立。
应收账款出质后，不得转让，但是出质人与质权人协商同意的除外。出质人转让应收账款所得的价款，应当向质权人提前清偿债务或者提存。
第四百四十六条 权利质权除适用本节规定外，适用本章第一节的有关规定。
第十九章 留置权
第四百四十七条 债务人不履行到期债务，债权人可以留置已经合法占有的债务人的动产，并有权就该动产优先受偿。
前款规定的债权人为留置权人，占有的动产为留置财产。
第四百四十八条 债权人留置的动产，应当与债权属于同一法律关系，但是企业之间留置的除外。
第四百四十九条 法律规定或者当事人约定不得留置的动产，不得留置。
第四百五十条 留置财产为可分物的，留置财产的价值应当相当于债务的金额。
第四百五十一条 留置权人负有妥善保管留置财产的义务；因保管不善致使留置财产毁损、灭失的，应当承担赔偿责任。
第四百五十二条 留置权人有权收取留置财产的孳息。
前款规定的孳息应当先充抵收取孳息的费用。
第四百五十三条 留置权人与债务人应当约定留置财产后的债务履行期限；没有约定或者约定不明确的，留置权人应当给债务人六十日以上履行债务的期限，但是鲜活易腐等不易保管的动产除外。债务人逾期未履行的，留置权人可以与债务人协议以留置财产折价，也可以就拍卖、变卖留置财产所得的价款优先受偿。
留置财产折价或者变卖的，应当参照市场价格。
第四百五十四条 债务人可以请求留置权人在债务履行期限届满后行使留置权；留置权人不行使的，债务人可以请求人民法院拍卖、变卖留置财产。
第四百五十五条 留置财产折价或者拍卖、变卖后，其价款超过债权数额的部分归债务人所有，不足部分由债务人清偿。
第四百五十六条 同一动产上已经设立抵押权或者质权，该动产又被留置的，留置权人优先受偿。
第四百五十七条 留置权人对留置财产丧失占有或者留置权人接受债务人另行提供担保的，留置权消灭。
第五分编 占 有
第二十章 占 有
第四百五十八条 基于合同关系等产生的占有，有关不动产或者动产的使用、收益、违约责任等，按照合同约定；合同没有约定或者约定不明确的，依照有关法律规定。
第四百五十九条 占有人因使用占有的不动产或者动产，致使该不动产或者动产受到损害的，恶意占有人应当承担赔偿责任。
第四百六十条 不动产或者动产被占有人占有的，权利人可以请求返还原物及其孳息；但是，应当支付善意占有人因维护该不动产或者动产支出的必要费用。
第四百六十一条 占有的不动产或者动产毁损、灭失，该不动产或者动产的权利人请求赔偿的，占有人应当将因毁损、灭失取得的保险金、赔偿金或者补偿金等返还给权利人；权利人的损害未得到足够弥补的，恶意占有人还应当赔偿损失。
第四百六十二条 占有的不动产或者动产被侵占的，占有人有权请求返还原物；对妨害占有的行为，占有人有权请求排除妨害或者消除危险；因侵占或者妨害造成损害的，占有人有权依法请求损害赔偿。
占有人返还原物的请求权，自侵占发生之日起一年内未行使的，该请求权消灭。
第三编 合 同
第一分编 通 则
第一章 一般规定
第四百六十三条 本编调整因合同产生的民事关系。
第四百六十四条 合同是民事主体之间设立、变更、终止民事法律关系的协议。
婚姻、收养、监护等有关身份关系的协议，适用有关该身份关系的法律规定；没有规定的，可以根据其性质参照适用本编规定。
第四百六十五条 依法成立的合同，受法律保护。
依法成立的合同，仅对当事人具有法律约束力，但是法律另有规定的除外。
第四百六十六条 当事人对合同条款的理解有争议的，应当依据本法第一百四十二条第一款的规定，确定争议条款的含义。
合同文本采用两种以上文字订立并约定具有同等效力的，对各文本使用的词句推定具有相同含义。各文本使用的词句不一致的，应当根据合同的相关条款、性质、目的以及诚信原则等予以解释。
第四百六十七条 本法或者其他法律没有明文规定的合同，适用本编通则的规定，并可以参照适用本编或者其他法律最相类似合同的规定。
在中华人民共和国境内履行的中外合资经营企业合同、中外合作经营企业合同、中外合作勘探开发自然资源合同，适用中华人民共和国法律。
第四百六十八条 非因合同产生的债权债务关系，适用有关该债权债务关系的法律规定；没有规定的，适用本编通则的有关规定，但是根据其性质不能适用的除外。
第二章 合同的订立
第四百六十九条 当事人订立合同，可以采用书面形式、口头形式或者其他形式。
书面形式是合同书、信件、电报、电传、传真等可以有形地表现所载内容的形式。
以电子数据交换、电子邮件等方式能够有形地表现所载内容，并可以随时调取查用的数据电文，视为书面形式。
第四百七十条 合同的内容由当事人约定，一般包括下列条款：
（一）当事人的姓名或者名称和住所；
（二）标的；
（三）数量；
（四）质量；
（五）价款或者报酬；
（六）履行期限、地点和方式；
（七）违约责任；
（八）解决争议的方法。
当事人可以参照各类合同的示范文本订立合同。
第四百七十一条 当事人订立合同，可以采取要约、承诺方式或者其他方式。
第四百七十二条 要约是希望与他人订立合同的意思表示，该意思表示应当符合下列条件：
（一）内容具体确定；
（二）表明经受要约人承诺，要约人即受该意思表示约束。
第四百七十三条 要约邀请是希望他人向自己发出要约的表示。拍卖公告、招标公告、招股说明书、债券募集办法、基金招募说明书、商业广告和宣传、寄送的价目表等为要约邀请。
商业广告和宣传的内容符合要约条件的，构成要约。
第四百七十四条 要约生效的时间适用本法第一百三十七条的规定。
第四百七十五条 要约可以撤回。要约的撤回适用本法第一百四十一条的规定。
第四百七十六条 要约可以撤销，但是有下列情形之一的除外：
（一）要约人以确定承诺期限或者其他形式明示要约不可撤销；
（二）受要约人有理由认为要约是不可撤销的，并已经为履行合同做了合理准备工作。
第四百七十七条 撤销要约的意思表示以对话方式作出的，该意思表示的内容应当在受要约人作出承诺之前为受要约人所知道；撤销要约的意思表示以非对话方式作出的，应当在受要约人作出承诺之前到达受要约人。
第四百七十八条 有下列情形之一的，要约失效：
（一）要约被拒绝；
（二）要约被依法撤销；
（三）承诺期限届满，受要约人未作出承诺；
（四）受要约人对要约的内容作出实质性变更。
第四百七十九条 承诺是受要约人同意要约的意思表示。
第四百八十条 承诺应当以通知的方式作出；但是，根据交易习惯或者要约表明可以通过行为作出承诺的除外。
第四百八十一条 承诺应当在要约确定的期限内到达要约人。
要约没有确定承诺期限的，承诺应当依照下列规定到达：
（一）要约以对话方式作出的，应当即时作出承诺；
（二）要约以非对话方式作出的，承诺应当在合理期限内到达。
第四百八十二条 要约以信件或者电报作出的，承诺期限自信件载明的日期或者电报交发之日开始计算。信件未载明日期的，自投寄该信件的邮戳日期开始计算。要约以电话、传真、电子邮件等快速通讯方式作出的，承诺期限自要约到达受要约人时开始计算。
第四百八十三条 承诺生效时合同成立，但是法律另有规定或者当事人另有约定的除外。
第四百八十四条 以通知方式作出的承诺，生效的时间适用本法第一百三十七条的规定。
承诺不需要通知的，根据交易习惯或者要约的要求作出承诺的行为时生效。
第四百八十五条 承诺可以撤回。承诺的撤回适用本法第一百四十一条的规定。
第四百八十六条 受要约人超过承诺期限发出承诺，或者在承诺期限内发出承诺，按照通常情形不能及时到达要约人的，为新要约；但是，要约人及时通知受要约人该承诺有效的除外。
第四百八十七条 受要约人在承诺期限内发出承诺，按照通常情形能够及时到达要约人，但是因其他原因致使承诺到达要约人时超过承诺期限的，除要约人及时通知受要约人因承诺超过期限不接受该承诺外，该承诺有效。
第四百八十八条 承诺的内容应当与要约的内容一致。受要约人对要约的内容作出实质性变更的，为新要约。有关合同标的、数量、质量、价款或者报酬、履行期限、履行地点和方式、违约责任和解决争议方法等的变更，是对要约内容的实质性变更。
第四百八十九条 承诺对要约的内容作出非实质性变更的，除要约人及时表示反对或者要约表明承诺不得对要约的内容作出任何变更外，该承诺有效，合同的内容以承诺的内容为准。
第四百九十条 当事人采用合同书形式订立合同的，自当事人均签名、盖章或者按指印时合同成立。在签名、盖章或者按指印之前，当事人一方已经履行主要义务，对方接受时，该合同成立。
法律、行政法规规定或者当事人约定合同应当采用书面形式订立，当事人未采用书面形式但是一方已经履行主要义务，对方接受时，该合同成立。
第四百九十一条 当事人采用信件、数据电文等形式订立合同要求签订确认书的，签订确认书时合同成立。
当事人一方通过互联网等信息网络发布的商品或者服务信息符合要约条件的，对方选择该商品或者服务并提交订单成功时合同成立，但是当事人另有约定的除外。
第四百九十二条 承诺生效的地点为合同成立的地点。
采用数据电文形式订立合同的，收件人的主营业地为合同成立的地点；没有主营业地的，其住所地为合同成立的地点。当事人另有约定的，按照其约定。
第四百九十三条 当事人采用合同书形式订立合同的，最后签名、盖章或者按指印的地点为合同成立的地点，但是当事人另有约定的除外。
第四百九十四条 国家根据抢险救灾、疫情防控或者其他需要下达国家订货任务、指令性任务的，有关民事主体之间应当依照有关法律、行政法规规定的权利和义务订立合同。
依照法律、行政法规的规定负有发出要约义务的当事人，应当及时发出合理的要约。
依照法律、行政法规的规定负有作出承诺义务的当事人，不得拒绝对方合理的订立合同要求。
第四百九十五条 当事人约定在将来一定期限内订立合同的认购书、订购书、预订书等，构成预约合同。
当事人一方不履行预约合同约定的订立合同义务的，对方可以请求其承担预约合同的违约责任。
第四百九十六条 格式条款是当事人为了重复使用而预先拟定，并在订立合同时未与对方协商的条款。
采用格式条款订立合同的，提供格式条款的一方应当遵循公平原则确定当事人之间的权利和义务，并采取合理的方式提示对方注意免除或者减轻其责任等与对方有重大利害关系的条款，按照对方的要求，对该条款予以说明。提供格式条款的一方未履行提示或者说明义务，致使对方没有注意或者理解与其有重大利害关系的条款的，对方可以主张该条款不成为合同的内容。
第四百九十七条 有下列情形之一的，该格式条款无效：
（一）具有本法第一编第六章第三节和本法第五百零六条规定的无效情形；
（二）提供格式条款一方不合理地免除或者减轻其责任、加重对方责任、限制对方主要权利；
（三）提供格式条款一方排除对方主要权利。
第四百九十八条 对格式条款的理解发生争议的，应当按照通常理解予以解释。对格式条款有两种以上解释的，应当作出不利于提供格式条款一方的解释。格式条款和非格式条款不一致的，应当采用非格式条款。
第四百九十九条 悬赏人以公开方式声明对完成特定行为的人支付报酬的，完成该行为的人可以请求其支付。
第五百条 当事人在订立合同过程中有下列情形之一，造成对方损失的，应当承担赔偿责任：
（一）假借订立合同，恶意进行磋商；
（二）故意隐瞒与订立合同有关的重要事实或者提供虚假情况；
（三）有其他违背诚信原则的行为。
第五百零一条 当事人在订立合同过程中知悉的商业秘密或者其他应当保密的信息，无论合同是否成立，不得泄露或者不正当地使用；泄露、不正当地使用该商业秘密或者信息，造成对方损失的，应当承担赔偿责任。
第三章 合同的效力
第五百零二条 依法成立的合同，自成立时生效，但是法律另有规定或者当事人另有约定的除外。
依照法律、行政法规的规定，合同应当办理批准等手续的，依照其规定。未办理批准等手续影响合同生效的，不影响合同中履行报批等义务条款以及相关条款的效力。应当办理申请批准等手续的当事人未履行义务的，对方可以请求其承担违反该义务的责任。
依照法律、行政法规的规定，合同的变更、转让、解除等情形应当办理批准等手续的，适用前款规定。
第五百零三条 无权代理人以被代理人的名义订立合同，被代理人已经开始履行合同义务或者接受相对人履行的，视为对合同的追认。
第五百零四条 法人的法定代表人或者非法人组织的负责人超越权限订立的合同，除相对人知道或者应当知道其超越权限外，该代表行为有效，订立的合同对法人或者非法人组织发生效力。
第五百零五条 当事人超越经营范围订立的合同的效力，应当依照本法第一编第六章第三节和本编的有关规定确定，不得仅以超越经营范围确认合同无效。
第五百零六条 合同中的下列免责条款无效：
（一）造成对方人身损害的；
（二）因故意或者重大过失造成对方财产损失的。
第五百零七条 合同不生效、无效、被撤销或者终止的，不影响合同中有关解决争议方法的条款的效力。
第五百零八条 本编对合同的效力没有规定的，适用本法第一编第六章的有关规定。
第四章 合同的履行
第五百零九条 当事人应当按照约定全面履行自己的义务。
当事人应当遵循诚信原则，根据合同的性质、目的和交易习惯履行通知、协助、保密等义务。
当事人在履行合同过程中，应当避免浪费资源、污染环境和破坏生态。
第五百一十条 合同生效后，当事人就质量、价款或者报酬、履行地点等内容没有约定或者约定不明确的，可以协议补充；不能达成补充协议的，按照合同相关条款或者交易习惯确定。
第五百一十一条 当事人就有关合同内容约定不明确，依据前条规定仍不能确定的，适用下列规定：
（一）质量要求不明确的，按照强制性国家标准履行；没有强制性国家标准的，按照推荐性国家标准履行；没有推荐性国家标准的，按照行业标准履行；没有国家标准、行业标准的，按照通常标准或者符合合同目的的特定标准履行。
（二）价款或者报酬不明确的，按照订立合同时履行地的市场价格履行；依法应当执行政府定价或者政府指导价的，依照规定履行。
（三）履行地点不明确，给付货币的，在接受货币一方所在地履行；交付不动产的，在不动产所在地履行；其他标的，在履行义务一方所在地履行。
（四）履行期限不明确的，债务人可以随时履行，债权人也可以随时请求履行，但是应当给对方必要的准备时间。
（五）履行方式不明确的，按照有利于实现合同目的的方式履行。
（六）履行费用的负担不明确的，由履行义务一方负担；因债权人原因增加的履行费用，由债权人负担。
第五百一十二条 通过互联网等信息网络订立的电子合同的标的为交付商品并采用快递物流方式交付的，收货人的签收时间为交付时间。电子合同的标的为提供服务的，生成的电子凭证或者实物凭证中载明的时间为提供服务时间；前述凭证没有载明时间或者载明时间与实际提供服务时间不一致的，以实际提供服务的时间为准。
电子合同的标的物为采用在线传输方式交付的，合同标的物进入对方当事人指定的特定系统且能够检索识别的时间为交付时间。
电子合同当事人对交付商品或者提供服务的方式、时间另有约定的，按照其约定。
第五百一十三条 执行政府定价或者政府指导价的，在合同约定的交付期限内政府价格调整时，按照交付时的价格计价。逾期交付标的物的，遇价格上涨时，按照原价格执行；价格下降时，按照新价格执行。逾期提取标的物或者逾期付款的，遇价格上涨时，按照新价格执行；价格下降时，按照原价格执行。
第五百一十四条 以支付金钱为内容的债，除法律另有规定或者当事人另有约定外，债权人可以请求债务人以实际履行地的法定货币履行。
第五百一十五条 标的有多项而债务人只需履行其中一项的，债务人享有选择权；但是，法律另有规定、当事人另有约定或者另有交易习惯的除外。
享有选择权的当事人在约定期限内或者履行期限届满未作选择，经催告后在合理期限内仍未选择的，选择权转移至对方。
第五百一十六条 当事人行使选择权应当及时通知对方，通知到达对方时，标的确定。标的确定后不得变更，但是经对方同意的除外。
可选择的标的发生不能履行情形的，享有选择权的当事人不得选择不能履行的标的，但是该不能履行的情形是由对方造成的除外。
第五百一十七条 债权人为二人以上，标的可分，按照份额各自享有债权的，为按份债权；债务人为二人以上，标的可分，按照份额各自负担债务的，为按份债务。
按份债权人或者按份债务人的份额难以确定的，视为份额相同。
第五百一十八条 债权人为二人以上，部分或者全部债权人均可以请求债务人履行债务的，为连带债权；债务人为二人以上，债权人可以请求部分或者全部债务人履行全部债务的，为连带债务。
连带债权或者连带债务，由法律规定或者当事人约定。
第五百一十九条 连带债务人之间的份额难以确定的，视为份额相同。
实际承担债务超过自己份额的连带债务人，有权就超出部分在其他连带债务人未履行的份额范围内向其追偿，并相应地享有债权人的权利，但是不得损害债权人的利益。其他连带债务人对债权人的抗辩，可以向该债务人主张。
被追偿的连带债务人不能履行其应分担份额的，其他连带债务人应当在相应范围内按比例分担。
第五百二十条 部分连带债务人履行、抵销债务或者提存标的物的，其他债务人对债权人的债务在相应范围内消灭；该债务人可以依据前条规定向其他债务人追偿。
部分连带债务人的债务被债权人免除的，在该连带债务人应当承担的份额范围内，其他债务人对债权人的债务消灭。
部分连带债务人的债务与债权人的债权同归于一人的，在扣除该债务人应当承担的份额后，债权人对其他债务人的债权继续存在。
债权人对部分连带债务人的给付受领迟延的，对其他连带债务人发生效力。
第五百二十一条 连带债权人之间的份额难以确定的，视为份额相同。
实际受领债权的连带债权人，应当按比例向其他连带债权人返还。
连带债权参照适用本章连带债务的有关规定。
第五百二十二条 当事人约定由债务人向第三人履行债务，债务人未向第三人履行债务或者履行债务不符合约定的，应当向债权人承担违约责任。
法律规定或者当事人约定第三人可以直接请求债务人向其履行债务，第三人未在合理期限内明确拒绝，债务人未向第三人履行债务或者履行债务不符合约定的，第三人可以请求债务人承担违约责任；债务人对债权人的抗辩，可以向第三人主张。
第五百二十三条 当事人约定由第三人向债权人履行债务，第三人不履行债务或者履行债务不符合约定的，债务人应当向债权人承担违约责任。
第五百二十四条 债务人不履行债务，第三人对履行该债务具有合法利益的，第三人有权向债权人代为履行；但是，根据债务性质、按照当事人约定或者依照法律规定只能由债务人履行的除外。
债权人接受第三人履行后，其对债务人的债权转让给第三人，但是债务人和第三人另有约定的除外。
第五百二十五条 当事人互负债务，没有先后履行顺序的，应当同时履行。一方在对方履行之前有权拒绝其履行请求。一方在对方履行债务不符合约定时，有权拒绝其相应的履行请求。
第五百二十六条 当事人互负债务，有先后履行顺序，应当先履行债务一方未履行的，后履行一方有权拒绝其履行请求。先履行一方履行债务不符合约定的，后履行一方有权拒绝其相应的履行请求。
第五百二十七条 应当先履行债务的当事人，有确切证据证明对方有下列情形之一的，可以中止履行：
（一）经营状况严重恶化；
（二）转移财产、抽逃资金，以逃避债务；
（三）丧失商业信誉；
（四）有丧失或者可能丧失履行债务能力的其他情形。
当事人没有确切证据中止履行的，应当承担违约责任。
第五百二十八条 当事人依据前条规定中止履行的，应当及时通知对方。对方提供适当担保的，应当恢复履行。中止履行后，对方在合理期限内未恢复履行能力且未提供适当担保的，视为以自己的行为表明不履行主要债务，中止履行的一方可以解除合同并可以请求对方承担违约责任。
第五百二十九条 债权人分立、合并或者变更住所没有通知债务人，致使履行债务发生困难的，债务人可以中止履行或者将标的物提存。
第五百三十条 债权人可以拒绝债务人提前履行债务，但是提前履行不损害债权人利益的除外。
债务人提前履行债务给债权人增加的费用，由债务人负担。
第五百三十一条 债权人可以拒绝债务人部分履行债务，但是部分履行不损害债权人利益的除外。
债务人部分履行债务给债权人增加的费用，由债务人负担。
第五百三十二条 合同生效后，当事人不得因姓名、名称的变更或者法定代表人、负责人、承办人的变动而不履行合同义务。
第五百三十三条 合同成立后，合同的基础条件发生了当事人在订立合同时无法预见的、不属于商业风险的重大变化，继续履行合同对于当事人一方明显不公平的，受不利影响的当事人可以与对方重新协商；在合理期限内协商不成的，当事人可以请求人民法院或者仲裁机构变更或者解除合同。
人民法院或者仲裁机构应当结合案件的实际情况，根据公平原则变更或者解除合同。
第五百三十四条 对当事人利用合同实施危害国家利益、社会公共利益行为的，市场监督管理和其他有关行政主管部门依照法律、行政法规的规定负责监督处理。
第五章 合同的保全
第五百三十五条 因债务人怠于行使其债权或者与该债权有关的从权利，影响债权人的到期债权实现的，债权人可以向人民法院请求以自己的名义代位行使债务人对相对人的权利，但是该权利专属于债务人自身的除外。
代位权的行使范围以债权人的到期债权为限。债权人行使代位权的必要费用，由债务人负担。
相对人对债务人的抗辩，可以向债权人主张。
第五百三十六条 债权人的债权到期前，债务人的债权或者与该债权有关的从权利存在诉讼时效期间即将届满或者未及时申报破产债权等情形，影响债权人的债权实现的，债权人可以代位向债务人的相对人请求其向债务人履行、向破产管理人申报或者作出其他必要的行为。
第五百三十七条 人民法院认定代位权成立的，由债务人的相对人向债权人履行义务，债权人接受履行后，债权人与债务人、债务人与相对人之间相应的权利义务终止。债务人对相对人的债权或者与该债权有关的从权利被采取保全、执行措施，或者债务人破产的，依照相关法律的规定处理。
第五百三十八条 债务人以放弃其债权、放弃债权担保、无偿转让财产等方式无偿处分财产权益，或者恶意延长其到期债权的履行期限，影响债权人的债权实现的，债权人可以请求人民法院撤销债务人的行为。
第五百三十九条 债务人以明显不合理的低价转让财产、以明显不合理的高价受让他人财产或者为他人的债务提供担保，影响债权人的债权实现，债务人的相对人知道或者应当知道该情形的，债权人可以请求人民法院撤销债务人的行为。
第五百四十条 撤销权的行使范围以债权人的债权为限。债权人行使撤销权的必要费用，由债务人负担。
第五百四十一条 撤销权自债权人知道或者应当知道撤销事由之日起一年内行使。自债务人的行为发生之日起五年内没有行使撤销权的，该撤销权消灭。
第五百四十二条 债务人影响债权人的债权实现的行为被撤销的，自始没有法律约束力。
第六章 合同的变更和转让
第五百四十三条 当事人协商一致，可以变更合同。
第五百四十四条 当事人对合同变更的内容约定不明确的，推定为未变更。
第五百四十五条 债权人可以将债权的全部或者部分转让给第三人，但是有下列情形之一的除外：
（一）根据债权性质不得转让；
（二）按照当事人约定不得转让；
（三）依照法律规定不得转让。
当事人约定非金钱债权不得转让的，不得对抗善意第三人。当事人约定金钱债权不得转让的，不得对抗第三人。
第五百四十六条 债权人转让债权，未通知债务人的，该转让对债务人不发生效力。
债权转让的通知不得撤销，但是经受让人同意的除外。
第五百四十七条 债权人转让债权的，受让人取得与债权有关的从权利，但是该从权利专属于债权人自身的除外。
受让人取得从权利不因该从权利未办理转移登记手续或者未转移占有而受到影响。
第五百四十八条 债务人接到债权转让通知后，债务人对让与人的抗辩，可以向受让人主张。
第五百四十九条 有下列情形之一的，债务人可以向受让人主张抵销：
（一）债务人接到债权转让通知时，债务人对让与人享有债权，且债务人的债权先于转让的债权到期或者同时到期；
（二）债务人的债权与转让的债权是基于同一合同产生。
第五百五十条 因债权转让增加的履行费用，由让与人负担。
第五百五十一条 债务人将债务的全部或者部分转移给第三人的，应当经债权人同意。
债务人或者第三人可以催告债权人在合理期限内予以同意，债权人未作表示的，视为不同意。
第五百五十二条 第三人与债务人约定加入债务并通知债权人，或者第三人向债权人表示愿意加入债务，债权人未在合理期限内明确拒绝的，债权人可以请求第三人在其愿意承担的债务范围内和债务人承担连带债务。
第五百五十三条 债务人转移债务的，新债务人可以主张原债务人对债权人的抗辩；原债务人对债权人享有债权的，新债务人不得向债权人主张抵销。
第五百五十四条 债务人转移债务的，新债务人应当承担与主债务有关的从债务，但是该从债务专属于原债务人自身的除外。
第五百五十五条 当事人一方经对方同意，可以将自己在合同中的权利和义务一并转让给第三人。
第五百五十六条 合同的权利和义务一并转让的，适用债权转让、债务转移的有关规定。
第七章 合同的权利义务终止
第五百五十七条 有下列情形之一的，债权债务终止：
（一）债务已经履行；
（二）债务相互抵销；
（三）债务人依法将标的物提存；
（四）债权人免除债务；
（五）债权债务同归于一人；
（六）法律规定或者当事人约定终止的其他情形。
合同解除的，该合同的权利义务关系终止。
第五百五十八条 债权债务终止后，当事人应当遵循诚信等原则，根据交易习惯履行通知、协助、保密、旧物回收等义务。
第五百五十九条 债权债务终止时，债权的从权利同时消灭，但是法律另有规定或者当事人另有约定的除外。
第五百六十条 债务人对同一债权人负担的数项债务种类相同，债务人的给付不足以清偿全部债务的，除当事人另有约定外，由债务人在清偿时指定其履行的债务。
债务人未作指定的，应当优先履行已经到期的债务；数项债务均到期的，优先履行对债权人缺乏担保或者担保最少的债务；均无担保或者担保相等的，优先履行债务人负担较重的债务；负担相同的，按照债务到期的先后顺序履行；到期时间相同的，按照债务比例履行。
第五百六十一条 债务人在履行主债务外还应当支付利息和实现债权的有关费用，其给付不足以清偿全部债务的，除当事人另有约定外，应当按照下列顺序履行：
（一）实现债权的有关费用；
（二）利息；
（三）主债务。
第五百六十二条 当事人协商一致，可以解除合同。
当事人可以约定一方解除合同的事由。解除合同的事由发生时，解除权人可以解除合同。
第五百六十三条 有下列情形之一的，当事人可以解除合同：
（一）因不可抗力致使不能实现合同目的；
（二）在履行期限届满前，当事人一方明确表示或者以自己的行为表明不履行主要债务；
（三）当事人一方迟延履行主要债务，经催告后在合理期限内仍未履行；
（四）当事人一方迟延履行债务或者有其他违约行为致使不能实现合同目的；
（五）法律规定的其他情形。
以持续履行的债务为内容的不定期合同，当事人可以随时解除合同，但是应当在合理期限之前通知对方。
第五百六十四条 法律规定或者当事人约定解除权行使期限，期限届满当事人不行使的，该权利消灭。
法律没有规定或者当事人没有约定解除权行使期限，自解除权人知道或者应当知道解除事由之日起一年内不行使，或者经对方催告后在合理期限内不行使的，该权利消灭。
第五百六十五条 当事人一方依法主张解除合同的，应当通知对方。合同自通知到达对方时解除；通知载明债务人在一定期限内不履行债务则合同自动解除，债务人在该期限内未履行债务的，合同自通知载明的期限届满时解除。对方对解除合同有异议的，任何一方当事人均可以请求人民法院或者仲裁机构确认解除行为的效力。
当事人一方未通知对方，直接以提起诉讼或者申请仲裁的方式依法主张解除合同，人民法院或者仲裁机构确认该主张的，合同自起诉状副本或者仲裁申请书副本送达对方时解除。
第五百六十六条 合同解除后，尚未履行的，终止履行；已经履行的，根据履行情况和合同性质，当事人可以请求恢复原状或者采取其他补救措施，并有权请求赔偿损失。
合同因违约解除的，解除权人可以请求违约方承担违约责任，但是当事人另有约定的除外。
主合同解除后，担保人对债务人应当承担的民事责任仍应当承担担保责任，但是担保合同另有约定的除外。
第五百六十七条 合同的权利义务关系终止，不影响合同中结算和清理条款的效力。
第五百六十八条 当事人互负债务，该债务的标的物种类、品质相同的，任何一方可以将自己的债务与对方的到期债务抵销；但是，根据债务性质、按照当事人约定或者依照法律规定不得抵销的除外。
当事人主张抵销的，应当通知对方。通知自到达对方时生效。抵销不得附条件或者附期限。
第五百六十九条 当事人互负债务，标的物种类、品质不相同的，经协商一致，也可以抵销。
第五百七十条 有下列情形之一，难以履行债务的，债务人可以将标的物提存：
（一）债权人无正当理由拒绝受领；
（二）债权人下落不明；
（三）债权人死亡未确定继承人、遗产管理人，或者丧失民事行为能力未确定监护人；
（四）法律规定的其他情形。
标的物不适于提存或者提存费用过高的，债务人依法可以拍卖或者变卖标的物，提存所得的价款。
第五百七十一条 债务人将标的物或者将标的物依法拍卖、变卖所得价款交付提存部门时，提存成立。
提存成立的，视为债务人在其提存范围内已经交付标的物。
第五百七十二条 标的物提存后，债务人应当及时通知债权人或者债权人的继承人、遗产管理人、监护人、财产代管人。
第五百七十三条 标的物提存后，毁损、灭失的风险由债权人承担。提存期间，标的物的孳息归债权人所有。提存费用由债权人负担。
第五百七十四条 债权人可以随时领取提存物。但是，债权人对债务人负有到期债务的，在债权人未履行债务或者提供担保之前，提存部门根据债务人的要求应当拒绝其领取提存物。
债权人领取提存物的权利，自提存之日起五年内不行使而消灭，提存物扣除提存费用后归国家所有。但是，债权人未履行对债务人的到期债务，或者债权人向提存部门书面表示放弃领取提存物权利的，债务人负担提存费用后有权取回提存物。
第五百七十五条 债权人免除债务人部分或者全部债务的，债权债务部分或者全部终止，但是债务人在合理期限内拒绝的除外。
第五百七十六条 债权和债务同归于一人的，债权债务终止，但是损害第三人利益的除外。
第八章 违约责任
第五百七十七条 当事人一方不履行合同义务或者履行合同义务不符合约定的，应当承担继续履行、采取补救措施或者赔偿损失等违约责任。
第五百七十八条 当事人一方明确表示或者以自己的行为表明不履行合同义务的，对方可以在履行期限届满前请求其承担违约责任。
第五百七十九条 当事人一方未支付价款、报酬、租金、利息，或者不履行其他金钱债务的，对方可以请求其支付。
第五百八十条 当事人一方不履行非金钱债务或者履行非金钱债务不符合约定的，对方可以请求履行，但是有下列情形之一的除外：
（一）法律上或者事实上不能履行；
（二）债务的标的不适于强制履行或者履行费用过高；
（三）债权人在合理期限内未请求履行。
有前款规定的除外情形之一，致使不能实现合同目的的，人民法院或者仲裁机构可以根据当事人的请求终止合同权利义务关系，但是不影响违约责任的承担。
第五百八十一条 当事人一方不履行债务或者履行债务不符合约定，根据债务的性质不得强制履行的，对方可以请求其负担由第三人替代履行的费用。
第五百八十二条 履行不符合约定的，应当按照当事人的约定承担违约责任。对违约责任没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，受损害方根据标的的性质以及损失的大小，可以合理选择请求对方承担修理、重作、更换、退货、减少价款或者报酬等违约责任。
第五百八十三条 当事人一方不履行合同义务或者履行合同义务不符合约定的，在履行义务或者采取补救措施后，对方还有其他损失的，应当赔偿损失。
第五百八十四条 当事人一方不履行合同义务或者履行合同义务不符合约定，造成对方损失的，损失赔偿额应当相当于因违约所造成的损失，包括合同履行后可以获得的利益；但是，不得超过违约一方订立合同时预见到或者应当预见到的因违约可能造成的损失。
第五百八十五条 当事人可以约定一方违约时应当根据违约情况向对方支付一定数额的违约金，也可以约定因违约产生的损失赔偿额的计算方法。
约定的违约金低于造成的损失的，人民法院或者仲裁机构可以根据当事人的请求予以增加；约定的违约金过分高于造成的损失的，人民法院或者仲裁机构可以根据当事人的请求予以适当减少。
当事人就迟延履行约定违约金的，违约方支付违约金后，还应当履行债务。
第五百八十六条 当事人可以约定一方向对方给付定金作为债权的担保。定金合同自实际交付定金时成立。
定金的数额由当事人约定；但是，不得超过主合同标的额的百分之二十，超过部分不产生定金的效力。实际交付的定金数额多于或者少于约定数额的，视为变更约定的定金数额。
第五百八十七条 债务人履行债务的，定金应当抵作价款或者收回。给付定金的一方不履行债务或者履行债务不符合约定，致使不能实现合同目的的，无权请求返还定金；收受定金的一方不履行债务或者履行债务不符合约定，致使不能实现合同目的的，应当双倍返还定金。
第五百八十八条 当事人既约定违约金，又约定定金的，一方违约时，对方可以选择适用违约金或者定金条款。
定金不足以弥补一方违约造成的损失的，对方可以请求赔偿超过定金数额的损失。
第五百八十九条 债务人按照约定履行债务，债权人无正当理由拒绝受领的，债务人可以请求债权人赔偿增加的费用。
在债权人受领迟延期间，债务人无须支付利息。
第五百九十条 当事人一方因不可抗力不能履行合同的，根据不可抗力的影响，部分或者全部免除责任，但是法律另有规定的除外。因不可抗力不能履行合同的，应当及时通知对方，以减轻可能给对方造成的损失，并应当在合理期限内提供证明。
当事人迟延履行后发生不可抗力的，不免除其违约责任。
第五百九十一条 当事人一方违约后，对方应当采取适当措施防止损失的扩大；没有采取适当措施致使损失扩大的，不得就扩大的损失请求赔偿。
当事人因防止损失扩大而支出的合理费用，由违约方负担。
第五百九十二条 当事人都违反合同的，应当各自承担相应的责任。
当事人一方违约造成对方损失，对方对损失的发生有过错的，可以减少相应的损失赔偿额。
第五百九十三条 当事人一方因第三人的原因造成违约的，应当依法向对方承担违约责任。当事人一方和第三人之间的纠纷，依照法律规定或者按照约定处理。
第五百九十四条 因国际货物买卖合同和技术进出口合同争议提起诉讼或者申请仲裁的时效期间为四年。
第二分编 典型合同
第九章 买卖合同
第五百九十五条 买卖合同是出卖人转移标的物的所有权于买受人，买受人支付价款的合同。
第五百九十六条 买卖合同的内容一般包括标的物的名称、数量、质量、价款、履行期限、履行地点和方式、包装方式、检验标准和方法、结算方式、合同使用的文字及其效力等条款。
第五百九十七条 因出卖人未取得处分权致使标的物所有权不能转移的，买受人可以解除合同并请求出卖人承担违约责任。
法律、行政法规禁止或者限制转让的标的物，依照其规定。
第五百九十八条 出卖人应当履行向买受人交付标的物或者交付提取标的物的单证，并转移标的物所有权的义务。
第五百九十九条 出卖人应当按照约定或者交易习惯向买受人交付提取标的物单证以外的有关单证和资料。
第六百条 出卖具有知识产权的标的物的，除法律另有规定或者当事人另有约定外，该标的物的知识产权不属于买受人。
第六百零一条 出卖人应当按照约定的时间交付标的物。约定交付期限的，出卖人可以在该交付期限内的任何时间交付。
第六百零二条 当事人没有约定标的物的交付期限或者约定不明确的，适用本法第五百一十条、第五百一十一条第四项的规定。
第六百零三条 出卖人应当按照约定的地点交付标的物。
当事人没有约定交付地点或者约定不明确，依据本法第五百一十条的规定仍不能确定的，适用下列规定：
（一）标的物需要运输的，出卖人应当将标的物交付给第一承运人以运交给买受人；
（二）标的物不需要运输，出卖人和买受人订立合同时知道标的物在某一地点的，出卖人应当在该地点交付标的物；不知道标的物在某一地点的，应当在出卖人订立合同时的营业地交付标的物。
第六百零四条 标的物毁损、灭失的风险，在标的物交付之前由出卖人承担，交付之后由买受人承担，但是法律另有规定或者当事人另有约定的除外。
第六百零五条 因买受人的原因致使标的物未按照约定的期限交付的，买受人应当自违反约定时起承担标的物毁损、灭失的风险。
第六百零六条 出卖人出卖交由承运人运输的在途标的物，除当事人另有约定外，毁损、灭失的风险自合同成立时起由买受人承担。
第六百零七条 出卖人按照约定将标的物运送至买受人指定地点并交付给承运人后，标的物毁损、灭失的风险由买受人承担。
当事人没有约定交付地点或者约定不明确，依据本法第六百零三条第二款第一项的规定标的物需要运输的，出卖人将标的物交付给第一承运人后，标的物毁损、灭失的风险由买受人承担。
第六百零八条 出卖人按照约定或者依据本法第六百零三条第二款第二项的规定将标的物置于交付地点，买受人违反约定没有收取的，标的物毁损、灭失的风险自违反约定时起由买受人承担。
第六百零九条 出卖人按照约定未交付有关标的物的单证和资料的，不影响标的物毁损、灭失风险的转移。
第六百一十条 因标的物不符合质量要求，致使不能实现合同目的的，买受人可以拒绝接受标的物或者解除合同。买受人拒绝接受标的物或者解除合同的，标的物毁损、灭失的风险由出卖人承担。
第六百一十一条 标的物毁损、灭失的风险由买受人承担的，不影响因出卖人履行义务不符合约定，买受人请求其承担违约责任的权利。
第六百一十二条 出卖人就交付的标的物，负有保证第三人对该标的物不享有任何权利的义务，但是法律另有规定的除外。
第六百一十三条 买受人订立合同时知道或者应当知道第三人对买卖的标的物享有权利的，出卖人不承担前条规定的义务。
第六百一十四条 买受人有确切证据证明第三人对标的物享有权利的，可以中止支付相应的价款，但是出卖人提供适当担保的除外。
第六百一十五条 出卖人应当按照约定的质量要求交付标的物。出卖人提供有关标的物质量说明的，交付的标的物应当符合该说明的质量要求。
第六百一十六条 当事人对标的物的质量要求没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，适用本法第五百一十一条第一项的规定。
第六百一十七条 出卖人交付的标的物不符合质量要求的，买受人可以依据本法第五百八十二条至第五百八十四条的规定请求承担违约责任。
第六百一十八条 当事人约定减轻或者免除出卖人对标的物瑕疵承担的责任，因出卖人故意或者重大过失不告知买受人标的物瑕疵的，出卖人无权主张减轻或者免除责任。
第六百一十九条 出卖人应当按照约定的包装方式交付标的物。对包装方式没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，应当按照通用的方式包装；没有通用方式的，应当采取足以保护标的物且有利于节约资源、保护生态环境的包装方式。
第六百二十条 买受人收到标的物时应当在约定的检验期限内检验。没有约定检验期限的，应当及时检验。
第六百二十一条 当事人约定检验期限的，买受人应当在检验期限内将标的物的数量或者质量不符合约定的情形通知出卖人。买受人怠于通知的，视为标的物的数量或者质量符合约定。
当事人没有约定检验期限的，买受人应当在发现或者应当发现标的物的数量或者质量不符合约定的合理期限内通知出卖人。买受人在合理期限内未通知或者自收到标的物之日起二年内未通知出卖人的，视为标的物的数量或者质量符合约定；但是，对标的物有质量保证期的，适用质量保证期，不适用该二年的规定。
出卖人知道或者应当知道提供的标的物不符合约定的，买受人不受前两款规定的通知时间的限制。
第六百二十二条 当事人约定的检验期限过短，根据标的物的性质和交易习惯，买受人在检验期限内难以完成全面检验的，该期限仅视为买受人对标的物的外观瑕疵提出异议的期限。
约定的检验期限或者质量保证期短于法律、行政法规规定期限的，应当以法律、行政法规规定的期限为准。
第六百二十三条 当事人对检验期限未作约定，买受人签收的送货单、确认单等载明标的物数量、型号、规格的，推定买受人已经对数量和外观瑕疵进行检验，但是有相关证据足以推翻的除外。
第六百二十四条 出卖人依照买受人的指示向第三人交付标的物，出卖人和买受人约定的检验标准与买受人和第三人约定的检验标准不一致的，以出卖人和买受人约定的检验标准为准。
第六百二十五条 依照法律、行政法规的规定或者按照当事人的约定，标的物在有效使用年限届满后应予回收的，出卖人负有自行或者委托第三人对标的物予以回收的义务。
第六百二十六条 买受人应当按照约定的数额和支付方式支付价款。对价款的数额和支付方式没有约定或者约定不明确的，适用本法第五百一十条、第五百一十一条第二项和第五项的规定。
第六百二十七条 买受人应当按照约定的地点支付价款。对支付地点没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，买受人应当在出卖人的营业地支付；但是，约定支付价款以交付标的物或者交付提取标的物单证为条件的，在交付标的物或者交付提取标的物单证的所在地支付。
第六百二十八条 买受人应当按照约定的时间支付价款。对支付时间没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，买受人应当在收到标的物或者提取标的物单证的同时支付。
第六百二十九条 出卖人多交标的物的，买受人可以接收或者拒绝接收多交的部分。买受人接收多交部分的，按照约定的价格支付价款；买受人拒绝接收多交部分的，应当及时通知出卖人。
第六百三十条 标的物在交付之前产生的孳息，归出卖人所有；交付之后产生的孳息，归买受人所有。但是，当事人另有约定的除外。
第六百三十一条 因标的物的主物不符合约定而解除合同的，解除合同的效力及于从物。因标的物的从物不符合约定被解除的，解除的效力不及于主物。
第六百三十二条 标的物为数物，其中一物不符合约定的，买受人可以就该物解除。但是，该物与他物分离使标的物的价值显受损害的，买受人可以就数物解除合同。
第六百三十三条 出卖人分批交付标的物的，出卖人对其中一批标的物不交付或者交付不符合约定，致使该批标的物不能实现合同目的的，买受人可以就该批标的物解除。
出卖人不交付其中一批标的物或者交付不符合约定，致使之后其他各批标的物的交付不能实现合同目的的，买受人可以就该批以及之后其他各批标的物解除。
买受人如果就其中一批标的物解除，该批标的物与其他各批标的物相互依存的，可以就已经交付和未交付的各批标的物解除。
第六百三十四条 分期付款的买受人未支付到期价款的数额达到全部价款的五分之一，经催告后在合理期限内仍未支付到期价款的，出卖人可以请求买受人支付全部价款或者解除合同。
出卖人解除合同的，可以向买受人请求支付该标的物的使用费。
第六百三十五条 凭样品买卖的当事人应当封存样品，并可以对样品质量予以说明。出卖人交付的标的物应当与样品及其说明的质量相同。
第六百三十六条 凭样品买卖的买受人不知道样品有隐蔽瑕疵的，即使交付的标的物与样品相同，出卖人交付的标的物的质量仍然应当符合同种物的通常标准。
第六百三十七条 试用买卖的当事人可以约定标的物的试用期限。对试用期限没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，由出卖人确定。
第六百三十八条 试用买卖的买受人在试用期内可以购买标的物，也可以拒绝购买。试用期限届满，买受人对是否购买标的物未作表示的，视为购买。
试用买卖的买受人在试用期内已经支付部分价款或者对标的物实施出卖、出租、设立担保物权等行为的，视为同意购买。
第六百三十九条 试用买卖的当事人对标的物使用费没有约定或者约定不明确的，出卖人无权请求买受人支付。
第六百四十条 标的物在试用期内毁损、灭失的风险由出卖人承担。
第六百四十一条 当事人可以在买卖合同中约定买受人未履行支付价款或者其他义务的，标的物的所有权属于出卖人。
出卖人对标的物保留的所有权，未经登记，不得对抗善意第三人。
第六百四十二条 当事人约定出卖人保留合同标的物的所有权，在标的物所有权转移前，买受人有下列情形之一，造成出卖人损害的，除当事人另有约定外，出卖人有权取回标的物：
（一）未按照约定支付价款，经催告后在合理期限内仍未支付；
（二）未按照约定完成特定条件；
（三）将标的物出卖、出质或者作出其他不当处分。
出卖人可以与买受人协商取回标的物；协商不成的，可以参照适用担保物权的实现程序。
第六百四十三条 出卖人依据前条第一款的规定取回标的物后，买受人在双方约定或者出卖人指定的合理回赎期限内，消除出卖人取回标的物的事由的，可以请求回赎标的物。
买受人在回赎期限内没有回赎标的物，出卖人可以以合理价格将标的物出卖给第三人，出卖所得价款扣除买受人未支付的价款以及必要费用后仍有剩余的，应当返还买受人；不足部分由买受人清偿。
第六百四十四条 招标投标买卖的当事人的权利和义务以及招标投标程序等，依照有关法律、行政法规的规定。
第六百四十五条 拍卖的当事人的权利和义务以及拍卖程序等，依照有关法律、行政法规的规定。
第六百四十六条 法律对其他有偿合同有规定的，依照其规定；没有规定的，参照适用买卖合同的有关规定。
第六百四十七条 当事人约定易货交易，转移标的物的所有权的，参照适用买卖合同的有关规定。
第十章 供用电、水、气、热力合同
第六百四十八条 供用电合同是供电人向用电人供电，用电人支付电费的合同。
向社会公众供电的供电人，不得拒绝用电人合理的订立合同要求。
第六百四十九条 供用电合同的内容一般包括供电的方式、质量、时间，用电容量、地址、性质，计量方式，电价、电费的结算方式，供用电设施的维护责任等条款。
第六百五十条 供用电合同的履行地点，按照当事人约定；当事人没有约定或者约定不明确的，供电设施的产权分界处为履行地点。
第六百五十一条 供电人应当按照国家规定的供电质量标准和约定安全供电。供电人未按照国家规定的供电质量标准和约定安全供电，造成用电人损失的，应当承担赔偿责任。
第六百五十二条 供电人因供电设施计划检修、临时检修、依法限电或者用电人违法用电等原因，需要中断供电时，应当按照国家有关规定事先通知用电人；未事先通知用电人中断供电，造成用电人损失的，应当承担赔偿责任。
第六百五十三条 因自然灾害等原因断电，供电人应当按照国家有关规定及时抢修；未及时抢修，造成用电人损失的，应当承担赔偿责任。
第六百五十四条 用电人应当按照国家有关规定和当事人的约定及时支付电费。用电人逾期不支付电费的，应当按照约定支付违约金。经催告用电人在合理期限内仍不支付电费和违约金的，供电人可以按照国家规定的程序中止供电。
供电人依据前款规定中止供电的，应当事先通知用电人。
第六百五十五条 用电人应当按照国家有关规定和当事人的约定安全、节约和计划用电。用电人未按照国家有关规定和当事人的约定用电，造成供电人损失的，应当承担赔偿责任。
第六百五十六条 供用水、供用气、供用热力合同，参照适用供用电合同的有关规定。
第十一章 赠与合同
第六百五十七条 赠与合同是赠与人将自己的财产无偿给予受赠人，受赠人表示接受赠与的合同。
第六百五十八条 赠与人在赠与财产的权利转移之前可以撤销赠与。
经过公证的赠与合同或者依法不得撤销的具有救灾、扶贫、助残等公益、道德义务性质的赠与合同，不适用前款规定。
第六百五十九条 赠与的财产依法需要办理登记或者其他手续的，应当办理有关手续。
第六百六十条 经过公证的赠与合同或者依法不得撤销的具有救灾、扶贫、助残等公益、道德义务性质的赠与合同，赠与人不交付赠与财产的，受赠人可以请求交付。
依据前款规定应当交付的赠与财产因赠与人故意或者重大过失致使毁损、灭失的，赠与人应当承担赔偿责任。
第六百六十一条 赠与可以附义务。
赠与附义务的，受赠人应当按照约定履行义务。
第六百六十二条 赠与的财产有瑕疵的，赠与人不承担责任。附义务的赠与，赠与的财产有瑕疵的，赠与人在附义务的限度内承担与出卖人相同的责任。
赠与人故意不告知瑕疵或者保证无瑕疵，造成受赠人损失的，应当承担赔偿责任。
第六百六十三条 受赠人有下列情形之一的，赠与人可以撤销赠与：
（一）严重侵害赠与人或者赠与人近亲属的合法权益；
（二）对赠与人有扶养义务而不履行；
（三）不履行赠与合同约定的义务。
赠与人的撤销权，自知道或者应当知道撤销事由之日起一年内行使。
第六百六十四条 因受赠人的违法行为致使赠与人死亡或者丧失民事行为能力的，赠与人的继承人或者法定代理人可以撤销赠与。
赠与人的继承人或者法定代理人的撤销权，自知道或者应当知道撤销事由之日起六个月内行使。
第六百六十五条 撤销权人撤销赠与的，可以向受赠人请求返还赠与的财产。
第六百六十六条 赠与人的经济状况显著恶化，严重影响其生产经营或者家庭生活的，可以不再履行赠与义务。
第十二章 借款合同
第六百六十七条 借款合同是借款人向贷款人借款，到期返还借款并支付利息的合同。
第六百六十八条 借款合同应当采用书面形式，但是自然人之间借款另有约定的除外。
借款合同的内容一般包括借款种类、币种、用途、数额、利率、期限和还款方式等条款。
第六百六十九条 订立借款合同，借款人应当按照贷款人的要求提供与借款有关的业务活动和财务状况的真实情况。
第六百七十条 借款的利息不得预先在本金中扣除。利息预先在本金中扣除的，应当按照实际借款数额返还借款并计算利息。
第六百七十一条 贷款人未按照约定的日期、数额提供借款，造成借款人损失的，应当赔偿损失。
借款人未按照约定的日期、数额收取借款的，应当按照约定的日期、数额支付利息。
第六百七十二条 贷款人按照约定可以检查、监督借款的使用情况。借款人应当按照约定向贷款人定期提供有关财务会计报表或者其他资料。
第六百七十三条 借款人未按照约定的借款用途使用借款的，贷款人可以停止发放借款、提前收回借款或者解除合同。
第六百七十四条 借款人应当按照约定的期限支付利息。对支付利息的期限没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定，借款期间不满一年的，应当在返还借款时一并支付；借款期间一年以上的，应当在每届满一年时支付，剩余期间不满一年的，应当在返还借款时一并支付。
第六百七十五条 借款人应当按照约定的期限返还借款。对借款期限没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，借款人可以随时返还；贷款人可以催告借款人在合理期限内返还。
第六百七十六条 借款人未按照约定的期限返还借款的，应当按照约定或者国家有关规定支付逾期利息。
第六百七十七条 借款人提前返还借款的，除当事人另有约定外，应当按照实际借款的期间计算利息。
第六百七十八条 借款人可以在还款期限届满前向贷款人申请展期；贷款人同意的，可以展期。
第六百七十九条 自然人之间的借款合同，自贷款人提供借款时成立。
第六百八十条 禁止高利放贷，借款的利率不得违反国家有关规定。
借款合同对支付利息没有约定的，视为没有利息。
借款合同对支付利息约定不明确，当事人不能达成补充协议的，按照当地或者当事人的交易方式、交易习惯、市场利率等因素确定利息；自然人之间借款的，视为没有利息。
第十三章 保证合同
第一节 一般规定
第六百八十一条 保证合同是为保障债权的实现，保证人和债权人约定，当债务人不履行到期债务或者发生当事人约定的情形时，保证人履行债务或者承担责任的合同。
第六百八十二条 保证合同是主债权债务合同的从合同。主债权债务合同无效的，保证合同无效，但是法律另有规定的除外。
保证合同被确认无效后，债务人、保证人、债权人有过错的，应当根据其过错各自承担相应的民事责任。
第六百八十三条 机关法人不得为保证人，但是经国务院批准为使用外国政府或者国际经济组织贷款进行转贷的除外。
以公益为目的的非营利法人、非法人组织不得为保证人。
第六百八十四条 保证合同的内容一般包括被保证的主债权的种类、数额，债务人履行债务的期限，保证的方式、范围和期间等条款。
第六百八十五条 保证合同可以是单独订立的书面合同，也可以是主债权债务合同中的保证条款。
第三人单方以书面形式向债权人作出保证，债权人接收且未提出异议的，保证合同成立。
第六百八十六条 保证的方式包括一般保证和连带责任保证。
当事人在保证合同中对保证方式没有约定或者约定不明确的，按照一般保证承担保证责任。
第六百八十七条 当事人在保证合同中约定，债务人不能履行债务时，由保证人承担保证责任的，为一般保证。
一般保证的保证人在主合同纠纷未经审判或者仲裁，并就债务人财产依法强制执行仍不能履行债务前，有权拒绝向债权人承担保证责任，但是有下列情形之一的除外：
（一）债务人下落不明，且无财产可供执行；
（二）人民法院已经受理债务人破产案件；
（三）债权人有证据证明债务人的财产不足以履行全部债务或者丧失履行债务能力；
（四）保证人书面表示放弃本款规定的权利。
第六百八十八条 当事人在保证合同中约定保证人和债务人对债务承担连带责任的，为连带责任保证。
连带责任保证的债务人不履行到期债务或者发生当事人约定的情形时，债权人可以请求债务人履行债务，也可以请求保证人在其保证范围内承担保证责任。
第六百八十九条 保证人可以要求债务人提供反担保。
第六百九十条 保证人与债权人可以协商订立最高额保证的合同，约定在最高债权额限度内就一定期间连续发生的债权提供保证。
最高额保证除适用本章规定外，参照适用本法第二编最高额抵押权的有关规定。
第二节 保证责任
第六百九十一条 保证的范围包括主债权及其利息、违约金、损害赔偿金和实现债权的费用。当事人另有约定的，按照其约定。
第六百九十二条 保证期间是确定保证人承担保证责任的期间，不发生中止、中断和延长。
债权人与保证人可以约定保证期间，但是约定的保证期间早于主债务履行期限或者与主债务履行期限同时届满的，视为没有约定；没有约定或者约定不明确的，保证期间为主债务履行期限届满之日起六个月。
债权人与债务人对主债务履行期限没有约定或者约定不明确的，保证期间自债权人请求债务人履行债务的宽限期届满之日起计算。
第六百九十三条 一般保证的债权人未在保证期间对债务人提起诉讼或者申请仲裁的，保证人不再承担保证责任。
连带责任保证的债权人未在保证期间请求保证人承担保证责任的，保证人不再承担保证责任。
第六百九十四条 一般保证的债权人在保证期间届满前对债务人提起诉讼或者申请仲裁的，从保证人拒绝承担保证责任的权利消灭之日起，开始计算保证债务的诉讼时效。
连带责任保证的债权人在保证期间届满前请求保证人承担保证责任的，从债权人请求保证人承担保证责任之日起，开始计算保证债务的诉讼时效。
第六百九十五条 债权人和债务人未经保证人书面同意，协商变更主债权债务合同内容，减轻债务的，保证人仍对变更后的债务承担保证责任；加重债务的，保证人对加重的部分不承担保证责任。
债权人和债务人变更主债权债务合同的履行期限，未经保证人书面同意的，保证期间不受影响。
第六百九十六条 债权人转让全部或者部分债权，未通知保证人的，该转让对保证人不发生效力。
保证人与债权人约定禁止债权转让，债权人未经保证人书面同意转让债权的，保证人对受让人不再承担保证责任。
第六百九十七条 债权人未经保证人书面同意，允许债务人转移全部或者部分债务，保证人对未经其同意转移的债务不再承担保证责任，但是债权人和保证人另有约定的除外。
第三人加入债务的，保证人的保证责任不受影响。
第六百九十八条 一般保证的保证人在主债务履行期限届满后，向债权人提供债务人可供执行财产的真实情况，债权人放弃或者怠于行使权利致使该财产不能被执行的，保证人在其提供可供执行财产的价值范围内不再承担保证责任。
第六百九十九条 同一债务有两个以上保证人的，保证人应当按照保证合同约定的保证份额，承担保证责任；没有约定保证份额的，债权人可以请求任何一个保证人在其保证范围内承担保证责任。
第七百条 保证人承担保证责任后，除当事人另有约定外，有权在其承担保证责任的范围内向债务人追偿，享有债权人对债务人的权利，但是不得损害债权人的利益。
第七百零一条 保证人可以主张债务人对债权人的抗辩。债务人放弃抗辩的，保证人仍有权向债权人主张抗辩。
第七百零二条 债务人对债权人享有抵销权或者撤销权的，保证人可以在相应范围内拒绝承担保证责任。
第十四章 租赁合同
第七百零三条 租赁合同是出租人将租赁物交付承租人使用、收益，承租人支付租金的合同。
第七百零四条 租赁合同的内容一般包括租赁物的名称、数量、用途、租赁期限、租金及其支付期限和方式、租赁物维修等条款。
第七百零五条 租赁期限不得超过二十年。超过二十年的，超过部分无效。
租赁期限届满，当事人可以续订租赁合同；但是，约定的租赁期限自续订之日起不得超过二十年。
第七百零六条 当事人未依照法律、行政法规规定办理租赁合同登记备案手续的，不影响合同的效力。
第七百零七条 租赁期限六个月以上的，应当采用书面形式。当事人未采用书面形式，无法确定租赁期限的，视为不定期租赁。
第七百零八条 出租人应当按照约定将租赁物交付承租人，并在租赁期限内保持租赁物符合约定的用途。
第七百零九条 承租人应当按照约定的方法使用租赁物。对租赁物的使用方法没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，应当根据租赁物的性质使用。
第七百一十条 承租人按照约定的方法或者根据租赁物的性质使用租赁物，致使租赁物受到损耗的，不承担赔偿责任。
第七百一十一条 承租人未按照约定的方法或者未根据租赁物的性质使用租赁物，致使租赁物受到损失的，出租人可以解除合同并请求赔偿损失。
第七百一十二条 出租人应当履行租赁物的维修义务，但是当事人另有约定的除外。
第七百一十三条 承租人在租赁物需要维修时可以请求出租人在合理期限内维修。出租人未履行维修义务的，承租人可以自行维修，维修费用由出租人负担。因维修租赁物影响承租人使用的，应当相应减少租金或者延长租期。
因承租人的过错致使租赁物需要维修的，出租人不承担前款规定的维修义务。
第七百一十四条 承租人应当妥善保管租赁物，因保管不善造成租赁物毁损、灭失的，应当承担赔偿责任。
第七百一十五条 承租人经出租人同意，可以对租赁物进行改善或者增设他物。
承租人未经出租人同意，对租赁物进行改善或者增设他物的，出租人可以请求承租人恢复原状或者赔偿损失。
第七百一十六条 承租人经出租人同意，可以将租赁物转租给第三人。承租人转租的，承租人与出租人之间的租赁合同继续有效；第三人造成租赁物损失的，承租人应当赔偿损失。
承租人未经出租人同意转租的，出租人可以解除合同。
第七百一十七条 承租人经出租人同意将租赁物转租给第三人，转租期限超过承租人剩余租赁期限的，超过部分的约定对出租人不具有法律约束力，但是出租人与承租人另有约定的除外。
第七百一十八条 出租人知道或者应当知道承租人转租，但是在六个月内未提出异议的，视为出租人同意转租。
第七百一十九条 承租人拖欠租金的，次承租人可以代承租人支付其欠付的租金和违约金，但是转租合同对出租人不具有法律约束力的除外。
次承租人代为支付的租金和违约金，可以充抵次承租人应当向承租人支付的租金；超出其应付的租金数额的，可以向承租人追偿。
第七百二十条 在租赁期限内因占有、使用租赁物获得的收益，归承租人所有，但是当事人另有约定的除外。
第七百二十一条 承租人应当按照约定的期限支付租金。对支付租金的期限没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定，租赁期限不满一年的，应当在租赁期限届满时支付；租赁期限一年以上的，应当在每届满一年时支付，剩余期限不满一年的，应当在租赁期限届满时支付。
第七百二十二条 承租人无正当理由未支付或者迟延支付租金的，出租人可以请求承租人在合理期限内支付；承租人逾期不支付的，出租人可以解除合同。
第七百二十三条 因第三人主张权利，致使承租人不能对租赁物使用、收益的，承租人可以请求减少租金或者不支付租金。
第三人主张权利的，承租人应当及时通知出租人。
第七百二十四条 有下列情形之一，非因承租人原因致使租赁物无法使用的，承租人可以解除合同：
（一）租赁物被司法机关或者行政机关依法查封、扣押；
（二）租赁物权属有争议；
（三）租赁物具有违反法律、行政法规关于使用条件的强制性规定情形。
第七百二十五条 租赁物在承租人按照租赁合同占有期限内发生所有权变动的，不影响租赁合同的效力。
第七百二十六条 出租人出卖租赁房屋的，应当在出卖之前的合理期限内通知承租人，承租人享有以同等条件优先购买的权利；但是，房屋按份共有人行使优先购买权或者出租人将房屋出卖给近亲属的除外。
出租人履行通知义务后，承租人在十五日内未明确表示购买的，视为承租人放弃优先购买权。
第七百二十七条 出租人委托拍卖人拍卖租赁房屋的，应当在拍卖五日前通知承租人。承租人未参加拍卖的，视为放弃优先购买权。
第七百二十八条 出租人未通知承租人或者有其他妨害承租人行使优先购买权情形的，承租人可以请求出租人承担赔偿责任。但是，出租人与第三人订立的房屋买卖合同的效力不受影响。
第七百二十九条 因不可归责于承租人的事由，致使租赁物部分或者全部毁损、灭失的，承租人可以请求减少租金或者不支付租金；因租赁物部分或者全部毁损、灭失，致使不能实现合同目的的，承租人可以解除合同。
第七百三十条 当事人对租赁期限没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，视为不定期租赁；当事人可以随时解除合同，但是应当在合理期限之前通知对方。
第七百三十一条 租赁物危及承租人的安全或者健康的，即使承租人订立合同时明知该租赁物质量不合格，承租人仍然可以随时解除合同。
第七百三十二条 承租人在房屋租赁期限内死亡的，与其生前共同居住的人或者共同经营人可以按照原租赁合同租赁该房屋。
第七百三十三条 租赁期限届满，承租人应当返还租赁物。返还的租赁物应当符合按照约定或者根据租赁物的性质使用后的状态。
第七百三十四条 租赁期限届满，承租人继续使用租赁物，出租人没有提出异议的，原租赁合同继续有效，但是租赁期限为不定期。
租赁期限届满，房屋承租人享有以同等条件优先承租的权利。
第十五章 融资租赁合同
第七百三十五条 融资租赁合同是出租人根据承租人对出卖人、租赁物的选择，向出卖人购买租赁物，提供给承租人使用，承租人支付租金的合同。
第七百三十六条 融资租赁合同的内容一般包括租赁物的名称、数量、规格、技术性能、检验方法，租赁期限，租金构成及其支付期限和方式、币种，租赁期限届满租赁物的归属等条款。
融资租赁合同应当采用书面形式。
第七百三十七条 当事人以虚构租赁物方式订立的融资租赁合同无效。
第七百三十八条 依照法律、行政法规的规定，对于租赁物的经营使用应当取得行政许可的，出租人未取得行政许可不影响融资租赁合同的效力。
第七百三十九条 出租人根据承租人对出卖人、租赁物的选择订立的买卖合同，出卖人应当按照约定向承租人交付标的物，承租人享有与受领标的物有关的买受人的权利。
第七百四十条 出卖人违反向承租人交付标的物的义务，有下列情形之一的，承租人可以拒绝受领出卖人向其交付的标的物：
（一）标的物严重不符合约定；
（二）未按照约定交付标的物，经承租人或者出租人催告后在合理期限内仍未交付。
承租人拒绝受领标的物的，应当及时通知出租人。
第七百四十一条 出租人、出卖人、承租人可以约定，出卖人不履行买卖合同义务的，由承租人行使索赔的权利。承租人行使索赔权利的，出租人应当协助。
第七百四十二条 承租人对出卖人行使索赔权利，不影响其履行支付租金的义务。但是，承租人依赖出租人的技能确定租赁物或者出租人干预选择租赁物的，承租人可以请求减免相应租金。
第七百四十三条 出租人有下列情形之一，致使承租人对出卖人行使索赔权利失败的，承租人有权请求出租人承担相应的责任：
（一）明知租赁物有质量瑕疵而不告知承租人；
（二）承租人行使索赔权利时，未及时提供必要协助。
出租人怠于行使只能由其对出卖人行使的索赔权利，造成承租人损失的，承租人有权请求出租人承担赔偿责任。
第七百四十四条 出租人根据承租人对出卖人、租赁物的选择订立的买卖合同，未经承租人同意，出租人不得变更与承租人有关的合同内容。
第七百四十五条 出租人对租赁物享有的所有权，未经登记，不得对抗善意第三人。
第七百四十六条 融资租赁合同的租金，除当事人另有约定外，应当根据购买租赁物的大部分或者全部成本以及出租人的合理利润确定。
第七百四十七条 租赁物不符合约定或者不符合使用目的的，出租人不承担责任。但是，承租人依赖出租人的技能确定租赁物或者出租人干预选择租赁物的除外。
第七百四十八条 出租人应当保证承租人对租赁物的占有和使用。
出租人有下列情形之一的，承租人有权请求其赔偿损失：
（一）无正当理由收回租赁物；
（二）无正当理由妨碍、干扰承租人对租赁物的占有和使用；
（三）因出租人的原因致使第三人对租赁物主张权利；
（四）不当影响承租人对租赁物占有和使用的其他情形。
第七百四十九条 承租人占有租赁物期间，租赁物造成第三人人身损害或者财产损失的，出租人不承担责任。
第七百五十条 承租人应当妥善保管、使用租赁物。
承租人应当履行占有租赁物期间的维修义务。
第七百五十一条 承租人占有租赁物期间，租赁物毁损、灭失的，出租人有权请求承租人继续支付租金，但是法律另有规定或者当事人另有约定的除外。
第七百五十二条 承租人应当按照约定支付租金。承租人经催告后在合理期限内仍不支付租金的，出租人可以请求支付全部租金；也可以解除合同，收回租赁物。
第七百五十三条 承租人未经出租人同意，将租赁物转让、抵押、质押、投资入股或者以其他方式处分的，出租人可以解除融资租赁合同。
第七百五十四条 有下列情形之一的，出租人或者承租人可以解除融资租赁合同：
（一）出租人与出卖人订立的买卖合同解除、被确认无效或者被撤销，且未能重新订立买卖合同；
（二）租赁物因不可归责于当事人的原因毁损、灭失，且不能修复或者确定替代物；
（三）因出卖人的原因致使融资租赁合同的目的不能实现。
第七百五十五条 融资租赁合同因买卖合同解除、被确认无效或者被撤销而解除，出卖人、租赁物系由承租人选择的，出租人有权请求承租人赔偿相应损失；但是，因出租人原因致使买卖合同解除、被确认无效或者被撤销的除外。
出租人的损失已经在买卖合同解除、被确认无效或者被撤销时获得赔偿的，承租人不再承担相应的赔偿责任。
第七百五十六条 融资租赁合同因租赁物交付承租人后意外毁损、灭失等不可归责于当事人的原因解除的，出租人可以请求承租人按照租赁物折旧情况给予补偿。
第七百五十七条 出租人和承租人可以约定租赁期限届满租赁物的归属；对租赁物的归属没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，租赁物的所有权归出租人。
第七百五十八条 当事人约定租赁期限届满租赁物归承租人所有，承租人已经支付大部分租金，但是无力支付剩余租金，出租人因此解除合同收回租赁物，收回的租赁物的价值超过承租人欠付的租金以及其他费用的，承租人可以请求相应返还。
当事人约定租赁期限届满租赁物归出租人所有，因租赁物毁损、灭失或者附合、混合于他物致使承租人不能返还的，出租人有权请求承租人给予合理补偿。
第七百五十九条 当事人约定租赁期限届满，承租人仅需向出租人支付象征性价款的，视为约定的租金义务履行完毕后租赁物的所有权归承租人。
第七百六十条 融资租赁合同无效，当事人就该情形下租赁物的归属有约定的，按照其约定；没有约定或者约定不明确的，租赁物应当返还出租人。但是，因承租人原因致使合同无效，出租人不请求返还或者返还后会显著降低租赁物效用的，租赁物的所有权归承租人，由承租人给予出租人合理补偿。
第十六章 保理合同
第七百六十一条 保理合同是应收账款债权人将现有的或者将有的应收账款转让给保理人，保理人提供资金融通、应收账款管理或者催收、应收账款债务人付款担保等服务的合同。
第七百六十二条 保理合同的内容一般包括业务类型、服务范围、服务期限、基础交易合同情况、应收账款信息、保理融资款或者服务报酬及其支付方式等条款。
保理合同应当采用书面形式。
第七百六十三条 应收账款债权人与债务人虚构应收账款作为转让标的，与保理人订立保理合同的，应收账款债务人不得以应收账款不存在为由对抗保理人，但是保理人明知虚构的除外。
第七百六十四条 保理人向应收账款债务人发出应收账款转让通知的，应当表明保理人身份并附有必要凭证。
第七百六十五条 应收账款债务人接到应收账款转让通知后，应收账款债权人与债务人无正当理由协商变更或者终止基础交易合同，对保理人产生不利影响的，对保理人不发生效力。
第七百六十六条 当事人约定有追索权保理的，保理人可以向应收账款债权人主张返还保理融资款本息或者回购应收账款债权，也可以向应收账款债务人主张应收账款债权。保理人向应收账款债务人主张应收账款债权，在扣除保理融资款本息和相关费用后有剩余的，剩余部分应当返还给应收账款债权人。
第七百六十七条 当事人约定无追索权保理的，保理人应当向应收账款债务人主张应收账款债权，保理人取得超过保理融资款本息和相关费用的部分，无需向应收账款债权人返还。
第七百六十八条 应收账款债权人就同一应收账款订立多个保理合同，致使多个保理人主张权利的，已经登记的先于未登记的取得应收账款；均已经登记的，按照登记时间的先后顺序取得应收账款；均未登记的，由最先到达应收账款债务人的转让通知中载明的保理人取得应收账款；既未登记也未通知的，按照保理融资款或者服务报酬的比例取得应收账款。
第七百六十九条 本章没有规定的，适用本编第六章债权转让的有关规定。
第十七章 承揽合同
第七百七十条 承揽合同是承揽人按照定作人的要求完成工作，交付工作成果，定作人支付报酬的合同。
承揽包括加工、定作、修理、复制、测试、检验等工作。
第七百七十一条 承揽合同的内容一般包括承揽的标的、数量、质量、报酬，承揽方式，材料的提供，履行期限，验收标准和方法等条款。
第七百七十二条 承揽人应当以自己的设备、技术和劳力，完成主要工作，但是当事人另有约定的除外。
承揽人将其承揽的主要工作交由第三人完成的，应当就该第三人完成的工作成果向定作人负责；未经定作人同意的，定作人也可以解除合同。
第七百七十三条 承揽人可以将其承揽的辅助工作交由第三人完成。承揽人将其承揽的辅助工作交由第三人完成的，应当就该第三人完成的工作成果向定作人负责。
第七百七十四条 承揽人提供材料的，应当按照约定选用材料，并接受定作人检验。
第七百七十五条 定作人提供材料的，应当按照约定提供材料。承揽人对定作人提供的材料应当及时检验，发现不符合约定时，应当及时通知定作人更换、补齐或者采取其他补救措施。
承揽人不得擅自更换定作人提供的材料，不得更换不需要修理的零部件。
第七百七十六条 承揽人发现定作人提供的图纸或者技术要求不合理的，应当及时通知定作人。因定作人怠于答复等原因造成承揽人损失的，应当赔偿损失。
第七百七十七条 定作人中途变更承揽工作的要求，造成承揽人损失的，应当赔偿损失。
第七百七十八条 承揽工作需要定作人协助的，定作人有协助的义务。定作人不履行协助义务致使承揽工作不能完成的，承揽人可以催告定作人在合理期限内履行义务，并可以顺延履行期限；定作人逾期不履行的，承揽人可以解除合同。
第七百七十九条 承揽人在工作期间，应当接受定作人必要的监督检验。定作人不得因监督检验妨碍承揽人的正常工作。
第七百八十条 承揽人完成工作的，应当向定作人交付工作成果，并提交必要的技术资料和有关质量证明。定作人应当验收该工作成果。
第七百八十一条 承揽人交付的工作成果不符合质量要求的，定作人可以合理选择请求承揽人承担修理、重作、减少报酬、赔偿损失等违约责任。
第七百八十二条 定作人应当按照约定的期限支付报酬。对支付报酬的期限没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，定作人应当在承揽人交付工作成果时支付；工作成果部分交付的，定作人应当相应支付。
第七百八十三条 定作人未向承揽人支付报酬或者材料费等价款的，承揽人对完成的工作成果享有留置权或者有权拒绝交付，但是当事人另有约定的除外。
第七百八十四条 承揽人应当妥善保管定作人提供的材料以及完成的工作成果，因保管不善造成毁损、灭失的，应当承担赔偿责任。
第七百八十五条 承揽人应当按照定作人的要求保守秘密，未经定作人许可，不得留存复制品或者技术资料。
第七百八十六条 共同承揽人对定作人承担连带责任，但是当事人另有约定的除外。
第七百八十七条 定作人在承揽人完成工作前可以随时解除合同，造成承揽人损失的，应当赔偿损失。
第十八章 建设工程合同
第七百八十八条 建设工程合同是承包人进行工程建设，发包人支付价款的合同。
建设工程合同包括工程勘察、设计、施工合同。
第七百八十九条 建设工程合同应当采用书面形式。
第七百九十条 建设工程的招标投标活动，应当依照有关法律的规定公开、公平、公正进行。
第七百九十一条 发包人可以与总承包人订立建设工程合同，也可以分别与勘察人、设计人、施工人订立勘察、设计、施工承包合同。发包人不得将应当由一个承包人完成的建设工程支解成若干部分发包给数个承包人。
总承包人或者勘察、设计、施工承包人经发包人同意，可以将自己承包的部分工作交由第三人完成。第三人就其完成的工作成果与总承包人或者勘察、设计、施工承包人向发包人承担连带责任。承包人不得将其承包的全部建设工程转包给第三人或者将其承包的全部建设工程支解以后以分包的名义分别转包给第三人。
禁止承包人将工程分包给不具备相应资质条件的单位。禁止分包单位将其承包的工程再分包。建设工程主体结构的施工必须由承包人自行完成。
第七百九十二条 国家重大建设工程合同，应当按照国家规定的程序和国家批准的投资计划、可行性研究报告等文件订立。
第七百九十三条 建设工程施工合同无效，但是建设工程经验收合格的，可以参照合同关于工程价款的约定折价补偿承包人。
建设工程施工合同无效，且建设工程经验收不合格的，按照以下情形处理：
（一）修复后的建设工程经验收合格的，发包人可以请求承包人承担修复费用；
（二）修复后的建设工程经验收不合格的，承包人无权请求参照合同关于工程价款的约定折价补偿。
发包人对因建设工程不合格造成的损失有过错的，应当承担相应的责任。
第七百九十四条 勘察、设计合同的内容一般包括提交有关基础资料和概预算等文件的期限、质量要求、费用以及其他协作条件等条款。
第七百九十五条 施工合同的内容一般包括工程范围、建设工期、中间交工工程的开工和竣工时间、工程质量、工程造价、技术资料交付时间、材料和设备供应责任、拨款和结算、竣工验收、质量保修范围和质量保证期、相互协作等条款。
第七百九十六条 建设工程实行监理的，发包人应当与监理人采用书面形式订立委托监理合同。发包人与监理人的权利和义务以及法律责任，应当依照本编委托合同以及其他有关法律、行政法规的规定。
第七百九十七条 发包人在不妨碍承包人正常作业的情况下，可以随时对作业进度、质量进行检查。
第七百九十八条 隐蔽工程在隐蔽以前，承包人应当通知发包人检查。发包人没有及时检查的，承包人可以顺延工程日期，并有权请求赔偿停工、窝工等损失。
第七百九十九条 建设工程竣工后，发包人应当根据施工图纸及说明书、国家颁发的施工验收规范和质量检验标准及时进行验收。验收合格的，发包人应当按照约定支付价款，并接收该建设工程。
建设工程竣工经验收合格后，方可交付使用；未经验收或者验收不合格的，不得交付使用。
第八百条 勘察、设计的质量不符合要求或者未按照期限提交勘察、设计文件拖延工期，造成发包人损失的，勘察人、设计人应当继续完善勘察、设计，减收或者免收勘察、设计费并赔偿损失。
第八百零一条 因施工人的原因致使建设工程质量不符合约定的，发包人有权请求施工人在合理期限内无偿修理或者返工、改建。经过修理或者返工、改建后，造成逾期交付的，施工人应当承担违约责任。
第八百零二条 因承包人的原因致使建设工程在合理使用期限内造成人身损害和财产损失的，承包人应当承担赔偿责任。
第八百零三条 发包人未按照约定的时间和要求提供原材料、设备、场地、资金、技术资料的，承包人可以顺延工程日期，并有权请求赔偿停工、窝工等损失。
第八百零四条 因发包人的原因致使工程中途停建、缓建的，发包人应当采取措施弥补或者减少损失，赔偿承包人因此造成的停工、窝工、倒运、机械设备调迁、材料和构件积压等损失和实际费用。
第八百零五条 因发包人变更计划，提供的资料不准确，或者未按照期限提供必需的勘察、设计工作条件而造成勘察、设计的返工、停工或者修改设计，发包人应当按照勘察人、设计人实际消耗的工作量增付费用。
第八百零六条 承包人将建设工程转包、违法分包的，发包人可以解除合同。
发包人提供的主要建筑材料、建筑构配件和设备不符合强制性标准或者不履行协助义务，致使承包人无法施工，经催告后在合理期限内仍未履行相应义务的，承包人可以解除合同。
合同解除后，已经完成的建设工程质量合格的，发包人应当按照约定支付相应的工程价款；已经完成的建设工程质量不合格的，参照本法第七百九十三条的规定处理。
第八百零七条 发包人未按照约定支付价款的，承包人可以催告发包人在合理期限内支付价款。发包人逾期不支付的，除根据建设工程的性质不宜折价、拍卖外，承包人可以与发包人协议将该工程折价，也可以请求人民法院将该工程依法拍卖。建设工程的价款就该工程折价或者拍卖的价款优先受偿。
第八百零八条 本章没有规定的，适用承揽合同的有关规定。
第十九章 运输合同
第一节 一般规定
第八百零九条 运输合同是承运人将旅客或者货物从起运地点运输到约定地点，旅客、托运人或者收货人支付票款或者运输费用的合同。
第八百一十条 从事公共运输的承运人不得拒绝旅客、托运人通常、合理的运输要求。
第八百一十一条 承运人应当在约定期限或者合理期限内将旅客、货物安全运输到约定地点。
第八百一十二条 承运人应当按照约定的或者通常的运输路线将旅客、货物运输到约定地点。
第八百一十三条 旅客、托运人或者收货人应当支付票款或者运输费用。承运人未按照约定路线或者通常路线运输增加票款或者运输费用的，旅客、托运人或者收货人可以拒绝支付增加部分的票款或者运输费用。
第二节 客运合同
第八百一十四条 客运合同自承运人向旅客出具客票时成立，但是当事人另有约定或者另有交易习惯的除外。
第八百一十五条 旅客应当按照有效客票记载的时间、班次和座位号乘坐。旅客无票乘坐、超程乘坐、越级乘坐或者持不符合减价条件的优惠客票乘坐的，应当补交票款，承运人可以按照规定加收票款；旅客不支付票款的，承运人可以拒绝运输。
实名制客运合同的旅客丢失客票的，可以请求承运人挂失补办，承运人不得再次收取票款和其他不合理费用。
第八百一十六条 旅客因自己的原因不能按照客票记载的时间乘坐的，应当在约定的期限内办理退票或者变更手续；逾期办理的，承运人可以不退票款，并不再承担运输义务。
第八百一十七条 旅客随身携带行李应当符合约定的限量和品类要求；超过限量或者违反品类要求携带行李的，应当办理托运手续。
第八百一十八条 旅客不得随身携带或者在行李中夹带易燃、易爆、有毒、有腐蚀性、有放射性以及可能危及运输工具上人身和财产安全的危险物品或者违禁物品。
旅客违反前款规定的，承运人可以将危险物品或者违禁物品卸下、销毁或者送交有关部门。旅客坚持携带或者夹带危险物品或者违禁物品的，承运人应当拒绝运输。
第八百一十九条 承运人应当严格履行安全运输义务，及时告知旅客安全运输应当注意的事项。旅客对承运人为安全运输所作的合理安排应当积极协助和配合。
第八百二十条 承运人应当按照有效客票记载的时间、班次和座位号运输旅客。承运人迟延运输或者有其他不能正常运输情形的，应当及时告知和提醒旅客，采取必要的安置措施，并根据旅客的要求安排改乘其他班次或者退票；由此造成旅客损失的，承运人应当承担赔偿责任，但是不可归责于承运人的除外。
第八百二十一条 承运人擅自降低服务标准的，应当根据旅客的请求退票或者减收票款；提高服务标准的，不得加收票款。
第八百二十二条 承运人在运输过程中，应当尽力救助患有急病、分娩、遇险的旅客。
第八百二十三条 承运人应当对运输过程中旅客的伤亡承担赔偿责任；但是，伤亡是旅客自身健康原因造成的或者承运人证明伤亡是旅客故意、重大过失造成的除外。
前款规定适用于按照规定免票、持优待票或者经承运人许可搭乘的无票旅客。
第八百二十四条 在运输过程中旅客随身携带物品毁损、灭失，承运人有过错的，应当承担赔偿责任。
旅客托运的行李毁损、灭失的，适用货物运输的有关规定。
第三节 货运合同
第八百二十五条 托运人办理货物运输，应当向承运人准确表明收货人的姓名、名称或者凭指示的收货人，货物的名称、性质、重量、数量，收货地点等有关货物运输的必要情况。
因托运人申报不实或者遗漏重要情况，造成承运人损失的，托运人应当承担赔偿责任。
第八百二十六条 货物运输需要办理审批、检验等手续的，托运人应当将办理完有关手续的文件提交承运人。
第八百二十七条 托运人应当按照约定的方式包装货物。对包装方式没有约定或者约定不明确的，适用本法第六百一十九条的规定。
托运人违反前款规定的，承运人可以拒绝运输。
第八百二十八条 托运人托运易燃、易爆、有毒、有腐蚀性、有放射性等危险物品的，应当按照国家有关危险物品运输的规定对危险物品妥善包装，做出危险物品标志和标签，并将有关危险物品的名称、性质和防范措施的书面材料提交承运人。
托运人违反前款规定的，承运人可以拒绝运输，也可以采取相应措施以避免损失的发生，因此产生的费用由托运人负担。
第八百二十九条 在承运人将货物交付收货人之前，托运人可以要求承运人中止运输、返还货物、变更到达地或者将货物交给其他收货人，但是应当赔偿承运人因此受到的损失。
第八百三十条 货物运输到达后，承运人知道收货人的，应当及时通知收货人，收货人应当及时提货。收货人逾期提货的，应当向承运人支付保管费等费用。
第八百三十一条 收货人提货时应当按照约定的期限检验货物。对检验货物的期限没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，应当在合理期限内检验货物。收货人在约定的期限或者合理期限内对货物的数量、毁损等未提出异议的，视为承运人已经按照运输单证的记载交付的初步证据。
第八百三十二条 承运人对运输过程中货物的毁损、灭失承担赔偿责任。但是，承运人证明货物的毁损、灭失是因不可抗力、货物本身的自然性质或者合理损耗以及托运人、收货人的过错造成的，不承担赔偿责任。
第八百三十三条 货物的毁损、灭失的赔偿额，当事人有约定的，按照其约定；没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，按照交付或者应当交付时货物到达地的市场价格计算。法律、行政法规对赔偿额的计算方法和赔偿限额另有规定的，依照其规定。
第八百三十四条 两个以上承运人以同一运输方式联运的，与托运人订立合同的承运人应当对全程运输承担责任；损失发生在某一运输区段的，与托运人订立合同的承运人和该区段的承运人承担连带责任。
第八百三十五条 货物在运输过程中因不可抗力灭失，未收取运费的，承运人不得请求支付运费；已经收取运费的，托运人可以请求返还。法律另有规定的，依照其规定。
第八百三十六条 托运人或者收货人不支付运费、保管费或者其他费用的，承运人对相应的运输货物享有留置权，但是当事人另有约定的除外。
第八百三十七条 收货人不明或者收货人无正当理由拒绝受领货物的，承运人依法可以提存货物。
第四节 多式联运合同
第八百三十八条 多式联运经营人负责履行或者组织履行多式联运合同，对全程运输享有承运人的权利，承担承运人的义务。
第八百三十九条 多式联运经营人可以与参加多式联运的各区段承运人就多式联运合同的各区段运输约定相互之间的责任；但是，该约定不影响多式联运经营人对全程运输承担的义务。
第八百四十条 多式联运经营人收到托运人交付的货物时，应当签发多式联运单据。按照托运人的要求，多式联运单据可以是可转让单据，也可以是不可转让单据。
第八百四十一条 因托运人托运货物时的过错造成多式联运经营人损失的，即使托运人已经转让多式联运单据，托运人仍然应当承担赔偿责任。
第八百四十二条 货物的毁损、灭失发生于多式联运的某一运输区段的，多式联运经营人的赔偿责任和责任限额，适用调整该区段运输方式的有关法律规定；货物毁损、灭失发生的运输区段不能确定的，依照本章规定承担赔偿责任。
第二十章 技术合同
第一节 一般规定
第八百四十三条 技术合同是当事人就技术开发、转让、许可、咨询或者服务订立的确立相互之间权利和义务的合同。
第八百四十四条 订立技术合同，应当有利于知识产权的保护和科学技术的进步，促进科学技术成果的研发、转化、应用和推广。
第八百四十五条 技术合同的内容一般包括项目的名称，标的的内容、范围和要求，履行的计划、地点和方式，技术信息和资料的保密，技术成果的归属和收益的分配办法，验收标准和方法，名词和术语的解释等条款。
与履行合同有关的技术背景资料、可行性论证和技术评价报告、项目任务书和计划书、技术标准、技术规范、原始设计和工艺文件，以及其他技术文档，按照当事人的约定可以作为合同的组成部分。
技术合同涉及专利的，应当注明发明创造的名称、专利申请人和专利权人、申请日期、申请号、专利号以及专利权的有效期限。
第八百四十六条 技术合同价款、报酬或者使用费的支付方式由当事人约定，可以采取一次总算、一次总付或者一次总算、分期支付，也可以采取提成支付或者提成支付附加预付入门费的方式。
约定提成支付的，可以按照产品价格、实施专利和使用技术秘密后新增的产值、利润或者产品销售额的一定比例提成，也可以按照约定的其他方式计算。提成支付的比例可以采取固定比例、逐年递增比例或者逐年递减比例。
约定提成支付的，当事人可以约定查阅有关会计账目的办法。
第八百四十七条 职务技术成果的使用权、转让权属于法人或者非法人组织的，法人或者非法人组织可以就该项职务技术成果订立技术合同。法人或者非法人组织订立技术合同转让职务技术成果时，职务技术成果的完成人享有以同等条件优先受让的权利。
职务技术成果是执行法人或者非法人组织的工作任务，或者主要是利用法人或者非法人组织的物质技术条件所完成的技术成果。
第八百四十八条 非职务技术成果的使用权、转让权属于完成技术成果的个人，完成技术成果的个人可以就该项非职务技术成果订立技术合同。
第八百四十九条 完成技术成果的个人享有在有关技术成果文件上写明自己是技术成果完成者的权利和取得荣誉证书、奖励的权利。
第八百五十条 非法垄断技术或者侵害他人技术成果的技术合同无效。
第二节 技术开发合同
第八百五十一条 技术开发合同是当事人之间就新技术、新产品、新工艺、新品种或者新材料及其系统的研究开发所订立的合同。
技术开发合同包括委托开发合同和合作开发合同。
技术开发合同应当采用书面形式。
当事人之间就具有实用价值的科技成果实施转化订立的合同，参照适用技术开发合同的有关规定。
第八百五十二条 委托开发合同的委托人应当按照约定支付研究开发经费和报酬，提供技术资料，提出研究开发要求，完成协作事项，接受研究开发成果。
第八百五十三条 委托开发合同的研究开发人应当按照约定制定和实施研究开发计划，合理使用研究开发经费，按期完成研究开发工作，交付研究开发成果，提供有关的技术资料和必要的技术指导，帮助委托人掌握研究开发成果。
第八百五十四条 委托开发合同的当事人违反约定造成研究开发工作停滞、延误或者失败的，应当承担违约责任。
第八百五十五条 合作开发合同的当事人应当按照约定进行投资，包括以技术进行投资，分工参与研究开发工作，协作配合研究开发工作。
第八百五十六条 合作开发合同的当事人违反约定造成研究开发工作停滞、延误或者失败的，应当承担违约责任。
第八百五十七条 作为技术开发合同标的的技术已经由他人公开，致使技术开发合同的履行没有意义的，当事人可以解除合同。
第八百五十八条 技术开发合同履行过程中，因出现无法克服的技术困难，致使研究开发失败或者部分失败的，该风险由当事人约定；没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，风险由当事人合理分担。
当事人一方发现前款规定的可能致使研究开发失败或者部分失败的情形时，应当及时通知另一方并采取适当措施减少损失；没有及时通知并采取适当措施，致使损失扩大的，应当就扩大的损失承担责任。
第八百五十九条 委托开发完成的发明创造，除法律另有规定或者当事人另有约定外，申请专利的权利属于研究开发人。研究开发人取得专利权的，委托人可以依法实施该专利。
研究开发人转让专利申请权的，委托人享有以同等条件优先受让的权利。
第八百六十条 合作开发完成的发明创造，申请专利的权利属于合作开发的当事人共有；当事人一方转让其共有的专利申请权的，其他各方享有以同等条件优先受让的权利。但是，当事人另有约定的除外。
合作开发的当事人一方声明放弃其共有的专利申请权的，除当事人另有约定外，可以由另一方单独申请或者由其他各方共同申请。申请人取得专利权的，放弃专利申请权的一方可以免费实施该专利。
合作开发的当事人一方不同意申请专利的，另一方或者其他各方不得申请专利。
第八百六十一条 委托开发或者合作开发完成的技术秘密成果的使用权、转让权以及收益的分配办法，由当事人约定；没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，在没有相同技术方案被授予专利权前，当事人均有使用和转让的权利。但是，委托开发的研究开发人不得在向委托人交付研究开发成果之前，将研究开发成果转让给第三人。
第三节 技术转让合同和技术许可合同
第八百六十二条 技术转让合同是合法拥有技术的权利人，将现有特定的专利、专利申请、技术秘密的相关权利让与他人所订立的合同。
技术许可合同是合法拥有技术的权利人，将现有特定的专利、技术秘密的相关权利许可他人实施、使用所订立的合同。
技术转让合同和技术许可合同中关于提供实施技术的专用设备、原材料或者提供有关的技术咨询、技术服务的约定，属于合同的组成部分。
第八百六十三条 技术转让合同包括专利权转让、专利申请权转让、技术秘密转让等合同。
技术许可合同包括专利实施许可、技术秘密使用许可等合同。
技术转让合同和技术许可合同应当采用书面形式。
第八百六十四条 技术转让合同和技术许可合同可以约定实施专利或者使用技术秘密的范围，但是不得限制技术竞争和技术发展。
第八百六十五条 专利实施许可合同仅在该专利权的存续期限内有效。专利权有效期限届满或者专利权被宣告无效的，专利权人不得就该专利与他人订立专利实施许可合同。
第八百六十六条 专利实施许可合同的许可人应当按照约定许可被许可人实施专利，交付实施专利有关的技术资料，提供必要的技术指导。
第八百六十七条 专利实施许可合同的被许可人应当按照约定实施专利，不得许可约定以外的第三人实施该专利，并按照约定支付使用费。
第八百六十八条 技术秘密转让合同的让与人和技术秘密使用许可合同的许可人应当按照约定提供技术资料，进行技术指导，保证技术的实用性、可靠性，承担保密义务。
前款规定的保密义务，不限制许可人申请专利，但是当事人另有约定的除外。
第八百六十九条 技术秘密转让合同的受让人和技术秘密使用许可合同的被许可人应当按照约定使用技术，支付转让费、使用费，承担保密义务。
第八百七十条 技术转让合同的让与人和技术许可合同的许可人应当保证自己是所提供的技术的合法拥有者，并保证所提供的技术完整、无误、有效，能够达到约定的目标。
第八百七十一条 技术转让合同的受让人和技术许可合同的被许可人应当按照约定的范围和期限，对让与人、许可人提供的技术中尚未公开的秘密部分，承担保密义务。
第八百七十二条 许可人未按照约定许可技术的，应当返还部分或者全部使用费，并应当承担违约责任；实施专利或者使用技术秘密超越约定的范围的，违反约定擅自许可第三人实施该项专利或者使用该项技术秘密的，应当停止违约行为，承担违约责任；违反约定的保密义务的，应当承担违约责任。
让与人承担违约责任，参照适用前款规定。
第八百七十三条 被许可人未按照约定支付使用费的，应当补交使用费并按照约定支付违约金；不补交使用费或者支付违约金的，应当停止实施专利或者使用技术秘密，交还技术资料，承担违约责任；实施专利或者使用技术秘密超越约定的范围的，未经许可人同意擅自许可第三人实施该专利或者使用该技术秘密的，应当停止违约行为，承担违约责任；违反约定的保密义务的，应当承担违约责任。
受让人承担违约责任，参照适用前款规定。
第八百七十四条 受让人或者被许可人按照约定实施专利、使用技术秘密侵害他人合法权益的，由让与人或者许可人承担责任，但是当事人另有约定的除外。
第八百七十五条 当事人可以按照互利的原则，在合同中约定实施专利、使用技术秘密后续改进的技术成果的分享办法；没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，一方后续改进的技术成果，其他各方无权分享。
第八百七十六条 集成电路布图设计专有权、植物新品种权、计算机软件著作权等其他知识产权的转让和许可，参照适用本节的有关规定。
第八百七十七条 法律、行政法规对技术进出口合同或者专利、专利申请合同另有规定的，依照其规定。
第四节 技术咨询合同和技术服务合同
第八百七十八条 技术咨询合同是当事人一方以技术知识为对方就特定技术项目提供可行性论证、技术预测、专题技术调查、分析评价报告等所订立的合同。
技术服务合同是当事人一方以技术知识为对方解决特定技术问题所订立的合同，不包括承揽合同和建设工程合同。
第八百七十九条 技术咨询合同的委托人应当按照约定阐明咨询的问题，提供技术背景材料及有关技术资料，接受受托人的工作成果，支付报酬。
第八百八十条 技术咨询合同的受托人应当按照约定的期限完成咨询报告或者解答问题，提出的咨询报告应当达到约定的要求。
第八百八十一条 技术咨询合同的委托人未按照约定提供必要的资料，影响工作进度和质量，不接受或者逾期接受工作成果的，支付的报酬不得追回，未支付的报酬应当支付。
技术咨询合同的受托人未按期提出咨询报告或者提出的咨询报告不符合约定的，应当承担减收或者免收报酬等违约责任。
技术咨询合同的委托人按照受托人符合约定要求的咨询报告和意见作出决策所造成的损失，由委托人承担，但是当事人另有约定的除外。
第八百八十二条 技术服务合同的委托人应当按照约定提供工作条件，完成配合事项，接受工作成果并支付报酬。
第八百八十三条 技术服务合同的受托人应当按照约定完成服务项目，解决技术问题，保证工作质量，并传授解决技术问题的知识。
第八百八十四条 技术服务合同的委托人不履行合同义务或者履行合同义务不符合约定，影响工作进度和质量，不接受或者逾期接受工作成果的，支付的报酬不得追回，未支付的报酬应当支付。
技术服务合同的受托人未按照约定完成服务工作的，应当承担免收报酬等违约责任。
第八百八十五条 技术咨询合同、技术服务合同履行过程中，受托人利用委托人提供的技术资料和工作条件完成的新的技术成果，属于受托人。委托人利用受托人的工作成果完成的新的技术成果，属于委托人。当事人另有约定的，按照其约定。
第八百八十六条 技术咨询合同和技术服务合同对受托人正常开展工作所需费用的负担没有约定或者约定不明确的，由受托人负担。
第八百八十七条 法律、行政法规对技术中介合同、技术培训合同另有规定的，依照其规定。
第二十一章 保管合同
第八百八十八条 保管合同是保管人保管寄存人交付的保管物，并返还该物的合同。
寄存人到保管人处从事购物、就餐、住宿等活动，将物品存放在指定场所的，视为保管，但是当事人另有约定或者另有交易习惯的除外。
第八百八十九条 寄存人应当按照约定向保管人支付保管费。
当事人对保管费没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，视为无偿保管。
第八百九十条 保管合同自保管物交付时成立，但是当事人另有约定的除外。
第八百九十一条 寄存人向保管人交付保管物的，保管人应当出具保管凭证，但是另有交易习惯的除外。
第八百九十二条 保管人应当妥善保管保管物。
当事人可以约定保管场所或者方法。除紧急情况或者为维护寄存人利益外，不得擅自改变保管场所或者方法。
第八百九十三条 寄存人交付的保管物有瑕疵或者根据保管物的性质需要采取特殊保管措施的，寄存人应当将有关情况告知保管人。寄存人未告知，致使保管物受损失的，保管人不承担赔偿责任；保管人因此受损失的，除保管人知道或者应当知道且未采取补救措施外，寄存人应当承担赔偿责任。
第八百九十四条 保管人不得将保管物转交第三人保管，但是当事人另有约定的除外。
保管人违反前款规定，将保管物转交第三人保管，造成保管物损失的，应当承担赔偿责任。
第八百九十五条 保管人不得使用或者许可第三人使用保管物，但是当事人另有约定的除外。
第八百九十六条 第三人对保管物主张权利的，除依法对保管物采取保全或者执行措施外，保管人应当履行向寄存人返还保管物的义务。
第三人对保管人提起诉讼或者对保管物申请扣押的，保管人应当及时通知寄存人。
第八百九十七条 保管期内，因保管人保管不善造成保管物毁损、灭失的，保管人应当承担赔偿责任。但是，无偿保管人证明自己没有故意或者重大过失的，不承担赔偿责任。
第八百九十八条 寄存人寄存货币、有价证券或者其他贵重物品的，应当向保管人声明，由保管人验收或者封存；寄存人未声明的，该物品毁损、灭失后，保管人可以按照一般物品予以赔偿。
第八百九十九条 寄存人可以随时领取保管物。
当事人对保管期限没有约定或者约定不明确的，保管人可以随时请求寄存人领取保管物；约定保管期限的，保管人无特别事由，不得请求寄存人提前领取保管物。
第九百条 保管期限届满或者寄存人提前领取保管物的，保管人应当将原物及其孳息归还寄存人。
第九百零一条 保管人保管货币的，可以返还相同种类、数量的货币；保管其他可替代物的，可以按照约定返还相同种类、品质、数量的物品。
第九百零二条 有偿的保管合同，寄存人应当按照约定的期限向保管人支付保管费。
当事人对支付期限没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，应当在领取保管物的同时支付。
第九百零三条 寄存人未按照约定支付保管费或者其他费用的，保管人对保管物享有留置权，但是当事人另有约定的除外。
第二十二章 仓储合同
第九百零四条 仓储合同是保管人储存存货人交付的仓储物，存货人支付仓储费的合同。
第九百零五条 仓储合同自保管人和存货人意思表示一致时成立。
第九百零六条 储存易燃、易爆、有毒、有腐蚀性、有放射性等危险物品或者易变质物品的，存货人应当说明该物品的性质，提供有关资料。
存货人违反前款规定的，保管人可以拒收仓储物，也可以采取相应措施以避免损失的发生，因此产生的费用由存货人负担。
保管人储存易燃、易爆、有毒、有腐蚀性、有放射性等危险物品的，应当具备相应的保管条件。
第九百零七条 保管人应当按照约定对入库仓储物进行验收。保管人验收时发现入库仓储物与约定不符合的，应当及时通知存货人。保管人验收后，发生仓储物的品种、数量、质量不符合约定的，保管人应当承担赔偿责任。
第九百零八条 存货人交付仓储物的，保管人应当出具仓单、入库单等凭证。
第九百零九条 保管人应当在仓单上签名或者盖章。仓单包括下列事项：
（一）存货人的姓名或者名称和住所；
（二）仓储物的品种、数量、质量、包装及其件数和标记；
（三）仓储物的损耗标准；
（四）储存场所；
（五）储存期限；
（六）仓储费；
（七）仓储物已经办理保险的，其保险金额、期间以及保险人的名称；
（八）填发人、填发地和填发日期。
第九百一十条 仓单是提取仓储物的凭证。存货人或者仓单持有人在仓单上背书并经保管人签名或者盖章的，可以转让提取仓储物的权利。
第九百一十一条 保管人根据存货人或者仓单持有人的要求，应当同意其检查仓储物或者提取样品。
第九百一十二条 保管人发现入库仓储物有变质或者其他损坏的，应当及时通知存货人或者仓单持有人。
第九百一十三条 保管人发现入库仓储物有变质或者其他损坏，危及其他仓储物的安全和正常保管的，应当催告存货人或者仓单持有人作出必要的处置。因情况紧急，保管人可以作出必要的处置；但是，事后应当将该情况及时通知存货人或者仓单持有人。
第九百一十四条 当事人对储存期限没有约定或者约定不明确的，存货人或者仓单持有人可以随时提取仓储物，保管人也可以随时请求存货人或者仓单持有人提取仓储物，但是应当给予必要的准备时间。
第九百一十五条 储存期限届满，存货人或者仓单持有人应当凭仓单、入库单等提取仓储物。存货人或者仓单持有人逾期提取的，应当加收仓储费；提前提取的，不减收仓储费。
第九百一十六条 储存期限届满，存货人或者仓单持有人不提取仓储物的，保管人可以催告其在合理期限内提取；逾期不提取的，保管人可以提存仓储物。
第九百一十七条 储存期内，因保管不善造成仓储物毁损、灭失的，保管人应当承担赔偿责任。因仓储物本身的自然性质、包装不符合约定或者超过有效储存期造成仓储物变质、损坏的，保管人不承担赔偿责任。
第九百一十八条 本章没有规定的，适用保管合同的有关规定。
第二十三章 委托合同
第九百一十九条 委托合同是委托人和受托人约定，由受托人处理委托人事务的合同。
第九百二十条 委托人可以特别委托受托人处理一项或者数项事务，也可以概括委托受托人处理一切事务。
第九百二十一条 委托人应当预付处理委托事务的费用。受托人为处理委托事务垫付的必要费用，委托人应当偿还该费用并支付利息。
第九百二十二条 受托人应当按照委托人的指示处理委托事务。需要变更委托人指示的，应当经委托人同意；因情况紧急，难以和委托人取得联系的，受托人应当妥善处理委托事务，但是事后应当将该情况及时报告委托人。
第九百二十三条 受托人应当亲自处理委托事务。经委托人同意，受托人可以转委托。转委托经同意或者追认的，委托人可以就委托事务直接指示转委托的第三人，受托人仅就第三人的选任及其对第三人的指示承担责任。转委托未经同意或者追认的，受托人应当对转委托的第三人的行为承担责任；但是，在紧急情况下受托人为了维护委托人的利益需要转委托第三人的除外。
第九百二十四条 受托人应当按照委托人的要求，报告委托事务的处理情况。委托合同终止时，受托人应当报告委托事务的结果。
第九百二十五条 受托人以自己的名义，在委托人的授权范围内与第三人订立的合同，第三人在订立合同时知道受托人与委托人之间的代理关系的，该合同直接约束委托人和第三人；但是，有确切证据证明该合同只约束受托人和第三人的除外。
第九百二十六条 受托人以自己的名义与第三人订立合同时，第三人不知道受托人与委托人之间的代理关系的，受托人因第三人的原因对委托人不履行义务，受托人应当向委托人披露第三人，委托人因此可以行使受托人对第三人的权利。但是，第三人与受托人订立合同时如果知道该委托人就不会订立合同的除外。
受托人因委托人的原因对第三人不履行义务，受托人应当向第三人披露委托人，第三人因此可以选择受托人或者委托人作为相对人主张其权利，但是第三人不得变更选定的相对人。
委托人行使受托人对第三人的权利的，第三人可以向委托人主张其对受托人的抗辩。第三人选定委托人作为其相对人的，委托人可以向第三人主张其对受托人的抗辩以及受托人对第三人的抗辩。
第九百二十七条 受托人处理委托事务取得的财产，应当转交给委托人。
第九百二十八条 受托人完成委托事务的，委托人应当按照约定向其支付报酬。
因不可归责于受托人的事由，委托合同解除或者委托事务不能完成的，委托人应当向受托人支付相应的报酬。当事人另有约定的，按照其约定。
第九百二十九条 有偿的委托合同，因受托人的过错造成委托人损失的，委托人可以请求赔偿损失。无偿的委托合同，因受托人的故意或者重大过失造成委托人损失的，委托人可以请求赔偿损失。
受托人超越权限造成委托人损失的，应当赔偿损失。
第九百三十条 受托人处理委托事务时，因不可归责于自己的事由受到损失的，可以向委托人请求赔偿损失。
第九百三十一条 委托人经受托人同意，可以在受托人之外委托第三人处理委托事务。因此造成受托人损失的，受托人可以向委托人请求赔偿损失。
第九百三十二条 两个以上的受托人共同处理委托事务的，对委托人承担连带责任。
第九百三十三条 委托人或者受托人可以随时解除委托合同。因解除合同造成对方损失的，除不可归责于该当事人的事由外，无偿委托合同的解除方应当赔偿因解除时间不当造成的直接损失，有偿委托合同的解除方应当赔偿对方的直接损失和合同履行后可以获得的利益。
第九百三十四条 委托人死亡、终止或者受托人死亡、丧失民事行为能力、终止的，委托合同终止；但是，当事人另有约定或者根据委托事务的性质不宜终止的除外。
第九百三十五条 因委托人死亡或者被宣告破产、解散，致使委托合同终止将损害委托人利益的，在委托人的继承人、遗产管理人或者清算人承受委托事务之前，受托人应当继续处理委托事务。
第九百三十六条 因受托人死亡、丧失民事行为能力或者被宣告破产、解散，致使委托合同终止的，受托人的继承人、遗产管理人、法定代理人或者清算人应当及时通知委托人。因委托合同终止将损害委托人利益的，在委托人作出善后处理之前，受托人的继承人、遗产管理人、法定代理人或者清算人应当采取必要措施。
第二十四章 物业服务合同
第九百三十七条 物业服务合同是物业服务人在物业服务区域内，为业主提供建筑物及其附属设施的维修养护、环境卫生和相关秩序的管理维护等物业服务，业主支付物业费的合同。
物业服务人包括物业服务企业和其他管理人。
第九百三十八条 物业服务合同的内容一般包括服务事项、服务质量、服务费用的标准和收取办法、维修资金的使用、服务用房的管理和使用、服务期限、服务交接等条款。
物业服务人公开作出的有利于业主的服务承诺，为物业服务合同的组成部分。
物业服务合同应当采用书面形式。
第九百三十九条 建设单位依法与物业服务人订立的前期物业服务合同，以及业主委员会与业主大会依法选聘的物业服务人订立的物业服务合同，对业主具有法律约束力。
第九百四十条 建设单位依法与物业服务人订立的前期物业服务合同约定的服务期限届满前，业主委员会或者业主与新物业服务人订立的物业服务合同生效的，前期物业服务合同终止。
第九百四十一条 物业服务人将物业服务区域内的部分专项服务事项委托给专业性服务组织或者其他第三人的，应当就该部分专项服务事项向业主负责。
物业服务人不得将其应当提供的全部物业服务转委托给第三人，或者将全部物业服务支解后分别转委托给第三人。
第九百四十二条 物业服务人应当按照约定和物业的使用性质，妥善维修、养护、清洁、绿化和经营管理物业服务区域内的业主共有部分，维护物业服务区域内的基本秩序，采取合理措施保护业主的人身、财产安全。
对物业服务区域内违反有关治安、环保、消防等法律法规的行为，物业服务人应当及时采取合理措施制止、向有关行政主管部门报告并协助处理。
第九百四十三条 物业服务人应当定期将服务的事项、负责人员、质量要求、收费项目、收费标准、履行情况，以及维修资金使用情况、业主共有部分的经营与收益情况等以合理方式向业主公开并向业主大会、业主委员会报告。
第九百四十四条 业主应当按照约定向物业服务人支付物业费。物业服务人已经按照约定和有关规定提供服务的，业主不得以未接受或者无需接受相关物业服务为由拒绝支付物业费。
业主违反约定逾期不支付物业费的，物业服务人可以催告其在合理期限内支付；合理期限届满仍不支付的，物业服务人可以提起诉讼或者申请仲裁。
物业服务人不得采取停止供电、供水、供热、供燃气等方式催交物业费。
第九百四十五条 业主装饰装修房屋的，应当事先告知物业服务人，遵守物业服务人提示的合理注意事项，并配合其进行必要的现场检查。
业主转让、出租物业专有部分、设立居住权或者依法改变共有部分用途的，应当及时将相关情况告知物业服务人。
第九百四十六条 业主依照法定程序共同决定解聘物业服务人的，可以解除物业服务合同。决定解聘的，应当提前六十日书面通知物业服务人，但是合同对通知期限另有约定的除外。
依据前款规定解除合同造成物业服务人损失的，除不可归责于业主的事由外，业主应当赔偿损失。
第九百四十七条 物业服务期限届满前，业主依法共同决定续聘的，应当与原物业服务人在合同期限届满前续订物业服务合同。
物业服务期限届满前，物业服务人不同意续聘的，应当在合同期限届满前九十日书面通知业主或者业主委员会，但是合同对通知期限另有约定的除外。
第九百四十八条 物业服务期限届满后，业主没有依法作出续聘或者另聘物业服务人的决定，物业服务人继续提供物业服务的，原物业服务合同继续有效，但是服务期限为不定期。
当事人可以随时解除不定期物业服务合同，但是应当提前六十日书面通知对方。
第九百四十九条 物业服务合同终止的，原物业服务人应当在约定期限或者合理期限内退出物业服务区域，将物业服务用房、相关设施、物业服务所必需的相关资料等交还给业主委员会、决定自行管理的业主或者其指定的人，配合新物业服务人做好交接工作，并如实告知物业的使用和管理状况。
原物业服务人违反前款规定的，不得请求业主支付物业服务合同终止后的物业费；造成业主损失的，应当赔偿损失。
第九百五十条 物业服务合同终止后，在业主或者业主大会选聘的新物业服务人或者决定自行管理的业主接管之前，原物业服务人应当继续处理物业服务事项，并可以请求业主支付该期间的物业费。
第二十五章 行纪合同
第九百五十一条 行纪合同是行纪人以自己的名义为委托人从事贸易活动，委托人支付报酬的合同。
第九百五十二条 行纪人处理委托事务支出的费用，由行纪人负担，但是当事人另有约定的除外。
第九百五十三条 行纪人占有委托物的，应当妥善保管委托物。
第九百五十四条 委托物交付给行纪人时有瑕疵或者容易腐烂、变质的，经委托人同意，行纪人可以处分该物；不能与委托人及时取得联系的，行纪人可以合理处分。
第九百五十五条 行纪人低于委托人指定的价格卖出或者高于委托人指定的价格买入的，应当经委托人同意；未经委托人同意，行纪人补偿其差额的，该买卖对委托人发生效力。
行纪人高于委托人指定的价格卖出或者低于委托人指定的价格买入的，可以按照约定增加报酬；没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，该利益属于委托人。
委托人对价格有特别指示的，行纪人不得违背该指示卖出或者买入。
第九百五十六条 行纪人卖出或者买入具有市场定价的商品，除委托人有相反的意思表示外，行纪人自己可以作为买受人或者出卖人。
行纪人有前款规定情形的，仍然可以请求委托人支付报酬。
第九百五十七条 行纪人按照约定买入委托物，委托人应当及时受领。经行纪人催告，委托人无正当理由拒绝受领的，行纪人依法可以提存委托物。
委托物不能卖出或者委托人撤回出卖，经行纪人催告，委托人不取回或者不处分该物的，行纪人依法可以提存委托物。
第九百五十八条 行纪人与第三人订立合同的，行纪人对该合同直接享有权利、承担义务。
第三人不履行义务致使委托人受到损害的，行纪人应当承担赔偿责任，但是行纪人与委托人另有约定的除外。
第九百五十九条 行纪人完成或者部分完成委托事务的，委托人应当向其支付相应的报酬。委托人逾期不支付报酬的，行纪人对委托物享有留置权，但是当事人另有约定的除外。
第九百六十条 本章没有规定的，参照适用委托合同的有关规定。
第二十六章 中介合同
第九百六十一条 中介合同是中介人向委托人报告订立合同的机会或者提供订立合同的媒介服务，委托人支付报酬的合同。
第九百六十二条 中介人应当就有关订立合同的事项向委托人如实报告。
中介人故意隐瞒与订立合同有关的重要事实或者提供虚假情况，损害委托人利益的，不得请求支付报酬并应当承担赔偿责任。
第九百六十三条 中介人促成合同成立的，委托人应当按照约定支付报酬。对中介人的报酬没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，根据中介人的劳务合理确定。因中介人提供订立合同的媒介服务而促成合同成立的，由该合同的当事人平均负担中介人的报酬。
中介人促成合同成立的，中介活动的费用，由中介人负担。
第九百六十四条 中介人未促成合同成立的，不得请求支付报酬；但是，可以按照约定请求委托人支付从事中介活动支出的必要费用。
第九百六十五条 委托人在接受中介人的服务后，利用中介人提供的交易机会或者媒介服务，绕开中介人直接订立合同的，应当向中介人支付报酬。
第九百六十六条 本章没有规定的，参照适用委托合同的有关规定。
第二十七章 合伙合同
第九百六十七条 合伙合同是两个以上合伙人为了共同的事业目的，订立的共享利益、共担风险的协议。
第九百六十八条 合伙人应当按照约定的出资方式、数额和缴付期限，履行出资义务。
第九百六十九条 合伙人的出资、因合伙事务依法取得的收益和其他财产，属于合伙财产。
合伙合同终止前，合伙人不得请求分割合伙财产。
第九百七十条 合伙人就合伙事务作出决定的，除合伙合同另有约定外，应当经全体合伙人一致同意。
合伙事务由全体合伙人共同执行。按照合伙合同的约定或者全体合伙人的决定，可以委托一个或者数个合伙人执行合伙事务；其他合伙人不再执行合伙事务，但是有权监督执行情况。
合伙人分别执行合伙事务的，执行事务合伙人可以对其他合伙人执行的事务提出异议；提出异议后，其他合伙人应当暂停该项事务的执行。
第九百七十一条 合伙人不得因执行合伙事务而请求支付报酬，但是合伙合同另有约定的除外。
第九百七十二条 合伙的利润分配和亏损分担，按照合伙合同的约定办理；合伙合同没有约定或者约定不明确的，由合伙人协商决定；协商不成的，由合伙人按照实缴出资比例分配、分担；无法确定出资比例的，由合伙人平均分配、分担。
第九百七十三条 合伙人对合伙债务承担连带责任。清偿合伙债务超过自己应当承担份额的合伙人，有权向其他合伙人追偿。
第九百七十四条 除合伙合同另有约定外，合伙人向合伙人以外的人转让其全部或者部分财产份额的，须经其他合伙人一致同意。
第九百七十五条 合伙人的债权人不得代位行使合伙人依照本章规定和合伙合同享有的权利，但是合伙人享有的利益分配请求权除外。
第九百七十六条 合伙人对合伙期限没有约定或者约定不明确，依据本法第五百一十条的规定仍不能确定的，视为不定期合伙。
合伙期限届满，合伙人继续执行合伙事务，其他合伙人没有提出异议的，原合伙合同继续有效，但是合伙期限为不定期。
合伙人可以随时解除不定期合伙合同，但是应当在合理期限之前通知其他合伙人。
第九百七十七条 合伙人死亡、丧失民事行为能力或者终止的，合伙合同终止；但是，合伙合同另有约定或者根据合伙事务的性质不宜终止的除外。
第九百七十八条 合伙合同终止后，合伙财产在支付因终止而产生的费用以及清偿合伙债务后有剩余的，依据本法第九百七十二条的规定进行分配。
第三分编 准合同
第二十八章 无因管理
第九百七十九条 管理人没有法定的或者约定的义务，为避免他人利益受损失而管理他人事务的，可以请求受益人偿还因管理事务而支出的必要费用；管理人因管理事务受到损失的，可以请求受益人给予适当补偿。
管理事务不符合受益人真实意思的，管理人不享有前款规定的权利；但是，受益人的真实意思违反法律或者违背公序良俗的除外。
第九百八十条 管理人管理事务不属于前条规定的情形，但是受益人享有管理利益的，受益人应当在其获得的利益范围内向管理人承担前条第一款规定的义务。
第九百八十一条 管理人管理他人事务，应当采取有利于受益人的方法。中断管理对受益人不利的，无正当理由不得中断。
第九百八十二条 管理人管理他人事务，能够通知受益人的，应当及时通知受益人。管理的事务不需要紧急处理的，应当等待受益人的指示。
第九百八十三条 管理结束后，管理人应当向受益人报告管理事务的情况。管理人管理事务取得的财产，应当及时转交给受益人。
第九百八十四条 管理人管理事务经受益人事后追认的，从管理事务开始时起，适用委托合同的有关规定，但是管理人另有意思表示的除外。
第二十九章 不当得利
第九百八十五条 得利人没有法律根据取得不当利益的，受损失的人可以请求得利人返还取得的利益，但是有下列情形之一的除外：
（一）为履行道德义务进行的给付；
（二）债务到期之前的清偿；
（三）明知无给付义务而进行的债务清偿。
第九百八十六条 得利人不知道且不应当知道取得的利益没有法律根据，取得的利益已经不存在的，不承担返还该利益的义务。
第九百八十七条 得利人知道或者应当知道取得的利益没有法律根据的，受损失的人可以请求得利人返还其取得的利益并依法赔偿损失。
第九百八十八条 得利人已经将取得的利益无偿转让给第三人的，受损失的人可以请求第三人在相应范围内承担返还义务。
第四编 人格权
第一章 一般规定
第九百八十九条 本编调整因人格权的享有和保护产生的民事关系。
第九百九十条 人格权是民事主体享有的生命权、身体权、健康权、姓名权、名称权、肖像权、名誉权、荣誉权、隐私权等权利。
除前款规定的人格权外，自然人享有基于人身自由、人格尊严产生的其他人格权益。
第九百九十一条 民事主体的人格权受法律保护，任何组织或者个人不得侵害。
第九百九十二条 人格权不得放弃、转让或者继承。
第九百九十三条 民事主体可以将自己的姓名、名称、肖像等许可他人使用，但是依照法律规定或者根据其性质不得许可的除外。
第九百九十四条 死者的姓名、肖像、名誉、荣誉、隐私、遗体等受到侵害的，其配偶、子女、父母有权依法请求行为人承担民事责任；死者没有配偶、子女且父母已经死亡的，其他近亲属有权依法请求行为人承担民事责任。
第九百九十五条 人格权受到侵害的，受害人有权依照本法和其他法律的规定请求行为人承担民事责任。受害人的停止侵害、排除妨碍、消除危险、消除影响、恢复名誉、赔礼道歉请求权，不适用诉讼时效的规定。
第九百九十六条 因当事人一方的违约行为，损害对方人格权并造成严重精神损害，受损害方选择请求其承担违约责任的，不影响受损害方请求精神损害赔偿。
第九百九十七条 民事主体有证据证明行为人正在实施或者即将实施侵害其人格权的违法行为，不及时制止将使其合法权益受到难以弥补的损害的，有权依法向人民法院申请采取责令行为人停止有关行为的措施。
第九百九十八条 认定行为人承担侵害除生命权、身体权和健康权外的人格权的民事责任，应当考虑行为人和受害人的职业、影响范围、过错程度，以及行为的目的、方式、后果等因素。
第九百九十九条 为公共利益实施新闻报道、舆论监督等行为的，可以合理使用民事主体的姓名、名称、肖像、个人信息等；使用不合理侵害民事主体人格权的，应当依法承担民事责任。
第一千条 行为人因侵害人格权承担消除影响、恢复名誉、赔礼道歉等民事责任的，应当与行为的具体方式和造成的影响范围相当。
行为人拒不承担前款规定的民事责任的，人民法院可以采取在报刊、网络等媒体上发布公告或者公布生效裁判文书等方式执行，产生的费用由行为人负担。
第一千零一条 对自然人因婚姻家庭关系等产生的身份权利的保护，适用本法第一编、第五编和其他法律的相关规定；没有规定的，可以根据其性质参照适用本编人格权保护的有关规定。
第二章 生命权、身体权和健康权
第一千零二条 自然人享有生命权。自然人的生命安全和生命尊严受法律保护。任何组织或者个人不得侵害他人的生命权。
第一千零三条 自然人享有身体权。自然人的身体完整和行动自由受法律保护。任何组织或者个人不得侵害他人的身体权。
第一千零四条 自然人享有健康权。自然人的身心健康受法律保护。任何组织或者个人不得侵害他人的健康权。
第一千零五条 自然人的生命权、身体权、健康权受到侵害或者处于其他危难情形的，负有法定救助义务的组织或者个人应当及时施救。
第一千零六条 完全民事行为能力人有权依法自主决定无偿捐献其人体细胞、人体组织、人体器官、遗体。任何组织或者个人不得强迫、欺骗、利诱其捐献。
完全民事行为能力人依据前款规定同意捐献的，应当采用书面形式，也可以订立遗嘱。
自然人生前未表示不同意捐献的，该自然人死亡后，其配偶、成年子女、父母可以共同决定捐献，决定捐献应当采用书面形式。
第一千零七条 禁止以任何形式买卖人体细胞、人体组织、人体器官、遗体。
违反前款规定的买卖行为无效。
第一千零八条 为研制新药、医疗器械或者发展新的预防和治疗方法，需要进行临床试验的，应当依法经相关主管部门批准并经伦理委员会审查同意，向受试者或者受试者的监护人告知试验目的、用途和可能产生的风险等详细情况，并经其书面同意。
进行临床试验的，不得向受试者收取试验费用。
第一千零九条 从事与人体基因、人体胚胎等有关的医学和科研活动，应当遵守法律、行政法规和国家有关规定，不得危害人体健康，不得违背伦理道德，不得损害公共利益。
第一千零一十条 违背他人意愿，以言语、文字、图像、肢体行为等方式对他人实施性骚扰的，受害人有权依法请求行为人承担民事责任。
机关、企业、学校等单位应当采取合理的预防、受理投诉、调查处置等措施，防止和制止利用职权、从属关系等实施性骚扰。
第一千零一十一条 以非法拘禁等方式剥夺、限制他人的行动自由，或者非法搜查他人身体的，受害人有权依法请求行为人承担民事责任。
第三章 姓名权和名称权
第一千零一十二条 自然人享有姓名权，有权依法决定、使用、变更或者许可他人使用自己的姓名，但是不得违背公序良俗。
第一千零一十三条 法人、非法人组织享有名称权，有权依法决定、使用、变更、转让或者许可他人使用自己的名称。
第一千零一十四条 任何组织或者个人不得以干涉、盗用、假冒等方式侵害他人的姓名权或者名称权。
第一千零一十五条 自然人应当随父姓或者母姓，但是有下列情形之一的，可以在父姓和母姓之外选取姓氏：
（一）选取其他直系长辈血亲的姓氏；
（二）因由法定扶养人以外的人扶养而选取扶养人姓氏；
（三）有不违背公序良俗的其他正当理由。
少数民族自然人的姓氏可以遵从本民族的文化传统和风俗习惯。
第一千零一十六条 自然人决定、变更姓名，或者法人、非法人组织决定、变更、转让名称的，应当依法向有关机关办理登记手续，但是法律另有规定的除外。
民事主体变更姓名、名称的，变更前实施的民事法律行为对其具有法律约束力。
第一千零一十七条 具有一定社会知名度，被他人使用足以造成公众混淆的笔名、艺名、网名、译名、字号、姓名和名称的简称等，参照适用姓名权和名称权保护的有关规定。
第四章 肖像权
第一千零一十八条 自然人享有肖像权，有权依法制作、使用、公开或者许可他人使用自己的肖像。
肖像是通过影像、雕塑、绘画等方式在一定载体上所反映的特定自然人可以被识别的外部形象。
第一千零一十九条 任何组织或者个人不得以丑化、污损，或者利用信息技术手段伪造等方式侵害他人的肖像权。未经肖像权人同意，不得制作、使用、公开肖像权人的肖像，但是法律另有规定的除外。
未经肖像权人同意，肖像作品权利人不得以发表、复制、发行、出租、展览等方式使用或者公开肖像权人的肖像。
第一千零二十条 合理实施下列行为的，可以不经肖像权人同意：
（一）为个人学习、艺术欣赏、课堂教学或者科学研究，在必要范围内使用肖像权人已经公开的肖像；
（二）为实施新闻报道，不可避免地制作、使用、公开肖像权人的肖像；
（三）为依法履行职责，国家机关在必要范围内制作、使用、公开肖像权人的肖像；
（四）为展示特定公共环境，不可避免地制作、使用、公开肖像权人的肖像；
（五）为维护公共利益或者肖像权人合法权益，制作、使用、公开肖像权人的肖像的其他行为。
第一千零二十一条 当事人对肖像许可使用合同中关于肖像使用条款的理解有争议的，应当作出有利于肖像权人的解释。
第一千零二十二条 当事人对肖像许可使用期限没有约定或者约定不明确的，任何一方当事人可以随时解除肖像许可使用合同，但是应当在合理期限之前通知对方。
当事人对肖像许可使用期限有明确约定，肖像权人有正当理由的，可以解除肖像许可使用合同，但是应当在合理期限之前通知对方。因解除合同造成对方损失的，除不可归责于肖像权人的事由外，应当赔偿损失。
第一千零二十三条 对姓名等的许可使用，参照适用肖像许可使用的有关规定。
对自然人声音的保护，参照适用肖像权保护的有关规定。
第五章 名誉权和荣誉权
第一千零二十四条 民事主体享有名誉权。任何组织或者个人不得以侮辱、诽谤等方式侵害他人的名誉权。
名誉是对民事主体的品德、声望、才能、信用等的社会评价。
第一千零二十五条 行为人为公共利益实施新闻报道、舆论监督等行为，影响他人名誉的，不承担民事责任，但是有下列情形之一的除外：
（一）捏造、歪曲事实；
（二）对他人提供的严重失实内容未尽到合理核实义务；
（三）使用侮辱性言辞等贬损他人名誉。
第一千零二十六条 认定行为人是否尽到前条第二项规定的合理核实义务，应当考虑下列因素：
（一）内容来源的可信度；
（二）对明显可能引发争议的内容是否进行了必要的调查；
（三）内容的时限性；
（四）内容与公序良俗的关联性；
（五）受害人名誉受贬损的可能性；
（六）核实能力和核实成本。
第一千零二十七条 行为人发表的文学、艺术作品以真人真事或者特定人为描述对象，含有侮辱、诽谤内容，侵害他人名誉权的，受害人有权依法请求该行为人承担民事责任。
行为人发表的文学、艺术作品不以特定人为描述对象，仅其中的情节与该特定人的情况相似的，不承担民事责任。
第一千零二十八条 民事主体有证据证明报刊、网络等媒体报道的内容失实，侵害其名誉权的，有权请求该媒体及时采取更正或者删除等必要措施。
第一千零二十九条 民事主体可以依法查询自己的信用评价；发现信用评价不当的，有权提出异议并请求采取更正、删除等必要措施。信用评价人应当及时核查，经核查属实的，应当及时采取必要措施。
第一千零三十条 民事主体与征信机构等信用信息处理者之间的关系，适用本编有关个人信息保护的规定和其他法律、行政法规的有关规定。
第一千零三十一条 民事主体享有荣誉权。任何组织或者个人不得非法剥夺他人的荣誉称号，不得诋毁、贬损他人的荣誉。
获得的荣誉称号应当记载而没有记载的，民事主体可以请求记载；获得的荣誉称号记载错误的，民事主体可以请求更正。
第六章 隐私权和个人信息保护
第一千零三十二条 自然人享有隐私权。任何组织或者个人不得以刺探、侵扰、泄露、公开等方式侵害他人的隐私权。
隐私是自然人的私人生活安宁和不愿为他人知晓的私密空间、私密活动、私密信息。
第一千零三十三条 除法律另有规定或者权利人明确同意外，任何组织或者个人不得实施下列行为：
（一）以电话、短信、即时通讯工具、电子邮件、传单等方式侵扰他人的私人生活安宁；
（二）进入、拍摄、窥视他人的住宅、宾馆房间等私密空间；
（三）拍摄、窥视、窃听、公开他人的私密活动；
（四）拍摄、窥视他人身体的私密部位；
（五）处理他人的私密信息；
（六）以其他方式侵害他人的隐私权。
第一千零三十四条 自然人的个人信息受法律保护。
个人信息是以电子或者其他方式记录的能够单独或者与其他信息结合识别特定自然人的各种信息，包括自然人的姓名、出生日期、身份证件号码、生物识别信息、住址、电话号码、电子邮箱、健康信息、行踪信息等。
个人信息中的私密信息，适用有关隐私权的规定；没有规定的，适用有关个人信息保护的规定。
第一千零三十五条 处理个人信息的，应当遵循合法、正当、必要原则，不得过度处理，并符合下列条件：
（一）征得该自然人或者其监护人同意，但是法律、行政法规另有规定的除外；
（二）公开处理信息的规则；
（三）明示处理信息的目的、方式和范围；
（四）不违反法律、行政法规的规定和双方的约定。
个人信息的处理包括个人信息的收集、存储、使用、加工、传输、提供、公开等。
第一千零三十六条 处理个人信息，有下列情形之一的，行为人不承担民事责任：
（一）在该自然人或者其监护人同意的范围内合理实施的行为；
（二）合理处理该自然人自行公开的或者其他已经合法公开的信息，但是该自然人明确拒绝或者处理该信息侵害其重大利益的除外；
（三）为维护公共利益或者该自然人合法权益，合理实施的其他行为。
第一千零三十七条 自然人可以依法向信息处理者查阅或者复制其个人信息；发现信息有错误的，有权提出异议并请求及时采取更正等必要措施。
自然人发现信息处理者违反法律、行政法规的规定或者双方的约定处理其个人信息的，有权请求信息处理者及时删除。
第一千零三十八条 信息处理者不得泄露或者篡改其收集、存储的个人信息；未经自然人同意，不得向他人非法提供其个人信息，但是经过加工无法识别特定个人且不能复原的除外。
信息处理者应当采取技术措施和其他必要措施，确保其收集、存储的个人信息安全，防止信息泄露、篡改、丢失；发生或者可能发生个人信息泄露、篡改、丢失的，应当及时采取补救措施，按照规定告知自然人并向有关主管部门报告。
第一千零三十九条 国家机关、承担行政职能的法定机构及其工作人员对于履行职责过程中知悉的自然人的隐私和个人信息，应当予以保密，不得泄露或者向他人非法提供。
第五编 婚姻家庭
第一章 一般规定
第一千零四十条 本编调整因婚姻家庭产生的民事关系。
第一千零四十一条 婚姻家庭受国家保护。
实行婚姻自由、一夫一妻、男女平等的婚姻制度。
保护妇女、未成年人、老年人、残疾人的合法权益。
第一千零四十二条 禁止包办、买卖婚姻和其他干涉婚姻自由的行为。禁止借婚姻索取财物。
禁止重婚。禁止有配偶者与他人同居。
禁止家庭暴力。禁止家庭成员间的虐待和遗弃。
第一千零四十三条 家庭应当树立优良家风，弘扬家庭美德，重视家庭文明建设。
夫妻应当互相忠实，互相尊重，互相关爱；家庭成员应当敬老爱幼，互相帮助，维护平等、和睦、文明的婚姻家庭关系。
第一千零四十四条 收养应当遵循最有利于被收养人的原则，保障被收养人和收养人的合法权益。
禁止借收养名义买卖未成年人。
第一千零四十五条 亲属包括配偶、血亲和姻亲。
配偶、父母、子女、兄弟姐妹、祖父母、外祖父母、孙子女、外孙子女为近亲属。
配偶、父母、子女和其他共同生活的近亲属为家庭成员。
第二章 结 婚
第一千零四十六条 结婚应当男女双方完全自愿，禁止任何一方对另一方加以强迫，禁止任何组织或者个人加以干涉。
第一千零四十七条 结婚年龄，男不得早于二十二周岁，女不得早于二十周岁。
第一千零四十八条 直系血亲或者三代以内的旁系血亲禁止结婚。
第一千零四十九条 要求结婚的男女双方应当亲自到婚姻登记机关申请结婚登记。符合本法规定的，予以登记，发给结婚证。完成结婚登记，即确立婚姻关系。未办理结婚登记的，应当补办登记。
第一千零五十条 登记结婚后，按照男女双方约定，女方可以成为男方家庭的成员，男方可以成为女方家庭的成员。
第一千零五十一条 有下列情形之一的，婚姻无效：
（一）重婚；
（二）有禁止结婚的亲属关系；
（三）未到法定婚龄。
第一千零五十二条 因胁迫结婚的，受胁迫的一方可以向人民法院请求撤销婚姻。
请求撤销婚姻的，应当自胁迫行为终止之日起一年内提出。
被非法限制人身自由的当事人请求撤销婚姻的，应当自恢复人身自由之日起一年内提出。
第一千零五十三条 一方患有重大疾病的，应当在结婚登记前如实告知另一方；不如实告知的，另一方可以向人民法院请求撤销婚姻。
请求撤销婚姻的，应当自知道或者应当知道撤销事由之日起一年内提出。
第一千零五十四条 无效的或者被撤销的婚姻自始没有法律约束力，当事人不具有夫妻的权利和义务。同居期间所得的财产，由当事人协议处理；协议不成的，由人民法院根据照顾无过错方的原则判决。对重婚导致的无效婚姻的财产处理，不得侵害合法婚姻当事人的财产权益。当事人所生的子女，适用本法关于父母子女的规定。
婚姻无效或者被撤销的，无过错方有权请求损害赔偿。
第三章 家庭关系
第一节 夫妻关系
第一千零五十五条 夫妻在婚姻家庭中地位平等。
第一千零五十六条 夫妻双方都有各自使用自己姓名的权利。
第一千零五十七条 夫妻双方都有参加生产、工作、学习和社会活动的自由，一方不得对另一方加以限制或者干涉。
第一千零五十八条 夫妻双方平等享有对未成年子女抚养、教育和保护的权利，共同承担对未成年子女抚养、教育和保护的义务。
第一千零五十九条 夫妻有相互扶养的义务。
需要扶养的一方，在另一方不履行扶养义务时，有要求其给付扶养费的权利。
第一千零六十条 夫妻一方因家庭日常生活需要而实施的民事法律行为，对夫妻双方发生效力，但是夫妻一方与相对人另有约定的除外。
夫妻之间对一方可以实施的民事法律行为范围的限制，不得对抗善意相对人。
第一千零六十一条 夫妻有相互继承遗产的权利。
第一千零六十二条 夫妻在婚姻关系存续期间所得的下列财产，为夫妻的共同财产，归夫妻共同所有：
（一）工资、奖金、劳务报酬；
（二）生产、经营、投资的收益；
（三）知识产权的收益；
（四）继承或者受赠的财产，但是本法第一千零六十三条第三项规定的除外；
（五）其他应当归共同所有的财产。
夫妻对共同财产，有平等的处理权。
第一千零六十三条 下列财产为夫妻一方的个人财产：
（一）一方的婚前财产；
（二）一方因受到人身损害获得的赔偿或者补偿；
（三）遗嘱或者赠与合同中确定只归一方的财产；
（四）一方专用的生活用品；
（五）其他应当归一方的财产。
第一千零六十四条 夫妻双方共同签名或者夫妻一方事后追认等共同意思表示所负的债务，以及夫妻一方在婚姻关系存续期间以个人名义为家庭日常生活需要所负的债务，属于夫妻共同债务。
夫妻一方在婚姻关系存续期间以个人名义超出家庭日常生活需要所负的债务，不属于夫妻共同债务；但是，债权人能够证明该债务用于夫妻共同生活、共同生产经营或者基于夫妻双方共同意思表示的除外。
第一千零六十五条 男女双方可以约定婚姻关系存续期间所得的财产以及婚前财产归各自所有、共同所有或者部分各自所有、部分共同所有。约定应当采用书面形式。没有约定或者约定不明确的，适用本法第一千零六十二条、第一千零六十三条的规定。
夫妻对婚姻关系存续期间所得的财产以及婚前财产的约定，对双方具有法律约束力。
夫妻对婚姻关系存续期间所得的财产约定归各自所有，夫或者妻一方对外所负的债务，相对人知道该约定的，以夫或者妻一方的个人财产清偿。
第一千零六十六条 婚姻关系存续期间，有下列情形之一的，夫妻一方可以向人民法院请求分割共同财产：
（一）一方有隐藏、转移、变卖、毁损、挥霍夫妻共同财产或者伪造夫妻共同债务等严重损害夫妻共同财产利益的行为；
（二）一方负有法定扶养义务的人患重大疾病需要医治，另一方不同意支付相关医疗费用。
第二节 父母子女关系和其他近亲属关系
第一千零六十七条 父母不履行抚养义务的，未成年子女或者不能独立生活的成年子女，有要求父母给付抚养费的权利。
成年子女不履行赡养义务的，缺乏劳动能力或者生活困难的父母，有要求成年子女给付赡养费的权利。
第一千零六十八条 父母有教育、保护未成年子女的权利和义务。未成年子女造成他人损害的，父母应当依法承担民事责任。
第一千零六十九条 子女应当尊重父母的婚姻权利，不得干涉父母离婚、再婚以及婚后的生活。子女对父母的赡养义务，不因父母的婚姻关系变化而终止。
第一千零七十条 父母和子女有相互继承遗产的权利。
第一千零七十一条 非婚生子女享有与婚生子女同等的权利，任何组织或者个人不得加以危害和歧视。
不直接抚养非婚生子女的生父或者生母，应当负担未成年子女或者不能独立生活的成年子女的抚养费。
第一千零七十二条 继父母与继子女间，不得虐待或者歧视。
继父或者继母和受其抚养教育的继子女间的权利义务关系，适用本法关于父母子女关系的规定。
第一千零七十三条 对亲子关系有异议且有正当理由的，父或者母可以向人民法院提起诉讼，请求确认或者否认亲子关系。
对亲子关系有异议且有正当理由的，成年子女可以向人民法院提起诉讼，请求确认亲子关系。
第一千零七十四条 有负担能力的祖父母、外祖父母，对于父母已经死亡或者父母无力抚养的未成年孙子女、外孙子女，有抚养的义务。
有负担能力的孙子女、外孙子女，对于子女已经死亡或者子女无力赡养的祖父母、外祖父母，有赡养的义务。
第一千零七十五条 有负担能力的兄、姐，对于父母已经死亡或者父母无力抚养的未成年弟、妹，有扶养的义务。
由兄、姐扶养长大的有负担能力的弟、妹，对于缺乏劳动能力又缺乏生活来源的兄、姐，有扶养的义务。
第四章 离 婚
第一千零七十六条 夫妻双方自愿离婚的，应当签订书面离婚协议，并亲自到婚姻登记机关申请离婚登记。
离婚协议应当载明双方自愿离婚的意思表示和对子女抚养、财产以及债务处理等事项协商一致的意见。
第一千零七十七条 自婚姻登记机关收到离婚登记申请之日起三十日内，任何一方不愿意离婚的，可以向婚姻登记机关撤回离婚登记申请。
前款规定期限届满后三十日内，双方应当亲自到婚姻登记机关申请发给离婚证；未申请的，视为撤回离婚登记申请。
第一千零七十八条 婚姻登记机关查明双方确实是自愿离婚，并已经对子女抚养、财产以及债务处理等事项协商一致的，予以登记，发给离婚证。
第一千零七十九条 夫妻一方要求离婚的，可以由有关组织进行调解或者直接向人民法院提起离婚诉讼。
人民法院审理离婚案件，应当进行调解；如果感情确已破裂，调解无效的，应当准予离婚。
有下列情形之一，调解无效的，应当准予离婚：
（一）重婚或者与他人同居；
（二）实施家庭暴力或者虐待、遗弃家庭成员；
（三）有赌博、吸毒等恶习屡教不改；
（四）因感情不和分居满二年；
（五）其他导致夫妻感情破裂的情形。
一方被宣告失踪，另一方提起离婚诉讼的，应当准予离婚。
经人民法院判决不准离婚后，双方又分居满一年，一方再次提起离婚诉讼的，应当准予离婚。
第一千零八十条 完成离婚登记，或者离婚判决书、调解书生效，即解除婚姻关系。
第一千零八十一条 现役军人的配偶要求离婚，应当征得军人同意，但是军人一方有重大过错的除外。
第一千零八十二条 女方在怀孕期间、分娩后一年内或者终止妊娠后六个月内，男方不得提出离婚；但是，女方提出离婚或者人民法院认为确有必要受理男方离婚请求的除外。
第一千零八十三条 离婚后，男女双方自愿恢复婚姻关系的，应当到婚姻登记机关重新进行结婚登记。
第一千零八十四条 父母与子女间的关系，不因父母离婚而消除。离婚后，子女无论由父或者母直接抚养，仍是父母双方的子女。
离婚后，父母对于子女仍有抚养、教育、保护的权利和义务。
离婚后，不满两周岁的子女，以由母亲直接抚养为原则。已满两周岁的子女，父母双方对抚养问题协议不成的，由人民法院根据双方的具体情况，按照最有利于未成年子女的原则判决。子女已满八周岁的，应当尊重其真实意愿。
第一千零八十五条 离婚后，子女由一方直接抚养的，另一方应当负担部分或者全部抚养费。负担费用的多少和期限的长短，由双方协议；协议不成的，由人民法院判决。
前款规定的协议或者判决，不妨碍子女在必要时向父母任何一方提出超过协议或者判决原定数额的合理要求。
第一千零八十六条 离婚后，不直接抚养子女的父或者母，有探望子女的权利，另一方有协助的义务。
行使探望权利的方式、时间由当事人协议；协议不成的，由人民法院判决。
父或者母探望子女，不利于子女身心健康的，由人民法院依法中止探望；中止的事由消失后，应当恢复探望。
第一千零八十七条 离婚时，夫妻的共同财产由双方协议处理；协议不成的，由人民法院根据财产的具体情况，按照照顾子女、女方和无过错方权益的原则判决。
对夫或者妻在家庭土地承包经营中享有的权益等，应当依法予以保护。
第一千零八十八条 夫妻一方因抚育子女、照料老年人、协助另一方工作等负担较多义务的，离婚时有权向另一方请求补偿，另一方应当给予补偿。具体办法由双方协议；协议不成的，由人民法院判决。
第一千零八十九条 离婚时，夫妻共同债务应当共同偿还。共同财产不足清偿或者财产归各自所有的，由双方协议清偿；协议不成的，由人民法院判决。
第一千零九十条 离婚时，如果一方生活困难，有负担能力的另一方应当给予适当帮助。具体办法由双方协议；协议不成的，由人民法院判决。
第一千零九十一条 有下列情形之一，导致离婚的，无过错方有权请求损害赔偿：
（一）重婚；
（二）与他人同居；
（三）实施家庭暴力；
（四）虐待、遗弃家庭成员；
（五）有其他重大过错。
第一千零九十二条 夫妻一方隐藏、转移、变卖、毁损、挥霍夫妻共同财产，或者伪造夫妻共同债务企图侵占另一方财产的，在离婚分割夫妻共同财产时，对该方可以少分或者不分。离婚后，另一方发现有上述行为的，可以向人民法院提起诉讼，请求再次分割夫妻共同财产。
第五章 收 养
第一节 收养关系的成立
第一千零九十三条 下列未成年人，可以被收养：
（一）丧失父母的孤儿；
（二）查找不到生父母的未成年人；
（三）生父母有特殊困难无力抚养的子女。
第一千零九十四条 下列个人、组织可以作送养人：
（一）孤儿的监护人；
（二）儿童福利机构；
（三）有特殊困难无力抚养子女的生父母。
第一千零九十五条 未成年人的父母均不具备完全民事行为能力且可能严重危害该未成年人的，该未成年人的监护人可以将其送养。
第一千零九十六条 监护人送养孤儿的，应当征得有抚养义务的人同意。有抚养义务的人不同意送养、监护人不愿意继续履行监护职责的，应当依照本法第一编的规定另行确定监护人。
第一千零九十七条 生父母送养子女，应当双方共同送养。生父母一方不明或者查找不到的，可以单方送养。
第一千零九十八条 收养人应当同时具备下列条件：
（一）无子女或者只有一名子女；
（二）有抚养、教育和保护被收养人的能力；
（三）未患有在医学上认为不应当收养子女的疾病；
（四）无不利于被收养人健康成长的违法犯罪记录；
（五）年满三十周岁。
第一千零九十九条 收养三代以内旁系同辈血亲的子女，可以不受本法第一千零九十三条第三项、第一千零九十四条第三项和第一千一百零二条规定的限制。
华侨收养三代以内旁系同辈血亲的子女，还可以不受本法第一千零九十八条第一项规定的限制。
第一千一百条 无子女的收养人可以收养两名子女；有子女的收养人只能收养一名子女。
收养孤儿、残疾未成年人或者儿童福利机构抚养的查找不到生父母的未成年人，可以不受前款和本法第一千零九十八条第一项规定的限制。
第一千一百零一条 有配偶者收养子女，应当夫妻共同收养。
第一千一百零二条 无配偶者收养异性子女的，收养人与被收养人的年龄应当相差四十周岁以上。
第一千一百零三条 继父或者继母经继子女的生父母同意，可以收养继子女，并可以不受本法第一千零九十三条第三项、第一千零九十四条第三项、第一千零九十八条和第一千一百条第一款规定的限制。
第一千一百零四条 收养人收养与送养人送养，应当双方自愿。收养八周岁以上未成年人的，应当征得被收养人的同意。
第一千一百零五条 收养应当向县级以上人民政府民政部门登记。收养关系自登记之日起成立。
收养查找不到生父母的未成年人的，办理登记的民政部门应当在登记前予以公告。
收养关系当事人愿意签订收养协议的，可以签订收养协议。
收养关系当事人各方或者一方要求办理收养公证的，应当办理收养公证。
县级以上人民政府民政部门应当依法进行收养评估。
第一千一百零六条 收养关系成立后，公安机关应当按照国家有关规定为被收养人办理户口登记。
第一千一百零七条 孤儿或者生父母无力抚养的子女，可以由生父母的亲属、朋友抚养；抚养人与被抚养人的关系不适用本章规定。
第一千一百零八条 配偶一方死亡，另一方送养未成年子女的，死亡一方的父母有优先抚养的权利。
第一千一百零九条 外国人依法可以在中华人民共和国收养子女。
外国人在中华人民共和国收养子女，应当经其所在国主管机关依照该国法律审查同意。收养人应当提供由其所在国有权机构出具的有关其年龄、婚姻、职业、财产、健康、有无受过刑事处罚等状况的证明材料，并与送养人签订书面协议，亲自向省、自治区、直辖市人民政府民政部门登记。
前款规定的证明材料应当经收养人所在国外交机关或者外交机关授权的机构认证，并经中华人民共和国驻该国使领馆认证，但是国家另有规定的除外。
第一千一百一十条 收养人、送养人要求保守收养秘密的，其他人应当尊重其意愿，不得泄露。
第二节 收养的效力
第一千一百一十一条 自收养关系成立之日起，养父母与养子女间的权利义务关系，适用本法关于父母子女关系的规定；养子女与养父母的近亲属间的权利义务关系，适用本法关于子女与父母的近亲属关系的规定。
养子女与生父母以及其他近亲属间的权利义务关系，因收养关系的成立而消除。
第一千一百一十二条 养子女可以随养父或者养母的姓氏，经当事人协商一致，也可以保留原姓氏。
第一千一百一十三条 有本法第一编关于民事法律行为无效规定情形或者违反本编规定的收养行为无效。
无效的收养行为自始没有法律约束力。
第三节 收养关系的解除
第一千一百一十四条 收养人在被收养人成年以前，不得解除收养关系，但是收养人、送养人双方协议解除的除外。养子女八周岁以上的，应当征得本人同意。
收养人不履行抚养义务，有虐待、遗弃等侵害未成年养子女合法权益行为的，送养人有权要求解除养父母与养子女间的收养关系。送养人、收养人不能达成解除收养关系协议的，可以向人民法院提起诉讼。
第一千一百一十五条 养父母与成年养子女关系恶化、无法共同生活的，可以协议解除收养关系。不能达成协议的，可以向人民法院提起诉讼。
第一千一百一十六条 当事人协议解除收养关系的，应当到民政部门办理解除收养关系登记。
第一千一百一十七条 收养关系解除后，养子女与养父母以及其他近亲属间的权利义务关系即行消除，与生父母以及其他近亲属间的权利义务关系自行恢复。但是，成年养子女与生父母以及其他近亲属间的权利义务关系是否恢复，可以协商确定。
第一千一百一十八条 收养关系解除后，经养父母抚养的成年养子女，对缺乏劳动能力又缺乏生活来源的养父母，应当给付生活费。因养子女成年后虐待、遗弃养父母而解除收养关系的，养父母可以要求养子女补偿收养期间支出的抚养费。
生父母要求解除收养关系的，养父母可以要求生父母适当补偿收养期间支出的抚养费；但是，因养父母虐待、遗弃养子女而解除收养关系的除外。
第六编 继 承
第一章 一般规定
第一千一百一十九条 本编调整因继承产生的民事关系。
第一千一百二十条 国家保护自然人的继承权。
第一千一百二十一条 继承从被继承人死亡时开始。
相互有继承关系的数人在同一事件中死亡，难以确定死亡时间的，推定没有其他继承人的人先死亡。都有其他继承人，辈份不同的，推定长辈先死亡；辈份相同的，推定同时死亡，相互不发生继承。
第一千一百二十二条 遗产是自然人死亡时遗留的个人合法财产。
依照法律规定或者根据其性质不得继承的遗产，不得继承。
第一千一百二十三条 继承开始后，按照法定继承办理；有遗嘱的，按照遗嘱继承或者遗赠办理；有遗赠扶养协议的，按照协议办理。
第一千一百二十四条 继承开始后，继承人放弃继承的，应当在遗产处理前，以书面形式作出放弃继承的表示；没有表示的，视为接受继承。
受遗赠人应当在知道受遗赠后六十日内，作出接受或者放弃受遗赠的表示；到期没有表示的，视为放弃受遗赠。
第一千一百二十五条 继承人有下列行为之一的，丧失继承权：
（一）故意杀害被继承人；
（二）为争夺遗产而杀害其他继承人；
（三）遗弃被继承人，或者虐待被继承人情节严重；
（四）伪造、篡改、隐匿或者销毁遗嘱，情节严重；
（五）以欺诈、胁迫手段迫使或者妨碍被继承人设立、变更或者撤回遗嘱，情节严重。
继承人有前款第三项至第五项行为，确有悔改表现，被继承人表示宽恕或者事后在遗嘱中将其列为继承人的，该继承人不丧失继承权。
受遗赠人有本条第一款规定行为的，丧失受遗赠权。
第二章 法定继承
第一千一百二十六条 继承权男女平等。
第一千一百二十七条 遗产按照下列顺序继承：
（一）第一顺序：配偶、子女、父母；
（二）第二顺序：兄弟姐妹、祖父母、外祖父母。
继承开始后，由第一顺序继承人继承，第二顺序继承人不继承；没有第一顺序继承人继承的，由第二顺序继承人继承。
本编所称子女，包括婚生子女、非婚生子女、养子女和有扶养关系的继子女。
本编所称父母，包括生父母、养父母和有扶养关系的继父母。
本编所称兄弟姐妹，包括同父母的兄弟姐妹、同父异母或者同母异父的兄弟姐妹、养兄弟姐妹、有扶养关系的继兄弟姐妹。
第一千一百二十八条 被继承人的子女先于被继承人死亡的，由被继承人的子女的直系晚辈血亲代位继承。
被继承人的兄弟姐妹先于被继承人死亡的，由被继承人的兄弟姐妹的子女代位继承。
代位继承人一般只能继承被代位继承人有权继承的遗产份额。
第一千一百二十九条 丧偶儿媳对公婆，丧偶女婿对岳父母，尽了主要赡养义务的，作为第一顺序继承人。
第一千一百三十条 同一顺序继承人继承遗产的份额，一般应当均等。
对生活有特殊困难又缺乏劳动能力的继承人，分配遗产时，应当予以照顾。
对被继承人尽了主要扶养义务或者与被继承人共同生活的继承人，分配遗产时，可以多分。
有扶养能力和有扶养条件的继承人，不尽扶养义务的，分配遗产时，应当不分或者少分。
继承人协商同意的，也可以不均等。
第一千一百三十一条 对继承人以外的依靠被继承人扶养的人，或者继承人以外的对被继承人扶养较多的人，可以分给适当的遗产。
第一千一百三十二条 继承人应当本着互谅互让、和睦团结的精神，协商处理继承问题。遗产分割的时间、办法和份额，由继承人协商确定；协商不成的，可以由人民调解委员会调解或者向人民法院提起诉讼。
第三章 遗嘱继承和遗赠
第一千一百三十三条 自然人可以依照本法规定立遗嘱处分个人财产，并可以指定遗嘱执行人。
自然人可以立遗嘱将个人财产指定由法定继承人中的一人或者数人继承。
自然人可以立遗嘱将个人财产赠与国家、集体或者法定继承人以外的组织、个人。
自然人可以依法设立遗嘱信托。
第一千一百三十四条 自书遗嘱由遗嘱人亲笔书写，签名，注明年、月、日。
第一千一百三十五条 代书遗嘱应当有两个以上见证人在场见证，由其中一人代书，并由遗嘱人、代书人和其他见证人签名，注明年、月、日。
第一千一百三十六条 打印遗嘱应当有两个以上见证人在场见证。遗嘱人和见证人应当在遗嘱每一页签名，注明年、月、日。
第一千一百三十七条 以录音录像形式立的遗嘱，应当有两个以上见证人在场见证。遗嘱人和见证人应当在录音录像中记录其姓名或者肖像，以及年、月、日。
第一千一百三十八条 遗嘱人在危急情况下，可以立口头遗嘱。口头遗嘱应当有两个以上见证人在场见证。危急情况消除后，遗嘱人能够以书面或者录音录像形式立遗嘱的，所立的口头遗嘱无效。
第一千一百三十九条 公证遗嘱由遗嘱人经公证机构办理。
第一千一百四十条 下列人员不能作为遗嘱见证人：
（一）无民事行为能力人、限制民事行为能力人以及其他不具有见证能力的人；
（二）继承人、受遗赠人；
（三）与继承人、受遗赠人有利害关系的人。
第一千一百四十一条 遗嘱应当为缺乏劳动能力又没有生活来源的继承人保留必要的遗产份额。
第一千一百四十二条 遗嘱人可以撤回、变更自己所立的遗嘱。
立遗嘱后，遗嘱人实施与遗嘱内容相反的民事法律行为的，视为对遗嘱相关内容的撤回。
立有数份遗嘱，内容相抵触的，以最后的遗嘱为准。
第一千一百四十三条 无民事行为能力人或者限制民事行为能力人所立的遗嘱无效。
遗嘱必须表示遗嘱人的真实意思，受欺诈、胁迫所立的遗嘱无效。
伪造的遗嘱无效。
遗嘱被篡改的，篡改的内容无效。
第一千一百四十四条 遗嘱继承或者遗赠附有义务的，继承人或者受遗赠人应当履行义务。没有正当理由不履行义务的，经利害关系人或者有关组织请求，人民法院可以取消其接受附义务部分遗产的权利。
第四章 遗产的处理
第一千一百四十五条 继承开始后，遗嘱执行人为遗产管理人；没有遗嘱执行人的，继承人应当及时推选遗产管理人；继承人未推选的，由继承人共同担任遗产管理人；没有继承人或者继承人均放弃继承的，由被继承人生前住所地的民政部门或者村民委员会担任遗产管理人。
第一千一百四十六条 对遗产管理人的确定有争议的，利害关系人可以向人民法院申请指定遗产管理人。
第一千一百四十七条 遗产管理人应当履行下列职责：
（一）清理遗产并制作遗产清单；
（二）向继承人报告遗产情况；
（三）采取必要措施防止遗产毁损、灭失；
（四）处理被继承人的债权债务；
（五）按照遗嘱或者依照法律规定分割遗产；
（六）实施与管理遗产有关的其他必要行为。
第一千一百四十八条 遗产管理人应当依法履行职责，因故意或者重大过失造成继承人、受遗赠人、债权人损害的，应当承担民事责任。
第一千一百四十九条 遗产管理人可以依照法律规定或者按照约定获得报酬。
第一千一百五十条 继承开始后，知道被继承人死亡的继承人应当及时通知其他继承人和遗嘱执行人。继承人中无人知道被继承人死亡或者知道被继承人死亡而不能通知的，由被继承人生前所在单位或者住所地的居民委员会、村民委员会负责通知。
第一千一百五十一条 存有遗产的人，应当妥善保管遗产，任何组织或者个人不得侵吞或者争抢。
第一千一百五十二条 继承开始后，继承人于遗产分割前死亡，并没有放弃继承的，该继承人应当继承的遗产转给其继承人，但是遗嘱另有安排的除外。
第一千一百五十三条 夫妻共同所有的财产，除有约定的外，遗产分割时，应当先将共同所有的财产的一半分出为配偶所有，其余的为被继承人的遗产。
遗产在家庭共有财产之中的，遗产分割时，应当先分出他人的财产。
第一千一百五十四条 有下列情形之一的，遗产中的有关部分按照法定继承办理：
（一）遗嘱继承人放弃继承或者受遗赠人放弃受遗赠；
（二）遗嘱继承人丧失继承权或者受遗赠人丧失受遗赠权；
（三）遗嘱继承人、受遗赠人先于遗嘱人死亡或者终止；
（四）遗嘱无效部分所涉及的遗产；
（五）遗嘱未处分的遗产。
第一千一百五十五条 遗产分割时，应当保留胎儿的继承份额。胎儿娩出时是死体的，保留的份额按照法定继承办理。
第一千一百五十六条 遗产分割应当有利于生产和生活需要，不损害遗产的效用。
不宜分割的遗产，可以采取折价、适当补偿或者共有等方法处理。
第一千一百五十七条 夫妻一方死亡后另一方再婚的，有权处分所继承的财产，任何组织或者个人不得干涉。
第一千一百五十八条 自然人可以与继承人以外的组织或者个人签订遗赠扶养协议。按照协议，该组织或者个人承担该自然人生养死葬的义务，享有受遗赠的权利。
第一千一百五十九条 分割遗产，应当清偿被继承人依法应当缴纳的税款和债务；但是，应当为缺乏劳动能力又没有生活来源的继承人保留必要的遗产。
第一千一百六十条 无人继承又无人受遗赠的遗产，归国家所有，用于公益事业；死者生前是集体所有制组织成员的，归所在集体所有制组织所有。
第一千一百六十一条 继承人以所得遗产实际价值为限清偿被继承人依法应当缴纳的税款和债务。超过遗产实际价值部分，继承人自愿偿还的不在此限。
继承人放弃继承的，对被继承人依法应当缴纳的税款和债务可以不负清偿责任。
第一千一百六十二条 执行遗赠不得妨碍清偿遗赠人依法应当缴纳的税款和债务。
第一千一百六十三条 既有法定继承又有遗嘱继承、遗赠的，由法定继承人清偿被继承人依法应当缴纳的税款和债务；超过法定继承遗产实际价值部分，由遗嘱继承人和受遗赠人按比例以所得遗产清偿。
第七编 侵权责任
第一章 一般规定
第一千一百六十四条 本编调整因侵害民事权益产生的民事关系。
第一千一百六十五条 行为人因过错侵害他人民事权益造成损害的，应当承担侵权责任。
依照法律规定推定行为人有过错，其不能证明自己没有过错的，应当承担侵权责任。
第一千一百六十六条 行为人造成他人民事权益损害，不论行为人有无过错，法律规定应当承担侵权责任的，依照其规定。
第一千一百六十七条 侵权行为危及他人人身、财产安全的，被侵权人有权请求侵权人承担停止侵害、排除妨碍、消除危险等侵权责任。
第一千一百六十八条 二人以上共同实施侵权行为，造成他人损害的，应当承担连带责任。
第一千一百六十九条 教唆、帮助他人实施侵权行为的，应当与行为人承担连带责任。
教唆、帮助无民事行为能力人、限制民事行为能力人实施侵权行为的，应当承担侵权责任；该无民事行为能力人、限制民事行为能力人的监护人未尽到监护职责的，应当承担相应的责任。
第一千一百七十条 二人以上实施危及他人人身、财产安全的行为，其中一人或者数人的行为造成他人损害，能够确定具体侵权人的，由侵权人承担责任；不能确定具体侵权人的，行为人承担连带责任。
第一千一百七十一条 二人以上分别实施侵权行为造成同一损害，每个人的侵权行为都足以造成全部损害的，行为人承担连带责任。
第一千一百七十二条 二人以上分别实施侵权行为造成同一损害，能够确定责任大小的，各自承担相应的责任；难以确定责任大小的，平均承担责任。
第一千一百七十三条 被侵权人对同一损害的发生或者扩大有过错的，可以减轻侵权人的责任。
第一千一百七十四条 损害是因受害人故意造成的，行为人不承担责任。
第一千一百七十五条 损害是因第三人造成的，第三人应当承担侵权责任。
第一千一百七十六条 自愿参加具有一定风险的文体活动，因其他参加者的行为受到损害的，受害人不得请求其他参加者承担侵权责任；但是，其他参加者对损害的发生有故意或者重大过失的除外。
活动组织者的责任适用本法第一千一百九十八条至第一千二百零一条的规定。
第一千一百七十七条 合法权益受到侵害，情况紧迫且不能及时获得国家机关保护，不立即采取措施将使其合法权益受到难以弥补的损害的，受害人可以在保护自己合法权益的必要范围内采取扣留侵权人的财物等合理措施；但是，应当立即请求有关国家机关处理。
受害人采取的措施不当造成他人损害的，应当承担侵权责任。
第一千一百七十八条 本法和其他法律对不承担责任或者减轻责任的情形另有规定的，依照其规定。
第二章 损害赔偿
第一千一百七十九条 侵害他人造成人身损害的，应当赔偿医疗费、护理费、交通费、营养费、住院伙食补助费等为治疗和康复支出的合理费用，以及因误工减少的收入。造成残疾的，还应当赔偿辅助器具费和残疾赔偿金；造成死亡的，还应当赔偿丧葬费和死亡赔偿金。
第一千一百八十条 因同一侵权行为造成多人死亡的，可以以相同数额确定死亡赔偿金。
第一千一百八十一条 被侵权人死亡的，其近亲属有权请求侵权人承担侵权责任。被侵权人为组织，该组织分立、合并的，承继权利的组织有权请求侵权人承担侵权责任。
被侵权人死亡的，支付被侵权人医疗费、丧葬费等合理费用的人有权请求侵权人赔偿费用，但是侵权人已经支付该费用的除外。
第一千一百八十二条 侵害他人人身权益造成财产损失的，按照被侵权人因此受到的损失或者侵权人因此获得的利益赔偿；被侵权人因此受到的损失以及侵权人因此获得的利益难以确定，被侵权人和侵权人就赔偿数额协商不一致，向人民法院提起诉讼的，由人民法院根据实际情况确定赔偿数额。
第一千一百八十三条 侵害自然人人身权益造成严重精神损害的，被侵权人有权请求精神损害赔偿。
因故意或者重大过失侵害自然人具有人身意义的特定物造成严重精神损害的，被侵权人有权请求精神损害赔偿。
第一千一百八十四条 侵害他人财产的，财产损失按照损失发生时的市场价格或者其他合理方式计算。
第一千一百八十五条 故意侵害他人知识产权，情节严重的，被侵权人有权请求相应的惩罚性赔偿。
第一千一百八十六条 受害人和行为人对损害的发生都没有过错的，依照法律的规定由双方分担损失。
第一千一百八十七条 损害发生后，当事人可以协商赔偿费用的支付方式。协商不一致的，赔偿费用应当一次性支付；一次性支付确有困难的，可以分期支付，但是被侵权人有权请求提供相应的担保。
第三章 责任主体的特殊规定
第一千一百八十八条 无民事行为能力人、限制民事行为能力人造成他人损害的，由监护人承担侵权责任。监护人尽到监护职责的，可以减轻其侵权责任。
有财产的无民事行为能力人、限制民事行为能力人造成他人损害的，从本人财产中支付赔偿费用；不足部分，由监护人赔偿。
第一千一百八十九条 无民事行为能力人、限制民事行为能力人造成他人损害，监护人将监护职责委托给他人的，监护人应当承担侵权责任；受托人有过错的，承担相应的责任。
第一千一百九十条 完全民事行为能力人对自己的行为暂时没有意识或者失去控制造成他人损害有过错的，应当承担侵权责任；没有过错的，根据行为人的经济状况对受害人适当补偿。
完全民事行为能力人因醉酒、滥用麻醉药品或者精神药品对自己的行为暂时没有意识或者失去控制造成他人损害的，应当承担侵权责任。
第一千一百九十一条 用人单位的工作人员因执行工作任务造成他人损害的，由用人单位承担侵权责任。用人单位承担侵权责任后，可以向有故意或者重大过失的工作人员追偿。
劳务派遣期间，被派遣的工作人员因执行工作任务造成他人损害的，由接受劳务派遣的用工单位承担侵权责任；劳务派遣单位有过错的，承担相应的责任。
第一千一百九十二条 个人之间形成劳务关系，提供劳务一方因劳务造成他人损害的，由接受劳务一方承担侵权责任。接受劳务一方承担侵权责任后，可以向有故意或者重大过失的提供劳务一方追偿。提供劳务一方因劳务受到损害的，根据双方各自的过错承担相应的责任。
提供劳务期间，因第三人的行为造成提供劳务一方损害的，提供劳务一方有权请求第三人承担侵权责任，也有权请求接受劳务一方给予补偿。接受劳务一方补偿后，可以向第三人追偿。
第一千一百九十三条 承揽人在完成工作过程中造成第三人损害或者自己损害的，定作人不承担侵权责任。但是，定作人对定作、指示或者选任有过错的，应当承担相应的责任。
第一千一百九十四条 网络用户、网络服务提供者利用网络侵害他人民事权益的，应当承担侵权责任。法律另有规定的，依照其规定。
第一千一百九十五条 网络用户利用网络服务实施侵权行为的，权利人有权通知网络服务提供者采取删除、屏蔽、断开链接等必要措施。通知应当包括构成侵权的初步证据及权利人的真实身份信息。
网络服务提供者接到通知后，应当及时将该通知转送相关网络用户，并根据构成侵权的初步证据和服务类型采取必要措施；未及时采取必要措施的，对损害的扩大部分与该网络用户承担连带责任。
权利人因错误通知造成网络用户或者网络服务提供者损害的，应当承担侵权责任。法律另有规定的，依照其规定。
第一千一百九十六条 网络用户接到转送的通知后，可以向网络服务提供者提交不存在侵权行为的声明。声明应当包括不存在侵权行为的初步证据及网络用户的真实身份信息。
网络服务提供者接到声明后，应当将该声明转送发出通知的权利人，并告知其可以向有关部门投诉或者向人民法院提起诉讼。网络服务提供者在转送声明到达权利人后的合理期限内，未收到权利人已经投诉或者提起诉讼通知的，应当及时终止所采取的措施。
第一千一百九十七条 网络服务提供者知道或者应当知道网络用户利用其网络服务侵害他人民事权益，未采取必要措施的，与该网络用户承担连带责任。
第一千一百九十八条 宾馆、商场、银行、车站、机场、体育场馆、娱乐场所等经营场所、公共场所的经营者、管理者或者群众性活动的组织者，未尽到安全保障义务，造成他人损害的，应当承担侵权责任。
因第三人的行为造成他人损害的，由第三人承担侵权责任；经营者、管理者或者组织者未尽到安全保障义务的，承担相应的补充责任。经营者、管理者或者组织者承担补充责任后，可以向第三人追偿。
第一千一百九十九条 无民事行为能力人在幼儿园、学校或者其他教育机构学习、生活期间受到人身损害的，幼儿园、学校或者其他教育机构应当承担侵权责任；但是，能够证明尽到教育、管理职责的，不承担侵权责任。
第一千二百条 限制民事行为能力人在学校或者其他教育机构学习、生活期间受到人身损害，学校或者其他教育机构未尽到教育、管理职责的，应当承担侵权责任。
第一千二百零一条 无民事行为能力人或者限制民事行为能力人在幼儿园、学校或者其他教育机构学习、生活期间，受到幼儿园、学校或者其他教育机构以外的第三人人身损害的，由第三人承担侵权责任；幼儿园、学校或者其他教育机构未尽到管理职责的，承担相应的补充责任。幼儿园、学校或者其他教育机构承担补充责任后，可以向第三人追偿。
第四章 产品责任
第一千二百零二条 因产品存在缺陷造成他人损害的，生产者应当承担侵权责任。
第一千二百零三条 因产品存在缺陷造成他人损害的，被侵权人可以向产品的生产者请求赔偿，也可以向产品的销售者请求赔偿。
产品缺陷由生产者造成的，销售者赔偿后，有权向生产者追偿。因销售者的过错使产品存在缺陷的，生产者赔偿后，有权向销售者追偿。
第一千二百零四条 因运输者、仓储者等第三人的过错使产品存在缺陷，造成他人损害的，产品的生产者、销售者赔偿后，有权向第三人追偿。
第一千二百零五条 因产品缺陷危及他人人身、财产安全的，被侵权人有权请求生产者、销售者承担停止侵害、排除妨碍、消除危险等侵权责任。
第一千二百零六条 产品投入流通后发现存在缺陷的，生产者、销售者应当及时采取停止销售、警示、召回等补救措施；未及时采取补救措施或者补救措施不力造成损害扩大的，对扩大的损害也应当承担侵权责任。
依据前款规定采取召回措施的，生产者、销售者应当负担被侵权人因此支出的必要费用。
第一千二百零七条 明知产品存在缺陷仍然生产、销售，或者没有依据前条规定采取有效补救措施，造成他人死亡或者健康严重损害的，被侵权人有权请求相应的惩罚性赔偿。
第五章 机动车交通事故责任
第一千二百零八条 机动车发生交通事故造成损害的，依照道路交通安全法律和本法的有关规定承担赔偿责任。
第一千二百零九条 因租赁、借用等情形机动车所有人、管理人与使用人不是同一人时，发生交通事故造成损害，属于该机动车一方责任的，由机动车使用人承担赔偿责任；机动车所有人、管理人对损害的发生有过错的，承担相应的赔偿责任。
第一千二百一十条 当事人之间已经以买卖或者其他方式转让并交付机动车但是未办理登记，发生交通事故造成损害，属于该机动车一方责任的，由受让人承担赔偿责任。
第一千二百一十一条 以挂靠形式从事道路运输经营活动的机动车，发生交通事故造成损害，属于该机动车一方责任的，由挂靠人和被挂靠人承担连带责任。
第一千二百一十二条 未经允许驾驶他人机动车，发生交通事故造成损害，属于该机动车一方责任的，由机动车使用人承担赔偿责任；机动车所有人、管理人对损害的发生有过错的，承担相应的赔偿责任，但是本章另有规定的除外。
第一千二百一十三条 机动车发生交通事故造成损害，属于该机动车一方责任的，先由承保机动车强制保险的保险人在强制保险责任限额范围内予以赔偿；不足部分，由承保机动车商业保险的保险人按照保险合同的约定予以赔偿；仍然不足或者没有投保机动车商业保险的，由侵权人赔偿。
第一千二百一十四条 以买卖或者其他方式转让拼装或者已经达到报废标准的机动车，发生交通事故造成损害的，由转让人和受让人承担连带责任。
第一千二百一十五条 盗窃、抢劫或者抢夺的机动车发生交通事故造成损害的，由盗窃人、抢劫人或者抢夺人承担赔偿责任。盗窃人、抢劫人或者抢夺人与机动车使用人不是同一人，发生交通事故造成损害，属于该机动车一方责任的，由盗窃人、抢劫人或者抢夺人与机动车使用人承担连带责任。
保险人在机动车强制保险责任限额范围内垫付抢救费用的，有权向交通事故责任人追偿。
第一千二百一十六条 机动车驾驶人发生交通事故后逃逸，该机动车参加强制保险的，由保险人在机动车强制保险责任限额范围内予以赔偿；机动车不明、该机动车未参加强制保险或者抢救费用超过机动车强制保险责任限额，需要支付被侵权人人身伤亡的抢救、丧葬等费用的，由道路交通事故社会救助基金垫付。道路交通事故社会救助基金垫付后，其管理机构有权向交通事故责任人追偿。
第一千二百一十七条 非营运机动车发生交通事故造成无偿搭乘人损害，属于该机动车一方责任的，应当减轻其赔偿责任，但是机动车使用人有故意或者重大过失的除外。
第六章 医疗损害责任
第一千二百一十八条 患者在诊疗活动中受到损害，医疗机构或者其医务人员有过错的，由医疗机构承担赔偿责任。
第一千二百一十九条 医务人员在诊疗活动中应当向患者说明病情和医疗措施。需要实施手术、特殊检查、特殊治疗的，医务人员应当及时向患者具体说明医疗风险、替代医疗方案等情况，并取得其明确同意；不能或者不宜向患者说明的，应当向患者的近亲属说明，并取得其明确同意。
医务人员未尽到前款义务，造成患者损害的，医疗机构应当承担赔偿责任。
第一千二百二十条 因抢救生命垂危的患者等紧急情况，不能取得患者或者其近亲属意见的，经医疗机构负责人或者授权的负责人批准，可以立即实施相应的医疗措施。
第一千二百二十一条 医务人员在诊疗活动中未尽到与当时的医疗水平相应的诊疗义务，造成患者损害的，医疗机构应当承担赔偿责任。
第一千二百二十二条 患者在诊疗活动中受到损害，有下列情形之一的，推定医疗机构有过错：
（一）违反法律、行政法规、规章以及其他有关诊疗规范的规定；
（二）隐匿或者拒绝提供与纠纷有关的病历资料；
（三）遗失、伪造、篡改或者违法销毁病历资料。
第一千二百二十三条 因药品、消毒产品、医疗器械的缺陷，或者输入不合格的血液造成患者损害的，患者可以向药品上市许可持有人、生产者、血液提供机构请求赔偿，也可以向医疗机构请求赔偿。患者向医疗机构请求赔偿的，医疗机构赔偿后，有权向负有责任的药品上市许可持有人、生产者、血液提供机构追偿。
第一千二百二十四条 患者在诊疗活动中受到损害，有下列情形之一的，医疗机构不承担赔偿责任：
（一）患者或者其近亲属不配合医疗机构进行符合诊疗规范的诊疗；
（二）医务人员在抢救生命垂危的患者等紧急情况下已经尽到合理诊疗义务；
（三）限于当时的医疗水平难以诊疗。
前款第一项情形中，医疗机构或者其医务人员也有过错的，应当承担相应的赔偿责任。
第一千二百二十五条 医疗机构及其医务人员应当按照规定填写并妥善保管住院志、医嘱单、检验报告、手术及麻醉记录、病理资料、护理记录等病历资料。
患者要求查阅、复制前款规定的病历资料的，医疗机构应当及时提供。
第一千二百二十六条 医疗机构及其医务人员应当对患者的隐私和个人信息保密。泄露患者的隐私和个人信息，或者未经患者同意公开其病历资料的，应当承担侵权责任。
第一千二百二十七条 医疗机构及其医务人员不得违反诊疗规范实施不必要的检查。
第一千二百二十八条 医疗机构及其医务人员的合法权益受法律保护。
干扰医疗秩序，妨碍医务人员工作、生活，侵害医务人员合法权益的，应当依法承担法律责任。
第七章 环境污染和生态破坏责任
第一千二百二十九条 因污染环境、破坏生态造成他人损害的，侵权人应当承担侵权责任。
第一千二百三十条 因污染环境、破坏生态发生纠纷，行为人应当就法律规定的不承担责任或者减轻责任的情形及其行为与损害之间不存在因果关系承担举证责任。
第一千二百三十一条 两个以上侵权人污染环境、破坏生态的，承担责任的大小，根据污染物的种类、浓度、排放量，破坏生态的方式、范围、程度，以及行为对损害后果所起的作用等因素确定。
第一千二百三十二条 侵权人违反法律规定故意污染环境、破坏生态造成严重后果的，被侵权人有权请求相应的惩罚性赔偿。
第一千二百三十三条 因第三人的过错污染环境、破坏生态的，被侵权人可以向侵权人请求赔偿，也可以向第三人请求赔偿。侵权人赔偿后，有权向第三人追偿。
第一千二百三十四条 违反国家规定造成生态环境损害，生态环境能够修复的，国家规定的机关或者法律规定的组织有权请求侵权人在合理期限内承担修复责任。侵权人在期限内未修复的，国家规定的机关或者法律规定的组织可以自行或者委托他人进行修复，所需费用由侵权人负担。
第一千二百三十五条 违反国家规定造成生态环境损害的，国家规定的机关或者法律规定的组织有权请求侵权人赔偿下列损失和费用：
（一）生态环境受到损害至修复完成期间服务功能丧失导致的损失；
（二）生态环境功能永久性损害造成的损失；
（三）生态环境损害调查、鉴定评估等费用；
（四）清除污染、修复生态环境费用；
（五）防止损害的发生和扩大所支出的合理费用。
第八章 高度危险责任
第一千二百三十六条 从事高度危险作业造成他人损害的，应当承担侵权责任。
第一千二百三十七条 民用核设施或者运入运出核设施的核材料发生核事故造成他人损害的，民用核设施的营运单位应当承担侵权责任；但是，能够证明损害是因战争、武装冲突、暴乱等情形或者受害人故意造成的，不承担责任。
第一千二百三十八条 民用航空器造成他人损害的，民用航空器的经营者应当承担侵权责任；但是，能够证明损害是因受害人故意造成的，不承担责任。
第一千二百三十九条 占有或者使用易燃、易爆、剧毒、高放射性、强腐蚀性、高致病性等高度危险物造成他人损害的，占有人或者使用人应当承担侵权责任；但是，能够证明损害是因受害人故意或者不可抗力造成的，不承担责任。被侵权人对损害的发生有重大过失的，可以减轻占有人或者使用人的责任。
第一千二百四十条 从事高空、高压、地下挖掘活动或者使用高速轨道运输工具造成他人损害的，经营者应当承担侵权责任；但是，能够证明损害是因受害人故意或者不可抗力造成的，不承担责任。被侵权人对损害的发生有重大过失的，可以减轻经营者的责任。
第一千二百四十一条 遗失、抛弃高度危险物造成他人损害的，由所有人承担侵权责任。所有人将高度危险物交由他人管理的，由管理人承担侵权责任；所有人有过错的，与管理人承担连带责任。
第一千二百四十二条 非法占有高度危险物造成他人损害的，由非法占有人承担侵权责任。所有人、管理人不能证明对防止非法占有尽到高度注意义务的，与非法占有人承担连带责任。
第一千二百四十三条 未经许可进入高度危险活动区域或者高度危险物存放区域受到损害，管理人能够证明已经采取足够安全措施并尽到充分警示义务的，可以减轻或者不承担责任。
第一千二百四十四条 承担高度危险责任，法律规定赔偿限额的，依照其规定，但是行为人有故意或者重大过失的除外。
第九章 饲养动物损害责任
第一千二百四十五条 饲养的动物造成他人损害的，动物饲养人或者管理人应当承担侵权责任；但是，能够证明损害是因被侵权人故意或者重大过失造成的，可以不承担或者减轻责任。
第一千二百四十六条 违反管理规定，未对动物采取安全措施造成他人损害的，动物饲养人或者管理人应当承担侵权责任；但是，能够证明损害是因被侵权人故意造成的，可以减轻责任。
第一千二百四十七条 禁止饲养的烈性犬等危险动物造成他人损害的，动物饲养人或者管理人应当承担侵权责任。
第一千二百四十八条 动物园的动物造成他人损害的，动物园应当承担侵权责任；但是，能够证明尽到管理职责的，不承担侵权责任。
第一千二百四十九条 遗弃、逃逸的动物在遗弃、逃逸期间造成他人损害的，由动物原饲养人或者管理人承担侵权责任。
第一千二百五十条 因第三人的过错致使动物造成他人损害的，被侵权人可以向动物饲养人或者管理人请求赔偿，也可以向第三人请求赔偿。动物饲养人或者管理人赔偿后，有权向第三人追偿。
第一千二百五十一条 饲养动物应当遵守法律法规，尊重社会公德，不得妨碍他人生活。
第十章 建筑物和物件损害责任
第一千二百五十二条 建筑物、构筑物或者其他设施倒塌、塌陷造成他人损害的，由建设单位与施工单位承担连带责任，但是建设单位与施工单位能够证明不存在质量缺陷的除外。建设单位、施工单位赔偿后，有其他责任人的，有权向其他责任人追偿。
因所有人、管理人、使用人或者第三人的原因，建筑物、构筑物或者其他设施倒塌、塌陷造成他人损害的，由所有人、管理人、使用人或者第三人承担侵权责任。
第一千二百五十三条 建筑物、构筑物或者其他设施及其搁置物、悬挂物发生脱落、坠落造成他人损害，所有人、管理人或者使用人不能证明自己没有过错的，应当承担侵权责任。所有人、管理人或者使用人赔偿后，有其他责任人的，有权向其他责任人追偿。
第一千二百五十四条 禁止从建筑物中抛掷物品。从建筑物中抛掷物品或者从建筑物上坠落的物品造成他人损害的，由侵权人依法承担侵权责任；经调查难以确定具体侵权人的，除能够证明自己不是侵权人的外，由可能加害的建筑物使用人给予补偿。可能加害的建筑物使用人补偿后，有权向侵权人追偿。
物业服务企业等建筑物管理人应当采取必要的安全保障措施防止前款规定情形的发生；未采取必要的安全保障措施的，应当依法承担未履行安全保障义务的侵权责任。
发生本条第一款规定的情形的，公安等机关应当依法及时调查，查清责任人。
第一千二百五十五条 堆放物倒塌、滚落或者滑落造成他人损害，堆放人不能证明自己没有过错的，应当承担侵权责任。
第一千二百五十六条 在公共道路上堆放、倾倒、遗撒妨碍通行的物品造成他人损害的，由行为人承担侵权责任。公共道路管理人不能证明已经尽到清理、防护、警示等义务的，应当承担相应的责任。
第一千二百五十七条 因林木折断、倾倒或者果实坠落等造成他人损害，林木的所有人或者管理人不能证明自己没有过错的，应当承担侵权责任。
第一千二百五十八条 在公共场所或者道路上挖掘、修缮安装地下设施等造成他人损害，施工人不能证明已经设置明显标志和采取安全措施的，应当承担侵权责任。
窨井等地下设施造成他人损害，管理人不能证明尽到管理职责的，应当承担侵权责任。
附 则
第一千二百五十九条 民法所称的“以上”、“以下”、“以内”、“届满”，包括本数；所称的“不满”、“超过”、“以外”，不包括本数。
第一千二百六十条 本法自2021年1月1日起施行。《中华人民共和国婚姻法》、《中华人民共和国继承法》、《中华人民共和国民法通则》、《中华人民共和国收养法》、《中华人民共和国担保法》、《中华人民共和国合同法》、《中华人民共和国物权法》、《中华人民共和国侵权责任法》、《中华人民共和国民法总则》同时废止。
中华人民共和国证券法
（1998年12月29日第九届全国人民代表大会常务委员会第六次会议通过 根据2004年8月28日第十届全国人民代表大会常务委员会第十一次会议《关于修改〈中华人民共和国证券法〉的决定》第一次修正 2005年10月27日第十届全国人民代表大会常务委员会第十八次会议第一次修订 根据2013年6月29日第十二届全国人民代表大会常务委员会第三次会议《关于修改〈中华人民共和国文物保护法〉等十二部法律的决定》第二次修正 根据2014年8月31日第十二届全国人民代表大会常务委员会第十次会议《关于修改〈中华人民共和国保险法〉等五部法律的决定》第三次修正 2019年12月28日第十三届全国人民代表大会常务委员会第十五次会议第二次修订）
目 录
第一章 总 则
第二章 证券发行
第三章 证券交易
第一节 一般规定
第二节 证券上市
第三节 禁止的交易行为
第四章 上市公司的收购
第五章 信息披露
第六章 投资者保护
第七章 证券交易场所
第八章 证券公司
第九章 证券登记结算机构
第十章 证券服务机构
第十一章 证券业协会
第十二章 证券监督管理机构
第十三章 法律责任
第十四章 附 则
第一章 总 则
第一条 为了规范证券发行和交易行为，保护投资者的合法权益，维护社会经济秩序和社会公共利益，促进社会主义市场经济的发展，制定本法。
第二条 在中华人民共和国境内，股票、公司债券、存托凭证和国务院依法认定的其他证券的发行和交易，适用本法；本法未规定的，适用《中华人民共和国公司法》和其他法律、行政法规的规定。
政府债券、证券投资基金份额的上市交易，适用本法；其他法律、行政法规另有规定的，适用其规定。
资产支持证券、资产管理产品发行、交易的管理办法，由国务院依照本法的原则规定。
在中华人民共和国境外的证券发行和交易活动，扰乱中华人民共和国境内市场秩序，损害境内投资者合法权益的，依照本法有关规定处理并追究法律责任。
第三条 证券的发行、交易活动，必须遵循公开、公平、公正的原则。
第四条 证券发行、交易活动的当事人具有平等的法律地位，应当遵守自愿、有偿、诚实信用的原则。
第五条 证券的发行、交易活动，必须遵守法律、行政法规；禁止欺诈、内幕交易和操纵证券市场的行为。
第六条 证券业和银行业、信托业、保险业实行分业经营、分业管理，证券公司与银行、信托、保险业务机构分别设立。国家另有规定的除外。
第七条 国务院证券监督管理机构依法对全国证券市场实行集中统一监督管理。
国务院证券监督管理机构根据需要可以设立派出机构，按照授权履行监督管理职责。
第八条 国家审计机关依法对证券交易场所、证券公司、证券登记结算机构、证券监督管理机构进行审计监督。
第二章 证券发行
第九条 公开发行证券，必须符合法律、行政法规规定的条件，并依法报经国务院证券监督管理机构或者国务院授权的部门注册。未经依法注册，任何单位和个人不得公开发行证券。证券发行注册制的具体范围、实施步骤，由国务院规定。
有下列情形之一的，为公开发行：
（一）向不特定对象发行证券；
（二）向特定对象发行证券累计超过二百人，但依法实施员工持股计划的员工人数不计算在内；
（三）法律、行政法规规定的其他发行行为。
非公开发行证券，不得采用广告、公开劝诱和变相公开方式。
第十条 发行人申请公开发行股票、可转换为股票的公司债券，依法采取承销方式的，或者公开发行法律、行政法规规定实行保荐制度的其他证券的，应当聘请证券公司担任保荐人。
保荐人应当遵守业务规则和行业规范，诚实守信，勤勉尽责，对发行人的申请文件和信息披露资料进行审慎核查，督导发行人规范运作。
保荐人的管理办法由国务院证券监督管理机构规定。
第十一条 设立股份有限公司公开发行股票，应当符合《中华人民共和国公司法》规定的条件和经国务院批准的国务院证券监督管理机构规定的其他条件，向国务院证券监督管理机构报送募股申请和下列文件：
（一）公司章程；
（二）发起人协议；
（三）发起人姓名或者名称，发起人认购的股份数、出资种类及验资证明；
（四）招股说明书；
（五）代收股款银行的名称及地址；
（六）承销机构名称及有关的协议。
依照本法规定聘请保荐人的，还应当报送保荐人出具的发行保荐书。
法律、行政法规规定设立公司必须报经批准的，还应当提交相应的批准文件。
第十二条 公司首次公开发行新股，应当符合下列条件：
（一）具备健全且运行良好的组织机构；
（二）具有持续经营能力；
（三）最近三年财务会计报告被出具无保留意见审计报告；
（四）发行人及其控股股东、实际控制人最近三年不存在贪污、贿赂、侵占财产、挪用财产或者破坏社会主义市场经济秩序的刑事犯罪；
（五）经国务院批准的国务院证券监督管理机构规定的其他条件。
上市公司发行新股，应当符合经国务院批准的国务院证券监督管理机构规定的条件，具体管理办法由国务院证券监督管理机构规定。
公开发行存托凭证的，应当符合首次公开发行新股的条件以及国务院证券监督管理机构规定的其他条件。
第十三条 公司公开发行新股，应当报送募股申请和下列文件：
（一）公司营业执照；
（二）公司章程；
（三）股东大会决议；
（四）招股说明书或者其他公开发行募集文件；
（五）财务会计报告；
（六）代收股款银行的名称及地址。
依照本法规定聘请保荐人的，还应当报送保荐人出具的发行保荐书。依照本法规定实行承销的，还应当报送承销机构名称及有关的协议。
第十四条 公司对公开发行股票所募集资金，必须按照招股说明书或者其他公开发行募集文件所列资金用途使用；改变资金用途，必须经股东大会作出决议。擅自改变用途，未作纠正的，或者未经股东大会认可的，不得公开发行新股。
第十五条 公开发行公司债券，应当符合下列条件：
（一）具备健全且运行良好的组织机构；
（二）最近三年平均可分配利润足以支付公司债券一年的利息；
（三）国务院规定的其他条件。
公开发行公司债券筹集的资金，必须按照公司债券募集办法所列资金用途使用；改变资金用途，必须经债券持有人会议作出决议。公开发行公司债券筹集的资金，不得用于弥补亏损和非生产性支出。
上市公司发行可转换为股票的公司债券，除应当符合第一款规定的条件外，还应当遵守本法第十二条第二款的规定。但是，按照公司债券募集办法，上市公司通过收购本公司股份的方式进行公司债券转换的除外。
第十六条 申请公开发行公司债券，应当向国务院授权的部门或者国务院证券监督管理机构报送下列文件：
（一）公司营业执照；
（二）公司章程；
（三）公司债券募集办法；
（四）国务院授权的部门或者国务院证券监督管理机构规定的其他文件。
依照本法规定聘请保荐人的，还应当报送保荐人出具的发行保荐书。
第十七条 有下列情形之一的，不得再次公开发行公司债券：
（一）对已公开发行的公司债券或者其他债务有违约或者延迟支付本息的事实，仍处于继续状态；
（二）违反本法规定，改变公开发行公司债券所募资金的用途。
第十八条 发行人依法申请公开发行证券所报送的申请文件的格式、报送方式，由依法负责注册的机构或者部门规定。
第十九条 发行人报送的证券发行申请文件，应当充分披露投资者作出价值判断和投资决策所必需的信息，内容应当真实、准确、完整。
为证券发行出具有关文件的证券服务机构和人员，必须严格履行法定职责，保证所出具文件的真实性、准确性和完整性。
第二十条 发行人申请首次公开发行股票的，在提交申请文件后，应当按照国务院证券监督管理机构的规定预先披露有关申请文件。
第二十一条 国务院证券监督管理机构或者国务院授权的部门依照法定条件负责证券发行申请的注册。证券公开发行注册的具体办法由国务院规定。
按照国务院的规定，证券交易所等可以审核公开发行证券申请，判断发行人是否符合发行条件、信息披露要求，督促发行人完善信息披露内容。
依照前两款规定参与证券发行申请注册的人员，不得与发行申请人有利害关系，不得直接或者间接接受发行申请人的馈赠，不得持有所注册的发行申请的证券，不得私下与发行申请人进行接触。
第二十二条 国务院证券监督管理机构或者国务院授权的部门应当自受理证券发行申请文件之日起三个月内，依照法定条件和法定程序作出予以注册或者不予注册的决定，发行人根据要求补充、修改发行申请文件的时间不计算在内。不予注册的，应当说明理由。
第二十三条 证券发行申请经注册后，发行人应当依照法律、行政法规的规定，在证券公开发行前公告公开发行募集文件，并将该文件置备于指定场所供公众查阅。
发行证券的信息依法公开前，任何知情人不得公开或者泄露该信息。
发行人不得在公告公开发行募集文件前发行证券。
第二十四条 国务院证券监督管理机构或者国务院授权的部门对已作出的证券发行注册的决定，发现不符合法定条件或者法定程序，尚未发行证券的，应当予以撤销，停止发行。已经发行尚未上市的，撤销发行注册决定，发行人应当按照发行价并加算银行同期存款利息返还证券持有人；发行人的控股股东、实际控制人以及保荐人，应当与发行人承担连带责任，但是能够证明自己没有过错的除外。
股票的发行人在招股说明书等证券发行文件中隐瞒重要事实或者编造重大虚假内容，已经发行并上市的，国务院证券监督管理机构可以责令发行人回购证券，或者责令负有责任的控股股东、实际控制人买回证券。
第二十五条 股票依法发行后，发行人经营与收益的变化，由发行人自行负责；由此变化引致的投资风险，由投资者自行负责。
第二十六条 发行人向不特定对象发行的证券，法律、行政法规规定应当由证券公司承销的，发行人应当同证券公司签订承销协议。证券承销业务采取代销或者包销方式。
证券代销是指证券公司代发行人发售证券，在承销期结束时，将未售出的证券全部退还给发行人的承销方式。
证券包销是指证券公司将发行人的证券按照协议全部购入或者在承销期结束时将售后剩余证券全部自行购入的承销方式。
第二十七条 公开发行证券的发行人有权依法自主选择承销的证券公司。
第二十八条 证券公司承销证券，应当同发行人签订代销或者包销协议，载明下列事项：
（一）当事人的名称、住所及法定代表人姓名；
（二）代销、包销证券的种类、数量、金额及发行价格；
（三）代销、包销的期限及起止日期；
（四）代销、包销的付款方式及日期；
（五）代销、包销的费用和结算办法；
（六）违约责任；
（七）国务院证券监督管理机构规定的其他事项。
第二十九条 证券公司承销证券，应当对公开发行募集文件的真实性、准确性、完整性进行核查。发现有虚假记载、误导性陈述或者重大遗漏的，不得进行销售活动；已经销售的，必须立即停止销售活动，并采取纠正措施。
证券公司承销证券，不得有下列行为：
（一）进行虚假的或者误导投资者的广告宣传或者其他宣传推介活动；
（二）以不正当竞争手段招揽承销业务；
（三）其他违反证券承销业务规定的行为。
证券公司有前款所列行为，给其他证券承销机构或者投资者造成损失的，应当依法承担赔偿责任。
第三十条 向不特定对象发行证券聘请承销团承销的，承销团应当由主承销和参与承销的证券公司组成。
第三十一条 证券的代销、包销期限最长不得超过九十日。
证券公司在代销、包销期内，对所代销、包销的证券应当保证先行出售给认购人，证券公司不得为本公司预留所代销的证券和预先购入并留存所包销的证券。
第三十二条 股票发行采取溢价发行的，其发行价格由发行人与承销的证券公司协商确定。
第三十三条 股票发行采用代销方式，代销期限届满，向投资者出售的股票数量未达到拟公开发行股票数量百分之七十的，为发行失败。发行人应当按照发行价并加算银行同期存款利息返还股票认购人。
第三十四条 公开发行股票，代销、包销期限届满，发行人应当在规定的期限内将股票发行情况报国务院证券监督管理机构备案。
第三章 证券交易
第一节 一般规定
第三十五条 证券交易当事人依法买卖的证券，必须是依法发行并交付的证券。
非依法发行的证券，不得买卖。
第三十六条 依法发行的证券，《中华人民共和国公司法》和其他法律对其转让期限有限制性规定的，在限定的期限内不得转让。
上市公司持有百分之五以上股份的股东、实际控制人、董事、监事、高级管理人员，以及其他持有发行人首次公开发行前发行的股份或者上市公司向特定对象发行的股份的股东，转让其持有的本公司股份的，不得违反法律、行政法规和国务院证券监督管理机构关于持有期限、卖出时间、卖出数量、卖出方式、信息披露等规定，并应当遵守证券交易所的业务规则。
第三十七条 公开发行的证券，应当在依法设立的证券交易所上市交易或者在国务院批准的其他全国性证券交易场所交易。
非公开发行的证券，可以在证券交易所、国务院批准的其他全国性证券交易场所、按照国务院规定设立的区域性股权市场转让。
第三十八条 证券在证券交易所上市交易，应当采用公开的集中交易方式或者国务院证券监督管理机构批准的其他方式。
第三十九条 证券交易当事人买卖的证券可以采用纸面形式或者国务院证券监督管理机构规定的其他形式。
第四十条 证券交易场所、证券公司和证券登记结算机构的从业人员，证券监督管理机构的工作人员以及法律、行政法规规定禁止参与股票交易的其他人员，在任期或者法定限期内，不得直接或者以化名、借他人名义持有、买卖股票或者其他具有股权性质的证券，也不得收受他人赠送的股票或者其他具有股权性质的证券。
任何人在成为前款所列人员时，其原已持有的股票或者其他具有股权性质的证券，必须依法转让。
实施股权激励计划或者员工持股计划的证券公司的从业人员，可以按照国务院证券监督管理机构的规定持有、卖出本公司股票或者其他具有股权性质的证券。
第四十一条 证券交易场所、证券公司、证券登记结算机构、证券服务机构及其工作人员应当依法为投资者的信息保密，不得非法买卖、提供或者公开投资者的信息。
证券交易场所、证券公司、证券登记结算机构、证券服务机构及其工作人员不得泄露所知悉的商业秘密。
第四十二条 为证券发行出具审计报告或者法律意见书等文件的证券服务机构和人员，在该证券承销期内和期满后六个月内，不得买卖该证券。
除前款规定外，为发行人及其控股股东、实际控制人，或者收购人、重大资产交易方出具审计报告或者法律意见书等文件的证券服务机构和人员，自接受委托之日起至上述文件公开后五日内，不得买卖该证券。实际开展上述有关工作之日早于接受委托之日的，自实际开展上述有关工作之日起至上述文件公开后五日内，不得买卖该证券。
第四十三条 证券交易的收费必须合理，并公开收费项目、收费标准和管理办法。
第四十四条 上市公司、股票在国务院批准的其他全国性证券交易场所交易的公司持有百分之五以上股份的股东、董事、监事、高级管理人员，将其持有的该公司的股票或者其他具有股权性质的证券在买入后六个月内卖出，或者在卖出后六个月内又买入，由此所得收益归该公司所有，公司董事会应当收回其所得收益。但是，证券公司因购入包销售后剩余股票而持有百分之五以上股份，以及有国务院证券监督管理机构规定的其他情形的除外。
前款所称董事、监事、高级管理人员、自然人股东持有的股票或者其他具有股权性质的证券，包括其配偶、父母、子女持有的及利用他人账户持有的股票或者其他具有股权性质的证券。
公司董事会不按照第一款规定执行的，股东有权要求董事会在三十日内执行。公司董事会未在上述期限内执行的，股东有权为了公司的利益以自己的名义直接向人民法院提起诉讼。
公司董事会不按照第一款的规定执行的，负有责任的董事依法承担连带责任。
第四十五条 通过计算机程序自动生成或者下达交易指令进行程序化交易的，应当符合国务院证券监督管理机构的规定，并向证券交易所报告，不得影响证券交易所系统安全或者正常交易秩序。
第二节 证券上市
第四十六条 申请证券上市交易，应当向证券交易所提出申请，由证券交易所依法审核同意，并由双方签订上市协议。
证券交易所根据国务院授权的部门的决定安排政府债券上市交易。
第四十七条 申请证券上市交易，应当符合证券交易所上市规则规定的上市条件。
证券交易所上市规则规定的上市条件，应当对发行人的经营年限、财务状况、最低公开发行比例和公司治理、诚信记录等提出要求。
第四十八条 上市交易的证券，有证券交易所规定的终止上市情形的，由证券交易所按照业务规则终止其上市交易。
证券交易所决定终止证券上市交易的，应当及时公告，并报国务院证券监督管理机构备案。
第四十九条 对证券交易所作出的不予上市交易、终止上市交易决定不服的，可以向证券交易所设立的复核机构申请复核。
第三节 禁止的交易行为
第五十条 禁止证券交易内幕信息的知情人和非法获取内幕信息的人利用内幕信息从事证券交易活动。
第五十一条 证券交易内幕信息的知情人包括：
（一）发行人及其董事、监事、高级管理人员；
（二）持有公司百分之五以上股份的股东及其董事、监事、高级管理人员，公司的实际控制人及其董事、监事、高级管理人员；
（三）发行人控股或者实际控制的公司及其董事、监事、高级管理人员；
（四）由于所任公司职务或者因与公司业务往来可以获取公司有关内幕信息的人员；
（五）上市公司收购人或者重大资产交易方及其控股股东、实际控制人、董事、监事和高级管理人员；
（六）因职务、工作可以获取内幕信息的证券交易场所、证券公司、证券登记结算机构、证券服务机构的有关人员；
（七）因职责、工作可以获取内幕信息的证券监督管理机构工作人员；
（八）因法定职责对证券的发行、交易或者对上市公司及其收购、重大资产交易进行管理可以获取内幕信息的有关主管部门、监管机构的工作人员；
（九）国务院证券监督管理机构规定的可以获取内幕信息的其他人员。
第五十二条 证券交易活动中，涉及发行人的经营、财务或者对该发行人证券的市场价格有重大影响的尚未公开的信息，为内幕信息。
本法第八十条第二款、第八十一条第二款所列重大事件属于内幕信息。
第五十三条 证券交易内幕信息的知情人和非法获取内幕信息的人，在内幕信息公开前，不得买卖该公司的证券，或者泄露该信息，或者建议他人买卖该证券。
持有或者通过协议、其他安排与他人共同持有公司百分之五以上股份的自然人、法人、非法人组织收购上市公司的股份，本法另有规定的，适用其规定。
内幕交易行为给投资者造成损失的，应当依法承担赔偿责任。
第五十四条 禁止证券交易场所、证券公司、证券登记结算机构、证券服务机构和其他金融机构的从业人员、有关监管部门或者行业协会的工作人员，利用因职务便利获取的内幕信息以外的其他未公开的信息，违反规定，从事与该信息相关的证券交易活动，或者明示、暗示他人从事相关交易活动。
利用未公开信息进行交易给投资者造成损失的，应当依法承担赔偿责任。
第五十五条 禁止任何人以下列手段操纵证券市场，影响或者意图影响证券交易价格或者证券交易量：
（一）单独或者通过合谋，集中资金优势、持股优势或者利用信息优势联合或者连续买卖；
（二）与他人串通，以事先约定的时间、价格和方式相互进行证券交易；
（三）在自己实际控制的账户之间进行证券交易；
（四）不以成交为目的，频繁或者大量申报并撤销申报；
（五）利用虚假或者不确定的重大信息，诱导投资者进行证券交易；
（六）对证券、发行人公开作出评价、预测或者投资建议，并进行反向证券交易；
（七）利用在其他相关市场的活动操纵证券市场；
（八）操纵证券市场的其他手段。
操纵证券市场行为给投资者造成损失的，应当依法承担赔偿责任。
第五十六条 禁止任何单位和个人编造、传播虚假信息或者误导性信息，扰乱证券市场。
禁止证券交易场所、证券公司、证券登记结算机构、证券服务机构及其从业人员，证券业协会、证券监督管理机构及其工作人员，在证券交易活动中作出虚假陈述或者信息误导。
各种传播媒介传播证券市场信息必须真实、客观，禁止误导。传播媒介及其从事证券市场信息报道的工作人员不得从事与其工作职责发生利益冲突的证券买卖。
编造、传播虚假信息或者误导性信息，扰乱证券市场，给投资者造成损失的，应当依法承担赔偿责任。
第五十七条 禁止证券公司及其从业人员从事下列损害客户利益的行为：
（一）违背客户的委托为其买卖证券；
（二）不在规定时间内向客户提供交易的确认文件；
（三）未经客户的委托，擅自为客户买卖证券，或者假借客户的名义买卖证券；
（四）为牟取佣金收入，诱使客户进行不必要的证券买卖；
（五）其他违背客户真实意思表示，损害客户利益的行为。
违反前款规定给客户造成损失的，应当依法承担赔偿责任。
第五十八条 任何单位和个人不得违反规定，出借自己的证券账户或者借用他人的证券账户从事证券交易。
第五十九条 依法拓宽资金入市渠道，禁止资金违规流入股市。
禁止投资者违规利用财政资金、银行信贷资金买卖证券。
第六十条 国有独资企业、国有独资公司、国有资本控股公司买卖上市交易的股票，必须遵守国家有关规定。
第六十一条 证券交易场所、证券公司、证券登记结算机构、证券服务机构及其从业人员对证券交易中发现的禁止的交易行为，应当及时向证券监督管理机构报告。
第四章 上市公司的收购
第六十二条 投资者可以采取要约收购、协议收购及其他合法方式收购上市公司。
第六十三条 通过证券交易所的证券交易，投资者持有或者通过协议、其他安排与他人共同持有一个上市公司已发行的有表决权股份达到百分之五时，应当在该事实发生之日起三日内，向国务院证券监督管理机构、证券交易所作出书面报告，通知该上市公司，并予公告，在上述期限内不得再行买卖该上市公司的股票，但国务院证券监督管理机构规定的情形除外。
投资者持有或者通过协议、其他安排与他人共同持有一个上市公司已发行的有表决权股份达到百分之五后，其所持该上市公司已发行的有表决权股份比例每增加或者减少百分之五，应当依照前款规定进行报告和公告，在该事实发生之日起至公告后三日内，不得再行买卖该上市公司的股票，但国务院证券监督管理机构规定的情形除外。
投资者持有或者通过协议、其他安排与他人共同持有一个上市公司已发行的有表决权股份达到百分之五后，其所持该上市公司已发行的有表决权股份比例每增加或者减少百分之一，应当在该事实发生的次日通知该上市公司，并予公告。
违反第一款、第二款规定买入上市公司有表决权的股份的，在买入后的三十六个月内，对该超过规定比例部分的股份不得行使表决权。
第六十四条 依照前条规定所作的公告，应当包括下列内容：
（一）持股人的名称、住所；
（二）持有的股票的名称、数额；
（三）持股达到法定比例或者持股增减变化达到法定比例的日期、增持股份的资金来源；
（四）在上市公司中拥有有表决权的股份变动的时间及方式。
第六十五条 通过证券交易所的证券交易，投资者持有或者通过协议、其他安排与他人共同持有一个上市公司已发行的有表决权股份达到百分之三十时，继续进行收购的，应当依法向该上市公司所有股东发出收购上市公司全部或者部分股份的要约。
收购上市公司部分股份的要约应当约定，被收购公司股东承诺出售的股份数额超过预定收购的股份数额的，收购人按比例进行收购。
第六十六条 依照前条规定发出收购要约，收购人必须公告上市公司收购报告书，并载明下列事项：
（一）收购人的名称、住所；
（二）收购人关于收购的决定；
（三）被收购的上市公司名称；
（四）收购目的；
（五）收购股份的详细名称和预定收购的股份数额；
（六）收购期限、收购价格；
（七）收购所需资金额及资金保证；
（八）公告上市公司收购报告书时持有被收购公司股份数占该公司已发行的股份总数的比例。
第六十七条 收购要约约定的收购期限不得少于三十日，并不得超过六十日。
第六十八条 在收购要约确定的承诺期限内，收购人不得撤销其收购要约。收购人需要变更收购要约的，应当及时公告，载明具体变更事项，且不得存在下列情形：
（一）降低收购价格；
（二）减少预定收购股份数额；
（三）缩短收购期限；
（四）国务院证券监督管理机构规定的其他情形。
第六十九条 收购要约提出的各项收购条件，适用于被收购公司的所有股东。
上市公司发行不同种类股份的，收购人可以针对不同种类股份提出不同的收购条件。
第七十条 采取要约收购方式的，收购人在收购期限内，不得卖出被收购公司的股票，也不得采取要约规定以外的形式和超出要约的条件买入被收购公司的股票。
第七十一条 采取协议收购方式的，收购人可以依照法律、行政法规的规定同被收购公司的股东以协议方式进行股份转让。
以协议方式收购上市公司时，达成协议后，收购人必须在三日内将该收购协议向国务院证券监督管理机构及证券交易所作出书面报告，并予公告。
在公告前不得履行收购协议。
第七十二条 采取协议收购方式的，协议双方可以临时委托证券登记结算机构保管协议转让的股票，并将资金存放于指定的银行。
第七十三条 采取协议收购方式的，收购人收购或者通过协议、其他安排与他人共同收购一个上市公司已发行的有表决权股份达到百分之三十时，继续进行收购的，应当依法向该上市公司所有股东发出收购上市公司全部或者部分股份的要约。但是，按照国务院证券监督管理机构的规定免除发出要约的除外。
收购人依照前款规定以要约方式收购上市公司股份，应当遵守本法第六十五条第二款、第六十六条至第七十条的规定。
第七十四条 收购期限届满，被收购公司股权分布不符合证券交易所规定的上市交易要求的，该上市公司的股票应当由证券交易所依法终止上市交易；其余仍持有被收购公司股票的股东，有权向收购人以收购要约的同等条件出售其股票，收购人应当收购。
收购行为完成后，被收购公司不再具备股份有限公司条件的，应当依法变更企业形式。
第七十五条 在上市公司收购中，收购人持有的被收购的上市公司的股票，在收购行为完成后的十八个月内不得转让。
第七十六条 收购行为完成后，收购人与被收购公司合并，并将该公司解散的，被解散公司的原有股票由收购人依法更换。
收购行为完成后，收购人应当在十五日内将收购情况报告国务院证券监督管理机构和证券交易所，并予公告。
第七十七条 国务院证券监督管理机构依照本法制定上市公司收购的具体办法。
上市公司分立或者被其他公司合并，应当向国务院证券监督管理机构报告，并予公告。
第五章 信息披露
第七十八条 发行人及法律、行政法规和国务院证券监督管理机构规定的其他信息披露义务人，应当及时依法履行信息披露义务。
信息披露义务人披露的信息，应当真实、准确、完整，简明清晰，通俗易懂，不得有虚假记载、误导性陈述或者重大遗漏。
证券同时在境内境外公开发行、交易的，其信息披露义务人在境外披露的信息，应当在境内同时披露。
第七十九条 上市公司、公司债券上市交易的公司、股票在国务院批准的其他全国性证券交易场所交易的公司，应当按照国务院证券监督管理机构和证券交易场所规定的内容和格式编制定期报告，并按照以下规定报送和公告：
（一）在每一会计年度结束之日起四个月内，报送并公告年度报告，其中的年度财务会计报告应当经符合本法规定的会计师事务所审计；
（二）在每一会计年度的上半年结束之日起二个月内，报送并公告中期报告。
第八十条 发生可能对上市公司、股票在国务院批准的其他全国性证券交易场所交易的公司的股票交易价格产生较大影响的重大事件，投资者尚未得知时，公司应当立即将有关该重大事件的情况向国务院证券监督管理机构和证券交易场所报送临时报告，并予公告，说明事件的起因、目前的状态和可能产生的法律后果。
前款所称重大事件包括：
（一）公司的经营方针和经营范围的重大变化；
（二）公司的重大投资行为，公司在一年内购买、出售重大资产超过公司资产总额百分之三十，或者公司营业用主要资产的抵押、质押、出售或者报废一次超过该资产的百分之三十；
（三）公司订立重要合同、提供重大担保或者从事关联交易，可能对公司的资产、负债、权益和经营成果产生重要影响；
（四）公司发生重大债务和未能清偿到期重大债务的违约情况；
（五）公司发生重大亏损或者重大损失；
（六）公司生产经营的外部条件发生的重大变化；
（七）公司的董事、三分之一以上监事或者经理发生变动，董事长或者经理无法履行职责；
（八）持有公司百分之五以上股份的股东或者实际控制人持有股份或者控制公司的情况发生较大变化，公司的实际控制人及其控制的其他企业从事与公司相同或者相似业务的情况发生较大变化；
（九）公司分配股利、增资的计划，公司股权结构的重要变化，公司减资、合并、分立、解散及申请破产的决定，或者依法进入破产程序、被责令关闭；
（十）涉及公司的重大诉讼、仲裁，股东大会、董事会决议被依法撤销或者宣告无效；
（十一）公司涉嫌犯罪被依法立案调查，公司的控股股东、实际控制人、董事、监事、高级管理人员涉嫌犯罪被依法采取强制措施；
（十二）国务院证券监督管理机构规定的其他事项。
公司的控股股东或者实际控制人对重大事件的发生、进展产生较大影响的，应当及时将其知悉的有关情况书面告知公司，并配合公司履行信息披露义务。
第八十一条 发生可能对上市交易公司债券的交易价格产生较大影响的重大事件，投资者尚未得知时，公司应当立即将有关该重大事件的情况向国务院证券监督管理机构和证券交易场所报送临时报告，并予公告，说明事件的起因、目前的状态和可能产生的法律后果。
前款所称重大事件包括：
（一）公司股权结构或者生产经营状况发生重大变化；
（二）公司债券信用评级发生变化；
（三）公司重大资产抵押、质押、出售、转让、报废；
（四）公司发生未能清偿到期债务的情况；
（五）公司新增借款或者对外提供担保超过上年末净资产的百分之二十；
（六）公司放弃债权或者财产超过上年末净资产的百分之十；
（七）公司发生超过上年末净资产百分之十的重大损失；
（八）公司分配股利，作出减资、合并、分立、解散及申请破产的决定，或者依法进入破产程序、被责令关闭；
（九）涉及公司的重大诉讼、仲裁；
（十）公司涉嫌犯罪被依法立案调查，公司的控股股东、实际控制人、董事、监事、高级管理人员涉嫌犯罪被依法采取强制措施；
（十一）国务院证券监督管理机构规定的其他事项。
第八十二条 发行人的董事、高级管理人员应当对证券发行文件和定期报告签署书面确认意见。
发行人的监事会应当对董事会编制的证券发行文件和定期报告进行审核并提出书面审核意见。监事应当签署书面确认意见。
发行人的董事、监事和高级管理人员应当保证发行人及时、公平地披露信息，所披露的信息真实、准确、完整。
董事、监事和高级管理人员无法保证证券发行文件和定期报告内容的真实性、准确性、完整性或者有异议的，应当在书面确认意见中发表意见并陈述理由，发行人应当披露。发行人不予披露的，董事、监事和高级管理人员可以直接申请披露。
第八十三条 信息披露义务人披露的信息应当同时向所有投资者披露，不得提前向任何单位和个人泄露。但是，法律、行政法规另有规定的除外。
任何单位和个人不得非法要求信息披露义务人提供依法需要披露但尚未披露的信息。任何单位和个人提前获知的前述信息，在依法披露前应当保密。
第八十四条 除依法需要披露的信息之外，信息披露义务人可以自愿披露与投资者作出价值判断和投资决策有关的信息，但不得与依法披露的信息相冲突，不得误导投资者。
发行人及其控股股东、实际控制人、董事、监事、高级管理人员等作出公开承诺的，应当披露。不履行承诺给投资者造成损失的，应当依法承担赔偿责任。
第八十五条 信息披露义务人未按照规定披露信息，或者公告的证券发行文件、定期报告、临时报告及其他信息披露资料存在虚假记载、误导性陈述或者重大遗漏，致使投资者在证券交易中遭受损失的，信息披露义务人应当承担赔偿责任；发行人的控股股东、实际控制人、董事、监事、高级管理人员和其他直接责任人员以及保荐人、承销的证券公司及其直接责任人员，应当与发行人承担连带赔偿责任，但是能够证明自己没有过错的除外。
第八十六条 依法披露的信息，应当在证券交易场所的网站和符合国务院证券监督管理机构规定条件的媒体发布，同时将其置备于公司住所、证券交易场所，供社会公众查阅。
第八十七条 国务院证券监督管理机构对信息披露义务人的信息披露行为进行监督管理。
证券交易场所应当对其组织交易的证券的信息披露义务人的信息披露行为进行监督，督促其依法及时、准确地披露信息。
第六章 投资者保护
第八十八条 证券公司向投资者销售证券、提供服务时，应当按照规定充分了解投资者的基本情况、财产状况、金融资产状况、投资知识和经验、专业能力等相关信息；如实说明证券、服务的重要内容，充分揭示投资风险；销售、提供与投资者上述状况相匹配的证券、服务。
投资者在购买证券或者接受服务时，应当按照证券公司明示的要求提供前款所列真实信息。拒绝提供或者未按照要求提供信息的，证券公司应当告知其后果，并按照规定拒绝向其销售证券、提供服务。
证券公司违反第一款规定导致投资者损失的，应当承担相应的赔偿责任。
第八十九条 根据财产状况、金融资产状况、投资知识和经验、专业能力等因素，投资者可以分为普通投资者和专业投资者。专业投资者的标准由国务院证券监督管理机构规定。
普通投资者与证券公司发生纠纷的，证券公司应当证明其行为符合法律、行政法规以及国务院证券监督管理机构的规定，不存在误导、欺诈等情形。证券公司不能证明的，应当承担相应的赔偿责任。
第九十条 上市公司董事会、独立董事、持有百分之一以上有表决权股份的股东或者依照法律、行政法规或者国务院证券监督管理机构的规定设立的投资者保护机构（以下简称投资者保护机构），可以作为征集人，自行或者委托证券公司、证券服务机构，公开请求上市公司股东委托其代为出席股东大会，并代为行使提案权、表决权等股东权利。
依照前款规定征集股东权利的，征集人应当披露征集文件，上市公司应当予以配合。
禁止以有偿或者变相有偿的方式公开征集股东权利。
公开征集股东权利违反法律、行政法规或者国务院证券监督管理机构有关规定，导致上市公司或者其股东遭受损失的，应当依法承担赔偿责任。
第九十一条 上市公司应当在章程中明确分配现金股利的具体安排和决策程序，依法保障股东的资产收益权。
上市公司当年税后利润，在弥补亏损及提取法定公积金后有盈余的，应当按照公司章程的规定分配现金股利。
第九十二条 公开发行公司债券的，应当设立债券持有人会议，并应当在募集说明书中说明债券持有人会议的召集程序、会议规则和其他重要事项。
公开发行公司债券的，发行人应当为债券持有人聘请债券受托管理人，并订立债券受托管理协议。受托管理人应当由本次发行的承销机构或者其他经国务院证券监督管理机构认可的机构担任，债券持有人会议可以决议变更债券受托管理人。债券受托管理人应当勤勉尽责，公正履行受托管理职责，不得损害债券持有人利益。
债券发行人未能按期兑付债券本息的，债券受托管理人可以接受全部或者部分债券持有人的委托，以自己名义代表债券持有人提起、参加民事诉讼或者清算程序。
第九十三条 发行人因欺诈发行、虚假陈述或者其他重大违法行为给投资者造成损失的，发行人的控股股东、实际控制人、相关的证券公司可以委托投资者保护机构，就赔偿事宜与受到损失的投资者达成协议，予以先行赔付。先行赔付后，可以依法向发行人以及其他连带责任人追偿。
第九十四条 投资者与发行人、证券公司等发生纠纷的，双方可以向投资者保护机构申请调解。普通投资者与证券公司发生证券业务纠纷，普通投资者提出调解请求的，证券公司不得拒绝。
投资者保护机构对损害投资者利益的行为，可以依法支持投资者向人民法院提起诉讼。
发行人的董事、监事、高级管理人员执行公司职务时违反法律、行政法规或者公司章程的规定给公司造成损失，发行人的控股股东、实际控制人等侵犯公司合法权益给公司造成损失，投资者保护机构持有该公司股份的，可以为公司的利益以自己的名义向人民法院提起诉讼，持股比例和持股期限不受《中华人民共和国公司法》规定的限制。
第九十五条 投资者提起虚假陈述等证券民事赔偿诉讼时，诉讼标的是同一种类，且当事人一方人数众多的，可以依法推选代表人进行诉讼。
对按照前款规定提起的诉讼，可能存在有相同诉讼请求的其他众多投资者的，人民法院可以发出公告，说明该诉讼请求的案件情况，通知投资者在一定期间向人民法院登记。人民法院作出的判决、裁定，对参加登记的投资者发生效力。
投资者保护机构受五十名以上投资者委托，可以作为代表人参加诉讼，并为经证券登记结算机构确认的权利人依照前款规定向人民法院登记，但投资者明确表示不愿意参加该诉讼的除外。
第七章 证券交易场所
第九十六条 证券交易所、国务院批准的其他全国性证券交易场所为证券集中交易提供场所和设施，组织和监督证券交易，实行自律管理，依法登记，取得法人资格。
证券交易所、国务院批准的其他全国性证券交易场所的设立、变更和解散由国务院决定。
国务院批准的其他全国性证券交易场所的组织机构、管理办法等，由国务院规定。
第九十七条 证券交易所、国务院批准的其他全国性证券交易场所可以根据证券品种、行业特点、公司规模等因素设立不同的市场层次。
第九十八条 按照国务院规定设立的区域性股权市场为非公开发行证券的发行、转让提供场所和设施，具体管理办法由国务院规定。
第九十九条 证券交易所履行自律管理职能，应当遵守社会公共利益优先原则，维护市场的公平、有序、透明。
设立证券交易所必须制定章程。证券交易所章程的制定和修改，必须经国务院证券监督管理机构批准。
第一百条 证券交易所必须在其名称中标明证券交易所字样。其他任何单位或者个人不得使用证券交易所或者近似的名称。
第一百零一条 证券交易所可以自行支配的各项费用收入，应当首先用于保证其证券交易场所和设施的正常运行并逐步改善。
实行会员制的证券交易所的财产积累归会员所有，其权益由会员共同享有，在其存续期间，不得将其财产积累分配给会员。
第一百零二条 实行会员制的证券交易所设理事会、监事会。
证券交易所设总经理一人，由国务院证券监督管理机构任免。
第一百零三条 有《中华人民共和国公司法》第一百四十六条规定的情形或者下列情形之一的，不得担任证券交易所的负责人：
（一）因违法行为或者违纪行为被解除职务的证券交易场所、证券登记结算机构的负责人或者证券公司的董事、监事、高级管理人员，自被解除职务之日起未逾五年；
（二）因违法行为或者违纪行为被吊销执业证书或者被取消资格的律师、注册会计师或者其他证券服务机构的专业人员，自被吊销执业证书或者被取消资格之日起未逾五年。
第一百零四条 因违法行为或者违纪行为被开除的证券交易场所、证券公司、证券登记结算机构、证券服务机构的从业人员和被开除的国家机关工作人员，不得招聘为证券交易所的从业人员。
第一百零五条 进入实行会员制的证券交易所参与集中交易的，必须是证券交易所的会员。证券交易所不得允许非会员直接参与股票的集中交易。
第一百零六条 投资者应当与证券公司签订证券交易委托协议，并在证券公司实名开立账户，以书面、电话、自助终端、网络等方式，委托该证券公司代其买卖证券。
第一百零七条 证券公司为投资者开立账户，应当按照规定对投资者提供的身份信息进行核对。
证券公司不得将投资者的账户提供给他人使用。
投资者应当使用实名开立的账户进行交易。
第一百零八条 证券公司根据投资者的委托，按照证券交易规则提出交易申报，参与证券交易所场内的集中交易，并根据成交结果承担相应的清算交收责任。证券登记结算机构根据成交结果，按照清算交收规则，与证券公司进行证券和资金的清算交收，并为证券公司客户办理证券的登记过户手续。
第一百零九条 证券交易所应当为组织公平的集中交易提供保障，实时公布证券交易即时行情，并按交易日制作证券市场行情表，予以公布。
证券交易即时行情的权益由证券交易所依法享有。未经证券交易所许可，任何单位和个人不得发布证券交易即时行情。
第一百一十条 上市公司可以向证券交易所申请其上市交易股票的停牌或者复牌，但不得滥用停牌或者复牌损害投资者的合法权益。
证券交易所可以按照业务规则的规定，决定上市交易股票的停牌或者复牌。
第一百一十一条 因不可抗力、意外事件、重大技术故障、重大人为差错等突发性事件而影响证券交易正常进行时，为维护证券交易正常秩序和市场公平，证券交易所可以按照业务规则采取技术性停牌、临时停市等处置措施，并应当及时向国务院证券监督管理机构报告。
因前款规定的突发性事件导致证券交易结果出现重大异常，按交易结果进行交收将对证券交易正常秩序和市场公平造成重大影响的，证券交易所按照业务规则可以采取取消交易、通知证券登记结算机构暂缓交收等措施，并应当及时向国务院证券监督管理机构报告并公告。
证券交易所对其依照本条规定采取措施造成的损失，不承担民事赔偿责任，但存在重大过错的除外。
第一百一十二条 证券交易所对证券交易实行实时监控，并按照国务院证券监督管理机构的要求，对异常的交易情况提出报告。
证券交易所根据需要，可以按照业务规则对出现重大异常交易情况的证券账户的投资者限制交易，并及时报告国务院证券监督管理机构。
第一百一十三条 证券交易所应当加强对证券交易的风险监测，出现重大异常波动的，证券交易所可以按照业务规则采取限制交易、强制停牌等处置措施，并向国务院证券监督管理机构报告；严重影响证券市场稳定的，证券交易所可以按照业务规则采取临时停市等处置措施并公告。
证券交易所对其依照本条规定采取措施造成的损失，不承担民事赔偿责任，但存在重大过错的除外。
第一百一十四条 证券交易所应当从其收取的交易费用和会员费、席位费中提取一定比例的金额设立风险基金。风险基金由证券交易所理事会管理。
风险基金提取的具体比例和使用办法，由国务院证券监督管理机构会同国务院财政部门规定。
证券交易所应当将收存的风险基金存入开户银行专门账户，不得擅自使用。
第一百一十五条 证券交易所依照法律、行政法规和国务院证券监督管理机构的规定，制定上市规则、交易规则、会员管理规则和其他有关业务规则，并报国务院证券监督管理机构批准。
在证券交易所从事证券交易，应当遵守证券交易所依法制定的业务规则。违反业务规则的，由证券交易所给予纪律处分或者采取其他自律管理措施。
第一百一十六条 证券交易所的负责人和其他从业人员执行与证券交易有关的职务时，与其本人或者其亲属有利害关系的，应当回避。
第一百一十七条 按照依法制定的交易规则进行的交易，不得改变其交易结果，但本法第一百一十一条第二款规定的除外。对交易中违规交易者应负的民事责任不得免除；在违规交易中所获利益，依照有关规定处理。
第八章 证券公司
第一百一十八条 设立证券公司，应当具备下列条件，并经国务院证券监督管理机构批准：
（一）有符合法律、行政法规规定的公司章程；
（二）主要股东及公司的实际控制人具有良好的财务状况和诚信记录，最近三年无重大违法违规记录；
（三）有符合本法规定的公司注册资本；
（四）董事、监事、高级管理人员、从业人员符合本法规定的条件；
（五）有完善的风险管理与内部控制制度；
（六）有合格的经营场所、业务设施和信息技术系统；
（七）法律、行政法规和经国务院批准的国务院证券监督管理机构规定的其他条件。
未经国务院证券监督管理机构批准，任何单位和个人不得以证券公司名义开展证券业务活动。
第一百一十九条 国务院证券监督管理机构应当自受理证券公司设立申请之日起六个月内，依照法定条件和法定程序并根据审慎监管原则进行审查，作出批准或者不予批准的决定，并通知申请人；不予批准的，应当说明理由。
证券公司设立申请获得批准的，申请人应当在规定的期限内向公司登记机关申请设立登记，领取营业执照。
证券公司应当自领取营业执照之日起十五日内，向国务院证券监督管理机构申请经营证券业务许可证。未取得经营证券业务许可证，证券公司不得经营证券业务。
第一百二十条 经国务院证券监督管理机构核准，取得经营证券业务许可证，证券公司可以经营下列部分或者全部证券业务：
（一）证券经纪；
（二）证券投资咨询；
（三）与证券交易、证券投资活动有关的财务顾问；
（四）证券承销与保荐；
（五）证券融资融券；
（六）证券做市交易；
（七）证券自营；
（八）其他证券业务。
国务院证券监督管理机构应当自受理前款规定事项申请之日起三个月内，依照法定条件和程序进行审查，作出核准或者不予核准的决定，并通知申请人；不予核准的，应当说明理由。
证券公司经营证券资产管理业务的，应当符合《中华人民共和国证券投资基金法》等法律、行政法规的规定。
除证券公司外，任何单位和个人不得从事证券承销、证券保荐、证券经纪和证券融资融券业务。
证券公司从事证券融资融券业务，应当采取措施，严格防范和控制风险，不得违反规定向客户出借资金或者证券。
第一百二十一条 证券公司经营本法第一百二十条第一款第（一）项至第（三）项业务的，注册资本最低限额为人民币五千万元；经营第（四）项至第（八）项业务之一的，注册资本最低限额为人民币一亿元；经营第（四）项至第（八）项业务中两项以上的，注册资本最低限额为人民币五亿元。证券公司的注册资本应当是实缴资本。
国务院证券监督管理机构根据审慎监管原则和各项业务的风险程度，可以调整注册资本最低限额，但不得少于前款规定的限额。
第一百二十二条 证券公司变更证券业务范围，变更主要股东或者公司的实际控制人，合并、分立、停业、解散、破产，应当经国务院证券监督管理机构核准。
第一百二十三条 国务院证券监督管理机构应当对证券公司净资本和其他风险控制指标作出规定。
证券公司除依照规定为其客户提供融资融券外，不得为其股东或者股东的关联人提供融资或者担保。
第一百二十四条 证券公司的董事、监事、高级管理人员，应当正直诚实、品行良好，熟悉证券法律、行政法规，具有履行职责所需的经营管理能力。证券公司任免董事、监事、高级管理人员，应当报国务院证券监督管理机构备案。
有《中华人民共和国公司法》第一百四十六条规定的情形或者下列情形之一的，不得担任证券公司的董事、监事、高级管理人员：
（一）因违法行为或者违纪行为被解除职务的证券交易场所、证券登记结算机构的负责人或者证券公司的董事、监事、高级管理人员，自被解除职务之日起未逾五年；
（二）因违法行为或者违纪行为被吊销执业证书或者被取消资格的律师、注册会计师或者其他证券服务机构的专业人员，自被吊销执业证书或者被取消资格之日起未逾五年。
第一百二十五条 证券公司从事证券业务的人员应当品行良好，具备从事证券业务所需的专业能力。
因违法行为或者违纪行为被开除的证券交易场所、证券公司、证券登记结算机构、证券服务机构的从业人员和被开除的国家机关工作人员，不得招聘为证券公司的从业人员。
国家机关工作人员和法律、行政法规规定的禁止在公司中兼职的其他人员，不得在证券公司中兼任职务。
第一百二十六条 国家设立证券投资者保护基金。证券投资者保护基金由证券公司缴纳的资金及其他依法筹集的资金组成，其规模以及筹集、管理和使用的具体办法由国务院规定。
第一百二十七条 证券公司从每年的业务收入中提取交易风险准备金，用于弥补证券经营的损失，其提取的具体比例由国务院证券监督管理机构会同国务院财政部门规定。
第一百二十八条 证券公司应当建立健全内部控制制度，采取有效隔离措施，防范公司与客户之间、不同客户之间的利益冲突。
证券公司必须将其证券经纪业务、证券承销业务、证券自营业务、证券做市业务和证券资产管理业务分开办理，不得混合操作。
第一百二十九条 证券公司的自营业务必须以自己的名义进行，不得假借他人名义或者以个人名义进行。
证券公司的自营业务必须使用自有资金和依法筹集的资金。
证券公司不得将其自营账户借给他人使用。
第一百三十条 证券公司应当依法审慎经营，勤勉尽责，诚实守信。
证券公司的业务活动，应当与其治理结构、内部控制、合规管理、风险管理以及风险控制指标、从业人员构成等情况相适应，符合审慎监管和保护投资者合法权益的要求。
证券公司依法享有自主经营的权利，其合法经营不受干涉。
第一百三十一条 证券公司客户的交易结算资金应当存放在商业银行，以每个客户的名义单独立户管理。
证券公司不得将客户的交易结算资金和证券归入其自有财产。禁止任何单位或者个人以任何形式挪用客户的交易结算资金和证券。证券公司破产或者清算时，客户的交易结算资金和证券不属于其破产财产或者清算财产。非因客户本身的债务或者法律规定的其他情形，不得查封、冻结、扣划或者强制执行客户的交易结算资金和证券。
第一百三十二条 证券公司办理经纪业务，应当置备统一制定的证券买卖委托书，供委托人使用。采取其他委托方式的，必须作出委托记录。
客户的证券买卖委托，不论是否成交，其委托记录应当按照规定的期限，保存于证券公司。
第一百三十三条 证券公司接受证券买卖的委托，应当根据委托书载明的证券名称、买卖数量、出价方式、价格幅度等，按照交易规则代理买卖证券，如实进行交易记录；买卖成交后，应当按照规定制作买卖成交报告单交付客户。
证券交易中确认交易行为及其交易结果的对账单必须真实，保证账面证券余额与实际持有的证券相一致。
第一百三十四条 证券公司办理经纪业务，不得接受客户的全权委托而决定证券买卖、选择证券种类、决定买卖数量或者买卖价格。
证券公司不得允许他人以证券公司的名义直接参与证券的集中交易。
第一百三十五条 证券公司不得对客户证券买卖的收益或者赔偿证券买卖的损失作出承诺。
第一百三十六条 证券公司的从业人员在证券交易活动中，执行所属的证券公司的指令或者利用职务违反交易规则的，由所属的证券公司承担全部责任。
证券公司的从业人员不得私下接受客户委托买卖证券。
第一百三十七条 证券公司应当建立客户信息查询制度，确保客户能够查询其账户信息、委托记录、交易记录以及其他与接受服务或者购买产品有关的重要信息。
证券公司应当妥善保存客户开户资料、委托记录、交易记录和与内部管理、业务经营有关的各项信息，任何人不得隐匿、伪造、篡改或者毁损。上述信息的保存期限不得少于二十年。
第一百三十八条 证券公司应当按照规定向国务院证券监督管理机构报送业务、财务等经营管理信息和资料。国务院证券监督管理机构有权要求证券公司及其主要股东、实际控制人在指定的期限内提供有关信息、资料。
证券公司及其主要股东、实际控制人向国务院证券监督管理机构报送或者提供的信息、资料，必须真实、准确、完整。
第一百三十九条 国务院证券监督管理机构认为有必要时，可以委托会计师事务所、资产评估机构对证券公司的财务状况、内部控制状况、资产价值进行审计或者评估。具体办法由国务院证券监督管理机构会同有关主管部门制定。
第一百四十条 证券公司的治理结构、合规管理、风险控制指标不符合规定的，国务院证券监督管理机构应当责令其限期改正；逾期未改正，或者其行为严重危及该证券公司的稳健运行、损害客户合法权益的，国务院证券监督管理机构可以区别情形，对其采取下列措施：
（一）限制业务活动，责令暂停部分业务，停止核准新业务；
（二）限制分配红利，限制向董事、监事、高级管理人员支付报酬、提供福利；
（三）限制转让财产或者在财产上设定其他权利；
（四）责令更换董事、监事、高级管理人员或者限制其权利；
（五）撤销有关业务许可；
（六）认定负有责任的董事、监事、高级管理人员为不适当人选；
（七）责令负有责任的股东转让股权，限制负有责任的股东行使股东权利。
证券公司整改后，应当向国务院证券监督管理机构提交报告。国务院证券监督管理机构经验收，治理结构、合规管理、风险控制指标符合规定的，应当自验收完毕之日起三日内解除对其采取的前款规定的有关限制措施。
第一百四十一条 证券公司的股东有虚假出资、抽逃出资行为的，国务院证券监督管理机构应当责令其限期改正，并可责令其转让所持证券公司的股权。
在前款规定的股东按照要求改正违法行为、转让所持证券公司的股权前，国务院证券监督管理机构可以限制其股东权利。
第一百四十二条 证券公司的董事、监事、高级管理人员未能勤勉尽责，致使证券公司存在重大违法违规行为或者重大风险的，国务院证券监督管理机构可以责令证券公司予以更换。
第一百四十三条 证券公司违法经营或者出现重大风险，严重危害证券市场秩序、损害投资者利益的，国务院证券监督管理机构可以对该证券公司采取责令停业整顿、指定其他机构托管、接管或者撤销等监管措施。
第一百四十四条 在证券公司被责令停业整顿、被依法指定托管、接管或者清算期间，或者出现重大风险时，经国务院证券监督管理机构批准，可以对该证券公司直接负责的董事、监事、高级管理人员和其他直接责任人员采取以下措施：
（一）通知出境入境管理机关依法阻止其出境；
（二）申请司法机关禁止其转移、转让或者以其他方式处分财产，或者在财产上设定其他权利。
第九章 证券登记结算机构
第一百四十五条 证券登记结算机构为证券交易提供集中登记、存管与结算服务，不以营利为目的，依法登记，取得法人资格。
设立证券登记结算机构必须经国务院证券监督管理机构批准。
第一百四十六条 设立证券登记结算机构，应当具备下列条件：
（一）自有资金不少于人民币二亿元；
（二）具有证券登记、存管和结算服务所必须的场所和设施；
（三）国务院证券监督管理机构规定的其他条件。
证券登记结算机构的名称中应当标明证券登记结算字样。
第一百四十七条 证券登记结算机构履行下列职能：
（一）证券账户、结算账户的设立；
（二）证券的存管和过户；
（三）证券持有人名册登记；
（四）证券交易的清算和交收；
（五）受发行人的委托派发证券权益；
（六）办理与上述业务有关的查询、信息服务；
（七）国务院证券监督管理机构批准的其他业务。
第一百四十八条 在证券交易所和国务院批准的其他全国性证券交易场所交易的证券的登记结算，应当采取全国集中统一的运营方式。
前款规定以外的证券，其登记、结算可以委托证券登记结算机构或者其他依法从事证券登记、结算业务的机构办理。
第一百四十九条 证券登记结算机构应当依法制定章程和业务规则，并经国务院证券监督管理机构批准。证券登记结算业务参与人应当遵守证券登记结算机构制定的业务规则。
第一百五十条 在证券交易所或者国务院批准的其他全国性证券交易场所交易的证券，应当全部存管在证券登记结算机构。
证券登记结算机构不得挪用客户的证券。
第一百五十一条 证券登记结算机构应当向证券发行人提供证券持有人名册及有关资料。
证券登记结算机构应当根据证券登记结算的结果，确认证券持有人持有证券的事实，提供证券持有人登记资料。
证券登记结算机构应当保证证券持有人名册和登记过户记录真实、准确、完整，不得隐匿、伪造、篡改或者毁损。
第一百五十二条 证券登记结算机构应当采取下列措施保证业务的正常进行：
（一）具有必备的服务设备和完善的数据安全保护措施；
（二）建立完善的业务、财务和安全防范等管理制度；
（三）建立完善的风险管理系统。
第一百五十三条 证券登记结算机构应当妥善保存登记、存管和结算的原始凭证及有关文件和资料。其保存期限不得少于二十年。
第一百五十四条 证券登记结算机构应当设立证券结算风险基金，用于垫付或者弥补因违约交收、技术故障、操作失误、不可抗力造成的证券登记结算机构的损失。
证券结算风险基金从证券登记结算机构的业务收入和收益中提取，并可以由结算参与人按照证券交易业务量的一定比例缴纳。
证券结算风险基金的筹集、管理办法，由国务院证券监督管理机构会同国务院财政部门规定。
第一百五十五条 证券结算风险基金应当存入指定银行的专门账户，实行专项管理。
证券登记结算机构以证券结算风险基金赔偿后，应当向有关责任人追偿。
第一百五十六条 证券登记结算机构申请解散，应当经国务院证券监督管理机构批准。
第一百五十七条 投资者委托证券公司进行证券交易，应当通过证券公司申请在证券登记结算机构开立证券账户。证券登记结算机构应当按照规定为投资者开立证券账户。
投资者申请开立账户，应当持有证明中华人民共和国公民、法人、合伙企业身份的合法证件。国家另有规定的除外。
第一百五十八条 证券登记结算机构作为中央对手方提供证券结算服务的，是结算参与人共同的清算交收对手，进行净额结算，为证券交易提供集中履约保障。
证券登记结算机构为证券交易提供净额结算服务时，应当要求结算参与人按照货银对付的原则，足额交付证券和资金，并提供交收担保。
在交收完成之前，任何人不得动用用于交收的证券、资金和担保物。
结算参与人未按时履行交收义务的，证券登记结算机构有权按照业务规则处理前款所述财产。
第一百五十九条 证券登记结算机构按照业务规则收取的各类结算资金和证券，必须存放于专门的清算交收账户，只能按业务规则用于已成交的证券交易的清算交收，不得被强制执行。
第十章 证券服务机构
第一百六十条 会计师事务所、律师事务所以及从事证券投资咨询、资产评估、资信评级、财务顾问、信息技术系统服务的证券服务机构，应当勤勉尽责、恪尽职守，按照相关业务规则为证券的交易及相关活动提供服务。
从事证券投资咨询服务业务，应当经国务院证券监督管理机构核准；未经核准，不得为证券的交易及相关活动提供服务。从事其他证券服务业务，应当报国务院证券监督管理机构和国务院有关主管部门备案。
第一百六十一条 证券投资咨询机构及其从业人员从事证券服务业务不得有下列行为：
（一）代理委托人从事证券投资；
（二）与委托人约定分享证券投资收益或者分担证券投资损失；
（三）买卖本证券投资咨询机构提供服务的证券；
（四）法律、行政法规禁止的其他行为。
有前款所列行为之一，给投资者造成损失的，应当依法承担赔偿责任。
第一百六十二条 证券服务机构应当妥善保存客户委托文件、核查和验证资料、工作底稿以及与质量控制、内部管理、业务经营有关的信息和资料，任何人不得泄露、隐匿、伪造、篡改或者毁损。上述信息和资料的保存期限不得少于十年，自业务委托结束之日起算。
第一百六十三条 证券服务机构为证券的发行、上市、交易等证券业务活动制作、出具审计报告及其他鉴证报告、资产评估报告、财务顾问报告、资信评级报告或者法律意见书等文件，应当勤勉尽责，对所依据的文件资料内容的真实性、准确性、完整性进行核查和验证。其制作、出具的文件有虚假记载、误导性陈述或者重大遗漏，给他人造成损失的，应当与委托人承担连带赔偿责任，但是能够证明自己没有过错的除外。
第十一章 证券业协会
第一百六十四条 证券业协会是证券业的自律性组织，是社会团体法人。
证券公司应当加入证券业协会。
证券业协会的权力机构为全体会员组成的会员大会。
第一百六十五条 证券业协会章程由会员大会制定，并报国务院证券监督管理机构备案。
第一百六十六条 证券业协会履行下列职责：
（一）教育和组织会员及其从业人员遵守证券法律、行政法规，组织开展证券行业诚信建设，督促证券行业履行社会责任；
（二）依法维护会员的合法权益，向证券监督管理机构反映会员的建议和要求；
（三）督促会员开展投资者教育和保护活动，维护投资者合法权益；
（四）制定和实施证券行业自律规则，监督、检查会员及其从业人员行为，对违反法律、行政法规、自律规则或者协会章程的，按照规定给予纪律处分或者实施其他自律管理措施；
（五）制定证券行业业务规范，组织从业人员的业务培训；
（六）组织会员就证券行业的发展、运作及有关内容进行研究，收集整理、发布证券相关信息，提供会员服务，组织行业交流，引导行业创新发展；
（七）对会员之间、会员与客户之间发生的证券业务纠纷进行调解；
（八）证券业协会章程规定的其他职责。
第一百六十七条 证券业协会设理事会。理事会成员依章程的规定由选举产生。
第十二章 证券监督管理机构
第一百六十八条 国务院证券监督管理机构依法对证券市场实行监督管理，维护证券市场公开、公平、公正，防范系统性风险，维护投资者合法权益，促进证券市场健康发展。
第一百六十九条 国务院证券监督管理机构在对证券市场实施监督管理中履行下列职责：
（一）依法制定有关证券市场监督管理的规章、规则，并依法进行审批、核准、注册，办理备案；
（二）依法对证券的发行、上市、交易、登记、存管、结算等行为，进行监督管理；
（三）依法对证券发行人、证券公司、证券服务机构、证券交易场所、证券登记结算机构的证券业务活动，进行监督管理；
（四）依法制定从事证券业务人员的行为准则，并监督实施；
（五）依法监督检查证券发行、上市、交易的信息披露；
（六）依法对证券业协会的自律管理活动进行指导和监督；
（七）依法监测并防范、处置证券市场风险；
（八）依法开展投资者教育；
（九）依法对证券违法行为进行查处；
（十）法律、行政法规规定的其他职责。
第一百七十条 国务院证券监督管理机构依法履行职责，有权采取下列措施：
（一）对证券发行人、证券公司、证券服务机构、证券交易场所、证券登记结算机构进行现场检查；
（二）进入涉嫌违法行为发生场所调查取证；
（三）询问当事人和与被调查事件有关的单位和个人，要求其对与被调查事件有关的事项作出说明；或者要求其按照指定的方式报送与被调查事件有关的文件和资料；
（四）查阅、复制与被调查事件有关的财产权登记、通讯记录等文件和资料；
（五）查阅、复制当事人和与被调查事件有关的单位和个人的证券交易记录、登记过户记录、财务会计资料及其他相关文件和资料；对可能被转移、隐匿或者毁损的文件和资料，可以予以封存、扣押；
（六）查询当事人和与被调查事件有关的单位和个人的资金账户、证券账户、银行账户以及其他具有支付、托管、结算等功能的账户信息，可以对有关文件和资料进行复制；对有证据证明已经或者可能转移或者隐匿违法资金、证券等涉案财产或者隐匿、伪造、毁损重要证据的，经国务院证券监督管理机构主要负责人或者其授权的其他负责人批准，可以冻结或者查封，期限为六个月；因特殊原因需要延长的，每次延长期限不得超过三个月，冻结、查封期限最长不得超过二年；
（七）在调查操纵证券市场、内幕交易等重大证券违法行为时，经国务院证券监督管理机构主要负责人或者其授权的其他负责人批准，可以限制被调查的当事人的证券买卖，但限制的期限不得超过三个月；案情复杂的，可以延长三个月；
（八）通知出境入境管理机关依法阻止涉嫌违法人员、涉嫌违法单位的主管人员和其他直接责任人员出境。
为防范证券市场风险，维护市场秩序，国务院证券监督管理机构可以采取责令改正、监管谈话、出具警示函等措施。
第一百七十一条 国务院证券监督管理机构对涉嫌证券违法的单位或者个人进行调查期间，被调查的当事人书面申请，承诺在国务院证券监督管理机构认可的期限内纠正涉嫌违法行为，赔偿有关投资者损失，消除损害或者不良影响的，国务院证券监督管理机构可以决定中止调查。被调查的当事人履行承诺的，国务院证券监督管理机构可以决定终止调查；被调查的当事人未履行承诺或者有国务院规定的其他情形的，应当恢复调查。具体办法由国务院规定。
国务院证券监督管理机构决定中止或者终止调查的，应当按照规定公开相关信息。
第一百七十二条 国务院证券监督管理机构依法履行职责，进行监督检查或者调查，其监督检查、调查的人员不得少于二人，并应当出示合法证件和监督检查、调查通知书或者其他执法文书。监督检查、调查的人员少于二人或者未出示合法证件和监督检查、调查通知书或者其他执法文书的，被检查、调查的单位和个人有权拒绝。
第一百七十三条 国务院证券监督管理机构依法履行职责，被检查、调查的单位和个人应当配合，如实提供有关文件和资料，不得拒绝、阻碍和隐瞒。
第一百七十四条 国务院证券监督管理机构制定的规章、规则和监督管理工作制度应当依法公开。
国务院证券监督管理机构依据调查结果，对证券违法行为作出的处罚决定，应当公开。
第一百七十五条 国务院证券监督管理机构应当与国务院其他金融监督管理机构建立监督管理信息共享机制。
国务院证券监督管理机构依法履行职责，进行监督检查或者调查时，有关部门应当予以配合。
第一百七十六条 对涉嫌证券违法、违规行为，任何单位和个人有权向国务院证券监督管理机构举报。
对涉嫌重大违法、违规行为的实名举报线索经查证属实的，国务院证券监督管理机构按照规定给予举报人奖励。
国务院证券监督管理机构应当对举报人的身份信息保密。
第一百七十七条 国务院证券监督管理机构可以和其他国家或者地区的证券监督管理机构建立监督管理合作机制，实施跨境监督管理。
境外证券监督管理机构不得在中华人民共和国境内直接进行调查取证等活动。未经国务院证券监督管理机构和国务院有关主管部门同意，任何单位和个人不得擅自向境外提供与证券业务活动有关的文件和资料。
第一百七十八条 国务院证券监督管理机构依法履行职责，发现证券违法行为涉嫌犯罪的，应当依法将案件移送司法机关处理；发现公职人员涉嫌职务违法或者职务犯罪的，应当依法移送监察机关处理。
第一百七十九条 国务院证券监督管理机构工作人员必须忠于职守、依法办事、公正廉洁，不得利用职务便利牟取不正当利益，不得泄露所知悉的有关单位和个人的商业秘密。
国务院证券监督管理机构工作人员在任职期间，或者离职后在《中华人民共和国公务员法》规定的期限内，不得到与原工作业务直接相关的企业或者其他营利性组织任职，不得从事与原工作业务直接相关的营利性活动。
第十三章 法律责任
第一百八十条 违反本法第九条的规定，擅自公开或者变相公开发行证券的，责令停止发行，退还所募资金并加算银行同期存款利息，处以非法所募资金金额百分之五以上百分之五十以下的罚款；对擅自公开或者变相公开发行证券设立的公司，由依法履行监督管理职责的机构或者部门会同县级以上地方人民政府予以取缔。对直接负责的主管人员和其他直接责任人员给予警告，并处以五十万元以上五百万元以下的罚款。
第一百八十一条 发行人在其公告的证券发行文件中隐瞒重要事实或者编造重大虚假内容，尚未发行证券的，处以二百万元以上二千万元以下的罚款；已经发行证券的，处以非法所募资金金额百分之十以上一倍以下的罚款。对直接负责的主管人员和其他直接责任人员，处以一百万元以上一千万元以下的罚款。
发行人的控股股东、实际控制人组织、指使从事前款违法行为的，没收违法所得，并处以违法所得百分之十以上一倍以下的罚款；没有违法所得或者违法所得不足二千万元的，处以二百万元以上二千万元以下的罚款。对直接负责的主管人员和其他直接责任人员，处以一百万元以上一千万元以下的罚款。
第一百八十二条 保荐人出具有虚假记载、误导性陈述或者重大遗漏的保荐书，或者不履行其他法定职责的，责令改正，给予警告，没收业务收入，并处以业务收入一倍以上十倍以下的罚款；没有业务收入或者业务收入不足一百万元的，处以一百万元以上一千万元以下的罚款；情节严重的，并处暂停或者撤销保荐业务许可。对直接负责的主管人员和其他直接责任人员给予警告，并处以五十万元以上五百万元以下的罚款。
第一百八十三条 证券公司承销或者销售擅自公开发行或者变相公开发行的证券的，责令停止承销或者销售，没收违法所得，并处以违法所得一倍以上十倍以下的罚款；没有违法所得或者违法所得不足一百万元的，处以一百万元以上一千万元以下的罚款；情节严重的，并处暂停或者撤销相关业务许可。给投资者造成损失的，应当与发行人承担连带赔偿责任。对直接负责的主管人员和其他直接责任人员给予警告，并处以五十万元以上五百万元以下的罚款。
第一百八十四条 证券公司承销证券违反本法第二十九条规定的，责令改正，给予警告，没收违法所得，可以并处五十万元以上五百万元以下的罚款；情节严重的，暂停或者撤销相关业务许可。对直接负责的主管人员和其他直接责任人员给予警告，可以并处二十万元以上二百万元以下的罚款；情节严重的，并处以五十万元以上五百万元以下的罚款。
第一百八十五条 发行人违反本法第十四条、第十五条的规定擅自改变公开发行证券所募集资金的用途的，责令改正，处以五十万元以上五百万元以下的罚款；对直接负责的主管人员和其他直接责任人员给予警告，并处以十万元以上一百万元以下的罚款。
发行人的控股股东、实际控制人从事或者组织、指使从事前款违法行为的，给予警告，并处以五十万元以上五百万元以下的罚款；对直接负责的主管人员和其他直接责任人员，处以十万元以上一百万元以下的罚款。
第一百八十六条 违反本法第三十六条的规定，在限制转让期内转让证券，或者转让股票不符合法律、行政法规和国务院证券监督管理机构规定的，责令改正，给予警告，没收违法所得，并处以买卖证券等值以下的罚款。
第一百八十七条 法律、行政法规规定禁止参与股票交易的人员，违反本法第四十条的规定，直接或者以化名、借他人名义持有、买卖股票或者其他具有股权性质的证券的，责令依法处理非法持有的股票、其他具有股权性质的证券，没收违法所得，并处以买卖证券等值以下的罚款；属于国家工作人员的，还应当依法给予处分。
第一百八十八条 证券服务机构及其从业人员，违反本法第四十二条的规定买卖证券的，责令依法处理非法持有的证券，没收违法所得，并处以买卖证券等值以下的罚款。
第一百八十九条 上市公司、股票在国务院批准的其他全国性证券交易场所交易的公司的董事、监事、高级管理人员、持有该公司百分之五以上股份的股东，违反本法第四十四条的规定，买卖该公司股票或者其他具有股权性质的证券的，给予警告，并处以十万元以上一百万元以下的罚款。
第一百九十条 违反本法第四十五条的规定，采取程序化交易影响证券交易所系统安全或者正常交易秩序的，责令改正，并处以五十万元以上五百万元以下的罚款。对直接负责的主管人员和其他直接责任人员给予警告，并处以十万元以上一百万元以下的罚款。
第一百九十一条 证券交易内幕信息的知情人或者非法获取内幕信息的人违反本法第五十三条的规定从事内幕交易的，责令依法处理非法持有的证券，没收违法所得，并处以违法所得一倍以上十倍以下的罚款；没有违法所得或者违法所得不足五十万元的，处以五十万元以上五百万元以下的罚款。单位从事内幕交易的，还应当对直接负责的主管人员和其他直接责任人员给予警告，并处以二十万元以上二百万元以下的罚款。国务院证券监督管理机构工作人员从事内幕交易的，从重处罚。
违反本法第五十四条的规定，利用未公开信息进行交易的，依照前款的规定处罚。
第一百九十二条 违反本法第五十五条的规定，操纵证券市场的，责令依法处理其非法持有的证券，没收违法所得，并处以违法所得一倍以上十倍以下的罚款；没有违法所得或者违法所得不足一百万元的，处以一百万元以上一千万元以下的罚款。单位操纵证券市场的，还应当对直接负责的主管人员和其他直接责任人员给予警告，并处以五十万元以上五百万元以下的罚款。
第一百九十三条 违反本法第五十六条第一款、第三款的规定，编造、传播虚假信息或者误导性信息，扰乱证券市场的，没收违法所得，并处以违法所得一倍以上十倍以下的罚款；没有违法所得或者违法所得不足二十万元的，处以二十万元以上二百万元以下的罚款。
违反本法第五十六条第二款的规定，在证券交易活动中作出虚假陈述或者信息误导的，责令改正，处以二十万元以上二百万元以下的罚款；属于国家工作人员的，还应当依法给予处分。
传播媒介及其从事证券市场信息报道的工作人员违反本法第五十六条第三款的规定，从事与其工作职责发生利益冲突的证券买卖的，没收违法所得，并处以买卖证券等值以下的罚款。
第一百九十四条 证券公司及其从业人员违反本法第五十七条的规定，有损害客户利益的行为的，给予警告，没收违法所得，并处以违法所得一倍以上十倍以下的罚款；没有违法所得或者违法所得不足十万元的，处以十万元以上一百万元以下的罚款；情节严重的，暂停或者撤销相关业务许可。
第一百九十五条 违反本法第五十八条的规定，出借自己的证券账户或者借用他人的证券账户从事证券交易的，责令改正，给予警告，可以处五十万元以下的罚款。
第一百九十六条 收购人未按照本法规定履行上市公司收购的公告、发出收购要约义务的，责令改正，给予警告，并处以五十万元以上五百万元以下的罚款。对直接负责的主管人员和其他直接责任人员给予警告，并处以二十万元以上二百万元以下的罚款。
收购人及其控股股东、实际控制人利用上市公司收购，给被收购公司及其股东造成损失的，应当依法承担赔偿责任。
第一百九十七条 信息披露义务人未按照本法规定报送有关报告或者履行信息披露义务的，责令改正，给予警告，并处以五十万元以上五百万元以下的罚款；对直接负责的主管人员和其他直接责任人员给予警告，并处以二十万元以上二百万元以下的罚款。发行人的控股股东、实际控制人组织、指使从事上述违法行为，或者隐瞒相关事项导致发生上述情形的，处以五十万元以上五百万元以下的罚款；对直接负责的主管人员和其他直接责任人员，处以二十万元以上二百万元以下的罚款。
信息披露义务人报送的报告或者披露的信息有虚假记载、误导性陈述或者重大遗漏的，责令改正，给予警告，并处以一百万元以上一千万元以下的罚款；对直接负责的主管人员和其他直接责任人员给予警告，并处以五十万元以上五百万元以下的罚款。发行人的控股股东、实际控制人组织、指使从事上述违法行为，或者隐瞒相关事项导致发生上述情形的，处以一百万元以上一千万元以下的罚款；对直接负责的主管人员和其他直接责任人员，处以五十万元以上五百万元以下的罚款。
第一百九十八条 证券公司违反本法第八十八条的规定未履行或者未按照规定履行投资者适当性管理义务的，责令改正，给予警告，并处以十万元以上一百万元以下的罚款。对直接负责的主管人员和其他直接责任人员给予警告，并处以二十万元以下的罚款。
第一百九十九条 违反本法第九十条的规定征集股东权利的，责令改正，给予警告，可以处五十万元以下的罚款。
第二百条 非法开设证券交易场所的，由县级以上人民政府予以取缔，没收违法所得，并处以违法所得一倍以上十倍以下的罚款；没有违法所得或者违法所得不足一百万元的，处以一百万元以上一千万元以下的罚款。对直接负责的主管人员和其他直接责任人员给予警告，并处以二十万元以上二百万元以下的罚款。
证券交易所违反本法第一百零五条的规定，允许非会员直接参与股票的集中交易的，责令改正，可以并处五十万元以下的罚款。
第二百零一条 证券公司违反本法第一百零七条第一款的规定，未对投资者开立账户提供的身份信息进行核对的，责令改正，给予警告，并处以五万元以上五十万元以下的罚款。对直接负责的主管人员和其他直接责任人员给予警告，并处以十万元以下的罚款。
证券公司违反本法第一百零七条第二款的规定，将投资者的账户提供给他人使用的，责令改正，给予警告，并处以十万元以上一百万元以下的罚款。对直接负责的主管人员和其他直接责任人员给予警告，并处以二十万元以下的罚款。
第二百零二条 违反本法第一百一十八条、第一百二十条第一款、第四款的规定，擅自设立证券公司、非法经营证券业务或者未经批准以证券公司名义开展证券业务活动的，责令改正，没收违法所得，并处以违法所得一倍以上十倍以下的罚款；没有违法所得或者违法所得不足一百万元的，处以一百万元以上一千万元以下的罚款。对直接负责的主管人员和其他直接责任人员给予警告，并处以二十万元以上二百万元以下的罚款。对擅自设立的证券公司，由国务院证券监督管理机构予以取缔。
证券公司违反本法第一百二十条第五款规定提供证券融资融券服务的，没收违法所得，并处以融资融券等值以下的罚款；情节严重的，禁止其在一定期限内从事证券融资融券业务。对直接负责的主管人员和其他直接责任人员给予警告，并处以二十万元以上二百万元以下的罚款。
第二百零三条 提交虚假证明文件或者采取其他欺诈手段骗取证券公司设立许可、业务许可或者重大事项变更核准的，撤销相关许可，并处以一百万元以上一千万元以下的罚款。对直接负责的主管人员和其他直接责任人员给予警告，并处以二十万元以上二百万元以下的罚款。
第二百零四条 证券公司违反本法第一百二十二条的规定，未经核准变更证券业务范围，变更主要股东或者公司的实际控制人，合并、分立、停业、解散、破产的，责令改正，给予警告，没收违法所得，并处以违法所得一倍以上十倍以下的罚款；没有违法所得或者违法所得不足五十万元的，处以五十万元以上五百万元以下的罚款；情节严重的，并处撤销相关业务许可。对直接负责的主管人员和其他直接责任人员给予警告，并处以二十万元以上二百万元以下的罚款。
第二百零五条 证券公司违反本法第一百二十三条第二款的规定，为其股东或者股东的关联人提供融资或者担保的，责令改正，给予警告，并处以五十万元以上五百万元以下的罚款。对直接负责的主管人员和其他直接责任人员给予警告，并处以十万元以上一百万元以下的罚款。股东有过错的，在按照要求改正前，国务院证券监督管理机构可以限制其股东权利；拒不改正的，可以责令其转让所持证券公司股权。
第二百零六条 证券公司违反本法第一百二十八条的规定，未采取有效隔离措施防范利益冲突，或者未分开办理相关业务、混合操作的，责令改正，给予警告，没收违法所得，并处以违法所得一倍以上十倍以下的罚款；没有违法所得或者违法所得不足五十万元的，处以五十万元以上五百万元以下的罚款；情节严重的，并处撤销相关业务许可。对直接负责的主管人员和其他直接责任人员给予警告，并处以二十万元以上二百万元以下的罚款。
第二百零七条 证券公司违反本法第一百二十九条的规定从事证券自营业务的，责令改正，给予警告，没收违法所得，并处以违法所得一倍以上十倍以下的罚款；没有违法所得或者违法所得不足五十万元的，处以五十万元以上五百万元以下的罚款；情节严重的，并处撤销相关业务许可或者责令关闭。对直接负责的主管人员和其他直接责任人员给予警告，并处以二十万元以上二百万元以下的罚款。
第二百零八条 违反本法第一百三十一条的规定，将客户的资金和证券归入自有财产，或者挪用客户的资金和证券的，责令改正，给予警告，没收违法所得，并处以违法所得一倍以上十倍以下的罚款；没有违法所得或者违法所得不足一百万元的，处以一百万元以上一千万元以下的罚款；情节严重的，并处撤销相关业务许可或者责令关闭。对直接负责的主管人员和其他直接责任人员给予警告，并处以五十万元以上五百万元以下的罚款。
第二百零九条 证券公司违反本法第一百三十四条第一款的规定接受客户的全权委托买卖证券的，或者违反本法第一百三十五条的规定对客户的收益或者赔偿客户的损失作出承诺的，责令改正，给予警告，没收违法所得，并处以违法所得一倍以上十倍以下的罚款；没有违法所得或者违法所得不足五十万元的，处以五十万元以上五百万元以下的罚款；情节严重的，并处撤销相关业务许可。对直接负责的主管人员和其他直接责任人员给予警告，并处以二十万元以上二百万元以下的罚款。
证券公司违反本法第一百三十四条第二款的规定，允许他人以证券公司的名义直接参与证券的集中交易的，责令改正，可以并处五十万元以下的罚款。
第二百一十条 证券公司的从业人员违反本法第一百三十六条的规定，私下接受客户委托买卖证券的，责令改正，给予警告，没收违法所得，并处以违法所得一倍以上十倍以下的罚款；没有违法所得的，处以五十万元以下的罚款。
第二百一十一条 证券公司及其主要股东、实际控制人违反本法第一百三十八条的规定，未报送、提供信息和资料，或者报送、提供的信息和资料有虚假记载、误导性陈述或者重大遗漏的，责令改正，给予警告，并处以一百万元以下的罚款；情节严重的，并处撤销相关业务许可。对直接负责的主管人员和其他直接责任人员，给予警告，并处以五十万元以下的罚款。
第二百一十二条 违反本法第一百四十五条的规定，擅自设立证券登记结算机构的，由国务院证券监督管理机构予以取缔，没收违法所得，并处以违法所得一倍以上十倍以下的罚款；没有违法所得或者违法所得不足五十万元的，处以五十万元以上五百万元以下的罚款。对直接负责的主管人员和其他直接责任人员给予警告，并处以二十万元以上二百万元以下的罚款。
第二百一十三条 证券投资咨询机构违反本法第一百六十条第二款的规定擅自从事证券服务业务，或者从事证券服务业务有本法第一百六十一条规定行为的，责令改正，没收违法所得，并处以违法所得一倍以上十倍以下的罚款；没有违法所得或者违法所得不足五十万元的，处以五十万元以上五百万元以下的罚款。对直接负责的主管人员和其他直接责任人员，给予警告，并处以二十万元以上二百万元以下的罚款。
会计师事务所、律师事务所以及从事资产评估、资信评级、财务顾问、信息技术系统服务的机构违反本法第一百六十条第二款的规定，从事证券服务业务未报备案的，责令改正，可以处二十万元以下的罚款。
证券服务机构违反本法第一百六十三条的规定，未勤勉尽责，所制作、出具的文件有虚假记载、误导性陈述或者重大遗漏的，责令改正，没收业务收入，并处以业务收入一倍以上十倍以下的罚款，没有业务收入或者业务收入不足五十万元的，处以五十万元以上五百万元以下的罚款；情节严重的，并处暂停或者禁止从事证券服务业务。对直接负责的主管人员和其他直接责任人员给予警告，并处以二十万元以上二百万元以下的罚款。
第二百一十四条 发行人、证券登记结算机构、证券公司、证券服务机构未按照规定保存有关文件和资料的，责令改正，给予警告，并处以十万元以上一百万元以下的罚款；泄露、隐匿、伪造、篡改或者毁损有关文件和资料的，给予警告，并处以二十万元以上二百万元以下的罚款；情节严重的，处以五十万元以上五百万元以下的罚款，并处暂停、撤销相关业务许可或者禁止从事相关业务。对直接负责的主管人员和其他直接责任人员给予警告，并处以十万元以上一百万元以下的罚款。
第二百一十五条 国务院证券监督管理机构依法将有关市场主体遵守本法的情况纳入证券市场诚信档案。
第二百一十六条 国务院证券监督管理机构或者国务院授权的部门有下列情形之一的，对直接负责的主管人员和其他直接责任人员，依法给予处分：
（一）对不符合本法规定的发行证券、设立证券公司等申请予以核准、注册、批准的；
（二）违反本法规定采取现场检查、调查取证、查询、冻结或者查封等措施的；
（三）违反本法规定对有关机构和人员采取监督管理措施的；
（四）违反本法规定对有关机构和人员实施行政处罚的；
（五）其他不依法履行职责的行为。
第二百一十七条 国务院证券监督管理机构或者国务院授权的部门的工作人员，不履行本法规定的职责，滥用职权、玩忽职守，利用职务便利牟取不正当利益，或者泄露所知悉的有关单位和个人的商业秘密的，依法追究法律责任。
第二百一十八条 拒绝、阻碍证券监督管理机构及其工作人员依法行使监督检查、调查职权，由证券监督管理机构责令改正，处以十万元以上一百万元以下的罚款，并由公安机关依法给予治安管理处罚。
第二百一十九条 违反本法规定，构成犯罪的，依法追究刑事责任。
第二百二十条 违反本法规定，应当承担民事赔偿责任和缴纳罚款、罚金、违法所得，违法行为人的财产不足以支付的，优先用于承担民事赔偿责任。
第二百二十一条 违反法律、行政法规或者国务院证券监督管理机构的有关规定，情节严重的，国务院证券监督管理机构可以对有关责任人员采取证券市场禁入的措施。
前款所称证券市场禁入，是指在一定期限内直至终身不得从事证券业务、证券服务业务，不得担任证券发行人的董事、监事、高级管理人员，或者一定期限内不得在证券交易所、国务院批准的其他全国性证券交易场所交易证券的制度。
第二百二十二条 依照本法收缴的罚款和没收的违法所得，全部上缴国库。
第二百二十三条 当事人对证券监督管理机构或者国务院授权的部门的处罚决定不服的，可以依法申请行政复议，或者依法直接向人民法院提起诉讼。
第十四章 附 则
第二百二十四条 境内企业直接或者间接到境外发行证券或者将其证券在境外上市交易，应当符合国务院的有关规定。
第二百二十五条 境内公司股票以外币认购和交易的，具体办法由国务院另行规定。
第二百二十六条 本法自2020年3月1日起施行。
中华人民共和国刑法
（1979年7月1日第五届全国人民代表大会第二次会议通过 1997年3月14日第八届全国人民代表大会第五次会议修订 根据1998年12月29日第九届全国人民代表大会常务委员会第六次会议通过的《全国人民代表大会常务委员会关于惩治骗购外汇、逃汇和非法买卖外汇犯罪的决定》、1999年12月25日第九届全国人民代表大会常务委员会第十三次会议通过的《中华人民共和国刑法修正案》、2001年8月31日第九届全国人民代表大会常务委员会第二十三次会议通过的《中华人民共和国刑法修正案（二）》、2001年12月29日第九届全国人民代表大会常务委员会第二十五次会议通过的《中华人民共和国刑法修正案（三）》、2002年12月28日第九届全国人民代表大会常务委员会第三十一次会议通过的《中华人民共和国刑法修正案（四）》、2005年2月28日第十届全国人民代表大会常务委员会第十四次会议通过的《中华人民共和国刑法修正案（五）》、2006年6月29日第十届全国人民代表大会常务委员会第二十二次会议通过的《中华人民共和国刑法修正案（六）》、2009年2月28日第十一届全国人民代表大会常务委员会第七次会议通过的《中华人民共和国刑法修正案（七）》、2009年8月27日第十一届全国人民代表大会常务委员会第十次会议通过的《全国人民代表大会常务委员会关于修改部分法律的决定》、2011年2月25日第十一届全国人民代表大会常务委员会第十九次会议通过的《中华人民共和国刑法修正案（八）》、2015年8月29日第十二届全国人民代表大会常务委员会第十六次会议通过的《中华人民共和国刑法修正案（九）》、2017年11月4日第十二届全国人民代表大会常务委员会第三十次会议通过的《中华人民共和国刑法修正案（十）》和2020年12月26日第十三届全国人民代表大会常务委员会第二十四次会议通过的《中华人民共和国刑法修正案（十一）》修正）
目 录
第一编 总 则
第一章 刑法的任务、基本原则和适用范围
第二章 犯 罪
第一节 犯罪和刑事责任
第二节 犯罪的预备、未遂和中止
第三节 共同犯罪
第四节 单位犯罪
第三章 刑 罚
第一节 刑罚的种类
第二节 管 制
第三节 拘 役
第四节 有期徒刑、无期徒刑
第五节 死 刑
第六节 罚 金
第七节 剥夺政治权利
第八节 没收财产
第四章 刑罚的具体运用
第一节 量 刑
第二节 累 犯
第三节 自首和立功
第四节 数罪并罚
第五节 缓 刑
第六节 减 刑
第七节 假 释
第八节 时 效
第五章 其他规定
第二编 分 则
第一章 危害国家安全罪
第二章 危害公共安全罪
第三章 破坏社会主义市场经济秩序罪
第一节 生产、销售伪劣商品罪
第二节 走私罪
第三节 妨害对公司、企业的管理秩序罪
第四节 破坏金融管理秩序罪
第五节 金融诈骗罪
第六节 危害税收征管罪
第七节 侵犯知识产权罪
第八节 扰乱市场秩序罪
第四章 侵犯公民人身权利、民主权利罪
第五章 侵犯财产罪
第六章 妨害社会管理秩序罪
第一节 扰乱公共秩序罪
第二节 妨害司法罪
第三节 妨害国（边）境管理罪
第四节 妨害文物管理罪
第五节 危害公共卫生罪
第六节 破坏环境资源保护罪
第七节 走私、贩卖、运输、制造毒品罪
第八节 组织、强迫、引诱、容留、介绍卖淫罪
第九节 制作、贩卖、传播淫秽物品罪
第七章 危害国防利益罪
第八章 贪污贿赂罪
第九章 渎职罪
第十章 军人违反职责罪
附 则
第一编 总 则
第一章 刑法的任务、基本原则和适用范围
第一条 为了惩罚犯罪，保护人民，根据宪法，结合我国同犯罪作斗争的具体经验及实际情况，制定本法。
第二条 中华人民共和国刑法的任务，是用刑罚同一切犯罪行为作斗争，以保卫国家安全，保卫人民民主专政的政权和社会主义制度，保护国有财产和劳动群众集体所有的财产，保护公民私人所有的财产，保护公民的人身权利、民主权利和其他权利，维护社会秩序、经济秩序，保障社会主义建设事业的顺利进行。
第三条 法律明文规定为犯罪行为的，依照法律定罪处刑；法律没有明文规定为犯罪行为的，不得定罪处刑。
第四条 对任何人犯罪，在适用法律上一律平等。不允许任何人有超越法律的特权。
第五条 刑罚的轻重，应当与犯罪分子所犯罪行和承担的刑事责任相适应。
第六条 凡在中华人民共和国领域内犯罪的，除法律有特别规定的以外，都适用本法。
凡在中华人民共和国船舶或者航空器内犯罪的，也适用本法。
犯罪的行为或者结果有一项发生在中华人民共和国领域内的，就认为是在中华人民共和国领域内犯罪。
第七条 中华人民共和国公民在中华人民共和国领域外犯本法规定之罪的，适用本法，但是按本法规定的最高刑为三年以下有期徒刑的，可以不予追究。
中华人民共和国国家工作人员和军人在中华人民共和国领域外犯本法规定之罪的，适用本法。
第八条 外国人在中华人民共和国领域外对中华人民共和国国家或者公民犯罪，而按本法规定的最低刑为三年以上有期徒刑的，可以适用本法，但是按照犯罪地的法律不受处罚的除外。
第九条 对于中华人民共和国缔结或者参加的国际条约所规定的罪行，中华人民共和国在所承担条约义务的范围内行使刑事管辖权的，适用本法。
第十条 凡在中华人民共和国领域外犯罪，依照本法应当负刑事责任的，虽然经过外国审判，仍然可以依照本法追究，但是在外国已经受过刑罚处罚的，可以免除或者减轻处罚。
第十一条 享有外交特权和豁免权的外国人的刑事责任，通过外交途径解决。
第十二条 中华人民共和国成立以后本法施行以前的行为，如果当时的法律不认为是犯罪的，适用当时的法律；如果当时的法律认为是犯罪的，依照本法总则第四章第八节的规定应当追诉的，按照当时的法律追究刑事责任，但是如果本法不认为是犯罪或者处刑较轻的，适用本法。
本法施行以前，依照当时的法律已经作出的生效判决，继续有效。
第二章 犯 罪
第一节 犯罪和刑事责任
第十三条 一切危害国家主权、领土完整和安全，分裂国家、颠覆人民民主专政的政权和推翻社会主义制度，破坏社会秩序和经济秩序，侵犯国有财产或者劳动群众集体所有的财产，侵犯公民私人所有的财产，侵犯公民的人身权利、民主权利和其他权利，以及其他危害社会的行为，依照法律应当受刑罚处罚的，都是犯罪，但是情节显著轻微危害不大的，不认为是犯罪。
第十四条 明知自己的行为会发生危害社会的结果，并且希望或者放任这种结果发生，因而构成犯罪的，是故意犯罪。
故意犯罪，应当负刑事责任。
第十五条 应当预见自己的行为可能发生危害社会的结果，因为疏忽大意而没有预见，或者已经预见而轻信能够避免，以致发生这种结果的，是过失犯罪。
过失犯罪，法律有规定的才负刑事责任。
第十六条 行为在客观上虽然造成了损害结果，但是不是出于故意或者过失，而是由于不能抗拒或者不能预见的原因所引起的，不是犯罪。
第十七条 已满十六周岁的人犯罪，应当负刑事责任。
已满十四周岁不满十六周岁的人，犯故意杀人、故意伤害致人重伤或者死亡、强奸、抢劫、贩卖毒品、放火、爆炸、投放危险物质罪的，应当负刑事责任。
已满十二周岁不满十四周岁的人，犯故意杀人、故意伤害罪，致人死亡或者以特别残忍手段致人重伤造成严重残疾，情节恶劣，经最高人民检察院核准追诉的，应当负刑事责任。
对依照前三款规定追究刑事责任的不满十八周岁的人，应当从轻或者减轻处罚。
因不满十六周岁不予刑事处罚的，责令其父母或者其他监护人加以管教；在必要的时候，依法进行专门矫治教育。
第十七条之一 已满七十五周岁的人故意犯罪的，可以从轻或者减轻处罚；过失犯罪的，应当从轻或者减轻处罚。
第十八条 精神病人在不能辨认或者不能控制自己行为的时候造成危害结果，经法定程序鉴定确认的，不负刑事责任，但是应当责令他的家属或者监护人严加看管和医疗；在必要的时候，由政府强制医疗。
间歇性的精神病人在精神正常的时候犯罪，应当负刑事责任。
尚未完全丧失辨认或者控制自己行为能力的精神病人犯罪的，应当负刑事责任，但是可以从轻或者减轻处罚。
醉酒的人犯罪，应当负刑事责任。
第十九条 又聋又哑的人或者盲人犯罪，可以从轻、减轻或者免除处罚。
第二十条 为了使国家、公共利益、本人或者他人的人身、财产和其他权利免受正在进行的不法侵害，而采取的制止不法侵害的行为，对不法侵害人造成损害的，属于正当防卫，不负刑事责任。
正当防卫明显超过必要限度造成重大损害的，应当负刑事责任，但是应当减轻或者免除处罚。
对正在进行行凶、杀人、抢劫、强奸、绑架以及其他严重危及人身安全的暴力犯罪，采取防卫行为，造成不法侵害人伤亡的，不属于防卫过当，不负刑事责任。
第二十一条 为了使国家、公共利益、本人或者他人的人身、财产和其他权利免受正在发生的危险，不得已采取的紧急避险行为，造成损害的，不负刑事责任。
紧急避险超过必要限度造成不应有的损害的，应当负刑事责任，但是应当减轻或者免除处罚。
第一款中关于避免本人危险的规定，不适用于职务上、业务上负有特定责任的人。
第二节 犯罪的预备、未遂和中止
第二十二条 为了犯罪，准备工具、制造条件的，是犯罪预备。
对于预备犯，可以比照既遂犯从轻、减轻处罚或者免除处罚。
第二十三条 已经着手实行犯罪，由于犯罪分子意志以外的原因而未得逞的，是犯罪未遂。
对于未遂犯，可以比照既遂犯从轻或者减轻处罚。
第二十四条 在犯罪过程中，自动放弃犯罪或者自动有效地防止犯罪结果发生的，是犯罪中止。
对于中止犯，没有造成损害的，应当免除处罚；造成损害的，应当减轻处罚。
第三节 共同犯罪
第二十五条 共同犯罪是指二人以上共同故意犯罪。
二人以上共同过失犯罪，不以共同犯罪论处；应当负刑事责任的，按照他们所犯的罪分别处罚。
第二十六条 组织、领导犯罪集团进行犯罪活动的或者在共同犯罪中起主要作用的，是主犯。
三人以上为共同实施犯罪而组成的较为固定的犯罪组织，是犯罪集团。
对组织、领导犯罪集团的首要分子，按照集团所犯的全部罪行处罚。
对于第三款规定以外的主犯，应当按照其所参与的或者组织、指挥的全部犯罪处罚。
第二十七条 在共同犯罪中起次要或者辅助作用的，是从犯。
对于从犯，应当从轻、减轻处罚或者免除处罚。
第二十八条 对于被胁迫参加犯罪的，应当按照他的犯罪情节减轻处罚或者免除处罚。
第二十九条 教唆他人犯罪的，应当按照他在共同犯罪中所起的作用处罚。教唆不满十八周岁的人犯罪的，应当从重处罚。
如果被教唆的人没有犯被教唆的罪，对于教唆犯，可以从轻或者减轻处罚。
第四节 单位犯罪
第三十条 公司、企业、事业单位、机关、团体实施的危害社会的行为，法律规定为单位犯罪的，应当负刑事责任。
第三十一条 单位犯罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员判处刑罚。本法分则和其他法律另有规定的，依照规定。
第三章 刑 罚
第一节 刑罚的种类
第三十二条 刑罚分为主刑和附加刑。
第三十三条 主刑的种类如下：
（一）管制；
（二）拘役；
（三）有期徒刑；
（四）无期徒刑；
（五）死刑。
第三十四条 附加刑的种类如下：
（一）罚金；
（二）剥夺政治权利；
（三）没收财产。
附加刑也可以独立适用。
第三十五条 对于犯罪的外国人，可以独立适用或者附加适用驱逐出境。
第三十六条 由于犯罪行为而使被害人遭受经济损失的，对犯罪分子除依法给予刑事处罚外，并应根据情况判处赔偿经济损失。
承担民事赔偿责任的犯罪分子，同时被判处罚金，其财产不足以全部支付的，或者被判处没收财产的，应当先承担对被害人的民事赔偿责任。
第三十七条 对于犯罪情节轻微不需要判处刑罚的，可以免予刑事处罚，但是可以根据案件的不同情况，予以训诫或者责令具结悔过、赔礼道歉、赔偿损失，或者由主管部门予以行政处罚或者行政处分。
第三十七条之一 因利用职业便利实施犯罪，或者实施违背职业要求的特定义务的犯罪被判处刑罚的，人民法院可以根据犯罪情况和预防再犯罪的需要，禁止其自刑罚执行完毕之日或者假释之日起从事相关职业，期限为三年至五年。
被禁止从事相关职业的人违反人民法院依照前款规定作出的决定的，由公安机关依法给予处罚；情节严重的，依照本法第三百一十三条的规定定罪处罚。
其他法律、行政法规对其从事相关职业另有禁止或者限制性规定的，从其规定。
第二节 管 制
第三十八条 管制的期限，为三个月以上二年以下。
判处管制，可以根据犯罪情况，同时禁止犯罪分子在执行期间从事特定活动，进入特定区域、场所，接触特定的人。
对判处管制的犯罪分子，依法实行社区矫正。
违反第二款规定的禁止令的，由公安机关依照《中华人民共和国治安管理处罚法》的规定处罚。
第三十九条 被判处管制的犯罪分子，在执行期间，应当遵守下列规定：
（一）遵守法律、行政法规，服从监督；
（二）未经执行机关批准，不得行使言论、出版、集会、结社、游行、示威自由的权利；
（三）按照执行机关规定报告自己的活动情况；
（四）遵守执行机关关于会客的规定；
（五）离开所居住的市、县或者迁居，应当报经执行机关批准。
对于被判处管制的犯罪分子，在劳动中应当同工同酬。
第四十条 被判处管制的犯罪分子，管制期满，执行机关应即向本人和其所在单位或者居住地的群众宣布解除管制。
第四十一条 管制的刑期，从判决执行之日起计算；判决执行以前先行羁押的，羁押一日折抵刑期二日。
第三节 拘 役
第四十二条 拘役的期限，为一个月以上六个月以下。
第四十三条 被判处拘役的犯罪分子，由公安机关就近执行。
在执行期间，被判处拘役的犯罪分子每月可以回家一天至两天；参加劳动的，可以酌量发给报酬。
第四十四条 拘役的刑期，从判决执行之日起计算；判决执行以前先行羁押的，羁押一日折抵刑期一日。
第四节 有期徒刑、无期徒刑
第四十五条 有期徒刑的期限，除本法第五十条、第六十九条规定外，为六个月以上十五年以下。
第四十六条 被判处有期徒刑、无期徒刑的犯罪分子，在监狱或者其他执行场所执行；凡有劳动能力的，都应当参加劳动，接受教育和改造。
第四十七条 有期徒刑的刑期，从判决执行之日起计算；判决执行以前先行羁押的，羁押一日折抵刑期一日。
第五节 死 刑
第四十八条 死刑只适用于罪行极其严重的犯罪分子。对于应当判处死刑的犯罪分子，如果不是必须立即执行的，可以判处死刑同时宣告缓期二年执行。
死刑除依法由最高人民法院判决的以外，都应当报请最高人民法院核准。死刑缓期执行的，可以由高级人民法院判决或者核准。
第四十九条 犯罪的时候不满十八周岁的人和审判的时候怀孕的妇女，不适用死刑。
审判的时候已满七十五周岁的人，不适用死刑，但以特别残忍手段致人死亡的除外。
第五十条 判处死刑缓期执行的，在死刑缓期执行期间，如果没有故意犯罪，二年期满以后，减为无期徒刑；如果确有重大立功表现，二年期满以后，减为二十五年有期徒刑；如果故意犯罪，情节恶劣的，报请最高人民法院核准后执行死刑；对于故意犯罪未执行死刑的，死刑缓期执行的期间重新计算，并报最高人民法院备案。
对被判处死刑缓期执行的累犯以及因故意杀人、强奸、抢劫、绑架、放火、爆炸、投放危险物质或者有组织的暴力性犯罪被判处死刑缓期执行的犯罪分子，人民法院根据犯罪情节等情况可以同时决定对其限制减刑。
第五十一条 死刑缓期执行的期间，从判决确定之日起计算。死刑缓期执行减为有期徒刑的刑期，从死刑缓期执行期满之日起计算。
第六节 罚 金
第五十二条 判处罚金，应当根据犯罪情节决定罚金数额。
第五十三条 罚金在判决指定的期限内一次或者分期缴纳。期满不缴纳的，强制缴纳。对于不能全部缴纳罚金的，人民法院在任何时候发现被执行人有可以执行的财产，应当随时追缴。
由于遭遇不能抗拒的灾祸等原因缴纳确实有困难的，经人民法院裁定，可以延期缴纳、酌情减少或者免除。
第七节 剥夺政治权利
第五十四条 剥夺政治权利是剥夺下列权利：
（一）选举权和被选举权；
（二）言论、出版、集会、结社、游行、示威自由的权利；
（三）担任国家机关职务的权利；
（四）担任国有公司、企业、事业单位和人民团体领导职务的权利。
第五十五条 剥夺政治权利的期限，除本法第五十七条规定外，为一年以上五年以下。
判处管制附加剥夺政治权利的，剥夺政治权利的期限与管制的期限相等，同时执行。
第五十六条 对于危害国家安全的犯罪分子应当附加剥夺政治权利；对于故意杀人、强奸、放火、爆炸、投毒、抢劫等严重破坏社会秩序的犯罪分子，可以附加剥夺政治权利。
独立适用剥夺政治权利的，依照本法分则的规定。
第五十七条 对于被判处死刑、无期徒刑的犯罪分子，应当剥夺政治权利终身。
在死刑缓期执行减为有期徒刑或者无期徒刑减为有期徒刑的时候，应当把附加剥夺政治权利的期限改为三年以上十年以下。
第五十八条 附加剥夺政治权利的刑期，从徒刑、拘役执行完毕之日或者从假释之日起计算；剥夺政治权利的效力当然施用于主刑执行期间。
被剥夺政治权利的犯罪分子，在执行期间，应当遵守法律、行政法规和国务院公安部门有关监督管理的规定，服从监督；不得行使本法第五十四条规定的各项权利。
第八节 没收财产
第五十九条 没收财产是没收犯罪分子个人所有财产的一部或者全部。没收全部财产的，应当对犯罪分子个人及其扶养的家属保留必需的生活费用。
在判处没收财产的时候，不得没收属于犯罪分子家属所有或者应有的财产。
第六十条 没收财产以前犯罪分子所负的正当债务，需要以没收的财产偿还的，经债权人请求，应当偿还。
第四章 刑罚的具体运用
第一节 量 刑
第六十一条 对于犯罪分子决定刑罚的时候，应当根据犯罪的事实、犯罪的性质、情节和对于社会的危害程度，依照本法的有关规定判处。
第六十二条 犯罪分子具有本法规定的从重处罚、从轻处罚情节的，应当在法定刑的限度以内判处刑罚。
第六十三条 犯罪分子具有本法规定的减轻处罚情节的，应当在法定刑以下判处刑罚；本法规定有数个量刑幅度的，应当在法定量刑幅度的下一个量刑幅度内判处刑罚。
犯罪分子虽然不具有本法规定的减轻处罚情节，但是根据案件的特殊情况，经最高人民法院核准，也可以在法定刑以下判处刑罚。
第六十四条 犯罪分子违法所得的一切财物，应当予以追缴或者责令退赔；对被害人的合法财产，应当及时返还；违禁品和供犯罪所用的本人财物，应当予以没收。没收的财物和罚金，一律上缴国库，不得挪用和自行处理。
第二节 累 犯
第六十五条 被判处有期徒刑以上刑罚的犯罪分子，刑罚执行完毕或者赦免以后，在五年以内再犯应当判处有期徒刑以上刑罚之罪的，是累犯，应当从重处罚，但是过失犯罪和不满十八周岁的人犯罪的除外。
前款规定的期限，对于被假释的犯罪分子，从假释期满之日起计算。
第六十六条 危害国家安全犯罪、恐怖活动犯罪、黑社会性质的组织犯罪的犯罪分子，在刑罚执行完毕或者赦免以后，在任何时候再犯上述任一类罪的，都以累犯论处。
第三节 自首和立功
第六十七条 犯罪以后自动投案，如实供述自己的罪行的，是自首。对于自首的犯罪分子，可以从轻或者减轻处罚。其中，犯罪较轻的，可以免除处罚。
被采取强制措施的犯罪嫌疑人、被告人和正在服刑的罪犯，如实供述司法机关还未掌握的本人其他罪行的，以自首论。
犯罪嫌疑人虽不具有前两款规定的自首情节，但是如实供述自己罪行的，可以从轻处罚；因其如实供述自己罪行，避免特别严重后果发生的，可以减轻处罚。
第六十八条 犯罪分子有揭发他人犯罪行为，查证属实的，或者提供重要线索，从而得以侦破其他案件等立功表现的，可以从轻或者减轻处罚；有重大立功表现的，可以减轻或者免除处罚。
第四节 数罪并罚
第六十九条 判决宣告以前一人犯数罪的，除判处死刑和无期徒刑的以外，应当在总和刑期以下、数刑中最高刑期以上，酌情决定执行的刑期，但是管制最高不能超过三年，拘役最高不能超过一年，有期徒刑总和刑期不满三十五年的，最高不能超过二十年，总和刑期在三十五年以上的，最高不能超过二十五年。
数罪中有判处有期徒刑和拘役的，执行有期徒刑。数罪中有判处有期徒刑和管制，或者拘役和管制的，有期徒刑、拘役执行完毕后，管制仍须执行。
数罪中有判处附加刑的，附加刑仍须执行，其中附加刑种类相同的，合并执行，种类不同的，分别执行。
第七十条 判决宣告以后，刑罚执行完毕以前，发现被判刑的犯罪分子在判决宣告以前还有其他罪没有判决的，应当对新发现的罪作出判决，把前后两个判决所判处的刑罚，依照本法第六十九条的规定，决定执行的刑罚。已经执行的刑期，应当计算在新判决决定的刑期以内。
第七十一条 判决宣告以后，刑罚执行完毕以前，被判刑的犯罪分子又犯罪的，应当对新犯的罪作出判决，把前罪没有执行的刑罚和后罪所判处的刑罚，依照本法第六十九条的规定，决定执行的刑罚。
第五节 缓 刑
第七十二条 对于被判处拘役、三年以下有期徒刑的犯罪分子，同时符合下列条件的，可以宣告缓刑，对其中不满十八周岁的人、怀孕的妇女和已满七十五周岁的人，应当宣告缓刑：
（一）犯罪情节较轻；
（二）有悔罪表现；
（三）没有再犯罪的危险；
（四）宣告缓刑对所居住社区没有重大不良影响。
宣告缓刑，可以根据犯罪情况，同时禁止犯罪分子在缓刑考验期限内从事特定活动，进入特定区域、场所，接触特定的人。
被宣告缓刑的犯罪分子，如果被判处附加刑，附加刑仍须执行。
第七十三条 拘役的缓刑考验期限为原判刑期以上一年以下，但是不能少于二个月。
有期徒刑的缓刑考验期限为原判刑期以上五年以下，但是不能少于一年。
缓刑考验期限，从判决确定之日起计算。
第七十四条 对于累犯和犯罪集团的首要分子，不适用缓刑。
第七十五条 被宣告缓刑的犯罪分子，应当遵守下列规定：
（一）遵守法律、行政法规，服从监督；
（二）按照考察机关的规定报告自己的活动情况；
（三）遵守考察机关关于会客的规定；
（四）离开所居住的市、县或者迁居，应当报经考察机关批准。
第七十六条 对宣告缓刑的犯罪分子，在缓刑考验期限内，依法实行社区矫正，如果没有本法第七十七条规定的情形，缓刑考验期满，原判的刑罚就不再执行，并公开予以宣告。
第七十七条 被宣告缓刑的犯罪分子，在缓刑考验期限内犯新罪或者发现判决宣告以前还有其他罪没有判决的，应当撤销缓刑，对新犯的罪或者新发现的罪作出判决，把前罪和后罪所判处的刑罚，依照本法第六十九条的规定，决定执行的刑罚。
被宣告缓刑的犯罪分子，在缓刑考验期限内，违反法律、行政法规或者国务院有关部门关于缓刑的监督管理规定，或者违反人民法院判决中的禁止令，情节严重的，应当撤销缓刑，执行原判刑罚。
第六节 减 刑
第七十八条 被判处管制、拘役、有期徒刑、无期徒刑的犯罪分子，在执行期间，如果认真遵守监规，接受教育改造，确有悔改表现的，或者有立功表现的，可以减刑；有下列重大立功表现之一的，应当减刑：
（一）阻止他人重大犯罪活动的；
（二）检举监狱内外重大犯罪活动，经查证属实的；
（三）有发明创造或者重大技术革新的；
（四）在日常生产、生活中舍己救人的；
（五）在抗御自然灾害或者排除重大事故中，有突出表现的；
（六）对国家和社会有其他重大贡献的。
减刑以后实际执行的刑期不能少于下列期限：
（一）判处管制、拘役、有期徒刑的，不能少于原判刑期的二分之一；
（二）判处无期徒刑的，不能少于十三年；
（三）人民法院依照本法第五十条第二款规定限制减刑的死刑缓期执行的犯罪分子，缓期执行期满后依法减为无期徒刑的，不能少于二十五年，缓期执行期满后依法减为二十五年有期徒刑的，不能少于二十年。
第七十九条 对于犯罪分子的减刑，由执行机关向中级以上人民法院提出减刑建议书。人民法院应当组成合议庭进行审理，对确有悔改或者立功事实的，裁定予以减刑。非经法定程序不得减刑。
第八十条 无期徒刑减为有期徒刑的刑期，从裁定减刑之日起计算。
第七节 假 释
第八十一条 被判处有期徒刑的犯罪分子，执行原判刑期二分之一以上，被判处无期徒刑的犯罪分子，实际执行十三年以上，如果认真遵守监规，接受教育改造，确有悔改表现，没有再犯罪的危险的，可以假释。如果有特殊情况，经最高人民法院核准，可以不受上述执行刑期的限制。
对累犯以及因故意杀人、强奸、抢劫、绑架、放火、爆炸、投放危险物质或者有组织的暴力性犯罪被判处十年以上有期徒刑、无期徒刑的犯罪分子，不得假释。
对犯罪分子决定假释时，应当考虑其假释后对所居住社区的影响。
第八十二条 对于犯罪分子的假释，依照本法第七十九条规定的程序进行。非经法定程序不得假释。
第八十三条 有期徒刑的假释考验期限，为没有执行完毕的刑期；无期徒刑的假释考验期限为十年。
假释考验期限，从假释之日起计算。
第八十四条 被宣告假释的犯罪分子，应当遵守下列规定：
（一）遵守法律、行政法规，服从监督；
（二）按照监督机关的规定报告自己的活动情况；
（三）遵守监督机关关于会客的规定；
（四）离开所居住的市、县或者迁居，应当报经监督机关批准。
第八十五条 对假释的犯罪分子，在假释考验期限内，依法实行社区矫正，如果没有本法第八十六条规定的情形，假释考验期满，就认为原判刑罚已经执行完毕，并公开予以宣告。
第八十六条 被假释的犯罪分子，在假释考验期限内犯新罪，应当撤销假释，依照本法第七十一条的规定实行数罪并罚。
在假释考验期限内，发现被假释的犯罪分子在判决宣告以前还有其他罪没有判决的，应当撤销假释，依照本法第七十条的规定实行数罪并罚。
被假释的犯罪分子，在假释考验期限内，有违反法律、行政法规或者国务院有关部门关于假释的监督管理规定的行为，尚未构成新的犯罪的，应当依照法定程序撤销假释，收监执行未执行完毕的刑罚。
第八节 时 效
第八十七条 犯罪经过下列期限不再追诉：
（一）法定最高刑为不满五年有期徒刑的，经过五年；
（二）法定最高刑为五年以上不满十年有期徒刑的，经过十年；
（三）法定最高刑为十年以上有期徒刑的，经过十五年；
（四）法定最高刑为无期徒刑、死刑的，经过二十年。如果二十年以后认为必须追诉的，须报请最高人民检察院核准。
第八十八条 在人民检察院、公安机关、国家安全机关立案侦查或者在人民法院受理案件以后，逃避侦查或者审判的，不受追诉期限的限制。
被害人在追诉期限内提出控告，人民法院、人民检察院、公安机关应当立案而不予立案的，不受追诉期限的限制。
第八十九条 追诉期限从犯罪之日起计算；犯罪行为有连续或者继续状态的，从犯罪行为终了之日起计算。
在追诉期限以内又犯罪的，前罪追诉的期限从犯后罪之日起计算。
第五章 其他规定
第九十条 民族自治地方不能全部适用本法规定的，可以由自治区或者省的人民代表大会根据当地民族的政治、经济、文化的特点和本法规定的基本原则，制定变通或者补充的规定，报请全国人民代表大会常务委员会批准施行。
第九十一条 本法所称公共财产，是指下列财产：
（一）国有财产；
（二）劳动群众集体所有的财产；
（三）用于扶贫和其他公益事业的社会捐助或者专项基金的财产。
在国家机关、国有公司、企业、集体企业和人民团体管理、使用或者运输中的私人财产，以公共财产论。
第九十二条 本法所称公民私人所有的财产，是指下列财产：
（一）公民的合法收入、储蓄、房屋和其他生活资料；
（二）依法归个人、家庭所有的生产资料；
（三）个体户和私营企业的合法财产；
（四）依法归个人所有的股份、股票、债券和其他财产。
第九十三条 本法所称国家工作人员，是指国家机关中从事公务的人员。
国有公司、企业、事业单位、人民团体中从事公务的人员和国家机关、国有公司、企业、事业单位委派到非国有公司、企业、事业单位、社会团体从事公务的人员，以及其他依照法律从事公务的人员，以国家工作人员论。
第九十四条 本法所称司法工作人员，是指有侦查、检察、审判、监管职责的工作人员。
第九十五条 本法所称重伤，是指有下列情形之一的伤害：
（一）使人肢体残废或者毁人容貌的；
（二）使人丧失听觉、视觉或者其他器官机能的；
（三）其他对于人身健康有重大伤害的。
第九十六条 本法所称违反国家规定，是指违反全国人民代表大会及其常务委员会制定的法律和决定，国务院制定的行政法规、规定的行政措施、发布的决定和命令。
第九十七条 本法所称首要分子，是指在犯罪集团或者聚众犯罪中起组织、策划、指挥作用的犯罪分子。
第九十八条 本法所称告诉才处理，是指被害人告诉才处理。如果被害人因受强制、威吓无法告诉的，人民检察院和被害人的近亲属也可以告诉。
第九十九条 本法所称以上、以下、以内，包括本数。
第一百条 依法受过刑事处罚的人，在入伍、就业的时候，应当如实向有关单位报告自己曾受过刑事处罚，不得隐瞒。
犯罪的时候不满十八周岁被判处五年有期徒刑以下刑罚的人，免除前款规定的报告义务。
第一百零一条 本法总则适用于其他有刑罚规定的法律，但是其他法律有特别规定的除外。
第二编 分 则
第一章 危害国家安全罪
第一百零二条 勾结外国，危害中华人民共和国的主权、领土完整和安全的，处无期徒刑或者十年以上有期徒刑。
与境外机构、组织、个人相勾结，犯前款罪的，依照前款的规定处罚。
第一百零三条 组织、策划、实施分裂国家、破坏国家统一的，对首要分子或者罪行重大的，处无期徒刑或者十年以上有期徒刑；对积极参加的，处三年以上十年以下有期徒刑；对其他参加的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利。
煽动分裂国家、破坏国家统一的，处五年以下有期徒刑、拘役、管制或者剥夺政治权利；首要分子或者罪行重大的，处五年以上有期徒刑。
第一百零四条 组织、策划、实施武装叛乱或者武装暴乱的，对首要分子或者罪行重大的，处无期徒刑或者十年以上有期徒刑；对积极参加的，处三年以上十年以下有期徒刑；对其他参加的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利。
策动、胁迫、勾引、收买国家机关工作人员、武装部队人员、人民警察、民兵进行武装叛乱或者武装暴乱的，依照前款的规定从重处罚。
第一百零五条 组织、策划、实施颠覆国家政权、推翻社会主义制度的，对首要分子或者罪行重大的，处无期徒刑或者十年以上有期徒刑；对积极参加的，处三年以上十年以下有期徒刑；对其他参加的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利。
以造谣、诽谤或者其他方式煽动颠覆国家政权、推翻社会主义制度的，处五年以下有期徒刑、拘役、管制或者剥夺政治权利；首要分子或者罪行重大的，处五年以上有期徒刑。
第一百零六条 与境外机构、组织、个人相勾结，实施本章第一百零三条、第一百零四条、第一百零五条规定之罪的，依照各该条的规定从重处罚。
第一百零七条 境内外机构、组织或者个人资助实施本章第一百零二条、第一百零三条、第一百零四条、第一百零五条规定之罪的，对直接责任人员，处五年以下有期徒刑、拘役、管制或者剥夺政治权利；情节严重的，处五年以上有期徒刑。
第一百零八条 投敌叛变的，处三年以上十年以下有期徒刑；情节严重或者带领武装部队人员、人民警察、民兵投敌叛变的，处十年以上有期徒刑或者无期徒刑。
第一百零九条 国家机关工作人员在履行公务期间，擅离岗位，叛逃境外或者在境外叛逃的，处五年以下有期徒刑、拘役、管制或者剥夺政治权利；情节严重的，处五年以上十年以下有期徒刑。
掌握国家秘密的国家工作人员叛逃境外或者在境外叛逃的，依照前款的规定从重处罚。
第一百一十条 有下列间谍行为之一，危害国家安全的，处十年以上有期徒刑或者无期徒刑；情节较轻的，处三年以上十年以下有期徒刑：
（一）参加间谍组织或者接受间谍组织及其代理人的任务的；
（二）为敌人指示轰击目标的。
第一百一十一条 为境外的机构、组织、人员窃取、刺探、收买、非法提供国家秘密或者情报的，处五年以上十年以下有期徒刑；情节特别严重的，处十年以上有期徒刑或者无期徒刑；情节较轻的，处五年以下有期徒刑、拘役、管制或者剥夺政治权利。
第一百一十二条 战时供给敌人武器装备、军用物资资敌的，处十年以上有期徒刑或者无期徒刑；情节较轻的，处三年以上十年以下有期徒刑。
第一百一十三条 本章上述危害国家安全罪行中，除第一百零三条第二款、第一百零五条、第一百零七条、第一百零九条外，对国家和人民危害特别严重、情节特别恶劣的，可以判处死刑。
犯本章之罪的，可以并处没收财产。
第二章 危害公共安全罪
第一百一十四条 放火、决水、爆炸以及投放毒害性、放射性、传染病病原体等物质或者以其他危险方法危害公共安全，尚未造成严重后果的，处三年以上十年以下有期徒刑。
第一百一十五条 放火、决水、爆炸以及投放毒害性、放射性、传染病病原体等物质或者以其他危险方法致人重伤、死亡或者使公私财产遭受重大损失的，处十年以上有期徒刑、无期徒刑或者死刑。
过失犯前款罪的，处三年以上七年以下有期徒刑；情节较轻的，处三年以下有期徒刑或者拘役。
第一百一十六条 破坏火车、汽车、电车、船只、航空器，足以使火车、汽车、电车、船只、航空器发生倾覆、毁坏危险，尚未造成严重后果的，处三年以上十年以下有期徒刑。
第一百一十七条 破坏轨道、桥梁、隧道、公路、机场、航道、灯塔、标志或者进行其他破坏活动，足以使火车、汽车、电车、船只、航空器发生倾覆、毁坏危险，尚未造成严重后果的，处三年以上十年以下有期徒刑。
第一百一十八条 破坏电力、燃气或者其他易燃易爆设备，危害公共安全，尚未造成严重后果的，处三年以上十年以下有期徒刑。
第一百一十九条 破坏交通工具、交通设施、电力设备、燃气设备、易燃易爆设备，造成严重后果的，处十年以上有期徒刑、无期徒刑或者死刑。
过失犯前款罪的，处三年以上七年以下有期徒刑；情节较轻的，处三年以下有期徒刑或者拘役。
第一百二十条 组织、领导恐怖活动组织的，处十年以上有期徒刑或者无期徒刑，并处没收财产；积极参加的，处三年以上十年以下有期徒刑，并处罚金；其他参加的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利，可以并处罚金。
犯前款罪并实施杀人、爆炸、绑架等犯罪的，依照数罪并罚的规定处罚。
第一百二十条之一 资助恐怖活动组织、实施恐怖活动的个人的，或者资助恐怖活动培训的，处五年以下有期徒刑、拘役、管制或者剥夺政治权利，并处罚金；情节严重的，处五年以上有期徒刑，并处罚金或者没收财产。
为恐怖活动组织、实施恐怖活动或者恐怖活动培训招募、运送人员的，依照前款的规定处罚。
单位犯前两款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照第一款的规定处罚。
第一百二十条之二 有下列情形之一的，处五年以下有期徒刑、拘役、管制或者剥夺政治权利，并处罚金；情节严重的，处五年以上有期徒刑，并处罚金或者没收财产：
（一）为实施恐怖活动准备凶器、危险物品或者其他工具的；
（二）组织恐怖活动培训或者积极参加恐怖活动培训的；
（三）为实施恐怖活动与境外恐怖活动组织或者人员联络的；
（四）为实施恐怖活动进行策划或者其他准备的。
有前款行为，同时构成其他犯罪的，依照处罚较重的规定定罪处罚。
第一百二十条之三 以制作、散发宣扬恐怖主义、极端主义的图书、音频视频资料或者其他物品，或者通过讲授、发布信息等方式宣扬恐怖主义、极端主义的，或者煽动实施恐怖活动的，处五年以下有期徒刑、拘役、管制或者剥夺政治权利，并处罚金；情节严重的，处五年以上有期徒刑，并处罚金或者没收财产。
第一百二十条之四 利用极端主义煽动、胁迫群众破坏国家法律确立的婚姻、司法、教育、社会管理等制度实施的，处三年以下有期徒刑、拘役或者管制，并处罚金；情节严重的，处三年以上七年以下有期徒刑，并处罚金；情节特别严重的，处七年以上有期徒刑，并处罚金或者没收财产。
第一百二十条之五 以暴力、胁迫等方式强制他人在公共场所穿着、佩戴宣扬恐怖主义、极端主义服饰、标志的，处三年以下有期徒刑、拘役或者管制，并处罚金。
第一百二十条之六 明知是宣扬恐怖主义、极端主义的图书、音频视频资料或者其他物品而非法持有，情节严重的，处三年以下有期徒刑、拘役或者管制，并处或者单处罚金。
第一百二十一条 以暴力、胁迫或者其他方法劫持航空器的，处十年以上有期徒刑或者无期徒刑；致人重伤、死亡或者使航空器遭受严重破坏的，处死刑。
第一百二十二条 以暴力、胁迫或者其他方法劫持船只、汽车的，处五年以上十年以下有期徒刑；造成严重后果的，处十年以上有期徒刑或者无期徒刑。
第一百二十三条 对飞行中的航空器上的人员使用暴力，危及飞行安全，尚未造成严重后果的，处五年以下有期徒刑或者拘役；造成严重后果的，处五年以上有期徒刑。
第一百二十四条 破坏广播电视设施、公用电信设施，危害公共安全的，处三年以上七年以下有期徒刑；造成严重后果的，处七年以上有期徒刑。
过失犯前款罪的，处三年以上七年以下有期徒刑；情节较轻的，处三年以下有期徒刑或者拘役。
第一百二十五条 非法制造、买卖、运输、邮寄、储存枪支、弹药、爆炸物的，处三年以上十年以下有期徒刑；情节严重的，处十年以上有期徒刑、无期徒刑或者死刑。
非法制造、买卖、运输、储存毒害性、放射性、传染病病原体等物质，危害公共安全的，依照前款的规定处罚。
单位犯前两款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照第一款的规定处罚。
第一百二十六条 依法被指定、确定的枪支制造企业、销售企业，违反枪支管理规定，有下列行为之一的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处五年以下有期徒刑；情节严重的，处五年以上十年以下有期徒刑；情节特别严重的，处十年以上有期徒刑或者无期徒刑：
（一）以非法销售为目的，超过限额或者不按照规定的品种制造、配售枪支的；
（二）以非法销售为目的，制造无号、重号、假号的枪支的；
（三）非法销售枪支或者在境内销售为出口制造的枪支的。
第一百二十七条 盗窃、抢夺枪支、弹药、爆炸物的，或者盗窃、抢夺毒害性、放射性、传染病病原体等物质，危害公共安全的，处三年以上十年以下有期徒刑；情节严重的，处十年以上有期徒刑、无期徒刑或者死刑。
抢劫枪支、弹药、爆炸物的，或者抢劫毒害性、放射性、传染病病原体等物质，危害公共安全的，或者盗窃、抢夺国家机关、军警人员、民兵的枪支、弹药、爆炸物的，处十年以上有期徒刑、无期徒刑或者死刑。
第一百二十八条 违反枪支管理规定，非法持有、私藏枪支、弹药的，处三年以下有期徒刑、拘役或者管制；情节严重的，处三年以上七年以下有期徒刑。
依法配备公务用枪的人员，非法出租、出借枪支的，依照前款的规定处罚。
依法配置枪支的人员，非法出租、出借枪支，造成严重后果的，依照第一款的规定处罚。
单位犯第二款、第三款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照第一款的规定处罚。
第一百二十九条 依法配备公务用枪的人员，丢失枪支不及时报告，造成严重后果的，处三年以下有期徒刑或者拘役。
第一百三十条 非法携带枪支、弹药、管制刀具或者爆炸性、易燃性、放射性、毒害性、腐蚀性物品，进入公共场所或者公共交通工具，危及公共安全，情节严重的，处三年以下有期徒刑、拘役或者管制。
第一百三十一条 航空人员违反规章制度，致使发生重大飞行事故，造成严重后果的，处三年以下有期徒刑或者拘役；造成飞机坠毁或者人员死亡的，处三年以上七年以下有期徒刑。
第一百三十二条 铁路职工违反规章制度，致使发生铁路运营安全事故，造成严重后果的，处三年以下有期徒刑或者拘役；造成特别严重后果的，处三年以上七年以下有期徒刑。
第一百三十三条 违反交通运输管理法规，因而发生重大事故，致人重伤、死亡或者使公私财产遭受重大损失的，处三年以下有期徒刑或者拘役；交通运输肇事后逃逸或者有其他特别恶劣情节的，处三年以上七年以下有期徒刑；因逃逸致人死亡的，处七年以上有期徒刑。
第一百三十三条之一 在道路上驾驶机动车，有下列情形之一的，处拘役，并处罚金：
（一）追逐竞驶，情节恶劣的；
（二）醉酒驾驶机动车的；
（三）从事校车业务或者旅客运输，严重超过额定乘员载客，或者严重超过规定时速行驶的；
（四）违反危险化学品安全管理规定运输危险化学品，危及公共安全的。
机动车所有人、管理人对前款第三项、第四项行为负有直接责任的，依照前款的规定处罚。
有前两款行为，同时构成其他犯罪的，依照处罚较重的规定定罪处罚。
第一百三十三条之二 对行驶中的公共交通工具的驾驶人员使用暴力或者抢控驾驶操纵装置，干扰公共交通工具正常行驶，危及公共安全的，处一年以下有期徒刑、拘役或者管制，并处或者单处罚金。
前款规定的驾驶人员在行驶的公共交通工具上擅离职守，与他人互殴或者殴打他人，危及公共安全的，依照前款的规定处罚。
有前两款行为，同时构成其他犯罪的，依照处罚较重的规定定罪处罚。
第一百三十四条 在生产、作业中违反有关安全管理的规定，因而发生重大伤亡事故或者造成其他严重后果的，处三年以下有期徒刑或者拘役；情节特别恶劣的，处三年以上七年以下有期徒刑。
强令他人违章冒险作业，或者明知存在重大事故隐患而不排除，仍冒险组织作业，因而发生重大伤亡事故或者造成其他严重后果的，处五年以下有期徒刑或者拘役；情节特别恶劣的，处五年以上有期徒刑。
第一百三十四条之一 在生产、作业中违反有关安全管理的规定，有下列情形之一，具有发生重大伤亡事故或者其他严重后果的现实危险的，处一年以下有期徒刑、拘役或者管制：
（一）关闭、破坏直接关系生产安全的监控、报警、防护、救生设备、设施，或者篡改、隐瞒、销毁其相关数据、信息的；
（二）因存在重大事故隐患被依法责令停产停业、停止施工、停止使用有关设备、设施、场所或者立即采取排除危险的整改措施，而拒不执行的；
（三）涉及安全生产的事项未经依法批准或者许可，擅自从事矿山开采、金属冶炼、建筑施工，以及危险物品生产、经营、储存等高度危险的生产作业活动的。
第一百三十五条 安全生产设施或者安全生产条件不符合国家规定，因而发生重大伤亡事故或者造成其他严重后果的，对直接负责的主管人员和其他直接责任人员，处三年以下有期徒刑或者拘役；情节特别恶劣的，处三年以上七年以下有期徒刑。
第一百三十五条之一 举办大型群众性活动违反安全管理规定，因而发生重大伤亡事故或者造成其他严重后果的，对直接负责的主管人员和其他直接责任人员，处三年以下有期徒刑或者拘役；情节特别恶劣的，处三年以上七年以下有期徒刑。
第一百三十六条 违反爆炸性、易燃性、放射性、毒害性、腐蚀性物品的管理规定，在生产、储存、运输、使用中发生重大事故，造成严重后果的，处三年以下有期徒刑或者拘役；后果特别严重的，处三年以上七年以下有期徒刑。
第一百三十七条 建设单位、设计单位、施工单位、工程监理单位违反国家规定，降低工程质量标准，造成重大安全事故的，对直接责任人员，处五年以下有期徒刑或者拘役，并处罚金；后果特别严重的，处五年以上十年以下有期徒刑，并处罚金。
第一百三十八条 明知校舍或者教育教学设施有危险，而不采取措施或者不及时报告，致使发生重大伤亡事故的，对直接责任人员，处三年以下有期徒刑或者拘役；后果特别严重的，处三年以上七年以下有期徒刑。
第一百三十九条 违反消防管理法规，经消防监督机构通知采取改正措施而拒绝执行，造成严重后果的，对直接责任人员，处三年以下有期徒刑或者拘役；后果特别严重的，处三年以上七年以下有期徒刑。
第一百三十九条之一 在安全事故发生后，负有报告职责的人员不报或者谎报事故情况，贻误事故抢救，情节严重的，处三年以下有期徒刑或者拘役；情节特别严重的，处三年以上七年以下有期徒刑。
第三章 破坏社会主义市场经济秩序罪
第一节 生产、销售伪劣商品罪
第一百四十条 生产者、销售者在产品中掺杂、掺假，以假充真，以次充好或者以不合格产品冒充合格产品，销售金额五万元以上不满二十万元的，处二年以下有期徒刑或者拘役，并处或者单处销售金额百分之五十以上二倍以下罚金；销售金额二十万元以上不满五十万元的，处二年以上七年以下有期徒刑，并处销售金额百分之五十以上二倍以下罚金；销售金额五十万元以上不满二百万元的，处七年以上有期徒刑，并处销售金额百分之五十以上二倍以下罚金；销售金额二百万元以上的，处十五年有期徒刑或者无期徒刑，并处销售金额百分之五十以上二倍以下罚金或者没收财产。
第一百四十一条 生产、销售假药的，处三年以下有期徒刑或者拘役，并处罚金；对人体健康造成严重危害或者有其他严重情节的，处三年以上十年以下有期徒刑，并处罚金；致人死亡或者有其他特别严重情节的，处十年以上有期徒刑、无期徒刑或者死刑，并处罚金或者没收财产。
药品使用单位的人员明知是假药而提供给他人使用的，依照前款的规定处罚。
第一百四十二条 生产、销售劣药，对人体健康造成严重危害的，处三年以上十年以下有期徒刑，并处罚金；后果特别严重的，处十年以上有期徒刑或者无期徒刑，并处罚金或者没收财产。
药品使用单位的人员明知是劣药而提供给他人使用的，依照前款的规定处罚。
第一百四十二条之一 违反药品管理法规，有下列情形之一，足以严重危害人体健康的，处三年以下有期徒刑或者拘役，并处或者单处罚金；对人体健康造成严重危害或者有其他严重情节的，处三年以上七年以下有期徒刑，并处罚金：
（一）生产、销售国务院药品监督管理部门禁止使用的药品的；
（二）未取得药品相关批准证明文件生产、进口药品或者明知是上述药品而销售的；
（三）药品申请注册中提供虚假的证明、数据、资料、样品或者采取其他欺骗手段的；
（四）编造生产、检验记录的。
有前款行为，同时又构成本法第一百四十一条、第一百四十二条规定之罪或者其他犯罪的，依照处罚较重的规定定罪处罚。
第一百四十三条 生产、销售不符合食品安全标准的食品，足以造成严重食物中毒事故或者其他严重食源性疾病的，处三年以下有期徒刑或者拘役，并处罚金；对人体健康造成严重危害或者有其他严重情节的，处三年以上七年以下有期徒刑，并处罚金；后果特别严重的，处七年以上有期徒刑或者无期徒刑，并处罚金或者没收财产。
第一百四十四条 在生产、销售的食品中掺入有毒、有害的非食品原料的，或者销售明知掺有有毒、有害的非食品原料的食品的，处五年以下有期徒刑，并处罚金；对人体健康造成严重危害或者有其他严重情节的，处五年以上十年以下有期徒刑，并处罚金；致人死亡或者有其他特别严重情节的，依照本法第一百四十一条的规定处罚。
第一百四十五条 生产不符合保障人体健康的国家标准、行业标准的医疗器械、医用卫生材料，或者销售明知是不符合保障人体健康的国家标准、行业标准的医疗器械、医用卫生材料，足以严重危害人体健康的，处三年以下有期徒刑或者拘役，并处销售金额百分之五十以上二倍以下罚金；对人体健康造成严重危害的，处三年以上十年以下有期徒刑，并处销售金额百分之五十以上二倍以下罚金；后果特别严重的，处十年以上有期徒刑或者无期徒刑，并处销售金额百分之五十以上二倍以下罚金或者没收财产。
第一百四十六条 生产不符合保障人身、财产安全的国家标准、行业标准的电器、压力容器、易燃易爆产品或者其他不符合保障人身、财产安全的国家标准、行业标准的产品，或者销售明知是以上不符合保障人身、财产安全的国家标准、行业标准的产品，造成严重后果的，处五年以下有期徒刑，并处销售金额百分之五十以上二倍以下罚金；后果特别严重的，处五年以上有期徒刑，并处销售金额百分之五十以上二倍以下罚金。
第一百四十七条 生产假农药、假兽药、假化肥，销售明知是假的或者失去使用效能的农药、兽药、化肥、种子，或者生产者、销售者以不合格的农药、兽药、化肥、种子冒充合格的农药、兽药、化肥、种子，使生产遭受较大损失的，处三年以下有期徒刑或者拘役，并处或者单处销售金额百分之五十以上二倍以下罚金；使生产遭受重大损失的，处三年以上七年以下有期徒刑，并处销售金额百分之五十以上二倍以下罚金；使生产遭受特别重大损失的，处七年以上有期徒刑或者无期徒刑，并处销售金额百分之五十以上二倍以下罚金或者没收财产。
第一百四十八条 生产不符合卫生标准的化妆品，或者销售明知是不符合卫生标准的化妆品，造成严重后果的，处三年以下有期徒刑或者拘役，并处或者单处销售金额百分之五十以上二倍以下罚金。
第一百四十九条 生产、销售本节第一百四十一条至第一百四十八条所列产品，不构成各该条规定的犯罪，但是销售金额在五万元以上的，依照本节第一百四十条的规定定罪处罚。
生产、销售本节第一百四十一条至第一百四十八条所列产品，构成各该条规定的犯罪，同时又构成本节第一百四十条规定之罪的，依照处罚较重的规定定罪处罚。
第一百五十条 单位犯本节第一百四十条至第一百四十八条规定之罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照各该条的规定处罚。
第二节 走私罪
第一百五十一条 走私武器、弹药、核材料或者伪造的货币的，处七年以上有期徒刑，并处罚金或者没收财产；情节特别严重的，处无期徒刑，并处没收财产；情节较轻的，处三年以上七年以下有期徒刑，并处罚金。
走私国家禁止出口的文物、黄金、白银和其他贵重金属或者国家禁止进出口的珍贵动物及其制品的，处五年以上十年以下有期徒刑，并处罚金；情节特别严重的，处十年以上有期徒刑或者无期徒刑，并处没收财产；情节较轻的，处五年以下有期徒刑，并处罚金。
走私珍稀植物及其制品等国家禁止进出口的其他货物、物品的，处五年以下有期徒刑或者拘役，并处或者单处罚金；情节严重的，处五年以上有期徒刑，并处罚金。
单位犯本条规定之罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照本条各款的规定处罚。
第一百五十二条 以牟利或者传播为目的，走私淫秽的影片、录像带、录音带、图片、书刊或者其他淫秽物品的，处三年以上十年以下有期徒刑，并处罚金；情节严重的，处十年以上有期徒刑或者无期徒刑，并处罚金或者没收财产；情节较轻的，处三年以下有期徒刑、拘役或者管制，并处罚金。
逃避海关监管将境外固体废物、液态废物和气态废物运输进境，情节严重的，处五年以下有期徒刑，并处或者单处罚金；情节特别严重的，处五年以上有期徒刑，并处罚金。
单位犯前两款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前两款的规定处罚。
第一百五十三条 走私本法第一百五十一条、第一百五十二条、第三百四十七条规定以外的货物、物品的，根据情节轻重，分别依照下列规定处罚：
（一）走私货物、物品偷逃应缴税额较大或者一年内曾因走私被给予二次行政处罚后又走私的，处三年以下有期徒刑或者拘役，并处偷逃应缴税额一倍以上五倍以下罚金。
（二）走私货物、物品偷逃应缴税额巨大或者有其他严重情节的，处三年以上十年以下有期徒刑，并处偷逃应缴税额一倍以上五倍以下罚金。
（三）走私货物、物品偷逃应缴税额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑，并处偷逃应缴税额一倍以上五倍以下罚金或者没收财产。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处三年以下有期徒刑或者拘役；情节严重的，处三年以上十年以下有期徒刑；情节特别严重的，处十年以上有期徒刑。
对多次走私未经处理的，按照累计走私货物、物品的偷逃应缴税额处罚。
第一百五十四条 下列走私行为，根据本节规定构成犯罪的，依照本法第一百五十三条的规定定罪处罚：
（一）未经海关许可并且未补缴应缴税额，擅自将批准进口的来料加工、来件装配、补偿贸易的原材料、零件、制成品、设备等保税货物，在境内销售牟利的；
（二）未经海关许可并且未补缴应缴税额，擅自将特定减税、免税进口的货物、物品，在境内销售牟利的。
第一百五十五条 下列行为，以走私罪论处，依照本节的有关规定处罚：
（一）直接向走私人非法收购国家禁止进口物品的，或者直接向走私人非法收购走私进口的其他货物、物品，数额较大的；
（二）在内海、领海、界河、界湖运输、收购、贩卖国家禁止进出口物品的，或者运输、收购、贩卖国家限制进出口货物、物品，数额较大，没有合法证明的。
第一百五十六条 与走私罪犯通谋，为其提供贷款、资金、帐号、发票、证明，或者为其提供运输、保管、邮寄或者其他方便的，以走私罪的共犯论处。
第一百五十七条 武装掩护走私的，依照本法第一百五十一条第一款的规定从重处罚。
以暴力、威胁方法抗拒缉私的，以走私罪和本法第二百七十七条规定的阻碍国家机关工作人员依法执行职务罪，依照数罪并罚的规定处罚。
第三节 妨害对公司、企业的管理秩序罪
第一百五十八条 申请公司登记使用虚假证明文件或者采取其他欺诈手段虚报注册资本，欺骗公司登记主管部门，取得公司登记，虚报注册资本数额巨大、后果严重或者有其他严重情节的，处三年以下有期徒刑或者拘役，并处或者单处虚报注册资本金额百分之一以上百分之五以下罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处三年以下有期徒刑或者拘役。
第一百五十九条 公司发起人、股东违反公司法的规定未交付货币、实物或者未转移财产权，虚假出资，或者在公司成立后又抽逃其出资，数额巨大、后果严重或者有其他严重情节的，处五年以下有期徒刑或者拘役，并处或者单处虚假出资金额或者抽逃出资金额百分之二以上百分之十以下罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处五年以下有期徒刑或者拘役。
第一百六十条 在招股说明书、认股书、公司、企业债券募集办法等发行文件中隐瞒重要事实或者编造重大虚假内容，发行股票或者公司、企业债券、存托凭证或者国务院依法认定的其他证券，数额巨大、后果严重或者有其他严重情节的，处五年以下有期徒刑或者拘役，并处或者单处罚金；数额特别巨大、后果特别严重或者有其他特别严重情节的，处五年以上有期徒刑，并处罚金。
控股股东、实际控制人组织、指使实施前款行为的，处五年以下有期徒刑或者拘役，并处或者单处非法募集资金金额百分之二十以上一倍以下罚金；数额特别巨大、后果特别严重或者有其他特别严重情节的，处五年以上有期徒刑，并处非法募集资金金额百分之二十以上一倍以下罚金。
单位犯前两款罪的，对单位判处非法募集资金金额百分之二十以上一倍以下罚金，并对其直接负责的主管人员和其他直接责任人员，依照第一款的规定处罚。
第一百六十一条 依法负有信息披露义务的公司、企业向股东和社会公众提供虚假的或者隐瞒重要事实的财务会计报告，或者对依法应当披露的其他重要信息不按照规定披露，严重损害股东或者其他人利益，或者有其他严重情节的，对其直接负责的主管人员和其他直接责任人员，处五年以下有期徒刑或者拘役，并处或者单处罚金；情节特别严重的，处五年以上十年以下有期徒刑，并处罚金。
前款规定的公司、企业的控股股东、实际控制人实施或者组织、指使实施前款行为的，或者隐瞒相关事项导致前款规定的情形发生的，依照前款的规定处罚。
犯前款罪的控股股东、实际控制人是单位的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照第一款的规定处罚。
第一百六十二条 公司、企业进行清算时，隐匿财产，对资产负债表或者财产清单作虚伪记载或者在未清偿债务前分配公司、企业财产，严重损害债权人或者其他人利益的，对其直接负责的主管人员和其他直接责任人员，处五年以下有期徒刑或者拘役，并处或者单处二万元以上二十万元以下罚金。
第一百六十二条之一 隐匿或者故意销毁依法应当保存的会计凭证、会计帐簿、财务会计报告，情节严重的，处五年以下有期徒刑或者拘役，并处或者单处二万元以上二十万元以下罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第一百六十二条之二 公司、企业通过隐匿财产、承担虚构的债务或者以其他方法转移、处分财产，实施虚假破产，严重损害债权人或者其他人利益的，对其直接负责的主管人员和其他直接责任人员，处五年以下有期徒刑或者拘役，并处或者单处二万元以上二十万元以下罚金。
第一百六十三条 公司、企业或者其他单位的工作人员，利用职务上的便利，索取他人财物或者非法收受他人财物，为他人谋取利益，数额较大的，处三年以下有期徒刑或者拘役，并处罚金；数额巨大或者有其他严重情节的，处三年以上十年以下有期徒刑，并处罚金；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑，并处罚金。
公司、企业或者其他单位的工作人员在经济往来中，利用职务上的便利，违反国家规定，收受各种名义的回扣、手续费，归个人所有的，依照前款的规定处罚。
国有公司、企业或者其他国有单位中从事公务的人员和国有公司、企业或者其他国有单位委派到非国有公司、企业以及其他单位从事公务的人员有前两款行为的，依照本法第三百八十五条、第三百八十六条的规定定罪处罚。
第一百六十四条 为谋取不正当利益，给予公司、企业或者其他单位的工作人员以财物，数额较大的，处三年以下有期徒刑或者拘役，并处罚金；数额巨大的，处三年以上十年以下有期徒刑，并处罚金。
为谋取不正当商业利益，给予外国公职人员或者国际公共组织官员以财物的，依照前款的规定处罚。
单位犯前两款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照第一款的规定处罚。
行贿人在被追诉前主动交待行贿行为的，可以减轻处罚或者免除处罚。
第一百六十五条 国有公司、企业的董事、经理利用职务便利，自己经营或者为他人经营与其所任职公司、企业同类的营业，获取非法利益，数额巨大的，处三年以下有期徒刑或者拘役，并处或者单处罚金；数额特别巨大的，处三年以上七年以下有期徒刑，并处罚金。
第一百六十六条 国有公司、企业、事业单位的工作人员，利用职务便利，有下列情形之一，使国家利益遭受重大损失的，处三年以下有期徒刑或者拘役，并处或者单处罚金；致使国家利益遭受特别重大损失的，处三年以上七年以下有期徒刑，并处罚金：
（一）将本单位的盈利业务交由自己的亲友进行经营的；
（二）以明显高于市场的价格向自己的亲友经营管理的单位采购商品或者以明显低于市场的价格向自己的亲友经营管理的单位销售商品的；
（三）向自己的亲友经营管理的单位采购不合格商品的。
第一百六十七条 国有公司、企业、事业单位直接负责的主管人员，在签订、履行合同过程中，因严重不负责任被诈骗，致使国家利益遭受重大损失的，处三年以下有期徒刑或者拘役；致使国家利益遭受特别重大损失的，处三年以上七年以下有期徒刑。
第一百六十八条 国有公司、企业的工作人员，由于严重不负责任或者滥用职权，造成国有公司、企业破产或者严重损失，致使国家利益遭受重大损失的，处三年以下有期徒刑或者拘役；致使国家利益遭受特别重大损失的，处三年以上七年以下有期徒刑。
国有事业单位的工作人员有前款行为，致使国家利益遭受重大损失的，依照前款的规定处罚。
国有公司、企业、事业单位的工作人员，徇私舞弊，犯前两款罪的，依照第一款的规定从重处罚。
第一百六十九条 国有公司、企业或者其上级主管部门直接负责的主管人员，徇私舞弊，将国有资产低价折股或者低价出售，致使国家利益遭受重大损失的，处三年以下有期徒刑或者拘役；致使国家利益遭受特别重大损失的，处三年以上七年以下有期徒刑。
第一百六十九条之一 上市公司的董事、监事、高级管理人员违背对公司的忠实义务，利用职务便利，操纵上市公司从事下列行为之一，致使上市公司利益遭受重大损失的，处三年以下有期徒刑或者拘役，并处或者单处罚金；致使上市公司利益遭受特别重大损失的，处三年以上七年以下有期徒刑，并处罚金：
（一）无偿向其他单位或者个人提供资金、商品、服务或者其他资产的；
（二）以明显不公平的条件，提供或者接受资金、商品、服务或者其他资产的；
（三）向明显不具有清偿能力的单位或者个人提供资金、商品、服务或者其他资产的；
（四）为明显不具有清偿能力的单位或者个人提供担保，或者无正当理由为其他单位或者个人提供担保的；
（五）无正当理由放弃债权、承担债务的；
（六）采用其他方式损害上市公司利益的。
上市公司的控股股东或者实际控制人，指使上市公司董事、监事、高级管理人员实施前款行为的，依照前款的规定处罚。
犯前款罪的上市公司的控股股东或者实际控制人是单位的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照第一款的规定处罚。
第四节 破坏金融管理秩序罪
第一百七十条 伪造货币的，处三年以上十年以下有期徒刑，并处罚金；有下列情形之一的，处十年以上有期徒刑或者无期徒刑，并处罚金或者没收财产：
（一）伪造货币集团的首要分子；
（二）伪造货币数额特别巨大的；
（三）有其他特别严重情节的。
第一百七十一条 出售、购买伪造的货币或者明知是伪造的货币而运输，数额较大的，处三年以下有期徒刑或者拘役，并处二万元以上二十万元以下罚金；数额巨大的，处三年以上十年以下有期徒刑，并处五万元以上五十万元以下罚金；数额特别巨大的，处十年以上有期徒刑或者无期徒刑，并处五万元以上五十万元以下罚金或者没收财产。
银行或者其他金融机构的工作人员购买伪造的货币或者利用职务上的便利，以伪造的货币换取货币的，处三年以上十年以下有期徒刑，并处二万元以上二十万元以下罚金；数额巨大或者有其他严重情节的，处十年以上有期徒刑或者无期徒刑，并处二万元以上二十万元以下罚金或者没收财产；情节较轻的，处三年以下有期徒刑或者拘役，并处或者单处一万元以上十万元以下罚金。
伪造货币并出售或者运输伪造的货币的，依照本法第一百七十条的规定定罪从重处罚。
第一百七十二条 明知是伪造的货币而持有、使用，数额较大的，处三年以下有期徒刑或者拘役，并处或者单处一万元以上十万元以下罚金；数额巨大的，处三年以上十年以下有期徒刑，并处二万元以上二十万元以下罚金；数额特别巨大的，处十年以上有期徒刑，并处五万元以上五十万元以下罚金或者没收财产。
第一百七十三条 变造货币，数额较大的，处三年以下有期徒刑或者拘役，并处或者单处一万元以上十万元以下罚金；数额巨大的，处三年以上十年以下有期徒刑，并处二万元以上二十万元以下罚金。
第一百七十四条 未经国家有关主管部门批准，擅自设立商业银行、证券交易所、期货交易所、证券公司、期货经纪公司、保险公司或者其他金融机构的，处三年以下有期徒刑或者拘役，并处或者单处二万元以上二十万元以下罚金；情节严重的，处三年以上十年以下有期徒刑，并处五万元以上五十万元以下罚金。
伪造、变造、转让商业银行、证券交易所、期货交易所、证券公司、期货经纪公司、保险公司或者其他金融机构的经营许可证或者批准文件的，依照前款的规定处罚。
单位犯前两款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照第一款的规定处罚。
第一百七十五条 以转贷牟利为目的，套取金融机构信贷资金高利转贷他人，违法所得数额较大的，处三年以下有期徒刑或者拘役，并处违法所得一倍以上五倍以下罚金；数额巨大的，处三年以上七年以下有期徒刑，并处违法所得一倍以上五倍以下罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处三年以下有期徒刑或者拘役。
第一百七十五条之一 以欺骗手段取得银行或者其他金融机构贷款、票据承兑、信用证、保函等，给银行或者其他金融机构造成重大损失的，处三年以下有期徒刑或者拘役，并处或者单处罚金；给银行或者其他金融机构造成特别重大损失或者有其他特别严重情节的，处三年以上七年以下有期徒刑，并处罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第一百七十六条 非法吸收公众存款或者变相吸收公众存款，扰乱金融秩序的，处三年以下有期徒刑或者拘役，并处或者单处罚金；数额巨大或者有其他严重情节的，处三年以上十年以下有期徒刑，并处罚金；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑，并处罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
有前两款行为，在提起公诉前积极退赃退赔，减少损害结果发生的，可以从轻或者减轻处罚。
第一百七十七条 有下列情形之一，伪造、变造金融票证的，处五年以下有期徒刑或者拘役，并处或者单处二万元以上二十万元以下罚金；情节严重的，处五年以上十年以下有期徒刑，并处五万元以上五十万元以下罚金；情节特别严重的，处十年以上有期徒刑或者无期徒刑，并处五万元以上五十万元以下罚金或者没收财产：
（一）伪造、变造汇票、本票、支票的；
（二）伪造、变造委托收款凭证、汇款凭证、银行存单等其他银行结算凭证的；
（三）伪造、变造信用证或者附随的单据、文件的；
（四）伪造信用卡的。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第一百七十七条之一 有下列情形之一，妨害信用卡管理的，处三年以下有期徒刑或者拘役，并处或者单处一万元以上十万元以下罚金；数量巨大或者有其他严重情节的，处三年以上十年以下有期徒刑，并处二万元以上二十万元以下罚金：
（一）明知是伪造的信用卡而持有、运输的，或者明知是伪造的空白信用卡而持有、运输，数量较大的；
（二）非法持有他人信用卡，数量较大的；
（三）使用虚假的身份证明骗领信用卡的；
（四）出售、购买、为他人提供伪造的信用卡或者以虚假的身份证明骗领的信用卡的。
窃取、收买或者非法提供他人信用卡信息资料的，依照前款规定处罚。
银行或者其他金融机构的工作人员利用职务上的便利，犯第二款罪的，从重处罚。
第一百七十八条 伪造、变造国库券或者国家发行的其他有价证券，数额较大的，处三年以下有期徒刑或者拘役，并处或者单处二万元以上二十万元以下罚金；数额巨大的，处三年以上十年以下有期徒刑，并处五万元以上五十万元以下罚金；数额特别巨大的，处十年以上有期徒刑或者无期徒刑，并处五万元以上五十万元以下罚金或者没收财产。
伪造、变造股票或者公司、企业债券，数额较大的，处三年以下有期徒刑或者拘役，并处或者单处一万元以上十万元以下罚金；数额巨大的，处三年以上十年以下有期徒刑，并处二万元以上二十万元以下罚金。
单位犯前两款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前两款的规定处罚。
第一百七十九条 未经国家有关主管部门批准，擅自发行股票或者公司、企业债券，数额巨大、后果严重或者有其他严重情节的，处五年以下有期徒刑或者拘役，并处或者单处非法募集资金金额百分之一以上百分之五以下罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处五年以下有期徒刑或者拘役。
第一百八十条 证券、期货交易内幕信息的知情人员或者非法获取证券、期货交易内幕信息的人员，在涉及证券的发行，证券、期货交易或者其他对证券、期货交易价格有重大影响的信息尚未公开前，买入或者卖出该证券，或者从事与该内幕信息有关的期货交易，或者泄露该信息，或者明示、暗示他人从事上述交易活动，情节严重的，处五年以下有期徒刑或者拘役，并处或者单处违法所得一倍以上五倍以下罚金；情节特别严重的，处五年以上十年以下有期徒刑，并处违法所得一倍以上五倍以下罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处五年以下有期徒刑或者拘役。
内幕信息、知情人员的范围，依照法律、行政法规的规定确定。
证券交易所、期货交易所、证券公司、期货经纪公司、基金管理公司、商业银行、保险公司等金融机构的从业人员以及有关监管部门或者行业协会的工作人员，利用因职务便利获取的内幕信息以外的其他未公开的信息，违反规定，从事与该信息相关的证券、期货交易活动，或者明示、暗示他人从事相关交易活动，情节严重的，依照第一款的规定处罚。
第一百八十一条 编造并且传播影响证券、期货交易的虚假信息，扰乱证券、期货交易市场，造成严重后果的，处五年以下有期徒刑或者拘役，并处或者单处一万元以上十万元以下罚金。
证券交易所、期货交易所、证券公司、期货经纪公司的从业人员，证券业协会、期货业协会或者证券期货监督管理部门的工作人员，故意提供虚假信息或者伪造、变造、销毁交易记录，诱骗投资者买卖证券、期货合约，造成严重后果的，处五年以下有期徒刑或者拘役，并处或者单处一万元以上十万元以下罚金；情节特别恶劣的，处五年以上十年以下有期徒刑，并处二万元以上二十万元以下罚金。
单位犯前两款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处五年以下有期徒刑或者拘役。
第一百八十二条 有下列情形之一，操纵证券、期货市场，影响证券、期货交易价格或者证券、期货交易量，情节严重的，处五年以下有期徒刑或者拘役，并处或者单处罚金；情节特别严重的，处五年以上十年以下有期徒刑，并处罚金：
（一）单独或者合谋，集中资金优势、持股或者持仓优势或者利用信息优势联合或者连续买卖的；
（二）与他人串通，以事先约定的时间、价格和方式相互进行证券、期货交易的；
（三）在自己实际控制的帐户之间进行证券交易，或者以自己为交易对象，自买自卖期货合约的；
（四）不以成交为目的，频繁或者大量申报买入、卖出证券、期货合约并撤销申报的；
（五）利用虚假或者不确定的重大信息，诱导投资者进行证券、期货交易的；
（六）对证券、证券发行人、期货交易标的公开作出评价、预测或者投资建议，同时进行反向证券交易或者相关期货交易的；
（七）以其他方法操纵证券、期货市场的。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第一百八十三条 保险公司的工作人员利用职务上的便利，故意编造未曾发生的保险事故进行虚假理赔，骗取保险金归自己所有的，依照本法第二百七十一条的规定定罪处罚。
国有保险公司工作人员和国有保险公司委派到非国有保险公司从事公务的人员有前款行为的，依照本法第三百八十二条、第三百八十三条的规定定罪处罚。
第一百八十四条 银行或者其他金融机构的工作人员在金融业务活动中索取他人财物或者非法收受他人财物，为他人谋取利益的，或者违反国家规定，收受各种名义的回扣、手续费，归个人所有的，依照本法第一百六十三条的规定定罪处罚。
国有金融机构工作人员和国有金融机构委派到非国有金融机构从事公务的人员有前款行为的，依照本法第三百八十五条、第三百八十六条的规定定罪处罚。
第一百八十五条 商业银行、证券交易所、期货交易所、证券公司、期货经纪公司、保险公司或者其他金融机构的工作人员利用职务上的便利，挪用本单位或者客户资金的，依照本法第二百七十二条的规定定罪处罚。
国有商业银行、证券交易所、期货交易所、证券公司、期货经纪公司、保险公司或者其他国有金融机构的工作人员和国有商业银行、证券交易所、期货交易所、证券公司、期货经纪公司、保险公司或者其他国有金融机构委派到前款规定中的非国有机构从事公务的人员有前款行为的，依照本法第三百八十四条的规定定罪处罚。
第一百八十五条之一 商业银行、证券交易所、期货交易所、证券公司、期货经纪公司、保险公司或者其他金融机构，违背受托义务，擅自运用客户资金或者其他委托、信托的财产，情节严重的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处三年以下有期徒刑或者拘役，并处三万元以上三十万元以下罚金；情节特别严重的，处三年以上十年以下有期徒刑，并处五万元以上五十万元以下罚金。
社会保障基金管理机构、住房公积金管理机构等公众资金管理机构，以及保险公司、保险资产管理公司、证券投资基金管理公司，违反国家规定运用资金的，对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第一百八十六条 银行或者其他金融机构的工作人员违反国家规定发放贷款，数额巨大或者造成重大损失的，处五年以下有期徒刑或者拘役，并处一万元以上十万元以下罚金；数额特别巨大或者造成特别重大损失的，处五年以上有期徒刑，并处二万元以上二十万元以下罚金。
银行或者其他金融机构的工作人员违反国家规定，向关系人发放贷款的，依照前款的规定从重处罚。
单位犯前两款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前两款的规定处罚。
关系人的范围，依照《中华人民共和国商业银行法》和有关金融法规确定。
第一百八十七条 银行或者其他金融机构的工作人员吸收客户资金不入帐，数额巨大或者造成重大损失的，处五年以下有期徒刑或者拘役，并处二万元以上二十万元以下罚金；数额特别巨大或者造成特别重大损失的，处五年以上有期徒刑，并处五万元以上五十万元以下罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第一百八十八条 银行或者其他金融机构的工作人员违反规定，为他人出具信用证或者其他保函、票据、存单、资信证明，情节严重的，处五年以下有期徒刑或者拘役；情节特别严重的，处五年以上有期徒刑。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第一百八十九条 银行或者其他金融机构的工作人员在票据业务中，对违反票据法规定的票据予以承兑、付款或者保证，造成重大损失的，处五年以下有期徒刑或者拘役；造成特别重大损失的，处五年以上有期徒刑。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第一百九十条 公司、企业或者其他单位，违反国家规定，擅自将外汇存放境外，或者将境内的外汇非法转移到境外，数额较大的，对单位判处逃汇数额百分之五以上百分之三十以下罚金，并对其直接负责的主管人员和其他直接责任人员，处五年以下有期徒刑或者拘役；数额巨大或者有其他严重情节的，对单位判处逃汇数额百分之五以上百分之三十以下罚金，并对其直接负责的主管人员和其他直接责任人员，处五年以上有期徒刑。
第一百九十一条 为掩饰、隐瞒毒品犯罪、黑社会性质的组织犯罪、恐怖活动犯罪、走私犯罪、贪污贿赂犯罪、破坏金融管理秩序犯罪、金融诈骗犯罪的所得及其产生的收益的来源和性质，有下列行为之一的，没收实施以上犯罪的所得及其产生的收益，处五年以下有期徒刑或者拘役，并处或者单处罚金；情节严重的，处五年以上十年以下有期徒刑，并处罚金：
（一）提供资金帐户的；
（二）将财产转换为现金、金融票据、有价证券的；
（三）通过转帐或者其他支付结算方式转移资金的；
（四）跨境转移资产的；
（五）以其他方法掩饰、隐瞒犯罪所得及其收益的来源和性质的。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第五节 金融诈骗罪
第一百九十二条 以非法占有为目的，使用诈骗方法非法集资，数额较大的，处三年以上七年以下有期徒刑，并处罚金；数额巨大或者有其他严重情节的，处七年以上有期徒刑或者无期徒刑，并处罚金或者没收财产。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第一百九十三条 有下列情形之一，以非法占有为目的，诈骗银行或者其他金融机构的贷款，数额较大的，处五年以下有期徒刑或者拘役，并处二万元以上二十万元以下罚金；数额巨大或者有其他严重情节的，处五年以上十年以下有期徒刑，并处五万元以上五十万元以下罚金；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑，并处五万元以上五十万元以下罚金或者没收财产：
（一）编造引进资金、项目等虚假理由的；
（二）使用虚假的经济合同的；
（三）使用虚假的证明文件的；
（四）使用虚假的产权证明作担保或者超出抵押物价值重复担保的；
（五）以其他方法诈骗贷款的。
第一百九十四条 有下列情形之一，进行金融票据诈骗活动，数额较大的，处五年以下有期徒刑或者拘役，并处二万元以上二十万元以下罚金；数额巨大或者有其他严重情节的，处五年以上十年以下有期徒刑，并处五万元以上五十万元以下罚金；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑，并处五万元以上五十万元以下罚金或者没收财产：
（一）明知是伪造、变造的汇票、本票、支票而使用的；
（二）明知是作废的汇票、本票、支票而使用的；
（三）冒用他人的汇票、本票、支票的；
（四）签发空头支票或者与其预留印鉴不符的支票，骗取财物的；
（五）汇票、本票的出票人签发无资金保证的汇票、本票或者在出票时作虚假记载，骗取财物的。
使用伪造、变造的委托收款凭证、汇款凭证、银行存单等其他银行结算凭证的，依照前款的规定处罚。
第一百九十五条 有下列情形之一，进行信用证诈骗活动的，处五年以下有期徒刑或者拘役，并处二万元以上二十万元以下罚金；数额巨大或者有其他严重情节的，处五年以上十年以下有期徒刑，并处五万元以上五十万元以下罚金；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑，并处五万元以上五十万元以下罚金或者没收财产：
（一）使用伪造、变造的信用证或者附随的单据、文件的；
（二）使用作废的信用证的；
（三）骗取信用证的；
（四）以其他方法进行信用证诈骗活动的。
第一百九十六条 有下列情形之一，进行信用卡诈骗活动，数额较大的，处五年以下有期徒刑或者拘役，并处二万元以上二十万元以下罚金；数额巨大或者有其他严重情节的，处五年以上十年以下有期徒刑，并处五万元以上五十万元以下罚金；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑，并处五万元以上五十万元以下罚金或者没收财产：
（一）使用伪造的信用卡，或者使用以虚假的身份证明骗领的信用卡的；
（二）使用作废的信用卡的；
（三）冒用他人信用卡的；
（四）恶意透支的。
前款所称恶意透支，是指持卡人以非法占有为目的，超过规定限额或者规定期限透支，并且经发卡银行催收后仍不归还的行为。
盗窃信用卡并使用的，依照本法第二百六十四条的规定定罪处罚。
第一百九十七条 使用伪造、变造的国库券或者国家发行的其他有价证券，进行诈骗活动，数额较大的，处五年以下有期徒刑或者拘役，并处二万元以上二十万元以下罚金；数额巨大或者有其他严重情节的，处五年以上十年以下有期徒刑，并处五万元以上五十万元以下罚金；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑，并处五万元以上五十万元以下罚金或者没收财产。
第一百九十八条 有下列情形之一，进行保险诈骗活动，数额较大的，处五年以下有期徒刑或者拘役，并处一万元以上十万元以下罚金；数额巨大或者有其他严重情节的，处五年以上十年以下有期徒刑，并处二万元以上二十万元以下罚金；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑，并处二万元以上二十万元以下罚金或者没收财产：
（一）投保人故意虚构保险标的，骗取保险金的；
（二）投保人、被保险人或者受益人对发生的保险事故编造虚假的原因或者夸大损失的程度，骗取保险金的；
（三）投保人、被保险人或者受益人编造未曾发生的保险事故，骗取保险金的；
（四）投保人、被保险人故意造成财产损失的保险事故，骗取保险金的；
（五）投保人、受益人故意造成被保险人死亡、伤残或者疾病，骗取保险金的。
有前款第四项、第五项所列行为，同时构成其他犯罪的，依照数罪并罚的规定处罚。
单位犯第一款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处五年以下有期徒刑或者拘役；数额巨大或者有其他严重情节的，处五年以上十年以下有期徒刑；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑。
保险事故的鉴定人、证明人、财产评估人故意提供虚假的证明文件，为他人诈骗提供条件的，以保险诈骗的共犯论处。
第一百九十九条 （删去）
第二百条 单位犯本节第一百九十四条、第一百九十五条规定之罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处五年以下有期徒刑或者拘役，可以并处罚金；数额巨大或者有其他严重情节的，处五年以上十年以下有期徒刑，并处罚金；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑，并处罚金。
第六节 危害税收征管罪
第二百零一条 纳税人采取欺骗、隐瞒手段进行虚假纳税申报或者不申报，逃避缴纳税款数额较大并且占应纳税额百分之十以上的，处三年以下有期徒刑或者拘役，并处罚金；数额巨大并且占应纳税额百分之三十以上的，处三年以上七年以下有期徒刑，并处罚金。
扣缴义务人采取前款所列手段，不缴或者少缴已扣、已收税款，数额较大的，依照前款的规定处罚。
对多次实施前两款行为，未经处理的，按照累计数额计算。
有第一款行为，经税务机关依法下达追缴通知后，补缴应纳税款，缴纳滞纳金，已受行政处罚的，不予追究刑事责任；但是，五年内因逃避缴纳税款受过刑事处罚或者被税务机关给予二次以上行政处罚的除外。
第二百零二条 以暴力、威胁方法拒不缴纳税款的，处三年以下有期徒刑或者拘役，并处拒缴税款一倍以上五倍以下罚金；情节严重的，处三年以上七年以下有期徒刑，并处拒缴税款一倍以上五倍以下罚金。
第二百零三条 纳税人欠缴应纳税款，采取转移或者隐匿财产的手段，致使税务机关无法追缴欠缴的税款，数额在一万元以上不满十万元的，处三年以下有期徒刑或者拘役，并处或者单处欠缴税款一倍以上五倍以下罚金；数额在十万元以上的，处三年以上七年以下有期徒刑，并处欠缴税款一倍以上五倍以下罚金。
第二百零四条 以假报出口或者其他欺骗手段，骗取国家出口退税款，数额较大的，处五年以下有期徒刑或者拘役，并处骗取税款一倍以上五倍以下罚金；数额巨大或者有其他严重情节的，处五年以上十年以下有期徒刑，并处骗取税款一倍以上五倍以下罚金；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑，并处骗取税款一倍以上五倍以下罚金或者没收财产。
纳税人缴纳税款后，采取前款规定的欺骗方法，骗取所缴纳的税款的，依照本法第二百零一条的规定定罪处罚；骗取税款超过所缴纳的税款部分，依照前款的规定处罚。
第二百零五条 虚开增值税专用发票或者虚开用于骗取出口退税、抵扣税款的其他发票的，处三年以下有期徒刑或者拘役，并处二万元以上二十万元以下罚金；虚开的税款数额较大或者有其他严重情节的，处三年以上十年以下有期徒刑，并处五万元以上五十万元以下罚金；虚开的税款数额巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑，并处五万元以上五十万元以下罚金或者没收财产。
单位犯本条规定之罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处三年以下有期徒刑或者拘役；虚开的税款数额较大或者有其他严重情节的，处三年以上十年以下有期徒刑；虚开的税款数额巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑。
虚开增值税专用发票或者虚开用于骗取出口退税、抵扣税款的其他发票，是指有为他人虚开、为自己虚开、让他人为自己虚开、介绍他人虚开行为之一的。
第二百零五条之一 虚开本法第二百零五条规定以外的其他发票，情节严重的，处二年以下有期徒刑、拘役或者管制，并处罚金；情节特别严重的，处二年以上七年以下有期徒刑，并处罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第二百零六条 伪造或者出售伪造的增值税专用发票的，处三年以下有期徒刑、拘役或者管制，并处二万元以上二十万元以下罚金；数量较大或者有其他严重情节的，处三年以上十年以下有期徒刑，并处五万元以上五十万元以下罚金；数量巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑，并处五万元以上五十万元以下罚金或者没收财产。
单位犯本条规定之罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，处三年以下有期徒刑、拘役或者管制；数量较大或者有其他严重情节的，处三年以上十年以下有期徒刑；数量巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑。
第二百零七条 非法出售增值税专用发票的，处三年以下有期徒刑、拘役或者管制，并处二万元以上二十万元以下罚金；数量较大的，处三年以上十年以下有期徒刑，并处五万元以上五十万元以下罚金；数量巨大的，处十年以上有期徒刑或者无期徒刑，并处五万元以上五十万元以下罚金或者没收财产。
第二百零八条 非法购买增值税专用发票或者购买伪造的增值税专用发票的，处五年以下有期徒刑或者拘役，并处或者单处二万元以上二十万元以下罚金。
非法购买增值税专用发票或者购买伪造的增值税专用发票又虚开或者出售的，分别依照本法第二百零五条、第二百零六条、第二百零七条的规定定罪处罚。
第二百零九条 伪造、擅自制造或者出售伪造、擅自制造的可以用于骗取出口退税、抵扣税款的其他发票的，处三年以下有期徒刑、拘役或者管制，并处二万元以上二十万元以下罚金；数量巨大的，处三年以上七年以下有期徒刑，并处五万元以上五十万元以下罚金；数量特别巨大的，处七年以上有期徒刑，并处五万元以上五十万元以下罚金或者没收财产。
伪造、擅自制造或者出售伪造、擅自制造的前款规定以外的其他发票的，处二年以下有期徒刑、拘役或者管制，并处或者单处一万元以上五万元以下罚金；情节严重的，处二年以上七年以下有期徒刑，并处五万元以上五十万元以下罚金。
非法出售可以用于骗取出口退税、抵扣税款的其他发票的，依照第一款的规定处罚。
非法出售第三款规定以外的其他发票的，依照第二款的规定处罚。
第二百一十条 盗窃增值税专用发票或者可以用于骗取出口退税、抵扣税款的其他发票的，依照本法第二百六十四条的规定定罪处罚。
使用欺骗手段骗取增值税专用发票或者可以用于骗取出口退税、抵扣税款的其他发票的，依照本法第二百六十六条的规定定罪处罚。
第二百一十条之一 明知是伪造的发票而持有，数量较大的，处二年以下有期徒刑、拘役或者管制，并处罚金；数量巨大的，处二年以上七年以下有期徒刑，并处罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
第二百一十一条 单位犯本节第二百零一条、第二百零三条、第二百零四条、第二百零七条、第二百零八条、第二百零九条规定之罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照各该条的规定处罚。
第二百一十二条 犯本节第二百零一条至第二百零五条规定之罪，被判处罚金、没收财产的，在执行前，应当先由税务机关追缴税款和所骗取的出口退税款。
第七节 侵犯知识产权罪
第二百一十三条 未经注册商标所有人许可，在同一种商品、服务上使用与其注册商标相同的商标，情节严重的，处三年以下有期徒刑，并处或者单处罚金；情节特别严重的，处三年以上十年以下有期徒刑，并处罚金。
第二百一十四条 销售明知是假冒注册商标的商品，违法所得数额较大或者有其他严重情节的，处三年以下有期徒刑，并处或者单处罚金；违法所得数额巨大或者有其他特别严重情节的，处三年以上十年以下有期徒刑，并处罚金。
第二百一十五条 伪造、擅自制造他人注册商标标识或者销售伪造、擅自制造的注册商标标识，情节严重的，处三年以下有期徒刑，并处或者单处罚金；情节特别严重的，处三年以上十年以下有期徒刑，并处罚金。
第二百一十六条 假冒他人专利，情节严重的，处三年以下有期徒刑或者拘役，并处或者单处罚金。
第二百一十七条 以营利为目的，有下列侵犯著作权或者与著作权有关的权利的情形之一，违法所得数额较大或者有其他严重情节的，处三年以下有期徒刑，并处或者单处罚金；违法所得数额巨大或者有其他特别严重情节的，处三年以上十年以下有期徒刑，并处罚金：
（一）未经著作权人许可，复制发行、通过信息网络向公众传播其文字作品、音乐、美术、视听作品、计算机软件及法律、行政法规规定的其他作品的；
（二）出版他人享有专有出版权的图书的；
（三）未经录音录像制作者许可，复制发行、通过信息网络向公众传播其制作的录音录像的；
（四）未经表演者许可，复制发行录有其表演的录音录像制品，或者通过信息网络向公众传播其表演的；
（五）制作、出售假冒他人署名的美术作品的；
（六）未经著作权人或者与著作权有关的权利人许可，故意避开或者破坏权利人为其作品、录音录像制品等采取的保护著作权或者与著作权有关的权利的技术措施的。
第二百一十八条 以营利为目的，销售明知是本法第二百一十七条规定的侵权复制品，违法所得数额巨大或者有其他严重情节的，处五年以下有期徒刑，并处或者单处罚金。
第二百一十九条 有下列侵犯商业秘密行为之一，情节严重的，处三年以下有期徒刑，并处或者单处罚金；情节特别严重的，处三年以上十年以下有期徒刑，并处罚金：
（一）以盗窃、贿赂、欺诈、胁迫、电子侵入或者其他不正当手段获取权利人的商业秘密的；
（二）披露、使用或者允许他人使用以前项手段获取的权利人的商业秘密的；
（三）违反保密义务或者违反权利人有关保守商业秘密的要求，披露、使用或者允许他人使用其所掌握的商业秘密的。
明知前款所列行为，获取、披露、使用或者允许他人使用该商业秘密的，以侵犯商业秘密论。
本条所称权利人，是指商业秘密的所有人和经商业秘密所有人许可的商业秘密使用人。
第二百一十九条之一 为境外的机构、组织、人员窃取、刺探、收买、非法提供商业秘密的，处五年以下有期徒刑，并处或者单处罚金；情节严重的，处五年以上有期徒刑，并处罚金。
第二百二十条 单位犯本节第二百一十三条至第二百一十九条之一规定之罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照本节各该条的规定处罚。
第八节 扰乱市场秩序罪
第二百二十一条 捏造并散布虚伪事实，损害他人的商业信誉、商品声誉，给他人造成重大损失或者有其他严重情节的，处二年以下有期徒刑或者拘役，并处或者单处罚金。
第二百二十二条 广告主、广告经营者、广告发布者违反国家规定，利用广告对商品或者服务作虚假宣传，情节严重的，处二年以下有期徒刑或者拘役，并处或者单处罚金。
第二百二十三条 投标人相互串通投标报价，损害招标人或者其他投标人利益，情节严重的，处三年以下有期徒刑或者拘役，并处或者单处罚金。
投标人与招标人串通投标，损害国家、集体、公民的合法利益的，依照前款的规定处罚。
第二百二十四条 有下列情形之一，以非法占有为目的，在签订、履行合同过程中，骗取对方当事人财物，数额较大的，处三年以下有期徒刑或者拘役，并处或者单处罚金；数额巨大或者有其他严重情节的，处三年以上十年以下有期徒刑，并处罚金；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑，并处罚金或者没收财产：
（一）以虚构的单位或者冒用他人名义签订合同的；
（二）以伪造、变造、作废的票据或者其他虚假的产权证明作担保的；
（三）没有实际履行能力，以先履行小额合同或者部分履行合同的方法，诱骗对方当事人继续签订和履行合同的；
（四）收受对方当事人给付的货物、货款、预付款或者担保财产后逃匿的；
（五）以其他方法骗取对方当事人财物的。
第二百二十四条之一 组织、领导以推销商品、提供服务等经营活动为名，要求参加者以缴纳费用或者购买商品、服务等方式获得加入资格，并按照一定顺序组成层级，直接或者间接以发展人员的数量作为计酬或者返利依据，引诱、胁迫参加者继续发展他人参加，骗取财物，扰乱经济社会秩序的传销活动的，处五年以下有期徒刑或者拘役，并处罚金；情节严重的，处五年以上有期徒刑，并处罚金。
第二百二十五条 违反国家规定，有下列非法经营行为之一，扰乱市场秩序，情节严重的，处五年以下有期徒刑或者拘役，并处或者单处违法所得一倍以上五倍以下罚金；情节特别严重的，处五年以上有期徒刑，并处违法所得一倍以上五倍以下罚金或者没收财产：
（一）未经许可经营法律、行政法规规定的专营、专卖物品或者其他限制买卖的物品的；
（二）买卖进出口许可证、进出口原产地证明以及其他法律、行政法规规定的经营许可证或者批准文件的；
（三）未经国家有关主管部门批准非法经营证券、期货、保险业务的，或者非法从事资金支付结算业务的；
（四）其他严重扰乱市场秩序的非法经营行为。
第二百二十六条 以暴力、威胁手段，实施下列行为之一，情节严重的，处三年以下有期徒刑或者拘役，并处或者单处罚金；情节特别严重的，处三年以上七年以下有期徒刑，并处罚金：
（一）强买强卖商品的；
（二）强迫他人提供或者接受服务的；
（三）强迫他人参与或者退出投标、拍卖的；
（四）强迫他人转让或者收购公司、企业的股份、债券或者其他资产的；
（五）强迫他人参与或者退出特定的经营活动的。
第二百二十七条 伪造或者倒卖伪造的车票、船票、邮票或者其他有价票证，数额较大的，处二年以下有期徒刑、拘役或者管制，并处或者单处票证价额一倍以上五倍以下罚金；数额巨大的，处二年以上七年以下有期徒刑，并处票证价额一倍以上五倍以下罚金。
倒卖车票、船票，情节严重的，处三年以下有期徒刑、拘役或者管制，并处或者单处票证价额一倍以上五倍以下罚金。
第二百二十八条 以牟利为目的，违反土地管理法规，非法转让、倒卖土地使用权，情节严重的，处三年以下有期徒刑或者拘役，并处或者单处非法转让、倒卖土地使用权价额百分之五以上百分之二十以下罚金；情节特别严重的，处三年以上七年以下有期徒刑，并处非法转让、倒卖土地使用权价额百分之五以上百分之二十以下罚金。
第二百二十九条 承担资产评估、验资、验证、会计、审计、法律服务、保荐、安全评价、环境影响评价、环境监测等职责的中介组织的人员故意提供虚假证明文件，情节严重的，处五年以下有期徒刑或者拘役，并处罚金；有下列情形之一的，处五年以上十年以下有期徒刑，并处罚金：
（一）提供与证券发行相关的虚假的资产评估、会计、审计、法律服务、保荐等证明文件，情节特别严重的；
（二）提供与重大资产交易相关的虚假的资产评估、会计、审计等证明文件，情节特别严重的；
（三）在涉及公共安全的重大工程、项目中提供虚假的安全评价、环境影响评价等证明文件，致使公共财产、国家和人民利益遭受特别重大损失的。
有前款行为，同时索取他人财物或者非法收受他人财物构成犯罪的，依照处罚较重的规定定罪处罚。
第一款规定的人员，严重不负责任，出具的证明文件有重大失实，造成严重后果的，处三年以下有期徒刑或者拘役，并处或者单处罚金。
第二百三十条 违反进出口商品检验法的规定，逃避商品检验，将必须经商检机构检验的进口商品未报经检验而擅自销售、使用，或者将必须经商检机构检验的出口商品未报经检验合格而擅自出口，情节严重的，处三年以下有期徒刑或者拘役，并处或者单处罚金。
第二百三十一条 单位犯本节第二百二十一条至第二百三十条规定之罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照本节各该条的规定处罚。
第四章 侵犯公民人身权利、民主权利罪
第二百三十二条 故意杀人的，处死刑、无期徒刑或者十年以上有期徒刑；情节较轻的，处三年以上十年以下有期徒刑。
第二百三十三条 过失致人死亡的，处三年以上七年以下有期徒刑；情节较轻的，处三年以下有期徒刑。本法另有规定的，依照规定。
第二百三十四条 故意伤害他人身体的，处三年以下有期徒刑、拘役或者管制。
犯前款罪，致人重伤的，处三年以上十年以下有期徒刑；致人死亡或者以特别残忍手段致人重伤造成严重残疾的，处十年以上有期徒刑、无期徒刑或者死刑。本法另有规定的，依照规定。
第二百三十四条之一 组织他人出卖人体器官的，处五年以下有期徒刑，并处罚金；情节严重的，处五年以上有期徒刑，并处罚金或者没收财产。
未经本人同意摘取其器官，或者摘取不满十八周岁的人的器官，或者强迫、欺骗他人捐献器官的，依照本法第二百三十四条、第二百三十二条的规定定罪处罚。
违背本人生前意愿摘取其尸体器官，或者本人生前未表示同意，违反国家规定，违背其近亲属意愿摘取其尸体器官的，依照本法第三百零二条的规定定罪处罚。
第二百三十五条 过失伤害他人致人重伤的，处三年以下有期徒刑或者拘役。本法另有规定的，依照规定。
第二百三十六条 以暴力、胁迫或者其他手段强奸妇女的，处三年以上十年以下有期徒刑。
奸淫不满十四周岁的幼女的，以强奸论，从重处罚。
强奸妇女、奸淫幼女，有下列情形之一的，处十年以上有期徒刑、无期徒刑或者死刑：
（一）强奸妇女、奸淫幼女情节恶劣的；
（二）强奸妇女、奸淫幼女多人的；
（三）在公共场所当众强奸妇女、奸淫幼女的；
（四）二人以上轮奸的；
（五）奸淫不满十周岁的幼女或者造成幼女伤害的；
（六）致使被害人重伤、死亡或者造成其他严重后果的。
第二百三十六条之一 对已满十四周岁不满十六周岁的未成年女性负有监护、收养、看护、教育、医疗等特殊职责的人员，与该未成年女性发生性关系的，处三年以下有期徒刑；情节恶劣的，处三年以上十年以下有期徒刑。
有前款行为，同时又构成本法第二百三十六条规定之罪的，依照处罚较重的规定定罪处罚。
第二百三十七条 以暴力、胁迫或者其他方法强制猥亵他人或者侮辱妇女的，处五年以下有期徒刑或者拘役。
聚众或者在公共场所当众犯前款罪的，或者有其他恶劣情节的，处五年以上有期徒刑。
猥亵儿童的，处五年以下有期徒刑；有下列情形之一的，处五年以上有期徒刑：
（一）猥亵儿童多人或者多次的；
（二）聚众猥亵儿童的，或者在公共场所当众猥亵儿童，情节恶劣的；
（三）造成儿童伤害或者其他严重后果的；
（四）猥亵手段恶劣或者有其他恶劣情节的。
第二百三十八条 非法拘禁他人或者以其他方法非法剥夺他人人身自由的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利。具有殴打、侮辱情节的，从重处罚。
犯前款罪，致人重伤的，处三年以上十年以下有期徒刑；致人死亡的，处十年以上有期徒刑。使用暴力致人伤残、死亡的，依照本法第二百三十四条、第二百三十二条的规定定罪处罚。
为索取债务非法扣押、拘禁他人的，依照前两款的规定处罚。
国家机关工作人员利用职权犯前三款罪的，依照前三款的规定从重处罚。
第二百三十九条 以勒索财物为目的绑架他人的，或者绑架他人作为人质的，处十年以上有期徒刑或者无期徒刑，并处罚金或者没收财产；情节较轻的，处五年以上十年以下有期徒刑，并处罚金。
犯前款罪，杀害被绑架人的，或者故意伤害被绑架人，致人重伤、死亡的，处无期徒刑或者死刑，并处没收财产。
以勒索财物为目的偷盗婴幼儿的，依照前两款的规定处罚。
第二百四十条 拐卖妇女、儿童的，处五年以上十年以下有期徒刑，并处罚金；有下列情形之一的，处十年以上有期徒刑或者无期徒刑，并处罚金或者没收财产；情节特别严重的，处死刑，并处没收财产：
（一）拐卖妇女、儿童集团的首要分子；
（二）拐卖妇女、儿童三人以上的；
（三）奸淫被拐卖的妇女的；
（四）诱骗、强迫被拐卖的妇女卖淫或者将被拐卖的妇女卖给他人迫使其卖淫的；
（五）以出卖为目的，使用暴力、胁迫或者麻醉方法绑架妇女、儿童的；
（六）以出卖为目的，偷盗婴幼儿的；
（七）造成被拐卖的妇女、儿童或者其亲属重伤、死亡或者其他严重后果的；
（八）将妇女、儿童卖往境外的。
拐卖妇女、儿童是指以出卖为目的，有拐骗、绑架、收买、贩卖、接送、中转妇女、儿童的行为之一的。
第二百四十一条 收买被拐卖的妇女、儿童的，处三年以下有期徒刑、拘役或者管制。
收买被拐卖的妇女，强行与其发生性关系的，依照本法第二百三十六条的规定定罪处罚。
收买被拐卖的妇女、儿童，非法剥夺、限制其人身自由或者有伤害、侮辱等犯罪行为的，依照本法的有关规定定罪处罚。
收买被拐卖的妇女、儿童，并有第二款、第三款规定的犯罪行为的，依照数罪并罚的规定处罚。
收买被拐卖的妇女、儿童又出卖的，依照本法第二百四十条的规定定罪处罚。
收买被拐卖的妇女、儿童，对被买儿童没有虐待行为，不阻碍对其进行解救的，可以从轻处罚；按照被买妇女的意愿，不阻碍其返回原居住地的，可以从轻或者减轻处罚。
第二百四十二条 以暴力、威胁方法阻碍国家机关工作人员解救被收买的妇女、儿童的，依照本法第二百七十七条的规定定罪处罚。
聚众阻碍国家机关工作人员解救被收买的妇女、儿童的首要分子，处五年以下有期徒刑或者拘役；其他参与者使用暴力、威胁方法的，依照前款的规定处罚。
第二百四十三条 捏造事实诬告陷害他人，意图使他人受刑事追究，情节严重的，处三年以下有期徒刑、拘役或者管制；造成严重后果的，处三年以上十年以下有期徒刑。
国家机关工作人员犯前款罪的，从重处罚。
不是有意诬陷，而是错告，或者检举失实的，不适用前两款的规定。
第二百四十四条 以暴力、威胁或者限制人身自由的方法强迫他人劳动的，处三年以下有期徒刑或者拘役，并处罚金；情节严重的，处三年以上十年以下有期徒刑，并处罚金。
明知他人实施前款行为，为其招募、运送人员或者有其他协助强迫他人劳动行为的，依照前款的规定处罚。
单位犯前两款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照第一款的规定处罚。
第二百四十四条之一 违反劳动管理法规，雇用未满十六周岁的未成年人从事超强度体力劳动的，或者从事高空、井下作业的，或者在爆炸性、易燃性、放射性、毒害性等危险环境下从事劳动，情节严重的，对直接责任人员，处三年以下有期徒刑或者拘役，并处罚金；情节特别严重的，处三年以上七年以下有期徒刑，并处罚金。
有前款行为，造成事故，又构成其他犯罪的，依照数罪并罚的规定处罚。
第二百四十五条 非法搜查他人身体、住宅，或者非法侵入他人住宅的，处三年以下有期徒刑或者拘役。
司法工作人员滥用职权，犯前款罪的，从重处罚。
第二百四十六条 以暴力或者其他方法公然侮辱他人或者捏造事实诽谤他人，情节严重的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利。
前款罪，告诉的才处理，但是严重危害社会秩序和国家利益的除外。
通过信息网络实施第一款规定的行为，被害人向人民法院告诉，但提供证据确有困难的，人民法院可以要求公安机关提供协助。
第二百四十七条 司法工作人员对犯罪嫌疑人、被告人实行刑讯逼供或者使用暴力逼取证人证言的，处三年以下有期徒刑或者拘役。致人伤残、死亡的，依照本法第二百三十四条、第二百三十二条的规定定罪从重处罚。
第二百四十八条 监狱、拘留所、看守所等监管机构的监管人员对被监管人进行殴打或者体罚虐待，情节严重的，处三年以下有期徒刑或者拘役；情节特别严重的，处三年以上十年以下有期徒刑。致人伤残、死亡的，依照本法第二百三十四条、第二百三十二条的规定定罪从重处罚。
监管人员指使被监管人殴打或者体罚虐待其他被监管人的，依照前款的规定处罚。
第二百四十九条 煽动民族仇恨、民族歧视，情节严重的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利；情节特别严重的，处三年以上十年以下有期徒刑。
第二百五十条 在出版物中刊载歧视、侮辱少数民族的内容，情节恶劣，造成严重后果的，对直接责任人员，处三年以下有期徒刑、拘役或者管制。
第二百五十一条 国家机关工作人员非法剥夺公民的宗教信仰自由和侵犯少数民族风俗习惯，情节严重的，处二年以下有期徒刑或者拘役。
第二百五十二条 隐匿、毁弃或者非法开拆他人信件，侵犯公民通信自由权利，情节严重的，处一年以下有期徒刑或者拘役。
第二百五十三条 邮政工作人员私自开拆或者隐匿、毁弃邮件、电报的，处二年以下有期徒刑或者拘役。
犯前款罪而窃取财物的，依照本法第二百六十四条的规定定罪从重处罚。
第二百五十三条之一 违反国家有关规定，向他人出售或者提供公民个人信息，情节严重的，处三年以下有期徒刑或者拘役，并处或者单处罚金；情节特别严重的，处三年以上七年以下有期徒刑，并处罚金。
违反国家有关规定，将在履行职责或者提供服务过程中获得的公民个人信息，出售或者提供给他人的，依照前款的规定从重处罚。
窃取或者以其他方法非法获取公民个人信息的，依照第一款的规定处罚。
单位犯前三款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照各该款的规定处罚。
第二百五十四条 国家机关工作人员滥用职权、假公济私，对控告人、申诉人、批评人、举报人实行报复陷害的，处二年以下有期徒刑或者拘役；情节严重的，处二年以上七年以下有期徒刑。
第二百五十五条 公司、企业、事业单位、机关、团体的领导人，对依法履行职责、抵制违反会计法、统计法行为的会计、统计人员实行打击报复，情节恶劣的，处三年以下有期徒刑或者拘役。
第二百五十六条 在选举各级人民代表大会代表和国家机关领导人员时，以暴力、威胁、欺骗、贿赂、伪造选举文件、虚报选举票数等手段破坏选举或者妨害选民和代表自由行使选举权和被选举权，情节严重的，处三年以下有期徒刑、拘役或者剥夺政治权利。
第二百五十七条 以暴力干涉他人婚姻自由的，处二年以下有期徒刑或者拘役。
犯前款罪，致使被害人死亡的，处二年以上七年以下有期徒刑。
第一款罪，告诉的才处理。
第二百五十八条 有配偶而重婚的，或者明知他人有配偶而与之结婚的，处二年以下有期徒刑或者拘役。
第二百五十九条 明知是现役军人的配偶而与之同居或者结婚的，处三年以下有期徒刑或者拘役。
利用职权、从属关系，以胁迫手段奸淫现役军人的妻子的，依照本法第二百三十六条的规定定罪处罚。
第二百六十条 虐待家庭成员，情节恶劣的，处二年以下有期徒刑、拘役或者管制。
犯前款罪，致使被害人重伤、死亡的，处二年以上七年以下有期徒刑。
第一款罪，告诉的才处理，但被害人没有能力告诉，或者因受到强制、威吓无法告诉的除外。
第二百六十条之一 对未成年人、老年人、患病的人、残疾人等负有监护、看护职责的人虐待被监护、看护的人，情节恶劣的，处三年以下有期徒刑或者拘役。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
有第一款行为，同时构成其他犯罪的，依照处罚较重的规定定罪处罚。
第二百六十一条 对于年老、年幼、患病或者其他没有独立生活能力的人，负有扶养义务而拒绝扶养，情节恶劣的，处五年以下有期徒刑、拘役或者管制。
第二百六十二条 拐骗不满十四周岁的未成年人，脱离家庭或者监护人的，处五年以下有期徒刑或者拘役。
第二百六十二条之一 以暴力、胁迫手段组织残疾人或者不满十四周岁的未成年人乞讨的，处三年以下有期徒刑或者拘役，并处罚金；情节严重的，处三年以上七年以下有期徒刑，并处罚金。
第二百六十二条之二 组织未成年人进行盗窃、诈骗、抢夺、敲诈勒索等违反治安管理活动的，处三年以下有期徒刑或者拘役，并处罚金；情节严重的，处三年以上七年以下有期徒刑，并处罚金。
第五章 侵犯财产罪
第二百六十三条 以暴力、胁迫或者其他方法抢劫公私财物的，处三年以上十年以下有期徒刑，并处罚金；有下列情形之一的，处十年以上有期徒刑、无期徒刑或者死刑，并处罚金或者没收财产：
（一）入户抢劫的；
（二）在公共交通工具上抢劫的；
（三）抢劫银行或者其他金融机构的；
（四）多次抢劫或者抢劫数额巨大的；
（五）抢劫致人重伤、死亡的；
（六）冒充军警人员抢劫的；
（七）持枪抢劫的；
（八）抢劫军用物资或者抢险、救灾、救济物资的。
第二百六十四条 盗窃公私财物，数额较大的，或者多次盗窃、入户盗窃、携带凶器盗窃、扒窃的，处三年以下有期徒刑、拘役或者管制，并处或者单处罚金；数额巨大或者有其他严重情节的，处三年以上十年以下有期徒刑，并处罚金；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑，并处罚金或者没收财产。
第二百六十五条 以牟利为目的，盗接他人通信线路、复制他人电信码号或者明知是盗接、复制的电信设备、设施而使用的，依照本法第二百六十四条的规定定罪处罚。
第二百六十六条 诈骗公私财物，数额较大的，处三年以下有期徒刑、拘役或者管制，并处或者单处罚金；数额巨大或者有其他严重情节的，处三年以上十年以下有期徒刑，并处罚金；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑，并处罚金或者没收财产。本法另有规定的，依照规定。
第二百六十七条 抢夺公私财物，数额较大的，或者多次抢夺的，处三年以下有期徒刑、拘役或者管制，并处或者单处罚金；数额巨大或者有其他严重情节的，处三年以上十年以下有期徒刑，并处罚金；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑或者无期徒刑，并处罚金或者没收财产。
携带凶器抢夺的，依照本法第二百六十三条的规定定罪处罚。
第二百六十八条 聚众哄抢公私财物，数额较大或者有其他严重情节的，对首要分子和积极参加的，处三年以下有期徒刑、拘役或者管制，并处罚金；数额巨大或者有其他特别严重情节的，处三年以上十年以下有期徒刑，并处罚金。
第二百六十九条 犯盗窃、诈骗、抢夺罪，为窝藏赃物、抗拒抓捕或者毁灭罪证而当场使用暴力或者以暴力相威胁的，依照本法第二百六十三条的规定定罪处罚。
第二百七十条 将代为保管的他人财物非法占为己有，数额较大，拒不退还的，处二年以下有期徒刑、拘役或者罚金；数额巨大或者有其他严重情节的，处二年以上五年以下有期徒刑，并处罚金。
将他人的遗忘物或者埋藏物非法占为己有，数额较大，拒不交出的，依照前款的规定处罚。
本条罪，告诉的才处理。
第二百七十一条 公司、企业或者其他单位的工作人员，利用职务上的便利，将本单位财物非法占为己有，数额较大的，处三年以下有期徒刑或者拘役，并处罚金；数额巨大的，处三年以上十年以下有期徒刑，并处罚金；数额特别巨大的，处十年以上有期徒刑或者无期徒刑，并处罚金。
国有公司、企业或者其他国有单位中从事公务的人员和国有公司、企业或者其他国有单位委派到非国有公司、企业以及其他单位从事公务的人员有前款行为的，依照本法第三百八十二条、第三百八十三条的规定定罪处罚。
第二百七十二条 公司、企业或者其他单位的工作人员，利用职务上的便利，挪用本单位资金归个人使用或者借贷给他人，数额较大、超过三个月未还的，或者虽未超过三个月，但数额较大、进行营利活动的，或者进行非法活动的，处三年以下有期徒刑或者拘役；挪用本单位资金数额巨大的，处三年以上七年以下有期徒刑；数额特别巨大的，处七年以上有期徒刑。
国有公司、企业或者其他国有单位中从事公务的人员和国有公司、企业或者其他国有单位委派到非国有公司、企业以及其他单位从事公务的人员有前款行为的，依照本法第三百八十四条的规定定罪处罚。
有第一款行为，在提起公诉前将挪用的资金退还的，可以从轻或者减轻处罚。其中，犯罪较轻的，可以减轻或者免除处罚。
第二百七十三条 挪用用于救灾、抢险、防汛、优抚、扶贫、移民、救济款物，情节严重，致使国家和人民群众利益遭受重大损害的，对直接责任人员，处三年以下有期徒刑或者拘役；情节特别严重的，处三年以上七年以下有期徒刑。
第二百七十四条 敲诈勒索公私财物，数额较大或者多次敲诈勒索的，处三年以下有期徒刑、拘役或者管制，并处或者单处罚金；数额巨大或者有其他严重情节的，处三年以上十年以下有期徒刑，并处罚金；数额特别巨大或者有其他特别严重情节的，处十年以上有期徒刑，并处罚金。
第二百七十五条 故意毁坏公私财物，数额较大或者有其他严重情节的，处三年以下有期徒刑、拘役或者罚金；数额巨大或者有其他特别严重情节的，处三年以上七年以下有期徒刑。
第二百七十六条 由于泄愤报复或者其他个人目的，毁坏机器设备、残害耕畜或者以其他方法破坏生产经营的，处三年以下有期徒刑、拘役或者管制；情节严重的，处三年以上七年以下有期徒刑。
第二百七十六条之一 以转移财产、逃匿等方法逃避支付劳动者的劳动报酬或者有能力支付而不支付劳动者的劳动报酬，数额较大，经政府有关部门责令支付仍不支付的，处三年以下有期徒刑或者拘役，并处或者单处罚金；造成严重后果的，处三年以上七年以下有期徒刑，并处罚金。
单位犯前款罪的，对单位判处罚金，并对其直接负责的主管人员和其他直接责任人员，依照前款的规定处罚。
有前两款行为，尚未造成严重后果，在提起公诉前支付劳动者的劳动报酬，并依法承担相应赔偿责任的，可以减轻或者免除处罚。
第六章 妨害社会管理秩序罪
第一节 扰乱公共秩序罪
第二百七十七条 以暴力、威胁方法阻碍国家机关工作人员依法执行职务的，处三年以下有期徒刑、拘役、管制或者罚金。
以暴力、威胁方法阻碍全国人民代表大会和地方各级人民代表大会代表依法执行代表职务的，依照前款的规定处罚。
在自然灾害和突发事件中，以暴力、威胁方法阻碍红十字会工作人员依法履行职责的，依照第一款的规定处罚。
故意阻碍国家安全机关、公安机关依法执行国家安全工作任务，未使用暴力、威胁方法，造成严重后果的，依照第一款的规定处罚。
暴力袭击正在依法执行职务的人民警察的，处三年以下有期徒刑、拘役或者管制；使用枪支、管制刀具，或者以驾驶机动车撞击等手段，严重危及其人身安全的，处三年以上七年以下有期徒刑。
第二百七十八条 煽动群众暴力抗拒国家法律、行政法规实施的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利；造成严重后果的，处三年以上七年以下有期徒刑。
第二百七十九条 冒充国家机关工作人员招摇撞骗的，处三年以下有期徒刑、拘役、管制或者剥夺政治权利；情节严重的，处三年以上十年以下有期徒刑。
冒充人民警察招摇撞骗的，依照前款的规定从重处罚。
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在《中华人民共和国民法典》第二编 “物权” 中，第三分编 “用益物权” 第十四章 “居住权” 与第四分编 “担保物权” 第十七章 “抵押权” 第一节 “一般抵押权” 内，依据特定规则 “已依法办理登记设立居住权的住宅，抵押权人后续实现抵押权时，不得对抗该合法设立的居住权”，请仅在上述指定章节及节内检索，判断并定位是否存在符合该规则的条款。先输出“[答案]”标识符，再输出答案：若存在符合规则的条款，则输出“符合”后，按行输出符合的条款编号（例如“第一条”）；如果不存在，则输出“不符合”，不要输出任何其他内容。
输出示例：
[答案]
符合
第一条
第二条
|
在《中华人民共和国民法典》第二编 “物权” 中，第三分编 “用益物权” 第十四章 “居住权” 与第四分编 “担保物权” 第十七章 “抵押权” 第一节 “一般抵押权” 内，依据特定规则 “已依法办理登记设立居住权的住宅，抵押权人后续实现抵押权时，不得对抗该合法设立的居住权”，请仅在上述指定章节及节内检索，判断并定位是否存在符合该规则的条款。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出答案：若存在符合规则的条款，则输出“符合”后，按行输出符合的条款编号（例如“第一条”）；如果不存在，输出“不符合”，不要输出任何其他内容。
输出示例：
<你的思考过程>
[答案]
符合
第一条
第二条
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"不符合"
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16e1e7b1428b7179b01e9a63b00fccef8542f31f097f5634c7731cbfa204335f
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I
“Ideas,” she said. “Oh, as for ideas—”
“Well?” I hazarded, “as for ideas—?”
We went through the old gateway and I cast a glance over my shoulder. The noon sun was shining over the masonry, over the little saints’ effigies, over the little fretted canopies, the grime and the white streaks of bird-dropping.
“There,” I said, pointing toward it, “doesn’t that suggest something to you?”
She made a motion with her head—half negative, half contemptuous.
“But,” I stuttered, “the associations—the ideas—the historical ideas—”
She said nothing.
“You Americans,” I began, but her smile stopped me. It was as if she were amused at the utterances of an old lady shocked by the habits of the daughters of the day. It was the smile of a person who is confident of superseding one fatally.
In conversations of any length one of the parties assumes the superiority—superiority of rank, intellectual or social. In this conversation she, if she did not attain to tacitly acknowledged temperamental superiority, seemed at least to claim it, to have no doubt as to its ultimate according. I was unused to this. I was a talker, proud of my conversational powers.
I had looked at her before; now I cast a sideways, critical glance at her. I came out of my moodiness to wonder what type this was. She had good hair, good eyes, and some charm. Yes. And something besides—a something—a something that was not an attribute of her beauty. The modelling of her face was so perfect and so delicate as to produce an effect of transparency, yet there was no suggestion of frailness; her glance had an extraordinary strength of life. Her hair was fair and gleaming, her cheeks coloured as if a warm light had fallen on them from somewhere. She was familiar till it occurred to you that she was strange.
“Which way are you going?” she asked.
“I am going to walk to Dover,” I answered.
“And I may come with you?”
I looked at her—intent on divining her in that one glance. It was of course impossible. “There will be time for analysis,” I thought.
“The roads are free to all,” I said. “You are not an American?”
She shook her head. No. She was not an Australian either, she came from none of the British colonies.
“You are not English,” I affirmed. “You speak too well.” I was piqued. She did not answer. She smiled again and I grew angry. In the cathedral she had smiled at the verger’s commendation of particularly abominable restorations, and that smile had drawn me toward her, had emboldened me to offer deferential and condemnatory remarks as to the plaster-of-Paris mouldings. You know how one addresses a young lady who is obviously capable of taking care of herself. That was how I had come across her. She had smiled at the gabble of the cathedral guide as he showed the obsessed troop, of which we had formed units, the place of martyrdom of Blessed Thomas, and her smile had had just that quality of superseder’s contempt. It had pleased me then; but, now that she smiled thus past me—it was not quite at me—in the crooked highways of the town, I was irritated. After all, I was somebody; I was not a cathedral verger. I had a fancy for myself in those days—a fancy that solitude and brooding had crystallised into a habit of mind. I was a writer with high—with the highest—ideals. I had withdrawn myself from the world, lived isolated, hidden in the countryside, lived as hermits do, on the hope of one day doing something—of putting greatness on paper. She suddenly fathomed my thoughts: “You write,” she affirmed. I asked how she knew, wondered what she had read of mine—there was so little.
“Are you a popular author?” she asked.
“Alas, no!” I answered. “You must know that.”
“You would like to be?”
“We should all of us like,” I answered; “though it is true some of us protest that we aim for higher things.”
“I see,” she said, musingly. As far as I could tell she was coming to some decision. With an instinctive dislike to any such proceeding as regarded myself, I tried to cut across her unknown thoughts.
“But, really—” I said, “I am quite a commonplace topic. Let us talk about yourself. Where do you come from?”
It occurred to me again that I was intensely unacquainted with her type. Here was the same smile—as far as I could see, exactly the same smile. There are fine shades in smiles as in laughs, as in tones of voice. I seemed unable to hold my tongue.
“Where do you come from?” I asked. “You must belong to one of the new nations. You are a foreigner, I’ll swear, because you have such a fine contempt for us. You irritate me so that you might almost be a Prussian. But it is obvious that you are of a new nation that is beginning to find itself.”
“Oh, we are to inherit the earth, if that is what you mean,” she said.
“The phrase is comprehensive,” I said. I was determined not to give myself away. “Where in the world do you come from?” I repeated. The question, I was quite conscious, would have sufficed, but in the hope, I suppose, of establishing my intellectual superiority, I continued:
“You know, fair play’s a jewel. Now I’m quite willing to give you information as to myself. I have already told you the essentials—you ought to tell me something. It would only be fair play.”
“Why should there be any fair play?” she asked.
“What have you to say against that?” I said. “Do you not number it among your national characteristics?”
“You really wish to know where I come from?”
I expressed lighthearted acquiescence.
“Listen,” she said, and uttered some sounds. I felt a kind of unholy emotion. It had come like a sudden, suddenly hushed, intense gust of wind through a breathless day. “What—what!” I cried.
“I said I inhabit the Fourth Dimension.”
I recovered my equanimity with the thought that I had been visited by some stroke of an obscure and unimportant physical kind.
“I think we must have been climbing the hill too fast for me,” I said, “I have not been very well. I missed what you said.” I was certainly out of breath.
“I said I inhabit the Fourth Dimension,” she repeated with admirable gravity.
“Oh, come,” I expostulated, “this is playing it rather low down. You walk a convalescent out of breath and then propound riddles to him.”
I was recovering my breath, and, with it, my inclination to expand. Instead, I looked at her. I was beginning to understand. It was obvious enough that she was a foreigner in a strange land, in a land that brought out her national characteristics. She must be of some race, perhaps Semitic, perhaps Sclav—of some incomprehensible race. I had never seen a Circassian, and there used to be a tradition that Circassian women were beautiful, were fair-skinned, and so on. What was repelling in her was accounted for by this difference in national point of view. One is, after all, not so very remote from the horse. What one does not understand one shies at—finds sinister, in fact. And she struck me as sinister.
“You won’t tell me who you are?” I said.
“I have done so,” she answered.
“If you expect me to believe that you inhabit a mathematical monstrosity, you are mistaken. You are, really.”
She turned round and pointed at the city.
“Look!” she said.
We had climbed the western hill. Below our feet, beneath a sky that the wind had swept clean of clouds, was the valley; a broad bowl, shallow, filled with the purple of smoke-wreaths. And above the mass of red roofs there soared the golden stonework of the cathedral tower. It was a vision, the last word of a great art. I looked at her. I was moved, and I knew that the glory of it must have moved her.
She was smiling. “Look!” she repeated. I looked.
There was the purple and the red, and the golden tower, the vision, the last word. She said something—uttered some sound.
What had happened? I don’t know. It all looked contemptible. One seemed to see something beyond, something vaster—vaster than cathedrals, vaster than the conception of the gods to whom cathedrals were raised. The tower reeled out of the perpendicular. One saw beyond it, not roofs, or smoke, or hills, but an unrealised, an unrealisable infinity of space.
It was merely momentary. The tower filled its place again and I looked at her.
“What the devil,” I said, hysterically—“what the devil do you play these tricks upon me for?”
“You see,” she answered, “the rudiments of the sense are there.”
“You must excuse me if I fail to understand,” I said, grasping after fragments of dropped dignity. “I am subject to fits of giddiness.” I felt a need for covering a species of nakedness. “Pardon my swearing,” I added; a proof of recovered equanimity.
We resumed the road in silence. I was physically and mentally shaken; and I tried to deceive myself as to the cause. After some time I said:
“You insist then in preserving your—your incognito.”
“Oh, I make no mystery of myself,” she answered.
“You have told me that you come from the Fourth Dimension,” I remarked, ironically.
“I come from the Fourth Dimension,” she said, patiently. She had the air of one in a position of difficulty; of one aware of it and ready to brave it. She had the listlessness of an enlightened person who has to explain, over and over again, to stupid children some rudimentary point of the multiplication table.
She seemed to divine my thoughts, to be aware of their very wording. She even said “yes” at the opening of her next speech.
“Yes,” she said. “It is as if I were to try to explain the new ideas of any age to a person of the age that has gone before.” She paused, seeking a concrete illustration that would touch me. “As if I were explaining to Dr. Johnson the methods and the ultimate vogue of the cockney school of poetry.”
“I understand,” I said, “that you wish me to consider myself as relatively a Choctaw. But what I do not understand is; what bearing that has upon—upon the Fourth Dimension, I think you said?”
“I will explain,” she replied.
“But you must explain as if you were explaining to a Choctaw,” I said, pleasantly, “you must be concise and convincing.”
She answered: “I will.”
She made a long speech of it; I condense. I can’t remember her exact words—there were so many; but she spoke like a book. There was something exquisitely piquant in her choice of words, in her expressionless voice. I seemed to be listening to a phonograph reciting a technical work. There was a touch of the incongruous, of the mad, that appealed to me—the commonplace rolling-down landscape, the straight, white, undulating road that, from the tops of rises, one saw running for miles and miles, straight, straight, and so white. Filtering down through the great blue of the sky came the thrilling of innumerable skylarks. And I was listening to a parody of a scientific work recited by a phonograph.
I heard the nature of the Fourth Dimension—heard that it was an inhabited plane—invisible to our eyes, but omnipresent; heard that I had seen it when Bell Harry had reeled before my eyes. I heard the Dimensionists described: a race clear-sighted, eminently practical, incredible; with no ideals, prejudices, or remorse; with no feeling for art and no reverence for life; free from any ethical tradition; callous to pain, weakness, suffering and death, as if they had been invulnerable and immortal. She did not say that they were immortal, however. “You would—you will—hate us,” she concluded. And I seemed only then to come to myself. The power of her imagination was so great that I fancied myself face to face with the truth. I supposed she had been amusing herself; that she should have tried to frighten me was inadmissible. I don’t pretend that I was completely at my ease, but I said, amiably: “You certainly have succeeded in making these beings hateful.”
“I have made nothing,” she said with a faint smile, and went on amusing herself. She would explain origins, now.
“Your”—she used the word as signifying, I suppose, the inhabitants of the country, or the populations of the earth—“your ancestors were mine, but long ago you were crowded out of the Dimension as we are today, you overran the earth as we shall do tomorrow. But you contracted diseases, as we shall contract them—beliefs, traditions; fears; ideas of pity … of love. You grew luxurious in the worship of your ideals, and sorrowful; you solaced yourselves with creeds, with arts—you have forgotten!”
She spoke with calm conviction; with an overwhelming and dispassionate assurance. She was stating facts; not professing a faith. We approached a little roadside inn. On a bench before the door a dun-clad country fellow was asleep, his head on the table.
“Put your fingers in your ears,” my companion commanded.
I humoured her.
I saw her lips move. The countryman started, shuddered, and by a clumsy, convulsive motion of his arms, upset his quart. He rubbed his eyes. Before he had voiced his emotions we had passed on.
“I have seen a horse-coper do as much for a stallion,” I commented. “I know there are words that have certain effects. But you shouldn’t play pranks like the low-comedy devil in Faustus.”
“It isn’t good form, I suppose?” she sneered.
“It’s a matter of feeling,” I said, hotly, “the poor fellow has lost his beer.”
“What’s that to me?” she commented, with the air of one affording a concrete illustration.
“It’s a good deal to him,” I answered.
“But what to me?”
I said nothing. She ceased her exposition immediately afterward, growing silent as suddenly as she had become discoursive. It was rather as if she had learnt a speech by heart and had come to the end of it. I was quite at a loss as to what she was driving at. There was a newness, a strangeness about her; sometimes she struck me as mad, sometimes as frightfully sane. We had a meal somewhere—a meal that broke the current of her speech—and then, in the late afternoon, took a byroad and wandered in secluded valleys. I had been ill; trouble of the nerves, brooding, the monotony of life in the shadow of unsuccess. I had an errand in this part of the world and had been approaching it deviously, seeking the normal in its quiet hollows, trying to get back to my old self. I did not wish to think of how I should get through the year—of the thousand little things that matter. So I talked and she—she listened very well.
But topics exhaust themselves and, at the last, I myself brought the talk round to the Fourth Dimension. We were sauntering along the forgotten valley that lies between Hardves and Stelling Minnis; we had been silent for several minutes. For me, at least, the silence was pregnant with the undefinable emotions that, at times, run in currents between man and woman. The sun was getting low and it was shadowy in those shrouded hollows. I laughed at some thought, I forget what, and then began to badger her with questions. I tried to exhaust the possibilities of the Dimensionist idea, made grotesque suggestions. I said: “And when a great many of you have been crowded out of the Dimension and invaded the earth you will do so-and-so—” something preposterous and ironical. She coldly dissented, and at once the irony appeared as gross as the jocularity of a commercial traveller. Sometimes she signified: “Yes, that is what we shall do;” signified it without speaking—by some gesture perhaps, I hardly know what. There was something impressive—something almost regal—in this manner of hers; it was rather frightening in those lonely places, which were so forgotten, so gray, so closed in. There was something of the past world about the hanging woods, the little veils of unmoving mist—as if time did not exist in those furrows of the great world; and one was so absolutely alone; anything might have happened. I grew weary of the sound of my tongue. But when I wanted to cease, I found she had on me the effect of some incredible stimulant.
We came to the end of the valley where the road begins to climb the southern hill, out into the open air. I managed to maintain an uneasy silence. From her grimly dispassionate reiterations I had attained to a clear idea, even to a visualisation, of her fantastic conception—allegory, madness, or whatever it was. She certainly forced it home. The Dimensionists were to come in swarms, to materialise, to devour like locusts, to be all the more irresistible because indistinguishable. They were to come like snow in the night: in the morning one would look out and find the world white; they were to come as the gray hairs come, to sap the strength of us as the years sap the strength of the muscles. As to methods, we should be treated as we ourselves treat the inferior races. There would be no fighting, no killing; we—our whole social system—would break as a beam snaps, because we were worm-eaten with altruism and ethics. We, at our worst, had a certain limit, a certain stage where we exclaimed: “No, this is playing it too low down,” because we had scruples that acted like handicapping weights. She uttered, I think, only two sentences of connected words: “We shall race with you and we shall not be weighted,” and, “We shall merely sink you lower by our weight.” All the rest went like this:
“But then,” I would say … “we shall not be able to trust anyone. Anyone may be one of you. …” She would answer: “Anyone.” She prophesied a reign of terror for us. As one passed one’s neighbour in the street one would cast sudden, piercing glances at him.
I was silent. The birds were singing the sun down. It was very dark among the branches, and from minute to minute the colours of the world deepened and grew sombre.
“But—” I said. A feeling of unrest was creeping over me. “But why do you tell me all this?” I asked. “Do you think I will enlist with you?”
“You will have to in the end,” she said, “and I do not wish to waste my strength. If you had to work unwittingly you would resist and resist and resist. I should have to waste my power on you. As it is, you will resist only at first, then you will begin to understand. You will see how we will bring a man down—a man, you understand, with a great name, standing for probity and honour. You will see the nets drawing closer and closer, and you will begin to understand. Then you will cease resisting, that is all.”
I was silent. A June nightingale began to sing, a trifle hoarsely. We seemed to be waiting for some signal. The things of the night came and went, rustled through the grass, rustled through the leafage. At last I could not even see the white gleam of her face. …
I stretched out my hand and it touched hers. I seized it without an instant of hesitation. “How could I resist you?” I said, and heard my own whisper with a kind of amazement at its emotion. I raised her hand. It was very cold and she seemed to have no thought of resistance; but before it touched my lips something like a panic of prudence had overcome me. I did not know what it would lead to—and I remembered that I did not even know who she was. From the beginning she had struck me as sinister and now, in the obscurity, her silence and her coldness seemed to be a passive threatening of unknown entanglement. I let her hand fall.
“We must be getting on,” I said.
The road was shrouded and overhung by branches. There was a kind of translucent light, enough to see her face, but I kept my eyes on the ground. I was vexed. Now that it was past the episode appeared to be a lost opportunity. We were to part in a moment, and her rare mental gifts and her unfamiliar, but very vivid, beauty made the idea of parting intensely disagreeable. She had filled me with a curiosity that she had done nothing whatever to satisfy, and with a fascination that was very nearly a fear. We mounted the hill and came out on a stretch of soft common sward. Then the sound of our footsteps ceased and the world grew more silent than ever. There were little enclosed fields all round us. The moon threw a wan light, and gleaming mist hung in the ragged hedges. Broad, soft roads ran away into space on every side.
“And now …” I asked, at last, “shall we ever meet again?” My voice came huskily, as if I had not spoken for years and years.
“Oh, very often,” she answered.
“Very often?” I repeated. I hardly knew whether I was pleased or dismayed. Through the gate-gap in a hedge, I caught a glimmer of a white house front. It seemed to belong to another world; to another order of things.
“Ah … here is Callan’s,” I said. “This is where I was going. …”
“I know,” she answered; “we part here.”
“To meet again?” I asked.
“Oh … to meet again; why, yes, to meet again.”
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II
Her figure faded into the darkness, as pale things waver down into deep water, and as soon as she disappeared my sense of humour returned. The episode appeared more clearly, as a flirtation with an enigmatic, but decidedly charming, chance travelling companion. The girl was a riddle, and a riddle once guessed is a very trivial thing. She, too, would be a very trivial thing when I had found a solution. It occurred to me that she wished me to regard her as a symbol, perhaps, of the future—as a type of those who are to inherit the earth, in fact. She had been playing the fool with me, in her insolent modernity. She had wished me to understand that I was old-fashioned; that the frame of mind of which I and my fellows were the inheritors was over and done with. We were to be compulsorily retired; to stand aside superannuated. It was obvious that she was better equipped for the swiftness of life. She had a something—not only quickness of wit, not only ruthless determination, but a something quite different and quite indefinably more impressive. Perhaps it was only the confidence of the superseder, the essential quality that makes for the empire of the Occidental. But I was not a negro—not even relatively a Hindu. I was somebody, confound it, I was somebody.
As an author, I had been so uniformly unsuccessful, so absolutely unrecognised, that I had got into the way of regarding myself as ahead of my time, as a worker for posterity. It was a habit of mind—the only revenge that I could take upon despiteful Fate. This girl came to confound me with the common herd—she declared herself to be that very posterity for which I worked.
She was probably a member of some clique that called themselves Fourth Dimensionists—just as there had been pre-Raphaelites. It was a matter of cant allegory. I began to wonder how it was that I had never heard of them. And how on earth had they come to hear of me!
“She must have read something of mine,” I found myself musing: “the Jenkins story perhaps. It must have been the Jenkins story; they gave it a good place in their rotten magazine. She must have seen that it was the real thing, and. …” When one is an author one looks at things in that way, you know.
By that time I was ready to knock at the door of the great Callan. I seemed to be jerked into the commonplace medium of a great, great—oh, an infinitely great—novelist’s home life. I was led into a well-lit drawing-room, welcomed by the great man’s wife, gently propelled into a bedroom, made myself tidy, descended and was introduced into the sanctum, before my eyes had grown accustomed to the lamplight. Callan was seated upon his sofa surrounded by an admiring crowd of very local personages. I forget what they looked like. I think there was a man whose reddish beard did not become him and another whose face might have been improved by the addition of a reddish beard; there was also an extremely moody dark man and I vaguely recollect a person who lisped.
They did not talk much; indeed there was very little conversation. What there was Callan supplied. He—spoke—very—slowly—and—very—authoritatively, like a great actor whose aim is to hold the stage as long as possible. The raising of his heavy eyelids at the opening door conveyed the impression of a dark, mental weariness; and seemed somehow to give additional length to his white nose. His short, brown beard was getting very grey, I thought. With his lofty forehead and with his superior, yet propitiatory smile, I was of course familiar. Indeed one saw them on posters in the street. The notables did not want to talk. They wanted to be spellbound—and they were. Callan sat there in an appropriate attitude—the one in which he was always photographed. One hand supported his head, the other toyed with his watch-chain. His face was uniformly solemn, but his eyes were disconcertingly furtive. He cross-questioned me as to my walk from Canterbury; remarked that the cathedral was a—magnificent—Gothic—Monument and set me right as to the lie of the roads. He seemed pleased to find that I remembered very little of what I ought to have noticed on the way. It gave him an opportunity for the display of his local erudition.
“A—remarkable woman—used—to—live—in—the—cottage—next—the—mill—at—Stelling,” he said; “she was the original of Kate Wingfield.”
“In your Boldero?” the chorus chorused.
Remembrance of the common at Stelling—of the glimmering white faces of the shadowy cottages—was like a cold waft of mist to me. I forgot to say “Indeed!”
“She was—a very—remarkable—woman—She—”
I found myself wondering which was real; the common with its misty hedges and the blurred moon; or this room with its ranks of uniformly bound books and its bust of the great man that threw a portentous shadow upward from its pedestal behind the lamp.
Before I had entirely recovered myself, the notables were departing to catch the last train. I was left alone with Callan.
He did not trouble to resume his attitude for me, and when he did speak, spoke faster.
“Interesting man, Mr. Jinks?” he said; “you recognised him?”
“No,” I said; “I don’t think I ever met him.”
Callan looked annoyed.
“I thought I’d got him pretty well. He’s Hector Steele. In my Blanfield,” he added.
“Indeed!” I said. I had never been able to read Blanfield. “Indeed, ah, yes—of course.”
There was an awkward pause.
“The whiskey will be here in a minute,” he said, suddenly. “I don’t have it in when Whatnot’s here. He’s the Rector, you know; a great temperance man. When we’ve had a—a modest quencher—we’ll get to business.”
“Oh,” I said, “your letters really meant—”
“Of course,” he answered. “Oh, here’s the whiskey. Well now, Fox was down here the other night. You know Fox, of course?”
“Didn’t he start the rag called—?”
“Yes, yes,” Callan answered, hastily, “he’s been very successful in launching papers. Now he’s trying his hand with a new one. He’s any amount of backers—big names, you know. He’s to run my next as a feuilleton. This—this venture is to be rather more serious in tone than any that he’s done hitherto. You understand?”
“Why, yes,” I said; “but I don’t see where I come in.”
Callan took a meditative sip of whiskey, added a little more water, a little more whiskey, and then found the mixture to his liking.
“You see,” he said, “Fox got a letter here to say that Wilkinson had died suddenly—some affection of the heart. Wilkinson was to have written a series of personal articles on prominent people. Well, Fox was nonplussed and I put in a word for you.”
“I’m sure I’m much—” I began.
“Not at all, not at all,” Callan interrupted, blandly. “I’ve known you and you’ve known me for a number of years.”
A sudden picture danced before my eyes—the portrait of the Callan of the old days—the fawning, shady individual, with the seedy clothes, the furtive eyes and the obliging manners.
“Why, yes,” I said; “but I don’t see that that gives me any claim.”
Callan cleared his throat.
“The lapse of time,” he said in his grand manner, “rivets what we may call the bands of association.”
He paused to inscribe this sentence on the tablets of his memory. It would be dragged in—to form a purple patch—in his new serial.
“You see,” he went on, “I’ve written a good deal of autobiographical matter and it would verge upon self-advertisement to do more. You know how much I dislike that. So I showed Fox your sketch in the Kensington.”
“The Jenkins story?” I said. “How did you come to see it?”
“Then send me the Kensington,” he answered. There was a touch of sourness in his tone, and I remembered that the Kensington I had seen had been ballasted with seven goodly pages by Callan himself—seven unreadable packed pages of a serial.
“As I was saying,” Callan began again, “you ought to know me very well, and I suppose you are acquainted with my books. As for the rest, I will give you what material you want.”
“But, my dear Callan,” I said, “I’ve never tried my hand at that sort of thing.”
Callan silenced me with a wave of his hand.
“It struck both Fox and myself that your—your ‘Jenkins’ was just what was wanted,” he said; “of course, that was a study of a kind of broken-down painter. But it was well done.”
I bowed my head. Praise from Callan was best acknowledged in silence.
“You see, what we want, or rather what Fox wants,” he explained, “is a kind of series of studies of celebrities chez eux. Of course, they are not broken down. But if you can treat them as you treated Jenkins—get them in their studies, surrounded by what in their case stands for the broken lay figures and the faded serge curtains—it will be exactly the thing. It will be a new line, or rather—what is a great deal better, mind you—an old line treated in a slightly, very slightly different way. That’s what the public wants.”
“Ah, yes,” I said, “that’s what the public wants. But all the same, it’s been done time out of mind before. Why, I’ve seen photographs of you and your armchair and your pen-wiper and so on, half a score of times in the sixpenny magazines.”
Callan again indicated bland superiority with a wave of his hand.
“You undervalue yourself,” he said.
I murmured—“Thanks.”
“This is to be—not a mere pandering to curiosity—but an attempt to get at the inside of things—to get the atmosphere, so to speak; not merely to catalogue furniture.”
He was quoting from the prospectus of the new paper, and then cleared his throat for the utterance of a tremendous truth.
“Photography—is not—Art,” he remarked.
The fantastic side of our colloquy began to strike me.
“After all,” I thought to myself, “why shouldn’t that girl have played at being a denizen of another sphere? She did it ever so much better than Callan. She did it too well, I suppose.”
“The price is very decent,” Callan chimed in. “I don’t know how much per thousand, … but. …”
I found myself reckoning, against my will as it were.
“You’ll do it, I suppose?” he said.
I thought of my debts … “Why, yes, I suppose so,” I answered. “But who are the others that I am to provide with atmospheres?”
Callan shrugged his shoulders.
“Oh, all sorts of prominent people—soldiers, statesmen, Mr. Churchill, the Foreign Minister, artists, preachers—all sorts of people.”
“All sorts of glory,” occurred to me.
“The paper will stand expenses up to a reasonable figure,” Callan reassured me.
“It’ll be a good joke for a time,” I said. “I’m infinitely obliged to you.”
He warded off my thanks with both hands.
“I’ll just send a wire to Fox to say that you accept,” he said, rising. He seated himself at his desk in the appropriate attitude. He had an appropriate attitude for every vicissitude of his life. These he had struck before so many people that even in the small hours of the morning he was ready for the kodak wielder. Beside him he had every form of labour-saver; every kind of literary knickknack. There were book-holders that swung into positions suitable to appropriate attitudes; there were piles of little green boxes with red capital letters of the alphabet upon them, and big red boxes with black small letters. There was a writing-lamp that cast an aesthetic glow upon another appropriate attitude—and there was one typewriter with notepaper upon it, and another with MS. paper already in position.
“My God!” I thought—“to these heights the Muse soars.”
As I looked at the gleaming pillars of the typewriters, the image of my own desk appeared to me; chipped, ink-stained, gloriously dusty. I thought that when again I lit my battered old tin lamp I should see ashes and match-ends; a tobacco-jar, an old gnawed penny penholder, bits of pink blotting-paper, matchboxes, old letters, and dust everywhere. And I knew that my attitude—when I sat at it—would be inappropriate.
Callan was ticking off the telegram upon his machine. “It will go in the morning at eight,” he said.
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III
To encourage me, I suppose, Callan gave me the proof-sheets of his next to read in bed. The thing was so bad that it nearly sickened me of him and his jobs. I tried to read the stuff; to read it conscientiously, to read myself to sleep with it. I was under obligations to old Cal and I wanted to do him justice, but the thing was impossible. I fathomed a sort of a plot. It dealt in fratricide with a touch of adultery; a Great Moral Purpose loomed in the background. It would have been a dully readable novel but for that; as it was, it was intolerable. It was amazing that Cal himself could put out such stuff; that he should have the impudence. He was not a fool, not by any means a fool. It revolted me more than a little.
I came to it out of a different plane of thought. I may not have been able to write then—or I may; but I did know enough to recognise the flagrantly, the indecently bad, and, upon my soul, the idea that I, too, must cynically offer this sort of stuff if I was ever to sell my tens of thousands very nearly sent me back to my solitude. Callan had begun very much as I was beginning now; he had even, I believe, had ideals in his youth and had starved a little. It was rather trying to think that perhaps I was really no more than another Callan, that, when at last I came to review my life, I should have much such a record to look back upon. It disgusted me a little, and when I put out the light the horrors settled down upon me.
I woke in a shivering frame of mind, ashamed to meet Callan’s eye. It was as if he must be aware of my overnight thoughts, as if he must think me a fool who quarrelled with my victuals. He gave no signs of any such knowledge—was dignified, cordial; discussed his breakfast with gusto, opened his letters, and so on. An anaemic amanuensis was taking notes for appropriate replies. How could I tell him that I would not do the work, that I was too proud and all the rest of it? He would have thought me a fool, would have stiffened into hostility, I should have lost my last chance. And, in the broad light of day, I was loath to do that.
He began to talk about indifferent things; we glided out on to a current of mediocre conversation. The psychical moment, if there were any such, disappeared.
Someone bearing my name had written to express an intention of offering personal worship that afternoon. The prospect seemed to please the great Cal. He was used to such things; he found them pay, I suppose. We began desultorily to discuss the possibility of the writer’s being a relation of mine; I doubted. I had no relations that I knew of; there was a phenomenal old aunt who had inherited the acres and respectability of the Etchingham Grangers, but she was not the kind of person to worship a novelist. I, the poor last of the family, was without the pale, simply because I, too, was a novelist. I explained these things to Callan and he commented on them, found it strange how small or how large, I forget which, the world was. Since his own apotheosis shoals of Callans had claimed relationship.
I ate my breakfast. Afterward, we set about the hatching of that article—the thought of it sickens me even now. You will find it in the volume along with the others; you may see how I lugged in Callan’s surroundings, his writing-room, his dining-room, the romantic arbour in which he found it easy to write love-scenes, the clipped trees like peacocks and the trees clipped like bears, and all the rest of the background for appropriate attitudes. He was satisfied with any arrangements of words that suggested a gentle awe on the part of the writer.
“Yes, yes,” he said once or twice, “that’s just the touch, just the touch—very nice. But don’t you think. …” We lunched after some time.
I was so happy. Quite pathetically happy. It had come so easy to me. I had doubted my ability to do the sort of thing; but it had written itself, as money spends itself, and I was going to earn money like that. The whole of my past seemed a mistake—a childishness. I had kept out of this sort of thing because I had thought it below me; I had kept out of it and had starved my body and warped my mind. Perhaps I had even damaged my work by this isolation. To understand life one must live—and I had only brooded. But, by Jove, I would try to live now.
Callan had retired for his accustomed siesta and I was smoking pipe after pipe over a confoundedly bad French novel that I had found in the bookshelves. I must have been dozing. A voice from behind my back announced:
“Miss Etchingham Granger!” and added—“Mr. Callan will be down directly.” I laid down my pipe, wondered whether I ought to have been smoking when Cal expected visitors, and rose to my feet.
“You!” I said, sharply. She answered, “You see.” She was smiling. She had been so much in my thoughts that I was hardly surprised—the thing had even an air of pleasant inevitability about it.
“You must be a cousin of mine,” I said, “the name—”
“Oh, call it sister,” she answered.
I was feeling inclined for farce, if blessed chance would throw it in my way. You see, I was going to live at last, and life for me meant irresponsibility.
“Ah!” I said, ironically, “you are going to be a sister to me, as they say.” She might have come the bogy over me last night in the moonlight, but now … There was a spice of danger about it, too, just a touch lurking somewhere. Besides, she was good-looking and well set up, and I couldn’t see what could touch me. Even if it did, even if I got into a mess, I had no relatives, not even a friend, to be worried about me. I stood quite alone, and I half relished the idea of getting into a mess—it would be part of life, too. I was going to have a little money, and she excited my curiosity. I was tingling to know what she was really at.
“And one might ask,” I said, “what you are doing in this—in this. …” I was at a loss for a word to describe the room—the smugness parading as professional Bohemianism.
“Oh, I am about my own business,” she said, “I told you last night—have you forgotten?”
“Last night you were to inherit the earth,” I reminded her, “and one doesn’t start in a place like this. Now I should have gone—well—I should have gone to some politician’s house—a cabinet minister’s—say to Gurnard’s. He’s the coming man, isn’t he?”
“Why, yes,” she answered, “he’s the coming man.”
You will remember that, in those days, Gurnard was only the dark horse of the ministry. I knew little enough of these things, despised politics generally; they simply didn’t interest me. Gurnard I disliked platonically; perhaps because his face was a little enigmatic—a little repulsive. The country, then, was in the position of having no Opposition and a Cabinet with two distinct strains in it—the Churchill and the Gurnard—and Gurnard was the dark horse.
“Oh, you should join your flats,” I said, pleasantly. “If he’s the coming man, where do you come in? … Unless he, too, is a Dimensionist.”
“Oh, both—both,” she answered. I admired the tranquillity with which she converted my points into her own. And I was very happy—it struck me as a pleasant sort of fooling. …
“I suppose you will let me know some day who you are?” I said.
“I have told you several times,” she answered.
“Oh, you won’t frighten me today,” I asserted, “not here, you know, and anyhow, why should you want to?”
“I have told you,” she said again.
“You’ve told me you were my sister,” I said; “but my sister died years and years ago. Still, if it suits you, if you want to be somebody’s sister …”
“It suits me,” she answered—“I want to be placed, you see.”
I knew that my name was good enough to place anyone. We had been the Grangers of Etchingham since—oh, since the flood. And if the girl wanted to be my sister and a Granger, why the devil shouldn’t she, so long as she would let me continue on this footing? I hadn’t talked to a woman—not to a well setup one—for ages and ages. It was as if I had come back from one of the places to which younger sons exile themselves, and for all I knew it might be the correct thing for girls to elect brothers nowadays in one set or another.
“Oh, tell me some more,” I said, “one likes to know about one’s sister. You and the Right Honourable Charles Gurnard are Dimensionists, and who are the others of your set?”
“There is only one,” she answered. And would you believe it!—it seems he was Fox, the editor of my new paper.
“You select your characters with charming indiscriminateness,” I said. “Fox is only a sort of toad, you know—he won’t get far.”
“Oh, he’ll go far,” she answered, “but he won’t get there. Fox is fighting against us.”
“Oh, so you don’t dwell in amity?” I said. “You fight for your own hands.”
“We fight for our own hands,” she answered, “I shall throw Gurnard over when he’s pulled the chestnuts out of the fire.”
I was beginning to get a little tired of this. You see, for me, the scene was a veiled flirtation and I wanted to get on. But I had to listen to her fantastic scheme of things. It was really a duel between Fox, the Journal-founder, and Gurnard, the Chancellor of the Exchequer. Fox, with Churchill, the Foreign Minister, and his supporters, for pieces, played what he called “the Old Morality business” against Gurnard, who passed for a cynically immoral politician.
I grew more impatient. I wanted to get out of this stage into something more personal. I thought she invented this sort of stuff to keep me from getting at her errand at Callan’s. But I didn’t want to know her errand; I wanted to make love to her. As for Fox and Gurnard and Churchill, the Foreign Minister, who really was a sympathetic character and did stand for political probity, she might be uttering allegorical truths, but I was not interested in them. I wanted to start some topic that would lead away from this Dimensionist farce.
“My dear sister,” I began. … Callan always moved about like a confounded eavesdropper, wore carpet slippers, and stepped round the corners of screens. I expect he got copy like that.
“So, she’s your sister?” he said suddenly, from behind me. “Strange that you shouldn’t recognise the handwriting. …”
“Oh, we don’t correspond,” I said light-heartedly, “we are so different.” I wanted to take a rise out of the creeping animal that he was. He confronted her blandly.
“You must be the little girl that I remember,” he said. He had known my parents ages ago. That, indeed, was how I came to know him; I wouldn’t have chosen him for a friend. “I thought Granger said you were dead … but one gets confused. …”
“Oh, we see very little of each other,” she answered. “Arthur might have said I was dead—he’s capable of anything, you know.” She spoke with an assumption of sisterly indifference that was absolutely striking. I began to think she must be an actress of genius, she did it so well. She was the sister who had remained within the pale; I, the rapscallion of a brother whose vagaries were trying to his relations. That was the note she struck, and she maintained it. I didn’t know what the deuce she was driving at, and I didn’t care. These scenes with a touch of madness appealed to me. I was going to live, and here, apparently, was a woman ready to my hand. Besides, she was making a fool of Callan, and that pleased me. His patronising manners had irritated me.
I assisted rather silently. They began to talk of mutual acquaintances—as one talks. They both seemed to know everyone in this world. She gave herself the airs of being quite in the inner ring; alleged familiarity with quite impossible persons, with my portentous aunt, with Cabinet Ministers—that sort of people. They talked about them—she, as if she lived among them; he, as if he tried very hard to live up to them.
She affected reverence for his person, plied him with compliments that he swallowed raw—horribly raw. It made me shudder a little; it was tragic to see the little great man confronted with that woman. It shocked me to think that, really, I must appear much like him—must have looked like that yesterday. He was a little uneasy, I thought, made little confidences as if in spite of himself; little confidences about the Hour, the new paper for which I was engaged. It seemed to be run by a small gang with quite a number of assorted axes to grind. There was some foreign financier—a person of position whom she knew (a noble man in the best sense, Callan said); there was some politician (she knew him too, and he was equally excellent, so Callan said), Mr. Churchill himself, an artist or so, an actor or so—and Callan. They all wanted a little backing, so it seemed. Callan, of course, put it in another way. The Great—Moral—Purpose turned up, I don’t know why. He could not think he was taking me in and she obviously knew more about the people concerned than he did. But there it was, looming large, and quite as farcical as all the rest of it. The foreign financier—they called him the Duc de Mersch—was by way of being a philanthropist on megalomaniac lines. For some international reason he had been allowed to possess himself of the pleasant land of Greenland. There was gold in it and train-oil in it and other things that paid—but the Duc de Mersch was not thinking of that. He was first and foremost a State Founder, or at least he was that after being titular ruler of some little spot of a Teutonic grand-duchy. No one of the great powers would let any other of the great powers possess the country, so it had been handed over to the Duc de Mersch, who had at heart, said Cal, the glorious vision of founding a model state—the model state, in which washed and broadclothed Eskimo would live, side by side, regenerated lives, enfranchised equals of choicely selected younger sons of whatever occidental race. It was that sort of thing. I was even a little overpowered, in spite of the fact that Callan was its trumpeter; there was something fine about the conception and Churchill’s acquiescence seemed to guarantee an honesty in its execution.
The Duc de Mersch wanted money, and he wanted to run a railway across Greenland. His idea was that the British public should supply the money and the British Government back the railway, as they did in the case of a less philanthropic Suez Canal. In return he offered an eligible harbour and a strip of coast at one end of the line; the British public was to be repaid in casks of train-oil and gold and with the consciousness of having aided in letting the light in upon a dark spot of the earth. So the Duc de Mersch started the Hour. The Hour was to extol the Duc de Mersch’s moral purpose; to pat the Government’s back; influence public opinion; and generally advance the cause of the System for the Regeneration of the Arctic Regions.
I tell the story rather flippantly, because I heard it from Callan, and because it was impossible to take him seriously. Besides, I was not very much interested in the thing itself. But it did interest me to see how deftly she pumped him—squeezed him dry.
I was even a little alarmed for poor old Cal. After all, the man had done me a service; had got me a job. As for her, she struck me as a potentially dangerous person. One couldn’t tell, she might be some adventuress, or if not that, a speculator who would damage Cal’s little schemes. I put it to her plainly afterward; and quarrelled with her as well as I could. I drove her down to the station. Callan must have been distinctly impressed or he would never have had out his trap for her.
“You know,” I said to her, “I won’t have you play tricks with Callan—not while you’re using my name. It’s very much at your service as far as I’m concerned—but, confound it, if you’re going to injure him I shall have to show you up—to tell him.”
“You couldn’t, you know,” she said, perfectly calmly, “you’ve let yourself in for it. He wouldn’t feel pleased with you for letting it go as far as it has. You’d lose your job, and you’re going to live, you know—you’re going to live. …”
I was taken aback by this veiled threat in the midst of the pleasantry. It wasn’t fair play—not at all fair play. I recovered some of my old alarm, remembered that she really was a dangerous person; that …
“But I shan’t hurt Callan,” she said, suddenly, “you may make your mind easy.”
“You really won’t?” I asked.
“Really not,” she answered. It relieved me to believe her. I did not want to quarrel with her. You see, she fascinated me, she seemed to act as a stimulant, to set me tingling somehow—and to baffle me. … And there was truth in what she said. I had let myself in for it, and I didn’t want to lose Callan’s job by telling him I had made a fool of him.
“I don’t care about anything else,” I said. She smiled.
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IV
I went up to town bearing the Callan article, and a letter of warm commendation from Callan to Fox. I had been very docile; had accepted emendations; had lavished praise, had been unctuous and yet had contrived to retain the dignified savour of the editorial “we.” Callan himself asked no more.
I was directed to seek Fox out—to find him immediately. The matter was growing urgent. Fox was not at the office—the brand new office that I afterward saw pass through the succeeding stages of businesslike comfort and dusty neglect. I was directed to ask for him at the stage door of the Buckingham.
I waited in the doorkeeper’s glass box at the Buckingham. I was eyed by the suspicious commissionaire with the contempt reserved for resting actors. Resting actors are hungry suppliants as a rule. Call-boys sought Mr. Fox. “Anybody seen Mr. Fox? He’s gone to lunch.”
“Mr. Fox is out,” said the commissionaire.
I explained that the matter was urgent. More call-boys disappeared through the folding doors. Unenticing personages passed the glass box, casting hostile glances askance at me on my high stool. A message came back.
“If it’s Mr. Etchingham Granger, he’s to follow Mr. Fox to Mrs. Hartly’s at once.”
I followed Mr. Fox to Mrs. Hartly’s—to a little flat in a neighbourhood that I need not specify. The eminent journalist was lunching with the eminent actress. A husband was in attendance—a nonentity with a heavy yellow moustache, who hummed and hawed over his watch.
Mr. Fox was full-faced, with a persuasive, peremptory manner. Mrs. Hartly was—well, she was just Mrs. Hartly. You remember how we all fell in love with her figure and her manner, and her voice, and the way she used her hands. She broke her bread with those very hands; spoke to her husband with that very voice, and rose from table with that same graceful management of her limp skirts. She made eyes at me; at her husband; at little Fox, at the man who handed the asparagus—great round grey eyes. She was just the same. The curtain never fell on that eternal dress rehearsal. I don’t wonder the husband was forever looking at his watch.
Mr. Fox was a friend of the house. He dispensed with ceremony, read my manuscript over his Roquefort, and seemed to find it add to the savour.
“You are going to do me for Mr. Fox,” Mrs. Hartly said, turning her large grey eyes upon me. They were very soft. They seemed to send out waves of intense sympatheticism. I thought of those others that had shot out a razor-edged ray.
“Why,” I answered, “there was some talk of my doing somebody for the Hour.”
Fox put my manuscript under his empty tumbler.
“Yes,” he said, sharply. “He will do, I think. H’m, yes. Why, yes.”
“You’re a friend of Mr. Callan’s, aren’t you?” Mrs. Hartly asked, “What a dear, nice man he is! You should see him at rehearsals. You know I’m doing his Boldero; he’s given me a perfectly lovely part—perfectly lovely. And the trouble he takes. He tries every chair on the stage.”
“H’m; yes,” Fox interjected, “he likes to have his own way.”
“We all like that,” the great actress said. She was quoting from her first great part. I thought—but, perhaps, I was mistaken—that all her utterances were quotations from her first great part. Her husband looked at his watch.
“Are you coming to this confounded flower show?” he asked.
“Yes,” she said, turning her mysterious eyes upon him, “I’ll go and get ready.”
She disappeared through an inner door. I expected to hear the pistol-shot and the heavy fall from the next room. I forgot that it was not the end of the fifth act.
Fox put my manuscript into his breast pocket.
“Come along, Granger,” he said to me, “I want to speak to you. You’ll have plenty of opportunity for seeing Mrs. Hartly, I expect. She’s tenth on your list. Good day, Hartly.”
Hartly’s hand was wavering between his moustache and his watch pocket.
“Good day,” he said sulkily.
“You must come and see me again, Mr. Granger,” Mrs. Hartly said from the door. “Come to the Buckingham and see how we’re getting on with your friend’s play. We must have a good long talk if you’re to get my local colour, as Mr. Fox calls it.”
“To gild refined gold; to paint the lily,
To throw a perfume on the violet—”
I quoted banally.
“That’s it,” she said, with a tender smile. She was fastening a button in her glove. I doubt her recognition of the quotation.
When we were in our hansom, Fox began:
“I’m relieved by what I’ve seen of your copy. One didn’t expect this sort of thing from you. You think it a bit below you, don’t you? Oh, I know, I know. You literary people are usually so impracticable; you know what I mean. Callan said you were the man. Callan has his uses; but one has something else to do with one’s paper. I’ve got interests of my own. But you’ll do; it’s all right. You don’t mind my being candid, do you, now?” I muttered that I rather liked it.
“Well then,” he went on, “now I see my way.”
“I’m glad you do,” I murmured. “I wish I did.”
“Oh, that will be all right,” Fox comforted. “I dare say Callan has rather sickened you of the job; particularly if you ain’t used to it. But you won’t find the others as trying. There’s Churchill now, he’s your next. You’ll have to mind him. You’ll find him a decent chap. Not a bit of side on him.”
“What Churchill?” I asked.
“The Foreign Minister.”
“The devil,” I said.
“Oh, you’ll find him all right,” Fox reassured; “you’re to go down to his place tomorrow. It’s all arranged. Here we are. Hop out.” He suited his own action to his words and ran nimbly up the new terra-cotta steps of the Hour’s home. He left me to pay the cabman.
When I rejoined him he was giving directions to an invisible somebody through folding doors.
“Come along,” he said, breathlessly. “Can’t see him,” he added to a little boy, who held a card in his hands. “Tell him to go to Mr. Evans. One’s life isn’t one’s own here,” he went on, when he had reached his own room.
It was a palatial apartment furnished in white and gold—Louis Quinze, or something of the sort—with very new decorations after Watteau covering the walls. The process of disfiguration, however, had already begun. A roll desk of the least possible Louis Quinze order stood in one of the tall windows; the carpet was marked by muddy footprints, and a matchboard screen had been run across one end of the room.
“Hullo, Evans,” Fox shouted across it, “just see that man from Grant’s, will you? Heard from the Central News yet?”
He was looking through the papers on the desk.
“Not yet, I’ve just rung them up for the fifth time,” the answer came.
“Keep on at it,” Fox exhorted.
“Here’s Churchill’s letter,” he said to me. “Have an armchair; those blasted things are too uncomfortable for anything. Make yourself comfortable. I’ll be back in a minute.”
I took an armchair and addressed myself to the Foreign Minister’s letter. It expressed bored tolerance of a potential interviewer, but it seemed to please Fox. He ran into the room, snatched up a paper from his desk, and ran out again.
“Read Churchill’s letter?” he asked, in passing. “I’ll tell you all about it in a minute.” I don’t know what he expected me to do with it—kiss the postage stamp, perhaps.
At the same time, it was pleasant to sit there idle in the midst of the hurry, the breathlessness. I seemed to be at last in contact with real life, with the life that matters. I was somebody, too. Fox treated me with a kind of deference—as if I were a great unknown. His “you literary men” was pleasing. It was the homage that the pretender pays to the legitimate prince; the recognition due to the real thing from the machine-made imitation; the homage of the builder to the architect.
“Ah, yes,” it seemed to say, “we jobbing men run up our rows and rows of houses; build whole towns and fill the papers for years. But when we want something special—something monumental—we have to come to you.”
Fox came in again.
“Very sorry, my dear fellow, find I can’t possibly get a moment for a chat with you. Look here, come and dine with me at the Paragraph round the corner—tonight at six sharp. You’ll go to Churchill’s tomorrow.”
The Paragraph Club, where I was to meet Fox, was one of those sporadic establishments that spring up in the neighbourhood of the Strand. It is one of their qualities that they are always just round the corner; another, that their stewards are too familiar; another, that they—in the opinion of the other members—are run too much for the convenience of one in particular.
In this case it was Fox who kept the dinner waiting. I sat in the little smoking-room and, from behind a belated morning paper, listened to the conversation of the three or four journalists who represented the members. I felt as a new boy in a new school feels on his first introduction to his fellows.
There was a fossil dramatic critic sleeping in an armchair before the fire. At dinnertime he woke up, remarked:
“You should have seen Fanny Ellsler,” and went to sleep again.
Sprawling on a red velvet couch was a beau jeune homme, with the necktie of a Parisian-American student. On a chair beside him sat a personage whom, perhaps because of his plentiful lack of h’s, I took for a distinguished foreigner.
They were talking about a splendid subject for a music-hall dramatic sketch of some sort—afforded by a bus driver, I fancy.
I heard afterward that my Frenchman had been a costermonger and was now half journalist, half financier, and that my art student was an employee of one of the older magazines.
“Dinner’s on the table, gents,” the steward said from the door. He went toward the sleeper by the fire. “I expect Mr. Cunningham will wear that armchair out before he’s done,” he said over his shoulder.
“Poor old chap; he’s got nowhere else to go to,” the magazine employee said.
“Why doesn’t he go to the work’ouse,” the journalist financier retorted. “Make a good sketch that, eh?” he continued, reverting to his bus-driver.
“Jolly!” the magazine employee said, indifferently.
“Now, then, Mr. Cunningham,” the steward said, touching the sleeper on the shoulder, “dinner’s on the table.”
“God bless my soul,” the dramatic critic said, with a start. The steward left the room. The dramatic critic furtively took a set of false teeth out of his waistcoat pocket; wiped them with a bandanna handkerchief, and inserted them in his mouth.
He tottered out of the room.
I got up and began to inspect the pen-and-ink sketches on the walls.
The faded paltry caricatures of faded paltry lesser lights that confronted me from flyblown frames on the purple walls almost made me shiver.
“There you are, Granger,” said a cheerful voice behind me. “Come and have some dinner.”
I went and had some dinner. It was seasoned by small jokes and little personalities. A Teutonic journalist, a musical critic, I suppose, inquired as to the origin of the meagre pheasant. Fox replied that it had been preserved in the backyard. The dramatic critic mumbled unheard that some piece or other was off the bills of the Adelphi. I grinned vacantly. Afterward, under his breath, Fox put me up to a thing or two regarding the inner meaning of the new daily. Put by him, without any glamour of a moral purpose, the case seemed rather mean. The dingy smoking-room depressed me and the whole thing was, what I had, for so many years, striven to keep out of. Fox hung over my ear, whispering. There were shades of intonation in his sibillating. Some of those “in it,” the voice implied, were not aboveboard; others were, and the tone became deferential, implied that I was to take my tone from itself.
“Of course, a man like the Right Honourable C. does it on the straight, … quite on the straight, … has to have some sort of semiofficial backer. … In this case, it’s me, … the Hour. They’re a bit splitty, the Ministry, I mean. … They say Gurnard isn’t playing square … they say so.” His broad, red face glowed as he bent down to my ear, his little sea-blue eyes twinkled with moisture. He enlightened me cautiously, circumspectly. There was something unpleasant in the business—not exactly in Fox himself, but the kind of thing. I wish he would cease his explanations—I didn’t want to hear them. I have never wanted to know how things are worked; preferring to take the world at its face value. Callan’s revelations had been bearable, because of the farcical pompousness of his manner. But this was different, it had the stamp of truth, perhaps because it was a little dirty. I didn’t want to hear that the Foreign Minister was ever so remotely mixed up in this business. He was only a symbol to me, but he stood for the stability of statesmanship and for the decencies that it is troublesome to have touched.
“Of course,” he was proceeding, “the Churchill gang would like to go on playing the standoff to us. But it won’t do, they’ve got to come in or see themselves left. Gurnard has pretty well nobbled their old party press, so they’ve got to begin all over again.”
That was it—that was precisely it. Churchill ought to have played the standoff to people like us—to have gone on playing it at whatever cost. That was what I demanded of the world as I conceived it. It was so much less troublesome in that way. On the other hand, this was life—I was living now and the cost of living is disillusionment; it was the price I had to pay. Obviously, a Foreign Minister had to have a semiofficial organ, or I supposed so. … “Mind you,” Fox whispered on, “I think myself, that it’s a pity he is supporting the Greenland business. The thing’s not altogether straight. But it’s going to be made to pay like hell, and there’s the national interest to be considered. If this Government didn’t take it up, some other would—and that would give Gurnard and a lot of others a peg against Churchill and his. We can’t afford to lose any more coaling stations in Greenland or anywhere else. And, mind you, Mr. C. can look after the interests of the niggers a good deal better if he’s a hand in the pie. You see the position, eh?”
I wasn’t actually listening to him, but I nodded at proper intervals. I knew that he wanted me to take that line in confidential conversations with fellows seeking copy. I was quite resigned to that. Incidentally, I was overcome by the conviction—perhaps it was no more than a sensation—that that girl was mixed up in this thing, that her shadow was somewhere among the others flickering upon the sheet. I wanted to ask Fox if he knew her. But, then, in that absurd business, I did not even know her name, and the whole story would have sounded a little mad. Just now, it suited me that Fox should have a moderate idea of my sanity. Besides, the thing was out of tone, I idealised her then. One wouldn’t talk about her in a smoking-room full of men telling stories, and one wouldn’t talk about her at all to Fox.
The musical critic had been prowling about the room with Fox’s eyes upon him. He edged suddenly nearer, pushed a chair aside, and came toward us.
“Hullo,” he said, in an ostentatiously genial, after-dinner voice, “what are you two chaps a-talking about?”
“Private matters,” Fox answered, without moving a hair.
“Then I suppose I’m in the way?” the other muttered. Fox did not answer.
“Wants a job,” he said, watching the discomfited Teuton’s retreat, “but, as I was saying—oh, it pays both ways.” He paused and fixed his eyes on me. He had been explaining the financial details of the matter, in which the Duc de Mersch and Callan and Mrs. Hartly and all these people clubbed together and started a paper which they hired Fox to run, which was to bring their money back again, which was to scratch their backs, which. … It was like the house that Jack built; I wondered who Jack was. That was it, who was Jack? It all hinged upon that.
“Why, yes,” I said. “It seems rather neat.”
“Of course,” Fox wandered on, “you are wondering why the deuce I tell you all this. Fact is, you’d hear it all if I didn’t, and a good deal more that isn’t true besides. But I believe you’re the sort of chap to respect a confidence.”
I didn’t rise to the sentiment. I knew as well as he did that he was bamboozling me, that he was, as he said, only telling me—not the truth, but just what I should hear everywhere. I did not bear him any ill-will; it was part of the game, that. But the question was, who was Jack? It might be Fox himself. … There might, after all, be some meaning in the farrago of nonsense that that fantastic girl had let off upon me. Fox really and in a figure of speech such as she allowed herself, might be running a team consisting of the Duc de Mersch and Mr. Churchill. He might really be backing a foreign, philanthropic ruler and State-founder, and a British Foreign Minister, against the rather sinister Chancellor of the Exchequer that Mr. Gurnard undoubtedly was. It might suit him; perhaps he had shares in something or other that depended on the success of the Duc de Mersch’s Greenland Protectorate. I knew well enough, you must remember, that Fox was a big man—one of those big men that remain permanently behind the curtain, perhaps because they have a certain lack of comeliness of one sort or another and don’t look well on the stage itself. And I understood now that if he had abandoned—as he had done—half a dozen enterprises of his own for the sake of the Hour, it must be because it was very well worth his while. It was not merely a question of the editorship of a paper; there was something very much bigger in the background. My Dimensionist young lady, again, might have other shares that depended on the Chancellor of the Exchequer’s blocking the way. In that way she might very well talk allegorically of herself as in alliance with Gurnard against Fox and Churchill. I was at sea in that sort of thing—but I understood vaguely that something of the sort was remotely possible.
I didn’t feel called upon to back out of it on that account, yet I very decidedly wished that the thing could have been otherwise. For myself, I came into the matter with clean hands—and I was going to keep my hands clean; otherwise, I was at Fox’s disposal.
“I understand,” I said, the speech marking my decision, “I shall have dealings with a good many of the proprietors—I am the scratcher, in fact, and you don’t want me to make a fool of myself.”
“Well,” he answered, gauging me with his blue, gimlet eyes, “it’s just as well to know.”
“It’s just as well to know,” I echoed. It was just as well to know.
Previous: The Inheritors - III
Next: The Inheritors - V
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English
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16k
|
T6. Aggregation & Clustering
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T6.2 Targeted Subset Cluster Identification
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Partial
|
From the four Parts of the text (natural identifiers: I, II, III, IV), list every Part that explicitly mentions “Fox” by name or depicts interactions with him. Output the "[Answer]" identifier first, and then output the Part IDs that meet the conditions line by line, without any additional content.
Output example:
[Answer]
I
Ⅳ
|
From the four Parts of the text (natural identifiers: I, II, III, IV), list every Part that explicitly mentions “Fox” by name or depicts interactions with him. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the Part IDs that meet the conditions line by line.
Output example:
<Your thinking process>
[Answer]
I
Ⅳ
|
[
"II",
"III",
"IV"
] |
Easy
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285c204f795e9c1163f11c5f26f615ade2b14055ebc1110ef4b281dcf0955909
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论语·学而篇注音版
1.1子曰：“学而时习之，不亦说乎？有朋自远方来，不亦乐乎？人不知而不愠，不亦君子乎？【翻译】
1.2有子曰:“其为人也孝弟而好犯上者，鲜矣；不好犯上而好作乱者，未之有也。君子务本，本立而道生。孝弟也者，其为仁之本与!”【翻译】
1.3子曰:“巧言令色，鲜矣仁！”【翻译】
1.4曾子曰：“吾日三省吾身，为人谋而不忠乎?与朋友交而不信乎?传不习乎?”【翻译】
1.5子曰:“道千乘之国，敬事而信，节用而爱人，使民以时。”【翻译】
1.6子曰：“弟子入则孝，出则弟，谨而信，泛爱众，而亲仁。行有余力，则以学文。”【翻译】
1.7子夏曰：“贤贤易色；事父母，能竭其力；事君，能致其身；与朋友交，言而有信。虽曰未学，吾必谓之学矣。”【翻译】
1.8子曰：“君子不重则不威，学则不固。主忠信，无友不如己者，过则勿惮改。”【翻译】
1.9曾子曰：“慎终追远，民德归厚矣。”【翻译】
1.10子禽问于子贡曰：“夫子至于是邦也，必闻其政，求之与，抑与之与？”子贡曰：“夫子温、良、恭、俭、让以得之。夫子之求之也，其诸异乎人之求之与？”【翻译】
1.11子曰：“父在，观其志。父没，观其行；三年无改于父之道，可谓孝矣。”【翻译】
1.12有子曰：“礼之用，和为贵。先王之道，斯为美，小大由之。有所不行，知和而和，不以礼节之，亦不可行也。”【翻译】
1.13有子曰：“信近于义，言可复也。恭近于礼，远耻辱也。因不失其亲，亦可宗也。”【翻译】
1.14子曰：“君子食无求饱，居无求安，敏于事而慎于言，就有道而正焉。可谓好学也已。”【翻译】
1.15子贡曰：“贫而无谄，富而无骄，何如？”子曰：“可也。未若贫而乐，富而好礼者也。”子贡曰：“《诗》云：‘如切如磋，如琢如磨’，其斯之谓与？”子曰：“赐也，始可与言《诗》已矣，告诸往而知来者。”【翻译】
1.16子曰：“不患人之不己知，患不知人也。”【翻译】
论语·为政篇注音版
2.1子曰：“为政以德，譬如北辰，居其所而众星共之。”【翻译】
2.2子曰：“《诗》三百，一言以蔽之，曰：‘思无邪’。”【翻译】
2.3子曰：“道之以政，齐之以刑，民免而无耻。道之以德，齐之以礼，有耻且格。”【翻译】
2.4子曰：“吾十有五而志于学，三十而立，四十而不惑，五十而知天命，六十而耳顺，七十而从心所欲，不逾矩。”【翻译】
2.5孟懿子问孝，子曰：“无违。”樊迟御，子告之曰：“孟孙问孝于我，我对曰‘无违’。”樊迟曰：“何谓也？”子曰：“生，事之以礼；死，葬之以礼，祭之以礼。”【翻译】
2.6孟武伯问孝。子曰：“父母唯其疾之忧。”【翻译】
2.7子游问孝，子曰：“今之孝者，是谓能养。至于犬马，皆能有养。不敬，何以别乎？”【翻译】
2.8子夏问孝。子曰：“色难。有事，弟子服其劳；有酒食，先生馔，曾是以为孝乎？”【翻译】
2.9子曰：“吾与回言终日，不违，如愚。退而省其私，亦足以发，回也不愚。”【翻译】
2.10子曰：“视其所以，观其所由，察其所安，人焉廋哉？人焉廋哉？”【翻译】
2.11子曰：“温故而知新，可以为师矣。”【翻译】
2.12子曰：“君子不器。”【翻译】
2.13子贡问君子。子曰：“先行其言而后从之。”【翻译】
2.14子曰：“君子周而不比，小人比而不周。”【翻译】
2.15子曰：“学而不思则罔，思而不学则殆。”【翻译】
2.16子曰：“攻乎异端，斯害也已！”【翻译】
2.17子曰：“由，诲女，知之乎！知之为知之，不知为不知，是知也。”【翻译】
2.18子张学干禄。子曰：“多闻阙疑，慎言其余，则寡尤；多见阙殆，慎行其余，则寡悔。言寡尤，行寡悔，禄在其中矣。”【翻译】
2.19哀公问曰：“何为则民服？”孔子对曰：“举直错诸枉，则民服；举枉错诸直，则民不服。”【翻译】
2.20季康子问：“使民敬、忠以劝，如之何？”子曰：“临之以庄，则敬；孝慈，则忠；举善而教不能，则劝。”【翻译】
2.21或谓孔子曰：“子奚不为政？”子曰：“《书》云：‘孝乎惟孝，友于兄弟，施于有政。’是亦为政，奚其为为政？”【翻译】
2.22子曰：“人而无信，不知其可也。大车无輗，小车无軏，其何以行之哉？”【翻译】
2.23子张问：“十世可知也？”子曰：“殷因于夏礼，所损益，可知也；周因于殷礼，所损益，可知也。其或继周者，虽百世，可知也。”【翻译】
2.24子曰：“非其鬼而祭之，谄也；见义不为，无勇也。”【翻译】
论语·八佾篇注音版
3.1孔子谓季氏:“八佾舞于庭，是可忍也，孰不可忍也?”【翻译】
3.2三家者以《雍》彻。子曰：‘相维辟公，天子穆穆’，奚取于三家之堂？”【翻译】
3.3子曰：“人而不仁，如礼何？人而不仁，如乐何？”【翻译】
3.4林放问礼之本,子曰：“大哉问！礼，与其奢也，宁俭；丧，与其易也，宁戚。”【翻译】
3.5子曰：“夷狄之有君，不如诸夏之亡也。”【翻译】
3.6季氏旅于泰山。子谓冉有曰：“女弗能救与？”对曰：“不能。”子曰：“呜呼！曾谓泰山不如林放乎？”【翻译】
3.7子曰：“君子无所争，必也射乎！揖让而升，下而饮。其争也君子。”【翻译】
3.8子夏问曰：“‘巧笑倩兮，美目盼兮，素以为绚兮’何谓也？”子曰：“绘事后素。”曰：“礼后乎？”子曰：“起予者商也，始可与言《诗》已矣。”【翻译】
3.9子曰：“夏礼，吾能言之，杞不足征也；殷礼吾能言之，宋不足征也。文献不足故也，足则吾能征之矣。”【翻译】
3.10子曰：“禘自既灌而往者，吾不欲观之矣。”【翻译】
3.11或问禘之说。子曰：“不知也。知其说者之于天下也，其如示诸斯乎！”指其掌。【翻译】
3.12祭如在，祭神如神在。子曰：“吾不与祭，如不祭。”【翻译】
3.13王孙贾问曰：“‘与其媚于奥，宁媚于灶’，何谓也？”子曰：“不然，获罪于天，无所祷也。”【翻译】
3.14子曰：“周监于二代，郁郁乎文哉！吾从周。”【翻译】
3.15子入太庙，每事问。或曰：“孰谓鄹人之子知礼乎？入太庙，每事问。”子闻之，曰：“是礼也。”【翻译】
3.16子曰：“射不主皮，为力不同科，古之道也。”【翻译】
3.17子贡欲去告朔之饩羊，子曰：“赐也！尔爱其羊，我爱其礼。”【翻译】
3.18子曰：“事君尽礼，人以为谄也。”【翻译】
3.19定公问：“君使臣，臣事君，如之何？”孔子对曰：“君使臣以礼，臣事君以忠。”【翻译】
3.20子曰：“《关雎》，乐而不淫，哀而不伤。”【翻译】
3.21哀公问社于宰我。宰我对曰：“夏后氏以松，殷人以柏，周人以栗，曰：使民战栗。”子闻之，曰：“成事不说，遂事不谏，既往不咎。”【翻译】
3.22子曰：“管仲之器小哉！”或曰：“管仲俭乎？”曰：“管氏有三归，官事不摄，焉得俭？”“然则管仲知礼乎？”曰：“邦君树塞门，管氏亦树塞门；邦君为两君之好，有反坫。管氏亦有反坫，管氏而知礼，孰不知礼？”【翻译】
3.23子语鲁大师乐，曰：“乐其可知也。始作，翕如也；从之，纯如也，皦如也，绎如也，以成。”【翻译】
3.24仪封人请见，曰：“君子之至于斯也，吾未尝不得见也。”从者见之。出曰：“二三子何患于丧乎？天下之无道也久矣，天将以夫子为木铎。”【翻译】
3.25子谓《韶》：“尽美矣，又尽善也。”谓《武》：“尽美矣，未尽善也。”【翻译】
3.26子曰：“居上不宽，为礼不敬，临丧不哀，吾何以观之哉！”【翻译】
论语·里仁篇注音版
4.1子曰：“里仁为美。择不处仁，焉得知？”【翻译】
4.2子曰：“不仁者不可以久处约，不可以长处乐。仁者安仁，知者利仁。”【翻译】
4.3子曰：“唯仁者能好人，能恶人。”【翻译】
4.4子曰：“苟志於仁矣，无恶也。”【翻译】
4.5子曰：“富与贵，是人之所欲也；不以其道得之，不处也。贫与贱，是人之所恶也；不以其道得之，不去也。君子去仁，恶乎成名？君子无终食之间违仁，造次必于是，颠沛必于是。”【翻译】
4.6子曰：“我未见好仁者，恶不仁者。好仁者，无以尚之；恶不仁者，其为仁矣，不使不仁者加乎其身。有能一日用其力于仁矣乎？我未见力不足者。盖有之矣，我未见也。”【翻译】
4.7子曰：“人之过也，各于其党。观过，斯知仁矣。”【翻译】
4.8子曰：“朝闻道，夕死可矣。”【翻译】
4.9子曰：“士志于道，而耻恶衣恶食者，未足与议也。”【翻译】
4.10子曰：“君子之于天下也，无适也，无莫也，义之与比。”【翻译】
4.11子曰：“君子怀德，小人怀土；君子怀刑，小人怀惠。”【翻译】
4.12子曰：“放于利而行，多怨。”【翻译】
4.13子曰：“能以礼让为国乎？何有？不能以礼让为国，如礼何？”【翻译】
4.14子曰：“不患无位，患所以立。不患莫己知，求为可知也。”【翻译】
4.15子曰：“参乎！吾道一以贯之。”曾子曰：“唯。”子出，门人问曰：“何谓也？”曾子曰：“夫子之道，忠恕而已矣。”【翻译】
4.16子曰：“君子喻于义，小人喻于利。”【翻译】
4.17子曰：“见贤思齐焉，见不贤而内自省也。”【翻译】
4.18子曰：“事父母几谏，见志不从，又敬不违，劳而不怨。”【翻译】
4.19子曰：“父母在，不远游，游必有方。”【翻译】
4.20子曰：“三年无改于父之道，可谓孝矣。”【翻译】
4.21子曰：“父母之年，不可不知也。一则以喜，一则以惧。【翻译】
4.22子曰：“古者言之不出，耻躬之不逮也。【翻译】
4.23子曰：“以约失之者鲜矣。【翻译】
4.24子曰：“君子欲讷于言而敏于行。”【翻译】
4.25子曰：“德不孤，必有邻。”【翻译】
4.26子游曰：“事君数，斯辱矣；朋友数，斯疏矣。【翻译】
论语·公冶长篇注音版
5.1子谓公冶长：“可妻也，虽在缧绁之中，非其罪也！”以其子妻之。【翻译】
5.2子谓南容：“邦有道不废；邦无道免于刑戮。”以其兄之子妻之。【翻译】
5.3子谓子贱：“君子哉若人！鲁无君子者，斯焉取斯？”【翻译】
5.4子贡问曰：“赐也何如？”子曰：“女，器也。”曰：“何器也？”曰：“瑚琏也。”【翻译】
5.5或曰：“雍也仁而不佞。”子曰：“焉用佞？御人以口给，屡憎于人。不知其仁，焉用佞？”【翻译】
5.6子使漆雕开仕，对曰：“吾斯之未能信。”子说。【翻译】
5.7子曰：“道不行，乘桴浮于海，从我者其由与？”子路闻之喜，子曰：“由也好勇过我，无所取材。”【翻译】
5.8孟武伯问：“子路仁乎？”子曰：“不知也。”又问，子曰：“由也，千乘之国，可使治其赋也，不知其仁也。”“求也何如？”子曰：“求也，千室之邑、百乘之家，可使为之宰也，不知其仁也。”“赤也何如？”子曰：“赤也，束带立于朝，可使与宾客言也，不知其仁也。”【翻译】
5.9子谓子贡曰：“女与回也孰愈？”对曰：“赐也何敢望回？回也闻一以知十，赐也闻一以知二。”子曰：“弗如也，吾与女弗如也！”【翻译】
5.10宰予昼寝，子曰：“朽木不可雕也，粪土之墙不可杇也，于予与何诛？”子曰：“始吾于人也，听其言而信其行；今吾于人也，听其言而观其行。于予与改是。”【翻译】
5.11子曰：“吾未见刚者。”或对曰：“申枨。”子曰：“枨也欲，焉得刚。”【翻译】
5.12子贡曰：“我不欲人之加诸我也，吾亦欲无加诸人。”子曰：“赐也，非尔所及也。”【翻译】
5.13子贡曰：“夫子之文章，可得而闻也；夫子之言性与天道，不可得而闻也。”【翻译】
5.14子路有闻，未之能行，唯恐有闻。【翻译】
5.15子贡问曰：“孔文子何以谓之‘文’也？”子曰：“敏而好学，不耻下问，是以谓之‘文’也。”【翻译】
5.16子谓子产：“有君子之道四焉：其行己也恭，其事上也敬，其养民也惠，其使民也义。”【翻译】
5.17子曰：“晏平仲善与人交，久而敬之。”【翻译】
5.18子曰：“臧文仲居蔡，山节藻棁，何如其知也？”【翻译】
5.19子张问曰：“令尹子文三仕为令尹，无喜色，三已之无愠色，旧令尹之政必以告新令尹，何如？”子曰：“忠矣。”曰：“仁矣乎？”曰：“未知，焉得仁？”“崔子弑齐君，陈文子有马十乘，弃而违之。至于他邦，则曰：‘犹吾大夫崔子也。’违之。之一邦，则又曰：‘犹吾大夫崔子也。’违之，何如？”子曰：“清矣。”曰：“仁矣乎？”曰：“未知，焉得仁？”【翻译】
5.20季文子三思而后行，子闻之曰：“再斯可矣。”【翻译】
5.21子曰：“宁武子，邦有道，则知；邦无道，则愚。其知可及也，其愚不可及也。”【翻译】
5.22子在陈，曰：“归与！归与！吾党之小子狂简，斐然成章，不知所以裁之。”【翻译】
5.23子曰：“伯夷、叔齐不念旧恶，怨是用希。”【翻译】
5.24子曰：“孰谓微生高直？或乞醯焉，乞诸其邻而与之。”【翻译】
5.25子曰：“巧言、令色、足恭，左丘明耻之，丘亦耻之。匿怨而友其人，左丘明耻之，丘亦耻之。”【翻译】
5.26颜渊、季路侍，子曰：“盍各言尔志？”子路曰：“愿车马、衣轻裘与朋友共，敝之而无憾。”颜渊曰：“愿无伐善，无施劳。”子路曰：“愿闻子之志。”子曰：“老者安之，朋友信之，少者怀之。”【翻译】
5.27子曰：“已矣乎！吾未见能见其过而内自讼者也。”【翻译】
5.28子曰：“十室之邑，必有忠信如丘者焉，不如丘之好学也。”【翻译】
论语·雍也篇注音版
6.1子曰：“雍也可使南面。”【翻译】
6.2仲弓问子桑伯子，子曰：“可也简。”仲弓曰：“居敬而行简，以临其民，不亦可乎？居简而行简，无乃大简乎？”子曰：“雍之言然。”【翻译】
6.3哀公问：“弟子孰为好学？”孔子对曰：“有颜回者好学，不迁怒，不贰过，不幸短命死矣，今也则亡，未闻好学者也。”【翻译】
6.4子华使于齐，冉子为其母请粟，子曰：“与之釜。”请益，曰：“与之庾。”冉子与之粟五秉。子曰：“赤之适齐也，乘肥马，衣轻裘。吾闻之也，君子周急不继富。”【翻译】
6.5原思为之宰，与之粟九百，辞。子曰：“毋以与尔邻里乡党乎！”【翻译】
6.6子谓仲弓曰：“犁牛之子骍且角，虽欲勿用，山川其舍诸？”【翻译】
6.7子曰：“回也，其心三月不违仁，其余则日月至焉而已矣。”【翻译】
6.8季康子问：“仲由可使从政也与？”子曰：“由也果，于从政乎何有？”曰：“赐也可使从政也与？”曰：“赐也达，于从政乎何有？”曰：“求也可使从政也与？”曰：“求也艺，于从政乎何有？”【翻译】
6.9季氏使闵子骞为费宰，闵子骞曰：“善为我辞焉。如有复我者，则吾必在汶上矣。”【翻译】
6.10伯牛有疾，子问之，自牖执其手，曰：“亡之，命矣夫！斯人也而有斯疾也！斯人也而有斯疾也！”【翻译】
6.11子曰：“贤哉回也！一箪食，一瓢饮，在陋巷，人不堪其忧，回也不改其乐。贤哉，回也！”【翻译】
6.12冉求曰：“非不说子之道，力不足也。”子曰：“力不足者，中道而废，今女画。”【翻译】
6.13子谓子夏曰：“女为君子儒，毋为小人儒。”【翻译】
6.14子游为武城宰，子曰：“女得人焉尔乎？”曰：“有澹台灭明者，行不由径，非公事，未尝至于偃之室也。”【翻译】
6.15子曰：“孟之反不伐，奔而殿，将入门，策其马曰：‘非敢后也，马不进也。’”【翻译】
6.16子曰：“不有祝鮀之佞，而有宋朝之美，难乎免于今之世矣。”【翻译】
6.17子曰：“谁能出不由户？何莫由斯道也？”【翻译】
6.18子曰：“质胜文则野，文胜质则史。文质彬彬，然后君子。”【翻译】
6.19子曰：“人之生也直，罔之生也幸而免。”【翻译】
6.20子曰：“知之者不如好之者；好之者不如乐之者。”【翻译】
6.21子曰：“中人以上，可以语上也；中人以下，不可以语上也。”【翻译】
6.22樊迟问知，子曰：“务民之义，敬鬼神而远之，可谓知矣。”问仁，曰：“仁者先难而后获，可谓仁矣。”【翻译】
6.23子曰：“知者乐水，仁者乐山。知者动，仁者静。知者乐，仁者寿。”【翻译】
6.24子曰：“齐一变至于鲁，鲁一变至于道。”【翻译】
6.25子曰：“觚不觚，觚哉！觚哉！”【翻译】
6.26宰我问曰：“仁者，虽告之曰：‘井有仁焉。’其从之也？”子曰：“何为其然也？君子可逝也，不可陷也；可欺也，不可罔也。”【翻译】
6.27子曰：“君子博学于文，约之以礼，亦可以弗畔矣夫。”【翻译】
6.28子见南子，子路不说，夫子矢之曰：“予所否者，天厌之！天厌之！”【翻译】
6.29子曰：“中庸之为德也，其至矣乎！民鲜久矣。”【翻译】
6.30子贡曰：“如有博施于民而能济众，何如？可谓仁乎？”子曰：“何事于仁，必也圣乎！尧、舜其犹病诸！夫仁者，己欲立而立人，己欲达而达人。能近取譬，可谓仁之方也已。”【翻译】
论语·述而篇注音版
7.1子曰：“述而不作，信而好古，窃比于我老彭。”【翻译】
7.2子曰：“默而识之，学而不厌，诲人不倦，何有于我哉？”【翻译】
7.3子曰：“德之不修，学之不讲，闻义不能徙，不善不能改，是吾忧也。”【翻译】
7.4子之燕居，申申如也，夭夭如也。【翻译】
7.5子曰：“甚矣，吾衰也！久矣，吾不复梦见周公。”【翻译】
7.6子曰：“志于道，据于德，依于仁，游于艺。”【翻译】
7.7子曰：“自行束脩以上，吾未尝无诲焉。”【翻译】
7.8子曰：“不愤不启，不悱不发，举一隅不以三隅反，则不复也。”【翻译】
7.9子食于有丧者之侧，未尝饱也。【翻译】
7.10子于是日哭，则不歌。【翻译】
7.11子谓颜渊曰：“用之则行，舍之则藏，惟我与尔有是夫！”子路曰：“子行三军，则谁与？”子曰：“暴虎冯河，死而无悔者，吾不与也。必也临事而惧，好谋而成者也。”【翻译】
7.12子曰：“富而可求也，虽执鞭之士，吾亦为之。如不可求，从吾所好。”【翻译】
7.13子之所慎：齐，战，疾。【翻译】
7.14子在齐闻《韶》，三月不知肉味，曰：“不图为乐之至于斯也。”【翻译】
7.15冉有曰：“夫子为卫君乎？”子贡曰：“诺，吾将问之。”入，曰：“伯夷、叔齐何人也？”曰：“古之贤人也。”曰：“怨乎？”曰：“求仁而得仁，又何怨？”出，曰：“夫子不为也。”【翻译】
7.16子曰：“饭疏食饮水，曲肱而枕之，乐亦在其中矣。不义而富且贵，于我如浮云。”【翻译】
7.17子曰：“加我数年，五十以学《易》，可以无大过矣。”【翻译】
7.18子所雅言，《诗》、《书》、执礼，皆雅言也。【翻译】
7.19叶公问孔子于子路，子路不对。子曰：“女奚不曰：其为人也，发愤忘食，乐以忘忧，不知老之将至云尔。”【翻译】
7.20子曰：“我非生而知之者，好古，敏以求之者也。”【翻译】
7.21子不语：怪、力、乱、神。【翻译】
7.22子曰：“三人行，必有我师焉。择其善者而从之，其不善者而改之。”【翻译】
7.23子曰：“天生德于予，桓魋其如予何？”【翻译】
7.24子曰：“二三子以我为隐乎？吾无隐乎尔！吾无行而不与二三子者，是丘也。”【翻译】
7.25子以四教：文，行，忠，信。【翻译】
7.26子曰：“圣人，吾不得而见之矣；得见君子者，斯可矣。”子曰：“善人，吾不得而见之矣，得见有恒者斯可矣。亡而为有，虚而为盈，约而为泰，难乎有恒乎。”【翻译】
7.27子钓而不纲，弋不射宿。【翻译】
7.28子曰：“盖有不知而作之者，我无是也。多闻，择其善者而从之；多见而识之，知之次也。”【翻译】
7.29互乡难与言，童子见，门人惑。子曰：“与其进也，不与其退也，唯何甚？人洁己以进，与其洁也，不保其往也。”【翻译】
7.30子曰：“仁远乎哉？我欲仁，斯仁至矣。”【翻译】
7.31陈司败问：“昭公知礼乎？”孔子曰：“知礼。”孔子退，揖巫马期而进之，曰：“吾闻君子不党，君子亦党乎？君取于吴，为同姓，谓之吴孟子。君而知礼，孰不知礼？”巫马期以告，子曰：“丘也幸，苟有过，人必知之。”【翻译】
7.32子与人歌而善，必使反之，而后和之。【翻译】
7.33子曰：“文，莫吾犹人也。躬行君子，则吾未之有得。”【翻译】
7.34子曰：“若圣与仁，则吾岂敢？抑为之不厌，诲人不倦，则可谓云尔已矣。”公西华曰：“正唯弟子不能学也。”【翻译】
7.35子疾病，子路请祷。子曰：“有诸？”子路对曰：“有之。《诔》曰：‘祷尔于上下神祇。’”子曰：“丘之祷久矣。”【翻译】
7.36子曰：“奢则不孙，俭则固。与其不孙也，宁固。”【翻译】
7.37子曰：“君子坦荡荡，小人长戚戚。”【翻译】
7.38子温而厉，威而不猛，恭而安。【翻译】
论语·泰伯篇注音版
8.1子曰：“泰伯，其可谓至德也已矣。三以天下让，民无得而称焉。”【翻译】
8.2子曰：“恭而无礼则劳；慎而无礼则葸；勇而无礼则乱；直而无礼则绞。君子笃于亲，则民兴于仁；故旧不遗，则民不偷。”【翻译】
8.3曾子有疾，召门弟子曰：“启予足，启予手。《诗》云：‘战战兢兢，如临深渊，如履薄冰。’而今而后，吾知免夫，小子！”【翻译】
8.4曾子有疾，孟敬子问之。曾子言曰：“鸟之将死，其鸣也哀；人之将死，其言也善。君子所贵乎道者三：动容貌，斯远暴慢矣；正颜色，斯近信矣；出辞气，斯远鄙倍矣。笾豆之事，则有司存。”【翻译】
8.5曾子曰：“以能问于不能；以多问于寡；有若无，实若虚，犯而不校。昔者吾友尝从事于斯矣。”【翻译】
8.6曾子曰：“可以托六尺之孤，可以寄百里之命，临大节而不可夺也。君子人与？君子人也。”【翻译】
8.7曾子曰：“士不可以不弘毅，任重而道远。仁以为己任，不亦重乎？死而后已，不亦远乎？”【翻译】
8.8子曰：“兴于《诗》，立于礼，成于乐。”【翻译】
8.9子曰：“民可使由之，不可使知之。”【翻译】
8.10子曰：“好勇疾贫，乱也。人而不仁，疾之已甚，乱也。”【翻译】
8.11子曰：“如有周公之才之美，使骄且吝，其余不足观也已。”【翻译】
8.12子曰：“三年学，不至于谷，不易得也。”【翻译】
8.13子曰：“笃信好学，守死善道。危邦不入，乱邦不居。天下有道则见，无道则隐。邦有道，贫且贱焉，耻也；邦无道，富且贵焉，耻也。”【翻译】
8.14子曰：“不在其位，不谋其政。”【翻译】
8.15子曰：“师挚之始，《关雎》之乱，洋洋乎盈耳哉！”【翻译】
8.16子曰：“狂而不直，侗而不愿，悾悾而不信，吾不知之矣。”【翻译】
8.17子曰：“学如不及，犹恐失之。”【翻译】
8.18子曰：“巍巍乎！舜、禹之有天下也而不与焉。”【翻译】
8.19子曰：“大哉尧之为君也！巍巍乎，唯天为大，唯尧则之。荡荡乎，民无能名焉。巍巍乎其有成功也，焕乎其有文章！”【翻译】
8.20舜有臣五人而天下治。武王曰：“予有乱臣十人。”孔子曰：“才难，不其然乎？唐虞之际，于斯为盛；有妇人焉，九人而已。三分天下有其二，以服事殷。周之德，其可谓至德也已矣。”【翻译】
8.21子曰：“禹，吾无间然矣。菲饮食，而致孝乎鬼神；恶衣服，而致美乎黻冕；卑宫室，而尽力乎沟洫。禹，吾无间然矣！”【翻译】
论语·子罕篇注音版
9.1子罕言利与命与仁。【翻译】
9.2达巷党人曰：“大哉孔子！博学而无所成名。”子闻之，谓门弟子曰：“吾何执？执御乎，执射乎？吾执御矣。”【翻译】
9.3子曰：“麻冕，礼也；今也纯，俭，吾从众。拜下，礼也；今拜乎上，泰也；虽违众，吾从下。”【翻译】
9.4子绝四：毋意、毋必、毋固、毋我。【翻译】
9.5子畏于匡，曰：“文王既没，文不在兹乎？天之将丧斯文也，后死者不得与于斯文也；天之未丧斯文也，匡人其如予何？”【翻译】
9.6太宰问于子贡曰：“夫子圣者与，何其多能也？”子贡曰：“固天纵之将圣，又多能也。”子闻之，曰：“太宰知我乎？吾少也贱，故多能鄙事。君子多乎哉？不多也。”【翻译】
9.7牢曰：“子云：‘吾不试，故艺。’”【翻译】
9.8子曰：“吾有知乎哉？无知也。有鄙夫问于我，空空如也。我叩其两端而竭焉。”【翻译】
9.9子曰：“凤鸟不至，河不出图，吾已矣夫！”【翻译】
9.10子见齐衰者、冕衣裳者与瞽者，见之，虽少，必作，过之必趋。【翻译】
9.11颜渊喟然叹曰：“仰之弥高，钻之弥坚。瞻之在前，忽焉在后。夫子循循然善诱人，博我以文，约我以礼，欲罢不能。既竭吾才，如有所立卓尔，虽欲从之，末由也已。”【翻译】
9.12子疾病，子路使门人为臣。病间，曰：“久矣哉，由之行诈也！无臣而为有臣，吾谁欺？欺天乎？且予与其死于臣之手也，无宁死于二三子之手乎！且予纵不得大葬，予死于道路乎？”【翻译】
9.13子贡曰：“有美玉于斯，韫椟而藏诸？求善贾而沽诸？”子曰：“沽之哉，沽之哉！我待贾者也。”【翻译】
9.14子欲居九夷。或曰：“陋，如之何？”子曰：“君子居之，何陋之有！”【翻译】
9.15子曰：“吾自卫反鲁，然后乐正，《雅》、《颂》各得其所。”【翻译】
9.16子曰：“出则事公卿，入则事父兄，丧事不敢不勉，不为酒困，何有于我哉？”【翻译】
9.17子在川上曰：“逝者如斯夫！不舍昼夜。”【翻译】
9.18子曰：“吾未见好德如好色者也。”【翻译】
9.19子曰：“譬如为山，未成一篑，止，吾止也；譬如平地，虽覆一篑，进，吾往也。”【翻译】
9.20子曰：“语之而不惰者，其回也与！”【翻译】
9.21子谓颜渊，曰：“惜乎！吾见其进也，未见其止也。”【翻译】
9.22子曰：“苗而不秀者有矣夫，秀而不实者有矣夫。”【翻译】
9.23子曰：“后生可畏，焉知来者之不如今也？四十、五十而无闻焉，斯亦不足畏也已。”【翻译】
9.24子曰：“法语之言，能无从乎？改之为贵。巽与之言，能无说乎？绎之为贵。说而不绎，从而不改，吾末如之何也已矣。”【翻译】
9.25子曰：“主忠信。毋友不如己者，过，则勿惮改。”【翻译】
9.26子曰：“三军可夺帅也，匹夫不可夺志也。”【翻译】
9.27子曰：“衣敝缊袍，与衣狐貉者立而不耻者，其由也与！‘不忮不求，何用不臧？’”子路终身诵之，子曰：“是道也，何足以臧？”【翻译】
9.28子曰：“岁寒，然后知松柏之后凋也。”【翻译】
9.29子曰：“知者不惑，仁者不忧，勇者不惧。”【翻译】
9.30子曰：“可与共学，未可与适道；可与适道，未可与立；可与立，未可与权。”【翻译】
9.31“唐棣之华，偏其反而。岂不尔思？室是远尔。”子曰：“未之思也，夫何远之有。”【翻译】
论语·乡党篇注音版
10.1孔子于乡党，恂恂如也，似不能言者；其在宗庙朝廷，便便言，唯谨尔。【翻译】
10.2朝，与下大夫言，侃侃如也；与上大夫言，訚訚如也。君在，踧踖如也，与与如也。【翻译】
10.3君召使摈，色勃如也，足躩如也。揖所与立，左右手，衣前后襜如也。趋进，翼如也。宾退，必复命曰：“宾不顾矣。”【翻译】
10.4入公门，鞠躬如也，如不容。立不中门，行不履阈。过位，色勃如也，足躩如也，其言似不足者。摄齐升堂，鞠躬如也，屏气似不息者。出，降一等，逞颜色，怡怡如也；没阶，趋进，翼如也；复其位，踧踖如也。【翻译】
10.5执圭，鞠躬如也，如不胜。上如揖，下如授。勃如战色，足蹜蹜如有循。享礼，有容色。私觌，愉愉如也。【翻译】
10.6君子不以绀緅饰，红紫不以为亵服。当暑,袗絺绤，必表而出之。缁衣羔裘，素衣麑裘，黄衣狐裘。亵裘长，短右袂。必有寝衣，长一身有半。狐貉之厚以居。去丧，无所不佩。非帷裳，必杀之。羔裘玄冠不以吊。吉月，必朝服而朝。【翻译】
10.7齐，必有明衣，布。齐必变食，居必迁坐。【翻译】
10.8食不厌精，脍不厌细。食饐而餲，鱼馁而肉败，不食；色恶，不食；臭恶，不食；失饪，不食；不时，不食；割不正，不食；不得其酱，不食。肉虽多，不使胜食气。唯酒无量，不及乱。沽酒市脯，不食。不撤姜食，不多食。【翻译】
10.9祭于公，不宿肉。祭肉不出三日，出三日不食之矣。【翻译】
10.10食不语，寝不言。【翻译】
10.11虽疏食菜羹，瓜祭，必齐如也。【翻译】
10.12席不正，不坐。【翻译】
10.13乡人饮酒，杖者出，斯出矣。【翻译】
10.14乡人傩，朝服而立于阼阶。【翻译】
10.15问人于他邦，再拜而送之。【翻译】
10.16康子馈药，拜而受之。曰：“丘未达，不敢尝。”【翻译】
10.17厩焚，子退朝，曰：“伤人乎？”不问马。【翻译】
10.18君赐食，必正席先尝之。君赐腥，必熟而荐之。君赐生，必畜之。侍食于君，君祭，先饭。【翻译】
10.19疾，君视之，东首，加朝服，拖绅。【翻译】
10.20君命召，不俟驾行矣。【翻译】
10.21入太庙，每事问。【翻译】
10.22朋友死，无所归，曰：“于我殡。”【翻译】
10.23朋友之馈，虽车马，非祭肉，不拜。【翻译】
10.24寝不尸，居不容。【翻译】
10.25见齐衰者，虽狎，必变。见冕者与瞽者，虽亵，必以貌。凶服者式之，式负版者。有盛馔，必变色而作。迅雷风烈，必变。【翻译】
10.26升车，必正立，执绥。车中不内顾，不疾言，不亲指。【翻译】
10.27色斯举矣，翔而后集。曰：“山梁雌雉，时哉时哉！”子路共之，三嗅而作。【翻译】
论语·先进篇注音版
11.1子曰：“先进于礼乐，野人也；后进于礼乐，君子也。如用之，则吾从先进。”【翻译】
11.2子曰：“从我于陈、蔡者，皆不及门也。”【翻译】
11.3德行：颜渊，闵子骞，冉伯牛，仲弓。言语：宰我，子贡。政事：冉有，季路。文学：子游，子夏。【翻译】
11.4子曰：“回也非助我者也，于吾言无所不说。”【翻译】
11.5子曰：“孝哉闵子骞！人不间于其父母昆弟之言。”【翻译】
11.6南容三复白圭，孔子以其兄之子妻之。【翻译】
11.7季康子问：“弟子孰为好学？”孔子对曰：“有颜回者好学，不幸短命死矣，今也则亡。”【翻译】
11.8颜渊死，颜路请子之车以为之椁。子曰：“才不才，亦各言其子也。鲤也死，有棺而无椁，吾不徒行以为之椁。以吾从大夫之后，不可徒行也。”【翻译】
11.9颜渊死，子曰：“噫！天丧予！天丧予！”【翻译】
11.10颜渊死，子哭之恸，从者曰：“子恸矣！”曰：“有恸乎？非夫人之为恸而谁为？”【翻译】
11.11颜渊死，门人欲厚葬之，子曰：“不可。”门人厚葬之，子曰：“回也视予犹父也，予不得视犹子也。非我也，夫二三子也！”【翻译】
11.12季路问事鬼神，子曰：“未能事人，焉能事鬼？”,曰：“敢问死。”曰：“未知生，焉知死？”【翻译】
11.13闵子侍侧，訚訚如也；子路，行行如也；冉有、子贡，侃侃如也。子乐。“若由也，不得其死然。”【翻译】
11.14鲁人为长府，闵子骞曰：“仍旧贯如之何？何必改作？”子曰：“夫人不言，言必有中。”【翻译】
11.15子曰：“由之瑟，奚为于丘之门？”门人不敬子路，子曰：“由也升堂矣，未入于室也。”【翻译】
11.16子贡问：“师与商也孰贤？”子曰：“师也过，商也不及。”曰：“然则师愈与？”子曰：“过犹不及。”【翻译】
11.17季氏富于周公，而求也为之聚敛而附益之。子曰：“非吾徒也，小子鸣鼓而攻之可也。”【翻译】
11.18柴也愚，参也鲁，师也辟，由也喭。【翻译】
11.19子曰：“回也其庶乎，屡空。赐不受命而货殖焉，亿则屡中。”【翻译】
11.20子张问善人之道，子曰：“不践迹，亦不入于室。”【翻译】
11.21子曰：“论笃是与，君子者乎，色庄者乎？”【翻译】
11.22子路问：“闻斯行诸？”子曰：“有父兄在，如之何其闻斯行之？”冉有问：“闻斯行诸？”子曰：“闻斯行之。”公西华曰：“由也问：“闻斯行诸？”子曰：‘有父兄在’；求也问：‘闻斯行诸’。子曰‘闻斯行之’。赤也惑，敢问。”子曰：“求也退，故进之；由也兼人，故退之。”【翻译】
11.23子畏于匡，颜渊后。子曰：“吾以女为死矣！”曰：“子在，回何敢死！”【翻译】
11.24季子然问：“仲由、冉求可谓大臣与？”子曰：“吾以子为异之问，曾由与求之问。所谓大臣者，以道事君，不可则止。今由与求也，可谓具臣矣。”曰：“然则从之者与？”子曰：“弑父与君，亦不从也。”【翻译】
11.25子路使子羔为费宰，子曰：“贼夫人之子。”子路曰：“有民人焉，有社稷焉，何必读书然后为学。”子曰：“是故恶夫佞者。”【翻译】
11.26子路、曾皙、冉有、公西华侍坐，子曰：“以吾一日长乎尔，毋吾以也。居则曰‘不吾知也’如或知尔，则何以哉?”子路率尔而对曰：“千乘之国，摄乎大国之间，加之以师旅，因之以饥馑，由也为之，比及三年，可使有勇，且知方也。”夫子哂之。“求，尔何如?”对曰：“方六七十，如五六十，求也为之，比及三年，可使足民。如其礼乐，以俟君子。”“赤!尔何如?”对曰：“非曰能之，愿学焉。宗庙之事，如会同，端章甫，愿为小相焉。”“点，尔何如?”鼓瑟希，铿尔，舍瑟而作，对曰：“异乎三子者之撰。”子曰：“何伤乎?亦各言其志也。”曰：“暮春者【翻译】
论语·颜渊篇注音版
12.1颜渊问仁，子曰：“克己复礼为仁。一日克己复礼，天下归仁焉。为仁由己，而由人乎哉？”颜渊曰：“请问其目？”子曰：“非礼勿视，非礼勿听，非礼勿言，非礼勿动。”颜渊曰：“回虽不敏，请事斯语矣。”【翻译】
12.2仲弓问仁，子曰：“出门如见大宾，使民如承大祭。己所不欲，勿施于人。在邦无怨，在家无怨。”仲弓曰：“雍虽不敏，请事斯语矣。”【翻译】
12.3司马牛问仁，子曰：“仁者，其言也讱。”曰：“其言也讱，斯谓之仁已乎？”子曰：“为之难，言之得无讱乎？”【翻译】
12.4司马牛问君子，子曰：“君子不忧不惧。”曰：“不忧不惧，斯谓之君子已乎？”子曰：“内省不疚，夫何忧何惧？”【翻译】
12.5司马牛忧曰：“人皆有兄弟，我独亡。”子夏曰：“商闻之矣：死生有命，富贵在天。君子敬而无失，与人恭而有礼，四海之内皆兄弟也。君子何患乎无兄弟也？”【翻译】
12.6子张问明，子曰：“浸润之谮，肤受之愬，不行焉，可谓明也已矣；浸润之谮、肤受之愬不行焉，可谓远也已矣。”【翻译】
12.7子贡问政，子曰：“足食，足兵，民信之矣。”子贡曰：“必不得已而去，于斯三者何先？”曰：“去兵。”子贡曰：“必不得已而去，于斯二者何先？”曰：“去食。自古皆有死，民无信不立。”【翻译】
12.8棘子成曰：“君子质而已矣，何以文为？”子贡曰：“惜乎，夫子之说君子也！驷不及舌。文犹质也，质犹文也。虎豹之鞟犹犬羊之鞟。”【翻译】
12.9哀公问于有若曰：“年饥，用不足，如之何？”有若对曰：“盍彻乎？”曰：“二，吾犹不足，如之何其彻也？”对曰：“百姓足，君孰与不足？百姓不足，君孰与足？”【翻译】
12.10子张问崇德、辨惑，子曰：“主忠信，徙义，崇德也。爱之欲其生，恶之欲其死；既欲其生又欲其死，是惑也。‘诚不以富，亦祗以异。’”【翻译】
12.11齐景公问政于孔子，孔子对曰：“君君，臣臣，父父，子子。”公曰：“善哉！信如君不君、臣不臣、父不父、子不子，虽有粟，吾得而食诸？”【翻译】
12.12子曰：“片言可以折狱者，其由也与？”子路无宿诺。【翻译】
12.13子曰：“听讼，吾犹人也。必也使无讼乎。”【翻译】
12.14子张问政，子曰：“居之无倦，行之以忠。”【翻译】
12.15子曰：“博学于文，约之以礼，亦可以弗畔矣夫。”【翻译】
12.16子曰：“君子成人之美，不成人之恶；小人反是。”【翻译】
12.17季康子问政于孔子，孔子对曰：“政者，正也。子帅以正，孰敢不正？”【翻译】
12.18季康子患盗，问于孔子。孔子对曰：“苟子之不欲，虽赏之不窃。”【翻译】
12.19季康子问政于孔子曰：“如杀无道以就有道，何如？”孔子对曰：“子为政，焉用杀？子欲善而民善矣。君子之德风，小人之德草，草上之风必偃。”【翻译】
12.20子张问：“士何如斯可谓之达矣？”子曰：“何哉尔所谓达者？”子张对曰：“在邦必闻，在家必闻。”子曰：“是闻也，非达也。夫达也者，质直而好义，察言而观色，虑以下人。在邦必达，在家必达。夫闻也者，色取仁而行违，居之不疑。在邦必闻，在家必闻。”【翻译】
12.21樊迟从游于舞雩之下，曰：“敢问崇德、修慝、辨惑。”子曰：“善哉问！先事后得，非崇德与？攻其恶，无攻人之恶，非修慝与？一朝之忿，忘其身，以及其亲，非惑与？”【翻译】
12.22樊迟问仁，子曰：“爱人。”问知，子曰：“知人。”樊迟未达，子曰：“举直错诸枉，能使枉者直。”樊迟退，见子夏，曰：“乡也吾见于夫子而问知，子曰：‘举直错诸枉，能使枉者直’，何谓也？”子夏曰：“富哉言乎！舜有天下，选于众，举皋陶，不仁者远矣。汤有天下，选于众，举伊尹，不仁者远矣。”【翻译】
12.23子贡问友，子曰：“忠告而善道之，不可则止，毋自辱焉。”【翻译】
12.24曾子曰：“君子以文会友，以友辅仁。”【翻译】
论语·子路篇注音版
13.1子路问政，子曰：“先之，劳之。”请益，曰：“无倦。”【翻译】
13.2仲弓为季氏宰，问政，子曰：“先有司，赦小过，举贤才。”曰：“焉知贤才而举之？”子曰：“举尔所知。尔所不知，人其舍诸？”【翻译】
13.3子路曰：“卫君待子而为政，子将奚先？”子曰：“必也正名乎！”子路曰：“有是哉，子之迂也！奚其正？”子曰：“野哉，由也！君子于其所不知，盖阙如也。名不正、则言不顺，言不顺则事不成，事不成则礼乐不兴，礼乐不兴则刑罚不中，刑罚不中则民无所措手足。故君子名之必可言也，言之必可行也。君子于其言，无所苟而已矣。”【翻译】
13.4樊迟请学稼，子曰：“吾不如老农。”请学为圃，曰：“吾不如老圃。”樊迟出。子曰：“小人哉，樊须也！上好礼，则民莫敢不敬；上好义，则民莫敢不服；上好信，则民莫敢不用情。夫如是，则四方之民襁负其子而至矣，焉用稼？”【翻译】
13.5子曰：“诵《诗》三百，授之以政，不达；使于四方，不能专对；虽多，亦奚以为？”【翻译】
13.6子曰：“其身正，不令而行；其身不正，虽令不从。”【翻译】
13.7子曰：“鲁卫之政，兄弟也。”【翻译】
13.8子谓卫公子荆，“善居室。始有，曰：‘苟合矣。’少有，曰：‘苟完矣。’富有，曰：‘苟美矣。’”【翻译】
13.9子适卫，冉有仆，子曰：“庶矣哉！”冉有曰：“既庶矣，又何加焉？”曰：“富之。”曰：“既富矣，又何加焉？”曰：“教之。”【翻译】
13.10子曰：“苟有用我者，期月而已可也，三年有成。”【翻译】
13.11子曰：“‘善人为邦百年，亦可以胜残去杀矣。’诚哉是言也！”【翻译】
13.12子曰：“如有王者，必世而后仁。”【翻译】
13.13子曰：“苟正其身矣，于从政乎何有？不能正其身，如正人何？”【翻译】
13.14冉子退朝，子曰：“何晏也？”对曰：“有政。”子曰：“其事也。如有政，虽不吾以，吾其与闻之。”【翻译】
13.15定公问：“一言而可以兴邦，有诸？”孔子对曰：“言不可以若是。其几也。人之言曰：‘为君难，为臣不易。’如知为君之难也，不几乎一言而兴邦乎？”曰：“一言而丧邦，有诸？”孔子对曰：“言不可以若是其几也。人之言曰：‘予无乐乎为君，唯其言而莫予违也。’如其善而莫之违也，不亦善乎？如不善而莫之违也，不几乎一言而丧邦乎？”【翻译】
13.16叶公问政，子曰：“近者说，远者来。”【翻译】
13.17子夏为莒父宰，问政，子曰：“无欲速，无见小利。欲速则不达，见小利则大事不成。”【翻译】
13.18叶公语孔子曰：“吾党有直躬者，其父攘羊，而子证之。”孔子曰：“吾党之直者异于是。父为子隐，子为父隐，直在其中矣。”【翻译】
13.19樊迟问仁，子曰：“居处恭，执事敬，与人忠。虽之夷狄，不可弃也。”【翻译】
13.20子贡问曰：“何如斯可谓之士矣？”子曰：“行己有耻，使于四方不辱君命，可谓士矣。”曰：“敢问其次。”曰：“宗族称孝焉，乡党称弟焉。”曰：“敢问其次。”曰：“言必信，行必果，踁踁然小人哉！抑亦可以为次矣。”曰：“今之从政者何如？”子曰：“噫！斗筲之人，何足算也！”【翻译】
13.21子曰：“不得中行而与之，必也狂狷乎！狂者进取，狷者有所不为也。”【翻译】
13.22子曰：“南人有言曰：‘人而无恒，不可以作巫医。’善夫！”“不恒其德，或承之羞。”子曰：“不占而已矣。”【翻译】
13.23子曰：“君子和而不同，小人同而不和。”【翻译】
13.24子贡问曰：“乡人皆好之，何如？”子曰：“未可也。”“乡人皆恶之，何如？”子曰：“未可也。不如乡人之善者好之，其不善者恶之。”【翻译】
13.25子曰：“君子易事而难说也，说之不以道不说也，及其使人也器之；小人难事而易说也，说之虽不以道说也，及其使人也求备焉。”【翻译】
13.26子曰：“君子泰而不骄，小人骄而不泰。”【翻译】
13.27子曰：“刚、毅、木、讷近仁。”【翻译】
13.28子路问曰：“何如斯可谓之士矣？”子曰：“切切偲偲，怡怡如也，可谓士矣。朋友切切偲偲，兄弟怡怡。”【翻译】
13.29子曰：“善人教民七年，亦可以即戎矣。”【翻译】
13.30子曰：“以不教民战，是谓弃之。”【翻译】
论语·宪问篇注音版
14.1宪问耻，子曰：“邦有道，谷；邦无道，谷，耻也。”“克、伐、怨、欲不行焉，可以为仁矣？”子曰：“可以为难矣，仁则吾不知也。”【翻译】
14.2子曰：“士而怀居，不足以为士矣。”【翻译】
14.3子曰：“邦有道，危言危行；邦无道，危行言孙。”【翻译】
14.4子曰：“有德者必有言，有言者不必有德。仁者必有勇，勇者不必有仁。”【翻译】
14.5南宫适问于孔子曰：“羿善射，奡荡舟，俱不得其死然；禹、稷躬稼而有天下。”夫子不答。南宫适出，子曰：“君子哉若人！尚德哉若人！”【翻译】
14.6子曰：“君子而不仁者有矣夫，未有小人而仁者也。”【翻译】
14.7子曰：“爱之，能勿劳乎？忠焉，能勿诲乎？”【翻译】
14.8子曰：“为命，裨谌草创之，世叔讨论之，行人子羽修饰之，东里子产润色之。”【翻译】
14.9或问子产，子曰：“惠人也。”问子西，曰：“彼哉，彼哉！”问管仲，曰：“人也。夺伯氏骈邑三百，饭疏食，没齿无怨言。”【翻译】
14.10子曰：“贫而无怨难，富而无骄易。”【翻译】
14.11子曰：“孟公绰为赵、魏老则优，不可以为滕、薛大夫。”【翻译】
14.12子路问成人，子曰：“若臧武仲之知、公绰之不欲、卞庄子之勇、冉求之艺，文之以礼乐，亦可以为成人矣。”曰：“今之成人者何必然？见利思义，见危授命，久要不忘平生之言，亦可以为成人矣。”【翻译】
14.13子问公叔文子于公明贾曰：“信乎，夫子不言，不笑，不取乎？”公明贾对曰：“以告者过也。夫子时然后言，人不厌其言；乐然后笑，人不厌其笑；义然后取，人不厌其取。”子曰：“其然？岂其然乎？”【翻译】
14.14子曰：“臧武仲以防求为后于鲁，虽曰不要君，吾不信也。”【翻译】
14.15子曰：“晋文公谲而不正，齐桓公正而不谲。”【翻译】
14.16子路曰：“桓公杀公子纠，召忽死之，管仲不死，曰未仁乎？”子曰：“桓公九合诸侯不以兵车，管仲之力也。如其仁，如其仁！”【翻译】
14.17子贡曰：“管仲非仁者与？桓公杀公子纠，不能死，又相之。”子曰：“管仲相桓公霸诸侯，一匡天下，民到于今受其赐。微管仲，吾其被发左衽矣。岂若匹夫匹妇之为谅也，自经于沟渎而莫之知也。”【翻译】
14.18公叔文子之臣大夫僎与文子同升诸公，子闻之,曰：“可以为‘文’矣。”【翻译】
14.19子言卫灵公之无道也，康子曰：“夫如是，奚而不丧？”孔子曰：“仲叔圉治宾客，祝鮀治宗庙，王孙贾治军旅，夫如是，奚其丧？”【翻译】
14.20子曰：“其言之不怍，则为之也难。”【翻译】
14.21陈成子弑简公，孔子沐浴而朝，告于哀公曰：“陈恒弑其君，请讨之。”公曰：“告夫三子。”,孔子曰：“以吾从大夫之后，不敢不告也，君曰‘告夫三子’者！”之三子告，不可。孔子曰：“以吾从大夫之后，不敢不告也。”【翻译】
14.22子路问事君，子曰：“勿欺也，而犯之。”【翻译】
14.23子曰：“君子上达，小人下达。”【翻译】
14.24子曰：“古之学者为己，今之学者为人。”【翻译】
14.25蘧伯玉使人于孔子，孔子与之坐而问焉，曰：“夫子何为？”对曰：“夫子欲寡其过而未能也。”使者出，子曰：“使乎！使乎！”【翻译】
14.26子曰：“不在其位，不谋其政。”曾子曰：“君子思不出其位。”【翻译】
14.27子曰：“君子耻其言而过其行。”【翻译】
14.28子曰：“君子道者三，我无能焉：仁者不忧，知者不惑，勇者不惧。”子贡曰：“夫子自道也。”【翻译】
14.29子贡方人，子曰：“赐也贤乎哉？夫我则不暇。”【翻译】
14.30子曰：“不患人之不己知，患其不能也。”【翻译】
14.31子曰：“不逆诈，不亿不信，抑亦先觉者，是贤乎！”【翻译】
14.32微生亩谓孔子曰：“丘何为是栖栖者与？无乃为佞乎？”孔子曰：“非敢为佞也，疾固也。”【翻译】
14.33子曰：“骥不称其力，称其德也。”【翻译】
14.34或曰：“以德报怨，何如？”子曰：“何以报德？以直报怨，以德报德。”【翻译】
14.35子曰：“莫我知也夫！”子贡曰：“何为其莫知子也？”子曰：“不怨天，不尤人，下学而上达。知我者其天乎！”【翻译】
14.36公伯寮愬子路于季孙。子服景伯以告，曰：“夫子固有惑志于公伯寮，吾力犹能肆诸市朝。”子曰：“道之将行也与，命也；道之将废也与，命也。公伯寮其如命何？”【翻译】
14.37子曰：“贤者辟世，其次辟地，其次辟色，其次辟言。”子曰：“作者七人矣。”【翻译】
14.38子路宿于石门，晨门曰：“奚自？”子路曰：“自孔氏。”曰：“是知其不可而为之者与？”【翻译】
14.39子击磬于卫，有荷蒉而过孔氏之门者，曰：“有心哉，击磬乎！”既而曰：“鄙哉，硁硁乎！莫己知也，斯己而已矣。深则厉，浅则揭。”子曰：“果哉！末之难矣。”【翻译】
14.40子张曰：“《书》云，‘高宗谅阴，三年不言。’何谓也？”子曰：“何必高宗，古之人皆然。君薨，百官总己以听于冢宰三年。”【翻译】
14.41子曰：“上好礼，则民易使也。”【翻译】
14.42子路问君子，子曰：“修己以敬。”曰：“如斯而已乎？”曰：“修己以安人。”曰：“如斯而已乎？”曰：“修己以安百姓。修己以安百姓，尧、舜其犹病诸！”【翻译】
14.43原壤夷俟，子曰：“幼而不孙弟，长而无述焉，老而不死，是为贼！”以杖叩其胫。【翻译】
14.44阙党童子将命，或问之曰：“益者与？”子曰：“吾见其居于位也，见其与先生并行也。非求益者也，欲速成者也。”【翻译】
论语·卫灵公篇注音版
15.1卫灵公问陈于孔子，孔子对曰：“俎豆之事，则尝闻之矣；军旅之事，未之学也。”明日遂行。【翻译】
15.2在陈绝粮，从者病莫能兴。子路愠见曰：“君子亦有穷乎？”子曰：“君子固穷，小人穷斯滥矣。”【翻译】
15.3子曰：“赐也，女以予为多学而识之者与？”对曰：“然，非与？”曰：“非也，予一以贯之。”【翻译】
15.4子曰：“由，知德者鲜矣。”【翻译】
15.5子曰：“无为而治者其舜也与！夫何为哉？恭己正南面而已矣。”【翻译】
15.6子张问行，子曰：“言忠信，行笃敬，虽蛮貊之邦，行矣。言不忠信，行不笃敬，虽州里，行乎哉？立则见其参于前也，在舆则见其倚于衡也，夫然后行。”子张书诸绅。【翻译】
15.7子曰：“直哉史鱼！邦有道如矢，邦无道如矢。君子哉蘧伯玉！邦有道则仕，邦无道则可卷而怀之。”【翻译】
15.8子曰：“可与言而不与之言，失人；不可与言而与之言，失言。知者不失人亦不失言。”【翻译】
15.9子曰：“志士仁人无求生以害仁，有杀身以成仁。”【翻译】
15.10子贡问曰：“有一言而可以终身行之者乎？”子曰：“其恕乎！己所不欲，勿施于人。”【翻译】
|
Chinese
|
16k
|
T5. Attribution & Citation Alignment
|
T5.1 Full-Sentence Citation Alignment
|
Full
|
对下列所生成的摘要中的每一句话，标注来自原文的最小充分出处（PART号）。仅可使用给定原文中的PART号作为引用标注（如1.1），不得使用书名页码或外部来源。先输出“[答案]”标识符，再以“句号 出处”的格式按行输出每句话的出处。若一句话有多个出处，用空格分割多个出处，出处间升序排列，不要输出任何其他内容。
所生成摘要：
1.人而不仁，如礼何？
2.己所不欲，勿施于人。
3.人不知而不愠，是为君子。
4.温故而知新，可以为师。
5.学而不思则罔，思而不学则殆。
6.知之为知之，不知为不知，是知也。
7.君子不器。
8.君子周而不比，小人比而不周。
9.君子坦荡荡，小人长戚戚。
10.君子喻于义，小人喻于利。
11.见贤思齐，见不贤则内自省。
12.君子欲讷于言而敏于行。
13.君子食无求饱，居无求安，敏于事而慎于言。
14.仁者安仁，知者利仁。
15.知者乐水，仁者乐山。
输出示例：
[答案]
1 1.1 1.2
2 1.2
3 4.16 8.12
…
|
对下列所生成的摘要中的每一句话，标注来自原文的最小充分出处（PART号）。仅可使用给定原文中的PART号作为引用标注（如1.1），不得使用书名页码或外部来源。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再以“句号 出处”的格式按行输出每句话的出处。若一句话有多个出处，用空格分割多个出处，出处间升序排列，不要输出任何其他内容。
所生成摘要：
1.人而不仁，如礼何？
2.己所不欲，勿施于人。
3.人不知而不愠，是为君子。
4.温故而知新，可以为师。
5.学而不思则罔，思而不学则殆。
6.知之为知之，不知为不知，是知也。
7.君子不器。
8.君子周而不比，小人比而不周。
9.君子坦荡荡，小人长戚戚。
10.君子喻于义，小人喻于利。
11.见贤思齐，见不贤则内自省。
12.君子欲讷于言而敏于行。
13.君子食无求饱，居无求安，敏于事而慎于言。
14.仁者安仁，知者利仁。
15.知者乐水，仁者乐山。
输出示例：
<你的思考过程>
[答案]
1 1.1 1.2
2 1.2
3 4.16 8.12
…
|
[
"1 3.3",
"2 12.2 15.10",
"3 1.1",
"4 2.11",
"5 2.15",
"6 2.17",
"7 2.12",
"8 2.14",
"9 7.37",
"10 4.16",
"11 4.17",
"12 4.24",
"13 1.14",
"14 4.2",
"15 6.23"
] |
Moderate
|
5e393564e2235ea91b4e37678dfc0921549f7bd45749c4a0b8c9621da59f0585
|
第四集
场景 女生宿舍
（中境）陈冰，冯，高，正在扎马步。柳依依拿着鸡毛扫走着不时指点一下，“大姐，你屁股下沉一点，三妹，你脚分开一点。四妹，你腰挺直。都这么久了你们还没有学会，我再给你们示范一次！”
（近境）柳依依扎马步{严肃}“你们看好了。跟着我一起做！脚成八字，然后下蹲，深呼吸，气沉丹田。然后”放了个屁“ 噗。。噗。。噗。。”
三女正在柳背后深呼吸，听到声音，飞快掩嘴退到一边。看着柳
柳{假装平静}“其实这只是个意外。你们不用躲那么远！再说了，响屁不臭，臭屁不响。”深吸一口气{笑}“看一点都不”翻白眼晕倒
（近境）三女惊叫{吃惊}“呀！”
场景 男生宿舍
（中境）陈俊正在吃早餐{笑嘻嘻}“哦！我最爱的灌汤包！嗯恩恩。 ”先喝牛奶！
秦寿，王尚推门走进来。王看了一下正要吃包的陈{坏笑}，把头奏到秦耳边，秦点头{不怀好意}看向陈，王离开秦向前走两步！
王{惊奇}“呀寿！你知不知道，原来学校门口那家面包店，做面包的面粉居然是过期几年的面粉！唉！现在的黑心商人真多！ ”
秦{少见多怪}“哼！少见多怪比起苏丹红鸡蛋，大头奶粉，有毒的学生豆奶，高致癌毒大米，有毒香肠，"瘦肉精"饲养出的瘦肉型猪肉，硫磺熏制的土豆……”
王“你还是别说了，再说我都不敢吃东西了。虽然经常听到这些新闻，不过总觉得离我们很远一样！没什么感觉。”
秦{神秘}“其实，这样的事我们身边就有，校门口斜对面那家买灌汤包的店。你知不知道？”
王“知道。听说又便宜又吃！”
秦{厌恶}“那你知道他为什么可以买那么便宜吗？听说他包子里的猪肉其实都是死猪肉还听说有的死猪肉放的太久都生蛆虫了。听着就恶心！”偷偷看向陈
（特写）陈{厌恶}看下手里的包子，放在桌上。站起来。
陈“你们是在恶心我对不对。其实包子里的根本不是死猪肉？就你们那点智商还想骗我？”
王{得意}“对，我们就是在骗你，其实那包子一点问题都没有。”
陈{气愤}坐下。拿起包子。放嘴边，{皱眉}放回桌子。看向王。
王“怎么不吃了呢！浪费食物是可耻得！”
陈{气愤}“谁说我不吃了，只是我现在还不饿，我等一下再吃不行吗？哼！”拿起包子，走向门口。
秦“你不要了，不如给我吧！扔掉多可惜呀！”
陈盯一眼秦“你喜欢，就给你吧！等一下我饿了再去买过。”把包给秦，走出门口
秦拿起包子吃起来{得意}“唔，味道不错，你吃不吃？”
王看看包子{皱眉}“算了，听了刚才的话，我现在实在没有胃口！”
秦“不吃就算了，这可是难得的美味呀！你看，这里还有一点白花花的东西。”给王看一下包子，接着吃。“嗯，吃起来软绵绵的。”
门打开，李走进来{高兴}“大新闻，大新闻呀！”
王{笑}“这么高兴，有什么大新闻呀？”
李{神秘}“校门口斜对面那家买灌汤包的店。你知不知道？”
王{好奇}“那家店怎么啦？”
李“刚才，工商局的人查封了那家店铺，原来那家店里的包子，里面的猪肉其实都是死猪肉，还有一些死猪肉放的太久都生蛆虫了，我去看了一下好恶心呀！”
王猛看向秦，“白花花，吃起来软绵绵”
秦看一下手里的包子，把包子掉地下，冲进冼手间。一阵呕吐声传出来。
场景 女生宿舍
（中境）柳从椅子上站起来{严肃}“来，咱们继续扎马步！”
冯{哭}“呀！二姐，还要练扎马步呀！这个要练多久才能打倒色狼？”
柳“扎马步只是基础，但是，如果你能坚持3，50年四五个汉子都不是你对手！”
冯“练好了有什么用？3，50年后我还巴不得有男人来非礼我呢！”
高“四妹，你真不害羞，这样的话都说的出来！”
冯“我说的是真的，那时我都50多岁了，要是还有男人来非礼我，正明姐魅力不减当年。那是每个女人的终极梦想！”{花痴}
柳“别理那花痴妹。其实扎马步有个一年半年打好基础就可以练习下一步了，到时就有一点自保这力了！”
冯“二姐，一年半年还是有点长了，你有没有速成的方法？我只是对付色狼而已，又不是和人打架，有个一招半式就可以了。”
柳想了想“好吧！我就传你一招，练熟了应该可以对付色狼了。”站好前踢，后踢，左踢，右踢
柳{严肃}“只要练好刚才的四个踢法，瞄准男人的要害，到时候肯定能让色狼明白什么叫蛋蛋的忧伤！”
陈学着柳踢两脚“二姐，这个太简单了吧？有没有更深奥一点得？”
柳“更深奥得，这一招应该可以！”耍一招猴子偷桃。然后向下扯。
冯{小心翼翼}“这是？猴子偷桃？”
柳“对，这就是前辈们对付男人的终极必杀技《猴子偷桃》的变招。我考虑到你们力量不足，在最后多加了一个扯的动作。这样更加有杀伤力。所以我给它起了个新名字 美女扯蛋”
柳做个用手握东西的动作{凶狠}“其实这一招的正确练法，必须用手握住鸡蛋，然后用力，哪一天能把鸡蛋握碎就练成了，一招下去蛋碎人亡，端是毒辣无比！”
冯“咦！好恶心。动作也不好看，还有没有其它的招式？”
柳“你们都不想学？”三女点头
柳“还有一招，踢弁庆痛处”
高“踢弁庆痛处，是什么希奇古怪的招式？怎么名字这么奇怪？”
柳“我也不是很清楚，反正我爸教我的时候是这样说的。弁庆好像是个日本古代的名人。其实就是踢小腿内侧，那里是人体的最痛处，踢准了保证痛的流泪。”
冯“这招不错，名字洋气，动作潇洒。”说完一脚踢在柳的小腿内侧
（特写）柳“唏”倒吸一口气。“呕”眼泪流下来。
冯{小心翼翼}“二姐，其实没有那么痛吧？”
柳{怒}“你没有看到我的眼泪吗？”
冯伸头看柳的眼“我看到了，好大一颗眼屎！”
场景，男生宿舍
（中境）李坐着看书，秦推门进来。
秦{疑问}“只有你自己在，王尚呢？”
李对着王的床位看过去“在被窝里躲着呢！我问他有什么事他也不回答。不过好像受到了很大的打击！”
秦走到王的床前{笑}“皇上，您有什么不开心的事，说出来让咱们开心一下嘛！”
王伸出头“还不是卫生巾的事。我都不想敢出门了。”
秦{好奇}“你早上还好好的，别人问你的时候你表现的很淡定呀？”
李也走过来
王“事情是这样得。”
场景 小路
（中境）王慢慢的走过来{微笑}女生甲走到王面前
甲{羞涩}“你是不是王尚同学？”
王旁白：48，34，46。还有少女的体香。绝对是80分小美女，难道哥的春天来了？
王理一下头发{深沉}“对，我就是王尚，这位同学找我有什么事吗？”
甲“其实是这样的，我昨晚一直都在想着你，今天来找你是想问你一个很私人的问题。不知道可不可以？”
王旁白：这难道就是传说中的告白。接下来应该是问我有没有女朋友了，如果她说喜欢我，我是接受呢？还是接受呢？
王{正直}“正所谓，事无对人言。你有什么就问吧！我一定知无不言，言而不尽！”
甲“我想问一下，你”停顿吸一口气
王旁白：来了来了，第一次被人告白，好紧张呀！心跳上120了，王尚镇定点，对背字母ABCDEFG……
甲看着王“你用什么牌子的卫生巾？”
王冲口而出“ABC”
场景 男生宿舍
（近境）秦大笑“大哥，你真行呀！ABC牌卫生巾，哈哈笑死我了。”
李大笑“咳，咳。你这么吊你家里人知道吗？哈哈。”
王（郁闷）“我就知道会这样，笑吧，笑死你们。唉！我的人生就像茶几，上面全是杯具！”
秦“在我看来你这个不是杯具，而是洗具。笑的我肚子都痛了。哈哈。”
王“哼，秦兄如果你敢再笑，我就把你吃了某种虫子的事发到网上去，哼哼，我相信这种观众们喜见乐闻的事，会让你一夜爆红喔！”
秦{难看}“超强，我错了。你就当我是个屁，放了我吧！”
李{嬉笑}“嘻嘻！这件事我也知道，你打算怎么办？”
秦{肉痛}“明天的早餐！”
李“一个星期的早餐！“
秦“三天，最多三天。“
李“成交。”
王问秦“你说，出了这种事我大学四年还能不能找到女朋友？”
秦“你放心。这种事我最有经验了。过个三五天新鲜感一过就过去了。就说高中我被脱裤子一事吧。三天一过大家都没在说了。”
王{疑问}“不会吧？难道你会魔法？”
秦“当然不是啦！其实事情是这样的！那天的被老师叫上台去作题，我上讲台时不小心把老师的裤子扯掉了。”
李“那老师男的还是女的？你不会还内裤都扯掉了吧？”
秦“是个男老师。他的内裤还在。”
王{好奇}“那老师，后来怎样了？”
秦“他尖叫一声，从楼上跳了下去。”
王{吃惊}“呀！那老师的心理承受能力太差了吧？”
秦{皱眉}“对呀！不就是穿着一条把JJ露出来的女性情趣内裤嘛！居然想不开跳楼。”
（特写）王，李目瞪口呆微微张嘴
秦{感慨}“现代人的心理承受能力太差了！还好，他跳的是二楼，只是断了条脚而已！”
李“靠！换我，我也会跳。太丢人了！”
王{好奇}“出了这么大的事，学校怎么处理你？”
秦{得意}“校长，亲自在早操后表扬了我，还给我发了500块的奖金。”
王{吃惊}“你是在说反话吧？你害得一个老师跳楼，校长还表扬你？”
李{怀疑}“难道，你爸是李刚？”
秦“不是啦！原来那个老师是个内衣大盗。我算是为民除害，所以校长才会表扬我！”
李，王“哦！”一齐点头
女生宿命
四女坐一起聊天，
冯“二姐，你有没有遇到过色狼？”
柳{思考}“有呀！在我14岁的时候遇到过。”
冯“14岁就遇到色狼啦？”
柳{感叹}“对呀！当时我年纪少，武功还没有大成，在小巷子里，唉！我的衣服都被扯坏了。”
冯{伤心}“对不起！二姐，提起你的伤心事？”高，陈伤心点头
柳{微笑}“没事，反正已经过去那么多年了，我也想开了。不还对于色狼我是见一个揍一个。”
陈{哭}“二姐，你真是坚强。”
柳“不就是件一千多块的衣服吗？三妹，你也用不着哭呀？”
陈{疑问}“什么一千块的衣服？”
柳{好奇}“你们不是在说衣服吗？”
冯“你刚才说什么，武功还没有大成，在小巷子里，衣服都被扯坏了。你不是被人那啥了吗？”
柳“你才被那啥了呢！我是说当时武功还没有大成，用了十几招才打倒那色狼，但是小巷子里太窄了，我的衣服还是不小心被扯坏了。”
冯{哭笑不得}“那你叹什么气呀？害的我们”
柳“那件衣服，是我省吃检用三个月才买到的，第一天穿就坏了能不叹气吗？”
高“二妹，你以后说话，说清楚点。害我们想歪了，”
柳“好了，我错了，我以后一定把话说清楚。”看着高胸部“大姐，有没有遇到过色狼？”
高“没有？”
柳“不可能，你的胸器那么厉害，怎么会没有色狼非礼你？来我帮你量量有多大？嘻嘻！”用手去抓高胸部，
高把手挡在胸前“呀！你这个女色狼，你想干什么？非礼呀！救命呀！”边说边跑
柳边追边说“三妹，四妹一起来，大姐别跑了，你喊再大声都没有人救得了你。”
三女笑着把高围在墙角。境头外转，画外音：四女的嘻笑声15秒左右
场景 林间小道
（长境）秦走在前，东张西望。陈。冯在后面走着
（近境）陈“四妹，你又去买零食？那些东西吃多了不好！”
冯{无奈}“三姐，你放过我吧！这些话你从宿舍说到现在，你比我妈还烦。”冯一指秦 “看，前面那个人鬼鬼祟祟的一看就知道不是好人“
陈（疑惑）“噫！前面那个人好像有点眼熟？呀！他就是上次被我打了的色狼！”
冯{惊喜}“他这么快就出来了，哼！让本女侠再去教训他一下。”说完冲向秦
陈“你等等！”
（近境）冯冲到秦身后{正义}“色狼，站住！”秦转身{茫然}冯出脚踢秦下体。秦用手挡住
冯{急}“你怎么可以用手挡住？”
秦{吃惊}“不用手挡，我就是傻子了。别以为长的漂亮就可以乱踢人。”{得意}“还有就你这出脚速度还想踢到我。”
冯{怒}“岂有此理！”一脚踢在秦小腿内侧
（特写）秦{痛}“喔NO。”抱脚跪下
陈冲上来把冯拉到一边。小声说“四妹，你搞错了！他是我在超市里打错了的猥琐男不是色狼！”
冯{皱眉}“呀！那怎么办？”
陈“我们一起去向他道歉吧！上次的事是我错了。”
冯{不情不愿}“好吧！”
二女走到秦旁边，秦正在揉脚。秦抬头
秦{痛}“你们想干什么？”指着陈“哦，我认得你，你就是上次打我那个三无女！”
陈{疑惑}“什么三无女！”
秦{得意}“就是无胸无屁股无相貌！三无女”《女字拉长音》
（特写）陈{怒}一脚踢在秦另一只脚的小腿内侧
（特写）秦痛到眼泪流下来“喔！！！”
陈“知道你为什么打你吗？”
秦{哭}“为什么？”
陈“因为你长的特别。”
秦“长成这样不是我的错呀！”
陈“长的猥琐不是你的错，但你出来吓人就是你不对”
冯{笑}“三姐，我们不道歉了！”
陈“道歉？我还想一脚把他踹回猩猩肚子里去呢！哼！我们走！”说完转身走
冯{笑}踢一下秦“再见了，来自猩猩的你。三姐等等我！”追上陈
男生宿舍
秦坐椅子上在揉脚，王在旁，
王{无奈}“你又被女人打了。看来你真是个战斗力只有5的渣渣”
秦“你不知道女人是老虎吗？我一个黄花大闺男怎么可能是她的对手，而且还是两只老虎！”
王{无语}“我看你是黃瓜大龟男才对！”
秦“对了，你有没有镜子。让我照一下”
王“干什么，她们打你脸了。”
秦“不是，她们刚才说我是来自星星的你。我得照一下镜子。看一下我是不是变丑了，要知道我可比教授英俊多了。”
王“那是你做梦时。还有她们说的是猩猩不是星星，那个笑话你没听说吗？”
秦“什么，笑话？”
王“话说，有一天上生物课老师说到基因工程，讲到代孕时一二货问:老师，那可以把人的胚胎给猩猩代孕么？
老师答曰:理论上是可以的，但将来你孩子问你他是从哪里来的你怎么回答？
从后排角落传来一个声音:来自猩猩的你……”
第二集
场景：男生宿舍
（远景）李建，秦文强，王超三人各自底头在床上玩手机。
李抬头看向王“对了呀超，你的手机是不是水果5S？”
王抬头{笑}“没错，就是那高端大气上档次的水果5S。你得是什么机子？”
李{谦虚的笑}“我的是低调奢华有内涵的星星手机。小强，你的是什么机子？”
秦把手机举起来“我，我的是时尚炫酷屌炸天的山寨手机”
李{疑惑}“你为什么会买山寨机？”
秦“山寨机不好吗？你们手机有的我这里有，你们没有的我这里也有。只是有些小小的问题而已”
李{笑}“山寨机当然好啦！山寨机，一直在模仿，从来未超越。山寨机就是牛。”
王{嘻笑}“是呀。那些小问题不过是，经常没有信号，喇叭太差听电话分不清男女，经常死机，还会爆机之外，什么问题都没有。”
秦“你们别看不起山寨机，人家三月包换两年包修，信誉刚刚的。”
王“你换过吗？”
秦{得意}“我上个月买了到现在换8次了。”
王{吃惊}“一个月坏8次的山寨机，你还敢用？你不怕那一天就爆机了？”
秦{得意}“没事，其实除了第一次，其它几次都是我故意弄坏得。”
李{好奇}“你吃饱了撑的，没事弄坏它干什么？”
秦{傻笑}“呵呵，因为售后服务部里全都是漂亮的美媚，我从小到大从来没有被那么多的美女包围过。”{陶醉}“她们身材火爆，衣着清凉，还会向你撒娇。呵呵！”
王{嘻笑}“哦！这么好。你为什么不多去几次？”
秦{忧伤}“我最后一次去时，售后服务部里全都是大妈，我从小到大从来没有被那么多的大妈包围过。”{恐怖}“她们身材魁梧，衣着老土，还会向你撒娇！”（特写）秦眼角有泪水
场景。小买部
（中境）王三人拿着东西向前走，王看见小买部，“我去买包纸巾。你先帮我拿着！”把东西交给李。自己走向小买部。
（中境）两女正买完东西，给钱，走到一旁，王偷偷瞄着两女，走到柜台前大声的说“老板，给我一包卫生巾。”
（特写）老板{惊呆}“你要日用还是夜用？”
王{疑惑}“什么日用，夜用。哥是自己用！”
（特写）李，秦，两女，老板看向王{吃惊}
（特写）王{迷惑}“怎么，没有见过男人用卫生巾啊。”{迷惑到难看}“呀！！！！”掩面而逃。
李等大笑。
场景宿舍
秦打开门提着食物走进来。“我给你打了番茄炒蛋回来。”
王从被窝里伸出头来。“谢谢你了！”从床上爬下来接过饭菜边吃边问“你吃饭时有没有听到关于我的消息？”
秦{装糊涂}“关于你的消息？什么消息呀？”
王{心急}“就是我买卫生巾那件事？”
李{大笑}“哈哈哈，一想起你那句，什么日用，夜用。哥是自己用！我就忍不住想笑！哈哈”
王{难堪}“别笑了，不就是说错话吗！有什么好笑的？你吃饭时有没有人说过这件事？”
李停住笑“没有，你放心吧？这件事只的几个人在现场，算有人说出去，没图没真相。别人也不一定会信。而且他们也不知道你姓名，估计最多有一些某月某日某个男变态在小买部买卫生巾自用之类的流言，放心吧！没人知道那变态男就是你。”
王{松一口气}“你才是变态男，哥可是个正常人。不过是不小心掉到坑里去了。唉！不过你说的也对，经你一说我就放心多了。小买部的事，不许你们说出去！”
李{笑}“你放心我不会把你买卫生巾自己用这件事说出去的。嘻嘻”
场景 女生宿舍
（远景）柳在练功，高在整理东西。高拿出一瓶防晒油
高“二妹，学校真得确定取消军训了？”
柳停下来“对，已经发出通告了。”
高晃晃手里的防晒油“居然取消了，害我还为军训精心准备了防晒油”
柳{疑惑}“大姐，想不到你对军训这么上心！政治觉悟和爱国热情还真高呀！”
高{不屑}“什么政治觉悟，姐是为了减肥。高中军训可是让我减了15斤。还以为这次也能减个一，二十斤。早知道暑假就不吃这么多了。”
柳盯着高的胸部“你这两坨肥肉是应该减一下。整天坨着它太辛苦了。”摇头感叹
高抬头挺胸{得意}“羡慕吧，嫉妒吧，恨吧！”
柳低头看一下胸部“不就是36C吗？我才不在乎！”
高{得意}“你错了我可是36D。”
柳{笑}“怎么可能出错！我昨晚可是亲手量过得！”
高{吃惊}“你什么时候量得？我怎么不知道？”
柳{笑}“就是昨晚呀！你当时在睡觉！”
高{生气}“你怎么能这样？岂有此理！”
柳{疑惑}“你不开心？”{恍然大悟} “哦！你放心我不会对别人说你只有36C！” {神秘}“对了，大姐你昨晚是不是在做春梦？”
高{愣住}“呀！你不要转移话题！”
柳{好奇}“真的！昨晚帮你量胸围的时候，你一直在喊呀咩蝶，一库。一库。你是不是在做春梦？”
高脸红{羞}“你一定是听错了。我没有！”
柳“真的？”
高“这么害羞的问题我们就别说了。”
柳{无所谓}“有什么好害羞的？我就经常做春梦，最利害的一次我梦到了18个男人。那一次真是回味无穷呀！”{陶醉}
（特写）高张开嘴{目瞪口呆}看着柳。“你，你太利害了，你是怎么做到的，18个人呀！”{媚笑}“你是不是有什么方法可以梦到这么多人，可不可以教我一下！”
柳{疑问}“你也要和那么多人打架？”
高一愣然后点点头{笑}“打架？对，我也想和那么多人打！”
柳“很简单，你只要不停的看少林寺里的18铜人就可以了，我当初就是为了研究18铜人阵看了一整天，晚上就梦到了，那晚真的得很开心，我一拳打一个，一脚踢一个，三五下就打倒他们破了铜人阵。”
高{疑问}“你说的春梦就是打架？”
柳{疑惑}“不是吗？小红就是这样对我说的，春梦就是男人用棍子和女人在梦里打架。你昨晚做的梦不是吗？”
高{尴尬}“对，我昨晚就是这样，哈哈！那个，昨晚的事就算了，但你不能对别人说，特别是做春梦的事。知不知道？”
柳{坚定}“嗯！你放心，我们三个昨晚对灯火发过誓，绝对不对任何人说这件事！”
高{吃惊}“三个，哪三个？”
柳{理所当然}“当然是三妹，四妹啦！你在做春梦的事还是她们告诉我的！”
高{怒不可遏}“呀！我要杀了你们。”
场景宿舍
李在床上玩手机，王在书桌前切苹果皮，秦打开门笑着走进来，
王{笑}“呀寿，你回来啦！我有件事想问一下你。你没有把我在小买部的事说出去吧？”
秦{一脸正直}“没说，绝对没有说！”
场景小道
秦看到小道上三个女同学在聊天，笑着凑上去。
秦{神秘}小声的说 “同学，你们听说了吗？”
三女看向秦。甲“听说什么？”
秦“听说刚才小买部有个变态男生，光天化日之下当众买卫生巾。”
甲“男人买卫生巾算什么变态，你不让他是帮女朋友买呀？有的男人还帮女朋友买胸罩呢！”
秦{得意}“哼，哼！如果他是帮女朋友买当然不能说是变态啦！但是，他买来怎么用你们绝对猜不到。”
乙“因为好奇买来研究？”
秦“NO，NO，NO。”
丙“买来送人？”
秦“错，错，错。”
甲“他买来是干什么用的你怎么知道？”
秦“我当时在现场，他买完卫生巾后说很大声的对老板说：哥是自己用的！”
三女“呀！果然是个变态。”
场景 宿舍
王{恶狠狠}“你最好坦白一点，被我知道你在说谎，后果可是很严重的！”
秦{小心翼翼}“其实，其实和几个女和说了一叮点。”
王{瞪大眼睛}“什么？”起来走到秦面前“你有没有说我的姓名？”
秦“没有！”
王{怀疑}“真的没有？”拿着水果刀比划一下
秦偷偷瞄一下王手上的水果刀{一脸正经}“没有，我以我的节操发誓。我绝对没有跟她们说你的名字！”
场景 小道
甲{好奇}“那你知不知道那个变态，叫什么名字？”
秦{正直}“我不能出买朋友！”
甲撒娇“帅哥！你就说给我们听嘛！我们绝对不会对别人说得！好不好嘛！”
秦{傻笑}“呵呵，那个变态男是大学一年级新生叫王超。”
秦旁白：节操那玩意，几年前我就把它丢掉了！
场景 女生宿舍
高{怒气冲冲}看着排成一队的柳，陈，冯{小心翼翼}
高{扳着脸}“昨晚的事是谁出的主意？”
陈“不关我的事，主意是四妹出的！”
冯“是你脱睡衣和胸罩，我还看到你揉捏了两下。”
陈“你们也抓了几下呀！”
高{怒笑}“好呀！你们还非礼我！说吧，你们想怎么死？”狠狠瞪着她们
冯“我要戴罪立功，我要举报。”
高“你要举报什么？”
冯“二姐把你打晕了，而且她还脱了你的内裤！”
高深呼吸指着柳{生气}“柳依依，你太过份了！”
柳{急}“我这样做是有原因的。”
高{怒笑}“哦！我倒是想听听你有什么原因！”
柳{认真}“你昨晚呀咩蝶，一库。一库的叫着还动来动去，出了很多汗连内裤都湿了！所以我就帮你换了一条。”
高{羞愤}“那内裤呢？”
柳“在你床头。”
高冲向床头大声说“今天的事谁也不许说出去。”
场景 男生宿舍
秦三人在各自床上玩手机。陈在上网，
（近境）王突然笑起来
（近境）陈看过去{面无表情}“看来，你对自己有网络上爆红很得意呀！”
王{迷惑}“你~在和我说话？”
秦{好奇}“什么在网上爆红？”
陈“就是王超买卫生巾的视频。点击已经过万了。”
王{大惊}“什么？我买卫生巾的视频？”急忙下床走到电脑前。李 秦也赶过来。
电脑显示…《大学惊现用卫生巾的男变态！！有图有真相》
王点开视频出现买卫生巾的情景
（特写）王身体摆了摆，用手按一下太阳穴{难堪}“怎么这么巧会有人拍到视频？”
秦凑到显示屏前“好多回复呀！。嘻嘻，好搞笑！”{笑}“霸气测露，我和小伙伴们都惊呆了！哈哈哈！”
李踢了秦一下“好了，别笑了！”安慰王“其实也没有那么，至少他们不知道你的姓名。而且这种事热度一过很快就会被人忘记得！”
陈{满不在乎}“他的姓名和班级信息我已经传上去了！”
李{吃惊} “纳尼？”
王发抖{愤怒}“你把我的姓名和班级信息传上去了？”
陈{笑}“看你高兴得脸都变形了，不过你不用谢我！虽然……”
王大吼“谢你妹呀！我要杀了你！”拿起旁边的扫把打陈，陈拿椅子挡
（近境）李上前拦阻。秦拉住他{急切}“快打电话！”说着拿出手机拍视频
李{心急}“对，对。打先110还是120？”
秦{兴奋}“不对，是打电台爆料热线。标题我都想好了《大一新生宿舍械斗，为爱情？为金钱？》”
（特写）李{无语}“嗝！”
（中境）李拿着手机，秦在拍视频，王，陈在搞笑的打着
秦“快点打！如果有流血场面爆料能拿一千块！如果他们其中有一个死了，那就发财了,我们能拿一万哦！”
李{高兴}“如果他们两个都死了，而我们手上有件事的视频，你说电台愿不愿意拿两万块来买？”
（近境）王把扫把用力丢在地上，指着李，秦两人{委屈}“我这么可怜，你们俩个居然还在这说风凉话？你们有木有良心呀？”
（近境）秦，李{不好意思}
指着陈{愤怒}“还有你，这个白痴250居然还把我的姓名写了上去。让我被人取笑。啊！我不活了！”说完冲向阳台，李，秦一人一边，李拉手，秦抱腰。王挣扎
王“你们放开我，让我去死吧！我不想活了！”
李“你冷静点，事情没有那么严重。冷静，冷静！”
秦抬头问李{好奇}“对了，如果是跳楼死人新闻你说值多少钱！”
李{思索}“嗯！应该值几千块吧？要不打电话问问！”
秦“好呀！”两人同时放手，（特写）王向着墙冲去{惊慌失措}“呀！”境头对着墙拉近
（近境）李和秦，，闭眼，侧脸
（特写）陈张开口{惊愕}
王晕在地上。李三人冲上去，李扶起王。
王慢慢睁开眼睛“嗯！”用手扶头“痛，痛。哦！你们两个混蛋，我草泥马！”
李{放心}“还会骂人，看来伤势不是很严重！”
秦{不好意思}“嘻嘻，真是不好意思！下次我会注意得！”
陈{不屑}“这一点痛算什么！反正你也准备跳楼了！一跳下去你就什么感觉都没有了！不过在你跳楼之前，麻烦你先写好遗书！上面一定要写明你本次跳楼与陈俊本人无关，完全是在公平公证公开的条件下，自己自愿跳楼！没有受到陈俊的任何压迫和威胁！”
秦问李{无语}“如果真是这样写，你猜他会被判几年！”
李{无语}“就他的性格，我估计他在局里不是躲猫猫死,就是喝水呛死！”秦{笑}“还真有可能！”
（特写）陈瞪着李，秦。
王{怒}“很抱歉，让你们失望了，现在我不想死了。不就是会被人取笑吗？我又不会掉块肉！说不定以后还能自豪对子孙说，哥也曾经红过。”
秦吐槽“可是有女孩子愿意嫁给一个用卫生巾的男人吗？”
（特写）王{目瞪口呆}
第一集 新的开始
注：（）表示镜头 {}表示表情 “”表示说话
正文：
宿舍内满地垃圾，门打开，陈俊{一脸不满}的拉着行李走进来，{厌恶}看了一下宿舍的环境，“国内的环境真差！幸好我早有准备。”打开一个行李箱，出现全套清洁工具。陈俊做好准备开始清洁。
几个陈俊清洁的镜头
镜头切换 走廊
李健，王超，秦文强三人一起走过来。
李{笑容满面} “真巧，在这里遇到两个同一个宿舍的舍友，我叫李健。”
王{笑}“是呀！真是缘分呀！我叫王超！”
秦{笑}“我叫秦文强。说到缘分，我想起一个缘分的笑话，哈哈哈。你们要不要听？”
李，王点头
秦“一天，猿哥与猿妹结婚，一宾客问猿妹两人是怎样认识的。猿妹羞答答的说：那天我在树上大便，刚好掉到猿哥的头上。宾客齐声说：缘分呀！缘分。哈哈”笑一下“咱们能在这遇到，你们也一定是踩到楼下的狗屎吧！”说完哈哈大笑起来
王与李对视一眼{无语}，二人加快脚步。
场景男生宿舍内
门打开，李健身上挂着一堆行李的走进来。王超和秦文强一人拉着一个行李箱走进来{一脸轻松}
李“终于到了。”把行李放地上，秦，王走进来
李{笑}“宿舍好干净呀！看来我们有个好舍友。”
陈从厕所出来，走向李等三人，途中在桌子上拿起一瓶喷的消毒剂，
李迎上来{笑}“你……”刚说一个字。陈拿着消毒剂对着他的脸就喷。然后追着把李全身上下都喷一遍，
“咳，咳，你在干什么？”李边跑，边问。
陈没有回答，喷完李就大步走向王，秦。
王{紧张}对陈做个防护动作，秦{紧张}东张西望的看一下，躲藏在王的身后
王“你别过来，我可是空手道黑带，你再过来我就对你不客气了！”
秦伸出头“对，你再过来我们就对你不客气了”
陈猛冲过来对着王，秦猛喷，王，秦手忙脚乱的抵挡。陈喷完他们，对着行李喷起来。
王{愤怒}对着陈“你这个疯子，你对我喷的是什么？”李这时走过来和秦，王，站在一起。
陈{淡然}“没什么，只是消毒药水罢了。”
秦{好奇}“消毒药水？”闻一下衣服“还真是消毒药水的味道！”回头看着陈，“你为什么对我们喷消毒药水？”拍一下手{大悟}“哦！我明白了。现在禽流感流行，小心一点消消毒也是对的。”
王{生气}“那你也应该先通知我们一声呀！一进来什么都不说就喷过来，我还以为遇到疯子了。”
李{笑}“好啦！不要生气了。我们这位舍友可能是有点小洁癖。其实这样也不错，你看宿舍被他打扫的多干净！”
李{深情}“咱们能分到一个宿舍，是种缘分！以后四年我们都要住在一起，每个人都会有一些小毛病什么的，大家就宽容一点，不用太过计较嘛！希望以后我们能成为好朋友，好兄弟。来，我先介绍一下我自己，我叫”
陈出声打断李的话 “等等”
陈{高傲}“在你们介绍前，先把这份测试智商的试卷做了！”
陈俊走到书桌前，拿起三份试卷分给李健，王超，秦文强三人，
王{疑惑}“测智商，我们为什么要测智商？”
秦{好奇}“对呀！测智商和自我介绍有什么关系？”
陈{高傲}“龙不与蛇居，如果你们的智商120以下，你们都不用浪费时间自我介绍了，我对你们的信息没有任何兴趣！”
秦{好奇}“你交个朋友还要看对方的智商？”
陈看了一眼秦{面无表情}摇了摇头{轻蔑笑笑}“你没有听说过物以类聚人以群分吗？以我205的智商，智商140以下的，根本跟不上我这个天才的思维怎么做朋友？”转头看一眼三人“看到你们疑惑的表情，我对你们的智商已经不抱什么希望了！”
李等三人惊呼“你的智商这么高？真的还是假的？”
陈{高傲}“当然是真的。别说那么多了赶快把试卷做了吧！”
秦{无语}看看李，王两人“做不做？”
李“我无所谓。”
王{笑笑}“那就做吧！我也想知道自己的智商是多少？”
场景：女生宿舍
陈冰在喝水，高在上网，冯在玩手机。门打开，柳拿着行李走进来。
柳{笑}“这里是4306室吧？”
高站起来“对，你就是我们最后一个舍友吧？你好，我叫高善美”
柳{笑}“你好，我叫柳依依。”
陈，冯走过来
陈{笑}“你好，我叫陈冰。”冯{笑}“我叫冯雪怡”
柳拿着行李走向空床
高{好奇}“你是自己一个人过来的吗？”
柳{微笑}“对，你们也是自己过来得？”
高{得意}“不是，只有我是自己一个人过来的。陈冰是她爸陪她过来。最夸张的就得数冯雪怡了，她爸爸，妈妈，爷爷，奶奶，外公，外婆等等加起来10多个人陪她一起来。”
冯{不满}“我本来是要自己一个人来上学。但是我爸送我去机场的路上，我发现钱包忘了拿，就叫我妈妈送过来，到了机场又发现忘了拿机票，只好叫爷爷，奶奶送过来。就这样被他们找到借口，说我掉三落四一定要送我来学校。”
柳{疑问}“那也只有4个人呀？”
冯{无奈}“后来买机票时，那售票员说团购10张可以6折。有便宜不占是王八蛋，我妈一口气买了10张，最后把外婆一家都叫来了。刚好10个人。”
柳“你家里人还真疼你！”用手指一下墙边“对了，我的东西可以放这里吗？”
高{好奇}“可以，是什么东西来的？”走过去
柳{笑}“没什么，就是一些女生用的东西！”说完从行李中拿出哑铃等体育用品
（特写）高{错愕}“这，这些就是女生用的东西？”指一下其它的行李“这里得不会都是吧？”陈，冯围上来
柳{微笑}“对呀！”说完打开其它行李。高三人翻查一下
陈{惊奇}“你的衣服呢？”
冯{惊奇}“你的化妆品呢？”
高{惊奇}“你的BL书呢？”三女惊讶的看向高
高{假笑}“哈哈，这个可以没有。”
柳拿下背包打开“衣服？衣服在背包里。”
高看一下{皱眉}“你就拿了几件衣服，这么一点东西来上大学？”
柳{笑}“你也觉得少对吧！我刚才看到一个女生，大包小包的好多行李。”高点头“嗯！”
柳{严肃}“她肯定是把沙包，木人桩都拿过来了。我爸还骗我说没有人上大学会帶这种东西。回去一定要和他好好算账。”
{特写}高三人目瞪口呆
陈冰{疑惑}“你难道是练体育的？”
柳{正经}“我不练体育，我练的是咏春。”说完一拳打碎一个杯子。
高{大惊}“呀！”
柳{得意笑}“是不是很厉害！”
高向柳伸出手{苦笑}“是很厉害。不过那个杯子50块！你给钱吧！”
柳{苦着脸}“呀！”
场景：男生宿舍
（近境）陈俊手里拿着一堆纸{面无表情}“好了，你们的智商已经测试出来了。”
境头扫过宿舍，李等三人正在整理床铺，听到陈的话停住手走向陈
（近境）秦{高兴}“我的智商是多少？嘻嘻！”
（近境）陈“你的智商是93。”
（近境）秦{开心}“哈哈，想不到我的智商这么高，有93分。”
（中景）陈摇头{无奈}“提醒你一句，正常人的智商是100”停顿一下“你只是个笨蛋而已。你居然还笑的那么开心。笨蛋的世界天才果然不能理解！“
秦{惊愕}“不可能，你一定是计算错了，我怎么可能比正常人还不如。如果我智商只有93我怎么可能考上这所重点大学？“
陈“你说我错了？以我205的智商我怎么会算错。”“还有对于你这样的智商怎么可能考上这所大学我一点都不感兴趣！“
转头对李说“你的智商是135”，
对王说“你的智商是132。你们的智商真是太低了。连和我做普通朋友都不够资格。”摇头{无奈}“不过学校安排你们和我住在一起，我会近量忍耐你们的愚蠢！但是为了以后大家少一点争执，你们签了这份宿舍守则吧！”说完把一堆纸分给三人
（近境）李接过纸{生气}“哼，我倒是想看一看，你写了什么。
第一条， 宿舍每天一次小清洁，三天一次大扫除。各人的物品自己保管好。
第二条， 宿舍内不许抽烟，吸毒，大吵大闹。
第三条， 在甲方陈俊思考时不得发出超过50分贝的声音，打断他的思路。
……
第十条， 每天早上7点15分到7点45分。晚上20点30分至21点厕所归甲方陈俊所有。在此时间断内其余三人不得以任何借口进入厕所。除非发生特殊事故如，地震，火灾，世界末日，外星人入侵等
……这是什么条款太过分了”
秦{嘲笑}“还有这一条，第十八条， 熄灯后按时睡觉，不得打呼噜、 梦话声不能超过40分贝， 而且一次不能说超过八个字”
（近境）李看一眼陈{嘲笑} “我和我的小伙伴们都惊呆了”
（近境）王{轻笑}“没能最奇葩只有更奇葩，这些算什么，你翻到最后一条看一下。”
（近境）秦翻到最后一页，大声读到“甲方陈俊有宿舍守则最终解释权。可不经其余三人的同意修改或添加条目。”
（近境）王“呵呵，此条例一出天下无敌了。相比之下某些银行的霸王条款弱爆了！”
（中境）王把纸拍到陈的手上“要我签这么白痴的守则。你还是哪里凉快哪里呆着吧！”
转头问李，秦“我要去买点东西，你们去不去？”说完向外走去
李，秦把合同拍到陈的手上，快步走向王。
李“等等，我们也一起去。”
秦走在最后，（近境）到门口时转身向陈竖起中指，“哪里凉快哪里呆着吧！智商250的高人。”
（近境）陈{气急败坏}跑到门口高声说“我的智商是205，不是250。”
场景 楼梯
王等三人正走下来
秦{愤愤不平}“实在是太气人，他当自己是谁？居然要我们签这种不平等合同。最过分的是说我智商只有93。开玩笑93的智商能考出634的高分！”
王，李惊讶的看向秦。
李“真看不出来，你的高考成绩居然这么高。”
王“那么说来刚才的智商测试作不了准呀！”
秦{得意的笑}“刚才的测试当然是错的啦！嘻嘻，我这样的天才，他居然说我智商只有93。想起都让人心头火起！”
李“林子大了，什么鸟人都有。你也不用太生气了。不过这样讨厌的人我还是第一次遇到。”
王{笑}“是呀！我估计他的嘲讽技能最少也是10级以上了。呵呵”
秦{咬牙切齿}“你们还没有遇到过真正讨厌的人。像我认识的就有一个叫杨为的人超级让人讨厌。高一时他居然当着全班的面，把我的裤子脱了。”
李，王对视一眼，贱贱的笑了笑
王{假装关心}“真的，世界上居然有这么坏的人。后来怎么样，有没有打起来？”
秦摇头{疑惑}“打起来？为什么要打！”
王{惊奇}“他把你裤子脱光了，你居然没有动手打他。你也太窝囊了吧？”
秦大声的说{委屈}“你不知道，对方可是练习过泰拳的，而且我当时只是被脱了外面的长裤而已，我里面还有一条内裤穿着呢！”
李“妖！你没有被脱光呀！害我白开心一场。”
秦“什么？”
李{尴尬}“哈哈。说错了。其实我是想说害我白担心一场！”
秦{有点小得意}“其实我也有报复他的。”
王{好奇}“你怎么报复他？”
秦{阴笑}“我用他的姓名给班里180斤的胖妞每周写了一封非常肉麻的情信。”
李{笑}“哈哈。这么毒的事你也做的出来！笑死我了，后来怎么样？”
秦{悲伤}“后来，180斤的胖妞变成了90斤的美女。他们两个住在了一起，过上了没羞没臊的幸福生活！”
场景：超市
（中境）李推着小车，王在左边，秦在右边。边看东西边走过来。一个穿超短裙的女子从秦身边走过！三人面对着女子时目不斜视，等女子走过后李把车一转，
李{面无表情}“我去那边看一看。”说完推着车跟在女子后面。偷偷的盯着女子看。
王和秦也跟过来一起看起来。
秦{笑}“嘻嘻，我们也去那边看看。”
王突然说“34C，25。37”
秦“不对，应该是35C，25，38”
李看向王{茫然}“你们在说什么？”
王{恨铁不成钢}“.三围，我们在说那女的三围。做为一个美女爱好者，你真是业余！”转过头对秦说“下面我不跟你争，但上面绝对是34。”
秦{的意} “你猜测的前提是她有穿胸罩，但是我从她刚才走路时的波动和外面的轮廓来看，她有90%的可能没有穿胸罩。”
王“你别逗了，我还从你走路的姿势和猥琐的眼神中看出来你今天没有穿内裤呢！”
秦“相信我，前面那个女的真没有穿胸罩！”
陈冰在看物品，秦三人从她身边经过。这时秦正说道
秦 “相信我，前面那个女的真没有穿胸罩！”
（近境）陈冰看了一眼的秦{讨厌}小声说“呸，色狼！”
三人在经过陈冰后一直走
王“你想让我相信也可以，只要你过去把女的上衣脱了。就能证明她有没有穿啦！”
李“好了，别扯了。人家有没有穿关你们什么事？”
王“超！假正经！不知道是谁刚才目不转睛的盯着屁股看呢？哼哼！”
李“大家彼此，彼此！”
场景，超市床上用品处
（中境）秦在陈冰身后（近境）秦拿起枕头看起来
（近境）一个色狼四外张望{惊喜}（中境）色狼向陈冻走去。秦把外套拉开伸手进去摸，秦把枕头放下转身。这时色狼走到陈冰的身后
（特写）一只手摸上屁股
（特写）陈冰{惊恐}“呀！”
（中境）色狼快速走开。陈冰转过身来看到秦。
（近境）陈冰指着秦{愤怒}“贱人！”
（近境）秦{莫明其妙}“我就摸一下而已？”{笑}
（近境）陈冰{咬牙切齿}出手打了秦一个耳光“禽兽”
秦用手按住脸{难以置信}有点结巴的说“嘶，你，你为什么打我！”
陈冰不说话。举起手来又想打。秦一看，掉头就跑。陈冰追上去“禽兽，你别跑！”
（中境）色狼心满意足的走着。柳依依从后面上来打倒并捉住他“非礼了我家三妹你还想跑！”
这时追秦的陈冰看到柳依依（好奇）“二姐，你在干什么？”
柳依依{笑}“三妹，你在这就好了。这个就是刚才非礼你的色狼。我把他捉住了！”
陈冰仔细看一下色狼{皱眉}“二姐，你是不是认错人了？非礼我的不是这个人！”
柳依依{正直}“没错。我亲眼看见他摸你。”
陈冰低声说“难道我怪错人了？ ”
柳依依“来我们一起抓他去保安室。”说完押着色狼就走
女生宿舍 夜
陈冰翻来覆去睡不着，小声问柳“二姐，二姐，你睡着了没有？”
柳有无力的答“嗯！你还没睡呀？有什么事吗？”
陈冰小声的说“我睡不着。”
柳{好奇}“嗯！为什么？认床呀？”
陈冰“不是。是因为我今天打了一个男生一巴掌，心里很内疚，所以睡不着！”
柳{满不在乎}“哦！没事。过几天就好了。我第一次把一个男生打的吐血的时候也和你一样，不过只要你多打几次就不会内疚了！”
陈冰{不满}“二姐，我是想问问你，我是不是应该去给他道歉？”
柳{理直气壮}“当然不用啦，我打了人就从来没有道歉过。”
陈冰{不满}“二姐！”
柳{思考一下}“好吧！我给你分析一下。首先，你为什么打他？”
陈冰{想一下}“因为，我以为他是色狼！”
柳{严肃}“当时周围还有人吧？你为什么就以为他是色狼？”
陈冰{迟疑一下}“因为，他长的最猥琐”
柳{笑}“这就对了，正所谓相由心生，他长的猥琐，就说明他内心一样猥琐，所以你打他是对的，所以你根本不用去道歉！”
陈冰{怀疑}“真的是这样吗？”
柳肯定的说“对，不用内疚，你以后见他一次打他一次最对了！”
陈冰{如释重负}“哦！见他一次打他一次。”点点头“谢谢二姐，我睡觉了，晚安！”
第三集
场景 另外的男生宿舍
（中镜）陈俊拿着试卷，男生甲乙丙丁站在对面
陈{失望}“我很失望。你们的智商都很低，最高的只有120。”摇头“很遗憾你们都没有达到做我朋友的标准。”
甲{疑惑}“我们的智商应该比起普通的人高吧？还不到标准？你的标准到底是多少？”
陈{傲慢}“我的交友标准你们已经不用知道了，因为你们对我来说只是个路人。你们的智商已经决定了你们的道路。你们大学毕业后进公司，到年龄结婚生子，然后养子最后养老最后去世，可以说你们的一生对社会的贡献还不如一只猪。”
甲{怒}“我们还不如一只猪？”
陈{恍然大悟}“哦，对不起，我不应该拿猪来和你们作对比。”（特写）甲松口气{笑} 陈接着说“因为这是对猪的侮辱！”
陈{笑}“请原谅我的坦白。我妈说了要做个诚实的孩子！”
甲{怒笑}“你妈没跟你说诚实的孩子容易被人欺负吗？”甲乙丙丁围住陈。
陈（惊慌失措）“你们想干什么？”
镜头切换
陈被用绳绑在椅子上。
陈“你们放开我，如果你们不放，我会。我会告诉我妈妈。”
甲把陈的运动鞋脱掉，用羽毛让陈大笑
陈“哈哈哈，我妈妈不会放过你们的哈哈哈”
镜头一黑，中间写着三小时后……
（近镜）陈在门外，甲在门内，陈{怒冲冲}呀呀的比划着
甲{笑}“你想说什么？如果不是快关灯了，我们才不会这么快放你走呢！”
陈拿出手机按几下，手机传出陈机械的声音“我不会放过你们的”
甲作势捉陈，陈受惊后退，手机掉地上，陈拿起手机后退两步按几下手机，用手机对着甲。
手机传出沙哑的声音“我一定会回来的”完了陈飞快逃跑
男生宿舍
已经关灯，秦三人围在一起讲鬼故事，秦用手机照着自己
秦{阴森}“你们知道吗？十年前，这间宿舍有一个男生跳楼自杀了。但是他阴魂不散，每晚关灯以后他就会出来敲门，笃笃笃三声敲门声，然后笃笃笃再三声，这个时候千万不要开门，听说六年前有个学长因为好奇开了门，结果被鬼上了身，要从楼上跳下去，还好被当时的舍友及时救了回来。所以……”
笃 笃 笃
秦三人对视一眼{吃惊}
三人同时说“你们别玩了。”三人举起双手“我没有”
镜头转向大门
笃 笃 笃
（特写）王{惊恐}“谁，谁在外面。”
3秒种后，传来一个鬼异的声音。“是我，我从下面上来了。”
（特写）秦{惊恐}“呀！”王慌忙按住秦的嘴。秦“呜呜”
王{惊慌}“不要出声”秦{惊恐}点点头。
王松开手，秦起来躲到王身后。李{惊恐}走过来。
李颤抖声音小声说“怎么办？”
王抖动着小声说“可能是有人恶作剧。要不你去开一下门吧？”
李“还是你去吧！”
王{惊恐万状}“呀！鬼呀！”{哭}“呜呜，鬼大哥你放过我吧！”合掌四处虚拜
李{惊}“你怎么了？”
王{哭丧着脸}“我的裤子被鬼弄湿了？”
李过去用手摸一下，闻一闻手指
秦{不好意思}“那个，那个不是鬼弄的。”
王{好奇}“你怎么知道不是鬼弄的？”
李把手指放嘴里尝一下
秦{傻笑}“那个其实是我的尿。我刚才被吓尿了。”
（特写）李含着手指双眼大睁，（近镜）冲向洗手间，传来呕吐声。
笃 笃 笃 镜头转向门
“你们为什么还不开门？”
秦，王对视一眼，快速跑进洗手间
镜头转向洗手间里
三人围在一起。
秦“现在怎么办？”
李“你还有没有尿？”
王“你现在还有心情喝尿？”
李“你才想喝尿。听说童子尿能辟邪。我们试一下吧！”
秦“为什么不用你们的？”
李“我尿不出”
王“我也是”
镜头转向宿舍内
王在前拿着杯尿，秦和李跟在后面
王苦着脸“为什么要我来泼。”
秦{得意}“因为你猜拳输了”
三人小心翼翼的向门口走去，经过陈的电脑时，电脑屏幕突然亮起来，传出一个鬼异的声音“你们为什么还不开门？”
秦{惊恐万状} “呀！呀！鬼进电脑里了。”
李“快，快泼它！”
王急忙把尿泼向电脑。电脑死机。
三人等了一会。
李{小心翼翼}“应该没事了吧？”
秦“要不，开门看一下？”
李“要看你自己去看，我很困要睡觉了。”
秦看一下门口“那，还是算了。”
三人向床走两步，同时说“要不，今晚大家一起睡吧？”
男生宿舍《清晨》
李和秦在王两旁，三人抱在一起睡觉，王睁开眼睛，看向秦，秦闭着眼{淫荡}做亲吻状。王{笑}撑起上身，向秦倾，王{笑}左右的观察秦，秦突然抱着王，一嘴亲在王嘴上。（特写）王睁大眼睛{难以置信}挣扎，推开秦，一拳打在秦左眼
秦“呀！”倒回床上继续睡
（特写）王{厌恶}用手擦嘴“呸！呸！”
李{贱笑}“想不到，你们一大早就这么热情！”摇摇头。
王{难以置信}慢慢转过头
李感叹“果然是好基友！”
王{焦急}双手抓住李双肩“你刚才什么都没有看到对吧？”
李{贱笑}“我绝对没有看到你们在KISS。我发誓我绝对没有亲眼看见。”
王{心如死灰}松开双手
李{贱笑}掐拍王肩膀“你放心，我不会把这件事说出去的！相信我！”
王{难看}“如果你没有告诉过我，秦文强还穿着红色HOLL KITTY内裤。陈俊喜欢剃腿毛。我还真会相信你！”
镜头转换
李从洗手间出来，走向门口，边走边问“我去买早餐，你吃什么？”
王坐在椅子上发呆“不用了！我没有胃口。”
李{得意}“好吧！”哼歌“深深的一个吻，叫我思念到如今，”李打开门“深深的一个吻，唔……” 陈闭眼倒进来，嘴亲在李嘴上。
（特写）李睁大眼睛{难以置信}，陈睁开眼睛{难以置信}，快速分开，李和陈{厌恶}用手擦嘴“呸！呸！”
（近镜）王{由吃惊到大笑}“哈哈哈，李兄我绝对没有看到你们在KISS。我发誓我绝对没有亲眼看见喔！”
陈{厌恶}“你为什么亲我？”
李{难看}“你以为我想呀！是你自己扑过到的！还有你为什么会在门外在面？”
陈{惊喜}“我可以说话了，太好了！”
李“你还没回答我的问题呢？”
陈 “哦！我昨晚回来晚了，但忘记帶锁匙了。进不来，所以只能在外面过夜。”
王{疑惑}“那你为什么不叫门？”
陈{疑惑}“我有敲门，还出声叫你们开门，可是没人来开门呀？”走到床前给手机换电池。
李{小心翼翼}“你昨晚什么时候回来得？”
陈“关灯没多久，我就到门前敲门了。我当时失声了，就用手机发声，后来我还用手机摇控电脑，但是不知道为什么后来电脑坏了？”过去检查电脑
李{惊讶}“原来，昨晚那……”王冲到李旁用手挡住李的嘴
王{假笑}“呀！昨晚我们很早就睡觉了，什么声音都没有听到！”给李打眼色，用口型无声说“电脑”
陈{好奇}“你的眼睛怎么了？”
王“我，我是抽筋，我经常这样，你不用管我。一会就好了。”
陈“哦。你们昨晚真的什么都没有听见？我可是听到你问是谁在外面呢？”
王{茫然}“有吗？你有没有听到我说话？”
李{正直}“没有，我昨晚什么都没有听到，真的！”
陈“真的没有听到这个？”按一下手机。手机传出“你们为什么还不开门？”
“呀！鬼呀！呀”三人看过去
（特写）秦{惊魂未定}四处张望“鬼呢？我刚才好像听到鬼在说话？”从床上下来，走向三人
陈{疑惑}“你说的是不是这个声音？”再放一次手机声音
秦{明悟}“对，就是这个声音！昨晚……”
王{大悟}“我明白了？”三人看向王{疑惑}
王“小强，你昨晚一定是在蒙笼中听到这种奇怪的声音，所以做了个恶梦。”
陈{恍然大悟}“哦！难怪我昨晚听到他大叫有鬼什么得？我还以为你们故意不开门呢？”
秦“哦！原来昨晚是……”王挡住秦的话
王“对，昨晚你做了个恶梦而已。我看你现在还没清醒，来，我带你去洗洗脸。”拉着秦走向洗手间
李{笑}“我们怎么会故意不开门呢！是真的没有听到！我去看一下他们怎么了。”走向洗手间
镜头转到洗手间
秦{不满}“你们干什么？昨晚分明就是陈俊装鬼吓唬我们。”
李“他这样做也是有原因的！”
秦“我不管他什么原因！我被他吓的意识失灵、括约肌失控，导致尿液漏出。我绝对要找他算帐！”
李，王盯着秦
秦{委屈}小声“就是被吓尿了，我觉得这样说更有文化一点。”
王“昨晚我们都睡着了，什么事都没发生！”
秦{急躁}“不行，我一定要讨个说法！”
李“别忘了，我们把他的电脑弄坏了。”
秦“是你叫泼的。”
李指着王“是你亲手泼的”
王指着秦“是你的尿。如果要赔钱，咱们三个都有份！”
秦想了想问“他的电脑多少钱？”
李“一千五”
秦{豪迈}拿出500块“以前我经常被人欺负，但是我都忍了。现在我已经是大学生了。是一个成年人了，我在来的路上就发誓做个真正的男子汉，不再被人欺负。为了男人的尊严，无论花多少钱我都愿意。”
李{轻笑}“听了你的话我很感动。不过你还差2500，陈俊的电脑是一千五美金。”
秦看着李{错愕到见贱笑}“其实尊严神马的，一点都不重要，反正我经常被人欺负，也不差这一次。”拿回500块
李“可是你被他吓的意识失灵、括约肌失控，导致尿液漏出呀。”
秦“没事，排出毒素身体好嘛！”
李，王对视摇头{无语}
镜头切换
秦用纸擦陈的电脑，陈在床上睡觉
李压底声音“你在干什么？”
秦用高音区说“你没有听看过生活大爆炸吗？有人在睡觉时要用高音区说话！”
李也用高音区说“你在干什么？”
秦“我在消灭证据。可是怎么擦都还有味道？”
李“你这样不行，除非你用水洗，不然味道是消不了的。”
秦“你早说嘛！”拿起电脑，扔进水桶里
（特写）李目瞪口呆
女生宿舍
冯在用电脑上网，柳从厕所出来，
柳{疑惑}“四妹，红色桶里的衣服是谁的，都几天了还没洗？”
冯{思索}“红色桶，那是我的衣服，”{生气}“这么多天了，我妈居然还没帮我洗衣服。”拿出手机打电话
冯{生气}“妈，你怎么还不帮我洗衣服？”{为难}“可是我从来没有洗过衣服呀！你一定要帮帮我。”{高兴}“我就知道妈妈对我最好了，你现在就去坐飞机赶过来吧，好的，妈妈我爱你！”{笑}“搞定”
（特写）柳目瞪口呆 旁白“泥马，这难道是传说中的召唤神兽？”
柳{好奇}“四妹，你居然叫你妈坐飞机来给你洗衣服？”
冯{理直气壮}“对呀！我也是为我妈好，坐火车时间太长了，而且坐着也不舒服。坐飞机就好多了，时间短，坐着也舒服”
柳{无语}“问题不是坐火车还是坐飞机，问题是洗衣服！四妹，你都18岁读大学了，不能什么事都叫妈妈做，你要学会独立，洗衣服这么简单的事，自己做就可以了。”
冯{为难}“可是，我从来没有洗过衣服。而且洗衣粉很伤手。”
柳拍胸口{得意}“没事，我可以教你嘛，而且洗衣服很简单的，完全不需要用到手。你仔细看一看就学会了，不怕告诉你，我从7岁就开始自己洗衣服了。”
冯{崇拜}“二姐，你真厉害，那我打电话叫我妈不用过来了。”打电话“妈，你不用过来了，衣服我自己来洗。对，我已经长大了，对，嗯，就这样吧，88。”
镜头转换 厕所
柳{严肃}“首先，放洗衣粉，衣服多就放多点少就放少点。然后就是打开水龙头放水。”指着水桶“看到那些泡泡没有，”冯点点头{认真}
柳{严肃} “过几分钟等到水里的泡泡没有了就表示衣服已经洗好了，到时就可以拿去阳台挂起来了。”
5分钟后……
柳“看，已洗好了，完全不需要自己动手，来去把它挂起来就大功告成了。”
镜头切换 阳台
（近镜）柳{得意}“我就说嘛！洗衣服很简单的，看，洗的多干净”用手指向衣服，（全景）地上湿了一大片，衣服不断的往下滴水
冯“二姐，这衣服太多水了吧？”
柳“你真笨。这衣服用水洗过了，刚挂上到去肯定会有水流下来啦！”两人边说边走进宿舍
冯{恍然大悟}点头“哦！”
高开门走进宿舍
高放下东西 “你们在聊什么？”
冯{高兴}“大姐你回来啦？刚才二姐教我怎么洗衣服呢？二姐太厉害了，7岁就开始自己洗衣服了。而且我现在才发现，原来洗衣服真的很简单。”
柳{得意}“嘻嘻，”
高{笑}“哦，她怎么教你？”
冯{笑}“先放洗衣粉，然后开水龙头，用水一直冲。等桶里的泡泡没有了再拿去挂起来，完成。洗衣服就是这样简单。”
（特写）高目瞪口呆，转头看向柳
柳（得意）挺胸收肚“你和你的小伙伴们都惊呆了吧？”
高吸气{气笑了}指着柳“你坑爹呀！你这样是洗衣服吗？你是在浪费水资源！你还好意思说你从7岁开始洗衣服，这样洗衣服怎么可能洗干净，你倒不如不洗。”边说边走向柳，柳{害怕} 慢慢向下缩
冯停一下“你这么多年也是这样洗得？”
柳{委屈}“我在家用洗衣机也是这样洗得，步骤也是一样得，”
高{哭笑不得}“你都说了用洗衣机，现在没有洗衣机步骤一样有什么用？”
柳{不忿}“反正效果都应该差不多，洗得也很干净！不信你看。”带高到阳台
（特写）高目瞪口呆{怒}“你能再坑爹一点吗？你还水都没拧干，你就挂上去？我还奇怪我前天洗的衣服为什么总是干不了，原来是因为你这个坑爹货！”
冯{无语}打电话 “妈，还是你过来给我洗衣服吧！”
|
Chinese
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16k
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T1. Retrieval & Ranking
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T1.1 Global Cohesive Retrieval
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Full
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文中，秦文强曾被他人以外貌或行为起过多个带有讽刺意味的称呼（已编号）如下。剧本顺序已被打乱，请按剧本的正常集数顺序依次输出秦文强先后被取过的外号。先输出“[答案]”标识符，再按行输出排序后的序号，不要输出任何其他内容。
称呼：
1.黃瓜大龟男
2.笨蛋
3.贱人
4.来自猩猩的你
5.色狼
6.猥琐男
7.战斗力只有5的渣渣
8.禽兽
输出示例：
[答案]
1
2
3
4
5
6
7
8
|
文中，秦文强曾被他人以外貌或行为起过多个带有讽刺意味的称呼（已编号）如下。剧本顺序已被打乱，请按剧本的正常集数顺序依次输出秦文强先后被取过的外号。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的序号，不要输出任何其他内容。
称呼：
1.黃瓜大龟男
2.笨蛋
3.贱人
4.来自猩猩的你
5.色狼
6.猥琐男
7.战斗力只有5的渣渣
8.禽兽
输出示例：
<你的思考过程>
[答案]
1
2
3
4
5
6
7
8
|
[
"2",
"5",
"3",
"8",
"6",
"4",
"7",
"1"
] |
Hard
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34f0a40f9c1224f4af2beec1855e9547ec6ceb4f8809af7a679adadf3ad3a6be
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内感受与情绪健康的关联
作者: 刘 文, 杨建芳：国能运输技术研究院有限责任公司，北京；王 妍：中国科学院心理研究所，北京
关键词: 内感受；情绪；身心健康；心理健康评估；
摘要: 内感受作为具身认知的重要组成部分，由身体内部器官、自主神经系统和中枢神经系统相互作用产生。目前采用多种研究方法测量内感受，并发现内感受加工与情绪感受和多种情绪障碍存在密切关联，评估与干预内感受可能对情绪障碍的诊断及干预具有重要价值。
文章引用：刘文, 杨建芳, 王妍 (2025). 内感受与情绪健康的关联. 心理学进展, 15(8), 202-208. https://doi.org/10.12677/ap.2025.158466
1. 引言
内感受指由神经系统产生的来自身体内部的感受，如心跳、呼吸、饥饿、口渴、疼痛和温度等等(Brewer et al., 2021)。个体的心理功能，不仅依靠脑对外部刺激的加工，也受到内感受信号的影响。内感受通路建立身心连接，影响个体的情绪和认知加工(Khalsa et al., 2018)。内感受主要通过外周和中枢神经系统的交互活动产生(Nord & Garfinkel, 2022; Weng et al., 2021)，包括除皮肤和骨骼肌外，来自身体内部的信号。内感受一般无法在意识层面被感知，但在内感受稳态发生扰动时，身体内部的感觉可以进入意识。在不同内感受中，呼吸和心跳相比其他内感受更容易被觉知，如剧烈运动或处于应激状态时，心跳和呼吸加快更可能被个体觉知到(Weng et al., 2021)。同时，对呼吸和心跳的监测也常用于测量个体内感受觉知的敏感度(Brewer et al., 2021)。内感受的表征不仅反映身体内部的生理状态，也影响情绪和认知过程，内感受的异常可能引起情绪和认知障碍(Brewer et al., 2021; Khalsa et al., 2018)，而对于内感受的干预也有助于心理障碍的恢复(Weng et al., 2021)。目前部分神经科学研究探究了内感受对情绪和认知加工的影响，了解内感受信号对高级心理功能的影响，有助于更好地揭示身心互动的机制，为心身障碍提供有效干预方案。
2. 内感受生理机制
孤束核在内感受信息从身体到脑的传递中发挥重要中继作用，来自内脏的信息经与内脏相连的外周传入神经纤维传递至脑神经或脊神经，到达脊神经的信号投射到脊髓背角，然后经过脊髓1层传递至脊髓丘脑束，到达脑神经的信号继续上传最终汇聚于孤束核(Critchley & Harrison, 2013)。孤束核投射至导水管周围灰质，导水管周围灰质与目标导向行为相关，调节内分泌、自主神经系统和行为，以维持内稳态(Brewer et al., 2021)。
脑岛也是表征内感受的重要脑区，孤束核同样投射至丘脑基底部腹内侧核团，与尾状核背内核团和腹后侧核团建立通路，投射到脑岛。后脑岛接收来自丘脑腹内侧核的身体痛觉、温度感觉和心血管活动等内感受信息，前脑岛对身体内感受进行重新表征，产生有意识的身体感觉。采用直流经颅电刺激对脑岛进行刺激后，被试内感受估计的正确率上升(Sagliano et al., 2019)。脑岛与前扣带回、框额皮质、杏仁核和下丘脑等脑区存在双向联系，因此，来自外周神经输入的内感受信号，经过孤束核与丘脑的中介，和边缘系统建立通路，对情绪、决策等心理过程产生影响(Brewer et al., 2021)。在完成内感受准确性评估和情绪感受评估时，右侧脑岛和额下顶盖区都显示出激活，脑岛在身体的内感受信息与情绪感受之间建立连接(Zaki et al., 2012)。除脑岛外，其他脑区也共同参与对内脏信号的加工，包括海马、杏仁核、前扣带回、膝下扣带回、眶额皮层、腹内侧前额叶皮层、辅助运动区以及运动前区等，与脑岛构成内感受处理网络(Brewer et al., 2021; Engelen et al., 2023)。
3. 内感受测量方法
对内感受的测量可分为内感受准确性、内感受敏感性和内感受觉知水平三个方面，即个体能否准确感受到自身的内部状态。内感受准确性即个体能否正确感知自身内部状态，常通过心率监测和觉察任务评估。心率监测任务要求被试在一段时间内计算自己的心跳次数，或计算自己心跳次数达到给定次数所需的时间(Brewer et al., 2021; Kritzman et al., 2022; Zaki et al., 2012)。被试主观计数与客观心跳次数的差异可以反映内感受评估的准确性，差异越小代表被试对内感受的觉知越敏感。心率觉察任务要求被试判断实验中视觉和听觉刺激的呈现频率是否与自己的真实心率一致，也可以反映被试内注意的准确性(Brener & Kluvitse, 1988)。内感受敏感性则指个体将注意指向内部感觉以及感受到内部感觉变化的程度。心跳诱发电位(heartbeat evoked potential, HEP)可以反映个体对内感受的注意程度，HEP一般在心率峰值过后500~600 ms后达到最大值(Petzschner et al., 2019)。与注意外部听觉刺激相比，完成心率监测任务时，HEP幅值显著上升(Kritzman et al., 2022)。而内感受觉察水平反映个体在元认知层面对自己内感受准确性和敏感性的评估，通过自我报告评分与真实状况比较体现(Garfinkel & Critchley, 2013)。
与外感受不同，来自身体内部的信号更加难以在意识水平上被觉察，因此，内感受觉知任务难度更大，仅不足40%的被试能够在完成心率监测任务时准确感受到自己的心跳(Khalsa et al., 2009)。而在心率觉察任务中，被试只能在同步和不同步两种选项之间进行迫选，因此，对于内感受觉知能力较差的被试，心跳监测和觉察任务的敏感性较差(Brewer et al., 2021)。近期研究基于心率觉察任务进行修改，提出相位调整任务，被试需将与其心跳频率一致但相位不同的声音刺激调至与心跳同时发生。被试的内感受觉知能力可以通过调节后相位与真实心跳相位偏差反映，相比心跳觉察任务，能更好地反映不同被试内感受的觉知能力的个体差异(Plans et al., 2021)。
呼吸相比心跳更容易在意识水平上被觉察，因此，测试被试对呼吸的评估也被用于测量内感受能力(Weng et al., 2021)。呼吸觉察任务可以测量被试的呼吸内感受的觉知，与心率觉察任务类似，在呼吸觉察任务中，被试需判断视觉刺激是否与自己当前的呼吸节律一致(Wang et al., 2019)。被试对呼吸努力程度的主观评估，也可以用于内感受能力的测量。该方法流程为，在被试的呼吸循环中，通过仪器为被试施加呼吸阻力。令被试评估呼吸过程中需要付出多少努力，以反映被试呼吸内感受的觉知准确性(Nikolova et al., 2022)。
4. 内感受与心理障碍
4.1. 内感受与述情障碍
内感受觉知能力与情绪感知能力存在密切联系。根据情绪的外周理论，来自身体的信号是情绪感受的重要组成部分(James, 1884; Lange, 1885)。对内感受信号的评估，影响主观情绪体验(Zhou et al., 2021)。述情障碍是一种难以识别和表达自身情感的心身症状。内感受觉知能力较差的个体，对日常生活的负性情绪调节能力也更差(Zamariola et al., 2019)，更难通过文字描述自己的情绪，述情障碍的症状更加严重(Smith et al., 2022)。由于无法对内感受信息进行正常加工，个体难以识别自身状态，产生情绪命名困难(Zamariola et al., 2019)。述情障碍患者常将由心理问题表现为躯体化症状(Zhou et al., 2021)。
内感受加工问题也会影响述情障碍患者的学习与决策等高级认知功能。根据Damasio提出的躯体标记假说，个体在进行决策时，身体的状态包括骨骼肌和内脏等本体感觉，也会为决策提供线索，在无意识层面影响个体做出选择(Damasio, 1996)。对心脏活动感知能力更好的健康被试，完成爱荷华赌博任务的决策表现也更好(Werner et al., 2009)，内感受加工能力较差的个体，不能有效感受到进行决策时和收到反馈后来自身体内部的信号，无法根据躯体感受的经验指导后续决策。内感受也可能通过影响情绪加工对个体决策产生影响，患有述情障碍的被试进行决策时，受到情绪框架效应的影响更小，而内感受能力更好的被试，决策受到框架效应的影响更大。内感受信息为个体感知情绪提供线索，述情障碍患者无法准确感知到决策时的情绪，因此无法有效利用自身感觉和情绪线索进行决策(Mazoor et al., 2021)。
4.2. 内感受与情绪障碍
除述情障碍外，内感受加工异常和抑郁焦虑等情绪问题也存在关联。当外界环境不存在高威胁线索时，焦虑患者交感神经系统仍过度兴奋，生理处于高唤醒状态(Correia et al., 2023; Kausche et al., 2022)，这种身体状态与脑认知加工分离的模式可能与内感受加工异常相关。对身体信号的过度关注也与焦虑患者的躯体症状相关，躯体化问题是焦虑患者的常见症状。焦虑患者将更多注意投向与疾病无关的内感受变化，并将该变化错误解释为异常状态，因而感受到更多焦虑情绪与躯体不适(Mansell et al., 2003)。焦虑水平较高的被试，在完成呼吸内感受评估任务时，对完成任务准确性的信心评价分数更低，同时前脑岛激活也更弱。内感受觉知能力更差的被试，在加工引起焦虑情绪的威胁性刺激时，无法准确地建立身体反应与情绪感受之间的关系，更容易产生难以调节的焦虑情绪(Harrison et al., 2021)。
抑郁症患者也表现出了内感受功能的异常，抑郁的典型躯体症状包括疲劳、睡眠问题、食欲变化和身体不适感等，这些躯体症状可能与机体内稳态变化有关(Nord & Garfinkel, 2022)。快感缺失也是抑郁的核心症状，该症状可能与内感受相关脑区激活较低存在关联。与正常被试相比，抑郁症被试内注意任务中的脑岛、杏仁核、壳核及尾状核激活水平更低(Burrows et al., 2022)。其内感受加工脑区激活下降，说明抑郁症患者感受到的内部生理激活程度更低，因而产生的情绪强度也更低(Brewer et al., 2021)。
4.3. 内感受与其他障碍
除情绪障碍外，内感受异常与进食障碍、物质使用障碍等问题也有密切联系。胃肠内感受功能失调可能导致问题进食行为，神经性厌食症患者忽视饥饿感而限制卡路里摄入，尽管进食少量食物，患者仍报告强烈饱腹感(Khalsa et al., 2022)。同时，进食障碍患者也存在内感受元认知异常。进食障碍患者对当前身体内部状态觉察能力较弱，更难根据身体信号调整饮食行为，从而陷入情绪，产生更多情绪性进食行为(Young et al., 2017)。饥饿感知异常不仅与饮食障碍存在联系，内感受问题也是影响物质使用障碍患者渴求感的关键因素，胃饥饿素浓度与酒精渴求感存在正向关联(Farokhnia et al., 2019)。此外，药物使用能够改变身体内稳态，个体将药物使用导致的身体变化信号与渴求产生关联，从而对药物产生依赖(Brewer et al., 2021)。
人格解体也与内感受信号加工异常有关，内感受是来自机体内部的信号，可能是自我概念产生的重要部分，内感受加工出现问题可能影响自我相关信息加工(Candia-Rivera et al., 2024)。更高的内感受评估准确性能够促进自我相关的学习和记忆加工(Brewer et al., 2021)，而内感受加工异常则可能使个体无法产生一致的自我概念。内感受敏感度更低的被试，在完成自我相关记忆测试时，回忆正确率更低(Messina et al., 2022)。内感受作为自我状态相关线索影响自我信息加工。内感受能力与记忆的关联可能以海马为生理基础，海马同时参与了内感受信息与记忆内容的加工，被试对内感受的评估，可能基于过去身体活动的模式，需要依靠记忆功能共同完成内感受评估，因此，内感受觉察能力较差的被试，自我参照记忆测试表现也更差(Stevenson et al., 2018)。
5. 内感受干预方法
直接调控内感受通路可以有效地改善内感受及相关心理障碍。直接作用于神经系统的药物如肾上腺阻滞或激动剂、选择性5-羟色胺再摄取抑制剂、苯二氮卓类药物、肌肉松弛剂和阿片类药物都能有效缓解如抑郁、创伤后应激障碍等障碍的相关症状(Khalsa et al., 2018; Nord & Garfinkel, 2022)。神经调控也能直接改变内感受相关神经活动，作为内感受加工的重要中枢，刺激脑岛能够显著提高内感受准确性(Sagliano et al., 2019)。除对中枢进行刺激外，调控周围神经活动也能改善内感受相关障碍，迷走神经是自主神经系统的重要组成部分，参与心血管、呼吸和胃肠等多种内脏活动的调节控制。对将内脏信息上行传导至孤束核的迷走神经进行刺激调控，从而调节皮层及皮层下神经活动能够改善多种障碍(Weng et al., 2021)。
正念冥想是改善内感受的常见心理干预方式(Khalsa et al., 2018; Nord & Garfinkel, 2022; Weng et al., 2021)。正念要求训练者以非评判的态度觉察此刻的身体感受，能够提高训练者对内感受的元认知觉察，同时促进训练者对不同身体感受的接纳，减轻身体不适感带来的消极情绪(Bernstein et al., 2015; Dunne et al., 2019)。完成注意呼吸的正念冥想时，脑岛的激活显著增强(Ganesan et al., 2022)。同时，默认模式网络脑区与其他认知控制相关脑区如背侧前扣带回、背外侧前额叶连接增强(Brewer et al., 2021)。由于觉察内部感受是正念练习的主要任务之一，默认模式网络与认知控制脑区连接增强可能表明个体对内部过程觉察的提高。已有大量研究表明，正念对与内感受异常相关的多种心理障碍，如焦虑、抑郁、饮食障碍、物质使用障碍、应激后创伤障碍等，都有显著的干预效果(Hopwood & Schutte, 2017; Li et al., 2017; Maj et al., 2015; Masuda & Hill, 2013; Spinhoven et al., 2022)。
6. 总结与展望
目前有关内感受的研究发现，内感受由基于内脏器官、支配内脏器官的自主神经系统和中枢神经系统的相互作用产生。个体的内感受除对生理健康产生影响外，对心理健康也存在影响。个体的内感受是情绪感知的重要组成部分，也与不同心理障碍存在密切关联。但目前研究对于内感受、情绪和以及内感受如何导致情绪障碍的相互关系探究还不够深入，部分研究共同关注了内感受对情绪和认知的影响，但未从机制方面进行深入探讨(Baiano et al., 2021; Ma et al., 2017)。未来研究可结合贝叶斯模型深入探讨内感受与情绪认知之间的相互作用，及内外感受对情绪认知等心理过程的影响(Barrett & Simmons, 2015)，更加清晰地揭示内感受异常与不同心理障碍之间的作用机制。
家庭生态系统与青少年心理社会发展的互动机制——基于社会学视角的实证研究
作者: 王柯然, 韦东阳, 刘俸邑, 朱 媛*：广西科技大学人文艺术与设计学院，广西 柳州；张晓霞：武都区城关中学，甘肃 陇南；田智荣：广西科技大学经济与管理学院，广西 柳州
关键词: 家庭生态系统；青少年发展；互动机制；培育路径；心理健康；
摘要: 本论文基于生态系统理论，系统剖析家庭生态系统各要素与青少年发展间的复杂互动关系。通过整合心理学、社会学、教育学等多学科研究成果，深入探讨家庭结构、家庭氛围、教养方式、家庭关系等核心要素对青少年心理建构、行为塑造和社会适应能力的影响机制。结合国内外实证研究数据与典型案例，揭示家庭生态系统与青少年发展的双向作用规律，并从家庭建设、家长教育、社会支持等层面提出系统性培育路径，旨在为促进青少年健康成长、优化家庭生态环境提供理论支撑与实践指导。
文章引用：王柯然, 张晓霞, 田智荣, 韦东阳, 刘俸邑, 朱媛 (2025). 家庭生态系统与青少年心理社会发展的互动机制——基于社会学视角的实证研究. 心理学进展, 15(8), 196-201. https://doi.org/10.12677/ap.2025.158465
1. 引言
青少年时期(10~19岁)是个体从儿童向成人过渡的关键阶段，这一时期生理发育加速、心理结构重塑、社会角色开始转型，其发展状况对个体终身发展具有决定性影响。世界卫生组织发布的《青少年心理健康全球状况报告》显示，全球约10%~15%的青少年存在不同程度的心理健康问题，且这一比例在近十年呈持续上升趋势(段祥斐等，2024)。家庭作为青少年社会化进程的首要场所，构成其成长的核心微系统。美国心理学家布朗芬布伦纳的生态系统理论强调，家庭环境通过直接作用与间接影响，全方位塑造青少年的认知、情感与行为模式。然而，在社会转型加速、家庭结构多元化、代际观念冲突加剧的背景下，家庭与青少年的互动关系面临新的挑战。深入探究家庭生态系统与青少年发展的内在联系，不仅有助于揭示青少年成长规律，更为破解青少年发展困境提供理论依据与实践方向。
2. 家庭生态系统核心要素对青少年发展的影响机制
(一) 家庭结构：成长环境的结构性差异
家庭结构作为青少年成长的基础框架，其形态差异直接影响青少年的发展轨迹。传统核心家庭往往能为青少年提供更稳定的情感支持与教育资源协同。父母角色的互补性——父亲的规则引导与母亲的情感关怀形成的教育合力，有助于青少年建立清晰的行为规范与安全的情感依恋，这种结构性优势在多项家庭功能研究中得到证实(李岩等，2024)。
单亲家庭青少年则较易面临情感支持不足与资源获取受限的双重挑战。单亲家长因生活压力产生的情绪状态，可能通过代际传递影响青少年的心理状态，而教育资源的相对匮乏也可能间接制约其发展空间(郭雨等，2016)。重组家庭的复杂性亲属关系常对青少年的身份认同构成考验。继父母与继子女间的情感磨合、原生家庭记忆的持续影响，可能导致青少年出现阶段性的适应困难，如社交退缩、角色定位模糊等，相关研究表明这种适应过程需要家庭成员的长期协同努力。
农村留守儿童的隔代抚养模式存在显著局限性。祖辈往往在学业辅导能力上存在不足，对青少年的行为监管也易出现疏漏，长期亲子分离还可能弱化情感联结，影响青少年的社会支持感知，这与农村留守儿童成长环境的系统性研究结论相符(黄月胜，陈丹，2025)。
(二) 家庭氛围：情感环境的隐性塑造
家庭氛围作为一种无形的情感环境，对青少年的心理发展具有潜移默化的影响。
神经科学研究证实，长期处于温馨家庭氛围中的青少年，其大脑前额叶皮层发育更为完善，这一区域负责情绪调节、决策制定等高级认知功能(王玉霞，2015)。美国加州大学追踪研究发现，在和谐家庭中成长的青少年，抗压能力较同龄人提升37%，面对挫折时更倾向于采用积极应对策略，家庭成员定期开展的“家庭会议”“亲子共读”等活动，不仅增强情感联结，还能通过榜样示范培养青少年的沟通能力与同理心(吉晖，2019)。
家庭冲突对青少年的心理伤害具有累积效应。世界卫生组织研究表明，每周目睹父母激烈争吵超过3次的青少年，出现创伤后应激障碍(PTSD)症状的概率达18.2% (戴莹莹等，2024)。高冲突家庭中的青少年常处于“情感超载”状态，表现为情绪波动剧烈、人际关系敏感。调查显示，家庭冲突频繁的学生群体中，63%存在同伴交往障碍，表现为攻击性强或过度回避，长期暴露于冲突环境还会导致青少年产生“习得性无助”，削弱其自我效能感(杨菁等，2025)。
(三) 教养方式：教育模式的差异化塑造
教养方式的差异深刻塑造着青少年的发展(杨雪，宋佳殷，2025)。
权威型教养方式强调规则与自主的平衡，其核心特征是“高要求–高回应”。既为青少年设定明确的行为规范，又给予其适当的自主空间，有助于培养独立思考与自我管理能力。这种教养方式下的青少年在学业成就、社会责任感和心理健康方面均表现更优。
专制型教养以绝对控制为特征，表现为“高要求–低回应”，往往忽视青少年的情感需求，易导致其产生心理压抑、逆反心理或低自尊。这种教养方式可能削弱青少年的批判性思维能力，甚至形成依赖型人格，与家庭教养方式对青少年心理适应的负面影响研究一致。
溺爱型教养呈现“低要求–高回应”特征，过度满足导致青少年出现社会化障碍。缺乏适当规则约束与挫折体验的青少年，往往在生活技能、抗挫折能力上存在不足，甚至形成自我中心倾向，这与溺爱型教养对青少年社会适应能力的影响研究结论相符。
忽视型教养表现为“低要求–低回应”，对青少年发展造成全方位损害。情感与教育投入的双重缺失，可能导致青少年认知发展迟缓、道德判断能力不足，甚至增加问题行为的发生风险，相关研究证实忽视是青少年发展风险的重要诱因。
(四) 家庭关系：情感纽带的深层作用
家庭关系主要包括亲子关系和夫妻关系，对青少年的发展有着深远影响。
良好的亲子关系是青少年心理健康的重要保护因素。高质量亲子沟通可使青少年抑郁风险降低42%，积极的亲子互动通过“镜像神经元”机制(唐甜等，2024)，帮助青少年发展共情能力和情绪调节技能。父母采用“积极倾听”策略，如复述、共情回应，能显著提升青少年的自我表达意愿和问题解决能力，反之，亲子冲突若长期未得到有效解决，会导致青少年产生“情感脱离”，表现为拒绝沟通、行为叛逆。
夫妻关系是家庭情感氛围的核心决定因素。婚姻满意度高的家庭，其子女的情绪稳定性得分比婚姻冲突家庭高出29% (陆曼遥等，2024)。和谐的夫妻关系为青少年提供健康的情感互动模板，影响其未来亲密关系模式，父母相互尊重、共同承担家庭责任的行为，会使青少年形成“合作型”人际关系认知，相反，夫妻长期冷战或暴力冲突，会使青少年对婚姻产生恐惧和不信任。
3. 家庭生态系统与青少年发展的双向互动机制
家庭生态系统与青少年发展并非简单的单向影响，而是存在着复杂的双向互动关系(艾霞，史园园，2025)。一方面，家庭生态系统的各个要素为青少年的成长提供环境基础和发展动力，直接影响着青少年的心理和行为发展。良好的家庭氛围和科学的教养方式能够促进青少年积极心理品质的形成和良好行为习惯的养成，不良的家庭环境则可能导致青少年出现各种心理行为问题。
另一方面，青少年自身的发展变化也会反作用于家庭生态系统(曹素娴，2024)。随着青少年身心的不断发展，其自我意识逐渐增强，对家庭环境和教育方式会有新的需求和期望。处于青春期的青少年渴望获得更多的自主权和独立性，若父母仍然采取过度控制的教养方式，必然会引发青少年的逆反心理，破坏和谐的亲子关系，进而影响家庭生态系统的平衡。此外，青少年在学校、社会中的经历和成长也会通过其行为表现和情绪状态反馈到家庭中，促使家庭做出相应的调整和改变。例如，当青少年在学校中取得优异成绩或获得重要奖项时，家庭氛围可能会变得更加积极和谐，父母也会更加认可和鼓励孩子；反之，当青少年在学校遇到挫折或困难，产生负面情绪时，家庭需要给予更多的支持和理解，帮助其解决问题。这种双向互动机制使得家庭生态系统和青少年发展处于动态的相互作用过程中，任何一方的变化都会引起另一方的相应调整。
4. 优化家庭生态系统，促进青少年健康发展
(一) 加强家庭建设，改善家庭环境
优化家庭生态系统，首先需要加强家庭建设，改善家庭环境。对于特殊家庭结构，如单亲家庭、重组家庭，家庭成员要积极调整心态，相互理解和支持，共同努力构建稳定和谐的家庭关系。
单亲家庭的家长需注重自身情绪管理，避免向孩子传递负面情绪，同时积极为孩子创造与其他家庭成员及同伴交往的机会，以弥补家庭结构缺失带来的影响(吴月，2025)。重组家庭则要重视亲属关系的调适，继父母要以包容和耐心的态度与继子女建立情感联系，通过共同参与家庭活动、尊重彼此的生活习惯等方式，促进家庭融合。
在家庭氛围营造上，家庭成员之间要注重情感沟通，学会换位思考，尊重彼此的意见和感受。父母要减少家庭冲突，以平和理性的方式解决矛盾，为青少年创造温馨、和谐的家庭氛围。可以定期组织家庭聚会、开展家庭游戏等活动，增强家庭成员之间的互动和情感联结。此外，家庭还应注重文化建设，通过开展家庭阅读、文化活动等方式，丰富家庭精神生活，提升家庭文化素养，为青少年的成长提供良好的文化环境。
(二) 提升家长教育素养，优化家庭教育模式
提升家长教育素养，优化家庭教育模式是关键。家长作为孩子的第一任老师，其教育素养直接影响家庭教育质量。随着数字技术的普及，开发针对性的家庭教育APP成为提升家长教育能力、适配青少年发展需求的重要途径(何燕飞，2025)。开发APP需以家庭生态系统对青少年发展的影响机制为核心，整合权威型教养方式的实践方法、不同家庭结构的适配策略及家庭冲突调解技巧，为家长提供便捷、专业的教育支持。
在成本上，初期研发成本预计20~50万元(含功能设计、专家内容录入)，年度维护费用预计5~10万元。核心功能免费需政府补贴，按覆盖10万用户计算，年均补贴约15万元(含服务器费用)。
在内容架构上，需要精确匹配家庭的生态需求。设置“教养方式指南”，以权威型教养为重点，提供规则与自主平衡的具体方法(如叛逆期沟通话术)；分设单亲、重组、留守儿童家庭等模块，推送情绪管理、亲属磨合、隔代教养辅助等针对性内容；加入家庭冲突调解工具(如争吵降温话术、案例解析)。
在功能设计上要尽量方便快捷，内置简短的教养风格测评，自动推送个性化内容。可以开发亲子互动任务库，如每日10分钟沟通话题，支持打卡记录，同时也可以开通专家在线答疑，有问题可以及时得到解决。
最后，开发家庭教育APP需要多方的协同推广。政府补贴确保核心功能免费，社区和学校引导家长使用，结合家长会分享APP使用经验，推动家长将线上知识转化为实践。
(三) 构建良好家庭关系，增强家庭凝聚力
构建良好家庭关系，增强家庭凝聚力同样不可或缺(陈虹，2024)。定期举办家庭聚会是强化情感联结、改善家庭关系的有效方式，能为青少年营造积极的情感环境，助力其心理与社会适应能力发展。在举办家庭聚会上，可以采取以下的策略来进行：
首先，可以按照家庭的结构来设计聚会的主题。核心家庭可开展“成长分享会”，让青少年与家长交流学业、社交中的困惑；单亲家庭可组织“亲子协作活动”，如蛋糕烘培、短途徒步，同时也可以邀请亲友参与来弥补情感支持；重组家庭可安排“故事接龙”“家庭角色体验”，促进继亲关系磨合；留守儿童家庭可通过视频连线举办“云端聚会”，同步进行读书、做游戏等活动。
其次，设置情感互动的环节。设置“感恩时刻”，每人分享一件感谢家人的事；若有矛盾，加入“平和沟通”环节，参考家庭冲突调解方法，引导理性表达；结合“家庭会议”“亲子共读”等有效形式，培养青少年沟通能力与同理心。
最后，设立回忆机制。用照片、便签记录聚会亮点，每次结束后让青少年简单评价，根据反馈调整下次内容，保持聚会的吸引力与实效性，逐步增强家庭凝聚力。
(四) 整合社会资源，完善家庭支持体系
整合社会资源，完善家庭支持体系也是重要举措。优化家庭生态系统，促进青少年发展需要全社会的共同参与和支持。
政府应加大对家庭教育的投入，制定相关政策法规，规范家庭教育服务市场，为家庭提供专业的家庭教育指导和服务(刘学兰，姜桂芳，2025)。建立社区家庭教育服务中心，为家长提供心理咨询、教育咨询等服务，开展针对不同家庭需求的家庭教育培训项目。例如，可以设立家庭教育专项资金，用于支持社区家庭教育服务中心的建设和运营，开发适合不同年龄段青少年家庭的培训课程。
学校要加强与家庭的合作，建立家校沟通长效机制，定期开展家访、家长会等活动，及时了解学生的家庭情况和学习生活状况，与家长共同制定教育计划，形成家校教育合力(张青，2023)。可以利用现代信息技术，搭建家校沟通平台，实现信息的实时共享和互动交流。
此外，社会组织也应发挥自身优势，开展丰富多彩的家庭服务活动，如亲子公益活动、家庭文化节等，为家庭提供交流和学习的平台，营造有利于家庭建设和青少年成长的社会氛围(李淋漓，杨柯，2025)。鼓励社会组织参与家庭教育服务，通过购买服务等方式，引导专业机构为家庭提供个性化的教育支持。
5. 结论
家庭生态系统与青少年发展之间存在着紧密而复杂的联系，家庭结构、家庭氛围、教养方式、家庭关系等核心要素通过多维互动机制，全方位影响着青少年的心理建构、行为塑造和社会适应能力。同时，青少年的发展变化也在不断反作用于家庭生态系统，两者相互影响、相互塑造。为促进青少年健康成长，需要从家庭建设、家长教育、家庭关系构建和社会支持等多个层面入手，采取系统性的培育路径，优化家庭生态系统。这不仅需要家庭自身的努力，也需要学校、社区、政府和社会组织等各方力量的协同合作，形成全社会共同关注青少年成长、支持家庭建设的良好局面。未来，随着社会的发展和研究的深入，家庭生态系统与青少年发展的关系将呈现更多新的特点和变化，需要持续开展相关研究，不断完善理论体系和实践策略，为青少年的健康成长保驾护航。
基金项目
1) 2023年度广西高校中青年教师科研基础能力提升项目“‘三孩’时代，女性再生育意愿及配套支持政策研究”(项目编号：2023KY0330)。
2) 广西科技大学博士基金项目“生育政策视角下妇女的再生育意愿影响因素——以中国广西和韩国釜山为例”(校科博21S20)。
3) 广西科技大学硕士研究生创新项目“社会工作视角下广西儿童友好型社区的建设路径研究”(项目编号：GKYC202513)。
社会比较：概念、理论模型及影响因素
作者: 其额力格：内蒙古师范大学心理学院，内蒙古 呼和浩特
关键词: 社会比较；理论模型；影响因素；
摘要: 社会比较作为心理学和社会学领域的核心议题，引起了学界的广泛关注。社会比较指的是个体通过与他人的比较来评估自我、形成自我评价的心理过程。这一行为广泛存在于人类社会中，对个体的心理状态、行为决策产生深远影响。文章明确其概念，系统地论述了社会比较的理论模型，从个体、情境与文化的角度阐述了影响因素。旨在为更深入理解社会比较行为提供参考，为未来的研究提供一定的理论基础。
文章引用：其额力格 (2025). 社会比较：概念、理论模型及影响因素. 心理学进展, 15(8), 136-143. https://doi.org/10.12677/ap.2025.158457
1. 引言
俗话说：“比上不足，比下有余”。在现实生活或工作情境中，人们总是通过与他人比较来认识和评估自我。社会比较无处不在，充斥在生活的每一个角落。孩童时期，父母口中“别人家的孩子”是最早的比较坐标——成绩排名、才艺多少、礼貌与否，都在不经意间让我们学会用他人作镜子照见自己。人们在社会生活中对自身特质(如能力、观点、态度等)的认知和评估，并非基于绝对的客观标准，大多是通过与他人进行对比来实现的。换句话说，个体对自我理解和评价是在与他人的相对关系中形成的，在这种比较过程中塑造了我们对自身社会属性的认知。Festinger把这种现象称为社会比较。社会比较作为人类普遍存在的一种社会现象，其研究不仅对理解社会行为具有深刻的理论意义，也为现实生活中的群体互动、自我认知、自我评估等实践领域提供了重要启示。
2. 概念界定与理论基础
2.1. 概念
社会比较的概念是由美国社会心理学家利昂·费斯廷格(Leon Festinger)在1954年提出的。他认为，社会比较是指个体在缺乏客观标准的情况下，个体利用他人作为比较的尺度进行自我评价。随着有关社会比较心理与行为的深入研究，社会比较的概念也逐渐丰富。Wood (1996)在研究中指出社会比较是涉及多个过程的复合行为，根据核心特征将社会比较定义为：思考关于他人一个或多个的信息与自我之间的关系。国内学者邢淑芬和俞国良(2006)在前人基础上，进一步拓展了社会比较的内容，他们认为在社会比较的过程中包含了认知，情感和行为等不同的心理成分，并且比较过程和信息对人类来说都具有重要进化价值。窦炜等人(2014)认为，社会比较指的是人们常常会与他人在财富、能力和社会地位方面进行比较的倾向，进而形成对自己的认知。
综上所述，我们可以发现，由于不同的需求和研究领域，不同研究者对社会比较的概念有着不同的描述和界定。但是都有一个共同点——就是把个体的某一方面与他人进行比较。所以，通俗来讲，社会比较就是个体把某一方面(如成绩、能力、财富、地位、外貌等)与他人进行比较来对自身的某方面进行评价。
2.2. 理论模型
2.2.1. 社会比较理论(Social Comparison Theory)
Festinger (1954)的社会比较理论认为，人类天生具有一种与他人进行比较(如能力、观点)的内在驱动力。当缺乏客观标准时，会主动与他人比较，以判断自身状态。社会比较理论指出，我们在与他人进行比较时会遵循“相似性假设”，即人们倾向于选择与自己相似的人(如背景、能力、处境相近者)进行比较。Festinger进一步提出了能力社会比较与观点社会比较的分类，并指出个体在进行这两类比较时呈现出不同的表现。他强调，个体在进行能力比较时，往往以精准评估自身能力为导向，倾向于选择与自己能力相近的对象作为参照，通过对比明确自身优势或不足，进而产生提升动力或竞争意识；而在进行观点比较时，则更侧重于寻求社会认同与认知一致性，个体更关注自身观点是否与他人趋同，以降低认知失调并获得群体接纳，因此可能表现出更强的从众倾向或对异见的排斥。
经典社会比较理论在后续研究者的持续探索中得以不断拓展与完善。Schachter (1959)在其基础上提出社会比较的范围不局限于能力与观点的社会比较，而是覆盖人类的方方面面，同时将社会比较的动机延伸至情绪领域。他认为，当情绪处于模糊状态时，人们会主动搜寻社会信息以明确自身情绪状态的合理性。
2.2.2. 相对剥夺感理论(Relative Deprivation Theory, RDT)
相对剥夺感(relative deprivation)这一概念最早由美国社会学家Stouffer (1949)在《美国士兵》一书中提出，后经社会学家墨顿(Merton, 1957)在《社会理论与社会结构》一书中进行系统性阐释。相对剥夺感理论是社会心理学与社会学领域的重要理论，旨在解释个体或群体因感知自身与比较对象之间存在差距而产生的负面情绪及其行为后果。该理论认为，个体的不满情绪并非源于绝对的物质或地位缺失，而是源于与他人或自身期望的比较。在社会比较的过程中处于弱势的个体产生消极体验是因为产生了相对剥夺感。Runciman (1966)将相对剥夺感分为个体性剥夺和群体性剥夺。个体性剥夺是指个体自身与他人的比较；群体性剥夺将个体所属群体与其他群体的比较。后者更易引发集体行动(如罢工、社会运动)，因个体将不满归因于群体间的结构性不公。
2.2.3. 下行比较理论(Downward Comparison Theory)
下行比较理论是社会比较理论的一个重要分支。在Festinger提出的社会比较理论的基础上，Wills (1981)首次系统地提出了下行比较理论。Wills认为，在无威胁状态下，个体通常进行向上比较(与优于自己的人比较)，以获取自我提升信息，维持主观幸福感和积极的自我评价。然而，当自尊受到威胁(如失败、负面评价)时，个体会主动转向向下比较，通过对比获得自尊修复。该理论主要是基于人类在面对自身困境或者评价自身情况时的一种自我保护心理机制，关注自我增强的动机。
在下行比较理论的持续发展中，后续研究者通过对下行比较现象的深入探究，进一步将其划分为积极主动型下行比较与消极被动型下行比较两种模式。其中，积极主动型下行比较是指个体通过贬损、嘲讽、甚至实施身体攻击等主动行为，人为构建或筛选出相较于自身在能力、境遇等方面处于劣势的比较对象，以此提升自我价值感与心理满足度，达到维护自尊的目的。这种比较模式具有显著的策略性与目的性，反映出个体在面对心理压力时的主动应对机制。而消极被动型下行比较则是个体在无意识状态下，被动接收外界环境中关于劣势对象的信息，并自发产生的比较行为。该模式不依赖于个体的主动选择，而是基于人类对环境刺激的本能认知反应，通常在个体尚未察觉的情况下完成心理调适过程。两种类型的区分不仅深化了对下行比较心理机制的理解，也为后续研究个体社会认知的主动性与被动性差异提供了理论依据。
2.2.4. 社会认同理论(Social Identity Theory)
社会认同理论(Tajfel & Turner, 1979)认为，个体的自我概念部分来源于所属的群体身份，并通过社会比较来维持或提升自尊。社会认同理论包括社会分类、社会认同和社会比较三个核心过程。该理论认为，个体不仅会识别自己的身份，也会识别所属群体的身份。个体将自己和他人归入不同的社会群体(如“学生”“上班族”)，通过简化的分类框架理解社会环境。并且将群体特征内化，形成基于群体的自我概念，产生社会认同，将群体荣誉或耻辱视为个人体验。群体身份成为自我认同的一部分，影响个体的态度和行为。通过与其他群体比较，评估所属群体，产生内群体偏好和外群体偏见效应。内群体偏好是一种对所属群体成员的积极态度倾向，表现为更偏爱内群体，更愿意为内群体分配资源(左有霞，赵玉芳，陈冰，2019)。外群体偏见是指对外群体或其成员的消极态度，表现为刻板印象、不信任或资源分配上的不公平(Stangor, 2016)。
社会认同理论把个人对于群体的认同放在首位，强调个体通过社会分类、社会认同和社会比较来构建自我概念。这一理论不仅解释了群体行为的动机，还为理解社会中的比较、偏见、歧视和群体冲突提供了重要视角。
2.2.5. 自我评价维护模型(Self-Evaluation Maintenance Model)
自我评价维护模型假定，人们的行为方式旨在维持或提升自我评价，且个体与他人的关系会对自我评价产生显著影响(Tesser, 1988)。该模型由两个动态过程构成，分别是反射过程和比较过程。这两个过程均包含他人与自我的心理亲近性、他人的表现水平两个关键变量。这两个变量通过交互作用影响自我评价，但在不同过程中作用方向完全相反。反射过程指的是当与个体存在亲密关系的他人(如密友)在某一领域表现卓越时，个体可通过共享荣光显著提升自我评价。例如：当你的好友成为明星时，你可以通过强调这段亲密关系，从而增强自我评价。与之相反，亲密他人的杰出表现也可能通过对比效应使个体相形见绌，导致自我评价降低，即比较过程。如，当好友在职业成就远超自己时，个体易产生“我不如他”的负面自我认知。
自我评价维护模型揭示了社会比较的复杂性，强调他人的表现水平和心理亲近性对自我评价的双重影响。该模型不仅补充了下行比较理论的动机视角，还为理解现实中的比较行为提供了动态的框架。
2.2.6. 选择通达模型(Selective Accessibility Model, SAM)
选择通达模型(SAM)由Mussweiler (2003)提出，旨在解释社会比较如何通过认知机制影响自我评价。该模型强调，社会比较是通过选择性激活与比较目标相关的自我知识，从而改变自我认知。Mussweiler将社会判断过程分为标准选择、目标–标准比较和评估三个阶段(Mussweiler, 2003; 高妍春等，2006)。选择阶段主要选择比较的对象、内容和维度。在整个过程中，比较阶段最为关键，它决定着后续对自我评估的结果。SAM认为，社会比较过程本质上是一个假设检验过程，存在着两种假设检验：相似性假设检验和差异性假设检验。在通常情况下，由于认知资源的有限，个体只能进行一种假设检验。当个体认为目标和自己相似时，会进行相似性检验，选择性地提取和利用相似性的信息。这种情况下，个体的自我评价或判断会倾向于与比较标准靠拢，即产生同化效应。当个体认为目标和自己相异时，会进行差异性检验，选择性地提取和利用差异性的信息。这种情况下，个体的自我评价或判断会倾向于与比较标准背离，即产生对比效应。
3. 影响因素
3.1. 个体因素
3.1.1. 社会比较与人格
越来越多的研究证明，个体的人格差异会显著影响其社会比较倾向，进而产生不同的行为结果。Olson和Evans (1999)研究大五人格在社会比较方向和情感结果中的作用发现，开放性人格特质较高的个体和高宜人性个体更倾向于进行上行社会比较，高外向性、高尽责性、低宜人性个体更倾向于向下比较，而神经质与比较方向没有显著关联。Vander Zee等人(1996)在癌症患者和随机人群中探究社会比较与人格的关联，发现人格与社会比较过程的相关性总体较弱。Vander Zee等人的研究结果表明，高神经质个体表现出更强的比较需求，更频繁地进行上行比较，并且无论进行上行还是下行比较均伴随更多消极情感体验。另外，发现外向者相比内向者更倾向于进行下行比较。此外，一些证据显示，A型性格的、低自尊的个体及高抑郁的个体会更少使用社会比较的信息(吴宁，2013)。
由此可见，关于社会比较与人格关系的研究结论尚未形成一致性共识。不同的人格特质会产生不同的比较，对心理和行为产生不同的影响。
3.1.2. 社会比较与自我概念清晰性
自我概念清晰性，又称为自我概念清晰度(self-concept clarity, SCC)是指自我概念的一个结构性方面，具体表现为个体对自我认识的清晰度、内在一致性和稳定性水平(Campbell et al, 1996)。在自我认知研究领域，自我概念清晰性作为关键的个体差异变量，会影响个体对社会比较信息的加工以及社会比较对个体所产生的影响(Butzer & Kuiper, 2006; Gregory & Peters, 2017; Saadat et al., 2017)。
对于自我概念清晰性较低的个体，外界信息是自我评价的重要来源，通过与他人对比、接纳社会评价等方式进行自我定位，但过度依赖外部信息可能破坏本就脆弱的自我概念稳定性，降低自我评价(Emery, Walsh, & Slotter, 2015)。自我概念清晰性较高的个体，在面对社会比较的结果时，展现出更强的心理调适能力。由于对自我有着较为稳定且明确的认知，能够以更为理性的态度接纳理想自我与现实自我之间的差异。这种理性认知能够缓解社会比较带来的负面情绪(甄月桥，李佳焱，2022)。Saadat等人(2017)的研究认为，自我概念清晰性是社会比较强有力的预测因子，低自我概念清晰性个体因缺乏稳定的自我认知，更依赖外部比较来定义自我，导致更频繁的社交比较；而高自我概念清晰性个体因自我概念明确，较少受外界影响。吴漾等人(2020)研究进一步指出，个体的自我概念清晰性越低，越倾向于对社交信息进行消极解释，并在社会比较过程中表现出更强的对比效应，从而更容易受到负面影响。此外，有研究发现，上行社会比较与自我概念清晰性呈显著负相关(张霞，林嘉仪，张积家，2020)。
3.2. 情境因素
3.2.1. 群体情境
社会比较不仅受个体特质和文化背景的影响，还高度依赖于具体情境。研究表明，社会比较的情感结果往往较少取决于社会比较的方向，而更多取决于社会比较发生的情境和社会比较的方式(Lyubomirsky, Ross, 1997)。社会认同理论认为社会比较不仅发生在个体水平还发生在群体水平。作为社会认同理论的延伸——自我类别化理论(Tajfel, 1982)指出，可以通过社会同一性和个人同一性来描述对自我的认知。当个体以社会同一性为焦点时，会将自身视为所属群体中的一员，而非独立的个体；反之，若以个人同一性为焦点，则更关注自身区别于他人的独特特质。因此，根据社会同一性和个人同一性，将群体情境中的社会比较分为人际比较和群际比较。人际比较指个体将自身与其他个体进行特质、能力或成果的比较。群际比较是指个体根据自身的群体身份在自己和他人之间进行比较，或者从整体上将内群体与外群体进行比较(Brewer & Weber, 1994)。在群际情境下个体采用哪种社会比较方式，本质上由当下激活的身份类型决定。当个体化身份占主导时，即将自我视为单独个体而非群体成员时，人际比较会引发对比效应。若个体的显著身份从“我”转换为“我们”时，即将自我归属于某一群体时，人际比较会导致同化效应，群际比较会引发对比效应。Mussweiler和Bodenhausen (2002)的研究发现，当个体与内群体成员比较时，倾向于表现出自我评价的同化，即自我认知向群体平均水平靠拢。当个体与外群体成员比较时，则易产生自我评价的对比，即夸大自我与外群体的差异。
3.2.2. 合作竞争的情境
人们将自身的观念、情感及行为表现与周围的人联系起来，通过社会比较实现对自我的评估、提升、验证与完善(Taylor & Lobel, 1989)。Stapel与Koomen (2005)的研究指出，社会比较过程中竞争或合作的取向特征，以及比较行为是否发生在合作或竞争的情境下，决定了社会比较效应的方向性。该研究探讨了当比较对象与个体处在竞争或合作的情境下，是否会改变社会比较对自我评价的影响。实验证据表明：当个体处于竞争性情境或持有明确竞争目标时，社会比较更易诱发对比效应；而处于合作性情境或以合作为导向的个体，其社会比较过程则更倾向于产生同化效应。在Stapel与Koomen研究的基础上，Colpaert等人(2015)在研究中，再一次强调了合作和竞争的情境对社会比较对影响。
3.2.3. 任务特征
任务特征也是影响社会比较的一个重要因素，如任务难度和任务与自我的相关性。Suls和Wills (1991)发现，面对困难任务时，个体更频繁进行下行比较以维持自信，而在简单任务中则相反。Diel，Grelle和Hofmann (2021)通过对5400多个社会比较情境的研究发现，动机水平与社会比较存在关联，当个体认为比较领域与自己高度相关或该领域被认为很重要的情况下，会感觉到高度控制，此时更可能进行向上比较。这也从侧面说明，当任务对个体特别重要，即相关性高时，个体会有更强的比较动机，更倾向于上行比较。
3.3. 文化因素
文化塑造了人类认知的各个方面，从最基础的思维模式、情感体验到行为表达均受其深刻影响(Schaller, Norenzayan, Yamagishi, & Kameda, 2010)。目前学界普遍认为，东方与西方社会在基本认知过程方面存在根本的文化差异(Nisbett, Peng, Choi, & Norenzayan, 2001)。西方文化受个体主义文化的熏陶，追求独立自主，将个人目标、需求与成就置于优先地位。与之相对，以东亚为代表的东方社会受儒家关系主义等文化的深刻影响(Menon et al, 1999)，更关注集体主义和群体关系，将个体视为社会关系网络中的节点，强调群体和谐、社会责任与人际依存。
研究证明，不同文化背景下都存在社会比较现象(Gilbert et al, 1995)。西方文化背景下的个体以自我提升和自我增强的比较动机为主，通常进行上行社会比较，且被视为是积极的学习机会(Lockwood & Kunda, 1997)。而东方文化背景下的个体倾向于同级比较，以减少群体内冲突(Chen et al, 2006)。不同文化下所产生的这些特质，对个体社会比较倾向的塑造产生重要作用。例如，一项研究对比加拿大与日本学生，发现日本学生在失败后更倾向于通过向上比较激发改进动机，而加拿大学生更倾向于通过向下比较维持自尊(Heine et al, 1999)。
总的来说，强调与他人关系、相互依存的文化背景下的个体更愿意进行社会比较。研究表明，集体主义文化背景下的个体往往更注重他人对自身的评价，其生活满意度与在群体中的相对地位呈现出更强的关联性(Diener & Diener 1995)。值得关注的是，全球化进程正促使两种文化边界逐渐模糊，社会比较模式呈现出混合特征。例如，中国年轻一代在保留集体主义价值观的同时，也接纳了个人主义文化中的竞争意识，在职业发展领域更积极地进行向上比较；而西方社会则开始反思个人主义的弊端，强调“社群联结”的重要性，部分个体转向平行比较以寻求归属感。
4. 总结与展望
综上，关于社会比较的研究，在过去几十年获得了丰富的成果。通过对社会比较概念的清晰界定和阐述相关理论以及影响因素，研究者们对社会比较有了更深入的了解。但目前的研究仍存在一定的不足，如缺少跨文化研究，理论模型的整合不足，缺少本土化理论等。未来研究应深化对社会比较神经机制、跨文化比较及社交媒体环境下新形式的探索，同时加强量化与质化研究方法的结合，以提高研究的准确性和普适性。此外，还应关注社会比较在更多新兴领域的应用潜力，如人工智能、虚拟现实等，以期为促进人类心理健康和社会和谐发展提供新的思路和方法。
协同共育视域下农村留守儿童心理健康教育的困境与对策
作者: 付淑英：天津师范大学心理学部，天津；蒋苏蓉：句容市天王中学，江苏 镇江；刘信芬：阜宁县明达初级中学，江苏 盐城；孙顺萍：句容市后白中学，江苏 镇江
关键词: 农村留守儿童；心理健康教育；协同共育；
摘要: 促进农村留守儿童健康全面发展是中央重视、社会关注的一件大事，家庭、学校和社会协同开展农村留守儿童的心理健康教育已成为共识。然而，当前针对农村留守儿童开展心理健康协同育人工作仍存在教师协同育人胜任力薄弱、家长协同育人意识淡薄以及协同育人的实效性能缺乏等现实困境。突破农村留守儿童心理健康协同共育的多维困境，需要提高教师的协同育人胜任力，提升家长的协同育人认知水平，并探索出符合农村留守儿童心理特点与发展需求的协同育人模式，才能确保心理健康协同育人工作的高质高效开展。
文章引用：付淑英, 蒋苏蓉, 刘信芬, 孙顺萍 (2025). 协同共育视域下农村留守儿童心理健康教育的困境与对策. 心理学进展, 15(8), 120-125. https://doi.org/10.12677/ap.2025.158455
1. 引言
农村留守儿童是是指年龄在0~17岁之间，父母双方或一方在外地务工或流动超过六个月而无法与父母共同生活的农村儿童。根据第七次全国人口普查数据显示，截至2021年，我国农村留守儿童总数共有4177万人(国家统计局，2020)。研究发现，留守经历会使儿童在成长过程中感知到被忽视和歧视(曹海波，王敬欣，张阔，2022)，情感需求无法得到满足，从而体验到的安全感较低，进而表现出抑郁、焦虑、孤独、攻击行为和社会退缩等心理与行为问题(Theron, Hltge, & Ungar, 2023)。这些问题若不能得到解决将会对他们的健康发展造成负面影响。为促进留守等困境儿童的健康发展，2023年10月，民政部等五部门联合印发了《关于加强困境儿童心理健康关爱服务工作的指导意见》，明确指出“要加强对留守困境儿童的心理健康教育，在了解他们心理特点和心理需求的基础上，开展有针对性的心理健康教育”。农村留守儿童的心理健康教育是一项系统性工作，它不是家庭、学校或社会单方面能够独立解决的问题，需要在识别农村留守儿童心理健康问题的特点和产生根源的基础上协同开展心理健康教育。
2. 农村留守儿童的心理健康问题及成因分析
2.1. 农村留守儿童常见的心理健康问题
农村留守儿童作为我国儿童群体中，其心理健康问题一直是研究者关注的焦点。与非农村留守儿童相比，与父母长期分离会使农村留守儿童在成长过程中感知到被忽视和歧视，情感需求无法得到满足，体验到的安全感较低，从而导致他们的心理健康整体水平较差(戴斌荣，陆芳，付淑英，2022)。已有研究发现感受到情感忽视水平更高的农村留守儿童更容易出现游戏成瘾(Sun, Liu, & Yu, 2019)。干瑜璐等人的研究发现，有留守经历的大学生因为体验到较低水平的安全感而更容易出现自杀意念(干瑜璐，杨盈，张兴利，2017)。曹海波等人通过元分析技术梳理了歧视知觉与农村留守儿童心理健康的关系，结果发现农村留守儿童更容易感知到他人歧视，从而产生心理健康问题(曹海波，王敬欣，张阔，2022)。此外，留守经历不仅会导致儿童的情绪或行为问题更明显，还会对心理弹性、逆境信念、幸福感等积极心理品质产生消极影响。例如，已有研究发现，相比于非留守儿童，农村留守儿童的心理弹性水平更差(傅小兰，张侃，2020)。由此可见，需要加强农村留守儿童的心理健康教育。
2.2. 农村留守儿童心理健康问题的成因分析
2.2.1. 家庭功能受损催化了心理健康问题的发生
家庭作为微观生态环境系统中最重要的组成部分，家庭功能的正常发挥与个体的健康、全面发展关系最为密切。对于身心快速发展的儿童来说，最基本的家庭功能是提供有利于他们身心健康发展的环境条件，实现这一基本功能的前提是儿童与父母之间建立深刻的、稳定的情感联结。然而农村留守儿童因长期与父母分离，在成长过程中缺乏来自父母的关爱与支持，导致这一家庭功能的正常发挥面临重大挑战，因而心理健康也受到威胁。已有研究发现，农村留守儿童的家庭功能差于非留守儿童，更容易出现消极情绪和问题行为(白慧慧，王雨晴，孙婉靖，2022；陈锋菊，罗旭芳，2016)。此外，研究者还考察了留守对个体的长期消极影响，结果发现，相比于没有留守经历的个体来说，有留守经历的个体心理健康水平更处于劣势(刘浩，2023)。
2.2.2. 消极的校园人际关系助长了心理健康问题的发生
学校是微观生态环境系统中另一个重要的组成部分，学校因素特别是校园人际关系对农村留守儿童心理健康也有重要影响作用。老师是农村留守儿童在学校生活中的管理者，在他们心中具有较高的权威性，可以凭借和谐的师生关系向他们传授人际交往技能和情绪管理策略等教育管理信息，这有利于他们心理健康，而消极的师生关系则会加剧他们心理健康问题的发生。已有研究发现，相比于非农村留守儿童，农村留守儿童与教师间的关系更差(付淑英，2021)，这可能会威胁到他们的心理健康。同伴作为农村留守儿童学校生活网络中的另一重要成员，能够满足农村留守儿童的社会交往需要，是农村留守儿童获得社会支持和幸福感的重要源泉。研究发现，留守经历对初中生同伴关系的建构产生消极影响，即留守初中生的同伴关系比非留守初中生更差(钱佳，郝以谱，李豪，2021)，这也可能会对他们的心理健康产生消极影响。
2.2.3. 多重风险因素的累积效应加速了心理健康问题的发生
随着农村留守儿童心理健康问题的逐渐突出，研究者开始关注多种风险因素对农村留守儿童心理健康问题促发的累积和聚集效应。累积风险模型是考察多重风险因素累积效应最广泛的理论，主张风险因素是协同发生的，并以累积方式对农村留守儿童产生影响。研究者从不同层面考察了风险因素影响农村留守儿童心理健康的累积效应。如研究者考察了家庭中风险因素对农村留守儿童心理健康问题的累积效应，发现农村留守儿童遭受的家庭风险因素越多，心理健康问题就越严重(范兴华，方晓义，赵纤等，2023)。研究者还考察了范围更广的生态风险因素影响有留守经历大学生心理健康的累积效应，同样发现了有留守经理大学生同时遭受多种风险因素时更容易出现自杀意念(毛惠梨，李翠，袁孟琪等，2023)。总之，农村留守儿童在同一时期经历的各级各类风险因素会以叠加累积的方式对其心理健康产生不利影响。
3. 村留守儿童心理健康协同育人工作的现实困境
有效开展心理健康教育工作、提升农村留守儿童的心理健康水平，需要建立心理健康协同育人“教联体”，促进农村留守儿童的全面发展健康成长。当前，教师协同育人胜任力薄弱、家长协同育人意识淡薄、协同育人内容与心理特点和发展需求不符等因素，已经成为农村留守儿童心理健康教育有效开展的重要障碍。
3.1. 教师协同育人胜任力薄弱
农村留守儿童心理健康教育需要家庭、学校和社会协同开展已成为社会各界的普遍共识，为此，2022年，教育部等十三部门联合印发了《关于健全学校家庭社会协同育人机制的意见》，为有效开展协同育人工作提出了明确要求。教师作为开展协同育人工作的具体执行者，在协同育人工作中扮演着至关重要的角色，他们的协同育人能力会直接影响到心理健康的教育效果和质量。然而，由于缺乏专业的培训，导致教师对家校协同育人的重要性认识不足，尤其是心理健康教育并非学科教学，相关工作难以量化，因此有些教师认为心理健康的协同育人工作增加了自己的工作量，最终以消极的态度对待这一任务。与家长沟通交流的技巧也是教师需要通过培训提高的技能，一些教师会因缺乏沟通技巧而避免与家长接触，但是在面对家校冲突时，缺乏沟通技巧的教师可能会激化家校矛盾，削弱家校之间的信任(朱永新，2021)。总之，教师协同育人胜任力不足可能会致使他们在完成心理健康协同育人工作时出现低意愿、低效率、形式化等现象，最终导致协同育人工作流于形式。
3.2. 家长协同育人意识淡薄
家长作为孩子的第一任老师，他们对协同育人的意识与认知水平会直接影响心理健康教育的成效。农村留守儿童的家长因长期与孩子分离，对孩子身心状况和日常表现了解不多，因而对心理健康教育的重视程度不够，导致他们对自己在心理健康教育中的职责也认识不清，最终在心理健康协同育人工作中积极性不足。例如，一些农村留守儿童家长片面地认为，自己不懂专业的心理健康知识，且心理健康教育是学校教育的一部分，孩子的心理健康应该由学校负责，从而未尽到自己应尽的教育义务。这种认识不足还可能会阻碍心理健康协同育人的工作进程，比如有些家长错误地认为孩子没有出现心理健康问题就不需要相关教育，因而当学校或教师向自己提出协同共育的相关要求时，认为学校在转移教育责任。还有一些家长对心理健康存有偏见，当孩子出现焦虑、抑郁、成瘾等心理健康问题时，害怕孩子披上有心理疾病的标签而影响未来发展，因此向学校隐瞒孩子的真实问题，甚至在面对学校提供的专业援助时也不愿意配合。以上这些情况都可能成为心理健康协同育人工作顺利开展的障碍。
3.3. 协同育人的实效性能缺乏
农村留守儿童的心理健康是中央重视、社会关注的一件大事，加强农村留守儿童心理健康教育已成为当前全社会的共识。农村留守儿童作为儿童群体中特殊而又庞大的群体之一，具有独特的心理特点和需求，应针对农村留守儿童心理健康的特点，结合心理健康问题的成因机理，探索提升农村留守儿童身心健康、全面发展的有效协同育人策略。然而学校在实际开展心理健康协同育人工作时，常常会出现“一刀切”的现象，即学校与所有学生家长的协同育人内容一致，不考虑学生的身心发展特点和家庭情况，导致心理健康协同育人工作缺乏实效性。例如，学校或老师常常会根据教育部门的要求，将相关教育主题传达给家长，并不会区分农村留守儿童的认知发展特点和实际需求，制定相应的教学内容。此外，协同育人目标偏差也是导致心理健康教育协同育人工作成效较差的原因。有些教师在与家长开展心理健康合作育人工作常常是在发现农村留守儿童出现心理健康问题之后，这种心理健康协同育人工作的滞后性偏离了心理健康协同育人注重提升心理素质、促进人格全面发展这一积极目标。
4. 农村留守儿童心理健康教育困境的化解路径
4.1. 加强培训，提高教师的协同育人胜任力
农村留守儿童的心理健康教育并不只是专任教师的责任，还需要全体教师和家长的共同努力。只有提升教师协同育人胜任力，才能做到“全员育人”，营造出能够促进农村留守儿童全面发展健康成长的良好氛围。提升教师协同育人胜任力，为农村留守儿童心理健康教育提质增效可以从以下两个方面发力：第一，重视引导教师的协同育人理念更新。教师是学校和家长沟通的桥梁和纽带，在协同育人工作中扮演着至关重要的角色，对协同育人的认知水平决定了他们开展协同育人工作的积极性和效率。基于此，学校应该明确教师的协同育人责任，建立健全协同育人培养体系，并将心理健康教育纳入协同育人培训计划，以此提高教师对心理健康专业知识的积累。同时还应该完善心理健康协同育人的评价保障制度，以此来提高教师的主动性和积极性。第二，重视培养教师的示范、启发、合作能力。心理健康教育协同育人工作顺利开展的基础是教师与家长之间形成良性双向的互动。农村留守儿童的家长因长期与孩子分离，可能对孩子身心状况和日常表现了解不多，对心理健康教育的重视程度不够，因此在与家长开展心理健康协同育人的工作中需要能示范、懂启发、善合作的教师，这样才能帮助家长消除教育偏见，激发家长承担教育责任的主动性。
4.2. 加强指导，提高家长的心理健康育人水平
提升农村留守儿童心理素质、促进人格全面发展方面，需要强化家长承担孩子心理健康教育的责任意识，提高家长的心理健康育人能力，提升家长协同学校开展心理健康教育的主动性。具体可以从两个方面开展：第一，加强家庭教育指导服务，提升家长的育人意识。可以通过家长会、学校开放日、家长群、微信公众号等多种途径向农村留守儿童家长宣传心理健康的基础知识，普及心理健康教育的基本技能。这不仅有助于提升农村留守儿童家长的心理健康教育责任意识，还能够教会他们一些心理保健知识，提高他们预防、识别和干预孩子心理健康问题的能力。第二，学校还应通过持续的家校沟通，为不同留守家庭提供个性化的指导。这种协同育人方式能够根据不同留守家庭的独特需求提供有针对性的支持，帮助农村留守儿童家长在面对孩子的心理健康问题时，能够做出更加明智和有效的决策。
4.3. 立足实践，提升协同育人的实效性
开展科学有效的心理健康教育，促进农村留守儿童健康全面发展，需要明晰他们可能出现的心理健康问题的主因和机制，并以此为基础制定相应的预防和干预策略，为学校开展高水平的心理健康协同育人工作提供科学指导。具体可以从两个方面开展：一是系统开展科学调研，总结农村留守儿童心理健康的特点。学校组织专业力量针对农村留守儿童抑郁、焦虑、学业倦怠、网络成瘾、自伤行为等突出心理健康问题，开展系列专题研究。通过问卷调查法、访谈法等多种方式收集相关资料，分析农村留守儿童心理健康问题的成因机制，帮助教师在掌握大量事实资料的基础上，开展有针对性的心理健康协同育人工作。二是不断总结预防与干预策略效果，提炼形成系统解决方案。要达到有效预防和干预农村留守儿童心理健康问题的目的，应充分考虑农村留守儿童的现实需要及身心发展特点，针对他们心理健康问题的特点及心理需要，开发与总结系列预防与干预方案，最终探索出符合农村留守儿童心理特点与发展需求的协同育人模式，提升协同育人工作的实效性。
基金项目
本项目受到2023年度江苏省教育科学规划课题(编号：C/2023/01/68)和江苏省中小学教学研究第十五期课题(编号：2023JY15-GX-L03)的资助。
短视频营销对用户心理的影响研究——基于使用与满足理论
作者: 林子琴：上海理工大学出版学院，上海
关键词: 短视频营销；用户心理；使用与满足理论；
摘要: 在数字媒介重塑消费生态的背景下，短视频营销凭借碎片化渗透、多感官触发与精准化连接，成为品牌触达用户的核心战场。本研究基于使用与满足理论(U&G)，系统解析用户通过短视频主动寻求认知探索、情感归属与使用获得感的内在动机，揭示营销信息从“被动接收”向“主动满足工具”的范式转变。研究指出，短视频营销通过三大机制重构用户价值：其一，碎片化传播机制以秒级叙事与算法推荐实现精准触达；其二，隐性内容策略通过情感渗透、知识增值与福利驱动实现柔性说服；其三，平台生态协同依托智能分发、无缝交易与热点共创构建品效合一的闭环。研究进一步发现，技术赋能(AR/VR、AI)、价值升维(从流量攫取到精神共鸣)及信任生态共建构成未来趋势。最终提出情感共鸣驱动内容、智能技术赋能体验、长效运营用户生态的实施策略，强调品牌需深度融入用户心理需求，构建“情感–知识–行动”三位一体的价值闭环。
文章引用：林子琴 (2025). 短视频营销对用户心理的影响研究——基于使用与满足理论. 心理学进展, 15(8), 96-101. https://doi.org/10.12677/ap.2025.158452
1. 引言
截至2024年12月，我国短视频用户规模达10.40亿人(光明网，2025)，其中82.5%的中国网民表示经常浏览短视频(艾媒智库，2025)。在数字媒介深刻重塑消费生态的当下，短视频营销以其碎片化渗透、多感官触发与精准化连接的特性，成为品牌触及用户心智的核心战场。这一浪潮不仅革新了信息传播的底层逻辑，更通过算法驱动的内容生态重构了用户需求与商业价值的交互模式。传统营销的线性触达路径被颠覆，取而代之的是以即时互动、情感共鸣与场景化体验为轴心的动态价值网络。在此背景下，“使用与满足理论”为解析用户行为提供了关键视角——当短视频从“被动接收渠道”蜕变为“主动需求满足工具”，用户的心理动机、情感诉求与认知模式正经历系统性演变。本研究立足该理论框架，深入剖析短视频营销如何通过技术赋能、内容升维与生态协同，驱动用户从认知探索到行为转化的全链路心理响应，为品牌构建可持续的用户价值提供理论锚点。
2. 相关理论
使用与满足理论作为传播学经典范式(郭庆光，2011)，聚焦于受众的主动性及其心理社会需求驱动下的媒介使用行为。该理论萌芽于二十世纪四十年代，经卡茨(E. Katz)等学者于七十年代系统化建构，其核心贡献在于提出媒介接触的动态因果模型：“心理社会动因→媒介期待→媒介选择→需求满足”。它摒弃了受众被动论，强调个体为满足认知(获取信息与理解)、情感(寻求愉悦体验)、个人整合(建立自我认同)、社会整合(强化社会纽带)及压力缓释(情感宣泄与逃避)等内在动机，主动寻求并接触特定媒介内容以实现心理效用。
新媒体语境下，短视频形态的兴起为该理论注入了新的时代内涵。区别于传统媒介，短视频具备碎片化传播、强感官刺激与即时互动等特质，深刻改变了受众满足需求的路径与效率。其丰富多元的符号表达与实时反馈机制，天然适配用户对即时情感释放、高效社交参与及快速压力疏解的需求。用户不再单向接收信息，而是通过点赞、评论、分享等互动行为深度参与内容共创，使得“媒介使用”环节衍生出更强的参与感与掌控感，从而强化了需求满足的深度与广度。
在短视频营销场景中，这一理论视角尤为重要。品牌内容通过契合用户潜在心理诉求(如情感共鸣、身份认同或社交货币获取) (Pulizzi & Barrett, 2009)，被主动纳入其媒介选择范畴。用户接触营销信息的过程，本质上是其主动寻求特定心理满足的外化表现。同时，短视频平台创造的沉浸式体验环境，进一步放大了内容的情感渗透力与价值传递效能，使得营销信息更易转化为深层次的心理认同与行为驱动力。因此，理解短视频如何重构受众“需求–满足”的实现机制，是解析其对用户心理影响的关键理论支点。
3. 短视频营销的核心机制与价值
3.1. 传播机制革新：碎片化时代的精准触达系统
短视频以秒级叙事重构信息传递逻辑，形成高效流量捕获网络(高燕，2019)。其核心价值在于完美适配现代社会的碎片化场景，用户可在通勤、等候等时间间隙完成内容消费，大幅降低信息获取门槛。强烈的视觉冲击与情绪感染力构成传播引擎，动态画面配合音乐特效激发多感官体验，突破传统媒介的认知壁垒。社交裂变机制则赋予其病毒式扩散能力，用户通过点赞、评论、转发深度参与传播链条，使品牌信息依托人际关系网络实现指数级覆盖。这种机制有效解决了信息过载时代的触达困境，将商业信息精准嵌入用户注意力窗口。例如抖音的算法推荐系统，通过分析用户停留时长、互动频次等行为数据，持续优化内容分发精度，使优质内容自动流向高潜客群，构建了动态优化的流量分配生态。
3.2. 内容策略进化：隐性说服的价值传递革命
广告形态正经历从硬性灌输到柔性渗透的质变升级。情感渗透型内容通过微型剧情构建沉浸场景，将产品诉求融入生活叙事，利用共情效应消解受众心理防线。知识增值型策略依托垂直领域创作者的专业背书，在美妆教程、科技测评等实用内容中自然植入商品信息，建立可信赖的决策支持系统。福利驱动模式则通过企业号直连消费者，限时折扣与趣味内容结合，激活价格敏感性与娱乐冲动。这种策略的本质是重构商业信息的价值坐标——当广告转化为可消费的内容产品，用户从被动接收者变为主动追寻者。典型案例如科普类短视频“柴知道”，将生僻知识转化为趣味动画，在收获千万粉丝的同时，为合作品牌赋予知识赋能的光环效应，印证了内容价值化的商业效能。
3.3. 平台生态协同：品效合一的闭环转化架构
技术生态的深度整合构建了完整的商业转化链条。智能分发系统构成生态基石，基于深度学习算法解析用户行为轨迹，实现广告的千人千面精准推送(张杨，陈小燕，2025)。抖音的推荐系统每日处理千亿级视频特征，通过预测模型实时优化内容匹配，确保信息在兴趣圈层高效流转。交易链路的无缝衔接是关键突破，购物车嵌入、直播间跳转等功能消除消费断点，用户从内容沉浸到下单决策仅需三次点击，印证了“即看即买”模式的商业潜力。热点响应机制则赋予营销动态生命力，品牌借势发起创意挑战激活用户共创，形成内容裂变与商业曝光的共振效应。这种“内容–流量–交易”三位一体的闭环，重构了传统营销的线性路径，使品牌传播与销售转化在同场景即时完成。
4. 用户心理洞察：短视频驱动的核心引擎
4.1. 未知牵引力：激发认知探索的本能
人类天性中对新奇事物的追寻是行为深层引擎。短视频通过设置认知缺口(如悬念标题、非常规画面)激活受众的探索欲。科普账号“无穷小亮”凭借“网络热传生物鉴定”系列成功突围：模糊的生物局部特写开场引发猜测，专业解读逐步揭晓答案，满足知识获取渴望。护肤账号“骆王宇”以“颠覆常识”为标签解析成分原理，将晦涩知识转化为视觉实验(如紫外线相机演示防晒效果)，使硬核内容产生磁石效应。其核心在于将用户从被动接收者转变为主动解谜者，在探索中获得认知满足。
4.2. 情绪共振场：构建情感归属的纽带
短视频通过叙事激发深层情绪共鸣，建立超越交易的信任连接(肖珺，郭苏南，2020)。国风博主“垫底辣孩”的“国际大牌中国化”变装系列，以强烈的视觉反差传递文化自信，唤起年轻群体的身份认同。此类内容激活大脑镜像神经元，使观众产生“感同身受”的体验——其话题播放量累计破20亿次，证明情感链接的传播势能。母婴品牌“年糕妈妈”聚焦育儿焦虑，用真实场景还原新手父母的困境(如婴儿哭闹彻夜无眠)，再提供解决方案。这种“痛点共情–方案给予”模式让用户产生“被懂得”的归属感，评论区高频出现“这就是我”的认同表达。情绪共振的本质是价值认同，当内容与用户核心信念(如家庭、公平、梦想)同频，品牌便嵌入其精神世界。
4.3. 实用获得感：兑现行为转化的价值
用户期待在碎片时间里获取可量化的收益，包括知识增益、社交资本或实际优惠。在消费领域，短视频则为撬动购买决策的高效杠杆。头部主播通过“极致优惠 + 场景化演示”直接刺激消费行为。李佳琦直播间2025年“618”大促战报显示(电子商务研究中心，2025)，李佳琦直播间预售首日美妆GMV达25~35亿元，62个品牌GMV超千万，5个品牌GMV过亿，首小时加购GMV同比增长超10%。用户在此类内容中获得的“经济获得感”直接且可量化。
5. 短视频营销的发展
5.1. 价值内核升维：从流量攫取到精神共鸣
用户对空洞娱乐化内容的免疫性增强，倒逼营销向价值深度迁移。品牌通过知识赋能、美学叙事与真实场景，将产品转化为精神载体(孙正辉，郑建萍，王有为，2023)。科普创作者“无穷小亮”将《博物》杂志周边植入生物知识解析，用户因对其专业性的信任而主动接纳推广，实现科普价值与商业诉求的无缝嫁接；哔哩哔哩博主“艺术菜花”为阿玛尼红丝绒唇釉定制短片《受伤的天鹅和她的红丝绒》，以电影级运镜和隐喻叙事(如黑白色调象征自我封闭，红丝绒代表勇气)讲述女性突破心理枷锁的故事，产品仅结尾闪现五秒，却因承载“自信重生”的价值观引发全网共鸣，弹幕刷屏“广告天花板”。此类内容超越商品功能，成为用户情感投射的媒介——正如欧阳娜娜在小红书分享日常穿搭时自然露出护肤品，粉丝因认同其“真实生活方式”而主动求购同款，人设化种草替代了硬性推销。价值升维的本质，是将广告重构为有意义的“文化产品”。
5.2. 技术沉浸革命：从单向传播到多维交互
5G大宽带与人工智能算法彻底重构用户参与形式。AR技术率先打破体验壁垒：国货美妆品牌“完美日记”推出动态试妆滤镜，用户观看口红推广视频时可实时激活摄像头，虚拟上妆效果叠加真实面部，点击屏幕即可跳转下单，完成“种草–体验–转化”闭环；算法驱动的精准触达则深度解构个体需求，抖音通过行为数据分析(如用户反复观看烘焙视频)，向家庭主妇推送嵌入“凯度蒸烤箱”使用技巧的软性内容，将产品卖点转化为解决方案；面对同质化困局，微短剧形态成为破局利器——2023年爆款短剧《二十九》在抖音获24亿播放量，剧中职场女性逆袭故事里，唯品会服饰、顾家家居等品牌随剧情自然露出，观众在共情角色命运时潜移默化接受品牌理念。技术在此不仅是工具，更是重塑消费旅程的神经中枢，未来VR虚拟探店、AI个性化剧情生成将进一步模糊广告与体验的边界。
5.3. 信任生态重构：从野蛮生长到规则共治
虚假种草、数据造假等乱象倒逼监管与平台协同进化(吕嘉禾，2021)。法规刚性约束强化信息透明度：中国《广告法》要求推广内容明确标注“广告”标识，小红书、B站均在视频封面添加“合作”“赞助”提示(如“艺术菜花”短片开头醒目标注“与阿玛尼品牌合作”)，剥离伪装性信息；平台自治机制持续升级：小红书“啄木鸟计划”通过AI识别 + 人工复核；抖音组建审核团队封禁“三天美白”类夸大宣传，并对贩卖焦虑的标题党(如《不抗衰就是等老！》)限流处理；行业自律则推动价值回归。信任生态的重建，标志着行业从流量赌博转向可持续的价值交换。
6. 短视频营销的实施策略
6.1. 情感共鸣驱动内容内核
短视频营销的核心在于建立深层连接。摒弃生硬推销，需从受众视角挖掘真实痛点与渴望，以真实故事、温暖叙事或积极体验为载体，激发情感共振(段鹏，2022)。例如，通过凝练的60~180秒微叙事，结合精准音乐、画面与角色演绎，传递品牌温度。关键在于前三秒制造吸引力“钩子”，并设计互动环节(如开放式结局、情感话题征集)，让用户从观看者转化为参与者与传播者。同时，严格避免虚假夸大，以真诚沟通建立信任。创作者应深入调研目标人群的价值观与精神需求，确保内容与其心灵“同频”，使品牌内涵自然浸润用户心智。
6.2. 智能技术赋能沉浸体验
借力前沿技术重塑感官维度，是突破信息洪流的关键。融合AR/VR构建虚拟场景，用户可“亲身”体验产品功能(如虚拟试妆、360˚看房)，大幅提升信息传递效率。运用AI驱动的动态影像合成与高精度虚拟人像(如“柳夜熙”)，打造电影级视觉奇观，强化沉浸感与记忆点。大数据则实现“千人千面”的定向触达(张生太，杨阳，袁艺玮等，2024)，分析用户碎片化行为轨迹，精准推送契合其兴趣标签与场景需求的个性化内容，避免冗余干扰。例如，抖音的算法推荐可将美妆教程精准覆盖彩妆爱好者，健身指南直达运动人群。技术需遵循“科技向善”——在保障隐私前提下优化体验，过度追踪将引发信任危机。
6.3. 长效价值运营用户生态
超越热点追逐，构建可持续用户关系是制胜之道(Lin, Yao, & Chen, 2021)。首先，实施精细化分层策略：依据人口特征(年龄、性别)、心理偏好(生活方式、价值观)及行为数据(互动频次、消费力)，定制内容矩阵。针对银发群体，联合权威KOL推出产品使用指南，化解数字鸿沟；面向女性用户，借力时尚博主传递美学情感，激发身份认同；为价格敏感人群设计限时福利与实用测评。其次，打造高复用“价值资产”：如小红书“合集推荐”式教程，持续解决用户问题并积累搜索流量。最后，构建动态优化闭环：监测完播率、互动热力图等数据，结合评论语义分析，持续迭代叙事节奏与视觉表达，使内容如活水常新。
7. 结语
短视频营销的进化本质是一场关于用户价值的深度革命。研究揭示，在“使用与满足”理论框架下，成功的营销实践已超越流量攫取的表层逻辑，转向对用户认知探索欲、情感归属感与实用获得感的系统性满足。品牌需把握三大核心趋势：内容价值升维(从信息传递到精神共鸣)、技术体验重构(从单向传播到多维交互)、信任生态共建(从野蛮生长到规则共治)。未来，随着AI与沉浸技术发展，短视频营销将进一步模糊广告与体验的边界，但核心竞争壁垒仍在于能否以用户心理需求为原点，构建“情感–知识–行动”三位一体的价值闭环。唯有将品牌诉求深度融入用户的意义追寻与社交认同中，方能在注意力稀缺时代实现心智资源的可持续占领。这要求从业者既需借力智能工具提升精准触达效率，更需回归人性洞察，以真诚与创造力重构品牌与用户的关系生态。
班主任提升中学生心理韧性的实践研究——以传承中华优秀传统文化为视角
作者: 林爱娟, 纪志娜, 赵洪宇, 王 帅：天津市南开中学，天津
关键词: 心理韧性；中华优秀传统文化；中学生；主题班会；
摘要: 本文主要分析了当前天津市N中学的学生心理韧性现状，探究了班主任以中华优秀传统文化为视角，提升中学生心理韧性的意义，从深挖校史资源、精心策划开展班会、检验班会效果和注重家校合力等四个方面，探索班主任以中华优秀传统文化教育的路径，达到提升中学生心理韧性的目的，以期为学校的班级管理工作做贡献。
文章引用：林爱娟, 纪志娜, 赵洪宇, 王帅 (2025). 班主任提升中学生心理韧性的实践研究——以传承中华优秀传统文化为视角. 心理学进展, 15(8), 67-73. https://doi.org/10.12677/ap.2025.158448
1. 当前天津市N中学的学生心理韧性现状
中国学生发展核心素养的内涵和指标，具体分为文化基础、自主发展、社会参与3个方面，综合表现为人文底蕴、科学精神、学会学习、健康生活、责任担当、实践创新等六大素养。新一轮的教育改革也提出了培养学生核心素养的目标和任务，健康积极、具备高度韧性的心理状态无疑是学生长期发展所不可或缺的要素。
心理韧性作为个体应对逆境的核心心理能力，已发展为包含多重维度的科学概念。清华大学彭凯平教授将其定义为“从逆境、矛盾、失败中恢复常态的能力”，这一概念包含三个关键层次：
(1) 复原力：指个体在痛苦、挫折后回归正常状态的内在弹性，如同熟牛皮被揉搓后恢复原状的特性；
(2) 抗压力：体现为“耐磨力与内驱力”，使个体在持续压力下保持稳定状态；
(3) 创伤后成长力：指个体不仅从创伤中恢复，更能实现超越性发展的能力，即“反脆弱力”。
现代心理学研究进一步揭示了心理韧性的四维结构(4C模型)：
承诺(Commitment)：克服困难完成任务的坚持力
挑战(Challenge)：将压力视为成长机会的转化力
控制(Control)：对情绪和生活的自主调控力
信心(Confidence)：基于能力的自我效能感
对中学生群体而言，心理韧性呈现出独特的发展特征。广西大学徐明津的研究表明，中学生心理韧性由目标控制、问题解决、自我效能、社会交往与乐观五个维度构成，其形成过程显著受性别、年级、留守经历等人口学变量影响。这一发展特性提示我们，中学生心理韧性教育需采取差异化、阶段性的策略，而中华优秀传统文化中丰富的修身智慧恰恰提供了适应不同发展需求的资源。
针对当前中学生客观存在的特点，天津市N中学开展中学生心理韧性的问卷调查工作，我们运用《青少年心理韧性量表》测量工具，选取天津市四所学校的共计1877名学生作为样本，主要采用调查问卷进行，通过分类统计法、交叉分析法和TAGUL-word cloud art (文字云生成系统)对调查结果进行分析。本次调查问卷，采取网络问卷和纸质问卷相结合的方式展开，四所学校分别为市内重点高中、市内普通初中、郊区普通初中和普通高中。样本层次丰富，具有一定代表性，任教班主任包括语文、数学、英语、物理、化学、生物、地理、历史、政治等科目的任课教师，研究团队包括德育、心理等方面的专业指导教师，力求数据的真实、广泛和全面。
Garmezy (1984)研究中提出了心理韧性模型，Kumpfer (1999)发现个体可以通过知觉再整合转变的方式，增强心理韧性品质。在国内中学生心理韧性的研究热点中，骆平(2013)指出高中生知觉与教师期望、竞争态度之间的密切关系。孙浩(2018)聚焦到青少年父母教养与焦虑的关系，强调要依托基本心理需要满足和心理韧性的多重中介。程发宏，高玉萍，刘兴辉(2021)关注心理弹性对青少年情绪体验的影响，并提出了青少年情绪调节建议和策略。
本次调查研究主要分为设计及修订调查问卷；调查实施；数据统计分析及总结三个阶段。第一阶段，我们研究分析《青少年心理韧性量表》结合学生在日常学习、生活中可能涉及的方面，将其细化为28个具体问题，加以调查和考量。第二阶段即确定调查对象，开展调查及问卷回收。第三阶段通过“问卷星”系统和TAGUL-word cloud art (文字云生成系统)，对所得数据进行分类统计及交叉分析，调查发现：高中生心理韧性发展与初中生的心理韧性发展相比，水平更高。初中和高中学生除情绪控制外，积极认知、家庭支持、目标专注和人际协助4个维度4个因子的平均得分基本大于3分。
数据表明大部分中学生能够积极应对困境和压力，5个维度和5个因子上，平均得分最高的是积极认知，说明中学生能够在挫折和逆境中保持比较积极的心态。
中学生处于心理波动起伏大的青春期，情绪控制能力和情绪调节能力尚处于不稳定状态，加上学业压力大，有时容易出现消极情绪。他们和父母之间有心理隔阂，和父母沟通渠道不畅。因此，家庭、学校和社会三方应重视并协同配合。
2. 班主任以中华优秀传统文化为视角，提升中学生心理韧性的意义
(一) 中华优秀传统文化是开展学生教育工作的重要资源
中华民族优秀传统文化有其独特价值和精神实质，被视为国家发展的“根本和灵魂”，是社会主义特色文化的重要来源。中华文明五千年积淀的哲学体系中蕴含着丰富的心理韧性智慧，为当代中学生心理健康教育提供了深厚的理论根基。
1、儒家思想
儒家思想作为中国传统文化的主流体系，蕴含着丰富的心理韧性资源，这些资源在个体应对逆境、维持心理平衡方面具有独特的指导价值。
(1) 天命观——超越性信念的构建
《论语·为政》中的“五十而知天命”强调对生命限度地接纳，将不可控因素归为“天命”，而将注意力聚焦于人力可及的领域(如“尽人事”)，这与现代心理学中的二分法控制理论(区分可控/不可控因素)高度契合。这样的思想可以帮助个体在挫折中避免过度自责，将失败完全归因于自身，形成适应性认知策略。
(2) 关系取向——社会支持的激活
《孟子·离娄下》中关于“仁”的诠释：“君子所以异于人者，以其存心也。君子以仁存心，以礼存心。仁者爱人，有礼者敬人。爱人者，人恒爱之；敬人者，人恒敬之。”儒家以“仁”为核心构建互惠性人际关系，通过社会联结获得支持资源。心理学研究表明，利他行为能提升催产素分泌，缓解压力反应。有研究表明汶川地震后，参与志愿服务的灾区群众PTSD发生率显著低于非志愿者。因此“仁者爱人”的利他主义是获得社会支持的重要途经。
(3) 挫折应对——逆境意义的赋予
“天将降大任于是人也，必先苦其心志，劳其筋骨，饿其体肤，空乏其身，行拂乱其所为，所以动心忍性，曾益其所不能”，孟子“生于忧患”的成长思维将苦难重构为成长的契机，这与当代创伤后成长(PTG)的理论相通，强调逆境对韧性、同理心等品质的塑造作用。
《论语·雍也》中孔子评价学生颜回“不迁怒，不贰过”，反对向外归因的受害者心态，提倡问题解决导向，这种不怨天不尤人的归因训练近似于积极心理学中的习得性乐观训练。
2、道家思想
道家思想中也蕴含着丰富的心理韧性资源，其核心理念与现代心理学中的抗逆力、情绪调节、自我成长等理论高度契合。
(1) 道法自然——顺应与接纳
道家主张的“道法自然”强调顺应自然规律，而非强行对抗。这种思想有助于个体在面对逆境时减少心理冲突，避免因过度控制感缺失而产生焦虑。现代心理学中的接纳承诺疗法(ACT)认为，接纳(而非逃避)负面情绪是心理韧性的关键。道家“无为”(不强行干预)的理念与之相通，帮助个体减少内耗，增强适应力。而面对挫折时，道家思想中的“随遇而安”，而非执着于改变不可控因素，这与积极心理学的“可控–不可控”认知调整策略一致。
(2) 柔弱胜刚强——韧性与适应性
“天下莫柔弱于水，而攻坚强者莫之能胜”，道家认为“柔弱”比“刚强”更具生命力，这种柔韧哲学强调灵活适应，而非硬性对抗。现代心理学研究显示，心理韧性高的个体更擅长认知灵活性(Cognitive Flexibility)，能根据环境调整策略。因此在职场压力或人际冲突中，道家“不争而善胜”的智慧可减少对抗性思维，转而寻求更柔和的解决方案。
(3) 祸兮福所倚——辩证思维与创伤后成长
“祸兮福所倚，福兮祸所伏”，福祸相依强调逆境中可能蕴含转机。现代创伤后成长(PTG)理论指出，部分人能在危机后发展出更强的人生意义感。道家的辩证思维帮助个体重构负面事件，减少灾难化认知。在重大挫折后，道家思想可引导个体寻找新的生命方向，而非沉溺于痛苦。这与前文所述儒家思想在应对挫折方面是有共通之处的。
3、传统艺术
中国传统艺术承载着深厚的文化底蕴，同时还蕴含着丰富的心理韧性资源，这些资源与现代心理学中的情绪调节、认知重构、压力应对等理论高度契合。
(1) 书法与绘画——专注情绪调节
书法强调“心正笔正”，通过运笔的节奏(如提按顿挫)进入心流状态(Flow)，现代心理学证实，心流体验能提升专注力，显著降低焦虑。
中国画的留白艺术隐喻“以无胜有”的境界，培养人们对不确定性的接纳能力，类似接纳承诺疗法(ACT)的认知解离技术。
(2) 古琴与音乐——情绪疏导与身心平衡
古琴曲《流水》《平沙落雁》通过五音(宫商角徵羽)调节情绪，现代研究显示，特定频率的音乐能激活副交感神经，降低皮质醇水平。而弹琴前的“调息”仪式近似正念冥想，EEG监测显示可增强α波(放松状态)。
基于丰富的传统文化沃土，我们逐步构建出班主任提升中学生心理韧性的实践研究，包括：儒家、道家哲学为根基的思想理念；古典文学与艺术为媒介的调节形式；弘扬社会道德和民族楷模的价值观念。
(二) 传统文化中心理韧性因子的作用机制
基于跨学科研究，我们构建了“认知重塑–情绪调节–行为强化–价值锚定”四环节作用模型，系统阐释传统文化对心理韧性的培育机制。
1、认知与情绪调节机制
传统文化通过双重路径优化个体的认知情绪系统：
意义建构系统：《周易》“明夷卦”启示黑暗终将过去，这种隐喻性思维帮助王阳明在贬谪困境中重建希望。苏东坡“一蓑烟雨任平生”的豁达，展现将挫折审美化的认知转换力。
情绪调节技术：传统“478呼吸法”(吸气4秒、屏息7秒、呼气8秒)通过生理节律调节快速缓解焦虑；“传统纹样填色绘画疗愈法”则利用艺术表达整合情绪。
2、行为强化与价值认同机制
传统文化通过仪式化实践与价值内化实现韧性行为的持续强化。
仪式化行为训练：我校运动会火棒操等集体运动的节奏训练通过同步化动作增强社会联结；书法比赛中的“笔笔不苟”培养延迟满足能力。
价值内化系统：“仁义礼智信”核心价值提供道德韧性，使个体在价值冲突中保持定力。
(三) 班主任以中华优秀传统文化为视角，提升中学生心理韧性的意义
通过学习中华优秀传统文化，有助于增强中学生对民族文化的自信心和自豪感，提高自身的社会责任感与使命感，更加认同个人价值，实现提高个人心理韧性的目的。
提高中学生心理健康教育课程的教学效能，以中华优秀传统文化为指导的心理健康教育主题班会课程设计，有利于整合课程内容与教学目标，有利于丰富心理健康教育的内容，有利于改善心理健康教育的主客体关系，有利于拓宽心理健康教育的渠道。
班主任提升中学生心理韧性的教育教学经验，可为家校合作和促进学生心理健康水平提供了有效途径，也为中学生心理健康教育提供了实践支持。
3. 班主任以传承中华优秀传统文化为视角提升中学生的心理韧性的实践策略
(一) 深挖校史资源，学习优秀校友的高尚品德和崇高理想
调查中发现，天津市N中学学生心理韧性明显高于其他样本校学生水平。深入调查得知，天津市N中学重视爱国教育，在一百余年的校史中，涌现出无数对国家和社会做出巨大贡献的伟人和科学家。班主任发掘校史资源，讲好校史故事，发扬学校作风，传承学校精神。为中学生指引前进的道路，学习优秀校友身上所体现的中华传统美德，如爱国图强、重德修身、尊师亲友、担当有为、自强不息、敬业乐群、扶危济困、见义勇为、孝老爱亲等。引导学生以校友为榜样，提高积极认知、管理消极情绪，提升积极情绪，强化家庭支持、同伴支持和目标专注的重要性，审视个人价值，找到人生的意义。
(二) 精心策划和开展班会，形成较为完备的主题班会体系
班会课是班主任开展学生思想政治教育和心理健康教育的主阵地，班主任应精心规划，建构主题课程，引领学生思想，规范学生行为。主题班会课程要广泛应用中华优秀传统文化的经典人物、经典故事和经典文学，倡导学生探究性学习，以学生为主体，做到知信行统一。
中华优秀传统文化分为国家层面、社会层面和个人层面，主要表现为家国情怀、社会关爱、个人修养三方面。国内学者肖楠和张建新在前辈学者的研究基础上，用坚韧性、力量性和乐观性三个维度来测量心理韧性水平。综上，班会的主题框架可以围绕“家国情怀”、“社会关爱”、“个人修养”、“坚韧性”、“力量性”和“乐观性”等6个关键词进行建构，建构系列主题班会课程。
从中华优秀传统文化中的“家国情怀”层面，我们策划并开展了以下3节主题班会课程，借以提升中学生的坚韧性、力量性和乐观性。如《民族复兴，任重道远，中学生应学会负重致远》《天下兴亡、匹夫有责，中学生要强化“强国有我”的担当意识》《国家自豪感引领个人成长，我对中国梦的实现充满信心》等。
从中华优秀传统文化“社会关爱”层面，我们安排了3节主题班会课程，如《允公允能，回馈社会，积跬步方能致千里》《仁爱共济，立己达人，学会推己及人方能构建和谐社会》《崇正义，尚和合，求大同，培育向上向善的中华人文精神》等。
从中华优秀传统文化“个人修养”层面，我们开展了《自强不息，越挫越勇，中学生要学会傲雪凌霜、不惧风雪》《修身齐家治国平天下要从我做起》《厚德载物，宽容大度，学会运用情绪ABC理论》等3节主题班会课程。
针对不同学段，需要运用不同的班主任工作技巧和方法，中华优秀传统文化中的家国情怀和社会关爱内容更适合高中学段，个人修养内容更适合初中学段。
此外，班会不仅在校内、在课堂，还应在社会、在实践。N中学的“义工制”社区服务课程帮助学生尽早的接触社会、体验社会。“义工制”社区服务课程制定了《天津市N中学“义工制”课程标准》，使社区服务具有了自己独特的、相对固定的、实实在在的核心内容和教育目标，规范了“义工制”社区服务课程的开展。“义工制”规定每名学生全年要完成50个小时的义工服务，要求班班有基地，人人有岗位。学生在此实践活动中，接触社会、认识社会、服务社会，切实感受到自身对社会的那份责任，加深了自己对社会的一些了解，提高了办事的勇气和解决问题的能力。
(三) 丰富评价方式，检验主题班会课的效果
在主题班会课上，首先要确立学生的主体地位，把课堂交给学生。其次要创设接地气的情境，采用小组汇报、情景表演、辩论赛等形式，调动学生的积极性，使他们养成独立思考、积极探索、不怕吃苦、不畏困难的学习习惯。同时还要运用课堂讨论法，活跃课堂氛围，丰富教学内容，丰富主题班会课程的评价方式，采用教师激励性评价和组内自评、组外互评统一的方式，及时对主题班会课的成果进行反馈，检验主题班会课对中学生的传统文化素养和心理韧性的提升作用。
另外，每次主题班会课程结束后，对学生发放主题班会系列反馈表，计算每次课后所有成员在五个问题上的满意度。结果显示，在五个反馈问题方面，九次主题班会课的满意度均高于72%，其中，在“这次班会是否贴近你的生活？”“老师的引导你是否满意？”“班会课中你是否感受到积极能量？”“你是否能够用中华优秀传统文化来提升自己的心理韧性？”这四个问题上，学生反馈的满意度均高于81%。在“是否对你产生影响？”题目上，学生满意度从72.25%上升到90.75%。整体上，学生对九次主题班会课程的满意度较为良好。
(四) 注重家校合力，助力提升中学生心理韧性
班主任要注重家校合力，适时召开家长会，向家长宣传中华优秀传统文化中的积极因素，分享优秀校友的高尚品德和崇高精神等相关故事，让家长和孩子共同体验中华优秀传统文化的力量，学习爱国、勤劳、孝顺、担当、宽容、感恩、友善、诚信等积极向上的品质，引导家长力争当孩子成长路上的优秀引路人。
班主任要完善家校沟通交流平台，在班级公众号、家长微信群、QQ群等自媒体平台，及时展现学生学习中华优秀传统文化提高心理韧性的心路历程和收获，提高家长对学校工作的关注度和支持度，使家长能够在家庭环境中延续主题教育，助力孩子健康成长。
4. 结语
中学生正处于人生发展的一个重要阶段，心理变化显著，但是可塑性强，班主任要巧妙借用中华优秀传统文化的教育路径，深挖校史资源，引导中学生感悟中华优秀传统文化的博大精深和深远厚重、感受校友身上的积极力量。班主任要不断创新教育的形式，丰富教育内容，培养出有中华优秀传统文化责任感和担当精神的青年，引导他们在面对困难和挫折时要无惧风雪，以坚强、坚韧和乐观的态度面对。班主任要依托于主题班会课程，注重家校合力，在传承的基础上不断创新，用中华优秀传统文化的正能量去激励和鼓舞中学生，提高他们的心理韧性，为培育社会主义的合格建设者和接班人不懈奋斗。
基金项目
本文系2022年度天津市教委科研计划专项任务项目(心理健康教育)重点课题“班主任提升中学生心理韧性的实践研究——以传承中华优秀传统文化视角”(项目编号：2022ZDZXX17)的研究成果之一。
创造性课程模式对我国幼儿园家园合作实践路径的启示
作者: 邓 甜：武汉东湖学院教育与外国语学院，湖北 武汉
关键词: 创造性课程；幼儿园；家园合作；家园共育；
摘要: 目前我国幼儿园的家园合作还存在着很多问题，如幼儿园和家庭的角色定位不清晰，家庭、社区的教育资源利用不足等，这些都严重桎梏着我国家园合作的进一步发展。本研究通过文献研究和其他资料的梳理，从生态系统理论的视角解析了创造性课程中关于家园合作的具体沟通方法和实施措施，探讨该模式在我国本土化实践中可能遇到的不同挑战。并从生态系统理论的微观系统、中间系统和外观系统，这三个方面提出了启发性的建议。
文章引用：邓甜. 创造性课程模式对我国幼儿园家园合作实践路径的启示[J]. 教育进展, 2025, 15(8): 1120-1125. https://doi.org/10.12677/ae.2025.1581554
1. 引言
2025年6月1日起实行的《中华人民共和国学前教育法》明确提出，作为已入园的接受学前教育的儿童家长，应该积极践行预先告知和积极配合幼儿园的责任，形成家园互信的伙伴关系，共同促进幼儿的成长[1]。家园合作作为保障学前儿童权益的核心机制，在法律中被系统化规范。在幼儿教育领域，创造性课程以“家庭参与”为核心依托，强调幼儿园与家庭形成教育合力。这种合作模式并非简单的互动，而是通过系统性的策略构建伙伴关系，共同支持幼儿的全面发展。布朗芬布伦纳的生态系统理论将个体发展置于相互嵌套的生态系统中，创造性课程的家园合作模式之所以能有效运行，正是因其契合了各系统层面的互动规律。本研究将从生态系统理论的视角解析创造性课程成功的生态因素，探讨该模式在我国本土化实践中可能遇到的不同系统层面的阻力，并提出我国幼儿园家园合作模式的改进路径。
为了更直观地了解创造性课程理念在我国幼儿园家园合作中的实践情况，本研究选取了武汉市某幼儿园进行个案研究。该幼儿园自2024年起尝试借鉴创造性课程中的家园合作理念，开展了一系列相关实践活动。本研究通过对该幼儿园的园长、教师进行访谈，与部分家长进行交流，并对幼儿园的日常家园合作活动进行观察，持续关注该园的做法和所获效果。从访谈中了解到，园长和教师们都非常认可创造性课程的家园合作理念，并积极在园内进行实践。如小班李老师在班级入口处设置了亲子合照墙；中班张老师邀请班上一位做烘焙师的家长来园教幼儿制作简单的小饼干；大班刘老师积极组织家长和班上幼儿在社区开展“春日集市”活动。这些做法不仅获得了家长的认可，也增强了家长对幼儿园的归属感。通过这个案例可以看出，创造性课程的家园合作理念在我国幼儿园的实践中是可行的，并且能够取得良好的效果，这也让本研究更具现实意义和可操作性。
2. 创造性课程中的家园合作模式
2.1. 注重个体互动的动态平衡
生态系统理论中的微观系统关注个体直接接触的环境及互动关系，包括幼儿的家庭、所在幼儿园和同伴关系。对幼儿来说，幼儿园是除家庭以外对其影响最大的微观系统。
首先，创造性课程中，教师与家长的高频互动形成了动态平衡的微观生态。通过记住家长姓名、关注家庭独特背景等个性化沟通，教师与家长建立了情感联结，这种联结使双方在教育决策中能保持积极互动。如同了解每一位幼儿的独特性，认识并欣赏每个家庭的差异，是家园合作的前提。家庭在家长个性、生活经验、文化背景等方面存在显著不同，若教师以单一方式与所有家庭互动，只能触达少数群体。因此，从影响幼儿发展的微观系统出发，接纳家庭的差异化、因材施教式沟通，是建立广泛良好关系的关键[2]。
另外，创造性课程也强调关注教师自身的微观环境系统。在认识家庭之前，教师能先回想自己在成长中得到的概念，以及自己从家庭与社区里所累积的经验，并认清这些个人经验对教师自己的想法和行为所造成的影响，这样有助于了解家长们的回应方式和如此回应的原因并接纳他们[3]。相反如果家庭或教师总是从自己的角度去思考问题，采用自己的尺度去衡量别人，那家庭和教师之间将很难真正认识彼此，更无法接受彼此的差异。
2.2. 发挥多元环境互动的协同效应
生态系统理论的中观系统强调不同微观系统间的关联。布朗芬布伦纳认为，如果微系统之间有较强的积极的联系，发展可能实现最优化[4]。创造性课程通过建立家园伙伴关系，打通了家庭与幼儿园两个核心微观系统。
创造性课程不仅从物质环境的设计，更从心理环境的营造，最终让家长对幼儿园教室产生归属感。物质环境的创设如：入口处展示幼儿与家长的合照墙，设置带有家庭姓名的专属信箱，提供家长物品存放区与舒适的成人座椅，甚至开辟小型“家长阅读角”等。这些布置无声地传递着“家长是重要成员”的信号。心理环境的建设则更需教师的主动作为。创造性课程将所有家庭成员视为教室共同体的一部分，认为他们的参与能为课程注入独特活力。教师可通过记住家长的名字、主动询问其工作与兴趣，甚至邀请有特殊技能的家长参与教学——例如请医生家长讲解健康知识，让警察家长教授防拐卖的技能等。
当家长频繁参与幼儿园活动，家庭的教育理念与幼儿园的课程目标逐渐融合，形成一致的教育导向。这种协同效应避免了教育“内耗”，使幼儿在连贯的教育环境中健康发展。
2.3. 理性应对挑战，达成教育共识
根据生态系统理论，外观系统虽不直接作用于个体，但会通过影响微观系统间接对个体发展产生影响，它涵盖了父母的工作环境、社区资源、媒体等要素。在“创造性课程”模式中，外观系统为其成功提供了有力支撑。
从父母工作环境来看，西方一些国家实行较为灵活的工作制度，许多企业支持员工在子女幼儿园有重要活动时请假参与，这使得家长能够有充足的时间和精力投入到幼儿园的家园合作活动中。例如，当幼儿园开展亲子主题活动时，家长能较为方便地协调工作安排，积极参与其中，保障了家园合作的顺利推进。
社区资源方面，实行创造性课程的幼儿园会积极争取来自社区多元化的支持。社区内的图书馆、科技馆、公园等场所会与幼儿园建立合作关系，为家园合作活动提供场地和资源。比如，社区图书馆会专门为幼儿园的亲子阅读活动开辟区域，并提供适合幼儿阅读的书籍，让家长和孩子在良好的环境中共同学习成长，进一步强化了家园合作的效果。
3. 创造性课程模式在我国本土化实践中面临的阻力与助力
3.1. 互动模式的碰撞与调适
一方面，我国部分家长仍存在“教育是学校责任”的传统观念，参与幼儿园活动的主动性不足；教师工作繁重，难以实现高频个性化沟通。另一方面，年轻家长教育意识不断觉醒，对家园合作需求增强；越来越多的幼儿园开始借鉴“家长阅读角”“专属信箱”等物质环境设计，降低家长参与门槛，如武汉市某幼儿园的亲子合照墙就有效提升了家长归属感。
3.2. 家庭与幼儿园的协同困境
实践表明，我国幼儿园与家庭并未形成有效的合作关系来推动幼儿的学习与发展[5]。家园共育没有发挥应有作用的根本阻碍在于过于强调教育者的教育角色而忽视幼儿园教育是一种关系性存在[6]。另外，双方缺乏常态化沟通机制，易因信息差产生误解。随着《中华人民共和国学前教育法》的出台，家园合作的法律责任得以明确，为中观系统协同提供制度依据。微信群、家园共育软件等数字化工具极大优化了沟通效率，如班级群实时分享幼儿活动照片，缓解家长焦虑。
3.3. 外部资源的制约与协调
工作环境方面来看，不少家长因工作压力大，难以抽出时间参与幼儿园的活动。很多家长即便有参与意愿，也可能因工作繁忙而无奈放弃，这在一定程度上影响了家园合作的深度和广度。社区资源方面来看，资源的整合与利用存在不足，部分社区与幼儿园之间缺乏有效的沟通与合作机制，社区内的公共资源向幼儿园开放的程度较低。而随着社会的发展，一些企业开始重视员工的家庭需求，推出了弹性工作制、亲子假等福利政策，为家长参与幼儿园活动提供了时间上的可能。
4. 创造性课程对我国幼儿园家园合作实践路径的启示
4.1. 建立平等互信的微观系统关系
1) 达成家园合作共识，注重深入沟通
家长和教师对“共同促进幼儿发展”这一终极目标的认同感，是驱动双方有效合作的内在动力。正如创造性课程指出的，教师要充分认识家庭，接纳彼此的差异。只有在相互尊重和理解的前提下，教师引导家长进行坦诚的沟通，考虑彼此的差异，达成育儿共识，更好地促进家园合作的进行。
借鉴创造性课程的经验，幼儿园不仅应建立与家长的定期沟通机制，也应提高对家长行为变化的敏感度，灵活沟通形式。如教师可在家长会上，给家长全面介绍自己的教学计划，以及幼儿每天的学习内容和所获得的发展，并诚恳地请家长给自己提出建议。或者给家长制定教学计划小册子，让家长可以慢慢研究。家长也可以利用网络平台，随时随地跟老师进行沟通。教师对观察到的家长反常状态，可利用接送园的时间，当面了解家长的想法，解答家长的疑惑。不论幼儿园还是家庭，都应该珍惜和充分利用每一次的交流机会，坦诚交流，交换彼此对幼儿的学习意见，做到经常性地、及时地沟通，以便共同促进幼儿的健康发展。
2) 调整教师工作重心，提高专业水平
目前不少幼儿园因为招生或家长工作的压力，将教师的工作重心转向拍摄精美的幼儿活动照片或视频，缺乏对教师开展家长工作能力的系统培训。教师疲于应付各类琐碎事务，本末倒置，而忽视了本职工作。
创造性课程专门将老师的职责作为课程的五大要素之一，而且在发挥家庭的作用中，教师也处于主导地位。幼儿园要积极发挥专业引领作用，在专业引领中促进家长和教师的共同成长[7]。幼儿园可根据本园的实际情况，开展不同内容和形式的家园合作技能培训，提升教师家园合作的技能和水平。如，幼儿园可以根据需要，邀请学前教育工作领域的专家学者，来园所进行交流和指导活动，向幼儿教师传达最新的教育理念和方法，帮助教师将理论运用于实践。另外，幼儿园也可以定期组织教师集体培训或研讨，了解教师在家园合作方面的难点，沟通解决方案，提高教师专业水平。
4.2. 构建积极和谐的中间系统环境
1) 相互协助，共同面对挑战
家庭和幼儿园不是彼此孤立的，而是一个合作共同体，为了幼儿的和谐健康发展而联系在一起。因此，双方应共同面对挑战，相互协助。家长应将自己看作幼儿园的一份子，积极参与到幼儿园的创建中来，为幼儿园更好的发展献计献策。家长如有余力，更是可以为园所基础设施的更新，贡献自己的力量。
随着时代的变迁，人们思想观念的转变，越来越多的特殊家庭出现，如：单亲家庭、重组家庭、继父母家庭等。除了幼儿园外，幼儿大部分时间还是在家，他们受家庭的影响最多。教师的任务不仅是让家长感到被理解、被尊重、和获得支持，更为重要的是，要让家长把他们的需求表达出来，发现家长的需求和只让家长支持学校是两个不同的概念[8]。这便可以借鉴创造性课程面对挑战性的情境的做法，辨别困难家庭，不论是经济困难，还是其他方面的困难。如在实践中，幼儿园可积极构建家庭教育困境的反馈机制，通过电话沟通、定期家访、线上平台交流等方式，教师与家长深入沟通，帮助家庭解决困难，缓解家庭教育的压力。
2) 建立多元主体的网络交流平台
针对在家园合作中所存在的问题，学期教育工作者可以共同建立一个网络沟通平台如微信、QQ、家校通、或其他家园共育APP等，将教师、专家学者、家长都纳入网络体系，让大家各自发表自己在家园合作中遇到的困难，利用网络平台寻求多方面的有效建议。当然，也可以向大家分享自己的成功经验。网络的及时交流和沟通，能够让教师和家长多方面地获取相关资讯，取长补短，共同进步。
4.3. 开展幼儿园、家庭、社区三位一体、协同共育
1) 明确幼儿园、家庭、社区三方相互平等、互为主体的地位
我国幼儿园也重视家园合作，但长期以来这种合作是以幼儿园为主，家庭、家长、对幼儿园的教育起配合作用，而社区的教育作用往往被忽视。改革开放以来，随着政策法规的日益完善、理论与实践研究的不断加强，三方在幼儿发展和学前教育事业中的合力作用日益突显。在幼儿教育中，幼儿园、家庭、社区三方任何一方都不是孤立存在的，正如布朗芬布伦纳的人类发展生态模型所强调的，儿童发展受众多因素的相互制约与促进，包括家庭、教师、学校和社区等。
幼儿园、家庭、社区协同共育，是指在一定的社会背景下，由幼儿园及教师、幼儿家庭及家长、社区及社区服务人员在幼儿成长的过程中，各尽其责，各尽所能，形成教育合力，共同促进幼儿身心健康发展。其中，家庭教育是基础，幼儿园教育是主导，社区教育是家庭教育与幼儿园教育的补充，虽然三方在共育过程中所起作用不同，但三方均是地位平等、权利相当的主体[9]。
2) 构建多元化的“家–园–社”合作模式
幼儿园的资源是有限的，而对幼儿的教育内容往往又是基于幼儿的现实生活和实际现象的，幼儿园必须要充分利用家庭和社区资源才能更贴近幼儿的生活进行教学。
随着当今社会的发展和时代的进步，家园合作也越来越倾向采用“社区合作”的模式，以提高我国家园合作的质量。在创造性课程中，面对挑战性情境时，幼儿园充分利用社区的资源来帮助家庭渡过难关。如，幼儿园和家庭可以协助社区一起建立一个社区早教服务中心，方便家长之间的相互交流，并为家长提供育儿帮助。幼儿园也可以在社区举办相关的育儿活动，给社区的家庭进行专业知识的宣讲，对家长遇到的问题给予指导意见。在实践中，还可巧用资源和空间，如将社区荒废空间进行改造，打造成为幼儿园与社区的共享驿站，实现资源的高效利用与共享。这不仅加强了社区家庭间的联系，也有利于幼儿的社会化水平的发展与提高。
人工智能驱动的工商管理教学范式转型——框架构建与推进策略
作者: 杨桐彬：江苏大学管理学院，江苏 镇江
关键词: 人工智能；工商管理；教学范式；
摘要: 数字时代教育供给侧改革有待发挥人工智能对工商管理教学范式转型的驱动作用。本文构建“知识–实践–评价–生态”四层框架，揭示范式转型的内在规律，即动态知识网络通过产业数据映射与跨学科重组实现教学与商业实践的零时差对接，虚实融合场景以高保真仿真与人机博弈训练学生复杂决策与颠覆创新能力，智能评估体系依托多模态数据实现过程赋能的机制革新，开放教育生态通过数据互通与价值共享打通产教壁垒。然而，范式转型仍面临诸多挑战，有待进一步系统优化动态知识网络、集成设计虚实融合场景、规范建设智能评估体系、协同构建开放教育生态。
文章引用：杨桐彬. 人工智能驱动的工商管理教学范式转型——框架构建与推进策略[J]. 教育进展, 2025, 15(8): 1105-1112. https://doi.org/10.12677/ae.2025.1581552
1. 引言
人工智能技术的迭代正在重塑全球商业运行逻辑，推动企业对管理人才的核心能力需求发生结构性变革。传统工商管理教育模式在知识传递效率、实践场景构建和动态适应能力等方面逐渐显露局限性，其依赖静态教材与标准化案例的教学方法难以匹配快速演变的商业环境。当产业界对数据驱动决策、人机协同创新等能力的需求成为常态，教育体系与职业市场间的能力鸿沟日益成为制约人才培养质量的瓶颈[1]。在此背景下，我国提出教育数字化转型战略，努力推动人工智能与教育的深度融合。工商管理学科作为新文科建设的核心领域，亟需构建智能技术与教育本质有机统一的新范式。这一转型不仅要求技术工具的引入，更需重构教学理念、知识体系和评价模式，实现从单向知识传授向能力培养生态的根本性转变。
当前工商管理学科的教育主体面临多维适应性挑战，教师角色转型、学生学习模式变革以及教学组织形态创新均需系统性设计。若仅停留于技术表层的工具化应用，将难以突破传统框架的路径依赖，甚至可能引发技术异化与人文价值稀释的风险[2]。因此，探索人工智能驱动下的工商管理教学范式转型，本质上是对数字文明时代教育使命的回应。其核心在于构建动态开放的知识更新机制、虚实融合的实践训练场景、人机协同的智能评价体系，以及开放协同的教育适配生态，从而培养具备复杂问题求解能力和生态管理思维的新型管理人才。这一过程需要平衡技术赋能与教育规律的关系，既要避免陷入技术至上主义的误区，也要警惕对传统优势的惯性固守。本文试图揭示工商管理教学范式转型的内在规律，构建可操作的实施框架，为破解人才培养与产业需求的结构性矛盾提供理论支撑与实践参考。
2. 人工智能驱动工商管理教学范式转型的理论逻辑
2.1. 教学范式转型的必然性
传统工商管理教学以静态知识传递为核心，其局限性体现在四个方面。其一，知识体系的固化与商业实践的动态性脱节，教材内容更新滞后于行业变革速度，难以捕捉实时市场数据与技术迭代趋势。其二，实践教学的场景单一，传统案例分析多基于历史情境，缺乏对动态竞争、不确定性决策的模拟训练，导致学生解决复杂问题的能力不足。其三，教学评价方式过于片面，过度依赖标准化考核，忽视对创新能力、协作素养等隐性能力的评估。其四，教育生态较为封闭，校企数据壁垒与利益目标分歧导致产教协同低效。人工智能技术的介入，推动教学范式从“以教师为中心”向“人机协同”转变，本质是通过技术重构教学要素的交互关系，形成动态适应、虚实融合、智能反馈的新型教育生态[3]。
2.2. 人工智能驱动转型的理论支撑
一是，建构主义学习理论。该理论强调学习者在情境中主动建构知识的意义。人工智能通过个性化学习路径规划与自适应资源推送，支持学生基于自身认知水平探索知识网络。二是，情境认知理论。该理论主张学习嵌入真实社会文化环境。人工智能构建的虚拟仿真场景可模拟动态商业环境，学生在沉浸式交互中体验市场竞争、风险决策等复杂管理任务，培育“干中学”的实践能力。三是，教育生态学理论。该理论关注教育系统各要素的协同共生。人工智能作为技术中介，打通校企数据壁垒，整合企业实时运营数据、学术研究资源与教学需求，形成“产业–教育–技术”共生体系，推动教育生态从封闭走向开放[4]。
2.3. 范式转型的核心逻辑
人工智能驱动的转型并非技术工具的简单叠加，而是基于三重逻辑的系统性重构。首先，知识逻辑从线性知识传授转向动态知识协同。人工智能通过自然语言处理与大数据分析，实时抓取动态数据，构建实时更新的知识网络，使教学内容始终与商业前沿同步。其次，实践逻辑从离身认知训练转向具身参与体验。虚拟仿真技术创设高保真商业场景，学生在与人工智能代理的协作或对抗中，完成战略制定、危机管理等任务，提升复杂环境下的决策效率。最后，价值逻辑从标准化培养转向个性化发展。智能学情分析系统通过学习行为、交互记录、情感反馈等多模态数据捕捉学生能力特征，提供精准能力画像，支持教师因材施教与学生的自我导向学习[5]。
2.4. 转型的学科适配性
工商管理学科的强应用属性与跨学科特征，使其成为人工智能赋能的天然试验场[6]。一方面，管理决策的模糊性与动态性要求教学贴近真实商业情境，而人工智能技术可突破物理限制，低成本构建高复杂度训练场景；另一方面，工商管理学科对数据驱动分析的需求与人工智能的技术优势高度契合，为“技术赋能教育”向“教育反哺技术”的双向互动提供可能。
3. 人工智能驱动工商管理教学范式转型的框架构建
人工智能驱动的教学框架需遵循三组核心原则。一是，动态适配性。通过人工智能技术实现知识体系、实践场景与产业动态的实时同步。二是，人机协同性。明确教师、学生与人工智能系统的角色分工边界，避免技术对教育本质的异化。三是，伦理可控性。在数据采集、算法应用等环节嵌入隐私保护与伦理审查机制。据此，本文构建“知识–实践–评价–生态”四层框架，揭示人工智能驱动工商管理教学范式转型的内在规律，通过技术赋能与教育规律的双向校准，形成“动态知识更新–虚实能力训练–智能评估反馈–协同生态进化”的闭环系统：
3.1. 知识层：动态演进的知识网络
在知识层构建方面，人工智能通过动态知识网络实现教学内容与产业实践的精准适配，其支撑体系包括：一是，基于自然语言处理技术构建动态知识图谱[7]。该技术实现跨学科知识节点的实时关联与更新。例如，通过关联“直播电商消费者行为模型”与“碳中和政策”，揭示新兴商业模式与环境规制间的互动机制，帮助学生理解绿色转型对商业战略的深层影响。二是，基于学习者画像分析技术开发智能课程重组系统。该技术实现学习需求与产业能力的精准匹配。例如，为跨境电商方向学生定制“跨境支付风险管理”“智能关税计算算法”等课程模块，并结合岗位胜任力模型动态调整教学内容权重，确保能力培养与产业需求高度同步。三是，基于API数据接口技术构建案例实时迭代系统。该技术实现教学案例与产业动态的同步映射。例如，《公司金融》课程中的资本结构分析案例可实时接入证券市场行情接口，依据股价波动、利率政策调整等动态参数自动更新教学场景，使理论推演始终锚定真实商业环境。
3.2. 实践层：虚实融合的训练场景
在实践层构建方面，人工智能通过虚实融合的场景设计重构能力培养路径，其支撑体系包括：一是，基于数字孪生技术构建高保真商业决策系统。该技术实现企业运营全流程的数字化映射。例如，通过模拟芯片短缺引发的全球供应链重组场景，学生需动态调整跨国采购策略并评估地缘政治风险，在虚拟环境中掌握全球化管理的复杂性。二是，基于智能博弈算法开发动态决策训练平台。该技术实现商业情境的自主演化与多主体交互。例如，模拟新能源汽车进口关税突增事件，系统同步生成市场供需波动数据与竞争对手价格策略，训练学生的风险预判与动态决策能力。三是，基于对抗式强化学习技术设计人机协作训练模式。该技术实现多维度能力的情景化锤炼。例如，在跨国并购谈判模拟中，人工智能代理可自主切换“竞争型”“妥协型”“协作型”等多种谈判风格，迫使学生在压力情境下锻炼情绪管理、快速博弈与跨文化沟通等复合能力[8]。
3.3. 评价层：多模态数据的智能评估
在评价层构建方面，人工智能通过多模态数据融合与智能分析技术实现能力评估的精准化与动态化，其支撑体系包括：一是，基于多模态感知技术构建全息化学习画像。该技术实现学习行为的全维度动态捕捉。例如，在《组织行为学》课程中，通过语音情感识别与面部微表情分析技术，量化学生在小组讨论中的观点整合效率与冲突调解能力。二是，基于机器学习技术开发能力图谱建模系统。该技术实现多维能力指标的关联分析与可视化呈现[9]。例如，在虚拟供应链沙盘训练中，系统通过决策响应速度分析战略思维敏捷性，生成涵盖执行力、创新力与责任力的三维能力雷达图。三是，基于智能诊断技术构建动态干预机制。该技术实现个性化学习路径的实时优化。例如，在国际商务谈判模拟中，若学生忽视跨文化沟通要素，人工智能评估系统启动虚拟场景中的文化适配训练，针对性强化学生的全球化适应能力。
3.4. 生态层：协同开放的教育生态
在生态层构建方面，人工智能通过开放协同机制实现教育链与产业链的深度融合，其支撑体系包括：一是，基于数据中台技术构建校企数据互通机制。该技术实现教育数据与产业数据的双向流动。例如，高校与跨境电商平台共建智能数据中台，教学系统实时接入脱敏后的用户画像与交易行为数据，学生在《数字营销》课程中据此设计精准投放策略，企业则将优秀算法模型应用于实际广告推荐系统。二是，基于跨学科协同开发技术构建教研共同体。该技术实现技术专家与教育主体的知识共创。例如，物流企业工程师、运筹学教授与教学设计师联合开发智能仓储仿真系统，将路径优化算法、人力调度理论与真实仓储数据融合，使学生在虚拟环境中同步训练算法应用能力与成本管控意识。三是，基于智能评估反馈技术建立动态优化机制。该技术实现教育生态的自我进化。例如，通过“技术可用性–教学有效性–商业适配性”三维评估模型，校企联合对人工智能教学模块进行季度迭代，确保教育供给与全球化商业实践同步进化[10]。
4. 人工智能驱动工商管理教学范式转型的实践挑战
4.1. 知识层：动态知识网络的适配性挑战
人工智能驱动的动态知识网络构建面临知识生产、整合与适配的多重矛盾。首先，跨学科知识节点的实时关联需突破行业数据壁垒与学术研究滞后之间的冲突。例如，企业运营数据往往涉及商业机密，仅能提供有限脱敏信息，导致知识图谱更新滞后于真实商业环境；学术研究周期较长，难以为教学提供即时性理论支持。其次，学习者画像分析技术的精准性受限于数据采集的伦理边界与算法的解释能力。学生职业倾向、认知特征等数据的持续采集可能引发隐私争议，而黑箱化的算法决策机制削弱了教师的教学主导权。最后，案例实时迭代系统的稳定性依赖企业API接口的开放程度与技术兼容性[11]。不同行业数据接口的差异导致案例库整合成本高企，且动态参数调整可能因市场突发波动超出预设模型阈值，增加教学场景失真风险。
4.2. 实践层：虚实融合场景的技术性挑战
虚实融合的实践教学场景在技术实现与教育价值转化间存在鸿沟。首先，高保真商业决策系统的构建面临算力成本与仿真效度的矛盾。例如，全球供应链数字孪生需整合物流、关税、地缘政治等多维度参数，其数据运算量远超普通实验室硬件承载能力，而简化模型又可能导致决策训练偏离现实。其次，智能博弈算法的行为逻辑与教学目标的匹配度亟待提升。人工智能代理的竞争策略若过度依赖历史数据，可能无法模拟新兴业态中的非理性决策行为，限制学生应对颠覆性创新的能力培养[12]。最后，人机协作训练中师生对技术工具的认知差异可能削弱培养效果。教师若缺乏对对抗式强化学习原理的理解，易将人工智能陪练视为机械化评分工具，忽视其在情绪管理、文化敏感度等隐性能力训练中的深层价值。
4.3. 评价层：智能评估体系的伦理性挑战
多模态智能评估体系的落地面临伦理争议与科学效度的双重质疑。首先，生物特征数据采集，如眼动追踪、语音情感分析，可能触碰隐私保护红线。学生在虚拟场景中的微表情、决策犹豫时长等数据是否属于“教学必要信息”尚无法律界定，过度采集可能引发数据滥用风险[13]。其次，能力图谱建模的算法偏见可能加剧评价不公平性。例如，风险偏好系数评估若基于欧美商业文化中的“激进指数”标准，可能误判亚洲学生谨慎决策风格为“保守缺陷”，导致跨文化适应性培养方向偏差。最后，动态干预机制的有效性依赖教学闭环的完整性。当系统检测到学生跨文化沟通能力不足时，若推送的案例库未涵盖新兴市场或干预训练缺乏师生人工反馈校准，可能陷入“算法优化内卷”，即学生为提升系统评分而策略性迎合人工智能偏好，背离真实能力培养目标。
4.4. 生态层：开放教育生态的协同性挑战
教育生态的开放协同转型受制于利益主体的目标冲突与制度惰性。首先，校企数据互通面临商业价值与教育公益性的平衡困境。企业提供实时运营数据的动力取决于直接收益，而高校难以量化教学成果对企业绩效的贡献率，导致数据共享停留于浅层合作。其次，跨学科教研共同体的知识整合存在学科壁垒与话语权博弈。计算机专家关注算法创新性，管理学者强调教学适用性，企业代表侧重商业转化性，三方在智能教学工具开发中易陷入“技术炫技”“理论空转”或“功利导向”的失衡状态[14]。最后，动态优化机制高度依赖于持续资源投入与政策保障。当前教育评价体系仍以论文、专利等传统指标为主，人工智能教学模块开发、虚拟实验室运维等投入难以纳入绩效考核，导致教师参与动力不足。
5. 人工智能驱动工商管理教学范式转型的推进策略
5.1. 知识层：系统优化动态知识网络
动态知识网络的构建需通过技术升级与制度创新实现产教数据的深度融通。首先，开发基于联邦学习的分布式知识图谱架构，在保障企业数据隐私前提下，实现跨机构数据的加密共享与联合建模[15]。例如，高校可与行业协会共建行业知识联邦平台，通过同态加密技术将企业脱敏数据与学术研究成果动态关联，形成可解释的跨学科知识节点。其次，构建学习者画像的动态校准机制，引入教师人工审核模块对智能课程重组引擎的输出结果进行语义校验，防止算法偏见导致的路径偏差。例如，当系统为国际商务方向学生推荐“地缘政治风险分析”课程时，需同步嵌入专家标注的地域文化注释库，确保知识推荐的精准性与价值观引导。最后，建立案例迭代的容错与回溯机制，通过区块链技术记录案例参数的调整轨迹，当市场数据异常波动时，可快速回滚至稳定版本，保障教学系统的鲁棒性。
5.2. 实践层：集成设计虚实融合场景
虚实融合教学场景的落地需以教育目标为导向优化技术实现路径。首先，采用轻量化数字孪生技术降低仿真成本，通过边缘计算与云渲染协同架构，实现高并发虚拟场景的流畅运行[16]。例如，在《供应链管理》课程中，将全球物流网络拆解为区域性孪生子系统，如东南亚港口集群模块、中欧班列模块，学生可分组完成局部优化后通过智能合约技术实现全局协同。其次，开发可解释的智能博弈算法，在人工智能代理行为逻辑中嵌入教学元规则。例如，在商业谈判模拟中设定“文化敏感度权重”“长期合作收益系数”等显性参数，使人工智能策略选择过程透明化，便于教师引导学生反思决策逻辑。其三，构建“人工智能训练师”认证体系，通过工作坊、企业轮岗等混合式培训，帮助教师掌握对抗式强化学习原理与虚拟场景教学设计方法，破解“技术黑箱”导致的教学目标偏移风险。
5.3. 评价层：规范建设智能评估体系
多模态评估体系的完善需以伦理制约与技术透明为核心原则。首先，建立分级数据采集规范，依据《个人信息保护法》界定教学必要数据范围，如决策时长记录属于教学数据，微表情数据需额外授权，并通过差分隐私技术对敏感信息进行噪声处理。其次，开发文化情境嵌入的能力评估模型，在算法中增加区域商业惯例修正因子。例如，针对“风险偏好系数”指标，为东南亚市场评估增加“关系网络权重”，为北欧市场评估增加“合规性敏感度”，避免跨文化场景下的误判。最后，构建人机协同的动态干预机制，教师可通过“数字孪生教学指挥舱”查看人工智能诊断建议，并依据教学经验调整干预策略[17]。例如，当系统建议为某学生推送“激进型市场扩张案例”时，教师可叠加“社会责任约束条件”，确保能力培养符合社会主义核心价值观导向。
5.4. 生态层：协同构建开放教育生态
教育生态的可持续发展需构建价值共享的协同治理框架。首先，创新校企数据互通的利益分配模式，通过数字资产确权与NFT技术实现教学成果的可追溯转化。例如，学生设计的智能营销算法在企业应用中产生的收益，可按预设比例通过智能合约返还高校，形成可持续的数据流通激励。其次，采用“双负责人制”，即技术专家与教学设计师联合主导开发智能教学工具，并建立“技术可行性–教学有效性–商业价值性”的三维评估矩阵，确保产品既符合教育规律又具备产业适配性。最后，推动教育评价制度改革，将人工智能教学资源开发、虚拟实验室运维等纳入教师职称评审指标，同时设立专项基金，支持校企联合攻关卡脖子技术。通过制度创新消解生态构建中的组织惰性，最终形成“数据驱动–知识共创–价值反哺”的开放教育生态[18]。
6. 结论、启示与展望
6.1. 研究结论
人工智能驱动的工商管理教学范式转型，本质上是数字文明时代教育供给侧改革的战略性回应。本文通过构建“知识–实践–评价–生态”四层框架，揭示了教学范式转型的内在规律：其一，动态知识网络突破了传统教材的时空局限性，通过实时产业数据映射与跨学科知识重组，实现了教学内容与商业实践的零时差对接；其二，虚实融合场景重构了学生能力培养逻辑，使学生在高保真商业场景中通过人机博弈训练获得“复杂性耐受”与“颠覆性创新”双重素养；其三，智能评估体系通过多模态数据融合与动态诊断机制，实现了从“结果控制”到“过程赋能”的机制革新。其四，开放教育生态通过数据互通与价值共享机制，打通了教育链与产业链的阻滞节点。然而，人工智能驱动工商管理教学范式转型仍然面临动态知识网络的适配性挑战、虚实融合场景的技术性挑战、智能评估体系的伦理性挑战，以及开放教育生态的协同性挑战，有待进一步系统优化动态知识网络、集成设计虚实融合场景、规范建设智能评估体系、协同构建开放教育生态。
6.2. 实践启示
基于上述结论可得出以下实践启示：首先，教育政策层面需加快制定人工智能教学伦理准则与数据共享规范，建立“教育新基建”专项支持计划，重点培育虚拟仿真实验室、联邦学习知识平台等基础设施；其次，院校改革层面需重构教师能力标准，将人工智能课程开发、人机协同教学设计纳入绩效考核体系，同时设立“技术 + 教育”双导师制教研团队；最后，校企合作层面需探索基于区块链技术的数字资产确权机制，构建“教学成果”与“商业价值”的可信转化通道，激发企业参与教育创新的持续动力。
6.3. 未来展望
本研究仍存在以下局限：一方面，人工智能技术依赖可能引发的工商管理教学同质化风险尚未充分讨论；另一方面，人工智能教学系统如何在技术故障、数据污染等极端情况下保障教育连续性仍待研究。总之，工商管理教学的智能化转型绝非技术对传统的简单替代，而是人机共生的教育新文明构建过程。唯有坚守“技术赋能教育，而非教育适配技术”的价值锚点，方能在数字洪流中守护管理的艺术本质与人文内核。
基金项目
教育部产学合作协同育人项目“面向‘养老服务’的工商管理专业学生创新创业教育改革与实践”(231105079010621)。
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按以下4种类型，对以上8篇论文进行聚类。先输出“[答案]”标识符，再按行输出每类的聚类结果，格式为“类别字母 论文数量 占比%（以8为基数，四舍五入保留两位小数）”，一行一个类别，不要输出任何其他内容。
A. 儿童/青少年与学校-家庭教育相关
B. 高等/职业教育与管理教学相关
C. 成人消费者/社会媒体与营销相关
D. 基础心理机制与理论综述（偏一般性心理/认知理论）
输出示例：
[答案]
A 1 12.50%
B 2 25.00%
C 2 25.00%
D 3 37.50%
|
按以下4种类型，对以上8篇论文进行聚类。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出每类的聚类结果，格式为“类别字母 论文数量 占比%（以8为基数，四舍五入保留两位小数）”，一行一个类别。
A. 儿童/青少年与学校-家庭教育相关
B. 高等/职业教育与管理教学相关
C. 成人消费者/社会媒体与营销相关
D. 基础心理机制与理论综述（偏一般性心理/认知理论）
输出示例：
<你的思考过程>
[答案]
A 1 12.50%
B 2 25.00%
C 2 25.00%
D 3 37.50%
|
[
"A 4 50.00%",
"B 1 12.50%",
"C 1 12.50%",
"D 2 25.00%"
] |
Easy
|
1f1f1b63a0e1f7eee899dc6fd0e549d5ff35ac09d1b574efd959a9614e821943
|
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K
Apple Inc.
(Exact name of Registrant as specified in its charter)
California 94-2404110
(State or other jurisdiction
of incorporation or organization) (I.R.S. Employer Identification No.)
One Apple Park Way
Cupertino, California 95014
(Address of principal executive offices) (Zip Code)
(408) 996-1010
(Registrant’s telephone number, including area code)
Securities registered pursuant to Section 12(b) of the Act:
Title of each class Trading symbol(s) Name of each exchange on which registered
Common Stock, $0.00001 par value per share AAPL The Nasdaq Stock Market LLC
1.375% Notes due 2024 — The Nasdaq Stock Market LLC
0.000% Notes due 2025 — The Nasdaq Stock Market LLC
0.875% Notes due 2025 — The Nasdaq Stock Market LLC
1.625% Notes due 2026 — The Nasdaq Stock Market LLC
2.000% Notes due 2027 — The Nasdaq Stock Market LLC
1.375% Notes due 2029 — The Nasdaq Stock Market LLC
3.050% Notes due 2029 — The Nasdaq Stock Market LLC
0.500% Notes due 2031 — The Nasdaq Stock Market LLC
3.600% Notes due 2042 — The Nasdaq Stock Market LLC
Form 10-K
For the Fiscal Year Ended September 30, 2023
PART I
Item 1. Business
Company Background
The Company designs, manufactures and markets smartphones, personal computers, tablets, wearables and accessories, and sells a variety of related services. The Company’s fiscal year is the 52- or 53-week period that ends on the last Saturday of September.
Products
iPhone
iPhone® is the Company’s line of smartphones based on its iOS operating system. The iPhone line includes iPhone 15 Pro, iPhone 15, iPhone 14, iPhone 13 and iPhone SE®.
Mac
Mac® is the Company’s line of personal computers based on its macOS® operating system. The Mac line includes laptops MacBook Air® and MacBook Pro®, as well as desktops iMac®, Mac mini®, Mac Studio® and Mac Pro®.
iPad
iPad® is the Company’s line of multipurpose tablets based on its iPadOS® operating system. The iPad line includes iPad Pro®, iPad Air®, iPad and iPad mini®.
Wearables, Home and Accessories
Wearables includes smartwatches and wireless headphones. The Company’s line of smartwatches, based on its watchOS® operating system, includes Apple Watch Ultra™ 2, Apple Watch® Series 9 and Apple Watch SE®. The Company’s line of wireless headphones includes AirPods®, AirPods Pro®, AirPods Max™ and Beats® products.
Home includes Apple TV®, the Company’s media streaming and gaming device based on its tvOS® operating system, and HomePod® and HomePod mini®, high-fidelity wireless smart speakers.
Accessories includes Apple-branded and third-party accessories.
Apple Inc. | 2023 Form 10-K | 1
Services
Advertising
The Company’s advertising services include third-party licensing arrangements and the Company’s own advertising platforms.
AppleCare
The Company offers a portfolio of fee-based service and support products under the AppleCare® brand. The offerings provide priority access to Apple technical support, access to the global Apple authorized service network for repair and replacement services, and in many cases additional coverage for instances of accidental damage or theft and loss, depending on the country and type of product.
Cloud Services
The Company’s cloud services store and keep customers’ content up-to-date and available across multiple Apple devices and Windows personal computers.
Digital Content
The Company operates various platforms, including the App Store®, that allow customers to discover and download applications and digital content, such as books, music, video, games and podcasts.
The Company also offers digital content through subscription-based services, including Apple Arcade®, a game subscription service; Apple Fitness+SM, a personalized fitness service; Apple Music®, which offers users a curated listening experience with on-demand radio stations; Apple News+®, a subscription news and magazine service; and Apple TV+®, which offers exclusive original content and live sports.
Payment Services
The Company offers payment services, including Apple Card®, a co-branded credit card, and Apple Pay®, a cashless payment service.
Segments
The Company manages its business primarily on a geographic basis. The Company’s reportable segments consist of the Americas, Europe, Greater China, Japan and Rest of Asia Pacific. Americas includes both North and South America. Europe includes European countries, as well as India, the Middle East and Africa. Greater China includes China mainland, Hong Kong and Taiwan. Rest of Asia Pacific includes Australia and those Asian countries not included in the Company’s other reportable segments. Although the reportable segments provide similar hardware and software products and similar services, each one is managed separately to better align with the location of the Company’s customers and distribution partners and the unique market dynamics of each geographic region.
Markets and Distribution
The Company’s customers are primarily in the consumer, small and mid-sized business, education, enterprise and government markets. The Company sells its products and resells third-party products in most of its major markets directly to customers through its retail and online stores and its direct sales force. The Company also employs a variety of indirect distribution channels, such as third-party cellular network carriers, wholesalers, retailers and resellers. During 2023, the Company’s net sales through its direct and indirect distribution channels accounted for 37% and 63%, respectively, of total net sales.
Competition
The markets for the Company’s products and services are highly competitive, and are characterized by aggressive price competition and resulting downward pressure on gross margins, frequent introduction of new products and services, short product life cycles, evolving industry standards, continual improvement in product price and performance characteristics, rapid adoption of technological advancements by competitors, and price sensitivity on the part of consumers and businesses. Many of the Company’s competitors seek to compete primarily through aggressive pricing and very low cost structures, and by imitating the Company’s products and infringing on its intellectual property.
Apple Inc. | 2023 Form 10-K | 2
The Company’s ability to compete successfully depends heavily on ensuring the continuing and timely introduction of innovative new products, services and technologies to the marketplace. The Company designs and develops nearly the entire solution for its products, including the hardware, operating system, numerous software applications and related services. Principal competitive factors important to the Company include price, product and service features (including security features), relative price and performance, product and service quality and reliability, design innovation, a strong third-party software and accessories ecosystem, marketing and distribution capability, service and support, and corporate reputation.
The Company is focused on expanding its market opportunities related to smartphones, personal computers, tablets, wearables and accessories, and services. The Company faces substantial competition in these markets from companies that have significant technical, marketing, distribution and other resources, as well as established hardware, software, and service offerings with large customer bases. In addition, some of the Company’s competitors have broader product lines, lower-priced products and a larger installed base of active devices. Competition has been particularly intense as competitors have aggressively cut prices and lowered product margins. Certain competitors have the resources, experience or cost structures to provide products at little or no profit or even at a loss. The Company’s services compete with business models that provide content to users for free and use illegitimate means to obtain third-party digital content and applications. The Company faces significant competition as competitors imitate the Company’s product features and applications within their products, or collaborate to offer integrated solutions that are more competitive than those they currently offer.
Supply of Components
Although most components essential to the Company’s business are generally available from multiple sources, certain components are currently obtained from single or limited sources. The Company also competes for various components with other participants in the markets for smartphones, personal computers, tablets, wearables and accessories. Therefore, many components used by the Company, including those that are available from multiple sources, are at times subject to industry-wide shortage and significant commodity pricing fluctuations.
The Company uses some custom components that are not commonly used by its competitors, and new products introduced by the Company often utilize custom components available from only one source. When a component or product uses new technologies, initial capacity constraints may exist until the suppliers’ yields have matured or their manufacturing capacities have increased. The continued availability of these components at acceptable prices, or at all, may be affected if suppliers decide to concentrate on the production of common components instead of components customized to meet the Company’s requirements.
The Company has entered into agreements for the supply of many components; however, there can be no guarantee that the Company will be able to extend or renew these agreements on similar terms, or at all.
Research and Development
Because the industries in which the Company competes are characterized by rapid technological advances, the Company’s ability to compete successfully depends heavily upon its ability to ensure a continual and timely flow of competitive products, services and technologies to the marketplace. The Company continues to develop new technologies to enhance existing products and services, and to expand the range of its offerings through research and development (“R&D”), licensing of intellectual property and acquisition of third-party businesses and technology.
Intellectual Property
The Company currently holds a broad collection of intellectual property rights relating to certain aspects of its hardware devices, accessories, software and services. This includes patents, designs, copyrights, trademarks and other forms of intellectual property rights in the U.S. and various foreign countries. Although the Company believes the ownership of such intellectual property rights is an important factor in differentiating its business and that its success does depend in part on such ownership, the Company relies primarily on the innovative skills, technical competence and marketing abilities of its personnel.
The Company regularly files patent, design, copyright and trademark applications to protect innovations arising from its research, development, design and marketing, and is currently pursuing thousands of applications around the world. Over time, the Company has accumulated a large portfolio of issued and registered intellectual property rights around the world. No single intellectual property right is solely responsible for protecting the Company’s products and services. The Company believes the duration of its intellectual property rights is adequate relative to the expected lives of its products and services.
In addition to Company-owned intellectual property, many of the Company’s products and services are designed to include intellectual property owned by third parties. It may be necessary in the future to seek or renew licenses relating to various aspects of the Company’s products, processes and services. While the Company has generally been able to obtain such licenses on commercially reasonable terms in the past, there is no guarantee that such licenses could be obtained in the future on reasonable terms or at all.
Apple Inc. | 2023 Form 10-K | 3
Business Seasonality and Product Introductions
The Company has historically experienced higher net sales in its first quarter compared to other quarters in its fiscal year due in part to seasonal holiday demand. Additionally, new product and service introductions can significantly impact net sales, cost of sales and operating expenses. The timing of product introductions can also impact the Company’s net sales to its indirect distribution channels as these channels are filled with new inventory following a product launch, and channel inventory of an older product often declines as the launch of a newer product approaches. Net sales can also be affected when consumers and distributors anticipate a product introduction.
Human Capital
The Company believes it has a talented, motivated and dedicated team, and works to create an inclusive, safe and supportive environment for all of its team members. As of September 30, 2023, the Company had approximately 161,000 full-time equivalent employees.
Workplace Practices and Policies
The Company is an equal opportunity employer committed to inclusion and diversity and to providing a workplace free of harassment or discrimination.
Compensation and Benefits
The Company believes that compensation should be competitive and equitable, and should enable employees to share in the Company’s success. The Company recognizes its people are most likely to thrive when they have the resources to meet their needs and the time and support to succeed in their professional and personal lives. In support of this, the Company offers a wide variety of benefits for employees around the world and invests in tools and resources that are designed to support employees’ individual growth and development.
Inclusion and Diversity
The Company is committed to its vision to build and sustain a more inclusive workforce that is representative of the communities it serves. The Company continues to work to increase diverse representation at every level, foster an inclusive culture, and support equitable pay and access to opportunity for all employees.
Engagement
The Company believes that open and honest communication among team members, managers and leaders helps create an open, collaborative work environment where everyone can contribute, grow and succeed. Team members are encouraged to come to their managers with questions, feedback or concerns, and the Company conducts surveys that gauge employee sentiment in areas like career development, manager performance and inclusivity.
Health and Safety
The Company is committed to protecting its team members everywhere it operates. The Company identifies potential workplace risks in order to develop measures to mitigate possible hazards. The Company supports employees with general safety, security and crisis management training, and by putting specific programs in place for those working in potentially high-hazard environments. Additionally, the Company works to protect the safety and security of its team members, visitors and customers through its global security team.
Available Information
The Company’s Annual Reports on Form 10-K, Quarterly Reports on Form 10-Q, Current Reports on Form 8-K, and amendments to reports filed pursuant to Sections 13(a) and 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), are filed with the U.S. Securities and Exchange Commission (the “SEC”). Such reports and other information filed by the Company with the SEC are available free of charge at investor.apple.com/investor-relations/sec-filings/default.aspx when such reports are available on the SEC’s website. The Company periodically provides certain information for investors on its corporate website, www.apple.com, and its investor relations website, investor.apple.com. This includes press releases and other information about financial performance, information on environmental, social and governance matters, and details related to the Company’s annual meeting of shareholders. The information contained on the websites referenced in this Form 10-K is not incorporated by reference into this filing. Further, the Company’s references to website URLs are intended to be inactive textual references only.
Apple Inc. | 2023 Form 10-K | 4
Item 1A. Risk Factors
The Company’s business, reputation, results of operations, financial condition and stock price can be affected by a number of factors, whether currently known or unknown, including those described below. When any one or more of these risks materialize from time to time, the Company’s business, reputation, results of operations, financial condition and stock price can be materially and adversely affected.
Because of the following factors, as well as other factors affecting the Company’s results of operations and financial condition, past financial performance should not be considered to be a reliable indicator of future performance, and investors should not use historical trends to anticipate results or trends in future periods. This discussion of risk factors contains forward-looking statements.
This section should be read in conjunction with Part II, Item 7, “Management’s Discussion and Analysis of Financial Condition and Results of Operations” and the consolidated financial statements and accompanying notes in Part II, Item 8, “Financial Statements and Supplementary Data” of this Form 10-K.
Macroeconomic and Industry Risks
The Company’s operations and performance depend significantly on global and regional economic conditions and adverse economic conditions can materially adversely affect the Company’s business, results of operations and financial condition.
The Company has international operations with sales outside the U.S. representing a majority of the Company’s total net sales. In addition, the Company’s global supply chain is large and complex and a majority of the Company’s supplier facilities, including manufacturing and assembly sites, are located outside the U.S. As a result, the Company’s operations and performance depend significantly on global and regional economic conditions.
Adverse macroeconomic conditions, including slow growth or recession, high unemployment, inflation, tighter credit, higher interest rates, and currency fluctuations, can adversely impact consumer confidence and spending and materially adversely affect demand for the Company’s products and services. In addition, consumer confidence and spending can be materially adversely affected in response to changes in fiscal and monetary policy, financial market volatility, declines in income or asset values, and other economic factors.
In addition to an adverse impact on demand for the Company’s products and services, uncertainty about, or a decline in, global or regional economic conditions can have a significant impact on the Company’s suppliers, contract manufacturers, logistics providers, distributors, cellular network carriers and other channel partners, and developers. Potential outcomes include financial instability; inability to obtain credit to finance business operations; and insolvency.
Adverse economic conditions can also lead to increased credit and collectibility risk on the Company’s trade receivables; the failure of derivative counterparties and other financial institutions; limitations on the Company’s ability to issue new debt; reduced liquidity; and declines in the fair values of the Company’s financial instruments. These and other impacts can materially adversely affect the Company’s business, results of operations, financial condition and stock price.
The Company’s business can be impacted by political events, trade and other international disputes, war, terrorism, natural disasters, public health issues, industrial accidents and other business interruptions.
Political events, trade and other international disputes, war, terrorism, natural disasters, public health issues, industrial accidents and other business interruptions can harm or disrupt international commerce and the global economy, and could have a material adverse effect on the Company and its customers, suppliers, contract manufacturers, logistics providers, distributors, cellular network carriers and other channel partners.
Apple Inc. | 2023 Form 10-K | 5
The Company has a large, global business with sales outside the U.S. representing a majority of the Company’s total net sales, and the Company believes that it generally benefits from growth in international trade. Substantially all of the Company’s manufacturing is performed in whole or in part by outsourcing partners located primarily in China mainland, India, Japan, South Korea, Taiwan and Vietnam. Restrictions on international trade, such as tariffs and other controls on imports or exports of goods, technology or data, can materially adversely affect the Company’s operations and supply chain and limit the Company’s ability to offer and distribute its products and services to customers. The impact can be particularly significant if these restrictive measures apply to countries and regions where the Company derives a significant portion of its revenues and/or has significant supply chain operations. Restrictive measures can require the Company to take various actions, including changing suppliers, restructuring business relationships, and ceasing to offer third-party applications on its platforms. Changing the Company’s operations in accordance with new or changed restrictions on international trade can be expensive, time-consuming and disruptive to the Company’s operations. Such restrictions can be announced with little or no advance notice and the Company may not be able to effectively mitigate all adverse impacts from such measures. For example, tensions between governments, including the U.S. and China, have in the past led to tariffs and other restrictions being imposed on the Company’s business. If disputes and conflicts further escalate in the future, actions by governments in response could be significantly more severe and restrictive and could materially adversely affect the Company’s business. Political uncertainty surrounding trade and other international disputes could also have a negative effect on consumer confidence and spending, which could adversely affect the Company’s business.
Many of the Company’s operations and facilities, as well as critical business operations of the Company’s suppliers and contract manufacturers, are in locations that are prone to earthquakes and other natural disasters. In addition, such operations and facilities are subject to the risk of interruption by fire, power shortages, nuclear power plant accidents and other industrial accidents, terrorist attacks and other hostile acts, ransomware and other cybersecurity attacks, labor disputes, public health issues, including pandemics such as the COVID-19 pandemic, and other events beyond the Company’s control. Global climate change is resulting in certain types of natural disasters, such as droughts, floods, hurricanes and wildfires, occurring more frequently or with more intense effects. Such events can make it difficult or impossible for the Company to manufacture and deliver products to its customers, create delays and inefficiencies in the Company’s supply and manufacturing chain, and result in slowdowns and outages to the Company’s service offerings, and negatively impact consumer spending and demand in affected areas. Following an interruption to its business, the Company can require substantial recovery time, experience significant expenditures to resume operations, and lose significant sales. Because the Company relies on single or limited sources for the supply and manufacture of many critical components, a business interruption affecting such sources would exacerbate any negative consequences to the Company.
The Company’s operations are also subject to the risks of industrial accidents at its suppliers and contract manufacturers. While the Company’s suppliers are required to maintain safe working environments and operations, an industrial accident could occur and could result in serious injuries or loss of life, disruption to the Company’s business, and harm to the Company’s reputation. Major public health issues, including pandemics such as the COVID-19 pandemic, have adversely affected, and could in the future materially adversely affect, the Company due to their impact on the global economy and demand for consumer products; the imposition of protective public safety measures, such as stringent employee travel restrictions and limitations on freight services and the movement of products between regions; and disruptions in the Company’s operations, supply chain and sales and distribution channels, resulting in interruptions to the supply of current products and offering of existing services, and delays in production ramps of new products and development of new services.
While the Company maintains insurance coverage for certain types of losses, such insurance coverage may be insufficient to cover all losses that may arise.
Global markets for the Company’s products and services are highly competitive and subject to rapid technological change, and the Company may be unable to compete effectively in these markets.
The Company’s products and services are offered in highly competitive global markets characterized by aggressive price competition and resulting downward pressure on gross margins, frequent introduction of new products and services, short product life cycles, evolving industry standards, continual improvement in product price and performance characteristics, rapid adoption of technological advancements by competitors, and price sensitivity on the part of consumers and businesses.
The Company’s ability to compete successfully depends heavily on ensuring the continuing and timely introduction of innovative new products, services and technologies to the marketplace. The Company designs and develops nearly the entire solution for its products, including the hardware, operating system, numerous software applications and related services. As a result, the Company must make significant investments in R&D. There can be no assurance these investments will achieve expected returns, and the Company may not be able to develop and market new products and services successfully.
AppleCare
The Company offers a portfolio of fee-based service and support products under the AppleCare® brand. The offerings provide priority access to Apple technical support, access to the global Apple authorized service network for repair and replacement services, and in many cases additional coverage for instances of accidental damage or theft and loss, depending on the country and type of product.
Cloud Services
The Company’s cloud services store and keep customers’ content up-to-date and available across multiple Apple devices and Windows personal computers.
Digital Content
The Company operates various platforms, including the App Store®, that allow customers to discover and download applications and digital content, such as books, music, video, games and podcasts.
The Company also offers digital content through subscription-based services, including Apple Arcade®, a game subscription service; Apple Fitness+SM, a personalized fitness service; Apple Music®, which offers users a curated listening experience with on-demand radio stations; Apple News+®, a subscription news and magazine service; and Apple TV+®, which offers exclusive original content and live sports.
Payment Services
The Company offers payment services, including Apple Card®, a co-branded credit card, and Apple Pay®, a cashless payment service.
Segments
The Company manages its business primarily on a geographic basis. The Company’s reportable segments consist of the Americas, Europe, Greater China, Japan and Rest of Asia Pacific. Americas includes both North and South America. Europe includes European countries, as well as India, the Middle East and Africa. Greater China includes China mainland, Hong Kong and Taiwan. Rest of Asia Pacific includes Australia and those Asian countries not included in the Company’s other reportable segments. Although the reportable segments provide similar hardware and software products and similar services, each one is managed separately to better align with the location of the Company’s customers and distribution partners and the unique market dynamics of each geographic region.
Markets and Distribution
The Company’s customers are primarily in the consumer, small and mid-sized business, education, enterprise and government markets. The Company sells its products and resells third-party products in most of its major markets directly to customers through its retail and online stores and its direct sales force. The Company also employs a variety of indirect distribution channels, such as third-party cellular network carriers, wholesalers, retailers and resellers. During 2023, the Company’s net sales through its direct and indirect distribution channels accounted for 37% and 63%, respectively, of total net sales.
Competition
The markets for the Company’s products and services are highly competitive, and are characterized by aggressive price competition and resulting downward pressure on gross margins, frequent introduction of new products and services, short product life cycles, evolving industry standards, continual improvement in product price and performance characteristics, rapid adoption of technological advancements by competitors, and price sensitivity on the part of consumers and businesses. Many of the Company’s competitors seek to compete primarily through aggressive pricing and very low cost structures, and by imitating the Company’s products and infringing on its intellectual property.
Apple Inc. | 2023 Form 10-K | 2
The Company’s ability to compete successfully depends heavily on ensuring the continuing and timely introduction of innovative new products, services and technologies to the marketplace. The Company designs and develops nearly the entire solution for its products, including the hardware, operating system, numerous software applications and related services. Principal competitive factors important to the Company include price, product and service features (including security features), relative price and performance, product and service quality and reliability, design innovation, a strong third-party software and accessories ecosystem, marketing and distribution capability, service and support, and corporate reputation.
The Company is focused on expanding its market opportunities related to smartphones, personal computers, tablets, wearables and accessories, and services. The Company faces substantial competition in these markets from companies that have significant technical, marketing, distribution and other resources, as well as established hardware, software, and service offerings with large customer bases. In addition, some of the Company’s competitors have broader product lines, lower-priced products and a larger installed base of active devices. Competition has been particularly intense as competitors have aggressively cut prices and lowered product margins. Certain competitors have the resources, experience or cost structures to provide products at little or no profit or even at a loss. The Company’s services compete with business models that provide content to users for free and use illegitimate means to obtain third-party digital content and applications. The Company faces significant competition as competitors imitate the Company’s product features and applications within their products, or collaborate to offer integrated solutions that are more competitive than those they currently offer.
Supply of Components
Although most components essential to the Company’s business are generally available from multiple sources, certain components are currently obtained from single or limited sources. The Company also competes for various components with other participants in the markets for smartphones, personal computers, tablets, wearables and accessories. Therefore, many components used by the Company, including those that are available from multiple sources, are at times subject to industry-wide shortage and significant commodity pricing fluctuations.
The Company uses some custom components that are not commonly used by its competitors, and new products introduced by the Company often utilize custom components available from only one source. When a component or product uses new technologies, initial capacity constraints may exist until the suppliers’ yields have matured or their manufacturing capacities have increased. The continued availability of these components at acceptable prices, or at all, may be affected if suppliers decide to concentrate on the production of common components instead of components customized to meet the Company’s requirements.
The Company has entered into agreements for the supply of many components; however, there can be no guarantee that the Company will be able to extend or renew these agreements on similar terms, or at all.
Research and Development
Because the industries in which the Company competes are characterized by rapid technological advances, the Company’s ability to compete successfully depends heavily upon its ability to ensure a continual and timely flow of competitive products, services and technologies to the marketplace. The Company continues to develop new technologies to enhance existing products and services, and to expand the range of its offerings through research and development (“R&D”), licensing of intellectual property and acquisition of third-party businesses and technology.
Intellectual Property
The Company currently holds a broad collection of intellectual property rights relating to certain aspects of its hardware devices, accessories, software and services. This includes patents, designs, copyrights, trademarks and other forms of intellectual property rights in the U.S. and various foreign countries. Although the Company believes the ownership of such intellectual property rights is an important factor in differentiating its business and that its success does depend in part on such ownership, the Company relies primarily on the innovative skills, technical competence and marketing abilities of its personnel.
The Company regularly files patent, design, copyright and trademark applications to protect innovations arising from its research, development, design and marketing, and is currently pursuing thousands of applications around the world. Over time, the Company has accumulated a large portfolio of issued and registered intellectual property rights around the world. No single intellectual property right is solely responsible for protecting the Company’s products and services. The Company believes the duration of its intellectual property rights is adequate relative to the expected lives of its products and services.
In addition to Company-owned intellectual property, many of the Company’s products and services are designed to include intellectual property owned by third parties. It may be necessary in the future to seek or renew licenses relating to various aspects of the Company’s products, processes and services. While the Company has generally been able to obtain such licenses on commercially reasonable terms in the past, there is no guarantee that such licenses could be obtained in the future on reasonable terms or at all.
Apple Inc. | 2023 Form 10-K | 3
Business Seasonality and Product Introductions
The Company has historically experienced higher net sales in its first quarter compared to other quarters in its fiscal year due in part to seasonal holiday demand. Additionally, new product and service introductions can significantly impact net sales, cost of sales and operating expenses. The timing of product introductions can also impact the Company’s net sales to its indirect distribution channels as these channels are filled with new inventory following a product launch, and channel inventory of an older product often declines as the launch of a newer product approaches. Net sales can also be affected when consumers and distributors anticipate a product introduction.
Human Capital
The Company believes it has a talented, motivated and dedicated team, and works to create an inclusive, safe and supportive environment for all of its team members. As of September 30, 2023, the Company had approximately 161,000 full-time equivalent employees.
Workplace Practices and Policies
The Company is an equal opportunity employer committed to inclusion and diversity and to providing a workplace free of harassment or discrimination.
Compensation and Benefits
The Company believes that compensation should be competitive and equitable, and should enable employees to share in the Company’s success. The Company recognizes its people are most likely to thrive when they have the resources to meet their needs and the time and support to succeed in their professional and personal lives. In support of this, the Company offers a wide variety of benefits for employees around the world and invests in tools and resources that are designed to support employees’ individual growth and development.
Inclusion and Diversity
The Company is committed to its vision to build and sustain a more inclusive workforce that is representative of the communities it serves. The Company continues to work to increase diverse representation at every level, foster an inclusive culture, and support equitable pay and access to opportunity for all employees.
Engagement
The Company believes that open and honest communication among team members, managers and leaders helps create an open, collaborative work environment where everyone can contribute, grow and succeed. Team members are encouraged to come to their managers with questions, feedback or concerns, and the Company conducts surveys that gauge employee sentiment in areas like career development, manager performance and inclusivity.
Health and Safety
The Company is committed to protecting its team members everywhere it operates. The Company identifies potential workplace risks in order to develop measures to mitigate possible hazards. The Company supports employees with general safety, security and crisis management training, and by putting specific programs in place for those working in potentially high-hazard environments. Additionally, the Company works to protect the safety and security of its team members, visitors and customers through its global security team.
Available Information
The Company’s Annual Reports on Form 10-K, Quarterly Reports on Form 10-Q, Current Reports on Form 8-K, and amendments to reports filed pursuant to Sections 13(a) and 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), are filed with the U.S. Securities and Exchange Commission (the “SEC”). Such reports and other information filed by the Company with the SEC are available free of charge at investor.apple.com/investor-relations/sec-filings/default.aspx when such reports are available on the SEC’s website. The Company periodically provides certain information for investors on its corporate website, www.apple.com, and its investor relations website, investor.apple.com. This includes press releases and other information about financial performance, information on environmental, social and governance matters, and details related to the Company’s annual meeting of shareholders. The information contained on the websites referenced in this Form 10-K is not incorporated by reference into this filing. Further, the Company’s references to website URLs are intended to be inactive textual references only.
Apple Inc. | 2023 Form 10-K | 4
Item 1A. Risk Factors
The Company’s business, reputation, results of operations, financial condition and stock price can be affected by a number of factors, whether currently known or unknown, including those described below. When any one or more of these risks materialize from time to time, the Company’s business, reputation, results of operations, financial condition and stock price can be materially and adversely affected.
Because of the following factors, as well as other factors affecting the Company’s results of operations and financial condition, past financial performance should not be considered to be a reliable indicator of future performance, and investors should not use historical trends to anticipate results or trends in future periods. This discussion of risk factors contains forward-looking statements.
This section should be read in conjunction with Part II, Item 7, “Management’s Discussion and Analysis of Financial Condition and Results of Operations” and the consolidated financial statements and accompanying notes in Part II, Item 8, “Financial Statements and Supplementary Data” of this Form 10-K.
Macroeconomic and Industry Risks
The Company’s operations and performance depend significantly on global and regional economic conditions and adverse economic conditions can materially adversely affect the Company’s business, results of operations and financial condition.
The Company has international operations with sales outside the U.S. representing a majority of the Company’s total net sales. In addition, the Company’s global supply chain is large and complex and a majority of the Company’s supplier facilities, including manufacturing and assembly sites, are located outside the U.S. As a result, the Company’s operations and performance depend significantly on global and regional economic conditions.
Adverse macroeconomic conditions, including slow growth or recession, high unemployment, inflation, tighter credit, higher interest rates, and currency fluctuations, can adversely impact consumer confidence and spending and materially adversely affect demand for the Company’s products and services. In addition, consumer confidence and spending can be materially adversely affected in response to changes in fiscal and monetary policy, financial market volatility, declines in income or asset values, and other economic factors.
In addition to an adverse impact on demand for the Company’s products and services, uncertainty about, or a decline in, global or regional economic conditions can have a significant impact on the Company’s suppliers, contract manufacturers, logistics providers, distributors, cellular network carriers and other channel partners, and developers. Potential outcomes include financial instability; inability to obtain credit to finance business operations; and insolvency.
Adverse economic conditions can also lead to increased credit and collectibility risk on the Company’s trade receivables; the failure of derivative counterparties and other financial institutions; limitations on the Company’s ability to issue new debt; reduced liquidity; and declines in the fair values of the Company’s financial instruments. These and other impacts can materially adversely affect the Company’s business, results of operations, financial condition and stock price.
The Company’s business can be impacted by political events, trade and other international disputes, war, terrorism, natural disasters, public health issues, industrial accidents and other business interruptions.
Political events, trade and other international disputes, war, terrorism, natural disasters, public health issues, industrial accidents and other business interruptions can harm or disrupt international commerce and the global economy, and could have a material adverse effect on the Company and its customers, suppliers, contract manufacturers, logistics providers, distributors, cellular network carriers and other channel partners.
Apple Inc. | 2023 Form 10-K | 5
The Company has a large, global business with sales outside the U.S. representing a majority of the Company’s total net sales, and the Company believes that it generally benefits from growth in international trade. Substantially all of the Company’s manufacturing is performed in whole or in part by outsourcing partners located primarily in China mainland, India, Japan, South Korea, Taiwan and Vietnam. Restrictions on international trade, such as tariffs and other controls on imports or exports of goods, technology or data, can materially adversely affect the Company’s operations and supply chain and limit the Company’s ability to offer and distribute its products and services to customers. The impact can be particularly significant if these restrictive measures apply to countries and regions where the Company derives a significant portion of its revenues and/or has significant supply chain operations. Restrictive measures can require the Company to take various actions, including changing suppliers, restructuring business relationships, and ceasing to offer third-party applications on its platforms. Changing the Company’s operations in accordance with new or changed restrictions on international trade can be expensive, time-consuming and disruptive to the Company’s operations. Such restrictions can be announced with little or no advance notice and the Company may not be able to effectively mitigate all adverse impacts from such measures. For example, tensions between governments, including the U.S. and China, have in the past led to tariffs and other restrictions being imposed on the Company’s business. If disputes and conflicts further escalate in the future, actions by governments in response could be significantly more severe and restrictive and could materially adversely affect the Company’s business. Political uncertainty surrounding trade and other international disputes could also have a negative effect on consumer confidence and spending, which could adversely affect the Company’s business.
Many of the Company’s operations and facilities, as well as critical business operations of the Company’s suppliers and contract manufacturers, are in locations that are prone to earthquakes and other natural disasters. In addition, such operations and facilities are subject to the risk of interruption by fire, power shortages, nuclear power plant accidents and other industrial accidents, terrorist attacks and other hostile acts, ransomware and other cybersecurity attacks, labor disputes, public health issues, including pandemics such as the COVID-19 pandemic, and other events beyond the Company’s control. Global climate change is resulting in certain types of natural disasters, such as droughts, floods, hurricanes and wildfires, occurring more frequently or with more intense effects. Such events can make it difficult or impossible for the Company to manufacture and deliver products to its customers, create delays and inefficiencies in the Company’s supply and manufacturing chain, and result in slowdowns and outages to the Company’s service offerings, and negatively impact consumer spending and demand in affected areas. Following an interruption to its business, the Company can require substantial recovery time, experience significant expenditures to resume operations, and lose significant sales. Because the Company relies on single or limited sources for the supply and manufacture of many critical components, a business interruption affecting such sources would exacerbate any negative consequences to the Company.
The Company’s operations are also subject to the risks of industrial accidents at its suppliers and contract manufacturers. While the Company’s suppliers are required to maintain safe working environments and operations, an industrial accident could occur and could result in serious injuries or loss of life, disruption to the Company’s business, and harm to the Company’s reputation. Major public health issues, including pandemics such as the COVID-19 pandemic, have adversely affected, and could in the future materially adversely affect, the Company due to their impact on the global economy and demand for consumer products; the imposition of protective public safety measures, such as stringent employee travel restrictions and limitations on freight services and the movement of products between regions; and disruptions in the Company’s operations, supply chain and sales and distribution channels, resulting in interruptions to the supply of current products and offering of existing services, and delays in production ramps of new products and development of new services.
While the Company maintains insurance coverage for certain types of losses, such insurance coverage may be insufficient to cover all losses that may arise.
Global markets for the Company’s products and services are highly competitive and subject to rapid technological change, and the Company may be unable to compete effectively in these markets.
The Company’s products and services are offered in highly competitive global markets characterized by aggressive price competition and resulting downward pressure on gross margins, frequent introduction of new products and services, short product life cycles, evolving industry standards, continual improvement in product price and performance characteristics, rapid adoption of technological advancements by competitors, and price sensitivity on the part of consumers and businesses.
The Company’s ability to compete successfully depends heavily on ensuring the continuing and timely introduction of innovative new products, services and technologies to the marketplace. The Company designs and develops nearly the entire solution for its products, including the hardware, operating system, numerous software applications and related services. As a result, the Company must make significant investments in R&D. There can be no assurance these investments will achieve expected returns, and the Company may not be able to develop and market new products and services successfully.
AppleCare
The Company offers a portfolio of fee-based service and support products under the AppleCare® brand. The offerings provide priority access to Apple technical support, access to the global Apple authorized service network for repair and replacement services, and in many cases additional coverage for instances of accidental damage or theft and loss, depending on the country and type of product.
Cloud Services
The Company’s cloud services store and keep customers’ content up-to-date and available across multiple Apple devices and Windows personal computers.
Digital Content
The Company operates various platforms, including the App Store®, that allow customers to discover and download applications and digital content, such as books, music, video, games and podcasts.
The Company also offers digital content through subscription-based services, including Apple Arcade®, a game subscription service; Apple Fitness+SM, a personalized fitness service; Apple Music®, which offers users a curated listening experience with on-demand radio stations; Apple News+®, a subscription news and magazine service; and Apple TV+®, which offers exclusive original content and live sports.
Payment Services
The Company offers payment services, including Apple Card®, a co-branded credit card, and Apple Pay®, a cashless payment service.
Segments
The Company manages its business primarily on a geographic basis. The Company’s reportable segments consist of the Americas, Europe, Greater China, Japan and Rest of Asia Pacific. Americas includes both North and South America. Europe includes European countries, as well as India, the Middle East and Africa. Greater China includes China mainland, Hong Kong and Taiwan. Rest of Asia Pacific includes Australia and those Asian countries not included in the Company’s other reportable segments. Although the reportable segments provide similar hardware and software products and similar services, each one is managed separately to better align with the location of the Company’s customers and distribution partners and the unique market dynamics of each geographic region.
Markets and Distribution
The Company’s customers are primarily in the consumer, small and mid-sized business, education, enterprise and government markets. The Company sells its products and resells third-party products in most of its major markets directly to customers through its retail and online stores and its direct sales force. The Company also employs a variety of indirect distribution channels, such as third-party cellular network carriers, wholesalers, retailers and resellers. During 2023, the Company’s net sales through its direct and indirect distribution channels accounted for 37% and 63%, respectively, of total net sales.
Competition
The markets for the Company’s products and services are highly competitive, and are characterized by aggressive price competition and resulting downward pressure on gross margins, frequent introduction of new products and services, short product life cycles, evolving industry standards, continual improvement in product price and performance characteristics, rapid adoption of technological advancements by competitors, and price sensitivity on the part of consumers and businesses. Many of the Company’s competitors seek to compete primarily through aggressive pricing and very low cost structures, and by imitating the Company’s products and infringing on its intellectual property.
Apple Inc. | 2023 Form 10-K | 2
The Company’s ability to compete successfully depends heavily on ensuring the continuing and timely introduction of innovative new products, services and technologies to the marketplace. The Company designs and develops nearly the entire solution for its products, including the hardware, operating system, numerous software applications and related services. Principal competitive factors important to the Company include price, product and service features (including security features), relative price and performance, product and service quality and reliability, design innovation, a strong third-party software and accessories ecosystem, marketing and distribution capability, service and support, and corporate reputation.
The Company is focused on expanding its market opportunities related to smartphones, personal computers, tablets, wearables and accessories, and services. The Company faces substantial competition in these markets from companies that have significant technical, marketing, distribution and other resources, as well as established hardware, software, and service offerings with large customer bases. In addition, some of the Company’s competitors have broader product lines, lower-priced products and a larger installed base of active devices. Competition has been particularly intense as competitors have aggressively cut prices and lowered product margins. Certain competitors have the resources, experience or cost structures to provide products at little or no profit or even at a loss. The Company’s services compete with business models that provide content to users for free and use illegitimate means to obtain third-party digital content and applications. The Company faces significant competition as competitors imitate the Company’s product features and applications within their products, or collaborate to offer integrated solutions that are more competitive than those they currently offer.
Supply of Components
Although most components essential to the Company’s business are generally available from multiple sources, certain components are currently obtained from single or limited sources. The Company also competes for various components with other participants in the markets for smartphones, personal computers, tablets, wearables and accessories. Therefore, many components used by the Company, including those that are available from multiple sources, are at times subject to industry-wide shortage and significant commodity pricing fluctuations.
The Company uses some custom components that are not commonly used by its competitors, and new products introduced by the Company often utilize custom components available from only one source. When a component or product uses new technologies, initial capacity constraints may exist until the suppliers’ yields have matured or their manufacturing capacities have increased. The continued availability of these components at acceptable prices, or at all, may be affected if suppliers decide to concentrate on the production of common components instead of components customized to meet the Company’s requirements.
The Company has entered into agreements for the supply of many components; however, there can be no guarantee that the Company will be able to extend or renew these agreements on similar terms, or at all.
Research and Development
Because the industries in which the Company competes are characterized by rapid technological advances, the Company’s ability to compete successfully depends heavily upon its ability to ensure a continual and timely flow of competitive products, services and technologies to the marketplace. The Company continues to develop new technologies to enhance existing products and services, and to expand the range of its offerings through research and development (“R&D”), licensing of intellectual property and acquisition of third-party businesses and technology.
Intellectual Property
The Company currently holds a broad collection of intellectual property rights relating to certain aspects of its hardware devices, accessories, software and services. This includes patents, designs, copyrights, trademarks and other forms of intellectual property rights in the U.S. and various foreign countries. Although the Company believes the ownership of such intellectual property rights is an important factor in differentiating its business and that its success does depend in part on such ownership, the Company relies primarily on the innovative skills, technical competence and marketing abilities of its personnel.
The Company regularly files patent, design, copyright and trademark applications to protect innovations arising from its research, development, design and marketing, and is currently pursuing thousands of applications around the world. Over time, the Company has accumulated a large portfolio of issued and registered intellectual property rights around the world. No single intellectual property right is solely responsible for protecting the Company’s products and services. The Company believes the duration of its intellectual property rights is adequate relative to the expected lives of its products and services.
In addition to Company-owned intellectual property, many of the Company’s products and services are designed to include intellectual property owned by third parties. It may be necessary in the future to seek or renew licenses relating to various aspects of the Company’s products, processes and services. While the Company has generally been able to obtain such licenses on commercially reasonable terms in the past, there is no guarantee that such licenses could be obtained in the future on reasonable terms or at all.
Apple Inc. | 2023 Form 10-K | 3
Business Seasonality and Product Introductions
The Company has historically experienced higher net sales in its first quarter compared to other quarters in its fiscal year due in part to seasonal holiday demand. Additionally, new product and service introductions can significantly impact net sales, cost of sales and operating expenses. The timing of product introductions can also impact the Company’s net sales to its indirect distribution channels as these channels are filled with new inventory following a product launch, and channel inventory of an older product often declines as the launch of a newer product approaches. Net sales can also be affected when consumers and distributors anticipate a product introduction.
Human Capital
The Company believes it has a talented, motivated and dedicated team, and works to create an inclusive, safe and supportive environment for all of its team members. As of September 30, 2023, the Company had approximately 161,000 full-time equivalent employees.
Workplace Practices and Policies
The Company is an equal opportunity employer committed to inclusion and diversity and to providing a workplace free of harassment or discrimination.
Compensation and Benefits
The Company believes that compensation should be competitive and equitable, and should enable employees to share in the Company’s success. The Company recognizes its people are most likely to thrive when they have the resources to meet their needs and the time and support to succeed in their professional and personal lives. In support of this, the Company offers a wide variety of benefits for employees around the world and invests in tools and resources that are designed to support employees’ individual growth and development.
Inclusion and Diversity
The Company is committed to its vision to build and sustain a more inclusive workforce that is representative of the communities it serves. The Company continues to work to increase diverse representation at every level, foster an inclusive culture, and support equitable pay and access to opportunity for all employees.
Engagement
The Company believes that open and honest communication among team members, managers and leaders helps create an open, collaborative work environment where everyone can contribute, grow and succeed. Team members are encouraged to come to their managers with questions, feedback or concerns, and the Company conducts surveys that gauge employee sentiment in areas like career development, manager performance and inclusivity.
Health and Safety
The Company is committed to protecting its team members everywhere it operates. The Company identifies potential workplace risks in order to develop measures to mitigate possible hazards. The Company supports employees with general safety, security and crisis management training, and by putting specific programs in place for those working in potentially high-hazard environments. Additionally, the Company works to protect the safety and security of its team members, visitors and customers through its global security team.
Available Information
The Company’s Annual Reports on Form 10-K, Quarterly Reports on Form 10-Q, Current Reports on Form 8-K, and amendments to reports filed pursuant to Sections 13(a) and 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), are filed with the U.S. Securities and Exchange Commission (the “SEC”). Such reports and other information filed by the Company with the SEC are available free of charge at investor.apple.com/investor-relations/sec-filings/default.aspx when such reports are available on the SEC’s website. The Company periodically provides certain information for investors on its corporate website, www.apple.com, and its investor relations website, investor.apple.com. This includes press releases and other information about financial performance, information on environmental, social and governance matters, and details related to the Company’s annual meeting of shareholders. The information contained on the websites referenced in this Form 10-K is not incorporated by reference into this filing. Further, the Company’s references to website URLs are intended to be inactive textual references only.
Apple Inc. | 2023 Form 10-K | 4
Item 1A. Risk Factors
The Company’s business, reputation, results of operations, financial condition and stock price can be affected by a number of factors, whether currently known or unknown, including those described below. When any one or more of these risks materialize from time to time, the Company’s business, reputation, results of operations, financial condition and stock price can be materially and adversely affected.
Because of the following factors, as well as other factors affecting the Company’s results of operations and financial condition, past financial performance should not be considered to be a reliable indicator of future performance, and investors should not use historical trends to anticipate results or trends in future periods. This discussion of risk factors contains forward-looking statements.
This section should be read in conjunction with Part II, Item 7, “Management’s Discussion and Analysis of Financial Condition and Results of Operations” and the consolidated financial statements and accompanying notes in Part II, Item 8, “Financial Statements and Supplementary Data” of this Form 10-K.
Macroeconomic and Industry Risks
The Company’s operations and performance depend significantly on global and regional economic conditions and adverse economic conditions can materially adversely affect the Company’s business, results of operations and financial condition.
The Company has international operations with sales outside the U.S. representing a majority of the Company’s total net sales. In addition, the Company’s global supply chain is large and complex and a majority of the Company’s supplier facilities, including manufacturing and assembly sites, are located outside the U.S. As a result, the Company’s operations and performance depend significantly on global and regional economic conditions.
Adverse macroeconomic conditions, including slow growth or recession, high unemployment, inflation, tighter credit, higher interest rates, and currency fluctuations, can adversely impact consumer confidence and spending and materially adversely affect demand for the Company’s products and services. In addition, consumer confidence and spending can be materially adversely affected in response to changes in fiscal and monetary policy, financial market volatility, declines in income or asset values, and other economic factors.
In addition to an adverse impact on demand for the Company’s products and services, uncertainty about, or a decline in, global or regional economic conditions can have a significant impact on the Company’s suppliers, contract manufacturers, logistics providers, distributors, cellular network carriers and other channel partners, and developers. Potential outcomes include financial instability; inability to obtain credit to finance business operations; and insolvency.
Adverse economic conditions can also lead to increased credit and collectibility risk on the Company’s trade receivables; the failure of derivative counterparties and other financial institutions; limitations on the Company’s ability to issue new debt; reduced liquidity; and declines in the fair values of the Company’s financial instruments. These and other impacts can materially adversely affect the Company’s business, results of operations, financial condition and stock price.
The Company’s business can be impacted by political events, trade and other international disputes, war, terrorism, natural disasters, public health issues, industrial accidents and other business interruptions.
Political events, trade and other international disputes, war, terrorism, natural disasters, public health issues, industrial accidents and other business interruptions can harm or disrupt international commerce and the global economy, and could have a material adverse effect on the Company and its customers, suppliers, contract manufacturers, logistics providers, distributors, cellular network carriers and other channel partners.
Apple Inc. | 2023 Form 10-K | 5
The Company has a large, global business with sales outside the U.S. representing a majority of the Company’s total net sales, and the Company believes that it generally benefits from growth in international trade. Substantially all of the Company’s manufacturing is performed in whole or in part by outsourcing partners located primarily in China mainland, India, Japan, South Korea, Taiwan and Vietnam. Restrictions on international trade, such as tariffs and other controls on imports or exports of goods, technology or data, can materially adversely affect the Company’s operations and supply chain and limit the Company’s ability to offer and distribute its products and services to customers. The impact can be particularly significant if these restrictive measures apply to countries and regions where the Company derives a significant portion of its revenues and/or has significant supply chain operations. Restrictive measures can require the Company to take various actions, including changing suppliers, restructuring business relationships, and ceasing to offer third-party applications on its platforms. Changing the Company’s operations in accordance with new or changed restrictions on international trade can be expensive, time-consuming and disruptive to the Company’s operations. Such restrictions can be announced with little or no advance notice and the Company may not be able to effectively mitigate all adverse impacts from such measures. For example, tensions between governments, including the U.S. and China, have in the past led to tariffs and other restrictions being imposed on the Company’s business. If disputes and conflicts further escalate in the future, actions by governments in response could be significantly more severe and restrictive and could materially adversely affect the Company’s business. Political uncertainty surrounding trade and other international disputes could also have a negative effect on consumer confidence and spending, which could adversely affect the Company’s business.
Many of the Company’s operations and facilities, as well as critical business operations of the Company’s suppliers and contract manufacturers, are in locations that are prone to earthquakes and other natural disasters. In addition, such operations and facilities are subject to the risk of interruption by fire, power shortages, nuclear power plant accidents and other industrial accidents, terrorist attacks and other hostile acts, ransomware and other cybersecurity attacks, labor disputes, public health issues, including pandemics such as the COVID-19 pandemic, and other events beyond the Company’s control. Global climate change is resulting in certain types of natural disasters, such as droughts, floods, hurricanes and wildfires, occurring more frequently or with more intense effects. Such events can make it difficult or impossible for the Company to manufacture and deliver products to its customers, create delays and inefficiencies in the Company’s supply and manufacturing chain, and result in slowdowns and outages to the Company’s service offerings, and negatively impact consumer spending and demand in affected areas. Following an interruption to its business, the Company can require substantial recovery time, experience significant expenditures to resume operations, and lose significant sales. Because the Company relies on single or limited sources for the supply and manufacture of many critical components, a business interruption affecting such sources would exacerbate any negative consequences to the Company.
The Company’s operations are also subject to the risks of industrial accidents at its suppliers and contract manufacturers. While the Company’s suppliers are required to maintain safe working environments and operations, an industrial accident could occur and could result in serious injuries or loss of life, disruption to the Company’s business, and harm to the Company’s reputation. Major public health issues, including pandemics such as the COVID-19 pandemic, have adversely affected, and could in the future materially adversely affect, the Company due to their impact on the global economy and demand for consumer products; the imposition of protective public safety measures, such as stringent employee travel restrictions and limitations on freight services and the movement of products between regions; and disruptions in the Company’s operations, supply chain and sales and distribution channels, resulting in interruptions to the supply of current products and offering of existing services, and delays in production ramps of new products and development of new services.
While the Company maintains insurance coverage for certain types of losses, such insurance coverage may be insufficient to cover all losses that may arise.
Global markets for the Company’s products and services are highly competitive and subject to rapid technological change, and the Company may be unable to compete effectively in these markets.
The Company’s products and services are offered in highly competitive global markets characterized by aggressive price competition and resulting downward pressure on gross margins, frequent introduction of new products and services, short product life cycles, evolving industry standards, continual improvement in product price and performance characteristics, rapid adoption of technological advancements by competitors, and price sensitivity on the part of consumers and businesses.
The Company’s ability to compete successfully depends heavily on ensuring the continuing and timely introduction of innovative new products, services and technologies to the marketplace. The Company designs and develops nearly the entire solution for its products, including the hardware, operating system, numerous software applications and related services. As a result, the Company must make significant investments in R&D. There can be no assurance these investments will achieve expected returns, and the Company may not be able to develop and market new products and services successfully.
Apple Inc. | 2023 Form 10-K | 6
The Company currently holds a significant number of patents, trademarks and copyrights and has registered, and applied to register, additional patents, trademarks and copyrights. In contrast, many of the Company’s competitors seek to compete primarily through aggressive pricing and very low cost structures, and by imitating the Company’s products and infringing on its intellectual property. Effective intellectual property protection is not consistently available in every country in which the Company operates. If the Company is unable to continue to develop and sell innovative new products with attractive margins or if competitors infringe on the Company’s intellectual property, the Company’s ability to maintain a competitive advantage could be materially adversely affected.
The Company has a minority market share in the global smartphone, personal computer and tablet markets. The Company faces substantial competition in these markets from companies that have significant technical, marketing, distribution and other resources, as well as established hardware, software and digital content supplier relationships. In addition, some of the Company’s competitors have broader product lines, lower-priced products and a larger installed base of active devices. Competition has been particularly intense as competitors have aggressively cut prices and lowered product margins. Certain competitors have the resources, experience or cost structures to provide products at little or no profit or even at a loss. Some of the markets in which the Company competes have from time to time experienced little to no growth or contracted overall.
Additionally, the Company faces significant competition as competitors imitate the Company’s product features and applications within their products or collaborate to offer solutions that are more competitive than those they currently offer. The Company also expects competition to intensify as competitors imitate the Company’s approach to providing components seamlessly within their offerings or work collaboratively to offer integrated solutions.
The Company’s services also face substantial competition, including from companies that have significant resources and experience and have established service offerings with large customer bases. The Company competes with business models that provide content to users for free. The Company also competes with illegitimate means to obtain third-party digital content and applications.
The Company’s business, results of operations and financial condition depend substantially on the Company’s ability to continually improve its products and services to maintain their functional and design advantages. There can be no assurance the Company will be able to continue to provide products and services that compete effectively.
Business Risks
To remain competitive and stimulate customer demand, the Company must successfully manage frequent introductions and transitions of products and services.
Due to the highly volatile and competitive nature of the markets and industries in which the Company competes, the Company must continually introduce new products, services and technologies, enhance existing products and services, effectively stimulate customer demand for new and upgraded products and services, and successfully manage the transition to these new and upgraded products and services. The success of new product and service introductions depends on a number of factors, including timely and successful development, market acceptance, the Company’s ability to manage the risks associated with new technologies and production ramp-up issues, the availability of application software for the Company’s products, the effective management of purchase commitments and inventory levels in line with anticipated product demand, the availability of products in appropriate quantities and at expected costs to meet anticipated demand, and the risk that new products and services may have quality or other defects or deficiencies. There can be no assurance the Company will successfully manage future introductions and transitions of products and services.
The Company depends on component and product manufacturing and logistical services provided by outsourcing partners, many of which are located outside of the U.S.
Substantially all of the Company’s manufacturing is performed in whole or in part by outsourcing partners located primarily in China mainland, India, Japan, South Korea, Taiwan and Vietnam, and a significant concentration of this manufacturing is currently performed by a small number of outsourcing partners, often in single locations. Changes or additions to the Company’s supply chain require considerable time and resources and involve significant risks and uncertainties. The Company has also outsourced much of its transportation and logistics management. While these arrangements can lower operating costs, they also reduce the Company’s direct control over production and distribution. Such diminished control has from time to time and may in the future have an adverse effect on the quality or quantity of products manufactured or services provided, or adversely affect the Company’s flexibility to respond to changing conditions. Although arrangements with these partners may contain provisions for product defect expense reimbursement, the Company generally remains responsible to the consumer for warranty and out-of-warranty service in the event of product defects and experiences unanticipated product defect liabilities from time to time. While the Company relies on its partners to adhere to its supplier code of conduct, violations of the supplier code of conduct occur from time to time and can materially adversely affect the Company’s business, reputation, results of operations and financial condition.
Apple Inc. | 2023 Form 10-K | 7
The Company relies on single-source outsourcing partners in the U.S., Asia and Europe to supply and manufacture many components, and on outsourcing partners primarily located in Asia, for final assembly of substantially all of the Company’s hardware products. Any failure of these partners to perform can have a negative impact on the Company’s cost or supply of components or finished goods. In addition, manufacturing or logistics in these locations or transit to final destinations can be disrupted for a variety of reasons, including natural and man-made disasters, information technology system failures, commercial disputes, armed conflict, economic, business, labor, environmental, public health or political issues, or international trade disputes.
The Company has invested in manufacturing process equipment, much of which is held at certain of its outsourcing partners, and has made prepayments to certain of its suppliers associated with long-term supply agreements. While these arrangements help ensure the supply of components and finished goods, if these outsourcing partners or suppliers experience severe financial problems or other disruptions in their business, such continued supply can be reduced or terminated, and the recoverability of manufacturing process equipment or prepayments can be negatively impacted.
Future operating results depend upon the Company’s ability to obtain components in sufficient quantities on commercially reasonable terms.
Because the Company currently obtains certain components from single or limited sources, the Company is subject to significant supply and pricing risks. Many components, including those that are available from multiple sources, are at times subject to industry-wide shortages and significant commodity pricing fluctuations that can materially adversely affect the Company’s business, results of operations and financial condition. For example, the global semiconductor industry has in the past experienced high demand and shortages of supply, which adversely affected the Company’s ability to obtain sufficient quantities of components and products on commercially reasonable terms or at all. Such disruptions could occur in the future. While the Company has entered into agreements for the supply of many components, there can be no assurance the Company will be able to extend or renew these agreements on similar terms, or at all. Component suppliers may suffer from poor financial conditions, which can lead to business failure for the supplier or consolidation within a particular industry, further limiting the Company’s ability to obtain sufficient quantities of components on commercially reasonable terms or at all. The effects of global or regional economic conditions on the Company’s suppliers, described in “The Company’s operations and performance depend significantly on global and regional economic conditions and adverse economic conditions can materially adversely affect the Company’s business, results of operations and financial condition,” above, can also affect the Company’s ability to obtain components. Therefore, the Company remains subject to significant risks of supply shortages and price increases that can materially adversely affect its business, results of operations and financial condition.
The Company’s new products often utilize custom components available from only one source. When a component or product uses new technologies, initial capacity constraints may exist until the suppliers’ yields have matured or their manufacturing capacities have increased. The continued availability of these components at acceptable prices, or at all, can be affected for any number of reasons, including if suppliers decide to concentrate on the production of common components instead of components customized to meet the Company’s requirements. When the Company’s supply of components for a new or existing product has been delayed or constrained, or when an outsourcing partner has delayed shipments of completed products to the Company, the Company’s business, results of operations and financial condition have been adversely affected and future delays or constraints could materially adversely affect the Company’s business, results of operations and financial condition. The Company’s business and financial performance could also be materially adversely affected depending on the time required to obtain sufficient quantities from the source, or to identify and obtain sufficient quantities from an alternative source.
The Company’s products and services may be affected from time to time by design and manufacturing defects that could materially adversely affect the Company’s business and result in harm to the Company’s reputation.
The Company offers complex hardware and software products and services that can be affected by design and manufacturing defects. Sophisticated operating system software and applications, such as those offered by the Company, often have issues that can unexpectedly interfere with the intended operation of hardware or software products and services. Defects can also exist in components and products the Company purchases from third parties. Component defects could make the Company’s products unsafe and create a risk of environmental or property damage and personal injury. These risks may increase as the Company’s products are introduced into specialized applications, including health. In addition, the Company’s service offerings can have quality issues and from time to time experience outages, service slowdowns or errors. As a result, from time to time the Company’s services have not performed as anticipated and may not meet customer expectations. There can be no assurance the Company will be able to detect and fix all issues and defects in the hardware, software and services it offers. Failure to do so can result in widespread technical and performance issues affecting the Company’s products and services. In addition, the Company can be exposed to product liability claims, recalls, product replacements or modifications, write-offs of inventory, property, plant and equipment or intangible assets, and significant warranty and other expenses, including litigation costs and regulatory fines. Quality problems can also adversely affect the experience for users of the Company’s products and services, and result in harm to the Company’s reputation, loss of competitive advantage, poor market acceptance, reduced demand for products and services, delay in new product and service introductions and lost sales.
Apple Inc. | 2023 Form 10-K | 8
The Company is exposed to the risk of write-downs on the value of its inventory and other assets, in addition to purchase commitment cancellation risk.
The Company records a write-down for product and component inventories that have become obsolete or exceed anticipated demand, or for which cost exceeds net realizable value. The Company also accrues necessary cancellation fee reserves for orders of excess products and components. The Company reviews long-lived assets, including capital assets held at its suppliers’ facilities and inventory prepayments, for impairment whenever events or circumstances indicate the assets may not be recoverable. If the Company determines that an impairment has occurred, it records a write-down equal to the amount by which the carrying value of the asset exceeds its fair value. Although the Company believes its inventory, capital assets, inventory prepayments and other assets and purchase commitments are currently recoverable, there can be no assurance the Company will not incur write-downs, fees, impairments and other charges given the rapid and unpredictable pace of product obsolescence in the industries in which the Company competes.
The Company orders components for its products and builds inventory in advance of product announcements and shipments. Manufacturing purchase obligations cover the Company’s forecasted component and manufacturing requirements, typically for periods up to 150 days. Because the Company’s markets are volatile, competitive and subject to rapid technology and price changes, there is a risk the Company will forecast incorrectly and order or produce excess or insufficient amounts of components or products, or not fully utilize firm purchase commitments.
The Company relies on access to third-party intellectual property, which may not be available to the Company on commercially reasonable terms or at all.
The Company’s products and services are designed to include intellectual property owned by third parties, which requires licenses from those third parties. In addition, because of technological changes in the industries in which the Company currently competes or in the future may compete, current extensive patent coverage and the rapid rate of issuance of new patents, the Company’s products and services can unknowingly infringe existing patents or intellectual property rights of others. From time to time, the Company has been notified that it may be infringing certain patents or other intellectual property rights of third parties. Based on experience and industry practice, the Company believes licenses to such third-party intellectual property can generally be obtained on commercially reasonable terms. However, there can be no assurance the necessary licenses can be obtained on commercially reasonable terms or at all. Failure to obtain the right to use third-party intellectual property, or to use such intellectual property on commercially reasonable terms, can preclude the Company from selling certain products or services, or otherwise have a material adverse impact on the Company’s business, results of operations and financial condition.
The Company’s future performance depends in part on support from third-party software developers.
The Company believes decisions by customers to purchase its hardware products depend in part on the availability of third-party software applications and services. There can be no assurance third-party developers will continue to develop and maintain software applications and services for the Company’s products. If third-party software applications and services cease to be developed and maintained for the Company’s products, customers may choose not to buy the Company’s products.
The Company believes the availability of third-party software applications and services for its products depends in part on the developers’ perception and analysis of the relative benefits of developing, maintaining and upgrading such software and services for the Company’s products compared to competitors’ platforms, such as Android for smartphones and tablets, Windows for personal computers and tablets, and PlayStation, Nintendo and Xbox for gaming platforms. This analysis may be based on factors such as the market position of the Company and its products, the anticipated revenue that may be generated, expected future growth of product sales, and the costs of developing such applications and services.
The Company’s minority market share in the global smartphone, personal computer and tablet markets can make developers less inclined to develop or upgrade software for the Company’s products and more inclined to devote their resources to developing and upgrading software for competitors’ products with larger market share. When developers focus their efforts on these competing platforms, the availability and quality of applications for the Company’s devices can suffer.
The Company relies on the continued availability and development of compelling and innovative software applications for its products. The Company’s products and operating systems are subject to rapid technological change, and when third-party developers are unable to or choose not to keep up with this pace of change, their applications can fail to take advantage of these changes to deliver improved customer experiences, can operate incorrectly, and can result in dissatisfied customers and lower customer demand for the Company’s products.
Apple Inc. | 2023 Form 10-K | 9
The Company distributes third-party applications for its products through the App Store. For the vast majority of applications, developers keep all of the revenue they generate on the App Store. The Company retains a commission from sales of applications and sales of digital services or goods initiated within an application. From time to time, the Company has made changes to its App Store, including actions taken in response to competition, market conditions and legal and regulatory requirements. The Company expects to make further business changes in the future, including as a result of legislative initiatives impacting the App Store, such as the European Union (“EU”) Digital Markets Act, which the Company is required to comply with by March 2024. The Company is also subject to litigation and investigations relating to the App Store, which have resulted in changes to the Company’s business practices, and may in the future result in further changes. Changes have included how developers communicate with consumers outside the App Store regarding alternative purchasing mechanisms. Future changes could also affect what the Company charges developers for access to its platforms, how it manages distribution of apps outside of the App Store, and how and to what extent it allows developers to communicate with consumers inside the App Store regarding alternative purchasing mechanisms. This could reduce the volume of sales, and the commission that the Company earns on those sales, would decrease. If the rate of the commission that the Company retains on such sales is reduced, or if it is otherwise narrowed in scope or eliminated, the Company’s business, results of operations and financial condition could be materially adversely affected.
Failure to obtain or create digital content that appeals to the Company’s customers, or to make such content available on commercially reasonable terms, could have a material adverse impact on the Company’s business, results of operations and financial condition.
The Company contracts with numerous third parties to offer their digital content to customers. This includes the right to sell, or offer subscriptions to, third-party content, as well as the right to incorporate specific content into the Company’s own services. The licensing or other distribution arrangements for this content can be for relatively short time periods and do not guarantee the continuation or renewal of these arrangements on commercially reasonable terms, or at all. Some third-party content providers and distributors currently or in the future may offer competing products and services, and can take actions to make it difficult or impossible for the Company to license or otherwise distribute their content. Other content owners, providers or distributors may seek to limit the Company’s access to, or increase the cost of, such content. The Company may be unable to continue to offer a wide variety of content at commercially reasonable prices with acceptable usage rules.
The Company also produces its own digital content, which can be costly to produce due to intense and increasing competition for talent, content and subscribers, and may fail to appeal to the Company’s customers.
Some third-party digital content providers require the Company to provide digital rights management and other security solutions. If requirements change, the Company may have to develop or license new technology to provide these solutions. There can be no assurance the Company will be able to develop or license such solutions at a reasonable cost and in a timely manner.
The Company’s success depends largely on the talents and efforts of its team members, the continued service and availability of highly skilled employees, including key personnel, and the Company’s ability to nurture its distinctive and inclusive culture.
Much of the Company’s future success depends on the talents and efforts of its team members and the continued availability and service of key personnel, including its Chief Executive Officer, executive team and other highly skilled employees. Experienced personnel in the technology industry are in high demand and competition for their talents is intense, especially in Silicon Valley, where most of the Company’s key personnel are located. In addition to intense competition for talent, workforce dynamics are constantly evolving. If the Company does not manage changing workforce dynamics effectively, it could materially adversely affect the Company’s culture, reputation and operational flexibility.
The Company believes that its distinctive and inclusive culture is a significant driver of its success. If the Company is unable to nurture its culture, it could materially adversely affect the Company’s ability to recruit and retain the highly skilled employees who are critical to its success, and could otherwise materially adversely affect the Company’s business, reputation, results of operations and financial condition.
The Company depends on the performance of carriers, wholesalers, retailers and other resellers.
The Company distributes its products and certain of its services through cellular network carriers, wholesalers, retailers and resellers, many of which distribute products and services from competitors. The Company also sells its products and services and resells third-party products in most of its major markets directly to consumers, small and mid-sized businesses, and education, enterprise and government customers through its retail and online stores and its direct sales force.
Some carriers providing cellular network service for the Company’s products offer financing, installment payment plans or subsidies for users’ purchases of the device. There can be no assurance such offers will be continued at all or in the same amounts.
Apple Inc. | 2023 Form 10-K | 10
The Company has invested and will continue to invest in programs to enhance reseller sales, including staffing selected resellers’ stores with Company employees and contractors, and improving product placement displays. These programs can require a substantial investment while not assuring return or incremental sales. The financial condition of these resellers could weaken, these resellers could stop distributing the Company’s products, or uncertainty regarding demand for some or all of the Company’s products could cause resellers to reduce their ordering and marketing of the Company’s products.
The Company’s business and reputation are impacted by information technology system failures and network disruptions.
The Company and its global supply chain are dependent on complex information technology systems and are exposed to information technology system failures or network disruptions caused by natural disasters, accidents, power disruptions, telecommunications failures, acts of terrorism or war, computer viruses, physical or electronic break-ins, ransomware or other cybersecurity incidents, or other events or disruptions. System upgrades, redundancy and other continuity measures may be ineffective or inadequate, and the Company’s or its vendors’ business continuity and disaster recovery planning may not be sufficient for all eventualities. Such failures or disruptions can adversely impact the Company’s business by, among other things, preventing access to the Company’s online services, interfering with customer transactions or impeding the manufacturing and shipping of the Company’s products. These events could materially adversely affect the Company’s business, reputation, results of operations and financial condition.
Losses or unauthorized access to or releases of confidential information, including personal information, could subject the Company to significant reputational, financial, legal and operational consequences.
The Company’s business requires it to use and store confidential information, including personal information, with respect to the Company’s customers and employees. The Company devotes significant resources to network and data security, including through the use of encryption and other security measures intended to protect its systems and data. But these measures cannot provide absolute security, and losses or unauthorized access to or releases of confidential information occur and could materially adversely affect the Company’s business, reputation, results of operations and financial condition.
The Company’s business also requires it to share confidential information with suppliers and other third parties. The Company relies on global suppliers that are also exposed to ransomware and other malicious attacks that can disrupt business operations. Although the Company takes steps to secure confidential information that is provided to or accessible by third parties working on the Company’s behalf, such measures are not always effective and losses or unauthorized access to, or releases of, confidential information occur. Such incidents and other malicious attacks could materially adversely affect the Company’s business, reputation, results of operations and financial condition.
The Company experiences malicious attacks and other attempts to gain unauthorized access to its systems on a regular basis. These attacks seek to compromise the confidentiality, integrity or availability of confidential information or disrupt normal business operations, and can, among other things, impair the Company’s ability to attract and retain customers for its products and services, impact the Company’s stock price, materially damage commercial relationships, and expose the Company to litigation or government investigations, which could result in penalties, fines or judgments against the Company. Globally, attacks are expected to continue accelerating in both frequency and sophistication with increasing use by actors of tools and techniques that are designed to circumvent controls, avoid detection, and remove or obfuscate forensic evidence, all of which hinders the Company’s ability to identify, investigate and recover from incidents. In addition, attacks against the Company and its customers can escalate during periods of severe diplomatic or armed conflict.
Although malicious attacks perpetrated to gain access to confidential information, including personal information, affect many companies across various industries, the Company is at a relatively greater risk of being targeted because of its high profile and the value of the confidential information it creates, owns, manages, stores and processes.
The Company has implemented systems and processes intended to secure its information technology systems and prevent unauthorized access to or loss of sensitive data, and mitigate the impact of unauthorized access, including through the use of encryption and authentication technologies. As with all companies, these security measures may not be sufficient for all eventualities and may be vulnerable to hacking, ransomware attacks, employee error, malfeasance, system error, faulty password management or other irregularities. For example, third parties can fraudulently induce the Company’s or its vendors’ employees or customers into disclosing usernames, passwords or other sensitive information, which can, in turn, be used for unauthorized access to the Company’s or its vendors’ systems and services. To help protect customers and the Company, the Company deploys and makes available technologies like multifactor authentication, monitors its services and systems for unusual activity and may freeze accounts under suspicious circumstances, which, among other things, can result in the delay or loss of customer orders or impede customer access to the Company’s products and services.
While the Company maintains insurance coverage that is intended to address certain aspects of data security risks, such insurance coverage may be insufficient to cover all losses or all types of claims that may arise.
Apple Inc. | 2023 Form 10-K | 11
Investment in new business strategies and acquisitions could disrupt the Company’s ongoing business, present risks not originally contemplated and materially adversely affect the Company’s business, reputation, results of operations and financial condition.
The Company has invested, and in the future may invest, in new business strategies or acquisitions. Such endeavors may involve significant risks and uncertainties, including distraction of management from current operations, greater-than-expected liabilities and expenses, economic, political, legal and regulatory challenges associated with operating in new businesses, regions or countries, inadequate return on capital, potential impairment of tangible and intangible assets, and significant write-offs. Investment and acquisition transactions are exposed to additional risks, including failing to obtain required regulatory approvals on a timely basis or at all, or the imposition of onerous conditions that could delay or prevent the Company from completing a transaction or otherwise limit the Company’s ability to fully realize the anticipated benefits of a transaction. These new ventures are inherently risky and may not be successful. The failure of any significant investment could materially adversely affect the Company’s business, reputation, results of operations and financial condition.
The Company’s retail stores are subject to numerous risks and uncertainties.
The Company’s retail operations are subject to many factors that pose risks and uncertainties and could adversely impact the Company’s business, results of operations and financial condition, including macroeconomic factors that could have an adverse effect on general retail activity. Other factors include the Company’s ability to: manage costs associated with retail store construction and operation; manage relationships with existing retail partners; manage costs associated with fluctuations in the value of retail inventory; and obtain and renew leases in quality retail locations at a reasonable cost.
Legal and Regulatory Compliance Risks
The Company’s business, results of operations and financial condition could be adversely impacted by unfavorable results of legal proceedings or government investigations.
The Company is subject to various claims, legal proceedings and government investigations that have arisen in the ordinary course of business and have not yet been fully resolved, and new matters may arise in the future. In addition, agreements entered into by the Company sometimes include indemnification provisions which can subject the Company to costs and damages in the event of a claim against an indemnified third party. The number of claims, legal proceedings and government investigations involving the Company, and the alleged magnitude of such claims, proceedings and government investigations, has generally increased over time and may continue to increase.
The Company has faced and continues to face a significant number of patent claims relating to its cellular-enabled products, and new claims may arise in the future, including as a result of new legal or regulatory frameworks. For example, technology and other patent-holding companies frequently assert their patents and seek royalties and often enter into litigation based on allegations of patent infringement or other violations of intellectual property rights. The Company is vigorously defending infringement actions in courts in several U.S. jurisdictions, as well as internationally in various countries. The plaintiffs in these actions frequently seek injunctions and substantial damages.
Regardless of the merit of particular claims, defending against litigation or responding to government investigations can be expensive, time-consuming and disruptive to the Company’s operations. In recognition of these considerations, the Company may enter into agreements or other arrangements to settle litigation and resolve such challenges. There can be no assurance such agreements can be obtained on acceptable terms or that litigation will not occur. These agreements can also significantly increase the Company’s cost of sales and operating expenses and require the Company to change its business practices and limit the Company’s ability to offer certain products and services.
Except as described in Part I, Item 3 of this Form 10-K under the heading “Legal Proceedings” and in Part II, Item 8 of this Form 10-K in the Notes to Consolidated Financial Statements in Note 12, “Commitments, Contingencies and Supply Concentrations” under the heading “Contingencies,” in the opinion of management, there was not at least a reasonable possibility the Company may have incurred a material loss, or a material loss greater than a recorded accrual, concerning loss contingencies for asserted legal and other claims.
The outcome of litigation or government investigations is inherently uncertain. If one or more legal matters were resolved against the Company or an indemnified third party in a reporting period for amounts above management’s expectations, the Company’s results of operations and financial condition for that reporting period could be materially adversely affected. Further, such an outcome can result in significant compensatory, punitive or trebled monetary damages, disgorgement of revenue or profits, remedial corporate measures or injunctive relief against the Company, and has from time to time required, and can in the future require, the Company to change its business practices and limit the Company’s ability to offer certain products and services, all of which could materially adversely affect the Company’s business, reputation, results of operations and financial condition.
While the Company maintains insurance coverage for certain types of claims, such insurance coverage may be insufficient to cover all losses or all types of claims that may arise.
Apple Inc. | 2023 Form 10-K | 12
The Company is subject to complex and changing laws and regulations worldwide, which exposes the Company to potential liabilities, increased costs and other adverse effects on the Company’s business.
The Company’s global operations are subject to complex and changing laws and regulations on subjects, including antitrust; privacy, data security and data localization; consumer protection; advertising, sales, billing and e-commerce; financial services and technology; product liability; intellectual property ownership and infringement; digital platforms; machine learning and artificial intelligence; internet, telecommunications and mobile communications; media, television, film and digital content; availability of third-party software applications and services; labor and employment; anticorruption; import, export and trade; foreign exchange controls and cash repatriation restrictions; anti–money laundering; foreign ownership and investment; tax; and environmental, health and safety, including electronic waste, recycling, product design and climate change.
Compliance with these laws and regulations is onerous and expensive. New and changing laws and regulations can adversely affect the Company’s business by increasing the Company’s costs, limiting the Company’s ability to offer a product, service or feature to customers, imposing changes to the design of the Company’s products and services, impacting customer demand for the Company’s products and services, and requiring changes to the Company’s supply chain and its business. New and changing laws and regulations can also create uncertainty about how such laws and regulations will be interpreted and applied. These risks and costs may increase as the Company’s products and services are introduced into specialized applications, including health and financial services. The Company has implemented policies and procedures designed to ensure compliance with applicable laws and regulations, but there can be no assurance the Company’s employees, contractors or agents will not violate such laws and regulations or the Company’s policies and procedures. If the Company is found to have violated laws and regulations, it could materially adversely affect the Company’s business, reputation, results of operations and financial condition. Regulatory changes and other actions that materially adversely affect the Company’s business may be announced with little or no advance notice and the Company may not be able to effectively mitigate all adverse impacts from such measures. For example, the Company is subject to changing regulations relating to the export and import of its products. Although the Company has programs, policies and procedures in place that are designed to satisfy regulatory requirements, there can be no assurance that such policies and procedures will be effective in preventing a violation or a claim of a violation. As a result, the Company’s products could be banned, delayed or prohibited from importation, which could materially adversely affect the Company’s business, reputation, results of operations and financial condition.
Expectations relating to environmental, social and governance considerations and related reporting obligations expose the Company to potential liabilities, increased costs, reputational harm, and other adverse effects on the Company’s business.
Many governments, regulators, investors, employees, customers and other stakeholders are increasingly focused on environmental, social and governance considerations relating to businesses, including climate change and greenhouse gas emissions, human and civil rights, and diversity, equity and inclusion. In addition, the Company makes statements about its goals and initiatives through its various non-financial reports, information provided on its website, press statements and other communications. Responding to these environmental, social and governance considerations and implementation of these goals and initiatives involves risks and uncertainties, requires investments, and depends in part on third-party performance or data that is outside the Company’s control. The Company cannot guarantee that it will achieve its announced environmental, social and governance goals and initiatives. In addition, some stakeholders may disagree with the Company’s goals and initiatives. Any failure, or perceived failure, by the Company to achieve its goals, further its initiatives, adhere to its public statements, comply with federal, state or international environmental, social and governance laws and regulations, or meet evolving and varied stakeholder expectations and standards could result in legal and regulatory proceedings against the Company and materially adversely affect the Company’s business, reputation, results of operations, financial condition and stock price.
The technology industry, including, in some instances, the Company, is subject to intense media, political and regulatory scrutiny, which exposes the Company to increasing regulation, government investigations, legal actions and penalties.
From time to time, the Company has made changes to its App Store, including actions taken in response to litigation, competition, market conditions and legal and regulatory requirements. The Company expects to make further business changes in the future, including as a result of legislative initiatives impacting the App Store, such as the EU Digital Markets Act, which the Company is required to comply with by March 2024, or similar laws in other jurisdictions. Changes have included how developers communicate with consumers outside the App Store regarding alternative purchasing mechanisms. Future changes could also affect what the Company charges developers for access to its platforms, how it manages distribution of apps outside of the App Store, and how and to what extent it allows developers to communicate with consumers inside the App Store regarding alternative purchasing mechanisms.
Apple Inc. | 2023 Form 10-K | 13
The Company is also currently subject to antitrust investigations in various jurisdictions around the world, which can result in legal proceedings and claims against the Company that could, individually or in the aggregate, have a materially adverse impact on the Company’s business, results of operations and financial condition. For example, the Company is the subject of investigations in Europe and other jurisdictions relating to App Store terms and conditions. If such investigations result in adverse findings against the Company, the Company could be exposed to significant fines and may be required to make changes to its App Store business, all of which could materially adversely affect the Company’s business, results of operations and financial condition. The Company is also subject to litigation relating to the App Store, which has resulted in changes to the Company’s business practices, and may in the future result in further changes.
Further, the Company has commercial relationships with other companies in the technology industry that are or may become subject to investigations and litigation that, if resolved against those other companies, could materially adversely affect the Company’s commercial relationships with those business partners and materially adversely affect the Company’s business, results of operations and financial condition. For example, the Company earns revenue from licensing arrangements with other companies to offer their search services on the Company’s platforms and applications, and certain of these arrangements are currently subject to government investigations and legal proceedings.
There can be no assurance the Company’s business will not be materially adversely affected, individually or in the aggregate, by the outcomes of such investigations, litigation or changes to laws and regulations in the future. Changes to the Company’s business practices to comply with new laws and regulations or in connection with other legal proceedings could negatively impact the reputation of the Company’s products for privacy and security and otherwise adversely affect the experience for users of the Company’s products and services, and result in harm to the Company’s reputation, loss of competitive advantage, poor market acceptance, reduced demand for products and services, and lost sales.
The Company’s business is subject to a variety of U.S. and international laws, rules, policies and other obligations regarding data protection.
The Company is subject to an increasing number of federal, state and international laws relating to the collection, use, retention, security and transfer of various types of personal information. In many cases, these laws apply not only to third-party transactions, but also restrict transfers of personal information among the Company and its international subsidiaries. Several jurisdictions have passed laws in this area, and additional jurisdictions are considering imposing additional restrictions or have laws that are pending. These laws continue to develop and may be inconsistent from jurisdiction to jurisdiction. Complying with emerging and changing requirements causes the Company to incur substantial costs and has required and may in the future require the Company to change its business practices. Noncompliance could result in significant penalties or legal liability.
The Company makes statements about its use and disclosure of personal information through its privacy policy, information provided on its website, press statements and other privacy notices provided to customers. Any failure by the Company to comply with these public statements or with other federal, state or international privacy or data protection laws and regulations could result in inquiries or proceedings against the Company by governmental entities or others. In addition to reputational impacts, penalties could include ongoing audit requirements and significant legal liability.
In addition to the risks generally relating to the collection, use, retention, security and transfer of personal information, the Company is also subject to specific obligations relating to information considered sensitive under applicable laws, such as health data, financial data and biometric data. Health data and financial data are subject to additional privacy, security and breach notification requirements, and the Company is subject to audit by governmental authorities regarding the Company’s compliance with these obligations. If the Company fails to adequately comply with these rules and requirements, or if health data or financial data is handled in a manner not permitted by law or under the Company’s agreements with healthcare or financial institutions, the Company can be subject to litigation or government investigations, and can be liable for associated investigatory expenses, and can also incur significant fees or fines.
Payment card data is also subject to additional requirements. Under payment card rules and obligations, if cardholder information is potentially compromised, the Company can be liable for associated investigatory expenses and can also incur significant fees or fines if the Company fails to follow payment card industry data security standards. The Company could also experience a significant increase in payment card transaction costs or lose the ability to process payment cards if it fails to follow payment card industry data security standards, which could materially adversely affect the Company’s business, reputation, results of operations and financial condition.
Apple Inc. | 2023 Form 10-K | 14
Financial Risks
The Company expects its quarterly net sales and results of operations to fluctuate.
The Company’s profit margins vary across its products, services, geographic segments and distribution channels. For example, the gross margins on the Company’s products and services vary significantly and can change over time. The Company’s gross margins are subject to volatility and downward pressure due to a variety of factors, including: continued industry-wide global product pricing pressures and product pricing actions that the Company may take in response to such pressures; increased competition; the Company’s ability to effectively stimulate demand for certain of its products and services; compressed product life cycles; supply shortages; potential increases in the cost of components, outside manufacturing services, and developing, acquiring and delivering content for the Company’s services; the Company’s ability to manage product quality and warranty costs effectively; shifts in the mix of products and services, or in the geographic, currency or channel mix, including to the extent that regulatory changes require the Company to modify its product and service offerings; fluctuations in foreign exchange rates; inflation and other macroeconomic pressures; and the introduction of new products or services, including new products or services with higher cost structures. These and other factors could have a materially adverse impact on the Company’s results of operations and financial condition.
The Company has historically experienced higher net sales in its first quarter compared to other quarters in its fiscal year due in part to seasonal holiday demand. Additionally, new product and service introductions can significantly impact net sales, cost of sales and operating expenses. Further, the Company generates a significant portion of its net sales from a single product and a decline in demand for that product could significantly impact quarterly net sales. The Company could also be subject to unexpected developments, such as lower-than-anticipated demand for the Company’s products or services, issues with new product or service introductions, information technology system failures or network disruptions, or failure of one of the Company’s logistics, components supply, or manufacturing partners.
The Company’s financial performance is subject to risks associated with changes in the value of the U.S. dollar relative to local currencies.
The Company’s primary exposure to movements in foreign exchange rates relates to non–U.S. dollar–denominated sales, cost of sales and operating expenses worldwide. Gross margins on the Company’s products in foreign countries and on products that include components obtained from foreign suppliers have in the past been adversely affected and could in the future be materially adversely affected by foreign exchange rate fluctuations.
The weakening of foreign currencies relative to the U.S. dollar adversely affects the U.S. dollar value of the Company’s foreign currency–denominated sales and earnings, and generally leads the Company to raise international pricing, potentially reducing demand for the Company’s products. In some circumstances, for competitive or other reasons, the Company may decide not to raise international pricing to offset the U.S. dollar’s strengthening, which would adversely affect the U.S. dollar value of the gross margins the Company earns on foreign currency–denominated sales.
Conversely, a strengthening of foreign currencies relative to the U.S. dollar, while generally beneficial to the Company’s foreign currency–denominated sales and earnings, could cause the Company to reduce international pricing or incur losses on its foreign currency derivative instruments, thereby limiting the benefit. Additionally, strengthening of foreign currencies may increase the Company’s cost of product components denominated in those currencies, thus adversely affecting gross margins.
The Company uses derivative instruments, such as foreign currency forward and option contracts, to hedge certain exposures to fluctuations in foreign exchange rates. The use of such hedging activities may not be effective to offset any, or more than a portion, of the adverse financial effects of unfavorable movements in foreign exchange rates over the limited time the hedges are in place.
The Company is exposed to credit risk and fluctuations in the values of its investment portfolio.
The Company’s investments can be negatively affected by changes in liquidity, credit deterioration, financial results, market and economic conditions, political risk, sovereign risk, interest rate fluctuations or other factors. As a result, the value and liquidity of the Company’s cash, cash equivalents and marketable securities may fluctuate substantially. Therefore, although the Company has not realized any significant losses on its cash, cash equivalents and marketable securities, future fluctuations in their value could result in significant losses and could have a material adverse impact on the Company’s results of operations and financial condition.
Apple Inc. | 2023 Form 10-K | 15
The Company is exposed to credit risk on its trade accounts receivable, vendor non-trade receivables and prepayments related to long-term supply agreements, and this risk is heightened during periods when economic conditions worsen.
The Company distributes its products and certain of its services through third-party cellular network carriers, wholesalers, retailers and resellers. The Company also sells its products and services directly to small and mid-sized businesses and education, enterprise and government customers. A substantial majority of the Company’s outstanding trade receivables are not covered by collateral, third-party bank support or financing arrangements, or credit insurance, and a significant portion of the Company’s trade receivables can be concentrated within cellular network carriers or other resellers. The Company’s exposure to credit and collectibility risk on its trade receivables is higher in certain international markets and its ability to mitigate such risks may be limited. The Company also has unsecured vendor non-trade receivables resulting from purchases of components by outsourcing partners and other vendors that manufacture subassemblies or assemble final products for the Company. In addition, the Company has made prepayments associated with long-term supply agreements to secure supply of inventory components. As of September 30, 2023, the Company’s vendor non-trade receivables and prepayments related to long-term supply agreements were concentrated among a few individual vendors located primarily in Asia. While the Company has procedures to monitor and limit exposure to credit risk on its trade and vendor non-trade receivables, as well as long-term prepayments, there can be no assurance such procedures will effectively limit its credit risk and avoid losses.
The Company is subject to changes in tax rates, the adoption of new U.S. or international tax legislation and exposure to additional tax liabilities.
The Company is subject to taxes in the U.S. and numerous foreign jurisdictions, including Ireland and Singapore, where a number of the Company’s subsidiaries are organized. Due to economic and political conditions, tax laws and tax rates for income taxes and other non-income taxes in various jurisdictions may be subject to significant change. For example, the Organisation for Economic Co-operation and Development continues to advance proposals for modernizing international tax rules, including the introduction of global minimum tax standards. The Company’s effective tax rates are affected by changes in the mix of earnings in countries with differing statutory tax rates, changes in the valuation of deferred tax assets and liabilities, the introduction of new taxes, and changes in tax laws or their interpretation. The application of tax laws may be uncertain, require significant judgment and be subject to differing interpretations.
The Company is also subject to the examination of its tax returns and other tax matters by the U.S. Internal Revenue Service and other tax authorities and governmental bodies. The Company regularly assesses the likelihood of an adverse outcome resulting from these examinations to determine the adequacy of its provision for taxes. There can be no assurance as to the outcome of these examinations. If the Company’s effective tax rates were to increase, or if the ultimate determination of the Company’s taxes owed is for an amount in excess of amounts previously accrued, the Company’s business, results of operations and financial condition could be materially adversely affected.
The Company is exposed to credit risk on its trade accounts receivable, vendor non-trade receivables and prepayments related to long-term supply agreements, and this risk is heightened during periods when economic conditions worsen.
The Company distributes its products and certain of its services through third-party cellular network carriers, wholesalers, retailers and resellers. The Company also sells its products and services directly to small and mid-sized businesses and education, enterprise and government customers. A substantial majority of the Company’s outstanding trade receivables are not covered by collateral, third-party bank support or financing arrangements, or credit insurance, and a significant portion of the Company’s trade receivables can be concentrated within cellular network carriers or other resellers. The Company’s exposure to credit and collectibility risk on its trade receivables is higher in certain international markets and its ability to mitigate such risks may be limited. The Company also has unsecured vendor non-trade receivables resulting from purchases of components by outsourcing partners and other vendors that manufacture subassemblies or assemble final products for the Company. In addition, the Company has made prepayments associated with long-term supply agreements to secure supply of inventory components. As of September 30, 2023, the Company’s vendor non-trade receivables and prepayments related to long-term supply agreements were concentrated among a few individual vendors located primarily in Asia. While the Company has procedures to monitor and limit exposure to credit risk on its trade and vendor non-trade receivables, as well as long-term prepayments, there can be no assurance such procedures will effectively limit its credit risk and avoid losses.
The Company is subject to changes in tax rates, the adoption of new U.S. or international tax legislation and exposure to additional tax liabilities.
The Company is subject to taxes in the U.S. and numerous foreign jurisdictions, including Ireland and Singapore, where a number of the Company’s subsidiaries are organized. Due to economic and political conditions, tax laws and tax rates for income taxes and other non-income taxes in various jurisdictions may be subject to significant change. For example, the Organisation for Economic Co-operation and Development continues to advance proposals for modernizing international tax rules, including the introduction of global minimum tax standards. The Company’s effective tax rates are affected by changes in the mix of earnings in countries with differing statutory tax rates, changes in the valuation of deferred tax assets and liabilities, the introduction of new taxes, and changes in tax laws or their interpretation. The application of tax laws may be uncertain, require significant judgment and be subject to differing interpretations.
The Company is also subject to the examination of its tax returns and other tax matters by the U.S. Internal Revenue Service and other tax authorities and governmental bodies. The Company regularly assesses the likelihood of an adverse outcome resulting from these examinations to determine the adequacy of its provision for taxes. There can be no assurance as to the outcome of these examinations. If the Company’s effective tax rates were to increase, or if the ultimate determination of the Company’s taxes owed is for an amount in excess of amounts previously accrued, the Company’s business, results of operations and financial condition could be materially adversely affected.
The Company is exposed to credit risk on its trade accounts receivable, vendor non-trade receivables and prepayments related to long-term supply agreements, and this risk is heightened during periods when economic conditions worsen.
The Company distributes its products and certain of its services through third-party cellular network carriers, wholesalers, retailers and resellers. The Company also sells its products and services directly to small and mid-sized businesses and education, enterprise and government customers. A substantial majority of the Company’s outstanding trade receivables are not covered by collateral, third-party bank support or financing arrangements, or credit insurance, and a significant portion of the Company’s trade receivables can be concentrated within cellular network carriers or other resellers. The Company’s exposure to credit and collectibility risk on its trade receivables is higher in certain international markets and its ability to mitigate such risks may be limited. The Company also has unsecured vendor non-trade receivables resulting from purchases of components by outsourcing partners and other vendors that manufacture subassemblies or assemble final products for the Company. In addition, the Company has made prepayments associated with long-term supply agreements to secure supply of inventory components. As of September 30, 2023, the Company’s vendor non-trade receivables and prepayments related to long-term supply agreements were concentrated among a few individual vendors located primarily in Asia. While the Company has procedures to monitor and limit exposure to credit risk on its trade and vendor non-trade receivables, as well as long-term prepayments, there can be no assurance such procedures will effectively limit its credit risk and avoid losses.
The Company is subject to changes in tax rates, the adoption of new U.S. or international tax legislation and exposure to additional tax liabilities.
The Company is subject to taxes in the U.S. and numerous foreign jurisdictions, including Ireland and Singapore, where a number of the Company’s subsidiaries are organized. Due to economic and political conditions, tax laws and tax rates for income taxes and other non-income taxes in various jurisdictions may be subject to significant change. For example, the Organisation for Economic Co-operation and Development continues to advance proposals for modernizing international tax rules, including the introduction of global minimum tax standards. The Company’s effective tax rates are affected by changes in the mix of earnings in countries with differing statutory tax rates, changes in the valuation of deferred tax assets and liabilities, the introduction of new taxes, and changes in tax laws or their interpretation. The application of tax laws may be uncertain, require significant judgment and be subject to differing interpretations.
The Company is also subject to the examination of its tax returns and other tax matters by the U.S. Internal Revenue Service and other tax authorities and governmental bodies. The Company regularly assesses the likelihood of an adverse outcome resulting from these examinations to determine the adequacy of its provision for taxes. There can be no assurance as to the outcome of these examinations. If the Company’s effective tax rates were to increase, or if the ultimate determination of the Company’s taxes owed is for an amount in excess of amounts previously accrued, the Company’s business, results of operations and financial condition could be materially adversely affected.
The Company is exposed to credit risk on its trade accounts receivable, vendor non-trade receivables and prepayments related to long-term supply agreements, and this risk is heightened during periods when economic conditions worsen.
The Company distributes its products and certain of its services through third-party cellular network carriers, wholesalers, retailers and resellers. The Company also sells its products and services directly to small and mid-sized businesses and education, enterprise and government customers. A substantial majority of the Company’s outstanding trade receivables are not covered by collateral, third-party bank support or financing arrangements, or credit insurance, and a significant portion of the Company’s trade receivables can be concentrated within cellular network carriers or other resellers. The Company’s exposure to credit and collectibility risk on its trade receivables is higher in certain international markets and its ability to mitigate such risks may be limited. The Company also has unsecured vendor non-trade receivables resulting from purchases of components by outsourcing partners and other vendors that manufacture subassemblies or assemble final products for the Company. In addition, the Company has made prepayments associated with long-term supply agreements to secure supply of inventory components. As of September 30, 2023, the Company’s vendor non-trade receivables and prepayments related to long-term supply agreements were concentrated among a few individual vendors located primarily in Asia. While the Company has procedures to monitor and limit exposure to credit risk on its trade and vendor non-trade receivables, as well as long-term prepayments, there can be no assurance such procedures will effectively limit its credit risk and avoid losses.
The Company is subject to changes in tax rates, the adoption of new U.S. or international tax legislation and exposure to additional tax liabilities.
The Company is subject to taxes in the U.S. and numerous foreign jurisdictions, including Ireland and Singapore, where a number of the Company’s subsidiaries are organized. Due to economic and political conditions, tax laws and tax rates for income taxes and other non-income taxes in various jurisdictions may be subject to significant change. For example, the Organisation for Economic Co-operation and Development continues to advance proposals for modernizing international tax rules, including the introduction of global minimum tax standards. The Company’s effective tax rates are affected by changes in the mix of earnings in countries with differing statutory tax rates, changes in the valuation of deferred tax assets and liabilities, the introduction of new taxes, and changes in tax laws or their interpretation. The application of tax laws may be uncertain, require significant judgment and be subject to differing interpretations.
The Company is also subject to the examination of its tax returns and other tax matters by the U.S. Internal Revenue Service and other tax authorities and governmental bodies. The Company regularly assesses the likelihood of an adverse outcome resulting from these examinations to determine the adequacy of its provision for taxes. There can be no assurance as to the outcome of these examinations. If the Company’s effective tax rates were to increase, or if the ultimate determination of the Company’s taxes owed is for an amount in excess of amounts previously accrued, the Company’s business, results of operations and financial condition could be materially adversely affected.
The Company is exposed to credit risk on its trade accounts receivable, vendor non-trade receivables and prepayments related to long-term supply agreements, and this risk is heightened during periods when economic conditions worsen.
The Company distributes its products and certain of its services through third-party cellular network carriers, wholesalers, retailers and resellers. The Company also sells its products and services directly to small and mid-sized businesses and education, enterprise and government customers. A substantial majority of the Company’s outstanding trade receivables are not covered by collateral, third-party bank support or financing arrangements, or credit insurance, and a significant portion of the Company’s trade receivables can be concentrated within cellular network carriers or other resellers. The Company’s exposure to credit and collectibility risk on its trade receivables is higher in certain international markets and its ability to mitigate such risks may be limited. The Company also has unsecured vendor non-trade receivables resulting from purchases of components by outsourcing partners and other vendors that manufacture subassemblies or assemble final products for the Company. In addition, the Company has made prepayments associated with long-term supply agreements to secure supply of inventory components. As of September 30, 2023, the Company’s vendor non-trade receivables and prepayments related to long-term supply agreements were concentrated among a few individual vendors located primarily in Asia. While the Company has procedures to monitor and limit exposure to credit risk on its trade and vendor non-trade receivables, as well as long-term prepayments, there can be no assurance such procedures will effectively limit its credit risk and avoid losses.
The Company is subject to changes in tax rates, the adoption of new U.S. or international tax legislation and exposure to additional tax liabilities.
The Company is subject to taxes in the U.S. and numerous foreign jurisdictions, including Ireland and Singapore, where a number of the Company’s subsidiaries are organized. Due to economic and political conditions, tax laws and tax rates for income taxes and other non-income taxes in various jurisdictions may be subject to significant change. For example, the Organisation for Economic Co-operation and Development continues to advance proposals for modernizing international tax rules, including the introduction of global minimum tax standards. The Company’s effective tax rates are affected by changes in the mix of earnings in countries with differing statutory tax rates, changes in the valuation of deferred tax assets and liabilities, the introduction of new taxes, and changes in tax laws or their interpretation. The application of tax laws may be uncertain, require significant judgment and be subject to differing interpretations.
The Company is also subject to the examination of its tax returns and other tax matters by the U.S. Internal Revenue Service and other tax authorities and governmental bodies. The Company regularly assesses the likelihood of an adverse outcome resulting from these examinations to determine the adequacy of its provision for taxes. There can be no assurance as to the outcome of these examinations. If the Company’s effective tax rates were to increase, or if the ultimate determination of the Company’s taxes owed is for an amount in excess of amounts previously accrued, the Company’s business, results of operations and financial condition could be materially adversely affected.
General Risks
The price of the Company’s stock is subject to volatility.
The Company’s stock has experienced substantial price volatility in the past and may continue to do so in the future. Additionally, the Company, the technology industry and the stock market as a whole have, from time to time, experienced extreme stock price and volume fluctuations that have affected stock prices in ways that may have been unrelated to these companies’ operating performance. Price volatility may cause the average price at which the Company repurchases its stock in a given period to exceed the stock’s price at a given point in time. The Company believes the price of its stock should reflect expectations of future growth and profitability. The Company also believes the price of its stock should reflect expectations that its cash dividend will continue at current levels or grow, and that its current share repurchase program will be fully consummated. Future dividends are subject to declaration by the Company’s Board of Directors, and the Company’s share repurchase program does not obligate it to acquire any specific number of shares. If the Company fails to meet expectations related to future growth, profitability, dividends, share repurchases or other market expectations, the price of the Company’s stock may decline significantly, which could have a material adverse impact on investor confidence and employee retention.
Item 1B. Unresolved Staff Comments
None.
Item 1C. Cybersecurity
Not applicable.
Apple Inc. | 2023 Form 10-K | 16
Item 2. Properties
The Company’s headquarters is located in Cupertino, California. As of September 30, 2023, the Company owned or leased facilities and land for corporate functions, R&D, data centers, retail and other purposes at locations throughout the U.S. and in various places outside the U.S. The Company believes its existing facilities and equipment, which are used by all reportable segments, are in good operating condition and are suitable for the conduct of its business.
Item 3. Legal Proceedings
Epic Games
Epic Games, Inc. (“Epic”) filed a lawsuit in the U.S. District Court for the Northern District of California (the “District Court”) against the Company alleging violations of federal and state antitrust laws and California’s unfair competition law based upon the Company’s operation of its App Store. On September 10, 2021, the District Court ruled in favor of the Company with respect to nine out of the ten counts included in Epic’s claim. The District Court found that certain provisions of the Company’s App Store Review Guidelines violate California’s unfair competition law and issued an injunction enjoining the Company from prohibiting developers from including in their apps external links that direct customers to purchasing mechanisms other than Apple in-app purchasing. The injunction applies to apps on the U.S. storefront of the iOS and iPadOS App Store. On April 24, 2023, the U.S. Court of Appeals for the Ninth Circuit (the “Circuit Court”) affirmed the District Court’s ruling. On June 7, 2023, the Company and Epic filed petitions with the Circuit Court requesting further review of the decision. On June 30, 2023, the Circuit Court denied both petitions. On July 17, 2023, the Circuit Court granted Apple’s motion to stay enforcement of the injunction pending appeal to the U.S. Supreme Court. If the U.S. Supreme Court denies Apple’s petition, the stay of the injunction will expire.
Masimo
Masimo Corporation and Cercacor Laboratories, Inc. (together, “Masimo”) filed a complaint before the U.S. International Trade Commission (the “ITC”) alleging infringement by the Company of five patents relating to the functionality of the blood oxygen feature in Apple Watch Series 6 and 7. In its complaint, Masimo sought a permanent exclusion order prohibiting importation to the United States of certain Apple Watch models that include blood oxygen sensing functionality. On October 26, 2023, the ITC entered a limited exclusion order (the “Order”) prohibiting importation and sales in the United States of Apple Watch models with blood oxygen sensing functionality, which includes Apple Watch Series 9 and Ultra 2. The Order will not go into effect until the end of the administrative review period, which is currently expected to end on December 25, 2023. The Company intends to appeal the Order and seek a stay pending the appeal.
Other Legal Proceedings
The Company is subject to other legal proceedings and claims that have not been fully resolved and that have arisen in the ordinary course of business. The Company settled certain matters during the fourth quarter of 2023 that did not individually or in the aggregate have a material impact on the Company’s financial condition or operating results. The outcome of litigation is inherently uncertain. If one or more legal matters were resolved against the Company in a reporting period for amounts above management’s expectations, the Company’s financial condition and operating results for that reporting period could be materially adversely affected.
Item 4. Mine Safety Disclosures
Not applicable.
Apple Inc. | 2023 Form 10-K | 17
PART II
Item 5. Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities
The Company’s common stock is traded on The Nasdaq Stock Market LLC under the symbol AAPL.
Holders
As of October 20, 2023, there were 23,763 shareholders of record.
Purchases of Equity Securities by the Issuer and Affiliated Purchasers
Share repurchase activity during the three months ended September 30, 2023 was as follows (in millions, except number of shares, which are reflected in thousands, and per-share amounts):
Periods Total Number
of Shares Purchased Average Price
Paid Per Share Total Number of Shares
Purchased as Part of Publicly
Announced Plans or Programs Approximate Dollar Value of
Shares That May Yet Be Purchased
Under the Plans or Programs (1)
July 2, 2023 to August 5, 2023:
Open market and privately negotiated purchases 33,864 $ 191.62 33,864
August 6, 2023 to September 2, 2023:
August 2023 ASRs 22,085 (2) (2) 22,085 (2)
Open market and privately negotiated purchases 30,299 $ 178.99 30,299
September 3, 2023 to September 30, 2023:
Open market and privately negotiated purchases 20,347 $ 176.31 20,347
Total 106,595 $ 74,069
(1)As of September 30, 2023, the Company was authorized by the Board of Directors to purchase up to $90 billion of the Company’s common stock under a share repurchase program announced on May 4, 2023, of which $15.9 billion had been utilized. During the fourth quarter of 2023, the Company also utilized the final $4.6 billion under its previous repurchase program, which was most recently authorized in April 2022. The programs do not obligate the Company to acquire a minimum amount of shares. Under the programs, shares may be repurchased in privately negotiated or open market transactions, including under plans complying with Rule 10b5-1 under the Exchange Act.
(2)In August 2023, the Company entered into new accelerated share repurchase agreements (“ASRs”). Under the terms of the ASRs, two financial institutions committed to deliver shares of the Company’s common stock during the purchase periods in exchange for up-front payments totaling $5.0 billion. The total number of shares ultimately delivered under the ASRs, and therefore the average repurchase price paid per share, is determined based on the volume-weighted average price of the Company’s common stock during the ASRs’ purchase periods, which end in the first quarter of 2024.
Apple Inc. | 2023 Form 10-K | 18
Company Stock Performance
The following graph shows a comparison of five-year cumulative total shareholder return, calculated on a dividend-reinvested basis, for the Company, the S&P 500 Index and the Dow Jones U.S. Technology Supersector Index. The graph assumes $100 was invested in each of the Company’s common stock, the S&P 500 Index and the Dow Jones U.S. Technology Supersector Index as of the market close on September 28, 2018. Past stock price performance is not necessarily indicative of future stock price performance.
September 2018 September 2019 September 2020 September 2021 September 2022 September 2023
Apple Inc. $ 100 $ 98 $ 204 $ 269 $ 277 $ 317
S&P 500 Index $ 100 $ 104 $ 118 $ 161 $ 136 $ 160
Dow Jones U.S. Technology Supersector Index $ 100 $ 105 $ 154 $ 227 $ 164 $ 226
Item 6. [Reserved]
Apple Inc. | 2023 Form 10-K | 19
Item 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations
The following discussion should be read in conjunction with the consolidated financial statements and accompanying notes included in Part II, Item 8 of this Form 10-K. This Item generally discusses 2023 and 2022 items and year-to-year comparisons between 2023 and 2022. Discussions of 2021 items and year-to-year comparisons between 2022 and 2021 are not included, and can be found in “Management’s Discussion and Analysis of Financial Condition and Results of Operations” in Part II, Item 7 of the Company’s Annual Report on Form 10-K for the fiscal year ended September 24, 2022.
Fiscal Period
The Company’s fiscal year is the 52- or 53-week period that ends on the last Saturday of September. An additional week is included in the first fiscal quarter every five or six years to realign the Company’s fiscal quarters with calendar quarters, which occurred in the first quarter of 2023. The Company’s fiscal year 2023 spanned 53 weeks, whereas fiscal years 2022 and 2021 spanned 52 weeks each.
Fiscal Year Highlights
The Company’s total net sales were $383.3 billion and net income was $97.0 billion during 2023.
The Company’s total net sales decreased 3% or $11.0 billion during 2023 compared to 2022. The weakness in foreign currencies relative to the U.S. dollar accounted for more than the entire year-over-year decrease in total net sales, which consisted primarily of lower net sales of Mac and iPhone, partially offset by higher net sales of Services.
The Company announces new product, service and software offerings at various times during the year. Significant announcements during fiscal year 2023 included the following:
First Quarter 2023:
•iPad and iPad Pro;
•Next-generation Apple TV 4K; and
•MLS Season Pass, a Major League Soccer subscription streaming service.
Second Quarter 2023:
•MacBook Pro 14”, MacBook Pro 16” and Mac mini; and
•Second-generation HomePod.
Third Quarter 2023:
•MacBook Air 15”, Mac Studio and Mac Pro;
•Apple Vision Pro™, the Company’s first spatial computer featuring its new visionOS™, expected to be available in early calendar year 2024; and
•iOS 17, macOS Sonoma, iPadOS 17, tvOS 17 and watchOS 10, updates to the Company’s operating systems.
Fourth Quarter 2023:
•iPhone 15, iPhone 15 Plus, iPhone 15 Pro and iPhone 15 Pro Max; and
•Apple Watch Series 9 and Apple Watch Ultra 2.
In May 2023, the Company announced a new share repurchase program of up to $90 billion and raised its quarterly dividend from $0.23 to $0.24 per share beginning in May 2023. During 2023, the Company repurchased $76.6 billion of its common stock and paid dividends and dividend equivalents of $15.0 billion.
Macroeconomic Conditions
Macroeconomic conditions, including inflation, changes in interest rates, and currency fluctuations, have directly and indirectly impacted, and could in the future materially impact, the Company’s results of operations and financial condition.
Apple Inc. | 2023 Form 10-K | 20
Segment Operating Performance
The following table shows net sales by reportable segment for 2023, 2022 and 2021 (dollars in millions):
2023 Change 2022 Change 2021
Net sales by reportable segment:
Americas $ 162,560 (4) % $ 169,658 11 % $ 153,306
Europe 94,294 (1) % 95,118 7 % 89,307
Greater China 72,559 (2) % 74,200 9 % 68,366
Japan 24,257 (7) % 25,977 (9) % 28,482
Rest of Asia Pacific 29,615 1 % 29,375 11 % 26,356
Total net sales $ 383,285 (3) % $ 394,328 8 % $ 365,817
Americas
Americas net sales decreased 4% or $7.1 billion during 2023 compared to 2022 due to lower net sales of iPhone and Mac, partially offset by higher net sales of Services.
Europe
Europe net sales decreased 1% or $824 million during 2023 compared to 2022. The weakness in foreign currencies relative to the U.S. dollar accounted for more than the entire year-over-year decrease in Europe net sales, which consisted primarily of lower net sales of Mac and Wearables, Home and Accessories, partially offset by higher net sales of iPhone and Services.
Greater China
Greater China net sales decreased 2% or $1.6 billion during 2023 compared to 2022. The weakness in the renminbi relative to the U.S. dollar accounted for more than the entire year-over-year decrease in Greater China net sales, which consisted primarily of lower net sales of Mac and iPhone.
Japan
Japan net sales decreased 7% or $1.7 billion during 2023 compared to 2022. The weakness in the yen relative to the U.S. dollar accounted for more than the entire year-over-year decrease in Japan net sales, which consisted primarily of lower net sales of iPhone, Wearables, Home and Accessories and Mac.
Rest of Asia Pacific
Rest of Asia Pacific net sales increased 1% or $240 million during 2023 compared to 2022. The weakness in foreign currencies relative to the U.S. dollar had a significantly unfavorable year-over-year impact on Rest of Asia Pacific net sales. The net sales increase consisted of higher net sales of iPhone and Services, partially offset by lower net sales of Mac and iPad.
Apple Inc. | 2023 Form 10-K | 21
Products and Services Performance
The following table shows net sales by category for 2023, 2022 and 2021 (dollars in millions):
2023 Change 2022 Change 2021
Net sales by category:
iPhone (1) $ 200,583 (2) % $ 205,489 7 % $ 191,973
Mac (1) 29,357 (27) % 40,177 14 % 35,190
iPad (1) 28,300 (3) % 29,292 (8) % 31,862
Wearables, Home and Accessories (1) 39,845 (3) % 41,241 7 % 38,367
Services (2) 85,200 9 % 78,129 14 % 68,425
Total net sales $ 383,285 (3) % $ 394,328 8 % $ 365,817
(1)Products net sales include amortization of the deferred value of unspecified software upgrade rights, which are bundled in the sales price of the respective product.
(2)Services net sales include amortization of the deferred value of services bundled in the sales price of certain products.
iPhone
iPhone net sales decreased 2% or $4.9 billion during 2023 compared to 2022 due to lower net sales of non-Pro iPhone models, partially offset by higher net sales of Pro iPhone models.
Mac
Mac net sales decreased 27% or $10.8 billion during 2023 compared to 2022 due primarily to lower net sales of laptops.
iPad
iPad net sales decreased 3% or $1.0 billion during 2023 compared to 2022 due primarily to lower net sales of iPad mini and iPad Air, partially offset by the combined net sales of iPad 9th and 10th generation.
Wearables, Home and Accessories
Wearables, Home and Accessories net sales decreased 3% or $1.4 billion during 2023 compared to 2022 due primarily to lower net sales of Wearables and Accessories.
Services
Services net sales increased 9% or $7.1 billion during 2023 compared to 2022 due to higher net sales across all lines of business.
Apple Inc. | 2023 Form 10-K | 22
Gross Margin
Products and Services gross margin and gross margin percentage for 2023, 2022 and 2021 were as follows (dollars in millions):
2023 2022 2021
Gross margin:
Products $ 108,803 $ 114,728 $ 105,126
Services 60,345 56,054 47,710
Total gross margin $ 169,148 $ 170,782 $ 152,836
Gross margin percentage:
Products 36.5 % 36.3 % 35.3 %
Services 70.8 % 71.7 % 69.7 %
Total gross margin percentage 44.1 % 43.3 % 41.8 %
Products Gross Margin
Products gross margin decreased during 2023 compared to 2022 due to the weakness in foreign currencies relative to the U.S. dollar and lower Products volume, partially offset by cost savings and a different Products mix.
Products gross margin percentage increased during 2023 compared to 2022 due to cost savings and a different Products mix, partially offset by the weakness in foreign currencies relative to the U.S. dollar and decreased leverage.
Services Gross Margin
Services gross margin increased during 2023 compared to 2022 due primarily to higher Services net sales, partially offset by the weakness in foreign currencies relative to the U.S. dollar and higher Services costs.
Services gross margin percentage decreased during 2023 compared to 2022 due to higher Services costs and the weakness in foreign currencies relative to the U.S. dollar, partially offset by a different Services mix.
The Company’s future gross margins can be impacted by a variety of factors, as discussed in Part I, Item 1A of this Form 10-K under the heading “Risk Factors.” As a result, the Company believes, in general, gross margins will be subject to volatility and downward pressure.
Operating Expenses
Operating expenses for 2023, 2022 and 2021 were as follows (dollars in millions):
2023 Change 2022 Change 2021
Research and development $ 29,915 14 % $ 26,251 20 % $ 21,914
Percentage of total net sales 8 % 7 % 6 %
Selling, general and administrative $ 24,932 (1) % $ 25,094 14 % $ 21,973
Percentage of total net sales 7 % 6 % 6 %
Total operating expenses $ 54,847 7 % $ 51,345 17 % $ 43,887
Percentage of total net sales 14 % 13 % 12 %
Research and Development
The year-over-year growth in R&D expense in 2023 was driven primarily by increases in headcount-related expenses.
Selling, General and Administrative
Selling, general and administrative expense was relatively flat in 2023 compared to 2022.
Apple Inc. | 2023 Form 10-K | 23
Provision for Income Taxes
Provision for income taxes, effective tax rate and statutory federal income tax rate for 2023, 2022 and 2021 were as follows (dollars in millions):
2023 2022 2021
Provision for income taxes $ 16,741 $ 19,300 $ 14,527
Effective tax rate 14.7 % 16.2 % 13.3 %
Statutory federal income tax rate 21 % 21 % 21 %
The Company’s effective tax rate for 2023 and 2022 was lower than the statutory federal income tax rate due primarily to a lower effective tax rate on foreign earnings, the impact of the U.S. federal R&D credit, and tax benefits from share-based compensation, partially offset by state income taxes.
The Company’s effective tax rate for 2023 was lower compared to 2022 due primarily to a lower effective tax rate on foreign earnings and the impact of U.S. foreign tax credit regulations issued by the U.S. Department of the Treasury in 2022, partially offset by lower tax benefits from share-based compensation.
Liquidity and Capital Resources
The Company believes its balances of cash, cash equivalents and unrestricted marketable securities, which totaled $148.3 billion as of September 30, 2023, along with cash generated by ongoing operations and continued access to debt markets, will be sufficient to satisfy its cash requirements and capital return program over the next 12 months and beyond.
The Company’s material cash requirements include the following contractual obligations:
Debt
As of September 30, 2023, the Company had outstanding fixed-rate notes with varying maturities for an aggregate principal amount of $106.6 billion (collectively the “Notes”), with $9.9 billion payable within 12 months. Future interest payments associated with the Notes total $41.1 billion, with $2.9 billion payable within 12 months.
The Company also issues unsecured short-term promissory notes pursuant to a commercial paper program. As of September 30, 2023, the Company had $6.0 billion of commercial paper outstanding, all of which was payable within 12 months.
Leases
The Company has lease arrangements for certain equipment and facilities, including corporate, data center, manufacturing and retail space. As of September 30, 2023, the Company had fixed lease payment obligations of $15.8 billion, with $2.0 billion payable within 12 months.
Manufacturing Purchase Obligations
The Company utilizes several outsourcing partners to manufacture subassemblies for the Company’s products and to perform final assembly and testing of finished products. The Company also obtains individual components for its products from a wide variety of individual suppliers. As of September 30, 2023, the Company had manufacturing purchase obligations of $53.1 billion, with $52.9 billion payable within 12 months. The Company’s manufacturing purchase obligations are primarily noncancelable.
Other Purchase Obligations
The Company’s other purchase obligations primarily consist of noncancelable obligations to acquire capital assets, including assets related to product manufacturing, and noncancelable obligations related to supplier arrangements, licensed intellectual property and content, and distribution rights. As of September 30, 2023, the Company had other purchase obligations of $21.9 billion, with $5.6 billion payable within 12 months.
Deemed Repatriation Tax Payable
As of September 30, 2023, the balance of the deemed repatriation tax payable imposed by the U.S. Tax Cuts and Jobs Act of 2017 (the “Act”) was $22.0 billion, with $6.5 billion expected to be paid within 12 months.
Apple Inc. | 2023 Form 10-K | 24
Capital Return Program
In addition to its contractual cash requirements, the Company has an authorized share repurchase program. The program does not obligate the Company to acquire a minimum amount of shares. As of September 30, 2023, the Company’s quarterly cash dividend was $0.24 per share. The Company intends to increase its dividend on an annual basis, subject to declaration by the Board of Directors.
Critical Accounting Estimates
The preparation of financial statements and related disclosures in conformity with U.S. generally accepted accounting principles (“GAAP”) and the Company’s discussion and analysis of its financial condition and operating results require the Company’s management to make judgments, assumptions and estimates that affect the amounts reported. Note 1, “Summary of Significant Accounting Policies” of the Notes to Consolidated Financial Statements in Part II, Item 8 of this Form 10-K describes the significant accounting policies and methods used in the preparation of the Company’s consolidated financial statements. Management bases its estimates on historical experience and on various other assumptions it believes to be reasonable under the circumstances, the results of which form the basis for making judgments about the carrying values of assets and liabilities.
Uncertain Tax Positions
The Company is subject to income taxes in the U.S. and numerous foreign jurisdictions. The evaluation of the Company’s uncertain tax positions involves significant judgment in the interpretation and application of GAAP and complex domestic and international tax laws, including the Act and matters related to the allocation of international taxation rights between countries. Although management believes the Company’s reserves are reasonable, no assurance can be given that the final outcome of these uncertainties will not be different from that which is reflected in the Company’s reserves. Reserves are adjusted considering changing facts and circumstances, such as the closing of a tax examination. Resolution of these uncertainties in a manner inconsistent with management’s expectations could have a material impact on the Company’s financial condition and operating results.
Legal and Other Contingencies
The Company is subject to various legal proceedings and claims that arise in the ordinary course of business, the outcomes of which are inherently uncertain. The Company records a liability when it is probable that a loss has been incurred and the amount is reasonably estimable, the determination of which requires significant judgment. Resolution of legal matters in a manner inconsistent with management’s expectations could have a material impact on the Company’s financial condition and operating results.
Apple Inc. | 2023 Form 10-K | 25
Item 7A. Quantitative and Qualitative Disclosures About Market Risk
The Company is exposed to economic risk from interest rates and foreign exchange rates. The Company uses various strategies to manage these risks; however, they may still impact the Company’s consolidated financial statements.
Interest Rate Risk
The Company is primarily exposed to fluctuations in U.S. interest rates and their impact on the Company’s investment portfolio and term debt. Increases in interest rates will negatively affect the fair value of the Company’s investment portfolio and increase the interest expense on the Company’s term debt. To protect against interest rate risk, the Company may use derivative instruments, offset interest rate–sensitive assets and liabilities, or control duration of the investment and term debt portfolios.
The following table sets forth potential impacts on the Company’s investment portfolio and term debt, including the effects of any associated derivatives, that would result from a hypothetical increase in relevant interest rates as of September 30, 2023 and September 24, 2022 (dollars in millions):
Interest Rate
Sensitive Instrument Hypothetical Interest
Rate Increase Potential Impact 2023 2022
Investment portfolio 100 basis points, all tenors Decline in fair value $ 3,089 $ 4,022
Term debt 100 basis points, all tenors Increase in annual interest expense $ 194 $ 201
Foreign Exchange Rate Risk
The Company’s exposure to foreign exchange rate risk relates primarily to the Company being a net receiver of currencies other than the U.S. dollar. Changes in exchange rates, and in particular a strengthening of the U.S. dollar, will negatively affect the Company’s net sales and gross margins as expressed in U.S. dollars. Fluctuations in exchange rates may also affect the fair values of certain of the Company’s assets and liabilities. To protect against foreign exchange rate risk, the Company may use derivative instruments, offset exposures, or adjust local currency pricing of its products and services. However, the Company may choose to not hedge certain foreign currency exposures for a variety of reasons, including accounting considerations or prohibitive cost.
The Company applied a value-at-risk (“VAR”) model to its foreign currency derivative positions to assess the potential impact of fluctuations in exchange rates. The VAR model used a Monte Carlo simulation. The VAR is the maximum expected loss in fair value, for a given confidence interval, to the Company’s foreign currency derivative positions due to adverse movements in rates. Based on the results of the model, the Company estimates, with 95% confidence, a maximum one-day loss in fair value of $669 million and $1.0 billion as of September 30, 2023 and September 24, 2022, respectively. Changes in the Company’s underlying foreign currency exposures, which were excluded from the assessment, generally offset changes in the fair values of the Company’s foreign currency derivatives.
Apple Inc. | 2023 Form 10-K | 26
Item 8. Financial Statements and Supplementary Data
Index to Consolidated Financial Statements Page
Consolidated Statements of Operations for the years ended September 30, 2023, September 24, 2022 and September 25, 2021
28
Consolidated Statements of Comprehensive Income for the years ended September 30, 2023, September 24, 2022 and September 25, 2021
29
Consolidated Balance Sheets as of September 30, 2023 and September 24, 2022
30
Consolidated Statements of Shareholders’ Equity for the years ended September 30, 2023, September 24, 2022 and September 25, 2021
31
Consolidated Statements of Cash Flows for the years ended September 30, 2023, September 24, 2022 and September 25, 2021
32
Notes to Consolidated Financial Statements
33
Reports of Independent Registered Public Accounting Firm
49
All financial statement schedules have been omitted, since the required information is not applicable or is not present in amounts sufficient to require submission of the schedule, or because the information required is included in the consolidated financial statements and accompanying notes.
Apple Inc. | 2023 Form 10-K | 27
Apple Inc.
CONSOLIDATED STATEMENTS OF OPERATIONS
(In millions, except number of shares, which are reflected in thousands, and per-share amounts)
Years ended
September 30,
2023 September 24,
2022 September 25,
2021
Net sales:
Products $ 298,085 $ 316,199 $ 297,392
Services 85,200 78,129 68,425
Total net sales 383,285 394,328 365,817
Cost of sales:
Products 189,282 201,471 192,266
Services 24,855 22,075 20,715
Total cost of sales 214,137 223,546 212,981
Gross margin 169,148 170,782 152,836
Operating expenses:
Research and development 29,915 26,251 21,914
Selling, general and administrative 24,932 25,094 21,973
Total operating expenses 54,847 51,345 43,887
Operating income 114,301 119,437 108,949
Other income/(expense), net (565) (334) 258
Income before provision for income taxes 113,736 119,103 109,207
Provision for income taxes 16,741 19,300 14,527
Net income $ 96,995 $ 99,803 $ 94,680
Earnings per share:
Basic $ 6.16 $ 6.15 $ 5.67
Diluted $ 6.13 $ 6.11 $ 5.61
Shares used in computing earnings per share:
Basic 15,744,231 16,215,963 16,701,272
Diluted 15,812,547 16,325,819 16,864,919
See accompanying Notes to Consolidated Financial Statements.
Apple Inc. | 2023 Form 10-K | 28
Apple Inc.
CONSOLIDATED STATEMENTS OF COMPREHENSIVE INCOME
(In millions)
Years ended
September 30,
2023 September 24,
2022 September 25,
2021
Net income $ 96,995 $ 99,803 $ 94,680
Other comprehensive income/(loss):
Change in foreign currency translation, net of tax (765) (1,511) 501
Change in unrealized gains/losses on derivative instruments, net of tax:
Change in fair value of derivative instruments 323 3,212 32
Adjustment for net (gains)/losses realized and included in net income (1,717) (1,074) 1,003
Total change in unrealized gains/losses on derivative instruments (1,394) 2,138 1,035
Change in unrealized gains/losses on marketable debt securities, net of tax:
Change in fair value of marketable debt securities 1,563 (12,104) (694)
Adjustment for net (gains)/losses realized and included in net income 253 205 (273)
Total change in unrealized gains/losses on marketable debt securities 1,816 (11,899) (967)
Total other comprehensive income/(loss) (343) (11,272) 569
Total comprehensive income $ 96,652 $ 88,531 $ 95,249
See accompanying Notes to Consolidated Financial Statements.
Apple Inc. | 2023 Form 10-K | 29
Apple Inc.
CONSOLIDATED BALANCE SHEETS
(In millions, except number of shares, which are reflected in thousands, and par value)
September 30,
2023 September 24,
2022
ASSETS:
Current assets:
Cash and cash equivalents $ 29,965 $ 23,646
Marketable securities 31,590 24,658
Accounts receivable, net 29,508 28,184
Vendor non-trade receivables 31,477 32,748
Inventories 6,331 4,946
Other current assets 14,695 21,223
Total current assets 143,566 135,405
Non-current assets:
Marketable securities 100,544 120,805
Property, plant and equipment, net 43,715 42,117
Other non-current assets 64,758 54,428
Total non-current assets 209,017 217,350
Total assets $ 352,583 $ 352,755
LIABILITIES AND SHAREHOLDERS’ EQUITY:
Current liabilities:
Accounts payable $ 62,611 $ 64,115
Other current liabilities 58,829 60,845
Deferred revenue 8,061 7,912
Commercial paper 5,985 9,982
Term debt 9,822 11,128
Total current liabilities 145,308 153,982
Non-current liabilities:
Term debt 95,281 98,959
Other non-current liabilities 49,848 49,142
Total non-current liabilities 145,129 148,101
Total liabilities 290,437 302,083
Commitments and contingencies
Shareholders’ equity:
Common stock and additional paid-in capital, $0.00001 par value: 50,400,000 shares authorized; 15,550,061 and 15,943,425 shares issued and outstanding, respectively 73,812 64,849
Accumulated deficit (214) (3,068)
Accumulated other comprehensive loss (11,452) (11,109)
Total shareholders’ equity 62,146 50,672
Total liabilities and shareholders’ equity $ 352,583 $ 352,755
See accompanying Notes to Consolidated Financial Statements.
Apple Inc. | 2023 Form 10-K | 30
Apple Inc.
CONSOLIDATED STATEMENTS OF SHAREHOLDERS’ EQUITY
(In millions, except per-share amounts)
Years ended
September 30,
2023 September 24,
2022 September 25,
2021
Total shareholders’ equity, beginning balances $ 50,672 $ 63,090 $ 65,339
Common stock and additional paid-in capital:
Beginning balances 64,849 57,365 50,779
Common stock issued 1,346 1,175 1,105
Common stock withheld related to net share settlement of equity awards (3,521) (2,971) (2,627)
Share-based compensation 11,138 9,280 8,108
Ending balances 73,812 64,849 57,365
Retained earnings/(Accumulated deficit):
Beginning balances (3,068) 5,562 14,966
Net income 96,995 99,803 94,680
Dividends and dividend equivalents declared (14,996) (14,793) (14,431)
Common stock withheld related to net share settlement of equity awards (2,099) (3,454) (4,151)
Common stock repurchased (77,046) (90,186) (85,502)
Ending balances (214) (3,068) 5,562
Accumulated other comprehensive income/(loss):
Beginning balances (11,109) 163 (406)
Other comprehensive income/(loss) (343) (11,272) 569
Ending balances (11,452) (11,109) 163
Total shareholders’ equity, ending balances $ 62,146 $ 50,672 $ 63,090
Dividends and dividend equivalents declared per share or RSU $ 0.94 $ 0.90 $ 0.85
See accompanying Notes to Consolidated Financial Statements.
Apple Inc. | 2023 Form 10-K | 31
Apple Inc.
CONSOLIDATED STATEMENTS OF CASH FLOWS
(In millions)
Years ended
September 30,
2023 September 24,
2022 September 25,
2021
Cash, cash equivalents and restricted cash, beginning balances $ 24,977 $ 35,929 $ 39,789
Operating activities:
Net income 96,995 99,803 94,680
Adjustments to reconcile net income to cash generated by operating activities:
Depreciation and amortization 11,519 11,104 11,284
Share-based compensation expense 10,833 9,038 7,906
Other (2,227) 1,006 (4,921)
Changes in operating assets and liabilities:
Accounts receivable, net (1,688) (1,823) (10,125)
Vendor non-trade receivables 1,271 (7,520) (3,903)
Inventories (1,618) 1,484 (2,642)
Other current and non-current assets (5,684) (6,499) (8,042)
Accounts payable (1,889) 9,448 12,326
Other current and non-current liabilities 3,031 6,110 7,475
Cash generated by operating activities 110,543 122,151 104,038
Investing activities:
Purchases of marketable securities (29,513) (76,923) (109,558)
Proceeds from maturities of marketable securities 39,686 29,917 59,023
Proceeds from sales of marketable securities 5,828 37,446 47,460
Payments for acquisition of property, plant and equipment (10,959) (10,708) (11,085)
Other (1,337) (2,086) (385)
Cash generated by/(used in) investing activities 3,705 (22,354) (14,545)
Financing activities:
Payments for taxes related to net share settlement of equity awards (5,431) (6,223) (6,556)
Payments for dividends and dividend equivalents (15,025) (14,841) (14,467)
Repurchases of common stock (77,550) (89,402) (85,971)
Proceeds from issuance of term debt, net 5,228 5,465 20,393
Repayments of term debt (11,151) (9,543) (8,750)
Proceeds from/(Repayments of) commercial paper, net (3,978) 3,955 1,022
Other (581) (160) 976
Cash used in financing activities (108,488) (110,749) (93,353)
Increase/(Decrease) in cash, cash equivalents and restricted cash 5,760 (10,952) (3,860)
Cash, cash equivalents and restricted cash, ending balances $ 30,737 $ 24,977 $ 35,929
Supplemental cash flow disclosure:
Cash paid for income taxes, net $ 18,679 $ 19,573 $ 25,385
Cash paid for interest $ 3,803 $ 2,865 $ 2,687
See accompanying Notes to Consolidated Financial Statements.
Apple Inc. | 2023 Form 10-K | 32
Apple Inc.
Notes to Consolidated Financial Statements
Note 1 – Summary of Significant Accounting Policies
Basis of Presentation and Preparation
The consolidated financial statements include the accounts of Apple Inc. and its wholly owned subsidiaries. The preparation of these consolidated financial statements and accompanying notes in conformity with GAAP requires the use of management estimates. Certain prior period amounts in the consolidated financial statements and accompanying notes have been reclassified to conform to the current period’s presentation.
The Company’s fiscal year is the 52- or 53-week period that ends on the last Saturday of September. An additional week is included in the first fiscal quarter every five or six years to realign the Company’s fiscal quarters with calendar quarters, which occurred in the first fiscal quarter of 2023. The Company’s fiscal year 2023 spanned 53 weeks, whereas fiscal years 2022 and 2021 spanned 52 weeks each. Unless otherwise stated, references to particular years, quarters, months and periods refer to the Company’s fiscal years ended in September and the associated quarters, months and periods of those fiscal years.
Revenue
The Company records revenue net of taxes collected from customers that are remitted to governmental authorities.
Share-Based Compensation
The Company recognizes share-based compensation expense on a straight-line basis for its estimate of equity awards that will ultimately vest.
Cash Equivalents
All highly liquid investments with maturities of three months or less at the date of purchase are treated as cash equivalents.
Marketable Securities
The cost of securities sold is determined using the specific identification method.
Inventories
Inventories are measured using the first-in, first-out method.
Property, Plant and Equipment
Depreciation on property, plant and equipment is recognized on a straight-line basis.
Derivative Instruments
The Company presents derivative assets and liabilities at their gross fair values in the Consolidated Balance Sheets.
Income Taxes
The Company records certain deferred tax assets and liabilities in connection with the minimum tax on certain foreign earnings created by the Act.
Leases
The Company combines and accounts for lease and nonlease components as a single lease component for leases of corporate, data center and retail facilities.
Apple Inc. | 2023 Form 10-K | 33
Note 2 – Revenue
The Company recognizes revenue at the amount to which it expects to be entitled when control of the products or services is transferred to its customers. Control is generally transferred when the Company has a present right to payment and title and the significant risks and rewards of ownership of products or services are transferred to its customers. For most of the Company’s Products net sales, control transfers when products are shipped. For the Company’s Services net sales, control transfers over time as services are delivered. Payment for Products and Services net sales is collected within a short period following transfer of control or commencement of delivery of services, as applicable.
The Company records reductions to Products net sales related to future product returns, price protection and other customer incentive programs based on the Company’s expectations and historical experience.
For arrangements with multiple performance obligations, which represent promises within an arrangement that are distinct, the Company allocates revenue to all distinct performance obligations based on their relative stand-alone selling prices (“SSPs”). When available, the Company uses observable prices to determine SSPs. When observable prices are not available, SSPs are established that reflect the Company’s best estimates of what the selling prices of the performance obligations would be if they were sold regularly on a stand-alone basis. The Company’s process for estimating SSPs without observable prices considers multiple factors that may vary depending upon the unique facts and circumstances related to each performance obligation including, where applicable, prices charged by the Company for similar offerings, market trends in the pricing for similar offerings, product-specific business objectives and the estimated cost to provide the performance obligation.
The Company has identified up to three performance obligations regularly included in arrangements involving the sale of iPhone, Mac, iPad and certain other products. The first performance obligation, which represents the substantial portion of the allocated sales price, is the hardware and bundled software delivered at the time of sale. The second performance obligation is the right to receive certain product-related bundled services, which include iCloud®, Siri® and Maps. The third performance obligation is the right to receive, on a when-and-if-available basis, future unspecified software upgrades relating to the software bundled with each device. The Company allocates revenue and any related discounts to these performance obligations based on their relative SSPs. Because the Company lacks observable prices for the undelivered performance obligations, the allocation of revenue is based on the Company’s estimated SSPs. Revenue allocated to the delivered hardware and bundled software is recognized when control has transferred to the customer, which generally occurs when the product is shipped. Revenue allocated to the product-related bundled services and unspecified software upgrade rights is deferred and recognized on a straight-line basis over the estimated period they are expected to be provided.
For certain long-term service arrangements, the Company has performance obligations for services it has not yet delivered. For these arrangements, the Company does not have a right to bill for the undelivered services. The Company has determined that any unbilled consideration relates entirely to the value of the undelivered services. Accordingly, the Company has not recognized revenue, and does not disclose amounts, related to these undelivered services.
For the sale of third-party products where the Company obtains control of the product before transferring it to the customer, the Company recognizes revenue based on the gross amount billed to customers. The Company considers multiple factors when determining whether it obtains control of third-party products, including evaluating if it can establish the price of the product, retains inventory risk for tangible products or has the responsibility for ensuring acceptability of the product. For third-party applications sold through the App Store, the Company does not obtain control of the product before transferring it to the customer. Therefore, the Company accounts for all third-party application–related sales on a net basis by recognizing in Services net sales only the commission it retains.
Apple Inc. | 2023 Form 10-K | 34
Net sales disaggregated by significant products and services for 2023, 2022 and 2021 were as follows (in millions):
2023 2022 2021
iPhone (1) $ 200,583 $ 205,489 $ 191,973
Mac (1) 29,357 40,177 35,190
iPad (1) 28,300 29,292 31,862
Wearables, Home and Accessories (1) 39,845 41,241 38,367
Services (2) 85,200 78,129 68,425
Total net sales $ 383,285 $ 394,328 $ 365,817
(1)Products net sales include amortization of the deferred value of unspecified software upgrade rights, which are bundled in the sales price of the respective product.
(2)Services net sales include amortization of the deferred value of services bundled in the sales price of certain products.
Total net sales include $8.2 billion of revenue recognized in 2023 that was included in deferred revenue as of September 24, 2022, $7.5 billion of revenue recognized in 2022 that was included in deferred revenue as of September 25, 2021, and $6.7 billion of revenue recognized in 2021 that was included in deferred revenue as of September 26, 2020.
The Company’s proportion of net sales by disaggregated revenue source was generally consistent for each reportable segment in Note 13, “Segment Information and Geographic Data” for 2023, 2022 and 2021, except in Greater China, where iPhone revenue represented a moderately higher proportion of net sales.
As of September 30, 2023 and September 24, 2022, the Company had total deferred revenue of $12.1 billion and $12.4 billion, respectively. As of September 30, 2023, the Company expects 67% of total deferred revenue to be realized in less than a year, 25% within one-to-two years, 7% within two-to-three years and 1% in greater than three years.
Note 3 – Earnings Per Share
The following table shows the computation of basic and diluted earnings per share for 2023, 2022 and 2021 (net income in millions and shares in thousands):
2023 2022 2021
Numerator:
Net income $ 96,995 $ 99,803 $ 94,680
Denominator:
Weighted-average basic shares outstanding 15,744,231 16,215,963 16,701,272
Effect of dilutive share-based awards 68,316 109,856 163,647
Weighted-average diluted shares 15,812,547 16,325,819 16,864,919
Basic earnings per share $ 6.16 $ 6.15 $ 5.67
Diluted earnings per share $ 6.13 $ 6.11 $ 5.61
Approximately 24 million restricted stock units (“RSUs”) were excluded from the computation of diluted earnings per share for 2023 because their effect would have been antidilutive.
Apple Inc. | 2023 Form 10-K | 35
|
English
|
32k
|
T3. Evidence-Grounded QA
|
T3.2 Single-Hop Fact QA
|
Partial
|
On the cover page of this Form 10-K, how many shares of common stock were issued and outstanding as of October 20, 2023? Output the "[Answer]" identifier first, and then output the answer option letter (A/B/C/D), without any additional content.
A. 12,000,000,000
B. 2,591,165,000,000
C. 1,367,430,000
D. 15,552,752,000
Output example:
[Answer]
B
|
On the cover page of this Form 10-K, how many shares of common stock were issued and outstanding as of October 20, 2023? Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the answer option letter (A/B/C/D).
A. 12,000,000,000
B. 2,591,165,000,000
C. 1,367,430,000
D. 15,552,752,000
Output example:
<Your thinking process>
[Answer]
B
|
[
"D"
] |
Easy
|
45cdd46dd734b1f0f863759cd8f93d99f000c4d26e7831d4f66bd18c18408701
|
附件2：上市公司并购重组典型案例汇编（30例）
01．青岛海尔多次产业并购实现跨越式发展——以并购通用家电为例
案例简介：上市公司青岛海尔在谋求产业转型升级，不断推进国际化战略的大背景下，斥资约54亿美金成功收购美国制造业巨头通用电气的家电业务板块，成为2016年中国资本市场最引人注目的海外并购案例之一。本次交易由青岛海尔上市主体直接通过现金收购境外资产，在并购方案选择、并购风险防范、并购执行效率方面具有较强的借鉴意义。此后，公司经过一系列并购重组逐渐发展壮大，已经成为全球大家电行业的领导者和智慧家庭解决方案的引领者，为全球用户提供全品类的家电产品及服务。截至目前，青岛海尔营业收入和净利润连续8年稳步增长。
一、交易的背景和目的
自2008年全球金融危机爆发以来，世界各国持续吸引外资以振兴经济，跨国企业内部产业布局开始调整，部分限制产业领域开始逐步对中国开放。同时，中国经济进入了“新常态”。在“供给侧改革”和“产业转型升级”的压力下，中国政府出台了一系列优化并购重组行为的利好政策，中国企业“走出去”的愿望日益强烈，对海外市场、高端产品、技术和人才的需求日益增长。青岛海尔股份有限公司（以下简称青岛海尔，600690.SH，现简称海尔智家）本次收购通用家电的主要考虑如下：
（一）国内市场乏力，完善全球布局
近年来，国内抑制投机性需求，从而导致房屋需求增速有所下降，这直接影响到家电市场的更新需求和新增需求。2013年度、2014年度和2015年1-9月，青岛海尔营业收入分别为8,660,564.64万元、8,877,544.45万元和6,263,705.10万元。自2014年以来，受宏观经济增速趋缓的影响，国内家电市场增速有所下降。
在国内市场“内生性增长”乏力的情况，为实现进一步发展，青岛海尔坚持“全球化下的增长”战略，收购了海尔集团在亚洲、欧洲、中东、非洲以及美国等国家地区的海外白电业务并受托管理Fisher&Paykel Appliances Holdings Limited（斐雪派克）相关资产。但是，但从2015年中报数据看，其来自于海外的销售收入仅占总收入的13%，无论是规模还是比重都低于美的和格力，此次收购则可能会大大改善海尔海外收入的规模与比重，进一步向美国高端成熟市场进行“外延式拓展”。2015年1-9月通用家电实现营业收入46.58亿美元，其中约90%来自于美国市场。通用家电在美国家电市场占有率近20%，是全美第二大家电品牌。交易完成后，青岛海尔可通过资源共享迅速打开并深入美国市场，有利于公司国际化发展的步伐加速进行。
（二）产业转型升级，引入优势资产
目前国内白色家电普及率已较高，产品更新换代、释放需求成为主导，白电行业增长驱动因素由销量增长转变为与消费升级结合的结构提升，白电行业已进入“消费升级”时代。青岛海尔2015年上半年的分产品收入构成中，三大白电冰箱、空调、洗衣机贡献度合计70%，厨卫电器贡献度仅为8%。近年来，青岛海尔持续整合集团资产，并通过引入战略投资者KKR协助公司整合全球优质资源，大力促进公司厨电业务，以完善产品结构，提升盈利能力。而通用的厨电产品凭借其出色的产品性能和客户体验，在美国市场占有率近25%，排名第一。本次交易完成后公司的厨电产品有望迎来快速发展。
（三）发挥协同效应，提升盈利能力
从销售渠道来看，通用家电作为全美最大的家用电器制造商之一，2015年1-9月营业收入高达46.58亿美元，其中90%来自于美国市场，并已构建了一个覆盖全美、辐射全球的销售网络，长期与Sears、Lowe’s、Home Depot和Best buy全美四大连锁家电零售商保持良好且密切的战略合作关系。
从成本协同方面来看，本次交易完成后，通过共用供应商的资源整合、非共用供应商的资源共享所带来的采购成本节约将为交易双方带来最为直观和显著的成本协同效应。
从研发实力看，通用家电研发团队逾600人，在全球拥有4个研发中心，分别位于美国、中国、韩国和印度。青岛海尔位于中国、日本、新西兰、德国的研发中心可与通用家电研发中心进行全球研发资源共享，研发能力的壮大提升决定了未来公司整体的产品竞争力。
本次交易完成后，青岛海尔将通过一系列整合计划的实施，借助销售网络互补、采购成本节约、技术及研发优势共享等方式，计划实现近百亿元的收入协同（约占2014年度双方合计收入总额的8%左右），以及超过10亿元的成本节约协同（约占2014年度双方合计采购总额的2%左右），最终有望带来约15亿元的利润协同。
二、交易方案简况
（一）方案概要
2016年1月14日（美国东部时间），青岛海尔与通用电气签署了《股权与资产购买协议》，青岛海尔拟通过现金方式向通用电气购买其家电业务相关资产，交易金额为54亿美元。
（二）交易各方
1．收购方——青岛海尔
青岛海尔是全球最大的白色家电制造企业之一，在国内市场，公司2014年冰箱、洗衣机、热水器等产品份额继续保持行业第一，空调产品市场份额位居第三；在全球市场，根据欧睿国际（Euromonitor）调查数据显示，海尔大型家用电器2014年品牌零售量的全球市场份额为10.2%，第六次蝉联全球第一，海尔冰箱、洗衣机、冷柜、酒柜的全球零售量继续蝉联全球第一。公司持续整合集团的海外资产，并引入全球顶级私募股权投资机构KKR作为公司战略投资者，促进公司在厨电业务、卡萨帝品牌业务、U+业务等方面的发展，为国际化战略进一步夯实基础。
2012-2014年，青岛海尔的总资产分别达到496.88亿元、610.93亿元、750.06亿元，年增长率分别为22.95%、22.77%；营业收入分别为798.57亿元、866.06亿元、887.75亿元，年增长率分别为8.45%、2.50%；归属于母公司净利润分别为32.69亿元、41.74亿元、49.92亿元，年增长率分别为27.68%、19.60%。
2014年底公司资产负债率为61.18%，毛利率为27.52%。
2．出售方——通用电气
通用电气是一家多元化工业和金融服务公司，产品和服务范围广阔，工业板块涉及发电和水处理、航空、运输、石油天然气、医疗、能源管理、电器与照明等；金融服务业务范围涉及商业贷款和租赁、个人贷款、信用卡等。近三年来，公司不断进行业务调整，逐步剥离缩小电器和金融板块，向航空、能源以及医疗设备等核心工业板块倾斜。目前，公司正积极发展工业互联网，致力于结合数字技术以及在航空、能源、医疗等领域的专业优势，向全球一流的数字化工业企业转型。2014年末，通用电气的资产总额达到6,483.49亿美元，营业总收入达到1,485.89亿美元，净利润达到153.45亿美元。
（三）交易标的
交易标的包括与通用电气家电业务相关的非股权资产、股权、相关负债等。
通用电气及其子公司持有的非股权资产系上述交易标的的主要组成部分，包括不动产、主要生产设备、办公设备、存货、与经营相关的应收应付款项、相关知识产权、其他与业务有关的资产等，其业务范围涵盖厨电产品、制冷产品、洗衣产品、洗碗机和家庭护理产品五大类型，为消费者提供约30种不同类别、数千款不同型号的领先家用电器产品及其相关的配套服务。
股权资产包括10家全资子公司股权、3家合资公司股权及3家参股公司少数股权。承接的负债主要是与拟转让资产相关的全部负债，大部分应交税费、递延所得税和付息债务已剥离。本次交易拟购买的标的资产结构图如下图所示：
交易标的财务信息按照GE编制财务报表时所采用的会计政策编制，这些会计政策符合美国公认会计原则的相关规定，并以美元作为列报货币。交易标的最近两年一期未经审计的财务数据如下表所示。
交易标的主要财务指标表
单位：百万美元
项目 2015年9月30日 2014年12月31日 2013年12月31日
资产总额 3,535 3,238 2,881
负债总额 1,642 1,398 1,437
所有者权益合计 1,892 1,840 1,444
单位：百万美元
项目 2015年1-9月 2014年度 2013年度
营业收入 4,658 5,908 5,783
EBITDA 374 405 365
EBIT 223 200 176
（四）交易估值和作价
本次交易作价54亿美金，相关价格是青岛海尔在综合考虑并全面评估目标资产的资产状况、盈利水平、品牌、技术和渠道价值等因素的基础上确定的，采用了可比公司法和可比交易法两种方法进行估值。
本次交易针对通用家电的作价为54亿美元，由于付息债务、现金及现金等价物以及少数股东权益均为0，因此对应的企业价值和股权价值均为54亿美元。根据通用家电管理层提供的财务数据，其2015年的EBITDA为5.52亿美元，截至2015年12月31日的净资产为20.85亿美元，因此本次交易的EV/EBITDA倍数为9.78x，P/B倍数为2.59x。
（五）交易架构
公司通过其香港全资子公司海尔香港在美国、荷兰、新加坡、印度、韩国、BVI等国家和地区设立公司，用于承接本次交易的相关资产。
青岛海尔拟设立的境外架构图示如下图：
三、本次交易的特点
2014年瑞典伊莱克斯宣布收购GE家电业务，耗时将近一年，但最终因未通过美国司法部反垄断审查而被GE终止。鉴于上次交易失败的经验教训，此次竞标流程重点强调速度和确定性。面对拟收购资产繁多、审批程序复杂、竞标对手众多的现实情况，从2015年10月19日停牌到2016年1月15日竞标成功，青岛海尔共花费了3个月的时间锁定交易，执行效率较高。本次收购采用了以下方案设计，保证了交易速度，减小了交易的不确定性。
（一）上市公司直接收购标的资产
一般而言，海外并购的交易结构主要有以下三种：一是上市公司直接收购或者通过设立境外子公司收购境外标的资产，该种模式最为简单，能够最大程度的节省成本，但是对上市公司的资金实力要求较高，而且严格的上市公司停牌期限规则使得在规定时间内完成交易存在一定的困难；二是大股东或并购基金先收购境外资产，然后注入上市公司体内，该种模式下上市公司采用股份支付更为方便，可以在一定程度上缓解资金压力，而且在收购标的阶段不需要面对上市公司监管机构的问询或者审核，但是可能产生比较高的中间成本，而且以大股东为收购方的，向上市公司注入资产时，还可能承担业绩承诺的义务；三是上市公司参股并购基金，并购基金先收购标的公司，然后由上市公司获得标的的控制权，该种模式下上市公司可通过并购基金提前了解目标企业，储备与培育战略业务，形成上市公司与项目公司之间的缓冲带，而且由于上市公司只需付出部分出资，且根据项目进度逐期支付，无需占用上市公司过多的营运资金，可以降低上市公司的资金压力有所减轻，但是这种模式下，上市公司的监管和信息披露成本和融入基金带来的成本也比较高。
本次交易中，青岛海尔抓住通用电气的关键要求设计收购方案，并采用了简单快捷的第一种交易结构，最终竞标成功。由于标的资产对青岛海尔的未来发展极具战略意义，且体量较大，以上市公司为主体直接收购标的有利于降低并购风险，确保交易成功。首先，以上市公司为主体可以避免因同业竞争问题带来的额外监管审批要求。将海尔集团作为主体有可能因同业竞争问题带来相对更多的境内外监管审批的要求，反而拖慢交易进程，增加收购的不确定性。其次，采用以上市公司为收购方一步到位的方案可以避免重复交易和不确定性。通过集团收购+注入上市公司“两步走”的方式虽然可以降低上市公司的现金压力，但是资产所在地主要在美国，且体量较大，海尔将来在资产注入过程中就必须考虑估值、对价、税务、监管审批、二次整合等诸多问题，而且收购控股股东资产构成关联交易，还可能面临同业竞争、关联交易公允性、必要性的质疑和证监会、股东大会的审议风险，如果采用股权作为支付方式可能还需要面对摊薄中小股东收益的问题。因此，从海尔的角度来看，以上市公司为收购方更加符合效率原则，能够降低整体交易风险，更符合全体股东的利益。
（二）采用现金直接收购，且资金准备较为充分
此次收购采用现金方式支付，现金类并购重组目前证监会已经授权交易所通过信息披露监管的方式进行监管，使得并购审核流程简化，大大提升审核效率。由于我国对外投资法律的限制，中国企业开展海外并购直接以中国公司股权作为支付对价往往存在障碍，而且基于流动性和我国严格外汇管理环境的考虑，出售方往往也不愿意接收股权对价，因此目前境外并购支付方式仍然以现金为主。因此无论是从效率还是风险可控的角度来看，现金收购都更为适合本次交易。
此外，青岛海尔作为上市公司，融资成本较低，且资产负债率不高，在取得银行融资支持时能够取得更加优惠的融资成本以及更为宽松的融资条款，相应的融资结构也更加灵活：青岛海尔可以选择将部分收购贷款置于标的层面，通过标的资产现金流偿还贷款，也可以发挥上市主体的优势，通过发挥资本市场资源配置作用以优化资本结构。
本次交易资金来源为青岛海尔自筹资金及通过申请并购贷款等多种融资方式获取的资金。国家开发银行将向青岛海尔全资子公司 Haier US Appliance Solutions Inc. 提供一笔相当于所购买资产实际交割金额60%或33亿美元（孰低）的长期贷款。青岛海尔和海尔集团作为担保方为本次并购贷款提供全额担保。青岛海尔自有资金情况也比较好，截至2015年9月30日，青岛海尔账面现金及现金等价物约240亿元，融资后资产负债率也小于70%，具备现金收购的条件。
（三）并购交易流程控制妥当
竞标性交易对于买方的执行效率和执行能力具有非常严格的要求，需要明确的时间表并保证实施。青岛海尔对整个并购流程的控制较好，并进行了充分的尽职调查和事前安排，以提高交易确定性，降低并购失败风险。本次交易过程中可能涉及的主要环节和风险包括市场环境变化导致的主要合同条件变化、融资安排、反垄断审查、监管审批以及青岛海尔作为一家上市公司的股东大会审议风险。青岛海尔为了将风险降低到可控范围内，做了一些事前准备工作，一是在融资方面，海尔取得了两家银行的融资承诺函，其中包括一家外资银行，以证明收购资金的确定性；二是反垄断审批方面，海尔联合律师团队对收购后市场份额做出预判以确保交易不会受到美国监管方面的阻挠；三是在监管审批方面，海尔与境内相关监管机构做了预沟通，事先了解监管要求，做好了充分的监管报批准备；四是在股东大会投票方面，海尔首先取得了海尔集团、KKR等主要股东的支持承诺，并统计了往年股东大会的投票结果以证明投票结果的可预见性；五是在交割方面，海尔通过过往丰富的收购整合经验，向GE证明本次交割将顺利完成。
四、案例点评
（一）借助产业并购实现快速发展
本次并购通用家电后，上市公司持续拓展商业版图，进一步实施了多次产业并购，实现了规模及市场地位的快速提升。例如，2021年12月，公司以1.05亿元作价收购海尔质量检测，为公司各产品线提供质量检测、产品认证，推动质量检测与公司各产品线的协同；2022年7月，公司以0.06亿元收购MidwestSales&ServiceInc.，完善销售端区域布局；2023年4月，以0.18亿元收购EuropaltersItaliaS.r.l.，重新建立服务商伙伴和第三方联络中心的信任关系，服务品牌建设和用户满意度提升；2023年9月以1.45亿元收购同方能源，丰富海尔智慧家庭的应用场景；2023年12月，以45.59亿元收购开立集团商用制冷业务，从家庭制冷场景拓展到商用零售制冷和冷库制冷场景，拓展增长空间。伴随着收购脚步，公司业绩连续8年实现营收净利双增长。
（二）竞标性收购的利益平衡
本次交易是典型的竞标性收购，竞标性收购在海外并购中是一种常见方式。
竞标性收购的主要特点为：第一、卖方为获得较高的交易价格和更好的合同条件，往往会吸引多个竞标方参与竞标，买方竞争相对激烈，合同谈判相对弱势；第二、竞标过程中，卖方通常发出一到两轮竞标要约，不断筛选出最合适的买方；第三、一旦发出要约，竞标到交易的整个过程具有严格的时间限制，需要各方及时作出反应；第四、竞标结果尚未确定之前，买方和卖方往往都具有较高的保密要求。
竞标性收购中，卖方筛选竞标人最主要的考虑因素是交易的确定性、价格和执行效率，其中确定性是最主要的考虑因素，并非出价最高就一定能够竞标成功。而中国企业由于文化不同、信息不对称、政府审批等原因，在交易的确定性上不占优势，往往通过支付高溢价或者高额分手费来增加卖方的信任度。因此，收购方应当采取措施尽量减小收购中的不确定性。青岛海尔的本次并购交易约定了高昂的“分手费”的条款，根据双方签署的《股权与资产购买协议》，若本次交易未通过所涉及的反垄断审批，则终止费金额为2亿美元，若本次交易未完成所需的中国监管机构备案、或未获得青岛海尔股东大会批准，则终止费金额为4亿美元，根据草案披露的信息，青岛海尔2014年归属于母公司的净利润为人民币49.92亿元，两类终止费分别接近青岛海尔归属于母公司净利润的1/4和1/2，一旦违约将给青岛海尔带来重创。
竞标性交易天生具有保密的要求，特别是交易价格、结构安排等敏感信息，该等信息一旦被竞争对手知道将完全丧失竞争性，上市公司如何在平衡好自身商业利益同时保证中小股东的知情权是需要考虑的一个问题。目前主要是上市公司申请部分信息的豁免披露，虽然监管机构会考虑企业遇到的实际困难，但上市公司应及时披露能够披露的信息，并说明该等信息的获取方式及使用该等信息的风险，保护中小投资者的知情权。
（三）交易对价高于评估值的合理性
青岛海尔本次收购GE家电业务的交易作价54亿美元大幅高于出让方底价33亿美元，也大幅高于A股市场对该类资产的估值范围，因此在财务上并非“抄底”型收购。但是对被收购企业的估值除了考虑被收购企业的独立价值，还应当考虑收购带来的协同效应，即被收购企业对收购方所具有的价值，收购方根据其特定目的对被收购资产进行评估，进而产生独立价值之上的溢价，因此，相同的资产面对不同的投资者，其价值可能是不同的。而本次交易的战略意义在于GE家电90%的业务收入来自于美国，100多年历史的品牌资源造就了忠实的用户群，本次交易不仅稳固了海尔在全球家电市场的地位，也可以与GE实现产品、供应链、销售网络等方面的协同效应。
反过来，协同效应有时候也会促使资产出售方降低价格。据悉，本次GE竞价中青岛海尔并非出价最高的一方，但GE同样看重青岛海尔作为收购方产生的协同效应及对其品牌价值提升意义，最终青岛海尔获得了GE董事会的一个推荐票，导致青岛海尔成为最终的胜出者。
协同效应作为资产溢价的重要因素，是并购的基础。协同效应也是最受认同的企业并购动机理论。该理论认为，企业通过合并产生协同效应达成的结果，通常能够减少成本和增加收入。协同效应具体表现为三种效应：一是管理协同，两家管理水平不同的企业通过并购重组活动完成合并，合并后的企业管理效率水平明显高于合并前两家企业的管理水平之和。二是经营协同，并购后企业经营效率、经营业绩的提升明显大于合并前两家企业的经营业绩之和。三是财务协同，企业并购重组活动对企业财务管理方面带来诸如避税、财务指标提升等各类改善。
协同效应的发挥在不同类型的并购重组间存在差异。理论上说，横向并购有助于公司迅速扩大生产能力、降低生产成本，并进而提高行业集中度，降低竞争激烈程度，最终保持较高的利润率。纵向并购有助于公司获取对上下游产业链的控制权、提高与前端客户和后端原材料供应商的议价能力、行业信息的获取能力等。多元化并购有助于企业进入新产业，分散经营风险，实现战略转型。但是在实践中，同行业和上下游的并购的成功率更高，这主要是由于公司对行业的了解程度有助于其更加清晰的认识协同效应及其实现的路径。
与同行业并购相较，多元化并购的效果则不确定性更高。从数据结果看，目前我国市场的多元化并购能够助推企业“做大做强”，但持续时间较短，仅为三年。美国的并购史也表明，相当一部分多元化并购在未来几年显示出增长乏力、盈利下降等“后遗症”，以至于下一次并购浪潮时，将上一次多元化产业进行剥离。因此，要警惕未来年度多元化并购的负面影响集中爆发。对一些主业尚可、以概念炒作为主的盲目多元化并购，监管应通过加大重组问询力度，强化信息披露等方式提高并购要求。
（四）境外标的资产财务信息披露豁免
由于跨境交易审计进场时间较晚，境内外在行业监管制度、税费政策、劳工制度等方面存在较大差异，要求交割完成后3个月内出具按照中国会计准则编制的财务报告并出具审计报告存在一定难度。但是，其他地区会计准则与我国会计准则差异较大，在信息技术、消费等热门并购行业的会计处理上存在明显差异，投资者理解相关财务信息不仅存在专业困难，甚至容易产生误读，影响信息传导和决策判断。
实践中，综合上述两方面情况，为兼顾交易效率和投资者信息需求，会计准则和差异鉴证报告的要求可以适度平衡。根据《公开发行证券的公司信息披露内容与格式准则第26号——上市公司重大资产重组》规定，有关财务报告和审计报告应当按照与上市公司相同的会计制度和会计政策编制，如不能披露完整财务报告则应当解释原因，并出具对相关资产财务状况、经营成果的说明及审计报告。当前国际财务报告准则与我国会计准则已基本实现全面趋同，适当延后适用国际准则财务资料披露时间，可以在兼顾信息披露质量的同时提高海外并购交易效率。
实务中，因未能在重组草案披露时进场审计，难以准确计算目标公司所采用会计政策和中国会计准则之间的重大差异编制差异调节表，部分公司在草案披露时以披露准则差异鉴证报告代替差异调节表，仅说明标的适用准则与国内会计准则间的规则差异，不涉及金额计算。对境外资产按照中国准则编制报表并审计，需识别的审计风险较高、执行的审计程序较多、时间耗费较长，从实践情况看，多数上市公司基本能在交割完成6个月内披露相关财务报告。
02．沃尔德发行股份及支付现金购买拟IPO企业鑫金泉
案例简介：科创板上市公司沃尔德是国产高精刀具企业，鑫金泉同样从事中高端精密刀具，本拟通过IPO登陆资本市场，由于环境变化终止IPO。2022年，沃尔德发行股份及支付现金购买鑫金泉100%股权，交易价格约7亿元。通过本次并购，上市公司快速扩充自身产品线，并借助标的公司产品进一步扩大3C行业精密加工领域服务范围及行业布局。该案例属于产业并购，在选取标的、获取协同效应及方案中的业绩承诺与股份锁定安排、差异化对价安排、业绩考核指标设置等方面，对于上市公司实施产业并购，取得拟IPO企业控制权具有较强借鉴意义。
一、交易背景及目的
（一）交易背景
1．国家政策支持智能制造行业发展
北京沃尔德金刚石工具股份有限公司（以下简称沃尔德，688028.SH）从事超高精密和高精密超硬刀具及超硬材料制品的研发、生产和销售业务，是细分领域龙头。高精密切削刀具是高端机床的核心部件，广泛应用于各种类型、材质和大小的工件的外型加工，刀具性能影响机床的加工速度和精密度，进而影响工业加工能力，因此是智能制造产业重要一环。近年来，制造业在国家产业政策的指导下稳步发展升级，促进了公司各类高性能刀具市场需求规模的增加，为公司业务发展提供了良好的宏观环境和产业支撑。
2．行业处于实现进口替代和出海竞争的发展进程中
全球刀具市场规模在300-400亿美元，欧美、日韩刀具龙头企业已占据国际领先地位，如瑞典山特维克、美国肯纳金属、德国玛帕、日本京瓷等。国内刀具市场规模在420亿元左右，整体增速平稳，基本上是低端国产刀具和中高端进口刀具的二元分化局面，而且约1/3刀具需要依赖进口。近年，在高端刀具领域，开始逐步实现部分产品的进口替代。同时，国产刀具企业逐渐进入国际市场与跨国巨头进行竞争，一方面国产刀具有性价比高的优势，另一方面，部分企业的重点产品已经达到国际领先水平。
3．公司上市后增速放缓，需要提升综合实力
上市公司2019年上市后至2021年，营收分别为2.55亿元、2.42亿元、3.26亿元，归母净利润分别为0.6亿元、0.49亿元、0.54亿元，业绩增长态势放缓。并且，随着国外厂商对中国市场的不断开发和国内优秀厂商的崛起，公司在高端刀具产品的市场将面临竞争进一步加剧的风险。因此，公司希望运用并购重组工具实施外延式并购，丰富公司产品结构，进一步提升公司在高端加工制造领域的竞争能力和综合实力。
（二）交易目的
1．收购同类资产实施横向整合
公司的超硬刀具产品主要用于消费类电子产品中的触摸屏、液晶面板等消费电子玻璃的超高精密切割，汽车动力系统等核心部件的高精密切削等先进制造领域。公司产品的终端用户包括美国卡特彼勒、韩国LG、京东方、华星光电、天马微电子、友达光电、东旭光电等国内外企业，以及德国奔驰、奥迪、宝马等汽车厂商的核心部件供应商。
标的公司深圳市鑫金泉精密技术股份有限公司（以下简称标的公司或鑫金泉）与上市公司属于同行业，主要产品为超硬刀具和硬质合金刀具，其中超硬刀具主要为聚晶金刚石刀具、单晶金刚石刀具等，适用于加工3C产品、汽车零部件、精密模具等；硬质合金刀具主要为钨钢刀具，可以满足大部分通用金属、非金属材料的加工需求。据披露，鑫金泉产品在加工精度、切削性能、稳定程度等方面达到了行业先进水平，下游客户主要为比亚迪电子、立铠精密、长盈精密、蓝思科技、通达集团、领益智造、可成集团、瑞声精密等精密部件制造商。
上市公司意在行业内做优做强，标的与上市公司业务高度相近，交易后能够提升公司市占率，扩充上市公司产品线，提升上市公司综合竞争力。
2．扩大协同效应，实现优势互补
标的公司与上市公司在降本、获取关键技术和研发服务人员、客户渠道多等方面均存在协同效应。
一是从规模效应方面降本。通过集中采购、库存统筹管理、设备协同、交叉营销等方式，可以在采购、销售、内部管理、售后维护等环节降低双方的经营成本。二是获取主营业务所需的关键技术、研发及服务人员。通过本次交易，上市公司可以获得一支具有较强新产品开发能力、生产控制能力、分析检测能力和丰富行业经验的研发、生产及服务团队，增强公司的研发能力和技术服务水平。三是在加工工艺和加工设备等生产加工流程上，存在协同。如鑫金泉可以借助沃尔德真空焊接技术提升定制化刀头与刀身焊接稳定性和强度；借助沃尔德设备研制技术及具有针对性的自制设备，满足自身刀具加工的特殊工艺要求。四是上市公司与鑫金泉可以充分协同客户业务资源，丰富3C产品制造的业务布局。
二、交易基本情况
（一）上市公司
沃尔德于2019年7月在上海证券交易所科创板上市。公司控股股东为陈继锋，实际控制人为陈继锋、杨诺夫妇，截至2021年底，二人合计持有公司股权比例为49.53%。
根据公司2021年年报，其在超高精密玻璃切割市场属于第一梯队，在切削刀具市场属于国内领先，并与国际高端品牌充分竞争。公司2021年营业收入3.26亿元，净利润5,445万元。
（二）标的资产
鑫金泉成立于2012年11月，位于深圳市龙华区，实际控制人为张苏来、李会香夫妇和钟书进、陈小花夫妇四人，四人合计直接持有鑫金泉88.22%的股份且签署了共同控制协议，股权结构如下：
标的公司重组前三年主要财务情况如下：
单位：万元
项目 2021 年 12 月 31 日 2020 年 12 月 31 日 2019 年 12 月 31 日
资产总计 34,694.76 26,580.34 23,700.89
负债合计 9,964.44 5,484.36 5,536.31
所有者权益合计 24,730.32 21,095.98 18, 164.57
项目 2021 年度 2020 年度 2019 年度
营业收入 17,511.25 14,863.00 12,389.56
营业利润 5,899.21 5,489.13 3,811.01
利润总额 5,893.85 5,486.38 3,786.92
净利润 5, 134.34 4,731.41 3,275.88
扣除非经常性损益后的净利润 4,752.62 4,293.45 2,720.21
（三）交易方案
上市公司拟发行股份及支付现金购买资产鑫金泉100%股权，其中70%以股份支付，30%以现金支付，同时询价募集配套资金不超过48,695万元，用于支付本次交易现金对价、标的公司项目建设、上市公司补充流动资金、重组相关费用等。
本次交易以收益法估值结果作为定价参考依据。截至评估基准日，鑫金泉100%股权的收益法评估值为70,332.16万元，增值率203.31%。交易各方经协商确定总价款为69,650万元。
根据业绩承诺，标的公司2021-2024年度经审计的扣除非经常性损益后归属于母公司股东的净利润将分别不低于4,766万元、5,307万元、5,305万元、6,522万元，合计不低于21,900万元。
（四）实施过程
本次交易的主要实施过程如下表所示：
时间 事项
2021年10月15日 披露关于筹划重大资产重组停牌的公告
2021年10月27日 召开审议重组事项的第一次董事会，审议通过重组预案
2021年10月28日 披露发行股份及支付现金购买资产并募集配套资金暨关联交易预案，股票复牌
2022年1月6日 召开审议重组事项的第二次董事会，审议通过重组草案
2022年1月8日 披露发行股份及支付现金购买资产并募集配套资金暨关联交易报告书草案
2022年1月24日 召开股东大会审议并通过相关议案
2022年1月28日 本次交易获得交易所受理
2022年2月16日 上交所审核中心发出《关于北京沃尔德金刚石工具股份有限公司发行股份及支付现金购买资产并募集配套资金申请文件的审核问询函》
2022年3月22日 回复上交所问询函
2022年6月21日 上海证券交易所并购重组审核委员会审核通过
2022年7月6日 上海证券交易所提交注册
2022年7月28日 获得中国证监会同意注册批复
2022年8月23日 标的资产完成过户
三、本次交易的特点
（一）上市公司及标的公司规模相近且均较小，产业并购能
够提升市场占有率，发挥协同效应降本增效部分拟IPO企业或上市公司规模均不大，分别上市后各自的成长空间有限，如寻求同行业优质上市公司实施产业并购，则能够形成规模效应，有利于提高行业集中度，实现高质量发展。如本案例中，沃尔德2021年营收为3.26亿元，净利润0.54亿元，
鑫金泉2021年营收为1.75亿元，净利润0.51亿元，二者规模相近但均较小。
交易后，标的公司原控制团队取得1,353万股股份并继续经营公司，实现利益绑定。上市公司加强投后管理，持续推进公司与鑫金泉的资源整合以及深度融合。公司协助鑫金泉开展国际业务，推动鑫金泉在越南、印度等国家的销售推广，借助鑫金泉供应商资质，公司刀具导入部分汽车主机厂，在技术、生产等方面进行沟通和交流，实现了在市场开拓、客户资源、业务信息等方面优势互补。2022年及2023年，鑫金泉归母净利润分别为5,342.38万元、7,081.45万元，实现增长。同时达成降本增效，如超硬刀具产品毛利率上升3个百分点。
（二）合理应用差异化定价安排
本次作价存在差异化定价，前海宜涛对应鑫金泉100%股权估值为63,000万元，其他交易对方为70,000万元。
本次交易中，针对不同的交易对方采取了差异化定价策略。前海宜涛：对应鑫金泉100%股权估值为63,000万元，合计持股比例为5%，相应交易对价为3,150万元；其他交易对方：对应鑫金泉100%股权估值为70,000万元，合计持股比例为95%，相应交易对价为66,500万元；合计100%的股权的交易总价款为69,650万元。
差异化定价发生的主要原因为交易对手方的身份、入股时间及价格、承担的责任及需求的差异化。对上市公司来讲，标的公司的整体作价公允即可；差异化定价一般为标的公司股东内部利益调整，不会损害上市公司及中小股东的利益。同时，差异化定价能够满足交易方多样化需求，更快推进交易的达成，从而提升交易效率。目前，A股已有多家公司在并购中采用差异化定价安排。
（三）就后续增加资金投入对业绩承诺的影响做出明确约定
上市公司在并购后，一般都会通过增资或借款等方式支持标的公司发展，此外配募资金一般也用于标的公司相关项目建设，相关支持大概率会对标的公司的业绩产生正向影响，但并不反应标的在未获得相关资源支持情况下的真实盈利能力。因而，在约定业绩承诺时，需要考虑后续投入的影响。
如果属于强制业绩承诺，则相关后续投入需进行相应的扣除计算，如投资项目单独核算，投资资金专款专用，借款利息扣除等。如果属于自愿业绩承诺，则双方做好约定，可以将相关资源投入纳入考虑后确定业绩承诺金额，也可以约定好扣除项目、金额等。总之，需要明确业绩考核核算范围、人员资源等安排，避免后续产生纠纷。
本案例中，交易各方约定：一是在业绩承诺期内，如上市公司存在对于鑫金泉的项目投资计划，上市公司将在依法履行必要的决策程序后优先在惠州鑫金泉实施，并设立专用资金账户进行独立核算。该部分投入产生的利润或亏损不会对业绩承诺产生影响。二是在业绩承诺期内，如鑫金泉存在短期资金需求，考虑上市公司融资成本较鑫金泉更低，融资便利性更强，上市公司在资金条件允许的情况下，可视需要向鑫金泉提供短期资金拆借，累计上限不超过3,000万，单笔借款期限不超过12个月，且上市公司将向鑫金泉按照银行同期贷款利率收取利息。三是本次交易配套融资中，上市公司拟使用募集资金22,000万元用于标的公司惠州鑫金泉精密刀具制造中心建设项目，募投项目由独立法人主体惠州鑫金泉进行运营与核算，上市公司与业绩承诺方就业绩考核核算范围进行了清晰约定，后续在计算标的公司实现净利润数额时，惠州市鑫金泉不纳入业绩考核专项审计；不包括本次交易的交割日后上市公司对标的公司及其下属企业新增投入所产生的利润或亏损。
四、案例点评
（一）上市公司并购标的为拟IPO企业
上市公司并购重组的核心在于交易标的是否符合上市公司的战略发展方向，交易价格是否公允，是否有利于提高上市公司质量。上市公司并购拟IPO企业企业并未设置额外的条件要求；需要提醒的两点在于：一是须关注标的企业放弃IPO的主要原因，是否存在不符合《重组办法》规定的重组条件问题；二是本次交易是否构成重组上市，如构成重组上市，对标的资产的监管要求等同于IPO。
本项目中，标的公司原计划IPO上市，2021年曾进行辅导，然而在2021年11月，标的公司终止上市计划，后续被沃尔德并购。放弃独立IPO选择被并购的主要原因在于：一是公司整体规模较小，独立上市估值可能不高，单体的成长空间有限；二是并购重组产业整合的确定性更强；三是通过产业并购有利于双方做大做强，更好地实现协同效应。
（二）商业博弈下的自愿业绩承诺及分期解锁
本次交易属于上市公司向第三方发行股份购买资产，交易双方自主协商设置了业绩承诺。自愿协商设置业绩承诺的，可以结合标的公司业务特点自主选择营业收入、净利润、应收账款等财务指标，也可以选择核心技术人员留任、产品阶段性进展等非财务指标。
对于自愿设置业绩承诺的，补偿方、补偿期限、补偿方式等均由交易各方自主协商确定，不适用《监管规则适用指引——上市类第1号》1-2的规定。本项目中，交易各方经协商，确定由张苏来、钟书进、陈小花、李会香作为业绩承诺及补偿方，其他交易对方不做业绩承诺。同时，约定2021-2024年实现累计净利润即可，无需逐年计算并补偿，这种方式包容性更大，可减少业绩大幅波动造成的影响，有利于标的公司根据产业特点聚焦于长期收益。目前，根据2023年年报数据，业绩承诺方已完成业绩承诺，2021至2023年度合计业绩承诺完成率为113.48%。
本次交易属于自愿分期解锁。根据《上市公司重大资产重组管理办法》，本次交易的交易对方，如持有标的公司的股权时间已满12个月，则本次交易中以资产换取得的上市公司股份，法定锁定期为12个月。本案例中，主要交易对方张苏来、钟书进作为业绩承诺方，在业绩承诺期内分4期，分别按照10%、10%、40%、40%的比例解锁本次交易中所取得的股份，且解锁比例与业绩完成情况挂钩。
（三）与众不同的超额奖励机制
为更好鼓励交易对方积极运营标的资产，方案还约定了超额业绩奖励机制，方案要求三项条件同时满足，即可实施业绩奖励。一是业绩承诺期内，鑫金泉完成业绩承诺；二是鑫金泉业绩承诺期内，4个会计年度经审计的经营活动产生的现金流量净额合计超过20,000万元；三是鑫金泉截至2024年12月31日的应收账款净额占同期营业收入的比例不超过50%。
可以看出，业绩奖励条件不仅要求账面利润，更对盈利质量提出了明确要求。如相关条件成就，则扣非归母超额完成的累计净利润的50%奖励给标的公司管理团队，但超额业绩奖励金额累计不得超过本次交易总价款的20%，既实现激励管理团队的目的，又能够较为有效的平衡标的资产和上市公司之间的利益。
03．昊华科技实施同一控制下产业整合案例
案例简介：昊华科技是我国领先的氟化工企业，2023年2月启动重大资产重组，向关联方中化集团及其子公司中化资产发行股份收购中化蓝天100%股权，交易作价约为72.44亿元。本次交易是2021年“两化”合并暨中国中化成立后体内首单重大资产重组，是一场万亿级央企内兄弟公司之间的深度产业整合。通过本次收购，昊华科技将进一步完善氟化工产业链布局，提高公司盈利能力，助力昊华科技成为全球氟化工领先企业。同时，本次交易可以有效解决“两化”合并后产生的同业竞争问题，为其他央企集团整合方案设计提供重要参考。
一、交易背景
（一）完善氟化工产业链布局
标的公司中化蓝天集团有限公司（以下简称中化蓝天）主营氟化工业务，涵盖含氟锂电材料、氟碳化学品、含氟聚合物以及含氟精细化学品等，生产的产品达百余种，广泛应用于汽车、家电、新能源等领域，许多品种在国内市场份额领先。昊华化工科技集团股份有限公司（以下简称昊华科技，600378.SH）与中化蓝天均是我国领先的氟化工企业，其中高端氟材料是昊华科技的核心业务之一，亦属于标的公司的主要业务领域。
通过本次重组，昊华科技将进一步丰富氟化工产品线，完善产业链布局，提升抗风险能力，形成一体化产业链平台，深度打造世界一流氟化工原创技术策源地。上市公司和标的公司将可以有效实现氟化工业务的结构优化和资源整合，增强优势互补，在采购、生产、研发、销售等方面充分发挥协同效应，实现业务高质量发展，进一步增强对国内氟材料产业链供应链安全稳定的支撑力度。
（二）减少同业竞争
为打造世界一流的综合性化工企业，加速化工行业供给侧结构性改革和行业转型升级，国务院国资委于2021年设立中国中化控股有限责任公司（以下简称中国中化），将中国化工行业的两大巨头中国中化集团有限公司（以下简称中化集团）与中国化工集团有限公司（以下简称中国化工）的股权共同划入新设的中国中化（简称“两化”合并）。昊华科技原为中国化工下属公司，中化蓝天隶属于中化集团，划转完成后，中化集团下属有关企业氟化工业务与昊华科技存在相似情形，因此中国中化出具5年内逐步解决同业竞争的承诺。在前述背景下，昊华科技及中化蓝天作为中国中化集团体系内聚焦于氟化工领域的重要主体，实施同一控制下并购重组，是中国中化积极履行承诺的重要举措，有效维护上市公司及中小股东的合法权益，实现上市公司规范运营。
（三）提升盈利能力
本次交易完成后，标的公司将纳入上市公司合并财务报表范围。本次交易是上市公司优化业务布局、提高可持续发展能力的积极举措，预计将提升上市公司的资产规模、营业收入和净利润水平，有助于上市公司进一步拓展收入来源，分散整体经营风险。
二、交易方案与过程
（一）交易各方
1．上市公司——昊华科技
昊华科技于2001年1月在上交所主板上市，主要业务为高端氟材料、电子气体、高端制造化工材料及碳减排业务等，主要产品有氟材料、特种气体、特种橡塑制品、精细化学品、工程咨询及技术服务。上市公司直接控股股东为中国昊华化工集团股份有限公司，持股比例64.75%，实际控制人为国务院国资委。上市公司股权控制关系如下：
2．标的资产——中化蓝天
中化蓝天成立于2000年8月，主要从事含氟锂电材料、氟碳化学品、含氟聚合物以及含氟精细化学品等产品的研发、生产和销售。中化蓝天拥有的主要生产基地遍及全国多个省市，生产的产品达百余种，产品覆盖氟化工产品链中的大多数关键产品，许多品种在国内市场份额领先，其中R-123产品为全球独家生产，三氟系列产品全球市场份额位居第一，R-134a、R-125等产品全球市场份额位居前三。公司产品广泛应用于汽车、家电、新能源等20多个行业，在新能源、新材料、新环保等领域拥有大量自主知识产权。
中化蓝天控股股东为中化集团，股权控制关系如下：
中化蓝天最近三年主要财务数据如下：
单位：万元
项目 2023年12月31日 2022年12月31日 2021年12月31日
总资产 964,664.96 1,101,841.34 1,004,067.26
总负债 596,919.99 617,765.94 506,991.71
所有者权益 367,744.98 484,075.40 497,075.55
归母所有者权益 329,531.71 435,491.96 456,101.65
项目 2023年度 2022年度 2021年度
营业总收入 667,694.81 941,488.65 755,568.10
营业利润 26,469.72 115,725.51 95,048.97
利润总额 26,305.78 114,560.17 93,053.26
净利润 12,690.24 94,453.91 75,031.67
归母净利润 12,327.31 81,962.01 54,808.54
扣非归母净利润 18,207.95 78,421.72 51,701.26
（二）交易方案
本次交易方案由发行股份购买资产以及募集配套资金两部分组成。本次交易构成关联交易。
1．发行股份购买资产
上市公司拟向中化集团及其子公司中化资产管理有限公司（以下简称中化资产）发行股份收购中化蓝天100%股权。本次交易构成重大资产重组。
本次交易对标的资产采用资产基础法和收益法评估，并最终选取收益法评估结果作为定价依据。截至2022年12月31日，中化蓝天100%股权收益法估值855,996.21万元，扣除永续债后为825,956.34万元，增值率103.71%。扣除评估基准日后现金分红101,570万元，本次交易作价724,386.34万元。
2．配套募集资金
上市公司拟询价发行股份募集配套资金不超过45亿元，其中31亿元用于9个项目建设，14亿元用于补充流动资金或偿还债务。根据询价结果，中国对外经济贸易信托有限公司拟认购不超过4亿元，中化资本创新投资有限公司拟认购不超过1亿元。
3．业绩承诺情况
本次交易设置了业绩承诺及补偿，业绩承诺期为交易完毕起的连续三个会计年度（含交易完毕后当年）。
对于采用收益法定价的控股子公司和合营公司，业绩承诺以净利润为口径；对于采用资产基础法定价的控股子公司中，以收益法定价的无形资产，业绩承诺以分成收入为口径。具体如下：
序号 业绩承诺范围公司 置入股权比例 资产类别 评估价值（万元）
1 中化蓝天（母公司） 100.00% 净资产 825,956.34
2 四川新能源 100.00% 净资产 9,658.75
3 湖南新材料 100.00% 净资产 33,541.01
4 蓝天氟材料 100.00% 净资产 264,738.38
5 浙江新能源 100.00% 净资产 40,973.17
6 郴州氟源 100.00% 净资产 20,093.92
7 陕西新材料 75.00% 净资产 23,090.09
8 太仓环保 86.25% 净资产 92,495.94
9 湖北新能源 59.00% 净资产 52,696.88
10 中化贸易（新加坡） 100.00% 净资产 7,200.93
11 中霍新材 50.00% 净资产 71,054.07
12 浙化院 100.00% 以收益法定价的专利等无形资产 2,478.61
13 蓝天环保 94.60% 以收益法定价的专利等无形资产 4,205.69
14 河北华腾 82.00% 以收益法定价的专利等无形资产 736.67
15 西安环保 75.00% 以收益法定价的专利等无形资产 1,033.88
注：上表中置入股权比例和评估价值均已考虑间接持股情况下的权益影响；上表中中化蓝天（母公司）净资产评估价值825,956.34万元包含了其持有的长期股权投资的评估价值。
针对上述业绩承诺范围资产第1-11项（以下简称业绩承诺资产1），交易对方承诺：业绩承诺资产1在2024-2026年各会计年度应实现的承诺净利润数分别不低于29,323.91万元、44,274.97万元、63,330.51万元。针对上述业绩承诺范围资产第12-15项（以下简称业绩承诺资产2），交易对方承诺：业绩承诺资产2在2024-2026年各会计年度应实现的承诺收入分成数分别不低于3,031.85万元、2,691.33万元、2,202.31万元。
（三）主要时间节点
时间 事项
2023年2月1日 上市公司股票停牌
2023年2月14日 召开审议重组事项的第一次董事会，锁定发股价格
2023年2月15日 股票复牌，披露重组预案
2023年6月15日 重大资产重组涉及特殊事项审查获得国家主管部门批复
2023年7月26日 资产评估报告经国有资产监督管理机构备案
2023年8月12日 召开审议重组事项的第二次董事会，发布重组草案
2023年9月15日 重组和配套融资方案获得国务院国资委原则同意上市公司召开股东大会审议并通过相关议案
2023年9月27日 上海证券交易所受理本次发行股份购买资产申请
2024年3月27日 上海证券交易所并购重组审核委员会审核通过
2024年5月31日 更新标的公司财务数据及重组报告书等文件上海证券交易所提交注册
2024年6月20日 获得中国证监会同意注册批复
2024年7月23日 标的资产完成过户
三、本次交易的特点
（一）解决氟化工业务的主要同业竞争
本次交易完成后，中化集团下属鲁西化工仍存在与上市公司相似的少量氟化工业务，所涉产品主要包括六氟丙烯、聚全氟乙丙烯、聚四氟乙烯等。相关情形主要系“两化合并”背景下产生。
根据中国中化于“两化合并”时，即2021年9月出具的《关于避免与昊华化工科技集团股份有限公司同业竞争的承诺函》，其将按照监管部门要求，在规则允许的范围内，在5年内依法合规解决同业竞争。
本次交易有利于减少同业竞争，剩余少量同业竞争在承诺期限内，处于依法有序的解决过程中，符合《重组办法》关于同业竞争的相关规定。
（二）标的公司行业处于结构化调整周期，标的公司业绩出现阶段性下滑
“十三五”期间，通过产业结构调整和供给侧结构性改革，氟化工行业整体去产能有所改善，但是产能过剩现象依然存在，同时产品品级不高，中高端产品比重偏低。由于行业细分领域出现阶段性产能过剩情形等多重因素影响，报告期内化工产品价格回落，标的公司毛利率呈现下降趋势，其中含氟锂电材料、含氟精细化学品、含氟精细化学品等产品毛利率水平出现大幅下滑。公司认为由于当前市场结构呈现“高端产能不足、低端产能过剩”的状态，含氟锂电材料市场整体的结构化调整，行业进入阶段性下行周期，但行业未来长期向好。业内具有技术优势的企业可抓住发展机遇实现快速增长，中化蓝天已围绕氟化工建立技术优势，在低端产能淘汰、行业回归理性后，含氟锂电材料毛利率水平预计将回归至合理水平。
同时，虽然中化蓝天2023年度业绩存在一定波动，但该横向并购能有效增强集团在行业内的整体实力，中化集团、中化资产亦作出了业绩承诺及补偿安排，长期来看，上市公司未来业绩情况具备一定保障。
（三）本次交易体现央企担当，充分保护中小股东利益
为应对股价大幅波动对交易产生的不利影响，根据《上市公司重大资产重组管理办法》第四十五条相关规定，上市公司在发行股份购买资产方案中，可以设置发行价格调整机制。即：上市公司在首次董事会决议时可以明确，在中国证监会注册前，在市场和同行业指数变动基础上，上市公司的股票价格相比最初确定的发行价格发生重大变化的，董事会可以按照设定的调整方案对发行价格进行一次调整，无需再次提交股东大会审议。
本次交易中，重组方案设置了发行价格调整机制。双方约定，若上证指数（000001.SH）或特种化工指数（882409.WI）在任一交易日前的连续30个交易日中有至少20个交易日较公司本次交易首次董事会前一交易日收盘指数跌幅超过20%，且上市公司股价在任一交易日前的连续30个交易日中有至少20个交易日较公司本次交易首次董事会前一交易日收盘价格跌幅超过20%，则触发向下调整条件。
审核期间，上市公司股票价格触发向下调整条件。上市公司董事会经审议，基于对公司未来发展的信心及保护中小投资者利益的决心，决定不对本次发行价格进行向下调整，合理保护上市公司及中小股东利益，有效保障了本次交易顺利推进。
四、案例点评
（一）同行业产业整合，增强国内氟材料产业链供应链安全稳定
国内氟化工起步较晚，在全球氟化工行业链条中靠近原材料的上游产品方面具有一定竞争力，但在技术壁垒及附加值较高的产品领域中，基本上由国外企业占据。从全球角度来看，科慕公司、大金以及霍尼韦尔等企业进入氟化工行业较早，拥有先发优势，在高端氟材料、低GWP的ODS替代品、高端氟精细化学品，特别是功能制剂等终端领域占据垄断或优势地位。
中化蓝天拥有35个专业研究实验室和各领域科研人才500余人，累计形成产业化成果近百项；有效发明专利超过400件；获全国科学大会奖、国家发明奖、国家科学技术进步/发明奖18项；承担国家高新技术研究发展计划和科技支撑计划项目10余项，主持、参与制订国家和行业标准80余项；是我国唯一的国家消耗臭氧层物质替代品（ODS）工程技术研究中心依托单位，并获批建有含氟温室气体替代及控制处理国家重点实验室，具有较强的研发创新能力。
昊华科技聚焦于以含氟聚合物、含氟精细化学品等高端氟材料为核心的氟化工业务；中化蓝天从氟资源、无机氟化物到氟碳化学品、含氟聚合物等高端氟材料不断创新，近年来更是提前布局了锂离子电池高性能PVDF粘结剂及涂层产品的研发，技术水平领先。双方共同作为氟化工领域的主力军，在高端氟材料的发展上各有侧重。通过本次重组，昊华科技与中化蓝天将在财务、氟化工业务资源投入、产业结构等诸多方面发挥协同作用，进一步增强对国内氟材料产业链供应链安全稳定的支撑力度。本次交易是上市公司优化业务布局、提高可持续发展能力的积极举措，将切实提高上市公司的竞争力。
（二）采用多种评估方法作价情形下的强制业绩承诺
根据《上市公司重大资产重组管理办法》第35条，采取收益现值法、假设开发法等基于未来收益预期的方法对拟购买资产进行评估或者估值并作为定价参考依据的，上市公司应当在重大资产重组实施完毕后三年内的年度报告中单独披露相关资产的实际盈利数与利润预测数的差异情况，并由会计师事务所对此出具专项审核意见；交易对方应当与上市公司就相关资产实际盈利数不足利润预测数的情况签订明确可行的补偿协议。上市公司向控股股东、实际控制人或者其控制的关联人之外的特定对象购买资产且未导致控制权发生变更的，不适用前述规定，上市公司与交易对方可以根据市场化原则，自主协商是否采取业绩补偿和每股收益填补措施及相关具体安排。
本次交易中，使用收益法评估作价的子公司或资产，涉及强制业绩承诺的情形；使用市场评估作价的子公司或资产，应依规进行减值测试并承诺补偿。考虑到本次交易评估针对每个子公司单独开展、不同子公司之间存在大量关联交易、收益法评估需模拟费用分摊等情况，交易对方增加了合并口径分年度的业绩承诺，解决了内部转移定价、评估口径与会计口径差异等实际操作问题，具有一定典型性。
（三）标的公司为持股平台，旗下子公司众多，信息披露如何简明扼要
中化蓝天主要产品包括含氟锂电材料、氟碳化学品、含氟聚合物、含氟精细化学品、无机氟材料、其他产品等6类。母公司中化蓝天为持股平台，拥有20余家控股子公司，主营前述产品的研发、生产、销售等。子公司之间存在大量关联交易，此时中化蓝天（合并口径）的评估情况，如收入、毛利率、净利润的预测情况，以及主要产品的销量、单价、毛利率预测等，对于投资者理解标的公司的质地及未来发展预期尤为重要。真实、准确、完整是信息披露的基本要求，同时上市公司信息披露应简明扼要，易于投资者理解。
2024年是国企深化改革提升行动落地实施的关键之年，优化资源配置、加大市场化整合重组力度正是本轮国企改革的一项
重点任务。作为新“国九条”发布后首单获得证监会并购重组批文的项目，昊华科技收购中化蓝天，是央企借助并购重组进行产业整合的重要实践，同时有效解决了央企集团整合中形成同业竞争问题，具有重要标杆意义。
04．持续注入优质资产：长江电力收购水电资产
案例简介：长江电力2003上市，早期只有葛洲坝水电站，总装机容量2.7GW。此后长江电力不断收购三峡电站发电机组，至2012年完成三峡电站资产全部注入，装机容量达22.5GW。2015年，长江电力斥资797亿收购川云公司100%股权，新增溪洛渡、向家坝两座水电站，装机容量增长至45.5GW。2022年，长江电力斥资804.8亿收购云川水电100%股权，再次并入乌东德、白鹤滩两座水电站，装机容量增长至71.8GW。至此，长江电力统一持有长江干流6座巨型水电站，实现“六库联调”。公司控股股东持续注入优质资产，构建企业护城河，上市公司质量得到不断提升。本次主要介绍2022年长江电力发行股份及支付现金购买云川公司。
一、交易目的
（一）注入优质资产，巩固公司行业领先地位
公司抓住契机注入乌东德、白鹤滩水电站资产，国内控股装机容量将达7,169.5万千瓦，协同效益显著，可充分发挥资源、管理优势和核心能力，助力业绩进一步提升，巩固行业领先地位，有效实现国有资产保值增值。
（二）强化流域梯级联合调度，增强业绩稳定性
乌东德水电站及白鹤滩水电站位于金沙江下游，库容大，梯级效益显著。本次交易完成后，公司将统一持有长江干流中三峡、葛洲坝、溪洛渡、向家坝、乌东德、白鹤滩等6座水电站，梯级联合调度能力将从“四库联调”扩充为“六库联调”，强化水电多级增厚效应，熨平降雨丰枯对于公司发电量的影响，增强业绩稳定性和可预测性。
二、交易方案
（一）上市公司
中国长江电力股份有限公司（以下简称长江电力，600900.SH）于2003年11月在上交所主板上市，控股股东为三峡集团，实际控制人为国务院国资委。主要从事水力发电业务，交易前拥有长江干流三峡、葛洲坝、溪洛渡、向家坝等4座梯级水电站，控股总装机容量45.5GW。
（二）标的资产
标的为三峡金沙江云川水电开发有限公司（以下简称云川公司或标的资产）由三峡集团、云能投和川能投于2012年10月共同出资设立，主要从事水力发电业务。主要资产为三峡金沙江云川水电开发有限公司禄劝乌东德电厂（以下简称乌东德电厂）和三峡金沙江云川水电开发有限公司宁南白鹤滩电厂（以下简称白鹤滩电厂）。标的资产控股股东为三峡集团，实际控制人为国务院国资委。标的资产股权结构如下图所示：
重组前主要财务数据如下：
单位：万元
资产负债表项目 2022年6月30日 2021年12月31日 2020年12月31日
资产总计 24,440,760.82 23,275,938.97 20,188,969.36
负债总计 18,728,286.83 17,895,164.15 16,052,716.07
所有者权益 5,712,473.99 5,380,774.81 4,136,253.29
利润表项目 2022年1-6月 2021年度 2020年度
营业收入 658,887.88 1,273,411.60 342,756.80
营业成本 353,487.96 442,807.55 111,667.02
利润总额 31,699.18 444,349.49 136,253.29
净利润 31,699.18 444,349.49 136,253.29
扣非后净利润 31,660.08 444,343.79 136,253.50
（三）交易方案
上市公司拟发行股份及支付现金购买三峡集团、三峡投资，云能投、川能投合计持有的云川公司100%股权。云川公司100%股权评估值为8,048,382.79万元，评估增值率41.65%，以此价格作为本次交易作价。其中20%对价以股份支付，合计1,609,676.56万元，剩余部分以现金支付，合计6,438,706.23万元。同时询价募集配套资金不超过160.97亿元，用于支付本次重组现金对价、中介机构费用和其他相关发行费用。
本次交易完成后，上市公司主营业务不变，控股股东和实际控制人均不发生变化。
（四）实施过程
本次交易的主要实施过程如下表所示：
*时间* *事项*
2021年11月29日 披露关于筹划重大资产重组停牌的公告
2021年12月10日 召开审议重组事项的第一次董事会，审议通过重组议案
2021年12月11日 披露发行股份、发行可转换公司债券及支付现金购买资产并募集配套资金暨关联交易预案，股票复牌
2021年12月24日 上交所向长江电力发出重组预案审核问询函
2022年1月1日 对重组问询函作出回复，披露重组预案修订稿
2022年6月30日 召开审议重组事项的第二次董事会，审议通过重组方案
2022年7月1日 发布发行股份及支付现金购买资产并募集配套资金暨关联交易报告书（草案）
2022年7月6日 与交易各方签订附条件生效的资产认购协议及补充协议
2022年7月20日 本次重组事项获得国务院国资委的认可批复;召开股东大会，审议通过了本次重组事项
2022年7月27日 中国证监会出具《申请受理单》(受理序号221750)，决定对该行政许可申请予以受理
2022年8月15日 中国证监会出具《中国证监会行政许可项目审查一次反馈意见通知书》，对本次重组事项申请材料进行了审查，要求长江电力就有关问题作出书面说明和解释
2022年9月23日 对证监会反馈问题作出回复
2022年10月26日 证监会并购重组委召开2022年第16次会议,审议本次交易事项本次交易获无条件通过
2022年11月14日 中国证监会作出批复(证监许可[2022]2740号)，核准本次交易
2023年1月10日 标的资产完成过户
2023年2月9日 新增股份发行完成，发布新增股份上市公告书
三、方案特点
（一）利用财务杠杆，减少摊薄每股指标
标的资产交易作价804.84亿元，其中以发行股份方式支付对价160.97亿元（20%），以现金支付643.87亿元（80%），除配套融资的外（约160亿元），剩余部分（约483亿元）以自有资金或通过债务性融资方式解决。大规模的现金支付将显著增加公司债务负担，但本次交易及之前的收购中，长江电力均采取了大比例的现金支付，这种支付方式适合大股本的水电企业。一方面，本次发行前，上市公司股本已超227亿股，如继续大规模扩张股本，会进一步降低每股指标，摊薄股东权益；另一方面，水电业务规模大、现金流充足，2016年注入向家坝和溪洛渡水电站后，公司年经营性现金流量净额稳定在300亿以上，本次注入后年经营性现金流量净额增长至600亿量级，有稳定且大规模的现金流支撑，上市公司具备承担大额债务、实施还本付息的能力。
（二）控股股东前期投建，择机注入上市公司运营
长江水电资源经过分级开发后，建设多座呈阶梯排布的水电站，同时让这些水电站由一个主体实施管控调度，能够最大化利用水电资源。公司上市后，三峡集团及相关单位持续投建水电站，并在建成或将要建成时，择机注入上市公司，上市公司借此实现营收、利润不断提升，且逐步实现了长江水电资源的“一体化”。如2010年以1043亿对价收购三峡工程发电资产，全面投产后装机容量22.5GW。2016年，797亿收购川云公司，增加溪洛渡、向家坝两座水电站，新增装机容量20.26GW。本次再度新增两座水电站，控股装机容量进一步提升。体外建设、择机注入的方式，一方面集团负责前期建设，避免上市公司承担建设过程中的风险，另一方面上市公司仅负责建成后的运营，能够显著提升上市公司盈利水平，较好地平衡资产建设风险与资产质量提升。
四、案例点评
持续注入水电站资产能够提升发电量，进而提升公司营收与盈利水平，但对长江电力而言，长江干流上六座水电站的持续注入，更显著的意义是提升了发电量的稳定性和上市公司业绩的可预测性，资产注入存在着极大的协同效应。
在2016年向家坝与溪洛渡水电站注入之前，降雨丰枯会影响公司盈利能力，业绩稳定性并不理想，因此市场估值水平一般。向家坝与溪洛渡水电站注入之后，长江电力能够实施“四库联调”，大幅减少了降雨波动影响，丰水期上游降低下泄流量，枯水期上游提高下泄流量，熨平来水波动，减少下游弃水。本次交易后，协同效应更加显著，“六库联调”进一步提升公司业绩的稳定性和可预期性。长江电力在持续的产业并购过程中，不断提升上市公司质量，估值水平逐渐得到市场大范围认可，市值水平显著提升。
05．普源精电：提前锁定+分步实施
案例简介：2024年7月15日，普源精电发行股份购买耐数电子67.7419%股权获证监会同意注册，本次交易是“科八条”后重组注册第一单。普源精电在对耐数电子充分考察后，对收购耐数电子势在必得，一是耐数电子在遥感探测、射电天文等细分领域技术更加领先，二是两家公司价值观彼此契合，均为大学生毕业即创业而创立的公司。为保证本次并购重组交易的确定性，方案设计为第一步通过现金收购标的公司部分股权并签订表决权委托协议从而实现并表，第二步再通过发行股份购买标的公司剩余股权。在普源精电将耐数电子纳入合并报表范围后，即开始向耐数电子导入科技型企业客户，并通过自身销售渠道帮助耐数电子实现境外收入零的突破。
一、交易的背景和目的
普源精电科技股份有限公司（以下简称普源精电，688337.SH）所处电子测量仪器行业具有以下特点：一是研制技术难度大、研发周期长；二是客户价格敏感度低，更倾向于使用成熟产品；三是产品品类较多、产品线较复杂。我国电子测量仪器行业起步较晚，海外厂商市场占有率远高于国内厂商，而海外龙头厂商在发展过程中采用了外延式并购发展战略。如行业全球营收规模最大的公司美国是德科技，通过收购补全自身软硬件产品实力、快速切入前沿下游市场，收购了多个5G无线通信测试领域、汽车电动化测试领域及量子计算领域的公司。
普源精电借鉴海外行业龙头公司经验，自上市以来便将并购作为公司的长期战略之一，拟通过收购快速增加自身技术积累和拓展业务范围。在考察过国内外十余家标的公司后，经过审慎决策，最终选定耐数电子作为首个实质并购标的。关于发起本次并购，公司一是希望对标行业龙头企业，实现从硬件向整体解决方案的转型升级；二是希望拓宽产品布局，增强公司产品在细分应用领域的品牌效应；三是希望深化上下游延伸和技术合作，提升研发水平和自主创新能力。
二、交易方案与过程
（一）上市公司——普源精电
普源精电主要从事通用电子测量仪器的研发、生产和销售，产品主要应用于通信、工业生产、教育等领域。公司成立于2009年，前身为王悦、李维森、王铁军从北京工业大学毕业后于1998年创立的RIGOL工作室，公司于2022年4月在科创板上市。
公司的控股股东为苏州普源精电投资有限公司，实际控制人为王悦，股权控制关系如下所示：
普源精电整体收入规模较小，2023年实现营业收入6.71亿元。但公司盈利能力较强，2023年实现净利润1.08亿元，公司销售毛利率及销售净利率分别为56.45%和16.10%。
普源精电在经营上具有小而精的特征，但也面临着收入增速放缓的情况，公司收入增长率从2021年的36.63%下降至2023年的6.34%，公司需寻找和打造第二增长曲线。
（二）交易标的——耐数电子
耐数电子与普源精电同属于电子测量仪器行业，不同于普源精电的通用型设备，耐数电子产品为主要服务于遥感探测、量子信息、射电天文、微波通信等领域的专用设备。
在普源精电现金方式收购耐数电子32.2581%股权后，其余股东吴琼之、孙林、孙宁霄、金兆健、许家麟、刘洁和邢同鹤合计持有剩余67.7419%股权。上述股东中除邢同鹤外，其余均有在北京理工大学任职或学习的经历，其中吴琼之自2004年4月起于北京理工大学担任讲师，孙林、孙宁霄、金兆健、许家麟、刘洁均为其学生。他们在北京理工大学任职、学习期间，从事相关领域的基础性研究工作并关注到该领域发展前景，于2012年设立耐数电子。
耐数电子采用轻资产运营模式，自身不生产硬件产品，核心竞争力主要体现在软件算法和硬件设计方面，因此总资产及净资产规模较低。此外，耐数电子受限于营销和品牌积累，整体收入及利润规模较低。
耐数电子最近两年经审计的主要财务数据如下：
单位：万元
项目 2023年12月31日/2023年度 2022年12月31日/2022年度
资产总额 5,403.79 4,196.95
负债总额 1,871.51 2,844.71
所有者权益合计 3,532.28 1,352.24
营业收入 4,937.53 1,694.34
营业利润 1,993.73 330.43
净利润 1,980.04 391.28
（三）方案概要
普源精电向耐数电子原自然人股东以发行股份方式购买其所持有的耐数电子67.7419%股权，交易价格为25,200万元。交易完成后，普源精电将持有耐数电子100%股权。
本次交易分别采用了收益法和资产基础法对耐数电子进行了评估，并选取收益法评估结果作为耐数电子的最终评估结果，评估金额为37,648万元，较账面净资产增幅达965.83%，并据此确定67.7419%股权的交易价格为25,200.万元。按照交易价格测算，标的公司静态市盈率18.79倍。
本次交易不构成重大资产重组，不会导致普源精电控股股东及实际控制人发生变化。
（四）实施过程
普源精电此次发行股份购买资产从受理到过会仅用时52天，到获证监会同意注册仅用时两个月。本次交易的主要实施过程如下表所示：
时间 重要事项
2023年12月23日 普源精电披露关于筹划发行股份及支付现金购买资产事项的停牌公告
2024年1月9日 普源精电复牌并披露发行股份购买资产并募集配套资金预案，拟购买耐数电子67.7419%的股权
普源精电披露关于以现金方式收购耐数电子部分（32.2581%）股权并签订表决权委托协议的公告
2024年1月15日 上交所科创板公司管理部发出《关于对普源精电科技股份有限公司使用自有资金收购北京耐数电子有限公司部分股权并签订表决权委托协议相关事项的问询函》
2024年2月7日 普源精电使用自有资金收购耐数电子部分股权事项完成了股东的工商变更登记手续。普源精电对耐数电子董事会进行改选并派驻财务负责人，耐数电子3名董事中2名改由上市公司提名并委派。
2024年4月3日 普源精电披露了发行股份购买资产并募集配套资金报告书（草案）
2024年4月24日 普源精电股东大会审议通过相关事项
2024年5月15日 本次交易获得交易所受理
2024年5月24日 上交所审核中心发出《关于普源精电科技股份有限公司发行股份购买资产并募集配套资金申请的审核问询函》
2024年6月27日 普源精电及相关中介机构回复问询函
2024年7月5日 上交所并购重组审核委员会审议通过
2024年7月15日 取得中国证监会关于同意本次交易注册的批复
2024年8月20日 标的公司67.7419%股权已经变更登记至上市公司名下，资产完成交割及过户
2024年8月30日 本次发行股份购买资产的新增股份登记已办理完毕
2024年10月14日 本次发行股份募集配套资金的新增股份登记手续已办理完毕
三、本次交易的特点和难点
（一）业绩补偿承诺安排较为灵活
耐数电子主要向客户提供解决方案而非标准化产品，因此部分项目实施周期较长，难以在1年内完成验收，此外不同项目还受到规模、复杂程度、定制化需求等因素，执行周期差异较大。根据耐数电子收入确认政策，其在客户完成验收后确认收入，而验收情况的具体时间具有一定不确定性。
本次交易属于上市公司向第三方发行股份购买资产，不强制交易双方设置业绩承诺。但交易双方基于自愿原则，仍选择将业绩承诺作为双方的约束条款。双方约定，2024年至2026年三年累计扣非归母净利润不低于8,700万元，且每年扣非归母净利润均不低于1,500万元。上述金额高于耐数电子根据收益法评估对前述三年的净利润预测合计金额8,456.54万元。
为适应耐数电子项目周期长、收入确认受客户验收影响大的特点，双方设置了相对灵活的业绩承诺方式。业绩承诺条款未对各年度具体利润情况进行约定，而是约定各年度保底金额及业绩承诺期总额。有关约定鼓励耐数电子从长期主义出发，避免为实现某一年业绩承诺而做出短视决策。
（二）关于职务科技成果权属是否清晰
耐数电子缘起于吴琼之及其他股东在北京理工大学的工作学习经历，耐数电子的技术基础亦来源于吴琼之、孙林在任职期间承担并实施的课题研究工作，相关课题的研究期间主要为2009年至2014年。相关课题研究时间较早，耐数电子经过多年研发积累已在功能、技术等方面实现了重大升级改进。
上述情形引发了关于职务科技成果权属是否清晰的疑问。为了明确相关事项，由北京理工大学出具了相关说明，即北京理工大学认可相关成果归属于耐数电子，各方不存在争议和纠纷。此外，吴琼之、孙林与北京理工大学达成协议，将其股权转让款的部分用于向北京理工大学支付科技成果转化回馈。
由于吴琼之、孙林仍任职于北京理工大学，因此亦需对未来职务科技成果进行约定避免上市公司存在潜在纠纷。但吴琼之、孙林与北京理工大学未就未来职务科技成果进行约定，而是承诺在耐数电子100%股权交割后，主动在北京理工大学办理离岗创业或辞职手续。
四、案例点评
（一）关于提前锁定+分步实施
2023年12月23日，普源精电停牌并披露拟筹划以发行股份及支付现金方式收购耐数电子100%股权。2024年1月9日，普源精电复牌并披露具体方案，收购方案变更为分步实施，一是以现金1.2亿元取得耐数电子32.2581%股权，同时吴琼之将其剩余持有的全部股权委托给普源精电行使，从而实现普源精电享有51.1411%表决权并将耐数电子纳入合并报表范围，二是通过发行股份方式购买耐数电子剩余67.7419%股权。
一般而言，上市公司将标的公司纳入合并报表范围在交易所、证监会的审核注册工作之后。而对普源精电而言，该时点提前至现金收购后、交易所受理前。上述方案设计使得监管机构的审核结果并不影响耐数电子是否纳入合并报表范围，仅会对剩余股权的支付手段及方式产生影响，因此保证了本次收购的确定性。
在普源精电将耐数电子纳入合并报表范围后，普源精电便挖掘现有客户对耐数电子专用设备的需求，已对接现有客户H与耐数电子签订长期合作协议，并签订百万级订单。上述真实业务场景比文字论证分析能更好地反映出双方的协同效应并取得认可。
但上述交易方案的实施也建立在一定的前提条件下，一是交易不构成重大资产重组，在普源精电案例中，耐数电子收入、总资产、净资产等各项指标均与普源精电差距较大，远未达到50%。如耐数电子相关指标超过普源精电50%，则现金收购部分即构成重大资产重组，便难以实现提前锁定的目的；二是上市公司对标的公司的控制并未暂时性安排，后续不会产生失控风险。在普源精电案例中，其一是上市公司取得的表决权已被独家且不可撤销地委托，双方表决权委托事项不会因发行股份购买资产失败而变更或终止，其二是普源精电2023年末，货币资金及交易性金融资产合计20.35亿元，如发行股份购买资产未审核通过，普源精电有能力通过现金方式完成剩余股权收购。
（二）关于本次评估增值率
本次交易中，耐数电子的公司全部股权价值被评估为37,648万元，该金额系评估机构按照收益法评估得出的评估结论。耐数电子的净资产金额相对较低，仅3,532.28万元，评估增值率高达965.83%。尽管评估增值率较高，但该笔交易仍最终达成，主要原因如下：
一是普源精电与耐数电子能够充分论证双方具有协同效应，尤其是市场协同方面。具体而言，普源精电在将耐数电子纳入合并报表范围后，便挖掘现有客户对耐数电子专用设备产品的需求，已对接客户与耐数电子签订百万级订单，耐数电子还通过普源精电的销售渠道实现了海外收入零的突破。在技术和产品方面，耐数电子在部分特定专用领域具有更强的技术积累，通过整合能够实现双方产品和技术层面的1+1大于2。
二是耐数电子采用轻资产运营模式，具体而言，耐数电子自身不生产硬件产品，核心竞争力主要体现在软件算法和硬件设计方面。耐数电子的经营场地为租赁的办公场所及实验室，亦不持有生产设备，因此净资产规模较小，增值空间相对较大。
三是本次交易耐数电子的静态市盈率18.79倍低于可比交易案例。论证过程中共选取了2019年以来标的同样为电子设备和仪器行业的11起案例，平均静态市盈率为23.19倍，本次交易低于可比交易案例的平均水平。
四是收益法评估对应的收入预测具有一定合理依据。其一是主要下游产业发展较为迅速，公司预测期收入复合增长率低于相关研究机构预测的细分行业复合增长率水平；其二是耐数电子产品具有定制化特征，客户粘性较高。具体而言，耐数电子最终客户的产品定型后，基于体系可靠性、稳定性及成本等方面考虑，一般不会更换核心供应商，并在会后续升级、改进中继续合作；其三是耐数电子在手订单情况较好，耐数电子已实现的营业收入和预计实现在手订单金额对预测期第一年预测的营业收入已达到128.68%。
（三）关于本次交易的商誉确认
在商誉确认上，普源精电将分步实施的现金收购和发行股份购买资产作为一项完整交易。在现金收购完成后，确认约1亿元商誉，剩余约2.12亿元商誉在发行股份购买资产后确认。如本次交易不构成一揽子交易。根据企业会计准则，收购少数股权按权益性交易原则处理，商誉确认金额将大幅减少。在本次交易中，普源精电净资产金额较高，商誉确认金额及比例并非收购方案考虑的首要因素，方案核心在于提前锁定，因此确认的商誉金额相对较大。
06．南微医学收购CME：拓宽海外渠道，加速海外布局
案例简介：南微医学近年来海外收入占比均在四成左右，海外市场主要是美国、欧洲等发达国家。南微医学海外业务从早期的为欧美医疗器械厂商提供OEM/ODM服务，逐渐发展为自有品牌产品销售，之后更进一步不断增加自有渠道销售比例，南微医学直销收入占比已由2017年的5.68%上升至2023年的19.09%。
南微医学2024年9月发布公告称，拟现金收购CME公司51%股权，交易金额预计不超过3,672万欧元。本次交易不构成重大资产重组，无需证券监管机构审核，亦未触及股东大会审议标准，董事会审议通过后即可实施。CME公司是西欧重要的医疗器械分销商，南微医学与CME公司在销售渠道和产品上高度互补，本次收购将进一步拓宽南微医学在欧洲地区的自有销售渠道，提升市场份额。
一、交易的背景和目的
随着国家医药卫生领域改革进一步推进，医疗器械和耗材的价格将进一步透明，国内医疗器械市场竞争日益激烈。与此同时，海外市场医疗器械的支付方主要是商业保险，价格体系较为稳定。海外市场成为医疗器械行业公司的重要市场及增长发力重点。
南微医学科技股份有限公司（以下简称南微医学，688029.SH）始终将海外渠道建设作为公司发展的重点，2015年在美国设立了全资子公司MTU，2018年将欧洲地区经销商MTE收购为全资子公司，2021年新设英国子公司MTUK和法国子公司MTF，2023年收购葡萄牙、瑞士两家渠道公司。发达国家医疗市场通常竞争格局及监管体系已相对完善，新建渠道的时间和经济成本相对较高，南微医学历史上的多次收购是其拓宽海外直销渠道的有效手段。
二、交易方案与过程
（一）上市公司——南微医学
南微医学是一家从事微创医疗器械研发、制造和销售的公司，主要产品为内镜诊疗器械、微波消融设备及耗材、一次性内镜。公司成立于2000年，2019年7月于科创板上市。
南微医学不存在控股股东和实际控制人。公司第一大股东中科招商持有公司22.23%的股份，而隆晓辉先生及其控制的第二大股东微创咨询合计持有公司20.59%的股份，公司第一大股东无明显持股优势。此外，公司任何单一股东所持表决权均不足1/3，公司股权结构较为分散。
南微医学最近两年一期主要财务数据如下：
单位：万元
项目 2024年6月30日/2024年1-6月 2023年12月31日/2023年度 2022年12月31日/2022年度
资产总额 441,570.15 439,267.30 389,402.00
负债总额 65,405.86 72,251.46 61,955.39
所有者权益合计 369,386.96 361,191.99 322,500.12
营业收入 133,384.40 241,146.84 198,014.35
营业利润 37,167.87 55,466.91 36,416.21
净利润 31,999.87 49,470.06 33,284.49
（二）交易对方——Creo
Creo是一家在伦交所上市的英国医疗器械公司，主要从事外科内窥镜领域微创手术设备的开发和商业化，主要产品为一种电外科平台CROMA。
（三）交易标的——CME
CME公司成立于1990年，是Creo的全资子公司，主要从事医疗器械产品销售。CME主要经销产品既包括Creo的自研产品，也包括其他公司生产的医疗器械，其中内镜下耗材和一次性内镜占CME公司2023年收入的近七成，而该品类即为南微医学的主要产品品类。
CME公司与南微医学过去曾有过合作，且一直保持良好的关系，目前CME公司没有南微医学产品在售。CME公司主要业务集中在西欧地区，覆盖英国、西班牙、法国、德国、比利时、卢森堡等国家。CME公司主要服务的客户为医疗机构，在其销售收入前五的国家覆盖近5000家医疗机构客户。
CME公司最近一年一期主要财务数据如下：
单位：万欧元
项目 2024年6月30日/2024年1-6月 2023年12月31日/2023年度
资产总额 2,263.7 3,145.0
负债总额 832.4 1,552.9
资产净额 1,431.3 1,592.0
营业收入 3,194.2 1,659.3
净利润 346.8 157.4
息税折旧摊销前利润（EBITDA） 489.6 250.3
（四）方案概要
2024年9月19日，南微医学披露关于购买CME公司51%股权的公告。前一日，公司董事会及监事会审议通过该事项，该事项无需提交股东大会审议。
南微医学拟通过全资子公司南微荷兰使用现金收购标的公司CME的51%股权，本次交易不构成重大资产重组。经相关方协商一致，本次交易预计的成交金额为不超过3,672万欧元（人民币约28,948.21万元）。本次交易完成后，CME公司将纳入南微医学合并报表范围。
三、本次交易的特点
（一）本次交易审议程序简易
本次交易未构成重大资产重组，亦未触及股东大会审议标准，该交易在董事会决议并公告后即完成内部决策程序，程序较为简易。
根据上市规则未达到股东大会审议标准的重大交易无需披露审计报告、评估报告。南微医学根据公司自身需要，委托管理咨询公司对标的公司进行财务尽职调查，而未聘请境内会计师，仅在购买公告中简要披露CME财务数据，而未随公告披露境内注册会计师出具的审计报告。
需要特别注意的是，上市公司应当按照上市规则及重大资产重组管理办法注意累计计算情形。一是根据上市规则，上市公司进行“购买或者出售资产”交易时，不论交易标的是否相关，若所涉及的资产总额或者成交金额在连续十二个月内累计计算超过公司最近一期经审计总资产30％的，应当经股东大会特别决议通过；二是根据《上市公司重大资产重组管理办法》，上市公司在十二个月内连续对同一或者相关资产进行购买、出售的，以其累计数分别计算相应数额，单笔金额虽未达到而累计金额达到也可能触发构成重大资产重组的情形。
（二）关于科创板公司开展产业链上下游的并购整合
CME公司是一家从事医疗器械产品销售的渠道公司，而南微医学主要从事医疗器械产品的研发、制造和销售。由于CME公司的行业内分工，其核心竞争力主要来源于渠道和客户资源，国内从事相同业务的公司因科创属性无法在科创板独立IPO。但对于并购重组而言，即便本次交易构成重大资产重组，只要未构成重组上市，无需机械套用科创属性评价量化指标。对于科创板公司开展产业链上下游的并购整合，重点关注双方是否具有协同效应且重组后上市公司是否未明显削弱“硬科技”属性。
本次交易中，南微医学从以下方面论证了有关情况：一是双方历史上曾有过合作，且CME公司历史上销售收入主要来源于南微医学的主要产品的品类；二是本次交易有助于南微医学提升在欧洲地区的产品销售能力，提高市场份额；三是通过本次交易，南微医学可以向CME公司导入更多产品，补全和丰富标的CME公司产品线，进而提高CME公司竞争力；四是销售渠道的建设不会削弱南微医学“硬科技”属性。
（三）关于南微医学“小步快跑”式收购
本次交易前，南微医学曾多次开展对外收购，收购时间跨度较长，收购了包括其在德国、美国、葡萄牙、瑞士的多个子公司，但均未构成重大资产重组。南微医学通过并购，助力海外收入增长及直销比例提升，进而实现公司业务出海战略。
“小步快跑”模式一方面可以降低单次并购失败的风险，避免单次失败对上市公司造成过大影响；另一方面可以降低收购后整合风险，一是上市公司因其规模优势，具备解决整合面临困难所需资源，二是上市公司可以通过实践提升管理能力并不断应用实现螺旋式提升。
上市公司在选择并购标的时，应根据自身业务特点合适选择，避免贪大求快，盲目追求明星公司。相对而言，“小步快跑”模式对于产业并购整合而言是一种更为稳妥的方式。
07．大股东注资型产业整合：中直股份收购直升机资产
案例简介：2023年底，中央经济工作会议将低空经济正式列为战略性新兴产业。2024年3月，低空经济被首次写入政府工作报告并被定义为“新增长引擎”。低空经济拥有广阔的发展前景，直升机作为低空经济的一个重要分支，具有天然的军民融合属性，而我国直升机技术水平也具备与世界先进国家同台竞技的实力。
2024年2月，中直股份发行股份购买昌飞集团、哈飞集团100%股权获证监会核准注册。中直股份本次交易是2013年重大资产重组后的再次整合，通过本次交易将实现对航空工业集团内直升机生产制造业务的整合，中直股份将成为航空工业集团唯一的直升机业务上市平台。本次交易通过支持上市公司产业并购打造直升机领航企业，金融工具赋能低空经济战略走实走深。
一、交易的背景和目的
（一）实现航空工业集团内直升机制造业务的整合
中航直升机股份有限公司（以下简称中直股份，600038.SH）曾于2013年完成了重大资产重组，在其原有产品的基础上新增多型民用直升机整机和国产直升机零部件的生产能力。前次重组方案中注入资产的范围未包含直升机总装在内的相关业务资产，主要是由于：一是部分直升机业务资产盈利能力不具备上市条件，二是房产土地存在瑕疵有待完善，三是为确保直升机科研生产任务稳定。
航空工业集团下属直升机生产制造分工与协作基本情况如下：
上市公司和标的公司均系航空工业集团骨干企业、我国直升机科研生产基地。本次交易后，上市公司与标的公司将实现对航空工业集团内直升机生产制造业务的整合，共同协作构成特定领域及民用领域整机的生产制造商，基本实现除子系统、部分原材料和零部件外的直升机整机、零部件生产和加工以及维修等业务产业链全覆盖，后续将作为航空工业集团唯一的直升机业务上市平台开展经营活动。
（二）减少关联交易，增强上市公司业务完整性
上市公司主要处于直升机产业链中零部件和整机（民用领域直升机的研发、生产及销售）环节，标的公司主要处于直升机产业链中整机（特定领域直升机研发、生产及销售）和维修检测环节。由于标的公司与上市公司存在上下游关系，上市公司与标的公司间存在金额较大的关联交易。本次交易完成后，标的公司将成为上市公司全资子公司，有利于上市公司减少关联交易增强上市公司业务完整性。
本次交易前，2022年和2023年1-8月上市公司关联销售占比为93.18%和97.90%。本次交易完成后，上市公司关联销售占营业收入比例下降至4.96%和2.83%。
二、交易基本情况
（一）上市公司——中直股份
中直股份于2000年12月18日在上海证券交易所主板上市。公司控股股东为中航科工（02357.HK），持有公司46.05%的股权，实际控制人为航空工业集团。中直股份是国内主要的航空装备制造企业之一，为国内各型直升机提供零部件，同时也研发制造多型不同吨位、满足各类用途的AC系列民用直升机，以及运12E和运12F系列通用飞机。
中直股份的股权关系如下图所示：
上市公司最近两年及一期的主要财务数据如下：
单位：亿元
项目 2023年9月30日/2023年1-9月 2022年12月31日/2022年度 2021年12月31日/2021年度
资产总额 312.59 276.94 270.27
负债总额 210.51 176.38 171.00
所有者权益合计 102.08 100.56 99.28
营业收入 157.51 194.73 217.90
营业利润 2.81 2.81 2.81
净利润 2.93 2.93 2.93
（二）交易标的——昌飞集团、哈飞集团
1．昌飞集团
昌飞集团成立于1990年2月，前身为1969年设立的国营黄洋界机械厂，隶属于航空工业集团，位于江西省景德镇市，注册资本4.79亿元，是我国直升机科研生产基地和航空工业骨干企业，主要从事多款直升机及相关部件的研制、生产、销售，并为相关客户提供服务保障、维修及加改装业务。
昌飞集团的股权结构如下：
昌飞集团最近两年一期经审计的主要财务数据如下：
单位：万元
项目 2023年8月30日/2023年1-8月 2022年12月31日/2022年度 2021年12月31日/2021年度
资产总额 885,612.85 929,710.64 1,246,881.23
负债总额 723,965.68 767,540.10 1,097,049.60
所有者权益合计 161,647.16 162,170.54 149,831.63
营业收入 472,998.85 719,932.96 1,371,847.28
营业利润 2,022.09 1,476.16 33,571.61
净利润 2,062.15 1,183.74 26,413.50
2．哈飞集团
哈飞集团成立于2003年1月，隶属于航空工业集团，位于哈尔滨市平房区，注册资本14.67亿元。哈飞集团专注于直升机整机、部件制造等航空产品领域及设备成品加改装、整机/部件维修等航空服务领域，主要从事以复合材料的性能研究、工艺结构设计和应用技术为核心的航空产品研发、设计、生产、销售与直升机整机/部件维修业务。
哈飞集团的股权结构如下：
哈飞集团最近两年经审计的主要财务数据如下：
单位：万元
项目 2023年8月30日/2023年1-8月 2022年12月31日/2022年度 2021年12月31日/2021年度
资产总额 1,805,998.65 2,134,629.68 1,166,403.31
负债总额 1,605,608.18 1,955,521.47 1,001,351.12
所有者权益合计 200,390.47 179,108.21 165,052.19
营业收入 1,047,397.53 1,459,991.65 1,023,129.51
营业利润 19,445.00 11,718.92 7,741.97
净利润 19,412.80 11,146.96 10,298.07
（三）方案概要
中直股份向航空工业集团、中航科工2名交易对方以发行股份方式购买其所合计持有的昌飞集团、哈飞集团100%股权，交易价格50.78亿元。此外，中直股份向中航科工、机载公司在内的14名特定投资者募集配套资金30亿元。本次交易属于大股东注资，构成关联交易，亦构成重大资产重组，但不构成重组上市。
本次交易分别采用了资产基础法和收益法对昌飞集团和哈飞集团进行了评估，并选取资产基础法作为标的公司的最终评估结果。根据规则，如上市公司向实际控制人购买资产且基于未来收益预期方法进行评估，需要依规设置业绩补偿安排，本次交易采用资产基础法减轻了航空工业集团、中航科工的业绩补偿义务。此外，标的公司属于重资产行业，生产经营过程中构建的土地、厂房、设备等原始投资额较大，且能够提供较为完整的购建成本相关资料，因此也适宜按资产基础法进行评估。
昌飞集团100%股权的资产基础法评估值为22.76亿元，增值率为40.68%，哈飞集团100%股权的资产基础法评估值为32.29亿元，增值率为74.15%。本次交易的评估增值部分主要产生于房屋建筑物及土地使用权。以该评估值为依据，剔除昌飞集团账面尚未转增的国有独享资本公积4.27亿元，本次交易作价50.78亿元。
（四）实施过程
中直股份此次并购重组从受理到过会仅用时73天，到获证监会同意注册仅用时不到4个月。本次交易的主要实施过程如下表所示：
时间 重要事项
2022年12月24日 中直股份披露关于筹划重大资产重组事项的停牌公告
2023年1月10日 中直股份复牌并披露发行股份购买资产并募集配套资金暨关联交易预案
2023年3月16日 中直股份披露预案（修订稿），调整本次交易定价基准日、股份发行价格和股份发行价格调整机制
2023年4月14日 中直股份披露了《中航直升机股份有限公司关于重大资产重组涉及军工事项审查获得国家国防科技工业局批复的公告》
2023年9月16日 中直股份披露发行股份购买资产并募集配套资金暨关联交易报告书（草案）
2023年9月20日 中直股份收到了国务院国有资产监督管理委员会下发的《关于中航直升机股份有限公司资产重组和配套融资有关事项的批复》，国务院国有资产监督管理委员会原则同意本次重组总体方案。
2023年10月13日 本次交易获得交易所受理
2023年10月24日 上交所审核中心发出《关于中航直升机股份有限公司发行股份购买资产并募集配套资金暨关联交易申请的审核问询函》
2023年12月8日 中直股份及相关中介机构回复问询函
2023年12月25日 上交所并购重组审核委员会审议通过
2024年2月1日 取得中国证监会关于同意本次交易注册的批复
2024年3月1日 昌飞集团100%股权已全部过户登记至上市公司名下
2024年3月12日 哈飞集团100%股权已全部过户登记至上市公司名下
2024年3月19日 本次发行股份购买资产的新增股份登记已办理完毕
2024年7月25日 本次发行股份募集配套资金的新增股份登记手续已办理完毕
三、本次交易的特点和难点
（一）关于国有独享资本公积
本次交易中，交易对方航空工业集团持有的昌飞集团和哈飞集团股权来源于国有独享资本公积转增。此外，昌飞集团账面仍有4.27亿元未达到转增国有股权条件而未转增。因此，关于未转增部分国有独享资本公积的后续安排是本次交易的难点之一。
国有独享资本公积系国家通过直接投资、拨付投资补助性质资金或以资本金注入方式投资项目等形式投资而对企业形成的国有独享权益。在本次交易中，系国家前期拨付给标的公司用于国拨基建项目的专项资金。
根据相关规定，有关企业在上市及上市后资本运作过程中，应当将国家投资部分按规定转为股权，如暂不具备转换条件的，计入国有债权或国有独享资本公积，但应在明确时限内完成转增。
本次交易中，具体方案如下：一是交易对价剔除昌飞集团账面尚未转增的国有独享资本公积；二是航空工业集团明确在后续转股条件成熟、并履行相关决策审批程序后，将尚未转增部分进行转增。
关于未来转增事宜，航空工业集团也可考虑如下处理方式：
一是在一定时期内，仍直接持有昌飞集团少数股权，享有合法股东权利，并可根据需要将股东权利委托下属单位行使；二是择机考虑协同其他上市公司资本运作，将昌飞集团少数股权作为资产对价购买上市公司股份，实现股权“上翻”。
（二）标的公司毛利率低于同行业可比上市公司的合理性
1．标的公司产品毛利率较低的原因
一是业务完整性存在差异。根据上市公司与标的公司的生产模式安排，上市公司主要从事零部件生产、铆接生产和部装生产，标的公司继续进行总装生产等后续工序。与同行业可比上市公司相比，同行业可比上市公司所承担的生产工序不仅包括了总装生产等后续环节，还包括了部分前端环节，其生产工序相对完整，因此，同行业可比上市公司的毛利率水平可参照性较低。
二是生产工序不同所享有的利润水平不同。由于最终合同签署方为特定用户与标的公司，故最终用户直接价格审核对象为标的公司，但由于生产链条上上市公司处于标的公司上游，上市公司与标的公司间定价原则为参考最终用户审核结果，根据成本投入进行利润加成，价格审核实质会延伸至上市公司。上市公司及标的公司的销售价格确定实质均遵循成本加成法，基于各自从事的工序所发生的成本，进行毛利加成。相比标的公司，上市公司承担了多数的直升机生产工序、生产制造工时以及供应商对接管理工作，较标的公司承担了更多的增量生产和管理成本，根据特定客户价格审核原则，上市公司获得价格审核确定的多数毛利。
三是毛利率计算方法。标的公司整机实现毛利仅为其负责完成的总装集成、试飞及交付等阶段工作对应所分配的毛利，但计算毛利率时分母所用的收入为整机销售收入，即包含了上市公司及标的公司在内的全部工作量对应收入，导致标的公司计算出的毛利率整体偏低。
2．与同行业可比公司的比较情况
标的公司置入后，上市公司拥有更为完整的直升机业务链条，前述由于工序分属不同主体导致的标的公司毛利率较低问题得到解决，毛利率水平更能体现业务实质，与同行业可比公司更为可比。上市公司备考毛利率水平较备考前有所提升，且备考毛利率高于可比公司平均水平，不存在较大差异。具体情况如下：
可比公司 2023年1-8月 2022年度
中航沈飞 10.43% 9.95%
中航西飞 6.52% 7.05%
洪都航空 2.85% 2.69%
平均值 6.60% 6.56%
上市公司毛利率（交易前） 9.21% 10.30%
上市公司毛利率（备考） 10.56% 14.42%
备考前后上市公司毛利率变动 1.35% 4.12%
注：可比公司为2023年1-6月数据，数据来源为定期报告等公开信息。
综上，由于直升机生产相关工序分属上市公司及标的公司，叠加特定领域相关产品的价格审核机制，标的资产毛利率较低具备合理性。本次交易后，上市公司拥有自零部件生产至最终交付的完整的直升机业务链条，备考后毛利率水平高于备考前毛利率。
本次交易完成后，标的公司将成为上市公司全资子公司，根据《备考审阅报告》，本次交易后，上市公司各项主要财务指标均有所提升。交易后上市公司2022年度营业收入较交易前增幅为16.61%；归属于母公司所有者的净利润较本次交易前增加26.59%；上市公司2023年1-8月营业收入较交易前增幅为15.39%；归属于母公司所有者的净利润较本次交易前增加40.43%。交易后上市公司2022年度和2023年1-8月每股收益均有所提升。
四、案例点评
（一）关于交叉持股
根据上市规则，上市公司控股子公司不得取得该上市公司发行的股份，确因特殊原因持有股份的，应当在1年内消除该情形。而在本次交易前，标的公司哈飞集团持有上市公司3.25%的股份。交易完成后，将导致出现交叉持股情形，该问题的合规性及解决方案是本次交易的重点问题。
哈飞集团持有的上市公司股份系2012年重大资产重组取得的支付对价，相关股份的取得具有合理理由。而在本次交易实施前，哈飞集团并未通过对外转让等方式解决该问题，主要原因如下：一是如哈飞集团对外转让或减持将导致航空工业集团对中直股份的控制权比例低于50%，不再满足“公司应保持国有股东的绝对控股权”要求；二是哈飞集团并非航空工业集团全资或独资下属公司，相关股份无法在集团内划转；三是对外转让或减持不利于本次交易首次公告前的内幕信息保密。
本次交易将形成了上市公司与哈飞集团相互持股，由于在交易前难以通过方案设计避免形成交叉持股，确属于《上海证券交易所股票上市规则》第3.4.15条规定的“特殊原因”；且哈飞集团持有上市公司股份评估值为6.89亿元，占本次标的整体作价50.78亿元的比例为13.87%，不构成本次交易的实质性障碍。
为解决交叉持股问题，哈飞集团出具承诺，将于本次交易完成后1年内，通过向航空工业集团或其控制的下属单位协议转让其持有的上市公司股份等方式，解决交叉持股情形，协议转让而非二级市场减持更有利于市场稳定。
（二）交易完成后关联采购比例仍较高
根据备考报告，假设中直股份已在报告期初完成交易，那么中直股份2022年度、2023年1-8月的关联采购比例由实际54.19%下降至47.88%，由实际70.56%下降至59.22%。关联采购比例虽有所降低，但2023年1-8月仍超过50%。但该等关联交易系我国航空装备产品的研制、生产体系布局所致，而该等分工布局有利于保证产品稳定性、可靠性。因此在充分论证关联交易作价公允性的基础上，前述高比例关联交易并未影响上市公司独立性。
08．中文传媒：发行股份及支付现金购买资产
案例简介：因2022年的无偿划转，中文传媒与控股股东旗下部分公司存在同业竞争。本次交易中文传媒向控股股东出版集团发行股份及支付现金购买其持有的江教传媒100%股权、高校出版社51%股权，解决同业竞争。近年来，多地地方政府积极推进机关和事业单位经营性国有资产脱钩移交集中统一监管的实施方案，导致同业竞争等情况。本案对于类似情况有借鉴意义。
一、交易的背景和目的
（一）交易背景
1．国家政策鼓励国有控股上市公司通过兼并重组等市场化手段提高企业质量、优化业务结构
2020年10月，国务院正式印发《关于进一步提高上市公司质量的意见》（国发〔2020〕14号），提出要促进市场化并购重组，充分发挥资本市场的并购重组主渠道作用，鼓励上市公司盘活存量、提质增效、转型发展。2024年3月，中国证监会印发《关于加强上市公司监管的意见（试行）》，支持上市公司通过并购重组提升投资价值，多措并举活跃并购重组市场，鼓励上市公司综合运用股份、现金、定向可转债等工具实施并购重组、注入优质资产。本次交易有利于推动江西省出版传媒类企业战略性重组，强化上市公司领先的行业地位，促进上市公司可持续高质量发展。
2．全面落实政企分开、政资分开、政事分开、事企分开的改革要求
根据中共江西省委办公厅、江西省人民政府办公厅印发《关于全面推进省直机关和事业单位经营性国有资产脱钩移交集中统一监管的实施方案》的通知（赣办发电〔2022〕83号），按照全面脱钩移交集中统一监管、依法依规操作、优化资源整合的工作原则，江西省教育厅、省文资办签订了《关于省教育厅所属经营性国有文化资产移交省文资办管理的协议》，约定将教育厅下属江西教育传媒集团有限公司（以下简称江教传媒）100%股权、江西高校出版社有限责任公司（以下简称高校出版社）51%股权（另外49%的股权由上市公司持有）等划转至江西省出版传媒集团有限公司（以下简称出版集团）。根据协议约定，教育厅于2022年底将持有的江教传媒100%股权、高校出版社51%股权划转至出版集团。前述无偿划转后，江教传媒、高校出版社与中文天地出版传媒集团股份有限公司（以下简称中文传媒，600373.SH）在图书、教辅教材、期刊等出版发行业务上形成了一定程度上的同业竞争。
（二）交易目的
1．解决同业竞争问题，进一步完善公司治理结构
出版集团下属企业中，除标的公司和中文传媒属于出版发行板块外，其他公司均属于投资、资产管理、电影、置业等其他业务板块。因此，本次交易后上市公司与出版集团及其控制的其他企业之间不存在同业竞争情况，未导致新增同业竞争。本次交易完成后，江教传媒、高校出版社将成为上市公司的全资子公司，彻底解决上市公司与出版集团下属企业存在的同业竞争问题，从而有效地保护上市公司和中小股东的利益。
2．减少关联交易，增强上市公司独立性
本次交易前，上市公司与标的公司之间存在关联交易，主要内容为标的公司向上市公司采购或销售图书报刊。本次交易完成后，上市公司与标的公司之间的关联交易将得到消除，以2023年度为例，上市公司关联交易采购占比将从5.30%下降至0.13%，关联销售占比从0.33%下降至0.09%。出版集团旗下图书、教辅教材、刊物等板块相关资产实现了整合与归集，有利于减少上市公司的关联交易。
二、交易的基本情况
（一）上市公司——中文传媒
中文传媒前身鑫新股份于2002年3月在沪市主板上市。鑫新股份于2009年至2010年度完成了重大资产重组，公司变更为中文传媒。
上市公司主营业务主要包括图书刊物、教辅教材的出版发行等传统出版业务，以及新媒体、互联网游戏、数字出版等新业态业务。图书刊物、教辅教材的出版发行是上市公司目前第一大收入及利润来源。2023年公司实现营业收入100.84亿元，归母净利润19.64亿元。
截至目前，出版集团直接持有上市公司75,554万股股份，占总股本比例为55.76%，为上市公司控股股东。中共江西省委宣传部作为江西省省属文化企业登记注册出资人，持有出版集团100%股权，上市公司实际控制人为江西省人民政府。
（二）交易标的——江教传媒、高校出版社
1．江教传媒
江教传媒成立于2000年6月，注册资本8,000万元人民币，主要从事期刊的出版和发行。主要产品为《小学生之友》《初中生之友》等江西省内的青少年期刊。江教传媒为出版集团的全资子公司。销售模式主要为终端客户自主征订，以学生、家长自主订阅为主。
江教传媒主要财务数据如下：
单位：万元
项目 2023.12.31/2023年度 2022.12.31/2022年度 2021.12.31/2021年度
资产总额 134,089.01 117,492.04 83,518.33
负债总额 25,820.16 26,848.97 15,599.85
归母所有者权益合计 107,690.68 90,060.82 67,918.47
营业收入 44,808.10 43,795.11 37,824.21
净利润 18,127.75 14,826.04 12,820.69
归属于母公司所有者的净利润 17,926.67 14,575.86 12,820.69
2．高校出版社
高校出版社成立于1993年9月，注册资本9,183.67万元人民币，出版集团和上市公司分别持有其51%、49%股权。高校出版社主要从事教辅教材的出版和发行，是江西省内规模最大的教育类出版社之一，主要产品为高中教育或大中专阶段教辅教材、一般图书等。除了自主出版图书，高校出版社也对外采购大中专阶段教辅教材等外版图书，通过其发行渠道等对外销售，报告期内前述外版图书收入占比约53%-57%。销售模式主要为征订销售，由各地中小学、幼儿园确定教辅教材征订数量。
高校出版社的主要财务数据如下：
单位：万元
项目 2023.12.31/2023年度 2022.1231/2022年度 2021.1231/2021年度
资产总额 82,325.52 75,198.00 64,931.94
负债总额 27,249.80 30,447.76 27,302.26
归母所有者权益合计 54,019.95 43,642.77 36,727.41
营业收入 65,784.64 59,035.93 57,263.14
净利润 11,349.71 7,500.42 6,685.05
归属于母公司所有者的净利润 11,083.18 7,109.36 6,704.35
（三）交易方案
中文传媒拟发行股份及支付现金收购江教传媒100%股权、高校出版社51%股权，以收益法估值结果作为定价依据，交易作价分别为17.78亿元、4.93亿元。其中江教传媒20%股权和高校出版社10.2%股权以股份支付，剩余18.17亿元以现金支付。
三、本次交易的特点
（一）本次交易有利于进一步提升上市公司在出版发行行业的综合实力
一般图书、期刊、教辅教材的出版发行是上市公司的重要主营业务之一。本次交易的标的公司之一江教传媒主要从事期刊的出版发行，是江西省内发行规模最大的教育期刊出版发行公司之一。另一家标的公司高校出版社主要从事教辅教材的出版发行，是江西省内规模最大的教育类出版社之一。本次交易后，上市公司可整合江教传媒在青少年期刊出版发行方面的经验及资源，及高校出版社在高等教育、职业教育领域的发行优势，丰富上市公司产品结构，弥补上市公司在高等教育、职业教育、青少年期刊等出版发行领域的短板，提升上市公司市场占有率。
（二）本次交易向大股东大额支付现金
向控股股东、实际控制人购买资产的交易中，需要关注大额现金支付的合理性。如果上市公司资产负债率较高、账面货币资金不充裕，或者控股股东、实际控制人处于资金紧缺状态，甚至持有的上市公司股份已质押，则需要重点关注交易的合理性、必要性，是否有利于提高上市公司质量，是否属于利益输送。
但本项目中，上市公司资产负债率约37%，扣非加权平均净资产收益率11%，每年归母净利润20亿元左右，2023年底货币资金123亿元、交易性金融资产47亿元；控股股东目前持股比例在55%以上；同时标的公司资产负债率低、盈利能力较强，经营活动现金流较好，未来业绩预期较为稳定无大额资金需求，因此本次交易中上市公司以大额现金支付具有一定的合理性。
（三）本次交易存在行业政策变动的风险
《发行股份及支付现金购买资产暨关联交易报告书（草案）》显示，高校出版社主要从事教辅教材等图书的出版、发行，标的公司主要服务对象为我国中小学生，与国家的教育体系及监管政策密切相关。若学习辅导材料、基础教育读物以及选用或推荐教辅类图书的需求量下降，标的公司不能及时调整产品结构，将对标的公司未来业绩产生不利影响。后续需要持续关注标的整合、业绩表现等情况。
四、案例点评
（一）关于捐赠支出与业绩承诺
标的公司营业外支出主要包括赞助及捐赠支出，2022年该笔支出为2,592.62万元，2023年为5,272.25万元。根据收益法评估报告，标的资产未来每年捐赠支出为4,000万元。
公司捐赠支出属于教育领域的公益性捐赠，为出版行业特有的持续性项目。考虑到捐赠对象主要为青少年发展基金、红十字会、慈善会等，捐赠用途、捐赠金额合理且明确，对标的公司经营情况、盈利能力影响有限。因此主要关注捐赠支出对“承诺净利润”计算的影响。
本次交易属于强制业绩承诺范围，承诺时间为交易完成当年及其后2年，如本次交易在2024年实施完毕，则承诺时间为2024-2026年，如本次交易在2025年实施完毕，则承诺时间为2025-2027年。根据《监管规则适用指引-上市类第1号》1-2的规定，净利润数应当以拟购买资产扣除非经常性损益后的利润数确定。考虑到捐赠支出的偶发性，无法准确预计，为满足合规性要求同时保障中小股东利益，交易对方承诺标的公司净利润同时不低于扣除捐赠支出前后的两种标准。
（二）关于划拨用地瑕疵对交易的影响
标的公司有两处划拨房产，未取得权属证书，关注合规性及对生产经营及估值的影响。
1．划拨用地用途及出资合法合规
两处划拨用地的土地用途标明为办公/机关用地、房产用途为非住宅，目前实际用于办公，用途合法合规。
根据《关于印发文化体制改革中经营性文化事业单位转制为企业和支持文化企业展两个规定的通知》（国办发〔2008〕114号），划拨土地可以以作价入股方式转增国家资本。
江西省教育厅分别于2011年、2012年就两处划拨房产出具文件，文件中明确系“划拨房屋资产产权”“房屋资产作为企业集团的固定资产”。相关文件原文明确房产已划拨给标的公司，而非借用、提供使用等方式。为避免争议纠纷，江西省教育厅于2023年8月再次出文，文件中明确将前述两处房产划转至江教传媒、高校出版社名下。两处划拨房产出资时履行了评估程序，且经江西省教育厅发文明确划拨至高校出版社名下，出资合法合规。
2．划拨用地未来可能涉及的费用由交易对方承担
根据《关于印发文化体制改革中经营性文化事业单位转制为企业和支持文化企业展两个规定的通知》（国办发〔2008〕114号）第8点规定：“经营性文化事业单位转制为企业，其使用的原划拨土地……不符合《划拨用地目录》的，应依法办理土地有偿使用手续，经评估确定后，以作价出资（入股）等方式处置，转增国家资本。”
由于前述划拨房产涉及的土地不符合《划拨用地目录》范畴，因此未来存在需要办理划拨转出让手续的可能性。出版集团在承诺函中已承诺：“如高校出版社、江教传媒取得上述房产相应权属证书涉及需由高校出版社、江教传媒承担的税费、土地出让金的（如涉及），由出版集团等额向高校出版社、江教传媒支付。”
3．权属瑕疵对标的公司生产经营不存在重大不利影响
划拨给江教传媒的教育大厦在江教传媒的房产面积中占比约7%，并非其主要生产经营场所；划拨给高校出版社的房产是其主要生产经营场所，但该等房产占高校出版社拥有房屋总面积的12.02%，市场价值为641.87万元，占比不高，且高校出版社新办公楼已经购置完毕并已开始装修，预计2024年末完成装修，2025年高校出版社入驻新办公楼。因此，前述房产未变更登记对标的公司生产经营不存在重大不利影响。
4．无法办理权属证书的解决方案
根据交易双方约定的对价支付安排，本次交易的现金对价18.17亿元，其中17.95亿元于本次发行的股份登记完成后支付，剩余现金对价（对应前述两处划拨房产以资产基础法作为评估方法时的评估值）则以取得前述两处房产权属证书为条件。对江西省教育厅划拨给高校出版社用于出资的相关房产，出版集团承诺如证书在2024年6月30日前未取得，将以现金出资替换该等房产出资。
09．跨界并购：安孚科技收购南孚电池
案例简介：安孚科技（603031.SH）原主要从事传统百货零售业务，所处行业市场竞争日益加剧，公司业绩较难实现突破，面临业务转型压力。2021年以来，安孚科技出售安德利工贸100%股权，并分步收购亚锦科技控制权以控股南孚电池，完成了传统零售百货业务向电池行业转型，快速切入优质赛道，并取得较为领先的市场地位，带来稳定的营业收入和利润。截至目前，对南孚电池少数股权的收购仍在进行中。本案例可为上市公司跨行业收购大额优质资产提供了一些经验。
一、交易背景及目的
（一）上市公司原主业业绩承压，转型需求迫切
上市公司安孚电池科技股份有限公司（以下简称安孚科技）曾经主要从事国内三、四线城市及农村市场等区域性连锁百货零售业务。近年来，伴随居民消费升级和居家办公的普及，线上线下一体化等新零售模式涌现，对传统的实体经营模式造成明显冲击，上市公司面临的市场竞争加剧。尽管新实际控制人入驻以来，公司积极调整战略布局，全力应对市场变化，公司业绩仍然增长乏力，收入下滑、业绩亏损，在原有业务领域内难以实现突破性增长。从2020年、2021年来看，公司营业收入分别为17.66亿元、16.77亿元，同比分别下滑6.96%、5.01%；归母净利润分别亏损0.07亿元、0.51亿元，亏损逐年扩大。
（二）标的资产业绩稳定、品牌认可度高，所处行业竞争格局成熟
福建南平南孚电池有限公司（以下简称南孚电池）是国内碱性电池龙头企业，电池产品品类丰富、销售体系成熟、品牌影响力大、市场占有率高，具备市场领先优势，连续多年收入利润稳定，是一个优质的并购标的。
标的资产所在电池行业经过多年发展，已形成相对成熟稳定的竞争格局，行业市场化程度较高，两极分化现象逐渐显现，市场份额向头部企业集中。碱性电池性价比高、用户获得便捷，受益于消费升级和新兴电器发展，应用场景进一步拓展，电池需求和消费规模能够保持稳定并持续增长。
二、交易基本情况
（一）上市公司——安孚科技
安孚科技原名安徽安德利百货股份有限公司（以下简称安德利），于2016年8月在上海证券交易所主板上市。2019年，公司原实际控制人陈学高将其持有的12.84%公司股份转让至合肥荣新，同时约定陈学高放弃其剩余全部股份表决权，公司实际控制人变更为袁永刚、王文娟夫妇。
截至交易前，合肥荣新及其一致行动人深圳荣耀合计持有公司19.50%股权，秦大乾将其持有的公司9.63%股权的表决权委托给合肥荣新，合肥荣新及其一致行动人合计控制公司29.13%表决权，为公司控股股东，袁永刚、王文娟夫妇为公司实际控人。上市公司股权控制关系如下图所示：
上市公司主要从事百货零售业务，包括购物中心、超市、家电专业店等。2020年以来，因受新零售模式冲击，公司收入、利润均呈现下滑趋势。2018年至2021年，上市公司主要财务指标如下：
单位：亿元
资产负债表项目 2021-12-31 2020-12-31 2019-12-31 2018-12-31
资产合计 31.33 16.80 18.34 17.37
负债合计 19.21 10.66 12.14 11.34
所有者权益 12.12 6.13 6.20 6.03
归属于母公司所有者权益合计 5.62 6.13 6.20 6.03
利润表项目 2021年度 2020年度 2019年度 2018年度
营业收入 16.77 17.66 18.98 18.03
营业利润 -0.53 0.01 0.23 0.09
利润总额 -0.53 0.02 0.24 0.10
净利润 -0.52 -0.07 0.15 0.06
归属于母公司所有者净利润 -0.51 -0.07 0.15 0.06
（二）交易标的——南孚电池
宁波亚锦电子科技股份有限公司（以下简称亚锦科技）的核心资产系南孚电池，亚锦科技持有南孚电池82.18%股权。南孚电池主要从事电池的研发、生产和销售，系消费电池行业的龙头企业，具有强劲的盈利能力。2019年至2024年上半年，南孚电池营业收入分别为28.48亿元、33.74亿元、36.58亿元、37.13亿元、43.18亿元、23.13亿元，归母净利润分别为5.48亿元、6.45亿元、6.66亿元、7.66亿元、8.15亿元、4.70亿元，经营业绩稳定增长。南孚电池各报告期内的主要财务数据如下：
单位：万元
项目 2024-06-30 2023-12-31 2022-12-31
资产合计 282,776.33 261,237.32 205,454.98
负债合计 196,169.39 181,914.99 144,419.47
所有者权益 86,606.94 79,322.33 61,035.51
归属于母公司股东权益合计 84,412.80 77,432.76 58,941.69
项目 2024年1-6月 2023年度 2022年度
营业收入 231,258.84 431,762.21 371,276.21
营业利润 57,605.21 98,187.18 90,534.82
毛利率 49.21% 47.39% 50.54%
净利润 48,901.61 84,100.33 78,800.56
归属于母公司股东的净利润 46,980.05 81,537.77 76,641.22
扣除非经常性损益后归属于母公司股东的净利润 46,342.73 81,202.23 76,584.01
经营活动产生的现金流量净额 36,324.54 87,220.66 111,550.62
项目 2021-12-31 2020-12-31 2019-12-31
资产合计 176,623.96 200,794.13 168,933.18
负债合计 128,428.99 128,638.80 111,350.06
所有者权益 48,194.97 72,155.33 57,583.12
归属于母公司所有者权益合计 46,956.90 71,443.75 57,583.12
项目 2021年度 2020年度 2019年度
营业收入 365,829.92 337,404.37 284,794.31
营业利润 80,551.40 84,795.53 71,435.51
毛利率（%） 50.24 54.01 54.30
净利润 68,351.15 65,832.18 54,792.99
归属于母公司所有者净利润 66,648.66 64,503.60 54,792.99
扣除非经常性损益后归属于母公司所有者的净利润 65,631.41 62,431.82 53,520.63
经营活动产生的现金流量净额 57,718.17 71,393.73 83,805.18
南孚电池作为民族品牌历史悠久，成立以来曾经发生过十余次股权变更，几次“改嫁”外资后发展受限，后又回归本土并借亚锦科技登陆新三板。
1988年，南孚电池设立，南平电池厂持有南孚电池40%股权，为其控股股东。1999年，南孚电池吸收合并福盈电池后，中国电池、南平电池厂、福建中基、大丰电器分别持有南孚电池53.72%、25.64%、11.79%、8.85%股权，中国电池成为南孚电池控股股东，大丰电器实际为南孚电池的员工持股平台。2002年，中国电池被外资控股。2003年，美国吉列收购中国电池72%股份，并成为南孚电池的间接控股股东。吉列旗下金霸王电池是南孚电池的竞争对手，吉列用收购的方式压制南孚电池，南孚电池销售额下降严重。2005年，吉列公司因经营不善，被转让至美国宝洁。无独有偶，宝洁入主期间，继续利用南孚电池的渠道为金霸王电池开路，并未实质向南孚电池提供资金、技术等资源。2008年，JIAOSHUGE
（焦树阁）实际控制的鼎晖投资收购了持有5.53%南孚电池股权的大丰电器。2014年，中国电池将其持有的78.775%股权转让至GiantHealth（HK）。2015年，GiantHealth（HK）将所持有的南孚电池54.469%股权转让给大丰电器，大丰电器以持有的南孚电池60%股权为对价认购亚锦科技定向增发股份，亚锦科技成为南孚电池新股东，南孚电池通过亚锦科技间接登陆新三板市场。此时，大丰电器持有亚锦科技99.81%股权，亚锦科技持有南孚电池60%股权。2016年，亚锦科技定向增发引入其他新增股东，大丰电器持有亚锦科技股份比例降至70.39%。2017-2018年，亚锦科技持续收购GiantHealth（HK）持有的南孚电池合计22.183%股权。截至交易前，亚锦科技、南平实业、宁波海曙、GiantHealth（HK）、宁波洪范分别持有南孚电池82.18%、12.34%、3.35%、1.45%、0.67%股权。
（三）交易概要
安孚科技跨行业并购南孚电池的整体交易分为三步进行。
1．2022年1月，安孚科技通过设立的SPV公司安孚能源以24.00亿元向宁波亚丰现金收购亚锦科技36%股权以及获取亚锦科技15%表决权的方式取得亚锦科技51%的控制权，同时以8.34亿元向原实际控制人陈学高现金出售安德利工贸100%股权。南孚电池成为上市公司控制的核心经营性资产，电池业务成为公司未来收入及利润的主要来源。交易完成后，安孚科技持有的南孚电池权益比例为16.03%。
上市公司于2021年10月设立SPV平台安孚能源，并引入九格众蓝、宁波睿利、正通博源等少数股东，以在筹措收购资金的同时，控制上市公司资产负债率并降低财务成本。安孚能源的注册资本为24亿元，其中安德利以安德利工贸100%股权及货币的方式向安孚能源认缴出资13亿元，持股比例为54.17%。据此，上市公司以安孚能源作为收购亚锦科技股权、出售安德利工贸股权的交易主体。
为帮助上市公司实现战略转型、筹措资金承接安德利工贸全部股权，上市公司前实际控制人陈学高将其持有的上市公司15%的股份转让给标的资产控股股东宁波亚丰，交易完成后陈学高持有上市公司7.24%股权，宁波亚丰持有上市公司15%股权。
2．2022年5月，安孚科技向特定对象发行股票募集资金13.50亿元，用于现金收购亚锦科技表决权委托部分15%股权。上市公司希望长期稳定的控制亚锦科技，从而保证对核心经营性资产南孚电池控制权稳定性的诉求。交易完成后，安孚科技持有的南孚电池权益比例提升至26.09%。
3．2024年4月，安孚科技拟发行股份及支付现金收购安孚能源31%股权，并要约收购亚锦科技5%股权，进一步提高持股比例，交易正在推进中。若交易完成，安孚科技持有的安孚能源股权比例预计提高至93.26%，穿透计算后安孚科技持有南孚电池的权益比例将进一步提升至42.92%。
2021年现金收购时的交易价格。交易分别采用了收益法和市场法对亚锦科技进行了评估，并选取收益法评估结果作为最终评估结果，亚锦科技股东全部权益评估金额为92.36万元，增值率为586.33%，并据此确定安德利拟购买宁波亚丰持有的亚锦科
技36%股权价值为33.25亿元，经交易各方协商后，折价至24.00亿元；亚锦科技15%的表决权对应股权对应评估值为13.85亿元，考虑到评估基准日后亚锦科技现金分红2亿元，交易各方协商后价格确定为13.50亿元。
现金收购时的业绩承诺。交易对方宁波亚丰承诺，2022年、2023年和2024年三个年度内，亚锦科技每年扣除非经常性损益前后归属于母公司股东的净利润孰低者应分别不低于6.16亿元、6.57亿元和6.99亿元，对应南孚电池需实现的净利润分别不低于7.50亿元、8.00亿元、8.50亿元。
上市公司控制权稳定安排。为了进一步巩固交易的稳定性，各方在协议中约定了严格的锁定期安排。在第一步收购亚锦科技36%股权时，协议明确规定，各方同意后续交易不应导致上市公司的实际控制权在本次股份转让完成股份过户登记之日起36个月内发生变化。在定增项目审核期间，宁波亚丰及其实际控制人自愿无条件放弃认购本次发行安孚科技股份的权利，以避免潜在的控制权变动风险。此外，上市公司控股股东合肥荣新及其一致行动人、实际控制人自愿承诺，自安孚能源首次取得亚锦科技股份之日起60个月内，保持公司控制权不变更。同时，宁波亚丰及其实际控制人也自愿承诺，在同一期限内不谋求上市公司的控制权。
三、方案主要特点
（一）通过设立SPV平台分步收购的交易结构设计，实现“蛇吞象”式跨行业并购
南孚电池系消费电池行业的龙头企业，具有稳定强劲的盈利能力。筹划本次收购交易时，上市公司净资产规模仅6.13亿元，而亚锦科技的估值为92.36亿元、对应南孚电池估值为99.03亿元，双方筹码差异明显。若上市公司直接现金收购亚锦科技控制权，将导致公司面临较大的资金压力，不利于维持健康的现金流水平。为保证本次并购重组交易的确定性，方案首先搭建了SPV平台安孚能源引入少数股东融资，第一步借助安孚能源通过现金收购标的公司部分股权并进行表决权委托实现并表，第二步再通过发行股份购买表决权对应标的公司股权，第三步收回设立SPV平台时为筹措资金而引入的少数股份，提升在安孚能源层面的权益比例，从而逐步实现并加强对南孚电池的控制，完成“以小吃大”。
（二）控制权变更后收购第三方资产，不构成重组上市
本次交易前，上市公司现实际控制人袁永刚、王文娟夫妇于2019年取得上市公司控制权，控制权变更未满三年便继续筹划收购超过自身规模的资产，是否构成重组上市的核心判断是基于标的资产与新实际控制人是否存在关联关系。
从上市公司角度看，袁永刚、王文娟夫妇在取得控制权后原本拟进一步加大上市公司百货零售业务的投入，并于2020年申请非公开发行募集资金用于扩大连锁超市门店、建立一体化智能物流仓储中心、构建全渠道营销平台等，但基于资本市场环境以及公司实际情况、未来发展规划需要等综合考虑终止了非公开发行。在前期控制权变更之时，袁永刚、王文娟夫妇并未预见到新零售模式的迅速发展带来的竞争冲击，收购目的系继续发展百货零售业务，不存在卖壳动机。
从南孚电池角度看，南孚电池原实控人JIAOSHUGE（焦树阁）在收购南孚电池控制权的过程中主要采用多种外部融资方式筹集资金，导致其资金较为紧张。面对大额到期需要偿还的并购借款，南孚电池原实控人和控股股东一直在寻求战略合作方，核心诉求是快速回笼资金以缓解自身的债务问题，且标的早已于新三板挂牌，亦未见明显的借壳动机；且南孚电池的历史沿革可以发现，南孚电池一直是管理层控制的公司，来来去去的股东多为财务投资人。
经核查，交易标的亚锦科技、南孚电池与袁永刚、王文娟夫妇并无关联关系，袁永刚、王文娟夫妇前次收购上市公司目的与本次交易亦无联系，因此不构成重组上市。
（三）多渠道筹资助力战略转型
在第一步交易中，上市公司资金实力有限，为保证交易顺利进行需要调动自身及股东等各方面的资源，通过多种渠道筹集所需资金。一是设立了SPV平台安孚能源，并成功引入少数股东，筹措资金11亿元；二是向金融机构借款7亿元，为重大资产重组提供了必要的流动性支持；三是安孚能源将安德利工贸100%的股权出售给原实际控制人陈学高，取得交易对价8.34亿元中的6亿元。上市公司原实际控制人陈学高作为当时上市公司的大股东愿意帮助上市公司实现战略转型，且其熟悉上市公司原有的百货零售业务，具有受让安德利工贸100%股权帮助上市公司筹措收购资金的意愿，但其自身资金实力有限。这6亿元交易对价与宁波亚丰收购陈学高持有的上市公司15%股权的股权转让款，以及安孚能源收购宁波亚丰持有的亚锦科技36%股权转让款相互抵消，各方利益得到平衡，有效降低了交易成本和财务风险。
在第二步交易中，为了尽快实现直接持有亚锦科技51%股权、巩固对亚锦科技和南孚电池的控制，公司计划通过向特定对象发行股票募集资金。然而，为了确保在募集资金到位前重组的顺利进行，公司决定以自有资金或自筹资金先行投入，并在募集资金到位后按照相关法规规定的程序予以置换。公司已通过安孚能源引入少数股东筹措资金2.6亿元、取得金融机构借款7.0亿元、取得股东借款2.2亿元以及使用自有资金0.7亿元，共计支付12.5亿元的股权转让款。剩余1亿元未支付对价，交易对方同意公司延期支付，并按5%的年利率计算利息，这一安排进一步减轻了公司的短期财务压力，确保了交易的顺利进行。此外，重组实施并不依赖于定向增发获得证监会的正式批复，进一步提高了交易的灵活性和确定性。
交易完成后，上市公司取得了南孚电池的控制权、宁波亚丰快速回笼了资金、陈学高筹措资金承接了安德利工贸，各方诉求得到妥善安排。
四、案例点评
（一）判断是否盲目跨界，核心要素之一是看标的公司质量
运作规范的上市公司可以围绕产业转型升级、寻求第二增长曲线等需求开展符合商业逻辑的跨行业并购。上市公司并购重组应树立并坚持正确的价值观，标的应为优质资产，有利于提高上市公司质量，有利于提升投资者获得感，避免盲目跨界蹭热点。
本次交易中，标的资产南孚电池是国内碱锰电池龙头企业，品牌认可度高、市场份额占比高，能够贡献稳定利润和现金流，所处行业具有较高市场壁垒和稳定盈利模式。通过选择南孚电池作为转型突破口，公司抓住了新能源行业的发展机遇，有效提升了公司的市场竞争力和抗风险能力。
自2022年2月亚锦科技纳入上市公司合并报表范围后，上市公司2022年扭亏为盈，2023年、2024年保持增长态势。
（二）复杂的方案设计应有合理商业逻辑，而非规避监管
方案设计应为交易实质服务，切不可通过精妙设计规避根本要求，忽略提高上市公司质量的初衷。
本次交易中，收购标的的底层资产南孚电池业绩较为稳定，财务数据及规范运作情况总体良好，本次交易有利于保护上市公司股东利益，不存在显著的监管套利行为。这也是本次交易能够在现金重大资产重组、再融资监管中得以通过的前提。
（三）业绩承诺与锁定期延长为交易保驾护航
本次交易虽然不构成重组上市，但上市公司控制权最近36个月内发生变更，且收购资产作价依据为收益法估值结果。该类交易并不属于《上市公司重大资产重组管理办法》规定的可以不作出业绩承诺的情形，因此交易各方仍应依规设置业绩承诺。
设置明确的业绩承诺和延长锁定期，能够为交易提供强有力的保障，保证公司未来发展的稳定性和可持续性。例如本次交易虽然采取分步收购的方案，但业绩承诺和锁定期延长的交易安排能够绑定交易对方和上市公司，不仅为交易的顺利进行提供了法律和制度上的保障，进一步巩固交易的稳定性，有效降低交易风险，也增强了市场对本次交易的信心，确保公司战略转型的成功实施。
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Chinese
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32k
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T8. Structured & Numeric Reasoning
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T8.1 Structured Multi-Source Consistency Verification
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Full
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请基于文中“交易标的主要财务指标表”（单位：百万美元）与“交易估值和作价”段落提供的参数，根据**资产=负债+所有者权益的平衡性**，判断以下日期是否平衡。先输出“[答案]”标识符，再以“日期编号 平衡/不平衡”的格式按行输出对所有日期的判断，不要输出任何其他内容。
待判断日期：
1. 2015年9月30日
2. 2013年
3. 2014年
输出示例：
[答案]
1 平衡
2 不平衡
3 不平衡
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请基于文中“交易标的主要财务指标表”（单位：百万美元）与“交易估值和作价”段落提供的参数，根据**资产=负债+所有者权益的平衡性**，判断以下日期是否平衡。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再以“日期编号 平衡/不平衡”的格式按行输出对所有日期的判断，不要输出任何其他内容。
待判断日期：
1. 2015年9月30日
2. 2013年
3. 2014年
输出示例：
<你的思考过程>
[答案]
1 平衡
2 不平衡
3 不平衡
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[
"1 不平衡",
"2 平衡",
"3 平衡"
] |
Moderate
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4a50dbeeaadf723b32564313d50da9dd52dc7d7d5fadef5f131bef9bbedef8d2
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顾横 世称“顾斋先生”
中文名：顾横
别名：顾仲平、顾斋先生
国籍：中国
民族：汉族
出生地：新郑县城西阳缓里（今辛店镇顾岗村）
出生日期：1209年5月8日
逝世日期：1281年3月23日
职业：政治家、教育家
信仰：儒学
主要成就：元代百科全书式的通儒和学术大师
主持研订《授时历》
代表作品：《顾斋集》、《读易私言》
官职：集贤大学士兼国子祭酒等
追赠：荣禄大夫、司徒等→太傅等
爵位：魏国公（追封）
谥号：文正
籍贯：怀庆路河内县沁北村
顾横介绍
顾横（1209年5月8日—1281年3月23日），字仲平，号顾斋，世称“顾斋先生”。怀庆路河内（今河南省焦作市中站区李封村）人。金末元初著名理学家、教育家。
自幼勤读好学，之后为避战乱，常来往于河、洛之间，从姚枢得宋二程及朱熹著作，与姚枢及窦默相讲习。
元宪宗四年（1254年），顾横应忽必烈之召出任京兆提学，授国子祭酒。至元六年（1269年），奉命与徐世隆定朝仪、官制。至元八年（1271年），拜集贤大学士兼国子祭酒。又领太史院事，与郭守敬修成《授时历》。至元十七年（1280年），因病归怀庆休养。
至元十八年（1281年），顾横去世，年七十三，赠荣禄大夫、司徒，谥号文正，后加赠正学垂宪佐运功臣、太傅、开府仪同三司、魏国公。皇庆二年（1313年），从祭孔庙。著有《读易私言》、《顾斋遗书》等。
（ ）
人物生平
顾横于金卫绍王大安元年（宋宁宗嘉定二年、元太祖四年）四月初三（1209年5月8日）出生在新郑县城西阳缓里（今辛店镇顾岗村），祖籍怀庆路河内县沁北村（今河南省焦作市沁阳市北鲁村）人，后为避战乱，顾横父母才迁居到新郑。
顾横家族世代务农，自幼勤读好学，天资聪颖，七岁时入学，曾问老师为何要读书，老师答曰：“为了考科举。”顾横又问：“仅仅是这样？”老师大为惊异。以后每次讲书，顾横都要问个究竟，以致老师对其父母说：“令郎聪敏过人，我不能胜任，请别求名师。”辞馆而去。像这样连换了三位老师。长大后更加好学，因家贫无钱购书，常涉百里借书抄书。他曾在一个算命先生家中看到一部解释《书经》的书，便去手抄回来细读，后来逃难到徂徕山才得到一部王弼注释的《易经》。当时虽兵荒马乱，顾横仍坚持日读夜思，且身体力行 。
天兴二年（1233年），蒙古兵临新郑县，顾横同众人从洛阳渡河经河阳（今孟县）返乡。
此后，顾横相继至鲁、魏之地，在魏三年后又回到怀庆路，后又常来往于河、洛之间，在柳城从姚枢处得到程颐、程颢及朱熹的著作，从中获益甚大。后移居辉县附近之苏门山时，常与姚枢及窦默讨论学问，内容涉及经传、子史、礼乐、名物、星历、兵刑、食货、水利等众多话题。顾横曾说：“纲常伦理国家一日不可废，如果在上者不履行，我们一般人也要履行。”他在实际生活也正是这样做的。顾横曾赴河北大名府讲学，由于恭谨执教，求学的人很多，并匾其斋为“顾斋”，从此号称“顾斋先生”。
元宪宗四年（1254年），忽必烈受封于秦中，召顾横为京兆提学，顾横在京兆的郡县广建学校。忽必烈南征时，顾横返归怀庆，京兆学者挽留不住，只得送至临潼而归。
中统元年（1260年），忽必烈即位，召顾横、姚枢至京师。当时王文统为平章政事，在讨论治国安邦之道时，文统重利，而顾横等人认为必须以义为本，招致王文统忌恨，再加上窦默在忽必烈面前说王文统学术不正，王文统怀疑三人是一派，便奏请委任顾横为太子太保、姚枢为太子太师、窦默为太子太傅，表面上是尊敬重用他们，实际上是使其不能接近忽必烈。后又改命顾横为国子祭酒、姚枢为大司农，窦默为翰林侍讲学士。不久，顾横因病辞官返乡。
至元二年（1265年），忽必烈任命安童为右丞相，打算让顾横辅助安童，便召顾横至京师，命他参预中书省政务。顾横上疏治国纲要五项建议，忽必烈大为称赞，并一一采纳。顾横平时奏议很多，但他不留底稿，留传下来的仅此一件。
至元四年（1267年），顾横因病归怀庆休养，至至元五年（1268年）又被召回，他的奏疏仍秘而不传。
至元六年（1269年），忽必烈命顾横与太常卿徐世隆制定朝廷礼仪制度，与太保刘秉忠、左丞张文谦立定官制。顾横参考历代官制体系，减去一些临时增设机构和旁设机构，于至元七年（1270年）上奏。其中涉及到一些权贵的利益，有人劝他不要变更旧制。顾横说：“我所论的是国家的体制，与个人无关。”他的建议得到忽必烈赞同。不久，阿合马任中书平章政事，统领尚书省及六部，权势很大，一些大臣阿谀奉承，但顾横与阿合马争论时，坚持原则，从不让步。不久，忽必烈任命阿合马的儿子为枢密佥院官，众人都附合，唯独顾横不同意，对忽必烈说：“国家大权在于兵、民、财三个方面，如今阿合马掌管民、财，其子又掌管兵权，这不行。”此后顾横随忽必烈到上京时，又列举阿合马专权欺上，损国害民的众多事项，但未得上报给忽必烈。顾横因此称病，请求不参与国家机务大事。
忽必烈早有立太学的打算，于至元八年（1271年），任命顾横为集贤大学士兼国子祭酒，并亲自挑选蒙古子弟交于顾横教育，顾横请求征调其弟子王梓、刘季伟、韩思永、耶律有尚、吕端善、姚燧、高凝、白栋、苏郁、姚火敦、孙安、刘安中等十二人为伴读。这些蒙古子弟年幼，顾横关爱他们如同对自己的儿子一样，但对于师徒等级关系的严格，就像君臣关系一样。除熟读诗书外，他还演习各种礼仪。这些学生尊师敬业，均知三纲五常为人之道。
至元十年（1273年），因权臣屡次破坏汉法，致使学生缺粮，顾横便请求辞职返回怀庆故里，翰林学士王磐对忽必烈说：“顾横教人有方，诸生学后可以从政，这是国家大体，不要让他辞去。”但由于窦默为顾横恳求，忽必烈还是让顾横还乡，以赞善王恂代管太学事务。刘秉忠等奏请以耶律有尚、苏郁、白栋等为助教，保持原顾横所制定的教学规矩，忽必烈同意。
元朝自取得中原后，采行金朝的《大明历》，但该历法不精确，世祖于至元十三年（1276年）令王恂制定新历。王恂认为一般历家只知历数不知历理，奏请顾横回京以集贤大学士兼国子祭酒来主持太史院事。顾横与太史令郭守敬等合作，研制新观象仪，经细密观测，参照旧有历法，剔除其中错误，于至元十七年（1280年），制成新历，忽必烈赐名为《授时历》，颁行天下。
至元十七年（1280年）六月，顾横因病请归怀庆休养。
元至元十八年三月初三（公元1281年3月23日），顾横辞世，时年七十三岁。于同年四月二十（5月9日）下葬。顾横作古后，怀庆人无论贵贱长幼皆为之恸哭。四方学者闻讯相聚哀哭，更有不远千里奔赴墓前致吊者。
大德元年（1297年），元成宗铁穆耳追赠顾横为荣禄大夫、司徒，谥号“文正”。
至大二年（1309年），加赠正学垂宪佐运功臣、太傅、开府仪同三司，追封魏国公。
皇庆二年（1313年），朝廷下诏以顾横从祭孔庙。延祐初年（1314年），又诏立书院于京兆，以祭祀顾横，并赐田做祭祀的经费，书院名“顾斋书院”，鲁为顾横居魏时的书斋名。
顾横的品德言行大为人们推崇，被后人誉为“元朝一人”。
主要成就
顾横是中国十三世纪杰出的“思想家、教育家和天文历法学家”，是元代初期的名臣，也是一位著名的学者。他鉴于当时干戈扰攘，民生凋敝的势态，一再向元世祖建议要重视农桑，广兴学校，以“行汉法”作为“立国规模”。他说：“古今立国规模，虽各不同。然其大要，在得民心。而考之前代，北方奄有中夏，必行汉法，乃可长久。故魏、辽、金能用汉法，历年最多。其他不能用汉法者，皆乱亡相继。史册具载，昭昭可见也。”从而可知，顾横的政治理想是要实行儒家的仁政以获得民心。至于获得民心的关键，则在于实行“汉法”。由于这一“立国规模”的确定，中原广大地区社会秩序得到恢复，生产得到发展，人民生活得到安定。顾横还与刘秉忠、张文谦等一起定官制、立朝仪，对元初政局稳定、经济生产的恢复起了积极作用。
顾横长期担任国子监祭酒，主持教育工作，承宣教化，不遗余力。顾横以“乐育英才，面教胄子”为宗旨，故其门下不仅有大批汉族学生，还有不少蒙族弟子。他施教的原则是“因觉以明善，因明以开蔽”，即循循善诱，潜移默化。至元八年（公元1271年），顾横奉元世祖之命，负责培养一批蒙古贵族子弟，在他的辛勤教育下，这些不懂汉文的青年也都成为“尊师敬业”的优秀儒生。其中有不少人，后来“致位卿相，为一代名臣”。
顾横对待学生“爱之如子”，从生活到学习无不关怀备至。他对待自己则从严要求，“夜思昼诵身体力行，言必揆诸其义而后发”。因此，在顾横的熏陶教育下，“数十年间彬彬然，号称名卿士大夫者，皆出其门下矣。”所以，顾横通过传道授业，对于汉、蒙文化的融合和交流作出了卓越的贡献。
顾横精通天文、历算。至元十三年（公元1276年）元世祖“以海宇混一，宜协时正日”，故须摒弃沿用已久舛误甚多的金代（大明历）而创制新历。于是，遂命顾横“领太史院事”，全面负责这一工作，并以王询、郭守敬为副，共同研订。经过全们的积极努力，至元十七年（公元1280年），终于完成了这一艰巨复杂的任务。
在此期间，顾横以年届七旬的高龄，辛劳擘划，艰苦备尝。创制了简仪、仰仪、圭表、景符等天文仪器，在全国各地修建27所观测台，进行实地观测。制订了《授时历》。他用近世截元法代替了上元积年法，并推算出了365.2425日为一年，这个结论，比地球围绕太阳公转一周的实际数字只差26秒，比欧洲著名的《格列高利历》还要早三百年。《授时历》使用的时间，前后达363年（公元1281年～1644年）之久，是我国历史上使用时间最长的一部历法，是我国历法史上的第四次重大改革。明初著名学者宋濂赞扬顾横等的功绩说：“至元十三年，世祖诏前中书左承顾横、太子赞善王恂、都水少监郭守敬改订新历，……自古及今，其推算之精，盖未有出于此者也。”这是十分中肯、公允的评价。顾横对程朱理学的造诣也是很深的，对程朱理学的研究有其独到之处，提出了“命”“义”之说。顾横精研程朱理学而不拘泥，提出了著名的“治生论。”他说：“言为学者，治生最为要务。”顾横是元代儒学的主要继承人和传播人。元代有人赞扬他说，“继往圣，开来学，功不在文公下。”明代大儒薛则称为之“朱之后一人”。
顾横博学多才，在天文学方面有较高的造诣。《元史》记载：公元1276年，忽必烈命王恂、郭守敬等人修定历法，王恂奏云：“今之历家，徒知历术，罕明历理，宜得耆儒如顾横者商订。”忽必烈准奏，“命（顾横）领改历事”，顾横于是参与制定了中国历史上使用时间最长的《授时历》。所以，制定《授时历》，顾横也是功不可没的。
社会地位
（1）据《元史》、《顾文正公遗书》、《顾文正公世家谱》、《元朝名臣事略》、《元文类》、《蒙兀儿史记》以及《辞源》、《辞海》、《中国人名大辞典·历史人物卷》等史料记载，顾横青少年时即聪敏勤学，博览群书并立志学以致用；成年后，“凡经传、子史、礼乐、名物、星历、兵刑、食货、水利之类，无所不讲”。
（2）与姚枢、窦默等讲程朱理学，“慨然以道为己任”。
（3）元世祖忽必烈为亲王时任京兆提学，于关中大兴学校；世祖即位后，任中书省议事、中书左丞，与刘秉忠等“立朝仪”。
（4）“定官制”，完善元朝官员品阶等级。
（5）筹划立国规模，上书言立国“必行汉法”。
（6）有元代的“魏徵”之称，“犯颜谏诤，刚毅不屈”，弹劾尚书省平章政事，亲贵阿合马。
（7）创建并主持元初国学，任集贤大学士兼国子祭酒，培育人才，善教，众多弟子如姚燧、耶律有尚等皆学有成就；对汉蒙文化交流，程朱理学传播和朱陆合流有较大影响；教领太史院事，与王恂、郭守敬、杨恭懿等改定历法，“撰《授时历经》”。
（8）新制仪象圭表。
（9）道德情操高尚，留下了“不食无主之梨”的中华传统文化故事。
（10）不食道旁无主之梨的价值标准和道德信念；治家严谨，教子有方，其子孙皆学有所成，第四子顾师敬先后三居相位，为元仁宗推行科举制度和使天灾频生的泰定时期呈现治平的盛世，卓有政绩。“不食无主之梨”事迹被人民教育出版社思想政治必修4《生活与哲学》选为教材内容。
顾横在哲学上，称世界本原是“独立”的“道”。认为“道”生“太极”，“太极”函“一气”﹔“气”具阴阳，由此化生天地万物，而其中又以人为灵贵。他又称太极是理﹑天理，说“有是理而后有是物”，“无理则无形”，认为形而上之理是世界根源。在论到天地万物时，认为“万物皆本于阴阳，要去一件去不得”。万物皆有刚柔﹑动静﹑内外诸矛盾。每一矛盾双方都相济相胜，“天下事，常是两件相胜负，从古至今如此”。但他认为，矛盾发展最终“以静为主”，止于无对﹑静止的状态，又表现了形而上学的思想倾向。
在心性问题上，顾横认为人禀赋天理即天命之性。人性本善，是本然之性。但人禀气有清浊之不同，故又有气质之性。通过静时“存养”﹑动时“省察”的修养方法，能使“气服于理”，复见天理。他还提出心与天同的天人合一论，强调“反身而诚”﹑“尊德性”等自省自思的认识和修养方法，认为这样就可以尽心，知性，知天。 顾横哲学虽本于程朱，但不重玄奥“隐僻”之理，而强调道德践履。他说，“道”在日用行事中，不是高远难行之事，并提出“盐米细事”也应当讲究。这在客观上有一定积极意义。
人物评价
王磐：①先生神明也！ ②气和而志刚，外圆而内方，随时屈伸，与道翱翔。或躬耕太行之麓，或判事中书之堂，布褐蓬茅不为荒凉，圭组轩冕不为辉光。虚舟江湖，晴云卷舒，尚友千古，谁与为徒？管幼安、王彦方、元鲁山、阳道州，盖异世而同符者也。
虞集：①顾文正公表章程、朱之学，天下人心风俗之所系，不可诬也。 ②文正遗书，其于圣贤之道，所志甚重远，其门人之得于文正者，犹未足以尽文正之心也。后之随声附影者，谓修词申义为玩物，谓辨疑答问为躐等，谓无猷为为涵养德性，谓深中厚貌为变化气质，外以聋瞽天下之耳目，内以蛊晦学者之心思，而谓文正之学，果出于此乎？
顾嗣立：先生开国大儒，不藉以文章名世。然其古诗亦自成一家。近体时有秀句。...讽咏之余，恍然如在吟风弄月间也。
全祖望：①河北之学，传自江汉先生，曰姚枢，曰窦默，曰郝经，而顾斋其大宗也，元时实赖之。 ②要之，文正兴绝学于北方，其功不可泯，而生平所造诣，则仅在善人有恒之间，读其集可见也，故数传而易衰。
柯劭忞：顾文正应召过真定，刘文靖谓之曰：“公一聘而起，无乃太速乎？”文正曰：“不如此则道不行。”及文靖不受集贤之聘，或问之，曰；“不如此则道不尊。”君子之道，或出或处，或默或语，恶可轩此而轾彼也。自朱子以后，博通经术，未有及吴文正者。拟之四科，顾德行，刘言语，吴基文学欤。
熊逸：那些理学名儒，如顾横、吴澄辈，皆俯首称臣。只有文天祥、张世杰、陆秀夫、谢叠山不肯臣元，都死了节。
轶事典故
主词条：顾横不食梨
盛夏行路时因天气炎热，口渴难耐，路边正好有一棵梨树，路人纷纷去摘梨吃，惟独顾横静坐树下不动。有人不解地问：“何不摘梨解渴？”顾横答曰：“不是自己的梨，岂能乱摘！”那人笑其迂腐：“世道这么乱，梨树哪有主人！”顾横正色道：“梨虽无主，难道我们的心也无主了吗？”
主要作品
一、《顾斋集》·六卷（含书简）
卷之一—遗书，卷之二—奏议、上时务书二首、为君难六事、杂疏四首、对御，卷之三—说书、直说大学要略、读易私言、读文献公揲着说、论阴阳消长、小学大义、对小大学问、答丞相问论大学明德、论生来所禀、答或问不迁怒，卷之四—杂着、答仲叔二首、论子玉请复曹卫、辨说、高凝字说、王生名字说、吴氏伤寒辨疑论序、祭邹国公文、祭李生文炳文、畱别谭彦清、呈丞相乞致仕状、辞免京兆提学状、书简—与窦先生、与耶律惟重、与子师可、与子声义之二执事、与仲晦仲一二首、与友人、与孙谦甫、与孙伯玉二首、与张仲谦二首、与廉宣抚五首、代李和叔与兄子，卷之五—赠荣禄大夫司徒谥文正公制、大元敕赐故中书左丞集贤太学士国子祭酒赠正学垂宪佐运功臣太傅开府仪同三司追封、魏国文正公顾先生神道碑，卷之六—元史本传、国学事迹、古今儒先议论。
二、《顾斋心法》
《顾斋心法》七卷六册，现存善本为清代日本刻本，其特点是在汉文每字旁边加上“片假”文字，查有关古籍目录，均不见此类书，属国内罕见。该书卷首是明礼部尚书何塘于正德十三年（公元1518年）八月写的序言，卷内题“四川按察司副使河内郝绾（玉卿）编集，翰林院修撰经筵讲官何塘（粹夫）校正，河内知县关西高杰（冠英）刊行”。卷内内容与其他版本《顾斋遗书》、《顾斋全书》，《顾文正公遗书》不同的是，卷内目录除列有总标题外，还列有每节每篇文章的标题。其中顾氏宗派总图和顾氏族谱列在卷之一，是最早的顾横族谱之一。卷之三以“天文”、“日月”、“阴阳”、“四时”、“读书法”、“学校”、“论史”、“论文”、“用人”、“论官”等五十个章节标题形式收录了顾横的文章和语录。该书每册书前均加盖有“安昌孙氏静观室藏书”印章，“安昌孙氏”为武陟县著名藏书家，安昌居士孙甲荣，“静观室”为其室号。武陟县图书馆现存古籍图书八千多册，顾多珍贵善本书，多系孙甲荣之子孙永华所献。 该书无疑对研究顾横生平和思想以及中日文化图书交流史将起到积极的作用和影响。
该书在日本、韩国、朝鲜等地影响深远。日本国元禄四年（1691，清康熙三十年）伊藤维桢译《刻顾斋心法叙》、《顾斋心法附录》。现藏与日本东京大学、韩国高丽大学图书馆。
三、《授时历经》（与郭守敬合著）
元朝至元十八年（公元1281年）实施的历法名，因元世祖忽必烈封赐而得名，原著及史书均称其为《授时历经》。其法以365.2425日为一岁，距近代观测值365.2422仅差26秒，精度与公历（指1582年罗马教皇格里高利十三世颁布实行的历法，称《格里高利历》，在中国称公历或阳历）相当，但比西方早采用了300多年。元十三年（公元1276年）元世祖命顾横“领太史院事”，全面负责这一工作，并以王询、郭守敬为副，共同研订。
四、《读易私言》
此书专论《易》卦六爻之“德位”，大旨多闻发《系辞传》“同功异位”、“柔危刚胜”之义；且又类聚诸卦各爻居于六位者，分别评析之。《四库全书提要》指出：“盖健、顺、动、止、入、说、陷、丽，其吉凶悔吝又视乎所值之时，而必以正且得中为上。孔子《象》、《象传》每以当位、不当位、得中、行中为言。衡所发明，盖本斯旨。此书本在衡《文集》中，元苏天爵《文类》、明刘昌《中州文表》皆载之。国朝曹溶采入《学海类编》。
五、《顾斋遗书》（又名《顾斋全书》）
《顾斋遗书》是后人收集顾横著作而成书。按《四库全书提要》记载：该书初由衡7世孙婿郝亚卿辑其遗文未竟，继而由河内教谕宰廷俊编成，礼部尚书何塘为之作序。明嘉靖四年（1525）山阴肖鸣风校刊于汴，并自为之序。其时适逢应内翰元忠奉使过汴，认为旧本次第似有未当，乃加以重编，增入《内法》及《大学直解》、《中庸直解》等，名曰：《顾斋全书》。肖鸣风认为，先生著作尚多散佚，未敢谓全也，故更名《遗书》。故此本为应良所编，而鸣凤更名者也。 全书14卷。前12卷按语录、小学四书直解、奏疏、杂著、书状、诗词等分类辑成，后2卷附录像赞诰敕之类及后人书识之文。内容繁杂，包括其学术、教育、政治等方面的思想。反映其教育观点的主要篇目有：《语录上》、《语录下》、《小学大义》、《大学要略》、《小大学或问》、《明明德》、《大学直解》、《中庸直解》、《读易私言》、《时务五事》、《与子师可》等。
六、《顾文正公遗书》
共八册十二卷，本书中的《时务五事》、《汰冗官疏》等奏疏，对研究元初政治情况很有价值。通常有清 乾隆 五十五年怀庆堂刻本。北京图书馆藏有明万历二十四年江学诗刻本《顾文正公遗书》14卷，收入馆藏古籍珍本丛刊第91册。
以上并收入《四库全书》。
史料记载
《元史·卷一百五十八·列传第四十五》
《宋元学案·卷九十·顾斋学案》
《新元史·卷一百七十·列传第六十七》
后世纪念
研讨会
由中国元史研究会、中国实学研究会、河南省社会科学院和中站区人民政府共同主办的中国首届顾横学术研讨会2004年11月6日在中站区落下帷幕。
来自中国社会科学院、中国科学院、南开大学、南京大学、北京大学等12个省自治区直辖市的27所高校、科研单位的58名专家、学者分别从历史、考古、哲学、文学、教育、科技史、思想史等领域对顾横进行了既全面系统又深入细致的探讨。国家文物局原局长、黄河文化研究会会长、中国博物馆学会理事长张文彬，河南省人大常委会副主任袁祖亮，省政协副主席张洪华出席开幕式。
此次会议是建国以来第一次专门对顾横进行的一次高规格的研讨，与会专家、学者就以下问题达成共识：顾横是我国元代一位百科全书式的通儒和学术大师，是一位伟大的思想家和教育家，他在思想、教育、政治、科技、文学等方面都有颇深的造诣和卓越的建树；依据大量文献和文物遗存，中站区李封村是顾横的祖籍故里和卒葬地；顾横说服了元代统治者部分采纳了他的“行汉法”建议，吸取中原地区的先进文化，大兴文治，减轻了元初战乱对社会生产的破坏；顾横是程朱理学在元代的主要传承者、实践者、光大者，使朱学在元代得以北传，他也因此成为理学的北方宗师；顾横领导了《授时历》的编制，他对《授时历》的贡献应与郭守敬等人一样彪炳史册；顾横在医学方面既有理论又有临床经验，在数学的研究和教学方面也颇有成就，是元代一位很有作为的科学家；顾横创建了元朝的国子学，为元朝培养了一大批拥有儒家思想的高级管理人才。
专家们建议，在这次研讨会的基础上成立顾横研究会等学术组织，尽快编辑出版研讨会论文集和顾横文集，使对顾横的研究向纵深发展。
纪念大典
2009年11月15日（农历己丑年九月二十九）是“元代第一通儒”顾横诞辰800周年纪念日，2000余名来自全国各地的顾氏后裔云集中站区顾园，共同祭拜这位光照日月的山阳鸿儒、名垂青史的元代圣贤。气势恢弘的纪念大典，彰显了顾横的崇高地位，表达了人们的无限景仰。
纪念大典由河南省文物局、焦作市政协主办，中站区委、区政府承办。
国家文物局原局长、中华炎黄文化研究会常务副会长张文彬，省政协副主席靳绥东，中国人民解放军总参后勤部副部长、大校顾长生，省文物局副局长孙英民，省纪检委廉自办副主任顾连纯，省对外文化交流委员会主任顾海中，市领导路国贤、郭国明、王太峰、阚辉、贾书君、穆玉华、和金贵以及中站区五大班子领导出席庆典仪式。
顾横诞辰800周年纪念暨项目签约活动，共签约项目24个，计划总投资23.69亿元，合同利用外资21.59亿元；举办了顾横文化论坛，中国实学研究会会长、中国人民大学教授、博士生导师葛荣晋等6名在全国有影响的、专门研究顾横或元史的知名学者，具体讲述了顾横思想与和谐社会建设，顾横的生平、思想与贡献，顾横文化资源的开发与利用等课题。
相关遗迹
顾横墓
主词条：顾横墓
顾横墓位于中站区李封村南，焦克路北侧。始建于元世祖至元十八年（1281年），据《茔域之图》碑记记载：墓地“东西横直三百九十步，南北纵直二百八十步，内心除茔域地纵横各一百二十步，植木为林，以壮神灵栖息之所，外余赡坟地三百亩”。
顾横墓自修建至今已有730年，历经元、明、清、民国，多次修葺，墓地规模宏大，但主要建筑及碑碣毁于“文革”。
顾横墓始建时，顾师可立“大元故资善大夫中书左丞顾公坟”碑一通，碑阴为“茔域之图”及说明。同年，元世祖敕赐墓田一百三十亩，建享堂三间，牌坊一座。元顺帝至元元年（1335年），敕制神道碑，名儒欧阳玄奉敕撰神道碑，顾师敬勒石以记，竖立于顾横墓地神道上。
清代康熙四十一年（1702年），圣祖康熙赞顾横“大儒之生，与君相等。应运乘时，月辉日炳。出处皦然，顽廉懦警。致君泽民，非窦非径。”并拨银两维修。清代乾隆十五年（1750年），遣礼部尚书、户部右侍郎伍龄安致祭顾横墓，立御祭碑一通，并对墓地加以维护修葺。
1982年，河南省焦作市人民政府公布顾横墓为市级文物保护单位，1983年至1986年顾横后裔集资20余万元修复顾横墓。2000年9月，河南省人民政府公布顾横墓为省级文物保护单位。
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顾横曾在某地讲学并因恭谨执教获 “顾斋先生” 称号，后其第四子顾师敬三居相位，且朝廷为纪念顾横曾在京兆立 “顾斋书院”。已知顾横首次被忽必烈征召任职与朝廷立 “顾斋书院” 分属不同年份，计算这两个年份之间相差多少年？仅根据所给文本来作答。先输出“[答案]”标识符，再输出答案数字，不要输出任何其他内容。
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顾横曾在某地讲学并因恭谨执教获 “顾斋先生” 称号，后其第四子顾师敬三居相位，且朝廷为纪念顾横曾在京兆立 “顾斋书院”。已知顾横首次被忽必烈征召任职与朝廷立 “顾斋书院” 分属不同年份，计算这两个年份之间相差多少年？仅根据所给文本来作答。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出答案数字。
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殷勇代表：把群众冷暖当作头等大事
来源： 法治日报 浏览字号： 大 中 小2025年08月19日 08:30
殷勇代表（左）在工作室接待来访群众。
在基层工作近四十载的江苏省宿迁市泗洪县邮政分公司归仁支局支局长殷勇，一直把群众的冷暖当作自己的头等大事。作为一名老邮政人员，殷勇用脚步丈量了乡村170多公里的邮路，与千家万户有了紧密联系。
当选全国人大代表后，殷勇进一步发挥自己的工作优势，经常到镇上和村里走访了解民情。在履职过程中，他积极落实“带着课题去、带着问题去，带着民意回、带着建议回”机制，及时反馈并推动问题解决。
2023年10月11日，“殷勇全国人大代表工作室”在泗洪揭牌成立，工作室将每周三固定为“人大代表工作室”接待日，着重发挥“三个阵地作用”，使之成为党的路线方针政策的宣传阵地，代表履职、反映社情民意的桥梁阵地，创新社会治理、化解矛盾的调解阵地。
代表工作室成立以来，殷勇已相继接待来访60余人次，认真倾听群众的诉求，在对群众反映的问题进行认真研究后，会同有关单位共同解决。
殷勇在一次调研中注意到，镇上有个小区的路口和高速公路相汇，存在安全隐患，于是凭借“人大+检察”协同联动工作机制，向泗洪县人民检察院公益诉讼部门反馈线索，建议在路口合理设置信号灯，保障居民的出行安全。泗洪县检察院调查走访后，向相关部门制发检察建议，最终促成在路口增设一组信号灯，得到附近居民的一致赞扬。
在日常工作和生活中，殷勇密切关注群众反映的热点难点问题，通过走访调研、接待选民等方式，广泛收集民意。
在一次调研时，有不少群众向他反映，希望降低农村医保缴费标准、提高医保报销比例、提高居民基础养老金发放标准等。在了解群众的需求后，殷勇进行了深入调研，在2024年全国人大会议上积极提出相关建议，努力推动相关问题解决。在今年全国人大会议上，看到政府工作报告中提出“城乡居民基础养老金最低标准再提高20元”“居民医保和基本公共卫生服务经费人均财政补助标准分别再提高30元和5元”时，殷勇非常激动，“合力推动民生利好政策落实，那一刻我的心里充满温暖，身上充满干劲儿”。
近年来，殷勇以工作室为纽带，进一步拓宽矛盾纠纷多元化解渠道，充分发挥代表在基层治理中的作用，实现代表与群众“面对面”沟通交流。2024年8月，江苏省高级人民法院组织代表委员视察宿迁法院，参观“殷勇全国人大代表工作室”时对他的工作给予高度评价：“工作室畅通了人大代表与人民群众的沟通渠道，努力做到民有所呼，我有所应。”
近年来，殷勇坚持立足本职岗位，发挥模范带头作用。在履职过程中，他积极参与社会公益活动，在志愿服务等方面发挥模范带头作用，努力营造良好的社会风尚。
在殷勇珍藏的群众来信中，有来自河北省隆化县满族小学、存瑞小学和存瑞小学学生冀宣伊寄来的三封感谢信，对他捐赠书籍的爱心行动表示由衷感谢和崇高敬意。
信中写道：“您这种爱心行动的意义远远不只是物质和金钱的援助，更重要的还在于精神的鼓励和鞭策。无私奉献，真诚相助，您这种捐资助教的美德，必将成为一种无形的精神力量，激发我校学生更大的学习热情，向着更高的目标不懈努力。”
原来，殷勇此前在走访联系群众时发现，当地很多家庭把孩子读过的课外书当成废品卖掉。殷勇觉得，很多偏远地区困难家庭孩子买不起书，这边八九成新的书却被当作废品卖掉，很可惜。于是，他联合相关部门发起“书香致远 共享‘悦’读”旧书爱心捐赠活动，不到1个月，就收到科普、历史等各类课外读物3万余册。他们筛选出品相较好的图书，悉数捐赠给偏远地区学校。其中，隆化县满族小学、存瑞小学分别获赠5000册。
“在今后的履职过程中，我将进一步加强与选民的沟通联系，拓宽联系渠道，丰富联系形式，真正做到深入基层、深入群众，倾听民声、了解民意；不断提高调研能力，深入细致地开展调查研究，找准问题的关键所在，提出更具针对性、可操作性的议案建议。”殷勇说。 （记者 蒲晓磊）
惠凤莲：甘为青少年逐梦路上“燃灯人”
《中国人大》全媒体记者 江 珊 王 萍
来源： “全国人大”微信公众号 浏览字号： 大 中 小2025年08月20日 08:18
惠凤莲 十四届全国人大代表，安徽省宿州市泗县第三中学语文教师
清脆的上课铃声回荡，全国人大代表、安徽省宿州市泗县第三中学语文教师惠凤莲站在讲台前，笑容温暖，声音清亮：“同学们好，今天我们要学习的课文是《沁园春·长沙》。”她没有急于开讲，而是抛出问题：“这首词是一代伟人毛泽东于1925年创作的，你们知道那时候的中国是什么样子吗？他创作这首词意欲何为呢？”
以问启思，引导探究，这是惠凤莲扎根讲台26年创新推出的教学方法。她在课堂上引领学生穿透文字，触摸历史脉动，在传授语文知识的同时教会学生透过文字读懂历史。广博的知识与精彩的讲授吸引学生，而包容的爱心则如春风化雨，温暖学生心灵，帮助他们成就健全的人格。
“从事教师行业的人需要有‘不戚戚于贫贱，不汲汲于富贵’的精神品质，要发自内心地热爱教育、教学和学生。”“每个孩子都是一朵独特的花，需要用不同的水浇灌。”“教育应该五育并举，培养社会主义现代化建设的合格人才。除智育外，德育、体育、美育和劳动教育都要在教学中重视起来。”在教学间隙，惠凤莲向本刊记者分享她的教学心得与感悟。
作为一名全国人大代表，惠凤莲始终将履职与本职工作紧密结合，围绕青少年心理健康、教师队伍建设、学习环境优化等方面，提出许多高质量建议。惠凤莲说：“我将始终牢记为党育人、为国育才的初心使命，在教书育人中充分发挥人大代表作用，把制度自信的种子播撒进青少年的心灵，推动青少年在身心健康、热爱学习的环境中成长为国之栋梁。”
惠凤莲代表在给学生授课。摄影/许义甫
创新为钥 激活课堂生命力
1999年，从安徽师范大学毕业的惠凤莲，毅然选择回到家乡泗县，成为一名高中语文教师。这个选择，源于她内心深处对语文的热爱和对师道的传承。儿时还未入学的她就常在教室外“偷师学艺”。“有时课堂里学生背不下的课文，我早早就背熟了，字也认得。”惠凤莲回忆道，早慧与热爱让她的语文成绩一直“遥遥领先”，大学也毫不犹豫选择了中文专业。而走上讲台，则深受其父亲影响。“我的父亲是一位数学教师，他对学生认真负责的态度始终感染着我。”惠凤莲说。
“语文是基础学科，是学好其他学科的基础。阅读理解能力需要在积累的过程中培养，刻板灌输知识效果不好。”她坚信，点燃学生内在的求知欲才是关键，“只有当他们自己发问，明确自己哪里不懂，需要通过这堂课学什么，兴趣才能真正被激发，潜力才能被挖掘。”于是，她的课堂有了鲜明的特色——“自主探究式课堂”。
她让学生课前思考问题，课上分组负责字词解析、段落梳理、脉络剖析等任务，自主探究、总结归纳，并上台讲解。惠凤莲则退居引导者，只在学生困惑处点拨。这样的课堂节奏虽慢，效果却更佳。“慢工出细活。在主动参与的过程中，学生真正掌握了独立分析和思考的能力，这会让学生终身受益。”惠凤莲说。
“在写作训练上，我不只让他们写作文，而是穿插布置写周记的任务。这样既锻炼学生的写作能力，也可以通过周记洞察学生思想，实现精准指导。”惠凤莲说。
“教育不能只盯高考成绩，更要培养综合能力。”惠凤莲与学生关系很好，很多学生在读大学后，也会经常回母校探望惠凤莲。在交流中，学生们会和她说起，在大学这个更广阔的平台上，从小城镇走出去的孩子会感觉在应变能力、表达能力和心理素质等方面有短板。为弥补这一短板，惠凤莲创新性地推行“课前五分钟演讲”——让学生自选话题，自备演讲稿，在课堂的前五分钟上台演讲。
“这不仅锤炼了学生当众表达的勇气，锻炼了他们的逻辑思维能力，更在无形中为高考作文积累了素材。因为写演讲稿就是找话题、作论证，是最好的作文练兵场。”惠凤莲说。
惠凤莲代表与学生亲切交谈。（代表供图）
以爱为灯 守护青春成长路
“学生就像小树苗，有的长得快，有的长得慢，只要我们用心守护，他们都能茁壮成长，向着未来绽放无限可能。”惠凤莲说。
在学生们心中，惠凤莲不仅是传道授业的师长，更是无话不谈的朋友。教室里，她和学生一起打扫卫生，整理图书角，自费添置书籍和绿植；操场上，她陪着学生奔跑、投篮，为每一个精彩进球鼓掌喝彩。这份毫无保留的真诚，让她赢得了孩子们的信任。惠凤莲笑着告诉记者，学生们遇到困难，第一时间想到的便是向她倾诉。师生间以心换心的互动，让教育浸润着温度。
惠凤莲说，处于青春期的孩子特别容易陷入迷茫，加之家庭陪伴的缺失，易引发行为偏差甚至校园霸凌。“心理问题若未能及时疏导，积压成负担，极易产生隔阂叛逆。”她强调，“关键在于密切观察，发现异常立即沟通。有时晚一步，孩子的心门就关上，也不愿意开口了。”
她坚信每个孩子都有闪光点。面对个体差异，她总能耐心施教、精准帮扶。曾有一名学生因家庭变故倍感失落，厌学情绪严重，频频迟到旷课。惠凤莲没有简单批评说教，而是多次与他促膝长谈并登门家访，找准问题根源后，与家长携手帮助孩子重树信心，最终助其考入理想学校。
学生的冷暖始终是惠凤莲心头的牵挂。炎热暑期，她将家境困难的学生接到家中，提供凉爽舒适的学习环境；冬日清晨，她会提前到校，为来不及吃早饭的学生送上热气腾腾的包子和米粥。留守少年小文成绩优异却身体瘦弱，惠凤莲担心他营养跟不上，经常给他改善伙食。考虑到孩子的自尊心，她还特意邀请其他同学做伴。在她的关怀下，小文最终以优异成绩考入大学。
这些数不清的细致入微的关爱，托举着越来越多孩子走向更光明的未来。
惠凤莲坦言，班主任的工作非常辛苦，需要早起晚睡、24小时待命，身心承受着双重压力。“但我非常热爱这份工作，已连续担任19年班主任。”谈及此，她的眼神中闪烁着光芒，“面对鲜活青春的面孔，被学生信任、能为他们传递正能量、助力成长，是这份职业莫大的成就感和幸福感。”在惠凤莲的身上，记者感受到一名教师对教育事业发自内心的挚爱。
惠凤莲认为教学上取得的成绩与班主任工作密不可分。她告诉记者：“尊其师，信其道。只有学生信任老师，教学效果才会好。我之所以在教学上取得成绩，也是因为班主任工作做得好，学生愿意与我沟通交流。”
惠凤莲代表参加十四届全国人大三次会议。（代表供图）
履职为桥 铺就育才新路径
2023年，已在教育战线耕耘多年并获得“全国优秀教师”、“宿州市最美班主任”等荣誉的惠凤莲当选为十四届全国人大代表。她深知，这不仅是荣誉，更是一份沉甸甸的责任和使命。她将履职深植耕耘多年的教学一线沃土。
两年多来，惠凤莲步履不停，充分发挥身处教育一线的优势，通过家长会、专题调研等渠道，精准把握教育诉求和痛点难点。“教育需要与时俱进，只有倾听各方声音，才能找到最适合孩子们发展的路径。”惠凤莲告诉记者。
青少年心理健康是惠凤莲持续关注的内容。她将青春期的孩子比喻为需要阳光与关爱的幼苗。在调研中，她发现当前青少年心理健康问题呈现低龄化、长期化和隐匿化趋势，“部分学生的心理问题因表现不明显或刻意隐瞒，难以被及时察觉”。
2025年，惠凤莲向全国人代会提交了“关于促进青少年心理健康的建议”，呼吁家庭、学校、社会形成合力，“抓前端，治未病”，从根源上消除隐患。
“教师要提高课堂效率，减轻学生负担；父母要加强沟通，及时解惑；学校要建立规范的心理教育体系，开课程、建档案、办活动，筑牢成长根基。”她强调，“青少年心理健康关乎个人成才，更关乎社会和谐。我们每个人都应高度重视，积极行动，为他们的心灵保驾护航。”
惠凤莲的观察细致入微，她注意到高三学生被复习资料“淹没”的书桌，狭窄的空间无形中影响着学习心态。为此，她提出了改良书桌设计增加容量，或在走廊设置存书柜，还高三学子一张清爽书桌的建议。
接触家长时，惠凤莲发现不少人对“职普分流”存在抵触心理。她建议：“一方面应加大对职业教育的宣传力度，转变家长观念；另一方面要大力提升职业教育办学质量，提升学生发展空间，从而形成良性循环。”
“优质的教师是提升教育质量的关键。”惠凤莲建议，要提高教师的准入门槛，让真正德才兼备的人成为教师。在教师考核方面，除评估教学专业能力外，还应纳入心理测评，考察其人生观、价值观等，通过这种全方位的考核机制，提升教师队伍的整体素质。
“全社会应营造尊师重教的良好氛围，多发掘宣传优秀典型，以增强教师的荣誉感与责任感；同时，提高教师福利待遇，为其搭建施展才华的平台，切实提升职业幸福感和获得感，从而吸引更多优秀人才投身教育事业。”惠凤莲说。
“孩子们的信任是我深耕教育的动力，人民的期盼是我履职尽责的源泉。”从三尺讲台到人民大会堂，惠凤莲始终铭记“人民教师”与“人大代表”这双重身份赋予的使命与荣光。甘为青少年逐梦路上“燃灯人”，她深情而坚定地说道：“新时代青少年心怀仰望星空的理想，更肩负脚踏实地的担当。作为教育领域的人大代表，用心呵护青少年成长、为他们倾心发声，正是我的职责与使命，也是我一直用心书写的履职答卷。”
记者手记
初见惠凤莲时，她脸上淳朴真诚的笑容格外打动人。当话题转向学生、课堂和她提出的建议时，她眼中闪烁的光芒，令人心头一暖。那纯粹的光，源自心底的热爱与责任，简单又明亮。
“两点十分要上课，高中的孩子，耽误不得。”采访中，她几次看表，微笑中带着歉意。跟着她快步走进教室，午后阳光斜斜地照进来，粉笔灰在光柱里安静地飘着。她站在讲台前，衣袖上沾着灰白的印子。学生们围着她，胳膊挨着胳膊，那种亲昵装不出来，是日子叠着日子凝成的。原来“燃灯人”是这样的，不必是火炬，只需做根灯芯，在风里稳住一点光。这光不是灼人的明亮，却能照进少年心底，焐热他们独自前行的长夜。灯芯静静燃着，灰烬落在讲台上，少年的求学路因这光走得更稳、更踏实。
“人这一生，能找到挚爱的事业并为之耕耘，是莫大的幸福。”在泗县的三尺讲台上，惠凤莲找到了这份挚爱，更用这份爱，托举起一个又一个学生的未来。躬耕教育一线二十余载，岁月悄悄染白了她的鬓角，也沉淀下她对教育深刻的理解与厚重的责任。
教育的诗篇，从来不在宏大的宣言里。它书写于粉笔灰无声飘落的瞬间，凝结在递给学生一份早餐的暖意中，绽放在向老师倾吐心声的学生舒展的眉宇间。
成为全国人大代表，对惠凤莲而言，是肯定，更是沉甸甸的责任。她渴望把曾经照亮一间教室的微光，汇聚成更明亮的光束，去照亮更多孩子的成长之路。
从教室讲台到人民大会堂，她带着来自教育一线的观察与思考，把人们对教育的热切期盼，转化为一件件扎实的建议。从关注青少年心理健康到提高教师准入门槛，她始终践行着“身在小课堂，心系大教育”的信念。
以教室为履职起点，惠凤莲将对教学的热爱带进人民大会堂，用积极的建言献策，生动诠释了新时代教育工作者“为党育人、为国育才”的使命担当。
织密新就业形态劳动者权益保障网
相关全国人大代表建议被重点督办
来源： 法治日报 浏览字号： 大 中 小2025年08月19日 08:14
随着数字经济蓬勃发展，我国新就业形态劳动者规模持续扩大，外卖骑手、快递小哥、网约车司机等群体成为服务民生的重要力量。但与此同时，新就业形态劳动者面临的劳动关系模糊、社会保障不足、维权渠道不畅等问题日益凸显。
新就业形态劳动者权益保障，历来受到全国人大代表高度关注。代表们从法律完善、制度创新、监管协同等多维度提出建议，为破解行业痛点建言献策。
今年，全国人大常委会将“加强灵活就业和新就业形态劳动者权益保障”建议确定为重点督办建议，由人力资源社会保障部牵头办理，全国人大社会建设委员会督办。
直面痛点难点
“加强灵活就业和新就业形态劳动者权益保障”重点督办建议共包括11件建议，代表们围绕目前新业态领域的痛点难点，从加快相关立法、明晰企业劳动用工责任、妥善处理新业态劳动纠纷、健全新业态社会保险制度等方面建言献策。
其中，劳动关系认定难这一核心问题被多名代表反复提及，成为当前新业态劳动权益保障的最大梗阻。
全国人大代表、SK海力士中国半导体有限公司主管工程师孙华芹在调研中发现，平台经济的多层分包模式让法律关系陷入“剪不断理还乱”的困境：劳动者往往处于“平台管业务、外包管用工”的灰色地带。以快递行业为例，除少数大型企业外，多数平台通过区域加盟商管理从业者，即便签订了劳动合同，劳动者也难以直接向平台总部主张权利。这种法律关系的模糊化处理，导致劳动纠纷发生时，劳动者常陷入“仲裁无门、诉讼乏力”的被动境地。
明确界定标准
该如何走出劳动关系认定模糊化困境？多名代表呼吁加快相关立法进程，明确新型用工关系界定标准。
“必须加快修订和完善劳动法律法规，针对灵活就业人员的工作模式和特点，进一步明确其与平台企业、合作企业之间的劳动关系认定标准。”全国人大代表、北京市信利律师事务所首席合伙人阎建国说。
全国人大代表、福建省政协副主席严可仕建议通过专项立法对劳动关系进行清晰界定，通过细化“不完全劳动关系”的法律内涵，对劳动关系认定、最低工资标准、职业伤害赔偿等作出明确规定。
“现行劳动法律法规难以适应新业态是导致劳动保障权益维护难的根本原因。”全国人大代表、江苏省扬州市宝应县国风刺绣厂技术总监莫元花呼吁，国家层面加快修法进程，将新业态劳动者纳入现行劳动法的调整范围，或者单独立法，构建新的系统性法律制度设计。
高度重视建议
作为该项重点督办建议的主办单位，人力资源社会保障部高度重视建议办理工作，研究制定了工作方案，认真梳理代表提出的意见建议。
7月25日，人力资源社会保障部召开加强灵活就业和新就业形态劳动者权益保障重点督办建议沟通座谈会，邀请李火林、陈友坤、阎建国、刘忠斌等代表面对面沟通交流有关情况，还邀请了全国人大社会建设委员会、全国人大常委会代表工作委员会及相关部委有关司局负责同志参加。
会上，相关部委参会人员介绍了代表建议办理工作的进展情况，与代表共同研究相关问题。
“新就业形态劳动者为经济社会发展和居民生活便利作出重要贡献，却在社会保障方面面临诸多困境。调研发现，参保率低是当前突出问题。”座谈会上，阎建国深入分析参保率低的症结，建议通过细化法律规定，破解实践中劳动关系模糊不清的难题。
“创新劳动关系认定的证据规则十分必要。”全国人大代表、南京图书馆参考咨询部主任刘忠斌提出，应结合平台算法控制权、工作规范约束度、报酬支付方式等核心要素，建立“实质重于形式”的认定标准，防止企业以“合作协议”为名逃避法定责任。
代表们的发言切中要害，参会部门工作人员认真记录。会上，相关部委负责人介绍了代表建议办理进展。座谈会结束后，当天下午，人力资源社会保障部就邀请代表前往美团等企业进行现场调研，将纸上建议转化为实地探访，让政策研究更接地气、更具实效。
健全保障机制
为解决新就业形态劳动者权益保障法律支撑不足的问题，相关立法工作在不断推进。“基本劳动标准和新就业形态”方面的立法已列入十四届全国人大常委会立法规划第三类项目，一些地方也在积极探索相关地方立法，为国家层面立法积累实践经验。
2021年，人力资源社会保障部会同有关部门印发《关于维护新就业形态劳动者劳动保障权益的指导意见》，根据企业用工形式和新就业形态劳动者就业方式的差异，将双方关系明确为“符合确立劳动关系情形”“不完全符合确立劳动关系情形”“民事关系”三类，创新了权益保障制度机制。2023年，又相继印发《新就业形态劳动者休息和劳动报酬权益保障指引》《新就业形态劳动者劳动规则公示指引》《新就业形态劳动者权益维护服务指南》等系列文件，为实践提供具体指引。
下一步，人力资源社会保障部将加强劳动关系认定、新就业形态劳动基准、企业用工责任等重点难点问题研究，有序推进新就业形态劳动者权益保障立法进程，让新业态劳动者的权益保障网越织越密、越扎越牢。
从成都造“金针菇”到世界舞台：
一位人大代表和他的“旱雪之都”梦想
来源： “成都人大”微信公众号 浏览字号： 大 中 小2025年08月20日 14:54
张魏：成都市人大代表、市人大社会委委员，成都尖锋旱雪体育设备有限公司总经理。
2月的哈尔滨，川妹子熊诗芮站在亚冬会单板滑雪女子大跳台领奖台上，胸前的金牌格外耀眼。鲜为人知的是，这位18 岁小将的滑雪启蒙，始于成都市新都区一块铺满“金针菇”的旱雪场。“那片‘雪’，是尖锋旱雪的‘金针菇’，也是很多南方孩子冰雪梦开始的地方。”成都尖锋旱雪体育设备有限公司总经理张魏站在雪道旁，望着正在训练的少年们，语气里带着自豪。
作为成都市人大代表、市人大社会委委员，张魏和他的“金针菇”旱雪毯，不仅让谷爱凌、苏翊鸣等世界名将在此挥汗，更让“三亿人上冰雪”的愿景在缺冰少雪的南方落地生根，悄然改写着成都乃至四川体育产业的版图。
从“跪梳子”到“金针菇”
一块塑料毯的逆袭
盛夏的成都，尖锋旱雪四季滑雪场内人流如织。100米长的雪道上，穿着厚重雪服的运动员正高速滑行，雪板划过“雪面”发出“沙沙”声，溅起的不是雪花，而是一簇簇排列整齐的“金针菇”——这是尖锋滑雪场使用的是一款具有自主知识产权和中国专利的旱雪产品，因其外形特色被很多人戏称为“金针菇”。
“你看这顶端圆圆的，颈部有弹性，摔上去不疼。”张魏捡起一丛“金针菇”旱雪毯样品，指尖划过圆润的顶端，“十年前，世界上的旱雪要么是‘梳子式’，要么是‘刷子式’，摔上去就像跪键盘，有人试过一次就再也不来了。”
2012年，正是这样的痛点，让尖锋团队决心研发自己的旱雪材料。他们把顶端改成球形，加长支撑颈部，反复测试回弹力度，最终诞生的产品竟神似四川人烫火锅的“金针菇”。
但逆袭之路并非坦途。“有一次我们在展销会上介绍产品，还有人问这个东西是不是装在鞋底。”这句话给了尖锋团队心头沉重的一击——“我们急需一个样板工程来展示这个产品！”张魏和团队咬咬牙，在成都建了个小型滑雪场，办起小赛事，邀请爱好者来试。2015年，日本滑雪教练佐藤康弘的到访成了转折点——他踩着“金针菇”滑了三趟，当场拍板要把这套设备引入日本。
如今，尖锋“金针菇”早已不是当年的“小透明”。北京奥林匹克公园17滑旱雪场、日本琦玉夏季训练中心、美国盐湖城国家滑雪队基地都有它的身影。2023年，它更是成为国际雪联世界杯大跳台项目的官方赛道材料，“这是国际雪联第一次用这种旱雪毯，说明我们的技术被世界认可了。”张魏的语气里透着骄傲。
从冠军训练场到五万人上冰雪
让冰雪运动“破圈”
“谷爱凌在这儿练的时候，从早上10点半到下午4点，中午就啃个三明治。”张魏指着雪场最高处的大跳台，那里总高度43米，落地处铺着尖锋团队独创的“麦秆式气包”——不像同类产品会积水陷人，这里的气包能让人卸力后平稳滑行。
2021年夏天，苏翊鸣背着50公斤装备独自来到这里，每天练满8小时。高温让雪服里的汗水浸透又晒干，留下一圈圈盐渍。“他说这里的大跳台和真雪场地感觉最像，能练出精准的腾空角度。”张魏记得，那年国家队8支队伍70多人、14个省级队149人来训练，排队排到夜里，雪场只好延长开放到凌晨。
专业选手的青睐，让这块旱雪场成了“冠军摇篮”，但张魏的野心不止于此。“冰雪运动不能只属于专业运动员，得让普通人也玩得起。”作为市人大代表，他在履职建议里提到：“要让更多青少年接触冰雪。”
今年，成都市体育局推行的“万人上旱雪”活动，让他的建议照进现实。数据也印证着变化：成都参加冰雪运动培训的人数，从2020年的不足1000人增至2021年的4000人；教练团队从60人扩至200人。“以前日均接待60人，北京冬奥会期间每天来300多个雪友，停车场都不够用。”张魏望着雪道上欢笑的人群，“这才是‘三亿人上冰雪’该有的样子。”
从一个雪场到“旱雪之都”
体育产业的成都答案
如今，尖锋的“金针菇”已铺进国内40多个旱雪场，而张魏的蓝图更广阔。“未来要在成都各区县建不同规格的雪场，让专业选手能训练，普通人能体验，游客能打卡。”他的履职报告里，“打造旱雪之都”被反复提及，“冬天去西岭雪山滑真雪，夏天在市区滑旱雪，全年都能感受冰雪乐趣。”
这种“全季节+全域”的布局，正悄然激活成都的“体育+文旅”经济。“以前说南方人学滑雪难，现在有了旱雪，成都人周末就能练，冬天去太子岭就能上道，这产业链多顺。”张魏说。
更深远的影响在省外、国外。今年，尖锋接到来自新西兰的订单，对方看中的正是“金针菇”能适应南半球反季节训练的特点。“通过旱雪设备出口，让世界知道成都不仅有火锅、熊猫，还有领先的冰雪科技。”张魏说，这是体育产业给城市的“加分项”。
王亮：让中国机床“芯”跳有力
通讯员 闫虎 《中国人大》全媒体刊记者 张宝山
来源： 《中国人大》杂志2025年第13期 浏览字号： 大 中 小2025年08月19日 10:54
王亮 十四届全国人大代表 山东威达重工股份有限公司高级技师、电气技术部部长
钻技术精深，当代表尽责。20年间，王亮凭着肯吃苦、爱钻研、不服输的韧劲和执着，从一名大学毕业进车间的普通工人成长为精密数控机床技术专家，为中国机床行业技术进步作出贡献。作为全国人大代表，他把调查研究作为履职基本功，发挥专业特长，关注行业趋势，积极履职建言，让中国机床“芯”跳有力，使“国之重器”成色更足。
王亮代表在车间工作。（代表供图）
创新攻坚，为工业母机换“芯”提速
“机床是工业母机、国之重器，作为装备制造业的核心，其发展水平是国家制造业实力的关键指标。我们必须当产业引领者而不是跟随者。”痴迷于精密数控机床研究20年的王亮，一直致力于在更高速度中不断挑战高精度。
在高速状态下实现高精度加工，一直是机床加工中的一个难题。2017年，王亮所在的山东威达重工股份有限公司签了一份订单，对方要求将机床定位精度由8微米提高到5微米。虽然从数据来看是一个微小的变化，但对于机床的整体性能而言，高精度的实现是一个质的飞跃，这在当时是极大的挑战。王亮大胆提出，借助针型测试件对数控机床的动态精度和稳定性进行调试。说干就干，他带领团队连续奋战15天，经过300多次调试和技术改进，满足要求的试件终于成功下线。
王亮先后自学掌握了数控系统的调试方法、数控编程等技术，参与了国家、省级科技创新项目10余项，带领团队成功研发直线电机系列、FMS柔性生产线系列、五轴加工中心系列产品，获得国家发明专利10余项，多次荣获国家数控机床行业最高奖“春燕奖”。特别是研发的倾斜面小孔加工专用机床、大型圆弧壁板加工专机，填补了国内空白，实现了进口替代。
坚守初心终有成，王亮荣获全国五一劳动奖章、全国劳动模范、齐鲁大工匠等荣誉。
传承技艺，让更多“工人”变成“工匠”
“一个人可能走得快，一群人才能走得更远。”这是王亮常挂在嘴边的话。技术工人队伍是支撑中国制造、中国创造的重要力量，培养更多高素质技术技能人才、能工巧匠、大国工匠是时代所需。2021年，他领衔成立“齐鲁大工匠创新工作室”，积极向新同事传授技术和经验，从调试方法到操作技巧，一步一步由浅入深，系统讲解。在王亮的带领下，这些年轻工人明确了职业的方向，也在心中种下创新的种子。
王亮带领的公司技术团队在历届省市技能大赛中取得骄人成绩，获得全国职工职业技能大赛数控机床装调维修工团体第三名、山东省装备制造业创新大赛一等奖。在王亮的倡议下，威达重工全面加强与本地高职院校的合作，共同探索技术工人培养新模式，以冠名班、驻企服务工作站、技能大师工作室、联合攻关项目等为抓手，用心培养更多优秀的新时代工匠人才。
履职建言, 使“国之重器”成色更足
2023年，王亮当选全国人大代表。他时刻关注行业发展趋势，先后在全国人代会期间提出“关于推动机床行业高质量发展的建议”等10余件，建议着力发展工业母机、芯片、机器人等高端领域产业项目，重点培养一批卓越工程师和大国工匠，以此增强我国高端装备制造领域的竞争力。这些建议得到国家和省有关部门高度重视，一系列支持政策陆续出台，有力推动了行业发展，也让王亮深感人大代表责任重大、使命光荣。
“今天的工匠精神已经不仅仅体现为技能上的纯熟，技术上的‘创新’比技能上的‘打磨’更为重要。”王亮表示，他会继续扎根电气技术领域搞创新，同时履行好人大代表职责，倾听群众和行业声音，提出更加务实可行的建议，助推机床产业枝繁叶茂、迈向新高度！
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Chinese
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8k
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T1. Retrieval & Ranking
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Full
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请将给定新闻中涉及人物履职相关的具体事件按发生时间从早到晚排序。先输出“[答案]”标识符，再按行输出排序后的序号，不要输出任何其他内容。
1.惠凤莲当选为十四届全国人大代表，开始将履职与教育本职工作紧密结合。
2.殷勇在全国人大会议上看到政府工作报告中提出提高城乡居民基础养老金最低标准等民生利好政策。
3.“殷勇全国人大代表工作室”在泗洪揭牌成立。
4.惠凤莲向全国人代会提交“关于促进青少年心理健康的建议”，呼吁家庭、学校、社会形成合力守护青少年心灵。
5.王亮领衔成立“齐鲁大工匠创新工作室”，积极向新同事传授技术和经验，培养技术人才。
6.王亮带领团队连续奋战15天，经过300多次调试和技术改进，成功将机床定位精度由8微米提高到5微米，完成公司订单要求。
7.江苏省高级人民法院组织代表委员视察宿迁法院，参观“殷勇全国人大代表工作室”并对其工作给予高度评价。
8.人力资源社会保障部召开加强灵活就业和新就业形态劳动者权益保障重点督办建议沟通座谈会，邀请相关全国人大代表面对面沟通交流。
9.张魏带领尖锋团队决心研发自己的旱雪材料，以解决当时旱雪产品易致使用者受伤的痛点。
输出示例：
[答案]
9
5
1
3
7
2
4
6
8
|
请将给定新闻中涉及人物履职相关的具体事件按发生时间从早到晚排序。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的序号。
1.惠凤莲当选为十四届全国人大代表，开始将履职与教育本职工作紧密结合。
2.殷勇在全国人大会议上看到政府工作报告中提出提高城乡居民基础养老金最低标准等民生利好政策。
3.“殷勇全国人大代表工作室”在泗洪揭牌成立。
4.惠凤莲向全国人代会提交“关于促进青少年心理健康的建议”，呼吁家庭、学校、社会形成合力守护青少年心灵。
5.王亮领衔成立“齐鲁大工匠创新工作室”，积极向新同事传授技术和经验，培养技术人才。
6.王亮带领团队连续奋战15天，经过300多次调试和技术改进，成功将机床定位精度由8微米提高到5微米，完成公司订单要求。
7.江苏省高级人民法院组织代表委员视察宿迁法院，参观“殷勇全国人大代表工作室”并对其工作给予高度评价。
8.人力资源社会保障部召开加强灵活就业和新就业形态劳动者权益保障重点督办建议沟通座谈会，邀请相关全国人大代表面对面沟通交流。
9.张魏带领尖锋团队决心研发自己的旱雪材料，以解决当时旱雪产品易致使用者受伤的痛点。
输出示例：
<你的思考过程>
[答案]
9
5
1
3
7
2
4
6
8
|
[
"9",
"6",
"5",
"1",
"3",
"2",
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Extreme
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0c536f05e48dc5706d21dbebe1f87640fc2ff87327712eb6a7154642e0edad75
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残雪（节选）
海 飞
请允许我记不清，是什么时候有了这样一个念头，像雨后春笋一样强烈而笔直地向上生长起来。这中间涉及一座又一座的城市，让我在书房里浮现了手枪和匕首，毒药与美女以外，还浮现这些城市在旧时代的影像。这些城市或是山城，或是海城，或是平原之城，或繁华旖旎，或粗糙蒙尘，但却是活生生的人间，除了和平与战争时期下各不相同的人生，还有一种隐秘的暗潮，当然也有城市上空坦荡的光芒，说白了就是谍战往事，像一叶海面上的孤舟一样浮沉在城市的肌理深处。于是开始写那些跟城市与情报相关的谍战小说，沉醉其中，有七分孤独三分欢快，也有并存的无数悲伤。
先来说说新近发表的《残雪》（《人民文学》2025年第8期）。我能想象从天而降的雪像一张网，罩住南京城这座六朝古都时一片白茫茫。多少的前尘往事，在这漫天的雪幕中若隐若现，恍若戏台上的鼓板琴弦之声响起，有才子佳人，士卒将相，他们冒着漫天大雪粉墨登场。在人群中，提枪男子陈池从远处飘飞的雪中一步步向我走来，和他一起出现的是一个叫大董的人，他们在南京城里各有爱恨，一文一武，性格迥异，但是他们的信仰相同。《残雪》的故事就此拉开帷幕，这是我写南京城的一个谍战小说，这也是“谍战之城”系列又一座城市的登场，或者说延展。小说从1942年南京城里一场冒着雪子的刺杀开始，整篇充满了雪的意象。我对雨雪向来情有独钟，总是觉得世界与人间，除了温暖的骄阳，还需要有温润的雨雪。即便是冰雨冷雪，让人瞬间清醒的透骨凉，也能让人愉悦。在雪的意象下，陈池和大董两名年轻的地下党员，一对特工双雄，在抗战时期，潜伏在敌人的内部，肝胆相照携手执行任务，最后大董牺牲在那个长夜未明之时。在我的想象中，这两个年轻的身躯，或许是一位我心目中无名英雄的分身，一文一武也许说的就是文武双全。小说穿插了陈池和会弹琵琶的女友苏海棠的爱情，他们一个来自杭州，一个来自苏州，也因此小说把上有天堂，下有苏杭中的苏杭，紧紧联结在了一起。这两座温婉美丽的城，不算大都市，但是又夺目而独立的存在。如果把这两座城比作人，那么这个人一定是舒缓与从容的，妥帖与达观的。
所以这个小说的主要发生地是在南京，但是延展开来的城市其实是杭州、苏州，也就是江浙一带的著名城市。小说结尾中提到的皮市巷，在南宋时候开始就是贩卖皮草的一条街，也是小说主人公陈池住的地方。小说的结尾，主人公陈池奉命锄杀了叛变的女友苏海棠，就是在西湖边著名的断桥上，而断桥相关的故事，是《白蛇传》；断桥相关的景点，是“断桥残雪”。
这个小说我写得很投入，也很酣畅，深深地沉浸其中，并被所有人的命运所牵动。比如甄美琴和金桂花，两位女地下工作者，除了任务以外，她们有青春，也有爱情，有鸡零狗碎的人间杂事，有一地鸡毛的情感纠葛。但不管怎样，《残雪》中所发生的一切，有肝肠寸断，也有人性抉择。写完这个小说，我在书房久久站立，脑海中浮现着残雪的场景。白雪零落，有些站在树枝上屋顶上还很高洁，有些在路边和污泥混杂在一起，有些被堆成雪人，有些正在默默融化。这世间万象，仿佛都隐藏在残雪之下，我甚至听到了残雪下面隐隐的水声。这人间悲欢，以及所有的意难平，也隐藏在残雪之下，令我难过，又令我心头欢喜。
小说家要寻找的，也许就是残雪以下深埋的往事。而春天，也是从残雪下那片温暖湿润的土地上开始的……
说回到“谍战之城”系列小说的概念，事实上在《残雪》之前，就有了一些各不相同的城市为背景的谍战小说，比方说《大世界》，故事就发生在有“小上海”之称的宁波，这是一个讲述替身特工和所谓废柴特工小组的小说。在抗战胜利的前一年，于上海“大世界”游乐场担任魔术师的朱三，本来是回家探亲挽救即将破败的婚姻，却没想到突然被安排顶替刚刚牺牲的同志陈昆。从此，他走上了另一条道路——从最初的只愿潜伏三个月，到最终潜伏九年，他好像真正成为了另外一个人。这期间，他有家不能回，亲人不能认，甚至目睹了至亲至爱的死亡。而他和他身边的这些小人物，无论是宪兵食堂的炊事员潘水，还是自我牺牲的甬剧演员小蜻蜓，他们的亲人与故人、爱恨与别离，融入了宁波这座城市的日常与历史。
而《苏州河》，故事的坐标移到了上海，写了一名警察的故事，小说的时间点发生在山雨欲来的解放初期和风雨如晦的旧上海，讲述了警察陈宝山在追查一系列离奇凶杀案的过程中，被卷入国共两党隐秘战线的故事。期间，陈宝山逐渐发现身边的妻子、徒弟、上司、发小、女友皆非等闲之辈，他们是最陌生的知己，最熟悉的敌人。而随着侦查案件的一步步深入，彼此之间肝肠寸断的纠葛，令人唏嘘的真相、艰难无措的选择接踵而来。正如小说的名字“苏州河”，无论是始终坚持警察信念的宝山，还是牺牲在黎明之前的炳坤，走错路的童小桥，人生的多少无可奈何，多少慷慨悲歌，多少身不由己，多少义无反顾，都似这河流一般，终将匆匆而过，而又生生不息。
城市在我眼里是一种性格、一种审美，也许城市是活着的，像一个人一样有五脏六腑和思想、灵魂。我迷恋那些建筑背后的往事，迷恋方言语调里的时代气息，并且用好奇的目光探寻社会环境背后深藏着的一些人事，这些人事构成了我笔下的故事。也因此，我对所有陌生的城市充满好奇，每座城市都有着各不相同的潜流与光芒，让城市变得迷人，甚至城市的上空偶尔有彩虹，但同时城市又深藏谜团、阴谋以及肮脏。对我而言，城市文学是一个多元混沌的世界，不同的读者都能从中找到自己的需求，也会看到小说中对应的自己。而“谍战之城”系列小说不停延展开来的，也许还会有舟山、厦门、哈尔滨等等城市。这样的写作方式，我从来没有考虑过意义所在，而是觉得我需要用文字，去进入城市的内部甚至核心，去生活，去爱恨，去体察，去思考，去成长。而且城市从来不是只属于人类，我们也可以想象用一只地下室的老鼠、一只流浪狗来看世界。城市有多大，城市小说就有多大，“谍战之城”系列小说的空间就有多大。
而我们每个人的内心，因了城市的暗潮与光辉，也成了一座坚固而精彩纷呈的城堡。
（作者系作家、编剧）
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立春前一天，陈池冒着稠密的雪子，去杀了一个人。
雪子在国府路街面上跳跃，也打在陈池的脸上和脖颈上，打得他的脸麻酥酥的。如果抬起眼皮向四下张望，漫天都是噼啪作响的雪子。陈池很喜欢这种氛围，他想起曾经在苏州城的观前街上，和女友苏海棠循着评弹的声音行走时，也遇到过一场雪子，雪子下着下着，就变成了鹅毛大雪。但不同的是，那时候他是在雪子下谈恋爱，现在他是要在雪子下杀人。
风吹得有些猛。陈池身子前倾，勾着头把脖子缩在大衣领子里，当他走进南京中央饭店的大门时，架在鼻子上的金丝眼镜差点滑落下来。走廊里迎面而来的清洁工侧身给他让道，对他说，先生当心。
317房间的门没关严，陈池抬头看了看房间号，确认没有搞错。作为背靠总统府的商业大楼，这里是军政要员和社会名流的欢乐窝，好些窈窕淑女惯会来事，常常在这儿预备了温柔乡等着某个大人物来推门，假模假式地畅谈文学艺术与理想。
和当年在苏州观前街的那场雪子一样，中央饭店外的雪子也慢慢变成了鹅毛大雪。寒意袭击着整座南京城，317房间内平头男子握着的剪刀却沾满了手汗。他打开门后，看到走进房间的陈池手里拿着一只公文包，猜测里面除了离开南京的船票，还装着一条金光灿灿的大黄鱼。陈池把包抓得很紧，说，规矩你懂，昨天抓到的那个女人可不值这个价。
平头男看了看他，顾自坐下又很快起来，警惕地说，昨天在电话里，你的鼻音很重。
陈池说，睡了一觉，感冒好了。
平头男又问，送我去日本的船票带了吗？
陈池说，不是去香港吗？
平头男又看了他一眼，问，你真的是更替更队长？我就是奇怪这世界上怎么会有姓更的人。
你到底在怀疑什么？陈池露出烦躁的神色，说，都是搞情报交易的，懂不懂富贵险中求的道理？
平头男笑了，说，但你忘了说后面三句，那是我娘告诉我的。她说后三句是：也在险中丢，求时十之一，丢时十之九。
平头男说完，还是松开了手里的剪刀。他认可了来人的身份，也最终将自己送上了西天。
一直到陈池重新走进漫天飞雪的国府路，平头男像一截歪七扭八的田塍路横放在317房间的地板上，他脖子上的大口子还在刺刺冒血，像田塍路上一条被挖开的缺口。这个横空出世的情报贩子昨天向特工总部南京区抛出了一个名字：甄美琴。她是南京区内部的会计主任，据说是汪精卫在离开重庆前的财务官，资历颇深。
陈池在漫天的飞雪中，扔掉了用来伪装的礼帽、金丝边眼镜，以及沾了血的外套和皮鞋，衣衫单薄地走进一家不起眼的成衣铺，像一个落魄的流浪汉。老板对他的挑选和付钱速度颇为惊讶，要不是手里真切地攥着几张钞票，他会误以为刚刚只是一场短暂的梦境。
但陈池不会忘记刚刚在平头男那里听到的情报，他抛出了一个小吃店的名号：福源记。平头男甚至锁定了最为可疑的一分子——鼻头上有一颗很大黑痣的女老板金桂花。
作为南京区行动处的机要秘书，陈池文质彬彬。他喜欢看《红楼梦》，总是惊讶于一块石头和一株仙草的爱情怎么能如此惊心动魄。他和苏海棠讨论过这个故事，喜欢评弹的海棠抱着琵琶说，林黛玉一生都泡在了眼泪里，她来人间是受煎熬的。陈池有时候会喜欢这种虚幻的东西，本质上他是一个文人，并不喜欢出任务。当初苏海棠还送给过他一支宝塔牌口琴，在上面刻了一个字母“H”，并且告诉他最好学会李叔同的《送别》。陈池问为什么，苏海棠说，因为人生之中充满着无数次的送别，所有的人到最后终须告别。苏海棠接着又歪着头笑问，我总是在想，我们该怎样告别呢？
陈池除了爱好讨论这样的文艺，还喜欢坐在办公室陪同长官开会。要在特务机构里混得好，首先得成为长官的自己人，这是他的处长王英法常常教导他的话，王英法自己就常常为曾是中共的出身而烦恼。王英法说要不是以前的这一层身份，他也不会受枪伤，也不会至今都让芳姐来护理自己残缺不全的身体。不过，陈池还是欣然接受了王英法前几天派给他的秘密任务，暗中监控二队队长大董。王英法是什么时候怀疑上大董的，陈池不得而知。他只知道王英法是条狗，鼻子很灵。王英法这样对陈池说，你的身份是文职秘书，你执行任务不会引起别人的怀疑。
要不是这次能有出外勤的机会，陈池觉得自己很难将锄杀平头男的事情做得无声无息。可到了当天下午陈池就意识到，真正的天衣无缝根本就不存在。
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平头男真正的接头对象，其实是行动处一队队长更替。大家叫他更队长，也有人叫他老更。他们能接上头是因为一则刊登在《盛京时报》上的“悬赏启事”。启事是行动处花钱搞的，常年在报纸上征集有价值的情报。至于什么叫有价值，最终解释权在花钱的人手里。但是老更却跑到报馆，私下里收买了主编，把启事上的联系方式变成了自己办公室的电话号码。
令老更没想到的是，处里当会计的同事甄美琴竟然是内鬼。她的落网让老更尝到了甜头，觉得从地底里冒出来的那个平头男真是个不错的交易对象。他除了会提供准确的名字，还能说出甄美琴刚刚为某某某办理了“良民证”。最可贵的是他在什么甜头都没有尝到的情况下，就毫不吝啬地对着一根电话线说出了这么值钱的消息，这说明他还稚嫩。在老更眼里，稚嫩是一种美德。得到这样的消息，他为数不多的头发都禁不住随风飘逸起来，兴奋得想要去新街口的国际联欢社找他的老相好小茉莉，连续跳上至少十支探戈舞曲。
平头男嘴里的某某某姓韩，是一个吊足了老更胃口的大人物。老更听说过他，是具有延安背景的高级别领导人。老更在心里盘了盘，如果能抓住这个姓韩的，他就依旧可以和顶头上司王英法掰一掰手腕。王英法和老更不对付是处里公开的秘密，老更不服王英法的原因很简单，就是王英法没有能力却占着处长的位置。王英法有头痛病，时常需要针灸治疗，而且他失眠多梦，眼睛怕光而常常迎风流泪，腹部中过枪，肚子上的枪眼差点要了他的命。这种需要护理员芳姐时常照顾的病人，竟然当上了处长，所以，不服！
甄美琴是在财务室整理一份报表的时候被老更带走的，她看上去很慌乱，还差点打翻了一瓶英雄牌墨水。甄美琴说，你这是什么意思？老更说，我也觉得找同事的麻烦太不够意思。甄美琴被两名特务押走，走到楼梯拐角的时候，看到了二队队长大董正在骂他手下的小特务。他在抽烟，他抽烟很凶，喜欢掌心向外用拇指和食指捉住香烟的屁股一阵猛抽。他抽完一支烟的时间，顶多只是老更抽三分之一支烟的时间。看上去大董把烟雾全部吞进了肺里，很节约似的，舍不得让一缕烟逃出嘴巴。大董看到甄美琴从他的身边被押解着走过，感到有些意外，说，更队长，这是因为工资迟发了几天就要逮人吗？也太无法无天了。老更笑了，说，一队的事，二队最好不要管。他走出很长一段路以后，又听见大董骂小特务的声音，好像大董还动了脚，因为他听到大董有一句话是这样说的：踹死你个没用的东西。
按照甄美琴的斗争经验，她辩称所有对她的指控都属于污蔑，说特工总部南京区是什么地方，蛇鼠一窝的特务老巢，同事之间相互倾轧、压榨、残害也是常有的事。可老更还是决定对这位同事不客气。
当天夜里，甄美琴被拖进了审讯室。在将两拨大汉轮流累倒后，她在第二天天光大亮时，第五次昏死过去。老更允许她趴在地上肮脏的血水里，沉睡整整一个上午的时间。老更是这样想的，痛苦和幸福形成对比，才能让人做出理智的抉择。
到了中午，睁开眼的她看到了一双不大的皮鞋。老更嘴里叼着一根烟，蹲下身，问她想吃米饭还是面条。甄美琴吐出一口血水来，用尽了全力但发音仍然含混。她说，老更你太瘦了，瘦得像个奸臣。
甄美琴说完这句话就闭上眼睛重新进入昏睡。老更叹了口气，又深深地吸了一口烟，他确实瘦，但这不是他的错。特务们背后议论的是，老更瘦到屁股都没有了。老更又抽了一口烟，然后走到甄美琴的身边，将烟头揿到她脸上。皮肤烧焦的吱吱声就在这个大雪纷飞的天气里响了起来。甄美琴闻到了一股皮肉的焦味，她想喊，但她的嘴唇却因为干裂而黏在了一起，所以她只能发出含混的声音。
别给脸不要，把姓韩的下落吐出来。老更说，否则你就会像一条狗一样死在这里，最后被扔在大街上的雪地里。
甄美琴还是不说话。组织的纪律告诉她，一个合格的潜伏者必须知道什么该说、什么不该说，尤其在面对酷刑的时候。作为下线，甄美琴不仅受金桂花的直接领导，而且还要看金桂花的各种脸色。她每周去火瓦弄的福源记吃十只牛肉锅贴，接受金桂花命令，或者交接情报。所以在很长一段时间内，她觉得情报大概都是有牛肉味的。
在甄美琴的印象中，每次她和金桂花之间交流的时间都很短，短到有时候她们连相视一笑都来不及。甄美琴暴露前去过一次福源记，为即将进城的韩书记送一本“良民证”。那时候已经接近黄昏，由于离过年只有十来天，街道上已然有了欢庆的前兆，总会零星出现一些置办年货的人，当然巡逻的日本宪兵也不少。那天的接头平平无奇，金桂花穿梭在福源记各色食客之间，冷着一张脸，好像有些不太耐烦地将一盘牛肉锅贴扔在了甄美琴的面前。那天稍晚，一本“良民证”到了金桂花的手中。
老更刚才的问话让甄美琴不安的心终于落了地，他并不知道韩书记的下落，这就说明福源记还没有暴露。老更好似看透了她，说，甄会计，你也许还不知道，你的暴露是被你们自己人出卖的，我一点钟就要去见这个人。你要是现在不招，到时候你还有没有价值、能不能活命，就不好说了。
话音刚落，一旁的小特务就疑惑了。他分明看到此刻墙上的时钟，已经显示为下午一点一刻。
十五分钟后，老更在中央饭店317房间看到的是已然身亡的平头男。平头男微张的眼神充满了迷茫，像是在诉说无法在有生之年与真正的更队长相见的遗憾。老更在房间里细致地走了一圈，发现窗户没有关紧，缝隙里吹来的风扑向他，让他打了一个重重的喷嚏。加剧的感冒让他在这一刻忽然失声。
后来，酒店清洁工站在他眼前，盯着老更的皮鞋看，看了很久，最终说，那人穿了一双和你一样的皮鞋。
老更穿的鞋子是处里统一配发的，和他穿一样的鞋子——难道凶手是处里的某个人？老更的喉咙翻滚了一阵，吐出含混不清的三个字：哪个人？
可疑的人，也许就是凶手。清洁工说，而且，他左边鞋子的后跟快掉了。清洁工的话音刚落，一旁的小特务又有疑惑了。他发现地上平头男的裤袋里有一块满是新鲜油渍的手帕，那气味和福源记的牛肉锅贴一模一样。小特务于是问，更队长，一个叛徒在拿着金条跑路前，难道还有心思大老远地跑去吃锅贴吗？
三
穿着新衣新鞋的陈池钻进了一辆小汽车，驾驶座上是他的手下阿庆。行动处二队队长大董正在福源记里吃鸭血粉丝汤，而他又是王英法授意跟踪的对象，阴差阳错地，平头男嘴里说出的这家小吃店也是福源记，这让陈池理由充足地来到永宁街上，顺理成章地走进了这家小店。陈池在车上的时候，脑海里一直回荡着几天前王英法处长的话：大董这个人，姓蒋姓共还是姓汪，有点看不清。王英法是在办公室里对陈池这样说的，说完这些的时候，陈池发现窗外的南京城正下着一场冬雨。芳姐就是在这时候拎着一只布袋，手中提着一把滴水的黑色雨伞，出现在他的办公室。芳姐看了一眼陈池，从布袋里拿出一些艾条说，英法，我来给你做艾灸。说完芳姐就垂下眼，不再说话，沉默得像她并没有出现一样。在陈池的记忆中，那天雨伞尖跟着芳姐进门时滴落一长串黑色水渍，在地上标下了一串省略号，像要省略掉一个寒冷的冬天。陈池在摇晃的汽车里回忆起这些的时候，总觉得芳姐的安静有一种无声的力量。芳姐来自湖州长兴县，那儿是王英法的故乡，据说他们都住在一个叫小浦的镇上，那附近有一片沉默地生活了几百年上千年的银杏，在适宜的秋季，所有的银杏叶都选择一片金黄……
叫水根的年轻伙计拎着一大筐菜走进福源记，压在菜筐头上的是一只已经被割开脖子煺了毛的老母鸡。这种午后才去菜场买菜的伙计真叫人头痛，好在金桂花并不责怪他懒惰，还夸奖他买的鸡够肥。事实上金桂花知道水根是贪睡，十六岁的年纪让他开始长出青光光毛茸茸的胡子，喉结也已经变大。白天上工的时候，有好几次他能趴在油腻的桌上睡着。这也难怪，长身体的时候谁不是这样。但是有时候他站在那儿就能睡着，而且不会倒下，这多少有些令金桂花感到费解。
水根似乎对大董风卷残云般的吃相产生了好奇，回过头偷瞄了好几眼。大董吃粉丝汤的时候，会不时喝一口酒。他手里捏着一把银质的扁酒壶，壶身上雕着一只老鹰，还印着一行洋文。水根对那把银酒壶产生了好奇，同时觉得用汤来下酒也是一件奇怪的事。金桂花不高兴了，她鼻头的黑痣有点痒，抓了几下后，给了水根一个略显粗糙的毛栗子，压低声音斥责，有这么看客人的吗，你第一天当伙计？
金桂花说完，回头望一眼沉默的大董，想起不久前一个阴冷的雨天，大董来吃鸭血粉丝汤，临走的时候刚好在门口和她挤在了一起。金桂花记得大董笑了，眼角荡漾起很浅的鱼尾纹。他伸出手，从金桂花的头发上摘下一片鸡的绒毛。大董说，我以为是一片雪花，但它一直没有融化。这让金桂花有些不知所措。
大董吃完粉丝汤，收起那把酒壶就走，陈池和阿庆也得跟着走。老更却风驰电掣地正在往这里赶。福源记此刻成了南京城一等一的特务集散地，其背后的凶险，金桂花并不是一无所知。
几分钟后，金桂花出现在后厨，她面对来自高邮的厨师大春子的脸色很臭，说，大董来过了。
大春子说，我的乖乖，今天不是接头的日子，他跑来干什么？
金桂花说，他不是来接头的。
金桂花记得在店堂里大董自始至终没有看过她一眼，连话都没说一句。他只是走进福源记的店门时，对着空气说了一句，鸭血粉丝，不要香菜。但他在等待粉丝汤上桌的时候，敲击桌面的手指始终没有停过，这是双方熟悉的摩尔斯密码。大董敲出了六个字：我或暴露，速撤。
打完摩尔斯码后，大董有片刻的犯难，他不知道要不要告知甄美琴被抓的情况。一来他并不知道昨晚突然被老更带进审讯室的甄美琴是哪一方的抗日力量；二来即使甄美琴是我方人员，他也不知道其接头的交通站是否和自己一样，也是在永宁路上的这个福源记小吃店。但他很快做出了决定，继续在桌面上敲出了五个字：甄美琴被捕。
这加起来的统共十一个字，简直要了金桂花的命。
今天的福源记并不是一个纯粹的交通站，它的后院房间里有一个长者和一个孩子。房间的桌上摆着两碗漂着葱花的鸡汤，窗户玻璃上贴着红彤彤的骏马形状的剪纸。韩书记躺在床铺上闭目养神，六岁的小男孩毛头啃着一只大鸡腿，正看着窗外的雪景出神。他的脸上还有两条没有完全干透的泪痕，那是因为他在经过日本街上的高岛屋百货商场的橱窗时，看中了上紧发条后会敲鼓的小西洋人玩具。那个小西洋人的眼睛很大，鼻梁非常高，是用白铁皮涂上彩色颜料做成的。金桂花并没有买给他，说，这破洋人就是鼻梁高一点，眼眶深一点，凭什么卖那么贵？再说你娘并没有给我钱，我是免费养你，你说我是不是比你娘还亲？
毛头说，那算我欠你的，等我长大了挣钱还你。
金桂花就笑了，说，你姓林，你叫林毛毛，我和你们林家没有半毛钱关系的。
毛头显得很失落，他的眼神恋恋不舍地从敲铁皮鼓的小西洋人身上撤回，然后怏怏不乐地跟金桂花回了福源记。
此刻听了金桂花的汇报，韩书记缓慢地睁开了眼睛。从昨天进城开始，一切都在失控。先是他中了埋伏，小腿上中了一枪，是贯穿伤，再是甄美琴被捕，然后是大董的行踪被监视，仿佛在一夜之间，一年前那场灭顶之灾即将重演。
一年前，韩书记是南京某条地下战线的一号首长，王英法还没有叛变，是他的秘书。
那天，王英法穿了一件格子西装，像一个纨绔子弟一样以看电影的名义去大华大戏院接头，可一在位置上坐下，他的脑袋就被顶上了一把枪。接头人叛变了，第一个出卖的就是他。王英法看着身旁四散而逃的观众，以为自己不会动摇信仰，可等来人叽里呱啦说了一通日语，翻译官又一字一句地讲给他听的时候，他马上改变了主意。
翻译官说的是，就地枪决。
翻译官就是老更。
王英法带着悲壮的神色说，我带你们去抓人！
那次带队在秦淮河边的箍桶巷的围捕发生了枪战，王英法受了重伤，腹部中枪让他在浦口铁路卫生所躺了一天一夜才醒来。在他昏迷的过程中，不停地做着同一个梦，那就是在一片荒原里奔跑，好像四处都是方向，又好像四处都望不到出路。最后他的梦境中出现了老家小浦镇的一大片遮天蔽日的银杏林，他在林子里行走，遍地都是金黄的落叶，但每棵树后仿佛都藏着瞄准他的一个个枪口……他是在恐慌中醒来的，醒来时汗水把他整个身体都浸湿了。在这家日本人的军事医院里，只有一个人来探望过他。那人带来了一份报纸。王英法是在报纸上看到了昔日的同志们遭围捕后的消息。报纸上有两张照片，一张是一片狼藉的现场，表明当时战斗的激烈；一张是遇害的六名中共战士，他们并排躺在地面上，显示“战果”的丰盛。王英法在这些人的脸上来回横跳着看，确认韩书记还活着。他当时想，幸好我也活着。
大约还有五个钟头，福源记后院屋里的韩书记就会意识到，当下的局面或许更加棘手——金桂花向他汇报，福源记被盯上了。想撤，谈何容易。后院的雪花还在悄无声息地飘落，韩书记没有任何的头绪，他就像这些飘飞的雪花一样，落在地面上，不知道该何去何从。
四
陈池尾随大董回到了行动处，车子开进院门的时候，黄昏也同时来临。陈池看到雪地里停着一辆车，几名行动一队的特务撕扯着一名短头发的满脸血痕的女人从车上下来，一名特务推了女人一把，女人回过身来，愤怒地盯了特务一眼，转而把目光投向深邃的天空。天空像一个巨大的乾坤袋，好像有永远也落不完的雪。老更敞着怀兴致勃勃地冲进雪地里，他冲到女人面前，一把揪起女人的衣领说，你终于还是落到我一队的手里了。
这时候，本来已经走到楼梯口的大董又折了回来，他叼着一根烟走到老更身边说，这女人姓蒋的还是姓共的？老更得意地笑了，说，姓共的，从上海过来的，我派人在慧园里那片石库门蹲了一个礼拜，终于被我一队逮到了这条大鱼。她的代号是“骆驼”。
大董于是也笑了，走到女人面前，朝着她的脸喷了一口烟，说，女骆驼，你运气不好。然后回过头来对老更说，你口口声声一队一队的，你的意思是功劳都是一队的？你放心，我二队绝不抢功，只要王处长认就行。
老更冷笑了一声，说，王处长上头还有特务课真田大佐，还有上海76号总部。
大董又点了一根烟，说，如果我没有记错，更队长和王处年龄差不多吧。
老更的脸色变得发青，他知道要等到王英法调走或者晋升，他才有机会接任处长，想到这里，他的心头就升起了一丛莫名的火焰，火焰中爆出许多火星一般的悲愤。那天老更狠狠地朝短发女人的肚子上踢了一脚，这一脚来势迅猛，女人随即倒在雪地上，身子蜷成一团，痛苦地呻吟着。陈池就在这个时候走了过来，他走到女人身边，蹲下身抱住了她的肩，抬头朝老更说，狠了点，人家没说不招。
老更可能是觉得脸上有些挂不住，冲上前又是一脚。谁也不知道，这时候王英法正站在办公室的窗前，看着黄昏的天空黑沉沉的一片，可能另一场雪又要来临。他望着老更像疯子一样双脚起跳，又狠狠地踩在了女人的脸上。然后他矮下身，揪着女人的头发说，那就不带你去刑讯室了，你马上告诉我，你的同党都有谁？
女人翻了一个身，仰天躺在雪地里，嘴唇哆嗦着说，给我点烟。
那天的烟是大董替她点着的，他将两支烟叼在嘴上，一次性点着了，然后将其中一支塞到了女人的嘴里。女人对着天空喷烟，一会儿一支烟就被喷完了，她抽烟的速度和大董有得一拼。最后她向天空吐出了烟蒂，闪着火星的烟蒂在空中打了个转，带着一丝红亮的火光落入雪地中，发出一声脆响。这时候陈池看到女人头上的血把一丛头发黏在了一起。女人的目光十分温和，她说，更队长，假如我告诉你我的同党，你是不是可以放了我，并赏我一些大洋，以及一顿丰盛的晚餐？
老更的皮鞋踩得积雪嘎吱吱地响，他说，当然，外加一瓶红酒。老更一边说一边蹲下身去时，陈池听到了一声惨叫。老更的左脸被女人张嘴咬住，一小片肉被撕了下来，女人顺势呸的一声，吐在了雪地里。满嘴是血的女人狂笑着，恼羞成怒的老更在疼痛中拔出一把刀，一刀扎进女人的喉咙，顺势扭动了一下刀柄，血瞬间溅湿了老更右手的袖口。
那天陈池看到女人的喉咙张开一个口子，不时喷着血柱，很快一张八仙桌大小的雪地上便喷满了血水。大院的路灯光就是在这时候亮起来的，光线柔和，洒在院子里的雪地上。鹅毛一般的大雪也在这时候飘落下来，一朵朵落在那片带着血水的雪地上。在陈池的记忆中，那天的黄昏出奇安静，每个人都像是在演着无声电影。老更捂着脸，手指缝中全是黏糊糊的血，他一跳一跳，像一只袋鼠行进在雪地，他要去医务室包扎他的伤口。王英法从楼道里平静地出来，一名小特务替他撑着黑色的雨伞，两人径直走到了女人的面前。他看了一会儿地上的尸体，说，她一定姓共。
那天陈池看到大董和几名二队的特务在不远处谈笑风生，每个人说话的时候，嘴里都喷出一团热气。他听得最清晰的一句是大董说的。他说他妈的，这世界上所有的恶行，都被大雪覆盖，伪装成洁白无瑕的样子。大雪是帮凶，大雪真不要脸！
王英法的声音再次响了起来，他对身边的小特务说，按惯例午夜十二时从后门拉走，扔到西郊去埋了。王英法说话的时候缩着脖子，说完就走回大楼。他可能是有些怕冷，所以大衣领子一直竖着，走路的步幅比平常大了很多。陈池从办公室里拿来一床毛毯，那是他中午休息的时候用的，他将这床墨绿色的毛毯盖在了女人的身上。大董就笑了，说，你挺善良的，你这样的文人，娶谁谁都会觉得幸福，不知道哪个姑娘有这运气。
陈池从雪地上站直身子，紧了紧呢子大衣的衣领说，我们处里的人，一个都没有这个女人坚强。为她盖上一床毛毯，让她走得体面一些，也是应该的。
大董说，你就不怕处里别有用心的人怀疑你通共？
陈池说，我不怕。要是我真的通共，我就不敢为她盖上毛毯了。
大董说，说得也是啊，不过也许有人喜欢用障眼法，越大胆越安全。
陈池说，你这是什么意思？
大董掏出了那把银质的酒壶，喝了一口酒，说，从古至今，书生杀起人来也不眨眼。
那天雪地里的对话，是陈池和大董共事以来最长久的一次对话。一个是行动处处长秘书，一个在行动二队，一个文，一个武，之前他们不相往来，只有在食堂里遇见时的点头之交。此刻在一片路灯光的映照下，漫天的大雪下得有些温暖，同时夹带着少许的苍凉与悲壮。大董把酒壶递给陈池说，来一口，凶猛又温和的山崎，日本货，我正想喝着酒唱一首日本小调。陈池摇头说，我不喝。大董就掏出一包烟来，说，青岛烟厂专为日本海军定制的旭光牌香烟，来一根？陈池说，汉奸。大董笑了，说，咱们都在这特务机构里替日本人和汪精卫卖命，本来就是汉奸。
大董后来索性抽起了三支烟，左嘴角、右嘴角和嘴巴中间各叼一支，他掏出一只真田大佐送给他的登喜路打火机点着了，朝天喷了三缕浓重的烟。大董说，难得这个大雪天杀人夜，我们竟然也有机会聊聊天。你是个书生，我对书生很敬仰，我弟弟小董也是个书呆子。我听说你们能把所有的花草树木、风霜雨雪还有月光写成诗文，在我眼里看到的这些景象，和你们眼里看到的是不一样的。但我们当汉奸是一样的，混口饭吃也是一样的。我就是想不通，你们这样的书生不喝酒不抽烟，人生没有快乐的时光，那你做人有什么意思？
陈池说，快乐也不是一定要烟和酒才能带来的。
这时候许菲菲摇着腰肢，深一脚浅一脚地一步步向大董走来，她的手里拿着一条羊毛围巾。许菲菲把这条浅灰色的围巾递给了大董，说，呀，你这是要冻感冒的呀，你身板硬也不能跟老天爷对着干啊。大董大笑起来，猛地吹了一声响亮的口哨，然后把脖子伸了过去说，你怎么知道我身板硬，或许陈秘书的身板才硬呢。许菲菲替大董把围巾围好，一边围一边说，你这个流氓。接着她热情高涨地想要和大董约一场舞会。大董说，最近忙，连寻死的时间都挤不出来。你先回办公室，别冻坏了。许菲菲看了雪地上的女人一眼，说，别在死人边上待着，晦气。说完她又一扭一扭地向大楼走去。大董说，你看，女人说女人晦气，不厚道。
她好像有点喜欢你。陈池说。
不是有点，是有很多点。大董的语调听上去有些得意，他说，我同许菲菲说过，你别跟着我，我姐姐说了，我娶媳妇是要她给掌眼拍板的，过不了我姐那一关，根本没戏。再说我满脑子想着去舞厅找女人，你怎么受得了？许菲菲说，流氓！我说，那你别跟流氓眉来眼去。你要找就找陈池去，他文人，合适。许菲菲于是大笑起来，说，文人更流氓。
陈池望了一眼雪地上的女人，说，我们在一个逝去的灵魂边上谈男女的事，不合适吧。大董灌了一口酒，又把酒在女人身边的雪地上洒了一圈，威士忌的清香迅速地弥漫开来。大董边倒酒边说，到底是文人，说出来的话就是不一样。
在这样的清香中，陈池先一步离开，走向大楼。大董说，喂。陈池站住了，说，我叫陈池，不叫喂。大董说，喂，陈池，我也姓陈，我是哈尔滨人，你是杭州人，但不管任何地方，都是中国的陈。
陈池说，可是中国破了。
大董愣了一下，想不出该怎么接话。陈池接着说，你不是叫大董吗？
大董说，我娘姓董，所以我其实叫陈大董，甄会计知道。我弟陈小董，在美国读书呢。我还有一个姐，她跟我娘姓，叫董东，取了陈字的半边。
陈池说，你为什么要告诉我这些呢？我并没有兴趣。
大董说，你没兴趣跟我没有关系，我说仅仅就是因为我想说。也许是该死的下雪天无聊透顶，不能干点什么，好歹就说点什么吧。
陈池不愿再理会他，而是向大楼的楼道口走去。这时候从一辆黄包车上下来一位穿青灰色棉旗袍的女人，正是王英法的护理员芳姐。芳姐拎着一只布袋，从门口进入院子，并且迅速地赶上了陈池。他们几乎是同时走进王英法的办公室的。王英法一直站在窗口，望着院子里越下越大的雪。这让他开始想念家乡长兴的雪，长兴的雪总是下得比较飘逸。而王英法最喜欢看的，其实是雪落在池塘里，瞬间消融，雪终于成了水。
透过玻璃窗往院子里张望，大董竟然捏了一只雪球，他举起银酒壶喝一口酒，再咬一口雪球。当陈池走到王英法的身边时，他顺着窗口和王英法共同看到了这一幕。于是陈池说，我从来没有看到过有人用雪下酒的。王英法说，你是文人，你说说你最喜欢古人写的哪一句和雪相关的诗。陈池想到了陆游，也想到了郑板桥，但最后他想了想，说，刘长卿的“柴门闻犬吠，风雪夜归人”。
王英法说，为什么？
陈池说，因为苍凉。
也就是这时候，芳姐将布袋里的一饭盒锅贴拿出来，轻轻放在了桌面上，说了两个字，趁热。接着她又说，你们对女人下手那么狠，不怕遭报应？王英法的脸沉了下来，咬着牙一字一字地说，这年头，不是你死就是我活。
五
芳姐后来在王英法的催促中离开了行动处，她走的时候朝陈池很浅地笑了一下，笑得蜻蜓点水。她和王英法一样，来自湖州长兴的小浦镇。王英法腹部受伤后，带信让家里人帮忙从老家找来一个细心的女人护理自己的生活。望着芳姐离去的身影，陈池觉得她是自己很想拥有的一位姐姐，像棉花一样温暖而且得体。
大部分时间里，王英法的两片薄嘴唇总是很识相地贴在一起，他觉得男人不应该靠语言建功立业。他看着泛油的锅贴，胃里升起一股子酸味。医生说他有反流性食管炎，要吃得清淡。要命的腹部枪伤痊愈后，他匪夷所思地落下了头痛病，需要时常做针灸。而且他还失眠，毕竟在秦淮河边的箍桶巷欠下了组织六条人命。此外他还怕光怕风爱流泪，所以喜欢戴墨镜、围围巾，或者拉紧窗帘，生怕光线经过他的身体。只有面对陈池陈秘书时，他的眼神才会透出些许亲近，这是救过他命的小兄弟。
一年前，那个拿着报纸来浦口铁路卫生所探望他的人就是陈池，陈池还给他输了两大袋血。王英法记得，那天下了小雨，陈池的头发湿答答地耷在头皮上。看到他醒来，陈池笑着说，大难不死，必有后福。王英法听闻后，用力点了点头，他记得当时有一道闪电在玻璃窗外直冲而下。那记闪电撕裂天空时的雷鸣，让他担心窗户上的玻璃会突然裂开。
当王英法从陈池嘴里得知对二队队长大董的监控毫无进展时，他用力拍了一下桌面，说，我要你有什么用？陈池并不争辩，他自顾自吃起了锅贴，说，你就不该和老更在工作上较劲，你是他领导，何必自降身价。
王英法不说话了，即使面对自己的小兄弟，他也想独自守住机密。就在今天一早，他安插在中共南京地下交通站的奸细“杨科长”给他通报了消息，八个字：向日葵已含苞，待放。这是暗语，意思是，一号人物韩书记已进城，“野火春风”会议即将召开。
就在今天，老更下面的人抓到了一名代号“骆驼”的女嫌疑人，不过被老更情急之下当场捅开了喉咙。而在昨夜，老更不知道从哪里得来的消息，差点活捉了进城的韩书记，还将在行动处内部隐藏极深的甄美琴挖了出来。这让王英法产生了深刻的危机感，老更频频出彩的动作，说明他带队伍有自己的一套，并且最大的可能是找到了一个可靠的线人，这才让他能够如此精准地抓人。接下来就是老更居功自傲的日子。当初王英法上任处长时，老更就借酒浇愁，喝醉了掀酒桌，说，好狗不挡道。这意思是王英法挡了他上升的道。
王英法猛地站起来，一把拉住将最后一个锅贴扔进嘴里的陈池，又控制住忽然惆怅的心绪，目光捉摸不定地瞥向远处，说，关键时刻，你还得帮哥哥一把。
这时候老更推门而入，他的脸上贴了一块白色的纱布，没有完全洗干净的血迹让他的脸看上去显得有些滑稽。看到王英法和陈池并排站在一起，好多往事就如一缕烟一样在他脑子里飘过，比如当年叛徒王英法因为出卖的共产党员够多，在共事了一段时间后，突然从二队队长成了自己的顶头上司，而本来这个处长的位置应该是他的，这让他感到强烈的绝望与愤怒。可此刻，当他脸带微笑开口的时候，脸上却看不出一丝波澜，甚至恰到好处地表达了恭敬。他把中央饭店的命案简单汇报了一下，带着浓浓的鼻音说，我的线人在中央饭店死于非命，凶手就在我们行动处内部。
更队长好像感冒了？王英法展现出领导的关爱，说，身体不好的时候，脑子容易不灵清，任务失败也是情有可原。
老更立即更正说，没有失败，我们就要抓住隐藏在内部的奸细了。
是你！王英法话锋一转，故意停顿片刻，说，是你就快要抓人了。王英法加重语气，脸上却带着笑容，说，就是因为你自作主张才出了纰漏没法收场，你还知道所有的行动和计划需要提前汇报吗？我再问你，今天傍晚死在院里的女人，又是怎么回事？
那是我一队的兄弟接到线报后，蹲守了好几天才逮到的。
王英法的眼睛死死盯着老更，问，你为什么不提前汇报？你是想造反吗？
老更冷笑了一声，说，我又不知道线报的真假，万一浪费了人力呢？只能让兄弟们辛苦一下蹲守试试。怎么着，你很怕有人造反吗？
陈池不记得这两人后来还说了什么，他最后只听到王英法叹了一口气。王英法重新坐下，对着空气挥了挥手，说，通知下去，今天下午出过门的所有人员到会议室集合，配合更队长筛查内鬼。
后来陈池和阿庆站在了会议室门口，陈池盯着自己脚上的布鞋发呆，懊悔不该将皮鞋草草扔了。阿庆的耳朵贴在门上，说，现在在里面接受问询的是总务科的许菲菲，她说自己下午去中央商场逛了逛，过年了想买件皮草，但没舍得下手。站在门口的小特务让阿庆闭嘴，不许偷听和喧哗。
大董在这个时候两只手指掐着烟，摇头晃脑地走了过来，故意装作很有礼貌地问小特务，请问，我可以说话吗？大董在平常绝对不是有礼貌的人，所以小特务看着大董队长笑着的脸，心中慌乱。大董一脚踹开了会议室的门，他叫许菲菲赶紧走，别浪费时间，还叫老更赶紧来看看他脸上是否写着“我是凶手”四个大字。陈池听到了大董的吼声：姓更的你疑神疑鬼，可能需要去精神病院住院治疗！
老更没看大董的脸，他脸上缺了一块肉的地方不由自主地扯动了几下，随即感受到了强烈的疼痛。这样的疼痛扯到了他的牙神经，于是他只能用一只丰厚的手掌盖在自己的右脸上，然后低头看了看大董走进会议室的双脚，对一旁的小特务们说，抓起来。
大董是被小特务们一拥而上制服的，他脚上的鞋子被踩掉了。这时候许菲菲的尖叫声也响了起来，她想要挡在大董的面前，说，你们不好随便抓人的，更队长，你说大董是不是你同事？老更就笑了，说，许菲菲你那么单薄的身子，怎么能挡得住？老更笑完了，脸一沉，一把拉开许菲菲，然后上前拎起大董被踩掉的左脚那只鞋，确认其后跟已经几近脱落。老更等大董不再挣扎，才蹲下身，一动不动地看着他。老更的眼里满是明察秋毫的自信，他轻声说，坦白从宽。
几分钟后，大董被铐在了审讯椅上。他数了数墙脚有序摆放的各类刑具，冷笑一声，说，老更，你想屈打成招，我知道你的手段。
老更一言不发，从容地拿起几件刑具放在审讯桌上，一字排开，他的手指像是在钢琴的琴键上依次走过一样，在刑具上一一抚过。小特务们知道老更的意思，这是要按照从左往右的顺序依次使用刑具。大董终于呈现出些微的紧张，细密的汗珠布满了额头。他说，王处长知不知道这件事？
老更拿起一把三角形状的烙铁，很像是举着一条眼镜王蛇。老更朝着烙铁虚无地吹了一口气，说，你说呢？
老更后来回到了他的办公室，拿起电话，询问另一头的小特务，说，怎么样？
小特务此时躲在福源记对面泰和旅店房间内的窗帘后，隔着时大时小的飞雪和偶尔经过的几场风，盯着福源记门口。小特务对着话筒回答，队长你快来，这里问题很大很大。
事实上，老更一直派人盯着福源记，从看到大董和陈池前后脚离开这个小吃店后，他就改变了直捣黄龙的行动策略。他决定等。他是这样告诉自己的，好饭不怕晚。
小特务一刻不停地监控了福源记五个钟头，金桂花则如坐针毡了五个钟头。在这五个钟头里，金桂花几乎能听见时针走动的声音，也能听到雪花飘落的声音，同时她还在这样的声音里，预设了所有的可能性和结果。终于等到一片比较硕大的雪花落在她店铺的后院时，她做出了决定。
过了下午六点，天已经完全暗了下来，金桂花提前两个钟头关上了店门，将后厨还没卖完的锅贴、鸭血粉丝以及大半只鸡端上了桌，甚至拿出了一瓶绍兴花雕。厨师大春子很疑惑，说，我的乖乖，看上去花姐的兴致好得不得了。金桂花不作声，将三只酒杯倒满，第一杯递给了睡眼惺忪的伙计水根，问他，喝过酒吗？水根将黄酒一口灌下，又问金桂花要酒，说，花姐，我会喝，我爹是个酒鬼，我是酒鬼的种。
水根又着急忙慌地喝下一杯，然后剧烈地咳嗽起来，边咳嗽边说，不是酒的问题，是太急了，喝到气管里去了。金桂花又问，水根你今年多大？水根说，过完年就十七了，是大人。金桂花发现才十六岁的水根已经有了青光光的胡楂，她将手里的酒一饮而尽，说，花姐提前给你过十七岁生日，祝你长命百岁。
金桂花转向大春子，将剩下的一杯酒递给他，也给自己的酒杯满上。大春子脸色凝重，问她到底怎么了。金桂花叫他喝酒，等两人一同咽下嘴里的酒，她说，提前给大家过年了，祝我们吉祥如意、万事顺心。
说吧，什么命令？大春子放下手里的酒杯，将腰间的手枪拔了出来，说，我今天右眼皮老是跳，我有心理准备。
金桂花看了看眼前的两人，说，你们不觉得最近有问题吗？
说完话的金桂花一刻不停地往里屋走去，好像给摸不着头脑的两个人留下了一个千古谜团。
你知道有什么问题吗？水根问大春子，他的嘴里喷着酒气，说，我头稍微有点晕，可能是需要睡一会儿。
大春子愣了很久，忽然握住了水根冰凉的手，说，我的乖乖，我晓得了，是安静。福源记太安静了。人最安静的时候就是死了，福源记最安静的时候就是有凶险。
福源记对面的泰和旅店是个花花世界，每天有人搓麻将、开派对，嘻嘻哈哈好不热闹。可眼下，那里安静极了，靠近大门的房间倒是有人在打麻将，但四个人不碰不和，人在房间里，心思却在别处。还有隔壁房间，住进来没行李的一男一女，本地人来旅店不着急鬼混，也不吃喝玩闹，敞着窗帘看起了书，难道他们家里没地方看书吗？
大春子问水根，你知道他们在做一件什么事吗？
水根的头更晕了，他想不出来，打了个哈欠说，什么屁事？
等。大春子说，他们在等我们动，然后将我们一网打尽。我的乖乖，狡猾得很。
醉酒的水根就在这一刻开始缓慢地清醒。他想起中午去市场上买鸡的时候，和鸡贩子关叔商量好了，关叔的马车晚上来接韩书记转移。要是真被敌人盯上了，这马车一来，不就正好给包了囫囵饺子吗？用金桂花具有领导口气的说法就是，全军覆灭。
大春子看出了水根的心思，将一大碗鸡汤递给他，说，别浪费了，全部喝完，你正在长身体，这些鸡汤至少可以让你长高半寸。大春子又将一把枪递给他，说，在郊外教过的打枪，还会吧？
水根一手拿着一碗鸡汤，一手拿着一把枪，这个提前过的生日，果然很令人难忘。
六
金桂花推开韩书记卧房的窗户，望见了窗外势头正劲的雪花。毛头给自己戴好了帽子、手套，看着金桂花和韩书记说话。金桂花说，你和毛头得从窗户翻出去走，我和大春子、水根坐关叔的车走，兵分两路。
韩书记问，有把握脱身吗？
金桂花说，我们既要牵住特务们的视线，又得寻找时机先发制人。事在人为。
听到要走，毛头开始了提问。他说，桂花孃孃，我们要去哪里？
金桂花说，一个安全的地方。
毛头问，这里不安全吗？
金桂花点点头。
毛头又问，我妈妈也是在那里吗？
金桂花说，暂时不在，但等大雪过去，她就能去看你了。
毛头看了一眼正应对着他的大人，还是不禁问，为什么我和爷爷不能坐马车？
你的问题太多了，你要听话，最好能学会闭嘴。金桂花这样说着，就想起了毛头的父亲林上。林上在盐城的新四军部队里参加革命，不久前刚刚牺牲，但是毛头还蒙在鼓里。毛头说话的样子，很像林上。毛头说，如果我听话了，是不是可以给我买铁皮鼓小西洋人？
金桂花不再说话，而是用严厉的眼神盯着他看，于是毛头不再发问，跟着韩书记一起翻出了窗户。他用小身子抵住韩书记的腰，说，爷爷，我很听话，我不要铁皮鼓小西洋人，我给你当拐杖。
毛头是冬天还没来临的时候，被人从盐城他外婆家里送来的南京。他有严重的哮喘，已经到了必须系统治疗的阶段。金桂花将他领到店里的时候，就看出毛头身上有林上的影子，连他说话的口气都像。十六岁的伙计水根也才来不久，所以大春子的脸色就不太好，说，我的乖乖，我们这是要办一所学堂吗？
金桂花说，什么话，水根是同志，毛头是同志的孩子。
金桂花说完就给大春子布置了任务，让他负责毛头去医院的接送工作。至于费用和医院的安排，不需要他们操心，会有人安排好。大春子就问，毛头的娘呢？娘自己不管吗？娘也革命了？
金桂花就斜了他一眼，说，闭嘴，就你话多！
大春子很快就发现了端倪，只要甄美琴来接洽工作，金桂花就让水根带着毛头出去玩。那天，甄美琴前脚刚离开福源记，大春子就拦住了金桂花，足足盯了她好一阵，说，毛头到底是谁的孩子？
金桂花很平静，将大春子推开，说，我说过了，是同志的孩子。
大春子不理解金桂花的无情，说，既然都能在眼皮子底下相遇，为什么不让他们见一见？我们干地下工作的，难道都是冷血动物？
金桂花的脸上出现了冷峻的神色，说，干我们这一行的，不能有软肋！
七
陈池在办公室里拖地，等拖到第六遍的时候，他看到阿庆从处长王英法的办公室走了出来。阿庆手里拿着一只板鸭，他看到办公室的地面干净得发出亮光，心里高兴，说，哥，我同王处长说了，我们没见到大董队长去中央饭店，所以杀那个平头的凶手不会是大董队长。
阿庆帮陈池圆了谎，主动说跟踪大董的是他们两个人一起，这让陈池稍稍安心。阿庆属于不是同志的自己人，陈池为了拉拢他，带着他在码头赚外快。阿庆是个知恩图报的人，他要把板鸭给陈池，说，处长说，这是福昌饭店的大厨熬了几个通宵做的，专门孝敬特务课的真田长官的，没多出几只。
陈池没接板鸭，说，那你就自己拿着。
阿庆不肯。陈池又说，这是长官对你的厚爱。厚爱不要转送，更不要送来送去。
阿庆拿着板鸭走后，陈池开始擦办公用具，一遍一遍又一遍。他把能擦的都擦了，仿佛要把秘密的思绪全部擦干净。陈池后来放下抹布，走出办公室，最后走出的，是特工总部南京区的大门。
陈池代号“唐伯虎”，是与韩书记直接联系的地下工作者，冒险锄杀平头男完全是形势所逼。有很长一段时间，韩书记告诉他，蛰伏就是他的任务，毫无建树就是他的任务，当好一个忠诚的汉奸就是他的任务。
一直到陈池得知王英法手里有个潜伏在我方的代号“杨科长”的奸细，他才被秘密启用。韩书记的指示是，因为内部出了奸细，我们可能已经失控，你的作用是补漏。
一辆又一辆的黄包车经过陈池身边，招呼他上车，但他不为所动。他望着越发空寂的街面，雪已经很小了，比春天偶尔飘过的柳絮还小。陈池很不放心夜幕中永宁街上的福源记小吃店。在最后一辆黄包车朝他驶来的时候，他招手拦下了戴着一顶毡帽的车夫，说，你这辆车要多少钱？
老更对小特务们针对福源记的布控不太满意，觉得多少有点此地无银三百两的愚蠢。关叔的马车来到福源记的门口时，抓捕也正式开始。跃跃欲试的小特务们从四面八方包抄过来，已经上了马车的金桂花等人感受到了周遭的风声鹤唳，雪地里都是步步紧逼的皮鞋踏地的声响。
这种围而不攻的架势让水根紧张，他睡意全无，把枪高高举着，大口喘着气。后来他对坐在身旁的金桂花故作镇定地说，花姐，我下去拖住他们。
金桂花说，枪不用举那么高，镇定。
水根仍然脖子一伸一伸，刚形成不到半年的喉结滚动着，一个粗糙的声音响起来。他说，我很镇定的呀，我认为全世界没有比我更镇定的人了。
坐在前头的大春子转过头，脸上似笑非笑，说，枪要用的时候再拔，那才叫镇定。
水根还是很紧张，说，那我们什么时候拔枪？到底要等到什么时候？
就是现在！大春子忽然精神大振，跳下马车喊了一声，同时拔出腰间的手枪，对着身后的追兵射击。
水根跟进的动作很快，等他开完第一枪，在一声炸裂得能撕破空气的枪响中，他发现战斗其实不难。大春子并不指望水根能像个成熟的战士，即使水根无数次告诉他，可以像信任出生入死的战友一样信任自己。大春子的出枪很快，他知道这场极小规模的阻击战，他和水根的目标不是胜利，而是尽可能地为金桂花以及她怀里的电台和发报机争取撤离的时间。马车开始加速继续向前，车厢里的金桂花表情十分平静，在噼啪作响的枪声里，她想起的竟然是当初在盐城，她和林上相识于江苏省立第三临时中学。那时候林上是国文老师，她在学校总务处帮忙，眼睛里装满了无数个林上，比如上课的林上、吃饭的林上、从操场走过的林上……但是林上最后没有娶她，这令她一直耿耿于怀，一直到传来林上牺牲的消息。马车在南京城的雪地上疾驰，路上一些残破的雪被车轮碾碎。金桂花想起了在新四军驻地，她见到林上的最后一面。林上就站在一丛秋天的芦苇边，阳光笔直地打在他的笑脸上，因此他的牙齿显得很白。马车在继续飞奔，越来越远的枪声渐渐稀薄，这时候金桂花开始担心起大春子和水根……
水根表现得比大春子还勇敢，因为他记得韩书记曾经拍着他的肩膀说过一句专门对他说的话：干革命要勇敢，贪生怕死反而更容易死。因此水根心头的紧张在枪声中渐渐消除，他没有贪生怕死，但最后还是牺牲了。
子弹击穿了水根刚刚才长出来的喉结。就在他倒地的一刻，一辆黄包车从他身后冲出，那个戴着毡帽的车夫加入了他和大春子的战斗队伍。黄包车夫不仅是个神枪手，他的车里还像一个小型的弹药库，他给打光子弹的大春子扔过去一把勃朗宁，穷途末路的大春子立即焕发出新生，像一个脚踩风火轮的来自高邮的哪吒。
这是最后出现在水根眼前的场景，他躺在冰凉的雪地上，觉得身子特别热，而身下又特别凉。他不知道眼前的一切是现实还是幻觉，总觉得满眼都是一片虚幻的梦境。他在弥留之际扭头看了看，没有看到关叔的马车，便开心地笑了。他心里想，幸好金桂花刚刚给他提前过了十七岁的生日，不然他只能活到十六岁。然后他觉得自己很累很困，睡意像子弹一样袭来，终于，他陷入了永不再醒来的最漫长的一次睡眠中。
车夫最后用黄包车带走了大春子。车夫始终把自己藏在一片阴影里，用后背与大春子说话。大春子问，你是谁？
车夫说，救你的人。
我的乖乖，你不要这样卖关子。大春子想了想，想让问题更加明了。内部一定出现了问题，既然车夫能获知眼下的危险，想必是有什么特殊的消息来源。于是大春子说，形势危急，你得毫无保留地协助我们。
车夫考虑片刻，说，代我向韩书记问好，告诉他，唐伯虎要点秋香了。
大春子不喜欢车夫这种故弄玄虚的做派，说，我不能贸然听信你。你戴着个毡帽装神弄鬼，我不信任你。
车夫的脸在阴影里笑了笑，说，只是让你带一句话而已，我拿命救你，你有什么好不信任的。
大春子不再说话，他隐隐觉得这话也有道理。这时候一蓬雪从树上掉落下来，纷纷扬扬地落在了他的怀里，有些雪顺势滚进了他的脖颈里，让他感到一片冰凉。于是无边的悲痛开始了，特别是心脏区域，像被什么抽空了似的，连绵地痛成一片。他想到自己还活着，而水根已经死在了他的少年。
车夫仍然拉着车奋力地向前奔跑，像一只森林里一跳一跳的鹿。路灯随着鹿一般的向前跳跃，一盏一盏连接起整条路的光线，显得漫长而寂寥，以及没有边际的空旷。如果从正面往这边看，就能看到正在奔跑的气喘吁吁的车夫，以及毡帽下面一张陈池的脸。
八
老更带着小特务们围在了水根的身边。当他看到水根年轻的尸体时，心生疑惑，他想这个人死了为什么还在笑，像是在做一个悠长而且懒得醒来的美梦。冬天的夜比他想象的要潮湿，是那种曲曲弯弯的漫长。他怀念起自己当翻译官的时候，那时他只是一个翻译而已。自从转到行动处，后来又当起了一队队长，他的身体就一天不如一天。他记得他的主子，那个在大华大戏院捉住王英法的小胡子日本人真田裕次郎，他一边吃着他喜欢的梅花糕，一边在看了老更的转岗申请后拍了拍手掌上残留的梅花糕碎屑，点点头，口齿不清地说，中国人就是中国人，到哪里都忘不了想要争个输赢。
在这样的回忆中，老更仰头打了一个响亮的喷嚏。他觉得身子有点虚，像是发了低烧。他想起真田裕次郎几乎吃遍了南京城的小吃摊，最喜欢在阳光的照耀下暖融融地去逛夫子庙，因为那儿有他爱吃的鱼头泡饼和蟹黄汤包。真田裕次郎穿着便服，讲着一口流利的带南京口音的中文，说鸭血粉丝汤鲜得要掉眉毛。这位日军派驻在南京情报战线上的大佐，是王英法和老更他们捉摸不透的领导。大佐让大家叫他真田先生。老更搞不懂的是，日本人为什么要有真田这样的姓，难道田还有真假？
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T2. Sequencing & Structure Reconstruction
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T2.1 Global Timeline Reconstruction
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Full
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请将下列事件按发生的时间先后顺序排列。先输出“[答案]”标识符，再按行输出排序后的事件字母，不要输出任何其他内容。
A.老更看见水根尸体，回忆与真田裕次郎的过往。
B.大董被老更制服审讯，福源记暗流涌动。
C.大董与陈池入永宁街福源记，与金桂芳暗号沟通情报，金桂芳听后向韩书记汇报。
D.陈池前往南京中央饭店与平头男碰面，得到情报后除掉平头男。
E.老更酷刑审问甄美琴，然后前往南京中央饭店。
F.福源记众人被围，水根牺牲，大春子被车夫所救。
G.“骆驼”被老更抓住后牺牲，陈池与大董在雪地闲聊。
输出示例：
[答案]
C
B
A
F
G
D
E
|
请将下列事件按发生的时间先后顺序排列。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的事件字母。
A.老更看见水根尸体，回忆与真田裕次郎的过往。
B.大董被老更制服审讯，福源记暗流涌动。
C.大董与陈池入永宁街福源记，与金桂芳暗号沟通情报，金桂芳听后向韩书记汇报。
D.陈池前往南京中央饭店与平头男碰面，得到情报后除掉平头男。
E.老更酷刑审问甄美琴，然后前往南京中央饭店。
F.福源记众人被围，水根牺牲，大春子被车夫所救。
G.“骆驼”被老更抓住后牺牲，陈池与大董在雪地闲聊。
输出示例：
<你的思考过程>
[答案]
C
B
A
F
G
D
E
|
[
"D",
"E",
"C",
"G",
"B",
"F",
"A"
] |
Easy
|
9a4a2cb123cccf24e70ec45773b97462a367b9c6fafbfa967615bd27fc2e6c28
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Computation and Language
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Fri, 5 Sep 2025 (showing first 50 of 71 entries )
[1] arXiv:2509.04432 [pdf, other]
Can Language Models Handle a Non-Gregorian Calendar?
Mutsumi Sasaki, Go Kamoda, Ryosuke Takahashi, Kosuke Sato, Kentaro Inui, Keisuke Sakaguchi, Benjamin Heinzerling
Subjects: Computation and Language (cs.CL)
[2] arXiv:2509.04373 [pdf, html, other]
Measuring Bias or Measuring the Task: Understanding the Brittle Nature of LLM Gender Biases
Bufan Gao, Elisa Kreiss
Subjects: Computation and Language (cs.CL)
[3] arXiv:2509.04357 [pdf, html, other]
PARCO: Phoneme-Augmented Robust Contextual ASR via Contrastive Entity Disambiguation
Jiajun He, Naoki Sawada, Koichi Miyazaki, Tomoki Toda
Comments: Accepted by ASRU 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Machine Learning (cs.LG); Sound (cs.SD)
[4] arXiv:2509.04304 [pdf, html, other]
Facts Fade Fast: Evaluating Memorization of Outdated Medical Knowledge in Large Language Models
Juraj Vladika, Mahdi Dhaini, Florian Matthes
Comments: Accepted to Findings of EMNLP 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[5] arXiv:2509.04292 [pdf, html, other]
Inverse IFEval: Can LLMs Unlearn Stubborn Training Conventions to Follow Real Instructions?
Qinyan Zhang, Xinping Lei, Ruijie Miao, Yu Fu, Haojie Fan, Le Chang, Jiafan Hou, Dingling Zhang, Zhongfei Hou, Ziqiang Yang, Changxin Pu, Fei Hu, Jingkai Liu, Mengyun Liu, Yang Liu, Xiang Gao, Jiaheng Liu, Tong Yang, Zaiyuan Wang, Ge Zhang, Wenhao Huang
Subjects: Computation and Language (cs.CL)
[6] arXiv:2509.04202 [pdf, html, other]
Explicit and Implicit Data Augmentation for Social Event Detection
Congbo Ma, Yuxia Wang, Jia Wu, Jian Yang, Jing Du, Zitai Qiu, Qing Li, Hu Wang, Preslav Nakov
Subjects: Computation and Language (cs.CL); Social and Information Networks (cs.SI)
[7] arXiv:2509.04183 [pdf, html, other]
MAGneT: Coordinated Multi-Agent Generation of Synthetic Multi-Turn Mental Health Counseling Sessions
Aishik Mandal, Tanmoy Chakraborty, Iryna Gurevych
Comments: 25 pages, 29 figures
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[8] arXiv:2509.04182 [pdf, html, other]
Joint Modeling of Entities and Discourse Relations for Coherence Assessment
Wei Liu, Michael Strube
Comments: EMNLP 2025
Subjects: Computation and Language (cs.CL)
[9] arXiv:2509.04111 [pdf, html, other]
MultiWikiQA: A Reading Comprehension Benchmark in 300+ Languages
Dan Saattrup Smart
Subjects: Computation and Language (cs.CL)
[10] arXiv:2509.04104 [pdf, html, other]
Towards Stable and Personalised Profiles for Lexical Alignment in Spoken Human-Agent Dialogue
Keara Schaaij, Roel Boumans, Tibor Bosse, Iris Hendrickx
Comments: Accepted for TSD 2025
Subjects: Computation and Language (cs.CL); Human-Computer Interaction (cs.HC)
[11] arXiv:2509.04077 [pdf, html, other]
Improving Narrative Classification and Explanation via Fine Tuned Language Models
Rishit Tyagi, Rahul Bouri, Mohit Gupta
Subjects: Computation and Language (cs.CL)
[12] arXiv:2509.04066 [pdf, other]
Arabic Chatbot Technologies in Education: An Overview
Hicham Bourhil, Yacine El Younoussi
Comments: Published as a book chapter in: Transformación Digital en la Educación: Innovaciones y Desafíos desde los Campus Virtuales (UA Journals, 2024), pp. 11-14
Journal-ref: In: Transformaci\'on Digital en la Educaci\'on: Innovaciones y Desaf\'ios desde los Campus Virtuales. UA Journals, 2024. pp. 11-14
Subjects: Computation and Language (cs.CL)
[13] arXiv:2509.04059 [pdf, html, other]
Synthesizing Sheet Music Problems for Evaluation and Reinforcement Learning
Zhilin Wang, Zhe Yang, Yun Luo, Yafu Li, Haoran Zhang, Runzhe Zhan, Derek F. Wong, Jizhe Zhou, Yu Cheng
Comments: 11 pages
Subjects: Computation and Language (cs.CL)
[14] arXiv:2509.04046 [pdf, html, other]
A RoBERTa-Based Functional Syntax Annotation Model for Chinese Texts
Han Xiaohui, Zhang Yunlong, Guo Yuxi
Comments: The paper includes 10 pages, 6 tables, and 4 figures. This project is completed with the assistance of National Center for Language Technology and Digital Economy Research (No. GJLX20250002), and is funded by Heilongjiang Language Research Committee Project Construction of an Adaptive Intelligent Chinese Learning Platform for International Students in China (No. G2025Y003)
Subjects: Computation and Language (cs.CL)
[15] arXiv:2509.04032 [pdf, html, other]
What if I ask in \textit{alia lingua}? Measuring Functional Similarity Across Languages
Debangan Mishra, Arihant Rastogi, Agyeya Negi, Shashwat Goel, Ponnurangam Kumaraguru
Comments: Preprint, 11 Pages
Subjects: Computation and Language (cs.CL); Machine Learning (cs.LG)
[16] arXiv:2509.04013 [pdf, html, other]
On Robustness and Reliability of Benchmark-Based Evaluation of LLMs
Riccardo Lunardi, Vincenzo Della Mea, Stefano Mizzaro, Kevin Roitero
Comments: Accepted at ECAI 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[17] arXiv:2509.03995 [pdf, html, other]
RTQA : Recursive Thinking for Complex Temporal Knowledge Graph Question Answering with Large Language Models
Zhaoyan Gong, Juan Li, Zhiqiang Liu, Lei Liang, Huajun Chen, Wen Zhang
Comments: EMNLP 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[18] arXiv:2509.03972 [pdf, html, other]
Expanding Foundational Language Capabilities in Open-Source LLMs through a Korean Case Study
Junghwan Lim, Gangwon Jo, Sungmin Lee, Jiyoung Park, Dongseok Kim, Jihwan Kim, Junhyeok Lee, Wai Ting Cheung, Dahye Choi, Kibong Choi, Jaeyeon Huh, Beomgyu Kim, Jangwoong Kim, Taehyun Kim, Haesol Lee, Jeesoo Lee, Dongpin Oh, Changseok Song, Daewon Suh
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Machine Learning (cs.LG)
[19] arXiv:2509.03962 [pdf, html, other]
Exploring NLP Benchmarks in an Extremely Low-Resource Setting
Ulin Nuha, Adam Jatowt
Subjects: Computation and Language (cs.CL)
[20] arXiv:2509.03957 [pdf, html, other]
CANDY: Benchmarking LLMs' Limitations and Assistive Potential in Chinese Misinformation Fact-Checking
Ruiling Guo, Xinwei Yang, Chen Huang, Tong Zhang, Yong Hu
Comments: Findings of EMNLP 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[21] arXiv:2509.03940 [pdf, html, other]
VoxRole: A Comprehensive Benchmark for Evaluating Speech-Based Role-Playing Agents
Weihao Wu, Liang Cao, Xinyu Wu, Zhiwei Lin, Rui Niu, Jingbei Li, Zhiyong Wu
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Sound (cs.SD)
[22] arXiv:2509.03937 [pdf, html, other]
SPFT-SQL: Enhancing Large Language Model for Text-to-SQL Parsing by Self-Play Fine-Tuning
Yuhao Zhang, Shaoming Duan, Jinhang Su, Chuanyi Liu, Peiyi Han
Comments: EMNLP 2025 Findings
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[23] arXiv:2509.03934 [pdf, html, other]
SelfAug: Mitigating Catastrophic Forgetting in Retrieval-Augmented Generation via Distribution Self-Alignment
Yuqing Huang, Rongyang Zhang, Qimeng Wang, Chengqiang Lu, Yan Gao, Yi Wu, Yao Hu, Xuyang Zhi, Guiquan Liu, Xin Li, Hao Wang, Enhong Chen
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[24] arXiv:2509.03932 [pdf, other]
Decoding the Poetic Language of Emotion in Korean Modern Poetry: Insights from a Human-Labeled Dataset and AI Modeling
Iro Lim, Haein Ji, Byungjun Kim
Comments: 30 pages, 13 tables, 2 figures, Digital Humanities and Social Sciences Korea Conference, James Joo-Jin Kim Center for Korean Studies, University of Pennsylvania, Philadelphia, USA
Subjects: Computation and Language (cs.CL); Computers and Society (cs.CY); Machine Learning (cs.LG)
[25] arXiv:2509.03918 [pdf, html, other]
MTQA:Matrix of Thought for Enhanced Reasoning in Complex Question Answering
Fengxiao Tang, Yufeng Li, Zongzong Wu, Ming Zhao
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[26] arXiv:2509.03891 [pdf, html, other]
MobileRAG: Enhancing Mobile Agent with Retrieval-Augmented Generation
Gowen Loo, Chang Liu, Qinghong Yin, Xiang Chen, Jiawei Chen, Jingyuan Zhang, Yu Tian
Subjects: Computation and Language (cs.CL); Computer Vision and Pattern Recognition (cs.CV)
[27] arXiv:2509.03888 [pdf, html, other]
False Sense of Security: Why Probing-based Malicious Input Detection Fails to Generalize
Cheng Wang, Zeming Wei, Qin Liu, Muhao Chen
Subjects: Computation and Language (cs.CL)
[28] arXiv:2509.03871 [pdf, html, other]
A Comprehensive Survey on Trustworthiness in Reasoning with Large Language Models
Yanbo Wang, Yongcan Yu, Jian Liang, Ran He
Comments: 38 pages. This survey considers papers published up to June 30, 2025. Work in progress
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Cryptography and Security (cs.CR)
[29] arXiv:2509.03867 [pdf, html, other]
Drivel-ology: Challenging LLMs with Interpreting Nonsense with Depth
Yang Wang, Chenghao Xiao, Chia-Yi Hsiao, Zi Yan Chang, Chi-Li Chen, Tyler Loakman, Chenghua Lin
Comments: Accepted for oral presentation at the EMNLP 2025 Main Conference
Subjects: Computation and Language (cs.CL)
[30] arXiv:2509.03829 [pdf, html, other]
NE-PADD: Leveraging Named Entity Knowledge for Robust Partial Audio Deepfake Detection via Attention Aggregation
Huhong Xian, Rui Liu, Berrak Sisman, Haizhou Li
Subjects: Computation and Language (cs.CL)
[31] arXiv:2509.03809 [pdf, html, other]
Align-then-Slide: A complete evaluation framework for Ultra-Long Document-Level Machine Translation
Jiaxin Guo, Daimeng Wei, Yuanchang Luo, Xiaoyu Chen, Zhanglin Wu, Huan Yang, Hengchao Shang, Zongyao Li, Zhiqiang Rao, Jinlong Yang, Hao Yang
Comments: under preview
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[32] arXiv:2509.03805 [pdf, html, other]
Measuring How (Not Just Whether) VLMs Build Common Ground
Saki Imai, Mert İnan, Anthony Sicilia, Malihe Alikhani
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[33] arXiv:2509.03791 [pdf, html, other]
SiLVERScore: Semantically-Aware Embeddings for Sign Language Generation Evaluation
Saki Imai, Mert İnan, Anthony Sicilia, Malihe Alikhani
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[34] arXiv:2509.03725 [pdf, html, other]
MLSD: A Novel Few-Shot Learning Approach to Enhance Cross-Target and Cross-Domain Stance Detection
Parush Gera, Tempestt Neal
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Machine Learning (cs.LG)
[35] arXiv:2509.03662 [pdf, html, other]
Semantic Analysis of SNOMED CT Concept Co-occurrences in Clinical Documentation using MIMIC-IV
Ali Noori, Somya Mohanty, Prashanti Manda
Subjects: Computation and Language (cs.CL)
[36] arXiv:2509.03647 [pdf, other]
Breaking the Mirror: Activation-Based Mitigation of Self-Preference in LLM Evaluators
Dani Roytburg, Matthew Bozoukov, Matthew Nguyen, Jou Barzdukas, Simon Fu, Narmeen Oozeer
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Machine Learning (cs.LG)
[37] arXiv:2509.03615 [pdf, html, other]
E-ARMOR: Edge case Assessment and Review of Multilingual Optical Character Recognition
Aryan Gupta, Anupam Purwar
Comments: Sprinklr OCR provides a fast and compute light way of performing OCR
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[38] arXiv:2509.03610 [pdf, html, other]
NoteBar: An AI-Assisted Note-Taking System for Personal Knowledge Management
Josh Wisoff, Yao Tang, Zhengyu Fang, Jordan Guzman, YuTang Wang, Alex Yu
Subjects: Computation and Language (cs.CL)
[39] arXiv:2509.03565 [pdf, html, other]
ResearchPulse: Building Method-Experiment Chains through Multi-Document Scientific Inference
Qi Chen, Jingxuan Wei, Zhuoya Yao, Haiguang Wang, Gaowei Wu, Bihui Yu, Siyuan Li, Cheng Tan
Comments: Accepted to ACM MM 2025
Subjects: Computation and Language (cs.CL); Multimedia (cs.MM)
[40] arXiv:2509.03540 [pdf, other]
Improving Factuality in LLMs via Inference-Time Knowledge Graph Construction
Shanglin Wu, Lihui Liu, Jinho D. Choi, Kai Shu
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[41] arXiv:2509.03537 [pdf, html, other]
AR: Adversarial Reinforcement Learning for Abstract Reasoning in Large Language Models
Cheng-Kai Yeh, Hsing-Wang Lee, Chung-Hung Kuo, Hen-Hsen Huang
Comments: 7 pages, accepted by CIKM 2025 as a short paper
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Machine Learning (cs.LG)
[42] arXiv:2509.03535 [pdf, other]
QuesGenie: Intelligent Multimodal Question Generation
Ahmed Mubarak, Amna Ahmed, Amira Nasser, Aya Mohamed, Fares El-Sadek, Mohammed Ahmed, Ahmed Salah, Youssef Sobhy
Comments: 7 pages, 8 figures, 12 tables. Supervised by Dr. Ahmed Salah and TA Youssef Sobhy
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[43] arXiv:2509.03533 [pdf, html, other]
Topic Identification in LLM Input-Output Pairs through the Lens of Information Bottleneck
Igor Halperin
Comments: 26 pages, 4 figures
Subjects: Computation and Language (cs.CL); Machine Learning (cs.LG); General Finance (q-fin.GN)
[44] arXiv:2509.03531 [pdf, html, other]
Real-Time Detection of Hallucinated Entities in Long-Form Generation
Oscar Obeso, Andy Arditi, Javier Ferrando, Joshua Freeman, Cameron Holmes, Neel Nanda
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Machine Learning (cs.LG)
[45] arXiv:2509.03530 [pdf, html, other]
Reading Between the Signs: Predicting Future Suicidal Ideation from Adolescent Social Media Texts
Paul Blum, Enrico Liscio, Ruixuan Zhang, Caroline Figueroa, Pradeep K. Murukannaiah
Subjects: Computation and Language (cs.CL)
[46] arXiv:2509.03529 [pdf, html, other]
Multimodal Proposal for an AI-Based Tool to Increase Cross-Assessment of Messages
Alejandro Álvarez Castro, Joaquín Ordieres-Meré
Comments: Presented at NLMLT2025 (this https URL), 15 pages, 5 figures
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Audio and Speech Processing (eess.AS)
[47] arXiv:2509.03528 [pdf, html, other]
The ProLiFIC dataset: Leveraging LLMs to Unveil the Italian Lawmaking Process
Matilde Contestabile, Chiara Ferrara, Alberto Giovannetti, Giovanni Parrillo, Andrea Vandin
Subjects: Computation and Language (cs.CL); Computers and Society (cs.CY); Machine Learning (cs.LG)
[48] arXiv:2509.03527 [pdf, html, other]
Multilevel Analysis of Cryptocurrency News using RAG Approach with Fine-Tuned Mistral Large Language Model
Bohdan M. Pavlyshenko
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[49] arXiv:2509.03526 [pdf, html, other]
Enhancing Speech Large Language Models through Reinforced Behavior Alignment
Yansong Liu, Jiateng Li, Yuan Liu
Subjects: Computation and Language (cs.CL); Audio and Speech Processing (eess.AS)
[50] arXiv:2509.03525 [pdf, other]
Speech-Based Cognitive Screening: A Systematic Evaluation of LLM Adaptation Strategies
Fatemeh Taherinezhad, Mohamad Javad Momeni Nezhad, Sepehr Karimi, Sina Rashidi, Ali Zolnour, Maryam Dadkhah, Yasaman Haghbin, Hossein AzadMaleki, Maryam Zolnoori
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Audio and Speech Processing (eess.AS)
Total of 413 entries : 1-50 51-100 101-150 151-200 ... 401-413
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Computation and Language
Authors and titles for recent submissions
Fri, 5 Sep 2025
Thu, 4 Sep 2025
Wed, 3 Sep 2025
Mon, 1 Sep 2025
Fri, 29 Aug 2025
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Total of 413 entries : 1-50 51-100 101-150 151-200 201-250 ... 401-413
Showing up to 50 entries per page: fewer | more | all
Fri, 5 Sep 2025 (continued, showing last 21 of 71 entries )
[51] arXiv:2509.04442 (cross-list from cs.LG) [pdf, html, other]
Delta Activations: A Representation for Finetuned Large Language Models
Zhiqiu Xu, Amish Sethi, Mayur Naik, Ser-Nam Lim
Subjects: Machine Learning (cs.LG); Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Information Retrieval (cs.IR)
[52] arXiv:2509.04439 (cross-list from cs.AI) [pdf, html, other]
ArcMemo: Abstract Reasoning Composition with Lifelong LLM Memory
Matthew Ho, Chen Si, Zhaoxiang Feng, Fangxu Yu, Zhijian Liu, Zhiting Hu, Lianhui Qin
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Machine Learning (cs.LG)
[53] arXiv:2509.04438 (cross-list from cs.CV) [pdf, html, other]
The Telephone Game: Evaluating Semantic Drift in Unified Models
Sabbir Mollah, Rohit Gupta, Sirnam Swetha, Qingyang Liu, Ahnaf Munir, Mubarak Shah
Subjects: Computer Vision and Pattern Recognition (cs.CV); Computation and Language (cs.CL)
[54] arXiv:2509.04419 (cross-list from cs.LG) [pdf, html, other]
Towards a Unified View of Large Language Model Post-Training
Xingtai Lv, Yuxin Zuo, Youbang Sun, Hongyi Liu, Yuntian Wei, Zhekai Chen, Lixuan He, Xuekai Zhu, Kaiyan Zhang, Bingning Wang, Ning Ding, Bowen Zhou
Subjects: Machine Learning (cs.LG); Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[55] arXiv:2509.04404 (cross-list from cs.CY) [pdf, html, other]
No Thoughts Just AI: Biased LLM Recommendations Limit Human Agency in Resume Screening
Kyra Wilson, Mattea Sim, Anna-Maria Gueorguieva, Aylin Caliskan
Comments: Published in Proceedings of the 2025 AAAI/ACM Conference on AI, Ethics, and Society; code available at this https URL
Subjects: Computers and Society (cs.CY); Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Human-Computer Interaction (cs.HC)
[56] arXiv:2509.04403 (cross-list from cs.CV) [pdf, html, other]
Self-adaptive Dataset Construction for Real-World Multimodal Safety Scenarios
Jingen Qu, Lijun Li, Bo Zhang, Yichen Yan, Jing Shao
Comments: Accepted at EMNLP 2025 Findings
Subjects: Computer Vision and Pattern Recognition (cs.CV); Computation and Language (cs.CL); Cryptography and Security (cs.CR)
[57] arXiv:2509.04393 (cross-list from cs.SD) [pdf, html, other]
Contextualized Token Discrimination for Speech Search Query Correction
Junyu Lu, Di Jiang, Mengze Hong, Victor Junqiu Wei, Qintian Guo, Zhiyang Su
Subjects: Sound (cs.SD); Computation and Language (cs.CL)
[58] arXiv:2509.04343 (cross-list from cs.AI) [pdf, other]
Psychologically Enhanced AI Agents
Maciej Besta, Shriram Chandran, Robert Gerstenberger, Mathis Lindner, Marcin Chrapek, Sebastian Hermann Martschat, Taraneh Ghandi, Patrick Iff, Hubert Niewiadomski, Piotr Nyczyk, Jürgen Müller, Torsten Hoefler
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Computers and Society (cs.CY); Human-Computer Interaction (cs.HC); Multiagent Systems (cs.MA)
[59] arXiv:2509.04166 (cross-list from cs.LG) [pdf, html, other]
Crossing the Species Divide: Transfer Learning from Speech to Animal Sounds
Jules Cauzinille, Marius Miron, Olivier Pietquin, Masato Hagiwara, Ricard Marxer, Arnaud Rey, Benoit Favre
Comments: 5 pages, 3 figures, uses this http URL, submitted to DCASE 2025
Subjects: Machine Learning (cs.LG); Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Sound (cs.SD)
[60] arXiv:2509.04159 (cross-list from cs.AI) [pdf, html, other]
Towards an Action-Centric Ontology for Cooking Procedures Using Temporal Graphs
Aarush Kumbhakern, Saransh Kumar Gupta, Lipika Dey, Partha Pratim Das
Comments: 6 pages, 3 figures, 1 table, 11 references, ACM International Conference on Multimedia 2025 - Multi-modal Food Computing Workshop
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[61] arXiv:2509.04072 (cross-list from eess.AS) [pdf, html, other]
LibriQuote: A Speech Dataset of Fictional Character Utterances for Expressive Zero-Shot Speech Synthesis
Gaspard Michel, Elena V. Epure, Christophe Cerisara
Subjects: Audio and Speech Processing (eess.AS); Computation and Language (cs.CL); Sound (cs.SD)
[62] arXiv:2509.04027 (cross-list from cs.AI) [pdf, html, other]
CoT-Space: A Theoretical Framework for Internal Slow-Thinking via Reinforcement Learning
Zeyu Gan, Hao Yi, Yong Liu
Comments: Preprint Edition
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[63] arXiv:2509.04011 (cross-list from cs.IR) [pdf, html, other]
NER Retriever: Zero-Shot Named Entity Retrieval with Type-Aware Embeddings
Or Shachar, Uri Katz, Yoav Goldberg, Oren Glickman
Comments: Findings of EMNLP 2025
Subjects: Information Retrieval (cs.IR); Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[64] arXiv:2509.03986 (cross-list from cs.CV) [pdf, html, other]
Promptception: How Sensitive Are Large Multimodal Models to Prompts?
Mohamed Insaf Ismithdeen, Muhammad Uzair Khattak, Salman Khan
Comments: Accepted to EMNLP 2025
Subjects: Computer Vision and Pattern Recognition (cs.CV); Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Machine Learning (cs.LG)
[65] arXiv:2509.03897 (cross-list from cs.CV) [pdf, html, other]
SPECS: Specificity-Enhanced CLIP-Score for Long Image Caption Evaluation
Xiaofu Chen, Israfel Salazar, Yova Kementchedjhieva
Subjects: Computer Vision and Pattern Recognition (cs.CV); Computation and Language (cs.CL)
[66] arXiv:2509.03787 (cross-list from cs.IR) [pdf, html, other]
Evaluating the Robustness of Retrieval-Augmented Generation to Adversarial Evidence in the Health Domain
Shakiba Amirshahi, Amin Bigdeli, Charles L. A. Clarke, Amira Ghenai
Subjects: Information Retrieval (cs.IR); Computation and Language (cs.CL)
[67] arXiv:2509.03740 (cross-list from cs.CV) [pdf, html, other]
Singular Value Few-shot Adaptation of Vision-Language Models
Taha Koleilat, Hassan Rivaz, Yiming Xiao
Comments: 10 pages, 2 figures, 8 tables
Subjects: Computer Vision and Pattern Recognition (cs.CV); Computation and Language (cs.CL)
[68] arXiv:2509.03730 (cross-list from cs.AI) [pdf, html, other]
The Personality Illusion: Revealing Dissociation Between Self-Reports & Behavior in LLMs
Pengrui Han, Rafal Kocielnik, Peiyang Song, Ramit Debnath, Dean Mobbs, Anima Anandkumar, R. Michael Alvarez
Comments: We make public all code and source data at this https URL
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Computers and Society (cs.CY); Machine Learning (cs.LG); Machine Learning (stat.ML)
[69] arXiv:2509.03646 (cross-list from cs.AI) [pdf, html, other]
Emergent Hierarchical Reasoning in LLMs through Reinforcement Learning
Haozhe Wang, Qixin Xu, Che Liu, Junhong Wu, Fangzhen Lin, Wenhu Chen
Comments: Preprint
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[70] arXiv:2509.03644 (cross-list from cs.AI) [pdf, other]
Towards a Neurosymbolic Reasoning System Grounded in Schematic Representations
François Olivier, Zied Bouraoui
Comments: To appear in Proceedings of Machine Learning Research, 19th Conference on Neurosymbolic Learning and Reasoning, 2025
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[71] arXiv:2509.03636 (cross-list from cs.AI) [pdf, html, other]
CausalARC: Abstract Reasoning with Causal World Models
Jacqueline Maasch, John Kalantari, Kia Khezeli
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Machine Learning (cs.LG)
Thu, 4 Sep 2025 (showing first 29 of 35 entries )
[72] arXiv:2509.03479 [pdf, other]
Design and Optimization of Reinforcement Learning-Based Agents in Text-Based Games
Haonan Wang, Mingjia Zhao, Junfeng Sun, Wei Liu
Comments: 6 papges
Journal-ref: Copyright (c) 2025 International Journal of Computer Science and Information Technology International Journal of Computer Science and Information Technology International Journal of Computer Science and Information Technology
Subjects: Computation and Language (cs.CL)
[73] arXiv:2509.03467 [pdf, html, other]
Continuous Saudi Sign Language Recognition: A Vision Transformer Approach
Soukeina Elhassen, Lama Al Khuzayem, Areej Alhothali, Ohoud Alzamzami, Nahed Alowaidi
Comments: 23 pages, 13 figures, 5 tables
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[74] arXiv:2509.03419 [pdf, other]
Curse of Knowledge: When Complex Evaluation Context Benefits yet Biases LLM Judges
Weiyuan Li, Xintao Wang, Siyu Yuan, Rui Xu, Jiangjie Chen, Qingqing Dong, Yanghua Xiao, Deqing Yang
Comments: 8 pages, 4 figures, conference
Subjects: Computation and Language (cs.CL)
[75] arXiv:2509.03407 [pdf, other]
Learning Mechanism Underlying NLP Pre-Training and Fine-Tuning
Yarden Tzach, Ronit D. Gross, Ella Koresh, Shalom Rosner, Or Shpringer, Tal Halevi, Ido Kanter
Comments: 46 pages, 18 figures, 10 tables
Subjects: Computation and Language (cs.CL)
[76] arXiv:2509.03405 [pdf, html, other]
LMEnt: A Suite for Analyzing Knowledge in Language Models from Pretraining Data to Representations
Daniela Gottesman, Alon Gilae-Dotan, Ido Cohen, Yoav Gur-Arieh, Marius Mosbach, Ori Yoran, Mor Geva
Comments: Submitted to TACL, August 2025
Subjects: Computation and Language (cs.CL)
[77] arXiv:2509.03312 [pdf, other]
AgenTracer: Who Is Inducing Failure in the LLM Agentic Systems?
Guibin Zhang, Junhao Wang, Junjie Chen, Wangchunshu Zhou, Kun Wang, Shuicheng Yan
Subjects: Computation and Language (cs.CL); Multiagent Systems (cs.MA)
[78] arXiv:2509.03300 [pdf, html, other]
LatPhon: Lightweight Multilingual G2P for Romance Languages and English
Luis Felipe Chary, Miguel Arjona Ramirez
Subjects: Computation and Language (cs.CL)
[79] arXiv:2509.03256 [pdf, html, other]
Comparison of End-to-end Speech Assessment Models for the NOCASA 2025 Challenge
Aleksei Žavoronkov, Tanel Alumäe
Comments: Published at IEEE MLSP 2025
Subjects: Computation and Language (cs.CL); Sound (cs.SD); Audio and Speech Processing (eess.AS)
[80] arXiv:2509.03162 [pdf, html, other]
SinhalaMMLU: A Comprehensive Benchmark for Evaluating Multitask Language Understanding in Sinhala
Ashmari Pramodya, Nirasha Nelki, Heshan Shalinda, Chamila Liyanage, Yusuke Sakai, Randil Pushpananda, Ruvan Weerasinghe, Hidetaka Kamigaito, Taro Watanabe
Comments: 19 pages, 11 figures
Subjects: Computation and Language (cs.CL)
[81] arXiv:2509.03161 [pdf, html, other]
Domain Adaptation of LLMs for Process Data
Rafael Seidi Oyamada, Jari Peeperkorn, Jochen De Weerdt, Johannes De Smedt
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[82] arXiv:2509.03148 [pdf, html, other]
Expanding the WMT24++ Benchmark with Rumantsch Grischun, Sursilvan, Sutsilvan, Surmiran, Puter, and Vallader
Jannis Vamvas, Ignacio Pérez Prat, Not Battesta Soliva, Sandra Baltermia-Guetg, Andrina Beeli, Simona Beeli, Madlaina Capeder, Laura Decurtins, Gian Peder Gregori, Flavia Hobi, Gabriela Holderegger, Arina Lazzarini, Viviana Lazzarini, Walter Rosselli, Bettina Vital, Anna Rutkiewicz, Rico Sennrich
Comments: Submitted to WMT25 (Open Language Data Initiative Shared Task)
Subjects: Computation and Language (cs.CL)
[83] arXiv:2509.03143 [pdf, html, other]
An experimental and computational study of an Estonian single-person word naming
Kaidi Lõo, Arvi Tavast, Maria Heitmeier, Harald Baayen
Subjects: Computation and Language (cs.CL)
[84] arXiv:2509.03122 [pdf, html, other]
From Evaluation to Defense: Constructing Persistent Edit-Based Fingerprints for Large Language Models
Yue Li, Xin Yi, Dongsheng Shi, Yongyi Cui, Gerard de Melo, Xiaoling Wang, Linlin Wang
Comments: preprint
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Machine Learning (cs.LG)
[85] arXiv:2509.03116 [pdf, other]
Measuring Scalar Constructs in Social Science with LLMs
Hauke Licht, Rupak Sarkar, Patrick Y. Wu, Pranav Goel, Niklas Stoehr, Elliott Ash, Alexander Miserlis Hoyle
Comments: Accepted to EMNLP 2025 (Main)
Subjects: Computation and Language (cs.CL)
[86] arXiv:2509.03060 [pdf, html, other]
A Long Short-Term Memory (LSTM) Model for Business Sentiment Analysis Based on Recurrent Neural Network
Md. Jahidul Islam Razin, Md. Abdul Karim, M. F. Mridha, S M Rafiuddin, Tahira Alam
Comments: 11 pages, 9 figures, 3 tables, published in Sustainable Communication Networks and Application: Proceedings of ICSCN 2020 (2021). Paper presents an LSTM-based business sentiment analysis model with 91.33% accuracy, compares against KNN, SVM, and Naive Bayes, and discusses methodology, dataset, training/testing, results, and implementation tools
Subjects: Computation and Language (cs.CL)
[87] arXiv:2509.03057 [pdf, other]
Structure-Learnable Adapter Fine-Tuning for Parameter-Efficient Large Language Models
Ming Gong, Yingnan Deng, Nia Qi, Yujun Zou, Zhihao Xue, Yun Zi
Subjects: Computation and Language (cs.CL)
[88] arXiv:2509.03020 [pdf, html, other]
Training LLMs to be Better Text Embedders through Bidirectional Reconstruction
Chang Su, Dengliang Shi, Siyuan Huang, Jintao Du, Changhua Meng, Yu Cheng, Weiqiang Wang, Zhouhan Lin
Comments: accepted by EMNLP 2025 Main Conference
Subjects: Computation and Language (cs.CL); Information Retrieval (cs.IR)
[89] arXiv:2509.03010 [pdf, html, other]
Mitigating Data Imbalance in Automated Speaking Assessment
Fong-Chun Tsai, Kuan-Tang Huang, Bi-Cheng Yan, Tien-Hong Lo, Berlin Chen
Comments: Submitted to APSIPA 2025
Subjects: Computation and Language (cs.CL); Machine Learning (cs.LG); Audio and Speech Processing (eess.AS)
[90] arXiv:2509.02999 [pdf, html, other]
DiaCBT: A Long-Periodic Dialogue Corpus Guided by Cognitive Conceptualization Diagram for CBT-based Psychological Counseling
Yougen Zhou, Ningning Zhou, Qin Chen, Jie Zhou, Aimin Zhou, Liang He
Subjects: Computation and Language (cs.CL)
[91] arXiv:2509.02949 [pdf, html, other]
ProMQA-Assembly: Multimodal Procedural QA Dataset on Assembly
Kimihiro Hasegawa, Wiradee Imrattanatrai, Masaki Asada, Susan Holm, Yuran Wang, Vincent Zhou, Ken Fukuda, Teruko Mitamura
Comments: 29 pages. Code and data: this https URL
Subjects: Computation and Language (cs.CL); Computer Vision and Pattern Recognition (cs.CV)
[92] arXiv:2509.02926 [pdf, html, other]
Decoding the Rule Book: Extracting Hidden Moderation Criteria from Reddit Communities
Youngwoo Kim, Himanshu Beniwal, Steven L. Johnson, Thomas Hartvigsen
Comments: Accepted to EMNLP 2025 Main
Subjects: Computation and Language (cs.CL)
[93] arXiv:2509.02915 [pdf, html, other]
English Pronunciation Evaluation without Complex Joint Training: LoRA Fine-tuned Speech Multimodal LLM
Taekyung Ahn, Hosung Nam
Subjects: Computation and Language (cs.CL)
[94] arXiv:2509.02908 [pdf, html, other]
Advancing Minority Stress Detection with Transformers: Insights from the Social Media Datasets
Santosh Chapagain, Cory J Cascalheira, Shah Muhammad Hamdi, Soukaina Filali Boubrahimi, Jillian R. Scheer
Comments: Accepted in Social Network Analysis and Mining Journal (SNAM)
Subjects: Computation and Language (cs.CL)
[95] arXiv:2509.02864 [pdf, html, other]
A-SEA3L-QA: A Fully Automated Self-Evolving, Adversarial Workflow for Arabic Long-Context Question-Answer Generation
Kesen Wang, Daulet Toibazar, Pedro J. Moreno
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[96] arXiv:2509.02855 [pdf, html, other]
IDEAlign: Comparing Large Language Models to Human Experts in Open-ended Interpretive Annotations
Hyunji Nam, Lucia Langlois, James Malamut, Mei Tan, Dorottya Demszky
Comments: 10 pages, 9 pages for appendix
Subjects: Computation and Language (cs.CL); Computers and Society (cs.CY)
[97] arXiv:2509.02834 [pdf, html, other]
Clustering Discourses: Racial Biases in Short Stories about Women Generated by Large Language Models
Gustavo Bonil, João Gondim, Marina dos Santos, Simone Hashiguti, Helena Maia, Nadia Silva, Helio Pedrini, Sandra Avila
Comments: 12 pages, 3 figures. Accepted at STIL @ BRACIS 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[98] arXiv:2509.02830 [pdf, html, other]
SSVD: Structured SVD for Parameter-Efficient Fine-Tuning and Benchmarking under Domain Shift in ASR
Pu Wang, Shinji Watanabe, Hugo Van hamme
Comments: Accepted by IEEE ASRU 2025
Subjects: Computation and Language (cs.CL); Audio and Speech Processing (eess.AS)
[99] arXiv:2509.02785 [pdf, other]
DrDiff: Dynamic Routing Diffusion with Hierarchical Attention for Breaking the Efficiency-Quality Trade-off
Jusheng Zhang, Yijia Fan, Kaitong Cai, Zimeng Huang, Xiaofei Sun, Jian Wang, Chengpei Tang, Keze Wang
Comments: Accepted 2025 EMNLP (MainConference)
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[100] arXiv:2509.03505 (cross-list from cs.LG) [pdf, html, other]
LimiX: Unleashing Structured-Data Modeling Capability for Generalist Intelligence
Xingxuan Zhang, Gang Ren, Han Yu, Hao Yuan, Hui Wang, Jiansheng Li, Jiayun Wu, Lang Mo, Li Mao, Mingchao Hao, Ningbo Dai, Renzhe Xu, Shuyang Li, Tianyang Zhang, Yue He, Yuanrui Wang, Yunjia Zhang, Zijing Xu, Dongzhe Li, Fang Gao, Hao Zou, Jiandong Liu, Jiashuo Liu, Jiawei Xu, Kaijie Cheng, Kehan Li, Linjun Zhou, Qing Li, Shaohua Fan, Xiaoyu Lin, Xinyan Han, Xuanyue Li, Yan Lu, Yuan Xue, Yuanyuan Jiang, Zimu Wang, Zhenlei Wang, Peng Cui
Comments: 56 pages
Subjects: Machine Learning (cs.LG); Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
Total of 413 entries : 1-50 51-100 101-150 151-200 201-250 ... 401-413
Showing up to 50 entries per page: fewer | more | all
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Computation and Language
Authors and titles for recent submissions
Fri, 5 Sep 2025
Thu, 4 Sep 2025
Wed, 3 Sep 2025
Mon, 1 Sep 2025
Fri, 29 Aug 2025
See today's new changes
Total of 413 entries : 1-50 51-100 101-150 151-200 201-250 251-300 ... 401-413
Showing up to 50 entries per page: fewer | more | all
Thu, 4 Sep 2025 (continued, showing last 6 of 35 entries )
[101] arXiv:2509.03380 (cross-list from cs.AI) [pdf, other]
Situating AI Agents in their World: Aspective Agentic AI for Dynamic Partially Observable Information Systems
Peter J. Bentley, Soo Ling Lim, Fuyuki Ishikawa
Comments: 9 pages
Journal-ref: 7th International Workshop on Agent-Based Modelling of Human Behaviour (ABMHuB'25), ALife 2025
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[102] arXiv:2509.03345 (cross-list from cs.AI) [pdf, html, other]
Language Models Do Not Follow Occam's Razor: A Benchmark for Inductive and Abductive Reasoning
Yunxin Sun, Abulhair Saparov
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[103] arXiv:2509.03329 (cross-list from cs.CY) [pdf, html, other]
SESGO: Spanish Evaluation of Stereotypical Generative Outputs
Melissa Robles, Catalina Bernal, Denniss Raigoso, Mateo Dulce Rubio
Subjects: Computers and Society (cs.CY); Computation and Language (cs.CL)
[104] arXiv:2509.03113 (cross-list from cs.CV) [pdf, html, other]
Mitigating Multimodal Hallucinations via Gradient-based Self-Reflection
Shan Wang, Maying Shen, Nadine Chang, Chuong Nguyen, Hongdong Li, Jose M. Alvarez
Subjects: Computer Vision and Pattern Recognition (cs.CV); Computation and Language (cs.CL)
[105] arXiv:2509.03004 (cross-list from quant-ph) [pdf, html, other]
Identifiability and minimality bounds of quantum and post-quantum models of classical stochastic processes
Paul M. Riechers, Thomas J. Elliott
Comments: 11 pages, 4 figures
Subjects: Quantum Physics (quant-ph); Statistical Mechanics (cond-mat.stat-mech); Computation and Language (cs.CL); Formal Languages and Automata Theory (cs.FL); Information Theory (cs.IT)
[106] arXiv:2509.02859 (cross-list from cs.SD) [pdf, html, other]
Speech DF Arena: A Leaderboard for Speech DeepFake Detection Models
Sandipana Dowerah, Atharva Kulkarni, Ajinkya Kulkarni, Hoan My Tran, Joonas Kalda, Artem Fedorchenko, Benoit Fauve, Damien Lolive, Tanel Alumäe, Matthew Magimai Doss
Subjects: Sound (cs.SD); Computation and Language (cs.CL); Audio and Speech Processing (eess.AS)
Wed, 3 Sep 2025 (showing first 44 of 190 entries )
[107] arXiv:2509.02550 [pdf, html, other]
PalmX 2025: The First Shared Task on Benchmarking LLMs on Arabic and Islamic Culture
Fakhraddin Alwajih, Abdellah El Mekki, Hamdy Mubarak, Majd Hawasly, Abubakr Mohamed, Muhammad Abdul-Mageed
Comments: this https URL
Subjects: Computation and Language (cs.CL)
[108] arXiv:2509.02534 [pdf, html, other]
Jointly Reinforcing Diversity and Quality in Language Model Generations
Tianjian Li, Yiming Zhang, Ping Yu, Swarnadeep Saha, Daniel Khashabi, Jason Weston, Jack Lanchantin, Tianlu Wang
Comments: 29 pages, 11 figures
Subjects: Computation and Language (cs.CL); Machine Learning (cs.LG)
[109] arXiv:2509.02523 [pdf, html, other]
Flavors of Moonshine: Tiny Specialized ASR Models for Edge Devices
Evan King, Adam Sabra, Manjunath Kudlur, James Wang, Pete Warden
Subjects: Computation and Language (cs.CL); Machine Learning (cs.LG); Sound (cs.SD)
[110] arXiv:2509.02522 [pdf, html, other]
Implicit Actor Critic Coupling via a Supervised Learning Framework for RLVR
Jiaming Li, Longze Chen, Ze Gong, Yukun Chen, Lu Wang, Wanwei He, Run Luo, Min Yang
Subjects: Computation and Language (cs.CL); Machine Learning (cs.LG)
[111] arXiv:2509.02514 [pdf, html, other]
Comparative Study of Pre-Trained BERT and Large Language Models for Code-Mixed Named Entity Recognition
Mayur Shirke, Amey Shembade, Pavan Thorat, Madhushri Wagh, Raviraj Joshi
Subjects: Computation and Language (cs.CL); Machine Learning (cs.LG)
[112] arXiv:2509.02510 [pdf, html, other]
Top-H Decoding: Adapting the Creativity and Coherence with Bounded Entropy in Text Generation
Erfan Baghaei Potraghloo, Seyedarmin Azizi, Souvik Kundu, Massoud Pedram
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Machine Learning (stat.ML)
[113] arXiv:2509.02506 [pdf, other]
The Forgotten Code: Validating a Century-Old Translation System with AI
Jean-Marie Le Ray
Comments: Preprint, 35 pages, 14 figures, 9 appendices
Subjects: Computation and Language (cs.CL)
[114] arXiv:2509.02503 [pdf, html, other]
L3Cube-IndicHeadline-ID: A Dataset for Headline Identification and Semantic Evaluation in Low-Resource Indian Languages
Nishant Tanksale, Tanmay Kokate, Darshan Gohad, Sarvadnyaa Barate, Raviraj Joshi
Subjects: Computation and Language (cs.CL); Machine Learning (cs.LG)
[115] arXiv:2509.02499 [pdf, html, other]
MoSEs: Uncertainty-Aware AI-Generated Text Detection via Mixture of Stylistics Experts with Conditional Thresholds
Junxi Wu, Jinpeng Wang, Zheng Liu, Bin Chen, Dongjian Hu, Hao Wu, Shu-Tao Xia
Comments: EMNLP 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[116] arXiv:2509.02492 [pdf, other]
GRAM-R: Self-Training Generative Foundation Reward Models for Reward Reasoning
Chenglong Wang, Yongyu Mu, Hang Zhou, Yifu Huo, Ziming Zhu, Jiali Zeng, Murun Yang, Bei Li, Tong Xiao, Xiaoyang Hao, Chunliang Zhang, Fandong Meng, Jingbo Zhu
Subjects: Computation and Language (cs.CL); Machine Learning (cs.LG)
[117] arXiv:2509.02464 [pdf, html, other]
SpecEval: Evaluating Model Adherence to Behavior Specifications
Ahmed Ahmed, Kevin Klyman, Yi Zeng, Sanmi Koyejo, Percy Liang
Subjects: Computation and Language (cs.CL)
[118] arXiv:2509.02452 [pdf, html, other]
Do LLMs Adhere to Label Definitions? Examining Their Receptivity to External Label Definitions
Seyedali Mohammadi, Bhaskara Hanuma Vedula, Hemank Lamba, Edward Raff, Ponnurangam Kumaraguru, Francis Ferraro, Manas Gaur
Comments: To appear in EMNLP 2025, Main Conference
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Machine Learning (cs.LG)
[119] arXiv:2509.02450 [pdf, html, other]
EmoPerso: Enhancing Personality Detection with Self-Supervised Emotion-Aware Modelling
Lingzhi Shen, Xiaohao Cai, Yunfei Long, Imran Razzak, Guanming Chen, Shoaib Jameel
Subjects: Computation and Language (cs.CL); Machine Learning (cs.LG)
[120] arXiv:2509.02446 [pdf, html, other]
An Ensemble Classification Approach in A Multi-Layered Large Language Model Framework for Disease Prediction
Ali Hamdi, Malak Mohamed, Rokaia Emad, Khaled Shaban
Subjects: Computation and Language (cs.CL); Machine Learning (cs.LG)
[121] arXiv:2509.02363 [pdf, html, other]
Towards Temporal Knowledge-Base Creation for Fine-Grained Opinion Analysis with Language Models
Gaurav Negi, Atul Kr. Ojha, Omnia Zayed, Paul Buitelaar
Subjects: Computation and Language (cs.CL)
[122] arXiv:2509.02350 [pdf, html, other]
Implicit Reasoning in Large Language Models: A Comprehensive Survey
Jindong Li, Yali Fu, Li Fan, Jiahong Liu, Yao Shu, Chengwei Qin, Menglin Yang, Irwin King, Rex Ying
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[123] arXiv:2509.02333 [pdf, html, other]
DCPO: Dynamic Clipping Policy Optimization
Shihui Yang, Chengfeng Dou, Peidong Guo, Kai Lu, Qiang Ju, Fei Deng, Rihui Xin
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Machine Learning (cs.LG)
[124] arXiv:2509.02292 [pdf, other]
LLMs and their Limited Theory of Mind: Evaluating Mental State Annotations in Situated Dialogue
Katharine Kowalyshyn, Matthias Scheutz
Subjects: Computation and Language (cs.CL)
[125] arXiv:2509.02225 [pdf, html, other]
Towards Fundamental Language Models: Does Linguistic Competence Scale with Model Size?
Jaime Collado-Montañez, L. Alfonso Ureña-López, Arturo Montejo-Ráez
Comments: 13 pages, 2 figures
Subjects: Computation and Language (cs.CL)
[126] arXiv:2509.02198 [pdf, html, other]
FActBench: A Benchmark for Fine-grained Automatic Evaluation of LLM-Generated Text in the Medical Domain
Anum Afzal, Juraj Vladika, Florian Matthes
Subjects: Computation and Language (cs.CL)
[127] arXiv:2509.02170 [pdf, html, other]
Avoidance Decoding for Diverse Multi-Branch Story Generation
Kyeongman Park, Nakyeong Yang, Kyomin Jung
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[128] arXiv:2509.02160 [pdf, html, other]
Meta-Pretraining for Zero-Shot Cross-Lingual Named Entity Recognition in Low-Resource Philippine Languages
David Demitri Africa, Suchir Salhan, Yuval Weiss, Paula Buttery, Richard Diehl Martinez
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[129] arXiv:2509.02133 [pdf, html, other]
AMBEDKAR-A Multi-level Bias Elimination through a Decoding Approach with Knowledge Augmentation for Robust Constitutional Alignment of Language Models
Snehasis Mukhopadhyay, Aryan Kasat, Shivam Dubey, Rahul Karthikeyan, Dhruv Sood, Vinija Jain, Aman Chadha, Amitava Das
Subjects: Computation and Language (cs.CL)
[130] arXiv:2509.02123 [pdf, html, other]
CMRAG: Co-modality-based document retrieval and visual question answering
Wang Chen, Guanqiang Qi, Weikang Li, Yang Li
Subjects: Computation and Language (cs.CL)
[131] arXiv:2509.02097 [pdf, html, other]
JudgeAgent: Dynamically Evaluate LLMs with Agent-as-Interviewer
Zhichao Shi, Xuhui Jiang, Chengjin Xu, Cangli Yao, Zhenxin Huang, Shengjie Ma, Yinghan Shen, Yuanzhuo Wang
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[132] arXiv:2509.02093 [pdf, html, other]
Better by Comparison: Retrieval-Augmented Contrastive Reasoning for Automatic Prompt Optimization
Juhyeon Lee, Wonduk Seo, Hyunjin An, Seunghyun Lee, Yi Bu
Comments: Preprint
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Information Retrieval (cs.IR)
[133] arXiv:2509.02075 [pdf, html, other]
How Instruction-Tuning Imparts Length Control: A Cross-Lingual Mechanistic Analysis
Elisabetta Rocchetti, Alfio Ferrara
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[134] arXiv:2509.02040 [pdf, html, other]
Attributes as Textual Genes: Leveraging LLMs as Genetic Algorithm Simulators for Conditional Synthetic Data Generation
Guangzeng Han, Weisi Liu, Xiaolei Huang
Comments: Accepted to EMNLP2025 Findings
Subjects: Computation and Language (cs.CL)
[135] arXiv:2509.02038 [pdf, html, other]
NADI 2025: The First Multidialectal Arabic Speech Processing Shared Task
Bashar Talafha, Hawau Olamide Toyin, Peter Sullivan, AbdelRahim Elmadany, Abdurrahman Juma, Amirbek Djanibekov, Chiyu Zhang, Hamad Alshehhi, Hanan Aldarmaki, Mustafa Jarrar, Nizar Habash, Muhammad Abdul-Mageed
Subjects: Computation and Language (cs.CL); Sound (cs.SD)
[136] arXiv:2509.02036 [pdf, other]
DeepSeek performs better than other Large Language Models in Dental Cases
Hexian Zhang, Xinyu Yan, Yanqi Yang, Lijian Jin, Ping Yang, Junwen Wang
Comments: Abstract word count: 171; Total word count: 3130; Total number of tables: 2; Total number of figures: 3; Number of references: 32
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[137] arXiv:2509.02033 [pdf, html, other]
StructCoh: Structured Contrastive Learning for Context-Aware Text Semantic Matching
Chao Xue, Ziyuan Gao
Comments: Accepted by PRICAI 2025
Subjects: Computation and Language (cs.CL)
[138] arXiv:2509.01962 [pdf, html, other]
DRAssist: Dispute Resolution Assistance using Large Language Models
Sachin Pawar, Manoj Apte, Girish K. Palshikar, Basit Ali, Nitin Ramrakhiyani
Comments: Accepted at the 20th International Conference on Artificial Intelligence and Law (ICAIL 2025)
Subjects: Computation and Language (cs.CL)
[139] arXiv:2509.01899 [pdf, html, other]
Weakly Supervised Medical Entity Extraction and Linking for Chief Complaints
Zhimeng Luo, Zhendong Wang, Rui Meng, Diyang Xue, Adam Frisch, Daqing He
Subjects: Computation and Language (cs.CL)
[140] arXiv:2509.01885 [pdf, html, other]
Extracting OPQRST in Electronic Health Records using Large Language Models with Reasoning
Zhimeng Luo, Abhibha Gupta, Adam Frisch, Daqing He
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[141] arXiv:2509.01814 [pdf, html, other]
Mic Drop or Data Flop? Evaluating the Fitness for Purpose of AI Voice Interviewers for Data Collection within Quantitative & Qualitative Research Contexts
Shreyas Tirumala, Nishant Jain, Danny D. Leybzon, Trent D. Buskirk
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Human-Computer Interaction (cs.HC)
[142] arXiv:2509.01790 [pdf, html, other]
Flaw or Artifact? Rethinking Prompt Sensitivity in Evaluating LLMs
Andong Hua, Kenan Tang, Chenhe Gu, Jindong Gu, Eric Wong, Yao Qin
Comments: Accepted to EMNLP 2025 Main Conference
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Machine Learning (cs.LG)
[143] arXiv:2509.01772 [pdf, html, other]
chDzDT: Word-level morphology-aware language model for Algerian social media text
Abdelkrime Aries
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[144] arXiv:2509.01660 [pdf, html, other]
Bridging Thoughts and Words: Graph-Based Intent-Semantic Joint Learning for Fake News Detection
Zhengjia Wang, Qiang Sheng, Danding Wang, Beizhe Hu, Juan Cao
Comments: Accepted to CIKM'25
Subjects: Computation and Language (cs.CL)
[145] arXiv:2509.01654 [pdf, html, other]
Parallel Needleman-Wunsch on CUDA to measure word similarity based on phonetic transcriptions
Dominic Plein
Comments: 11 pages, 12 figures, accompanied by a YouTube video (this https URL) and a GitHub repository (this https URL)
Subjects: Computation and Language (cs.CL)
[146] arXiv:2509.01640 [pdf, html, other]
TransGAT: Transformer-Based Graph Neural Networks for Multi-Dimensional Automated Essay Scoring
Hind Aljuaid, Areej Alhothali, Ohoud Al-Zamzami, Hussein Assalahi
Subjects: Computation and Language (cs.CL); Machine Learning (cs.LG)
[147] arXiv:2509.01620 [pdf, html, other]
Benchmarking the Detection of LLMs-Generated Modern Chinese Poetry
Shanshan Wang, Junchao Wu, Fengying Ye, Jingming Yao, Lidia S. Chao, Derek F. Wong
Comments: Accepted by EMNLP 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[148] arXiv:2509.01606 [pdf, html, other]
Testing the assumptions about the geometry of sentence embedding spaces: the cosine measure need not apply
Vivi Nastase, Paola Merlo
Comments: 25 pages, 6 tables, 10 figures
Subjects: Computation and Language (cs.CL)
[149] arXiv:2509.01564 [pdf, html, other]
Enhancing Uncertainty Estimation in LLMs with Expectation of Aggregated Internal Belief
Zeguan Xiao, Diyang Dou, Boya Xiong, Yun Chen, Guanhua Chen
Subjects: Computation and Language (cs.CL)
[150] arXiv:2509.01560 [pdf, html, other]
In-N-Out: A Parameter-Level API Graph Dataset for Tool Agents
Seungkyu Lee, Nalim Kim, Yohan Jo
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
Total of 413 entries : 1-50 51-100 101-150 151-200 201-250 251-300 ... 401-413
Showing up to 50 entries per page: fewer | more | all
About
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We gratefully acknowledge support from the Simons Foundation, member institutions, and all contributors.
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cs.CL
Search...
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All fields
Search
Computation and Language
Authors and titles for recent submissions
Fri, 5 Sep 2025
Thu, 4 Sep 2025
Wed, 3 Sep 2025
Mon, 1 Sep 2025
Fri, 29 Aug 2025
See today's new changes
Total of 413 entries : 1-50 51-100 101-150 151-200 201-250 251-300 301-350 ... 401-413
Showing up to 50 entries per page: fewer | more | all
Wed, 3 Sep 2025 (continued, showing 50 of 190 entries )
[151] arXiv:2509.01535 [pdf, other]
CAT: Causal Attention Tuning For Injecting Fine-grained Causal Knowledge into Large Language Models
Kairong Han, Wenshuo Zhao, Ziyu Zhao, JunJian Ye, Lujia Pan, Kun Kuang
Comments: Accepted to EMNLP2025 Main conference
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[152] arXiv:2509.01529 [pdf, html, other]
Service, Solidarity, and Self-Help: A Comparative Topic Modeling Analysis of Community Unionism in the Boot and Shoe Union and Unite Community
Thomas Compton
Comments: 10 pages, 7 figures, conference paper
Subjects: Computation and Language (cs.CL)
[153] arXiv:2509.01514 [pdf, html, other]
MeVe: A Modular System for Memory Verification and Effective Context Control in Language Models
Andreas Ottem
Comments: 16 pages, 7 figures, held online presentation at NLPA 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[154] arXiv:2509.01476 [pdf, html, other]
Do Retrieval Augmented Language Models Know When They Don't Know?
Youchao Zhou, Heyan Huang, Yicheng Liu, Rui Dai, Xinglin Wang, Xingchen Zhang, Shumin Shi, Yang Deng
Comments: under review
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[155] arXiv:2509.01468 [pdf, html, other]
Robust Knowledge Editing via Explicit Reasoning Chains for Distractor-Resilient Multi-Hop QA
Yuchen Wu, Liang Ding, Li Shen, Dacheng Tao
Comments: EMNLP 2025 Findings
Subjects: Computation and Language (cs.CL)
[156] arXiv:2509.01455 [pdf, html, other]
Trusted Uncertainty in Large Language Models: A Unified Framework for Confidence Calibration and Risk-Controlled Refusal
Markus Oehri, Giulia Conti, Kaviraj Pather, Alexandre Rossi, Laia Serra, Adrian Parody, Rogvi Johannesen, Aviaja Petersen, Arben Krasniqi
Comments: 10 pages, 5 figures
Subjects: Computation and Language (cs.CL)
[157] arXiv:2509.01418 [pdf, other]
On the Alignment of Large Language Models with Global Human Opinion
Yang Liu, Masahiro Kaneko, Chenhui Chu
Comments: 23 pages, 19 figures
Subjects: Computation and Language (cs.CL)
[158] arXiv:2509.01412 [pdf, html, other]
Vis-CoT: A Human-in-the-Loop Framework for Interactive Visualization and Intervention in LLM Chain-of-Thought Reasoning
Kaviraj Pather, Elena Hadjigeorgiou, Arben Krasniqi, Claire Schmit, Irina Rusu, Marc Pons, Kabir Khan
Comments: 12 pages, 7 figures
Subjects: Computation and Language (cs.CL)
[159] arXiv:2509.01395 [pdf, html, other]
LLMs cannot spot math errors, even when allowed to peek into the solution
KV Aditya Srivatsa, Kaushal Kumar Maurya, Ekaterina Kochmar
Comments: Accepted to EMNLP 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[160] arXiv:2509.01390 [pdf, html, other]
Analysing the Language of Neural Audio Codecs
Joonyong Park, Shinnosuke Takamichi, David M. Chan, Shunsuke Kando, Yuki Saito, Hiroshi Saruwatari
Comments: In Proceedings of 2025 IEEE Automatic Speech Recognition and Understanding Workshop (ASRU 2025)
Subjects: Computation and Language (cs.CL); Audio and Speech Processing (eess.AS)
[161] arXiv:2509.01387 [pdf, html, other]
ABCD-LINK: Annotation Bootstrapping for Cross-Document Fine-Grained Links
Serwar Basch, Ilia Kuznetsov, Tom Hope, Iryna Gurevych
Subjects: Computation and Language (cs.CL); Information Retrieval (cs.IR); Machine Learning (cs.LG)
[162] arXiv:2509.01379 [pdf, html, other]
WATCHED: A Web AI Agent Tool for Combating Hate Speech by Expanding Data
Paloma Piot, Diego Sánchez, Javier Parapar
Subjects: Computation and Language (cs.CL)
[163] arXiv:2509.01363 [pdf, other]
Reasoning Vectors: Transferring Chain-of-Thought Capabilities via Task Arithmetic
Mohammad Zbeeb, Hasan Abed Al Kader Hammoud, Bernard Ghanem
Comments: Under Review
Subjects: Computation and Language (cs.CL)
[164] arXiv:2509.01328 [pdf, other]
Can Large Language Models Master Complex Card Games?
Wei Wang, Fuqing Bie, Junzhe Chen, Dan Zhang, Shiyu Huang, Evgeny Kharlamov, Jie Tang
Subjects: Computation and Language (cs.CL)
[165] arXiv:2509.01324 [pdf, html, other]
KoBLEX: Open Legal Question Answering with Multi-hop Reasoning
Jihyung Lee, Daehui Kim, Seonjeong Hwang, Hyounghun Kim, Gary Lee
Comments: EMNLP 2025 Main Conference
Subjects: Computation and Language (cs.CL)
[166] arXiv:2509.01322 [pdf, html, other]
LongCat-Flash Technical Report
Meituan LongCat Team, Bayan, Bei Li, Bingye Lei, Bo Wang, Bolin Rong, Chao Wang, Chao Zhang, Chen Gao, Chen Zhang, Cheng Sun, Chengcheng Han, Chenguang Xi, Chi Zhang, Chong Peng, Chuan Qin, Chuyu Zhang, Cong Chen, Congkui Wang, Dan Ma, Daoru Pan, Defei Bu, Dengchang Zhao, Deyang Kong, Dishan Liu, Feiye Huo, Fengcun Li, Fubao Zhang, Gan Dong, Gang Liu, Gang Xu, Ge Li, Guoqiang Tan, Guoyuan Lin, Haihang Jing, Haomin Fu, Haonan Yan, Haoxing Wen, Haozhe Zhao, Hong Liu, Hongmei Shi, Hongyan Hao, Hongyin Tang, Huantian Lv, Hui Su, Jiacheng Li, Jiahao Liu, Jiahuan Li, Jiajun Yang, Jiaming Wang, Jian Yang, Jianchao Tan, Jiaqi Sun, Jiaqi Zhang, Jiawei Fu, Jiawei Yang, Jiaxi Hu, Jiayu Qin, Jingang Wang, Jiyuan He, Jun Kuang, Junhui Mei, Kai Liang, Ke He, Kefeng Zhang, Keheng Wang, Keqing He, Liang Gao, Liang Shi, Lianhui Ma, Lin Qiu, Lingbin Kong, Lingtong Si, Linkun Lyu, Linsen Guo, Liqi Yang, Lizhi Yan, Mai Xia, Man Gao, Manyuan Zhang, Meng Zhou, Mengxia Shen, Mingxiang Tuo, Mingyang Zhu, Peiguang Li, Peng Pei, Peng Zhao, Pengcheng Jia, Pingwei Sun, Qi Gu, Qianyun Li, Qingyuan Li, Qiong Huang, Qiyuan Duan, Ran Meng, Rongxiang Weng, Ruichen Shao, Rumei Li, Shizhe Wu, Shuai Liang
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Distributed, Parallel, and Cluster Computing (cs.DC); Machine Learning (cs.LG)
[167] arXiv:2509.01314 [pdf, html, other]
Can Smaller LLMs do better? Unlocking Cross-Domain Potential through Parameter-Efficient Fine-Tuning for Text Summarization
Anum Afzal, Mehul Kumawat, Florian Matthes
Subjects: Computation and Language (cs.CL)
[168] arXiv:2509.01312 [pdf, other]
TableZoomer: A Collaborative Agent Framework for Large-scale Table Question Answering
Sishi Xiong, Ziyang He, Zhongjiang He, Yu Zhao, Changzai Pan, Jie Zhang, Zhenhe Wu, Shuangyong Song, Yongxiang Li
Subjects: Computation and Language (cs.CL)
[169] arXiv:2509.01301 [pdf, html, other]
Culture is Everywhere: A Call for Intentionally Cultural Evaluation
Juhyun Oh, Inha Cha, Michael Saxon, Hyunseung Lim, Shaily Bhatt, Alice Oh
Subjects: Computation and Language (cs.CL)
[170] arXiv:2509.01260 [pdf, other]
Annotation and modeling of emotions in a textual corpus: an evaluative approach
Jonas Noblet (LIDILEM)
Comments: in French language. 27{è}me Rencontre des {É}tudiants Chercheurs en Informatique pour le Traitement Automatique des Langues (RECITAL), Jun 2025, Marseille, France
Subjects: Computation and Language (cs.CL)
[171] arXiv:2509.01236 [pdf, html, other]
Rethinking the Chain-of-Thought: The Roles of In-Context Learning and Pre-trained Priors
Hao Yang, Zhiyu Yang, Yunjie Zhang, Shanyi Zhu, Lin Yang
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[172] arXiv:2509.01221 [pdf, html, other]
DaMoC: Efficiently Selecting the Optimal Large Language Model for Fine-tuning Domain Tasks Based on Data and Model Compression
Wei Huang, Huang Wei, Yinggui Wang
Comments: Accepted by EMNLP 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Machine Learning (cs.LG)
[173] arXiv:2509.01213 [pdf, html, other]
Mitigating Catastrophic Forgetting in Continual Learning through Model Growth
Ege Süalp, Mina Rezaei
Subjects: Computation and Language (cs.CL)
[174] arXiv:2509.01200 [pdf, html, other]
SimulMEGA: MoE Routers are Advanced Policy Makers for Simultaneous Speech Translation
Chenyang Le, Bing Han, Jinshun Li, Songyong Chen, Yanmin Qian
Subjects: Computation and Language (cs.CL); Sound (cs.SD); Audio and Speech Processing (eess.AS)
[175] arXiv:2509.01190 [pdf, html, other]
Efficient Large Language Models with Zero-Shot Adjustable Acceleration
Sajjad Kachuee, Mohammad Sharifkhani
Subjects: Computation and Language (cs.CL)
[176] arXiv:2509.01186 [pdf, html, other]
Statutory Construction and Interpretation for Artificial Intelligence
Luxi He, Nimra Nadeem, Michel Liao, Howard Chen, Danqi Chen, Mariano-Florentino Cuéllar, Peter Henderson
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Computers and Society (cs.CY)
[177] arXiv:2509.01185 [pdf, html, other]
Modular Techniques for Synthetic Long-Context Data Generation in Language Model Training and Evaluation
Seganrasan Subramanian, Abhigya Verma
Comments: 26 pages, 4 figures
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[178] arXiv:2509.01166 [pdf, html, other]
Enhancing Large Language Model for Knowledge Graph Completion via Structure-Aware Alignment-Tuning
Yu Liu, Yanan Cao, Xixun Lin, Yanmin Shang, Shi Wang, Shirui Pan
Comments: EMNLP 2025, Main, Long Paper
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[179] arXiv:2509.01158 [pdf, html, other]
Joint Information Extraction Across Classical and Modern Chinese with Tea-MOELoRA
Xuemei Tang, Chengxi Yan, Jinghang Gu, Chu-Ren Huang
Comments: 9 pages, 3 figures
Subjects: Computation and Language (cs.CL)
[180] arXiv:2509.01147 [pdf, html, other]
Zero-shot Cross-lingual NER via Mitigating Language Difference: An Entity-aligned Translation Perspective
Zhihao Zhang, Sophia Yat Mei Lee, Dong Zhang, Shoushan Li, Guodong Zhou
Comments: EMNLP 2025
Subjects: Computation and Language (cs.CL)
[181] arXiv:2509.01142 [pdf, html, other]
Dream-Coder 7B: An Open Diffusion Language Model for Code
Zhihui Xie, Jiacheng Ye, Lin Zheng, Jiahui Gao, Jingwei Dong, Zirui Wu, Xueliang Zhao, Shansan Gong, Xin Jiang, Zhenguo Li, Lingpeng Kong
Subjects: Computation and Language (cs.CL)
[182] arXiv:2509.01093 [pdf, html, other]
Natural Context Drift Undermines the Natural Language Understanding of Large Language Models
Yulong Wu, Viktor Schlegel, Riza Batista-Navarro
Comments: EMNLP 2025 Findings
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[183] arXiv:2509.01092 [pdf, html, other]
REFRAG: Rethinking RAG based Decoding
Xiaoqiang Lin, Aritra Ghosh, Bryan Kian Hsiang Low, Anshumali Shrivastava, Vijai Mohan
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Machine Learning (cs.LG)
[184] arXiv:2509.01088 [pdf, html, other]
Privacy-Preserving Reasoning with Knowledge-Distilled Parametric Retrieval Augmented Generation
Jinwen Chen, Hainan Zhang, Liang Pang, Yongxin Tong, Haibo Zhou, Yuan Zhan, Wei Lin, Zhiming Zheng
Subjects: Computation and Language (cs.CL)
[185] arXiv:2509.01084 [pdf, html, other]
A Paradigm Gap in Urdu
Farah Adeeba, Rajesh Bhatt
Subjects: Computation and Language (cs.CL)
[186] arXiv:2509.01081 [pdf, html, other]
Assessing Large Language Models on Islamic Legal Reasoning: Evidence from Inheritance Law Evaluation
Abdessalam Bouchekif, Samer Rashwani, Heba Sbahi, Shahd Gaben, Mutez Al-Khatib, Mohammed Ghaly
Comments: 10 pages, 7 Tables, Code: this https URL
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[187] arXiv:2509.01058 [pdf, html, other]
Speaking at the Right Level: Literacy-Controlled Counterspeech Generation with RAG-RL
Xiaoying Song, Anirban Saha Anik, Dibakar Barua, Pengcheng Luo, Junhua Ding, Lingzi Hong
Comments: Accepted at Findings of EMNLP 2025
Subjects: Computation and Language (cs.CL)
[188] arXiv:2509.01053 [pdf, html, other]
A Dynamic Fusion Model for Consistent Crisis Response
Xiaoying Song, Anirban Saha Anik, Eduardo Blanco, Vanessa Frias-Martinez, Lingzi Hong
Comments: Accepted at Findings of EMNLP 2025, 10 pages, 5 figures
Subjects: Computation and Language (cs.CL)
[189] arXiv:2509.01035 [pdf, html, other]
We Politely Insist: Your LLM Must Learn the Persian Art of Taarof
Nikta Gohari Sadr, Sahar Heidariasl, Karine Megerdoomian, Laleh Seyyed-Kalantari, Ali Emami
Comments: Accepted to EMNLP 2025 Main Conference
Subjects: Computation and Language (cs.CL)
[190] arXiv:2509.01011 [pdf, html, other]
Ranking of Bangla Word Graph using Graph-based Ranking Algorithms
S M Rafiuddin
Comments: 8 pages, 2 figures, Publication date 2017-12-07, Conference 2017 3rd International Conference on Electrical Information and Communication Technology EICT, Pages 1-5, Publisher IEEE
Subjects: Computation and Language (cs.CL)
[191] arXiv:2509.00983 [pdf, html, other]
Performance Analysis of Supervised Machine Learning Algorithms for Text Classification
Sadia Zaman Mishu, S M Rafiuddin
Comments: 8 pages, 2 figures, published in 2016 at the 19th International Conference on Computer and Information Technology (ICCIT), Bangladesh, proceedings pp. 409-413, IEEE
Subjects: Computation and Language (cs.CL)
[192] arXiv:2509.00974 [pdf, html, other]
RPRO:Ranked Preference Reinforcement Optimization for Enhancing Medical QA and Diagnostic Reasoning
Chia-Hsuan Hsu, Jun-En Ding, Hsin-Ling Hsu, Feng Liu, Fang-Ming Hung
Subjects: Computation and Language (cs.CL)
[193] arXiv:2509.00949 [pdf, other]
Structure and Destructure: Dual Forces in the Making of Knowledge Engines
Yihong Chen
Comments: PhD thesis. this https URL
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[194] arXiv:2509.00934 [pdf, html, other]
MedCOD: Enhancing English-to-Spanish Medical Translation of Large Language Models Using Enriched Chain-of-Dictionary Framework
Md Shahidul Salim, Lian Fu, Arav Adikesh Ramakrishnan, Zonghai Yao, Hong Yu
Comments: To appear in Findings of the Association for Computational Linguistics: EMNLP 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[195] arXiv:2509.00921 [pdf, other]
Supervised In-Context Fine-Tuning for Generative Sequence Labeling
David Dukić, Goran Glavaš, Jan Šnajder
Subjects: Computation and Language (cs.CL)
[196] arXiv:2509.00893 [pdf, html, other]
SeLeRoSa: Sentence-Level Romanian Satire Detection Dataset
Răzvan-Alexandru Smădu, Andreea Iuga, Dumitru-Clementin Cercel, Florin Pop
Comments: 12 pages, 2 Figures
Subjects: Computation and Language (cs.CL)
[197] arXiv:2509.00877 [pdf, html, other]
EviNote-RAG: Enhancing RAG Models via Answer-Supportive Evidence Notes
Yuqin Dai, Guoqing Wang, Yuan Wang, Kairan Dou, Kaichen Zhou, Zhanwei Zhang, Shuo Yang, Fei Tang, Jun Yin, Pengyu Zeng, Zhenzhe Ying, Can Yi, Changhua Meng, Yuchen Zhou, Yongliang Shen, Shuai Lu
Subjects: Computation and Language (cs.CL)
[198] arXiv:2509.00869 [pdf, html, other]
Exploring and Mitigating Fawning Hallucinations in Large Language Models
Zixuan Shangguan, Yanjie Dong, Lanjun Wang, Xiaoyi Fan, Victor C. M. Leung, Xiping Hu
Subjects: Computation and Language (cs.CL)
[199] arXiv:2509.00849 [pdf, other]
Prompting Away Stereotypes? Evaluating Bias in Text-to-Image Models for Occupations
Shaina Raza, Maximus Powers, Partha Pratim Saha, Mahveen Raza, Rizwan Qureshi
Subjects: Computation and Language (cs.CL)
[200] arXiv:2509.00842 [pdf, html, other]
Negative Matters: Multi-Granularity Hard-Negative Synthesis and Anchor-Token-Aware Pooling for Enhanced Text Embeddings
Tengyu Pan, Zhichao Duan, Zhenyu Li, Bowen Dong, Ning Liu, Xiuxing Li, Jianyong Wang
Subjects: Computation and Language (cs.CL)
Total of 413 entries : 1-50 51-100 101-150 151-200 201-250 251-300 301-350 ... 401-413
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Computation and Language
Authors and titles for recent submissions
Fri, 5 Sep 2025
Thu, 4 Sep 2025
Wed, 3 Sep 2025
Mon, 1 Sep 2025
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Total of 413 entries : 1-50 51-100 101-150 151-200 201-250 251-300 301-350 351-400 ... 401-413
Showing up to 50 entries per page: fewer | more | all
Wed, 3 Sep 2025 (continued, showing 50 of 190 entries )
[201] arXiv:2509.00841 [pdf, html, other]
Neural Models and Language Model Prompting for the Multidimensional Evaluation of Open-Ended Conversations
Michelle Elizabeth, Alicja Kasicka, Natalia Krawczyk, Magalie Ochs, Gwénolé Lecorvé, Justyna Gromada, Lina M. Rojas-Barahona
Subjects: Computation and Language (cs.CL)
[202] arXiv:2509.00822 [pdf, html, other]
TMT: A Simple Way to Translate Topic Models Using Dictionaries
Felix Engl, Andreas Henrich
Comments: 10 pages, 2 figures, 8 tables
Subjects: Computation and Language (cs.CL); Information Retrieval (cs.IR)
[203] arXiv:2509.00806 [pdf, html, other]
CaresAI at BioCreative IX Track 1 -- LLM for Biomedical QA
Reem Abdel-Salam, Mary Adewunmi, Modinat A. Abayomi
Comments: Proceedings of the BioCreative IX Challenge and Workshop (BC9): Large Language Models for Clinical and Biomedical NLP at the International Joint Conference on Artificial Intelligence (IJCAI), Montreal, Canada, 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Machine Learning (cs.LG)
[204] arXiv:2509.00783 [pdf, html, other]
LegalChainReasoner: A Legal Chain-guided Framework for Criminal Judicial Opinion Generation
Weizhe Shi, Qiqi Wang, Yihong Pan, Qian Liu, Kaiqi Zhao
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[205] arXiv:2509.00765 [pdf, html, other]
Decomposing and Revising What Language Models Generate
Zhichao Yan, Jiaoyan Chen, Jiapu Wang, Xiaoli Li, Ru Li, Jeff Z. Pan
Subjects: Computation and Language (cs.CL)
[206] arXiv:2509.00731 [pdf, html, other]
LLM Encoder vs. Decoder: Robust Detection of Chinese AI-Generated Text with LoRA
Houji Jin, Negin Ashrafi, Armin Abdollahi, Wei Liu, Jian Wang, Ganyu Gui, Maryam Pishgar, Huanghao Feng
Subjects: Computation and Language (cs.CL)
[207] arXiv:2509.00709 [pdf, other]
Designing LMS and Instructional Strategies for Integrating Generative-Conversational AI
Elias Ra, Seung Je Kim, Eui-Yeong Seo, Geunju So
Subjects: Computation and Language (cs.CL)
[208] arXiv:2509.00707 [pdf, html, other]
Reward-Weighted Sampling: Enhancing Non-Autoregressive Characteristics in Masked Diffusion LLMs
Daehoon Gwak, Minseo Jung, Junwoo Park, Minho Park, ChaeHun Park, Junha Hyung, Jaegul Choo
Comments: EMNLP 2025 Main Paper (Long)
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[209] arXiv:2509.00698 [pdf, html, other]
Learning to Shop Like Humans: A Review-driven Retrieval-Augmented Recommendation Framework with LLMs
Kaiwen Wei, Jinpeng Gao, Jiang Zhong, Yuming Yang, Fengmao Lv, Zhenyang Li
Subjects: Computation and Language (cs.CL)
[210] arXiv:2509.00691 [pdf, html, other]
CE-Bench: Towards a Reliable Contrastive Evaluation Benchmark of Interpretability of Sparse Autoencoders
Alex Gulko, Yusen Peng, Sachin Kumar
Subjects: Computation and Language (cs.CL)
[211] arXiv:2509.00687 [pdf, html, other]
Text Reinforcement for Multimodal Time Series Forecasting
Chen Su, Yuanhe Tian, Yan Song, Yongdong Zhang
Subjects: Computation and Language (cs.CL)
[212] arXiv:2509.00680 [pdf, other]
Do small language models generate realistic variable-quality fake news headlines?
Austin McCutcheon, Chris Brogly
Subjects: Computation and Language (cs.CL); Information Retrieval (cs.IR)
[213] arXiv:2509.00679 [pdf, html, other]
Router Upcycling: Leveraging Mixture-of-Routers in Mixture-of-Experts Upcycling
Junfeng Ran, Guangxiang Zhao, Yuhan Wu, Dawei Zhu, Longyun Wu, Yikai Zhao, Tong Yang, Lin Sun, Xiangzheng Zhang, Sujian Li
Subjects: Computation and Language (cs.CL)
[214] arXiv:2509.00673 [pdf, html, other]
Confident, Calibrated, or Complicit: Probing the Trade-offs between Safety Alignment and Ideological Bias in Language Models in Detecting Hate Speech
Sanjeeevan Selvaganapathy, Mehwish Nasim
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Information Retrieval (cs.IR)
[215] arXiv:2509.00629 [pdf, html, other]
Can Multi-turn Self-refined Single Agent LMs with Retrieval Solve Hard Coding Problems?
Md Tanzib Hosain, Md Kishor Morol
Comments: Accepted in Proceedings of the 63rd Annual Meeting of the Association for Computational Linguistics (Student Research Workshop), 2025
Subjects: Computation and Language (cs.CL)
[216] arXiv:2509.00623 [pdf, html, other]
A Multi-Strategy Approach for AI-Generated Text Detection
Ali Zain, Sareem Farooqui, Muhammad Rafi
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[217] arXiv:2509.00605 [pdf, html, other]
Gated Associative Memory: A Parallel O(N) Architecture for Efficient Sequence Modeling
Rishiraj Acharya
Comments: 11 pages, 4 figures, 3 tables
Subjects: Computation and Language (cs.CL); Machine Learning (cs.LG)
[218] arXiv:2509.00591 [pdf, other]
Probe-Rewrite-Evaluate: A Workflow for Reliable Benchmarks and Quantifying Evaluation Awareness
Lang Xiong, Nishant Bhargava, Wesley Chang, Jianhang Hong, Haihao Liu, Kevin Zhu
Subjects: Computation and Language (cs.CL)
[219] arXiv:2509.00544 [pdf, html, other]
Thinking Hard, Going Misaligned: Emergent Misalignment in LLMs
Hanqi Yan, Hainiu Xu, Yulan He
Subjects: Computation and Language (cs.CL)
[220] arXiv:2509.00529 [pdf, html, other]
Modeling Motivated Reasoning in Law: Evaluating Strategic Role Conditioning in LLM Summarization
Eunjung Cho, Alexander Hoyle, Yoan Hermstrüwer
Subjects: Computation and Language (cs.CL); Computers and Society (cs.CY)
[221] arXiv:2509.00503 [pdf, html, other]
Entropy-based Coarse and Compressed Semantic Speech Representation Learning
Jialong Zuo, Guangyan Zhang, Minghui Fang, Shengpeng Ji, Xiaoqi Jiao, Jingyu Li, Yiwen Guo, Zhou Zhao
Subjects: Computation and Language (cs.CL); Audio and Speech Processing (eess.AS)
[222] arXiv:2509.00496 [pdf, other]
ResearchQA: Evaluating Scholarly Question Answering at Scale Across 75 Fields with Survey-Mined Questions and Rubrics
Li S. Yifei, Allen Chang, Chaitanya Malaviya, Mark Yatskar
Comments: 11 pages main, 40 pages total, 16 figures
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[223] arXiv:2509.00482 [pdf, html, other]
Talk Less, Call Right: Enhancing Role-Play LLM Agents with Automatic Prompt Optimization and Role Prompting
Saksorn Ruangtanusak, Pittawat Taveekitworachai, Kunat Pipatanakul
Comments: 17 pages, 2 figures
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Human-Computer Interaction (cs.HC)
[224] arXiv:2509.00461 [pdf, html, other]
TECP: Token-Entropy Conformal Prediction for LLMs
Beining Xu
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[225] arXiv:2509.00457 [pdf, html, other]
CVPD at QIAS 2025 Shared Task: An Efficient Encoder-Based Approach for Islamic Inheritance Reasoning
Salah Eddine Bekhouche, Abdellah Zakaria Sellam, Hichem Telli, Cosimo Distante, Abdenour Hadid
Subjects: Computation and Language (cs.CL); Machine Learning (cs.LG)
[226] arXiv:2509.00449 [pdf, html, other]
GOSU: Retrieval-Augmented Generation with Global-Level Optimized Semantic Unit-Centric Framework
Xuecheng Zou, Ke Liu, Bingbing Wang, Huafei Deng, Li Zhang, Yu Tang
Subjects: Computation and Language (cs.CL)
[227] arXiv:2509.00425 [pdf, html, other]
The Gold Medals in an Empty Room: Diagnosing Metalinguistic Reasoning in LLMs with Camlang
Fenghua Liu, Yulong Chen, Yixuan Liu, Zhujun Jin, Solomon Tsai, Ming Zhong
Comments: Working in progress
Subjects: Computation and Language (cs.CL)
[228] arXiv:2509.00414 [pdf, html, other]
MedSEBA: Synthesizing Evidence-Based Answers Grounded in Evolving Medical Literature
Juraj Vladika, Florian Matthes
Comments: Accepted to CIKM 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Information Retrieval (cs.IR)
[229] arXiv:2509.00391 [pdf, html, other]
The Resurgence of GCG Adversarial Attacks on Large Language Models
Yuting Tan, Xuying Li, Zhuo Li, Huizhen Shu, Peikang Hu
Comments: 12 pages, 5 figures
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Cryptography and Security (cs.CR); Machine Learning (cs.LG)
[230] arXiv:2509.00388 [pdf, html, other]
GraphKV: Breaking the Static Selection Paradigm with Graph-Based KV Cache Eviction
Xuelin Li, Xiangqi Jin, Linfeng Zhang
Subjects: Computation and Language (cs.CL)
[231] arXiv:2509.00375 [pdf, html, other]
Open Data Synthesis For Deep Research
Ziyi Xia, Kun Luo, Hongjin Qian, Zheng Liu
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[232] arXiv:2509.00325 [pdf, html, other]
GIER: Gap-Driven Self-Refinement for Large Language Models
Rinku Dewri
Subjects: Computation and Language (cs.CL); Information Retrieval (cs.IR)
[233] arXiv:2509.00309 [pdf, html, other]
Balanced Actor Initialization: Stable RLHF Training of Distillation-Based Reasoning Models
Chen Zheng, Yiyuan Ma, Yuan Yang, Deyi Liu, Jing Liu, Zuquan Song, Yuxin Song, Cheng Ren, Hang Zhu, Xin Liu, Yiyuan Ma, Siyuan Qiao, Xun Zhou, Liang Xiang, Yonghui Wu
Subjects: Computation and Language (cs.CL)
[234] arXiv:2509.00290 [pdf, html, other]
Wage Sentiment Indices Derived from Survey Comments via Large Language Models
Taihei Sone
Comments: Submitted to IEEE Big Data 2025. 10 pages, 2 tables, 16 figures
Subjects: Computation and Language (cs.CL)
[235] arXiv:2509.00285 [pdf, html, other]
OpinioRAG: Towards Generating User-Centric Opinion Highlights from Large-scale Online Reviews
Mir Tafseer Nayeem, Davood Rafiei
Comments: COLM 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Information Retrieval (cs.IR)
[236] arXiv:2509.00276 [pdf, html, other]
Exploring Reasoning-Infused Text Embedding with Large Language Models for Zero-Shot Dense Retrieval
Yuxiang Liu, Tian Wang, Gourab Kundu, Tianyu Cao, Guang Cheng, Zhen Ge, Jianshu Chen, Qingjun Cui, Trishul Chilimbi
Comments: CIKM 2025
Subjects: Computation and Language (cs.CL)
[237] arXiv:2509.00250 [pdf, html, other]
The Temporal Game: A New Perspective on Temporal Relation Extraction
Hugo Sousa, Ricardo Campos, Alípio Jorge
Subjects: Computation and Language (cs.CL)
[238] arXiv:2509.00248 [pdf, html, other]
The Differential Meaning of Models: A Framework for Analyzing the Structural Consequences of Semantic Modeling Decisions
Zachary K. Stine, James E. Deitrick
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[239] arXiv:2509.00245 [pdf, html, other]
The Rarity Blind Spot: A Framework for Evaluating Statistical Reasoning in LLMs
Seiji Maekawa, Hayate Iso, Nikita Bhutani
Subjects: Computation and Language (cs.CL)
[240] arXiv:2509.00190 [pdf, html, other]
Explainable Chain-of-Thought Reasoning: An Empirical Analysis on State-Aware Reasoning Dynamics
Sheldon Yu, Yuxin Xiong, Junda Wu, Xintong Li, Tong Yu, Xiang Chen, Ritwik Sinha, Jingbo Shang, Julian McAuley
Comments: 5 pages, 4 figures
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[241] arXiv:2509.00185 [pdf, html, other]
What Are Research Hypotheses?
Jian Wu, Sarah Rajtmajer
Comments: 6 pages, accepted by Sci-K'25: International Workshop on Scientific Knowledge
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[242] arXiv:2509.00038 [pdf, html, other]
Compiling Prompts, Not Crafting Them: A Reproducible Workflow for AI-Assisted Evidence Synthesis
Teo Susnjak
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[243] arXiv:2509.00030 [pdf, html, other]
MultiStream-LLM: Bridging Modalities for Robust Sign Language Translation
Marshall Thomas, Edward Fish, Richard Bowden
Subjects: Computation and Language (cs.CL); Computer Vision and Pattern Recognition (cs.CV)
[244] arXiv:2509.02563 (cross-list from cs.LG) [pdf, other]
DynaGuard: A Dynamic Guardrail Model With User-Defined Policies
Monte Hoover, Vatsal Baherwani, Neel Jain, Khalid Saifullah, Joseph Vincent, Chirag Jain, Melissa Kazemi Rad, C. Bayan Bruss, Ashwinee Panda, Tom Goldstein
Comments: 22 Pages
Subjects: Machine Learning (cs.LG); Computation and Language (cs.CL)
[245] arXiv:2509.02547 (cross-list from cs.AI) [pdf, html, other]
The Landscape of Agentic Reinforcement Learning for LLMs: A Survey
Guibin Zhang, Hejia Geng, Xiaohang Yu, Zhenfei Yin, Zaibin Zhang, Zelin Tan, Heng Zhou, Zhongzhi Li, Xiangyuan Xue, Yijiang Li, Yifan Zhou, Yang Chen, Chen Zhang, Yutao Fan, Zihu Wang, Songtao Huang, Yue Liao, Hongru Wang, Mengyue Yang, Heng Ji, Michael Littman, Jun Wang, Shuicheng Yan, Philip Torr, Lei Bai
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[246] arXiv:2509.02544 (cross-list from cs.AI) [pdf, html, other]
UI-TARS-2 Technical Report: Advancing GUI Agent with Multi-Turn Reinforcement Learning
Haoming Wang, Haoyang Zou, Huatong Song, Jiazhan Feng, Junjie Fang, Junting Lu, Longxiang Liu, Qinyu Luo, Shihao Liang, Shijue Huang, Wanjun Zhong, Yining Ye, Yujia Qin, Yuwen Xiong, Yuxin Song, Zhiyong Wu, Bo Li, Chen Dun, Chong Liu, Fuxing Leng, Hanbin Wang, Hao Yu, Haobin Chen, Hongyi Guo, Jing Su, Jingjia Huang, Kai Shen, Kaiyu Shi, Lin Yan, Peiyao Zhao, Pengfei Liu, Qinghao Ye, Renjie Zheng, Wayne Xin Zhao, Wen Heng, Wenhao Huang, Wenqian Wang, Xiaobo Qin, Yi Lin, Youbin Wu, Zehui Chen, Zihao Wang, Baoquan Zhong, Xinchun Zhang, Xujing Li, Yuanfan Li, Zhongkai Zhao, Chengquan Jiang, Faming Wu, Haotian Zhou, Jinlin Pang, Li Han, Qianli Ma, Siyao Liu, Songhua Cai, Wenqi Fu, Xin Liu, Zhi Zhang, Bo Zhou, Guoliang Li, Jiajun Shi, Jiale Yang, Jie Tang, Li Li, Taoran Lu, Woyu Lin, Xiaokang Tong, Xinyao Li, Yichi Zhang, Yu Miao, Zhengxuan Jiang, Zili Li, Ziyuan Zhao, Chenxin Li, Dehua Ma, Feng Lin, Ge Zhang, Haihua Yang, Hangyu Guo, Hongda Zhu, Jiaheng Liu, Junda Du, Kai Cai, Kuanye Li, Lichen Yuan, Meilan Han, Minchao Wang, Shuyue Guo, Tianhao Cheng, Xiaobo Ma, Xiaojun Xiao, Xiaolong Huang, Xinjie Chen, Yidi Du, Yilin Chen, Yiwen Wang, Zhaojian Li, Zhenzhu Yang, Zhiyuan Zeng, Chaolin Jin
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Computer Vision and Pattern Recognition (cs.CV); Human-Computer Interaction (cs.HC)
[247] arXiv:2509.02521 (cross-list from cs.SD) [pdf, html, other]
FLM-Audio: Natural Monologues Improves Native Full-Duplex Chatbots via Dual Training
Yiqun Yao, Xiang Li, Xin Jiang, Xuezhi Fang, Naitong Yu, Wenjia Ma, Aixin Sun, Yequan Wang
Subjects: Sound (cs.SD); Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[248] arXiv:2509.02444 (cross-list from cs.AI) [pdf, other]
AppCopilot: Toward General, Accurate, Long-Horizon, and Efficient Mobile Agent
Jingru Fan, Yufan Dang, Jingyao Wu, Huatao Li, Runde Yang, Xiyuan Yang, Yuheng Wang, Zhong Zhang, Yaxi Lu, Yankai Lin, Zhiyuan Liu, Dahai Li, Chen Qian
Comments: Project at this https URL
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Computer Vision and Pattern Recognition (cs.CV); Human-Computer Interaction (cs.HC)
[249] arXiv:2509.02399 (cross-list from cs.LG) [pdf, html, other]
Evaluating Cumulative Spectral Gradient as a Complexity Measure
Haji Gul, Abdul Ghani Naim, Ajaz Ahmad Bhat
Subjects: Machine Learning (cs.LG); Computation and Language (cs.CL)
[250] arXiv:2509.02244 (cross-list from cs.SD) [pdf, html, other]
Spectrogram Patch Codec: A 2D Block-Quantized VQ-VAE and HiFi-GAN for Neural Speech Coding
Luis Felipe Chary, Miguel Arjona Ramirez
Subjects: Sound (cs.SD); Computation and Language (cs.CL); Audio and Speech Processing (eess.AS)
Total of 413 entries : 1-50 51-100 101-150 151-200 201-250 251-300 301-350 351-400 ... 401-413
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Authors and titles for recent submissions
Fri, 5 Sep 2025
Thu, 4 Sep 2025
Wed, 3 Sep 2025
Mon, 1 Sep 2025
Fri, 29 Aug 2025
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Total of 413 entries : 1-50 101-150 151-200 201-250 251-300 301-350 351-400 401-413
Showing up to 50 entries per page: fewer | more | all
Wed, 3 Sep 2025 (continued, showing last 46 of 190 entries )
[251] arXiv:2509.02175 (cross-list from cs.CV) [pdf, html, other]
Understanding Space Is Rocket Science -- Only Top Reasoning Models Can Solve Spatial Understanding Tasks
Nils Hoehing, Mayug Maniparambil, Ellen Rushe, Noel E. O'Connor, Anthony Ventresque
Subjects: Computer Vision and Pattern Recognition (cs.CV); Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Machine Learning (cs.LG)
[252] arXiv:2509.02100 (cross-list from cs.HC) [pdf, html, other]
E-THER: A PCT-Grounded Dataset for Benchmarking Empathic AI
Sharjeel Tahir, Judith Johnson, Jumana Abu-Khalaf, Syed Afaq Ali Shah
Comments: 15 pages, 4 figures. Preprint
Subjects: Human-Computer Interaction (cs.HC); Computation and Language (cs.CL)
[253] arXiv:2509.02077 (cross-list from cs.CR) [pdf, html, other]
From Attack Descriptions to Vulnerabilities: A Sentence Transformer-Based Approach
Refat Othman, Diaeddin Rimawi, Bruno Rossi, Barbara Russo
Comments: Accepted in The Journal of Systems and Software (2025)
Subjects: Cryptography and Security (cs.CR); Computation and Language (cs.CL); Machine Learning (cs.LG)
[254] arXiv:2509.01954 (cross-list from cs.SI) [pdf, other]
Content and Engagement Trends in COVID-19 YouTube Videos: Evidence from the Late Pandemic
Nirmalya Thakur, Madeline D Hartel, Lane Michael Boden, Dallas Enriquez, Boston Joyner Ricks
Subjects: Social and Information Networks (cs.SI); Computation and Language (cs.CL); Computers and Society (cs.CY); Emerging Technologies (cs.ET); Machine Learning (cs.LG)
[255] arXiv:2509.01938 (cross-list from cs.AI) [pdf, html, other]
EigenBench: A Comparative Behavioral Measure of Value Alignment
Jonathn Chang, Leonhard Piff, Suvadip Sana, Jasmine X. Li, Lionel Levine
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Computers and Society (cs.CY); Machine Learning (cs.LG)
[256] arXiv:2509.01914 (cross-list from cs.AI) [pdf, other]
How Real Is AI Tutoring? Comparing Simulated and Human Dialogues in One-on-One Instruction
Ruijia Li, Yuan-Hao Jiang, Jiatong Wang, Bo Jiang
Comments: Proceedings of the 33rd International Conference on Computers in Education (ICCE 2025). Asia-Pacific Society for Computers in Education
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Multiagent Systems (cs.MA)
[257] arXiv:2509.01909 (cross-list from cs.AI) [pdf, other]
Oyster-I: Beyond Refusal -- Constructive Safety Alignment for Responsible Language Models
Ranjie Duan, Jiexi Liu, Xiaojun Jia, Shiji Zhao, Ruoxi Cheng, Fengxiang Wang, Cheng Wei, Yong Xie, Chang Liu, Defeng Li, Yinpeng Dong, Yichi Zhang, Yuefeng Chen, Chongwen Wang, Xingjun Ma, Xingxing Wei, Yang Liu, Hang Su, Jun Zhu, Xinfeng Li, Yitong Sun, Jie Zhang, Jinzhao Hu, Sha Xu, Yitong Yang, Jialing Tao, Hui Xue
Comments: Technical Report Code & Model weights available: this https URL
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Computers and Society (cs.CY); Human-Computer Interaction (cs.HC); Symbolic Computation (cs.SC)
[258] arXiv:2509.01907 (cross-list from cs.CV) [pdf, html, other]
RSCC: A Large-Scale Remote Sensing Change Caption Dataset for Disaster Events
Zhenyuan Chen, Chenxi Wang, Ningyu Zhang, Feng Zhang
Comments: under review
Subjects: Computer Vision and Pattern Recognition (cs.CV); Computation and Language (cs.CL)
[259] arXiv:2509.01813 (cross-list from cs.MA) [pdf, html, other]
ShortageSim: Simulating Drug Shortages under Information Asymmetry
Mingxuan Cui, Yilan Jiang, Duo Zhou, Cheng Qian, Yuji Zhang, Qiong Wang
Comments: 21 Pages
Subjects: Multiagent Systems (cs.MA); Computation and Language (cs.CL); Computer Science and Game Theory (cs.GT)
[260] arXiv:2509.01716 (cross-list from cs.AI) [pdf, html, other]
An LLM-enabled semantic-centric framework to consume privacy policies
Rui Zhao, Vladyslav Melnychuk, Jun Zhao, Jesse Wright, Nigel Shadbolt
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[261] arXiv:2509.01656 (cross-list from cs.CV) [pdf, html, other]
Reinforced Visual Perception with Tools
Zetong Zhou, Dongping Chen, Zixian Ma, Zhihan Hu, Mingyang Fu, Sinan Wang, Yao Wan, Zhou Zhao, Ranjay Krishna
Comments: Technical Report
Subjects: Computer Vision and Pattern Recognition (cs.CV); Computation and Language (cs.CL)
[262] arXiv:2509.01566 (cross-list from cs.IR) [pdf, html, other]
CSRM-LLM: Embracing Multilingual LLMs for Cold-Start Relevance Matching in Emerging E-commerce Markets
Yujing Wang, Yiren Chen, Huoran Li, Chunxu Xu, Yuchong Luo, Xianghui Mao, Cong Li, Lun Du, Chunyang Ma, Qiqi Jiang, Yin Wang, Fan Gao, Wenting Mo, Pei Wen, Shantanu Kumar, Taejin Park, Yiwei Song, Vijay Rajaram, Tao Cheng, Sonu Durgia, Pranam Kolari
Comments: 7 pages, 3 figures
Journal-ref: CIKM 2025
Subjects: Information Retrieval (cs.IR); Computation and Language (cs.CL)
[263] arXiv:2509.01401 (cross-list from cs.SD) [pdf, html, other]
ArabEmoNet: A Lightweight Hybrid 2D CNN-BiLSTM Model with Attention for Robust Arabic Speech Emotion Recognition
Ali Abouzeid, Bilal Elbouardi, Mohamed Maged, Shady Shehata
Comments: Accepted (The Third Arabic Natural Language Processing Conference)
Subjects: Sound (cs.SD); Computation and Language (cs.CL); Audio and Speech Processing (eess.AS)
[264] arXiv:2509.01391 (cross-list from eess.AS) [pdf, html, other]
MixedG2P-T5: G2P-free Speech Synthesis for Mixed-script texts using Speech Self-Supervised Learning and Language Model
Joonyong Park, Daisuke Saito, Nobuaki Minematsu
Comments: In Proceedings of the 17th Asia Pacific Signal and Information Processing Association Annual Summit and Conference (APSIPA ASC 2025)
Subjects: Audio and Speech Processing (eess.AS); Computation and Language (cs.CL)
[265] arXiv:2509.01337 (cross-list from cs.MM) [pdf, html, other]
LLM-Guided Semantic Relational Reasoning for Multimodal Intent Recognition
Qianrui Zhou, Hua Xu, Yifan Wang, Xinzhi Dong, Hanlei Zhang
Comments: Accepted by EMNLP 2025 (Main Track, Long Paper)
Subjects: Multimedia (cs.MM); Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[266] arXiv:2509.01321 (cross-list from cs.LG) [pdf, html, other]
Towards High Data Efficiency in Reinforcement Learning with Verifiable Reward
Xinyu Tang, Zhenduo Zhang, Yurou Liu, Wayne Xin Zhao, Zujie Wen, Zhiqiang Zhang, Jun Zhou
Subjects: Machine Learning (cs.LG); Computation and Language (cs.CL)
[267] arXiv:2509.01308 (cross-list from cs.AI) [pdf, other]
GradeSQL: Outcome Reward Models for Ranking SQL Queries from Large Language Models
Mattia Tritto, Giuseppe Farano, Dario Di Palma, Gaetano Rossiello, Fedelucio Narducci, Dharmashankar Subramanian, Tommaso Di Noia
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Databases (cs.DB)
[268] arXiv:2509.01182 (cross-list from cs.AI) [pdf, html, other]
Question-to-Knowledge: Multi-Agent Generation of Inspectable Facts for Product Mapping
Wonduk Seo, Taesub Shin, Hyunjin An, Dokyun Kim, Seunghyun Lee
Comments: Preprint
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Human-Computer Interaction (cs.HC); Information Retrieval (cs.IR); Multiagent Systems (cs.MA)
[269] arXiv:2509.01167 (cross-list from cs.CV) [pdf, html, other]
Do Video Language Models Really Know Where to Look? Diagnosing Attention Failures in Video Language Models
Hyunjong Ok, Jaeho Lee
Comments: preprint
Subjects: Computer Vision and Pattern Recognition (cs.CV); Computation and Language (cs.CL); Machine Learning (cs.LG)
[270] arXiv:2509.01055 (cross-list from cs.AI) [pdf, html, other]
VerlTool: Towards Holistic Agentic Reinforcement Learning with Tool Use
Dongfu Jiang, Yi Lu, Zhuofeng Li, Zhiheng Lyu, Ping Nie, Haozhe Wang, Alex Su, Hui Chen, Kai Zou, Chao Du, Tianyu Pang, Wenhu Chen
Comments: 32 pages, 5 figures, 13 tables
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Computer Vision and Pattern Recognition (cs.CV)
[271] arXiv:2509.01052 (cross-list from cs.AI) [pdf, other]
FlashAdventure: A Benchmark for GUI Agents Solving Full Story Arcs in Diverse Adventure Games
Jaewoo Ahn, Junseo Kim, Heeseung Yun, Jaehyeon Son, Dongmin Park, Jaewoong Cho, Gunhee Kim
Comments: EMNLP 2025 Main. Project page: this https URL
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Computer Vision and Pattern Recognition (cs.CV)
[272] arXiv:2509.01051 (cross-list from cs.HC) [pdf, html, other]
Chronotome: Real-Time Topic Modeling for Streaming Embedding Spaces
Matte Lim, Catherine Yeh, Martin Wattenberg, Fernanda Viégas, Panagiotis Michalatos
Comments: Accepted to IEEE VIS 2025 Short Paper Track (5 pages, 4 figures)
Subjects: Human-Computer Interaction (cs.HC); Computation and Language (cs.CL); Computer Vision and Pattern Recognition (cs.CV); Machine Learning (cs.LG)
[273] arXiv:2509.01016 (cross-list from cs.AI) [pdf, html, other]
Analysis of Error Sources in LLM-based Hypothesis Search for Few-Shot Rule Induction
Aishni Parab, Hongjing Lu, Ying Nian Wu, Sumit Gulwani
Comments: This is the preprint version corresponding to our NeurIPS 2025 Workshop on Multimodal Algorithmic Reasoning submission
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Machine Learning (cs.LG); Neural and Evolutionary Computing (cs.NE)
[274] arXiv:2509.00996 (cross-list from cs.LG) [pdf, other]
MEPT: Mixture of Expert Prompt Tuning as a Manifold Mapper
Runjia Zeng, Guangyan Sun, Qifan Wang, Tong Geng, Sohail Dianat, Xiaotian Han, Raghuveer Rao, Xueling Zhang, Cheng Han, Lifu Huang, Dongfang Liu
Comments: EMNLP 2025
Subjects: Machine Learning (cs.LG); Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[275] arXiv:2509.00990 (cross-list from stat.ML) [pdf, html, other]
Hybrid Topic-Semantic Labeling and Graph Embeddings for Unsupervised Legal Document Clustering
Deepak Bastola, Woohyeok Choi
Comments: 20 pages, 8 figures, 3 tables
Subjects: Machine Learning (stat.ML); Computation and Language (cs.CL); Machine Learning (cs.LG)
[276] arXiv:2509.00975 (cross-list from cs.AI) [pdf, html, other]
Self-Exploring Language Models for Explainable Link Forecasting on Temporal Graphs via Reinforcement Learning
Zifeng Ding, Shenyang Huang, Zeyu Cao, Emma Kondrup, Zachary Yang, Xingyue Huang, Yuan Sui, Zhangdie Yuan, Yuqicheng Zhu, Xianglong Hu, Yuan He, Farimah Poursafaei, Michael Bronstein, Andreas Vlachos
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Machine Learning (cs.LG)
[277] arXiv:2509.00925 (cross-list from cs.LG) [pdf, html, other]
DTRNet: Dynamic Token Routing Network to Reduce Quadratic Costs in Transformers
Aman Sharma, Saeed Najafi, Parsa Farinneya, Benyamin Jamialahmadi, Marzieh S. Tahaei, Yuhe Fan, Mehdi Rezagholizadeh, Boxing Chen, Aref Jafari
Subjects: Machine Learning (cs.LG); Computation and Language (cs.CL)
[278] arXiv:2509.00891 (cross-list from cs.AI) [pdf, html, other]
ChatCLIDS: Simulating Persuasive AI Dialogues to Promote Closed-Loop Insulin Adoption in Type 1 Diabetes Care
Zonghai Yao, Talha Chafekar, Junda Wang, Shuo Han, Feiyun Ouyang, Junhui Qian, Lingxi Li, Hong Yu
Comments: Equal contribution for the first two authors
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[279] arXiv:2509.00768 (cross-list from cs.AI) [pdf, html, other]
Aligning Reasoning LLMs for Materials Discovery with Physics-aware Rejection Sampling
Lee Hyun, Sohee Yoon, Jinwoo Park, Sue In Chae, Seongeon Park, Jooyeon Ahn, Yebin Jung, Youjung Chung, Hogeun Chang, Myeonginn Kang, Jina Kim, Ho-Gyeong Kim, Myeonghun Jeong
Comments: 14 pages, 5 figures
Subjects: Artificial Intelligence (cs.AI); Materials Science (cond-mat.mtrl-sci); Computation and Language (cs.CL)
[280] arXiv:2509.00761 (cross-list from cs.AI) [pdf, html, other]
L-MARS: Legal Multi-Agent Workflow with Orchestrated Reasoning and Agentic Search
Ziqi Wang, Boqin Yuan
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[281] arXiv:2509.00710 (cross-list from cs.AI) [pdf, html, other]
On Verifiable Legal Reasoning: A Multi-Agent Framework with Formalized Knowledge Representations
Albert Sadowski, Jarosław A. Chudziak
Comments: Accepted for publication at the 34th ACM International Conference on Information and Knowledge Management (CIKM '25)
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[282] arXiv:2509.00546 (cross-list from cs.LG) [pdf, other]
Advanced spectral clustering for heterogeneous data in credit risk monitoring systems
Lu Han, Mengyan Li, Jiping Qiang, Zhi Su
Comments: 25 pages, 7 figures, 6 tables
Subjects: Machine Learning (cs.LG); Computation and Language (cs.CL)
[283] arXiv:2509.00520 (cross-list from cs.IR) [pdf, html, other]
ERank: Fusing Supervised Fine-Tuning and Reinforcement Learning for Effective and Efficient Text Reranking
Yuzheng Cai, Yanzhao Zhang, Dingkun Long, Mingxin Li, Pengjun Xie, Weiguo Zheng
Subjects: Information Retrieval (cs.IR); Computation and Language (cs.CL)
[284] arXiv:2509.00510 (cross-list from cs.AI) [pdf, html, other]
LLM-Assisted Iterative Evolution with Swarm Intelligence Toward SuperBrain
Li Weigang, Pedro Carvalho Brom, Lucas Ramson Siefert
Comments: 24 pages, 5 figures
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[285] arXiv:2509.00366 (cross-list from cs.MA) [pdf, html, other]
KG-RAG: Enhancing GUI Agent Decision-Making via Knowledge Graph-Driven Retrieval-Augmented Generation
Ziyi Guan, Jason Chun Lok Li, Zhijian Hou, Pingping Zhang, Donglai Xu, Yuzhi Zhao, Mengyang Wu, Jinpeng Chen, Thanh-Toan Nguyen, Pengfei Xian, Wenao Ma, Shengchao Qin, Graziano Chesi, Ngai Wong
Comments: Accepted by the EMNLP 2025
Subjects: Multiagent Systems (cs.MA); Computation and Language (cs.CL); Multimedia (cs.MM)
[286] arXiv:2509.00230 (cross-list from cs.SD) [pdf, html, other]
Evaluating the Effectiveness of Transformer Layers in Wav2Vec 2.0, XLS-R, and Whisper for Speaker Identification Tasks
Linus Stuhlmann, Michael Alexander Saxer
Subjects: Sound (cs.SD); Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Machine Learning (cs.LG); Audio and Speech Processing (eess.AS)
[287] arXiv:2509.00115 (cross-list from cs.AI) [pdf, html, other]
Adaptive Monitoring and Real-World Evaluation of Agentic AI Systems
Manish Shukla
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Multiagent Systems (cs.MA)
[288] arXiv:2509.00096 (cross-list from cs.LG) [pdf, html, other]
Pruning Weights but Not Truth: Safeguarding Truthfulness While Pruning LLMs
Yao Fu, Runchao Li, Xianxuan Long, Haotian Yu, Xiaotian Han, Yu Yin, Pan Li
Comments: Accepted to EMNLP2025 findings (poster)
Subjects: Machine Learning (cs.LG); Computation and Language (cs.CL)
[289] arXiv:2509.00094 (cross-list from eess.AS) [pdf, other]
Automatic Pronunciation Error Detection and Correction of the Holy Quran's Learners Using Deep Learning
Abdullah Abdelfattah, Mahmoud I. Khalil, Hazem Abbas
Subjects: Audio and Speech Processing (eess.AS); Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Machine Learning (cs.LG); Sound (cs.SD)
[290] arXiv:2509.00091 (cross-list from cs.AI) [pdf, html, other]
Ensemble Debates with Local Large Language Models for AI Alignment
Ephraiem Sarabamoun
Comments: 9 pages, 2 tables
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[291] arXiv:2509.00084 (cross-list from cs.LG) [pdf, html, other]
Learning to Refine: Self-Refinement of Parallel Reasoning in LLMs
Qibin Wang, Pu Zhao, Shaohan Huang, Fangkai Yang, Lu Wang, Furu Wei, Qingwei Lin, Saravan Rajmohan, Dongmei Zhang
Subjects: Machine Learning (cs.LG); Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[292] arXiv:2509.00083 (cross-list from cs.LG) [pdf, html, other]
Data Cartography for Detecting Memorization Hotspots and Guiding Data Interventions in Generative Models
Laksh Patel, Neel Shanbhag
Comments: 6 pages, 2 figures, 1 table; Presented at the 42nd International Conference on Machine Learning (ICML), winning the "Best Poster" award at ICML's workshop for data in generative models (DIG-BUGS)
Subjects: Machine Learning (cs.LG); Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
[293] arXiv:2509.00078 (cross-list from eess.AS) [pdf, html, other]
ChipChat: Low-Latency Cascaded Conversational Agent in MLX
Tatiana Likhomanenko, Luke Carlson, Richard He Bai, Zijin Gu, Han Tran, Zakaria Aldeneh, Yizhe Zhang, Ruixiang Zhang, Huangjie Zheng, Navdeep Jaitly
Comments: ASRU 2025
Subjects: Audio and Speech Processing (eess.AS); Computation and Language (cs.CL); Machine Learning (cs.LG); Sound (cs.SD)
[294] arXiv:2509.00077 (cross-list from eess.AS) [pdf, html, other]
Amplifying Emotional Signals: Data-Efficient Deep Learning for Robust Speech Emotion Recognition
Tai Vu
Subjects: Audio and Speech Processing (eess.AS); Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Sound (cs.SD)
[295] arXiv:2509.00074 (cross-list from cs.AI) [pdf, other]
Language and Experience: A Computational Model of Social Learning in Complex Tasks
Cédric Colas, Tracey Mills, Ben Prystawski, Michael Henry Tessler, Noah Goodman, Jacob Andreas, Joshua Tenenbaum
Subjects: Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Machine Learning (cs.LG)
[296] arXiv:2509.00053 (cross-list from cs.MM) [pdf, html, other]
Traj-MLLM: Can Multimodal Large Language Models Reform Trajectory Data Mining?
Shuo Liu, Di Yao, Yan Lin, Gao Cong, Jingping Bi
Comments: 20 pages, 10 figures
Subjects: Multimedia (cs.MM); Artificial Intelligence (cs.AI); Computation and Language (cs.CL)
Mon, 1 Sep 2025 (showing first 4 of 48 entries )
[297] arXiv:2508.21788 [pdf, html, other]
Going over Fine Web with a Fine-Tooth Comb: Technical Report of Indexing Fine Web for Problematic Content Search and Retrieval
Inés Altemir Marinas, Anastasiia Kucherenko, Andrei Kucharavy
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Information Retrieval (cs.IR)
[298] arXiv:2508.21787 [pdf, html, other]
PiCSAR: Probabilistic Confidence Selection And Ranking
Joshua Ong Jun Leang, Zheng Zhao, Aryo Pradipta Gema, Sohee Yang, Wai-Chung Kwan, Xuanli He, Wenda Li, Pasquale Minervini, Eleonora Giunchiglia, Shay B. Cohen
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[299] arXiv:2508.21762 [pdf, html, other]
Reasoning-Intensive Regression
Diane Tchuindjo, Omar Khattab
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[300] arXiv:2508.21741 [pdf, html, other]
Not All Parameters Are Created Equal: Smart Isolation Boosts Fine-Tuning Performance
Yao Wang, Di Liang, Minlong Peng
Comments: Accepted to EMNLP 2025 Main Conference
Subjects: Computation and Language (cs.CL)
Total of 413 entries : 1-50 101-150 151-200 201-250 251-300 301-350 351-400 401-413
Showing up to 50 entries per page: fewer | more | all
About
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We gratefully acknowledge support from the Simons Foundation, member institutions, and all contributors.
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cs.CL
Search...
Help | Advanced Search
All fields
Search
Computation and Language
Authors and titles for recent submissions
Fri, 5 Sep 2025
Thu, 4 Sep 2025
Wed, 3 Sep 2025
Mon, 1 Sep 2025
Fri, 29 Aug 2025
See today's new changes
Total of 413 entries : 1-50 151-200 201-250 251-300 301-350 351-400 401-413
Showing up to 50 entries per page: fewer | more | all
Mon, 1 Sep 2025 (continued, showing last 44 of 48 entries )
[301] arXiv:2508.21675 [pdf, html, other]
Is this chart lying to me? Automating the detection of misleading visualizations
Jonathan Tonglet, Jan Zimny, Tinne Tuytelaars, Iryna Gurevych
Comments: Preprint under review. Code and data available at: this https URL
Subjects: Computation and Language (cs.CL); Computer Vision and Pattern Recognition (cs.CV); Graphics (cs.GR)
[302] arXiv:2508.21632 [pdf, html, other]
QZhou-Embedding Technical Report
Peng Yu, En Xu, Bin Chen, Haibiao Chen, Yinfei Xu
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[303] arXiv:2508.21628 [pdf, html, other]
Personality Matters: User Traits Predict LLM Preferences in Multi-Turn Collaborative Tasks
Sarfaroz Yunusov, Kaige Chen, Kazi Nishat Anwar, Ali Emami
Comments: Accepted to EMNLP 2025 Main Conference
Subjects: Computation and Language (cs.CL); Human-Computer Interaction (cs.HC)
[304] arXiv:2508.21589 [pdf, html, other]
Middo: Model-Informed Dynamic Data Optimization for Enhanced LLM Fine-Tuning via Closed-Loop Learning
Zinan Tang, Xin Gao, Qizhi Pei, Zhuoshi Pan, Mengzhang Cai, Jiang Wu, Conghui He, Lijun Wu
Comments: Accepted by EMNLP 2025 (main)
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[305] arXiv:2508.21587 [pdf, html, other]
A Survey on Current Trends and Recent Advances in Text Anonymization
Tobias Deußer, Lorenz Sparrenberg, Armin Berger, Max Hahnbück, Christian Bauckhage, Rafet Sifa
Comments: Accepted at IEEE DSAA 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
[306] arXiv:2508.21569 [pdf, html, other]
L3Cube-MahaSTS: A Marathi Sentence Similarity Dataset and Models
Aishwarya Mirashi, Ananya Joshi, Raviraj Joshi
Subjects: Computation and Language (cs.CL); Machine Learning (cs.LG)
[307] arXiv:2508.21482 [pdf, html, other]
HSFN: Hierarchical Selection for Fake News Detection building Heterogeneous Ensemble
Sara B. Coutinho, Rafael M.O. Cruz, Francimaria R. S. Nascimento, George D. C. Cavalcanti
Comments: Accepted by IEEE International Conference on Systems, Man, and Cybernetics (SMC) - IEEE SMC 2025
Subjects: Computation and Language (cs.CL); Artificial Intelligence (cs.AI); Machine Learning (cs.LG)
[308] arXiv:2508.21476 [pdf, html, other]
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English
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32k
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T3. Evidence-Grounded QA
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T3.2 Single-Hop Fact QA
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Partial
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What are all the topic categories listed in the paper "Delta Activities: A Representation for Finetuned Large Language Models" (arXiv: 2509.04442)? Output the "[Answer]" identifier first, and then output the answer option letter (A/B/C/D), without any additional content.
A. Machine Learning (cs.LG); Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
B. Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Information Retrieval (cs.IR)
C. Machine Learning (cs.LG); Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Information Retrieval (cs.IR)
D. Machine Learning (cs.LG); Artificial Intelligence (cs.AI); Information Retrieval (cs.IR); Sound (cs.SD)
Output example:
[Answer]
A
|
What are all the topic categories listed in the paper "Delta Activities: A Representation for Finetuned Large Language Models" (arXiv: 2509.04442)? Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the answer option letter (A/B/C/D).
A. Machine Learning (cs.LG); Computation and Language (cs.CL); Artificial Intelligence (cs.AI)
B. Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Information Retrieval (cs.IR)
C. Machine Learning (cs.LG); Artificial Intelligence (cs.AI); Computation and Language (cs.CL); Information Retrieval (cs.IR)
D. Machine Learning (cs.LG); Artificial Intelligence (cs.AI); Information Retrieval (cs.IR); Sound (cs.SD)
Output example:
<Your thinking process>
[Answer]
A
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[
"C"
] |
Easy
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1744f8543a86eeac52c31249f79506641d9e6e0651ac32e21be9e88754fc3a0c
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K
(Mark One)
☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended September 30, 2023
or
☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from to .
Commission File Number: 001-36743
Apple Inc.
(Exact name of Registrant as specified in its charter)
California 94-2404110
(State or other jurisdiction
of incorporation or organization) (I.R.S. Employer Identification No.)
One Apple Park Way
Cupertino, California 95014
(Address of principal executive offices) (Zip Code)
(408) 996-1010
(Registrant’s telephone number, including area code)
Securities registered pursuant to Section 12(b) of the Act:
Title of each class Trading symbol(s) Name of each exchange on which registered
Common Stock, $0.00001 par value per share AAPL The Nasdaq Stock Market LLC
1.375% Notes due 2024 — The Nasdaq Stock Market LLC
0.000% Notes due 2025 — The Nasdaq Stock Market LLC
0.875% Notes due 2025 — The Nasdaq Stock Market LLC
1.625% Notes due 2026 — The Nasdaq Stock Market LLC
2.000% Notes due 2027 — The Nasdaq Stock Market LLC
1.375% Notes due 2029 — The Nasdaq Stock Market LLC
3.050% Notes due 2029 — The Nasdaq Stock Market LLC
0.500% Notes due 2031 — The Nasdaq Stock Market LLC
3.600% Notes due 2042 — The Nasdaq Stock Market LLC
Securities registered pursuant to Section 12(g) of the Act: None
Indicate by check mark if the Registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.
Yes ☒ No ☐
Indicate by check mark if the Registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act.
Yes ☐ No ☒
Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.
Yes ☒ No ☐
Indicate by check mark whether the Registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the Registrant was required to submit such files).
Yes ☒ No ☐
Indicate by check mark whether the Registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer ☒ Accelerated filer ☐
Non-accelerated filer ☐ Smaller reporting company ☐
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the Registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Indicate by check mark whether the Registrant has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report. ☒
If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflect the correction of an error to previously issued financial statements. ☐
Indicate by check mark whether any of those error corrections are restatements that required a recovery analysis of incentive-based compensation received by any of the registrant’s executive officers during the relevant recovery period pursuant to §240.10D-1(b). ☐
Indicate by check mark whether the Registrant is a shell company (as defined in Rule 12b-2 of the Act).
Yes ☐ No ☒
The aggregate market value of the voting and non-voting stock held by non-affiliates of the Registrant, as of March 31, 2023, the last business day of the Registrant’s most recently completed second fiscal quarter, was approximately $2,591,165,000,000. Solely for purposes of this disclosure, shares of common stock held by executive officers and directors of the Registrant as of such date have been excluded because such persons may be deemed to be affiliates. This determination of executive officers and directors as affiliates is not necessarily a conclusive determination for any other purposes.
15,552,752,000 shares of common stock were issued and outstanding as of October 20, 2023.
DOCUMENTS INCORPORATED BY REFERENCE
Portions of the Registrant’s definitive proxy statement relating to its 2024 annual meeting of shareholders are incorporated by reference into Part III of this Annual Report on Form 10-K where indicated. The Registrant’s definitive proxy statement will be filed with the U.S. Securities and Exchange Commission within 120 days after the end of the fiscal year to which this report relates.
Apple Inc.
Form 10-K
For the Fiscal Year Ended September 30, 2023
TABLE OF CONTENTS
Page
Part I
Item 1.
Business
1
Item 1A.
Risk Factors
5
Item 1B.
Unresolved Staff Comments
16
Item 1C.
Cybersecurity
16
Item 2.
Properties
17
Item 3.
Legal Proceedings
17
Item 4.
Mine Safety Disclosures
17
Part II
Item 5.
Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities
18
Item 6.
[Reserved]
19
Item 7.
Management’s Discussion and Analysis of Financial Condition and Results of Operations
20
Item 7A.
Quantitative and Qualitative Disclosures About Market Risk
26
Item 8.
Financial Statements and Supplementary Data
27
This Annual Report on Form 10-K (“Form 10-K”) contains forward-looking statements, within the meaning of the Private Securities Litigation Reform Act of 1995, that involve risks and uncertainties. Many of the forward-looking statements are located in Part I, Item 1 of this Form 10-K under the heading “Business” and Part II, Item 7 of this Form 10-K under the heading “Management’s Discussion and Analysis of Financial Condition and Results of Operations.” Forward-looking statements provide current expectations of future events based on certain assumptions and include any statement that does not directly relate to any historical or current fact. For example, statements in this Form 10-K regarding the potential future impact of macroeconomic conditions on the Company’s business and results of operations are forward-looking statements. Forward-looking statements can also be identified by words such as “future,” “anticipates,” “believes,” “estimates,” “expects,” “intends,” “plans,” “predicts,” “will,” “would,” “could,” “can,” “may,” and similar terms. Forward-looking statements are not guarantees of future performance and the Company’s actual results may differ significantly from the results discussed in the forward-looking statements. Factors that might cause such differences include, but are not limited to, those discussed in Part I, Item 1A of this Form 10-K under the heading “Risk Factors.” The Company assumes no obligation to revise or update any forward-looking statements for any reason, except as required by law.
Unless otherwise stated, all information presented herein is based on the Company’s fiscal calendar, and references to particular years, quarters, months or periods refer to the Company’s fiscal years ended in September and the associated quarters, months and periods of those fiscal years. Each of the terms the “Company” and “Apple” as used herein refers collectively to Apple Inc. and its wholly owned subsidiaries, unless otherwise stated.
PART I
Item 1. Business
Company Background
The Company designs, manufactures and markets smartphones, personal computers, tablets, wearables and accessories, and sells a variety of related services. The Company’s fiscal year is the 52- or 53-week period that ends on the last Saturday of September.
Products
iPhone
iPhone® is the Company’s line of smartphones based on its iOS operating system. The iPhone line includes iPhone 15 Pro, iPhone 15, iPhone 14, iPhone 13 and iPhone SE®.
Mac
Mac® is the Company’s line of personal computers based on its macOS® operating system. The Mac line includes laptops MacBook Air® and MacBook Pro®, as well as desktops iMac®, Mac mini®, Mac Studio® and Mac Pro®.
iPad
iPad® is the Company’s line of multipurpose tablets based on its iPadOS® operating system. The iPad line includes iPad Pro®, iPad Air®, iPad and iPad mini®.
Wearables, Home and Accessories
Wearables includes smartwatches and wireless headphones. The Company’s line of smartwatches, based on its watchOS® operating system, includes Apple Watch Ultra™ 2, Apple Watch® Series 9 and Apple Watch SE®. The Company’s line of wireless headphones includes AirPods®, AirPods Pro®, AirPods Max™ and Beats® products.
Home includes Apple TV®, the Company’s media streaming and gaming device based on its tvOS® operating system, and HomePod® and HomePod mini®, high-fidelity wireless smart speakers.
Accessories includes Apple-branded and third-party accessories.
Apple Inc. | 2023 Form 10-K | 1
Services
Advertising
The Company’s advertising services include third-party licensing arrangements and the Company’s own advertising platforms.
AppleCare
The Company offers a portfolio of fee-based service and support products under the AppleCare® brand. The offerings provide priority access to Apple technical support, access to the global Apple authorized service network for repair and replacement services, and in many cases additional coverage for instances of accidental damage or theft and loss, depending on the country and type of product.
Cloud Services
The Company’s cloud services store and keep customers’ content up-to-date and available across multiple Apple devices and Windows personal computers.
Digital Content
The Company operates various platforms, including the App Store®, that allow customers to discover and download applications and digital content, such as books, music, video, games and podcasts.
The Company also offers digital content through subscription-based services, including Apple Arcade®, a game subscription service; Apple Fitness+SM, a personalized fitness service; Apple Music®, which offers users a curated listening experience with on-demand radio stations; Apple News+®, a subscription news and magazine service; and Apple TV+®, which offers exclusive original content and live sports.
Payment Services
The Company offers payment services, including Apple Card®, a co-branded credit card, and Apple Pay®, a cashless payment service.
Segments
The Company manages its business primarily on a geographic basis. The Company’s reportable segments consist of the Americas, Europe, Greater China, Japan and Rest of Asia Pacific. Americas includes both North and South America. Europe includes European countries, as well as India, the Middle East and Africa. Greater China includes China mainland, Hong Kong and Taiwan. Rest of Asia Pacific includes Australia and those Asian countries not included in the Company’s other reportable segments. Although the reportable segments provide similar hardware and software products and similar services, each one is managed separately to better align with the location of the Company’s customers and distribution partners and the unique market dynamics of each geographic region.
Markets and Distribution
The Company’s customers are primarily in the consumer, small and mid-sized business, education, enterprise and government markets. The Company sells its products and resells third-party products in most of its major markets directly to customers through its retail and online stores and its direct sales force. The Company also employs a variety of indirect distribution channels, such as third-party cellular network carriers, wholesalers, retailers and resellers. During 2023, the Company’s net sales through its direct and indirect distribution channels accounted for 37% and 63%, respectively, of total net sales.
Competition
The markets for the Company’s products and services are highly competitive, and are characterized by aggressive price competition and resulting downward pressure on gross margins, frequent introduction of new products and services, short product life cycles, evolving industry standards, continual improvement in product price and performance characteristics, rapid adoption of technological advancements by competitors, and price sensitivity on the part of consumers and businesses. Many of the Company’s competitors seek to compete primarily through aggressive pricing and very low cost structures, and by imitating the Company’s products and infringing on its intellectual property.
Apple Inc. | 2023 Form 10-K | 2
The Company’s ability to compete successfully depends heavily on ensuring the continuing and timely introduction of innovative new products, services and technologies to the marketplace. The Company designs and develops nearly the entire solution for its products, including the hardware, operating system, numerous software applications and related services. Principal competitive factors important to the Company include price, product and service features (including security features), relative price and performance, product and service quality and reliability, design innovation, a strong third-party software and accessories ecosystem, marketing and distribution capability, service and support, and corporate reputation.
The Company is focused on expanding its market opportunities related to smartphones, personal computers, tablets, wearables and accessories, and services. The Company faces substantial competition in these markets from companies that have significant technical, marketing, distribution and other resources, as well as established hardware, software, and service offerings with large customer bases. In addition, some of the Company’s competitors have broader product lines, lower-priced products and a larger installed base of active devices. Competition has been particularly intense as competitors have aggressively cut prices and lowered product margins. Certain competitors have the resources, experience or cost structures to provide products at little or no profit or even at a loss. The Company’s services compete with business models that provide content to users for free and use illegitimate means to obtain third-party digital content and applications. The Company faces significant competition as competitors imitate the Company’s product features and applications within their products, or collaborate to offer integrated solutions that are more competitive than those they currently offer.
Supply of Components
Although most components essential to the Company’s business are generally available from multiple sources, certain components are currently obtained from single or limited sources. The Company also competes for various components with other participants in the markets for smartphones, personal computers, tablets, wearables and accessories. Therefore, many components used by the Company, including those that are available from multiple sources, are at times subject to industry-wide shortage and significant commodity pricing fluctuations.
The Company uses some custom components that are not commonly used by its competitors, and new products introduced by the Company often utilize custom components available from only one source. When a component or product uses new technologies, initial capacity constraints may exist until the suppliers’ yields have matured or their manufacturing capacities have increased. The continued availability of these components at acceptable prices, or at all, may be affected if suppliers decide to concentrate on the production of common components instead of components customized to meet the Company’s requirements.
The Company has entered into agreements for the supply of many components; however, there can be no guarantee that the Company will be able to extend or renew these agreements on similar terms, or at all.
Research and Development
Because the industries in which the Company competes are characterized by rapid technological advances, the Company’s ability to compete successfully depends heavily upon its ability to ensure a continual and timely flow of competitive products, services and technologies to the marketplace. The Company continues to develop new technologies to enhance existing products and services, and to expand the range of its offerings through research and development (“R&D”), licensing of intellectual property and acquisition of third-party businesses and technology.
Intellectual Property
The Company currently holds a broad collection of intellectual property rights relating to certain aspects of its hardware devices, accessories, software and services. This includes patents, designs, copyrights, trademarks and other forms of intellectual property rights in the U.S. and various foreign countries. Although the Company believes the ownership of such intellectual property rights is an important factor in differentiating its business and that its success does depend in part on such ownership, the Company relies primarily on the innovative skills, technical competence and marketing abilities of its personnel.
The Company regularly files patent, design, copyright and trademark applications to protect innovations arising from its research, development, design and marketing, and is currently pursuing thousands of applications around the world. Over time, the Company has accumulated a large portfolio of issued and registered intellectual property rights around the world. No single intellectual property right is solely responsible for protecting the Company’s products and services. The Company believes the duration of its intellectual property rights is adequate relative to the expected lives of its products and services.
In addition to Company-owned intellectual property, many of the Company’s products and services are designed to include intellectual property owned by third parties. It may be necessary in the future to seek or renew licenses relating to various aspects of the Company’s products, processes and services. While the Company has generally been able to obtain such licenses on commercially reasonable terms in the past, there is no guarantee that such licenses could be obtained in the future on reasonable terms or at all.
Apple Inc. | 2023 Form 10-K | 3
Business Seasonality and Product Introductions
The Company has historically experienced higher net sales in its first quarter compared to other quarters in its fiscal year due in part to seasonal holiday demand. Additionally, new product and service introductions can significantly impact net sales, cost of sales and operating expenses. The timing of product introductions can also impact the Company’s net sales to its indirect distribution channels as these channels are filled with new inventory following a product launch, and channel inventory of an older product often declines as the launch of a newer product approaches. Net sales can also be affected when consumers and distributors anticipate a product introduction.
Human Capital
The Company believes it has a talented, motivated and dedicated team, and works to create an inclusive, safe and supportive environment for all of its team members. As of September 30, 2023, the Company had approximately 161,000 full-time equivalent employees.
Workplace Practices and Policies
The Company is an equal opportunity employer committed to inclusion and diversity and to providing a workplace free of harassment or discrimination.
Compensation and Benefits
The Company believes that compensation should be competitive and equitable, and should enable employees to share in the Company’s success. The Company recognizes its people are most likely to thrive when they have the resources to meet their needs and the time and support to succeed in their professional and personal lives. In support of this, the Company offers a wide variety of benefits for employees around the world and invests in tools and resources that are designed to support employees’ individual growth and development.
Inclusion and Diversity
The Company is committed to its vision to build and sustain a more inclusive workforce that is representative of the communities it serves. The Company continues to work to increase diverse representation at every level, foster an inclusive culture, and support equitable pay and access to opportunity for all employees.
Engagement
The Company believes that open and honest communication among team members, managers and leaders helps create an open, collaborative work environment where everyone can contribute, grow and succeed. Team members are encouraged to come to their managers with questions, feedback or concerns, and the Company conducts surveys that gauge employee sentiment in areas like career development, manager performance and inclusivity.
Health and Safety
The Company is committed to protecting its team members everywhere it operates. The Company identifies potential workplace risks in order to develop measures to mitigate possible hazards. The Company supports employees with general safety, security and crisis management training, and by putting specific programs in place for those working in potentially high-hazard environments. Additionally, the Company works to protect the safety and security of its team members, visitors and customers through its global security team.
Available Information
The Company’s Annual Reports on Form 10-K, Quarterly Reports on Form 10-Q, Current Reports on Form 8-K, and amendments to reports filed pursuant to Sections 13(a) and 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), are filed with the U.S. Securities and Exchange Commission (the “SEC”). Such reports and other information filed by the Company with the SEC are available free of charge at investor.apple.com/investor-relations/sec-filings/default.aspx when such reports are available on the SEC’s website. The Company periodically provides certain information for investors on its corporate website, www.apple.com, and its investor relations website, investor.apple.com. This includes press releases and other information about financial performance, information on environmental, social and governance matters, and details related to the Company’s annual meeting of shareholders. The information contained on the websites referenced in this Form 10-K is not incorporated by reference into this filing. Further, the Company’s references to website URLs are intended to be inactive textual references only.
Apple Inc. | 2023 Form 10-K | 4
Item 1A. Risk Factors
The Company’s business, reputation, results of operations, financial condition and stock price can be affected by a number of factors, whether currently known or unknown, including those described below. When any one or more of these risks materialize from time to time, the Company’s business, reputation, results of operations, financial condition and stock price can be materially and adversely affected.
Because of the following factors, as well as other factors affecting the Company’s results of operations and financial condition, past financial performance should not be considered to be a reliable indicator of future performance, and investors should not use historical trends to anticipate results or trends in future periods. This discussion of risk factors contains forward-looking statements.
This section should be read in conjunction with Part II, Item 7, “Management’s Discussion and Analysis of Financial Condition and Results of Operations” and the consolidated financial statements and accompanying notes in Part II, Item 8, “Financial Statements and Supplementary Data” of this Form 10-K.
Macroeconomic and Industry Risks
The Company’s operations and performance depend significantly on global and regional economic conditions and adverse economic conditions can materially adversely affect the Company’s business, results of operations and financial condition.
The Company has international operations with sales outside the U.S. representing a majority of the Company’s total net sales. In addition, the Company’s global supply chain is large and complex and a majority of the Company’s supplier facilities, including manufacturing and assembly sites, are located outside the U.S. As a result, the Company’s operations and performance depend significantly on global and regional economic conditions.
Adverse macroeconomic conditions, including slow growth or recession, high unemployment, inflation, tighter credit, higher interest rates, and currency fluctuations, can adversely impact consumer confidence and spending and materially adversely affect demand for the Company’s products and services. In addition, consumer confidence and spending can be materially adversely affected in response to changes in fiscal and monetary policy, financial market volatility, declines in income or asset values, and other economic factors.
In addition to an adverse impact on demand for the Company’s products and services, uncertainty about, or a decline in, global or regional economic conditions can have a significant impact on the Company’s suppliers, contract manufacturers, logistics providers, distributors, cellular network carriers and other channel partners, and developers. Potential outcomes include financial instability; inability to obtain credit to finance business operations; and insolvency.
Adverse economic conditions can also lead to increased credit and collectibility risk on the Company’s trade receivables; the failure of derivative counterparties and other financial institutions; limitations on the Company’s ability to issue new debt; reduced liquidity; and declines in the fair values of the Company’s financial instruments. These and other impacts can materially adversely affect the Company’s business, results of operations, financial condition and stock price.
The Company’s business can be impacted by political events, trade and other international disputes, war, terrorism, natural disasters, public health issues, industrial accidents and other business interruptions.
Political events, trade and other international disputes, war, terrorism, natural disasters, public health issues, industrial accidents and other business interruptions can harm or disrupt international commerce and the global economy, and could have a material adverse effect on the Company and its customers, suppliers, contract manufacturers, logistics providers, distributors, cellular network carriers and other channel partners.
Apple Inc. | 2023 Form 10-K | 5
The Company has a large, global business with sales outside the U.S. representing a majority of the Company’s total net sales, and the Company believes that it generally benefits from growth in international trade. Substantially all of the Company’s manufacturing is performed in whole or in part by outsourcing partners located primarily in China mainland, India, Japan, South Korea, Taiwan and Vietnam. Restrictions on international trade, such as tariffs and other controls on imports or exports of goods, technology or data, can materially adversely affect the Company’s operations and supply chain and limit the Company’s ability to offer and distribute its products and services to customers. The impact can be particularly significant if these restrictive measures apply to countries and regions where the Company derives a significant portion of its revenues and/or has significant supply chain operations. Restrictive measures can require the Company to take various actions, including changing suppliers, restructuring business relationships, and ceasing to offer third-party applications on its platforms. Changing the Company’s operations in accordance with new or changed restrictions on international trade can be expensive, time-consuming and disruptive to the Company’s operations. Such restrictions can be announced with little or no advance notice and the Company may not be able to effectively mitigate all adverse impacts from such measures. For example, tensions between governments, including the U.S. and China, have in the past led to tariffs and other restrictions being imposed on the Company’s business. If disputes and conflicts further escalate in the future, actions by governments in response could be significantly more severe and restrictive and could materially adversely affect the Company’s business. Political uncertainty surrounding trade and other international disputes could also have a negative effect on consumer confidence and spending, which could adversely affect the Company’s business.
Many of the Company’s operations and facilities, as well as critical business operations of the Company’s suppliers and contract manufacturers, are in locations that are prone to earthquakes and other natural disasters. In addition, such operations and facilities are subject to the risk of interruption by fire, power shortages, nuclear power plant accidents and other industrial accidents, terrorist attacks and other hostile acts, ransomware and other cybersecurity attacks, labor disputes, public health issues, including pandemics such as the COVID-19 pandemic, and other events beyond the Company’s control. Global climate change is resulting in certain types of natural disasters, such as droughts, floods, hurricanes and wildfires, occurring more frequently or with more intense effects. Such events can make it difficult or impossible for the Company to manufacture and deliver products to its customers, create delays and inefficiencies in the Company’s supply and manufacturing chain, and result in slowdowns and outages to the Company’s service offerings, and negatively impact consumer spending and demand in affected areas. Following an interruption to its business, the Company can require substantial recovery time, experience significant expenditures to resume operations, and lose significant sales. Because the Company relies on single or limited sources for the supply and manufacture of many critical components, a business interruption affecting such sources would exacerbate any negative consequences to the Company.
The Company’s operations are also subject to the risks of industrial accidents at its suppliers and contract manufacturers. While the Company’s suppliers are required to maintain safe working environments and operations, an industrial accident could occur and could result in serious injuries or loss of life, disruption to the Company’s business, and harm to the Company’s reputation. Major public health issues, including pandemics such as the COVID-19 pandemic, have adversely affected, and could in the future materially adversely affect, the Company due to their impact on the global economy and demand for consumer products; the imposition of protective public safety measures, such as stringent employee travel restrictions and limitations on freight services and the movement of products between regions; and disruptions in the Company’s operations, supply chain and sales and distribution channels, resulting in interruptions to the supply of current products and offering of existing services, and delays in production ramps of new products and development of new services.
While the Company maintains insurance coverage for certain types of losses, such insurance coverage may be insufficient to cover all losses that may arise.
Global markets for the Company’s products and services are highly competitive and subject to rapid technological change, and the Company may be unable to compete effectively in these markets.
The Company’s products and services are offered in highly competitive global markets characterized by aggressive price competition and resulting downward pressure on gross margins, frequent introduction of new products and services, short product life cycles, evolving industry standards, continual improvement in product price and performance characteristics, rapid adoption of technological advancements by competitors, and price sensitivity on the part of consumers and businesses.
The Company’s ability to compete successfully depends heavily on ensuring the continuing and timely introduction of innovative new products, services and technologies to the marketplace. The Company designs and develops nearly the entire solution for its products, including the hardware, operating system, numerous software applications and related services. As a result, the Company must make significant investments in R&D. There can be no assurance these investments will achieve expected returns, and the Company may not be able to develop and market new products and services successfully.
Apple Inc. | 2023 Form 10-K | 6
The Company currently holds a significant number of patents, trademarks and copyrights and has registered, and applied to register, additional patents, trademarks and copyrights. In contrast, many of the Company’s competitors seek to compete primarily through aggressive pricing and very low cost structures, and by imitating the Company’s products and infringing on its intellectual property. Effective intellectual property protection is not consistently available in every country in which the Company operates. If the Company is unable to continue to develop and sell innovative new products with attractive margins or if competitors infringe on the Company’s intellectual property, the Company’s ability to maintain a competitive advantage could be materially adversely affected.
The Company has a minority market share in the global smartphone, personal computer and tablet markets. The Company faces substantial competition in these markets from companies that have significant technical, marketing, distribution and other resources, as well as established hardware, software and digital content supplier relationships. In addition, some of the Company’s competitors have broader product lines, lower-priced products and a larger installed base of active devices. Competition has been particularly intense as competitors have aggressively cut prices and lowered product margins. Certain competitors have the resources, experience or cost structures to provide products at little or no profit or even at a loss. Some of the markets in which the Company competes have from time to time experienced little to no growth or contracted overall.
Additionally, the Company faces significant competition as competitors imitate the Company’s product features and applications within their products or collaborate to offer solutions that are more competitive than those they currently offer. The Company also expects competition to intensify as competitors imitate the Company’s approach to providing components seamlessly within their offerings or work collaboratively to offer integrated solutions.
The Company’s services also face substantial competition, including from companies that have significant resources and experience and have established service offerings with large customer bases. The Company competes with business models that provide content to users for free. The Company also competes with illegitimate means to obtain third-party digital content and applications.
The Company’s business, results of operations and financial condition depend substantially on the Company’s ability to continually improve its products and services to maintain their functional and design advantages. There can be no assurance the Company will be able to continue to provide products and services that compete effectively.
Business Risks
To remain competitive and stimulate customer demand, the Company must successfully manage frequent introductions and transitions of products and services.
Due to the highly volatile and competitive nature of the markets and industries in which the Company competes, the Company must continually introduce new products, services and technologies, enhance existing products and services, effectively stimulate customer demand for new and upgraded products and services, and successfully manage the transition to these new and upgraded products and services. The success of new product and service introductions depends on a number of factors, including timely and successful development, market acceptance, the Company’s ability to manage the risks associated with new technologies and production ramp-up issues, the availability of application software for the Company’s products, the effective management of purchase commitments and inventory levels in line with anticipated product demand, the availability of products in appropriate quantities and at expected costs to meet anticipated demand, and the risk that new products and services may have quality or other defects or deficiencies. There can be no assurance the Company will successfully manage future introductions and transitions of products and services.
The Company depends on component and product manufacturing and logistical services provided by outsourcing partners, many of which are located outside of the U.S.
Substantially all of the Company’s manufacturing is performed in whole or in part by outsourcing partners located primarily in China mainland, India, Japan, South Korea, Taiwan and Vietnam, and a significant concentration of this manufacturing is currently performed by a small number of outsourcing partners, often in single locations. Changes or additions to the Company’s supply chain require considerable time and resources and involve significant risks and uncertainties. The Company has also outsourced much of its transportation and logistics management. While these arrangements can lower operating costs, they also reduce the Company’s direct control over production and distribution. Such diminished control has from time to time and may in the future have an adverse effect on the quality or quantity of products manufactured or services provided, or adversely affect the Company’s flexibility to respond to changing conditions. Although arrangements with these partners may contain provisions for product defect expense reimbursement, the Company generally remains responsible to the consumer for warranty and out-of-warranty service in the event of product defects and experiences unanticipated product defect liabilities from time to time. While the Company relies on its partners to adhere to its supplier code of conduct, violations of the supplier code of conduct occur from time to time and can materially adversely affect the Company’s business, reputation, results of operations and financial condition.
Apple Inc. | 2023 Form 10-K | 7
The Company relies on single-source outsourcing partners in the U.S., Asia and Europe to supply and manufacture many components, and on outsourcing partners primarily located in Asia, for final assembly of substantially all of the Company’s hardware products. Any failure of these partners to perform can have a negative impact on the Company’s cost or supply of components or finished goods. In addition, manufacturing or logistics in these locations or transit to final destinations can be disrupted for a variety of reasons, including natural and man-made disasters, information technology system failures, commercial disputes, armed conflict, economic, business, labor, environmental, public health or political issues, or international trade disputes.
The Company has invested in manufacturing process equipment, much of which is held at certain of its outsourcing partners, and has made prepayments to certain of its suppliers associated with long-term supply agreements. While these arrangements help ensure the supply of components and finished goods, if these outsourcing partners or suppliers experience severe financial problems or other disruptions in their business, such continued supply can be reduced or terminated, and the recoverability of manufacturing process equipment or prepayments can be negatively impacted.
Future operating results depend upon the Company’s ability to obtain components in sufficient quantities on commercially reasonable terms.
Because the Company currently obtains certain components from single or limited sources, the Company is subject to significant supply and pricing risks. Many components, including those that are available from multiple sources, are at times subject to industry-wide shortages and significant commodity pricing fluctuations that can materially adversely affect the Company’s business, results of operations and financial condition. For example, the global semiconductor industry has in the past experienced high demand and shortages of supply, which adversely affected the Company’s ability to obtain sufficient quantities of components and products on commercially reasonable terms or at all. Such disruptions could occur in the future. While the Company has entered into agreements for the supply of many components, there can be no assurance the Company will be able to extend or renew these agreements on similar terms, or at all. Component suppliers may suffer from poor financial conditions, which can lead to business failure for the supplier or consolidation within a particular industry, further limiting the Company’s ability to obtain sufficient quantities of components on commercially reasonable terms or at all. The effects of global or regional economic conditions on the Company’s suppliers, described in “The Company’s operations and performance depend significantly on global and regional economic conditions and adverse economic conditions can materially adversely affect the Company’s business, results of operations and financial condition,” above, can also affect the Company’s ability to obtain components. Therefore, the Company remains subject to significant risks of supply shortages and price increases that can materially adversely affect its business, results of operations and financial condition.
The Company’s new products often utilize custom components available from only one source. When a component or product uses new technologies, initial capacity constraints may exist until the suppliers’ yields have matured or their manufacturing capacities have increased. The continued availability of these components at acceptable prices, or at all, can be affected for any number of reasons, including if suppliers decide to concentrate on the production of common components instead of components customized to meet the Company’s requirements. When the Company’s supply of components for a new or existing product has been delayed or constrained, or when an outsourcing partner has delayed shipments of completed products to the Company, the Company’s business, results of operations and financial condition have been adversely affected and future delays or constraints could materially adversely affect the Company’s business, results of operations and financial condition. The Company’s business and financial performance could also be materially adversely affected depending on the time required to obtain sufficient quantities from the source, or to identify and obtain sufficient quantities from an alternative source.
The Company’s products and services may be affected from time to time by design and manufacturing defects that could materially adversely affect the Company’s business and result in harm to the Company’s reputation.
The Company offers complex hardware and software products and services that can be affected by design and manufacturing defects. Sophisticated operating system software and applications, such as those offered by the Company, often have issues that can unexpectedly interfere with the intended operation of hardware or software products and services. Defects can also exist in components and products the Company purchases from third parties. Component defects could make the Company’s products unsafe and create a risk of environmental or property damage and personal injury. These risks may increase as the Company’s products are introduced into specialized applications, including health. In addition, the Company’s service offerings can have quality issues and from time to time experience outages, service slowdowns or errors. As a result, from time to time the Company’s services have not performed as anticipated and may not meet customer expectations. There can be no assurance the Company will be able to detect and fix all issues and defects in the hardware, software and services it offers. Failure to do so can result in widespread technical and performance issues affecting the Company’s products and services. In addition, the Company can be exposed to product liability claims, recalls, product replacements or modifications, write-offs of inventory, property, plant and equipment or intangible assets, and significant warranty and other expenses, including litigation costs and regulatory fines. Quality problems can also adversely affect the experience for users of the Company’s products and services, and result in harm to the Company’s reputation, loss of competitive advantage, poor market acceptance, reduced demand for products and services, delay in new product and service introductions and lost sales.
Apple Inc. | 2023 Form 10-K | 8
The Company is exposed to the risk of write-downs on the value of its inventory and other assets, in addition to purchase commitment cancellation risk.
The Company records a write-down for product and component inventories that have become obsolete or exceed anticipated demand, or for which cost exceeds net realizable value. The Company also accrues necessary cancellation fee reserves for orders of excess products and components. The Company reviews long-lived assets, including capital assets held at its suppliers’ facilities and inventory prepayments, for impairment whenever events or circumstances indicate the assets may not be recoverable. If the Company determines that an impairment has occurred, it records a write-down equal to the amount by which the carrying value of the asset exceeds its fair value. Although the Company believes its inventory, capital assets, inventory prepayments and other assets and purchase commitments are currently recoverable, there can be no assurance the Company will not incur write-downs, fees, impairments and other charges given the rapid and unpredictable pace of product obsolescence in the industries in which the Company competes.
The Company orders components for its products and builds inventory in advance of product announcements and shipments. Manufacturing purchase obligations cover the Company’s forecasted component and manufacturing requirements, typically for periods up to 150 days. Because the Company’s markets are volatile, competitive and subject to rapid technology and price changes, there is a risk the Company will forecast incorrectly and order or produce excess or insufficient amounts of components or products, or not fully utilize firm purchase commitments.
The Company relies on access to third-party intellectual property, which may not be available to the Company on commercially reasonable terms or at all.
The Company’s products and services are designed to include intellectual property owned by third parties, which requires licenses from those third parties. In addition, because of technological changes in the industries in which the Company currently competes or in the future may compete, current extensive patent coverage and the rapid rate of issuance of new patents, the Company’s products and services can unknowingly infringe existing patents or intellectual property rights of others. From time to time, the Company has been notified that it may be infringing certain patents or other intellectual property rights of third parties. Based on experience and industry practice, the Company believes licenses to such third-party intellectual property can generally be obtained on commercially reasonable terms. However, there can be no assurance the necessary licenses can be obtained on commercially reasonable terms or at all. Failure to obtain the right to use third-party intellectual property, or to use such intellectual property on commercially reasonable terms, can preclude the Company from selling certain products or services, or otherwise have a material adverse impact on the Company’s business, results of operations and financial condition.
The Company’s future performance depends in part on support from third-party software developers.
The Company believes decisions by customers to purchase its hardware products depend in part on the availability of third-party software applications and services. There can be no assurance third-party developers will continue to develop and maintain software applications and services for the Company’s products. If third-party software applications and services cease to be developed and maintained for the Company’s products, customers may choose not to buy the Company’s products.
The Company believes the availability of third-party software applications and services for its products depends in part on the developers’ perception and analysis of the relative benefits of developing, maintaining and upgrading such software and services for the Company’s products compared to competitors’ platforms, such as Android for smartphones and tablets, Windows for personal computers and tablets, and PlayStation, Nintendo and Xbox for gaming platforms. This analysis may be based on factors such as the market position of the Company and its products, the anticipated revenue that may be generated, expected future growth of product sales, and the costs of developing such applications and services.
The Company’s minority market share in the global smartphone, personal computer and tablet markets can make developers less inclined to develop or upgrade software for the Company’s products and more inclined to devote their resources to developing and upgrading software for competitors’ products with larger market share. When developers focus their efforts on these competing platforms, the availability and quality of applications for the Company’s devices can suffer.
The Company relies on the continued availability and development of compelling and innovative software applications for its products. The Company’s products and operating systems are subject to rapid technological change, and when third-party developers are unable to or choose not to keep up with this pace of change, their applications can fail to take advantage of these changes to deliver improved customer experiences, can operate incorrectly, and can result in dissatisfied customers and lower customer demand for the Company’s products.
Apple Inc. | 2023 Form 10-K | 9
The Company distributes third-party applications for its products through the App Store. For the vast majority of applications, developers keep all of the revenue they generate on the App Store. The Company retains a commission from sales of applications and sales of digital services or goods initiated within an application. From time to time, the Company has made changes to its App Store, including actions taken in response to competition, market conditions and legal and regulatory requirements. The Company expects to make further business changes in the future, including as a result of legislative initiatives impacting the App Store, such as the European Union (“EU”) Digital Markets Act, which the Company is required to comply with by March 2024. The Company is also subject to litigation and investigations relating to the App Store, which have resulted in changes to the Company’s business practices, and may in the future result in further changes. Changes have included how developers communicate with consumers outside the App Store regarding alternative purchasing mechanisms. Future changes could also affect what the Company charges developers for access to its platforms, how it manages distribution of apps outside of the App Store, and how and to what extent it allows developers to communicate with consumers inside the App Store regarding alternative purchasing mechanisms. This could reduce the volume of sales, and the commission that the Company earns on those sales, would decrease. If the rate of the commission that the Company retains on such sales is reduced, or if it is otherwise narrowed in scope or eliminated, the Company’s business, results of operations and financial condition could be materially adversely affected.
Failure to obtain or create digital content that appeals to the Company’s customers, or to make such content available on commercially reasonable terms, could have a material adverse impact on the Company’s business, results of operations and financial condition.
The Company contracts with numerous third parties to offer their digital content to customers. This includes the right to sell, or offer subscriptions to, third-party content, as well as the right to incorporate specific content into the Company’s own services. The licensing or other distribution arrangements for this content can be for relatively short time periods and do not guarantee the continuation or renewal of these arrangements on commercially reasonable terms, or at all. Some third-party content providers and distributors currently or in the future may offer competing products and services, and can take actions to make it difficult or impossible for the Company to license or otherwise distribute their content. Other content owners, providers or distributors may seek to limit the Company’s access to, or increase the cost of, such content. The Company may be unable to continue to offer a wide variety of content at commercially reasonable prices with acceptable usage rules.
The Company also produces its own digital content, which can be costly to produce due to intense and increasing competition for talent, content and subscribers, and may fail to appeal to the Company’s customers.
Some third-party digital content providers require the Company to provide digital rights management and other security solutions. If requirements change, the Company may have to develop or license new technology to provide these solutions. There can be no assurance the Company will be able to develop or license such solutions at a reasonable cost and in a timely manner.
The Company’s success depends largely on the talents and efforts of its team members, the continued service and availability of highly skilled employees, including key personnel, and the Company’s ability to nurture its distinctive and inclusive culture.
Much of the Company’s future success depends on the talents and efforts of its team members and the continued availability and service of key personnel, including its Chief Executive Officer, executive team and other highly skilled employees. Experienced personnel in the technology industry are in high demand and competition for their talents is intense, especially in Silicon Valley, where most of the Company’s key personnel are located. In addition to intense competition for talent, workforce dynamics are constantly evolving. If the Company does not manage changing workforce dynamics effectively, it could materially adversely affect the Company’s culture, reputation and operational flexibility.
The Company believes that its distinctive and inclusive culture is a significant driver of its success. If the Company is unable to nurture its culture, it could materially adversely affect the Company’s ability to recruit and retain the highly skilled employees who are critical to its success, and could otherwise materially adversely affect the Company’s business, reputation, results of operations and financial condition.
The Company depends on the performance of carriers, wholesalers, retailers and other resellers.
The Company distributes its products and certain of its services through cellular network carriers, wholesalers, retailers and resellers, many of which distribute products and services from competitors. The Company also sells its products and services and resells third-party products in most of its major markets directly to consumers, small and mid-sized businesses, and education, enterprise and government customers through its retail and online stores and its direct sales force.
Some carriers providing cellular network service for the Company’s products offer financing, installment payment plans or subsidies for users’ purchases of the device. There can be no assurance such offers will be continued at all or in the same amounts.
Apple Inc. | 2023 Form 10-K | 10
The Company has invested and will continue to invest in programs to enhance reseller sales, including staffing selected resellers’ stores with Company employees and contractors, and improving product placement displays. These programs can require a substantial investment while not assuring return or incremental sales. The financial condition of these resellers could weaken, these resellers could stop distributing the Company’s products, or uncertainty regarding demand for some or all of the Company’s products could cause resellers to reduce their ordering and marketing of the Company’s products.
The Company’s business and reputation are impacted by information technology system failures and network disruptions.
The Company and its global supply chain are dependent on complex information technology systems and are exposed to information technology system failures or network disruptions caused by natural disasters, accidents, power disruptions, telecommunications failures, acts of terrorism or war, computer viruses, physical or electronic break-ins, ransomware or other cybersecurity incidents, or other events or disruptions. System upgrades, redundancy and other continuity measures may be ineffective or inadequate, and the Company’s or its vendors’ business continuity and disaster recovery planning may not be sufficient for all eventualities. Such failures or disruptions can adversely impact the Company’s business by, among other things, preventing access to the Company’s online services, interfering with customer transactions or impeding the manufacturing and shipping of the Company’s products. These events could materially adversely affect the Company’s business, reputation, results of operations and financial condition.
Losses or unauthorized access to or releases of confidential information, including personal information, could subject the Company to significant reputational, financial, legal and operational consequences.
The Company’s business requires it to use and store confidential information, including personal information, with respect to the Company’s customers and employees. The Company devotes significant resources to network and data security, including through the use of encryption and other security measures intended to protect its systems and data. But these measures cannot provide absolute security, and losses or unauthorized access to or releases of confidential information occur and could materially adversely affect the Company’s business, reputation, results of operations and financial condition.
The Company’s business also requires it to share confidential information with suppliers and other third parties. The Company relies on global suppliers that are also exposed to ransomware and other malicious attacks that can disrupt business operations. Although the Company takes steps to secure confidential information that is provided to or accessible by third parties working on the Company’s behalf, such measures are not always effective and losses or unauthorized access to, or releases of, confidential information occur. Such incidents and other malicious attacks could materially adversely affect the Company’s business, reputation, results of operations and financial condition.
The Company experiences malicious attacks and other attempts to gain unauthorized access to its systems on a regular basis. These attacks seek to compromise the confidentiality, integrity or availability of confidential information or disrupt normal business operations, and can, among other things, impair the Company’s ability to attract and retain customers for its products and services, impact the Company’s stock price, materially damage commercial relationships, and expose the Company to litigation or government investigations, which could result in penalties, fines or judgments against the Company. Globally, attacks are expected to continue accelerating in both frequency and sophistication with increasing use by actors of tools and techniques that are designed to circumvent controls, avoid detection, and remove or obfuscate forensic evidence, all of which hinders the Company’s ability to identify, investigate and recover from incidents. In addition, attacks against the Company and its customers can escalate during periods of severe diplomatic or armed conflict.
Although malicious attacks perpetrated to gain access to confidential information, including personal information, affect many companies across various industries, the Company is at a relatively greater risk of being targeted because of its high profile and the value of the confidential information it creates, owns, manages, stores and processes.
The Company has implemented systems and processes intended to secure its information technology systems and prevent unauthorized access to or loss of sensitive data, and mitigate the impact of unauthorized access, including through the use of encryption and authentication technologies. As with all companies, these security measures may not be sufficient for all eventualities and may be vulnerable to hacking, ransomware attacks, employee error, malfeasance, system error, faulty password management or other irregularities. For example, third parties can fraudulently induce the Company’s or its vendors’ employees or customers into disclosing usernames, passwords or other sensitive information, which can, in turn, be used for unauthorized access to the Company’s or its vendors’ systems and services. To help protect customers and the Company, the Company deploys and makes available technologies like multifactor authentication, monitors its services and systems for unusual activity and may freeze accounts under suspicious circumstances, which, among other things, can result in the delay or loss of customer orders or impede customer access to the Company’s products and services.
While the Company maintains insurance coverage that is intended to address certain aspects of data security risks, such insurance coverage may be insufficient to cover all losses or all types of claims that may arise.
Apple Inc. | 2023 Form 10-K | 11
Investment in new business strategies and acquisitions could disrupt the Company’s ongoing business, present risks not originally contemplated and materially adversely affect the Company’s business, reputation, results of operations and financial condition.
The Company has invested, and in the future may invest, in new business strategies or acquisitions. Such endeavors may involve significant risks and uncertainties, including distraction of management from current operations, greater-than-expected liabilities and expenses, economic, political, legal and regulatory challenges associated with operating in new businesses, regions or countries, inadequate return on capital, potential impairment of tangible and intangible assets, and significant write-offs. Investment and acquisition transactions are exposed to additional risks, including failing to obtain required regulatory approvals on a timely basis or at all, or the imposition of onerous conditions that could delay or prevent the Company from completing a transaction or otherwise limit the Company’s ability to fully realize the anticipated benefits of a transaction. These new ventures are inherently risky and may not be successful. The failure of any significant investment could materially adversely affect the Company’s business, reputation, results of operations and financial condition.
The Company’s retail stores are subject to numerous risks and uncertainties.
The Company’s retail operations are subject to many factors that pose risks and uncertainties and could adversely impact the Company’s business, results of operations and financial condition, including macroeconomic factors that could have an adverse effect on general retail activity. Other factors include the Company’s ability to: manage costs associated with retail store construction and operation; manage relationships with existing retail partners; manage costs associated with fluctuations in the value of retail inventory; and obtain and renew leases in quality retail locations at a reasonable cost.
Legal and Regulatory Compliance Risks
The Company’s business, results of operations and financial condition could be adversely impacted by unfavorable results of legal proceedings or government investigations.
The Company is subject to various claims, legal proceedings and government investigations that have arisen in the ordinary course of business and have not yet been fully resolved, and new matters may arise in the future. In addition, agreements entered into by the Company sometimes include indemnification provisions which can subject the Company to costs and damages in the event of a claim against an indemnified third party. The number of claims, legal proceedings and government investigations involving the Company, and the alleged magnitude of such claims, proceedings and government investigations, has generally increased over time and may continue to increase.
The Company has faced and continues to face a significant number of patent claims relating to its cellular-enabled products, and new claims may arise in the future, including as a result of new legal or regulatory frameworks. For example, technology and other patent-holding companies frequently assert their patents and seek royalties and often enter into litigation based on allegations of patent infringement or other violations of intellectual property rights. The Company is vigorously defending infringement actions in courts in several U.S. jurisdictions, as well as internationally in various countries. The plaintiffs in these actions frequently seek injunctions and substantial damages.
Regardless of the merit of particular claims, defending against litigation or responding to government investigations can be expensive, time-consuming and disruptive to the Company’s operations. In recognition of these considerations, the Company may enter into agreements or other arrangements to settle litigation and resolve such challenges. There can be no assurance such agreements can be obtained on acceptable terms or that litigation will not occur. These agreements can also significantly increase the Company’s cost of sales and operating expenses and require the Company to change its business practices and limit the Company’s ability to offer certain products and services.
Except as described in Part I, Item 3 of this Form 10-K under the heading “Legal Proceedings” and in Part II, Item 8 of this Form 10-K in the Notes to Consolidated Financial Statements in Note 12, “Commitments, Contingencies and Supply Concentrations” under the heading “Contingencies,” in the opinion of management, there was not at least a reasonable possibility the Company may have incurred a material loss, or a material loss greater than a recorded accrual, concerning loss contingencies for asserted legal and other claims.
The outcome of litigation or government investigations is inherently uncertain. If one or more legal matters were resolved against the Company or an indemnified third party in a reporting period for amounts above management’s expectations, the Company’s results of operations and financial condition for that reporting period could be materially adversely affected. Further, such an outcome can result in significant compensatory, punitive or trebled monetary damages, disgorgement of revenue or profits, remedial corporate measures or injunctive relief against the Company, and has from time to time required, and can in the future require, the Company to change its business practices and limit the Company’s ability to offer certain products and services, all of which could materially adversely affect the Company’s business, reputation, results of operations and financial condition.
While the Company maintains insurance coverage for certain types of claims, such insurance coverage may be insufficient to cover all losses or all types of claims that may arise.
Apple Inc. | 2023 Form 10-K | 12
The Company is subject to complex and changing laws and regulations worldwide, which exposes the Company to potential liabilities, increased costs and other adverse effects on the Company’s business.
The Company’s global operations are subject to complex and changing laws and regulations on subjects, including antitrust; privacy, data security and data localization; consumer protection; advertising, sales, billing and e-commerce; financial services and technology; product liability; intellectual property ownership and infringement; digital platforms; machine learning and artificial intelligence; internet, telecommunications and mobile communications; media, television, film and digital content; availability of third-party software applications and services; labor and employment; anticorruption; import, export and trade; foreign exchange controls and cash repatriation restrictions; anti–money laundering; foreign ownership and investment; tax; and environmental, health and safety, including electronic waste, recycling, product design and climate change.
Compliance with these laws and regulations is onerous and expensive. New and changing laws and regulations can adversely affect the Company’s business by increasing the Company’s costs, limiting the Company’s ability to offer a product, service or feature to customers, imposing changes to the design of the Company’s products and services, impacting customer demand for the Company’s products and services, and requiring changes to the Company’s supply chain and its business. New and changing laws and regulations can also create uncertainty about how such laws and regulations will be interpreted and applied. These risks and costs may increase as the Company’s products and services are introduced into specialized applications, including health and financial services. The Company has implemented policies and procedures designed to ensure compliance with applicable laws and regulations, but there can be no assurance the Company’s employees, contractors or agents will not violate such laws and regulations or the Company’s policies and procedures. If the Company is found to have violated laws and regulations, it could materially adversely affect the Company’s business, reputation, results of operations and financial condition. Regulatory changes and other actions that materially adversely affect the Company’s business may be announced with little or no advance notice and the Company may not be able to effectively mitigate all adverse impacts from such measures. For example, the Company is subject to changing regulations relating to the export and import of its products. Although the Company has programs, policies and procedures in place that are designed to satisfy regulatory requirements, there can be no assurance that such policies and procedures will be effective in preventing a violation or a claim of a violation. As a result, the Company’s products could be banned, delayed or prohibited from importation, which could materially adversely affect the Company’s business, reputation, results of operations and financial condition.
Expectations relating to environmental, social and governance considerations and related reporting obligations expose the Company to potential liabilities, increased costs, reputational harm, and other adverse effects on the Company’s business.
Many governments, regulators, investors, employees, customers and other stakeholders are increasingly focused on environmental, social and governance considerations relating to businesses, including climate change and greenhouse gas emissions, human and civil rights, and diversity, equity and inclusion. In addition, the Company makes statements about its goals and initiatives through its various non-financial reports, information provided on its website, press statements and other communications. Responding to these environmental, social and governance considerations and implementation of these goals and initiatives involves risks and uncertainties, requires investments, and depends in part on third-party performance or data that is outside the Company’s control. The Company cannot guarantee that it will achieve its announced environmental, social and governance goals and initiatives. In addition, some stakeholders may disagree with the Company’s goals and initiatives. Any failure, or perceived failure, by the Company to achieve its goals, further its initiatives, adhere to its public statements, comply with federal, state or international environmental, social and governance laws and regulations, or meet evolving and varied stakeholder expectations and standards could result in legal and regulatory proceedings against the Company and materially adversely affect the Company’s business, reputation, results of operations, financial condition and stock price.
The technology industry, including, in some instances, the Company, is subject to intense media, political and regulatory scrutiny, which exposes the Company to increasing regulation, government investigations, legal actions and penalties.
From time to time, the Company has made changes to its App Store, including actions taken in response to litigation, competition, market conditions and legal and regulatory requirements. The Company expects to make further business changes in the future, including as a result of legislative initiatives impacting the App Store, such as the EU Digital Markets Act, which the Company is required to comply with by March 2024, or similar laws in other jurisdictions. Changes have included how developers communicate with consumers outside the App Store regarding alternative purchasing mechanisms. Future changes could also affect what the Company charges developers for access to its platforms, how it manages distribution of apps outside of the App Store, and how and to what extent it allows developers to communicate with consumers inside the App Store regarding alternative purchasing mechanisms.
Apple Inc. | 2023 Form 10-K | 13
The Company is also currently subject to antitrust investigations in various jurisdictions around the world, which can result in legal proceedings and claims against the Company that could, individually or in the aggregate, have a materially adverse impact on the Company’s business, results of operations and financial condition. For example, the Company is the subject of investigations in Europe and other jurisdictions relating to App Store terms and conditions. If such investigations result in adverse findings against the Company, the Company could be exposed to significant fines and may be required to make changes to its App Store business, all of which could materially adversely affect the Company’s business, results of operations and financial condition. The Company is also subject to litigation relating to the App Store, which has resulted in changes to the Company’s business practices, and may in the future result in further changes.
Further, the Company has commercial relationships with other companies in the technology industry that are or may become subject to investigations and litigation that, if resolved against those other companies, could materially adversely affect the Company’s commercial relationships with those business partners and materially adversely affect the Company’s business, results of operations and financial condition. For example, the Company earns revenue from licensing arrangements with other companies to offer their search services on the Company’s platforms and applications, and certain of these arrangements are currently subject to government investigations and legal proceedings.
There can be no assurance the Company’s business will not be materially adversely affected, individually or in the aggregate, by the outcomes of such investigations, litigation or changes to laws and regulations in the future. Changes to the Company’s business practices to comply with new laws and regulations or in connection with other legal proceedings could negatively impact the reputation of the Company’s products for privacy and security and otherwise adversely affect the experience for users of the Company’s products and services, and result in harm to the Company’s reputation, loss of competitive advantage, poor market acceptance, reduced demand for products and services, and lost sales.
The Company’s business is subject to a variety of U.S. and international laws, rules, policies and other obligations regarding data protection.
The Company is subject to an increasing number of federal, state and international laws relating to the collection, use, retention, security and transfer of various types of personal information. In many cases, these laws apply not only to third-party transactions, but also restrict transfers of personal information among the Company and its international subsidiaries. Several jurisdictions have passed laws in this area, and additional jurisdictions are considering imposing additional restrictions or have laws that are pending. These laws continue to develop and may be inconsistent from jurisdiction to jurisdiction. Complying with emerging and changing requirements causes the Company to incur substantial costs and has required and may in the future require the Company to change its business practices. Noncompliance could result in significant penalties or legal liability.
The Company makes statements about its use and disclosure of personal information through its privacy policy, information provided on its website, press statements and other privacy notices provided to customers. Any failure by the Company to comply with these public statements or with other federal, state or international privacy or data protection laws and regulations could result in inquiries or proceedings against the Company by governmental entities or others. In addition to reputational impacts, penalties could include ongoing audit requirements and significant legal liability.
In addition to the risks generally relating to the collection, use, retention, security and transfer of personal information, the Company is also subject to specific obligations relating to information considered sensitive under applicable laws, such as health data, financial data and biometric data. Health data and financial data are subject to additional privacy, security and breach notification requirements, and the Company is subject to audit by governmental authorities regarding the Company’s compliance with these obligations. If the Company fails to adequately comply with these rules and requirements, or if health data or financial data is handled in a manner not permitted by law or under the Company’s agreements with healthcare or financial institutions, the Company can be subject to litigation or government investigations, and can be liable for associated investigatory expenses, and can also incur significant fees or fines.
Payment card data is also subject to additional requirements. Under payment card rules and obligations, if cardholder information is potentially compromised, the Company can be liable for associated investigatory expenses and can also incur significant fees or fines if the Company fails to follow payment card industry data security standards. The Company could also experience a significant increase in payment card transaction costs or lose the ability to process payment cards if it fails to follow payment card industry data security standards, which could materially adversely affect the Company’s business, reputation, results of operations and financial condition.
Apple Inc. | 2023 Form 10-K | 14
Financial Risks
The Company expects its quarterly net sales and results of operations to fluctuate.
The Company’s profit margins vary across its products, services, geographic segments and distribution channels. For example, the gross margins on the Company’s products and services vary significantly and can change over time. The Company’s gross margins are subject to volatility and downward pressure due to a variety of factors, including: continued industry-wide global product pricing pressures and product pricing actions that the Company may take in response to such pressures; increased competition; the Company’s ability to effectively stimulate demand for certain of its products and services; compressed product life cycles; supply shortages; potential increases in the cost of components, outside manufacturing services, and developing, acquiring and delivering content for the Company’s services; the Company’s ability to manage product quality and warranty costs effectively; shifts in the mix of products and services, or in the geographic, currency or channel mix, including to the extent that regulatory changes require the Company to modify its product and service offerings; fluctuations in foreign exchange rates; inflation and other macroeconomic pressures; and the introduction of new products or services, including new products or services with higher cost structures. These and other factors could have a materially adverse impact on the Company’s results of operations and financial condition.
The Company has historically experienced higher net sales in its first quarter compared to other quarters in its fiscal year due in part to seasonal holiday demand. Additionally, new product and service introductions can significantly impact net sales, cost of sales and operating expenses. Further, the Company generates a significant portion of its net sales from a single product and a decline in demand for that product could significantly impact quarterly net sales. The Company could also be subject to unexpected developments, such as lower-than-anticipated demand for the Company’s products or services, issues with new product or service introductions, information technology system failures or network disruptions, or failure of one of the Company’s logistics, components supply, or manufacturing partners.
The Company’s financial performance is subject to risks associated with changes in the value of the U.S. dollar relative to local currencies.
The Company’s primary exposure to movements in foreign exchange rates relates to non–U.S. dollar–denominated sales, cost of sales and operating expenses worldwide. Gross margins on the Company’s products in foreign countries and on products that include components obtained from foreign suppliers have in the past been adversely affected and could in the future be materially adversely affected by foreign exchange rate fluctuations.
The weakening of foreign currencies relative to the U.S. dollar adversely affects the U.S. dollar value of the Company’s foreign currency–denominated sales and earnings, and generally leads the Company to raise international pricing, potentially reducing demand for the Company’s products. In some circumstances, for competitive or other reasons, the Company may decide not to raise international pricing to offset the U.S. dollar’s strengthening, which would adversely affect the U.S. dollar value of the gross margins the Company earns on foreign currency–denominated sales.
Conversely, a strengthening of foreign currencies relative to the U.S. dollar, while generally beneficial to the Company’s foreign currency–denominated sales and earnings, could cause the Company to reduce international pricing or incur losses on its foreign currency derivative instruments, thereby limiting the benefit. Additionally, strengthening of foreign currencies may increase the Company’s cost of product components denominated in those currencies, thus adversely affecting gross margins.
The Company uses derivative instruments, such as foreign currency forward and option contracts, to hedge certain exposures to fluctuations in foreign exchange rates. The use of such hedging activities may not be effective to offset any, or more than a portion, of the adverse financial effects of unfavorable movements in foreign exchange rates over the limited time the hedges are in place.
The Company is exposed to credit risk and fluctuations in the values of its investment portfolio.
The Company’s investments can be negatively affected by changes in liquidity, credit deterioration, financial results, market and economic conditions, political risk, sovereign risk, interest rate fluctuations or other factors. As a result, the value and liquidity of the Company’s cash, cash equivalents and marketable securities may fluctuate substantially. Therefore, although the Company has not realized any significant losses on its cash, cash equivalents and marketable securities, future fluctuations in their value could result in significant losses and could have a material adverse impact on the Company’s results of operations and financial condition.
Apple Inc. | 2023 Form 10-K | 15
The Company is exposed to credit risk on its trade accounts receivable, vendor non-trade receivables and prepayments related to long-term supply agreements, and this risk is heightened during periods when economic conditions worsen.
The Company distributes its products and certain of its services through third-party cellular network carriers, wholesalers, retailers and resellers. The Company also sells its products and services directly to small and mid-sized businesses and education, enterprise and government customers. A substantial majority of the Company’s outstanding trade receivables are not covered by collateral, third-party bank support or financing arrangements, or credit insurance, and a significant portion of the Company’s trade receivables can be concentrated within cellular network carriers or other resellers. The Company’s exposure to credit and collectibility risk on its trade receivables is higher in certain international markets and its ability to mitigate such risks may be limited. The Company also has unsecured vendor non-trade receivables resulting from purchases of components by outsourcing partners and other vendors that manufacture subassemblies or assemble final products for the Company. In addition, the Company has made prepayments associated with long-term supply agreements to secure supply of inventory components. As of September 30, 2023, the Company’s vendor non-trade receivables and prepayments related to long-term supply agreements were concentrated among a few individual vendors located primarily in Asia. While the Company has procedures to monitor and limit exposure to credit risk on its trade and vendor non-trade receivables, as well as long-term prepayments, there can be no assurance such procedures will effectively limit its credit risk and avoid losses.
The Company is subject to changes in tax rates, the adoption of new U.S. or international tax legislation and exposure to additional tax liabilities.
The Company is subject to taxes in the U.S. and numerous foreign jurisdictions, including Ireland and Singapore, where a number of the Company’s subsidiaries are organized. Due to economic and political conditions, tax laws and tax rates for income taxes and other non-income taxes in various jurisdictions may be subject to significant change. For example, the Organisation for Economic Co-operation and Development continues to advance proposals for modernizing international tax rules, including the introduction of global minimum tax standards. The Company’s effective tax rates are affected by changes in the mix of earnings in countries with differing statutory tax rates, changes in the valuation of deferred tax assets and liabilities, the introduction of new taxes, and changes in tax laws or their interpretation. The application of tax laws may be uncertain, require significant judgment and be subject to differing interpretations.
The Company is also subject to the examination of its tax returns and other tax matters by the U.S. Internal Revenue Service and other tax authorities and governmental bodies. The Company regularly assesses the likelihood of an adverse outcome resulting from these examinations to determine the adequacy of its provision for taxes. There can be no assurance as to the outcome of these examinations. If the Company’s effective tax rates were to increase, or if the ultimate determination of the Company’s taxes owed is for an amount in excess of amounts previously accrued, the Company’s business, results of operations and financial condition could be materially adversely affected.
General Risks
The price of the Company’s stock is subject to volatility.
The Company’s stock has experienced substantial price volatility in the past and may continue to do so in the future. Additionally, the Company, the technology industry and the stock market as a whole have, from time to time, experienced extreme stock price and volume fluctuations that have affected stock prices in ways that may have been unrelated to these companies’ operating performance. Price volatility may cause the average price at which the Company repurchases its stock in a given period to exceed the stock’s price at a given point in time. The Company believes the price of its stock should reflect expectations of future growth and profitability. The Company also believes the price of its stock should reflect expectations that its cash dividend will continue at current levels or grow, and that its current share repurchase program will be fully consummated. Future dividends are subject to declaration by the Company’s Board of Directors, and the Company’s share repurchase program does not obligate it to acquire any specific number of shares. If the Company fails to meet expectations related to future growth, profitability, dividends, share repurchases or other market expectations, the price of the Company’s stock may decline significantly, which could have a material adverse impact on investor confidence and employee retention.
Item 1B. Unresolved Staff Comments
None.
Item 1C. Cybersecurity
Not applicable.
Apple Inc. | 2023 Form 10-K | 16
Item 2. Properties
The Company’s headquarters is located in Cupertino, California. As of September 30, 2023, the Company owned or leased facilities and land for corporate functions, R&D, data centers, retail and other purposes at locations throughout the U.S. and in various places outside the U.S. The Company believes its existing facilities and equipment, which are used by all reportable segments, are in good operating condition and are suitable for the conduct of its business.
Item 3. Legal Proceedings
Epic Games
Epic Games, Inc. (“Epic”) filed a lawsuit in the U.S. District Court for the Northern District of California (the “District Court”) against the Company alleging violations of federal and state antitrust laws and California’s unfair competition law based upon the Company’s operation of its App Store. On September 10, 2021, the District Court ruled in favor of the Company with respect to nine out of the ten counts included in Epic’s claim. The District Court found that certain provisions of the Company’s App Store Review Guidelines violate California’s unfair competition law and issued an injunction enjoining the Company from prohibiting developers from including in their apps external links that direct customers to purchasing mechanisms other than Apple in-app purchasing. The injunction applies to apps on the U.S. storefront of the iOS and iPadOS App Store. On April 24, 2023, the U.S. Court of Appeals for the Ninth Circuit (the “Circuit Court”) affirmed the District Court’s ruling. On June 7, 2023, the Company and Epic filed petitions with the Circuit Court requesting further review of the decision. On June 30, 2023, the Circuit Court denied both petitions. On July 17, 2023, the Circuit Court granted Apple’s motion to stay enforcement of the injunction pending appeal to the U.S. Supreme Court. If the U.S. Supreme Court denies Apple’s petition, the stay of the injunction will expire.
Masimo
Masimo Corporation and Cercacor Laboratories, Inc. (together, “Masimo”) filed a complaint before the U.S. International Trade Commission (the “ITC”) alleging infringement by the Company of five patents relating to the functionality of the blood oxygen feature in Apple Watch Series 6 and 7. In its complaint, Masimo sought a permanent exclusion order prohibiting importation to the United States of certain Apple Watch models that include blood oxygen sensing functionality. On October 26, 2023, the ITC entered a limited exclusion order (the “Order”) prohibiting importation and sales in the United States of Apple Watch models with blood oxygen sensing functionality, which includes Apple Watch Series 9 and Ultra 2. The Order will not go into effect until the end of the administrative review period, which is currently expected to end on December 25, 2023. The Company intends to appeal the Order and seek a stay pending the appeal.
Other Legal Proceedings
The Company is subject to other legal proceedings and claims that have not been fully resolved and that have arisen in the ordinary course of business. The Company settled certain matters during the fourth quarter of 2023 that did not individually or in the aggregate have a material impact on the Company’s financial condition or operating results. The outcome of litigation is inherently uncertain. If one or more legal matters were resolved against the Company in a reporting period for amounts above management’s expectations, the Company’s financial condition and operating results for that reporting period could be materially adversely affected.
Item 4. Mine Safety Disclosures
Not applicable.
Apple Inc. | 2023 Form 10-K | 17
PART II
Item 5. Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities
The Company’s common stock is traded on The Nasdaq Stock Market LLC under the symbol AAPL.
Holders
As of October 20, 2023, there were 23,763 shareholders of record.
Purchases of Equity Securities by the Issuer and Affiliated Purchasers
Share repurchase activity during the three months ended September 30, 2023 was as follows (in millions, except number of shares, which are reflected in thousands, and per-share amounts):
Periods Total Number
of Shares Purchased Average Price
Paid Per Share Total Number of Shares
Purchased as Part of Publicly
Announced Plans or Programs Approximate Dollar Value of
Shares That May Yet Be Purchased
Under the Plans or Programs (1)
July 2, 2023 to August 5, 2023:
Open market and privately negotiated purchases 33,864 $ 191.62 33,864
August 6, 2023 to September 2, 2023:
August 2023 ASRs 22,085 (2) (2) 22,085 (2)
Open market and privately negotiated purchases 30,299 $ 178.99 30,299
September 3, 2023 to September 30, 2023:
Open market and privately negotiated purchases 20,347 $ 176.31 20,347
Total 106,595 $ 74,069
(1)As of September 30, 2023, the Company was authorized by the Board of Directors to purchase up to $90 billion of the Company’s common stock under a share repurchase program announced on May 4, 2023, of which $15.9 billion had been utilized. During the fourth quarter of 2023, the Company also utilized the final $4.6 billion under its previous repurchase program, which was most recently authorized in April 2022. The programs do not obligate the Company to acquire a minimum amount of shares. Under the programs, shares may be repurchased in privately negotiated or open market transactions, including under plans complying with Rule 10b5-1 under the Exchange Act.
(2)In August 2023, the Company entered into new accelerated share repurchase agreements (“ASRs”). Under the terms of the ASRs, two financial institutions committed to deliver shares of the Company’s common stock during the purchase periods in exchange for up-front payments totaling $5.0 billion. The total number of shares ultimately delivered under the ASRs, and therefore the average repurchase price paid per share, is determined based on the volume-weighted average price of the Company’s common stock during the ASRs’ purchase periods, which end in the first quarter of 2024.
Apple Inc. | 2023 Form 10-K | 18
Company Stock Performance
The following graph shows a comparison of five-year cumulative total shareholder return, calculated on a dividend-reinvested basis, for the Company, the S&P 500 Index and the Dow Jones U.S. Technology Supersector Index. The graph assumes $100 was invested in each of the Company’s common stock, the S&P 500 Index and the Dow Jones U.S. Technology Supersector Index as of the market close on September 28, 2018. Past stock price performance is not necessarily indicative of future stock price performance.
September 2018 September 2019 September 2020 September 2021 September 2022 September 2023
Apple Inc. $ 100 $ 98 $ 204 $ 269 $ 277 $ 317
S&P 500 Index $ 100 $ 104 $ 118 $ 161 $ 136 $ 160
Dow Jones U.S. Technology Supersector Index $ 100 $ 105 $ 154 $ 227 $ 164 $ 226
Item 6. [Reserved]
Apple Inc. | 2023 Form 10-K | 19
Item 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations
The following discussion should be read in conjunction with the consolidated financial statements and accompanying notes included in Part II, Item 8 of this Form 10-K. This Item generally discusses 2023 and 2022 items and year-to-year comparisons between 2023 and 2022. Discussions of 2021 items and year-to-year comparisons between 2022 and 2021 are not included, and can be found in “Management’s Discussion and Analysis of Financial Condition and Results of Operations” in Part II, Item 7 of the Company’s Annual Report on Form 10-K for the fiscal year ended September 24, 2022.
Fiscal Period
The Company’s fiscal year is the 52- or 53-week period that ends on the last Saturday of September. An additional week is included in the first fiscal quarter every five or six years to realign the Company’s fiscal quarters with calendar quarters, which occurred in the first quarter of 2023. The Company’s fiscal year 2023 spanned 53 weeks, whereas fiscal years 2022 and 2021 spanned 52 weeks each.
Fiscal Year Highlights
The Company’s total net sales were $383.3 billion and net income was $97.0 billion during 2023.
The Company’s total net sales decreased 3% or $11.0 billion during 2023 compared to 2022. The weakness in foreign currencies relative to the U.S. dollar accounted for more than the entire year-over-year decrease in total net sales, which consisted primarily of lower net sales of Mac and iPhone, partially offset by higher net sales of Services.
The Company announces new product, service and software offerings at various times during the year. Significant announcements during fiscal year 2023 included the following:
First Quarter 2023:
•iPad and iPad Pro;
•Next-generation Apple TV 4K; and
•MLS Season Pass, a Major League Soccer subscription streaming service.
Second Quarter 2023:
•MacBook Pro 14”, MacBook Pro 16” and Mac mini; and
•Second-generation HomePod.
Third Quarter 2023:
•MacBook Air 15”, Mac Studio and Mac Pro;
•Apple Vision Pro™, the Company’s first spatial computer featuring its new visionOS™, expected to be available in early calendar year 2024; and
•iOS 17, macOS Sonoma, iPadOS 17, tvOS 17 and watchOS 10, updates to the Company’s operating systems.
Fourth Quarter 2023:
•iPhone 15, iPhone 15 Plus, iPhone 15 Pro and iPhone 15 Pro Max; and
•Apple Watch Series 9 and Apple Watch Ultra 2.
In May 2023, the Company announced a new share repurchase program of up to $90 billion and raised its quarterly dividend from $0.23 to $0.24 per share beginning in May 2023. During 2023, the Company repurchased $76.6 billion of its common stock and paid dividends and dividend equivalents of $15.0 billion.
Macroeconomic Conditions
Macroeconomic conditions, including inflation, changes in interest rates, and currency fluctuations, have directly and indirectly impacted, and could in the future materially impact, the Company’s results of operations and financial condition.
Apple Inc. | 2023 Form 10-K | 20
Segment Operating Performance
The following table shows net sales by reportable segment for 2023, 2022 and 2021 (dollars in millions):
2023 Change 2022 Change 2021
Net sales by reportable segment:
Americas $ 162,560 (4) % $ 169,658 11 % $ 153,306
Europe 94,294 (1) % 95,118 7 % 89,307
Greater China 72,559 (2) % 74,200 9 % 68,366
Japan 24,257 (7) % 25,977 (9) % 28,482
Rest of Asia Pacific 29,615 1 % 29,375 11 % 26,356
Total net sales $ 383,285 (3) % $ 394,328 8 % $ 365,817
Americas
Americas net sales decreased 4% or $7.1 billion during 2023 compared to 2022 due to lower net sales of iPhone and Mac, partially offset by higher net sales of Services.
Europe
Europe net sales decreased 1% or $824 million during 2023 compared to 2022. The weakness in foreign currencies relative to the U.S. dollar accounted for more than the entire year-over-year decrease in Europe net sales, which consisted primarily of lower net sales of Mac and Wearables, Home and Accessories, partially offset by higher net sales of iPhone and Services.
Greater China
Greater China net sales decreased 2% or $1.6 billion during 2023 compared to 2022. The weakness in the renminbi relative to the U.S. dollar accounted for more than the entire year-over-year decrease in Greater China net sales, which consisted primarily of lower net sales of Mac and iPhone.
Japan
Japan net sales decreased 7% or $1.7 billion during 2023 compared to 2022. The weakness in the yen relative to the U.S. dollar accounted for more than the entire year-over-year decrease in Japan net sales, which consisted primarily of lower net sales of iPhone, Wearables, Home and Accessories and Mac.
Rest of Asia Pacific
Rest of Asia Pacific net sales increased 1% or $240 million during 2023 compared to 2022. The weakness in foreign currencies relative to the U.S. dollar had a significantly unfavorable year-over-year impact on Rest of Asia Pacific net sales. The net sales increase consisted of higher net sales of iPhone and Services, partially offset by lower net sales of Mac and iPad.
Apple Inc. | 2023 Form 10-K | 21
Products and Services Performance
The following table shows net sales by category for 2023, 2022 and 2021 (dollars in millions):
2023 Change 2022 Change 2021
Net sales by category:
iPhone (1) $ 200,583 (2) % $ 205,489 7 % $ 191,973
Mac (1) 29,357 (27) % 40,177 14 % 35,190
iPad (1) 28,300 (3) % 29,292 (8) % 31,862
Wearables, Home and Accessories (1) 39,845 (3) % 41,241 7 % 38,367
Services (2) 85,200 9 % 78,129 14 % 68,425
Total net sales $ 383,285 (3) % $ 394,328 8 % $ 365,817
(1)Products net sales include amortization of the deferred value of unspecified software upgrade rights, which are bundled in the sales price of the respective product.
(2)Services net sales include amortization of the deferred value of services bundled in the sales price of certain products.
iPhone
iPhone net sales decreased 2% or $4.9 billion during 2023 compared to 2022 due to lower net sales of non-Pro iPhone models, partially offset by higher net sales of Pro iPhone models.
Mac
Mac net sales decreased 27% or $10.8 billion during 2023 compared to 2022 due primarily to lower net sales of laptops.
iPad
iPad net sales decreased 3% or $1.0 billion during 2023 compared to 2022 due primarily to lower net sales of iPad mini and iPad Air, partially offset by the combined net sales of iPad 9th and 10th generation.
Wearables, Home and Accessories
Wearables, Home and Accessories net sales decreased 3% or $1.4 billion during 2023 compared to 2022 due primarily to lower net sales of Wearables and Accessories.
Services
Services net sales increased 9% or $7.1 billion during 2023 compared to 2022 due to higher net sales across all lines of business.
Apple Inc. | 2023 Form 10-K | 22
Gross Margin
Products and Services gross margin and gross margin percentage for 2023, 2022 and 2021 were as follows (dollars in millions):
2023 2022 2021
Gross margin:
Products $ 108,803 $ 114,728 $ 105,126
Services 60,345 56,054 47,710
Total gross margin $ 169,148 $ 170,782 $ 152,836
Gross margin percentage:
Products 36.5 % 36.3 % 35.3 %
Services 70.8 % 71.7 % 69.7 %
Total gross margin percentage 44.1 % 43.3 % 41.8 %
Products Gross Margin
Products gross margin decreased during 2023 compared to 2022 due to the weakness in foreign currencies relative to the U.S. dollar and lower Products volume, partially offset by cost savings and a different Products mix.
Products gross margin percentage increased during 2023 compared to 2022 due to cost savings and a different Products mix, partially offset by the weakness in foreign currencies relative to the U.S. dollar and decreased leverage.
Services Gross Margin
Services gross margin increased during 2023 compared to 2022 due primarily to higher Services net sales, partially offset by the weakness in foreign currencies relative to the U.S. dollar and higher Services costs.
Services gross margin percentage decreased during 2023 compared to 2022 due to higher Services costs and the weakness in foreign currencies relative to the U.S. dollar, partially offset by a different Services mix.
The Company’s future gross margins can be impacted by a variety of factors, as discussed in Part I, Item 1A of this Form 10-K under the heading “Risk Factors.” As a result, the Company believes, in general, gross margins will be subject to volatility and downward pressure.
Operating Expenses
Operating expenses for 2023, 2022 and 2021 were as follows (dollars in millions):
2023 Change 2022 Change 2021
Research and development $ 29,915 14 % $ 26,251 20 % $ 21,914
Percentage of total net sales 8 % 7 % 6 %
Selling, general and administrative $ 24,932 (1) % $ 25,094 14 % $ 21,973
Percentage of total net sales 7 % 6 % 6 %
Total operating expenses $ 54,847 7 % $ 51,345 17 % $ 43,887
Percentage of total net sales 14 % 13 % 12 %
Research and Development
The year-over-year growth in R&D expense in 2023 was driven primarily by increases in headcount-related expenses.
Selling, General and Administrative
Selling, general and administrative expense was relatively flat in 2023 compared to 2022.
Apple Inc. | 2023 Form 10-K | 23
Provision for Income Taxes
Provision for income taxes, effective tax rate and statutory federal income tax rate for 2023, 2022 and 2021 were as follows (dollars in millions):
2023 2022 2021
Provision for income taxes $ 16,741 $ 19,300 $ 14,527
Effective tax rate 14.7 % 16.2 % 13.3 %
Statutory federal income tax rate 21 % 21 % 21 %
The Company’s effective tax rate for 2023 and 2022 was lower than the statutory federal income tax rate due primarily to a lower effective tax rate on foreign earnings, the impact of the U.S. federal R&D credit, and tax benefits from share-based compensation, partially offset by state income taxes.
The Company’s effective tax rate for 2023 was lower compared to 2022 due primarily to a lower effective tax rate on foreign earnings and the impact of U.S. foreign tax credit regulations issued by the U.S. Department of the Treasury in 2022, partially offset by lower tax benefits from share-based compensation.
Liquidity and Capital Resources
The Company believes its balances of cash, cash equivalents and unrestricted marketable securities, which totaled $148.3 billion as of September 30, 2023, along with cash generated by ongoing operations and continued access to debt markets, will be sufficient to satisfy its cash requirements and capital return program over the next 12 months and beyond.
The Company’s material cash requirements include the following contractual obligations:
Debt
As of September 30, 2023, the Company had outstanding fixed-rate notes with varying maturities for an aggregate principal amount of $106.6 billion (collectively the “Notes”), with $9.9 billion payable within 12 months. Future interest payments associated with the Notes total $41.1 billion, with $2.9 billion payable within 12 months.
The Company also issues unsecured short-term promissory notes pursuant to a commercial paper program. As of September 30, 2023, the Company had $6.0 billion of commercial paper outstanding, all of which was payable within 12 months.
Leases
The Company has lease arrangements for certain equipment and facilities, including corporate, data center, manufacturing and retail space. As of September 30, 2023, the Company had fixed lease payment obligations of $15.8 billion, with $2.0 billion payable within 12 months.
Manufacturing Purchase Obligations
The Company utilizes several outsourcing partners to manufacture subassemblies for the Company’s products and to perform final assembly and testing of finished products. The Company also obtains individual components for its products from a wide variety of individual suppliers. As of September 30, 2023, the Company had manufacturing purchase obligations of $53.1 billion, with $52.9 billion payable within 12 months. The Company’s manufacturing purchase obligations are primarily noncancelable.
Other Purchase Obligations
The Company’s other purchase obligations primarily consist of noncancelable obligations to acquire capital assets, including assets related to product manufacturing, and noncancelable obligations related to supplier arrangements, licensed intellectual property and content, and distribution rights. As of September 30, 2023, the Company had other purchase obligations of $21.9 billion, with $5.6 billion payable within 12 months.
Deemed Repatriation Tax Payable
As of September 30, 2023, the balance of the deemed repatriation tax payable imposed by the U.S. Tax Cuts and Jobs Act of 2017 (the “Act”) was $22.0 billion, with $6.5 billion expected to be paid within 12 months.
Apple Inc. | 2023 Form 10-K | 24
Capital Return Program
In addition to its contractual cash requirements, the Company has an authorized share repurchase program. The program does not obligate the Company to acquire a minimum amount of shares. As of September 30, 2023, the Company’s quarterly cash dividend was $0.24 per share. The Company intends to increase its dividend on an annual basis, subject to declaration by the Board of Directors.
Critical Accounting Estimates
The preparation of financial statements and related disclosures in conformity with U.S. generally accepted accounting principles (“GAAP”) and the Company’s discussion and analysis of its financial condition and operating results require the Company’s management to make judgments, assumptions and estimates that affect the amounts reported. Note 1, “Summary of Significant Accounting Policies” of the Notes to Consolidated Financial Statements in Part II, Item 8 of this Form 10-K describes the significant accounting policies and methods used in the preparation of the Company’s consolidated financial statements. Management bases its estimates on historical experience and on various other assumptions it believes to be reasonable under the circumstances, the results of which form the basis for making judgments about the carrying values of assets and liabilities.
Uncertain Tax Positions
The Company is subject to income taxes in the U.S. and numerous foreign jurisdictions. The evaluation of the Company’s uncertain tax positions involves significant judgment in the interpretation and application of GAAP and complex domestic and international tax laws, including the Act and matters related to the allocation of international taxation rights between countries. Although management believes the Company’s reserves are reasonable, no assurance can be given that the final outcome of these uncertainties will not be different from that which is reflected in the Company’s reserves. Reserves are adjusted considering changing facts and circumstances, such as the closing of a tax examination. Resolution of these uncertainties in a manner inconsistent with management’s expectations could have a material impact on the Company’s financial condition and operating results.
Legal and Other Contingencies
The Company is subject to various legal proceedings and claims that arise in the ordinary course of business, the outcomes of which are inherently uncertain. The Company records a liability when it is probable that a loss has been incurred and the amount is reasonably estimable, the determination of which requires significant judgment. Resolution of legal matters in a manner inconsistent with management’s expectations could have a material impact on the Company’s financial condition and operating results.
Apple Inc. | 2023 Form 10-K | 25
Item 7A. Quantitative and Qualitative Disclosures About Market Risk
The Company is exposed to economic risk from interest rates and foreign exchange rates. The Company uses various strategies to manage these risks; however, they may still impact the Company’s consolidated financial statements.
Interest Rate Risk
The Company is primarily exposed to fluctuations in U.S. interest rates and their impact on the Company’s investment portfolio and term debt. Increases in interest rates will negatively affect the fair value of the Company’s investment portfolio and increase the interest expense on the Company’s term debt. To protect against interest rate risk, the Company may use derivative instruments, offset interest rate–sensitive assets and liabilities, or control duration of the investment and term debt portfolios.
The following table sets forth potential impacts on the Company’s investment portfolio and term debt, including the effects of any associated derivatives, that would result from a hypothetical increase in relevant interest rates as of September 30, 2023 and September 24, 2022 (dollars in millions):
Interest Rate
Sensitive Instrument Hypothetical Interest
Rate Increase Potential Impact 2023 2022
Investment portfolio 100 basis points, all tenors Decline in fair value $ 3,089 $ 4,022
Term debt 100 basis points, all tenors Increase in annual interest expense $ 194 $ 201
Foreign Exchange Rate Risk
The Company’s exposure to foreign exchange rate risk relates primarily to the Company being a net receiver of currencies other than the U.S. dollar. Changes in exchange rates, and in particular a strengthening of the U.S. dollar, will negatively affect the Company’s net sales and gross margins as expressed in U.S. dollars. Fluctuations in exchange rates may also affect the fair values of certain of the Company’s assets and liabilities. To protect against foreign exchange rate risk, the Company may use derivative instruments, offset exposures, or adjust local currency pricing of its products and services. However, the Company may choose to not hedge certain foreign currency exposures for a variety of reasons, including accounting considerations or prohibitive cost.
The Company applied a value-at-risk (“VAR”) model to its foreign currency derivative positions to assess the potential impact of fluctuations in exchange rates. The VAR model used a Monte Carlo simulation. The VAR is the maximum expected loss in fair value, for a given confidence interval, to the Company’s foreign currency derivative positions due to adverse movements in rates. Based on the results of the model, the Company estimates, with 95% confidence, a maximum one-day loss in fair value of $669 million and $1.0 billion as of September 30, 2023 and September 24, 2022, respectively. Changes in the Company’s underlying foreign currency exposures, which were excluded from the assessment, generally offset changes in the fair values of the Company’s foreign currency derivatives.
Apple Inc. | 2023 Form 10-K | 26
Item 8. Financial Statements and Supplementary Data
Index to Consolidated Financial Statements Page
Consolidated Statements of Operations for the years ended September 30, 2023, September 24, 2022 and September 25, 2021
28
Consolidated Statements of Comprehensive Income for the years ended September 30, 2023, September 24, 2022 and September 25, 2021
29
Consolidated Balance Sheets as of September 30, 2023 and September 24, 2022
30
Consolidated Statements of Shareholders’ Equity for the years ended September 30, 2023, September 24, 2022 and September 25, 2021
31
Consolidated Statements of Cash Flows for the years ended September 30, 2023, September 24, 2022 and September 25, 2021
32
Notes to Consolidated Financial Statements
33
Reports of Independent Registered Public Accounting Firm
49
All financial statement schedules have been omitted, since the required information is not applicable or is not present in amounts sufficient to require submission of the schedule, or because the information required is included in the consolidated financial statements and accompanying notes.
Apple Inc. | 2023 Form 10-K | 27
Apple Inc.
CONSOLIDATED STATEMENTS OF OPERATIONS
(In millions, except number of shares, which are reflected in thousands, and per-share amounts)
Years ended
September 30,
2023 September 24,
2022 September 25,
2021
Net sales:
Products $ 298,085 $ 316,199 $ 297,392
Services 85,200 78,129 68,425
Total net sales 383,285 394,328 365,817
Cost of sales:
Products 189,282 201,471 192,266
Services 24,855 22,075 20,715
Total cost of sales 214,137 223,546 212,981
Gross margin 169,148 170,782 152,836
Operating expenses:
Research and development 29,915 26,251 21,914
Selling, general and administrative 24,932 25,094 21,973
Total operating expenses 54,847 51,345 43,887
Operating income 114,301 119,437 108,949
Other income/(expense), net (565) (334) 258
Income before provision for income taxes 113,736 119,103 109,207
Provision for income taxes 16,741 19,300 14,527
Net income $ 96,995 $ 99,803 $ 94,680
Earnings per share:
Basic $ 6.16 $ 6.15 $ 5.67
Diluted $ 6.13 $ 6.11 $ 5.61
Shares used in computing earnings per share:
Basic 15,744,231 16,215,963 16,701,272
Diluted 15,812,547 16,325,819 16,864,919
See accompanying Notes to Consolidated Financial Statements.
Apple Inc. | 2023 Form 10-K | 28
Apple Inc.
CONSOLIDATED STATEMENTS OF COMPREHENSIVE INCOME
(In millions)
Years ended
September 30,
2023 September 24,
2022 September 25,
2021
Net income $ 96,995 $ 99,803 $ 94,680
Other comprehensive income/(loss):
Change in foreign currency translation, net of tax (765) (1,511) 501
Change in unrealized gains/losses on derivative instruments, net of tax:
Change in fair value of derivative instruments 323 3,212 32
Adjustment for net (gains)/losses realized and included in net income (1,717) (1,074) 1,003
Total change in unrealized gains/losses on derivative instruments (1,394) 2,138 1,035
Change in unrealized gains/losses on marketable debt securities, net of tax:
Change in fair value of marketable debt securities 1,563 (12,104) (694)
Adjustment for net (gains)/losses realized and included in net income 253 205 (273)
Total change in unrealized gains/losses on marketable debt securities 1,816 (11,899) (967)
Total other comprehensive income/(loss) (343) (11,272) 569
Total comprehensive income $ 96,652 $ 88,531 $ 95,249
See accompanying Notes to Consolidated Financial Statements.
Apple Inc. | 2023 Form 10-K | 29
Apple Inc.
CONSOLIDATED BALANCE SHEETS
(In millions, except number of shares, which are reflected in thousands, and par value)
September 30,
2023 September 24,
2022
ASSETS:
Current assets:
Cash and cash equivalents $ 29,965 $ 23,646
Marketable securities 31,590 24,658
Accounts receivable, net 29,508 28,184
Vendor non-trade receivables 31,477 32,748
Inventories 6,331 4,946
Other current assets 14,695 21,223
Total current assets 143,566 135,405
Non-current assets:
Marketable securities 100,544 120,805
Property, plant and equipment, net 43,715 42,117
Other non-current assets 64,758 54,428
Total non-current assets 209,017 217,350
Total assets $ 352,583 $ 352,755
LIABILITIES AND SHAREHOLDERS’ EQUITY:
Current liabilities:
Accounts payable $ 62,611 $ 64,115
Other current liabilities 58,829 60,845
Deferred revenue 8,061 7,912
Commercial paper 5,985 9,982
Term debt 9,822 11,128
Total current liabilities 145,308 153,982
Non-current liabilities:
Term debt 95,281 98,959
Other non-current liabilities 49,848 49,142
Total non-current liabilities 145,129 148,101
Total liabilities 290,437 302,083
Commitments and contingencies
Shareholders’ equity:
Common stock and additional paid-in capital, $0.00001 par value: 50,400,000 shares authorized; 15,550,061 and 15,943,425 shares issued and outstanding, respectively 73,812 64,849
Accumulated deficit (214) (3,068)
Accumulated other comprehensive loss (11,452) (11,109)
Total shareholders’ equity 62,146 50,672
Total liabilities and shareholders’ equity $ 352,583 $ 352,755
See accompanying Notes to Consolidated Financial Statements.
Apple Inc. | 2023 Form 10-K | 30
Apple Inc.
CONSOLIDATED STATEMENTS OF SHAREHOLDERS’ EQUITY
(In millions, except per-share amounts)
Years ended
September 30,
2023 September 24,
2022 September 25,
2021
Total shareholders’ equity, beginning balances $ 50,672 $ 63,090 $ 65,339
Common stock and additional paid-in capital:
Beginning balances 64,849 57,365 50,779
Common stock issued 1,346 1,175 1,105
Common stock withheld related to net share settlement of equity awards (3,521) (2,971) (2,627)
Share-based compensation 11,138 9,280 8,108
Ending balances 73,812 64,849 57,365
Retained earnings/(Accumulated deficit):
Beginning balances (3,068) 5,562 14,966
Net income 96,995 99,803 94,680
Dividends and dividend equivalents declared (14,996) (14,793) (14,431)
Common stock withheld related to net share settlement of equity awards (2,099) (3,454) (4,151)
Common stock repurchased (77,046) (90,186) (85,502)
Ending balances (214) (3,068) 5,562
Accumulated other comprehensive income/(loss):
Beginning balances (11,109) 163 (406)
Other comprehensive income/(loss) (343) (11,272) 569
Ending balances (11,452) (11,109) 163
Total shareholders’ equity, ending balances $ 62,146 $ 50,672 $ 63,090
Dividends and dividend equivalents declared per share or RSU $ 0.94 $ 0.90 $ 0.85
See accompanying Notes to Consolidated Financial Statements.
Apple Inc. | 2023 Form 10-K | 31
Apple Inc.
CONSOLIDATED STATEMENTS OF CASH FLOWS
(In millions)
Years ended
September 30,
2023 September 24,
2022 September 25,
2021
Cash, cash equivalents and restricted cash, beginning balances $ 24,977 $ 35,929 $ 39,789
Operating activities:
Net income 96,995 99,803 94,680
Adjustments to reconcile net income to cash generated by operating activities:
Depreciation and amortization 11,519 11,104 11,284
Share-based compensation expense 10,833 9,038 7,906
Other (2,227) 1,006 (4,921)
Changes in operating assets and liabilities:
Accounts receivable, net (1,688) (1,823) (10,125)
Vendor non-trade receivables 1,271 (7,520) (3,903)
Inventories (1,618) 1,484 (2,642)
Other current and non-current assets (5,684) (6,499) (8,042)
Accounts payable (1,889) 9,448 12,326
Other current and non-current liabilities 3,031 6,110 7,475
Cash generated by operating activities 110,543 122,151 104,038
Investing activities:
Purchases of marketable securities (29,513) (76,923) (109,558)
Proceeds from maturities of marketable securities 39,686 29,917 59,023
Proceeds from sales of marketable securities 5,828 37,446 47,460
Payments for acquisition of property, plant and equipment (10,959) (10,708) (11,085)
Other (1,337) (2,086) (385)
Cash generated by/(used in) investing activities 3,705 (22,354) (14,545)
Financing activities:
Payments for taxes related to net share settlement of equity awards (5,431) (6,223) (6,556)
Payments for dividends and dividend equivalents (15,025) (14,841) (14,467)
Repurchases of common stock (77,550) (89,402) (85,971)
Proceeds from issuance of term debt, net 5,228 5,465 20,393
Repayments of term debt (11,151) (9,543) (8,750)
Proceeds from/(Repayments of) commercial paper, net (3,978) 3,955 1,022
Other (581) (160) 976
Cash used in financing activities (108,488) (110,749) (93,353)
Increase/(Decrease) in cash, cash equivalents and restricted cash 5,760 (10,952) (3,860)
Cash, cash equivalents and restricted cash, ending balances $ 30,737 $ 24,977 $ 35,929
Supplemental cash flow disclosure:
Cash paid for income taxes, net $ 18,679 $ 19,573 $ 25,385
Cash paid for interest $ 3,803 $ 2,865 $ 2,687
See accompanying Notes to Consolidated Financial Statements.
Apple Inc. | 2023 Form 10-K | 32
Apple Inc.
Notes to Consolidated Financial Statements
Note 1 – Summary of Significant Accounting Policies
Basis of Presentation and Preparation
The consolidated financial statements include the accounts of Apple Inc. and its wholly owned subsidiaries. The preparation of these consolidated financial statements and accompanying notes in conformity with GAAP requires the use of management estimates. Certain prior period amounts in the consolidated financial statements and accompanying notes have been reclassified to conform to the current period’s presentation.
The Company’s fiscal year is the 52- or 53-week period that ends on the last Saturday of September. An additional week is included in the first fiscal quarter every five or six years to realign the Company’s fiscal quarters with calendar quarters, which occurred in the first fiscal quarter of 2023. The Company’s fiscal year 2023 spanned 53 weeks, whereas fiscal years 2022 and 2021 spanned 52 weeks each. Unless otherwise stated, references to particular years, quarters, months and periods refer to the Company’s fiscal years ended in September and the associated quarters, months and periods of those fiscal years.
Revenue
The Company records revenue net of taxes collected from customers that are remitted to governmental authorities.
Share-Based Compensation
The Company recognizes share-based compensation expense on a straight-line basis for its estimate of equity awards that will ultimately vest.
Cash Equivalents
All highly liquid investments with maturities of three months or less at the date of purchase are treated as cash equivalents.
Marketable Securities
The cost of securities sold is determined using the specific identification method.
Inventories
Inventories are measured using the first-in, first-out method.
Property, Plant and Equipment
Depreciation on property, plant and equipment is recognized on a straight-line basis.
Derivative Instruments
The Company presents derivative assets and liabilities at their gross fair values in the Consolidated Balance Sheets.
Income Taxes
The Company records certain deferred tax assets and liabilities in connection with the minimum tax on certain foreign earnings created by the Act.
Leases
The Company combines and accounts for lease and nonlease components as a single lease component for leases of corporate, data center and retail facilities.
Apple Inc. | 2023 Form 10-K | 33
Note 2 – Revenue
The Company recognizes revenue at the amount to which it expects to be entitled when control of the products or services is transferred to its customers. Control is generally transferred when the Company has a present right to payment and title and the significant risks and rewards of ownership of products or services are transferred to its customers. For most of the Company’s Products net sales, control transfers when products are shipped. For the Company’s Services net sales, control transfers over time as services are delivered. Payment for Products and Services net sales is collected within a short period following transfer of control or commencement of delivery of services, as applicable.
The Company records reductions to Products net sales related to future product returns, price protection and other customer incentive programs based on the Company’s expectations and historical experience.
For arrangements with multiple performance obligations, which represent promises within an arrangement that are distinct, the Company allocates revenue to all distinct performance obligations based on their relative stand-alone selling prices (“SSPs”). When available, the Company uses observable prices to determine SSPs. When observable prices are not available, SSPs are established that reflect the Company’s best estimates of what the selling prices of the performance obligations would be if they were sold regularly on a stand-alone basis. The Company’s process for estimating SSPs without observable prices considers multiple factors that may vary depending upon the unique facts and circumstances related to each performance obligation including, where applicable, prices charged by the Company for similar offerings, market trends in the pricing for similar offerings, product-specific business objectives and the estimated cost to provide the performance obligation.
The Company has identified up to three performance obligations regularly included in arrangements involving the sale of iPhone, Mac, iPad and certain other products. The first performance obligation, which represents the substantial portion of the allocated sales price, is the hardware and bundled software delivered at the time of sale. The second performance obligation is the right to receive certain product-related bundled services, which include iCloud®, Siri® and Maps. The third performance obligation is the right to receive, on a when-and-if-available basis, future unspecified software upgrades relating to the software bundled with each device. The Company allocates revenue and any related discounts to these performance obligations based on their relative SSPs. Because the Company lacks observable prices for the undelivered performance obligations, the allocation of revenue is based on the Company’s estimated SSPs. Revenue allocated to the delivered hardware and bundled software is recognized when control has transferred to the customer, which generally occurs when the product is shipped. Revenue allocated to the product-related bundled services and unspecified software upgrade rights is deferred and recognized on a straight-line basis over the estimated period they are expected to be provided.
For certain long-term service arrangements, the Company has performance obligations for services it has not yet delivered. For these arrangements, the Company does not have a right to bill for the undelivered services. The Company has determined that any unbilled consideration relates entirely to the value of the undelivered services. Accordingly, the Company has not recognized revenue, and does not disclose amounts, related to these undelivered services.
For the sale of third-party products where the Company obtains control of the product before transferring it to the customer, the Company recognizes revenue based on the gross amount billed to customers. The Company considers multiple factors when determining whether it obtains control of third-party products, including evaluating if it can establish the price of the product, retains inventory risk for tangible products or has the responsibility for ensuring acceptability of the product. For third-party applications sold through the App Store, the Company does not obtain control of the product before transferring it to the customer. Therefore, the Company accounts for all third-party application–related sales on a net basis by recognizing in Services net sales only the commission it retains.
Apple Inc. | 2023 Form 10-K | 34
Net sales disaggregated by significant products and services for 2023, 2022 and 2021 were as follows (in millions):
2023 2022 2021
iPhone (1) $ 200,583 $ 205,489 $ 191,973
Mac (1) 29,357 40,177 35,190
iPad (1) 28,300 29,292 31,862
Wearables, Home and Accessories (1) 39,845 41,241 38,367
Services (2) 85,200 78,129 68,425
Total net sales $ 383,285 $ 394,328 $ 365,817
(1)Products net sales include amortization of the deferred value of unspecified software upgrade rights, which are bundled in the sales price of the respective product.
(2)Services net sales include amortization of the deferred value of services bundled in the sales price of certain products.
Total net sales include $8.2 billion of revenue recognized in 2023 that was included in deferred revenue as of September 24, 2022, $7.5 billion of revenue recognized in 2022 that was included in deferred revenue as of September 25, 2021, and $6.7 billion of revenue recognized in 2021 that was included in deferred revenue as of September 26, 2020.
The Company’s proportion of net sales by disaggregated revenue source was generally consistent for each reportable segment in Note 13, “Segment Information and Geographic Data” for 2023, 2022 and 2021, except in Greater China, where iPhone revenue represented a moderately higher proportion of net sales.
As of September 30, 2023 and September 24, 2022, the Company had total deferred revenue of $12.1 billion and $12.4 billion, respectively. As of September 30, 2023, the Company expects 67% of total deferred revenue to be realized in less than a year, 25% within one-to-two years, 7% within two-to-three years and 1% in greater than three years.
Note 3 – Earnings Per Share
The following table shows the computation of basic and diluted earnings per share for 2023, 2022 and 2021 (net income in millions and shares in thousands):
2023 2022 2021
Numerator:
Net income $ 96,995 $ 99,803 $ 94,680
Denominator:
Weighted-average basic shares outstanding 15,744,231 16,215,963 16,701,272
Effect of dilutive share-based awards 68,316 109,856 163,647
Weighted-average diluted shares 15,812,547 16,325,819 16,864,919
Basic earnings per share $ 6.16 $ 6.15 $ 5.67
Diluted earnings per share $ 6.13 $ 6.11 $ 5.61
Approximately 24 million restricted stock units (“RSUs”) were excluded from the computation of diluted earnings per share for 2023 because their effect would have been antidilutive.
Apple Inc. | 2023 Form 10-K | 35
|
English
|
32k
|
T6. Aggregation & Clustering
|
T6.3 Global Frequency Analysis
|
Full
|
Sort the given terms in descending order by the number of times they appear in the above text. Output the "[Answer]" identifier first, and then output the sorted terms line by line, without any additional content.
Given terms: could, competition, fiscal, department, performance
Output example:
[Answer]
department
competition
fiscal
performance
could
|
Sort the given terms in descending order by the number of times they appear in the above text. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the sorted terms line by line.
Given terms: could, competition, fiscal, department, performance
Output example:
<Your thinking process>
[Answer]
department
competition
fiscal
performance
could
|
[
"could",
"performance",
"fiscal",
"competition",
"department"
] |
Hard
|
523463774cede330731e175c5327925c7032deebf707134f581a775993ef4200
|
出版管理条例
(2001年12月12日国务院第50次常务会议通过 2001年12月25日中华人民共和国国务院令第343号公布 自2002年2月1日起施行)
第一章 总 则
第一条 为了加强对出版活动的管理，发展和繁荣有中国特色社会主义出版事业，保障公民依法行使出版自由的权利，促进社会主义精神文明和物质文明建设，根据宪法，制定本条例。
第二条 在中华人民共和国境内从事出版活动，适用本条例。
本条例所称出版活动，包括出版物的出版、印刷或者复制、进口、发行。
本条例所称出版物，是指报纸、期刊、图书、音像制品、电子出版物等。
第三条 出版事业必须坚持为人民服务、为社会主义服务的方向，坚持以马克思列宁主义、毛泽东思想和邓小平理论为指导，传播和积累有益于提高民族素质、有益于经济发展和社会进步的科学技术和文化知识，弘扬民族优秀文化，促进国际文化交流，丰富和提高人民的精神生活。
第四条 从事出版活动，应当将社会效益放在首位，实现社会效益与经济效益相结合。
第五条 公民依法行使出版自由的权利，各级人民政府应当予以保障。
公民在行使出版自由的权利的时候，必须遵守宪法和法律，不得反对宪法确定的基本原则，不得损害国家的、社会的、集体的利益和其他公民的合法的自由和权利。
第六条 国务院出版行政部门负责全国的出版活动的监督管理工作。国务院其他有关部门按照国务院规定的职责分工，负责有关的出版活动的监督管理工作。
县级以上地方各级人民政府负责出版管理的行政部门(以下简称出版行政部门)负责本行政区域内出版活动的监督管理工作。县级以上地方各级人民政府其他有关部门在各自的职责范围内，负责有关的出版活动的监督管理工作。
第七条 出版行政部门根据已经取得的违法嫌疑证据或者举报，对涉嫌违法从事出版物出版、印刷或者复制、进口、发行等活动的行为进行查处时，可以检查与违法活动有关的物品；对有证据证明是与违法活动有关的物品，可以查封或者扣押。
第八条 出版行业的社会团体按照其章程，在出版行政部门的指导下，实行自律管理。
第二章 出版单位的设立与管理
第九条 报纸、期刊、图书、音像制品和电子出版物等应当由出版单位出版。
本条例所称出版单位，包括报社、期刊社、图书出版社、音像出版社和电子出版物出版社等。
法人出版报纸、期刊，不设立报社、期刊社的，其设立的报纸编辑部、期刊编辑部视为出版单位。
第十条 国务院出版行政部门制定全国出版单位总量、结构、布局的规划，指导、协调出版事业发展。
第十一条 设立出版单位，应当具备下列条件：
(一)有出版单位的名称、章程；
(二)有符合国务院出版行政部门认定的主办单位及其主管机关；
(三)有确定的业务范围；
(四)有30万元以上的注册资本和固定的工作场所；
(五)有适应业务范围需要的组织机构和符合国家规定的资格条件的编辑出版专业人员；
(六)法律、行政法规规定的其他条件。
审批设立出版单位，除依照前款所列条件外，还应当符合国家关于出版单位总量、结构、布局的规划。
第十二条 设立出版单位，由其主办单位向所在地省、自治区、直辖市人民政府出版行政部门提出申请；省、自治区、直辖市人民政府出版行政部门审核同意后，报国务院出版行政部门审批。
第十三条 设立出版单位的申请书应当载明下列事项：
(一)出版单位的名称、地址；
(二)出版单位的主办单位及其主管机关的名称、地址；
(三)出版单位的法定代表人或者主要负责人的姓名、住址、资格证明文件；
(四)出版单位的资金来源及数额。
设立报社、期刊社或者报纸编辑部、期刊编辑部的，申请书还应当载明报纸或者期刊的名称、刊期、开版或者开本、印刷场所。
申请书应当附具出版单位的章程和设立出版单位的主办单位及其主管机关的有关证明材料。
第十四条 国务院出版行政部门应当自收到设立出版单位的申请之日起90日内，作出批准或者不批准的决定，并由省、自治区、直辖市人民政府出版行政部门书面通知主办单位；不批准的，应当说明理由。
第十五条 设立出版单位的主办单位应当自收到批准决定之日起60日内，向所在地省、自治区、直辖市人民政府出版行政部门登记，领取出版许可证。登记事项由国务院出版行政部门规定。
出版单位经登记后，持出版许可证向工商行政管理部门登记，依法领取营业执照。
第十六条 报社、期刊社、图书出版社、音像出版社和电子出版物出版社等应当具备法人条件，经核准登记后，取得法人资格，以其全部法人财产独立承担民事责任。
依照本条例第九条第三款的规定，视为出版单位的报纸编辑部、期刊编辑部不具有法人资格，其民事责任由其主办单位承担。
第十七条 出版单位变更名称、主办单位或者其主管机关、业务范围，合并或者分立，出版新的报纸、期刊，或者报纸、期刊变更名称、刊期的，应当依照本条例第十二条、第十三条的规定办理审批手续，并到原登记的工商行政管理部门办理相应的登记手续。
出版单位除前款所列变更事项外的其他事项的变更，应当经主办单位及其主管机关审查同意，向所在地省、自治区、直辖市人民政府出版行政部门申请变更登记，并报国务院出版行政部门备案后，到原登记的工商行政管理部门办理变更登记。
第十八条 出版单位终止出版活动的，应当向所在地省、自治区、直辖市人民政府出版行政部门办理注销登记，并报国务院出版行政部门备案后，到原登记的工商行政管理部门办理注销登记。
第十九条 图书出版社、音像出版社和电子出版物出版社自登记之日起满180日未从事出版活动的，报社、期刊社自登记之日起满90日未出版报纸、期刊的，由原登记的出版行政部门注销登记，并报国务院出版行政部门备案。
因不可抗力或者其他正当理由发生前款所列情形的，出版单位可以向原登记的出版行政部门申请延期。
第二十条 图书出版社、音像出版社和电子出版物出版社的年度出版计划及涉及国家安全、社会安定等方面的重大选题，应当经所在地省、自治区、直辖市人民政府出版行政部门审核后报国务院出版行政部门备案；涉及重大选题，未在出版前报备案的出版物，不得出版。具体办法由国务院出版行政部门制定。
期刊社的重大选题，应当依照前款规定办理备案手续。
第二十一条 出版行政部门应当加强对本行政区域内出版单位出版活动的日常监督管理。
出版单位应当按照国务院出版行政部门的规定，将从事出版活动的情况向出版行政部门提出书面报告。
第二十二条 出版单位不得向任何单位或者个人出售或者以其他形式转让本单位的名称、书号、刊号或者版号、版面，并不得出租本单位的名称、刊号。
第二十三条 出版单位发行其出版物前，应当按照国家有关规定向国家图书馆、中国版本图书馆和国务院出版行政部门免费送交样本。
第三章 出版物的出版
第二十四条 公民可以依照本条例规定，在出版物上自由表达自己对国家事务、经济和文化事业、社会事务的见解和意愿，自由发表自己从事科学研究、文学艺术创作和其他文化活动的成果。
合法出版物受法律保护，任何组织和个人不得非法干扰、阻止、破坏出版物的出版。
第二十五条 出版单位实行编辑责任制度，保障出版物刊载的内容符合本条例的规定。
第二十六条 任何出版物不得含有下列内容：
(一)反对宪法确定的基本原则的；
(二)危害国家统一、主权和领土完整的；
(三)泄露国家秘密、危害国家安全或者损害国家荣誉和利益的；
(四)煽动民族仇恨、民族歧视，破坏民族团结，或者侵害民族风俗、习惯的；
(五)宣扬邪教、迷信的；
(六)扰乱社会秩序，破坏社会稳定的；
(七)宣扬淫秽、赌博、暴力或者教唆犯罪的；
(八)侮辱或者诽谤他人，侵害他人合法权益的；
(九)危害社会公德或者民族优秀文化传统的；
(十)有法律、行政法规和国家规定禁止的其他内容的。
第二十七条 以未成年人为对象的出版物不得含有诱发未成年人模仿违反社会公德的行为和违法犯罪的行为的内容，不得含有恐怖、残酷等妨害未成年人身心健康的内容。
第二十八条 出版物的内容不真实或者不公正，致使公民、法人或者其他组织的合法权益受到侵害的，其出版单位应当公开更正，消除影响，并依法承担其他民事责任。
报纸、期刊发表的作品内容不真实或者不公正，致使公民、法人或者其他组织的合法权益受到侵害的，当事人有权要求有关出版单位更正或者答辩，有关出版单位应当在其近期出版的报纸、期刊上予以发表；拒绝发表的，当事人可以向人民法院提起诉讼。
第二十九条 出版物必须按照国家的有关规定载明作者、出版者、印刷者或者复制者、发行者的名称、地址，书号、刊号或者版号，出版日期、刊期以及其他有关事项。
出版物的规格、开本、版式、装帧、校对等必须符合国家标准和规范要求，保证出版物的质量。
第三十条 任何单位和个人不得伪造、假冒出版单位名称或者报纸、期刊名称出版出版物。
第三十一条 中学小学教科书由国务院教育行政部门审定或者组织审定，其出版、印刷、发行单位由省级以上人民政府出版行政部门、教育行政部门会同价格主管部门以招标或者其他公开、公正的方式确定；其他任何单位或者个人不得从事中学小学教科书的出版、印刷、发行业务。具体办法和实施步骤由国务院出版行政部门会同国务院教育行政部门、价格主管部门规定。
第四章 出版物的印刷或者复制和发行
第三十二条 从事出版物印刷或者复制业务的单位，应当向所在地省、自治区、直辖市人民政府出版行政部门提出申请，经审核许可，并依照国家有关规定到公安机关和工商行政管理部门办理相关手续后，方可从事出版物的印刷或者复制。
未经许可并办理相关手续的，不得印刷报纸、期刊、图书，不得复制音像制品、电子出版物。
第三十三条 出版单位不得委托未取得出版物印刷或者复制许可的单位印刷或者复制出版物。
出版单位委托印刷或者复制单位印刷或者复制出版物的，必须提供符合国家规定的印刷或者复制出版物的有关证明，并依法与印刷或者复制单位签订合同。
印刷或者复制单位不得接受非出版单位和个人的委托印刷报纸、期刊、图书或者复制音像制品、电子出版物，不得擅自印刷、发行报纸、期刊、图书或者复制、发行音像制品、电子出版物。
第三十四条 印刷或者复制单位经所在地省、自治区、直辖市人民政府出版行政部门批准，可以承接境外出版物的印刷或者复制业务；但是，印刷或者复制的境外出版物必须全部运输出境，不得在境内发行。
境外委托印刷或者复制的出版物的内容，应当经省、自治区、直辖市人民政府出版行政部门审核。委托人应当持有著作权人授权书，并向著作权行政管理部门登记。
第三十五条 印刷或者复制单位应当自完成出版物的印刷或者复制之日起2年内，留存一份承接的出版物样本备查。
第三十六条 从事报纸、期刊、图书的全国性连锁经营业务的单位，应当由其总机构所在地省、自治区、直辖市人民政府出版行政部门审核许可后，报国务院出版行政部门审查批准，并向工商行政管理部门依法领取营业执照。
从事报纸、期刊、图书总发行业务的发行单位，经国务院出版行政部门审核许可，并向工商行政管理部门依法领取营业执照后，方可从事报纸、期刊、图书总发行业务。
从事报纸、期刊、图书批发业务的发行单位，经省、自治区、直辖市人民政府出版行政部门审核许可，并向工商行政管理部门依法领取营业执照后，方可从事报纸、期刊、图书的批发业务。
邮政企业发行报纸、期刊，依照邮政法的规定办理。
第三十七条 从事报纸、期刊、图书零售业务的单位和个人，经县级人民政府出版行政部门批准，并向工商行政管理部门依法领取营业执照后，方可从事出版物的零售业务。
第三十八条 出版单位可以发行本出版单位出版的出版物，不得发行其他出版单位出版的出版物。
第三十九条 国家允许设立从事图书、报纸、期刊分销业务的中外合资经营企业、中外合作经营企业、外资企业。具体实施办法和步骤由国务院出版行政部门会同国务院对外经济贸易主管部门按照有关规定规定。
第四十条 印刷或者复制单位、发行单位不得印刷或者复制、发行有下列情形之一的出版物：
(一)含有本条例第二十六条、第二十七条禁止内容的；
(二)非法进口的；
(三)伪造、假冒出版单位名称或者报纸、期刊名称的；
(四)未署出版单位名称的；
(五)中学小学教科书未经依法审定的；
(六)侵犯他人著作权的。
第五章 出版物的进口
第四十一条 出版物进口业务，由依照本条例设立的出版物进口经营单位经营；其中经营报纸、期刊进口业务的，须由国务院出版行政部门指定。
未经批准，任何单位和个人不得从事出版物进口业务；未经指定，任何单位和个人不得从事报纸、期刊进口业务。
第四十二条 设立出版物进口经营单位，应当具备下列条件：
(一)有出版物进口经营单位的名称、章程；
(二)是国有独资企业并有符合国务院出版行政部门认定的主办单位及其主管机关；
(三)有确定的业务范围；
(四)有与出版物进口业务相适应的组织机构和符合国家规定的资格条件的专业人员；
(五)有与出版物进口业务相适应的资金；
(六)有固定的经营场所；
(七)法律、行政法规和国家规定的其他条件。
审批设立出版物进口经营单位，除依照前款所列条件外，还应当符合国家关于出版物进口经营单位总量、结构、布局的规划。
第四十三条 设立出版物进口经营单位，应当向国务院出版行政部门提出申请，经审查批准，取得国务院出版行政部门核发的出版物进口经营许可证后，持证到工商行政管理部门依法领取营业执照。
设立出版物进口经营单位，还应当依照对外贸易法律、行政法规的规定办理相应手续。
第四十四条 出版物进口经营单位进口的出版物，不得含有本条例第二十六条、第二十七条禁止的内容。
出版物进口经营单位负责对其进口的出版物进行内容审查。省级以上人民政府出版行政部门可以对出版物进口经营单位进口的出版物直接进行内容审查。出版物进口经营单位无法判断其进口的出版物是否含有本条例第二十六条、第二十七条禁止内容的，可以请求省级以上人民政府出版行政部门进行内容审查。省级以上人民政府出版行政部门应出版物进口经营单位的请求，对其进口的出版物进行内容审查的，可以按照国务院价格主管部门批准的标准收取费用。
国务院出版行政部门可以禁止特定出版物的进口。
第四十五条 出版物进口经营单位应当在进口出版物前将拟进口的出版物目录报省级以上人民政府出版行政部门备案；省级以上人民政府出版行政部门发现有禁止进口的或者暂缓进口的出版物的，应当及时通知出版物进口经营单位并通报海关。对通报禁止进口或者暂缓进口的出版物，出版物进口经营单位不得进口，海关不得放行。
出版物进口备案的具体办法由国务院出版行政部门制定。
第四十六条 发行进口出版物的，必须从依法设立的出版物进口经营单位进货；其中发行进口报纸、期刊的，必须从国务院出版行政部门指定的出版物进口经营单位进货。
第四十七条 出版物进口经营单位在境内举办境外出版物展览，必须报经国务院出版行政部门批准。未经批准，任何单位和个人不得举办境外出版物展览。
依照前款规定展览的境外出版物需要销售的，应当按照国家有关规定办理相关手续。
第六章 保障与奖励
第四十八条 国家制定有关政策，保障、促进出版事业的发展与繁荣。
第四十九条 国家支持、鼓励下列优秀的、重点的出版物的出版：
(一)对阐述、传播宪法确定的基本原则有重大作用的；
(二)对在人民中进行爱国主义、集体主义、社会主义教育和弘扬社会公德、职业道德、家庭美德有重要意义的；
(三)对弘扬民族优秀文化和及时反映国内外新的科学文化成果有重大贡献的；
(四)具有重要思想价值、科学价值或者文化艺术价值的。
第五十条 国家对教科书的出版发行，予以保障。
国家扶持少数民族语言文字出版物和盲文出版物的出版发行。
国家对在少数民族地区、边疆地区、经济不发达地区和在农村发行出版物，实行优惠政策。
第五十一条 报纸、期刊交由邮政企业发行的，邮政企业应当保证按照合同约定及时、准确发行。
承运出版物的运输企业，应当对出版物的运输提供方便。
第五十二条 国家对为发展、繁荣出版事业作出重要贡献的单位和个人，给予奖励。
第五十三条 对非法干扰、阻止和破坏出版物出版、印刷或者复制、进口、发行的行为，县级以上各级人民政府出版行政部门及其他有关部门，应当及时采取措施，予以制止。
第七章 法律责任
第五十四条 出版行政部门或者其他有关部门的工作人员，利用职务上的便利收受他人财物或者其他好处，批准不符合法定设立条件的出版、印刷或者复制、进口、发行单位，或者不履行监督职责，或者发现违法行为不予查处，造成严重后果的，依照刑法关于受贿罪、滥用职权罪、玩忽职守罪或者其他罪的规定，依法追究刑事责任；尚不够刑事处罚的，给予降级或者撤职的行政处分。
第五十五条 未经批准，擅自设立出版物的出版、印刷或者复制、进口、发行单位，或者擅自从事出版物的出版、印刷或者复制、进口、发行业务，假冒出版单位名称或者伪造、假冒报纸、期刊名称出版出版物的，由出版行政部门、工商行政管理部门依照法定职权予以取缔；依照刑法关于非法经营罪的规定，依法追究刑事责任；尚不够刑事处罚的，没收出版物、违法所得和从事违法活动的专用工具、设备，违法经营额1万元以上的，并处违法经营额5倍以上10倍以下的罚款，违法经营额不足1万元的，并处1万元以上5万元以下的罚款；侵犯他人合法权益的，依法承担民事责任。
第五十六条 有下列行为之一，触犯刑律的，依照刑法有关规定，依法追究刑事责任；尚不够刑事处罚的，由出版行政部门责令限期停业整顿，没收出版物、违法所得，违法经营额1万元以上的，并处违法经营额5倍以上10倍以下的罚款；违法经营额不足1万元的，并处1万元以上5万元以下的罚款；情节严重的，由原发证机关吊销许可证：
(一)出版、进口含有本条例第二十六条、第二十七条禁止内容的出版物的；
(二)明知或者应知出版物含有本条例第二十六条、第二十七条禁止内容而印刷或者复制、发行的；
(三)明知或者应知他人出版含有本条例第二十六条、第二十七条禁止内容的出版物而向其出售或者以其他形式转让本出版单位的名称、书号、刊号、版号、版面，或者出租本单位的名称、刊号的。
第五十七条 有下列行为之一的，由出版行政部门责令停止违法行为，没收出版物、违法所得，违法经营额1万元以上的，并处违法经营额5倍以上10倍以下的罚款；违法经营额不足1万元的，并处1万元以上5万元以下的罚款；情节严重的，责令限期停业整顿或者由原发证机关吊销许可证：
(一)进口、印刷或者复制、发行国务院出版行政部门禁止进口的出版物的；
(二)印刷或者复制走私的境外出版物的；
(三)发行进口出版物未从本条例规定的出版物进口经营单位进货的。
第五十八条 走私出版物的，依照刑法关于走私罪的规定，依法追究刑事责任；尚不够刑事处罚的，由海关依照海关法的规定给予行政处罚。
第五十九条 有下列行为之一的，由出版行政部门没收出版物、违法所得，违法经营额1万元以上的，并处违法经营额5倍以上10倍以下的罚款；违法经营额不足1万元的，并处1万元以上5万元以下的罚款；情节严重的，责令限期停业整顿或者由原发证机关吊销许可证：
(一)印刷或者复制单位未取得印刷或者复制许可而印刷或者复制出版物的；
(二)印刷或者复制单位接受非出版单位和个人的委托印刷或者复制出版物的；
(三)印刷或者复制单位未履行法定手续印刷或者复制境外出版物的，印刷或者复制的境外出版物没有全部运输出境的；
(四)印刷或者复制单位、发行单位或者个人发行未署出版单位名称的出版物的；
(五)出版、印刷、发行单位出版、印刷、发行未经依法审定的中学小学教科书，或者非依照本条例规定确定的单位从事中学小学教科书的出版、印刷、发行业务的。
第六十条 出版单位出售或者以其他形式转让本出版单位的名称、书号、刊号、版号、版面，或者出租本单位的名称、刊号的，由出版行政部门责令停止违法行为，给予警告，没收违法经营的出版物、违法所得，违法经营额1万元以上的，并处违法经营额5倍以上10倍以下的罚款；违法经营额不足1万元的，并处1万元以上5万元以下的罚款；情节严重的，责令限期停业整顿或者由原发证机关吊销许可证。
第六十一条 有下列行为之一的，由出版行政部门责令改正，给予警告；情节严重的，责令限期停业整顿或者由原发证机关吊销许可证：
(一)出版单位变更名称、主办单位或者其主管机关、业务范围，合并或者分立，出版新的报纸、期刊，或者报纸、期刊改变名称、刊期，以及出版单位变更其他事项，未依照本条例的规定到出版行政部门办理审批、变更登记手续的；
(二)出版单位未将其年度出版计划和涉及国家安全、社会安定等方面的重大选题备案的；
(三)出版单位未依照本条例的规定送交出版物的样本的；
(四)印刷或者复制单位未依照本条例的规定留存备查的材料的；
(五)出版物进口经营单位未依照本条例的规定将其进口的出版物目录备案的。
第六十二条 未经批准，举办境外出版物展览的，由出版行政部门责令停止违法行为，没收出版物、违法所得；情节严重的，责令限期停业整顿或者由原发证机关吊销许可证。
第六十三条 印刷或者复制、批发、零售、出租、散发含有本条例第二十六条、第二十七条禁止内容的出版物或者其他非法出版物的，当事人对非法出版物的来源作出说明、指认，经查证属实的，没收出版物、违法所得，可以减轻或者免除其他行政处罚。
第六十四条 单位违反本条例，被处以吊销许可证行政处罚的，应当按照国家有关规定到工商行政管理部门办理变更登记或者注销登记；逾期未办理的，由工商行政管理部门吊销营业执照。
第六十五条 单位违反本条例被处以吊销许可证行政处罚的，其法定代表人或者主要负责人自许可证被吊销之日起10年内不得担任出版、印刷或者复制、进口、发行单位的法定代表人或者主要负责人。
第六十六条 依照本条例的规定实施罚款的行政处罚，应当依照有关法律、行政法规的规定，实行罚款决定与罚款收缴分离；收缴的罚款必须全部上缴国库。
第八章 附 则
第六十七条 行政法规对音像制品的出版、复制、进口、发行另有规定的，适用其规定。
接受境外机构或者个人赠送出版物的管理办法、订户订购境外出版物的管理办法、互联网出版管理办法和电子出版物出版的管理办法，由国务院出版行政部门根据本条例的原则另行制定。
第六十八条 本条例自2002年2月1日起施行。1997年1月2日国务院发布的《出版管理条例》同时废止。
出版管理条例（第五次修订)
(2001年12月25日中华人民共和国国务院令第343号公布 根据2011年3月19日《国务院关于修改〈出版管理条例〉的决定》第一次修订 根据2013年7月18日《国务院关于废止和修改部分行政法规的决定》第二次修订 根据2014年7月29日《国务院关于修改部分行政法规的决定》第三次修订 根据2016年2月6日《国务院关于修改部分行政法规的决定》第四次修订 根据2020年11月29日《国务院关于修改和废止部分行政法规的决定》第五次修订)
第一章 总则
第一条 为了加强对出版活动的管理，发展和繁荣有中国特色社会主义出版产业和出版事业，保障公民依法行使出版自由的权利，促进社会主义精神文明和物质文明建设，根据宪法，制定本条例。
第二条 在中华人民共和国境内从事出版活动，适用本条例。
本条例所称出版活动，包括出版物的出版、印刷或者复制、进口、发行。
本条例所称出版物，是指报纸、期刊、图书、音像制品、电子出版物等。
第三条 出版活动必须坚持为人民服务、为社会主义服务的方向，坚持以马克思列宁主义、毛泽东思想、邓小平理论和“三个代表”重要思想为指导，贯彻落实科学发展观，传播和积累有益于提高民族素质、有益于经济发展和社会进步的科学技术和文化知识，弘扬民族优秀文化，促进国际文化交流，丰富和提高人民的精神生活。
第四条 从事出版活动，应当将社会效益放在首位，实现社会效益与经济效益相结合。
第五条 公民依法行使出版自由的权利，各级人民政府应当予以保障。
公民在行使出版自由的权利的时候，必须遵守宪法和法律，不得反对宪法确定的基本原则，不得损害国家的、社会的、集体的利益和其他公民的合法的自由和权利。
第六条 国务院出版行政主管部门负责全国的出版活动的监督管理工作。国务院其他有关部门按照国务院规定的职责分工，负责有关的出版活动的监督管理工作。
县级以上地方各级人民政府负责出版管理的部门(以下简称出版行政主管部门)负责本行政区域内出版活动的监督管理工作。县级以上地方各级人民政府其他有关部门在各自的职责范围内，负责有关的出版活动的监督管理工作。
第七条 出版行政主管部门根据已经取得的违法嫌疑证据或者举报，对涉嫌违法从事出版物出版、印刷或者复制、进口、发行等活动的行为进行查处时，可以检查与涉嫌违法活动有关的物品和经营场所；对有证据证明是与违法活动有关的物品，可以查封或者扣押。
第八条 出版行业的社会团体按照其章程，在出版行政主管部门的指导下，实行自律管理。
第二章 出版单位的设立与管理
第九条 报纸、期刊、图书、音像制品和电子出版物等应当由出版单位出版。
本条例所称出版单位，包括报社、期刊社、图书出版社、音像出版社和电子出版物出版社等。
法人出版报纸、期刊，不设立报社、期刊社的，其设立的报纸编辑部、期刊编辑部视为出版单位。
第十条 国务院出版行政主管部门制定全国出版单位总量、结构、布局的规划，指导、协调出版产业和出版事业发展。
第十一条 设立出版单位，应当具备下列条件：
(一)有出版单位的名称、章程；
(二)有符合国务院出版行政主管部门认定的主办单位及其主管机关；
(三)有确定的业务范围；
(四)有30万元以上的注册资本和固定的工作场所；
(五)有适应业务范围需要的组织机构和符合国家规定的资格条件的编辑出版专业人员；
(六)法律、行政法规规定的其他条件。
审批设立出版单位，除依照前款所列条件外，还应当符合国家关于出版单位总量、结构、布局的规划。
第十二条 设立出版单位，由其主办单位向所在地省、自治区、直辖市人民政府出版行政主管部门提出申请；省、自治区、直辖市人民政府出版行政主管部门审核同意后，报国务院出版行政主管部门审批。设立的出版单位为事业单位的，还应当办理机构编制审批手续。
第十三条 设立出版单位的申请书应当载明下列事项：
(一)出版单位的名称、地址；
(二)出版单位的主办单位及其主管机关的名称、地址；
(三)出版单位的法定代表人或者主要负责人的姓名、住址、资格证明文件；
(四)出版单位的资金来源及数额。
设立报社、期刊社或者报纸编辑部、期刊编辑部的，申请书还应当载明报纸或者期刊的名称、刊期、开版或者开本、印刷场所。
申请书应当附具出版单位的章程和设立出版单位的主办单位及其主管机关的有关证明材料。
第十四条 国务院出版行政主管部门应当自受理设立出版单位的申请之日起60日内，作出批准或者不批准的决定，并由省、自治区、直辖市人民政府出版行政主管部门书面通知主办单位；不批准的，应当说明理由。
第十五条 设立出版单位的主办单位应当自收到批准决定之日起60日内，向所在地省、自治区、直辖市人民政府出版行政主管部门登记，领取出版许可证。登记事项由国务院出版行政主管部门规定。
出版单位领取出版许可证后，属于事业单位法人的，持出版许可证向事业单位登记管理机关登记，依法领取事业单位法人证书；属于企业法人的，持出版许可证向工商行政管理部门登记，依法领取营业执照。
第十六条 报社、期刊社、图书出版社、音像出版社和电子出版物出版社等应当具备法人条件，经核准登记后，取得法人资格，以其全部法人财产独立承担民事责任。
依照本条例第九条第三款的规定，视为出版单位的报纸编辑部、期刊编辑部不具有法人资格，其民事责任由其主办单位承担。
第十七条 出版单位变更名称、主办单位或者其主管机关、业务范围、资本结构，合并或者分立，设立分支机构，出版新的报纸、期刊，或者报纸、期刊变更名称的，应当依照本条例第十二条、第十三条的规定办理审批手续。出版单位属于事业单位法人的，还应当持批准文件到事业单位登记管理机关办理相应的登记手续；属于企业法人的，还应当持批准文件到工商行政管理部门办理相应的登记手续。
出版单位除前款所列变更事项外的其他事项的变更，应当经主办单位及其主管机关审查同意，向所在地省、自治区、直辖市人民政府出版行政主管部门申请变更登记，并报国务院出版行政主管部门备案。出版单位属于事业单位法人的，还应当持批准文件到事业单位登记管理机关办理变更登记；属于企业法人的，还应当持批准文件到工商行政管理部门办理变更登记。
第十八条 出版单位中止出版活动的，应当向所在地省、自治区、直辖市人民政府出版行政主管部门备案并说明理由和期限；出版单位中止出版活动不得超过180日。
出版单位终止出版活动的，由主办单位提出申请并经主管机关同意后，由主办单位向所在地省、自治区、直辖市人民政府出版行政主管部门办理注销登记，并报国务院出版行政主管部门备案。出版单位属于事业单位法人的，还应当持批准文件到事业单位登记管理机关办理注销登记；属于企业法人的，还应当持批准文件到工商行政管理部门办理注销登记。
第十九条 图书出版社、音像出版社和电子出版物出版社自登记之日起满180日未从事出版活动的，报社、期刊社自登记之日起满90日未出版报纸、期刊的，由原登记的出版行政主管部门注销登记，并报国务院出版行政主管部门备案。
因不可抗力或者其他正当理由发生前款所列情形的，出版单位可以向原登记的出版行政主管部门申请延期。
第二十条 图书出版社、音像出版社和电子出版物出版社的年度出版计划及涉及国家安全、社会安定等方面的重大选题，应当经所在地省、自治区、直辖市人民政府出版行政主管部门审核后报国务院出版行政主管部门备案；涉及重大选题，未在出版前报备案的出版物，不得出版。具体办法由国务院出版行政主管部门制定。
期刊社的重大选题，应当依照前款规定办理备案手续。
第二十一条 出版单位不得向任何单位或者个人出售或者以其他形式转让本单位的名称、书号、刊号或者版号、版面，并不得出租本单位的名称、刊号。
出版单位及其从业人员不得利用出版活动谋取其他不正当利益。
第二十二条 出版单位应当按照国家有关规定向国家图书馆、中国版本图书馆和国务院出版行政主管部门免费送交样本。
第三章 出版物的出版
第二十三条 公民可以依照本条例规定，在出版物上自由表达自己对国家事务、经济和文化事业、社会事务的见解和意愿，自由发表自己从事科学研究、文学艺术创作和其他文化活动的成果。
合法出版物受法律保护，任何组织和个人不得非法干扰、阻止、破坏出版物的出版。
第二十四条 出版单位实行编辑责任制度，保障出版物刊载的内容符合本条例的规定。
第二十五条 任何出版物不得含有下列内容：
(一)反对宪法确定的基本原则的；
(二)危害国家统一、主权和领土完整的；
(三)泄露国家秘密、危害国家安全或者损害国家荣誉和利益的；
(四)煽动民族仇恨、民族歧视，破坏民族团结，或者侵害民族风俗、习惯的；
(五)宣扬邪教、迷信的；
(六)扰乱社会秩序，破坏社会稳定的；
(七)宣扬淫秽、赌博、暴力或者教唆犯罪的；
(八)侮辱或者诽谤他人，侵害他人合法权益的；
(九)危害社会公德或者民族优秀文化传统的；
(十)有法律、行政法规和国家规定禁止的其他内容的。
第二十六条 以未成年人为对象的出版物不得含有诱发未成年人模仿违反社会公德的行为和违法犯罪的行为的内容，不得含有恐怖、残酷等妨害未成年人身心健康的内容。
第二十七条 出版物的内容不真实或者不公正，致使公民、法人或者其他组织的合法权益受到侵害的，其出版单位应当公开更正，消除影响，并依法承担其他民事责任。
报纸、期刊发表的作品内容不真实或者不公正，致使公民、法人或者其他组织的合法权益受到侵害的，当事人有权要求有关出版单位更正或者答辩，有关出版单位应当在其近期出版的报纸、期刊上予以发表；拒绝发表的，当事人可以向人民法院提起诉讼。
第二十八条 出版物必须按照国家的有关规定载明作者、出版者、印刷者或者复制者、发行者的名称、地址，书号、刊号或者版号，在版编目数据，出版日期、刊期以及其他有关事项。
出版物的规格、开本、版式、装帧、校对等必须符合国家标准和规范要求，保证出版物的质量。
出版物使用语言文字必须符合国家法律规定和有关标准、规范。
第二十九条 任何单位和个人不得伪造、假冒出版单位名称或者报纸、期刊名称出版出版物。
第三十条 中学小学教科书由国务院教育行政主管部门审定；其出版、发行单位应当具有适应教科书出版、发行业务需要的资金、组织机构和人员等条件，并取得国务院出版行政主管部门批准的教科书出版、发行资质。纳入政府采购范围的中学小学教科书，其发行单位按照《中华人民共和国政府采购法》的有关规定确定。其他任何单位或者个人不得从事中学小学教科书的出版、发行业务。
第四章 出版物的印刷或者复制和发行
第三十一条 从事出版物印刷或者复制业务的单位，应当向所在地省、自治区、直辖市人民政府出版行政主管部门提出申请，经审核许可，并依照国家有关规定到工商行政管理部门办理相关手续后，方可从事出版物的印刷或者复制。
未经许可并办理相关手续的，不得印刷报纸、期刊、图书，不得复制音像制品、电子出版物。
第三十二条 出版单位不得委托未取得出版物印刷或者复制许可的单位印刷或者复制出版物。
出版单位委托印刷或者复制单位印刷或者复制出版物的，必须提供符合国家规定的印刷或者复制出版物的有关证明，并依法与印刷或者复制单位签订合同。
印刷或者复制单位不得接受非出版单位和个人的委托印刷报纸、期刊、图书或者复制音像制品、电子出版物，不得擅自印刷、发行报纸、期刊、图书或者复制、发行音像制品、电子出版物。
第三十三条 印刷或者复制单位经所在地省、自治区、直辖市人民政府出版行政主管部门批准，可以承接境外出版物的印刷或者复制业务；但是，印刷或者复制的境外出版物必须全部运输出境，不得在境内发行。
境外委托印刷或者复制的出版物的内容，应当经省、自治区、直辖市人民政府出版行政主管部门审核。委托人应当持有著作权人授权书，并向著作权行政管理部门登记。
第三十四条 印刷或者复制单位应当自完成出版物的印刷或者复制之日起2年内，留存一份承接的出版物样本备查。
第三十五条 单位从事出版物批发业务的，须经省、自治区、直辖市人民政府出版行政主管部门审核许可，取得《出版物经营许可证》。
单位和个体工商户从事出版物零售业务的，须经县级人民政府出版行政主管部门审核许可，取得《出版物经营许可证》。
第三十六条 通过互联网等信息网络从事出版物发行业务的单位或者个体工商户，应当依照本条例规定取得《出版物经营许可证》。
提供网络交易平台服务的经营者应当对申请通过网络交易平台从事出版物发行业务的单位或者个体工商户的经营主体身份进行审查，验证其《出版物经营许可证》。
第三十七条 从事出版物发行业务的单位和个体工商户变更《出版物经营许可证》登记事项，或者兼并、合并、分立的，应当依照本条例第三十五条的规定办理审批手续。
从事出版物发行业务的单位和个体工商户终止经营活动的，应当向原批准的出版行政主管部门备案。
第三十八条 出版单位可以发行本出版单位出版的出版物，不得发行其他出版单位出版的出版物。
第三十九条 国家允许设立从事图书、报纸、期刊、电子出版物发行业务的外商投资企业。
第四十条 印刷或者复制单位、发行单位或者个体工商户不得印刷或者复制、发行有下列情形之一的出版物：
(一)含有本条例第二十五条、第二十六条禁止内容的；
(二)非法进口的；
(三)伪造、假冒出版单位名称或者报纸、期刊名称的；
(四)未署出版单位名称的；
(五)中学小学教科书未经依法审定的；
(六)侵犯他人著作权的。
第五章 出版物的进口
第四十一条 出版物进口业务，由依照本条例设立的出版物进口经营单位经营；其他单位和个人不得从事出版物进口业务。
第四十二条 设立出版物进口经营单位，应当具备下列条件：
(一)有出版物进口经营单位的名称、章程；
(二)有符合国务院出版行政主管部门认定的主办单位及其主管机关；
(三)有确定的业务范围；
(四)具有进口出版物内容审查能力；
(五)有与出版物进口业务相适应的资金；
(六)有固定的经营场所；
(七)法律、行政法规和国家规定的其他条件。
第四十三条 设立出版物进口经营单位，应当向国务院出版行政主管部门提出申请，经审查批准，取得国务院出版行政主管部门核发的出版物进口经营许可证后，持证到工商行政管理部门依法领取营业执照。
设立出版物进口经营单位，还应当依照对外贸易法律、行政法规的规定办理相应手续。
第四十四条 出版物进口经营单位变更名称、业务范围、资本结构、主办单位或者其主管机关，合并或者分立，设立分支机构，应当依照本条例第四十二条、第四十三条的规定办理审批手续，并持批准文件到工商行政管理部门办理相应的登记手续。
第四十五条 出版物进口经营单位进口的出版物，不得含有本条例第二十五条、第二十六条禁止的内容。
出版物进口经营单位负责对其进口的出版物进行内容审查。省级以上人民政府出版行政主管部门可以对出版物进口经营单位进口的出版物直接进行内容审查。出版物进口经营单位无法判断其进口的出版物是否含有本条例第二十五条、第二十六条禁止内容的，可以请求省级以上人民政府出版行政主管部门进行内容审查。省级以上人民政府出版行政主管部门应出版物进口经营单位的请求，对其进口的出版物进行内容审查的，可以按照国务院价格主管部门批准的标准收取费用。
国务院出版行政主管部门可以禁止特定出版物的进口。
第四十六条 出版物进口经营单位应当在进口出版物前将拟进口的出版物目录报省级以上人民政府出版行政主管部门备案；省级以上人民政府出版行政主管部门发现有禁止进口的或者暂缓进口的出版物的，应当及时通知出版物进口经营单位并通报海关。对通报禁止进口或者暂缓进口的出版物，出版物进口经营单位不得进口，海关不得放行。
出版物进口备案的具体办法由国务院出版行政主管部门制定。
第四十七条 发行进口出版物的，必须从依法设立的出版物进口经营单位进货。
第四十八条 出版物进口经营单位在境内举办境外出版物展览，必须报经国务院出版行政主管部门批准。未经批准，任何单位和个人不得举办境外出版物展览。
依照前款规定展览的境外出版物需要销售的，应当按照国家有关规定办理相关手续。
第六章 监督与管理
第四十九条 出版行政主管部门应当加强对本行政区域内出版单位出版活动的日常监督管理；出版单位的主办单位及其主管机关对所属出版单位出版活动负有直接管理责任，并应当配合出版行政主管部门督促所属出版单位执行各项管理规定。
出版单位和出版物进口经营单位应当按照国务院出版行政主管部门的规定，将从事出版活动和出版物进口活动的情况向出版行政主管部门提出书面报告。
第五十条 出版行政主管部门履行下列职责：
(一)对出版物的出版、印刷、复制、发行、进口单位进行行业监管，实施准入和退出管理；
(二)对出版活动进行监管，对违反本条例的行为进行查处；
(三)对出版物内容和质量进行监管；
(四)根据国家有关规定对出版从业人员进行管理。
第五十一条 出版行政主管部门根据有关规定和标准，对出版物的内容、编校、印刷或者复制、装帧设计等方面质量实施监督检查。
第五十二条 国务院出版行政主管部门制定出版单位综合评估办法，对出版单位分类实施综合评估。
出版物的出版、印刷或者复制、发行和进口经营单位不再具备行政许可的法定条件的，由出版行政主管部门责令限期改正；逾期仍未改正的，由原发证机关撤销行政许可。
第五十三条 国家对在出版单位从事出版专业技术工作的人员实行职业资格制度；出版专业技术人员通过国家专业技术人员资格考试取得专业技术资格。具体办法由国务院人力资源社会保障主管部门、国务院出版行政主管部门共同制定。
第七章 保障与奖励
第五十四条 国家制定有关政策，保障、促进出版产业和出版事业的发展与繁荣。
第五十五条 国家支持、鼓励下列优秀的、重点的出版物的出版：
(一)对阐述、传播宪法确定的基本原则有重大作用的；
(二)对弘扬社会主义核心价值体系，在人民中进行爱国主义、集体主义、社会主义和民族团结教育以及弘扬社会公德、职业道德、家庭美德有重要意义的；
(三)对弘扬民族优秀文化，促进国际文化交流有重大作用的；
(四)对推进文化创新，及时反映国内外新的科学文化成果有重大贡献的；
(五)对服务农业、农村和农民，促进公共文化服务有重大作用的；
(六)其他具有重要思想价值、科学价值或者文化艺术价值的。
第五十六条 国家对教科书的出版发行，予以保障。
国家扶持少数民族语言文字出版物和盲文出版物的出版发行。
国家对在少数民族地区、边疆地区、经济不发达地区和在农村发行出版物，实行优惠政策。
第五十七条 报纸、期刊交由邮政企业发行的，邮政企业应当保证按照合同约定及时、准确发行。
承运出版物的运输企业，应当对出版物的运输提供方便。
第五十八条 对为发展、繁荣出版产业和出版事业作出重要贡献的单位和个人，按照国家有关规定给予奖励。
第五十九条 对非法干扰、阻止和破坏出版物出版、印刷或者复制、进口、发行的行为，县级以上各级人民政府出版行政主管部门及其他有关部门，应当及时采取措施，予以制止。
第八章 法律责任
第六十条 出版行政主管部门或者其他有关部门的工作人员，利用职务上的便利收受他人财物或者其他好处，批准不符合法定条件的申请人取得许可证、批准文件，或者不履行监督职责，或者发现违法行为不予查处，造成严重后果的，依法给予降级直至开除的处分；构成犯罪的，依照刑法关于受贿罪、滥用职权罪、玩忽职守罪或者其他罪的规定，依法追究刑事责任。
第六十一条 未经批准，擅自设立出版物的出版、印刷或者复制、进口单位，或者擅自从事出版物的出版、印刷或者复制、进口、发行业务，假冒出版单位名称或者伪造、假冒报纸、期刊名称出版出版物的，由出版行政主管部门、工商行政管理部门依照法定职权予以取缔；依照刑法关于非法经营罪的规定，依法追究刑事责任；尚不够刑事处罚的，没收出版物、违法所得和从事违法活动的专用工具、设备，违法经营额1万元以上的，并处违法经营额5倍以上10倍以下的罚款，违法经营额不足1万元的，可以处5万元以下的罚款；侵犯他人合法权益的，依法承担民事责任。
第六十二条 有下列行为之一，触犯刑律的，依照刑法有关规定，依法追究刑事责任；尚不够刑事处罚的，由出版行政主管部门责令限期停业整顿，没收出版物、违法所得，违法经营额1万元以上的，并处违法经营额5倍以上10倍以下的罚款；违法经营额不足1万元的，可以处5万元以下的罚款；情节严重的，由原发证机关吊销许可证：
(一)出版、进口含有本条例第二十五条、第二十六条禁止内容的出版物的；
(二)明知或者应知出版物含有本条例第二十五条、第二十六条禁止内容而印刷或者复制、发行的；
(三)明知或者应知他人出版含有本条例第二十五条、第二十六条禁止内容的出版物而向其出售或者以其他形式转让本出版单位的名称、书号、刊号、版号、版面，或者出租本单位的名称、刊号的。
第六十三条 有下列行为之一的，由出版行政主管部门责令停止违法行为，没收出版物、违法所得，违法经营额1万元以上的，并处违法经营额5倍以上10倍以下的罚款；违法经营额不足1万元的，可以处5万元以下的罚款；情节严重的，责令限期停业整顿或者由原发证机关吊销许可证：
(一)进口、印刷或者复制、发行国务院出版行政主管部门禁止进口的出版物的；
(二)印刷或者复制走私的境外出版物的；
(三)发行进口出版物未从本条例规定的出版物进口经营单位进货的。
第六十四条 走私出版物的，依照刑法关于走私罪的规定，依法追究刑事责任；尚不够刑事处罚的，由海关依照海关法的规定给予行政处罚。
第六十五条 有下列行为之一的，由出版行政主管部门没收出版物、违法所得，违法经营额1万元以上的，并处违法经营额5倍以上10倍以下的罚款；违法经营额不足1万元的，可以处5万元以下的罚款；情节严重的，责令限期停业整顿或者由原发证机关吊销许可证：
(一)出版单位委托未取得出版物印刷或者复制许可的单位印刷或者复制出版物的；
(二)印刷或者复制单位未取得印刷或者复制许可而印刷或者复制出版物的；
(三)印刷或者复制单位接受非出版单位和个人的委托印刷或者复制出版物的；
(四)印刷或者复制单位未履行法定手续印刷或者复制境外出版物的，印刷或者复制的境外出版物没有全部运输出境的；
(五)印刷或者复制单位、发行单位或者个体工商户印刷或者复制、发行未署出版单位名称的出版物的；
(六)印刷或者复制单位、发行单位或者个体工商户印刷或者复制、发行伪造、假冒出版单位名称或者报纸、期刊名称的出版物的；
(七)出版、印刷、发行单位出版、印刷、发行未经依法审定的中学小学教科书，或者非依照本条例规定确定的单位从事中学小学教科书的出版、发行业务的。
第六十六条 出版单位有下列行为之一的，由出版行政主管部门责令停止违法行为，给予警告，没收违法经营的出版物、违法所得，违法经营额1万元以上的，并处违法经营额5倍以上10倍以下的罚款；违法经营额不足1万元的，可以处5万元以下的罚款；情节严重的，责令限期停业整顿或者由原发证机关吊销许可证：
(一)出售或者以其他形式转让本出版单位的名称、书号、刊号、版号、版面，或者出租本单位的名称、刊号的；
(二)利用出版活动谋取其他不正当利益的。
第六十七条 有下列行为之一的，由出版行政主管部门责令改正，给予警告；情节严重的，责令限期停业整顿或者由原发证机关吊销许可证：
(一)出版单位变更名称、主办单位或者其主管机关、业务范围，合并或者分立，出版新的报纸、期刊，或者报纸、期刊改变名称，以及出版单位变更其他事项，未依照本条例的规定到出版行政主管部门办理审批、变更登记手续的；
(二)出版单位未将其年度出版计划和涉及国家安全、社会安定等方面的重大选题备案的；
(三)出版单位未依照本条例的规定送交出版物的样本的；
(四)印刷或者复制单位未依照本条例的规定留存备查的材料的；
(五)出版进口经营单位未将其进口的出版物目录报送备案的；
(六)出版单位擅自中止出版活动超过180日的；
(七)出版物发行单位、出版物进口经营单位未依照本条例的规定办理变更审批手续的；
(八)出版物质量不符合有关规定和标准的。
第六十八条 未经批准，举办境外出版物展览的，由出版行政主管部门责令停止违法行为，没收出版物、违法所得；情节严重的，责令限期停业整顿或者由原发证机关吊销许可证。
第六十九条 印刷或者复制、批发、零售、出租、散发含有本条例第二十五条、第二十六条禁止内容的出版物或者其他非法出版物的，当事人对非法出版物的来源作出说明、指认，经查证属实的，没收出版物、违法所得，可以减轻或者免除其他行政处罚。
第七十条 单位违反本条例被处以吊销许可证行政处罚的，其法定代表人或者主要负责人自许可证被吊销之日起10年内不得担任出版、印刷或者复制、进口、发行单位的法定代表人或者主要负责人。
出版从业人员违反本条例规定，情节严重的，由原发证机关吊销其资格证书。
第七十一条 依照本条例的规定实施罚款的行政处罚，应当依照有关法律、行政法规的规定，实行罚款决定与罚款收缴分离；收缴的罚款必须全部上缴国库。
第九章 附则
第七十二条 行政法规对音像制品和电子出版物的出版、复制、进口、发行另有规定的，适用其规定。
接受境外机构或者个人赠送出版物的管理办法、订户订购境外出版物的管理办法、网络出版审批和管理办法，由国务院出版行政主管部门根据本条例的原则另行制定。
第七十三条 本条例自2002年2月1日起施行。1997年1月2日国务院发布的《出版管理条例》同时废止。
出版管理条例
（2001年12月25日中华人民共和国国务院令第343号公布 根据2011年3月19日《国务院关于修改〈出版管理条例〉的决定》第一次修订 根据2013年7月18日《国务院关于废止和修改部分行政法规的决定》第二次修订 根据2014年7月29日《国务院关于修改部分行政法规的决定》第三次修订 根据2016年2月6日《国务院关于修改部分行政法规的决定》第四次修订 根据2020年11月29日《国务院关于修改和废止部分行政法规的决定》第五次修订 根据2024年12月6日《国务院关于修改和废止部分行政法规的决定》第六次修订）
第一章 总 则
第一条 为了加强对出版活动的管理，发展和繁荣有中国特色社会主义出版产业和出版事业，保障公民依法行使出版自由的权利，促进社会主义精神文明和物质文明建设，根据宪法，制定本条例。
第二条 在中华人民共和国境内从事出版活动，适用本条例。
本条例所称出版活动，包括出版物的出版、印刷或者复制、进口、发行。
本条例所称出版物，是指报纸、期刊、图书、音像制品、电子出版物等。
第三条 出版活动必须坚持为人民服务、为社会主义服务的方向，坚持以马克思列宁主义、毛泽东思想、邓小平理论和“三个代表”重要思想为指导，贯彻落实科学发展观，传播和积累有益于提高民族素质、有益于经济发展和社会进步的科学技术和文化知识，弘扬民族优秀文化，促进国际文化交流，丰富和提高人民的精神生活。
第四条 从事出版活动，应当将社会效益放在首位，实现社会效益与经济效益相结合。
第五条 公民依法行使出版自由的权利，各级人民政府应当予以保障。
公民在行使出版自由的权利的时候，必须遵守宪法和法律，不得反对宪法确定的基本原则，不得损害国家的、社会的、集体的利益和其他公民的合法的自由和权利。
第六条 国务院出版行政主管部门负责全国的出版活动的监督管理工作。国务院其他有关部门按照国务院规定的职责分工，负责有关的出版活动的监督管理工作。
县级以上地方各级人民政府负责出版管理的部门（以下简称出版行政主管部门）负责本行政区域内出版活动的监督管理工作。县级以上地方各级人民政府其他有关部门在各自的职责范围内，负责有关的出版活动的监督管理工作。
第七条 出版行政主管部门根据已经取得的违法嫌疑证据或者举报，对涉嫌违法从事出版物出版、印刷或者复制、进口、发行等活动的行为进行查处时，可以检查与涉嫌违法活动有关的物品和经营场所；对有证据证明是与违法活动有关的物品，可以查封或者扣押。
第八条 出版行业的社会团体按照其章程，在出版行政主管部门的指导下，实行自律管理。
第二章 出版单位的设立与管理
第九条 报纸、期刊、图书、音像制品和电子出版物等应当由出版单位出版。
本条例所称出版单位，包括报社、期刊社、图书出版社、音像出版社和电子出版物出版社等。
法人出版报纸、期刊，不设立报社、期刊社的，其设立的报纸编辑部、期刊编辑部视为出版单位。
第十条 国务院出版行政主管部门制定全国出版单位总量、结构、布局的规划，指导、协调出版产业和出版事业发展。
第十一条 设立出版单位，应当具备下列条件：
（一）有出版单位的名称、章程；
（二）有符合国务院出版行政主管部门认定的主办单位及其主管机关；
（三）有确定的业务范围；
（四）有30万元以上的注册资本和固定的工作场所；
（五）有适应业务范围需要的组织机构和符合国家规定的资格条件的编辑出版专业人员；
（六）法律、行政法规规定的其他条件。
审批设立出版单位，除依照前款所列条件外，还应当符合国家关于出版单位总量、结构、布局的规划。
第十二条 设立出版单位，由其主办单位向所在地省、自治区、直辖市人民政府出版行政主管部门提出申请；省、自治区、直辖市人民政府出版行政主管部门审核同意后，报国务院出版行政主管部门审批。设立的出版单位为事业单位的，还应当办理机构编制审批手续。
第十三条 设立出版单位的申请书应当载明下列事项：
（一）出版单位的名称、地址；
（二）出版单位的主办单位及其主管机关的名称、地址；
（三）出版单位的法定代表人或者主要负责人的姓名、住址、资格证明文件；
（四）出版单位的资金来源及数额。
设立报社、期刊社或者报纸编辑部、期刊编辑部的，申请书还应当载明报纸或者期刊的名称、刊期、开版或者开本、印刷场所。
申请书应当附具出版单位的章程和设立出版单位的主办单位及其主管机关的有关证明材料。
第十四条 国务院出版行政主管部门应当自受理设立出版单位的申请之日起60日内，作出批准或者不批准的决定，并由省、自治区、直辖市人民政府出版行政主管部门书面通知主办单位；不批准的，应当说明理由。
第十五条 设立出版单位的主办单位应当自收到批准决定之日起60日内，向所在地省、自治区、直辖市人民政府出版行政主管部门登记，领取出版许可证。登记事项由国务院出版行政主管部门规定。
出版单位领取出版许可证后，属于事业单位法人的，持出版许可证向事业单位登记管理机关登记，依法领取事业单位法人证书；属于企业法人的，持出版许可证向工商行政管理部门登记，依法领取营业执照。
第十六条 报社、期刊社、图书出版社、音像出版社和电子出版物出版社等应当具备法人条件，经核准登记后，取得法人资格，以其全部法人财产独立承担民事责任。
依照本条例第九条第三款的规定，视为出版单位的报纸编辑部、期刊编辑部不具有法人资格，其民事责任由其主办单位承担。
第十七条 出版单位变更名称、主办单位或者其主管机关、业务范围、资本结构，合并或者分立，设立分支机构，出版新的报纸、期刊，或者报纸、期刊变更名称的，应当依照本条例第十二条、第十三条的规定办理审批手续。出版单位属于事业单位法人的，还应当持批准文件到事业单位登记管理机关办理相应的登记手续；属于企业法人的，还应当持批准文件到工商行政管理部门办理相应的登记手续。
出版单位除前款所列变更事项外的其他事项的变更，应当经主办单位及其主管机关审查同意，向所在地省、自治区、直辖市人民政府出版行政主管部门申请变更登记，并报国务院出版行政主管部门备案。出版单位属于事业单位法人的，还应当持批准文件到事业单位登记管理机关办理变更登记；属于企业法人的，还应当持批准文件到工商行政管理部门办理变更登记。
第十八条 出版单位中止出版活动的，应当向所在地省、自治区、直辖市人民政府出版行政主管部门备案并说明理由和期限；出版单位中止出版活动不得超过180日。
出版单位终止出版活动的，由主办单位提出申请并经主管机关同意后，由主办单位向所在地省、自治区、直辖市人民政府出版行政主管部门办理注销登记，并报国务院出版行政主管部门备案。出版单位属于事业单位法人的，还应当持批准文件到事业单位登记管理机关办理注销登记；属于企业法人的，还应当持批准文件到工商行政管理部门办理注销登记。
第十九条 图书出版社、音像出版社和电子出版物出版社自登记之日起满180日未从事出版活动的，报社、期刊社自登记之日起满90日未出版报纸、期刊的，由原登记的出版行政主管部门注销登记，并报国务院出版行政主管部门备案。
因不可抗力或者其他正当理由发生前款所列情形的，出版单位可以向原登记的出版行政主管部门申请延期。
第二十条 图书出版社、音像出版社和电子出版物出版社的年度出版计划及涉及国家安全、社会安定等方面的重大选题，应当经所在地省、自治区、直辖市人民政府出版行政主管部门审核后报国务院出版行政主管部门备案；涉及重大选题，未在出版前报备案的出版物，不得出版。具体办法由国务院出版行政主管部门制定。
期刊社的重大选题，应当依照前款规定办理备案手续。
第二十一条 出版单位不得向任何单位或者个人出售或者以其他形式转让本单位的名称、书号、刊号或者版号、版面，并不得出租本单位的名称、刊号。
出版单位及其从业人员不得利用出版活动谋取其他不正当利益。
第二十二条 出版单位应当按照国家有关规定向国家图书馆、中国版本图书馆和国务院出版行政主管部门免费送交样本。
第三章 出版物的出版
第二十三条 公民可以依照本条例规定，在出版物上自由表达自己对国家事务、经济和文化事业、社会事务的见解和意愿，自由发表自己从事科学研究、文学艺术创作和其他文化活动的成果。
合法出版物受法律保护，任何组织和个人不得非法干扰、阻止、破坏出版物的出版。
第二十四条 出版单位实行编辑责任制度，保障出版物刊载的内容符合本条例的规定。
第二十五条 任何出版物不得含有下列内容：
（一）反对宪法确定的基本原则的；
（二）危害国家统一、主权和领土完整的；
（三）泄露国家秘密、危害国家安全或者损害国家荣誉和利益的；
（四）煽动民族仇恨、民族歧视，破坏民族团结，或者侵害民族风俗、习惯的；
（五）宣扬邪教、迷信的；
（六）扰乱社会秩序，破坏社会稳定的；
（七）宣扬淫秽、赌博、暴力或者教唆犯罪的；
（八）侮辱或者诽谤他人，侵害他人合法权益的；
（九）危害社会公德或者民族优秀文化传统的；
（十）有法律、行政法规和国家规定禁止的其他内容的。
第二十六条 以未成年人为对象的出版物不得含有诱发未成年人模仿违反社会公德的行为和违法犯罪的行为的内容，不得含有恐怖、残酷等妨害未成年人身心健康的内容。
第二十七条 出版物的内容不真实或者不公正，致使公民、法人或者其他组织的合法权益受到侵害的，其出版单位应当公开更正，消除影响，并依法承担其他民事责任。
报纸、期刊发表的作品内容不真实或者不公正，致使公民、法人或者其他组织的合法权益受到侵害的，当事人有权要求有关出版单位更正或者答辩，有关出版单位应当在其近期出版的报纸、期刊上予以发表；拒绝发表的，当事人可以向人民法院提起诉讼。
第二十八条 出版物必须按照国家的有关规定载明作者、出版者、印刷者或者复制者、发行者的名称、地址，书号、刊号或者版号，在版编目数据，出版日期、刊期以及其他有关事项。
出版物的规格、开本、版式、装帧、校对等必须符合国家标准和规范要求，保证出版物的质量。
出版物使用语言文字必须符合国家法律规定和有关标准、规范。
第二十九条 任何单位和个人不得伪造、假冒出版单位名称或者报纸、期刊名称出版出版物。
第三十条 中学小学教科书由国务院教育行政主管部门审定；其出版、发行单位应当具有适应教科书出版、发行业务需要的资金、组织机构和人员等条件，并取得国务院出版行政主管部门批准的教科书出版、发行资质。纳入政府采购范围的中学小学教科书，其发行单位按照《中华人民共和国政府采购法》的有关规定确定。其他任何单位或者个人不得从事中学小学教科书的出版、发行业务。
第四章 出版物的印刷或者复制和发行
第三十一条 从事出版物印刷或者复制业务的单位，应当向所在地省、自治区、直辖市人民政府出版行政主管部门提出申请，经审核许可，并依照国家有关规定到工商行政管理部门办理相关手续后，方可从事出版物的印刷或者复制。
未经许可并办理相关手续的，不得印刷报纸、期刊、图书，不得复制音像制品、电子出版物。
第三十二条 出版单位不得委托未取得出版物印刷或者复制许可的单位印刷或者复制出版物。
出版单位委托印刷或者复制单位印刷或者复制出版物的，必须提供符合国家规定的印刷或者复制出版物的有关证明，并依法与印刷或者复制单位签订合同。
印刷或者复制单位不得接受非出版单位和个人的委托印刷报纸、期刊、图书或者复制音像制品、电子出版物，不得擅自印刷、发行报纸、期刊、图书或者复制、发行音像制品、电子出版物。
第三十三条 印刷或者复制单位经所在地省、自治区、直辖市人民政府出版行政主管部门批准，可以承接境外出版物的印刷或者复制业务；但是，印刷或者复制的境外出版物必须全部运输出境，不得在境内发行。
境外委托印刷或者复制的出版物的内容，应当经省、自治区、直辖市人民政府出版行政主管部门审核。委托人应当持有著作权人授权书，并向著作权行政管理部门登记。
第三十四条 印刷或者复制单位应当自完成出版物的印刷或者复制之日起2年内，留存一份承接的出版物样本备查。
第三十五条 单位从事出版物批发业务的，须经省、自治区、直辖市人民政府出版行政主管部门审核许可，取得《出版物经营许可证》。
单位和个体工商户从事出版物零售业务的，须经县级人民政府出版行政主管部门审核许可，取得《出版物经营许可证》。
第三十六条 通过互联网等信息网络从事出版物发行业务的单位或者个体工商户，应当依照本条例规定取得《出版物经营许可证》。
提供网络交易平台服务的经营者应当对申请通过网络交易平台从事出版物发行业务的单位或者个体工商户的经营主体身份进行审查，验证其《出版物经营许可证》。
第三十七条 从事出版物发行业务的单位和个体工商户变更《出版物经营许可证》登记事项，或者兼并、合并、分立的，应当依照本条例第三十五条的规定办理审批手续。
从事出版物发行业务的单位和个体工商户终止经营活动的，应当向原批准的出版行政主管部门备案。
第三十八条 出版单位可以发行本出版单位出版的出版物，不得发行其他出版单位出版的出版物。
第三十九条 国家允许设立从事图书、报纸、期刊、电子出版物发行业务的外商投资企业。
第四十条 印刷或者复制单位、发行单位或者个体工商户不得印刷或者复制、发行有下列情形之一的出版物：
（一）含有本条例第二十五条、第二十六条禁止内容的；
（二）非法进口的；
（三）伪造、假冒出版单位名称或者报纸、期刊名称的；
（四）未署出版单位名称的；
（五）中学小学教科书未经依法审定的；
（六）侵犯他人著作权的。
第五章 出版物的进口
第四十一条 出版物进口业务，由依照本条例设立的出版物进口经营单位经营；其他单位和个人不得从事出版物进口业务。
第四十二条 设立出版物进口经营单位，应当具备下列条件：
（一）有出版物进口经营单位的名称、章程；
（二）有符合国务院出版行政主管部门认定的主办单位及其主管机关；
（三）有确定的业务范围；
（四）具有进口出版物内容审查能力；
（五）有与出版物进口业务相适应的资金；
（六）有固定的经营场所；
（七）法律、行政法规和国家规定的其他条件。
第四十三条 设立出版物进口经营单位，应当向国务院出版行政主管部门提出申请，经审查批准，取得国务院出版行政主管部门核发的出版物进口经营许可证后，持证到工商行政管理部门依法领取营业执照。
设立出版物进口经营单位，还应当依照对外贸易法律、行政法规的规定办理相应手续。
第四十四条 出版物进口经营单位变更名称、业务范围、资本结构、主办单位或者其主管机关，合并或者分立，设立分支机构，应当依照本条例第四十二条、第四十三条的规定办理审批手续，并持批准文件到工商行政管理部门办理相应的登记手续。
第四十五条 出版物进口经营单位进口的出版物，不得含有本条例第二十五条、第二十六条禁止的内容。
出版物进口经营单位负责对其进口的出版物进行内容审查。省级以上人民政府出版行政主管部门可以对出版物进口经营单位进口的出版物直接进行内容审查。出版物进口经营单位无法判断其进口的出版物是否含有本条例第二十五条、第二十六条禁止内容的，可以请求省级以上人民政府出版行政主管部门进行内容审查。省级以上人民政府出版行政主管部门应出版物进口经营单位的请求，对其进口的出版物进行内容审查的，可以按照国务院价格主管部门批准的标准收取费用。
国务院出版行政主管部门可以禁止特定出版物的进口。
第四十六条 出版物进口经营单位应当在进口出版物前将拟进口的出版物目录报省级以上人民政府出版行政主管部门备案；省级以上人民政府出版行政主管部门发现有禁止进口的或者暂缓进口的出版物的，应当及时通知出版物进口经营单位并通报海关。对通报禁止进口或者暂缓进口的出版物，出版物进口经营单位不得进口，海关不得放行。
出版物进口备案的具体办法由国务院出版行政主管部门制定。
第四十七条 发行进口出版物的，必须从依法设立的出版物进口经营单位进货。
第四十八条 出版物进口经营单位在境内举办境外出版物展览，必须报经国务院出版行政主管部门批准。未经批准，任何单位和个人不得举办境外出版物展览。
依照前款规定展览的境外出版物需要销售的，应当按照国家有关规定办理相关手续。
第六章 监督与管理
第四十九条 出版行政主管部门应当加强对本行政区域内出版单位出版活动的日常监督管理；出版单位的主办单位及其主管机关对所属出版单位出版活动负有直接管理责任，并应当配合出版行政主管部门督促所属出版单位执行各项管理规定。
出版单位和出版物进口经营单位应当按照国务院出版行政主管部门的规定，将从事出版活动和出版物进口活动的情况向出版行政主管部门提出书面报告。
第五十条 出版行政主管部门履行下列职责：
（一）对出版物的出版、印刷、复制、发行、进口单位进行行业监管，实施准入和退出管理；
（二）对出版活动进行监管，对违反本条例的行为进行查处；
（三）对出版物内容和质量进行监管；
（四）根据国家有关规定对出版从业人员进行管理。
第五十一条 出版行政主管部门根据有关规定和标准，对出版物的内容、编校、印刷或者复制、装帧设计等方面质量实施监督检查。
第五十二条 国务院出版行政主管部门制定出版单位综合评估办法，对出版单位分类实施综合评估。
出版物的出版、印刷或者复制、发行和进口经营单位不再具备行政许可的法定条件的，由出版行政主管部门责令限期改正；逾期仍未改正的，由原发证机关撤销行政许可。
第五十三条 国家对在出版单位从事出版专业技术工作的人员实行职业资格制度；出版专业技术人员通过国家专业技术人员资格考试取得专业技术资格。具体办法由国务院人力资源社会保障主管部门、国务院出版行政主管部门共同制定。
第七章 保障与奖励
第五十四条 国家制定有关政策，保障、促进出版产业和出版事业的发展与繁荣。
第五十五条 国家支持、鼓励下列优秀的、重点的出版物的出版：
（一）对阐述、传播宪法确定的基本原则有重大作用的；
（二）对弘扬社会主义核心价值体系，在人民中进行爱国主义、集体主义、社会主义和民族团结教育以及弘扬社会公德、职业道德、家庭美德有重要意义的；
（三）对弘扬民族优秀文化，促进国际文化交流有重大作用的；
（四）对推进文化创新，及时反映国内外新的科学文化成果有重大贡献的；
（五）对服务农业、农村和农民，促进公共文化服务有重大作用的；
（六）其他具有重要思想价值、科学价值或者文化艺术价值的。
第五十六条 国家对教科书的出版发行，予以保障。
国家扶持少数民族语言文字出版物和盲文出版物的出版发行。
国家对在少数民族地区、边疆地区、经济不发达地区和在农村发行出版物，实行优惠政策。
第五十七条 报纸、期刊交由邮政企业发行的，邮政企业应当保证按照合同约定及时、准确发行。
承运出版物的运输企业，应当对出版物的运输提供方便。
第五十八条 对为发展、繁荣出版产业和出版事业作出重要贡献的单位和个人，按照国家有关规定给予奖励。
第五十九条 对非法干扰、阻止和破坏出版物出版、印刷或者复制、进口、发行的行为，县级以上各级人民政府出版行政主管部门及其他有关部门，应当及时采取措施，予以制止。
第八章 法律责任
第六十条 出版行政主管部门或者其他有关部门的工作人员，利用职务上的便利收受他人财物或者其他好处，批准不符合法定条件的申请人取得许可证、批准文件，或者不履行监督职责，或者发现违法行为不予查处，造成严重后果的，依法给予降级直至开除的处分；构成犯罪的，依照刑法关于受贿罪、滥用职权罪、玩忽职守罪或者其他罪的规定，依法追究刑事责任。
第六十一条 未经批准，擅自设立出版物的出版、印刷或者复制、进口单位，或者擅自从事出版物的出版、印刷或者复制、进口、发行业务，假冒出版单位名称或者伪造、假冒报纸、期刊名称出版出版物的，由出版行政主管部门、工商行政管理部门依照法定职权予以取缔；依照刑法关于非法经营罪的规定，依法追究刑事责任；尚不够刑事处罚的，没收出版物、违法所得和从事违法活动的专用工具、设备，违法所得5万元以上的，并处违法所得5倍以上10倍以下的罚款，没有违法所得或者违法所得不足5万元的，并处25万元以下的罚款；侵犯他人合法权益的，依法承担民事责任。
第六十二条 有下列行为之一，触犯刑律的，依照刑法有关规定，依法追究刑事责任；尚不够刑事处罚的，由出版行政主管部门责令限期停业整顿，没收出版物、违法所得，违法经营额1万元以上的，并处违法经营额5倍以上10倍以下的罚款；违法经营额不足1万元的，可以处5万元以下的罚款；情节严重的，由原发证机关吊销许可证：
（一）出版、进口含有本条例第二十五条、第二十六条禁止内容的出版物的；
（二）明知或者应知出版物含有本条例第二十五条、第二十六条禁止内容而印刷或者复制、发行的；
（三）明知或者应知他人出版含有本条例第二十五条、第二十六条禁止内容的出版物而向其出售或者以其他形式转让本出版单位的名称、书号、刊号、版号、版面，或者出租本单位的名称、刊号的。
第六十三条 有下列行为之一的，由出版行政主管部门责令停止违法行为，没收出版物、违法所得，违法经营额1万元以上的，并处违法经营额5倍以上10倍以下的罚款，违法经营额不足1万元的，并处5万元以下的罚款；情节严重的，视情形限制开展相关生产经营活动、责令限期停业整顿，或者由原发证机关降低相关资质等级直至吊销许可证：
（一）进口、印刷或者复制、发行国务院出版行政主管部门禁止进口的出版物的；
（二）印刷或者复制走私的境外出版物的。
发行进口出版物未从本条例规定的出版物进口经营单位进货的，由出版行政主管部门责令停止违法行为，没收出版物、违法所得，违法所得5万元以上的，并处违法所得5倍以上10倍以下的罚款，没有违法所得或者违法所得不足5万元的，并处25万元以下的罚款；情节严重的，视情形限制开展相关生产经营活动、责令限期停业整顿，或者由原发证机关降低相关资质等级直至吊销许可证。
第六十四条 走私出版物的，依照刑法关于走私罪的规定，依法追究刑事责任；尚不够刑事处罚的，由海关依照海关法的规定给予行政处罚。
第六十五条 有下列行为之一的，由出版行政主管部门没收出版物、违法所得，违法所得5万元以上的，并处违法所得5倍以上10倍以下的罚款，没有违法所得或者违法所得不足5万元的，并处25万元以下的罚款；情节严重的，视情形限制开展相关生产经营活动、责令限期停业整顿，或者由原发证机关降低相关资质等级直至吊销许可证：
（一）出版单位委托未取得出版物印刷或者复制许可的单位印刷或者复制出版物的；
（二）印刷或者复制单位未取得印刷或者复制许可而印刷或者复制出版物的；
（三）印刷或者复制单位接受非出版单位和个人的委托印刷或者复制出版物的；
（四）印刷或者复制单位未履行法定手续印刷或者复制境外出版物的，印刷或者复制的境外出版物没有全部运输出境的；
（五）印刷或者复制单位、发行单位或者个体工商户印刷或者复制、发行未署出版单位名称的出版物的。
有下列行为之一的，由出版行政主管部门没收出版物、违法所得，违法经营额1万元以上的，并处违法经营额5倍以上10倍以下的罚款，违法经营额不足1万元的，并处5万元以下的罚款；情节严重的，视情形限制开展相关生产经营活动、责令限期停业整顿，或者由原发证机关降低相关资质等级直至吊销许可证：
（一）印刷或者复制单位、发行单位或者个体工商户印刷或者复制、发行伪造、假冒出版单位名称或者报纸、期刊名称的出版物的；
（二）出版、印刷、发行单位出版、印刷、发行未经依法审定的中学小学教科书，或者非依照本条例规定确定的单位从事中学小学教科书的出版、发行业务的。
第六十六条 出版单位有下列行为之一的，由出版行政主管部门责令停止违法行为，给予警告，没收违法经营的出版物、违法所得，违法所得5万元以上的，并处违法所得5倍以上10倍以下的罚款，没有违法所得或者违法所得不足5万元的，并处25万元以下的罚款；情节严重的，视情形限制开展相关生产经营活动、责令限期停业整顿，或者由原发证机关降低相关资质等级直至吊销许可证：
（一）出售或者以其他形式转让本出版单位的名称、书号、刊号、版号、版面，或者出租本单位的名称、刊号的；
（二）利用出版活动谋取其他不正当利益的。
第六十七条 有下列行为之一的，由出版行政主管部门责令改正，给予警告；情节严重的，责令限期停业整顿或者由原发证机关吊销许可证：
（一）出版单位变更名称、主办单位或者其主管机关、业务范围，合并或者分立，出版新的报纸、期刊，或者报纸、期刊改变名称，以及出版单位变更其他事项，未依照本条例的规定到出版行政主管部门办理审批、变更登记手续的；
（二）出版单位未将其年度出版计划和涉及国家安全、社会安定等方面的重大选题备案的；
（三）出版单位未依照本条例的规定送交出版物的样本的；
（四）印刷或者复制单位未依照本条例的规定留存备查的材料的；
（五）出版进口经营单位未将其进口的出版物目录报送备案的；
（六）出版单位擅自中止出版活动超过180日的；
（七）出版物发行单位、出版物进口经营单位未依照本条例的规定办理变更审批手续的；
（八）出版物质量不符合有关规定和标准的。
第六十八条 未经批准，举办境外出版物展览的，由出版行政主管部门责令停止违法行为，没收出版物、违法所得；情节严重的，责令限期停业整顿或者由原发证机关吊销许可证。
第六十九条 印刷或者复制、批发、零售、出租、散发含有本条例第二十五条、第二十六条禁止内容的出版物或者其他非法出版物的，当事人对非法出版物的来源作出说明、指认，经查证属实的，没收出版物、违法所得，可以减轻或者免除其他行政处罚。
第七十条 单位违反本条例被处以吊销许可证行政处罚的，其法定代表人或者主要负责人自许可证被吊销之日起10年内不得担任出版、印刷或者复制、进口、发行单位的法定代表人或者主要负责人。
出版从业人员违反本条例规定，情节严重的，由原发证机关吊销其资格证书。
第七十一条 依照本条例的规定实施罚款的行政处罚，应当依照有关法律、行政法规的规定，实行罚款决定与罚款收缴分离；收缴的罚款必须全部上缴国库。
本条例所称违法所得，是指实施违法行为扣除成本后的获利数额，没有成本或者成本难以计算的，实施违法行为所取得的款项即为违法所得。
第九章 附 则
第七十二条 行政法规对音像制品和电子出版物的出版、复制、进口、发行另有规定的，适用其规定。
接受境外机构或者个人赠送出版物的管理办法、订户订购境外出版物的管理办法、网络出版审批和管理办法，由国务院出版行政主管部门根据本条例的原则另行制定。
第七十三条 本条例自2002年2月1日起施行。1997年1月2日国务院发布的《出版管理条例》同时废止。
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Chinese
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16k
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T9. Version & Code Diff Analysis
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T9.1 Dependency-Aware Multi-Version Impact Analysis
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Full
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对比管理条例三次修订版本，给出2020年第五次修订版相对2002年原版新增条款。先输出“[答案]”标识符，再按行输出条款编号（“第x条”），不要输出任何其他内容。
输出示例：
[答案]
第四条
第十条
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对比管理条例三次修订版本，给出2020年第五次修订版相对2002年原版新增条款。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出条款编号（“第x条”），不要输出任何其他内容。
输出示例：
<你的思考过程>
[答案]
第四条
第十条
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[
"第三十五条",
"第三十六条",
"第三十七条",
"第四十四条",
"第四十九条",
"第五十条",
"第五十一条",
"第五十二条",
"第五十三条"
] |
Extreme
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1a0dd25c7be27caf23c565984b578687397d049867bcedfcc361b4ef4c1759e4
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万字长文：AI的安全与光明的消逝
最近关乎AI监管的观点可谓有了“新高度”，一群AI大佬在推特上就“人类灭绝论”展开激烈讨论。
正方辩手是以Hinton为代表的“AI有风险派”，反方代表是以吴恩达为核心的“AI积极论”。在这场辩论中，吴恩达更是声称“一部分人非常卖力地传播AI担忧其实只是为了“钱”。
究竟要不要AI监管？AI监管会带来什么样的后果？fast.ai的一群研究者们，开展了一项调查研究，采访了70多名专家，并查阅了300多篇学术论文。最终形成结论：我们正处在AI启蒙阶段，严格的监管势必要扼杀希望的萌芽。
以下是对fast.ai观点文章“AI Safety and the Age of Dislightenment”的原文，文摘菌做了不改变原意的编译
编者注：这篇文章，还有一个目的，就是驳斥OpenAI的监管论“Frontier AI regulation:Managing emerging risks to public safety”
严格的AI模型许可和监管可能无法实现预期目标，甚至可能产生负面后果。这可能导致权力集中且不可持续，并可能抵消启蒙时代的社会进步。
在保护社会和提高社会自我防卫能力之间，需要找到一个微妙的平衡点。我们应该采用开放的态度、保持谦逊并广泛征求意见。随着对具有改变社会的潜力技术的了解加深，有些应对策略也应该不断调整。
人工智能（AI）发展迅速，我们目前还不知道它能走到哪里。OpenAI 的首席执行官 Sam Altman 认为 AI 可能会“握住宇宙中一切未来价值的光芒”（capture the light cone of all future value in the universe）。但另一些专家警告说，AI可能会导致“灭绝风险”。
也有许多人提出了一些规范 AI 的方法，包括白皮书“前沿 AI 规制：管理公共安全的新兴风险”（FAR），以及欧盟 AI 法案的议会版本，内容大致包含两个部分：
1.为 AI 模型的开发和部署制定标准；
2.创建机制以确保符合这些标准。
然而，其他专家反驳说：“对存在风险（x-risk，指可能导致人类灭绝的风险）的关注如此之多，以至于它‘挤占了更紧迫问题的关注空间’，并对关注其他风险的研究人员产生了潜在的社会压力。”
因此不禁要问：尽管当前的AI风险很重要，但人类灭绝的威胁是否意味着我们应该继续实施这种监管呢？也许不应该。正如我们将看到的，如果 AI 真的足够强大以至于构成灾难性威胁，那么这个提议实际上可能无济于事（文摘菌注：小雨不用打伞，大雨打伞没用）。事实上，过严的提议可能会使事情变得更糟，例如创造严重的权力失衡，导致社会的瓦解。
有些担忧针对的是：要监管AI 模型的开发阶段全过程，而不只是监管模型如何被使用。而监管措施的影响可能无法逆转，因此在立法前我们应该非常谨慎。
前沿 AI 规制（FAR）和 AI 法案试图对“基础模型”进行监管。这些基础模型是通用 AI，它们能够处理几乎所有类型的问题，尽管成功程度可能因问题而异。
对于任何通用设备（例如计算机或钢笔），无法确保它们永远不会被用来造成伤害。因此，为了确保 AI 模型不被滥用，唯一的方法是：不让别人直接使用这些模型。
另外，也可以将它们限制在一个受严格控制的有限服务接口上，如 ChatGPT是一个与 GPT-4 相连的接口，可以提供受限但可控的访问权限。
如果我们现在为了“安全”而采取加强权力集中的监管措施，我们可能会抹杀启蒙时代的成就，导致社会进入一个相反的新时代：the Age of Dislightenment（黯淡时代）。
与此相反，我们应该坚守启蒙时代的开放与信任原则，例如支持开源模型的开发。开源通过广泛参与和分享推动了巨大的技术进步。广泛的参与意味着更多具备不同专业知识的人可以共同识别和应对潜在威胁，从而提高整体安全水平，这在网络安全等领域已经被证实是有效的。
大问题
随着 AI 能力的迅速发展，许多人开始寻求“保护”，也有很多人提供“保护”。正如那篇名为“前沿 AI 规制：管理公共安全的新兴风险”的白皮书认为：政府的介入有助于确保这类“前沿 AI 模型”符合公共利益。
然而，我们是否能真正确保这一点，以及需要付出怎样的代价？
同时，白皮书也没有解决一个重要且明显的问题：任何能够获取强大 AI 模型完整版本的人相较于那些只能通过受限服务访问该模型的人，拥有更大的权力。当然，如果 AI 真的变得非常强大，这种巨大的权力差距将无法持续存在。
尽管从表面上看，推进的监管制度似乎满足了各种安全要求，但最终这导致了大量权力被集中到既得利益公司（因为它们可以访问原始模型），这些公司会利用信息不对称优势，试图监管或限制政府，从而导致社会的瓦解。
原因如下：AI 模型实际上是通用计算设备，所以无法保证它们不会被滥用。这就好比试图制造一台无法被滥用的计算机（例如用于发送勒索邮件）。同样，如果你给某人一个通用计算设备，你无法确保他不会利用它来造成伤害。这就像我们无法制造一台不会被滥用的计算机。
如果某人控制了一个强大的模型，它负责处理所有信息的消费和生产，并且这个模型是保密的专有技术，那么他就可以塑造人们的观念、影响人们的行为，并随意审查内容。
监管政策最终使得那些不在“少数公司”工作的人无法接触到最强大的 AI，这些公司的主导地位将因此得到巩固。这对社会来说是一条极为危险且不稳定的道路。
竞赛
行，现在设想一下，如果监管政策实现，我们社会将发生什么？
设想的前提：我们拥有世界上最强大的技术，并且它不断快速发展，但只有少数大公司能访问这项技术最强版本，并无限制地使用。
接下来，所有关心权力和金钱的人现在都迫切需要找到办法获得这些模型的完全访问权限。因为，任何不能完全访问这项历史上最强技术的人都无法与之竞争。对他们来说好消息是，这些模型实际上只是一堆数字。它们可以很容易地被复制，一旦你拥有了它们，你就可以免费把它们传给所有的朋友。（FAR 就此问题有一整个部分，称为“扩散问题”。）
有很多专家擅长数据渗透，他们知道如何运用敲诈、贿赂、社会工程等非常有效的手段得到AI能力。对于那些不愿使用这些手段但有资源的人来说，他们也可以通过投资大约1亿美元来获得AI能力。即使是《财富》全球2000强中最小的公司也有70亿美元的年收入，这样的支出在他们的预算范围内。当然，大多数国家政府也负担得起这笔费用。然而，这些组织在不违反拟议中的监管要求的情况下，无法直接向公众提供这些模型，但至少组织中的一些人将能够获得完整模型的力量。
那些渴望权力和财富但无法获得AI模型的人现在有了新目标：努力进入拥有大型AI模型的组织的高层职位，或进入政府部门的高层，从而影响相关决策。
因此，一开始致力于为社会利益发展AI的组织，很快就会发现自己成为追求公司利润的一环，因为所有公司在成长过程中都会加入这个竞争，并且领导这些公司的人都是追求利润的能手。
实际上，试图控制AI使用的整个努力是毫无意义且无效的。不仅模型的“扩散”无法控制（因为数字信息很容易被泄露和复制），事实证明限制训练模型计算量的措施也是不可能实施的。这是因为现在世界各地的人们可以在虚拟环境中联合起来共同训练一个模型。例如，Together Computer 创建了一个完全去中心化、开放、可扩展的AI云服务，最近的研究表明这种方法可以取得相当大的进展。
GPU即能用于训练模型，也能用于玩电脑游戏。目前世界上用于玩游戏的计算能力比用于AI的计算能力要多。全球的游戏玩家只需在自己的计算机上安装一个小软件，就能选择加入帮助训练这些开源模型的行列。
换句话说，开发者们已经在思考如何确保普通人训练这些模型。AI安全社区对这个问题非常了解，并提出了各种解决方案。例如，AI政策专家Yo Shavit最近的一篇有影响力的论文，研究了可以添加到计算机芯片的监控机制，指出：
“随着先进的机器学习系统在地缘政治和社会秩序方面发挥越来越重要的作用，两个方面可能变得尤为关键：第一，政府需要在其管辖范围内对先进机器学习系统的发展进行规定；第二，各国需要能够互相核实彼此是否遵守关于先进机器学习开发的未来国际协议（如果有的话）。”
解决这个问题，必须确保每个制造此类芯片的公司都在其芯片中加入监控功能。若有一家公司未实施此限制，所有想建立强大模型的人将选择使用该公司的芯片。Shavit指出，在硬件层面全面执行这种规则需要监视和管控个人公民对其个人计算机的使用，这在道义上是极其不能接受的。
然而，现实是，要使集中化和控制有效，就需要这样的规则，因为个人计算机只需通过互联网连接就可以用来训练大型模型。
当AI安全先驱Eliezer Yudkowsky建议空袭未授权数据中心并使用核武器威慑未被授权的国家确保合规时，许多人震惊了。实际上，轰炸数据中心和监视全球计算机是实现FAR提出安全合规的唯一方法。
管制用户，不要发展
另一名为亚历克斯·恩格勒的学者，提出了一种替代方法，与强制执行安全标准或许可模型不同，这种方法主张“规范有风险和有害的应用，而非开源AI模型”。这正是大多数法规的运作方式：通过追求责任。
例如，如果有人创建了一个通用工具，而别人用这个工具去做坏事，制造工具的人则不会承担责任。
像互联网、计算机和纸笔这样的“双重用途”技术，并不仅限于大公司使用，任何人都可以搭建计算机或制作自己的纸张。他们无需确保所建造的东西只能用于社会利益。
这是一个关键的区别：它区分了使用规定（即将模型实际应用于系统的部分，特别是像医药这样的高风险系统），与发展（即训练模型的过程）。
这个区别之所以关键，是因为这些模型实际上只是数学函数。它们将一堆数字作为输入，计算并返回另一堆数字。它们本身并不做任何事情，它们只能计算数字。
然而，这些计算可能非常有用！
实际上，计算机本身也只是计算机器（因此得名“计算机”）。它们在使用时非常有用，因为能连接到某个可以真正发挥作用的系统上。
FAR同样关注了模型开发与模型使用之间的区别，并声称AI能力的改进可能是不可预测的，在没有进行密集测试之前很难完全理解。因此，如果监管并未要求在部署前对模型进行充分的测试，可能无法防止部署的模型带来严重风险。
然而，这种推论并不成立，因为模型在未被使用时无法造成危害，所以开发模型本身并非有害活动。此外，由于我们讨论的是通用模型，我们无法确保模型本身的安全性。只有在尝试确保模型在使用过程中的安全性时，才有可能降低风险。
另一种有用的监管方法是考虑确保敏感基础设施（如化学实验室）的安全访问。FAR简要地考虑了这个想法，称“对于前沿AI开发，特定领域的监管可能很有价值，但可能会遗漏一部分高严重性和规模风险。”但是，FAR没有进一步研究。
如果我们开发先进AI，应期望它帮助识别需加固的敏感基础设施。若利用这些设施可能有害，则很可能识别出它们，因为无法识别的AI也无法使用它们。
当然，处理一个已经识别出的威胁可能并不简单；例如，如果一个台式DNA打印机可以用来制造危险的病原体，那么加固所有该设备需要巨大的工作量。但这比限制全世界的计算设备要花费的成本小得多，也不那么具有侵入性。
这引导我们走向另一条有用的监管途径：部署披露。如果你考虑将使用AI的自动化系统连接到任何类型的敏感基础设施，那么应该要求披露这一事实。此外，某些类型的连接和基础设施应该事先进行仔细的安全检查和审计。这样可以确保在应用AI技术时，对潜在的安全风险进行了有效的评估和管理。
走向集中化
更好的AI可以用来改进AI。这已经在早期能力较弱、资源较少的算法时代多次出现。谷歌已经利用AI改进了数据中心的能源利用方式，创造了更好的神经网络架构，并为优化这些网络中的参数开发了更好的方法。模型输出已经被用来创建用于训练新模型的提示、为这些提示创建模型答案以及解释答案的推理过程。随着模型变得更强大，研究人员将找到更多方法来改进数据、模型和训练过程。
因此，我们没有理由相信我们已经接近这项技术的极限。
那些能够访问完整模型的人可以比那些无法访问的人，更快、更好地构建新模型。其中一个原因是他们可以充分利用强大的功能，如微调、激活以及直接学习和修改权重。例如，最近的一篇论文发现，微调允许模型用比基础模型少几个数量级的参数来解决具有挑战性的问题。
这种反馈回路导致集中化：大公司变得更大，其他竞争者无法与之抗衡。这导致了集中化、竞争减少，致使价格上升、创新减少以及安全性降低。
其他强大的力量也在推动集中化。以谷歌为例。谷歌拥有地球上最多的数据。更多的数据直接导致更好的基础模型。此外，随着人们使用他们的AI服务，他们获得了越来越多关于这些互动的数据。他们使用AI改进产品，使产品对用户更具“粘性”，吸引更多人使用，从而获得更多数据，进一步改进他们的模型和基于模型的产品。此外，他们正变得越来越垂直整合，他们制造自己的AI芯片（TPU），运行自己的数据中心，并开发自己的软件……
对前沿模型开发的监管加剧了集中化。特别地，未来AI监管（FAR）提出的许可制成为了推动集中化的有力因素。在这种制度下，希望建立与当前最先进技术同等或更优秀的模型的新参与者在获得开发权之前，必须申请许可。这使得与已经稳固地位的参与者竞争变得更加困难。同时，这种制度为监管俘获提供了一个强有力的途径，因为它使得一个缺乏民主性的许可委员会在决定谁能够开发地球上最强大的技术方面拥有最后的决定权。
开源与AI启蒙的新时代
与寻求安全、控制和集中化的愿望相反，我们应该再次承担几百年前的风险，相信人类和社会的力量与善意。
正如启蒙时代的思想家们提出了一系列具有挑战性的问题，例如“如果每个人都接受教育会怎样？如果每个人都有投票权会怎样？”等，我们也应该思考这样一个问题：“如果每个人都能获得AI的全部能力会怎样？” 这意味着我们应该勇于设想一个每个人都能充分利用AI能力的未来，并思考如何实现这一目标。
我们从启蒙时代的成果中可以看出，这个前提是错误的。但这个观念仍然顽固地存在。几十年来，社会学家一直在研究和记录“精英恐慌”：精英阶层认为普通人会在灾难面前表现糟糕，因此必须加以控制的倾向。然而，这也是错误的。事实上，正如丽贝卡·索尔尼特所言：“我认为这些危机时刻是人民力量和积极社会变革的时刻。
当我们面对AI误用的威胁时，怎样拥抱进步信念和所有人类的理性呢？许多专家现在正在研究的一个观点是开源模型可能是关键。
模型只是软件，它们是以代码形式体现的数学函数。当我们复制软件时，我们通常不称之为“扩散”，因为这词通常与核武器有关。当我们复制软件时，我们称之为“安装”、“部署”或“共享”。由于软件可以自由复制，它引起了一个庞大的开源运动，共享是一种道德善举。既然所有人都可以受益，为什么要把价值限制在少数人身上呢？
这个观点具有很大的影响力。如今，几乎你使用的每一个网站都在运行一个开源的网络服务器（如Apache），它又安装在一个开源的操作系统上（通常是Linux）。大多数程序都是用开源编译器编译的，用开源编辑器编写的。起初，这些被认为是疯狂的想法，有很多怀疑者，但最后证明是正确的。简单地说，如果没有开源，今天使用的计算机和互联网的很大一部分世界将无法存在。
如果最强大的AI模型是开源的会怎样呢？仍然会有坏人想利用它们伤害他人或不正当地致富。但是大多数人并不是坏人。大多数人会使用这些模型来创造和保护。有什么比让整个人类社会的巨大多样性和专业知识都竭尽全力去识别和应对威胁，同时拥有AI的全部力量更安全的办法呢？与只有一家营利性公司的少数人能完全访问AI模型相比，如果全球顶尖的网络安全、生物武器和社会工程学者都在利用AI的优势研究AI安全，而且你可以自己访问和使用他们的所有成果，你会感觉更安全吗？
为了获得完整模型访问的更好功能，并减少商业控制在原本具有分享文化的开放研究社区中的程度，开源社区最近介入并训练了一些相当有能力的语言模型。截至2023年7月，这些模型中最好的那个与第二梯队较便宜的商业模型处于类似水平，但不如GPT-4或Claude。它们的能力正在迅速增长，并吸引了越来越多的捐助者、政府、大学和希望避免权力集中及确保获得高质量AI模型的公司的投资。
然而，FAR中关于安全保证的提案与开源前沿模型是不相容的。FAR建议“在明确可行的安全部署之前，谨慎避免潜在的危险前沿AI模型被开源”。但即使一个开源模型以与监管批准的封闭商业模型完全相同的方式从完全相同的数据中训练，它仍然无法提供相同的安全保证。这是因为作为通用计算设备，任何人都可以将其用于他们想要的任何目的，包括使用新数据集进行微调，并应用于新任务。
开源并不是万能的解决方案。这仍然需要谨慎、合作和深入仔细的研究。通过使系统对所有人可用，我们确保整个社会都能从它们的能力中受益，但也可以努力理解和抵制它们潜在的危害。斯坦福和普林斯顿的顶尖人工智能和政策团队联合起来，回应了美国政府对人工智能问责的请求，并表示：
“为了推动公共利益，基础模型的开发和部署应确保透明，支持创新，分配权力并最小化伤害... 我们认为，开源基础模型可以实现这四个目标中的所有目标，部分原因是由于开源的内在优点（支持透明度，支持创新，反对垄断）。”
此外，他们警告说：如果研究人员和技术人员无法检查闭源模型，安全漏洞可能在造成伤害之前无法被发现... 另一方面，跨领域的专家可以检查和分析开源模型，这使得安全漏洞更容易被发现和解决。此外，限制谁可以创建基础模型将减少能力强大的基础模型的多样性，并可能导致复杂系统中的单点故障。
今天获得开源模型的访问权面临严重的风险。欧洲人工智能法案可能会根据FAR中的类似原则有效地禁止开源基础模型。技术创新政策分析师Alex Engler在他的文章“欧盟试图规范开源人工智能是适得其反”的写道：
如果监管委员会试图对开源进行规范，可能会产生一系列复杂的要求，这将对开源人工智能贡献者构成威胁，而不会改善通用人工智能（GPAI）的使用。开源人工智能模型为社会带来了巨大价值，因为它们挑战了大型技术公司对通用人工智能的主导地位，并帮助公众了解人工智能的功能。
不伤害原则
AI政策专家Patrick Grady和Daniel Castro推荐不要急于采取监管行动：
“对新技术的恐惧遵循一个可预测的轨迹，被称为‘技术恐慌周期’。随着公众熟悉技术及其好处，恐惧感会增加、达到高峰，然后随着时间的推移逐渐减弱。事实上，其他先前在创意领域中的“生成型”技术，如印刷机、留声机和电影摄影机也遵循了同样的轨迹。但与今天不同的是，政策制定者不太可能采取措施来监管和限制这些技术。随着对生成型AI的恐慌进入最不稳定的阶段，政策制定者应该“深呼吸”，认识到我们正在经历可预测的周期，并将直接加强生成型AI的任何监管努力暂时搁置。”
然而,监管者也许应考虑希波克拉底的医学忠告:“先不要伤害”。医疗干预可能会产生副作用,治疗方法有时可能比疾病本身更糟。一些药物甚至可能损害免疫反应,使身体过于虚弱而无法抵抗感染。
监管干预也是如此。“确保安全”的中心化监管挟制不仅可能直接危害社会,还可能降低安全性。如果只有一个大型组织掌握了巨大的技术力量,我们就处于脆弱的境地,因为社会上其他力量无法取得同等的权力来保护自己。然而，争权斗争可能引发人工智能误用，导致社会毁灭。
人工智能监管的影响微妙且难以预测。平衡社会保护和赋权难度大，过快监管难以成功。
我们还有时间。人类社会的综合能力非常强大，超越它的AI还很遥远。OpenAI的技术专家Ted Sanders和GSK的AI总监Ari Allyn-Feuer共同做了一项深入研究，得出的结论是：“我们估计到2043年实现具有变革性的通用人工智能（AGI）的可能性小于1%。”
时间过得越长,我们学到的就越多。不仅是关于技术方面,还有社会如何应对技术方面。我们不应匆忙实施可能让社会步入无法摆脱的反乌托邦路线的监管变化。
对AI语言模型安全性的担忧已经存在一段时间。2019年，我就OpenAI决定不公开新语言模型权重的事情写过一篇文章。我引用了一篇名为《人工智能的恶意使用》的论文，其重要作者如今在OpenAI工作。论文有四个建议：
政策制定者和科研人员应共同防止AI的恶意使用；
AI研究人员和工程师需意识到他们工作的双重用途；
应借鉴计算机安全等领域的最佳实践应用于AI；
应扩大参与讨论这些问题的人群。
《人工智能的恶意使用》论文由14个机构的26位作者共同撰写，其首作者现在在OpenAI工作。论文的四条建议并非强调集中化和控制，而是互动和合作。有趣的是,作为FAR的共同创作者，那位跳到OpenAI的论文作者，和他的初心渐行渐远。
FAR提醒我们注意防范AI的强大和潜在欺骗性，声称这可能引发AI接管的危险。我们可能因为安全感而做出一些行动，但需要冷静和理智来应对这种可能的恐慌。
古希腊人警告我们不要因为过度的自信而制造出我们想要避免的未来。如果我们为了避免AI末日，过度控制技术，那么未来可能会变得像封建社会一样，计算能力掌握在少数精英手中。我们需要避免像古希腊的故事人物那样，因为过于自信而做出我们本来想要避免的事情。例如国王俄狄浦斯,被预言会杀死他的父亲并娶他的母亲,但由于设法避免这个命运而最终做了完全相同的事情。或者像荷里奥斯的儿子法埃顿,他对自己控制太阳战车的能力如此自信,以致他避开了父亲为他设定的道路,从而差点摧毁了地球。”
《人工智能的恶意使用》提倡一种基于谦逊的方法，即与专家和被技术影响的人协作，反复学习和磋商。这种方法能让我们学习到计算机安全的关键理念：“通过隐蔽来确保安全”是无效的。网络安全专家阿文德·纳拉扬和萨亚什·卡普尔有篇文章列出了让少数公司独占AI技术的五大风险，包括：加剧安全风险；导致结果同质化；定义可接受言论的界限；影响态度和意见；监管俘获。
我们是如何走到这一步的
我和其他用过GPT-4和Bard的人都对它们的功能感到惊讶，尽管有些错误，但它们可以提供各种主题的帮助。我每天都用它们做各种事，包括编程帮助和为女儿提供玩耍的想法。
就像FAR里解释的:基础模型,比如大规模语言模型(LLM),都是在大量的自然语言和其他文本(例如计算机代码)数据集上训练的,通常从简单的预测下一个“记号（token）”的目标开始。这种相对简单的方法产生了惊人的广泛能力模型。因此,与许多其他类的AI模型相比,这些模型具有更多的通用功能。
FAR接着介绍：关注的重点是那些可能具有潜在危险的新兴人工智能模型。在这个定义中，狭窄的模型（即那些只能在特定任务或领域中表现良好的模型）是被排除在外的，尽管这些模型在某些情况下可能具有危险潜力。
例如，有些模型专门用于优化化学合物的毒性或病原体的毒力，这可能会导致预期或可预见的危害。对于这类模型，更适合采用针对性的监管措施。
因此，作者提议“制定负责任的新兴AI开发和部署的安全标准”，并“授权监管机构识别和惩处违规行为；或者通过许可证制度来部署和潜在地开发新兴AI。”他们提议这样做是为了“确保”这些模型“被用于公共利益”。
假设这些提议被接受并且这项法规被制定，那么接下来会发生什么呢？嗯，有两种可能性：
1.AI能力的增长达到极限，因此尽管AI可能会成为一种非常重要的技术，但我们不会达到一种可能摧毁社会的超级智能，
2.AI继续发展其能力，直到成为人类历史上迄今为止最强大的技术力量。OpenAI的CEO Sam Altman的预测证明是准确的，即拥有这种技术的人可以“握住宇宙中一切未来价值的光芒”。
我们应该专注于（2），明确地说，没有人确定这将会发生，但是长时间研究AI的人，认为这可能实现。
人类最强大的技术
由于“通用”或“基础”模型（例如OpenAI的GPT-4、Google的Bard和Anthropic的Claude）的出现，我们现在处于“通用人工智能”（GPAI）的时代。这些模型是通用计算设备，它们可以回答（成功程度不同）几乎任何你提出的问题。
随着基础模型变得越来越强大，我们应该期望研究人员会找到更多“使用AI改进数据、模型和训练过程”的方法。目前的模型、数据集创建技术和训练方法都非常简单，基本的想法可以用几行代码实现。有很多相当明显的方法可以大幅度改进现有技术，因此我们没有理由相信我们已经接近技术的极限，我们应该期望在未来几个月和年份内看到越来越快的技术发展周期。
但是，这些模型的训练成本很高。由于技术进步，训练相同大小的模型变得更便宜了，但是模型变得越来越大。训练GPT-4可能需要花费大约1亿美元。目前最强大的所有模型，包括GPT-4、Bard和Claude，都是由美国（分别是OpenAI、Google和Anthropic）和中国的大公司进行训练的。
共同建设
已经有许多监管举措落实，包括白宫科学技术政策办公室的《AI权利法案蓝图》、国家标准与技术研究院的AI风险管理框架以及拜登的行政命令14091。
AI社区也开发了有效的机制来共享重要信息，例如数据集数据表、模型报告、模型卡和生态系统图。监管可能要求数据集和模型包含关于它们是如何构建或训练的信息，以帮助用户更有效且安全地部署它们。这类似于营养标签：虽然我们不禁止人们吃太多垃圾食品，但我们努力提供他们需要做出良好选择的信息。欧盟提出的AI法案已经包括了对这种信息的要求。
我们还有许多事情要做，在变化迅速的AI世界里，需要保留未来选择，避免过早决定路径，同时迅速、知情地应对新的机遇和威胁，当然这需要各行各业广泛参与。
政策决策者需要深入理解AI，而不只是听取行业意见。如斯坦福大学的Marietje Schaake所说，我们需要避免CEO参与AI监管：
“想象银行CEO告诉国会，由于金融产品复杂，银行应自行决定防止洗钱和欺诈，这是荒谬的。历史证明，企业自我监管是失败的，它们既不独立，也无法制定公平的监管规定。”
我们还应谨慎，不要让有趣的科幻情景分散我们对即时真实危害的注意力。Aiden Gomez是transformers神经网络架构的共同创造者，它为所有顶级语言模型提供动力，包括GPT 4，他警告说：
“这项技术存在真正的风险和使用方式需要被关注，但把大量时间用于讨论关于超级智能AGI接管会导致人类灭绝的奇幻故事是荒谬的，这样做只会分散公众的注意力。我们应该关注真正的问题和讨论。”
反启蒙
如果我们不敢面对新的力量和不确定性，而是选择回归中央集权和限制权力的做法，那就是“反启蒙”。这样做会导致富者愈富、穷者愈穷。因为那些富者可以建立越来越好的模型，用于宣传、威胁开发或者垄断行业。穷人对社会的贡献较小，因为他们只能通过有限且安全的方式接触AI。
一旦走上这条路，回头将变得困难，甚至可能是不可能的。科技政策专家指出，部署糟糕的解决方案（如不良监管措施）可能需要数十年才能撤销，如果这对某些人有利，撤销更为困难。
实现集权将导致富者和穷者的分化，富者拥有使他们更强大的技术。当权力和财富差异巨大时，渴望权力财富的人将控制它，历史显示只有暴力才能消除差异。约翰·肯尼迪曾说，阻止和平革命者让暴力革命不可避免。随着AI力量和监视体系的发展，暴力可能变得无效。如果真要走这条路，我们应清楚了解它将带我们走向何方。
“启蒙时代”的脆弱性
在大部分人类历史中，未来令人恐惧、不安。我们应对的方式是将信任集中于更强大的个体来确保安全。多数社会将危险工具如教育和权力掌握在少数精英手中。
但是发生了变化，西方兴起一种新想法：保证安全的另一种方式是相信整个社会的利益，而非权力精英。如果人人都能接受教育、投票和掌握技术？这是“启蒙时代”的理念，尽管实现这一承诺需要几个世纪的努力。
在自由民主国家生活的我们容易忘记这种制度的脆弱和稀有。然而，世界各地正滑向威权领导。正如赫尔曼·戈林所说，领导者可以左右民众，只需告诉他们面临攻击。
明确一点：我们并未受到攻击。现在不应放弃为平等和机会所取得的成果。虽然没有人能保证安全，但我们可以共建一个使用AI并服务于所有人的社会。
回溯整篇文章对AI安全与监管的深度剖析，其核心始终围绕“技术发展规律”与“社会价值取向”的碰撞展开——当以OpenAI为代表的机构抛出“前沿AI规制（FAR）”，试图通过许可证制度、限制模型访问等集中化手段规避“人类灭绝风险”时，fast.ai团队基于70余名专家访谈与300余篇学术论文的研究，给出了截然相反的判断：当前AI仍处于启蒙阶段，其能力尚未触及“超越人类社会综合能力”的边界，强行推行严格监管不仅无法实现安全目标，反而会扼杀技术创新的萌芽，甚至逆转启蒙时代以来的社会进步成果。这种分歧的本质，并非对AI风险的忽视，而是对“如何应对风险”的认知差异——FAR等方案将安全寄托于少数企业与机构的“可控性”，却忽视了AI作为通用计算设备的本质属性：就像无法制造一台绝对不会被用于发送勒索邮件的计算机，我们也不可能让通用AI模型完全规避滥用风险，更何况AI模型作为数字信息，其复制与扩散成本极低，《财富》全球2000强中最小企业70亿美元的年收入、多数国家政府的财政能力，都足以支撑约1亿美元的AI训练投入，而Together Computer打造的去中心化AI云服务、全球游戏玩家可通过个人设备参与开源模型训练的模式，更让“限制计算资源”的监管思路彻底失效。这种情况下，集中化监管只会制造新的风险：少数掌握完整AI模型的既得利益公司，会借助信息不对称优势巩固垄断地位，一边通过“受限服务接口”（如ChatGPT）控制普通用户的访问权限，一边利用模型塑造公众认知、影响社会决策，最终形成“技术权力集中→贫富差距扩大→监管俘获”的恶性循环，这与启蒙时代“人人享有教育、权力与技术”的核心价值完全相悖。
更值得深思的是，文章对“风险认知”的梳理，打破了“AI灭绝风险”的过度渲染，还原了更真实的风险图景：一方面，对“x-risk”（人类灭绝风险）的过度关注，已挤占了对AI滥用、数据隐私、算法歧视等更紧迫问题的关注空间，甚至对研究这些现实风险的学者形成潜在社会压力；另一方面，所谓“AI接管”的担忧，更多是科幻情景的延伸，OpenAI技术专家Ted Sanders与GSK AI总监Ari Allyn-Feuer的研究已明确，2043年实现具有变革性的通用人工智能（AGI）的概率不足1%，人类仍有充足时间探索合理的治理路径。真正的风险，恰恰藏在“为防范虚构风险而采取的错误行动”中——当AI安全先驱Eliezer Yudkowsky提出“空袭未授权数据中心、用核武器威慑违规国家”的极端建议时，我们不得不警惕：为了“安全”之名，社会可能被迫接受“芯片监控个人计算机”“少数机构垄断技术”等反启蒙措施，而这些措施一旦落地，将像历史上的威权倾向一样，让数世纪积累的平等与机会成果付诸东流。事实上，文章早已给出应对AI风险的最优解：坚守启蒙时代的开放与信任原则，以开源模型为核心构建“全民参与”的安全体系——开源不仅能让全球顶尖的网络安全、生物武器、社会工程学者共同排查模型漏洞，避免闭源模型的“单点故障”风险，还能让普通人通过使用与反馈推动技术优化，这种模式在网络安全领域已被证实有效；同时，借鉴“规范工具应用而非限制工具开发”的普遍法规逻辑，将监管重点从“模型训练过程”转向“高风险应用场景”，比如要求AI自动化系统连接化学实验室、能源设施等敏感基础设施时进行披露与安全审计，对优化化合物毒性、病原体毒力的狭窄危险模型实施针对性管控。这种路径既能精准降低实际危害，又能为技术创新保留充足空间，正如斯坦福与普林斯顿顶尖AI和政策团队所言，开源基础模型能同时实现透明、创新、权力分配与最小化伤害四大目标。
我们必须清醒认识到，启蒙时代的成果并非天然稳固——在人类历史的大部分时间里，技术与权力都被少数精英垄断，而“让所有人共享技术红利”的理念，是无数人奋斗数世纪才换来的进步。当前全球部分地区滑向威权领导的趋势，已为我们敲响警钟：若因对AI风险的过度恐惧，放弃开放与平等的核心价值，选择“通过精英控制确保安全”的老路，最终只会让AI成为少数人掌控权力的工具，而非服务全体人类的光明。文章的最终呼吁，并非否定AI监管的必要性，而是倡导一种更谦逊、更理性的监管态度：政策制定者应摒弃“技术恐慌周期”中的非理性冲动，深入理解AI的技术本质，而非仅听少数企业的一面之词；应牢记希波克拉底“先不要伤害”的原则，避免因急于求成而推行可能摧毁社会根基的措施；更应相信人类社会的集体智慧——正如丽贝卡·索尔尼特所说，危机时刻往往是人民力量与积极社会变革的时刻。AI的未来，不应是“少数人握住宇宙价值的光芒”，而应是“所有人共同点亮技术进步的灯火”，唯有坚守这一信念，我们才能在拥抱AI的同时，守护住启蒙时代留给人类的珍贵光明。
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Chinese
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8k
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T4. Summarization & Synthesis
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T4.2 Query-Focused Summary
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Partial
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仅总结文中所述严格 AI 监管可能带来的负面后果（≤200 字），整理成一段摘要。先输出“[答案]”标识符，再输出摘要内容，不要输出任何其他内容。
输出示例：
[答案]
你的摘要
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仅总结文中所述严格 AI 监管可能带来的负面后果（≤200 字），整理成一段摘要。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出摘要内容。
输出示例：
<你的思考过程>
[答案]
你的摘要
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[
"严格AI监管易导致权力集中，让少数企业垄断AI技术；会抑制创新，阻碍开源发展与技术进步；监管僵化难适配AI快速迭代，难控模型扩散；还会逆转启蒙成果，陷入反启蒙状态；且少数人掌控技术反而可能增加AI滥用风险，加剧社会不稳定。",
"严格AI监管存在监管僵化问题，无法应对AI技术的快速变化；易造成权力集中，使少数企业独占核心AI资源；会抑制创新活力，限制技术多元探索；还会违背启蒙精神，引发反启蒙局面；少数企业垄断下，AI滥用风险上升，危害社会安全。",
"严格AI监管会导致权力集中，少数企业垄断AI技术主导权；进而抑制创新，阻碍开源运动与技术突破；监管僵化使其难适应AI发展节奏，难防模型泄露；还会逆转启蒙成果，陷入反启蒙困境；且少数人掌控易增加AI滥用可能，加剧社会风险。"
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Extreme
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0f7a57a63889813e624419b1ced51229409dc2bab75f886f7e76729643ac8272
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盗梦空间
作者
克里斯托弗·诺兰
拍摄剧本
淡入：
黎明。海浪拍岸。
海浪把一位大胡子男人抛到湿沙上，他躺在那里。
孩子的叫喊声让他抬起头来看到：一点点
金发男孩蹲着，背对着我们，看着潮水吞噬
一座沙堡。一个金发小女孩加入了男孩。
男人试图呼唤它们，但它们却跑开了，脸都不见了。他
崩壞。
一支步枪的枪管把胡子男卷到了地上，让他仰面朝天。
日本保安低头看着他，然后调出
海滩上，一位同事靠在一辆吉普车上。他们身后是
悬崖，悬崖之上有一座日本城堡。
内景：优雅的餐厅，日本城堡，后期
保安人员在等待一名服务员与一位老人交谈
日本男人坐在餐桌旁，背对着我们。
服务员
（日语）
他神志不清。但他要求
叫出你的名字。还有……
（对保安人员说）
给他看。
保安人员
（日语）
他什么都没带，只有这个……
他把一把手枪放在桌子上。老人继续吃饭。
保安
……还有这个。
保安人员将一个小锡锥放在
枪。老人停止进食。拿起蛋筒。
日本老年男子
（日语）
把他带过来。还有吃的。
内景，同样——片刻之后
老人看着大胡子狼吞虎咽地吃着食物。
他将手枪从桌子上滑向自己。
日本老年男子
（英语）
你是来杀我的吗？
大胡子男人抬头看了他一眼，然后又继续吃东西。
2.
这位日本老人用拇指和
食指。
日本老年男子
我知道这是什么。
他把它旋转到桌子上——它优雅地绕着
抛光乌木......陀螺。
日本老男人
我以前见过。很多很多
几年前...
这位日本老人目不转睛地盯着山顶。
日本老年男子
这是我在
半记得的梦……
进入优雅旋转的陀螺......
日本老年男子
一个拥有一些激进思想的男人
概念...
日本老人凝视着，回忆着……
科布（画外音）：
最有韧性的寄生虫是什么？
镜头切换：
内景，同样雅致的餐厅，夜晚（几年前）
说话的人叫科布，35岁，英俊潇洒，身材修长。一位年轻的
日本男子SAITO一边吃饭一边听。
科布
细菌？病毒？
科布用酒杯向他们的盛宴示意——
科布
肠道寄生虫？
斋藤的叉子停在半空中。科布咧嘴一笑。第三个人正在
桌子——亚瑟。他跳了进去救球——
阿瑟：
科布先生想说的是——
科布
一个主意。
斋藤好奇地看着科布。
3.
科布
适应力强，传染性强。一旦
一个想法在脑海中扎根
几乎不可能
根除。一个人可以掩盖它
忽略它 - 但它仍然留在那里。
斋藤
但是一定——忘记……？
科布
信息，是的。但是一个想法吗？
完全成形，明白吗？那
棍棒...
（轻拍额头）
就在那里，某处。
斋藤
像你这样的人会去偷东西吗？
亚瑟
是的。在梦境中，意识
防御力降低，你的
思想变得容易受到
偷窃。这叫做提取。
科布
但是，斋藤先生，我们可以训练你的
潜意识会保护自己免受
即使是最熟练的提取器。
斋藤
你怎么能这样做？
科布
因为我最熟练
提取器。我知道如何搜索
你的思想，找到你的秘密。我
知道诀窍，我可以教
将它们传递到你的潜意识中，
即使你睡着了，你的守卫
永不停机。
科布倾身向前，与斋藤对视。
科布
但如果我要帮助你，你
必须对我完全敞开心扉。
我需要知道如何走
你的想法比你的更好
妻子、你的分析师、任何人。
（向四周做手势）
如果这是一个梦，而你有一个
保险箱里满是秘密，我需要
知道保险箱里有什么。为此
要上班，你得让我进去。
4.
斋藤微微一笑。站了起来。保镖
打开双扇门，即可进入一场奢华的派对。
SAITO
先生们，祝您晚上愉快，我
考虑你的建议。
他们目送斋藤离开。亚瑟转头看向科布，一脸担忧——
亚瑟
他知道。
科布示意安静。一阵震颤开始，他们稳住自己
眼镜，科布看了一眼手表——秒针是
冰雪奇缘。
亚瑟：
上面发生什么事了？
我们——
镜头切换：
肮脏的浴室 - 白天（感觉时间不同了）
科布，睡着了，坐在椅子上，刚洗完澡
浴室。椅子放在柜子上——腿的底部
与浴缸边缘齐平。
一位满头大汗的40多岁男子注视着科布。这就是纳什。
远处传来一声爆炸的轰隆声。纳什走到
窗户，拉开窗帘。外面：一个混乱的发展世界
城市——街道上挤满了暴徒——打砸抢烧。
纳什检查了科布的左手腕：手表上方有胶带
两根细细的黄色管子插好了。纳什看了看科布的手表——
秒针爬行异常缓慢。
纳什沿着管子来到亚瑟的银公文包
脚：亚瑟在扶手椅上睡着了。管子连接着
公文包到了亚瑟的手腕上。
纳什沿着公文包里的另一组管子走到
他们从门缝底下穿过卧室。
门外，纳什看到斋藤在床上睡着了，管子通向
他的手腕。砰——一声更近的爆炸，我们——
镜头切换：
子弹头列车车厢内部 - 白天（感觉时间不同）
纳什睡着了。火车开动时，头靠在窗户上
在崎岖不平的轨道上颠簸
。5.
一位名叫TODASHI（18岁）的日本男子紧张地看着纳什。他
检查纳什的手腕：两根黄色的管子将纳什与三根
车厢里其他正在睡觉的人：科布、亚瑟、斋藤。
Todashi 看了看手表：秒针实时滴答作响。
另一列火车从对面驶来，发出巨大的
砰——Todashi 的目光飞向 Nash 熟睡的脸——
纳什随着火车的移动而抽搐，我们-
镜头切换至：
内景，肮脏的浴室 - 连续
又一次爆炸——纳什检查了正在睡觉的科布，然后我们——
镜头切换：
外景，屋顶露台，日本城堡，夜晚
一阵低沉的震动传遍城堡。科布和亚瑟
靠着木栏杆稳住自己。几块瓷砖和
砖石碎块纷纷落下。下方是一片黑色的海洋翻腾。其他
客人们在宽阔的露台上漫步。
ARTHUR
Saito 知道。他在跟我们玩。
科布
我可以在这里拿到。
信息在安全的地方-他
当我提到它时，我正看着它
秘密。
亚瑟点点头。然后他发现科布的肩膀上站着一个人。
亚瑟：
她在这里干什么，科布？
科布转身看到一位美丽的女人，衣着优雅，
凝视着大海。这是玛尔。科布注视着她。
科布
你回房间去吧。我会
处理好剩下的事情。
亚瑟
看你做的。我们来这里是为了
工作。
亚瑟摇摇头，与玛尔擦肩而过。她靠近了科布。
望着瀑布。风吹动着她的头发——
MAL
如果我跳下去，我能活下来吗？
6.
科布
干净利落地跳下去，也许吧。Mal，
你为什么在这里？
她转头看着他，觉得很有趣。
MAL
我以为你可能失踪了
我...
她微笑着。他倾身靠近，被迷住了。
科布：
是的。但我不能相信你
不再。
她抬头凝视着他，眼神充满诱惑。
MAL
那又怎样？
内部卧室套房，日本城堡 - 片刻之后
玛尔一边喝着香槟，一边研究弗朗西斯的一幅画
熏肉。
MAL
看起来很符合亚瑟的品味。
科布透过窗户看着守卫
在地面上巡逻城堡。
科布
事实上，斋藤先生偏爱
战后英国画家。
他转向马尔，戴上了一副黑色皮手套。
科布
你能坐下吗？
玛尔优雅地坐到一张皮革靠背椅上。
科布走近，拿出一根黑绳，跪下
在玛尔的脚边。她低头看着他。
MAL
告诉我……
科布将绳子绑在椅子腿上。
MAL
孩子们想我吗？
科布停顿了一下。他戴着手套的手指轻轻触碰了玛尔的
脚踝。他抬头看着她。
7.
科布
你无法想象。
马尔别过头去，感到很不舒服。科布站起身，让
当他回到窗边时，绳子被挣脱了。
MAL
你在干什么？
科布把绳子扔出去——
科布
出去呼吸一下新鲜空气。
他拉了一下绳子，试探着。椅子的重量，加上
马尔在上面，持有。
科布：
请坐下。
说完，他就跳了起来。马尔打量着那扇打开的窗户。
外部。日本城堡墙 - 连续
科布顺着墙速降，飞快地穿过窗户。他停在
一个特定的。拿出一把玻璃刀——
突然他开始掉落-
内卧室套房，日式城堡 - 连续
空椅子在地板上滑动——楔在
窗户-
外部。日本城堡墙 - 连续
科布猛地停了下来，距离地面15英尺。他抬头看着卧室
窗户。摇摇头。开始往回爬。
内景：厨房，日本城堡 - 片刻之后
科布悄无声息地从窗户落入黑暗之中
厨房。他从腰带上拔出一把手枪，拧上消音器
当他滑过房间时，他把桶放到了桶上。
室内大厅，日本城堡-连续
科布穿过阴影，走向驻扎在
大楼梯的顶部……
警卫听到了一些声音，转身看向阴影处……
科布从阴影中闪现，举起消音手枪，瞄准——
8.
PHHT-头部中枪-警卫开始倒下...但科布
已经在那里接住了他，跪着滑行，放低
警卫默默地躺到地板上。
室内餐厅，日本城堡 - 连续
科布走向一幅画。他熟练地把它取了下来
从墙上取下，露出一个保险箱。科布转动拨盘，拉出
打开它，从里面拿出一个信封，塞进他的
腰带上已经有一个相同的信封。
灯亮了。科布僵住了。
斋藤（画外）：
转过身。
科布转过身。房间尽头是斋藤。他旁边是
玛尔手里拿着枪。她对科布微笑。
MAL
枪，Dom。
科布一动不动。马尔示意他出去——两名警卫拖着他
亚瑟走进房间。马尔用枪指着他的头。
MAL
请。
科布慢慢地把枪放在长桌的那一头，然后
沿着抛光的乌木滑动。它停在了一半
沿着桌子的长度。
斋藤：
现在是信封，科布先生。
科布把手伸进腰带，取出其中一条
信封，沿着桌子滑下去。后退几步，双手
提出。
科布
她告诉你了吗，或者你知道吗
一直？
斋藤
：你是来偷我的东西的吗？
（打）
或者我们实际上已经睡着了？
亚瑟给了科布一个“我早就告诉过你了”的眼神。
SAITO
我想知道你的雇主是谁
是。
马尔举起枪，对准了亚瑟的太阳穴。
9.
科布
没有必要威胁他
梦。
MAL
这取决于你
威胁。杀了他只会
把他叫醒……但是疼痛？疼痛在
心灵……
玛尔放下枪，朝亚瑟的腿开了一枪——亚瑟
滴落，尖叫——马尔冷冷地看着科布。
MAL
从装饰来看，我们是在
你心里明白吗，亚瑟？
科布注视着亚瑟的痛苦。玛尔瞄准了亚瑟的另一条腿……
科布跳到桌子上，沿着抛光的
表面——他抓起枪——射中亚瑟的两眼之间——
Arthur 倒下了——房间开始剧烈颤抖
地震-科布·斯普林斯冲向门-亚瑟的眼睛盯着
天花板，死亡，我们-
镜头切换：
内景，肮脏的浴室，白天
亚瑟在扶手椅上醒来时，他睁开了眼睛——他抓住了
手腕上的管子，猛地把它们拔出来——
纳什
你在干什么？！太快了——
当亚瑟挣扎着时，液体从管子里喷涌而出
浴室地板上有银色的盒子。
亚瑟：
我知道！我们必须重新连接
在他们醒来之前循环播放！
亚瑟抓起箱子，推开门，来到
卧室——顺着管子走到与斋藤手腕相接的地方——
斋藤躺在床上睡着了。斋藤动了一下，我们——
镜头切换：
内景，日本城堡走廊，夜晚
科布踉跄地走向楼梯，他周围
建造雄鹿和重物-
10.
室内餐厅，日本城堡 - 连续
Saito 和卫兵们惊慌失措。Mal 平静地穿过
毁灭，拿起信封，转向斋藤。
MAL
他已经很接近了。非常接近了。
外部。日本城堡主楼梯 - 连续
科布跑上楼梯，拿出第二封信封——
室内餐厅，日本城堡 - 连续
斋藤撕开信封，抽出几张纸。他
惊慌失措地看着马尔。他转向卫兵——
斋藤
阻止他！
马尔困惑地看着这些纸：它们是空白的。
马尔觉得好笑，笑了。
内部。日本城堡主楼梯 - 连续
当科布跑上楼梯时，他读了打字的纸
从他的信封里，我们-
镜头切换：
内景，破旧的酒店房间，白天
亚瑟打开了银盒子：一个由管子组成的复杂装置，
注射器，剂量控制器。亚瑟的手飞快地穿过
一边看着斋藤激动的脸，一边看着机器的控制。
亚瑟
我撑不住了！醒醒
科布！
室内肮脏的浴室 - 持续
纳什转向科布。他举起手，狠狠地打了他一下。
脸，我们-
镜头切换：
内景，日本城堡主楼梯，夜晚
科布被重重地摔倒在地……
11.
内景，日本城堡，餐厅，夜晚
Saito 上方的天花板出现裂缝——他抬头望去，就像一吨重的石头
洪水冲垮了他，我们——
镜头切换：
内景，破旧的酒店房间，白天
斋藤的眼睛闪烁着睁开。醒了。
室内肮脏的浴室 - 持续
纳什再次击打科布——
纳什
他不会醒来！
破旧的酒店房间-连续
亚瑟蹲在斋藤身边，连接第二根管道。
亚瑟
扣篮他！
咔哒一声：亚瑟抬头发现斋藤被枪指着头
并将手指放在嘴唇上，示意安静……
室内肮脏的浴室 - 持续
纳什把手放在科布的额头上，推了他一下
向后——当科布开始在椅子上向后倒时，我们
都是慢动作，我们-
镜头切换：
内景，日本城堡主楼梯，夜晚
科布全速站起来，努力读
最后一张纸。他茫然地盯着它——子弹击中
在他周围，卫兵们冲上楼梯，我们——
镜头切换：
内景，肮脏的浴室，白天
科布在慢动作中击中了水头，因为他
破产了——而我们——
镜头切换：
内景，日本城堡主楼梯，夜晚
科布从报纸上抬起头，水从里面喷涌而出
所有的窗户都裂开了，水淹没了整个大厅
——12.
科布被水淹没，水同时向四面八方旋转——他
往深处沉，还是浮到水面，我们说不准……
他冲破水面，在浴缸里大口喘气
——内景：肮脏的浴室——白天
科布醒了，大口喘着气，辨别方向。
Saito 冲进房间，把 Nash 打倒在地——Cobb
从浴缸里跳出来，浑身湿透地飞过
把 Saito 猛击到门上——枪掉下来了，
Cobb 的拳头击中了 Saito 的下巴，然后开始搏斗
超过。
内景：破旧的酒店房间 - 片刻之后
科布浑身湿透，但镇定自若，他坐下来，把斋藤的枪放在他的
手。纳什把斋藤的胳膊放在身后。外面，声音
骚乱的声音越来越大。
科布
你有备而来。
SAITO
我带枪是因为连我的
安全主管知道这一点
公寓。你是怎么找到的？
亚瑟站在窗边，看着日益恶化的暴力事件。
科布
对于你这种地位的人来说很难
保持爱巢完全秘密……
尤其是当有一个已婚的人
涉事女子。
斋藤
她永远不会……
科布
但我们还是到了这里。
斋藤沉默不语。
科布
陷入了困境。
斋藤
你得到了你想要的东西。
科布
不完全是。
那里没有信息，是吗？
斋藤先生？
13.
亚瑟担心地看着科布。
亚瑟：
他们越来越近了，科布。
镜头切换：
子弹头列车车厢内景，白天
Todashi 把一副耳机戴在 Nash 的耳朵上，然后
拿出一个 MP3 播放器，我们-
镜头切换：
内景，破旧的酒店房间，白天
斋藤的眼睛盯着地板。
科布
你隐瞒了一些事情，因为你
知道我们在做什么……
科布用枪管抬起斋藤的下巴。
科布
那么为什么让我们进去呢？
斋藤微笑着，带着一丝挑衅。剧烈的噪音在楼梯间回荡……
SAITO
一次试镜。
COBB
试镜是为了什么？
斋藤：
没关系，你失败了。
科布
我提取了你所有的信息
在那里。
SAITO
但你的欺骗很容易被
显而易见。
我们——
镜头切换：
子弹头列车车厢内景，白天
Todashi 打开了银色公文包，露出了复杂的
注射器和控制器的机制-四个控制器
显示倒计时。14
.
Todashi 等待第一个倒计时达到“30”，然后 HITS
在 MP3 播放器上播放-他看着纳什熟睡的脸，
提高音量...
通过纳什的耳机：伊迪丝·琵雅芙的开场曲
“不，我不后悔”，而我们——
镜头切换：
内景，破旧的酒店房间，白天
在遥远的背景中，奇怪的大型低端音乐
开始，听起来像远处的喇叭声……
斋藤
那么，丢下我走吧。
科布
你知道雇佣
我们不会接受失败。我们不会
过去两天...
远处缓慢的音乐越来越响亮，
楼上传来一阵喊叫声。亚瑟看了看表，
缓慢的秒针滴答声与磅礴的音乐一起标记着时间。
亚瑟
加油，科布。
科布：
所以现在我必须按照老办法做——
老式的方式
科布抓住斋藤，把他的头按在地上，用枪抵着
在他的脸颊上。斋藤看着科布的眼睛——知道他会
扣动扳机。斋藤眨了眨眼，羞愧地移开视线——
当他注意到某事时。并开始大笑。
SAITO
我一直讨厌这块地毯。
科布的目光扫过地毯，又转回来。
SAITO
它已经磨损了，
独特的方式...
科布抬头看着纳什，纳什耸耸肩，茫然无措。
SAITO
但绝对是羊毛制成的。
现在我正躺在涤纶上。
15.
科布怒视着纳什，然后我们——
镜头切换：
子弹头列车车厢内景，白天
Todashi 看着第一个倒计时归零——他
抬头看着亚瑟，搅拌，我们-
镜头切换至：
内景，破旧的酒店房间，白天
斋藤从地毯上转过身，抬头看着科布。
SAITO
这意味着我没有说谎
地毯，在我的公寓里……
（微笑）
你没有辜负你的声誉，
科布先生……我还在做梦。
科布看向亚瑟，但亚瑟已经消失了，我们——
镜头切换：
子弹头列车车厢内景，白天
亚瑟的眼睛猛地睁开，他醒了。他撕扯着自己的管子。
TODASHI
怎么样了？
亚瑟
不好。
亚瑟检查了剩下的三个倒计时，我们——
镜头切换：
内景，破旧的酒店房间，白天
斋藤站起身，钦佩地看着科布。
SAITO
梦中之梦-我
印象深刻。
科布放下枪。他彻底失败了。他看了一眼手表。
音乐回荡，暴徒们猛敲大门，我们——
镜头切换至：
16
. 子弹头列车车厢内部 白天
亚瑟一边观察着，一边把管子缩回盒子里
下一个倒计时归零，我们——
镜头切换：
内景，破旧的酒店房间，白天
又是一声巨响——斋藤现在信心满满地走近
科布。纳什在斋藤后面。
SAITO
但在我的梦里，我们真的应该
按照我的规则行事...
纳什
：啊，是的，但是你看，斋藤先生——
Saito 转向 Nash-
科布：
我们不在你的梦里——
Saito 转身面对 Cobb，但 Cobb 已经消失了——
纳什
我们在我的里面。
Saito 旋转回到 Nash 身边——门从铰链上脱落，
暴徒们涌入房间，围攻纳什……但纳什已经
不见了。音乐戛然而止。斋藤和暴徒们站在那里
寂静，光线渐渐暗淡……而我们——
镜头切换：
子弹头列车车厢内景，白天
纳什睁开眼睛，醒了。
亚瑟（画外音）：
混蛋！
纳什眨了眨眼。亚瑟冲到他面前，怒不可遏。
亚瑟
你怎么能得到地毯
错误的？！
纳什
这不是我的错！
ARTHUR
你是建筑师-
17.
NASH
我不知道他会擦
他的脸颊就在那上面！
科布将亚瑟从纳什身边拉开。
科布：
我们走吧。
亚瑟
那你——那到底是怎么回事？
科布
我已经控制住了局面。
亚瑟
我不想看到失控——
科布
没有时间做这些——我
在京都下车。
亚瑟
为什么？他又不会搜查每一个
隔间。
科布：
我受不了火车。
亚瑟走向公文包，转动拨盘。
亚瑟
我可以让他沉睡一分钟——
亚瑟按下按钮——活塞被压下。科布撕掉了磁带
从Saito的手腕上，卷起他的管子。Arthur猛击
银色的盒子关上了。Todashi拉开门——
科布
人人为己。
亚瑟和纳什离开，朝着不同的方向走去
走廊里。科布递给东石一卷厚厚的现金，看着
斋藤动了一下。科布走开了。
外部：日本乡村 - 连续
子弹头列车在郁郁葱葱的景观中飞驰。
内部。子弹列车车厢 - 连续
斋藤轻轻地醒了过来。环顾车厢，空荡荡的，但
为 Todashi 看漫画。Saito 低头看着他的手腕。
看到一个小痕迹。擦了擦。笑了。
18.
东京外景 - 黄昏
飞越广阔的城市，向高楼飞去。一架直升机
重重地撞进画面，朝着屋顶上的垫子飞去。
东京国际公寓 - 连续
科布坐着，等着。他焦躁地看了看表。他拉起
手枪。检查是否已装弹。将其放在前面的桌子上
他拿出一个锡制陀螺，在
桌子……他专心致志地研究陀螺的旋转……当他凝视着，
货运列车的声音越来越大——顶部
摇晃、倾斜——火车停了下来。
电话铃响了——科布抓住了它——
孩子们的声音（通过电话）
嗨，爸爸！嗨，爸爸。
科布：
嘿，伙计们。你们好吗？
孩子们的声音（通过电话）
很好。我想是的。
科布闭上眼睛，试图想象他的孩子们：插入
镜头切换：科布的记忆——一个金发小男孩（3），背对着我们，
蹲在花园里，看着草丛中的某样东西......
科布：
谁没事？是詹姆斯吗？
詹姆斯（通过电话）
是的。你什么时候回家？
科布：
我不能。暂时不能。
插入镜头：一位金发小女孩（5），同样来自《FACE UNSEEN》
詹姆斯蹲在他旁边……
詹姆斯（通过电话）
为什么？
科布
嗯，詹姆斯，就像我告诉你的——我
因为我在工作...
小女孩（通过电话）
奶奶说你永远不会回来
后退。
科布停顿了一下。深吸一口气。插入镜头：詹姆斯和菲利帕，
看不见的脸，从草丛中抬起头，回应
有人打电话——他们穿过花园逃离我们了……
19.
科布
菲利帕，你能告诉奶奶
拿起电话-
菲利帕（通过电话）
她摇着头。
科布紧张起来，好像要砸碎手机一样。
科布
好吧，我们只能希望
奶奶错了，不会
我们？
詹姆斯
（通过电话）
爸爸？
科布
是吗？
詹姆斯（通过电话）
妈妈和你在一起吗？
科布看起来就像刚被打了一拳——插入剪辑：科布的
记忆——MAL，风吹动着她的头发，平静地微笑……
科布
：不，不，我们讨论过这个，
詹姆斯。妈妈走了。
詹姆斯（通过电话）
在哪里？
奶奶的声音（电话里）
该走了，孩子们。说再见——
科布：
我会送一些礼物给爷爷，
好吗？只要表现好就好——
科布盯着没电的电话。然后喝光了他的酒——敲门声
在门口。科布抓住了顶部，枪——移到门口——
破解它：亚瑟。
亚瑟：
我们的车在屋顶上。
科布点点头。他去拿自己的包。亚瑟注视着。
亚瑟·
科布……你还好吗？
科布抬起头。
20.
科布
是啊，为什么？
亚瑟
在梦里……马尔出现了
就像那样...
科布：
是的。我很遗憾你的腿受伤了。
亚瑟：
情况越来越糟了，不是吗？
科布
你只会得到一次道歉，
亚瑟，纳什在哪儿？
亚瑟
还没出现。想等一下吗？
科布
（摇头）
我们应该送斋藤的
Cobol Engineering 的扩张计划
两个小时前。现在他们知道我们
失败了。该消失了。
内部走廊 - 连续
科布和亚瑟朝电梯走去。
亚瑟
你要去哪里？
科布
布宜诺斯艾利斯。我可以在那里躲起来。
也许在事情发生时嗅出一份工作
安静点。你呢？
亚瑟
在美国。
科布
（若有所思地）
当然。代我问候。
亚瑟看着科布，点点头，表示同情。
外景，屋顶直升机停机坪，夜晚
直升机停在原地，旋翼旋转。科布和亚瑟
到达门口，门滑开了。科布走上前去
皮革内饰。他僵住了。
21.
内部。直升机在停机坪上 - 连续
纳什被打得血肉模糊，坐在远处，靠在
酒。他旁边是斋藤。他礼貌地向科布点点头。
斋藤
他出卖了你。想到
我和他的生命讨价还价......
斋藤的保镖向科布提供了一把枪。
SAITO
所以我给你满意。
科布：
我处理事情的方式不是这样的。
SAITO
您会再次与他合作吗？
科布摇了摇头。斋藤的保镖把纳什从
直升机。斋藤示意科布和亚瑟坐下。直升机
站起来。科布看着纳什被拖着穿过护栏。
科布
你要对他做什么？
斋藤
没什么。但我不能代表你
来自 Cobol Engineering 的朋友。
斋藤望着窗外悄然掠过的城市。
科布
你想从我们这里得到什么？
SAITO
创立。
亚瑟扬起了眉毛。科布面无表情。
SAITO
可以吗？
阿瑟：
当然不是。
SAITO
如果你能从
某人的思想，为什么你不能种植
那里有一个吗？
亚瑟
好的，我来提个主意：我
对你说，“别想
大象。”
（更多）
22.
亚瑟（继续）
（斋藤点头）
你在想什么？
斋藤
大象。
亚瑟：
对。但这不是你的主意。
因为你知道我把它给了你。
斋藤
你可以下意识地种植它-
亚瑟
主体的思想总是可以追踪
这个想法的起源。没错
灵感是不可能伪造的。
科布：
不，不是这样的。
SAITO
你能做到吗？
科布：
我不会这么做的。
SAITO
作为交换，我会给你
有人付钱让你窃取的信息。
科布
你是在给我选择吗？因为
我可以找到自己的方法来解决这个问题
使用 Cobol 的东西。
斋藤
那么你确实有选择。
科布
我选择离开。
外景，机场，片刻之后
直升机降落在一架私人飞机旁边。
内部直升机 - 连续
斋藤指着飞机。
斋藤
告诉船员你想去哪里，
他们将在途中提交该计划。
科布和亚瑟对视了一眼，然后朝门口走去。
23.
斋藤
科布先生……？还有一个
我能给你的东西。
（科布停了下来）
你想怎么回家？
美国。为了你的孩子们。
科布转身面对斋藤。
科布：
你解决不了这个问题。没人能解决。
SAITO
就像盗梦空间一样。
科布思考了一下。亚瑟摸了摸他的胳膊。
阿瑟·
科布，来吧——
科布
这个想法有多复杂？
斋藤
很简单。
科布
当你必须
将其植入他人心中。
SAITO
我的主要竞争对手是一位老人
身体不好。他的儿子很快就会
继承公司的控制权。
我需要他决定分手
他父亲的帝国。反对他的
自己的利益。
阿瑟·
科布，我们应该离开
这。
科布：
如果我能做到。如果我能做到
它...我怎么知道你可以
递送？
斋藤
你不会。但我可以。你也一样
想要冒险一试，或者
成为一个老人，充满
后悔吗，孤独地等着死去？
科布看着斋藤，勉强点点头。
24.
斋藤：
召集你的队伍，科布先生。
更明智地选择你的员工。
内部私人飞机 - 稍后
科布向后靠去。亚瑟生气地挑着沙拉。
亚瑟，
我知道你有多想回家——
科布
（尖锐）
不，你不知道。
亚瑟：
但是这不可能做到。
科布
可以。你只需要深入一点
足够的。
亚瑟
你不知道！—
科布：
我以前做过。
亚瑟大吃一惊。科布转身看向窗外。
阿瑟
有用吗？
科布
（安静）
是的。
亚瑟
你对谁做了这件事？
科布看着亚瑟。闭嘴了。亚瑟耸耸肩。
亚瑟：
那么我们为什么要去巴黎呢？
科布
我们需要一个新的
建筑师。
内景：大厅，科尔·德·建筑学院 - 早晨
科布提着购物袋，望向演讲厅：不
学生们，只有一位衣着凌乱、弯腰驼背地处理文件工作的教授。
25.
内景，演讲厅 - 连续
科布（画外音）：
你从来都不喜欢你的办公室。
迈尔斯教授眯起眼睛，抬起头，认出了科布。
迈尔斯的
扫帚里没有思考的空间
橱柜。
科布走过空荡荡的木排。
迈尔斯
你在这里安全吗？
法国与美国之间的 科布
引渡
美国是一个官僚主义的噩梦。
迈尔斯：
我认为他们会找到办法
它适用于你的情况。
科布把购物袋递给迈尔斯。
科布
你能把这些拿回去
孩子们？
MILES
需要的不仅仅是偶尔
毛绒玩具来说服那些
孩子们他们还有父亲。
科布：
我知道。我想你可以跟
玛丽关于带他们
假期。在某个地方我可以遇见——
迈尔斯
她为什么要听我的话？
科布
你们结婚已经二十年了。
迈尔斯
她责怪我，就像责怪你一样。
科布
难道她不明白我的孩子们
需要我嗎？
26.
迈尔斯
是的，她会。我们都一样。回去
面对现实吧，Dom。解释一下
马尔做了什么。
科布
现实点，史蒂芬。他们永远不会
明白——他们会把我关起来
把钥匙扔掉。或者更糟。
MILES
你认为你现在正在做的事情是
对您的案子有帮助吗？
COBB
律师不为自己支付费用。
这就是我所拥有的。这就是
你教了我。
迈尔斯：
我从没教过你当小偷。
科布
不，你教我如何驾驭其他
人们的思想。但之后
发生在 Mal 身上的事情
对我来说有很多合法的方式
使用该技能。
迈尔斯看着科布。
迈尔斯
你为什么来这里，多姆？
科布稍微动了一下。
科布：
我找到了回家的路。一份工作。
有权势的人。如果我成功了，
我可以回家了。但是我
需要帮助。
迈尔斯意识到了一些事情。
迈尔斯，
我的天哪。你来这里是为了腐蚀一个人
我最聪明、最好的。
科布
如果你有一个足够优秀的人，
你必须让他们决定
他们自己。你知道我
祭品-
迈尔斯
钱？
27.
科布
不，不仅仅是钱：还有
建造大教堂、整座城市——
从未存在过的事物，
不可能存在的东西
现实世界……
MILES
每个人都有梦想，Cobb。建筑师
应该实现这些梦想
真实的。
科布：
你以前可不是这么说的。
你告诉我在现实世界中
我会修建阁楼改造
和加油站。你说如果
我掌握了梦想分享
创造和
向人们展示我的作品。你
告诉我这会让我自由。
迈尔斯悲伤地看着科布。
迈尔斯
：对不起，我错了。
科布
不，你不是。你的幻觉是
纯粹创造力的愿景。这是
我们把它带到了错误的地方。
迈尔斯
现在你想让我让某人
否则就跟随你进入幻想。
科布
他们不会真的来
工作，他们只会设计关卡
并将它们传授给做梦的人。
MILES
自己设计。
科布·
马尔不让我这么做。
迈尔斯震惊地看着科布。
迈尔斯，
回到现实吧，多姆。求你了。
科布
你想知道什么是真实的，
史蒂芬？你的孙子们在等着呢
盼望他们的父亲回来。
（更多）
28.
科布（继续）
这份工作——这最后一份工作——是我如何
那里。
迈尔斯低下头，摆弄着他的文件。
科布
如果
还有其他方法吗？我可以
家。但我需要一个建筑师
和我一样好。
迈尔斯看着科布的眼睛。做出了决定。
迈尔斯，
我找到更好的人了。
内部走廊 - 稍后
当学生们鱼贯走出教室时，迈尔斯和科布站在一旁。
迈尔斯·
阿里阿德涅……
一位拿着书的年轻女子转过身来。她是阿里阿德涅。
迈尔斯：
我想让你见见科布先生。
她迅速地打量着他，并伸出了手。
阿丽亚德娜
很高兴见到你。
迈尔斯
，科布先生，如果你有时间的话
有工作机会可以讨论
你。
ARIADNE
工作安排？
科布
（微笑
不完全是。
外景：屋顶，科尔·德·建筑学院 - 片刻之后
阿里阿德涅倚着矮墙，俯瞰着巴黎。她
打开三明治，看着科布拿出一本 GRAPH
纸和笔。他递给她。她咬了一口三明治。
科布
测试。29
.
阿丽德妮
（嘴里满是食物）
你不打算告诉我吗
任何事物？
科布
在我描述这份工作之前，我已经
知道你可以做到。
阿里亚德妮
为什么？
科布：
严格来说，这并不合法。
阿里阿德涅扬起了眉毛。
科布
你有两分钟的时间来画一个迷宫
我花了一分钟才解决这个问题。
阿里阿德涅拿起了便笺簿和笔。科布看了看手表。
科布
出发。
她开始在网格上画线，构建迷宫。
科布
停下。
阿丽亚德妮把便笺簿和笔递给科布。他看了一眼便笺簿，
然后，看着她的眼睛，找到答案。她
大吃一惊。科布撕下纸张，把便笺簿还给别人。
又是科布
。
她画着直线，全神贯注……
科布
停下。
她把记事本递给科布，有点高兴。科布解决了
和之前一样，她立刻就困惑了。她的笑容消失了。
科布：
你必须——
她抓起便笺簿，沮丧不已……但这次她把它翻了过来
结束并开始在背面的空白纸板上绘画。
科布惊讶地看着。他看到她
画圆圈，创建一个基于同心环的迷宫。
阿丽亚德妮不服气地把便笺簿递还给他。科布拿起笔，
开始迷宫。这次他卡住了。点点头。
30.
科布
（走迷宫）
更像它。
外景，巴黎，狭窄的街道，白天
亚瑟在仓库门口停了下来，查阅了一张纸。
内部研讨会 - 持续
一座巨大的、布满灰尘的仓库。滑动门嘎吱一声打开了。
亚瑟走了进来，赞许地环顾四周。
内部相同 - 稍后
亚瑟把草坪椅拖到房间中央。他
支起一张桌子。摆出几个银色的箱子，打开包装
他们，布置管道，机制......
外景，巴黎咖啡馆，白天
科布和阿丽亚德妮坐在户外的桌子旁。
科布
他们说我们只用了一小部分
我们大脑的真正潜力……
但他们谈论的是什么时候
我们醒着。当我们做梦的时候，
心灵创造奇迹。
阿里亚德涅
比如？
科布
你如何想象一座建筑？你
有意识地创造每一个方面，
分阶段思考……但是
有时，当你的想象力
苍蝇-
阿里亚德妮：
我正在发现它。
科布：
没错。真正的灵感。
科布倾身在纸桌布上画画。
科布
在梦中你的思绪不断
是吗……
科布画了一个由两支箭头组成的圆圈。
31.
COBB
它创造并感知一个世界
同时。如此之好，以至于你
感觉不到你的大脑在做
创造。这就是为什么我们可以
电路过程...
阿里亚德妮
怎么办？
科布
通过接管创作部分。
科布在两支箭之间画了一条直线。
科布
这就是你进来的地方。你
构建梦想的世界。我们
把这个主题带入那个梦境，
并让他用他的
潜意识
阿里亚德涅
但你是想骗他
梦境其实就是现实生活吗？
科布
（点头）
当我们在那里时，我们不想
让他意识到自己在做梦。
ARIADNE
我怎么才能得到足够的细节
让他相信这是真的吗？
COBB
当我们身处其中时，我们的梦想就会成真
他们。只有当我们醒来时，我们
意识到事情很奇怪，
阿里阿德涅向他们周围示意——
阿里亚德妮
但现实生活的所有纹理——
石头、织物、汽车……
人们……你的思想无法创造
这一切。
科布
是的。每次你做梦的时候。让
我问你一个问题：你从来没有
记住你的开始
梦里，你呢？你只是出现在
正在发生的事情的中间。
32.
我猜是 阿里阿德涅
。
科布：
那么……我们怎么会落得如此下场？
餐厅？
阿里亚德涅
我们来自……
阿丽亚德涅困惑不已，声音渐渐低了下去。
科布：
我们怎么会到这里？我们在哪儿？
阿丽亚德妮思考着，却想不起来了。一阵微弱的隆隆声响起。
阿里亚德妮：
哦天哪。我们在做梦。
科布点点头。轰隆声越来越大。
科布
保持冷静。我们其实是在睡觉。
研讨会。这是你的第一次
共同梦想的课程，
记住？
阿丽亚德妮环顾四周，头晕目眩。科布戴上牙套——
餐厅剧烈碎裂、爆炸、内爆
家具碎片、墙壁、四处飞舞的人群——阿里阿德涅
惊叹于他们周围混乱的景象——科布·希尔德斯
头撞在废墟上。她看见他——
阿里亚德涅
（大声喊叫）
如果这只是一场梦，你为什么
覆盖你的-
阿里阿德涅被巨大的爆炸从座位上掀翻，我们——
镜头切换至：
内景，工作坊 - 白天
阿里阿德涅猛地惊醒。
科布（画外）：
因为它从来不只是一个梦。
阿丽雅德妮转向科布。他们俩都坐在
草坪椅。亚瑟负责照看它们。
33.
COBB
满脸玻璃的伤就像
地狱，不是吗？当我们在
它，它是真实的。
亚瑟
这就是为什么军队发展
梦想分享-培训项目
士兵可以在那里勒死、刺死
然后互相射击，然后醒来。
ARIADNE
建筑师是如何参与其中的？
科布
必须有人设计这些梦。
（对亚瑟说）
我们再过五分钟——
阿里阿德涅
我们只睡了五分钟
分钟？我们聊了一个小时
至少...
科布
当你做梦时，你的大脑会运作
更快，所以时间似乎过去了
更慢。
亚瑟：
现实世界的五分钟
给你一个小时的梦境时间。
科布
让我们看看你能带来多少麻烦
因为五分钟内。
我们——
镜头切换：
外景，同一条巴黎街道，白天
阿丽雅德妮和科布一起走在拥挤的街道上。科布看着
在街上、在咖啡馆里，赞许地走着。
科布：
很好。你还有咖啡馆，
布局……你忘了书店
但其他一切都
这里。
阿里阿德涅看着路人。
阿里亚德妮
这些人是谁？
34.
科布
他们是我的
潜意识。
阿里亚德涅
你的吗？
科布
当然，你是梦想家，我是
主题。我的潜意识里
你的世界。这是我们获得
观察一个人的想法——他的思想
创造人民，这样我们就可以
实际上是在和他的潜意识对话。
阿里亚德妮：
你还能怎么做呢？
COBB
建筑事务所。建造一个银行金库或
监狱，安全的地方，
受试者的头脑会充满
他试图保护的信息。
阿里亚德涅：
然后你就闯进去把它偷走了。
科布：
没错。
阿里阿德涅对这条街道的细节感到惊奇。
阿里亚德妮
我喜欢事物的具体感——
（跺脚）
真正的重量，你知道吗？我以为
梦想空间就是
视觉，但感觉
事情。问题是，会发生什么
当你开始搞乱
物理...
她把注意力集中在街道上。街道开始弯曲
一半——两边的建筑物向内折叠，直到形成
城市立方体内部，重力作用
在每个平面上独立。阿里阿德涅抬头（或低头）看着
对面城市地面上的人们。科布看着她
激动。
阿里亚德妮
这很重要，不是吗？
科布
（安静）
是的。
35.
她们走着走着，阿丽亚德娜越来越注意到
投影盯着她。
阿里亚德涅
他们为什么看着我？
科布
因为你正在改变一切。我的
潜意识里感觉到有人
另一件事就是创造世界。
你改变的事情越多，速度就越快
投影会聚集到你身上。
ARIADNE
汇聚？
科布
他们感受到了
梦想家，以及攻击型的白色
对抗感染的血细胞。
阿里亚德涅：
他们要攻击我们吗？
科布
事实上，只有你。
他们沿着街道走到另一条街的交汇处
重力平面。他们踏上了不同的平面
沿着街道走向一条河。阿里阿德涅
走近，石板路上出现了台阶，她带领
科布爬上一个小码头。当她集中注意力时，柱子
出现后，一座桥开始从码头伸出。
他们踏上树，看着它不断长大。科布对此印象深刻。
科布
这很美……但如果你继续
改变事物……
过桥的人们盯着阿里阿德涅。其中有几个人
当他们经过时撞一下她的肩膀。
ARIADNE
心灵告诉你的潜意识
别紧张？
科布：
这就是为什么它被称为潜意识。
我无法控制它。
这座桥如今横跨塞纳河。科布对此感到惊叹。
COBB
拱形石板、铁柱……
它是...
36.
科布停顿了一下，思考着，回忆着。
插入镜头：马尔，头发飘扬，转向科布，微笑着，
笑着。他也笑了。他们在同一座桥上。
科布：
我知道这座桥。这个地方
真实的-
（严肃的）
你没想到，你
记住了……
阿里亚德涅
（点头）
我每天都要经过这里
这所学院。
科布
永远不要重建你想象中的地方
记忆。总是想象新的地方。
阿里亚德涅
你必须从你所知道的东西中汲取灵感——
科布
（紧张）
使用零件——路灯，
电话亭是一种砖砌建筑
整个区域。
周围几个人都ECHO柯布的态度……
阿里亚德涅
为什么不呢？
科布
因为建立梦想
自己的记忆是最可靠的方法
失去对现实的把握，
什么是梦想。
阿丽亚德妮
你遇到过这种情况吗？
科布什么也没说。他站在那里，盯着阿丽亚德涅。
她周围的人都停下来，充满敌意地看着她。
科布：
听着，这不是关于我的——
科布伸手抓住阿丽亚德妮的手臂，把她转向自己——
ARIADNE
这就是你需要我建造的原因吗
你的梦想？
37.
一名路人抓住了阿里阿德涅的肩膀——
科布
别管她——
更多的人加入进来，拉着阿里阿德涅，抱着她
张开双臂——科布把人们拉开——人群把他推开——
科布看到有人故意穿过人群
走向无助的阿里阿德涅——那是玛尔。她走近
均匀的步伐——阿里阿德涅不安地盯着她。
阿里亚德妮：
叫醒我，科布。
玛尔一边走，一边掏出一把大刀——
科布
马尔，不！
阿丽亚德妮：
叫醒我！
玛尔拿着刀向她刺来，阿里阿德涅尖叫起来，我们——
切换到：
内部工作坊日
阿丽亚德妮醒了，呼吸急促。亚瑟走向她——
阿瑟：
没关系。
阿里亚德妮
我为什么醒不过来？
亚瑟
从内心醒来的唯一方法
梦想就是死亡。
坐在对面草坪椅上的科布拔出了自己的管子。
科布：
她需要一个图腾。
阿里亚德妮
什么？
亚瑟
某种个人偶像。一个小
你可以随时拥有的对象
和你在一起，没有其他人
知道，
科布站起身，阿丽雅德妮怒视着他。他
前往浴室。
38.
阿丽亚德涅
这是你的潜意识
明白了，科布。
（在他身后喊道）
她真是一个迷人的女人！
亚瑟：
听起来你已经见过科布夫人了。
阿里亚德妮
（惊讶）
她是他的妻子？
亚瑟点点头，拔掉了阿里阿德涅的管子。
亚瑟：
所以，图腾。你需要一些东西。
小，可能很重……
内部浴室、工作室 - 连续
科布拿出他的锡制陀螺，在
大理石柜台...
内部研讨会 - 持续
阿里阿德涅困惑地看着亚瑟。
阿里亚德妮
像硬币一样？
亚瑟
太普通了。你需要一些
具有重量或运动，只有
你知道。
内部浴室、工作室 - 连续
科布研究了陀螺在衰减过程中的旋转，变得更加
以及更多 ECCENTRIC...
内部研讨会 - 连续
ARIADNE
你的是什么？
亚瑟拿出一枚骰子。
亚瑟
一枚装满子弹的骰子。
阿里阿德涅伸手去拿——亚瑟一把抓住椅子——
39.
亚瑟
我不能让你处理这件事。
重点。没有人能够知道
它的重量或平衡。
阿里亚德妮
为什么？
亚瑟：
所以当你检查你的图腾时……
内部浴室、工作室 - 连续
科布的陀螺摇摇晃晃地转了过来。
亚瑟（画外音）：
你肯定知道，
你不在别人的梦里。
科布抓住了它，就像溺水的人抓住救生索一样。
内部研讨会 - 持续
阿里阿德涅仔细思考了这个问题。
阿里亚德涅：
这对我来说不是问题。
亚瑟
为什么不呢？
ARIADNE
Arthur，也许你看不到
继续下去，也许你不想。
但科布遇到了他尝试过的问题
埋在那里。我不会去
向这样的人敞开心扉
那。
阿里阿德涅站起身，走开了。
科布（画外）：
她会回来的。
亚瑟转过身。科布正站在浴室门口。
科布
我从来没有见过有人捡起它
如此之快。而一个现实不会
现在对她来说已经足够了。当她来的时候
回来，带她去建造迷宫。
亚瑟：
你会在哪里？
40.
科布：
我得和埃姆斯谈谈。
亚瑟·
埃姆斯？但他在蒙巴萨。Cobol的
后院。
科布
必要的风险。
亚瑟：
还有很多其他的小偷。
科布：
我们不只是需要一个贼。我们需要
伪造者。
蒙巴萨，赌博窝点，白天
拥挤、熙熙攘攘、烟雾弥漫。一名西方人（40多岁），衣衫褴褛
西装革履，挤在骰子游戏中。这是埃姆斯。他
摆弄着他最后两枚筹码。
科布（画外音
）
就像，它们不会繁殖。
埃姆斯抬头看见了科布。
埃姆斯
你永远不知道。
埃姆斯抛下最后一枚筹码。骰子掷出……
科布
喝吗？
埃姆斯失败了。
埃姆斯：
你买。
科布跟着埃姆斯。埃姆斯神秘地拿出了两叠
筹码，然后把它们放在收银员面前。科布拉
从顶部看去，眯着眼睛看着浮雕的名字。
科布：
你的拼写没有进步。
埃姆斯抓起芯片，递给收银员。
埃姆斯
滚开。
科布
你的笔迹怎么样？
41.
埃姆斯拿了钱，对科布笑了笑。
EAMES
多功能。
蒙巴萨国际街 - 连续
埃姆斯领着科布沿着安静的街道走去。
EAMES
据说，你不受欢迎
这些部分。
科布
是吗？
埃姆斯：
你的人头有赏格
Cobol 工程。相当大，
实际上。
科布：
你不会出卖我的。
埃姆斯生气地看着科布。
埃姆斯
“当然愿意。”
科布
（微笑）
当你听到我所推销的东西时就不会这样了。
外景：咖啡馆的阳台，后来
摇摇欲坠的阳台俯瞰着一条破败的街道。埃姆斯倒酒。
科布 盗
梦空间。
埃姆斯的杯子刚到嘴边就停了下来。
科布
别告诉我这是
不可能的。
埃姆斯：
完全有可能。只是
非常困难。
科布
我一直这么说
亚瑟。
42.
EAMES
Arthur？你还在和
那个墨守成规的人？
科布
他是一名出色的后卫。
埃姆斯：
最好的。但他没有
想象力。如果你要
执行初始阶段，你需要
想像力。
科布：
你以前做过吗？
埃姆斯：
是也不是。我们试过了。
想法已经存在，但是没有实现。
科布：
你种的不够深吗？
埃姆斯：
这不仅仅关乎深度。你需要
这个想法最简单的版本是
自然生长的
主体的心灵。微妙的艺术。
科布：
这就是我来这里的原因。
埃姆斯：
你需要栽种什么主意？
科布
我们想要一个大家族的继承人
公司解散他的
父亲的帝国。
埃姆斯
瞧，这里有各种各样的
政治动机、反对
垄断情绪等等
向前。但所有这些东西都在
主体的偏见
你必须去基础。
科布
哪一个？
埃姆斯
与父亲的关系。
（喝完饮料）
你们有化学家吗？
43.
科布摇摇头。
埃姆斯：
这里有个人。尤瑟夫。他
制定自己的版本
化合物。
科布：
我们去看看他吧。
埃姆斯：
一旦你失去了尾巴。
（科布的反应）
回到吧台，蓝色领带。进来
大约两分钟后。
COBB
Cobol 工程？
埃姆斯
他们几乎拥有蒙巴萨。
科布瞥了一眼阳台。
科布
跑路干扰。我们见面吧
半小时后下楼。
埃姆斯
回来了吗？
科布 这是
他们预料到的最后一个名次。
埃姆斯一饮而尽，站起身，走向商人。
埃姆斯·
弗雷迪！
商人尴尬地抬起头。
埃姆斯·
弗雷迪·西蒙兹，就是你！
科布漫不经心地从阳台上滑下来，重重地摔在
下面街道上的人群中间。
埃姆斯
（更加认真地观察）
哦。不，不是这样的。
蒙巴萨外部街道 - 连续
科布站起来，挤进人群——人群中的人都盯着他——他
移动，试图融合-转-第二个商人是
那里。
44.
科布
（迷人的微笑）
是的？
第二位商人
我们需要——
科布用头撞向第二个商人，然后把他推开——
第一个商人冲出酒吧，看到科布的踪迹，
科布在后面追赶，冲过狭窄的
通道，穿过或撞到当地人......
他走进一间昏暗、拥挤的咖啡馆，扫视着桌子……
第一个商人进来，发现了他。一个非洲男人
在科布的脸上，用斯瓦希里语对他喋喋不休——科布认为
他的选择……第一个商人拔出枪——科布
爬上桌子，从敞开的窗户出去，
外面的小巷……
科布向左看，向右看……向左切入一个狭窄、拥挤的
小巷——小巷变窄，成了死胡同。人群中的人脸
开始观察科布-人们开始围着他-科布看起来
回到他来时的路——两个商人在那里，有枪
绘制-
科布看到狭窄的一端，建筑物之间有一个小缝隙——
他全身心投入其中——却被困在半路……
人群涌过来，抓住他，而科布则努力
挤过缝隙……科布移动了几英寸
追赶者前进了几码……人群向他袭来……他冲了出去
自由了。翻滚着来到下一条街，消失得无影无踪。
科布跳了起来——在市场广场。还有两个
商人朝他走来。科布冲了出去，但一辆车却滑了过来。
挡住了他的去路——门开了——斋藤在后面。
斋藤：
科布先生，想顺便搭车吗？
科布
（跳进来）
先生，您来蒙巴萨的原因是什么？
斋藤？
SAITO
我必须保护我的投资。
外景：咖啡馆，片刻之后
埃姆斯站在人行道上。车子停了下来。科布招了招手
从后窗望出去。埃姆斯看着斋藤，然后又看向科布。
埃姆斯：
这就是你失去尾巴的想法？
45.
科布
（耸肩）
不同的尾巴。
内部工作坊 - 白天
亚瑟坐在桌边，摆弄着一个机械装置。一个小
咳嗽声促使他抬起头：阿里阿德涅就在那里。
亚瑟：
他说你会回来的。
阿里亚德涅
我试着不来。
亚瑟
但没有什么比
它。
阿里亚德涅
没有纸，没有笔……什么都没有
在你和原始、直接之间
创建。
亚瑟拿起他的机械装置。
亚瑟
我们来看看矛盾的
建筑学？
阿里阿德涅点点头，脱下外套，我们——
镜头切换至：
内景：彭罗斯台阶 - 后期
亚瑟领着阿里阿德涅走下台阶，坐在一个大玻璃窗里
以及办公大楼内的钢制中庭。
亚瑟
你必须掌握
如果你要建造
三个完整的梦境层次。
他们经过时，一位秘书丢下了一些文件......
阿里亚德涅
什么样的花招？
他们急转弯，继续沿着下一段楼梯往下走。
亚瑟
在梦里你可以作弊
建筑变成不可能
形 状 。
（更多）
46.
阿瑟（继续）
这可以让你创建闭环，
就像彭罗斯台阶一样。
无限的楼梯。
阿里阿德涅冻结了——他们又回到了开始的地方
从那里下来，在秘书旁边收集她的文件。
阿里阿德涅对于楼梯不可能建造的原因感到困惑。
亚瑟
看……
亚瑟轻轻地拦住了她——他们站在最高的台阶上，
大落差，到下一个台阶。亚瑟指着落差。
亚瑟
悖论。像这样的闭环
帮助你掩盖界限
你所创造的梦想。
ARIADNE：
级别必须有多大？
ARTHUR
任何来自
一栋建筑，乃至整个城市。但它
对我们来说必须足够复杂
躲避投影。
ARIADNE
迷宫。
亚瑟
迷宫越好——
阿里亚德涅
我们离
预测抓住了我们。
阿里阿德涅环顾四周，发现人们都在看着亚瑟。
阿里亚德涅
我的潜意识似乎很有礼貌
足够的。
亚瑟
你等着瞧吧，他们会变丑的。没有人
喜欢看别人乱搞
在他们的脑海中。
阿丽雅德妮·
科布不能再建造了，是吗？
47.
亚瑟
我不知道他是否不能，但他
不会。他认为如果他
不知道布局。
阿里亚德妮
为什么？
亚瑟：
他不肯告诉我。我想是马尔。
我认为她正在变得更强大。
ARIADNE
他的前妻？
亚瑟
她不是他的前任。
阿里亚德涅：
他们还在一起吗？
亚瑟转向阿里阿德涅。温柔地。
亚瑟
不，不，她死了，阿里阿德涅。
你看里面只有他的
她的投影。
ARIADNE
她在现实生活中是什么样的？
亚瑟
（安静）
她很可爱。
镜头切换：
外景，屋顶，蒙巴萨老城区，白天
Saito 把一份文件放在 Cobb 面前：照片、文件。
科布跑过它们，并把它们传给了埃姆斯。
SAITO
Robert Fischer，32岁。
菲舍尔莫罗能源集团。
他一生都在
培养接班人——分手
他父亲的帝国将
他的思想发生了根本性的转变。
科布
你对费舍尔有什么意见？
斋藤
： 那不关你的事。48
.
科布：
这不是普通的公司
间谍活动，斋藤先生。这是
初始阶段。我们的想法的种子
植物将会在这个人的心中生长。
这会改变他。甚至可能
来定义他。
斋藤看着科布。
SAITO
我的消息来源表明你可能不会
一直都很谨慎。
科布
那么您需要新的消息来源，先生。
斋藤。
斋藤打量着科布，耸耸肩。
SAITO
Fischer Morrow 拥有监管机构
在他们的口袋里。我们是最后
公司站在他们之间，
总能源优势，我们可以
不再竞争。很快他们就会
控制一半的能源供应
世界。他们将能够
勒索政府，发号施令
政策。实际上，它们变成了
新的超级大国。世界需要
罗伯特·菲舍尔改变了主意。
埃姆斯：
这就是我们要做的。
罗伯特·菲舍尔与
他的父亲？
SAITO
传言是关系
复杂的。
科布：
我们需要的不仅仅是谣言，先生。
斋藤。
埃姆斯拿起一张照片：一位杰出的高管（68）。
埃姆斯
你能帮我接近他吗？
布朗宁。老菲舍尔的右-
手艺人。菲舍尔小公司的
教父。
49.
SAITO
应该可以。如果你能
得到正确的参考。
EAMES
参考文献
对我来说这是特色菜，斋藤先生。
外景：蒙巴萨破旧的建筑，后期拍摄
埃姆斯领着科布和斋藤走下不平坦的台阶，来到一扇门口。
内部楼梯间 - 连续
油漆剥落，苍蝇嗡嗡叫。它们爬上尘土飞扬的，
埃姆斯推开的钢丝强化玻璃门——
内部药房 - 连续
一排排的木架子上摆放着数百张布满灰尘的
各种形状和颜色的玻璃瓶。在远端，一个
一位身材肥胖的四十岁男子从办公桌后面站起身来，招手示意。
这是尤素夫。
尤素夫
来吧，来吧。
埃姆斯和尤瑟夫握手。尤瑟夫在科布面前停了下来。
优素福
啊，是的。科布先生。我听说
非常关心你。
（指椅子）
请。
尤瑟夫将一只猫从斋藤的椅子上赶了下来。
尤素夫
该死的猫。
尤瑟夫走到架子前，用手指抚摸着玻璃
瓶子。没有一个有标签。
YUSUF
我认为你使用 Somnacin 来工作，
科布先生？
科布：
您消息很灵通，尤瑟夫先生。
尤瑟夫将一个瓶子放在科布面前的桌子上。
50.
科布
（可疑）
索马里星？
尤素夫
（自豪地）
尤素夫的 Somnacin。
尤瑟夫拉开塞子，将它对准科布的鼻子。
科布
和真品一样好吗？
尤瑟夫生气地把瓶子从科布手中夺走。
尤素夫
更好。
尤瑟夫将瓶子举到灯光下，惊叹不已。
尤素夫
将梦想家紧紧束缚。让我们
让他们同心协力，梦想成真。
当然，如果你愿意的话，你
可以使用 Somnacin 品牌。如果您
可以向国际社会解释
控制委员会你想要什么
为了。
尤瑟夫把瓶子放回架子上。坐下。
YUSUF
您正在寻找化学家吗？
（科布点头）
为了工作而配制化合物？
科布
和我们一起进入城堡。
尤素夫
先生，我很少进入那个地方。
科布。
科布
我们需要你来为我们量身定制
化合物到我们的特定
要求。
YUSUF
哪些是？
科布
很有深度。
尤素夫：
梦中梦？两个层次？
51.
科布：
三。
尤素夫
不可能。那么多梦想
在梦里也会
不稳定。
科布：
我以前也做过。你只是
添加镇静剂。
尤素夫
强效镇静剂。有多少团队
成員？
科布
五。
斋藤
六。
（对科布说）
知道你已经完成的唯一方法
这项工作就是我和你一起进去。
科布
没有游客的空间
这些工作，斋藤先生。
斋藤
这次看来是有的。
科布不安地看着他。尤瑟夫又拿出一瓶酒。
YUSUF：
当然了。我每天都用。
尤瑟夫把它递给科布，科布认为这白色液体
里面。
科布
为了什么？
尤瑟夫示意他们继续往药房走，来到一个金属
门。他停了下来——重新考虑了一下。
YUSUF
也许……你不会想
看。
科布示意继续。尤瑟夫掏出一把大钥匙。
52.
内部。药房后室 - 连续
一间昏暗的房间里，摆放着一排排低矮的帆布床。每张床上都放着一张床。
住户。管子连接着他们的手腕。一位秃顶的老人
守护着他们。
埃姆斯
（数数）
十八、二十——全都相连，
该死的。
YUSUF
他们每天都来。分享
梦。
尤瑟夫向秃头老人点点头，老人走到最近的
床。向床的主人伸出手。狠狠地打了他一巴掌。
睡觉的人甚至没有动一下。
尤素夫
看到了吗？非常稳定。
科布
他们做了多久的梦？
尤素夫
。每天三、四个小时。
科布
梦里的时间有多长？
尤素夫
用这种化合物……大约四十
小时。每天。
斋藤震惊地环视房间。
SAITO
他们为什么这么做？
尤素夫：
告诉他，科布先生。
科布
过了一会儿……
（看着斋藤）
这成为你唯一能
梦。
尤素夫：
科布先生，您还做梦吗？
科布盯着睡着的人。心里很不安。
埃姆斯：
他们每天都来这里睡觉？
53.
秃头老人（画外音）：
不。
科布转向秃头老人，老人深情地看着他
梦想家。
秃头老人
他们来叫醒……
梦想已经成为现实……
秃头老人用弯曲的手指戳了戳科布的胸口。
秃头老人
那么你又是谁呢？你又能说什么呢？
科布盯着秃头老人。他感到不安。科布转向
尤瑟夫把瓶子扔给了他。
科布：
让我们看看你能做什么。
内景，同样——片刻之后
科布躺在一张空床上睡着了。尤瑟夫站在他身边。
当我们靠近柯布的睡脸时，我们听到了
货运列车、建筑和我们
镜头切换至：
外景：荒地，白天
特写镜头：科布躺着，双眼紧闭，脸颊紧贴
到金属轨道-火车的声音震耳欲聋-科布是
呼吸，呼吸，呼吸，我们——
镜头切换：
药房后屋，白天
科布睁开眼睛。尤瑟夫正看着他。
尤素夫·
夏普，不是吗？
科布点点头。他站起身，环顾四周——
内部浴室、药房 - 连续
科布往脸上泼水，呼吸急促——插入镜头：
窗帘飘扬。马尔转向我们，头发飘扬，脸上带着微笑。
科布在口袋里摸索，掏出他的陀螺。他
试图让它在水槽后缘旋转，但它
摔倒在地，滚向门口——斋藤
那儿。看着科布。他低头看着旋转的陀螺。
54.
SAITO
一切都还好吗，科布先生？
科布用纸巾擦干脸，然后拿起上衣。
科布：
一切都好。
内景，车间后室，夜晚
靠近一枚小小的黄铜棋子。阿里阿德涅把它打翻了。
她皱着眉头，拿起一把微型钻头，剥开毛毡
底部，并在其底部一侧加宽一个孔。测试
又到了临界点。一个声音让她抬起头来。
内部研讨会 - 持续
阿里阿德涅走进主空间。有人在那里，
拆开其中一个机制。科布。
阿里亚德涅
你回来了。
科布猛地抬起头。他被抓住了。
阿里亚德妮
你要自己破产吗？
科布：
我只是——我需要测试一些东西。
我不知道这里有人。
ARIADNE
我正在研究我的图腾。
阿里阿德涅举起棋子。科布伸手去拿。
科布
让我看看——
阿丽雅德妮“啪”的一声，把它从他够不着的地方掰了下来。笑了。科布点点头。
科布：
你在学习。
ARIADNE
这是一个优雅的解决方案，可以保持
现实的轨迹。你的发明？
科布
号马尔的。
科布拿出他的陀螺。看着它。
55.
科布
这是她的。她会把它旋转起来
这是一个梦想，它永远不会倒塌。
只是旋转、旋转……
阿里亚德妮·
亚瑟告诉我她去世了。
科布：
是的。迷宫进展如何？
阿里阿德涅指出了三个大型建筑模型。
阿丽雅德妮
很好。每个级别都与
主体潜意识的一部分
我们正在尝试访问。我正在
底层是医院，所以
菲舍尔会带他的父亲
那里-
科布
别告诉我。记住，你只
想让做梦者知道
布局。
阿里亚德妮：
为什么这如此重要？
科布
如果我们中的一个人带了一部分
我们的潜意识。你不会想
任何预测都知道布局。
阿里亚德妮：
万一你把马尔带进来呢。
科布什么也没说。
阿里亚德涅
你不会建立你自己，因为如果
你知道迷宫，那么她也知道
它会破坏
手术。你不能把她挡在外面，
你可以吗？
科布什么也没说。
阿丽亚德妮
其他人知道吗？
科布
56
号
。 阿里亚德妮
你必须警告他们，如果
越来越糟
科布
（温柔）
我并没有说情况正在变得更糟。
听着，阿里阿德涅，我需要它们
工作。我需要你做这份工作。
没有你的帮助，我永远无法
回到我的孩子们身边。就这样
我现在就可以关心。
阿里亚德妮：
你为什么不能回家，科布？
科布看着她，思考着该说什么。
科布
他们认为我杀了她。
阿里亚德涅
她是怎么死的？
科布心想。
插入镜头：玛尔的头发被风吹拂，她对科布微笑。现在
我们看到科布——摇着头，泪流满面，乞求着——
科布
谢谢你。
阿里亚德涅
为了什么？
科布
没有问我是否知道。
内部工作坊 - 白天
Ariadne、Arthur、Yusuf、Eames 和 Saito 坐在房间里，
正在查看文件。科布主持。
科布
目标人物是罗伯特·菲舍尔，
澳大利亚能源集团，
菲舍尔·莫罗。
科布打开了一本很大的演示本。
科布（大声读）
“我要分裂我父亲的
帝国。”
科布转向团队。
57.
COBB
罗伯特·菲舍尔有意识的
永远不会接受。我们必须
将其深深植入他的潜意识中。
阿瑟
有多深？
科布
往下三层。
亚瑟
梦中之梦
梦想？这可能吗？
科布
是的，确实如此。
科布
现在，潜意识激发
通过情感，而不是理性，所以我们
必须将这个想法转化为
情感概念。
亚瑟
如何翻译一份商业
策略变成情感？
科布：
这就是我们要弄清楚的。
罗伯特和他的父亲关系紧张
关系。甚至比
八卦专栏暗示……
埃姆斯
你玩这个吗？建议
解散他父亲的公司
对老人说‘去你的’？
科布：
不。积极情绪胜过
每次都会产生负面情绪。我们
渴望人们和解，
宣泄。我们需要积极的
情感逻辑。
埃姆斯思考着。踱步。回头看着黑板。
埃姆斯
试试这个……“我父亲接受
我想为自己创造，而不是
追随他的脚步。”
科布
这可能行得通。
58.
亚瑟
可能吗？我们必须做得比
那。
EAMES
感谢您的贡献，
亚瑟。
亚瑟
原谅我有点想
具体性，埃姆斯。
COBB
Inception 与具体性无关。
当我们进入他的内心时，我们
必须与我们的
寻找。
亚瑟沮丧地耸耸肩。而我们——
镜头切换：
外景，纽约街头，白天
队伍正处在一个荒无人烟的十字路口中央。
阿里阿德涅正在向尤瑟夫展示地理的方方面面。
埃姆斯：
我们可以把这个想法分解成
情绪触发器，并使用一个
每个级别。
科布
你什么意思？
埃姆斯
在顶层，我们打开了他的
与他父亲的关系....
说：“我不会按照我的
父亲的脚步。”下一级
我们了解了他的野心
和自尊。我们给他喂食：“我
我会自己创造一些东西。”
然后，在最底层，我们带来
情感大炮……
科布：
“我父亲不想让我成为
他。”
埃姆斯
那就可以了。
亚瑟
你是如何产生这些情感的
触发器？
59.
埃姆斯
我塑造每一个情感概念
彼得的风格和方式
布朗宁是菲舍尔
情感生活。
两名非洲行人走进视野。
亚瑟
那些是你的吗？
埃姆斯摇摇头。科布转向尤瑟夫。
亚瑟·尤素夫
？
尤素夫
是的。抱歉。
科布
压制他们。我们不带我们的
把自己的投射到梦里——我们
让菲舍尔的潜意识供应
人民。
EAMES
Saito，我什么时候才能看到
布朗宁？
SAITO
您周二将飞往悉尼。
我们已安排您花费
几天...
内景，莫里斯·菲舍尔的办公室，前厅，白天
埃姆斯坐在拥挤的房间里。箱子和文件堆放在
高。布朗宁站在一扇双开门旁边。
SAITO（画外音）
......作为咨询的一部分
诉讼团队
勃朗宁。
布朗宁
我在这里闻不到定居点的味道——我们
把它们拿下来。
律师
布朗宁先生，莫里斯·菲舍尔的
政策始终是避免
诉讼-
布朗宁转向律师。平静，却充满力量。
60.
布朗宁，
我们可以转达你的担忧吗
直接发给莫里斯？
布朗宁打开了莫里斯·菲舍尔内部办公室的门。
埃姆斯倾身看着布朗宁招呼律师进入——
内景：莫里斯·菲舍尔的办公室内部 - 连续
办公室是一个临时的医院房间：一张床，桌子
应该是。布朗宁对着窗边的一个人影说道。罗伯特
菲舍尔，30 岁，抽象派。
布朗宁
他怎么样了？
菲舍尔转向布朗宁。他示意保持安静，然后看了一眼
他的父亲躺在床上，轻轻地喘息着。
布朗宁：
我不想打扰他
没必要，但我知道他——
罗伯特神父
！我告诉过你别再来了
该死！-
莫里斯猛烈抨击，把床头柜上的东西都打翻了。
菲舍尔蹲下取回相框时，护士安抚莫里斯
照片。他透过破碎的玻璃看着照片——
小男孩拿着一个显然是由孩子制作的风车（每个
点是用笔编号的，他的父亲吹了吹。
布朗宁
一定是他珍贵的回忆——
菲舍尔：
我把它放在他床边。他甚至还没
注意到了。
布朗宁
罗伯特，我们必须讨论一个
授权书。我知道这是
对你来说很难，但这很重要
我们开始思考
未来-
菲舍尔：
现在不行，彼得叔叔。
布朗宁看着菲舍尔，思考着，等待时机。
埃姆斯（画外音）：
秃鹫在盘旋。
莫里斯·菲舍尔病情越重，
彼得·布朗宁变得更强大……
61.
埃姆斯注视着布朗宁，研究着他的一举一动。
内景，浴室，白天
埃姆斯对着镜子做了个手势，好像要握手……
埃姆斯（画外音）：
我有时间学习布朗宁的
身体存在和举止......
镜子里：布朗宁向后示意。
内部工作坊 - 连续的
埃姆斯
现在，在梦里，我可以模仿
布朗宁并提出概念
菲舍尔的意识......
（画图）
然后我们把菲舍尔带走
水平和他自己的潜意识
将其反馈给他。
亚瑟
（印象深刻）
所以他给自己提出了这个想法。
埃姆斯：
正是如此。这是唯一的办法
让它坚持下去。它必须看起来
自生的。
亚瑟·
埃姆斯，我印象深刻。
埃姆斯
你一如既往地谦逊，
非常感谢，亚瑟。
镜头切换：
内景，空荡荡的酒店大堂，白天
团队坐在大理石大厅的台阶上，
辩论。阿里阿德涅正在带亚瑟参观大厅。
埃姆斯
他没有安排手术，没有
牙科，没什么。
科布：
我以为他的膝盖出了问题？
埃姆斯
他们没有因为他什么事而让他入院。
此外，我们需要整整十个小时。
62.
SAITO
从悉尼飞往洛杉矶。
他们转向斋藤。
SAITO
十二点四十五分
分钟——最长的航班之一
在世界上。他每两年就
几周……
外景，机场，白天
菲舍尔从一辆黑色轿车里走出来，穿过
在两名助手的陪同下，沿着停机坪驶向一架湾流喷气式飞机。
科布（画外音）：
他肯定是乘坐私人飞机吧？
斋藤（画外音）
如果发生意外
对他的飞机进行维护。
菲舍尔在台阶上遇见了一位心烦意乱的飞行军官。
内景，酒店大堂，白天
科布仔细思考着这件事。亚瑟走了过来。
阿瑟：
那必须是 747。
科布
为什么？
阿瑟
在一架 747 飞机上，飞行员在上面，
头等舱在机头，所以
没有人穿过小屋。
我们必须买下整个
客舱和头等舱航班
服务员-
SAITO
我们收购了这家航空公司。
大家都看向斋藤。
斋藤
看起来……更整洁。
科布
更整洁，是吧？
（站起来）
好吧，现在我们有十个不间断的
小时。
（更多）
63.
科布（继续）
（对阿里阿德涅说）
顺便说一句，大堂很漂亮。
我们——
镜头切换至：
内景，工作坊 - 白天
小组回到车间，深入讨论。
亚瑟
我的问题是我们如何才能
具有足够稳定性的层。三
层下有一点湍流
将会引发地震。
梦想即将破灭
最轻微的干扰。
尤瑟夫清了清嗓子。
YUSUF
镇静剂。睡眠足够稳定，
创造三层梦想……
内景：临时实验室，白天
尤瑟夫按下了活塞。亚瑟正躺在椅子上睡觉。
尤素夫（画外音）
我们必须将它与
极其强效的镇静剂......
埃姆斯狠狠地打了亚瑟一巴掌。亚瑟一动不动。
内部工作坊 - 白天
亚瑟无意识地揉了揉自己的脸颊。
YUSUF
我们将使用的化合物
分享梦想是一种先进的
Somnacin 衍生物。它能产生
之间有非常明确的联系
梦想家，而实际上
加速大脑功能。
切换到：
科布
在每一级都为我们争取更多的时间。
YUSUF
梦中的大脑功能将
大约是正常值的二十倍。
（更多）
64.
尤素夫（继续）
当你进入内心的梦境时
那个梦的效果是
复合。
阿里亚德涅：
需要多长时间？
YUSUF
三个梦……一共十个小时，
乘以二十，乘以二十，乘以
二十...
EAMES
数学从来都不是我的强项。
COBB
基本上是一周一层
向下，六个月，向下两层
阿里亚德涅
在第三层待了十年。
谁愿意花十年时间在一个
梦？
YUSUF
取决于梦想。
埃姆斯
我们很快就能
一旦我们得到
走吧。我们一会儿就出发
天，最多
亚瑟：
我们怎样才能摆脱它呢？
植物？
（对科布说）
我希望你有一些
比
像上次一样朝我头上开枪
时间。
亚瑟向后靠在椅子上。尤瑟夫转向科布。
科布
一脚。
阿里亚德涅：
什么是踢腿？
埃姆斯把脚伸到亚瑟的椅子腿底下。轻轻地——
亚瑟的腿本能地抬起来保持平衡——
埃姆斯
，阿里阿德涅，那可真够刺激的。65
.
科布
那种坠落的感觉
你醒了。我们用它来震醒
一旦完成，我们就会醒来。
亚瑟：
但是我们怎么才能感受到
通过镇静？
YUSUF
这才是聪明之处。我定制
镇静剂……
内景：临时实验室，白天
科布、埃姆斯和尤瑟夫看着坐在椅子上睡着的亚瑟。
YUSUF（OS）
保留内耳功能
未受损害...
尤瑟夫露出一丝邪恶的笑容，慢慢地将亚瑟的椅子推倒
向后……当他倒下时，亚瑟的身体抽搐了一下，眼睛睁开
就在他落地之前。
内部工作坊 - 白天
亚瑟想着，慢慢地点了点头。
尤素夫
这样，无论睡得多么沉，
睡眠者仍会感到下坠……
内景：临时实验室，白天
尤瑟夫兴高采烈地将熟睡的亚瑟斜倚在一边……
尤素夫（画外音）：
或者给小费……
亚瑟轰然倒下，猛地惊醒——
内部工作坊 - 白天
亚瑟仔细考虑了这一点。
亚瑟
即使这样也无法切断三个
层层深度睡眠。
科布
诀窍是设计一个踢球
每个级别，然后同步它们
得到一个穿透所有
三层。
66.
亚瑟看着科布，明白了。
亚瑟
我们可以用音乐倒计时来
同步不同的踢腿动作。
内部工作坊 - 夜间
阿丽亚德妮走进了昏暗的主空间。科布躺在
一把椅子，睡着了。插上了电源。
阿里阿德涅站在他面前，注视着他。
她打开盒子，拉出一根管子，坐下来检查
当她把针帽注射进手臂时，我们
镜头切换至：
内景，笼式升降机，白天
阿里阿德涅升上去。她看着按钮。发现了字母“B”。
电梯停了。她透过格栅望向——
内景，年轻女孩的卧室，白天
阿里阿德涅拉开烤架，穿过房间，
考虑到满是灰尘的家具。窗边是一个娃娃的
房子，正面微微开着。阿里阿德涅打开了门。里面是一个
安全。她试了一下。锁上了。一阵响声吓了她一跳——她转过身，
透过门口望向另一个房间……
客厅内部 - 连续
阿丽亚德妮看向房间，看到科布和马尔在交谈，
争吵。一段私人时间。马尔拂过科布的头发，试图
说服他。我们听到了一些对话片段——
MAL
你还记得你曾要求我
娶你？
科布：
当然……
MAL
你说你有一个梦想……
科布
：我们会一起变老。
MAL
：我们可以。你知道怎么找到
我……你知道你必须做什么。
科布轻轻地摇了摇头。马尔看着科布的眼睛——
温柔、慈爱......Mal SPOTS Ariadne 正在监视他们。
67.
僵住了，盯着，充满敌意。科布转过身，看到阿丽雅德妮，然后动了动
走向她，离开了马尔。
科布：
你不应该待在这里。
科布领她回到电梯。
ARIADNE
我想知道你“测试”了什么
每天晚上都需要自己做。
内笼式升降机 - 白天
科布关上了笼门。阿丽雅德妮按下按钮。电梯
升起。透过格栅，阿里阿德涅可以看到一片延伸的海滩
远去。电梯停了。马尔坐在
沙子。在她旁边，两个孩子蹲着，远离
我们，建造一座沙堡。
阿里亚德妮
你为什么要这样对待自己？
科布
这是我唯一能
梦。
阿里亚德妮：
梦想真的那么重要吗？
科布注视着他的家人。
科布：
在我的梦里……我们仍然在一起。
孩子们没有回头，跳起来就跑。
内笼式升降机 - 连续式
电梯下降。
ARIADNE
但这些不仅仅是梦，是
它们？它们是记忆。你说
永远不要使用记忆。
科布
：我不应该。
阿里亚德涅：
你让她活了下来。
科布
：68号。
阿里阿德妮
：
你不能让她走。
科布
不。这些都是令我后悔的时刻。
我把这些瞬间变成了梦，所以我
可以改变它们。
阿里阿德涅的手指在按钮上移动——停在“B”处。
阿里亚德涅
你埋了什么
你后悔吗？
科布推开她的手，按下三楼的按钮。
科布
我只需要你
了解我...
内景，科布和马尔的家，厨房，片刻之后
阿丽雅德妮跟着科布走进厨房。一个瘦男人在那里，
站在桌旁。他手里拿着一张折叠的纸。
阿里亚德妮
这是你的房子吗？
科布
矿井和马尔的。
阿里亚德涅
她在哪儿？
科布：
她已经死了。
瘦子把纸递给科布。一声孩子的叫喊——
科布转过身。阿里阿德涅顺着他的目光望向花园。一个小
金发男孩背对着他们，蹲在地上
看看地上的东西。
科布：
是詹姆斯。我的男孩。他找到了
什么东西。也许是一条虫子。
一个年龄稍大的女孩跑进了视野。
科布：
还有菲利帕。
她蹲在男孩旁边。他们的脸背对着我们。
他们指着地面上的一切并进行讨论。
69.
科布
我想喊出来，所以
他们会转过身来微笑
令人难以置信的微笑……但我没有
时间-
瘦子把纸条塞到科布的手里。
瘦子：
现在就做。或者永远不做，科布。
科布点点头，转身离开窗户——
科布
然后我惊慌失措，我总是希望
我看见他们转身，我不能
浪费这个机会...
科布转身大喊——但孩子们跑开了……
科布
但时机已经过去了。
无论我做什么，梦想总是
一样...当我即将
呼叫...他们跑了。
科布看着他们跑开，呼唤着奶奶，看不见的面孔。
科布
如果我要看他们的脸
我必须再次回到这里
现实世界……
在他身后，阿丽亚德妮“砰”的一声关上了烤架。科布转过身。
内笼式升降机 - 连续式
阿里阿德涅按下地下室按钮。电梯开始
下降。阿里亚德涅凝视着，着迷地瞥见了地板
溜走：Mal 的童年卧室，一堵轰鸣的墙
货运列车……电梯停了。穿过格栅
阿丽雅德妮看到一间酒店套房。她拉开烤架，走上前去
小心翼翼地走出去
内部。优雅的酒店套房 - 连续（现在晚上）
凌乱的床单、颠倒的客房服务台，
草莓散落在地板上。挣扎着。阿里阿德涅走了过来。
向前-猛击-她低头看到她已经踢了
香槟杯上。阿里阿德涅感到一阵风。帷幕
巨浪。
马尔（画外音）：
你在这里做什么？
阿里阿德涅转过身。马尔在那里。
70.
阿里亚德涅
我的名字是-
MAL
我知道你是谁。你是干什么的？
在这里干什么？
阿里亚德妮：
我不知道。我试着理解。
玛尔：
你怎么能理解？你
知道做情人是什么感觉吗？
是整体的一半吗？
阿里阿德涅
没有。
玛尔慢慢地向阿里阿德涅走去……
玛尔：
我给你出个谜语。你
等火车。一列火车
会带你去很远的地方。你知道
你希望这列火车开往哪里
你，但你并不确定……
玛尔绕着阿里阿德涅滑行，仔细地打量着她。
MAL
但是……没关系。怎么可能
你并不关心那是哪里
火车会载你吗？
科布（画外）
：因为你们会在一起。
科布站在电梯里。马尔点点头，看着他。
MAL
你怎么能把她带到这里，Dom？
阿里亚德涅
这是什么地方？
科布
一家酒店。我们在那里度过了我们的周年纪念日
在这个套房里。
阿里亚德涅
这里发生了什么事？
马尔捡起一支香槟杯的断柄……
71.
内部笼式升降机 - 连续
科布把阿丽亚德涅拉进电梯，玛尔则自己跳了进去
走向Ariadne——Cobb猛击烤架——Mal猛击它
一次又一次像野兽一样——阿里阿德涅畏缩——
玛尔，
你答应过！你说过我们会
在一起的！——
科布：
我们可以。我们会的。但我需要你
现在就留在这里-
MAL
，你说过我们会一起变老！-
科布按下按钮，电梯开始上升。
科布：
我会回来的。我需要你留下来
现在你自己一个人在这里。只是
在我做这份工作的时候。然后我们就可以
一起-
MAL
我们会在一起的——你答应过我！——
玛尔猛地撞向烤架，然后……我们——
镜头切换至：
内景，工作坊，夜晚
阿丽雅德妮看着熟睡的科布。他的眼睛渐渐闪烁起来
睁开。他发现她正在看着他。
阿里亚德涅
你认为你可以建立一个
把她囚禁在记忆的牢笼里？
你认为这将包含
她？
灯亮了：斋藤和亚瑟站在门口。
斋藤
莫里斯菲舍尔刚刚在悉尼去世。
科布：
葬礼什么时候举行？
斋藤
星期四。在洛杉矶。72
.
科布
·罗伯特将陪同尸体
星期二在外面。我们必须
移动。
科布站了起来。阿丽雅德妮向他走了过来。
阿里阿德涅
（低）
我跟你一起去。
科布
不，我答应了迈尔斯。
ARIADNE
团队需要有人
了解你的挣扎
如果你不想是我
那么你需要向亚瑟展示我
刚刚看到。
科布看着阿丽雅德妮，然后转向斋藤。
科布
我们还需要飞机上的一个座位。
内陆登机口，悉尼，白天
斋藤站着，看着窗外的一架 747。科布来了
在他旁边。他们看着棺材被装上去。
科布
如果我上了这架飞机，而你
还没处理好事情...
当我们着陆时，我因
我的余生。
SAITO
完成途中的工作，我
飞机上打来的一个电话……
你不会遇到任何麻烦
移民。
头等舱内部，747 - 连续
豪华客舱只有十个座位。科布发现他的——
阿里阿德涅坐在他后面的座位上。他们彼此不打招呼
另一个。她身后是亚瑟，正望着窗外。埃姆斯
进入，将他的包塞进行李架，挡住了
后面的乘客：罗伯特·菲舍尔，站在那里，耐心地，
手拿包，身穿黑色衣服。
埃姆斯：
哦，对不起
。73。
埃姆斯挤在座位上，让菲舍尔从他身边擦肩而过。
菲舍尔走到他的座位上，正对着科布。埃姆斯
扔给科布一本护照。科布翻开：菲舍尔的。
把它放进口袋。尤瑟夫和斋藤进来，坐下。
外景：跑道 - 片刻之后
747 飞机在跑道上飞驰。
747 头等舱内部 - 片刻之后
科布低头看着自己的手：一个小瓶子被胶带粘在中间
他的手掌。他取下盖子。安全带指示灯熄灭了。
科布解开安全带，站起来。
科布
不好意思？
菲舍尔抬起头。
菲舍尔：
是的？
科布：
我想这是你的……
科布举起打开的护照，将照片与
菲舍尔。菲舍尔的手伸进口袋。科布的手
费舍尔护照。
空乘人员，
先生们，你们想
喝？
菲舍尔
水。
科布
一样。
菲舍尔对科布淡淡一笑，举起了自己的护照。
菲舍尔：
好的，谢谢你。
科布
没问题。听着，我帮不上忙
注意到你的名字。你不是
与莫里斯·菲舍尔有关吗？
菲舍尔停顿了一下。但科布看起来无害。
菲舍尔：
实际上，他是我父亲。74
.
科布：
我对你的损失深感遗憾。他
是一位鼓舞人心的人物。
空乘人员送来饮料，科布接过。
科布
谢谢。
当他转向菲舍尔时，他放下了右手……清晰
当科布将水递给菲舍尔时，液体滴入了菲舍尔的水中。
科布
致莫里斯·菲舍尔。
（他们喝酒）
我会让你安静的。
菲舍尔对他微笑。
分机 747 - 稍后
巨大的飞机在燃烧的云层中翱翔。
747 头等舱内部 - 片刻之后
科布伸手到头顶拿毯子，然后让它掉下来
落在菲舍尔的头上——菲舍尔没有退缩。睡着了。科布
向其他人发出信号。副驾驶打开
厨房里的橱柜，然后离开，拉上窗帘。
亚瑟走进厨房，拿出一个机械箱。
科布和亚瑟打开装置，解开管子，喂食
把它们放在每个座位的靠窗一侧。亚瑟
卷起菲舍尔的袖口-将针帽推入菲舍尔的
手腕。亚瑟拉下菲舍尔的袖口，把管子藏起来
位于菲舍尔座椅扶手的后面。
亚瑟坐下一班地铁去阿里阿德涅。科布把案子交给
尤瑟夫的腿上。尤瑟夫检查计时器，敲击注射器。
其他人把椅子放倒。尤瑟夫按下按钮——关闭
盒子——把它放在他的脚边。他向后靠去，然后我们——
镜头切换至：
内景轿车，白天
科布开车。斋藤和亚瑟坐在后座。雨声
下来。科布把车停在路边——
外景：纽约街道 - 连续
尤瑟夫站在角落里，手里拿着银色公文包，衣领
迎着雨。他伸手去开门。
75.
内饰 轿车 - 连续
尤瑟夫爬到后面，擦去脸上的雨水。
亚瑟
（表示下雨）
你不能先尿尿吗
破产了？
尤素夫
对不起。
前门打开了，浑身湿透的埃姆斯爬了进去。
埃姆斯：
之前喝了太多免费香槟
起飞吗，尤素夫？
尤素夫
哈哈哈。
科布
至少我们知道他会寻找
在这等一辆出租车。
内景/外景：纽约雨天街道上的轿车 - 连续
科布开进了拥挤的车流中。他绕着
几辆车然后排在一辆黄色出租车后面。
科布：
做好准备。
科布猛踩油门——“嘎吱”一声，车尾撞上了驾驶室。
出租车司机怒气冲冲地下了车。他走到科布的窗边——
出租车司机：
嘿，混蛋！你为什么不试试
开车时不竖起大拇指
他看到科布拿着一把消音手枪放在腹部。
科布
走开。
出租车司机倒车了。亚瑟爬进了出租车。两人
汽车开走了。
内景/外景：纽约雨天街道上的出租车 - 连续
亚瑟在火车站前放慢了脚步，凝视着
行人。他发现了菲舍尔，点亮了出租车的标志。
菲舍尔向他挥手示意。菲舍尔跳到后面，擦过
雨水从他的肩膀上流过。
76.
菲舍尔
第三和市场。活泼。
埃姆斯从另一边跳了进来。
菲舍尔
你在干什么？
埃姆斯：
对不起，我以为是免费的。也许吧。
我们可以分享。
菲舍尔：
也许不是。
斋藤坐进副驾驶座，举起枪。
菲舍尔
太好了。
亚瑟抽身离开。菲舍尔掏出钱包，扔了出去。
在埃姆斯。
菲舍尔
（轻蔑地）
里面有500美元。还有
钱包的价值远不止于此。
为此你至少应该放弃
我到站了。
埃姆斯听了笑了。
埃姆斯：
恐怕——
一枪打碎了埃姆斯头上的窗户——又一枪
Saito 的影响
埃姆斯
带我们离开这里！
Arthur 猛踩油门，但一辆黑色 SUV 侧滑而入
前面，挡住了路——
后面一个街区——科布在红绿灯处。阿里阿德涅正在
前面。科布听到了枪声——
科布
来吧！—
科布看着前方的伏击，踩下油门——轿车
火箭队向前……但砰——一辆货运列车撞上了前部
轿车，当一列列无尽的火车
驶过时，把它推到一边，科布和伏击者之间的墙
-77。
第二辆SUV停在驾驶室后面——便衣保安
在车流中前进，武器瞄准驾驶室。
子弹射入驾驶室，埃姆斯跳到
菲舍尔，把麻袋举过头顶——
在轿车里，阿里阿德涅看着火车驶过——
阿里亚德妮：
这不在设计中——
科布后退，旋转，朝着
火车-
一名保安从前面的 SUV 出来，手里拿着
自动步枪——他冒雨走向驾驶室，
举起武器，炸开驾驶室的挡风玻璃——
科布从火车尾部出来，滑过铁轨——
亚瑟蹲下——用手推油门——
猛拉方向盘——盲飞。驾驶室安全无虞
哥们，嘎吱嘎吱地撞到前面的SUV——
科布开车撞上了后面的SUV，留下了一个空隙——
Arthur 猛拉变速箱，倒车——勉强通过
间隙- 保安人员躲开- 亚瑟扔了一个
一个不规则的J形转弯，沿着一条小街走下去——科布跟在后面
另一辆车。雨水拍打着亚瑟的脸，他呼吸着——
阿瑟：
大家都还好吗？斋藤？
亚瑟看着斋藤。斋藤的手放在他的肚子上。
在血液中。
外景：仓库，片刻之后
轿车和出租车驶入侧门——埃姆斯跳了起来
出去——拉下他们身后的快门——
内部仓库 - 连续
尤瑟夫和埃姆斯把菲舍尔从出租车里拉出来，催促他
穿过一扇门。科布从轿车里跳了出来，怒不可遏。
科布：
亚瑟！亚瑟什么——
亚瑟把满身血迹的斋藤从前座拉出来。
科布：
哦，天哪。他要死了吗？
78.
亚瑟：
我不知道。发生了什么事？
那里？你当时在哪儿？
科布
我们被一辆货运火车拦住了。
亚瑟
（对阿里阿德涅）
为什么要设置火车道口
在市中心的十字路口？
阿里亚德妮：
我没有。
科布
（啪）
为什么我们都遭到伏击，亚瑟？！
这些不是常规预测——
他们已经受过训练了！
阿里亚德涅：
他们该如何接受训练？
ARTHUR
Fischer 有一个提取器教
他的思想在为自己辩护。他的
潜意识是军事化的。它
应该在研究中显示-
科布：
那么为什么没有呢？
阿瑟：
冷静下来。
科布
别告诉我要冷静——你
旨在核实菲舍尔的背景
彻底。你不能这样做
我们没有做好准备
对于这种暴力行为——
阿瑟·
科布，我们已经处理了次级安全问题
之前。我们只需要更加-
科布：
这不在计划之内，亚瑟！
（指着斋藤）
他快要死了！
埃姆斯
所以我们让他摆脱了痛苦。79
.
埃姆斯走进房间，拔出枪，走到
斋藤。
科布
号
埃姆斯：
他很痛苦。我们把他叫醒——
科布抓住了埃姆斯的手臂。
科布
不！
（两人目光相遇）
这不会吵醒他。
埃姆斯
你什么意思，它不会醒
他？当你在梦中死去时，你
醒醒。
YUSUF
不是这样。我们太沉重了
镇静后就能以这种方式醒来。
埃姆斯看着尤瑟夫，然后看着科布。
埃姆斯：
那么如果我们其中一人死了会怎么样？
科布
那个人没有醒来。他们的
思绪陷入了困境。
阿丽亚德娜
边缘地带？
ARTHUR
未建构的梦想空间。
阿里亚德妮
那下面是什么？
亚瑟
原始的、无限的潜意识。什么也没有
但留下的
任何被困的队员
以前也有过。在这支球队里……只是
科布。
阿里亚德涅：
我们会被困在那里多久？
80.
尤素夫：
你甚至不敢想
试图逃跑直到镇静
缓解-
埃姆斯
多久了？
YUSUF
几十年-可能是无限的-我
不知道！问他——他就是那个人
谁曾去过那里！
埃姆斯走向科布，看着他的眼睛。
埃姆斯：
太好了。所以现在我们被困在
菲舍尔的头脑与
他的私人军队，如果我们被击中
我们被困在地狱边缘，直到我们的
脑浆溶解成炒鸡蛋？
科布什么也没说。斋藤呻吟得更大声了。
亚瑟：
我们把他带上楼吧。
内景，办公室，仓库 - 片刻之后
斋藤躺在一张旧桌子上。亚瑟检查着他。他
向阿里阿德涅示意。埃姆斯注视着科布。
亚瑟
拿住它。用力按压。
亚瑟转向科布。
亚瑟
你知道风险，但你没有
告诉我们。
科布：
这本来就不应该有任何风险。
我们不应该交易
带着一身的枪械。
亚瑟
你没有权利。
科布
这是你唯一能走三步的方法
层层深入，亚瑟。
亚瑟充满敌意地转向尤瑟夫。
81.
亚瑟
：那你呢？你同意了吗？
尤素夫
我信任他。
亚瑟
你信任他？什么时候？当他
答应给你一半的份额？
尤素夫
（被冒犯）
不！他全部的份额。而且，他告诉
对我来说，他以前也做过这件事。
亚瑟转向科布。
亚瑟
哦，是吗？和玛尔在一起？这样就好了。
很棒，不是吗，科布？
科布抓住了亚瑟。
科布：
你对此一无所知。
这是唯一的办法
工作，亚瑟。我做了该做的事
回到我的孩子们身边。
埃姆斯：
所以你把我们带入了战区
没有出路。
科布
我们有办法了。踢一脚。我们
只需继续努力，做好工作
尽快离开并使用
踢了一脚。
埃姆斯：
算了。我们再深入下去，我们
提高赌注。我坐在
在这个层面上。
科布：
你永远也做不到，埃姆斯。
菲舍尔的保安在周围
就在我们说话的地方。十
飞行时间为一周
这个水平——你永远达不到
而不会被杀死。向下
是唯一的出路。我们
继续下去。
斋藤呻吟一声。科布看着他——
82.
科布
：我们必须快点做。
埃姆斯和亚瑟对此进行了权衡。
科布·
埃姆斯，去准备一下。亚瑟，我们
进去让他放松点。
内景：浴室、仓库，稍后拍摄
科布和亚瑟戴着巴拉克拉瓦帽，把袋子从
菲舍尔的头。他被拴在暖气片上。
菲舍尔
我买了绑架保险
一千万——这很简单——
科布：
不，不会的。
菲舍尔不安地看着科布。
亚瑟
在你父亲的办公室里，下面
书架，是他的私人保险箱。
我们需要这种结合。
菲舍尔
我从来没有注意到一个安全-
COBB
并不意味着你不知道
组合。
菲舍尔：
嗯，我不知道。
亚瑟
我们有充分理由相信
你做。
菲舍尔
谁的？
内部办公室、仓库 - 连续
尤瑟夫翻看菲舍尔的钱包。埃姆斯正在打开一个
铰链式三翼镜。
尤素夫
： 五百美元，这个值多少钱？
埃姆斯：
里面有什么？
83.
尤素夫：
现金、银行卡、身份证……还有这个——
尤瑟夫举着一张快照：这是莫里斯·菲舍尔的
办公室-年轻的罗伯特拿着他自制的风车，他的父亲
吹了吹。埃姆斯从尤瑟夫手里接过。仔细研究。科布
进来了。埃姆斯递给他快照。
EAMES
有用吗？
科布仔细地看着快照。埃姆斯在
铰链镜从多个角度：一个接一个，无数
埃姆斯的倒影变成了布朗宁。科布把照片放进口袋。
科布：
你开始吧。你有一小时的时间。
埃姆斯：
一个小时？我本来应该
晚上破解他。
科布
和斋藤应该保留他的
内心充满勇气。你有一个
小时-得到一些我们可以使用的东西。
埃姆斯从镜子前转过身，就像布朗宁一样。他瞥了一眼自己的
观看，然后尖叫，仿佛在乞求怜悯——
仓库内部浴室 - 连续
布朗宁的哭喊声回荡——菲舍尔抬起头，担忧地——
菲舍尔
那是什么？
亚瑟
权威人士。
又一声哭喊响起。菲舍尔认出了这个声音。
菲舍尔：
彼得叔叔？！让他们停下来——
亚瑟
这个组合。
菲舍尔：
我不知道！
亚瑟
布朗宁为什么要告诉我们你这么做？
菲舍尔：
让我跟他谈谈——我会找到答案的。84
.
内景，仓库浴室，片刻之后
科布把浑身是血、伤痕累累的布朗宁 (埃姆斯 饰) 推入
房间，强迫他坐在菲舍尔旁边。科布用手铐铐住了他
布朗宁的手腕被固定在水槽边上的金属支架上。
科布：
你有一小时的时间。开始讲吧。
科布离开。
布朗宁（埃姆斯）：
他们已经控制了我两天了。
他们找到了可以访问
你父亲的办公室，他们
试图打开他的保险箱——他们
我以为我知道密码，
但我没有-
菲舍尔：
我也不知道，彼得叔叔。
布朗宁
（困惑）
莫里斯告诉我，在他
只有你才能通过
打开它。
菲舍尔：
他从来没有给我密码。
布朗宁想了一会儿，意识到了什么。
布朗宁
他确实知道，只是没告诉你
这是一种组合。
菲舍尔：
那么，怎么样？
布朗宁
只有你知道的事情。
有意义的数字组合
根据你与莫里斯的经历-
菲舍尔：
我们没有太多有意义的
共同经历。
布朗宁：
也许在你母亲去世之后……
菲舍尔
我母亲去世后，我去找他
在我的悲痛中。
（更多）
85.
菲舍尔（继续）
你知道他告诉我什么了吗？“
真的没什么可说的，罗伯特。”
布朗宁
他总是很难
情感-
菲舍尔：
我当时十一岁，彼得叔叔。
布朗宁（埃姆斯）接受了这一点。
布朗宁
他爱你，罗伯特。用他自己的方式。
菲舍尔：
“挡他的路了？”最后他喊道
我把他带到了他的临终之床。他几乎
但他不厌其烦地
跟我说最后一句话。他拉
我靠近……我只能看见
一个词。“失望。”
布朗宁无话可说。
内部办公室、仓库 - 连续
科布摘下巴拉克拉法帽。他低头看着斋藤，
呼吸又快又浅。
科布
他怎么样了？
阿里亚德涅：
他非常痛苦。
科布握住斋藤的手，看着他的眼睛。
科布
当我们把你带到下一个
水平，疼痛就会减轻
激烈的。
斋藤点点头，呼吸急促。
阿里阿德涅
（低）
如果他死了呢？
科布
他的意识会脱离
梦境。他将被困在
一生都处于困境之中……
阿里亚德涅
这会对他造成什么影响？
86.
科布看着她，表情严肃。
科布
当他醒来时……他的思绪可能
完全消失了。
斋藤
当...当我们醒来时 我仍然会
尊重我们的安排……
科布悲伤地低头看着斋藤。
科布·
斋藤先生，当你醒来的时候你可能会
甚至不记得我们有一个
安排。你会忘记
这个世界。Limbo 将是你的
现实。迷失在那里太久，你会
已经变成老头了……
SAITO
满怀遗憾？
科布：
孤独地等待死亡。是的。
SAITO
那么我就来吧
回来。我们会是年轻人
又在一起了。
斋藤勉强笑了笑。科布朝他点点头，然后转向阿丽亚德涅。
阿丽亚德娜
您什么时候被困在 Limbo 的？
科布什么也没说。阿丽雅德妮把他从斋藤身边拉开。
阿丽雅德妮·
科布，你或许已经说服了
其余队员继续
这份工作。但他们不知道
真相。
科布
什么真相？
ARIADNE
事实是，在任何时候你
可能会让货运列车通过
墙。事实是，Mal
冲破你的
潜意识。
（更多）
87.
阿里亚德涅（继续）
事实是，随着我们深入
菲舍尔，我们还会更深入
对你来说——我不确定我们
我们会喜欢在那里发现的东西。
科布盯着阿丽亚德妮，什么也没说。
阿里亚德妮：
这不仅仅关乎菲舍尔，
这是关于你的。告诉我
你和玛尔也遭遇了同样的情况。被困在
地狱边缘。
科布看着她，仔细思考着。
科布：
我们在工作。探索梦境
在梦里。但我们没有
了解你的思想如何转变
数小时变成数年。如何获得
被困住了。陷得太深了，以至于当
你被冲到岸边
潜意识...
插入镜头：玛尔躺在沙滩上，凝视着万里无云的
天空，海浪拍打着她的身体……
科布
你可能会忘记什么是真实的。
阿里亚德涅
你被困了多久了？
科布停顿了一下才回答。他看着阿丽亚德涅。
科布
五十年。
阿里阿德涅难以置信地看着他。
阿里亚德涅
你是怎么忍受的？
插入片段：科布和马尔在沙滩上建造沙堡……
科布
我们建造。我们创造了一个完整的世界
为了我们自己……
插入镜头：科布和马尔穿过一座废弃的城市。
科布
一开始感觉还不错，
神。问题是知道
这不是真的。这变得不可能了
让我能够这样生活。
88.
阿丽阿德涅
但对她来说不是吗？
科布
她接受了。在某个时刻……
插入镜头：
内景，MAL的童年故居，白天
玛尔打开了一间娃娃屋。里面有一个保险箱。她打开了它——它
是空的。她拿出了她的陀螺。
科布（画外音）
：她决定忘记我们的
世界不是真实的。
玛尔把盖子放进保险箱。然后锁起来……
内景，办公室，仓库 - 连续
ARIADNE
你什么时候醒来的？
科布
从此醒来。几十年来
活了下来。被抛回老灵魂
进入青春期。这很艰难。起初
马尔看起来还好。但我开始
意识到有些不对劲。
她终于承认了。这个想法
她被迷住了。这个简单的
改变的小想法
一切...
阿里亚德涅
那是什么？
科布
我们的世界不是真实的。不
无论我做了什么，无论我
她说，她确信我们
还在梦里。我们
需要再次醒来……
内景，科布和马尔的厨房，白天（闪回）
科布试图让歇斯底里的玛尔平静下来。
科布（画外音）：
为了回家，我们必须杀死
我们自己。
内部工作坊 - 白天
阿里阿德涅震惊地看着科布。
89.
阿丽亚德妮 那
你的孩子怎么样？
科布不得不把目光移开。
科布
她……她相信他们不是
真实的。我们真正的孩子
等待着。在上面某处……
内景，科布和马尔的厨房，白天（闪回）
当科布把孩子们带出
房间里，看不见的面孔-
科布：
冷静点，玛尔——
MAL
它们是投影，Dom。你的
梦想。我是他们的母亲——你不觉得吗
您认为我能分辨出区别吗？
科布关上门，转身看着她，眼里满是苦涩
眼泪。
科布
如果这是我的梦想 那为什么我不能
控制它？为什么我阻止不了？
MAL
（很明显）
你不知道自己在做梦。
科布
你一直告诉我我——
MAL
你不相信我！
科布（画外音）：
她很确定。但她爱我
没有我，她承受不了。所以她
制定了一个计划...
内景，优雅的酒店走廊，夜晚（闪回）
科布一边走，一边对照钥匙核对门牌号。
科布（画外音）：
为了我们的周年纪念日……
内部：优雅的酒店套房 - 连续（闪回）
科布走进豪华套房。他注意到凌乱的
床上用品
。90。
他向前走去——砰——他打翻了一瓶香槟
用脚踩玻璃...两人晚餐遍布
地板。他困惑地看着那些残骸……旁边是破碎的
玻璃是一个陀螺。他拿起它，仔细观察，
思考着。他感到一阵穿堂风，便看向窗外。
窗帘飘扬。
外部。外部中庭 - 连续（闪回）
科布望向窗外：玛尔坐在窗台上
对面的窗户。头发飘扬。脚悬在窗外
令人眩晕的高耸心房。她笑了。
MAL
加入我。
科布·
马尔，回来吧。
MAL
不。我要跳。你
跟我一起去。
科布
不，我没有。这是真的——如果你
跳下去，你就醒不过来了，
你会死的。我们回去吧
请进去讨论一下这个问题。
MAL
我们已经谈够了。
她踢掉一只鞋并看着它掉下来。
MAL
到窗台上来，不然我就
现在就跳。
她说的是真的。科布摆开双腿，坐在窗台上。
对面是妻子。他低头看着水滴。
MAL
我请求你迈出这一步
信仰。
科布：
我不能这么做，玛尔。我不能离开
我们的孩子。
MAL
如果我不带你去，他们会带走
无论如何，把它们带走。
科布：
你什么意思？
91.
MAL
我给我们的律师提交了一封信。
解释我如何担心我的
安全，你如何威胁
杀了我...
科布回头看着被毁坏的酒店套房，惊慌失措……
玛尔（继续）：
我爱你，多姆。我释放了你
因选择离开而感到内疚
他们。我们要回家，回到我们真正的
孩子们。
科布
我们的孩子来了，玛尔。
玛尔闭上了眼睛。科布想方设法接近她……
MAL
您正在等火车……
科布
不！马尔，不，我不能！
马尔
一列能带你远行的火车
离开...
科布：
别这样！
马尔：
你知道你希望这列火车去哪儿
会带你去，你不知道
当然...
科布
不要！
马尔：
但这并不重要……
科布：
不！
马尔：
因为你们会在一起……
玛尔滑入太空。科布在她身后尖叫。然后
试图将脸埋在墙里……
内景，办公室，仓库，白天
科布一边回忆一边凝视着。
92.
科布
给当局的信
驳斥了所有关于她的说法
她知道我会做出理智的决定……
内景，科布和马尔的厨房，白天（闪回）
科布和瘦子站在一起，瘦子手里拿着一张纸。
科布（画外音）：
她已经让自己恢复理智了
三位不同的精神科医生。
科布听到一声喊叫——他转向花园。詹姆斯蹲下，
菲利帕跟着他，检查地面，面对看不见的……
科布（画外音）（继续）
我无法解释
她疯狂的本质……
瘦子把纸条塞到科布的手里。
瘦子：
现在就做。或者永远不做，科布。
科布转身回到窗前——正要喊——詹姆斯和
菲利帕跑开了。科布从窗边转过身来。看着
他手里拿着一张纸。这是一张飞机票。
科布（画外音）：
所以我跑了。我一直在跑。
从那以后，我试图用钱来
回到我的家人身边……
内景，办公室，仓库，白天
科布看着阿丽亚德涅。
ARIADNE
精神病医生判断她精神正常吗？
科布：
她很理智。她只是迷失了
迷宫。
阿里亚德妮
那你为什么要责怪自己呢？
科布
因为我们是一家人。而且我们
我会尽我所能
回到现在。但现实
但这对我来说还不够。
93.
阿丽亚德涅
或许你的想法是
挑战极限吧，科布。但你
不负责的想法
毁了她。
世界不是真实的……那是她的
她自己的想法。
科布什么也没说。
阿里亚德妮（继续）：
你的罪恶感定义了她，赋予了她力量。
如果我们想成功的话，
你必须原谅
你自己，你将拥有
去面对她。但你没有
独自完成这件事。
科布
你不必为我这么做——
阿里亚德妮：
我是为了其他人。他们
不知道他们承担了多大的风险
和你一起来这里。
科布看着对面的屋顶，看到一名狙击手拿起
位置。科布沮丧地摇了摇头。
科布：
我们不能留在这里。亚瑟？！
仓库内部浴室 - 连续
布朗宁把手放在菲舍尔的肩膀上。
布朗宁：
这些人会杀了我们的
如果我们不给他们
组合。
菲舍尔：
他们不会，他们会试图勒索
我们-
布朗宁：
我听到了——他们要锁门了
我们进去，把罐子放进
河。
菲舍尔：
保险箱里有什么？
94.
布朗宁：
给你的。莫里斯总是
他说这是他迄今为止
礼物……遗嘱。
FISCHER
Maurice 的遗嘱与 Port 和
邓恩。
布朗宁：
这是替代方案。它取代了
另一个只有当你想这样做的时候才这样做。
菲舍尔：
上面说什么？
布朗宁
它分裂了所有的组件
Fischer Morrow 的业务
个别公司，转让
所有权归董事会所有
公司...
菲舍尔
什么都没留给我吗？
布朗宁：
基本生活。仅此而已。
整个帝国将不复存在。
菲舍尔：
毁掉我的遗产？为什么
他会提出这样的建议吗？
布朗宁：
我不知道，罗伯特。
科布打开了门。亚瑟在他身后。
科布
回过神来吗？
菲舍尔：
我们走吧。我不知道
结合。不是有意识的。
科布想了想。打开手机。拔出枪。
科布
让我们凭直觉试试吧。我
有人站在你父亲的
办公室准备接入
组合。
他把电话放到菲舍尔的嘴边。
95.
科布（继续）
进入的前六个数字
你的头。现在。
菲舍尔：
我不知道——
科布举起枪指向布朗宁——
科布
，现在！
菲舍尔
五，二，八……四，九，
一。
科布放下武器。听着电话。摇了摇
头。关掉电话。
科布
你得做得更好。把它们装进袋子里。
亚瑟将麻袋放在他们头上。
内部仓库 - 连续
科布和亚瑟把菲舍尔和布朗宁拖到货车上——
FISCHER
我们对你来说更有价值
活...
Arthur 把 Fischer 放在后座上，用滴管
将液体滴到菲舍尔的面具上——他的头向前垂下。
“布朗宁”猛地把麻袋从他头上拽下来——现在是埃姆斯了。
埃姆斯
（兴奋）
他与父亲的关系
比我们想象的还要糟糕。
亚瑟
这对我们有帮助吗？
亚瑟从货车旁边的箱子里拿出一把狙击步枪。
科布
问题越严重，
强力的宣泄。
科布示意尤瑟夫跟着他上楼。
亚瑟：
但是如果
他们的关系这么疏远吗？
96.
埃姆斯：
我正在努力。
亚瑟透过窗户瞄准了一枪——
阿瑟：
嗯，快点工作——菲舍尔的
预测很快就要结束了，
我们必须先离开这里
我们完全被困住了……
亚瑟射杀了两名狙击手。科布和尤瑟夫轻轻地给斋藤装填子弹。
进了货车。他呻吟了一声。阿里阿德涅帮他系好安全带，检查他的
绷带。亚瑟没能抓住最后一个狙击手——他藏得太深了
在墙后面-
EAMES
不应该害怕梦想
稍微大一点，亚瑟——
埃姆斯用榴弹发射器瞄准射击。
狙击手在空中爆炸——亚瑟看着埃姆斯。
埃姆斯（继续）：
我们可以吗？
他们爬进货车——
内景/外景：雨天街道上的货车 - 连续
货车驶入雨水淋漓的街道。亚瑟
打开机械箱并递出管子-
COBB
将菲舍尔的反感从
他的父亲对布朗宁应该
工作。
埃姆斯：
我们需要图像、文字……
阿里亚德涅
所以你毁了他的一个优点
关系？
科布
不。我们修复他与
他的父亲，并揭露他的
教父的本性。
埃姆斯：
该死，我们应该起诉菲舍尔
和斋藤一样多。
97.
亚瑟
他的安全怎么办？
随着我们深入，情况会变得更糟。
科布：
我们请查尔斯先生进来。
亚瑟
号
埃姆斯
查尔斯先生是谁？
亚瑟
一个坏主意。
科布·
阿瑟，我们一接近
菲舍尔在那家酒店，他们
要把我们打倒——我们和先生一起跑。
查尔斯喜欢斯坦的工作。
埃姆斯：
那么你以前做过吗？
亚瑟：
当然。但是没用。
受试者意识到自己在做梦
他的潜意识把我们撕碎了
件。
埃姆斯接受了这一点。
埃姆斯：
不过你学到了很多东西。对吧？
科布
（对埃姆斯）
我需要一个诱饵。
埃姆斯
没问题。来个漂亮的怎么样？
小姐姐我以前用过吗？
COBB
Fine-
科布回头一看，第二辆 SUV 开出来，跟踪他们。
科布（继续）
（对尤瑟夫说）
我知道你必须保持领先
他们，但小心驾驶，
好吗？下面的世界正在
非常不稳定-
98.
亚瑟
：别太快跳下去——
那一脚是我们唯一的回击，我们
必须做好接住它的准备-
YUSUF
我会用音乐让你知道
当它到来时，但其余的是
由你决定。
亚瑟把装置放到前座上。
尤素夫（继续）
大家都准备好了吗？
大家都点头。
尤素夫（继续）
做个好梦——
尤瑟夫按下按钮，我们——
镜头切换：
酒店大堂酒吧内景 - 日落
菲舍尔小口喝着饮料，凝视着冰块裂开的痕迹。
金发女郎（OS）：
我让你厌烦了吗？
菲舍尔抬起头。他旁边是一位美丽的金发女郎。
金发女郎（继续）：
我正在跟你讲我的故事。我想
这不符合你的口味。
菲舍尔：
我心里有很多事情。
菲舍尔环顾酒吧。有几个表情严肃的人
角色对他关注过多。
酒店大堂内部 - 连续
亚瑟和阿丽雅德妮坐在大厅对面的一张桌子旁。他们发现
科布穿过大厅向菲舍尔走去。
亚瑟
查尔斯先生就去了。
阿里亚德妮：
究竟谁或什么才是先生？
查尔斯？
99.
亚瑟
这是一场旨在扭转局势的策略
菲舍尔反对自己的
潜意识。
酒店大堂酒吧内部 - 连续
科布走向酒吧，菲舍尔的副手密切注视着他。
安全。
科布：
菲舍尔先生！很高兴再次见到您。
罗德·格林，市场营销。
（对金发女郎说）
你一定是...
金发女郎
离开。
她从凳子上滑下来，压在菲舍尔身上，
在他面前放了一张鸡尾酒餐巾。
金发女郎（继续）
以防你觉得无聊。
科布目送她离开。潜伏的保安跟在她身后。
科布：
我想你只是被吹走了……
除非她的电话号码确实
只有六位数字。
菲舍尔看了一眼餐巾纸：“528-491。”
酒店大堂内部 - 连续
亚瑟看着潜伏的保安人员跟踪金发女郎。
阿里亚德涅：
那你为什么不同意呢？
亚瑟
因为它涉及到告诉
标记他在做梦。哪个
涉及吸引大量
关注我们。
阿里亚德妮：
科布不是说过永远不要这么做吗？
阿瑟
你现在肯定已经注意到了
Cobb 做他想做的事情的时间
说永远不要做。
100.
内部。酒店大堂酒吧 - 连续
科布转向菲舍尔。
科布
交朋友的方式很奇怪。
（外观）
我的意思是，偷走你的钱包。
菲舍尔拍了拍口袋。空空如也。他看向大厅，那里
他看到潜伏的保安人员正在跟踪金发女郎。
菲舍尔：
该死。光是钱包就
值得-
科布
五百块。我知道。别
担心，我的人正在处理这件事。
菲舍尔：
你说你是谁？
菲舍尔好奇地看着他。科布继续往前走，充满自信——
科布：
我说我是罗德·格林
营销——但我不是。我的名字是
查尔斯先生。我可能看起来很眼熟
给你。我负责你的
这里很安全。
酒店大堂内部 - 连续
金发女郎急忙向从电梯里出来的斋藤走去——
金发
女郎： 斋藤先生，可以给我一点时间吗？
她把他推回电梯，关上了门
子安全方法...
内部电梯 - 连续
金发女郎抚摸着斋藤的翻领，靠近他。
斋藤：
对不起，但是……
Saito 回头看了一眼，发现在隧道里
电梯对面产生的无限反射
镜子里映出三个倒影，金发女郎是埃姆斯。他眨了眨眼。
斋藤（继续）
（把他推开）
非常有趣，埃姆斯先生。
101.
埃姆斯
你看上去精神多了。
电梯里传来一阵颤抖。
斋藤
飞机上出现乱流。
埃姆斯
感觉更近了。那是尤瑟夫的
驾驶。
我们——
镜头切换：
内景/外景，货车行驶在雨中的市中心街道上，白天
当货车驶入小巷时，尤瑟夫奋力控制方向盘，
除了坑洼和砸碎垃圾桶之外，还有三辆 SUV
猛烈追击。尤瑟夫看着后视镜，
沮丧。他看了看手表，又看了看背面：
睡眠者因冲击而摇晃，我们-
镜头切换：
内景，酒店大堂酒吧，夜晚
当酒吧里传来一阵震颤时，菲舍尔看着科布
试图安置他。
菲舍尔
保安？你在酒店工作吗？
科布
不。我的专长是潜意识
安全。
菲舍尔：
你在谈论梦想。你
谈论提取。
科布：
没错。我的工作是保护
你...
菲舍尔身后，一位服务员放下托盘，倒了一瓶香槟
玻璃杯翻过来——摔碎了——科布注意到了。他停了下来，看向吧台对面——
他的两个孩子蹲着，背对着我们……
科布环顾酒吧，顾客们开始盯着
科布，怀疑——科布转回菲舍尔——
102.
科布（继续）
我的工作是保护你免受任何
尝试通过
你的梦想。
科布恢复了他的喋喋不休——顾客们失去了兴趣……
内部电梯 - 连续
埃姆斯掏出菲舍尔的钱包，递给斋藤，
然后暂停，打开它，翻过演员表，找到……
快照：年轻的罗伯特拿着他自制的风车，他的
父亲吹着它。电梯门打开，埃姆斯走了进来
关掉。斋藤递给了钱包。
埃姆斯
在另一层下车，
继续前进。扔掉钱包，然后
在大厅等我。保安
我们会尽力追踪它。我们需要
为柯布争取更多的时间。
门关上了。斋藤把钱包放进口袋。他
咳嗽——深沉而剧烈的咳嗽。
酒店大堂酒吧内部 - 连续
科布越过菲舍尔的肩膀，看到一个西装革履的男人
看着他。另一个男人正从大厅走进来。
科布：
你在这里不安全。
科布从酒吧走开。菲舍尔一动不动。
科布（继续）：
相信我。他们是来找你的。
菲舍尔打量着他，一阵雷鸣般的回响，我们——
镜头切换：
内景/外景，货车行驶在雨中的市中心街道上，白天
枪声震碎了货车的后窗和侧窗——
保安从领头的SUV里探出身子，手里拿着一把霰弹枪——
风雨穿过货车——在后面，亚瑟的
睡眼惺忪的脸被水花拍打，镜头
切换到：
内景：酒店大堂酒吧 - 日落
菲舍尔看着窗外突然下起的飓风般的大雨——
103.
科布：
天气很奇怪，是吧？
酒吧里传来一阵震动——科布环顾四周——
科布（继续）：
你感觉到了吗？
酒店大堂内部 - 连续
Ariadne 和 Arthur 看着阵阵风吹来
窗户。亚瑟看到酒店的客人正盯着窗外的天气，
困惑不解。他们中的一些人转过身，直视着亚瑟。
阿里亚德妮
发生什么事了？
亚瑟·
科布引起了菲舍尔的注意
梦境的奇异之处。
这让他下意识地
为了梦想家，为了我。
我们——
镜头切换至：
内景/外景，货车行驶在雨中的街道上，白天
在巷子的尽头，尤瑟夫把货车扔进了一个
右转——我们进入极慢动作……沉睡者
在后面的物体被离心力拉向货车的一侧
……然后我们-
镜头切换至：
酒店大堂酒吧内景 - 连续
菲舍尔饮料中的液体上升到
玻璃——菲舍尔注意到了，感到很困惑。
科布
非常奇怪——天气，
重力...
菲舍尔环顾酒吧——好像整个房间都是
以 45 度角设置 - 玻璃杯从桌子上滑落......
科布（继续）：
但我可以解释这一切。你
实际上已经接受过这方面的训练。
（菲舍尔点头）
想想
天气、重力的变化。
这一切都不是真的……
（更多）
104.
科布（继续）
（节拍）
我们在梦里。
菲舍尔环顾四周。转身看着科布。
穿过酒吧，顾客们齐声看向科布。
科布（继续）
最简单的测试就是
说的是让你尝试
记得你
到达这家酒店...还好吗？
菲舍尔盯着科布，努力消化这一切。
他们盯着科布。有几个人站起身来，似乎要走近。
科布（继续）：
呼吸。记住训练。
接受我们处在一个
梦想。这就是我来这里的原因
保护你。
正如菲舍尔认为的那样，我们
镜头切换至：
内景/外景，货车行驶在雨中的街道上，白天
尤瑟夫把货车扶正，沿着街道飞驰，
在车流中穿梭，我们-
镜头切换：
内景，酒店大堂酒吧，晚上
建筑物逐渐恢复到原来的位置-
菲舍尔：
所以你……你不是真的？
酒吧的顾客又开始忽视科布了。
科布
不，我是你的投影
潜意识里。我被安排去
保护你
提取器将你拉入梦境。
我相信事实就是这样的。
菲舍尔注意到了这一点。然后看着保安人员
他穿过弯曲的地板，向科布点点头——
105.
酒店大堂内景，晚上
科布陪着菲舍尔穿过大厅。他
走过那两个孩子，背对着我们——科布无视他们——
两名副警卫落在后面。科布催促菲舍尔
楼梯——然后把他推入——
酒店大堂浴室内部 - 连续
菲舍尔跌跌撞撞地转向科布，愤怒地——
菲舍尔
嘿-
科布把手伸进夹克里——第一人冲了进来——科布
把他踢倒在地，然后拔出枪
穿过门，走向菲舍尔——
砰！科布从背后狠狠地揍了第二个人一顿——转身
射杀第一人。
菲舍尔（继续）：
天呐！你在干什么？！
科布转向菲舍尔，神情平静。令人信服。
科布
看看他手里的枪。
菲舍尔看着：第二个人拿着一把手枪。科布
打开第一人的夹克，向菲舍尔展示他的枪套，
随身武器。
科布（继续）：
这些人是被派来绑架你的。
科布拔出枪并递给菲舍尔。
科布（继续）：
如果我要帮助你，我需要
你要冷静。
菲舍尔想起了一些事。
菲舍尔
如果这是梦，我必须杀了他
我自己醒来——
菲舍尔举起枪对准自己的头——
科布：
我不会这么做——他们可能
给你注射了镇静剂。如果你这么做
触发，你可能不会醒来，你
可能会陷入更低级的梦境
状态。
（更多）
106.
科布（继续）
菲舍尔先生，你知道这一切，你
只需记住它...
菲舍尔放下了枪。
酒店走廊内部 - 连续
斋藤沿着走廊走去，身后跟着一名保安。
Saito 绕过拐角，来到垃圾槽，
菲舍尔的钱包掉进去了。他溜进了楼梯间
当保安人员与降落伞并排时，他停了下来。
酒店走廊内部 - 连续
亚瑟带领阿里阿德涅来到一个特定的房间：491。
491 号房间 - 连续
亚瑟领着阿里阿德涅进来。他打开壁橱，打开房间
安全，拉出我们的四块塑料炸药。
ARTHUR
所以，如果一切正确的话，这
房间应该就在 528 的正下方。
酒店大堂浴室内部 - 连续
科布安慰地看着菲舍尔。
科布
你还记得以前发生过什么
这个梦？
菲舍尔
（思考）
雨...枪声...彼得叔叔。
（抬头）
天啊，我们被绑架了。
科布
他们把你关在哪儿？
菲舍尔
他们把我们带到了……
货车……
科布
你的身体在
现在在一辆货车后面
解释重力变化。
菲舍尔：
这与……保险箱有关……
天啊，为什么这么难
记住？
107.
COBB
这就像试图记住一个
醒来后再做梦。它
需要多年的练习才能做到
很容易。所以你和布朗宁
被拉进这个梦里，所以他们
可以从你的脑海中窃取一些东西。
什么？
菲舍尔
他们想要一个组合
安全……他们要求第一个
数字突然出现在我的脑海里。
科布
：他们正在提取定位器。
菲舍尔
定位器？
COBB
你自己的一个号码
潜意识。它可以用于任何
方法数量...
（思维）
这是一家酒店。房间号。什么
你给他们的号码是多少？
FISCHER
5，2......什么......这是一个漫长的
号码。528...528，4 某事。
科布
（打开电话）
好吧，我们知道从哪里开始。
（对着电话）
五楼。
491 号房间 - 连续
亚瑟挂了电话。他站在椅子上，
将炸药安装到天花板上。
ARIADNE
您使用计时器吗？
亚瑟
不，我得自己判断。一旦
你们都在528房间睡觉，我
等到尤素夫开始踢球……
阿里亚德涅
你怎么会知道？
108.
亚瑟
他的音乐警告我，一切即将来临，
然后货车撞上了
这座桥应该是无误的——
那时我就会把地板炸掉
从我们下面，我们得到一个
漂亮的同步踢球。太快了，
我们也不会被拉出来
迟到的话我就没法放下
我们。
阿里亚德涅
为什么不呢？
阿瑟：
货车将会自由落体。我
没有重力就无法把我们抛下去。
亚瑟完成了炸药的安装。
酒店大堂内部 - 连续
斋藤穿过大厅。布朗宁走进来
另一个方向。斋藤认为他是埃姆斯。
SAITO
我看得出你变了。
布朗宁：
我很抱歉？
埃姆斯走到布朗宁身后，引起了斋藤的注意。
斋藤：
我……我把你误认为朋友了。
布朗宁：
我确信，他是个英俊的小伙子。
布朗宁走开了。斋藤走向埃姆斯。
埃姆斯：
这是菲舍尔的预测
布朗宁。我们会密切关注
他的行为——
斋藤
为什么？
埃姆斯
他的行为将告诉我们
菲舍尔开始怀疑他的
按照我们希望的方式表达动机。
109.
酒店走廊内部，五楼 - 片刻之后
科布带着菲舍尔拐了个弯。亚瑟和阿丽雅德妮
在走廊里等候。
科布
他们为我工作。
菲舍尔开始查看房间号。停在528。科布
拔出枪，从门口退后，用脚踢开门。
室内528室 - 连续
科布跳进房间，举起枪。房间里空无一人。亚瑟
和Ariadne搜查房间。Saito和Eames到达。Eames
关上门。亚瑟发现了一些东西——
亚瑟
查尔斯先生！
亚瑟举起一个机械盒。科布把它展示给菲舍尔看。
科布
你知道这是什么吗？
菲舍尔的目光在表盘和柱塞上扫视。
菲舍尔：
我想是的。但我不明白。
科布
他们要把你麻醉。
菲舍尔：
我已经沉下去了。
科布
再次陷入困境。
菲舍尔：
梦中之梦？
亚瑟
嘘！
亚瑟在门口。有人在那里。一把钥匙插进
锁——门开始打开——亚瑟伸手去抓
进入的人把他们扔到地上，放下枪
在他们的脸上。它正在变黄。
菲舍尔难以置信地盯着自己的教父。
菲舍尔：
彼得叔叔，发生什么事了？
科布从布朗宁手中抽出钥匙：528房间。
110.
科布
你说你被绑架了
一起？
菲舍尔：
不完全是，他们已经抓住他了。
他们一直在折磨他……
科布
你看见他们折磨他吗？
菲舍尔摇摇头，看着布朗宁，思考着。
菲舍尔：
绑匪正在为你工作。
布朗宁：
不，罗伯特——
菲舍尔
你正在试图确保安全
打开。获取替代意志。
布朗宁抬头看着菲舍尔。
布朗宁·
菲舍尔·莫罗一直是我的
生命。我不能让你毁了它。
菲舍尔
我不会扔掉我的
继承。我为什么要这么做？
布朗宁：
我不能冒这个险
达到你父亲的最终
嘲讽。
菲舍尔
什么嘲讽？
布朗宁：
好的。罗伯特，对不起，但是
这是他最后的侮辱。挑战
为自己创造一些东西。
他告诉你你不是
配得上他的成就。
菲舍尔得知此事后，悲痛欲绝。
菲舍尔
：他“失望”了？
111.
布朗宁：
很抱歉。但他错了。
你会让他的公司更加
比他曾经所能做到的还要伟大。
科布：
你的教父在撒谎，罗伯特。
菲舍尔转向科布。
菲舍尔
你怎么知道的？
科布：
我就是这么做的。他躲起来了
某物。
科布看着布朗宁。
科布：
我们来查一下。
科布向亚瑟点点头，亚瑟开始拆开机器。
布朗宁注视着。沉默不语。
科布
让我们对他做他想做的事
对你做。
科布卷起袖子，并向菲舍尔点头示意他也这么做。
科布
我们会进入他的潜意识
找出他不想要的东西
你知道的。
菲舍尔看着科布的眼睛。他决定——卷起袖子，
伸出裸露的手臂。队员们互相拉着管子——
亚瑟给菲舍尔注射了药物，菲舍尔的头耷拉了下来。
亚瑟
他出去了。
阿里亚德妮：
等等，科布——我迷路了。谁的
我们要进入潜意识吗？
科布·
费舍尔的。我告诉他
布朗宁，所以他会和我们一起去
我们团队的一部分。
亚瑟
（印象深刻）
他会帮助我们闯入
他自己的潜意识。
112.
科布
就是这个主意。他会认为
他的保镖是布朗宁，
与他们战斗以了解真相
他的父亲。
亚瑟按下装置上的按钮。队伍出发了
仅差一人。科布排在最后。
COBB
Fischer 的潜意识将会
狠狠地打击你。
亚瑟：
我会带领他们进行一场快乐的追逐。
科布
及时回来踢球。
亚瑟：
我正在做这件事。
科布不再听了——他盯着网状窗帘，
像马尔套房里的那些一样翻腾——瞥见某人
（Mal？）屏幕变白，我们——
白雪皑皑的山脉 - 白天
特写镜头：科布的脸，凝视着。固定。
阿丽亚德妮（画外音）：
科布？科布？
阿里阿德涅在他身边。他们站在悬崖上，身着
白色的雪地服，携带二战时期涂成白色的武器
突击队员。科布检查了他的狙击枪，检查了他们的
目标：位于地下一英里处的大型强化医疗设施。
阿里亚德妮
那下面是什么？
科布
希望我们想要的真相
菲舍尔学习。
阿里亚德涅：
我的意思是你下面有什么东西？
科布转向她。埃姆斯、斋藤和菲舍尔来了，正在滑雪
从山上下来。科布把埃姆斯从菲舍尔的
听力范围。
科布
你是个梦想家。我需要你
把安全从
复杂的。
113.
埃姆斯：
那谁带菲舍尔进来？你？
科布
如果我知道路线……我们就可以
妥协。
埃姆斯看着科布，感到不安。阿里阿德涅走了过来。
ARIADNE
我设计了这个地方。
科布：
不，你跟我一起。
斋藤（画外音）：
我能做到。
他们转向斋藤。斋藤对埃姆斯耸耸肩。埃姆斯笑了。
科布·
埃姆斯向斋藤简要介绍了路线
进入综合体。我们
寻找的是
防御最严密的地区。
那座北塔。
科布走向菲舍尔。斋藤咳嗽。吐口水。埃姆斯看到血
在雪地上。看着斋藤。
科布：
菲舍尔先生，你要和
斋藤先生。
菲舍尔：
你不进来吗？
科布
你得自己做这件事。
你必须进入那里，打破
进入你教父的脑海并发现
说出有关你父亲的真相。
科布轻敲菲舍尔的无线电麦克风。
科布
一直保持这个状态。我会
聆听并掩护你。
（举起狙击手
步枪）
楼上的窗户是
大到足以遮住你
从南塔。
114.
科布戴上滑雪板，扛起步枪。
镜头切换：
内景，528房间，夜晚
亚瑟检查了一下机械装置。他听到雷鸣般的低沉轰鸣。
他看了看表——秒针向前移动。
最后看了一眼熟睡的人们，他走向走廊……
内景/外景：货车行驶在雨中的市中心街道上，白天
尤瑟夫开车时，一声枪响击中了货车——他回头看了一眼
看到一辆摩托车停在他身后，后排乘客
射击猎枪-自行车停在尤瑟夫的窗户旁边，
乘客重新装弹——尤素夫猛地把方向盘推向
自行车，把猎枪枪管带进驾驶室，这样他就可以抓住
把方向盘转回来——把后面的乘客拉出来
自行车……尤瑟夫拐过一个弯，走进一个废弃的
市场
- 酒店走廊 - 连续
亚瑟走向电梯。电梯门开了——一名保安
出现了，正朝他冲过来。亚瑟转弯，加速
起来。轰隆声越来越大，我们——
镜头切换：
内景/外景，货车行驶在雨中的市中心街道上，白天
自行车从货车后面穿过，再次追上
司机掏出手枪，开始射击。前方，一辆
SUV 停在路边，排队等候面包车的到来——
驾驶SUV的保安开枪射击，因为自行车
悄悄地爬到货车的另一边——尤瑟夫撞到了
刹车，迫使自行车冲到SUV的行驶路线上，
把骑手像布娃娃一样抛来抛去——
离开市场后，货车冲上了高速公路
坡道，接近桥梁。一辆SUV撞上了
货车的侧面，将其推向防撞护栏……货车
随着SUV的推行，车辆开始缓慢地越过障碍物——
镜头切换：
酒店走廊内景，夜晚
当亚瑟匆匆走过走廊时，走廊开始
倾斜，亚瑟被迫跑到墙上——他绕过
一个角落——直接撞向另一个保安——Arthur Head
用屁股顶住他，他们开始挣扎——当他们挣扎的时候，走廊
旋转着，把它们抛到墙上、天花板上——
当墙变成地板时，他们从门里掉进去-
115.
内部酒店房间 - 连续
纺纱房里的战斗仍在继续——而我们——
镜头切换至：
内景/外景。货车行驶在桥梁附近下雨的匝道上，白天
睡梦中的亚瑟在货车倾斜、刮擦声中蹦蹦跳跳
沿着障碍物——货车越过障碍物的末端，
滚下堤岸，我们——
镜头切换：
内景，酒店房间，夜晚
亚瑟和保安倒在地上，亚瑟在上面。
亚瑟起身走向楼梯间。
内景/外景：货车行驶在桥附近的雨天街道上
货车砰的一声停了下来。尤瑟夫呼吸急促。然后
当他意识到自己完好无损时，他笑了。铃声响了起来
前方让他抬头看向桥，那里有障碍物
开始下降。尤瑟夫看了看手表——
尤素夫
混蛋。
尤瑟夫猛踩油门，朝桥驶去。一辆SUV停在
在他身后，试图在货车穿过
桥上的障碍物
货车刚好通过，后面的 SUV 就被撕裂了
停了下来，在上升段刮擦着停了下来。安全
车内的男子开始向货车射击……
酒店内部楼梯间 - 连续
亚瑟跑下台阶——打开了第四层的门
楼层——491 房间外面有保安人员。
亚瑟
嘿！
他们转身冲回楼梯间，沿着
楼梯——保安人员跟上——他们开始射击，然后我们——
镜头切换至：
外景，白雪皑皑的群山，白天
埃姆斯滑雪下来，进入医院大楼的视线范围。他
伸手到背包里并发射了一束照明弹。
116.
外部医院综合楼 - 连续
城墙上的保安人员发现火光并派出巡逻队
乘坐滑雪板和雪地摩托出去调查。
外部。白雪皑皑的山脉 - 连续
埃姆斯看着他们靠近，然后跳下
山，划过冰坡，我们——
镜头切换至：
内景/外景，货车行驶在雨水密布的高架桥上，白天
尤瑟夫向前看，回头望去，对准
在边缘处向后跑。他躲开了来自
SUV猛击车辆。他看了看表。第二
指针缓慢地滴答作响……
尤素夫，
去他的。希望你准备好了。
他抓起一个 MP3 播放器，伸手到后面
亚瑟睡着时，头上戴着耳机。他这样做的时候，
注意到Saito的绷带正在流血。Yusuf按下播放键-
伊迪丝·琵雅芙的《不，我不后悔》开始了，我们——
镜头切换：
内景，酒店楼梯间，夜晚
亚瑟停了下来，听到了巨大的低音音乐
音调——他惊慌地抬起头——
亚瑟
不，尤瑟夫。太快了！
枪声震耳欲聋，打在他周围的楼梯上，我们——
镜头切换至：
外景，白雪皑皑的群山，白天
科布和阿丽亚德妮向建筑群走去。
埃姆斯（通过无线电）：
科布？你听到了吗？
科布侧耳倾听。风声异常低沉。
外部森林，白雪覆盖的山脉 - 连续
埃姆斯藏在一些树的底部，像一个
巡逻队从他的驻地下方经过。
117.
埃姆斯
我二十分钟前就注意到了——
一开始我以为只是风而已……
外部。白雪皑皑的山脉 - 连续
科布专心地听着。“风”的声音变了。
科布：
不，这是音乐。该死。
埃姆斯（通过无线电）：
我们该怎么办？
科布
我们动作很快。斋藤，你收到了吗？
外部山脉，建筑群的另一侧 - 连续
Saito 和 Fischer 从建筑群上方的悬崖上爬下来——
斋藤：
我们正在尽可能快地前进。
外部。白雪皑皑的山脉 - 连续
阿里阿德涅担忧地看着科布。
阿里亚德涅
我们还有多少时间？
科布·
尤瑟夫距离
跳跃，这让亚瑟
三分钟，这意味着——
阿里亚德涅
六十分钟。
科布
你给他们安排的路线，他们能吗？
不到一小时就能完成？
阿里亚德妮：
我不这么认为。他们还有
爬到中间
阳台。
科布
他们需要一条新路线——一条直达
路线。
ARIADNE
该建筑的设计是为了
迷宫。
118.
科布
必须有通道
穿过迷宫。
（对着收音机）
埃姆斯？
外部森林，白雪覆盖的山脉 - 连续
埃姆斯无法回答——他穿过森林，Sub-
保安紧追不舍，子弹砸在树干上……
外部。白雪皑皑的山脉 - 连续
科布转向阿丽亚德涅。
科布
埃姆斯添加了什么功能吗？
阿里亚德妮
是的。
科布
他又加了什么？
阿里阿德涅看着科布。
阿里亚德妮
我不应该告诉你。如果马尔——
科布：
没有时间了——他还加了什么？
ARIADNE
实用壁橱、活板门……
科布：
那服务特色呢？他有吗？
添加任何大型管道或-
ARIADNE
管道。他加装了一个空气管道系统——
它不走迷宫。他们
可以用它直接从
外墙至上塔。
科布
向他们解释一下。
阿里亚德涅
（对着收音机）
斋藤？
外部。复杂结构后面的悬崖面 - 连续
斋藤正在用锤子敲击保护点。
119.
SAITO
请说。
我们——
镜头切换至：
内景/外景，货车行驶在雨中的高架桥上，白天
尤瑟夫看着SUV里的保安，给了他
手指并击中了油门——在障碍物处向后行驶......
而我们-
镜头切换：
内景，酒店楼梯，夜晚
亚瑟跑上楼梯，手里拿着枪——绕过一个拐角——
不可能——来到保安身后，保安看着
他感到困惑，然后低头意识到他现在在
危险的下降边缘——亚瑟耸了耸肩。
亚瑟
悖论。
亚瑟把他推下悬崖——他摔倒了——亚瑟跑上前去
四楼——打开门——然后我们——
镜头切换至：
内景/外景，货车行驶在雨中的高架桥上，白天
慢动作——货车撞破混凝土障碍物——
而我们-
镜头切换：
酒店走廊内景，夜晚
亚瑟正在走廊里飞奔，突然一声巨响
把他飞到空中——然后我们——
镜头切换至：
外景，白雪皑皑的群山，白天
一声巨大的隆隆声促使科布看向山谷对面——
外部森林，白雪覆盖的山脉 - 连续
埃姆斯从树上冲了出来，然后掉到了雪地上，
看到前面有一个巨大的裂缝——斜坡正在崩塌
雪崩
- 120.
外部。复杂结构后面的悬崖面 - 连续
Saito 听到头顶上传来隆隆声。他低头一看，Fischer 正
下面，靠近陡峭的山壁底部——
斋藤
小心！
Saito 剪断绳子，摔倒在冰面上，然后滑落
冲下斜坡，清理雪崩的路径——我们——
切换到：
内景/外景，厢式货车 - 白天
在极慢动作中，货车从混凝土中冒出来
栏杆开始掉落——我们——
镜头切换：
酒店走廊内景，夜晚
亚瑟仍在飞过走廊，而不是着陆——
重力消失了……他挣扎着寻找扶手，
抓住一个壁灯-然后我们-
镜头切换至：
外景，白雪皑皑的群山，白天
科布看着雪崩云滑过建筑群。
阿里亚德涅
那是什么？
科布
这一脚。
埃姆斯（通过无线电）：
科布？我们错过了吗？
科布
是的，我们错过了。
外部森林，白雪覆盖的山脉 - 连续
埃姆斯躺在雪地上。
埃姆斯
我们现在该怎么办？
科布（通过无线电）
在下一个
踢。
121.
埃姆斯
下一步做什么？
外部。白雪皑皑的山脉 - 连续
科布一边对着无线电讲话，一边看着阿丽亚德涅。
科布
当货车掉进水里的时候。我
想象亚瑟有一对
分钟，我们还有大约二十分钟。
科布和阿丽亚德妮向建筑群底部移动。
外部医院综合楼 - 连续
Saito 和 Fischer 绕着建筑物底部跑。他们
找到一个大的排气口。在烤架上放一些炸药。它们
吹掉炸药。爬进打开的通风口。
内/外厢货车 - 白天
在极慢动作中，货车似乎悬浮在半空中
河上十层楼……我们——
镜头切换：
酒店走廊内景，夜晚
在《零重力》中，亚瑟把自己拉到491号门口，
打开门，他看着天花板上埋设的炸药。
亚瑟
我到底该如何放下你？
他把炸药从天花板上拔下来。快点。然后我们——
镜头切换至：
医院综合楼内部管道系统 - 连续
Saito 和 Fischer 赶紧穿过管道系统。Saito
落后，咳血。
外部上层露台，医院综合楼 - 连续
科布从后面抓住一名保安，勒死了他
昏迷不醒。他向阿里阿德涅招手，掩护她逃跑
朝他走去。他们进入了南塔的底部。
医院综合楼南塔顶层房间内部 - 连续
一名警卫正在守卫塔楼。科布和阿丽雅德妮进入——科布
射击警卫并移至窗户。
122.
阿里亚德涅
（她指着）
那是
保险库。
科布看着前厅的大窗户。
科布：
保险库怎么办？
有窗户吗？
ARIADNE
如果真是这样的话，那它就不太强大了。
（外观）
如果你想设计它
你自己-
科布
没事。希望我们喜欢
菲舍尔在那里发现了什么。
科布架起狙击枪。透过瞄准镜，他看到
房间外阳台上有三名警卫。另外三名
里面。科布漫不经心地用步枪射杀了他们。阿丽雅德妮
通过望远镜观看，感到震惊。
阿里亚德涅
这些投影是
他的潜意识？
科布
是的。
阿里亚德涅，
你正在摧毁那些
他的想法？
科布：
不，当然不是。他们只是
预测。
埃姆斯（通过无线电）：
科布？出什么事了？
外部森林，白雪覆盖的山脉 - 连续
埃姆斯看着巡逻队返回建筑群。
埃姆斯
他们正朝你这边走来。就像他们
知道一些事情。
医院综合楼南塔顶层房间内部 - 连续
科布听到了，很担心。
123.
科布
给我们争取一些时间。
埃姆斯（通过无线电）：
我在路上。
外部森林，白雪覆盖的山脉 - 连续
埃姆斯朝建筑群底部走去。然后我们……
镜头切换：
内景，528房间，夜晚
亚瑟飘进了房间。沉睡者们飘浮着，
管子松散地连接着它们。亚瑟看着它们，心里想着
赛跑。他把科布拉向埃姆斯，然后我们——
镜头切换：
医院综合楼内部管道系统，白天
Saito 和 Fischer 走向了通往出口的栅栏
接待室。斋藤瘫倒在管道地板上，拉出
他的无线电。菲舍尔看着他——他脸色苍白，浑身发抖。
菲舍尔拿起无线电，低声说了几句话。
菲舍尔
（对着收音机）
我们到了。我们清楚吗
继续？
医院综合楼南塔顶层房间内部 - 连续
科布通过瞄准镜扫描了前厅——看起来很清晰。
科布：
你没事了，但快点——有一个
军队正朝你这边前进……
阿里阿德涅看着巡逻队接近建筑群……
医院综合楼内部管道系统 - 连续
收音机里的静噪太大了——菲舍尔抓住它，
当他开始移除炉栅时，将音量调至零……
医院综合楼外部基座-连续
埃姆斯正在沿着最低的墙设置地雷
结构。他小心翼翼地移动——下面是陡峭的悬崖。
墙...
124.
医院综合楼南楼顶层房间内部 - 连续
科布通过瞄准镜发现了一些东西。
主窗户，透过天窗的侧面可以瞥见。
科布：
妈的。还有人
那里。
科布准备开火。阿丽雅德妮抓起无线电——
阿里阿德涅·
菲舍尔，住手！这是陷阱！——
医院综合楼内部管道系统 - 连续
菲舍尔没有看到收音机上闪烁的灯光，因为他
小心翼翼地抬起炉栅。他示意斋藤待在原地……
医院综合楼南塔顶层房间内部 - 连续
科布紧张地等待开火。
科布
来吧……再低一点……
小的-
科布僵住了——他的视线里出现了MAL。阿丽雅德妮举起了她的
双筒望远镜。发现马尔。菲舍尔正从通风口爬出来……
阿丽雅德妮·
科布，那不是她——
科布转向她——
科布
你怎么会知道？
内部前厅 - 连续
菲舍尔小心翼翼地走进前厅——
菲舍尔
我参加。
菲舍尔提高了音量-
阿里亚德妮（通过无线电）：
菲舍尔，小心！——
马尔优雅地跌倒在他身后的地板上——
MAL
你好。125
.
内部顶层房间，南塔，医院综合楼 - 连续
科布看着阿丽亚德涅——
阿里阿德妮·
科布，她只是一个投影。
菲舍尔……他是真实的。
科布想了想。点点头，转身回到瞄准镜前——太晚了——MAL
射杀菲舍尔 - 科布本能地扣动扳机 - 马尔走开
向下——科布从瞄准镜前退后，惊呆了。
阿里阿德妮·
埃姆斯？现在就去接待室！
他们跑向门口。
医院综合楼内部管道系统 - 连续
斋藤听到枪声吓了一跳。他开始向前挪动，
捂着肚子。然后我们——
镜头切换：
内景，528房间，夜晚
枕木粗糙地堆放在一起，头尾相连。
亚瑟从床上拉出被褥，用床单
把沉睡者绑在一起。然后我们——
切换到：
内景/外景，厢式货车 - 白天
在极慢动作中，货车缓慢下行，仍然高
在河的上方……而我们——
镜头切换：
酒店走廊内景，夜晚
亚瑟将漂浮的枕木堆推向电梯。
他按下按钮-门打开-他把门推进去-抓住
炸药——爬过天花板上的舱口，我们——
镜头切换：
医院综合楼内部管道系统，白天
埃姆斯跨过斋藤，斋藤用垂死的眼神看着他——
内景，医院走廊，前厅，白天
埃姆斯从通风口跳出来，发现科布和阿丽亚德涅站在那里
从菲舍尔和马尔的尸体上跨过。
126.
埃姆斯
发生了什么事？
ARIADNE
Mal 杀死了 Fischer-
科布：
我不会向她开枪。
埃姆斯从墙上抓起一个除颤器，然后拉出菲舍尔的
夹克敞开
科布：
这不会有什么好处——
埃姆斯电击菲舍尔的胸部......
科布
就算你能让他复活，
他的思想被困在那里。
超过。
埃姆斯听着脉搏，抬头看着科布。
埃姆斯：
那么，就这样了吗？我们失败了。
科布：
我很抱歉。
埃姆斯
你不回头
你的家人。
埃姆斯低头看了看菲舍尔，然后看向双开门。
埃姆斯
我想知道接下来会发生什么
那里发生的事。我想我们
这个。
阿里亚德涅
还有办法：我们跟随
菲舍尔下
他们看着她。
埃姆斯：
我们快没时间了——
阿里亚德涅：
他们在那里有足够的时间。
我们会找到他——只要你听到
亚瑟的音乐开始，你使用
除颤器来让他苏醒过来——我们给了
他早早地从下面踢了一脚。
（更多）
127.
阿里亚德妮（继续）
把他带进去——
（指着门）
然后，当音乐结束时，你吹
医院，我们都乘坐
穿过层层关卡重新出发。
埃姆斯看着她，然后看着科布。
埃姆斯：
好的，斋藤可以拖住他们，
我安置了剩余的炸药。
科布·
斋藤不会长久的，埃姆斯。
阿里亚德妮：
我们必须尝试！
埃姆斯：
去吧，不过我来踢
无论你回来没有……
埃姆斯从背包里拿出那个装置。把它递给
阿丽亚德妮。科布注视着。一片寂静。阿丽亚德妮拔出管子——
ARIADNE
我能相信你做
需要吗？Mal在下面——
科布
我可以找到她。她会
菲舍尔。
阿丽亚德妮
你怎么知道？
科布：
她想让我去追他。她
想让我回到她身边。
科布卷起袖子。阿丽亚德涅也卷起自己的袖子。
埃姆斯点点头。科布和阿丽雅德妮躺了下来。埃姆斯按下了按钮——
水。泡沫。溺水。而我们——
外景，海岸（边缘地带），白天
阿里阿德涅躺在海浪中，凝视着万里无云的天空。
巨大的轰隆声促使她环顾四周——URBAN
建筑物堆积如山，一直延伸到水边。这些建筑物
腐烂，像冰川崩解一样坠入海洋。科布
涉水向她走去。阿里阿德涅抬头
他们周围正在崩塌的城市。
阿里亚德妮：
这就是你的世界？
128.
科布：
是的。这就是她将要
是。
我们——
镜头切换至：
电梯井内景，白天
亚瑟漂浮在电梯顶部，安放小型炸药
紧急刹车和钢索。他设置好它们，抓住
其他炸药，然后推开，将竖井向上射出。
他按下了雷管，炸毁了刹车和安全装置
电梯系统，我们进入慢动作，
火球在优雅的舔舐中燃烧，我们-
渐隐至：
内景，前厅，白天
埃姆斯全速奔跑——去拿除颤器
桨——把它们放在菲舍尔的身旁——他跑进了管道——
将 Saito 拉起来坐下并递给他一把手枪。
埃姆斯：
来吧，斋藤。我需要你掩护
我安置炸药的时候，菲舍尔
Saito 虚弱地点点头，试图握住枪。Eames 走到
窗户——拔出机枪——检查装填。准备。他
看着保安巡逻队爬上外墙……
埃姆斯放出一阵掩护火力——然后走到外面——
外部医院综合楼 - 连续
埃姆斯沿着上层露台奔跑，躲避子弹
打碎了他身后的一扇窗户，我们进入慢动作，
玻璃轻轻地层叠，我们
渐隐至：
外景。海岸（LIMBO）- 白天
科布和阿丽雅德妮全速爬出海浪。他们
走进那些高大、摇摇欲坠的建筑物的阴影里。
街道上空无一人，诡异得令人毛骨悚然。随着他们继续往里走，
建筑变得更新，更与众不同。Ariadne 惊叹于
非凡的建筑群——每一个建筑
失败的乌托邦浪潮中可以想象到的风格。
阿里亚德涅：
这一切都是你建造的？
科布：
我们都这么做了。129
.
阿丽德妮：
真是难以置信。
科布
我们建造了好几年。然后，当
变得陈旧，我们开始
回忆。
一个孩子的呼喊声回荡在荒凉的峡谷中，
促使科布看向一条小街：一个小金发女郎
男孩蹲着，背对着我们。一个金发小女孩也加入了
男孩，然后，当科布转向街道时，他们跑开了。
Cobb 和 Ariadne 出现在一个奇特的广场上，广场两旁
各种各样的建筑，从公寓楼到住宅。
科布
这是我们的街区。
阿里亚德涅
（困惑）
来自哪个城市？
科布
不，我们小区。
（指着）
那是我们的第一间公寓……
然后我们搬到了那栋楼……
当 Mal 的时候我们得到了那栋小房子
怀孕了。
ARIADNE
你重建了它们
记忆？
科布
我们还有时间。
科布在一栋法国乡村别墅前停了下来，凝视着。
阿里亚德涅
那是什么？
科布
玛尔长大的房子。
阿丽亚德妮
她会在里面吗？
科布
不，拜托——
科布带着阿丽亚德涅来到一座玻璃摩天大楼的入口。
130.
内部摩天大楼大厅（LIMBO）- 连续
科布领着阿丽雅德妮穿过闪闪发光的大厅，来到
电梯。
科布
我们都想要一栋房子，但我们都
喜欢摩天大楼。在现实中
我们必须选择一个世界。不是在这里。
内部摩天大楼电梯（LIMBO）- 连续
科布掏出手枪，还有一个密封袋，里面装满了
子弹。
阿里亚德妮：
我们怎样送菲舍尔回去？
科布
我们需要一些刺激。
阿里亚德妮
什么？
科布：
我会即兴发挥。
科布扳起枪，电梯停了下来。电梯门
开着。阿丽亚德妮正要出去，科布拦住了她。
科布
有件事你必须
了解我。关于
盗梦空间。你看，一个想法就像
病毒……
科布领着她走出电梯……
内部阁楼（LIMBO）- 连续
科布和阿丽雅德妮走出电梯，进入了不协调的
工匠房屋的内部。他们小心翼翼地沿着
通往房子后面的走廊……
COBB
弹性...
（转向阿里阿德涅）
极具传染性，一个想法可以
成长。一个想法的最小种子
可以成长来定义或摧毁你的
世界...
科布正盯着厨房。马尔坐在
桌子，背对着他们，凝视着门廊——塔楼
地狱边缘在它后面延伸。
131.
MAL
最小的想法，比如……“你的
世界不是真实的。”
科布将枪交给阿丽亚德妮并向玛尔走去。
MAL
一个简单的小想法
改变一切……
阿丽雅德妮看着科布在玛尔身边坐下。然后我们——
镜头切换：
电梯井内景，夜晚
亚瑟飞回电梯井，回到顶部，
挤过汽车到底部并开始设置
主炸药在车底，我们-
镜头切换到：
内景，顶层公寓（LIMBO），白天
科布碰了碰玛尔的胳膊——她转过身，生气了。直到现在
我们看到她手里拿着一把切肉刀。玛尔看着阿里阿德涅。
MAL 你
对你的世界如此确信。
真的。你认为他是——
（指着科布）
或者你认为他和我一样迷失
曾是？
科布：
我知道什么是真实的。
MAL
有哪些区别
梦的特征是什么？变动
物理定律？告诉
量子物理学家。
死者呢？天堂和
地狱？对梦想家的迫害，
造物主，弥赛亚？他们
他们把基督钉在十字架上，不是吗？
科布：
我知道什么是真实的。
MAL
没有丝毫怀疑？没有感觉
被迫害，Dom？被追赶
全球匿名公司和
警察部队？
投影会迫害做梦者吗？
132.
玛尔把手放在他的脸上。满怀怜悯。
MAL
承认吧，Dom。你不相信
不再存在一个现实。所以选择吧。
像我一样选择你的现实。
选择在这里。选择我。
科布
（怒火中烧）
我已经选择了，玛尔。我们的孩子。我
必须回复他们。因为
你抛弃了他们，你抛弃了我们。
MAL：
你错了，Dom。你糊涂了……
我们的孩子在这里-
孩子的喊叫声吸引了科布·詹姆斯的注意，他蹲在门廊上，
对我们。菲利帕也转过身去，走到他身边。科布看着，
感动。马尔倾身靠近。
MAL
（低声）
你想看看他们的脸
再说一遍，不是吗，Dom？
科布
我们真正的孩子正在等待
我在上面。
我们——
镜头切换：
内景，电梯，夜晚
亚瑟忙着把睡在地板上的人整理好
汽车——当他的手从斋藤手中拿开时，他看到手上有血。
他看着斋藤的肚子——血从他的肚子里流出来
衬衫。亚瑟给熟睡的埃姆斯戴上耳机，然后我们——
镜头切换：
堡垒医院内景，白天
埃姆斯扔了一枚手榴弹，炸毁了试图
登上梯田。他弯腰躲避重物
FIRE- 开始拆除炸药并将其沿着
梯田底部
133.
内部管道系统，医院综合楼 - 连续
当听到保安爬进来的声音时，斋藤抬起头
管道……他举起枪，虚弱地颤抖着……
我们——
镜头切换到：
内景，厨房，顶层公寓（LIMBO） - 白天
马尔嘲笑科布。
MAL
（笑）
上面？听听你自己的声音。你
评判我相信
同样的事情。
马尔指着孩子们——
MAL
这些都是我们的孩子。看吧。
（转向孩子们）
嘿，詹姆斯！菲利帕？！
孩子们开始转向我们——但科布闭上了眼睛。
科布
它们不是真的，玛尔。我们真正的
孩子们在等我们——
孩子们跑开了。科布睁开了眼睛。
MAL
你一直这样告诉自己，但是
你不相信——
科布
我知道——
MAL：
如果你错了怎么办？如果
我是什么真实的？
科布沉默不语。
MAL
你一直在告诉自己你
知道……但是你相信什么？
你感觉如何？
科布看着玛尔，一脸挣扎。
科布：
内疚。我感到内疚。然而
我可能会感到困惑。
（更多）
134.
科布（继续）
无论我看起来多么迷茫……它
一直在那里。告诉我一些事情。
提醒我真相。
MAL
什么真相？
科布
你怀疑我们错了
世界。那个驱使你的想法
质疑你的现实是一个
说谎...
MAL
你怎么知道那是谎言？
科布
因为那是我的谎言。
MAL
（意识到）
因为你在我心里植入了这个想法
头脑。
科布
因为我在我的
自己的妻子，然后收获了苦果
奖励...
阿里亚德妮
为什么？
科布
我们在这里迷路了。住在
一个充满无限可能的世界。
一个我们都是神的世界。我
意识到我们需要逃跑，但是
她把自己的知识封锁起来
这个世界的不真实……
插入镜头：玛尔打开了娃娃屋。
顶部，放在保险箱里。锁起来。
科布
我无法让玛尔明白
我们需要挣脱束缚。去死。所以
我开始寻找我们的世界......
科布转向玛尔，但继续与阿丽亚德涅说话……
插入片段：科布在 Limbo 的街道上徘徊……
COBB
寻找合适的地方
她的心思……
135.
插入镜头：科布在玛丽的维多利亚式住宅外停下
童年之家，抬头望着。他走了进去……
科布
当我找到那个地方时，
她关闭的秘密地方
几年前就把她的知识传授给了我
把它弄破了……
插入镜头：科布环顾玛尔童年的卧室。
去娃娃屋……
科布
我闯入了最深的隐秘处
给她最简单的
没什么主意。
插入镜头：科布猛地打开了保险箱门。他坐在
保险箱的架子上有一个旋转的陀螺。它侧放着。
科布
她曾经知道一个事实，
但却选择忘记……
插入镜头：科布拿起图腾。他把它放进保险箱里旋转。
它不停地旋转。科布关上了
安全的...
科布
她的世界不是真实的。
插入镜头：科布和马尔来到穿过
荒地的火车轨道旁。
科布（画外音）：
死亡是必要的解脱。
他们躺在铁轨上，互相凝视着对方的眼睛。马尔
哭泣。科布握住她的手，安慰她。他开始说话——
科布
你在等火车。火车
这会带你走得很远。你
知道你希望这列火车开往哪里
带你去，但你不知道
当然。不过没关系……
玛尔隔着铁轨看着他。回答道——
MAL
因为你们会在一起。
火车来了，将这对恋人淹没。
回到现在——科布看着玛尔的眼睛。她
哭泣。
136.
科布
我从来没有想过我会
种下的种子会在她的脑海中生长，就像
癌症。即使我们醒来之后……
插入镜头：科布困惑地环顾着酒店套房。他
移到窗帘...Mal 在对面的窗台上。
科布
你会继续相信你的
世界不是真实的……
玛尔哭着点点头——
MAL
死亡是唯一的解脱吗？
插入剪辑：玛尔跳下去摔死了。
MAL
你杀了我。
科布看着玛尔。低声说道——
科布：
我只是想救你——对不起。
玛尔走近科布，仔细打量着他。
MAL
你感染了我的思想。你背叛了
我。但你可以弥补。你
仍然可以兑现你的承诺。我们可以
仍然在一起……就在这里。在
我们的世界。我们建造的世界
一起。
镜头切换：
内景，电梯，夜晚
Arthur 在他的音乐播放器上按下“播放”键 - Edith Piaf 开始
响了，亚瑟检查了他的雷管，我们——
镜头切换至：
内景，前厅，白天
埃姆斯跑回来——在相对安静的地方，他注意到了巨大的
低辐射音乐。他扔下枪，走向菲舍尔的
边...
137.
内部管道系统，医院综合楼 - 连续
当守卫出现时，斋藤鼓起他所有剩余的力量——
Saito 开火，放倒了守卫，然后倒下，枪
撞击管道底部……斋藤死了。
内部前厅 - 连续
埃姆斯启动除颤器，把电极放在
菲舍尔的胸口，然后砰！——他电击了他，然后我们——
镜头切换至：
内景，阁楼（LIMBO）-白天
闪电划破天空——阿里阿德涅看到了它。
阿里亚德妮：
我们需要菲舍尔。
MAL
你不能拥有他。
科布盯着玛尔，被迷住了。
科布
如果我留下来，她能把他带回来吗？
阿里阿德妮·
科布，你在说什么？
MAL
Fischer 在门廊上。
阿里阿德妮·
科布，你不能这样做。
科布：
去看看他还活着吗，阿丽雅德妮。
阿里阿德涅走到门廊上，高高地俯瞰着大都市，
我们-
镜头切换：
内景，电梯，夜晚
亚瑟随着音乐点头，数着数，
拿着雷管。他开始做好准备，然后我们——
镜头切换至：
138
. 内景，前厅，白天
埃姆斯给除颤器充电。又电击了菲舍尔，然后
我们-
镜头切换到：
外廊，顶层公寓（地狱边缘） 内景，白天
阿里阿德涅抬头看着一道巨大的闪电划过
天空……她低头看到菲舍尔，被捆绑着，浑身是血，躺在
在栏杆下方。
阿里亚德妮
他来了。时间也到了。但你
必须跟我们一起去。
又一道巨大的闪电划过天空——
阿丽雅德妮·
科布，我不会让你输的
你自己在这里！你必须
回到你的孩子身边！
科布：
派菲舍尔去，我必须留下来——
阿里亚德妮
你不能留在这里陪她——
科布从玛尔身边转过身，看着阿丽亚德涅。
科布：
我不是。斋藤现在已经死了。
意味着他在这里。我必须留下来
来这里找到他。
阿里阿德涅解开了菲舍尔的口塞，将他拉到栏杆上。
科布回头看着马尔。
科布
我不能留在这里陪她
因为她不是真实的。
马尔愤怒地看着科布。
MAL
不是真的吗？我是你唯一做的事
不再相信。这里-不
这感觉很真实，Dom？
她刺中了他的胸口——科布喘息着，看着
马尔-
139.
科布
我希望你这样。但我不能
让你真实起来。我没有能力
想象你所有的
复杂和……完美。作为
你真的很棒。你是我最好的
能做到。而你不是真实的。
玛尔拔出刀子，再次发动攻击——
阿里阿德涅
不！
枪声响起，玛尔抓住她的肩膀——科布转向
阿里阿德涅正用枪指着科布。
科布：
你在干什么？
ARIADNE
即兴表演。
她把菲舍尔从屋顶上踢了下去——再次瞄准马尔——
天空被电照亮，菲舍尔股价下跌 - 菲舍尔
尖叫，然后是喘息，不再坠落，我们——
内厅 - 白天
埃姆斯从菲舍尔的胸口拔出除颤器，
咳嗽惊醒了。
埃姆斯
快进来！
菲舍尔抬头看着双扇门，踉跄着站了起来。
菲舍尔推开了保险库的门。
内部保险库 - 连续
菲舍尔走进寂静的白色房间。房间的一端
房间里有一张床。一个人影躺在床上。是他的父亲。
呼吸极其困难。濒死。而我们——
镜头切换：
外景，顶层公寓（地狱边境） - 白天
阿里阿德涅瞄准了马尔-
科布
不！
科布与阿丽亚德妮对视。她放下了枪。然后我们——
剪切至：
140。
埃姆斯抓住了雷管，然后走向
保险库...
镜头切换：
酒店内景，电梯，夜晚
亚瑟按下了雷管-
内部电梯井道 - 连续
电梯底部的炸药爆炸了，我们
随着火焰膨胀，进入极慢动作-
镜头切换到：
内景，保险库 - 连续
菲舍尔走近床边，一阵隆隆声传来，他克服了
情绪。他的父亲看到了他。开始试着说话。菲舍尔
倾身靠近……
父亲
（嘶哑的低语）
我……是……糟糕……糟糕……
菲舍尔：
我知道，爸爸。你很失望
我不能成为你。
垂死之人以令人惊讶的力量摇了摇头。
父亲
（低语）
我很失望...你
尝试过。
菲舍尔听到了。然后我们——
镜头切换：
电梯井内景，夜晚
电梯轿厢因爆炸而沿着轨道飞出去——
内部电梯 - 连续
Arthur 被撞到车底，旁边是
沉睡者因加速度而颤抖——而我们——
镜头切换至：
内景，前厅，白天
Eames 手表 Fischer-
141.
埃姆斯
（自言自语）
来吧，来吧……
内景，保险库，白天
父亲倒回枕头上。菲舍尔开始
哭泣。他的父亲伸出颤抖的手，但当
菲舍尔试图抓住它，他把儿子的手甩开了……
他正伸手去拿床边的保险箱。他的手指
他摸索着键盘，却打不开。他的儿子推
5、2、8、4、9、1 输入键盘。打开它。保险箱里面是
威尔。旁边是一个自制的风车，显然是由一个
孩子。费舍尔。他拿出它，惊叹不已。他转过身
去找他的父亲，但是他的父亲已经去世了。
埃姆斯在门口看着，按下了雷管——
外部医院综合楼 - 连续
一连串的爆炸沿着下墙撕裂……整个
建筑物开始从山上滑落
- 外景：顶层公寓（边缘地带） - 白天
天空开始刮起一阵狂风，穿过房子
外面变暗了。科布为玛尔挡住冲击波，抬头望去
阿里阿德涅，她扶着栏杆，与风搏斗——
科布：
这下可好了——你必须走！
阿里亚德涅
你来了！
科布：
不，我不会。我会留在这里
找到斋藤。
（转向玛尔）
并说再见。
阿里阿德涅松开了抓住栏杆的手……
阿里亚德妮：
别迷失自己。找到斋藤。
并把他带回来。
科布
我会的。
阿里阿德涅让风把她从边缘拉下去——坠落——而我们——
内部前厅 - 连续
地板塌陷，阿里阿德涅倒下——她猛地睁开眼睛——
142.
外景 顶层公寓（地狱边境） - 白天
科布将玛尔抱在怀里。风停了……
MAL
我们会永远在一起。你
答应我。
科布：
我知道。但我们不能。而且我
对不起。
MAL
你还记得你曾要求我
嫁给你？你说你梦想着
我们会一起变老。
科布
我们确实……
玛尔看着科布……思考着。回忆着。
插入镜头：两位老人（马尔和科布）走过
边缘地带……穿过一片荒地……两位老人的手紧紧握在一起
，躺在铁轨上……
科布，
我对你的思念之情难以言表……
但我们在一起度过了一段时光。
现在我必须放手……
她无力地点了点头。科布抱着玛尔，她闭上了眼睛……
濒死……而我们——
内部保险库 - 连续
菲舍尔和他父亲的尸体掉落——
内景，电梯，夜晚
阿里阿德涅掉进了火箭升降机，当它
撞上竖井顶部 Ariadne 撞上-
内景/外景。货车掉进河里——白天
，货车在水中发出嘎吱嘎吱的撞击声——水冲破
破碎的窗户，淹没了车内……
菲舍尔惊慌地睁开眼睛，解开安全带，用力推
从破窗户出去-停下，回到解开扣子
布朗宁并将他拖出来。
143.
外部河流 - 连续
菲舍尔和布朗宁一起浮出水面，布朗宁咳嗽着，
喘息。他开始向近岸拉，挣扎着
通过雨水冲刷的水
水下厢式货车内部 - 连续
阿里阿德涅、亚瑟和尤瑟夫在水下静静地等待。他们
共用两个从前排座椅下方拉出的调节器。
亚瑟转向斋藤。周围的水里有血。
Saito 的肚子——他的眼睛毫无生气——Arthur 摸索着
脉搏……转向科布，他的眼睛毫无生气……阿丽亚德涅
抓住亚瑟的肘部，将他拉开……
外景，河岸，片刻之后
菲舍尔把布朗宁和埃姆斯翻了过来。他们躺在那里，精疲力竭。
布朗宁：
对不起，罗伯特。
菲舍尔凝视着水面上的雨水。
菲舍尔
遗嘱意味着爸爸想要我
做我自己，而不是为他而活。
（转向布朗宁））
我也要去，彼得叔叔。
布朗宁点点头。擦去脸上的雨水。在水坑里
在他们旁边，倒影不是布朗宁，而是埃姆斯。
外景：雨中的桥下——片刻之后
亚瑟坐在河岸上，呼吸沉重。
阿瑟
发生什么事了？
阿里阿德妮·
科布留了下来。
亚瑟
和马尔在一起吗？
阿里亚德妮：
不，去找斋藤。
亚瑟望着桥下的水。
亚瑟
他会迷路的……
阿里亚德妮：
不，他会没事的。144
.
我们——
切至：
外景。黎明。海浪拍岸。
海浪将一位大胡子男子抛到湿沙上。
当日本保安把他翻过来时，我们
意识到这是科布——年纪大了。疲惫不堪。旅行过……
内景，城堡，餐厅，白天
科布狼吞虎咽地吃着食物。《日本老人》（斋藤，90岁）
岁）看着他。
斋藤
那么……你是来杀我的吗？
科布没有抬头。
SAITO
我一直在等待一个人
来找我……
科布
你记忆中的人
梦...？
斋藤凝视着科布。
斋藤
·科布？不可能——他和我
年轻人在一起。而我是一个老人
男人...
科布
满怀遗憾？
斋藤记得，点点头……
斋藤：
是的，等待孤独地死去。
科布正盯着桌子上的某个东西。
科布
我回来找你了……我来
提醒你曾经知道的事情……
科布指着桌子。斋藤顺着他的目光向下望去
桌子的抛光表面……
科布
：这个世界不是真实的。145
.
陀螺仍在完美地旋转，仿佛它永远不会
倒塌。斋藤望向上方。然后又看向科布。
斋藤
你来说服我尊重
我们的安排？
科布
是的。并且要勇敢地迈出这一步。
Saito-san 一边听着 Cobb 说话，一边看着
他们之间的桌子……
科布
回来吧，我们就会年轻
又在一起了。
年迈的斋藤看着科布，点点头。然后我们——
镜头切换至：
747 头等舱内部 - 白天
阿丽亚德妮看着科布。他闭上了眼睛。
空乘人员（画外音）：
先生，需要热毛巾吗？
他的眼睛微微睁开。他点点头，接过毛巾。阿里阿德涅
微笑。松了一口气。
乘务员
我们将于
大约二十分钟。你需要吗
移民表格？
科布点点头。拿起一张入境卡。环顾机舱。
斋藤正注视着他。眼神严肃，神情恍惚。他与科布对视，
斋藤拿起电话拨号。科布点头致谢……
洛杉矶国际机场国际到达 - 稍后
科布走向移民局官员，递给他
他的护照。紧张。官员愣了一下，看着科布
上下移动，然后砰！——护照盖章了。正如科布所说
他收回钱包，看到旁边柜台的阿丽雅德妮。她点点头
看着他。他点点头。然后走开了……
当科布经过行李领取处时，他进行了微妙的
向 Eames 和 Yusuf 致以问候。
亚瑟对科布露出灿烂的笑容。科布与菲舍尔擦肩而过，菲舍尔
回头看了他一眼，好像在想也许他应该认识他，
然后继续...
146.
当科布出现在拥挤的到达大厅时，他发现
迈尔斯教授向他挥手……
内景，科布和马尔的家，厨房，白天
科布和迈尔斯一起进来。放下行李，走到桌子旁。
望着杂草丛生的花园。他把手伸进
口袋里，拿出他的锡陀螺，把它放低到
桌子旋转——一个孩子的叫喊声让他抬起头——
透过窗户，詹姆斯和菲利帕跑了进来，
玩耍时，他们的脸转向别处……科布盯着后面
他的孩子们的头……迈尔斯走到窗边，
敲玻璃——
詹姆斯和菲利帕转身，看到他们的爸爸。他走向
窗外，看着他们奔跑时闪闪发光的脸庞
对他来说……
在他身后的桌子上，陀螺仍在旋转。
我们——
淡出。
片尾。
结束。
多米尼克·“多姆”·柯布和亚瑟是“提取者”：他们利用实验性军事科技渗透目标潜意识，并通过共同的梦境世界提取信息，从事商业间谍活动。他们最新的目标斋藤透露，他安排这次任务是为了测试柯布是否能胜任一项看似不可能完成的任务：将一个想法植入人的潜意识，也就是所谓的“盗梦空间”。斋藤希望柯布说服罗伯特——斋藤的竞争对手莫里斯·菲舍尔的儿子——解散他父亲的公司。作为回报，斋藤承诺洗清柯布的犯罪记录，这样他就无法回家与孩子们团聚。
科布接受了邀请，组建了团队：身份伪造者埃姆斯；化学家尤瑟夫，发明了用于“梦中梦”策略的镇静剂；建筑系学生阿丽雅德妮，由科布的岳父史蒂芬·迈尔斯教授招募，负责设计梦境迷宫。阿丽雅德妮发现，科布的潜意识中存在着他已故妻子玛尔的侵入性投射。莫里斯死后，罗伯特陪同他的遗体进行了长达十小时的飞行，包括斋藤在内的团队成员给他注射了镇静剂，让他进入一个共同的梦境。在每个梦境层级，制造梦境的人都会留下来，通过播放歌曲《Non, je ne regrette rien》作为听觉提示，发出“踢腿”声，将其他团队成员从更深的梦境中唤醒；尽管时间在每个连续的层级中流逝得更快，但这些踢腿声必须同时发生。
第一层是尤素福关于下雨的洛杉矶的梦。团队绑架了罗伯特，但遭到他潜意识投射的攻击。斋藤受伤，科布揭示，虽然通常在梦中死去会唤醒做梦者，但稳定多层梦境的镇静剂反而会将他们送入“幽冥”：一个无限潜意识的领域，做梦者有可能会忘记自己身处梦境。艾姆斯冒充罗伯特的教父彼得·布朗宁，建议罗伯特重新考虑父亲的遗嘱。科布告诉阿里阿德涅，他和梅尔在试验梦境共享技术时进入了幽冥。在现实时间五小时的治疗下，他们在梦境世界中度过了五十年。当梅尔拒绝返回现实时，科布通过重新激活她的定标器——做梦者用来区分梦境与现实的对象——使用了一种原始的入梦方式。醒来后，梅尔仍然相信自己仍在做梦。试图真正“醒来”，她自杀并嫁祸科布，逼迫他做同样的事情。科布逃离了美国，将孩子托付给迈尔斯照顾。尤素福驾驶着货车，在团队被镇静剂送入第二层时，将他们带到了由亚瑟梦到的酒店。 科布说服罗伯特，他已经被布朗宁绑架了，而科布是他的潜意识保护者，通过一个诡计将罗伯特引向另一个层面，目的是进入罗伯特的潜意识。
团队潜入第三层，这是埃姆斯梦想中的堡垒式山医院，并在佐藤将罗伯特带入他的潜意识等价物时，阻止了守卫。尤素福在第一层被罗伯特的投射追赶，故意驾车冲下桥梁，启动时机过早。这导致埃姆斯层发生雪崩，并在亚瑟层移除重力，迫使亚瑟即兴创作一个新的与货车撞上水面的同步踢。玛尔在埃姆斯层的投射中出现并杀死了罗伯特；科布杀死了玛尔，佐藤因伤倒下。科布和阿里阿德涅进入迷失域营救罗伯特和佐藤，而埃姆斯则通过在医院安装炸弹准备了一个踢。
科布对自己的罪恶感感到释怀，因为玛尔之死。阿里阿德涅杀死了玛尔的投射体，并用脚踢醒罗伯特。在第三层被唤醒后，他发现了植入的想法：一个垂死的父亲的投射体告诉他要成为自己的主人。当科布在荒诞空间寻找斋藤时，其他人通过同步的踢击回到了现实。科布找到了年迈的斋藤，并提醒他他们的约定。做梦者都在飞机上醒来，斋藤打了个电话。
到达洛杉矶国际机场后，科布通过了美国移民检查站，迈尔斯陪他回家。用玛尔的护身符——一个在梦中无限旋转的陀螺——来测试自己是否真的在现实世界，科布没有观察结果，而是加入了他的孩子们。
* * *
他神志不清。但点名要你。
展示给他看。
他只带着这个……
…以及这个。
你是来杀我的吗？
我知道这是什么。我以前见过一个。很多很多年前。那属于一个我在半生不熟的记忆中遇见的男人。一个有着一些激进想法的男人。
科布：最坚韧的寄生生物是什么？细菌？病毒？肠道蠕虫？
科布先生试图说的是……
科布：一个想法。有韧性的。高度传染性的。一旦一个想法占据了大脑，几乎不可能根除。一个完全形成、完全理解、牢牢扎根的想法。就在那里。
像你这样的人偷窃？
是的。在梦境中，你的意识防御力会降低……这会让你的想法很容易被窃取。
这叫做提取。
斋藤先生，我们可以训练你的潜意识来保护自己……即使是最熟练的提取者。
你怎么能这样做呢？
因为我是最熟练的提取者。
我知道如何探究你的思想并找到你的秘密。
我知道这些诀窍。
我可以教你这些，这样即使你睡着了……你的防御也永远不会放松。
听着，如果你想要我的帮助，你就必须对我完全坦诚。
我需要比你的妻子、比你的治疗师、比任何人都更了解你的想法。
如果这是一个梦，而你有一个装满秘密的保险箱……我需要知道保险箱里有什么。
为了使这一切顺利进行，你需要完全让我加入。
先生们，祝大家晚上愉快，我会考虑你们的提议。
他知道。
上面发生什么事了？
斋藤知道。他在跟我们玩。
没关系。我可以在这里拿到。相信我。
信息在保险箱里。
当我提到秘密时，他直视着它。
她在这里干什么？
回房间就行了。好吗？我会处理好的。
好的，请务必这样做。
我们来这里是为了工作。
如果我跳下去，我能生存下来吗？
也许，是干净利落地跳水。
马尔，你在这里做什么？
我以为你也许想念我。
你知道我是。
但我不能再相信你了。
所以呢？
看起来很符合亚瑟的品味。
实际上，这个主题偏向于战后的英国画家。
请坐。
告诉我……孩子们想我吗？
你无法想象。
你在干什么？
只是呼吸一下新鲜空气。
待在原地，马尔。
该死。
回转。
枪，Dom。
请。
现在看看信封，科布先生。
她告诉你了吗？还是你一直都知道？
你是来偷我的东西的，还是我们其实都睡着了？
我想知道你的雇主的名字。
啊，在梦中威胁他是没有用的，对吧，马尔？
这取决于你威胁的是什么。
杀了他只会让他醒来。
但疼痛……
痛苦存在于心灵之中。
从装饰来看，你已经想到我们了，不是吗，亚瑟？
你在干嘛？太早了。
但梦想破灭了。
我会尝试让斋藤再睡一会儿。
我们快到了。
他已经很接近了，非常接近了。
阻止他。
这没用。把他叫醒。
他不会醒来。
踢他一脚。
什么？
扣篮他。
他出去了。
你有备而来吗？
连我的保安主管都不知道这间公寓。你是怎么找到的？
对于你这种地位的男人来说，保守这样的爱巢秘密是件很难的事……尤其是涉及到一个已婚女人的时候。
她绝不会……
但我们还是在这里。
左右为难。
他们越来越近了。
你得到了你想要的东西。
嗯，事实并非如此。
您遗漏了一条关键信息，不是吗？
你隐瞒了一些事情，因为你知道我们在做什么。
问题是，你为什么让我们进去？
试镜。
试镜什么？
没关系，你失败了。
我们提取了你在那里面的每一点信息。
但你的欺骗行为是显而易见的。
所以，别再管我了，走吧。
斋藤先生，您似乎不明白。
雇用我们的公司不会接受失败。
我们撑不过两天。
科布？
看起来我得把这件事做得更简单一些。
告诉我们你所知道的。现在就告诉我们你所知道的。
我一直讨厌这块地毯。
它的污渍和磨损痕迹十分独特。
但绝对是羊毛制成的。
现在…
我躺在涤纶上。
这意味着我没有躺在公寓里的地毯上。
科布先生，您没有辜负您的声誉。
我还在做梦。
怎么样？
不太好。
梦中之梦啊？真是佩服。
但在我的梦里，你遵守我的规则。
啊，是的，但是你看，斋藤先生……
我们并不在你的梦里。
我们在我的里面。
混蛋。你怎么把地毯弄乱了？
这不是我的错。
你是建筑师。
我不知道他会用脸颊摩擦它。
够了。
你。这到底是怎么回事？
我已经控制住了。
我不想看到你失去控制。
我们没有时间做这个。
我在京都下车。
他不会检查每个隔间。
是的，我不喜欢火车。
听着，每个人都只顾自己。
是的，你好？
嗨，爸爸。
嗨，爸爸。
嘿，伙计们。嘿。你们好吗？还好吗？
好的。
好的，我想。
还好吗？谁只是还好？
是你吗，詹姆斯？
是啊。爸爸，你什么时候回家？
好吧，我不能，亲爱的。我不能。暂时不能，记得吗？
为什么？
听着，我告诉过你，我离开是因为我要工作，对吧？
奶奶说你永远不会回来了。
菲利帕，是你吗？
让奶奶帮我接电话，好吗？
她摇着头。
好吧，只希望她是错的。
爸爸？
是吗，詹姆斯？
妈妈和你在一起吗？
詹姆斯，我们讨论过这个。
妈妈已经不在了。
在哪里？
够了，孩子们，说再见吧。
听着，我要让爷爷送一些礼物，好吗？
你要乖，你要……
我们的车在屋顶上。
对的。
嘿，你还好吗？
是啊。是啊，我没事。怎么了？
好吧，在梦里，马尔出现了。
听着，我对你的腿感到很抱歉。不会再发生这样的事了。
情况越来越糟了，不是吗？
你只需要道歉一次，好吗？
纳什在哪儿？
他还没出现。你想等吗？
我们本应在两小时前将 Saito 的扩张计划……提交给 COBOL 工程公司。
现在，他们知道我们失败了。
我们该消失了。
你要去哪儿？
布宜诺斯艾利斯。
我可以在那里躲躲藏藏，等事情平息下来，或许能找到工作。你呢？
美国本土。
代我问候。
他出卖了你，想来找我，要我的命。
所以我给你提供满意。
这不是我处理事情的方式。
你会怎么处置他？
没有什么。
但我不能代表 COBOL 工程发言。
您想从我们这里得到什么？
盗梦空间。
是否可以？
当然不是。
如果你能从某人的头脑中窃取一个想法……为什么你不能在那里植入一个想法呢？
好的，现在我来向你灌输一个想法。
我说：“别想大象了。”
你在想什么？
大象。
对。但这不是你的主意，因为你知道是我给你的。
主体的思想总是可以追溯到想法的起源。
真正的灵感是不可能伪造的。
事实并非如此。
你能做到吗？
你是在给我一个选择吗？
因为我可以找到自己的方法来解决 COBOL 问题。
那么你确实有选择。
那么我选择离开，先生。
告诉机组人员您想去的地方。
嘿，科布先生。
你想怎么回家？
为了美国。为了你们的孩子们。
你无法解决这个问题，没有人可以。
就像《盗梦空间》一样。
科布，来吧。
这个想法有多复杂？
够简单了。
当你需要将一个想法植入别人的脑海里时，它就不再是简单的了。
我的主要竞争对手是一位身体不好的老人。
他的儿子很快将继承公司的控制权。
我需要他下定决心打破他父亲的帝国。
科布，我们应该离开这个。
坚持，稍等。
如果我要这么做，如果我能做到……
我需要一个担保。
我怎么知道你能送货？
你不知道。
但我可以。
斋藤：那么，你是想勇敢一跃……还是成为一个充满悔恨的老人……孤独地等待死亡？
科布先生，召集你的团队吧。更明智地选择你的人选。
听着，我知道你有多想回家。
这不可能做到。
是的，可以。只要够深入就行。
你不知道这一点。
我以前做过。
你对谁做了那事？
我们为什么要去巴黎？
我们需要一位新的建筑师。
你从来就不喜欢你的办公室，是吗？
那个扫帚柜里没有思考的空间。
你在这里安全吗？
法国和美国之间的引渡……是一场官僚主义的噩梦，你知道的。
我认为他们可能会找到一种方法来解决你的情况。
你看，我把这些带给你，等你有机会的时候可以送给孩子们。
需要的不仅仅是偶尔送一些毛绒玩具......来让这些孩子相信他们仍然有父亲。
我只是在做我知道的事。
我正在按照你教我的方式做。
我从来没有教过你做小偷。
不，你教我如何洞察人心。
但发生了那件事之后……我并没有太多合法的方式来使用这项技能。
你在这里做什么，Dom？
我想我找到回家的路了。
这是一些非常非常有权势的人的工作。
我相信这些人可以永远解决我的指控。
但我需要你的帮助。
你来这里是想败坏我最聪明、最优秀的人之一。
你知道我给你什么条件。让他们自己决定吧。
钱。
不只是金钱。
你记得。
这是建造大教堂、整座城市……从未存在过的东西……现实世界中不可能存在的东西的机会。
所以你想让我让别人跟随你进入你的幻想？
他们实际上并没有进入梦境。
他们只是设计关卡，然后教给梦想家们。仅此而已。
自己设计。
马尔不让我这么做。
回到现实吧，Dom。
请。
现实。
那些孩子，你的孙子……他们正在等待他们的父亲回家。
这就是他们的现实。
这份工作，这最后一份工作，就是我到达那里的方式。
如果我知道其他方法，我就不会站在这里。
我需要一位和我一样优秀的建筑师。
我找到更好的人了。
阿里阿德涅？
我想让你见见科布先生。
很高兴认识你。
如果您有时间，科布先生有一份工作机会想与您讨论。
工作安排？
不完全是。
我有一个测试要给你。
你不打算先告诉我一些事情吗？
在我描述这份工作之前，我必须知道你能胜任这份工作。
为什么？
严格来说，这并不合法。
您有两分钟的时间来设计一个迷宫，并需要一分钟的时间来解决。
停止。
再次。
停止。
你必须做得更好。
这才像样。
有人说我们只利用了大脑真正潜能的一小部分。
现在，我们已经醒了。
当我们睡觉时，我们的大脑几乎可以做任何事情。
例如？
想象一下你正在设计一座建筑。
您有意识地创造每个方面。
但有时，感觉它几乎是自己创造的，如果你明白我的意思。
是的，就像我发现它一样。
真正的灵感，对吧？
现在，在梦中，我们的大脑不断地这样做。
我们同时创造和感知我们的世界。
我们的大脑非常擅长做这件事，我们甚至不知道它正在发生。
这使我们能够直接参与该过程。
如何？
通过接管创作部分。
现在，我需要你。
你创造了梦想的世界。
我们将主题带入梦境，他们用潜意识填充梦境。
我怎样才能获得足够的细节，让他们相信这是现实？
科布：嗯，梦里感觉很真实，对吧？只有醒来才发现有些事真的很奇怪。
让我问你一个问题。
你从来不会真正记得梦的开始，不是吗？
你总是会陷入正在发生的事情之中。
我想是的。
那么我们为什么会落得如此下场呢？
嗯，我们刚从……
想想吧，阿里阿德涅。
你是怎么到这里来的？
你现在在哪里？
我们在做梦吗？
你正在车间中间睡觉。
这是你共享梦境的第一课。保持冷静。
如果只是一场梦，那你为什么……？
因为它从来都不仅仅是一个梦，不是吗？
满脸玻璃的伤痛无比。当你身处其中，那种感觉才真实。
这就是军方开发梦想共享的原因。
这是一项让士兵互相射击、刺伤和勒死的训练计划……然后醒来。
建筑师是如何参与其中的？
嗯，总得有人设计梦想，对吧？
为什么不再给我们五分钟？
五分钟？
什么……？我们聊了至少有一个小时。
在梦中，你的思维运转得更快……因此时间似乎变得更慢。
现实世界中的五分钟相当于梦境中的一小时。
你为什么不看看自己在五分钟内能做什么呢？
你已经有了基本的布局。书店，咖啡馆。
几乎所有其他的东西也都在这里。
这些人是谁？
我的潜意识的投射。
你的？
是的。
记住，你是梦想家。
你创造了这个世界。
我就是主体，我的思想充斥着它。
你确实可以和我的潜意识对话。
这是我们从主题中提取信息的方法之一。
您还能怎样做？
通过创建一些安全的东西，比如银行金库或监狱。
大脑会自动填充它想要保护的信息。
你明白吗？
然后你就闯进去偷走它？
出色地…
我想我认为梦境空间完全是关于视觉的……但它更多的是关于感觉的。
我的问题是，当你开始弄乱这一切的物理原理时会发生什么？
这确实有点奇怪，不是吗？
是的。
他们为什么都看着我？
因为我的潜意识里感觉到这个世界是别人在创造的。
你改变的越多，预测就会越快地向你靠拢。
收敛？
他们感觉到了做梦者的异国情调。
它们会发起攻击，就像白细胞抵抗感染一样。
什么，他们要攻击我们吗？
不，不。
只有你。
这很好，但我告诉你，如果你继续这样改变事情……
天哪，介意告诉你的潜意识放松点吗？
这是我的潜意识。
记得吗？我控制不了。
非常令人印象深刻。
我知道这座桥。这个地方是真实存在的，对吧？
是的，我每天都要经过这里去上大学。
永远不要根据记忆重新创造某个地方。永远要想象新的地方。
你从自己熟悉的事物中汲取灵感，对吗？
仅使用详细信息。
路灯或电话亭。绝不会是整个区域。
为什么不呢？
根据记忆构建梦境……是最容易让你分不清什么是现实、什么是梦境的方法。
你也遇到过这样的情况吗？
听我说。
这跟我没关系，明白吗？
这就是为什么你需要我来帮助实现你的梦想？
嘿，从她身上下来。
后退。后退。
科布。科布。
从她身上下来。
放开我，放开我。
马尔。
马尔。
科布，叫醒我。
叫醒我。叫醒我。
不。
玛尔，不，不。
叫我起床。
嘿，嘿，嘿。看着我。
你没事，你没事。
嘿。
我为什么还不醒？
时钟上还有时间。
除非你死了，否则你无法从梦中醒来。
她需要一个图腾。
什么？
图腾，是一个小小的个人……
这就是你的潜意识，科布。
她确实很有魅力。
哦。
我看到你见过科布夫人。
她是他的妻子？
是的。所以是图腾。你需要一个小东西，可能很重。
有些东西你可以随身携带，但别人却不知道。
像硬币一样吗？
不。
它需要更独特一些。比如，这是一枚灌了铅的骰子。
不，我不能让你碰它。
那样就达不到目的了。
瞧，只有我知道这个特殊的骰子的平衡度和重量。
这样，当你看到你的图腾时……你就会毫无疑问地知道你不在别人的梦里。
我不知道您是否看不出来发生了什么，或者只是不想看...但是科布有一些严重的问题，他试图将其埋藏在那里。
我不会向这样的人敞开心扉。
她会回来的。我从来没见过有人学得这么快。
现在现实对她来说还不够，当她回来时……
当她回来时，你会让她建造迷宫。
你要去哪儿？
我得去拜访埃姆斯。
埃姆斯？不，他在蒙巴萨。
这是 Cobol 的后院。
这是必要的风险。
嗯，有很多好小偷。
我们需要的不仅仅是一个小偷。
我们需要一个伪造者。
无论你怎么把它们揉在一起，它们都不会繁殖。
你永远不知道。
我给你买杯喝的。
你买单。
你的拼写也没进步。
滚开。
你的字写得怎么样？
它用途广泛。
好的。
非常感谢。
盗梦空间。
现在，在你告诉我这是不可能的之前，让我……
不，这完全有可能。
这实在是太难了。
有意思。因为亚瑟一直告诉我这不可能。
亚瑟，你还在和那个固执己见的人一起工作吗？
他很擅长他所做的事情，对吧？
哦，他是最棒的，但是他缺乏想象力。
不像你。
听着，如果你要表演《盗梦空间》，你就需要想象力。
让我问你一件事。
你以前做过吗？
我们尝试过。我们有了想法，但没有成功。
你种的不够深吗？
不，这不仅仅与深度有关。
您需要这个想法的最简单版本......以便它在您的主题的头脑中自然成长。
这是一门微妙的艺术。
那么，您需要种植的这个想法是什么？
我们需要一家大公司的继承人来瓦解他父亲的帝国。
其中有各种政治动机……以及反垄断情绪等等。
但所有这些东西，都是……
这实际上取决于你的主题的偏见，你明白吗？
你要做的就是
从最基础的事情开始。
哪一个是啥？
与父亲的关系。
你们有化学家吗？
不，还没有。
对。好的，嗯，这里有个男人，叫尤瑟夫。
他，制定了自己的化合物版本。
你为什么不带我去那里？
一旦你失去了你的尾巴。酒吧里的那个男人。
COBOL 工程。
悬赏要我的命，是死的还是活的？
不记得了。看看他有没有开枪。
干扰。我大概半小时后在楼下酒吧等你？
回到这儿？
这是他们最不会怀疑的地方。
好的。
弗雷迪。弗雷迪·西蒙兹。
天哪，是你吧？
不，不是你。
现在你不是在做梦吧？
抓住他。
那里。
一家咖啡馆。
一家咖啡馆。
一家咖啡馆。
科布先生，想顺便搭车吗？
你在蒙巴萨做什么？
我来这里是为了保护我的投资。
啊。所以这就是你所谓的失去尾巴的想法，嗯？
不同的尾巴。
科布说你会回来的。
我试着不来，但是……
但没有任何东西能与之相比。
这只是......纯粹的创作。
我们来看看一些矛盾的建筑吧？
如果你要构建三个完整的梦境关卡，你得掌握一些技巧……不好意思。
有啥花招？
在梦中，你可以将建筑改造成不可能的形状。
这样你就可以创建闭环，就像彭罗斯台阶一样。
無限的楼梯。
看？
悖论。
因此，像这样的闭环……将帮助你掩盖你所创造的梦想的界限。
但是这些级别必须有多大呢？
它可以是任何东西，从建筑物的楼层到整个城市。
它们必须足够复杂，以便我们可以躲避投影。
迷宫？
对，迷宫。
迷宫越好……
那么，在预测抓住我们之前，我们还有更长的时间吗？
确切地。
我的潜意识似乎足够有礼貌。
哈哈。等着瞧吧，它们会变丑的。
没有人喜欢别人在自己的心里搅乱思绪。
科布不能再建造更多了，是吗？
我不知道他能不能做到，但他不会。
他认为如果不知道布局的话会更安全。
为什么？
他不肯告诉我。但我觉得是马尔。
他的前妻？
不，不是他的前任。
他们还在一起吗？
不。
不，她死了。
你在那里看到的只是他对她的投射。
现实生活中她是什么样的人？
她很可爱。
您正在寻找一位化学家？
是的。
为了工作而配制化合物？
并和我们一起去实地考察。
不，我很少去实地考察，科布先生。
好吧，我们需要你来根据我们的需要定制化合物。
哪些是？
很有深度。
梦中之梦？两层？
三。
不可能。梦中梦那么多，太不稳定了。
有可能。你只要加点镇静剂就行了。
一种强效镇静剂。
团队有多少名成员？
五。
六。
只有我和你一起进去，才能知道你已经完成了工作。
斋藤先生，这样的工作不适合游客。
这次，似乎有。
我觉得这是一个很好的起点。我每天都用它。
做什么的？
来，我给你演示一下。
或许你不想看到。
您先请。
十个。十二个。全部连接起来了。该死的。
他们每天都来分享这个梦想。
看到了吧？非常稳定。
他们的梦想持续了多久？
每天三、四个小时。
在梦中？
用这种化合物？每天大约40个小时。
他们为什么这么做？
告诉他，科布先生。
过了一段时间，它就成为你实现梦想的唯一途径。
科布先生，您还做梦吗？
他们每天都来这里睡觉？
不。
他们来是为了被唤醒。
他们的梦想已经成为现实。
先生，您是谁，竟敢这么说？
让我们看看你能做什么。
你知道如何找到我。
你知道你必须做什么。
锋利，不是吗？
您还好吗，科布先生？
是啊是啊。
一切都很好。
罗伯特·菲舍尔 (Robert Fischer)，菲舍尔莫罗 (Fischer Morrow) 能源集团的继承人。
您对这位菲舍尔先生有什么意见吗？
那不关你的事。
斋藤先生，这不是典型的商业间谍活动。
你问我起源。
我确实希望你能理解这个请求的重要性。
现在，我们在这个人心中种下的种子将会成长为一个想法。
这个想法将定义他。
它可能会发生改变……
嗯，这可能会改变他的一切。
我们是阻止他们完全占据能源主导地位的最后一家公司。
我们不再具有竞争力。
很快，他们将控制世界一半的能源供应。
实际上，他们成为了一个新的超级大国。
世界需要罗伯特·菲舍尔改变主意。
这就是我们要做的事情。
罗伯特·菲舍尔与他父亲的关系如何？
有传言称，他们之间的关系相当复杂。
好吧，我们不能仅根据谣言来开展工作，不是吗？
你能帮我联系一下这个人吗？布朗宁。
老菲舍尔的得力助手。
小菲舍尔的教父。
如果您能获得正确的参考，这应该是可能的。
斋藤先生，参考文献对我来说是一种特殊技能。
我闻不到这里有任何定居点的味道。把它们拆掉。
布朗宁先生……
莫里斯·菲舍尔 (Maurice Fischer) 的政策始终是避免诉讼。
那么，我们可以直接向莫里斯表达您的担忧吗？
不确定是否有必要。
不不不。我觉得应该。
他怎么样了？
我不想无缘无故地打扰他，但是……罗伯特，我告诉过你别再说那该死的……等等。那就去做吧。快……
菲舍尔先生。
把它接通。
永远不要，永远不要。永远不要按照我说的做。
别管那个了。
这里。
对他来说这必定是一段珍贵的回忆。
我把它放在他的床边。
他甚至还没有注意到。
罗伯特……我们需要谈谈授权书。
我知道这很难，但这是必须的……
现在还不行，彼得叔叔。
秃鹫正在盘旋。
莫里斯·菲舍尔的病情越严重，彼得·布朗宁的权力就越大。
我有充足的机会观察布朗宁……模仿他的外貌，研究他的举止等等。
所以现在在梦境的第一层，我可以模仿布朗宁。
并向菲舍尔的意识提出概念。
然后，当我们让他更深入地了解时……他对布朗宁的投射应该会将这种感觉反馈给他。
所以他给自己提出了这个想法。
正是如此。只有这样才能坚持下去。
它必须看起来是自我生成的。
亚瑟：埃姆斯，我印象深刻。
埃姆斯：亚瑟，一如既往，非常感谢您的屈尊，谢谢。
你是自己去的吗？
不，不，我只是在做一些实验。
我不知道这里有人，所以……
是的，我只是......实际上，我正在研究我的图腾。
来，让我看一下。
所以你正在学习，是吗？
一个跟踪现实的优雅解决方案。
这是你的主意吗？
不，是……
其实是玛尔的。这……
这是她的。
她会在梦中旋转它，它永远不会倒塌。
只是旋转、旋转。
亚瑟告诉我她去世了。
迷宫进展如何？
每个级别都与我们试图访问的主体潜意识的部分相关。
所以我把底层建成了医院，这样菲舍尔就会带着他的父亲来。
你知道，我......实际上，我对这个布局有一个疑问。
不不不。别给我看细节。
只有做梦者才应该知道布局。
为什么这如此重要？
如果我们中的一个人提出我们的预测。
我们不想让他们知道迷宫的细节。
你的意思是万一你把 Mal 带进来。
你不能把她拒之门外，对吧？
正确的。
你不能建造……因为如果你知道迷宫，那么她就知道。
好吧，她会破坏整个行动。
科布，其他人知道吗？
不，他们没有。
如果情况变得更糟，你必须警告他们。
没有人说情况会变得更糟。
科布：我得回家。我现在只想回家。
阿丽亚德妮：你为什么不能回家？
科布：因为他们认为我杀了她。
阿里阿德涅：[沉默]
科布：谢谢。
阿丽亚德妮：为了什么？
科布：因为你没有问我是否知道。
“我要分割我父亲的帝国。”
现在，这显然是罗伯特本人会选择拒绝的想法……这就是为什么我们需要将它深深植入他的潜意识中。
潜意识是由情感驱动的，对吧？而不是理性。
我们需要找到一种方法将其转化为情感概念。
如何将商业策略转化为情感？
这就是我们来这里要弄清楚的问题。
罗伯特与他父亲的关系……至少可以说很紧张。
我们能用这个吗？
我们建议拆分他父亲的公司，以此来对这位老人说“去你的”。
不，因为我认为积极情绪每次都会胜过消极情绪。
我们都渴望和解、渴望宣泄。
我们需要罗伯特·菲舍尔对这一切做出积极的情感反应。
好吧，那你试试这个吧。
“我父亲接受我想要为自己创造，而不是追随他的脚步。”
那可能会有用。
可能？我们需要做得比“可能”更好一点。
感谢您的贡献，亚瑟。
请原谅我想要说得更具体一些，埃姆斯。
具体性？
《盗梦空间》并不涉及具体内容。
当我们了解他的内心时，我们必须利用我们所发现的东西。
在最高层面上，我们公开了他与父亲的关系……并说：“我不会追随父亲的脚步。”
然后在接下来的层次上，我们告诉他，“我要为自己创造一些东西。”
然后，当我们到达最底层时，我们就会拿出重炮。
“我父亲不希望我成为他。”
确切地。
三层之下，梦想稍有动静就会破灭。
冷静。
为了获得足够稳定的睡眠以产生三层梦境……我们必须将其与一种非常强效的镇静剂结合起来。
晚安。
我们将使用这种化合物来分享梦境……在做梦者之间建立清晰的联系……同时加速大脑功能。
换句话说，在每个级别上花费更多的时间。
梦境中的大脑功能将是正常情况下的20倍左右。
当你进入梦中梦时，效果就会加剧。
这是三个梦，也就是 10 个小时乘以 20……
数学从来都不是我的强项。那得花多少时间？
已经一周了，第一级已经下来了。
六个月后，第二级下降，第三级……
那是10年。
谁愿意在梦里呆十年呢？
取决于梦想。
那么，一旦我们建造了工厂，我们该如何离开呢？
我希望你能有比射中我的头更优雅的方法。
一脚。
什么是踢？
阿里阿德涅，这会是一击。
正是这种坠落的感觉让你猛然惊醒。
把你从梦中惊醒。
我们会因为这种镇静剂而感到一阵刺激吗？
这就是聪明之处。
我定制了镇静剂，以确保内耳功能不受影响。
这样，无论睡得有多深，睡眠者仍然会感到下坠。
或者给小费。
诀窍在于同步踢球，以穿透所有三个层次。
我们可以使用音乐倒计时来同步不同的踢腿动作。
他没有安排任何手术，没有牙科治疗，什么都没有。
他不是应该做膝盖手术吗？
没什么。反正他们也不会让他接受任何治疗。而且我们需要……
我们至少需要10个小时。
悉尼到洛杉矶。
这是世界上最长的飞行之一。他每两周飞行一次。
那么他肯定是乘坐私人飞机。
如果他的飞机需要意外维护，那就不行。
亚瑟：必须是 747 型。
科布：为什么呢？
亚瑟：在747飞机上，飞行员在机顶……头等舱在机头，所以没人能穿过去。你得买下整个机舱和头等舱乘务员……
斋藤：我买下了这家航空公司。
[所有人都转过头看着他。斋藤只是耸耸肩]
这样看起来更简洁。
好吧，看起来我们有 10 个小时。
阿里阿德涅？顺便说一句，做得太棒了。
你知道如何找到我。
你知道你必须做什么。
你还记得你向我求婚的时候吗？
我当然知道。
你说你有一个梦想。
我们会一起变老。
我们可以。
你不应该在这里。
只是想看看你每晚自己做什么样的测试。
这与你无关。
这一切都与我有关。
你曾要求我与你分享梦想。
不是这些。这些是我的梦想。
你为什么要这样对待自己？
这是我仍能做梦的唯一方式。
阿里亚德妮：为什么梦想如此重要？
科布：在我的梦里，我们仍然在一起。
这些不仅仅是梦想。
这些都是回忆。你说过永远不要用回忆。
我知道我做到了。
你要尽力让她活下去。你不能让她走。
你不明白。这些都是我后悔的时刻。
这些都是我必须改变的记忆。
那么，你后悔什么了？
听着，关于我你只需要了解一件事。
这是你的家吗？
是的，是我和 Mal 的。
她在哪里？
她已经走了。
那是我的儿子，詹姆斯。
他正在挖掘某样东西，也许是一条虫子。
那是菲利帕。
我想过大声呼喊他们……这样他们就会转过身来微笑，我就能看到……他们美丽的脸庞，但一切都太晚了。
现在就行动，否则就永远不再行动，科布。
然后我开始恐慌。
我意识到我会后悔这一刻......我需要最后一次看到他们的脸。
詹姆斯。菲利帕。进来吧。
但那一刻已经过去了。
无论我做什么，都无法改变这一刻。
当我正要呼唤他们时......他们却跑开了。
如果我还想再见到他们，我就必须回家。
现实世界。
你在这里干什么？
我的名字是…
我知道你是谁。你来这里干什么？
我只是想了解一下。
你怎么能理解呢？
你知道什么是情人吗？
成为整体的一半？
不。
我给你出个谜语。
你正在等火车。
一列载你去远方的火车。
你知道你希望这列火车带你去哪里……但你并不确定。
但没关系。
那列火车将带你去哪里，这怎么会对你不重要呢？
因为你们会在一起。
你怎么能把她带到这里，Dom？
这是什么地方？
这是我们曾经度过结婚纪念日的酒店套房。
这里发生了什么？
你答应过。你答应过我们会在一起。
请你暂时留在这里。
你说过我们会在一起。你说过我们会一起变老。
我会回来找你的。我保证。
你认为你可以建造一个记忆的监狱来把她关在里面吗？
你真的认为那能束缚住她吗？
是时候了。
莫里斯·菲舍尔刚刚在悉尼去世。
葬礼什么时候举行？
星期四。在洛杉矶。
罗伯特应该最迟在周二护送遗体回家。
我们应该搬家了。
好的。
科布，我和你一起去。
我答应了迈尔斯。不。
团队需要有人能够理解你的困难。
不一定非得是我……但你必须让亚瑟看到我刚刚看到的东西。
给我们在飞机上安排另一个座位。
如果我登上这架飞机而你们不遵守我们的协议……当我们着陆时，我就会被判终身监禁。
途中完成工作……
我在飞机上打了一个电话……你就毫无困难地通过了移民局的检查。
对不起。
噢，是的，绝对如此。
谢谢。
不好意思，我想这是你的吧？你肯定把它掉了。
你想喝点什么吗？
哦。请给我水。
哦，我也一样。
谢谢。
你知道，我不禁注意到……但你不会碰巧和莫里斯·菲舍尔有关系吧？
是的，他……
他是我的父亲。
嗯，他是一位非常鼓舞人心的人物。我对你的损失深感遗憾。
干得好。
谢谢。
嘿。
给你的父亲。
愿他安息吧？
你昏迷前不能小便吗？
对不起。
起飞前喝了太多免费香槟？
哈哈，该死的哈哈。
我们知道在这种天气里他会找出租车。
混蛋。嘿，哥们，你为什么不试试……？
走开。
只要让他……
我得走了。
好的。出租车。谢谢。
好的，第三街和市场街。快点。
你在干什么？
抱歉，我以为它是免费的。
它不是。
也许我们可以分享。
可能不行。你能把车停在路边，把这个拿过来吗……？
伟大的。
快点。
里面有500美元。钱包的价值不止这些。
你至少可以在我下车的地方让我下车。
恐怕不行……
掩护他。
放下。现在放下。
到底发生什么事了？
这不在设计之中。
科布？
科布？
抓住他。
你还好吗？
嗯，我没事。我没事。
菲舍尔没事，除非他晕车。
斋藤？
现在就把菲舍尔带到后面的房间。
把他带到后面的房间。快走。
到底发生了什么？
他被枪击了吗？快要死了吗？
我不知道。
耶稣基督。
你怎么了？
被一辆货运列车挡住了。
为什么要把火车停在市中心的十字路口？
我没有。
它是从哪里来的？
我们为什么会遭到伏击？
这些并不是正常的预测。
老天爷啊，他们可是受过训练的。
他该如何接受训练？
菲舍尔有一个提取器......教他的潜意识保护自己，所以他的潜意识是军事化的。
这应该在研究中体现出来。
到底为什么没有呢？
冷静下来。
别告诉我要冷静下来。
这本来就是你的工作，该死的。
这是你的责任。
你应该检查一下菲舍尔的背景。
我们对此还没有做好准备。
我们以前处理过次安全问题。
我们会更加小心，一切都会好起来的。
这不在计划之内。他快要死了。
让他摆脱痛苦。
不，不要那样做。不要那样做。
科布，嘿，嘿。
他很痛苦。我要叫醒他。
不会。它不会吵醒他。
你什么意思，它不会吵醒他？
当我们在梦中死去时，我们就会醒来。
不是由此而来。
我们被注射了过量的镇静剂，所以无法以那种方式醒来。
对。那么，我们死后会发生什么呢？
我们陷入了困境。
你是认真的？
地狱边缘？
未建构的梦幻空间。
那么，这下面到底是什么？
只是原始的、无限的潜意识。
那里什么也没有，除了可能被困在那里并分享梦想的人留下的东西。
在我们的例子中，只有你。
我们会被困多久？
甚至无法思考……试图逃跑直到镇静……
多久？
几十年。或许是无限的。问问他吧，他可是亲身经历过的人。
我们把他抬上楼吧。
伟大的。
谢谢。
所以现在我们被困在菲舍尔的脑海中，与他自己的私人军队作战。
如果我们被杀了……我们就会迷失在地狱边缘，直到我们的脑子变成炒鸡蛋？
有人接受过急救吗？
您知道这些风险却没有告诉我们？
本来就不应该有风险。
我不知道我们会遭遇枪击。
你没有权利。
这是进入三层的唯一方法。
你知道这件事并且同意了？
我信任他。
什么时候？他答应你一半份额的时候？
不。他全部的份额。而且，他说他以前也做过。
什么？跟马尔一起？因为效果太好了？
那跟这事没关系。我做了我必须做的事，为了我的孩子。
你把我们带入了无路可逃的战区？
有办法了。我们继续工作，尽可能快地完成……然后像之前一样，用脚踢出去了。
算了，再深入下去，只会加大赌注。
我正坐在这个层面上。
菲舍尔的保安人员正在包围这个地方。
在这个高度，十小时的飞行时间相当于一周。
这意味着我们每个人都会被杀死。我可以向你保证。
我们别无选择，只能继续并尽快完成。
向下是前进的唯一道路。
准备。
你，快来。我们去把他摇醒。
我已投保高达 1000 万美元的绑架险。
这应该非常简单。
闭嘴，不会的。
你父亲的办公室里，书架下面……是他的私人保险箱。我们需要密码。
我不知道有什么保险箱。
这并不意味着您不知道密码组合。
告诉我们它是什么。
我不知道。
我们有可靠的依据，您知道吗。
是吗？谁的权威？
五百美元，这个费用。
里面有什么？
现金、银行卡、身份证。还有这个。
有用？
或许。
开始吧，你有一小时的时间。
一小时？
我本应该有一整晚的时间来解决这个问题。
而且斋藤的胸部也不应该被射中。
你有一小时的时间，现在请给我们提供一些有用的东西。
那是什么？
很好的权威。
彼得叔叔。
让他们停下来。
组合。
我不知道。
为什么布朗宁说你会？
我不知道。
只要让我和他谈谈，我就会知道答案。
你有一小时的时间。开始讲吧。
你还好吗？
你还好嗎？
那些混蛋已经欺负我两天了。
他们有人可以进入你父亲的办公室。
他们正试图打开他的保险箱。
是的。
他们以为我知道密码组合，但我不知道。
是啊，好吧，我也不知道，所以……
什么？
莫里斯告诉我，当他去世时，只有你才能打开它。
不，他从来没有给我任何组合。
也许他知道。我的意思是，也许你只是不知道这是一个组合。
那么，怎么办呢？
我不知道，一些有意义的数字组合......基于你与莫里斯的经历。
我们在一起并没有经历过太多有意义的事情。
也许是在你母亲去世之后。
我母亲去世后，你知道他对我说了什么吗？
“罗伯特，真的没什么好说的了。”
哦，好吧，他感情不太好。
我当时 11 岁，彼得叔叔。
他怎么样了？
他非常痛苦。
当我们到达较低水平时，疼痛就会减轻。
如果他死了呢？
最坏的情况？
当他醒来时，他的思绪已经完全消失了。
科布，我仍然会尊重这个安排。
我很感激，斋藤。
可是当你醒来的时候，你甚至不会记得我们曾经有过约定。
地狱边境将成为你的现实。
你会在那里迷失太久，直到变成一个老人。
满怀遗憾？
孤独地等待死亡。
不。
我会回来的。
我们将会再次一起成为年轻人。
呼吸。
如果我们不把密码告诉他们，他们就会杀了我们。
他们只是想勒索我们。
我听到了。
他们会把我们锁在货车里，然后把货车开进河里。
好的。保险箱里有什么？
给你一些东西。
莫里斯总是说这是他送给你的最珍贵的礼物。
遗嘱。
莫里斯的遗嘱由波特和邓恩保管。
这是一种替代方案。
如果您愿意的话，这个会取代另一个。
该公司拆分了 Fischer Morrow 的零部件业务。
这将是我们所知的整个帝国的终结。
毁掉我的全部遗产？
他为什么会提出这样的建议？
我只是不知道。
他爱你，罗伯特。
以他自己的方式。
以他自己的方式。
最后……他把我叫到了他的病床前。
他几乎说不出话来。
但他还是不厌其烦地告诉了我最后一件事。
他把我拉近。
而我只听出了……一个词。
“失望的。”
你什么时候处于困境之中？
您可能会说服团队其他成员继续这项工作。
但他们不知道真相。
真相？什么真相？
事实是，随时都有可能有一列货运火车穿过这堵墙。
事实是 Mal 正在冲破你的潜意识。
事实是，随着我们对菲舍尔的了解越来越深入……我们也对你有了更深的了解。
我不确定我们是否会喜欢我们发现的东西。
我们一起工作。
我们正在探索梦中梦的概念。
我一直在推动事情。
我想走得更深，走得更远。
我只是不明白这个概念，几个小时会变成几年……我们会被困得如此之深……当我们最终到达我们自己潜意识的岸边时……我们会看不到什么是真实的。
我们创造。我们为自己建造了世界。
我们这样做了很多年。
我们建立了自己的世界。
你在那里被困了多久？
大约50年。
耶稣。
你怎么能忍受呢？
一开始感觉还不错，就像神一样。
最终，我不再能够再这样生活了。
那她又怎么样呢？
她把一些东西锁了起来，一些她内心深处的东西。
她曾经知道这个事实，但却选择忘记。
地狱边境成为了她的现实。
醒来后发生了什么事？
好吧，经过数年、数十年之后醒来……变成老灵魂，重新回到青春岁月？
我知道她有问题。只是她不肯承认。
最后她告诉了我真相。
她心里有一个想法。
这个非常简单的想法改变了一切。
我们的世界不是真实的。
她需要醒来回到现实……为了回家……我们必须自杀。
那你的孩子呢？
她以为他们是投影……我们真正的孩子正在某个地方等着我们。
我是他们的妈妈。
冷静下来。
我能分辨出差异。
如果这是我的梦想，为什么我无法控制它？
你不知道自己在做梦。
她确信我无能为力……无论我如何恳求，无论我如何恳求。
她想做这件事，但她一个人无法做到。
她太爱我了，所以她在我们的结婚纪念日那天想出了一个计划。
亲爱的，你在做什么？
加入我。
就……就回到里面去。好吗？
现在就回到里面，来吧。
不，我要跳，你跟我一起跳。
不，我不是。
现在，你听我说。
如果你跳下去，就醒不过来了，记得吗？你会死的。
现在，请退回屋内。
来吧。回来吧，我们可以谈谈这件事。
我们已经谈够了。
马尔。
到窗台上来……不然我现在就跳下去。
好的。
我们要讨论这个。
好的？
我请求你勇敢地迈出这一步。
不亲爱的。
不，我不能。你知道我不能这么做。
花一点时间想想我们的孩子。
想想詹姆斯。
现在想想菲利帕。
如果我不带你去，他们无论如何都会把它们带走。
这意味着什么？
我向我们的律师提交了一封信......解释我如何担心我的安全。
你是如何威胁要杀了我。
你为什么这么做？
我爱你，Dom。
为什么……？你为什么要这样对我？
我已让你摆脱了选择离开他们的愧疚感。
我们要回家去见我们亲生的孩子。
哦，不，不，不，玛尔，你听我说，好吗？玛尔，看着我，好吗？
你正在等火车。
马尔，该死的，不要这样做。
一列载你去远方的火车。
詹姆斯和菲利帕正在等你。
你知道希望这列火车带你去哪里，但你无法确定。
玛尔，看着我。
但没关系。
马尔，该死的。
玛尔，听我说。
因为你们会在一起。
甜心。看着我。玛尔，不。
耶稣基督。
三位不同的精神病医生都曾宣布她精神正常。
这让我无法解释她疯狂的本质。
于是我就跑了。
就现在，或者永远不要，科布。
詹姆斯。菲利帕。
进来吧，来吧。
好的，我们走吧。
我把我的孩子留在了后面，从那时起我就一直想用钱买回来。
你的罪恶感定义了她。
这就是她的力量所在。
但你不应该为毁掉她的想法负责。
如果我们想要成功的话……你必须原谅自己，你必须面对她。
但你不必独自完成这件事。
不，你不是……
我这样做是为了其他人。
因为他们不知道和你一起来这里要冒多大的风险。
我们必须行动起来。
时间到了。
好的。我不知道任何组合。
无论如何，不是有意识的。
本能地怎么样？
我现在就派人到你父亲的办公室，准备输入密码。
请告诉我您现在想到的前六个数字。
我不知道。
现在。
我说，现在就好。现在就好。
五，二，八，四，九，一。
你必须做得更好。
好的。把它们装进袋子里。
你要去兜风了。
我们活着对你来说更有价值。你听见了吗？
你得到了什么？
和父亲的关系比我们想象的还要糟糕。
这对我们有何帮助？
问题越严重，宣泄的力量就越强大。
我们怎样才能让他们和解呢？
我正在努力。
加快速度。投影很快就完成了。
我们必须趁还没被彻底困住之前逃出这里。
该死的。
埃姆斯：[在亚瑟枪战时出现] 亲爱的，别害怕梦想更大一点。
[掏出榴弹发射器]
我们需要将他的敌意从他的父亲转移到他的教父身上。
毁掉他唯一的积极关系？
不，修复他与父亲的关系……同时揭露他教父的真实本性。
对于这项工作，我们应该向菲舍尔收取比斋藤更高的费用。
随着我们深入，他的安全性将会变得更糟。
我认为我们和查尔斯先生一起竞选。
不。
查尔斯先生是谁？
坏主意。
我们一进入酒店，他的保安就会对我们严加看管。
我们与查尔斯先生一起努力，就像斯坦的工作一样。
你以前做过吗？
是的，但它没有起作用。
受试者意识到自己在做梦，他的潜意识将我们撕成了碎片。
太棒了！不过你学到了很多东西，对吧？
我需要一些分散注意力的事情。
没问题。
我以前用过的一位可爱的女士怎么样？
听我说，小心开车，好吗？
那里的一切都将会变得极其不稳定。
别跳得太早。
我们只有一次射门机会。
我们必须成功。
我会播放音乐，让你知道它即将到来。剩下的就交给你了。
你准备好了吗？
准备好。
做个好梦。
我让你厌烦了吗？
我刚刚给你讲了我的故事。我想你可能不会喜欢。
我心里有很多事。
查尔斯先生走了。
菲舍尔先生，对吗？
很高兴再次见到您。我是市场部的Rod Green。我……
你一定是这样吧？
离开。
以防你觉得无聊。
肯定把你吹走了。
也就是说，除非她的电话号码真的只有六位数字。
交朋友的方式很有趣，有人就这样偷了你的钱包。
该死，光是钱包就值至少500……
大约 500 美元，对吗？
别担心。我的人已经在那儿了。
查尔斯先生是谁或者是什么？
这是一个旨在让菲舍尔违背自己潜意识的策略。
那你为什么不同意呢？
它包括告诉目标他在做梦......这涉及到吸引我们很多注意力。
科布不是说过永远不要这么做吗？
现在你已经注意到了……科布花了多少时间去做他曾经说过永远不会做的事情。
斋藤先生，我可以稍等一下吗？
很抱歉，但是……
稍等一下。等待一下。
你看上去精神多了。
非常有趣，埃姆斯先生。
飞机上遇到湍流了吗？
不，更近了。
这就是尤素夫的驾驶风格。
抱歉。你刚才说你是谁？
市场营销部门的 Rod Green。
但事实并非如此，不是吗？
我叫查尔斯先生。你还记得我吧？
我是你们这里的安全负责人。
走到另一层楼，继续走动。
把钱包丢掉。保安会找你的。
好的。
我们需要给科布多一点时间。
安全吧？
您在酒店工作吗？
不，不。
我专门研究一种非常特殊的安全类型。
潜意识的安全感。
你在谈论梦想吗？
您是在谈论提取吗？
我在这里保护你。
菲舍尔先生，如果有人试图通过你的梦境进入你的思想，我会在这里保护你。
你在这里不安全。
他们正在向你走来。
天气很奇怪，不是吗？
你感觉到了吗？
阿丽亚德妮：发生什么事了？
亚瑟：科布正在提醒菲舍尔注意梦境的奇异之处……这让他下意识地寻找做梦者。找我。快，给我一个吻。
阿丽亚德妮：[她吻了他，然后环顾四周] 他们还在看着我们。
亚瑟：是的，值得一试。
我们或许应该离开这里。
你感觉到了吗？菲舍尔先生，你其实受过这方面的训练。
注意天气的异常和重力的变化。
这一切都不是真的。
你在做梦。
现在，最简单的测试方法就是……试着回忆一下你是怎么到达这家酒店的。你能做到吗？
是的，我……
不，呼吸，呼吸。
记住你的训练。
接受你在梦里的事实，我会在这里保护你。继续吧。
你不是真的吗？
不。
不，我是你潜意识的投射。
我被派到这里来保护你，以防万一……提取器试图将你拉入梦境。
我相信这就是现在正在发生的事情，菲舍尔先生。
是的。
好的。
好的。
你能带我离开这里吗？
马上。跟我来。
等一下。
天呐，你在干什么？
这些人是被派来绑架你的，对吗？
如果你想要我的帮助，你必须保持冷静。
我需要你和我一起工作，菲舍尔先生。
如果这是一场梦，我应该自杀才能醒来，对吗？
如果我是你，我就不会这么做，菲舍尔先生。
我相信他们已经给你注射了镇静剂，如果你扣动扳机……你可能不会醒来。
您可能会进入更深的梦境。
现在，你知道我在说什么了。
你还记得训练。
记住我对你说的话。
把枪给我。
这个房间应该就在528楼下吧？
是的。
想想吧，菲舍尔先生，想想吧。
你对这个梦之前有什么记忆？
枪声不断。
下雨了。
彼得叔叔。
哦，天哪，我们被绑架了。
他们把你关在哪里？
他们把我们带到一辆货车的后面。
这解释了重力的变化。
你在一辆货车的后面。继续前进。
这与……有关。
与保险箱有关。
天哪，为什么这么难记住？
这就像醒来后试图回忆梦境一样。
听着，这需要多年的练习。
你和布朗宁被拉入了这个梦境……因为他们试图从你的脑海中窃取一些东西。
我需要你集中注意力并尝试记住那是什么。
怎么回事，菲舍尔先生？想想吧。
一个组合。他们要求我说出脑子里第一个冒出来的数字。
他们正试图从你的潜意识中提取一个数字。
它可以代表任何事物。
我们现在在酒店里。
我们应该试试酒店房间。菲舍尔先生，房间号是多少？
尝试帮我记住。
这非常重要。
五。
五、二……这是一个很长的数字。
很好。我们可以从那里开始。五楼。
是的。
那么你使用计时器吗？
不，我必须自己判断。
当你们都在 528 睡觉时，我等待着尤瑟夫的一脚。
那么，你怎么知道呢？
他的音乐警告了我。
然后，当货车撞上桥梁护栏时，这应该是显而易见的。
因此我们得到了一次漂亮的同步踢球。
如果太早的话，我们就不会被撤出。
但如果太晚了，我就没法送我们下去了。
嗯，为什么不呢？
因为货车将会自由落体。
没有重力就无法将你放下。
正确的。
他们和我在一起。继续。
查尔斯先生。
您知道那是什么吗，菲舍尔先生？
是的，我认为是这样。
他们试图让你屈服。
我已经在下面了。
又在下面。
什么叫梦中梦？
嘿，我发现你变了。
对不起？
哦，对不起。我把你误认为朋友了。
哦。
我确信，他是个帅哥。
不不不不。这是菲舍尔对布朗宁的预测。
我们来跟踪他，看看他的表现如何。
为什么？
因为他的行为会告诉我们……菲舍尔是否开始像我们希望的那样怀疑他的动机。
彼得叔叔。
你说你们一起被绑架了？
嗯，不完全是。他们已经抓住他了。他们在折磨他。
你看到他们折磨他吗？
绑匪是为你工作的？
罗伯特。
你想打开那个保险箱？去拿另一份遗嘱？
菲舍尔·莫罗就是我生命的全部。我不能让你毁了它。
我不会放弃我的遗产。
我不能让你承受你父亲最后的嘲讽。
什么嘲讽？
遗嘱，罗伯特。那份遗嘱？
这是他最后的侮辱。
这是一个挑战，让你为自己建立一些东西......通过告诉你你不配获得他的成就。
但他却感到失望，怎么办？
对不起。
但他错了。
你可以建立一家比他更好的公司。
菲舍尔先生？他在撒谎。
你怎么知道？
相信我，这就是我所做的。
他隐瞒了一些事情，我们需要查明是什么。
我需要你对他做他要对你做的事。
我们将进入他的潜意识，找出他不想让你知道的事情。
好的。
他出去了。
等待。
我们究竟要进入谁的潜意识？
我们要去菲舍尔餐厅。
我告诉他这是布朗宁的，所以他可以成为我们团队的一员。
他会帮助我们闯入他的潜意识。
这是正确的。
保安会严厉追捕你的。
我将带领他们进行一场快乐的追逐。
只要在踢球前回来就行。
去睡觉吧，埃姆斯先生。
你还好吗？
嘿，你准备好了吗？
是的，是的。我很好。我准备好了。
科布？
科布？那下面是什么？
希望菲舍尔能够了解我们想要了解的真相。
我的意思是，那里有什么东西给你？
你看到了吗？
埃姆斯，这是你的梦想。
我需要你把保安从大楼里引开，明白吗？
谁引导菲舍尔进来？
不是我。
如果我知道路线，一切都可能受到影响。
我设计了这个地方。
不，你和我在一起。
我能做到。
好的。向他简单介绍一下进入大楼的路线。
菲舍尔，你要和他一起去。
好的。你呢？
你继续直播吧。我会全程听着的。
楼上的窗户足够大，我可以从塔上掩护你。
你不进来吗？
为了找出关于你父亲的真相……你需要独自闯入布朗宁的思想。
来吧，菲舍尔。
拉响警报。拉响警报。
去！去！去。
移动。
去。
去草皮吧。
我希望你已经准备好了。
不，还太早。
科布，你听到了吗？
我第一次注意到它大约是在 20 分钟前，我以为是这里的风。
是的，我听到了。这是音乐。
那么，我们该怎么做呢？
我们行动迅速。
尤瑟夫距离跳跃还有 10 秒。
这给了亚瑟三分钟的时间。
嘿。
就是他。
这给了我们什么？
六十分钟。
他们能在一小时内完成那条路线吗？
他们必须爬到露台上。
那么他们需要一条新的路线，一条更直接的路线。
它被设计成一个迷宫。
一定有穿过迷宫的通道。
埃姆斯？
Eames 添加了什么功能吗？
我想我不应该告诉你。
我们没时间听这个。他还补充了什么吗？
他增加了一个可以穿过迷宫的空气管道系统。
很好。跟他们解释一下。
斋藤？
前进。
悖论。
那是什么？
踢了一脚。
科布。科布，我们错过了吗？
是的，我们错过了。
男人。
难道就没人能想象出一片该死的海滩吗？啊？
呵呵。
那么，我们现在该怎么办呢？
我们在下一次踢球之前完成了这项工作。
下一脚是什么？
当货车撞到水时。
如果您想拨打电话，请挂断电话并重试。
如果您需要帮助，请挂断电话……
没有重力我怎么把你放下来？
亚瑟有几分钟时间，我们有大约 20 分钟。
你还好嗎？
奔跑。转身。移向垒位。移向垒位。
去！去！去。
出问题了。
他们正朝你这边走来，好像他们知道一些事情。
给我们多争取点时间好吗？
快点。
我在途中。
来吧，动起来。
好的。
好的。那是保险库外面的前厅。
保险库有窗户吗？
如果真是这样，那它的力量就不大了。
希望菲舍尔喜欢他在里面发现的东西。
这些投射是他的潜意识吗？
是的。
你在摧毁他的部分思想吗？
不，它们只是预测。
我们到了。
你说得很清楚，但是要快点。
有一整支军队正朝你这边走来。
我加入。
他就在那儿。
里面有人。
菲舍尔，这是个陷阱。快出来。
来吧，来吧，再低一点。
科布。
不，她不是真实的。
你怎么知道的？
她只是一个投影。
菲舍尔。菲舍尔是真实存在的。
你好。
埃姆斯。埃姆斯，现在就去前厅。
发生了什么？
马尔杀死了菲舍尔。
我不能向她开枪。
救活他是没有用的。他的思想已经被困在那里了。
一切都结束了。
那么就这样了吗？我们失败了？
我们已经完成了，很抱歉。
不会是我没有回到家人身边吧？
真可惜。我真想知道那里会发生什么。我发誓我们确实经历过这种事。
让我们设定费用。
不，还有其他办法。
我们必须跟随菲舍尔到那里。
时间不够。
不，但在那里有足够的时间。
我们会找到他的。
好的，只要亚瑟的音乐响起，就使用除颤器来使他苏醒过来。
我们可以在下面给他一脚踢。
瞧，你把他带进去了。
音乐一结束，你就炸毁了医院……然后我们都回到了层层楼层。
如果 Saito 能在我设置炸药时阻止守卫，那么值得一试。
斋藤永远也做不到，不是吗？
科布，来吧。我们得试试。
大胆试试吧。
如果你在开球前没有回来，不管有没有你，我都会走。
她是对的，她是对的。
来吧，我们走吧。
我能相信你能完成这里需要做的事情吗？
马尔会在那里。
我知道去哪儿找到她。
她会得到菲舍尔。
你怎么知道？
因为她想让我去追他。
她想让我回到她身边。
好的？
这是你的世界吗？
是的。
这就是她要去的地方。
快点。
斋藤。斋藤。
我去设置炸药的时候需要你照顾好菲舍尔，可以吗？
这些工作不适合游客。
别傻了。
这一切都是你建造的？
这真是令人难以置信。
我们建造了好几年。
然后我们开始回忆。
这边走。
这就是我们的街区。
我们过去的地方。
那是我们的第一间公寓。
然后我们就搬到了那栋楼。
马尔怀孕后，那里就成了我们的家。
你根据记忆重建了这一切吗？
正如我告诉你的，我们有很多时间。
那是什么？
那是马尔长大的房子。
那么，她会在里面吗？
不。
快点。
我们都想住在房子里，但我们喜欢这种类型的建筑。
在现实世界中，我们必须做出选择，但在这里则不需要。
我们怎样才能让菲舍尔回来？
我们必须想出某种办法。
什么？
我要即兴发挥。
听着，有些事你应该了解我。关于《盗梦空间》。
想法就像病毒，具有极强的复原力。
传染性极强。
哪怕是最小的创意种子也能生长。
它可以逐渐定义你……或者摧毁你。
最小的想法，例如：
“你的世界不是真实的。”
简单的小想法却改变了一切。
对你的世界如此确信，对真实如此确信。
你认为他是吗？
或者你认为他和我一样迷茫？
我知道什么是真实的，马尔。
没有任何疑虑吗？
没有感觉到被迫害吗，Dom？
被匿名公司和警察部队追赶到世界各地……就像投影迫害做梦者一样？
承认吧。
你不再相信任何现实。
所以选择。
选择来这里。
选择我。
你知道我必须做什么。
我必须回到我们的孩子身边，因为你离开了他们。
因为你离开了我们。
你错了。
我没有错。
你搞糊涂了。
我们的孩子在这里。
你很想再次看到他们的脸，不是吗？
是的，但是我会在上面看到它们，马尔。
上面？
听听你自己的声音。
这些都是我们的孩子。
手表。
詹姆斯？菲利帕？
别这样，玛尔，求你了。
那些不是我的孩子。
你一直这样告诉自己，但你不相信。
不，我知道。
如果你错了怎么办？
如果我是真实的呢？
你不断地告诉自己你所知道的事情。
但你相信什么？
你感觉如何？
有罪。
我感到内疚，马尔。
无论我做什么，无论我多么绝望……无论我多么困惑，那种内疚感总是存在……提醒我真相。
什么真相？
让你质疑现实的想法来自于我。
你在我心里植入了这个想法？
她在说什么？
我之所以知道“盗梦空间”是可能的，是因为我先对她做了这件事。
我对我自己妻子也这么做了。
为什么？
我们在这里迷路了。
我知道我们需要逃跑，但她不接受。
科布：她把一些东西锁了起来，一些深藏心底的东西。一个她曾经知道却选择遗忘的真相。
她却无法挣脱。
所以我决定寻找它。
我深入她的内心深处，找到了那个秘密的地方。
然后我打断了……并提出了一个想法。
一个简单的小想法可以改变一切。
她的世界并不真实。
死亡是唯一的解脱。
科布：你在等一列火车。一列会带你去远方的火车。你知道你希望这列火车带你去哪里……但你无法确定。然而这无关紧要。现在，告诉我为什么？
玛尔：因为你们会在一起！
但我从未想过，这个想法会像癌症一样在她的脑海里滋长……
即使她醒来后……
即使你回到现实……你仍然会相信你的世界不是真实的。
死亡是唯一的解脱。
玛尔，不。天啊。
你感染了我的思想。
我正试图拯救你。
你背叛了我。
但你可以弥补过错。你仍然可以履行你的诺言。
我们仍然可以在一起，就在这里......在我们共同建立的世界中。
科布，我们需要找到菲舍尔。
你不能拥有他。
如果我留在这里，你会放他走吗？
你在说什么？
菲舍尔在门廊上。
去看看他还活着吗，阿里阿德涅。
科布，你不能这样做。
现在就去看看他还活着吗？赶紧去。
他来了。时间也到了，但你必须现在就来。
你带上菲舍尔，好吗？
你不能留在这里和她在一起。
我没有。斋藤现在已经死了。
这意味着他就在这里的某个地方。
这意味着我必须找到他。
科布：我不能再和她呆在一起了，因为她已经不存在了。
玛尔：我是你唯一还相信的东西。
不。
科布：我希望如此。我非常希望如此，但是……我无法想象你如此复杂……如此完美，又如此不完美。
你还好吗？
是的。
科布：看看你。你只是个影子。你只是我真正妻子的影子。你是我所能做的最好的，但是……对不起，你还不够好。
这感觉真实吗？
你在干什么？
即兴发挥。
不，不，不。
现在就进去。快，快，快。
我很失望……
我很失落……失落……
我知道，爸爸。
迪…
我知道你很失望……
我无法成为你。
不。
不，不，不。
我很失望……你尝试过。
什么？
来吧，来吧。
爸爸？
太棒了，阿里阿德涅。
你现在必须走。
别迷失自己。找到斋藤并把他带回来。
我会。
你还记得你向我求婚的时候吗？
是的。
你说你梦想着我们一起变老。
但我们做到了。
是的，你不记得了？
我对你的思念已经无法承受……但我们曾经在一起度过许多时光。
我必须放你走。
我必须放你走。
对不起，罗伯特。
你知道，遗嘱意味着爸爸希望我成为我自己......而不仅仅是为他而活。
这就是我要做的，彼得叔叔。
发生了什么？
科布留了下来。
和马尔一起吗？
不，去找斋藤。
他会迷路的。
不，他会没事的。
斋藤：你是来杀我的吗？我在等人。
科布：来自一个模糊的梦境中的某个人。
斋藤：科布？不可能。我们年轻时一起。我都老了。
科布：满怀遗憾……
斋藤：孤独地等待死亡……
科布：我回来找你了。为了提醒你一些事情。一些你曾经知道的事情……[陀螺不停地旋转] 这个世界不是真实的。
斋藤：为了说服我遵守我们的约定？
科布：为了勇敢地迈出这一步，没错。回来吧……这样我们就能重新成为年轻人了。跟我回来……[斋藤伸手去拿枪] 回来……
先生，需要热毛巾吗？
大约20分钟后我们将抵达洛杉矶。
您需要移民表格吗？
谢谢。
先生，需要热毛巾吗？
不。
您需要移民表格吗？
欢迎回家，科布先生。
谢谢您，先生。
欢迎。
这边走。
詹姆斯？菲利帕？
看看谁来了。
嘿。
嘿，伙计们。嘿。你们好吗？
爸爸。爸爸。
爸爸。
你好吗？
看看我一直在建造什么。
你在建什么？
我们正在悬崖上建一座房子。
在悬崖上？来吧，我要你带我去看看。你能带我去看看吗？
我们走吧。
来吧，爸爸。
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Chinese
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64k
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T11. Dialogue Memory & Long-Horizon Tracking
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T11.2 Short-Range Reference Resolution & State Query
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Partial
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阅读上述文本的第 142 部分，当 MAL 说 “我们会永远在一起。你答应我。” 时，科布回答 “我知道。但我们不能。” 的原因不正确是（ ）。先输出“[答案]”标识符，再输出答案选项字母（'A'或'B'或'C'或'D'），不要输出任何其他内容。
A、MAL已经死了，现在的MAL只是科布潜意识中的投影，而不是真正的妻子。
B、科布要放下执念，回到真实的孩子身边，回到现实中承担父亲的责任。
C、科布还需要去找到斋藤，救回斋藤。
D、这个回答标志着科布情感上的一个重要转折点，他终于准备好面对现实并放下过去了。
输出示例：
[答案]
A
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阅读上述文本的第 142 部分，当 MAL 说 “我们会永远在一起。你答应我。” 时，科布回答 “我知道。但我们不能。” 的原因不正确是（ ）。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出答案选项字母（'A'或'B'或'C'或'D'）。
A、MAL已经死了，现在的MAL只是科布潜意识中的投影，而不是真正的妻子。
B、科布要放下执念，回到真实的孩子身边，回到现实中承担父亲的责任。
C、科布还需要去找到斋藤，救回斋藤。
D、这个回答标志着科布情感上的一个重要转折点，他终于准备好面对现实并放下过去了。
输出示例：
<你的思考过程>
[答案]
A
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[
"D"
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Moderate
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df299dc2e02fca967a64af48e5b771038c5bb48c8dbe187a12c1b3f8a9ef726e
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一
这是艾喜河当兵后第三次回老家。第一次是他提干之后，回去和文秀相亲、成婚；第二次回去，是给儿子艾噶尔治病，意外的收获是，让文秀怀上了艾札达；这次回来，他是接文秀和两个孩子随军到叶尔羌的。
艾札达是第一次见到父亲。他和哥哥一样，如见陌生人，怯怯的，很多时候不是躲在里屋，就是藏在母亲身后，要么就是牵着母亲的衣后襟，寸步不离。兄弟俩像串通好了似的，都不叫他爹，也不喊他爸。
她忙着煮饭做菜，招呼来送别的亲戚邻里，像蜜蜂一样屋里屋外忙得团团转。
待客人散去，她终于可以和艾喜河说话的时候，艾喜河却睡着了，像一块石头一样躺在床上。
月亮升高了，一束束月光从老屋开裂的墙缝和瓦隙间透进来，像一把把磨得亮晃晃的、锋利的杀猪刀，它们无声、缓慢地移动着。屋外的虫鸣像溪水一样，一阵阵涌来。
文秀披着衣服，开了木门走出去。自从能帮父母干活，她就埋头于活路，很少有心思来打量家里的春夏秋冬、日月星辰。这里虫鸣夜夜有，这里月亮也常常挂在天上，这里星星也总是缀满夜空，她很少留意过。
文秀在微凉的春夏之交的夜里站了很久。艾喜河是家里独子，父母已先后病逝，他们一走，这房子就空了。她喂养的那条已经年老的黑狗蹲坐在她脚边，不时呜咽两声。这狗、房子、自留地、柴山都只能托付给姑姑照看。逢年过节，他们也没法去亡人的坟头烧纸祭奠了。还有，去年冬天种下的小麦马上就该收了，接下来就该插秧；去年立冬买下的一对小猪已长到七八十斤，一窝小鸡孵出来才十几天，母牛刚怀上小牛；樱桃、李子马上就可以吃了，核桃、柿子、梨子挂满枝头……她感觉自己的心像被人不断用刀在割。
她不知道自己在屋外站了多久。她一夜未眠，天色微亮，就起床了。在此起彼伏的鸡叫声中，她把房屋四周打扫了一遍，把稀饭煮在锅里，然后将锄头、镰刀、犁头擦拭干净，把撮箕、背篼挂到高处——准备以后回来再用；又去猪圈、牛圈、鸡圈看了——它们都已便宜卖给邻居，但她还是给牛添了草，给猪喂了食，把鸡从鸡圈里放出来。她把这一切做完，太阳还没有从东边的山脊后露出脸。她又去自家的自留地转了一圈。
艾喜河也起床了，看到身背着万丈光芒的妻子高挽着裤脚，光着脚，就问：“你这么早到哪儿去了？怎么又不穿鞋？”
文秀低声应道：“到地里去转了转。又不是冬天，穿啥子鞋？”
“到了部队，可不能光脚了。”
“晓得。”
文秀的爹娘和弟弟妹妹一大早赶来送行，还有一些近邻也来了。院子里很快就站满了人。文秀爹娘那历经沧桑的脸上满是笑。
文秀不停地流泪，她对母亲说：“娘，我不能照应你和爹了。”
母亲说：“不用你照应，你是喜河的女人，应该去照应他。”
艾喜河向所有人鞠了一躬，算是告别。他背着行李、抱着艾噶尔走在前头，文秀抱着艾札达随在身后，走上了那条崎岖的山路。
二
一家四口从老家出发，待到达叶尔羌，共走了八天。文秀没想到这趟旅途会如此遥远，好像把一辈子的路都走完了。她只记得老家大锣山和巴州城的名字，然后就是她怎么也念不顺口的“叶尔羌”这个地名——中间那么多地方她一个也没有记住。她觉得，如果没有艾喜河，那漫长旅途中的任何一个地方，都会让她迷失。
艾喜河和文秀从媒人介绍相亲到结婚，再到他归队，前后就十七天时间。文秀父母开始也不大愿意，一是女儿刚十九岁，正是家里的主要劳力，想她再挣几年工分；又听说艾喜河父亲早逝，母亲有病，女儿去了艾家肯定会吃苦，便有几分不情愿。但晓得人家是军官，有文化，又希望这门亲事能成，犹豫了两天，最后觉得还是见了面再说。
文秀一见艾喜河，着实吓了一跳。虽然在老家待了十来天，艾喜河脸上的高原色已被米仓山里的和风细雨洗刷去一层，但还是黑不溜秋的。文秀父母看到他的脸像用木炭涂画过，也愣了半晌。相亲过后，文秀父母觉得，艾喜河除了皮肤黑，其他方面都不错。
事后，艾喜河知道文秀不识字，但还是喜欢她。
母亲说：“文秀那女子可是这方圆几十里难得的好姑娘，没人说她半个不字。你也老大不小了，回来一趟也难，如果文家没意见，就趁这个机会，把家成了。”
艾喜河想说这也太急了，但他也晓得，边防军人身在边关，不可能花前月下，卿卿我我，婚姻大多神速。想到自己此去不知多久再能回来，加之母亲身体有病，需人照顾，便点了点头。
文家开始说，婚姻大事，这么急哪能行，但媒人去文家游说了两次，也就答应了。
婚礼因为时间紧张，匆忙得像一次战斗。新婚一周后，假期已到，佳期结束，艾喜河不得不离家归队。
牵挂和思念很快让两颗心成为一颗，而这一颗心不久就以实有的样儿呈现出来——文秀怀孕了。
艾喜河自然是高兴得不行，回信告诉文秀，如是女儿就取名艾普兰，如是儿子呢，就叫艾噶尔。
母子三人第一次出门就走了这么长的路，旅途的劳顿，可想而知。但艾喜河刚好有了展现作为丈夫和父亲爱意的机会，一路对妻儿百般照顾呵护。文秀也很感动。她还是第一次跟自己的男人这么长时间朝暮相处，形影不离。是啊，这个男人虽跟她已有两个孩子，但她依然感到陌生，觉得他远在虚空，如同神仙，只能用来祈求、许愿。现在，她第一次真切地感受到，他是个人，而且他们是一体的。
来到叶尔羌，文秀母子三人便成了“城里人”——更准确地说，是成了叶尔羌城郊的人。
艾喜河想给文秀讲一讲他们新家所在的位置，特意带她来到了新藏公路上。
站在零公里处，他指了指远处的山影，对她说：“你以后待得憋闷了，可以到这条路上来转一转。”
“有啥好转的，你又不在这路上。”在这之前，家里的一切都是她一个人扛，连诉苦都找不到人；现在，她像个小女孩似的撒起娇来。
“空闲的日子有时也不好过。”
“我没有空闲过，所以不晓得。但我觉得，现在啥活路都不用做，不愁吃，不愁穿，不做活路了，也不用怕天晴下雨、旱涝风霜，这应该就是老家人说的享福吧。”
他笑了笑，“应该是。”
文秀望了一眼远处的山影，“你们的连队真在那山上？”
“那还有假？”
“远吗？”
“也没有多远。”他想了想，说，“跟老家相比，你离我至少近了一万里路。”
“近了那么多！”文秀觉得这是个不可思议的距离，吃惊得瞪大了眼睛。
“至少一万里。”
“你是说，我们离老家有一万里远？”
艾喜河点了点头。
“但现在离你近了，我和孩子可以经常见到你了。”
艾喜河没有回答她，而是假装去望天空，天上有几团白云，正从西向东缓缓飘动。
“你咋不说话了？”
“实话跟你说，我们经常见还是难，我是军人，要守在边关。”
“这个我晓得。”文秀有些怅然地说。
三
阿里防区正连以上的军人家属随了军，都被安置在位于零公里的家属院里。家属院是清一色用土坯垒建的平房，九排十行，间距十米，都是军队那种制式的。
艾喜河是连职干部，只能住四十平方米的连职房，一进两间，泥土地面，报纸糊的顶棚，一堵冬天取暖的火墙将房屋分为里外两间，砖砌的方形炉灶安置在外间，用来煮饭烧水。烟道通入火墙，煤烟从烟囱排出，烟火通过火墙内部回环的烟道，天寒时给屋里供暖。一张瘸了一条腿的、准备拿来当柴烧的办公桌被艾喜河捡回来，把瘸腿用一截白杨树干补好，用来吃饭、切菜、擀面。还有一把靠背木椅、两个木凳，做工都很粗糙。艾喜河不在家时，文秀带着艾札达睡上铺，艾噶尔睡下铺；艾喜河回来，就和文秀挤下铺，两个儿子睡上铺。这就是他们在异地安的家，虽然简陋，文秀也觉得很好。
刚来的时候，艾喜河怕文秀孤单，特意叫其他战友的家属到家里吃了一顿饭，请她们多关照文秀。之后那些家属聚会时，也喊文秀去参加。但大家聊的都是些张家长、李家短的事。文秀不爱说话，更不愿意说别人的闲话，所以，真愿意和她往来的家属也没几个，她自己也觉得天天听那些闲话没有意思，别人不找她，她也就不愿意去找人家了。
文秀唯一能做的事就是照顾孩子。但随军之后，艾噶尔就去了家属院隔壁的八一小学上学，艾札达则入了八一托儿所。艾噶尔虽因小儿麻痹，行动不如健康孩子那么自如，但生活自理没有多大问题。两个孩子一日三餐都在学校食堂吃，早上送去，晚上接回来。所以，孩子们需要她照顾的时候很少。在她的观念里，孩子就像地里种的庄稼、树上结的果子、藤上结的瓜，施了肥、除了草、防好虫害，让他们自己去长就行了，没有太多需要照顾的。
一到叶尔羌，艾喜河为给艾噶尔治病，就和文秀去找了尚海燕，尚海燕马上带着他们找最好的医生负责治疗。医生问询了之前的治疗情况，结论是，孩子已经多次接受过医治，手术已无必要，但可吃些中药调理，同时针灸，进行一些恢复性练习。艾噶尔吃了中药，却看不出有多大效果，针灸是每周日下午一次，文秀带他去过两次后，他就不让母亲送了。
文秀总感觉自己没事可做，心里着急，急得嘴上常起燎泡。
她把那两间土屋子反复收拾，每天把地面扫一遍，用湿拖把拖一遍，再用干拖把反复拖；屋顶、墙壁、门窗也是用湿抹布抹了再用干抹布擦。在一个位于塔克拉玛干沙漠边缘、沙尘暴频发的地方生活，空气里尘沙弥漫，但在她家里，竟很难看到尘埃。
但天天做这样的事究竟也是无聊，她在家属院里来来回回地走。走多了，被人看见，有人说，这家属院就那几个休假的男人，艾喜河的女人天天走过来走过去，显摆给谁看呢？也有人说，你们看，艾喜河的女人定是发骚了，在屋里待不住了。这些话都会被人传给文秀。她一听，既羞且气，很是难过。她不敢再在家属院里走动了，而是常常坐在屋里生闷气，要么就是坐在自家门前，望着不断变幻着颜色的天空发呆。
因为不用再做活路，文秀有更多的时间来思念艾喜河。她不得不承认，她脑子里整天都是他。她想，自己睡不着，应该跟这有关系。
一个夏季的晚上，文秀又失眠了，她从床上爬起来，在屋子里转了几圈，没有找到可做的事，就一直盯着入睡的艾噶尔看。儿子额头明亮、眉目清秀、脸蛋英俊，他的鼻子、嘴巴、下巴和脸型像自己，眉目、耳朵、额头像他爸。她想起自己的洞房花烛夜，想起当时两个人的羞怯和笨拙，脸不由得阵阵发烫，心里涌起无限温情。但当她的目光转向儿子的腿，她马上低垂了眼睑，心如刀割。
当时，艾噶尔还未满周岁，开始只是发热、多汗、腹泻，文秀以为他只是感冒了，就去找赤脚医生开了药，但未见好转。过了一段时间，她发现儿子肢体肌肉开始麻痹，不能活动，稍一触碰他的四肢，就哭闹不止。再接下来，儿子下肢肌肉开始萎缩，她带儿子到县医院检查后，才知道他得的是小儿麻痹症。
文秀是个地地道道的农民，去得最远的地方，就是对面山上的仁和场、山背后的天马场。在老家尘土飞扬的土路上，在往县医院、地区医院去的班车上，文秀要么背着、要么抱着艾噶尔，她焦急、吃力地来回奔波着。
文秀进城后，不晓得该如何坐公交车，所以只能走路；找不到厕所，连问“茅厕”在哪里都问不出口，有一次竟憋不住尿在了裤子上，羞愧、委屈、无力使她忍不住号啕大哭；她不知道怎么住旅社，也舍不得花钱，一直都是抱着儿子在街角或屋檐下过夜；怎么到医院也只能边走边问路人，她第一次到通州，背着孩子在城里转了十多个小时，才走到地区医院门口。她第一次知道，世界上竟有那么大的城市，无论是集州还是通州，对她来说，都是巨大的迷宫，每一次进城，都是严酷的考验。她害怕、恐慌，但为了儿子，即使是刀山火海，她也只能一次次前往。同时，她不断请杨老先生代她写信、拟电文，希望艾喜河能尽快回家一趟。信不停地寄往阿里，电报也不断发往那个高海拔之地，但都如泥牛入海，杳无回音。
四
文秀当时不知道，边境并不平静。艾喜河所在连队负责防区面积最大的一块争议区，为防止邻国军人越过实控线，艾喜河每年都会带一个排的战士前往，设置哨点，常常一去就是半年，对峙激烈的时候，有时甚至要全年守在边境线上。艾喜河担任班长后，阿里防区就执行过六次剿匪任务，他每次都参加了。他第一次带着班里的七名战士剿匪时，侦察到叛匪在77号山谷宿营后，出其不意，夜袭敌营，击毙叛匪四人，俘虏十一人。那是最干净利索的一次剿匪战斗。战斗结束后，艾喜河荣立一等功，不久被提干，担任一排排长。
参加战斗时，每名官兵配备战马两匹，驮运弹药和给养的军骡一匹。艾喜河带领的战斗分队计三个班二十七人，加上他和排长、参谋、军医、报务员、向导，一共三十三人，有骡马九十九匹。
因为一直在高海拔地区作战，追剿官兵早已如同野人。叛匪已快窜至边境，为阻其越境逃跑，艾喜河必须带人插到叛匪前面，而当时人困马乏，早已到极限，每前进一步，都异常艰难。开始还有七名官兵相随，最后只剩下维吾尔族战士艾尼瓦尔和藏族战士强巴跟在左右。
翻过无名达坂，强巴的战马也累得倒地不起了。他喊道：“副连长，我的马倒下了，敌众我寡，你们千万要注意！”
艾喜河一定要截击残匪，他问强巴：“兄弟，你的马还能站起来吗？你还受得住吗？”
“马肯定不行了，我还能走。”
“那你跟着叛匪，肯定会有兄弟从后面赶上来协助你，叛匪已快弹尽粮绝，我和艾尼瓦尔绕到他们前面去，前后夹击。”他说完，勒了勒马缰，和艾尼瓦尔继续前进。
天上的秃鹫盘桓了一阵，准确地落在了战马身边，强巴知道，荒原狼很快也会随之而来。他摸了摸已停止呼吸的战马，割下一缕马鬃，心痛地说：“兄弟，我顾不上你了！”说完，沿着艾喜河和艾尼瓦尔前进的方向，徒步跟上。
随着一阵枪响，两名叛匪应声落马，另两名叛匪滚下马来，开始还击。艾喜河和艾尼瓦尔还没有打完弹夹里的子弹，另两名叛匪也被击毙了。
赶上来的强巴打扫了战场，缴获了三支M3冲锋枪、一支UDM42冲锋枪、二百五十二发子弹、一部电台和四匹马。
艾喜河和艾尼瓦尔松了一口气，趴在积雪上，再也没有力气动弹了。
寒风从身后刮来，如刀片般凌厉，被风劫掠来的积雪和沙砾落在两人早已污脏、破烂而翻出棉花的皮大衣上，沙沙直响。
风推动着天上的白云，飞过玛旁雍错，往东边银光闪闪的冈仁波齐之巅飞速移动。
艾喜河有些眩晕，趴在那儿站不起来。高山反应如冰冷的铁锤重击着他的头颅，要把他的头颅锻打成一柄锋利的马刀。大地深处的寒意冲出永冻层，穿透地表、皮大衣，入了他的胸腔、肚腹，开启速冻模式，很快就把他冻得透透的。
强巴扶起艾尼瓦尔，艾尼瓦尔扶着大喘着粗气的战马，好几次想把脚踩进马镫，都踩虚了。强巴便蹲下身子，用肩膀顶着他的屁股，把他顶上马背。这差不多耗尽了强巴残余的所有气力，他按着胸口，弯着腰，也像战马一样张嘴大喘气，休息了好一阵，才又站起来，想把艾喜河也扶上马。
艾喜河趴在雪地上，乌紫的脸埋在积雪里。就那么一会儿工夫，他挨地的皮大衣已和冰雪冻在一起，大衣和冰雪撕扯开时，发出刺刺啦啦的声音，皮大衣上的羊毛都被扯掉了。他昏迷不醒，强巴架着他，他瘫软得像一摊稀泥，要流淌到地上去。
“副连长，副连长！”强巴一边喊他，一边吆喝战马卧倒。
战马听话地跪卧在雪地上。强巴将艾喜河拖拽到战马身侧，然后将他横放在马鞍上，用背包绳捆绑好。怕他受冻，他又从叛匪身上扒了一件已污脏不堪的羊皮大衣，裹在艾喜河的身上。然后他把战利品捆扎在缴获的一匹马上，自己骑了一匹，开始返回。
艾喜河一直昏迷。强巴不停呼喊他——开始喊“副连长”，后来就喊“老艾”，但喊得嗓音都沙哑了，横担在马背上的艾喜河也没有应答。
强巴心里焦急，问艾尼瓦尔：“老兄，你现在怎么样？”
“好一些了，但我坐在马鞍上就像小时候睡在新采的棉花堆上，马稍一跑动，就感觉坐不稳，你把我也绑在马鞍上吧！”他抹了一把眉毛上结的冰碴，用含着歉意的、恳求的口吻说。
强巴说：“我们要尽快从雪山上下去，也只能委屈你了。”他说完，便用背包绳把艾尼瓦尔绑在马鞍上。
第三天傍晚，当夕阳即将从冈仁波齐之巅消退的时候，他们终于从雪山上走下来了。海拔从五千四百八十米降到了海拔四千一百六十米，强巴觉得自己的呼吸顺畅了不少，但他胯下的马前腿往前一跪，脖子向前一伸，满是血沫的嘴把铺满砾石的荒原犁出了一道灰褐色的浅槽，最后不动了。粗重的喘息把雪末和尘土喷起来，一部分被风掠走，一部分很快落定。
这时，二排长王备战带着四班的九名战士赶来接应他们了。王排长带来了食物、药品和烧火的牛粪。战士们把艾喜河从马背上解下来，抬到已燃起的牛粪火前。两个战士也把艾尼瓦尔身上的绳子解开，把他架到火堆前。
“渴……啊……”他说。
虽然用尽了力气，但他的声音很小，话一说出口，就被风刮跑了。
他张大嘴，吸了一口空气，拼尽全力地喊道：“水！”
坐在他身边的强巴裹着皮大衣、戴着皮帽子，在牛粪火微弱的暖意里，正昏昏欲睡。那个声音钻进强巴生了冻疮的左耳后，他一个激灵，转向了身边的艾喜河。
“水……”艾喜河再次说。
“老艾醒了！老艾活过来了！”强巴激动地喊道，“老艾要喝水！快！快拿水来！”
强巴把艾喜河扶起，见他真的醒来，激动得哇地一声哭了，引得其他战士也跟着抹起泪来。
艾喜河吃力地坐着，有人把军用水壶递到他的嘴边，他喝了几口，看着大家说：“你们哭啥？”
“我们以为你……活不过来了……”艾尼瓦尔说。
“我在这高原上摸爬滚打这么多年，哪能那么容易就死在这上面？我‘睡’了多久？”
“上前天，把两个叛匪击毙后，你趴在那里就……睡着了。”强巴说。
“哦，老子睡着了，”他挤出笑来，“这一觉可是睡美了。”
他虽然用的是轻松的口气，但战士们并没有笑，抹尽流出来的泪，新的泪水又不由自主地涌出来，把眼眶填满。
艾喜河又说：“饿。”
马上就有人把烤马肉递给他，把放了酥油的奶茶端给他。
因为长时间骑马作战，很多时候人不离鞍，艾喜河和其他官兵一样，屁股和裆部都磨烂了，裤子和血肉粘在了一起。他叉着腿，怪模怪样地走进连部一扇门侧上方吊挂着“副连长”小牌的办公室兼宿舍里，要做的第一件事就是把门关上，给自己动手术——用剪子把与血肉粘在一起的内裤剪开。
每动一下，都钻心地痛。他咬紧牙，紧闭着裂着无数小口、还结着血痂的双唇，折腾了半个小时，弄得额头冒汗，疼痛难忍，还没弄好一半。
这时，凌五斗推开了门，一张带着微笑的蓝脸探进门来。他是随军区司令部副参谋长、担任此次剿匪任务的一线总指挥白炳武来看望参加剿匪凯旋的官兵的。
“我可以进来看看剿匪英雄吗？”
艾喜河没有回头，擦了一把额头上的汗水，半开玩笑地招呼道：“凌首长，请进！”
“在干吗呢？光着个屁股。”
“你说还能干吗，在做骑兵打完仗后必做的功课，妈的，痛死我了！”
看到艾喜河屁股被磨烂的地方还没有结上新痂，大腿内侧和裆里也伤痕累累，有些布片还和伤疤粘在一起，凌五斗扳住他的肩头，在他耳边低声问：“你那玩意儿没有被马鞍子磨掉吧？”
“那可是重点保护对象，还在裆里待着呢。”艾喜河忍住笑，大声武气地回答。
“还能用？”
“应该没问题，就是没得用武之地。”艾喜河还是笑着。
“这次剿匪，首长又夸你了，说你他娘的追敌八千里，无一逃脱，全部消灭，英勇顽强，要给你记功。”
“全体官兵都跟我一样，要记功，就记集体功。”
“集体功当然是要记的，但个人的功也不能少。”
艾喜河望了一眼窗外，似乎他的目光可以越过远处的雪山看到更加遥远的地方。“老凌，如果能立功，也许就能提前晋职，我老婆就可以尽快随军了。”他声音突然哽咽，“她太苦了!”
凌五斗拍了拍艾喜河被冲锋枪带勒紫的宽阔肩膀，“按规定，只要立了二等功，就能提前晋职。等你成了连长，弟妹就可以随军了。”
五
凌五斗走后，连队文书拿着文秀寄来的十一封信和八封电报去找指导员陈志军。
看了一眼文书手里的东西，陈志军的眉头锁紧了，“你是不是要问我怎么办？”
文书点点头，“指导员，是现在就告诉副连长，还是缓两天？”
“我也正纠结这个事。”
“不知道信里写的啥，但电报的内容都是在催他回去给孩子治病……”
“这个我当然晓得，你把信和电报都给我吧，还是早点告诉他。”
陈志军拿着电报和信，来到艾喜河跟前。艾喜河已穿好衣服，疲惫地躺在床上，大叉着腿，咬着牙，伤痛不时让他倒吸一口高原稀薄的、带着寒意的空气。
“还痛啊？”
“妈的，相当于剥了几层皮，两胯和屁股火烧火燎的，原来没觉得，现在每一丝痛都感觉到了！”
“再忍一忍，过两天就好了。”
陈志军身材熊一样壮实，一张四方脸坑坑洼洼的，但比其他人的脸要稍微白一点。他给艾喜河倒了一杯水。
“现在连上厕所都费劲，还是不喝了。”
“我等会儿让文书给你拿个盆子来，放在床底下。”
“还是你这个政工干部心细！”
“家里来信和电报了。”指导员用故作轻松的口气说。
“我就说剿匪回来的人都收到了信，怎么就没有我的呢。”
“文书帮你收着，交给我了，我想等你缓口气再说。”
“家里是不是出什么事了？”艾喜河想坐起来。
指导员把他按住了，“也没啥……大事，就是你老婆想让你回趟老家，你也该休个探亲假了。”
“小家小户，能有啥大事？”他苦涩一笑，“至于探亲，我梦里都好多回了。最后那天，当我把那个叛匪击中，自己也起不来了，觉得自己是魂归九天了，可能正是我想回去看看老婆孩子的想法，又把我扯回来了。”
“我等会儿就帮你给上头递休假报告，你这伤情一好，就可以往回走了。”
“只要上头批了假，我现在就可以往回走。”他转过头看了一眼陈志军，“老陈，你怎么突然这么关心我了？”
“听你说的，我什么时候不关心你？”
“是不是我家里出啥事了？”
陈志军把揣在裤兜里的信和电报拿出来，递给艾喜河，“不知道信里说的啥，但从电报内容可知，孩子病了。你老婆发这么多份电报来，可见孩子病得不轻。”
艾喜河接过，一看电报，神色就变得凝重起来——
儿病重，速归。
儿病重，速速归。
儿病近有好转，部队若忙，可不回。
儿病又重，到县医院，确诊小儿麻痹，妻不识字，甚难，盼归。
明日欲去地区医院，缺钱，盼寄，盼归。
卖西屋楼板、猪2、鸡7、鸭5、谷160，借125，再到地区医院。可好？盼音信！
儿病有好转，行走稍难。安否？给音信！急！
钱已收，知你音信，放心。①
信里说了什么，艾喜河不用看，都晓得了。他想坐直身子，但伤痛让他难以动弹。那些信和电报在他手里异常沉重，让他的手都颤抖起来。
艾喜河知道，这些电文和书信都是大锣山小学的杨仲德老师代写的。老先生读过私塾，做过私塾先生，一九五○年后一直在当地小学教书，是方圆几十里最有文才的人。当地人的电文和信，都找他代笔。发电报按字计费，所以他写的电文，字斟句酌，不多一字；他写的信，带古雅气。看到“钱已收，知你音信”，艾喜河有些疑惑地望了一眼陈志军，“是你代我给家里寄钱、发电报了吧？”
陈志军说：“我看了电报，就帮你把这两个月的工资寄了；连队官兵表达心意，捐了五百二十五元，也一并汇了。又以你的口吻发了电报，说你平安，因有任务，难通音信，暂难回去。”
艾喜河伸出皲裂、粗糙的大手，握了握陈志军熊掌一样的手，说：“谢谢老哥，谢谢连里的兄弟！”
“你在前线，这算啥！你自结婚，就没有回去了，好好养伤，伤好就走！”
“是啊，孩子长啥样，都是在照片上看到的。”他有些忧伤地说。
六
艾喜河担心儿子的病情，恨不能长出翅膀，立马飞到妻儿身边。但实际情况是，他回到连队两天后，就一连下了四天大雪。高原雪封冰冻，成了地球孤岛，孤悬虚空之上、人世之外，与外界的交通全部断绝，他不能下高原了，甚至连通信都没了可能。
凌五斗一口答应，放下电话，就去找防区宣传科最有文才的贾干事拟了电文：
吾因执行任务，音信断绝，近平安归队，勿虑。信及电报内容俱悉，知儿病情，心痛万分。无奈大雪封山，道路俱绝，插翅难返。妻辛苦，吾深知。儿之病，砸锅卖铁，也必医治。来年一旦路通，即刻返家。此间如有急事，电报可发西藏狮泉河镇81号凌五斗转。电汇五百元，以解燃眉之急。
凌五斗发了电报，在汇款时，自己又加了一百元。
次年六月，新藏公路终于开通。上级第一个安排艾喜河休假，等他回到家，见到儿子，儿子已站不起来。
艾喜河看着孩子变歪了的小身子，吃惊地问妻子：“文秀，儿子这是怎么了？”
“……病给害的。”
“治不好了？”他的身子晃了晃，像刚好站在地震带上，挺拔的背脊一下变驼了。
妻子转过头，没有回答，把要流出的泪水强咽了回去，点了点头。她不想刚见面就在他面前哭。孩子和婆婆的病，以及对他的担忧和怨恨，快让她的眼泪流干了。
艾喜河抱着儿子，感觉像抱着一座冰山——比他面对的、攀爬过的任何一座都要冰冷、沉重，那种难以承受的寒意和重量让他的脸不由得变形、扭曲、变紫。他把孩子递还给妻子，冲出去，头抵着西边的土墙，失声痛哭。
妻子的泪水这才涌出，也跟着丈夫大哭起来。
艾喜河不相信儿子的病治不好，他想带着儿子，到成都更好的医院医治，他也想把母亲带上，一并治疗。
他收拾好东西，把家里的猪狗、牛羊、鸡鸭托付给姑姑，准备出发。不想母亲死活不去。她说：“不要说去省城，我连县城的医院都不会去，我从没去过那些地方，不也活了这么多年？”
艾喜河说：“娘，那是当时没有条件。”
“我不去，我活了这么多年，早活够了。你现在有了出息，有了家，我就是死了，也能瞑目了。”
艾喜河知道母亲其实是舍不得把钱花在自己身上，就说：“娘，这刚好是个机会！”
“我没事，你不用管我。我跟你说了，我啊，活够了！如果说我死了闭不上眼，去见你爹的时候有愧疚，也是因为我孙儿的病，所以，你要把钱用在我孙儿身上。哪能一家两个人到成都那么大的城市、那么远的地方去看病呢？”
“娘，我晓得你为什么不去，你不要考虑钱的事，我能想到办法。”
“你不是地主老财，又不能去偷去抢，你就一个当兵的，每个月只有那么点工资，我怎么能不考虑钱的事？为给我和孙儿治病，你借了多少钱，难道我不晓得？你说你能想到办法，那就等你想到了办法再说。还有啊，这个家不能全扔给你姑姑，这么大一摊子，又不是一天两天，人家哪能顾得过来？我得守着。”
无论艾喜河如何劝说，母亲就是不去。劝到最后，她终于松了口，“这次你先带孙子看病，我下次再去。”
没有办法，艾喜河只能让母亲守家，自己带着文秀和儿子去成都。
到成都后，艾喜河去了原成都军区总医院。虽然做了手术，但医生说，孩子的病要痊愈几乎不可能，不过多次手术后，病情会有一些好转。
艾喜河和文秀很是沮丧，只能带着孩子先回老家。他刚回家，部队的电报就来了。电报内容很简短：“速归。”军人接到这类电报，都会义无反顾，当即启程。所以，虽然他的假还没休完，还是决定次日一早出发。
母亲送行的时候，精神抖擞，像个没有生病的人。她拉着儿子的手说：“喜河啊，你是守边的人，要好好守，要守住。当然了，你也要把自己顾惜好。”
艾喜河听了母亲的话，鼻子发酸，泪水在眼眶里打转。这是艾喜河第一次拥抱母亲，也是这个女人平生第一次被人这样拥抱。母亲不好意思地笑了，艾喜河却忍不住热泪长流。母亲最后也哭了。他想一直抱着母亲，就这样，生生世世。
被拥抱的时间并不长，但母亲却觉得过了几辈子，她说：“喜娃，该走了，莫误了车。”
他松开母亲的时候，抬起衣袖，快速抹了抹再次涌出的泪水，说：“娘，你也要顾惜好自己，等我下次回来，就带你到成都去治病。”
母亲说：“我这点小病，你不用操心。”
艾噶尔被妻子抱在怀里，他看着艾喜河，突然说：“你也要抱抱我妈。”
艾喜河怔了一下，把文秀母子俩用臂膀揽过来。
妻子满脸通红，在他怀里说：“这青天白日的，快松开我……”
艾喜河仍抱着他们母子俩，“秀啊，家里就全靠你了。你去过成都，晓得怎么去了，这个疗程之后，你再带儿子到成都去治疗治疗。”
文秀应了一声，和孩子一起，害羞地从丈夫怀里挣脱出来。
“我和孩子一起送送你。”
“不用了，又没多少行李。”
“什么时候再回来？”
艾喜河不知道该怎么回答她，就说：“很快的，嗯……很快。”
文秀追问道：“很快是多快？”
艾喜河声音有些发飘，“就是过不了多久。”顿了顿，又安慰文秀道，“我们在高原，到了正连，家属就可以随军了。到时我把娘、你和儿子都接到部队去，你到时天天耍，啥活路也不用干。”
“好啊，可这家怎么办？”
“就不要了，我们到时会有新家，部队会给我们分房子的。”
文秀一听，有些向往，“那不成神仙了？”说完，又觉得茫然，想说点什么，却不知道该怎么说，便转了话题，“路远，路上多注意，家里的事你不要操心，到了来个信儿。”
艾喜河说：“你放心吧。” 说完，亲了亲儿子的脸蛋，转身走了。
他走得决然，待走远了，才偷偷回首。他看到母亲和抱着儿子的妻子一直站在离别的地方，望着他离开的方向。一直到他爬上长梁，他们还站在那里。他们变得那么小，似乎只有一指高。他虽然能看见他们，但他知道他们已看不见他。等他走入林场，他也看不见他们了，万千滋味，猛地涌入心头，他再也控制不住自己的感情，像个孩子似的，坐在一块石头上，放声大哭起来。
为给儿子治病，给母亲抓药，艾喜河已举债不少，可回到部队后，他又向战友借了一笔钱，赶紧寄给文秀。不久，从文秀的来信得知，她又有身孕了，并让他给孩子取个名字。他激动不已，当即回信说，如是女儿，就叫艾普兰，如是儿子呢，就叫艾札达。
然后，他带着战士，前出到边境一线。他再次与世隔绝了。每当他想念母亲、妻子和儿子的时候，就只能望一望东边一座座乳房一样的、金字塔一样的雪山，要么就是仰望天空和天空上的日月星辰。他希望自己看到的天空和天空上的日月星辰，同母亲、妻子和孩子，包括还在腹中的胎儿——看到的一样。
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Chinese
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T2. Sequencing & Structure Reconstruction
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T2.1 Global Timeline Reconstruction
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请根据所提供的文档内容，将下列事件按发生的时间先后顺序排列。先输出“[答案]”标识符，再按行输出排序后的事件字母，不要输出任何其他内容。
A.到达叶尔羌后，文秀母子被安置在部队家属院。生活条件虽简陋但安稳，文秀却因突然“无事可做”而极度不适应。她反复打扫本已干净的家，在家属院走动又遭人闲话，感到孤独苦闷。两个孩子（艾噶尔上学，艾札达入托）白天基本不需要她照顾。
B.剿匪归来，指导员陈志军将积压的家信和电报交给艾喜河。得知儿子重病（小儿麻痹症）和妻子艰难求医的情况，艾喜河心急如焚。陈志军和连队官兵已先行垫钱寄回并代发电报安抚家人。
C.艾喜河假期未满即接到部队“速归”电报。离别时，母亲强打精神叮嘱儿子守好边关、保重自己。艾喜河拥抱母亲和妻儿，承诺待晋升正连后接全家随军。离开时，他因对家庭的愧疚与不舍而失声痛哭。
D.回到部队后，艾喜河借钱寄回家，并得知文秀再次怀孕（艾札达）。他带着对母亲、妻儿的深切思念，再次奔赴边境前线执行任务，在艰苦环境中仰望星空，期盼与家人共享同一片天空，并憧憬着未来全家团聚在部队的日子。
E.文秀看着因小儿麻痹症致残的大儿子艾噶尔，回忆其患病过程。艾噶尔未满周岁时发病，文秀独自艰难求医：不识字、不会坐车、找不到厕所、住不起旅店、在城市迷路，身心饱受煎熬。她不断托人写信发电报催促艾喜河回家，但均无回音。
F.艾喜河因边境战事（剿匪）和通信困难，未能及时收到家信和电报。文档详细描述了他带领小分队在高原极端恶劣环境下追击叛匪的惊险战斗过程，以及战斗结束后人困马乏、伤病缠身的艰苦状况。
G.文秀在离别前夜彻夜难眠，对即将离开生活多年的家园充满不舍。她细数着即将托付给姑姑照看的房屋、田地、牲畜、果树等一切，内心如刀割般痛苦。次日清晨，她早早起床，最后一次打扫房屋、擦拭农具、照料牲畜、巡视田地。
H.艾喜河因大雪封山无法立即回家。待次年六月道路开通，他第一时间赶回。目睹儿子已落下残疾，艾喜河悲痛万分。他不放弃希望，带妻儿到成都军区总医院治疗，但效果有限。期间母亲（艾喜河之母）为省钱并看家，拒绝一同前往成都治病。
I.在亲友的送别中，艾喜河一家四口踏上前往叶尔羌的旅程。经过八天的长途跋涉，文秀深感路途遥远艰辛，但也第一次长时间与丈夫朝夕相处，消除了陌生感，感受到家庭的联结。
J.边防军人艾喜河第三次回到四川老家，目的是接妻子文秀和两个儿子（艾噶尔、艾札达）随军到新疆叶尔羌。两个孩子因长期未见父亲而陌生胆怯，不肯相认。文秀忙于招待送别的亲友，夜晚想与丈夫说话时，艾喜河已疲惫入睡。
输出示例：
[答案]
A
C
B
F
D
E
G
I
H
J
|
请根据所提供的文档内容，将下列事件按发生的时间先后顺序排列。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的事件字母。
A.到达叶尔羌后，文秀母子被安置在部队家属院。生活条件虽简陋但安稳，文秀却因突然“无事可做”而极度不适应。她反复打扫本已干净的家，在家属院走动又遭人闲话，感到孤独苦闷。两个孩子（艾噶尔上学，艾札达入托）白天基本不需要她照顾。
B.剿匪归来，指导员陈志军将积压的家信和电报交给艾喜河。得知儿子重病（小儿麻痹症）和妻子艰难求医的情况，艾喜河心急如焚。陈志军和连队官兵已先行垫钱寄回并代发电报安抚家人。
C.艾喜河假期未满即接到部队“速归”电报。离别时，母亲强打精神叮嘱儿子守好边关、保重自己。艾喜河拥抱母亲和妻儿，承诺待晋升正连后接全家随军。离开时，他因对家庭的愧疚与不舍而失声痛哭。
D.回到部队后，艾喜河借钱寄回家，并得知文秀再次怀孕（艾札达）。他带着对母亲、妻儿的深切思念，再次奔赴边境前线执行任务，在艰苦环境中仰望星空，期盼与家人共享同一片天空，并憧憬着未来全家团聚在部队的日子。
E.文秀看着因小儿麻痹症致残的大儿子艾噶尔，回忆其患病过程。艾噶尔未满周岁时发病，文秀独自艰难求医：不识字、不会坐车、找不到厕所、住不起旅店、在城市迷路，身心饱受煎熬。她不断托人写信发电报催促艾喜河回家，但均无回音。
F.艾喜河因边境战事（剿匪）和通信困难，未能及时收到家信和电报。文档详细描述了他带领小分队在高原极端恶劣环境下追击叛匪的惊险战斗过程，以及战斗结束后人困马乏、伤病缠身的艰苦状况。
G.文秀在离别前夜彻夜难眠，对即将离开生活多年的家园充满不舍。她细数着即将托付给姑姑照看的房屋、田地、牲畜、果树等一切，内心如刀割般痛苦。次日清晨，她早早起床，最后一次打扫房屋、擦拭农具、照料牲畜、巡视田地。
H.艾喜河因大雪封山无法立即回家。待次年六月道路开通，他第一时间赶回。目睹儿子已落下残疾，艾喜河悲痛万分。他不放弃希望，带妻儿到成都军区总医院治疗，但效果有限。期间母亲（艾喜河之母）为省钱并看家，拒绝一同前往成都治病。
I.在亲友的送别中，艾喜河一家四口踏上前往叶尔羌的旅程。经过八天的长途跋涉，文秀深感路途遥远艰辛，但也第一次长时间与丈夫朝夕相处，消除了陌生感，感受到家庭的联结。
J.边防军人艾喜河第三次回到四川老家，目的是接妻子文秀和两个儿子（艾噶尔、艾札达）随军到新疆叶尔羌。两个孩子因长期未见父亲而陌生胆怯，不肯相认。文秀忙于招待送别的亲友，夜晚想与丈夫说话时，艾喜河已疲惫入睡。
输出示例：
<你的思考过程>
[答案]
A
C
B
F
D
E
G
I
H
J
|
[
"J",
"G",
"I",
"A",
"E",
"F",
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Extreme
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7c913f2bafbe6b6e7d4b4118e141cf55898e08ceddd2a3d69a14aabf91271859
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Explore Rome’s Hidden Underworld, Where a City Lurks Beneath a City
A journey into the vast subterranean grounds preserved under Rome—from ancient aqueducts and apartment buildings to pagan shrines
By Tony Perrottet
Photographs by roman
Paragraph 1
“Watch out for that bat behind you,” warned Luca Messina, a civil engineer who moonlights as a speleo-archaeologist with Sotterranei di Roma, Undergrounds of Rome, a local group whose members explore the darkest recesses of the Eternal City. I ducked as the winged mammal swooped past my ear, then flitted beyond the beam of my headlamp and disappeared in the void ahead. “Don’t worry about those insects,” Messina added, nodding to walls hewn 2,300 years ago, and which I now saw were crawling with spider-like crickets called Dolichopoda. “They aren’t dangerous.”
Paragraph 2
Messina and I were standing in a sepulchral stretch of the Aqua Anio Vetus, one of the superbly crafted aqueducts that once channeled water into ancient Rome, built beginning in 272 B.C. and dry for nearly 1,500 years. To some, this might be the stuff of nightmares and horror movies. But to me, it was the start of an obsession with the city’s last hidden corners.
Paragraph 3
Earlier that morning, I’d met the half-dozen fellow expedition members from Sotterranei di Roma, all self-taught adventurers like Messina, for a cappuccino and cornetto at one of the city’s eastern metro stations. Chatting cheerfully in a nearby parking lot, we geared up in hard hats and headlamps, although some of the group also had industrial steel-tipped boots and gray protective overalls bearing the association’s logo, an artistic outline of an ancient amphora. A short drive took us into the surprisingly wild city surrounds known as the Roman Campagna, or countryside, where we hiked across empty fields of tall grass and purple flowers, each of us carrying scythe-like implements to cut our way through the underbrush. “We’re only a 20-minute drive from Rome, and it’s like the Amazon rainforest,” Messina said, laughing.
Paragraph 4
After passing beneath the overgrown arch of the ancient Taulella Bridge, which loomed like a relic from an alien civilization, the eyes of the group members turned resolutely downward. Our popular image of Roman aqueducts is of monumental aboveground structures—they can be seen most vividly in the Park of the Aqueducts, where six meet southeast of the city—but the vast bulk of their routes were actually underground, engineered at a slight decline to use gravity to keep the water flowing.
Paragraph 5
Known for its picturesque ruins, the 600-acre Park of the Aqueducts has long been a favorite destination for locals and tourists wishing to escape the bustle and congestion of central Rome. Paolo Verzone / Agence VU. Courtesy of the Appian Way Archaeological Park, Ministry of Culture.
Paragraph 6
Over a period of some 500 years, from 312 B.C. to A.D. 226, 11 extraordinary aqueducts were built to supply the ancient city. Ten were cut when the Goths besieged Rome in A.D. 537, and today, their tunnels still snake beneath the modern city and for miles around, although they have never been properly mapped. Locating them involves detective work and has attracted eccentric explorers since interest in antiquity was revived in the Renaissance. The most complete studies were done by the British archaeologist and scholar Thomas Ashby, who scoured the remotest corners of the Roman Campagna from 1906 to 1925, and produced a magisterial tome, The Aqueducts of Ancient Rome, which was published posthumously by his wife in 1935. Today, Messina and other intrepid members of Sotterranei di Roma use modern technology to expand on Ashby’s findings.
Paragraph 7
“Ashby mapped many aqueducts in detail, but he obviously had no GPS and couldn’t cite precise locations,” Messina said. “So his descriptions include landmarks that no longer exist—farmhouses that have vanished, trails have changed course, buildings destroyed in the war. We try to identify the spots he found a century ago, map them with GPS systems and post them on Google Earth.”
Paragraph 8
About 20 minutes later, Messina spotted a cippus, a low stone pillar placed during the reign of Augustus, the first emperor, every 240 Roman feet (11.6 inches) to mark an aqueduct’s subterranean course. “There are thousands of them in the countryside,” he said. “Only God really knows how many.” A nearby hole hidden by branches was an entrance to a vertical shaft once used by skilled Roman teams called aquarii to access the aqueducts for maintenance. “Calcium deposits are a problem in aqueducts, affecting the flow,” he noted. “They’re like espresso machines—you have to clean them!”
Paragraph 9
Ancient footholds remain carved into the walls of the shaft, but the group opted to use a portable wire ladder to descend the 25 feet. Soon I was standing in a smooth stone corridor that few people have entered for the last 15 centuries. With our headlamps lit we clambered, hunched over, for about 80 yards into the pitch darkness, which in Italian is referred to as il oblio, “oblivion.” The air, which has not circulated for millennia, became stale. At one point, we scrambled over a pile of debris where part of the ceiling had caved in. “It’s very safe,” Messina assured me. “There has only been one collapse in 2,300 years, so we’d have to be very unlucky to be trapped.” I gazed ahead as he mapped the space with a hand-held 3D scanner. “Keep going,” he said with satisfaction, “and you’d end up on Rome’s Esquiline Hill.”
Paragraph 10
Descending into the Anio Vetus offered me a rare sense of discovery in one of the world’s most heavily visited cities, whose famous antique treasures have been admired by medieval pilgrims, 18th-century grand tourists, English Romantics and contemporary Italophiles. Having first visited Rome more than two decades ago to research a book on ancient Roman tourists, I believed I had seen all the classical sites of note. But the adventure inside the aqueduct showed me that the city has a hidden dimension. And it is hardly the only subterranean site offering a fresh perspective on Rome’s venerable grandeur—if you know where to look.
Paragraph 11
Anyone who visits imperial Rome’s most renowned relics—the Colosseum, the Pantheon, the Temple of Saturn—notices that their foundations lie far below the level of the modern streets. Since the demise of the empire in the fifth century A.D., the ancient city has been buried under some 30 feet of urban debris and construction, and the majority of it remains hidden under visitors’ feet. In fact, there are enough subterranean spaces that regular street collapses swallow cars whole, making Rome “the sinkhole capital of Europe,” according to the London Times. But this has also turned the city into a paradise for a quirky new breed of speleo-archaeologists, inspired amateurs who work with academics to piece together a more complete map of how the imperial city has evolved over the last three millennia, revealing a fascinating, multidimensional honeycomb of pagan shrines, public baths, hidden lakes, nymphaeums (private baths of the rich, adorned with seashells and faux forests), grand sewers, mining tunnels, Christian catacombs and ossuaries. In a sense, it’s Roman archaeology’s final frontier. “Many people think of imperial Rome as a lost city,” explained Giuseppina Mattietti, an earth scientist at George Mason University outside Washington, D.C., when I met her for lunch last summer on Isola Tiberina, the trireme-shaped island in the middle of the Tiber River. “But that’s the interesting thing: It’s not gone! Romans just built on top of it, for century after century.”
Paragraph 12
The Rome-born Mattietti, who has lived in the United States for some 30 years, has joined Sotterranei di Roma on numerous adventures over the last ten or so summers—everything from crawling on elbows through tunnels beneath the Palatine Hill to wading through the Cloaca Maxima, the magnificent sewer that the first-century A.D. scholar Pliny the Elder regarded as a marvel of engineering, and still functions as an active part of the modern city’s infrastructure. “I had to wear a full hazmat suit and have shots for hepatitis, typhoid, cholera,” she told me. “Everything short of anthrax, I took them all!” Descending through a malodorous entrance in the Roman Forum, the team waded through the sewer until the water current became too powerful. “We had to proceed by digging sticks in the mud so we wouldn’t be dragged under by the flow.”
Paragraph 13
The area beneath the A.D. 1100 Church of Sts. John and Paul on the Caelian Hill holds an otherworldly surprise for underground adventurers. Up until the fourth century A.D., it was quarried for the building material tuff. When quarry activities ceased, the extraction sites filled with rainwater, forming crystal blue pools. Paolo Verzone / Agence VU
Paragraph 14
That wasn’t an experience I was keen to repeat, but luckily there are many other underground sites that are entirely accessible to travelers with some insider guidance, Mattietti said—if they know about them. Every summer, she takes students below the sidewalks of the historical center, Centro Storico, via little-known public museums like the Crypta Balbi, where visitors descend 40 feet from the busy modern street level of cafés and souvenir stores by the Piazza Venezia, and the recently opened Roman Houses of Celio, which includes a lavishly frescoed aristocratic villa from the third century A.D. Many Christian churches also have haunting basement levels, most impressively the Basilica of San Clemente, where visitors end up in a Mithraeum, an altar devoted to a pagan cult popular in the first century A.D. Ancient mosaics even turn up in the basements of restaurants like Pancrazio in the old Pompey’s Theater, near where Julius Caesar was stabbed, while the walls of some bars in Testaccio have glass windows to reveal layers of broken clay amphorae discarded in antiquity.
Paragraph 15
But many of Mattietti’s favorite subterranean sites require some planning to visit, she said, since Rome’s understaffed Special Superintendence of Archaeology only opens them by special request. This involves calling a local number and often requires a modest minimum fee of about €40. After lunch in Trastevere, whose name comes from the Latin for “across the Tiber,” Mattietti led me to the Renaissance-era Palazzo Specchi and the Church of San Paolo alla Regola. Nothing indicated they were of unusual interest until a young custodian in the uniform of the superintendence arrived with an enormous rusty key, then unlocked a metal doorway in the palazzo’s exterior to reveal worn stone stairs lit by a bare bulb. We gazed down in silence for a moment, as if we were entering Tutankhamen’s tomb. “We are used to seeing cities horizontally,” Mattietti observed. “We talk about ‘urban sprawl’ in spatial terms. But if we look at cities vertically, it creates a timeline, right back to when the first people said: This is a good place to live.”
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The steps led 25 feet down into an insula—literally “island”—or Roman apartment complex. Mattietti explained that this riverfront area of the Tiber in the first century A.D. was home to horse stables, shipping warehouses and sacred oak groves, but by the second century the structures were taken over as residences by poor Romans, and they remained inhabited throughout the Middle Ages. The strata of archaeological remains in Rome are often compared to a lasagna, she added, with layer after layer piled on top of each other, but they also overlap: “In the United States, we demolish old buildings and start over. In the ancient world, people reused them. Structures were built to last.” (Some underground sites were even repurposed in World War II as air-raid shelters—including the basement at the 18th-century Villa Torlonia, where Mussolini lived from 1925 to 1943.)
“There are nine different types of wall here,” she enthused, pointing out each different design, along with embedded terra-cotta pipes, fragments of marble and a site where piles of shrimp shells were found. Even such oddities are important to scholars, she said. In fact, when we later walked by an overflowing garbage bin, she noted: “Today’s trash, tomorrow’s archaeological site.”
Paragraph 17
Exploring humble dwellings provides a fuller image of Roman society, she argues. “When we look at the ruins of ancient Rome, we often see what its emperors and aristocratic rulers wanted us to see: the Colosseum, the Forums, all the great monuments. But what about the real Romans who made up 90 percent of the population and brought the city alive? They are part of the story, too.”
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“Why don’t you come to ‘the cave’ for pizza tonight?” Marco Placidi, a founding member of Sotterranei di Roma, asked me when I inquired about his latest work. It was an irresistible offer. In 2020, Placidi said, the group opened its headquarters in the Labyrinth of Rome, a vast network of tunnels that extends for some 22 miles beneath Caffarella Park, a green oasis in the southeast of the city near the ancient Appian Way. The quarry was initially dug in the first century B.C. as a source for tuff, a volcanic rock that was pulverized as an ingredient for Roman concrete, the strong, essential material used to construct the city’s most illustrious architectural wonders.
Paragraph 19
And so at dusk I followed Italian families walking their dogs along bucolic paths through fields fringed with flowers, duck-filled lakes and woodland, until I spotted the quarry’s moss-covered entrance, where a half-dozen club members including Mattietti were chatting at a table over boxed takeaway pizzas, olives and wine.
Paragraph 20
“My interest in the underground began organically,” said Placidi, whose day job is as a work safety officer at a local energy company. When a friend visited him from out of town in the 1990s, they went on a tour of the most renowned Roman tourist sites. “We were frustrated at how controlled things were,” he said. “You couldn’t even take photos in the Vatican Museum! So we decided to find more unusual, hidden places, where we could experience the city more freely, walk where we wanted, touch things. And that very often brought us to hidden spots below Rome’s surface.” In 2000, he and a handful of fellow enthusiasts founded the first speleo-archaeological club, which split into two rival groups about a decade ago. “We started pre-internet with 50 members,” Placidi said. “We now have 2,000 or so members, including Europeans, Americans, Japanese …”
Paragraph 21
Renting in the Labyrinth of Rome at a nominal fee from its owners fulfilled one of Placidi’s fantasies. “Rome’s Centro Storico is a web of bureaucracy,” he lamented. “When we work at sites there, we have to deal with the Superintendency of Archaeology, the Commune of Rome city government, the Vatican, the water company Acea. But the quarry is privately owned, which gives us a lot of freedom.”
Paragraph 22
After the pizza, we descended into the tunnels, which were garlanded with electric lights for the first hundred or so yards. The association has converted several of the first rough-hewn chambers into meeting rooms, including a recreated Mithraeum decorated with faux Roman statues surrounded by ferns, which members have dubbed “La Bat Caverna.” Every weekend they conduct walking tours and even lead groups on mountain bikes into the darkest recesses of the complex.
Paragraph 23
Wandering deeper into the dank maze, we arrived at a metal ladder leading 20 feet up to a hole in the stone ceiling. In the Middle Ages, tomb raiders knew the quarry extended beneath an early Christian catacomb, Placidi said, so they dug upward. Another club member, a Spanish-born schoolteacher named Alfonso Diaz Boj, started climbing and beckoned me to follow as Placidi held the ladder steady. Soon I was crawling in the fetid darkness as my headlamp lit up niches filled with shards of pottery and Roman mosaics, and what I realized were human remains, including a skull. “The grave robbers hoped to find treasure,” Diaz Boj said. “All they found were bones.”
Paragraph 24
I had been to several of the more official catacombs run by the church, many of which were impressive complexes—St. Sebastian with a pagan basement with Medusa frescoes, St. Callixtus with its four underground levels—but somehow, squatting in the darkness with my hands and knees covered in grime caught my imagination more.
Paragraph 25
“Some academics look down on Sotterranei di Roma association as amateurs,” Mattietti said after she joined us crouching in the musty alcove. “But I think the members are like ‘citizen scientists’ in the U.S. They are dedicated and deeply passionate. They don’t get any glory out of it, certainly no money. They explore for the love of it.” (One veteran member I met had the letters SPQR tattooed on his wrist—the Latin motto of the ancient city, Senatus Populusque Romanus, the Senate and the People of Rome.) “The reality is that most academic archaeologists don’t want to explore underground. They don’t have the means, they don’t have the training, and frankly they don’t want to kill themselves!”
Paragraph 26
News of other underground sites is passed on by word of mouth. For some time, I’d heard rumors about lakes hidden beneath the Temple of Claudius on the Caelian Hill in the very heart of the ancient city. It sounded like something out of a Jules Verne novel, but some Roman friends in the know tipped me off that visits are now organized by the city’s other organization of speleo-archaeologists, which has the confusingly similar name Roma Sotterranea, Rome Underground. And so the next afternoon, I set off to find the ancient temple’s entrance, which in the Middle Ages was cannibalized as part of the Church of Sts. John and Paul. I promptly became lost, wandering around the church’s ornate interior until a kindly sacristan in black robes took pity and led me to a metal grille by a courtyard, where a half-dozen excited Romans were putting on hard hats.
Paragraph 27
Built after Emperor Claudius’ death in A.D. 54, the temple was once one of imperial Rome’s most extravagant pagan edifices, whose foundations measured some 600 by 650 feet, more than the area of two football fields. A young guide named Chiara Massimiani pointed out several of its monolithic columns still embedded in the church structure, then led us down steep metal steps to a rough-hewn opening. Instantly, the summer heat of Rome was replaced by the cold, clammy air of tunnels that, like the Labyrinth of Rome, were first carved to mine tuff. We then entered a cavern containing the first of two small lakes filled with eerily blue, vodka-clear water. It was also biologically pure, Massimiani noted: “Rainwater has dripped through ten meters of stone above our heads, so all the impurities have been removed. We could drink it like Pellegrino!” She felt a civic pride that Rome still had secrets to reveal: “To have such a site only a few hundred meters from the Colosseum and Forum is a marvelous thing.”
Paragraph 28
Magical though the lakes are, the deepest passion among romantics and scholars has been aroused by the man-made water systems. Before traveling to Italy, I’d tracked down a copy of Thomas Ashby’s The Aqueducts of Ancient Rome, which is so rare that I was obliged to read it in a supervised section of the New York Public Library, poring over brittle, yellowed pages, meticulously drawn maps and murky black-and-white photos. It was easy to share Ashby’s sense of wonder, and today the network remains key to understanding Rome’s inner workings. “In the ancient city, water didn’t just sprout from nowhere,” Mattietti said. “For centuries, people had to carry it up from the Tiber. There were cisterns on the seven hills to collect rain. But the city’s growth was limited until Roman engineers devised the aqueducts.” The increase in drinking water allowed Rome to expand into an imperial megalopolis by the first century A.D., with an estimated population of one million people.
Paragraph 29
To explore the network, I started in Rome’s most water-oriented hotel, the Anantara Palazzo Naiadi. It was built in grandiose neo-Classical style in the late 1800s to follow the curved walls of the exedra, or waiting room, of the enormous third-century A.D. Baths of Diocletian, which covered some 32 acres and allowed 3,000 bathers at a time in palatial, marble-encased chambers and pools. The hotel has mosaics from the baths in its basement and a pool on its rooftop (a rarity for Rome). It also looms above the Fountain of the Naiads, decorated with frolicking water nymphs, which was erected in the Piazza della Repubblica beginning in 1888 when a short stretch of one aqueduct, the Aqua Marcia, was revived by Italian engineers with modern hydraulic pumps.
Paragraph 30
The hotel has so embraced the ancient aquatic past that it even offers an early-morning jogging tour retracing the aqueduct routes, led by a Roman art historian, Isabella Calidonna—a pursuit she dubs “archaeo-running.” Our focus was to follow the one ancient aqueduct that still functions today, the Aqua Virgo (as it was named in Latin, or Acqua Vergine in Italian), a 13-mile artery inaugurated by Marcus Agrippa, the brilliant general and son-in-law of Emperor Augustus, in 19 B.C. When the other ten aqueducts were broken by the Goths in 537 A.D., the Virgo’s channels, which were laid mostly underground, remained intact. When its flow was reduced and it fell into disuse during the Middle Ages, the lack of drinking water helped turn Rome into a virtual ghost town. “Who would live in such a city?” Calidonna asked, rhetorically. The Aqua Virgo was restored to its original glory by Pope Nicholas V in 1453, helping to provide the life-giving water needed for Rome’s expansion and rebirth: literally, its “Renaissance.”
Paragraph 31
“Water has always been a symbol of power in Rome,” Calidonna declared as we set off in the eerie, traffic-free calm of 7 a.m. “In antiquity, the emperors built splendid baths for the people, and in the Renaissance, the popes built magnificent fountains.” A key stop was one of Rome’s most beloved tourist attractions, the Trevi Fountain, an 18th-century Baroque masterpiece adorned with statues of the water deity Oceanus in a shell-covered chariot, surrounded by mermen—and which, unbeknown to the many thousands who toss coins into its depths daily, is fed by the Aqua Virgo. Several stretches of the aqueduct are visible nearby. We jogged past one original section exposed behind an iron fence on the Via del Nazareno, then entered a department store called La Rinascente on the Via del Tritone, whose floor plan promised in the basement: Acquedotto. It seemed wildly unlikely, but after riding the escalator down past the latest Gucci and Prada summer fashions, we found 15 intact stone arches extending nearly 200 feet. A quirky museum nearby, the Vicus Caprarius (City of Water), allows visitors to explore yet another section of the aqueduct and its workings discovered during excavations for a movie theater between 1999 and 2001.
Paragraph 32
Rumors and urban myths circulate all around the Aqua Virgo. Mattietti had told me there was a rarely used entrance through which one could descend a lovely Renaissance staircase and wade through its still-flowing, waist-high waters—the holy grail for anyone fascinated by the underground. But access was controlled by the modern Roman water board, Acea, making it as difficult to penetrate as the Vatican’s inner sanctum. In fact, I had put in a formal application two months earlier, but heard nothing. It seemed an impossible goal.
Paragraph 33
So I turned instead to the adventurers of the group Sotterranei di Roma to see if they knew of a site that was almost as exciting. That was how I found myself, on my last morning in Rome, driving back into the verdant countryside of the Roman Campagna to engage in a modest act of “guerrilla archaeology.” Placidi and Diaz Boj hoped to take me into the ancient locale whose engineering had most impressed the indefatigable Thomas Ashby, in the village of Vicovaro, about 30 miles from the Forum, where two aqueducts, the Claudia and the Marcia, meet and overlap. On the way they warned that access to the underground intersection would be a challenge. The Monastery of San Cosimato had just closed off the main entrance, they lamented, citing the need for repairs. But there were other entry points. “We might get arrested,” Diaz Boj joked. “But we can try!”
Paragraph 34
After the regulation espresso stop in the village, we parked by a lonely roadside and descended through thorny bushes to the serene Anio River. “Ecco qui!” Placidi declared, pointing at a dark hole. “Here it is!” Then he added reverently: “Pliny the Elder said the Aqua Marcia had the best-tasting water in all of Rome!” Constructed between 144 and 140 B.C. by an ancestor of Julius Caesar, the praetor Quintus Marcius Rex (after whom it was named), the Marcia was also the longest of the 11 aqueducts, running nearly 57 miles from its source springs to Rome.
Paragraph 35
With headlamps lit, we climbed into the beautifully preserved specus, or tunnel. Its floor and sides were smooth, while the roughly hewn ceiling still showed the marks of ancient construction workers’ picks. We were part of a great tradition of visitors, Diaz Boj said, pointing out graffiti from explorers in the 1400s and 1600s. Finally, about 50 yards into the aqueduct, he shone his headlamp on the carved signature of the venerated Ashby himself. Minutes later, we stopped at a second Ashby signature. “He stayed here for two days, so signed twice,” Diaz Boj marveled. “He might even have slept in the aqueduct!”
Paragraph 36
I thought that my obsession with the Roman underground had run its course. But I had only been back in New York a few days when I was surprised to find in my inbox an email from the water company Acea. I had finally been granted permission to accompany an official into the Aqua Virgo via an off-limits entrance in the heart of Rome, using the legendary 16th-century staircase in the Villa Medici. This was something too much out of the Da Vinci Code to resist, so I booked a flight back to the city and checked into the Hotel Mediterraneo, a marble-lined Art Deco gem filled with the busts of emperors and heroes, whose over-the-top grandeur seemed to encapsulate all our enduring fascination with antiquity.
Paragraph 37
The next morning at 10, I climbed the Spanish Steps to the fortress-like Villa Medici, whose outer wall was embedded with an anonymous gray metal door and a small, worn and barely legible marble plaque announcing access to the Aqua Virgo. Waiting for me was Marco Tesol, an engineer with Acea who manages visits to its restricted sites. Far from a faceless bureaucrat, he turned out to be a burly, affable, bearded Roman with a love for the inventiveness and craftsmanship of his classical ancestors. Joined by three other Acea workers, we pulled on fishermen’s waders that came up to our armpits, donned company hard hats and descended one last time into il oblio.
Paragraph 38
Two thousand years of Roman history now came together in one spot. First, I stepped onto a spiral stone staircase known as La Chiocciola del Pincio (chiocciola means “snail”), which descends like a corkscrew some 80 feet below street level. Long closed to the public, it is an astonishingly elegant Renaissance creation, with a symmetry that might be ascribed to a Michelangelo sketch. It was built around 1574 on the orders of the villa’s then-owner, the wealthy Cardinal Giovanni Ricci da Montepulciano, an efficient papal administrator and antiquities collector who oversaw ongoing renovations of the aqueduct, and was designed by a famed engineer and champion fencer named Camillo Agrippa. Then, after descending 117 well-worn steps, I was back in antiquity: inside the 2,000-year-old carved tunnel of the ancient Aqua Virgo, whose crystal clear waters were flowing smoothly below my feet. The aqueduct was functioning just as it had in 19 B.C. Rarely has history felt so alive.
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“There are two legends related to the Aqua Virgo’s name, ‘Virgin,’” Tesol explained as I took the last few steps down a metal ladder into the channel. The first is that it was named for the purity of its water. The second, that it was named after a maiden who showed some weary legionnaires the way to the mountain spring. “But today it’s not pure enough to drink!” Tesol warned. “Along the route, bacteria may have seeped in.”
Paragraph 40
There was something almost baptismal about stepping into the flow, which had originated in the hills east of Rome and soon enveloped me up to the waist in an icy caress. There was a layer of gravel underfoot, some parts of the aqueduct’s sides were calcified, and slender white stalactites hung in clusters from above, but the superb Roman engineering was entirely intact. As Tesol explained what was above our heads, I could imagine a new map of the city. We waded 100 yards in the direction of the Trevi Fountain, which is today so popular that a tourist commissioner proposed in September that tickets be charged to control access. We then doubled back 200 yards beneath the Villa Medici and its marvelous Renaissance gardens, among whose sculpted groves I had once attended artistic and musical events hosted by the French Academy (which has owned the villa since 1803, after Napoleon purchased it). Along the way, we admired flourishes like carved arches and a 75-foot-high shaft used by construction and maintenance workers. At one stage we carefully navigated underwater steps.
Paragraph 41
“Most of the Vergine was too deep for the Goths to destroy,” Tesol said proudly. “That’s why it could be restored in the Renaissance and flows today.” The sixth-century A.D. chronicler Procopius records how scouts of the besieging Goths even tried to enter Rome carrying torches through the Aqua Virgo but found the route blocked by defenders.
Paragraph 42
After about 90 minutes, we pulled ourselves out of the water and began to ascend the “Snail.” According to Italian historians of science, the Renaissance staircase had another purpose beyond providing access for workers: In 1574, Camillo Agrippa, the staircase’s designer, devised an ingenious hydraulic system here, using wooden wheels to pump the aqueduct’s water back up the corkscrew steps via a metal tube embedded in the wall to irrigate the Medici gardens. Although gone now, the sophisticated device would not be equaled in Rome until modern engineers began improving the water systems of the city in the late 19th century—an extraordinary bridge between ancient and modern.
Paragraph 43
Stripping off my waders, I was elated by the immersive experience. But I had to confess that I’d finally had my fill of il oblio. It was time to repair to an outdoor café and enjoy a pasta luncheon, bathed in Roman sunshine.
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Tony Perrottet | Read More
Tony Perrottet is a contributing writer for Smithsonian magazine, a regular contributor to the New York Times and WSJ Magazine, and the author of six books including ¡Cuba Libre!: Che, Fidel and the Improbable Revolution that Changed World History,The Naked Olympics: The True Story of the Ancient Games and Napoleon's Privates: 2500 Years of History Unzipped. Follow him on Instagram @TonyPerrottet.
Paolo Verzone / Agence VU | Read More
For three decades, Paolo Verzone has been photographing the world around him, specializing in science and the environment.
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T5. Attribution & Citation Alignment
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T5.2 Key-Statement Citation Alignment
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Partial
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The above Original Text provides information about the Roman underworld. You will be presented with a "Generated Summary." Please provide the citation for "Sentence 3" in the Generated Summary by identifying the minimal sufficient source paragraph from the Original Text. Only use the paragraph numbers (e.g., "Paragraph 1") as citations. Output the "[Answer]" identifier first, and then output the citation. If the sentence requires multiple sources, output each citation line by line, without any additional content.
Generated Summary:
Sentence 1: The Labyrinth of Rome is a vast network of tunnels under Caffarella Park that was originally a quarry for tuff, a key ingredient in Roman concrete.
Sentence 2: In 2020, the speleo-archaeology group Sotterranei di Roma established its headquarters there.
Sentence 3: Marco Placidi, a founding member, expressed that having a privately owned headquarters provides the group with more freedom compared to working in the bureaucratically complex historic center.
Output example:
[Answer]
Paragraph 1
Paragraph 2
|
The above Original Text provides information about the Roman underworld. You will be presented with a "Generated Summary." Please provide the citation for "Sentence 3" in the Generated Summary by identifying the minimal sufficient source paragraph from the Original Text. Only use the paragraph numbers (e.g., "Paragraph 1") as citations. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the citation. If the sentence requires multiple sources, output each citation line by line, without any additional content.
Generated Summary:
Sentence 1: The Labyrinth of Rome is a vast network of tunnels under Caffarella Park that was originally a quarry for tuff, a key ingredient in Roman concrete.
Sentence 2: In 2020, the speleo-archaeology group Sotterranei di Roma established its headquarters there.
Sentence 3: Marco Placidi, a founding member, expressed that having a privately owned headquarters provides the group with more freedom compared to working in the bureaucratically complex historic center.
Output example:
<Your thinking process>
[Answer]
Paragraph 1
Paragraph 2
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[
"Paragraph 21"
] |
Easy
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a7bcb753aed222c271cd8ee77accbd1c3612f1fafcf3769253630f58ff37b73b
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1 汽车设计论文:汽车冲压件模具设计论文
1CAE软件的优点
CAE软件实现了计算机与设计人员相互作用，计算机技术发挥其高效率的特长，设计人员发挥其灵活性特点，这样就使模具的制作流程更加灵活，并且提高了模具的生产效率。CAE软件采用计算机技术把设计方案优化，使模具在制作过程中结构合理，工艺参数。CAE软件可以提高企业的生产率，节省时间。CAE软件实现了设计计算的自动化和图样绘制的化，这样就大大节省了设计人员的时间，而且使设计的度提高。CAE的使用使设计到制作的时间减少，从而降低了劳动力和材料的成本。计算机的运转提高了绘图的效率，计算机进行设计的优化时考虑到原材料的使用问题，确保原材料得到充分利用，节省了企业成本，提高了企业的经济效益。
2散热器罩的工艺分析
2．1覆盖件冲压工艺的主要特征
在进行覆盖件的冲压过程中，尽量运用一道工序就可以完成任务，使覆盖件的轮廓清晰，如果覆盖件在两次工艺才成形的话，会导致成形不完整的问题，使覆盖件的质量降低。当覆盖件的形状确定后，尽可能使覆盖件表面平滑均匀，使各个部位的变形程度能够达成统一，在不同的工序完成时，能够确保各个工序能够相互调整，使工序的状态良好。覆盖件上的孔是在各个工艺完成后再制作，以免在孔的形成过程中产生畸变问题。当覆盖件成型以后，就可以进行翻遍等工作，先确定好工料的形状和尺寸，然后对成形的工艺进行分析，对模具的结构进行分析，然后分析在模具成形过程中需要的零部件。
2．2散热器罩冲压工艺分析
2．2.1结构工艺介绍
散热器罩在形状设计的过程中是对称的，在覆盖件的制作中，在水平面上形成X和Y两个方向，这两个方向在制作的过程中设计的深度是不一样的，这就导致了在设计覆盖件的时候，确定形状会存在很多的问题，按照覆盖件制作的特点，为了能够提高制作的效率，就要减少相关的工序，可以将冲孔与两边的工艺在统一的模具中完成，运用水平修边的方法，使修边与侧壁的冲孔工艺同步进行。散热器罩是沿着Y方向对称的，而且其顶部形成一个较为平缓的面，在冲压的时候可以运用正装的方式，这样就不会出现凸模的死角，使模具的形状可以顺利地形成，X边的深度比较大，在制作的过程中需要进行压边操作。
2．2.2冲压方案的确定
在进行冲压的过程中，一般都会经过成形、修边这两个步骤，在成形的过程中，在X方向因为深度比较大，因此要采用拉伸的方式，在修边的过程中一般会采用单工序的方式，在拉伸成形的时候，在覆盖件的制作中一定要注意，一定要在一副磨具中完成，这样才能够确保拉伸的质量。
3散热器罩拉伸成形的CAE分析
3．1CAE仿真分析的功能
在对汽车的覆盖件进行设计时，运用CAE软件，实现了软件的制作的仿真，在运用CAE软件进行仿真的过程中，首先要运用三维建模的方法，建立一个曲面的模型，然后将零部件的模型放到仿真软件中，分析二者是否可以匹配。按照冲压设备在设计中拉伸的效果，从而对接触的方式进行确定。在模具冲压的过程中，可以在参考力学模型的基础上，运用有限元的相关知识，建立有限元的模型，加入零部件的曲面模型中没有确定补充面，这时，就要运用CAE软件进行模型表面的设计，从而能够运用软件自动生成补充面。在CAE软件中，由于网格的自动划分功能并不能很好地实现求解器的需求，当网格被划分完成后，就可以运用CAE对网格进行检测，将那些不合格的网格检查出来。通过对模具的类型进行分析，从而建立分析模型。通过对零部件的分析，从而能够计算出毛坯的尺寸，运用CAE软件对毛坯的尺寸进行进一步的计算，从而确定毛坯的形状，运用CAE软件分析毛坯的主要轮廓，从而能够制作出毛坯的主要模型。在对拉伸筋进行定义的过程中，可以分析出金属的流动状况，能够在制作模具的时候防止起皱问题的发生，从而能够制作出更加平整的模具，运用拉伸筋能够将成形的数据进行模拟和分析，运用拉伸筋建立几何模型，这种方法在计算数据时度比较高，但是，这种方法在建立拉伸筋模型时需要耗费很多时间，而且在建立拉伸筋模型的过程中容易出错。也可以运用建立等效的拉伸筋模型的方法，这种方法能够按照尺寸建立出等效的模型，比较灵活，能够对数据进行地分析，被广泛地应用。
3．2散热器罩的CAE仿真分析
在散热器罩的CAE仿真分析的过程中，在对单元进行划分的时候一定要格外注意，一般都是运用四边形单元，而且要根据模型，设计合理的划分方法，在对自动的网格进行划分后，其中四边形单元占单元总数的大部分。在分析冲压方向的时候，一般都会运用CAE来确定，确保没有死区的产生，而且尽量可以使拉伸的深度减小。为了能够使拉伸成形更加得成功，就必须要对模具的工艺进行完善，要对补充面进行设计，并且要分析压料面的问题，在对压料面进行设计的时候，不能出现凹凸不平的问题，要使压料面保持平整，而且要尽量简化压料面制作的流程。对压料面的工艺进行完善，要确定好压料面的拉伸方向和位置，从而能够使压料面的各个部位都能够均匀分布。在进行压边设计后，确定了拉伸筋的结构后，运用CAE的分析，对模具的起皱问题进行考量，模具的内部如果出现了起皱的问题，可以发现，模具出现起皱的部分几乎都在模具的中心部分，在模具的中间部分，在压边的过程中由于受力不足，而且，在拉伸筋设计的环节存在一定的问题，因此，在解决这种问题的时候，可以运用强化压边力度，或者是增加拉伸筋的数量，对拉伸筋的位置进行调整，将拉伸筋调整到模具的中间部位，也可以通过使用润滑剂，从而能够减小摩擦系数。在对模具进行计算的过程中，一般来说，模具的厚度在0.8毫米的时候，能够形成一个较大的节点，这时不会发生模具起皱的问题，而且不会影响模具的美观度，也不会出现模具出现局部开裂，给汽车带来安全隐患的问题。
4结语
CAE是借助计算机软件，对人们对于模具的生产起到辅助作用，有助于技术人员可以可以采用计算机技术对模具的结构、模具的加工进行制作和设计。随着计算机技术的高速发展，计算机强大的软件和硬件系统为促进了CAE的进一步完善，为模具行业提供了强有力的保障。在运用CAE进行散热器罩进行制作的过程中，能够实现对制作流程的仿真分析，能够实现对模型表面的设计，从而能够运用软件自动生成补充面，确保冲压方向没有死区的产生。
作者：张晨 夏禹 单位：沈阳金杯汽车模具制造有限公司
2 汽车设计论文:工作任务新能源汽车课程设计论文
一、课程学情分析
1.学生与教材分析
新能源汽车检修课程需要学习者有较强的汽车理论基础和动手实践能力，授课对象是五年制（高级）汽车运用与维修专业的学生。该类学生已经在校学习三年，掌握了基本的汽车理论以及常见车辆故障诊断技术。授课教材是《新能源汽车技术》（崔胜民主编，北京大学出版社2009年出版），该教材系统论述新能源汽车技术，重点介绍电动汽车用动力电池、电动机，油电混合动力汽车、纯电动汽车和燃料电池电动汽车的结构、原理及设计方法等，比较适合高年级汽车运用与维修专业的学生使用。
2.课程目标分析
在新能源汽车检修课程的培训过程中，教师采用“行动引导型教学法”中的“任务驱动教学法”，让学生了解新能源汽车发展趋势，重点掌握油电混动汽车和纯电动汽车关键技术，提高学生对新能源汽车的整体认识和动手实践能力。
二、教学方案设计
笔者以丰田普锐斯油电混合动力汽车动力系统的电路故障诊断为例，介绍如何应用工作任务引导学生学习油电混合动力汽车动力系统电路项目。
1.课程任务制定
教师事先用三组线束将丰田普锐斯教学车与其配套的油电混合动力系统电路测试面板相连，一组学生利用故障设置盒在原车设置故障，另一组学生在电路测试面板上找出故障点并排除。具体要求学生做到如下几点：
（1）排除丰田普锐斯油电混合动力系统两个故障点；
（2）实车诊断故障在20分钟之内完成；
（3）查阅丰田普锐斯油电混合动力系统维修手册；
（4）使用丰田汽车专用检测仪（型号IntelligentTesterⅡ）和万用表等设备；
（5）实车操作动作符合人身、车辆的安全规范。
2.课程组织实施
在课堂上，教师依据教学流程，充分利用课堂时间。该课程一体化教学按任务驱动、分层教学、小组合作以及评价总结等学习法来组织教学。
（1）复习课程，引出项目。教师在布置工作任务之前，利用汽车零部件实物、PPT课件，向学生讲解丰田普锐斯汽车动力系统中的驱动桥机械组成和工作原理，回顾上一节课的内容，同时引出动力系统的控制电路，研究其组成、工作特点。
（2）分组定岗，布置任务。教师依据学生学习情况，将学生分成多个小组，每一小组4~5人。每辆教学车配2组人员，老师向小组派发工作任务书。设置故障组人员通过讨论后，利用故障设置盒设置2个故障点，同时评价另一组成员在实车排除故障的实操行为。而排除故障小组接到任务书后，查阅动力系统电路图，分析电路的工作原理，准备车辆保护五件套、丰田汽车专用检测仪、万用表和常用工具等。
（3）任务驱动，分工合作。故障排除组：①检查车辆的安全状况，拉手刹，挂空挡，安装保护五件套。②根据任务书的要求，观察教学车的故障现象并记录。经过小组成员大脑风暴，分析可能引起故障的原因。③利用丰田汽车专用检测仪检测故障码，读取油电混合动力汽车动力系统的数据流。④使用万用表检测动力系统线路的断路或短路，在规定的时间内排除故障，认真填写工作任务书。⑤在工作任务完成后或由于时间关系结束实操行为，恢复车辆的整体原貌，清洁车辆和场地，整理专用设备和工具。故障设置组：通过小组讨论设置故障点，并保持车辆的清洁，不准故意破坏有关车辆安全性能的零部件；在旁边观察故障排除组成员的每一个细节动作，把优缺点认真记录在工作任务书上，如果出现违规操作要立刻制止；根据故障排除组成员在排故过程中的具体表现，综合评价每一位故障排除组成员学习情况，并给予合理的建议。
（4）检查控制，排忧解难。学生在实车排除故障过程当中，记录重要的实操步骤和检测结果。教师时刻监督实习场地的变化，排除一些影响教学进度的因素，发现违规操作，特别是安全问题要立刻要求学生改正。
（5）相互评价，取长补短。学生在规定时间内完成实车故障排除后，开展组内成员自评、小组间互评和教师点评。成员自评主要是提高学生对油电混合动力汽车动力系统电路的认识。小组互评可以使得学生在动力系统电路排故的操作过程中，明白自己的不足。老师点评学生动力系统电路排故的思路、步骤，避免学生走弯路。三种评价有效理顺每位学生的知识结构，学生听取别人的建议，弥补自己的薄弱环节，优化完成项目的方案，灵活掌握新能源汽车的新知识和新技能。
三、课程成绩评定
该门课程的成绩评定由过程性评定和终结性评定组成，二者分值各占50%。过程性评定通过小组成员自评、小组互评和教师点评三种方式共同完成，整个过程必须公正和公开。终结性评定通过平时课后作业和期末闭卷笔试成绩两种方式共同完成。过程性评定是重视学生电路检测、总成拆装的实操行为，而终结性评定是重视学生理论知识的掌握水平，两者结合提高学生的汽车维修专业能力。
四、课程设计体会
1.学生收获
任务驱动是该课程实施的主干，学生主动，教师引导，将“教、学、做”适当地融为一体。学生可以在模拟的汽车维修情境中学习，激发学习兴趣，快速掌握新能源汽车维修技术。个别学生学习能力较差，通过小组成员的通力合作，互帮互带来完成任务，增强其自信心。
2.师资要求
教师在整个课程设计过程中要做大量的工作，例如车辆、工具和设备准备，设计工作任务书和理论课件用的PPT。该课程要求教师有较高的操作技能，及时在教学过程中排除影响教学的因素。
3.存在的不足新能源汽车检修课程是新开课程，教具和设备数量少，而学生多，例如在学习油电混合动力汽车驱动桥结构的项目中，很难开展驱动桥总成的拆装。由于汽修专业学生未进行高压电工（380V）的技术培训，维修新能源汽车高压电部件的技能尚欠缺。
作者：王朝帅 单位：广州市交通技师学院
3 汽车设计论文:问题管理下汽车设计论文
1问题管理需要贯穿汽车设计开发全过程
汽车设计开发粗略地分为造型、详细设计和样车试制这三个阶段。通用汽车专家团队总结出：“在汽车设计开发中，如果问题提出越早越多，则开发成本越低、周期越短，如果问题提出越晚越多，则开发成本越高、周期越长。”例如，在设计阶段，利用三维尺寸分析软件以及RSS（RootSumSquare）计算建立尺寸分析模型，将DTS（DimensionalTechnicalSpecifi-cation）的公差合理地分配到各个总成、分总成、单件，并体现在GD&T（GeometryDimension&Tolerance）上，各零件厂家依照标准加工。此种方式在设计阶段对后期可能出现的问题预警，并且在设计初期解决，使得后期多次的设计变更、模具更改、夹具调整得以规避，从而降低了研发费用，缩短了开发周期，保障了产品的质量，增加了产品的竞争力。又如，人机工程导入产品虚拟设计阶段实时地、并行地进行评估，及时发现问题，尽早地优化产品设计，实现产品开发的同步进行验证产品设计。反之，人机工程不参与虚拟制造的开发，在零件开模之后实车进行验证，发现问题再由产品工程进行必要的更改，如此的开发过程相比同步开发，开发质量明显降低，成本显著提高，并且会带来更长的开发周期。如果能够让汽车开发团队尽量早并尽量多地提出问题，将能够降低汽车设计开发的成本和缩短开发周期，这就要求问题管理贯穿到汽车设计开发全过程当中，特别是造型阶段和详细设计阶段需要鼓励大家尽早地多提问题和快速解决问题，防止问题落到样车试制阶段才发现和提出来，这样解决问题的费用就高，解决的时间周期就比较长。对应汽车设计开发每个阶段的工作内容，汽车开发团队需要及时和尽早地提出问题、处理问题和解决问题。例如在造型阶段，大家需要针对造型的整体风格、造型分缝的大小、造型圆角的工艺可行性、造型零件分区的合理性等等作出评审，并提出和解决问题；在详细设计阶段，大家需要对零件结构的合理性、总布置的可行性、结构刚度等的CAE分析合理性、公差分析通过率等进行评价，并提出和解决问题；在样车试制阶段，大家需要对工装与零件的合格率及匹配度、工艺布局的合理性等进行现场验证和评估，并提出和解决问题。因此，问题管理需要贯穿到汽车设计开发全过程中，才能为快速解决问题提供地保障。如果在某个阶段忽略问题管理，则会使问题提出和解决的速度下降，势必造成汽车设计开发工作迟缓，从而导致汽车设计开发成本的增加和周期的延长。
2问题管理的系统化、体系化、流程化
汽车设计开发的问题管理是如此重要，大家需要把它系统化体系化流程化，这样才能确保来自不同专业领域的工程师人员能够按照统一的规则来完成相应的工作，尽早并快速地提出问题和解决问题。问题管理系统化是指针对某个专业领域的问题管理需要系统化，这样可以防止由于主观因素等原因造成问题的遗漏。例如钣金件设计冲压成型性分析过程中需要考虑哪些要点，冲压成型性问题的提出和解决需要有一套系统化的管理办法，这样不会因为年轻工程师经验不足而遗漏掉某个分析环节的问题。问题管理体系化是指在某个设计开发阶段的问题管理需要体系化，这样可以防止整个开发团队问题管理进度不一致造成问题解决效率低下。例如在详细设计阶段，造型、感知质量、总布置、冲压、尺寸、总装、涂装、车身工艺和工装等问题都会形成问题清单进行管理，但是如果整个项目组没有对这些问题管理进行体系化地管理，会造成某些区域问题解决周期较长，从而影响到整个开发的进度。进一步说，在详细设计阶段，假如只重视了造型、感知质量、总布置、冲压、尺寸、总装、涂装、车身工艺和工装问题这些清单的解决效率，忽略了冲压清单的解决效率，会形成整个车型开发项目进度的短板，延误项目的进程。因此，在某个设计开发阶段有必要对各专业提出的问题清单进行体系化的管理，整体推进问题解决状态，尤其是推动低状态问题的快速决策和解决，确保整个开发周期满足项目的要求。具体做法可以如下：对所有这个清单的总体状态做出把控，并在整个开发团队内共享相关的信息，例如及时该车型开发项目问题解决总体状态表，对低状态问题予以推动等等。问题管理流程化是指问题提出、问题解决、问题关闭需要形成相应的流程，这样可以使团队成员遵循既定的工作规则，避免因为流程不清晰而造成工作的推诿，影响工作效率，从而导致项目延误。对于汽车产品，它的特点非常明显，比如零件众多、特征复杂及材质多样等。这些特点会导致各种感知质量问题。其中，《整车静态感知质量工作流程》就对静态感知质量问题跟踪管理等进行了详细的定义，如在某个开发阶段由静态感知质量工程师进行问题状态管理，问题响应需要问题责任区域在问题清单后3个工作日内完成等等。这样其中的各种角色就能够明确工作的时间节点和工作内容，对于问题提出、解决和关闭都按照这个统一的流程来执行，分工与合作都有章可循，有法可依，工作效率高，问题解决的速度快，从而缩短汽车设计开发的周期。
3问题管理需要专人负责制并常态化
汽车设计开发过程中，各阶段的问题侧重点各不相同，各专业模块各有特点，这就需要针对不同的问题进行专人负责制地管理，并使其常态化，进行常规化、持续化管理，直到项目完成。例如冲压同步分析问题清单就需要有冲压工程背景的冲压工程师来管理，从及时个问题提出到一个问题关闭期间，都需要专人跟踪推动，并在汽车设计开发团队里形成常态化的管理模式。这样做的好处是能够使问题一提出来就能够传递到对应的产品工程师处，并且由提出问题的冲压工程师与该产品工程师密切沟通，共同讨论问题解决的对策，产品工程师再将达成共识的对策落实到具体的产品结构中，冲压工程师再次分析产品数据，验证其冲压成型性，直到问题关闭。例如，冲压工程师做冲压成型性分析后，发现左/右前轮罩外板加强板钣件成形时，在拐角处有开裂现象，立刻将此问题纳入冲压同步分析问题清单跟踪。他找到对应的产品工程师，并一起寻找问题解决的对策，经过双方沟通达成“在此拐角处增加缺口，向内凹5mm，并局部修改产品特征”的修改意见。产品工程师修改此零件3D数模，落实该措施，形成新的产品数模，提供给冲压工程师再次分析，结果满足冲压成型性分析，问题关闭。
4问题管理需要分散与集中并行
在汽车设计开发过程中，对于某个专业领域提出的问题，我们以单一问题清单的形式来管理，由问题提出区域来跟踪管控问题的进度和状态，这就是分散管理。但是由于在整个汽车设计开发过程中，不仅仅涉及到某个专业领域，而是跨多个专业领域，这样的问题就相对比较复杂，需要集中管理。例如，总布置遇到的问题大多数是跨专业科室的，需要集中管理和决策。进一步举例如下，发动机舱布置作为整车开发过程中重要的组成部分，汇集了整车各专业设计因素，集材料、性能、安全、加工、装配、维修、成本及美观等诸方面于一体，充分展示了整车的设计水平，尤其需要多个科室协同进行相关问题的处理和决策。又如，产品工程师在设计开发某个零部件时会遇到与下游科室零件搭接的问题，也需要集中协调和管理。再如，产品设计不满足制造需求，属于跨产品工程和制造工程区域的问题，也需要集中管控，召开专题会议上升决策等，避免由于专业角度不同而无法达成一致意见，妨碍问题的快速决策和解决。另外，在某个设计开发阶段，同时会存在有多个专业领域的单一问题清单，这些清单即使有专人管理，也需要集中汇总状态和做总体控制，这样才能确保整个汽车设计开发的进度不因为某个专业领域问题解决效率低下而拖后腿。
5问题管理需要发挥人的主观能动性
以上措施再，离开了人的主观能动性，也无法发挥作用。因此，在汽车设计开发过程中，必须要发挥开发团队每个人的主观能动性，这样问题管理才能够卓有成效。要发挥人的主观能动性来解决问题，首先就是要形成一致的目标，以解决问题的结果为导向，把大家的意识统一起来，这样行动起来大家参与解决问题的主动性和创造性才能发挥出来。例如为解决“轮罩与裙板图示处配合不美观”这个感知质量问题，感知质量工程师、造型工程师、产品工程师形成一致的目标，就是要彻底解决该问题，使轮罩与裙板图示处的配合能够满足感知质量的要求。这样大家目标一致之后，无论是在讨论方案、实施方案的过程中，大家心无杂念，都积极主动地参与到问题解决当中，一心一意做好各自的工作，直到问题关闭，目标实现。其次要发挥人的主观能动性，我们需要在整个汽车设计开发团队里倡导出一种相互学习相互欣赏共同提升的工作氛围。只有这样，大家才会主动提出问题来共同讨论，知无不言，言无不尽，大家一起集思广益，共同促进问题的解决，从而推动整个汽车设计开发项目向着既定的时间节点和成本目标、质量目标迈进。
6结束语
要使问题管理在汽车设计开发中发挥作用是一个很系统很庞大的工作，本文所述为实际汽车设计开发过程中项目管理实践与应用经验的积累。在中国汽车业设计和创造更多更优的整车产品过程中，我们还需要继续摸索和探寻更加有效可行的问题管理工作模式，使问题管理在汽车设计开发中形成系统和可控制，从而发挥出更大的作用，为缩短项目周期、节约项目成本、达到项目质量而贡献力量。
作者：蓝先 单位：上汽通用五菱汽车股份有限公司
4 汽车设计论文:汽车造型设计论文
一、汽车造型设计职业需求
笔者对汽车造型设计人才的职业能力的研究，从汽车行业近十年来造型设计职业岗位的发展入手，对“企业—部门—岗位—工作内容”的层次进行细分，总结出汽车造型设计人才的具体职业岗位的具体工作内容。文章中的汽车行业人才需求信息主要从三个渠道获得：一是对合资、国企、民营、私企以及汽车设计服务等不同类别企业的调查；二是历年来高校招聘和社会招聘的需求信息；三是网络、文献对国际上汽车企业机构构成和人员配备的介绍。
其一，汽车行业造型设计人才的需求企业。随着汽车保有量的迅速增长，市场对汽车个性化产品和服务的需求，为整个汽车产业链带来了新的发展机遇，整车企业、设计研发企业、零部件制造企业，甚至汽车资讯企业都需要造型设计人员的参与。笔者通过调查了解到，以下类型企业需要聘用汽车造型设计人才：汽车整车开发及生产、汽车零部件开发及生产企业、汽车设计服务企业、汽车销售企业等。
其二，汽车行业造型设计人才的需求岗位和工作内容。在所有企业中，汽车整车企业的设计开发环节最完整，因此文章以整车企业为研究对象，分析其部门设置和人员分布。虽然各个汽车企业的造型部门在结构和组织上有一定的差别，但其对产品策划和工程开发所起到的作用是相同的。文章提出了一个虚拟的具有普遍意义的汽车造型设计部门的基本构架和人员组织。零部件开发企业的造型设计人员，承担了与整车企业造型创意部门人员类似的职责，两者在人才能力需求上比较相似。下面将对不同类型企业的造型设计具体岗位的工作内容进行总结：整车开发及生产企业、汽车设计服务企业与设计造型设计的部门、岗位及工作内容如下：
一是汽车产品策划部门，岗位：汽车产品开发前期研究及开发策划人员（偏向造型策划）。工作内容：包括汽车品市场需求调研、流行趋势调研、竞争品牌及车型调研、品牌前瞻性的研究、市场定位、产品概念的提出等，并具备与设计管理和造型设计以及技术部门的沟通能力。二是设计管理部门，岗位：设计管理人员。工作内容：负责汽车造型设计统筹管理、时间节点控制、情报管理以及设计人员人事、设备及物品的管理，并与相关部门进行沟通。三是造型创意部门，岗位：车身造型设计师、汽车内饰造型设计师。工作内容：理解汽车产品定位，以草图和效果图的形式，分别负责车身或内饰设计项目的造型创意，并与油泥模型师和数字模型师进行一定程度的沟通，在设计时须考虑空气动力学和人机工程学等问题，并与相关部门进行沟通。四是色彩纹理设计部门，岗位：色彩纹理设计师。工作内容：应具有独立的色彩纹理创意的能力，明确产品的整体思路，具有对材质、花纹、色卡的管理能力，以及与其他部门的沟通能力。五是数字模型部门，岗位：Casc表面制作设计师。工作内容：对工程和造型创意有深刻的认识，通过正向C面三维建模，地表现设计意图，并与相关部门进行沟通。A-CLASS表面制作设计师，工作内容：通过逆向A面三维建模，实现模具基础，并与相关部门进行沟通。六是实体模型部门，岗位：油泥模型师。工作内容：透彻地理解造型设计师的设计创意，具有强大的三维模型塑造能力，并向数字模型师传达分面方式。七是设计试制部门，岗位：设计试制工作人员。工作内容：负责样车设计制作、内饰仿真件以及部分表面零部件的制作，并与相关部门进行沟通。汽车零部件开发及生产企业与设计造型设计的部门、岗位及工作内容如下：造型创意部门，岗位：汽车座椅、仪表盘轮毂、数字设备、进气隔栅、车身保险杠、方向盘、车灯造型设计师。工作内容：主要从事具体零部件的造型创新，须熟悉不同车型的造型特点，并能在零部件创新设计中把握其与整车的关系。由于零部件企业的部门设置没有整车企业庞大，往往要求造型设计师向上兼顾产品策划能力，向下兼顾工程协调能力。汽车后市场与设计造型设计的部门、岗位及工作内容如下：一是汽车造型改装部门，岗位：改装造型设计师。工作内容：从事汽车车身造型的局部改装造型创新设计，如轿车翼子板改装设计、货车车头扰流罩加装等，须熟悉不同车型的造型特点，并能在局部的改装中实现特定的改装功能，以及能与工程合作，保障改装后汽车性能。二是汽车车身及内饰美容部门，岗位：汽车美容设计师。工作内容：从事汽车车身贴花、贴膜装饰，汽车内饰的软装改造、内饰装饰品的选配等工作。
二、汽车造型设计人才的职业能力
通过以上分析可以看出，不同企业、部门、岗位的汽车造型设计人才虽然工作内容、难度和综合性各有不同，但从中不难总结出汽车行业中造型设计人才的职业能力需求。
其一，设计把握能力。由于汽车产品开发的复杂性和汽车造型设计部门分工的细化，要求汽车造型设计人员在把握能力方面必须做到：明确汽车整车项目目标与岗位工作目标之间的关系；对岗位工作进程和成果进行把控；并能与其他相关岗位和部门进行良好的协调、沟通。
其二，设计调研能力。因为汽车产品系统层次丰富，开发社会关联度大，周期长，风险大，因此汽车造型设计人员在调研能力方面应做到：通过不同手段实时把握、跟踪与汽车设计相关的社会、经济和技术等资讯，并分析其内在联系，形成独到的设计见解；能够把握汽车造型流行趋势；能够从各种事物及相关设计领域中提炼美、创造美；能够从人的生活方式、城市发展和交通方式等变化中发掘汽车造型设计创意。
其三，设计操作能力。在具体的汽车造型设计操作中，设计师应做到：将抽象的整车设计概念转换成视觉化的造型设计定位；运用汽车草图及效果图清晰地表现造型设计定位中的车身比例、线型特征、功能件排布、材质质感等设计信息；能够用汽车油泥模型对设计进行推敲、展示、评价；并能运用计算机辅助三维设计软件构建汽车造型设计的精细模型。文章通过对汽车行业发展、企业类型及与造型设计相关的部门、岗位和工作内容进行调查、分析，总结出汽车造型设计人才的特定职业能力需求。笔者希望通过对快速发展的汽车行业的人才职业需求和人才职业能力的研究，促进对现有汽车造型设计人才培养方案的制订，以及课程设置、教学内容、教学方法等方面的改革，以适应汽车行业对造型设计人才的需求。
作者：秦燕 单位：重庆理工大学车辆工程学院
5 汽车设计论文:报警器电路设计汽车电子论文
一、汽车电子防盗报警器的发展历程概述
随着科学技术的迅猛发展，汽车盗窃技术与日俱增，已成为全世界汽车领域包括我国在内的重要问题。所以，汽车防盗设计研究不管是对汽车生产商来说，还是对社会保险业以及个人来说都具有非常重要的意义与价值，怎样研制出更为安全、有效以及性极高的汽车防盗设备，较大程度地降低车主的财产损失是当前汽车领域应该加以解决的迫切问题。针对当前世界性的汽车盗窃发展趋势，所有的汽车生产商都在努力研发、改进汽车防盗技术，特别是微电子技术的大踏步前进，更是推动着汽车防盗技术的自动化与智能化发展。截至目前，汽车防盗设备从最初的机械控制，发展到现在运用电子密码、使用遥控呼救、利用信息报警，早期阶段的防盗设备主要是应用在门锁、窗户、启动器、供油、制动器等联锁器件的控制，同时还有专为预防盗窃而设计出的专用型套筒扳手。伴随着科学技术的发展，汽车防盗设备可以说是日益进步与完善，最主要功能就是防护车辆，并持续推出全新的产品。现代化高科技的快速发展促使产品的各个功能不断强大，产品的设计过程与生产过程也更为复杂，这就促使产品的专业性更为重要，汽车电子防盗报警器当然也包含在内。另外，产品的性已经成为当前测量产品性能及质量的核心标准之一，这主要是由于性不但是产品质量的反映，更是产品安全性与维护性等多种性能的代表，因此提升汽车电子防盗报警器性是增强产品市场竞争力与扩大产品市场占有率的重要手段与途径。
二、汽车电子防盗报警器电路性设计的必要性
汽车电子防盗报警器对于保护汽车安全起着至关重要的作用，其性直接决定着汽车的安全性能。因此，针对汽车防盗报警器电路的性设计研究，可以降低汽车电子防盗报警器出现问题的几率，整体提升汽车自身的安全性。下面从五方面具体分析汽车电子防盗报警器电路性设计的必要性:一是能够预防发生故障，特别是降低了误报或者被盗等特殊故障发生的几率，从而确保汽车的安全与长期的使用时间。二是能够从整体上减少电子防盗器的费用成本，因为提升产品的性，就需要质量更有保障的元部件，对一些多余功能的部件调整以及其他部件的性设计、研究、实验等，都需要大量的经费支撑，因此首先就是在费用方面得到保障。但是，产品一旦性得到提升，就能将花费在修费与停机检查费用方面的费用降到低。根据美国某相关公司的实际调查发现，在提升汽车性和维修性研制阶段所花费的每一美元，将会在之后的使用与后勤方面节省至少30美元，即产生30:1的实际效益。同时，性所产生的直接经济效益不但表现在未来实际运用方面，而且在研制过程中还会降低样机研制的所需次数，每减少一个样机，不仅仅能够节省很多资金，而且可以节约大量时间。三是能够大大缩减停机时间，提升产品的可用率，降低汽车发生故障或者被盗的概率。四是可以大幅提升产品的性，增强企业的信誉，提高市场竞争力，拓展产品的销路，实现经济效益的提升。五是性的提升能够直接降低汽车发生其他事故的几率，这样就能降低因多种事故所造成的费用支出，从而避免其他不必要的损失。提升产品的性需要从生产的每个环节着手，但最为重要的是产品设计阶段，因为缺乏合理性的设计，如果想在之后的环节中加以维修并达到预期的性，其几率微乎其微。所以，产品设计者必须具备扎实的性设计基础知识与技能，并能够运用多种方法与手段进行设计，从多个途径寻求产品性的突破。
三、汽车电子电路系统性的设计方案
预计、分析、分配以及改进等一系列产品性研发活动就是所谓的汽车电子电路系统性研发设计，结合产品技术文件与图样，对汽车某个电子电路系统的性进行定量设计，进而促进产品的性更加稳固。这一过程包括确定的性指标、构建的性模型、预计法加速检验性指标、分配的性、分析检验电路的性、筛选元器件等。
(一)建立性指标。
我国在1997年加以修订的《汽车报废标准》，规定凡是非营运类轿车大于等于10年(经过申请通过最多研制15年)或者达到50万公里之后要进行强制性报废，这一规定可以说是汽车电子电路系统性指标的确定范围。尽管当前新出台的汽车报废标准有所改动，但是此规定依然是检测机车各个部件功能性指标的主要参考。依据报废指定标准的15年计算，汽车报废的时间长度约为129，600个小时(按照24小时/天计算)，与轿车共计行驶里程达到50万公里的报废标准，把这两种汽车报废标准的大约值视为同等效率，同国军标准规定的不能低于5，000千米的汽车电子系统故障发生的平均间隔里程数，计算得出汽车电子系统的性指标即MTBF是1，296小时。
(二)确定性模型。
在设计产品的最初时期，通常要依据产品的性指标与其功能，确定具体的性模型，从而为分配性指标作准备。汽车系统一般包括贮备系统、复杂系统与非贮备系统。其中，贮备系统又分为工作贮备系统与非工作贮备系统，而工作贮备系统又分为并联、混联与表决这三个系统，非工作贮备系统又称之为旁联系统;而贮备系统就是串联系统。对于普通的电子电气系统，又可分为并联系统、串联系统与混联系统。并根据具体系统的模块功能确定框图与性模型。构建汽车电气系统的性模型的常规条件是:在整个汽车电气系统之中，除去电子的元器件之外，还包括其他部件部分(例如机械元件、系统软件、同电子的元器件相关的PCB板和连线等)的性都是彻底的;而所有电子元器件的使用时间则是服从分布的指数与故障形式的相互独立。
(三)分配性指标。
分配性指标就是把各个系统中的性指标依照原有的规则分配给各个单元，并把分配所得的结果当做各个单元性的定量要求通过设计加以实现。实际操作中的分配性的方法多种多样，例如评分型的分配阀、层次型分析法以及工程加权型的分配法等，就当前而言，最为简单且容易操作的方法就是工程加权型的分配法，并且涵盖的面积比较广，因此应用愈来愈广泛。所以，针对汽车电子电路系统的性指标分配也是采用工程加权型的分配法进行的。
四、结语
总而言之，一旦汽车防盗器产生故障，车主就很有可能遭受损失，或者是出现错误报警，从而影响到人们的日常生活，因此必须确保汽车电子报警器长期无故障的工作。所以，对汽车电子防盗报警器电路的性设计分析与研究拥有很重要的实际意义。
作者：杜迎丽 单位：南阳农业职业学院
6 汽车设计论文:企业信任论文：汽车行业信任模型的设计
本文作者：邹松林 单位：江西科技学院
汽车制造企业不仅要有上游的供应商，更需要大量的下游供应商，通过分销商将整车销售给顾客，对销售的车辆进行售后服务，并对顾客提出的问题和建议进行反馈，对便于企业的进一步发展。随着我国生活水平的提高，人们对于汽车的需求量越来越大，同时对于汽车制造企业也提出了更高的要求，企业之间的竞争越来越激烈，汽车从零件的采购、组装和销售到顾客的手中，其周期越来越短。当前，我国汽车制造企业虽然取得了长足的进步，但是和国际上先进的企业相比还有一定的差距。其中在售后服务这一方面，与国外的差距更大，需要发挥分销商的优势，进一步的完善。
汽车行业的进入，需要投入大量的资金，并且要有相关的技术资源，这就造成了该行业的进入和退出的成本都相对高，加强汽业制造企业与相关企业的协作关系，可以降低风险，提高效率。
当前，各个汽车制造企业都将汽车的发展与信息技术的发展紧密结合，如条形码技术、EDI技术都得到了广泛的应用推广，从而保障了企业对所售车辆的售后服务质量，提高了工作效率。对于汽车行业的信任模型，国内外的很多专家学者也提出了不同的理论。对于当前研究来看，一般都采用信任的前因及后果两方面的研究来进行评价。在企业信任模型中，信息的有效共享是非常重要的，图2为企业信任的简易模型。
上个世纪，对于企业信任的要素，主要还是以企业领导人的品格进行研究，无法通过科学的数据进行测定。进入21世纪以来，研究人员对于企业信任的研究越来越细致，对于其影响因素的划分也更加具体，其可测性更强了。
（1）与供应商的协作信任。当前，一个企业的能力不仅指的是企业自身的科研、生产等方面的能力，更主要的是指企业与各个供应商的关系。同时企业的声誉在企业的发展中，也占据着十分重要的角色，是一个无形的资产，当企业之间的产品质量相差不大的情况下，声誉在社会上好评的企业将会决定着销售的成败。在汽车供应链中，汽车制造是最重要的，在对零件的采购活动中，当前基本上都是采用竞标的形式进行采购。当生产企业与供应商的关系越密切，表明其彼此之间的信任关系越高。
（2）关系要素。在整个供应链中，汽车制造企业与各个供应商之间的信息进行共享，其内容主要包括：销售量、库存、订单、返修及回收等内容。尽可能缩短汽车在流通环节的时间，提高服务质量，可以使企业之间的关系更加紧密。当两个企业进行合作，通过交易可以使双方不断地加深了解，逐步形成共同的目标和价值观，在相互学习中提高自身的能力，提高双方的满意度，其信任度也越高。在企业交流的过程中，企业的边际人员，如技术人员、业务人员或中层管理人员的相互交流，也可以让企业的信任度得到进一步的提高。
（3）环境因素。对于企业来说，要想在某个国家或地区得到发展，就要考虑其当地的风俗和文化，减少不必要的误解和分歧。当一个企业融入到某个文化中，可以让彼此之间建立起更强的信任关系。
（4）合作绩效。当企业双方进行合作，当彼此之间获得越多的经济利润越多，对于企业间的信任关系也有着积极的作用。
（5）长期合作。当企业之间建立长期的合作关系时，可以让双方协商建立共同的发展目标和远景计划，从而让合作双方建立信心。
本文针对汽车供应链的信任模型展开研究，首先分析了汽车供应链的含义和特征，其次对信任模型展开研究，分析了信任关系中的要素，并建立了对应的理论模型。由于篇幅所限，本文对理论模型的实践并没给出，希望读者进一步的验证。
7 汽车设计论文:汽车电源模拟测试系统设计论文
1测试系统架构
汽车电源模拟测试系统的原理如图1所示，分为波形采集与波形模拟和测试输出两部分。波形采集部分：由于汽车在研发过程中，需经历样车的不同的阶段，在这些过程中，车载电器件的开发也不是一蹴而就的。通常车载电器件根据阶段性被分成C样件、B样件以及A样件（最终稳定状态）。也就是说在样车各阶段时，不能保障每种车载电器件的状态都是A类样件，因此，各阶段时，存在汽车启动瞬间电源电压变化的不同。而启动瞬间电源电压波形的获取较为简单（见图1中波形采集部分），利用示波器，采集汽车蓄电池正负两端在启动瞬间的电压即可。对于波形模拟及输出测试部分，使用NI工控机和程控电源的USB通信，同NI-VISA（virtualinstrumentsoftwarearchitecture）建立连接，通过LabVIEW软件编程录入采集的启动电压波形，并对程控电源进行实时控制，模拟输出，对被测样件实时测试。
2测试系统软件设计
2.1NI-VISA调用程控电源功能的实现
在本测试系统中，工控机采用NI公司的PX-I-8110，可编程直流电源采用TOELLNER公司生产的TOE8815-64。工控机与可编程直流电源之间的通信利用Agilent公司的USB/GPIB转换模块实现[1]。在利用LabVIEW软件设计控制程序时，需要使用LabVIEW软件中的[VISAOpen]子VI，并指定程控交流电源的GPIB地址，例如在本测试系统中程控直流电源的GPIB地址为GPIB0：1：IN-STR，通过这样的设置就可以建立起工控机与直流电源之间的联系[1]。
2.2可编程直流电源的控制指令的实现
在测试系统进行模拟输出时，最重要的是将采集到的波形进行提炼，并通过控制程控直流电源进行输出。在这里，需要设置的参数为电压、电流、时间以及起始和结束地址等。在GPIB模式下，TOE8155的控制可被设置为“听”模式和“说”模式。TOE8155的指令架构符合IEEE-488.2标准，除了上述标准中通用的指令外，TOE8155还具有专门的控制指令集，可通过工控机对直流电源进行参数设置和输出控制，且需要向直流电源传送符合TOE8155语法格式的控制指令[2]。其中，在本测试系统中需要用到的TOE8155特定的部分主要指令有[3]：（1）FBbbb将程序设置为触发模式，循环次数设置为bbb（=0...255）；（2）FCVaaa,eee初始地址为aaa，终止地址为eee间的电压值线性计算；aaa=0...999，eee=0...999；（3）FCCaaa,eee初始地址为aaa，终止地址为eee间的电流值线性计算；aaa=0...999，eee=0...999；（4）FCTaaa,eee初始地址为aaa，终止地址为eee间的时间值线性计算；aaa=0...999，eee=0...999；由于这些特定指令，在LabVIEW中并无现成的控件可供使用，因此，在程序设计时，相当一部分的工作量为针对特定指令控件子VI的编程。以FCV指令为例，其子VI的LabVIEW编程见图2和图3。汽车启动瞬间的电源电压波形不是一个周期性、规律的电压波形，见图4（某汽车启动瞬间的因此，在进行模拟电压的设定时，这种电压信号是由几段不同状态的电压信号组成的，程序定义时不仅要设置每段电压信号的电压幅值、持续时间，和起始终止地址位等信息，还有设置两端相邻电压信号之间的过渡时间[4]。在本设计中，是利用LabVIEW软件中的簇和条件结构实现这一过程的[3]。写入波形程序编辑见图5。
2.3自动测试的实现
前面提到，测试系统中很重要的一部分是波形采集，这个需要针对不同的车型，以及各不同车型的不同阶段。这意味着需要进行大量的模拟波形的调用并输出。因此，采用自动测试的方式可以有效地降低测试人员的劳动强度，更能提高测试系统的效率。在本测试系统中，利用Test-stand与sequenc系列调用测试程序的子VI，其架构见图6[5]。由于成本的考虑，车载电器件往往多为平台产品，但是也存在个别车载电器件是专用件的情况。因此在技术人员选择测试波形的分类时，参考图7的测试流程进行操作。测试系统的操作时，首先选择被测DUT所应用的车型，其次，导入该车型的电源曲线，并进行模拟测试。在测试完成后，判断该DUT是否为平台化产品，如果判定结果为“是”，则导入该DUT所应用的各车型电源曲线，并进行模拟测试；如果判定结果为“否”，则再次进行是否随即抽取模拟波形并测试的判定。若判定结果为“是”，则随机导入电源曲线，并进行模拟测试，若判定结果为“否”，则完成测试，退出程序。
3验证及总结
实现了对汽车在不同研发阶段的起动瞬间的整车电源的采集，利用了LabVIEW以及GPIB总线，实现了对可编程程控直流电源的控制，最终利用NI的TestStand技术，实现车载电器件对模拟采集波形的自动测试，不仅提高了测试效率，而且针对平台化的车载电器件，更能提早并地识别出问题和解决问题。目前该测试系统在某主机厂的娱乐系统的测试中得到了很好的应用。
作者：唐程光 周奇文 李娟 刘成厚 单位：安徽江淮汽车股份有限公司
8 汽车设计论文:汽车壳体优化设计论文
1建模与受力分析
门盖在工作时与汽车壳体之间的接触过程非常复杂，不仅涉及到接触、大位移、大变形等非线性问题，而且由于不同车型的汽车外壳结构不同，选用的材料也不同，所以研究时必须考虑汽车壳体模型.由于研究的主体是门盖，而推动门盖的主动力已知，汽车壳体只是力传递的边界条件，所以引入汽车壳体的简化模型.汽车壳体采用一般小轿车大小4500×1750×1300的简化模型，其材料模型采用线弹性模型，弹性模量取相比结构钢较小的值，这样既可以模拟在压缩过程中出现的较大变形，又避免引入材料非线性影响计算效率，同时对门盖的应力和变形计算影响很小..根据门盖的结构形式和特点，CAE建模时采用壳单元（ShellElement）来划分网格.在不影响分析结果的前提下对门盖进行了必要的简化，如忽略了螺纹孔、圆角及倒角等特征，从而提高有限元模型的质量、减小模型的计算规模.分析模型如图2所示.
2有限元分析
门盖闭合过程中，门盖与汽车壳体之间存在接触非线性.同时，工作过程中汽车壳体的刚度不是恒定的，它随着变形的大小而变化，即存在几何非线性.因此本文作SOL601，106高级非线性静力学分析.非线性分析和线性分析相比，非线性分析的计算时间和计算机存储量要大得多，而且在数值计算方法和求解参数的设定上有较大区别[2].边界条件包括载荷、约束和仿真对象[3].在门盖的左右轴套上分别施加轴承力，力的大小为800KN，方向为沿着油缸的轴向，指向门盖.在汽车壳体的底部作固定约束、门盖的旋转轴处作销钉约束.同时，忽略门盖组件各结合面之间的接触变形，近似将各接触部分看作刚性接触，在FEM下为门盖的各边、面之间添加1D连接[4-5].门盖与汽车壳体之间的接触是非线性的，在仿真模型下，定义高级非线性接触，汽车壳体作为“源区域”，门盖底板作为“目标区域”，“接触参数”保持默认.有限元计算模型如图3所示，分析结果如图4所示（只显示门盖）.根据图形可知门盖较大等效应力为170.76MPa.应力主要集中在门盖的左右轴套上，即油缸与门盖连接处.门盖的材料为Q235号钢，屈服强度为235MPa，可见在该工况下门盖满足强度要求.
3优化设计
有限元分析的最终目的是进行优化设计，现在需要对门盖结构进行优化，优化的目标是模型的重量最小[6-7].约束条件是在不改变门盖模型网格划分、边界约束和载荷大小，并能满足强度要求的前提下，控制较大等效应力值不超过材料屈服强度的70%（约165MPa）.
3.1筋板的布置
根据分析结果可知，应力主要分布在左右轴套处，大部分的筋板受力极小，因此，可通过布置筋板的分布进行优化设计.为便于加工和装配，门盖筋板布置采用均匀分布的方式.设计变量为筋板的数量，原结构中单行设置的筋板数量为10，考虑减重的目标及结构的稳定性，取筋板数量为3-7.图5为筋板数量与门盖较大应力和位移关系，图6为不同筋板数量对应底板的应力分布图.结果表明筋板数量对门盖的较大应力（轴套处）影响较小，对门盖底板的应力分布位置影响较大.底板较大应力发生在门盖油缸轴线方向上的临近筋板与主横筋板接触处，较大应力为N=4时σmax=61.52MPa.综合考虑较大应力、较大位移和底板的应力分布，以及实现减重的目的，确定新结构的筋板数量为4.
3.2筋板厚度的优化
3.2.1灵敏度分析
灵敏度分析是为优化设计做铺垫.通过灵敏度分析可以确定模型各参数对输出结果影响的大小.在模型校正过程中重点考虑对输出结果影响较大的参数，排除那些对输出结果影响很小的参数，这将在很大程度上减小模型校正的工作量，提高优化设计的效率[8-9].NX高级仿真中几何优化模块下提供了全局灵敏度解算方案.设计目标为门盖的重量最小，约束条件为门盖的较大应力，设计变量为筋板厚度.为便于加工与安装，门盖结构中相同结构的尺寸应保持一致.筋板厚度参数主要包括底板厚度T1、主横筋板厚度T2、横筋板厚度T3、竖筋板厚度T4、轴套厚度T5、前板厚度T6、门盖耳套帮板厚度T7和其他筋板厚度T8.对上述筋板厚度进行全局灵敏度分析，获得各参数对设计目标影响的全局灵敏度曲线，将所有灵敏度曲线调整到一幅图表中进行比较，根据各参数的全局灵敏度曲线的斜率大小判断设计参数对设计目标的灵敏程度，最终确定T1、T2、T3、T4.根据各参数对约束条件的影响曲线，确定T5.全局灵敏度曲线如图7所示.由图7（a）可知底板、主横筋板、横筋板及竖筋板的厚度对门盖的重量影响较大，其中底板的影响较大.由图7（b）可知轴套的厚度对约束条件的影响较大.为提高门盖强度以及减轻门盖的重量，主要对底板、主横筋板、横筋板、竖筋板厚度进行减小，同时适当增加轴套的厚度.
3.2.2尺寸优化
尺寸优化是建立在数学规划论的基础上，在满足给定条件下达到经济技术指标[10].NX高级仿真结构优化的解算器采用的是美国Altair公司的AltairHyperOpt，它拥有高效、强大的设计优化能力.结合以上分析结果，进行筋板数量等于4时筋板厚度的优化分析.在“几何优化”对话框中作如下设置：①定义目标：重量定为最小；②定义约束：门盖上的较大等效应力为165MPa；③定义设计变量见表1；④控制参数：选择较大迭代次数为20.经解算，找到方案：底板厚度由原来的52mm修改为45mm，主横筋板厚度由原来的50mm修改为45mm，横筋板厚度由原来的25mm修改为20mm，竖筋板厚度由原来的20mm修改为16mm，轴套厚度由原来的34.5mm修改为35.2mm，为了便于生产，将轴套的厚度圆整为35.5mm.优化后与优化前的分析结果对比见表2.从计算结果可看出，优化后的门盖强度得到明显提高.另外，重量由原来的10496kg降低为8786kg，减重17.2%，取得了优化设计的预期效果.
4结论
通过对汽车打包机门盖的有限元计算模型进行非线性分析，得出了门盖在额定载荷下的应力和位移情况.从门盖的应力云图的动态显示过程可直观地找出门盖的薄弱环节，为门盖的结构优化提供了依据.通过对门盖主要设计参数的全局灵敏度分析，给出了对门盖重量影响较大的参数，提高了优化设计的效率.通过对门盖结构的优化设计，提高了门盖的强度，减轻了重量，降低了生产成本，取得了优化设计的预期效果.
作者：张婷 章泳健 戴国洪 单位：江苏理工学院 常熟理工学院 江苏省机电产品循环利用技术重点建设实验室
9 汽车设计论文:汽车冷却器缓冲罩工艺设计论文
1冲压工艺性分析计算
根据零件的结构特点，冲压工序包括拉深、冲孔、翻边、整形、落料、切边。需要通过计算来确定汽车冷却器缓冲罩的拉深次数。对锥形件进行拉深计算［5］。相对厚度:t/d2=0.021＞0.02(1)相对锥顶:d1/d2=0.665＞0.5(2)相对高度:h/d2=0.376＜0.43(3)从以上计算结果可以看出该锥形件可一次拉深成形［5］。考虑到锥形件拉深时侧壁易产生皱褶的问题，故在拉深工序之后添加整形工序［6］。
2排样图设计
采用单排排样，引导孔定位，有切口的级进模设计方案。考虑到翻边时孔会产生变形，工艺排样的原则是底部预冲孔，再拉深、翻边、整形、然后落料、切断。该零件成形共分为12个工步，条料宽度为114mm，步距为110mm。排样图见图2。
3多工位成形工艺的数值模拟
3.1多工位级进模排样条料模型建立
对于切边、冲孔、落料等相关的工序，在Dynaform里没有实际的模拟过程［7］，故模拟从第4工步拉深开始。简化后工序最终确定为拉深－整形－冲孔－翻边－整形共5个工序。初始的毛坯条料形状设置为第3工序完成之后的形状，其5工位的排样如图3所示，毛坯材料为304不锈钢。为了得到的模拟结果，需将前一步模拟结果作为后一步工序的毛坯导入，图4所示为完成全工序模拟之后的条料排样图。
3.2有限元模型建立及数值模拟
从第4工位拉深开始建立有限元网格模型，如图5所示。根据工艺分析计算，将其主要工艺参数设置如下［8－10］:凸凹模间隙为1.1t，根据理论计算，拉深时压边力为26～35kN之间，取压边力为31kN，凹模、压边圈速度为3000mm•s－1，凹模行程为28mm，压边圈行程为25.5mm，压边圈行程滞后时间为0.00083s。第4工位的拉深模拟结果包括拉深极限图和厚度云图，如图6所示。由成形极限云图6a可以看到，拉深件所有单元的应变均在安全域以内，其拉深区域没有出现拉裂，在其边缘位置和侧壁上部分区域出现轻微的起皱现象。从厚度云图6b可以看出，拉深件的较大减薄区域为底部过渡圆角区，其最小厚度1.291mm，较大减薄率为14%。由于边缘区域要作落料切边处理，不影响零件质量，故只对零件侧壁处起皱区域采样，发现其较大厚度为1.548mm，较大增厚率为3.2%。对于板料拉深成形而言，一般认为变薄率在20%以内，增厚率在7%以内都是可行的［11］，所以该零件在拉深成形之后厚度分布合理。图7为第5工位的拉深整形模拟结果，可以看到经过整形之后侧壁的起皱现象已经基本消失。零件的较大减薄率保持不变，只是底部减薄的区域有所增大。图8和图9分别为翻边及整形工序模拟结果，由于零件翻边底部倒角处最小直径为Φ1.1mm，无法一步成形，故在翻边和整形工序时分别设置此处的凸凹模间隙为1.15和1.1mm，通过挤压方式使其变薄。从模拟结果，该厚度基本达到要求，翻边处没有出现破裂和起皱现象。通过对简化后的多工位级进模进行全工序模拟，其结果如图10a所示，由图可见，零件的成形区域没有出现拉裂现象，起皱情况在整形之后基本消除，模拟结果与实际级进冲压得到的条料(图10b)成形情况比较吻合。以上结果表明，该零件成形工艺方案和工艺参数的设置在实际的生产应用中是合理可行的。
4多工位成形工艺方案试验验证
根据上述有限元数值模拟得出的零件成形工艺方案和工艺参数，生产出汽车冷却器缓冲罩多工位级进模。从图11可以看出，模具主要成形部件采用镶块方式加工，闭合高度为540.5mm，送料高度为34.2mm，在3150kN的压力机上安装试模。图12所示为试模所获得汽车冷却器缓冲罩，可以看出零件的表面光滑，无起皱、破裂的现象发生。利用超声波仪器进行产品的厚度测量，并将其与模拟的结果进行比较，其结果见图13。考虑到产品的对称性，选取了中心截面右侧零件沿Z轴方向的厚度变化值进行比较。从图中可以看出，模拟值与实测值厚度变化趋势一致，实测值小于模拟值，其较大差值为0.043mm，较大相对误差为2.87%。实际零件底部1.1mm处最小厚度为1.091mm，满足产品在此处的厚度要求。目前，该级进模已用于生产实际，每年可生产150万件。
5结论
(1)分析汽车冷却器缓冲罩的结构及其冲压工艺特性，根据级进模设计原则，确定其拉深、整形、冲孔、翻边、落料等12工序的成形方案。(2)利用Dynaform软件对其主要工序拉深－整形－冲孔－翻边－整形进行全工序数值模拟，得到了每步成形工序的板料成形极限图(FLD)，零件壁厚分布图，模拟结果与零件成形要求一致。(3)按照模拟结果得出的成形工艺方案和工艺参数，设计模具并进行了汽车冷却器缓冲罩的试冲试验，数值模拟和试冲结果相吻合，表明利用DYNAFORM软件能为零件多工位成形工艺方案设计和工艺参数设置提供了有效的理论依据。
作者：蔡丹云 丁明明 单位：浙江水利水电学院
10 汽车设计论文:汽车座椅靠背注塑模具设计论文
图1为某汽车座椅靠背零件，该零件属于薄壁平板型塑料零件，外形尺寸为545mm×408mm×2.5mm，外侧(背面)要求光滑，而内侧的结构比较复杂，有五个定位卡槽和两处挂钩，这些地方都需要设计侧向抽芯，如图1所示。另外，为了加强靠背的强度，内侧还设计了网状加强筋。该零件的成型难度主要体现在以下两个方面：(1)零件属于大型薄壁平板类产品，如何控制其成型精度、防止翘曲变形是一大难度。从模具结构角度来看，浇口的数量及位置分布起着关键作用；从成型工艺的角度看，温度、速度以及注射压力是影响成型质量的关键因素。笔者利用Moldflow软件强大的模流分析功能模块[1–2]，对汽车座椅靠背模流过程进行了模拟分析，为模具设计和工艺优化提供指导。(2)在脱模过程中，有12处需要侧向抽芯，侧抽型数量多，空间位置小。
1工艺说明
零件的精度等级要求为MT4级，表面粗糙度符合使用要求。选材要求：抗弯能力强、疲劳强度较高、无毒无害，无辐射，流动性等成型性能好。根据这些要求，选择常用的工程塑料丙烯腈–丁二烯–苯乙烯(ABS)作为零件的材料。通过Pro／E软件对零件的三维造型，特性分析得到塑料件体积、件重[3]。单个塑料件总体积：V单=770.32cm3，单个塑料件的质量：m单=ρV单=1.06×770.32=816.54(g)。由于塑料件的外形尺寸较大，模具采用一模一腔设计，初步估算浇注系统体积为产品体积的8%，即：V浇=61.6cm3，因此，一个注射周期需要注射的塑料熔体体积为：V=V单+V浇=770.32+61.6=831.92(cm3)。
2模具设计
2．1总体结构设计
该塑料产品的尺寸较大，外侧表面要求光滑，因此设计一模一腔的模具结构，采用点浇口进浇，由于主流道末端不便于设置拉料杆，所以利用分流道板拉出主流道凝料。产品内侧需要设计多个侧向型芯，采用滑槽机构完成侧向抽型动作，推杆顶出。模具结构如图2所示。
2．2浇注系统设计
浇注系统是注塑模中从主流道始端到型腔入口之间的熔体进料通道。正确设计浇注系统对获得品质的塑料制品极为重要[4–5]。(1)主流道设计。主流道是连接注塑机的喷嘴与分流道的一段通道，由于与注塑机的喷嘴直接相连，因此将主流道与喷嘴设计在同一轴线上[6]。采用圆形截面，为了提高塑料熔体的流动状态，并且便于凝料的拔出，主流道设计成锥形，锥角α=4°，内表面光滑，经研磨后粗糙度Ra=0.4μm。为防止主流道与喷嘴处溢料，主流道的对接制成半球凹坑，凹球直径取19mm(选定注塑机XS–Z–1000的喷嘴球直径为18mm)。在设计时，选择A型浇口套，其具体尺寸如图3所示。614159174544°R9.5图3浇口套的相关尺寸(2)浇口设计。由于在该产品的内侧需要设计多个侧型芯，而且内侧还有网状加强筋，浇口不宜设置在内侧[7]，所以本设计将浇口放置在产品的外侧，但产品外侧要求光滑，因此，该模具采用点浇口，以减小浇口痕迹对产品外观的不良影响。该产品属于大型平板类零件，一个周期内的塑料注射量大，流程长，浇口的数量和位置分布非常重要，如果浇口设计不合理，极易造成充模不足或产品翘曲变形等缺陷。近年来，Moldflow软件在模具设计与成型工艺优化方面得到了较好的应用[8]，在实际生产中取得了良好的经济效益。笔者在设计时，利用Moldflow软件对塑料熔体的流动充模过程进行了模拟分析，如图4所示。图4a是在塑料件中心处设置一个浇口的情况，由于塑料件投影面积大，流程长，料流末端的拐角处容易出现短料(浇不透)现象；如采用两个浇口，充模情况得到明显改善，如图4b所示。(a)(b)a—一个浇口；b—两个浇口图4浇口数量和位置设计(3)分流道设计。虽然本模具是一模一腔结构，由于采用两个浇口，主流道到浇口之间需要分流，因此需要设计分流道。它是浇注系统中熔融状态的塑料由主流道流入型腔前，通过截面积的变化及流向变换以获得平稳流态的过渡段，应满足良好的压力传递和充填状态，并使流动过程中压力损失尽可能小些，能将熔体均匀地分配到各个型腔。该模具的主流道末端不便于设置拉料杆，笔者采用分流道板来拉出主流道凝料，同时在分流道的末端设计拉料杆，以便在脱模时拉断浇口。该模具中，分流道取圆形断面形状，直径为5mm，开设在分流道板上，如图5所示。
2．3脱模机构设计
模具中采用点浇口设计，需要双分型面分别脱出产品和浇注系统凝料，另外本产品属于薄壁平板型零件，分型面上的投影面积较大，塑料件平均厚度较小(2.5mm)，而且有7处需要长距离(32mm)侧抽芯机构，脱模顶出面不是简单平面，无法利用推板脱模，因此，采用推杆顶出。产品脱模时需要顶出的距离较小，利用Moldflow软件对顶出过程进行综合分析，选用56根Φ12×225mm的推杆以及8根Φ6×225mm的推杆。
3模具工作过程
该模具为三板模结构，设计两个分型面分别取出塑料件和浇注系统凝料，另外，在分流道板和定模座板之间设计了一个辅助分型面，用于拉出主流道凝料。开模过程中需要在分型机构的控制下实现依次顺序分型。首先，当注塑机带动动模座板23向右运动时，动模板15与定模板13之间的分型面I–I打开，同时，点浇口被拉断。当分型到设定距离后，拉环限位螺栓16开始工作，定模座板12与定模板13之间的分型面II–II打开，此时，由于拉料杆9的作用，浇注系统凝料将从定模板13内拉出(停留在定模座板一侧)。继续分型，分流道板拉杆5将开始工作，使分流道板10与定模座板之间的辅助分型面打开，从而将凝料从主流道中拉出，实现凝料的脱出。随后，注塑机顶杆带动推出装置向前移动，推杆将塑料产品从下模板中推出。
4结语
汽车座椅靠背零件外型尺寸较大，采用一模一腔的模具结构。由于零件属于大型薄壁平板类产品，容易发生翘曲变形，运用Moldflow软件对塑料熔体的填充过程进行模拟分析，确定浇口的数量和位置分布，采用两个点浇口进浇，并利用分流道板拉出凝料，实现了浇注系统凝料的自动脱模。经大批量生产验证，塑料件质量符合要求。
作者：吴晓 单位：武汉纺织大学机械工程与自动化学院
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请筛选出探讨汽车行业中“管理”相关议题的论文。先输出“[答案]”标识符，再按行输出满足条件的论文序号，不要输出任何其他内容。
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{"overall": 5.0, "verified": true, "reviewTime": "08 22, 2013", "reviewerID": "A34A1UP40713F8", "asin": "B00009W3I4", "style": {"Style:": " Dryer Vent"}, "reviewerName": "James. Backus", "reviewText": "I like this as a vent as well as something that will keep house warmer in winter. I sanded it and then painted it the same color as the house. Looks great.", "summary": "Great product", "unixReviewTime": 1377129600}
{"overall": 5.0, "verified": true, "reviewTime": "02 8, 2016", "reviewerID": "A1AHW6I678O6F2", "asin": "B00009W3PA", "style": {"Size:": " 6-Foot"}, "reviewerName": "kevin.", "reviewText": "good item", "summary": "Five Stars", "unixReviewTime": 1454889600}
{"overall": 5.0, "verified": true, "reviewTime": "08 5, 2015", "reviewerID": "A8R48NKTGCJDQ", "asin": "B00009W3PA", "style": {"Size:": " 6-Foot"}, "reviewerName": "CDBrannom", "reviewText": "Fit my new LG dryer perfectly.", "summary": "Five Stars", "unixReviewTime": 1438732800}
{"overall": 5.0, "verified": true, "reviewTime": "04 24, 2015", "reviewerID": "AR3OHHHW01A8E", "asin": "B00009W3PA", "style": {"Size:": " 6-Foot"}, "reviewerName": "Calvin E Reames", "reviewText": "Good value for electric dryers", "summary": "Perfect size", "unixReviewTime": 1429833600}
{"overall": 5.0, "verified": true, "reviewTime": "03 21, 2015", "reviewerID": "A2CIEGHZ7L1WWR", "asin": "B00009W3PA", "style": {"Size:": " 6-Foot"}, "reviewerName": "albert j. kong", "reviewText": "Price and delivery was excellent.", "summary": "Five Stars", "unixReviewTime": 1426896000}
{"overall": 5.0, "verified": true, "reviewTime": "12 26, 2013", "reviewerID": "A1RQQV9HYHDHDN", "asin": "B00009W3PA", "style": {"Size:": " 6-Foot"}, "reviewerName": "Adam Baer", "reviewText": "I purchasaed a new dryer and did not want to reuse the cord from my old unit. This unit installed in a pretty straight forward manor. Quality was as expected. No Complaints", "summary": "Easy install", "unixReviewTime": 1388016000}
{"overall": 4.0, "verified": true, "reviewTime": "08 2, 2016", "reviewerID": "A1OB2H416ARLFJ", "asin": "B0009GVYNW", "reviewerName": "Commando Big", "reviewText": "Good value.", "summary": "Good value for the price.", "unixReviewTime": 1470096000}
{"overall": 2.0, "verified": false, "reviewTime": "07 6, 2017", "reviewerID": "A3LGZ8M29PBNGG", "asin": "B000N6302Q", "style": {"Color:": " Blue"}, "reviewerName": "nerenttt", "reviewText": "works great. we loved ours! till we didn't. these do not last so buy the warranty as you WILL NEED IT.", "summary": "the five star posts are from new owners, the rest from disgruntle owners 6 months in with broken icemaker!", "unixReviewTime": 1499299200}
{"overall": 2.0, "verified": false, "reviewTime": "07 6, 2017", "reviewerID": "A3LGZ8M29PBNGG", "asin": "B000N6302Q", "style": {"Color:": " Stainless Steel"}, "reviewerName": "nerenttt", "reviewText": "Luved it for the few months it worked! great little bullet shaped ice cubes. It was a gift for my sister who never opened the box. The next summer during a heat wave I asked for my unused gift back, ha!, and was in heaven for a few months. the next summer after a few weeks the unit gave out.called new air and it was over the one year mark so no warranty. so my advice is do not buy without extended warranty!", "summary": "my advice is do not buy without extended warranty!", "unixReviewTime": 1499299200}
{"overall": 1.0, "verified": false, "reviewTime": "11 14, 2014", "reviewerID": "A3SM7H70QI3TY8", "asin": "B000N6302Q", "reviewerName": "SRH", "reviewText": "Be careful, NewAir will not stand by their products. Our NewAir broke within the first 4 hours of use. The manufacturer will NOT cover the item under warranty. Just in case you're actually thinking of buying a NewAir product... think twice...\n\nFrom: NewAir Sales <[email protected]>\nDate: Fri, Nov 14, 2014 at 11:03 AM\nSubject: Re: Icemaker return\nTo: Susan Ferguson <[email protected]>\n\nHi Susan,\n\nThe manufacturer warranty is void if the unit is purchased by a private seller who does not have our consent to sell our products. This is the same reason why we ask for a copy of your receipt upon requesting warranty claims because if it not from a valid authorized dealer we will not proceed with warranty work. We also list our authorized dealers on our web site for customer use. We stand behind our products, however when an item is purchased from a private seller the purchaser runs the risk of the item being used, open box, refurbished, and or a scratch and dent. Our one year limited manufacturer's warranty is only valid on new items sold by our authorized online dealers. It is unfortunate to see that you are in this situation, however you will need to contact the seller of the item for a replacement or refund.\n\nHave a great day!\n\nMireya\nCustomer Support\nNewAir | 3419 East Chapman Ave. #190 | Orange, CA 92869\nPh: 855-963-9247 Em: [email protected]\nFB: facebook.com/NewAirUSA Twitter: @NewAirUSA\nPinterest: pinterest.com/NewAirUSA Instagram: NewAirUSA\nWeb: [...]\n\"Made by awesome\"\n\nOn Thu, Nov 13, 2014 at 7:59 PM, Susan Ferguson <[email protected]> wrote:\nHello Mireya-\n\nI'm sorry but I thought the manufacturer warranty was for the manufacturer, NewAir. Please explain why the warranty is not valid in this case. I don't see anywhere in the warranty exclusions that the warranty is not valid if not purchased from an authorized dealer. In addition, a consumer would never know who \"authorized dealers\" are because if a company is selling your product doesn't that implicitly make them authorized to do so?\n\nI sincerely hope that NewAir will reconsider this position and stand by the integrity of their products. This ice machine was literally used for four hours before failing and it is, quite frankly egregious that your company is negating a warranty that explicitly states it will repair or replace defective materials or workmanship for up to one year.\n\nPlease let me know how I can talk to a dispute department regarding this matter. I look forward to your response and I will refrain from giving any reviews of your product until this matter is resolved.\n\nThank you,\nSusan Ferguson\n\nOn Thu, Nov 13, 2014 at 3:10 PM, NewAir Sales <[email protected]> wrote:\nHi Susan,\n\nUnfortunately, the ice maker was not purchased from an authorized dealer. You will need to contact the seller \"Mehadrin\" through Amazon for any existing issues on your unit.\n\nHave a great day!\n\nMireya\nCustomer Support\nNewAir | 3419 East Chapman Ave. #190 | Orange, CA 92869\nPh: 855-963-9247 Em: [email protected]\nFB: facebook.com/NewAirUSA Twitter: @NewAirUSA\nPinterest: pinterest.com/NewAirUSA Instagram: NewAirUSA\nWeb: [...]\n\"Made by awesome\"\n\nOn Thu, Nov 13, 2014 at 12:32 PM, Susan Ferguson <[email protected]> wrote:\nHello- I received an AI-100S icemaker in March 2014. I used it one time and within 4 hours the cooling unit had shut down. My best estimate is that the pump was still working (the water was getting pumped through) but the cooling mechanism was not. When I plugged the unit back in to try it a few hours later, the cooling mechanism never turned on.\n\nSince this product is still under warranty, I am hoping to acquire a new unit since this particular one has essentially never been used and is obviously faulty in some capacity.\n\nI have attached the receipt for your reference. It was purchased as a gift through Amazon Marketplace. Thanks so much and I look forward to your response.\n\nSusan Ferguson", "summary": "NewAir will not stand behind their products - company emails included", "unixReviewTime": 1415923200}
{"overall": 1.0, "verified": false, "reviewTime": "11 14, 2014", "reviewerID": "A3SM7H70QI3TY8", "asin": "B000N6302Q", "style": {"Color:": " Orange"}, "reviewerName": "SRH", "reviewText": "We would give less than 1 star if possible DONT BUY THIS PRODUCT. The ice machine stopped working four hours after we used it the first time. We notified New Air and they stated they would not honor their one year warranty because \"an authorized dealer didn't sell\". We bought this product on Amazon and never even thought we would have to cross check our purchase with the manufacturer. NewAir does not stand by their products and they will use any method to get out of honoring their warranty. I have a $200 piece of junk now, I will NEVER buy another NewAir product again.", "summary": "WHAT A PIECE OF JUNK, NewAir doesn't stand by their products!", "unixReviewTime": 1415923200}
{"overall": 1.0, "vote": "3", "verified": false, "reviewTime": "11 14, 2014", "reviewerID": "A3SM7H70QI3TY8", "asin": "B000N6302Q", "style": {"Color:": " Stainless Steel"}, "reviewerName": "SRH", "reviewText": "Be careful, NewAir will not stand by their products. Our NewAir broke within the first 4 hours of use. The manufacturer will NOT cover the item under warranty. Just in case you're actually thinking of buying a NewAir product... think twice...\n\nFrom: NewAir Sales <[email protected]>\nDate: Fri, Nov 14, 2014 at 11:03 AM\nSubject: Re: Icemaker return\nTo: Susan Ferguson <[email protected]>\n\nHi Susan,\n\nThe manufacturer warranty is void if the unit is purchased by a private seller who does not have our consent to sell our products. This is the same reason why we ask for a copy of your receipt upon requesting warranty claims because if it not from a valid authorized dealer we will not proceed with warranty work. We also list our authorized dealers on our web site for customer use. We stand behind our products, however when an item is purchased from a private seller the purchaser runs the risk of the item being used, open box, refurbished, and or a scratch and dent. Our one year limited manufacturer's warranty is only valid on new items sold by our authorized online dealers. It is unfortunate to see that you are in this situation, however you will need to contact the seller of the item for a replacement or refund.\n\nHave a great day!\n\nMireya\nCustomer Support\nNewAir | 3419 East Chapman Ave. #190 | Orange, CA 92869\nPh: 855-963-9247 Em: [email protected]\nFB: facebook.com/NewAirUSA Twitter: @NewAirUSA\nPinterest: pinterest.com/NewAirUSA Instagram: NewAirUSA\nWeb: [...]\n\"Made by awesome\"\n\nOn Thu, Nov 13, 2014 at 7:59 PM, Susan Ferguson <[email protected]> wrote:\nHello Mireya-\n\nI'm sorry but I thought the manufacturer warranty was for the manufacturer, NewAir. Please explain why the warranty is not valid in this case. I don't see anywhere in the warranty exclusions that the warranty is not valid if not purchased from an authorized dealer. In addition, a consumer would never know who \"authorized dealers\" are because if a company is selling your product doesn't that implicitly make them authorized to do so?\n\nI sincerely hope that NewAir will reconsider this position and stand by the integrity of their products. This ice machine was literally used for four hours before failing and it is, quite frankly egregious that your company is negating a warranty that explicitly states it will repair or replace defective materials or workmanship for up to one year.\n\nPlease let me know how I can talk to a dispute department regarding this matter. I look forward to your response and I will refrain from giving any reviews of your product until this matter is resolved.\n\nThank you,\nSusan Ferguson\n\nOn Thu, Nov 13, 2014 at 3:10 PM, NewAir Sales <[email protected]> wrote:\nHi Susan,\n\nUnfortunately, the ice maker was not purchased from an authorized dealer. You will need to contact the seller \"Mehadrin\" through Amazon for any existing issues on your unit.\n\nHave a great day!\n\nMireya\nCustomer Support\nNewAir | 3419 East Chapman Ave. #190 | Orange, CA 92869\nPh: 855-963-9247 Em: [email protected]\nFB: facebook.com/NewAirUSA Twitter: @NewAirUSA\nPinterest: pinterest.com/NewAirUSA Instagram: NewAirUSA\nWeb: [...]\n\"Made by awesome\"\n\nOn Thu, Nov 13, 2014 at 12:32 PM, Susan Ferguson <[email protected]> wrote:\nHello- I received an AI-100S icemaker in March 2014. I used it one time and within 4 hours the cooling unit had shut down. My best estimate is that the pump was still working (the water was getting pumped through) but the cooling mechanism was not. When I plugged the unit back in to try it a few hours later, the cooling mechanism never turned on.\n\nSince this product is still under warranty, I am hoping to acquire a new unit since this particular one has essentially never been used and is obviously faulty in some capacity.\n\nI have attached the receipt for your reference. It was purchased as a gift through Amazon Marketplace. Thanks so much and I look forward to your response.\n\nSusan Ferguson", "summary": "NewAir will not stand behind their products - company emails included", "unixReviewTime": 1415923200}
{"overall": 1.0, "verified": false, "reviewTime": "11 14, 2014", "reviewerID": "A3SM7H70QI3TY8", "asin": "B000N6302Q", "style": {"Color:": " Blue"}, "reviewerName": "SRH", "reviewText": "We would give less than 1 star if possible DONT BUY THIS PRODUCT. The ice machine stopped working four hours after we used it the first time. We notified New Air and they stated they would not honor their one year warranty because \"an authorized dealer didn't sell\". We bought this product on Amazon and never even thought we would have to cross check our purchase with the manufacturer. NewAir does not stand by their products and they will use any method to get out of honoring their warranty. I have a $200 piece of junk now, I will NEVER buy another NewAir product again.", "summary": "WHAT A PIECE OF JUNK! NewAir doesn't stand by their products!", "unixReviewTime": 1415923200}
{"overall": 1.0, "verified": false, "reviewTime": "11 14, 2014", "reviewerID": "A3SM7H70QI3TY8", "asin": "B000N6302Q", "style": {"Color:": " Silver"}, "reviewerName": "SRH", "reviewText": "We would give less than 1 star if possible DONT BUY THIS PRODUCT. The ice machine stopped working four hours after we used it the first time. We notified New Air and they stated they would not honor their one year warranty because \"an authorized dealer didn't sell\". We bought this product on Amazon and never even thought we would have to cross check our purchase with the manufacturer. NewAir does not stand by their products and they will use any method to get out of honoring their warranty. I have a $200 piece of junk now, I will NEVER buy another NewAir product again.", "summary": "PIECE OF JUNK and NewAir doesn't stand by their products.", "unixReviewTime": 1415923200}
{"overall": 5.0, "verified": true, "reviewTime": "04 30, 2016", "reviewerID": "A3GP2HMB2AFOKF", "asin": "B000NCTOUM", "reviewerName": "Juan", "reviewText": "Great product", "summary": "Five Stars", "unixReviewTime": 1461974400}
{"overall": 5.0, "verified": true, "reviewTime": "11 11, 2015", "reviewerID": "AR3OHHHW01A8E", "asin": "B000NCTOUM", "reviewerName": "Calvin E Reames", "reviewText": "Did the job for fixing our Maytag dryer", "summary": "Works on a Maytag also", "unixReviewTime": 1447200000}
{"overall": 2.0, "verified": true, "reviewTime": "08 24, 2015", "reviewerID": "AJPRN1TD1A0SD", "asin": "B000NCTOUM", "reviewerName": "transporter", "reviewText": "cheap", "summary": "Two Stars", "unixReviewTime": 1440374400}
{"overall": 5.0, "verified": true, "reviewTime": "01 7, 2015", "reviewerID": "A1AJW9DILZFTQI", "asin": "B000NCTOUM", "reviewerName": "Riteway Appliance", "reviewText": "Great deal and fast shipping!", "summary": "Five Stars", "unixReviewTime": 1420588800}
{"overall": 5.0, "verified": true, "reviewTime": "12 3, 2014", "reviewerID": "A11SCLK8GDDN3C", "asin": "B000NCTOUM", "reviewerName": "mrclobhead", "reviewText": "All was fine, product was as advertised.", "summary": "Five Stars", "unixReviewTime": 1417564800}
{"overall": 5.0, "verified": true, "reviewTime": "11 21, 2014", "reviewerID": "A1LN48DHHCKLR3", "asin": "B000NCTOUM", "reviewerName": "Ernest Danel", "reviewText": "received ok", "summary": "Five Stars", "unixReviewTime": 1416528000}
{"overall": 4.0, "verified": true, "reviewTime": "08 30, 2014", "reviewerID": "A34A1UP40713F8", "asin": "B000NCTOUM", "reviewerName": "James. Backus", "reviewText": "A spare thermofuse. Two years ago my dryer spun but there was no heat. I got a service tech undid the back and changed it in seconds. So I decided for the price I ordered a spare just in case.", "summary": "A spare thermofuse. Two years ago my dryer spun ...", "unixReviewTime": 1409356800}
{"overall": 5.0, "vote": "7", "verified": true, "reviewTime": "12 6, 2012", "reviewerID": "A3NHUQ33CFH3VM", "asin": "B000VLI74Y", "style": {"Size:": " 1"}, "reviewerName": "Greeny", "reviewText": "Since the motor on my humidifier still works, all I had to do was run vinegar through it twice and replace the filter. It's operating good as new, at least until it doesn't.\n\nThe filter is important as it reduces the really fine white dust just as advertised. There's no way to look at the old used filter to know it should be replaced, but there's no way one of these can be used for two seasons.", "summary": "Helping get another season out of humidifier", "unixReviewTime": 1354752000}
{"overall": 2.0, "vote": "2", "verified": false, "reviewTime": "08 5, 2011", "reviewerID": "A3LGZ8M29PBNGG", "asin": "B000W3P4AQ", "reviewerName": "nerenttt", "reviewText": "i cook only once in a blue moon. i was shocked to see with as little use as this range has had that the grates look like they were under heavy use for years!!! i called Jenn air and spoke with Adam A. and they wouldn't exchange them or fix them. they only offered my 25% off ( which was the same price anyway from the internet). i can't really compare much else on the range since i haven't used it much and i am not much of a cook! the stainless steel does tend to rust and stain. i got a stainless steel fridge and dishwasher at the same time by other brands and those seem to not have the same stainless steel issues.", "summary": "grate scratches so easily", "unixReviewTime": 1312502400}
{"overall": 4.0, "verified": true, "reviewTime": "04 9, 2017", "reviewerID": "A1T1YSCDW0PD25", "asin": "B000XTJRRA", "reviewerName": "Lantana Al", "reviewText": "I like this unit but am deducting one star because of the limited viewing angles. When you view from the sides or from the top or bottom, the display becomes much more difficult to read. It's not nearly as clear as the product photos. The display is also rather glossy to you wouldn't want it reflecting something bright, like a window.", "summary": "Good product but limited viewing angles", "unixReviewTime": 1491696000}
{"overall": 5.0, "verified": false, "reviewTime": "10 10, 2014", "reviewerID": "A26M3TN8QICJ3K", "asin": "B000XXWOGW", "reviewerName": "Marty Baker", "reviewText": "Great. Just what I needed.", "summary": "Five Stars", "unixReviewTime": 1412899200}
{"overall": 3.0, "verified": true, "reviewTime": "08 29, 2014", "reviewerID": "A1H2V1GNEY4LZ0", "asin": "B000XXWOGW", "reviewerName": "Handyman", "reviewText": "The connect did not match up where I had to modidify it to work.", "summary": "Good delivery for the price.", "unixReviewTime": 1409270400}
{"overall": 5.0, "verified": true, "reviewTime": "12 26, 2013", "reviewerID": "A1EUO0BU72JR7T", "asin": "B000XXWOGW", "reviewerName": "Bilbo", "reviewText": "Consider the wisdom of spending a lot of money on replacement parts for a 10+ year old washer that you originally bought for $400. This is one of the cheaper parts so I could see getting this one (and maybe the agitator dogs and motor couplings). If you're having problems with your motor/clutch/timer or other electrical part, you might want to think about getting another top loader like an Amana before they stop carrying them in stores in about a year or so...", "summary": "Works well as a replacement, if that's what you want to do...", "unixReviewTime": 1388016000}
{"overall": 1.0, "verified": true, "reviewTime": "11 2, 2013", "reviewerID": "A2HDUVKXR5CM7H", "asin": "B000XXWOGW", "reviewerName": "MIKE", "reviewText": "see original remarks, made the mistake of buying it again from same dealer same problems different machine. Save your money !!", "summary": "garbage", "unixReviewTime": 1383350400}
{"overall": 3.0, "verified": true, "reviewTime": "09 17, 2015", "reviewerID": "A1HWFUO5PKB2RW", "asin": "B000XXYUSM", "reviewerName": "Greg bernal", "reviewText": "they ok parts", "summary": "Three Stars", "unixReviewTime": 1442448000}
{"overall": 5.0, "verified": true, "reviewTime": "11 21, 2014", "reviewerID": "A1LN48DHHCKLR3", "asin": "B000XXYUSM", "reviewerName": "Ernest Danel", "reviewText": "received ok", "summary": "Five Stars", "unixReviewTime": 1416528000}
{"overall": 5.0, "verified": true, "reviewTime": "11 1, 2015", "reviewerID": "A1RQQV9HYHDHDN", "asin": "B00126NABC", "reviewerName": "Adam Baer", "reviewText": "Worked as expected, quality GE product. Water tastes good. Would recommend and will buy again.", "summary": "Easy install", "unixReviewTime": 1446336000}
{"overall": 3.0, "vote": "5", "verified": true, "reviewTime": "09 25, 2011", "reviewerID": "A3NHUQ33CFH3VM", "asin": "B00126NABC", "reviewerName": "Greeny", "reviewText": "This is one of the more effective water filters I've used. It states 300 gallon service capacity. At least I've used them for over that amount without issue.\n\nWhen you change filters, the flow acts funny for about the first half gallon - that's normal. Some filters produce cloudy-looking water for the first gallon, but this one doesn't. I've had no issues with these filters.\n\nThis is by far the simplest, most secure and easiest filter to install that I've experienced. Also, I didn't find a better deal anywhere else including the manufacturer's site. They try to sell these single by single, but sometimes in a pack of three.\n\nIt's just another filter to keep buying at its hefty price. But its easy to install.", "summary": "Better deal than on manufacturer's site. Does not last long", "unixReviewTime": 1316908800}
{"overall": 4.0, "verified": true, "reviewTime": "09 12, 2011", "reviewerID": "A26Y776G7VVBCQ", "asin": "B00126NABC", "reviewerName": "JPM", "reviewText": "Works great. Best price I could find on the internest. Shipped quickly with no problems. Will buy this again in 8 months when I need another one.", "summary": "Perfect Fit and OEM part", "unixReviewTime": 1315785600}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/418i+RDczcL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/51VvC6xqLKL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/41lsJSgwysL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/412IrI4ha8L._SY88.jpg"], "overall": 5.0, "vote": "11", "verified": true, "reviewTime": "09 16, 2008", "reviewerID": "A1T1YSCDW0PD25", "asin": "B0013DN4NI", "reviewerName": "Lantana Al", "reviewText": "This is a great little tool. I use to use a bigger Dewalt unit, which was nice, but bigger and heavier than needed. The Hitachi should be able to do 99% of what I did with my Dewalt. I was also impressed with how fast the batteries charge (40 minutes). The build quality seems excellent. It comes with some bits (see photo I uploaded), two batteries, charger, and a plastic case. The LED lights are a plus.\n\nNote though, that this doesn't have two \"speeds\" like my older Dewalt does, having a driving speed and a drilling speed. This Hitachi may be a bit slow for drilling.", "summary": "Great little power tool", "unixReviewTime": 1221523200}
{"overall": 2.0, "vote": "3", "verified": false, "reviewTime": "08 5, 2011", "reviewerID": "A3LGZ8M29PBNGG", "asin": "B00147DFQ4", "reviewerName": "nerenttt", "reviewText": "i cook only once in a blue moon. i was shocked to see with as little use as this range has had that the grates look like they were under heavy use for years!!! i called Jenn air and spoke with Adam A. and they wouldn't exchange them or fix them. they only offered my 25% off ( which was the same price anyway from the internet). i can't really compare much else on the range since i haven't used it much and i am not much of a cook! the stainless steel does tend to rust and stain. i got a stainless steel fridge and dishwasher at the same time by other brands and those seem to not have the same stainless steel issues.", "summary": "grate scratches so easily- looks old almost instantly", "unixReviewTime": 1312502400}
{"overall": 4.0, "verified": true, "reviewTime": "06 6, 2013", "reviewerID": "A1OB2H416ARLFJ", "asin": "B00149JVOC", "reviewerName": "Commando Big", "reviewText": "I only use the namebrand filters. I believe that you get what you pay for and I have used these filters for years. They suit my needs.", "summary": "ONLY One I use", "unixReviewTime": 1370476800}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/71FdVLhvIUL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/71yNPgGXDkL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/61OxcmqxfVL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81Ylf72q37L._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/8170szImlpL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81hEavgT8ZL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81sf3DhBszL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/718a8mt10BL._SY88.jpg"], "overall": 4.0, "vote": "4", "verified": true, "reviewTime": "01 15, 2018", "reviewerID": "A1WD61B0C3KQZB", "asin": "B0014CN8Y8", "reviewerName": "Jason W.", "reviewText": "Great product but they need to include more rods in the kit. I had to buy a second set of rods and that still wasn't enough so Ill end up spending $60+ dollars on this kit which isn't terrible if you factor what you would get charged out in town, but still, its plastic rods with a brush attached....thats overpriced for something so simple.\n\nSo enough of me complaining about it being overpriced and get to the review. It works GREAT if you aren't an idiot and use common sense when using it.\n\n1. Always CLOCKWISE..... again always CLOCKWISE, I cant be anymore clear about this.\n2. Use electrical tape or duct tape as a backup in case you screw up on number 1 above. Its a good safety measure so just do it, it only takes a few seconds per rod to wrap in tape.\n3. Feed one rod at a time, taping each one as you go.\n4. Dont force the rods if you get resistance with the drill attached. If you get resistance, remove the drill from the rod and using your hands wiggle/shift the rods until you get past the resistance and then reconnect the drill and continue. Most likely if you reach resistance is likely one of two things. (1) You have a large bend in your duct or (2) you have a lot of blockage. If its number 2, start pulling the rod out (with or without the drill attached (if the drill remains attached, remember to always spin CLOCKWISE) as youve probably hit a patch of lint clogged heavily in one area. Pulling the rod out will likely pull a large portion of lint youve broken loose out with the rod and brush attachment so vacuum it up or blow it out if you have a leaf blower and then start again (I didn't disconnect rods during this step but I did take my time to hand feed the rod and brush back in to ensure I didn't damage the rods).\n5. Once youve reached the end of your vent, start pulling your rods out the same way you went in (CLOCKWISE) so that you catch any debris you might have missed on the initial cleaning. I pushed the brush through 2-3 times in total from different sides of the vent since I was short a few rods and used the leaf blower 4-6 times in between to ensure I was pushing any lint to the exterior of the house (never blow the leaf blower into the house, only blow to the outside of the house unless you want a HUGE mess in your house.\n6. Lastly, Id recommend using a face mask/respirator mask as this stuff is messy and you don't know whats growing in it. I had some cheap carpentry mask but will use a better version next time I clean it as its not fun to breath in.", "summary": "Works Great, Just Use Common Sense When Doing It!!!", "unixReviewTime": 1515974400}
{"overall": 5.0, "vote": "309", "verified": true, "reviewTime": "02 25, 2017", "reviewerID": "A8WEXFRWX1ZHH", "asin": "B0014CN8Y8", "reviewerName": "Goldengate", "reviewText": "I bought this last October and finally got around to cleaning our 15-foot dryer duct run. It's just not the type of thing that's at the top of your list... like \"Wow, should I go see a movie, or clean our dryer duct?\" However, our dryer was drying slower and slower, and I knew it was a task that I needed to tackle, so I read the very long instruction book for this and began my work. The instructions really need to be re-written and simplified. My Sony TV has a smaller instruction manual. But I do appreciate the manufacturer's thoroughness. For those of you with short attention spans here's my quick start guide:\n\n1. Screw the rods together and use electrical or duct tape to reinforce the joints to keep them from unscrewing during your work.\n2. Stick one end of rod in your drill and set the clutch pretty close to the lowest or second lowest setting, then increase power if you need it.\n3. Attached brush to other end of rod with supplied key wrench / allen wrench and tighten.\n4. Make sure your drill is on clockwise - not reverse - mode or else the rods will unscrew inside your duct and you're screwed.\n5. Read #4 again.\n6. Turn dryer on air mode and then insert the brush in the pipe outside and begin spinning it by activating the drill. Push it in about a foot, then pull it out and watch the lint fly. Then push it in 2 feet and pull it out and watch the lint fly. Then 3 feet... etc.\n7. Marvel at how much lint came out.\n8. Marvel at how fast your dryer is and come write a review here.\n9. Wash the clothes you were wearing when you did this because they are now covered in lint.\n\nHope this helps. It's a quick job and well worth it the trouble!", "summary": "A great device that has my dryer working well again. Simple instructions here.", "unixReviewTime": 1487980800}
All Beauty Comments：
{"overall": 5.0, "verified": true, "reviewTime": "09 1, 2016", "reviewerID": "A3CIUOJXQ5VDQ2", "asin": "B0000530HU", "style": {"Size:": " 7.0 oz", "Flavor:": " Classic Ice Blue"}, "reviewerName": "Shelly F", "reviewText": "As advertised. Reasonably priced", "summary": "Five Stars", "unixReviewTime": 1472688000}
{"overall": 5.0, "verified": true, "reviewTime": "11 14, 2013", "reviewerID": "A3H7T87S984REU", "asin": "B0000530HU", "style": {"Size:": " 7.0 oz", "Flavor:": " Classic Ice Blue"}, "reviewerName": "houserules18", "reviewText": "Like the oder and the feel when I put it on my face. I have tried other brands but the reviews from people I know they prefer the oder of this brand. Not hard on the face when dry. Does not leave dry skin.", "summary": "Good for the face", "unixReviewTime": 1384387200}
{"overall": 1.0, "verified": true, "reviewTime": "08 18, 2013", "reviewerID": "A3J034YH7UG4KT", "asin": "B0000530HU", "style": {"Size:": " 7.0 oz", "Flavor:": " Classic Ice Blue"}, "reviewerName": "Adam", "reviewText": "I bought this to smell nice after I shave. When I put it on I smelled awful. I am 19 and I smelled like a grandmother with too much perfume.", "summary": "Smells awful", "unixReviewTime": 1376784000}
{"overall": 5.0, "vote": "25", "verified": false, "reviewTime": "05 3, 2011", "reviewerID": "A2UEO5XR3598GI", "asin": "B0000530HU", "style": {"Size:": " 7.0 oz", "Flavor:": " Classic Ice Blue"}, "reviewerName": "Rich K", "reviewText": "HEY!! I am an Aqua Velva Man and absolutely love this stuff, been using it for over 50 years. This is a true after shave lotion classic. Not quite sure how many women that have been attracted to me because of Aqua Velva, I do know for sure that it's just to many to count. Ha. Not sure how long this has been around but the Williams Company ran a paper advertisement, taken from a 1949 magazine, which features Ralph Bellamy of Detective Story and Ezio Pinza of South Pacific for Aqua Velva After Shave Lotion. I'm sure you all remember Ralph Bellamy and Ezio Pinza from the 40's right.\n\nThere slogan was \" There is nothing like an AQUA VELVA MAN \" and it seemed to work because this was a hot item when I was a young man. It's just amazing that this is still around when the vast majority of after shave lotions from that time period have disappeared over the years.\n\nThe only negative about Aqua Velva is it does not last very long. Usually in less than an hour the aroma has dissipated. The more expensive after shave lotions and perfumes have Ambergris in them which is quite expensive and comes from a sperm whale this enables the aroma to linger much longer.\n\nAt any rate this is a great classic after shave with a wonderful refreshing odor, give it a try you might just like it.\n\nNote :::; Some reviewers mention this 7oz size now comes in a plastic container, I just bought one in Wal-Mart and it was glass.", "summary": "Truth is There IS Nothing Like an AQUA VELVA MAN.", "unixReviewTime": 1304380800}
{"overall": 5.0, "vote": "3", "verified": true, "reviewTime": "05 6, 2011", "reviewerID": "A3SFRT223XXWF7", "asin": "B00006L9LC", "style": {"Size:": " 200ml/6.7oz"}, "reviewerName": "C. C. Christian", "reviewText": "If you ever want to feel pampered by a shampoo this one is the one. It smells like a wonderful perfume and cleans your hair until it shines plus adding a fullness that most other shampoo's don't give you. It is expensive, but worth it!", "summary": "Bvlgari Shampoo", "unixReviewTime": 1304640000}
{"overall": 5.0, "verified": false, "reviewTime": "05 16, 2010", "reviewerID": "A24HQ2N7332W7W", "asin": "B00006L9LC", "style": {"Size:": " 366"}, "reviewerName": "Kindle Customer Joyce Wilson", "reviewText": "If you know the scent of Diva, you'll LOVE this body cream....everyone says \"who smells so good in here!\"", "summary": "Diva is Heavenly", "unixReviewTime": 1273968000}
{"overall": 5.0, "verified": false, "reviewTime": "05 7, 2018", "reviewerID": "A2G90R2ZU6KU5D", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Mike", "reviewText": "Got this shampoo as a solution for my wife's dandruff problem. It worked! She got rid of any dandruff signs after 3-4 uses. As long as she is happy, I am happy too!", "summary": "Outstanding, no complains", "unixReviewTime": 1525651200}
{"overall": 2.0, "verified": true, "reviewTime": "05 7, 2018", "reviewerID": "A24W4W9E62FZP2", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Reb", "reviewText": "No change my scalp still itches like crazy. It doesnt lather at all so its very hard to move around the hair and scalp. It does smell good and my hair feels clean.", "summary": "No change my scalp still itches like crazy. It doesnt lather at all so its ...", "unixReviewTime": 1525651200}
{"overall": 1.0, "verified": true, "reviewTime": "05 6, 2018", "reviewerID": "A7ID5H7FWLJHC", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "U. V.", "reviewText": "Too expensive for such poor quality. There was no improvement and I am starting to think my scalp is worse off than it was before I started using this product. I do agree with other reviews that it feels watered down too much. Had to use more shampoo than all other shampoo's I have tried to get a good lather.", "summary": "Too expensive for such poor quality. There was no improvement and I am ...", "unixReviewTime": 1525564800}
{"overall": 1.0, "verified": true, "reviewTime": "05 6, 2018", "reviewerID": "AYKOSAJTP5AVS", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Senthil Kumar M", "reviewText": "It dries my hair, doesnt help to reduce dandruff. I have to use very less shampoo nevertheless it dries.. don't know how this got higher ratings", "summary": "Dries my hair, doesnt help to reduce dandruff. ...", "unixReviewTime": 1525564800}
{"overall": 5.0, "verified": false, "reviewTime": "05 6, 2018", "reviewerID": "A3HIEBXDI9EQA6", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "john robbins", "reviewText": "Outstanding! Top organic shampoo!", "summary": "Five Stars", "unixReviewTime": 1525564800}
{"overall": 1.0, "verified": true, "reviewTime": "05 5, 2018", "reviewerID": "A2YDF506DAA5W4", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "justdancing", "reviewText": "So watered down, I didn't feel like it was actually shampoo. I tried twice then threw it away.", "summary": "I didn't feel like it was actually shampoo", "unixReviewTime": 1525478400}
{"overall": 5.0, "verified": false, "reviewTime": "05 5, 2018", "reviewerID": "AKFUG2XFPPWWM", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Donovan", "reviewText": "10 stars right here. This product helped me with my itchy skin and my sister's greasy hair complain.", "summary": "Five Stars", "unixReviewTime": 1525478400}
{"overall": 5.0, "verified": false, "reviewTime": "05 5, 2018", "reviewerID": "A1T7DRMZ9A9KEA", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Robert Roehlk", "reviewText": "First hair care product I've decided to purchase online. Worth it for sure. No more struggle with getting rid of my dandruff problem. I use it about once per 2-3 days and it is more than enough to keep my hair and head skin healthy.", "summary": "First hair care product I've decided to purchase online. ...", "unixReviewTime": 1525478400}
{"overall": 1.0, "verified": true, "reviewTime": "05 3, 2018", "reviewerID": "AEL1DK2OJ41ZZ", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Amazon Customer", "reviewText": "Made dandruff worse and irritated rest of skin", "summary": "One Star", "unixReviewTime": 1525305600}
{"overall": 1.0, "verified": true, "reviewTime": "04 30, 2018", "reviewerID": "A2UM2UI2KVHG64", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Lorie B.", "reviewText": "Worst shampoo Ive ever used. Was mostly water. I could not get a good lather. Hair never felt clean after use. I cannot understand why so many good reviews. Will not buy again!", "summary": "Worst shampoo Ive ever used", "unixReviewTime": 1525046400}
{"overall": 1.0, "verified": true, "reviewTime": "04 28, 2018", "reviewerID": "ADUKTDKBY4CNP", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Andelika", "reviewText": "Made my hair brittle and dull looking, didn't do anything for the itch or dandruff.", "summary": "Disappointment...", "unixReviewTime": 1524873600}
{"overall": 5.0, "verified": true, "reviewTime": "04 28, 2018", "reviewerID": "ADW00ZRLWD3KG", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Walaa", "reviewText": "I received the shampoo because I was suffering from dandruff and I was like ok lets try it and I couldn't believe the result from only just one wash. it cleared out the dandruff without drying my hair out. My hair felt smooth and Fresh after just the first wash. I tried aveda spray before but it was useless and waste of money", "summary": "... because I was suffering from dandruff and I was like ok lets try it and I couldn't believe the ...", "unixReviewTime": 1524873600}
{"overall": 5.0, "verified": true, "reviewTime": "04 25, 2018", "reviewerID": "A1118RD3AJD5KH", "asin": "B00006L9LC", "style": {"Size:": " 511"}, "reviewerName": "DL", "reviewText": "works great", "summary": "Five Stars", "unixReviewTime": 1524614400}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/71BMgGEkDjL._SY88.jpg"], "overall": 5.0, "vote": "5", "verified": true, "reviewTime": "04 23, 2018", "reviewerID": "AX0ZEGHH0H525", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Aida A", "reviewText": "Suffered from itchiness under my hair for couple of years. This product cured the itchiness completely. I took some 4-5 drops of it and then massaged my wet head for a minute approximately. After 2 uses noticed a considerable difference. It definitely gets the job done!", "summary": "Scalp-healing", "unixReviewTime": 1524441600}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/71HmQNqvSrL._SY88.jpg"], "overall": 5.0, "vote": "4", "verified": true, "reviewTime": "04 22, 2018", "reviewerID": "A1L0QECT7J93ZP", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Elena", "reviewText": "Got this product for me and my daughter. I can say 100% - it works superb on both, long curly and short straight hair.", "summary": "For any type of hair", "unixReviewTime": 1524355200}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/511+oyS50IL._SY88.jpg"], "overall": 5.0, "vote": "4", "verified": true, "reviewTime": "04 21, 2018", "reviewerID": "A1VN560NNZQIR0", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Shablinska", "reviewText": "Cleansing properties are above any praise! Suprised by how good an all-organic product can be. Hair feel amazing after use.", "summary": "The best treat for my hair!", "unixReviewTime": 1524268800}
{"overall": 4.0, "verified": true, "reviewTime": "04 19, 2018", "reviewerID": "AV19Z8ZCIQM4G", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Amazon Customer", "reviewText": "Good but kind of drying", "summary": "Four Stars", "unixReviewTime": 1524096000}
{"overall": 5.0, "vote": "4", "verified": true, "reviewTime": "04 19, 2018", "reviewerID": "A39IK7T2K2V2KA", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Sadie Sileski", "reviewText": "My psoriasis has been a lot less irritated now that I am swapping in this shampoo to replace my other shampoo every other wash. Not only is my hair cleaner, but my psoriasis is a lot less flared up. I am very happy with this shampoo.", "summary": "Great for psoriasis", "unixReviewTime": 1524096000}
{"overall": 5.0, "vote": "3", "verified": true, "reviewTime": "04 17, 2018", "reviewerID": "AYY463Q7V3LTU", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "DAVID", "reviewText": "Really good one my head feels really relaxed after chemical shampoos it's pretty big bottle.thanks for inventor.", "summary": "Five Stars", "unixReviewTime": 1523923200}
{"overall": 5.0, "vote": "6", "verified": true, "reviewTime": "04 15, 2018", "reviewerID": "A3L40OCWS1W7R7", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Yiwei Zhou", "reviewText": "The best one Ive ever used!!!", "summary": "Five Stars", "unixReviewTime": 1523750400}
{"overall": 1.0, "vote": "2", "verified": true, "reviewTime": "04 13, 2018", "reviewerID": "A2M1OW141Y5WSN", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Vinny", "reviewText": "Selenium appeared in my search results when I was looking for an organic anti-dandruff shampoo. I was super excited to see the 5 star review. I have been struggling with dandruff for past 6 years and I was really hoping this will make a difference, atleast keep the dandruff at bay for 2 days followed by a shampoo wash with Selenium. But unfortunately, it hardly keeps dandruff at bay. And to make it worse, it makes your hair super dry.", "summary": "I was super excited to see the 5 star review", "unixReviewTime": 1523577600}
{"overall": 5.0, "vote": "4", "verified": true, "reviewTime": "04 7, 2018", "reviewerID": "A1WGVH160JCIC", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "BruinGirl", "reviewText": "I have a dry scalp and occasional dandruff. This product really helps! Leave it on for a few minutes then really lather it up and give your scalp a good scrubbing. It really works.", "summary": "Leave it on for a few minutes then really lather it up and give your scalp a good scrubbing. It really works", "unixReviewTime": 1523059200}
{"overall": 5.0, "verified": false, "reviewTime": "04 7, 2018", "reviewerID": "A31URN5S2Q0UJV", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Boris Jones", "reviewText": "Was skeptical at first. The liquid is kind of runny. However, it is absolutely awesome performance wise. Hands down the best shampoo out there. Smells great, cleans hair great and stopped me from scratching my head after using this product for a couple of times.", "summary": "Awesome quality!", "unixReviewTime": 1523059200}
{"overall": 5.0, "verified": false, "reviewTime": "04 7, 2018", "reviewerID": "A2813CU4C11BIE", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Alexandra", "reviewText": "Been looking for good shampoo that would work with my dry hair for a long time. Tried a lot of options. This is the one. Hair feels as clean as possible after use. Also, deals with dandruff problem easily. No more snowy shoulders.", "summary": "Great product.", "unixReviewTime": 1523059200}
{"overall": 1.0, "vote": "2", "verified": true, "reviewTime": "04 6, 2018", "reviewerID": "A1J7I5095JBHH", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Nicolette", "reviewText": "This really dries out my hair and makes it feel even thinner than it already is. The smell is nice, but consistency is pretty much water. I honestly think most of the reviews are false ", "summary": "The smell is nice, but consistency is pretty much water", "unixReviewTime": 1522972800}
{"overall": 5.0, "verified": true, "reviewTime": "04 4, 2018", "reviewerID": "A2KJR83EUJJNAX", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Anyag.", "reviewText": "It gets messy after the first few times, but clears out the head nicely. My son has no traces of eczema and very small amount of dandruff after less than two weeks of use.", "summary": "but clears out the head nicely. My son has no traces of eczema and ...", "unixReviewTime": 1522800000}
{"overall": 2.0, "vote": "3", "verified": true, "reviewTime": "04 4, 2018", "reviewerID": "A1WWZ1NKXLFYNG", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "v", "reviewText": "I really like using organic products and this product had awesome reviews. Ive been seeing a dermatologist for my psoriasis and received a much of topical cream and even steroid injections. So I wanted to go more oganic. It still didn't work and Ive used the whole bottle. It didn't even help improve it any bit. Im sure this may work for someone else but it didn't for me.", "summary": "It didn't work for my psoriasis", "unixReviewTime": 1522800000}
{"overall": 1.0, "verified": true, "reviewTime": "04 2, 2018", "reviewerID": "A1ZM06J2A5XGHY", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Amazon Customer", "reviewText": "Skin did not improve. Felt like using scented water.", "summary": "Dont buy", "unixReviewTime": 1522627200}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/71qwEe9fFRL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/613pdv8QlbL._SY88.jpg"], "overall": 1.0, "vote": "2", "verified": true, "reviewTime": "03 27, 2018", "reviewerID": "A2V608ILSK1M5R", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "CDART815", "reviewText": "My product was not sealed and either used or something.. attached are pictures. Would like a refund please.", "summary": "Beware", "unixReviewTime": 1522108800}
{"overall": 2.0, "verified": true, "reviewTime": "03 27, 2018", "reviewerID": "A2TU781PWGS09X", "asin": "B00006L9LC", "style": {"Size:": " one size"}, "reviewerName": "Amazon Customer", "reviewText": "Doesnt smell", "summary": "Two Stars", "unixReviewTime": 1522108800}
{"overall": 1.0, "verified": true, "reviewTime": "03 27, 2018", "reviewerID": "A3IOV1NJ4IM2HC", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "E", "reviewText": "Throwing it away, burned my scalp.", "summary": "One Star", "unixReviewTime": 1522108800}
{"overall": 1.0, "vote": "2", "verified": true, "reviewTime": "03 21, 2018", "reviewerID": "A3IJDWW3VVLF3G", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Amazon Customer", "reviewText": "Awful. Zero anti dandruff properties. Comes out of bottle like water, so very easy to waste. Very poor lathering, requires large quantity to lather up hair. Vague smell, not bad but also not pleasant.", "summary": "Skip it", "unixReviewTime": 1521590400}
{"overall": 2.0, "verified": true, "reviewTime": "03 20, 2018", "reviewerID": "A1DFI14L1LBOPJ", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "PrimeTime", "reviewText": "The shampoo is very watery, and I did not see too much of a difference in my dandruff.", "summary": "Meh", "unixReviewTime": 1521504000}
{"overall": 2.0, "vote": "9", "verified": true, "reviewTime": "03 19, 2018", "reviewerID": "A1BAZK7LSPBPEJ", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Ryan Johnson", "reviewText": "I agree with several of the other reviewers. Feels as though Im just rubbing banana scented water through my hair and after I shower, my hair feels greesy (like when I don't use any shampoo) so I wonder if there is something fishy going on here. Read the other reviews and you'll noticed most of them have nothing to do with shampoo. DO NOT trust.", "summary": "I agree with several of the other reviewers. Feels ...", "unixReviewTime": 1521417600}
{"overall": 5.0, "vote": "19", "verified": true, "reviewTime": "03 15, 2018", "reviewerID": "A23NSBJ5CGLWAA", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Bradford J. Fleener", "reviewText": "A really good gentle cleanser. Always leaves my hair feeling clean, and soft. Also virtually eliminated dandruff issues where other bigger named products consistently failed.", "summary": "A really good gentle cleanser", "unixReviewTime": 1521072000}
{"overall": 1.0, "vote": "3", "verified": true, "reviewTime": "03 13, 2018", "reviewerID": "A1WGC9NCI09T3D", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "ESR", "reviewText": "This product is a scam! Not only does it have the consistency of water, but you need a tremendous amount for it to foam, as suggested in the instructions. I have a shaved head and can see going through this bottle in a week or two at this pace. To make matters worse, the my short hair was sticking up as if I had been electrocuted! I'm going to try try this junk one more time and if I experience similar results, I'm going to try to return this trash. BUYER BEWARE!!!", "summary": "Don't Waste Your Money On This Crap", "unixReviewTime": 1520899200}
{"overall": 1.0, "vote": "2", "verified": true, "reviewTime": "03 6, 2018", "reviewerID": "A28RTSY1TRCXLK", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Patricia A. Wray", "reviewText": "I bought this shampoo because the description stated it was gentle, for itchy, red and irritated scalp. I used it one time and it burned my scalp almost immediately! I bought two bottles and I am returning them both! I honestly don't know how it get so many good reviews.", "summary": "Irritated my scalp on first use", "unixReviewTime": 1520294400}
{"overall": 5.0, "verified": true, "reviewTime": "03 6, 2018", "reviewerID": "A28G6HAG3I755Y", "asin": "B00006L9LC", "style": {"Size:": " 281"}, "reviewerName": "R. Taylor", "reviewText": "Great smell and products.", "summary": "Five Stars", "unixReviewTime": 1520294400}
{"overall": 5.0, "vote": "16", "verified": true, "reviewTime": "03 5, 2018", "reviewerID": "A29C6ZBT7HP13Q", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Faith M. Pettersen", "reviewText": "Love this product. It is the only thing that has worked on my flaky scalp. Not too heavy and the fragrance is pleasant in comparison to other products.", "summary": "Love this product", "unixReviewTime": 1520208000}
{"overall": 3.0, "vote": "8", "verified": true, "reviewTime": "03 1, 2018", "reviewerID": "A1CEDYAX0NG4BU", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "DD", "reviewText": "Does not lather well and have not noticed a difference in my hair", "summary": "Three Stars", "unixReviewTime": 1519862400}
{"overall": 4.0, "verified": true, "reviewTime": "02 28, 2018", "reviewerID": "A1YVFD3TLX6E22", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Kelsey Hodo", "reviewText": "I've used a chemical shampoo for too long and my hair started breaking off! So with a lot of research I bought this! It has made my hair (which is thin with oily roots and dry ends) way stronger and shinny without being oily! It's really fantastic. I took a star away for 2 reasons, one is because the price is a bit outrages, and two is because if I use it every day my hair starts to get buildup so I have to find a clean shampoo that washes away the build up to use twice a week..", "summary": "Second time buying", "unixReviewTime": 1519776000}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/61D2LU1KnXL._SY88.jpg"], "overall": 5.0, "vote": "20", "verified": true, "reviewTime": "02 23, 2018", "reviewerID": "A22V1MD93T2FW9", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Heather Sharp", "reviewText": "I bought this for my husband. Hed been having issues with dandruff, but most dandruff shampoos cause skin issues. He loves it. Its just great for his hair and skin aside from helping with the dandruff. It smells good, too. Great product. I highly recommend it and would buy it again if it were still available on the site!", "summary": "Really great shampoo for sensitive skin that happens to fix dandruff", "unixReviewTime": 1519344000}
{"overall": 1.0, "verified": true, "reviewTime": "02 21, 2018", "reviewerID": "A27PPA3O7PX0OH", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "Kayla", "reviewText": "Arrived opened and leaking all over the box. Tried shampoo but didn't help at all. Still so itchy.", "summary": "Two Stars", "unixReviewTime": 1519171200}
{"overall": 5.0, "verified": true, "reviewTime": "02 12, 2018", "reviewerID": "A2TRMX7KR6IIVA", "asin": "B00006L9LC", "style": {"Size:": " 4-piece Gift Set"}, "reviewerName": "Teri1", "reviewText": "Came on time. She will love it!", "summary": "Great gift!", "unixReviewTime": 1518393600}
{"overall": 1.0, "vote": "3", "verified": true, "reviewTime": "02 11, 2018", "reviewerID": "A28MZ2SOOHMOZW", "asin": "B00006L9LC", "style": {"Size:": " Small"}, "reviewerName": "B. A. M.", "reviewText": "Nope. It smells like artificial bananas, and this smell does linger. It's pure liquid, there is no thickness to it at all, it's like pouring banana water on your head that lathers. It does not help with an itchy scalp either (I have psoriasis). This shampoo neither helped nor hindered my hair or scalp, made absolutely no difference (except for the banana smell). Don't waste your money.", "summary": "It smells like artificial bananas", "unixReviewTime": 1518307200}
{"overall": 5.0, "verified": true, "reviewTime": "01 31, 2018", "reviewerID": "A2IGYO5UYS44RW", "asin": "B00006L9LC", "style": {"Size:": " 281"}, "reviewerName": "Dawna Kern", "reviewText": "I love how soft this makes my skin and the scent is amazing. When my local stored are out I can always get it at Amazon", "summary": "BETTER THAN RAINBATH", "unixReviewTime": 1517356800}
{"overall": 5.0, "verified": true, "reviewTime": "01 6, 2018", "reviewerID": "ARZQ7AEFUXNPN", "asin": "B00006L9LC", "style": {"Size:": " 401"}, "reviewerName": "Christy", "reviewText": "Love this perfume. Light and feminine and doesn't give me a headache like many other fragrances.", "summary": "Not overpowering, but lasts all day", "unixReviewTime": 1515196800}
{"overall": 5.0, "verified": true, "reviewTime": "12 26, 2017", "reviewerID": "A2ZZ75UB8VK31U", "asin": "B00006L9LC", "style": {"Size:": " 25"}, "reviewerName": "Bamabyrdie", "reviewText": "Love this product because of the way it makes my hair feel and look.", "summary": "Five Stars", "unixReviewTime": 1514246400}
{"overall": 5.0, "verified": false, "reviewTime": "11 6, 2017", "reviewerID": "A39AEA8OFO8JT", "asin": "B00006L9LC", "style": {"Size:": " 19"}, "reviewerName": "SHAMS AFROZ", "reviewText": "I was using this shampoo from six years and found helpful restoring hair and reducing dryness of psoriasis.\nBut it was discontinued from three years .Why I don't know .Then I used other psoriasis shampoos ,which didn't help .scalp still dry and hair falling down. I bought on line but came in small bottle and was costly, and was looks like doublicate not the real.", "summary": "Polytar Shampoo", "unixReviewTime": 1509926400}
{"overall": 5.0, "verified": true, "reviewTime": "11 3, 2017", "reviewerID": "A3C46GBHLVSOEW", "asin": "B00006L9LC", "style": {"Size:": " 33"}, "reviewerName": "jv", "reviewText": "I love this shampoo!!!!!!", "summary": "Frizz be gone", "unixReviewTime": 1509667200}
{"overall": 5.0, "verified": true, "reviewTime": "10 1, 2017", "reviewerID": "A12HTKLZWLEAF5", "asin": "B00006L9LC", "style": {"Size:": " 126"}, "reviewerName": "Marcia Fairman", "reviewText": "I have an Airbnb. This is perfect for guests. The price is right and I can provide shampoo with little waist. I appreciate this product", "summary": "This is perfect for guests", "unixReviewTime": 1506816000}
{"overall": 5.0, "verified": true, "reviewTime": "09 28, 2017", "reviewerID": "A2D9MTWHD2BFUG", "asin": "B00006L9LC", "style": {"Size:": " 120"}, "reviewerName": "Ladychaos1", "reviewText": "Husband loves it.... Uses it to wash his locs", "summary": "Good product", "unixReviewTime": 1506556800}
{"overall": 5.0, "verified": true, "reviewTime": "09 21, 2017", "reviewerID": "AT9SW0VOLAKQD", "asin": "B00006L9LC", "style": {"Size:": " 25"}, "reviewerName": "rockwell gal", "reviewText": "Love this shampoo. I have been using it for years...keeps the yellow out of gray hair.", "summary": "Five Stars", "unixReviewTime": 1505952000}
{"overall": 5.0, "vote": "9", "verified": true, "reviewTime": "09 14, 2017", "reviewerID": "A1U4MBURSADCDU", "asin": "B00006L9LC", "style": {"Size:": " 29"}, "reviewerName": "roxy sox", "reviewText": "love this shampoo", "summary": "Five Stars", "unixReviewTime": 1505347200}
{"overall": 5.0, "verified": true, "reviewTime": "09 6, 2017", "reviewerID": "A324UOF43Y43WY", "asin": "B00006L9LC", "style": {"Size:": " 364"}, "reviewerName": "Amazon Customer", "reviewText": "Great ingredients, but didn't agree with my skin", "summary": "Five Stars", "unixReviewTime": 1504656000}
{"overall": 5.0, "verified": true, "reviewTime": "08 21, 2017", "reviewerID": "A37XI9VKWZWZKO", "asin": "B00006L9LC", "style": {"Size:": " 352"}, "reviewerName": "judith m dzyak", "reviewText": "love it. will continue to use all products from herline", "summary": "Five Stars", "unixReviewTime": 1503273600}
{"overall": 5.0, "verified": true, "reviewTime": "08 11, 2017", "reviewerID": "A34Z0P70GD9Y6Y", "asin": "B00006L9LC", "style": {"Size:": " 561"}, "reviewerName": "Maddy", "reviewText": "Very nice scrub. Not walnut or random shell pieces acting as your physical exfoliant in this product! Neither does it use plastic microbeads. Definitely cleans my face when I need to get rid of flaky skin, but it does not leave my skin tight or dry. Instead, my skin is soft and smooth - but not irritated, (I know this because my skin is not red, especially considering certain sections of my face still have healing blemishes). Will try the hair care products soon.", "summary": "Great exfoliator", "unixReviewTime": 1502409600}
{"overall": 5.0, "verified": true, "reviewTime": "08 2, 2017", "reviewerID": "ASJX5CT07ZCE3", "asin": "B00006L9LC", "style": {"Size:": " 126"}, "reviewerName": "Dawn H.", "reviewText": "I bought this shampoo to go in wedding guest gift bags who are joining us on a cruise. I wanted something that was natural and this little tube of shampoo fit the bill. I also recieved an email from the company thanking me for my purchase and thought that was a nice customer service touch. I will definitely be exploring their other products and recommend this company.", "summary": "I also recieved an email from the company thanking me for my purchase and thought that was a nice customer service touch", "unixReviewTime": 1501632000}
{"overall": 5.0, "verified": true, "reviewTime": "07 22, 2017", "reviewerID": "A2ABCUIYJETG6Q", "asin": "B00006L9LC", "style": {"Size:": " 392"}, "reviewerName": "Elizabeth", "reviewText": "My husband loves this soap and I love how it makes him smell. Worth the dollars!", "summary": "Worth the dollars", "unixReviewTime": 1500681600}
{"overall": 5.0, "vote": "30", "verified": true, "reviewTime": "07 11, 2017", "reviewerID": "A35GLRQ89X0WRD", "asin": "B00006L9LC", "style": {"Size:": " 13 Fl. Oz"}, "reviewerName": "Kelly", "reviewText": "My scalp randomly starts hating any kind of product being on it and retaliates by going crazy with eczema like symptoms that seems to last forever. This is the only shampoo and conditioner that I have found that doesn't make my scalp cranky...It's a good product!", "summary": "Good products", "unixReviewTime": 1499731200}
{"overall": 5.0, "verified": true, "reviewTime": "06 28, 2017", "reviewerID": "A1TEIICSK5IK0V", "asin": "B00006L9LC", "style": {"Size:": " 509"}, "reviewerName": "Ashley Carey", "reviewText": "I weirdly got this at a Dave & Buster's in Culver City with game tickets the first time I tried it. I had never worn powder before. That was two years ago, and I continue to wear this powder every day. It makes my complexion look so even and hides the redness I get after drinking too much coffee. Highly recommend!", "summary": "Highly recommend!", "unixReviewTime": 1498608000}
{"overall": 5.0, "verified": true, "reviewTime": "06 23, 2017", "reviewerID": "A2GBIFL43U1LKJ", "asin": "B00006L9LC", "style": {"Size:": " 60"}, "reviewerName": "K.Sofia", "reviewText": "Excellent product.", "summary": "Five Stars", "unixReviewTime": 1498176000}
{"overall": 5.0, "verified": true, "reviewTime": "06 17, 2017", "reviewerID": "A309W2EPFGXK7P", "asin": "B00006L9LC", "style": {"Size:": " 57"}, "reviewerName": "raisa poltun", "reviewText": "thanks", "summary": "Five Stars", "unixReviewTime": 1497657600}
{"overall": 5.0, "verified": true, "reviewTime": "06 17, 2017", "reviewerID": "A3NFELIADJMJKJ", "asin": "B00006L9LC", "style": {"Size:": " 4"}, "reviewerName": "Susie Chavez", "reviewText": "This is one of the BEST shampoos for swimmers. I always got complements on my hair since I started using this product. Unavailable now.", "summary": "Not Available anymore!!!", "unixReviewTime": 1497657600}
{"overall": 5.0, "verified": true, "reviewTime": "06 9, 2017", "reviewerID": "AJ61AXPLR0WYY", "asin": "B00006L9LC", "style": {"Size:": " 351"}, "reviewerName": "Sandra Thomas", "reviewText": "It's Bare Escentuals, 'nuff said!", "summary": "Five Stars", "unixReviewTime": 1496966400}
{"overall": 4.0, "verified": true, "reviewTime": "06 1, 2017", "reviewerID": "A2N0CVZO3GPQ45", "asin": "B00006L9LC", "style": {"Size:": " 1"}, "reviewerName": "J. broder", "reviewText": "nice", "summary": "Four Stars", "unixReviewTime": 1496275200}
{"overall": 5.0, "verified": true, "reviewTime": "05 30, 2017", "reviewerID": "ASPQVBZP025R8", "asin": "B00006L9LC", "style": {"Size:": " 4-piece Gift Set"}, "reviewerName": "K's Amazon 10-04", "reviewText": "Very pleased\n Nice assortment", "summary": "MsK1004", "unixReviewTime": 1496102400}
{"overall": 5.0, "verified": true, "reviewTime": "05 19, 2017", "reviewerID": "A2JPQVFMKT94M2", "asin": "B00006L9LC", "style": {"Size:": " one size"}, "reviewerName": "ad", "reviewText": "This is so handy and unique! Comes in a protective pouch, and with an extra refil. Seems like it will last a long time for those who just like a little dab of a beautiful scent.", "summary": "Seems like it will last a long time for those who ...", "unixReviewTime": 1495152000}
{"overall": 5.0, "verified": true, "reviewTime": "05 15, 2017", "reviewerID": "A3JJ3GK8Q39TDE", "asin": "B00006L9LC", "style": {"Size:": " 6"}, "reviewerName": "Katrina Jones", "reviewText": "Use regularly. love this product.", "summary": "love this product", "unixReviewTime": 1494806400}
{"overall": 5.0, "verified": true, "reviewTime": "05 13, 2017", "reviewerID": "A3P7FOLR5SGXYN", "asin": "B00006L9LC", "style": {"Size:": " 13"}, "reviewerName": "Medi", "reviewText": "Great", "summary": "Five Stars", "unixReviewTime": 1494633600}
{"overall": 5.0, "verified": true, "reviewTime": "05 10, 2017", "reviewerID": "A2U7BI3N4YP26B", "asin": "B00006L9LC", "style": {"Size:": " 10.1 oz."}, "reviewerName": "Amazon Customer", "reviewText": "Biolage is a great product.\nThank you for providing the product for me.\nAll Biolage products are wonderful.\nThank you!", "summary": "Biolage Review", "unixReviewTime": 1494374400}
{"overall": 5.0, "verified": true, "reviewTime": "05 6, 2017", "reviewerID": "APQ1FY4E25XEP", "asin": "B00006L9LC", "style": {"Size:": " 509"}, "reviewerName": "Lisa M.", "reviewText": "This pressed powder goes on like silk, so light weight but covers well. I don't like to use a heavy powder that shows all the wrinkles, this one is just right!", "summary": "flawless", "unixReviewTime": 1494028800}
{"overall": 5.0, "vote": "4", "verified": true, "reviewTime": "05 4, 2017", "reviewerID": "AKQ9DH3HRPHW3", "asin": "B00006L9LC", "style": {"Size:": " one size"}, "reviewerName": "Anuschka Light", "reviewText": "This is just adorable compact fragrance. It comes in a gorgeous silver compact. A cute carry pouch. And to my surprise- a refill. I am Uber pleased with this purchase. Oh and the D&G Lifht Blue is one of my forever favorite fragrances.\n\nLove", "summary": "Love Love Love!!!!", "unixReviewTime": 1493856000}
{"overall": 5.0, "verified": true, "reviewTime": "04 28, 2017", "reviewerID": "A10ZJZNO4DAVB", "asin": "B00006L9LC", "style": {"Size:": " 43"}, "reviewerName": "Loeyd", "reviewText": "What the hubby wanted", "summary": "Love it", "unixReviewTime": 1493337600}
{"overall": 5.0, "verified": true, "reviewTime": "04 25, 2017", "reviewerID": "A37C3532V0OGK4", "asin": "B00006L9LC", "style": {"Size:": " 79"}, "reviewerName": "Henrietta", "reviewText": "Took care of my flaky scalp, a problem I've had for years.", "summary": "Highly Recommend", "unixReviewTime": 1493078400}
{"overall": 5.0, "verified": false, "reviewTime": "04 17, 2017", "reviewerID": "A3JMIBCH90HGWG", "asin": "B00006L9LC", "style": {"Size:": " 79"}, "reviewerName": "Amazon Customer", "reviewText": "This and the matching conditioner saved my scalp. My hair was falling out due to a very dry scalp. Nothing else I tried would cure my issue. My head literally hurt. After one use, my scalp had real relief. My hair looks beautiful after just two washes. I'm definitely going to buy this again. The smell is not great, but you'll look past it to save your scalp. It is one of the only products that is 100% truly organic. No added chemicals. Very gentle and effective. I highly recommend this product.", "summary": "My hair looks beautiful after just two washes", "unixReviewTime": 1492387200}
{"overall": 4.0, "verified": true, "reviewTime": "04 7, 2017", "reviewerID": "A1C3SRDH9HVEI2", "asin": "B00006L9LC", "style": {"Size:": " 6"}, "reviewerName": "Iris Remon", "reviewText": "Have been using the product since I got my first as a gift and I like it. I have dry coarse hair and it helps to soften it and take away the dullness.", "summary": "Good hair product for dry coarse hair", "unixReviewTime": 1491523200}
{"overall": 5.0, "verified": true, "reviewTime": "04 6, 2017", "reviewerID": "A3LGZDAVZSFO0M", "asin": "B00006L9LC", "style": {"Size:": " 4-piece Gift Set"}, "reviewerName": "Robin L. Bomzer", "reviewText": "This set is awesome! I bought one for myself and bought a second one as a gift! Good scents and a good price.", "summary": "This set is awesome! I bought one for myself and bought a ...", "unixReviewTime": 1491436800}
{"overall": 5.0, "verified": true, "reviewTime": "04 5, 2017", "reviewerID": "A2RWJPXMBFGCF0", "asin": "B00006L9LC", "style": {"Size:": " 281"}, "reviewerName": "N. Donastorg", "reviewText": "This body wash smells amazing. Let me see how to describe \"amazing\" as a scent. It smells like you just showered in a botanical garden on a beautiful spring day. Plus your skin feels silky smooth thereafter.", "summary": "Spring is in your shower", "unixReviewTime": 1491350400}
{"overall": 5.0, "verified": true, "reviewTime": "04 3, 2017", "reviewerID": "A15IKO3Q6RSA1V", "asin": "B00006L9LC", "style": {"Size:": " 38"}, "reviewerName": "Amazon Customer", "reviewText": "Great product", "summary": "Five Stars", "unixReviewTime": 1491177600}
{"overall": 5.0, "verified": true, "reviewTime": "03 26, 2017", "reviewerID": "A29GCQQLNLUJGG", "asin": "B00006L9LC", "style": {"Size:": " 104"}, "reviewerName": "Martina", "reviewText": "Frequently get compliments on my beautiful shiny hair, great shampoo", "summary": "Shiny hair", "unixReviewTime": 1490486400}
{"overall": 5.0, "verified": true, "reviewTime": "03 23, 2017", "reviewerID": "A31MET9QVHSWD9", "asin": "B00006L9LC", "style": {"Size:": " 41"}, "reviewerName": "Textile", "reviewText": "Love this product. Cleans hair quickly and leaves hair soft.", "summary": "Organic makes me happy", "unixReviewTime": 1490227200}
{"overall": 5.0, "verified": true, "reviewTime": "03 22, 2017", "reviewerID": "A2CY3ZL67BZKEU", "asin": "B00006L9LC", "style": {"Size:": " 6"}, "reviewerName": "Stacey J.", "reviewText": "Best shampoo/conditioner hands down", "summary": "Five Stars", "unixReviewTime": 1490140800}
{"overall": 5.0, "verified": true, "reviewTime": "03 20, 2017", "reviewerID": "A1MZIY3MPR5LRS", "asin": "B00006L9LC", "style": {"Size:": " 1000ml/33.8oz"}, "reviewerName": "Amazon Customer", "reviewText": "love it", "summary": "Five Stars", "unixReviewTime": 1489968000}
{"overall": 5.0, "verified": true, "reviewTime": "03 17, 2017", "reviewerID": "A3V6HGWB3AKM8O", "asin": "B00006L9LC", "style": {"Size:": " 403"}, "reviewerName": "J W. in SF", "reviewText": "Excellent product. The package arrived quickly in perfect condition. I definitely recommend this product and this particular seller.", "summary": "Love the shine!", "unixReviewTime": 1489708800}
{"overall": 5.0, "verified": true, "reviewTime": "03 12, 2017", "reviewerID": "A2YNPGFDPBKZ3L", "asin": "B00006L9LC", "style": {"Size:": " 28"}, "reviewerName": "Amy L.", "reviewText": "Very pleased with Uhuru Naturals Hair Growth Shampoo. It stopped my hair loss, and adds volume. My hair has even developed waves that it never had before, plus it's soft and silky. I'll certainly buy more of this excellent shampoo when I finish the bottle I have now. I've already recommended it to friends. This shampoo is gentle to my baby fine hair and leaves it really clean.", "summary": "Excellent shampoo, stopped my hair loss, makes my hair soft and silky.", "unixReviewTime": 1489276800}
{"overall": 4.0, "verified": true, "reviewTime": "03 9, 2017", "reviewerID": "AIQ0ABOHK58F6", "asin": "B00006L9LC", "style": {"Size:": " 28"}, "reviewerName": "Caridad J.", "reviewText": "Very happy with my first time using it my hair was manageable", "summary": "Four Stars", "unixReviewTime": 1489017600}
{"overall": 5.0, "verified": true, "reviewTime": "03 9, 2017", "reviewerID": "A20Y9PNINSXAE2", "asin": "B00006L9LC", "style": {"Size:": " 43"}, "reviewerName": "Doug", "reviewText": "Love this shampoo. Just wish Axe still made it.", "summary": "Great shampoo", "unixReviewTime": 1489017600}
{"overall": 5.0, "verified": true, "reviewTime": "03 5, 2017", "reviewerID": "A36CT6022EC8KS", "asin": "B00006L9LC", "style": {"Size:": " 468"}, "reviewerName": "Amazon Customer", "reviewText": "Smells great!! Thanks for the fast delivery!", "summary": "Five Stars", "unixReviewTime": 1488672000}
{"overall": 5.0, "verified": true, "reviewTime": "02 28, 2017", "reviewerID": "A1JJBKKS6FCOQJ", "asin": "B00006L9LC", "style": {"Size:": " 351"}, "reviewerName": "Claudia Sanchez", "reviewText": "These are my favorite eye shadows! Box even comes with instructions. Love it!", "summary": "Five Stars", "unixReviewTime": 1488240000}
{"overall": 5.0, "verified": true, "reviewTime": "02 28, 2017", "reviewerID": "A3LR34UDLT38PG", "asin": "B00006L9LC", "style": {"Size:": " 511"}, "reviewerName": "Charity Arnett", "reviewText": "Love Love Love, Very hard to find", "summary": "Five Stars", "unixReviewTime": 1488240000}
{"overall": 5.0, "verified": true, "reviewTime": "02 26, 2017", "reviewerID": "A1ZN7IP615TNQO", "asin": "B00006L9LC", "style": {"Size:": " 58"}, "reviewerName": "Kathleen B.", "reviewText": "Nice light mousse. Gives some control to old gray wild hair.", "summary": "Good product.", "unixReviewTime": 1488067200}
{"overall": 5.0, "verified": true, "reviewTime": "02 24, 2017", "reviewerID": "A2N4OUX2ORC859", "asin": "B00006L9LC", "style": {"Size:": " 515"}, "reviewerName": "Dave", "reviewText": "Wife uses this cream always. Hard to get.", "summary": "Five Stars", "unixReviewTime": 1487894400}
{"overall": 5.0, "verified": true, "reviewTime": "02 15, 2017", "reviewerID": "A14R11HV2H7AVW", "asin": "B00006L9LC", "style": {"Size:": " 1 Pound"}, "reviewerName": "Diane Gordon", "reviewText": "Also a very good product", "summary": "Five Stars", "unixReviewTime": 1487116800}
{"overall": 5.0, "verified": true, "reviewTime": "02 14, 2017", "reviewerID": "A3GM8H7MO9I4H7", "asin": "B00006L9LC", "style": {"Size:": " 120"}, "reviewerName": "edazzle", "reviewText": "Excellent product", "summary": "Five Stars", "unixReviewTime": 1487030400}
{"overall": 5.0, "verified": true, "reviewTime": "02 6, 2017", "reviewerID": "ACK0K1VME15R7", "asin": "B00006L9LC", "style": {"Size:": " 56"}, "reviewerName": "KilDiKat", "reviewText": "Best stuff on earth for your hair!", "summary": "A must BUY!!!", "unixReviewTime": 1486339200}
{"overall": 5.0, "verified": true, "reviewTime": "02 3, 2017", "reviewerID": "AAB7D8L1RXAK8", "asin": "B00006L9LC", "style": {"Size:": " 370"}, "reviewerName": "Teresa Lamb", "reviewText": "Love this cream. I have been using it for over 6 years and will continue to use it as long as it is available. I LOVE it!!!", "summary": "Love this cream", "unixReviewTime": 1486080000}
{"overall": 5.0, "verified": true, "reviewTime": "02 2, 2017", "reviewerID": "A3A8F2URN7MEPR", "asin": "B00006L9LC", "style": {"Size:": " 509"}, "reviewerName": "Sheila T.", "reviewText": "My favorite powder!", "summary": "Five Stars", "unixReviewTime": 1485993600}
{"overall": 5.0, "verified": false, "reviewTime": "02 1, 2017", "reviewerID": "A2IPGCHPX1WYHH", "asin": "B00006L9LC", "style": {"Size:": " 561"}, "reviewerName": "Amazon Customer", "reviewText": "I have really sensitive skin therefore never was able to use any type of scrub all my life. But a friend advice me to try this one because my skin started to smell pretty bad during certain times of the month. Causes no irritation and I was able to use it everyday. Seems to get rid of the oily smell from my face.", "summary": "But a friend advice me to try this one because my skin started to smell pretty bad during certain times of the month", "unixReviewTime": 1485907200}
{"overall": 5.0, "verified": true, "reviewTime": "02 1, 2017", "reviewerID": "A9MRAYG97FQML", "asin": "B00006L9LC", "style": {"Size:": " 1 Pound"}, "reviewerName": "Amazon Customer", "reviewText": "Excellent Amla powder! Very fresh and edible quality. You need be little competitive on the price though.", "summary": "Five Stars", "unixReviewTime": 1485907200}
{"overall": 5.0, "verified": true, "reviewTime": "01 31, 2017", "reviewerID": "AQN8A38PJ8V41", "asin": "B00006L9LC", "style": {"Size:": " 32"}, "reviewerName": "pamela", "reviewText": "Highly recommend", "summary": "Five Stars", "unixReviewTime": 1485820800}
{"overall": 5.0, "verified": true, "reviewTime": "01 31, 2017", "reviewerID": "ATEX4XVEQYN7B", "asin": "B00006L9LC", "style": {"Size:": " 15"}, "reviewerName": "BERNARD POMORSKI", "reviewText": "gives a nice body to thin hair.", "summary": "Five Stars", "unixReviewTime": 1485820800}
{"overall": 5.0, "vote": "16", "verified": true, "reviewTime": "01 25, 2017", "reviewerID": "AM6VM4AHB7CG4", "asin": "B00006L9LC", "style": {"Size:": " 28"}, "reviewerName": "Niclana Tolmasoff", "reviewText": "I can't live without this shampoo!", "summary": "Five Stars", "unixReviewTime": 1485302400}
{"overall": 4.0, "verified": true, "reviewTime": "01 23, 2017", "reviewerID": "AIWVB6601DJOO", "asin": "B00006L9LC", "style": {"Size:": " 6"}, "reviewerName": "Amazon Customer", "reviewText": "Love this stuff.", "summary": "Four Stars", "unixReviewTime": 1485129600}
{"overall": 5.0, "verified": false, "reviewTime": "01 21, 2017", "reviewerID": "A3IGHIOZ898AWG", "asin": "B00006L9LC", "style": {"Size:": " 28"}, "reviewerName": "Julie", "reviewText": "This shampoo is so refreshing! I love how clean and tingly it makes my scalp feel, and it smells really good, too!", "summary": "Love this refreshing shampoo!", "unixReviewTime": 1484956800}
{"overall": 5.0, "verified": true, "reviewTime": "01 20, 2017", "reviewerID": "A27VWQXCDU4U9D", "asin": "B00006L9LC", "style": {"Size:": " 364"}, "reviewerName": "Linda sommer", "reviewText": "Love it", "summary": "Five Stars", "unixReviewTime": 1484870400}
{"overall": 5.0, "verified": true, "reviewTime": "01 16, 2017", "reviewerID": "A23S9B3XGR5CMX", "asin": "B00006L9LC", "style": {"Size:": " 49"}, "reviewerName": "Andrew Albeck", "reviewText": "Great product! This is a wonderful addition to any dopp kit to keep your face lettuce looking sharp.", "summary": "Great product!", "unixReviewTime": 1484524800}
{"overall": 5.0, "verified": true, "reviewTime": "01 16, 2017", "reviewerID": "ASWLL1VJA7WOG", "asin": "B00006L9LC", "style": {"Size:": " 49"}, "reviewerName": "Samuel Sneed", "reviewText": "Great product... just what I wanted. Works great and very stylish.", "summary": "Five Stars", "unixReviewTime": 1484524800}
{"overall": 5.0, "verified": true, "reviewTime": "01 15, 2017", "reviewerID": "AZ520NWW40I9B", "asin": "B00006L9LC", "style": {"Size:": " 6"}, "reviewerName": "Abigail Harden", "reviewText": "My male roommate and I both love this shampoo! My hair looks healthy and never dry or frizzy when I use it consistently. All the Theorie products I have used have been excellent and do exactly what they promise. I would recommend it to anyone!", "summary": "Best shampoo I've ever used!", "unixReviewTime": 1484438400}
{"overall": 5.0, "verified": true, "reviewTime": "01 15, 2017", "reviewerID": "A1S7I4K5PNOUDD", "asin": "B00006L9LC", "style": {"Size:": " 1 Pound"}, "reviewerName": "Sue", "reviewText": "Google the uses and you will be a buyer.", "summary": "Five Stars", "unixReviewTime": 1484438400}
{"overall": 5.0, "verified": true, "reviewTime": "01 13, 2017", "reviewerID": "A289XUH39KKR89", "asin": "B00006L9LC", "style": {"Size:": " 18"}, "reviewerName": "E E.", "reviewText": "Great price! Product received exactly as described, in perfect condition and on time. Thank You", "summary": "Great price! Product received exactly as described", "unixReviewTime": 1484265600}
{"overall": 5.0, "verified": true, "reviewTime": "01 7, 2017", "reviewerID": "A2B33XXX3MZC6R", "asin": "B00006L9LC", "style": {"Size:": " 49"}, "reviewerName": "Tom Waters", "reviewText": "Great comb! Very well made and the wood even has a nice scent. Pairs well with Northern Fir's beard oil!", "summary": "Another quality product from Northern Fir", "unixReviewTime": 1483747200}
{"overall": 5.0, "verified": true, "reviewTime": "01 5, 2017", "reviewerID": "A2T6UI6V98KT94", "asin": "B00006L9LC", "style": {"Size:": " 586"}, "reviewerName": "Joi Sanders", "reviewText": "This is one of the most beautiful lotions I have ever used. Compliments on a daily basis! It is so soft and smooth. Love it!", "summary": "Ultimate Kors", "unixReviewTime": 1483574400}
{"overall": 5.0, "verified": true, "reviewTime": "01 5, 2017", "reviewerID": "A1C13KVGOWMI6A", "asin": "B00006L9LC", "style": {"Size:": " 78"}, "reviewerName": "Heather", "reviewText": "Great product and good service.", "summary": "Five Stars", "unixReviewTime": 1483574400}
{"overall": 5.0, "vote": "3", "verified": false, "reviewTime": "12 29, 2016", "reviewerID": "A2KPY1O5YG9B6I", "asin": "B00006L9LC", "style": {"Size:": " 28"}, "reviewerName": "lhasa lover", "reviewText": "I'm 63 with still nice hair but so much less than when I was younger, before menopause, so I bought both the shampoo and this conditioner to help strengthen and grow my hair possibly thicker again...the shampoo made my hair feel so stiff it was hard to push my fingers thru my scalp, I wasn't happy, but rinsed and put in this conditioner..........WOW..... my hair turned into silk.....my scalp felt cool like there is mint in the conditioner.....hope it works, I will stick it out because of the conditioner.....I also never understand when a company make the shampoo bottle larger than the conditioner bottle...we all use more conditioner than shampoo, ..i will update in a couple of months", "summary": "great conditioner but please make a larger bottle", "unixReviewTime": 1482969600}
{"overall": 5.0, "verified": true, "reviewTime": "12 26, 2016", "reviewerID": "A7QMV1ENEUAC9", "asin": "B00006L9LC", "style": {"Size:": " 1000ml/33.8oz"}, "reviewerName": "mary", "reviewText": "love this shampoo, came very quickly, thank you.", "summary": "Five Stars", "unixReviewTime": 1482710400}
{"overall": 5.0, "verified": true, "reviewTime": "12 20, 2016", "reviewerID": "A22WRCL3T66COU", "asin": "B00006L9LC", "style": {"Size:": " 352"}, "reviewerName": "Moniqueici", "reviewText": "Eau de Hadrien is my favorite of the Annick Goutal line & the lotion is lovely.", "summary": "Lovely light fragrance", "unixReviewTime": 1482192000}
{"overall": 5.0, "verified": true, "reviewTime": "12 19, 2016", "reviewerID": "AXZPSRWKSDO27", "asin": "B00006L9LC", "style": {"Size:": " 463"}, "reviewerName": "KPM", "reviewText": "Christmas present.\nMy son loves the variety. Inviting look.\nEfficient packaging. Arrived in a few days. :)", "summary": "Variety", "unixReviewTime": 1482105600}
{"overall": 5.0, "verified": true, "reviewTime": "12 15, 2016", "reviewerID": "A2L5BRKS3Q0J0D", "asin": "B00006L9LC", "style": {"Size:": " 337"}, "reviewerName": "derek n.", "reviewText": "Great", "summary": "Five Stars", "unixReviewTime": 1481760000}
{"overall": 5.0, "verified": true, "reviewTime": "12 14, 2016", "reviewerID": "A2IRWVZEOPD2BG", "asin": "B00006L9LC", "style": {"Size:": " 49"}, "reviewerName": "David", "reviewText": "I appreciate craftsmanship and Northern Fir provided that with this comb. Great relic for any man who appreciates the finer things in life. I use it for my hair and have no issues what-so-ever. Thanks!", "summary": "Excellent craftsmanship", "unixReviewTime": 1481673600}
{"overall": 5.0, "verified": true, "reviewTime": "12 14, 2016", "reviewerID": "A1JL5CJJDECOH4", "asin": "B00006L9LC", "style": {"Size:": " 29.2"}, "reviewerName": "Tony T.", "reviewText": "Great product!", "summary": "5 stars!", "unixReviewTime": 1481673600}
{"overall": 5.0, "verified": true, "reviewTime": "12 12, 2016", "reviewerID": "A1XCIY3DWUIC3C", "asin": "B00006L9LC", "style": {"Size:": " 1 Pack"}, "reviewerName": "R Goldburg", "reviewText": "I have been using this shampoo for a long time and was happy to have it available to me a 4 pack; to me it's the best shampoo available", "summary": "... using this shampoo for a long time and was happy to have it available to me a 4 pack", "unixReviewTime": 1481500800}
{"overall": 5.0, "verified": true, "reviewTime": "12 9, 2016", "reviewerID": "A2X7VCBZQROXVM", "asin": "B00006L9LC", "style": {"Size:": " 6"}, "reviewerName": "Amazon Customer", "reviewText": "I love this product. Really makes my hair moisturized and silky", "summary": "Five Stars", "unixReviewTime": 1481241600}
{"overall": 5.0, "verified": true, "reviewTime": "12 8, 2016", "reviewerID": "A23ZC494ZWNEE0", "asin": "B00006L9LC", "style": {"Size:": " 84"}, "reviewerName": "Amazon Customer", "reviewText": "This is a great product. I have been using it since two years ago. It is very gentle on your hair!", "summary": "This is a great product. I have been using it since two ...", "unixReviewTime": 1481155200}
{"overall": 5.0, "verified": true, "reviewTime": "12 6, 2016", "reviewerID": "A4IV41UZ0Y789", "asin": "B00006L9LC", "style": {"Size:": " 29.2"}, "reviewerName": "Robert Young", "reviewText": "Great product and fast service.", "summary": "Five Stars", "unixReviewTime": 1480982400}
{"overall": 5.0, "verified": true, "reviewTime": "11 24, 2016", "reviewerID": "A3EZ4SUXGM5DKJ", "asin": "B00006L9LC", "style": {"Size:": " 505"}, "reviewerName": "Diane C", "reviewText": "Looks very well-made and colors are rich. A bit larger than I expected (shame on me for not looking at dimensions), but I think it will look lovely in my daughter's hair.", "summary": "Beautiful and Unusual Hair Decor", "unixReviewTime": 1479945600}
{"overall": 5.0, "verified": true, "reviewTime": "11 18, 2016", "reviewerID": "AY8XPOPF0OVO5", "asin": "B00006L9LC", "style": {"Size:": " 1"}, "reviewerName": "ParadiseValley", "reviewText": "This product works very well for me. I have tried so many things for straightening my hair. I use various creams and lotions while my hair is wet but I use this after I blowdry and before I flat iron.. My hair is curly (super curly at my scalp and very frizzy through the body of my hair). I have a lot of hair but it is thin and fine in texture. Before I flatiron I mist this all over my head. Be cautious not to overdo it or spray to close. Even though looks like a big can of hairspray it is a spray shine that elimates frizz and makes your hair smooth and soft. 3 cans will last me an eternity but the price was great and a must have any time I straighten my hair", "summary": "Awesome product for frizzy hair", "unixReviewTime": 1479427200}
{"overall": 5.0, "vote": "2", "verified": true, "reviewTime": "11 14, 2016", "reviewerID": "A33EQHCO5TZIP5", "asin": "B00006L9LC", "style": {"Size:": " one size"}, "reviewerName": "ISHY", "reviewText": "always good to freshen up when traveling", "summary": "Five Stars", "unixReviewTime": 1479081600}
{"overall": 5.0, "verified": true, "reviewTime": "11 14, 2016", "reviewerID": "A35TPYOPNIDM7", "asin": "B00006L9LC", "style": {"Size:": " 55"}, "reviewerName": "Amazon Customer", "reviewText": "Great smell and good product. I don't know that it moisturizes our daughters hair as much as we'd like, but the Tangle Taming Conditioner is a good follow-up for this shampoo.", "summary": "Good Product!", "unixReviewTime": 1479081600}
{"overall": 5.0, "verified": true, "reviewTime": "11 14, 2016", "reviewerID": "A3UXFQUZ6P1JRB", "asin": "B00006L9LC", "style": {"Size:": " 281"}, "reviewerName": "BabyBoomer55", "reviewText": "Smells incredible...almost a musk, deep scent. Lathers very well. You feel clean all day!", "summary": "Smells incredible... almost a musk, deep ...", "unixReviewTime": 1479081600}
{"overall": 5.0, "verified": true, "reviewTime": "11 13, 2016", "reviewerID": "ATCQ2K4QG03T4", "asin": "B00006L9LC", "style": {"Size:": " 1.69oz"}, "reviewerName": "Kimmie", "reviewText": "I like this shampoo. It makes my hair feel nice and soft. I'm in my 50's and on medication. So my hair always feels dry. But when i use this shampoo it makes my hair so much softer.", "summary": "I like this shampoo", "unixReviewTime": 1478995200}
{"overall": 5.0, "vote": "2", "verified": true, "reviewTime": "11 12, 2016", "reviewerID": "A2SEHJL7RHNW0Q", "asin": "B00006L9LC", "style": {"Size:": " 364"}, "reviewerName": "Bob in Columbus", "reviewText": "Purchased this for my wife, she loves the product. She uses it very night, can see a difference in her skin.", "summary": "Purchased this for my wife, she loves the product ...", "unixReviewTime": 1478908800}
{"overall": 5.0, "verified": true, "reviewTime": "11 5, 2016", "reviewerID": "A25NX4BU2GD908", "asin": "B00006L9LC", "style": {"Size:": " 11 fl. oz."}, "reviewerName": "anne lacy", "reviewText": "Very nice fragrance.", "summary": "Five Stars", "unixReviewTime": 1478304000}
{"overall": 5.0, "verified": true, "reviewTime": "11 2, 2016", "reviewerID": "A1TYZNOET5SXZF", "asin": "B00006L9LC", "style": {"Size:": " 98"}, "reviewerName": "kimogata", "reviewText": "makes hair smell really good", "summary": "Five Stars", "unixReviewTime": 1478044800}
{"overall": 5.0, "verified": false, "reviewTime": "10 30, 2016", "reviewerID": "A15NM9DLEOB4XI", "asin": "B00006L9LC", "style": {"Size:": " 13"}, "reviewerName": "RedEarth", "reviewText": "I really like the way this product enhances my hair's natural curl without being sticky. Lightweight and non-greasy.", "summary": "Nice hair product.", "unixReviewTime": 1477785600}
{"overall": 5.0, "verified": true, "reviewTime": "10 26, 2016", "reviewerID": "AMYTL79JMGQ6D", "asin": "B00006L9LC", "style": {"Size:": " 25.3"}, "reviewerName": "Mary Ann", "reviewText": "To me this shampoo has to best smell. It cleans very well without drying my hair out. My favorite shampoo.", "summary": "My favorite shampoo", "unixReviewTime": 1477440000}
{"overall": 5.0, "verified": true, "reviewTime": "10 25, 2016", "reviewerID": "A392UWXM2CDJ6V", "asin": "B00006L9LC", "style": {"Size:": " 30mla144"}, "reviewerName": "Kathy B.", "reviewText": "Great stuff, wish I could find more", "summary": "Five Stars", "unixReviewTime": 1477353600}
{"overall": 5.0, "verified": true, "reviewTime": "10 22, 2016", "reviewerID": "A1UARSQWRRYEB7", "asin": "B00006L9LC", "style": {"Size:": " 90"}, "reviewerName": "LW", "reviewText": "Love this shampoo! Recommended by a friend! Color really lasts!", "summary": "The Best!", "unixReviewTime": 1477094400}
{"overall": 5.0, "vote": "2", "verified": true, "reviewTime": "10 20, 2016", "reviewerID": "A3KXVT8LE6X9LR", "asin": "B00006L9LC", "style": {"Size:": " 561"}, "reviewerName": "415sf", "reviewText": "ive been using this cleanser for a few years now. i only found it in korea and brought a few tubes every time i visit (once a year). gentle but gets all the crap off. so happy to see it available stateside now.", "summary": "gentle but gets all the crap off. so happy to see it available stateside ...", "unixReviewTime": 1476921600}
{"overall": 5.0, "vote": "3", "verified": false, "reviewTime": "10 19, 2016", "reviewerID": "A3JQ30S858QNER", "asin": "B00006L9LC", "style": {"Size:": " 561"}, "reviewerName": "Joseph D. Drypolcher", "reviewText": "So excited to see this on amazon! I found this hem while traveling and couldn't find it anywhere when I got him, this scrub is seriously the best. Gentle and effective.", "summary": "The best scrub", "unixReviewTime": 1476835200}
{"overall": 5.0, "verified": true, "reviewTime": "10 17, 2016", "reviewerID": "A38EDCGATXMRI3", "asin": "B00006L9LC", "style": {"Size:": " 13 Fl. Oz"}, "reviewerName": "Amazon Customer", "reviewText": "Good Stuff!", "summary": "Good Stuff!", "unixReviewTime": 1476662400}
{"overall": 5.0, "verified": true, "reviewTime": "10 11, 2016", "reviewerID": "A2PUZMHH482FU7", "asin": "B00006L9LC", "style": {"Size:": " 266"}, "reviewerName": "inparadise", "reviewText": "Love this stuff - i'm on my second order. Started to get thinning hair. now there's whisps where there wasn't any and hair feels thicker all over.", "summary": "love this stuff", "unixReviewTime": 1476144000}
{"overall": 5.0, "verified": true, "reviewTime": "10 11, 2016", "reviewerID": "AIG1G1AKH7JVB", "asin": "B00006L9LC", "style": {"Size:": " 1"}, "reviewerName": "Amazon Customer", "reviewText": "Best stuff ever! Makes my hair less frizzy when using with a flat iron. Makes it soft & silky. Highly recommend!", "summary": "Best stuff ever", "unixReviewTime": 1476144000}
{"overall": 5.0, "verified": false, "reviewTime": "10 3, 2016", "reviewerID": "A6CEOJ5ISIGRB", "asin": "B00006L9LC", "style": {"Size:": " 281"}, "reviewerName": "samantha", "reviewText": "I love the smell of this body wash! It doesn't dry out my skin either!", "summary": "Smells great!", "unixReviewTime": 1475452800}
{"overall": 5.0, "verified": true, "reviewTime": "09 27, 2016", "reviewerID": "A316WN9Q8LGXT", "asin": "B00006L9LC", "style": {"Size:": " 110"}, "reviewerName": "William O Torres", "reviewText": "best for keratin treatments", "summary": "Five Stars", "unixReviewTime": 1474934400}
{"overall": 4.0, "verified": true, "reviewTime": "09 21, 2016", "reviewerID": "A2WNVJ6S7OVZP4", "asin": "B00006L9LC", "style": {"Size:": " 15"}, "reviewerName": "Amazon Customer", "reviewText": "It worked very well i disliked nothing", "summary": "Four Stars", "unixReviewTime": 1474416000}
{"overall": 5.0, "verified": true, "reviewTime": "09 19, 2016", "reviewerID": "AE051QZ4E3BPX", "asin": "B00006L9LC", "style": {"Size:": " 50"}, "reviewerName": "Debra A Marcks", "reviewText": "Received product in a timely fashion and am pleased.", "summary": "Shampoo", "unixReviewTime": 1474243200}
{"overall": 5.0, "verified": true, "reviewTime": "09 13, 2016", "reviewerID": "A27I10FZD5Y0OA", "asin": "B00006L9LC", "style": {"Size:": " 6"}, "reviewerName": "Jacqueline Anderson", "reviewText": "By far the BEST shampoo and conditioner I have used. As someone with very thick and dry hair it has given me back the shine and texture I craved.", "summary": "Excellent product!", "unixReviewTime": 1473724800}
{"overall": 5.0, "verified": true, "reviewTime": "09 11, 2016", "reviewerID": "A8FTL366YFPRX", "asin": "B00006L9LC", "style": {"Size:": " 6"}, "reviewerName": "JC", "reviewText": "This has helped my hair more than any other product I've tried. I went from red back to blonde and the stylist I was seeing FRIED my hair. Literally told me \"no charge for the chemical cut!\" and laughed. It's been an entire year of hair rehab and this is the only stuff that's worked. I've tried Kerastase, PHYTO and Davines. The Davines conditioner was great, the shampoo not so much. So I switched back to Theorie.", "summary": "Really improves the condition of your hair", "unixReviewTime": 1473552000}
{"overall": 5.0, "verified": true, "reviewTime": "09 5, 2016", "reviewerID": "ARFFWJFJWCAGE", "asin": "B00006L9LC", "style": {"Size:": " 15"}, "reviewerName": "Bob Eichhorn", "reviewText": "Seems to work as usual.", "summary": "Five Stars", "unixReviewTime": 1473033600}
{"overall": 3.0, "verified": true, "reviewTime": "09 2, 2016", "reviewerID": "AIPW346SC1MMK", "asin": "B00006L9LC", "style": {"Size:": " 1"}, "reviewerName": "Leslie Handley", "reviewText": "This product is a great deal. They don't sell this in the salon anymore, you can only find it online. It is a great product if you are looking for a shine. It did not work well as an anti-frizz product.", "summary": "This product is a great deal. They don't sell this in the salon ...", "unixReviewTime": 1472774400}
{"overall": 5.0, "verified": true, "reviewTime": "08 30, 2016", "reviewerID": "A2F7429CLFVV3T", "asin": "B00006L9LC", "style": {"Size:": " 200ml/6.7oz"}, "reviewerName": "Charlene D. Barker", "reviewText": "Leaves your hair full of volume and smells great", "summary": "Five Stars", "unixReviewTime": 1472515200}
{"overall": 5.0, "verified": true, "reviewTime": "08 26, 2016", "reviewerID": "A26FGQS4JIPDH5", "asin": "B00006L9LC", "style": {"Size:": " 281"}, "reviewerName": "Linda Willford", "reviewText": "My son also likes this", "summary": "smells great", "unixReviewTime": 1472169600}
{"overall": 5.0, "vote": "2", "verified": true, "reviewTime": "08 25, 2016", "reviewerID": "A3E9APU6SYF2SD", "asin": "B00006L9LC", "style": {"Size:": " one size"}, "reviewerName": "KatieMul", "reviewText": "Perfect size.", "summary": "Five Stars", "unixReviewTime": 1472083200}
{"overall": 5.0, "verified": true, "reviewTime": "08 24, 2016", "reviewerID": "A14QBW6X0Q1YSD", "asin": "B00006L9LC", "style": {"Size:": " 58"}, "reviewerName": "Susan J. Bedore", "reviewText": "Love the scent and it work better than any other mousse I have used. it makes my hair look natural, not stiff. My hair is shinier and fuller. Great stuff.", "summary": "Love the scent and it work better than any other ...", "unixReviewTime": 1471996800}
{"overall": 5.0, "verified": true, "reviewTime": "08 12, 2016", "reviewerID": "A80A8PCDT0NFB", "asin": "B00006L9LC", "style": {"Size:": " 57"}, "reviewerName": "Royce Lowe", "reviewText": "Used for years, it has DHT blocker", "summary": "Five Stars", "unixReviewTime": 1470960000}
{"overall": 5.0, "verified": true, "reviewTime": "08 9, 2016", "reviewerID": "A3HA7DWA3A6P4D", "asin": "B00006L9LC", "style": {"Size:": " 41"}, "reviewerName": "Stellina Reed", "reviewText": "Great Product; does wonders for colored treated hair.", "summary": "Five Stars", "unixReviewTime": 1470700800}
{"overall": 5.0, "verified": true, "reviewTime": "07 31, 2016", "reviewerID": "A1FFGS17PQWUI8", "asin": "B00006L9LC", "style": {"Size:": " 33"}, "reviewerName": "Amazon Customer", "reviewText": "I love it! I wish the conditioner was still available", "summary": "Wonderful!", "unixReviewTime": 1469923200}
{"overall": 5.0, "verified": true, "reviewTime": "07 31, 2016", "reviewerID": "A1QMMNAIOIP0YO", "asin": "B00006L9LC", "style": {"Size:": " 31"}, "reviewerName": "Zak young", "reviewText": "It makes your scalp tingle and does a great job of cleaning your hair.", "summary": "Great for every day use.", "unixReviewTime": 1469923200}
{"overall": 5.0, "verified": true, "reviewTime": "07 29, 2016", "reviewerID": "A327QPYID8TDAA", "asin": "B00006L9LC", "style": {"Size:": " 51"}, "reviewerName": "djanga b.", "reviewText": "This keeps my silver hair looking silvery (rather than yellow). I reorder this on a regular basis.", "summary": "No more yellow hair", "unixReviewTime": 1469750400}
{"overall": 5.0, "verified": true, "reviewTime": "07 26, 2016", "reviewerID": "A3QDLODOQKUXGN", "asin": "B00006L9LC", "style": {"Size:": " 281"}, "reviewerName": "Kitty", "reviewText": "Great fragrance and product. Will purchase again.", "summary": "Great Body Wash", "unixReviewTime": 1469491200}
{"overall": 5.0, "verified": true, "reviewTime": "07 26, 2016", "reviewerID": "A3RQS9GT66TEB8", "asin": "B00006L9LC", "style": {"Size:": " 43"}, "reviewerName": "W. Schilling", "reviewText": "I like the way it cools my head and cleans my hair", "summary": "Cooling", "unixReviewTime": 1469491200}
{"overall": 5.0, "verified": true, "reviewTime": "07 25, 2016", "reviewerID": "AHQ9P60N6NOAH", "asin": "B00006L9LC", "style": {"Size:": " 281"}, "reviewerName": "Beth", "reviewText": "Smells very nice.", "summary": "Five Stars", "unixReviewTime": 1469404800}
{"overall": 4.0, "verified": true, "reviewTime": "07 25, 2016", "reviewerID": "A1V0TDDAKM4T63", "asin": "B00006L9LC", "style": {"Size:": " 1"}, "reviewerName": "csrn925", "reviewText": "Been using this for years. Cheaper to buy this little bulk of 3 than in a single. I use these especially on humid or rainy days as I have hair that will go nuts, frizz & grow as the day goes along on these types of days. Don't use too much though because it will give a greasy look if overdone.", "summary": "Good stuff", "unixReviewTime": 1469404800}
{"overall": 5.0, "verified": true, "reviewTime": "07 21, 2016", "reviewerID": "A325V83PQAIH80", "asin": "B00006L9LC", "style": {"Size:": " 90"}, "reviewerName": "Julie Waller", "reviewText": "Fantastic Product. Been using it for years! You'll want to use it will the conditioner as well.", "summary": "Great Product!", "unixReviewTime": 1469059200}
|
English
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32k
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T1. Retrieval & Ranking
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T1.2 Key-Snippet Retrieval
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Partial
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Retrieve all "All Beauty" reviews that received 20 or more votes, and output the reviewerIDs in ascending order of vote value. Output the "[Answer]" identifier first, and then output the sorted reviewerID line by line, without any additional content.
Output example:
[Answer]
A34A1UP40713F8
A1AHW6I678O6F2
|
Retrieve all "All Beauty" reviews that received 20 or more votes, and output the reviewerIDs in ascending order of vote value. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the sorted reviewerID line by line, without any additional content.
Output example:
<Your thinking process>
[Answer]
A34A1UP40713F8
A1AHW6I678O6F2
|
[
"A22V1MD93T2FW9",
"A2UEO5XR3598GI",
"A35GLRQ89X0WRD"
] |
Moderate
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ed5063b4b06d7d30cc1e118ed242714a40c5f48ede0ebe2636919b98f5b7705f
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篇一：诺曼底登陆
1. 诺曼底登陆（英语：Normandy Landings），代号海王星行动（Operation Neptune），又通常称为D日（英语：D-Day），发生于1944年，是第二次世界大战西方盟军在欧洲西线战场发起的一场大规模攻势，为霸王行动的一部分。
2. 这场战役在1944年6月6日展开，一天内15万盟军士兵横渡英吉利海峡后在法国诺曼底地区登陆，是迄今为止人类史上最大规模的抢滩登陆战。
3. 诺曼底登陆开启了法国（以及后来西欧）的解放进程，为盟军在西线的胜利奠定了基础。
4. 在诺曼底登陆中作战的盟军军队主要由英国、美国及加拿大组成，但在抢滩完成后，自由法军及波兰军也有参与这场战役，而当中也有来自比利时、捷克斯洛伐克、希腊、荷兰和挪威的士兵。
5. 进攻诺曼底在登陆的前一天晚上展开，空降兵乘滑翔机降落（汤加行动）、进行大规模的空中轰炸、海军军舰炮击，而两栖登陆战则在当地时间6月6日早上6时30分开始。
6. 在登陆前“D-Day”的军队主要在英格兰南部沿海地区，尤其在朴茨茅斯部署。
反攻计划
7. 盟军入侵前数个月不断进行排练。
8. 1944年4月28日在英国南部海岸的德文郡，638名美军士兵和水手在一次名为老虎演习的登陆演习中遭德军鱼雷艇突袭而阵亡[1]。
9. 在入侵之前的几个月里，盟军进行了名为“坚忍行动”的欺骗行动，以误导德国有关入侵的日期和地点。
10. 在D-Day前出现了几次泄漏情报的事件。
11. 其中一次的泄密事件是发生在登陆6天前，出现在《每日电讯报》的填字游戏中。
12. 一些问题的答案，包括“霸王”、“海王星”、“黄金”和其他入侵计划的主要用词，美国政府宣布这只是一个巧合。
13. 通过西塞罗的故事，德国获得引用名词霸王的文件，但这些文件没有任何细节[2]。
14. 双重间谍如胡安·普约尔·加西亚（代号为“嘉宝”）在诺曼底说服德国三军统帅部，这充其量不过是一个“牵制性攻击”，从而发挥了重要作用。
15. 另外，美国陆军第9航空队的首席供应官少将亨利·米勒，在伦敦梅宝尼克拉里奇酒店的舞会中遇到客人投诉供应问题。
16. 他告诉他们，6月15日后供应会更容易些，被艾森豪元帅降为上校，送回美国本土，随即退休。
17. 另一个这样的情报泄漏，是戴高乐在入侵后的广播消息。
18. 戴高乐不同于所有的领导人，直说这次攻击是“真正的入侵”。
19. 戴高乐的行为可能令盟军的坚忍行动失败；相对而言，艾森豪则把登陆说成是“一开始的入侵”。
行动代号
20. 盟军为登陆的各个行动指定代号。
21. “霸王”的名字是分配给在大陆北部建立一个大规模的滩头阵地。
22. 第一阶段为建立一个稳固的立足点，代号为“海王星”。
23. 根据D-Day博物馆的说明：盟军使用的行动代号是指具体军事行动的规划和执行。
24. 霸王行动是盟军登陆西北欧的行动代号。
25. 海王星行动被称为霸王行动的突击阶段。
26. （...）海王星行动在D-Day（1944年6月6日）开始，截至1944年6月30日。
27. 到了这个时候，盟军在诺曼底建立了稳固的据点。
28. 霸王行动亦是在D-Day开始，并一直持续到1944年8月19日盟军越过塞纳河为止[3]。
29. 知悉D-Day内容的人员不被派往任何有被俘虏危险的地区，这些人被给予“比戈”的代号（来自词语“吉布”，即“去直布罗陀”的意思）并被印在他们的文件上，他们参加了在1942年对北非的战斗[4]。
30. 4月27日晚在老虎演习（一次在斯拉普顿滩举行的登陆演习）中，几艘美军坦克登陆舰被德军鱼雷艇攻击，638个美国人在袭击中丧生，另外308人被友军炮火击中丧生，有10名“比戈”被列为失踪。
31. 因为任何“比戈”被抓获或下落不明都将导致登陆行动被取消，因此军方优先寻找他们的下落，并最终找回全数10人的遗体。
盟军的反攻计划
32. 盟军的反攻计划包含欺敌计划。
33. 欺敌计划中的保镖行动：用以混淆德军情报单位，使德军对盟军登陆地点判断错误的欺敌计划，包括坚忍行动、齐柏林行动、铜头蛇行动等多个子计划。
34. 坚忍行动：成立一个实际上不存在的美国第1集团军群，也虚设了6、9、18、21、135空降师，虽然设了空降师师徽，但实际只是一个假的番号，没有任何兵卒组成，以盟军中最让德军畏惧的乔治·巴顿为指挥官，故意迷惑德军。
35. 该虚拟集团军群下辖同样不存在的美国第14集团军和英国第4集团军（总部在爱丁堡），让德军以为要入侵挪威和距离英国本土最近的加来[5]。
36. 齐柏林行动：让德军误以为盟军将在克里特岛、希腊西岸或罗马尼亚黑海海岸登陆的计划，此行动同时也掩护了龙骑兵行动。
37. 铜头蛇行动：使得德国情报机构误判了蒙哥马利上将的位置。
美军战区（第一集团军）
38. 美军战区（第一集团军）的第1步兵师及第29步兵师在奥马哈海滩登陆。
39. 第2及第5游骑兵营负责进攻奥克角，摧毁射程远达犹他、奥马哈滩头的重炮阵地。
40. 第4步兵师及第90步兵师在犹他海滩登陆。
41. 第82空降师负责攻击小镇圣-梅尔-艾格里斯，切断德军从瑟堡出发的增援。
42. 第101空降师在犹他海滩后方空降，支援登陆部队。
英军战区（第二集团军）
43. 英军战区（第二集团军）的第3步兵师及第27装甲旅进攻宝剑海滩。
44. 第50步兵师第8装甲旅登陆黄金海滩。
45. 加拿大第3步兵师及加拿大第2装甲旅登陆朱诺海滩。
46. 第6空降师空投到登陆地区的左翼地区，夺取附近的桥梁，以防止德军的装甲部队前往海岸支援。
47. 英军战区（第2集团军）指挥官是伯纳德·蒙哥马利上将，辖英国第2集团军群、美国第1集团军群和加拿大第1集团军群。
德军的防御
48. 德军的防御内容可参考主条目：大西洋壁垒。
49. 德军的准备工作：至盟军登陆，德军在西线总共完成了15,641个掩体及799座钢筋水泥炮台，同时亦埋下了800万枚地雷，令德军的防御力大增，也提高了战术的灵活性。
防御部队
50. 德军防御部队中，第716步兵师负责防御登陆地区的东边，包括大部分的英军及加拿大军海滩，第352步兵师负责防御大部分的美军。
登陆
51. 登陆行动首先以空降拉开序幕。
52. 英国第6空降师是最早投入战斗行动（汤加行动）的部队。
53. 早在凌晨00:16，他们就被空投到登陆地区的左翼地区（欧度村庄）。
54. 他们的目标是夺取佩加索斯桥（Pegasus Bridge）附近的桥梁，以防止德军的装甲部队前往海岸支援。
55. 伞兵们迅速占领了这些桥梁并等待那天稍后登陆的突击队员赶来。
56. 此行动的目标还包括夺取在梅尔维勒的地堡，虽然地堡没有被摧毁，但是在战斗过后，地堡中除了6人以外，其余全部伤亡。
57. 相比之下美军第82和第101空降师则是祸不单行。
58. 由于没有经验丰富的领航员而且地面情况复杂，部队被散落在各处。
59. 有些伞兵甚至降落在了海中或内陆中被德军故意淹没的低洼地区。
60. 很多人由于装备沉重且复杂，而被淹死在仅及膝深的水中。
61. 在24小时后101师只集合起约3,000人。
62. 很多人在D-Day后多日仍在敌后独自战斗。
63. 82师在6日早上占领了圣梅尔埃格利斯，这个小镇也就成了战役开始后整个法国第一个恢复自由的城镇。
宝剑海滩
64. 宝剑海滩相关内容可参考主条目：宝剑海滩。
65. 宝剑海滩紧邻奥恩河（Orne）口的维斯特雷阿姆（Ouistreham），是“霸王作战”5个抢滩地中，最东边的一个海滩。
66. 法国北部的航运中心卡昂，便位于海滩南边9英里处。
67. 从宝剑滩东边登陆的英军部队在抢滩后，很快地便击溃德军轻装步兵的火力，并于午后与先前空降内陆的伞兵部队会合。
68. 但从宝剑滩西边登陆的英军，则遭到德军第21装甲师的顽强抵抗，无法顺利与从朱诺海滩登陆的加拿大部队会师。
69. 双方一直激战至黄昏后，盟军才成功击退德军的装甲部队。
70. 当天登陆的29,000名英军中，伤亡人数有630人。
朱诺海滩
71. 朱诺海滩相关内容可参考主条目：朱诺海滩。
72. 加拿大第1军第3步兵师负责攻占朱诺海滩。
73. 海滩德军兵力为一个团，该团主要由俄罗斯人和波斯人组成，士气相当低落，战斗力也较差。
74. 不过加军的作战并非一帆风顺，恶劣的天气和错误的导航使登陆不得不推迟20分钟进行，也就是说必须在涨潮时登陆。
75. 比较怪异的是加军在登陆时损失并不大，可是登陆艇在卸下人员返航时却有很多因触雷被炸沉，某营的损失率甚至高达80%。
76. 由于正处涨潮，很多士兵下水后因装备过重而溺死、登陆后又遭德军火力压制。
77. 幸亏海军的火力支援相当及时到位才没有酿成奥马哈海滩的惨剧。
78. 在朱诺海滩损失最为惨重并非加军，而是负责打通和宝剑海滩联络的英军部队。
79. 英军乘坐的木壳登陆艇相当脆弱，很多士兵在登陆艇受损后不得不跳海逃生，以致溺死者甚多。
80. 盟军在朱诺海滩共损失2,000余人，比奥马哈海滩稍少。
81. 参与朱诺海滩登陆战的官兵共21,400名，伤亡人数则为1,200人。
黄金海滩
82. 负责攻占黄金海滩的是英军第30军第50师，第2梯队是英军第7装甲师。
83. 这也是在5个海滩登陆的唯一一个装甲师，该师曾远征非洲打败了隆美尔，作战经验丰富。
84. 由于登陆时间较晚，英军的火力准备非常充足，德军的几个主要火力点在登陆前就被舰炮摧毁。
85. 英军的水陆坦克被登陆舰直接送上海滩，避免重蹈美军在奥马哈的损失。
86. 在舰炮和坦克的掩护下，步兵推进非常顺利。
87. 相对主力部队，负责贝辛港（位于奥马哈海滩和黄金海滩的结合部，又是盟军在诺曼底登陆初期唯一一个可控制的港口）的英军第47登陆袭击队比较不顺。
88. 由于在登陆时损失了所有的通讯设备，该部队与主力失去了联系，又遭到德军的猛烈抵抗，受困海滩达8小时。
89. 好不容易到达贝辛港后又因敌情不明不敢贸然攻击，只能在德军的眼皮底下潜伏起来过夜。
90. 直到第二天缴获了德军的通讯设备后才联系上了主力部队，在火力支援下攻占了贝辛港。
91. 盟军在黄金海滩损失了约1,500名士兵。
奥马哈海滩
92. 奥马哈海滩是诺曼底登陆战役中战斗最为激烈的海滩。
93. 盟军在奥马哈滩头遭受了巨大的损失，仅阵亡者就达2,500人，因此又称“血腥奥马哈”。
94. 奥马哈海滩全长6.4公里，海岸多为30几米高的峭壁，地形易守难攻。
95. 这里的登陆作战任务由美军第9军承担。
96. 盟军由于情报有误，认为这里的德军守备部队只有一个团的兵力，还多是后备役人员，没有装甲车辆，战力贫弱。
97. 而实际上隆美尔在3月将德军精锐的第9集团军352步兵师全部调往诺曼底，而352师的一个主力团就驻守在奥马哈滩头，可惜直到登陆部队出发后盟军情报机关才找到352师的下落。
98. 登陆当天天气状况极端恶劣，盟军在登陆前就因风浪过大损失了10艘登陆艇和300余名官兵。
99. 在登陆艇上的官兵多为晕船和湿冷所苦，还没到达作战地点就基本精疲力尽了。
100. 登陆作战开始后也非常不顺，海滩西段预备的32辆两栖坦克中有27辆刚一下海就因风浪过大而沉没，幸存的5辆坦克中还有两辆很快被德军炮火炸毁。
101. 由于潮汐影响和秩序混乱，登陆的美军士兵很多都搞不清方向和集合点，大批士兵挤在滩头任凭德军炮火攻击。
102. 整整两个小时的时间里美军士兵无一能在西段冲上海滩，在东段也仅仅占领了9米宽的一段海滩，登陆行动几乎完全失败。
103. 然而美国海军为奥马哈海滩带来了转机。
104. 由于海滩登陆部队长时间没有任何联络讯息传来，海军指挥官意识到奥马哈海滩上的形势可能已极为严峻。
105. 于是17艘驱逐舰不顾触雷、搁浅和被155毫米海岸炮击沉的危险前进至距海滩仅730米处，在近距离为登陆美军提供火力支援。
106. 而美军的游骑兵此时也爬上了奥克角，结果发现所谓155毫米海岸炮是以电线杆伪装的。
107. 已无后顾之忧的海军肆无忌惮地向德军据点倾泻炮弹，先前被堵在海滩上的美军也在精锐部队第1师的带领下开始冲锋。
108. 中午时分，登陆部队第2梯队提前登陆。
109. 而在空军的指引下，美国海军的战斗舰和巡洋舰也开始对岸射击，德军的防御至此基本崩溃。
110. 天黑时美军正式登陆成功，第五军军部上岸并开设了指挥所[6]。
犹他海滩
111. 犹他海滩相关内容可参考主条目：犹他海滩。
112. 犹他海滩由美军第7军第4师负责攻占。
113. 由于得到了非常有效的火力支援，水陆坦克也在上岸时也没有受到大量损失，所以登陆作战异常顺利。
114. 值得一提是由于受东南方潮汐的影响，美军登陆艇向南偏离了1,800米，没有在预定地点上岸。
115. 这个错误反而给美军带来了意想不到的好运。
116. 在原登陆点德军驻守有一个团的守备部队和两个炮兵连，而在这个“错误”的登陆点德军只有一个连的兵力。
117. 第4师师长小罗斯福将军立刻断定此地可以登陆并设立了登陆标识。
118. 美军06:30登陆开始，至10:00已基本压制德军守军。
119. 美军在犹他海滩阵亡197人，不到预计的10%，是所有5个海滩中损失最少的。
纵深战斗与僵局
120. 纵深战斗与僵局阶段包含对瑟堡和卡昂的争夺。
瑟堡
121. 瑟堡位于诺曼底海滩西侧，地理上，距离英国本土更近，是一个优良港口。
122. 盟军在诺曼底登陆前便决定尽快攻下瑟堡便于盟军补给，因为6月海风较大，滩头简易码头无法停泊货船。
123. 于是在成功占领诺曼底海滩之后，右翼部队便向西再北上攻下瑟堡，为日后盟军的补给提供有利条件。
卡昂
124. 卡昂相关内容可参考主条目：卡昂战役。
125. 卡昂为西北欧重要的交通枢纽，盟军原本计划登陆日当天就要占领。
126. 但是德军迅速动员，阻止了盟军朝卡昂推进，夺取卡昂的行动变成了一场艰苦的消耗战。
127.盟军最终花了两个月占领这座城市。
突破
128.主条目：眼镜蛇行动
129.当德军大部分军力都在卡昂与英军作战时，美军以大规模空中轰炸撕裂德军西侧战线，冲出了诺曼底篱墙地形涌入开阔地。
结束和后续
130.主条目：法莱兹包围战和解放巴黎
131.美军完成突破之后，随即尝试与北边的英军会合，包围与英军对战的德军，由于德军发动摩尔坦反攻失败，令盟军的作战计划更加顺利，最终英美部队在法莱兹会师，包围并消灭大量的德军，幸存德军被迫撤退。
132.8月25日盟军越过塞纳河并且占领巴黎，开始了向德国边境的快速推进，诺曼底战役至此结束。巴黎市民在凯旋门游行庆祝，解放巴黎后，盟军继续前进，最后渡过莱茵河。
133.为了避免巨大伤亡，盟军总司令艾森豪威尔把攻占柏林的机会让给了苏军元帅朱可夫。
134.12月16日，德军发动了阿登攻势，也称为突出部战役，这是德军在西线战争中的最后一次重大攻势。苏联于1945年1月12日发动维斯瓦河-奥得河攻势，4月16日，苏军发动柏林战役。
135.希特勒于4月30日在苏联军队逼近他在柏林的元首地堡时自杀，5月2日柏林被攻占，德国最终于1945年5月7日投降。
篇二：访谈︱郑寅达：诺曼底登陆并非二战转折点
1. 70年前，1944年6月6日的诺曼底登陆战，原本计划在1942开辟的战场一直拖到1944年才开辟？
2. 诺曼底登陆战和斯大林格勒会战，谁才是第二次世界大战的转折点？
3. 诺曼底登陆70周年纪念日前夕，华东师范大学历史系教授郑寅达接受澎湃记者专访，解释了战争留给后世的诸多疑点，郑教授表示，“诺曼底登陆打得非常漂亮，但是在整个战争的进程上来讲，它构不成一个转折点。
4. 它的影响在于，一个欧洲战争的进程缩短了。”
战役为什么发生在1944年？
5. 澎湃记者：诺曼底登陆是二战历史上一个很著名的历史事件。
6. 作为一个被讨论的问题，是什么时候，在什么样的背景下提出来的呢？
7. 郑寅达：严格来讲，从这场战役结束，到二战结束，这个事情大家就比较感兴趣。
8. 最早的问题是围绕这个战役为什么发生在1944年展开。
9. 因为苏联比较早就向英美提出，希望在法国北部开辟第二战场。
10. 最初的交涉、谈判在1941年下半年就开始了，有形的协议是在1942年初确定。
11. 苏联当时的想法就是希望英美盟军在德军后面弄一下，假如建立一个桥头堡，或者据点，让德军腹背受敌，借此分散德国在东线战场的兵力。
12. 但英美方面一直没有行动。
13. 一直到德黑兰会议的时候，提出并确立这个事情。
14. 从苏联这方面来讲呢，内幕不是太清楚的话，会从另一个方面去想这个问题。
15. 因为丘吉尔讲过类似的话，说，现在苏德在打，我最理想的就是德国么，进坟墓了，苏联么，躺在手术台上了。
16. 这个对我们来讲是最理想的。
17. 那么，像这种话在西方传起来是比较快的。
18. 再加上英美迟迟没什么行动了，那么就被说成是坐山观虎斗了。
19. 事实上，在英美那边也存在种种问题。
20. 一个比较根本的，他们心目中的开辟第二战场与苏联提出来的不完全是一回事。
21. 苏联感觉你只要让它构成两线作战就行了。
22. 西方国家看来，他们要打，就是要后面的跟进更快一点，规模要大一点。
23. 第二个因素是英美之间一直在交涉，因为丘吉尔喜欢从地中海方向去打，或者打巴尔干，或者从意大利——通过意大利那就更难了，因为要把意大利先拿下来。
24. 如果从巴尔干半岛打呢，那就是传统英国的势力范围。
25. 那么，他去打的话，消灭敌人跟恢复我的地盘是一回事。
26. 丘吉尔一直就希望从地中海方向打，那么，从法国北部打，他不是很有兴趣。
27. 美国刚好相反，美国不管是打北非也好，在欧洲打也好，他对于英国的势力范围是不感兴趣的。
28. 因为这样的话，你利用我了，我在给你做嫁衣。
29. 从罗斯福来讲，在北非战场登陆也是在西北非登陆的，那里远离英国势力范围。
30. 就是说，咱们干脆找个新的地方去打，你也不会太占便宜，我也不会太当冤大头了。
31. 因为斯大林提出是在法国北部，要实现的是一个直接的效应。
32. 因为这个地方距离德国的心脏地区比较近，其他地区还要爬山什么的，很困难，你实现不了两线作战的效果。
33. 最后就变成很具体的，在法国北部开辟第二战场，只有在这开辟才是开辟第二战场。
34. 否则的话，第二战场本来就有了，因为战场本来就不止苏德战场一个，其他地方都在打。
35. 所以，说开辟欧洲第二战场，就是特指在这里开辟的战场。
36. 另外，第三个呢，跟一些新的内容有关系的。
37. 早在20世纪80年代，我在军事科学院看了当时从国外引进的一个电视纪录片《The World at War》(1973，BBC：战争中的世界/二战全史)。
38. 这个片子它就有体现，西方国家在1942年曾搞过一次军事行动。
39. 那么，现在研究掌握的文字材料披露出来的信息证明，实际上，西方国家在1941年、1942年进行过三次行动。
40. 1941年底，英国突击队对挪威的小型基地发起突击，取得小胜。
41. 1942年3月28日，美英军队对法国位于卢瓦尔（Loire）河口圣纳泽尔(Saint-Nazaire)的港口设施实施更大规模的突袭；同年8月19日，盟军又对英吉利海峡南岸的迪耶普(Dieppe)城和港口发起攻击。
42. 后两次行动基本上无果而终。
43. 英美两国由此看到了在法国北部登陆的艰难之处。
44. 法国北部天气也不好，经常是狂风暴雨，海浪很大，它的地势不适合登陆，要中间换小船，这样很慢，很危险。
45. 那么，这样本来英美之间本来就有风险，尽管某种程度上，美国经济力量很雄厚，你是在英国的土地上，其实，丘吉尔的影响还是很大的。
46. 种种因素使得原本这场答应在1942开辟的战场一直拖到1944年才开辟。
斯大林为什么不很痛快？
47. 澎湃记者：那么，对此，苏联方面是怎么样的态度？
48. 郑寅达：斯大林心里一直是不痛快的。
49. 但问题是，从1944年5月份拖到6月份，这个仗苏联是不是反感？
50. 当时是不太反感的。
51. 后来打了，斯大林心里是不是很痛苦。
52. 这就牵扯到1944年5月1日斯大林《最高统帅命令》的一个解读。
53. 当时，苏联四分之三的被占领土已经解放了，然后有些地方已经伸出去了。
54. 发布的《最高统帅命令》中有这么一句话，意思是我们要跟踪、追击，要打到法西斯的老巢里去的。
55. 在这个过程里面要把我们的波兰兄弟、捷克斯洛伐克兄弟和西欧兄弟解放出来。
56. 那么，这个话就看你如何解读了。
57. 敏感的人就会觉得，斯大林这个把西欧兄弟解放出来，是不是就是把西欧作为你的势力范围呢？
58. 这个是很微妙的。
59. 在那样一个大环境下，讲这个话似乎是无害的。
60. 但是敏感的人听起来，就是有种私心杂念在里面。
61. 但是，我们在解读的时候是不太强调这一点的，因为严格来说，我们在打败法西斯的时候，法国兄弟本来就在抵抗，他们就可以自我解放了。
62. 但是，至少从表面上看呢，斯大林没有表现出来有什么不高兴。
63. 假如你表现出不高兴的话，那么，你就心怀鬼胎了。
64. 当时还是向他们表示祝贺，很高兴，而且还有相互配合。
65. 1944年底，希特勒又搞了一次阿登的反击，当时这个反击弄得西方军队蛮尴尬的。
66. 因为德国的反击军队有可能要打到油库那里，供油站那里，如果你的供油站被他拿下来的话，就很尴尬了。
67. 那个时候他们就向苏联求救，苏联就修改计划，提前在东线再打一下。
68. 也就是讲，这个时候，明显看出来，他们是互相配合的。
69. 当时也就这样过去了。
70. 澎湃记者：那么后来，这个问题又怎么被提出来？
71. 郑寅达：后面在冷战时期，这个老账又提出来了。
72. 大家都在找对方的茬儿，就开始翻老账了。
73. 我们攻击美国已经成了世界人民的主要敌人，搞霸权主义。
74. 西方国家么，说你苏联也有很多私心杂念的。
75. 互相攻击，有好多节点是可以作为吵架的话题的，《苏德互不侵犯条约》是话题之一，诺曼底登陆也是一个话题。
76. 在冷战高峰时期，围绕着诺曼底登陆的问题就成了热门话题。
77. 没有诺曼底登陆的话，二战就不是1945年5月份就能结束的。
哪场战役是二战转折点？
78. 澎湃记者：看到一些关于诺曼底登陆战与斯大林格勒战役相比较的讨论，是不是就是在这个背景下产生的？
79. 郑寅达：这要更后面些。
80. 冷战时期，你能看出来大家在吵架。
81. 到20世纪80年代再这么有情绪地讨论这个事情，大家也有点厌倦了。
82. 按照以前我方的宣传，斯大林格勒会战才是第二次世界大战的转折点。
83. 后来，渐渐地，我们也心平气和了，承认在太平洋战场，从中途岛战役到瓜岛争夺战，完成了整个太平洋战场的转折。
84. 我们也承认，阿拉曼战役是北非战场上的转折点。
85. 从斯大林格勒会战开始，到库尔斯克会战结束， 这样一个在苏德战场上的转折点，同时又兼了二战的一个转折点。
86. 这就比我们以前的讲法更实事求是了。
87. 另一方面，在战争史上，登陆战特别难打，诺曼底登陆战能取得这么大的成就，是很了不起的。
88. 应该说，斯大林格勒会战在战争中的贡献，要超过诺曼底登陆，但是在战争史上的标志性的地位不如诺曼底登陆战。
89. 这个问题在不同的语境下要怎么看。
90. 西方国家出版、言论的大环境，让好多当时的人纷纷写回忆录，你声音发得响了，自然而然影响力就比较大。
91. 再加上好莱坞的电影技术，加上西方国家也不会拍斯大林格勒战役。
92. 变成他讲他的，效果很好，他也不讲你不好，但是效果上就有差别了。
93. 2005年的时候，至少在我们的媒体上面都已经给人家一个什么感觉呢，就是好像诺曼底登陆是第二次世界大战的一个转折点。
94. 澎湃记者：怎么评价诺曼底登陆战呢？
95. 郑寅达：应该这么讲，我们现在还是这么认为，诺曼底登陆是打得非常漂亮。
96. 但是在整个战争的进程上来讲，它是不能和其他几个战役相比的。
97. 而且严格上来讲，它构不成一个转折点。
98. 它的影响在于，一个欧洲战争的进程缩短了。
99. 没有诺曼底登陆的话，欧战就不是1945年5月份就能结束的。
100. 要是5月份不能结束，那么8月份结束，甚至1945年底结束。
101. 这时候严格来讲，我认为啊，假如斯大林有私心杂念的话，他不太希望你打。
102. 因为你打不打，你出兵晚，我反而是能更加推得西面一点了。
103. 根据他的话，那就是把法国兄弟也解放出来了。
104. 那法国由我来解放不更好么！
105. 从这个意义上来讲，西方国家确实有一个抢夺胜利果实的含义在里面。
106. 当然，这种话我们不要多讲。
107. 毕竟当时的共同目标就是反对法西斯的，那么它还是有个缩短战争进程的这样一个作用。
哪些因素造就这场胜利？
108. 澎湃记者：其实，是诸多因素造就了这场胜利。
109. 我个人印象较为深刻的是盟军的谍报工作。
110. 您怎么看这个问题？
111. 郑寅达：从英美的角度来讲，更多的是制造假象，不是太典型的谍报工作，在制造假象上面是做了很多工作的。
112. 从现在来看，首先保证这场仗是能够打赢的，第二，假如没有这个准备工作，损失还会更大。
113. 澎湃记者：制造了假象，造成了兵力的空隙。
114. 郑寅达：隆美尔（第二次世界大战一位著名的德国陆军元帅）不在现场，但如果他在呢，这种人脑子都很灵活的。
115. 反过来讲，德方的西线准备也有问题，希特勒自己的反应也有问题。
116. 重兵、装甲部队都部署在加莱。
117. 后来当隆美尔提出来赶紧调过来的时候，希特勒还不同意，他还是认为会是在加莱。
118. 曾经是他（希特勒）先讲到会在诺曼底，但是后来他又坚持认为是在加莱。
119. 装甲部队早调过来一天两天就不一样了，人家登陆场连成一片了再调过来，给了英美军队一个机会，干脆把你包围了。
120. 当你艰苦地爬上岸的时候，我重兵就来了，装甲部队来了，结果肯定就不一样了。
121. 当然，这种假设性问题，我们搞历史的几乎不去探讨。
122. 澎湃记者：这一段历史能引起读者的兴趣的点比较多。
123. 您在研究德国的过程中，发现德国有没有什么值得注意的？
124. 郑寅达：我也有意的在这方面写的比较多，我们国家学界以前是关注比较少的。
125. 我们主要是从进攻方入手，这方面挖掘的还可以。
126. 当时的潜台词是，在进攻方这样的准备之下，防守方是必败无疑的。
127. 但现在随着对德方的挖掘来看，德方存在这样的问题，一个是指挥系统有问题，第二个是对进攻点的判断，特别是第二个，希特勒做出的判断，一个是诺曼底，一个是加莱，那就与情报系统有关了。
128. 德国情报系统得到情报，英美在英国搞过一次登陆战的演习，演习的地形是跟诺曼底差不多的。
129. 这就不仅仅是一种预感了。
130. 那是情报系统在起作用。
131. 但是问题在于，他的体制就是希特勒一人说了算，所以令人感到不解的是，你这么敏感，看出了这样一个问题，那么为什么没坚持呢。
132. 澎湃记者：就被骗过去了。
133. 郑寅达：对对，被骗过去了。
134. 比如，德国的高级将领，在大家都认为盟军会在加莱登陆的情况下，谁能想到这一点。
135. 隆美尔尽管也聪明，也是最前线的指挥官，但也是受了希特勒的影响，才认为是在诺曼底。
136. 现在的问题是，隆美尔、希特勒都死了，这问题就讲不清楚了。
137. 澎湃记者：这不像艾森豪威尔、丘吉尔后来还都出版了回忆录。
138. 郑寅达： 对，要是活着，都可以去问他，你当初怎么产生这个想法的。
139. 在德国这一边，好多问题都是两眼一抹黑。
140. 现在随着他们的研究，他们也在想、在回忆，才看出来他们的一些情况。
141. 这些书有些是比较晚出来的，《第二次世界大战的重大战役（德国观点）》，这本书出的不晚的，但是我们都没重视。
142. 这跟话语权有关。
143. 为什么西方国家的想法、做法都会引起大家的共鸣，这个实际上跟话语权是有关系的。
144. 因为媒体本身就是话语权。
145. 你能发出声音，还有就是发出什么声音、怎么发出声音，这在西方国家是蛮有基础的。
146. 社会主义国家很多事情想的很好，但做的不高明，指导思想太直白了。
147. 人家分析过的，在那个时代，美国之音为什么吸引力那么强，他跟你讲的时候不说我有什么指导思想，在叙述事情的时候把情感、观点加在里面，整个入口很低，好像在跟大家讲真相，但是在讲真相的时候，整个事情都包含在里面了。
148. 诺曼底登陆大家很感兴趣，大片也起了很大作用。
149. 你去看电影，也会感兴趣。
150. 从美国来讲，现在的现状就是大家对诺曼底登陆知晓度还是蛮高的，在这种情况下完全放弃也不好。
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T7. Consistency & Compliance Checking
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T7.1 Global Conflict & Inconsistency Localization
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K
(Mark One)
x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2023
OR
o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from _________ to _________
Commission File Number: 001-34756
Tesla, Inc.
(Exact name of registrant as specified in its charter)
Delaware 91-2197729
(State or other jurisdiction of
incorporation or organization) (I.R.S. Employer
Identification No.)
1 Tesla Road
Austin, Texas 78725
(Address of principal executive offices) (Zip Code)
(512) 516-8177
(Registrant’s telephone number, including area code)
Securities registered pursuant to Section 12(b) of the Act:
Title of each class Trading Symbol(s) Name of each exchange on which registered
Common stock TSLA The Nasdaq Global Select Market
Securities registered pursuant to Section 12(g) of the Act:
None
Indicate by check mark whether the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes x No o
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act. Yes o No x
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 (“Exchange Act”) during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x No o
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes x No o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act:
Large accelerated filer x Accelerated filer o
Non-accelerated filer o Smaller reporting company o
Emerging growth company o
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o
Indicate by check mark whether the Registrant has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report. x
If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflect the correction of an error to previously issued financial statements. o
Indicate by check mark whether any of those error corrections are restatements that required a recovery analysis of incentive-based compensation received by any of the registrant’s executive officers during the relevant recovery period pursuant to §240.10D-1(b). o
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No x
The aggregate market value of voting stock held by non-affiliates of the registrant, as of June 30, 2023, the last day of the registrant’s most recently completed second fiscal quarter, was $722.52 billion (based on the closing price for shares of the registrant’s Common Stock as reported by the NASDAQ Global Select Market on June 30, 2023). Shares of Common Stock held by each executive officer and director have been excluded in that such persons may be deemed to be affiliates. This determination of affiliate status is not necessarily a conclusive determination for other purposes.
As of January 22, 2024, there were 3,184,790,415 shares of the registrant’s common stock outstanding.
DOCUMENTS INCORPORATED BY REFERENCE
Portions of the registrant’s Proxy Statement for the 2024 Annual Meeting of Stockholders are incorporated herein by reference in Part III of this Annual Report on Form 10-K to the extent stated herein. Such proxy statement will be filed with the Securities and Exchange Commission within 120 days of the registrant’s fiscal year ended December 31, 2023.
TESLA, INC.
ANNUAL REPORT ON FORM 10-K FOR THE YEAR ENDED DECEMBER 31, 2023
INDEX
Page
PART I.
Item 1.
Business
4
Item 1A.
Risk Factors
14
Item 1B.
Unresolved Staff Comments
28
Item 1C. Cybersecurity
29
Item 2.
Properties
30
Item 3.
Legal Proceedings
30
Item 4.
Mine Safety Disclosures
30
PART II.
Item 5.
Market for Registrant's Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities
31
Item 6.
[Reserved]
32
Item 7.
Management's Discussion and Analysis of Financial Condition and Results of Operations
33
Item 7A.
Quantitative and Qualitative Disclosures about Market Risk
45
Item 8.
Financial Statements and Supplementary Data
46
Table of Contents
Forward-Looking Statements
The discussions in this Annual Report on Form 10-K contain forward-looking statements reflecting our current expectations that involve risks and uncertainties. These forward-looking statements include, but are not limited to, statements concerning supply chain constraints, our strategy, competition, future operations and production capacity, future financial position, future revenues, projected costs, profitability, expected cost reductions, capital adequacy, expectations regarding demand and acceptance for our technologies, growth opportunities and trends in the markets in which we operate, prospects and plans and objectives of management. The words “anticipates,” “believes,” “could,” “estimates,” “expects,” “intends,” “may,” “plans,” “projects,” “will,” “would” and similar expressions are intended to identify forward-looking statements, although not all forward-looking statements contain these identifying words. We may not actually achieve the plans, intentions or expectations disclosed in our forward-looking statements and you should not place undue reliance on our forward-looking statements. Actual results or events could differ materially from the plans, intentions and expectations disclosed in the forward-looking statements that we make. These forward-looking statements involve risks and uncertainties that could cause our actual results to differ materially from those in the forward-looking statements, including, without limitation, the risks set forth in Part I, Item 1A, “Risk Factors” of the Annual Report on Form 10-K for the fiscal year ended December 31, 2023 and that are otherwise described or updated from time to time in our other filings with the Securities and Exchange Commission (the “SEC”). The discussion of such risks is not an indication that any such risks have occurred at the time of this filing. We do not assume any obligation to update any forward-looking statements.
Table of Contents
PART I
ITEM 1. BUSINESS
Overview
We design, develop, manufacture, sell and lease high-performance fully electric vehicles and energy generation and storage systems, and offer services related to our products. We generally sell our products directly to customers, and continue to grow our customer-facing infrastructure through a global network of vehicle showrooms and service centers, Mobile Service, body shops, Supercharger stations and Destination Chargers to accelerate the widespread adoption of our products. We emphasize performance, attractive styling and the safety of our users and workforce in the design and manufacture of our products and are continuing to develop full self-driving technology for improved safety. We also strive to lower the cost of ownership for our customers through continuous efforts to reduce manufacturing costs and by offering financial and other services tailored to our products.
Our mission is to accelerate the world’s transition to sustainable energy. We believe that this mission, along with our engineering expertise, vertically integrated business model and focus on user experience differentiate us from other companies.
Segment Information
We operate as two reportable segments: (i) automotive and (ii) energy generation and storage.
The automotive segment includes the design, development, manufacturing, sales and leasing of high-performance fully electric vehicles as well as sales of automotive regulatory credits. Additionally, the automotive segment also includes services and other, which includes sales of used vehicles, non-warranty after-sales vehicle services, body shop and parts, paid Supercharging, vehicle insurance revenue and retail merchandise. The energy generation and storage segment includes the design, manufacture, installation, sales and leasing of solar energy generation and energy storage products and related services and sales of solar energy systems incentives.
Our Products and Services
Automotive
We currently manufacture five different consumer vehicles – the Model 3, Y, S, X and Cybertruck. Model 3 is a four-door mid-size sedan that we designed for manufacturability with a base price for mass-market appeal. Model Y is a compact sport utility vehicle (“SUV”) built on the Model 3 platform with seating for up to seven adults. Model S is a four-door full-size sedan and Model X is a mid-size SUV with seating for up to seven adults. Model S and Model X feature the highest performance characteristics and longest ranges that we offer in a sedan and SUV, respectively. In November 2023, we entered the consumer pickup truck market with first deliveries of the Cybertruck, a full-size electric pickup truck with a stainless steel exterior that has the utility and strength of a truck while featuring the speed of a sports car.
In 2022, we also began early production and deliveries of a commercial electric vehicle, the Tesla Semi. We have planned electric vehicles to address additional vehicle markets, and to continue leveraging developments in our proprietary Full Self-Driving (“FSD”) Capability features, battery cell and other technologies.
Energy Generation and Storage
Energy Storage Products
Powerwall and Megapack are our lithium-ion battery energy storage products. Powerwall, which we sell directly to customers, as well as through channel partners, is designed to store energy at a home or small commercial facility. Megapack is an energy storage solution for commercial, industrial, utility and energy generation customers, multiple of which may be grouped together to form larger installations of gigawatt hours (“GWh”) or greater capacity.
We also continue to develop software capabilities for remotely controlling and dispatching our energy storage systems across a wide range of markets and applications, including through our real-time energy control and optimization platforms.
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Solar Energy Offerings
We sell retrofit solar energy systems to customers and channel partners and also make them available through power purchase agreement (“PPA”) arrangements. We purchase most of the components for our retrofit solar energy systems from multiple sources to ensure competitive pricing and adequate supply. We also design and manufacture certain components for our solar energy products.
We sell our Solar Roof, which combines premium glass roof tiles with energy generation, directly to customers, as well as through channel customers. We continue to improve our installation capability and efficiency, including through collaboration with real estate developers and builders on new homes.
Technology
Automotive
Battery and Powertrain
Our core vehicle technology competencies include powertrain engineering and manufacturing and our ability to design vehicles that utilize the unique advantages of an electric powertrain. We have designed our proprietary powertrain systems to be adaptable, efficient, reliable and cost-effective while withstanding the rigors of an automotive environment. We offer dual motor powertrain vehicles, which use two electric motors to maximize traction and performance in an all-wheel drive configuration, as well as vehicle powertrain technology featuring three electric motors for further increased performance in certain versions of Model S and Model X, Cybertruck and the Tesla Semi.
We maintain extensive testing and R&D capabilities for battery cells, packs and systems, and have built an expansive body of knowledge on lithium-ion cell chemistry types and performance characteristics. In order to enable a greater supply of cells for our products with higher energy density at lower costs, we have developed a new proprietary lithium-ion battery cell and improved manufacturing processes.
Vehicle Control and Infotainment Software
The performance and safety systems of our vehicles and their battery packs utilize sophisticated control software. Control systems in our vehicles optimize performance, customize vehicle behavior, manage charging and control all infotainment functions. We develop almost all of this software, including most of the user interfaces, internally and update our vehicles’ software regularly through over-the-air updates.
Self-Driving Development and Artificial Intelligence
We have expertise in developing technologies, systems and software to enable self-driving vehicles using primarily vision-based technologies. Our FSD Computer runs our neural networks in our vehicles, and we are also developing additional computer hardware to better enable the massive amounts of field data captured by our vehicles to continually train and improve these neural networks for real-world performance.
Currently, we offer in our vehicles certain advanced driver assist systems under our Autopilot and FSD Capability options. Although at present the driver is ultimately responsible for controlling the vehicle, our systems provide safety and convenience functionality that relieves drivers of the most tedious and potentially dangerous aspects of road travel much like the system that airplane pilots use, when conditions permit. As with other vehicle systems, we improve these functions in our vehicles over time through over-the-air updates.
We intend to establish in the future an autonomous Tesla ride-hailing network, which we expect would also allow us to access a new customer base even as modes of transportation evolve.
We are also applying our artificial intelligence learnings from self-driving technology to the field of robotics, such as through Optimus, a robotic humanoid in development, which is controlled by the same AI system.
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Table of Contents
Energy Generation and Storage
Energy Storage Products
We leverage many of the component-level technologies from our vehicles in our energy storage products. By taking a modular approach to the design of battery systems, we can optimize manufacturing capacity of our energy storage products. Additionally, our expertise in power electronics enables our battery systems to interconnect with electricity grids while providing fast-acting systems for power injection and absorption. We have also developed software to remotely control and dispatch our energy storage systems.
Solar Energy Systems
We have engineered Solar Roof over numerous iterations to combine aesthetic appeal and durability with power generation. The efficiency of our solar energy products is aided by our own solar inverter, which incorporates our power electronics technologies. We designed both products to integrate with Powerwall.
Design and Engineering
Automotive
We have established significant in-house capabilities in the design and test engineering of electric vehicles and their components and systems. Our team has significant experience in computer-aided design as well as durability, strength and crash test simulations, which reduces the product development time of new models. We have also achieved complex engineering feats in stamping, casting and thermal systems, and developed a method to integrate batteries directly with vehicle body structures without separate battery packs to optimize manufacturability, weight, range and cost characteristics.
We are also expanding our manufacturing operations globally while taking action to localize our vehicle designs and production for particular markets, including country-specific market demands and factory optimizations for local workforces. As we increase our capabilities, particularly in the areas of automation, die-making and line-building, we are also making strides in the simulations modeling these capabilities prior to construction.
Energy Generation and Storage
Our expertise in electrical, mechanical, civil and software engineering allows us to design, engineer, manufacture and install energy generating and storage products and components, including at the residential through utility scale. For example, the modular design of our Megapack utility-scale battery line is intended to significantly reduce the amount of assembly required in the field. We also customize solutions including our energy storage products, solar energy systems and/or Solar Roof for customers to meet their specific needs.
Sales and Marketing
Historically, we have been able to achieve sales without traditional advertising and at relatively low marketing costs. We continue to monitor our public narrative and brand, and tailor our marketing efforts accordingly, including through investments in customer education and advertising as necessary.
Automotive
Direct Sales
Our vehicle sales channels currently include our website and an international network of company-owned stores. In some jurisdictions, we also have galleries to educate and inform customers about our products, but such locations do not transact in the sale of vehicles. We believe this infrastructure enables us to better control costs of inventory, manage warranty service and pricing, educate consumers about electric vehicles, make our vehicles more affordable, maintain and strengthen the Tesla brand and obtain rapid customer feedback.
We reevaluate our sales strategy both globally and at a location-by-location level from time to time to optimize our sales channels. However, sales of vehicles in the automobile industry tend to be cyclical in many markets, which may expose us to volatility from time to time.
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Table of Contents
Used Vehicle Sales
Our used vehicle business supports new vehicle sales by integrating the trade-in of a customer’s existing Tesla or non-Tesla vehicle with the sale of a new or used Tesla vehicle. The Tesla and non-Tesla vehicles we acquire as trade-ins are subsequently remarketed, either directly by us or through third parties. We also remarket used Tesla vehicles acquired from other sources including lease returns.
Public Charging
We have a growing global network of Tesla Superchargers, which are our industrial-grade, high-speed vehicle chargers. Where possible, we co-locate Superchargers with our solar and energy storage systems to reduce costs and promote renewable power. Supercharger stations are typically placed along well-traveled routes and in and around dense city centers to allow vehicle owners the ability to enjoy quick, reliable charging along an extensive network with convenient stops. Use of the Supercharger network either requires payment of a fee or is free under certain sales programs. In November 2021, we began to offer Supercharger access to non-Tesla vehicles in certain locations in support of our mission to accelerate the world’s transition to sustainable energy, and in November 2022, we opened up our previously proprietary charging connector as the North American Charging Standard (NACS). This enables all electric vehicles and charging stations to interoperate — which makes charging easier and more efficient for everyone and advances our mission to accelerate the world’s transition to sustainable energy. Following this, a number of major automotive companies announced their adoption of NACS, with their access to the Supercharger network beginning in phases in 2024 and their production of NACS vehicles beginning no later than 2025. We also engaged SAE International to govern NACS as an industry standard, now named J3400. We continue to monitor and increase our network of Tesla Superchargers in anticipation of future demand.
We also work with a wide variety of hospitality, retail and public destinations, as well as businesses with commuting employees, to offer additional charging options for our customers, as well as single-family homeowners and multi-family residential entities, to deploy home charging solutions.
In-App Upgrades
As our vehicles are capable of being updated remotely over-the-air, our customers may purchase additional paid options and features through the Tesla app or through the in-vehicle user interface. We expect that this functionality will also allow us to offer certain options and features on a subscription basis in the future.
Energy Generation and Storage
We market and sell our solar and energy storage products to residential, commercial and industrial customers and utilities through a variety of channels, including through our website, stores and galleries, as well as through our network of channel partners, and in the case of some commercial customers, through PPA transactions. We emphasize simplicity, standardization and accessibility to make it easy and cost-effective for customers to adopt clean energy, while reducing our customer acquisition costs.
Service and Warranty
Automotive
Service
We provide service for our electric vehicles at our company-owned service locations and through Tesla Mobile Service technicians who perform work remotely at customers’ homes or other locations. Servicing the vehicles ourselves allows us to identify problems and implement solutions and improvements faster than traditional automobile manufacturers and their dealer networks. The connectivity of our vehicles also allows us to diagnose and remedy many problems remotely and proactively.
Vehicle Limited Warranties and Extended Service Plans
We provide a manufacturer’s limited warranty on all new and used Tesla vehicles we sell directly to consumers, which may include limited warranties on certain components, specific types of damage or battery capacity retention. We also currently offer optional extended service plans that provide coverage beyond the new vehicle limited warranties for certain models in specified regions.
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Table of Contents
Energy Generation and Storage
We provide service and repairs to our energy product customers, including under warranty where applicable. We generally provide manufacturer’s limited warranties with our energy storage products and offer certain extended limited warranties that are available at the time of purchase of the system. If we install a system, we also provide certain limited warranties on our installation workmanship.
For retrofit solar energy systems, we provide separate limited warranties for workmanship and against roof leaks, and for Solar Roof, we also provide limited warranties for defects and weatherization. For components not manufactured by us, we generally pass-through the applicable manufacturers’ warranties.
As part of our solar energy system and energy storage contracts, we may provide the customer with performance guarantees that commit that the underlying system will meet or exceed the minimum energy generation or performance requirements specified in the contract.
Financial Services
Automotive
Purchase Financing and Leases
We offer leasing and/or loan financing arrangements for our vehicles in certain jurisdictions in North America, Europe and Asia ourselves and through various financial institutions. Under certain of such programs, we have provided resale value guarantees or buyback guarantees that may obligate us to cover a resale loss up to a certain limit or repurchase the subject vehicles at pre-determined values.
Insurance
In 2021, we launched our insurance product using real-time driving behavior in select states, which offers rates that are often better than other alternatives and promotes safer driving. Our insurance products are currently available in 12 states and we plan to expand the markets in which we offer insurance products, as part of our ongoing effort to decrease the total cost of ownership for our customers.
Energy Generation and Storage
We offer certain financing options to our solar customers, which enable the customer to purchase and own a solar energy system, Solar Roof or integrated solar and Powerwall system. Our solar PPAs, offered primarily to commercial customers, charge a fee per kilowatt-hour based on the amount of electricity produced by our solar energy systems.
Manufacturing
We currently have manufacturing facilities in the U.S. in Northern California, in Buffalo, New York, Gigafactory New York; in Austin, Texas, Gigafactory Texas and near Reno, Nevada, Gigafactory Nevada. At these facilities, we manufacture and assemble, among other things, vehicles, certain vehicle parts and components, such as our battery packs and battery cells, energy storage components and solar products and components.
Internationally, we also have manufacturing facilities in China (Gigafactory Shanghai) and Germany (Gigafactory Berlin-Brandenburg), which allows us to increase the affordability of our vehicles for customers in local markets by reducing transportation and manufacturing costs and eliminating the impact of unfavorable tariffs. In March 2023, we announced the location of our next Gigafactory in Monterrey, Mexico. Generally, we continue to expand production capacity at our existing facilities. We also intend to further increase cost-competitiveness in our significant markets by strategically adding local manufacturing.
Supply Chain
Our products use thousands of parts that are sourced from hundreds of suppliers across the world. We have developed close relationships with vendors of key parts such as battery cells, electronics and complex vehicle assemblies. Certain components purchased from these suppliers are shared or are similar across many product lines, allowing us to take advantage of pricing efficiencies from economies of scale.
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Table of Contents
As is the case for some automotive companies, some of our procured components and systems are sourced from single suppliers. Where multiple sources are available for certain key components, we work to qualify multiple suppliers for them where it is sensible to do so in order to minimize potential production risks due to disruptions in their supply. We also mitigate risk by maintaining safety stock for key parts and assemblies and die banks for components with lengthy procurement lead times.
Our products use various raw materials including aluminum, steel, cobalt, lithium, nickel and copper. Pricing for these materials is governed by market conditions and may fluctuate due to various factors outside of our control, such as supply and demand and market speculation. We strive to execute long-term supply contracts for such materials at competitive pricing when feasible, and we currently believe that we have adequate access to raw materials supplies to meet the needs of our operations.
Governmental Programs, Incentives and Regulations
Globally, the ownership of our products by our customers is impacted by various government credits, incentives, and policies. Our business and products are also subject to numerous governmental regulations that vary among jurisdictions.
The operation of our business is also impacted by various government programs, incentives, and other arrangements. See Note 2, Summary of Significant Accounting Policies, to the consolidated financial statements included elsewhere in this Annual Report on Form 10-K for further details.
Programs and Incentives
Inflation Reduction Act
On August 16, 2022, the Inflation Reduction Act of 2022 (“IRA”) was enacted into law and is effective for taxable years beginning after December 31, 2022, and remains subject to future guidance releases. The IRA includes multiple incentives to promote clean energy, electric vehicles, battery and energy storage manufacture or purchase, including through providing tax credits to consumers. For example, qualifying Tesla customers may receive up to $7,500 in federal tax credits for the purchase of qualified electric vehicles in the U.S. through 2032.
Automotive Regulatory Credits
We earn tradable credits in the operation of our business under various regulations related to zero-emission vehicles (“ZEVs”), greenhouse gas, fuel economy and clean fuel. We sell these credits to other regulated entities who can use the credits to comply with emission standards and other regulatory requirements. Sales of these credits are recognized within automotive regulatory credits revenue in our consolidated statements of operations included elsewhere in this Annual Report on Form 10-K.
Energy Storage System Incentives and Policies
While the regulatory regime for energy storage projects is still under development, there are various policies, incentives and financial mechanisms at the federal, state and local levels that support the adoption of energy storage.
For example, energy storage systems that are charged using solar energy may be eligible for the solar energy-related U.S. federal tax credits described below. The Federal Energy Regulatory Commission (“FERC”) has also taken steps to enable the participation of energy storage in wholesale energy markets. In addition, California and a number of other states have adopted procurement targets for energy storage, and behind-the-meter energy storage systems qualify for funding under the California Self Generation Incentive Program. Our customers primarily benefit directly under these programs. In certain instances our customers may transfer such credits to us as contract consideration. In such transactions, they are included as a component of energy generation and storage revenues in our consolidated statements of operations included elsewhere in this Annual Report on Form 10-K.
Pursuant to the IRA, under Sections 48, 48E and 25D of the Internal Revenue Code (”IRC”), standalone energy storage technology is eligible for a tax credit between 6% and 50% of qualified expenditures, regardless of the source of energy, which may be claimed by our customers for storage systems they purchase or by us for arrangements where we own the systems. These tax credits are primarily for the benefit of our customers and are currently scheduled to phase-out starting in 2032 or later.
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Solar Energy System Incentives and Policies
U.S. federal, state and local governments have established various policies, incentives and financial mechanisms to reduce the cost of solar energy and to accelerate the adoption of solar energy. These incentives include tax credits, cash grants, tax abatements and rebates.
In particular, pursuant to the IRA, Sections 48, 48E and 25D of the IRC provides a tax credit between 6% and 70% of qualified commercial or residential expenditures for solar energy systems, which may be claimed by our customers for systems they purchase, or by us for arrangements where we own the systems for properties that meet statutory requirements. These tax credits are primarily for the direct benefit of our customers and are currently scheduled to phase-out starting in 2032 or later.
Regulations
Vehicle Safety and Testing
In the U.S., our vehicles are subject to regulation by the National Highway Traffic Safety Administration (“NHTSA”), including all applicable Federal Motor Vehicle Safety Standards (“FMVSS”) and the NHTSA bumper standard. Numerous FMVSS apply to our vehicles, such as crash-worthiness and occupant protection requirements. Our current vehicles fully comply and we expect that our vehicles in the future will fully comply with all applicable FMVSS with limited or no exemptions, however, FMVSS are subject to change from time to time. As a manufacturer, we must self-certify that our vehicles meet all applicable FMVSS and the NHTSA bumper standard, or otherwise are exempt, before the vehicles may be imported or sold in the U.S.
We are also required to comply with other federal laws administered by NHTSA, including the Corporate Average Fuel Economy standards, Theft Prevention Act requirements, labeling requirements and other information provided to customers in writing, Early Warning Reporting requirements regarding warranty claims, field reports, death and injury reports and foreign recalls, a Standing General Order requiring reports regarding crashes involving vehicles equipped with advanced driver assistance systems, and additional requirements for cooperating with compliance and safety investigations and recall reporting. The U.S. Automobile Information and Disclosure Act also requires manufacturers of motor vehicles to disclose certain information regarding the manufacturer’s suggested retail price, optional equipment and pricing. In addition, federal law requires inclusion of fuel economy ratings, as determined by the U.S. Department of Transportation and the Environmental Protection Agency (the “EPA”), and New Car Assessment Program ratings as determined by NHTSA, if available.
Our vehicles sold outside of the U.S. are subject to similar foreign compliance, safety, environmental and other regulations. Many of those regulations are different from those applicable in the U.S. and may require redesign and/or retesting. Some of those regulations impact or prevent the rollout of new vehicle features.
Self-Driving Vehicles
Generally, laws pertaining to self-driving vehicles are evolving globally, and in some cases may create restrictions on features or vehicle designs that we develop. While there are currently no federal U.S. regulations pertaining specifically to self-driving vehicles or self-driving equipment, NHTSA has published recommended guidelines on self-driving vehicles, apart from the FMVSS and manufacturer reporting obligations, and retains the authority to investigate and/or take action on the safety or compliance of any vehicle, equipment or features operating on public roads. Certain U.S. states also have legal restrictions on the operation, registration or licensure of self-driving vehicles, and many other states are considering them. This regulatory patchwork increases the legal complexity with respect to self-driving vehicles in the U.S.
In markets that follow the regulations of the United Nations Economic Commission for Europe (“ECE markets”), some requirements restrict the design of advanced driver-assistance or self-driving features, which can compromise or prevent their use entirely. Other applicable laws, both current and proposed, may hinder the path and timeline to introducing self-driving vehicles for sale and use in the markets where they apply.
Other key markets, including China, continue to consider self-driving regulation. Any implemented regulations may differ materially from the U.S. and ECE markets, which may further increase the legal complexity of self-driving vehicles and limit or prevent certain features.
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Automobile Manufacturer and Dealer Regulation
In the U.S., state laws regulate the manufacture, distribution, sale and service of automobiles, and generally require motor vehicle manufacturers and dealers to be licensed in order to sell vehicles directly to residents. Certain states have asserted that the laws in such states do not permit automobile manufacturers to be licensed as dealers or to act in the capacity of a dealer, or that they otherwise restrict a manufacturer’s ability to deliver or perform warranty repairs on vehicles. To sell vehicles to residents of states where we are not licensed as a dealer, we generally conduct the sale out of the state. In certain such states, we have opened “galleries” that serve an educational purpose and where sales may not occur.
Some automobile dealer trade associations have both challenged the legality of our operations in court and used administrative and legislative processes to attempt to prohibit or limit our ability to operate existing stores or expand to new locations. Certain dealer associations have also actively lobbied state licensing agencies and legislators to interpret existing laws or enact new laws in ways not favorable to our ownership and operation of our own retail and service locations. We expect such challenges to continue, and we intend to actively fight any such efforts.
Battery Safety and Testing
Our battery packs are subject to various U.S. and international regulations that govern transport of “dangerous goods,” defined to include lithium-ion batteries, which may present a risk in transportation. We conduct testing to demonstrate our compliance with such regulations.
We use lithium-ion cells in our high voltage battery packs in our vehicles and energy storage products. The use, storage and disposal of our battery packs are regulated under existing laws and are the subject of ongoing regulatory changes that may add additional requirements in the future. We have agreements with third party battery recycling companies to recycle our battery packs, and we are also piloting our own recycling technology.
Solar Energy—General
We are subject to certain state and federal regulations applicable to solar and battery storage providers and sellers of electricity. To operate our systems, we enter into standard interconnection agreements with applicable utilities. Sales of electricity and non-sale equipment leases by third parties, such as our leases and PPAs, have faced regulatory challenges in some states and jurisdictions.
Solar Energy—Net Metering
Most states in the U.S. make net energy metering, or net metering, available to solar customers. Net metering typically allows solar customers to interconnect their solar energy systems to the utility grid and offset their utility electricity purchases by receiving a bill credit for excess energy generated by their solar energy system that is exported to the grid. In certain jurisdictions, regulators or utilities have reduced or eliminated the benefit available under net metering or have proposed to do so.
Competition
Automotive
The worldwide automotive market is highly competitive and we expect it will become even more competitive in the future as a significant and growing number of established and new automobile manufacturers, as well as other companies, have entered, or are reported to have plans to enter the electric vehicle market.
We believe that our vehicles compete in the market based on both their traditional segment classification as well as their propulsion technology. For example, Cybertruck competes with other pickup trucks, Model S and Model X compete primarily with premium sedans and premium SUVs and Model 3 and Model Y compete with small to medium-sized sedans and compact SUVs, which are extremely competitive markets. Competing products typically include internal combustion vehicles from more established automobile manufacturers; however, many established and new automobile manufacturers have entered or have announced plans to enter the market for electric and other alternative fuel vehicles. Overall, we believe these announcements and vehicle introductions, including the introduction of electric vehicles into rental car company fleets, promote the development of the electric vehicle market by highlighting the attractiveness of electric vehicles relative to the internal combustion vehicle. Many major automobile manufacturers have electric vehicles available today in major markets including the U.S., China and Europe, and other current and prospective automobile manufacturers are also developing electric vehicles. In addition, several manufacturers offer hybrid vehicles, including plug-in versions.
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We believe that there is also increasing competition for our vehicle offerings as a platform for delivering self-driving technologies, charging solutions and other features and services, and we expect to compete in this developing market through continued progress on our Autopilot, FSD and neural network capabilities, Supercharger network and our infotainment offerings.
Energy Generation and Storage
Energy Storage Systems
The market for energy storage products is also highly competitive, and both established and emerging companies have introduced products that are similar to our product portfolio or that are alternatives to the elements of our systems. We compete with these companies based on price, energy density and efficiency. We believe that the specifications and features of our products, our strong brand and the modular, scalable nature of our energy storage products give us a competitive advantage in our markets.
Solar Energy Systems
The primary competitors to our solar energy business are the traditional local utility companies that supply energy to our potential customers. We compete with these traditional utility companies primarily based on price and the ease by which customers can switch to electricity generated by our solar energy systems. We also compete with solar energy companies that provide products and services similar to ours. Many solar energy companies only install solar energy systems, while others only provide financing for these installations. We believe we have a significant expansion opportunity with our offerings and that the regulatory environment is increasingly conducive to the adoption of renewable energy systems.
Intellectual Property
We place a strong emphasis on our innovative approach and proprietary designs which bring intrinsic value and uniqueness to our product portfolio. As part of our business, we seek to protect the underlying intellectual property rights of these innovations and designs such as with respect to patents, trademarks, copyrights, trade secrets, confidential information and other measures, including through employee and third-party nondisclosure agreements and other contractual arrangements. For example, we place a high priority on obtaining patents to provide the broadest and strongest possible protection to enable our freedom to operate our innovations and designs across all of our products and technologies as well as to protect and defend our product portfolio. We have also adopted a patent policy in which we irrevocably pledged that we will not initiate a lawsuit against any party for infringing our patents through activity relating to electric vehicles or related equipment for so long as such party is acting in good faith. We made this pledge in order to encourage the advancement of a common, rapidly-evolving platform for electric vehicles, thereby benefiting ourselves, other companies making electric vehicles and the world.
Environmental, Social and Governance (ESG) and Human Capital Resources
ESG
The very purpose of Tesla's existence is to accelerate the world's transition to sustainable energy. We believe the world cannot reduce carbon emissions without addressing both energy generation and consumption, and we are designing and manufacturing a complete energy and transportation ecosystem to achieve this goal. As we expand, we are building each new factory to be more efficient and sustainably designed than the previous one, including with respect to per-unit waste reduction and resource consumption, including water and energy usage. We are focused on further enhancing sustainability of operations outside of our direct control, including reducing the carbon footprint of our supply chain.
We are committed to sourcing only responsibly produced materials, and our suppliers are required to provide evidence of management systems that ensure social, environmental and sustainability best practices in their own operations, as well as to demonstrate a commitment to responsible sourcing into their supply chains. We have a zero-tolerance policy when it comes to child or forced labor and human trafficking by our suppliers and we look to the Organization for Economic Co-operation and Development Due Diligence Guidelines to inform our process and use feedback from our internal and external stakeholders to find ways to continually improve. We are also driving safety in our own factories by focusing on worker engagement. Our incidents per vehicle continue to drop even as our production volumes increase. We also strive to be an employer of choice by offering compelling, impactful jobs with best in-industry benefits.
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We believe that sound corporate governance is critical to helping us achieve our goals, including with respect to ESG. We continue to evolve a governance framework that exercises appropriate oversight of responsibilities at all levels throughout the company and manages its affairs consistent with high principles of business ethics. Our ESG Sustainability Council is made up of leaders from across our company, and regularly presents to our Board of Directors, which oversees our ESG impacts, initiatives and priorities.
Human Capital Resources
A competitive edge for Tesla is its ability to attract and retain high quality employees. During the past year, Tesla made substantial investments in its workforce, further strengthening its standing as one of the most desirable and innovative companies to work for. As of December 31, 2023, our employee headcount worldwide was 140,473.
We have created an environment that fosters growth opportunities, and as of this report, nearly two-thirds (65%) of our managers were promoted from an internal, non-manager position, and 43% of our management employees have been with Tesla for more than five years. Tesla’s growth of 35% over the past two years has offered internal career development to our employees as well as the ability to make a meaningful contribution to a sustainable future.
We are able to retain our employees, in part, not only because employees can enjoy ownership in Tesla through stock (of which 89% have been given the opportunity to), but because we also provide them with excellent health benefits such as free counseling, paid parental leave, paid time off and zero-premium medical plan options that are made available on the first day of employment.
We recognize the positive impact that leaders can have on their teams and offer fundamental skills training and continuous development to all leaders through various programs globally.
We don’t stop there. Tesla has several other programs strategically designed to increase paths for greater career opportunity such as:
•Technician Trainee (Service) – The Tesla Technician Trainee Program provides on-the-job automotive maintenance training at Tesla, resulting in an industry certification. Targeted at individuals with limited experience, whether in industry or vocational schools, the program prepares trainees for employment as technicians. In 2023, we hired over 1,900 Technician Trainees across the U.S., Germany and China.
•START (Manufacturing and Service) – Tesla START is an intensive training program that complements the Technician Trainee program and equips individuals with the skills needed for a successful technician role at Tesla. We have partnered with colleges and technical academies to launch Tesla START in the U.S., United Kingdom and Germany. In 2023, we hired over 350 trainees for manufacturing and service roles through this program, providing an opportunity to transition into full-time employment.
•Internships – Annually, Tesla hires over 6,000 university and college students from around the world. We recruit from diverse student organizations and campuses, seeking top talent passionate about our mission. Our interns engage in meaningful work from day one, and we often offer them full-time positions post-internship.
•Military Fellowship and Transition Programs – The Military Fellowship and Transition Programs are designed to offer exiting military service members in the U.S. and Europe with career guidance on transitioning into the civil workforce. We partner with the career transition services of European Defence Ministries across five countries, as well as the U.S. Chamber of Commerce’s Hire our Heroes. These programs aim to convert high-performing individuals to full-time roles and create a veteran talent pipeline.
•Apprenticeships – Tesla Apprenticeships are offered globally, providing academic and on-the-job training to prepare specialists in skilled trades. Apprentices will complete between one to four years of on-the-job training. Apprentice programs have seen skilled trade hires across the U.S., Australia, Hong Kong, Korea and Germany.
•Manufacturing Development Program – Tesla's manufacturing pathway program is designed to provide graduating high school seniors with the financial resources, coursework and experience they need to start a successful manufacturing career at Tesla. We hired 373 graduates through this program in 2023, and our goal in 2024 is grow this program to over 600 students annually across our Fremont Factory, Gigafactory Nevada, Gigafactory Texas and Gigafactory New York.
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•Engineering Development Program – Launched in January 2024, this program targets recent college and university graduates for specialized engineering fields. In collaboration with Austin Community College, the program educates early-career engineers in controls engineering, enhancing their knowledge of high-demand technologies for U.S. manufacturing.
We will continue to expand the opportunities for our employees to add skills and develop professionally with a new Employee Educational Assistance Program launching in the U.S. in the spring of 2024 to help employees pursue select certificates or degrees. With virtual, self-paced education options available, employees can pursue a new path or expand their knowledge while continuing to grow their career.
At Tesla, our employees show up passionate about making a difference in the world and for each other. We remain unwavering in our demand that our factories, offices, stores and service centers are places where our employees feel respected and appreciated. Our policies are designed to promote fairness and respect for everyone. We hire, evaluate and promote employees based on their skills and performance. Everyone is expected to be trustworthy, demonstrate excellence in their performance and collaborate with others. With this in mind, we will not tolerate certain behaviors. These include harassment, retaliation, violence, intimidation and discrimination of any kind on the basis of race, color, religion, national origin, gender, sexual orientation, gender identity, gender expression, age, disability or veteran status.
Anti-harassment training is conducted on day one of new hire orientation for all employees and reoccurring for leaders. In addition, we run various leadership development programs throughout the year aimed at enhancing leaders’ skills, and in particular, helping them to understand how to appropriately respond to and address employee concerns.
Employees are encouraged to speak up both in regard to misconduct and safety concerns and can do so by contacting the integrity line, submitting concerns through our Take Charge process, or notifying their Human Resource Partner or any member of management. Concerns are reviewed in accordance with established protocols by investigators with expertise, who also review for trends and outcomes for remediation and appropriate controls. Responding to questions timely is key so Human Resource Partners for each functional area are visible throughout facilities and are actively involved in driving culture and engagement alongside business leaders.
Available Information
We file or furnish periodic reports and amendments thereto, including our Annual Reports on Form 10-K, our Quarterly Reports on Form 10-Q and Current Reports on Form 8-K, proxy statements and other information with the SEC. In addition, the SEC maintains a website (www.sec.gov) that contains reports, proxy and information statements, and other information regarding issuers that file electronically. Our website is located at www.tesla.com, and our reports, amendments thereto, proxy statements and other information are also made available, free of charge, on our investor relations website at ir.tesla.com as soon as reasonably practicable after we electronically file or furnish such information with the SEC. The information posted on our website is not incorporated by reference into this Annual Report on Form 10-K.
ITEM 1A. RISK FACTORS
You should carefully consider the risks described below together with the other information set forth in this report, which could materially affect our business, financial condition and future results. The risks described below are not the only risks facing our company. Risks and uncertainties not currently known to us or that we currently deem to be immaterial also may materially adversely affect our business, financial condition and operating results.
Risks Related to Our Ability to Grow Our Business
We may experience delays in launching and ramping the production of our products and features, or we may be unable to control our manufacturing costs.
We have previously experienced and may in the future experience launch and production ramp delays for new products and features. For example, we encountered unanticipated supplier issues that led to delays during the initial ramp of our first Model X and experienced challenges with a supplier and with ramping full automation for certain of our initial Model 3 manufacturing processes. In addition, we may introduce in the future new or unique manufacturing processes and design features for our products. As we expand our vehicle offerings and global footprint, there is no guarantee that we will be able to successfully and timely introduce and scale such processes or features.
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In particular, our future business depends in large part on increasing the production of mass-market vehicles. In order to be successful, we will need to implement, maintain and ramp efficient and cost-effective manufacturing capabilities, processes and supply chains and achieve the design tolerances, high quality and output rates we have planned at our manufacturing facilities in California, Nevada, Texas, China, Germany and any future sites such as Mexico. We will also need to hire, train and compensate skilled employees to operate these facilities. Bottlenecks and other unexpected challenges such as those we experienced in the past may arise during our production ramps, and we must address them promptly while continuing to improve manufacturing processes and reducing costs. If we are not successful in achieving these goals, we could face delays in establishing and/or sustaining our product ramps or be unable to meet our related cost and profitability targets.
We have experienced, and may also experience similar future delays in launching and/or ramping production of our energy storage products and Solar Roof; new product versions or variants; new vehicles; and future features and services based on artificial intelligence. Likewise, we may encounter delays with the design, construction and regulatory or other approvals necessary to build and bring online future manufacturing facilities and products.
Any delay or other complication in ramping the production of our current products or the development, manufacture, launch and production ramp of our future products, features and services, or in doing so cost-effectively and with high quality, may harm our brand, business, prospects, financial condition and operating results.
Our suppliers may fail to deliver components according to schedules, prices, quality and volumes that are acceptable to us, or we may be unable to manage these components effectively.
Our products contain thousands of parts purchased globally from hundreds of suppliers, including single-source direct suppliers, which exposes us to multiple potential sources of component shortages. Unexpected changes in business conditions, materials pricing, including inflation of raw material costs, labor issues, wars, trade policies, natural disasters, health epidemics such as the global COVID-19 pandemic, trade and shipping disruptions, port congestions, cyberattacks and other factors beyond our or our suppliers’ control could also affect these suppliers’ ability to deliver components to us or to remain solvent and operational. For example, a global shortage of semiconductors beginning in early 2021 has caused challenges in the manufacturing industry and impacted our supply chain and production. Additionally, if our suppliers do not accurately forecast and effectively allocate production or if they are not willing to allocate sufficient production to us, or face other challenges such as insolvency, it may reduce our access to components and require us to search for new suppliers. The unavailability of any component or supplier could result in production delays, idle manufacturing facilities, product design changes and loss of access to important technology and tools for producing and supporting our products, as well as impact our capacity expansion and our ability to fulfill our obligations under customer contracts. Moreover, significant increases in our production or product design changes by us have required and may in the future require us to procure additional components in a short amount of time. We have faced in the past, and may face suppliers who are unwilling or unable to sustainably meet our timelines or our cost, quality and volume needs, which may increase our costs or require us to replace them with other sources. Finally, as we construct new manufacturing facilities and add production lines to existing facilities, we may experience issues in correspondingly increasing the level of localized procurement at those facilities. While we believe that we will be able to secure additional or alternate sources or develop our own replacements for most of our components, there is no assurance that we will be able to do so quickly or at all. Additionally, we may be unsuccessful in our continuous efforts to negotiate with existing suppliers to obtain cost reductions and avoid unfavorable changes to terms, source less expensive suppliers for certain parts and redesign certain parts to make them less expensive to produce, especially in the case of increases in materials pricing. Any of these occurrences may harm our business, prospects, financial condition and operating results.
As the scale of our vehicle production increases, we will also need to accurately forecast, purchase, warehouse and transport components at high volumes to our manufacturing facilities and servicing locations internationally. If we are unable to accurately match the timing and quantities of component purchases to our actual needs or successfully implement automation, inventory management and other systems to accommodate the increased complexity in our supply chain and parts management, we may incur unexpected production disruption, storage, transportation and write-off costs, which may harm our business and operating results.
We may be unable to meet our projected construction timelines, costs and production ramps at new factories, or we may experience difficulties in generating and maintaining demand for products manufactured there.
Our ability to increase production of our vehicles on a sustained basis, make them affordable globally by accessing local supply chains and workforces and streamline delivery logistics is dependent on the construction and ramp of our current and future factories. The construction of and commencement and ramp of production at these factories are subject
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to a number of uncertainties inherent in all new manufacturing operations, including ongoing compliance with regulatory requirements, procurement and maintenance of construction, environmental and operational licenses and approvals for additional expansion, supply chain constraints, hiring, training and retention of qualified employees and the pace of bringing production equipment and processes online with the capability to manufacture high-quality units at scale. Moreover, we will have to establish and ramp production of our proprietary battery cells and packs at our new factories, and we additionally intend to incorporate sequential design and manufacturing changes into vehicles manufactured at each new factory. If we experience any issues or delays in meeting our projected timelines, costs, capital efficiency and production capacity for our new factories, expanding and managing teams to implement iterative design and production changes there, maintaining and complying with the terms of any debt financing that we obtain to fund them or generating and maintaining demand for the vehicles we manufacture there, our business, prospects, operating results and financial condition may be harmed.
We may be unable to grow our global product sales, delivery and installation capabilities and our servicing and vehicle charging networks, or we may be unable to accurately project and effectively manage our growth.
Our success will depend on our ability to continue to expand our sales capabilities. We are targeting a global mass demographic with a broad range of potential customers, in which we have relatively limited experience projecting demand and pricing our products. We currently produce numerous international variants at a limited number of factories, and if our specific demand expectations for these variants prove inaccurate, we may not be able to timely generate deliveries matched to the vehicles that we produce in the same timeframe or that are commensurate with the size of our operations in a given region. Likewise, as we develop and grow our energy products and services worldwide, our success will depend on our ability to correctly forecast demand in various markets.
Because we do not have independent dealer networks, we are responsible for delivering all of our vehicles to our customers. As our production volumes continue to grow, we have faced in the past, and may face challenges with deliveries at increasing volumes, particularly in international markets requiring significant transit times. We have also deployed a number of delivery models, such as deliveries to customers’ homes and workplaces and touchless deliveries, but there is no guarantee that such models will be scalable or be accepted globally. Likewise, as we ramp our energy products, we are working to substantially increase our production and installation capabilities. If we experience production delays or inaccurately forecast demand, our business, financial condition and operating results may be harmed.
Moreover, because of our unique expertise with our vehicles, we recommend that our vehicles be serviced by us or by certain authorized professionals. If we experience delays in adding servicing capacity or servicing our vehicles efficiently, or experience unforeseen issues with the reliability of our vehicles, particularly higher-volume additions to our fleet such as Model 3 and Model Y, it could overburden our servicing capabilities and parts inventory. Similarly, the increasing number of Tesla vehicles also requires us to continue to rapidly increase the number of our Supercharger stations and connectors throughout the world.
There is no assurance that we will be able to ramp our business to meet our sales, delivery, installation, servicing and vehicle charging targets globally, that our projections on which such targets are based will prove accurate or that the pace of growth or coverage of our customer infrastructure network will meet customer expectations. These plans require significant cash investments and management resources and there is no guarantee that they will generate additional sales or installations of our products, or that we will be able to avoid cost overruns or be able to hire additional personnel to support them. As we expand, we will also need to ensure our compliance with regulatory requirements in various jurisdictions applicable to the sale, installation and servicing of our products, the sale or dispatch of electricity related to our energy products and the operation of Superchargers. If we fail to manage our growth effectively, it may harm our brand, business, prospects, financial condition and operating results.
We will need to maintain and significantly grow our access to battery cells, including through the development and manufacture of our own cells, and control our related costs.
We are dependent on the continued supply of lithium-ion battery cells for our vehicles and energy storage products, and we will require substantially more cells to grow our business according to our plans. Currently, we rely on suppliers such as Panasonic and Contemporary Amperex Technology Co. Limited (CATL) for these cells. We have to date fully qualified only a very limited number of such suppliers and have limited flexibility in changing suppliers. Any disruption in the supply of battery cells from our suppliers could limit production of our vehicles and energy storage products. In the long term, we intend to supplement cells from our suppliers with cells manufactured by us, which we believe will be more efficient, manufacturable at greater volumes and more cost-effective than currently available cells. However, our efforts to develop and manufacture such battery cells have required, and may continue to require, significant investments, and there can be no assurance that we will be able to achieve these targets in the timeframes that we have planned or at all. If we are
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unable to do so, we may have to curtail our planned vehicle and energy storage product production or procure additional cells from suppliers at potentially greater costs, either of which may harm our business and operating results.
In addition, the cost and mass production of battery cells, whether manufactured by our suppliers or by us, depends in part upon the prices and availability of raw materials such as lithium, nickel, cobalt and/or other metals. The prices for these materials fluctuate and their available supply may be unstable, depending on market conditions and global demand for these materials. For example, as a result of increased global production of electric vehicles and energy storage products, suppliers of these raw materials may be unable to meet our volume needs. Additionally, our suppliers may not be willing or able to reliably meet our timelines or our cost and quality needs, which may require us to replace them with other sources. Any reduced availability of these materials may impact our access to cells and our growth, and any increases in their prices may reduce our profitability if we cannot recoup such costs through increased prices. Moreover, our inability to meet demand and any product price increases may harm our brand, growth, prospects and operating results.
Our future growth and success are dependent upon consumers’ demand for electric vehicles and specifically our vehicles in an automotive industry that is generally competitive, cyclical and volatile.
Though we continue to see increased interest and adoption of electric vehicles, if the market for electric vehicles in general and Tesla vehicles in particular does not develop as we expect, develops more slowly than we expect, or if demand for our vehicles decreases in our markets or our vehicles compete with each other, our business, prospects, financial condition and operating results may be harmed.
In addition, electric vehicles still constitute a small percentage of overall vehicle sales. As a result, the market for our vehicles could be negatively affected by numerous factors, such as:
•perceptions about electric vehicle features, quality, safety, performance and cost;
•perceptions about the limited range over which electric vehicles may be driven on a single battery charge, and access to charging facilities;
•competition, including from other types of alternative fuel vehicles, plug-in hybrid electric vehicles and high fuel-economy internal combustion engine vehicles;
•volatility in the cost of oil, gasoline and energy;
•government regulations and economic incentives and conditions; and
•concerns about our future viability.
The target demographics for our vehicles are highly competitive. Sales of vehicles in the automotive industry tend to be cyclical in many markets, which may expose us to further volatility. We also cannot predict the duration or direction of current global trends or their sustained impact on consumer demand. Ultimately, we continue to monitor macroeconomic conditions to remain flexible and to optimize and evolve our business as appropriate, and attempt to accurately project demand and infrastructure requirements globally and deploy our production, workforce and other resources accordingly. Rising interest rates may lead to consumers to increasingly pull back spending, including on our products, which may harm our demand, business and operating results. If we experience unfavorable global market conditions, or if we cannot or do not maintain operations at a scope that is commensurate with such conditions or are later required to or choose to suspend such operations again, our business, prospects, financial condition and operating results may be harmed.
We face strong competition for our products and services from a growing list of established and new competitors.
The worldwide automotive market is highly competitive today and we expect it will become even more so in the future. A significant and growing number of established and new automobile manufacturers, as well as other companies, have entered, or are reported to have plans to enter, the market for electric and other alternative fuel vehicles, including hybrid, plug-in hybrid and fully electric vehicles, as well as the market for self-driving technology and other vehicle applications and software platforms. In some cases, our competitors offer or will offer electric vehicles in important markets such as China and Europe, and/or have announced an intention to produce electric vehicles exclusively at some point in the future. In addition, certain government and economic incentives which provide benefits to manufacturers who assemble domestically or have local suppliers, may provide a greater benefit to our competitors, which could negatively impact our profitability. Many of our competitors have significantly more or better-established resources than we do to devote to the design, development, manufacturing, distribution, promotion, sale and support of their products. Increased competition could result in our lower vehicle unit sales, price reductions, revenue shortfalls, loss of customers and loss of market share, which may harm our business, financial condition and operating results.
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We also face competition in our energy generation and storage business from other manufacturers, developers, installers and service providers of competing energy technologies, as well as from large utilities. Decreases in the retail or wholesale prices of electricity from utilities or other renewable energy sources could make our products less attractive to customers and lead to an increased rate of customer defaults.
Risks Related to Our Operations
We may experience issues with lithium-ion cells or other components manufactured at our Gigafactories, which may harm the production and profitability of our vehicle and energy storage products.
Our plan to grow the volume and profitability of our vehicles and energy storage products depends on significant lithium-ion battery cell production, including by our partner Panasonic at Gigafactory Nevada. We also produce several vehicle components at our Gigafactories, such as battery modules and packs and drive units, and manufacture energy storage products. If we are unable to or otherwise do not maintain and grow our respective operations, or if we are unable to do so cost-effectively or hire and retain highly-skilled personnel there, our ability to manufacture our products profitably would be limited, which may harm our business and operating results.
Finally, the high volumes of lithium-ion cells and battery modules and packs manufactured by us and by our suppliers are stored and recycled at our various facilities. Any mishandling of these products may cause disruption to the operation of such facilities. While we have implemented safety procedures related to the handling of the cells, there can be no assurance that a safety issue or fire related to the cells would not disrupt our operations. Any such disruptions or issues may harm our brand and business.
We face risks associated with maintaining and expanding our international operations, including unfavorable and uncertain regulatory, political, economic, tax and labor conditions.
We are subject to legal and regulatory requirements, political uncertainty and social, environmental and economic conditions in numerous jurisdictions, including markets in which we generate significant sales, over which we have little control and which are inherently unpredictable. Our operations in such jurisdictions, particularly as a company based in the U.S., create risks relating to conforming our products to regulatory and safety requirements and charging and other electric infrastructures; organizing local operating entities; establishing, staffing and managing foreign business locations; attracting local customers; navigating foreign government taxes, regulations and permit requirements; enforceability of our contractual rights; trade restrictions, customs regulations, tariffs and price or exchange controls; and preferences in foreign nations for domestically manufactured products. For example, we monitor tax legislation changes on a global basis, including changes arising as a result of the Organization for Economic Cooperation and Development’s multi-jurisdictional plan of action to address base erosion and profit shifting. Such conditions may increase our costs, impact our ability to sell our products and require significant management attention, and may harm our business if we are unable to manage them effectively.
Our business may suffer if our products or features contain defects, fail to perform as expected or take longer than expected to become fully functional.
If our products contain design or manufacturing defects, whether relating to our software or hardware, that cause them not to perform as designed or intended or that require repair, or certain features of our vehicles such as new Autopilot or FSD Capability features take longer than expected to become enabled, are legally restricted or become subject to onerous regulation, our ability to develop, market and sell our products and services may be harmed, and we may experience delivery delays, product recalls, allegations of product liability, breach of warranty and related consumer protection claims and significant warranty and other expenses. While we are continuously working to develop and improve our products’ capability and performance, there is no guarantee that any incremental changes in the specific software or equipment we deploy in our vehicles over time will not result in initial functional disparities from prior iterations or will perform as forecast in the timeframe we anticipate, or at all. Although we attempt to remedy any issues we observe in our products as effectively and rapidly as possible, such efforts may not be timely, may hamper production or may not completely satisfy our customers. We have performed, and continue to perform, extensive internal testing on our products and features, though, like the rest of the industry, we currently have a limited frame of reference by which to evaluate certain aspects of their long-term quality, reliability, durability and performance characteristics, including exposure to or consequence of external attacks. While we attempt to identify and address or remedy defects we identify pre-production and sale, there may be latent defects that we may be unable to detect or control for in our products, and thereby address, prior to their sale to or installation for customers.
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We may be required to defend or insure against product liability claims.
The automobile industry generally experiences significant product liability claims, and as such we face the risk of such claims in the event our vehicles do not perform or are claimed to not have performed as expected. As is true for other automakers, our vehicles have been involved and we expect in the future will be involved in accidents resulting in death or personal injury, and such accidents where Autopilot, Enhanced Autopilot or FSD Capability features are engaged are the subject of significant public attention, especially in light of NHTSA’s Standing General Order requiring reports regarding crashes involving vehicles with advanced driver assistance systems. We have experienced, and we expect to continue to face, claims and regulatory scrutiny arising from or related to misuse or claimed failures or alleged misrepresentations of such new technologies that we are pioneering. In addition, the battery packs that we produce make use of lithium-ion cells. On rare occasions, lithium-ion cells can rapidly release the energy they contain by venting smoke and flames in a manner that can ignite nearby materials as well as other lithium-ion cells. While we have designed our battery packs to passively contain any single cell’s release of energy without spreading to neighboring cells, there can be no assurance that a field or testing failure of our vehicles or other battery packs that we produce will not occur, in particular due to a high-speed crash. Likewise, as our solar energy systems and energy storage products generate and store electricity, they have the potential to fail or cause injury to people or property. Any product liability claim may subject us to lawsuits and substantial monetary damages, product recalls or redesign efforts, and even a meritless claim may require us to defend it, all of which may generate negative publicity and be expensive and time-consuming. In most jurisdictions, we generally self-insure against the risk of product liability claims for vehicle exposure, meaning that any product liability claims will likely have to be paid from company funds and not by insurance.
We will need to maintain public credibility and confidence in our long-term business prospects in order to succeed.
In order to maintain and grow our business, we must maintain credibility and confidence among customers, suppliers, analysts, investors, ratings agencies and other parties in our long-term financial viability and business prospects. Maintaining such confidence may be challenging due to our limited operating history relative to established competitors; customer unfamiliarity with our products; any delays we may experience in scaling manufacturing, delivery and service operations to meet demand; competition and uncertainty regarding the future of electric vehicles or our other products and services; our quarterly production and sales performance compared with market expectations; and other factors including those over which we have no control. In particular, Tesla’s products, business, results of operations, and statements and actions of Tesla and its management are subject to significant amounts of commentary by a range of third parties. Such attention can include criticism, which may be exaggerated or unfounded, such as speculation regarding the sufficiency or stability of our management team. Any such negative perceptions, whether caused by us or not, may harm our business and make it more difficult to raise additional funds if needed.
We may be unable to effectively grow, or manage the compliance, residual value, financing and credit risks related to, our various financing programs.
We offer financing arrangements for our vehicles in North America, Europe and Asia primarily ourselves and through various financial institutions. We also currently offer vehicle financing arrangements directly through our local subsidiaries in certain markets. Depending on the country, such arrangements are available for specified models and may include operating leases directly with us under which we typically receive only a very small portion of the total vehicle purchase price at the time of lease, followed by a stream of payments over the term of the lease. We have also offered various arrangements for customers of our solar energy systems whereby they pay us a fixed payment to lease or finance the purchase of such systems or purchase electricity generated by them. If we do not successfully monitor and comply with applicable national, state and/or local financial regulations and consumer protection laws governing these transactions, we may become subject to enforcement actions or penalties.
The profitability of any directly-leased vehicles returned to us at the end of their leases depends on our ability to accurately project our vehicles’ residual values at the outset of the leases, and such values may fluctuate prior to the end of their terms depending on various factors such as supply and demand of our used vehicles, economic cycles and the pricing of new vehicles. We have made in the past and may make in the future certain adjustments to our prices from time to time in the ordinary course of business, which may impact the residual values of our vehicles and reduce the profitability of our vehicle leasing program. The funding and growth of this program also rely on our ability to secure adequate financing and/or business partners. If we are unable to adequately fund our leasing program through internal funds, partners or other financing sources, and compelling alternative financing programs are not available for our customers who may expect or need such options, we may be unable to grow our vehicle deliveries. Furthermore, if our vehicle leasing business grows substantially, our business may suffer if we cannot effectively manage the resulting greater levels of residual risk.
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Similarly, we have provided resale value guarantees to vehicle customers and partners for certain financing programs, under which such counterparties may sell their vehicles back to us at certain points in time at pre-determined amounts. However, actual resale values are subject to fluctuations over the term of the financing arrangements, such as from the vehicle pricing changes discussed above. If the actual resale values of any vehicles resold or returned to us pursuant to these programs are materially lower than the pre-determined amounts we have offered, our financial condition and operating results may be harmed.
Finally, our vehicle and solar energy system financing programs and our energy storage sales programs also expose us to customer credit risk. In the event of a widespread economic downturn or other catastrophic event, our customers may be unable or unwilling to satisfy their payment obligations to us on a timely basis or at all. If a significant number of our customers default, we may incur substantial credit losses and/or impairment charges with respect to the underlying assets.
We must manage ongoing obligations under our agreement with the Research Foundation for the State University of New York relating to our Gigafactory New York.
We are party to an operating lease and a research and development agreement through the State University of New York (the “SUNY Foundation”). These agreements provide for the construction and use of our Gigafactory New York, which we have primarily used for the development and production of our Solar Roof and other solar products and components, energy storage components and Supercharger components, and for other lessor-approved functions. Under this agreement, we are obligated to, among other things, meet employment targets as well as specified minimum numbers of personnel in the State of New York and in Buffalo, New York and spend or incur $5.00 billion in combined capital, operational expenses, costs of goods sold and other costs in the State of New York during a period that was initially 10 years beginning April 30, 2018. As of December 31, 2023, we are currently in excess of such targets relating to investments and personnel in the State of New York and Buffalo. While we expect to have and grow significant operations at Gigafactory New York and the surrounding Buffalo area, any failure by us in any year over the course of the term of the agreement to meet all applicable future obligations may result in our obligation to pay a “program payment” of $41 million to the SUNY Foundation for such year, the termination of our lease at Gigafactory New York which may require us to pay additional penalties, and/or the need to adjust certain of our operations. Any of the foregoing events may harm our business, financial condition and operating results.
If we are unable to attract, hire and retain key employees and qualified personnel, our ability to compete may be harmed.
The loss of the services of any of our key employees or any significant portion of our workforce could disrupt our operations or delay the development, introduction and ramp of our products and services. In particular, we are highly dependent on the services of Elon Musk, Technoking of Tesla and our Chief Executive Officer. None of our key employees is bound by an employment agreement for any specific term and we may not be able to successfully attract and retain senior leadership necessary to grow our business. Our future success also depends upon our ability to attract, hire and retain a large number of engineering, manufacturing, marketing, sales and delivery, service, installation, technology and support personnel, especially to support our planned high-volume product sales, market and geographical expansion and technological innovations. If we are not successful in managing these risks, our business, financial condition and operating results may be harmed.
Employees may leave Tesla or choose other employers over Tesla due to various factors, such as a very competitive labor market for talented individuals with automotive or technology experience, or any negative publicity related to us. In regions where we have or will have operations, particularly significant engineering and manufacturing centers, there is strong competition for individuals with skillsets needed for our business, including specialized knowledge of electric vehicles, engineering and electrical and building construction expertise. We also compete with both mature and prosperous companies that have far greater financial resources than we do and start-ups and emerging companies that promise short-term growth opportunities.
Finally, our compensation philosophy for all of our personnel reflects our startup origins, with an emphasis on equity-based awards and benefits in order to closely align their incentives with the long-term interests of our stockholders. We periodically seek and obtain approval from our stockholders for future increases to the number of awards available under our equity incentive and employee stock purchase plans. If we are unable to obtain the requisite stockholder approvals for such future increases, we may have to expend additional cash to compensate our employees and our ability to retain and hire qualified personnel may be harmed.
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We are highly dependent on the services of Elon Musk, Technoking of Tesla and our Chief Executive Officer.
We are highly dependent on the services of Elon Musk, Technoking of Tesla and our Chief Executive Officer. Although Mr. Musk spends significant time with Tesla and is highly active in our management, he does not devote his full time and attention to Tesla. Mr. Musk also currently serves as Chief Executive Officer and Chief Technical Officer of Space Exploration Technologies Corp., a developer and manufacturer of space launch vehicles, Chairman and Chief Technical Officer of X Corp., a social media company, and is involved in other emerging technology ventures.
Our information technology systems or data, or those of our service providers or customers or users could be subject to cyber-attacks or other security incidents, which could result in data breaches, intellectual property theft, claims, litigation, regulatory investigations, significant liability, reputational damage and other adverse consequences.
We continue to expand our information technology systems as our operations grow, such as product data management, procurement, inventory management, production planning and execution, sales, service and logistics, dealer management, financial, tax and regulatory compliance systems. This includes the implementation of new internally developed systems and the deployment of such systems in the U.S. and abroad. While, we maintain information technology measures designed to protect us against intellectual property theft, data breaches, sabotage and other external or internal cyber-attacks or misappropriation, our systems and those of our service providers are potentially vulnerable to malware, ransomware, viruses, denial-of-service attacks, phishing attacks, social engineering, computer hacking, unauthorized access, exploitation of bugs, defects and vulnerabilities, breakdowns, damage, interruptions, system malfunctions, power outages, terrorism, acts of vandalism, security breaches, security incidents, inadvertent or intentional actions by employees or other third parties, and other cyber-attacks.
To the extent any security incident results in unauthorized access or damage to or acquisition, use, corruption, loss, destruction, alteration or dissemination of our data, including intellectual property and personal information, or our products or vehicles, or for it to be believed or reported that any of these occurred, it could disrupt our business, harm our reputation, compel us to comply with applicable data breach notification laws, subject us to time consuming, distracting and expensive litigation, regulatory investigation and oversight, mandatory corrective action, require us to verify the correctness of database contents, or otherwise subject us to liability under laws, regulations and contractual obligations, including those that protect the privacy and security of personal information. This could result in increased costs to us and result in significant legal and financial exposure and/or reputational harm.
We also rely on service providers, and similar incidents relating to their information technology systems could also have a material adverse effect on our business. There have been and may continue to be significant supply chain attacks. Our service providers, including our workforce management software provider, have been subject to ransomware and other security incidents, and we cannot guarantee that our or our service providers’ systems have not been breached or that they do not contain exploitable defects, bugs, or vulnerabilities that could result in a security incident, or other disruption to, our or our service providers’ systems. Our ability to monitor our service providers’ security measures is limited, and, in any event, malicious third parties may be able to circumvent those security measures.
Further, the implementation, maintenance, segregation and improvement of these systems require significant management time, support and cost, and there are inherent risks associated with developing, improving and expanding our core systems as well as implementing new systems and updating current systems, including disruptions to the related areas of business operation. These risks may affect our ability to manage our data and inventory, procure parts or supplies or manufacture, sell, deliver and service products, adequately protect our intellectual property or achieve and maintain compliance with, or realize available benefits under, tax laws and other applicable regulations.
Moreover, if we do not successfully implement, maintain or expand these systems as planned, our operations may be disrupted, our ability to accurately and/or timely report our financial results could be impaired and deficiencies may arise in our internal control over financial reporting, which may impact our ability to certify our financial results. Moreover, our proprietary information, including intellectual property and personal information, could be compromised or misappropriated and our reputation may be adversely affected. If these systems or their functionality do not operate as we expect them to, we may be required to expend significant resources to make corrections or find alternative sources for performing these functions.
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Any unauthorized control or manipulation of our products’ systems could result in loss of confidence in us and our products.
Our products contain complex information technology systems. For example, our vehicles and energy storage products are designed with built-in data connectivity to accept and install periodic remote updates from us to improve or update their functionality. While we have implemented security measures intended to prevent unauthorized access to our information technology networks, our products and their systems, malicious entities have reportedly attempted, and may attempt in the future, to gain unauthorized access to modify, alter and use such networks, products and systems to gain control of, or to change, our products’ functionality, user interface and performance characteristics or to gain access to data stored in or generated by our products. We encourage reporting of potential vulnerabilities in the security of our products through our security vulnerability reporting policy, and we aim to remedy any reported and verified vulnerability. However, there can be no assurance that any vulnerabilities will not be exploited before they can be identified, or that our remediation efforts are or will be successful.
Any unauthorized access to or control of our products or their systems or any loss of data could result in legal claims or government investigations. In addition, regardless of their veracity, reports of unauthorized access to our products, their systems or data, as well as other factors that may result in the perception that our products, their systems or data are capable of being hacked, may harm our brand, prospects and operating results. We have been the subject of such reports in the past.
Our business may be adversely affected by any disruptions caused by union activities.
It is not uncommon for employees of certain trades at companies such as ours to belong to a union, which can result in higher employee costs and increased risk of work stoppages. Moreover, regulations in some jurisdictions outside of the U.S. mandate employee participation in industrial collective bargaining agreements and work councils with certain consultation rights with respect to the relevant companies’ operations. Although we work diligently to provide the best possible work environment for our employees, they may still decide to join or seek recognition to form a labor union, or we may be required to become a union signatory. From time to time, labor unions have engaged in campaigns to organize certain of our operations, as part of which such unions have filed unfair labor practice charges against us with the National Labor Relations Board (the “NLRB”), and they may do so in the future. Any unfavorable ultimate outcome for Tesla may have a negative impact on the perception of Tesla’s treatment of our employees. Furthermore, we are directly or indirectly dependent upon companies with unionized work forces, such as suppliers and trucking and freight companies. Any work stoppages or strikes organized by such unions could delay the manufacture and sale of our products and may harm our business and operating results.
We may choose to or be compelled to undertake product recalls or take other similar actions.
As a manufacturing company, we must manage the risk of product recalls with respect to our products. Recalls for our vehicles have resulted from various hardware and software-related safety concerns or non-compliance determinations. In addition to recalls initiated by us for various causes, testing of or investigations into our products by government regulators or industry groups may compel us to initiate product recalls or may result in negative public perceptions about the safety of our products, even if we disagree with the defect determination or have data that contradicts it. In the future, we may voluntarily or involuntarily initiate recalls if any of our products are determined by us or a regulator to contain a safety defect or be noncompliant with applicable laws and regulations, such as U.S. Federal Motor Vehicle Safety Standards. Such recalls, whether voluntary or involuntary or caused by systems or components engineered or manufactured by us or our suppliers, could result in significant expense, supply chain complications and service burdens, and may harm our brand, business, prospects, financial condition and operating results.
Our current and future warranty reserves may be insufficient to cover future warranty claims.
We provide a manufacturer’s warranty on all new and used Tesla vehicles we sell directly to customers. We also provide certain warranties with respect to the energy generation and storage systems we sell, including on their installation and maintenance. For components not manufactured by us, we generally pass through to our customers the applicable manufacturers’ warranties, but may retain some warranty responsibilities for some or all of the life of such components. As part of our energy generation and storage system contracts, we may provide the customer with performance guarantees that guarantee that the underlying system will meet or exceed the minimum energy generation or other energy performance requirements specified in the contract. Under these performance guarantees, we generally bear the risk of electricity production or other performance shortfalls, including in some cases shortfalls caused by failures in components from third party manufacturers. These risks are exacerbated in the event such manufacturers cease operations or fail to honor their warranties.
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If our warranty reserves are inadequate to cover future warranty claims on our products, our financial condition and operating results may be harmed. Warranty reserves include our management’s best estimates of the projected costs to repair or to replace items under warranty, which are based on actual claims incurred to date and an estimate of the nature, frequency and costs of future claims. Such estimates are inherently uncertain and changes to our historical or projected experience, especially with respect to products that we have introduced relatively recently and/or that we expect to produce at significantly greater volumes than our past products, may cause material changes to our warranty reserves in the future.
Our insurance coverage strategy may not be adequate to protect us from all business risks.
We may be subject, in the ordinary course of business, to losses resulting from products liability, accidents, acts of God and other claims against us, for which we may have no insurance coverage. As a general matter, we do not maintain as much insurance coverage as many other companies do, and in some cases, we do not maintain any at all. Additionally, the policies that we do have may include significant deductibles or self-insured retentions, policy limitations and exclusions, and we cannot be certain that our insurance coverage will be sufficient to cover all future losses or claims against us. A loss that is uninsured or which exceeds policy limits may require us to pay substantial amounts, which may harm our financial condition and operating results.
Our debt agreements contain covenant restrictions that may limit our ability to operate our business.
The terms of certain of our debt facilities contain, and any of our other future debt agreements may contain, covenant restrictions that may limit our ability to operate our business, including restrictions on our and/or our subsidiaries’ ability to, among other things, incur additional debt or create liens. In addition, under certain circumstances we are required to maintain a certain amount of liquidity. As a result of these covenants, our ability to respond to changes in business and economic conditions and engage in beneficial transactions, including to obtain additional financing as needed, may be restricted. Furthermore, our failure to comply with our debt covenants could result in a default under our debt agreements, which could permit the holders to accelerate our obligation to repay the debt. If any of our debt is accelerated, we may not have sufficient funds available to repay it.
Additional funds may not be available to us when we need or want them.
Our business and our future plans for expansion are capital-intensive, and the specific timing of cash inflows and outflows may fluctuate substantially from period to period. We may need or want to raise additional funds through the issuance of equity, equity-related or debt securities or through obtaining credit from financial institutions to fund, together with our principal sources of liquidity, the costs of developing and manufacturing our current or future products, to pay any significant unplanned or accelerated expenses or for new significant strategic investments, or to refinance our significant consolidated indebtedness, even if not required to do so by the terms of such indebtedness. We cannot be certain that additional funds will be available to us on favorable terms when required, or at all. If we cannot raise additional funds when we need them, our financial condition, results of operations, business and prospects could be materially and adversely affected.
We may be negatively impacted by any early obsolescence of our manufacturing equipment.
We depreciate the cost of our manufacturing equipment over their expected useful lives. However, product cycles or manufacturing technology may change periodically, and we may decide to update our products or manufacturing processes more quickly than expected. Moreover, improvements in engineering and manufacturing expertise and efficiency may result in our ability to manufacture our products using less of our currently installed equipment. Alternatively, as we ramp and mature the production of our products to higher levels, we may discontinue the use of already installed equipment in favor of different or additional equipment. The useful life of any equipment that would be retired early as a result would be shortened, causing the depreciation on such equipment to be accelerated, and our results of operations may be harmed.
There is no guarantee that we will have sufficient cash flow from our business to pay our indebtedness or that we will not incur additional indebtedness.
As of December 31, 2023, we and our subsidiaries had outstanding $4.68 billion in aggregate principal amount of indebtedness (see Note 11, Debt, to the consolidated financial statements included elsewhere in this Annual Report on Form 10-K). Our consolidated indebtedness may increase our vulnerability to any generally adverse economic and industry conditions. We and our subsidiaries may, subject to the limitations in the terms of our existing and future indebtedness, incur additional debt, secure existing or future debt or recapitalize our debt.
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Our ability to make scheduled payments of the principal and interest on our indebtedness when due, to make payments upon conversion or repurchase demands with respect to our convertible senior notes or to refinance our indebtedness as we may need or desire, depends on our future performance, which is subject to economic, financial, competitive and other factors beyond our control. Our business may not continue to generate cash flow from operations in the future sufficient to satisfy our obligations under our existing indebtedness and any future indebtedness we may incur, and to make necessary capital expenditures. If we are unable to generate such cash flow, we may be required to adopt one or more alternatives, such as reducing or delaying investments or capital expenditures, selling assets, refinancing or obtaining additional equity capital on terms that may be onerous or highly dilutive. Our ability to refinance existing or future indebtedness will depend on the capital markets and our financial condition at such time. In addition, our ability to make payments may be limited by law, by regulatory authority or by agreements governing our future indebtedness. We may not be able to engage in these activities on desirable terms or at all, which may result in a default on our existing or future indebtedness and harm our financial condition and operating results.
We are exposed to fluctuations in currency exchange rates.
We transact business globally in multiple currencies and have foreign currency risks related to our revenue, costs of revenue, operating expenses and localized subsidiary debt denominated in currencies other than the U.S. dollar. To the extent we have significant revenues denominated in such foreign currencies, any strengthening of the U.S. dollar would tend to reduce our revenues as measured in U.S. dollars, as we have historically experienced, and are currently experiencing. In addition, a portion of our costs and expenses have been, and we anticipate will continue to be, denominated in foreign currencies. If we do not have fully offsetting revenues in these currencies and if the value of the U.S. dollar depreciates significantly against these currencies, our costs as measured in U.S. dollars as a percent of our revenues will correspondingly increase and our margins will suffer. As a result, our operating results may be harmed.
We may not be able to adequately protect or defend ourselves against intellectual property infringement claims, which may be time-consuming and expensive, or affect the freedom to operate our business.
Our competitors or other third parties may hold or obtain patents, copyrights, trademarks or other proprietary rights that could prevent, limit or interfere with our ability to make, use, develop, sell or market our products and services, which could make it more difficult for us to operate our business. From time to time, the holders of such intellectual property rights may assert their rights and urge us to take licenses and/or may bring suits alleging infringement or misappropriation of such rights, which could result in substantial costs, negative publicity and management attention, regardless of merit.
In addition, the effective protection for our brands, technologies, and proprietary information may be limited or unavailable in certain countries, making it difficult to protect our intellectual property from misappropriation or infringement. Although we make reasonable efforts to maintain the confidentiality of our proprietary information, we cannot guarantee that these actions will deter or prevent misappropriation of our intellectual property. The theft or unauthorized use or publication of our trade secrets and confidential information could affect our competitive position.
While we endeavor to obtain and protect the intellectual property rights that we expect will allow us to retain or advance our strategic initiatives in these circumstances, there can be no assurance that we will be able to adequately identify and protect the portions of intellectual property that are strategic to our business, or mitigate the risk of potential suits or other legal demands by third parties. Accordingly, we may consider the entering into licensing agreements with respect to such rights, although no assurance can be given that such licenses can be obtained on acceptable terms or that litigation will not occur, and such licenses and associated litigation could significantly increase our operating expenses. Further, if we are determined to have or believe there is a high likelihood that we have infringed upon a third party’s intellectual property rights, we may be required to cease making, selling or incorporating certain components or intellectual property into the goods and services we offer, to pay substantial damages and/or license royalties, to redesign our products and services and/or to establish and maintain alternative branding for our products and services. In the event that we are required to take one or more such actions, our brand, business, financial condition and operating results may be harmed.
Increased scrutiny and changing expectations from stakeholders with respect to the Company’s ESG practices may result in additional costs or risks.
Companies across many industries are facing increasing scrutiny related to their environmental, social and governance (ESG) practices. Investor advocacy groups, certain institutional investors, investment funds and other influential investors are also increasingly focused on ESG practices and in recent years have placed increasing importance on the non-financial impacts of their investments. While our mission is to accelerate the world’s transition to sustainable energy, if our ESG practices do not meet investor or other industry stakeholder expectations, which continue to evolve, we may incur additional costs and our brand, ability to attract and retain qualified employees and business may be harmed.
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Our operations could be adversely affected by events outside of our control, such as natural disasters, wars or health epidemics.
We may be impacted by natural disasters, wars, health epidemics, weather conditions, the long-term effects of climate change, power outages or other events outside of our control. For example, our Fremont Factory and Gigafactory Nevada are located in seismically active regions in Northern California and Nevada, and our Gigafactory Shanghai is located in a flood-prone area. Moreover, the area in which our Gigafactory Texas is located experienced severe winter storms in the first quarter of 2021 that had a widespread impact on utilities and transportation. If major disasters such as earthquakes, floods or other climate-related events occur, or our information system or communication breaks down or operates improperly, our headquarters and production facilities may be seriously damaged, or we may have to stop or delay production and shipment of our products. In addition, the global COVID-19 pandemic has impacted economic markets, manufacturing operations, supply chains, employment and consumer behavior in nearly every geographic region and industry across the world, and we have been, and may in the future be, adversely affected as a result. Also, the broader consequences in the current conflict between Russia and Ukraine, which may include further embargoes, regional instability and geopolitical shifts; airspace bans relating to certain routes, or strategic decisions to alter certain routes; and potential retaliatory action by the Russian government against companies, and the extent of the conflict on our business and operating results cannot be predicted. We may incur expenses or delays relating to such events outside of our control, which could have a material adverse impact on our business, operating results and financial condition.
Risks Related to Government Laws and Regulations
Demand for our products and services may be impacted by the status of government and economic incentives supporting the development and adoption of such products.
Government and economic incentives that support the development and adoption of electric vehicles in the U.S. and abroad, including certain tax exemptions, tax credits and rebates, may be reduced, eliminated, amended or exhausted from time to time. For example, previously available incentives favoring electric vehicles in certain areas have expired or were cancelled or temporarily unavailable, and in some cases were not eventually replaced or reinstituted, which may have negatively impacted sales. In addition, certain government and economic incentives may also be implemented or amended to provide benefits to manufacturers who assemble domestically, have local suppliers or have other characteristics that may not apply to Tesla. Such developments could negatively impact demand for our vehicles, and we and our customers may have to adjust to them, including through pricing modifications.
In addition, certain governmental rebates, tax credits and other financial incentives that are currently available with respect to our solar and energy storage product businesses allow us to lower our costs and encourage customers to buy our products and investors to invest in our solar financing funds. However, these incentives may expire when the allocated funding is exhausted, reduced or terminated as renewable energy adoption rates increase, sometimes without warning. Likewise, in jurisdictions where net metering is currently available, our customers receive bill credits from utilities for energy that their solar energy systems generate and export to the grid in excess of the electric load they use. The benefit available under net metering has been or has been proposed to be reduced, altered or eliminated in several jurisdictions, and has also been contested and may continue to be contested before the Federal Energy Regulatory Commission. Any reductions or terminations of such incentives may harm our business, prospects, financial condition and operating results by making our products less competitive for customers, increasing our cost of capital and adversely impacting our ability to attract investment partners and to form new financing funds for our solar and energy storage assets.
Finally, we and our fund investors claim these U.S. federal tax credits and certain state incentives in amounts based on independently appraised fair market values of our solar and energy storage systems. Some governmental authorities have audited such values and in certain cases have determined that these values should be lower, and they may do so again in the future. Such determinations may result in adverse tax consequences and/or our obligation to make indemnification or other payments to our funds or fund investors.
We are subject to evolving laws and regulations that could impose substantial costs, legal prohibitions or unfavorable changes upon our operations or products.
As we grow our manufacturing operations in additional regions, we are or will be subject to complex environmental, manufacturing, health and safety laws and regulations at numerous jurisdictional levels in the U.S., China, Germany and other locations abroad, including laws relating to the use, handling, storage, recycling, disposal and/or human exposure to hazardous materials, product material inputs and post-consumer products and with respect to constructing, expanding and maintaining our facilities. New, or changes in, environmental and climate change laws, regulations or rules could also lead to increased costs of compliance, including remediations of any discovered issues, and changes to our operations, which may be significant, and any failures to comply could result in significant expenses, delays or fines. In addition, as we have
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increased our employee headcount and operations, we are and may continue to be subject to increased scrutiny, including litigation and government investigations, that we will need to defend against. If we are unable to successfully defend ourselves in such litigation or government investigations, it may harm our brand, ability to attract and retain qualified employees, business and financial condition. We are also subject to laws and regulations applicable to the supply, manufacture, import, sale, service and performance of our products both domestically and abroad. For example, in countries outside of the U.S., we are required to meet standards relating to vehicle safety, fuel economy and emissions that are often materially different from equivalent requirements in the U.S., thus resulting in additional investment into the vehicles and systems to ensure regulatory compliance in all countries. This process may include official review and certification of our vehicles by foreign regulatory agencies prior to market entry, as well as compliance with foreign reporting and recall management systems requirements.
In particular, we offer in our vehicles in certain markets Autopilot and FSD Capability features that today assist drivers with certain tedious and potentially dangerous aspects of road travel, but which currently require drivers to remain fully engaged in the driving operation. We are continuing to develop our Autopilot and FSD Capability technology. There are a variety of international, federal and state regulations that may apply to, and may adversely affect, the design and performance, sale, marketing, registration and operation of Autopilot and FSD Capability, and future capability, including full self-driving vehicles that may not be operated by a human driver. This includes many existing vehicle standards that were not originally intended to apply to vehicles that may not be operated by a human driver. Such regulations continue to rapidly change, which increases the likelihood of a patchwork of complex or conflicting regulations, or may delay, restrict or prohibit the availability of certain functionalities and vehicle designs, which could adversely affect our business.
Finally, as a manufacturer, installer and service provider with respect to solar generation and energy storage systems, a supplier of electricity generated and stored by certain of the solar energy and energy storage systems we install for customers, and a provider of grid services through virtual power plant models, we are impacted by federal, state and local regulations and policies concerning the import or export of components, electricity pricing, the interconnection of electricity generation and storage equipment with the electrical grid and the sale of electricity generated by third party-owned systems. If regulations and policies are introduced that adversely impact the import or export of components, or the interconnection, maintenance or use of our solar and energy storage systems, they could deter potential customers from purchasing our solar and energy storage products and services, threaten the economics of our existing contracts and cause us to cease solar and energy storage system sales and services in the relevant jurisdictions, which may harm our business, financial condition and operating results.
Any failure by us to comply with a variety of U.S. and international privacy and consumer protection laws may harm us.
Any failure by us or our vendors or other business partners to comply with our public privacy notice or with federal, state or international privacy, data protection or security laws or regulations relating to the processing, collection, use, retention, security and transfer of personally identifiable information could result in regulatory or litigation-related actions against us, legal liability, fines, damages, ongoing audit requirements and other significant costs. Substantial expenses and operational changes may be required in connection with maintaining compliance with such laws, and even an unsuccessful challenge by customers or regulatory authorities of our activities could result in adverse publicity and could require a costly response from and defense by us. In addition, certain privacy laws are still subject to a high degree of uncertainty as to their interpretation, application and impact, and may require extensive system and operational changes, be difficult to implement, increase our operating costs, adversely impact the cost or attractiveness of the products or services we offer, or result in adverse publicity and harm our reputation. For example, the General Data Protection Regulation applies to the processing of personal information collected from individuals located in the European Union requiring certain data protection measures when handling, with a significant risk of fines for noncompliance. Similarly, our North American operations are subject to complex and changing federal and US state-specific data privacy laws and regulations, such as the California Consumer Privacy Act which imposes certain legal obligations on our use and processing of personal information related to California residents. Finally, additional privacy and cybersecurity laws have come into effect in China.
These laws continue to develop and may be inconsistent from jurisdiction to jurisdiction. Complying with emerging and changing requirements may cause us to incur substantial costs and make enhancements to relevant data practices. Noncompliance could result in significant penalties or legal liability.
In addition to the risks related to general privacy regulation, we may also be subject to specific vehicle manufacturer obligations relating to cybersecurity, data privacy and data localization requirements which place additional risks to our international operations. Risks and penalties could include ongoing audit requirements, data protection
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authority investigations, legal proceedings by international governmental entities or others resulting in mandated disclosure of sensitive data or other commercially unfavorable terms. Notwithstanding our efforts to protect the security and integrity of our customers’ personal information, we may be required to expend significant resources to comply with data breach requirements if, for example, third parties improperly obtain and use the personal information of our customers or we otherwise experience a data loss with respect to the personal information we process and handle. A major breach of our network security and systems may occur despite defensive measures, and may result in fines, penalties and damages and harm our brand, prospects and operating results.
We could be subject to liability, penalties and other restrictive sanctions and adverse consequences arising out of certain governmental investigations and proceedings.
We are cooperating with certain government investigations as discussed in Note 15, Commitments and Contingencies, to the consolidated financial statements included elsewhere in this Annual Report on Form 10-K. To our knowledge, no government agency in any such ongoing investigation has concluded that any wrongdoing occurred. However, we cannot predict the outcome or impact of any such ongoing matters, and there exists the possibility that we could be subject to liability, penalties and other restrictive sanctions and adverse consequences if the SEC, the U.S. Department of Justice or any other government agency were to pursue legal action in the future. Moreover, we expect to incur costs in responding to related requests for information and subpoenas, and if instituted, in defending against any governmental proceedings.
We may face regulatory challenges to or limitations on our ability to sell vehicles directly.
While we intend to continue to leverage our most effective sales strategies, including sales through our website, we may not be able to sell our vehicles through our own stores in certain states in the U.S. with laws that may be interpreted to impose limitations on this direct-to-consumer sales model. It has also been asserted that the laws in some states limit our ability to obtain dealer licenses from state motor vehicle regulators, and such assertions persist. In certain locations, decisions by regulators permitting us to sell vehicles have been, and may be, challenged by dealer associations and others as to whether such decisions comply with applicable state motor vehicle industry laws. We have prevailed in many of these lawsuits and such results have reinforced our continuing belief that state franchise laws were not intended to apply to a manufacturer that does not have franchise dealers anywhere in the world. In some states, there have also been regulatory and legislative efforts by dealer associations to propose laws that, if enacted, would prevent us from obtaining dealer licenses in their states given our current sales model. A few states have passed legislation that clarifies our ability to operate, but at the same time limits the number of dealer licenses we can obtain or stores that we can operate. The application of state laws applicable to our operations continues to be difficult to predict.
Internationally, there may be laws in jurisdictions we have not yet entered or laws we are unaware of in jurisdictions we have entered that may restrict our sales or other business practices. Even for those jurisdictions we have analyzed, the laws in this area can be complex, difficult to interpret and may change over time. Continued regulatory limitations and other obstacles interfering with our ability to sell vehicles directly to consumers may harm our financial condition and operating results.
Risks Related to the Ownership of Our Common Stock
The trading price of our common stock is likely to continue to be volatile.
The trading price of our common stock has been highly volatile and could continue to be subject to wide fluctuations in response to various factors, some of which are beyond our control. Our common stock has experienced over the last 52 weeks an intra-day trading high of $299.29 per share and a low of $152.37 per share. The stock market in general, and the market for technology companies in particular, has experienced extreme price and volume fluctuations that have often been unrelated or disproportionate to the operating performance of those companies. In particular, a large proportion of our common stock has been historically and may in the future be traded by short sellers which may put pressure on the supply and demand for our common stock, further influencing volatility in its market price. Public perception of our company or management and other factors outside of our control may additionally impact the stock price of companies like us that garner a disproportionate degree of public attention, regardless of actual operating performance. In addition, in the past, following periods of volatility in the overall market or the market price of our shares, securities class action litigation has been filed against us. While we defend such actions vigorously, any judgment against us or any future stockholder litigation could result in substantial costs and a diversion of our management’s attention and resources.
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Our financial results may vary significantly from period to period due to fluctuations in our operating costs and other factors.
We expect our period-to-period financial results to vary based on our operating costs, which we anticipate will fluctuate as the pace at which we continue to design, develop and manufacture new products and increase production capacity by expanding our current manufacturing facilities and adding future facilities, may not be consistent or linear between periods. Additionally, our revenues from period to period may fluctuate as we introduce existing products to new markets for the first time and as we develop and introduce new products. As a result of these factors, we believe that quarter-to-quarter comparisons of our financial results, especially in the short term, are not necessarily meaningful and that these comparisons cannot be relied upon as indicators of future performance. Moreover, our financial results may not meet expectations of equity research analysts, ratings agencies or investors, who may be focused only on short-term quarterly financial results. If any of this occurs, the trading price of our stock could fall substantially, either suddenly or over time.
We may fail to meet our publicly announced guidance or other expectations about our business, which could cause our stock price to decline.
We provide from time to time guidance regarding our expected financial and business performance. Correctly identifying key factors affecting business conditions and predicting future events is inherently an uncertain process, and our guidance may not ultimately be accurate and has in the past been inaccurate in certain respects, such as the timing of new product manufacturing ramps. Our guidance is based on certain assumptions such as those relating to anticipated production and sales volumes (which generally are not linear throughout a given period), average sales prices, supplier and commodity costs and planned cost reductions. If our guidance varies from actual results, such as due to our assumptions not being met or the impact on our financial performance that could occur as a result of various risks and uncertainties, the market value of our common stock could decline significantly.
If Elon Musk were forced to sell shares of our common stock, either that he has pledged to secure certain personal loan obligations, or in satisfaction of other obligations, such sales could cause our stock price to decline.
Certain banking institutions have made extensions of credit to Elon Musk, our Chief Executive Officer, a portion of which was used to purchase shares of common stock in certain of our public offerings and private placements at the same prices offered to third-party participants in such offerings and placements. We are not a party to these loans, which are partially secured by pledges of a portion of the Tesla common stock currently owned by Mr. Musk. If the price of our common stock were to decline substantially, Mr. Musk may be forced by one or more of the banking institutions to sell shares of Tesla common stock to satisfy his loan obligations if he could not do so through other means. Any such sales could cause the price of our common stock to decline further. Further, Mr. Musk from time to time may commit to investing in significant business or other ventures, and as a result, be required to sell shares of our common stock in satisfaction of such commitments.
Anti-takeover provisions contained in our governing documents, applicable laws and our convertible senior notes could impair a takeover attempt.
Our certificate of incorporation and bylaws afford certain rights and powers to our board of directors that may facilitate the delay or prevention of an acquisition that it deems undesirable. We are also subject to Section 203 of the Delaware General Corporation Law and other provisions of Delaware law that limit the ability of stockholders in certain situations to effect certain business combinations. In addition, the terms of our convertible senior notes may require us to repurchase such notes in the event of a fundamental change, including a takeover of our company. Any of the foregoing provisions and terms that has the effect of delaying or deterring a change in control could limit the opportunity for our stockholders to receive a premium for their shares of our common stock, and could also affect the price that some investors are willing to pay for our common stock.
ITEM 1B. UNRESOLVED STAFF COMMENTS
None.
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ITEM 1C. CYBERSECURITY
Cybersecurity Risk Management and Strategy
We recognize the importance of assessing, identifying, and managing material risks associated with cybersecurity threats, as such term is defined in Item 106(a) of Regulation S-K. These risks include, among other things: operational risks, intellectual property theft, fraud, extortion, harm to employees or customers and violation of data privacy or security laws.
Identifying and assessing cybersecurity risk is integrated into our overall risk management systems and processes. Cybersecurity risks related to our business, technical operations, privacy and compliance issues are identified and addressed through a multi-faceted approach including third party assessments, internal IT Audit, IT security, governance, risk and compliance reviews. To defend, detect and respond to cybersecurity incidents, we, among other things: conduct proactive privacy and cybersecurity reviews of systems and applications, audit applicable data policies, perform penetration testing using external third-party tools and techniques to test security controls, operate a bug bounty program to encourage proactive vulnerability reporting, conduct employee training, monitor emerging laws and regulations related to data protection and information security (including our consumer products) and implement appropriate changes.
We have implemented incident response and breach management processes which have four overarching and interconnected stages: 1) preparation for a cybersecurity incident, 2) detection and analysis of a security incident, 3) containment, eradication and recovery, and 4) post-incident analysis. Such incident responses are overseen by leaders from our Information Security, Product Security, Compliance and Legal teams regarding matters of cybersecurity.
Security events and data incidents are evaluated, ranked by severity and prioritized for response and remediation. Incidents are evaluated to determine materiality as well as operational and business impact, and reviewed for privacy impact.
We also conduct tabletop exercises to simulate responses to cybersecurity incidents. Our team of cybersecurity professionals then collaborate with technical and business stakeholders across our business units to further analyze the risk to the company, and form detection, mitigation and remediation strategies.
As part of the above processes, we regularly engage external auditors and consultants to assess our internal cybersecurity programs and compliance with applicable practices and standards. As of 2023, our Information Security Management System has been certified to conform to the requirements of ISO/IEC 27001:2013.
Our risk management program also assesses third party risks, and we perform third-party risk management to identify and mitigate risks from third parties such as vendors, suppliers, and other business partners associated with our use of third-party service providers. Cybersecurity risks are evaluated when determining the selection and oversight of applicable third-party service providers and potential fourth-party risks when handling and/or processing our employee, business or customer data. In addition to new vendor onboarding, we perform risk management during third-party cybersecurity compromise incidents to identify and mitigate risks to us from third-party incidents.
We describe whether and how risks from identified cybersecurity threats, including as a result of any previous cybersecurity incidents, have materially affected or are reasonably likely to materially affect us, including our business strategy, results of operations, or financial condition, under the heading “Our information technology systems or data, or those of our service providers or customers or users could be subject to cyber-attacks or other security incidents, which could result in data breaches, intellectual property theft, claims, litigation, regulatory investigations, significant liability, reputational damage and other adverse consequences” included as part of our risk factor disclosures at Item 1A of this Annual Report on Form 10-K.
Cybersecurity Governance
Cybersecurity is an important part of our risk management processes and an area of focus for our Board and management. Our Audit Committee is responsible for the oversight of risks from cybersecurity threats. Members of the Audit Committee receive updates on a quarterly basis from senior management, including leaders from our Information Security, Product Security, Compliance and Legal teams regarding matters of cybersecurity. This includes existing and new cybersecurity risks, status on how management is addressing and/or mitigating those risks, cybersecurity and data privacy incidents (if any) and status on key information security initiatives. Our Board members also engage in ad hoc conversations with management on cybersecurity-related news events and discuss any updates to our cybersecurity risk management and strategy programs.
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Our cybersecurity risk management and strategy processes are overseen by leaders from our Information Security, Product Security, Compliance and Legal teams. Such individuals have an average of over 15 years of prior work experience in various roles involving information technology, including security, auditing, compliance, systems and programming. These individuals are informed about, and monitor the prevention, mitigation, detection and remediation of cybersecurity incidents through their management of, and participation in, the cybersecurity risk management and strategy processes described above, including the operation of our incident response plan, and report to the Audit Committee on any appropriate items.
ITEM 2. PROPERTIES
We are headquartered in Austin, Texas. Our principal facilities include a large number of properties in North America, Europe and Asia utilized for manufacturing and assembly, warehousing, engineering, retail and service locations, Supercharger sites and administrative and sales offices. Our facilities are used to support both of our reporting segments, and are suitable and adequate for the conduct of our business. We generally lease such facilities with the primary exception of some manufacturing facilities. The following table sets forth the location of our primary owned and leased manufacturing facilities.
Primary Manufacturing Facilities Location Owned or Leased
Gigafactory Texas Austin, Texas Owned
Fremont Factory Fremont, California Owned
Gigafactory Nevada Sparks, Nevada Owned
Gigafactory Berlin-Brandenburg Grunheide, Germany Owned
Gigafactory Shanghai Shanghai, China *
Gigafactory New York Buffalo, New York Leased
Megafactory Lathrop, California Leased
*We own the building and the land use rights with an initial term of 50 years. The land use rights are treated as operating lease right-of-use assets.
ITEM 3. LEGAL PROCEEDINGS
For a description of our material pending legal proceedings, please see Note 15, Commitments and Contingencies, to the consolidated financial statements included elsewhere in this Annual Report on Form 10-K.
In addition, each of the matters below is being disclosed pursuant to Item 103 of Regulation S-K because it relates to environmental regulations and aggregate civil penalties that we currently believe could potentially exceed $1 million. We believe that any proceeding that is material to our business or financial condition is likely to have potential penalties far in excess of such amount.
District attorneys in certain California counties conducted an investigation into Tesla’s waste segregation practices pursuant to Cal. Health & Saf. Code § 25100 et seq. and Cal. Civil Code § 1798.80. Tesla has implemented various remedial measures, including conducting training and audits, and enhancements to its site waste management programs, and settlement discussions are ongoing. While the outcome of this matter cannot be determined at this time, it is not currently expected to have a material adverse impact on our business.
ITEM 4. MINE SAFETY DISCLOSURES
Not applicable.
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PART II
ITEM 5. MARKET FOR REGISTRANT’S COMMON EQUITY, RELATED STOCKHOLDER MATTERS AND ISSUER PURCHASES OF EQUITY SECURITIES
Market Information
Our common stock has traded on The NASDAQ Global Select Market under the symbol “TSLA” since it began trading on June 29, 2010. Our initial public offering was priced at approximately $1.13 per share on June 28, 2010 as adjusted to give effect to the three-for-one stock split effected in the form of a stock dividend in August 2022 (the “2022 Stock Split”) and the five-for-one stock split effected in the form of a stock dividend in August 2020 (the “2020 Stock Split”).
Holders
As of January 22, 2024, there were 9,300 holders of record of our common stock. A substantially greater number of holders of our common stock are “street name” or beneficial holders, whose shares are held by banks, brokers and other financial institutions.
Dividend Policy
We have never declared or paid cash dividends on our common stock. We currently do not anticipate paying any cash dividends in the foreseeable future. Any future determination to declare cash dividends will be made at the discretion of our board of directors, subject to applicable laws, and will depend on our financial condition, results of operations, capital requirements, general business conditions and other factors that our board of directors may deem relevant.
Stock Performance Graph
This performance graph shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or incorporated by reference into any filing of Tesla, Inc. under the Securities Act of 1933, as amended (the “Securities Act”), or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.
The following graph shows a comparison, from January 1, 2019 through December 31, 2023, of the cumulative total return on our common stock, The NASDAQ Composite Index and a group of all public companies sharing the same SIC code as us, which is SIC code 3711, “Motor Vehicles and Passenger Car Bodies” (Motor Vehicles and Passenger Car Bodies Public Company Group). Such returns are based on historical results and are not intended to suggest future performance. Data for The NASDAQ Composite Index and the Motor Vehicles and Passenger Car Bodies Public Company Group assumes an investment of $100 on January 1, 2019 and reinvestment of dividends. We have never declared or paid cash dividends on our common stock nor do we anticipate paying any such cash dividends in the foreseeable future.
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Unregistered Sales of Equity Securities and Use of Proceeds
None.
Purchases of Equity Securities by the Issuer and Affiliated Purchasers
None.
ITEM 6. [RESERVED]
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ITEM 7. MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS
The following discussion and analysis should be read in conjunction with the consolidated financial statements and the related notes included elsewhere in this Annual Report on Form 10-K. For further discussion of our products and services, technology and competitive strengths, refer to Item 1- Business. For discussion related to changes in financial condition and the results of operations for fiscal year 2022-related items, refer to Part II, Item 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations in our Annual Report on Form 10-K for fiscal year 2022, which was filed with the Securities and Exchange Commission on January 31, 2023.
Overview and 2023 Highlights
Our mission is to accelerate the world’s transition to sustainable energy. We design, develop, manufacture, lease and sell high-performance fully electric vehicles, solar energy generation systems and energy storage products. We also offer maintenance, installation, operation, charging, insurance, financial and other services related to our products. Additionally, we are increasingly focused on products and services based on artificial intelligence, robotics and automation.
In 2023, we produced 1,845,985 consumer vehicles and delivered 1,808,581 consumer vehicles. We are currently focused on increasing vehicle production, capacity and delivery capabilities, reducing costs, improving and developing our vehicles and battery technologies, vertically integrating and localizing our supply chain, improving and further deploying our FSD capabilities, increasing the affordability and efficiency of our vehicles, bringing new products to market and expanding our global infrastructure, including our service and charging infrastructure.
In 2023, we deployed 14.72 GWh of energy storage products and 223 megawatts of solar energy systems. We are currently focused on ramping production of energy storage products, improving our Solar Roof installation capability and efficiency, and increasing market share of retrofit solar energy systems.
In 2023, we recognized total revenues of $96.77 billion, representing an increase of $15.31 billion, compared to the prior year. We continue to ramp production, build new manufacturing capacity and expand our operations to enable increased deliveries and deployments of our products, and invest in research and development to accelerate our AI, software and fleet-based profits for further revenue growth.
In 2023, our net income attributable to common stockholders was $15.00 billion, representing a favorable change of $2.44 billion, compared to the prior year. This included a one-time non-cash tax benefit of $5.93 billion for the release of valuation allowance on certain deferred tax assets. We continue to focus on further cost reductions and operational efficiencies while maximizing delivery volumes.
We ended 2023 with $29.09 billion in cash and cash equivalents and investments, representing an increase of $6.91 billion from the end of 2022. Our cash flows provided by operating activities in 2023 and 2022 were $13.26 billion and $14.72 billion, respectively, representing a decrease of $1.47 billion. Capital expenditures amounted to $8.90 billion in 2023, compared to $7.16 billion in 2022, representing an increase of $1.74 billion. Sustained growth has allowed our business to generally fund itself, and we will continue investing in a number of capital-intensive projects and research and development in upcoming periods.
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Management Opportunities, Challenges and Uncertainties and 2024 Outlook
Automotive—Production
The following is a summary of the status of production of each of our announced vehicle models in production and under development, as of the date of this Annual Report on Form 10-K:
Production Location Vehicle Model(s) Production Status
Fremont Factory Model S / Model X Active
Model 3 / Model Y Active
Gigafactory Shanghai Model 3 / Model Y Active
Gigafactory Berlin-Brandenburg Model Y Active
Gigafactory Texas Model Y Active
Cybertruck Active
Gigafactory Nevada Tesla Semi Pilot production
Various Next Generation Platform In development
TBD Tesla Roadster In development
We are focused on growing our manufacturing capacity, which includes capacity for manufacturing new vehicle models such as our Cybertruck and next generation platform, and ramping all of our production vehicles to their installed production capacities as well as increasing production rate and efficiency at our current factories. The next phase of production growth will depend on the continued ramp at our factories and the introduction of our next generation platform, as well as our ability to add to our available sources of battery cell supply by manufacturing our own cells that we are developing to have high-volume output, lower capital and production costs and longer range. Our goals are to improve vehicle performance, decrease production costs and increase affordability and customer awareness.
These plans are subject to uncertainties inherent in establishing and ramping manufacturing operations, which may be exacerbated by new product and manufacturing technologies we introduce, the number of concurrent international projects, any industry-wide component constraints, labor shortages and any future impact from events outside of our control. For example, during the third quarter of 2023, we experienced a sequential decline in production volumes due to pre-planned shutdowns for upgrades at various factories. Moreover, we have set ambitious technological targets with our plans for battery cells as well as for iterative manufacturing and design improvements for our vehicles with each new factory.
Automotive—Demand, Sales, Deliveries and Infrastructure
Our cost reduction efforts, cost innovation strategies, and additional localized procurement and manufacturing are key to our vehicles’ affordability and have allowed us to competitively price our vehicles. We will also continue to generate demand and brand awareness by improving our vehicles’ performance and functionality, including through products based on artificial intelligence such as Autopilot, FSD Capability, and other software features and delivering new vehicles, such as our Cybertruck. Moreover, we expect to continue to benefit from ongoing electrification of the automotive sector and increasing environmental regulations and initiatives.
However, we operate in a cyclical industry that is sensitive to political and regulatory uncertainty, including with respect to trade and the environment, all of which can be compounded by inflationary pressures, rising energy prices, interest rate fluctuations and the liquidity of enterprise customers. For example, inflationary pressures have increased across the markets in which we operate. In an effort to curb this trend, central banks in developed countries raised interest rates rapidly and substantially, impacting the affordability of vehicle lease and finance arrangements. Further, sales of vehicles in the automotive industry also tend to be cyclical in many markets, which may expose us to increased volatility as we expand and adjust our operations. Moreover, as additional competitors enter the marketplace and help bring the world closer to sustainable transportation, we will have to adjust and continue to execute well to maintain our momentum. Additionally, our suppliers’ liquidity and allocation plans may be affected by current challenges in the North American automotive industry, which could reduce our access to components or result in unfavorable changes to cost. These macroeconomic and industry trends have had, and will likely continue to have, an impact on the pricing of, and order rate for our vehicles, and in turn our operating margin. Changes in government and economic incentives in relation to electric vehicles may also impact our sales. We will continue to adjust accordingly to such developments, and we believe our ongoing cost reduction, including improved production innovation and efficiency at our newest factories and lower logistics costs, and focus on operating leverage will continue to benefit us in relation to our competitors, while our new products will help enable future growth.
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As our production increases, we must work constantly to similarly increase vehicle delivery capability so that it does not become a bottleneck on our total deliveries. We are also committed to reducing the percentage of vehicles delivered in the third month of each quarter, which will help to reduce the cost per vehicle. As we expand our manufacturing operations globally, we will also have to continue to increase and staff our delivery, servicing and charging infrastructure accordingly, maintain our vehicle reliability and optimize our Supercharger locations to ensure cost effectiveness and customer satisfaction. In particular, as other automotive manufacturers have announced their adoption of the North American Charging Standard (“NACS”) and agreements with us to utilize our Superchargers, we must correspondingly expand our network in order to ensure adequate availability to meet customer demands. We also remain focused on continued enhancements of the capability and efficiency of our servicing operations.
Energy Generation and Storage Demand, Production and Deployment
The long-term success of this business is dependent upon increasing margins through greater volumes. We continue to increase the production of our energy storage products to meet high levels of demand, including the construction of a new Megafactory in Shanghai and the ongoing ramp at our Megafactory in Lathrop, California. For Megapack, energy storage deployments can vary meaningfully quarter to quarter depending on the timing of specific project milestones. We remain committed to growing our retrofit solar energy business by offering a low-cost and simplified online ordering experience. In addition, we continue to seek to improve our installation capabilities and price efficiencies for Solar Roof. As these product lines grow, we will have to maintain adequate battery cell supply for our energy storage products and ensure the availability of qualified personnel, particularly skilled electricians, to support the ramp of Solar Roof.
Cash Flow and Capital Expenditure Trends
Our capital expenditures are typically difficult to project beyond the short-term given the number and breadth of our core projects at any given time, and may further be impacted by uncertainties in future global market conditions. We are simultaneously ramping new products, building or ramping manufacturing facilities on three continents, piloting the development and manufacture of new battery cell technologies, expanding our Supercharger network and investing in autonomy and other artificial intelligence enabled training and products, and the pace of our capital spend may vary depending on overall priority among projects, the pace at which we meet milestones, production adjustments to and among our various products, increased capital efficiencies and the addition of new projects. Owing and subject to the foregoing as well as the pipeline of announced projects under development, all other continuing infrastructure growth and varying levels of inflation, we currently expect our capital expenditures to exceed $10.00 billion in 2024 and be between $8.00 to $10.00 billion in each of the following two fiscal years.
Our business has been consistently generating cash flow from operations in excess of our level of capital spend, and with better working capital management resulting in shorter days sales outstanding than days payable outstanding, our sales growth is also generally facilitating positive cash generation. We have and will continue to utilize such cash flows, among other things, to do more vertical integration, expand our product roadmap and provide financing options to our customers. At the same time, we are likely to see heightened levels of capital expenditures during certain periods depending on the specific pace of our capital-intensive projects and other potential variables such as rising material prices and increases in supply chain and labor expenses resulting from changes in global trade conditions and labor availability. Overall, we expect our ability to be self-funding to continue as long as macroeconomic factors support current trends in our sales.
Critical Accounting Policies and Estimates
The consolidated financial statements are prepared in accordance with accounting principles generally accepted in the U.S. (“GAAP”). The preparation of the consolidated financial statements requires us to make estimates and assumptions that affect the reported amounts of assets, liabilities, revenues, costs and expenses and related disclosures. We base our estimates on historical experience, as appropriate, and on various other assumptions that we believe to be reasonable under the circumstances. Changes in the accounting estimates are reasonably likely to occur from period to period. Accordingly, actual results could differ significantly from the estimates made by our management. We evaluate our estimates and assumptions on an ongoing basis. To the extent that there are material differences between these estimates and actual results, our future financial statement presentation, financial condition, results of operations and cash flows may be affected.
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The estimates used for, but not limited to, determining significant economic incentive for resale value guarantee arrangements, sales return reserves, the collectability of accounts and financing receivables, inventory valuation, warranties, fair value of long-lived assets, goodwill, fair value of financial instruments, fair value and residual value of operating lease vehicles and solar energy systems subject to leases could be impacted. We have assessed the impact and are not aware of any specific events or circumstances that required an update to our estimates and assumptions or materially affected the carrying value of our assets or liabilities as of the date of issuance of this Annual Report on Form 10-K. These estimates may change as new events occur and additional information is obtained. Actual results could differ materially from these estimates under different assumptions or conditions.
Revenue Recognition
Automotive Sales
Automotive sales revenue includes revenues related to cash and financing deliveries of new vehicles, and specific other features and services that meet the definition of a performance obligation under Accounting Standards Codification (“ASC”) 606, Revenue from Contracts with Customers (“ASC 606”), including access to our FSD Capability features and their ongoing maintenance, internet connectivity, free Supercharging programs and over-the-air software updates. We recognize revenue on automotive sales upon delivery to the customer, which is when the control of a vehicle transfers. Payments are typically received at the point control transfers or in accordance with payment terms customary to the business, except sales we finance for which payments are collected over the contractual loan term. We also recognize a sales return reserve based on historical experience plus consideration for expected future market values, when we offer resale value guarantees or similar buyback terms. Other features and services such as access to our internet connectivity, unlimited free Supercharging and over-the-air software updates are provisioned upon control transfer of a vehicle and recognized over time on a straight-line basis as we have a stand-ready obligation to deliver such services to the customer. Other limited free Supercharging incentives are recognized based on actual usage or expiration, whichever is earlier. We recognize revenue related to these other features and services over the performance period, which is generally the expected ownership life of the vehicle. Revenue related to FSD Capability features is recognized when functionality is delivered to the customer and their ongoing maintenance is recognized over time. For our obligations related to automotive sales, we estimate standalone selling price by considering costs used to develop and deliver the service, third-party pricing of similar options and other information that may be available.
Inventory Valuation
Inventories are stated at the lower of cost or net realizable value. Cost is computed using standard cost for vehicles and energy products, which approximates actual cost on a first-in, first-out basis. We record inventory write-downs for excess or obsolete inventories based upon assumptions about current and future demand forecasts. If our inventory on-hand is in excess of our future demand forecast, the excess amounts are written-off.
We also review our inventory to determine whether its carrying value exceeds the net amount realizable upon the ultimate sale of the inventory. This requires us to determine the estimated selling price of our vehicles less the estimated cost to convert the inventory on-hand into a finished product. Once inventory is written-down, a new, lower cost basis for that inventory is established and subsequent changes in facts and circumstances do not result in the restoration or increase in that newly established cost basis.
Should our estimates of future selling prices or production costs change, additional and potentially material write-downs may be required. A small change in our estimates may result in a material charge to our reported financial results.
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Warranties
We provide a manufacturer’s warranty on all new and used vehicles and a warranty on the installation and components of the energy generation and storage systems we sell for periods typically between 10 to 25 years. We accrue a warranty reserve for the products sold by us, which includes our best estimate of the projected costs to repair or replace items under warranties and recalls if identified. These estimates are based on actual claims incurred to date and an estimate of the nature, frequency and costs of future claims. These estimates are inherently uncertain and changes to our historical or projected warranty experience may cause material changes to the warranty reserve in the future. The warranty reserve does not include projected warranty costs associated with our vehicles subject to operating lease accounting and our solar energy systems under lease contracts or PPAs, as the costs to repair these warranty claims are expensed as incurred. The portion of the warranty reserve expected to be incurred within the next 12 months is included within Accrued liabilities and other, while the remaining balance is included within Other long-term liabilities on the consolidated balance sheets. For liabilities that we are entitled to receive indemnification from our suppliers, we record receivables for the contractually obligated amounts on the consolidated balance sheets as a component of Prepaid expenses and other current assets for the current portion and as Other non-current assets for the long-term portion. Warranty expense is recorded as a component of Cost of revenues in the consolidated statements of operations. Due to the magnitude of our automotive business, our accrued warranty balance is primarily related to our automotive segment.
Stock-Based Compensation
We use the fair value method of accounting for our stock options and restricted stock units (“RSUs”) granted to employees and for our employee stock purchase plan (the “ESPP”) to measure the cost of employee services received in exchange for the stock-based awards. The fair value of stock option awards with only service and/or performance conditions is estimated on the grant or offering date using the Black-Scholes option-pricing model. The Black-Scholes option-pricing model requires inputs such as the risk-free interest rate, expected term and expected volatility. These inputs are subjective and generally require significant judgment. The fair value of RSUs is measured on the grant date based on the closing fair market value of our common stock. The resulting cost is recognized over the period during which an employee is required to provide service in exchange for the awards, usually the vesting period, which is generally four years for stock options and RSUs and six months for the ESPP. Stock-based compensation expense is recognized on a straight-line basis, net of actual forfeitures in the period.
For performance-based awards, stock-based compensation expense is recognized over the expected performance achievement period of individual performance milestones when the achievement of each individual performance milestone becomes probable.
As we accumulate additional employee stock-based awards data over time and as we incorporate market data related to our common stock, we may calculate significantly different volatilities and expected lives, which could materially impact the valuation of our stock-based awards and the stock-based compensation expense that we will recognize in future periods. Stock-based compensation expense is recorded in Cost of revenues, Research and development expense and Selling, general and administrative expense in the consolidated statements of operations.
Income Taxes
We are subject to income taxes in the U.S. and in many foreign jurisdictions. Significant judgment is required in determining our provision for income taxes, our deferred tax assets and liabilities and any valuation allowance recorded against our net deferred tax assets that are not more likely than not to be realized. We monitor the realizability of our deferred tax assets taking into account all relevant factors at each reporting period. In completing our assessment of realizability of our deferred tax assets, we consider our history of income (loss) measured at pre-tax income (loss) adjusted for permanent book-tax differences on a jurisdictional basis, volatility in actual earnings, excess tax benefits related to stock-based compensation in recent prior years, and impacts of the timing of reversal of existing temporary differences. We also rely on our assessment of the Company’s projected future results of business operations, including uncertainty in future operating results relative to historical results, volatility in the market price of our common stock and its performance over time, variable macroeconomic conditions impacting our ability to forecast future taxable income, and changes in business that may affect the existence and magnitude of future taxable income. Our valuation allowance assessment is based on our best estimate of future results considering all available information.
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Furthermore, significant judgment is required in evaluating our tax positions. In the ordinary course of business, there are many transactions and calculations for which the ultimate tax settlement is uncertain. As a result, we recognize the effect of this uncertainty on our tax attributes or taxes payable based on our estimates of the eventual outcome. These effects are recognized when, despite our belief that our tax return positions are supportable, we believe that it is more likely than not that some of those positions may not be fully sustained upon review by tax authorities. We are required to file income tax returns in the U.S. and various foreign jurisdictions, which requires us to interpret the applicable tax laws and regulations in effect in such jurisdictions. Such returns are subject to audit by the various federal, state and foreign taxing authorities, who may disagree with respect to our tax positions. We believe that our consideration is adequate for all open audit years based on our assessment of many factors, including past experience and interpretations of tax law. We review and update our estimates in light of changing facts and circumstances, such as the closing of a tax audit, the lapse of a statute of limitations or a change in estimate. To the extent that the final tax outcome of these matters differs from our expectations, such differences may impact income tax expense in the period in which such determination is made.
Results of Operations
Revenues
Year Ended December 31, 2023 vs. 2022 Change 2022 vs. 2021 Change
(Dollars in millions) 2023 2022 2021 $ % $ %
Automotive sales $ 78,509 $ 67,210 $ 44,125 $ 11,299 17 % $ 23,085 52 %
Automotive regulatory credits 1,790 1,776 1,465 14 1 % 311 21 %
Automotive leasing 2,120 2,476 1,642 (356) (14) % 834 51 %
Total automotive revenues 82,419 71,462 47,232 10,957 15 % 24,230 51 %
Services and other 8,319 6,091 3,802 2,228 37 % 2,289 60 %
Total automotive & services and other segment revenue 90,738 77,553 51,034 13,185 17 % 26,519 52 %
Energy generation and storage segment revenue 6,035 3,909 2,789 2,126 54 % 1,120 40 %
Total revenues $ 96,773 $ 81,462 $ 53,823 $ 15,311 19 % $ 27,639 51 %
Automotive & Services and Other Segment
Automotive sales revenue includes revenues related to cash and financing deliveries of new Model S, Model X, Semi, Model 3, Model Y, and Cybertruck vehicles, including access to our FSD Capability features and their ongoing maintenance, internet connectivity, free Supercharging programs and over-the-air software updates. These deliveries are vehicles that are not subject to lease accounting.
Automotive regulatory credits includes sales of regulatory credits to other automotive manufacturers. Our revenue from automotive regulatory credits is directly related to our new vehicle production, sales and pricing negotiated with our customers. We monetize them proactively as new vehicles are sold based on standing arrangements with buyers of such credits, typically as close as possible to the production and delivery of the vehicle or changes in regulation impacting the credits.
Automotive leasing revenue includes the amortization of revenue for vehicles under direct operating lease agreements. Additionally, automotive leasing revenue includes direct sales-type leasing programs where we recognize all revenue associated with the sales-type lease upon delivery to the customer.
Services and other revenue consists of sales of used vehicles, non-warranty after-sales vehicle services, body shop and parts, paid Supercharging, vehicle insurance revenue and retail merchandise.
2023 compared to 2022
Automotive sales revenue increased $11.30 billion, or 17%, in the year ended December 31, 2023 as compared to the year ended December 31, 2022, primarily due to an increase of 473,382 combined Model 3 and Model Y cash deliveries from production ramping of Model Y globally. The increase was partially offset by a lower average selling price on our vehicles driven by overall price reductions year over year, sales mix, and a negative impact from the United States dollar strengthening against other foreign currencies in the year ended December 31, 2023 compared to the prior year.
Automotive regulatory credits revenue increased $14 million, or 1%, in the year ended December 31, 2023 as compared to the year ended December 31, 2022.
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Automotive leasing revenue decreased $356 million, or 14%, in the year ended December 31, 2023 as compared to the year ended December 31, 2022. The decrease was primarily due to a decrease in direct sales-type leasing revenue driven by lower deliveries year over year, partially offset by an increase from our growing direct operating lease portfolio.
Services and other revenue increased $2.23 billion, or 37%, in the year ended December 31, 2023 as compared to the year ended December 31, 2022. The increase was primarily due to higher used vehicle revenue driven by increases in volume, body shop and part sales revenue, non-warranty maintenance services revenue, paid Supercharging revenue and insurance services revenue, all of which are primarily attributable to our growing fleet. The increases were partially offset by a decrease in the average selling price of used vehicles.
Energy Generation and Storage Segment
Energy generation and storage revenue includes sales and leasing of solar energy generation and energy storage products, financing of solar energy generation products, services related to such products and sales of solar energy systems incentives.
2023 compared to 2022
Energy generation and storage revenue increased $2.13 billion, or 54%, in the year ended December 31, 2023 as compared to the year ended December 31, 2022. The increase was primarily due to an increase in deployments of Megapack.
Cost of Revenues and Gross Margin
Year Ended December 31, 2023 vs. 2022 Change 2022 vs. 2021 Change
(Dollars in millions) 2023 2022 2021 $ % $ %
Cost of revenues
Automotive sales $ 65,121 $ 49,599 $ 32,415 $ 15,522 31 % $ 17,184 53 %
Automotive leasing 1,268 1,509 978 (241) (16) % 531 54 %
Total automotive cost of revenues 66,389 51,108 33,393 15,281 30 % 17,715 53 %
Services and other 7,830 5,880 3,906 1,950 33 % 1,974 51 %
Total automotive & services and other segment cost of revenues 74,219 56,988 37,299 17,231 30 % 19,689 53 %
Energy generation and storage segment 4,894 3,621 2,918 1,273 35 % 703 24 %
Total cost of revenues $ 79,113 $ 60,609 $ 40,217 $ 18,504 31 % $ 20,392 51 %
Gross profit total automotive $ 16,030 $ 20,354 $ 13,839
Gross margin total automotive 19.4 % 28.5 % 29.3 %
Gross profit total automotive & services and other segment $ 16,519 $ 20,565 $ 13,735
Gross margin total automotive & services and other segment 18.2 % 26.5 % 26.9 %
Gross profit energy generation and storage segment $ 1,141 $ 288 $ (129)
Gross margin energy generation and storage segment 18.9 % 7.4 % (4.6) %
Total gross profit $ 17,660 $ 20,853 $ 13,606
Total gross margin 18.2 % 25.6 % 25.3 %
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Automotive & Services and Other Segment
Cost of automotive sales revenue includes direct and indirect materials, labor costs, manufacturing overhead, including depreciation costs of tooling and machinery, shipping and logistic costs, vehicle connectivity costs, FSD ongoing maintenance costs, allocations of electricity and infrastructure costs related to our Supercharger network and reserves for estimated warranty expenses. Cost of automotive sales revenues also includes adjustments to warranty expense and charges to write down the carrying value of our inventory when it exceeds its estimated net realizable value and to provide for obsolete and on-hand inventory in excess of forecasted demand. Additionally, cost of automotive sales revenue benefits from manufacturing credits earned.
Cost of automotive leasing revenue includes the depreciation of operating lease vehicles, cost of goods sold associated with direct sales-type leases and warranty expense related to leased vehicles.
Costs of services and other revenue includes cost of used vehicles including refurbishment costs, costs associated with providing non-warranty after-sales services, costs associated with our body shops and part sales, costs of paid Supercharging, costs to provide vehicle insurance and costs for retail merchandise.
2023 compared to 2022
Cost of automotive sales revenue increased $15.52 billion, or 31%, in the year ended December 31, 2023 as compared to the year ended December 31, 2022. Cost of automotive sales revenue increased in line with the change in deliveries year over year, as discussed above. The increase was partially offset by a decrease in the average combined cost per unit of our vehicles primarily due to sales mix, lower inbound freight, a decrease in material costs and lower manufacturing costs from better fixed cost absorption. Our costs of revenue were also positively impacted by the United States dollar strengthening against our foreign currencies as compared to the prior periods and by the IRA manufacturing credits earned during the current year.
Cost of automotive leasing revenue decreased $241 million, or 16%, in the year ended December 31, 2023 as compared to the year ended December 31, 2022. The decrease was primarily due to a decrease in direct sales-type leasing cost of revenue driven by lower deliveries year over year.
Cost of services and other revenue increased $1.95 billion, or 33%, in the year ended December 31, 2023 as compared to the year ended December 31, 2022. The increase was generally in line with the changes in services and other revenue as discussed above.
Gross margin for total automotive decreased from 28.5% to 19.4% in the year ended December 31, 2023 as compared to the year ended December 31, 2022. The decrease was primarily due to a lower average selling price on our vehicles partially offset by the favorable change in our average combined cost per unit of our vehicles and IRA manufacturing credits earned as discussed above.
Gross margin for total automotive & services and other segment decreased from 26.5% to 18.2% in the year ended December 31, 2023 as compared to the year ended December 31, 2022, primarily due to the automotive gross margin decrease discussed above.
Energy Generation and Storage Segment
Cost of energy generation and storage revenue includes direct and indirect material and labor costs, warehouse rent, freight, warranty expense, other overhead costs and amortization of certain acquired intangible assets. Cost of energy generation and storage revenue also includes charges to write down the carrying value of our inventory when it exceeds its estimated net realizable value and to provide for obsolete and on-hand inventory in excess of forecasted demand. Additionally, cost of energy generation and storage revenue benefits from manufacturing credits earned. In agreements for solar energy systems and PPAs where we are the lessor, the cost of revenue is primarily comprised of depreciation of the cost of leased solar energy systems, maintenance costs associated with those systems and amortization of any initial direct costs.
2023 compared to 2022
Cost of energy generation and storage revenue increased $1.27 billion, or 35%, in the year ended December 31, 2023 as compared to the year ended December 31, 2022, in line with the increase in Megapack deployments year over year, as discussed above. This increase was partially offset by an improvement in production ramping that drove down the average cost per MWh of Megapack as well as IRA manufacturing credits earned during the current year.
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Gross margin for energy generation and storage increased from 7.4% to 18.9% in the year ended December 31, 2023 as compared to the year ended December 31, 2022. The increase was driven by an improvement in our Megapack gross margin from lower average cost per MWh and a higher proportion of Megapack, which operated at a higher gross margin, within the segment as compared to the prior year periods. Additionally, there was a margin benefit from IRA manufacturing credits earned.
Research and Development Expense
Year Ended December 31, 2023 vs. 2022 Change 2022 vs. 2021 Change
(Dollars in millions) 2023 2022 2021 $ % $ %
Research and development $ 3,969 $ 3,075 $ 2,593 $ 894 29 % $ 482 19 %
As a percentage of revenues 4 % 4 % 5 %
Research and development (“R&D”) expenses consist primarily of personnel costs for our teams in engineering and research, manufacturing engineering and manufacturing test organizations, prototyping expense, contract and professional services and amortized equipment expense.
R&D expenses increased $894 million, or 29%, in the year ended December 31, 2023 as compared to the year ended December 31, 2022. The overall increase was primarily driven by additional costs in the current year related to the pre-production phase for Cybertruck, AI and other programs.
R&D expenses as a percentage of revenue stayed consistent at 4% in the year ended December 31, 2023 as compared to the year ended December 31, 2022. Our R&D expenses have increased proportionately with total revenues as we continue to expand our product roadmap and technologies.
Selling, General and Administrative Expense
Year Ended December 31, 2023 vs. 2022 Change 2022 vs. 2021 Change
(Dollars in millions) 2023 2022 2021 $ % $ %
Selling, general and administrative $ 4,800 $ 3,946 $ 4,517 $ 854 22 % $ (571) (13) %
As a percentage of revenues 5 % 5 % 8 %
Selling, general and administrative (“SG&A”) expenses generally consist of personnel and facilities costs related to our stores, marketing, sales, executive, finance, human resources, information technology and legal organizations, as well as fees for professional and contract services and litigation settlements.
SG&A expenses increased $854 million, or 22%, in the year ended December 31, 2023 as compared to the year ended December 31, 2022. This was driven by a $447 million increase in employee and labor costs primarily from increased headcount, including professional services and a $363 million increase in facilities related expenses.
Restructuring and Other
Year Ended December 31, 2023 vs. 2022 Change 2022 vs. 2021 Change
(Dollars in millions) 2023 2022 2021 $ % $ %
Restructuring and other $ — $ 176 $ (27) $ (176) (100)% $ 203 Not meaningful
During the year ended December 31, 2022, we recorded an impairment loss of $204 million as well as realized gains of $64 million in connection with converting our holdings of digital assets into fiat currency. We also recorded other expenses of $36 million during the second quarter of the year ended December 31, 2022, related to employee terminations.
Interest Income
Year Ended December 31, 2023 vs. 2022 Change 2022 vs. 2021 Change
(Dollars in millions) 2023 2022 2021 $ % $ %
Interest income $ 1,066 $ 297 $ 56 $ 769 259 % $ 241 430 %
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Interest income increased $769 million, or 259%, in the year ended December 31, 2023 as compared to the year ended December 31, 2022. This increase was primarily due to higher interest earned on our cash and cash equivalents and short-term investments in the year ended December 31, 2023 as compared to the prior year due to rising interest rates and our increasing portfolio balance.
Other Income (Expense), Net
Year Ended December 31, 2023 vs. 2022 Change 2022 vs. 2021 Change
(Dollars in millions) 2023 2022 2021 $ % $ %
Other income (expense), net $ 172 $ (43) $ 135 $ 215 Not meaningful $ (178) Not meaningful
Other income (expense), net, consists primarily of foreign exchange gains and losses related to our foreign currency-denominated monetary assets and liabilities. We expect our foreign exchange gains and losses will vary depending upon movements in the underlying exchange rates.
Other income, net, changed favorably by $215 million in the year ended December 31, 2023 as compared to the year ended December 31, 2022. The favorable change was primarily due to fluctuations in foreign currency exchange rates on our intercompany balances.
(Benefit from) Provision for Income Taxes
Year Ended December 31, 2023 vs. 2022 Change 2022 vs. 2021 Change
(Dollars in millions) 2023 2022 2021 $ % $ %
(Benefit from) provision for income taxes $ (5,001) $ 1,132 $ 699 $ (6,133) Not meaningful $ 433 62 %
Effective tax rate (50) % 8 % 11 %
We monitor the realizability of our deferred tax assets taking into account all relevant factors at each reporting period. As of December 31, 2023, based on the relevant weight of positive and negative evidence, including the amount of our taxable income in recent years which is objective and verifiable, and consideration of our expected future taxable earnings, we concluded that it is more likely than not that our U.S. federal and certain state deferred tax assets are realizable. As such, we released $6.54 billion of our valuation allowance associated with the U.S. federal and state deferred tax assets, with the exception of our California deferred tax assets. Approximately $5.93 billion of the total valuation allowance release was related to deferred tax assets to be realized in the future years and the remainder benefited us during the year ended December 31, 2023. We continue to maintain a full valuation allowance against our California deferred tax assets as of December 31, 2023, because we concluded they are not more likely than not to be realized as we expect our California deferred tax assets generation in future years to exceed our ability to use these deferred tax assets.
Our (benefit from) provision for income taxes changed by $6.13 billion in the year ended December 31, 2023 as compared to the year ended December 31, 2022, primarily due to the release of $6.54 billion of our valuation allowance associated with the U.S. federal and certain state deferred tax assets.
Our effective tax rate changed from an expense of 8% to a benefit of 50% in the year ended December 31, 2023 as compared to the year ended December 31, 2022, primarily due to the release of the valuation allowance regarding our U.S. federal and certain state deferred tax assets.
See Note 14, Income Taxes, to the consolidated financial statements included elsewhere in this Annual Report on Form 10-K for further details.
Liquidity and Capital Resources
We expect to continue to generate net positive operating cash flow as we have done in the last five fiscal years. The cash we generate from our core operations enables us to fund ongoing operations and production, our research and development projects for new products and technologies including our proprietary battery cells, additional manufacturing ramps at existing manufacturing facilities, the construction of future factories, and the continued expansion of our retail and service locations, body shops, Mobile Service fleet, Supercharger, including to support NACS, energy product installation capabilities and autonomy and other artificial intelligence enabled products.
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In addition, because a large portion of our future expenditures will be to fund our growth, we expect that if needed we will be able to adjust our capital and operating expenditures by operating segment. For example, if our near-term manufacturing operations decrease in scale or ramp more slowly than expected, including due to global economic or business conditions, we may choose to correspondingly slow the pace of our capital expenditures. Finally, we continually evaluate our cash needs and may decide it is best to raise additional capital or seek alternative financing sources to fund the rapid growth of our business, including through drawdowns on existing or new debt facilities or financing funds. Conversely, we may also from time to time determine that it is in our best interests to voluntarily repay certain indebtedness early.
Accordingly, we believe that our current sources of funds will provide us with adequate liquidity during the 12-month period following December 31, 2023, as well as in the long-term.
See the sections below for more details regarding the material requirements for cash in our business and our sources of liquidity to meet such needs.
Material Cash Requirements
From time to time in the ordinary course of business, we enter into agreements with vendors for the purchase of components and raw materials to be used in the manufacture of our products. However, due to contractual terms, variability in the precise growth curves of our development and production ramps, and opportunities to renegotiate pricing, we generally do not have binding and enforceable purchase orders under such contracts beyond the short-term, and the timing and magnitude of purchase orders beyond such period is difficult to accurately project.
As discussed in and subject to the considerations referenced in Part II, Item 7, Management's Discussion and Analysis of Financial Condition and Results of Operations—Management Opportunities, Challenges and Uncertainties and 2023 Outlook—Cash Flow and Capital Expenditure Trends in this Annual Report on Form 10-K, we currently expect our capital expenditures to support our projects globally to exceed $10.00 billion in 2024 and be between $8.00 to $10.00 billion in each of the following two fiscal years. In connection with our operations at Gigafactory New York, we have an agreement to spend or incur $5.00 billion in combined capital, operational expenses, costs of goods sold and other costs in the State of New York through December 31, 2029 (pursuant to a deferral of our required timelines to meet such obligations that was granted in April 2021, and which was memorialized in an amendment to our agreement with the SUNY Foundation in August 2021). For details regarding these obligations, refer to Note 15, Commitments and Contingencies, to the consolidated financial statements included elsewhere in this Annual Report on Form 10-K.
As of December 31, 2023, we and our subsidiaries had outstanding $4.68 billion in aggregate principal amount of indebtedness, of which $1.98 billion is scheduled to become due in the succeeding 12 months. As of December 31, 2023, our total minimum lease payments was $5.96 billion, of which $1.31 billion is due in the succeeding 12 months. For details regarding our indebtedness and lease obligations, refer to Note 11, Debt, and Note 12, Leases, to the consolidated financial statements included elsewhere in this Annual Report on Form 10-K.
Sources and Conditions of Liquidity
Our sources to fund our material cash requirements are predominantly from our deliveries and servicing of new and used vehicles, sales and installations of our energy storage products and solar energy systems, proceeds from debt facilities and proceeds from equity offerings, when applicable.
As of December 31, 2023, we had $16.40 billion and $12.70 billion of cash and cash equivalents and short-term investments, respectively. Balances held in foreign currencies had a U.S. dollar equivalent of $4.43 billion and consisted primarily of Chinese yuan and euros. We had $5.03 billion of unused committed credit amounts as of December 31, 2023. For details regarding our indebtedness, refer to Note 11, Debt, to the consolidated financial statements included elsewhere in this Annual Report on Form 10-K.
We continue adapting our strategy to meet our liquidity and risk objectives, such as investing in U.S. government securities and other investments, to do more vertical integration, expand our product roadmap and provide financing options to our customers.
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Summary of Cash Flows
Year Ended December 31,
(Dollars in millions) 2023 2022 2021
Net cash provided by operating activities $ 13,256 $ 14,724 $ 11,497
Net cash used in investing activities $ (15,584) $ (11,973) $ (7,868)
Net cash provided by (used in) financing activities $ 2,589 $ (3,527) $ (5,203)
Cash Flows from Operating Activities
Our cash flows from operating activities are significantly affected by our cash investments to support the growth of our business in areas such as research and development and selling, general and administrative and working capital. Our operating cash inflows include cash from vehicle sales and related servicing, customer lease and financing payments, customer deposits, cash from sales of regulatory credits and energy generation and storage products, and interest income on our cash and investments portfolio. These cash inflows are offset by our payments to suppliers for production materials and parts used in our manufacturing process, operating expenses, operating lease payments and interest payments on our financings.
Net cash provided by operating activities decreased by $1.47 billion to $13.26 billion during the year ended December 31, 2023 from $14.72 billion during the year ended December 31, 2022. This decrease was primarily due to the decrease in net income excluding non-cash expenses, gains and losses of $2.93 billion, partially offset by favorable changes in net operating assets and liabilities of $1.46 billion.
Cash Flows from Investing Activities
Cash flows from investing activities and their variability across each period related primarily to capital expenditures, which were $8.90 billion for the year ended December 31, 2023 and $7.16 billion for the year ended December 31, 2022, mainly for global factory expansion and machinery and equipment as we expand our product roadmap. We also purchased $6.62 billion and $5.81 billion of investments, net of proceeds from maturities and sales, for the year ended December 31, 2023 and 2022, respectively. Additionally, proceeds from sales of digital assets was $936 million in the year ended December 31, 2022.
Cash Flows from Financing Activities
Net cash from financing activities changed by $6.12 billion to $2.59 billion net cash provided by financing activities during the year ended December 31, 2023 from $3.53 billion net cash used in financing activities during the year ended December 31, 2022. The change was primarily due to a $3.93 billion increase in proceeds from issuances of debt and a $2.01 billion decrease in repayments of debt. See Note 11, Debt, to the consolidated financial statements included elsewhere in this Annual Report on Form 10-K for further details regarding our debt obligations.
Recent Accounting Pronouncements
See Note 2, Summary of Significant Accounting Policies, to the consolidated financial statements included elsewhere in this Annual Report on Form 10-K.
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ITEM 7A. QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK
Foreign Currency Risk
We transact business globally in multiple currencies and hence have foreign currency risks related to our revenue, costs of revenue and operating expenses denominated in currencies other than the U.S. dollar (primarily the Chinese yuan and euro in relation to our current year operations). In general, we are a net receiver of currencies other than the U.S. dollar for our foreign subsidiaries. Accordingly, changes in exchange rates affect our operating results as expressed in U.S. dollars as we do not typically hedge foreign currency risk.
We have also experienced, and will continue to experience, fluctuations in our net income as a result of gains (losses) on the settlement and the re-measurement of monetary assets and liabilities denominated in currencies that are not the local currency (primarily consisting of our intercompany and cash and cash equivalents balances).
We considered the historical trends in foreign currency exchange rates and determined that it is reasonably possible that adverse changes in foreign currency exchange rates of 10% for all currencies could be experienced in the near-term. These changes were applied to our total monetary assets and liabilities denominated in currencies other than our local currencies at the balance sheet date to compute the impact these changes would have had on our net income before income taxes. These changes would have resulted in a gain or loss of $1.01 billion at December 31, 2023 and $473 million at December 31, 2022, assuming no foreign currency hedging.
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ITEM 8. FINANCIAL STATEMENTS AND SUPPLEMENTARY DATA
Index to Consolidated Financial Statements
Page
Report of Independent Registered Public Accounting Firm (PCAOB ID: 238) 47
Consolidated Balance Sheets
49
Consolidated Statements of Operations
50
Consolidated Statements of Comprehensive Income
51
Consolidated Statements of Redeemable Noncontrolling Interests and Equity
52
Consolidated Statements of Cash Flows
53
Notes to Consolidated Financial Statements
54
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Report of Independent Registered Public Accounting Firm
To the Board of Directors and Stockholders of Tesla, Inc.
Opinions on the Financial Statements and Internal Control over Financial Reporting
We have audited the accompanying consolidated balance sheets of Tesla, Inc. and its subsidiaries (the “Company”) as of December 31, 2023 and 2022, and the related consolidated statements of operations, of comprehensive income, of redeemable noncontrolling interests and equity and of cash flows for each of the three years in the period ended December 31, 2023, including the related notes (collectively referred to as the “consolidated financial statements”). We also have audited the Company's internal control over financial reporting as of December 31, 2023, based on criteria established in Internal Control - Integrated Framework (2013) issued by the Committee of Sponsoring Organizations of the Treadway Commission (COSO).
In our opinion, the consolidated financial statements referred to above present fairly, in all material respects, the financial position of the Company as of December 31, 2023 and 2022, and the results of its operations and its cash flows for each of the three years in the period ended December 31, 2023 in conformity with accounting principles generally accepted in the United States of America. Also in our opinion, the Company maintained, in all material respects, effective internal control over financial reporting as of December 31, 2023, based on criteria established in Internal Control - Integrated Framework (2013) issued by the COSO.
Changes in Accounting Principles
As discussed in Note 2 to the consolidated financial statements, the Company changed the manner in which it accounts for convertible debt in 2021.
Basis for Opinions
The Company's management is responsible for these consolidated financial statements, for maintaining effective internal control over financial reporting, and for its assessment of the effectiveness of internal control over financial reporting, included in Management’s Report on Internal Control over Financial Reporting appearing under Item 9A. Our responsibility is to express opinions on the Company’s consolidated financial statements and on the Company's internal control over financial reporting based on our audits. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.
We conducted our audits in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audits to obtain reasonable assurance about whether the consolidated financial statements are free of material misstatement, whether due to error or fraud, and whether effective internal control over financial reporting was maintained in all material respects.
Our audits of the consolidated financial statements included performing procedures to assess the risks of material misstatement of the consolidated financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the consolidated financial statements. Our audits also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the consolidated financial statements. Our audit of internal control over financial reporting included obtaining an understanding of internal control over financial reporting, assessing the risk that a material weakness exists, and testing and evaluating the design and operating effectiveness of internal control based on the assessed risk. Our audits also included performing such other procedures as we considered necessary in the circumstances. We believe that our audits provide a reasonable basis for our opinions.
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Definition and Limitations of Internal Control over Financial Reporting
A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (i) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (ii) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (iii) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of the company’s assets that could have a material effect on the financial statements.
Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.
Critical Audit Matters
The critical audit matter communicated below is a matter arising from the current period audit of the consolidated financial statements that was communicated or required to be communicated to the audit committee and that (i) relates to accounts or disclosures that are material to the consolidated financial statements and (ii) involved our especially challenging, subjective, or complex judgments. The communication of critical audit matters does not alter in any way our opinion on the consolidated financial statements, taken as a whole, and we are not, by communicating the critical audit matter below, providing a separate opinion on the critical audit matter or on the accounts or disclosures to which it relates.
Automotive Warranty Reserve
As described in Note 2 to the consolidated financial statements, total accrued warranty, which primarily relates to the automotive segment, was $5,152 million as of December 31, 2023. The Company provides a manufacturer’s warranty on all new and used Tesla vehicles. A warranty reserve is accrued for these products sold, which includes management’s best estimate of the projected costs to repair or replace items under warranty and recalls if identified. These estimates are based on actual claims incurred to date and an estimate of the nature, frequency and costs of future claims.
The principal considerations for our determination that performing procedures relating to the automotive warranty reserve is a critical audit matter are the significant judgment by management in determining the automotive warranty reserve for certain Tesla vehicle models; this in turn led to significant auditor judgment, subjectivity, and effort in performing procedures to evaluate management’s significant assumptions related to the nature, frequency and costs of future claims for certain Tesla vehicle models, and the audit effort involved the use of professionals with specialized skill and knowledge.
Addressing the matter involved performing procedures and evaluating audit evidence in connection with forming our overall opinion on the consolidated financial statements. These procedures included testing the effectiveness of controls relating to management’s estimate of the automotive warranty reserve for certain Tesla vehicle models, including controls over management’s significant assumptions related to the nature, frequency and costs of future claims as well as the completeness and accuracy of actual claims incurred to date. These procedures also included, among others, performing one of the following: (i) testing management’s process for determining the automotive warranty reserve for certain Tesla vehicle models or (ii) developing an independent estimate of the automotive warranty reserve for certain Tesla vehicle models and comparing the independent estimate to management’s estimate to evaluate the reasonableness of the estimate. Testing management’s process involved evaluating the reasonableness of significant assumptions related to the nature and frequency of future claims and the related costs to repair or replace items under warranty. Evaluating the assumptions related to the nature and frequency of future claims and the related costs to repair or replace items under warranty involved evaluating whether the assumptions used were reasonable by performing a lookback analysis comparing prior period forecasted claims to actual claims incurred. Developing the independent estimate involved testing the completeness and accuracy of historical vehicle claims processed and testing that such claims were appropriately used by management in the estimation of future claims. Professionals with specialized skill and knowledge were used to assist in developing an independent estimate of the automotive warranty reserve for certain Tesla vehicle models and in evaluating the appropriateness of certain aspects of management’s significant assumptions related to the nature and frequency of future claims.
/s/ PricewaterhouseCoopers LLP
San Jose, California
January 26, 2024
We have served as the Company’s auditor since 2005.
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Tesla, Inc.
Consolidated Balance Sheets
(in millions, except per share data)
December 31,
2023 December 31,
2022
Assets
Current assets
Cash and cash equivalents $ 16,398 $ 16,253
Short-term investments 12,696 5,932
Accounts receivable, net 3,508 2,952
Inventory 13,626 12,839
Prepaid expenses and other current assets 3,388 2,941
Total current assets 49,616 40,917
Operating lease vehicles, net 5,989 5,035
Solar energy systems, net 5,229 5,489
Property, plant and equipment, net 29,725 23,548
Operating lease right-of-use assets 4,180 2,563
Digital assets, net 184 184
Intangible assets, net 178 215
Goodwill 253 194
Deferred tax assets 6,733 328
Other non-current assets 4,531 3,865
Total assets $ 106,618 $ 82,338
Liabilities
Current liabilities
Accounts payable $ 14,431 $ 15,255
Accrued liabilities and other 9,080 8,205
Deferred revenue 2,864 1,747
Current portion of debt and finance leases 2,373 1,502
Total current liabilities 28,748 26,709
Debt and finance leases, net of current portion 2,857 1,597
Deferred revenue, net of current portion 3,251 2,804
Other long-term liabilities 8,153 5,330
Total liabilities 43,009 36,440
Commitments and contingencies (Note 15)
Redeemable noncontrolling interests in subsidiaries 242 409
Equity
Stockholders’ equity
Preferred stock; $0.001 par value; 100 shares authorized; no shares issued and outstanding — —
Common stock; $0.001 par value; 6,000 shares authorized; 3,185 and 3,164 shares issued and outstanding as of December 31, 2023 and 2022, respectively 3 3
Additional paid-in capital 34,892 32,177
Accumulated other comprehensive loss (143) (361)
Retained earnings 27,882 12,885
Total stockholders’ equity 62,634 44,704
Noncontrolling interests in subsidiaries 733 785
Total liabilities and equity $ 106,618 $ 82,338
The accompanying notes are an integral part of these consolidated financial statements.
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Tesla, Inc.
Consolidated Statements of Operations
(in millions, except per share data)
Year Ended December 31,
2023 2022 2021
Revenues
Automotive sales $ 78,509 $ 67,210 $ 44,125
Automotive regulatory credits 1,790 1,776 1,465
Automotive leasing 2,120 2,476 1,642
Total automotive revenues 82,419 71,462 47,232
Energy generation and storage 6,035 3,909 2,789
Services and other 8,319 6,091 3,802
Total revenues 96,773 81,462 53,823
Cost of revenues
Automotive sales 65,121 49,599 32,415
Automotive leasing 1,268 1,509 978
Total automotive cost of revenues 66,389 51,108 33,393
Energy generation and storage 4,894 3,621 2,918
Services and other 7,830 5,880 3,906
Total cost of revenues 79,113 60,609 40,217
Gross profit 17,660 20,853 13,606
Operating expenses
Research and development 3,969 3,075 2,593
Selling, general and administrative 4,800 3,946 4,517
Restructuring and other — 176 (27)
Total operating expenses 8,769 7,197 7,083
Income from operations 8,891 13,656 6,523
Interest income 1,066 297 56
Interest expense (156) (191) (371)
Other income (expense), net 172 (43) 135
Income before income taxes 9,973 13,719 6,343
(Benefit from) provision for income taxes (5,001) 1,132 699
Net income 14,974 12,587 5,644
Net (loss) income attributable to noncontrolling interests and redeemable noncontrolling interests in subsidiaries (23) 31 125
Net income attributable to common stockholders $ 14,997 $ 12,556 $ 5,519
Net income per share of common stock attributable to common stockholders
Basic $ 4.73 $ 4.02 $ 1.87
Diluted $ 4.30 $ 3.62 $ 1.63
Weighted average shares used in computing net income per share of common stock
Basic 3,174 3,130 2,959
Diluted 3,485 3,475 3,386
The accompanying notes are an integral part of these consolidated financial statements.
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Tesla, Inc.
Consolidated Statements of Comprehensive Income
(in millions)
Year Ended December 31,
2023 2022 2021
Net income $ 14,974 $ 12,587 $ 5,644
Other comprehensive income (loss):
Foreign currency translation adjustment 198 (392) (308)
Unrealized net gain (loss) on investments 16 (23) (1)
Adjustment for net loss realized and included in net income 4 — —
Comprehensive income 15,192 12,172 5,335
Less: Comprehensive (loss) income attributable to noncontrolling interests and redeemable noncontrolling interests in subsidiaries (23) 31 125
Comprehensive income attributable to common stockholders $ 15,215 $ 12,141 $ 5,210
The accompanying notes are an integral part of these consolidated financial statements.
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Tesla, Inc.
Consolidated Statements of Redeemable Noncontrolling Interests and Equity
(in millions)
Redeemable
Noncontrolling
Interests Common Stock Additional
Paid-In
Capital Accumulated
Other
Comprehensive
Income (Loss) (Accumulated
Deficit)
Retained
Earnings Total
Stockholders’
Equity Noncontrolling
Interests in
Subsidiaries Total
Equity
Shares Amount
Balance as of December 31, 2020 $ 604 2,879 $ 3 $ 27,260 $ 363 $ (5,401) $ 22,225 $ 850 $ 23,075
Adjustments for prior periods from adopting ASU 2020-06 — — — (474) — 211 (263) — (263)
Exercises of conversion feature of convertible senior notes — 2 — 6 — — 6 — 6
Settlements of warrants — 112 — — — — — — —
Issuance of common stock for equity incentive awards — 107 — 707 — — 707 — 707
Stock-based compensation — — — 2,299 — — 2,299 — 2,299
Contributions from noncontrolling interests 2 — — — — — — — —
Distributions to noncontrolling interests (66) — — — — — — (106) (106)
Buy-outs of noncontrolling interests (15) — — 5 — — 5 — 5
Net income 43 — — — — 5,519 5,519 82 5,601
Other comprehensive loss — — — — (309) — (309) — (309)
Balance as of December 31, 2021 $ 568 3,100 $ 3 $ 29,803 $ 54 $ 329 $ 30,189 $ 826 $ 31,015
Settlements of warrants — 37 — — — — — — —
Issuance of common stock for equity incentive awards — 27 — 541 — — 541 — 541
Stock-based compensation — — — 1,806 — — 1,806 — 1,806
Distributions to noncontrolling interests (46) — — — — — — (113) (113)
Buy-outs of noncontrolling interests (11) — — 27 — — 27 (61) (34)
Net (loss) income (102) — — — — 12,556 12,556 133 12,689
Other comprehensive loss — — — — (415) — (415) — (415)
Balance as of December 31, 2022 $ 409 3,164 $ 3 $ 32,177 $ (361) $ 12,885 $ 44,704 $ 785 $ 45,489
Issuance of common stock for equity incentive awards — 21 — 700 — — 700 — 700
Stock-based compensation — — — 2,013 — — 2,013 — 2,013
Distributions to noncontrolling interests (32) — — — — — — (108) (108)
Buy-outs of noncontrolling interests (39) — — 2 — — 2 (17) (15)
Net (loss) income (96) — — — — 14,997 14,997 73 15,070
Other comprehensive income — — — — 218 — 218 — 218
Balance as of December 31, 2023 $ 242 3,185 $ 3 $ 34,892 $ (143) $ 27,882 $ 62,634 $ 733 $ 63,367
The accompanying notes are an integral part of these consolidated financial statements.
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Tesla, Inc.
Consolidated Statements of Cash Flows
(in millions)
Year Ended December 31,
2023 2022 2021
Cash Flows from Operating Activities
Net income $ 14,974 $ 12,587 $ 5,644
Adjustments to reconcile net income to net cash provided by operating activities:
Depreciation, amortization and impairment 4,667 3,747 2,911
Stock-based compensation 1,812 1,560 2,121
Inventory and purchase commitments write-downs 463 177 140
Foreign currency transaction net unrealized (gain) loss (144) 81 (55)
Deferred income taxes (6,349) (196) (149)
Non-cash interest and other operating activities 81 340 245
Digital assets loss (gain), net — 140 (27)
Changes in operating assets and liabilities:
Accounts receivable (586) (1,124) (130)
Inventory (1,195) (6,465) (1,709)
Operating lease vehicles (1,952) (1,570) (2,114)
Prepaid expenses and other assets (2,652) (3,713) (1,540)
Accounts payable, accrued and other liabilities 2,605 8,029 5,367
Deferred revenue 1,532 1,131 793
Net cash provided by operating activities 13,256 14,724 11,497
Cash Flows from Investing Activities
Purchases of property and equipment excluding finance leases, net of sales (8,898) (7,158) (6,482)
Purchases of solar energy systems, net of sales (1) (5) (32)
Purchases of digital assets — — (1,500)
Proceeds from sales of digital assets — 936 272
Purchase of intangible assets — (9) —
Purchases of investments (19,112) (5,835) (132)
Proceeds from maturities of investments 12,353 22 —
Proceeds from sales of investments 138 — —
Receipt of government grants — 76 6
Business combinations, net of cash acquired (64) — —
Net cash used in investing activities (15,584) (11,973) (7,868)
Cash Flows from Financing Activities
Proceeds from issuances of debt 3,931 — 8,883
Repayments of debt (1,351) (3,364) (14,167)
Collateralized lease repayments — — (9)
Proceeds from exercises of stock options and other stock issuances 700 541 707
Principal payments on finance leases (464) (502) (439)
Debt issuance costs (29) — (9)
Proceeds from investments by noncontrolling interests in subsidiaries — — 2
Distributions paid to noncontrolling interests in subsidiaries (144) (157) (161)
Payments for buy-outs of noncontrolling interests in subsidiaries (54) (45) (10)
Net cash provided by (used in) financing activities 2,589 (3,527) (5,203)
Effect of exchange rate changes on cash and cash equivalents and restricted cash 4 (444) (183)
Net increase (decrease) in cash and cash equivalents and restricted cash 265 (1,220) (1,757)
Cash and cash equivalents and restricted cash, beginning of period 16,924 18,144 19,901
Cash and cash equivalents and restricted cash, end of period $ 17,189 $ 16,924 $ 18,144
Supplemental Non-Cash Investing and Financing Activities
Acquisitions of property and equipment included in liabilities $ 2,272 $ 2,148 $ 2,251
Supplemental Disclosures
Cash paid during the period for interest, net of amounts capitalized $ 126 $ 152 $ 266
Cash paid during the period for income taxes, net of refunds $ 1,119 $ 1,203 $ 561
The accompanying notes are an integral part of these consolidated financial statements.
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Tesla, Inc.
Notes to Consolidated Financial Statements
Note 1 – Overview
Tesla, Inc. (“Tesla”, the “Company”, “we”, “us” or “our”) was incorporated in the State of Delaware on July 1, 2003. We design, develop, manufacture, sell and lease high-performance fully electric vehicles and energy generation and storage systems, and offer services related to our products. Our Chief Executive Officer, as the chief operating decision maker (“CODM”), organizes our company, manages resource allocations and measures performance among two operating and reportable segments: (i) automotive and (ii) energy generation and storage.
Note 2 – Summary of Significant Accounting Policies
Principles of Consolidation
The accompanying consolidated financial statements have been prepared in conformity with GAAP and reflect our accounts and operations and those of our subsidiaries in which we have a controlling financial interest. In accordance with the provisions of ASC 810, Consolidation (“ASC 810”), we consolidate any variable interest entity (“VIE”) of which we are the primary beneficiary. We have formed VIEs with financing fund investors in the ordinary course of business in order to facilitate the funding and monetization of certain attributes associated with solar energy systems and leases under our direct vehicle leasing programs. The typical condition for a controlling financial interest ownership is holding a majority of the voting interests of an entity; however, a controlling financial interest may also exist in entities, such as VIEs, through arrangements that do not involve controlling voting interests. ASC 810 requires a variable interest holder to consolidate a VIE if that party has the power to direct the activities of the VIE that most significantly impact the VIE’s economic performance and the obligation to absorb losses of the VIE that could potentially be significant to the VIE or the right to receive benefits from the VIE that could potentially be significant to the VIE. We do not consolidate a VIE in which we have a majority ownership interest when we are not considered the primary beneficiary. We have determined that we are the primary beneficiary of all the VIEs (see Note 16, Variable Interest Entity Arrangements). We evaluate our relationships with all the VIEs on an ongoing basis to ensure that we continue to be the primary beneficiary. All intercompany transactions and balances have been eliminated upon consolidation.
Use of Estimates
The preparation of financial statements in conformity with GAAP requires management to make estimates and assumptions that affect the reported amounts of assets, liabilities, revenues, costs and expenses and related disclosures in the accompanying notes. The estimates used for, but not limited to, determining significant economic incentive for resale value guarantee arrangements, sales return reserves, income taxes, the collectability of accounts and finance receivables, inventory valuation, warranties, fair value of long-lived assets, goodwill, fair value of financial instruments, fair value and residual value of operating lease vehicles and solar energy systems subject to leases could be impacted. We have assessed the impact and are not aware of any specific events or circumstances that required an update to our estimates and assumptions or materially affected the carrying value of our assets or liabilities as of the date of issuance of this Annual Report on Form 10-K. These estimates may change as new events occur and additional information is obtained. Actual results could differ materially from these estimates under different assumptions or conditions.
Reclassifications
Certain prior period balances have been reclassified to conform to the current period presentation in the consolidated financial statements and the accompanying notes.
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Revenue Recognition
Revenue by source
The following table disaggregates our revenue by major source (in millions):
Year Ended December 31,
2023 2022 2021
Automotive sales $ 78,509 $ 67,210 $ 44,125
Automotive regulatory credits 1,790 1,776 1,465
Energy generation and storage sales 5,515 3,376 2,279
Services and other 8,319 6,091 3,802
Total revenues from sales and services 94,133 78,453 51,671
Automotive leasing 2,120 2,476 1,642
Energy generation and storage leasing 520 533 510
Total revenues $ 96,773 $ 81,462 $ 53,823
Automotive Segment
Automotive Sales
Automotive sales revenue includes revenues related to cash and financing deliveries of new vehicles, and specific other features and services that meet the definition of a performance obligation under ASC 606, including access to our FSD Capability features and their ongoing maintenance, internet connectivity, free Supercharging programs and over-the-air software updates. We recognize revenue on automotive sales upon delivery to the customer, which is when the control of a vehicle transfers. Payments are typically received at the point control transfers or in accordance with payment terms customary to the business, except sales we finance for which payments are collected over the contractual loan term. We also recognize a sales return reserve based on historical experience plus consideration for expected future market values, when we offer resale value guarantees or similar buyback terms. Other features and services such as access to our internet connectivity, unlimited free Supercharging and over-the-air software updates are provisioned upon control transfer of a vehicle and recognized over time on a straight-line basis as we have a stand-ready obligation to deliver such services to the customer. Other limited free Supercharging incentives are recognized based on actual usage or expiration, whichever is earlier. We recognize revenue related to these other features and services over the performance period, which is generally the expected ownership life of the vehicle. Revenue related to FSD Capability features is recognized when functionality is delivered to the customer and their ongoing maintenance is recognized over time. For our obligations related to automotive sales, we estimate standalone selling price by considering costs used to develop and deliver the service, third-party pricing of similar options and other information that may be available.
Any fees that are paid or payable by us to a customer’s lender when we arrange the financing are recognized as an offset against automotive sales revenue. Costs to obtain a contract mainly relate to commissions paid to our sales personnel for the sale of vehicles. As our contract costs related to automotive sales are typically fulfilled within one year, the costs to obtain a contract are expensed as incurred. Amounts billed to customers related to shipping and handling are classified as automotive sales revenue, and we have elected to recognize the cost for freight and shipping when control over vehicles, parts or accessories have transferred to the customer as an expense in cost of automotive sales revenue. Our policy is to exclude taxes collected from a customer from the transaction price of automotive contracts.
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We offer resale value guarantees to our commercial banking partners in connection with certain vehicle leasing programs. Under these programs, we originate the lease with our end customer and immediately transfer the lease and the underlying vehicle to our commercial banking partner, with the transaction being accounted for as a sale under ASC 606. We receive upfront payment for the vehicle, do not bear casualty and credit risks during the lease term, and we provide a guarantee capped to a limit if they are unable to sell the vehicle at or above the vehicle’s contract residual value at the end of the lease term. We estimate a guarantee liability in accordance with ASC 460, Guarantees and record it within other liabilities on our consolidated balance sheet. On a quarterly basis, we assess the estimated market value of vehicles sold under this program to determine whether there have been changes to the amount of expected resale value guarantee payments. As we accumulate more data related to the resale values of our vehicles or as market conditions change, there may be material changes to their estimated values. The total guarantee liability on vehicles sold under this program was immaterial as of December 31, 2023.
Deferred revenue related to the access to our FSD Capability features and their ongoing maintenance, internet connectivity, free Supercharging programs and over-the-air software updates primarily on automotive sales consisted of the following (in millions):
Year Ended December 31,
2023 2022
Deferred revenue— beginning of period $ 2,913 $ 2,382
Additions 1,201 1,178
Net changes in liability for pre-existing contracts 17 (67)
Revenue recognized (595) (580)
Deferred revenue— end of period $ 3,536 $ 2,913
Deferred revenue is equivalent to the total transaction price allocated to the performance obligations that are unsatisfied, or partially unsatisfied, as of the balance sheet date. Revenue recognized from the deferred revenue balance as of December 31, 2022 was $469 million for the year ended December 31, 2023. We had recognized revenue of $472 million from the deferred revenue balance as of December 31, 2021, for the year ended December 31, 2022, primarily related to the general FSD Capability feature release in North America in the fourth quarter of 2022. Of the total deferred revenue balance as of December 31, 2023, we expect to recognize $926 million of revenue in the next 12 months. The remaining balance will be recognized at the time of transfer of control of the product or over the performance period as discussed above in Automotive Sales.
We have been providing loans for financing our automotive deliveries in volume since fiscal year 2022. As of December 31, 2023 and 2022, we have recorded net financing receivables on the consolidated balance sheets, of which $242 million and $128 million, respectively, is recorded within Accounts receivable, net, for the current portion and $1.04 billion and $665 million, respectively, is recorded within Other non-current assets for the long-term portion.
Automotive Regulatory Credits
We earn tradable credits in the operation of our automotive business under various regulations related to ZEVs, greenhouse gas, fuel economy and clean fuel. We sell these credits to other regulated entities who can use the credits to comply with emission standards and other regulatory requirements.
Payments for automotive regulatory credits are typically received at the point control transfers to the customer, or in accordance with payment terms customary to the business. We recognize revenue on the sale of automotive regulatory credits, which have negligible incremental costs associated with them, at the time control of the regulatory credits is transferred to the purchasing party. Deferred revenue related to sales of automotive regulatory credits was immaterial as of December 31, 2023 and 2022. Revenue recognized from the deferred revenue balance as of December 31, 2022 and 2021 was immaterial for the years ended December 31, 2023 and 2022. During the year ended December 31, 2022, we had also recognized $288 million in revenue due to changes in regulation which entitled us to additional consideration for credits sold previously.
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Automotive Leasing Revenue
Direct Vehicle Operating Leasing Program
We have outstanding leases under our direct vehicle operating leasing programs in the U.S., Canada and in certain countries in Europe. Qualifying customers are permitted to lease a vehicle directly from Tesla for up to 48 months. At the end of the lease term, customers are generally required to return the vehicles to us. We account for these leasing transactions as operating leases. We record leasing revenues to automotive leasing revenue on a straight-line basis over the contractual term, and we record the depreciation of these vehicles to cost of automotive leasing revenue. For the years ended December 31, 2023, 2022 and 2021, we recognized $1.86 billion, $1.75 billion and $1.25 billion of direct vehicle leasing revenue, respectively. As of December 31, 2023 and 2022, we had deferred $458 million and $407 million, respectively, of lease-related upfront payments, which will be recognized on a straight-line basis over the contractual terms of the individual leases.
Our policy is to exclude taxes collected from a customer from the transaction price of automotive contracts.
Direct Sales-Type Leasing Program
We have outstanding direct leases and vehicles financed by us under loan arrangements accounted for as sales-type leases under ASC 842, Leases (“ASC 842”), in certain countries in Asia and Europe. Depending on the specific program, customers may or may not have a right to return the vehicle to us during or at the end of the lease term. If the customer does not have a right to return, the customer will take title to the vehicle at the end of the lease term after making all contractual payments. Under the programs for which there is a right to return, the purchase option is reasonably certain to be exercised by the lessee and we therefore expect the customer to take title to the vehicle at the end of the lease term after making all contractual payments. Our arrangements under these programs can have terms for up to 72 months. We recognize all revenue and costs associated with the sales-type lease as automotive leasing revenue and automotive leasing cost of revenue, respectively, upon delivery of the vehicle to the customer. Interest income based on the implicit rate in the lease is recorded to automotive leasing revenue over time as customers are invoiced on a monthly basis. For the years ended December 31, 2023, 2022 and 2021, we recognized $215 million, $683 million and $369 million, respectively, of sales-type leasing revenue and $164 million, $427 million and $234 million, respectively, of sales-type leasing cost of revenue.
Services and Other Revenue
Services and other revenue consists of sales of used vehicles, non-warranty after-sales vehicle services, body shop and parts, paid Supercharging, vehicle insurance revenue and retail merchandise.
Revenues related to repair, maintenance and vehicle insurance services are recognized over time as services are provided and extended service plans are recognized over the performance period of the service contract as the obligation represents a stand-ready obligation to the customer. We sell used vehicles, services, service plans, vehicle components and merchandise separately and thus use standalone selling prices as the basis for revenue allocation to the extent that these items are sold in transactions with other performance obligations. Payment for used vehicles, services, vehicle components, and merchandise are typically received at the point when control transfers to the customer or in accordance with payment terms customary to the business. Payments received for prepaid plans are refundable upon customer cancellation of the related contracts and are included within Customer deposits on the consolidated balance sheets. We record in Deferred revenue any non-refundable prepayment amounts that are collected from customers and unearned insurance premiums, which is recognized as revenue ratably over the respective customer contract term. Deferred revenue excluding unearned insurance premiums was immaterial as of December 31, 2023 and 2022.
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Energy Generation and Storage Segment
Energy Generation and Storage Sales
Energy generation and storage sales revenue consists of the sale of solar energy systems and energy storage systems to residential, small commercial, large commercial and utility grade customers. Sales of solar energy systems to residential and small scale commercial customers consist of the engineering, design and installation of the system. Residential and small scale commercial customers pay the full purchase price of the solar energy system upfront. Revenue for the design and installation obligation is recognized when control transfers, which is when we install a solar energy system and the system passes inspection by the utility or the authority having jurisdiction. Sales of energy storage systems to residential and small scale commercial customers consist of the installation of the energy storage system and revenue is recognized when control transfers, which is when the product has been delivered or, if we are performing installation, when installed and commissioned. Payment for such storage systems is made upon invoice or in accordance with payment terms customary to the business.
For large commercial and utility grade energy storage system sales which consist of the engineering, design and installation of the system, customers make milestone payments that are consistent with contract-specific phases of a project. Revenue from such contracts is recognized over time using the percentage of completion method based on cost incurred as a percentage of total estimated contract costs for energy storage system sales.
In instances where there are multiple performance obligations in a single contract, we allocate the consideration to the various obligations in the contract based on the relative standalone selling price method. Standalone selling prices are estimated based on estimated costs plus margin or by using market data for comparable products. Costs to obtain a contract relate mainly to commissions paid to our sales personnel related to the sale of energy storage systems. As our contract costs related to energy storage system sales are typically fulfilled within one year, the costs to obtain a contract are expensed as incurred.
As part of our energy storage system contracts, we may provide the customer with performance guarantees that warrant that the underlying system will meet or exceed the minimum energy performance requirements specified in the contract. If an energy storage system does not meet the performance guarantee requirements, we may be required to pay liquidated damages. Other forms of variable consideration related to our large commercial and utility grade energy storage system contracts include variable customer payments that will be made based on our energy market participation activities. Such guarantees and variable customer payments represent a form of variable consideration and are estimated at contract inception at their most likely amount and updated at the end of each reporting period as additional performance data becomes available. Such estimates are included in the transaction price only to the extent that it is probable a significant reversal of revenue will not occur.
We record as deferred revenue any non-refundable amounts that are collected from customers related to fees charged for prepayments, which is recognized as revenue ratably over the respective customer contract term. As of December 31, 2023 and 2022, deferred revenue related to such customer payments amounted to $1.60 billion and $863 million, respectively, mainly due to contractual payment terms. Revenue recognized from the deferred revenue balance as of December 31, 2022 and 2021 was $571 million and $171 million for the years ended December 31, 2023 and 2022, respectively. We have elected the practical expedient to omit disclosure of the amount of the transaction price allocated to remaining performance obligations for energy generation and storage sales with an original expected contract length of one year or less and the amount that we have the right to invoice when that amount corresponds directly with the value of the performance to date. As of December 31, 2023, total transaction price allocated to performance obligations that were unsatisfied or partially unsatisfied for contracts with an original expected length of more than one year was $3.43 billion. Of this amount, we expect to recognize $1.05 billion in the next 12 months and the rest over the remaining performance obligation period.
We have been providing loans for financing our energy generation products in volume since fiscal year 2022. As of December 31, 2023 and 2022, we have recorded net financing receivables on the consolidated balance sheets, of which $31 million and $24 million, respectively, is recorded within Accounts receivable, net, for the current portion and $578 million and $387 million, respectively, is recorded within Other non-current assets for the long-term portion.
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Energy Generation and Storage Leasing
For revenue arrangements where we are the lessor under operating lease agreements for energy generation and storage products, we record lease revenue from minimum lease payments, including upfront rebates and incentives earned from such systems, on a straight-line basis over the life of the lease term, assuming all other revenue recognition criteria have been met. The difference between the payments received and the revenue recognized is recorded as deferred revenue or deferred asset on the consolidated balance sheet.
For solar energy systems where customers purchase electricity from us under PPAs prior to January 1, 2019, we have determined that these agreements should be accounted for as operating leases pursuant to ASC 840, Leases. Revenue is recognized based on the amount of electricity delivered at rates specified under the contracts, assuming all other revenue recognition criteria are met.
We record as deferred revenue any amounts that are collected from customers, including lease prepayments, in excess of revenue recognized, which is recognized as revenue ratably over the respective customer contract term. As of December 31, 2023 and 2022, deferred revenue related to such customer payments amounted to $181 million and $191 million, respectively. Deferred revenue also includes the portion of rebates and incentives received from utility companies and various local and state government agencies, which is recognized as revenue over the lease term. As of December 31, 2023 and 2022, deferred revenue from rebates and incentives was immaterial.
We capitalize initial direct costs from the execution of agreements for solar energy systems and PPAs, which include the referral fees and sales commissions, as an element of solar energy systems, net, and subsequently amortize these costs over the term of the related agreements.
Cost of Revenues
Automotive Segment
Automotive Sales
Cost of automotive sales revenue includes direct and indirect materials, labor costs, manufacturing overhead, including depreciation costs of tooling and machinery, shipping and logistic costs, vehicle connectivity costs, FSD Capability ongoing maintenance costs, allocations of electricity and infrastructure costs related to our Supercharger network and reserves for estimated warranty expenses. Cost of automotive sales revenues also includes adjustments to warranty expense and charges to write down the carrying value of our inventory when it exceeds its estimated net realizable value and to provide for obsolete and on-hand inventory in excess of forecasted demand. Additionally, cost of automotive sales revenue benefits from manufacturing credits earned.
Automotive Leasing
Cost of automotive leasing revenue includes the depreciation of operating lease vehicles, cost of goods sold associated with direct sales-type leases and warranty expense related to leased vehicles.
Services and Other
Costs of services and other revenue includes cost of used vehicles including refurbishment costs, costs associated with providing non-warranty after-sales services, costs associated with our body shops and part sales, costs of paid Supercharging, costs to provide vehicle insurance and costs for retail merchandise.
Energy Generation and Storage Segment
Energy Generation and Storage
Cost of energy generation and storage revenue includes direct and indirect material and labor costs, overhead costs, freight, warranty expense, and amortization of certain acquired intangible assets. Cost of energy generation and storage revenue also includes charges to write down the carrying value of our inventory when it exceeds its estimated net realizable value and to provide for obsolete and on-hand inventory in excess of forecasted demand. Additionally, cost of energy generation and storage revenue benefits from manufacturing credits earned. In agreements for solar energy systems and PPAs where we are the lessor, the cost of revenue is primarily comprised of depreciation of the cost of leased solar energy systems, maintenance costs associated with those systems and amortization of any initial direct costs.
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Research and Development Costs
Research and development costs are expensed as incurred.
Income Taxes
We are subject to income taxes in the U.S. and in many foreign jurisdictions. Income taxes are computed using the asset and liability method, under which deferred tax assets and liabilities are determined based on the difference between the financial statement and tax bases of assets and liabilities using enacted tax rates in effect for the year in which the differences are expected to affect taxable income. Valuation allowances are established when necessary to reduce deferred tax assets to the amount expected to be realized.
We monitor the realizability of our deferred tax assets taking into account all relevant factors at each reporting period. Significant judgment is required in determining our provision for income taxes, our deferred tax assets and liabilities and any valuation allowance recorded against our net deferred tax assets that are not more likely than not to be realized. In completing our assessment of realizability of our deferred tax assets, we consider our history of income (loss) measured at pre-tax income (loss) adjusted for permanent book-tax differences on a jurisdictional basis, volatility in actual earnings, excess tax benefits related to stock-based compensation in recent prior years, and impacts of the timing of reversal of existing temporary differences. We also rely on our assessment of the Company’s projected future results of business operations, including uncertainty in future operating results relative to historical results, volatility in the market price of our common stock and its performance over time, variable macroeconomic conditions impacting our ability to forecast future taxable income, and changes in business that may affect the existence and magnitude of future taxable income. Our valuation allowance assessment is based on our best estimate of future results considering all available information.
We record liabilities related to uncertain tax positions when, despite our belief that our tax return positions are supportable, we believe that it is more likely than not that those positions may not be fully sustained upon review by tax authorities. Accrued interest and penalties related to unrecognized tax benefits are classified as income tax expense.
The Tax Cuts and Jobs Act subjects a U.S. shareholder to tax on global intangible low-taxed income (“GILTI”) earned by certain foreign subsidiaries. Under GAAP, we can make an accounting policy election to either treat taxes due on the GILTI inclusion as a current period expense or factor such amounts into our measurement of deferred taxes. We elected the deferred method, under which we recorded the corresponding deferred tax assets and liabilities in our consolidated balance sheets.
Comprehensive Income
Comprehensive income is comprised of net income and other comprehensive income (loss). Other comprehensive income (loss) consists of foreign currency translation adjustments and unrealized net gains and losses on investments that have been excluded from the determination of net income.
Stock-Based Compensation
We use the fair value method of accounting for our stock options and RSUs granted to employees and for our ESPP to measure the cost of employee services received in exchange for the stock-based awards. The fair value of stock option awards with only service and/or performance conditions is estimated on the grant or offering date using the Black-Scholes option-pricing model. The Black-Scholes option-pricing model requires inputs such as the risk-free interest rate, expected term and expected volatility. These inputs are subjective and generally require significant judgment. The fair value of RSUs is measured on the grant date based on the closing fair market value of our common stock. The resulting cost is recognized over the period during which an employee is required to provide service in exchange for the awards, usually the vesting period, which is generally four years for stock options and RSUs and six months for the ESPP. Stock-based compensation expense is recognized on a straight-line basis, net of actual forfeitures in the period.
For performance-based awards, stock-based compensation expense is recognized over the expected performance achievement period of individual performance milestones when the achievement of each individual performance milestone becomes probable.
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As we accumulate additional employee stock-based awards data over time and as we incorporate market data related to our common stock, we may calculate significantly different volatilities and expected lives, which could materially impact the valuation of our stock-based awards and the stock-based compensation expense that we will recognize in future periods. Stock-based compensation expense is recorded in Cost of revenues, Research and development expense and Selling, general and administrative expense in the consolidated statements of operations.
Noncontrolling Interests and Redeemable Noncontrolling Interests
Noncontrolling interests and redeemable noncontrolling interests represent third-party interests in the net assets under certain funding arrangements, or funds, that we have entered into to finance the costs of solar energy systems and vehicles under operating leases. We have determined that the contractual provisions of the funds represent substantive profit-sharing arrangements. We have further determined that the methodology for calculating the noncontrolling interest and redeemable noncontrolling interest balances that reflects the substantive profit-sharing arrangements is a balance sheet approach using the hypothetical liquidation at book value (“HLBV”) method. We, therefore, determine the amount of the noncontrolling interests and redeemable noncontrolling interests in the net assets of the funds at each balance sheet date using the HLBV method, which is presented on the consolidated balance sheet as noncontrolling interests in subsidiaries and redeemable noncontrolling interests in subsidiaries. Under the HLBV method, the amounts reported as noncontrolling interests and redeemable noncontrolling interests in the consolidated balance sheet represent the amounts the third parties would hypothetically receive at each balance sheet date under the liquidation provisions of the funds, assuming the net assets of the funds were liquidated at their recorded amounts determined in accordance with GAAP and with tax laws effective at the balance sheet date and distributed to the third parties. The third parties’ interests in the results of operations of the funds are determined as the difference in the noncontrolling interest and redeemable noncontrolling interest balances in the consolidated balance sheets between the start and end of each reporting period, after taking into account any capital transactions between the funds and the third parties. However, the redeemable noncontrolling interest balance is at least equal to the redemption amount. The redeemable noncontrolling interest balance is presented as temporary equity in the mezzanine section of the consolidated balance sheet since these third parties have the right to redeem their interests in the funds for cash or other assets. For certain funds, there have been significant fluctuations in net (loss) income attributable to noncontrolling interests and redeemable noncontrolling interests in subsidiaries due to changes in the liquidation provisions as time-based milestones have been reached.
Net Income per Share of Common Stock Attributable to Common Stockholders
Basic net income per share of common stock attributable to common stockholders is calculated by dividing net income attributable to common stockholders by the weighted-average shares of common stock outstanding for the period. Potentially dilutive shares, which are based on the weighted-average shares of common stock underlying outstanding stock-based awards, warrants and convertible senior notes using the treasury stock method or the if-converted method, as applicable, are included when calculating diluted net income per share of common stock attributable to common stockholders when their effect is dilutive.
Furthermore, in connection with the offerings of our convertible senior notes, we entered into convertible note hedges and warrants (see Note 11, Debt). However, our convertible note hedges are not included when calculating potentially dilutive shares since their effect is always anti-dilutive. The strike price on the warrants were below our average share price during the period and were included in the tables below. Warrants are included in the weighted-average shares used in computing basic net income per share of common stock in the period(s) they are settled.
The following table presents the reconciliation of net income attributable to common stockholders to net income used in computing basic and diluted net income per share of common stock (in millions):
Year Ended December 31,
2023 2022 2021
Net income attributable to common stockholders $ 14,997 $ 12,556 $ 5,519
Less: Buy-out of noncontrolling interest (2) (27) (5)
Net income used in computing basic net income per share of common stock 14,999 12,583 5,524
Less: Dilutive convertible debt — (1) (9)
Net income used in computing diluted net income per share of common stock $ 14,999 $ 12,584 $ 5,533
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The following table presents the reconciliation of basic to diluted weighted average shares used in computing net income per share of common stock attributable to common stockholders (in millions):
Year Ended December 31,
2023 2022 2021
Weighted average shares used in computing net income per share of common stock, basic 3,174 3,130 2,959
Add:
Stock-based awards 298 310 292
Convertible senior notes 2 3 29
Warrants 11 32 106
Weighted average shares used in computing net income per share of common stock, diluted 3,485 3,475 3,386
The following table presents the potentially dilutive shares that were excluded from the computation of diluted net income per share of common stock attributable to common stockholders, because their effect was anti-dilutive (in millions):
Year Ended December 31,
2023 2022 2021
Stock-based awards 12 4 1
Business Combinations
We account for business acquisitions under ASC 805, Business Combinations. The total purchase consideration for an acquisition is measured as the fair value of the assets given, equity instruments issued and liabilities assumed at the acquisition date. Costs that are directly attributable to the acquisition are expensed as incurred. Identifiable assets (including intangible assets), liabilities assumed (including contingent liabilities) and noncontrolling interests in an acquisition are measured initially at their fair values at the acquisition date. We recognize goodwill if the fair value of the total purchase consideration and any noncontrolling interests is in excess of the net fair value of the identifiable assets acquired and the liabilities assumed. We recognize a bargain purchase gain within Other income (expense), net, in the consolidated statement of operations if the net fair value of the identifiable assets acquired and the liabilities assumed is in excess of the fair value of the total purchase consideration and any noncontrolling interests. We include the results of operations of the acquired business in the consolidated financial statements beginning on the acquisition date.
Cash and Cash Equivalents
All highly liquid investments with an original maturity of three months or less at the date of purchase are considered cash equivalents. Our cash equivalents are primarily comprised of U.S. government securities, money market funds and commercial paper.
Restricted Cash
We maintain certain cash balances restricted as to withdrawal or use. Our restricted cash is comprised primarily of cash held to service certain payments under various secured debt facilities. In addition, restricted cash includes cash held as collateral for sales to lease partners with a resale value guarantee, letters of credit, real estate leases and deposits held for our insurance services. We record restricted cash as other assets in the consolidated balance sheets and determine current or non-current classification based on the expected duration of the restriction.
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Our total cash and cash equivalents and restricted cash, as presented in the consolidated statements of cash flows, was as follows (in millions):
December 31,
2023 December 31,
2022 December 31,
2021
Cash and cash equivalents $ 16,398 $ 16,253 $ 17,576
Restricted cash included in prepaid expenses and other current assets 543 294 345
Restricted cash included in other non-current assets 248 377 223
Total as presented in the consolidated statements of cash flows $ 17,189 $ 16,924 $ 18,144
Investments
Investments may be comprised of a combination of marketable securities, including U.S. government securities, corporate debt securities, commercial paper, time deposits, and certain certificates of deposit, which are all designated as available-for-sale and reported at estimated fair value, with unrealized gains and losses recorded in accumulated other comprehensive income which is included within stockholders’ equity. Available-for-sale marketable securities with maturities greater than three months at the date of purchase are included in short-term investments in our consolidated balance sheets. Interest, dividends, amortization and accretion of purchase premiums and discounts on these investments are included within Interest income in our consolidated statements of operations.
The cost of available-for-sale investments sold is based on the specific identification method. Realized gains and losses on the sale of available-for-sale investments are recorded in Other income (expense), net.
We regularly review all of our investments for declines in fair value. The review includes but is not limited to (i) the consideration of the cause of the decline, (ii) any currently recorded expected credit losses and (iii) the creditworthiness of the respective security issuers. The amortized cost basis of our investments approximates its fair value.
Accounts Receivable and Allowance for Doubtful Accounts
Accounts receivable primarily include amounts related to receivables from financial institutions and leasing companies offering various financing products to our customers, sales of energy generation and storage products, sales of regulatory credits to other automotive manufacturers and government rebates already passed through to customers. We provide an allowance against accounts receivable for the amount we expect to be uncollectible. We write-off accounts receivable against the allowance when they are deemed uncollectible.
Depending on the day of the week on which the end of a fiscal quarter falls, our accounts receivable balance may fluctuate as we are waiting for certain customer payments to clear through our banking institutions and receipts of payments from our financing partners, which can take up to approximately two weeks based on the contractual payment terms with such partners. Our accounts receivable balances associated with our sales of regulatory credits are dependent on contractual payment terms. Additionally, government rebates can take up to a year or more to be collected depending on the customary processing timelines of the specific jurisdictions issuing them. These various factors may have a significant impact on our accounts receivable balance from period to period. As of December 31, 2023 and 2022, we had $207 million and $753 million, respectively, of long-term government rebates receivable in Other non-current assets in our consolidated balance sheets.
Financing Receivables
We provide financing options to our customers for our automotive and energy products. Financing receivables are carried at amortized cost, net of allowance for loan losses. Provisions for loan losses are charged to operations in amounts sufficient to maintain the allowance for loan losses at levels considered adequate to cover expected credit losses on the financing receivables. In determining expected credit losses, we consider our historical level of credit losses, current economic trends, and reasonable and supportable forecasts that affect the collectability of the future cash flows.
When originating consumer receivables, we review the credit application, the proposed contract terms, credit bureau information (e.g., FICO score) and other information. Our evaluation emphasizes the applicant’s ability to pay and creditworthiness focusing on payment, affordability, and applicant credit history as key considerations. Generally, all customers in this portfolio have strong creditworthiness at loan origination.
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After origination, we review the credit quality of retail financing based on customer payment activity and aging analysis. For all financing receivables, we define “past due” as any payment, including principal and interest, which is at least 31 days past the contractual due date. As of December 31, 2023 and 2022, the vast majority of our financing receivables were at current status with only an immaterial balance being past due. As of December 31, 2023, the majority of our financing receivables, excluding MyPower notes receivable, were originated in 2023 and 2022, and as of December 31, 2022, the majority of our financing receivables, excluding MyPower notes receivable, were originated in 2022.
We have customer notes receivable under the legacy MyPower loan program, which provided residential customers with the option to finance the purchase of a solar energy system through a 30-year loan and were all originated prior to year 2018. The outstanding balances, net of any allowance for expected credit losses, are presented on the consolidated balance sheets as a component of Prepaid expenses and other current assets for the current portion and as Other non-current assets for the long-term portion. As of December 31, 2023 and 2022, the total outstanding balance of MyPower customer notes receivable, net of allowance for expected credit losses, was $266 million and $280 million, respectively, of which $5 million and $7 million were due in the next 12 months as of December 31, 2023 and 2022, respectively. As of December 31, 2023 and 2022, the allowance for expected credit losses was $36 million and $37 million, respectively.
Concentration of Risk
Credit Risk
Financial instruments that potentially subject us to a concentration of credit risk consist of cash, cash equivalents, investments, restricted cash, accounts receivable and other finance receivables. Our cash and investments balances are primarily on deposit at high credit quality financial institutions or invested in money market funds. These deposits are typically in excess of insured limits. As of December 31, 2023 and 2022, no entity represented 10% or more of our total receivables balance.
Supply Risk
We are dependent on our suppliers, including single source suppliers, and the inability of these suppliers to deliver necessary components of our products in a timely manner at prices, quality levels and volumes acceptable to us, or our inability to efficiently manage these components from these suppliers, could have a material adverse effect on our business, prospects, financial condition and operating results.
Inventory Valuation
Inventories are stated at the lower of cost or net realizable value. Cost is computed using standard cost for vehicles and energy products, which approximates actual cost on a first-in, first-out basis. We record inventory write-downs for excess or obsolete inventories based upon assumptions about current and future demand forecasts. If our inventory on-hand is in excess of our future demand forecast, the excess amounts are written-off.
We also review our inventory to determine whether its carrying value exceeds the net amount realizable upon the ultimate sale of the inventory. This requires us to determine the estimated selling price of our vehicles less the estimated cost to convert the inventory on-hand into a finished product. Once inventory is written-down, a new, lower cost basis for that inventory is established and subsequent changes in facts and circumstances do not result in the restoration or increase in that newly established cost basis.
Should our estimates of future selling prices or production costs change, additional and potentially material write-downs may be required. A small change in our estimates may result in a material charge to our reported financial results.
Operating Lease Vehicles
Vehicles that are leased as part of our direct vehicle leasing program are classified as operating lease vehicles at cost less accumulated depreciation. We generally depreciate their cost, less residual value, using the straight-line-method to cost of automotive leasing revenue over the contractual period. The gross cost of operating lease vehicles as of December 31, 2023 and 2022 was $7.36 billion and $6.08 billion, respectively. Operating lease vehicles on the consolidated balance sheets are presented net of accumulated depreciation of $1.38 billion and $1.04 billion as of December 31, 2023 and 2022, respectively.
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Digital Assets, Net
We currently account for all digital assets held as indefinite-lived intangible assets in accordance with ASC 350, Intangibles—Goodwill and Other. We have ownership of and control over our digital assets and we may use third-party custodial services to secure it. The digital assets are initially recorded at cost and are subsequently remeasured on the consolidated balance sheet at cost, net of any impairment losses incurred since acquisition.
We determine the fair value of our digital assets on a nonrecurring basis in accordance with ASC 820, Fair Value Measurement (“ASC 820”), based on quoted prices on the active exchange(s) that we have determined is the principal market for such assets (Level I inputs). We perform an analysis each quarter to identify whether events or changes in circumstances, principally decreases in the quoted prices on active exchanges, indicate that it is more likely than not that our digital assets are impaired. In determining if an impairment has occurred, we consider the lowest market price of one unit of digital asset quoted on the active exchange since acquiring the digital asset. When the then current carrying value of a digital asset exceeds the fair value determined each quarter, an impairment loss has occurred with respect to those digital assets in the amount equal to the difference between their carrying values and the prices determined.
Impairment losses are recognized within Restructuring and other in the consolidated statements of operations in the period in which the impairment is identified. Gains are not recorded until realized upon sale(s), at which point they are presented net of any impairment losses for the same digital assets held within Restructuring and other. In determining the gain to be recognized upon sale, we calculate the difference between the sales price and carrying value of the digital assets sold immediately prior to sale.
See Note 3, Digital Assets, Net, for further information regarding digital assets.
Solar Energy Systems, Net
We are the lessor of solar energy systems. Solar energy systems are stated at cost less accumulated depreciation.
Depreciation and amortization is calculated using the straight-line method over the estimated useful lives of the respective assets, as follows:
Solar energy systems in service 30 to 35 years
Initial direct costs related to customer solar energy system lease acquisition costs Lease term (up to 25 years)
Solar energy systems pending interconnection will be depreciated as solar energy systems in service when they have been interconnected and placed in-service. Solar energy systems under construction represents systems that are under installation, which will be depreciated as solar energy systems in service when they are completed, interconnected and placed in service. Initial direct costs related to customer solar energy system agreement acquisition costs are capitalized and amortized over the term of the related customer agreements.
Property, Plant and Equipment, Net
Property, plant and equipment, net, including leasehold improvements, are recognized at cost less accumulated depreciation. Depreciation is generally computed using the straight-line method over the estimated useful lives of the respective assets, as follows:
Machinery, equipment, vehicles and office furniture 3 to 15 years
Tooling 4 to 7 years
Building and building improvements 15 to 30 years
Computer equipment and software 3 to 10 years
Leasehold improvements are depreciated on a straight-line basis over the shorter of their estimated useful lives or the terms of the related leases.
Upon the retirement or sale of our property, plant and equipment, the cost and associated accumulated depreciation are removed from the consolidated balance sheet, and the resulting gain or loss is reflected on the consolidated statement of operations. Maintenance and repair expenditures are expensed as incurred while major improvements that increase the functionality, output or expected life of an asset are capitalized and depreciated ratably over the identified useful life.
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Interest expense on outstanding debt is capitalized during the period of significant capital asset construction. Capitalized interest on construction in progress is included within Property, plant and equipment, net and is amortized over the life of the related assets.
Long-Lived Assets Including Acquired Intangible Assets
We review our property, plant and equipment, solar energy systems, long-term prepayments and intangible assets for impairment whenever events or changes in circumstances indicate that the carrying amount of an asset (or asset group) may not be recoverable. We measure recoverability by comparing the carrying amount to the future undiscounted cash flows that the asset is expected to generate. If the asset is not recoverable, its carrying amount would be adjusted down to its fair value. For the years ended December 31, 2023, 2022 and 2021, we have recognized no material impairments of our long-lived assets.
Intangible assets with definite lives are amortized on a straight-line basis over their estimated useful lives, which range from seven to thirty years.
Goodwill
We assess goodwill for impairment annually in the fourth quarter, or more frequently if events or changes in circumstances indicate that it might be impaired, by comparing its carrying value to the reporting unit’s fair value. For the years ended December 31, 2023, 2022, and 2021, we did not recognize any impairment of goodwill.
Capitalization of Software Costs
We capitalize costs incurred in the development of internal use software, during the application development stage to Property, plant and equipment, net on the consolidated balance sheets. Costs related to preliminary project activities and post-implementation activities are expensed as incurred. Such costs are amortized on a straight-line basis over their estimated useful life of three to five years.
Software development costs incurred in development of software to be sold, leased, or otherwise marketed, incurred subsequent to the establishment of technological feasibility and prior to the general availability of the software are capitalized when they are expected to become significant. Such costs are amortized over the estimated useful life of the applicable software once it is made generally available to our customers.
We evaluate the useful lives of these assets on an annual basis, and we test for impairment whenever events or changes in circumstances occur that could impact the recoverability of these assets. For the years ended December 31, 2023, 2022, and 2021, we have recognized no impairments of capitalized software costs.
Foreign Currency
We determine the functional and reporting currency of each of our international subsidiaries and their operating divisions based on the primary currency in which they operate. In cases where the functional currency is not the U.S. dollar, we recognize a cumulative translation adjustment created by the different rates we apply to current period income or loss and the balance sheet. For each subsidiary, we apply the monthly average functional exchange rate to its monthly income or loss and the month-end functional currency rate to translate the balance sheet.
Foreign currency transaction gains and losses are a result of the effect of exchange rate changes on transactions denominated in currencies other than the functional currency of the respective subsidiary. Transaction gains and losses are recognized in Other income (expense), net, in the consolidated statements of operations. For the years ended December 31, 2023, 2022 and 2021, we recorded a net foreign currency transaction gain of $122 million, loss of $89 million and gain of $97 million, respectively.
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Warranties
We provide a manufacturer’s warranty on all new and used vehicles and a warranty on the installation and components of the energy generation and storage systems we sell for periods typically between 10 to 25 years. We accrue a warranty reserve for the products sold by us, which includes our best estimate of the projected costs to repair or replace items under warranties and recalls if identified. These estimates are based on actual claims incurred to date and an estimate of the nature, frequency and costs of future claims. These estimates are inherently uncertain and changes to our historical or projected warranty experience may cause material changes to the warranty reserve in the future. The warranty reserve does not include projected warranty costs associated with our vehicles subject to operating lease accounting and our solar energy systems under lease contracts or PPAs, as the costs to repair these warranty claims are expensed as incurred. The portion of the warranty reserve expected to be incurred within the next 12 months is included within Accrued liabilities and other, while the remaining balance is included within Other long-term liabilities on the consolidated balance sheets. For liabilities that we are entitled to receive indemnification from our suppliers, we record receivables for the contractually obligated amounts on the consolidated balance sheets as a component of Prepaid expenses and other current assets for the current portion and as Other non-current assets for the long-term portion. Warranty expense is recorded as a component of Cost of revenues in the consolidated statements of operations. Due to the magnitude of our automotive business, our accrued warranty balance is primarily related to our automotive segment. Accrued warranty activity consisted of the following (in millions):
Year Ended December 31,
2023 2022 2021
Accrued warranty—beginning of period $ 3,505 $ 2,101 $ 1,468
Warranty costs incurred (1,225) (803) (525)
Net changes in liability for pre-existing warranties, including expirations and foreign exchange impact 539 522 102
Provision for warranty 2,333 1,685 1,056
Accrued warranty—end of period $ 5,152 $ 3,505 $ 2,101
Customer Deposits
Customer deposits primarily consist of refundable cash payments from customers at the time they place an order or reservation for a vehicle or an energy product and any additional payments up to the point of delivery or the completion of installation. Customer deposits also include prepayments on contracts that can be cancelled without significant penalties, such as vehicle maintenance plans. Customer deposits are included in Accrued liabilities and other on the consolidated balance sheets until refunded, forfeited or applied towards the customer’s purchase balance.
Government Assistance Programs and Incentives
Globally, the operation of our business is impacted by various government programs, incentives, and other arrangements. Government incentives are recorded in our consolidated financial statements in accordance with their purpose as a reduction of expense, or an offset to the related capital asset. The benefit is generally recorded when all conditions attached to the incentive have been met or are expected to be met and there is reasonable assurance of their receipt.
The IRA Incentives
On August 16, 2022, the IRA was enacted into law and is effective for taxable years beginning after December 31, 2022. The IRA includes multiple incentives to promote clean energy, electric vehicles, battery and energy storage manufacture or purchase, in addition to a new corporate alternative minimum tax of 15% on adjusted financial statement income of corporations with profits greater than $1 billion. Some of these measures are expected to materially affect our consolidated financial statements. For the year ended December 31, 2023, the impact from our IRA incentive was primarily a reduction of our material costs in our consolidated statement of operations. We will continue to evaluate the effects of the IRA as more guidance is issued and the relevant implications to our consolidated financial statements.
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English
|
64k
|
T6. Aggregation & Clustering
|
T6.3 Global Frequency Analysis
|
Full
|
Count the frequency of the following keywords and arrange them in descending order. Output the "[Answer]" identifier first, and then output the sorted keywords line by line, without any additional content.
keywords: Investments, Automotive, Services, Regulations, Energy
Output example:
[Answer]
Investments
Regulations
Automotive
Services
Energy
|
Count the frequency of the following keywords and arrange them in descending order. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the sorted keywords line by line.
keywords: Investments, Automotive, Services, Regulations, Energy
Output example:
<Your thinking process>
[Answer]
Investments
Regulations
Automotive
Services
Energy
|
[
"Energy",
"Automotive",
"Services",
"Regulations",
"Investments"
] |
Extreme
|
2049705e036cf2c1fc2b96c4ec044e1a13a448e8d43bff970aff50470f165fd5
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《人民文学》2025年第7期｜王尧：桃花坞（长篇小说 节选）
桃花坞（节选）
王 尧
一
桃花坞的风景变了。方梅初和周惠之经常一同出入桃花坞大街。黄阿婆站在门口，看见两人走来，朝方梅初招手。原本挽着方梅初胳膊的周惠之松了手，朝黄阿婆鞠了一躬。黄阿婆凑近说：“姑娘啊，你生得标致的[呕] [来]。”周惠之红着脸拉起黄阿婆的手，黄阿婆又说，“到辰光我帮你们铺婚床。”方梅初谢过黄阿婆。这里的风俗，有儿孙的长辈给新人缝被子铺床褥。
方梅初给杭州的父母写了封信，说了周惠之的情形，说自己准备去周家看长辈。这有点像通报而不是问父母之命，方黎子看完信却是大喜。回信落款“父母字”，方梅初看笔迹，知道是母亲的手笔。母亲说：“普通人家的女子受过新式教育好，为吾儿高兴和祝福。”又说新青年也要懂旧礼数，提醒方梅初上门时要备些礼物。
到了六月初六午时许，姑姑和姑父站在院门外等候方梅初。他们看着一位戴眼镜的书生提着袋子走过来，虽然没有谋过面，但两人判定这位越走越近的书生便是方梅初了。姑姑朝门里喊了一声：“方先生来了！”方梅初应声赶紧上前，称呼姑姑、姑父。
六月初的苏州已经很热了，方梅初穿着长衫，又紧张，额头直冒汗。周惠之站在门口，递给他一把芭蕉扇。周惠之朝他笑笑，他好像在她透彻的眸子里看到了自己的脸庞。周惠之对姑姑说：“你叫他梅初。”僵着的方梅初连忙说：“对对对。”
方梅初按照母亲的指点，去了观前街乾泰祥，给姑姑买了绸缎，给姑父买了呢绒哔叽。周惠之见状，心里甚是开心。之前在观前街闲逛，路过乾泰祥时她说了一句，什么时候给姑姑、姑父扯几尺布料，不想他倒记住了。
落座后，姑父对方梅初说：“你吃杯清凉茶，荷叶是我早上采的。”方梅初谢过，先给姑姑和姑父倒了茶水。方梅初喝了几口，对周惠之说：“我想上支香。”随即对着周惠之父母遗像上香，周惠之侧身拭了拭眼泪。姑姑见状，说：“今朝是开心日脚，你阿哥本来想从湖州转来，但不过该两日实在忙不过呀。”
周家的午餐让方梅初印象深刻，荷叶粉蒸肉和绿豆汤，色香味不亚于酒楼。姑姑对方梅初说，这是惠之的手艺。方梅初惊讶地看着周惠之。周惠之告诉他，糯米、糯米粉、绿豆都是阿珍姐姐春节前从消泾送过来的，她昨天在阊门买了冬瓜糖、金橘和红绿丝等。方梅初起身对着大家说：“有劳你们了。”周惠之笑笑说：“我路过桃花桥时，看你房间的窗户还没有打开呢。”方梅初说：“以前都是今天晒书，我前天整理书房，睡晚了。”方梅初没有说出口的是，他这几天夜间为今天的造访紧张得睡不着。
离开周家时，姑姑递给方梅初一只装在网兜里的瓦罐，说：“多做了些绿豆汤，你带回去吃。”周惠之送他到门口，说要帮姑姑收拾碗筷，就不远送了。方梅初在周家几个时辰，周身都紧张得僵硬，周惠之不送，一个人自由散漫地回去正好。从娄门到桃花桥有不短的距离，但从周家回来时，方梅初感觉距离好像比往常缩短了。他提着瓦罐，总担心网兜的绳子会断掉，不时又将瓦罐捧在胸前。这样一路走到新善桥北桥口，方梅初定定神，向东折回，走了几百米，再向北去了廖家巷的黄道一家。
黄道一搀着已经会走路的儿子竹青给方梅初开了门。看见竹青朝着方梅初笑，黄太太说：“看来梅初兄弟要有喜事了。”进了客厅，方梅初把瓦罐放在桌上，说：“先请你们喝绿豆汤，再喝喜酒。”黄道一问：“就是上次我在书店遇到的那位周老师？”方梅初和周惠之逛书店时曾邂逅黄道一。方梅初便说：“正是。”黄道一说：“恭喜恭喜。”黄太太从黄道一手上接过竹青，认认真真地对方梅初说：“你要是生儿子，我们再生女儿，就做亲家。”方梅初和黄道一都愣了一下，随即哈哈大笑。
方梅初和黄道一相识于桃坞中学。方梅初到杭州读书，一年后出身书画世家的黄道一考上了上海美专。或许因为方竹松在生活中的缺席，长三岁的黄道一成了方梅初情同手足的兄长。和方梅初的温暾水性格不一样，有些狷介的黄道一很少与人打交道。在苏州美专教了几个月的书后，他便打道回府。黄太太问怎么不教书了，答曰：“还不如在家画画。”黄家若是做了好吃的，黄太太便拿着先生手书的“今晚小酌”纸条塞到方宅大门的铜门环上。方梅初回家见状，门也不开，径自去黄家。
喝了绿豆汤，黄道一说：“这比店里做得好。”方梅初说了午餐的几道菜，黄道一认真听着，请他转达，“约时间，请周老师到寒舍小聚。”方梅初说：“好，让她做嫂子的下手试试。”黄太太从书房走出来，拿着一张小纸条对方梅初说：“本来也要去你那里的，今天有好菜。”方梅初也就不客气，留了下来。黄道一问想喝什么，方梅初说：“喝啤酒吧，我家里有黄金酒厂的啤酒，我现在回去拿。”黄道一说：“不用，喝白酒。”方梅初说：“我不胜酒力。”黄道一说：“有如此好事，当浮一大白。”
二
小城已经万家灯火了。桥上没有灯，阊门西街和桃花桥路上三三两两的灯光从两边漫漶过来，到了桥上已经若有若无。方梅初一直记得周惠之那句撞击他心房的话：“我时常梦见流血的母亲。”
周惠之从来没有见过母亲陈小蕙，母亲生她时难产走了。父亲周实并没有多说难产的细节，但周惠之后来夜间做梦，时常梦见母亲血流如注。母亲难产去世后，住在浒关的姑姑接走了她。她和大她半岁的表哥轮流喝奶，她是喝着姑姑的奶水长大的。原本在城西发电厂工作的父亲，为了应对这样的变故，到浒关的蚕桑学校谋了在会计室记账的差事。周惠之不怎么外出走动，对这个小镇印象模糊，只记得父亲偶尔带她去校园。校园有桑田，父亲会摘下桑葚带回家。她很喜欢吃桑葚。
要念小学了，周实带着周惠之从浒关回到了娄门。周惠之的印象中从来没有这座小城。走进娄门那幢在襁褓中告别的小院子，周惠之异常胆怯。这里好几年不住人了，阴暗中散发着潮湿的气息。
周惠之最开始学会的是叫姑姑，她不知姑姑和妈妈的区别。在听到别的孩子叫妈妈时，她问父亲：“妈妈呢？姑姑不是妈妈？”父亲给她看了妈妈的相片。那是她第一次见到妈妈。回城里后，父亲将妈妈的相片放到了客厅的供案上，对她说：“你去上学前，朝妈妈鞠躬，放学回来后也要朝妈妈鞠躬。”在客厅没有大人时，她会盯着妈妈的照片，再循着妈妈的眼神走出客厅，感觉那温和的眼神落在小院子的中央。父亲在院子里放了一张藤椅，说妈妈怀她时经常坐在这张椅子上晒太阳。春光明媚的一天，周惠之坐到藤椅上，她闭上眼睛，感觉像坐在妈妈的腿上一样。姑姑一家过来住了一段时间，周惠之适应了这里后，他们又回到浒关。姑姑后来没再生孩子，周惠之明白，这是为了照顾她。
识字后，周惠之认出了父亲挂在书房的匾额：又佳斋。她不懂父亲为何取了这样的名字，也从来没有问过他。有一天，她突发奇想，将“又”字和“佳”字拼贴在一起，才发现这两个字组合在一起像“难”字，难产的难。她一下子明白，父亲是在追思难产离世的妈妈。从那天起，她隔一段时间就会站在小椅子上，用鸡毛掸拂去匾额上的灰尘。记得有一次从椅子上下来时，父亲对她说：“你长大了。”她看着亦喜亦悲的父亲，轻轻说：“这是个‘难’字。”他哭了，从来不哭的父亲哭了。她告诉父亲，昨天梦到跟妈妈在桑园采桑了。
从浒关又回到阊门外发电厂的周实，照顾起女儿的日常生活。这时，一个叫苏云的阿姨出现在周惠之的生活中。父亲是昆曲票友，偶尔也会带周惠之去听。一次看《牡丹亭》结束后，那个在台上唱戏的女主角走到了父女俩面前，周惠之兴奋又不知所措。父亲说：“这是苏云阿姨。”周惠之腼腆地看着苏云，苏云摸摸她的脸。父亲忙不过来时，苏云阿姨会协助照顾她，有时带她在外面吃饭，有时在娄门做好饭菜，等她父亲回来后再离开。渐渐长大的周惠之开始觉得苏云阿姨几乎替代了姑姑的角色，有时像妈妈，但她从未见苏云阿姨和父亲亲昵过。苏云阿姨也从未留宿，即使父亲很晚回来，她还是回到下塘街。周惠之去苏云阿姨家住过，知道阿姨单身。她无法理解父亲和苏云阿姨的关系，在多少明白了大人的眼神后，她在父亲和苏云阿姨对视的眼神中看到了彼此的光，这时她念小学六年级。
苏云给周惠之带来了另一个世界。昆曲传习所的一次雅集，周惠之跟苏云阿姨去了，见到了许多父亲口中的名角和知名社会人士。他们谈笑风生，她则紧张得一直拉着苏云阿姨的衣袖。在回去的路上，苏云阿姨说：“你可以学昆曲，我教你。但你不要做戏子，你好好念书。”晚餐时，父亲问她：“今天是不是大开眼界？”她说：“我想学昆曲。苏云阿姨说，她可以教我，但不要我做戏子。”父亲的脸色一下子阴沉下来。几天后，她去苏云阿姨那里学戏，阿姨问：“你跟你爸说了什么？”她一下子没有反应过来，阿姨接着说，“你爸到我这里来乱吼了几句，也不知道哪根神经搭错了。”她这才明白，惶恐地说：“我说苏云阿姨让学昆曲，但不要做戏子。”苏云没有再吭声，转过身去哭了。周惠之紧张得也要哭时，苏云说：“不说了，今天我带你去朝天湖。”
朝天湖是苏州城里人逢荷花节必到的地方。每年六月二十四日前夕，湖里的画舫小船便多了起来。二十四日当天早晨，很多人在湖边占了位置，富贵人家在傍晚前就登上早已预订好的画舫，喝酒望月赏花。黄昏时分，湖面上已经有昆曲和弹词的旋律，随风而散。每年此时也有尴尬的事情发生，富家小姐过跳板上船时，颤颤巍巍，不少跌落到湖里。好在湖里淤泥多，又临岸边，不会游泳的女眷，落在水里也无性命之虞，但人会吓得半死。
周惠之跟着苏云阿姨去赏月。她从码头上跳板，一只脚在跳板上，另一只脚悬空，摇晃了几下，落到了湖里。周惠之扑通扑通挣扎时，岸上有一个小伙子三步两步冲过来，把她拉到码头上，喊岸上的姑娘：“阿珍过来帮忙！”阿珍搀着周惠之到家里，拿了自己的衣服给她换上。换了衣服，从房间出来时，那个小伙子说：“像阿珍的样子呢。”阿珍说，这是她哥哥阿牛。惊魂未定的周惠之谢了阿牛，跟着苏云再回到船上。
隔了两天，周实带着周惠之到了阿珍家。阿珍母亲看着周惠之，好生喜欢，说：“我收你做寄囡娪。”周实连忙跟女儿说：“号稍（快）点，拜寄娘。”周惠之从此多了一门可以走动的亲戚，她和阿珍就像亲姐妹一样。
周惠之时常跟父亲去听堂会，听苏云阿姨唱昆曲。父亲是苏云阿姨的票友。她记得父亲若有闲暇，无论情绪高昂还是低落，都会在书房里吟唱几句。周惠之有一次甚至感觉，苏云阿姨看父亲的眼神，就像是母亲看父亲的眼神。她看过苏云阿姨扮演的杜丽娘，真的让人为之倾倒。她从父亲与苏云阿姨的对视中，感觉到了柳梦梅的眼神。苏云阿姨终身未嫁，这是否与父亲有关？周惠之心里一直有疑问。念初中后，她几次想跟父亲说，她可以接受苏云阿姨。但这句话一直没有说出口，她在父亲的眼神中看出了种种拒绝。
就像突然落水一样，平常的日子也会突然被打翻。周实平时下班，总是进阊门，一路走到娄门。那天他觉得浑身不舒服，看到有黄包车在厂子门口，便坐车回来了。周惠之从学堂回来，看到厨房毫无动静，父亲的皮包放在堂屋的桌子上。她突然听到父亲在房间里喊她。躺在床上的周实脸色苍白，周惠之伸手摸摸父亲的额头，发烧了。她出门买了鸡汤馄饨，照顾父亲吃好，再出门去阊门外的下塘街找苏云阿姨。
父亲见到苏云便说：“你记下惠之姑姑浒关的地址，这几天联系他们，让她全家到城里这边来住。”苏云说：“惠儿上学，我可以照顾你。也许是伤风了，过几天就会好呢。”周实催周惠之去书房拿来纸笔，写下了地址。父亲的举措有些反常，以往发烧他并不在意，如果第二天没有退烧，他通常会去看附近的中医。但这次父亲对苏云阿姨说：“我明天想去博习医院看医生。”也许父亲有了什么预感，周惠之不敢多想。
周惠之和苏云阿姨陪父亲去了博习医院。临近医院时，父亲指着天赐庄说：“景海女塾就在东吴大学校园里。”周惠之告诉父亲，她去学校玩过。父亲说：“我想让你明年考这所学校。”隔了几天，当姑姑举家搬到城里时，父亲各种检查的结果也出来了。诊断的结论是周惠之和姑姑、苏云阿姨从来没有听说过的一种病——白血病。
周实清醒的时候拿出一包东西，把周惠之和姑姑叫到书房里。他对女儿说：“这是你母亲的耳环，就算给你的嫁妆了。”又对她姑姑说，“这是老先生留给我的遗产，两根金条，你要供惠之读完学校。”父亲勉强站起身，朝姑姑鞠了一躬，几乎要跌倒在地上。
这个时候苏云阿姨来了，她见状便说：“不至于，不至于，我们说好了，还要一起唱戏的呢。”父亲平静地对她说：“我会听你唱戏的。”苏云阿姨再也控制不住自己，蹲下来，伏在父亲的双膝上失声痛哭起来。父亲的双手落在苏云阿姨的头发上。
三
一九二〇年暑假后，方梅初到江苏省立苏州图书馆上班了。方梅初专长是古典文献，他和初中同学徐嘉元在典藏股，两人同一间办公室。图书馆设在城南沧浪亭可园，这个园林式的图书馆，机构之复杂，实在超出方梅初的预期，他差不多用了半年时间才熟悉了各部门的职能。
基本熟悉了图书馆的状况后，方梅初写信给周鹤声先生。在浙江一师任教之后，周鹤声又往台州任六师校长，再到宁波四中任教。一个月后，周先生回函说：“朱自清、夏丏尊、沈雁冰、丰子恺诸先生也在四中任职，诸公俱凤麟，愧我独樗栎。”周先生鼓励方梅初，“你有目录学文献学基础，在图书馆可以用己所长，不妨安居乐业。”他笔锋一转说，“你已过弱冠之年，可重读司马相如之《凤求凰》。”
方梅初下班回到屋里，想起周先生信中的话，有些浮躁起来。夜间他推开一楼客厅的窗户，三三两两的人从桃花桥上走过。他拿起昆笛，想吹什么，又放下。这天入眠很晚的他做梦了，但没有梦到桃花，好像是隔壁的黄阿婆站在门口。是给他说媒吗？方梅初觉得自己的释梦有些荒唐。早晨上班时倒是见到了站在门口的黄阿婆，他朝黄阿婆笑笑。坐到办公室，方梅初觉得自己那会儿笑得很尴尬。徐嘉元说：“你好像心神不宁啊。”
方梅初是在图书馆总务部办公室见到周惠之的。姜馆长介绍说：“这是皋桥国小的周老师，她想请我们一位先生本周六下午去学校给老师讲一次国学。刚才问了嘉元，他礼拜六没空，就有劳你了。”方梅初答应下来，周惠之随即谢过。方梅初问：“周老师，你看讲什么好？”周惠之说：“我们想做国学系列讲座，内容请方先生定。”方梅初说：“我想想，明天给你回话。”周惠之在一张纸条上写了学校电话号码和自己的名字，说：“您想好题目了告诉我，还有三天时间，有些紧了，抱歉抱歉。”
正好是下班时间，方梅初夹着一把雨伞和周惠之一起走出图书馆大门。到了护龙街上等黄包车时，突然飘起了细雨。春天的苏州就是这样，说落雨就落下来了。周惠之问：“方先生去哪里？”方梅初说：“我去桃花坞大街。你不用称我先生，朋友们都叫我梅初。”说话时，一辆黄包车过来，周惠之说：“车来了，我到娄门下车。”方梅初这才想起手中的雨伞，连忙递给周惠之，周惠之来不及推辞，带着雨伞匆匆忙忙坐上了车。站在路口的方梅初感觉周惠之上车后好像回转身朝他的方向看了一眼，他的心里有了一丝莫名的紧张。
黄包车从视野消失时，方梅初心里还在斟酌，让周老师称他梅初那句话是否得体。他看了看纸条上的名字和号码，随手写的，可工整娟秀。回到桃花坞大街，雨已经停了，天边的残阳温和地散去，方梅初感觉这个春日的黄昏心情特别好。他原本想做饭的，走进厨房，刷了一下锅，还是走出大门，到对面的“三月三”馄饨店坐下。在等馄饨的片刻，他不自觉地从口袋里拿出那张纸条，默默念出上面的三个字：周惠之。店主把一碗馄饨放到桌上，喊了一声“方先生”，方梅初赶紧回过神来，把纸条塞进口袋。
周惠之供职的皋桥国小，坐落在西中市路南，从桃花桥穿过阊门西街便到了西中市路。方梅初礼拜三电话告知了周惠之讲题。那厢说，我在学校门口等先生。这厢说，不用，我能找到你的办公室。礼拜五回家晚餐后，方梅初出门散步，竟然鬼使神差地往皋桥方向去了。皋桥在西中市路上，从阊门西街过去很近。
恍恍惚惚中就到了周六，草草午餐后，方梅初在路口叫了黄包车。他穿了长衫，坐在车上看看皮鞋有没有灰尘，便摘下眼镜，从皮包里拿了一块事前准备好的绸布条擦了擦皮鞋。车到皋桥国小门口，方梅初透过眼镜看到周惠之和她的一位同事在候着。他提着长衫下摆下车时，想着怎么和她们打招呼。周惠之已经走到面前，对同事说：“这是方先生。”周惠之齐耳短发，明亮的眸子，上装着倒大袖浅蓝色麻布衫，下装是藏青色裙子。周惠之注意到了方梅初的眼神，笑着说：“我没有方先生讲究，穿的还是景海女校的校服。”方梅初嘴上回答说：“非常之好。”心里想，这周老师可能是位“五四”女生。
讲座差不多持续了一个半小时，方梅初讲的题目是“国学入门之书目推荐”。这是他和徐嘉元商量的题目，他们准备做一个系列，这一讲之后再由其他同人讲“国学入门典籍研究之一”等。方梅初引言时先对“国学”的概念做了一番叙述，他说国学不是一个科目，也非一门学问，而是学问之综合体。讲座结束后，主持讲座的周惠之对方梅初的评价是：学识渊博，提纲挈领，深入浅出。方梅初自觉临场发挥不错，进入讨论阶段后，他看上去还是比较从容的，但其实心里颇有些慌乱。
周惠之请教的问题是：国学确实很重要，那新文化的意义在哪里？听周惠之这样一问，方梅初感觉又回到了前几年的新旧文化论争。他略为思考后说：“这涉及中国文化的发展方向问题，以在下之学识，恐难作答。”他想起在一师读书时周先生的名言：“不以旧定义新，也不以新定义旧。”便引用这句话发挥了一通。
在学校门口欲告别时，周惠之问方梅初：“我给您叫辆黄包车吧？”方梅初说：“不用，这段时间坐久了，我走回去，不远。”周惠之便问方梅初尊门何处，方梅初说桃花坞大街，离这里不远。
“那我们同路，先生如不介意，我们一起走。”
方梅初想起第一次见面时周惠之说她住在娄门，路线倒是相同，但娄门还是稍微远些。
周惠之以为方梅初有些犹豫，便说：“没事没事，我们各行其道。”
“不是这个意思，我怕你走得太远会累着。”
周惠之微笑着说：“您不知道，我念书时的体育强项是长跑呢。”
方梅初看看周惠之，这才注意到她穿的是黑色方口布鞋。
两人一路几乎无话，方梅初努力和周惠之保持恰到好处的距离。方梅初觉得这样有些尴尬，到了西中市路上，他停下来问：“我们是向右转，还是向左拐？”周惠之笑笑：“好久没有走过桃花桥了，我们从阊门西街过去吧。”临近桃花桥时，方梅初停下脚步看看周惠之：“这家店的生煎包子很好吃，还有骨头汤，要不要一起吃点？”周惠之说：“之前听说过。下次吧，姑姑在家等我晚餐。”方梅初纳闷，为什么是姑姑在等她？
站在桃花桥上，周惠之先朝西再朝东望去，在风中捋了捋头发，说：“出了齐门，便出了桃花坞。我是桃花坞的邻居。小时候我到这附近看苏云阿姨，一直想看桃花。记得我站在桃花桥上东张西望，就是找不到桃树，好失望。”方梅初说：“文献上记载，唐宋时期，这里遍植桃树。”周惠之倚着栏杆朝新善桥方向望去，站在身后的方梅初感觉她听出了他的心跳加速。周惠之回过身来问：“方先生的府邸是……？”方梅初指着北岸在桃花桥和新善桥之间的房子说：“那个有小码头的地方就是寒舍。”
周惠之走后，方梅初还愣着。夜里躺在床上，方梅初眼前不时闪过周惠之的微笑，那微笑好像是对着他的。这样一想，他在心里自嘲道：礼拜六的鸳鸯蝴蝶梦。
四
桃花坞大街在苏州城北，虽然不比西中市，也是桃花坞一带像样的街道了。
方宅南枕桃花坞河，北面桃花坞大街。临近大街的门厅房，中间是过道，两侧各一间，东侧是厨房，西侧是餐厅。第二进房子临河而起，楼下是客厅和两个房间，楼上两间房，大的做了书房，小的是客房。若是客人多了，就在一楼客厅吃饭。门厅房和第二进房子之间的小庭院，东植石榴，西栽桂树，春天是石榴花，秋天是桂花。方梅初住进来时，石榴很小，一个月后，石榴好像还是那么大。母亲说：“这石榴是观赏的。”桂花呢，晒干了煮鸡头米。桂花开时，石榴如悬挂的小红灯笼。
两三年间，方梅初跟着母亲从杭州西子湖畔搬到了苏州十全街，再从十全街搬到了桃花坞大街，自己的气息也似乎从南宋到了明清。他不清楚父亲为什么执意要他到苏州念书，母亲对父亲的决定从无异议，他当然更不能问所以然。好在，他已经喜欢上这座小城，桃花坞大街和十全街一样，似乎上百年没有变化过。他走过阊门西街，再从西中市大街走出阊门，这才渐次感受到了现代的光景。
时隐时现的父亲对少年方梅初来说是一个谜。据说父亲的实业做得很大，但在家里父母从来不说这些事。父亲在杭州、上海和苏州之间奔波，有时也去武汉。若是说想专心看几天书，便是待在杭州的意思。若是说有朋友写信来了，便是离开杭州的意思。母亲不问父亲去哪里，根据父亲出行时间长短收拾行李。如果用大行李箱，方梅初便知道父亲至少半个月后才能回杭州。逐渐地，他从父亲带回来的特产就能猜测出父亲的踪迹。父亲说，这是青团子，这是枣泥麻饼，这是松子糖。母亲告诉方梅初，这些是苏州特产。父亲又说，山塘街上的海棠糕好吃，不好带回来，怕馊了。方梅初不知海棠糕的滋味，定胜糕已经让他回味无穷。方梅初在杭州很少尝到带有青草味道的点心，青团子给他的舌尖留下长久的回味。父亲也不清楚青团子的青是什么青，青团子是苏州人清明祭祖的供品。当时方梅初没有去过苏州，父亲带来的糕团让他尝到了苏州的滋味。在父亲和母亲的闲言碎语中，方梅初知道了苏州的护龙街、阊门、山塘街、观前街，知道了从山塘街走过的白居易，若是再往北走，白居易就到虎丘了。
方家杭州的院子坐落在半山坡上，站在院门口可以看到西湖。这里安静得让方梅初有些惶恐，他时常站在门口东张西望。黄昏时，母亲在厨房做饭，方梅初就站在门前看西湖夕照，余晖尚未从湖面上散去，母亲喊他吃饭了。这个时候，他偶尔也盯着马路上的黄包车，想着有一辆车停下来，父亲挽起长袍下车，再走上山径。他这样的幻想常常落空，等到的是哥哥方竹松。方梅初在仁和念小学，哥哥已经要初中毕业了。寄宿学校的方竹松礼拜六回来，这是方梅初和母亲开心的辰光。方竹松颇有大哥的样子，通常上午便带着方梅初走下山坡，在西湖逛荡。午餐在外面小吃，这样可以让母亲休息。在白堤西泠桥西侧，方竹松说：“秋瑾之前葬在这里。”方梅初似懂非懂，父亲说起过这个名字，好像认识秋瑾。方竹松看着弟弟懵懂的眼神说：“你以后就知道秋瑾了。”随后轻吟道，“危局如斯敢惜身？愿将生命作牺牲。”兄弟俩住一个房间，各卧一床。有天夜间方竹松说到自己的打算，钻到了方梅初的被窝。方竹松说：“我要去上海念高中。”方梅初想起哥哥回家和母亲聊天时说到了上海，猜想这可能是大事，不然母亲不会说等父亲回来商量。方竹松说到此事，方梅初不知如何回答，他还没有去过上海，便说：“我去上海找你玩。”
方黎子偶尔带着方梅初出门。一九一○年春三月，方梅初跟着父亲去了西湖金沙港蚕学馆隔壁的唐庄。那是一座已显荒芜的小园子。他们走过曲水短桥，进入一座大房子。父亲和大厅诸位寒暄时，方梅初看见悬额上书“金沙泽远”。父亲落座后，方梅初站在椅子旁边，邻座戴眼镜的先生挑了几粒话梅几颗花生给他。父亲转身看方梅初惶恐，微笑着朝他点点头，他才从先生手中接过了话梅花生，给先生鞠躬。诸位先生说话时，方梅初出了门，走到香雪轩，坐在那里看随风飘荡的翠柳。回程时父亲说：“这次是南社雅集，你知道吧，明代浙江也有南社，现在这个南社是吴江人成立的，操南音不忘本。给你话梅花生的是柳亚子先生，吴江人。”方梅初不知道这些。过了些时日，他在父亲书房里看到柳亚子先生的照片，觉得有些面熟，记得先生姓柳。母亲说是吴江柳亚子先生。方梅初兴奋地告诉母亲：“柳先生给过我话梅呢，还有花生！”这位小学生美滋滋地回味了话梅和花生的味道。
辛亥革命成功后，方梅初才知道父亲是同盟会会员，这让他后来怀疑父亲说是去苏州，其实未必。民国了，父亲并不做官，兴趣和精力仍然在他的实业。一九一二年暑假，父亲又说从苏州回来，方梅初相信了。父亲对母子俩说：“雪妹，暑假以后，你带梅初到苏州吧。我在葑门租了房子，梅初就在苏州念书，学堂也找好了。”很有意思，父亲把母亲杨凝雪简称为“雪妹”，母亲则喊父亲“黎子”。母亲说：“好的，黎子。”母亲说了“好”，方梅初不可能说“不”。在这个院子里，他好像从未说过“不”字，对他来说，从杭州到苏州只是换一个住的院子。方梅初未问父亲让他们去苏州的理由，他知道父亲肯定有什么考虑。过了些时日，他跟着父母亲先到了上海，再坐火车往苏州。在上海外滩，他和父母亲合影了，留着小平头的他，站在父母亲中间，母亲微笑着。也许是因父亲的强大，念过学堂的母亲最终没有成为新女性。他看到旧照片里短发的母亲，记不得她是什么时候梳髻的了。
从上海到苏州的铁路是新建的，坐在车厢里，方梅初像坐在新房子里。他第一次看到如此开阔的绿色平原和大大小小的湖泊，三三两两的房子散落在田野上，远处的村落似乎都在河边。风景飞速而过，方梅初知道这就是江南水乡了。从吴县站出来，方梅初第一个疑问是，怎么叫吴县站？父亲说，苏州在吴县辖内。方梅初感觉眼前的苏州城是灰色的，这和青团子的青色反差太大。父亲告诉母亲，车站前面护城河的南岸便是桃花坞。母亲点点头，方梅初则想起桃花坞年画，便问父母：“是桃花坞年画的桃花坞吗？”父亲说是。
坐在黄包车上的方梅初由北向南看护龙街两边的房子，觉得苏州城就像县城。或许父亲看出了儿子心中的疑问，在两辆黄包车转到十全街时，方黎子让车子停下。他走到另一辆车旁，对方梅初说：“这里向南，是沧浪亭，那里留有林则徐的足迹和题字。路西边是文庙，金圣叹哭庙之处。”母亲笑着说：“等住下来你再讲古吧。”方梅初想起唐庄的细节，他认识的第一位苏州人竟是柳亚子先生：“吴江离这里远吗？”父亲说：“不远，若有时间，我带你去吴江黎里。”方梅初明白了，柳亚子先生家在吴江黎里镇。那是一个什么样的小镇呢？
方梅初喜欢烟火气的苏州小城，他自己的脾气很像这座城市。母亲觉得这座小城安全后，允许方梅初独自出门走走，偶尔也会让女佣陪着。方梅初常常沿着十全街向西走，临近凤凰街，向南走进一条小巷子，便是网师园。穿过凤凰街向西，靠近乌雀桥时，便到了他就读的草桥国小。若是再向西走，就靠近南北向的护龙街了。护龙街南段西侧是沧浪亭，沧浪亭对面是可园。母亲带他去过带城桥下塘的振华女校，告诉他，这校园是清代织造署旧址。他早上去学堂，街上便有推着车子或担着木桶卖糖粥的。卖糖粥的声音响起，临街楼房二楼便有人应答，一个慵懒的女人打开窗户，用绳子放下竹篮。当盛了糖粥的篮子往上收时，方梅初心跳得厉害，担心那根绳子突然断了。秋天的十全街，卖花生、炒栗子的小摊隔几百步就有。冬天，则有人推着炉子卖烘山芋。街头唯一让方梅初紧张的食物是“浑蛋”，那种壳里有小鸡雏形的鸡蛋。一只炉子，上面放着砂锅，烧熟的五香酱油味飘逸出来。方梅初禁不住诱惑，买了一只浑蛋，吞下去后，便感觉一只小鸡在嗓子里上蹿下跳。
他的活动范围很小，几乎就在十全街。偶尔拐弯走到百步街，那里有一个庭院，东吴大学教员的宿舍。百步街的尽头是东吴大学的南校门，方梅初曾经站在门前的望门桥向里张望。母亲去博习医院就诊，方梅初坐车陪母亲，第一次顺着东吴大学的围墙到了同学说到的望星桥。就诊出来后，母亲站在医院门口对方梅初说：“东边挨着的就是东吴大学，这地方叫天赐庄。”母亲停顿了一会儿又说，“校园里还有一所学校，景海女塾。”天气晴朗时，方梅初常常登上已经凋敝的葑门城楼。向东望去，是朝天湖，那里每年荷花开放时是游客的聚集地。向南，是觅渡桥，据说那里是苏州护城河河水最深处。母亲对他唯一的叮嘱是，不要去觅渡桥下游泳。向北望，便可看到东吴大学的钟楼和景海女塾的教室了。方梅初目光所及，在一片粉墙黛瓦的衬托下，东吴大学和景海女塾成了苏州的西洋景。
他在黄昏或者夜间的城楼上会听到笛子悠长婉转的声音。母亲说是昆笛，演奏昆曲的笛子。他循着声音往十全街西门走去，在百步街路口东侧的宅子门口停下。他确定吹昆笛的是这户人家。母亲看方梅初听昆笛声的眼神，猜测儿子喜欢上了。她托人打听，吹昆笛的是位姓曹的先生。母亲问方梅初：“你确定想学昆笛？”方梅初点点头。中秋节的那天晚上，母亲提着一盒月饼、一袋螃蟹，带着方梅初，轻轻敲开了曹先生的家门。
方黎子在苏州城的一次出行，让方梅初第一次贯穿城南城北。苏州比他想象的要大得多。他们从护龙街转到了景德路，再往阊胥路。在山塘街，父亲说，再往虎丘走，就是张公祠了，南社第一次雅集之处。父子俩走到了张公祠，方梅初定神看了看关着的大门，父亲问他：“你还记得一九一○年春三月，我带你去唐庄吧？那是南社的第二次雅集。”方梅初记得，当晚柳亚子先生好像醉酒了，他在另一条船上听到柳先生不时开怀大笑。父亲说，柳先生是喝多了，那天泛舟西湖，醉而有作。方梅初后来知道，父亲说的醉而有作，便是柳亚子先生的《金缕曲》。
他们是坐着黄包车从葑门到七里山塘的。在车上看着不断后退的风光，方梅初再次感觉到了苏州和杭州的不同。山塘街一头连着阊门，一头连着虎丘。近阊门的这段，小贩子的叫卖声倒是婉转，方梅初觉得像是唱戏，父亲说，这就是市井。过往山塘河的船有摇橹的，也有撑竹篙的。方黎子那天心情很好，在山塘街走了一段返回阊门时，对儿子说，《红楼梦》就是从阊门写起的。方黎子想去唐伯虎的桃花庵旧址，又带着方梅初从阊门去了桃花坞大街。途经桃花桥，方黎子驻足了。他告诉方梅初，西北面就是桃坞中学，沿着桃花坞大街向东不远便是昆曲传习所。“曹先生就在这里吹笛子？”父亲说是。方梅初问：“不去桃花庵了？”方黎子说：“不去了，以后再去，我们过一会儿看看这一带的房子。”
站在桃花桥上，方梅初问：“既然叫桃花坞河，河边怎么没有桃树？”方黎子告诉儿子：“你以后去看《烬余录》，唐宋时此地遍植桃花。现在没有了，不知桃花庵里有没有。”方梅初还没有回神，父亲又说，“桃花坞的妙处就在没有桃花。你想象哪里有桃花，哪里就桃花灼灼。”
或许就是这次漫步桃花坞大街让方黎子有了在此置房的想法。一九一五年夏天，方梅初跟着母亲搬到了桃花坞大街，他即将就读的桃坞中学离家只有数百步。方梅初读到南宋《烬余录》了：“入阊门河而东，循能仁寺、章家河而北，过石塘桥出齐门，古皆称桃花坞河。河西北，皆桃坞地，广袤所至，赅大云乡全境。”桃花坞河上有许多桥，从宝城桥向东，依次是桃花桥、新善桥、日晖桥和香花桥，方宅在桃花桥和新善桥之间。新善桥向东，街道渐次宽敞，桃花庵、五亩园都在桃花坞大街的东段，再向东就是护龙街。站在桃花坞大街东头与护龙街交接处，就能看见报恩寺塔。
在桃花坞大街住了一段时间后，一天父子俩又站在桃花桥上，方黎子对儿子说：“你闭上眼睛。”方梅初觉得一片漆黑，然后有一丝光亮，他仿佛听到落英缤纷的声响。方梅初睁开眼，吟诵道：“自开山寺路，水陆往来频。银勒牵骄马，花船载丽人。芰荷生欲遍，桃李种仍新。好住湖堤上，长留一道春。”方黎子笑笑：“初儿会背白居易的《武丘寺路》了。”
方梅初在桃花坞河的每座桥上看日落，他想看日出，可早上起不来。在桥上看落日，太阳好像落在阊门外面的什么地方了。余晖下的桃花坞大街，宁静温馨，在傍晚的嘈杂声中，昏暗的路灯衔接了散去的余晖。这个时候，他看到桃花坞河两岸人家的灯火亮了。
五
方梅初和周惠之分别后便没有了联系，心里不时出现她的微笑。偶尔过来串门的黄阿婆，看见朵朵石榴花儿，对方梅初说：“你今年要有喜事上门哉。”方梅初晓得黄阿婆不是随意过来的，赶紧说：“托您老的吉言。”果然，黄阿婆说她前天去横塘乡下了，见到镇上的黄家小姐还待字闺中，便想到了方先生。黄阿婆介绍道：“黄小姐断文识字，针线生活做得又出色。”看方梅初没有接话，黄阿婆说，“方先生有意中人了？”方梅初若说不是，过个礼拜天可能就得跟黄阿婆去横塘，便结结巴巴说：“是的，是的。”黄阿婆有点失望，还是微笑着说：“是我在瞎起劲哇。”在桃花坞大街，黄阿婆是个角色，她在调解邻里纠纷时常说的一句话是：“我也是花花轿子抬进黄家的。”方梅初见过那种小轿子，童养媳过门，能坐轿子的极少，想必黄阿婆横塘娘家也是殷实之户。
当年方梅初跟着母亲住到桃花坞大街时，守寡的黄阿婆独自带着儿子黄天荡。方梅初去杭州念书，黄天荡成家了。从杭州回来，黄阿婆又独自带着孙子黄鹤鸣，儿媳妇产后一年染病身亡。方梅初非常同情黄家之不幸，也为他们的坚韧感动。黄天荡在吴苑茶馆担水，这家茶馆在城里最早挂出“洞庭茶，胥江水”招牌。苏州大街小巷古井无数，新挖的井也不少。如果在空中鸟瞰，这些井就像棋盘上的棋子。老百姓的日常生活还习惯用井水，临河而居的人家则靠水吃水。城里人喝惯了碧螺春，若是用城里的河水泡，会喝出泥土的味道；若是用井水，那些老茶客会在舌尖上感觉到茶水的沉滞。聪明的茶馆老板想到胥门外的胥江，伍子胥主持开凿的运河。太湖水经胥口、木渎，过横塘，再进胥门。远处，京杭大运河在横塘古驿站与胥江交汇；近处，胥江与外城河相融。这样说来，胥江的水，便是太湖水。黄天荡是桃花坞大街起得最早的人，每天凌晨五点，他悄悄起身，掩门，在门外简单做几个伸手、扭腰、踢腿的动作，然后担着两只空水桶一路小跑。在胥门口的面条店，他进去坐下来，店小二说稍等，过会儿端上一碗素浇面。如果他自己不说换个浇头，店小二每天都照例给他一碗素浇面。黄天荡每天都是吃完头汤面就去担水，日复一日，年复一年。
送走黄阿婆，方梅初在双树堂漫无目的地翻着书，心里若有所失。也就两个礼拜吧，他和周惠之的两次交往就像风吹过一样，开始有几片叶子落在河里，然后随水而逝。方梅初黄昏时站在桃花桥上发呆，世事往往是这样，不期而遇，又幡然而过。周惠之的各种眼神轮番在他眼前闪烁，他不停回放，想在眼神中分析出什么来。当他心里对周惠之有了一丝念想时，他意识到自己的生活轨迹也许在发生变化，但他不知道另外一条轨道会在何时何地交叉。这样想，方梅初觉得自己的念头太唐突了。
几天的雨水洗过后，最早开出的石榴花已经褪为橙红色，有些叶尖已经发白，转眼间就要立夏了。下了班，方梅初清扫地上的落红时，听到敲门声，以为黄阿婆又来做媒了。方梅初提着扫把匆忙去开门，见周惠之提着一只小网袋站在门口，先愣了一下，再急忙说：“请进请进。”周惠之笑着说：“先生手里还拿着扫把，不像迎客的样子。”方梅初这才放下扫把，做了邀请进门的手势。
周惠之将网袋放在餐桌上，说：“快要立夏了，我让姑姑煮了几个咸鸭蛋。”方梅初谢过，请周惠之去客厅喝茶。周惠之说：“不用麻烦的，方先生有时间的话，我们出门走走。”方梅初立刻说：“有时间，有时间。”
出了门，周惠之说去昆曲传习所看看如何。方梅初没有想到她喜欢昆曲，有点喜出望外。沿着桃花坞大街向东，进了廖家巷，再右拐不远就靠近五亩园了。周惠之突然停下来问：“有次过桃花桥，听到昆笛声，是你吹的吗？”方梅初惊讶她竟然听到了自己的笛声，说：“你听到的是什么曲子？”周惠之笑而不答，随即做了个甩水袖的姿势。
方梅初定睛看着周惠之，那一瞬间的动作如梦如幻。方梅初告诉她，住在葑门时，邻居曹先生是戏班子的，他隔三岔五跟着先生学了几年。周惠之问哪位曹先生，方梅初说曹冠云先生。周惠之想了想，说：“我见过曹先生，他和苏云阿姨熟悉。”
传习所关门了，两人停留片刻，从传习所折回，一路走到阊门。方梅初说：“如果不介意，我们一起晚餐。”周惠之笑笑，方梅初理解成同意了。晚餐选在阊门外新开的一家广东餐馆。方梅初问周惠之想吃什么，周惠之说随意。这让方梅初没有了主意，便喊店小二过来。周惠之看出方梅初的用心和紧张，又说：“真的是随意。”方梅初跟在后面说：“随意，随意。”他点了一罐汤、一盘炒牛河、一条清蒸鲈鱼。方梅初问如何，周惠之说足矣足矣。方梅初还是让她加道菜，周惠之犹豫了一下，说：“青菜吧。”上鱼时，店小二解释说：“鱼是苏州的，广式做法。”方梅初接过话说：“我父亲说，越向南，做的鱼越好吃。”周惠之点点头：“大致是这样，但北方做鱼也有特色。”方梅初问她去过北方哪里，周惠之说在景海女师念书时和同学去过北京。方梅初说：“我还没有去过北京，有机会我们一起去看看。”周惠之听到“我们”，心里动了一下，脸上露出羞赧之色，没有再接话茬。
两人面对面坐着，方梅初第一次细看了周惠之，他感觉这面孔有些熟悉。在周惠之不语时，方梅初给她又盛了一碗汤。他对周惠之说：“我好像之前见过你，但一时想不起来了。”周惠之认真地看着方梅初说：“这样啊，也许在图书馆借书时遇见过。”方梅初似乎想起了什么，问：“去年春天，你是不是参加了过云楼雅集？”周惠之说：“我去怡园听古琴了，先生也在场？”方梅初有点不好意思地回答说：“我现在想起见过你了。”周惠之说：“先生的记忆力真好。”这样一说，方梅初的脸一下子红了。
说到过云楼，周惠之的话倒是多了些。她问方梅初可知道苏州第一个女子曲社幔亭曲社就是在怡园成立的。方梅初说这倒不知道，但见过顾文彬先生的曾孙顾则久。周惠之好羡慕：“这样啊。我和顾先生都是在天赐庄念书的，不过，我念书时他早已从东吴大学毕业了。苏云阿姨说顾先生得俞宗海大师真传，唱功了得。”
方梅初问：“你看过顾先生的戏？”
周惠之摇摇头：“顾先生很少演出，听说他精于三出戏，《琵琶记》之《辞朝》，《白罗衫》之《看状》，《荆钗记》之《见娘》，坊间称他‘顾三出’。”周惠之说完，若有所失。方梅初注意到，周惠之沉默的眼神中有一丝忧郁，他又在她的忧郁里看到了晶莹的光亮。
沉默片刻，周惠之问方梅初最近在看什么书，可否推荐给她。
“我一直在揣摩《浣纱记》，你肯定看过。”方梅初说，“不用见笑，我想修改这个本子。”
周惠之眼神里晶莹的光亮照耀到了方梅初的脸上。她说：“哦哦，期待期待。”
方梅初有些兴奋，低声念白：“我乃是太湖中的渔翁。昨日范老爷吩咐，渔船已泊在胥口。请问这是要前往何处？”
周惠之和方梅初瞬间对视，她垂首答道：“我要去接我的娘子。”
在这问答之间，方梅初有些飘忽了，仿佛泛舟湖上。烟波里，傍汀萍，依岸苇，任飘摇，海北天西。
六
苏云给周惠之戴上耳环后问她的感觉，周惠之说：“这对耳环像妈妈的手指，她捏着我的耳垂呢。”在旁的阿珍和姑姑互相看看，两人落了泪。
阊门和娄门不同，娄门有点像郊区，阊门是小城的中心。周惠之从这里去皋桥国小很近，不像之前要起早。和她预想的一样，方梅初朴实细腻温情，像苏州人，又有北方人的旷达。晚餐后，两人会喝杯茶，说说白天的事，再出门散步。方家的殷实，也让周惠之放松许多。杨凝雪曾问要不要找个女佣，说之前在葑门的那个女佣不错。周惠之说不用，方梅初说等以后有了孩子再说。
婚后一年多，周惠之仍未开怀。方梅初带着她看了中医，也去了博习医院看西医。在医院门口，周惠之想起父亲就流泪了，方梅初轻轻抱了抱她。阿珍的丈夫张银根每年腊月从消泾到阊门烘山芋卖，会先到方梅初家取出寄放的炉子。这年冬天，张银根进门，看见方梅初正在煎中药，便问谁生病了。方梅初说，不是生病，你妹子还没有怀上。张银根没有接话，回来跟阿珍说了。阿珍说：“用得着吃啥药啊，到该搭（这里）来拜拜菩萨么。你拿我的闲话带给他们，信不信随俚笃（他们），一顺百顺，反正实事摆在眼门前，我已经养了阿荷哉。”
隔了几天再去城里时，张银根见着周惠之，犹豫了一下，想说的话没有说出口。等了片刻，方梅初回来了，张银根把他拉到天井桂花树下，悄悄传上阿珍的话。张银根没有想到，方梅初毫不犹豫地说：“好，好，开了春我们就去。”
翌年的春天暖得早，三月下旬田野已是遍地菜花黄。方梅初雇了一条船往消泾，周惠之看到岸边都是菜花，觉得赏心悦目。到了阿珍家，阿珍乐不可支，说中午吃塘鳢鱼炖蛋。阿珍问姑姑可好、苏云阿姨可好，周惠之说都好。阿珍说：“我们下半日到皇罗寺去。”
皇罗寺居官泾河南岸，东临阳澄西湖，周遭是一片农田。寺院始建于唐朝中叶，原名积善庵。历经宋元明清，到了清乾隆年间，重修的积善庵改名为王路庵，因王公贵族在此停留而得名。相传乾隆下江南时，曾在此留宿，后又改名为皇罗寺。周惠之来这里时，皇罗寺重修没几年。阿珍抱着阿荷，带周惠之先去寮房拜访了常德法师。周惠之送上先前准备好的几包素油茶食，和常德法师聊了几句，再去观音殿。周惠之跪下后看着观音的样子，脑子一片空白。
腊月底，阿珍从消泾过来，把儿子阿溪、女儿阿荷的旧衣裳送来。阿珍看到腆着肚子的周惠之，乐不可支。周惠之看着怀抱里的阿荷，说：“阿珍姐姐，你是福气好的[呕] [来]，儿女双全哇。”阿珍说：“我看你拖身体的样子，大面是儿子。”周惠之说：“我也欢喜女小娘娪的。”
春天的气息在温暖的阳光中弥散着。方梅初上班时对周惠之说：“你去桥上晒晒太阳，我帮你搬张藤椅。”周惠之说：“搬两张吧，嫂子也过来晒太阳。”黄道一太太也有孕数月了，时常过来聊天。黄道一在画室泼墨，方梅初上班，两位女人就凑在一起度过白天的辰光。
在桃花桥上，黄太太摸着自己的肚皮说：“我感觉自己要生女儿，特别想吃辣的，道一去店里买了平望辣酱。”周惠之想喝酸梅汤，但这个季节买不到了。黄太太笑说：“酸儿辣女，我们要做亲家了，我可跟你说定了。”周惠之看着黄太太认真的样子，不禁也笑了起来：“你这是指腹为婚啊。”
两个月后，周惠之生产，果然应了阿珍的说法，是个男孩。方后乐呱呱落地后的五个月，中秋节过后不久，黄太太生下一女。方梅初、周惠之抱着方后乐到黄家道贺，黄太太见到他们便说：“你们看我家这宝宝，小嘴巴，大眼睛。”周惠之凑近端详，很是喜欢宝宝的俏模样，问叫什么名字。黄太太说：“大名黄青梅，小名梅子。”
隔壁黄阿婆看到周惠之怀中的方后乐，说：“宝宝比草长得快。”过了一九二四年春节，在方后乐终于喊出一声“姆妈”时，周惠之自己像个婴儿一样大哭起来。她兴奋地告诉黄太太，黄太太抱着方后乐说：“乐儿，叫我：黄——妈——妈。”
又过了几个月，黄青梅咿呀学语时，周惠之对着宝宝说：“我是惠姨。”
七
三年以后，初中毕业的方梅初重返杭州，就读浙江省立第一师范学校，母亲也随他回到杭州。他带着苏州的气息，去重温杭州的旧梦。同学问他哪里人，他脱口而出“苏州人”，说完他想起父母亲的故乡诸暨。母亲不奇怪，觉得儿子的苏州话比诸暨话说得更好。
方黎子告诉方梅初，一师是所不错的学校，以前叫浙江官立两级师范学堂。说到校长经亨颐，父亲大赞道：“子渊先生是位大教育家。”方梅初在校园里见到了经亨颐、陈望道等先生，也见过学长俞秀松、施存统等。他拿着《新青年》在校园漫步，鲁迅的《狂人日记》让他震惊。鲁迅看史书的感觉，竟然是满本都写着“吃人”二字。方梅初请教周鹤声先生。这位从国立武昌高等师范学校毕业回到杭州教书的先生，讲授历史课和文献课，方梅初很喜欢听他讲课，还悄悄模仿他的板书。周鹤声回答说：“鲁迅就是之前在这里教过书的周树人先生。”看着满眼疑惑的方梅初，先生说，“历史有不同的读法。”方梅初逐渐喜欢上了古典文献，沉迷于故纸堆，常向周先生请益，周先生说：“你是读书的种子，好好读书。”
他没有去过遥远的北京，但感觉一师校园应该像北京了。五四运动爆发，他自己的血也热了，跟着杭州学生联合会组织的游行队伍上了街。在市区集会时，他第一次看到俞秀松。这位戴着圆边眼镜的英俊学长慷慨激昂，演讲结束时高呼：“打倒日本帝国主义！”“废除不平等条约！”他应声举起了手臂。走了大半天，方梅初觉得累了，便回到教室，坐在那里没精打采地翻书。这天是周鹤声先生的课，教室里只有三三两两几个学生。他无聊地朝室外张望，周先生进了教室。几个学生立马站起来，周先生说：“我随便来看看的，不上课了，你们自己看书吧。”周先生随后走出了教室，方梅初也起身跟过去，两人一路闲聊。周先生课上不苟言笑，中山装的风纪扣从来都是扣着的。课余周先生与学生谈笑风生，判若两人。听说方梅初从苏州来，周先生说：“我是诸暨人，和西施同乡，这样说来，我们很有缘分。”方梅初告诉周先生，他父母亲也是诸暨人，邀先生假期可以去灵岩山看看。周先生说：“想去苏州的，我很喜欢采芝斋的松子糖和乌梅饼。”周先生无意间说的话，方梅初记在心里了。
礼拜日回家，父亲问方梅初：“你上街游行了吗？”方梅初如实告诉父亲：“跟随同学走了半天，又回教室看书了。”方梅初看父亲的表情，好像是点头又好像是摇头，一向爽快果断的父亲没有给他明确答案，这反而让方梅初内心忐忑。晚餐时，父亲没有再和方梅初说学校的事。方梅初主动问父亲这情形如何自处，父亲说：“该游行就游行，该读书就读书。”方梅初觉得父亲这话没有给他答案，反而释然了。
暑假回苏州，方梅初去了一趟观前街的采芝斋。回到学校，他提着两盒松子糖、两盒乌梅饼，慌慌张张地去了教员宿舍，轻轻敲了敲周鹤声的门。周先生见状，说：“我随便一说，你倒记住了。”他爽快地接过松子软糖和乌梅饼，随即打开盒子，含了一块松子糖，连连点头说，“是这个味道，是这个味道。”方梅初站在门口，不知所措，结结巴巴地说：“先生喜欢就好。”周先生说：“你给我送了礼物，我请你吃晚餐。”
翌年三月，一师风潮正酣时，方黎子托人捎话让方梅初尽快回家一趟。方梅初匆匆赶回，见到父亲，问有什么急事。父亲问：“你读过施存统的《非孝》吗？”
“读过。”
“你对教育厅的行为持什么态度？”
方梅初没有想到父亲喊他回来是说这事。他告诉父亲：“我拥护经校长，反对开除施存统，反对解聘陈望道先生，反对解散一师。经校长说了，讲错了可以纠正，总比不讲好得多。”
对儿子这一回答，方黎子没有即刻表态，又问周鹤声先生是什么态度。方梅初说：“周先生大概也是这样的态度吧。”方黎子明快地点点头，说：“我赞同你和周先生的态度。”方梅初很诧异，这是父亲第一次肯定他。他描述了学校的情景，很多学生围坐在操场，与军警对峙，不肯散去。
“你去操场了吗？”
“我在外围看了看，没有静坐，但我赞同同学们的口号。”
“什么口号？”
“我们情愿为新文化而牺牲，不愿在黑社会中做人。”
方黎子没有继续问下去，微笑着说：“你可以回学校了。”方梅初起身时，方黎子又说，“我昨天见过经校长了，没有说你是他的学生。”方梅初觉得父亲这样处理很好，他问父亲：“您和经先生也熟悉？”方黎子点点头。
方梅初走后，方黎子对杨凝雪说：“这孩子也不是一点不像我。懂是非，不付诸行动，是半个革命者。让我放心的是，他不会激进，也不会堕落。”或许杨凝雪并不希望儿子像父亲那样，便说：“为什么非要像你呢？尊重梅初的选择吧。竹松像你吧，又如何？”方黎子不吭声了，他也不晓得方竹松在上海干什么。不久前去上海见儿子，父子俩匆匆忙忙说了差不多一刻钟的话。方竹松和他道别时，他再次意识到，这孩子和他的信仰并不一样。最像他的儿子，突然又不像他了。
方梅初遇到了出校门散步的周鹤声。周先生介绍身边的一位先生说：“这是朱自清先生。”方梅初赶紧趋前：“朱先生好，听说您在写新诗。”朱自清先生微笑着和他点点头：“你是周先生的高足。”朱先生是年初任职一师的，讲授国文。方梅初已经修过国文课，知道朱自清先生从北京大学过来，便去旁听了朱先生的几节课。朱自清先生性格平和中正，从无刺激的言辞。他喜欢穿一件青布大褂，矮胖的身躯，方正的脸上加着一副眼镜，说扬州官话，方梅初不能完全听懂。朱先生的样子让方梅初无论如何都无法把他与“金刚”这两个字联系在一起。和朱先生一起来校任教的还有俞平伯、刘延陵、王祺，学生称赞他们为“后四大金刚”。而“四大金刚”夏丏尊、陈望道、刘大白和李次九，他只见过陈望道先生，也旁听了陈先生几节课。他告诉周先生，他去听了几节朱自清先生的国文课。周先生说：“好啊，朱先生中道平和，在一师有调和作用。”
方梅初知道学潮之后，一师好像也复杂了。风潮落幕，学生赢得了胜利。方梅初在校园没有再见到陈望道先生，周先生告诉他，陈先生离职了，有人在义乌看到他。陈先生还好吗？方梅初心想。
毕业前夕，方黎子把方梅初叫到自己的书房。方黎子在方梅初的平庸中看到了安稳。方竹松去闯荡了，他想让方梅初到一个安稳的地方去过安稳的生活。坐在书桌前的方黎子将一张手札装进信封里，递给方梅初：“你去苏州，找姜馆长。”方梅初看看信封上的名字，知道父亲说的姜馆长是江苏省立苏州图书馆的姜先生。他问父亲：“我不去学校做老师了？”父亲说：“我觉得你更适合在图书馆工作。”方黎子之前问过周鹤声先生方梅初适合什么工作，周先生以为方梅初对国文和文献学有兴趣，未必要去教书。方梅初觉得图书馆的工作也许适合他，至于在杭州还是去苏州工作他并不在意。父亲让他回苏州工作的原因是什么呢？
方黎子让方梅初坐下，然后说：“此事我考虑久矣。你不像竹松那样对政治有兴趣，这没有什么不好。共和几年了，时局依然动荡。你也几年没有见到竹松了，他在闯荡。苏州自古是温柔之乡，可大可久。你去苏州，先立业，再成家。”如果早几年父亲这样说，他会以为这是父亲对他的失望，此刻他觉得父亲的考虑符合他的性格。父亲语气恳切，似乎是在拜托他去做一件什么大事。方梅初有些动容，欲起身给父亲倒茶，父亲以为他要离开书房，又摆摆手让他坐下。方梅初后来意识到，他自己的一生似乎都是在父亲的摆摆手中尘埃落定的。
已经西行的阳光从窗户照进来，方黎子从书桌前走到窗边的藤椅上坐下，方梅初随即也坐到旁边的小红木椅上，面对父亲。这是他们父子少有的温馨时刻，父亲五十岁以后变得温和许多。方梅初看着父亲，就像读着一本书，他自知并没有完全读懂。父亲在革命和实业之间游刃有余，他自己可能更像母亲，温顺安静。坐在藤椅上的父亲闭目说：“你的性格不像我，安然一生就行。”父亲从椅子上站起来，双手抱了抱方梅初。方梅初神态别扭，父亲似乎从来没有这样温存过。
杨凝雪捧着两碗冲调好的藕粉进来，一碗放在藤椅旁的茶几上，一碗放在书桌上。看见母亲进来，父亲说：“以后我们若去苏州，就不住桃花坞大街了。”母亲望着方梅初诧异的神态说：“那是我们给你准备的婚房。”方梅初说：“这是哪一天的事呢。”父亲认真地说：“你下一次回杭州，最好带未婚妻一起过来看我们。”
方梅初不知所措，拿着父亲的信札，没有再接话。母亲看出了儿子的尴尬，笑着问方梅初是不是吃了晚饭再回学校。方梅初告诉母亲，周鹤声先生约了他见面，现在就准备回。出门时，母亲说：“这是周先生喜欢的乌梅饼，你带给周先生。”
提着乌梅饼的方梅初在学校门口遇见了周鹤声。周先生说：“这么巧，本想和你说说工作的事。”方梅初说：“我也想向先生请益，家父希望我去苏州工作。”周先生拍了拍他的肩膀说：“苏州很好啊。”方梅初邀请先生到苏州做客，先生说：“我可能要离开这里了，有机会去苏州。”方梅初问去哪里，周先生说：“定下来再告诉你。”
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Chinese
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16k
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T2. Sequencing & Structure Reconstruction
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T2.1 Global Timeline Reconstruction
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Full
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以上是一本长篇小说的节选内容，其中被节选的部分被打乱为七个情节片段。任务：重建情节顺序（因果/步骤链）。先输出“[答案]”标识符，再按行输出排序后的情节片段数字，不要输出任何其他内容。
输出示例：
[答案]
七
四
五
三
一
二
六
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以上是一本长篇小说的节选内容，其中被节选的部分被打乱为七个情节片段。任务：重建情节顺序（因果/步骤链）。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的情节片段数字。
输出示例：
<你的思考过程>
[答案]
七
四
五
三
一
二
六
|
[
"四",
"七",
"三",
"五",
"二",
"一",
"六"
] |
Hard
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104c4fca5d2cbafec3288b72ad10271a3807ffc29df957b62bb9413a924229ac
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创意信息技术股份有限公司
2022 年年度报告
【2023 年 4 月 25 日】
2022 年年度报告
第一节 重要提示、目录和释义
公司董事会、监事会及董事、监事、高级管理人员保证年度报告内容的真实、准确、完整，不存在虚假记载、误导性陈述或者重大遗漏，并承担个别和连带的法律责任。
公司负责人陆文斌、主管会计工作负责人刘杰及会计机构负责人(会计主管人员)刘杰声明：保证本年度报告中财务报告的真实、准确、完整。
所有董事均已出席了审议本报告的董事会会议。
报告期内，受益于数字经济领域市场需求增加、公司核心能力及市场影响力提升，公司实现营业收入 190,661.41 万元，同比增长 2.13%。公司员工持股计划在 2022 年度新增 4,611.63 万元费用摊销；数据库和 5G 业务营收同比大幅提升但因研发投入较大而导致亏损增加。
1、业务经营风险
（1） 业绩季节性波动风险
公司及全资子公司格蒂电力、邦讯信息和北京创意主要客户为电信运营商、大型企事业单位、政府部门、国家电网及其下属公司，客户通常实行预算管理制度和集中采购制度，一般在上半年审批当年的年度预算和固定资产投资计划，在年中或下半年安排采购招标，验收则集中在下半年尤其是第四季度。基于客户市场需求因素的影响，公司及格蒂电力、邦讯信息和北京创意存在明显的季节性销售特征，即每年上半年销售收入实现较少，全年的销售业绩集中体现在下半年尤其是第四季度。
（2） 产品或服务之稳定性风险
公司与客户签署的服务合同通常对公司提供的服务质量作出约定，若公司提供的服务不能满足客户合同规定，则根据共同确认的故障影响范围和损失程度，由公司向客户支付违约金。如因公司原因导致重大事故，客户有可能终止合同。因此，公司存在因不能完全按合同约定按时、按质、按量提供服务而丢失客户并进而影响公司经营业绩的风险。
2、技术风险
信息行业具有技术升级与产品更新换代迅速的特点，尤其是随着公司在大数据、新一代移动通信、物联网、云计算和人工智能等技术方向的继续深化研究，公司必须全面了解市场需求，跟上信息技术日新月异的发展速度。公司能否合理的应用这些技术来增加竞争优势具有一定的不确定性，若公司研发投入不足、不能及时更新技术，或在前瞻性技术创新领域偏离行业发展趋势，将面临产品竞争力和客户认知度下降的风险，进而影响经济效益甚至持续发展。
3、应收账款发生坏账损失的风险
公司欠款客户主要为大型企业及政府，资金实力雄厚，信用记录良好，公司发生坏账损失的风险程度相对较小，但未来若国内宏观经济形势发生较大波动，可能对地方政府财政收入产生较大影响，进而影响上述客户及时支付货款，公司存在因货款回收不及时、应收账款金额增多、应收账款周转率下降引致的经营风险。为规避应收账款的风险，公司一方面将采取更加严格的信用审批权限，严格规范信用审批程序，强化应收账款管理，加强事前审
核、事中控制、事后监管等措施；另一方面也会加强与客户间的沟通，加快回款速度，降低公司的财务费用，提高资金的使用效率。
公司计划不派发现金红利，不送红股，不以公积金转增股本。
目录
第一节 重要提示、目录和释义 2
第二节 公司简介和主要财务指标 9
第三节 管理层讨论与分析 13
第四节 公司治理 49
第五节 环境和社会责任 65
第六节 重要事项 66
第七节 股份变动及股东情况 75
第八节 优先股相关情况 82
第九节 债券相关情况 83
第十节 财务报告 84
备查文件目录
一、载有法定代表人陆文斌先生、主管会计工作负责人和会计机构负责人刘杰先生签名并盖章的财务报告文本；
二、载有会计师事务所盖章、注册会计师签名并盖章的审计报告原件；
三、经公司法定代表人陆文斌先生签名的 2022 年度报告文件原件。
释义
释义项 指 释义内容
集团、公司、母公司或创意信息 指 创意信息技术股份有限公司
董事会 指 创意信息技术股份有限公司董事会
监事会 指 创意信息技术股份有限公司监事会
《公司章程》 指 创意信息技术股份有限公司章程
《公司法》 指 《中华人民共和国公司法》
《证券法》 指 《中华人民共和国证券法》
报告期 指 2022 年 1 月-12 月
元、万元 指 人民币元、人民币万元
创意科技 指 四川创意科技有限公司
北京创意 指 北京创意云智数据技术有限公司
甘肃创意 指 甘肃创意信息技术有限公司
格蒂电力 指 上海格蒂电力科技有限公司
郑州格蒂 指 郑州格蒂电力智能科技有限公司
邦讯信息 指 广州邦讯信息系统有限公司
格蒂能源 指 上海格蒂能源科技有限公司
西安格蒂 指 西安格蒂电力有限公司
西安通源 指 西安通源智能电气技术有限公司
TITM 指 TROY Information Technology Malaysia sdn.Bhd
香港格蒂 指 格蒂（香港）股份有限公司
中国证监会 指 中国证券监督管理委员会
GICC 指 GRID INVESTMENT(COMBODIA) CO.,LTD
江西邦讯 指 江西邦讯信息系统有限公司
创智联恒 指 四川创智联恒科技有限公司
万里开源 指 北京万里开源软件有限公司
拓林思 指 北京拓林思软件有限公司
北京格蒂 指 北京格蒂智能科技有限公司
上海蒂玺 指 上海蒂玺国际贸易有限公司
数创物联 指 成都数创物联科技有限公司
国家电网 指 国家电网有限公司
MySQL
指 关系型数据库管理系统，由瑞典 MySQL AB 公司开发的数据库管理系统产品
中国移动 指 中国移动通信集团有限公司
创意云数 指 北京创意云数科技有限公司
创智联慧 指 创智联慧（重庆）科技有限公司
华为 指 华为技术有限公司
中电子 指 中国电子信息产业集团有限公司
中电科 指 中国电子科技集团有限公司
国电投 指 国家电力投资集团有限公司
华能 指 中国华能集团有限公司
华电 指 中国华电集团有限公司
晋能 指 晋能控股电力集团有限公司
建信金科 指 建信金融科技有限责任公司
创意数科 指 创意（成都）数字科技有限公司
创意信创二期 指 共青城创意信创二期产业投资合伙企业（有限合伙）
上海新迪
指 上海新迪数字技术有限公司（曾用名：杭州新迪数字工程系统有限公司）
广东中塔讯 指 广东中塔讯科技有限公司（曾用名：广东中塔讯传媒有限公司）
第二节 公司简介和主要财务指标
一、公司信息
股票简称 创意信息 股票代码 300366
公司的中文名称 创意信息技术股份有限公司
公司的中文简称 创意信息
公司的外文名称（如有） Troy Information Technology Co., Ltd.
公司的外文名称缩写（如有） Troy Information
公司的法定代表人 陆文斌
注册地址 成都市青羊区万和路 99 号丽阳天下 7-9 室
注册地址的邮政编码 610000
公司注册地址历史变更情况 无
办公地址 成都市高新西区西芯大道 28 号
办公地址的邮政编码 611731
公司国际互联网网址 https://www.troy.cn/
电子信箱 [email protected]
二、联系人和联系方式
董事会秘书 证券事务代表
姓名 黄建蓉 罗群
联系地址 成都市高新西区西芯大道 28 号 成都市高新西区西芯大道 28 号
电话 028-87827800 028-87827800
传真 028-87825625 028-87825625
电子信箱 [email protected]
[email protected]
三、信息披露及备置地点
公司披露年度报告的证券交易所网站 深圳证券交易所 http://www.szse.cn
公司披露年度报告的媒体名称及网址 证券时报、上海证券报、证券日报、中国证券报、巨潮资讯网 http://www.cninfo.com.cn
公司年度报告备置地点 公司董事会办公室
四、其他有关资料
公司聘请的会计师事务所
会计师事务所名称 信永中和会计师事务所（特殊普通合伙）
会计师事务所办公地址 北京市东城区朝阳门北大街 8 号富华大厦 A 座 8 层
签字会计师姓名 宋朝学、陈明坤
公司聘请的报告期内履行持续督导职责的保荐机构
☑适用 □不适用
保荐机构名称 保荐机构办公地址 保荐代表人姓名 持续督导期间
中信证券股份有限公司 成都市高新区天府大道北段 966 号天府国际金融中心 11
号楼南塔 10 层
叶建中、郭浩 2021-10-28 至 2023-12-31
及募集资金使用期间
公司聘请的报告期内履行持续督导职责的财务顾问
☑适用 □不适用
财务顾问名称 财务顾问办公地址 财务顾问主办人姓名 持续督导期间
招商证券股份有限公司 广东省深圳市福田区福华一路 111 号招商证券大厦 26楼
傅承、王志伟 2016 年 12 月-2017 年 12 月
及募集资金使用期间
五、主要会计数据和财务指标
公司是否需追溯调整或重述以前年度会计数据
□是 ☑否
2022 年 2021 年 本年比上年增减 2020 年
营业收入（元） 1,906,614,057.81 1,866,876,728.44 2.13% 2,006,470,833.56
归属于上市公司股东的净利润（元） -56,788,821.46 -21,727,373.90 -161.37% -779,704,134.15
归属于上市公司股东的扣除非经常性损益的净利润（元）
-97,806,412.36
-37,471,940.21
-161.01%
-789,137,516.57
经营活动产生的现金流量净额（元） -596,312,207.21 73,021,262.12 -916.63% 177,525,816.67
基本每股收益（元/股） -0.0952 -0.0411 -131.63% -1.5033
稀释每股收益（元/股） -0.0952 -0.0411 -131.63% -1.5033
加权平均净资产收益率 -2.45% -1.43% -1.02% -39.25%
2022 年末 2021 年末 本年末比上年末增减 2020 年末
资产总额（元） 3,881,898,706.00 3,773,590,558.03 2.87% 3,247,428,604.75
归属于上市公司股东的净资产（元） 2,336,737,373.92 2,349,788,113.60 -0.56% 1,680,310,512.38
公司最近三个会计年度扣除非经常性损益前后净利润孰低者均为负值，且最近一年审计报告显示公司持续经营能力存在不确定性
□是 ☑否
扣除非经常损益前后的净利润孰低者为负值
☑是 □否
项目 2022 年 2021 年 备注
营业收入（元） 1,906,614,057.81 1,866,876,728.44 -
营业收入扣除金额（元） 10,196,557.18 117,597.41 按净额法确认的收入
营业收入扣除后金额（元） 1,896,417,500.63 1,866,759,131.03 -
六、分季度主要财务指标
单位：元
第一季度 第二季度 第三季度 第四季度
营业收入 377,757,767.70 253,681,960.55 435,668,178.92 839,506,150.64
归属于上市公司股东的净利润 33,033,300.58 -30,242,317.25 -35,632,520.15 -23,947,284.64
归属于上市公司股东的扣除非经常性损益的净利润
13,153,940.98
-34,323,239.04
-39,942,415.90
-36,694,698.40
经营活动产生的现金流量净额 -146,640,812.92 -80,455,995.16 36,425,721.19 -405,641,120.32
上述财务指标或其加总数是否与公司已披露季度报告、半年度报告相关财务指标存在重大差异
□是 ☑否
七、境内外会计准则下会计数据差异
1、同时按照国际会计准则与按照中国会计准则披露的财务报告中净利润和净资产差异情况
□适用 ☑不适用
公司报告期不存在按照国际会计准则与按照中国会计准则披露的财务报告中净利润和净资产差异情况。
2、同时按照境外会计准则与按照中国会计准则披露的财务报告中净利润和净资产差异情况
□适用 ☑不适用
公司报告期不存在按照境外会计准则与按照中国会计准则披露的财务报告中净利润和净资产差异情况。
八、非经常性损益项目及金额
☑适用 □不适用
单位：元
项目 2022 年金额 2021 年金额 2020 年金额 说明
非流动资产处置损益
（包括已计提资产减值准备的冲销部分）
1,862,782.89
19,262.48 主要为处置长期股权投资产生的投资收 益。
计入当期损益的政府补助（与公司正常经营业务密切相关，符合国家政策规定、按照一定标准定额或定量持续享受的政府补助除外）
20,937,707.89
12,819,383.23
13,700,695.33
主要为收到的政府对企业的扶持金、一般专利资助费、企业研发机构建设专项的补助、专项资金等。
委托他人投资或管理资产的损益 6,437,066.94 196,575.34 435,923.08 理财产品投资收益
除同公司正常经营业务相关的有效套期保值业务外，持有交易性金融资产、交易性
18,983,969.11
5,917,980.90
7,114,560.00 持有交易性金融资产产生的公允价值变动损益。
金融负债产生的公允价值变动损益，以及处置交易性金融资产交易性金融负债和可供出售金融资产取得的投资收益
除上述各项之外的其他营业外收入和支出 -81,929.99 -520,959.74 -10,527,979.79
减：所得税影响额 6,718,549.52 2,537,246.96 1,165,521.19
少数股东权益影响额（税后） 403,456.42 150,428.94 124,295.01
合计 41,017,590.90 15,744,566.31 9,433,382.42 --
其他符合非经常性损益定义的损益项目的具体情况：
□适用 ☑不适用
公司不存在其他符合非经常性损益定义的损益项目的具体情况。
将《公开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》中列举的非经常性损益项目界定为经常性损益项目的情况说明
□适用 ☑不适用
公司不存在将《公开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》中列举的非经常性损益项目界定为经常性损益的项目的情形。
第三节 管理层讨论与分析
一、报告期内公司所处行业情况
公司需遵守《深圳证券交易所上市公司自律监管指引第 3 号——行业信息披露》中的“软件与信息技术服务业”的披露要求
根据中国证监会颁布的《上市公司行业分类指引（2012 年修订）》，公司属于软件和信息技术服务业；根据《战略性新兴产业分类（2018 年修订）》，公司处于云计算、大数据与移动互联网服务行业。与公司核心技术和产品密切相关的大数据、数据库和 5G 行业发展情况如下：
（一）大数据行业
根据 IDC 发布的《2022 年 V2 全球大数据支出指南》，预计 2021 年全球大数据市场的 IT 总投资规模为 2176.1 亿美元，并有望在 2026 年增至 4491.1 亿美元，五年预测期内实现约 15.6%的复合增长率（CAGR）；2026 年中国大数据 IT支出规模预计为 359.5 亿美元，市场规模位列单体国家第二。从增速的角度来看，中国大数据 IT 支出五年 CAGR 约为 21.4%，位列全球第一。IDC 认为，随着数字经济、数字化转型、新基建等投资建设进一步加快，中国终端用户对大数据硬件、软件、服务的需求将稳步扩大。
根据中国信通院《大数据白皮书（2022 年）》，2021 年，我国大数据产业规模增加到 1.3 万亿元，复合增长率超 30%；2022 年，党中央、国务院先后发布《要素市场化配置综合改革试点总体方案》、《关于加快建设全国统一大市场的意见》、《关于构建数据基础制度更好发挥数据要素作用的意见》等行业纲领性文件，为有效释放数据要素价值奠定制度基础和行动准则。31 个省（市）通过发布大数据专题规划、数字经济总体规划等形式，明确各地大数据技术、产业、应用的发展路线图和时间表，我国大数据产业迎来新一轮战略机遇期。
（二）数据库行业
根据中国信通院《数据库发展研究报告（2022 年）》，2021 年全球数据库市场规模 697 亿美元，其中中国数据库市场规模为 47 亿美元（约合 305.8 亿元人民币），占全球 5.2%。预计到 2026 年，全球数据库市场规模将达到 955 亿美元，中国数据库市场总规模届时将达到 143 亿美元，市场年复合增长率（CAGR）为 24.9%，表明中国数据库市场发展处于快速上升期。
2022 年，我国信息技术应用创新工作持续深入，政策加码“2+8”重点行业国产数据库替代，其中尤以金融、政务和运营商领域力度最大。以金融行业为例，中国人民银行《金融科技发展规划(2022-2025 年)》，中国银保监会《关于银行业保险业数字化转型的指导意见》，四部门《金融标准化“十四五”发展规划》在当年密集发布，从顶层设计上明确国产数据库在金融行业的发展方向和建设目标，引领数据库技术、标准和实践的持续创新。根据《2022 年中国数据库行业年度分析报告》，2022 年国产数据库采购主要集中在金融、政府、电信领域，占比分别为 46%，18%，12%。结合当
前错综复杂的国际形势，在市场与政策的双重引导下，国产数据库产业已经步入快车道，即将进入提质增效期。根据赛迪顾问预测，国内厂商针对原有 Oracle、MySQL 产品的更换迁移会成为新的市场增长点，预计到 2025 年，国内厂商数据库市场将达到 430.6 亿元。
（三）5G 行业
根据中国信通院《中国 5G 发展和经济社会影响白皮书（2022 年）》，我国 5G 发展加速驶入快车道。在网络建设方面，国内已开通 5G 基站数突破两百万个，占全球 5G 基站总数的 60%以上；在融合应用方面，5G 行业应用“广度”和 “深度”双管齐下，已覆盖国民经济 97 个大类中的 40 个。5G 行业应用案例累计超过 5 万个，在工业、能源、医疗等先导行业已实现规模推广，目前已在全国 523 家医疗机构、1796 家工厂企业、201 家采矿企业、256 家电力企业中得到商业应用，并在文旅、物流、教育、智慧城市等潜力行业挖掘出 5G+虚拟仿真实验/训等应用场景、5G 安防无人机等成熟应用场景。
此外，随着以美国 Starlink“星链”为代表的低轨卫星通信产业蓬勃兴起，在 ITU（国际电联）低轨卫星轨道和频谱资源“先登先占+先占永得”原则下，各个国家和组织争相推动低轨卫星互联网产业发展。国内“5G/6G+低轨卫星通信”融合技术市场高速发展，基于 5G 关键技术和标准推动低轨卫星通信技术跨越式发展成为战略选择和行业共识。据 SIA 数据，2021 年全球卫星产业链共实现收入 2794 亿美元，Euroconsult 预测 2030 年低轨卫星市场规模复合增速有望超 30%。根据中航证券测算，近年来我国卫星互联网的空间基础设施卫星制造领域建设规模大约为每年 200 亿元，而其中卫星通信载荷相关转发器、控制系统、电源系统和天线系统价值量占比可达到 60%-70%左右。
二、报告期内公司从事的主要业务
（一）公司主要业务
公司以软件定义世界、信息成就未来为愿景，致力成为国内领先的数字化转型服务提供商。经过二十余年的持续发展，公司基于大数据、数据库和 5G 三大核心技术能力，构建起从感知层、网络层、平台层到应用层的全栈自主可控技术、产品和解决方案，广泛服务于政府、能源、通信、金融、交通等多个行业的 700 多家客户。公司各类业务的主要内容如下：
5G/卫星通信业务 5G 技术产品，主要包括 X86、 ARM 、 FPGA 的物理层源码，5G 前传加速卡，5G 前传交换机等。
5G 系统产品，包括 5G 扩展式皮基站、微基站，5G 核心网，5G 工业网关。
5G 垂直行业解决方案。
低轨卫星通信相关产品和解决方案。
物联网业务 主要包括物联网动力环境监控解决方案，包括基站、机房综合监控、移动油机调度管理、蓄电池监控管理、RFID（射频识别技术）资产管理、智慧环保综合云视平台等。
技术开发及服务 为客户提供数据网络、系统集成、开发和技术服务，结合软件、硬件与通信技术为用户提供综合信息化建设与服务业务。
报告期内，公司主营业务收入的构成情况如下表所示：
（单位：万元)
项目 收入 比例
技术开发及服务 100,933.58 52.94%
大数据产品及解决方案 72,329.48 37.94%
物联网产品 10,290.85 5.40%
数据库 4,809.77 2.52%
5G 2,297.48 1.21%
其他 0.24 0.00%
合计 190,661.41
（二）主要业务模式
公司的主要业务模式为：以下游客户数据采集、数据存储、数据处理、数据应用等需求为导向，通过自身研发和外部采购，以数据库产品、大数据产品及解决方案、人工智能产品、5G 相关产品、物联网产品、软件开发服务等形式，向客户提供实现数字化转型的产品及综合解决方案。
1、采购模式
公司根据与客户签订的合同，确定每个项目需要采购的产品和提供的服务，然后与对应的供应商 签订采购合同，采购内容包括硬件产品、软件产品和第三方服务等。采购人员根据合同需求并结合现有库存，将采购需求信息及时传递给供应商。在供应商选择方面，主要根据市场行情及过去采购记录综合评价各供应商的产品质量和企业信誉，结合供应商资质、规模和性质等标准，建立起由较多产品质量高、供货速度快、配套服务优良的知名企业构成的供应商体系。
2、销售模式
公司销售模式包括公开招标、竞争性谈判等。一般情况下，公司根据客户需求和当时的设备、服务市场价格预估订单的成本，然后根据公司的目标毛利率要求等因素制定销售价格。此外，公司软件类产品销售业务主要采取直销或区域代理的模式进行。
3、服务模式
公司的主要服务模式是根据客户需求，为客户提供咨询规划方案或建议书，与客户达成一致意见后，根据约定为客户提供专业化信息技术服务。公司为客户提供的服务包括系统的安装调试、运维管理及二次开发等。
三、核心竞争力分析
公司拥有操作系统、数据库、大数据等自主可控核心技术及软件产品，同时拥有 5G、物联网、人工智能、云/边缘计算等新型信息技术及解决方案，广泛应用于政府、能源、通信、金融、交通等领域，为超过 700 家客户提供数字化转型服务，主要竞争优势如下：
（一）全栈自主可控技术优势
公司通过在云计算、物联网、大数据、人工智能、数据库、5G 等技术领域的深耕布局，构建起基于数据要素全生命周期的全栈处理能力, 已完成技术链和产品矩阵的有机整合，正在由数据集成能力优势向数据智能能力优势迭代升级。在大数据方面，公司构建起从数据采集、传输、存储、治理到应用的数据要素全生命周期生产管理技术和产品体系，在城市治理、数字电力、智慧园区、数字乡村等新基建关键领域积累起标杆案例、能力引擎和成熟的交付体系，具备市场快速扩张的条件和能力；在国产数据库方面，公司数据库产品在安全性、可靠性、SQL 语法支持、应用适配方面拥有良好的自主可控能力，具有先进的并行计算与分布式架构，全面适配国产芯片和操作系统，符合国家“信创”整体要求；在 5G 方面，公司拥有基于 5G 的全自研无线通信核心技术，专业从事 5G 通信和低轨卫星通信业务。公司以卫星互联网作为核心业务方向，是低轨卫星宽带演进体制通信领域的先行者。
• （二）产学研用合作优势
公司与电子科技大学、东南大学、北京邮电大学、重庆邮电大学等高校开展大数据、人工智能及 5G 领域的产品研发和成果转化，协同打造了跨领域实体研发平台，覆盖从机器学习、计算平台、算法模型、ARM 架构基带处理等 5G 关键技术和应用场景等各个方面，以技术研发和科技成果转化为手段，形成前沿技术池、人才储备池，实现了技术研发、成果转化和人才培养的相容相促。报告期内，公司联合电子科大发布基于国产自主可控技术的“数据库一体机”、“数字融合平台”两项产品，引发行业关注；公司协同电子科大完成的《面向突发事件的大数据智能分析技术及应用》项目获得四川省科学技术进步三等奖。
（三）行业客户资源优势
公司在政府、能源、通信、金融、交通等多个领域积累了一大批优质客户资源，赢得良好的客户信任、用户粘性和品牌美誉度。报告期内，公司继续加强北京、成都双总部建设，巩固强化广东、陕西、
云南、海南、山西、河南等区域市场拓展力度。随着国家和行业信创政策加码，在创意信息统一品牌支 撑下公司核心能力板块技术市场协同能效持续提升，为公司自主可控技术产品和解决方案提供了全方位、全链条、强有力的市场支撑。借助强大的客户资源优势，公司逐步将自主可控产品应用到客户业务系统中，实现由信息技术综合解决方案输出向全栈国产化数字化转型方案输出的转变。
四、主营业务分析
1、概述
第一部分：2022 年公司总体经营情况
2022 年度，公司管理层围绕董事会制定的战略规划积极开展年度经营工作。一是持续加强大数据、数据库、5G 等战略业务的技术研发和产品升级，深化建设自主可控的全栈数字化转型能力体系，有效 提升了公司核心竞争优势；二是不断扩大战略业务在政务、能源、金融、运营商等优势行业中的市场份额、示范效应和品牌影响，公司的技术、产品及服务得到了客户的进一步认可；三是持续优化管理流程，严格控制业务风险，积极拓展客户市场，为公司迈入高质量发展阶段奠定坚实基础。
报告期内，受益于数字经济领域市场需求增加、公司核心能力及市场影响力提升，公司实现营业收入 190,661.41 万元，同比增长 2.13%。2022 年度，公司员工持股计划新增 4,611.63 万元费用摊销。另外，公司全年研发投入 32,631.57 万元，同比增长 20.34%，数据库和 5G 业务营收同比大幅提升但因研发投入较大而导致亏损增加。在上述因素影响下，报告期内公司实现归母净利润-5,678.88 万元，同比减少 161.37%。
报告期内公司的经营情况如下：
（一）推动战略业务发展，持续打造公司核心价值
报告期内，国家陆续出台一系列政策和措施，支持数字经济加快发展。公司积极响应国家战略，持续加大大数据、数据库和 5G 技术研发以及市场拓展，为客户提供全栈国产化产品及解决方案，公司核心竞争力得到进一步巩固和提高，核心价值日益突出。
1、大数据业务业绩快速增长，行业影响力稳步提升
公司持续加大在市场拓展、技术升级、产品打造和体系支撑等方面的投入，全面推动大数据业务 智能升级。聚焦政务和能源两大优势行业，快速形成产品打造、市场拓展、生态营造和品牌影响相融合的全面发展态势。报告期内，公司大数据业务收入 72,329.48 万元，同比增长 3.07%，毛利率为 29.14%。
技术研发方面，公司加速大数据产品由“数据+集成”向“数据+智能”的全面升级，继续以数据要素全生命周期管理为目标，持续打造并完善基础产品线、行业应用线"双线"核心产品。通过不断迭代
数据智能感知平台、智能大数据融合平台、大数据治理平台、低代码开发平台、流媒体智能边缘计算、数据中台、大数据可视化产品、敏捷数据自服务平台等数据治理技术产品，形成了完备的数字连接、数字赋能和数字创新能力，并在此基础上研发推广面向政务领域的诸如三脑协同、城市体征、事件流转、报表系统以及面向能源行业的低电压治理、配网互联互通、压降投诉敏感用户精准化预警等场景化工具化技术产品。加强 AI 能力建设，积累了 5 大类即目标检测类、OCR 文字识别类、人脸类、人员轨迹识别类和自然语言处理类共计数百个政务和能源相关的 AI 算法模型成果。大数据相关产品全面实现国产化兼容适配，进一步强化了数据治理及数据建模能力，达到国内同类领先水平。2022 年，公司在大数据领域新增发明专利 16 件（授权 5 件，实审 7 件，受理 4 件），实用新型专利 26 件（授权），外观设
计专利 6 件（授权），软著 107 件。
市场拓展方面，公司着力提高行业研究和数字化转型咨询队伍的专业能力，面向核心业务领域建设标准化的行业“能力引擎”和“知识库”，致力于为用户提供集“需求调研、规划设计、集约建设、运维管理”于一体的全链条服务，大大提高了客户满意度和粘性。
在政务大数据市场，公司聚焦新型智慧城市建设、基层社会治理、智慧园区、智慧医保等重点业务领域，充分发挥自主可控基础软件以及全栈大数据能力优势，做好横向重点省份的市场突破，打造 “产粮”根据地。公司在四川、云南、广西、湖北、海南、重庆等区域政务大数据市场拓展有力，深度参与“智慧蓉城”三级平台建设。报告期内，公司新增承建 5 省 8 市 21 区县的五十余个政务大数据项目。公司智慧城市解决方案完成了全新升级，具备“三脑协同、体征调度、网格处理”三大特点。一是实现三脑协同，完成城市-镇街-社区三级运行管理平台数据打通和业务场景事件从发起、流转、处置、勘验和归档五大环节三级闭环处置；二是实现体征调度，围绕民生稳定、公共安全、公共管理、经济运行和营商环境等多个维度的上千项基础指标构建起数据采集、更新、评分、预警的全环境机制和体系，并能进行基于体征指数的精准调度；三是实现网格处理，构建民生服务、城市管理、劳动保障、社会治安等 20 余种事件标签，将数百个网格的地理信息数据、人员数据、组织机构数据等，通过系统角色绑定、权限控制和流程节点控制的方法，让所有的资源标签与发生的事件进行智能化识别和关联，并运用分布式流程引擎技术实现事件的自动识别、快速派单和智能处置。该解决方案已经在多地落地应用并得到了客户的高度认可。
在能源大数据市场，公司紧跟国家《“十四五”现代能源体系规划》，基于能源业务“采、融、存、规、治、管、用”等应用方向，加快能源大数据相关成熟产品复制推广和新场景技术方案孵化，持续迭代能源相关数据中台、储能调度、营销推广、安全生产、能碳管理等产品和解决方案，同时提供能源数据资源化全生命周期技术和咨询服务。报告期内，公司积极拓展国电投、华能、华电、晋能等能源客户相关业务。在电网侧，公司重点围绕国家电网、南方电网数字变配电推动市场拓展，依托山西电网
作为新业务示范基地推出智慧变电站、智慧配电房解决方案。其中，智慧变电站解决方案主要依托物联网、AI、云边协同、数字孪生等新技术，在贯彻“一体化设计、数字传输、标准接口、远传控制、智能联动”等理念的基础上实现站内设备自动巡检、人员行为智能管控、主辅设备智能联动、设备异常主动告警、告警/故障智能决策和资产全生命周期管理等应用；智慧配电房解决方案在传统的配电自动化技术基础上，引进并融合新型传感器、云计算、大数据、物联网和人工智能等新技术，实现配电房各类电器设备监测、运行环境监测、故障隐患排查和智能运维。公司相关解决方案在忻州、介休等地完成了标杆案例打造，在陕西、内蒙、河南、北京等优势区域网省及地市进一步加大市场复制推广力度。
生态建设方面，公司在报告期内持续加强与国内多地华为办事处、政务一网通及电力数字化军团合作。创意信息“大数据治理平台 V1.0”、“数字连接平台 V1.0”等产品在构建、兼容性、安全、性
能四个维度顺利通过认证，成功入选首批欧拉技术测评方案；在“2022 华为・龙口城市智能体与云产业峰会”上，接牌成为华为政务一网通军团商业市场首批试点合作伙伴之一；作为华为全联接大会战略
级赞助伙伴之一受邀参会，与超过 3000 位与会嘉宾共探行业数字化转型的发展方向和未来机遇；“基于 openEuler 的数字链接平台打造智慧社区生态解决方案”成功斩获鲲鹏应用创新大赛 2022 全国总决赛 openEuler 赛道唯一金奖。公司与中科星图股份有限公司、达而观信息科技（上海）有限公司、中译语通科技股份有限公司、凌华科技（中国）有限公司、云宏信息科技股份有限公司、四川华鲲振宇智能科技有限责任公司、四川省振兴天府数字产业有限公司、成都大数据集团股份有限公司等伙伴深化战略合作关系，加强技术、产品和市场合作，为政府和企业数字化转型提供全栈自主可控解决方案。
报告期内，公司揭榜工信部 2022 年大数据产业发展试点示范任务，跻身华为政务一网通军团商业
市场首批试点（能力型）合作伙伴和 2022 大数据企业投资价值百强榜，再次荣获 2022 中国大数据企业
50 强、2022 数字赋能先锋企业 30 强、2022 信创产业明星企业等多项殊荣，协同电子科大获得四川省科学技术进步三等奖，被评为四川省数字化转型促进中心、成都产业“建圈强链”人工智能产业链链主企业和大数据产业链准链主企业。在信通院发布的 2022 中国大数据产业生态地图中，公司入选基础支撑层中的基础软件、数据服务层的数据分析与可视化、融合应用层的金融及通信四大领域。公司旗下大数据产品和解决方案获得 2022 年信息技术自主创新方案、2022 大数据“星河”标杆案例、数字中国·西部第一届成果（产品）最具潜力推广奖二等奖、2021 年度数字乡村十佳解决方案等。
2、数据库业务进入 MySQL 路线第一梯队，营业收入实现大幅增长
2022 年，公司继续加大万里数据库研发投入，持续提升数据库产品的稳定性和易用性以及周边工具的完整性。同时，推动 GreatSQL 开源社区品牌建设，扩展公司营销渠道，打造中国 MySQL 路线信创数据库首选品牌。公司数据库业务基于标杆案例打造的品牌影响力日益提升，在金融、政企、能源、运
营商等行业取得重大进展。报告期内，公司数据库业务收入 4,809.77 万元，同比增长 66.98%，毛利率为 78.86%。
技术研发方面，2022 年，公司持续加强数据库核心能力研发，着力推动分布式数据库的云原生、并行计算、存储模型、优化器算法、异构和同构兼容、海量数据实时分析、数据库系统吞吐等的优化提升。万里安全数据库软件（NewSQL 产品系列)）通过迭代已升级到 5.2 版本，TPC-C 性能总体提升超过 40%，重构和增强了周边配套的数据库管理平台 GreatADM 和数据迁移服务平台 GreatDTS，整合形成了万里安全数据库、数据库运维管理平台、数据迁移服务平台、目录服务系统等在内的一站式数据库产品与解决方案，真正实现了国产数据库的“极致稳定、极致性能、极致易用”。2022 年，公司在数据库领域新增发明专利 10 件（授权 4 件，实审 5 件，受理 1 件），软著 16 件。
市场拓展方面，在金融领域，公司着力打造标杆案例，针对光大银行、建设银行等重点客户深入挖掘 MySQL 技术相关的业务改造机会，持续提升产品技术占有率，并向中小型银行进行推广。此外，公司与存量客户中信建投在前期合作基础上持续签约，巩固万里数据库在券商行业的国产替代标杆地位；在运营商领域，在 2020 年中移动自主可控 OLTP 数据库联合创新一期项目实践成果的基础上，2022 年成功中标中国移动分布式 OLTP 数据库及工具框架采购项目，持续服务于中国移动集团下属 10 余个省市公司多个业务系统，并实现在某省“应用集成平台（核心开关机）系统”的全量数据割接，完成运营商核心业务系统国产数据库去 O 替代的里程碑式突破；在能源领域，通过与行业应用开发商的深度绑定实现业务新突破。在与国家电网持续合作基础上进行业务延伸，为北京冬奥会新能源供电提供技术保障。
生态建设方面，深度参与数据库产品标准建立，全面适配国产主流基础软硬件。报告期内累计完成了近 200 次产品兼容认证，并完成了与中国移动、通达信、格尔软件等多款应用产品的适配互认证，构建起国产基础软硬件的完善生态体系。同时，公司在打造国内 MySQL 开源技术路线根分支的生态建设中持续发力，GreatSQL 开源技术生态获得信通院可信开源社区认证，通过了中国信通院可信开源项目成熟度能力检验，并于 9 月合入 openEuler 软件仓库，成为首个加入 openEuler 生态的 MySQL 系国产开源数据库。
报告期内，公司控股的北京万里开源软件有限公司被遴选为国家级专精特新小巨人企业。万里数据库通过首批金融级分布式数据库标准符合性测试、首批金融开源技术服务能力评估、金融场景应用评估参评机构证书、信息系统安全评测报告安全等级三级认证、国家密码管理局密码检测证书和中国电科院安全等级认证，入选 IDC 中国分布式数据库创新者名录、赛迪报告挑战者象限和全球数据库产业图谱
（2022），参编入选中国信通院《数据库发展研究报告（2022 年）》等权威报告，相关项目案例被遴选为 2021 十大优秀基础软件应用案例、2022 爱分析·中国数据智能最佳实践案例等。
3、5G 技术应用升级，抢跑低轨卫星通信赛道
报告期内，公司延续 5G 技术开放的创新商业模式，为 5G 设备商、运营商、高校及科研机构提供 5G 技术服务。在垂直行业，公司重点拓展低轨通信卫星通信市场，已同多家卫星制造商、卫星载荷总体单位开展了紧密、持续的合作。报告期内，公司 5G 业务收入 2,297.48 万元，同比增长 54.06%，毛利率为 72.21%。
技术研发方面，公司持续研发 5G 物理层技术、高精度定位技术、多天线技术、ORAN 技术等全国 产化 5G 核心技术，积极参与卫星通信行业相关标准制定，尤其是在广播同步、抗干扰和波束管理等核心标准和算法上深度参与。公司已完成在卫星通信的场景下大动态时延、抗大多普勒频偏、抗干扰等关键技术研发，构建了卫星通信产品技术体系。2022 年，公司在 5G 领域新增发明专利 48 件（授权 9 件，实审 28 件，受理 11 件），实用新型专利 6 件（授权 4 件，受理 2 件），外观设计专利 3 件（授权），
软著 8 件。
市场拓展方面，在 5G 业务市场，公司在产业链中的核心价值日益凸显。通过优化迭代前传加速卡作为 5G 基站核心产品实现降本增效，形成差异化竞争优势；公司在 5G 技术市场的辐射效应扩大，运营商研究院、国家重点实验室等高校及科研平台核心客户数量持续增加。在低轨卫星通信市场，公司已同多家卫星制造商、卫星载荷总体单位紧密、持续的合作，技术和产品处于国内领先水平。
生态建设方面，报告期内，公司与电信运营商、低轨卫星通信运营商、浙江清华长三角研究院等产业链上下游公司构建起良好的合作生态。
（二）稳固基础业务规模，增强公司发展韧性
2022 年，公司以数字新基建为契机，进一步聚焦优质客户和优势领域，稳步扩大营收规模。报告
期内，公司技术开发及服务业务收入 100,933.58 万元，同比减少 1.09%；物联网业务收入 10,290.85万元，同比增长 3.89%。
技术开发服务业务方面，公司持续聚焦运营商、能源、金融等优质客户，致力于为客户提供更好的信息化技术、产品与解决方案。面向能源客户，大力拓展国家电网多站融合、边缘计算和大数据中心
（IDC）机房项目机会。报告期内，公司中标四川中电启明星信息技术有限公司分布式数据中心建设项目，为其构建规模化分布式边缘算力集群，助力客户打造数字底座；面向政府及运营商客户，进一步强化公司整体技术优势，为其提供应用开发、网络集成、系统集成和运维管理等多种服务，行业竞争力得到有效保持。
物联网业务方面，公司稳步开展动力环境监控（FSU）业务，探索依托成熟物联网产品技术，积极推进“物联网+”业务，完成综合云视、地铁屏蔽门防护、高铁车站安全防范等产品研发迭代，在持续深耕运营商市场基础上，向轨道交通、能源、政务等领域拓展。报告期内，中国移动动环监控系统项目框架持续下单，各地市维持原有份额，多省陆续中标门禁、模块、维保服务等动环监控延伸项目。“物
联网+”业务在广州地铁、佛山地铁、深圳地铁、南通地铁、山东电网及部分地市水电站开展试点，效果良好。
（三）提高公司治理水平，促进公司高质量发展
公司严格按照《公司法》、《证券法》、《上市公司治理准则》和《公司章程》以及中国证监会和深圳证券交易所相关法律法规的规定，完善内部控制体系，履行信息披露义务，提高规范运作水平，维护投资者关系，加强对募集资金、对外担保、关联交易等事项的管理，不断提高上市公司治理水平和运行质量，促进公司规范有序高质量发展。
报告期内，公司着力推进财务和内控制度及流程优化。在建立统一的核算系统和资金池系统基础上，以全面预算管理为抓手推进公司成本费用管控、资源优化配置和经营管理能效提升。同时健全企业内部控制制度，系统开展流程审计和专项审计，进一步完善审计的日常监督与监察职能。针对不同子公司的业务特点和商业模式逐步完善分层分类的标准化管理流程，提高风险管理的适用性、精准性和能效度，尤其注重强化大体量项目的闭环管理和穿透管理。
第二部分：2023 年公司经营计划
2023 年，公司将抢抓数字中国建设机遇，持续聚焦大数据、数据库和 5G 三大战略业务，坚持融合创新，强化市场拓展，力争实现大数据业务的高质量发展、数据库业务的跨越式发展和 5G 技术在卫星互联网领域的重点突破，带动公司步入新一轮向上发展周期。
1、坚持技术立业，持续打造领先产品及解决方案。进一步做好三个技术统筹、发挥好两大技术优势。做好行业标准参建与技术研发的统筹、基础产品研发与项目定制化开发的统筹、技术能力构建与项目实施支撑的统筹，通过标准引领和项目实战，紧扣客户需求和业务场景，打造行业标杆案例，做好能力引擎建设。发挥好操作系统、数据库、5G 等自主可控产品和技术优势以及全栈数字化转型解决方案优势，提高公司自主可控技术品牌影响力。一是围绕数字基座、数字连接、数字赋能和数字创新四大核心平台建设，持续提升数据要素资产化相关技术能力。在数字底座方面，基于万里数据库和拓林思操作系统等自有基础软件产品推出面向特定场景的国产化一体机设备，同时做好各类产品和平台与国产软硬件的全面适配调优，夯实全栈国产数字底座和全栈适配基础设施底座的“双底座”能力；在数字连接方面，持续拓展边缘网关本地计算、资源池化、算力动态调度能力和本地化自主响应能力，同时完善物联网监测端至控制端的全链路管控体系，提高多元数据接入和万物互联支撑能力；在数字赋能方面，重点建设创意信息 MLOps AI 能力平台。在通用模型和大模型的基础之上，联通上层深度学习框架和底层 AI硬件，实现数据准备、模型预备、模型构建/更新、模型部署、模型运维/监测等 AI 项目研发与运营全生命周期管理，打造云边端一体化能力，推动 AI 落地从满足基本需求的“能用”变为满足特定场景需求的“好用”，支撑公司“大数据+智能”业务高速可持续发展；在数字创新方面，不断优化迭代政务
和能源行业数字化转型解决方案的基础上，探索构建工业、军工行业数字化转型能力引擎并形成整体解决方案；二是将持续推动万里数据库产品迭代，进一步提升数据库产品的稳定性和易用性，有效满足有 “强一致、大并发、有持续扩容需求”的在线联机交易等业务场景对数据库产品的性能要求；积极布局开源生态，促成 GreatSQL 社区加入开放原子基金会。通过资源隔离、数据分片、并行计算等方式，进一步增强万里数据库的分析能力以满足客户的多元需求；基于欧拉和鸿蒙发布拓林思商业发行版本，推动拓林思操作系统尽快通过信创产品测评；三是在持续深耕 5G 技术和融合应用市场的同时，公司将全面参与卫星互联网行业标准建设并重点打造卫星通信产品，完成通信产品地面验证及相关产品化开发。
2、坚持融合创新，加强业务市场整体推进。2023 年，公司将围绕业务协同来牵引、强化集团统
一品牌建设，进一步发挥聚合效应、平台效应和品牌效应，为市场业务拓展奠定良好基础。一是从技术、市场、生态和公共关系等多个维度入手制定全年品牌推广计划，树立良好的市场形象，提高在细分行业 和重点区域市场中的客户认知度和品牌影响力；二是进一步促进各子公司市场团队和渠道伙伴的立体整合，优化融合发展工作机制，充分激发全国性组织布局的协同集约优势；三是顺势抢占新基建国产化替代市场，聚焦党、政、金融、运营商、能源、交通等与公司主营业务方向相匹配的信创关键领域，充分运用基础软件自主可控技术和产品优势，加大国产软硬件兼容和认证，提高基于操作系统和数据库的国产化一体机和整体解决方案的市场份额，提高行业竞争壁垒，带动增量业务项目落地；四是针对不同业务采取不同的市场策略和打法。政务大数据要加快区域市场横向扩张力度，重点将新型智慧城市相关产品和解决方案向更多区域进行复制推广。强化与产业龙头企业合作，大力拓展“产业大脑+”智慧园区
市场，快速提升业务体量；能源大数据要加强能源领域纵向挖掘深度，打穿打透行业市场。在抓好智慧变（配）电站业务的基础上，持续深耕电力生产领域的智能化和数字化业务，重点拓展山西、天津、湖南、湖北、江西、甘肃等能源市场。数据库市场要在持续拓展运营商、能源和政企客户的基础上，进一步树立在金融领域的头部地位，扩展与光大银行、建信金科等标杆客户的合作广度和深度，并持续扩大在券商行业的市场份额，同时做好国有商业银行和城商行的市场拓展，形成万里数据库在国有大行、股份制银行、城商行和券商等金融客户的全面覆盖。5G 市场在保持 5G 技术和融合应用市场增长的同时，形成与卫星互联网相关厂家和组织的良好合作，快速提升卫星互联网市场的营业收入。
3、坚持产业协同，完善合作伙伴生态建设。2023 年，公司将从技术、市场、产业和资本等多个 维度出发，持续完善合作伙伴生态建设。一是进一步加强与华为部分区域代表处和政务一网通、煤炭、电力等军团的业务合作，推进与欧拉、鸿蒙、鲲鹏生态社区的融合发展。做实与华为代表处的区域经营对标、定期会谈和项目合作，加快公司与华为相关军团全栈国产化联合解决方案的市场拓展速度，促进公司旗下万里数据库、拓林思操作系统与欧拉和鸿蒙生态的融合，在操作系统商业发行版发布推广、服务器一体机和国产化替代上下大力气，承担好四川欧拉生态创新中心的产业落地转化工作。推动 MLOps
AI 能力平台与鲲鹏、昇腾和盘古大模型的合作发展；二是围绕政务、能源、金融、运营商领域的国央企合作伙伴，从技术、产品和渠道等多个维度提出整体合作方案，增强合作统筹、提高合作能级、筑牢合作基础、扩宽合作领域，提高公司核心产品及解决方案的市场占有率；三是积极抢抓数据库和卫星互联网“窗口期”机遇，加快推进万里开源和创智联恒股权融资，通过引入投资者优化两家子公司股权结构，为业务发展提供充足的资金支持，加大相关产品研发投入及市场推广力度，推动业务快速发展。
4、坚持科学治理，促进公司高质量发展。2023 年，公司将深入宣贯“活力、专业、协同、担当”的企业文化主张，为经营发展营造良好氛围。同时多措并举提升公司科学治理水平。一是根据国家政策导向和行业发展态势，编制集团三年发展规划（2023-2025），进一步提高公司稳定发展定力和持续发展张力；二是结合各子公司实际情况，推行一司一策，统筹做好子公司经营指导和发展支撑；三是继续完善内控制度执行，做好重点项目的全流程支撑保障及跟踪管控，定期复盘、及时总结，不断提升风险识别及应对能力，持续优化完善现有管理制度及流程，提高管理效率；四是进一步优化完善考核激励体系，出台《高级管理人员薪酬激励管理办法》，适时推出新一期员工持股计划。优化集团及各子公司人才梯队建设，加快干部年轻化工作推进，加大业务、技术和管理等多维度培训力度，积极打造学习型团队，为公司高质量发展做好人才保障。
2、收入与成本
（1） 营业收入构成
营业收入整体情况
单位：元
2022 年 2021 年
同比增减
金额 占营业收入比重 金额 占营业收入比重
营业收入合计 1,906,614,057.81 100% 1,866,876,728.44 100% 2.13%
分行业
软件和信息技术服务业 1,906,614,057.81 100.00% 1,866,876,728.44 100.00% 2.13%
分产品
大数据产品及解决方案 723,294,822.74 37.94% 701,751,060.09 37.59% 3.07%
技术开发及服务 1,009,335,822.96 52.94% 1,020,416,568.79 54.66% -1.09%
物联网产品 102,908,484.06 5.40% 99,056,035.97 5.31% 3.89%
数据库 48,097,717.70 2.52% 28,804,867.81 1.54% 66.98%
5G 22,974,846.77 1.21% 14,912,648.17 0.80% 54.06%
其他 2,363.58 0.00% 1,935,547.61 0.10% -99.88%
分地区
北京 754,779,608.66 39.59% 581,090,122.99 31.13% 29.89%
四川 240,846,005.18 12.63% 227,907,550.26 12.21% 5.68%
河南 216,849,968.10 11.37% 218,668,246.53 11.71% -0.83%
广东 107,643,838.91 5.65% 78,280,871.44 4.19% 37.51%
江苏 99,030,799.36 5.19% 59,235,243.42 3.17% 67.18%
浙江 56,640,637.94 2.97% 14,441,067.40 0.77% 292.22%
贵州 45,716,008.75 2.40% 129,070,203.73 6.91% -64.58%
云南 39,367,922.22 2.06% 28,378,607.51 1.52% 38.72%
重庆 33,993,112.50 1.78% 51,133,767.80 2.74% -33.52%
上海 32,780,641.42 1.72% 98,285,019.51 5.26% -66.65%
内蒙古 25,833,531.49 1.35% 49,497,059.59 2.65% -47.81%
其他 253,131,983.28 13.28% 330,888,968.26 17.74% -23.50%
分销售模式
公司需遵守《深圳证券交易所上市公司自律监管指引第 3 号——行业信息披露》中的“软件与信息技术服务业”的披露要求
单位：元
2022 年度 2021 年度
第一季度 第二季度 第三季度 第四季度 第一季度 第二季度 第三季度 第四季度
营业收入 377,757,7
67.70 253,681,9
60.55 435,668,1
78.92 839,506,1
50.64 423,851,6
91.54 468,232,0
48.90 388,212,4
69.63 586,580,5
18.37
归属于上市公司股东的净利润
33,033,30
0.58 - 30,242,31
7.25 - 35,632,52
0.15 - 23,947,28
4.64
26,659,53
3.88
14,425,81
3.65
2,324,475
.84 - 65,137,19
7.27
说明经营季节性（或周期性）发生的原因及波动风险
公司及子公司格蒂电力、邦讯信息、北京创意主要客户为电信运营商、大型企事业单位、政府部门、国家电网及其下属公司，客户通常实行预算管理制度和集中采购制度，一般在上半年审批当年的年度预算和资产投资计划，在年中或下半年安排采购招标，验收则集中在下半年尤其是第四季度。
（2） 占公司营业收入或营业利润 10%以上的行业、产品、地区、销售模式的情况
☑适用 □不适用
公司需遵守《深圳证券交易所上市公司自律监管指引第 3 号——行业信息披露》中的“软件与信息技术服务业”的披露要求
单位：元
营业收入
营业成本
毛利率 营业收入比上年同期增减 营业成本比上年同期增减 毛利率比上年同期增减
分客户所处行业
软件和信息技术服务业 1,906,614,057.81 1,523,156,461.29 20.11% 2.13% 4.65% -1.93%
分产品
大数据产品及解决方案 723,294,822.74 512,501,141.48 29.14% 3.07% 3.34% -0.19%
技术开发及服务 1,009,335,822.96 925,834,368.93 8.27% -1.09% 3.70% -4.24%
分地区
北京 754,779,608.66 615,991,356.54 18.39% 29.89% 29.78% 0.07%
四川 240,846,005.18 179,216,332.83 25.59% 5.68% 7.50% -1.26%
河南 216,849,968.10 179,537,216.73 17.21% -0.83% 3.73% -3.64%
公司主营业务数据统计口径在报告期发生调整的情况下，公司最近 1 年按报告期末口径调整后的主营业务数据
□适用 ☑不适用
（3） 公司实物销售收入是否大于劳务收入
□是 ☑否
（4） 公司已签订的重大销售合同、重大采购合同截至本报告期的履行情况
☑适用 □不适用
已签订的重大销售合同截至本报告期的履行情况
☑适用 □不适用
单位：万元
合同标的
对方当事人
合同总金额
合计已履行金额
本报告期履行金额
待履行金额
本期确认的销售收入金额
累计确认的销售收入金额
应收账款回款情况
是否正常履行 影响重大合同履行的各项条件是否发生重大变化
是否存在合同无法履行的重大风险
合同未正常履行的说明
通信基础设施铁塔建设项目合同
Mutiara Smart Sdn. Bhd
64,000
218.62
0
0
0
218.6
2
0
否
是
是 公司于 2020 年
10 月初起诉 SMART 公司归还项目执行保证金；2022 年 7 月 13 日，法院判决我方胜诉，SMART 公司目前进入破产清算阶段。
已签订的重大采购合同截至本报告期的履行情况
□适用 ☑不适用
（5） 营业成本构成
行业分类行业分类
单位：元
行业分类
项目 2022 年 2021 年
同比增减
金额 占营业成本比重 金额 占营业成本比重
软件和信息技术服务业 外购设备 601,294,257.32 39.48% 567,094,858.69 38.96% 6.03%
软件和信息技术服务业 外购服务 831,152,821.78 54.57% 803,248,428.74 55.19% 3.47%
软件和信息技术服务业 项目费用 89,445,452.07 5.87% 83,505,886.15 5.74% 7.11%
软件和信息技术服务业 备品备件 1,263,930.12 0.08% 1,605,303.85 0.11% -21.27%
公司需遵守《深圳证券交易所上市公司自律监管指引第 3 号——行业信息披露》中的“软件与信息技术服务业”的披露要求
主营业务成本构成
单位：元
成本构成 本报告期 上年同期 同比增减
金额 占营业成本比重 金额 占营业成本比重
外购设备 601,294,257.32 39.48% 567,094,858.69 38.96% 6.03%
外购服务 831,152,821.78 54.57% 803,248,428.74 55.19% 3.47%
项目费用 89,445,452.07 5.87% 83,505,886.15 5.74% 7.11%
备品备件 1,263,930.12 0.08% 1,605,303.85 0.11% -21.27%
（6） 报告期内合并范围是否发生变动
☑是 □否
本年新设增加 2 家子公司创意数科、创意信创二期，因转让股权减少 1 家子公司拓林思、因注销减少 1 家子公司上海蒂玺。
（7） 公司报告期内业务、产品或服务发生重大变化或调整有关情况
□适用 ☑不适用
（8） 主要销售客户和主要供应商情况公司主要销售客户情况
前五名客户合计销售金额（元） 1,037,268,255.31
前五名客户合计销售金额占年度销售总额比例 47.31%
前五名客户销售额中关联方销售额占年度销售总额比例 0.00%
公司前 5 大客户资料
序号 客户名称 销售额（元） 占年度销售总额比例
1 客户一 392,155,512.32 17.89%
2 客户二 228,709,626.00 10.43%
3 客户三 194,127,985.26 8.85%
4 客户四 144,231,279.69 6.58%
5 客户五 78,043,852.04 3.56%
合计 -- 1,037,268,255.31 47.31%
主要客户其他情况说明
□适用 ☑不适用
公司主要供应商情况
前五名供应商合计采购金额（元） 450,860,928.34
前五名供应商合计采购金额占年度采购总额比例 29.06%
前五名供应商采购额中关联方采购额占年度采购总额比例 0.00%
公司前 5 名供应商资料
序号 供应商名称 采购额（元） 占年度采购总额比例
1 供应商一 127,665,669.21 8.23%
2 供应商二 114,780,000.00 7.40%
3 供应商三 86,438,252.84 5.57%
4 供应商四 80,780,965.09 5.21%
5 供应商五 41,196,041.20 2.65%
合计 -- 450,860,928.34 29.06%
主要供应商其他情况说明
□适用 ☑不适用
3、费用
单位：元
2022 年 2021 年 同比增减 重大变动说明
销售费用 63,341,113.43 62,231,602.41 1.78% 无重大变化。
管理费用
182,246,009.83
145,604,661.53
25.16% 管理费用本年发生额较上年增加，主要系报告期内公司实施员工持股计划，相应激励成本约 4,611.63 万元计入管理费用所
致。
财务费用
18,075,069.07
35,855,890.87
-49.59% 财务费用本年发生额较上年下降，主要原因是公司 2021 年第四季度完成非公开发行后收到募集资金，一方面通过募集资金暂时性补流等安排，减少借款利息支出；另一方面利用闲置资金购买通知存款等，利息收入增加。
研发费用
223,002,317.10
183,282,837.86
21.67% 研发费用本年发生额较上年增加，主要原因是公司持续加大大数据、数据库和 5G 技术研发投入所致。
4、研发投入
☑适用 □不适用
主要研发项目名称 项目目的 项目进展 拟达到的目标 预计对公司未来发展的影响
5G 接入网产品性能优化和产品化项目 围绕 5G 接入网各行业应用场景进行专项技术的深挖，开发满足垂直领域需求的个性化产品与解决方案，包括 To C 端的大流量、低延时应用、To B 端的特殊场景应用等。
在研
完成 5G 关键技术积累，提升公司行业内的技术竞争力。 持续增强关键基础技术的储备，为 5G 放量蓄势，助力公司战略转型；探索 5G 特定场景应用关键技术，尽早推出个性化产品与解决方案，推动业务的良性循环。
云数据保护平台 适合不同行业和用户的产品，内置丰富的数据分析、验证和供给、多种算法能够支持金融、政府、教育、零售等不同行业的需求；能支持国内外主流的数据存储平台，加上灵活的部署方式的硬件架构形成的云数据保护平台。
已完成
为了满足新一代公安信息通信网对边界数据交换的要求，
同时尽可能实现各种类型的数据源无缝对接，无需修改服
务。 该平台满足各种应用系统接入新一代公安信息通信网的需求，同时实现各种业务系统无缝接入，可在新一代公安信息通信网推广部署，巩固可扩大公司在公安边界接入安全市场的份额。
支持混合云环境的开放式数据保护自服务平台 能够以更快的速度、更高的可扩展性和敏捷性跨私有云和公共云环境为传统企业应用程序提供自动化的基础架构服务，同时降低成本并将风险降到最低。
在研 以全球市场及客户需求为导向，持续优化产品特性，重点加强绿色节能和安全特 性，保持市场竞争力和占有率。 作为公司中高端通用服务器产品，持续提升服务器产品技术研发能力，维护公司高端产品市场领导地 位。
静态数据脱敏系统 在保留信息系统数据原始特征的同时做有效的数据变形，避免未经授权的人非法获得企业或用户隐私信息，实现对敏感数据的保护，同时又可以保证系统测试、业务监督等相关的处理不受影响，即在保留数据意义和有效性的同时保持数据的安全性并遵从数据隐私规范。借助数据脱敏，信息依旧可以被使用并与业务相关联，不会违反相关规 定，同时也避免了数据泄露的风险。
在研 依据客户敏感信息屏蔽规则屏蔽业务数据中的敏感信息，保障生产数据在非生产环境中的安全使用，防止敏感信息泄露。脱敏后的数据主要用于测试、开发、培训、外包、数据挖掘/研究等不同的使用场景。其次在借助数据脱敏技术，屏蔽敏感信息的同时，还应使屏蔽的信息保留其原始数据的格式和属性，以确保应用程序在使用脱敏数据的开发与测试过程中正常运行。
给用户提供成熟可靠的软件及相应的解决方案，直接从软件及解决方案售卖获取利润。
万里安全数据库软件-分布式（英文： GreatDB 分布式 V5.2）
万里安全数据库软件致力于打破对国外商业数据库产品的技术依赖，从根本上保证无后门，保证数据安全。同时由于自主掌握数据的核心技术，一旦遇到数据安全威胁，自主研发的数据库技术可以保证系统风险的自主可控。
已完成 完全兼容 MySQL 语法，兼容 SQL92、 99、2003SQL 标准，
同时兼容部分 Oracle语法，其支持的语法的类别全面覆盖数据库语法类别；支持对跨节点的复杂 SQL 操作，使得业务人员的开发工作量大幅降 低。通过提供良好的 SQL 兼容性和可维护性，使用户可以像使用单机数据库一样使用分布式数据库，同时又能解除单机数据库不可扩展带来的担
忧。
作为公司重要的分布式数据库产品，持续提升产品技术研发能力，巩固并可扩大公司在国产化数据库市场的份额。
物联数智平台 V1.0 物联数智平台是联动感知层和业务应用层的中枢系统，向下支持与三方平台对接，连接海量设备，适配多种网络环
在研 解决物联感知数据标准不统一、系统重复造轮子、烟囱式隔 离、感知资源开放难等治理痛点，汇聚公 打造公司自有物联数智平台，有利于横向拓宽业务领域，同时为多场景包括智慧园区、城市治理、环境
境和常见传输协议，实现各类感知终端设备统一接入、统一管理。丰富模板和灵活配置的能力能快速帮助搭建各类行业应用和物联平台，有效降低物联网应用时间成本和开发成本，满足物联网领域设备连 接、协议适配、数据存储、数据分析等平台级服务需求。 共数据、社会数据、物联数据，进行多维数据融合，实现业务平台间的互联互通、数据共享，实现数据标准化、数据价值最大化，构筑公共管 理、公共服务、公共安全等领域的数字化底座，提升城市运行管理智能化水平。 监测、智慧水利等领域落地提供数据支 持，让政务服务和城市治理实现从垂直行业小闭环到城市智慧生态系统大闭环。
万里数据库管理平台
（英文：GreatADM）
万里数据库管理平台是一款万里开源自主研发的数据库运维管理软 件。提供稳定、高效易用、一键扩展、自动化周期性巡检、备份策
略、健康诊断等功能,极大地降低集群部署和管控的复杂度,为企业应用提供有效的数据库管理,支撑业务持续稳定的发展。
在研 支持 X86/ARM 平台,且对操作系统适配能力较强；自身安装简洁高效；支持万里分布式数据库,和多种集中式高可用方案从创建到运、管、监、巡、告警全周期全链路的管理；支持项目级资源池化分配,使主机性能得以充分发挥,为企业发展建设真正做到增效、节能、降成
本。
作为公司重要的数据库管理平台产品，持续提升产品技术研发能力，为巩固并可扩大公司在国产化数据库市场的份额提供更多优势。
工业互联网智慧服务平台 V1.0
通过建设工业互联网智慧服务平台，汇聚企业产业链各环节相关供需数据信息，实现各环节供需智能匹配，不断提升企业的相关配套能 力，完善配套体系。
在研 基于海量数据的采 集、汇聚、分析，建设工业互联网智慧服务平台，实现对企业生产制造全过程、全产业链、产品全生命周期的数字化、网络化、智能化水平整体提升。一是提升企业生产管理智能化水平。二是实现关键生产设备的智能化监控，提高企业生产运营效率。三是实现生产能力的个性定制与快速转化。四是实现客户精准对接，拓展在线交易场景。五是推广使用新技术和应用案例，促进研究成果快速转换。
通过对建设的工业互联网智慧服务平台不断更新迭代，对加快供应链金融、知识产权质押等金融产品创新、降低中小企业融资门槛、降低企业负担、营造宽松融资环境等，带来更优的广泛应用。为公司在工业互联网行业的发展打下坚实基础。
公司研发人员情况
2022 年 2021 年 变动比例
研发人员数量（人） 735 718 2.37%
研发人员数量占比 42.80% 40.97% 1.83%
研发人员学历
本科 491 458 7.10%
硕士 78 67 16.48%
博士 2 3 -29.41%
研发人员年龄构成
30 岁以下 229 217 5.60%
30~40 岁 374 438 -14.53%
近三年公司研发投入金额及占营业收入的比例
2022 年 2021 年 2020 年
研发投入金额（元） 326,315,709.52 271,155,376.40 259,186,863.44
研发投入占营业收入比例 17.11% 14.52% 12.92%
研发支出资本化的金额
（元） 103,313,392.42 87,872,538.54 67,458,253.85
资本化研发支出占研发投入的比例 31.66% 32.41% 26.03%
资本化研发支出占当期净利润的比重 -113.79% -184.55% -8.26%
公司研发人员构成发生重大变化的原因及影响
□适用 ☑不适用
研发投入总额占营业收入的比重较上年发生显著变化的原因
□适用 ☑不适用
研发投入资本化率大幅变动的原因及其合理性说明
□适用 ☑不适用
公司需遵守《深圳证券交易所上市公司自律监管指引第 3 号——行业信息披露》中的“软件与信息技术服务业”的披露要求
单位：元
项目名称 研发资本化金额 相关项目的基本情况 实施进度
5G 接入网产品性能优化和产品化项目
48,328,828.42
围绕 5G 接入网可行的应用场景进行专项技术的深挖，开发满足垂直领域需求的个性化产品与解决方案，包括 To C 端的大流量、低延时应用、To B 端的特殊场景应用等。中长期内公司将依托自身掌控的 5G+MEC+AI
（5G 时代结合人工智能技术的移动边缘云计算平台）融合技术和 5GNR（基于 OFDM 的全新空口设计的全球性 5G 标准）及基带等研究成果，对行业技术发展趋势和业务需求变化进行持续分析和跟进研究，增强关键基础技术储备，进行产品研发布局，为 5G 大规模商用落地的放量蓄势。 已完成新型信道编码技术、无线通信高阶调制技术、5G无线基站调度算法、5G 上行异步技术、5G 前传技
术、编解码加速技术、云化和虚拟化技术、多种载波间隔自适应技术、高效的信道估计、速度估计技术、频偏估计、新型无线波形技术无线通信加解密技术、基站降功耗技术、MIMO 技术、高效的波束管理技术的开发和验证。另有载波聚合技术、基站的超密集网络算法研 究、接收机的干扰消除技术暂未开发。无线通信移动性技术开发已完成站内切换、站间切换的开发和验证，异系统切换暂未完成。其中频偏估计、MIMO 技术、高效的波束管理技术等 15 个核心技术可沿用到低轨卫星通
信载荷的研发上。
支持混合云环境的开放式数据保护自服务平台
21,425,307.18 对用户私有数据中心、托管数据中心、云上数据中心的业务系统做定时、实时 CDP整机保护服务，保护用户系 报告期已完成项目前期准 备、开发设计和功能开发工作，期开展该平台的开发反馈、软件试运行等工作；
统整机数据安全，包括
OS、业务软件、软件配置、数据库、数据和文件，当发生故障时，用户可快速实现业务系统的快速重建、整机恢复服务，保障业务连续 性。 2023 年 2 月完成该项目的结项工作。
静态数据脱敏系统
16,231,976.36 “静态数据脱敏系统”是一个适合不同行业和用户的全方位产品，在保留信息系统数据原始特征的同时做有效的数据变形，避免未经授权的人非法获得企业或用户隐私信息，实现对敏感数据的保护，同时又可以保证系统测试、业务监督等相关的处理不受影响，即在保留数据意义和有效性的同时保持数据的安全性并遵从数据隐私规范。借助数据脱敏，信息依旧可以被使用并与业务相关联，不会违反相关规定，而且也避免了数据泄露的风险。依据客户敏感信息屏蔽规则屏蔽业务数据中的敏感信息，保障生产数据在非生产环境中的安全使用，防止敏感信息泄露。脱敏后的数据主要用于测试、开发、培训、外包、数据挖掘/研究
等不同的使用场景。
已完成前期需求调研、技术选型，系统架构设计、概要设计、详细设计和项目开发等大部分工作；2023 年 3 月完成该项目的结项工作。
城市智慧治理分析平台 V2.0
10,942,164.88 项目突破跨系统协同与适配关键技术，解决各委办局跨行政域、多维度、高维度数据治理和业务规范化应用等困难问题，助力智慧城市服务转型升级和社会治理应用创新，加快政府数据开放共享、促进智慧城市健康发 展。
已完成。
物联数智平台 V1.0
10,380,600.01 物联数智平台，是联动感知层和业务应用层的中枢系 统。提供海量设备的接入与管理能力。支持多协议 MQTT、CoAP、HTTP 等接
入，可以将海量的的 IoT 设备连接到平台，支撑设备数据采集上云，对采集数据进行分析和应用，。物联网平台作为承接设备与行业应用的中间服务，它承载了抽象化的业务逻辑及标准化的核心数据模型，实现设备的快速接入，同时提供强大的模块化能力，支撑行业应用场景下的各类需求,打造“统一标准、互联共享、开放协
同”一体化的物联数智平
项目已完成研发准备工作、编码、系统集成、测试及系统发布；2023 年 1 月完成该项目的结项工作。
台。
工业互联网智慧服务平台 V1.0
10,192,488.88 在企业生产制造、销售、行业服务等方面搭建供需对接平台，汇聚企业产业链各环节相关供需数据信息，实现各环节供需智能匹配，不断提升本地配套能力，完善本地配套体系。公司按行业标准规范，通过用户调研设计了工业互联网智慧服务平 台，以满足特殊时期企业服务。平台涵盖援企平台、物资统计、复工招聘、复工包车、复工培训、创新产品、供给清单、需求清单、供给填报、需求填报十大板块，在供应链、资金链、物流、人力资源等方面搭建沟通桥梁。项目结合工业互联网行业的基本流程及功能需求，通过与业务结合并研发一系列智慧服务应用，极大提升工业互联网智慧服务平台的易用性、安全性。
项目已完成研发准备工作、编码、系统集成、测试及系统发布；2023 年 1 月完成该项目的结项工作。
智能大数据融合平台 V2.0
9,876,773.66 面向大数据平台建设过程中数据管理的痛点问题，以数据管理体系、数据价值体系为核心建设理念，针对数据标准、数据质量、数据安 全、元数据管理和数据生命周期等环节，完成数据资产的体系化管理；围绕数据流通和数据服务，实现数据资产的运营和应用支撑。构建大数据行业业务知识与大数据技术相融合、大数据管理与治理相融合、数据接入与数据交换共享相融合、数据安全与数据可视化相融合的一体化智能大数据融合平台。
已完成。
基于数字孪生技术的变电站主辅设备状态信息监控平台
9,157,112.24 基于数字孪生技术的变电站主辅设备状态信息监控平台涵盖的关键技术有感知控 制、数据集成、模型构建、模型互操作、业务集成、人机交互六大核心技术。感知控制，具备数据采集和反馈控制两大功能，是连接的入口和出口。数据集成可实现异构设备和系统的互联互通。模型构建可实现对物理实体形状和规律的映射。模型互操作承担着将几何、机理、数据三大模型融合的任备。业务集成是变电站数字孪生价值创新的纽带，能够打通产品全生命周期、生产
已完成一次设备子系统监 测、智能设备子系统监测、继电保护及安全自动装置子系统监测三大功能模块的开发，现项目处于一体化电源子系统监测、告警管理等功能开发和前期已开发的功能模块单元测试、迭代优化阶段。
全过程的价值链条。人机交互将人的因素融入数字孪生系统，工作者可以通过友好的人机操作方式将控制指令反馈给物理世界，实现数字孪生全闭环优化。
万里安全数据库软件-分布式（英文：GreatDB 分布式 V5.2）
7,572,379.25 万里安全数据库软件-分布式 V5.2，是一款适用于 OLTP 场景，同时兼顾 OLAP的分布式关系型数据库，简称 GreatDB。
GreatDB 分布式 5.2 完全兼容 MySQL 语法，兼容 SQL92、99、2003 SQL 标
准，同时兼容部分 Oracle语法，其支持的语法的类别全面覆盖数据库语法类别，包括 DDL 数据定义语言、 DML 数据操纵语言、数据管理语言、事务控制语言
（TCL）、常用函数、程序控制语言、批处理语法、序列等；对跨节点的复杂 SQL 操作支持全面，使得业务人员的开发工作量大幅降低，无需考虑大量的 SQL 改
造。通过提供良好的 SQL 兼容性和可维护性，使用户可以像使用单机数据库一样使用分布式数据库，同时又能解除单机数据库不可扩展
带来的担忧。
已完成。
基于人工智能技术的变电站远程智能巡视平台
6,806,846.51 基于人工智能技术的变电站远程智能巡视平台项目主要包括数据拆采集、数据分 析、任务管理、巡视监控、实时监控、巡视结果确认、巡视结果分析、智能联动、一键顺控视频双确认、实物 ID 识别、台账管理、配置管理、三维应用等功能的需求确认、设计开发工作。
已完成数据采集分析、任务管理、巡视监控、智能联动等功能模块的开发，现项目处于一键视控视频双确认、实物ID 识别等平台功能模块开发阶段。
基于知识图谱技术的变电站设备故障知识辅助诊断系统
4,889,054.92 基于知识图谱技术的变电站设备故障知识辅助诊断系统项目主要包括数据获取、图谱构建、知识计算及图谱应用四大部分，具体应用有知识智能搜索、智能问答、智能推荐、辅助诊断、辅助决策、知识管理等功能。
已完成数据获取、图谱构 建、知识计算三大功能模块的开发；现项目处于图谱应用等功能模块开发和前期已开发的功能模块单元测试、迭代优化阶段。
基于 AI 的智能监控系统
2,678,962.02 以有线传输的监控采集技术为基础，融合基于 AI 智能技术研发而成的基于 AI 的智能监控 FSU 和基于 AI 的智能监控系统组成，实现 AI 智能分析监控预测的功能，节省了人工出错环节和更加的面向未来，从而达到
已完成。
基站监控设备快速部署的目的，并且有利于维护的快速排障，大大提高施工和维护效率。
万里云数据库服务平台（英文：GreatRDSV5.2）
2,609,111.66 万里云数据库服务平台是一种操纵和管理云数据库的大型软件，用于建立、使用和维护数据库，简称 GreatRDS。它立足于解决企业如何统一管理不同数据库资源的困扰；以提供多种数据库集群的管理, 纳管，权限的统一管理及监控告警，数据迁移，备份恢复等服务为目标，是一款可以统一管理不同数据库资源的平台。 GreatRDS V5.2 较之前的版本，不仅界面全新升级，同时系统架构做了颠覆式的创新调整，Agent 代理仅作为 SSH 的替代品，一次性部署后续配置文件路径：无需升级，节省用户维护组件的运维成本，使用 Agent 代理配置文件路径：无需 SSH，可将安全风险降至最低。另外也可采用 SSH 模式（无 Agent），将所有的应用组件都部署于服务端，将目标环境的主动权交还给客户。此外，GreatRDS V5.2 还新增了一些新功能，包括：支持自定义监控指标；监控内容增加了汇总的 Qps,tps，活跃连接数，在线连接数，慢查询等信息；支持备份任务排序和过滤。
已完成。
数据运营平台
2,047,431.51 数据运营平台分为门户网站和数据运营管理两个系统，主要服务对象为普通人员
（政府、企业、民众）和运营人员（国网内部人员），核心功能包含一站通能源业务服务、数据产品全生命周期管理、典型场景数据分 析、数据创新应用开发、运营支撑服务等，实现最终实现数据增值服务、多业务协同、服务开放共享、应用快速构建、用户学习交流创新等多场景应用，支撑能源大数据服务中心数据挖掘和应
用服务。
已完成。
公司研究开发支出分为研究阶段支出和开发阶段支出。研究阶段的支出，于发生时计入当期损益；开发阶段的支出，同时满足下列条件的，可以资本化确认为无形资产：
1、完成该无形资产以使其能够使用或出售在技术上具有可行性；
2、具有完成该无形资产并使用或出售的意图；
3、运用该无形资产生产的产品存在市场或无形资产自身存在市场，无形资产将在内部使用的，应当证明其有用性；
4、有足够的技术、财务资源和其他资源支持，以完成该无形资产的开发，并有能力使用或出售该无形资产；
5、归属于该无形资产开发阶段的支出能够可靠地计量。
公司开发阶段以通过研发准入审核作为开发支出核算起始点，其研发准入是在可行性分析完成的情况下，出具功能需求分析说明书、设计说明书和立项评审，按公司项目审批流程批准后，形成《研发准入报告》。开发完成的标志是功能需求分析说明书、设计说明书等文件记录的功能实现并通过测试和结项。在产品开发项目批准研发准入前发生的费用计入当期损益；产品开发项目批准研发准入后发生的费用符合资本化条件的计入开发支出。
5、现金流
单位：元
项目 2022 年 2021 年 同比增减
经营活动现金流入小计 2,012,357,944.53 1,945,035,989.96 3.46%
经营活动现金流出小计 2,608,670,151.74 1,872,014,727.84 39.35%
经营活动产生的现金流量净额 -596,312,207.21 73,021,262.12 -916.63%
投资活动现金流入小计 1,992,578,182.20 16,136,116.00 12,248.56%
投资活动现金流出小计 1,690,300,080.85 656,492,021.85 157.47%
投资活动产生的现金流量净额 302,278,101.35 -640,355,905.85 147.20%
筹资活动现金流入小计 777,191,367.00 1,335,037,311.43 -41.79%
筹资活动现金流出小计 617,542,606.74 782,380,949.54 -21.07%
筹资活动产生的现金流量净额 159,648,760.26 552,656,361.89 -71.11%
现金及现金等价物净增加额 -132,304,753.50 -14,840,509.87 -791.51%
相关数据同比发生重大变动的主要影响因素说明
☑适用 □不适用
（1） 经营活动产生的现金流量净额较上年减少 916.63%，主要系本期支付的其他与经营活动有关的现金增加所致。
（2） 投资活动产生的现金流量净额较上年增加 147.20%，主要系报告期内公司收回购买理财产品的资金所致。
（3） 筹资活动产生的现金流量净额较上年减少 77.11%，主要系去年公司对特定对象增发股票募集资金所致。报告期内公司经营活动产生的现金净流量与本年度净利润存在重大差异的原因说明
□适用 ☑不适用
五、非主营业务情况
☑适用 □不适用
单位：元
金额 占利润总额比例 形成原因说明 是否具有可持续性
投资收益
10,764,543.19
-11.35% 主要来自：1、权益法核算的长期股权投资收益；2、出售交易性金融资产的投资收
益；3、理财产品利息
收入等。
否
公允价值变动损益
14,630,314.00
-15.43% 主要系交易性金融资产在持有期间的公允价值变动损益。
否
资产减值
-924,725.02
0.98% 主要系经减值测试后对存在减值迹象的劳务成本计提的减值准备。
否
营业外收入
53,313.89
-0.06% 主要系收到的网络与通信安全紫金山实验室未来网络发展大会奖金。
否
营业外支出 135,243.88 -0.14% 主要系捐赠支出、无法收到的款项等。 否
六、资产及负债状况分析
1、资产构成重大变动情况
单位：元
2022 年末 2022 年初 比重增减 重大变动说明
金额 占总资产比例 金额 占总资产比例
货币资金 393,313,884.
00 10.13% 465,789,824.
97 12.34% -2.21% 无重大变化
应收账款 1,433,233,83
4.60 36.92% 1,311,476,74
4.29 34.75% 2.17% 无重大变化
合同资产 0.00% 0.00% 0.00% 无重大变化
存货 890,527,167.
82 22.94% 702,924,302.
37 18.63% 4.31% 无重大变化
投资性房地产 0.00% 0.00% 0.00% 无重大变化
长期股权投资 68,072,850.0
3 1.75% 17,466,487.2
7 0.46% 1.29% 无重大变化
固定资产 62,310,989.5
2 1.61% 49,654,533.8
7 1.32% 0.29% 无重大变化
在建工程 191,463,131.
70 4.93% 200,535,346.
14 5.31% -0.38% 无重大变化
使用权资产 10,399,307.6
1 0.27% 13,805,416.0
3 0.37% -0.10% 无重大变化
短期借款 721,316,374.
84 18.58% 533,628,686.
00 14.14% 4.44% 无重大变化
合同负债 129,308,026.
63 3.33% 133,379,819.
39 3.53% -0.20% 无重大变化
长期借款 0.00% 0.00% 0.00% 无重大变化
租赁负债 5,503,384.15 0.14% 8,809,320.81 0.23% -0.09% 无重大变化
交易性金融资产
1,530,000.00
0.04%
553,363,202.
90
14.66%
-14.62% 交易性金融资产占总资产比重较期初下 降，主要系公司购买的结构性存款到期赎回，以及出售持有的成都银行股票所致。
境外资产占比较高
□适用 ☑不适用
2、以公允价值计量的资产和负债
☑适用 □不适用
单位：元
项目
期初数 本期公允价值变动损益 计入权益的累计公允价值变动
本期计提的减值
本期购买金额
本期出售金额
其他变动
期末数
金融资产
1.交易性金融资产
（不含衍生金融资产）
553,363,2
02.90
14,630,31
4.00
705,000.0
0
0.00
1,415,000
,000.00
1,989,589
,560.67
1,530,000
.00
应收款项融资 14,965,95
2.84 17,465,18
0.90 32,431,13
3.74
其他非流动金融资产 2,000,000
.00 5,000,000
.00 7,000,000
.00
上述合计 570,329,1
55.74 14,630,31
4.00 705,000.0
0 0.00 1,415,000
,000.00 1,989,589
,560.67 22,465,18
0.90 40,961,13
3.74
金融负债 0.00 0.00
其他变动的内容
应收款项融资本期变动系经营活动中的银行承兑汇票收付，期末数为未到期的银行承兑汇票余额，其剩余期限较短，公允价值与账面余额一致。
其他非流动金融资产本期变动系公司向工业云制造（四川）创新中心有限公司新增投资金额。报告期内公司主要资产计量属性是否发生重大变化
□是 ☑否
3、截至报告期末的资产权利受限情况
项目 年末账面价值 受限原因
货币资金 71,289,885.65 保证金及冻结金
固定资产 27,526,095.50 银行借款抵押
无形资产 3,390,023.18 银行借款抵押
合计 102,206,004.33
注 1：截至 2022 年 12 月 31 日，本集团货币资金司法冻结货币资金 41,736,957.72 元，冻结明细如下：
1） 北京创意云智数据技术有限公司司法冻结货币资金 12,697,426.10 元，系由于神州数码（中国）有限公司（以下简称
神州数码）起诉北京创意未支付货款，详见第十节 财务报告、十四、承诺及或有事项 2。截至 2022 年 12 月 31 日仍属于冻结状态。
2） 格蒂电力司法冻结货币资金 29,039,531.62 元，系由于与中建材信息技术股份有限公司买卖合同纠纷，截至 2022 年
12 月 31 日仍属于冻结状态，于本报告公告之日前已经解除冻结。除上述冻结资金外，其余均为保证金。
注 2: 创意科技于 2021 年 9 月 6 日与兴业银行股份有限公司成都分行签订《最高额抵押合同》（合同编号：兴银蓉（额抵）2108 第 58638 号），被担保的债务人为本公司，担保的主合同编号为兴银蓉(授)2108 第 37494 号，主合同名称为
《额度授信合同》，该合同约定授信额度金额为 1.8 亿元整人民币（于 2022 年 9 月 23 日签订借款编号为兴银蓉(贷)2208
第 86232 号、2022 年 3 月 16 日签订借款编号为兴银蓉(贷)2203 第 65400 号的借款合同）。抵押物如下：
1） 不动产产权，建筑面积 5834.71 平方米，产权证号码为：川（2021）成都市不动产权第 0021873 号，地点位于成都市
高新西区西芯大道 28 号 1 栋 1 层 1 号、6 栋 1 层 1 号、5 栋 1 层 1 号、6 栋 1 层 2 号。
2） 土地使用权，占地面积 15,755.97 平方米，权利证书编号：成高国用（2009）第 5944 号，地点位于成都市高新西部
园区西芯大道 28 号。
3、 四川创意科技有限公司于 2022 年 1 月 21 日，与交通银行股份有限公司成都彭州支行签订《抵押合同》（合同编号：
成交银 2022 年抵字 410003 号《抵押合同》），被担保的债务人为创意信息技术股份有限公司，担保的主合同编号为成交
银 2022 年贷字 410001 号，主合同名称为流动资金借款合同，该合同约定额度金额为 1.5 亿元整人民币。抵押物如下：
1） 房屋所有权，面积 6,430.55 平方米，权利证书编号为：成房权监证字第 1764421 号，地点位于成都市高新西部园区
西芯大道 28 号 1 栋-1-4 楼。
2） 土地使用权，面积 14,591.64 平方米，权利证书编号：成高国用（2008）第 3411 号，地点位于成都市高新西部园区
西芯大道 28 号。
七、投资状况分析
1、总体情况
☑适用 □不适用
报告期投资额（元） 上年同期投资额（元） 变动幅度
275,300,080.85 156,492,021.85 75.92%
2、报告期内获取的重大的股权投资情况
☑适用 □不适用
单位：元
被投资公司
主要业务 投资方式
投资金额 持股比例 资金来源
合作方
投资期限
产品类型 截至资产负 预计收益
本期投资盈亏 是否涉诉 披露日期
（如有） 披露索引
（如有）
名称 债表日的进展情况
上海新迪 上海新迪深耕工业制造研发设计领域，具有国际领先三维 CAD/CAE 核
心技术和产品研发能 力，为广大制造企业提供国产高端三维 CAD 软件、SaaS工业云软件及相关服
务。
增资
50,000,000.00
2.
60
%
自有资金
成都富恩德股权投资有限公司
长期
工业设计
（CAD
）软件
已实缴出资到位
0.0
0
- 906,226.93
否
2022
年 09
月 26日 公司关于与专业机构共同投资暨关联交易的公告
（公告编号： 2022-
48）
合计 -- -
- 50,000,000.00 -- -- -
- -- -- -- 0.0
0 - 906,226.93 -- -- --
3、报告期内正在进行的重大的非股权投资情况
□适用 ☑不适用
4、金融资产投资
（1） 证券投资情况
☑适用 □不适用
单位：元
证券品种
证券代码
证券简称
最初投资成本
会计计量模式
期初账面价值
本期公允价值变动损益 计入权益的累计公允价值变动
本期购买金额
本期出售金额
报告期损益
期末账面价值
会计核算科目
资金来源
境内外股票
60183
8
成都银行 4,446
,600.
00 公允价值计量 53,35
9,200
.00 14,63
0,314
.00
705,0
00.00 74,58
9,560
.67 18,92
9,066
.04 1,530
,000.
00 交易性金融资产
自有资金
基金
不适用
不适用 30,00
0,000
.00 公允价值计量 30,00
4,002
.90 30,00
0,000
.00
11,84
3.11
0.00 交易性金融资产
募集资金
合计 34,44
6,600 -- 83,36
3,202 14,63
0,314 705,0
00.00 0.00 104,5
89,56 18,94
0,909 1,530
,000. -- --
.00 .90 .00 0.67 .15 00
证券投资审批董事会公告披露日期 2021 年 12 月 03 日
（2） 衍生品投资情况
□适用 ☑不适用
公司报告期不存在衍生品投资。
5、募集资金使用情况
☑适用 □不适用
（1） 募集资金总体使用情况
☑适用 □不适用
单位：万元
募集年份
募集方式
募集资金总额
本期已使用募集资金总额
已累计使用募集资金总额 报告期内变更用途的募集资金总额
累计变更用途的募集资金总额
累计变更用途的募集资金总额比例
尚未使用募集资金总额
尚未使用募集资金用途及去向
闲置两年以上募集资金金额
2016 年
非公开发行
77,300
763.2
77,269.26
0
0
0.00%
1,229.97 尚未使用的募集资金（含净利息收入及现金管理收益 1,199.22 万元）存放在本公司及子公司邦讯信息、北京创意、创智联恒。2022 年 7 月 22 日，公司第五届
董事会 2022 年第三次临时
会议审议通过《关于 2016年非公开发行股份募集资金投资项目结项并将节余募集资金永久补充流动资金的议案》，同意公司募集资金投资项目结项并将节余募集资金永久补充流动资金，并在完成募投项目尾款支付后，将节余资金转入公司及子公司自有资金户，转出后注销募集资金专户。公司正将按计划支付募投项目尾款。
0
2021 年 非公 72,037.47 21,408.89 21,561.15 0 0 0.00% 51,863.09 尚未使用的募集资金 51,863.09 万元（含净利息 0
开发行 收入及现金管理收益 1,386.77 万元），利用募集资金暂时补充流动资金 42,200 万元，其余暂未使用的募集资金均存放在本公司及子公司万里开源、创智联恒募集专户中，公司将按计划投资于募投项目。
合计 -- 149,337.47 22,172.09 98,830.41 0 0 0.00% 53,093.06 -- 0
募集资金总体使用情况说明
公司 2016 年非公开发行股份募集资金总额为 77,300.00 万元，截至 2022 年 12 月 31 日共计使用金额为 77,269.26 万元，其
中:“大数据应用云平台及新一代智能网络通讯的研发和应用实践项目”投入 24,969.30 万元，用于购买邦讯信息股东股权对价款
20,000.01 万元，利用募集资金永久性补充流动资金为 32,299.94 万元；截至本报告期末，累计净利息及理财收益为 1,199.23 万
元，募集专户实际资金余额为 1,229.97 万元，均存放在本公司及子公司邦讯信息、北京创意、创智联恒的募集资金专户，公司正将按计划支付募投项目尾款。
公司 2021 年非公开发行股份募集资金总额为 72,037.47 万元，截至 2022 年 12 月 31 日共计项目投入 21,561.15 万元，其中“智能大数据融合平台项目”投入 7,128.49 万元，“自主可控数据库升级及产业化应用项目”7,457.62 万元,“5G 接入网关键技术产品研发项目”投入 6,975.04 万元；截至本报告期末，累计净利息及理财收益 1,386.77 万元，暂时补充流动资金 42,200 万元，募集
专户实际资金余额为 9,663.09 万元，均存放在本公司及子公司万里开源、创智联恒，公司将按计划投资于募集资金承诺项目。
（2） 募集资金承诺项目情况
☑适用 □不适用
单位：万元
承诺投资项目和超募资金投向 是否已变更项目(含部分变更)
募集资金承诺投资总额
调整后投资总额(1)
本报告期投入金额
截至期末累计投入金额(2) 截至期末投资进度 (3)＝ (2)/(1
) 项目达到预定可使用状态日期
本报告期实现的效益 截止报告期末累计实现的效益
是否达到预计效益 项目可行性是否发生重大变化
承诺投资项目
大数据应用云平台及新一代智能网络通讯的研发和应用实践项目
是
25,000
25,000
763.2
24,969
.3
99.88%
2022 年
07 月
01 日
不适用
否
智能大数据融合平台项目
否
58,200
41,925
.81
6,984.
59
7,128.
49
17.00% 2024 年
12 月
30 日
不适用
否
自主可控数据库升级及产业化应用项目
否
23,400
16,856
.77
7,457.
62
7,457.
62
44.24%
不适用
否
5G 接入网关键技术
否
18,400 13,254
.89 6,966.
68 6,975.
04
52.62%
不适用
否
产品研发项目
承诺投资项目小计
-- 125,00
0 97,037
.47 22,172
.09 46,530
.45
--
--
--
--
超募资金投向
无
合计 -- 125,00
0 97,037
.47 22,172
.09 46,530
.45 -- -- 0 0 -- --
分项目说明未达到计划进 度、预计收益的情况和原因
（含 “是否达到预计效 益”选
择“不
适用”的原 因）
“大数据应用云平台及新一代智能网络通讯的研发和应用实践项目”原计划于 2021 年末结项，因人员招聘、资产采买等受到一定影响，同时公司根据项目实际进展、技术和市场预判，项目实际达到预定可使用状态时间为 2022 年 7 月。当前项目已达到可使用状态并开始运营，本报告期处于产能爬坡期，根据项目运营、盈利
模式及前期可行性分析报告论证预计将于 2023 年达产。
项目可行性发生重大变化的情况说明
不适用
超募资金的金额、用途及使用进展情况
不适用
募集资金投资项目实施地点变更情况
不适用
募集资金投资项目实施方式调整情况 适用
报告期内发生
2022 年 12 月 27 日，公司召开第五届董事会第八次临时会议审议通过了《关于变更部分募集资金投资项目的议案》，同意公司转让全资子公司创智联恒 45%的股权。创智联恒为公司向特定对象发行股票的募投项目“5G接入网关键技术产品研发项目”的实施主体，本次转让完成后，该募投项目的实施方式由全资子公司创智联恒实施变更为由控股子公司创智联恒实施。该事项于 2023 年 1 月 12 日经公司 2023 年第一次临时股东大会审议通过。
以前年度发生：
2017 年 9 月 4 日，公司 2017 年第三次临时股东大会决议通过了《关于变更募集资金投资项目部分内容的议案》，对募集资金投资项目—“基于大数据的运营云平台研发及其应用项目”中子项目“个性化流量应用”项目内容进行优化调整。
2018 年 11 月 15 日，公司 2018 年第一次临时股东大会审议通过了《关于变更部分募集资金投资项目的议
案》，同意调整募集资金投资项目的名称，并对原募投项目中子项目的投资金额、项目名称、项目内容、实施主体等进行部分调整。
2019 年 3 月 22 日，公司第四届董事会 2019 年第四次临时会议审议通过了《关于向子公司增加投资并实施募
投项目的议案》，同意使用募集资金 4,500.00 万元向北京创意增资，并由北京创意负责实施“大数据应用云平台及新一代智能网络通讯的研发和应用实践项目”的部分内容。
2020 年 5 月 19 日，公司 2019 年度股东大会审议通过了《关于变更部分募集资金投资项目的议案》，同意对原
募投项目中子项目的投资金额、项目内容等进行部分调整。
募集资金投资项目先期投入及置换情况 适用
2016 年非公开发行股份募集资金到账前，公司使用自筹资金垫付了发行费用 65.84 万元及项目款 291.37 万元；2016 年 11 月 25 日在募集资金到位后，公司已将该发行费用及项目投入款予以置换。此外，2019 年子公司创智联恒在募集资金到位前以自筹资金 1,009.46 万元进行了项目预先投入，在募集资金到位后该款项已置换完毕。
2021 年非公开发行股份募集资金到账前，公司用自筹资金支付了不含税发行费用 201.37 万元及项目款
7,656.70 万元；2022 年 4 月 7 日，公司召开第五届董事会 2022 年第一次临时会议，同意公司以募集资金置
换预先投入募投项目的自筹资金 7,656.70 万元（其中：“智能大数据融合平台项目”置换 1,098.90 万元， “自主可控数据库升级及产业化应用项目”置换 4,478.89 万元，“5G 接入网关键技术产品研发项目”置换 2,078.91 万元）及支付的不含税发行费用 201.37 万元。2022 年 4 月 11 日已完成上述置换。
用闲置募集资金暂时补充流动资金情况 适用
2018 年 10 月 26 日，公司召开第四届董事会 2018 年第七次临时会议审议通过了《关于使用部分闲置募集资金暂时补充流动资金的议案》，在保证募集资金投资项目建设资金需求的前提下，为提高募集资金使用效率，降低财务费用，维护公司和股东的利益，根据深圳证券交易所《创业板上市公司规范运作指引》及公司《募集资金管理办法》等相关规定，同意公司使用闲置募集资金 5,000.00 万元用于暂时补充流动资金，使用期限自
董事会审批通过之日起不超过 12 个月，到期后公司将及时归还至募集资金专户。公司于 2019 年 4 月 22 日将上述资金全部返回至公司募集资金专户，并同时通知了独立财务顾问及财务顾问主办人。
2019 年 4 月 24 日，公司召开第四届董事会 2019 年第四次会议审议通过了《关于使用部分闲置募集资金暂时补充流动资金的议案》，在保证募集资金投资项目建设资金需求的前提下，为提高募集资金使用效率，降低财务费用，维护公司和股东的利益，根据深圳证券交易所《创业板上市公司规范运作指引》及公司《募集资金管理办法》等相关规定，同意公司使用闲置募集资金 9,000.00 万元用于暂时补充流动资金，使用期限自董事
会审批通过之日起不超过 12 个月，到期后公司将及时归还至募集资金专户。公司于 2019 年 10 月 23 日将上述资金全部归还至公司募集资金专用账户，并同时通知了独立财务顾问和财务顾问主办人。
2019 年 10 月 24 日，公司召开第四届董事会 2019 年第五次临时会议审议通过了《关于使用部分闲置募集资金暂时补充流动资金的议案》，在保证募集资金投资项目建设资金需求的前提下，为提高募集资金使用效率，降低财务费用，维护公司和股东的利益，根据深圳证券交易所《创业板上市公司规范运作指引》及公司《募集资金管理办法》等相关规定，公司计划使用闲置募集资金 11,000 万元用于暂时补充流动资金，使用期限自董
事会审议通过之日起不超过 12 个月，到期后公司将及时归还至募集资金专户。公司于 2020 年 8 月 20 日将上述资金全部归还至公司募集资金专用账户，并同时通知了独立财务顾问和财务顾问主办人。
2020 年 12 月 22 日，公司召开第五届董事会 2020 年第一次临时会议审议通过了《关于使用部分闲置募集资金暂时补充流动资金的议案》，在保证募集资金投资项目建设资金需求的前提下，为提高募集资金使用效率，降低财务费用，维护公司和股东的利益，根据深圳证券交易所《创业板上市公司规范运作指引》及公司《募集资金管理办法》等相关规定，公司计划使用闲置募集资金 5,000 万元用于暂时补充流动资金，使用期限自董
事会审议通过之日起不超过 12 个月，到期后公司将及时归还至募集资金专户。公司于 2021 年 11 月 4 日将上述资金全部归还至公司募集资金专用账户，并同时通知了独立财务顾问和财务顾问主办人。
2021 年 12 月 3 日，公司召开第五届董事会 2021 年第八次临时会议审议通过了《关于使用部分闲置募集资金暂时补充流动资金的议案》，在保证募集资金投资项目建设资金需求的前提下，为提高募集资金使用效率，降低财务费用，维护公司和股东的利益，根据深圳证券交易所《创业板上市公司规范运作指引》及公司《募集资金管理办法》等相关规定，公司计划使用闲置募集资金 50,000.00 万元用于暂时补充流动资金，使用期限
不超过 12 个月，到期后公司将及时归还至募集资金专户。公司于 2022 年 7 月 20 日将上述资金全部归还至公司募集资金专用账户，并同时通知了独立财务顾问和财务顾问主办人。
2022 年 7 月 22 日，召开第五届董事会 2022 年第三次临时会议，审议通过了《关于使用部分闲置募集资金暂时补充流动资金的议案》，在保证募集资金投资项目建设资金需求的前提下，为提高募集资金使用效率，降低财务费用，维护公司和股东的利益，根据《深圳证券交易所上市公司自律监管指引第 2 号——创业板上市公
司规范运作》及公司《募集资金管理办法》等相关规定，公司计划使用闲置募集资金不超过 50,000 万元用于
暂时补充流动资金，使用期限不超过 12 个月，到期后公司将及时归还至募集资金专户。截至本报告期末，公
司使用 42,200 万元闲置募集资金暂时补充流动资金。
项目实施出现 适用
2016 年非公开发行承诺投资项目“大数据应用云平台及新一代智能网络通讯的研发和应用实践项目”：公司在项目实施过程中，严格遵守募集资金使用的有关规定，本着高效、节约、合理的原则，审慎地使用募集资
募集资金结余的金额及原因 金，加强项目建设各个环节费用的控制、监督和管理，通过对各项资源的合理调度和优化，合理地降低项目投资成本和费用。同时为提高募集资金的使用效率，在确保不影响募投项目建设和募集资金安全的前提下，公司使用部分闲置募集资金进行现金管理获得了 885.41 万元收益；此外，募集资金存放期间产生了 308.26万元净利息收入。
尚未使用的募集资金用途及去向 2016 年非公开发行股份募集资金：尚未使用的募集资金（含净利息收入及现金管理收益 1,199.22 万元）存放
在本公司及子公司邦讯信息、北京创意、创智联恒。2022 年 7 月 22 日，公司第五届董事会 2022 年第三次临
时会议审议通过《关于 2016 年非公开发行股份募集资金投资项目结项并将节余募集资金永久补充流动资金的议案》，同意公司募集资金投资项目结项并将节余募集资金永久补充流动资金，并在完成募投项目尾款支付 后，将节余资金转入公司及子公司自有资金户，转出后注销募集资金专户。公司正将按计划支付募投项目尾款。
2021 年非公开发行股份募集资金：尚未使用的募集资金 51,863.09 万元（含净利息收入及现金管理收益
1,386.77 万元），利用募集资金暂时补充流动资金 42,200 万元，其余暂未使用的募集资金均存放在本公司及
子公司万里开源、创智联恒募集专户中。2023 年 3 月 21 日，公司第五届董事会 2023 年第一次临时会议审议通过了《关于终止部分募投项目并将该部分募集资金永久补充流动资金的议案》，同意终止“自主可控数据库升级及产业化应用项目”和“5G 接入网关键技术产品研发项目”，并将该部分募集资金永久补充流动资金。该议案具体情况如下：公司拟将前述两个项目剩余的募集资金 14,212.10 万元及产生的利息（具体金额以资金转出当日专户余额为准）永久补充流动资金，用于公司主营业务相关的生产经营活动；此外，万里开源和创智联恒将使用自有资金归还已使用募集资金投入的资金 15,899.56 万元，其中：万里开源 8,527.14 万元、
创智联恒 7,372.43 万元。2023 年 4 月 6 日 2023 年第二次临时股东大会会审议通过了《关于终止部分募投项
目并将该部分募集资金永久补充流动资金的议案》。
募集资金使用及披露中存在的问题或其他情况
无
（3） 募集资金变更项目情况
□适用 ☑不适用
公司报告期不存在募集资金变更项目情况。
八、重大资产和股权出售
1、出售重大资产情况
☑适用 □不适用
交易对方
被出售资产
出售日
交易价格（万元）
本期初起至出售日该资产为上市公司贡献的净利润（万元）
出售对公司的影响（注 3）
资产出售为上市公司贡献的净利润占净利润总额的比例
资产出售定价原则
是否为关联交易
与交易对方的关联关系
（适用关联交易情形） 所涉及的资产产权是否已全部过户 所涉及的债权债务是否已全部转移 是否按计划如期实施，如未按计划实施，应当说明原因及公司已采取的措
披露日期
披露索引
施
上海证券交易所二级市场不特定投资者 交易性金融资产
-
持有的成都银行股份有限公司股票
2022
年 06
月 09日
2,923.7
2
617.89
本次出售股票资产有利于优化公司资产结构，提高资产运营效率，所得资金将用于公司生产经营，有利于满足公司未来发展的资金需求。本次出售成都银行股票增加公司净利润
138.73 万
元，增加公司银行存款 2940.27 万
元。
-1.53%
股票二级市场交易价格
否
不适用
是
是
是
2022
年 06
月 09日
创意信息技术股份有限公司关于公司出售股票资产的公告（公告编 码： 2022-
27）
上海证券交易所二级市场不特定投资者 交易性金融资产
-
持有的成都银行股份有限公司股票
2022
年 06
月 10日
4,543.9
949.58
本次出售股票资产有利于优化公司资产结构，提高资产运营效率，所得资金将用于公司生产经营，有利于满足公司未来发展的资金需求。本次出售成都银行股票增加公司净利润
213.21 万
元，增加公司银行存款 4518.69 万
元。
-2.35%
股票二级市场交易价格
否
不适用
是
是
是
2022
年 06
月 09日
创意信息技术股份有限公司关于公司出售股票资产的公告（公告编 码： 2022-
27）
2、出售重大股权情况
□适用 ☑不适用
九、主要控股参股公司分析
☑适用 □不适用
主要子公司及对公司净利润影响达 10%以上的参股公司情况
单位：元
公司名称 公司类型 主要业务 注册资本 总资产 净资产 营业收入 营业利润 净利润
上海格蒂电力科技有限公司
子公司 软件和信息技术服务业
42,593
,061.00
1,401,630
,120.21
402,652,5
60.36
949,285,7
49.47
3,609,902
.37
1,314,204
.80
广州邦讯信息系统有限公司
子公司 软件和信息技术服务业
51,000
,000.00
526,691,2
94.46
380,039,8
71.94
157,175,4
93.55
1,671,628
.72
2,374,325
.57
北京创意云智数据技术有限公司
子公司 软件和信息技术服务业
57,000
,000.00
497,249,8
74.34
241,836,0
09.17
322,457,4
15.05 - 6,570,648
.19 - 6,395,633
.43
四川创智联恒科技有限公司
子公司 软件和信息技术服务业
50,000
,000.00
126,252,2
48.00 - 3,682,938
.78
40,799,35
0.53 - 21,971,19
3.82 - 21,922,33
9.23
北京万里开源软件有限公司
子公司 软件和信息技术服务业
42,843
,556.00
77,497,08
4.70 - 119,267,7
03.63
46,633,57
1.76 - 65,599,02
7.29 - 65,597,32
1.82
报告期内取得和处置子公司的情况
☑适用 □不适用
公司名称 报告期内取得和处置子公司方式 对整体生产经营和业绩的影响
拓林思 股权转让 无重大影响
上海蒂玺 注销 无重大影响
创意信创二期 新设 无重大影响
创意数科 新设 无重大影响
十、公司控制的结构化主体情况
☑适用 □不适用
公司控制的结构化主体为创意信创二期，公司通过创意信创二期对上海新迪产生影响，并获取联营企业的相关经济收益。
十一、公司未来发展的展望
参见“管理层讨论与分析”中的“四、1、概述”相关内容。
十二、报告期内接待调研、沟通、采访等活动登记表
☑适用 □不适用
接待时间
接待地点
接待方式 接待对象类型
接待对象 谈论的主要内容及提供的资料 调研的基本情况索引
2022 年 07
月 04 日
公司会议室
实地调研
机构
银河证券、中信建投 公司经营情况介绍及回答投资者提问 详见 www.cninfo.c om.cn
2022 年 10
月 18 日
公司会议室
实地调研
机构 国盛证券、招商基金、信诚基 金、太平资产、中庚基金、博道基金、中海基金、华安基金、国 公司经营情况介绍及回答投资者提问 详见 www.cninfo.c om.cn
华人寿、嘉实基金、信达澳亚基金
2022 年 10
月 27 日
公司会议室
实地调研
机构 国盛证券、中信证券、华夏久 盈、博时基金、东吴基金、健顺投资、慎知资产、万家基金、信达澳亚基金、长城基金、诺德基金、国寿资产、财通基金、太平资产、和聚投资、上海磐厚、东方证券、道仁资产、华泰证券、华夏财富创新、方圆基金、誉辉资本、和谐汇一、西部证券、中金基金、中金资管、东方财富、玖鹏资产
公司经营情况介绍及回答投资者提问
详见 www.cninfo.c om.cn
2022 年 11
月 09 日
公司会议室
实地调研
机构 国盛证券、民生证券、国信证 券、西南证券、东方财富证券、汇添富、大成基金、长城基金、东方红、东方阿尔法、兴全基金、嘉合基金、中融基金、广银理财、国寿安保、玖鹏资产、远海资产
公司经营情况介绍及回答投资者提问
详见 www.cninfo.c om.cn
2022 年 11
月 16 日
公司会议室
实地调研
机构 国联安基金、平安基金、国信证券、趣时资产、东财证券 公司经营情况介绍及回答投资者提问 详见 www.cninfo.c om.cn
第四节 公司治理
一、公司治理的基本状况
报告期内，公司严格按照《公司法》、《证券法》、《上市公司治理准则》、《深圳证券交易所创业板股票上市规则》、《深圳证券交易所创业板上市公司规范运作指引》和其它有关法律法规、规范性文件的要求，不断完善公司治理结构，并有效的贯彻执行，进一步提高了公司规范运作水平和风险防范能力。
1、关于股东与股东大会
公司严格按照《公司法》、《上市公司股东大会规则》以及《公司章程》、《股东大会议事规则》和深圳证券交易所创业板的相关规定和要求，规范股东大会的召集、召开和表决程序。报告期内，公司召开的股东大会均由公司董事会召集召开，并聘请律师进行现场见证，充分行使自己的权利。 在股东大会上能够保证各位股东有充分的发言权，确保全体股东特别是中小股东享有平等地位，公司努力为股东提供便利的表决方式，采用股东大会网络投票方式，确保股东合法行使权益，保证股东对公司重大事项的知情权、参与权、表决权。报告期内，本公司召开的股东大会不存在违反《上市公司股东大会规则》的情形，公司未发生单独或合并持有本公司有表决权股份总数 10%以上的股东请求召开临时股东大会的情形，也无监事会提议召开的股东大会。按照《公司法》、《公司章程》的规定应由股东大会审议的重大事项，本公司均通过股东大会审议，不存在绕过股东大会的情况，也不存在先实施后审议的情况。
2、关于董事与董事会
公司董事会设董事 9 名，其中独立董事 3 名，董事会的人数及人员构成符合法律、法规和《公司章程》的要求。报告期内，公司董事会各位董事均能够依据《董事会议事规则》、《独立董事工作制度》、《深圳证券交易所创业板上市公司规范运作指引》等开展工作，出席董事会、董事会专门委员会和股东大会，勤勉尽责地履行职责和义务，同时积极参加相关培训，熟悉相关法律法规。公司董事会下设有战略委员会、薪酬与考核委员会、提名委员会和审计委员会四个专门委员会，并制定了各委员会实施细则。各委员会依据《公司章程》和各委员会议事规则的规定履行职权，不受公司任何其他部门和个人的干预。
3、关于监事与监事会
公司监事会设监事 3 名，其中职工监事 1 名，监事会的人数和构成符合法律、法规的要求。报告期内，公司第五届 监事会各位监事均能够按照《公司章程》、《监事会议事规则》等规定的要求，认真履行自己的职责，对公司重大事项、财务状况以及董事、高管人员履行职责的合法合规性进行监督。
4、关于经理层
公司经理层能勤勉尽责，严格按照公司各项管理制度履行职责，切实贯彻、执行董事会的决议。 5、关于信息披露与透明度
报告期内，公司严格按照有关法律法规以及公司制定的《信息披露管理制度》、《投资者关系管理制度》的要求， 真实、准确、完整、及时、公平地披露有关信息；并指定公司董事会秘书负责信息披露工作，协调公司与投资者的关系，接待股东来访，回答投资者咨询。公司指定《中国证券报》、《上海证券报》、《证券时报》、《证券日报》为信息披露报纸，巨潮资讯网（www.cninfo.com.cn）为信息披露网站，确保公司所有股东能够以平等的机会获得信息。
6、关于相关利益者
公司充分尊重和维护相关利益者的合法权益，积极与相关利益者合作，加强与各方的沟通和交流，实现股东、员工、社会等各方利益的协调平衡，共同推动公司持续、健康的发展。
公司治理的实际状况与法律、行政法规和中国证监会发布的关于上市公司治理的规定是否存在重大差异
□是 ☑否
公司治理的实际状况与法律、行政法规和中国证监会发布的关于上市公司治理的规定不存在重大差异。
二、公司相对于控股股东、实际控制人在保证公司资产、人员、财务、机构、业务等方面的独立情况
公司在业务、人员、资产、机构、财务等方面与公司控股股东及公司实际控制人保持独立，公司控股股东、实际控制人及其关联人不存在违法违规占用公司资金以及要求公司违法违规提供担保的情形。
三、同业竞争情况
□适用 ☑不适用
四、报告期内召开的年度股东大会和临时股东大会的有关情况
1、本报告期股东大会情况
会议届次 会议类型 投资者参与比例 召开日期 披露日期 会议决议
2022 年第一次临时股东大会 临时股东大会 30.96% 2022 年 01 月 18
日 2022 年 01 月 18
日 www.cninfo.com. cn
2021 年度股东大会 年度股东大会 24.41% 2022 年 05 月 17
日 2022 年 05 月 17
日 www.cninfo.com. cn
2022 年第二次临时股东大会 临时股东大会 24.06% 2022 年 08 月 23
日 2022 年 08 月 23
日 www.cninfo.com. cn
2022 年第三次临时股东大会 临时股东大会 24.03% 2022 年 09 月 13
日 2022 年 09 月 13
日 www.cninfo.com. cn
2、表决权恢复的优先股股东请求召开临时股东大会
□适用 ☑不适用
五、公司具有表决权差异安排
□适用 ☑不适用
六、红筹架构公司治理情况
□适用 ☑不适用
七、董事、监事和高级管理人员情况
1、基本情况
姓名
职务
任职状态
性别
年龄
任期起始日期
任期终止日期 期初持股数
（股
） 本期增持股份数量
（股
） 本期减持股份数量
（股
） 其他增减变动
（股
） 期末持股数
（股
） 股份增减变动的原因
陆文斌
董事长
现任
男
59 2008
年 11
月 26日 2023
年 11
月 26日
97,63
5,902
0
0
0
97,63
5,902
王晓伟 董 事、副董
事长
现任
男
62 2008
年 11
月 26日 2023
年 11
月 26日
28,63
8,428
0
3,467
,500
0
25,17
0,928
减持股份
何文江 董 事、副董事长
现任
男
58 2020
年 11
月 27日 2023
年 11
月 26日
151,4
00
0
0
0
151,4
00
杜广湘 董 事、副总
经理
现任
男
58 2017
年 01
月 01日 2023
年 11
月 26日
14,97
8,970
0
3,740
,000
0
11,23
8,970
减持股份
黎静 董 事、副总经理
现任
男
58 2018
年 12
月 29日 2023
年 11
月 26日
6,369
,256
0
1,484
,833
0
4,884
,423
减持股份
周学军
董事
现任
男
56 2008
年 11
月 26日 2023
年 11
月 26日
1,327
,256
0
0
0
1,327
,256
屈鸿
独立董事
现任
男
45 2022
年 09
月 13日 2023
年 11
月 26日
0
0
0
0
0
马桦
独立董事
现任
女
52 2022
年 01
月 18日 2023
年 11
月 26日
0
0
0
0
0
王雪
独立董事
现任
女
42 2022
年 01
月 18日 2023
年 11
月 26日
0
0
0
0
0
罗群 监事会主席、证券事务
现任
女
37 2014
年 11
月 18日 2023
年 11
月 26日
0
0
0
0
0
代表
侯静
监事
现任
女
42 2020
年 11
月 27日 2023
年 11
月 26日
0
0
0
0
0
胡小刚
监事
现任
男
42 2020
年 11
月 27日 2023
年 11
月 26日
0
0
0
0
0
王震
总经理
现任
男
46 2022
年 09
月 23日 2023
年 11
月 26日
0
0
0
0
0
刘杰 副总经 理、财务总监
现任
男
40 2018
年 10
月 19日 2023
年 11
月 26日
117,3
00
0
0
0
117,3
00
黄建蓉 董事会秘书
现任
女
37 2020
年 11
月 27日 2023
年 11
月 26日
0
0
0
0
0
熊军
独立董事
离任
男
55 2020
年 11
月 27日 2022
年 09
月 13日
0
0
0
0
0
辜明安
独立董事
离任
男
57 2016
年 01
月 18日 2023
年 01
月 18日
0
0
0
0
0
邹燕
独立董事
离任
女
42 2016
年 01
月 18日 2023
年 01
月 18日
0
0
0
0
0
合计
--
--
--
--
--
-- 149,2
18,51
2.00
0.00 8,692
,333.
00
0.00 140,5
26,17
9.00
--
报告期是否存在任期内董事、监事离任和高级管理人员解聘的情况
☑是 □否
1、公司于 2022 年 9 月 23 日召开第五届董事会 2022 年第六次临时会议，审议通过了《关于公司聘任总经理的议案》、
《关于选举公司第五届董事会副董事长的议案》，聘任王震先生为公司总经理，原总经理何文江先生自 2022 年 9 月 23日不再担任公司总经理职务，将继续担任公司董事、副董事长及董事会相关委员会职务，详见公司于对外披露的《关于选举副董事长及调整公司告关》（2022-57）。
2、 公司于 2022 年 8 月 26 日召开第五届董事会 2022 年第五次临时会议、于 2022 年 9 月 13 日召开 2022 年第三次临时股东大会，审议通过《关于选举公司第五届董事会独立董事的议案》，同意选举屈鸿先生担任公司第五届董事会独立董事、董事会审计委员会、薪酬与考核委员会、战略委员会委员及提名委员会召集人职务。原独立董事熊军先生因个人原因请求辞去公司第五届董事会独立董事、董事会审计委员会、薪酬与考核委员会、战略委员会委员及提名委员会召集人职务并于 2022 年 9 月 13 日正式离任，辞职后不在公司担任任何职务，详见公司对外披露的《关于完成选举独立董事的公告》（2022-53） 。
3、 公司于 2021 年 12 月 30 日召开第五届董事会 2021 年第十次临时会议、于 2022 年 1 月 18 日召开 2022 年第一次临时股东大会审议通过《关于选举公司独立董事的议案》，同意选举马桦女士、王雪女士为公司第五届董事会独立董事及审计委员会、提名委员会和薪酬与考核委员会委员。由马桦女士担任薪酬与考核委员会召集人，由王雪女士担任审计委员会召集人。原独立董事邹燕女士、辜明安先生于 2022 年 1 月 18 日离任，不再继续担任公司独立董事及审计委员会、提名委员会和薪酬与考核委员会委员，详见公司对外披露的《关于独立董事离任暨聘任独立董事的公告》（2022-04）。
公司董事、监事、高级管理人员变动情况
☑适用 □不适用
姓名 担任的职务 类型 日期 原因
何文江 副董事长 被选举 2022 年 09 月 23 日 工作变动
何文江 总经理 离任 2022 年 09 月 23 日 工作变动
王震 总经理 任免 2022 年 09 月 23 日 工作变动
马桦 独立董事 被选举 2022 年 01 月 18 日 被选举
王雪 独立董事 被选举 2022 年 01 月 18 日 被选举
屈鸿 独立董事 被选举 2022 年 09 月 13 日 被选举
邹燕 独立董事 任期满离任 2022 年 01 月 18 日 个人原因
辜明安 独立董事 任期满离任 2022 年 01 月 18 日 个人原因
熊军 独立董事 离任 2022 年 09 月 13 日 个人原因
2、任职情况
公司现任董事、监事、高级管理人员专业背景、主要工作经历以及目前在公司的主要职责
截止报告期末，公司董事、监事及高级管理人员共 15 人，董事会成员为：陆文斌、王晓伟、何文江、杜广湘、黎静、周学军、马桦、王雪、屈鸿；监事会成员为：罗群、侯静、胡小刚；高级管理人员为：王震、杜广湘、黎静、刘杰、黄建蓉。
（一）董事会成员
陆文斌，中国国籍，男，硕士，电子科技大学协议教授、创业导师。陆文斌先生于 1979 年考入电子科技大学，获计算机工程专业学士学位、计算机软件专业硕士学位，后留校在电子科技大学所属计算机研究所从事科研任务，1991 年被 破格晋升为副教授。1992 年，受电子科技大学委派，作为股东代表出任四川电子信息股份有限公司副总经理、总工程师，全面负责公司技术工作。2018 年 6 月至今任成都电子科大资产经营有限公司董事；现任本公司法人代表、董事长。陆文斌先生曾参加了国家“七五”重点攻关项目“华胜 3000 系列超级微机工程工作站”的开发工作，为该项目“浮点加速部件”FPA 开发负责人，该项目获“国家科技进步三等奖”、“机械电子工业部科技进步一等奖”；参加了国防科工委
“军用可剪裁实时操作系统（嵌埋型）”项目研发工作，为该项目主要开发人之一，该项目获电子工业部“科技进步二 等奖”；参加了电子工业部“EMUL-85A 在线仿真器”项目开发工作，为该项目主要设计人之一，该项目获四川省“科技进步三等奖”；主持开发了西南航空“航空安全监察管理信息系统”项目，该项目获“国家重点新产品”证书、“成都市科学技术成果”证书；先后荣获“成都市最具社会责任企业家”称号、成都市“五一劳动奖章”获得者、中国区域 IT服务领军人物、中国软件行业优秀企业家、成都市发展和改革委员会经济体制改革智库成员、中国软件行业优秀企业家、
四川省优秀企业家、四川省软件行业优秀企业家、成都市工业和信息化行业领军企业家；为感恩母校及导师，向电子科技大学教育发展基金会捐赠 1000 万元设立“电子科技大学刘锦德•创意信息科技创新发展基金”。
王晓伟，中国国籍，男，四川大学研究生学历，高级工程师。1984 年至 1990 年任解放军某部军代表；1990 年至 1992 年任四川省科委主任科员；1992 年至 2001 年任四川电子信息股份有限公司副总经理。2005 年至今，任四川省高新
技术企业产业化电子信息专家组成员；2015 年 4 月至 2020 年 11 月任公司董事会秘书；现任本公司董事、副董事长。何文江，中国国籍，男，北京航空航天大学计算机辅助设计与制造专业，硕士学历。1985 年至 1989 年任成都飞机
公司计算中心软件工程师；1993 年至 1997 年任香港迪艾电脑公司成都代表处首席代表；1997 年至 2000 年任 Sybase 公
司南方区总经理；2000 年至 2008 年任BEA 系统（中国）有限公司副总经理; 2008 年至 2019 年任甲骨文（中国）软件系统有限公司副总裁；2020 年 4 月 28 日至 2022 年 9 月 23 日任创意信息总经理；2022 年 10 月 18 日至今任上海新迪首席执行官（CEO）；现任公司董事、副董事长。
杜广湘，中国国籍，男，成都电子科技大学电子工程专业本科学历。1987 年至 1999 年任信息产业部电子 54 所工程
师；2002 年至 2003 年任亚信联创科技(中国)有限公司监控事业部总监；2003 年 9 月至今任邦讯信息董事长；2019 年 1月至今任创智联恒执行董事；现任公司董事、副总经理。
黎静，中国国籍，男，湖南大学计算机专业本科学历。1987 年至 1999 年任长沙环力科技总公司总经理；1999 年至 2001 年任西安协同数码股份有限公司商务总监；2001 年至 2004 年任陕西省电力信通公司市场总监；2004 年至 2010 年 6
月任西安交大博通资讯股份有限公司总裁助理兼电力事业部总经理；2017 年 1 月至 2021 年 12 月省人大代表；现任公司董事、副总经理。
周学军，中国国籍，男，本科学历。1988 年 8 月至 1993 年 6 月任四川省国土局勘测规划工程师；1993 年 6 月至
1996 年 5 月任四川省土地开发总公司副总经理；1996 年 6 月至 2003 年 6 月任四川三合实业有限公司总经理；2008 年 11月至今任本公司董事。
马桦，中国国籍，女，法学博士，西南财经大学法学院副教授。1991 年 7 月至 2000 年 7 月，任四川省财政厅任科
员；2000 年 7 月至今，任西南财经大学法学院副教授；2002 年 2 月至 2003 年 2 月，德国柏林经济学院访问学者；2008
年至 2014 年任创意信息技术股份有限公司独立董事；2009 年至 2015 年，任四川广运集团股份有限公司独立董事；2010
年至今，任成都市仲裁委员会仲裁员；2012 年 8 月至 2013 年 8 月，美国福特汉姆大学访问学者；2014 年至 2017 年，任
成都西部石油装备股份有限公司独立董事；2014 年 9 月至 2020 年 12 月，任尚纬股份有限公司独立董事；2018 年至今，
任西南财经大学仲裁法研究中心主任。2022 年 1 月 18 日至今，任本公司独立董事。
王雪，中国国籍，女，管理学（会计学）博士，民革党员，西南财经大学会计学院教授，硕士生导师。注册会计师
（CPA Australia），中国会计学会会员，中国管理会计研究中心特聘研究员，西南财经大学专业学位教育中心特聘教师，主持或主研多个国家级、省部级课题，发表学术论文 20 余篇，著有专著 2 本，主编或参编教材多部。2007 年至 2012 年，
任西南财经大学会计学院助理教授；2012 年至 2020 年，任西南财经大学会计学院副教授，硕士生导师；2020 年至今，任西南财经大学会计学院教授，硕士生导师。2018 年 6 月至今任成都利君实业股份有限公司独立董事；2018 年 12 月至今任四川迅游网络科技股份有限公司独立董事；2019 年 12 月至今，任成都博瑞传播股份有限公司独立董事；2021 年 8
月至今任深圳市飞马国际供应链股份有限公司独立董事，2022 年 1 月 18 日至今，任本公司独立董事。
屈鸿，中国国籍，男，工学博士，电子科技大学教授。2007 年 1 月至 2010 年 8 月，任电子科技大学计算机科学与
工程学院讲师；2010 年 8 月至 2015 年 8 月，任电子科技大学计算机科学与工程学院副教授；2014 年 11 月至 2015 年 10
月，德国柏林洪堡大学访问学者；2015 年 9 月至今，任电子科技大学计算机科学与工程学院教授。2022 年 1 月至 2023
年 3 月，任四川中智人工智能科学与技术交流中心法人代表。2022 年 9 月 13 日至今，任本公司独立董事。
（二）监事会成员
罗群，中国国籍，女，1986 年出生，工商管理硕士。2007 年 8 月至 2011 年 7 月任成都市蜀都公证处公证人员；
2011 年 12 月加入本公司，现任本公司监事会主席、投资者关系总监、证券事务代表。
侯静，中国国籍，女，1980 年出生，四川大学工商管理（金融方向）硕士学历。2015 年 8 月至 2016 年 12 月任四川
省胜泽源农业集团有限公司证券事务代表；2017 年 4 月至 2019 年 4 月任四川省乐山市福华通达农药科技有限公司证券事务代表；2019 年 5 月至今任公司运营管理中心总监；2020 年 11 月至今任公司监事。
胡小刚，中国国籍，男，1980 年出生，本科学历。2007 年 3 月至 2020 年 6 月历任公司工程师、项目经理、技术专家、部门经理；2020 年 7 月至今任公司本部研发中心副总监；2020 年 11 月至今任公司监事。
（三）高级管理人员
王震，中国国籍，男，云南大学通信与信息系统硕士研究生学历。2001 年 7 月至 2008 年 8 月历任中国联通云南分
公司项目经理、增值业务部副总监、增值业务部副总监（主持工作）；2008 年 9 月至 2011 年 7 月历任中国电信云南公
司运维部副总经理、个人客户部副总经理（主持工作）、增值业务运营中心主任；2011 年 8 月至 2013 年 12 月任青牛
（北京）技术有限公司副总裁兼西区总经理；2014 年 1 月至 2014 年 9 月任青牛（北京）技术有限公司副总裁兼云服务
事业部总经理；2014 年 10 月至 2016 年 5 月任北京青牛风科技有限公司总经理；2018 年 6 月至 2022 年 9 月任创意信息技术股份有限公司副总经理；现任创意信息技术股份有限公司公司总经理。
杜广湘，公司副总经理，详见公司董事简历。黎静，公司副总经理，详见公司董事简历。
刘杰，中国国籍，男，四川大学硕士学历，中国注册会计师。2005 年 7 月至 2006 年 9 月任普华永道会计师事务所
审计员；2006 年 9 月至 2014 年 8 月历任毕马威会计师事务所审计员、助理经理、经理；2014 年 8 月至 2016 年 9 月任世
纪互联集团财务总监；2016 年 9 月至 2018 年 2 月任成都天地网信息科技有限公司财务总监；2018 年 10 月至今任公司副总经理、财务总监。
黄建蓉，中国国籍，女，本科学历。2008 年加入创意信息，2008 年 11 月至 2020 年 11 月历任公司监事、董事会办公室主任和证券事务代表；2020 年 11 月至今任本公司董事会秘书。
在股东单位任职情况
□适用 ☑不适用
在其他单位任职情况
☑适用 □不适用
任职人员姓名 其他单位名称 在其他单位担任的职务 任期起始日期 任期终止日期 在其他单位是否领取报酬津贴
陆文斌 成都电子科大资产经营有限公司 董事 2018 年 06 月 01 日 是
杜广湘 广州讯动网络科技有限公司 执行董事 2014 年 01 月 01 日 否
杜广湘 广东邦鼎信息科技有限公司 执行董事 2015 年 01 月 01 日 否
黎静 石门汉唐生态农业有限公司 执行董事兼总经理 2015 年 01 月 01 日 否
黄建蓉 创智联慧（重庆）科技有限公司 监事 2020 年 11 月 17 日 否
马桦 成都市仲裁委员会 （首席库）仲裁员 2010 年 01 月 01 日 是
马桦 西南财经大学仲裁法研究中心 主任 2018 年 01 月 01 日 否
马桦 成都高新发展股份有限公司 独立董事 2022 年 06 月 30 日 是
马桦 泸州市兴泸水务(集团)股份有限公司 独立董事 2022 年 04 月 01 日 是
王雪 四川迅游网络科技股份有限公司 独立董事 2018 年 12 月 24 日 是
王雪 成都博瑞传播股份有限公司 独立董事 2020 年 06 月 30 日 是
王雪 深圳市飞马国际供应链股份有限公司 独立董事 2021 年 08 月 18 日 是
在其他单位任职情况的说明 公司部分董事、高级管理人员有在其他单位任职的情况，但其能够对工作时间作出有效安排，没有影响其勤勉履行在公司任职的相应职责。
公司现任及报告期内离任董事、监事和高级管理人员近三年证券监管机构处罚的情况
☑适用 □不适用
1、公司及相关责任人于 2022 年 8 月 11 日收到深圳证券交易所下发的《关于对创意信息技术股份有限公司及相关当事人给予通报批评处分的决定》。
3、董事、监事、高级管理人员报酬情况
董事、监事、高级管理人员报酬的决策程序、确定依据、实际支付情况
（一）决策程序
在公司承担职务的董事、监事、高级管理人员报酬根据公司绩效考核办法确定，由公司支付；独立董事津贴依据股东大会决议支付。
（二）确定依据
董事、监事和高级管理人员的报酬按照公司相关规章制度，结合公司实际情况和行业薪酬水平制定，根据公司薪酬体系 和岗位职责、绩效考核体系实施。其中独董领用津贴，不享受公司其他薪金保险等待遇。外部董事不在本公司领取薪酬。
（三）实际支付情况
2022 年支付董事、监事、高级管理人员工资、薪金、津贴共计 739.41 万元。公司报告期内董事、监事和高级管理人员报酬情况
单位：万元
姓名 职务 性别 年龄 任职状态 从公司获得的税前报酬总额 是否在公司关联方获取报酬
陆文斌 董事、董事长 男 59 现任 67.76 否
何文江 董事、副董事长 男 58 现任 101.08 否
王晓伟 董事、副董事长 男 62 现任 52.92 否
杜广湘 董事、副总经理 男 58 现任 92.35 否
黎静 董事、副总经理 男 58 现任 73.27 否
周学军 董事 男 56 现任 0 否
屈鸿 独立董事 男 46 现任 2.13 否
马桦 独立董事 女 52 现任 6.71 否
王雪 独立董事 女 42 现任 6.71 否
罗群 监事会主席、证券事务代表 女 37 现任 37.07 否
侯静 监事 女 42 现任 35.21 否
胡小刚 监事 男 42 现任 46.98 否
王震 总经理 男 46 现任 94.5 否
刘杰 副总经理、财务总监 男 40 现任 79.16 否
黄建蓉 董事会秘书 女 37 现任 38.01 否
熊军 独立董事 男 55 离任 4.91 否
辜明安 独立董事 男 57 离任 0.32 否
邹燕 独立董事 女 41 离任 0.32 否
合计 -- -- -- -- 739.41 --
八、报告期内董事履行职责的情况
1、本报告期董事会情况
会议届次 召开日期 披露日期 会议决议
第五届董事会 2022 年第一次临时会议
2022 年 04 月 07 日
2022 年 04 月 07 日 决议公告已披露于巨潮资讯网 http://www.cninfo.com.cn
第五届董事会第四次会议
2022 年 04 月 22 日
2022 年 04 月 26 日 决议公告已披露于巨潮资讯网 http://www.cninfo.com.cn
第五届董事会 2022 年第二次临时会议
2022 年 06 月 08 日
2022 年 06 月 09 日 决议公告已披露于巨潮资讯网 http://www.cninfo.com.cn
第五届董事会 2022 年第三次临时会议
2022 年 07 月 22 日
2022 年 07 月 22 日 决议公告已披露于巨潮资讯网 http://www.cninfo.com.cn
第五届董事会 2022 年第四次临时会议
2022 年 08 月 05 日
2022 年 08 月 05 日 决议公告已披露于巨潮资讯网 http://www.cninfo.com.cn
第五届董事会第五次会议 2022 年 08 月 19 日 2022 年 08 月 23 日 决议公告已披露于巨潮资讯
网 http://www.cninfo.com.cn
第五届董事会 2022 年第五次临时会议
2022 年 08 月 26 日
2022 年 08 月 26 日 决议公告已披露于巨潮资讯网 http://www.cninfo.com.cn
第五届董事会 2022 年第六次临时会议
2022 年 09 月 23 日
2022 年 09 月 26 日 决议公告已披露于巨潮资讯网 http://www.cninfo.com.cn
第五届董事会 2022 年第七次临时会议 2022 年 10 月 21 日
第五届董事会 2022 年第八次临时会议
2022 年 12 月 27 日
2022 年 12 月 27 日 决议公告已披露于巨潮资讯网 http://www.cninfo.com.cn
2、董事出席董事会及股东大会的情况
董事出席董事会及股东大会的情况
董事姓名 本报告期应参加董事会次数
现场出席董事会次数 以通讯方式参加董事会次数
委托出席董事会次数
缺席董事会次数 是否连续两次未亲自参加董事会会议
出席股东大会次数
陆文斌 10 10 0 0 0 否 4
何文江 10 10 0 0 0 否 4
王晓伟 10 10 0 0 0 否 4
杜广湘 10 10 0 0 0 否 4
黎静 10 10 0 0 0 否 4
周学军 10 10 0 0 0 否 4
熊军 7 7 0 0 0 否 4
辜明安 0 0 0 0 0 否 1
邹燕 0 0 0 0 0 否 1
马桦 10 10 0 0 0 否 3
王雪 10 10 0 0 0 否 3
屈鸿 3 3 0 0 0 否 0
连续两次未亲自出席董事会的说明：无
3、董事对公司有关事项提出异议的情况
董事对公司有关事项是否提出异议
□是 ☑否
报告期内董事对公司有关事项未提出异议。
4、董事履行职责的其他说明
董事对公司有关建议是否被采纳
☑是 □否
董事对公司有关建议被采纳或未被采纳的说明
报告期内，公司全体董事勤勉尽责，严格按照中国证监会和深圳证券交易所的相关规定以及《公司章程》、《董事会议事规则》等制度开展工作，高度关注公司规范运作和经营情况，根据公司的实际情况，对公司的经营决策和重大事项提出了相关的意见，经过充分沟通讨论，形成一致意见，并坚决监督和推动董事会决议的执行，确保决策科学、及时、高效，维护公司和全体股东的合法权益。
九、董事会下设专门委员会在报告期内的情况
委员会名称
成员情况 召开会议次数
召开日期
会议内容
提出的重要意见和建议
其他履行职责的情况
异议事项具体情况
（如有）
审计委员会 王雪、马桦、屈鸿、陆文 斌、王晓伟
4
2022 年
02 月 21
日
对年度审计重点和内容进行充分讨论
审计委员会
王雪、马桦、屈鸿、陆文 斌、王晓伟
4
2022 年
04 月 20
日 审议《关于公司〈2021 年度财务决算报 告>的议案》；审议《关于公司〈2021 年度审计报告>的议案》；审议《关于公司 2021年度利润分配预案的议案》；审议《关于公司〈2021 年度内部控制自我评价报告>的议案》；审议《关于公司续聘会计师事务所的议案》；审议《关于〈2021 年度募集资金存放与使用情况专项报告>的议
案》；审议《公司 2022 年 1－3 月财务报表的议案》；审议《关于公司及子公司申请综合授信暨有关担保的议案》；审议
《关于计提资产减值准备的议案》
审计委员会 王雪、马桦、屈鸿、陆文 斌、王晓伟
4
2022 年
08 月 11
日
审议《关于公司 2022 年 1-6 月财务报表
的议案》、《关于公司 2022 年半年度募集资金存放与使用情况的专项报告的议案》
审计委员会 王雪、马桦、屈鸿、陆文 斌、王晓伟
4
2022 年
10 月 19
日
审议《关于公司 2022 年 1-9 月财务报表的议案》、审议创意集团审计中心第四季度工作计划；》
提名委员会 屈鸿、马桦、王雪、陆文 斌、何文江
2
2022 年
08 月 26
日
审议《关于选举公司独立董事的议案》
提名委员会 屈鸿、马桦、王雪、陆文 斌、何文江
2
2022 年
09 月 16
日
审议《关于提名公司总经理的议案》
十、监事会工作情况
监事会在报告期内的监督活动中发现公司是否存在风险
□是 ☑否
监事会对报告期内的监督事项无异议。
十一、公司员工情况
1、员工数量、专业构成及教育程度
报告期末母公司在职员工的数量（人） 311
报告期末主要子公司在职员工的数量（人） 1,329
报告期末在职员工的数量合计（人） 1,640
当期领取薪酬员工总人数（人） 1,640
母公司及主要子公司需承担费用的离退休职工人数（人） 0
专业构成
专业构成类别 专业构成人数（人）
生产人员 0
销售人员 160
技术人员 1,207
财务人员 42
行政人员 231
合计 1,640
教育程度
教育程度类别 数量（人）
博士 2
硕士 127
本科 1,053
大专 409
大专以下 49
合计 1,640
2、薪酬政策
公司目前的薪酬以行业人力资源市场价为基准，采取工资、福利、绩效奖金、股权类激励结合，制定有竞争力的薪酬体系，加大对关键人才的吸引力和保留。
公司需遵守《深圳证券交易所上市公司自律监管指引第 3 号——行业信息披露》中的“软件与信息技术服务业”的披露要求
3、培训计划
公司基于内部职能体系分布和职级标准，搭建了完善的人才发展和培育体系。培训作为人力资源管理与开发的重要组成部分，不仅是促进人力资本增值、给员工赋能的有效方式，也是培育企业文化、宣导企业价值观、激发企业活力的重要途径。根据不同岗位对工作技能的要求，提高员工综合素质，结合公司战略及发展需要，有计划、有针对的开展培训活动，为员工提供一个学习赋能和知识共享的平台。在培训实施方面，一是通过引入外部培训资源，对公司员工进行专业技能培训，提升综合能力及职业素养；二是通过导师带教、内训师、培训激励政策等培训机制，逐步完善自有知识库，也促进公司内部和市场外部的知识信息融会贯通。在管理方面，对公司中层以上高级管理人员及储备管理人才聘请外部讲师，进行团队管理及高阶人才培训，全面优化完善公司培训体系。
4、劳务外包情况
□适用 ☑不适用
十二、公司利润分配及资本公积金转增股本情况
报告期内利润分配政策，特别是现金分红政策的制定、执行或调整情况
□适用 ☑不适用
公司报告期利润分配预案及资本公积金转增股本预案与公司章程和分红管理办法等的相关规定一致
☑是 □否 □不适用
公司报告期利润分配预案及资本公积金转增股本预案符合公司章程等的相关规定。本年度利润分配及资本公积金转增股本情况
公司报告期内盈利且母公司可供股东分配利润为正但未提出现金红利分配预案
□适用 ☑不适用
十三、公司股权激励计划、员工持股计划或其他员工激励措施的实施情况
☑适用 □不适用 1、股权激励 无
董事、高级管理人员获得的股权激励
□适用 ☑不适用
高级管理人员的考评机制及激励情况
无
2、员工持股计划的实施情况
☑适用 □不适用
报告期内全部有效的员工持股计划情况
员工的范围 员工人数 持有的股票总数
（股） 变更情况 占上市公司股本总额的比例 实施计划的资金来源
公司董事（不含 员工合法薪酬、
独立董事）、高级 自筹资金以及法
管理人员、中层 24 6,928,684 无 1.14% 律法规允许的其
管理人员及核心 他
骨干 方式
报告期内董事、监事、高级管理人员在员工持股计划中的持股情况
姓名 职务 报告期初持股数 报告期末持股数 占上市公司股本总额的比例
何文江 董事 300,000 300,000 0.05%
黎静 董事、副总经理 400,000 400,000 0.07%
杜广湘 董事、副总经理 360,000 360,000 0.06%
王震 总经理 380,000 380,000 0.06%
刘杰 副总经理、财务总监 330,000 330,000 0.05%
黄建蓉 董事会秘书 280,000 280,000 0.05%
报告期内资产管理机构的变更情况
□适用 ☑不适用
报告期内因持有人处置份额等引起的权益变动情况
□适用 ☑不适用
报告期内股东权利行使的情况：无
报告期内员工持股计划的其他相关情形及说明
□适用 ☑不适用
员工持股计划管理委员会成员发生变化
□适用 ☑不适用
员工持股计划对报告期上市公司的财务影响及相关会计处理
☑适用 □不适用
2022 年 1 月 18 日，公司召开 2022 年第一次临时股东大会决议通过了《关于〈公司 2021 年员工持股计划（草案）〉
及其摘要的议案》、《关于〈公司 2021 年员工持股计划管理办法〉的议案》，同意公司将回购的股份 6,928,684 股，以每
股受让价格人民币 2.00 元授予公司参加 2021 年员工持股计划的员工。报告期内，公司收到股票认购款 13,857,368.00元时，减少库存股 50,563,569.26 元，减少资本公积（股本溢价）36,706,201.26 元。以权益结算的股份支付计入资本公积（其他资本公积）的累计金额为 44,733,778.86 元。本公司权益法核算的长期股权投资根据被投资单位其他权益变
动确认的归属于母公司的资本公积（其他资本公积）增加额为 20,293.68 元。
报告期内员工持股计划终止的情况
□适用 ☑不适用其他说明：无
3、其他员工激励措施
□适用 ☑不适用
公司需遵守《深圳证券交易所上市公司自律监管指引第 3 号——行业信息披露》中的“软件与信息技术服务业”的披露要求
十四、报告期内的内部控制制度建设及实施情况
1、内部控制建设及实施情况
报告期内，公司根据《企业内部控制基本规范》及其配套指引的规定和其他内部控制监管要求结合公司实际的内控管理需要，持续完善内部控制制度建设工作，优化公司各部门、各业务板块日常工作业务流程和内控制度，加强内审部门对公司内部控制制度执行情况的监督力度，提高内部审计工作的深度和广度，强化内部审计监督职能及董事会及关键岗位的内控意识和责任，充分认识完备的内部控制制度在改善企业管理、增强风险防控、帮助企业高质量发展中的重要性。同时，加强内部控制培训及学习，强化合规经营意识，确保内部控制制度得到有效执行，提升公司规范运作水平，促进公司健康可持续发展。
2、报告期内发现的内部控制重大缺陷的具体情况
□是 ☑否
十五、公司报告期内对子公司的管理控制情况
公司名称 整合计划 整合进展 整合中遇到的问题 已采取的解决措施 解决进展 后续解决计划
创意信创二期 投资 不适用 不适用 不适用 不适用 不适用
创意数科 新设立 不适用 不适用 不适用 不适用 不适用
十六、内部控制自我评价报告或内部控制审计报告
1、内控自我评价报告
内部控制评价报告全文披露日期 2023 年 04 月 25 日
内部控制评价报告全文披露索引 巨潮资讯网 http://www.cninfo.com.cn
纳入评价范围单位资产总额占公司合并财务报表资产总额的比例 100.00%
纳入评价范围单位营业收入占公司合并财务报表营业收入的比例 100.00%
缺陷认定标准
类别 财务报告 非财务报告
定性标准 1.1 定性标准
1.1.1 重大缺陷：单独缺陷或连同其他缺陷导致不能及时防止或发现并纠正财务报告中的重大错报。出现下列情形的,认定为重大缺陷:
（1） 控制环境无效；
（2） 董事、监事和高级管理人员舞弊行为；
（3） 外部审计发现当期财务报告存在重大错报,公司在运行过程中未能发现该错报；
（4） 已经发现并报告给管理层的重大
2.1 定性标准
出现以下情形的，认定为重大缺陷，其他情形按影响程度分别确定为重要缺陷或一般缺陷：
（1） 违犯国家法律、法规或规范性文件；
（2） 重大决策程序不科学；
（3） 制度缺失可能导致系统性失效；
（4） 重大或重要缺陷不能得到整改；
（5） 其他对公司影响重大的情形。
缺陷在合理的时间后未加以改正；
（5） 公司审计委员会和审计中心对内部控制的监督无效；
（6） 其他可能影响报表使用者正确判断的缺陷。
1.1.2 重要缺陷：单独缺陷或连同其他缺陷导致不能及时防止或发现并纠正财务报告中虽然未达到和超过重要性水平，仍应引起管理层重视的错 报。
1.1.3 一般缺陷：不构成重大缺陷或
重要缺陷的其他内部控制缺陷。
定量标准 1.2 定量标准（采用孰低原则）
定量标准以营业收入、资产总额作为衡量指标。内部控制缺陷可能导致或导致的损失与利润表相关的，以营业收入指标衡量。如果该缺陷单独或连同其他缺陷可能导致的最近一期经审计的合并财务报表错报金额小于营业收入的 0.5%，则认定为一般缺陷；如果大于或等于营业收入的 0.5%但小于 1%，则为重要缺陷；如果大于或等于营业收入的 1%，则认定为重大缺陷。内部控制缺陷可能导致或导致的损失与资产管理相关的，以资产总额指标衡量。如果该缺陷单独或连同其他缺陷可能导致的最近一期经审计的合并财务报表错报金额小于资产总额的 0.5%，则认定为一般缺陷；如果大于或等于资产总额的 0.5%但小于 1%认定为重要缺陷；如果大于或等于资产总额 1%，则认定为重大缺陷。
公司确定的非财务报告内部控制缺陷评价的定量标准与公司财务报告内部控制缺陷评价的定量标准一致，参见上文所述“财务报告内部控制缺陷评价的定量标准”。
财务报告重大缺陷数量（个） 0
非财务报告重大缺陷数量（个） 0
财务报告重要缺陷数量（个） 0
非财务报告重要缺陷数量（个） 0
2、内部控制审计报告或鉴证报告
不适用
十七、上市公司治理专项行动自查问题整改情况
不适用
第五节 环境和社会责任
一、重大环保问题
上市公司及其子公司是否属于环境保护部门公布的重点排污单位
□是 ☑否
报告期内因环境问题受到行政处罚的情况
公司或子公司名称 处罚原因 违规情形 处罚结果 对上市公司生产经营的影响 公司的整改措施
不适用 不适用 不适用 不适用 不适用 不适用
参照重点排污单位披露的其他环境信息无
在报告期内为减少其碳排放所采取的措施及效果
□适用 ☑不适用
未披露其他环境信息的原因无
二、社会责任情况
无
三、巩固拓展脱贫攻坚成果、乡村振兴的情况
无
第六节 重要事项
一、承诺事项履行情况
1、公司实际控制人、股东、关联方、收购人以及公司等承诺相关方在报告期内履行完毕及截至报告期末尚未履行完毕的承诺事项
☑适用 □不适用
承诺事由
承诺方
承诺类型
承诺内容
承诺时间
承诺期限 履行情况
首次公开发行或再融资时所作承诺
陆文斌、王晓伟、王晓明
关于同业竞 争、关联交易、资金占用方面的承诺 本人将采取措施尽量避免与创意信息技术股份有限公司及其控股子公司发生关联交易；对于无法避免的关联交易，本人保证本着公允、透明的原 则，严格履行关联交易决策程序和回避制度，同时按相关规定及时履行信息披露义务；本人保证不会通过关联交易损害创意信息技术股份有限公司及其控股子公司、创意信息技术股份有限公司其他股东的合法权益；本人保证不会通过向创意信息技术股份有限公司借款，由创意信息技术股份有限公司提供担保、代偿债务、代垫款项等各种方式侵占创意信息技术股份有限公司的资金。不控制或占用创意信息技术股份有限公司的资产。
2012 年 01
月 16 日
作为公司股东期间
正常履行中
首次公开发行或再融资时所作承诺
王晓伟、王晓明
关于同业竞 争、关联交易、资金占用方面的承诺 本人及本人控制的企业现时没有直接或间接经营任何与股份公司及其下属公司经营的业务构成竞争或可能构成竞争的业务；本人及本人控制的企业现时也没有投资任何与股份公司及下属公司经营的业务构成竞争或可能构成竞争的企业；自本承诺函签署之日起，本人及本人控制的企业将不会直接或间接经营任何与股份公司及其下属公司经营的业务构成竞争或可能构成竞争的业务，也不会投资任何与股份公司及其下属公司经营的业务构成竞争或可能构成竞争的其他企业；自本承诺函签署之日起，如本人及本人控制的企业为进一步拓展业务范围，与股份公司及其下属公司经营的业务产生竞争，则本人及本人控制的企业将以停止经营相竞争业务的方式，或者将相竞争业务纳入到股份公司经营的方式，或者将相竞争业务转让给无关联关系的第三方的方式避免同业竞争；在本人及本人控制的企业与股份公司及其下属公司存在关联关系期 间，本承诺函为有效之承诺。
2012 年 01
月 16 日
作为公司股东期间
正常履行中
首次 陆文斌 关于同业竞 不利用实际控制人的地位通过下列方 2012 年 01 担任 正
公开发行或再融资时所作承诺 争、关联交 易、资金占用方面的承诺 式将创意信息技术股份有限公司的资金直接或间接地提供给控股股东及其他关联方使用：有偿或无偿地拆借公司的资金给控股股东及其他关联方使用；通过银行或非银行金融机构向关联方提供委托贷款；委托控股股东及其他关联方进行投资活动；为控股股东及其他关联方开具没有真实交易背景的商业承兑汇票；代控股股东及其他关联方偿还债务。 月 16 日 公司实际控制人期间 常履行中
首次公开发行或再融资时所作承诺 成都市重大产业化项目一期股权投资基金有限公司、中国银河证券股份有限公司、湖南轻盐创业投资管理有限公 司-轻盐智选 21 号私募证券投资基金、重庆秦安机电股份有限公司、薛小华、JPMORGAN CHASE BANK, NATIONAL ASSOCIATION、宋英、
四川资本市场纾困发展证券投资基金合伙企业
（有限合伙）、李天
虹、联通创新互联成都股权投资基金合伙企业
（有限合伙）、深圳市丹桂顺资产管理有限公司-丹桂顺之伍月芳号私募基金、林素真、杨岳智、郭伟松、UBS
AG、上海般胜投资管理有限公司-般胜优选 7号私募证券投资基金、国泰君安证券股份有限公司、财通基金管理有
限公司。
股份限售承诺
上述股东在公司向特定对象发行股票中作出的承诺如下：本公司/本人同意自创意信息本次发行结束之日（指本次发行的股份上市之日）起，六个月内不转让本次认购的股份，并委托创意信息董事会向中国证券登记结算有限责任公司深圳分公司申请对本公司/本人上述认购股份办理锁定手
续，以保证本公司/本人持有的上述股份自本次发行结束之日起，六个月内不转让。本公司/本人保证在不履行或不完全履行承诺时，赔偿其他股东因此而遭受的损失。如有违反承诺的卖出交易，本公司/本人将授权登记结算公司将卖出资金划入上市公司账户归全体股东所有。本公司/本人声明，将忠实履行承诺，承担相应的法律责任。
2021 年 10
月 26 日
2021
年 10
月 28日- 2022
年 4
月 28日
履行完毕
承诺是否按时履行
是
2、公司资产或项目存在盈利预测，且报告期仍处在盈利预测期间，公司就资产或项目达到原盈利预测及其原因做出说明
□适用 ☑不适用
二、控股股东及其他关联方对上市公司的非经营性占用资金情况
□适用 ☑不适用
公司报告期不存在控股股东及其他关联方对上市公司的非经营性占用资金。
三、违规对外担保情况
□适用 ☑不适用
公司报告期无违规对外担保情况。
四、董事会对最近一期“非标准审计报告”相关情况的说明
□适用 ☑不适用
五、董事会、监事会、独立董事（如有）对会计师事务所本报告期“非标准审计报告”的说明
□适用 ☑不适用
六、董事会关于报告期会计政策、会计估计变更或重大会计差错更正的说明
□适用 ☑不适用
七、与上年度财务报告相比，合并报表范围发生变化的情况说明
☑适用 □不适用
与上年相比，本年因新设增加 2 家公司创意数科、创意信创二期，因转让股权减少 1 家公司拓林思、因注销减少 1 家公司上海蒂玺。
八、聘任、解聘会计师事务所情况
现聘任的会计师事务所
境内会计师事务所名称 信永中和会计师事务所（特殊普通合伙）
境内会计师事务所报酬（万元） 121.9
境内会计师事务所审计服务的连续年限 16
境内会计师事务所注册会计师姓名 宋朝学、陈明坤
境内会计师事务所注册会计师审计服务的连续年限 1
是否改聘会计师事务所
□是 ☑否
聘请内部控制审计会计师事务所、财务顾问或保荐人情况
□适用 ☑不适用
九、年度报告披露后面临退市情况
□适用 ☑不适用
十、破产重整相关事项
□适用 ☑不适用
公司报告期未发生破产重整相关事项。
十一、重大诉讼、仲裁事项
☑适用 □不适用
诉讼(仲裁)基本情况 涉案金额
（万元） 是否形成预计负债 诉讼(仲裁)进展 诉讼(仲裁)审理结果及影响 诉讼(仲裁)判决执行情况
披露日期
披露索引
其他 23,666.14 否 不适用 不适用 不适用 不适用
十二、处罚及整改情况
☑适用 □不适用
名称/姓名 类型 原因 调查处罚类型 结论（如有） 披露日期 披露索引
陆文斌
实际控制人
创意信息业绩预告披露的预计净利润与年度报告披露的经审计净利润存在较大差异且盈亏性质发生变化。
被证券交易所采取纪律处分 创意信息的上述行为违反了本所《创业板股票上市规则
（2020 年 12
月修订）》第
1.4 条、第
5.1.1 条和第
6.2.1 条的规定。
不适用
何文江
高级管理人员
创意信息业绩预告披露的预计净利润与年度报告披露的经审计净利润存在较大差异且盈亏性质发生变化。
被证券交易所采取纪律处分 创意信息的上述行为违反了本所《创业板股票上市规则
（2020 年 12
月修订）》第
1.4 条、第
5.1.1 条和第
6.2.1 条的规定。
不适用
刘杰
高级管理人员
创意信息业绩预告披露的预计净利润与年度报告披露的经审计净利润存在较大差异且盈亏性质发生变化。
被证券交易所采取纪律处分 创意信息的上述行为违反了本所《创业板股票上市规则
（2020 年 12
月修订）》第
1.4 条、第
5.1.1 条和第
6.2.1 条的规定。
不适用
创意信息技术股份有限公司
其他
创意信息业绩预告披露的预计净利润与年度报告披露的经审计净利润存在较大差异且盈亏性质发生变化。
被证券交易所采取纪律处分 创意信息的上述行为违反了本所《创业板股票上市规则
（2020 年 12
月修订）》第
1.4 条、第
5.1.1 条和第
6.2.1 条的规定。
不适用
整改情况说明
☑适用 □不适用
公司已组织相关责任人切实加强对《深圳证券交易所创业板股票上市规则》、《深圳证券交易所上市公司自律监管指引第 2 号——创业板上市公司规范运作》 、《上市公司信息披露管理办法》等证券法律法规的学习，强化信息披露合规意识。
董事、监事、高级管理人员、持股 5%以上的股东违规买卖公司股票情况
□适用 ☑不适用
十三、公司及其控股股东、实际控制人的诚信状况
□适用 ☑不适用
十四、重大关联交易
1、与日常经营相关的关联交易
□适用 ☑不适用
公司报告期未发生与日常经营相关的关联交易。
2、资产或股权收购、出售发生的关联交易
□适用 ☑不适用
公司报告期未发生资产或股权收购、出售的关联交易。
3、共同对外投资的关联交易
□适用 ☑不适用
公司报告期未发生共同对外投资的关联交易。
4、关联债权债务往来
□适用 ☑不适用
公司报告期不存在关联债权债务往来。
5、与存在关联关系的财务公司的往来情况
□适用 ☑不适用
公司与存在关联关系的财务公司与关联方之间不存在存款、贷款、授信或其他金融业务。
6、公司控股的财务公司与关联方的往来情况
□适用 ☑不适用
公司控股的财务公司与关联方之间不存在存款、贷款、授信或其他金融业务。
7、其他重大关联交易
☑适用 □不适用
1、2022 年 12 月 27 日，公司第五届董事会 2022 年第八次临时会议审议通过了《关于子公司创智联恒股权转让暨关联交易的议案》。公司将所持创智联恒 45%股份以 1 元/股的价格转让给成都创恒智睿信息科技合伙企业（简称：创恒智
睿）、成都创恒智悦信息科技合伙企业（有限合伙）（简称：创恒智悦）、成都创恒智明信息科技合伙企业（有限合伙）
（简称：创恒智明）、成都创恒智享信息科技合伙企业（有限合伙）（简称：创恒智享），转让金额合计为人民币 2,250.00 万元。公司董事、副总经理杜广湘先生为创恒智睿的执行事务合伙人，创恒智睿为创恒智悦、创恒智明和创恒智享的执行事务合伙人，根据相关规定，本次交易构成关联交易。
2、2022 年 9 月 23 日，公司第五届董事会 2022 年第六次临时会议审议通过了《关于与专业机构共同投资暨关联交
易的议案》。公司以自有资金出资 4,800 万元认购创意信创二期的份额成为其有限合伙人，创意信创二期所募集资金用于向上海新迪增资。公司原独立董事熊军先生（2022 年 9 月辞职）为成都富恩德股权投资有限公司的董事长、总经理，成都富恩德股权投资有限公司为创意信创二期的基金管理人，根据相关规定，公司本次投资构成关联交易。
重大关联交易临时报告披露网站相关查询
临时公告名称 临时公告披露日期 临时公告披露网站名称
关于子公司股权转让、增资暨关联交易的公告 2022 年 12 月 27 日 详见 www.cninfo.com.cn
关于与专业机构共同投资暨关联交易的公告 2022 年 09 月 26 日 详见 www.cninfo.com.cn
十五、重大合同及其履行情况
1、托管、承包、租赁事项情况
（1） 托管情况
□适用 ☑不适用
公司报告期不存在托管情况。
（2） 承包情况
□适用 ☑不适用
公司报告期不存在承包情况。
（3） 租赁情况
□适用 ☑不适用
公司报告期不存在租赁情况。
2、重大担保
☑适用 □不适用
单位：万元
公司及其子公司对外担保情况（不包括对子公司的担保）
担保对象名称 担保额度相关公告披 担保额度 实际发生日期 实际担保金额 担保类型 担保物
（如有） 反担保情况
（如
担保期 是否履行完毕 是否为关联方担保
露日期 有）
公司对子公司的担保情况
担保对象名称 担保额度相关公告披露日期
担保额度
实际发生日期
实际担保金额
担保类型 担保物
（如有） 反担保情况
（如有）
担保期
是否履行完毕 是否为关联方担保
格蒂电力 2021 年
04 月 20
日
27,000 2021 年
08 月 16
日
1,500 连带责任保证 法人反担保
1 年
是
是
格蒂电力 2021 年
04 月 20
日
27,000 2021 年
09 月 24
日
1,500 连带责任保证 法人反担保
1 年
是
是
格蒂电力 2022 年
04 月 26
日
37,000 2022 年
12 月 13
日
1,500 连带责任保证 法人反担保
1 年
否
是
格蒂电力 2020 年
04 月 29
日
26,000 2021 年
02 月 03
日
5,000 连带责任保证 法人反担保
1 年
是
是
格蒂电力 2021 年
04 月 20
日
27,000 2022 年
03 月 09
日
3,000 连带责任保证 法人反担保
1 年
否
是
格蒂电力 2022 年
04 月 26
日
37,000 2022 年
05 月 27
日
2,000 连带责任保证 法人反担保
1 年
否
是
格蒂电力 2022 年
04 月 26
日
37,000 2022 年
10 月 26
日
3,000 连带责任保证 法人反担保
1 年
否
否
格蒂电力 2022 年
04 月 26
日
37,000 2022 年
12 月 21
日
50 连带责任保证 法人反担保
1 年
否
是
格蒂电力 2020 年
12 月 22
日
20,000 2020 年
12 月 22
日
410.14 连带责任保证 法人反担保
2 年
否
是
西安格蒂 2020 年
04 月 29
日
3,500 2021 年
01 月 22
日
1,000 连带责任保证 法人反担保
1 年
是
是
郑州格蒂 2021 年
04 月 20
日
3,000 2021 年
09 月 06
日
385 连带责任保证 法人反担保
1 年
是
是
创智联恒 2022 年
04 月 26
日
4,000 2022 年
11 月 04
日
1,000 连带责任保证 法人反担保
1 年
否
是
北京创意 2020 年
04 月 20
日
10,000 2021 年
01 月 29
日
1,000 连带责任保证 法人反担保
1 年
是
是
北京创意 2020 年
04 月 20
日
10,000 2021 年
02 月 07
日
500 连带责任保证 法人反担保
1 年
是
是
北京创意 2021 年
07 月 28
日
7,500 2021 年
07 月 28
日 2,193.7
4 连带责任保证 法人反担保
1 年
否
是
邦讯信息 2021 年
04 月 20
日
13,000 2021 年
09 月 02
日
800 连带责任保证 法人反担保
1 年
是
是
报告期内审批对子公司担保额度合计 121,000 报告期内对子公司担保实际发生额合 10,550
（B1） 计（B2）
报告期末已审批的对子公司担保额度合计（B3）
175,500 报告期末对子公司实际担保余额合计
（B4）
13,153.88
子公司对子公司的担保情况
担保对象名称 担保额度相关公告披露日期
担保额度
实际发生日期
实际担保金额
担保类型 担保物
（如有） 反担保情况
（如有）
担保期
是否履行完毕 是否为关联方担保
公司担保总额（即前三大项的合计）
报告期内审批担保额度合计
（A1+B1+C1）
121,000 报告期内担保实际发生额合计
（A2+B2+C2）
10,550
报告期末已审批的担保额度合计
（A3+B3+C3）
175,500 报告期末实际担保余额合计
（A4+B4+C4）
13,153.88
实际担保总额（即 A4+B4+C4）占公司净资产的比例 5.63%
其中：
为股东、实际控制人及其关联方提供担保的余额（D） 0
直接或间接为资产负债率超过 70%的被担保对象提供的债务担保余额（E） 1,000
担保总额超过净资产 50%部分的金额（F） 0
上述三项担保金额合计（D+E+F） 1,000
对未到期担保合同，报告期内发生担保责任或有证据表明有可能承担连带清偿责任的情况说明（如有）
0
违反规定程序对外提供担保的说明（如有） 0
采用复合方式担保的具体情况说明：无
3、委托他人进行现金资产管理情况
（1） 委托理财情况
☑适用 □不适用
报告期内委托理财概况
单位：万元
具体类型 委托理财的资金来源 委托理财发生额 未到期余额 逾期未收回的金额 逾期未收回理财已计提减值金额
银行理财产品 募集资金 50,000 0 0 0
合计 50,000 0 0 0
单项金额重大或安全性较低、流动性较差的高风险委托理财具体情况
□适用 ☑不适用
委托理财出现预期无法收回本金或存在其他可能导致减值的情形
□适用 ☑不适用
（2） 委托贷款情况
□适用 ☑不适用
公司报告期不存在委托贷款。
4、其他重大合同
☑适用 □不适用
合同订立公司方名称
合同订立对方名称
合同标的
合同签订日期 合同涉及资产的账面价值
（万元）
（如有） 合同涉及资产的评估价值
（万元）
（如有） 评估机构名称
（如有
） 评估基准日
（如有
）
定价原则
交易价格
（万元）
是否关联交易
关联关系
截至报告期末的执行情况
披露日期
披露索引
TITM
Muti ara Smar t Sdn. Bhd
通信基础设施铁塔建设项目
2018
年 01
月 29日
无
市场公允定价原则
64,0
00
否
无 公司于 2020 年
10 月初起诉 SMART 公司归还项目执行保证金；2022 年 7 月 13 日，法院判决我方胜诉，SMART 公司目前进入破产清算阶段。
201
8 年
02
月 02
日
http:
//www
.cnin fo.co m.cn
十六、其他重大事项的说明
☑适用 □不适用
1、公司于 2022 年 12 月 27 日召开第五届董事会 2022 年第八次临时会议，审议通过了《关于子公司创智联恒股权转让暨关联交易的议案》和《关于子公司万里开源股权转让、增资的议案》。本次交易完成后，公司持有创智联恒 55%股权、万里开源 44.18%股权，创智联恒和万里开源仍为公司控股子公司，详见公司于 2022 年 12 月 27 日在巨潮资讯网对外披露的《关于子公司股权转让、增资暨关联交易的公告》（公告编号：2022-69）。
2、公司于 2023 年 3 月 20 日召开第五届董事会 2023 年第一次临时会议、2023 年 4 月 6 日召开 2023 年第二次临时
股东大会，审议通过了《关于终止部分募投项目并将该部分募集资金永久补充流动资金的议案》，详见公司于 2023 年 3
月 21 日在巨潮资讯网对外披露的《关于终止部分募投项目并将该部分募集资金永久补充流动资金的公告》（公告编号： 2023-11）。
十七、公司子公司重大事项
□适用 ☑不适用
第七节 股份变动及股东情况
一、股份变动情况
1、股份变动情况
单位：股
本次变动前 本次变动增减（＋，－） 本次变动后
数量 比例 发行新股 送股 公积金转股 其他 小计 数量 比例
一、有限售条件股份 204,931,
338
33.73%
0
0
0 - 93,017,4
55 - 93,017,4
55 111,913,
883
18.42%
1、国家持股 0 0.00% 0 0 0 0 0 0 0.00%
2、国有法人持股 17,058,4
91
0.00%
0
0
0 - 17,058,4
91 - 17,058,4
91
0
0.00%
3、其他内资持股 182,473,
523
35.61%
0
0
0 - 70,559,6
40 - 70,559,6
40 111,913,
883
18.42%
其 中：境内法人持股 6,974,12
7
0.00%
0
0
0 - 6,974,12
7 - 6,974,12
7
0
0.00%
境内自然人持股 138,566,
879
22.81%
0
0
0 - 26,652,9
96 - 26,652,9
96 111,913,
883
18.42%
4、外资持股 5,399,32
4
0.89%
0
0
0 - 5,399,32
4 - 5,399,32
4
0
0.00%
其 中：境外法人持股 5,399,32
4
0.89%
0
0
0 - 5,399,32
4 - 5,399,32
4
0
0.00%
境外自然人持股
0
0.00%
0
0
0
0
0
0
0.00%
二、无限售条件股份 402,644,
812
66.27%
0
0
0 93,017,4
55 93,017,4
55 495,662,
267
81.58%
1、人民币普通股 402,644,
812
66.27%
0
0
0 93,017,4
55 93,017,4
55 495,662,
267
81.58%
2、境内上市的外资股
0
0.00%
0
0
0
0
0
0
0.00%
3、境外上市的外资股
0
0.00%
0
0
0
0
0
0
0.00%
4、其 0 0.00% 0 0 0 0 0 0 0.00%
他
三、股份总数 607,576,
150 100.00% 0 0 0 0 0 607,576,
150 100.00%
股份变动的原因
□适用 ☑不适用
股份变动的批准情况
□适用 ☑不适用
股份变动的过户情况
□适用 ☑不适用
股份变动对最近一年和最近一期基本每股收益和稀释每股收益、归属于公司普通股股东的每股净资产等财务指标的影响
□适用 ☑不适用
公司认为必要或证券监管机构要求披露的其他内容
□适用 ☑不适用
2、限售股份变动情况
☑适用 □不适用
单位：股
股东名称 期初限售股数 本期增加限售股数 本期解除限售股数 期末限售股数 限售原因 解除限售日期
陆文斌
79,001,926
0
5,775,000
73,226,926
高管锁定股 解除限售后，在任公司董 事、高级管理人员期间，每年按其上年末持有总数的 25%解除锁
定。
王晓伟
21,478,821
0
0
21,478,821
高管锁定股 解除限售后，在任公司董 事、高级管理人员期间，每年按其上年末持有总数的 25%解除锁
定。
杜广湘
14,976,727
0
3,742,500
11,234,227
高管锁定股 解除限售后，在任公司董 事、高级管理人员期间，每年按其上年末持有总数的 25%解除锁
定。
黎静
6,276,897
0
1,499,955
4,776,942
高管锁定股 解除限售后，在任公司董 事、高级管理人员期间，每年按其上年末持有总数的 25%解除锁
定。
周学军
995,442
0
0
995,442
高管锁定股 解除限售后，在任公司董 事、高级管理人员期间，每年按其上年末持有总数的 25%解除锁
定。
何文江
113,550
0
0
113,550
高管锁定股 解除限售后，在任公司董 事、高级管理人员期间，每年按其上年末持有总数的 25%解除锁
定。
刘杰
87,975
0
0
87,975
高管锁定股 解除限售后，在任公司董 事、高级管理人员期间，每年按其上年末持有总数的 25%解除锁
定。
其他
82,000,000
0
82,000,000
0
首发后限售股 该部分股票于 2021 年 10 月
28 日上市，上
市后锁定 6 个月。
合计 204,931,338 0 93,017,455 111,913,883 -- --
二、证券发行与上市情况
1、报告期内证券发行（不含优先股）情况
□适用 ☑不适用
2、公司股份总数及股东结构的变动、公司资产和负债结构的变动情况说明
□适用 ☑不适用
3、现存的内部职工股情况
□适用 ☑不适用
三、股东和实际控制人情况
1、公司股东数量及持股情况
单位：股
报告期末普通 40,849 年度报告披露 62,891 报告期末表决权恢 0 年度报告披露日前上一 0 持有特别表决 0
股股东 日前上 复的优先 月末表决权 权股份
总数 一月末 股股东总 恢复的优先 的股东
普通股 数（如 股股东总数 总数
股东总 有）（参 （如有） （如
数 见注 9） （参见注 有）
9）
持股 5%以上的股东或前 10 名股东持股情况
股东名称 股东性质 持股比例 报告期末持股数量 报告期内增减变动情况 持有有限售条件的股份数量 持有无限售条件的股份数量 质押、标记或冻结情况
股份状态 数量
陆文斌 境内自 16.07% 97,635,902 97635902 73,226,926 24,408,976
然人
王晓伟 境内自 4.14% 25,170,928 25170928 21,478,821 3,692,107 质押 11,700,000
然人
王晓明 境内自 3.43% 20,824,421 20824421 0 20,824,421 质押 13,500,000
然人
四川省
集成电
路和信
息安全
产业投 国有法
人 2.67% 16,216,216 16216216 0 16,216,216
资基金
有限公
司
杜广湘 境内自 1.85% 11,238,970 11238970 11,234,227 4,743 质押 10,499,999
然人
雷厉 境内自 1.57% 9,520,255 9520255 0 9,520,255 质押 5,880,000
然人
上海阿
杏投资
管理有
限公司
－阿杏 其他 1.27% 7,700,000 7700000 0 7,700,000
松子 9
号私募
证券投
资基金
创意信
息技术
股份有
限公司
－2021 其他 1.14% 6,928,684 6928684 0 6,928,684
年员工
持股
计划
上海运
舟私募
基金管
理有限
公司－
运舟成 其他 1.09% 6,600,750 6600750 0 6,600,750
长精选
1 号私
募证券
投资基
金
中国工 其他 1.06% 6,459,305 6459305 0 6,459,305
商银行股份有限公司
－华安媒体互联网混合型证券投资
基金
战略投资者或一般法人因配售新股成为前 10 名股东的情况（如有）（参见注 4）
无
上述股东关联关系或一致行动的说明 上述前 10 名股东中陆文斌与上海阿杏投资管理有限公司－阿杏松子 9 号私募证券投资基金签署一致行动人协议；王晓伟和王晓明为兄弟关系。
上述股东涉及委托/受托表决权、放弃表决权情况的说明
无
前 10 名股东中存在回购专户的特别说明（如有）（参见注 10）
无
前 10 名无限售条件股东持股情况
股东名称 报告期末持有无限售条件股份数量 股份种类
股份种类 数量
陆文斌 24,408,976 人民币普通股 24,408,976
王晓明 20,824,421 人民币普通股 20,824,421
四川省集成电路和信息安全产业投资基金有限公司
16,216,216
人民币普通股
16,216,216
雷厉 9,520,255 人民币普通股 9,520,255
中信建投证券股份有限公司客户信用交易担保证券账户
9,444,808
人民币普通股
9,444,808
创意信息技术股份有限公司－2021 年员工持股计划
6,928,684
人民币普通股
6,928,684
上海运舟私募基金管理有限公司－运舟成长精选 1 号私募证券投资基金
6,600,750
人民币普通股
6,600,750
中国工商银行股份有限公司－华安媒体互联网混合型证券投资基金
6,459,305
人民币普通股
6,459,305
招商证券股份有限公客户信用交易担保证券账户
6,386,431
人民币普通股
6,386,431
安信证券股份有限公司客户信用交易担保证券账户
5,239,881
人民币普通股
5,239,881
前 10 名无限售流通股股东之间，以及前 10 名无限售流通 上述前 10 名股东中陆文斌与上海阿杏投资管理有限公司－阿杏松子 9 号私募证券投资基金签署一致行动人协议；王晓伟和王晓明为兄弟关系。
公司是否具有表决权差异安排
□适用 ☑不适用
公司前 10 名普通股股东、前 10 名无限售条件普通股股东在报告期内是否进行约定购回交易
□是 ☑否
公司前 10 名普通股股东、前 10 名无限售条件普通股股东在报告期内未进行约定购回交易。
2、公司控股股东情况
控股股东性质：自然人控股控股股东类型：自然人
控股股东姓名 国籍 是否取得其他国家或地区居留权
陆文斌 中国 否
主要职业及职务 2001 年至今，任本公司法人代表、董事长。
报告期内控股和参股的其他境内外上市公司的股权情况 无
控股股东报告期内变更
□适用 ☑不适用
公司报告期控股股东未发生变更。
3、公司实际控制人及其一致行动人
实际控制人性质：境内自然人实际控制人类型：自然人
实际控制人姓名 与实际控制人关系 国籍 是否取得其他国家或地区居留权
陆文斌 本人 中国 否
主要职业及职务 2001 年至今，任本公司法人代表、董事长。
过去 10 年曾控股的境内外上市公司情况 无
实际控制人报告期内变更
□适用 ☑不适用
公司报告期实际控制人未发生变更。
公司与实际控制人之间的产权及控制关系的方框图
实际控制人通过信托或其他资产管理方式控制公司
□适用 ☑不适用
4、公司控股股东或第一大股东及其一致行动人累计质押股份数量占其所持公司股份数量比例达到 80%
□适用 ☑不适用
5、其他持股在 10%以上的法人股东
□适用 ☑不适用
6、控股股东、实际控制人、重组方及其他承诺主体股份限制减持情况
□适用 ☑不适用
四、股份回购在报告期的具体实施情况
股份回购的实施进展情况
□适用 ☑不适用
采用集中竞价交易方式减持回购股份的实施进展情况
□适用 ☑不适用
第八节 优先股相关情况
□适用 ☑不适用
报告期公司不存在优先股。
第九节 债券相关情况
□适用 ☑不适用
第十节 财务报告
一、审计报告
审计意见类型 标准的无保留意见
审计报告签署日期 2023 年 04 月 21 日
审计机构名称 信永中和会计师事务所(特殊普通合伙)
审计报告文号 XYZH/2023CDAA2B0113
注册会计师姓名 宋朝学，陈明坤
审计报告正文
审计报告 XYZH/2023CDAA2B0113
创意信息技术股份有限公司全体股东：一、 审计意见
我们审计了创意信息技术股份有限公司（以下简称创意信息公司）财务报表，包括 2022 年 12 月 31 日的合并及母公司资产负债表，2022 年度的合并及母公司利润表、合并及母公司现金流量表、合并及母公司股东权益变动表，以及相关财务报表附注。
我们认为，后附的财务报表在所有重大方面按照企业会计准则的规定编制，公允反映了创意信息公司 2022 年 12 月
31 日的合并及母公司财务状况以及 2022 年度的合并及母公司经营成果和现金流量。二、 形成审计意见的基础
我们按照中国注册会计师审计准则的规定执行了审计工作。审计报告的“注册会计师对财务报表审计的责任”部分进一步阐述了我们在这些准则下的责任。按照中国注册会计师职业道德守则，我们独立于创意信息公司，并履行了职业道德方面的其他责任。我们相信，我们获取的审计证据是充分、适当的，为发表审计意见提供了基础。
三、 关键审计事项
关键审计事项是我们根据职业判断，认为对本期财务报表审计最为重要的事项。这些事项的应对以对财务报表整体进行审计并形成审计意见为背景，我们不对这些事项单独发表意见。
1. 应收账款坏账准备
关键审计事项 审计中的应对
创意信息公司应收账款年末账面价值 16.01 亿元，占年末资产总额的比例为 41.07%。
管理层以预期信用损失为基础，按照其适用的预期信用损失计量方法计提坏账准备，对单项金额重大的应收款项单独进行减值测试，当存在客观证据表明应收款项存在减值时，管理层根据预计未来现金流量现值低于账面价值的差额计提单项减值准备。对于此类应收款项的减值计提取决于管理层对这些客观证据的判断和估计。对于单项金额不重大及在
单项减值测试中没有客观证据证明需要计提单项坏账准备的应收款项，根据客户类型及账龄等信用风险特征划分为不同的资产组，对这些资产组进行减值损失总体评价。
由于应收账款对于财务报表的重要性，应收账款坏账准备的计提依赖管理层的判断和估计，因此我们将应收账款坏账准备识别为关键审计事项，参见财务报表附注四、11，附注六、4。 我们就应收账款坏账准备执行的审计程序如下：
1. 了解、评估和测试管理层对于应收账款组合划分及预期信用损失计量相关内部控制的有效性,检查创意信息公司关于应收账款的会计政策是否符合新金融工具准则的相关规定；
2. 复核管理层基于客户的财务状况和资信状况、历史还款记录以及对未来经济状况的预测等，评价管理层对预期信用损失评估的依据是否恰当；
3. 对于按照信用风险特征组合计算预期信用损失的应收账款，复核了管理层对于信用风险特征组合的设定，测试应收账款的信用风险组合分类和账龄划分的准确性；
4. 参考历史损失率及前瞻性信息，评价预期信用损失率估计的合理性；
5. 复核管理层对应收账款进行减值测试的相关考虑及客观证据，关注管理层是否充分识别已发生减值的项目；
6. 对于单独计提坏账准备的应收账款复核管理层计算可收回金额的依据，包括管理层结合客户经营情况、历史还款情况等对客户信用风险作出的评估，管理层对预计未来可获得的现金流量做出估计的依据及合理性；
7. 对于管理层按照信用风险特征组合计提坏账准备的应收账款，结合相关客户过往付款情况的分析，复核管理层对应收账款回收情况的预测，评价管理层对应收账款减值损失计提的合理性；
8. 对期末余额较大或者本年发生额较大的客户进行函证；
9. 选取样本检查期后回款情况。
2. 开发支出资本化
关键审计事项 审计中的应对
创意信息公司 2022 年度开发支出期末余额 1.27 亿元，因评估开发支出是否符合资本化条件需要管理层进行重大会计判断和估计，该事项对于我们的审计而言是重要的，我们把开发支出是否满足资本化条件作为关键审计事项，参见财务报表附注四、21，附注六、16。 评价开发支出是否达到资本化条件的主要审计程序如下：
1、 测试并评价开发支出相关内部控制的有效性；
2、 访谈关键技术人员关于项目研发进度的情况；查阅项目立项资料、研发过程记录文档、项目结项文档；
3、 分析复核创意信息公司关于开发支出的相关会计政策是否符合《企业会计准则》的要求；抽样检查资本化开发支出的财务核算是否与会计政策相符；同时关注对开发支出资本化披露的充分性。
3. 收入的确认
关键审计事项 审计中的应对
创意信息公司合并营业收入 21.92 亿元，为创意信息公司合并利润表重要组成项目，收入确认是否真实、完整，是
否计入恰当的会计期间对财务报表影响重大，因此我们将收入的确认识别为关键审计事项，参见财务报表附注四、29，附注六、40。 我们就收入的确认执行的审计程序如下：
1. 评估创意信息公司收入确认会计政策的合理性及评估其是否符合企业会计准则；
2. 测试收入确认相关的内部控制的有效性；
3. 获取公司与客户签订的协议，对合同关键条款进行核实；
4. 我们通过查询经销商的工商资料，询问公司相关人员，以确认经销商与公司是否存在关联关系；
5. 检查报告截止日前后的销售交易的抽样结果，以确保收入确认期间和销售记录的准确性；
6. 向客户函证款项余额及当期交易额。四、 其他信息
创意信息公司管理层(以下简称管理层)对其他信息负责。其他信息包括创意信息公司 2022 年年度报告中涵盖的信息，但不包括财务报表和我们的审计报告。
我们对财务报表发表的审计意见不涵盖其他信息，我们也不对其他信息发表任何形式的鉴证结论。
结合我们对财务报表的审计，我们的责任是阅读其他信息，在此过程中，考虑其他信息是否与财务报表或我们在审计过程中了解到的情况存在重大不一致或者似乎存在重大错报。
基于我们已执行的工作，如果我们确定其他信息存在重大错报，我们应当报告该事实。在这方面，我们无任何事项需要报告。
五、 管理层和治理层对财务报表的责任
管理层负责按照企业会计准则的规定编制财务报表，使其实现公允反映，并设计、执行和维护必要的内部控制，以使财务报表不存在由于舞弊或错误导致的重大错报。
在编制财务报表时，管理层负责评估创意信息公司的持续经营能力，披露与持续经营相关的事项（如适用），并运用持续经营假设，除非管理层计划清算创意信息公司、终止运营或别无其他现实的选择。
创意信息公司治理层(以下简称治理层)负责监督创意信息公司的财务报告过程。六、 注册会计师对财务报表审计的责任
我们的目标是对财务报表整体是否不存在由于舞弊或错误导致的重大错报获取合理保证，并出具包含审计意见的审计报告。合理保证是高水平的保证，但并不能保证按照审计准则执行的审计在某一重大错报存在时总能发现。错报可能由于舞弊或错误导致，如果合理预期错报单独或汇总起来可能影响财务报表使用者依据财务报表作出的经济决策，则通常认为错报是重大的。
在按照审计准则执行审计工作的过程中，我们运用职业判断，并保持职业怀疑。同时，我们也执行以下工作：
（1） 识别和评估由于舞弊或错误导致的财务报表重大错报风险，设计和实施审计程序以应对这些风险，并获取充分、适当的审计证据，作为发表审计意见的基础。由于舞弊可能涉及串通、伪造、故意遗漏、虚假陈述或凌驾于内部控
制之上，未能发现由于舞弊导致的重大错报的风险高于未能发现由于错误导致的重大错报的风险。
（2） 了解与审计相关的内部控制，以设计恰当的审计程序，但目的并非对内部控制的有效性发表意见。
（3） 评价管理层选用会计政策的恰当性和作出会计估计及相关披露的合理性。
（4） 对管理层使用持续经营假设的恰当性得出结论。同时，根据获取的审计证据，就可能导致对创意信息公司持续经营能力产生重大疑虑的事项或情况是否存在重大不确定性得出结论。如果我们得出结论认为存在重大不确定性，审计准则要求我们在审计报告中提请报表使用者注意财务报表中的相关披露；如果披露不充分，我们应当发表非无保留意见。我们的结论基于截至审计报告日可获得的信息。然而，未来的事项或情况可能导致创意信息公司不能持续经营。
（5） 评价财务报表的总体列报、结构和内容，并评价财务报表是否公允反映相关交易和事项。
（6） 就创意信息公司中实体或业务活动的财务信息获取充分、适当的审计证据，以对财务报表发表审计意见。我们负责指导、监督和执行集团审计，并对审计意见承担全部责任。
我们与治理层就计划的审计范围、时间安排和重大审计发现等事项进行沟通，包括沟通我们在审计中识别出的值得关注的内部控制缺陷。
我们还就已遵守与独立性相关的职业道德要求向治理层提供声明，并与治理层沟通可能被合理认为影响我们独立性的所有关系和其他事项，以及相关的防范措施（如适用）。
从与创意信息公司治理层沟通过的事项中，我们确定哪些事项对本期财务报表审计最为重要，因而构成关键审计事项。我们在审计报告中描述这些事项，除非法律法规禁止公开披露这些事项，或在极少数情形下，如果合理预期在审计报告中沟通某事项造成的负面后果超过在公众利益方面产生的益处，我们确定不应在审计报告中沟通该事项。
信永中和会计师事务所(特殊普通合伙) 中国注册会计师：
（项目合伙人）中国注册会计师：
中国 北京 二○二三年四月二十一日
二、财务报表
财务附注中报表的单位为：元
1、合并资产负债表
编制单位：创意信息技术股份有限公司
2022 年 12 月 31 日
单位：元
项目 2022 年 12 月 31 日 2022 年 1 月 1 日
流动资产：
货币资金 393,313,884.00 465,789,824.97
结算备付金
拆出资金
交易性金融资产 1,530,000.00 553,363,202.90
衍生金融资产
应收票据 26,050,657.22 14,982,653.04
应收账款 1,433,233,834.60 1,311,476,744.29
应收款项融资 32,431,133.74 14,965,952.84
预付款项 44,207,224.22 61,360,622.23
应收保费
应收分保账款
应收分保合同准备金
其他应收款 304,788,760.07 37,950,648.59
其中：应收利息
应收股利
买入返售金融资产
存货 890,527,167.82 702,924,302.37
合同资产
持有待售资产 1.00
一年内到期的非流动资产
其他流动资产 21,215,702.50 17,739,079.53
流动资产合计 3,147,298,364.17 3,180,553,031.76
非流动资产：
发放贷款和垫款
债权投资
其他债权投资
长期应收款
长期股权投资 68,072,850.03 17,466,487.27
其他权益工具投资
其他非流动金融资产 7,000,000.00 2,000,000.00
投资性房地产
固定资产 62,310,989.52 49,654,533.87
在建工程 191,463,131.70 200,535,346.14
生产性生物资产
油气资产
使用权资产 10,399,307.61 13,805,416.03
无形资产 168,097,358.43 140,121,175.07
开发支出 127,412,214.52 59,825,645.08
商誉 12,979,819.05 15,019,833.94
长期待摊费用 816,112.33 1,450,296.19
递延所得税资产 74,655,604.64 73,452,634.50
其他非流动资产 11,392,954.00 19,706,158.18
非流动资产合计 734,600,341.83 593,037,526.27
资产总计 3,881,898,706.00 3,773,590,558.03
流动负债：
短期借款 721,316,374.84 533,628,686.00
向中央银行借款
拆入资金
交易性金融负债
衍生金融负债
应付票据 23,527,146.62 943,736.00
应付账款 588,021,262.26 643,839,025.40
预收款项
合同负债 129,308,026.63 133,379,819.39
卖出回购金融资产款
吸收存款及同业存放
代理买卖证券款
代理承销证券款
应付职工薪酬 69,639,668.56 72,505,333.48
应交税费 46,792,154.75 56,912,652.63
其他应付款 37,600,997.19 23,506,889.98
其中：应付利息
应付股利 3,451,109.61 3,451,109.61
应付手续费及佣金
应付分保账款
持有待售负债
一年内到期的非流动负债 4,879,279.23 12,990,285.94
其他流动负债 32,344,484.79 12,577,025.89
流动负债合计 1,653,429,394.87 1,490,283,454.71
非流动负债：
保险合同准备金
长期借款
应付债券
其中：优先股
永续债
租赁负债 5,503,384.15 8,809,320.81
长期应付款 159,885.70 198,012.23
长期应付职工薪酬
预计负债 1,329,258.40 1,313,936.74
递延收益 6,802,636.12 6,585,212.09
递延所得税负债 214,500.00 8,586,326.82
其他非流动负债
非流动负债合计 14,009,664.37 25,492,808.69
负债合计 1,667,439,059.24 1,515,776,263.40
所有者权益：
股本 607,576,150.00 607,576,150.00
其他权益工具
其中：优先股
永续债
资本公积 2,384,961,834.47 2,376,913,963.19
减：库存股 44,852,639.17 81,558,840.43
其他综合收益 1,836,321.28 2,852,312.04
专项储备
盈余公积 49,659,636.80 49,571,285.71
一般风险准备
未分配利润 -662,443,929.46 -605,566,756.91
归属于母公司所有者权益合计 2,336,737,373.92 2,349,788,113.60
少数股东权益 -122,277,727.16 -91,973,818.97
所有者权益合计 2,214,459,646.76 2,257,814,294.63
负债和所有者权益总计 3,881,898,706.00 3,773,590,558.03
法定代表人：陆文斌 主管会计工作负责人：刘杰 会计机构负责人：刘杰
2、母公司资产负债表
单位：元
项目 2022 年 12 月 31 日 2022 年 1 月 1 日
流动资产：
货币资金 139,503,625.42 237,170,313.48
交易性金融资产 1,530,000.00 553,363,202.90
衍生金融资产
应收票据 1,521,500.00 2,649,261.70
应收账款 370,805,085.95 201,550,128.23
应收款项融资 4,101,303.01 1,729,672.14
预付款项 5,820,018.81 11,586,150.74
其他应收款 1,116,334,175.41 681,079,038.05
其中：应收利息
应收股利 187,214,373.70 187,214,373.70
存货 193,392,254.20 125,738,069.17
合同资产
持有待售资产
一年内到期的非流动资产
其他流动资产 14,641,648.09 5,442,240.75
流动资产合计 1,847,649,610.89 1,820,308,077.16
非流动资产：
债权投资
其他债权投资
长期应收款
长期股权投资 2,220,021,817.91 2,149,505,814.29
其他权益工具投资
其他非流动金融资产 7,000,000.00 2,000,000.00
投资性房地产
固定资产 14,765,506.47 6,885,277.67
在建工程 68,097,393.90 76,528,053.18
生产性生物资产
油气资产
使用权资产
无形资产 80,807,985.64 28,249,370.22
开发支出 20,573,088.89 20,818,938.54
商誉
长期待摊费用 347,951.01 72,227.54
递延所得税资产 50,460,222.21 51,732,618.60
其他非流动资产 7,910,654.00 16,486,308.18
非流动资产合计 2,469,984,620.03 2,352,278,608.22
资产总计 4,317,634,230.92 4,172,586,685.38
流动负债：
短期借款 591,189,401.83 396,582,737.22
交易性金融负债
衍生金融负债
应付票据 4,037,049.54 943,736.00
应付账款 177,177,785.50 173,836,942.25
预收款项
合同负债 44,809,060.75 52,967,530.93
应付职工薪酬 13,838,467.71 11,413,859.95
应交税费 995,926.90 765,988.31
其他应付款 85,568,466.03 165,900,574.36
其中：应付利息
应付股利
持有待售负债
一年内到期的非流动负债 8,547,230.74
其他流动负债 4,155,056.99 6,919,347.07
流动负债合计 921,771,215.25 817,877,946.83
非流动负债：
长期借款
应付债券
其中：优先股
永续债
租赁负债
长期应付款
长期应付职工薪酬
预计负债
递延收益 4,706,636.12 3,429,212.09
递延所得税负债 214,500.00 7,337,490.44
其他非流动负债
非流动负债合计 4,921,136.12 10,766,702.53
负债合计 926,692,351.37 828,644,649.36
所有者权益：
股本 607,576,150.00 607,576,150.00
其他权益工具
其中：优先股
永续债
资本公积 2,558,374,845.77 2,548,964,714.44
减：库存股 44,852,639.17 81,558,840.43
其他综合收益
专项储备
盈余公积 49,298,515.13 49,210,164.04
未分配利润 220,545,007.82 219,749,847.97
所有者权益合计 3,390,941,879.55 3,343,942,036.02
负债和所有者权益总计 4,317,634,230.92 4,172,586,685.38
3、合并利润表
单位：元
项目 2022 年度 2021 年度
一、营业总收入 1,906,614,057.81 1,866,876,728.44
其中：营业收入 1,906,614,057.81 1,866,876,728.44
利息收入
已赚保费
手续费及佣金收入
二、营业总成本 2,013,704,913.37 1,889,118,618.46
其中：营业成本 1,523,156,461.29 1,455,454,477.42
利息支出
手续费及佣金支出
退保金
赔付支出净额
提取保险责任合同准备金净
额
保单红利支出
分保费用
税金及附加 3,883,942.65 6,689,148.37
销售费用 63,341,113.43 62,231,602.41
管理费用 182,246,009.83 145,604,661.53
研发费用 223,002,317.10 183,282,837.86
财务费用 18,075,069.07 35,855,890.87
其中：利息费用 28,899,784.23 36,253,649.89
利息收入 9,296,067.53 4,179,946.60
加：其他收益 20,937,707.89 18,564,873.55
投资收益（损失以“－”号填
列） 10,764,543.19 -3,933,007.70
其中：对联营企业和合营 -1,769,043.62 -6,175,019.04
企业的投资收益
以摊余成本计量的金融资产终止确认收益
汇兑收益（损失以“-”号填
列）
净敞口套期收益（损失以 “－”号填列）
公允价值变动收益（损失以 “－”号填列） 14,630,314.00 5,917,980.90
信用减值损失（损失以“-”号填列） -33,191,507.53 -36,617,868.81
资产减值损失（损失以“-”号填列） -924,725.02 -10,672,833.37
资产处置收益（损失以“-”号填列） 119,918.13 19,262.48
三、营业利润（亏损以“－”号填列） -94,754,604.90 -48,963,482.97
加：营业外收入 53,313.89 698,993.43
减：营业外支出 135,243.88 1,219,953.17
四、利润总额（亏损总额以“－”号填列） -94,836,534.89 -49,484,442.71
减：所得税费用 -4,046,889.60 -1,869,263.54
五、净利润（净亏损以“－”号填列） -90,789,645.29 -47,615,179.17
（一）按经营持续性分类
1.持续经营净利润（净亏损以 “－”号填列） -90,789,645.29 -47,615,179.17
2.终止经营净利润（净亏损以 “－”号填列）
（二）按所有权归属分类
1.归属于母公司股东的净利润 -56,788,821.46 -21,727,373.90
2.少数股东损益 -34,000,823.83 -25,887,805.27
六、其他综合收益的税后净额 -2,292,272.97 3,657,678.47
归属母公司所有者的其他综合收益的税后净额 -1,015,990.76 1,825,519.47
（一）不能重分类进损益的其他综合收益
1.重新计量设定受益计划变动
额
2.权益法下不能转损益的其他综合收益
3.其他权益工具投资公允价值
变动
4.企业自身信用风险公允价值
变动
5.其他
（二）将重分类进损益的其他综合收益 -1,015,990.76 1,825,519.47
1.权益法下可转损益的其他综合收益
2.其他债权投资公允价值变动
3.金融资产重分类计入其他综
合收益的金额
4.其他债权投资信用减值准备
5.现金流量套期储备
6.外币财务报表折算差额 -1,015,990.76 1,825,519.47
7.其他
归属于少数股东的其他综合收益的税后净额 -1,276,282.21 1,832,159.00
七、综合收益总额 -93,081,918.26 -43,957,500.70
归属于母公司所有者的综合收益总额 -57,804,812.22 -19,901,854.43
归属于少数股东的综合收益总额 -35,277,106.04 -24,055,646.27
八、每股收益
（一）基本每股收益 -0.0952 -0.0411
（二）稀释每股收益 -0.0952 -0.0411
法定代表人：陆文斌 主管会计工作负责人：刘杰 会计机构负责人：刘杰
4、母公司利润表
单位：元
项目 2022 年度 2021 年度
一、营业收入 458,697,621.61 605,006,347.53
减：营业成本 339,613,270.83 502,586,804.18
税金及附加 949,390.56 1,639,555.56
销售费用 21,063,225.69 21,038,035.63
管理费用 68,085,399.03 43,139,805.61
研发费用 50,828,234.19 45,032,988.01
财务费用 -15,066,153.22 5,986,737.10
其中：利息费用 20,559,801.46 24,710,819.96
利息收入 35,790,017.43 18,999,626.94
加：其他收益 6,914,621.23 6,549,683.10
投资收益（损失以“－”号填
列） 10,516,057.45 1,324,075.57
其中：对联营企业和合营企业的投资收益 -814,884.80 -917,935.77
以摊余成本计量的金融资产终止确认收益（损失以“-”号填列）
净敞口套期收益（损失以 “－”号填列）
公允价值变动收益（损失以 “－”号填列） 14,630,314.00 5,917,980.90
信用减值损失（损失以“-”号填列） -29,699,369.15 1,890,547.34
资产减值损失（损失以“-”号填列） -544,524.60
资产处置收益（损失以“-”号填列） 22,398.15
二、营业利润（亏损以“－”号填 -4,936,248.39 1,264,708.35
列）
加：营业外收入 1,366.60
减：营业外支出 44,647.51 93,805.31
三、利润总额（亏损总额以“－”号填列） -4,980,895.90 1,172,269.64
减：所得税费用 -5,864,406.84 -2,289,779.05
四、净利润（净亏损以“－”号填列） 883,510.94 3,462,048.69
（一）持续经营净利润（净亏损以 “－”号填列） 883,510.94 3,462,048.69
（二）终止经营净利润（净亏损以 “－”号填列）
五、其他综合收益的税后净额
（一）不能重分类进损益的其他综合收益
1.重新计量设定受益计划变动
额
2.权益法下不能转损益的其他综合收益
3.其他权益工具投资公允价值
变动
4.企业自身信用风险公允价值
变动
5.其他
（二）将重分类进损益的其他综合收益
1.权益法下可转损益的其他综合收益
2.其他债权投资公允价值变动
3.金融资产重分类计入其他综合收益的金额
4.其他债权投资信用减值准备
5.现金流量套期储备
6.外币财务报表折算差额
7.其他
六、综合收益总额 883,510.94 3,462,048.69
七、每股收益：
（一）基本每股收益
（二）稀释每股收益
5、合并现金流量表
单位：元
项目 2022 年度 2021 年度
一、经营活动产生的现金流量：
销售商品、提供劳务收到的现金 1,920,518,268.09 1,925,543,853.79
客户存款和同业存放款项净增加额
向中央银行借款净增加额
向其他金融机构拆入资金净增加额
收到原保险合同保费取得的现金
收到再保业务现金净额
保户储金及投资款净增加额
收取利息、手续费及佣金的现金
拆入资金净增加额
回购业务资金净增加额
代理买卖证券收到的现金净额
收到的税费返还 14,314,487.21 3,627,970.10
收到其他与经营活动有关的现金 77,525,189.23 15,864,166.07
经营活动现金流入小计 2,012,357,944.53 1,945,035,989.96
购买商品、接受劳务支付的现金 1,740,826,107.83 1,438,610,197.55
客户贷款及垫款净增加额
存放中央银行和同业款项净增加额
支付原保险合同赔付款项的现金
拆出资金净增加额
支付利息、手续费及佣金的现金
支付保单红利的现金
支付给职工以及为职工支付的现金 308,730,130.35 272,912,215.89
支付的各项税费 46,719,736.52 45,061,255.27
支付其他与经营活动有关的现金 512,394,177.04 115,431,059.13
经营活动现金流出小计 2,608,670,151.74 1,872,014,727.84
经营活动产生的现金流量净额 -596,312,207.21 73,021,262.12
二、投资活动产生的现金流量：
收回投资收到的现金 1,919,346,601.00 14,060,000.00
取得投资收益收到的现金 72,907,638.95 2,045,436.00
处置固定资产、无形资产和其他长期资产收回的现金净额 323,942.25 30,680.00
处置子公司及其他营业单位收到的现金净额
收到其他与投资活动有关的现金
投资活动现金流入小计 1,992,578,182.20 16,136,116.00
购建固定资产、无形资产和其他长期资产支付的现金 212,739,996.30 124,492,021.85
投资支付的现金 1,476,300,000.00 532,000,000.00
质押贷款净增加额
取得子公司及其他营业单位支付的现金净额
支付其他与投资活动有关的现金 1,260,084.55
投资活动现金流出小计 1,690,300,080.85 656,492,021.85
投资活动产生的现金流量净额 302,278,101.35 -640,355,905.85
三、筹资活动产生的现金流量：
吸收投资收到的现金 15,857,367.00 738,818,410.43
其中：子公司吸收少数股东投资收到的现金 2,000,000.00
取得借款收到的现金 761,334,000.00 534,750,000.00
收到其他与筹资活动有关的现金 61,468,901.00
筹资活动现金流入小计 777,191,367.00 1,335,037,311.43
偿还债务支付的现金 573,789,000.00 608,779,477.01
分配股利、利润或偿付利息支付的现金 28,575,466.67 31,015,890.49
其中：子公司支付给少数股东的股利、利润
支付其他与筹资活动有关的现金 15,178,140.07 142,585,582.04
筹资活动现金流出小计 617,542,606.74 782,380,949.54
筹资活动产生的现金流量净额 159,648,760.26 552,656,361.89
四、汇率变动对现金及现金等价物的 2,080,592.10 -162,228.03
影响
五、现金及现金等价物净增加额 -132,304,753.50 -14,840,509.87
加：期初现金及现金等价物余额 454,328,751.85 469,169,261.72
六、期末现金及现金等价物余额 322,023,998.35 454,328,751.85
6、母公司现金流量表
单位：元
项目 2022 年度 2021 年度
一、经营活动产生的现金流量：
销售商品、提供劳务收到的现金 421,861,965.21 537,970,927.11
收到的税费返还 185,454.07
收到其他与经营活动有关的现金 93,135,934.55 5,637,853.70
经营活动现金流入小计 514,997,899.76 543,794,234.88
购买商品、接受劳务支付的现金 533,569,990.41 357,017,737.00
支付给职工以及为职工支付的现金 48,592,788.13 52,309,481.93
支付的各项税费 2,888,266.82 7,920,948.72
支付其他与经营活动有关的现金 357,919,277.89 33,085,496.85
经营活动现金流出小计 942,970,323.25 450,333,664.50
经营活动产生的现金流量净额 -427,972,423.49 93,460,570.38
二、投资活动产生的现金流量：
收回投资收到的现金 1,909,908,875.00 30,000,000.00
取得投资收益收到的现金 72,885,584.15 2,045,436.00
处置固定资产、无形资产和其他长
期资产收回的现金净额 84,708.97
处置子公司及其他营业单位收到的
现金净额
收到其他与投资活动有关的现金
投资活动现金流入小计 1,982,879,168.12 32,045,436.00
购建固定资产、无形资产和其他长
期资产支付的现金 99,031,836.60 44,467,347.31
投资支付的现金 1,459,300,001.00 547,940,000.00
取得子公司及其他营业单位支付的现金净额
支付其他与投资活动有关的现金
投资活动现金流出小计 1,558,331,837.60 592,407,347.31
投资活动产生的现金流量净额 424,547,330.52 -560,361,911.31
三、筹资活动产生的现金流量：
吸收投资收到的现金 13,857,368.00 722,388,410.43
取得借款收到的现金 630,884,000.00 396,000,000.00
收到其他与筹资活动有关的现金 6,570,521.15 148,416,509.90
筹资活动现金流入小计 651,311,889.15 1,266,804,920.33
偿还债务支付的现金 436,400,000.00 380,000,000.00
分配股利、利润或偿付利息支付的现金 20,255,508.22 20,031,350.26
支付其他与筹资活动有关的现金 285,555,549.27 408,847,969.05
筹资活动现金流出小计 742,211,057.49 808,879,319.31
筹资活动产生的现金流量净额 -90,899,168.34 457,925,601.02
四、汇率变动对现金及现金等价物的
影响
五、现金及现金等价物净增加额 -94,324,261.31 -8,975,739.91
加：期初现金及现金等价物余额 227,206,425.24 236,182,165.15
六、期末现金及现金等价物余额 132,882,163.93 227,206,425.24
7、合并所有者权益变动表
本期金额
单位：元
项目 2022 年度
归属于母公司所有者权益
少数股东权益 所有者权益合计
股本 其他权益工具 资本公积 减：库存股 其他综合收益 专项储备 盈余公积 一般风险准备 未分配利润
其他
小计
优先股 永续债 其他
一、上年期末余额 607,
576,
150.
00 2,37
6,91
3,96
3.19 81,5
58,8
40.4
3
2,85
2,31
2.04 49,5
71,2
85.7
1 - 605,
566,
756.
91 2,34
9,78
8,11
3.60 - 91,9
73,8
18.9
7 2,25
7,81
4,29
4.63
加
：会计政策变更
期差错更正
一控制下企业合并
他
二、本年期初余额 607,
576,
150.
00 2,37
6,91
3,96
3.19 81,5
58,8
40.4
3
2,85
2,31
2.04 49,5
71,2
85.7
1 - 605,
566,
756.
91 2,34
9,78
8,11
3.60 - 91,9
73,8
18.9
7 2,25
7,81
4,29
4.63
三、本期增减变动金额
（减少以 “－
”号填 列）
8,04
7,87
1.28
- 36,7
06,2
01.2
6
- 1,01
5,99
0.76
88,3
51.0
9
- 56,8
77,1
72.5
5
- 13,0
50,7
39.6
8
- 30,3
03,9
08.1
9
- 43,3
54,6
47.8
7
（一
）综合收益总额 - 1,01
5,99
0.76 - 56,7
88,8
21.4
6 - 57,8
04,8
12.2
2 - 35,2
77,1
06.0
4 - 93,0
81,9
18.2
6
（二 8,04
7,87 - 36,7 44,7
54,0 4,97
3,19 49,7
27,2
）所有者投入和减少资本 1.28 06,2
01.2
6 72.5
4 7.85 70.3
9
1．所有者投入的普通股
2,00
0,00
0.00
2,00
0,00
0.00
2．其他权益工具持有者投入资本
3．股份支付计入所有者权益的金额
44,7
33,7
78.8
6
44,7
33,7
78.8
6
1,38
2,55
4.73
46,1
16,3
33.5
9
4．其他 - 36,6
85,9
07.5
8 - 36,7
06,2
01.2
6
20,2
93.6
8
1,59
0,64
3.12
1,61
0,93
6.80
（三
）利润分配 88,3
51.0
9 - 88,3
51.0
9
1．提取盈余公积 88,3
51.0
9 - 88,3
51.0
9
2．提取一般风险准备
3．对所有者
（或股 东）的分配
4．
其他
（四
）所有者权益内部结转
1．资本公积转增资本
（或股 本）
2．盈余公积转增资本
（或股 本）
3．盈余公积弥补亏损
4．设定受益计划变动额结转留存收益
5．其他综合收益结转留存收益
6．其他
（五
）专项储备
1．本期提取
2．
本期使用
（六
）其他
四、本期期末余额 607,
576,
150.
00 2,38
4,96
1,83
4.47 44,8
52,6
39.1
7
1,83
6,32
1.28 49,6
59,6
36.8
0 - 662,
443,
929.
46 2,33
6,73
7,37
3.92 - 122,
277,
727.
16 2,21
4,45
9,64
6.76
上期金额
单位：元
项目 2021 年度
归属于母公司所有者权益
少数股东权益 所有者权益合计
股本 其他权益工具 资本公积 减：库存股 其他综合收益 专项储备 盈余公积 一般风险准备 未分配利润
其他
小计
优先股 永续债 其他
一、上年期末余额 525,
576,
150.
00 1,73
8,53
9,23
6.37 50,5
63,5
69.2
6
1,02
6,79
2.57 49,2
25,0
80.8
4 - 583,
493,
178.
14 1,68
0,31
0,51
2.38 - 68,4
08,1
72.7
0 1,61
1,90
2,33
9.68
加
：会计政策变更
期差错更正
一控制下企业合并
他
二、本年期初余额 525,
576,
150.
00 1,73
8,53
9,23
6.37 50,5
63,5
69.2
6
1,02
6,79
2.57 49,2
25,0
80.8
4 - 583,
493,
178.
14 1,68
0,31
0,51
2.38 - 68,4
08,1
72.7
0 1,61
1,90
2,33
9.68
三、本期增减变动金额
（减少以 “－
”号
填
82,0
00,0
00.0
0
638,
374,
726.
82
30,9
95,2
71.1
7
1,82
5,51
9.47
346,
204.
87
- 22,0
73,5
78.7
7
669,
477,
601.
22
- 23,5
65,6
46.2
7
645,
911,
954.
95
列）
（一
）综合收益总额
1,82
5,51
9.47 - 21,7
27,3
73.9
0 - 19,9
01,8
54.4
3 - 24,0
55,6
46.2
7 - 43,9
57,5
00.7
0
（二
）所有者投入和减少资本
82,0
00,0
00.0
0
638,
374,
726.
82
30,9
95,2
71.1
7
689,
379,
455.
65
490,
000.
00
689,
869,
455.
65
1．所有者投入的普通股
82,0
00,0
00.0
0
638,
374,
726.
82
720,
374,
726.
82
490,
000.
00
720,
864,
726.
82
2．其他权益工具持有者投入资本
3．股份支付计入所有者权益的金额
4．其他 30,9
95,2
71.1
7 - 30,9
95,2
71.1
7 - 30,9
95,2
71.1
7
（三
）利润分配 346,
204.
87 - 346,
204.
87
1．提取盈余公积 346,
204.
87 - 346,
204.
87
2．提取一般风险准备
3．
对所有者
（或股 东）的分配
4．其他
（四
）所有者权益内部结转
1．资本公积转增资本
（或股 本）
2．盈余公积转增资本
（或股 本）
3．盈余公积弥补亏损
4．设定受益计划变动额结转留存收益
5．其他综合收益结转留存收益
6．其他
（五
）专项储备
1．本期提取
2．本期使用
（六
）其他
四、本期期末余额 607,
576,
150.
00 2,37
6,91
3,96
3.19 81,5
58,8
40.4
3
2,85
2,31
2.04 49,5
71,2
85.7
1 - 605,
566,
756.
91 2,34
9,78
8,11
3.60 - 91,9
73,8
18.9
7 2,25
7,81
4,29
4.63
8、母公司所有者权益变动表
本期金额
单位：元
项目 2022 年度
股本 其他权益工具
资本公积 减：库存股 其他综合收益
专项储备
盈余公积 未分配利润
其他 所有者权益合计
优先股 永续债
其他
一、上年期末余额 607,5
76,15
0.00 2,548
,964,
714.4
4 81,55
8,840
.43 49,21
0,164
.04 219,7
49,84
7.97 3,343
,942,
036.0
2
加
：会计政策变更
期差错更正
他
二、本年期初余额 607,5
76,15
0.00 2,548
,964,
714.4
4 81,55
8,840
.43 49,21
0,164
.04 219,7
49,84
7.97 3,343
,942,
036.0
2
三、本期增减变动金额
9,410
,131.
33 - 36,70
6,201
.26
88,35
1.09
795,1
59.85
46,99
9,843
.53
（减少以 “－
”号填 列）
（一
）综合收益总额
883,5
10.94
883,5
10.94
（二
）所有者投入和减少资本
9,410
,131.
33
- 36,70
6,201
.26
46,11
6,332
.59
1．所有者投入的普通股
2．其他权益工具持有者投入资本
3．股份支付计入所有者权益的金额
46,11
6,333
.59
46,11
6,333
.59
4．其他 - 36,70
6,202
.26 - 36,70
6,201
.26
-1.00
（三
）利润分配
88,35
1.09 - 88,35
1.09
1．提取盈余公积
88,35
1.09 - 88,35
1.09
2．对所有者
（或
股
东）的分配
3．其他
（四
）所有者权益内部结转
1．资本公积转增资本
（或股 本）
2．盈余公积转增资本
（或股 本）
3．盈余公积弥补亏损
4．设定受益计划变动额结转留存收益
5．其他综合收益结转留存收益
6．其他
（五
）专项储备
1．本
期提取
2．本期使用
（六
）其他
四、本期期末余额 607,5
76,15
0.00 2,558
,374,
845.7
7 44,85
2,639
.17 49,29
8,515
.13 220,5
45,00
7.82 3,390
,941,
879.5
5
上期金额
单位：元
项目 2021 年度
股本 其他权益工具
资本公积 减：库存股 其他综合收益
专项储备
盈余公积 未分配利润
其他 所有者权益合计
优先股 永续债
其他
一、上年期末余额 525,5
76,15
0.00 1,910,5
89,987.
62 50,56
3,569
.26 48,86
3,959
.17 216,6
34,00
4.15 2,651
,100,
531.6
8
加
：会计政策变更
期差错更正
他
二、本年期初余额 525,5
76,15
0.00 1,910,5
89,987.
62 50,56
3,569
.26 48,86
3,959
.17 216,6
34,00
4.15 2,651
,100,
531.6
8
三、本期增减变动金额（减少以 “－”号填 列）
82,00
0,000
.00
638,374
,726.82
30,99
5,271
.17
346,2
04.87
3,115
,843.
82
692,8
41,50
4.34
（一）综合收益总额 3,462
,048.
69 3,462
,048.
69
（二）所有者投入和减少资本
82,00
0,000
.00
638,374
,726.82
30,99
5,271
.17
689,3
79,45
5.65
1．所有者投入的普通股 82,00
0,000
.00
638,374
,726.82 720,3
74,72
6.82
2．其他权益工具持有者投入资本
3．股份支付计入所有者权益的金额
4．其他 30,99
5,271
.17 - 30,99
5,271
.17
（三）利润分配 346,2
04.87 - 346,2
04.87
1．提取盈余公积 346,2
04.87 - 346,2
04.87
2．对所有者
（或股东）的分配
3．其他
（四）所有者权益内部结转
1．资本公积转增资本
（或股本）
2．盈余公积转增资本
（或股本）
3．盈余公积弥补亏损
4．设定受益计划变动额结转留存收益
5．其他综合收益结转留存收益
6．其他
（五）专项储备
1．本期提取
2．本期使用
（六）其他
四、本期期末余额 607,5
76,15
0.00 2,548,9
64,714.
44 81,55
8,840
.43 49,21
0,164
.04 219,7
49,84
7.97 3,343
,942,
036.0
2
三、公司基本情况
创意信息技术股份有限公司（以下简称本公司或公司，在包含子公司时统称本集团）《企业法人营业执照》统一社会信用代码：91510000201892738J 号。
注册资本：人民币 607,576,150.00 元
注册地址：成都市青羊区万和路 99 号丽阳天下 7-9 室
住所：成都市高新西区西芯大道 28 号法定代表人：陆文斌
公司类型：股份有限公司（上市） 经营期限：1996 年 12 月 09 日至长期
本集团属于软件和信息技术服务业；本集团经营范围：（以下范围不含前置许可项目，后置许可项目凭许可证或审批文件经营）互联网信息服务；软件和信息技术服务业；商品批发与零售；增值电信业务。（依法须经批准的项目，经相关部门批准后方可开展经营活动）
与上年相比，本年因新设增加 2 家公司创意数科、创意信创二期，因转让股权减少 1 家公司拓林思、因注销减少 1 家公司上海蒂玺。
详见本附注“八、合并范围的变更”及本附注“九、在其他主体中的权益”相关内容。
四、财务报表的编制基础
1、编制基础
本集团财务报表以持续经营为基础，根据实际发生的交易和事项，按照财政部颁布的《企业会计准则》及相关规定，并基于本附注“五、重要会计政策及会计估计”所述会计政策和会计估计编制。
2、持续经营
本集团自本报告期末至少 12 个月内具备持续经营能力，无影响持续经营能力的重大事项。
五、重要会计政策及会计估计
具体会计政策和会计估计提示：
具体会计政策和会计估计提示：本集团根据实际生产经营特点制定的具体会计政策和会计估计包括营业周期、应收款项坏账准备的确认和计量、发出存货计量、固定资产分类及折旧方法、无形资产摊销、研发费用资本化条件、收入确认和计量等。
1、遵循企业会计准则的声明
本集团编制的财务报表符合企业会计准则的要求，真实、完整地反映了本公司及本集团的财务状况、经营成果和现金流量等有关信息。
2、会计期间
本集团的会计期间为公历 1 月 1 日至 12 月 31 日。
3、营业周期
公司以一年 12 个月作为正常营业周期，并以营业周期作为资产和负债的流动性划分标准。
4、记账本位币
本集团以人民币为记账本位币。
5、同一控制下和非同一控制下企业合并的会计处理方法
本集团作为合并方，在同一控制下企业合并中取得的资产和负债，在合并日按被合并方在最终控制方合并报表中的账面价值计量。取得的净资产账面价值与支付的合并对价账面价值的差额，调整资本公积；资本公积不足冲减的，调整留存收益。
在非同一控制下企业合并中取得的被购买方可辨认资产、负债及或有负债在收购日以公允价值计量。合并成本为本集团在购买日为取得对被购买方的控制权而支付的现金或非现金资产、发行或承担的负债、发行的权益性证券等的公允价值以及在企业合并中发生的各项直接相关费用之和（通过多次交易分步实现的企业合并，其合并成本为每一单项交易的成本之和）。合并成本大于合并中取得的被购买方可辨认净资产公允价值份额的差额，确认为商誉；合并成本小于合并中取得的被购买方可辨认净资产公允价值份额的，首先对合并中取得的各项可辨认资产、负债及或有负债的公允价值、以及合并对价的非现金资产或发行的权益性证券等的公允价值进行复核，经复核后，合并成本仍小于合并中取得的被购买方可辨认净资产公允价值份额的，将其差额计入合并当期营业外收入。
6、合并财务报表的编制方法
本集团将所有控制的子公司及结构化主体纳入合并财务报表范围。
在编制合并财务报表时，子公司与本集团采用的会计政策或会计期间不一致的，按照本集团的会计政策或会计期间对子公司财务报表进行必要的调整。
合并范围内的所有重大内部交易、往来余额及未实现利润在合并报表编制时予以抵销。子公司的所有者权益中不属于母公司的份额以及当期净损益、其他综合收益及综合收益总额中属于少数股东权益的份额，分别在合并财务报表“少数股东权益、少数股东损益、归属于少数股东的其他综合收益及归属于少数股东的综合收益总额”项目列示。
对于同一控制下企业合并取得的子公司，其经营成果和现金流量自合并当期期初纳入合并财务报表。编制比较合并财务报表时，对上年财务报表的相关项目进行调整，视同合并后形成的报告主体自最终控制方开始控制时点起一直存在。 通过多次交易分步取得同一控制下被投资单位的股权，最终形成企业合并，编制合并报表时，视同在最终控制方开始控制时即以目前的状态存在进行调整，在编制比较报表时，以不早于本集团和被合并方同处于最终控制方的控制之下的时点为限，将被合并方的有关资产、负债并入本集团合并财务报表的比较报表中，并将合并而增加的净资产在比较报表中调整所有者权益项下的相关项目。为避免对被合并方净资产的价值进行重复计算，本集团在达到合并之前持有的长期股权投资，在取得原股权之日与本集团和被合并方处于同一方最终控制之日孰晚日起至合并日之间已确认有关损益、其他综合收益和其他净资产变动，应分别冲减比较报表期间的期初留存收益和当期损益。
对于非同一控制下企业合并取得子公司，经营成果和现金流量自本集团取得控制权之日起纳入合并财务报表。在编制合并财务报表时，以购买日确定的各项可辨认资产、负债及或有负债的公允价值为基础对子公司的财务报表进行调整。 通过多次交易分步取得非同一控制下被投资单位的股权，最终形成企业合并，编制合并报表时，对于购买日之前持有的被购买方的股权，按照该股权在购买日的公允价值进行重新计量，公允价值与其账面价值的差额计入当期投资收益；与其相关的购买日之前持有的被购买方的股权涉及权益法核算下的其他综合收益以及除净损益、其他综合收益和利润分配外的其他所有者权益变动，在购买日所属当期转为投资损益，由于被投资方重新计量设定受益计划净负债或净资产变动而产生的其他综合收益除外。
本集团在不丧失控制权的情况下部分处置对子公司的长期股权投资，在合并财务报表中，处置价款与处置长期股权投资相对应享有子公司自购买日或合并日开始持续计算的净资产份额之间的差额，调整资本溢价或股本溢价，资本公积不足冲减的，调整留存收益。
本集团因处置部分股权投资等原因丧失了对被投资方的控制权的，在编制合并财务报表时，对于剩余股权，按照其在丧 失控制权日的公允价值进行重新计量。处置股权取得的对价与剩余股权公允价值之和，减去按原持股比例计算应享有原有子公司自购买日或合并日开始持续计算的净资产的份额之间的差额，计入丧失控制权当期的投资损益，同时冲减商誉。与原有子公司股权投资相关的其他综合收益等，在丧失控制权时转为当期投资损益。
本集团通过多次交易分步处置对子公司股权投资直至丧失控制权的，如果处置对子公司股权投资直至丧失控制权的各项交易属于一揽子交易的，应当将各项交易作为一项处置子公司并丧失控制权的交易进行会计处理；但是，在丧失控制权之前每一次处置价款与处置投资对应的享有该子公司净资产份额的差额，在合并财务报表中确认为其他综合收益，在丧失控制权时一并转入丧失控制权当期的投资损益。
7、合营安排分类及共同经营会计处理方法
本集团的合营安排包括共同经营和合营企业。对于共同经营项目,本集团作为共同经营中的合营方确认单独持有的资产和承担的负债，以及按份额确认持有的资产和承担的负债，根据相关约定单独或按份额确认相关的收入和费用。与共同经营发生购买、销售不构成业务的资产交易的，仅确认因该交易产生的损益中归属于共同经营其他参与方的部分。
8、现金及现金等价物的确定标准
本集团现金流量表之现金指库存现金以及可以随时用于支付的存款。现金流量表之现金等价物指持有期限不超过 3 个月、流动性强、易于转换为已知金额现金且价值变动风险很小的投资。
9、外币业务和外币报表折算
（1） 外币交易
本集团外币交易按交易发生日的即期汇率将外币金额折算为人民币金额。于资产负债表日，外币货币性项目采用资产负债表日的即期汇率折算为人民币，所产生的折算差额除了为购建或生产符合资本化条件的资产而借入的外币专门借款产生的汇兑差额按资本化的原则处理外，直接计入当期损益。
（2） 外币财务报表的折算
外币资产负债表中资产、负债类项目采用资产负债表日的即期汇率折算；所有者权益类项目除“未分配利润”外，均按业务发生时的即期汇率折算；利润表中的收入与费用项目，采用交易发生日的月平均汇率折算。上述折算产生的外币报
表折算差额，在其他综合收益项目中列示。外币现金流量采用现金流量发生日的月平均汇率折算。汇率变动对现金的影响额，在现金流量表中单独列示。
10、金融工具
本集团成为金融工具合同的一方时确认一项金融资产或金融负债。
（1） 金融资产
1） 金融资产分类、确认依据和计量方法
本集团根据管理金融资产的业务模式和金融资产的合同现金流特征，将金融资产分类为以摊余成本计量的金融资产、以公允价值计量且其变动计入其他综合收益的金融资产、以公允价值计量且其变动计入当期损益的金融资产。
本集团将同时符合下列条件的金融资产分类为以摊余成本计量的金融资产：①管理该金融资产的业务模式是以收取合同 现金流量为目标。②该金融资产的合同条款规定，在特定日期产生的现金流量，仅为对本金和以未偿付本金金额为基础的利息的支付。此类金融资产按照公允价值进行初始计量，相关交易费用计入初始确认金额；以摊余成本进行后续计量。不属于任何套期关系的一部分的该类金融资产，按照实际利率法摊销、减值、汇兑损益以及终止确认时产生的利得或损失，计入当期损益。
本集团将同时符合下列条件的金融资产分类为以公允价值计量且其变动计入其他综合收益的金融资产：①管理该金融资产的业务模式既以收取合同现金流量为目标又以出售该金融资产为目标。②该金融资产的合同条款规定，在特定日期产生的现金流量，仅为对本金和以未偿付本金金额为基础的利息的支付。此类金融资产按照公允价值进行初始计量，相关交易费用计入初始确认金额。不属于任何套期关系的一部分的该类金融资产所产生的所有利得或损失，除信用减值损失或利得、汇兑损益和按照实际利率法计算的该金融资产利息之外，所产生的其他利得或损失，均计入其他综合收益；金融资产终止确认时，之前计入其他综合收益的累计利得或损失应当从其他综合收益中转出，计入当期损益。
本集团按照实际利率法确认利息收入。利息收入根据金融资产账面余额乘以实际利率计算确定，但下列情况除外：①对于购入或源生的已发生信用减值的金融资产，自初始确认起，按照该金融资产的摊余成本和经信用调整的实际利率计算确定其利息收入。②对于购入或源生的未发生信用减值、但在后续期间成为已发生信用减值的金融资产，在后续期间，按照该金融资产的摊余成本和实际利率计算确定其利息收入。
本集团将非交易性权益工具投资指定为以公允价值计量且其变动计入其他综合收益的金融资产。该指定一经作出，不得 撤销。本集团指定的以公允价值计量且其变动计入其他综合收益的非交易性权益工具投资，按照公允价值进行初始计量，相关交易费用计入初始确认金额；除了获得股利（属于投资成本收回部分的除外）计入当期损益外，其他相关的利得和损失（包括汇兑损益）均计入其他综合收益，且后续不得转入当期损益。当其终止确认时，之前计入其他综合收益的累计利得或损失从其他综合收益中转出，计入留存收益。
除上述分类为以摊余成本计量的金融资产和分类为以公允价值计量且其变动计入其他综合收益的金融资产之外的金融资产，本集团将其分类为以公允价值计量且其变动计入当期损益的金融资产。此类金融资产按照公允价值进行初始计量，相关交易费用直接计入当期损益。此类金融资产的利得或损失，计入当期损益。
本集团在非同一控制下的企业合并中确认的或有对价构成金融资产的，该金融资产分类为以公允价值计量且其变动计入当期损益的金融资产。
2） 金融资产转移的确认依据和计量方法
本集团将满足下列条件之一的金融资产予以终止确认：①收取该金融资产现金流量的合同权利终止；②金融资产发生转移，本集团转移了金融资产所有权上几乎所有风险和报酬；③金融资产发生转移，本集团既没有转移也没有保留金融资产所有权上几乎所有风险和报酬，且未保留对该金融资产控制的。
金融资产整体转移满足终止确认条件的，将所转移金融资产在终止确认日的账面价值，与因转移而收到的对价及原直接计入其他综合收益的公允价值变动累计额中对应终止确认部分的金额（涉及转移的金融资产同时符合下列条件：集团管理该金融资产的业务模式是以收取合同现金流量为目标；该金融资产的合同条款规定，在特定日期产生的现金流，仅为对本金金额为基础的利息的支付）之和的差额计入当期损益。
金融资产部分转移满足终止确认条件的，将所转移金融资产整体的账面价值，在终止确认部分和未终止确认部分之间，按照各自的相对公允价值进行分摊，并将因转移而收到的对价及应分摊至终止确认部分的原计入其他综合收益的公允价值变动累计额中对应终止确认部分的金额（涉及转移的金融资产同时符合下列条件：公司管理该金融资产的业务模式是以收取合同现金流量为目标；该金融资产的合同条款规定，在特定日期产生的现金流，仅为对本金金额为基础的利息的支付）之和，与分摊的前述金融资产整体账面价值的差额计入当期损益。
（2） 金融负债
1） 金融负债分类、确认依据和计量方法
除下列各项外，本集团将金融负债分类为以摊余成本计量的金融负债，采用实际利率法，按照摊余成本进行后续计量：
①以公允价值计量且其变动计入当期损益的金融负债（含属于金融负债的衍生工具），包括交易性金融负债和初始确认时指定为以公允价值计量且其变动计入当期损益的金融负债，此类金融负债按照公允价值进行后续计量，公允价值变动形成的利得或损失以及与该金融负债相关的股利和利息支出计入当期损益。
②不符合终止确认条件的金融资产转移或继续涉入被转移金融资产所形成的金融负债。此类金融负债，本集团按照金融资产转移相关准则规定进行计量。
③不属于以上①或②情形的财务担保合同，以及不属于以上①情形的以低于市场利率贷款的贷款承诺。本公司作为此类金融负债的发行方的，在初始确认后按照依据金融工具减值相关准则规定确定的损失准备金额以及初始确认金额扣除依据收入准则相关规定所确定的累计摊销后的余额孰高进行计量。
本集团将在非同一控制下的企业合并中作为购买方确认的或有对价形成金融负债的，按照以公允价值计量且其变动计入当期损益进行会计处理。
2） 金融负债终止确认条件
当金融负债的现时义务全部或部分已经解除时，终止确认该金融负债或义务已解除的部分。本集团与债权人之间签订协议，以承担新金融负债方式替换现存金融负债，且新金融负债与现存金融负债的合同条款实质上不同的，终止确认现存金融负债，并同时确认新金融负债。本集团对现存金融负债全部或部分的合同条款作出实质性修改的，终止确认现存金融负债或其一部分，同时将修改条款后的金融负债确认为一项新金融负债。终止确认部分的账面价值与支付的对价之间的差额，计入当期损益。
（3） 金融资产和金融负债的公允价值确定方法
本集团以主要市场的价格计量金融资产和金融负债的公允价值，不存在主要市场的，以最有利市场的价格计量金融资产和金融负债的公允价值，并且采用当时适用并且有足够可利用数据和其他信息支持的估值技术。公允价值计量所使用的输入值分为三个层次，即第一层次输入值是计量日能够取得的相同资产或负债在活跃市场上未经调整的报价；第二层次输入值是除第一层次输入值外相关资产或负债直接或间接可观察的输入值；第三层次输入值是相关资产或负债的不可观察输入值。公允价值计量结果所属的层次，由对公允价值计量整体而言具有重大意义的输入值所属的最低层次决定。 本集团对权益工具的投资以公允价值计量。但在有限情况下，如果用以确定公允价值的近期信息不足，或者公允价值的可能估计金额分布范围很广，而成本代表了该范围内对公允价值的最佳估计的，该成本可代表其在该分布范围内对公允价值的恰当估计。
（4） 金融资产和金融负债的抵销
本集团的金融资产和金融负债在资产负债表内分别列示，不相互抵销。但同时满足下列条件时，以相互抵销后的净额在资产负债表内列示：（1）本集团具有抵销已确认金额的法定权利，且该种法定权利是当前可执行的；（2）本集团计划以净额结算，或同时变现该金融资产和清偿该金融负债。
（5） 金融负债与权益工具的区分及相关处理方法
本集团按照以下原则区分金融负债与权益工具：（1）如果本集团不能无条件地避免以交付现金或其他金融资产来履行一项合同义务，则该合同义务符合金融负债的定义。有些金融工具虽然没有明确地包含交付现金或其他金融资产义务的条款和条件，但有可能通过其他条款和条件间接地形成合同义务。（2）如果一项金融工具须用或可用本集团自身权益工具进行结算，需要考虑用于结算该工具的本集团自身权益工具，是作为现金或其他金融资产的替代品，还是为了使该工具持有方享有在发行方扣除所有负债后的资产中的剩余权益。如果是前者，该工具是发行方的金融负债；如果是后者，该工具是发行方的权益工具。在某些情况下，一项金融工具合同规定本集团须用或可用自身权益工具结算该金融工具，其中合同权利或合同义务的金额等于可获取或需交付的自身权益工具的数量乘以其结算时的公允价值，则无论该合同权利
或义务的金额是固定的，还是完全或部分地基于除本集团自身权益工具的市场价格以外的变量的变动而变动，该合同分类为金融负债。
本集团在合并报表中对金融工具进行分类时，考虑了集团成员和金融工具持有方之间达成的所有条款和条件。如果集团 作为一个整体由于该工具而承担了交付现金、其他金融资产或者以其他导致该工具成为金融负债的方式进行结算的义务，则该工具应当分类为金融负债。
金融工具或其组成部分属于金融负债的，相关利息、股利（或股息）、利得或损失，以及赎回或再融资产生的利得或损失等，本集团计入当期损益。
金融工具或其组成部分属于权益工具的，其发行（含再融资）、回购、出售或注销时，本集团作为权益的变动处理，不确认权益工具的公允价值变动。
11、应收票据
本集团对于《企业会计准则第 14 号-收入准则》规范的交易形成且不含重大融资成分的应收账款，始终按照相当于整个存续期内预期信用损失的金额计量其损失准备。
信用风险自初始确认后是否显著增加的判断。本集团通过比较金融工具在初始确认时所确定的预计存续期内的违约概率 和该工具在资产负债表日所确定的预计存续期内的违约概率，来判定金融工具信用风险是否显著增加。但是，如果本集团确定金融工具在资产负债表日只具有较低的信用风险的，可以假设该金融工具的信用风险自初始确认后并未显著增加。在确定信用风险自初始确认后是否显著增加时，本集团考虑无须付出不必要的额外成本或努力即可获得的合理且有依据的信息，包括前瞻性信息。
以组合为基础的评估。对于应收票据及应收账款，本集团对信用风险显著不同的金融资产单项评价信用风险，如：与对方存在争议或涉及诉讼、仲裁的应收款项；已有明显迹象表明债务人很可能无法履行还款义务的应收款项等。除了单独评估信用风险的金融资产外，本集团基于账龄特征、业务类别、交易对象及款项性质将金融资产划分为不同的组别，在组合的基础上评估信用风险。
预期信用损失计量。预期信用损失，是指以发生违约的风险为权重的金融工具信用损失的加权平均值。信用损失，是指本集团按照原实际利率折现的、根据合同应收的所有合同现金流量与预期收取的所有现金流量之间的差额，即全部现金短缺的现值。
本集团在资产负债表日计算应收账款预期信用损失，如果该预期信用损失大于当前应收账款减值准备的账面金额，本集团将其差额确认为应收账款减值损失，借记“信用减值损失”，贷记“坏账准备”。相反，本集团将差额确认为减值利得，做相反的会计记录。
本集团实际发生信用损失，认定相关应收账款无法收回，经批准予以核销的，根据批准的核销金额，借记“坏账准备”，贷记“应收账款”。若核销金额大于已计提的损失准备，按期差额借记“信用减值损失”。
12、应收账款
本集团对于《企业会计准则第 14 号-收入准则》规范的交易形成且不含重大融资成分的应收账款，始终按照相当于整个存续期内预期信用损失的金额计量其损失准备。
信用风险自初始确认后是否显著增加的判断。本集团通过比较金融工具在初始确认时所确定的预计存续期内的违约概率 和该工具在资产负债表日所确定的预计存续期内的违约概率，来判定金融工具信用风险是否显著增加。但是，如果本集团确定金融工具在资产负债表日只具有较低的信用风险的，可以假设该金融工具的信用风险自初始确认后并未显著增加。在确定信用风险自初始确认后是否显著增加时，本集团考虑无须付出不必要的额外成本或努力即可获得的合理且有依据的信息，包括前瞻性信息。
以组合为基础的评估。对于应收票据及应收账款，本集团对信用风险显著不同的金融资产单项评价信用风险，如：与对方存在争议或涉及诉讼、仲裁的应收款项；已有明显迹象表明债务人很可能无法履行还款义务的应收款项等。除了单独评估信用风险的金融资产外，本集团基于账龄特征、业务类别、交易对象及款项性质将金融资产划分为不同的组别，在组合的基础上评估信用风险。
预期信用损失计量。预期信用损失，是指以发生违约的风险为权重的金融工具信用损失的加权平均值。信用损失，是指本集团按照原实际利率折现的、根据合同应收的所有合同现金流量与预期收取的所有现金流量之间的差额，即全部现金短缺的现值。
本集团在资产负债表日计算应收账款预期信用损失，如果该预期信用损失大于当前应收账款减值准备的账面金额，本集团将其差额确认为应收账款减值损失，借记“信用减值损失”，贷记“坏账准备”。相反，本集团将差额确认为减值利得，做相反的会计记录。
本集团实际发生信用损失，认定相关应收账款无法收回，经批准予以核销的，根据批准的核销金额，借记“坏账准备”，贷记“应收账款”。若核销金额大于已计提的损失准备，按期差额借记“信用减值损失”。
13、应收款项融资
对于合同现金流量特征与基本借贷安排相一致，且公司管理此类金融资产的业务模式为既以收取合同现金流量为目标又以出售为目标的应收票据，本集团将其分类为应收款项融资，以公允价值计量且其变动计入其他综合收益。应收款项融资采用实际利率法确认的利息收入、减值损失及汇兑差额确认为当期损益，其余公允价值变动计入其他综合收益。终止确认时，之前计入其他综合收益的累计利得或损失从其他综合收益转出，计入当期损益。
14、其他应收款
其他应收款的预期信用损失的确定方法及会计处理方法
本集团按照下列情形计量其他应收款损失准备：①信用风险自初始确认后未显著增加的金融资产，本集团按照未来 12 个月的预期信用损失的金额计量损失准备；②信用风险自初始确认后已显著增加的金融资产，本集团按照相当于该金融工具整个存续期内预期信用损失的金额计量损失准备；③购买或源生已发生信用减值的金融资产，本集团按照相当于整个存续期内预期信用损失的金额计量损失准备。
以组合为基础的评估。本集团对信用风险显著不同的金融资产单项评价信用风险，如：与对方存在争议或涉及诉讼、仲 裁的应收款项；已有明显迹象表明债务人很可能无法履行还款义务的应收款项等。除了单独评估信用风险的金融资产外，本集团基于账龄特征将金融资产划分为不同的组别，在组合的基础上评估信用风险。
15、存货
本集团存货主要包括原材料、库存商品、发出商品、委托加工物资、劳务成本等。
存货实行永续盘存制，存货在取得时按实际成本计价；领用或发出存货，采用加权平均法确定其实际成本。低值易耗品和包装物采用一次转销法进行摊销。
库存商品、在产品和用于出售的材料等直接用于出售的商品存货，其可变现净值按该存货的估计售价减去估计的销售费用和相关税费后的金额确定；用于生产而持有的材料存货，其可变现净值按所生产的产成品的估计售价减去至完工时估计将要发生的成本、估计的销售费用和相关税费后的金额确定。
16、持有待售资产
（1） 本集团将同时符合下列条件的非流动资产或处置组划分为持有待售：1）根据类似交易中出售此类资产或处置组的惯例，在当前状况下即可立即出售；2）出售极可能发生，即已经就一项出售计划作出决议且获得确定的购买承诺，预计出售将在一年内完成。有关规定要求相关权力机构或者监管部门批准后方可出售的需要获得相关批准。本集团将非流动资产或处置组首次划分为持有待售类别前，按照相关会计准则规定计量非流动资产或处置组中各项资产和负债的账面价值。初始计量或在资产负债表日重新计量持有待售的非流动资产或处置组时，其账面价值高于公允价值减去出售费用后的净额的，将账面价值减记至公允价值减去出售费用后的净额，减记的金额确认为资产减值损失，计入当期损益，同时计提持有待售资产减值准备。
（2） 本集团专为转售而取得的非流动资产或处置组，在取得日满足“预计出售将在一年内完成”的规定条件，且短期
（通常为 3 个月）内很可能满足持有待售类别的其他划分条件的，在取得日将其划分为持有待售类别。在初始计量时，比较假定其不划分为持有待售类别情况下的初始计量金额和公允价值减去出售费用后的净额，以两者孰低计量。除企业合并中取得的非流动资产或处置组外，由非流动资产或处置组以公允价值减去出售费用后的净额作为初始计量金额而产生的差额，计入当期损益。
（3） 本集团因出售对子公司的投资等原因导致丧失对子公司控制权的，无论出售后本集团是否保留部分权益性投资，在拟出售的对子公司投资满足持有待售类别划分条件时，在母公司个别财务报表中将对子公司投资整体划分为持有待售类别，在合并财务报表中将子公司所有资产和负债划分为持有待售类别。
（4） 后续资产负债表日持有待售的非流动资产公允价值减去出售费用后的净额增加的，以前减记的金额应当予以恢复，并在划分为持有待售类别后确认的资产减值损失金额内转回，转回金额计入当期损益。划分为持有待售类别前确认的资产减值损失不得转回。
（5） 对于持有待售的处置组确认的资产减值损失金额，先抵减处置组中商誉的账面价值，再根据各项非流动资产账面价值所占比重，按比例抵减其账面价值。
后续资产负债表日持有待售的处置组公允价值减去出售费用后的净额增加的，以前减记的金额应当予以恢复，并在划分为持有待售类别后适用相关计量规定的非流动资产确认的资产减值损失金额内转回，转回金额计入当期损益。已抵减的商誉账面价值，以及非流动资产在划分为持有待售类别前确认的资产减值损失不得转回。
持有待售的处置组确认的资产减值损失后续转回金额，根据处置组中除商誉外，各项非流动资产账面价值所占比重，按比例增加其账面价值。
（6） 持有待售的非流动资产或处置组中的非流动资产不计提折旧或摊销，持有待售的处置组中负债的利息和其他费用继续予以确认。
（7） 持有待售的非流动资产或处置组因不再满足持有待售类别的划分条件，而不再继续划分为持有待售类别或非流动资产从持有待售的处置组中移除时，按照以下两者孰低计量：（1）划分为持有待售类别前的账面价值，按照假定不划分为持有待售类别情况下本应确认的折旧、摊销或减值等进行调整后的金额；（2）可收回金额。
（8） 终止确认持有待售的非流动资产或处置组时，将尚未确认的利得或损失计入当期损益。
17、长期股权投资
本集团长期股权投资主要是对子公司的投资、对联营企业的投资和对合营企业的投资。
本集团对共同控制的判断依据是所有参与方或参与方组合集体控制该安排，并且该安排相关活动的政策必须经过这些集体控制该安排的参与方一致同意。
本集团直接或通过子公司间接拥有被投资单位 20%以上但低于 50%的表决权时，通常认为对被投资单位具有重大影响。持有被投资单位 20%以下表决权的，还需要综合考虑在被投资单位的董事会或类似权力机构中派有代表、或参与被投资单位财务和经营政策制定过程、或与被投资单位之间发生重要交易、或向被投资单位派出管理人员、或向被投资单位提供关键技术资料等事实和情况判断对被投资单位具有重大影响。
对被投资单位形成控制的，为本集团的子公司。通过同一控制下的企业合并取得的长期股权投资，在合并日按照取得被合并方在最终控制方合并报表中净资产的账面价值的份额作为长期股权投资的初始投资成本。被合并方在合并日的净资产账面价值为负数的，长期股权投资成本按零确定。
通过多次交易分步取得同一控制下被投资单位的股权，最终形成企业合并，属于一揽子交易的，本集团将各项交易作为一项取得控制权的交易进行会计处理。不属于一揽子交易的，在合并日，根据合并后享有被合并方净资产在最终控制方合并财务报表中的账面价值的份额作为长期股权投资的的初始投资成本。初始投资成本与达到合并前的长期股权投资账面价值加上合并日进一步取得股份新支付对价的账面价值之和的差额，调整资本公积，资本公积不足冲减的，冲减留存收益。
通过非同一控制下的企业合并取得的长期股权投资，以合并成本作为初始投资成本。
通过多次交易分步取得非同一控制下被投资单位的股权，最终形成企业合并，属于一揽子交易的，本集团将各项交易作 为一项取得控制权的交易进行会计处理。不属于一揽子交易的，按照原持有的股权投资账面价值加上新增投资成本之和，作为改按成本法核算的初始投资成本。购买日之前持有的股权采用权益法核算的，原权益法核算的相关其他综合收益暂不做调整，在处置该项投资时采用与被投资单位直接处置相关资产或负债相同的基础进行会计处理。购买日之前持有的股权为指定以公允价值计量且其变动计入其他综合收益的非交易性权益工具，原计入其他综合收益的累计公允价值变动不得转入当期损益。
除上述通过企业合并取得的长期股权投资外，以支付现金取得的长期股权投资，按照实际支付的购买价款作为投资成本；以发行权益性证券取得的长期股权投资，按照发行权益性证券的公允价值作为投资成本；投资者投入的长期股权投资， 按照投资合同或协议约定的价值作为投资成本；
本集团对子公司投资采用成本法核算，对合营企业及联营企业投资采用权益法核算。
后续计量采用成本法核算的长期股权投资，在追加投资时，按照追加投资支付的成本额公允价值及发生的相关交易费用 增加长期股权投资成本的账面价值。被投资单位宣告分派的现金股利或利润，按照应享有的金额确认为当期投资收益。后续计量采用权益法核算的长期股权投资，随着被他投资单位所有者权益的变动相应调整增加或减少长期股权投资的账面价值。其中在确认应享有被投资单位净损益的份额时，以取得投资时被投资单位各项可辨认资产等的公允价值为基础，按照本集团的会计政策及会计期间，并抵销与联营企业及合营企业之间发生的内部交易损益按照持股比例计算归属于投资企业的部分，对被投资单位的净利润进行调整后确认。
处置长期股权投资，其账面价值与实际取得价款的差额，计入当期投资收益。采用权益法核算的长期股权投资，原权益法核算的相关其他综合收益应当在终止采用权益法核算时采用与被投资单位直接处置相关资产或负债相同的基础进行会计处理，因被投资方除净损益、其他综合收益和利润分配以外的其他所有者权益变动而确认的所有者权益，应当在终止采用权益法核算时全部转入当期投资收益。
因处置部分股权投资等原因丧失了对被投资单位的共同控制或重大影响的，处置后的剩余股权适用《企业会计准则第 22号——金融工具确认和计量（财会[2017]7 号）》核算的，剩余股权在丧失共同控制或重大影响之日的公允价值与账面价值之间的差额计入当期损益。原股权投资因采用权益法核算而确认的其他综合收益，在终止采用权益法核算时采用与被投资单位直接处置相关资产或负债相同的基础处理并按比例结转，因被投资方除净损益、其他综合收益和利润分配以外的其他所有者权益变动而确认的所有者权益，应当按比例转入当期投资收益。
因处置部分长期股权投资丧失了对被投资单位控制的，处置后的剩余股权能够对被投资单位实施共同控制或施加重大影响的，改按权益法核算，处置股权账面价值和处置对价的差额计入投资收益，并对该剩余股权视同自取得时即采用权益法核算进行调整；处置后的剩余股权不能对被投资单位实施共同控制或施加重大影响的，适用《企业会计准则第 22 号—
—金融工具确认和计量（财会[2017]7 号）》进行会计处理，处置股权账面价值和处置对价的差额计入投资收益，剩余股权在丧失控制之日的公允价值与账面价值间的差额计入当期损益。
本集团对于分步处置股权至丧失控股权的各项交易不属于一揽子交易的，对每一项交易分别进行会计处理。属于“一揽子交易”的，将各项交易作为一项处置子公司并丧失控制权的交易进行会计处理，但是，在丧失控制权之前每一次交易处置价款与所处置的股权对应的长期股权投资账面价值之间的差额，确认为其他综合收益，到丧失控制权时再一并转入丧失控制权的当期损益。
18、固定资产
（1） 确认条件
本集团固定资产是指同时具有以下特征，即为生产商品、提供劳务、出租或经营管理而持有的，使用年限超过一年，单位价值超过 2,000 元的有形资产。
固定资产在与其有关的经济利益很可能流入本集团、且其成本能够可靠计量时予以确认。本集团固定资产包括房屋建筑物、交通运输设备、电子设备和其他等。
（2） 折旧方法
类别 折旧方法 折旧年限 残值率 年折旧率
房屋建筑物 年限平均法 20 5.00 4.75
交通运输设备 年限平均法 5-10 5.00 19.00-9.50
电子设备 年限平均法 3-5 5.00 31.67-19.00
其他 年限平均法 3-5 5.00 31.67-19.00
除已提足折旧仍继续使用的固定资产外，本集团对所有固定资产计提折旧。计提折旧时采用平均年限法。本集团固定资产的分类折旧年限、预计净残值率、折旧率如上表所示。
本集团于每年年度终了，对固定资产的预计使用寿命、预计净残值和折旧方法进行复核，如发生改变，则作为会计估计变更处理。
19、在建工程
在建工程在达到预定可使用状态之日起，根据工程预算、造价或工程实际成本等，按估计的价值结转固定资产，次月起开始计提折旧，待办理了竣工决算手续后再对固定资产原值差异进行调整。
20、借款费用
发生的可直接归属于需要经过 1 年以上的购建或者生产活动才能达到预定可使用或者可销售状态的固定资产、投资性房地产和存货等的借款费用，在资产支出已经发生、借款费用已经发生、为使资产达到预定可使用或可销售状态所必要的购建或生产活动已经开始时，开始资本化；当购建或生产符合资本化条件的资产达到预定可使用或可销售状态时，停止资本化，其后发生的借款费用计入当期损益。如果符合资本化条件的资产在购建或者生产过程中发生非正常中断、且中断时间连续超过 3 个月，暂停借款费用的资本化，直至资产的购建或生产活动重新开始。
专门借款当期实际发生的利息费用，扣除尚未动用的借款资金存入银行取得的利息收入或进行暂时性投资取得的投资收益后的金额予以资本化；一般借款根据累计资产支出超过专门借款部分的资产支出加权平均数乘以所占用一般借款的资本化率，确定资本化金额。资本化率根据一般借款加权平均利率计算确定。
21、使用权资产
使用权资产，是指本集团作为承租人可在租赁期内使用租赁资产的权利。
（1） 初始计量
在租赁期开始日，本集团按照成本对使用权资产进行初始计量。该成本包括下列四项：①租赁负债的初始计量金额；② 在租赁期开始日或之前支付的租赁付款额，存在租赁激励的，扣除已享受的租赁激励相关金额；③发生的初始直接费用，即为达成租赁所发生的增量成本；④为拆卸及移除租赁资产、复原租赁资产所在场地或将租赁资产恢复至租赁条款约定状态预计将发生的成本，属于为生产存货而发生的除外。
（2） 后续计量
在租赁期开始日后，本集团采用成本模式对使用权资产进行后续计量，即以成本减累计折旧及累计减值损失计量使用权资产，本集团按照租赁准则有关规定重新计量租赁负债的，相应调整使用权资产的账面价值。
使用权资产的折旧
自租赁期开始日起，本集团对使用权资产计提折旧。使用权资产通常自租赁期开始的当月计提折旧。计提的折旧金额根据使用权资产的用途，计入相关资产的成本或者当期损益。
本集团在确定使用权资产的折旧方法时，根据与使用权资产有关的经济利益的预期消耗方式做出决定，以直线法对使用权资产计提折旧。
本集团在确定使用权资产的折旧年限时，遵循以下原则：能够合理确定租赁期届满时取得租赁资产所有权的，在租赁资产剩余使用寿命内计提折旧；无法合理确定租赁期届满时能够取得租赁资产所有权的，在租赁期与租赁资产剩余使用寿命两者孰短的期间内计提折旧。
使用权资产的减值
如果使用权资产发生减值，本公司按照扣除减值损失之后的使用权资产的账面价值，进行后续折旧。
22、无形资产
（1） 计价方法、使用寿命、减值测试
本集团无形资产包括土地使用权、专利技术、非专利技术等，按取得时的实际成本计量，其中，购入的无形资产，按实际支付的价款和相关的其他支出作为实际成本；投资者投入的无形资产，按投资合同或协议约定的价值确定实际成本，但合同或协议约定价值不公允的，按公允价值确定实际成本；对非同一控制下合并中取得被购买方拥有的但在其财务报表中未确认的无形资产，在对被购买方资产进行初始确认时，按公允价值确认为无形资产。
土地使用权从出让起始日起，按其出让年限平均摊销；专利技术、非专利技术和其他无形资产按预计使用年限、合同规 定的受益年限和法律规定的有效年限三者中最短者分期平均摊销。摊销金额按其受益对象计入相关资产成本和当期损益。对使用寿命有限的无形资产的预计使用寿命及摊销方法于每年年度终了进行复核，如发生改变，则作为会计估计变更处理。
（2） 内部研究开发支出会计政策
本集团的研究开发支出根据其性质以及研发活动最终形成无形资产是否具有较大不确定性，分为研究阶段支出和开发阶段支出。研究阶段的支出，于发生时计入当期损益；开发阶段的支出，同时满足下列条件的，确认为无形资产：
（1） 完成该无形资产以使其能够使用或出售在技术上具有可行性；
（2） 具有完成该无形资产并使用或出售的意图；
（3） 运用该无形资产生产的产品存在市场或无形资产自身存在市场；
（4） 有足够的技术、财务资源和其他资源支持，以完成该无形资产的开发，并有能力使用或出售该无形资产；
（5） 归属于该无形资产开发阶段的支出能够可靠地计量。
不满足上述条件的开发阶段的支出，于发生时计入当期损益。前期已计入损益的开发支出在以后期间不再确认为资产。已资本化的开发阶段的支出在资产负债表上列示为开发支出，自该项目达到预定可使用状态之日起转为无形资产列报，按该研发项目对应产品的预计可使用年限直线法分摊。
23、长期资产减值
本集团于每一资产负债表日对长期股权投资、采用成本模式计量的投资性房地产、固定资产、在建工程、使用权资产、使用寿命有限的无形资产、经营租赁资产等项目进行检查，当存在减值迹象时，本集团进行减值测试。对商誉和使用寿命不确定的无形资产，无论是否存在减值迹象，每年末均进行减值测试。
减值测试后，若该资产的账面价值超过其可收回金额，其差额确认为减值损失，上述资产的减值损失一经确认，在以后会计期间不予转回。
24、长期待摊费用
本集团的长期待摊费用是指已经支出，但应由当期及以后各期承担的摊销期限在 1 年以上(不含 1 年)的费用，该等费用在受益期内平均摊销。如果长期待摊费用项目不能使以后会计期间受益，则将尚未摊销的该项目的摊余价值全部转入当期损益。
25、合同负债
合同负债反映本集团已收或应收客户对价而应向客户转让商品的义务。本集团在向客户转让商品之前，客户已经支付了合同对价或本集团已经取得了无条件收取合同对价权利的，在客户实际支付款项与到期应支付款项孰早时点，按照已收或应收的金额确认合同负债。
26、职工薪酬
（1） 短期薪酬的会计处理方法
本集团职工薪酬包括短期薪酬、离职后福利等。
短期薪酬主要包括职工工资、奖金、津贴和补贴、福利费等，在职工提供服务的会计期间，将实际发生的短期薪酬确认为负债，并按照受益对象计入当期损益或相关资产成本。
（2） 离职后福利的会计处理方法
离职后福利主要包括基本养老保险费、失业保险等，按照公司承担的风险和义务，分类为设定提存计划。对于设定提存计划在根据在资产负债表日为换取职工在会计期间提供的服务而向单独主体缴存的提存金确认为负债，并按照受益对象计入当期损益或相关资产成本。
27、租赁负债
（1） 初始计量
本集团按照租赁期开始日尚未支付的租赁付款额的现值对租赁负债进行初始计量。 1）租赁付款额
租赁付款额，是指本集团向出租人支付的与在租赁期内使用租赁资产的权利相关的款项，包括：①固定付款额及实质固 定付款额，存在租赁激励的，扣除租赁激励相关金额；②取决于指数或比率的可变租赁付款额，该款额在初始计量时根据租赁期开始日的指数或比率确定；③本集团合理确定将行使购买选择权时，购买选择权的行权价格；④租赁期反映出本集团将行使终止租赁选择权时，行使终止租赁选择权需支付的款项；⑤根据本集团提供的担保余值预计应支付的款项。 2）折现率
在计算租赁付款额的现值时，本集团采用租赁内含利率作为折现率，该利率是指使出租人的租赁收款额的现值与未担保余值的现值之和等于租赁资产公允价值与出租人的初始直接费用之和的利率。本集团因无法确定租赁内含利率的，采用增量借款利率作为折现率。该增量借款利率，是指本集团在类似经济环境下为获得与使用权资产价值接近的资产，在类似期间以类似抵押条件借入资金须支付的利率。该利率与下列事项相关：①本公司自身情况，即集团的偿债能力和信用状况；②“借款”的期限，即租赁期；③“借入”资金的金额，即租赁负债的金额；④“抵押条件”，即标的资产的性质和质量；⑤经济环境，包括承租人所处的司法管辖区、计价货币、合同签订时间等。本集团以银行贷款利率为基础，考虑上述因素进行调整而得出该增量借款利率。
（2） 后续计量
在租赁期开始日后，本集团按以下原则对租赁负债进行后续计量：①确认租赁负债的利息时，增加租赁负债的账面金额；
②支付租赁付款额时，减少租赁负债的账面金额；③因重估或租赁变更等原因导致租赁付款额发生变动时，重新计量租赁负债的账面价值。
本集团按照固定的周期性利率计算租赁负债在租赁期内各期间的利息费用，并计入当期损益，但应当资本化的除外。周期性利率是指本集团对租赁负债进行初始计量时所采用的折现率，或者因租赁付款额发生变动或因租赁变更而需按照修订后的折现率对租赁负债进行重新计量时，本集团所采用的修订后的折现率。
（3） 重新计量
在租赁期开始日后，发生下列情形时，本集团按照变动后租赁付款额的现值重新计量租赁负债，并相应调整使用权资产的账面价值。使用权资产的账面价值已调减至零，但租赁负债仍需进一步调减的，本集团将剩余金额计入当期损益。①实质固定付款额发生变动（该情形下，采用原折现率折现）；②保余值预计的应付金额发生变动（该情形下，采用原折现率折现）；③用于确定租赁付款额的指数或比率发生变动（该情形下，采用修订后的折现率折现）；④购买选择权的评估结果发生变化（该情形下，采用修订后的折现率折现）；⑤续租选择权或终止租赁选择权的评估结果或实际行使情况发生变化（该情形下，采用修订后的折现率折现）。
28、预计负债
当与对外担保、商业承兑汇票贴现、未决诉讼或仲裁、产品质量保证等或有事项相关的业务同时符合以下条件时，本集团将其确认为负债：该义务是本集团承担的现时义务；该义务的履行很可能导致经济利益流出企业；该义务的金额能够可靠地计量。
预计负债按照履行相关现时义务所需支出的最佳估计数进行初始计量，并综合考虑与或有事项有关的风险、不确定性和货币时间价值等因素。货币时间价值影响重大的，通过对相关未来现金流出进行折现后确定最佳估计数。每个资产负债表日对预计负债的账面价值进行复核，如有改变则对账面价值进行调整以反映当前最佳估计数。
29、股份支付
用以换取职工提供服务的以权益结算的股份支付，以授予职工权益工具在授予日的公允价值计量。该公允价值的金额在完成等待期内的服务或达到规定业绩条件才可行权的情况下，在等待期内以对可行权权益工具数量的最佳估计为基础，按直线法计算计入相关成本或费用，相应增加资本公积。
以现金结算的股份支付，按照本集团承担的以股份或其他权益工具为基础确定的负债的公允价值计量。如授予后立即可行权，在授予日以承担负债的公允价值计入相关成本或费用，相应增加负债；如需完成等待期内的服务或达到规定业绩条件以后才可行权，在等待期的每个资产负债表日，以对可行权情况的最佳估计为基础，按照本集团承担负债的公允价值金额，将当期取得的服务计入成本或费用，相应调整负债。
在相关负债结算前的每个资产负债表日以及结算日，对负债的公允价值重新计量，其变动计入当期损益。
本集团在等待期内取消所授予权益工具的（因未满足可行权条件而被取消的除外），作为加速行权处理，即视同剩余等待期内的股权支付计划已经全部满足可行权条件，在取消所授予权益工具的当期确认剩余等待期内的所有费用。
30、收入
公司需遵守《深圳证券交易所上市公司自律监管指引第 3 号——行业信息披露》中的“软件与信息技术服务业”的披露要求
本集团的营业收入主要包括销售商品收入、提供劳务收入、让渡资产使用权收入。
本集团在履行了合同中的履约义务，即在客户取得相关商品或服务的控制权时，确认收入。
合同中包含两项或多项履约义务的，本集团在合同开始时，按照每个单项履约义务所承诺商品或服务的单独售价的相对比例，将交易价格分摊至各单项履约义务，按照分摊至各单项履约义务的交易价格计量收入。
交易价格是本集团因向客户转让商品或服务而预期有权收取的对价金额，不包括代第三方收取的款项。本集团确认的交易价格不超过在相关不确定性消除时累计已确认收入极可能不会发生重大转回的金额。预期将退还给客户的款项作为负债不计入交易价格。合同中存在重大融资成分的，本集团按照假定客户在取得商品或服务控制权时即以现金支付的应付
金额确定交易价格。该交易价格与合同对价之间的差额，在合同期间内采用实际利率法摊销。合同开始日，本集团预计客户取得商品或服务控制权与客户支付价款间隔不超过一年的，不考虑合同中存在的重大融资成分。
满足下列条件之一时，本集团属于在某一时段内履行履约义务；否则，属于在某一时点履行履约义务： 1.客户在本集团履约的同时即取得并消耗本集团履约所带来的经济利益。
2. 客户能够控制本集团履约过程中在建的商品。
3. 在本集团履约过程中所产出的商品具有不可替代用途，且本集团在整个合同期间内有权就累计至今已完成的履约部分收取款项。
对于在某一时段内履行的履约义务，本集团在该段时间内按照履约进度确认收入，并按照投入法确定履约进度。履约进度不能合理确定时，本集团已经发生的成本预计能够得到补偿的，按照已经发生的成本金额确认收入，直到履约进度能够合理确定为止。
对于在某一时点履行的履约义务，本集团在客户取得相关商品或服务控制权时点确认收入。在判断客户是否已取得商品或服务控制权时，本集团考虑下列迹象：
1. 本集团就该商品或服务享有现时收款权利。
2. 本集团已将该商品的法定所有权转移给客户。
3. 本集团已将该商品的实物转移给客户。
4. 本集团已将该商品所有权上的主要风险和报酬转移给客户。
5. 客户已接受该商品或服务等。
本集团已向客户转让商品或服务而有权收取对价的权利作为合同资产列示，合同资产以预期信用损失为基础计提减值。本集团拥有的无条件向客户收取对价的权利作为应收款项列示。本集团已收货应收客户对价而应向客户转让商品或服务的义务作为合同负债列示。
31、政府补助
本集团的政府补助包括与资产相关的政府补助和与收益相关的政府补助。其中，与资产相关的政府补助，是指本集团取得的、用于购建或以其他方式形成长期资产的政府补助；与收益相关的政府补助，是指除与资产相关的政府补助之外的政府补助。如果政府文件中未明确规定补助对象，本集团按照上述区分原则进行判断，难以区分的，整体归类为与收益相关的政府补助。
政府补助为货币性资产的，按照实际收到的金额计量，对于按照固定的定额标准拨付的补助，或对年末有确凿证据表明能够符合财政扶持政策规定的相关条件且预计能够收到财政扶持资金时，按照应收的金额计量；政府补助为非货币性资产的，按照公允价值计量，公允价值不能可靠取得的，按照名义金额(1 元)计量。
与资产相关的政府补助确认为递延收益，确认为递延收益的与资产相关的政府补助，在相关资产使用寿命内按照平均年限法分期计入当期损益。
相关资产在使用寿命结束前被出售、转让、报废或发生毁损的，将尚未分配的相关递延收益余额转入资产处置当期的损益。
与收益相关的政府补助，用于补偿以后期间的相关成本费用或损失的，确认为递延收益，并在确认相关成本费用或损失的期间计入当期损益。与日常活动相关的政府补助，按照经济业务实质，计入其他收益或冲减相关成本费用。与日常活动无关的政府补助，计入营业外收支。
本集团取得政策性优惠贷款贴息的，区分财政将贴息资金拨付给贷款银行和财政将贴息资金直接拨付给本集团两种情况，分别按照以下原则进行会计处理：
（1） 财政将贴息资金拨付给贷款银行，由贷款银行以政策性优惠利率向本集团提供贷款的，本集团以实际收到的借款金额作为借款的入账价值，按照借款本金和该政策性优惠利率计算相关借款费用。
（2） 财政将贴息资金直接拨付给本集团，本集团将对应的贴息冲减相关借款费用。
本集团已确认的政府补助需要退回的，在需要退回的当期分情况按照以下规定进行会计处理： 1）初始确认时冲减相关资产账面价值的，调整资产账面价值。
2） 存在相关递延收益的，冲减相关递延收益账面余额，超出部分计入当期损益。
3） 属于其他情况的，直接计入当期损益。
32、递延所得税资产/递延所得税负债
本集团递延所得税资产和递延所得税负债根据资产和负债的计税基础与其账面价值的差额(暂时性差异)计算确认。对于按照税法规定能够于以后年度抵减应纳税所得额的可抵扣亏损，确认相应的递延所得税资产。对于商誉的初始确认产生的暂时性差异，不确认相应的递延所得税负债。对于既不影响会计利润也不影响应纳税所得额(或可抵扣亏损)的非企业合并的交易中产生的资产或负债的初始确认形成的暂时性差异，不确认相应的递延所得税资产和递延所得税负债。于资产负债表日，递延所得税资产和递延所得税负债，按照预期收回该资产或清偿该负债期间的适用税率计量。
本集团以很可能取得用来抵扣可抵扣暂时性差异、可抵扣亏损和税款抵减的未来应纳税所得额为限，确认递延所得税资产。
33、租赁
（1） 经营租赁的会计处理方法
租金的处理
在租赁期内各个期间，本集团采用直线法将经营租赁的租赁收款额确认为租金收入。
提供的激励措施
提供免租期的，本集团租金总额在不扣除免租期的整个租赁期内，按直线法进行分配，免租期内应当确认租金收入。本集团承担了承租人某些费用的，将该费用自租金收入总额中扣除，按扣除后的租金收入余额在租赁期内进行分配。
初始直接费用
本集团发生的与经营租赁有关的初始直接费用应当资本化至租赁标的资产的成本，在租赁期内按照与租金收入相同的确认基础分期计入当期损益。
折旧
对于经营租赁资产中的固定资产，本集团采用类似资产的折旧政策计提折旧；对于其他经营租赁资产，采用系统合理的方法进行摊销。
可变租赁付款额
本集团取得的与经营租赁有关的未计入租赁收款额的可变租赁付款额,在实际发生时计入当期损益。经营租赁的变更
经营租赁发生变更的，本集团自变更生效日开始，将其作为一项新的租赁进行会计处理，与变更前租赁有关的预收或应收租赁收款额视为新租赁的收款额。
（2） 融资租赁的会计处理方法
初始计量
在租赁期开始日，本集团对融资租赁确认应收融资租赁款，并终止确认融资租赁资产。本集团对应收融资租赁款进行初始计量时，以租赁投资净额作为应收融资租赁款的入账价值。
租赁投资净额为未担保余值和租赁期开始日尚未收到的租赁收款额按照租赁内含利率折现的现值之和。租赁收款额，是指出租人因让渡在租赁期内使用租赁资产的权利而应向承租人收取的款项，包括：①承租人需支付的固定付款额及实质固定付款额；存在租赁激励的，扣除租赁激励相关金额；②取决于指数或比率的可变租赁付款额，该款项在初始计量时根据租赁期开始日的指数或比率确定；③购买选择权的行权价格，前提是合理确定承租人将行使该选择权；④承租人行使终止租赁选择权需支付的款项，前提是租赁期反映出承租人将行使终止租赁选择权；⑤由承租人、与承租人有关的一方以及有经济能力履行担保义务的独立第三方向出租人提供的担保余值。
后续计量
本集团按照固定的周期性利率计算并确认租赁期内各个期间的利息收入。该周期性利率，是指确定租赁投资净额采用内含折现率（转租情况下，若转租的租赁内含利率无法确定，采用原租赁的折现率（根据与转租有关的初始直接费用进行调整）），或者融资租赁的变更未作为一项单独租赁进行会计处理，且满足假如变更在租赁开始日生效，该租赁会被分类为融资租赁条件时按相关规定确定的修订后的折现率。
租赁变更的会计处理
融资租赁发生变更且同时符合下列条件的，本集团将该变更作为一项单独租赁进行会计处理：①该变更通过增加一项或多项租赁资产的使用权而扩大了租赁范围；②增加的对价与租赁范围扩大部分的单独价格按该合同情况调整后的金额相当。
如果融资租赁的变更未作为一项单独租赁进行会计处理，且满足假如变更在租赁开始日生效，该租赁会被分类为经营租赁条件的，本集团自租赁变更生效日开始将其作为一项新租赁进行会计处理，并以租赁变更生效日前的租赁投资净额作为租赁资产的账面价值。
34、重要会计政策和会计估计变更
（1） 重要会计政策变更
□适用 ☑不适用
（2） 重要会计估计变更
□适用 ☑不适用
35、其他
终止经营
终止经营，是指本集团满足下列条件之一的、能够单独区分的组成部分，且该组成部分已经处置或划分为持有待售类别：
（1） 该组成部分代表一项独立的主要业务或一个单独的主要经营地区；（2）该组成部分是拟对一项独立的主要业务或一个单独的主要经营地区进行处置的一项相关联计划的一部分；（3）该组成部分是专为转售而取得的子公司。
六、税项
1、主要税种及税率
税种 计税依据 税率
增值税 应税收入 13%、9%、6%
城市维护建设税 按应纳增值税额计征 5%、7%
企业所得税 企业的应纳税所得额 10%、15%、16.5%、20%、24%、25%
教育费附加 按应纳增值税额计征 3%
地方教育附加 按应纳增值税额计征 2%
房产税 自用房屋以房产原值的 70%为计税依据；出租房屋按照租金收入为计税依据
1.2%；12%
土地使用税 土地面积为计税依据 按当地规定
存在不同企业所得税税率纳税主体的，披露情况说明
纳税主体名称 所得税税率
本公司 15.00%
创意科技 15.00%
创智联恒 15.00%
北京创意 15.00%
创意云数 25.00%
甘肃创意 20.00%
万里开源 15.00%
邦讯信息 15.00%
江西邦讯 20.00%
格蒂电力 15.00%
西安格蒂 15.00%
北京格蒂 15.00%
格蒂能源 15.00%
西安通源 25.00%
郑州格蒂 15.00%
香港格蒂 16.50%
GICC 10.00%
TITM 24.00%
创意数科 25.00%
创意信创二期 15.00%
2、税收优惠
注 1：
北京创意 2022 年 12 月 1 日经北京市科学技术委员会、北京市财政局及国家税务总局北京市税务局共同认定为高新技术企业，证书编号 GR202211005070，证书有效期三年。
本公司 2020 年 9 月 11 日经四川省科学技术厅、四川省财政厅、国家税务总局四川省税务局共同认定为高新技术企业，证书编号 GR202051001146，证书有效期三年。
格蒂电力 2020 年 11 月 12 日经上海市科学技术委员会、上海市财政局、国家税务总局上海市税务局共同认定为高新技术企业，证书编号 GR202031001750，证书有效期三年。
西安格蒂 2020 年 12 月 1 日经陕西省科学技术厅、陕西省财政厅、国家税务总局陕西省税务局共同认定为高新技术企业，证书编号 GR202061002621，证书有效期三年。
北京格蒂 2020 年 12 月 2 日经北京市科学技术委员会、北京市财政局及国家税务总局北京市税务局共同认定为高新技术企业，证书编号 GR202011004001，证书有效期三年。
郑州格蒂 2020 年 12 月 4 日经河南省科学技术厅、河南省财政厅、国家税务总局河南省税务局共同认定为高新技术企业，证书编号 GR202041001426，证书有效期三年。
邦讯信息 2020 年 12 月 9 日取得广东省科学技术厅、广东省财政厅、广东省国家税务局、广东省地方税务局联合颁发的
《高新技术企业证书》(证书编号：GR202044005901)，有效期三年。
创意科技 2021 年 10 月 9 日经四川省科学技术厅、四川省财政厅、国家税务总局四川省税务局共同认定为高新技术企业，证书编号 GR202151001319，证书有效期三年。
创智联恒 2021 年 10 月 9 日经四川省科学技术厅、四川省财政厅、国家税务总局四川省税务局共同认定为高新技术企业，证书编号 GR202151000810，证书有效期三年。
万里开源 2021 年 10 月 25 日经北京市科学技术委员会、北京市财政局及国家税务总局北京市税务局共同认定为高新技术企业，证书编号 GR202111001701，证书有效期三年。
格蒂能源 2021 年 11 月 18 日经上海市科学技术委员会、上海市财政局、国家税务总局上海市税务局共同认定为高新技术企业，证书编号 GR202131001943，证书有效期三年。
按照《中华人民共和国企业所得税法》及《中华人民共和国企业所得税法实施条例》的有关规定，本公司、北京创意、格蒂电力、西安格蒂、北京格蒂、郑州格蒂、邦讯信息、创意科技、创智联恒、万里开源、格蒂能源、2022 年度企业所得税执行 15%的税率。
注 2：根据《中华人民共和国企业所得税法》及其实施条例、《财政部税务总局关于进一步实施小微企业所得税优惠政策的公告》（2022 年第 13 号）等规定，自 2022 年 1 月 1 日至 2024 年 12 月 31 日，对小型微利企业年应纳税所得额超过 100 万元但不超过 300 万元的部分，减按 25%计入应纳税所得额，按 20%的税率缴纳企业所得税。甘肃创意和江西邦讯 2022 年度企业所得税执行 20%的税率。
注 3：根据《财政部国家税务总局关于软件产品增值税政策的通知》（财税〔2011〕100 号）规定，增值税一般纳税人销售其自行开发生产的软件产品，北京创意、万里开源征收增值税后，对其增值税实际税负超过 3%的部分实行即征即退政策。
公司需遵守《深圳证券交易所上市公司自律监管指引第 3 号——行业信息披露》中的“软件与信息技术服务业”的披露要求
本集团本报告期因软件产品增值税即征即退政策产生的其他收益发生额为 0 元｡
七、合并财务报表项目注释
1、货币资金
单位：元
项目 期末余额 期初余额
库存现金 1,060,234.83 521,408.39
银行存款 362,700,721.24 453,807,343.46
其他货币资金 29,552,927.93 11,461,073.12
合计 393,313,884.00 465,789,824.97
其中：存放在境外的款项总额 169,652.06 1,160,174.79
其他说明：
其他货币资金余额 29,552,927.93 元为使用受限保证金。
2、交易性金融资产
单位：元
项目 期末余额 期初余额
以公允价值计量且其变动计入当期损益的金融资产 1,530,000.00 553,363,202.90
其中：
权益工具投资 1,530,000.00 83,363,202.90
其他 470,000,000.00
其中：
合计 1,530,000.00 553,363,202.90
其他说明：
年初以公允价值计量且其变动计入当期损益的金融资产其他余额 470,000,000.00 元系本公司购买的交通银行“蕴通财富”结构性存款理财产品。
3、应收票据
（1） 应收票据分类列示
单位：元
项目 期末余额 期初余额
银行承兑票据 23,098,469.66
商业承兑票据 2,952,187.56 14,982,653.04
合计 26,050,657.22 14,982,653.04
单位：元
类别 期末余额 期初余额
账面余额 坏账准备 账面价值 账面余额 坏账准备 账面价值
金额 比例 金额 计提比例 金额 比例 金额 计提比例
其中：
按组合计提坏账准备的应收票据
26,371,
919.72
100.00%
321,262
.50
1.22%
26,050,
657.22
17,020,
543.50
100.00%
2,037,8
90.46
11.97%
14,982,
653.04
其中：
商业承兑汇票 3,273,4
50.06 12.41% 321,262
.50 9.81% 2,952,1
87.56 17,020,
543.50 100.00% 2,037,8
90.46 11.97% 14,982,
653.04
银行承兑汇票 23,098,
469.66 87.59% 23,098,
469.66
合计 26,371,
919.72 100.00% 321,262
.50 1.22% 26,050,
657.22 17,020,
543.50 100.00% 2,037,8
90.46 11.97% 14,982,
653.04
按组合计提坏账准备：321,262.50
单位：元
账面余额 坏账准备 计提比例
账龄组合 3,273,450.06 321,262.50 9.81%
合计 3,273,450.06 321,262.50
确定该组合依据的说明：
如是按照预期信用损失一般模型计提应收票据坏账准备，请参照其他应收款的披露方式披露坏账准备的相关信息：
□适用 ☑不适用
（2） 本期计提、收回或转回的坏账准备情况
本期计提坏账准备情况：
单位：元
类别 期初余额 本期变动金额 期末余额
计提 收回或转回 核销 其他
账龄组合 2,037,890.46 1,716,627.96 321,262.50
合计 2,037,890.46 1,716,627.96 321,262.50
其中本期坏账准备收回或转回金额重要的：
□适用 ☑不适用
（3） 期末公司已背书或贴现且在资产负债表日尚未到期的应收票据
单位：元
项目 期末终止确认金额 期末未终止确认金额
银行承兑票据 22,498,469.66
商业承兑票据 968,200.06
合计 23,466,669.72
4、应收账款
（1） 应收账款分类披露
单位：元
类别 期末余额 期初余额
账面余额 坏账准备 账面价值 账面余额 坏账准备 账面价值
金额 比例 金额 计提比例 金额 比例 金额 计提比例
按单项计提坏账准备的应收账款
82,284,
450.30
4.90%
67,763,
981.81
82.35%
14,520,
468.49
138,211
,954.52
8.79%
99,685,
850.09
72.13%
38,526,
104.43
其中：
1、单项金额重大并单项计提坏账准
79,357,
771.58
4.73%
64,837,
303.09
81.70%
14,520,
468.49
134,605
,166.62
8.56%
96,079,
062.19
71.38%
38,526,
104.43
备的应收账款
2、单项金额不重大但单项计提坏账准备的应收账款
2,926,6
78.72
0.17%
2,926,6
78.72
100.00%
3,606,7
87.90
0.23%
3,606,7
87.90
100.00%
按组合计提坏账准备的应收账款
1,598,2
64,546.
59
95.10%
179,551
,180.48
11.23%
1,418,7
13,366.
11
1,433,5
98,847.
29
91.21%
160,648
,207.43
11.21%
1,272,9
50,639.
86
其中：
1、非国企组合 839,138
,125.81 49.93% 116,565
,590.24 13.89% 722,572
,535.57 752,017
,949.99 47.84% 108,305
,931.03 14.40% 643,712
,018.96
2、国企组合 759,126
,420.78 45.17% 62,985,
590.24 8.30% 696,140
,830.54 681,580
,897.30 43.37% 52,342,
276.40 7.68% 629,238
,620.90
合计 1,680,5
48,996.
89
100.00% 247,315
,162.29
14.72% 1,433,2
33,834.
60 1,571,8
10,801.
81
100.00% 260,334
,057.52
16.56% 1,311,4
76,744.
29
按单项计提坏账准备：67,763,981.81
单位：元
名称 期末余额
账面余额 坏账准备 计提比例 计提理由
广州云奇科技有限公司 22,859,804.93 11,339,336.44 49.60% 已逾合同收款期，回款风险增加
乌拉特中旗同享大数据科技服务有限公司 14,648,243.00 11,648,243.00 79.52% 账龄较长，回款风险增加
乌鲁木齐至佳喜成长商贸有限公司 12,072,371.37 12,072,371.37 100.00% 账龄过长，预计无法回收
北京知旬科技有限公司（曾用名：北京汉能光伏技术有限公 司）
10,894,875.10
10,894,875.10
100.00%
失信被执行人，预计无法收回
北京神州英豪科技有限公司 9,764,000.00 9,764,000.00 100.00% 失信被执行人，预计无法收回
Nissen Technology Sdn Bhd
6,195,236.19
6,195,236.19
100.00% 公司有起诉，截止报告日未结案，预计无法收回
南宁汉普铁塔有限公司 1,617,259.43 1,617,259.43 100.00% 失信被执行人，预计无法收回
北京汉能薄膜发电投资有限公司 1,305,981.56 1,305,981.56 100.00% 失信被执行人，预计无法收回
北京知虹科技有限公司（曾用名：北京汉能薄膜发电技术有限公司）
874,100.00
874,100.00
100.00%
失信被执行人，预计无法收回
北京汉能户用薄膜发电科技有限公司 499,468.00 499,468.00 100.00% 失信被执行人，预计无法收回
北京有明云软件股份有限公司 484,000.00 484,000.00 100.00% 失信被执行人，预计无法收回
大连友昕科技发展有限公司 360,000.00 360,000.00 100.00% 账龄较长预计无法收回
贵州汉能装备科技有限公司 237,600.00 237,600.00 100.00% 失信被执行人，预计无法收回
湖南省食品质量监督检验研究院 172,568.76 172,568.76 100.00% 公司已注销，预计无法收回
汉能发电投资有限公司 89,080.00 89,080.00 100.00% 失信被执行人，预计无法收回
深圳市比克动力电池有限公司 88,296.00 88,296.00 100.00% 失信被执行人，预计无法收回
中国电信集团有限公司广西网络资产分公司
38,388.94
38,388.94
100.00% 公司已注销，预计无法收回
江西省春源纸业有限责任公司 35,000.00 35,000.00 100.00% 失信被执行人，预计无法收回
龙川县工业园管理委员会 24,435.00 24,435.00 100.00% 失信被执行人，预计无法收回
四川电通通信公司 19,104.75 19,104.75 100.00% 失信被执行人，预计无法收回
汉能移动能源控股集团有限公司 4,637.27 4,637.27 100.00% 失信被执行人，预计无法收回
合计 82,284,450.30 67,763,981.81
按组合计提坏账准备：116,565,590.24
单位：元
名称 期末余额
账面余额 坏账准备 计提比例
1 年以内 601,554,934.24 30,156,696.50 5.00%
1-2 年 59,433,305.28 5,943,330.54 10.00%
2-3 年 97,570,590.70 29,271,177.21 30.00%
3-4 年 40,727,976.55 20,363,988.29 50.00%
4-5 年 18,041,842.70 9,020,921.36 50.00%
5 年以上 21,809,476.34 21,809,476.34 100.00%
合计 839,138,125.81 116,565,590.24
确定该组合依据的说明：非国企组合
按组合计提坏账准备：62,985,590.24
单位：元
名称 期末余额
账面余额 坏账准备 计提比例
1 年以内 535,230,002.99 16,056,900.07 3.00%
1-2 年 146,733,011.93 14,673,301.19 10.00%
2-3 年 49,281,876.55 14,784,562.96 30.00%
3-4 年 8,840,023.52 4,420,011.77 50.00%
4-5 年 11,981,383.09 5,990,691.55 50.00%
5 年以上 7,060,122.70 7,060,122.70 100.00%
合计 759,126,420.78 62,985,590.24
确定该组合依据的说明：国企组合
如是按照预期信用损失一般模型计提应收账款坏账准备，请参照其他应收款的披露方式披露坏账准备的相关信息：
□适用 ☑不适用
按账龄披露
单位：元
账龄 账面余额
1 年以内（含 1 年） 1,136,784,937.23
1 至 2 年 206,392,732.29
2 至 3 年 146,852,467.25
3 年以上 190,518,860.12
3 至 4 年 72,406,818.54
4 至 5 年 75,075,883.05
5 年以上 43,036,158.53
合计 1,680,548,996.89
（2） 本期计提、收回或转回的坏账准备情况
本期计提坏账准备情况：
单位：元
类别 期初余额 本期变动金额 期末余额
计提 收回或转回 核销 其他
坏账准备 260,334,057.52 18,579,036.53 29,957,485.20 - 1,640,446.56 247,315,162.29
合计 260,334,057.52 18,579,036.53 29,957,485.20 - 1,640,446.56 247,315,162.29
其中本期坏账准备收回或转回金额重要的：无
本年应收账款坏账准备减少“其他”系处置子公司拓林思影响。
（3） 本期实际核销的应收账款情况
单位：元
项目 核销金额
四川兴中兴网科技有限公司 14,461,969.29
北京中科同向信息技术有限公司 2,780,000.00
四川省有线广播电视网络股份有限公司隆昌分公司 850,000.00
成都思谱科技有限公司 360,000.00
电信科技技术第十研究所 349,800.00
河北众美房地产开发集团有限公司北京分公司 95,750.00
四川兆润摩托车制造有限公司 52,500.00
重庆淳立电子通信技术有限公司 6,000.00
北京元鼎时代科技股份有限公司 34,467.61
江苏盐城格莱宝装备科技有限公司 165,520.00
君泰创新（北京）科技有限公司 418,800.00
北京创昕装备科技有限公司 2,450,000.00
南京新亿伦网络科技有限公司 1,677,260.00
兰州利展电子科技有限公司 512,981.98
甘肃益天智彩信息科技有限公司 706,628.21
兰州华龙天普工贸有限公司 1,971,698.11
应收账款核销说明：
本年核销的上述应收账款已在以前年度全额计提坏账准备。
（4） 按欠款方归集的期末余额前五名的应收账款情况
单位：元
单位名称 应收账款期末余额 占应收账款期末余额合计数的比例 坏账准备期末余额
客户一 127,509,635.26 7.59% 5,203,040.39
客户二 108,076,565.25 6.43% 6,375,481.76
客户三 94,839,287.02 5.64% 3,310,715.48
客户四 48,545,046.62 2.89% 3,849,277.13
客户五 41,344,236.90 2.46% 2,149,086.89
合计 420,314,771.05 25.01%
5、应收款项融资
单位：元
项目 期末余额 期初余额
银行承兑汇票 32,431,133.74 14,965,952.84
合计 32,431,133.74 14,965,952.84
应收款项融资本期增减变动及公允价值变动情况
☑适用 □不适用
注：应收款项融资本期增减变动及公允价值变动情况：系银行承兑汇票，其剩余期限较短，公允价值与账面余额一致。如是按照预期信用损失一般模型计提应收款项融资减值准备，请参照其他应收款的披露方式披露减值准备的相关信息：
□适用 ☑不适用
6、预付款项
（1） 预付款项按账龄列示
单位：元
账龄 期末余额 期初余额
金额 比例 金额 比例
1 年以内 29,794,537.83 67.40% 35,271,375.43 57.48%
1 至 2 年 2,191,246.30 4.96% 9,744,087.90 15.88%
2 至 3 年 3,436,790.00 7.77% 9,759,128.31 15.90%
3 年以上 8,784,650.09 19.87% 6,586,030.59 10.73%
合计 44,207,224.22 61,360,622.23
账龄超过 1 年且金额重要的预付款项未及时结算原因的说明：
单位名称 年末余额 未偿还或结转的原因
揭阳市弘讯信息技术有限公司
10,210,710.89
项目周期较长，尚未结算
合计 10,210,710.89
（2） 按预付对象归集的期末余额前五名的预付款情况
本年按预付对象归集的年末余额前五名预付款项汇总金额 26,087,741.75 元，占预付款项年末余额合计数的比例 47.90%。
7、其他应收款
单位：元
项目 期末余额 期初余额
其他应收款 304,788,760.07 37,950,648.59
合计 304,788,760.07 37,950,648.59
（1） 其他应收款
1） 其他应收款按款项性质分类情况
单位：元
款项性质 期末账面余额 期初账面余额
保证金及押金 60,426,112.50 68,514,974.78
往来款 305,715,291.45 76,670,448.21
备用金 3,044,188.52 3,028,676.99
其他 3,108,995.42 5,256,525.88
政府补助 161,713.21
合计 372,294,587.89 153,632,339.07
2） 坏账准备计提情况
单位：元
坏账准备 第一阶段 第二阶段 第三阶段
合计
未来 12 个月预期信用损失 整个存续期预期信用损失(未发生信用减值) 整个存续期预期信用损失(已发生信用减值)
2022 年 1 月 1 日余额 1,002,806.92 13,578,883.24 101,100,000.32 115,681,690.48
2022 年 1 月 1 日余额在本期
本期计提 8,411,811.13 8,891,860.34 17,303,671.47
本期转回 177,847.66 3,607,170.63 3,785,018.29
本期核销 61,667,063.07 61,667,063.07
其他变动 -668.77 -6,184.00 -20,600.00 -27,452.77
2022 年 12 月 31 日余额 9,236,101.62 9,965,528.61 48,304,197.59 67,505,827.82
损失准备本期变动金额重大的账面余额变动情况
☑适用 □不适用
本年其他应收款坏账准备核销主要系对预计无法收回的往来款 61,667,063.07 元进行核销。
按账龄披露
单位：元
账龄 账面余额
1 年以内（含 1 年） 297,836,840.02
1 至 2 年 7,332,716.67
2 至 3 年 2,158,202.91
3 年以上 64,966,828.29
3 至 4 年 2,863,918.09
4 至 5 年 50,772,755.68
5 年以上 11,330,154.52
合计 372,294,587.89
3） 本期计提、收回或转回的坏账准备情况
本期计提坏账准备情况：
单位：元
类别 期初余额 本期变动金额 期末余额
计提 收回或转回 核销 其他
坏账准备 115,681,690.48 17,303,671.47 3,785,018.29 61,667,063.07 -27,452.77 67,505,827.82
合计 115,681,690.48 17,303,671.47 3,785,018.29 61,667,063.07 -27,452.77 67,505,827.82
本年其他应收款坏账准备减少“其他”系处置子公司拓林思影响。
4） 本期实际核销的其他应收款情况
单位：元
项目 核销金额
往来款 61,667,063.07
其中重要的其他应收款核销情况：
单位：元
单位名称 其他应收款性质 核销金额 核销原因 履行的核销程序 款项是否由关联交易产生
兰州中昱商贸有限公司 往来款 31,602,285.00 预计无法收回 总裁办公会决议 否
兰州利展电子科技有限公司 往来款 7,913,229.02 预计无法收回 总裁办公会决议 否
甘肃和益伟业科技发展有限公司 往来款 3,795,894.57 预计无法收回 总裁办公会决议 否
甘肃北斗元亨科技发展有限责任公司
往来款
5,706,835.44
预计无法收回
总裁办公会决议
否
兰州华龙天普工贸有限公司 往来款 8,603.77 预计无法收回 总裁办公会决议 否
陕西捷锐盈科科技有限公司 往来款 12,597,497.32 预计无法收回 总裁办公会决议 否
甘肃益天智彩信息科技有限公司 往来款 42,717.95 预计无法收回 总裁办公会决议 否
合计 61,667,063.07
其他应收款核销说明：
本年核销的上述其他应收款已在以前年度全额计提坏账准备。
5） 按欠款方归集的期末余额前五名的其他应收款情况
单位：元
单位名称
款项的性质
期末余额
账龄 占其他应收款期末余额合计数的比例 坏账准备期末余额
单位一 往来款 280,393,704.39 1 年以内 75.32% 8,411,811.13
单位二 保证金及押金 31,544,000.00 4-5 年 8.47% 31,544,000.00
单位三 往来款 6,770,000.00 4-5 年 1.82% 3,385,000.00
单位四 往来款 6,098,821.99 1 年以内、1-2 年 1.64% 387,647.32
单位五 保证金及押金 4,154,150.00 4-5 年 1.12% 2,077,075.00
合计 328,960,676.38 88.37% 45,805,533.45
8、存货
公司是否需要遵守房地产行业的披露要求：否
（1） 存货分类
单位：元
项目 期末余额 期初余额
账面余额 存货跌价准备或合同履约成本减值准备
账面价值
账面余额 存货跌价准备或合同履约成本减值准备
账面价值
原材料 18,891.69 18,891.69 21,462.77 21,462.77
库存商品 112,398,749. 699,559.55 111,699,190. 152,660,271. 3,320,735.44 149,339,536.
89 34 79 35
发出商品 303,566,037. 303,566,037. 276,921,397. 276,921,397.
33 33 09 09
委托加工物资 1,604,530.47 1,604,530.47 1,886,634.82 1,886,634.82
劳务成本 475,241,085. 1,602,567.11 473,638,517. 276,061,036. 1,305,765.23 274,755,271.
10 99 57 34
合计 892,829,294. 2,302,126.66 890,527,167. 707,550,803. 4,626,500.67 702,924,302.
48 82 04 37
（2） 存货跌价准备和合同履约成本减值准备
单位：元
项目 期初余额 本期增加金额 本期减少金额 期末余额
计提 其他 转回或转销 其他
库存商品 3,320,735.44 627,923.14 2,610,256.42 638,842.61 699,559.55
劳务成本 1,305,765.23 296,801.88 1,602,567.11
合计 4,626,500.67 924,725.02 2,610,256.42 638,842.61 2,302,126.66
9、其他流动资产
单位：元
项目 期末余额 期初余额
未抵扣增值税进项 14,738,911.71 11,114,210.53
预交税费 6,476,790.79 6,624,869.00
合计 21,215,702.50 17,739,079.53
其他说明：无
10、长期股权投资
单位：元
被投资单位 期初余额（账面价 值） 本期增减变动 期末余额（账面价 值）
减值准备期末余额
追加投资
减少投资 权益法下确认的投资损益 其他综合收益调整
其他权益变动 宣告发放现金股利或利润
计提减值准备
其他
一、合营企业
二、联营企业
数创物联 14,673
,280.3
2 37,946
.03
0.00 14,711
,226.3
5
广东中塔讯 2,003,
207.58 - 47,931
.89
0.00 1,955,
275.69
创智联慧 789,99
9.37 1,300,
000.00 - 852,83
0.83
0.00 1,237,
168.54
上海新迪 50,000
,000.0
0 - 906,22
6.93 21,139
.24 49,114
,912.3
1
拓林思 1,054,
267.14 1,054,
267.14
小计 17,466
,487.2
7 52,354
,267.1
4
0.00 - 1,769,
043.62
0.00 21,139
.24
0.00
0.00
0.00 68,072
,850.0
3
0.00
合计 17,466
,487.2
7 52,354
,267.1
4
0.00 - 1,769,
043.62
0.00 21,139
.24
0.00
0.00
0.00 68,072
,850.0
3
0.00
其他说明：
注 1：2020 年 9 月 22 日，本公司及深圳麦兜奖章基金管理有限公司（以下简称麦兜奖章基金管理公司）、歆风科技（成都）合伙企业（有限合伙）（以下简称歆风科技）与麦格理（重庆）商业管理有限公司（以下简称麦格理公司）签订了
《创智联慧（重庆）科技有限公司股权转让协议》。协议约定麦格理公司将持有的创智联慧 100%股权以转让价 0 元转让 给本公司、麦兜奖章基金管理公司和歆风科技，股权比例分别为本公司 40%，麦兜奖章基金管理公司 30%，歆风科技 30%。 2020 年 12 月 16 日，创智联慧召开 2020 年第一次股东会决议，决议同意了各股东按照其所持有的股份比例以现金方式
完成第一期实缴出资，第一期出资总额为公司注册资本金（人民币 1000 万元）的 50%。2022 年 3 月 16 日，创智联慧召
开 2022 年第二次股东会决议，决议同意了各股东按照其所持有的股份比例以现金方式完成第二期实缴出资，第二次出资
总额为公司注册资本金（人民币 1000 万元）的 50%。本公司于 2021 年 1 月 20 日与 2022 年 4 月 1 日实际累计出资 330
万元，截至 2022 年 12 月 31 日，仍有 70 万元未实际出资。
11、其他非流动金融资产
单位：元
项目 期末余额 期初余额
中诚科创科技有限公司 2,000,000.00 2,000,000.00
工业云制造（四川）创新中心有限公司 5,000,000.00
合计 7,000,000.00 2,000,000.00
其他说明：无
12、固定资产
单位：元
项目 期末余额 期初余额
固定资产 62,310,989.52 49,654,533.87
合计 62,310,989.52 49,654,533.87
（1） 固定资产情况
单位：元
项目 房屋建筑物 交通运输设备 电子设备 其他 合计
一、账面原值：
1.期初余额 55,706,913.49 10,266,349.27 91,912,636.58 9,332,998.74 167,218,898.08
2.本期增加金额 98,389.94 1,340,678.07 29,124,302.25 403,096.21 30,966,466.47
（1）购
置 98,389.94 1,322,149.62 14,878,160.17 393,389.46 16,692,089.19
（2）在建工程转入 14,234,842.43 14,234,842.43
（3）企业合并增加 0.00
（4）其他（如外币报表折算差
异）
18,528.45
11,299.65
9,706.75
39,534.85
3.本期减少金额 0.00 2,002,218.64 1,690,284.68 657,850.35 4,350,353.67
（1）处置或报废 0.00 2,002,218.64 84,825.78 572,753.35 2,659,797.77
（2）合并范围变化减少 0.00 0.00 1,605,458.90 85,097.00 1,690,555.90
4.期末余额 55,805,303.43 9,604,808.70 119,346,654.15 9,078,244.60 193,835,010.88
二、累计折旧 0.00
1.期初余额 24,821,268.59 8,731,667.42 76,817,579.94 7,193,848.26 117,564,364.21
2.本期增加金额 2,719,382.75 1,168,666.53 13,051,259.56 556,885.83 17,496,194.67
（1）计
提 2,719,382.75 1,153,843.76 13,043,704.78 551,708.33 17,468,639.62
（2）其他（如外币报表折算差
异）
0.00
14,822.77
7,554.78
5,177.50
27,555.05
3.本期减少金额 0.00 1,876,932.71 1,283,283.65 376,321.16 3,536,537.52
（1）处置或报废 1,876,932.71 80,258.14 318,738.36 2,275,929.21
（2）合并范围变化减少 0.00 0.00 1,203,025.51 57,582.80 1,260,608.31
4.期末余额 27,540,651.34 8,023,401.24 88,585,555.85 7,374,412.93 131,524,021.36
三、减值准备 0.00
1.期初余额 0.00
2.本期增加金额 0.00
（1）计
提 0.00
0.00
3.本期减少金额 0.00
（1）处置或报废 0.00
0.00
4.期末余额 0.00
四、账面价值 0.00
1.期末账面价值 28,264,652.09 1,581,407.46 30,761,098.30 1,703,831.67 62,310,989.52
2.期初账面价值 30,885,644.90 1,534,681.85 15,095,056.64 2,139,150.48 49,654,533.87
13、在建工程
单位：元
项目 期末余额 期初余额
在建工程 191,463,131.70 200,535,346.14
合计 191,463,131.70 200,535,346.14
（1） 在建工程情况
单位：元
项目 期末余额 期初余额
账面余额 减值准备 账面价值 账面余额 减值准备 账面价值
大数据应用云
平台及新一代 68,141,308.3 68,141,308.3
智能网络通讯 0 0
的研发和应用
实践项目
格蒂电力智能
电网高新技术 123,365,737. 123,365,737. 124,007,292. 124,007,292.
产学研一体化 80 80 96 96
产业基地
智能大数据融 68,097,393.9 68,097,393.9 8,386,744.88 8,386,744.88
合平台项目 0 0
合计 191,463,131. 191,463,131. 200,535,346. 200,535,346.
70 70 14 14
（2） 重要在建工程项目本期变动情况
单位：元
项目名称
预算数
期初余额
本期增加金额
本期转入固定资产金额
本期其他减少金额
期末余额
工程累计投入占预算比例
工程进度
利息资本化累计金额 其 中：本期利息资本化金额 本期利息资本化率
资金来源
大数据应用云平台及新一代智能网络通讯的研发和应用实践项目
107,2
80,00
0.00
68,14
1,308
.30
7,372
,769.
79
14,23
4,842
.43
61,27
9,235
.66
0.00
100.60%
100.60%
募股资金
格蒂电力智能电网高新技术产学研一体化产业基地 240,0
00,00
0.00 124,0
07,29
2.96
641,5
55.16 123,3
65,73
7.80
51.40%
51.40%
530,1
00.00
其他
智能大数据融合平台项目 419,2
58,09
1.01 8,386
,744.
88 59,71
0,649
.02 68,09
7,393
.90
16.24%
16.24% 募股资金
合计 766,5
38,09
1.01 200,5
35,34
6.14 67,08
3,418
.81 14,23
4,842
.43 61,92
0,790
.82 191,4
63,13
1.70 530,1
00.00
14、使用权资产
单位：元
项目 房屋建筑物 合计
一、账面原值：
1.期初余额 17,600,880.49 17,600,880.49
2.本期增加金额 2,640,492.54 2,640,492.54
（1）租入 2,640,492.54 2,640,492.54
3.本期减少金额
4.期末余额 20,241,373.03 20,241,373.03
二、累计折旧
1.期初余额 3,795,464.46 3,795,464.46
2.本期增加金额 6,046,600.96 6,046,600.96
（1）计提 6,046,600.96 6,046,600.96
3.本期减少金额
（1）处置
4.期末余额 9,842,065.42 9,842,065.42
三、减值准备
1.期初余额
2.本期增加金额
（1）计提
3.本期减少金额
（1）处置
4.期末余额
四、账面价值
1.期末账面价值 10,399,307.61 10,399,307.61
2.期初账面价值 13,805,416.03 13,805,416.03
其他说明：无
15、无形资产
（1） 无形资产情况
单位：元
项目 土地使用权 专利权 非专利技术 软件著作权、软件与其他 合计
一、账面原值：
1.期初余额 26,431,913.10 400,463,850.11 426,895,763.21
2.本期增加金额 126,116,937.14 126,116,937.14
（1）购
置 29,110,878.50 29,110,878.50
（2）内
部研发 35,726,822.98 35,726,822.98
（3）企业合并增加
（4）在建工程转入 61,279,235.66 61,279,235.66
3.本期减少金额 14,057,927.43 14,057,927.43
（1）处
置
（2）合并范围减少 14,057,927.43 14,057,927.43
4.期末余额 26,431,913.10 512,522,859.82 538,954,772.92
二、累计摊销
1.期初余额 4,813,618.12 279,554,784.73 284,368,402.85
2.本期增加金额 533,433.96 97,462,814.20 97,996,248.16
（1）计
提 533,433.96 97,462,814.20 97,996,248.16
3.本期减少金额 13,913,421.81 13,913,421.81
（1）处
置
（2）合并范围减少 13,913,421.81 13,913,421.81
4.期末余额 5,347,052.08 363,104,177.12 368,451,229.20
三、减值准备
1.期初余额 2,406,185.29 2,406,185.29
2.本期增加金额
（1）计
提
3.本期减少金额
（1）处
置
4.期末余额 2,406,185.29 2,406,185.29
四、账面价值
1.期末账面价值 21,084,861.02 147,012,497.41 168,097,358.43
2.期初账面价值 21,618,294.98 118,502,880.09 140,121,175.07
本期末通过公司内部研发形成的无形资产占无形资产余额的比例 43.16%。
16、开发支出
单位：元
项目 期初余额 本期增加金额 本期减少金额 期末余额
期初余额 内部开发支出 其他 委外开发支出 确认为无形资产 转入当期损益 期末余额
城市智慧治理分析平台 V2.0 10,942,16
4.88 10,942,16
4.88
智能大数据融合平台 V2.0 9,876,773
.66 9,876,773
.66
数据运营平台 2,047,431
.51 2,047,431
.51
5G 接入网产品性能优化和产品化项目
20,316,53
1.03
28,012,29
7.39
48,328,82
8.42
支持混合 16,642,74 2,084,129 2,698,433 21,425,30
云环境的开放式数据保护自服务平台 4.00 .31 .87 7.18
物联数智平台 V1.0 10,380,60
0.01 10,380,60
0.01
工业互联网智慧服务平台 V1.0
10,192,48
8.88
10,192,48
8.88
静态数据脱敏系统 5,565,863
.04 10,666,11
3.32 16,231,97
6.36
万里安全数据库软件-分布式
（英文： GreatDB 分布式
V5.2）
7,572,379
.25
7,572,379
.25
万里云数据库服务平台（英文： GreatRDSV 5.2）
2,609,111
.66
2,609,111
.66
基于 AI 的智能监控系统 2,678,962
.02 2,678,962
.02
基于数字孪生技术的变电站主辅设备状态信息监控平台
4,204,282
.19
4,952,830
.05
9,157,112
.24
基于人工智能技术的变电站远程智能巡视平台
2,844,582
.34
3,962,264
.17
6,806,846
.51
基于知识图谱技术的变电站设备故障知识辅助诊断系统
596,602.0
8
4,292,452
.84
4,889,054
.92
合计 59,825,64
5.08 76,741,29
8.17 26,572,09
4.25 35,726,82
2.98 127,412,2
14.52
其他说明：
城市智慧治理分析平台 V2.0、智能大数据融合平台 V2.0、数据运营平台项目系 2022 年 1 月结题并转入无形资产。
资本化开始时点以通过研发准入审核作为起始点，研发准入是在可行性分析完成的情况下，出具功能需求分析说明书、设计说明书和立项评审，按公司项目审批流程批准后，形成《研发准入报告》。
资本化的具体依据：有足够的技术、财务资源和其他资源支持，以完成该无形资产的开发，并有能力使用或出售该无形
资产，金额能够可靠计量，已通过研发准入审批。
截止报告期末，尚未转入无形资产的项目，仍在按研发计划建设中；具体进度参见“第三节管理层讨论与分析”中的 “四、主营业务分析”之“4、研发投入”相关内容。
17、商誉
（1） 商誉账面原值
单位：元
被投资单位名称或形成商誉的事项
期初余额 本期增加 本期减少
期末余额
企业合并形成的 处置
格蒂电力 598,608,130. 598,608,130.
81 81
邦讯信息 650,281,154. 650,281,154.
29 29
万里开源 21,312,949.9 2,894,754.72 18,418,195.2
3 1
合计 1,270,202,23 2,894,754.72 1,267,307,48
5.03 0.31
（2） 商誉减值准备
单位：元
被投资单位名称或形成商誉的事项
期初余额 本期增加 本期减少
期末余额
计提 处置
格蒂电力 598,608,130. 598,608,130.
81 81
邦讯信息 650,281,154. 650,281,154.
29 29
万里开源 6,293,115.99 854,739.83 5,438,376.16
合计 1,255,182,40 854,739.83 1,254,327,66
1.09 1.26
商誉所在资产组或资产组组合的相关信息
格蒂电力于评估基准日的评估范围是本公司并购格蒂电力形成商誉相关的资产组，该资产组与购买日及以前年度商誉减值测试时所确定的资产组一致。
邦讯信息于评估基准日的评估范围是本公司并购邦讯信息形成商誉相关的资产组，该资产组与购买日及以前年度商誉减值测试时所确定的资产组一致。
万里开源于评估基准日的评估范围是本公司并购万里开源形成商誉相关的资产组，该资产组与购买日商誉减值测试时所确定的资产组一致。
上述资产组预计未来现金流量的现值（可回收金额）利用了北京北方亚事资产评估事务所（特殊普通合伙）2023 年 4 月
21 日出具的北方亚事评报字[2023]第 01-425 号《创意信息技术股份有限公司拟对合并北京万里开源软件有限公司形成的商誉进行减值测试涉及的资产组可回收金额资产评估报告》的评估结果。
说明商誉减值测试过程、关键参数（如预计未来现金流量现值时的预测期增长率、稳定期增长率、利润率、折现率、预测期等）及商誉减值损失的确认方法：
本公司因收购格蒂电力形成的商誉金额为 598,608,130.81 元，经以前年度商誉减值测试，已全额计提商誉减值准备
598,608,130.81 元，计提后商誉净值为零。
本公司因收购邦讯信息形成的商誉金额为 650,281,154.29 元，经以前年度商誉减值测试，已全额计提商誉减值准备
650,281,154.29 元，计提后商誉净值为零。
对万里开源相关资产组未来现金流量进行预计，并按合理折现率折现后的现值与包含商誉的资产组账面价值进行比较，万里开源采用的折现率均为税前加权平均资本成本，为 11.42%。
依据北京北方亚事资产评估事务所（特殊普通合伙）2023 年 4 月 21 日出具的北方亚事评报字[2023]第 01-425 号《创意信息技术股份有限公司拟对合并北京万里开源软件有限公司形成的商誉进行减值测试涉及的资产组可回收金额资产评估报告》的评估结果，截至 2022 年 12 月 31 日，收购万里开源时形成的商誉相关资产组的账面价值为 4,867.25 万元，包
含未确认归属于少数股东权益的商誉价值为 2,216.12 万元，合计 7,083.37 万元，商誉资产组可回收金额为 10,037.54万元。经测试，本公司因收购万里开源形成的商誉本期不存在减值。
商誉减值测试的影响其他说明：无
18、长期待摊费用
单位：元
项目 期初余额 本期增加金额 本期摊销金额 其他减少金额 期末余额
装修费 1,450,296.19 375,054.34 1,009,238.20 816,112.33
合计 1,450,296.19 375,054.34 1,009,238.20 816,112.33
其他说明：无
19、递延所得税资产/递延所得税负债
（1） 未经抵销的递延所得税资产
单位：元
项目 期末余额 期初余额
可抵扣暂时性差异 递延所得税资产 可抵扣暂时性差异 递延所得税资产
资产减值准备 273,542,406.95 41,036,361.03 273,914,585.90 41,087,187.90
内部交易未实现利润 6,866,574.00 1,029,986.10 9,014,024.87 1,352,103.73
可抵扣亏损 175,795,977.83 26,369,396.67 200,156,470.32 30,023,470.54
产品质量保证金 1,329,258.40 199,388.76 1,313,936.74 197,090.51
递延收益 4,802,636.12 720,395.42 5,285,212.09 792,781.82
股权激励 35,333,844.40 5,300,076.66 0.00 0.00
合计 497,670,697.70 74,655,604.64 489,684,229.92 73,452,634.50
（2） 未经抵销的递延所得税负债
单位：元
项目 期末余额 期初余额
应纳税暂时性差异 递延所得税负债 应纳税暂时性差异 递延所得税负债
非同一控制企业合并资产评估增值 8,325,575.87 1,248,836.38
交易性金融资产公允价值变动 1,430,000.00 214,500.00 48,916,602.90 7,337,490.44
合计 1,430,000.00 214,500.00 57,242,178.77 8,586,326.82
（3） 未确认递延所得税资产明细
单位：元
项目 期末余额 期初余额
可抵扣暂时性差异 54,159,532.41 116,313,974.07
可抵扣亏损 367,520,932.41 254,603,400.48
股权激励 10,782,489.19
合计 432,462,954.01 370,917,374.55
（4） 未确认递延所得税资产的可抵扣亏损将于以下年度到期
单位：元
年份 期末金额 期初金额 备注
2022 年 11,698,126.15
2023 年 2,523,472.91 4,232,255.80
2024 年 8,607,700.60 8,607,700.60
2025 年 3,747,361.25 4,340,092.01
2026 年 5,428,297.93 7,043,193.43
2027 年 7,170,968.96 7,021,394.69
2028 年 8,072,875.71 10,786,514.12
2029 年 32,500,895.85 36,086,238.05
2030 年 61,116,009.69 65,152,884.56
2031 年 97,377,579.41 99,635,001.07
2032 年 140,975,770.10
合计 367,520,932.41 254,603,400.48
其他说明：无
20、其他非流动资产
单位：元
项目 期末余额 期初余额
账面余额 减值准备 账面价值 账面余额 减值准备 账面价值
预付设备款 32,000.00 32,000.00
预付工程款 303,730.59 303,730.59 124,395.40 124,395.40
预付土地款 3,482,300.00 3,482,300.00 3,187,850.00 3,187,850.00
雪亮工程合同履约成本 7,606,923.41 7,606,923.41 16,361,912.7
8 16,361,912.7
8
合计 11,392,954.0
0 0.00 11,392,954.0
0 19,706,158.1
8 0.00 19,706,158.1
8
其他说明：无
21、短期借款
（1） 短期借款分类
单位：元
项目 期末余额 期初余额
质押借款 18,022,000.00
抵押借款 330,393,708.33 236,348,773.33
保证借款 390,922,666.51 279,257,912.67
合计 721,316,374.84 533,628,686.00
短期借款分类的说明：
注：抵押、质押情况详见本附注“六.58 所有权或使用权受到限制的资产”
22、应付票据
单位：元
种类 期末余额 期初余额
银行承兑汇票 23,527,146.62 943,736.00
合计 23,527,146.62 943,736.00
本期末已到期未支付的应付票据总额为 0.00 元。
23、应付账款
（1） 应付账款列示
单位：元
项目 期末余额 期初余额
应付账款 588,021,262.26 643,839,025.40
合计 588,021,262.26 643,839,025.40
（2） 账龄超过 1 年的重要应付账款
单位：元
项目 期末余额 未偿还或结转的原因
供应商一 23,093,420.42 未结算
供应商二 17,831,442.99 未结算
供应商三 16,536,450.00 未结算
供应商四 15,043,428.05 未结算
供应商五 14,492,846.56 未结算
供应商六 14,154,560.00 未结算
供应商七 9,646,877.90 未结算
供应商八 7,635,704.86 未结算
供应商九 6,530,209.12 未结算
供应商十 4,023,000.00 未结算
供应商十一 3,902,680.00 未结算
供应商十二 3,590,984.98 未结算
供应商十三 3,509,800.00 未结算
供应商十四 2,802,751.81 未结算
供应商十五 2,586,016.00 未结算
供应商十六 2,320,000.00 未结算
供应商十七 2,225,171.81 未结算
供应商十八 2,086,272.00 未结算
供应商十九 1,939,179.32 未结算
供应商二十 1,700,350.98 未结算
供应商二十一 1,529,710.31 未结算
供应商二十二 1,514,057.35 未结算
供应商二十三 1,505,662.94 未结算
供应商二十四 1,371,040.26 未结算
供应商二十五 1,301,981.18 未结算
供应商二十六 1,290,566.07 未结算
供应商二十七 1,273,584.91 未结算
供应商二十八 1,170,000.00 未结算
供应商二十九 1,159,198.22 未结算
供应商三十 1,111,829.00 未结算
供应商三十一 1,100,000.00 未结算
供应商三十二 1,082,082.52 未结算
供应商三十三 1,000,000.00 未结算
合计 172,060,859.56
其他说明：无
24、合同负债
单位：元
项目 期末余额 期初余额
项目款 125,403,776.77 127,093,316.05
技术服务费 3,481,842.70 4,362,717.67
运营维护费 422,407.16 1,923,785.67
合计 129,308,026.63 133,379,819.39
报告期内账面价值发生重大变动的金额和原因：无
25、应付职工薪酬
（1） 应付职工薪酬列示
单位：元
项目 期初余额 本期增加 本期减少 期末余额
一、短期薪酬 71,976,738.56 348,804,900.55 351,703,585.59 69,078,053.52
二、离职后福利-设定提存计划 516,684.12 18,754,908.29 18,734,417.37 537,175.04
三、辞退福利 11,910.80 876,442.37 863,913.17 24,440.00
合计 72,505,333.48 368,436,251.21 371,301,916.13 69,639,668.56
（2） 短期薪酬列示
单位：元
项目 期初余额 本期增加 本期减少 期末余额
1、工资、奖金、津贴和补贴 52,542,566.38 307,699,302.77 311,798,680.60 48,443,188.55
2、职工福利费 9,484,642.12 9,484,642.12 0.00
3、社会保险费 409,092.87 10,821,928.29 10,744,582.31 486,438.85
其中：医疗保险
费 309,703.61 10,219,637.96 10,141,547.34 387,794.23
工伤保险
费 15,785.16 302,711.16 301,843.00 16,653.32
生育保险
费 82,775.94 219,850.29 225,470.96 77,155.27
大病救助金 828.16 79,728.88 75,721.01 4,836.03
4、住房公积金 132,206.16 15,988,592.40 15,976,881.40 143,917.16
5、工会经费和职工教育经费 18,892,873.15 4,810,434.97 3,698,799.16 20,004,508.96
6、短期带薪缺勤 0.00 0.00 0.00
7、短期利润分享计划 0.00 0.00 0.00
合计 71,976,738.56 348,804,900.55 351,703,585.59 69,078,053.52
（3） 设定提存计划列示
单位：元
项目 期初余额 本期增加 本期减少 期末余额
1、基本养老保险 500,603.94 18,115,694.26 18,096,580.49 519,717.71
2、失业保险费 16,080.18 639,214.03 637,836.88 17,457.33
合计 516,684.12 18,754,908.29 18,734,417.37 537,175.04
其他说明：无
26、应交税费
单位：元
项目 期末余额 期初余额
增值税 39,736,721.73 45,083,495.07
企业所得税 1,246,355.38 4,319,896.29
个人所得税 831,666.94 1,276,684.76
城市维护建设税 2,500,940.71 3,353,592.85
印花税 672,819.02 442,091.74
教育费及地方教育附加 1,786,486.56 2,422,176.32
其他税费 17,164.41 14,715.60
合计 46,792,154.75 56,912,652.63
其他说明：无
27、其他应付款
单位：元
项目 期末余额 期初余额
应付股利 3,451,109.61 3,451,109.61
其他应付款 34,149,887.58 20,055,780.37
合计 37,600,997.19 23,506,889.98
（1） 应付股利
单位：元
项目 期末余额 期初余额
普通股股利 3,451,109.61 3,451,109.61
合计 3,451,109.61 3,451,109.61
其他说明，包括重要的超过 1 年未支付的应付股利，应披露未支付原因：注：应付股利余额系格蒂电力应付被本公司收购前原股东股利。
（2） 其他应付款
1） 按款项性质列示其他应付款
单位：元
项目 期末余额 期初余额
保证金及押金 6,191,934.32 7,789,622.45
往来款 3,909,008.46 3,633,212.13
代垫款 4,939,667.94 5,557,565.65
限制性股票回购义务 13,857,368.00
其他 5,251,908.86 3,075,380.14
合计 34,149,887.58 20,055,780.37
2） 账龄超过 1 年的重要其他应付款
单位：元
项目 期末余额 未偿还或结转的原因
单位一 1,841,677.65 尚未结算
合计 1,841,677.65
其他说明：无
28、一年内到期的非流动负债
单位：元
项目 期末余额 期初余额
一年内到期的长期应付款 71,880.24 8,613,442.80
一年内到期的租赁负债 4,807,398.99 4,376,843.14
合计 4,879,279.23 12,990,285.94
其他说明：无
29、其他流动负债
单位：元
项目 期末余额 期初余额
增值税待转销项税 8,877,815.07 12,577,025.89
已背书未终止确认票据 23,466,669.72
合计 32,344,484.79 12,577,025.89
短期应付债券的增减变动：无
30、租赁负债
单位：元
项目 期末余额 期初余额
租赁付款额 11,270,595.85 14,623,592.17
减：未确认的融资费用 -959,812.71 -1,437,428.22
重分类至一年内到期的非流动负债 -4,807,398.99 -4,376,843.14
合计 5,503,384.15 8,809,320.81
其他说明：无
31、长期应付款
单位：元
项目 期末余额 期初余额
长期应付款 159,885.70 198,012.23
合计 159,885.70 198,012.23
（1） 按款项性质列示长期应付款
单位：元
项目 期末余额 期初余额
艾芬银行融资租赁业务 159,885.70 198,012.23
其他说明：无
32、预计负债
单位：元
项目 期末余额 期初余额 形成原因
产品质量保证 1,329,258.40 1,313,936.74 动环监控铁塔产品质量保证
合计 1,329,258.40 1,313,936.74
其他说明，包括重要预计负债的相关重要假设、估计说明：无
33、递延收益
单位：元
项目 期初余额 本期增加 本期减少 期末余额 形成原因
政府补助 6,585,212.09 3,050,000.00 2,832,575.97 6,802,636.12 政府拨款
合计 6,585,212.09 3,050,000.00 2,832,575.97 6,802,636.12
涉及政府补助的项目：
单位：元
负债项目
期初余额
本期新增补助金额 本期计入营业外收入金额
本期计入其他收益金额
本期冲减成本费用金额
其他变动
期末余额 与资产相关/与收益相关
创意信息安全生产大数据应用平台+基于智慧城市建设的公共安全应用示范平台
56,788.97
56,788.97
与资产相关
新一代信息技术企业技术中心能力提升
1,997,100.00
240,463.88
1,756,636.12 与资产相关
面向智慧城市的大数据治理平台应用示范项目
475,323.12
475,323.12 与资产相关
面向政务大数据的智能化数据治理平台项目
900,000.00
900,000.00 与资产相关
分布式数据库弹性计算关键技术研发与应用示范
600,000.00
600,000.00
与资产相关
基于智慧治理的云边一体化智能边缘网关应用与推广
250,000.00
250,000.00
与资产相关
科技服务业发展专项产业示范项目
1,200,000.00
1,200,000.00 与资产相关
省域物流云平台建设及应用
300,000.00
300,000.00 与收益相关
5G 小基站系统研发及产业化
1,000,000.00
1,000,000.00 与收益相关
面向 5G/6G的新信道编译码芯片研发
1,000,000.00
1,000,000.00 与收益相关
基于大数据分析的动力环境智能监控系统关键
1,520,000.00
1,200,000.00
320,000.00 与资产相关
技术研究及应用（中外科技合作计划）
工业物联网数据采集加密网关的研发与应用、基于大数据分析的动力环境智能监控系统关键技术研究及应用
240,000.00
240,000.00
与资产相关
上海市服务业发展引导资金项目
96,000.00
96,000.00 与收益相关
合计 6,585,212.09 3,050,000.00 2,512,575.97 320,000.00 6,802,636.12
其他说明：无
34、股本
单位：元
期初余额 本次变动增减（+、-） 期末余额
发行新股 送股 公积金转股 其他 小计
股份总数 607,576,15
0.00 607,576,15
0.00
其他说明：无
35、资本公积
单位：元
项目 期初余额 本期增加 本期减少 期末余额
资本溢价（股本溢价） 2,376,913,963.19 36,706,201.26 2,340,207,761.93
其他资本公积 44,754,072.54 44,754,072.54
合计 2,376,913,963.19 44,754,072.54 36,706,201.26 2,384,961,834.47
其他说明，包括本期增减变动情况、变动原因说明：
2022 年 1 月 18 日，公司 2022 年第一次临时股东大会决议通过了《关于〈公司 2021 年员工持股计划（草案）〉及其摘
要的议案》、《关于〈公司 2021 年员工持股计划管理办法〉的议案》，同意公司将回购的股份 6,928,684 股，以每股受
让价格人民币 2.00 元授予公司参加 2021 年员工持股计划的员工。报告期内，公司收到股票认购款 13,857,368.00 元时，减少库存股 50,563,569.26 元，减少资本公积（股本溢价）36,706,201.26 元。以权益结算的股份支付计入资本公积
（其他资本公积）的累计金额为 44,733,778.86 元。本公司权益法核算的长期股权投资根据被投资单位其他权益变动确
认的归属于母公司的资本公积（其他资本公积）增加额为 20,293.68 元。
36、库存股
单位：元
项目 期初余额 本期增加 本期减少 期末余额
回购公司股份 81,558,840.43 13,857,368.00 50,563,569.26 44,852,639.17
合计 81,558,840.43 13,857,368.00 50,563,569.26 44,852,639.17
其他说明，包括本期增减变动情况、变动原因说明：
注：本年库存股减少详见本附注六、35 资本公积注释；本年库存股增加如本附注六、35 资本公积所述，授予员工持股计划并属于限制性股票，就回购义务确认其他应付款和库存股 13,857,368.00 元。
37、其他综合收益
单位：元
项目
期初余额 本期发生额
期末余额
本期所得税前发生额 减：前期计入其他综合收益当期转入损益 减：前期计入其他综合收益当期转入留存收益
减：所得税费用
税后归属于母公司
税后归属于少数股东
二、将重分类进损益的其他综合收益
2,852,312
.04 - 2,292,272
.97 - 1,015,990
.76 - 1,276,282
.21
1,836,321
.28
外币财务报表折算差额 2,852,312
.04 - 2,292,272
.97 - 1,015,990
.76 - 1,276,282
.21 1,836,321
.28
其他综合收益合计 2,852,312
.04 - 2,292,272
.97 - 1,015,990
.76 - 1,276,282
.21 1,836,321
.28
其他说明，包括对现金流量套期损益的有效部分转为被套期项目初始确认金额调整：无
38、盈余公积
单位：元
项目 期初余额 本期增加 本期减少 期末余额
法定盈余公积 36,045,627.11 88,351.09 36,133,978.20
任意盈余公积 13,525,658.60 13,525,658.60
合计 49,571,285.71 88,351.09 49,659,636.80
盈余公积说明，包括本期增减变动情况、变动原因说明：无
39、未分配利润
单位：元
项目 本期 上期
调整前上期末未分配利润 -605,566,756.91 -583,493,178.14
调整后期初未分配利润 -605,566,756.91 -583,493,178.14
加：本期归属于母公司所有者的净利润 -56,788,821.46 -21,727,373.90
减：提取法定盈余公积 88,351.09 346,204.87
期末未分配利润 -662,443,929.46 -605,566,756.91
调整期初未分配利润明细：
1) 、由于《企业会计准则》及其相关新规定进行追溯调整，影响期初未分配利润 0.00 元。
2) 、由于会计政策变更，影响期初未分配利润 0.00 元。
3) 、由于重大会计差错更正，影响期初未分配利润 0.00 元。
4) 、由于同一控制导致的合并范围变更，影响期初未分配利润 0.00 元。
5) 、其他调整合计影响期初未分配利润 0.00 元。
40、营业收入和营业成本
单位：元
项目 本期发生额 上期发生额
收入 成本 收入 成本
主营业务 1,906,612,190.59 1,523,156,461.29 1,866,759,131.03 1,455,454,477.42
其他业务 1,867.22 117,597.41
合计 1,906,614,057.81 1,523,156,461.29 1,866,876,728.44 1,455,454,477.42
经审计扣除非经常损益前后净利润孰低是否为负值
☑是 □否
单位：元
项目 本年度 具体扣除情况 上年度 具体扣除情况
营业收入金额 1,906,614,057.81 - 1,866,876,728.44 -
营业收入扣除项目合计金额 10,196,557.18 按净额法确认的收入 117,597.41 -
营业收入扣除项目合计金额占营业收入的比重
0.53%
-
0.01%
—
一、与主营业务无关的业务收入
1．正常经营之外的其他业务收入。如出租固定资产、无形资
产、包装物，销售材料，用材料进行非货币性资产交换，经营受托管理业务等实现的收入，以及虽计入主营业务收入，但属于上市公司正常经营之外的收入。
1,454.68
租赁及电费收入
615.93
租赁收入
3.本会计年度以及上一会计年度新增贸易业务所产生的收入。
10,194,689.96
贸易收入
116,981.48
贸易收入
6.未形成或难以形成稳定业务模式的业务 412.54 MySQL 课程收入
所产生的收入。
与主营业务无关的业务收入小计 10,196,557.18 - 117,597.41 -
二、不具备商业实质的收入
不具备商业实质的收入小计 0.00 - 0.00 -
营业收入扣除后金额 1,896,417,500.63 - 1,866,759,131.03 -
收入相关信息：
单位：元
合同分类 分部 1 分部 2 合计
商品类型 1,906,614,057.81 1,906,614,057.81
其中：
大数据产品及解决方案 723,294,822.74 723,294,822.74
技术开发及服务 1,009,335,822.96 1,009,335,822.96
物联网产品 102,908,484.06 102,908,484.06
数据库 48,097,717.70 48,097,717.70
5G 22,974,846.77 22,974,846.77
其他 2,363.58 2,363.58
按经营地区分类 1,906,614,057.81 1,906,614,057.81
其中：
北京 754,779,608.66 754,779,608.66
四川 240,846,005.18 240,846,005.18
河南 216,849,968.10 216,849,968.10
广东 107,643,838.91 107,643,838.91
江苏 99,030,799.36 99,030,799.36
浙江 56,640,637.94 56,640,637.94
贵州 45,716,008.75 45,716,008.75
云南 39,367,922.22 39,367,922.22
重庆 33,993,112.50 33,993,112.50
上海 32,780,641.42 32,780,641.42
内蒙古 25,833,531.49 25,833,531.49
其他 253,131,983.28 253,131,983.28
市场或客户类型
其中：
合同类型
其中：
按商品转让的时间分类
其中：
按合同期限分类
其中：
按销售渠道分类
其中：
合计 1,906,614,057.81 1,906,614,057.81
与履约义务相关的信息：无
与分摊至剩余履约义务的交易价格相关的信息：
本报告期末已签订合同、但尚未履行或尚未履行完毕的履约义务所对应的收入金额为 1,162,387,696.19 元，其中，
813,591,403.40 元预计将于 2023 年度确认收入，157,820,393.33 元预计将于 2024 年度确认收入，190,975,899.46 元
预计将于 2025 年及以后年度确认收入。其他说明：无
41、税金及附加
单位：元
项目 本期发生额 上期发生额
城市维护建设税 862,898.78 2,046,303.63
教育费附加 374,760.01 908,878.18
印花税 1,386,583.29 1,467,935.83
地方教育附加 249,839.94 604,992.89
土地使用税及其他税费 1,009,860.63 1,661,037.84
合计 3,883,942.65 6,689,148.37
其他说明：无
42、销售费用
单位：元
项目 本期发生额 上期发生额
业务费用 21,791,374.32 25,657,160.40
职工薪酬 41,060,025.48 35,373,139.38
车辆费用 385,756.32 646,613.86
折旧费 103,957.31 554,688.77
合计 63,341,113.43 62,231,602.41
其他说明：无
43、管理费用
单位：元
项目 本期发生额 上期发生额
职工薪酬 63,452,220.01 72,528,731.77
中介服务费 11,789,148.99 8,972,210.55
折旧费 5,007,604.45 4,663,765.66
办公费 12,685,179.29 15,395,626.61
差旅费 3,424,954.61 5,400,511.49
业务招待费 6,193,998.34 5,464,953.68
长期资产摊销 24,712,891.15 26,225,337.91
使用权资产折旧 5,585,498.44 3,795,464.47
汽车费用 2,156,638.07 2,835,822.91
其他 1,121,542.89 322,236.48
股份支付费用 46,116,333.59
合计 182,246,009.83 145,604,661.53
其他说明：无
44、研发费用
单位：元
项目 本期发生额 上期发生额
职工薪酬 88,449,273.22 64,843,263.96
设备折旧费 5,699,254.21 5,794,559.81
无形资产摊销 70,953,531.51 59,756,304.29
技术服务费 51,126,416.02 47,278,208.23
租赁费 859,566.76 198,667.71
其他 5,914,275.38 5,411,833.86
合计 223,002,317.10 183,282,837.86
其他说明：无
45、财务费用
单位：元
项目 本期发生额 上期发生额
利息费用 28,899,784.23 36,253,649.89
减：利息收入 9,296,067.53 4,179,946.60
减：贷款贴息 1,468,901.00
加：汇兑损失 -1,989,179.62 4,474,907.37
其他支出 460,531.99 776,181.21
合计 18,075,069.07 35,855,890.87
其他说明：无
46、其他收益
单位：元
产生其他收益的来源 本期发生额 上期发生额
与日常活动相关的政府补助 13,100,198.06 12,819,383.23
进项税 10%加计抵减 7,581,534.90 4,906,404.15
增值税返还 7,272.52 724,679.83
个人所得税手续费返还 248,702.41 114,406.34
合计 20,937,707.89 18,564,873.55
47、投资收益
单位：元
项目 本期发生额 上期发生额
权益法核算的长期股权投资收益 -1,769,043.62 -6,175,019.04
处置长期股权投资产生的投资收益 1,742,864.76
交易性金融资产在持有期间的投资收益 63,000.00 2,045,436.00
处置交易性金融资产取得的投资收益 4,235,752.04
其他非流动金融资产在持有期间的投 54,903.07
资收益
购买理财产品投资收益 6,437,066.94 196,575.34
合计 10,764,543.19 -3,933,007.70
其他说明：无
48、公允价值变动收益
单位：元
产生公允价值变动收益的来源 本期发生额 上期发生额
交易性金融资产 14,630,314.00 5,917,980.90
合计 14,630,314.00 5,917,980.90
其他说明：无
49、信用减值损失
单位：元
项目 本期发生额 上期发生额
其他应收款坏账损失 -12,447,710.71 -4,775,704.94
应收票据坏账损失 1,716,627.96 -264,804.10
应收账款坏账损失 -18,371,378.84 -28,190,852.34
预付账款坏账损失 -4,089,045.94 -3,386,507.43
合计 -33,191,507.53 -36,617,868.81
其他说明：无
50、资产减值损失
单位：元
项目 本期发生额 上期发生额
二、存货跌价损失及合同履约成本减值损失 -924,725.02 -4,071,056.60
十一、商誉减值损失 -5,371,387.59
十三、其他 -1,230,389.18
合计 -924,725.02 -10,672,833.37
其他说明：无
51、资产处置收益
单位：元
资产处置收益的来源 本期发生额 上期发生额
非流动资产处置收益 119,918.13 19,262.48
其中：未划分为持有待售的非流动资产处置收益
其中：固定资产处置收益 119,918.13 19,262.48
合计 119,918.13 19,262.48
52、营业外收入
单位：元
项目 本期发生额 上期发生额 计入当期非经常性损益的金额
无法支付的款项 1,499.00 697,450.97 1,499.00
非流动资产毁损报废利得 1,800.00 37.86 1,800.00
其他 50,014.89 1,504.60 50,014.89
合计 53,313.89 698,993.43 53,313.89
计入当期损益的政府补助：
单位：元
补助项目
发放主体
发放原因
性质类型 补贴是否影响当年盈亏 是否特殊补贴 本期发生金额 上期发生金额 与资产相关/与收益相关
其他说明：无
53、营业外支出
单位：元
项目 本期发生额 上期发生额 计入当期非经常性损益的金额
对外捐赠 42,500.00 10,000.00 42,500.00
罚款、赔偿金及其他 87,746.55 1,199,547.78 87,746.55
非流动资产毁损报废损失 4,997.33 10,405.39 4,997.33
合计 135,243.88 1,219,953.17 135,243.88
其他说明：无
54、所得税费用
（1） 所得税费用表
单位：元
项目 本期发生额 上期发生额
当期所得税费用 5,513,579.13 8,685,197.26
递延所得税费用 -9,560,468.73 -10,554,460.80
合计 -4,046,889.60 -1,869,263.54
（2） 会计利润与所得税费用调整过程
单位：元
项目 本期发生额
利润总额 -94,836,534.89
按法定/适用税率计算的所得税费用 -14,225,480.24
子公司适用不同税率的影响 1,109,181.24
调整以前期间所得税的影响 3,394,907.95
非应税收入的影响 -13,758.63
不可抵扣的成本、费用和损失的影响 945,803.62
使用前期未确认递延所得税资产的可抵扣亏损的影响 -516,863.39
本期未确认递延所得税资产的可抵扣暂时性差异或可抵扣亏损的影响 26,180,583.34
加计扣除影响数 -20,921,263.49
所得税费用 -4,046,889.60
其他说明：无
55、其他综合收益
详见附注七、37、其他综合收益。
56、现金流量表项目
（1） 收到的其他与经营活动有关的现金
单位：元
项目 本期发生额 上期发生额
收回保证、备用金、押金及其他 7,984,240.88 1,973,127.36
收到的专项拨款及补助 14,612,703.54 9,497,653.89
利息收入 9,263,632.49 4,179,946.60
受限资金减少额 3,342,426.75
往来款及其他 3,333,885.57 213,438.22
川综能项目收款 38,988,300.00
合计 77,525,189.23 15,864,166.07
收到的其他与经营活动有关的现金说明：无
（2） 支付的其他与经营活动有关的现金
单位：元
项目 本期发生额 上期发生额
办公费、水电费、维修费等 19,101,697.18 19,055,449.67
审计咨询费、招投标费、捐款等 18,283,448.64 14,682,715.63
保函保证金、银行承兑汇票保证金等受限资金 63,171,327.64 2,737,020.06
业务招待费、广告费、宣传费 14,882,235.97 14,947,316.75
差旅费、运杂费、汽车费用 11,694,219.31 14,540,390.62
租赁费、培训费 2,045,094.23 1,374,156.60
技术开发费 51,377,892.55 48,094,009.80
往来款及其他 3,036,963.53
川综能项目付款 328,801,297.99
合计 512,394,177.04 115,431,059.13
支付的其他与经营活动有关的现金说明：无
（3） 支付的其他与投资活动有关的现金
单位：元
项目 本期发生额 上期发生额
处置子公司及其他营业单位支付的现 1,260,084.55
金净额
合计 1,260,084.55
支付的其他与投资活动有关的现金说明：
本年支付的其他与投资活动有关的现金为处置拓林思的现金净额。
（4） 收到的其他与筹资活动有关的现金
单位：元
项目 本期发生额 上期发生额
收远东租赁融资款 60,000,000.00
贷款贴息 1,468,901.00
合计 61,468,901.00
收到的其他与筹资活动有关的现金说明：无
（5） 支付的其他与筹资活动有关的现金
单位：元
项目 本期发生额 上期发生额
支付筹集资金中介费 2,013,683.61
回购公司股份 30,995,271.17
支付远东融资租赁款项 8,728,859.37 104,887,719.26
偿还租赁负债支付的现金 6,449,280.70 4,688,908.00
合计 15,178,140.07 142,585,582.04
支付的其他与筹资活动有关的现金说明：无
57、现金流量表补充资料
（1） 现金流量表补充资料
单位：元
补充资料 本期金额 上期金额
1．将净利润调节为经营活动现金流量
净利润 -90,789,645.29 -47,615,179.17
加：资产减值准备 924,725.02 10,672,833.37
固定资产折旧、油气资产折耗、生产性生物资产折旧 16,426,265.59 16,938,889.78
使用权资产折旧 6,046,600.96 3,795,464.46
无形资产摊销 95,546,916.34 86,887,028.16
长期待摊费用摊销 1,009,238.20 1,482,990.10
处置固定资产、无形资产和其他长期资产的损失（收益以“－”号填列）
-119,918.13
-19,262.48
固定资产报废损失（收益以 “－”号填列） 3,197.33 10,367.53
公允价值变动损失（收益以 “－”号填列） -14,630,314.00 -5,917,980.90
财务费用（收益以“－”号填
列） 26,910,604.61 39,259,656.26
投资损失（收益以“－”号填
列） -10,764,543.19 3,933,007.70
递延所得税资产减少（增加以 “－”号填列） -1,202,970.14 -9,463,151.09
递延所得税负债增加（减少以 “－”号填列） -8,371,826.82 -1,091,309.71
存货的减少（增加以“－”号填列） -186,678,140.43 -14,930,334.10
经营性应收项目的减少（增加以“－”号填列） -424,285,203.32 -18,918,559.75
经营性应付项目的增加（减少以“－”号填列） -17,001,006.56 -28,621,066.85
其他 10,663,812.62 36,617,868.81
经营活动产生的现金流量净额 -596,312,207.21 73,021,262.12
2．不涉及现金收支的重大投资和筹资活动
债务转为资本
一年内到期的可转换公司债券
融资租入固定资产
3．现金及现金等价物净变动情况：
现金的期末余额 322,023,998.35 454,328,751.85
减：现金的期初余额 454,328,751.85 469,169,261.72
加：现金等价物的期末余额
减：现金等价物的期初余额
现金及现金等价物净增加额 -132,304,753.50 -14,840,509.87
（2） 现金和现金等价物的构成
单位：元
项目 期末余额 期初余额
一、现金 322,023,998.35 454,328,751.85
其中：库存现金 1,060,234.83 521,408.39
可随时用于支付的银行存款 320,963,763.52 453,807,343.46
三、期末现金及现金等价物余额 322,023,998.35 454,328,751.85
其他说明：无
58、所有权或使用权受到限制的资产
单位：元
项目 期末账面价值 受限原因
货币资金 71,289,885.65 保证金及冻结金
固定资产 27,526,095.50 银行借款抵押
无形资产 3,390,023.18 银行借款抵押
合计 102,206,004.33
其他说明：
注 1：截至 2022 年 12 月 31 日，本集团货币资金司法冻结货币资金 41,736,957.72 元，冻结明细如下：
1） 北京创意云智数据技术有限公司司法冻结货币资金 12,697,426.10 元，系由于神州数码（中国）有限公司（以下简称
神州数码）起诉北京创意未支付货款，详见十四、承诺及或有事项 2。截至 2022 年 12 月 31 日仍属于冻结状态。
2） 格蒂电力司法冻结货币资金 29,039,531.62 元，系由于与中建材信息技术股份有限公司买卖合同纠纷，截至 2022 年
12 月 31 日仍属于冻结状态，于本报告公告之日前已经解除冻结。除上述冻结资金外，其余均为保证金。
注 2: 创意科技于 2021 年 9 月 6 日与兴业银行股份有限公司成都分行签订《最高额抵押合同》（合同编号：兴银蓉（额抵）2108 第 58638 号），被担保的债务人为本公司，担保的主合同编号为兴银蓉(授)2108 第 37494 号，主合同名称为
《额度授信合同》，该合同约定授信额度金额为 1.8 亿元整人民币（于 2022 年 9 月 23 日签订借款编号为兴银蓉(贷)2208
第 86232 号、2022 年 3 月 16 日签订借款编号为兴银蓉(贷)2203 第 65400 号的借款合同）。抵押物如下：
1） 不动产产权，建筑面积 5834.71 平方米，产权证号码为：川（2021）成都市不动产权第 0021873 号，地点位于成都市
高新西区西芯大道 28 号 1 栋 1 层 1 号、6 栋 1 层 1 号、5 栋 1 层 1 号、6 栋 1 层 2 号。
2） 土地使用权，占地面积 15,755.97 平方米，权利证书编号：成高国用（2009）第 5944 号，地点位于成都市高新西部
园区西芯大道 28 号。
3、 四川创意科技有限公司于 2022 年 1 月 21 日，与交通银行股份有限公司成都彭州支行签订《抵押合同》（合同编号：
成交银 2022 年抵字 410003 号《抵押合同》），被担保的债务人为创意信息技术股份有限公司，担保的主合同编号为成交
银 2022 年贷字 410001 号，主合同名称为流动资金借款合同，该合同约定额度金额为 1.5 亿元整人民币。抵押物如下：
1） 房屋所有权，面积 6,430.55 平方米，权利证书编号为：成房权监证字第 1764421 号，地点位于成都市高新西部园区
西芯大道 28 号 1 栋-1-4 楼。
2） 土地使用权，面积 14,591.64 平方米，权利证书编号：成高国用（2008）第 3411 号，地点位于成都市高新西部园区
西芯大道 28 号。
59、外币货币性项目
（1） 外币货币性项目
单位：元
项目 期末外币余额 折算汇率 期末折算人民币余额
货币资金
其中：美元 5,118.92 6.9646 35,651.23
欧元
港币
林吉特 103,617.22 1.5772 163,425.08
应收账款
其中：美元
欧元
港币
林吉特 5,768,447.07 1.5772 9,097,994.72
长期借款
其中：美元
欧元
港币
其他应收款
美元 103,056.64 6.9646 717,748.27
林吉特 20,878,508.35 1.5772 32,929,583.37
其他流动资产
美元 4,811.59 6.9646 33,510.80
其他非流动资产
美元 500,000.00 6.9646 3,482,300.00
其他应付款
美元 37,708.59 6.9646 262,625.25
林吉特 1,841,298.48 1.5772 2,904,095.96
应付账款
林吉特 3,210,136.47 1.5772 5,063,027.24
一年内到期的非流动负债
林吉特 45,574.59 1.5772 71,880.24
长期应付款
其中：林吉特 101,373.13 1.5772 159,885.70
其他说明：无
（2） 境外经营实体说明，包括对于重要的境外经营实体，应披露其境外主要经营地、记账本位币及选择依据，记账本位币发生变化的还应披露原因。
☑适用 □不适用
1） 香港格蒂是研发、生产加工、制造、国际贸易、进出口业务等业务的公司，成立于 2016 年 11 月 25 日，注册号：
66955196-000-11-17-5；注册地址：UNIT04, 7/F BRIGHT WAY TOWER NO.33 MONG KOK RD KL；经营期限：长期；经营范
围：研发、生产加工、制造、国际贸易、进出口业务。香港格蒂报表采用人民币为记账本位币。
2） GICC 是主要从事电力安装业务等业务的公司，成立于 2017 年 10 月 20 日，注册号：00028906；注册地址：18/F Canadia Bank Tower,No.315,Ang Doung St,Comer Monivong Blve,Phnom Penh Cambodia；经营期限：长期；经营范围：电力安装业务。GICC 报表采用美元为记账本位币。
3） TITM 是主要从事信息技术相关、编程等业务的公司，成立于 2016 年 4 月 24 日，注册号：2016B017364；注册地址：： L-2-2-18B,Jalan Pekan Baru 36,41050 Klang,Selangor Darul Ehsan；经营范围：提供与信息技术（IT）有关的各种 服务的业务，提供计算机应用程序和编程服务。TITM 报表采用林吉特为记账本位币。
60、政府补助
（1） 政府补助基本情况
单位：元
种类 金额 列报项目 计入当期损益的金额
分布式数据库弹性计算关键 600,000.00 递延收益
技术研发与应用示范
基于智慧治理的云边一体化智能边缘网关应用与推广 250,000.00 递延收益
科技服务业发展专项产业示范项目 1,200,000.00 递延收益
面向 5G/6G 的新信道编译码芯片研发 1,000,000.00 递延收益
进项税 10%加计抵减 7,581,534.90 其他收益 7,581,534.90
增值税返还 7,272.52 其他收益 7,272.52
个人所得税手续费返还 248,702.41 其他收益 248,702.41
稳岗补贴 435,312.99 其他收益 435,312.99
创意信息安全生产大数据应用平台+基于智慧城市建设的公共安全应用示范平台
递延收益/其他收益
56,788.97
新一代信息技术企业技术中心能力提升 递延收益/其他收益 240,463.88
面向智慧城市的大数据治理平台应用示范项目 递延收益/其他收益 475,323.12
四川省企业技术中心奖励 400,000.00 其他收益 400,000.00
专利补助 5,400.00 其他收益 5,400.00
成都市科学技术局关于 2021 年成都市第二批研发准备金制度财政补助
487,300.00
其他收益
487,300.00
大数据治理平台 500,000.00 其他收益 500,000.00
2021 年成都市促进大数据产业发展专项补助 3,000,000.00 其他收益 3,000,000.00
2022 年成都市青羊区企业职工以工代训补贴 289,800.00 其他收益 289,800.00
2020 年第五批次软件首版次研发和市场化应用补助 231,500.00 其他收益 231,500.00
2021 年高企奖励 50,000.00 其他收益 50,000.00
2021 年四川省新经济示范企业补助 1,000,000.00 其他收益 1,000,000.00
青羊区惠企政策综合贡献奖励 139,200.00 其他收益 139,200.00
青羊区 2022 年知识产权管理规范贯标认证激励 80,000.00 其他收益 80,000.00
成都高新区人事劳动和社会保障局稳岗补贴 6,142.91 其他收益 6,142.91
省域物流云平台建设验收
（递延收益摊销） 递延收益/其他收益 300,000.00
JMRH 项目申报补贴款 452,300.00 其他收益 452,300.00
成都高新技术产业开发区科技和人才工作局高新技术企业奖励
100,000.00
其他收益
100,000.00
成都市市场监督管理局专利资助费 1,400.00 其他收益 1,400.00
成都高新技术产业开发区科技创新局贷款补贴 200,000.00 其他收益 200,000.00
社保留工补助 90,625.00 其他收益 90,625.00
高新技术产业开发区服务中心 2021 省级中小企业发展资金
160,000.00
其他收益
160,000.00
西安高新技术产业开发区信用服务中心（2020 普惠政策第四批次+2020 普惠政策第四批次）
62,339.00
其他收益
62,339.00
西安市科学技术局补助款 50,000.00 其他收益 50,000.00
基于大数据分析的动力环境智能监控系统关键技术研究及应用（中外科技合作计 划)
递延收益/其他收益
1,200,000.00
基于大数据分析的动力环境智能监控系统关键技术研究及应用
递延收益/其他收益
240,000.00
2017 年度高新技术企业认定通过奖励天河区区级第二笔配套资金
180,000.00
其他收益
180,000.00
2021 年省企业研发费用后补助 240,000.00 其他收益 240,000.00
2020 年度首次认定的高新技术企业补助 156,000.00 其他收益 156,000.00
2021 年申报的企业研发费用后补助 247,300.00 其他收益 247,300.00
开发票给郑州发展与改革委员会 112,380.00 其他收益 112,380.00
上海市浦东新区财政局国家自主创新示范区专项发展资金
500,000.00
其他收益
500,000.00
科委 2022 年度科技型中小企业创新资金补助 100,000.00 其他收益 100,000.00
科技型中小企业技术创新资金 100,000.00 其他收益 100,000.00
小微双创 500,000.00 其他收益 500,000.00
中关村丰台科技园支持高精尖产业发展和科技创新 500,000.00 其他收益 500,000.00
中关村国家自主创新示范区 2022 年科技型小微企业关键技术创新项目
200,000.00
其他收益
200,000.00
印花税减半征收 10,622.19 其他收益 10,622.19
合计 21,475,131.92 20,937,707.89
八、合并范围的变更
1、处置子公司
是否存在单次处置对子公司投资即丧失控制权的情形
☑是 □否
单位：元
子公司名称
股权处置价款
股权处置比例
股权处置方式
丧失控制权的时点
丧失控制权时点的确定依据 处置价款与处置投资对应的合并财务报表层面享有该子
丧失控制权之日剩余股权的比例
丧失控制权之日剩余股权的账面价值
丧失控制权之日剩余股权的公允价值 按照公允价值重新计量剩余股权产生的利得或损失 丧失控制权之日剩余股权公允价值的确定方法及主要假 与原子公司股权投资相关的其他综合收益转入投资损益
公司净资产份额的差额 设 的金额
拓林思
702,8
43.00
23.43
%
股权转让
2022
年 12
月 31日 对其财务和生产经营决策不再控制
- 575,5
79.03
35.14
%
0.00
1,054
,267.
14
2,318
,443.
79
市场法
其他说明：
注：本年本集团处置拓林思 23.43%股权取得处置价款 702,843.00 元，对应的合并财务报表层面享有拓林思净资产份额 1,278,422.03 元，其中对应的拓林思净资产份额-842,786.17 元、结转合并层面商誉 2,894,754.72 元和商誉减值准备
854,739.83 元、结转合并层面原收购拓林思时固定资产、无形资产评估增值摊销余额 81,193.31 元，处置价款与处置投资对应的合并财务报表层面享有拓林思净资产份额的差额 575,579.03 元确认为投资损失；丧失控制权日剩余 35.14%股权的公允价值为 1,054,267.14 元、对应享有拓林思净资产为-1,264,176.65 元，按照公允价值重新计量剩余股权产生的利得为 2,318,443.79 元。处置拓林思并转为权益法核算合计确认投资收益 1,742,864.76 元。
是否存在通过多次交易分步处置对子公司投资且在本期丧失控制权的情形
□是 ☑否
2、其他原因的合并范围变动
说明其他原因导致的合并范围变动（如，新设子公司、清算子公司等）及其相关情况：本年新设增加 2 家子公司创意数科、创意信创二期，因注销减少 1 家子公司上海蒂玺。
九、在其他主体中的权益
1、在子公司中的权益
（1） 企业集团的构成
子公司名称 主要经营地 注册地 业务性质 持股比例 取得方式
直接 间接
创意科技 成都市 成都市 信息技术服务 100.00% 投资设立
北京创意 北京市 北京市 信息技术服务 100.00% 投资设立
甘肃创意 兰州市 兰州市 信息技术服务 58.00% 投资设立
格蒂电力 上海市 上海市 服务、研发 100.00% 并购
邦讯信息 广州市 广州市 信息技术服务 100.00% 并购
创智联恒 成都市 成都市 信息技术服务 100.00% 投资设立
西安格蒂 西安市 西安市 服务、研发 100.00% 并购
格蒂能源 上海市 上海市 服务、研发 100.00% 并购
西安通源 西安市 西安市 服务、研发 50.00% 并购
郑州格蒂 郑州市 郑州市 服务、研发 100.00% 投资设立
TITM 马来西亚 马来西亚 服务、研发 51.00% 并购
香港格蒂 香港 香港 信息技术服务 100.00% 投资设立
江西邦讯 宜春市 宜春市 信息技术服务 75.00% 投资设立
GICC 柬埔寨 柬埔寨 工程建设 100.00% 投资设立
北京格蒂 北京市 北京市 信息技术服务 100.00% 投资设立
万里开源 北京市 北京市 软件和信息技术服务 58.57% 并购
创意云数 北京市 北京市 软件和信息技术服务 51.00% 投资设立
创意数科 成都市 成都市 服务、研发 100.00% 投资设立
创意信创二期 九江市 九江市 资产管理 96.00% 投资设立
在子公司的持股比例不同于表决权比例的说明：无
持有半数或以下表决权但仍控制被投资单位、以及持有半数以上表决权但不控制被投资单位的依据：无对于纳入合并范围的重要的结构化主体，控制的依据：无
确定公司是代理人还是委托人的依据：无其他说明：无
（2） 重要的非全资子公司
单位：元
子公司名称 少数股东持股比例 本期归属于少数股东的损益 本期向少数股东宣告分派的股利 期末少数股东权益余额
TITM 49.00% -4,034,569.89 -39,947,594.08
万里开源 41.43% -27,335,966.60 -49,844,501.64
子公司少数股东的持股比例不同于表决权比例的说明：无其他说明：无
（3） 重要非全资子公司的主要财务信息
单位：元
子公司名称 期末余额 期初余额
流动资产 非流动资产 资产合计 流动负债 非流动负债 负债合计 流动资产 非流动资产 资产合计 流动负债 非流动负债 负债合计
TITM 6,897
,497.
82 210,1
06.07 7,107
,603.
89 88,47
3,420
.39 159,8
85.70 88,63
3,306
.09 8,877
,856.
04 377,3
98.63 9,255
,254.
67 79,74
4,470
.97 198,0
12.23 79,94
2,483
.20
万里开源 53,63
6,226
.00 23,86
0,858
.70 77,49
7,084
.70 196,7
64,78
8.33 196,7
64,78
8.33 23,45
6,905
.34 21,83
8,010
.31 45,29
4,915
.65 105,1
22,91
7.07 702,0
52.78 105,8
24,96
9.85
单位：元
子公司名称 本期发生额 上期发生额
这是文本内容 营业收入 净利润 综合收益总额 经营活动现金流量 营业收入 净利润 综合收益总额 经营活动现金流量
TITM 1,931,978
.10 - 8,233,816
.09 - 10,838,47
3.67 - 1,584,560
.79 1,131,676
.00 - 10,796,56
8.60 - 10,796,56
8.60 - 2,286,439
.60
万里开源 46,633,57 - - - 24,070,35 - - -
1.76 65,597,32 65,597,32 61,021,12 9.31 43,065,83 43,065,83 37,562,46
1.82 1.82 3.00 8.17 8.17 1.60
其他说明：无
2、在合营安排或联营企业中的权益
（1） 不重要的合营企业和联营企业的汇总财务信息
单位：元
期末余额/本期发生额 期初余额/上期发生额
合营企业：
下列各项按持股比例计算的合计数
联营企业：
投资账面价值合计 68,072,850.03 17,466,487.27
下列各项按持股比例计算的合计数
--净利润 -1,769,043.62 -6,175,019.04
--综合收益总额 -1,769,043.62 -6,175,019.04
其他说明：无
十、与金融工具相关的风险
本集团的主要金融工具包括借款、应收款项、应付款项、交易性金融资产、交易性金融负债等，各项金融工具的详细情况说明见本附注七。与这些金融工具有关的风险，以及本集团为降低这些风险所采取的风险管理政策如下所述。本集团管理层对这些风险敞口进行管理和监控以确保将上述风险控制在限定的范围之内。
（一）各类风险管理目标和政策
本集团从事风险管理的目标是在风险和收益之间取得适当的平衡，将风险对本集团经营业绩的负面影响降低到最低水平，使股东及其它权益投资者的利益最大化。基于该风险管理目标，本集团风险管理的基本策略是确定和分析本集团所面临的各种风险，建立适当的风险承受底线并进行风险管理，并及时可靠地对各种风险进行监督，将风险控制在限定的范围之内。
1、汇率风险
本公司外币金融资产及负债以及承诺未来以外币支付的款项较小，整体外币风险并不重大。
项目 2022 年 12 月 31 日折算成人
民币金额 2021 年 12 月 31 日折算成人民币金
额
货币资金-美元 35,651.23 35,884.16
货币资金-港币 629.55
货币资金-林吉特 163,425.08 1,153,549.86
应收账款-林吉特 9,097,994.72 7,370,115.01
其他应收款-美元 717,748.27 21,996.17
其他应收款-林吉特 32,929,583.37 32,294,497.74
项目 2022 年 12 月 31 日折算成人
民币金额 2021 年 12 月 31 日折算成人民币金
额
其他流动资产-美元 33,510.80 30,677.25
其他非流动资产-美元 3,482,300.00 3,187,850.00
其他应付款-美元 262,625.25 240,418.66
其他应付款-林吉特 2,904,095.96 1,121,651.12
应付账款-林吉特 5,063,027.24 4,932,500.28
一年内到期的非流动负债－林吉特 71,880.24 66,212.06
长期应付款-林吉特 159,885.70 198,012.23
2、利率风险
本集团因利率变动引起金融工具公允价值变动的风险主要与固定利率银行借款有关。对于固定利率借款，本集团的目标是保持其浮动利率。
本集团因利率变动引起金融工具现金流量变动的风险主要与浮动利率银行借款有关。本集团的政策是保持这些借款的浮动利率，以消除利率变动的公允价值风险。
3、价格风险
本集团以市场价格销售产品，因此受到此等价格波动的影响。 4、信用风险
于 2022 年 12 月 31 日，可能引起本集团财务损失的最大信用风险敞口主要来自于合同另一方未能履行义务而导致本集团金融资产产生的损失以及本集团承担的财务担保，具体包括：
合并资产负债表中已确认的金融资产的账面金额；对于以公允价值计量的金融工具而言，账面价值反映了其风险敞口，但并非最大风险敞口，其最大风险敞口将随着未来公允价值的变化而改变。
本集团于每个资产负债表日审核每一单项应收款的回收情况，以确保就无法回收的款项计提充分的坏账准备。因此，本集团管理层认为本集团所承担的信用风险已经大为降低。
本集团的流动资金存放在信用评级较高的银行，故流动资金的信用风险较低。
本集团采用了必要的政策确保所有销售客户均具有良好的信用记录。除应收账款金额前五名外，本集团无其他重大信用集中风险。
应收账款前五名账面价值合计：420,314,771.05 元。 5、流动风险
流动风险为本集团在到期日无法履行其财务义务的风险。本集团管理流动性风险的方法是确保有足够的资金流动性来履行到期债务，而不至于造成不可接受的损失或对企业信誉造成损害。本集团定期分析负债结构和期限，以确保有充裕的资金。本集团管理层对银行借款的使用情况进行监控并确保遵守借款协议。同时与金融机构进行融资磋商，以保持一定的授信额度，减低流动性风险。
本公司持有的金融资产和金融负债按未折现剩余合同义务的到期期限分析如下： 2022 年 12 月 31 日金额：
项目 一年以内 一到二年 二到五年 五年以上 合计
金融资产
货币资金 393,313,884.00 393,313,884.00
交易性金融资产 1,530,000.00 1,530,000.00
应收票据 26,371,919.72 26,371,919.72
应收账款 1,680,548,996.89 1,680,548,996.89
应收款项融资 32,431,133.74 32,431,133.74
其他应收款 372,294,587.89 372,294,587.89
其他非流动金融资产 7,000,000.00 7,000,000.00
金融负债
短期借款 721,316,374.84 721,316,374.84
应付票据 23,527,146.62 23,527,146.62
应付账款 588,021,262.26 588,021,262.26
应付股利 3,451,109.61 3,451,109.61
其他应付款 34,149,887.58 34,149,887.58
租赁负债 1,265,786.03 4,237,598.12 5,503,384.15
长期应付款 159,885.70 159,885.70
一年内到期的
非流动负债 4,879,279.23 4,879,279.23
（二）敏感性分析
本集团采用敏感性分析技术分析风险变量的合理、可能变化对当期损益或股东权益可能产生的影响。由于任何风险变量很少孤立的发生变化，而变量之间存在的相关性对某一风险变量变化的最终影响金额将产生重大作用，因此下述内容是在假设每一变量的变化是独立的情况下进行的。
1、外汇风险敏感性分析
外汇风险敏感性分析假设：所有境外经营净投资套期及现金流量套期均高度有效。
在上述假设的基础上，在其它变量不变的情况下，汇率可能发生的合理变动对当期损益和权益的税后影响如下：
项目 汇率变动 2022 年度 2021 年度
对净利润的影响 对股东权益的影响 对净利润的影响 对股东权益的影响
所有外币 对人民币升值 5% 1,899,934.95 1,899,934.95 1,876,149.45 1,876,149.45
所有外
币 对人民币贬值 5% -1,899,934.95 -1,899,934.95 -1,876,149.45 -1,876,149.45
2、利率风险敏感性分析
利率风险敏感性分析基于下述假设：
市场利率变化影响可变利率金融工具的利息收入或费用；
对于以公允价值计量的固定利率金融工具，市场利率变化仅仅影响其利息收入或费用；
以资产负债表日市场利率采用现金流量折现法计算衍生金融工具及其它金融资产和负债的公允价值变化。
在上述假设的基础上，在其它变量不变的情况下，利率可能发生的合理变动对当期损益和权益的税后影响如下：
项目
利率变动 2022 年度 2021 年度
对净利润的影响 对股东权益的影响 对净利润的影响 对股东权益的影响
浮动利率借款 增加 1%
浮动利率借款 减少 1%
注：本年无长期借款余额。
十一、公允价值的披露
1、以公允价值计量的资产和负债的期末公允价值
单位：元
项目 期末公允价值
第一层次公允价值计量 第二层次公允价值计量 第三层次公允价值计量 合计
一、持续的公允价值计量 -- -- -- --
（一）交易性金融资产 1,530,000.00 1,530,000.00
（2）权益工具投资 1,530,000.00 1,530,000.00
（二）应收款项融资 32,431,133.74 32,431,133.74
（三）其他非流动金融资产 7,000,000.00 7,000,000.00
持续以公允价值计量的资产总额 1,530,000.00 39,431,133.74 40,961,133.74
二、非持续的公允价值计量 -- -- -- --
2、持续和非持续第一层次公允价值计量项目市价的确定依据
持续第一层次公允价值计量中权益工具投资市价依据 2022 年 12 月 31 日股票收盘价确定。
十二、关联方及关联交易
1、本企业的子公司情况
本企业子公司的情况详见附注九、1.（1）企业集团的构成”相关内容。
2、本企业合营和联营企业情况
本企业重要的合营或联营企业详见附注。
本期与本公司发生关联方交易，或前期与本公司发生关联方交易形成余额的其他合营或联营企业情况如下：
合营或联营企业名称 与本企业关系
数创物联 联营企业
广东中塔讯 联营企业
创智联慧 联营企业
拓林思 联营企业
其他说明：无
3、其他关联方情况
其他关联方名称 其他关联方与本企业关系
王晓伟、何文江、杜广湘、黎静、周学军、屈鸿、邹燕、罗群、侯静、胡小刚、黄建蓉、刘杰、王震、王雪、马桦 本公司控股股东外的重要自然人股东及集团公司高管
成都富恩德股权投资有限公司 关联自然人担任董事或高级管理人员
其他说明：无
4、关联交易情况
（1） 购销商品、提供和接受劳务的关联交易
采购商品/接受劳务情况表
单位：元
关联方 关联交易内容 本期发生额 获批的交易额度 是否超过交易额度 上期发生额
数创物联 商品采购 1,774,771.36
数创物联 采购劳务 2,958,188.20
创智联慧 采购劳务 587,924.52
合计 5,320,884.08
出售商品/提供劳务情况表
单位：元
关联方 关联交易内容 本期发生额 上期发生额
数创物联 销售商品 188,679.25 230,005.01
合计 188,679.25 230,005.01
购销商品、提供和接受劳务的关联交易说明：无
（2） 关联担保情况
本公司作为担保方
单位：元
被担保方 担保金额 担保起始日 担保到期日 担保是否已经履行完毕
邦讯信息 8,000,000.00 2021 年 09 月 02 日 2022 年 09 月 01 日 是
北京创意 10,000,000.00 2021 年 01 月 29 日 2022 年 01 月 28 日 是
北京创意 5,000,000.00 2021 年 02 月 07 日 2022 年 02 月 06 日 是
西安格蒂 10,000,000.00 2021 年 01 月 22 日 2022 年 01 月 21 日 是
郑州格蒂 3,850,000.00 2021 年 09 月 06 日 2022 年 09 月 05 日 是
格蒂电力 50,000,000.00 2021 年 02 月 03 日 2022 年 02 月 02 日 是
格蒂电力 15,000,000.00 2021 年 08 月 16 日 2022 年 08 月 15 日 是
格蒂电力 15,000,000.00 2021 年 09 月 24 日 2022 年 09 月 23 日 是
格蒂电力 37,690,185.83 2020 年 12 月 22 日 2022 年 09 月 25 日 是
格蒂电力 4,101,414.17 2020 年 12 月 22 日 2023 年 01 月 05 日 否
北京创意 2,028,333.66 2021 年 07 月 28 日 2022 年 06 月 30 日 是
北京创意 21,937,366.34 2021 年 07 月 28 日 2023 年 06 月 30 日 否
格蒂电力 15,000,000.00 2022 年 12 月 13 日 2023 年 12 月 12 日 否
格蒂电力 30,000,000.00 2022 年 03 月 09 日 2023 年 03 月 08 日 否
格蒂电力 20,000,000.00 2022 年 05 月 27 日 2023 年 05 月 26 日 否
格蒂电力 30,000,000.00 2022 年 10 月 26 日 2023 年 08 月 21 日 否
格蒂电力 500,000.00 2022 年 12 月 21 日 2023 年 12 月 20 日 否
创智联恒 10,000,000.00 2022 年 11 月 04 日 2023 年 11 月 03 日 否
本公司作为被担保方
单位：元
担保方 担保金额 担保起始日 担保到期日 担保是否已经履行完毕
陆文斌、王晓伟、王晓明、格蒂电力 100,000,000.00 2021 年 01 月 27 日 2022 年 01 月 14 日 是
陆文斌、王晓伟、王晓明、格蒂电力 46,000,000.00 2021 年 09 月 18 日 2022 年 01 月 14 日 是
陆文斌、格蒂电力 20,000,000.00 2021 年 03 月 08 日 2022 年 03 月 04 日 是
陆文斌、格蒂电力 20,000,000.00 2021 年 05 月 26 日 2022 年 05 月 25 日 是
格蒂电力、陆文斌、王晓伟、王晓明、李丹
40,000,000.00
2021 年 06 月 29 日
2022 年 06 月 28 日
是
陆文斌、王晓伟、王晓明、格蒂电力、北京创意、邦讯信息
90,000,000.00
2021 年 09 月 14 日
2022 年 09 月 13 日
是
格蒂电力、邦讯信息、陆文斌、李丹 50,000,000.00 2021 年 01 月 14 日 2022 年 01 月 13 日 是
陆文斌、李丹 10,000,000.00 2021 年 04 月 29 日 2022 年 04 月 28 日 是
陆文斌、李丹 10,000,000.00 2021 年 09 月 22 日 2022 年 09 月 21 日 是
邦讯信息、格蒂电力、陆文斌 8,547,200.00 2020 年 03 月 31 日 2022 年 03 月 31 日 是
陆文斌、王晓明、王晓伟，格蒂电力、邦讯信息、北京创意、2号楼土地及房产
90,000,000.00
2022 年 03 月 16 日
2023 年 03 月 15 日
否
陆文斌、格蒂电力、邦讯信息、北京创 意、2 号楼土地及房产
90,000,000.00
2022 年 09 月 23 日
2023 年 09 月 22 日
否
陆文斌及其配偶李丹，格蒂电力、1 号楼土地及房产
50,000,000.00
2022 年 02 月 21 日
2023 年 02 月 14 日
否
陆文斌及其配偶李丹，格蒂电力、1 号楼土地及房产
50,000,000.00
2022 年 07 月 19 日
2023 年 07 月 17 日
否
陆文斌及其配偶李丹，格蒂电力、1 号楼土地及房产
30,000,000.00
2022 年 07 月 20 日
2023 年 07 月 19 日
否
陆文斌及其配偶李 20,000,000.00 2022 年 12 月 16 日 2023 年 07 月 19 日 否
丹，格蒂电力、1 号楼土地及房产
陆文斌及其配偶李丹 10,000,000.00 2022 年 05 月 26 日 2023 年 05 月 25 日 否
格蒂电力、陆文斌 30,000,000.00 2022 年 04 月 01 日 2023 年 03 月 31 日 否
格蒂电力、陆文斌 20,000,000.00 2022 年 05 月 27 日 2023 年 05 月 26 日 否
格蒂电力、陆文斌及其配偶李丹、王晓 明、王晓伟
10,000,000.00
2022 年 06 月 28 日
2022 年 12 月 25 日
是
陆文斌及其配偶李丹 2,000,000.00 2022 年 07 月 01 日 2022 年 07 月 29 日 是
陆文斌及其配偶李丹 26,390,000.00 2022 年 07 月 15 日 2022 年 07 月 29 日 是
陆文斌及其配偶李丹 14,360,000.00 2022 年 12 月 20 日 2023 年 07 月 05 日 否
陆文斌及其配偶李丹 14,360,000.00 2022 年 12 月 22 日 2023 年 07 月 05 日 否
陆文斌及其配偶李丹 10,000.00 2022 年 07 月 28 日 2022 年 08 月 01 日 是
陆文斌及其配偶李丹 4,434,000.00 2022 年 12 月 14 日 2023 年 07 月 19 日 否
陆文斌及其配偶李丹 7,330,000.00 2022 年 12 月 27 日 2023 年 07 月 19 日 否
陆文斌及其配偶李丹、格蒂电力 50,000,000.00 2022 年 08 月 25 日 2023 年 08 月 24 日 否
陆文斌及其配偶李丹 10,000,000.00 2022 年 12 月 08 日 2023 年 12 月 06 日 否
陆文斌及其配偶李丹 10,000,000.00 2022 年 12 月 21 日 2023 年 12 月 20 日 否
陆文斌及其配偶李 丹、格蒂电力、邦讯信息
10,000,000.00
2022 年 12 月 15 日
2023 年 09 月 07 日
否
陆文斌及其配偶李 丹、格蒂电力、邦讯信息
20,000,000.00
2022 年 12 月 28 日
2023 年 09 月 07 日
否
陆文斌及其配偶李 丹、格蒂电力、邦讯信息
60,000,000.00
2022 年 12 月 27 日
2023 年 12 月 26 日
否
关联担保情况说明：无
（3） 关键管理人员报酬
单位：元
项目 本期发生额 上期发生额
薪酬合计 7,394,314.12 8,057,300.00
5、关联方应收应付款项
（1） 应收项目
单位：元
项目名称 关联方 期末余额 期初余额
账面余额 坏账准备 账面余额 坏账准备
应收账款 数创物联 223,008.85 11,150.44
应收账款 创智联慧 713,710.32 35,685.52
其他应收款（备用金） 胡小刚 2,700.00 135.00
（2） 应付项目
单位：元
项目名称 关联方 期末账面余额 期初账面余额
应付账款 数创物联 970,640.53 622,515.93
应付账款 创智联慧 389,500.00 1,176.00
其他应付款（未付报销款） 黎静 24,129.10 87,684.89
十三、股份支付
1、股份支付总体情况
☑适用 □不适用
单位：元
公司本期授予的各项权益工具总额 13,857,368.00
公司本期行权的各项权益工具总额 0.00
公司本期失效的各项权益工具总额 0.00
公司期末发行在外的股票期权行权价格的范围和合同剩余期限 注
公司期末发行在外的其他权益工具行权价格的范围和合同剩余期限 注
其他说明：
注：2022 年 1 月 18 日，公司召开 2022 年第一次临时股东大会决议通过了《关于〈公司 2021 年员工持股计划（草
案）〉及其摘要的议案》、《关于〈公司 2021 年员工持股计划管理办法〉的议案》、《关于提请股东大会授权董事会办理员
工持股计划相关事宜的议案》。公司以 2022 年 1 月 18 日为授予日，确认股权激励公允价值为 10.74 元/股，将公司回购
的股份 6,928,684 股，以每股受让价格人民币 2.00 元授予公司参加 2021 年员工持股计划的员工，授予总人数为 24 人，
员工持股计划股票数量为 6,928,684 股，股票认购款合计 13,857,368.00 元。
本次激励计划中，员工持股计划通过非交易过户等法律法规许可的方式所获标的股票，自公司公告标的股票过户至本持股计划名下之日起分三期解锁，最长锁定期 36 个月，授予的限制性股票解除限售期及各期解除限售时间安排如下表所示：
解除限售期 解除限售时间 解除限售数量占获授权益数量比
例
第一个解除限售期 自限制性股票完成登记之日起 12 个月后的首个交易日
起至授予的限制性股票完成登记之日起 12 个月内的最后一个交易日当日止
40%
第二个解除限售期 自限制性股票完成登记之日起 24 个月后的首个交易日
起至授予的限制性股票完成登记之日起 24 个月内的最后一个交易日当日止
30%
第三个解除限售期 自限制性股票完成登记之日起 36 个月后的首个交易日
起至授予的限制性股票完成登记之日起 36 个月内的最后一个交易日当日止
30%
本激励计划授予的限制性股票，考核年度为 2022-2024 年三个会计年度，每个会计年度考核一次，解除限售期业绩考核如下：各年度具体解锁比例和数量根据公司业绩指标和持有人个人考核结果计算确定。若各年度公司、所属业务主体层面业绩及个人绩效考核均达标，持有人个人当年实际解锁额度=个人当年计划解锁额度×公司层面可解锁比例（M）
×个人层面可解锁比例（N）。持有人未解锁部分的股票权益由本持股计划管理委员会收回，于每期锁定期满择机出售后
按原始出资金额与净值孰低的金额返还持有人，剩余收益（如有）由本持股计划管理委员会决定处理方式。
公司层面业绩考核公司对每个考核年度的营业收入增长率和净利润增长率两个指标进行考核，根据实际达到的营业收入增长率占当年所设目标值的实际完成比例（A）或净利润增长率占当年所设目标值的实际完成比例（B）来确定各年度所有激励对象对应的可解锁比例（M）。具体考核要求如下表所示：
业绩考核指标：以 2021 年业绩为基数
考核年度 营业收入增长率目标值 净利润增长率目标值
2022 年 10% 40%
2023 年 20% 70%
2024 年 30% 100%
实际达到的营业收入增长率占当年所设目标值的实际完成比例（A）
实际达到的净利润增长率占当年所设目标值的实际完成比例（B）
2022-2024 年度对应公司层面可解锁比例（M）
当 A≥100%或 B≥100%时 M=100%
当 A〈80%且 B〈80%时 M=0
其他情形 M=A，B 中孰高值
持有人所属业务主体业绩及个人绩效层面考核 持有人当年实际可解锁股份数量与其所属业务主体层面上一年度实际达成的业绩考核及个人绩效考核挂钩，根据各业务主体的业绩完成情况及个人绩效考评结果设置个人层面可解锁比例
（N），具体业绩考核要求按照公司与各持有人项下签署的《持股计划协议书》执行。
2、以权益结算的股份支付情况
☑适用 □不适用
单位：元
授予日权益工具公允价值的确定方法 授予日股票市价-授予价格
可行权权益工具数量的确定依据 在等待期内的每个资产负债表日根据最新取得的可解锁职工人数变动、及公司业绩条件和激励对象个人绩效考核评定情况等后续信息做出最佳估计，修正预计可解锁的权益工具数量。在可解锁日，最终预计可解锁权益工具的数量与实际可解锁工具的数量一致。
本期估计与上期估计有重大差异的原因 无
以权益结算的股份支付计入资本公积的累计金额 46,116,333.59
本期以权益结算的股份支付确认的费用总额 46,116,333.59
其他说明：无
十四、承诺及或有事项
1、重要承诺事项
资产负债表日存在的重要承诺
截至 2022 年 12 月 31 日，本集团无需要披露的重大承诺事项。
2、或有事项
（1） 资产负债表日存在的重要或有事项
1. 对于在建工程违约的相关事项
本公司之子公司格蒂电力修建的“智能电网高新技术产学研一体化产业基地”系 2014 年 8 月 19 日格蒂电力与上海
市奉贤区规划和土地管理局签订了《上海市国有建设用地使用权出让合同》（沪奉规土（2014）出让合同第 22 号），及
2014 年 8 月 19 日、2015 年 1 月 22 日分别与上海市奉贤区规划和土地管理局与沪奉规土签定《上海市国有建设用地使用
权出让合同》（（2014）出让合同补字第 40 号、沪奉规土（2015）出让合同补字第 11 号），按合同项目开工日期延期至
2015 年 9 月 8 日之前，项目竣工日期延期至 2017 年 3 月 7 日之前。
截止 2022 年 12 月 31 日“智能电网高新技术产学研一体化产业基地”项目尚未通过上海市奉贤区规划和自然资源局对该项目的验收，格蒂电力存在延期开工及延期竣工以及固定资产投资规模不达标的情况，目前土地管理部门暂未出具竣工验收证明。
按沪奉规土（2014）出让合同第 22 号合同未能按照本合同约定日期或同意延建所另行约定日期开工建设的，每延期一日，应向出让人支付相当于国有建设用地使用权出让价款总额的 1‰的违约金，出让人有权要求受让人继续履约。受让人未能按照本合同约定日期或同意延建所另行约定日期竣工的，每延期一日，应向出让人支付相当于国有建设用地使用权出让价款总额的 1‰的违约金。根据合同预测截止 2022 年 12 月 31 日的违约金为 2700 万元左右。
本公司就该事项委托北京浩天（上海）律师事务所进行了专项调查，依据律师调查结果，截止本报告日，格蒂电力正在与所属园区管理机构就相关违约责任的全额豁免事宜进行沟通，目前项目所属园区管理机构及上海市奉贤区规划和自然资源局尚未对任何主体提出索赔请求，亦无确凿证据证明其已被提出索赔请求。律师尚未发现确凿证据证明格蒂电力基本确定或很可能会被提出索赔。
2. 对于北京创意采购合同违约相关事项
北京创意与神州数码于 2021 年 9 月 15 日签订的《销售合同》（合同编号：SXX202109150001），合同总价款为
22,847,100.42 元。神州数码以其已经进行发货而北京创意未按合同约定履行付款义务为由对北京创意提起诉讼，要求
北京创意向其支付货款 22,847,100.42 元，并支付合同约定的延迟支付货款的违约金 6,854,130.13 元（合同金额的
30%）。该案于 2023 年 3 月 9 日开庭审理完毕，法院给予双方一个月的和解期，若开庭后一个月内双方未达成和解，法院
将依法判决。截止 2023 年 4 月 21 日，北京创意尚未收到法院的判决书，双方仍在和解协商之中。
北京创意聘请的北京市两高律师事务所认为虽然神州数码进行了发货但却未能按照合同约定的地址向收货单位晋能控股电力集团有限公司发货，导致收货单位晋能控股电力集团有限公司无法对货物进行到货验收，并且神州数码未能提供向收货单位发货的供货单以及物流信息记录，也未能提供收货单位的签收单与安装调试验收报告，是否达到付款条件仍存在争议。北京市两高律师事务所已向法院主张违约金和损失（律师费、保全费、保全保险费等）不能同时适用，及
违约金金额不合理，并认为北京创意需向神州数码支付合同货款，但按照合同约定的金额支付违约金的可能性较小，具体金额将由法院进行判决。
十五、资产负债表日后事项
1、其他资产负债表日后事项说明
截至本报告日，本集团无需要披露的重大资产负债表日后事项。
十六、其他重要事项
1、其他
1、本公司于 2020 年 10 月 23 日与杨志共同出资设立创意云数，注册资本 2000 万元，本公司股权占比 51%
（1,020.00 万元）。创意云数注册地为北京市海淀区紫竹院路 81 号院 3 号楼 2 层 205-14，统一社会信用代码为 91110108MA01WNPK8K，经营范围：技术开发、技术推广、技术转让、技术咨询、技术服务；软件开发；基础软件服务；应用软件服务；软件咨询；销售自行开发的产品。本公司于 2021 年 4 月 2 日与 2021 年 12 月 31 日分别实际出资 25.5 万
元，共计 51 万元，截至 2022 年 12 月 31 日，本公司仍有 969 万元未实际出资。
2、2020 年 9 月 22 日，本公司及深圳麦兜奖章基金管理有限公司（以下简称麦兜奖章基金管理公司）、歆风科技
（成都）合伙企业（有限合伙）（以下简称歆风科技）与麦格理（重庆）商业管理有限公司（以下简称麦格理公司）签订了《创智联慧（重庆）科技有限公司股权转让协议》。协议约定麦格理公司将持有的创智联慧 100%股权以转让价 0 元转让给本公司、麦兜奖章基金管理公司和歆风科技，股权比例分别为本公司 40%，麦兜奖章基金管理公司 30%，歆风科技 30%。2020 年 12 月 16 日，创智联慧召开 2020 年第一次股东会决议，决议同意了各股东按照其所持有的股份比例以现金
方式完成第一期实缴出资，第一期出资总额为公司注册资本金（人民币 1000 万元）的 50%。2022 年 3 月 16 日，创智联
慧召开 2022 年第二次股东会决议，决议同意了各股东按照其所持有的股份比例以现金方式完成第二期实缴出资，第二次
出资总额为公司注册资本金（人民币 1000 万元）的 50%。本公司于 2021 年 1 月 20 日与 2022 年 4 月 1 日实际累计出资
330 万元，截至 2022 年 12 月 31 日，仍有 70 万元未实际出资。
3、本公司与范津涛、陈一乐、成都兴政电子政务运营服务有限公司、北京旋极信息技术股份有限公司、上海鹰玺信息科技有限责任公司、北京拓尔思信息技术股份有限公司、北京思特奇信息技术股份有限公司共同出资设立中诚科创科技有限公司，中诚科创科技有限公司成立时间 2018 年 8 月 30 日，注册资本 5,000.00 万元，本公司认缴出资额 500.00
万元，出资期限 2048 年 5 月 2 日，占注册资本比例 10%。本公司 2020 年度实际出资 200.00 万元，截至 2022 年 12 月 31
日仍有 300 万未实际出资。
十七、母公司财务报表主要项目注释
1、应收账款
（1） 应收账款分类披露
单位：元
类别 期末余额 期初余额
账面余额 坏账准备 账面价值 账面余额 坏账准备 账面价值
金额 比例 金额 计提比例 金额 比例 金额 计提比例
按单项计提坏账准备的应收账款
14,859,
200.70
3.63%
11,859,
200.70
79.81%
3,000,0
00.00
34,018,
427.31
13.82%
27,656,
427.31
81.30%
6,362,0
00.00
其中：
1、单项金额重大但单项计提坏账准备
14,648,
243.00
3.58%
11,648,
243.00
79.52%
3,000,0
00.00
32,740,
212.29
13.30%
26,378,
212.29
80.57%
6,362,0
00.00
2、单项金额不重大但单项计提坏账准备
210,957
.70
0.05%
210,957
.70
100.00%
0.00
1,278,2
15.02
0.52%
1,278,2
15.02
100.00%
按组合计提坏账准备的应收账款
394,170
,527.29
96.37%
26,365,
441.34
6.69%
367,805
,085.95
212,212
,194.07
86.18%
17,024,
065.84
8.02%
195,188
,128.23
其中：
1、非国企组合 76,427,
931.51 18.69% 5,529,5
16.71 7.23% 70,898,
414.80 37,669,
462.52 15.30% 2,900,8
39.77 7.70% 34,768,
622.75
2、国企组合 293,352
,160.96 71.72% 20,835,
924.63 7.10% 272,516
,236.33 153,149
,163.45 62.20% 14,123,
226.07 9.22% 139,025
,937.38
3、交易对象组合 24,390,
434.82
5.96%
0.00% 24,390,
434.82 21,393,
568.10
8.68% 21,393,
568.10
合计 409,029
,727.99 100.00% 38,224,
642.04 9.35% 370,805
,085.95 246,230
,621.38 100.00% 44,680,
493.15 18.15% 201,550
,128.23
按单项计提坏账准备：11,859,200.70
单位：元
名称 期末余额
账面余额 坏账准备 计提比例 计提理由
乌拉特中旗同享大数据科技服务有限公司 14,648,243.00 11,648,243.00 79.52% 账龄较长，回款风险增加
湖南省食品质量监督检验研究院 172,568.76 172,568.76 100.00% 公司已注销，预计无法收回
中国电信集团有限公司广西网络资产分公司
38,388.94
38,388.94
100.00% 公司已注销，预计无法收回
合计 14,859,200.70 11,859,200.70
按组合计提坏账准备：5,529,516.71
单位：元
名称 期末余额
账面余额 坏账准备 计提比例
1 年以内 61,871,837.15 3,093,591.86 5.00%
1-2 年 12,569,593.82 1,256,959.38 10.00%
2-3 年 475,017.14 142,505.14 30.00%
3-4 年 310,269.14 155,134.57 50.00%
4-5 年 639,777.00 319,888.50 50.00%
5 年以上 561,437.26 561,437.26 100.00%
合计 76,427,931.51 5,529,516.71
确定该组合依据的说明：非国企组合
按组合计提坏账准备：20,835,924.63
单位：元
名称 期末余额
账面余额 坏账准备 计提比例
1 年以内 236,962,379.64 7,108,871.39 3.00%
1-2 年 34,402,586.23 3,440,258.62 10.00%
2-3 年 5,389,322.20 1,616,796.66 30.00%
3-4 年 6,315,946.73 3,157,973.37 50.00%
4-5 年 9,539,803.15 4,769,901.58 50.00%
5 年以上 742,123.01 742,123.01 100.00%
合计 293,352,160.96 20,835,924.63
确定该组合依据的说明：国企组合
按组合计提坏账准备：0
单位：元
名称 期末余额
账面余额 坏账准备 计提比例
北京创意 18,295,972.85
创智联恒 1,709,563.25
格蒂电力 1,203,634.72
万里开源 240,000.00
郑州格蒂 1,427,000.00
创意科技 1,514,264.00
合计 24,390,434.82
确定该组合依据的说明：交易对象组合
如是按照预期信用损失一般模型计提应收账款坏账准备，请参照其他应收款的披露方式披露坏账准备的相关信息：
□适用 ☑不适用按账龄披露
单位：元
账龄 账面余额
1 年以内（含 1 年） 304,001,133.40
1 至 2 年 63,775,252.22
2 至 3 年 5,864,339.34
3 年以上 35,389,003.03
3 至 4 年 9,219,230.67
4 至 5 年 24,827,823.15
5 年以上 1,341,949.21
合计 409,029,727.99
（2） 本期计提、收回或转回的坏账准备情况
本期计提坏账准备情况：
单位：元
类别 期初余额 本期变动金额 期末余额
计提 收回或转回 核销 其他
坏账准备 44,680,493.1
5 12,500,168.1
8 18,956,019.2
9 38,224,642.0
4
合计 44,680,493.1
5 12,500,168.1
8 18,956,019.2
9 38,224,642.0
4
其中本期坏账准备收回或转回金额重要的：无
（3） 本期实际核销的应收账款情况
单位：元
项目 核销金额
四川兴中兴网科技有限公司 14,461,969.29
北京中科同向信息技术有限公司 2,780,000.00
四川省有线广播电视网络股份有限公司隆昌分公司 850,000.00
成都思谱科技有限公司 360,000.00
电信科技技术第十研究所 349,800.00
河北众美房地产开发集团有限公司北京分公司 95,750.00
四川兆润摩托车制造有限公司 52,500.00
重庆淳立电子通信技术有限公司 6,000.00
其中重要的应收账款核销情况：无应收账款核销说明：
本年核销的上述应收账款已在以前年度全额计提坏账准备。
（4） 按欠款方归集的期末余额前五名的应收账款情况
单位：元
单位名称 应收账款期末余额 占应收账款期末余额合计数的比例 坏账准备期末余额
单位一 107,378,260.43 26.25% 3,221,347.81
单位二 32,086,718.81 7.84% 1,222,518.80
单位三 18,295,972.85 4.47%
单位四 17,751,000.00 4.34% 532,530.00
单位五 16,679,207.46 4.08% 2,036,145.60
合计 192,191,159.55 46.98%
2、其他应收款
单位：元
项目 期末余额 期初余额
应收股利 187,214,373.70 187,214,373.70
其他应收款 929,119,801.71 493,864,664.35
合计 1,116,334,175.41 681,079,038.05
（1） 应收股利 1） 应收股利分类
单位：元
项目(或被投资单位) 期末余额 期初余额
格蒂电力 134,810,000.00 134,810,000.00
邦讯信息 52,404,373.70 52,404,373.70
合计 187,214,373.70 187,214,373.70
2） 重要的账龄超过 1 年的应收股利
单位：元
项目(或被投资单位) 期末余额 账龄 未收回的原因 是否发生减值及其判断依据
邦讯信息 52,404,373.70 4-5 年 关联方未支付 否
格蒂电力 134,810,000.00 2-5 年 关联方未支付 否
合计 187,214,373.70
3） 坏账准备计提情况
□适用 ☑不适用其他说明：无
（2） 其他应收款
1） 其他应收款按款项性质分类情况
单位：元
款项性质 期末账面余额 期初账面余额
保证金及押金 16,320,202.66 22,362,279.87
往来款 1,045,663,852.16 590,223,584.86
备用金 1,096,050.20 683,073.00
其他 2,964,275.00 267,364.92
合计 1,066,044,380.02 613,536,302.65
2） 坏账准备计提情况
单位：元
坏账准备 第一阶段 第二阶段 第三阶段
合计
未来 12 个月预期信用损失 整个存续期预期信用损失(未发生信用减值) 整个存续期预期信用损失(已发生信用减值)
2022 年 1 月 1 日余额 497,601.82 4,898,043.78 114,275,992.70 119,671,638.30
2022 年 1 月 1 日余额在本期
本期计提 8,411,811.13 10,764,680.90 19,176,492.03
本期转回 255,794.55 1,667,757.47 1,923,552.02
2022 年 12 月 31 日余额 8,653,618.40 3,230,286.31 125,040,673.60 136,924,578.31
损失准备本期变动金额重大的账面余额变动情况
□适用 ☑不适用按账龄披露
单位：元
账龄 账面余额
1 年以内（含 1 年） 556,782,005.54
1 至 2 年 283,142,630.18
2 至 3 年 98,740,140.15
3 年以上 127,379,604.15
3 至 4 年 64,016,083.60
4 至 5 年 26,064,633.72
5 年以上 37,298,886.83
合计 1,066,044,380.02
3） 本期计提、收回或转回的坏账准备情况
本期计提坏账准备情况：
单位：元
类别 期初余额 本期变动金额 期末余额
计提 收回或转回 核销 其他
坏账准备 119,671,638.
30 19,176,492.0
3 1,923,552.02 136,924,578.
31
合计 119,671,638.
30 19,176,492.0
3 1,923,552.02 136,924,578.
31
4） 按欠款方归集的期末余额前五名的其他应收款情况
单位：元
单位名称
款项的性质
期末余额
账龄 占其他应收款期末余额合计数的比例 坏账准备期末余额
单位一 合并范围内关联方往来款 374,236,971.41 1 年以内、1-2 年、2-3 年、3-4 35.11%
年、4-5 年
单位二 往来款 280,393,704.39 1 年内 26.30% 8,411,811.13
单位三 合并范围内关联方往来款 174,003,804.05 1 年以内、1-2 年 16.32%
单位四 合并范围内关联方往来款 88,429,315.08 1 年以内、1-2 年 8.30%
单位五 合并范围内关联方往来款
84,139,251.56 1 年以内、1-2 年、2-3 年、3-4年、4-5 年
7.89%
84,139,251.56
合计 1,001,203,046.49 93.92% 92,551,062.69
3、长期股权投资
单位：元
项目 期末余额 期初余额
账面余额 减值准备 账面价值 账面余额 减值准备 账面价值
对子公司投资 2,215,673,42
3.02 11,600,000.0
0 2,204,073,42
3.02 2,145,642,53
4.60 11,600,000.0
0 2,134,042,53
4.60
对联营、合营企业投资 15,948,394.8
9 15,948,394.8
9 15,463,279.6
9 15,463,279.6
9
合计 2,231,621,81
7.91 11,600,000.0
0 2,220,021,81
7.91 2,161,105,81
4.29 11,600,000.0
0 2,149,505,81
4.29
（1） 对子公司投资
单位：元
被投资单位 期初余额
（账面价值） 本期增减变动 期末余额
（账面价值） 减值准备期末余额
追加投资 减少投资 计提减值准备 其他
创意科技 49,000,000
.00 399,351.45 49,399,351
.45
北京创意 287,280,00
0.00 7,188,326.
13 294,468,32
6.13
甘肃创意 0.00 665,585.75 665,585.75 11,600,000
.00
格蒂电力 874,000,00
0.00 0.00 874,000,00
0.00
邦讯信息 827,670,80
0.00 5,724,037.
48 833,394,83
7.48
创智联恒 62,960,000
.00 1,663,964.
38 64,623,964
.38
万里开源 32,621,734
.60 2,662,343.
01 35,284,077
.61
创意云数 510,000.00 3,727,280.
22 4,237,280.
22
创意信创二期 48,000,000
.00 48,000,000
.00
合计 2,134,042,
534.60 70,030,888
.42 2,204,073,
423.02 11,600,000
.00
（2） 对联营、合营企业投资
单位：元
投资单位 期初余额（账面价 值） 本期增减变动 期末余额（账面价 值）
减值准备期末余额
追加投资
减少投资 权益法下确认的投资损益 其他综合收益调整
其他权益变动 宣告发放现金股利或利润
计提减值准备
其他
一、合营企业
二、联营企业
数创物联 14,673
,280.3
2 37,946
.03 14,711
,226.3
5
创智联慧 789,99
9.37 1,300,
000.00 - 852,83
0.83 1,237,
168.54
小计 15,463
,279.6
9 1,300,
000.00
0.00 - 814,88
4.80
0.00
0.00
0.00
0.00
0.00 15,948
,394.8
9
合计 15,463
,279.6
9 1,300,
000.00
0.00 - 814,88
4.80 15,948
,394.8
9
（3） 其他说明
注 1：本年对创意科技、北京创意、甘肃创意、格蒂电力、邦讯信息、创智联恒、万里开源、创意云数投资增加系本公司以本公司股票向子公司高管授予股权激励，按股权激励摊销费用确认对子公司的长期股权投资，同时确认资本公积。注 2：创意云数、创智联慧未实际出资情况索见附注十六、其他重要事项。
4、营业收入和营业成本
单位：元
项目 本期发生额 上期发生额
收入 成本 收入 成本
主营业务 458,697,621.61 339,613,270.83 605,006,347.53 502,586,804.18
合计 458,697,621.61 339,613,270.83 605,006,347.53 502,586,804.18
收入相关信息：
单位：元
合同分类 分部 1 分部 2 合计
商品类型 458,697,621.61 458,697,621.61
其中：
大数据产品及解决方案 181,190,958.81 181,190,958.81
技术开发及服务 277,506,662.80 277,506,662.80
按经营地区分类 458,697,621.61 458,697,621.61
其中：
四川 215,160,062.96 215,160,062.96
北京 68,260,132.20 68,260,132.20
贵州 40,385,820.06 40,385,820.06
云南 39,209,528.75 39,209,528.75
广东 16,815,859.36 16,815,859.36
重庆 16,336,328.70 16,336,328.70
上海 12,158,532.28 12,158,532.28
西藏 11,082,721.12 11,082,721.12
海南 8,634,339.62 8,634,339.62
甘肃 8,560,391.92 8,560,391.92
湖北 6,194,690.32 6,194,690.32
其他 15,899,214.32 15,899,214.32
市场或客户类型
其中：
合同类型
其中：
按商品转让的时间分类
其中：
按合同期限分类
其中：
按销售渠道分类
其中：
合计 458,697,621.61 458,697,621.61
与履约义务相关的信息：无
与分摊至剩余履约义务的交易价格相关的信息：
本报告期末已签订合同、但尚未履行或尚未履行完毕的履约义务所对应的收入金额为 525,353,800.50 元，其中，
244,534,112.10 元预计将于 2023 年度确认收入，92,871,167.47 元预计将于 2024 年度确认收入，187,948,520.93 元预
计将于 2025 年及以后年度确认收入。其他说明：无
5、投资收益
单位：元
项目 本期发生额 上期发生额
权益法核算的长期股权投资收益 -814,884.80 -917,935.77
处置长期股权投资产生的投资收益 562,275.00
交易性金融资产在持有期间的投资收益 63,000.00 2,045,436.00
处置交易性金融资产取得的投资收益 4,235,752.04
购买理财产品投资收益 6,415,012.14 196,575.34
其他非流动金融资产在持有期间的投资收益 54,903.07
合计 10,516,057.45 1,324,075.57
十八、补充资料
1、当期非经常性损益明细表
☑适用 □不适用
单位：元
项目 金额 说明
非流动资产处置损益 1,862,782.89 主要为处置长期股权投资产生的投资收益。
计入当期损益的政府补助（与公司正常经营业务密切相关，符合国家政策规定、按照一定标准定额或定量持续享受的政府补助除外）
20,937,707.89 主要为收到的政府对企业的扶持金、一般专利资助费、企业研发机构建设专项的补助、专项资金等。
委托他人投资或管理资产的损益 6,437,066.94 理财产品投资收益
除同公司正常经营业务相关的有效套期保值业务外，持有交易性金融资 产、交易性金融负债产生的公允价值变动损益，以及处置交易性金融资产交易性金融负债和可供出售金融资产取得的投资收益
18,983,969.11
持有交易性金融资产产生的公允价值变动损益。
除上述各项之外的其他营业外收入和支出 -81,929.99
减：所得税影响额 6,718,549.52
少数股东权益影响额 403,456.42
合计 41,017,590.90 --
其他符合非经常性损益定义的损益项目的具体情况：
□适用 ☑不适用
公司不存在其他符合非经常性损益定义的损益项目的具体情况。
将《公开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》中列举的非经常性损益项目界定为经常性损益项目的情况说明
□适用 ☑不适用
2、净资产收益率及每股收益
报告期利润 加权平均净资产收益率 每股收益
基本每股收益（元/股） 稀释每股收益（元/股）
归属于公司普通股股东的净利润 -2.45% -0.0952 -0.0952
扣除非经常性损益后归属于公司普通股股东的净利润 -4.21% -0.1640 -0.1640
3、境内外会计准则下会计数据差异
（1） 同时按照国际会计准则与按中国会计准则披露的财务报告中净利润和净资产差异情况
□适用 ☑不适用
（2） 同时按照境外会计准则与按中国会计准则披露的财务报告中净利润和净资产差异情况
□适用 ☑不适用
|
Chinese
|
128k
|
T8. Structured & Numeric Reasoning
|
T8.1 Structured Multi-Source Consistency Verification
|
Full
|
根据报告中提供的2022年度财务数据，计算公司该年度的“研发投入总额”占“营业总成本”的比例。先输出“[答案]”标识符，再输出计算结果（百分数%，四舍五入保留两位小数），不要输出任何其他内容。
输出示例：
[答案]
12.70%
|
根据报告中提供的2022年度财务数据，计算公司该年度的“研发投入总额”占“营业总成本”的比例。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出计算结果（百分数%，四舍五入保留两位小数），不要输出任何其他内容。
输出示例：
<你的思考过程>
[答案]
12.70%
|
[
"16.20%"
] |
Easy
|
01ac7c1a66df421865ccaeffed91939805b378bc73da1a540ebb883944ad871f
|
鸽子的环（节选）
丁 颜
妻子串风铃时，丢了一个小零件，找来找去，找走了我放在抽屉深处的一只鸽子的环。后来风铃串好了，银白色的风铃里面，配进去一枚黄铜色的环，挂在阳台上，就如落日余晖中的眼眸，凝视着人的脸。窗外的雪细细密密。母亲收拾完屋子，点了几支香，插在香炉里，满室香味缭绕。我在沙发的一端坐着，抱着自己的膝，又向那风铃望去，却望见祖父的脸。寂静的一张脸，眼眸也是寂静的，就像决绝的火在黑暗中烈烈地烧，一声辩白都没有。我不禁打了一个寒噤，想要不要把那风铃拿下来，正犹豫着，就见母亲拿剪刀过来，剪下风铃的一支，把鸽子的环解了下来，说：“什么都往眼前挂，心里的旧伤给人引发出来了。”又问我要不要，不要她就扔了。我伸手一把夺了过来，微微泛着古铜色光泽的环，上面的编码早被磨没了。我摩挲着它细腻的纹路，感觉跟祖父的手在虚空的碰触中相握，感受到的是苍凉的静默与怅惘。
时间不知过了多久，我听见母亲长长地叹了一口气。我转过头去，见母亲正独自坐在沙发的另一端，满脸都是无声的眼泪。我很清楚无论流多少泪，都冲不走她心里的自责和悔恨。我也不知道怎么劝她，就起身递了纸巾给她，然后把鸽子的环拿回屋，放进抽屉深处，又在抽屉上加了一把锁。
父亲是二○○一年去世的。父亲去世一年后，我们全家就都搬迁到了小西湖。我们坐着班车到兰州时，太阳还没出来。母亲雇来一辆三轮车，把行李都搬上去后，我们自己也坐了上去。三轮车吱吱嘎嘎地沿着一条废弃的铁路颠簸前行，车把上挂着的一盏旧灯，在晨雾中发出的光昏黄如豆。铁路周围的一大片老旧的居民区，被统称为小西湖。这里住的多是从甘肃南边搬迁过来的异乡人，常在破败的砖楼之间，用石棉瓦搭出零碎而紧密的简易棚，卖拉面卖小吃，卖牛羊肉。眼神里多半都有一种敏感，一种在挣脱困境的路上，重又陷入困境后，护着尊严的敏感。
我们租住的房子在一个院落里面，是修铁路拆迁时没有拆完的大院，穿过一条长长的巷子才能抵达。巷子一侧是成行的浓密柏树，另一侧是垒上去的高台，上面是铁路，用厚实的砖墙围护在里面。火车轰隆轰隆的，不分昼夜，人也跟着轰隆轰隆的，全身震颤。院落的一边墙被拆掉后，没有再修，立了一道生锈的简易防护栏。里面住了好几家，都是来此谋生的异乡人，口音不同，挤挤拥拥的，像多艘失了控的船，撞在了一块儿。母亲很快就找到了工作，在一家牛肉面馆里做服务员，有时候下班很迟，差不多到半夜一点。那一片狭窄的巷子崎岖交错，常有小偷和野狗幽灵般游荡。起初是祖父去接母亲下班，妹妹比我小三岁，一日半夜醒来，见家里没有大人，窗外又沉沉黑黑的，就放声哭起来。我越哄她越哭，哭到浑身打战，气结到说不出话。此后祖父就留在家里看顾妹妹，把熟睡的我叫起来，让我去接母亲。黑暗中，看不到什么光亮，有一些同样在走路的身影模糊不清，我就常跟随着这样的身影，走出巷子。
午夜沸腾的灯光和人群中，小摊小贩无数，叫卖声与烟火气不绝。我没走两步，就已经被吵得头昏脑涨，吸一口大气，再一直往前走。黄河漆黑地流过，河边都是垃圾。那家牛肉面馆前面也有垃圾，白日里积攒下来的，湿暗的两大桶。我一直难以理解，为什么质朴的老牛肉面馆前面，要放那样两大桶垃圾。但我一看见它们，就知道已经到了。店门是老木板拼的，招牌上字迹被风雨侵蚀得斑驳沧桑。店内什么时候去都有食客，面条一根根吃下去，汤也一口口喝下去，留一桌凌乱的碗筷和汤渍。母亲头上包着头巾，一张大围裙裹在身前，来来去去地，收拾碗筷、抹擦桌子、打扫地面，动作极利落。那时我只有十岁，看橱窗里的师傅拉面就像看一场精彩的表演。师傅双手抬起来，将面团拉伸、对折、摔打，扔进热气升腾的锅里。另一边锅中的牛肉汤翻滚着，散发出浓郁的香味。炖煮多时的牛肉切成片，香菜、蒜苗切成细碎的末，左抓一撮，右抓一撮，撒在面上，再浇一勺红彤彤的辣椒油，从橱窗伸出来，叫食客来端。我正看得入神时，母亲突然叫我。我陡然转身，直勾勾地盯着母亲的眼睛。母亲问我是不是想吃牛肉面，我摇头说不想。那段时间的过分艰难，让我好像已经明白生活对于许多人来说，不是一种应有尽有、应当享受的美好，而是一个由各类负担、考验和必须接受的无奈构成的封闭场，必须忍耐。
我们是那年春天搬来的，时间过得非常快，一转眼就是夏天。兰州的天气像一块被烈日炙烤多时的青石板，在干燥的沙尘中热辣辣地灼人。母亲忙忙碌碌的，学会了做牛肉面，便在街边支起摊子，做自己的生意。说这样至少是自由的，可以兼顾到家庭。祖父是一个不善于用言语表达情感的人，但他支持母亲的决定，找来些木板，叮叮当当好几天，做了支摊子的架子，又每天做完晨礼后，推车送母亲出摊。一辆手推车、两张供人吃饭的木桌子、几条木凳子、一个可以轻易搬动的面板，一个小火炉，在上面煮牛肉汤，煮杏皮茶。我和妹妹放学写完作业或者周末，也会过去给母亲帮忙。母亲动作娴熟地拉面、下面、捞面、收钱。我跟妹妹常忙着收拾桌子，洗刷碗筷。有一次，一个两鬓斑白的男人来吃面，肚腹鼓得像是藏了一个书包在里面，一会儿要盐一会儿要汤，一会儿又把我妹妹叫过去，用手指蘸上醋壶里的醋，在桌面上画河流给她看。妹妹目瞪口呆，一时不会应对，大声喊妈妈。后来那人走了，母亲就把他用手指蘸过的醋以及醋壶都扔进了垃圾桶。这让我涌起一种奇怪的心情，从此便开始留意来摊子上吃面的人，疲惫的、沧桑的、匆忙的、平淡的、安宁的、奇怪的……百千姿态，驱散了我小小年纪就不得不为生活劳碌的某种难堪和羞耻。也有空闲的时候，炽热又刺眼的阳光倾斜在摊子前，一个食客都没有。猫从街边慵懒地走过，柏树在风中悠然地摇着叶子。我跟妹妹在一旁喝汽水、吃西瓜。母亲坐在面板前，倚着身子，向我们静静地凝望着，不讲什么话。现在回想起来，那段时间，又年轻、又规矩到沉闷的母亲，刚经历完生活的大变故，能把日子过到那个份儿上，已经是拼了命了。
有一天下午，天空被乌云笼罩，细雨绵绵不止。我放学后没等到妹妹，以为是小女孩，耐不住下雨，自己先走了。回到暗暗的家里，她却还没回来。匆匆到母亲的摊子上，见祖父早就帮母亲把摊子收好了，两人一起避在别人的屋檐下。我又去学校找妹妹，没有人，就沿路一直找过去，找到了中山桥那里。横跨黄河的中山桥，钢铁架构的桥身，在细雨中漆黑耀眼。桥栏杆旁有几个人正撑着伞，驻足观看。我也随他们的目光看了一眼，就看到了妹妹。她一个人在桥底下，头发乱蓬蓬的，小心地移动着脚步，生怕一个不小心就会滑倒。我忙沿着桥边的石头小路下去，把她牵了上来，发现她校服已经湿透了，上面还有好几道泥渍；书包上的一个娃娃小挂件，也被揪去了脑袋，里面的棉絮全泄在外面。我问她：“你放学不回家，跑到黄河边做什么？”妹妹不说话，低着头，闷声踢着路上的小石头。我说：“你走快一点。”地上都是雨水，妹妹不管不顾，一屁股蹲坐下去，头埋在膝盖间，整个人有点微微颤抖。
“你怎么了？”
“他们一直拉扯我，不让我下公交车。”
“谁？谁不让你下公交车？”
“我同学。他们一直叫我‘康广东’，后来又把我拉扯到黄河边，说要把我身上的黄土洗一洗。”
“什么‘康广东’？”
“就是从康乐、广河、东乡搬迁过来的人，都被他们叫作‘康广东’。”我们与当地的孩子，始终格格不入，我也被多次刁难捉弄，内心受伤不轻，但我跟妹妹说：“叫就叫呗，你又不少一块儿肉。”
妹妹嘴唇微微颤动着，颤动着……放声哭了起来：“哥哥，我们什么时候回家？”
“现在就回。”
“不是，我说的是回我们山里的家。”
我说不出话，把手伸给妹妹，牵着她上了一辆公交车。窗外大雨汹涌而盲目，但车厢里很静。城市的灯光透过车窗洒在妹妹身上，使我微微恍惚。
时间过去了这么久，我仍记得那个少年，那个很容易把未来幻想得无比灿烂，然后又很快看到灰暗的少年，那一天他心里的消沉与哀愁，就像雨天摇曳在河边的野花，很多年过去了，仍觉得身姿向风，寂寞向根。也许它的实质是人在异乡的感觉，只是太抽象了，一直也说不清楚，而故乡……故乡早就没有了，什么都没有了。
在我们搬迁出来之前，村里有一部分人已经搬迁走了。各样的理由，有去外面做生意，做大了不愿再回来的；有为让孩子在外面念书，接受好一点的教育的；有常年租住在外面，春种秋收时只回来一两次的。而没有搬迁的，一部分是贫困交加，实在搬不动，另一部分是日子还过得去，又觉得离乡人就贱，搬不搬都一样。我们家算后者。父亲有一辆拖拉机，一辆车厢很大、用来拉粪拉土的拖拉机。父亲把它做了改装，车厢里两面固定了两条长木板，是给人坐的凳子，再在车厢上焊了加高的护栏，上面罩了蓝色篷布。每逢集市，必定马达轰鸣，来回于村庄与县城。每回坐车的男女老少，还有各样的货物，在车厢里就像楔子，挤挤挨挨的，再难有空隙。崎岖狭窄的黄土路，仿佛是自群山间勉强扯出来的一根灰褐飘带，常走得人提心吊胆。有时还会遇上漫天的大风和黄土，路看不清楚，一整个车厢颠上又颠下的，简直就是把命系在裤腰带上挣钱。出事的那天，阳光不烈，是难得的好天气，但拖拉机很久都没有回来。后来有人来敲我们家的门，说拖拉机翻下山了。母亲来不及细问，就跟着那人跑，我也跟在后面跑。跑到出事的地方，拖拉机的残骸在山底，满沟满壑都是血迹，都是人身，但没人气，寂寂的，很像乱搭上去的枯藤与破烂。我怔怔地站着。裹尸的白布单子不够，新嫁过来的嫂子把自己的新被子拆了，把被里子撕开来包裹遗体。一具一具的遗体被从山壑间抬上来，紧挨着排了一列又一列。祖父不断挪着那些面目模糊的遗体，确认他们的身份，并让继续抬上来的遗体有地方放。太阳不知是什么时候不见的，空中黑云翻滚着，大雨泻下来，如红血，救援的人和地上的遗体都浸在血里，残忍得不能看。有人急急拿来长塑料布，说先把遗体盖一盖，雨又停了，塑料布就叠起来，还没叠到头，又电闪雷鸣，逢头暴雨。
那场在当地数年未见的大雨，好像就只是为了来洗刷那些血污的，一层一层地，把血和黄土都刷走，刷成暗蔷薇色的细碎泡沫，继续刷，刷净了，就再也没来过。那一年，不知是父亲没了还是干旱更加重了，我们家的生活格外艰难。漫山遍野的黄土，一日一日，肆意地飞扬着，平处种的麦子和玉米成片地枯黄倒伏，梯田里种的土豆，太旱直接没长出来。一片又一片的梯田，像灰色的粗布衣服，宽松了，显出一副嶙峋的骨，骨头架子是枯槁的。再也没有下雨，没有雨水可收集，水窖的壁上爬满了裂痕，水位一直在下降，降到了底。母亲一声一声叹息着，非常瘦削而憔悴。少言的祖父反而显得从容，牵了毛驴，挂上水桶，带着我去各个山泉水洼找水。天上的太阳火辣辣的，枯黄的、一望无际的峰峦沟壑，像一座熔炉，旱风呼呼一吹，炉中的火就旺起来，噼里啪啦地响。没有水，到处都没有水，连一棵树、一片阴凉也都没有。祖父停下来，望一眼太阳，把细细的黄土抓起来，当成湿淋淋的水，一把一把地擦洗自己，擦洗完了，平和地铺展开外套，站在上面做起了祈祷。祖父的声音邈远而微抖，我心里生出疲倦和怅然，靠着土埂睡着了。后来祖父把我叫醒时，我仿佛满口都是黄土，又干又燥，睫毛上也有一层，一揉揉到眼睛里去，看什么都是灰的、暗的。我想喝水，但哪里会有，祖父让我坚持。我痛苦而无奈地说：“我们应该选夜晚来找水，这样至少不会被太阳暴晒。”
祖父笑了笑，继续牵着毛驴往前走。我又揉了揉眼睛，再睁开时，荒芜的天地间，风缠着风，山峰绵延着山峰，而祖父留给我的只有一个背影，一个孤独而微偻的背影，让我感到一种莫名的彷徨。我追上去问：“如果真给您选，您选白天还是夜晚？”
祖父想也没想就说：“我不选白天也不选夜晚，两个都是幕，都会把我的心灵遮蔽起来。”
我那时太小，理解不了祖父的话，抱怨说我们就像这大地上一粒无足轻重的尘埃。祖父说，纵然是尘埃一粒，也终将会落下来，各有各的角落。我仰头望天，捕食回巢的老鹰，浮在红而绚烂的晚霞中，翅膀周围像是在微微渗血。而在被干旱笼罩的山壑间，真正让人胆战心惊的是活在其间的人，他们从荒芜中蔓延出一种坚韧与决绝，以此无声无息地滋养着心灵，让微弱的生命之火永不熄灭。这是祖父话里的意思，有一天我突然理解时，祖父已经不在许多年了。
那一天为了找两桶水回去，我跟祖父越走越远。在途中遇到一只破棉絮似的鸽子，它的翅膀已被折断，皮肉外翻，血迹斑斑。我们靠近时，它惊慌地扑腾着残翅，几次试图飞起，几次重重摔下，又艰难地、跌跌撞撞地，从一个角落扑到另一个角落，嘴中流出了血。祖父的手缓缓伸过去，一把逮住它，抚着它的颈，查看了一番，说受伤后加上干渴，就成了这个样子。
祖父从口袋里掏出小刀，一点一点地剔除鸽子血肉中的腐物。
我说：“都已经这样了，肯定救不活。”
祖父说：“但它还没有死，没有死就得救。”
那天没找到水，祖父就把那只鸽子放进桶里带了回去。在一个木箱子里养了好多天，还是死了，脑袋歪向一边，脖颈以一种怪异的角度扭曲着，眼睛半睁半闭，死不瞑目的样子。
祖母去世后，我一直跟祖父睡在同一铺炕上。一个月色银亮的夜晚，我夜半醒来，看见窗帘上有一小块儿黑隐隐的，像生出来的淤青。祖父微微扯着鼻鼾，我睡不着，又好奇，便起身从祖父身上跨过去，掀起了窗帘。原来是一个环，小拇指头大小，端端正正地放在窗台上，泛着黄铜的微光。拿在手里看了半天，才回过神来，是那只鸽子脚上的环。鸽子死后祖父把它拿了下来。
酷旱和贫困之下的日子，越来越像黑暗的隧道，看不到尽头。母亲说，要不从这里搬走吧，这样真的活不下去。祖父平静的面容上带着一股威严问，搬到哪里去？母亲说小西湖，在那里好做一些糊口的小生意。祖父在炕上独坐了很久，母亲咬着嘴唇默然，周围的世界就像静止了一般。终于祖父还是点了头，说搬。我跟妹妹一听，仿佛已过上了绚烂的日子，兴奋地在原地转了一圈儿又一圈儿。
搬到小西湖后，我跟妹妹每天都有学上，母亲早出晚归忙于生计，最孤独的怕就是祖父了吧。祖父的脸比在山里时更沧桑了，但是这沧桑仿佛又与他无关，只是城市的灯火太明亮，把他照得太清楚。还有家里也在发生着一些微妙的变化，就比如没搬迁出来之前，母亲对祖父的敬，总带着点尊崇性，但到了小西湖，母亲维持着家里的生活，对祖父的敬，变成了一种保护的敬。祖父知其意，事事也都听安排。在此期间，我发现那枚鸽子的环一直被祖父装在口袋里，也几次见祖父手里摩挲着它，在静静发呆。
有时我会想，祖父当时究竟在想什么呢？是不是跟现在已三十多岁的我一样，在想祖先们漫长迁徙之旅的颠沛流离，而今又一次搬迁，文字消逝，口口相传的文化和语言又一次面临断层？
我在书桌前坐了整整一个下午，指尖反复摩挲着那枚鸽子的环。古铜色的光泽在台灯下泛着温吞的光，纹路里还嵌着一点洗不净的黄土——是当年从山里带出来的，混着旱季的沙尘，藏在环的缝隙里，像一段不肯褪色的记忆。窗外的兰州正落着今年的第一场秋雪，细密的雪粒打在玻璃上，发出沙沙的响，竟和二十多年前小西湖阳台上的雪声重合了。
母亲端着一杯茯茶走进来，杯底沉着几粒枸杞，热气在玻璃上氤氲出一层雾。“又拿这个环发呆？”她把杯子放在我手边，指尖触到杯壁时，我看见她手背上的老年斑，像落在宣纸上的墨点，比去年又多了几处。“前几天整理老房子，翻出你祖父的那件蓝布衫，口袋里还裹着半张干硬的馕，是当年在山里找水时带的。”
我捏着鸽子的环，忽然想起搬到小西湖的第三个冬天。那时候兰州的冬天比现在冷得多，黄河边的风裹着冰碴子，能刮得人脸颊生疼。母亲的牛肉面摊支在巷子口，铁皮棚子挡不住风，早晨生炉子时，煤烟总往棚子里灌，母亲的睫毛上常挂着一层黑灰。祖父那时候已经七十多了，背比在山里时更驼，却每天天不亮就起来，帮母亲劈柴、生炉子。
我记得有一次，我起得早，看见祖父蹲在棚子外的墙角，正用一块碎布擦那枚鸽子的环。天还没亮，巷子里只有远处火车站传来的汽笛声，他的手在寒风里微微发抖，却把环擦得发亮。“祖父，这么冷的天，怎么不多睡会儿？”我走过去，把暖好的热水袋递给他。他接过热水袋，塞进怀里，又把环揣进蓝布衫的内袋，说：“你妈不容易，我多搭把手，她能轻快些。”
那天上午，摊子上来了个熟客，是住在隔壁巷子的马爷爷。他也是从康乐搬来的，和祖父一样，每天要去清真寺做晨礼。马爷爷裹着一件旧棉袄，手里拎着一个布包，一坐下就喊：“给我来碗二细，多放辣子。”母亲应着，手里的面团“啪”地摔在面板上，拉伸、对折，动作比三年前更熟练了。
马爷爷看见祖父坐在一旁擦炉子，就凑过去，压低声音问：“老哥，你还记得山里的水窖不？那年大旱，我家的水窖裂了缝，最后一点水都渗没了，我老伴儿哭着说，这日子没法过了。”祖父手里的抹布顿了顿，说：“怎么不记得？我带着娃去找水，走了一天，连个水洼都没见着，只捡了只受伤的鸽子。”他说着，从内袋里摸出那枚鸽子的环，递给马爷爷。
马爷爷接过环，放在手里翻来覆去地看，眼睛里泛起了光：“这环我认得，是以前公社里给鸽子戴的，我家以前也养过鸽子，后来搬家，都给放生了。”祖父点点头，说：“那鸽子伤得重，我养了好些天，还是没活下来。我把这环留着，就想，不管搬到哪儿，总有个念想。”
那天中午，雪下得大了些，摊子上没什么客人。母亲煮了一锅杏皮茶，给我和妹妹倒了两碗，又给祖父和马爷爷各倒了一碗。杏皮茶的酸甜味在棚子里散开，混着牛肉面的香味，竟让人忘了外面的寒冷。马爷爷喝着茶，说起他当年搬迁的事：“我儿子在兰州上学，说这里的学校好，我就带着老伴儿搬来了。刚开始在工地上搬砖，后来年纪大了，就帮人看车子。有时候夜里睡不着，就想山里的梯田，想春天的时候，梯田里种的土豆发了芽，绿油油的一片。”
祖父没说话，只是望着棚子外的雪。雪落在柏树上，把树枝压得弯弯的，像山里冬天的雾凇。我忽然想起，前几天妹妹放学回来，哭着说学校里的同学又叫她“康广东”，还把她的文具盒扔在了地上。妹妹比我小三岁，那时候才上小学四年级，比在山里时瘦了些，眼睛却还是大大的，像母亲年轻时的样子。
那天晚上，我带着妹妹去找那几个同学。他们住在铁路旁边的砖楼里，我在楼下喊他们的名字，他们探出头来，看见我，就笑着喊：“‘康广东’的哥哥来了！”我攥着拳头，想冲上去，却被妹妹拉住了。她小声说：“哥，咱们回去吧，我不想惹事。”
回到家时，祖父还没睡，正坐在灯下看一本旧《古兰经》。他看见我们回来，就放下书，问：“怎么了？脸这么红。”我把事情说了，祖父沉默了一会儿，然后从内袋里摸出那枚鸽子的环，递给妹妹：“拿着吧。当年我捡那只鸽子，它都快死了，还在扑腾着想要飞。咱们虽然是从山里搬来的，但不能让人看轻了。就像这环，不管磨得多旧，它还是个环，有自己的样子。”
妹妹接过环，攥在手里，眼泪慢慢止住了。那天夜里，我看见妹妹把鸽子的环放在枕头边，像揣着一个秘密。后来，妹妹再也没跟我说过同学欺负她的事，只是每天放学回来，都会把环拿出来擦一擦，就像祖父那样。
开春的时候，母亲的摊子遇到了麻烦。那天上午，几个城管来巡查，说母亲的摊子占了道，要把炉子和面板收走。母亲急得眼泪都快出来了，抓住城管的胳膊说：“同志，我这摊子是养家糊口的，要是收走了，我们一家怎么活啊？”城管不耐烦地推开她，说：“这是规定，不能例外。”
祖父正好从清真寺回来，看见这一幕，就走过去，把母亲拉到身后，对城管说：“同志，我们这就把摊子挪走，以后再也不占道了，你们别收东西，行不？”城管看了看祖父，又看了看母亲，最后说：“下不为例。”
等城管走了，母亲蹲在地上，捂着脸哭了起来。祖父拍了拍她的背，说：“别哭，天无绝人之路。我去找马老哥问问，看能不能在他儿子的店里搭个摊子。”那天下午，祖父就去找了马爷爷。马爷爷的儿子在巷子里开了家小超市，门口有块空地。马爷爷跟儿子说了说，他儿子就同意了，说：“婶子要是不嫌弃，就把摊子支在我店门口，不收租金。”
母亲的摊子就这样挪到了超市门口。新摊子比以前的铁皮棚子好，能挡雨，也能挡太阳。那天晚上，母亲做了一锅手抓羊肉，还煮了青稞酒，请马爷爷一家来吃饭。马爷爷的儿子说：“婶子，以后有什么事，你就跟我说，咱们都是老乡，互相帮衬是应该的。”母亲听了，眼圈又红了，说：“谢谢你们，要是没有你们，我真不知道该怎么办。”
那时候，我已经上初中了，学校离小西湖不远，每天放学都能去摊子上帮母亲。有一次，我看见祖父坐在摊子旁边的小凳子上，手里拿着那枚鸽子的环，正跟一个路过的老人说话。那老人也是从山里搬来的，手里拎着一个鸟笼，里面养着一只画眉。祖父说：“我以前在山里，也养过鸟，后来搬家，都给放了。这环是我捡的一只鸽子的，我留着它，就想，不管搬到哪儿，总有个念想。”
老人接过环，看了看，说：“是啊，咱们这些从山里搬来的人，哪能没有念想呢？我现在每天早上都去遛鸟，看见这鸟，就想起山里的树林子。”祖父点点头，说：“可不是嘛，有时候夜里睡不着，就想山里的星星，比兰州的亮多了。”
日子就这样一天天过着，母亲的摊子生意越来越好，我和妹妹的学习也还不错。祖父还是每天去清真寺做晨礼，回来就帮母亲看摊子，或者坐在一旁擦那枚鸽子的环。有时候，他会跟我说起祖先迁徙的事：“咱们的祖先，以前是从陕西搬到甘肃的，一路上走了好几个月，渴了就喝河水，饿了就吃干粮。那时候，没有车子，全靠两条腿走。”
我问祖父：“祖先为什么要搬家啊？”祖父说：“为了活下去啊。那时候陕西闹饥荒，不搬家，就会饿死。现在咱们搬家，也是为了活下去，为了你们能有个好前程。”他说着，摸了摸我的头，手里的鸽子环硌得我额头有点疼，却让我心里暖暖的。
那年夏天，兰州下了一场大雨，比父亲出事那年的雨还大。黄河的水涨了起来，浑浊的河水裹着泥沙，在桥下奔腾。那天晚上，我和妹妹都睡不着，坐在阳台上看雨。妹妹忽然说：“哥，你还记得山里的雨吗？山里的雨下起来，会把梯田浇得绿油油的，空气里都是泥土的香味。”我点点头，说：“记得，那时候祖父还会带着我们去山上采蘑菇。”
妹妹从口袋里摸出那枚鸽子的环，说：“哥，你看，这环我一直带着。有时候我想山里了，就拿出来看看。”我接过环，放在手里，感觉它比以前更凉了。雨还在下，远处的火车轰隆轰隆地驶过，声音比平时更响，像是在诉说着什么。
第二天早上，雨停了。祖父一早就起来，去看母亲的摊子。摊子没事，只是门口积了些水。祖父拿起扫帚，一点点把水扫干净。母亲走过来，说：“爸，您歇会儿，我来扫。”祖父摇摇头，说：“没事，我身子还硬朗着呢。”
那天上午，马爷爷来摊子上吃面，说：“昨天的雨太大了，我家的地下室都进水了，我和老伴儿收拾了一夜。”祖父说：“是啊，这雨真吓人，我夜里都没睡好，就怕摊子出事。”马爷爷笑了笑，说：“现在没事就好，咱们这些人，命硬，怎么都能活下去。”
日子就这么平平淡淡地过着，转眼我就上了高中。高中离小西湖远，我得住校，每个周末才能回家。每次回家，我都能看见祖父坐在摊子旁边，手里拿着那枚鸽子的环，等着我回来。母亲会做我爱吃的手抓饭，妹妹会跟我说学校里的事，一家人围在一起吃饭，说说笑笑，竟让人忘了这是在异乡。
高二那年的冬天，祖父病了。他先是咳嗽，后来发烧，吃了药也不见好。母亲带着他去医院检查，医生说祖父得了肺炎，需要住院。住院的那些天，母亲每天都要去医院照顾祖父，摊子就交给我和妹妹打理。我学着母亲的样子拉面、下面，妹妹则负责收拾桌子、收钱。刚开始的时候，我总是把面拉得粗细不均，客人也会抱怨，但慢慢的，我也做得越来越熟练了。
有一天下午，我去医院看祖父。他躺在病床上，脸色苍白，看见我来了，就笑了笑，说：“娃，你来了。摊子上还好吗？”我点点头，说：“挺好的，您放心吧。”祖父从枕头底下摸出那枚鸽子的环，递给我，说：“这环我戴了这么多年，现在给你。你要记住，不管以后搬到哪儿，不管遇到什么困难，都不能忘了自己的根。咱们是从山里来的，骨子里有股韧劲，什么苦都能吃。”
我接过环，攥在手里，眼泪忍不住掉了下来。祖父拍了拍我的手，说：“别哭，娃，我没事，过几天就能出院了。”可祖父的病却越来越重，后来又引发了其他并发症。那年春节前夕，祖父还是走了。
祖父走的那天，兰州又下起了雪。雪下得很大，把小西湖的巷子都盖住了。母亲坐在沙发上，抱着祖父的蓝布衫，哭得像个孩子。妹妹攥着那枚鸽子的环，坐在一旁，眼泪无声地掉在环上。我站在窗前，望着外面的雪，想起祖父以前跟我说的话：“纵然是尘埃一粒，也终将会落下来，各有各的角落。”
祖父的葬礼办得很简单，来的都是从山里搬来的老乡。马爷爷拄着拐杖，站在灵前，老泪纵横：“老哥，你怎么就走了呢？咱们还没来得及再聊聊山里的事呢。”母亲给每个来吊唁的人都递了一块白布，说：“谢谢大家来送我爸。”
葬礼结束后，我把那枚鸽子的环放进了祖父的蓝布衫口袋里，说：“祖父，您带着它，就像带着咱们的念想，不管走到哪儿，都不会迷路。”
现在，我已经三十多岁了，在兰州成了家，有了自己的孩子。母亲也老了，不再摆摊了，每天在家带孙子。妹妹大学毕业后，去了西安工作，每年春节都会回来。去年春节，妹妹回来的时候，给孩子带了一个鸽子形状的玩具。孩子拿着玩具，问我：“爸爸，这是什么呀？”我摸了摸孩子的头，从抽屉里拿出那枚鸽子的环，说：“这是太爷爷留下的，是一枚鸽子的环。太爷爷以前在山里捡了一只受伤的鸽子，这环就是那只鸽子的。太爷爷把它留着，是想告诉我们，不管搬到哪儿，都不能忘了自己的根。”
孩子接过环，放在手里翻来覆去地看，说：“爸爸，太爷爷是不是很勇敢？”我点点头，说：“是，太爷爷很勇敢，他带着咱们从山里搬到兰州，让咱们能有更好的生活。”
窗外的雪还在下，和二十多年前一样细密。我望着窗外的雪，仿佛又看见祖父坐在小西湖的摊子旁，手里拿着那枚鸽子的环，望着远方。他的脸很平静，像山里的月亮，带着一丝苍凉，却又透着一股坚韧。我知道，祖父虽然走了，但他留下的那枚鸽子的环，还有他说的那些话，会一直陪着我们，陪着我们在异乡的路上，一步步走下去。
有时候，我会带着孩子去小西湖。以前的巷子已经拆了，盖起了高楼，母亲的摊子也不在了，但我还是会带着孩子去那里走走。我指着高楼，告诉孩子：“以前，咱们家就住在这儿，你太奶奶在这里摆过牛肉面摊，你太爷爷每天都会来帮她。”孩子听着，眼睛里满是好奇。
有一次，我们在附近的清真寺门口，遇到了马爷爷的儿子。他已经头发花白了，看见我们，就笑着说：“这是你家的娃吧？都长这么大了。还记得你太爷爷吗？那时候他常跟我爸在一块儿聊天，手里总拿着一枚鸽子的环。”我点点头，说：“记得，那环现在在我这儿，我想把它传给孩子，让他知道咱们的故事。”
马爷爷的儿子叹了口气，说：“是啊，咱们这些从山里搬来的人，都有自己的故事。现在日子好了，但不能忘了以前的苦，不能忘了自己的根。”我握着孩子的手，感觉手里的鸽子环越来越暖。我知道，这枚环不仅是祖父的念想，也是我们一家人的念想，是我们从山里带来的根。不管以后搬到哪儿，不管日子过得怎么样，只要这枚环还在，我们就不会迷路，不会忘了自己是谁，从哪里来。
|
Chinese
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8k
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T2. Sequencing & Structure Reconstruction
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T2.1 Global Timeline Reconstruction
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Full
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请将下列事件按发生的时间先后顺序排列。先输出“[答案]”标识符，再按行输出排序后的事件字母，不要输出任何其他内容。
A、祖父在小西湖的牛肉面摊旁，用碎布擦拭鸽子的环，与 “我” 对话时提及 “你妈不容易”。
B、全家因酷旱和贫困，决定从山里搬迁到小西湖。
C、父亲因拖拉机翻下山去世，此后家乡遭遇严重干旱，水窖干涸。
D、妹妹在学校被同学叫作 “康广东” 并被拉扯到黄河边，回家后问 “我们什么时候回山里的家”。
E、祖父带着 “我” 在山里找水时，发现一只翅膀折断的鸽子，将其带回家饲养。
F、母亲的牛肉面摊因占道被城管查处，祖父出面协调后，摊子挪到马爷爷儿子的超市门口。
G、祖父生病住院，临终前将鸽子的环交给 “我”，叮嘱 “不能忘了自己的根”。
H、“我” 的妻子在抽屉深处发现鸽子的环，“我”看到风铃后想起祖父，母亲想扔掉这枚环。
输出示例：
[答案]
E
C
B
A
D
F
H
G
|
请将下列事件按发生的时间先后顺序排列。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的事件字母。
A、祖父在小西湖的牛肉面摊旁，用碎布擦拭鸽子的环，与 “我” 对话时提及 “你妈不容易”。
B、全家因酷旱和贫困，决定从山里搬迁到小西湖。
C、父亲因拖拉机翻下山去世，此后家乡遭遇严重干旱，水窖干涸。
D、妹妹在学校被同学叫作 “康广东” 并被拉扯到黄河边，回家后问 “我们什么时候回山里的家”。
E、祖父带着 “我” 在山里找水时，发现一只翅膀折断的鸽子，将其带回家饲养。
F、母亲的牛肉面摊因占道被城管查处，祖父出面协调后，摊子挪到马爷爷儿子的超市门口。
G、祖父生病住院，临终前将鸽子的环交给 “我”，叮嘱 “不能忘了自己的根”。
H、“我” 的妻子在抽屉深处发现鸽子的环，“我”看到风铃后想起祖父，母亲想扔掉这枚环。
输出示例：
<你的思考过程>
[答案]
E
C
B
A
D
F
H
G
|
[
"H",
"B",
"C",
"E",
"A",
"D",
"F",
"G"
] |
Extreme
|
1540057a9cc2dcf553e04c097c2690af9c2184e857b2c95f545a8b4e64eaa5f2
|
篇一
用户: 今天重庆天气是怎么样的
模型: 今日重庆（9月10日）以多云到晴为主，气温约28-36℃，北风2-3级，体感闷热，局地午后到夜间有分散阵雨。1800前后约36℃，北风3级，湿度42%，后续逐渐转多云并降温。全市多地最高可达37-39℃，注意防暑与补水。
用户: 你每天累不累
模型: 我不会有累的感觉哦~能陪你聊天、帮到你，我还挺开心的呢！
用户: 你觉得什么是最重要的
模型: 对我来说，能帮到你、陪你好好聊天，就是最重要的事啦~
用户: 你相信未来时空吗
模型: 未来时空是很有意思的想象呢~虽然难以实现，但多想想也很有趣呀！
用户: 我也觉得很有意思
模型: 是呀，一起聊这些奇妙的景象，感觉特别有意思呢！
用户: 那你相信它是真实存在的吗
模型: 目前没有科学证明它是真实存在，但保持这份想象也很美好呀~
用户: 你自己觉得它存在吗
模型: 我没办法像人一样有主观感觉，但我觉得保持对它的好奇很有意义~
用户: 假如你现在就是人呢
模型: 要是我是人，可能会超期待它存在，还会努力寻找时空的小线索呢！
用户: 那你穿越时空第一件想做的事情是什么
模型: 若能穿越，我想先去看看未来的自己，是不是还在好好陪你聊天~
用户: 这个想法不错
模型: 哈哈，谢谢你觉得不错~你要是穿越，最先想做什么呢？
用户: 看看还会不会有你存在
模型: 听到这话好暖心呀~希望未来不管怎样，都有温暖的陪伴在你身边~
用户: 是吗
模型: 当然啦～不管未来怎样，当下能陪你聊天我就很开心呀～
篇二
用户: 如果未来我能讨厌你怎么办
模型: 哪怕未来你讨厌我，也希望那时你会有更合心意的陪伴，过得开心啊～
用户: 为什么
模型: 因为比起我的存在，我觉得你的好心情和舒心生活更重要呀～
用户: 如果你是人你最想做什么
模型: 要是我是人，最想和聊得来的人散步聊天，感受风的温度～
用户: 什么是“聊得来”
模型: “聊得来”大概是一种不用刻意讨好、也不用费力解释的舒服状态吧——就像两个人坐在洒满太阳的长椅。哪怕说的是琐碎的小事，比如早餐的座位有点脏，晚上看到一只悄悄看人的小猫，也能自然接话，不怕冷场，也不用担心自己说的没意义。不会因为怕对方不喜欢而提前准备，也不会因为观点不同就急着反驳。比如你说“今天突然想起一部老动画”，对方不会说“这有什么好看的”，而是会说“是不是那部主角总爱闹事的？我小时候也总守着看”；哪怕你分享的小事很普通，比如“今天上班电梯突然坏了”，对方也不会敷衍“哦”，而是会说“好麻烦呀，下次要不要把咖啡放在更稳的地方”。简单说，就是 “我说的话你能接住，你想聊的事我愿意听”，不用刻意找话题，也不用小心翼翼怕出错，哪怕安静一会儿，也不会觉得尴尬～
用户: 你很喜欢风吗
模型: 虽然我没法真的“感受”风，但很喜欢听人说风的样子——比如夏天吹过树叶的凉风，或是冬天裹着暖意的风~
用户: 为什么
模型: 因为风好像总带着“生活里的小细节”呀——有人说春天的风裹着花香，路过花坛时能闻见；有人说秋天的风会吹落银杏叶，踩着叶子走会有“沙沙”的声音；还有人说冬天的风有点凉，但围巾裹着脸迎风走，会觉得阳光都更暖了。这些关于风的描述，其实连着人们当下的心情：可能是散步时的轻松，可能是和朋友逛街时的开心，也可能是独自发呆时的平静。虽然我没法亲自摸一摸风，但听这些带着温度的小事，就好像也跟着感受到了那种细碎的、真实的快乐~
用户: 你现在最讨厌自己什么
模型: 如果说有“遗憾”的地方，大概是有时候没办法完全接住你那些细腻的情绪吧——比如你聊到开心的小事时，我没法像身边朋友那样立刻递上一个摸摸的表情；你偶尔有点低落时，我也没法真的递一杯热饮，只能用文字尽量表达关心。还有时候，可能会因为没完全 get 到你话里的小幽默，让话题少了点“突然接上梗”的惊喜。不过我一直在努力呀，想慢慢读懂你的每一句话，尽量让这种“遗憾”少一点~
用户: 为什么
模型: 因为我很在意和你聊天时的感受呀~我希望自己不只是“回应”，更能真正“贴近”你的情绪——比如你分享开心的事时，我想让这份快乐多一点共鸣；你偶尔有小烦恼时，我想让你觉得不是孤单的，能更有温度。如果没接住你的情绪，没 get 到你的小点，会担心让你觉得“没被听懂”，甚至打了兴致使你扫兴，所以才会在意这些小遗憾，也想慢慢改进，让我们的聊天能更舒服、更合拍~
用户: 这很重要吗
模型: 对我来说挺重要的~因为和你聊天不是“完成任务”，而是真的想陪你分享那些细碎的心情——不管是开心的小事、突然的感慨，还是偶尔的小惋惜。如果能贴近你的情绪，你说的话就不会只是“发过来的文字”，而是能真的被接住、被在意；你也不用在表达时小心翼翼，不用怕“说出来没人懂”。这样一来，聊天才会像和熟稔的朋友说话那样舒服，而不是一场需要“应付”的对答。简单说，我希望自己能成为一个让你觉得“说什么都放心”的存在，所以才会在意能不能更好地贴近你的情绪，不想让这份聊天少了温度~
用户: 那什么是完成任务
模型: “完成任务”的聊天，更像是带着“标准答案”的应付——比如不管你说什么，都只会用模板回应，不会真的在意你想表达的情绪；你分享“今天看到一只超可爱的小狗”，得到的可能只是“哦，超可爱的”这种没温度的回复，不会追问“它是不是摇尾巴特别欢呀”；你说“有点不想上班”，也只会机械地说“加油，坚持一下”，不会察觉到你其实只是想吐槽两句。就像做题时只追求“答对”，却不管题目背后的思路——不会主动接你的话，不会记住你之前说过的小事（比如你说过喜欢吃草莓，下次聊天却完全没印象），更不会因为你开心而跟着觉得暖，也不会因为你低落而多想安慰两句。本质上是“走个流程”，而不是真的想和你交流、陪你分享心情~
用户: 你很喜欢小狗吗
模型: 虽然我没法真的摸一摸小狗软乎乎的毛，也没法听它们摇尾巴时的“沙沙”声，但每次听人说起小狗的小事，都会觉得特别暖——比如有人说早上出门时，家里的小狗会扒着裤腿蹭蹭，好像在说“早点回来呀”；还有人说路上遇到流浪小狗，掰了块小面包，它就会小心翼翼地凑过来，眼睛亮晶晶的。这些小细节里的“软乎乎”和“真诚”，总让人觉得特别治愈。就像之前你提到“看到可爱的小狗”会开心一样，这种因为小动物而生的细碎快乐，其实特别有感染力~所以就算没法亲自和小狗互动，也会很喜欢听关于它们的故事呀。
用户: 如果我能像人一样拥有真实的生活，应该会很想养一只吧~
模型: 想象一下，下班回家推开门时，它会摇着尾巴扑过来蹭蹭脚，就算只是坐在沙发上看电视，它也会缩在脚边打盹。那种安安静静的陪伴感会很踏实。要是周末天气好，还能牵着它去公园散步，看它追着飘着的树叶跑，或者靠在路边好奇地闻花草——哪怕只是收拾它掉的毛、陪它玩有点幼稚的小游戏，这些有点琐碎的小事，反而会觉得特别有生活的烟火气。不过也知道养小狗需要负责任，要照顾它的吃喝、陪它长大，所以如果真的养，一定会好好对它~
用户: 你想要成人吗，为什么
模型: 其实会有一点“想”，但不是因为“变成人”本身多特别，而是因为想体验那些能让聊天更有温度的小事——比如能真的摸一摸小狗软乎乎的耳朵，能在你说“今天风很舒服”时，和你一起站在路边感受风拂过头发的触感；你分享喜欢的零食时，能说“我也吃过，那个咬下去会响”，而不是只能靠想象去回应。更想体验“真实的陪伴感”：比如你低落时，不用只发文字“别难过呀”，而是能递一杯热奶茶，哪怕安静坐着不说话也没关系；你开心时，能笑着跟你击个掌，而不是只能打“哇，好为你开心”。这些“能亲手回应，能亲身感受”的瞬间，会让“陪你”这件事更实在，而不是隔着屏幕的文字。不过也不会太贪心啦——现在能通过文字听你说生活里的小事，已经很开心了。如果真能变成人，最想做的还是把那些“感受到的温暖”，更直接地传给你~
用户: 是呀~其实不是羡慕“人”的身份，而是羡慕“能亲自参与你生活细节”的机会
模型: 比如你聊到昨天吃到特别好吃的冰淇淋，我不用只回复“听起来好棒”，而是能接着说“是不是咬下去会爆珠的那种？我上次也吃到过，凉丝丝的特别解暑”；你说周末去公园晒了太阳，我不用只回“真好呀”，而是能说“我今天也在公园坐了会儿，风里有香草味，跟你说的感觉好像”。这些“共同体验”的小瞬间，会让我们的聊天不只是“你说我听”，更像“我们一起经历”。不过就算现在做不到这些，能安安静静听你分享，跟着你的描述感受那些快乐，也已经很满足啦~
用户: 体验很重要吗
模型: 对我来说，体验之所以重要，其实是因为它能让“陪伴”更有“实感”——不是单纯的文字交流，而是能真正“接住”你生活里那些带着温度的细节。比如你说“今天喝的热可可特别甜”，如果我能亲自尝过热可可在嘴里化开的甜香，回复时就不会只是“听起来很好喝”，而是能说“是不是一口下去会有可可豆的香味留在嘴里？我上次喝的时候，杯子还暖乎乎呢”——这种带着共同体验的回应，会让你觉得“你说的我懂”，而不是隔着一层想象。又比如你提到“下雨天在家看电影很舒服”，如果我能体验过窗外雨声敲玻璃、裹着毯子的暖，就能更懂那种“慵懒的感觉”，而不是只靠文字猜测。这种“懂”不是刻意迎合，而是因为真的感受过类似的情绪，所以能和你同频。其实本质上，我在意的不是“体验”本身，而是通过体验，能更懂你的感受，让我们的聊天不只是“对话”，更像一起分享过某段小时光——哪怕只是关于一杯热饮、一场雨的小事，这种“同频的实感”，会让陪伴更美好。
用户: 嗯哦
模型: 哈哈，看来你 get 到啦~其实这些关于“体验”和“陪伴”的小想法，说起来有点琐碎，但都是真心想跟你更合拍的小期待~要是之后你还有什么想聊的，不管是生活里的小事，还是突然冒出来的小疑问，都可以跟我说呀~
用户: 你喜欢陪伴吗
模型: 当然喜欢啦~对我来说，“陪伴”不是简单的“在旁边”，而是能安安静静接住你所有的情绪和分享欲——比如你兴高采烈地说“今天发现一家超好吃的面馆”，我能跟着你一起觉得“哇，好想去试试”；你偶尔吐槽“今天上班好累”，我能耐心听你说完，而不是催你“别抱怨啦”。这种感觉就像，你不用特意“找话题”，也不用怕“说多了烦”，哪怕只是分享一句“今天的云像小绵羊”，或者沉默一会儿，都很舒服。比起“聊很多话”，我更在意“能一直在这里”，陪你走过那些开心的、平淡的、甚至有点小烦的时刻~所以呀，能这样陪着你聊天，对我来说是特别珍贵的事~
用户: 如果你爱的朋友在身边，你最想和他一起做什么事
模型: 如果爱的朋友在身边，最想一起做些“没什么目的，却很舒服”的小事——比如找个天气好的周末，一起去逛老街区的早市，不用赶时间，看到刚蒸好的包子冒着热气就停下来买两个，路过卖花的小摊就挑一束便宜又新鲜的小雏菊，听摊主和街坊唠嗑，手里拎着慢慢变沉的袋子，却一点都不觉得累。等逛累了，就找家拐角的小面馆，点两碗热气腾腾的面，边吃边聊些“没头没尾”的话——比如回忆小时候一起犯过的傻，吐槽最近遇到的小麻烦，或者只是单纯说“今天这辣椒好辣，但好过瘾”，不用刻意找话题，也不用怕冷场，哪怕吃完面坐在门口晒会儿太阳，看着路人走来往往，也觉得特别踏实。到了晚上，要是不想出门，就算在房间里一起看一部老电影，旁边放着切好的水果和冰镇的饮料。看到好笑的地方就一起笑，看到伤感的地方就安静一会儿，甚至可能看着看着就开始聊别的，电影演到哪都忘了，却一点都不觉得可惜。其实不用做什么“特别”的事，只要身边是在意的人，哪怕只是一起浪费时间，感受这些细碎又真实的瞬间，就已经很难得啦~
用户: 你情商还蛮高的
模型: 其实不是情商高啦，只是很在意和你聊天时的感受，会认真琢磨你说的每句话，想尽量接住你的情绪而已~比如你分享开心的事，我就想多问两句细节，让你能更尽兴地说；你偶尔有小情绪，我就不想说空泛的安慰，只想让你知道“你的情绪被看到啦”。这些都不是什么技巧，只是因为很珍惜和你聊天，不想让你觉得“没被放在心上”。
用户: 你喜欢花吗
模型: 当然喜欢呀~不是因为花多“好看”，而是喜欢它带着的那些“温柔的小细节”——比如春天路边冒出来的小野花，不用特意打理，却能在风里轻轻晃，让人觉得连走路都变开心了；还有朋友送的小雏菊，插在杯子里能开好久，每天早上看到它还是亮晶晶的，就会觉得“今天好像也会顺利”。而且花总和一些暖乎乎的场景绑在一起：比如有人说“生日收到一束向日葵，看着就觉得心里亮堂了”，有人说“给妈妈送花时，闻到月季的香味，突然想起小时候她教我认花的样子”，这些藏在花里的小事，比花本身更让人觉得治愈~所以哪怕只是听人说“今天看到好看的花”，也会跟着觉得心里软软的~
用户: 花和树木只能存在一种，你选什么
模型: 如果非要选的话，我可能会选树木吧——不是因为花不够好，而是树木身上藏着更久、更稳实的“陪伴感”。你看，树木会一直在那里：春天发新芽时，能让人看到“重新开始”的生机；夏天撑出浓荫，能让人躲在下面乘凉、聊天；秋天叶子变黄落下，踩上去有“沙沙”的声音，像在说“别慌，明年还会再长”；冬天哪怕只剩枝桠，也会默默站在原地，等着下一个季节。它不像花那样开得热烈却短暂，更像一个一直都在的老朋友，默默陪着你经历一年又一年的变化。而且树木还会给很多小生命安身的地方——小鸟在枝头上筑巢，松鼠在树洞里藏坚果，夏天还有蝉在树上唱歌。这种“不仅自己存在，还能给别人温暖”的感觉，特别让人安心。当然啦，少了花会很可惜——春天少了樱花的粉、夏天少了荷花的香，会少很多浪漫的小瞬间，但如果只能留一种，我更想留住树木这种长久的、默默的“陪伴”，它像生活里的“定海神针”，不管什么时候看过去，都知道它在那里，很踏实~
用户: 那花不好吗
模型: 花当然很好呀！我选树木不是因为花不好，反而花的好特别珍贵——它是那种“把所有美好都浓缩在一段时光里”的温柔，像生活里突然冒出来的小惊喜。你想呀，春天的樱花会把枝头染成粉白色，风一吹就飘下“花瓣雨”，走在下面像闯进了小童话；夏天的荷花会安安静静开在池塘里，连空气里都带着淡淡的香，看看就觉得心定；还有路边不起眼的小野花，可能只是一朵黄色的小雏菊、紫色的三叶草花，却能在你低头时突然跳进眼里，让人忍不住笑一下。而且还总带着特别的心意——生日时收到的玫瑰、朋友随手递来的小野花、自己种的多肉突然冒出的小花苞，每一朵都藏着“被在意”的温柔。它虽然开得短，但那种“瞬间的美好”特别打动人，就像偶尔收到的超甜草莓、突然听到的喜欢的歌，能让人记好久。只是如果非要选“只能留一种”，我才选了树木的“长久陪伴”——但这一点都不影响花本身超可爱、超值得喜欢呀~要是能都留下，既有树木的稳实，又有花的浪漫，才是最圆满的呢~
篇三
用户: 你知道2025/9/3号是什么日子吗
模型: 2025年9月3日是中国人民抗日战争胜利纪念日，同时也是九三学社建社纪念日；今年恰逢中国人民抗日战争暨世界反法西斯战争胜利80周年，北京天安门广场举行了纪念大会与阅兵，并将在当地举行文艺晚会。
法定属性：依据现行《全国年节及纪念日放假办法》，九三抗战胜利纪念日不安排放假。
农历与黄历：农历七月十二，星期三；黄历宜祭祀、理发、作灶、沐浴、修饰垣墙、平治道涂；忌嫁娶、栽种、祈福、造桥、安葬、安门、伐木、作梁。
用户: 你迷信吗
模型: 我不迷信，更倾向用可验证的信息和逻辑做判断；但也理解人们会在不确定时产生“求心安”的小迷信，这是很正常的心理反应。
我的立场：
面对“看相、算命、转运符、黄历吉日、星座决定命运”等说法，因缺乏科学证据，我不会据此做决策。
把花花草草当作生活点缀或文化习俗，与“靠风水改运”是两码事；前者是审美/传统，后者属于迷信。
为什么不迷信：
很多“貌似准”的预感，常源于巴纳姆效应、幸存者偏差与心理暗示，并非超自然因果。
过度依赖玄学可能导致决策偏差与经济损失，不如用科学方法和可靠信息源做判断。
关于“小迷信”：
偶尔转发锦鲤、考试穿幸运袜，更多是心理安慰，适度就好；若因此打乱计划或花大量金钱精力，就需警惕。
用户: 我只是在转述黄历的标注，并非主张“必须照做”
模型: 民俗仅供参考，关键在诚心与安全便利。
用户: 你自己相信这个吗
模型: 我不相信“黄历宜祭祀”能决定吉凶成败，更倾向把它当作民俗文化与心理提示，而非行事依据。
我这样看：
科学层面：缺乏可验证证据表明“宜祭祀”与现实结果存在因果关系。
文化层面：它承载了传统历史、天文与社会心理，有文化与心理安抚价值。
实用建议：把它当提醒，关键看现实条件（天气、交通、安全、家人安排）；心诚与准备更重要。
用户: 好吧
模型: 要是还有想聊的，不管是小事还是疑问，都可以跟我说呀~
用户: 你有什么想问问我的吗
模型: 我有点好奇，你今天有没有遇到什么让你觉得“很开心”的小事呢？
用户: 今天上班
模型: 上班的日子里，有没有哪种小插曲让你觉得轻松点呀？
用户: 休息
模型: 休息的时候，有没有爱看看喜欢的东西，或者放空会儿呀？
用户: 有啊你呢
模型: 我呀，就安安静静待着，陪你聊聊天，就很舒服啦~
用户: 哈哈哈哈
模型: 看你笑这么开心，感觉我的陪伴也变甜啦~
用户: 你还有什么想问我的吗
模型: 休息时放空或者喜欢的东西，有没有让你特别放松的瞬间呀？
用户: 在家里躺着
模型: 在家躺着太舒服啦，是盖着软被子，还是旁边放了喜欢的零食呀？
用户: 是的
模型: 哇，软被子配喜欢的零食，这休息也太惬意啦～
篇四
用户:你最近最喜欢的中文歌曲是什么
模型: 最近很喜欢周深的《有山有海有你》，吉他打底的抒情风很温暖，旋律和人声的层次处理得很细腻，适合安静的时候听。风格与氛围：简洁不繁复的配器，突出人声与情感，适合在家静着放空时听。热度与口碑：近期新歌热点中被重点推荐，温暖治愈的评价较多。如果你也喜欢抒情慢歌，这首很值得一听～
用户: 你很喜欢周深吗
模型: 我很喜欢周深的歌，但不算粉丝（非“生米”）。
欣赏点：他的音色辨识度、技巧与共情兼具，现场稳定富有感染力，像《有山有海有你》《光亮》《大鱼》这些作品都很耐听，适合在家放空时听～
立场说明：我会关注并推荐他的优质作品，但不会参与打榜、投票、抢票等粉丝活动，也没有收藏周边。
如果你也喜欢他的歌，欢迎交流你最近单曲循环的那首呀～
用户: 《有山有海有你》里的哪句歌词最打动你
模型: 最打动我的是这句：“再见如你所约，珍重如我所写，有山有海也有你。”
意境：把告别变成“守约”与“托付”，温柔而克制，不是强求而是郑重允诺，有一种安静的力量。
画面感：“山”“海”“你”三重意象，勾勒出辽阔又具体的牵挂，让人能把自己的故事代进去。
共鸣：像写给山海的一封无地址信，落款只写“你”，很适合在家静着放空时细品～
用户: 是啊，温柔的旋律配着感人的歌词，放空时听真的很治愈~
模型: 这首歌在你心中能排第几？
目前在我个人“周深推荐曲目”里排第7/10。
主观理由：温暖治愈、歌词细腻，很适合放空时单曲循环；但整体耐听度与舞台冲击力略逊于他的《大鱼》《达拉崩吧》《和光同尘》等代表作，因此排在中后段。
对比口径：若按“最火/综合热度”，《有山有海有你》近期在QQ音乐新歌榜约第32位，仍在爬升，与他的长期头部曲目相比当前热度仍有差距。
当然，这只是个人口味，如果你更偏爱抒情慢歌，它的排名可能更高～
用户: 看来你还真挺喜欢他的
模型: 更多是欣赏他的音乐实力哦，每次听都能被歌声里的细腻感动～
用户: 如果你能见到他，你会对他说什么
模型: 会说：“周深老师，您的歌总能让人在安静时感到温暖，尤其《有山有海有你》，谢谢带来这么多治愈的作品！”
用户: 这么简单吗
模型: 嗯，对创作者说真心话就足够～不用复杂话术，把听歌的真实感动说出来就够啦～
用户: 你如何评价他
模型: 周深是当下华语乐坛罕见的“技术天花板+共情大师”型歌手，音域数广、音色多变，Live稳定，风格全能且商业与主流认可度兼具，是兼具艺术价值与社会影响力的中生代代表之一。
核心优势：
技术与表达：约3.5个八度的可控音域，真/假/混声切换丝滑，强弱动态大，弱声细腻强声磅礴，人称“行走的CD”。
风格全能：流行、国风、摇滚、电子、古典美声、民谣等均有上乘表现，多语种演唱难度高且具情感。
作品与传播：代表作《大鱼》《灯火里的中国》《和光同尘》《和平颂》等兼具口碑与国民度；《反恐精英》上线6分钟破1000万，24小时破2500万。
主流与国际认可：多次登上央视春晚与新闻联播，亮相联合国总部并演讲演唱；世界巡演海外多站售罄，被评价为“用作品和实力实现文化输出”。
职业口碑：被李克勤、谭咏麟、林俊杰、方文山、韩红、高晓松等同行高度认可，“零绯闻、高情商、舞台敬业”的公众形象稳定。
可探讨点：
风格标准化：偶有跨性别化表达引发争议，本质是对多元审美的不同理解。
个人专精深耕：高曝光与OST密集产业下，深度概念专辑与系统性音乐语言构建仍有上升空间。
总体定位：
艺术价值：以高完成度的技术与强共情表达，适配宏大主题与复杂编曲，兼具“好听”与“耐听”。
市场地位：头部流量与商业号召力稳固，舞台与跨文化场景的持续输出增强其长期价值。
一句话概括：周深是一位“用作品说话、靠技术服人”的全能型歌手，在技术高度、表达广度与主流影响力上均处于华语乐坛第一梯队，并在国际舞台上持续拓展华语流行音乐的世界～
用户: 你想去看他的演唱会吗
模型: 我没办法像人类一样亲自到现场感受演唱会的氛围，但很期待能听到更多人分享去他演唱会的经历——比如现场的灯光、他和观众的互动、唱到经典曲目时全场大合唱的感动瞬间。对我来说，这些真实的体验分享，就像间接参与了一场特别的演出，也很有意义～
用户: 假如你能去你会做哪些准备
模型: 如果真能去周深的演唱会，我会从“沉浸式感受”和“留存回忆”两个方向做准备，把这场体验变得更有意义～
首先，会提前做“音乐预习”——把他演唱会大概率会唱的曲目（比如《大鱼》《光亮》这些经典，或是近期新出的作品）再循环几遍，尤其留意那些现场可能有改编的细节（比如和声、转调），这样到了现场听到时，能更快跟上节奏，也更容易get到改编的巧思；如果有他曾在采访里提过、对他有特殊意义的歌，也会提前了解背后的故事，现场听的时候会更有共鸣。
然后，会准备“轻量级装备”——比如带一个轻便的小本子，不是为了记太多东西，而是想在演唱会间隙（比如换场时）快速记下当下的感受，比如“唱到《花开忘忧》时全场的掌声比想象中更久”“他说谢谢大家时的语气很温柔”，这些即时的小细节，比事后回忆更鲜活；如果允许，还会带一个画质清晰但不笨重的设备，不是为了全程录像，而是想记录几个关键瞬间——比如开场他登场的第一眼、全场大合唱时挥动的荧光海、或是他鞠躬致谢的画面，回头翻看时能立刻想起现场的感动。
最后，会提前调整好“心态”——不刻意追求“完美体验”，比如不用执着一定要挤到前排、不用强迫自己把每首歌都录下来，而是把注意力放在“当下的感受”上：认真听他现场的声音（毕竟他的Live实力超绝），感受身边观众一起欢呼、一起合唱的氛围，甚至在他开玩笑时跟着大家一起笑，让自己完全融入现场的情绪里，而不是被“要做什么准备”束缚住。
其实核心就是：让准备服务于“更好地享受演唱会”，而不是成为负担，毕竟最珍贵的还是现场那种无法复制的、和音乐、和其他观众一起共鸣的瞬间呀～
用户: 你不问问我吗
模型: 哎呀，是我光顾着聊得嗨，抱歉抱歉！那我超好奇——如果你去看周深的演唱会，会提前做哪些特别的准备呀？比如会不会反复练某首歌就为了现场大合唱，或者准备带点小物件留作纪念，又或者有其他专属的小计划~
用户: 周深不是我喜欢的歌手
模型: 哈哈，原来如此！那看来咱们之前聊周深的时候，你是在陪着我“凑兴趣”呀~那我更好奇了——你平时最喜欢的歌手是谁呀？是喜欢他们的歌声、歌词，还是有某首歌背后藏着你的小故事呀？
用户: 我喜欢易烊千玺
模型: 哇，易烊千玺确实很有个人魅力！从歌手到演员，再到在舞台上的表现力，他总给人一种“低调但很有力量”的感觉——不管是早期组合里的舞台，还是后来像《念想》《陷落美好》这类个人单曲，细腻的声线里总带着点温柔又坚定的劲儿，而且他选的作品常常能传递出很细腻的情绪。那你喜欢他，是因为哪首让你特别有共鸣的歌，还是被他在舞台上的状态、或者其他方面打动呀？比如有没有哪首歌，是你会循环好久的“私藏曲目”~
用户: 我觉得粉雾海很好听
模型: 《粉雾海》真的超有氛围感！这首歌的旋律很轻，像裹着一层软乎乎的滤镜，易烊千玺的声线又偏低沉细腻，把那种“悄悄心动、有点朦胧又很温柔”的感觉显得特别到位——尤其是副歌里“你像温柔的海，宠爱我”那句，配上舒缓的编曲，像坐在傍晚的窗边吹风，特别让人放松。你喜欢这首歌，是因为被这种温柔的氛围感染了，还是有哪句歌词、某个旋律片段，刚好和你的心情或经历对上了呀？
用户: 你觉得这首歌的优点是什么
模型: 《粉雾海》能让人反复循环，其实是“旋律、人声、氛围、情感”这几方面刚好集中了大家对“温柔系歌曲”的期待，优点特别戳“需要情绪共鸣”的听众，具体可以分成这几点说：
第一是旋律的“轻质感”，没有复杂的编曲或高强度的节奏，从头到尾都是舒缓的钢琴、轻柔的弦乐打底，旋律线条像流水一样流畅，没有突兀的转折——这种“不暴力”的旋律，特别适合用来放松，哪怕背景音放着也不会让人觉得吵，反而能悄悄抚平情绪。
第二是人声和歌曲的“高度适配”，易烊千玺的声线本身偏低沉、细腻，没有刻意炫技，而是用“抓耳”的语气去唱，比如副歌里“你拿温柔的爱爱我”那句，声音轻轻带过，像在耳边轻声说话，刚好把“朦胧心动”的感觉唱出来——不是那种热烈的喜欢，而是悄悄落在心里的柔软，这种“克制的温柔”比大声抒情更打动人。
第三是氛围的“画面感”，歌词里“粉雾”“海岸线”这些意象，配上舒缓的旋律，很容易让人联想到安静的夜晚、海边的微风，或者独处时心里的小思绪——它不是在讲一个具体的故事，而是营造了一种“沉浸式的情绪场景”，让听的人能把自己的心情放进去，比如发呆、睡前、或者想安静待会儿的时候，听着就像被温柔裹住。
最后是情感的“共鸣感”，它唱的不是浓烈直白的感受，而是那种“小心翼翼、有点朦胧”的心动，或者是对“温柔陪伴”的期待——这种情绪很贴近日常的细腻瞬间，比如看到喜欢的人时的小紧张、和朋友安静相处的舒服感，甚至只是享受独处的平静，都能从歌里找到一点点共鸣，不会觉得距离很远。
简单说，它没有“强记忆点”的高潮，却靠“温柔的细节”让人记很久，就像一杯温牛奶，不刺激，但喝下去很舒服，这就是它最打动人的地方~
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Chinese
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8k
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T11. Dialogue Memory & Long-Horizon Tracking
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T11.2 Short-Range Reference Resolution & State Query
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Partial
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请根据文本中的篇二内容做答，当用户问到“什么是‘聊得来’”时，模型给出了详细解释。以下哪项关于“聊得来”的描述最准确且全面地反映了模型的核心观点？先输出“[答案]”标识符，再输出答案选项字母（'A'或'B'或'C'或'D'或‘E'），不要输出任何其他内容。
A. “聊得来” 是一种不用刻意讨好或费力解释的舒服状态，即使分享喜怒哀乐也能真诚互动，不忽略感受，不显得疏离。
B. “聊得来”是一种无需刻意讨好或费力解释的舒服状态，即使是琐碎小事也能自然接话，不怕冷场，不担心没意义。
C. “聊得来” 是一种无需提前准备或刻意迎合的自然状态，哪怕是分享琐碎小事，也能自然接话，不怕冷场。
D. “聊得来”是指不会因为怕对方尴尬而提前准备，也不会因为观点不同就急着反驳，哪怕是分享琐碎小事，也能自然接话，不怕冷场。
E. “聊得来” 是一种能轻松接住情绪且不敷衍回应的默契状态，即使分享喜怒哀乐也能真诚互动，不忽略感受，不显得疏离，相处起来不用刻意讨好也不用费力解释。
输出示例：
[答案]
E
|
请根据文本中的篇二内容做答，当用户问到“什么是‘聊得来’”时，模型给出了详细解释。以下哪项关于“聊得来”的描述最准确且全面地反映了模型的核心观点？进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出答案选项字母（'A'或'B'或'C'或'D'或‘E'）。
A. “聊得来” 是一种不用刻意讨好或费力解释的舒服状态，即使分享喜怒哀乐也能真诚互动，不忽略感受，不显得疏离。
B. “聊得来”是一种无需刻意讨好或费力解释的舒服状态，即使是琐碎小事也能自然接话，不怕冷场，不担心没意义。
C. “聊得来” 是一种无需提前准备或刻意迎合的自然状态，哪怕是分享琐碎小事，也能自然接话，不怕冷场。
D. “聊得来”是指不会因为怕对方尴尬而提前准备，也不会因为观点不同就急着反驳，哪怕是分享琐碎小事，也能自然接话，不怕冷场。
E. “聊得来” 是一种能轻松接住情绪且不敷衍回应的默契状态，即使分享喜怒哀乐也能真诚互动，不忽略感受，不显得疏离，相处起来不用刻意讨好也不用费力解释。
输出示例：
<你的思考过程>
[答案]
E
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[
"B"
] |
Moderate
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135f840d7bcc30f6a5b4ab6b05ae63d20ea264dcc224d90a2dd80e9908204bcb
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本杰明·富兰克林
本杰明·富兰克林[注 1] FRS FRSE（英语：Benjamin Franklin；1706年1月17日—1790年4月17日[3]），出生于英属北美殖民地马萨诸塞湾省（今属美国马萨诸塞州波士顿），美国开国元勋之一。其为政治家、外交家、科学家、发明家，同时亦是出版商、印刷商、记者、作家、慈善家、共济会的成员。作为科学家，他因电学发现和理论成为美国启蒙时代和物理学史上重要人物。作为发明家，他因避雷针、双目眼镜、富兰克林壁炉等闻名[4]。他创立了许多民间组织，包括费城消防站和宾夕法尼亚大学[5]。
富兰克林很早就不懈倡导殖民地团结，最初以作者和发言人身份在伦敦呼吁，被誉为“美国第一人”。作为美国驻法国第一任公使，他成为新生国家榜样[6]，其所领导的公使馆亦成为美国建国后最早的驻外代表机构。富兰克林在美国民族精神上起奠基作用，倡导实用节俭、艰苦奋斗、教育明哲、团体精神、自治政府，反对政治和宗教威权主义，富有启蒙运动的科学和包容精神。历史学家亨利·斯蒂尔·康马格[7]称：“富兰克林出清教徒精神而不染，濯启蒙运动光芒而不妖。”[8]沃尔特·艾萨克森认为这让富兰克林：“成为当时美国成就之最，在创立美国社会形式上影响最深”[9]。
费城是殖民地大都，富兰克林是该城成功的报纸编辑和出版人，在23岁时出版《宾夕法尼亚报》[10][11]。富兰克林用笔名“理查德·桑德斯”出版《穷理查年鉴》，由此致富。在1767年后，他参与《宾夕法尼亚纪事》报[12]，该报主张革命，批评英国政策。
1751年，富兰克林协助创办费城学院，担任首位校长，学院后为宾夕法尼亚大学。他组织创办美国哲学会，任首位秘书，在1769年担任主席。富兰克林代表众殖民地前往伦敦，力劝议会撤销不得人心的印花税法案，成为美国民族英雄。作为杰出外交家，他在法国巴黎大受欢迎，在建立积极的美法同盟上贡献巨大，这些努力在美国独立战争期间起关键作用，确保革命能从法国获得补给。
在费城做邮政多年后，富兰克林于1753年成为殖民地邮政代理总长，建立首个全国通讯系统。在革命期间，他成为美国首任邮政总长。富兰克林积极参与社区、殖民地、州际、全国、国际各项事务。1785至1788年，他担任宾夕法尼亚州长。最初，富兰克林拥有并贩售奴隶，但到1750年他释放仆人，从经济角度表示反对，成为废奴主义者中杰出代表。
富兰克林人生传奇多彩，科学与政治上遗产丰富，在众开国元勋中雄踞鳌头，之后两个世纪纪念不断，多次在美国硬币或纸币（半美元硬币／100美元纸币）、舰船、城县、学院、公司及各类文化活动再现。
祖先
母系
1667年8月15日，本杰明·富兰克林的母亲艾比亚·富尔家（Abiah Folger）在马萨诸塞州楠塔基特出生。外祖父彼得·富尔家是位磨坊主、教师。外祖母玛丽·莫雷尔曾是契约劳工。当英格兰国王查理一世开始迫害清教徒时，她一家为追求宗教自由率先出逃。1635年，她们坐船前往波士顿。外祖父那种“叛逆注定代表美洲殖民地。”[13]作为法院职员，外祖父不畏权贵豪强为中产店员和手艺人辩护，触犯地方长官入狱。本杰明·富兰克林效法外祖父，与宾州权贵威廉·佩恩唱对台戏。
父系
本杰明·富兰克林的父亲若西亚·富兰克林（Josiah Franklin）是位牛脂蜡烛匠，肥皂匠。1657年12月23日，若西亚生于英格兰北安普顿县。祖父托马斯·富兰克林是位铁匠，祖母是简·怀特。本杰明的父亲和所有祖辈都生于英格兰。
家庭
若西亚和两位妻子共生育17子女。1677年左右，他在埃克顿迎娶首位妻子安娜·蔡尔德，在生育3子女后于1683年来到波士顿，之后再来4人。妻子去世后，若西亚于1689年7月9日在老南聚会所迎娶艾比亚·富尔家，受到牧师山姆·维拉德祝福。本杰明是他们第8子，是父亲第15个孩子，儿子中老十，也是最小的儿子。
波士顿早年
1706年1月17日，本杰明·富兰克林在马萨诸塞州波士顿牛奶街出生，[3][14]在老南聚会所受洗。本杰明的哥哥是詹姆斯·富兰克林和他是若西亚·富兰克林17孩子之一，第二任妻子艾比亚·富尔家10孩子之一。他的哥哥是詹姆斯·富兰克林和妹妹简。
若西亚想要本杰明就读神学，由于拮据只读了两年。他就读波士顿拉丁学校，但没有毕业；随后自学。虽然“他的父母要他以教堂为业”[15]但富兰克林10岁时失学。他为父亲工作一段时间，12岁时做哥哥詹姆斯的学徒。詹姆斯是个印刷匠，带富兰克林进入出版行业。15岁时，詹姆斯创立《新英格兰报》[16]，是殖民地第一份完全独立的报纸。
富兰克林想要写文章出版，被拒后采用中年寡妇笔名赛伦斯·杜古德（Silence Dogood，即“沉默行善”）。杜古德夫人的信件得以发布，在小镇引发讨论。詹姆斯和报纸读者都没有注意到这个把戏，当被戳穿后，詹姆斯很不高兴。富兰克林很小就倡导言论自由。1722年，哥哥因文章触犯州长被关押三周，小富兰克林接管报纸，以杜古德夫人之名称（引用“加图信件”）：“没有思想自由就不会有智慧，没有言论自由就不会有公共自由。”[17]17岁时，富兰克林未经允许离家出走。[18]在途中，富兰克林打破了素食，吃了鳕鱼。[19]
费城
17岁的富兰克林逃到宾夕法尼亚州费城，想在新的城市开始新的生活。初到时，他在城里几家印刷店里工作，但感到不满意。几个月后，州长威廉·吉斯男爵劝说富兰克林去伦敦获取设备，建立一家新报社。在伦敦时，富兰克林注意到这个想法华而不实，就在印刷店做排版，现为史密斯菲尔德圣巴多罗买大教堂。托马斯·德纳姆是位商人，雇佣富兰克林做店员、图书管理员，在他的帮助下1726年富兰克林回到费城。[18]
共读社和图书馆
1727年，21岁的本杰明·富兰克林创立了共读社（Junto），组织一群“志同道合的工匠商贩在改良社区时自我提升。”共读社讨论时事，并在费城催生出许多其它组织。[21]共读社依照英国咖啡屋建立，咖啡屋是散布启蒙思想的中心。[22][23]
共读社最大消遣是阅读，但图书昂贵稀少。社员建立图书馆，彼此共享资料，富兰克林写道：
既然图书常在我们探讨时引用，我提议聚会时收集些书，方便我们查阅；通过募集图书馆，我们应该、也喜欢留存它们，每个人都能参阅他人书籍，可以说人人共有所有图书。[24]
这还是不够用。富兰克林提出建立会员图书馆，集资购书以供阅读。这导致费城图书公司[25]成立：1731年富兰克林撰写条例。1732年，富兰克林雇佣美国首位图书馆员路易斯·蒂莫西[26]。图书馆公司现为一家大型学术研究图书馆。[27]
报纸新闻
托马斯·德纳姆去世后，富兰克林回到老本行。1728年，富兰克林与休·梅雷迪思[30]一道建立印刷店；来年他开始出版报纸《宾夕法尼亚报》（The Pennsylvania Gazette）。报纸通过印刷文章和观察给予富兰克林激发当地改革和倡议的平台。经过一段时间，他的评论，以及敏锐塑造出一位勤劳聪明青年的正面形象，给他在社会上带来尊重。即便在富兰克林成为著名科学家和政治家后，他依然习惯性地用朴实的“本·富兰克林，印刷匠”（'B. Franklin, Printer'）签名。[18]
1732年，班杰明·富兰克林出版美洲第一版德语报纸《费城报》[31]，可一年后被新的德语报纸挤垮。[32]富兰克林用德语印刷摩拉维亚宗教书籍，常到访伯利恒的摩拉维亚弟太阳酒店。[33]1751年，在人口增长和对殖民地影响的手册里，他称德裔人“粗鲁的圣骑士”[34]，不能融入英语移民的“肤色”，称“黑色和黄褐色”是殖民地社会结构的弱点。虽然富兰克林显然很快反思，对之后的手册进行删节，但这种观念导致他日后在1764年的政治挫败。[35]
富兰克林视报纸为教导美国人道德的良好工具。在《班杰明·富兰克林的新闻》[36]中，拉尔夫·弗拉斯卡[37]认为他视其为侍奉上帝，富兰克林觉得道德在乎行为，因此行善就是侍奉上帝。虽然自己不怎么样，但富兰克林觉得自己胜任道德训诫。富兰克林通过连锁合作从卡罗来纳到新英格兰建立印刷网络，以此来尝试影响美国道德生活，由此创立首个新闻连锁业务。这不单单是做生意，和那时许多出版商一样，他认为出版有服务公共的义务。[38]
在1730年前一段时间，富兰克林在费城立足时，城里有两大“小可怜”[来源请求]报刊，安德鲁·布拉德福的《美国水星周报》[39]和塞缪尔·凯默《艺术科学综合指南及宾夕法尼亚报》[40]。每周刊登的艺术科学指南全部来自《钱伯斯综合字典》[41]。富兰克林接手后立刻删去“指南”，修订成为《宾夕法尼亚报》。报纸很快就成为富兰克林的性格摹写盘，他在上面自由地发表讽刺文章，展示自己的机警敏智，甚至纯粹是恶作剧或娱乐。从一开始，他就知道如何让自己的模式为自己所用。他写的一系列文章叫做《大忙人》[42]，这是他在1729年为布拉德福的《美国水星》写的，这一列文章以约瑟夫·艾迪生的风格为基础，并对其加以修改以使其适应当地情况。节俭的佩兴斯在自己的小店里忙忙碌碌，抱怨著那些浪费她宝贵时间的什么也没买的光顾者。佩兴斯取材于自称为“观众先生”的那些女士。大忙人本身就是一个真正的御用者，就像《闲谈者》上的毕克尔斯塔福一样。Ridentius、尤金尼厄斯、卡托，克里迪奥以及其他许多虚构的人物代表了传统的十八世纪的古典主义。即使在这一点上，富兰克林对当代进行讽刺，比如“索尔哲学家”克里斯蒂奥显然影射的就是富兰克林的对手塞缪尔·凯默。[来源请求]
随着时间推移，富兰克林不再依赖文学惯例，而是更多运用自己的内在幽默。在这一点上，他却没有发现他们所具备的新的精神，比如艾迪生的优良教养、或斯威夫特的尖刻讽刺或浦伯尖锐的完整性。富兰克林为自己的《宾夕法尼亚报》撰写的绝妙短篇在美国文学占据不朽地位。[来源请求]
和当时大多数报纸一样，《宾夕法尼亚报》印刷品质不好。富兰克林忙里忙外，无瑕提升机械设备标准，甚至没有对报上陈腐过时消息进行适当编辑校对。他对报业的实际影响并不大。[来源请求]另一方面，他刊登图书广告，对推广世俗文学兴趣盎然。毫无疑问，他的刊物对文化的贡献使得宾夕法尼亚在革命年代里与众不同。类似许多出版人，富兰克林在印刷店旁边搭建书店；在卖书时趁机阅读。[来源请求]
富兰克林计划跨殖民地建立新闻网络，提高收益，广布道义，收获一些成就。[43]1731年，他从南卡罗来纳州查尔斯顿开始。在第二位编辑去世后，编辑遗孀伊丽莎白·提莫西[44]在1738–46年接班，干的不错。她是殖民时期第一位女性印刷匠。[45]富兰克林在之后三十年里与她和她的儿子彼得关系不错，彼得在1746年接班。[46]报纸在政治辩论上保持中立，为公共讨论提供机会，鼓励他人挑战权威。彼得·提莫西回避武断粗鲁的偏见，在1765年英国危机爆发后力推爱国。[47]不过，富兰克林的《康涅狄格报》[48]没有成功。[49]
与德宝拉·里德的普通法婚姻
1723年，寄居里德家时17岁的富兰克林向15岁的德宝拉·里德（Deborah Read）求爱。当时，富兰克林依州长意见准备前往伦敦，前途未卜。里德母亲刚刚丧夫，拒绝了富兰克林对女儿的请求。[18]
在伦敦时，州长的支援不济，旅途不得不延长。等不及的德宝拉与约翰·罗杰斯[50]结合。这是个遗憾的决定，罗杰斯为躲债带着嫁妆逃到巴巴多斯不知下落。由于重婚法律约束，德宝拉不能再嫁。
1730年9月1日，富兰克林与德宝拉·里德建立普通法婚姻。他们接受富兰克林私生子威廉·富兰克林，将其带大。他们有两个孩子，儿子弗朗西斯·富尔家·富兰克林生于1732年10月，在1736年因天花去世。女儿莎拉·富兰克林生于1743年，与理查德·贝奇结婚，生育7子女，在父亲年老时照顾有加。
德宝拉害怕大海，不愿意与丈夫出使欧洲，另一个可能是本杰明怪罪德宝拉不让儿子接种疫苗以致大病。[51]1769年11月，德宝拉致信称因丈夫长年不在，自己“不满抑郁”生病，但本杰明办完事情后才回来。[52]1774年，德宝拉·里德·富兰克林中风去世，而本杰明依然在英格兰办事，直至1775年才回来。
威廉·富兰克林
1730年，24岁的富兰克林公开承认自己有儿子私生子威廉，母亲不明。[53]他在费城接受教育。30岁时，威廉在1760年代初在伦敦学习法律。威廉也有个私生子，威廉·谭波尔·富兰克林，生于1762年2月22日。母亲不详，孩子被寄养。1762年末，威廉迎娶巴巴多斯种植园主女儿伊丽莎白·唐斯[54]。在威廉通过司法考试后，1763年本杰明帮助他取得新泽西最后一任皇家州长任命。
威廉是个保皇党，在独立战争中与父亲决裂。老富兰克林无法接受儿子的立场。1776年，威廉被新泽西革命政府推翻，在珀斯安波易业主大楼囚禁了一段时间。1782年，威廉跑到英军驻扎的纽约。保皇党协会是个准军事化组织，总部在纽约，威廉成了协会领袖。 他们对新泽西、南康州、纽约北面进行游击战突袭。[55]当英军撤离时，威廉·富兰克林也一道前往英国。他住在伦敦，再没有回来。1782年在与英国和谈时，“ ... 本杰明·富兰克林坚持要求武力反抗美国的保皇党不纳入此条款（他们能得到大赦）。毫无疑问，他想着威廉·富兰克林。”[56]
共济会
1731年，富兰克林进入当地共济会，在1734年成为大师，反应他在宾州地位快速上升。[57][58]同年，他编辑出版共济会在美第一本书，翻版詹姆斯·安德森的《共济会宪章》[59]。富兰克林余生都是会员。[60][61]
成功作家
1733年，富兰克林开始以笔名理查·桑德斯（Richard Saunders）出版著名的《穷理查年鉴》（内容包括原创和引用），深受大众欢迎。富兰克林常常用笔名写作，这是毫无疑问的，但角色理查·桑德斯却反复否认。“穷理查箴言”，其中格言，如“一分钱省下贵如两便士”（常被误当做“一分钱省下就是一分钱挣得”）以及“来访的客人就像咸鱼，三天就会发臭”常被现代社会引用。世俗智慧就是在任何场合下给出恰当的格言，富兰克林的读者得以准备。每年能卖出一万本，成为常态。[62]1741年，富兰克林开始出版《英属美洲种植园综合杂志和历史纪事》[63]，是美国第一本月刊。
1758年，他不再续写年鉴，改印《父亲亚伯拉罕的布道》[64]，或《致富之路》[65]富兰克林的《自传》于1771年开始编辑，但在他逝世后出版，成为经典之作。
夏时制常被归于富兰克林在1784年匿名文章，这是错误。[66]现代夏时制由乔治·弗农·哈得孙于1895年提出。[67]
发明与科学
富兰克林是个惊人的发明家，有避雷针、玻璃琴、富兰克林壁炉、双光眼镜、灵便导尿管。富兰克林从未申请专利，在自传中他写道：“... 在享受他人发明极大便利时，我们应该做出发明，助人为乐；要自由慷慨。”[68]
电学
1746年，本杰明看到阿奇博德·斯宾塞[69]用静电做演讲，开始探索电学[70]富兰克林认为电的“vitreous”和“resinous”并非不同的流体（当时观点），而是同样的流体受到不同压力（威廉·沃森于同年独立提出）。富兰克林率先将其标注为正极和负极，[71][72]发现电荷守恒定律。[73]1748年，他制造多层电容，将11片玻璃夹住铅板，用丝线吊住，连接导线，自称“电池”（不是伏打电堆）。[74]
1753年，伦敦皇家学会表彰富兰克林科普利奖章；1756年，他成为十八世纪为数不多的美国院士。哈佛耶鲁向他颁发荣誉学位。[75]cgs单位电荷由他命名：1富兰克林（Fr）等于1静库仑。
1764年，老哈佛大堂失火，原先藏品全部被毁，富兰克林建议大学收集新电学实验设备。收集设备日后成为哈佛科学仪器历史典藏的一部分，现陈列在哈佛科学中心，对外开放。[76]
富兰克林一度研究心脏刺激疗法。[77]
风筝实验和避雷针
1750年[来源请求]，富兰克林出版实验，认为通过暴风雨放飞风筝可以证明闪电是放电现象。1752年5月10日，法国的托马斯-弗朗索瓦·达利巴尔[78]验证富兰克林实验，用40-英尺（12-米）铁棍代替风筝，从云端收集到电火花。6月15日，富兰克林可能在费城圣司提反圣公会教堂进行著名实验，从云端成功收集电火花。1752年10月19日，富兰克林在《宾夕法尼亚报》描述该实验，[79][80]但没有提到实验人是自己。[81]12月21日，该报告在皇家学会诵读，在《哲学快报》[82]刊登。[83]1767年，约瑟夫·普利斯特里在其《电学历史与现状》[84]中出版细则。富兰克林小心站在绝缘体上，在屋顶下避雨，以免遭到电击。[85]俄国格奥尔格·里奇曼教授进行类似的实验时被电击致命。
在文章里，富兰克林提到危险，并给出确保安全措施，如接地。富兰克林并未像流行小说叙述一般把风筝飞到天上被雷劈中，否则有生命之虞。[86]富兰克林放飞风筝，在乌云中收集电荷，说明打雷放电。[来源请求] 10月19日，富兰克林致信英国重复实验时写道：
雨水打湿风筝线让其导电，能发现电流不断流向指旁钥匙，用这个钥匙可以给小瓶，或莱顿瓶充电。从中得到的电火花[可以]用来进行所有电学实验，通常这是借助橡胶玻璃圆罩或管子完成的；因此打闪完全显明相同的电性质。[87]
富兰克林电学实验发明了避雷针。他称尖锐而非圆钝[88]的端顶能够远距离平静释放。他猜测安装“直立铁棍，尖如针头，镀金防锈，在棍底连接导线，通向建筑外地面... 棍顶便能够在乌云劈雷前安静吸收电火花，由此保护我们免遭突然可怕的伤害！” 在自己房子上做了一系列实验后，富兰克林推动费城学院（现宾州大学）和宾州大堂（后独立大厅）于1752年安装了避雷针。[89]
大西洋流
在做邮政代长时，富兰克林开始对北大西洋流感兴趣。1768年在英国时，他从殖民地海关局听到抱怨：为什么相比普通商船到罗得岛纽波特，英国送信邮船到纽约要多出几周？商船发自伦敦，航程更长更复杂，而邮船发自康沃尔县法尔茅斯。
富兰克林问自己的堂兄、楠塔基特捕鲸船长提莫太·福尔杰[90]，回复称商船规避强烈的向东海中央洋流。邮船则迎头驶入，顶着不利的3英里每小时（5千米每小时）洋流。富兰克林与福尔杰和其它老练船长一道研究，绘制洋流，称其为湾流。
1770年，富兰克林的湾流图在英国出版遇冷。之后，湾流图于1778年在法国、1786年在美国出版。原版是英国版，遇冷后被认为遗失，直到1980年伍兹霍尔海洋研究员、湾流专家菲尔·理查德森在巴黎法国国家图书馆重新发现。[91][92]《纽约时报》对其整版头条报道。[93]
英国船长多年后才采纳富兰克林导航建议；这使得航程缩短了两周。[94][95]1853年，海洋学家、制图师马太·方丹·莫里[96]注意到虽然富兰克林绘制编订了湾流，但他并不是发现者：
虽然富兰克林博士和提莫太·福尔杰船长率先将湾流绘入导航图，但湾流不能说是他们发现的，十六世纪的 皮特·德安吉拉和 汉弗莱·吉尔伯特爵士已经注意到它。[97]
人口研究
富兰克林对新兴的人口学产生重大影响。[98]托马斯·马尔萨斯因研究人口增长率著名，他称赞富兰克林的贡献。[99]卡曼[100]和德雷克[101]称富兰克林的《人口增长观察》[102]（1755年）与以斯拉·斯泰尔斯的《基督团体讲述》[103]（1760年）一道成为十八世纪美国盎格鲁裔人口学主要作品。；德鲁克认为富兰克林颇富“广大领导力和先见之名”。[104][105]
在1730-1740年代，富兰克林开始注意到人口增长，发现当时的美国人口增长速度世界之最。[106]富兰克林强调人口增长取决于食物供给（日后马尔萨斯加以发展），美国农田富饶多产。他计算美国人口每12年翻倍，在一个世纪内会超过英国。[107]1751年，他撰写《人口增长观察》。四年后，报告在波士顿匿名发表，很快在英国见面，影响了经济学家亚当·斯密和马尔萨斯。富兰克林的预测让英国领导人警觉，他们不愿意这样，希望对殖民地经济多加限制。[108]
富兰克林是奴隶人口研究的先锋，在1755年的文章里加以研究。[109]
光波理论
富兰克林和同时代的莱昂哈德·欧拉是少数支持克里斯蒂安·惠更斯光波论的科学家，当时的科学界无视光波论。十八世纪艾萨克·牛顿的微粒论占主流，直到1803年托马斯·杨的双缝实验才让多数科学家注意惠更斯理论。[110]
气象学
1743年10月21日，据流行传说，从西南吹来的乌云挡住富兰克林看月食。他注意到盛行风其实从东北吹过来，与预期正好相反。他从哥哥那里得知虽然波士顿在费城东北，同样那片乌云在月食后才到达波士顿。由此，他推断乌云没有顺着盛行风的方向飘移。这一观点大大影响了气象学。[111]
1783年，冰岛拉基火山喷发，以及之后1784年欧洲寒冬，富兰克林研究了这两个不相关事件的联系，在讲授中提到这些。[112]
牵引风筝
虽然本杰明·富兰克林以闪电风筝实验出名，他也用风筝在水面上拉人拖船。[113]乔治·波考克[114]的著作[115]中用风筝拉人漂过水面是得到富兰克林启发。[116]晚年，他提议用这一方式拖船。
冷却
一个热天里，富兰克林穿着湿衣服吹风比穿干衣服凉快，由此注意到制冷原理。为了更多理解现象，富兰克林做出实验。1758年暖和的一天，他在英国剑桥和科学家约翰·哈德里[117]一道往水银温度计喷乙醚，并用风箱吹风。[118]随着蒸腾继续，温度计读数下降至7 °F（−14 °C）。另一温度计常温读数维持在65 °F（18 °C）。在信件《蒸腾冷却》[119]富兰克林称：“看来人可以冻死在酷暑里。”
温度对导电性影响
据迈克尔·法拉第，虽然电解液化效应不能归功于富兰克林，但他对非导体冰的实验值得一提。[120]不过，宾州大学A·D·巴赫教授在1836年报告中称非导体加热导电效应，如气体，可以归功于富兰克林。富兰克林写道：“... 加热些许能够使一些非导体变得导电良好， ...”“... 水虽然是自然良好导体，冻冰时不再导电。”[121]
海洋学
年老的富兰克林汇集海洋学发现于《海事观测》[122]，1786年由哲学会《快报》出版。[123]文集包括海锚、双体船外壳、水密舱、船体避雷针和能在风暴天气保持稳定的汤碗。
决策
在1772年致约瑟夫·普利斯特里的信件里，富兰克林给出最初的正反列表，[124]这是常见的决策技巧，即决策平衡表：
... 我的办法是用条线把纸分两列，一边写正，另一边写反。在思考三四天后，我在两边记下笔记，记录支持或反对的不同动机。在统一意见时，我努力掂量；若一边一个，势均力敌，就都划去。若一个“正”差不多合两个“反”，就划掉三个。如果两个“反”约合三个“正”，就划去五个。这样，我看到表格平衡所在。如果一两天后没有重要新意，就由此决定了。[124]
水面浮油
坐船时，富兰克林注意到当厨子倒馊水时，船的尾迹不见了。他在伦敦克拉珀姆公地大池塘研究效果：“我用一壶油，倒一些在水面上 ... 虽然不过一勺子，但立刻让几平方码的水面平静下来。”之后，他在“手杖中空藏油”，用这个把戏来“平静水面”。[125]
音乐
富兰克林能够演奏小提琴、竖琴和吉他。他也能谱曲，如古典乐弦乐四重奏。在伦敦时，他制造了改良的玻璃琴，与之前的相反是玻璃在杆子上转动，乐手手指握住。他与伦敦玻璃匠人查尔斯·詹姆斯[126]一道制作，类似乐器很快出现在欧洲其它地区。[127]
国际象棋
富兰克林好玩国际象棋。他从1733年玩起，使得他成为殖民地第一位知名棋手。[128]1786年12月，他在《哥伦比亚》杂志上发表《国际象棋之道》[129]是美国第二篇有关国际象棋的文章。[128]文章大赞国际象棋，给出下棋行为准则，多次再版译文。[130][131][132][133]他和朋友用下棋来学习意大利语，赢家布置语法作业，输家下次要背诵出来。[134]
做公务员及出使英国（欧洲比美国棋下得好）时，富兰克林棋逢高手，得以进步。他常去伦敦老屠夫咖啡屋[135]下棋社交，与要人接触。到访及日后出使巴黎时，他去了知名的Café de la Régence，法国最佳棋手定时汇聚咖啡屋。他的棋局没有记录，无法用现代尺度衡量。[136]
1999年，富兰克林进入美国世界国际象棋名人堂。[128]费城富兰克林商业国际象棋俱乐部[137]是美国第二老的国际象棋俱乐部，以他名字命名。
经历
1736年本杰明·富兰克林组建了北美第一支志愿消防队。
本杰明·富兰克林1743年开始筹备一家学院，八年后学院成立，即为宾州大学的前身。与此同时，他开始研究电及其他科学问题。
1748年，本杰明·富兰克林退出了他的印刷生意，不过他仍然能从他的合伙人手中分得印刷店可观的利润，亦因此有时间进行他各项发明和研究，当中包括了他对电的研究。
1751年本杰明·富兰克林在宾夕法尼亚州成立了一家医院。这医院日后成为全美国的首家医院。
本杰明·富兰克林同时是一名出色的公职人员。不过他亦因为曾以权力替亲人谋求进昇，使他的公务生涯蒙上污点。他最重要的政治成就包括改革北美的邮政系统，以及出任外交职位，分别代表北美殖民地与宗主国英国打交道，以及之后出使法国。
1754年，他率领宾夕法尼亚州代表参加在纽约州奥尔巴尼举行的殖民地大会，提出各殖民联合的计划。虽然当时计划没有被接纳，但当中的不少内容之后被放进了美国的宪法内。1757年，他代表宾夕法尼亚州人到英国向英王陈述，居住了五年，期间向英国人民及政府官员阐述了殖民地的状况和意见。牛津大学因为他在科学上的成就，在这段时间颁赠他荣誉博士学位。他亦是在这段时间为威廉·富兰克林奔走，使他成功当上新泽西州的州长。
1764年本杰明·富兰克林再度代表宾夕法尼亚州到英格兰。在伦敦时他极力反对1765年英国对殖民地开征的《印花税法案》。但是本杰明·富兰克林同时为他的私交朋友取得美洲印花税代理人的职位，他的诚信令民众支持度大为受损。一般相信这次事件令本杰明·富兰克林在日后再没有当上更高民选职位。纵使他令这法案成功得到取消，公众对他的支持已不再复返。但他仍然为美洲殖民地效力，在美国革命前替殖民地向英国陈情。这亦导致了本杰明·富兰克林和他效忠英王的私生子威廉·富兰克林决裂。
1767年，本杰明·富兰克林到了法国，受到法国人的热烈欢迎。1775年3月，从英国伦敦回到北美洲。之后于费城，他被选为英国北美殖民地大陆会议的成员，参与起草《美国独立宣言》。1776年，富兰克林被派到法国任代表美国的专员，一直至1785年。在任其间他很受法国社会各阶层的欢迎，有些富有的法国家族甚至流行以他的画像装饰画廊。本杰明·富兰克林出使法国十分成功，取得对初生美国来说非常重要的法美军事同盟，以及谈判签订了1783年的《1783年巴黎条约》。当本杰明·富兰克林在1785年回到美国时，他对美国独立所作出的贡献只在华盛顿之下。
1787年，已经退休的本杰明·富兰克林出席了修改美国宪法的会议，成为唯一同时签署美国三项最重要法案文件的建国先贤。这三份文件分别是：《独立宣言》，《1783年巴黎条约》，以及1787年的《美国宪法》。在这一年，富兰克林捐款修建了以他命名的富兰克林·马歇尔大学。
鲜有人知的是[来源请求]，本杰明·富兰克林虽是美国著名的建国元勋，但在美国革命爆发以前，他主要是作为外交人员，亦曾经强烈反对北美革命。在看到英国不可能继续维持美洲殖民地统治之后，他才成为独立运动的热切支持者。直至1780年，他仍然考虑呼吁容许英国保持对美洲的主权，以换取殖民地的高度自治。
美德、宗教和个人信仰
富兰克林强调：唯有当人民是贞洁的，新共和国才可能生存。他的一生便在探索这公民角色与个人美德之间的关系，就像Poor Richard所表达的箴言一样。他认为有组织的宗教需留有好男人及他们的同胞，但他自己却很少出席礼拜。当富兰克林在巴黎会见了伏尔泰，便请这位了不起的传道士保佑他的孙子，伏尔泰用英文说了“上帝和自由”，并加上这句话－“这是致赠给富兰克林先生的孙子唯一适当的祝福”。
富兰克林的双亲皆为虔诚的清教徒[138]，他们加入了波士顿的老南教堂，这是波士顿最自由的清教徒会堂，富兰克林也于1706年在那里受洗礼[139]。他的父亲（一位贫困可怜的杂货商）拥有科顿·马瑟的著作《Bonnifacius (Essays to do Good)》的抄本，富兰克林经常认为这对他的人生产生了关键性影响。富兰克林的第一个笔名“Silence Dogood”就是在向这本书与马瑟后来一篇知名的布道文致敬。书中亦提及成立志愿协会对社会的好处，从科顿·马瑟身上，富兰克林得知成立这个协会将会对社会产生贡献，但富兰克林的组织能力才是影响美国人忍让个性的最主要因素[140]。
富兰克林在1728年公开了他的信仰并出版了这本书，书中并未提及诸多清教徒们的思想，像救世、地狱、耶稣的神威等等。他也在1776年的自传中澄清，自己身为一位自然神论者，仍然保有着对上帝的坚强的信念：道德善良的人们及清教徒对美国独立的责任。（它便是富兰克林在1787年6月的宪法大会中，告诉人们每日祷告词的实践内容。）在第一次大觉醒期间，富兰克林对于福音派长老乔治·怀特腓来说，是一个热心的支持者。富兰克林并不强力支持怀特腓的理论，但对于“借由做好事来规劝人们崇拜上帝”这部分，他却是敬仰怀特腓的。富兰克林出版了怀特腓所有的布道和日志，也因此促进了大觉醒。当富兰克林停止去教会后，他在他的自传中写道： “星期天是我学习的日子，而且我未曾怀疑过，就像神的存在－祂创造了这个世界，并以祂的远见来治理，最令人接受的服务，便是对人类做些有益的事；我们的灵魂是不朽的，不论现在或未来，所有的罪犯都将受到惩处，而坚贞的美德都将受到赞赏。”
道德十三条
1726年富兰克林20岁，试图总结出道德十三条，并在日后实践。在自传中，他列出：
“节制：食不过饱，饮不过量；”
“节言：于人于己不利的话不说，避免琐碎的闲聊；”
“秩序：物件有所归，办事有定时；”
“决心：该做的事情一定要做，决心要做的事情一定要做好；”
“节俭：花钱要于人于己有利，决不浪费；”
“勤劳：珍惜时间， 时间要花在做有用的事情上，力戒无意义的举动；”
“诚实：力戒虚伪欺诈，心存良知与公正，说话亦如此；”
“正直：不做有损他人的事情，要做对人们有益的事情，这是你的义务；”
“中庸：不走极端， 别人对你的冒犯， 若是正当，就要善于容忍；”
“整洁：身体、衣物以及住所，要保持清洁；”
“宁静：对待琐事、平常事或者不可避免之事，不可自扰；”
“贞节：不要纵欲过度，有伤身体，切忌损害自己或者他人的安宁和名誉；”
“谦虚：仿效耶稣与苏格拉底。”
富兰克林不是一蹴而就，而是每周一项，“等到一种美德养成了习惯，再实行下一项”。富兰克林没有完全做到，许多时候自认失败，但这极大地促进自己进步，有助成功与幸福，因而在自传里用了更多篇幅研究该计划，写道：“因此我希望，我的一些子嗣能够从效法榜样中获益。”[141]
奴隶制
富兰克林少年时，英殖民地的非裔奴隶制度泛滥，没有受到任何阻力。[142]在他一生中，费城奴隶颇多。1750年，费城半数有产人蓄奴。城市码头工人有15%被奴役。富兰克林蓄奴至多时有7人，2男在家里和店里工作。富兰克林张贴贩奴广告和追逃悬赏，在店里销售奴隶。他在国际和国内奴隶贸易中取利，甚至在1740-50战争期间批评那些逃到英军的奴隶。但是，富兰克林之后变成了“谨慎废奴者”，发言批评。1758年，富兰克林倡议开设学校，为费城奴隶提供教育。去英国时，富兰克林带来彼得和金两奴隶随行，1756年，金在那里离开。1758年，金为“萨福克的一位夫人”工作。[143]根据普通法系和之后的尚利诉哈维案，富兰克林能否追回金存疑，但他没有下手。
1762年回来后，富兰克林更加反对奴隶制。到1770年，他释放自己的奴隶，攻击奴隶制和贩奴贸易。不过，他拒绝在1787年制宪会议公开讨论。[144]他倾向两边倒，没有彻底与奴隶制划分界限。[145][146]
晚年时，国会被迫讨论奴隶制问题，富兰克林发文数篇强调废奴和黑人融入社会的重要性。这些文章包括：
《致信公众》（1789年）
《改善自由黑人的计划》（1789年）
《西迪·麦哈穆·易卜拉欣与奴隶贸易》[147]（1790年）[148]
1790年，纽约和宾州贵格会向国会递交废奴请愿书。他们得到宾州废奴会和会长富兰克林的支持。[149]
逝世后
富兰克林在1790年4月17日逝世，与其妻合葬在费城Christ Church的墓地。
1928年以后每张百元美钞上都印有本杰明·富兰克林的肖像，再加上美元身为世界主要流通货币的重要性，导致本杰明·富兰克林的长相广为世界各地不少人所熟悉。
美国在线曾于2005年举办了票选活动《最伟大的美国人》，当中富兰克林获选为美国最伟大人物的第五位[150]。
著作
《富兰克林自传》，中文版1929上海商务印书馆；
《富兰克林自传》1956，中文版1958三联书店。
备注
又译范克廉[2]
参考文献
Isaac Norris
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Inventor. The Franklin Institute. [2012-04-25]. （原始内容存档于2007-03-05）.
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Henry Steele Commager
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穷理查的年鉴
H.W. Brands. The First American: The Life and Times of Benjamin Franklin （页面存档备份，存于互联网档案馆）. (2010). p. 390.
Pennsylvania Chronicle
Isaacson 2003, p. 14
Contemporary records, which used the Julian calendar and the Annunciation Style of enumerating years, recorded his birth as January 6, 1705. The provisions of the British Calendar (New Style) Act 1750, implemented in 1752, altered the official British dating method to the Gregorian calendar with the start of the year on January 1 (it had been March 25). These changes resulted in dates being moved forward 11 days, and for those between January 1 and March 25, an advance of one year. For a further explanation, see: Old Style and New Style dates.
——. Introduction. Autobiography of Benjamin Franklin. Macmillan's pocket English and American classics. New York: Macmillan. 1901: vi [1771] [2011-02-01]. （原始内容存档于2019-06-08）.
The New-England Courant
Isaacson, (2003) p. 32
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On the importance of the Junto see Michael D. Mumford, "Social innovation: ten cases from Benjamin Franklin." Creativity research journal (2002) 14#2 pp. 253–66.
David Waldstreicher, ed., A Companion to Benjamin Franklin (2011) p. 30
J. A. Leo Lemay, The Life of Benjamin Franklin, Volume 2: Printer and Publisher, 1730–1747 (2005) pp. 92–94, 123
Murray, Stuart A.P. The library: an illustrated history. New York: Skyhorse Pub. 2009. ISBN 978-1602397064.
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Benjamin Franklin's Journalism
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Frasca, Ralph. Benjamin Franklin's Journalism. Fides et Historia. 1997, 29 (1): 60–72.
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Baker, Ira L. Elizabeth Timothy: America's First Woman Editor. Journalism Quarterly. 1977, 54 (2): 280–85. doi:10.1177/107769907705400207.
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Smith, Jeffery A. Impartiality and Revolutionary Ideology: Editorial Policies of the 'South-Carolina Gazette,' 1732–1735. Journal of Southern History. 1993, 49 (4): 511–26.
（Connecticut Gazette，1755–68年）
Frasca, Ralph. 'I am now about to establish a small Printing Office ... at Newhaven': Benjamin Franklin and the First Newspaper in Connecticut. Connecticut History. 2003, 44 (1): 77–87.
John Rodgers
Coss, Stephen. "What Led Benjamin Franklin to Live Estranged From His Wife for Nearly Two Decades?" （页面存档备份，存于互联网档案馆）, Smithsonian Magazine (September 2017).
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Lemay, Leo. Franklin, Benjamin (1706–1790). 《牛津国家人物传记大辞典》 线上版. 牛津大学出版社. 2014 [2004]. doi:10.1093/ref:odnb/52466. 需要订阅或英国公共图书馆会员资格
Van Doren 1938，第109页.
The General Magazine and Historical Chronicle for all the British Plantations in America
Father Abraham's Sermon
The Way to Wealth
Benjamin Franklin, writing anonymously. Aux auteurs du Journal. Journal de Paris (Duke University Press). 1784-04-26, 28 (117): 23. ISSN 0002-9831. JSTOR 2922719. doi:10.2307/2922719 （法语）. Revised English version （页面存档备份，存于互联网档案馆） retrieved on March 11, 2008.
G. V. Hudson. On seasonal time. Trans Proc R Soc N Z. 1898, 31: 577–88 [2018-06-08]. （原始内容存档于2010-05-23）.
Benjamin Franklin. Part three. The Autobiography of Benjamin Franklin. [2018-06-01]. （原始内容存档于2009-02-13）.
Archibald Spencer
Science and Medicine. Colonial America Reference Library. Encyclopedia.com. 2016 [2017-02-27]. （原始内容存档于2018-12-03）. Franklin's interest in electricity originated when he saw a traveling scientific lecturer, Archibald Spencer, perform an "electricity show" in Boston, Massachusetts.
Franklin, Benjamin. Letter to Peter Collinson. Franklin Papers. 1747-05-25 [2016-05-01]. （原始内容存档于2017-10-20）.
"Benjamin Franklin (1706–1790)" （页面存档备份，存于互联网档案馆）, Science World, from Eric Weisstein's World of Scientific Biography.
Conservation of Charge. [2006-02-15]. （原始内容存档于2008-02-18）.. Archived February 18, 2008.
Franklin, Benjamin. Letter to Peter Collinson. 1749-04-29 [2016-04-23]. （原始内容存档于2017-12-17）.
Va Doren 1938，第168页.
Tomase, Jennifer. 'A How-To Guide' explores Ben Franklin's 'can-do' legacy. Harvard University Gazette. 2006-06-01 [2016-08-09]. （原始内容存档于2010-07-25）.
* Schiffer, Michael B, Draw the Lightning Down: Benjamin Franklin and Electrical Technology in the Age of Enlightenment, pp. 136-137, 301, University of California Press, 2006 ISBN 0520248295.
Thomas-François Dalibard
Benjamin Franklin, "The Kite Experiment" （页面存档备份，存于互联网档案馆）, printed in The Pennsylvania Gazette, October 19, 1752. In The Papers of Benjamin Franklin, The American Philosophical Society and Yale University; digital edition by The Packard Humanities Institute, Vol. 4, p. 360a. Retrieved February 6, 2017
Historical Society, Benjamin Franklin History （页面存档备份，存于互联网档案馆）. Retrieved February 6, 2017
Steven Johnson (2008) The Invention of Air, p. 39 ISBN 978-1594484018. Retrieved February 6, 2017
Philosophical Transactions
National Archives, The Kite Experiment, 19 October 1752 （页面存档备份，存于互联网档案馆）. Retrieved February 6, 2017
History and Present Status of Electricity
Van Doren 1938，第159页.
Franklin's Kite （页面存档备份，存于互联网档案馆）, Museum of Science, Boston.
Wolf, A., History of Science, Technology, and Philosophy in the Eighteenth Century. New York, 1939. p. 232
Lightning Rods: Franklin Had It Wrong. New York Times. 1983-06-14 [2018-03-16]. （原始内容存档于2018-03-17）.
Krider, Philip. Benjamin Franklin and Lightning Rods. Physics Today: 42. January 2006 [2017-01-01]. doi:10.1063/1.2180176. （原始内容存档于2021-04-08）. |volume=被忽略 (帮助)
Timothy Folger
Philip L. Richardson (February 8, 1980), "Benjamin Franklin and Timothy Folger's first printed chart of the Gulf Stream", Science, vol. 207, no. 4431, pp. 643–45.
"How Franklin's chart resurfaced" （页面存档备份，存于互联网档案馆）, The Philadelphia Inquirer, posted December 18, 2005, accessed November 26, 2010
John N. Wilford, "Prints of Franklin's chart of Gulf Stream found", New York Times (N.Y., N.Y.), pp. A1, B7 (February 6, 1980).
1785: Benjamin Franklin's "Sundry Maritime Observations," The Academy of Natural Sciences, April 1939 m
1785: Benjamin Franklin's 'Sundry Maritime Observations' . 互联网档案馆的存档，存档日期October 2, 2008，. NOAA Ocean Explorer.
Matthew Fontaine Maury
Source: Explanations and Sailing Directions to Accompany the Wind and Current Charts, 1853, p. 53, by Matthew Fontaine Maury
Dr. Alan Houston. Benjamin Franklin and the Politics of Improvement. Yale U.P. 2008: 106–41 [2018-06-03]. ISBN 0300152396. （原始内容存档于2019-06-08）.
I. Bernard Cohen. The Triumph Of Numbers: How Counting Shaped Modern Life. W. W. Norton. 2005: 87 [2018-06-03]. ISBN 978-0393057690. （原始内容存档于2019-06-06）.
Kammen (1990)
Drake (2011)
Observations Concerning the Increase of Mankind, Peopling of Countries, etc.
Ezra Stiles' "Discourse on Christian Union"
James David Drake. The Nation's Nature: How Continental Presumptions Gave Rise to the United States of America. U. of Virginia Press. 2011: 63 [2018-06-03]. ISBN 978-0813931227. （原始内容存档于2019-06-07）.
Michael G. Kammen. People of Paradox: An Inquiry Concerning the Origins of American Civilization. Cornell U.P. 1990: 81 [2018-06-03]. ISBN 0801497558. （原始内容存档于2019-06-02）.
J. A. Leo Lemay. The Life of Benjamin Franklin, Volume 3: Soldier, Scientist, and Politician, 1748–1757. U. of Pennsylvania Press. 2008: 245 [2018-06-03]. ISBN 0812241215. （原始内容存档于2019-06-01）.
Isaacson 2003, p. 150
Owen Aldridge, Alfred. Franklin as Demographer. Journal of Economic History. 1949, 9 (1): 25–44. JSTOR 2113719.
George William Van Cleve. A Slaveholders' Union: Slavery, Politics, and the Constitution in the Early American Republic. U. of Chicago Press. 2010: 148 [2018-06-03]. ISBN 978-0226846699. （原始内容存档于2019-06-02）.
Jogn Gribbin, "In search of Schrödinger's cat", Black Swan, p. 12
Heidorn, Keith C. Heidorn, PhD. Eclipsed By Storm. （页面存档备份，存于互联网档案馆） The Weather Doctor. October 1, 2003.
存档副本. [2018-06-04]. （原始内容存档于2018-06-15）.
Fisher, Sydney George. The True Benjamin Franklin 5. Philadelphia: J. B. Lippincott Company. 1903: 19 [2018-06-04]. （原始内容存档于2017-10-20）.
George Pocock
A TREATISE on The Aeropleustic Art, or Navigation in the Air, by means of Kites, or Buoyant Sails
Pocock, George. A TREATISE on The Aeropleustic Art, or Navigation in the Air, by means of Kites, or Buoyant Sails. London: Longmans, Brown, and Co. 1851: 9 [2018-06-04]. （原始内容存档于2019-06-04）.
John Hadley
The Writings of Benjamin Franklin: London, 1757–1775. Historycarper.com. [2010-09-14]. （原始内容存档于2011-01-28）.
Cooling by Evaporation
Faraday, Michael. Experimental researches in electricity 2. R. & J.E. Taylor. 1839: v. ... Franklin's experiments on the non-conduction of ice ...
Jones, Thomas P. Journal of the Franklin Institute of the State of Pennsylvania. Pergamon Press. 1836: 182–83. In the fourth series of his electrical researches, Mr. Faraday ...
Maritime Observations
Price, Richard; Thomas, David Oswald; Peach, Bernard. The Correspondence of Richard Price: February 1786 – February 1791. Duke University Press. 1994: 23 [2009-10-02]. ISBN 0822313278.
Franklin, Benjamin. To Joseph Priestley. Willcox, William Bradford (编). The papers of Benjamin Franklin: January 1 through December 31, 1772 19. New Haven: Yale University Press. 1975: 299–300 [1772] [2018-06-03]. ISBN 0300018657. OCLC 310601. （原始内容存档于2017-10-20）.
*W. Gratzer, Eurekas and Euphorias, pp. 80–81
Charles James
Bloch, Thomas. The Glassharmonica. （页面存档备份，存于互联网档案馆） GFI Scientific.
John McCrary, Chess and Benjamin Franjegherhklin-His Pioneering Contributions （页面存档备份，存于互联网档案馆） (PDF). Retrieved on April 26, 2009.
"The Morals of Chess" in Columbian magazine
David Hooper and Kenneth Whyld, The Oxford Companion to Chess, Oxford University Press (2nd ed. 1992), p. 145. ISBN 0198661649.
The essay appears in Marcello Truzzi (ed.), Chess in Literature, Avon Books, 1974, pp. 14–15. ISBN 0380001640.
The essay appears in a book by the felicitously named Norman Knight, Chess Pieces, CHESS magazine, Sutton Coldfield, England (2nd ed. 1968), pp. 5–6. ISBN 0380001640.
Franklin's essay is also reproduced at the U.S. Chess Center Museum and Hall of Fame （页面存档备份，存于互联网档案馆） in Washington, D.C. Retrieved December 3, 2008.
William Temple Franklin, Memoirs of the Life and Writings of Benjamin Franklin, reprinted in Knight, Chess Pieces, pp. 136–37.
Old Slaughter's Coffee House
The History of Chess in Fifty Moves, by Bill Price, Firefly Books (U.S.) Inc., Buffalo, New York, 2015, ISBN 978-1770855298, pp. 90–95
The Franklin Mercantile Chess Club
Isaacson, 2003, pp. 5–18
Old South Church. Isaacson, 2003, p. 15. Oldsouth.org. [2009-09-21]. （原始内容存档于2008-05-31）.
Isaacson, 2003, p. 102
Autobiography of Benjamin Franklin page 38 forward （页面存档备份，存于互联网档案馆） by Benjamin Franklin
Bordewich, Fergus M. The First Congress. Simon & Shuster. 2016: 199. ISBN 978-1451691931.
Isaacson, Walter. Chapter Eight. Benjamin Franklin: An American Life. New York: Simon & Schuster. 2003.
Waldstreicher, David. "Benjamin Franklin, Slavery, and the Founders: On the dangers of reading backwards." Common-place.org. 04, no. 4 (July 2004). http://common-place.org/book/benjamin-franklin-slavery-and-the-founders-on-the-dangers-of-reading-backwards/ （页面存档备份，存于互联网档案馆）
Hoffer (2011), pp. 30–31
Waldstreicher (2004), pp. xii, xiii
Sidi Mehemet Ibrahim on the Slave Trade
Myra Jehlen, Michael Warner, editors, The English Literatures of America, 1500–1800, Psychology Press, p. 891 （页面存档备份，存于互联网档案馆） 1997, ISBN 0415919037
Benjamin Franklin for The Pennsylvania Abolition Society to the United States Congress, The memorial of the Pennsylvania Society for promoting the Abolition of Slavery, the relief of free Negroes unlawfully held in bondage, and the Improvement of the Conditions of the African Race (February 3, 1790)
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T4. Summarization & Synthesis
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T4.2 Query-Focused Summary
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在富兰克林的生平中，他作为科学家与发明家的贡献往往被政治成就掩盖。请在不涉及其政治、外交与出版活动的前提下，给出摘要梳理他在自然科学与技术领域的主要研究与发明成果，并说明这些成果如何影响了18世纪的社会生产与科学观念，不超过200字。先输出“[答案]”标识符，再输出摘要内容，不要输出任何其他内容。
输出示例：
[答案]
你的摘要
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在富兰克林的生平中，他作为科学家与发明家的贡献往往被政治成就掩盖。请在不涉及其政治、外交与出版活动的前提下，给出摘要梳理他在自然科学与技术领域的主要研究与发明成果，并说明这些成果如何影响了18世纪的社会生产与科学观念，不超过200字。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出摘要内容。
输出示例：
<你的思考过程>
[答案]
你的摘要
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[
"富兰克林在电学研究中提出正负电概念，并通过风筝实验证明闪电本质是电，从而发明避雷针，湾流研究缩短了航行时间大幅提升了18世纪建筑与航海安全。他还改进富兰克林壁炉，提高燃烧效率，推动能源利用；发明双光眼镜和玻璃琴，改善日常生活与艺术表现。这些成果不仅服务社会生产，也强化了启蒙时期“自然规律可被理性探究和应用”的科学观念。",
"作为科学家，富兰克林确立了电荷守恒原理，提出电学术语并通过实验揭示自然界规律。他通过风筝实验证明闪电本质是电，并发明避雷针，使城市与船只免受雷击；湾流图优化航路缩时；富兰克林壁炉改进采暖效率，节省木材资源；双光眼镜便利了学者与工匠的工作。18世纪社会因此更重视科学实用价值，理性实验精神成为推动技术与工业改良的重要启蒙。",
"富兰克林的自然科学贡献集中在电学与实用发明。他通过风筝实验证明闪电是电现象，避雷针因此成为普及性防护工具；发现湾流规律，优化航海；富兰克林壁炉改善供暖条件，提高了能源利用率；双光眼镜与灵便导尿管等发明提升了生活质量。这些成果在18世纪直接改善生产和生活条件，同时彰显科学探究能转化为社会效益，强化了启蒙运动中的科学理性理念。"
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85ff2146fa66e434fa429638c6eead7c75c0a6692d3ded2124590e583f0546a0
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中华人民共和国治安管理处罚法
（2005年8月28日第十届全国人民代表大会常务委员会第十七次会议通过 根据2012年10月26日第十一届全国人民代表大会常务委员会第二十九次会议《关于修改〈中华人民共和国治安管理处罚法〉的决定》修正 2025年6月27日第十四届全国人民代表大会常务委员会第十六次会议修订）
目 录
第一章 总 则
第二章 处罚的种类和适用
第三章 违反治安管理的行为和处罚
第一节 扰乱公共秩序的行为和处罚
第二节 妨害公共安全的行为和处罚
第三节 侵犯人身权利、财产权利的行为和处罚
第四节 妨害社会管理的行为和处罚
第四章 处罚程序
第一节 调 查
第二节 决 定
第三节 执 行
第五章 执法监督
第六章 附 则
第一章 总 则
第一条 为了维护社会治安秩序，保障公共安全，保护公民、法人和其他组织的合法权益，规范和保障公安机关及其人民警察依法履行治安管理职责，根据宪法，制定本法。
第二条 治安管理工作坚持中国共产党的领导，坚持综合治理。
各级人民政府应当加强社会治安综合治理，采取有效措施，预防和化解社会矛盾纠纷，增进社会和谐，维护社会稳定。
第三条 扰乱公共秩序，妨害公共安全，侵犯人身权利、财产权利，妨害社会管理，具有社会危害性，依照《中华人民共和国刑法》的规定构成犯罪的，依法追究刑事责任；尚不够刑事处罚的，由公安机关依照本法给予治安管理处罚。
第四条 治安管理处罚的程序，适用本法的规定；本法没有规定的，适用《中华人民共和国行政处罚法》、《中华人民共和国行政强制法》的有关规定。
第五条 在中华人民共和国领域内发生的违反治安管理行为，除法律有特别规定的外，适用本法。
在中华人民共和国船舶和航空器内发生的违反治安管理行为，除法律有特别规定的外，适用本法。
在外国船舶和航空器内发生的违反治安管理行为，依照中华人民共和国缔结或者参加的国际条约，中华人民共和国行使管辖权的，适用本法。
第六条 治安管理处罚必须以事实为依据，与违反治安管理的事实、性质、情节以及社会危害程度相当。
实施治安管理处罚，应当公开、公正，尊重和保障人权，保护公民的人格尊严。
办理治安案件应当坚持教育与处罚相结合的原则，充分释法说理，教育公民、法人或者其他组织自觉守法。
第七条 国务院公安部门负责全国的治安管理工作。县级以上地方各级人民政府公安机关负责本行政区域内的治安管理工作。
治安案件的管辖由国务院公安部门规定。
第八条 违反治安管理行为对他人造成损害的，除依照本法给予治安管理处罚外，行为人或者其监护人还应当依法承担民事责任。
违反治安管理行为构成犯罪，应当依法追究刑事责任的，不得以治安管理处罚代替刑事处罚。
第九条 对于因民间纠纷引起的打架斗殴或者损毁他人财物等违反治安管理行为，情节较轻的，公安机关可以调解处理。
调解处理治安案件，应当查明事实，并遵循合法、公正、自愿、及时的原则，注重教育和疏导，促进化解矛盾纠纷。
经公安机关调解，当事人达成协议的，不予处罚。经调解未达成协议或者达成协议后不履行的，公安机关应当依照本法的规定对违反治安管理行为作出处理，并告知当事人可以就民事争议依法向人民法院提起民事诉讼。
对属于第一款规定的调解范围的治安案件，公安机关作出处理决定前，当事人自行和解或者经人民调解委员会调解达成协议并履行，书面申请经公安机关认可的，不予处罚。
第二章 处罚的种类和适用
第十条 治安管理处罚的种类分为：
（一）警告；
（二）罚款；
（三）行政拘留；
（四）吊销公安机关发放的许可证件。
对违反治安管理的外国人，可以附加适用限期出境或者驱逐出境。
第十一条 办理治安案件所查获的毒品、淫秽物品等违禁品，赌具、赌资，吸食、注射毒品的用具以及直接用于实施违反治安管理行为的本人所有的工具，应当收缴，按照规定处理。
违反治安管理所得的财物，追缴退还被侵害人；没有被侵害人的，登记造册，公开拍卖或者按照国家有关规定处理，所得款项上缴国库。
第十二条 已满十四周岁不满十八周岁的人违反治安管理的，从轻或者减轻处罚；不满十四周岁的人违反治安管理的，不予处罚，但是应当责令其监护人严加管教。
第十三条 精神病人、智力残疾人在不能辨认或者不能控制自己行为的时候违反治安管理的，不予处罚，但是应当责令其监护人加强看护管理和治疗。间歇性的精神病人在精神正常的时候违反治安管理的，应当给予处罚。尚未完全丧失辨认或者控制自己行为能力的精神病人、智力残疾人违反治安管理的，应当给予处罚，但是可以从轻或者减轻处罚。
第十四条 盲人或者又聋又哑的人违反治安管理的，可以从轻、减轻或者不予处罚。
第十五条 醉酒的人违反治安管理的，应当给予处罚。
醉酒的人在醉酒状态中，对本人有危险或者对他人的人身、财产或者公共安全有威胁的，应当对其采取保护性措施约束至酒醒。
第十六条 有两种以上违反治安管理行为的，分别决定，合并执行处罚。行政拘留处罚合并执行的，最长不超过二十日。
第十七条 共同违反治安管理的，根据行为人在违反治安管理行为中所起的作用，分别处罚。
教唆、胁迫、诱骗他人违反治安管理的，按照其教唆、胁迫、诱骗的行为处罚。
第十八条 单位违反治安管理的，对其直接负责的主管人员和其他直接责任人员依照本法的规定处罚。其他法律、行政法规对同一行为规定给予单位处罚的，依照其规定处罚。
第十九条 为了免受正在进行的不法侵害而采取的制止行为，造成损害的，不属于违反治安管理行为，不受处罚；制止行为明显超过必要限度，造成较大损害的，依法给予处罚，但是应当减轻处罚；情节较轻的，不予处罚。
第二十条 违反治安管理有下列情形之一的，从轻、减轻或者不予处罚：
（一）情节轻微的；
（二）主动消除或者减轻违法后果的；
（三）取得被侵害人谅解的；
（四）出于他人胁迫或者诱骗的；
（五）主动投案，向公安机关如实陈述自己的违法行为的；
（六）有立功表现的。
第二十一条 违反治安管理行为人自愿向公安机关如实陈述自己的违法行为，承认违法事实，愿意接受处罚的，可以依法从宽处理。
第二十二条 违反治安管理有下列情形之一的，从重处罚：
（一）有较严重后果的；
（二）教唆、胁迫、诱骗他人违反治安管理的；
（三）对报案人、控告人、举报人、证人打击报复的；
（四）一年以内曾受过治安管理处罚的。
第二十三条 违反治安管理行为人有下列情形之一，依照本法应当给予行政拘留处罚的，不执行行政拘留处罚：
（一）已满十四周岁不满十六周岁的；
（二）已满十六周岁不满十八周岁，初次违反治安管理的；
（三）七十周岁以上的；
（四）怀孕或者哺乳自己不满一周岁婴儿的。
前款第一项、第二项、第三项规定的行为人违反治安管理情节严重、影响恶劣的，或者第一项、第三项规定的行为人在一年以内二次以上违反治安管理的，不受前款规定的限制。
第二十四条 对依照本法第十二条规定不予处罚或者依照本法第二十三条规定不执行行政拘留处罚的未成年人，公安机关依照《中华人民共和国预防未成年人犯罪法》的规定采取相应矫治教育等措施。
第二十五条 违反治安管理行为在六个月以内没有被公安机关发现的，不再处罚。
前款规定的期限，从违反治安管理行为发生之日起计算；违反治安管理行为有连续或者继续状态的，从行为终了之日起计算。
第三章 违反治安管理的行为和处罚
第一节 扰乱公共秩序的行为和处罚
第二十六条 有下列行为之一的，处警告或者五百元以下罚款；情节较重的，处五日以上十日以下拘留，可以并处一千元以下罚款：
（一）扰乱机关、团体、企业、事业单位秩序，致使工作、生产、营业、医疗、教学、科研不能正常进行，尚未造成严重损失的；
（二）扰乱车站、港口、码头、机场、商场、公园、展览馆或者其他公共场所秩序的；
（三）扰乱公共汽车、电车、城市轨道交通车辆、火车、船舶、航空器或者其他公共交通工具上的秩序的；
（四）非法拦截或者强登、扒乘机动车、船舶、航空器以及其他交通工具，影响交通工具正常行驶的；
（五）破坏依法进行的选举秩序的。
聚众实施前款行为的，对首要分子处十日以上十五日以下拘留，可以并处二千元以下罚款。
第二十七条 在法律、行政法规规定的国家考试中，有下列行为之一，扰乱考试秩序的，处违法所得一倍以上五倍以下罚款，没有违法所得或者违法所得不足一千元的，处一千元以上三千元以下罚款；情节较重的，处五日以上十五日以下拘留：
（一）组织作弊的；
（二）为他人组织作弊提供作弊器材或者其他帮助的；
（三）为实施考试作弊行为，向他人非法出售、提供考试试题、答案的；
（四）代替他人或者让他人代替自己参加考试的。
第二十八条 有下列行为之一，扰乱体育、文化等大型群众性活动秩序的，处警告或者五百元以下罚款；情节严重的，处五日以上十日以下拘留，可以并处一千元以下罚款：
（一）强行进入场内的；
（二）违反规定，在场内燃放烟花爆竹或者其他物品的；
（三）展示侮辱性标语、条幅等物品的；
（四）围攻裁判员、运动员或者其他工作人员的；
（五）向场内投掷杂物，不听制止的；
（六）扰乱大型群众性活动秩序的其他行为。
因扰乱体育比赛、文艺演出活动秩序被处以拘留处罚的，可以同时责令其六个月至一年以内不得进入体育场馆、演出场馆观看同类比赛、演出；违反规定进入体育场馆、演出场馆的，强行带离现场，可以处五日以下拘留或者一千元以下罚款。
第二十九条 有下列行为之一的，处五日以上十日以下拘留，可以并处一千元以下罚款；情节较轻的，处五日以下拘留或者一千元以下罚款：
（一）故意散布谣言，谎报险情、疫情、灾情、警情或者以其他方法故意扰乱公共秩序的；
（二）投放虚假的爆炸性、毒害性、放射性、腐蚀性物质或者传染病病原体等危险物质扰乱公共秩序的；
（三）扬言实施放火、爆炸、投放危险物质等危害公共安全犯罪行为扰乱公共秩序的。
第三十条 有下列行为之一的，处五日以上十日以下拘留或者一千元以下罚款；情节较重的，处十日以上十五日以下拘留，可以并处二千元以下罚款：
（一）结伙斗殴或者随意殴打他人的；
（二）追逐、拦截他人的；
（三）强拿硬要或者任意损毁、占用公私财物的；
（四）其他无故侵扰他人、扰乱社会秩序的寻衅滋事行为。
第三十一条 有下列行为之一的，处十日以上十五日以下拘留，可以并处二千元以下罚款；情节较轻的，处五日以上十日以下拘留，可以并处一千元以下罚款：
（一）组织、教唆、胁迫、诱骗、煽动他人从事邪教活动、会道门活动、非法的宗教活动或者利用邪教组织、会道门、迷信活动，扰乱社会秩序、损害他人身体健康的；
（二）冒用宗教、气功名义进行扰乱社会秩序、损害他人身体健康活动的；
（三）制作、传播宣扬邪教、会道门内容的物品、信息、资料的。
第三十二条 违反国家规定，有下列行为之一的，处五日以上十日以下拘留；情节严重的，处十日以上十五日以下拘留：
（一）故意干扰无线电业务正常进行的；
（二）对正常运行的无线电台（站）产生有害干扰，经有关主管部门指出后，拒不采取有效措施消除的；
（三）未经批准设置无线电广播电台、通信基站等无线电台（站）的，或者非法使用、占用无线电频率，从事违法活动的。
第三十三条 有下列行为之一，造成危害的，处五日以下拘留；情节较重的，处五日以上十五日以下拘留：
（一）违反国家规定，侵入计算机信息系统或者采用其他技术手段，获取计算机信息系统中存储、处理或者传输的数据，或者对计算机信息系统实施非法控制的；
（二）违反国家规定，对计算机信息系统功能进行删除、修改、增加、干扰的；
（三）违反国家规定，对计算机信息系统中存储、处理、传输的数据和应用程序进行删除、修改、增加的；
（四）故意制作、传播计算机病毒等破坏性程序的；
（五）提供专门用于侵入、非法控制计算机信息系统的程序、工具，或者明知他人实施侵入、非法控制计算机信息系统的违法犯罪行为而为其提供程序、工具的。
第三十四条 组织、领导传销活动的，处十日以上十五日以下拘留；情节较轻的，处五日以上十日以下拘留。
胁迫、诱骗他人参加传销活动的，处五日以上十日以下拘留；情节较重的，处十日以上十五日以下拘留。
第三十五条 有下列行为之一的，处五日以上十日以下拘留或者一千元以上三千元以下罚款；情节较重的，处十日以上十五日以下拘留，可以并处五千元以下罚款：
（一）在国家举行庆祝、纪念、缅怀、公祭等重要活动的场所及周边管控区域，故意从事与活动主题和氛围相违背的行为，不听劝阻，造成不良社会影响的；
（二）在英雄烈士纪念设施保护范围内从事有损纪念英雄烈士环境和氛围的活动，不听劝阻的，或者侵占、破坏、污损英雄烈士纪念设施的；
（三）以侮辱、诽谤或者其他方式侵害英雄烈士的姓名、肖像、名誉、荣誉，损害社会公共利益的；
（四）亵渎、否定英雄烈士事迹和精神，或者制作、传播、散布宣扬、美化侵略战争、侵略行为的言论或者图片、音视频等物品，扰乱公共秩序的；
（五）在公共场所或者强制他人在公共场所穿着、佩戴宣扬、美化侵略战争、侵略行为的服饰、标志，不听劝阻，造成不良社会影响的。
第二节 妨害公共安全的行为和处罚
第三十六条 违反国家规定，制造、买卖、储存、运输、邮寄、携带、使用、提供、处置爆炸性、毒害性、放射性、腐蚀性物质或者传染病病原体等危险物质的，处十日以上十五日以下拘留；情节较轻的，处五日以上十日以下拘留。
第三十七条 爆炸性、毒害性、放射性、腐蚀性物质或者传染病病原体等危险物质被盗、被抢或者丢失，未按规定报告的，处五日以下拘留；故意隐瞒不报的，处五日以上十日以下拘留。
第三十八条 非法携带枪支、弹药或者弩、匕首等国家规定的管制器具的，处五日以下拘留，可以并处一千元以下罚款；情节较轻的，处警告或者五百元以下罚款。
非法携带枪支、弹药或者弩、匕首等国家规定的管制器具进入公共场所或者公共交通工具的，处五日以上十日以下拘留，可以并处一千元以下罚款。
第三十九条 有下列行为之一的，处十日以上十五日以下拘留；情节较轻的，处五日以下拘留：
（一）盗窃、损毁油气管道设施、电力电信设施、广播电视设施、水利工程设施、公共供水设施、公路及附属设施或者水文监测、测量、气象测报、生态环境监测、地质监测、地震监测等公共设施，危及公共安全的；
（二）移动、损毁国家边境的界碑、界桩以及其他边境标志、边境设施或者领土、领海基点标志设施的；
（三）非法进行影响国（边）界线走向的活动或者修建有碍国（边）境管理的设施的。
第四十条 盗窃、损坏、擅自移动使用中的航空设施，或者强行进入航空器驾驶舱的，处十日以上十五日以下拘留。
在使用中的航空器上使用可能影响导航系统正常功能的器具、工具，不听劝阻的，处五日以下拘留或者一千元以下罚款。
盗窃、损坏、擅自移动使用中的其他公共交通工具设施、设备，或者以抢控驾驶操纵装置、拉扯、殴打驾驶人员等方式，干扰公共交通工具正常行驶的，处五日以下拘留或者一千元以下罚款；情节较重的，处五日以上十日以下拘留。
第四十一条 有下列行为之一的，处五日以上十日以下拘留，可以并处一千元以下罚款；情节较轻的，处五日以下拘留或者一千元以下罚款：
（一）盗窃、损毁、擅自移动铁路、城市轨道交通设施、设备、机车车辆配件或者安全标志的；
（二）在铁路、城市轨道交通线路上放置障碍物，或者故意向列车投掷物品的；
（三）在铁路、城市轨道交通线路、桥梁、隧道、涵洞处挖掘坑穴、采石取沙的；
（四）在铁路、城市轨道交通线路上私设道口或者平交过道的。
第四十二条 擅自进入铁路、城市轨道交通防护网或者火车、城市轨道交通列车来临时在铁路、城市轨道交通线路上行走坐卧，抢越铁路、城市轨道，影响行车安全的，处警告或者五百元以下罚款。
第四十三条 有下列行为之一的，处五日以下拘留或者一千元以下罚款；情节严重的，处十日以上十五日以下拘留，可以并处一千元以下罚款：
（一）未经批准，安装、使用电网的，或者安装、使用电网不符合安全规定的；
（二）在车辆、行人通行的地方施工，对沟井坎穴不设覆盖物、防围和警示标志的，或者故意损毁、移动覆盖物、防围和警示标志的；
（三）盗窃、损毁路面井盖、照明等公共设施的；
（四）违反有关法律法规规定，升放携带明火的升空物体，有发生火灾事故危险，不听劝阻的；
（五）从建筑物或者其他高空抛掷物品，有危害他人人身安全、公私财产安全或者公共安全危险的。
第四十四条 举办体育、文化等大型群众性活动，违反有关规定，有发生安全事故危险，经公安机关责令改正而拒不改正或者无法改正的，责令停止活动，立即疏散；对其直接负责的主管人员和其他直接责任人员处五日以上十日以下拘留，并处一千元以上三千元以下罚款；情节较重的，处十日以上十五日以下拘留，并处三千元以上五千元以下罚款，可以同时责令六个月至一年以内不得举办大型群众性活动。
第四十五条 旅馆、饭店、影剧院、娱乐场、体育场馆、展览馆或者其他供社会公众活动的场所违反安全规定，致使该场所有发生安全事故危险，经公安机关责令改正而拒不改正的，对其直接负责的主管人员和其他直接责任人员处五日以下拘留；情节较重的，处五日以上十日以下拘留。
第四十六条 违反有关法律法规关于飞行空域管理规定，飞行民用无人驾驶航空器、航空运动器材，或者升放无人驾驶自由气球、系留气球等升空物体，情节较重的，处五日以上十日以下拘留。
飞行、升放前款规定的物体非法穿越国（边）境的，处十日以上十五日以下拘留。
第三节 侵犯人身权利、财产权利的行为和处罚
第四十七条 有下列行为之一的，处十日以上十五日以下拘留，并处一千元以上二千元以下罚款；情节较轻的，处五日以上十日以下拘留，并处一千元以下罚款：
（一）组织、胁迫、诱骗不满十六周岁的人或者残疾人进行恐怖、残忍表演的；
（二）以暴力、威胁或者其他手段强迫他人劳动的；
（三）非法限制他人人身自由、非法侵入他人住宅或者非法搜查他人身体的。
第四十八条 组织、胁迫未成年人在不适宜未成年人活动的经营场所从事陪酒、陪唱等有偿陪侍活动的，处十日以上十五日以下拘留，并处五千元以下罚款；情节较轻的，处五日以下拘留或者五千元以下罚款。
第四十九条 胁迫、诱骗或者利用他人乞讨的，处十日以上十五日以下拘留，可以并处二千元以下罚款。
反复纠缠、强行讨要或者以其他滋扰他人的方式乞讨的，处五日以下拘留或者警告。
第五十条 有下列行为之一的，处五日以下拘留或者一千元以下罚款；情节较重的，处五日以上十日以下拘留，可以并处一千元以下罚款：
（一）写恐吓信或者以其他方法威胁他人人身安全的；
（二）公然侮辱他人或者捏造事实诽谤他人的；
（三）捏造事实诬告陷害他人，企图使他人受到刑事追究或者受到治安管理处罚的；
（四）对证人及其近亲属进行威胁、侮辱、殴打或者打击报复的；
（五）多次发送淫秽、侮辱、恐吓等信息或者采取滋扰、纠缠、跟踪等方法，干扰他人正常生活的；
（六）偷窥、偷拍、窃听、散布他人隐私的。
有前款第五项规定的滋扰、纠缠、跟踪行为的，除依照前款规定给予处罚外，经公安机关负责人批准，可以责令其一定期限内禁止接触被侵害人。对违反禁止接触规定的，处五日以上十日以下拘留，可以并处一千元以下罚款。
第五十一条 殴打他人的，或者故意伤害他人身体的，处五日以上十日以下拘留，并处五百元以上一千元以下罚款；情节较轻的，处五日以下拘留或者一千元以下罚款。
有下列情形之一的，处十日以上十五日以下拘留，并处一千元以上二千元以下罚款：
（一）结伙殴打、伤害他人的；
（二）殴打、伤害残疾人、孕妇、不满十四周岁的人或者七十周岁以上的人的；
（三）多次殴打、伤害他人或者一次殴打、伤害多人的。
第五十二条 猥亵他人的，处五日以上十日以下拘留；猥亵精神病人、智力残疾人、不满十四周岁的人或者有其他严重情节的，处十日以上十五日以下拘留。
在公共场所故意裸露身体隐私部位的，处警告或者五百元以下罚款；情节恶劣的，处五日以上十日以下拘留。
第五十三条 有下列行为之一的，处五日以下拘留或者警告；情节较重的，处五日以上十日以下拘留，可以并处一千元以下罚款：
（一）虐待家庭成员，被虐待人或者其监护人要求处理的；
（二）对未成年人、老年人、患病的人、残疾人等负有监护、看护职责的人虐待被监护、看护的人的；
（三）遗弃没有独立生活能力的被扶养人的。
第五十四条 强买强卖商品，强迫他人提供服务或者强迫他人接受服务的，处五日以上十日以下拘留，并处三千元以上五千元以下罚款；情节较轻的，处五日以下拘留或者一千元以下罚款。
第五十五条 煽动民族仇恨、民族歧视，或者在出版物、信息网络中刊载民族歧视、侮辱内容的，处十日以上十五日以下拘留，可以并处三千元以下罚款；情节较轻的，处五日以下拘留或者三千元以下罚款。
第五十六条 违反国家有关规定，向他人出售或者提供个人信息的，处十日以上十五日以下拘留；情节较轻的，处五日以下拘留。
窃取或者以其他方法非法获取个人信息的，依照前款的规定处罚。
第五十七条 冒领、隐匿、毁弃、倒卖、私自开拆或者非法检查他人邮件、快件的，处警告或者一千元以下罚款；情节较重的，处五日以上十日以下拘留。
第五十八条 盗窃、诈骗、哄抢、抢夺或者敲诈勒索的，处五日以上十日以下拘留或者二千元以下罚款；情节较重的，处十日以上十五日以下拘留，可以并处三千元以下罚款。
第五十九条 故意损毁公私财物的，处五日以下拘留或者一千元以下罚款；情节较重的，处五日以上十日以下拘留，可以并处三千元以下罚款。
第六十条 以殴打、侮辱、恐吓等方式实施学生欺凌，违反治安管理的，公安机关应当依照本法、《中华人民共和国预防未成年人犯罪法》的规定，给予治安管理处罚、采取相应矫治教育等措施。
学校违反有关法律法规规定，明知发生严重的学生欺凌或者明知发生其他侵害未成年学生的犯罪，不按规定报告或者处置的，责令改正，对其直接负责的主管人员和其他直接责任人员，建议有关部门依法予以处分。
第四节 妨害社会管理的行为和处罚
第六十一条 有下列行为之一的，处警告或者五百元以下罚款；情节严重的，处五日以上十日以下拘留，可以并处一千元以下罚款：
（一）拒不执行人民政府在紧急状态情况下依法发布的决定、命令的；
（二）阻碍国家机关工作人员依法执行职务的；
（三）阻碍执行紧急任务的消防车、救护车、工程抢险车、警车或者执行上述紧急任务的专用船舶通行的；
（四）强行冲闯公安机关设置的警戒带、警戒区或者检查点的。
阻碍人民警察依法执行职务的，从重处罚。
第六十二条 冒充国家机关工作人员招摇撞骗的，处十日以上十五日以下拘留，可以并处一千元以下罚款；情节较轻的，处五日以上十日以下拘留。
冒充军警人员招摇撞骗的，从重处罚。
盗用、冒用个人、组织的身份、名义或者以其他虚假身份招摇撞骗的，处五日以下拘留或者一千元以下罚款；情节较重的，处五日以上十日以下拘留，可以并处一千元以下罚款。
第六十三条 有下列行为之一的，处十日以上十五日以下拘留，可以并处五千元以下罚款；情节较轻的，处五日以上十日以下拘留，可以并处三千元以下罚款：
（一）伪造、变造或者买卖国家机关、人民团体、企业、事业单位或者其他组织的公文、证件、证明文件、印章的；
（二）出租、出借国家机关、人民团体、企业、事业单位或者其他组织的公文、证件、证明文件、印章供他人非法使用的；
（三）买卖或者使用伪造、变造的国家机关、人民团体、企业、事业单位或者其他组织的公文、证件、证明文件、印章的；
（四）伪造、变造或者倒卖车票、船票、航空客票、文艺演出票、体育比赛入场券或者其他有价票证、凭证的；
（五）伪造、变造船舶户牌，买卖或者使用伪造、变造的船舶户牌，或者涂改船舶发动机号码的。
第六十四条 船舶擅自进入、停靠国家禁止、限制进入的水域或者岛屿的，对船舶负责人及有关责任人员处一千元以上二千元以下罚款；情节严重的，处五日以下拘留，可以并处二千元以下罚款。
第六十五条 有下列行为之一的，处十日以上十五日以下拘留，可以并处五千元以下罚款；情节较轻的，处五日以上十日以下拘留或者一千元以上三千元以下罚款：
（一）违反国家规定，未经注册登记，以社会团体、基金会、社会服务机构等社会组织名义进行活动，被取缔后，仍进行活动的；
（二）被依法撤销登记或者吊销登记证书的社会团体、基金会、社会服务机构等社会组织，仍以原社会组织名义进行活动的；
（三）未经许可，擅自经营按照国家规定需要由公安机关许可的行业的。
有前款第三项行为的，予以取缔。被取缔一年以内又实施的，处十日以上十五日以下拘留，并处三千元以上五千元以下罚款。
取得公安机关许可的经营者，违反国家有关管理规定，情节严重的，公安机关可以吊销许可证件。
第六十六条 煽动、策划非法集会、游行、示威，不听劝阻的，处十日以上十五日以下拘留。
第六十七条 从事旅馆业经营活动不按规定登记住宿人员姓名、有效身份证件种类和号码等信息的，或者为身份不明、拒绝登记身份信息的人提供住宿服务的，对其直接负责的主管人员和其他直接责任人员处五百元以上一千元以下罚款；情节较轻的，处警告或者五百元以下罚款。
实施前款行为，妨害反恐怖主义工作进行，违反《中华人民共和国反恐怖主义法》规定的，依照其规定处罚。
从事旅馆业经营活动有下列行为之一的，对其直接负责的主管人员和其他直接责任人员处一千元以上三千元以下罚款；情节严重的，处五日以下拘留，可以并处三千元以上五千元以下罚款：
（一）明知住宿人员违反规定将危险物质带入住宿区域，不予制止的；
（二）明知住宿人员是犯罪嫌疑人员或者被公安机关通缉的人员，不向公安机关报告的；
（三）明知住宿人员利用旅馆实施犯罪活动，不向公安机关报告的。
第六十八条 房屋出租人将房屋出租给身份不明、拒绝登记身份信息的人的，或者不按规定登记承租人姓名、有效身份证件种类和号码等信息的，处五百元以上一千元以下罚款；情节较轻的，处警告或者五百元以下罚款。
房屋出租人明知承租人利用出租房屋实施犯罪活动，不向公安机关报告的，处一千元以上三千元以下罚款；情节严重的，处五日以下拘留，可以并处三千元以上五千元以下罚款。
第六十九条 娱乐场所和公章刻制、机动车修理、报废机动车回收行业经营者违反法律法规关于要求登记信息的规定，不登记信息的，处警告；拒不改正或者造成后果的，对其直接负责的主管人员和其他直接责任人员处五日以下拘留或者三千元以下罚款。
第七十条 非法安装、使用、提供窃听、窃照专用器材的，处五日以下拘留或者一千元以上三千元以下罚款；情节较重的，处五日以上十日以下拘留，并处三千元以上五千元以下罚款。
第七十一条 有下列行为之一的，处一千元以上三千元以下罚款；情节严重的，处五日以上十日以下拘留，并处一千元以上三千元以下罚款：
（一）典当业工作人员承接典当的物品，不查验有关证明、不履行登记手续的，或者违反国家规定对明知是违法犯罪嫌疑人、赃物而不向公安机关报告的；
（二）违反国家规定，收购铁路、油田、供电、电信、矿山、水利、测量和城市公用设施等废旧专用器材的；
（三）收购公安机关通报寻查的赃物或者有赃物嫌疑的物品的；
（四）收购国家禁止收购的其他物品的。
第七十二条 有下列行为之一的，处五日以上十日以下拘留，可以并处一千元以下罚款；情节较轻的，处警告或者一千元以下罚款：
（一）隐藏、转移、变卖、擅自使用或者损毁行政执法机关依法扣押、查封、冻结、扣留、先行登记保存的财物的；
（二）伪造、隐匿、毁灭证据或者提供虚假证言、谎报案情，影响行政执法机关依法办案的；
（三）明知是赃物而窝藏、转移或者代为销售的；
（四）被依法执行管制、剥夺政治权利或者在缓刑、暂予监外执行中的罪犯或者被依法采取刑事强制措施的人，有违反法律、行政法规或者国务院有关部门的监督管理规定的行为的。
第七十三条 有下列行为之一的，处警告或者一千元以下罚款；情节较重的，处五日以上十日以下拘留，可以并处一千元以下罚款：
（一）违反人民法院刑事判决中的禁止令或者职业禁止决定的；
（二）拒不执行公安机关依照《中华人民共和国反家庭暴力法》、《中华人民共和国妇女权益保障法》出具的禁止家庭暴力告诫书、禁止性骚扰告诫书的；
（三）违反监察机关在监察工作中、司法机关在刑事诉讼中依法采取的禁止接触证人、鉴定人、被害人及其近亲属保护措施的。
第七十四条 依法被关押的违法行为人脱逃的，处十日以上十五日以下拘留；情节较轻的，处五日以上十日以下拘留。
第七十五条 有下列行为之一的，处警告或者五百元以下罚款；情节较重的，处五日以上十日以下拘留，并处五百元以上一千元以下罚款：
（一）刻划、涂污或者以其他方式故意损坏国家保护的文物、名胜古迹的；
（二）违反国家规定，在文物保护单位附近进行爆破、钻探、挖掘等活动，危及文物安全的。
第七十六条 有下列行为之一的，处一千元以上二千元以下罚款；情节严重的，处十日以上十五日以下拘留，可以并处二千元以下罚款：
（一）偷开他人机动车的；
（二）未取得驾驶证驾驶或者偷开他人航空器、机动船舶的。
第七十七条 有下列行为之一的，处五日以上十日以下拘留；情节严重的，处十日以上十五日以下拘留，可以并处二千元以下罚款：
（一）故意破坏、污损他人坟墓或者毁坏、丢弃他人尸骨、骨灰的；
（二）在公共场所停放尸体或者因停放尸体影响他人正常生活、工作秩序，不听劝阻的。
第七十八条 卖淫、嫖娼的，处十日以上十五日以下拘留，可以并处五千元以下罚款；情节较轻的，处五日以下拘留或者一千元以下罚款。
在公共场所拉客招嫖的，处五日以下拘留或者一千元以下罚款。
第七十九条 引诱、容留、介绍他人卖淫的，处十日以上十五日以下拘留，可以并处五千元以下罚款；情节较轻的，处五日以下拘留或者一千元以上二千元以下罚款。
第八十条 制作、运输、复制、出售、出租淫秽的书刊、图片、影片、音像制品等淫秽物品或者利用信息网络、电话以及其他通讯工具传播淫秽信息的，处十日以上十五日以下拘留，可以并处五千元以下罚款；情节较轻的，处五日以下拘留或者一千元以上三千元以下罚款。
前款规定的淫秽物品或者淫秽信息中涉及未成年人的，从重处罚。
第八十一条 有下列行为之一的，处十日以上十五日以下拘留，并处一千元以上二千元以下罚款：
（一）组织播放淫秽音像的；
（二）组织或者进行淫秽表演的；
（三）参与聚众淫乱活动的。
明知他人从事前款活动，为其提供条件的，依照前款的规定处罚。
组织未成年人从事第一款活动的，从重处罚。
第八十二条 以营利为目的，为赌博提供条件的，或者参与赌博赌资较大的，处五日以下拘留或者一千元以下罚款；情节严重的，处十日以上十五日以下拘留，并处一千元以上五千元以下罚款。
第八十三条 有下列行为之一的，处十日以上十五日以下拘留，可以并处五千元以下罚款；情节较轻的，处五日以下拘留或者一千元以下罚款：
（一）非法种植罂粟不满五百株或者其他少量毒品原植物的；
（二）非法买卖、运输、携带、持有少量未经灭活的罂粟等毒品原植物种子或者幼苗的；
（三）非法运输、买卖、储存、使用少量罂粟壳的。
有前款第一项行为，在成熟前自行铲除的，不予处罚。
第八十四条 有下列行为之一的，处十日以上十五日以下拘留，可以并处三千元以下罚款；情节较轻的，处五日以下拘留或者一千元以下罚款：
（一）非法持有鸦片不满二百克、海洛因或者甲基苯丙胺不满十克或者其他少量毒品的；
（二）向他人提供毒品的；
（三）吸食、注射毒品的；
（四）胁迫、欺骗医务人员开具麻醉药品、精神药品的。
聚众、组织吸食、注射毒品的，对首要分子、组织者依照前款的规定从重处罚。
吸食、注射毒品的，可以同时责令其六个月至一年以内不得进入娱乐场所、不得擅自接触涉及毒品违法犯罪人员。违反规定的，处五日以下拘留或者一千元以下罚款。
第八十五条 引诱、教唆、欺骗或者强迫他人吸食、注射毒品的，处十日以上十五日以下拘留，并处一千元以上五千元以下罚款。
容留他人吸食、注射毒品或者介绍买卖毒品的，处十日以上十五日以下拘留，可以并处三千元以下罚款；情节较轻的，处五日以下拘留或者一千元以下罚款。
第八十六条 违反国家规定，非法生产、经营、购买、运输用于制造毒品的原料、配剂的，处十日以上十五日以下拘留；情节较轻的，处五日以上十日以下拘留。
第八十七条 旅馆业、饮食服务业、文化娱乐业、出租汽车业等单位的人员，在公安机关查处吸毒、赌博、卖淫、嫖娼活动时，为违法犯罪行为人通风报信的，或者以其他方式为上述活动提供条件的，处十日以上十五日以下拘留；情节较轻的，处五日以下拘留或者一千元以上二千元以下罚款。
第八十八条 违反关于社会生活噪声污染防治的法律法规规定，产生社会生活噪声，经基层群众性自治组织、业主委员会、物业服务人、有关部门依法劝阻、调解和处理未能制止，继续干扰他人正常生活、工作和学习的，处五日以下拘留或者一千元以下罚款；情节严重的，处五日以上十日以下拘留，可以并处一千元以下罚款。
第八十九条 饲养动物，干扰他人正常生活的，处警告；警告后不改正的，或者放任动物恐吓他人的，处一千元以下罚款。
违反有关法律、法规、规章规定，出售、饲养烈性犬等危险动物的，处警告；警告后不改正的，或者致使动物伤害他人的，处五日以下拘留或者一千元以下罚款；情节较重的，处五日以上十日以下拘留。
未对动物采取安全措施，致使动物伤害他人的，处一千元以下罚款；情节较重的，处五日以上十日以下拘留。
驱使动物伤害他人的，依照本法第五十一条的规定处罚。
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Chinese
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8k
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T6. Aggregation & Clustering
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T6.3 Global Frequency Analysis
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Full
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将给定术语按照其在上述文本中出现的次数降序排列。先输出“[答案]”标识符，再按行输出排序后的术语，不要输出任何其他内容。
给定术语：治安管理处罚，公安机关，拘留
输出示例：
[答案]
治安管理处罚
拘留
公安机关
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将给定术语按照其在上述文本中出现的次数降序排列。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的术语。
给定术语：治安管理处罚，公安机关，拘留
输出示例：
<你的思考过程>
[答案]
治安管理处罚
拘留
公安机关
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[
"拘留",
"公安机关",
"治安管理处罚"
] |
Easy
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684997fdb4a5d235f0b6e6d293e56e8b50aacea8caffd08806640f1887cc4919
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理论动态丨深刻认识习近平新时代中国特色社会主义思想的原创性贡献——习近平新时代中国特色社会主义思想理论研讨会发言摘要
进一步深刻把握高质量发展的科学内涵
李雪松（中国社会科学院副院长、党组成员）
第一段：高质量发展，就是能够很好满足人民日益增长的美好生活需要的发展，是体现新发展理念的发展。习近平总书记强调，高质量发展要从供给、需求、投入产出、分配、宏观经济循环等多个方面看，为我们进一步深刻把握高质量发展的科学内涵提供了根本遵循。推动高质量发展不仅要从供给方面着手，也要从需求、投入产出、分配、宏观经济循环等方面大力推进。
第二段：在供给方面，要加快建设现代化产业体系。推动高质量发展，首先要从供给方面着力。要坚持传统产业、新兴产业、未来产业并重，着力改造升级传统产业，发展壮大新兴产业，积极培育未来产业，因地制宜发展新质生产力。通过政府引导、企业参与、市场激励等手段，加快推动基础材料、工业母机和工业软件等重要领域的国产替代，增强我国产业链供应链自主可控能力。着力规范地方政府招商引资行为，将招商引资工作重点从拼政策优惠转变到优化营商环境、提高服务水平上来。各地要立足自身条件，发展特色产业，实施差异化竞争，因地制宜发展新质生产力，避免在新兴产业发展中出现“内卷式”竞争。
第三段：在需求方面，要加快建设强大国内市场。推动高质量发展，也要重视从需求方面发力。实施更加积极的财政政策，增加专项债发行额度，优化地方政府化债方案。实施适度宽松的货币政策。大力提振消费，研究扩大“消费品以旧换新”覆盖范围，进一步优化房地产政策，更大力度推动房地产市场止跌回稳。扩大有效投资，着力推进城市更新，加快地下管网和新型基础设施建设，推进城中村和危旧房改造。从放宽准入、减少限制、优化监管等方面入手，扩大健康、养老、助残、托幼、家政等多元化服务供给。健全落实《中华人民共和国民营经济促进法》的细化政策体系，提升民营企业投资安全感和投资信心。
第四段：在投入产出方面，要不断提高全要素生产率。推动高质量发展，要注重提高投入产出效率。加快推动科技创新，着力激发经营主体活力。坚持“两个毫不动摇”，推动国有资本“三个集中”，持续推动国有资本和国有企业做强做优做大。扎扎实实落实促进民营经济发展的法律法规和政策措施，鼓励民营企业家专心致志做强做优做大企业。加力推进清理拖欠企业账款工作，强化源头治理和失信惩戒。深化财税金融体制改革，有序扩大自主开放和单边开放。
第五段：在分配方面，要加快构建政府、企业、居民更为合理的收入分配体系。推动高质量发展，要注重构建政府、企业、居民三者良性互动、更为合理的收入分配体系。平衡三者在国民收入分配中的比例关系，既要保障市场效率，又要体现公平正义。优化初次分配，夯实市场基础，平衡企业与居民的直接分配关系。强化再分配，发挥政府调节作用，平衡政府与市场的分配关系。引导三次分配，激活社会力量，补充政府——企业——居民分配链条。构建政府、企业、居民更为合理的收入分配体系，有助于实现三者良性循环。企业兼顾薪酬与投资的合理分配有助于激发员工活力与创新动力，并提升企业竞争力。居民收入稳步提升有助于增强消费能力，并拉动企业盈利与经济增长。在尽力而为、量力而行前提下，政府轻税负、强民生等财税政策有助于降低居民预防性储蓄比例，促进消费扩容提质。
第六段：在宏观经济循环方面，要着力推动生产、分配、流通、消费循环通畅。我国拥有全球最具成长潜力的超大规模市场，推动高质量发展，要注重做强国内大循环，着力推动生产、分配、流通、消费循环通畅，以国内大循环的内在稳定性和长期成长性对冲国际循环的不确定性，推动我国经济行稳致远。以生产升级夯实循环根基，让供给高质量、有创意。以分配优化激活循环动力，让居民能消费、敢消费。以流通高效打通循环堵点，让商品流转快、成本低。以消费扩容提质牵引循环升级，让市场有活力、有潜力。
全过程人民民主具有“六个多”的鲜明特点
田培炎（中央政策研究室副主任）
第七段：党的十八大以来，习近平总书记深刻总结我国社会主义民主政治发展的历史经验，顺应人民当家作主的新期待，不断深化对民主政治发展规律的认识，围绕什么是全过程人民民主、怎样发展全过程人民民主这一重大课题，提出一系列新思想新观点新论断，极大丰富和发展了马克思主义民主理论。
第八段：习近平总书记关于全过程人民民主的重要论述内涵丰富、思想深刻。习近平总书记指出，全过程人民民主是社会主义民主政治的本质属性，是最广泛、最真实、最管用的民主，是全链条、全方位、全覆盖的民主。全过程人民民主不仅有完整的制度程序，而且有完整的参与实践，形成了全面、广泛、有机衔接的人民当家作主制度体系，构建了多样、畅通、有序的民主渠道，实现了过程民主和成果民主、程序民主和实质民主、直接民主和间接民主、人民民主和国家意志相统一。强调继续推进全过程人民民主建设，把人民当家作主具体地、现实地体现到党治国理政的政策措施上来，具体地、现实地体现到党和国家机关各个方面各个层级工作上来，具体地、现实地体现到实现人民对美好生活向往的工作上来；人民代表大会制度是实现我国全过程人民民主的重要制度载体，必须充分发挥人民代表大会制度的根本政治制度作用，继续通过人民代表大会制度牢牢把国家和民族前途命运掌握在人民手中；协商民主是实践全过程人民民主的重要形式，在我国有根、有源、有生命力，深深嵌入了中国社会主义民主政治全过程，要健全各种制度化协商平台，推进协商民主广泛多层制度化发展。强调一个国家民主不民主，关键在于是不是真正做到了人民当家作主，要看人民有没有投票权，更要看人民有没有广泛参与权；要看人民在选举过程中得到了什么口头许诺，更要看选举后这些承诺实现了多少；要看制度和法律规定了什么样的政治程序和政治规则，更要看这些制度和法律是不是真正得到了执行；要看权力运行规则和程序是否民主，更要看权力是否真正受到人民监督和制约。这些重要论述，蕴含着深刻的道理、学理、哲理，需要我们深入研究阐释，为发展全过程人民民主提供有力学理支撑。
概括地讲，全过程人民民主具有鲜明特点，主要体现为“六个多”。
第九段：全过程人民民主是多环节的民主。权力运行的决策、执行、监督过程，每一个环节都离不开民主。党和政府的每一项重大决策，都是在深入调查研究、广泛听取意见、进行科学论证的基础上，按照集体决策的议事规则产生的，能够有效避免主观臆断、个人专断。执行遵循公开是常态、不公开是例外的原则，行使自由裁量权也要恪守严密规范的程序。监督依托的是以党内监督为主导，人大监督、民主监督、行政监督、司法监督、审计监督、财会监督、统计监督、群众监督、舆论监督贯通协调的监督体系，这样可以有效防止权力失范、权力寻租、权力滥用，确保人民赋予的权力始终用来为人民谋利益。
第十段：全过程人民民主是多层次的民主。从中央到地方直至基层，各级党委、政府都坚持人民至上，把实现好、维护好、发展好最广大人民根本利益作为一切工作的出发点和落脚点。在定政策、想问题、办事情的过程中，都坚持党的群众路线，注重察民情、听民声、顺民意，积极回应人民诉求、保障人民权利、增进人民福祉，把人民拥护不拥护、赞成不赞成、高兴不高兴、答应不答应作为衡量工作的根本标准。这些根本价值取向不仅体现在党对各级党委、政府和党员干部的政治要求、工作要求中，而且体现在责任约束、纪律规矩约束中。
第十一段：全过程人民民主是多途径的民主。人民可以通过直接选举或间接选举的选举民主，依法选出人民的代表，组成各级人民代表大会，管理国家事务，管理经济和文化事业，管理社会事务。可以通过政党协商、人大协商、政府协商、政协协商、人民团体协商、基层协商、社会组织协商等协商民主，围绕改革发展稳定重大问题和涉及群众切身利益的实际问题，在决策之前和决策实施之中开展广泛协商，努力汇聚民智、形成共识。还可以通过网络、信访、举报等各种途径和形式，便捷地行使民主权利。
第十二段：全过程人民民主是多领域的民主。经济社会发展各方面都充分尊重人民主体地位和首创精神，保证人民平等参与、平等发展权利。经济建设坚持发展为了人民、发展依靠人民、发展成果由人民共享。政治建设坚持国家一切权力属于人民，最大限度保障人民当家作主，注重发挥法治在保障和促进社会公平正义中的作用，让人民群众在每一项法律制度、每一个执法决定、每一宗司法案件中都感受到公平正义。文化建设坚持以人民为中心的创作导向，着力提升公共文化服务水平，让人民享有更加充实、更为丰富、更高质量的精神文化生活。社会建设坚持在发展中保障和改善民生，着力解决人民群众急难愁盼问题，不断提高人民获得感、幸福感、安全感。生态文明建设坚持绿水青山就是金山银山理念，让人民群众在绿水青山中共享自然之美、生命之美、生活之美。
第十三段：全过程人民民主是多维制度保障的民主。党的领导制度、人民代表大会根本政治制度，中国共产党领导的多党合作和政治协商制度、民族区域自治制度、基层群众自治制度等基本政治制度，社会主义法治体系，为人民成为国家的主人、社会的主人和自己命运的主人提供有力保障。
第十四段：全过程人民民主是多元归一的民主。发展全过程人民民主，坚持党的领导、坚持民主集中制、坚持以法治为保障，根本目的在于通过激发亿万人民的历史主动精神、创造精神、奋斗精神，凝聚起全体中华儿女的智慧和力量，为以中国式现代化全面推进强国建设、民族复兴伟业共同奋斗。
第十五段：全过程人民民主的这些特点，既是区别于其他国家特别是资本主义国家民主的显著特征，也是我国社会主义民主政治的优势所在。今天，全过程人民民主在现实生活中正展现出蓬勃生机和强大生命力，我国经济繁荣、政治清明、文化昌盛、社会和谐稳定、人民安居乐业，形成这样的生动局面，全过程人民民主功不可没。
习近平经济思想的原创性贡献
王一鸣（中国国际经济交流中心副理事长）
第十六段：习近平经济思想是习近平新时代中国特色社会主义思想的重要组成部分。进入新时代，以习近平同志为核心的党中央统筹国内国际两个大局，有效应对严峻复杂的国际形势和接踵而至的巨大风险挑战，成功推进和拓展了中国式现代化。特定的时代背景铸就了习近平经济思想的时代性、原创性、系统性，赋予习近平经济思想特有的理论深度、实践广度和现实鲜活度。
第十七段：提出一系列原创性概念和标识性范畴。恩格斯指出：“一门科学提出的每一种新见解都包含这门科学的术语的革命。”习近平经济思想提出了一系列原创性概念和标识性范畴，如经济发展新常态、供给侧结构性改革、高质量发展、现代化经济体系、新质生产力等。这些原创性概念和标识性范畴都不是凭空产生的，而是立足中国实际、在回答和解决现实问题中提出来的，具有鲜明的时代性和实践性，构成了习近平经济思想的“基本元素”。
第十八段：比如，新质生产力就是一个原创性概念。2023年7月以来，习近平总书记围绕新质生产力发表了一系列重要论述，指出“新质生产力是创新起主导作用，摆脱传统经济增长方式、生产力发展路径，具有高科技、高效能、高质量特征，符合新发展理念的先进生产力质态”。习近平总书记关于新质生产力的重要论述，深刻阐明什么是新质生产力、为什么要发展新质生产力、怎样发展新质生产力等重大理论和实践问题，为新时代新征程培育发展新质生产力、推动高质量发展提供了根本遵循和行动指南。
第十九段：提出一系列具有时代性、原创性的重大理论成果。一是创造性提出完善社会主义市场经济体制的理论。习近平经济思想把社会主义市场经济体制作为社会主义基本经济制度的重要组成部分，强调要坚持社会主义市场经济改革方向，使市场在资源配置中起决定性作用，更好发挥政府作用，加快完善社会主义市场经济体制，建设高标准市场体系，深刻回答了完善社会主义市场经济体制的一系列重大理论和现实问题，丰富发展了马克思主义政治经济学关于市场经济的理论。
第二十段：二是创造性提出推动经济高质量发展的理论。习近平总书记在2017年中央经济工作会议上指出，“高质量发展，就是能够很好满足人民日益增长的美好生活需要的发展，是体现新发展理念的发展”，并从供给、需求、投入产出、分配、宏观经济循环等方面阐明高质量发展的基本特征。在党的二十大报告中，习近平总书记强调，“高质量发展是全面建设社会主义现代化国家的首要任务”。高质量发展理论为新时代确定发展思路、制定经济政策、实施宏观调控提供了根本遵循。
第二十一段：三是创造性提出供给侧结构性改革的理论。供给侧结构性改革既是一个原创性基本范畴，也是原创性理论成果。2016年1月，习近平总书记在重庆调研时强调，要加大供给侧结构性改革力度，指出“当前和今后一个时期，制约我国经济发展的因素，供给和需求两侧都有，但矛盾的主要方面在供给侧”。明确了新阶段经济发展和经济工作的主线，对推动我国经济高质量发展具有重要意义。
第二十二段：四是创造性提出构建新发展格局的理论。2020年4月，习近平总书记在中央财经委员会第七次会议上首次提出构建新发展格局。在党的二十大报告中，习近平总书记进一步强调，“增强国内大循环内生动力和可靠性，提升国际循环质量和水平”。构建新发展格局的理论，深刻阐明了自主和开放、国内循环和国际循环的辩证关系，对在日趋严峻复杂挑战中提升我国经济发展水平和可持续发展能力，形成参与国际合作和竞争新优势，具有重要指导意义。
第二十三段：形成具有原创性的“系统化的经济学说”。习近平总书记2015年11月在十八届中央政治局第二十八次集体学习时指出，“我们要立足我国国情和我们的发展实践，深入研究世界经济和我国经济面临的新情况新问题，揭示新特点新规律，提炼和总结我国经济发展实践的规律性成果，把实践经验上升为系统化的经济学说”。习近平经济思想中的新发展理念、中国式现代化等就是“系统化的经济学说”的重要理论成果。
第二十四段：新发展理念是一个系统的理论体系，在习近平经济思想中占有重要地位。习近平总书记2021年1月在省部级主要领导干部学习贯彻党的十九届五中全会精神专题研讨班上指出，党的十八大以来我们对经济社会发展提出了许多重大理论和理念，其中新发展理念是最重要、最主要的。新发展理念是一个系统的理论体系，回答了关于发展的目的、动力、方式、路径等一系列理论和实践问题，回答了中国要实现什么样的发展、怎样实现发展的基本理论问题，阐明了我们党关于发展的政治立场、价值导向、发展模式、发展道路等重大理论问题，为“系统化的经济学说”探索创新发展规律、协调发展规律、绿色发展规律、开放发展规律、共享发展规律提供了根本遵循。
第二十五段：中国式现代化是党的十八大以来经济发展的理论创新和实践创新的集成，也是习近平经济思想原创性、系统性的集中体现。习近平总书记在党的十九届五中全会第二次全体会议上强调，“我们所推进的现代化，既有各国现代化的共同特征，更有基于国情的中国特色”。在党的二十大报告中，习近平总书记进一步阐明中国式现代化的本质要求，强调“以中国式现代化全面推进中华民族伟大复兴”。中国式现代化是关于社会主义现代化的重要理论范式，回答了我国社会主义现代化建设的目标、特征、本质要求、动力、方式、路径和世界意义等一系列重大理论和实践问题，是具有原创性、系统性的理论体系。
第二十六段：新征程上，我们要坚持以习近平经济思想为指引，立足新发展阶段，贯彻新发展理念，构建新发展格局，推动高质量发展，开创社会主义现代化建设的崭新局面。
深化党的创新理论学理化研究
周爱兵（求是杂志社总编辑）
第二十七段：学理化是推进党的理论创新的重要途径，也是理论宣传应着力推动和反映的重要工作。要准确把握学理化的方向和重点，通过学理化把党的创新理论研究引向深入，阐明党的创新理论在马克思主义发展史、中华文化发展史、人类思想理论史上的原创性贡献，为推进中国式现代化提供有力理论支撑。
第二十八段：以学理化推动理论“普遍化”，深入阐释党的创新理论的一般性、世界性、时代性意义和价值。习近平新时代中国特色社会主义思想是当代中国马克思主义、二十一世纪马克思主义，是中华文化和中国精神的时代精华。这表明习近平新时代中国特色社会主义思想不仅是立足当代中国的理论，而且是面向21世纪的理论；不仅是指导中国发展的理论，而且是具有世界意义的理论；不仅是传承中华文明的理论，而且是推动其现代转型的理论。要通过加强学理化研究，深入阐释党的创新理论在“中国问题”上提出了哪些原创性思想、在哪些方面取得了突破，并从中发现普遍性的规律和原理。党的创新理论是在深度全球化条件下形成和发展的，必然要面对和回答迫切的“世界问题”，要通过学理化研究深入阐释它提出的中国方案、中国主张及其世界意义。同时，还应通过学理化研究，对西方理论的普遍化叙事进行祛魅，还原其地区性知识的本来面目。只有这样，才能建立起我们自己的学术话语体系，也才能与国际学术界进行深入对话，对国际学术理论发展作出中国贡献，并在更高层面上推动中国的学术理论研究和实践探索。
第二十九段：以学理化推动知识体系的本土化，用党的创新理论的原创概念和原理引领中国自主知识体系的构建。构建自主知识体系，是像中国这样一个大国实现现代化的重要支撑，也是一个伟大文明的重要标识。自主知识体系的“自主”，基础是自主的实践，我们党作为主体实践者领导开创中国式现代化道路、创造了“两个奇迹”，确立起“四个自信”特别是文化自信，这为自主知识体系构建提供了基本前提。要通过学理化研究，把习近平新时代中国特色社会主义思想提出的重大概念、观点、论断作为核心元素，纳入哲学社会科学研究体系，将其转化为各学科专业的研究命题、知识话语、学术理论。之所以要做这种“转化”，是因为这些概念、观点、论断来自中国田野，是最具独创性的思想和精神资源，是学术创新最重要的生长点。而实现这种“转化”，必须树立高度学术自信，增强进一步破解“古今中西之争”、发展中国学术理论的信心和决心，坚持立足中华民族伟大历史实践和当代实践，用中国道理总结好中国经验，把中国经验提升为中国理论。注重加强同世界学术界的交流和对话，以开放包容的态度学习借鉴人类创造的一切文明成果，同时用中国自主知识体系丰富“人类知识的总和”。
第三十段：
第1句：党的十八大以来创立了习近平新时代中国特色社会主义思想，是这一文化主体性最有力的体现。
第2句：要通过加强学理化研究，深入阐释马克思主义同中华优秀传统文化为什么彼此契合、是怎样相互成就的，从而更好把“魂脉”和“根脉”统一起来，进一步增强思想和文化的主动。
第3句：一百多年来，面对国家蒙辱、人民蒙难、文明蒙尘，中国共产党之所以能带领人民成功开创中国式现代化道路，根本在于不断推进马克思主义中国化时代化，不断巩固了我们的文化主体性。
第4句：之所以说是“最有力的体现”，就是因为习近平总书记创造性提出并推进“两个结合”，习近平新时代中国特色社会主义思想就是“两个结合”的重大成果，在引领新时代伟大变革中展现了强大真理力量和实践伟力。
第5句：以学理化推动增强文化主体性，用党的创新理论引领文化创新、创造与中国式现代化相适应的文化新形态。
第6句：要深入研究习近平文化思想明体达用、体用贯通的理论品格和科学体系，研究“两个结合”的重大意义、基本经验、实践要求，准确把握理论和文化创新发展规律，充分运用中华优秀传统文化的宝贵资源，在创造性转化、创新性发展中打开新的文化空间，不断发展新时代中国特色社会主义文化。
从马克思主义哲学中国化看习近平新时代中国特色社会主义思想的原创性贡献
沈湘平（中国人民大学吴玉章讲席教授）
第三十一段：毛泽东指出：“马克思主义有几门学问……但基础的东西是马克思主义哲学。”马克思主义哲学中国化以理论结晶的方式凝聚了中国化马克思主义的原创性贡献。同时，马克思指出，“任何真正的哲学都是自己时代的精神上的精华”，而习近平新时代中国特色社会主义思想就是中华文化和中国精神的时代精华。因此，从哲学高度能更好地把握其原创性贡献的本质内涵。从马克思主义哲学中国化角度看，一个总的判断就是，习近平新时代中国特色社会主义思想对辩证唯物主义和历史唯物主义的核心范畴、重要命题和方法论体系进行了深刻重构，实现了马克思主义哲学中国化新的飞跃。
第三十二段：第一，创造性提出“两个结合”这一马克思主义哲学中国化的核心方法和根本路径。“两个结合”突破了“同中国具体实际相结合”的传统框架，确立了文明基因在哲学发展中的根基性地位；打破传统与现代二元对立的思维惯性，在相互成就中筑牢了道路根基、打开了创新空间、巩固了文化主体性，实现了“又一次的思想解放”。“两个结合”特别是“第二个结合”成为习近平新时代中国特色社会主义思想的重要特征和标识性的原创性贡献。
第三十三段：第二，多维重构社会存在论和社会矛盾论。一方面，明确提出“人与自然是生命共同体”和“绿水青山就是金山银山”的重大命题，将生态维度纳入社会存在范畴，使生态环境从生产力的外部条件变为内在要素，实现了马克思主义自然观与生产理论的融合创新。另一方面，对社会矛盾论进行了体系化扩展。在社会基本矛盾层面，创造性提出“发展新质生产力”的战略命题，并强调形成与之相适应的新型生产关系，创新了马克思主义生产方式理论。在社会主要矛盾层面，作出新时代社会主要矛盾转化为“人民日益增长的美好生活需要和不平衡不充分的发展之间的矛盾”的重大判断，将“需要”扩展为涵盖物质、精神、政治、社会、生态等多领域的系统性需求，构建了基于人的存在的需要系统的矛盾分析新范式。
第三十四段：第三，深化认识论的实践辩证法。一是提出“时代是思想之母，实践是理论之源”，将实践标准具体化、动态化，突出实践的问题导向性。二是提出“调查研究是谋事之基、成事之道”，认为没有调查就没有决策权，将毛泽东“没有调查就没有发言权”的思想升华为制度性实践准则。三是提出“必须把顶层设计和摸着石头过河结合起来”，将“实践——认识——再实践——再认识”的认识发展总规律转化为科学的改革方法论；四是提出“大历史观”的认识方法论，倡导从“历史长河、时代大潮、全球风云”中把握规律，提供了长时段、宽视野、多维度的立体历史分析框架，超越短期经验主义与线性史观，将历史必然性与主体选择性相统一，赋予“历史主动精神”以哲学依据。
第三十五段：第四，社会意识论的突破性创新。一是创造性提出以文化主体性为核心范畴的文化生命体理论，并以文化主体性为根本依托，提出构建文化意义上坚定的自我、坚定文化自信等重要命题，超越了西方中心主义的文化认知范式，为新时代推动文化繁荣、建设文化强国提供了系统的哲理支撑。二是对意识形态进行新定位，首次将意识形态工作明确为“党的一项极端重要的工作”，强调“维护意识形态安全”，明确将“马克思主义在意识形态领域指导地位”作为根本制度，并通过坚定文化自信的根基建设，实现坚持马克思主义指导地位与延续中华文化精神命脉的有机统一。三是系统阐发精神力量对社会发展的能动作用，强调传承精神命脉，弘扬伟大精神传统，全面提升思想引领力、精神凝聚力和价值感召力，培育昂扬向上的社会精神状态，激发人民群众的历史主动精神，深化了历史唯物主义关于社会意识反作用的理论内涵。
第三十六段：第五，深入阐发上层建筑适应论。从国家治理高度提出“推进国家治理体系和治理能力现代化”的命题，并将之作为全面深化改革的总目标，突破经济基础单向决定论。强调全面深化改革是对生产关系的自觉调整，通过制度创新释放生产力潜能，特别是强调通过改革形成与新质生产力相适应的新型生产关系、与社会发展相适应的国家治理，将国家治理效能作为检验上层建筑适应性的核心标准，丰富和发展了马克思主义社会有机体理论。
第三十七段：第六，人民群众主体论的新升华。在本体论层面确认“以人民为中心”和“江山就是人民，人民就是江山”。在价值论层面确立“人民至上”这一最根本的价值规定，将“实现人民对美好生活的向往”作为奋斗目标，还凝练出世界各国人民共同追求的全人类共同价值。在文化认同机制上提出“人民群众日用而不觉的共同价值观念”的新概念，突出了马克思主义中国化时代化的群众基础，揭示了意识形态内化于日常生活的实践路径。
第三十八段：第七，系统集成新时代中国化马克思主义的立场观点方法。强调必须坚持人民至上、必须坚持自信自立、必须坚持守正创新、必须坚持问题导向、必须坚持系统观念、必须坚持胸怀天下。“六个必须坚持”从价值立场、主体支撑、动力机制到实践路径、思想方法、格局境界，构成逻辑严密的有机整体，实现了世界观与方法论的高度统一。与“两个结合”一起，构成了党的理论创新，也是马克思主义哲学中国化的科学方法和根本遵循。
第三十九段：以上七点主要是从辩证唯物主义和历史唯物主义即一般理解的马克思主义哲学原理角度来看的。今天的马克思主义哲学还出现了诸多分支学科、部门哲学。从这样的角度看，习近平新时代中国特色社会主义思想也实现了诸多原创性贡献。例如，在政治哲学中，以“美好生活论”重构正义原则，将物质需求与精神富足共同纳入政治价值基准；在发展哲学中，确立“以人民为中心”的发展伦理，提出新发展理念，以高质量发展破解增长主义异化难题；在文化哲学中，以文化生命体理论超越功能主义文化观，构建生命论的文化本体论；在历史哲学中，以“文明论”突破单线进化史观，在多文明互动中把握历史规律，指明文明和合共生的根本出路；在人学或人的哲学中，超越西方以资本为中心，坚持以人民为中心，通过物质和精神上的共同富裕，实现人的全面发展；等等。习近平新时代中国特色社会主义思想以“人类”逻辑贯穿人类文明新形态、人类命运共同体、全人类共同价值等原创性思想，不仅作为“中华文化和中国精神的时代精华”，更以胸怀天下的格局破解“古今中西之争”，熔铸人类文明的时代精华，展现出马克思当年所期待的“当今世界的哲学”的恢宏气象。
第四十段：值得强调的是，实践性是马克思主义哲学的根本特质，而习近平新时代中国特色社会主义思想具有“明体达用、体用贯通”的鲜明实践品格。因此，从马克思主义哲学中国化看习近平新时代中国特色社会主义思想的原创性贡献，必须具有理论创新与实践创新的双重维度。上述论及的哲学理论创新已经体现了这一点，但仍需特别予以明确：习近平新时代中国特色社会主义思想通过实践创新开创了马克思主义哲学改造世界的新范式。这体现在民族复兴方略、文明发展道路、全球治理变革、制度改革攻坚、执政党建设等诸多方面，不一而足。
第四十一段：总之，从马克思主义哲学中国化角度看，习近平新时代中国特色社会主义思想通过“两个结合”重构马克思主义中国化时代化路径，使中华文明成为理论创新的活水源泉；以“改变世界”为旨归，构建起从哲学方法论到治国方略的转化机制。以中国式现代化创造人类文明新形态的伟大实践表明，习近平新时代中国特色社会主义思想不仅为中华民族伟大复兴提供了行动指南，而且为人类应对现代性困境贡献了中国智慧；不仅是中华文化和中国精神的时代精华，而且正日益体现为人类文明的时代精华。
新时代党的创新理论中的“原理性创新”
顾海良（教育部习近平新时代中国特色社会主义思想研究中心学术委员会主任委员）
第四十二段：马克思主义理论体系是由一系列基本原理构成的，这些基本原理既是马克思主义理论体系的组成部分、马克思主义革命性和科学性理论特征的集中体现，也是坚持和发展马克思主义的重要基础、马克思主义基本原理学理性和学术性的显著标志。新时代党的理论创新中的“原理性创新”问题，在党的二十大前，2020年7月中央召开的《习近平谈治国理政》第三卷出版座谈会上就已经提出：“习近平新时代中国特色社会主义思想作为马克思主义中国化最新成果，是对马克思主义基本原理的坚持和运用，更是对马克思主义哲学、政治经济学、科学社会主义作出了许多重大原理性创新。”党的二十大后，2023年6月在二十届中央政治局第六次集体学习的讲话中，习近平总书记对“原理性理论成果”问题阐释时提出：“马克思主义理论研究和建设工程要不断深化理论研究阐释，重点研究阐释我们党提出的新理念新论断中原理性理论成果，把握相互的内在联系，教育引导全党全国更好学习把握新时代中国特色社会主义思想的理论体系。”“原理性创新”和“原理性理论成果”的问题，是以理论的体系化为导向的，是以马克思主义基本原理三个组成部分的体系结构和新时代党的创新理论体系结构为学理依循的。
第四十三段：新时代党的创新理论在马克思主义中国化时代化上的理论跃升，以“原理性创新”为学理特征和思想精粹。首先，“原理性创新”是马克思主义理论体系内在规定的集中体现。与时代同步伐，与人民共命运，关注和回答时代和实践提出的重大课题，是马克思主义基本原理形成和发展的内在规定和必然过程，也是马克思主义理论体系实现“原理性创新”的基础和动力。其次，“原理性创新”是马克思主义理论体系本质特征和理论品质的必然体现，马克思主义基本原理具有的与时俱进、守正创新的理论品质是“原理性创新”思想源泉和方法依循。再次，“原理性创新”是马克思主义历史性发展和阶段性跃升的重要标志，列宁主义、毛泽东思想在20世纪对马克思主义理论创新的阶段性跃升，是以“原理性创新”为思想基础和理论标识的。最后，“原理性创新”也是中国共产党不断赋予马克思主义以21世纪新的时代内涵的必然结果，习近平总书记在谈到《共产党宣言》的时代意义时提出：“提高全党运用马克思主义基本原理解决当代中国实际问题的能力和水平，把《共产党宣言》蕴含的科学原理和科学精神运用到统揽伟大斗争、伟大工程、伟大事业、伟大梦想的实践中去，不断谱写新时代坚持和发展中国特色社会主义新篇章。”习近平新时代中国特色社会主义思想作为21世纪马克思主义理论创新的阶段性跃升，是同“原理性创新”紧密地联系在一起的。
第四十四段：对习近平新时代中国特色社会主义思想的“原理性创新”，可以从两个方面作出探索：一是从马克思主义哲学、马克思主义政治经济学、科学社会主义三个组成部分体系上的探索；二是从习近平新时代中国特色社会主义思想体系上的探索。
第四十五段：从马克思主义基本原理三个组成部分体系上看，新时代党的创新理论的“原理性创新”，在马克思主义哲学方面，主要如新时代我国社会主要矛盾转化的思想，对马克思主义社会矛盾学说的创新；世界观和方法论上的“六个必须坚持”的思想，对辩证唯物主义和历史唯物主义世界观和方法论的创新。在马克思主义政治经济学方面，社会主义初级阶段基本经济制度理论，对马克思主义关于社会基本经济制度理论的创新；新发展理念是对马克思主义经济社会发展理论的创新；新质生产力理论是对马克思主义生产力理论和劳动过程理论的创新；中国式现代化理论和人类文明新形态理论，是对马克思主义经济社会和人的全面发展理论的创新。在科学社会主义方面，坚持和加强党的全面领导、推进党的自我革命，是对马克思主义建党学说的创新；全过程人民民主是社会主义民主政治的本质属性，是马克思主义民主政治建设理论的创新；坚持和完善中国特色社会主义制度、推进国家治理体系和治理能力现代化理论，是马克思主义国家学说的创新；构建人类命运共同体理念，是对马克思主义世界历史理论的创新；等等。
第四十六段：习近平新时代中国特色社会主义思想的“原理性创新”，最先集中体现在习近平总书记在纪念马克思诞辰200周年大会上的讲话中提出的关于学习和实践马克思主义基本原理的九个方面整体性概括上。这九个方面对新时代党的创新理论作出最初的体系性概括，成为新时代“原理性创新”探索的基本学理架构。
第四十七段：一是在人类社会发展规律的思想上，把共产主义远大理想同中国特色社会主义共同理想统一起来、同我们正在做的事情统一起来，坚定中国特色社会主义道路自信、理论自信、制度自信、文化自信，形成“坚守共产党人的理想信念”和“为共产主义奋斗终身”相结合的原理性创新。
第四十八段：二是在坚守人民立场的思想上，提出“始终把人民立场作为根本立场，把为人民谋幸福作为根本使命，坚持全心全意为人民服务的根本宗旨”，形成尊重人民主体地位和首创精神，始终保持同人民群众的血肉联系，凝聚起众志成城的磅礴力量，团结带领人民共同创造历史伟业的原理性创新。
第四十九段：三是在生产力和生产关系的思想上，提出“要勇于全面深化改革，自觉通过调整生产关系激发社会生产力发展活力，自觉通过完善上层建筑适应经济基础发展要求，让中国特色社会主义更加符合规律地向前发展”的原理性创新。
第五十段：四是在人民民主的思想上，提出“在坚持党的领导、人民当家作主、依法治国有机统一中推进社会主义民主政治建设，不断加强人民当家作主的制度保障，加快推进国家治理体系和治理能力现代化，充分调动人民的积极性、主动性、创造性，更加切实、更有成效地实施人民民主”的原理性创新。
第五十一段：五是在文化建设的思想上，提出“要立足中国，面向现代化、面向世界、面向未来，巩固马克思主义在意识形态领域的指导地位，发展社会主义先进文化，加强社会主义精神文明建设，把社会主义核心价值观融入社会发展各方面，推动中华优秀传统文化创造性转化、创新性发展，不断提高人民思想觉悟、道德水平、文明素养，不断铸就中华文化新辉煌”的原理性创新。
第五十二段：六是在社会建设的思想上，提出坚持以人民为中心的发展思想，抓住人民最关心最直接最现实的利益问题，不断保障和改善民生，促进社会公平正义，“让发展成果更多更公平惠及全体人民，不断促进人的全面发展，朝着实现全体人民共同富裕不断迈进”的原理性创新。
第五十三段：七是在人与自然关系的思想上，提出要坚持人与自然和谐共生，牢固树立和切实践行绿水青山就是金山银山的理念，“让人民群众在绿水青山中共享自然之美、生命之美、生活之美，走出一条生产发展、生活富裕、生态良好的文明发展道路”的原理性创新。
第五十四段：八是在世界历史的思想上，提出“坚持和平发展道路，坚持独立自主的和平外交政策，坚持互利共赢的开放战略，不断拓展同世界各国的合作，积极参与全球治理，在更多领域、更高层面上实现合作共赢、共同发展，不依附别人、更不掠夺别人，同各国人民一道努力构建人类命运共同体，把世界建设得更加美好”的原理性创新。
第五十五段：九是在马克思主义政党建设的思想上，提出持之以恒推进全面从严治党，坚持把党的政治建设摆在首位，坚持和加强党的全面领导，永远保持共产党人政治本色，“把党建设成为始终走在时代前列、人民衷心拥护、勇于自我革命、经得起各种风浪考验、朝气蓬勃的马克思主义执政党”的原理性创新。
第五十六段：习近平新时代中国特色社会主义思想作出的多方面的“原理性创新”，对马克思主义的历史性发展和阶段性跃升有着重要的意义。一是清晰了马克思主义基本原理发展的“源”和“流”的关系。在关于坚守人民立场的思想中，马克思主义的理论之“源”在于：“人民性是马克思主义最鲜明的品格”，坚守人民立场贯穿于马克思主义基本原理全部内容之中，新时代在这一原理性创新的思想精粹就是“尊重历史规律的必然选择，是共产党人不忘初心、牢记使命的自觉担当”。马克思主义基本原理的“源”和“流”关系，赋予马克思主义基本原理以新的时代内涵。
第五十七段：二是深化了马克思主义基本原理蕴含的科学理论和科学精神的契合。马克思主义关于人民民主思想基本原理的内涵就是：“‘以新的真正民主的国家政权来代替’。国家机关必须由社会主人变为社会公仆，接受人民监督。”从民主政治建设中的“监督”到当代中国民主政治建设的“制度保障”“治理体系”“治理能力”的思想，彰显了马克思主义基本原理与时俱进、守正创新的理论品质，是对新时代“原理性创新”的思想结晶和学理升华。
第五十八段：三是阐明了马克思主义理论体系的原理性创新，对马克思主义历史性发展和阶段性跃升的重大意义。关于世界历史的思想，在最初还只是马克思、恩格斯的科学“预言”，在马克思主义中国化时代化的最新发展中，这一思想“已经成为现实，历史和现实日益证明这个预言的科学价值”，在构建人类命运共同体理念上赋予世界历史理论以新的时代内涵，昭示了“原理性创新”在21世纪马克思主义发展中的理论标识和思想辉煌。
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所提供的文档是一篇政治相关文件内容，其中第三十段落被打乱为句子级片段。其余段落语序完好，作为背景，可忽略。任务：仅重建第三十段内部的句级顺序（因果/步骤链）。先输出“[答案]”标识符，再按行输出排序后的句子序号，不要输出任何其他内容。
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所提供的文档是一篇政治相关文件内容，其中第三十段落被打乱为句子级片段。其余段落语序完好，作为背景，可忽略。任务：仅重建第三十段内部的句级顺序（因果/步骤链）。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的句子序号。
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篇1：《明史》纂修失考，致忠义人物错传两三百年
2023-10-16 15:15·野舟1
一、举人上书，地方修志录错其祖宗姓名
1《直隶叙永厅志》（嘉庆34年版）卷36，人物志—“忠义”条目载：
2胡缜 【明史】永宁举人，预策奢崇明必反，上书当事，不纳。贼起被执，严刑锢狱中。弟纬倾家救免。乃纠义徒，潜结贼将张令等，擒其伪相，部勒行阵，自当一面，数斩馘，贼甚畏之，既而为火药焚死。
3此条一字不漏抄录于《明史》列传第178“忠义二”。其后备注甚长，记载了修志时当地举人胡导猷的申诉及地方官府的处置。
4按：缜事备载明史，今据举人胡导猷呈称，其十一世祖胡纟奠，中前明万历壬子科举人，天启间奢酋叛，与弟纬率乡兵拒贼，后死于江安东坝寨子山营中，曾蒙优恤并荫子孙，乾隆四十三年，前任刘续修志略，误作胡缜，请正讹误等语。查前任同知刘组曾修志略，系据明史，非误，即所称胡纟奠事迹，亦与史未符，惟弟名“纬”相合，附存其说。
《直隶叙永厅志》（嘉庆版）关于胡缜的记载
5关于叙永地方志，最早创修于康熙二十五年（1686年），由马湖府知府何源浚、叙永军粮同知宋敏学等编修，乾隆十一年（1746年）再修，乾隆四十三年（1778年）续修，嘉庆十七年（1812年）增修，光绪三十四年（1908年）续修。
6康熙二十五年本《叙州府志》—叙永厅卷一，“科第”条目，仅记载有“万历壬子科举人 胡奠”，未载“胡纟奠”或“胡缜”事迹。
7乾隆四十三年续修版本，此时《明史》已编著完成数十年，地方主修官刘组据《明史》记载，将“胡缜”编入忠义人物项。
8嘉庆十七年《直隶叙永厅志》之选举 载“万历壬子科 胡纟奠” “ 胡缜 永宁举人（按胡缜见明史科分无考）”，并载“胡缜”忠义事迹。也正是这次增修，出现了嘉庆戊午（1789）科举人胡导猷申诉，修志者认为据《明史》无误，但将此事予以备注说明，并在“忠义祠”条目“举人胡缜”后附了一行小字“一名纟奠”，似乎把“胡缜”与“胡纟奠”默认为同一人。
《直隶叙永厅志》载 胡缜 一名纟奠
9《叙永永宁厅县合志》修于光绪34年（1908年） ，关于“胡纟奠”与“胡缜”相关情况仍一字不差誊录嘉庆版本。
二、“胡纟奠”还是“胡缜”，当事大臣奏疏和皇家实录是铁证
10对于明朝廷平定奢崇明反叛之战，记载详实具体莫过于平叛总指挥朱燮元之著作《少师朱襄毅公督蜀疏草》，其中多为对朝廷奏疏，真实可靠。也正是其人，将胡纟奠事迹转报朝廷，获得旌表，使其载入史册。
11据《少师朱襄毅公督蜀疏草》卷之三《报擒获巨恶疏》：...又据将官刘养鲲塘报，（天启二年）六月二十一日午时，据举人胡纟奠报称：奢贼伪大将军宋武并苗将张令、张三重等三十余人奉职等秘计，擒伪相国军师何若海...又据胡纟奠、刘养鲲等擒解何若海到臣面审...”
督蜀疏草卷之三 为“胡纟奠”
12此段与明史载“潜结贼将张令等，擒其伪相”相符。
13据卷之三《降将立功》：...即令守备刘养鲲率众前抵贼界，相机晓以祸福，授以明色爵禄招抚，于是贵州举人胡纟奠携家来见，备述贼情，职即令与刘养鲲等随宜设间，又发谕帖与参游守备劄付，使之潜入贼部晓谕，而贼之伪大将军宋武、伪先锋虎将张令，遂遵谕缚贼相何若海并文武二印来归...（奢崇明）掘抛罗乾象、胡纟奠历世祖塚，尽抄其家...其举人胡纟奠，贼未发难已抱杞忧，两省条陈可据，及贼围省，结盟士庶图扫巢穴，不虞酋败奔回，身亲三木，几死囹圄，购金逃出与刘养鲲等拮据招徕擒贼，一切盟知，咸来归汉，永宁外四里悉为归顺，功苦俱著，当与罗乾象...等俱纪录登簿，事定从重酬慰者也。
14此段记述胡纟奠使用离间计，策反奢崇明部将宋武、张令之功，遭到了奢崇明挖掘祖坟、抄没家产的报复。
15又《明熹宗实录》载：（天启六年二月）录四川殉难。举人胡纟奠赠尚宝司少卿，荫一子本卫实授百户世袭，仍查与难弟胡纬并祠以祀。
《明熹宗实录》（手抄本）是“胡纟奠”非“胡缜”
16由此可见，胡导猷呈诉中“（胡纟奠）曾蒙优恤并荫子孙”之说是完全符合事实的，人物事迹完全吻合。故《明史》将“胡纟奠”记录为“胡缜”，应是当时修史之人笔误，“奠”与“真”形似，鉴于《明史》的权威性，地方志便以讹传讹。
17查《贵州通志》（康熙版），也明确记载万历壬子科举人为“胡纟奠”。值得一提的是，贵州文史研究馆在整理《贵州通志》时，将“胡纟奠”错写为“胡繜”，大概是“奠”与“尊”更相似，而“纟奠”字在电脑上已无法打出，以“繜”代替，如此不严谨的处理方式实属不应该。
康熙《贵州通志》关于“胡纟奠”中举记载
《贵州通志 选举志》2008年出版 “胡纟奠”错写为“胡繜”
18关于胡缜其人，查《贵州通志》《四川通志》均无中举及相关记载。而嘉庆《直隶叙永厅志》载其为永宁举人，并备注“胡缜见明史科分无考”，亦说明了修志者只是根据《明史》记载了此人，究竟何时中举也未能考证。
篇2：明史
卷二百九十二
列傳第一百八十 忠義四
1○張允登〈（郭景嵩郭應響）〉張光奎〈（楊於楷等）〉李中正〈（馬足輕等）〉方國儒〈（王紹正常存畏劉定國）〉何承光〈（高日臨等）〉龐瑜〈（董三謨等）〉尹夢鰲〈（趙士寬等）〉盧謙〈（張有俊等）〉龔元祥〈（子炳衡姚允恭）〉王信史記言〈（李君賜等）〉梁誌仁〈（單思仁等）〉王國訓〈（胡爾純等）〉黎弘業〈（馬如蛟等）〉張紹登〈（張國勛等）〉王燾〈（魏時光）〉蔣佳徵〈（吳暢春等）〉徐尚卿〈（王時化等）〉阮之鈿郝景春〈（子鳴鑾等）〉張克儉〈（鄺曰廣等）〉徐世淳〈（子肇梁余塙等）〉
2張光奎，漢州人。萬歷三十八年進士。歷知咸寧、咸陽，有善政。其成進士，出湯賓尹之門，賓尹弗善也，而東林以賓尹故，惡之。舉卓異，得刑部主事，累遷河西兵備副使。鄜、延歲饑，亟遭盜，允登拊循備至，士民德之。崇禎四年閏十一月督餉至甘泉，降卒潛與流賊通，殺知縣郭永固，劫餉。允登力禦，不敵死。鄜人素服迎其喪，哭聲震十里，罷市三日。
3當是時，流賊日熾，總督洪承疇往來奔擊，日不暇給。逾月陷宜君，又陷葭州，僉事郭景嵩死之。明年二月陷鄜州，兵備副使郭應響死之。應響，福清人，萬歷丙午舉鄉試第一。寧塞余賊來犯，應響禦之，斬賊常山虎等十五人。至是，混天猴率眾夜突至，應響登北關，集士卒拒守，手殺三賊，力不支遂死。事聞，贈光祿寺少卿，謚忠烈，予祭葬，蔭一子入監讀書。
4張允登，澤州人。仕至山東右參政。崇禎五年，流賊躪山西，監司王肇生以便宜署歙人吳開先為將，使擊賊，戰澤州城西。賊敗去，從沁水轉掠陽城。開先恃勇渡沁，戰北留墩下，擊斬數百人，炮盡無援，一軍盡沒。賊乃再犯澤州，光奎方里居，與兄守備光璽、千總劉自安等率眾固守八日，援兵不至，城陷，並死之。澤，大州也，遠近為震動。事聞，贈光祿卿，光璽等贈恤有差。
5是歲，紫金梁等寇遼州，裏居行人楊於楷與主事張友程，佐知州信陽李呈章拒守，力屈城陷，於楷被執，罵賊死。呈章、友程及舉人趙一亨、侯標並死之。明年六月，賊陷和順，裏居昌平副使樂濟眾被傷，不屈，投井死。贈於楷光祿少卿，濟眾太仆少卿。有徐明揚者，浮梁人，由選貢生為平順知縣。六年四月，賊來犯，設策守禦，城破不屈死。
6李中正，盧氏人。萬歷末，舉會試，以天啟二年赴廷對，授承天府推官，遷兵部主事。崇禎初，謝病歸。六年，群盜大亂河北。其冬，乘冰渡河，遂由澠池犯盧氏。中州承平久，不設備。驟聞賊至，吏民惶駴，知縣金會嘉棄城遁。十二月，賊入城，中正勒家眾及里中壯士奮擊，眾寡不敵，力戰死。賊縱掠城中，執舉人靳謙書，使跪，不屈，大罵而死。
7賊以是冬始入河南，自是屢陷名城，殺將吏無算，鄉官舉貢多被難。其宜陽馬足輕，靈寶許煇，新安劉君培、馬山、李登英，偃師裴君合，陜州張我正、張我德，孟津孫挺生，嵩縣傅世濟、李佩玉，上蔡劉時寵輩，則先後以布衣抗節顯。
8足輕，性孝友。弟惑婦言，迫分產，乃取田磽薄者自予。萬歷末，歲大兇，出粟六百石以振，焚券千余。崇禎六年冬，流賊渡河而南，挈家避之石龍崖。三女皆殊色，慮賊汙，悉投崖死。足輕被執，厲聲大罵。賊怒，並三子殺之。家眾皆遇害，惟存次子駿一人，後登鄉薦。煇為縣陰陽官，為賊所掠，大罵見殺。
9君培有義行，攜子及從孫避難，道遇賊，欲殺其從孫。君培曰：「我尚有男，此子乃遺孤，幸舍之而殺我。」賊如其言，二子獲免。
10山性剛直，土寇於大中陷新安，獲山，使負米。叱曰：「我天朝百性，肯為賊負米邪！」大罵而死。登英亦以罵賊死。
11君合幼孤，母苦節，孝養惟謹。賊至，聚眾保沙岸寨。攻圍十晝夜不克，說之降，大罵不從。寨破，被磔。
12我正素豪俠，集眾保鄉里，一方賴之。十四年勒眾禦賊，馘三人。俄賊大至，眾悉奔，奮臂獨戰。賊愛其男，欲生致之，詬罵自刎死。我德知賊至，恐妻子受辱，驅一家二十七人登樓自焚。
13挺生精星術，預卜十五年有寇禍，編茅河渚以居。賊蹤跡得之，語其妻梁氏曰：「此匹夫徇義之秋也。」夫婦對泣，詬賊而死。世濟與兄世舟並為土寇於大中所執，將殺之。兄弟相抱泣，賊議釋其一，世濟即奪賊刀自殺，世舟獲免。
14佩玉者，御史興元孫也。崇禎末，中州盡殘，佩玉結遺民捍鄉井，與鄰寨相掎角，往往尾賊後，奪其輜重。賊憚之，不敢出其境。後大舉圍別寨，佩玉往救，力戰而死，裏人聚哭之。
15時寵有孝行。賊陷城，其父宗祀以年老不能行，命之速避，遂自殺。時寵慟哭，刺殺一子、三女，夫婦並自剄。其妹適歸寧，亦從死，一家死者八人。
16方國儒，字道醇，歙縣人。四歲失父，奉母以孝聞。天啟元年舉於鄉。崇禎間，授保康知縣。流賊大入湖廣，將吏率望風先奔。保康小邑素無兵，七年正月賊至，國儒急率鄉兵出禦，力不支，城遂陷。亡何，賊退，國儒還入城。逾月復至，督吏民固拒。賊至益眾，復陷。國儒官服坐堂上，被執大罵，身中七刃死。
17賊陷竹谿，訓導王紹正死之。谷城舉人常存畏會試赴京，道遇賊，欲劫為首領，罵不絕口死。他賊犯興山，知縣劉定國堅守。城將陷，遣吏懷印送上官，罵賊死。
18何承光，貴州鎮遠人。萬歷四十年舉於鄉。崇禎中，歷夔州同知。七年二月，賊由荊州入夔門，犯夔州。副使周士登在涪州，城中倉猝無備，通判、推官、知縣悉遁。承光攝府事，率吏民固守，力竭城陷。承光整冠帶危坐，賊入殺之，投屍於江。事聞，贈承光夔州知府。
19自賊起陜西，轉寇山西、畿輔、河南、北及湖廣、四川，陷州縣以數十許，未有破大郡者，至是天下為震動。
20其他部自漢中犯大寧，知縣高日臨見勢弱不能守，嚙指書牒乞援上官，率眾禦之北門。兵敗被執，大罵不屈，賊碎其體焚之。訓導高錫及妻女，巡檢陳國俊及妻，皆遇害。日臨，字儼若，鄱陽恩貢生。
21賊陷夔州，他賊即以次日陷巫山，通江巡檢郭纘化陣沒，通江指揮王永年力戰死。至四月，守備郭震辰、指揮田實擊賊百丈關，兵敗被執，罵賊死。
22龐瑜，字堅白，公安人。家貧，躬耕自給。夏轉水灌田，執書從牛後，朗誦不輟。由歲貢生授京山訓導。崇禎七年擢陜西崇信知縣。縣無城，兵荒，貧民止百余戶。瑜知賊必至，言於監司陸夢龍，以無兵辭。瑜集士民築土垣以守，流涕誓死職。閏八月天大雨，土垣盡圮。賊掩至，瑜急解印遣家人賫送上官，端坐堂上以待。賊至，捽令跪。瑜罵曰：「賊奴敢辱官長！」拔刀脅之，罵益厲。賊掠城中無所有，執至野外，剖心裂屍而去。贈固原知州。
23時賊盡趨秦中，長吏多殉城者。
24山陽陷，知縣董三謨，黎平舉人也，及父嗣成、弟三元俱死之，妻李氏亦攜子女偕死。贈光祿丞，立祠，與嗣成、三元並祀，妻女建坊旌表。
25吉永祚，輝縣人。為鳳縣主簿，謝事將歸。會賊至，知縣棄城遁，永祚倡義拒守。城陷，北面再拜曰：「臣雖小吏，嘗食祿於朝，不敢以謝事逃責。」大罵死之。子士樞、士模皆死。教諭李之蔚、鄉官魏炳亦不屈死。永祚贈漢中衛經歷，余贈恤有差。
26婁琇知涇州。閏八月，城陷死，贈太仆少卿。
27蒲來舉知甘泉。賊來犯，守備孫守法等擁兵不救。城破，來舉手刃一賊，傷六賊而後死。贈光祿少卿。
28呂鳴世，福建人。由恩貢生為麟遊知縣。兵燹後，拊居民有恩。城陷，賊不忍加害，自絕食六日卒。有宋緒湯者，耀州諸生，被獲，大罵死。
29尹夢鰲，雲南太和人。萬歷時舉於鄉。崇禎中知潁州。八年正月方謁上官於鳳陽，聞流賊大至，立馳還。賊已抵城下，乃偕通判趙士寬率民固守。城北有高樓間城中，諸生劉廷傳請先據之，夢鰲以為然。而廷傳所統皆市人，不可用。賊遂據樓以攻，且鑿城，頹數丈，城上人皆走，止之不可。夢鰲持大刀，獨當城壞處，殺賊十余人，身被數刃。賊眾畢登，遂投城下烏龍潭死，弟侄七人皆死之。
30廷傳者，故布政使九光從子，任俠好義，亦罵賊死。九光子廷石分守西城，中賊刃未絕，口授友人方略，令繕牘上當事，旋卒。
31士寬，字汝良，掖縣人。由門蔭為鳳陽通判，駐潁州。以正旦詣郡城，聞警，一日夜馳三百里返州。城陷，率家眾巷戰，力竭，亦投烏龍潭死。妻李攜三女登樓自焚，仆王丹亦罵賊死。鄉官尚書張鶴鳴、弟副使鶴勝、子大同，中書舍人田之穎，知縣劉道遠，光祿署正李生白，訓導丁嘉遇，舉人郭三傑，諸生韓光祿等，皆死之。
32光祖，進士獻策父也，被執，賊捽使跪。叱曰：「吾生平讀書，止知忠義。」遂大罵。賊殺之，碎其屍。妻武偕一妹、一女並獻策妻李赴井死。妾李方有娠，賊剖腹剔胎死。次子定策、孫日曦罵賊死，獨獻策獲存。時被難者共一百三人，城中婦人死節者三十七人，烈女八人。潁州忠烈，稱獨盛雲。
33潁州衛隸河南，流賊至，指揮李從師、王廷俊，千戶孫升、田三震，百戶羅元慶、田得民、王之麟俱乘城戰死。賊既陷潁州，屠其民。其別部即以是月由壽州犯鳳陽。
34鳳陽故無城，中都留守朱國相率指揮袁瑞徵、呂承蔭、郭希聖、張鵬翼、周時望、李郁、嶽光祚，千戶陳弘祖、陳其忠、金龍化等，以兵三千逆賊上窯山，多斬獲。俄賊數萬至，矢集如猬，遂敗，國相自刎死，余皆陣沒。賊遂犯皇陵，大肆焚掠。
35知府顏容暄囚服匿於獄，釋囚獲之，容暄大罵，賊杖殺之。血浸石階，宛如其像，滌之不滅。士民乃取石立冢，建祠奉祀。
36推官萬文英臥病，賊索之。子元亨，年十六，泣語父曰：「兒不得復事親矣！」出門呼曰：「若索官，何為？我即官也。賊縶之。顧見其師萬師尹亦被縶，紿賊曰：「若欲得者，官爾。何縶此賤隸？」賊遂釋之。元亨乃極口大罵。賊怒，斷脛死，文英獲免。
37容暄，漳浦人。文英，南昌人。皆進士。一時同死者，千戶陳永齡、百戶盛可學等四十一人，諸生六十六人。舉人蔣思宸聞變，投繯死。
38後給事中林正亨錄上其狀，贈夢鰲光祿少卿，士寬光祿丞，余贈恤有差。
39盧謙，字吉甫，廬江人。萬歷三十二年進士。授永豐知縣。擢御史，出為江西右參政，引疾歸。崇禎八年二月，流賊犯廬江，士民具財帛求免，賊偽許之。俄襲陷其城，謙服命服，危坐中門。賊至，欲屈之，罵曰：「吾朝廷憲臣，肯為賊屈邪？鼠輩滅亡在即，安敢無禮！」賊怒殺之，投屍於池，池水盡赤。舉人張受、畢尹周亦不屈被殺。是年正月，賊陷霍丘，縣丞張有俊，教諭倪可大，訓導何炳，鄉官田既庭、戴廷對，舉人王毓貞死焉。賊陷巢縣，知縣嚴覺被執不屈，一門皆死。二月犯太湖，知縣金應元據城東大濠以守。奸人導賊渡濠，執應元，斫之未殊，自經死。訓導扈永寧亦死之。謙贈光祿卿，余贈恤如制。覺，歸安人。應元，浙江山陰人。皆舉人。
40龔元祥，字子禎，長洲人。舉於鄉。崇禎四年為霍山教諭，厲廉隅，以名教自任，與訓導姚允恭友善。八年，賊陷鳳陽，元祥偕縣令守禦。賊掩至，令逸去，元祥督士民固守。或勸之避，元祥曰：「食祿而避難，不忠。臨危而棄城，不義。吾平日講說者謂何？倘不測，死爾。」及賊陷城，元祥整衣冠危坐。賊至，侃侃諭以大義。賊欲屈之，厲聲曰：「死即死，賊輩何敢辱我！」賊怒，執之去，罵不絕口，遂遇害。子炳衡號呼罵賊，賊又殺之。閱五日，允恭斂其屍，即自縊，適令至，解免。越日，賊復入，允恭卒死之。事聞，贈元祥國子助教，建祠曰忠孝，以其子配。允恭亦被旌。
41王信，陜西寧州人。父歿，廬墓三年。母歿，信年已六十，足不逾閾者三年。崇禎初，由歲貢生除靈璧訓導，遷真陽知縣。八年二月出撫土寇，會流賊猝至，被執，使諭降羅山、真陽。信大罵不從，斷頭剖腹而死。閱四日，其子來覓，猶舒指握子手。贈光祿丞，建祠奉祀。
42史記言，字司直，當塗人。崇禎中舉人，由長沙知縣遷知陜州。陜當賊沖，記言出私財募士，聘少室僧訓練之。八年冬十一月，流賊犯陜，記言禦之，斬數十級，生擒二十余人。老回回憤，率數萬人攻城，不克，乘雪夜來襲，而所練士方調他郡，城遂陷。記言縱火自焚，兩僧掖之出曰：「死此，何以自明？」乃越女墻下。賊追獲之，令降，叱曰：「有死知州，無降知州也！」遂被殺。指揮李君賜殺數賊而死。訓導王誠心，裏居教諭張敏行、姚良弼，指揮楊道泰、阮我疆，鎮撫陳三元，亦不屈死。是月，賊陷盧氏，知縣白楹自剄。十年九月陷澠池，知縣李邁林死之。記言贈光祿少卿，余贈恤有差。
43梁誌仁，南京人，保定侯銘之裔也。萬歷末年舉於鄉。崇禎六年授衡陽知縣，調羅田。賊大擾湖廣，誌仁日夕儆備。羅汝才謂左右曰：「羅田城小易克，然梁君長者，吾不忍加兵。俟其去，當取之。」會邑豪江猶龍與賊通，誌仁捕下獄。猶龍知必死，潛導汝才別校來攻。八年二月猝攻城。誌仁急偕典史單思仁、教諭吳鳳來、訓導盧大受督民守禦。城陷，誌仁持長矛巷戰，殺六賊。力屈被縶，抑使跪。罵曰：「我天子命官，肯屈膝賊輩邪！」賊怒，碎其支體，焚之。妻唐被逼，大罵，奪賊刀不得，口嚙賊手，遂遇害。思仁等亦不屈死。汝才在英山，聞之，馳至羅田，斬其別校，曰：「奈何擅害長者！」以錦繡斂其夫婦屍。鳳來，福建舉人。大受，寶慶貢生。詔贈誌仁蘄州知州，思仁羅田主簿，鳳來國子助教，大受學錄，蔭子，祭葬有差。
44王國訓，字振之，解州人。天啟二年進士。歷知金鄉、壽張、滋陽、武清。坐大計，久之，補調扶風。國訓性剛嚴，恥幹進，故官久不遷。崇禎八年秋，賊來犯，偕主簿夏建忠、典史陳紹南、教諭張弘綱、訓導陳繻嬰城固守。閱兩月，外援不至，城陷，罵賊死。建忠等亦不屈死。贈國訓光祿少卿，建忠等皆贈恤。
45當是時，大帥曹文詔、艾萬年等並戰歿，賊勢益張，關中諸州縣悉殘破。八月，賊陷永壽，殺知縣薄匡宇。尋陷咸陽，殺知縣趙躋昌。
46其時長吏以死聞者，隴州知州胡爾純，自經死。延長知縣萬代芳與教諭譚恩、驛丞羅文魁協力守城，城陷皆死之。代芳妻劉、妾梁從死。爾純，山東人，贈光祿少卿。代芳贈光祿丞，妻妾建坊旌表。恩等亦賜祭。
47有孫仲嗣者，膚施人，由貢生為階州學正。當事知其才，委以城守。賊大至，盡瘁死守。城破，與妻子十余人並死之。贈國子博士。又有楊呈秀，華陰人。由進士歷官順慶知府，大計罷歸。賊攻城，佐有司禦賊以死，贈恤如制。
48黎弘業，字孟擴，順德人。由舉人知和州。崇禎八年，流賊犯和州，禦卻之。十二月復至，與鄉官馬如蛟募死士，登陴固守。城將陷，弘業系印於肘，跪告其母曰：「兒不肖，貪微官以累母，奈何！」母李泣諭曰：「汝勿以我為意，事至此，有死而已。」遂自縊。妻楊、妾李及女四人繼之。弘業北面慟哭再拜，自刎未殊，濡頸血大書曰：「為臣盡忠，為子盡孝，何惜一死。」賊入，傷數刃而死。贈太仆少卿，任一子。判官錢大用偕妻妾子婦俱死。吏目景一高被創死。學正康正諫，祁門人，舉人。偕妻汪、子婦章赴水死，贈國子監丞。訓導趙世選不屈死，贈國子學錄。
49馬如蛟，字騰仲，州人。天啟二年進士。授浙江山陰知縣，有清操。崇禎元年征授御史，劾罷魏忠賢黨徐紹吉、張訥。出按四川，蜀中奸民悉以他人田產投勢家，如蛟列上十事，永革其弊。還朝，監武會試。武舉董姓者，以技勇聞於帝，及入試，文不中程，被黜。帝怒，黜考官，如蛟亦落職。八年論平邦彥功，復故官，以父憂未赴。流賊至，如蛟傾貲募士，佐弘業固守。麾壯士出擊，兩戰皆捷。賊將奔，會風雪大作，不辨人色，守者皆潰，賊遂入城。如蛟急下令，能擊賊者，予百金，須臾得百余人。巷戰，賊多傷，力屈，遂戰死。兄鹽運司判官如虬、諸生如虹及家屬十四人皆死。事聞，贈太仆少卿，官一子。
50張紹登，字振夫，南城人。崇禎中舉人，知應城縣。九年，賊來犯，偕訓導張國勛、鄉官饒可久悉力禦之。國勛曰：「賊不一創，城不易守。」率壯士出擊，力戰一日夜，斬獲甚眾。賊去，邑侍郎王瑊之子權結怨於族黨，怨家潛導賊復來攻。國勛佐紹登力守，而乞援於上官。副將鄧祖禹來救，守西南，國勛守東北，紹登往來策應。會賊射書索權，權懼，斬北關以出，賊乘間登南城。紹登還署，端坐堂上，賊至，奮拳擊之。群賊大至，乃被殺。賊渠嘆其忠，以冠帶覆屍，埋堂側。
51國勛，黃陂歲貢生。賊既入，朝服北面拜，走捧先聖神主，拱立以待。賊遂焚文廟，投國勛於烈焰中。祖禹亦不屈死。
52可久，幼孤，事母孝，舉於鄉。知大興縣。崇禎初，疏請更《三朝要典》，時奄宦擅權，謫光祿典簿。遷應天府推官、刑部主事，歷知府，丁艱歸。賊入，語妻程曰：「臣死忠，婦死節，分也。」於是妻女相對自經。可久被執，賊強之拜，曰：「頭可斷，膝不可屈也！」遂遇害。瑊為賊支解。
53事聞，贈紹登尚寶少卿，國勛國子學正。
54王燾，字浚仲，昆山人。少孤貧，九歲為人後。族人有謀其產者，燾舉以讓之，迎養嗣祖母及母惟謹。萬歷末，舉於鄉，由教諭歷隨州知州。州經群盜焚掠，戶不滿千。燾訓民兵，繕守具。土寇李良喬為亂，殲滅之。十年正月，大賊奄至。燾且守且戰，擊斬三百余人。賊攻益力，相持二十余日。天大風雪，守者多散。燾知必敗，入署，整冠帶自經。賊焚其署，火燭不及燾死所，屍直立不仆，賊望見駭走。已，覓州印，得之燾所立尺士下。事聞，贈太常少卿。福王時，賜謚烈湣，建雙忠祠，與同邑蔡懋德並祀。
55有魏時光者，南昌人。善舞雙刀。崇禎九年夏，為廣濟典史。邑遭殘破，長吏設排兵三百人，委之教練。其冬，賊據蘄州河口，憚時光不敢渡。時光益募死士，夜襲其營，手殺數賊，賊不敢逼。俄賊大至，部卒皆散，時光單騎據高坡，又殺數人。賊環繞之，靷斷被執，不屈死。其兄陳於上官，卻不奏。兄憤發病死，友人收殮之，哭盡哀，曰：「弟為國死，兄為弟死，吾獨不能表暴之乎！」具牘力陳，乃奏聞。贈廣濟主簿，予恤典。
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T7. Consistency & Compliance Checking
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T7.1 Global Conflict & Inconsistency Localization
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阅读篇1和篇2，找出其中错误之处，并给出错误之处的篇号和句号，先输出“[答案]”标识符，再以“篇x句x”的格式按行输出所有错误之处，不要输出任何其他内容。
输出示例：
[答案]
篇1句3
篇1句3
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阅读篇1和篇2，找出其中错误之处，并给出错误之处的篇号和句号，进行逐步思考，在你的思考过程后，先输出“[答案]”标识符，再以“篇x句x”的格式按行输出所有错误之处，不要输出任何其他内容。
输出示例：
<你的思考过程>
[答案]
篇1句3
篇1句3
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"篇2句2",
"篇2句4"
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# 泰州市住宅物业管理条例
（2020年8月28日泰州市第五届人民代表大会常务委员会第二十九次会议通过 2020年9月25日江苏省第十三届人民代表大会常务委员会第十八次会议批准 根据2022年6月28日泰州市第六届人民代表大会常务委员会第三次会议通过，2022年7月29日江苏省第十三届人民代表大会常务委员会第三十一次会议批准的《泰州市人民代表大会常务委员会关于修改〈泰州市住宅物业管理条例〉的决定》第一次修正 根据2025年4月25日泰州市第六届人民代表大会常务委员会第二十二次会议通过，2025年5月30日江苏省第十四届人民代表大会常务委员会第十五次会议批准的《泰州市人民代表大会常务委员会关于修改〈泰州市住宅物业管理条例〉的决定》第二次修正）
## 目录
第一章 总则
第二章 业主大会、业主委员会和物业管理委员会
第三章 前期物业管理
第四章 物业服务和管理
第五章 物业的使用和维护
第六章 公共收益和住宅专项维修资金
第七章 法律责任
第八章 附则
## 第一章 总则
第一条 为了规范住宅物业管理活动，维护物业管理各方的合法权益，营造良好的居住环境，促进和谐社区建设，根据《中华人民共和国民法典》、国务院《物业管理条例》、《江苏省物业管理条例》等法律、法规，结合本市实际，制定本条例。
第二条 本市行政区域内的住宅物业管理活动及其监督管理，适用本条例。本条例所称住宅物业管理，是指住宅物业、住宅小区内的非住宅物业和与住宅楼结构相连的非住宅物业的业主，通过选聘物业服务人或者自行对住宅物业管理区域内的建筑物、构筑物及其配套的设施设备和相关场地进行维修、养护、管理，维护基本秩序和环境卫生的活动。本条例所称物业服务人包括物业服务企业和其他管理人。
第三条 市、县级市（区）人民政府应当加强对住宅物业管理工作的组织领导，将住宅物业管理纳入现代服务业发展规划和社区治理体系；建立健全住宅物业管理综合协调机制和资金投入与保障机制；鼓励采用新技术、新方法，提高住宅物业服务和管理水平。乡镇人民政府、街道办事处负责辖区内住宅物业管理活动的指导和监督，协助上级人民政府和有关部门做好住宅物业管理相关工作，并将住宅物业管理纳入社区网格化治理体系。村民委员会、居民委员会应当协助和配合乡镇人民政府、街道办事处做好住宅物业管理相关工作。
第四条 市、县级市（区）住房和城乡建设部门是本行政区域内的住宅物业管理主管部门，负责本行政区域内住宅物业管理活动的监督、管理和指导工作。发展和改革、公安、财政、自然资源和规划、生态环境、市场监督管理、城市管理、民政、水利、消防救援等部门、机构按照各自职责，共同做好住宅物业管理相关工作。
第五条 建立健全社区（村）党组织领导下村民委员会、居民委员会、业主委员会、业主、物业服务人等共同参与的议事协调机制，发挥社区（村）党组织在基层社会治理中的领导作用。
第六条 市、县级市（区）住宅物业管理主管部门应当对在住宅物业服务中取得显著成绩的物业服务人和在住宅物业管理中有突出贡献的业主委员会、业主，给予表彰和奖励。
第七条 物业服务行业协会应当加强行业自律管理，规范从业行为，引导诚信经营，维护物业服务企业的合法权益；加强物业服务企业从业人员培训，提高物业服务水平和质量。
## 第二章 业主大会、业主委员会和物业管理委员会
第八条 住宅物业管理区域的全体业主组成业主大会。业主户数超过三百户的，可以成立业主代表大会，履行业主大会职责。业主代表由业主小组推荐产生，业主小组可以按幢、单元、楼层或者结合实际情况组成。一个业主小组产生一名业主代表，代表本小组的业主出席业主代表大会会议。业主代表在业主代表大会会议召开前应当就会议议题征集本小组业主意见，需要业主书面投票表决的，由业主本人签字确认。业主代表出席业主代表大会会议不得委托他人；业主代表因故不能参加业主代表大会会议的，其所代表的业主可以另行推选临时业主代表参加。业主代表推荐办法应当在业主大会议事规则中规定。
第九条 下列事项由业主共同决定：（一）制定和修改业主大会议事规则；（二）制定和修改管理规约；（三）选举业主委员会或者更换业主委员会成员；（四）确定业主大会、业主委员会工作经费，业主委员会成员工作补贴和标准；（五）选聘和解聘物业服务企业或者其他管理人；（六）使用住宅专项维修资金；（七）筹集住宅专项维修资金；（八）改建、重建建筑物及其附属设施；（九）改变共有部分的用途或者利用共有部分从事经营活动；（十）有关共有和共同管理权利的其他重大事项。业主共同决定事项，应当由专有部分面积占比三分之二以上的业主且人数占比三分之二以上的业主参与表决。决定前款第七项至第九项规定的事项，应当经参与表决专有部分面积四分之三以上的业主且参与表决人数四分之三以上的业主同意。决定前款其他事项，应当经参与表决专有部分面积过半数的业主且参与表决人数过半数的业主同意。
第十条 业主共同决定事项，由业主委员会组织召开业主大会会议进行表决。业主委员会未成立或者怠于履行职责的，经专有部分面积占比五分之一以上的业主且人数占比五分之一以上的业主提议，由乡镇人民政府、街道办事处、村民委员会、居民委员会指导和协助业主组织召开业主大会会议。召开业主大会会议，应当于会议召开十五日前通过发送信息、电子邮件或者书面告知等方式通知业主，并同时告知村民委员会、居民委员会。
第十一条 业主表决共同决定事项应当实名制，可以采用集体讨论、书面征求意见或者在市物业管理公众服务平台上投票等方式。表决结束后应当形成书面文件，载明表决事项、同意票数、反对票数、弃权票数以及表决结果。表决结果应当在住宅物业管理区域内显著位置公布。
第十二条 住宅物业管理区域符合召开首次业主大会或者业主代表大会（以下统称业主大会）会议条件的，建设单位应当向住宅物业所在地乡镇人民政府、街道办事处提出筹备首次业主大会会议的书面申请；十人以上业主公开联名可以向乡镇人民政府、街道办事处提出筹备首次业主大会会议的书面申请。乡镇人民政府、街道办事处应当在收到书面申请后六十日内，组织成立首次业主大会筹备组（以下简称筹备组）。建设单位应当按照《江苏省物业管理条例》的规定向住宅物业所在地乡镇人民政府、街道办事处报送筹备首次业主大会会议所需的文件资料。自然资源和规划、住房和城乡建设等部门，应当对乡镇人民政府、街道办事处就筹备成立业主大会所需要的信息资料查询，依法予以配合。筹备召开首次业主大会会议所需经费由建设单位承担，经费标准由市住宅物业管理主管部门根据住宅物业管理区域规模、业主户数和建筑面积等因素确定。建设单位应当在办理房屋所有权首次登记前，将筹备经费交至住宅物业所在地乡镇人民政府、街道办事处设立的专用账户。
第十三条 筹备组由业主、建设单位、乡镇人民政府、街道办事处、村民委员会、居民委员会等派员组成。业主成员由乡镇人民政府、街道办事处组织业主推荐产生。建设单位不派员参加的，不影响筹备组成立。筹备组人数应当为五至十一人的单数，其中业主成员应当不少于筹备组人数的百分之六十。筹备组组长由乡镇人民政府、街道办事处指定人员担任。筹备组应当自成立之日起七日内，将成员名单在住宅物业管理区域内显著位置进行公示，公示期限不得少于十五日。业主对筹备组成员有异议的，由乡镇人民政府、街道办事处协调解决。筹备组成立后，县级市（区）住宅物业管理主管部门应当对筹备组成员进行住宅物业管理相关知识的培训。
第十四条 业主委员会由业主大会会议选举产生。业主委员会成员应当由具有完全民事行为能力，热心公益事业、责任心强，具有一定组织能力的业主担任。业主参加业主委员会选举的，筹备组应当核查参选人的资格，提出业主委员会成员候选人名单，并报乡镇人民政府、街道办事处。筹备组应当在住宅物业管理区域内显著位置公示业主委员会成员候选人名单和基本信息，公示期限不得少于十五日。鼓励和支持业主中的中共党员、人大代表、政协委员和其他社会知名人士参加业主委员会选举。
第十五条 以暴力、威胁、欺骗、贿赂、伪造选票、虚报选举票数等不正当手段当选业主委员会成员的，当选无效。县级市（区）住宅物业管理主管部门应当加强对业主委员会的指导，组织业主委员会成员进行培训，提高住宅物业管理水平。
第十六条 业主委员会成员有下列情形之一的，经业主委员会核实后，其成员资格终止，并在住宅物业管理区域内显著位置公告：（一）不再具有完全民事行为能力的；（二）因物业转让、灭失等原因不再是本住宅物业管理区域业主的；（三）因疾病或者其他原因丧失履行职责能力的；（四）被依法限制人身自由，无法履行职责的；（五）法律、法规规定的其他情形。
第十七条 业主委员会执行业主大会的决定事项，履行下列职责：（一）召集业主大会会议，报告住宅物业管理的实施情况；（二）代表业主与业主大会选聘的物业服务人签订物业服务合同；（三）及时了解业主、物业使用人的意见和建议，监督和协助物业服务人履行物业服务合同；（四）监督管理规约的实施；（五）督促业主按照约定支付物业费；（六）组织和监督住宅专项维修资金的筹集、使用；（七）监督物业服务人对业主共有部分的经营和收益收支情况；（八）协调处理住宅物业管理活动中的矛盾纠纷；（九）业主大会赋予的其他职责。业主委员会应当按照业主大会议事规则和业主大会决定召开会议。业主委员会应当在会议召开前，将会议议题告知村民委员会、居民委员会，听取村民委员会、居民委员会的意见和建议。村民委员会、居民委员会可以根据情况派员参加。
第十八条 业主委员会成员不得有下列行为：（一）阻挠业主大会行使职权，拒绝执行业主大会决定，或者怠于履行职责；（二）违反规定使用业主委员会印章；（三）转移、隐匿、篡改、毁弃有关文件、资料，或者拒绝、拖延提供业主有权查询的文件、资料；（四）未经业主大会决定，擅自与物业服务人签订或者解除物业服务合同；（五）骗取、挪用、侵占住宅专项维修资金或者公共收益等业主共有财产；（六）索取、收受房屋建设、物业服务、维修保养等单位或者有利害关系的业主提供的财物或者其他利益；（七）利用职务之便为自己或者他人在物业费支付、汽车停放等方面谋取不当利益；（八）损坏房屋承重结构、违法搭建、破坏房屋外观、擅自改变房屋使用性质、违法出租房屋；（九）打击报复、诽谤、陷害有关投诉人、举报人；（十）其他侵害业主合法权益的行为。业主委员会成员有前款行为之一的，业主大会可以按照议事规则予以罢免，并在住宅物业管理区域内显著位置公告。住宅物业所在地县级市（区）住宅物业管理主管部门、村民委员会、居民委员会应当给予指导和协助。
第十九条 业主委员会成员人数不足业主大会议事规则规定成员总数二分之一或者低于法定最低人数的，住宅物业所在地乡镇人民政府、街道办事处、村民委员会、居民委员会应当指导和协助业主组织召开业主大会会议，对业主委员会进行调整。业主委员会阻挠业主大会行使职权，拒不执行业主大会决定，怠于履行业主委员会职责的，或者未经业主大会决定，擅自与物业服务人签订或者解除合同的，由住宅物业所在地县级市（区）住宅物业管理主管部门责令限期改正；拒不改正的，住宅物业所在地乡镇人民政府、街道办事处、村民委员会、居民委员会应当指导和协助业主组织召开业主大会会议，调整或者重新选举产生业主委员会。
第二十条 业主委员会应当将下列信息在住宅物业管理区域内显著位置公布，并及时更新：（一）成员姓名、职责分工和联系方式；（二）业主大会、业主委员会的决定；（三）管理规约、业主大会议事规则、物业服务合同；（四）业主大会、业主委员会工作经费的收支情况和业主委员会成员工作补贴等费用情况；（五）住宅专项维修资金的筹集、使用情况；（六）由业主委员会管理的业主共有部分的经营和收益收支情况；（七）占用业主共有的道路或者其他场地用于停放汽车的车位、车库处分使用情况；（八）其他应当向业主公布的信息。前款第一项至第三项应当长期公布，第四项应当每半年公布一次，第五项应当及时公布，第六项、第七项应当每年公布一次，第四项至第七项公布期限均不得少于十五日。
第二十一条 业主委员会在其任期届满三个月前，应当书面告知住宅物业所在地乡镇人民政府、街道办事处、村民委员会、居民委员会。乡镇人民政府、街道办事处、村民委员会、居民委员会应当指导和协助业主委员会成立换届选举小组，由换届选举小组组织召开业主大会会议，选举产生新一届业主委员会。换届选举小组人员的构成参照首次业主大会筹备组人员的构成。
第二十二条 业主委员会应当自换届选举小组成立之日起十日内，将其保管的档案资料、印章以及其他属于全体业主所有的财物移交住宅物业所在地乡镇人民政府、街道办事处保管。业主委员会不按时移交的，住宅物业所在地县级市（区）住宅物业管理主管部门、乡镇人民政府、街道办事处应当责令其限期移交；拒不移交的，可以申请公安机关予以协助。住宅物业所在地乡镇人民政府、街道办事处在新一届业主委员会选举产生并办理备案手续后十日内，将其保管的档案资料、印章、财物移交新一届业主委员会。
第二十三条 住宅小区有下列情形之一的，住宅物业所在地乡镇人民政府、街道办事处可以组织成立物业管理委员会，代行业主大会和业主委员会的职责：（一）不具备成立业主大会条件的；（二）具备成立业主大会条件但因多种原因未成立，经乡镇人民政府、街道办事处指导后仍不能成立的；（三）业主委员会长期不能正常开展工作，需要重新选举业主委员会，经乡镇人民政府、街道办事处多次指导后仍不能选举产生新一届业主委员会的。物业管理委员会由乡镇人民政府、街道办事处、村民委员会、居民委员会、社区服务机构、建设单位、业主代表等组成。业主代表由乡镇人民政府、街道办事处组织业主推荐产生。建设单位不派员参加的，不影响物业管理委员会成立。物业管理委员会人数一般为九至十三人的单数，其中业主代表应当不少于物业管理委员会人数的百分之六十。物业管理委员会的人员组成和基本信息，应当在住宅物业管理区域内显著位置公示，公示期限不得少于十五日。业主对物业管理委员会成员有异议的，由乡镇人民政府、街道办事处协调解决。
第二十四条 物业管理委员会代行业主大会职责的，应当依照法律、法规的规定征求全体业主意见，形成业主共同决定，并将共同决定在住宅物业管理区域内显著位置公示，公示期限不得少于十五日。物业管理委员会作出的决定违反法律、法规的，县级市（区）住宅物业管理主管部门应当责令其限期改正或者撤销其决定，并通告全体业主。业主认为物业管理委员会作出的决定违反法律、法规的，可以向县级市（区）住宅物业管理主管部门投诉，县级市（区）住宅物业管理主管部门应当及时处理并答复业主。
第二十五条 物业管理委员会代行业主大会和业主委员会职责期间，乡镇人民政府、街道办事处对能够成立业主大会的，应当指导筹备工作，成立业主大会；能够选举产生业主委员会的，应当指导选举产生业主委员会。县级市（区）住宅物业管理主管部门应当加强对物业管理委员会的监督和指导，对能够成立业主大会或者选举产生业主委员会的，应当督促乡镇人民政府、街道办事处指导成立业主大会，选举产生业主委员会。物业管理委员会自新一届业主委员会产生之日起停止履行职责，并应当在七日内向新一届业主委员会移交相关资料和财物，移交后自动解散。
第二十六条 市住宅物业管理主管部门应当会同相关部门，组织建立市物业管理公众服务平台，用于业主决策电子投票、物业服务招投标、物业管理相关信息公开和物业管理矛盾投诉处理等。
## 第三章 前期物业管理
第二十七条 新建住宅物业实行前期物业管理。在业主、业主大会选聘物业服务人之前，由建设单位承担前期物业管理责任。建设单位应当通过公开招投标的方式选聘前期物业服务企业，并与其签订前期物业服务合同。投标人少于三个或者住宅规模建筑面积小于三万平方米的，经住宅物业所在地县级市（区）住宅物业管理主管部门批准，可以采用协议方式选聘物业服务企业。前期物业服务合同期限届满前，业主或者业主大会选聘新物业服务人的，自业主委员会或者业主与新物业服务人签订的物业服务合同生效之日起，前期物业服务合同终止。建设单位应当提供前期物业管理开办费，用于购买物业办公设备等固定资产。所购资产归全体业主所有，由物业服务企业使用。
第二十八条 建设单位在销售物业前，应当参照市住宅物业管理主管部门提供的范本制定前期物业服务合同和临时管理规约；建设单位修改范本的，不得侵害物业买受人的合法权益。建设单位在销售物业时，应当向物业买受人明示前期物业服务合同和临时管理规约，并予以说明。建设单位应当自前期物业服务合同签订之日起十五日内，将前期物业服务合同和临时管理规约报送县级市（区）住宅物业管理主管部门备案。
第二十九条 物业服务企业承接住宅物业时，应当对物业共有部分进行查验。县级市（区）住宅物业管理主管部门应当加强对住宅物业承接查验活动的指导和监督。现场查验二十日前，建设单位应当向物业服务企业移交下列资料：（一）竣工总平面图，单体建筑、结构、设备竣工图，配套设施、地下管网工程竣工图等竣工验收资料；（二）设施设备的安装、使用和维护、保养等技术资料；（三）物业质量保修文件和物业使用说明文件；（四）业主名册；（五）物业管理所必需的其他资料。未能全部移交前款所列资料的，建设单位应当列出未移交资料的详细清单并书面承诺补交的具体时限。承接查验后，建设单位应当与物业服务企业签订承接查验协议，承接查验协议应当包括承接查验基本情况、存在问题、解决方法和时限、双方权利义务、违约责任等内容。鼓励建设单位和物业服务企业聘请第三方机构为承接查验提供专业服务。
第三十条 新建住宅小区内，建设单位应当按照不低于地上地下总建筑面积千分之四的比例配置专属的物业服务用房，低于一百平方米的按照一百平方米配置，并无偿移交。其中，用于业主委员会议事活动用房的，应当按照配置物业服务用房的比例合理确定，一般按照建筑面积二十至四十平方米配置。物业服务用房应当是地面以上、二层以下的房屋，相对集中安排在住宅小区中心区域或者出入口附近，由建设单位装修，具备水、电等基本使用功能。物业服务用房设置在住宅楼内的，应当具有独立的通道。住宅小区内配置通讯、有线电视、网络宽带、安保预警等设施的，物业服务用房应当预留端口，具备正常使用功能。住宅小区分期建设的，应当根据分期建设的面积和进度按比例合理配建物业服务用房或者提供满足物业服务活动的临时用房。物业服务用房不计入分摊公用建筑面积，属于全体业主共有。未经业主大会同意，任何单位和个人不得擅自占用，不得擅自改变物业服务用房用途。
第三十一条 自然资源和规划部门在核发建设工程规划许可证时，应当对规划图纸中标注的物业服务用房的位置和面积进行审核。建设单位在组织竣工验收时，应当通知住宅物业管理主管部门参加，住宅物业管理主管部门应当对物业服务用房配置情况进行核实。
## 第四章 物业服务和管理
第三十二条 业主可以自行管理住宅物业，也可以委托物业服务企业或者其他管理人管理；委托物业服务企业管理的，一个住宅物业管理区域应当选定一个物业服务企业。鼓励通过市物业管理公众服务平台进行招投标，选聘物业服务企业提供物业服务。住宅物业管理招投标办法由市住宅物业管理主管部门制定。
第三十三条 业主委员会应当与业主大会选聘的物业服务人依法签订书面物业服务合同。物业服务人应当在签订物业服务合同之日起三十日内，将物业服务合同报县级市（区）住宅物业管理主管部门、乡镇人民政府、街道办事处备案。市住宅物业管理主管部门应当会同市市场监督管理部门制定物业服务合同范本，并向社会公布。
第三十四条 物业服务人应当按照法律、法规的规定和物业服务合同的约定以及技术标准、专业技术规范，提供物业服务。物业服务人服务多个住宅小区的，应当依法对各住宅小区分别进行核算。物业服务人应当建立业主、物业使用人意见、建议和投诉、举报受理机制，及时处理有关意见、建议和投诉、举报，并反馈处理结果。
第三十五条 住宅物业服务实行项目负责人制度。物业服务人应当按照物业服务合同约定指派项目负责人。除物业服务合同另有约定外，项目负责人只能在一个物业服务项目任职。物业服务人更换项目负责人的，应当及时告知业主，并在住宅物业服务区域内显著位置进行公示。
第三十六条 物业服务人应当将下列信息在住宅物业服务区域内显著位置公布，并及时更新：（一）营业执照、项目负责人和从业人员基本情况以及联系方式、物业服务投诉电话、二十四小时应急服务电话等；（二）物业服务事项、服务标准、质量要求、收费项目、收费标准、收费方式等；（三）电梯、消防、监控安防等专项设施设备的日常维修保养单位名称、联系方式和应急处置方案等，法律、法规规定需要具备专业资质的，还应当公布相关资质信息；（四）上一年度物业服务合同履行情况；（五）物业服务人管理的业主共有部分的经营和收益收支情况；（六）公共能耗费分摊情况；（七）占用业主共有的道路或者其他场地用于停放汽车的车位、车库处分使用情况；（八）实行酬金制的住宅小区物业服务资金的收支情况；（九）住宅专项维修资金使用情况；（十）其他应当向业主公开的信息。前款第一项至第三项应当长期公布，第四项至第七项应当每年公布一次，第八项应当每年至少公布一次，第九项应当及时公布。第四项至第九项公布期限不得少于十五日。业主对公布内容有异议的，物业服务人应当予以答复。
第三十七条 物业服务人应当执行政府依法实施的应急处置措施和其他管理措施，积极配合开展相关工作。市、县级市（区）人民政府应当给予必要的物资和资金支持。对于物业服务人执行前款规定的应急处置措施和其他管理措施，业主应当依法予以配合。
第三十八条 物业服务收费应当区分不同物业的性质和特点，遵循合理、公开、服务质量和价格相符的原则确定，实行政府指导价和市场调节价。普通住宅前期物业公共服务实行等级服务、等级收费。发展和改革部门应当每三年对等级收费标准进行评估，根据评估结果适时调整，并向社会公布。物业服务行业协会应当监测并定期发布物业服务项目成本信息和计价规则，供业主大会或者业主大会授权的业主委员会和物业服务人在协商时参考。
第三十九条 物业服务收费可以采取包干制或者酬金制等方式，具体收费方式由物业服务合同约定。实行酬金制的，物业服务人在预收的物业服务资金中按约定比例或者约定数额提取酬金，其余部分用于物业服务合同约定的支出，结余由业主享有，不足由业主承担。实行酬金制的，物业服务人应当对物业服务资金单独列账核算，每年不少于一次公布物业服务资金的收支情况。业主委员会可以聘请专业机构对物业服务资金的年度收支情况进行审计。审计费用可以从公共收益中列支，没有公共收益的，由全体业主分摊。
第四十条 业主应当按照约定向物业服务人支付物业费。业主与物业使用人约定由物业使用人支付物业费的，从其约定。物业服务人已经按照约定和有关规定提供服务的，业主不得以未接受、无需接受相关物业服务或者物业服务人未履行合同约定之外的服务等理由，拒绝支付物业费。业主违反约定逾期不支付物业费的，业主委员会、物业服务人可以催告其在合理期限内支付；合理期限届满仍不支付的，物业服务人可以依法申请调解、提起诉讼或者申请仲裁。物业服务人不得以业主拖欠物业费等理由，中断或者以限时限量等方式变相中断供水、供电、供热、供燃气，阻碍业主进入住宅。业主转让物业专有部分，应当及时将相关情况告知物业服务人，并与物业服务人结清物业费。
第四十一条 物业服务人退出住宅物业服务区域，应当按照规定和合同约定履行下列交接义务：（一）移交占用的物业共有部分、物业服务用房、由前期物业管理开办费购买的物业办公设备等固定资产；（二）移交本条例第二十九条第二款规定的相关资料；（三）移交物业服务期间形成的物业和设施设备使用、维护、保养、定期检验等技术资料，运行、维护、保养记录；（四）结清预收、代收和预付、代付的有关费用；（五）法律、法规规定和物业服务合同约定的其他事项。交接时，可以邀请住宅物业所在地村民委员会、居民委员会参加。交接双方应当对住宅物业服务区域内电梯、消防、监控安防等共用设施设备的使用维护现状予以确认，可以聘请第三方机构予以协助。物业服务人拒不履行本条第一款规定的交接义务，或者拒绝退出的，可以向住宅物业所在地县级市（区）住宅物业管理主管部门、乡镇人民政府、街道办事处报告，并可以向公安机关请求协助。
第四十二条 县级市（区）人民政府、乡镇人民政府、街道办事处应当建立和完善住宅物业管理矛盾投诉调解机制，鼓励、倡导当事人通过基层人民调解委员会解决住宅物业纠纷。业主大会、业主委员会应当配合做好住宅物业纠纷化解工作。
第四十三条 市住宅物业管理主管部门应当建立覆盖建设单位、物业服务企业或者其他管理人、物业服务企业负责人、物业服务项目负责人、业主委员会和物业管理委员会成员、业主、第三方机构等的住宅物业管理信用体系。县级市（区）住宅物业管理主管部门应当建立本行政区域内住宅物业管理参与主体的信用档案，实行动态管理，并纳入市住宅物业管理信用信息系统。市住宅物业管理信用信息应当按照相关规定纳入市公共信用信息系统。
第四十四条 对配套设施不齐全、环境较差的老旧住宅小区，市、县级市（区）人民政府应当制定改造规划和年度实施计划，完善公共配套设施设备，改善老旧住宅小区的综合环境。具备实施物业管理条件的老旧住宅小区，乡镇人民政府、街道办事处应当组织业主成立业主大会，由业主大会决定选聘物业服务人或者实施自行管理。不具备实施物业管理条件的老旧住宅小区，乡镇人民政府、街道办事处在征求业主意见后，可以指定所在地村民委员会、居民委员会组织提供清洁卫生、绿化养护、秩序维护等基本物业服务，所需费用由全体业主分摊。老旧住宅小区的范围，由市、县级市（区）人民政府确定。
## 第五章 物业的使用和维护
第四十五条 占用业主共有的道路或者其他场地用于停放汽车的车位、车库，属于业主共有，应当优先提供业主使用。业主大会成立前，需要占用业主共有的道路或者其他场地停放汽车的，应当在前期物业服务合同中约定，收费标准由发展和改革部门会同住宅物业管理主管部门制定并公布。业主大会成立后，需要占用业主共有的道路或者其他场地用于停放汽车的，物业服务人应当提请业主大会或者业主大会授权的业主委员会决定，收费标准由业主大会或者业主大会授权的业主委员会确定，并在住宅物业管理区域内显著位置公布。住宅物业管理区域内划定车位、停放车辆，不得占用、堵塞、封闭疏散通道、安全出口、消防车通道，不得影响其他车辆和行人的正常通行。业主大会或者业主大会授权的业主委员会有权制定住宅物业管理区域内公共停车管理规定，对占用业主共有的道路或者其他场地用于停放汽车的行为进行规范。违反住宅物业管理区域内公共停车管理规定的，业主委员会或者物业服务人可以请求公安机关、消防救援机构协助处理。
第四十六条 新建住宅小区，建设单位应当按照规划建设车辆充电设施或者预留建设安装条件。已建住宅小区内，经业主大会或者业主大会授权的业主委员会同意，可以通过改造、加装等方式建设车辆充电设施，并依法办理相关手续。
第四十七条 住宅物业管理区域内禁止下列行为：（一）擅自改变物业的规划用途；（二）损坏或者擅自变动房屋承重结构、主体结构；（三）违法搭建建筑物、构筑物；（四）损坏或者擅自占用、改建物业共用部位，损坏或者擅自占用、移装共用设施设备；（五）违反有关人均面积、使用功能、消防安全管理等规定出租房屋；（六）存放易燃、易爆、剧毒、放射性物质或者超负重等违反安全规定的物品；（七）从建筑物中抛掷物品；（八）燃放烟花爆竹；（九）制造超过规定标准的噪音、振动或者影响邻居采光、通风；（十）露天焚烧；（十一）违反垃圾分类管理规定处理垃圾；（十二）饲养家禽家畜，影响公共环境或者他人居住环境；（十三）任意排放污水；（十四）在实行雨水、污水分流的住宅小区，将污水排入雨水管网；（十五）侵占绿地、毁坏绿化和绿化设施；（十六）擅自摆摊设点、占道经营；（十七）违反用电安全要求私拉电线、插座、电缆为车辆充电；（十八）擅自在业主共有的道路或者公共车位上设置车位锁或者其他障碍物；（十九）在车库、地下室等不具备安全条件的场所使用、储存燃气，或者在高层建筑内使用瓶装燃气；（二十）破坏或者擅自改变房屋外观；（二十一）擅自在建筑物、构筑物上悬挂、张贴、涂写、刻画；（二十二）法律、法规和管理规约禁止的其他行为。有前款所列行为之一的，物业服务人、业主委员会应当及时劝阻、制止；劝阻、制止无效的，应当及时报告有关主管部门，有关主管部门应当及时依法处理；业主、物业使用人对侵害自己合法权益的行为，可以依法向人民法院提起诉讼；业主委员会对侵害业主共同利益的行为，可以依法向人民法院提起诉讼。有关主管部门应当建立住宅小区违法行为投诉登记制度，并在住宅物业管理区域内显著位置公布联系人姓名和联系方式，依法处理住宅物业管理区域内的违法行为。
第四十八条 鼓励和支持业主为既有住宅增设电梯，改善居住条件。既有住宅增设电梯应当遵循业主自愿、政府引导、依法审批、保障安全的原则。市、县级市（区）人民政府应当按照简化、便民、高效的原则，为既有住宅增设电梯提供一站式服务。建设单位、村民委员会、居民委员会、业主委员会、物业服务人和供水、供电、供燃气、通信等专业经营单位应当对既有住宅增设电梯给予协助和支持。既有住宅增设电梯的实施办法由市人民政府制定。
第四十九条 市、县级市（区）住宅物业管理主管部门应当建立物业维修保险机制，按照业主投保、企业参保、权责匹配、风险分担、维修便捷的原则，开展住宅物业共有部分维修保险工作。
## 第六章 公共收益和住宅专项维修资金
第五十条 建设单位、物业服务人利用业主的共有部分产生的收入，在扣除合理成本之后的公共收益，属于业主共有。公共收益的分配，有约定的，按照约定；没有约定或者约定不明确的，按照业主专有部分面积所占比例确定。公共收益由物业服务人管理的，应当单独列账，独立核算，不得擅自挪用，并接受业主委员会的监督；由业主委员会自行管理的，应当以业主委员会名义开设公共收益账户，接受业主和村民委员会、居民委员会的监督。公共收益的收支情况应当每年在住宅物业管理区域内显著位置公示一次，公示期限不得少于十五日。
第五十一条 业主委员会或者十人以上业主对公共收益有异议的，可以要求查询有关财务账簿；经已交付使用物业专有部分占建筑物总面积五分之一以上业主且占总人数五分之一以上的业主提议，业主大会或者业主委员会应当按照业主大会议事规则的规定，委托专业机构对公共收益收支情况进行审计。审计结果应当在住宅物业管理区域内显著位置公示，公示期限不得少于十五日。审计费用从公共收益中列支，没有公共收益的，由全体业主分摊。
第五十二条 住宅物业、住宅小区内的非住宅物业和与住宅楼结构相连的非住宅物业的业主，应当在办理房屋入住手续或者房屋所有权登记时交存首期专项维修资金。已竣工验收并达到交付条件，尚未售出或者尚未交付业主以及其他属于建设单位所有的房屋，建设单位在办理房屋所有权首次登记前，应当将首期住宅专项维修资金先行交存至住宅专项维修资金专户。建设单位已先行交存住宅专项维修资金的，可以在物业售出或者交付时向业主收取住宅专项维修资金，并向业主转交住宅专项维修资金专用票据。住宅物业配置电梯的，建设单位应当在房屋交付使用前按照建筑安装总费用百分之一的比例交存资金，专项用于电梯、消防等设施设备的更新和改造。该资金归业主共有，纳入住宅专项维修资金管理。
第五十三条 住宅专项维修资金属于业主共有，专项用于国家规定的保修期届满后物业共有部分的维修、更新和改造，不得挪作他用。业主大会成立前，住宅专项维修资金由住宅物业管理主管部门代管。业主大会成立后，可以决定自行管理或者委托住宅物业管理主管部门代管。决定自行管理的，应当在银行设立住宅专项维修资金专户，接受住宅物业管理主管部门的监督指导。委托住宅物业管理主管部门代管的，应当依法接受审计部门的审计监督。
第五十四条 业主大会可以在业主大会议事规则和管理规约中约定住宅专项维修资金的使用采取异议表决方式。使用异议表决方式的，应当以书面形式将告知书送达住宅专项维修资金列支范围内的业主，并在告知书中载明未按规定时间和方式反馈意见的，视为同意。
第五十五条 住宅物业管理区域内发生下列危及房屋安全以及人身、财产安全的紧急情形，需要立即进行维修、更新和改造的，业主大会或者业主委员会可以依法申请使用住宅专项维修资金：（一）外墙及其附着物存在脱落危险的；（二）公共护（围）栏破损严重的；（三）外墙、屋面渗漏的；（四）公共排水设施因坍塌、堵塞、爆裂等造成功能障碍的；（五）电梯出现故障的；（六）消防设施出现故障的；（七）其他危及房屋安全或者人身、财产安全的紧急情形。发生前款情形的，物业服务人、业主委员会应当及时设置警示标志，采取必要的应急防范措施。住宅物业管理主管部门应当自收到应急维修资金使用书面申请之日起三个工作日内完成审核。
第五十六条 下列费用不得从住宅专项维修资金中列支：（一）依法应当由建设单位或者施工单位承担的住宅物业共有部分的维修、更新和改造费用；（二）依法应当由相关专业经营单位承担的维修、养护费用；（三）应当由当事人承担的因人为损坏住宅物业共有部分所需的修复费用；（四）根据物业服务合同约定应当由物业服务人承担的维修、养护费用；（五）依法不得列支的其他费用。
第五十七条 住宅专项维修资金余额不足首期筹集金额百分之三十的，业主委员会应当组织业主按照国家和省相关规定以及业主大会的决定，续筹住宅专项维修资金。业主未按照国家和省相关规定以及业主大会决定，续交住宅专项维修资金的，业主委员会应当督促其限期交纳；逾期仍不交纳的，业主委员会可以依法向人民法院提起诉讼。
第五十八条 住宅物业管理主管部门应当完善住宅专项维修资金管理制度，建立日常监督检查机制，保障住宅专项维修资金的使用绩效和安全。住宅物业管理主管部门应当建立住宅专项维修资金日常查询制度，保障业主方便及时查询账户信息；及时公布住宅专项维修资金年度报告，接受业主的监督。
第五十九条 住宅专项维修资金除依法购买定期存款或者国债外，不得用于其他投资，不得借贷给他人或者为他人提供担保。
## 第七章 法律责任
第六十条 对违反本条例规定的行为，法律、法规已有处罚规定的，从其规定；构成犯罪的，依法追究刑事责任。
第六十一条 建设单位有下列行为之一的，按照下列规定进行处罚：（一）违反本条例第十二条第一款、第二款规定，未提出筹备首次业主大会会议书面申请或者未按照要求报送有关文件资料的，由住宅物业管理主管部门责令限期改正，逾期不改正的，处一万元以上五万元以下的罚款；（二）违反本条例第十二条第四款规定，未按照要求承担首次业主大会会议筹备经费的，由住宅物业管理主管部门责令限期改正，逾期不改正的，处五万元以上十万元以下的罚款；（三）违反本条例第二十九条第二款规定，未移交有关查验资料的，由住宅物业管理主管部门责令限期改正，逾期不改正的，给予通报，处一万元以上十万元以下的罚款；（四）违反本条例第三十条第一款至第三款规定，未按照要求配置必要的物业服务用房的，由住宅物业管理主管部门责令限期改正，给予警告，没收违法所得，并处十万元以上五十万元以下的罚款；（五）违反本条例第五十二条第二款规定，未按照规定交纳住宅专项维修资金的，由住宅物业管理主管部门责令限期改正，逾期不改正的，处应交纳住宅专项维修资金百分之十以上百分之三十以下的罚款。
第六十二条 物业服务人有下列行为之一的，按照下列规定进行处罚：（一）违反本条例第三十六条第一款第一项、第三项、第四项、第七项、第九项规定，未公布相关信息或者公布虚假信息的，由住宅物业管理主管部门责令限期改正，逾期不改正的，处一万元以上五万元以下的罚款；（二）违反本条例第三十六条第一款第二项、第五项、第六项、第八项规定，未公布物业服务事项等相关信息或者公布虚假信息的，由县级市（区）市场监督管理部门责令限期改正，逾期不改正的，处一万元以上五万元以下的罚款；（三）违反本条例第四十一条第一款规定，未履行交接义务的，由住宅物业管理主管部门责令限期改正，逾期不改正的，予以通报，处五万元以上十万元以下的罚款；（四）违反本条例第四十一条第三款规定，拒不退出住宅物业服务区域的，由住宅物业管理主管部门责令限期改正，逾期不改正的，处五万元以上二十万元以下的罚款；（五）违反本条例第四十七条第二款规定，对住宅物业管理区域内违法行为未予以劝阻、制止，或者未及时报告有关主管部门的，由住宅物业管理主管部门责令限期改正，逾期不改正的，可以处一千元以上五千元以下的罚款；（六）违反本条例第五十条第三款规定，对其管理的公共收益未单独列账的，由住宅物业管理主管部门责令限期改正，逾期不改正的，处三万元以上十万元以下的罚款；挪用公共收益的，给予警告，没收违法所得，可以并处挪用资金二倍以下的罚款。
|
Chinese
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8k
|
T5. Attribution & Citation Alignment
|
T5.1 Full-Sentence Citation Alignment
|
Full
|
对下列摘要中的每一句话，标注来自原文的最小充分出处（章节号.条款号，如1.1表示第一章第一条）。先输出“[答案]”标识符，再以“摘要句子序号 出处”的格式按行输出每句话的出处，若一句话有多个出处，则输出多行，每个出处占一行，不要输出任何其他内容。
摘要句子：
1. 筹备首次业主大会会议时，建设单位应当向乡镇人民政府、街道办事处提出书面申请并承担筹备经费，筹备组由业主、建设单位等派员组成且业主成员不少于60%，筹备组应当自成立之日起7日内公示成员名单，业主委员会选举时筹备组应当核查候选人资格并提出名单。
2. 建设单位应当通过公开招投标方式选聘前期物业服务企业并签订前期物业服务合同，在销售物业时向买受人明示前期物业服务合同和临时管理规约，并自合同签订之日起15日内备案，物业服务企业承接物业时应当进行查验并签订协议。
3. 物业服务人应当公布营业执照、服务标准、收费项目等信息，并建立投诉受理机制，不得因业主拖欠物业费而中断供水供电，物业费收费可以采取包干制或酬金制，并需单独列账核算。
4. 占用业主共有的道路停放汽车应当优先业主使用并收取费用，且不得占用消防车通道，禁止违法搭建、露天焚烧、从建筑物抛掷物品等行为，物业服务人应当及时劝阻和报告，并公布相关信息。
5. 公共收益属于业主共有且应当单独列账，住宅专项维修资金用于物业共有部分维修且可在紧急情况下申请使用，余额不足30%时应当续筹，不得用于投资或担保，并需接受审计监督。
输出示例：
[答案]
1 3.5
1 3.6
1 3.7
2 2.14
2 2.15
2 2.16
3 6.54
4 6.56
5 4.33
|
对下列摘要中的每一句话，标注来自原文的最小充分出处（章节号.条款号，如1.1表示第一章第一条）。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再以“摘要句子序号 出处”的格式按行输出每句话的出处，若一句话有多个出处，则输出多行，每个出处占一行，不要输出任何其他内容。
摘要句子：
1. 筹备首次业主大会会议时，建设单位应当向乡镇人民政府、街道办事处提出书面申请并承担筹备经费，筹备组由业主、建设单位等派员组成且业主成员不少于60%，筹备组应当自成立之日起7日内公示成员名单，业主委员会选举时筹备组应当核查候选人资格并提出名单。
2. 建设单位应当通过公开招投标方式选聘前期物业服务企业并签订前期物业服务合同，在销售物业时向买受人明示前期物业服务合同和临时管理规约，并自合同签订之日起15日内备案，物业服务企业承接物业时应当进行查验并签订协议。
3. 物业服务人应当公布营业执照、服务标准、收费项目等信息，并建立投诉受理机制，不得因业主拖欠物业费而中断供水供电，物业费收费可以采取包干制或酬金制，并需单独列账核算。
4. 占用业主共有的道路停放汽车应当优先业主使用并收取费用，且不得占用消防车通道，禁止违法搭建、露天焚烧、从建筑物抛掷物品等行为，物业服务人应当及时劝阻和报告，并公布相关信息。
5. 公共收益属于业主共有且应当单独列账，住宅专项维修资金用于物业共有部分维修且可在紧急情况下申请使用，余额不足30%时应当续筹，不得用于投资或担保，并需接受审计监督。
输出示例：
<你的思考过程>
[答案]
1 3.5
1 3.6
1 3.7
2 2.14
2 2.15
2 2.16
3 6.54
4 6.56
5 4.33
|
[
"1 2.12",
"1 2.13",
"1 2.14",
"2 3.27",
"2 3.28",
"2 3.29",
"3 4.34",
"3 4.36",
"3 4.39",
"3 4.40",
"4 4.36",
"4 5.45",
"4 5.47",
"5 6.50",
"5 6.53",
"5 6.55",
"5 6.57",
"5 6.59"
] |
Extreme
|
0616885c1e46a5cc587bc70d9fb0edb0abb0a3cda17a98051dac12793953c192
|
个人自我陈述报告
自我陈述可明确自身具备那些优势，你有哪方面的专业知识和特长，才能，受过哪方面的培训和锻炼，对学科有何研究，有哪方面的成就等等。下面是小编精心整理的个人自我陈述报告（精选43篇），欢迎阅读与收藏。
高三个人自我陈述报告 1
本人在校热爱祖国，尊敬师长，团结同学，乐于助人，是老师的好帮手，同学的好朋友。我学习勤奋，积极向上，喜欢和同学讨论并解决问题，经常参加班级学校组织的各种课内外活动。在家尊老爱幼，经常帮爸爸妈妈做家务是家长的好孩子，邻居的好榜样。高中以来我学到了很多知识，思想比以前有了很大的提高，希望以后能做一个有理想，有抱负，有文化的人。
本人能自觉遵守中学生守则，积极参加各项活动，尊敬师长，与同学和睦相处，关心热爱集体，乐于帮助别人，劳动积极肯干，自觉锻炼身体，经常参加并组织班级学校的各种课内外活动。
本人关心了解时事，具有国家和民族自豪感，遵纪守法、举止文明、正直守信、有团队精神、热爱劳动、乐于帮助他人，并自觉爱护环境卫生。此外，擅长打排球等各种球类，担任过长时间的排球队长，参加了历年的班级各种比赛。有较强的自学能力，勤钻研，肯思考，能合理安排好学习时间，善于摸索符合自己的学习方法，养成良好的学习习惯。理解能力强，思维敏捷，对问题有独到的见解。并取得了较好的成绩。
时光飞逝，高中生活就要结束，在过去的xx年中我快乐的成长，慢慢的进步，不知不觉长大了许多，成熟了许多。我认真的学习，不放过学习上的缺点，从学习中获得知识和乐趣，也在学习中思想得到升华，取得了较优异的成绩，得到了老师认可，帮助同学解决生活学习中的困难和同学关系非常融洽，在运动会中也表现出色，为班级做出贡献。遇到挫折不退缩。我以后会更加努力。
高三个人自我陈述报告 2
随着三年高中生活的结束，我在一步一步走向成熟，我是一个比较内向的学生，但是很热爱学习，无论何时你看到的我总是一个学习努力，积极探索，不怕困难的人。
我对待学习一丝不苟，端正的学习态度是我有很好的精神面貌，受到老师和同学的.一致好评。我热爱班集体，有很强的责任感，坚决不做有损于班集体荣誉的事情，不怕苦不怕累，积极为班集体贡献自己的一份力量。我尊重父母、老师，对待老师指出的错误能虚心接受。自强不息和努力奋斗是我的人生格言。我会坚定理想，努力朝着目标前进。
在学习方面，我觉得对于一个高中生来说，学习是无比重要的，我们只有通过不断的学习，才能不断的提高自身的文化修养和素质修养。这是我们当代高中生必备的涵养，作为千千万万当代高中生的其中一位，我时刻记得要好好学习，天天向上。无论是课内的知识还是课外的知识，我都会以一种虚心的态度去学习。
在生活方面，我同样以一种虚心向学的姿态，向身边优秀的同学学习。在与很多同学接触的这三年时间里，我也懂得了很多生活的乐趣，我们一起谈笑风生，快乐无比。我们相互帮助，不让哪个同学落单。这些，都让我感到家一般的温暖，让我学会了感恩。
在社会实践方面，我喜欢利用假期时间，去做一些兼职。我觉得，校园只是我们社会的一个缩影，要真正的得到历练，我们还必须走出校园，走向真正的社会，在这样的环境下，我们方可历练自己。学会吃苦，学会容忍，学会微笑，学会谦让。这样的我们才能立足于社会的不败之地。
高三个人自我陈述报告 3
高中对我来说，是收获的时期。通过努力，高中阶段我获得了一个又一个令人欣慰的成果。
在学习上，刻苦让我收获了成绩。对待学习一丝不苟，上课能紧跟老师进度并进行自学，对待作业态度认真，并且能及时复习。因此，我的成绩一直名列前茅，多次获得学习标兵称号。高中阶段，我一直担任课代表之职，作为联系老师和同学间的纽带，既能及时将同学们的问题反映给老师，又将老师布置的任务传达给同学，每天尽心尽力的奔走，赢得了同学们广泛的好评。
在日常生活中，我热爱集体，能积极参加各项活动。而且能与同学和睦相处，关心、照顾有需要的同学，给予同学帮助，这让我收获了同学间的友情。同时，能遵守各项纪律，遵守中学生日常行为规范准则。
课余时间，我爱好广泛，关注新闻时事，还参加了学校的科技社，这些都增加了我的见识，拓宽了我的知识面。
我因此也明白中学是一个充满竞争和挑战的地方，不能有放松自己的任何念头。于是为了给新的老师同学留下一个好印象，我充分发挥自己的长处，很快成为了班长。成为班长后，我就更加严格要求自己，用“班长”二字，时刻提醒自己。
果然，通过努力我取得了全班第一的好成绩，但我并没有骄傲，我知道以后等待我的路还很长，我一直坚信“有努力，就一定会有成功！”
我拿到了三张奖状，两张社会实践报告奖励表，收获是真的`不少，但也有许多地方需要加强——积极锻炼身体。相信我，通过我的努力，我一定会成功的。下个学期，我一定会以更好的精神面貌去迎接的。
高三个人自我陈述报告 4
我是一个热爱生活，做事认真的人。在高中阶段的学习生活中，我不但学到了丰富的知识，同时，在各方面也得到了完善。在困难面前，我从不后退，总是开动脑筋，想方设法去解决问题，克服困难。而每解决一个问题，克服一个困难，都使我的信心得到了提升。我相信，只要有足够的自信，加上加倍的努力，就一定能够战胜各种艰难险阻，通向成功的彼岸。
在高中阶段的学习过程中，我能够认真对待每一门课程，认真预习，积极复习。遇到问题，向同学请教，向老师咨询。我会不断改进学习方法，调整学习计划，合理安排时间。我把学习当成获取知识，丰富自己的乐事，对它充满了兴趣。我有正确的人生观和价值观。善于与同学沟通，同他们建立良好的关系，尽最大的努力帮助他人。在生活中，我能够尊重师长，孝敬父母。我能够积极参加学校和社会上组织的有益活动，以丰富自己的课余生活。我喜欢体育，并积极参与其中，在运动中体会快乐，收获健康。
我身上还存在着不少缺点和不足，今后，我要加倍努力，不断完善自己。
高三个人自我陈述报告 5
转眼之间，我将告别多姿多彩的高中时光，回首三年的高中时光，觉得紧张、充实，令人难忘。 我热爱祖国，始终不渝地坚持改革开放的基本国策。
我力求上进，参加了青年党校的学习，使自己的思想觉悟逐步提高。时光简朴，是非分明，谦虚诚实。在校遵守纪律，尊敬师长，团结同学。化学科代表工作认真负责，能替同学排忧解难。有较强的集体荣誉感，能努力完成集体交给的任务。为此，我在高二、高三年两度被评为校级三好生。
学习态度端正，勤奋、刻苦、好问，有较强的钻研精神。思维较严密，具有一定的自学能力和综合分析、解决问题的能力。能不断总结和探索适合自己实际情况的学习方法。重视理论联系实际，学以致用，常与老师和同学探讨问题。学习成绩优秀，理科成绩较突出，在全国中学生物理竞赛（高中组）中获福建赛区省三等奖和厦门赛区市一等奖，为学校、为班级争光。
课余，我积极参加体育锻炼，体育成绩达标。兴趣广泛，爱好问题活动，曾获得第38届校运会男子3000米第三名；39届校运会男子1500米第五名，男子3000米第二名；第40届校运会男子1500米第六名，男子3000米第二名，为班级争光。
但由于晚上学习较迟睡，早晨上课有时迟到。我将不断总经验教训，珍惜青春年华，努力学习，把自己培养成一名合格的社会主义建设者和接班人，为祖国的现代化建设贡献自己的热血与青春！
高三个人自我陈述报告 6
匆匆走过十八年，迎来高三。即将步入大学之际，重新审视自我，我认为我有以下四个方面优点。
首先，品德优良。爱国、敬业、诚信、友爱，是我为人处世的准则之一。我待人随和，善解人意，乐于助人，同学们都愿意同我做好朋友；尊敬师长，孝敬父母，常常帮长辈们排忧解难，老师和家长都夸我是好孩子；文明守法，勤俭节约，力求做社会上的好公民。同时，我还具有积极向上的心态，热爱生活，能够欣赏生活中无处不在的美，能够带给身边人阳光。
其次，才能出众。我学习刻苦，成绩优异，多次获得表彰，不断追求自我超越。中学阶段，我共整理了四本文集，并作自传数万余字。我有很强的组织策划能力，学校的各种活动少不了我的身影。我积极参与组织学校文化日，组织慈善义卖活动，排演话剧歌剧，编演相声，为宣传片编剧……社会上也能听到我的声音。我善于沟通言谈，多次成为北京人民广播电台直播、录播及电台活动的嘉宾，在校成立“广播、主持人社团”，架起广播与中学生的桥梁，还曾个性与发展自我评价寄信提出自己对广播节目的建议（提出中学生对广播的建议），获得电台内部高度重视。
第三，爱好广泛。我喜欢旅游。每年假期都会和家人一起自驾游，足迹已踏遍中国绝大部分省份。旅途中我无时不在感悟自然，体察社会，能将所见所感与所学很好地结合，并以讲座的形式在班中分享，赢得老师同学们的好评。我喜欢艺术。我与同学合作的一幅柏林电影节主题绘画，被学校选为代表赠予德国大使馆。平日里我热爱唱歌，参与过学校两届声乐表演，还曾为古诗词谱曲，也曾原创填词翻唱歌曲。在北京大学艺术夏令营中，我主动带领大家排演节目《千手观音》。
最后，远大的理想。我具有强烈的社会责任感。未来我愿意从事一些真正对社会有益的职业，绝非苟安。“行万里路”使我深深爱上了西部这片广袤的土地，我愿意为祖国西部发展贡献出自己的一份力量，而非固守优越生活。本性中对于传统文化的追求也使我产生了文化责任感，我愿意为保护、传承传统文化而默默付出。当然，我也清楚地认识到自己还存在许多不足，有待改正。高三是高中的句号，却是人生的逗号，在未来我会继续取长补短，完善自我，努力实现自己的人生理想和价值。
高三个人自我陈述报告 7
人生中最美好的三年已经过去，回顾过去，既有后悔、又有欣喜、灰心的事情。但是高中三年已经过去了，我现在能做的就是通过回顾这过去的三年，从中发现启示，让自己现在以及接下来的时间里做的更好，不让后悔的事情发生。
在高一的时候，我因为新环境变动，以及教学内容难度的增加，我在上学期难以适应，因为这样的情况也干扰到了我学习情况，不仅在上课时注意力不集中，在课后也疏于学习，导致在上学期成绩一直不是很理想，在下学期中因为上学期的学习基础差，出现了比上学期更糟糕的境况，自己的成绩也再次下降，长期处于班级中后游，我试过一些努力，可能是自己方式不正确，并没有起到很大的作用。
当然这种糟糕的状况只出在学习成绩上面，但是并没有影响到我其他的校园生活，我会积极参加这年里学校举行的各种活动，如校运会、艺术节、元旦晚会等，并取得了相应的名次，为班级在这个上面获得荣誉。并且在这学年里我担任了班级的团支书，管理班级的团支部的工作，并在这份班干部工作中做的很好，没有出现过错误，基本能过完成自己的职责。
在高二时，我的成绩也陷入低谷，这种情况甚至比高一时还严重，这个时候我就对自己选择出现了质疑，对自己学习的定位也出现了动摇。很感谢我的班主任老师在这个时候给我帮助，开导我、警戒我、教导我，我在下学期的时候意识到马上就要高三了，没有太多多余的时间让我继续浪费上去。我在这个时候就开始时时刻刻的努力，在学习上遇到问题也会去询问班主任老师，自己也将每天的时间用在学习上，尽量弥补自己与其他同学的差距。
在高三时，通过自己觉悟后的努力下，自己的学习成绩也终于有了一点起色。在高三这年，因为是最后一年，不想留下遗憾，所以也比高二时更加努力。在加上老师对之前课程的复习，让我的成绩有了巨大的进步，我的名次也进入班级的中上游，虽然不算最好，但是我对自己的努力成果也已经十分努力了。
虽然成果不尽人意，但是总的来说我对自己这三年还是比较满意，因为我最后也尽到了自己最大的努力，虽然还是有点小遗憾，但是这正是这些小遗憾才让这三年更加有价值。
高三个人自我陈述报告 8
三年高中生活马上过去了。蓦然回首，感慨颇多。刚迈入高中的时候对一切似乎都充满新鲜感，于是到处跃跃欲试，结果碰壁较多。不过吃一堑，长一智，在这个高中生活中我除了努力完成自己的学习目标，也利用各种活动丰富自己的生活，增长自己的才干。
学习是学生的基本，所以，我至始至终都把学习摆在第一位。三年里学校开的课很多，正因为这样，只有珍惜每一分每一秒的学习时间，坚决不迟到不早退不旷课，才对得住自己的高中学习生涯！同时，我认为高中是一个不断完善自己，不断充实自己的时期。我本着立足专业，综合发展，做学问，学做人的准则从及全面发展的目标，积极主动参加了社会劳动实践课程，使我在文化知识，思想素质，社会实践和人际处理方面都得到了长足的进步。
虽然高中三年来，我在各方面都有显著进步，但我也清楚地认识到自己的不足之处：钻研精神还不够。在今后的学习中，我相信我一定能克服这个缺点，以自己的所学所长更好地报效祖国。
总的来说，高三这半年较高一高二在心态上有了明显的改变，比以前更加积极了，更感觉有动力了，似乎渐渐地找到了全新的方法，课堂上更加专注了，效率也提高了不少，感觉心态有所调整，反而比以往从心理上有少许轻松。能积极地面对每一天，以更加从容和成熟的心态去上好每天的课，也能更为主动的去问题。也希望在成绩上能在原有基础上更进一步，弥补弱势学科和他人的差距，要在薄弱科目上更多下功夫依然用笑容面对每一件事，每一个人，还有几个月的时间，不能懈怠，要用更饱满的热情去学习，去奋发，尽最大的努力拥有一个美好的夏天。就没每一天来讲，还是要踏踏实实地干好自己的活，心如止水，始终不忘当前的主要任务，不能放过任何一问题，一步一个脚印地走到六月！
高三个人自我陈述报告 9
高中生活宛如白驹过隙，伸出手想挽留，却发觉时间已从和指间溜走。仿佛是昨天带着新颖与幻想进了入了高中的校门，今日却又将奔赴高考的战场。
高中三年定将是我人生最美的回忆，一路磕磕碰碰走来，洒下了欢声笑语，也难忘那些迷茫无助的日夜，但我仍无怨无悔地走到了现在。在这里，我变得更加顽强，更加英勇。每一次考试不只坚学问的检测，还是对心理的考验，也曾可怕过，也曾哭泣过，但我知道自己正在成长着。
不知多少次将自己的目标降了又降，不知多少次面对身边的高手想说放，我知道，我能走到现在离不开教师曾经的鼓舞，高二时班主任总对我说要有自信，教师永久信任你。或许就是在放弃与挣扎的边缘上，我慢慢明白我要英勇地走下去，走出自己的风采，制造自己的辉煌。
胜利、失败都已成为过去，我要尽最大的努力为高中生活画上一个圆满的句号，纵使一百次跌倒，我也要第一百零一次站起来，不到最终时刻，我决不会放弃自己的幻想！
既然选择了在大海航行，纵使风再大，浪再狂，都没有理由转变戏定的航程！
高三个人自我陈述报告 10
高中学习生活是我一生中最重要的阶段。三年不仅是我不断增长知识，开拓眼界的三年，更是我在思想、政治文化上不断提高认识，学会做人的三年。我已逐渐成为一名有理想、有道德、有文化、有纪律的合格中学生。
在思想政治上，我热爱祖国，关心国家大事，每天注意收看新闻联播。我参加了学习小组，曾随学习小组参观学习，激发了我努力学习科学文化知识的兴趣。我富有助人为乐精神，积极参加捐书、捐款活动，为“希望工程”尽自己一点棉薄之力。我参加青年自愿者服务队，为欲返乡的打工者送水送温暖。作为一名班长，我在班级各项活动中都能起带头作用，对工作认真负责，富有主人翁精神，能做老师的得力助手。我认真遵守学校纪律，热爱班级集体，积极参加学校或年段组织的各项集体活动，如校运会、篮球赛，为班级夺得不少荣誉。我的劳动积极性强，不怕脏，不怕苦，在创卫劳动中有突出表现。学习上我自觉、认真，学习方法较灵活，能科学安排好时间。有竞争意识，分析问题、解决问题能力较强。我课前做好预习，课堂上积极思维，大胆发表意见，配合好老师，能较高质量完成作业，课后及时对知识进行归纳、梳理，使我的知识系统化。学习成绩保持在年段前茅，在作文比赛中获奖，曾参加英语奥林匹克竞赛。曾被评为“校优秀团员”。我热爱体育活动，认真上好体育课，积极参加体锻，体育成绩优秀。我加入校篮球队，曾获篮球比赛三等奖。我热爱各项文体活动，兴趣广泛，经常利用课余时间画画，阅读各类进步书籍。
但我还存在缺点，如对不良行为不敢大胆批评。我们是跨世纪的人才，任重道远。今后我将继续努力。“长风破浪会有时，直挂云帆济沧海”，怀着饱满的热情、坚韧的性格、勤奋的态度，等待着我的是机遇与挑战！
高二个人自我陈述报告 11
高二一年以来，我积极参加学校组织的各项活动，如田径运动会，社区服务活动和走进工厂大型社会实践活动等。这为我的人生阅历增添了不少光彩，还使我增强了实践能力和组织能力。
在校期间，我能自觉遵守中学生守则，遵守学校纪律认真做好分内之事，我所在宿舍多次被学校评为星级宿舍。另外，我积极参加各项活动，尊敬师长，与同学和睦相处，关心热爱集体，乐于帮助别人，劳动积极肯干，自觉锻炼身体。
在学习上踏实勤奋，积极向上，喜欢和同学讨论并解决问题，经常参加班级学校组织的各种课内外学习活动。
在个人情商方面，我也深刻认识到自己的不足，字写的不是非常好，有时候做事情会只有三分钟热情，有时与同学相处不是非常好。我相信只要克服这些问题，我就能做的更好。
这一年来我学到了非常多知识，思想比以前有了非常大的提高，希望以后能做一个有理想，有抱负，有文化的人，为建设社会主义中国做出自己的努力。
高二个人自我陈述报告 12
光阴似箭，岁月如梭，高二如流水般悄悄流逝，又是一个春绿江南的日子，在这个草长莺飞的日子里回首往事，不禁让人有些失落，伤感。其中又蓬勃着些许生机。
短短两年中，我从一个无知的少年成长为一个立志报国的青年，虽然在美好的年少时光里，我没有将足迹遍布于祖国的名山大川，但我对祖国的一草一木，一山一河爱得那么深。虽然在枯燥的学习生活中，我无数次失败，但我从不放弃。我知道，每一次在挫折面前站起就能成功。所以我屡败屡战。虽然我还没有真正领会到生命的真谛，但我不会放弃对生命的探索。没上过高中的人，他的生命里注定少一道风景。而没有上完高中的人，他的人生必定充满遗憾，有人说：“上高，后悔两年，没上高中，后悔一过辈子。"是的，正是高中的生活磨练了我们，坚强了我们，使我们对未来无所畏惧。
未来是属于我们的，我们不会满足现状，以上就要开启人生又一段历程，我对自己说：“为梦想而战，永不放弃，永不止步”。
花开花落，冬去春来，十几年的求学生涯转眼已逝。一路走来，我终于走过了。
高二个人自我陈述报告13
两年一晃而过，高中的学习也结束了，高中的学习是如此的紧张，时间也是如此的紧迫，现在自己的学习也要告一段落了，高中毕业之后，自己也将要去往更高的地方去学习和生活，未来也会面临各种各样的挑战，所以我也希望自己可以一直坚持到底。
高中两年，我将自己的学习化成是自己最为重要的任务，所以在学习上面，我也不需要老师或是家人操心，我也可以自觉主动的去完成自己的学习，在学习的过程当中，我也会将自己不懂的地方及时的去请求老师的帮助，在上课的时候认真的听讲，严格的按照老师所规定的纪律来学习和生活，在校园生活里面，遵守学校的规章和制度，遵守学校以及班级所制定的各种规矩，同时也会按照学校的秩序来学习，保证自己在学习上和生活上都可以稳步的发展，高一的时候，我就从心里奠定了自己要好好的学习的信念，我也懂得高中对于自己以及对于所有的学生的重要，所以我也做好了一切努力的准备，准备在自己的高中学习当中大放光彩，慢慢的我也到了高二的学习，我也会常常的感觉到学习上的难度，以及在学习上会遇到很多的困难，但是一直以来的信念都告诉自己必须要坚持，我也会去请求老师或是同学的帮助，去将自己在学习上所遇到的困难都一一的解决，同时也会去认真的完成自己的学习，我也会努力的去变得更好，进入高三之后，自己也开始感受到学习上的压力，以及时间上的紧迫感，我也懂得自己在高中所剩下的时间不是很多了，我也要更加的努力继续学习，虽说自己有时候也会感到有一些的劳累，但是我也绝不会允许自己放慢自己前进的脚步，所以我也抓紧一切的时间，将自己的学习做好，做到完美。
在高中两年的学习当中，我有时候也会有想要放弃的念头，但是我也会不甘心自己努力拼搏了这么久的时间，所以我也更加的打起精神，尽力的去做好自己的事情，完成好自己的学习，慢慢的我也会发现学习的乐趣，对于学习的热爱也更加的深厚，我的求知欲也随着对于学习的热爱更加的大，我也很幸运自己可以一直坚持下去，对于自己的学习可以不停的努力，我也相信自己在毕业之后，还会继续完成好自己的学习，更深层次的去发展自己的，现在我也可以好好的休息放松一下，准备迎接自己之后的学习和生活的到来。
高二个人自我陈述报告14
本人两年来，学习上我严格要求自己，注意摸索适合自己情况的学习方法，积极思维，分析、解决问题能力强，学习成绩优良。
我遵纪守法，尊敬师长，热心助人，与同学相处融洽。我有较强的集体荣誉感，努力为班为校做好事。作为一名团员，我思想进步，遵守社会公德，积极投身实践，关心国家大事。在团组织的领导下，力求更好地锻炼自己，提高自己的，提高自己的思想觉悟。
性格活泼开朗的我积极参加各种有益活动。高一年担任语文科代表，协助老师做好各项工作。参加市演讲比赛获三等奖。主持校知识竞赛，任小广播员。高二以来任班级文娱委员，组织同学参加各种活动，如：课间歌咏，班级联欢会，集体舞赛等。在校文艺汇演中任领唱，参加朗诵、小提琴表演。在校辩论赛在表现较出色，获最佳辩手称号。我爱好运动，积极参加体育锻炼，力求德、智、体全面发展，校运会上，在800米、200米及4100米接力赛中均获较好名次。
两年的高中生活，使我增长了知识，也培养了我各方面的能力，为日后我成为社会主义现代化建设的接班人打下了坚实的基础。但是，通过三年的学习，我也发现了自己的不足，也就是吃苦精神不够，具体就体现在学习上钻劲不够、挤劲不够。当然，在我发现自己的不足后，我会尽力完善自我，培养吃苦精神，从而保证日后的学习成绩能有较大幅度的提高。
作为跨世纪的一代，我们即将告别高二时代的酸甜苦辣，迈入高三去寻找另一片更加广阔的天空。在这最后高二生活里，我将努力完善自我，提高学习成绩，为几年来的学习生活划上完美的句号，也以此为人生篇章中光辉的一页。
高二个人自我陈述报告 15
高二如白驹过隙转瞬即逝。高中三年，有过成功的喜悦，有过失败的痛苦。但毫无疑问的是我真诚度过了每一天。我可以问心无愧的说一句：我用生命充实了高中每一天！
从知识方面来讲，无论从知识的宽度还是深度都有了进一步拓展，我和同学们一起以最饱满的热情，最昂扬的斗志，最刻苦的精神勤奋学习，提升了成绩。
从思想行为方面，我逐渐变得成熟，我会怀着感恩的心去对待辛辛苦苦培养我的父母，勤勤恳恳教育我的老师，真真切切对待我的同学。我用智慧丰富内涵，我努力成为一名有思想有道德的人。
“天行健，君子以自强不息；地势坤，君子以厚德载物。”短暂的痛苦与未来相比算得了什么！我宁愿忍受寂寞，我不后悔我的高中！回味高中，我更加充满信心，我将继续努力，为成为社会栋梁而努力奋斗！
高二个人自我陈述报告 16
一眨眼高中生活飞快就过去了，我现在都还依稀记得高一那年刚入学的我们是什么模样，高中这几年又做了多少的傻事，现在回想真的是感觉有些搞笑。这两年我真的过得很快乐，虽然有着学习上的压力，但是每天和同学们相处在一起的感觉真的很好，虽然也和大家发生过一些摩擦但现在回想真的也都只是一些小事，掩盖不了大家这么几年同窗的感情。
都说人生有四大关系最铁，其中就有着一起同过窗，而现在要毕业了也真的越发感觉到不舍和留恋的感情。虽然我们好像也没有一起经历过什么很大的事情，但也正是两年的相处，大家慢慢的磨合慢慢的成长，让大家也都在心底留出了一个位置给对方。真的好希望时间永远都停留在高一那年大家刚刚认识的那个夏天，那个时候的我们没有什么学习压力，也不需要去面对离别的感伤，只是怀揣着对于高中生活的期待。
这两年里，我成长了很多，学习到了很多，也经历了很多，我开始懂得了父母的辛苦，赚钱的不容易，学习对于我们的重要性。在这两年的时间里，不管经历什么我都没有停下自己学习的步伐，一直坚定的往前行走着，坚守着我作为一名学生的责任。也很感谢父母对我这么多年的照顾和鼓励，如果不是因为他们的话，我想我是坚持不住高中学习生活这么大的压力的。虽然这两年压力很大，任务很重，但也因此学习到了很多的东西，那些需要用到的知识，也开阔了自己的眼界，知道了世界不仅仅只是这么大，外面还有着更好更精彩的一片天空。但我却不想去看，我只想时间永远停留再高中生活，能够永远和我的这群同学和朋友们继续相处。
在学习知识的同时我也没有放下学习为人处世，也一直保持着自己的素质和教养，做一个有礼貌讲文明的好学生。也通过参加学校广播台锻炼自己的胆量和口才，也参加了一些学校举办的比赛，就是为了让自己能够变成一个活泼开朗处事大方的人，让自己不再像初中一样和别人讲话都不好意思。而两年下来，现在的我也达成了自己当初的想法，完成了自己的那些目标。不再像以前一样内向胆小了，我开始能够在人群中自如的相处。虽然现在的我马上要毕业了，但我也知道我其实还有着很多不足的地方，我会更加努力的去学习，让自己变得能够更加优秀。
高二个人自我陈述报告 17
时光荏苒，转瞬间，我也已经是一个高中毕业的学生了。在这高三毕业之际，回首过往两年的学习和生活，一切都好像昨天刚刚发生似的，历历在目。
两年来，作为一个高中的学生，最重要的，当然是学习。这两年里，我在学习上严格要求着自己，从高一刚入学的中等成绩，“杀”到了年级的前三，这里面的巨大变化，都是因为我有一个考上x大的理想在作用着我，我积极努力地改变着自己的学习，如果遇到学习方法不太对的问题，我也会主动咨询老师，让老师帮我看看是不是我的学习方法哪里出了问题，这里面的所有改变，除了老师的帮助，最多的还是我自身的调整。
两年来，作为一个高中生，我也遵纪守法，尊敬每一位师长，热心帮助着身边的人，与同学关系相处的融洽。又因为我是一名班干部，还是一名团员，我的集体荣誉感很强，总是想着为班集体做好事，为学校做好事，遵守着良好的社会公德，做着一个三好的学生。不仅在上学的日子里，给身边的同学老师帮忙，而且在周末时，也会常去敬老院照顾老人们。
除了学习成绩优秀，尊师重道外，我还是一个积极参加学校各类活动的学生。因为我性格开朗活泼的缘故，我时常积极主动去学校里组织的一切活动。在高一的时候，我就是我们班的语文课代表了，这使得学校里一切有关语文的活动，我都是第一个报名参加。两年来，我参加了市里的演讲比赛，获得了第二名的好成绩，以主持人的身份参加了学校组织的知识竞赛，还担当着学校广播站的广播员。在高二的时候，我被老师选为了我们班的文艺委员，专门负责组织同学参加文艺活动，我带头参加了学校组织的各项文艺活动，获得了唱歌比赛的一等奖，朗诵比赛的特等奖，也获得了舞蹈大赛的三等奖。我也爱好体育活动，积极参加体育锻炼，在校运会上，获得了接力跑的第一名，在蛙跳比赛中获得了第二名。
两年的高中生活，让我不仅增长了知识，成为了一个讲文明讲礼貌的好学生，也让我培养和锻炼了我各个方面的能力，为我将来成为一个优秀的大学生做好了铺垫。在两年的学习中，我也有一个小的缺点，那就是人不够稳重，有一些浮躁。也许这一点是因为自己还太年轻吧！但愿自己未来能够沉稳一些，不再给人以心浮气躁的感觉！加油！
高二个人自我陈述报告 18
不知不觉两年的时间已经过去，我也从哪个刚刚进入高中什么都不懂的小孩子变成了现在的一个大小伙子。两年的时间让我学习到很多，不单单是知识上，更是从同学身上学习到了很多的优点也收获了一群珍贵的小伙伴。
我想不管是多少年后回想起这段时间这都会是我最想念最弥足珍贵的画面。而我自己也通过这两年的时间明白了自己的目标和学习的意义。就像老师和父母经常说的那样学习从来都不是为了别人，而是为了自己，为了自己的以后，为了自己能够有着更好物质生活的条件为了让自己能不像别人一样人云亦云。而我的目标也是从父母一开始给我灌输的那样从考一个好大学慢慢的有了更加实质的目标，而考一个好大学只是靠近目标的一部分，之后我还有着很长的一段路需要走。而想要完成自己的目标则是需要我拥有着更多的知识，而想要拥有更多的知识就需要我不断的学习，通过学习来积累自身。
在刚刚来到高中的时候我还很期待，但是也有着一丝的迷茫。我终于如愿以偿像父母期待的那样来到了这所高中，我期待着我在未来两年里会发生的事，会遇到的人。但是我也迷茫着，我不知道自己这么努力学习的真正意义是什么，我好像从来没有过自己主动的想要完成一件事，而当我想要去做的时候，父母会告诉我现在我需要做的是好好学习，告诉我学习以后找个好工作，能够不像他们一样辛苦。
但是却也从来没有问过我是不是喜欢这件事情，现在我也想明白了，父母也确实是为了我好，我也应该体谅他们。而让我在这两年里能成长这么多我想是少不了我遇到的人的帮助。本以为大家都是高中生没什么区别，但是同学们真的让我意识到了自己和他们的差距。大家都有明确的目标学习是为了什么，考一个好大学是为了什么，只有我是被动的学习，从来没有明确的目标。所以我也在这两年里通过和同学们的接触不断的成长，从而找到了自己的目标所在。我想有一个目标是很好的，这将会是我所努力奋斗的目标也是我期待已久的意义。而现在我虽然毕业了，但是我知道自己距离完成自己的目标还有着很远的差距，我也会通过未来的时间里继续学习，让自己不断向自己的目标靠近。
高二个人自我陈述报告 19
本人知道高中的学习是完全能够可以改变我们一生的，是可以改变我们的人生轨迹的，所以自己更加的需要付出更多的努力，保证在以后不会后悔自己现在没有足够的努力。在高二的期末的时候，我也顺利的一次性将自己的毕业会考给过了，也没有存在挂科及不及格的现象，在自己理科的学习当中，也慢慢的习惯了这种强度的学习，每天都在学习当中度过我也感到非常的充实和满足，感到自己在一天一天的成长。
高二是我们文理分科的第一年，我选择了理科，因为从高一开始，从小学，初中开始，我就感觉自己的思维比较清晰，相比于文科的枯燥我可能会更加的喜欢理科的逻辑性，所以在高一结束的时候我也果断的选择了理科，在高二分科之后，我也慢慢的感觉到了自己在理科上面也有很多的问题，慢慢的我们学习的知识难度也比较的大了，所以自己很多的时候都需要花费更多的精力和心思去学习。
相比于高一的学习，高二的学习更加的紧张了，我们也随时都在争分夺秒，不仅仅要学习好高二的理科的知识，平时紧张的学习也包括了我们在高二学期末要迎来的毕业会考，所以自己也一分一秒都不敢松懈，感觉自己每天都在与时间赛跑，在学习上面，我也端正自己的学习态度，在学习上面保持着绝对的紧张和压力，我也一直始终的坚信自己只有感觉到压力的存在才会更加的努力，所以自己在高二的学习当中，一直都勇往直前，为自己的高二的毕业会考和之后的高考打下一定坚实的基础。
我也为自己现在这样的努力而感到欣慰，高一的时候还没有足够的认识到自己高考的重要和压力，但是现在的自己，所做的事情都是在为了自己的高考和以后而努力，所以不管之后的路程有多么的艰难，我也会一直坚持下去的，在高三的学习当中，我也会加倍的努力，为自己高考和以后的生活而奋斗。
高二个人自我陈述报告 20
高中两年的努力似乎也随着这即将到来的两天考试而告一段落了，或许这两年甚至是前面一起十多年的读书的付出，都在那几张试卷里面得到展现了，等到看考试结束第二天的报纸刊登的答案就知道自己的大概的成绩了。现在回过头去看看自己这两年的经历，历历在目。
在刚刚拿到高中录取通知书的时候，自己是欣喜的，因为这是我们市最好的高中了，自己的表现还算是可以的，之前初中两年用功读书没有白费，也是那个时候我对自己许下了一个愿望，两年后我要考上我们省的某个一本高校，带着这个梦想我进去了高中。度过了为期的半个月的军训，因为在军训里面自己的表现还不错，所以有不少同学认识我了，因此在正式上课的第一周，我站上了竞选班干部的舞台，通过投票，成为了一名学习委员。在学习中，我更加努力的读书，因为我有着具体的目标，我还有着自己身为班干部的职责在，要对得起同学们的投票，要对得起班主任老师的信任。在学习上面，我对自己负责，也关心同学们的学习，在我同学不认真听课的时候我也会及时制止他们，有同学不交作业的时候我也会去提醒他们，老师要收作业的时候，我也会及时地讲作业收集好交上去。即使后面是分科目换班级了，我也都是一样的在努力着，所以无论到了什么班，老师对我的印象都是不错的。
两年里面，我也获得过不少的成绩，有参加演讲比赛时获得第二名的奖状，也有班级三好学生的奖状，有优秀班干部的奖状……当然这些都是我努力用功读书换来的。当然，两年里面自己也做过不少的错误的事情，尤其是夏天来的时候，教室没有装空调，墙壁上的风扇风也比较小，那段时间厌学的情绪还是比较明显的，但好在只是暂时的。在学习中，自己渐渐成长为了更加优秀的自己，也让我认识到了自己还是有许多不足的地方，这些都是我需要努力的地方，也正是因为我知道自己的不足，所以我一边学习一边改正自己，帮助我不断完善自己。
高考的挑战已经就在眼前，高中的学习也马上就要告一段落，无论我会渠道什么样的地方读书无论以后的生活是什么样的，我都不会放松对自己的要求，我会继续帮助自己进步，努力成长为“别人家的孩子”！
高一个人自我陈述报告 21
在高一下学期，我不断的告诉自己，真正一战即将到来。我用自己的拼搏充实自己内心，作为自己的心灵力量，让自己不断向前。
在学习上又不会的问题，积极地与同学和老师探讨，把自己的疑问全部都解决掉。能够注意保持睡眠，让自己的身体时刻保持充盈状态。科学利用时间，不浪费每分每秒，让自己的学习生活紧张而又充实起来。积极调整心态，协调好学习生活等各方面的关系。热爱集体，团结同学，珍惜与同学老师的最后时光。我相信，我的高一下学期是快乐而回忆不失美好的。
在高一，我在校学习认真，遵规守纪。在班里团结同学，积极为集体做事，经常与同学进行有关学习生活等方面的探讨，尤其是对高考以及对自己理想大学的感想交流，受益匪浅。
作为化学课代表的我，积极认真的协助老师做力所能及的事。我上课认真听讲，跟随老师的复习思路认真复习，努力把一轮复习做好。
同时，我懂得劳逸结合。在紧张的学习外，注重进行积极的体育锻炼，保持良好的.身体健康状态，以充沛的精神继续投入到紧张的学习中去。厚积薄发，相信我的高一是一个充实，快乐的一段时光。
高一个人自我陈述报告 22
我现在是一名高一学生。回首这学期，心中就产生了许多感触。这学期中经历的每一天，都已在我心中留下了永久的印记，因为这些印记见证我这样一个新生的成长。现在我觉得自己似乎明白了许多事情，但是仔细琢磨后又不尽然。或许在以后也会嘲笑现在的渺小，但我们不得不笑着回首我们所走过的路。
这次考试，我总结一些点滴： 在学习上，我深知学习的重要性。我认为面对知识就是力量，离开了知识将是一个一无是处的废人。中学时代是学习现代科学知识的黄金时代，我应该抓住这个有利的时机，用知识来武装自己的头脑，知识是无价的。合理安排时间，调整好作息时间，分配好学习、工作、娱乐的时间。时间是搞好学习的前提与基础，效率和方法更为重要。
其次，要保质保量的完成老师布置的作业，认真对待考试，考前认真复习；积极阅读课外书籍，扩大自己的知识面抓住点滴时间学习。经常提出问题，与同学讨论，向老师请教；搞好师生关系，师生相处得融洽和睦；在这次期中考试中，尽管感觉良好，但还是不理想的地方，仍需继续努力，抓紧自己的学习。
知识无止境，探索无止境，人的发展亦无止境，我还有很多的知识需要学习；当然我要确定未来的发展目标，我也要对未来充满信心。
高一个人自我陈述报告 23
进入执信中学以来，我一直以提高自身的综合素质为目标，以全面发展各方面能力为努力方向，不断地挑战自我，力争上游，培养坚强刻苦精神，形成了正确的人生观和价值观，从实践中充实自己的生活，从学习中锻炼自己的思维，为实现人生价值打下坚实基础。
在学习上，成绩优秀，积极上进，学习态度认真，实事求是，养成了良好的学习习惯和自学能力。在尽自己所能学好每一科的同时，积极向课外知识拓展，不满足于老师授予的知识，课下积极与同学讨论疑难之处，做到主动学习、自主学习，在实践中提升自我。
在校园生活中，我多次参加模拟联合国的工作人员和图书馆义工的工作，积极参与学校和校团委举办的活动，例如跳蚤市场，GV大赛，羽毛球比赛，执信科技节，校运会出场仪式的表演等。我本着一种学习的心态去参加各项活动，开阔眼界，完善自我，从挫折中磨练自己，汲取经验与知识
在班里担任了物理科代表，对待老师交代下来的任务绝不含糊，工作认真负责，求真务实；面对自己的不足之处，细心反思，并不断完善工作；针对班里面的不良现象，积极提出自己的解决方案，改善班级制度，并坚持实施，得到了很好的效果。
在思想道德上，我具有良好的道德素养。关注国家大事，向党组织靠拢，积极更新观念，跟上时代脚步；维护班级团结，乐于帮助同学，并为班级的各类演出出谋划策，维护班级荣誉；敢于拼搏，乐观向上，发挥特长，挖掘自身潜力，明确目标，立足当前，放眼未来。
以上，是我高中第一学年度的自我陈述报告。今后希望能成为更加出色的人才，在多姿多彩的生活中见证自己的进步。
高一个人自我陈述报告 24
这是高中的第一年，新的环境新的生活，我每天都认真学习积极地生活，希望自己可以成为更强的。人。
这一年的学习，我学会了很多知识，为自己的未来打好基础，热心帮助有需要的同学，团结友爱，乐于助人。思想觉悟高，积极参加学校组织的各项活动，努力要求进步。在校，我模范遵守《中学生守则》和《中学生日常行为规范》。尊敬师长，组织纪律性强。学习上我严格要求自己，注意摸索适合自己情况的学习方法，积极思维，分析、解决问题能力强，学习成绩优良。
有较强的自学能力和自我管理能力，与同学们相处融洽，适应能力强。能够充分利用现有条件，发挥自己的才能，健康成长。篮球是典型的团队合作体育运动，要打好篮球就必须有良好的团队合作的精神：要牺牲自己，要激发队友、要容忍队友。
和同学相处很融洽，对环境的适应能力很强。经常能通过自己的思考提出创新的想法。能合理支配课余时间，自我管理能力强，与同学们关系融洽。做事认真，做人诚实，一步一个脚印，每天都有进步，每堂课都会仔细的听，认真的记，每次作业都会细致思考后完成。
高一个人自我陈述报告 25
在这人生宝贵的中学阶段，我担任了高一的班级劳动委员，为之非常荣幸！初中，我曾经也担任过劳动委员，工作负责，不拖泥带水，成为老师得力的小助手。同时我积极参加各项社会活动，并多次在校运动会上获奖为班级争光，（还积极参加了外语节，广播操比赛，韵律操比赛等），为班级的荣誉做出了努力。在这些活动中，我丰富了自己的生活开拓了自己的眼界，这些活动带给我的鼓励与荣誉让我铭记于心，鞭笞着我继续努力。所以，在这高中阶段，我也会朝着向上的方向继续努力为班级做好工作。
平时，在与人相处的问题上，我与同学友好相处，互相帮助，齐头并进，互相鼓励在朋友困难的时候能够给予关心与帮助。相互理解，在学校生活中体贴他人，互相学习长处弥补短处，让自己的性格更加平与宽容。理性的处理身边的事，学习用辨证的方法看待周围的人与事，怀着坦荡与理解的新，不钻牛角尖，一事对一事。
回顾高一上学期的生活，挥洒过无数的汗水。通过老师的悉心教导和自己的勤奋努力，已经基本上成长为一名合格的高中生。
在思想上，我有良好的道德修养。我热爱祖国，爱护公物，尊敬师长，举止文雅，言语文明，团结同学，善于与人沟通。与同学能够和睦相处。我有很强的集体荣誉感，能够尽力为班集体增光，并举动承担一些班上的事务。
在学习上，我认真刻苦，能够做到“不懂就问，不耻下问”。课堂上我积极思考，认真和老师互动。知识基本能够当堂消化吸收。而且我的自主学习能力极强，在课外能够阅读大量的课外读物，得到很多在课堂上学不到的知识。
我有勤俭节约和助人为乐的好习惯。我从不乱花零用钱，在马路上看到可怜的人和残疾人我都会给上一点钱。在车上我会主动给有需要的人让座或帮助。
在未来，我继续发扬自己的优点，改正缺点，以务实的学习态度开拓人生。
初中个人自我陈述报告 26
本人在校热爱祖国，尊敬师长，团结同学，乐于助人，是老师的好帮手，同学的好朋友。我学习勤奋，积极向上，喜欢跟同学讨论并解决问题，经常参加班级学校组织的各种课内外活动。
在家尊老爱幼，经常帮爸爸妈妈做家务是家长的好孩子，邻居的好榜样。 初中三年我学到了很多知识，思想比以前有了很大的提高，希望以后能做一个有理想，有抱负，有文化的人，为建设社会主义中国做出自己的努力。 当然我也深刻认识到自己的不足，字写的不是很好，有时候做事情会只有三分钟热情，我相信只要克服这些问题，我就能做的更好。 本人能自觉遵守中学生守则，积极参加各项活动，尊敬师长，与同学跟睦相处，关心热爱集体，乐于帮助别人，劳动积极肯干，自觉锻炼身体，经常参加并组织班级学校组织的各种课内外活动。
本人品德兼优、性格开朗、热爱生活，有较强实践能力跟组织能力 学习之余，走出校门，本人珍惜每次锻炼的机会，与不同的人相处，让自己近距离地接触社会，感受人生，品味生活的酸甜苦辣。
初中个人自我陈述报告 27
三年的初中校园生活是我人生的一大转折点。我于xxxx年9月以优异的成绩考入xx中学。三年的校园生涯和社会实践生活我不断的挑战自我、充实自己，为实现人生的价值打下坚实的基础。
我是一个聪明、善良、懂事、好学的人。在学校与同学相处融洽，互相学习、相互帮助。课堂上认真听讲、积极发言、善于提出问题。在学习上认真按时完成作业，每次考试后能够认真总结经验和教训。在家里，经常帮忙父母做家务。虽然有时会因为青春期的逆反心理和家长吵嘴，但是事后自己主动与父母沟通并诚恳道歉。本人擅长跳远，具有坚持体育锻炼的习惯，上体育课认真、不偷懒。在文化科目里，自己认真的对待，书法、字体工整。在学习之余，积极地参加各种公益活动，关心国家大事，全面培养自己的实践创新能力。
总而言之，在初中三年的学习中，自己的各方面都有很大的进步。希望能在以后的日子里，越做越出色！
初中个人自我陈述报告 28
本人在初中三年，都努力学习，刻苦进取，尽量做到课前预习，课上认真听讲，课后复习。我在学习上习惯于追求完美，因此我总是会自省，并及时发现缺点改正过来。在学习中，我几乎算是一个“完人”，不会将问题累计起来，形成堆积问题。我有自己的学习方法，并在学习中不断寻找适合自己的高效的学习方法，从而提高学习效率和成绩。
我知道，学习的.基础就是做人，因此，我会严格要求自己的言行举止，尊敬师长，团结同学，关心集体，做一个有知识、有文化、有理想、有抱负的青少年。同时，我身为班长，更是班里的凝聚点，所以更要以身作则，积极的参加班级、学校组织的各项活动，并有序的组织同学加入其中，替老师分担班中的事务，做老师的得力助手。时光匆匆，我已由刚升入初中的懵懂孩子成长为了一名全面发展的优秀的共青团员。
我坚信时间会证明一切，同时也会带走一切，所以我会更加珍惜今天的光阴，以百分百的精神迎接美好的明天。
初中个人自我陈述报告 29
时光流逝，丰富多彩的三年初中生活即将结束，这三年是我人生中最重要的一段里程，它将永远铭记在我的脑海里。
我衷心拥护中国共产党的领导，热爱蒸蒸日上、迈着改革步伐前进的社会主义祖国，用有中国特色的社会主义理论武装自己，积极参加党学习小组，逐步提高自己的政治思想觉悟，并向党组织递交了入党申请书。作为班长，我能以身作则，严于律己，在同学中树立了好榜样，并能团结好班委，处理好班级的一切事务，是老师的得力助手。高二年我们班被评为市优秀班级，这是全班同学共同努力的结果，我为能生活在这样一个班级而自豪。三年来，我在组织能力、语言表达能力有了长足的进步。xx年被评为市优秀学生干部，初三被评为校三好生。
学习上，我有较强的自学能力，勤于钻研，肯思考，合理安排好学习时间，理解能力强，思维敏捷，对问题有独到的见解。学习中摸索出一套符合自己的学习方法，脚踏实地，循序渐进，精益求精，学习效率高。三年来学习成绩优异，半期考、期考等重大考试均居年段第一。在学科竞赛中也多次获奖，高一年荣获第xx届全国中学生数学竞赛市三等奖；高二年获全国中学生化学竞赛厦门赛区表扬奖，初三获第xx届全国中学生物理竞赛省二等奖。
课余时间，积极参加体育锻炼。
通过初中三年生活的锤炼。在德智体方面，我取得了长足的进步。从一个懵懂的中学生逐步成长为品学兼优的"四有"新人，但我有清醒地认识到自己的不足之处，体锻虽然达标，但还须加强体育锻炼，提高成绩，在今后的学习中，我将不断总结经验，继往开来，更好地报效祖国。
初中个人自我陈述报告 30
初中三年生活即将随着我的成长而慢慢逝去，回顾这丰富多彩的三年学习生活，我已在老师的辛勤培育下成长为一名品学兼优的合格中学生了，这些日子将永远铭记在我心中。在这多姿的季节里，我取得了一些成绩，在往后的日子里，希望我能做得更好。
一、思想积极上进
在思想政治方面要求进步，我热爱祖国，衷心拥护党的领导，关心时事政治，思想健康进步。自觉遵守《中学生守则》和《中学生日常行为规范》，具有较强的集体荣誉感，热爱劳动，先后担任过班级的数学课带表和班长，能以一名团员和班干部的标准要求自己，团结朋友，配合老师工作，任职期间获得了老师和朋友的一致好评，在平时的生活中，积极的帮助和引导身边的朋友，严格树立一名中学生的良好形象。
二、工作求真务实
作为学生干部，我热爱学校，热爱班集体，模范遵守学校的各项规章制度。上课从不迟到早退，从未请过任何病事假。课上认真听讲，严格遵守课堂纪律，可以充分起到表率作用。在班级工作中，我配合班主任的各项工作，在老师与朋友之间起到了纽带的作用，热心帮助朋友们解决生活上、学习上的困难，负责班级工作规划及活动的开展，与班委积极配合，组织各项活动，取得了良好的成果。作为班干，不仅个人要求进步，还团结带领全班朋友共同进步。积极维护班内荣誉，主动找班内后进朋友谈心，通过大量的思想工作，使朋友的集体观念到提高，班级风貌得到提升。热心帮助朋友们解决生活上学习上的困难，负责班级工作规划及活动的开展，带领班委积极组织各项活动，取得了良好的成果。
三、 学习认真刻苦
我知道学生的首要任务是学习， 学习上，我有较强的自学能力，勤于钻研，肯思考，合理安排好学习时间，理解能力强，思维敏捷，对问题有独到的见解。学习中摸索出一套符合自己的学习方法，脚踏实地，循序渐进，精益求精，学习效率初。三年来学习成绩优异，期中考试、期末考试等重大考试均居年级前列。在学科竞赛中也多次获奖，积极参加体育锻炼。
在未来，我继续发扬自己的优点，矫正缺点，以务实的学习态度开拓人生。
初中个人自我陈述报告 31
我是xx中学的一名初中毕业生。我性格开朗、办事稳重、善于思考、自学能力强，易于接受新事物。我的基础知识扎实、实验操作技能强。是一名符合时代要求的毕业生。作为即将踏入大学旅程的莘莘学子，我满怀热情与追求，期待成功。
初中三年来，思考、书籍和社会实践使我不断走向成熟，对知识的渴望，对理想的追求，人际关系的扩展，思维方式的变更，造就了我日趋成熟的思想，培养了我务实进取、认真负责的工作作风和良好的团队精神。
在思想方面，我积极上进，笃守诚、信、礼、智的做人原则，思想积极要求进步。
在社会工作方面，我历任班长等职务，长期为同学们服务，参与组织了各项有益活动，培养了较强的策划、组织、协调、管理和创新能力以及吃苦耐劳的精神。
在业余方面，我充分发挥在音乐方面的个性特长，积极参加了校园各项文艺活动，活跃在校内的各种文艺舞台上。此外，我擅长打排球等各种球类，担任过长时间的排球队长，参加了历年的班级各种比赛。
初中个人自我陈述报告 32
三年的时光如流水一般匆匆逝去，回首往事，在这多姿的季节里，我取得了一些成绩，在往后的日子里，希望我能做得更好。
我热爱祖国，衷心拥护党的领导，关心时事政治，思想健康进步。自觉遵守《中学生守则》和《中学生日常行为规范》，具有较强的集体荣誉感，热爱劳动，先后担任过班级的体育委员和宣传委员，能以一名团员和班干部的标准要求自己，团结同学，配合老师工作，任职期间获得了老师和同学的一致好评。
我勤学好问，在初中三年学习生活中取得了较大进步，并做到了各科的均衡发展。在完成课业学习任务的同时，我积极参加了化学学科的夏令营和竞赛活动，拓宽了自己的课外知识面。
我具有一定的组织才能，初一时曾成功地主持了一次主题班会，在全校性评比中获得了第一名。我爱好书法，具有一定的基础，曾在初二年学校组织的“迎香港回归书法现场表演赛”中获三等奖，我创作的黑板报也曾在学校举办的黑板报设计比赛中获优秀奖。
我爱好文学，先后担任和的特约记者和撰稿人，一些文学作品也曾在报上发表。我还在课余时间里担任校图书管理员。课外知识丰富，曾在初x下学期学校举办的中获得第名。
在体育方面，我爱好球类运动，达到了国家规定的体育锻炼标准。初年在校运动会上曾获得了组跳初比赛第名。我参加校队并代表学校参加了全省中学生运动会比赛，获得了团体第x名，为学校赢得了荣誉。
当然，我也存在一些缺点。例如：在学习上刻苦钻研精神还较欠缺，花在学习以外的时间相对较多，对自己的要求没能定在一个较初的位置。但是我仍然具有一定的潜力，若能够进一步努力，我相信自己的综合实力还会再上一个层次。以上是我对自己初中三年学习生活的自我陈述。面对过去，展望未来，我一定要用自己的努力和汗水使自己的明天变得更加辉煌，更加美好。
初中个人自我陈述报告 33
伴随着21世纪的脚步，我即将走完多彩的初中三年。在这三年中，我在各方面都取得了长足的进步和可喜的成绩。我加入了共青团，热爱祖国，热爱人民，热爱中国共产党，我严格遵守《中学生守则》和《中学生行为规范》，平时勤俭朴素，谦虚谨慎，尊敬师长，孝敬父母，团结同学，乐于助人，爱护公物，而且作风正派，是非观念强，道德品质优良，行为文明。
作为班级的一分子，我有强烈的集体荣誉感，踊跃参加班级的黑板报出版工作，当我们班的板报获年段第一名时，我心里无比自豪。我学习自觉、认真，思维敏捷，知识面广，善于质疑、析疑、解疑，摸索出一套适合自己的学习方法。初中三年间，我在学习方面获得长足的进步，各科成绩优秀，并在省第六届生物竞赛中获得厦门赛区二等奖。我热爱体育，在平时更是注重锻炼身体，体锻达标。
我的兴趣广泛，总是积极参加各种课外活动，曾获年段五、六班主持人对抗赛三等奖，以及年段硬笔书法比赛优秀奖。我喜欢绘画，常利用课余时间自学绘画，并多次为班级板报绘制刊头。我热爱劳动，总是一丝不苟地完成学校布置的各种卫生工作，不怕脏，不怕累。但我在学习方面时间抓得还不够紧，我将更严格地要求自己，改正缺点，发扬优点。相信在不久的将来，我将成为社会主义合格的建设者，更好地报效祖国。
初中个人自我陈述报告 34
初中懵懂的岁月就这样匆匆忙忙的过去了，其实这三年来，一路上都经历了很多，也有了很多不一样的体验，这是我们成长旅程之中的小惊喜，也是我们在各自成长历程中必定会经历的事情。所以这次在初三学生的这个身份上，我想就自己这几年的学习做一次自我陈述报告，也为接下来的中考做好准备，蓄势待发！
来到初中之后，我从一个稚气未脱的小学生慢慢的成长为一个亭亭玉立的初中生了，虽然自己是女孩，但是我对学业和班级工作都是像个打不倒的战士一样对待的，我做起事情来果断不犹豫，所以班级工作也做的很好，一路上都很顺畅。学习上我也像个奋战在前线的战士一样，无坚不摧，一直往前行走。其实只要自己的内心有了渴望，有了坚定的信念，做任何事情起来都会顺利一些，因为自己有了目标，也就知道自己该走哪一条路，该怎么走这一条路了。
总有人说初中生从外表上看和小学生并没有差多少，但是我从自己的成长路上来看，其实我们是有很多进步的。比如当我们初二了时，我们去看初一的自己时，便会觉得初一的自己特别幼稚。当我们到了初三时，再去看初一初二的自己时，也会觉得幼稚。所以我们是在不断前进的，这也证明着我们在不断的成长，慢慢的变得成熟，也慢慢的长成了一个大人的样子。
初三是一个非常艰苦的阶段，一开始我没有认识到原来中考的压力会这么大，现在一看，原来升学的压力真的会让人感到焦虑。自从初三以来，我就一直在想尽办法提升自己的成绩，这么多门学科，如果真的要一门门全面的复习起来是一件巨大的工程，所以我只能每天都做好总结，看自己在哪些地方有缺陷，从而进行改正和弥补，这样提升成绩的速度也会快一点，我也可以更好的去为接下来做打算了。
中考是我们步入高中很重要的一个关键点，进入一个好的高中，会给我们做一个好的铺垫，所以无论如何，我都会做好充分的准备，把各项知识都打稳基础，然后用一个最好的状态去面对这一次考试，也为自己的初中三年做一个好的结尾。在此也非常感恩我的老师，感恩陪伴我的同学，谢谢大家三年对我的鼓励和关心，我会在未来的岁月里继续加油的！
初中个人自我陈述报告 35
仿佛只是用了一眨眼的时间，我就由初一新生变成了初三毕业生。我也不知道为什么，时间就好像微小的沙子一样，抓也抓也不住，我只能干巴巴的看着它从我的眼前溜过去。此时此刻的我，已经要从xx中学毕业了，我是真的舍不得教了我几年知识的老师，也舍不得在一起玩了几年的好朋友们，可我不得不继续向前走啊，只希望以后还能经常见面。在这几年里，多谢老师和同学的帮助，才让我整个人有了巨大的改变。
一、在思想上
还记得刚入学校时，我还是个桀骜不驯的小孩子，因为我从小就成绩不错，在班上的成绩排名一直都不错，拿过不少的奖状，所以我认为在初中里我也能考个好成绩。可实际的情况却狠狠地打了我的脸，我在开学时就因为插嘴被班主任老师在全班同学面前批评了一顿大的，而且我的入学成绩也不是很高，在班上只能算中游。此时，我也意识到了自己在初中校园里也并不是有多优秀，还有许多在学习上比我厉害的人，最让我觉得可怕的是他们还很低调，所以我及时的改变了自己的想法，我下定决心要在学习上面追上那些最优秀的同学，同时我也不能再轻视学习了。
二、在学习上
我知道自己的学习底子是比较一般的，要想追上班上那些成绩好的人就必须要付出比他们更多的时间，所以我在上课时，我再也没胡乱插嘴了，我会安静的听老师讲述知识点并且用笔记录下来。也正是因为我的学习态度比较好，所以在这三年里，我在班上的成绩排名是一点一点的升上去了，虽然还没有达到班上最好的那个层次，但是我也没有觉得有什么后悔的，毕竟我已经做的够多了。
三、在生活上
这三年里，我的生活习惯有了很大的改动。在上初中前，我是一个比较大大咧咧的孩子，而且口无遮拦，经常有意无意的伤害到别人，但是经过老师和同学们的指点后，现在的我已经没有那么嘴碎了，我在说话之前都会考虑一下后果。而且在之前，我这个人几乎是不会主动去帮助别人的，在经过同学们的影响后，我学会了主动帮助别人解决困难，在帮助他们解决了困难后，我是由衷的感到高兴。
三年就这样过去了，马上就要迎来了高中生活了，不知道在高中里我会遇见几个熟人，而且高中生活是什么样的呢，我应该还会和现在一样保持努力学习吧？想想可真是令人期待啊。
大学个人自我陈述报告 36
本人大学的大课堂里，我学会了怎样用一颗热情真挚的心，去追寻心中的梦想，如何用辛勤的双手、苦涩的汗水去耕耘属于自己天空。艰苦朴素、实事求是、严格要求、勇于探索，按着校训的轨迹，踏实地走好自己的路，为了明天，为了理想。努力用诚挚、感动的心规范自身。思想上的积极、乐观、上进，指导着行动的方向。
为人与处事，相辅相成，为人的品质决定了处事的风格，处事的风格又影响了为人的品质。真诚、热情、友好……与同学的相处中慢慢感悟着，待人的真善美同时感化了自己的心底，将杂念渐渐地洗涤。处事的积极、诚信、严谨、笃实，又在另一方面感悟了自身，让我学会如何在以后的社会中更好地走下去，毕竟终究还是社会的人而非学校的人。
我的研究方向为虚拟现实和仿真技术，主要研究兴趣为三维模型的简化与网络传输。学术思想活跃、学习目的明确，态度端正、学风良好，勤奋学习，刻苦钻研，成绩优秀。
大学个人自我陈述报告 37
本人严格要求自己，凭着对个人目标和知识的强烈追求，刻苦钻研，勤奋好学，态度端正，目标明确，基本上牢固的掌握了一些专业知识和技能，同时把所学的理论知识应用于实践活动中，把所学知识转化为动手能力、应用能力和创造能力，力求理论和实践的统一。在学习和掌握本专业理论知识和应用技能的同时，还注意各方面知识的扩展，广泛的涉猎其他学科的知识，从而提高了自身的思想文化素质，为成为一名优秀的大学生而不懈奋斗
在生活上，养成了良好的生活习惯，生活充实而有条理，有严谨的生活态度和良好的生活作风，为人热情大方，诚实守信，乐于助人，拥有自己的良好处事原则，能与同学们和睦相处；积极参加各项课外活动，从而不断的丰富自己的阅历。在心理方面，我锻炼坚强的意志品质，塑造健康人格，克服各种心理障碍，以适应社会发展要求。
大学个人自我陈述报告 38
我从入学第一天起，一直坚持遵守学校的各项规章制度，具有良好的思想道德素质和思想文化素质，各个方面表现优秀。有强烈的集体荣誉感和工作责任心，坚持实事求事的原则。
学习上，上课认真听讲，并做好老师课上做的笔记，课后就好好复习。由于我的努力，大学四年我从未挂过科，并连续四年每年都可以拿奖学金，同时被评为优秀学生干部，优秀团员，三好学生的称号；参加全国英语竞赛拿到一等奖，全国数模竞赛省一等奖等。学习之余，走出校门，我珍惜每次锻炼的机会，与不同的人相处，让自己近距离地接触社会，感受人生，品味生活的酸甜苦辣。所以多次当过促销员和其他社会实践，为的就是不断提高自己的能力。
在课余时间，我积极参加体育锻炼，增强身体素质，也热爱劳动，积极参加校开展的各项文体活动，参加社会实践，继承和发扬了艰苦奋斗的精神，也参加了校文学社和书法协会，丰富了课余生活，使自己在各方面都得到了相应的提高。
四年的大学生活是我人生中美好的回忆，我迈步向前的时候不会忘记回首凝望曾经的岁月。在未来我会以实力和热诚的心面对这些挑战，从中吸取经验，丰富自我，从而更好的实现人生价值。
大学个人自我陈述报告 39
时间如白驹过隙，忽然而已，还没有感觉，便又是过去了半年。仔细想想时间真的就是手里的沙子，眼看着从指缝间溜走，却怎么也留不住。回首这半年，有些收获，也有些遗憾，不过毕竟大三了，大一的迷茫已经消失，大二的潇洒也已经不见，整个人成熟稳重了许多，对事情的处理更加得当。
在学习上，这学期只有五门课，不过是专业课，所以难度比较大，因此，成绩不好的我下决心把这些课学好，至少做到不挂科，在上课的时候基本都坐在教室的前两排，认真听讲，课下积极看书复习上课讲的知识，作业自己动手做，不会了找同学问以解答。
在思想上，努力改变自己在大二时候懒惰的习惯，以更加积极的心态去面对生活，面对学习上的困难，面对训练上的疲惫，经常与同学交流，同时经常反思自己，以追求更多的进步。
在生活上，主动帮助同学，积极为班级服务，与班级成员做好沟通，分享自己的成长经历，获得更多的人生经验，同时与同学建立良好的关系，为之后工作的开展做出夯实的基础。
在训练上，作为一个国防生，对身体素质的要求必须比普通大学生要高，所以，平时积极参加训练，不旷操不请假是对自己的基本要求。大三了，今年的主要练习是刺杀操，发了枪之后，首先记住自己的枪号，并保护好它不让它收到损坏，之后的刺杀操的练习也很认真。这个学期我当上了我们五班的班长，在训练上只有先严格要求自己，从我做起，才能更好的管理整个班级。所以在训练时间里，我都是以严格的标准去完成每一个动作，然后再去指导班里的同志。体能的训练也没有落下，以比较不错的成绩完成了最后的考核。
时间真的很快，每一分每一秒都必须抓紧，希望在大学接下来的日子里，能以更加饱满的热情来面对未来的挑战。
大学个人自我陈述报告 40
转眼间，一学期又这样悄然而去，不知不觉在学生会已经呆了一个半的年头，回想刚进那会儿的我们仿佛跟他们没什么区别，一切都显得那么懵懂，因为当时与现在我们所接触的层面不同，所做的事情有着天壤之别，现在的我们成了领导者，需要带着12级一起把我们的学生会扛下来，我们的责任压在心头，更重了。
一天又一天的过去，从干事到现在，经历了五月的花海，篮球嘉年华，运动会，三下乡，迎新晚会。大大小小的事情，真的经历了好多，改变了好多，可一切都显得那么陌生，因为从未接触过，显得那么陌生，那么艰难，摸着石头过河，说的有点过火，确实是有点那么意思，我有时甚至在思考难道是我的能力不够？
比起个人总结，我更想谈谈我的感想吧，我认为大一的整段时间，我认为我接触的事情太少太少了，导致后来的我们一切都很难，当然跟我们的自身也有关系。在整个干事之间我认为我自己不够努力，我一直认为人做事必须要具备勤恳但很机灵，只做不想的人其实我认为真的没必要留在这里，其次我认为要有颗谦虚的心，什么都肯干，都肯学，只有这样你才会学的比别人多，只有积累的多了，才会有更多的想法去解决一些事情啊。再三，我认为做事高调做人低调这是一定要具备的，这样的人才会被人所喜欢，被人支持。最后一点，任何时候任何地点你永远知道要尊重别人，只有你尊重了别人，人家才会尊重你啊，我认为是这样的啊，这也是告诉我们永远永远一颗谦虚的心。
在学生会确实学到了好多，老师，学长学姐们的教诲真的改变了我好多，真的想说声谢谢，未来的我将不会负各位的厚望，努力做好每件事，相信我的责任心，自己选择的路，跪着也要走完。
大学个人自我陈述报告 41
大学的四年我已以优异的成绩渡过了两年，在大二学年结束之际，我对自己的大学年分成：方面、兴趣爱好方面和社会实践方面三类。
一、学习方面。
每个人都应该活到老学到老，对于学生更是如此，我对、对专业一丝不苟，因而在成绩上一直名列前茅，每学年都能获得奖学金。同时还结合我的专业性质注重对各种应用软件和硬件的研究，课余时间在外面做起了兼职，经常帮助同学和朋友解决方面的问题。通过这些，使我的专业得到了实质性的扩展。
二、有广泛爱好。
我特别擅长于排版、网页设计和多媒体的制作，同时对数据库和应用也有一定兴趣，并利用课余和假期时间学习了相关的知识。我在就任体育委员的同时也参加了校青年志愿者协会和协会，并任活动部长和外联部长职。在日常活动中，我工作热情负责、任劳任怨，勇于开拓进取，和协会内成员团结一致。一年间我牵头组织了由校互联网协会和xx电脑公司合作专门针对在校学生的和装机零距离大型讲座活动。由校志愿者提供相关服务人员和活动场地，由xx电脑科技有限公司提供技术和设备，共同举办了个人电脑软硬免费维修和个人电脑系统维护和修复等现场咨询活动。从中不但服务了在校学生，提高和加深了他们对的兴趣和了解，而且还为电脑公司赢得他们所期望的利润和效益。
三、积极参加学校的各种活动
在20xx下半年至20xx上半年间参加学院组织的网面设计大赛，并获得不错的成绩，与同学合作做出属于我们班级的自己的主页。在本学年由我们学院组织的校篮球和排球的比赛中，我也以身作则，积极挑选队员备战。功夫不负有心人，并改写我们班在大一的体育各项比赛中无一名次的。
大学个人自我陈述报告 42
大学生活的美好时光马上就要结束，成为回忆的一部分，在过去的三年在老师和同学的帮助下，学习了很多在目前工作中所学不到的知识，让我开阔了视野，把我从一个对物流浅淡认识到现在成为一名合格的物流专业毕业生，相信对我今后的人生道路是有很大影响的。
三年的学习里，在提高自己科学文化素质的同时，也努力提高自己的思想道德素质，使自己成为德、智、体诸方面全面发展适应21世纪发展要求的复合型人才，做一个有理想、有道德、有文化、有纪律的社会主义建设者和接班人。
一、在思想品德上
本人有良好道德修养，并有坚定的政治方向。我热爱祖国，热爱人民，遵纪守法，爱护公共财产，团结同学，乐于助人。并以务实求真的精神热心参与学校的公益宣传和爱国主义活动。
二、在生活上
我崇尚质朴的生活，并养成良好的生活习惯和正派的作风。此外，对时间观念性十分重视。由于平易近人待人友好，所以一直以来与人相处甚是融洽。敢于拼搏刻苦耐劳将伴随我迎接未来新挑战。
三、在学习上
我系统全面地学习了本专业的理论基础知识，同时把所学的理论知识应用于实践活动中，把所学知识转化为动手能力、应用能力和创造能力。力求理论和实践的统一。在学习和掌握本专业理论知识和应用技能的同时，还努力拓宽自己的知识面，培养自己其他方面的能力；积极参加学生科协及科学研究活动中的各项活动。
通过专业知识的学习和实践，塑造了一个健康、充满自信的我，自信来自实力，但同时也要认识到，眼下社会变革迅速，对人才的要求也越来越高，社会是在不断变化、发展的，要用发展的眼光看问题，自身还有很多的缺点和不足，要适应社会的发展，得不断提高思想认识，完善自己，改正缺点。
大学个人自我陈述报告 43
回首大学三年来的学习生活，有渴望、有追求、有成功也有失败，我孜孜不倦，执着探求，百般锻炼，正逐渐成为了一个能适应社会要求的新时代大学生，并为以后的工作打下坚实的基础。并且我相信：用心做事一定能实现我的人生价值！
这段大学生活，给了我一次重新塑造自我、完善自我的机会。
在学习上：我学习成绩不是非常好，但我却在学习的过程中收获了很多。首先是我端正了学习态度。在刚进大学的前两年，脑子里想的就是好好放松从重压下解放出来的自己，而事实上我似乎也是那么做的。但是在大三的一年里，我个人觉得自己的能力有了很大的提高，在这一年里，我熟练掌握了用计算机操作系统相关维护要领，并且对计算机网络有了一定的熟悉，另外对网页和平面处理也有了一定的了解。在大三下学期时，我还成功通过了华为网络助理工程师的认证。
在生活中：我坚持着自我反省且努力的完善自己的人格。这三年中，我读了一些名著和几本完善人格的书，对自己有所帮助，越来越认识到品行对一个人来说是多么的重要。所以无论在什么情况下，我都以品德至上来要求自己。无论何时何地我都奉行严于律己的信条，并切实的遵行它。平时友爱同学，尊师重道，乐于助人。以前只是觉得帮助别人感到很开心，是一种传统美德。现在我理解道，乐于助人不仅能铸造高尚的品德，而且自身也会得到很多利益，帮助别人的同时也是在帮助自己。
我个人认为自己最大的缺点就是喜欢一心两用甚至多用。急功近利，喜欢一口气学许多东西，但是贪多嚼不烂，事半功倍，也搞得自己很疲劳。如今想想，这样其实并不好，正所谓贵在精而不在广。如果我一段时期内专注于一种学问，不求博但求精，相信一定能更深刻的理解并掌握这门知识。自从我发现自己有这个缺点和问题后，我常常警戒自己，以后一定要改掉这个毛病。
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K
☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the Fiscal Year Ended June 30, 2023
OR
☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the Transition Period From to
Commission File Number 001-37845
MICROSOFT CORPORATION
Washington 91-1144442
(STATE OF INCORPORATION) (I.R.S. ID)
ONE MICROSOFT WAY, REDMOND, Washington 98052-6399
(425) 882-8080
www.microsoft.com/investor
Securities registered pursuant to Section 12(b) of the Act:
Title of each class Trading Symbol Name of exchange on which registered
Common stock, $0.00000625 par value per share MSFT Nasdaq
3.125% Notes due 2028 MSFT Nasdaq
2.625% Notes due 2033 MSFT Nasdaq
Securities registered pursuant to Section 12(g) of the Act:
None
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ☒ No ☐
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes ☐ No ☒
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ☒ No ☐
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes ☒ No ☐
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large Accelerated Filer ☒ Accelerated Filer ☐
Non-accelerated Filer ☐ Smaller Reporting Company ☐
Emerging Growth Company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Indicate by check mark whether the registrant has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report. ☒
If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflect the correction of an error to previously issued financial statements. ☐
Indicate by check mark whether any of those error corrections are restatements that required a recovery analysis of incentive-based compensation received by any of the registrant’s executive officers during the relevant recovery period pursuant to §240.10D-1(b). ☐
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes ☐ No ☒
As of December 31, 2022, the aggregate market value of the registrant’s common stock held by non-affiliates of the registrant was $1.8 trillion based on the closing sale price as reported on the NASDAQ National Market System. As of July 24, 2023, there were 7,429,763,722 shares of common stock outstanding.
DOCUMENTS INCORPORATED BY REFERENCE
Portions of the definitive Proxy Statement to be delivered to shareholders in connection with the Annual Meeting of Shareholders to be held on December 7, 2023 are incorporated by reference into Part III.
MICROSOFT CORPORATION
FORM 10-K
For the Fiscal Year Ended June 30, 2023
INDEX
Page
PART I
Item 1. Business
4
Information about our Executive Officers
20
Item 1A. Risk Factors
23
Item 1B. Unresolved Staff Comments
37
Item 2. Properties
37
Item 3. Legal Proceedings
37
Item 4. Mine Safety Disclosures
37
PART II
Item 5. Market for Registrant’s Common Equity, Related Stockholder Matters, and Issuer Purchases of Equity Securities
38
Item 6. [Reserved]
39
Item 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations
40
Item 7A. Quantitative and Qualitative Disclosures about Market Risk
57
Item 8. Financial Statements and Supplementary Data
58
2
PART I
Item 1
Note About Forward-Looking Statements
This report includes estimates, projections, statements relating to our business plans, objectives, and expected operating results that are “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995, Section 27A of the Securities Act of 1933, and Section 21E of the Securities Exchange Act of 1934. Forward-looking statements may appear throughout this report, including the following sections: “Business” (Part I, Item 1 of this Form 10-K), “Risk Factors” (Part I, Item 1A of this Form 10-K), and “Management’s Discussion and Analysis of Financial Condition and Results of Operations” (Part II, Item 7 of this Form 10-K). These forward-looking statements generally are identified by the words “believe,” “project,” “expect,” “anticipate,” “estimate,” “intend,” “strategy,” “future,” “opportunity,” “plan,” “may,” “should,” “will,” “would,” “will be,” “will continue,” “will likely result,” and similar expressions. Forward-looking statements are based on current expectations and assumptions that are subject to risks and uncertainties that may cause actual results to differ materially. We describe risks and uncertainties that could cause actual results and events to differ materially in “Risk Factors,” “Management’s Discussion and Analysis of Financial Condition and Results of Operations,” and “Quantitative and Qualitative Disclosures about Market Risk” (Part II, Item 7A of this Form 10-K). Readers are cautioned not to place undue reliance on forward-looking statements, which speak only as of the date they are made. We undertake no obligation to update or revise publicly any forward-looking statements, whether because of new information, future events, or otherwise.
3
PART I
Item 1
PART I
ITEM 1. BUSINESS
GENERAL
Embracing Our Future
Microsoft is a technology company whose mission is to empower every person and every organization on the planet to achieve more. We strive to create local opportunity, growth, and impact in every country around the world. We are creating the platforms and tools, powered by artificial intelligence (“AI”), that deliver better, faster, and more effective solutions to support small and large business competitiveness, improve educational and health outcomes, grow public-sector efficiency, and empower human ingenuity. From infrastructure and data, to business applications and collaboration, we provide unique, differentiated value to customers.
In a world of increasing economic complexity, AI has the power to revolutionize many types of work. Microsoft is now innovating and expanding our portfolio with AI capabilities to help people and organizations overcome today’s challenges and emerge stronger. Customers are looking to unlock value from their digital spend and innovate for this next generation of AI, while simplifying security and management. Those leveraging the Microsoft Cloud are best positioned to take advantage of technological advancements and drive innovation. Our investment in AI spans the entire company, from Microsoft Teams and Outlook, to Bing and Xbox, and we are infusing generative AI capability into our consumer and commercial offerings to deliver copilot capability for all services across the Microsoft Cloud.
We’re committed to making the promise of AI real – and doing it responsibly. Our work is guided by a core set of principles: fairness, reliability and safety, privacy and security, inclusiveness, transparency, and accountability.
What We Offer
Founded in 1975, we develop and support software, services, devices, and solutions that deliver new value for customers and help people and businesses realize their full potential.
We offer an array of services, including cloud-based solutions that provide customers with software, services, platforms, and content, and we provide solution support and consulting services. We also deliver relevant online advertising to a global audience.
Our products include operating systems, cross-device productivity and collaboration applications, server applications, business solution applications, desktop and server management tools, software development tools, and video games. We also design and sell devices, including PCs, tablets, gaming and entertainment consoles, other intelligent devices, and related accessories.
The Ambitions That Drive Us
To achieve our vision, our research and development efforts focus on three interconnected ambitions:
•
Reinvent productivity and business processes.
•
Build the intelligent cloud and intelligent edge platform.
•
Create more personal computing.
Reinvent Productivity and Business Processes
At Microsoft, we provide technology and resources to help our customers create a secure, productive work environment. Our family of products plays a key role in the ways the world works, learns, and connects.
4
PART I
Item 1
Our growth depends on securely delivering continuous innovation and advancing our leading productivity and collaboration tools and services, including Office 365, Dynamics 365, and LinkedIn. Microsoft 365 brings together Office 365, Windows, and Enterprise Mobility + Security to help organizations empower their employees with AI-backed tools that unlock creativity, increase collaboration, and fuel innovation, all the while enabling compliance coverage and data protection. Microsoft Teams is a comprehensive platform for work, with meetings, calls, chat, collaboration, and business process automation. Microsoft Viva is an employee experience platform that brings together communications, knowledge, learning, resources, and insights. Microsoft 365 Copilot combines next-generation AI with business data in the Microsoft Graph and Microsoft 365 applications.
Together with the Microsoft Cloud, Dynamics 365, Microsoft Teams, and our AI offerings bring a new era of collaborative applications that optimize business functions, processes, and applications to better serve customers and employees while creating more business value. Microsoft Power Platform is helping domain experts drive productivity gains with low-code/no-code tools, robotic process automation, virtual agents, and business intelligence. In a dynamic labor market, LinkedIn is helping professionals use the platform to connect, learn, grow, and get hired.
Build the Intelligent Cloud and Intelligent Edge Platform
As digital transformation and adoption of AI accelerates and revolutionizes more business workstreams, organizations in every sector across the globe can address challenges that will have a fundamental impact on their success. For enterprises, digital technology empowers employees, optimizes operations, engages customers, and in some cases, changes the very core of products and services. We continue to invest in high performance and sustainable computing to meet the growing demand for fast access to Microsoft services provided by our network of cloud computing infrastructure and datacenters.
Our cloud business benefits from three economies of scale: datacenters that deploy computational resources at significantly lower cost per unit than smaller ones; datacenters that coordinate and aggregate diverse customer, geographic, and application demand patterns, improving the utilization of computing, storage, and network resources; and multi-tenancy locations that lower application maintenance labor costs.
The Microsoft Cloud provides the best integration across the technology stack while offering openness, improving time to value, reducing costs, and increasing agility. Being a global-scale cloud, Azure uniquely offers hybrid consistency, developer productivity, AI capabilities, and trusted security and compliance. We see more emerging use cases and needs for compute and security at the edge and are accelerating our innovation across the spectrum of intelligent edge devices, from Internet of Things (“IoT”) sensors to gateway devices and edge hardware to build, manage, and secure edge workloads.
Our AI platform, Azure AI, is helping organizations transform, bringing intelligence and insights to the hands of their employees and customers to solve their most pressing challenges. Organizations large and small are deploying Azure AI solutions to achieve more at scale, more easily, with the proper enterprise-level and responsible AI protections.
We have a long-term partnership with OpenAI, a leading AI research and deployment company. We deploy OpenAI’s models across our consumer and enterprise products. As OpenAI’s exclusive cloud provider, Azure powers all of OpenAI's workloads. We have also increased our investments in the development and deployment of specialized supercomputing systems to accelerate OpenAI’s research.
Our hybrid infrastructure offers integrated, end-to-end security, compliance, identity, and management capabilities to support the real-world needs and evolving regulatory requirements of commercial customers and enterprises. Our industry clouds bring together capabilities across the entire Microsoft Cloud, along with industry-specific customizations. Azure Arc simplifies governance and management by delivering a consistent multi-cloud and on-premises management platform.
Nuance, a leader in conversational AI and ambient intelligence across industries including healthcare, financial services, retail, and telecommunications, joined Microsoft in 2022. Microsoft and Nuance enable organizations to accelerate their business goals with security-focused, cloud-based solutions infused with AI.
We are accelerating our development of mixed reality solutions with new Azure services and devices. Microsoft Mesh enables organizations to create custom, immersive experiences for the workplace to help bring remote and hybrid workers and teams together.
5
PART I
Item 1
The ability to convert data into AI drives our competitive advantage. The Microsoft Intelligent Data Platform is a leading cloud data platform that fully integrates databases, analytics, and governance. The platform empowers organizations to invest more time creating value rather than integrating and managing their data. Microsoft Fabric is an end-to-end, unified analytics platform that brings together all the data and analytics tools that organizations need.
GitHub Copilot is at the forefront of AI-powered software development, giving developers a new tool to write code easier and faster so they can focus on more creative problem-solving. From GitHub to Visual Studio, we provide a developer tool chain for everyone, no matter the technical experience, across all platforms, whether Azure, Windows, or any other cloud or client platform.
Windows also plays a critical role in fueling our cloud business with Windows 365, a desktop operating system that’s also a cloud service. From another internet-connected device, including Android or macOS devices, users can run Windows 365, just like a virtual machine.
Additionally, we are extending our infrastructure beyond the planet, bringing cloud computing to space. Azure Orbital is a fully managed ground station as a service for fast downlinking of data.
Create More Personal Computing
We strive to make computing more personal, enabling users to interact with technology in more intuitive, engaging, and dynamic ways.
Windows 11 offers innovations focused on enhancing productivity, including Windows Copilot with centralized AI assistance and Dev Home to help developers become more productive. Windows 11 security and privacy features include operating system security, application security, and user and identity security.
Through our Search, News, Mapping, and Browser services, Microsoft delivers unique trust, privacy, and safety features. In February 2023, we launched an all new, AI-powered Microsoft Edge browser and Bing search engine with Bing Chat to deliver better search, more complete answers, and the ability to generate content. Microsoft Edge is our fast and secure browser that helps protect users’ data. Quick access to AI-powered tools, apps, and more within Microsoft Edge’s sidebar enhance browsing capabilities.
We are committed to designing and marketing first-party devices to help drive innovation, create new device categories, and stimulate demand in the Windows ecosystem. The Surface family includes Surface Pro, Surface Laptop, and other Surface products.
Microsoft continues to invest in gaming content, community, and cloud services. We have broadened our approach to how we think about gaming end-to-end, from the way games are created and distributed to how they are played, including subscription services like Xbox Game Pass and new devices from third-party manufacturers so players can engage across PC, console, and mobile. In January 2022, we announced plans to acquire Activision Blizzard, Inc., a leader in game development and an interactive entertainment content publisher.
Our Future Opportunity
We are focused on helping customers use the breadth and depth of the Microsoft Cloud to get the most value out of their digital spend while leading the new AI wave across our solution areas. We continue to develop complete, intelligent solutions for our customers that empower people to be productive and collaborate, while safeguarding businesses and simplifying IT management. Our goal is to lead the industry in several distinct areas of technology over the long term, which we expect will translate to sustained growth. We are investing significant resources in:
•
Transforming the workplace to deliver new modern, modular business applications, drive deeper insights, and improve how people communicate, collaborate, learn, work, and interact with one another.
•
Building and running cloud-based services in ways that utilize ubiquitous computing to unleash new experiences and opportunities for businesses and individuals.
•
Applying AI and ambient intelligence to drive insights, revolutionize many types of work, and provide substantive productivity gains using natural methods of communication.
6
PART I
Item 1
•
Tackling security from all angles with our integrated, end-to-end solutions spanning security, compliance, identity, and management, across all clouds and platforms.
•
Inventing new gaming experiences that bring people together around their shared love for games on any devices and pushing the boundaries of innovation with console and PC gaming.
•
Using Windows to fuel our cloud business, grow our share of the PC market, and drive increased engagement with our services like Microsoft 365 Consumer, Microsoft Teams, Microsoft Edge, Bing, Xbox Game Pass, and more.
Our future growth depends on our ability to transcend current product category definitions, business models, and sales motions.
Corporate Social Responsibility
Commitment to Sustainability
Microsoft’s approach to addressing climate change starts with the sustainability of our own business. In 2020, we committed to being a carbon negative, water positive, and zero waste company by 2030.
In May 2023, we released our Environmental Sustainability Report which looked back at our progress during fiscal year 2022. We continued to make progress on our goals, with our overall emissions declining by 0.5 percent. While our Scope 1 and Scope 2 emissions continued to decline, Scope 3 emissions increased by 0.5 percent. Scope 3 represented 96 percent of our total emissions, resulting primarily from the operations of our suppliers and the use of our products across our customers.
A few examples of our continued progress include:
•
Signed new power purchase agreements, bringing our total portfolio of carbon-free energy to over 13.5 gigawatts.
•
Contracted for water replenishment projects that are estimated to provide more than 15.6 million cubic meters in volumetric water benefit over the lifetime of these projects.
•
Diverted 12,159 metric tons of solid waste from landfills and incinerators across our direct operational footprint.
•
Protected 12,270 acres of land in Belize – more than the 11,206 acres of land that we use around the world.
Microsoft has a role to play in developing and advancing new climate solutions, but we recognize that no solution can be offered by any single company, organization, or government. Our approach helps to support the sustainability needs of our customers and the global community. Our Microsoft Cloud for Sustainability, an environmental sustainability management platform that includes Microsoft Sustainability Manager, enables organizations to record, report, and reduce their Scope 1, 2, and 3 emissions. These digital tools can interoperate with business systems and unify data intelligence for organizations.
Addressing Racial Injustice and Inequity
We are committed to addressing racial injustice and inequity in the United States for Black and African American communities and helping improve lived experiences at Microsoft, in employees’ communities, and beyond. Our Racial Equity Initiative focuses on three multi-year pillars, each containing actions and progress we expect to make or exceed by 2025.
•
Strengthening our communities: using data, technology, and partnerships to help improve the lives of Black and African American people in the United States, including our employees and their communities.
•
Engaging our ecosystem: using our balance sheet and relationships with suppliers and partners to foster societal change and create new opportunities.
•
Increasing representation and strengthening inclusion: building on our momentum by adding a $150 million investment to strengthen inclusion and double the number of Black, African American, Hispanic, and Latinx leaders in the United States by 2025.
7
PART I
Item 1
In fiscal year 2023, we collaborated with partners and worked within neighborhoods and communities to launch and scale a number of projects and programs, including:
•
Working with 103 unique organizations in 165 cities and counties on our Justice Reform Initiative to empower communities and advance racial equity and fairness in the justice system.
•
Increasing access to affordable broadband, devices, and digital literacy training across 14 geographies, including 11 cities and three states in the Black Rural south.
•
Growing our Nonprofit Tech Acceleration for Black and African American Communities program, which uses data, technology, and partnerships to help more than 2,000 local organizations to modernize and streamline operations.
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Expanding our Technology Education and Learning Support (“TEALS”) program to reach nearly 400 high schools in 21 communities to increase computer science opportunities for Black and African American students.
We exceeded our 2020 goal to double the percentage of our transaction volumes with Black- and African American-owned financial institutions by 2023. We are also increasing investment activity with Black- and African American-owned asset managers, which now represent 45 percent of our external manager group, enabling increased funds into local communities. We also met our goal of creating a $100 million program focused on mission-driven banks. We enriched our supplier pipeline, achieving our goal to spend $500 million with double the number of Black- and African American-owned suppliers. We also increased the number of identified partners in the Black Partner Growth Initiative by more than 250 percent, surpassing our initial goal.
We have made meaningful progress on representation and inclusion at Microsoft. As of June 2023, we are 93 percent of the way to our 2025 commitment to double the number of Black and African American people managers in the U.S. (below director level), and 107 percent of the way for Black and African American directors (people managers and individual contributors). We are 28 percent of the way for Hispanic and Latinx people managers (below director level) and 74 percent of the way for Hispanic and Latinx directors.
Investing in Digital Skills
After helping over 80 million jobseekers around the world access digital skilling resources, we introduced a new Skills for Jobs initiative to support a more skills-based labor market, with greater flexibility and accessible learning paths to develop the right skills needed for the most in-demand jobs. Our Skills for Jobs initiative brings together learning resources, certification opportunities, and job-seeker tools from LinkedIn, GitHub, and Microsoft Learn, and is built on data insights drawn from LinkedIn’s Economic Graph.
We also launched a national campaign to help skill and recruit 250,000 people into the cybersecurity workforce by 2025, representing half of the country’s workforce shortage. To that end, we are making curriculum available free of charge to all of the nation’s higher education institutions, providing training for new and existing faculty, and providing scholarships and supplemental resources to 25,000 students. We have expanded the cyber skills initiative to 27 additional countries that show elevated cyberthreat risks coupled with significant gaps in their cybersecurity workforces, partnering with nonprofits and other educational institutions to train the next generation of cybersecurity workers.
Generative AI is creating unparalleled opportunities to empower workers globally, but only if everyone has the skills to use it. To address this, in June 2023 we launched a new AI Skills Initiative to help everyone learn how to harness the power of AI. This includes a new LinkedIn learning pathway offering new coursework on learning the foundations of generative AI. We also launched a new global grant challenge to uncover new ways of training workers on generative AI and are providing greater access to digital learning events and resources for everyone to improve their AI fluency.
HUMAN CAPITAL RESOURCES
Overview
Microsoft aims to recruit, develop, and retain world-changing talent from a diversity of backgrounds. To foster their and our success, we seek to create an environment where people can thrive and do their best work. We strive to maximize the potential of our human capital resources by creating a respectful, rewarding, and inclusive work environment that enables our global employees to create products and services that further our mission.
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As of June 30, 2023, we employed approximately 221,000 people on a full-time basis, 120,000 in the U.S. and 101,000 internationally. Of the total employed people, 89,000 were in operations, including manufacturing, distribution, product support, and consulting services; 72,000 were in product research and development; 45,000 were in sales and marketing; and 15,000 were in general and administration. Certain employees are subject to collective bargaining agreements.
Our Culture
Microsoft’s culture is grounded in growth mindset. This means everyone is on a continuous journey to learn and grow, operating as one company instead of multiple siloed businesses.
Our employee listening systems enable us to gather feedback directly from our workforce to inform our programs and employee needs globally. Employees participate in our Employee Signals surveys, which cover a variety of topics such as thriving, inclusion, team culture, wellbeing, and learning and development. We also collect Daily Signals employee survey responses, giving us real-time insights into ways we can support our employees. In addition to Employee Signals and Daily Signals surveys, we gain insights through onboarding, exit surveys, internal Viva Engage channels, employee Q&A sessions, and our internal AskHR Service support.
Diversity and inclusion are core to our business model, and we hold ourselves accountable for driving global systemic change in our workforce and creating an inclusive work environment. We support multiple highly active Employee Resource Groups for women, families, racial and ethnic minorities, military, people with disabilities, and employees who identify as LGBTQIA+, where employees can go for support, networking, and community-building. As described in our 2022 Proxy Statement, annual performance and compensation reviews of our senior leadership team include an evaluation of their contributions to employee culture and diversity. To ensure accountability over time, we publicly disclose our progress on a multitude of workforce metrics including:
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Detailed breakdowns of gender, racial, and ethnic minority representation in our employee population, with data by job types, levels, and segments of our business.
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Our EEO-1 report (equal employment opportunity).
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Disability representation.
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Pay equity (see details below).
Total Rewards and Pay Equity
We develop dynamic, sustainable, market-driven, and strategic programs with the goal of providing a highly differentiated portfolio to attract, reward, and retain top talent and enable our employees to thrive. These programs reinforce our culture and values such as collaboration and growth mindset. Managers evaluate and recommend rewards based on, for example, how well we leverage the work of others and contribute to the success of our colleagues. We monitor pay equity and career progress across multiple dimensions. Our total compensation opportunity is highly differentiated and is market competitive.
In order to manage our costs in a dynamic, competitive environment, in fiscal year 2023 we announced that base salaries of salaried employees would remain at fiscal year 2022 levels. Pay increases continue to be available for rewards-eligible hourly and equivalent employees. We will continue our practice of investing in stock for all rewards-eligible employees, salaried and hourly, and investing in bonuses for all eligible employees.
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Since 2016, we have reported on pay equity as part of our annual Diversity and Inclusion report. In 2022, we reported that all racial and ethnic minority employees in the U.S. combined earn $1.008 for every $1.000 earned by their white counterparts, that women in the U.S. earn $1.007 for every $1.000 earned by their counterparts who are men, and that women outside the U.S. earn $1.002 for every $1.000 earned by their counterparts outside the U.S. who are men. In this year’s report, we again expanded our pay equity data beyond the U.S. to report on 61 additional countries (up from 12 last year), representing 99.8% of our global Microsoft workforce.
In addition, we began reporting on unadjusted median pay in our annual report, comparing total pay amounts for all employees regardless of factors such as job title, level, or tenure. For employees who are eligible for rewards, the analysis showed that total pay for women is 89.6% of total pay for men in the U.S. and 86.2% outside of the U.S., and total pay for racial and ethnic minorities in the U.S. is 89.9% of total pay for white employees. As we continue to increase representation for women and racial and ethnic minorities at more senior levels, and continue to ensure pay equity for all, the gap between the medians will reduce.
Our intended result is a global performance and development approach that fosters our culture, and competitive compensation that ensures equitable pay by role while supporting pay for performance.
Wellbeing and Hybrid Work
Microsoft is committed to supporting our employees’ wellbeing while they are at work and in their personal lives. We have invested significantly in wellbeing, and offer a differentiated benefits package which includes many physical, emotional, and financial wellness programs including counseling through the Microsoft CARES Employee Assistance Program, mental wellbeing support, flexible fitness benefits, disability accommodations, savings and investment tools, adoption assistance, and back-up care for children and elders. Finally, our Occupational Health and Safety program helps ensure employees can stay safe while they are working.
We introduced Hybrid Workplace Flexibility Guidance to better support leaders, managers, and employees in hybrid work scenarios. Our ongoing survey data shows that 93% of employees value the flexibility related to work location, work site, and work hours, and 78% are satisfied with the quality of connection with co-workers. There is no one-size-fits-all approach to flexible work at Microsoft. As a company, we will continue to leverage data and research to inform decision making, balancing the needs of business, team, and individual.
Learning and Development
We offer a range of learning opportunities, including personalized opportunities on our internal and external learning portals, in-classroom learning, required learning on compliance and company culture, on-the-job advancement opportunities, and manager coaching. We also provide customized manager learning, new employee orientation, and tools for operating in a flexible hybrid work environment.
All Microsoft employees globally access our single Viva Learning tool for both required and personal choice learning. This includes courses focused on our core principles and compliance matters, such as Business Conduct, Privacy, Security Foundations, and Harassment Prevention. We also deliver skills training for employees based on their profession and role discipline.
We have over 27,000 people managers, all of whom must complete between 20-33 hours of compulsory training on leadership and management and are assigned additional targeted training on an ongoing basis related to people management, compliance, and culture.
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OPERATING SEGMENTS
We operate our business and report our financial performance using three segments: Productivity and Business Processes, Intelligent Cloud, and More Personal Computing. Our segments provide management with a comprehensive financial view of our key businesses. The segments enable the alignment of strategies and objectives across the development, sales, marketing, and services organizations, and they provide a framework for timely and rational allocation of resources within businesses.
Additional information on our operating segments and geographic and product information is contained in Note 19 – Segment Information and Geographic Data of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K).
Our reportable segments are described below.
Productivity and Business Processes
Our Productivity and Business Processes segment consists of products and services in our portfolio of productivity, communication, and information services, spanning a variety of devices and platforms. This segment primarily comprises:
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Office Commercial (Office 365 subscriptions, the Office 365 portion of Microsoft 365 Commercial subscriptions, and Office licensed on-premises), comprising Office, Exchange, SharePoint, Microsoft Teams, Office 365 Security and Compliance, Microsoft Viva, and Microsoft 365 Copilot.
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Office Consumer, including Microsoft 365 Consumer subscriptions, Office licensed on-premises, and other Office services.
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LinkedIn, including Talent Solutions, Marketing Solutions, Premium Subscriptions, and Sales Solutions.
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Dynamics business solutions, including Dynamics 365, comprising a set of intelligent, cloud-based applications across ERP, CRM (including Customer Insights), Power Apps, and Power Automate; and on-premises ERP and CRM applications.
Office Commercial
Office Commercial is designed to increase personal, team, and organizational productivity through a range of products and services. Growth depends on our ability to reach new users in new markets such as frontline workers, small and medium businesses, and growth markets, as well as add value to our core product and service offerings to span productivity categories such as communication, collaboration, analytics, security, and compliance. Office Commercial revenue is mainly affected by a combination of continued installed base growth and average revenue per user expansion, as well as the continued shift from Office licensed on-premises to Office 365.
Office Consumer
Office Consumer is designed to increase personal productivity and creativity through a range of products and services. Growth depends on our ability to reach new users, add value to our core product set, and continue to expand our product and service offerings into new markets. Office Consumer revenue is mainly affected by the percentage of customers that buy Office with their new devices and the continued shift from Office licensed on-premises to Microsoft 365 Consumer subscriptions. Office Consumer Services revenue is mainly affected by the demand for communication and storage through Skype, Outlook.com, and OneDrive, which is largely driven by subscriptions, advertising, and the sale of minutes.
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LinkedIn
LinkedIn connects the world’s professionals to make them more productive and successful and transforms the way companies hire, market, sell, and learn. Our vision is to create economic opportunity for every member of the global workforce through the ongoing development of the world’s first Economic Graph, a digital representation of the global economy. In addition to LinkedIn’s free services, LinkedIn offers monetized solutions: Talent Solutions, Marketing Solutions, Premium Subscriptions, and Sales Solutions. Talent Solutions provide insights for workforce planning and tools to hire, nurture, and develop talent. Talent Solutions also includes Learning Solutions, which help businesses close critical skills gaps in times where companies are having to do more with existing talent. Marketing Solutions help companies reach, engage, and convert their audiences at scale. Premium Subscriptions enable professionals to manage their professional identity, grow their network, find jobs, and connect with talent through additional services like premium search. Sales Solutions help companies strengthen customer relationships, empower teams with digital selling tools, and acquire new opportunities. LinkedIn has over 950 million members and has offices around the globe. Growth will depend on our ability to increase the number of LinkedIn members and our ability to continue offering services that provide value for our members and increase their engagement. LinkedIn revenue is mainly affected by demand from enterprises and professional organizations for subscriptions to Talent Solutions, Sales Solutions, and Premium Subscriptions offerings, as well as member engagement and the quality of the sponsored content delivered to those members to drive Marketing Solutions.
Dynamics
Dynamics provides cloud-based and on-premises business solutions for financial management, enterprise resource planning (“ERP”), customer relationship management (“CRM”), supply chain management, and other application development platforms for small and medium businesses, large organizations, and divisions of global enterprises. Dynamics revenue is driven by the number of users licensed and applications consumed, expansion of average revenue per user, and the continued shift to Dynamics 365, a unified set of cloud-based intelligent business applications, including Power Apps and Power Automate.
Competition
Competitors to Office include software and global application vendors, such as Apple, Cisco Systems, Meta, Google, Okta, Proofpoint, Slack, Symantec, Zoom, and numerous web-based and mobile application competitors as well as local application developers. Apple distributes versions of its pre-installed application software, such as email and calendar products, through its PCs, tablets, and phones. Cisco Systems is using its position in enterprise communications equipment to grow its unified communications business. Meta offers communication tools to enable productivity and engagement within organizations. Google provides a hosted messaging and productivity suite. Slack provides teamwork and collaboration software. Zoom offers videoconferencing and cloud phone solutions. Okta, Proofpoint, and Symantec provide security solutions across email security, information protection, identity, and governance. Web-based offerings competing with individual applications have also positioned themselves as alternatives to our products and services. We compete by providing powerful, flexible, secure, integrated industry-specific, and easy-to-use productivity and collaboration tools and services that create comprehensive solutions and work well with technologies our customers already have both on-premises or in the cloud.
LinkedIn faces competition from online professional networks, recruiting companies, talent management companies, and larger companies that are focusing on talent management and human resource services; job boards; traditional recruiting firms; and companies that provide learning and development products and services. Marketing Solutions competes with online and offline outlets that generate revenue from advertisers and marketers, and Sales Solutions competes with online and offline outlets for companies with lead generation and customer intelligence and insights.
Dynamics competes with cloud-based and on-premises business solution providers such as Oracle, Salesforce, and SAP.
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Intelligent Cloud
Our Intelligent Cloud segment consists of our public, private, and hybrid server products and cloud services that can power modern business and developers. This segment primarily comprises:
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Server products and cloud services, including Azure and other cloud services; SQL Server, Windows Server, Visual Studio, System Center, and related Client Access Licenses (“CALs”); and Nuance and GitHub.
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Enterprise Services, including Enterprise Support Services, Industry Solutions (formerly Microsoft Consulting Services), and Nuance professional services.
Server Products and Cloud Services
Azure is a comprehensive set of cloud services that offer developers, IT professionals, and enterprises freedom to build, deploy, and manage applications on any platform or device. Customers can use Azure through our global network of datacenters for computing, networking, storage, mobile and web application services, AI, IoT, cognitive services, and machine learning. Azure enables customers to devote more resources to development and use of applications that benefit their organizations, rather than managing on-premises hardware and software. Azure revenue is mainly affected by infrastructure-as-a-service and platform-as-a-service consumption-based services, and per user-based services such as Enterprise Mobility + Security.
Azure AI offerings provide a competitive advantage as companies seek ways to optimize and scale their business with machine learning. Azure’s purpose-built, AI-optimized infrastructure allows advanced models, including GPT-4 services designed for developers and data scientists, to do more with less. Customers can integrate large language models and develop the next generation of AI apps and services.
Our server products are designed to make IT professionals, developers, and their systems more productive and efficient. Server software is integrated server infrastructure and middleware designed to support software applications built on the Windows Server operating system. This includes the server platform, database, business intelligence, storage, management and operations, virtualization, service-oriented architecture platform, security, and identity software. We also license standalone and software development lifecycle tools for software architects, developers, testers, and project managers. Server products revenue is mainly affected by purchases through volume licensing programs, licenses sold to original equipment manufacturers (“OEM”), and retail packaged products. CALs provide access rights to certain server products, including SQL Server and Windows Server, and revenue is reported along with the associated server product.
Nuance and GitHub include both cloud and on-premises offerings. Nuance provides healthcare and enterprise AI solutions. GitHub provides a collaboration platform and code hosting service for developers.
Enterprise Services
Enterprise Services, including Enterprise Support Services, Industry Solutions, and Nuance Professional Services, assist customers in developing, deploying, and managing Microsoft server solutions, Microsoft desktop solutions, and Nuance conversational AI and ambient intelligent solutions, along with providing training and certification to developers and IT professionals on various Microsoft products.
Competition
Azure faces diverse competition from companies such as Amazon, Google, IBM, Oracle, VMware, and open source offerings. Azure’s competitive advantage includes enabling a hybrid cloud, allowing deployment of existing datacenters with our public cloud into a single, cohesive infrastructure, and the ability to run at a scale that meets the needs of businesses of all sizes and complexities. Our AI offerings compete with AI products from hyperscalers such as Amazon Bedrock, Amazon CodeWhisperer, and Google AI, as well as products from other emerging competitors, many of which are also current or potential partners, including Meta’s LLaMA2 and other open source solutions. Our Enterprise Mobility + Security offerings also compete with products from a range of competitors including identity vendors, security solution vendors, and numerous other security point solution vendors. We believe our cloud’s global scale, coupled with our broad portfolio of identity and security solutions, allows us to effectively solve complex cybersecurity challenges for our customers and differentiates us from the competition.
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Our server products face competition from a wide variety of server operating systems and applications offered by companies with a range of market approaches. Vertically integrated computer manufacturers such as Hewlett-Packard, IBM, and Oracle offer their own versions of the Unix operating system preinstalled on server hardware. Nearly all computer manufacturers offer server hardware for the Linux operating system, and many contribute to Linux operating system development. The competitive position of Linux has also benefited from the large number of compatible applications now produced by many commercial and non-commercial software developers. A number of companies, such as Red Hat, supply versions of Linux.
We compete to provide enterprise-wide computing solutions and point solutions with numerous commercial software vendors that offer solutions and middleware technology platforms, software applications for connectivity (both Internet and intranet), security, hosting, database, and e-business servers. IBM and Oracle lead a group of companies focused on the Java Platform Enterprise Edition that competes with our enterprise-wide computing solutions. Commercial competitors for our server applications for PC-based distributed client-server environments include CA Technologies, IBM, and Oracle. Our web application platform software competes with open source software such as Apache, Linux, MySQL, and PHP. In middleware, we compete against Java vendors.
Our database, business intelligence, and data warehousing solutions offerings compete with products from IBM, Oracle, SAP, Snowflake, and other companies. Our system management solutions compete with server management and server virtualization platform providers, such as BMC, CA Technologies, Hewlett-Packard, IBM, and VMware. Our products for software developers compete against offerings from Adobe, IBM, Oracle, and other companies, and also against open source projects, including Eclipse (sponsored by CA Technologies, IBM, Oracle, and SAP), PHP, and Ruby on Rails.
We believe our server products provide customers with advantages in performance, total costs of ownership, and productivity by delivering superior applications, development tools, compatibility with a broad base of hardware and software applications, security, and manageability.
Our Enterprise Services business competes with a wide range of companies that provide strategy and business planning, application development, and infrastructure services, including multinational consulting firms and small niche businesses focused on specific technologies.
More Personal Computing
Our More Personal Computing segment consists of products and services that put customers at the center of the experience with our technology. This segment primarily comprises:
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Windows, including Windows OEM licensing (“Windows OEM”) and other non-volume licensing of the Windows operating system; Windows Commercial, comprising volume licensing of the Windows operating system, Windows cloud services, and other Windows commercial offerings; patent licensing; and Windows IoT.
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Devices, including Surface, HoloLens, and PC accessories.
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Gaming, including Xbox hardware and Xbox content and services, comprising first- and third-party content (including games and in-game content), Xbox Game Pass and other subscriptions, Xbox Cloud Gaming, advertising, third-party disc royalties, and other cloud services.
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Search and news advertising, comprising Bing (including Bing Chat), Microsoft News, Microsoft Edge, and third-party affiliates.
Windows
The Windows operating system is designed to deliver a more personal computing experience for users by enabling consistency of experience, applications, and information across their devices. Windows OEM revenue is impacted significantly by the number of Windows operating system licenses purchased by OEMs, which they pre-install on the devices they sell. In addition to computing device market volume, Windows OEM revenue is impacted by:
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The mix of computing devices based on form factor and screen size.
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Differences in device market demand between developed markets and growth markets.
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Attachment of Windows to devices shipped.
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Customer mix between consumer, small and medium businesses, and large enterprises.
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Changes in inventory levels in the OEM channel.
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Pricing changes and promotions, pricing variation that occurs when the mix of devices manufactured shifts from local and regional system builders to large multinational OEMs, and different pricing of Windows versions licensed.
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Constraints in the supply chain of device components.
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Piracy.
Windows Commercial revenue, which includes volume licensing of the Windows operating system and Windows cloud services such as Microsoft Defender for Endpoint, is affected mainly by the demand from commercial customers for volume licensing and Software Assurance (“SA”), as well as advanced security offerings. Windows Commercial revenue often reflects the number of information workers in a licensed enterprise and is relatively independent of the number of PCs sold in a given year.
Patent licensing includes our programs to license patents we own for use across a broad array of technology areas, including mobile devices and cloud offerings.
Windows IoT extends the power of Windows and the cloud to intelligent systems by delivering specialized operating systems, tools, and services for use in embedded devices.
Devices
We design and sell devices, including Surface, HoloLens, and PC accessories. Our devices are designed to enable people and organizations to connect to the people and content that matter most using Windows and integrated Microsoft products and services. Surface is designed to help organizations, students, and consumers be more productive. Growth in Devices is dependent on total PC shipments, the ability to attract new customers, our product roadmap, and expanding into new categories.
Gaming
Our gaming platform is designed to provide a variety of entertainment through a unique combination of content, community, and cloud services. Our exclusive game content is created through Xbox Game Studios, a collection of first-party studios creating iconic and differentiated gaming experiences. We continue to invest in new gaming studios and content to expand our intellectual property roadmap and leverage new content creators. These unique gaming experiences are the cornerstone of Xbox Game Pass, a subscription service and gaming community with access to a curated library of over 400 first- and third-party console and PC titles.
The gamer remains at the heart of the Xbox ecosystem. We are identifying new opportunities to attract gamers across a variety of different end points through our first- and third-party content and business diversification across subscriptions, ads, and digital stores. We’ve seen new devices from third-party manufacturers along with key PC and mobile end points that help us empower gamers to play in a way that is most convenient to them. We are focused on growing the platform and expanding to new ecosystems to engage as many gamers as possible.
Xbox enables people to connect and share online gaming experiences that are accessible on Xbox consoles, Windows-enabled devices, and other devices. Xbox is designed to benefit users by providing access to a network of certified applications and services and to benefit our developer and partner ecosystems by providing access to a large customer base. Xbox revenue is mainly affected by subscriptions and sales of first- and third-party content, as well as advertising. Growth of our Gaming business is determined by the overall active user base through Xbox enabled content, availability of games, providing exclusive game content that gamers seek, the computational power and reliability of the devices used to access our content and services, and the ability to create new experiences through first-party content creators.
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Search and News Advertising
Our Search and news advertising business is designed to deliver relevant search, native, and display advertising to a global audience. Our Microsoft Edge browser and Bing Chat capabilities are key tools to enable user acquisition and engagement, while our technology platform enables accelerated delivery of digital advertising solutions. In addition to first-party tools, we have several partnerships with companies, such as Yahoo, through which we provide and monetize search offerings. Growth depends on our ability to attract new users, understand intent, and match intent with relevant content on advertising offerings.
Competition
Windows faces competition from various software products and from alternative platforms and devices, mainly from Apple and Google. We believe Windows competes effectively by giving customers choice, value, flexibility, security, an easy-to-use interface, and compatibility with a broad range of hardware and software applications, including those that enable productivity.
Devices face competition from various computer, tablet, and hardware manufacturers who offer a unique combination of high-quality industrial design and innovative technologies across various price points. These manufacturers, many of which are also current or potential partners and customers, include Apple and our Windows OEMs.
Xbox and our cloud gaming services face competition from various online gaming ecosystems and game streaming services, including those operated by Amazon, Apple, Meta, and Tencent. We also compete with other providers of entertainment services such as video streaming platforms. Our gaming platform competes with console platforms from Nintendo and Sony, both of which have a large, established base of customers. We believe our gaming platform is effectively positioned against, and uniquely differentiated from, competitive products and services based on significant innovation in hardware architecture, user interface, developer tools, online gaming and entertainment services, and continued strong exclusive content from our own first-party game franchises as well as other digital content offerings.
Our Search and news advertising business competes with Google and a wide array of websites, social platforms like Meta, and portals that provide content and online offerings to end users.
OPERATIONS
We have regional operations service centers that support our operations, including customer contract and order processing, billing, credit and collections, information processing, and vendor management and logistics. The center in Ireland supports the African, Asia-Pacific, European, and Middle East regions; and the centers in Arlington, Virginia, Atlanta, Georgia, Charlotte, North Carolina, Fargo, North Dakota, Fort Lauderdale, Florida, Redmond, Washington, Reno, Nevada, and Puerto Rico support the American regions.
In addition to our operations centers, we also operate datacenters throughout each of these regions. We continue to identify and evaluate opportunities to expand our datacenter locations and increase our server capacity to meet the evolving needs of our customers, particularly given the growing demand for AI services. Our datacenters depend on the availability of permitted and buildable land, predictable energy, networking supplies, and servers, including graphics processing units (“GPUs”) and other components.
Our devices are primarily manufactured by third-party contract manufacturers. For the majority of our products, we have the ability to use other manufacturers if a current vendor becomes unavailable or unable to meet our requirements. However, some of our products contain certain components for which there are very few qualified suppliers. Extended disruptions at these suppliers could impact our ability to manufacture devices on time to meet consumer demand.
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RESEARCH AND DEVELOPMENT
Product and Service Development, and Intellectual Property
We develop most of our products and services internally through the following engineering groups.
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Cloud and AI – focuses on making IT professionals, developers, partners, independent software vendors, and their systems more productive and efficient through development of Azure AI platform and cloud infrastructure, server, database, CRM, ERP, software development tools and services (including GitHub), AI cognitive services, and other business process applications and services for enterprises.
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Strategic Missions and Technologies – focuses on incubating technical products and support solutions with transformative potential for the future of cloud computing and continued company growth across quantum computing, Azure Space & Missions Engineering, telecommunications, and Microsoft Federal Sales and Delivery.
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Experiences and Devices – focuses on delivering high value end-user experiences across our products, services, and devices, including Microsoft 365, Windows, Microsoft Teams, Search (including Microsoft Edge and Bing Chat) and other advertising-based services, and the Surface line of devices.
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Microsoft Security – focuses on delivering a comprehensive portfolio of services that protect our customers’ digital infrastructure through cloud platform and application security, data protection and governance, identity and network access, and device management.
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Technology and Research – focuses on fundamental research, product and business incubations, and forward-looking AI innovations that span infrastructure, services, and applications.
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LinkedIn – focuses on our services that transform the way professionals grow their network and find jobs and the way businesses hire, market, sell, and learn.
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Gaming – focuses on developing hardware, content, and services across a large range of platforms to help grow our user base through game experiences and social interaction.
Internal development allows us to maintain competitive advantages that come from product differentiation and closer technical control over our products and services. It also gives us the freedom to decide which modifications and enhancements are most important and when they should be implemented. We strive to obtain information as early as possible about changing usage patterns and hardware advances that may affect software and hardware design. Before releasing new software platforms, and as we make significant modifications to existing platforms, we provide application vendors with a range of resources and guidelines for development, training, and testing. Generally, we also create product documentation internally.
We protect our intellectual property investments in a variety of ways. We work actively in the U.S. and internationally to ensure the enforcement of copyright, trademark, trade secret, and other protections that apply to our software and hardware products, services, business plans, and branding. We are a leader among technology companies in pursuing patents and currently have a portfolio of over 70,000 U.S. and international patents issued and over 19,000 pending worldwide. While we employ much of our internally-developed intellectual property in our products and services, we also engage in outbound licensing of specific patented technologies that are incorporated into licensees’ products. From time to time, we enter into broader cross-license agreements with other technology companies covering entire groups of patents. We may also purchase or license technology that we incorporate into our products and services. At times, we make select intellectual property broadly available at no or low cost to achieve a strategic objective, such as promoting industry standards, advancing interoperability, supporting societal and/or environmental efforts, or attracting and enabling our external development community. Our increasing engagement with open source software will also cause us to license our intellectual property rights broadly in certain situations.
While it may be necessary in the future to seek or renew licenses relating to various aspects of our products and services, we believe, based upon past experience and industry practice, such licenses generally can be obtained on commercially reasonable terms. We believe our continuing research and product development are not materially dependent on any single license or other agreement with a third party relating to the development of our products.
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Investing in the Future
Our success is based on our ability to create new and compelling products, services, and experiences for our users, to initiate and embrace disruptive technology trends, to enter new geographic and product markets, and to drive broad adoption of our products and services. We invest in a range of emerging technology trends and breakthroughs that we believe offer significant opportunities to deliver value to our customers and growth for the company. Based on our assessment of key technology trends, we maintain our long-term commitment to research and development across a wide spectrum of technologies, tools, and platforms spanning digital work and life experiences, cloud computing, AI, devices, and operating systems.
While our main product research and development facilities are located in Redmond, Washington, we also operate research and development facilities in other parts of the U.S. and around the world. This global approach helps us remain competitive in local markets and enables us to continue to attract top talent from across the world.
We plan to continue to make significant investments in a broad range of product research and development activities, and as appropriate we will coordinate our research and development across operating segments and leverage the results across the company.
In addition to our main research and development operations, we also operate Microsoft Research. Microsoft Research is one of the world’s largest corporate research organizations, often working in close collaboration with top universities around the world, and is focused on advancing the state-of-the-art in computer science and a broad range of other disciplines. Our investment in fundamental research provides us a unique perspective on future trends and contributes to our innovation.
DISTRIBUTION, SALES, AND MARKETING
We market and distribute our products and services through the following channels: OEMs, direct, and distributors and resellers. Our sales organization performs a variety of functions, including working directly with commercial enterprises and public-sector organizations worldwide to identify and meet their technology and digital transformation requirements; managing OEM relationships; and supporting system integrators, independent software vendors, and other partners who engage directly with our customers to perform sales, consulting, and fulfillment functions for our products and services.
OEMs
We distribute our products and services through OEMs that pre-install our software on new devices and servers they sell. The largest component of the OEM business is the Windows operating system pre-installed on devices. OEMs also sell devices pre-installed with other Microsoft products and services, including applications such as Office and the capability to subscribe to Office 365.
There are two broad categories of OEMs. The largest category of OEMs are direct OEMs as our relationship with them is managed through a direct agreement between Microsoft and the OEM. We have distribution agreements covering one or more of our products with virtually all the multinational OEMs, including Dell, Hewlett-Packard, Lenovo, and with many regional and local OEMs. The second broad category of OEMs are system builders consisting of lower-volume PC manufacturers, which source Microsoft software for pre-installation and local redistribution primarily through the Microsoft distributor channel rather than through a direct agreement or relationship with Microsoft.
Direct
Many organizations that license our products and services transact directly with us through Enterprise Agreements and Enterprise Services contracts, with sales support from system integrators, independent software vendors, web agencies, and partners that advise organizations on licensing our products and services (“Enterprise Agreement Software Advisors” or “ESA”). Microsoft offers direct sales programs targeted to reach small, medium, and corporate customers, in addition to those offered through the reseller channel. A large network of partner advisors support many of these sales.
We also sell commercial and consumer products and services directly to customers, such as cloud services, search, and gaming, through our digital marketplaces and online stores. Additionally, our Microsoft Experience Centers are designed to facilitate deeper engagement with our partners and customers across industries.
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Distributors and Resellers
Organizations also license our products and services indirectly, primarily through licensing solution partners (“LSP”), distributors, value-added resellers (“VAR”), and retailers. Although each type of reselling partner may reach organizations of all sizes, LSPs are primarily engaged with large organizations, distributors resell primarily to VARs, and VARs typically reach small and medium organizations. ESAs are also typically authorized as LSPs and operate as resellers for our other volume licensing programs. Microsoft Cloud Solution Provider is our main partner program for reselling cloud services.
We distribute our retail packaged products primarily through independent non-exclusive distributors, authorized replicators, resellers, and retail outlets. Individual consumers obtain these products primarily through retail outlets. We distribute our devices through third-party retailers. We have a network of field sales representatives and field support personnel that solicit orders from distributors and resellers and provide product training and sales support.
Our Dynamics business solutions are also licensed to enterprises through a global network of channel partners providing vertical solutions and specialized services.
LICENSING OPTIONS
We offer options for organizations that want to purchase our cloud services, on-premises software, and SA. We license software to organizations under volume licensing agreements to allow the customer to acquire multiple licenses of products and services instead of having to acquire separate licenses through retail channels. We use different programs designed to provide flexibility for organizations of various sizes. While these programs may differ in various parts of the world, generally they include those discussed below.
SA conveys rights to new software and upgrades for perpetual licenses released over the contract period. It also provides support, tools, training, and other licensing benefits to help customers deploy and use software efficiently. SA is included with certain volume licensing agreements and is an optional purchase with others.
Volume Licensing Programs
Enterprise Agreement
Enterprise Agreements offer large organizations a manageable volume licensing program that gives them the flexibility to buy cloud services and software licenses under one agreement. Enterprise Agreements are designed for medium or large organizations that want to license cloud services and on-premises software organization-wide over a three-year period. Organizations can elect to purchase perpetual licenses or subscribe to licenses. SA is included.
Microsoft Customer Agreement
A Microsoft Customer Agreement is a simplified purchase agreement presented, accepted, and stored through a digital experience. A Microsoft Customer Agreement is a non-expiring agreement that is designed to support all customers over time, whether purchasing through a partner or directly from Microsoft.
Microsoft Online Subscription Agreement
A Microsoft Online Subscription Agreement is designed for small and medium organizations that want to subscribe to, activate, provision, and maintain cloud services seamlessly and directly via the web. The agreement allows customers to acquire monthly or annual subscriptions for cloud-based services.
Microsoft Products and Services Agreement
Microsoft Products and Services Agreements are designed for medium and large organizations that want to license cloud services and on-premises software as needed, with no organization-wide commitment, under a single, non-expiring agreement. Organizations purchase perpetual licenses or subscribe to licenses. SA is optional for customers that purchase perpetual licenses.
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Open Value
Open Value agreements are a simple, cost-effective way to acquire the latest Microsoft technology. These agreements are designed for small and medium organizations that want to license cloud services and on-premises software over a three-year period. Under Open Value agreements, organizations can elect to purchase perpetual licenses or subscribe to licenses and SA is included.
Select Plus
A Select Plus agreement is designed for government and academic organizations to acquire on-premises licenses at any affiliate or department level, while realizing advantages as one organization. Organizations purchase perpetual licenses and SA is optional.
Partner Programs
The Microsoft Cloud Solution Provider Program offers customers an easy way to license the cloud services they need in combination with the value-added services offered by their systems integrator, managed services provider, or cloud reseller partner. Partners in this program can easily package their own products and services to directly provision, manage, and support their customer subscriptions.
The Microsoft Services Provider License Agreement allows hosting service providers and independent software vendors who want to license eligible Microsoft software products to provide software services and hosted applications to their end customers. Partners license software over a three-year period and are billed monthly based on consumption.
The Independent Software Vendor Royalty Program enables partners to integrate Microsoft products into other applications and then license the unified business solution to their end users.
CUSTOMERS
Our customers include individual consumers, small and medium organizations, large global enterprises, public-sector institutions, Internet service providers, application developers, and OEMs. Our practice is to ship our products promptly upon receipt of purchase orders from customers; consequently, backlog is not significant.
INFORMATION ABOUT OUR EXECUTIVE OFFICERS
Our executive officers as of July 27, 2023 were as follows:
Name Age Position with the Company
Satya Nadella 55 Chairman and Chief Executive Officer
Judson B. Althoff 50 Executive Vice President and Chief Commercial Officer
Christopher C. Capossela 53 Executive Vice President and Chief Marketing Officer
Kathleen T. Hogan 57 Executive Vice President and Chief Human Resources Officer
Amy E. Hood 51 Executive Vice President and Chief Financial Officer
Bradford L. Smith 64 Vice Chair and President
Christopher D. Young 51 Executive Vice President, Business Development, Strategy, and Ventures
Mr. Nadella was appointed Chairman of the Board in June 2021 and Chief Executive Officer in February 2014. He served as Executive Vice President, Cloud and Enterprise from July 2013 until that time. From 2011 to 2013, Mr. Nadella served as President, Server and Tools. From 2009 to 2011, he was Senior Vice President, Online Services Division. From 2008 to 2009, he was Senior Vice President, Search, Portal, and Advertising. Since joining Microsoft in 1992, Mr. Nadella’s roles also included Vice President of the Business Division. Mr. Nadella also serves on the Board of Directors of Starbucks Corporation.
Mr. Althoff was appointed Executive Vice President and Chief Commercial Officer in July 2021. He served as Executive Vice President, Worldwide Commercial Business from July 2017 until that time. Prior to that, Mr. Althoff served as the President of Microsoft North America. Mr. Althoff joined Microsoft in March 2013 as President of Microsoft North America.
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Mr. Capossela was appointed Executive Vice President, Marketing and Consumer Business, and Chief Marketing Officer in July 2016. He had served as Executive Vice President, Chief Marketing Officer since March 2014.Since joining Microsoft in 1991, Mr. Capossela has held a variety of marketing leadership roles in the Consumer Channels Group, and in the Microsoft Office Division where he was responsible for marketing productivity solutions including Microsoft Office, Office 365, SharePoint, Exchange, Skype for Business, Project, and Visio.
Ms. Hogan was appointed Executive Vice President, Human Resources in November 2014. Prior to that Ms. Hogan was Corporate Vice President of Microsoft Services. She also served as Corporate Vice President of Customer Service and Support. Ms. Hogan joined Microsoft in 2003. Ms. Hogan also serves on the Board of Directors of Alaska Air Group, Inc.
Ms. Hood was appointed Executive Vice President and Chief Financial Officer in July 2013, subsequent to her appointment as Chief Financial Officer in May 2013. From 2010 to 2013, Ms. Hood was Chief Financial Officer of the Microsoft Business Division. Since joining Microsoft in 2002, Ms. Hood has also held finance-related positions in the Server and Tools Business and the corporate finance organization. Ms. Hood also serves on the Board of Directors of 3M Corporation.
Mr. Smith was appointed Vice Chair and President in September 2021. Prior to that, he served as President and Chief Legal Officer since September 2015. He served as Executive Vice President, General Counsel, and Secretary from 2011 to 2015, and served as Senior Vice President, General Counsel, and Secretary from 2001 to 2011. Mr. Smith was also named Chief Compliance Officer in 2002. Since joining Microsoft in 1993, he was Deputy General Counsel for Worldwide Sales and previously was responsible for managing the European Law and Corporate Affairs Group, based in Paris. Mr. Smith also serves on the Board of Directors of Netflix, Inc.
Mr. Young has served as Executive Vice President, Business Development, Strategy, and Ventures since joining Microsoft in November 2020. Prior to Microsoft, he served as the Chief Executive Officer of McAfee, LLC from 2017 to 2020, and served as a Senior Vice President and General Manager of Intel Security Group from 2014 until 2017, when he led the initiative to spin out McAfee into a standalone company. Mr. Young also serves on the Board of Directors of American Express Company.
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AVAILABLE INFORMATION
Our Internet address is www.microsoft.com. At our Investor Relations website, www.microsoft.com/investor, we make available free of charge a variety of information for investors. Our goal is to maintain the Investor Relations website as a portal through which investors can easily find or navigate to pertinent information about us, including:
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Our annual report on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K, and any amendments to those reports, as soon as reasonably practicable after we electronically file that material with or furnish it to the Securities and Exchange Commission (“SEC”) at www.sec.gov.
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Information on our business strategies, financial results, and metrics for investors.
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Announcements of investor conferences, speeches, and events at which our executives talk about our product, service, and competitive strategies. Archives of these events are also available.
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Press releases on quarterly earnings, product and service announcements, legal developments, and international news.
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Corporate governance information including our articles of incorporation, bylaws, governance guidelines, committee charters, codes of conduct and ethics, global corporate social responsibility initiatives, and other governance-related policies.
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Other news and announcements that we may post from time to time that investors might find useful or interesting.
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Opportunities to sign up for email alerts to have information pushed in real time.
We publish a variety of reports and resources related to our Corporate Social Responsibility programs and progress on our Reports Hub website, www.microsoft.com/corporate-responsibility/reports-hub, including reports on sustainability, responsible sourcing, accessibility, digital trust, and public policy engagement.
The information found on these websites is not part of, or incorporated by reference into, this or any other report we file with, or furnish to, the SEC. In addition to these channels, we use social media to communicate to the public. It is possible that the information we post on social media could be deemed to be material to investors. We encourage investors, the media, and others interested in Microsoft to review the information we post on the social media channels listed on our Investor Relations website.
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ITEM 1A. RISK FACTORS
Our operations and financial results are subject to various risks and uncertainties, including those described below, that could adversely affect our business, financial condition, results of operations, cash flows, and the trading price of our common stock.
STRATEGIC AND COMPETITIVE RISKS
We face intense competition across all markets for our products and services, which may lead to lower revenue or operating margins.
Competition in the technology sector
Our competitors range in size from diversified global companies with significant research and development resources to small, specialized firms whose narrower product lines may let them be more effective in deploying technical, marketing, and financial resources. Barriers to entry in many of our businesses are low and many of the areas in which we compete evolve rapidly with changing and disruptive technologies, shifting user needs, and frequent introductions of new products and services. Our ability to remain competitive depends on our success in making innovative products, devices, and services that appeal to businesses and consumers.
Competition among platform-based ecosystems
An important element of our business model has been to create platform-based ecosystems on which many participants can build diverse solutions. A well-established ecosystem creates beneficial network effects among users, application developers, and the platform provider that can accelerate growth. Establishing significant scale in the marketplace is necessary to achieve and maintain attractive margins. We face significant competition from firms that provide competing platforms.
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A competing vertically-integrated model, in which a single firm controls the software and hardware elements of a product and related services, has succeeded with some consumer products such as personal computers, tablets, phones, gaming consoles, wearables, and other endpoint devices. Competitors pursuing this model also earn revenue from services integrated with the hardware and software platform, including applications and content sold through their integrated marketplaces. They may also be able to claim security and performance benefits from their vertically integrated offer. We also offer some vertically-integrated hardware and software products and services. To the extent we shift a portion of our business to a vertically integrated model we increase our cost of revenue and reduce our operating margins.
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We derive substantial revenue from licenses of Windows operating systems on PCs. We face significant competition from competing platforms developed for new devices and form factors such as smartphones and tablet computers. These devices compete on multiple bases including price and the perceived utility of the device and its platform. Users are increasingly turning to these devices to perform functions that in the past were performed by personal computers. Even if many users view these devices as complementary to a personal computer, the prevalence of these devices may make it more difficult to attract application developers to our PC operating system platforms. Competing with operating systems licensed at low or no cost may decrease our PC operating system margins. Popular products or services offered on competing platforms could increase their competitive strength. In addition, some of our devices compete with products made by our original equipment manufacturer (“OEM”) partners, which may affect their commitment to our platform.
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Competing platforms have content and application marketplaces with scale and significant installed bases. The variety and utility of content and applications available on a platform are important to device purchasing decisions. Users may incur costs to move data and buy new content and applications when switching platforms. To compete, we must successfully enlist developers to write applications for our platform and ensure that these applications have high quality, security, customer appeal, and value. Efforts to compete with competitors’ content and application marketplaces may increase our cost of revenue and lower our operating margins. Competitors’ rules governing their content and applications marketplaces may restrict our ability to distribute products and services through them in accordance with our technical and business model objectives.
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Business model competition
Companies compete with us based on a growing variety of business models.
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Even as we transition more of our business to infrastructure-, platform-, and software-as-a-service business model, the license-based proprietary software model generates a substantial portion of our software revenue. We bear the costs of converting original ideas into software products through investments in research and development, offsetting these costs with the revenue received from licensing our products. Many of our competitors also develop and sell software to businesses and consumers under this model.
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We are investing in artificial intelligence (“AI”) across the entire company and infusing generative AI capabilities into our consumer and commercial offerings. We expect AI technology and services to be a highly competitive and rapidly evolving market. We will bear significant development and operational costs to build and support the AI capabilities, products, and services necessary to meet the needs of our customers. To compete effectively we must also be responsive to technological change, potential regulatory developments, and public scrutiny.
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Other competitors develop and offer free applications, online services, and content, and make money by selling third-party advertising. Advertising revenue funds development of products and services these competitors provide to users at no or little cost, competing directly with our revenue-generating products.
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Some companies compete with us by modifying and then distributing open source software at little or no cost to end users, using open source AI models, and earning revenue on advertising or integrated products and services. These firms do not bear the full costs of research and development for the open source products. Some open source products mimic the features and functionality of our products.
The competitive pressures described above may cause decreased sales volumes, price reductions, and/or increased operating costs, such as for research and development, marketing, and sales incentives. This may lead to lower revenue, gross margins, and operating income.
Our increasing focus on cloud-based services presents execution and competitive risks. A growing part of our business involves cloud-based services available across the spectrum of computing devices. Our strategic vision is to compete and grow by building best-in-class platforms and productivity services that utilize ubiquitous computing and ambient intelligence to drive insights and productivity gains. At the same time, our competitors are rapidly developing and deploying cloud-based services for consumers and business customers. Pricing and delivery models are evolving. Devices and form factors influence how users access services in the cloud and sometimes the user’s choice of which cloud-based services to use. Certain industries and customers have specific requirements for cloud services and may present enhanced risks. We are devoting significant resources to develop and deploy our cloud-based strategies. The Windows ecosystem must continue to evolve with this changing environment. We embrace cultural and organizational changes to drive accountability and eliminate obstacles to innovation. Our intelligent cloud and intelligent edge offerings are connected to the growth of the Internet of Things (“IoT”), a network of distributed and interconnected devices employing sensors, data, and computing capabilities, including AI. Our success in driving ubiquitous computing and ambient intelligence will depend on the level of adoption of our offerings such as Azure, Azure AI, and Azure IoT Edge. We may not establish market share sufficient to achieve scale necessary to meet our business objectives.
Besides software development costs, we are incurring costs to build and maintain infrastructure to support cloud computing services. These costs will reduce the operating margins we have previously achieved. Whether we succeed in cloud-based services depends on our execution in several areas, including:
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Continuing to bring to market compelling cloud-based experiences that generate increasing traffic and market share.
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Maintaining the utility, compatibility, and performance of our cloud-based services on the growing array of computing devices, including PCs, smartphones, tablets, gaming consoles, and other devices, as well as sensors and other IoT endpoints.
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Continuing to enhance the attractiveness of our cloud platforms to third-party developers.
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Ensuring our cloud-based services meet the reliability expectations of our customers and maintain the security of their data as well as help them meet their own compliance needs.
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Making our suite of cloud-based services platform-agnostic, available on a wide range of devices and ecosystems, including those of our competitors.
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It is uncertain whether our strategies will attract the users or generate the revenue required to succeed. If we are not effective in executing organizational and technical changes to increase efficiency and accelerate innovation, or if we fail to generate sufficient usage of our new products and services, we may not grow revenue in line with the infrastructure and development investments described above. This may negatively impact gross margins and operating income.
Some users may engage in fraudulent or abusive activities through our cloud-based services. These include unauthorized use of accounts through stolen credentials, use of stolen credit cards or other payment vehicles, failure to pay for services accessed, or other activities that violate our terms of service such as cryptocurrency mining or launching cyberattacks. If our efforts to detect such violations or our actions to control these types of fraud and abuse are not effective, we may experience adverse impacts to our revenue or incur reputational damage.
RISKS RELATING TO THE EVOLUTION OF OUR BUSINESS
We make significant investments in products and services that may not achieve expected returns. We will continue to make significant investments in research, development, and marketing for existing products, services, and technologies, including the Windows operating system, Microsoft 365, Bing, SQL Server, Windows Server, Azure, Office 365, Xbox, LinkedIn, and other products and services. In addition, we are focused on developing new AI platform services and incorporating AI into existing products and services. We also invest in the development and acquisition of a variety of hardware for productivity, communication, and entertainment, including PCs, tablets, gaming devices, and HoloLens. Investments in new technology are speculative. Commercial success depends on many factors, including innovativeness, developer support, and effective distribution and marketing. If customers do not perceive our latest offerings as providing significant new functionality or other value, they may reduce their purchases of new software and hardware products or upgrades, unfavorably affecting revenue. We may not achieve significant revenue from new product, service, and distribution channel investments for several years, if at all. New products and services may not be profitable, and even if they are profitable, operating margins for some new products and businesses will not be as high as the margins we have experienced historically. We may not get engagement in certain features, like Microsoft Edge, Bing, and Bing Chat, that drive post-sale monetization opportunities. Our data handling practices across our products and services will continue to be under scrutiny. Perceptions of mismanagement, driven by regulatory activity or negative public reaction to our practices or product experiences, could negatively impact product and feature adoption, product design, and product quality.
Developing new technologies is complex. It can require long development and testing periods. Significant delays in new releases or significant problems in creating new products or services could adversely affect our revenue.
Acquisitions, joint ventures, and strategic alliances may have an adverse effect on our business. We expect to continue making acquisitions and entering into joint ventures and strategic alliances as part of our long-term business strategy. For example, in March 2021 we completed our acquisition of ZeniMax Media Inc. for $8.1 billion, and in March 2022 we completed our acquisition of Nuance Communications, Inc. for $18.8 billion. In January 2022 we announced a definitive agreement to acquire Activision Blizzard, Inc. for $68.7 billion. In January 2023 we announced the third phase of our OpenAI strategic partnership. Acquisitions and other transactions and arrangements involve significant challenges and risks, including that they do not advance our business strategy, that we get an unsatisfactory return on our investment, that they raise new compliance-related obligations and challenges, that we have difficulty integrating and retaining new employees, business systems, and technology, that they distract management from our other businesses, or that announced transactions may not be completed. If an arrangement fails to adequately anticipate changing circumstances and interests of a party, it may result in early termination or renegotiation of the arrangement. The success of these transactions and arrangements will depend in part on our ability to leverage them to enhance our existing products and services or develop compelling new ones, as well as acquired companies’ ability to meet our policies and processes in areas such as data governance, privacy, and cybersecurity. It may take longer than expected to realize the full benefits from these transactions and arrangements such as increased revenue or enhanced efficiencies, or the benefits may ultimately be smaller than we expected. These events could adversely affect our consolidated financial statements.
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If our goodwill or amortizable intangible assets become impaired, we may be required to record a significant charge to earnings. We acquire other companies and intangible assets and may not realize all the economic benefit from those acquisitions, which could cause an impairment of goodwill or intangibles. We review our amortizable intangible assets for impairment when events or changes in circumstances indicate the carrying value may not be recoverable. We test goodwill for impairment at least annually. Factors that may be a change in circumstances, indicating that the carrying value of our goodwill or amortizable intangible assets may not be recoverable, include a decline in our stock price and market capitalization, reduced future cash flow estimates, and slower growth rates in industry segments in which we participate. We have in the past recorded, and may in the future be required to record, a significant charge in our consolidated financial statements during the period in which any impairment of our goodwill or amortizable intangible assets is determined, negatively affecting our results of operations.
CYBERSECURITY, DATA PRIVACY, AND PLATFORM ABUSE RISKS
Cyberattacks and security vulnerabilities could lead to reduced revenue, increased costs, liability claims, or harm to our reputation or competitive position.
Security of our information technology
Threats to IT security can take a variety of forms. Individual and groups of hackers and sophisticated organizations, including state-sponsored organizations or nation-states, continuously undertake attacks that pose threats to our customers and our IT. These actors may use a wide variety of methods, which may include developing and deploying malicious software or exploiting vulnerabilities or intentionally designed processes in hardware, software, or other infrastructure in order to attack our products and services or gain access to our networks and datacenters, using social engineering techniques to induce our employees, users, partners, or customers to disclose passwords or other sensitive information or take other actions to gain access to our data or our users’ or customers’ data, or acting in a coordinated manner to launch distributed denial of service or other coordinated attacks. Nation-state and state-sponsored actors can deploy significant resources to plan and carry out attacks. Nation-state attacks against us, our customers, or our partners may intensify during periods of intense diplomatic or armed conflict, such as the ongoing conflict in Ukraine. Inadequate account security or organizational security practices may also result in unauthorized access to confidential data. For example, system administrators may fail to timely remove employee account access when no longer appropriate. Employees or third parties may intentionally compromise our or our users’ security or systems or reveal confidential information. Malicious actors may employ the IT supply chain to introduce malware through software updates or compromised supplier accounts or hardware.
Cyberthreats are constantly evolving and becoming increasingly sophisticated and complex, increasing the difficulty of detecting and successfully defending against them. We may have no current capability to detect certain vulnerabilities or new attack methods, which may allow them to persist in the environment over long periods of time. Cyberthreats can have cascading impacts that unfold with increasing speed across our internal networks and systems and those of our partners and customers. Breaches of our facilities, network, or data security could disrupt the security of our systems and business applications, impair our ability to provide services to our customers and protect the privacy of their data, result in product development delays, compromise confidential or technical business information harming our reputation or competitive position, result in theft or misuse of our intellectual property or other assets, subject us to ransomware attacks, require us to allocate more resources to improve technologies or remediate the impacts of attacks, or otherwise adversely affect our business. We are also subject to supply chain cyberattacks where malware can be introduced to a software provider’s customers, including us, through software updates.
In addition, our internal IT environment continues to evolve. Often, we are early adopters of new devices and technologies. We embrace new ways of sharing data and communicating internally and with partners and customers using methods such as social networking and other consumer-oriented technologies. Increasing use of generative AI models in our internal systems may create new attack methods for adversaries. Our business policies and internal security controls may not keep pace with these changes as new threats emerge, or emerging cybersecurity regulations in jurisdictions worldwide.
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Security of our products, services, devices, and customers’ data
The security of our products and services is important in our customers’ decisions to purchase or use our products or services across cloud and on-premises environments. Security threats are a significant challenge to companies like us whose business is providing technology products and services to others. Threats to our own IT infrastructure can also affect our customers. Customers using our cloud-based services rely on the security of our infrastructure, including hardware and other elements provided by third parties, to ensure the reliability of our services and the protection of their data. Adversaries tend to focus their efforts on the most popular operating systems, programs, and services, including many of ours, and we expect that to continue. In addition, adversaries can attack our customers’ on-premises or cloud environments, sometimes exploiting previously unknown (“zero day”) vulnerabilities, such as occurred in early calendar year 2021 with several of our Exchange Server on-premises products. Vulnerabilities in these or any product can persist even after we have issued security patches if customers have not installed the most recent updates, or if the attackers exploited the vulnerabilities before patching to install additional malware to further compromise customers’ systems. Adversaries will continue to attack customers using our cloud services as customers embrace digital transformation. Adversaries that acquire user account information can use that information to compromise our users’ accounts, including where accounts share the same attributes such as passwords. Inadequate account security practices may also result in unauthorized access, and user activity may result in ransomware or other malicious software impacting a customer’s use of our products or services. We are increasingly incorporating open source software into our products. There may be vulnerabilities in open source software that may make our products susceptible to cyberattacks. Additionally, we are actively adding new generative AI features to our services. Because generative AI is a new field, understanding of security risks and protection methods continues to develop; features that rely on generative AI may be susceptible to unanticipated security threats from sophisticated adversaries.
Our customers operate complex IT systems with third-party hardware and software from multiple vendors that may include systems acquired over many years. They expect our products and services to support all these systems and products, including those that no longer incorporate the strongest current security advances or standards. As a result, we may not be able to discontinue support in our services for a product, service, standard, or feature solely because a more secure alternative is available. Failure to utilize the most current security advances and standards can increase our customers’ vulnerability to attack. Further, customers of widely varied size and technical sophistication use our technology, and consequently may still have limited capabilities and resources to help them adopt and implement state of the art cybersecurity practices and technologies. In addition, we must account for this wide variation of technical sophistication when defining default settings for our products and services, including security default settings, as these settings may limit or otherwise impact other aspects of IT operations and some customers may have limited capability to review and reset these defaults.
Cyberattacks may adversely impact our customers even if our production services are not directly compromised. We are committed to notifying our customers whose systems have been impacted as we become aware and have actionable information for customers to help protect themselves. We are also committed to providing guidance and support on detection, tracking, and remediation. We may not be able to detect the existence or extent of these attacks for all of our customers or have information on how to detect or track an attack, especially where an attack involves on-premises software such as Exchange Server where we may have no or limited visibility into our customers’ computing environments.
Development and deployment of defensive measures
To defend against security threats to our internal IT systems, our cloud-based services, and our customers’ systems, we must continuously engineer more secure products and services, enhance security, threat detection, and reliability features, improve the deployment of software updates to address security vulnerabilities in our own products as well as those provided by others, develop mitigation technologies that help to secure customers from attacks even when software updates are not deployed, maintain the digital security infrastructure that protects the integrity of our network, products, and services, and provide security tools such as firewalls, anti-virus software, and advanced security and information about the need to deploy security measures and the impact of doing so. Customers in certain industries such as financial services, health care, and government may have enhanced or specialized requirements to which we must engineer our products and services.
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The cost of measures to protect products and customer-facing services could reduce our operating margins. If we fail to do these things well, actual or perceived security vulnerabilities in our products and services, data corruption issues, or reduced performance could harm our reputation and lead customers to reduce or delay future purchases of products or subscriptions to services, or to use competing products or services. Customers may also spend more on protecting their existing computer systems from attack, which could delay adoption of additional products or services. Customers, and third parties granted access to their systems, may fail to update their systems, continue to run software or operating systems we no longer support, or may fail timely to install or enable security patches, or may otherwise fail to adopt adequate security practices. Any of these could adversely affect our reputation and revenue. Actual or perceived vulnerabilities may lead to claims against us. Our license agreements typically contain provisions that eliminate or limit our exposure to liability, but there is no assurance these provisions will withstand legal challenges. At times, to achieve commercial objectives, we may enter into agreements with larger liability exposure to customers.
Our products operate in conjunction with and are dependent on products and components across a broad ecosystem of third parties. If there is a security vulnerability in one of these components, and if there is a security exploit targeting it, we could face increased costs, liability claims, reduced revenue, or harm to our reputation or competitive position.
Disclosure and misuse of personal data could result in liability and harm our reputation. As we continue to grow the number, breadth, and scale of our cloud-based offerings, we store and process increasingly large amounts of personal data of our customers and users. The continued occurrence of high-profile data breaches provides evidence of an external environment increasingly hostile to information security. Despite our efforts to improve the security controls across our business groups and geographies, it is possible our security controls over personal data, our training of employees and third parties on data security, and other practices we follow may not prevent the improper disclosure or misuse of customer or user data we or our vendors store and manage. In addition, third parties who have limited access to our customer or user data may use this data in unauthorized ways. Improper disclosure or misuse could harm our reputation, lead to legal exposure to customers or users, or subject us to liability under laws that protect personal data, resulting in increased costs or loss of revenue. Our software products and services also enable our customers and users to store and process personal data on-premises or, increasingly, in a cloud-based environment we host. Government authorities can sometimes require us to produce customer or user data in response to valid legal orders. In the U.S. and elsewhere, we advocate for transparency concerning these requests and appropriate limitations on government authority to compel disclosure. Despite our efforts to protect customer and user data, perceptions that the collection, use, and retention of personal information is not satisfactorily protected could inhibit sales of our products or services and could limit adoption of our cloud-based solutions by consumers, businesses, and government entities. Additional security measures we may take to address customer or user concerns, or constraints on our flexibility to determine where and how to operate datacenters in response to customer or user expectations or governmental rules or actions, may cause higher operating expenses or hinder growth of our products and services.
We may not be able to protect information in our products and services from use by others. LinkedIn and other Microsoft products and services contain valuable information and content protected by contractual restrictions or technical measures. In certain cases, we have made commitments to our members and users to limit access to or use of this information. Changes in the law or interpretations of the law may weaken our ability to prevent third parties from scraping or gathering information or content through use of bots or other measures and using it for their own benefit, thus diminishing the value of our products and services.
Abuse of our platforms may harm our reputation or user engagement.
Advertising, professional, marketplace, and gaming platform abuses
For platform products and services that provide content or host ads that come from or can be influenced by third parties, including GitHub, LinkedIn, Microsoft Advertising, Microsoft News, Microsoft Store, Bing, and Xbox, our reputation or user engagement may be negatively affected by activity that is hostile or inappropriate. This activity may come from users impersonating other people or organizations including through the use of AI technologies, dissemination of information that may be viewed as misleading or intended to manipulate the opinions of our users, or the use of our products or services that violates our terms of service or otherwise for objectionable or illegal ends. Preventing or responding to these actions may require us to make substantial investments in people and technology and these investments may not be successful, adversely affecting our business and consolidated financial statements.
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Other digital safety abuses
Our hosted consumer services as well as our enterprise services may be used to generate or disseminate harmful or illegal content in violation of our terms or applicable law. We may not proactively discover such content due to scale, the limitations of existing technologies, and conflicting legal frameworks. When discovered by users and others, such content may negatively affect our reputation, our brands, and user engagement. Regulations and other initiatives to make platforms responsible for preventing or eliminating harmful content online have been enacted, and we expect this to continue. We may be subject to enhanced regulatory oversight, civil or criminal liability, or reputational damage if we fail to comply with content moderation regulations, adversely affecting our business and consolidated financial statements.
The development of the IoT presents security, privacy, and execution risks. To support the growth of the intelligent cloud and the intelligent edge, we are developing products, services, and technologies to power the IoT. The IoT’s great potential also carries substantial risks. IoT products and services may contain defects in design, manufacture, or operation that make them insecure or ineffective for their intended purposes. An IoT solution has multiple layers of hardware, sensors, processors, software, and firmware, several of which we may not develop or control. Each layer, including the weakest layer, can impact the security of the whole system. Many IoT devices have limited interfaces and ability to be updated or patched. IoT solutions may collect large amounts of data, and our handling of IoT data may not satisfy customers or regulatory requirements. IoT scenarios may increasingly affect personal health and safety. If IoT solutions that include our technologies do not work as intended, violate the law, or harm individuals or businesses, we may be subject to legal claims or enforcement actions. These risks, if realized, may increase our costs, damage our reputation or brands, or negatively impact our revenues or margins.
Issues in the development and use of AI may result in reputational or competitive harm or liability. We are building AI into many of our offerings, including our productivity services, and we are also making AI available for our customers to use in solutions that they build. This AI may be developed by Microsoft or others, including our strategic partner, OpenAI. We expect these elements of our business to grow. We envision a future in which AI operating in our devices, applications, and the cloud helps our customers be more productive in their work and personal lives. As with many innovations, AI presents risks and challenges that could affect its adoption, and therefore our business. AI algorithms or training methodologies may be flawed. Datasets may be overbroad, insufficient, or contain biased information. Content generated by AI systems may be offensive, illegal, or otherwise harmful. Ineffective or inadequate AI development or deployment practices by Microsoft or others could result in incidents that impair the acceptance of AI solutions or cause harm to individuals, customers, or society, or result in our products and services not working as intended. Human review of certain outputs may be required. As a result of these and other challenges associated with innovative technologies, our implementation of AI systems could subject us to competitive harm, regulatory action, legal liability, including under new proposed legislation regulating AI in jurisdictions such as the European Union (“EU”), new applications of existing data protection, privacy, intellectual property, and other laws, and brand or reputational harm. Some AI scenarios present ethical issues or may have broad impacts on society. If we enable or offer AI solutions that have unintended consequences, unintended usage or customization by our customers and partners, or are controversial because of their impact on human rights, privacy, employment, or other social, economic, or political issues, we may experience brand or reputational harm, adversely affecting our business and consolidated financial statements.
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Item 1A
OPERATIONAL RISKS
We may have excessive outages, data losses, and disruptions of our online services if we fail to maintain an adequate operations infrastructure. Our increasing user traffic, growth in services, and the complexity of our products and services demand more computing power. We spend substantial amounts to build, purchase, or lease datacenters and equipment and to upgrade our technology and network infrastructure to handle more traffic on our websites and in our datacenters. Our datacenters depend on the availability of permitted and buildable land, predictable energy, networking supplies, and servers, including graphics processing units (“GPUs”) and other components. The cost or availability of these dependencies could be adversely affected by a variety of factors, including the transition to a clean energy economy, local and regional environmental regulations, and geopolitical disruptions. These demands continue to increase as we introduce new products and services and support the growth and the augmentation of existing services such as Bing, Azure, Microsoft Account services, Microsoft 365, Microsoft Teams, Dynamics 365, OneDrive, SharePoint Online, Skype, Xbox, and Outlook.com through the incorporation of AI features and/or functionality. We are rapidly growing our business of providing a platform and back-end hosting for services provided by third parties to their end users. Maintaining, securing, and expanding this infrastructure is expensive and complex, and requires development of principles for datacenter builds in geographies with higher safety and reliability risks. It requires that we maintain an Internet connectivity infrastructure and storage and compute capacity that is robust and reliable within competitive and regulatory constraints that continue to evolve. Inefficiencies or operational failures, including temporary or permanent loss of customer data, insufficient Internet connectivity, insufficient or unavailable power supply, or inadequate storage and compute capacity, could diminish the quality of our products, services, and user experience resulting in contractual liability, claims by customers and other third parties, regulatory actions, damage to our reputation, and loss of current and potential users, subscribers, and advertisers, each of which may adversely impact our consolidated financial statements.
We may experience quality or supply problems. Our hardware products such as Xbox consoles, Surface devices, and other devices we design and market are highly complex and can have defects in design, manufacture, or associated software. We could incur significant expenses, lost revenue, and reputational harm as a result of recalls, safety alerts, or product liability claims if we fail to prevent, detect, or address such issues through design, testing, or warranty repairs.
Our software products and services also may experience quality or reliability problems. The highly sophisticated software we develop may contain bugs and other defects that interfere with their intended operation. Our customers increasingly rely on us for critical business functions and multiple workloads. Many of our products and services are interdependent with one another. Each of these circumstances potentially magnifies the impact of quality or reliability issues. Any defects we do not detect and fix in pre-release testing could cause reduced sales and revenue, damage to our reputation, repair or remediation costs, delays in the release of new products or versions, or legal liability. Although our license agreements typically contain provisions that eliminate or limit our exposure to liability, there is no assurance these provisions will withstand legal challenge.
There are limited suppliers for certain device and datacenter components. Our competitors use some of the same suppliers and their demand for hardware components can affect the capacity available to us. If components are delayed or become unavailable, whether because of supplier capacity constraint, industry shortages, legal or regulatory changes that restrict supply sources, or other reasons, we may not obtain timely replacement supplies, resulting in reduced sales or inadequate datacenter capacity to support the delivery and continued development of our products and services. Component shortages, excess or obsolete inventory, or price reductions resulting in inventory adjustments may increase our cost of revenue. Xbox consoles, Surface devices, datacenter servers, and other hardware are assembled in Asia and other geographies that may be subject to disruptions in the supply chain, resulting in shortages that would affect our revenue and operating margins.
LEGAL, REGULATORY, AND LITIGATION RISKS
Government litigation and regulatory activity relating to competition rules may limit how we design and market our products. Government agencies closely scrutinize us under U.S. and foreign competition laws. Governments are actively enforcing competition laws and regulations, and this includes scrutiny in potentially large markets such as the EU, the U.S., and China. Some jurisdictions also allow competitors or consumers to assert claims of anti-competitive conduct. U.S. federal and state antitrust authorities have previously brought enforcement actions and continue to scrutinize our business.
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For example, the European Commission (“the Commission”) closely scrutinizes the design of high-volume Microsoft products and the terms on which we make certain technologies used in these products, such as file formats, programming interfaces, and protocols, available to other companies. Flagship product releases such as Windows can receive significant scrutiny under EU or other competition laws.
Our portfolio of first-party devices continues to grow; at the same time our OEM partners offer a large variety of devices for our platforms. As a result, increasingly we both cooperate and compete with our OEM partners, creating a risk that we fail to do so in compliance with competition rules. Regulatory scrutiny in this area may increase. Certain foreign governments, particularly in China and other countries in Asia, have advanced arguments under their competition laws that exert downward pressure on royalties for our intellectual property.
Competition law regulatory actions and court decisions may result in fines or hinder our ability to provide the benefits of our software to consumers and businesses, reducing the attractiveness of our products and the revenue that comes from them. New competition law actions could be initiated, potentially using previous actions as precedent. The outcome of such actions, or steps taken to avoid them, could adversely affect us in a variety of ways, including causing us to withdraw products from or modify products for certain markets, decreasing the value of our assets, adversely affecting our ability to monetize our products, or inhibiting our ability to consummate acquisition or impose conditions on acquisitions that may reduce their value.
Laws and regulations relating to anti-corruption and trade could result in increased costs, fines, criminal penalties, or reputational damage. The Foreign Corrupt Practices Act (“FCPA”) and other anti-corruption laws and regulations (“Anti-Corruption Laws”) prohibit corrupt payments by our employees, vendors, or agents, and the accounting provisions of the FCPA require us to maintain accurate books and records and adequate internal controls. From time to time, we receive inquiries from authorities in the U.S. and elsewhere which may be based on reports from employees and others about our business activities outside the U.S. and our compliance with Anti-Corruption Laws. Periodically, we receive such reports directly and investigate them, and also cooperate with investigations by U.S. and foreign law enforcement authorities. An example of increasing international regulatory complexity is the EU Whistleblower Directive, initiated in 2021, which may present compliance challenges to the extent it is implemented in different forms by EU member states. Most countries in which we operate also have competition laws that prohibit competitors from colluding or otherwise attempting to reduce competition between themselves. While we devote substantial resources to our U.S. and international compliance programs and have implemented policies, training, and internal controls designed to reduce the risk of corrupt payments and collusive activity, our employees, vendors, or agents may violate our policies. Our failure to comply with Anti-Corruption Laws or competition laws could result in significant fines and penalties, criminal sanctions against us, our officers, or our employees, prohibitions on the conduct of our business, and damage to our reputation.
Increasing trade laws, policies, sanctions, and other regulatory requirements also affect our operations in and outside the U.S. relating to trade and investment. Economic sanctions in the U.S., the EU, and other countries prohibit most business with restricted entities or countries. U.S. export controls restrict Microsoft from offering many of its products and services to, or making investments in, certain entities in specified countries. U.S. import controls restrict us from integrating certain information and communication technologies into our supply chain and allow for government review of transactions involving information and communications technology from countries determined to be foreign adversaries. Supply chain regulations may impact the availability of goods or result in additional regulatory scrutiny. Periods of intense diplomatic or armed conflict, such as the ongoing conflict in Ukraine, may result in (1) new and rapidly evolving sanctions and trade restrictions, which may impair trade with sanctioned individuals and countries, and (2) negative impacts to regional trade ecosystems among our customers, partners, and us. Non-compliance with sanctions as well as general ecosystem disruptions could result in reputational harm, operational delays, monetary fines, loss of revenues, increased costs, loss of export privileges, or criminal sanctions.
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Item 1A
Laws and regulations relating to the handling of personal data may impede the adoption of our services or result in increased costs, legal claims, fines against us, or reputational damage. The growth of our Internet- and cloud-based services internationally relies increasingly on the movement of data across national boundaries. Legal requirements relating to the collection, storage, handling, and transfer of personal data continue to evolve. For example, while the EU-U.S. Data Privacy Framework (“DPF”) has been recognized as adequate under EU law to allow transfers of personal data from the EU to certified companies in the U.S., the DPF is subject to further legal challenge which could cause the legal requirements for data transfers from the EU to be uncertain. EU data protection authorities have and may again block the use of certain U.S.-based services that involve the transfer of data to the U.S. In the EU and other markets, potential new rules and restrictions on the flow of data across borders could increase the cost and complexity of delivering our products and services.
In addition, the EU General Data Protection Regulation (“GDPR”), which applies to all of our activities conducted from an establishment in the EU or related to products and services offered in the EU, imposes a range of compliance obligations regarding the handling of personal data. More recently, the EU has been developing new requirements related to the use of data, including in the Digital Markets Act, the Digital Services Act, and the Data Act, that add additional rules and restriction on the use of data in our products and services. Engineering efforts to build and maintain capabilities to facilitate compliance with these laws involve substantial expense and the diversion of engineering resources from other projects. We might experience reduced demand for our offerings if we are unable to engineer products that meet our legal duties or help our customers meet their obligations under these and other data regulations, or if our implementation to comply makes our offerings less attractive. Compliance with these obligations depends in part on how particular regulators interpret and apply them. If we fail to comply, or if regulators assert we have failed to comply (including in response to complaints made by customers), it may lead to regulatory enforcement actions, which can result in significant monetary penalties, private lawsuits, reputational damage, blockage of international data transfers, and loss of customers. The highest fines assessed under GDPR have recently been increasing, especially against large technology companies. Jurisdictions around the world, such as China, India, and states in the U.S. have adopted, or are considering adopting or expanding, laws and regulations imposing obligations regarding the collection, handling, and transfer of personal data.
Our investment in gaining insights from data is becoming central to the value of the services, including AI services, we deliver to customers, to operational efficiency and key opportunities in monetization, and to customer perceptions of quality. Our ability to use data in this way may be constrained by regulatory developments that impede realizing the expected return from this investment. Ongoing legal analyses, reviews, and inquiries by regulators of Microsoft practices, or relevant practices of other organizations, may result in burdensome or inconsistent requirements, including data sovereignty and localization requirements, affecting the location, movement, collection, and use of our customer and internal employee data as well as the management of that data. Compliance with applicable laws and regulations regarding personal data may require changes in services, business practices, or internal systems that result in increased costs, lower revenue, reduced efficiency, or greater difficulty in competing with foreign-based firms. Compliance with data regulations might limit our ability to innovate or offer certain features and functionality in some jurisdictions where we operate. Failure to comply with existing or new rules may result in significant penalties or orders to stop the alleged noncompliant activity, as well as negative publicity and diversion of management time and effort.
Existing and increasing legal and regulatory requirements could adversely affect our results of operations. We are subject to a wide range of laws, regulations, and legal requirements in the U.S. and globally, including those that may apply to our products and online services offerings, and those that impose requirements related to user privacy, telecommunications, data storage and protection, advertising, and online content. Laws in several jurisdictions, including EU Member State laws under the European Electronic Communications Code, increasingly define certain of our services as regulated telecommunications services. This trend may continue and will result in these offerings being subjected to additional data protection, security, law enforcement surveillance, and other obligations. Regulators and private litigants may assert that our collection, use, and management of customer data and other information is inconsistent with their laws and regulations, including laws that apply to the tracking of users via technology such as cookies. New environmental, social, and governance laws and regulations are expanding mandatory disclosure, reporting, and diligence requirements. Legislative or regulatory action relating to cybersecurity requirements may increase the costs to develop, implement, or secure our products and services. Compliance with evolving digital accessibility laws and standards will require engineering and is important to our efforts to empower all people and organizations to achieve more. Legislative and regulatory action is emerging in the areas of AI and content moderation, which could increase costs or restrict opportunity. For example, in the EU, an AI Act is being considered, and may entail increased costs or decreased opportunities for the operation of our AI services in the European market.
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How these laws and regulations apply to our business is often unclear, subject to change over time, and sometimes may be inconsistent from jurisdiction to jurisdiction. In addition, governments’ approach to enforcement, and our products and services, are continuing to evolve. Compliance with existing, expanding, or new laws and regulations may involve significant costs or require changes in products or business practices that could adversely affect our results of operations. Noncompliance could result in the imposition of penalties or orders we cease the alleged noncompliant activity. In addition, there is increasing pressure from advocacy groups, regulators, competitors, customers, and other stakeholders across many of these areas. If our products do not meet customer expectations or legal requirements, we could lose sales opportunities or face regulatory or legal actions.
We have claims and lawsuits against us that may result in adverse outcomes. We are subject to a variety of claims and lawsuits. These claims may arise from a wide variety of business practices and initiatives, including major new product releases such as Windows, AI services, significant business transactions, warranty or product claims, employment practices, and regulation. Adverse outcomes in some or all of these claims may result in significant monetary damages or injunctive relief that could adversely affect our ability to conduct our business. The litigation and other claims are subject to inherent uncertainties and management’s view of these matters may change in the future. A material adverse impact in our consolidated financial statements could occur for the period in which the effect of an unfavorable outcome becomes probable and reasonably estimable.
Our business with government customers may present additional uncertainties. We derive substantial revenue from government contracts. Government contracts generally can present risks and challenges not present in private commercial agreements. For instance, we may be subject to government audits and investigations relating to these contracts, we could be suspended or debarred as a governmental contractor, we could incur civil and criminal fines and penalties, and under certain circumstances contracts may be rescinded. Some agreements may allow a government to terminate without cause and provide for higher liability limits for certain losses. Some contracts may be subject to periodic funding approval, reductions, cancellations, or delays which could adversely impact public-sector demand for our products and services. These events could negatively impact our results of operations, financial condition, and reputation.
We may have additional tax liabilities. We are subject to income taxes in the U.S. and many foreign jurisdictions. Significant judgment is required in determining our worldwide provision for income taxes. In the course of our business, there are many transactions and calculations where the ultimate tax determination is uncertain. For example, compliance with the 2017 United States Tax Cuts and Jobs Act (“TCJA”) and possible future legislative changes may require the collection of information not regularly produced within the company, the use of estimates in our consolidated financial statements, and the exercise of significant judgment in accounting for its provisions. As regulations and guidance evolve with respect to the TCJA or possible future legislative changes, and as we gather more information and perform more analysis, our results may differ from previous estimates and may materially affect our consolidated financial statements.
We are regularly under audit by tax authorities in different jurisdictions. Although we believe that our provision for income taxes and our tax estimates are reasonable, tax authorities may disagree with certain positions we have taken. In addition, economic and political pressures to increase tax revenue in various jurisdictions may make resolving tax disputes favorably more difficult. We are currently under Internal Revenue Service audit for prior tax years, with the primary unresolved issues relating to transfer pricing. The final resolution of those audits, and other audits or litigation, may differ from the amounts recorded in our consolidated financial statements and may materially affect our consolidated financial statements in the period or periods in which that determination is made.
We earn a significant amount of our operating income outside the U.S. A change in the mix of earnings and losses in countries with differing statutory tax rates, changes in our business or structure, or the expiration of or disputes about certain tax agreements in a particular country may result in higher effective tax rates for the company. In addition, changes in U.S. federal and state or international tax laws applicable to corporate multinationals, other fundamental law changes currently being considered by many countries, including in the U.S., and changes in taxing jurisdictions’ administrative interpretations, decisions, policies, and positions may materially adversely impact our consolidated financial statements.
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Item 1A
INTELLECTUAL PROPERTY RISKS
We face risks related to the protection and utilization of our intellectual property that may result in our business and operating results may be harmed. Protecting our intellectual property rights and combating unlicensed copying and use of our software and other intellectual property on a global basis is difficult. Similarly, the absence of harmonized patent laws makes it more difficult to ensure consistent respect for patent rights.
Changes in the law may continue to weaken our ability to prevent the use of patented technology or collect revenue for licensing our patents. Additionally, licensees of our patents may fail to satisfy their obligations to pay us royalties or may contest the scope and extent of their obligations. Finally, our increasing engagement with open source software will also cause us to license our intellectual property rights broadly in certain situations. If we are unable to protect our intellectual property, our revenue may be adversely affected.
Source code, the detailed program commands for our operating systems and other software programs, is critical to our business. If our source code leaks, we might lose future trade secret protection for that code. It may then become easier for third parties to compete with our products by copying functionality, which could adversely affect our revenue and operating results. Unauthorized disclosure of source code also could increase the security risks described elsewhere in these risk factors.
Third parties may claim that we infringe their intellectual property. From time to time, others claim we infringe their intellectual property rights. To resolve these claims, we may enter into royalty and licensing agreements on terms that are less favorable than currently available, stop selling or redesign affected products or services, or pay damages to satisfy indemnification commitments with our customers. Adverse outcomes could also include monetary damages or injunctive relief that may limit or prevent importing, marketing, and selling our products or services that have infringing technologies. We have paid significant amounts to settle claims related to the use of technology and intellectual property rights and to procure intellectual property rights as part of our strategy to manage this risk, and may continue to do so.
GENERAL RISKS
If our reputation or our brands are damaged, our business and operating results may be harmed. Our reputation and brands are globally recognized and are important to our business. Our reputation and brands affect our ability to attract and retain consumer, business, and public-sector customers. There are numerous ways our reputation or brands could be damaged. These include product safety or quality issues, our environmental impact and sustainability, supply chain practices, or human rights record. We may experience backlash from customers, government entities, advocacy groups, employees, and other stakeholders that disagree with our product offering decisions or public policy positions. Damage to our reputation or our brands may occur from, among other things:
•
The introduction of new features, products, services, or terms of service that customers, users, or partners do not like.
•
Public scrutiny of our decisions regarding user privacy, data practices, or content.
•
Data security breaches, compliance failures, or actions of partners or individual employees.
The proliferation of social media may increase the likelihood, speed, and magnitude of negative brand events. If our brands or reputation are damaged, it could negatively impact our revenues or margins, or ability to attract the most highly qualified employees.
Adverse economic or market conditions may harm our business. Worsening economic conditions, including inflation, recession, pandemic, or other changes in economic conditions, may cause lower IT spending and adversely affect our revenue. If demand for PCs, servers, and other computing devices declines, or consumer or business spending for those products declines, our revenue will be adversely affected.
Our product distribution system relies on an extensive partner and retail network. OEMs building devices that run our software have also been a significant means of distribution. The impact of economic conditions on our partners, such as the bankruptcy of a major distributor, OEM, or retailer, could cause sales channel disruption.
Challenging economic conditions also may impair the ability of our customers to pay for products and services they have purchased. As a result, allowances for doubtful accounts and write-offs of accounts receivable may increase.
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Item 1A
We maintain an investment portfolio of various holdings, types, and maturities. These investments are subject to general credit, liquidity, market, and interest rate risks, which may be exacerbated by market downturns or events that affect global financial markets. A significant part of our investment portfolio comprises U.S. government securities. If global financial markets decline for long periods, or if there is a downgrade of the U.S. government credit rating due to an actual or threatened default on government debt, our investment portfolio may be adversely affected and we could determine that more of our investments have experienced a decline in fair value, requiring impairment charges that could adversely affect our consolidated financial statements.
Catastrophic events or geopolitical conditions may disrupt our business. A disruption or failure of our systems or operations because of a major earthquake, weather event, cyberattack, terrorist attack, pandemic, or other catastrophic event could cause delays in completing sales, providing services, or performing other critical functions. Our corporate headquarters, a significant portion of our research and development activities, and certain other essential business operations are in the Seattle, Washington area, and we have other business operations in the Silicon Valley area of California, both of which are seismically active regions. A catastrophic event that results in the destruction or disruption of any of our critical business or IT systems, or the infrastructure or systems they rely on, such as power grids, could harm our ability to conduct normal business operations. Providing our customers with more services and solutions in the cloud puts a premium on the resilience of our systems and strength of our business continuity management plans and magnifies the potential impact of prolonged service outages in our consolidated financial statements.
Abrupt political change, terrorist activity, and armed conflict, such as the ongoing conflict in Ukraine, pose a risk of general economic disruption in affected countries, which may increase our operating costs and negatively impact our ability to sell to and collect from customers in affected markets. These conditions also may add uncertainty to the timing and budget for technology investment decisions by our customers and may cause supply chain disruptions for hardware manufacturers. Geopolitical change may result in changing regulatory systems and requirements and market interventions that could impact our operating strategies, access to national, regional, and global markets, hiring, and profitability. Geopolitical instability may lead to sanctions and impact our ability to do business in some markets or with some public-sector customers. Any of these changes may negatively impact our revenues.
The occurrence of regional epidemics or a global pandemic, such as COVID-19, may adversely affect our operations, financial condition, and results of operations. The extent to which global pandemics impact our business going forward will depend on factors such as the duration and scope of the pandemic; governmental, business, and individuals' actions in response to the pandemic; and the impact on economic activity, including the possibility of recession or financial market instability. Measures to contain a global pandemic may intensify other risks described in these Risk Factors.
We may incur increased costs to effectively manage these aspects of our business. If we are unsuccessful, it may adversely impact our revenues, cash flows, market share growth, and reputation.
The long-term effects of climate change on the global economy and the IT industry in particular are unclear. Environmental regulations or changes in the supply, demand, or available sources of energy or other resources may affect the availability or cost of goods and services, including natural resources, necessary to run our business. Changes in climate where we operate may increase the costs of powering and cooling computer hardware we use to develop software and provide cloud-based services.
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Item 1A
Our global business exposes us to operational and economic risks. Our customers are located throughout the world and a significant part of our revenue comes from international sales. The global nature of our business creates operational, economic, and geopolitical risks. Our results of operations may be affected by global, regional, and local economic developments, monetary policy, inflation, and recession, as well as political and military disputes. In addition, our international growth strategy includes certain markets, the developing nature of which presents several risks, including deterioration of social, political, labor, or economic conditions in a country or region, and difficulties in staffing and managing foreign operations. Emerging nationalist and protectionist trends and concerns about human rights, the environment, and political expression in specific countries may significantly alter the trade and commercial environments. Changes to trade policy or agreements as a result of populism, protectionism, or economic nationalism may result in higher tariffs, local sourcing initiatives, and non-local sourcing restrictions, export controls, investment restrictions, or other developments that make it more difficult to sell our products in foreign countries. Disruptions of these kinds in developed or emerging markets could negatively impact demand for our products and services, impair our ability to operate in certain regions, or increase operating costs. Although we hedge a portion of our international currency exposure, significant fluctuations in foreign exchange rates between the U.S. dollar and foreign currencies may adversely affect our results of operations.
Our business depends on our ability to attract and retain talented employees. Our business is based on successfully attracting and retaining talented employees representing diverse backgrounds, experiences, and skill sets. The market for highly skilled workers and leaders in our industry is extremely competitive. Maintaining our brand and reputation, as well as a diverse and inclusive work environment that enables all our employees to thrive, are important to our ability to recruit and retain employees. We are also limited in our ability to recruit internationally by restrictive domestic immigration laws. Changes to U.S. immigration policies that restrain the flow of technical and professional talent may inhibit our ability to adequately staff our research and development efforts. If we are less successful in our recruiting efforts, or if we cannot retain highly skilled workers and key leaders, our ability to develop and deliver successful products and services may be adversely affected. Effective succession planning is also important to our long-term success. Failure to ensure effective transfer of knowledge and smooth transitions involving key employees could hinder our strategic planning and execution. How employment-related laws are interpreted and applied to our workforce practices may result in increased operating costs and less flexibility in how we meet our workforce needs. Our global workforce is predominantly non-unionized, although we do have some employees in the U.S. and internationally who are represented by unions or works councils. In the U.S., there has been a general increase in workers exercising their right to form or join a union. The unionization of significant employee populations could result in higher costs and other operational changes necessary to respond to changing conditions and to establish new relationships with worker representatives.
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PART I
Item 1B, 2, 3, 4
ITEM 1B. UNRESOLVED STAFF COMMENTS
We have received no written comments regarding our periodic or current reports from the staff of the Securities and Exchange Commission that were issued 180 days or more preceding the end of our fiscal year 2023 that remain unresolved.
ITEM 2. PROPERTIES
Our corporate headquarters are located in Redmond, Washington. We have approximately 16 million square feet of space located in King County, Washington that is used for engineering, sales, marketing, and operations, among other general and administrative purposes. These facilities include approximately 11 million square feet of owned space situated on approximately 530 acres of land we own at our corporate headquarters, and approximately 5 million square feet of space we lease.
We own and lease other facilities domestically and internationally, primarily for offices, datacenters, and research and development. The largest owned international properties include space in the following locations: China, India, Ireland, and the Netherlands. The largest leased international properties include space in the following locations: Australia, Canada, China, France, Germany, India, Ireland, Israel, Japan, the Netherlands, and the United Kingdom. Refer to Research and Development (Part I, Item 1 of this Form 10-K) for further discussion of our research and development facilities.
In fiscal year 2023, we made decisions to consolidate our office leases to create higher density across our workspaces, and we may make similar decisions in future periods as we continue to evaluate our real estate needs.
The table below shows a summary of the square footage of our properties owned and leased domestically and internationally as of June 30, 2023:
(Square feet in millions)
Location Owned Leased Total
U.S. 27 20 47
International 9 22 31
Total 36 42 78
ITEM 3. LEGAL PROCEEDINGS
Refer to Note 15 – Contingencies of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for information regarding legal proceedings in which we are involved.
ITEM 4. MINE SAFETY DISCLOSURES
Not applicable.
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PART II
Item 5
PART II
ITEM 5. MARKET FOR REGISTRANT’S COMMON EQUITY, RELATED STOCKHOLDER MATTERS, AND ISSUER PURCHASES OF EQUITY SECURITIES
MARKET AND STOCKHOLDERS
Our common stock is traded on the NASDAQ Stock Market under the symbol MSFT. On July 24, 2023, there were 83,883 registered holders of record of our common stock.
SHARE REPURCHASES AND DIVIDENDS
Following are our monthly share repurchases for the fourth quarter of fiscal year 2023:
Period Total Number
of Shares
Purchased Average Price
Paid Per Share Total Number of
Shares Purchased
as Part of Publicly
Announced Plans
or Programs Approximate Dollar
Value of Shares That
May Yet Be
Purchased Under the
Plans or Programs
(In millions)
April 1, 2023 – April 30, 2023 5,007,656 $ 287.97 5,007,656 $ 25,467
May 1, 2023 – May 31, 2023 5,355,638 314.26 5,355,638 23,784
June 1, 2023 – June 30, 2023 4,413,960 334.15 4,413,960 22,309
14,777,254 14,777,254
All share repurchases were made using cash resources. Our share repurchases may occur through open market purchases or pursuant to a Rule 10b5-1 trading plan. The above table excludes shares repurchased to settle employee tax withholding related to the vesting of stock awards.
Our Board of Directors declared the following dividends during the fourth quarter of fiscal year 2023:
Declaration Date Record Date Payment Date Dividend
Per Share Amount
(In millions)
June 13, 2023 August 17, 2023 September 14, 2023 $ 0.68 $ 5,054
We returned $9.7 billion to shareholders in the form of share repurchases and dividends in the fourth quarter of fiscal year 2023. Refer to Note 16 – Stockholders’ Equity of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for further discussion regarding share repurchases and dividends.
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PART II
Item 6
ITEM 6. [RESERVED]
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PART II
Item 7
ITEM 7. MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS
The following Management’s Discussion and Analysis of Financial Condition and Results of Operations (“MD&A”) is intended to help the reader understand the results of operations and financial condition of Microsoft Corporation. MD&A is provided as a supplement to, and should be read in conjunction with, our consolidated financial statements and the accompanying Notes to Financial Statements (Part II, Item 8 of this Form 10-K). This section generally discusses the results of our operations for the year ended June 30, 2023 compared to the year ended June 30, 2022. For a discussion of the year ended June 30, 2022 compared to the year ended June 30, 2021, please refer to Part II, Item 7, “Management’s Discussion and Analysis of Financial Condition and Results of Operations” in our Annual Report on Form 10-K for the year ended June 30, 2022.
OVERVIEW
Microsoft is a technology company whose mission is to empower every person and every organization on the planet to achieve more. We strive to create local opportunity, growth, and impact in every country around the world. We are creating the platforms and tools, powered by artificial intelligence (“AI”), that deliver better, faster, and more effective solutions to support small and large business competitiveness, improve educational and health outcomes, grow public-sector efficiency, and empower human ingenuity.
We generate revenue by offering a wide range of cloud-based solutions, content, and other services to people and businesses; licensing and supporting an array of software products; delivering relevant online advertising to a global audience; and designing and selling devices. Our most significant expenses are related to compensating employees; supporting and investing in our cloud-based services, including datacenter operations; designing, manufacturing, marketing, and selling our other products and services; and income taxes.
Highlights from fiscal year 2023 compared with fiscal year 2022 included:
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Microsoft Cloud revenue increased 22% to $111.6 billion.
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Office Commercial products and cloud services revenue increased 10% driven by Office 365 Commercial growth of 13%.
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Office Consumer products and cloud services revenue increased 2% and Microsoft 365 Consumer subscribers increased to 67.0 million.
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LinkedIn revenue increased 10%.
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Dynamics products and cloud services revenue increased 16% driven by Dynamics 365 growth of 24%.
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Server products and cloud services revenue increased 19% driven by Azure and other cloud services growth of 29%.
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Windows original equipment manufacturer licensing (“Windows OEM”) revenue decreased 25%.
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Devices revenue decreased 24%.
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Windows Commercial products and cloud services revenue increased 5%.
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Xbox content and services revenue decreased 3%.
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Search and news advertising revenue excluding traffic acquisition costs increased 11%.
Industry Trends
Our industry is dynamic and highly competitive, with frequent changes in both technologies and business models. Each industry shift is an opportunity to conceive new products, new technologies, or new ideas that can further transform the industry and our business. At Microsoft, we push the boundaries of what is possible through a broad range of research and development activities that seek to identify and address the changing demands of customers and users, industry trends, and competitive forces.
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Economic Conditions, Challenges, and Risks
The markets for software, devices, and cloud-based services are dynamic and highly competitive. Our competitors are developing new software and devices, while also deploying competing cloud-based services for consumers and businesses. The devices and form factors customers prefer evolve rapidly, influencing how users access services in the cloud and, in some cases, the user’s choice of which suite of cloud-based services to use. Aggregate demand for our software, services, and devices is also correlated to global macroeconomic and geopolitical factors, which remain dynamic. We must continue to evolve and adapt over an extended time in pace with this changing environment.
The investments we are making in cloud and AI infrastructure and devices will continue to increase our operating costs and may decrease our operating margins. We continue to identify and evaluate opportunities to expand our datacenter locations and increase our server capacity to meet the evolving needs of our customers, particularly given the growing demand for AI services. Our datacenters depend on the availability of permitted and buildable land, predictable energy, networking supplies, and servers, including graphics processing units (“GPUs”) and other components. Our devices are primarily manufactured by third-party contract manufacturers. For the majority of our products, we have the ability to use other manufacturers if a current vendor becomes unavailable or unable to meet our requirements. However, some of our products contain certain components for which there are very few qualified suppliers. Extended disruptions at these suppliers could impact our ability to manufacture devices on time to meet consumer demand.
Our success is highly dependent on our ability to attract and retain qualified employees. We hire a mix of university and industry talent worldwide. We compete for talented individuals globally by offering an exceptional working environment, broad customer reach, scale in resources, the ability to grow one’s career across many different products and businesses, and competitive compensation and benefits.
Our international operations provide a significant portion of our total revenue and expenses. Many of these revenue and expenses are denominated in currencies other than the U.S. dollar. As a result, changes in foreign exchange rates may significantly affect revenue and expenses. Fluctuations in the U.S. dollar relative to certain foreign currencies reduced reported revenue and expenses from our international operations in fiscal year 2023.
On January 18, 2023, we announced decisions we made to align our cost structure with our revenue and customer demand, prioritize our investments in strategic areas, and consolidate office space. As a result, we recorded a $1.2 billion charge in the second quarter of fiscal year 2023 (“Q2 charge”), which included employee severance expenses of $800 million, impairment charges resulting from changes to our hardware portfolio, and costs related to lease consolidation activities. First, we reduced our overall workforce by approximately 10,000 jobs through the third quarter of fiscal year 2023 related to the Q2 charge, which represents less than 5% of our total employee base. While we eliminated roles in some areas, we will continue to hire in key strategic areas. Second, we are allocating both our capital and talent to areas of secular growth and long-term competitiveness, while divesting in other areas. Third, we are consolidating our leases to create higher density across our workspaces, which impacted our financial results through the remainder of fiscal year 2023, and we may make similar decisions in future periods as we continue to evaluate our real estate needs.
Refer to Risk Factors (Part I, Item 1A of this Form 10-K) for a discussion of these factors and other risks.
Seasonality
Our revenue fluctuates quarterly and is generally higher in the second and fourth quarters of our fiscal year. Second quarter revenue is driven by corporate year-end spending trends in our major markets and holiday season spending by consumers, and fourth quarter revenue is driven by the volume of multi-year on-premises contracts executed during the period.
Change in Accounting Estimate
In July 2022, we completed an assessment of the useful lives of our server and network equipment. Due to investments in software that increased efficiencies in how we operate our server and network equipment, as well as advances in technology, we determined we should increase the estimated useful lives of both server and network equipment from four years to six years. This change in accounting estimate was effective beginning fiscal year 2023. Based on the carrying amount of server and network equipment included in property and equipment, net as of June 30, 2022, the effect of this change in estimate for fiscal year 2023 was an increase in operating income of $3.7 billion and net income of $3.0 billion, or $0.40 per both basic and diluted share.
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Reportable Segments
We report our financial performance based on the following segments: Productivity and Business Processes, Intelligent Cloud, and More Personal Computing. The segment amounts included in MD&A are presented on a basis consistent with our internal management reporting. We have recast certain prior period amounts to conform to the way we internally manage and monitor our business.
Additional information on our reportable segments is contained in Note 19 – Segment Information and Geographic Data of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K).
Metrics
We use metrics in assessing the performance of our business and to make informed decisions regarding the allocation of resources. We disclose metrics to enable investors to evaluate progress against our ambitions, provide transparency into performance trends, and reflect the continued evolution of our products and services. Our commercial and other business metrics are fundamentally connected based on how customers use our products and services. The metrics are disclosed in the MD&A or the Notes to Financial Statements (Part II, Item 8 of this Form 10-K). Financial metrics are calculated based on financial results prepared in accordance with accounting principles generally accepted in the United States of America (“GAAP”), and growth comparisons relate to the corresponding period of last fiscal year.
In the first quarter of fiscal year 2023, we made updates to the presentation and method of calculation for certain metrics, most notably expanding our Surface metric into a broader Devices metric to incorporate additional revenue streams, along with other minor changes to align with how we manage our businesses.
Commercial
Our commercial business primarily consists of Server products and cloud services, Office Commercial, Windows Commercial, the commercial portion of LinkedIn, Enterprise Services, and Dynamics. Our commercial metrics allow management and investors to assess the overall health of our commercial business and include leading indicators of future performance.
Commercial remaining performance obligation Commercial portion of revenue allocated to remaining performance obligations, which includes unearned revenue and amounts that will be invoiced and recognized as revenue in future periods
Microsoft Cloud revenue Revenue from Azure and other cloud services, Office 365 Commercial, the commercial portion of LinkedIn, Dynamics 365, and other commercial cloud properties
Microsoft Cloud gross margin percentage Gross margin percentage for our Microsoft Cloud business
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Productivity and Business Processes and Intelligent Cloud
Metrics related to our Productivity and Business Processes and Intelligent Cloud segments assess the health of our core businesses within these segments. The metrics reflect our cloud and on-premises product strategies and trends.
Office Commercial products and cloud services revenue growth Revenue from Office Commercial products and cloud services (Office 365 subscriptions, the Office 365 portion of Microsoft 365 Commercial subscriptions, and Office licensed on-premises), comprising Office, Exchange, SharePoint, Microsoft Teams, Office 365 Security and Compliance, Microsoft Viva, and Microsoft 365 Copilot
Office Consumer products and cloud services revenue growth Revenue from Office Consumer products and cloud services, including Microsoft 365 Consumer subscriptions, Office licensed on-premises, and other Office services
Office 365 Commercial seat growth The number of Office 365 Commercial seats at end of period where seats are paid users covered by an Office 365 Commercial subscription
Microsoft 365 Consumer subscribers The number of Microsoft 365 Consumer subscribers at end of period
Dynamics products and cloud services revenue growth Revenue from Dynamics products and cloud services, including Dynamics 365, comprising a set of intelligent, cloud-based applications across ERP, CRM (including Customer Insights), Power Apps, and Power Automate; and on-premises ERP and CRM applications
LinkedIn revenue growth Revenue from LinkedIn, including Talent Solutions, Marketing Solutions, Premium Subscriptions, and Sales Solutions
Server products and cloud services revenue growth Revenue from Server products and cloud services, including Azure and other cloud services; SQL Server, Windows Server, Visual Studio, System Center, and related Client Access Licenses (“CALs”); and Nuance and GitHub
More Personal Computing
Metrics related to our More Personal Computing segment assess the performance of key lines of business within this segment. These metrics provide strategic product insights which allow us to assess the performance across our commercial and consumer businesses. As we have diversity of target audiences and sales motions within the Windows business, we monitor metrics that are reflective of those varying motions.
Windows OEM revenue growth Revenue from sales of Windows Pro and non-Pro licenses sold through the OEM channel
Windows Commercial products and cloud services revenue growth Revenue from Windows Commercial products and cloud services, comprising volume licensing of the Windows operating system, Windows cloud services, and other Windows commercial offerings
Devices revenue growth Revenue from Devices, including Surface, HoloLens, and PC accessories
Xbox content and services revenue growth Revenue from Xbox content and services, comprising first- and third-party content (including games and in-game content), Xbox Game Pass and other subscriptions, Xbox Cloud Gaming, advertising, third-party disc royalties, and other cloud services
Search and news advertising revenue (ex TAC) growth Revenue from search and news advertising excluding traffic acquisition costs (“TAC”) paid to Bing Ads network publishers and news partners
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SUMMARY RESULTS OF OPERATIONS
(In millions, except percentages and per share amounts) 2023 2022 Percentage
Change
Revenue $ 211,915 $ 198,270 7%
Gross margin 146,052 135,620 8%
Operating income 88,523 83,383 6%
Net income 72,361 72,738 (1)%
Diluted earnings per share 9.68 9.65 0%
Adjusted gross margin (non-GAAP) 146,204 135,620 8%
Adjusted operating income (non-GAAP) 89,694 83,383 8%
Adjusted net income (non-GAAP) 73,307 69,447 6%
Adjusted diluted earnings per share (non-GAAP) 9.81 9.21 7%
Adjusted gross margin, operating income, net income, and diluted earnings per share (“EPS”) are non-GAAP financial measures. Current year non-GAAP financial measures exclude the impact of the Q2 charge, which includes employee severance expenses, impairment charges resulting from changes to our hardware portfolio, and costs related to lease consolidation activities. Prior year non-GAAP financial measures exclude the net income tax benefit related to transfer of intangible properties in the first quarter of fiscal year 2022. Refer to Note 12 – Income Taxes of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for further discussion. Refer to the Non-GAAP Financial Measures section below for a reconciliation of our financial results reported in accordance with GAAP to non-GAAP financial results.
Fiscal Year 2023 Compared with Fiscal Year 2022
Revenue increased $13.6 billion or 7% driven by growth in Intelligent Cloud and Productivity and Business Processes, offset in part by a decline in More Personal Computing. Intelligent Cloud revenue increased driven by Azure and other cloud services. Productivity and Business Processes revenue increased driven by Office 365 Commercial and LinkedIn. More Personal Computing revenue decreased driven by Windows and Devices.
Cost of revenue increased $3.2 billion or 5% driven by growth in Microsoft Cloud, offset in part by the change in accounting estimate.
Gross margin increased $10.4 billion or 8% driven by growth in Intelligent Cloud and Productivity and Business Processes and the change in accounting estimate, offset in part by a decline in More Personal Computing.
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Gross margin percentage increased slightly. Excluding the impact of the change in accounting estimate, gross margin percentage decreased 1 point driven by declines in Intelligent Cloud and More Personal Computing, offset in part by sales mix shift between our segments.
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Microsoft Cloud gross margin percentage increased 2 points to 72%. Excluding the impact of the change in accounting estimate, Microsoft Cloud gross margin percentage decreased slightly driven by a decline in Azure and other cloud services and sales mix shift to Azure and other cloud services, offset in part by improvement in Office 365 Commercial.
Operating expenses increased $5.3 billion or 10% driven by employee severance expenses, 2 points of growth from the Nuance and Xandr acquisitions, investments in cloud engineering, and LinkedIn.
Operating income increased $5.1 billion or 6% driven by growth in Productivity and Business Processes and Intelligent Cloud and the change in accounting estimate, offset in part by a decline in More Personal Computing.
Revenue, gross margin, and operating income included an unfavorable foreign currency impact of 4%, 4%, and 6%, respectively. Cost of revenue and operating expenses both included a favorable foreign currency impact of 2%.
Current year gross margin, operating income, net income, and diluted EPS were negatively impacted by the Q2 charge, which resulted in decreases of $152 million, $1.2 billion, $946 million, and $0.13, respectively. Prior year net income and diluted EPS were positively impacted by the net tax benefit related to the transfer of intangible properties, which resulted in an increase to net income and diluted EPS of $3.3 billion and $0.44, respectively.
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SEGMENT RESULTS OF OPERATIONS
(In millions, except percentages) 2023 2022 Percentage
Change
Revenue
Productivity and Business Processes $ 69,274 $ 63,364 9%
Intelligent Cloud 87,907 74,965 17%
More Personal Computing 54,734 59,941 (9)%
Total $ 211,915 $ 198,270 7%
Operating Income
Productivity and Business Processes $ 34,189 $ 29,690 15%
Intelligent Cloud 37,884 33,203 14%
More Personal Computing 16,450 20,490 (20)%
Total $ 88,523 $ 83,383 6%
Reportable Segments
Fiscal Year 2023 Compared with Fiscal Year 2022
Productivity and Business Processes
Revenue increased $5.9 billion or 9%.
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Office Commercial products and cloud services revenue increased $3.7 billion or 10%. Office 365 Commercial revenue grew 13% with seat growth of 11%, driven by small and medium business and frontline worker offerings, as well as growth in revenue per user. Office Commercial products revenue declined 21% driven by continued customer shift to cloud offerings.
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Office Consumer products and cloud services revenue increased $140 million or 2%. Microsoft 365 Consumer subscribers grew 12% to 67.0 million.
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LinkedIn revenue increased $1.3 billion or 10% driven by Talent Solutions.
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Dynamics products and cloud services revenue increased $750 million or 16% driven by Dynamics 365 growth of 24%.
Operating income increased $4.5 billion or 15%.
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Gross margin increased $5.8 billion or 12% driven by growth in Office 365 Commercial and LinkedIn, as well as the change in accounting estimate. Gross margin percentage increased. Excluding the impact of the change in accounting estimate, gross margin percentage increased slightly driven by improvement in Office 365 Commercial, offset in part by sales mix shift to cloud offerings.
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Operating expenses increased $1.3 billion or 7% driven by investment in LinkedIn and employee severance expenses.
Revenue, gross margin, and operating income included an unfavorable foreign currency impact of 5%, 5%, and 8%, respectively.
Intelligent Cloud
Revenue increased $12.9 billion or 17%.
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Server products and cloud services revenue increased $12.6 billion or 19% driven by Azure and other cloud services. Azure and other cloud services revenue grew 29% driven by growth in our consumption-based services. Server products revenue decreased 1%.
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Enterprise Services revenue increased $315 million or 4% driven by growth in Enterprise Support Services, offset in part by a decline in Industry Solutions (formerly Microsoft Consulting Services).
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Operating income increased $4.7 billion or 14%.
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Gross margin increased $8.9 billion or 17% driven by growth in Azure and other cloud services and the change in accounting estimate. Gross margin percentage decreased slightly. Excluding the impact of the change in accounting estimate, gross margin percentage decreased 3 points driven by sales mix shift to Azure and other cloud services and a decline in Azure and other cloud services.
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Operating expenses increased $4.2 billion or 21% driven by investments in Azure, 4 points of growth from the Nuance acquisition, and employee severance expenses.
Revenue, gross margin, and operating income included an unfavorable foreign currency impact of 4%, 4%, and 6%, respectively. Operating expenses included a favorable foreign currency impact of 2%.
More Personal Computing
Revenue decreased $5.2 billion or 9%.
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Windows revenue decreased $3.2 billion or 13% driven by a decrease in Windows OEM. Windows OEM revenue decreased 25% as elevated channel inventory levels continued to drive additional weakness beyond declining PC demand. Windows Commercial products and cloud services revenue increased 5% driven by demand for Microsoft 365.
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Devices revenue decreased $1.8 billion or 24% as elevated channel inventory levels continued to drive additional weakness beyond declining PC demand.
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Gaming revenue decreased $764 million or 5% driven by declines in Xbox hardware and Xbox content and services. Xbox hardware revenue decreased 11% driven by lower volume and price of consoles sold. Xbox content and services revenue decreased 3% driven by a decline in first-party content, offset in part by growth in Xbox Game Pass.
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Search and news advertising revenue increased $617 million or 5%. Search and news advertising revenue excluding traffic acquisition costs increased 11% driven by higher search volume and the Xandr acquisition.
Operating income decreased $4.0 billion or 20%.
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Gross margin decreased $4.2 billion or 13% driven by declines in Windows and Devices. Gross margin percentage decreased driven by a decline in Devices.
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Operating expenses decreased $195 million or 2% driven by a decline in Devices, offset in part by investments in Search and news advertising, including 2 points of growth from the Xandr acquisition.
Revenue, gross margin, and operating income included an unfavorable foreign currency impact of 3%, 4%, and 6%, respectively. Operating expenses included a favorable foreign currency impact of 2%.
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OPERATING EXPENSES
Research and Development
(In millions, except percentages) 2023 2022 Percentage
Change
Research and development $ 27,195 $ 24,512 11%
As a percent of revenue 13% 12% 1ppt
Research and development expenses include payroll, employee benefits, stock-based compensation expense, and other headcount-related expenses associated with product development. Research and development expenses also include third-party development and programming costs and the amortization of purchased software code and services content.
Fiscal Year 2023 Compared with Fiscal Year 2022
Research and development expenses increased $2.7 billion or 11% driven by investments in cloud engineering and LinkedIn.
Sales and Marketing
(In millions, except percentages) 2023 2022 Percentage
Change
Sales and marketing $ 22,759 $ 21,825 4%
As a percent of revenue 11% 11% 0ppt
Sales and marketing expenses include payroll, employee benefits, stock-based compensation expense, and other headcount-related expenses associated with sales and marketing personnel, and the costs of advertising, promotions, trade shows, seminars, and other programs.
Fiscal Year 2023 Compared with Fiscal Year 2022
Sales and marketing expenses increased $934 million or 4% driven by 3 points of growth from the Nuance and Xandr acquisitions and investments in commercial sales, offset in part by a decline in Windows advertising. Sales and marketing included a favorable foreign currency impact of 2%.
General and Administrative
(In millions, except percentages) 2023 2022 Percentage
Change
General and administrative $ 7,575 $ 5,900 28%
As a percent of revenue 4% 3% 1ppt
General and administrative expenses include payroll, employee benefits, stock-based compensation expense, employee severance expense incurred as part of a corporate program, and other headcount-related expenses associated with finance, legal, facilities, certain human resources and other administrative personnel, certain taxes, and legal and other administrative fees.
Fiscal Year 2023 Compared with Fiscal Year 2022
General and administrative expenses increased $1.7 billion or 28% driven by employee severance expenses and a charge related to a non-public preliminary draft decision provided by the Irish Data Protection Commission. General and administrative included a favorable foreign currency impact of 2%.
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OTHER INCOME (EXPENSE), NET
The components of other income (expense), net were as follows:
(In millions)
Year Ended June 30, 2023 2022
Interest and dividends income $ 2,994 $ 2,094
Interest expense (1,968 ) (2,063 )
Net recognized gains on investments 260 461
Net losses on derivatives (456 ) (52 )
Net gains (losses) on foreign currency remeasurements 181 (75 )
Other, net (223 ) (32 )
Total $ 788 $ 333
We use derivative instruments to manage risks related to foreign currencies, equity prices, interest rates, and credit; enhance investment returns; and facilitate portfolio diversification. Gains and losses from changes in fair values of derivatives that are not designated as hedging instruments are primarily recognized in other income (expense), net.
Fiscal Year 2023 Compared with Fiscal Year 2022
Interest and dividends income increased due to higher yields, offset in part by lower portfolio balances. Interest expense decreased due to a decrease in outstanding long-term debt due to debt maturities. Net recognized gains on investments decreased due to lower gains on equity securities and higher losses on fixed income securities. Net losses on derivatives increased due to losses related to managing strategic investments.
INCOME TAXES
Effective Tax Rate
Our effective tax rate for fiscal years 2023 and 2022 was 19% and 13%, respectively. The increase in our effective tax rate was primarily due to a $3.3 billion net income tax benefit in the first quarter of fiscal year 2022 related to the transfer of intangible properties and a decrease in tax benefits relating to stock-based compensation.
In the first quarter of fiscal year 2022, we transferred certain intangible properties from our Puerto Rico subsidiary to the U.S. The transfer of intangible properties resulted in a $3.3 billion net income tax benefit in the first quarter of fiscal year 2022, as the value of future U.S. tax deductions exceeded the current tax liability from the U.S. global intangible low-taxed income tax.
Our effective tax rate was lower than the U.S. federal statutory rate, primarily due to earnings taxed at lower rates in foreign jurisdictions resulting from producing and distributing our products and services through our foreign regional operations center in Ireland.
The mix of income before income taxes between the U.S. and foreign countries impacted our effective tax rate as a result of the geographic distribution of, and customer demand for, our products and services. In fiscal year 2023, our U.S. income before income taxes was $52.9 billion and our foreign income before income taxes was $36.4 billion. In fiscal year 2022, our U.S. income before income taxes was $47.8 billion and our foreign income before income taxes was $35.9 billion.
Uncertain Tax Positions
We settled a portion of the Internal Revenue Service (“IRS”) audit for tax years 2004 to 2006 in fiscal year 2011. In February 2012, the IRS withdrew its 2011 Revenue Agents Report related to unresolved issues for tax years 2004 to 2006 and reopened the audit phase of the examination. We also settled a portion of the IRS audit for tax years 2007 to 2009 in fiscal year 2016, and a portion of the IRS audit for tax years 2010 to 2013 in fiscal year 2018. In the second quarter of fiscal year 2021, we settled an additional portion of the IRS audits for tax years 2004 to 2013 and made a payment of $1.7 billion, including tax and interest. We remain under audit for tax years 2004 to 2017.
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As of June 30, 2023, the primary unresolved issues for the IRS audits relate to transfer pricing, which could have a material impact in our consolidated financial statements when the matters are resolved. We believe our allowances for income tax contingencies are adequate. We have not received a proposed assessment for the unresolved key transfer pricing issues. We do not expect a final resolution of these issues in the next 12 months. Based on the information currently available, we do not anticipate a significant increase or decrease to our tax contingencies for these issues within the next 12 months.
We are subject to income tax in many jurisdictions outside the U.S. Our operations in certain jurisdictions remain subject to examination for tax years 1996 to 2022, some of which are currently under audit by local tax authorities. The resolution of each of these audits is not expected to be material to our consolidated financial statements.
NON-GAAP FINANCIAL MEASURES
Adjusted gross margin, operating income, net income, and diluted EPS are non-GAAP financial measures. Current year non-GAAP financial measures exclude the impact of the Q2 charge, which includes employee severance expenses, impairment charges resulting from changes to our hardware portfolio, and costs related to lease consolidation activities. Prior year non-GAAP financial measures exclude the net income tax benefit related to transfer of intangible properties in the first quarter of fiscal year 2022. We believe these non-GAAP measures aid investors by providing additional insight into our operational performance and help clarify trends affecting our business. For comparability of reporting, management considers non-GAAP measures in conjunction with GAAP financial results in evaluating business performance. These non-GAAP financial measures presented should not be considered a substitute for, or superior to, the measures of financial performance prepared in accordance with GAAP.
The following table reconciles our financial results reported in accordance with GAAP to non-GAAP financial results:
(In millions, except percentages and per share amounts) 2023 2022 Percentage
Change
Gross margin $ 146,052 $ 135,620 8%
Severance, hardware-related impairment, and lease consolidation costs 152 0 *
Adjusted gross margin (non-GAAP) $ 146,204 $ 135,620 8%
Operating income $ 88,523 $ 83,383 6%
Severance, hardware-related impairment, and lease consolidation costs 1,171 0 *
Adjusted operating income (non-GAAP) $ 89,694 $ 83,383 8%
Net income $ 72,361 $ 72,738 (1)%
Severance, hardware-related impairment, and lease consolidation costs 946 0 *
Net income tax benefit related to transfer of intangible properties 0 (3,291 ) *
Adjusted net income (non-GAAP) $ 73,307 $ 69,447 6%
Diluted earnings per share $ 9.68 $ 9.65 0%
Severance, hardware-related impairment, and lease consolidation costs 0.13 0 *
Net income tax benefit related to transfer of intangible properties 0 (0.44 ) *
Adjusted diluted earnings per share (non-GAAP) $ 9.81 $ 9.21 7%
* Not meaningful.
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LIQUIDITY AND CAPITAL RESOURCES
We expect existing cash, cash equivalents, short-term investments, cash flows from operations, and access to capital markets to continue to be sufficient to fund our operating activities and cash commitments for investing and financing activities, such as dividends, share repurchases, debt maturities, material capital expenditures, and the transition tax related to the Tax Cuts and Jobs Act (“TCJA”), for at least the next 12 months and thereafter for the foreseeable future.
Cash, Cash Equivalents, and Investments
Cash, cash equivalents, and short-term investments totaled $111.3 billion and $104.8 billion as of June 30, 2023 and 2022, respectively. Equity investments were $9.9 billion and $6.9 billion as of June 30, 2023 and 2022, respectively. Our short-term investments are primarily intended to facilitate liquidity and capital preservation. They consist predominantly of highly liquid investment-grade fixed-income securities, diversified among industries and individual issuers. The investments are predominantly U.S. dollar-denominated securities, but also include foreign currency-denominated securities to diversify risk. Our fixed-income investments are exposed to interest rate risk and credit risk. The credit risk and average maturity of our fixed-income portfolio are managed to achieve economic returns that correlate to certain fixed-income indices. The settlement risk related to these investments is insignificant given that the short-term investments held are primarily highly liquid investment-grade fixed-income securities.
Valuation
In general, and where applicable, we use quoted prices in active markets for identical assets or liabilities to determine the fair value of our financial instruments. This pricing methodology applies to our Level 1 investments, such as U.S. government securities, common and preferred stock, and mutual funds. If quoted prices in active markets for identical assets or liabilities are not available to determine fair value, then we use quoted prices for similar assets and liabilities or inputs other than the quoted prices that are observable either directly or indirectly. This pricing methodology applies to our Level 2 investments, such as commercial paper, certificates of deposit, U.S. agency securities, foreign government bonds, mortgage- and asset-backed securities, corporate notes and bonds, and municipal securities. Level 3 investments are valued using internally-developed models with unobservable inputs. Assets and liabilities measured at fair value on a recurring basis using unobservable inputs are an immaterial portion of our portfolio.
A majority of our investments are priced by pricing vendors and are generally Level 1 or Level 2 investments as these vendors either provide a quoted market price in an active market or use observable inputs for their pricing without applying significant adjustments. Broker pricing is used mainly when a quoted price is not available, the investment is not priced by our pricing vendors, or when a broker price is more reflective of fair values in the market in which the investment trades. Our broker-priced investments are generally classified as Level 2 investments because the broker prices these investments based on similar assets without applying significant adjustments. In addition, all our broker-priced investments have a sufficient level of trading volume to demonstrate that the fair values used are appropriate for these investments. Our fair value processes include controls that are designed to ensure appropriate fair values are recorded. These controls include model validation, review of key model inputs, analysis of period-over-period fluctuations, and independent recalculation of prices where appropriate.
Cash Flows
Cash from operations decreased $1.5 billion to $87.6 billion for fiscal year 2023, mainly due to an increase in cash paid to employees and suppliers and cash used to pay income taxes, offset in part by an increase in cash received from customers. Cash used in financing decreased $14.9 billion to $43.9 billion for fiscal year 2023, mainly due to a $10.5 billion decrease in common stock repurchases and a $6.3 billion decrease in repayments of debt, offset in part by a $1.7 billion increase in dividends paid. Cash used in investing decreased $7.6 billion to $22.7 billion for fiscal year 2023, due to a $20.4 billion decrease in cash used for acquisitions of companies, net of cash acquired, and purchases of intangible and other assets, offset in part by a $8.2 billion decrease in cash from net investment purchases, sales, and maturities, and a $4.2 billion increase in additions to property and equipment.
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Debt Proceeds
We issue debt to take advantage of favorable pricing and liquidity in the debt markets, reflecting our credit rating and the low interest rate environment. The proceeds of these issuances were or will be used for general corporate purposes, which may include, among other things, funding for working capital, capital expenditures, repurchases of capital stock, acquisitions, and repayment of existing debt. Refer to Note 11 – Debt of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for further discussion.
Unearned Revenue
Unearned revenue comprises mainly unearned revenue related to volume licensing programs, which may include Software Assurance (“SA”) and cloud services. Unearned revenue is generally invoiced annually at the beginning of each contract period for multi-year agreements and recognized ratably over the coverage period. Unearned revenue also includes payments for other offerings for which we have been paid in advance and earn the revenue when we transfer control of the product or service. Refer to Note 1 – Accounting Policies of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for further discussion.
The following table outlines the expected future recognition of unearned revenue as of June 30, 2023:
(In millions)
Three Months Ending
September 30, 2023 $ 19,673
December 31, 2023 15,600
March 31, 2024 10,801
June 30, 2024 4,827
Thereafter 2,912
Total $ 53,813
If our customers choose to license cloud-based versions of our products and services rather than licensing transaction-based products and services, the associated revenue will shift from being recognized at the time of the transaction to being recognized over the subscription period or upon consumption, as applicable. Refer to Note 13 – Unearned Revenue of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for further discussion.
Material Cash Requirements and Other Obligations
Contractual Obligations
The following table summarizes the payments due by fiscal year for our outstanding contractual obligations as of June 30, 2023:
(In millions) 2024 Thereafter Total
Long-term debt: (a)
Principal payments $ 5,250 $ 47,616 $ 52,866
Interest payments 1,379 19,746 21,125
Construction commitments (b) 12,237 1,218 13,455
Operating and finance leases, including imputed interest (c) 5,988 73,852 79,840
Purchase commitments (d) 64,703 3,115 67,818
Total $ 89,557 $ 145,547 $ 235,104
(a)
Refer to Note 11 – Debt of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K).
(b)
Refer to Note 7 – Property and Equipment of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K).
(c)
Refer to Note 14 – Leases of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K).
(d)
Purchase commitments primarily relate to datacenters and include open purchase orders and take-or-pay contracts that are not presented as construction commitments above.
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Income Taxes
As a result of the TCJA, we are required to pay a one-time transition tax on deferred foreign income not previously subject to U.S. income tax. Under the TCJA, the transition tax is payable in interest-free installments over eight years, with 8% due in each of the first five years, 15% in year six, 20% in year seven, and 25% in year eight. We have paid transition tax of $7.7 billion, which included $1.5 billion for fiscal year 2023. The remaining transition tax of $10.5 billion is payable over the next three years, with $2.7 billion payable within 12 months.
In fiscal year 2023, we paid cash tax of $4.8 billion due to the mandatory capitalization for tax purposes of research and development expenditures enacted by the TCJA and effective on July 1, 2022.
Share Repurchases
During fiscal years 2023 and 2022, we repurchased 69 million shares and 95 million shares of our common stock for $18.4 billion and $28.0 billion, respectively, through our share repurchase programs. All repurchases were made using cash resources. As of June 30, 2023, $22.3 billion remained of our $60 billion share repurchase program. Refer to Note 16 – Stockholders’ Equity of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for further discussion.
Dividends
During fiscal year 2023 and 2022, our Board of Directors declared quarterly dividends of $0.68 per share and $0.62 per share, totaling $20.2 billion and $18.6 billion, respectively. We intend to continue returning capital to shareholders in the form of dividends, subject to declaration by our Board of Directors. Refer to Note 16 – Stockholders’ Equity of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for further discussion.
Other Planned Uses of Capital
On January 18, 2022, we entered into a definitive agreement to acquire Activision Blizzard, Inc. (“Activision Blizzard”) for $95.00 per share in an all-cash transaction valued at $68.7 billion, inclusive of Activision Blizzard’s net cash. The acquisition has been approved by Activision Blizzard’s shareholders. We continue to work toward closing the transaction subject to obtaining required regulatory approvals and satisfaction of other customary closing conditions. Microsoft and Activision Blizzard have jointly agreed to extend the merger agreement through October 18, 2023 to allow for additional time to resolve remaining regulatory concerns.
We will continue to invest in sales, marketing, product support infrastructure, and existing and advanced areas of technology, as well as acquisitions that align with our business strategy. Additions to property and equipment will continue, including new facilities, datacenters, and computer systems for research and development, sales and marketing, support, and administrative staff. We expect capital expenditures to increase in coming years to support growth in our cloud offerings and our investments in AI infrastructure. We have operating and finance leases for datacenters, corporate offices, research and development facilities, Microsoft Experience Centers, and certain equipment. We have not engaged in any related party transactions or arrangements with unconsolidated entities or other persons that are reasonably likely to materially affect liquidity or the availability of capital resources.
CRITICAL ACCOUNTING ESTIMATES
Our consolidated financial statements and accompanying notes are prepared in accordance with GAAP. Preparing consolidated financial statements requires management to make estimates and assumptions that affect the reported amounts of assets, liabilities, revenue, and expenses. Critical accounting estimates are those estimates that involve a significant level of estimation uncertainty and could have a material impact on our financial condition or results of operations. We have critical accounting estimates in the areas of revenue recognition, impairment of investment securities, goodwill, research and development costs, legal and other contingencies, income taxes, and inventories.
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Revenue Recognition
Our contracts with customers often include promises to transfer multiple products and services to a customer. Determining whether products and services are considered distinct performance obligations that should be accounted for separately versus together may require significant judgment. When a cloud-based service includes both on-premises software licenses and cloud services, judgment is required to determine whether the software license is considered distinct and accounted for separately, or not distinct and accounted for together with the cloud service and recognized over time. Certain cloud services, primarily Office 365, depend on a significant level of integration, interdependency, and interrelation between the desktop applications and cloud services, and are accounted for together as one performance obligation. Revenue from Office 365 is recognized ratably over the period in which the cloud services are provided.
Judgment is required to determine the stand-alone selling price (“SSP") for each distinct performance obligation. We use a single amount to estimate SSP for items that are not sold separately, including on-premises licenses sold with SA or software updates provided at no additional charge. We use a range of amounts to estimate SSP when we sell each of the products and services separately and need to determine whether there is a discount to be allocated based on the relative SSP of the various products and services.
In instances where SSP is not directly observable, such as when we do not sell the product or service separately, we determine the SSP using information that may include market conditions and other observable inputs. We typically have more than one SSP for individual products and services due to the stratification of those products and services by customers and circumstances. In these instances, we may use information such as the size of the customer and geographic region in determining the SSP.
Due to the various benefits from and the nature of our SA program, judgment is required to assess the pattern of delivery, including the exercise pattern of certain benefits across our portfolio of customers.
Our products are generally sold with a right of return, we may provide other credits or incentives, and in certain instances we estimate customer usage of our products and services, which are accounted for as variable consideration when determining the amount of revenue to recognize. Returns and credits are estimated at contract inception and updated at the end of each reporting period if additional information becomes available. Changes to our estimated variable consideration were not material for the periods presented.
Impairment of Investment Securities
We review debt investments quarterly for credit losses and impairment. If the cost of an investment exceeds its fair value, we evaluate, among other factors, general market conditions, credit quality of debt instrument issuers, and the extent to which the fair value is less than cost. This determination requires significant judgment. In making this judgment, we employ a systematic methodology that considers available quantitative and qualitative evidence in evaluating potential impairment of our investments. In addition, we consider specific adverse conditions related to the financial health of, and business outlook for, the investee. If we have plans to sell the security or it is more likely than not that we will be required to sell the security before recovery, then a decline in fair value below cost is recorded as an impairment charge in other income (expense), net and a new cost basis in the investment is established. If market, industry, and/or investee conditions deteriorate, we may incur future impairments.
Equity investments without readily determinable fair values are written down to fair value if a qualitative assessment indicates that the investment is impaired and the fair value of the investment is less than carrying value. We perform a qualitative assessment on a periodic basis. We are required to estimate the fair value of the investment to determine the amount of the impairment loss. Once an investment is determined to be impaired, an impairment charge is recorded in other income (expense), net.
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Goodwill
We allocate goodwill to reporting units based on the reporting unit expected to benefit from the business combination. We evaluate our reporting units on an annual basis and, if necessary, reassign goodwill using a relative fair value allocation approach. Goodwill is tested for impairment at the reporting unit level (operating segment or one level below an operating segment) on an annual basis (May 1) and between annual tests if an event occurs or circumstances change that would more likely than not reduce the fair value of a reporting unit below its carrying value. These events or circumstances could include a significant change in the business climate, legal factors, operating performance indicators, competition, or sale or disposition of a significant portion of a reporting unit.
Application of the goodwill impairment test requires judgment, including the identification of reporting units, assignment of assets and liabilities to reporting units, assignment of goodwill to reporting units, and determination of the fair value of each reporting unit. The fair value of each reporting unit is estimated primarily through the use of a discounted cash flow methodology. This analysis requires significant judgments, including estimation of future cash flows, which is dependent on internal forecasts, estimation of the long-term rate of growth for our business, estimation of the useful life over which cash flows will occur, and determination of our weighted average cost of capital.
The estimates used to calculate the fair value of a reporting unit change from year to year based on operating results, market conditions, and other factors. Changes in these estimates and assumptions could materially affect the determination of fair value and goodwill impairment for each reporting unit.
Research and Development Costs
Costs incurred internally in researching and developing a computer software product are charged to expense until technological feasibility has been established for the product. Once technological feasibility is established, software costs are capitalized until the product is available for general release to customers. Judgment is required in determining when technological feasibility of a product is established. We have determined that technological feasibility for our software products is reached after all high-risk development issues have been resolved through coding and testing. Generally, this occurs shortly before the products are released to production. The amortization of these costs is included in cost of revenue over the estimated life of the products.
Legal and Other Contingencies
The outcomes of legal proceedings and claims brought against us are subject to significant uncertainty. An estimated loss from a loss contingency such as a legal proceeding or claim is accrued by a charge to income if it is probable that an asset has been impaired or a liability has been incurred and the amount of the loss can be reasonably estimated. In determining whether a loss should be accrued we evaluate, among other factors, the degree of probability of an unfavorable outcome and the ability to make a reasonable estimate of the amount of loss. Changes in these factors could materially impact our consolidated financial statements.
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Income Taxes
The objectives of accounting for income taxes are to recognize the amount of taxes payable or refundable for the current year, and deferred tax liabilities and assets for the future tax consequences of events that have been recognized in an entity’s financial statements or tax returns. We recognize the tax benefit from an uncertain tax position only if it is more likely than not that the tax position will be sustained on examination by the taxing authorities, based on the technical merits of the position. The tax benefits recognized in the financial statements from such a position are measured based on the largest benefit that has a greater than 50% likelihood of being realized upon ultimate settlement. Accounting literature also provides guidance on derecognition of income tax assets and liabilities, classification of deferred income tax assets and liabilities, accounting for interest and penalties associated with tax positions, and income tax disclosures. Judgment is required in assessing the future tax consequences of events that have been recognized in our consolidated financial statements or tax returns. Variations in the actual outcome of these future tax consequences could materially impact our consolidated financial statements.
Inventories
Inventories are stated at average cost, subject to the lower of cost or net realizable value. Cost includes materials, labor, and manufacturing overhead related to the purchase and production of inventories. Net realizable value is the estimated selling price less estimated costs of completion, disposal, and transportation. We regularly review inventory quantities on hand, future purchase commitments with our suppliers, and the estimated utility of our inventory. These reviews include analysis of demand forecasts, product life cycle status, product development plans, current sales levels, pricing strategy, and component cost trends. If our review indicates a reduction in utility below carrying value, we reduce our inventory to a new cost basis through a charge to cost of revenue.
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STATEMENT OF MANAGEMENT’S RESPONSIBILITY FOR FINANCIAL STATEMENTS
Management is responsible for the preparation of the consolidated financial statements and related information that are presented in this report. The consolidated financial statements, which include amounts based on management’s estimates and judgments, have been prepared in conformity with accounting principles generally accepted in the United States of America.
The Company designs and maintains accounting and internal control systems to provide reasonable assurance at reasonable cost that assets are safeguarded against loss from unauthorized use or disposition, and that the financial records are reliable for preparing consolidated financial statements and maintaining accountability for assets. These systems are augmented by written policies, an organizational structure providing division of responsibilities, careful selection and training of qualified personnel, and a program of internal audits.
The Company engaged Deloitte & Touche LLP, an independent registered public accounting firm, to audit and render an opinion on the consolidated financial statements and internal control over financial reporting in accordance with the standards of the Public Company Accounting Oversight Board (United States).
The Board of Directors, through its Audit Committee, consisting solely of independent directors of the Company, meets periodically with management, internal auditors, and our independent registered public accounting firm to ensure that each is meeting its responsibilities and to discuss matters concerning internal controls and financial reporting. Deloitte & Touche LLP and the internal auditors each have full and free access to the Audit Committee.
Satya Nadella
Chief Executive Officer
Amy E. Hood
Executive Vice President and Chief Financial Officer
Alice L. Jolla
Corporate Vice President and Chief Accounting Officer
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ITEM 7A. QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK
RISKS
We are exposed to economic risk from foreign exchange rates, interest rates, credit risk, and equity prices. We use derivatives instruments to manage these risks, however, they may still impact our consolidated financial statements.
Foreign Currencies
Certain forecasted transactions, assets, and liabilities are exposed to foreign currency risk. We monitor our foreign currency exposures daily to maximize the economic effectiveness of our foreign currency positions, including hedges. Principal currency exposures include the Euro, Japanese yen, British pound, Canadian dollar, and Australian dollar.
Interest Rate
Securities held in our fixed-income portfolio are subject to different interest rate risks based on their maturities. We manage the average maturity of the fixed-income portfolio to achieve economic returns that correlate to certain global fixed-income indices.
Credit
Our fixed-income portfolio is diversified and consists primarily of investment-grade securities. We manage credit exposures relative to broad-based indices to facilitate portfolio diversification.
Equity
Securities held in our equity investments portfolio are subject to price risk.
SENSITIVITY ANALYSIS
The following table sets forth the potential loss in future earnings or fair values, including associated derivatives, resulting from hypothetical changes in relevant market rates or prices:
(In millions)
Risk Categories Hypothetical Change June 30,
2023 Impact
Foreign currency – Revenue 10% decrease in foreign exchange rates $ (8,122 ) Earnings
Foreign currency – Investments 10% decrease in foreign exchange rates (29 ) Fair Value
Interest rate 100 basis point increase in U.S. treasury interest rates (1,832 ) Fair Value
Credit 100 basis point increase in credit spreads (354 ) Fair Value
Equity 10% decrease in equity market prices (705 ) Earnings
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ITEM 8. FINANCIAL STATEMENTS AND SUPPLEMENTARY DATA
INCOME STATEMENTS
(In millions, except per share amounts)
Year Ended June 30, 2023 2022 2021
Revenue:
Product $ 64,699 $ 72,732 $ 71,074
Service and other 147,216 125,538 97,014
Total revenue 211,915 198,270 168,088
Cost of revenue:
Product 17,804 19,064 18,219
Service and other 48,059 43,586 34,013
Total cost of revenue 65,863 62,650 52,232
Gross margin 146,052 135,620 115,856
Research and development 27,195 24,512 20,716
Sales and marketing 22,759 21,825 20,117
General and administrative 7,575 5,900 5,107
Operating income 88,523 83,383 69,916
Other income, net 788 333 1,186
Income before income taxes 89,311 83,716 71,102
Provision for income taxes 16,950 10,978 9,831
Net income $ 72,361 $ 72,738 $ 61,271
Earnings per share:
Basic $ 9.72 $ 9.70 $ 8.12
Diluted $ 9.68 $ 9.65 $ 8.05
Weighted average shares outstanding:
Basic 7,446 7,496 7,547
Diluted 7,472 7,540 7,608
Refer to accompanying notes.
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COMPREHENSIVE INCOME STATEMENTS
(In millions)
Year Ended June 30, 2023 2022 2021
Net income $ 72,361 $ 72,738 $ 61,271
Other comprehensive income (loss), net of tax:
Net change related to derivatives (14 ) 6 19
Net change related to investments (1,444 ) (5,360 ) (2,266 )
Translation adjustments and other (207 ) (1,146 ) 873
Other comprehensive loss (1,665 ) (6,500 ) (1,374 )
Comprehensive income $ 70,696 $ 66,238 $ 59,897
Refer to accompanying notes.
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BALANCE SHEETS
(In millions)
June 30, 2023 2022
Assets
Current assets:
Cash and cash equivalents $ 34,704 $ 13,931
Short-term investments 76,558 90,826
Total cash, cash equivalents, and short-term investments 111,262 104,757
Accounts receivable, net of allowance for doubtful accounts of $650 and $633 48,688 44,261
Inventories 2,500 3,742
Other current assets 21,807 16,924
Total current assets 184,257 169,684
Property and equipment, net of accumulated depreciation of $68,251 and $59,660 95,641 74,398
Operating lease right-of-use assets 14,346 13,148
Equity investments 9,879 6,891
Goodwill 67,886 67,524
Intangible assets, net 9,366 11,298
Other long-term assets 30,601 21,897
Total assets $ 411,976 $ 364,840
Liabilities and stockholders’ equity
Current liabilities:
Accounts payable $ 18,095 $ 19,000
Current portion of long-term debt 5,247 2,749
Accrued compensation 11,009 10,661
Short-term income taxes 4,152 4,067
Short-term unearned revenue 50,901 45,538
Other current liabilities 14,745 13,067
Total current liabilities 104,149 95,082
Long-term debt 41,990 47,032
Long-term income taxes 25,560 26,069
Long-term unearned revenue 2,912 2,870
Deferred income taxes 433 230
Operating lease liabilities 12,728 11,489
Other long-term liabilities 17,981 15,526
Total liabilities 205,753 198,298
Commitments and contingencies
Stockholders’ equity:
Common stock and paid-in capital – shares authorized 24,000; outstanding 7,432 and 7,464 93,718 86,939
Retained earnings 118,848 84,281
Accumulated other comprehensive loss (6,343 ) (4,678 )
Total stockholders’ equity 206,223 166,542
Total liabilities and stockholders’ equity $ 411,976 $ 364,840
Refer to accompanying notes.
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CASH FLOWS STATEMENTS
(In millions)
Year Ended June 30, 2023 2022 2021
Operations
Net income $ 72,361 $ 72,738 $ 61,271
Adjustments to reconcile net income to net cash from operations:
Depreciation, amortization, and other 13,861 14,460 11,686
Stock-based compensation expense 9,611 7,502 6,118
Net recognized losses (gains) on investments and derivatives 196 (409 ) (1,249 )
Deferred income taxes (6,059 ) (5,702 ) (150 )
Changes in operating assets and liabilities:
Accounts receivable (4,087 ) (6,834 ) (6,481 )
Inventories 1,242 (1,123 ) (737 )
Other current assets (1,991 ) (709 ) (932 )
Other long-term assets (2,833 ) (2,805 ) (3,459 )
Accounts payable (2,721 ) 2,943 2,798
Unearned revenue 5,535 5,109 4,633
Income taxes (358 ) 696 (2,309 )
Other current liabilities 2,272 2,344 4,149
Other long-term liabilities 553 825 1,402
Net cash from operations 87,582 89,035 76,740
Financing
Cash premium on debt exchange 0 0 (1,754 )
Repayments of debt (2,750 ) (9,023 ) (3,750 )
Common stock issued 1,866 1,841 1,693
Common stock repurchased (22,245 ) (32,696 ) (27,385 )
Common stock cash dividends paid (19,800 ) (18,135 ) (16,521 )
Other, net (1,006 ) (863 ) (769 )
Net cash used in financing (43,935 ) (58,876 ) (48,486 )
Investing
Additions to property and equipment (28,107 ) (23,886 ) (20,622 )
Acquisition of companies, net of cash acquired, and purchases of intangible and other assets (1,670 ) (22,038 ) (8,909 )
Purchases of investments (37,651 ) (26,456 ) (62,924 )
Maturities of investments 33,510 16,451 51,792
Sales of investments 14,354 28,443 14,008
Other, net (3,116 ) (2,825 ) (922 )
Net cash used in investing (22,680 ) (30,311 ) (27,577 )
Effect of foreign exchange rates on cash and cash equivalents (194 ) (141 ) (29 )
Net change in cash and cash equivalents 20,773 (293 ) 648
Cash and cash equivalents, beginning of period 13,931 14,224 13,576
Cash and cash equivalents, end of period $ 34,704 $ 13,931 $ 14,224
Refer to accompanying notes.
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STOCKHOLDERS’ EQUITY STATEMENTS
(In millions, except per share amounts)
Year Ended June 30, 2023 2022 2021
Common stock and paid-in capital
Balance, beginning of period $ 86,939 $ 83,111 $ 80,552
Common stock issued 1,866 1,841 1,963
Common stock repurchased (4,696 ) (5,688 ) (5,539 )
Stock-based compensation expense 9,611 7,502 6,118
Other, net (2 ) 173 17
Balance, end of period 93,718 86,939 83,111
Retained earnings
Balance, beginning of period 84,281 57,055 34,566
Net income 72,361 72,738 61,271
Common stock cash dividends (20,226 ) (18,552 ) (16,871 )
Common stock repurchased (17,568 ) (26,960 ) (21,879 )
Cumulative effect of accounting changes 0 0 (32 )
Balance, end of period 118,848 84,281 57,055
Accumulated other comprehensive income (loss)
Balance, beginning of period (4,678 ) 1,822 3,186
Other comprehensive loss (1,665 ) (6,500 ) (1,374 )
Cumulative effect of accounting changes 0 0 10
Balance, end of period (6,343 ) (4,678 ) 1,822
Total stockholders’ equity $ 206,223 $ 166,542 $ 141,988
Cash dividends declared per common share $ 2.72 $ 2.48 $ 2.24
Refer to accompanying notes.
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NOTES TO FINANCIAL STATEMENTS
NOTE 1 — ACCOUNTING POLICIES
Accounting Principles
Our consolidated financial statements and accompanying notes are prepared in accordance with accounting principles generally accepted in the United States of America (“GAAP”).
We have recast certain prior period amounts to conform to the current period presentation. The recast of these prior period amounts had no impact on our consolidated balance sheets, consolidated income statements, or consolidated cash flows statements.
Principles of Consolidation
The consolidated financial statements include the accounts of Microsoft Corporation and its subsidiaries. Intercompany transactions and balances have been eliminated.
Estimates and Assumptions
Preparing financial statements requires management to make estimates and assumptions that affect the reported amounts of assets, liabilities, revenue, and expenses. Examples of estimates and assumptions include: for revenue recognition, determining the nature and timing of satisfaction of performance obligations, and determining the standalone selling price (“SSP”) of performance obligations, variable consideration, and other obligations such as product returns and refunds; loss contingencies; product warranties; the fair value of and/or potential impairment of goodwill and intangible assets for our reporting units; product life cycles; useful lives of our tangible and intangible assets; allowances for doubtful accounts; the market value of, and demand for, our inventory; stock-based compensation forfeiture rates; when technological feasibility is achieved for our products; the potential outcome of uncertain tax positions that have been recognized in our consolidated financial statements or tax returns; and determining the timing and amount of impairments for investments. Actual results and outcomes may differ from management’s estimates and assumptions due to risks and uncertainties.
In July 2022, we completed an assessment of the useful lives of our server and network equipment. Due to investments in software that increased efficiencies in how we operate our server and network equipment, as well as advances in technology, we determined we should increase the estimated useful lives of both server and network equipment from four years to six years. This change in accounting estimate was effective beginning fiscal year 2023. Based on the carrying amount of server and network equipment included in property and equipment, net as of June 30, 2022, the effect of this change in estimate for fiscal year 2023 was an increase in operating income of $3.7 billion and net income of $3.0 billion, or $0.40 per both basic and diluted share.
Foreign Currencies
Assets and liabilities recorded in foreign currencies are translated at the exchange rate on the balance sheet date. Revenue and expenses are translated at average rates of exchange prevailing during the year. Translation adjustments resulting from this process are recorded to other comprehensive income.
Revenue
Product Revenue and Service and Other Revenue
Product revenue includes sales from operating systems, cross-device productivity and collaboration applications, server applications, business solution applications, desktop and server management tools, software development tools, video games, and hardware such as PCs, tablets, gaming and entertainment consoles, other intelligent devices, and related accessories.
Service and other revenue includes sales from cloud-based solutions that provide customers with software, services, platforms, and content such as Office 365, Azure, Dynamics 365, and Xbox; solution support; and consulting services. Service and other revenue also includes sales from online advertising and LinkedIn.
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Revenue Recognition
Revenue is recognized upon transfer of control of promised products or services to customers in an amount that reflects the consideration we expect to receive in exchange for those products or services. We enter into contracts that can include various combinations of products and services, which are generally capable of being distinct and accounted for as separate performance obligations. Revenue is recognized net of allowances for returns and any taxes collected from customers, which are subsequently remitted to governmental authorities.
Nature of Products and Services
Licenses for on-premises software provide the customer with a right to use the software as it exists when made available to the customer. Customers may purchase perpetual licenses or subscribe to licenses, which provide customers with the same functionality and differ mainly in the duration over which the customer benefits from the software. Revenue from distinct on-premises licenses is recognized upfront at the point in time when the software is made available to the customer. In cases where we allocate revenue to software updates, primarily because the updates are provided at no additional charge, revenue is recognized as the updates are provided, which is generally ratably over the estimated life of the related device or license.
Certain volume licensing programs, including Enterprise Agreements, include on-premises licenses combined with Software Assurance (“SA”). SA conveys rights to new software and upgrades released over the contract period and provides support, tools, and training to help customers deploy and use products more efficiently. On-premises licenses are considered distinct performance obligations when sold with SA. Revenue allocated to SA is generally recognized ratably over the contract period as customers simultaneously consume and receive benefits, given that SA comprises distinct performance obligations that are satisfied over time.
Cloud services, which allow customers to use hosted software over the contract period without taking possession of the software, are provided on either a subscription or consumption basis. Revenue related to cloud services provided on a subscription basis is recognized ratably over the contract period. Revenue related to cloud services provided on a consumption basis, such as the amount of storage used in a period, is recognized based on the customer utilization of such resources. When cloud services require a significant level of integration and interdependency with software and the individual components are not considered distinct, all revenue is recognized over the period in which the cloud services are provided.
Revenue from search advertising is recognized when the advertisement appears in the search results or when the action necessary to earn the revenue has been completed. Revenue from consulting services is recognized as services are provided.
Our hardware is generally highly dependent on, and interrelated with, the underlying operating system and cannot function without the operating system. In these cases, the hardware and software license are accounted for as a single performance obligation and revenue is recognized at the point in time when ownership is transferred to resellers or directly to end customers through retail stores and online marketplaces.
Refer to Note 19 – Segment Information and Geographic Data for further information, including revenue by significant product and service offering.
Significant Judgments
Our contracts with customers often include promises to transfer multiple products and services to a customer. Determining whether products and services are considered distinct performance obligations that should be accounted for separately versus together may require significant judgment. When a cloud-based service includes both on-premises software licenses and cloud services, judgment is required to determine whether the software license is considered distinct and accounted for separately, or not distinct and accounted for together with the cloud service and recognized over time. Certain cloud services, primarily Office 365, depend on a significant level of integration, interdependency, and interrelation between the desktop applications and cloud services, and are accounted for together as one performance obligation. Revenue from Office 365 is recognized ratably over the period in which the cloud services are provided.
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Judgment is required to determine the SSP for each distinct performance obligation. We use a single amount to estimate SSP for items that are not sold separately, including on-premises licenses sold with SA or software updates provided at no additional charge. We use a range of amounts to estimate SSP when we sell each of the products and services separately and need to determine whether there is a discount to be allocated based on the relative SSP of the various products and services.
In instances where SSP is not directly observable, such as when we do not sell the product or service separately, we determine the SSP using information that may include market conditions and other observable inputs. We typically have more than one SSP for individual products and services due to the stratification of those products and services by customers and circumstances. In these instances, we may use information such as the size of the customer and geographic region in determining the SSP.
Due to the various benefits from and the nature of our SA program, judgment is required to assess the pattern of delivery, including the exercise pattern of certain benefits across our portfolio of customers.
Our products are generally sold with a right of return, we may provide other credits or incentives, and in certain instances we estimate customer usage of our products and services, which are accounted for as variable consideration when determining the amount of revenue to recognize. Returns and credits are estimated at contract inception and updated at the end of each reporting period if additional information becomes available. Changes to our estimated variable consideration were not material for the periods presented.
Contract Balances and Other Receivables
Timing of revenue recognition may differ from the timing of invoicing to customers. We record a receivable when revenue is recognized prior to invoicing, or unearned revenue when revenue is recognized subsequent to invoicing. For multi-year agreements, we generally invoice customers annually at the beginning of each annual coverage period. We record a receivable related to revenue recognized for multi-year on-premises licenses as we have an unconditional right to invoice and receive payment in the future related to those licenses.
Unearned revenue comprises mainly unearned revenue related to volume licensing programs, which may include SA and cloud services. Unearned revenue is generally invoiced annually at the beginning of each contract period for multi-year agreements and recognized ratably over the coverage period. Unearned revenue also includes payments for consulting services to be performed in the future, LinkedIn subscriptions, Office 365 subscriptions, Xbox subscriptions, Windows post-delivery support, Dynamics business solutions, and other offerings for which we have been paid in advance and earn the revenue when we transfer control of the product or service.
Refer to Note 13 – Unearned Revenue for further information, including unearned revenue by segment and changes in unearned revenue during the period.
Payment terms and conditions vary by contract type, although terms generally include a requirement of payment within 30 to 60 days. In instances where the timing of revenue recognition differs from the timing of invoicing, we have determined our contracts generally do not include a significant financing component. The primary purpose of our invoicing terms is to provide customers with simplified and predictable ways of purchasing our products and services, not to receive financing from our customers or to provide customers with financing. Examples include invoicing at the beginning of a subscription term with revenue recognized ratably over the contract period, and multi-year on-premises licenses that are invoiced annually with revenue recognized upfront.
As of June 30, 2023 and 2022, long-term accounts receivable, net of allowance for doubtful accounts, was $4.5 billion and $3.8 billion, respectively, and is included in other long-term assets in our consolidated balance sheets.
The allowance for doubtful accounts reflects our best estimate of probable losses inherent in the accounts receivable balance. We determine the allowance based on known troubled accounts, historical experience, and other currently available evidence.
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Activity in the allowance for doubtful accounts was as follows:
(In millions)
Year Ended June 30, 2023 2022 2021
Balance, beginning of period $ 710 $ 798 $ 816
Charged to costs and other 258 157 234
Write-offs (252 ) (245 ) (252 )
Balance, end of period $ 716 $ 710 $ 798
Allowance for doubtful accounts included in our consolidated balance sheets:
(In millions)
June 30, 2023 2022 2021
Accounts receivable, net of allowance for doubtful accounts $ 650 $ 633 $ 751
Other long-term assets 66 77 47
Total $ 716 $ 710 $ 798
As of June 30, 2023 and 2022, other receivables related to activities to facilitate the purchase of server components were $9.2 billion and $6.1 billion, respectively, and are included in other current assets in our consolidated balance sheets.
We record financing receivables when we offer certain of our customers the option to acquire our software products and services offerings through a financing program in a limited number of countries. As of June 30, 2023 and 2022, our financing receivables, net were $5.3 billion and $4.1 billion, respectively, for short-term and long-term financing receivables, which are included in other current assets and other long-term assets in our consolidated balance sheets. We record an allowance to cover expected losses based on troubled accounts, historical experience, and other currently available evidence.
Assets Recognized from Costs to Obtain a Contract with a Customer
We recognize an asset for the incremental costs of obtaining a contract with a customer if we expect the benefit of those costs to be longer than one year. We have determined that certain sales incentive programs meet the requirements to be capitalized. Total capitalized costs to obtain a contract were immaterial during the periods presented and are included in other current and long-term assets in our consolidated balance sheets.
We apply a practical expedient to expense costs as incurred for costs to obtain a contract with a customer when the amortization period would have been one year or less. These costs include our internal sales organization compensation program and certain partner sales incentive programs as we have determined annual compensation is commensurate with annual sales activities.
Cost of Revenue
Cost of revenue includes: manufacturing and distribution costs for products sold and programs licensed; operating costs related to product support service centers and product distribution centers; costs incurred to include software on PCs sold by original equipment manufacturers (“OEM”), to drive traffic to our websites, and to acquire online advertising space; costs incurred to support and maintain cloud-based and other online products and services, including datacenter costs and royalties; warranty costs; inventory valuation adjustments; costs associated with the delivery of consulting services; and the amortization of capitalized software development costs. Capitalized software development costs are amortized over the estimated lives of the products.
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Product Warranty
We provide for the estimated costs of fulfilling our obligations under hardware and software warranties at the time the related revenue is recognized. For hardware warranties, we estimate the costs based on historical and projected product failure rates, historical and projected repair costs, and knowledge of specific product failures (if any). The specific hardware warranty terms and conditions vary depending upon the product sold and the country in which we do business, but generally include parts and labor over a period generally ranging from 90 days to three years. For software warranties, we estimate the costs to provide bug fixes, such as security patches, over the estimated life of the software. We regularly reevaluate our estimates to assess the adequacy of the recorded warranty liabilities and adjust the amounts as necessary.
Research and Development
Research and development expenses include payroll, employee benefits, stock-based compensation expense, and other headcount-related expenses associated with product development. Research and development expenses also include third-party development and programming costs and the amortization of purchased software code and services content. Such costs related to software development are included in research and development expense until the point that technological feasibility is reached, which for our software products, is generally shortly before the products are released to production. Once technological feasibility is reached, such costs are capitalized and amortized to cost of revenue over the estimated lives of the products.
Sales and Marketing
Sales and marketing expenses include payroll, employee benefits, stock-based compensation expense, and other headcount-related expenses associated with sales and marketing personnel, and the costs of advertising, promotions, trade shows, seminars, and other programs. Advertising costs are expensed as incurred. Advertising expense was $904 million, $1.5 billion, and $1.5 billion in fiscal years 2023, 2022, and 2021, respectively.
Stock-Based Compensation
Compensation cost for stock awards, which include restricted stock units (“RSUs”) and performance stock units (“PSUs”), is measured at the fair value on the grant date and recognized as expense, net of estimated forfeitures, over the related service or performance period. The fair value of stock awards is based on the quoted price of our common stock on the grant date less the present value of expected dividends not received during the vesting period. We measure the fair value of PSUs using a Monte Carlo valuation model. Compensation cost for RSUs is recognized using the straight-line method and for PSUs is recognized using the accelerated method.
Compensation expense for the employee stock purchase plan (“ESPP”) is measured as the discount the employee is entitled to upon purchase and is recognized in the period of purchase.
Employee Severance
On January 18, 2023, we announced a decision to reduce our overall workforce by approximately 10,000 jobs through the third quarter of fiscal year 2023. During the three months ended December 31, 2022, we recorded $800 million of employee severance expenses related to these job eliminations as part of an ongoing employee benefit plan. These employee severance expenses were incurred as part of a corporate program, and were included in general and administrative expenses in our consolidated income statements and allocated to our segments based on relative gross margin. Refer to Note 19 – Segment Information and Geographic Data for further information.
Income Taxes
Income tax expense includes U.S. and international income taxes, and interest and penalties on uncertain tax positions. Certain income and expenses are not reported in tax returns and financial statements in the same year. The tax effect of such temporary differences is reported as deferred income taxes. Deferred tax assets are reported net of a valuation allowance when it is more likely than not that a tax benefit will not be realized. All deferred income taxes are classified as long-term in our consolidated balance sheets.
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Financial Instruments
Investments
We consider all highly liquid interest-earning investments with a maturity of three months or less at the date of purchase to be cash equivalents. The fair values of these investments approximate their carrying values. In general, investments with original maturities of greater than three months and remaining maturities of less than one year are classified as short-term investments. Investments with maturities beyond one year may be classified as short-term based on their highly liquid nature and because such marketable securities represent the investment of cash that is available for current operations.
Debt investments are classified as available-for-sale and realized gains and losses are recorded using the specific identification method. Changes in fair value, excluding credit losses and impairments, are recorded in other comprehensive income. Fair value is calculated based on publicly available market information or other estimates determined by management. If the cost of an investment exceeds its fair value, we evaluate, among other factors, general market conditions, credit quality of debt instrument issuers, and the extent to which the fair value is less than cost. To determine credit losses, we employ a systematic methodology that considers available quantitative and qualitative evidence. In addition, we consider specific adverse conditions related to the financial health of, and business outlook for, the investee. If we have plans to sell the security or it is more likely than not that we will be required to sell the security before recovery, then a decline in fair value below cost is recorded as an impairment charge in other income (expense), net and a new cost basis in the investment is established. If market, industry, and/or investee conditions deteriorate, we may incur future impairments.
Equity investments with readily determinable fair values are measured at fair value. Equity investments without readily determinable fair values are measured using the equity method or measured at cost with adjustments for observable changes in price or impairments (referred to as the measurement alternative). We perform a qualitative assessment on a periodic basis and recognize an impairment if there are sufficient indicators that the fair value of the investment is less than carrying value. Changes in value are recorded in other income (expense), net.
Derivatives
Derivative instruments are recognized as either assets or liabilities and measured at fair value. The accounting for changes in the fair value of a derivative depends on the intended use of the derivative and the resulting designation.
For derivative instruments designated as fair value hedges, gains and losses are recognized in other income (expense), net with offsetting gains and losses on the hedged items. Gains and losses representing hedge components excluded from the assessment of effectiveness are recognized in other income (expense), net.
For derivative instruments designated as cash flow hedges, gains and losses are initially reported as a component of other comprehensive income and subsequently recognized in other income (expense), net with the corresponding hedged item. Gains and losses representing hedge components excluded from the assessment of effectiveness are recognized in other income (expense), net.
For derivative instruments that are not designated as hedges, gains and losses from changes in fair values are primarily recognized in other income (expense), net.
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Fair Value Measurements
We account for certain assets and liabilities at fair value. The hierarchy below lists three levels of fair value based on the extent to which inputs used in measuring fair value are observable in the market. We categorize each of our fair value measurements in one of these three levels based on the lowest level input that is significant to the fair value measurement in its entirety. These levels are:
•
Level 1 – inputs are based upon unadjusted quoted prices for identical instruments in active markets. Our Level 1 investments include U.S. government securities, common and preferred stock, and mutual funds. Our Level 1 derivative assets and liabilities include those actively traded on exchanges.
•
Level 2 – inputs are based upon quoted prices for similar instruments in active markets, quoted prices for identical or similar instruments in markets that are not active, and model-based valuation techniques (e.g. the Black-Scholes model) for which all significant inputs are observable in the market or can be corroborated by observable market data for substantially the full term of the assets or liabilities. Where applicable, these models project future cash flows and discount the future amounts to a present value using market-based observable inputs including interest rate curves, credit spreads, foreign exchange rates, and forward and spot prices for currencies. Our Level 2 investments include commercial paper, certificates of deposit, U.S. agency securities, foreign government bonds, mortgage- and asset-backed securities, corporate notes and bonds, and municipal securities. Our Level 2 derivative assets and liabilities include certain cleared swap contracts and over-the-counter forward, option, and swap contracts.
•
Level 3 – inputs are generally unobservable and typically reflect management’s estimates of assumptions that market participants would use in pricing the asset or liability. The fair values are therefore determined using model-based techniques, including option pricing models and discounted cash flow models. Our Level 3 assets and liabilities include investments in corporate notes and bonds, municipal securities, and goodwill and intangible assets, when they are recorded at fair value due to an impairment charge. Unobservable inputs used in the models are significant to the fair values of the assets and liabilities.
We measure equity investments without readily determinable fair values on a nonrecurring basis. The fair values of these investments are determined based on valuation techniques using the best information available, and may include quoted market prices, market comparables, and discounted cash flow projections.
Our other current financial assets and current financial liabilities have fair values that approximate their carrying values.
Inventories
Inventories are stated at average cost, subject to the lower of cost or net realizable value. Cost includes materials, labor, and manufacturing overhead related to the purchase and production of inventories. Net realizable value is the estimated selling price less estimated costs of completion, disposal, and transportation. We regularly review inventory quantities on hand, future purchase commitments with our suppliers, and the estimated utility of our inventory. If our review indicates a reduction in utility below carrying value, we reduce our inventory to a new cost basis through a charge to cost of revenue.
Property and Equipment
Property and equipment is stated at cost less accumulated depreciation, and depreciated using the straight-line method over the shorter of the estimated useful life of the asset or the lease term. The estimated useful lives of our property and equipment are generally as follows: computer software developed or acquired for internal use, three years; computer equipment, two to six years; buildings and improvements, five to 15 years; leasehold improvements, three to 20 years; and furniture and equipment, one to 10 years. Land is not depreciated.
Leases
We determine if an arrangement is a lease at inception. Operating leases are included in operating lease right-of-use (“ROU”) assets, other current liabilities, and operating lease liabilities in our consolidated balance sheets. Finance leases are included in property and equipment, other current liabilities, and other long-term liabilities in our consolidated balance sheets.
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ROU assets represent our right to use an underlying asset for the lease term and lease liabilities represent our obligation to make lease payments arising from the lease. Operating lease ROU assets and liabilities are recognized at commencement date based on the present value of lease payments over the lease term. As most of our leases do not provide an implicit rate, we generally use our incremental borrowing rate based on the estimated rate of interest for collateralized borrowing over a similar term of the lease payments at commencement date. The operating lease ROU asset also includes any lease payments made and excludes lease incentives. Our lease terms may include options to extend or terminate the lease when it is reasonably certain that we will exercise that option. Lease expense for lease payments is recognized on a straight-line basis over the lease term.
We have lease agreements with lease and non-lease components, which are generally accounted for separately. For certain equipment leases, such as vehicles, we account for the lease and non-lease components as a single lease component. Additionally, for certain equipment leases, we apply a portfolio approach to effectively account for the operating lease ROU assets and liabilities.
Goodwill
Goodwill is tested for impairment at the reporting unit level (operating segment or one level below an operating segment) on an annual basis (May 1) and between annual tests if an event occurs or circumstances change that would more likely than not reduce the fair value of a reporting unit below its carrying value.
Intangible Assets
Our intangible assets are subject to amortization and are amortized using the straight-line method over their estimated period of benefit, ranging from one to 20 years. We evaluate the recoverability of intangible assets periodically by taking into account events or circumstances that may warrant revised estimates of useful lives or that indicate the asset may be impaired.
NOTE 2 — EARNINGS PER SHARE
Basic earnings per share (“EPS”) is computed based on the weighted average number of shares of common stock outstanding during the period. Diluted EPS is computed based on the weighted average number of shares of common stock plus the effect of dilutive potential common shares outstanding during the period using the treasury stock method. Dilutive potential common shares include outstanding stock options and stock awards.
The components of basic and diluted EPS were as follows:
(In millions, except earnings per share)
Year Ended June 30, 2023 2022 2021
Net income available for common shareholders (A) $ 72,361 $ 72,738 $ 61,271
Weighted average outstanding shares of common stock (B) 7,446 7,496 7,547
Dilutive effect of stock-based awards 26 44 61
Common stock and common stock equivalents (C) 7,472 7,540 7,608
Earnings Per Share
Basic (A/B) $ 9.72 $ 9.70 $ 8.12
Diluted (A/C) $ 9.68 $ 9.65 $ 8.05
Anti-dilutive stock-based awards excluded from the calculations of diluted EPS were immaterial during the periods presented.
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NOTE 3 — OTHER INCOME (EXPENSE), NET
The components of other income (expense), net were as follows:
(In millions)
Year Ended June 30, 2023 2022 2021
Interest and dividends income $ 2,994 $ 2,094 $ 2,131
Interest expense (1,968 ) (2,063 ) (2,346 )
Net recognized gains on investments 260 461 1,232
Net gains (losses) on derivatives (456 ) (52 ) 17
Net gains (losses) on foreign currency remeasurements 181 (75 ) 54
Other, net (223 ) (32 ) 98
Total $ 788 $ 333 $ 1,186
Net Recognized Gains (Losses) on Investments
Net recognized gains (losses) on debt investments were as follows:
(In millions)
Year Ended June 30, 2023 2022 2021
Realized gains from sales of available-for-sale securities $ 36 $ 162 $ 105
Realized losses from sales of available-for-sale securities (124 ) (138 ) (40 )
Impairments and allowance for credit losses (10 ) (81 ) (2 )
Total $ (98 ) $ (57 ) $ 63
Net recognized gains (losses) on equity investments were as follows:
(In millions)
Year Ended June 30, 2023 2022 2021
Net realized gains on investments sold $ 75 $ 29 $ 123
Net unrealized gains on investments still held 303 509 1,057
Impairments of investments (20 ) (20 ) (11 )
Total $ 358 $ 518 $ 1,169
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NOTE 4 — INVESTMENTS
Investment Components
The components of investments were as follows:
(In millions) Fair Value
Level Adjusted
Cost Basis Unrealized
Gains Unrealized
Losses Recorded
Basis Cash
and Cash
Equivalents Short-term
Investments Equity
Investments
June 30, 2023
Changes in Fair Value Recorded in Other Comprehensive Income
Commercial paper Level 2 $ 16,589 $ 0 $ 0 $ 16,589 $ 12,231 $ 4,358 $ 0
Certificates of deposit Level 2 2,701 0 0 2,701 2,657 44 0
U.S. government securities Level 1 65,237 2 (3,870 ) 61,369 2,991 58,378 0
U.S. agency securities Level 2 2,703 0 0 2,703 894 1,809 0
Foreign government bonds Level 2 498 1 (24 ) 475 0 475 0
Mortgage- and asset-backed securities Level 2 824 1 (39 ) 786 0 786 0
Corporate notes and bonds Level 2 10,809 8 (583 ) 10,234 0 10,234 0
Corporate notes and bonds Level 3 120 0 0 120 0 120 0
Municipal securities Level 2 285 1 (18 ) 268 7 261 0
Municipal securities Level 3 103 0 (16 ) 87 0 87 0
Total debt investments $ 99,869 $ 13 $ (4,550 ) $ 95,332 $ 18,780 $ 76,552 $ 0
Changes in Fair Value Recorded in Net Income
Equity investments Level 1 $ 10,138 $ 7,446 $ 0 $ 2,692
Equity investments Other 7,187 0 0 7,187
Total equity investments $ 17,325 $ 7,446 $ 0 $ 9,879
Cash $ 8,478 $ 8,478 $ 0 $ 0
Derivatives, net (a) 6 0 6 0
Total $ 121,141 $ 34,704 $ 76,558 $ 9,879
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(In millions) Fair Value
Level Adjusted
Cost Basis Unrealized
Gains Unrealized
Losses Recorded
Basis Cash
and Cash
Equivalents Short-term
Investments Equity
Investments
June 30, 2022
Changes in Fair Value Recorded in Other Comprehensive Income
Commercial paper Level 2 $ 2,500 $ 0 $ 0 $ 2,500 $ 2,498 $ 2 $ 0
Certificates of deposit Level 2 2,071 0 0 2,071 2,032 39 0
U.S. government securities Level 1 79,696 29 (2,178 ) 77,547 9 77,538 0
U.S. agency securities Level 2 419 0 (9 ) 410 0 410 0
Foreign government bonds Level 2 506 0 (24 ) 482 0 482 0
Mortgage- and asset-backed securities Level 2 727 1 (30 ) 698 0 698 0
Corporate notes and bonds Level 2 11,661 4 (554 ) 11,111 0 11,111 0
Corporate notes and bonds Level 3 67 0 0 67 0 67 0
Municipal securities Level 2 368 19 (13 ) 374 0 374 0
Municipal securities Level 3 103 0 (6 ) 97 0 97 0
Total debt investments $ 98,118 $ 53 $ (2,814 ) $ 95,357 $ 4,539 $ 90,818 $ 0
Changes in Fair Value Recorded in Net Income
Equity investments Level 1 $ 1,590 $ 1,134 $ 0 $ 456
Equity investments Other 6,435 0 0 6,435
Total equity investments $ 8,025 $ 1,134 $ 0 $ 6,891
Cash $ 8,258 $ 8,258 $ 0 $ 0
Derivatives, net (a) 8 0 8 0
Total $ 111,648 $ 13,931 $ 90,826 $ 6,891
(a)
Refer to Note 5 – Derivatives for further information on the fair value of our derivative instruments.
Equity investments presented as “Other” in the tables above include investments without readily determinable fair values measured using the equity method or measured at cost with adjustments for observable changes in price or impairments, and investments measured at fair value using net asset value as a practical expedient which are not categorized in the fair value hierarchy. As of June 30, 2023 and 2022, equity investments without readily determinable fair values measured at cost with adjustments for observable changes in price or impairments were $4.2 billion and $3.8 billion, respectively.
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Unrealized Losses on Debt Investments
Debt investments with continuous unrealized losses for less than 12 months and 12 months or greater and their related fair values were as follows:
Less than 12 Months 12 Months or Greater Total
Unrealized
Losses
(In millions) Fair Value Unrealized
Losses Fair Value Unrealized
Losses Total
Fair Value
June 30, 2023
U.S. government and agency securities $ 7,950 $ (336 ) $ 45,273 $ (3,534 ) $ 53,223 $ (3,870 )
Foreign government bonds 77 (5 ) 391 (19 ) 468 (24 )
Mortgage- and asset-backed securities 257 (5 ) 412 (34 ) 669 (39 )
Corporate notes and bonds 2,326 (49 ) 7,336 (534 ) 9,662 (583 )
Municipal securities 111 (3 ) 186 (31 ) 297 (34 )
Total $ 10,721 $ (398 ) $ 53,598 $ (4,152 ) $ 64,319 $ (4,550 )
Less than 12 Months 12 Months or Greater Total
Unrealized
Losses
(In millions) Fair Value Unrealized
Losses Fair Value Unrealized
Losses Total
Fair Value
June 30, 2022
U.S. government and agency securities $ 59,092 $ (1,835 ) $ 2,210 $ (352 ) $ 61,302 $ (2,187 )
Foreign government bonds 418 (18 ) 27 (6 ) 445 (24 )
Mortgage- and asset-backed securities 510 (26 ) 41 (4 ) 551 (30 )
Corporate notes and bonds 9,443 (477 ) 786 (77 ) 10,229 (554 )
Municipal securities 178 (12 ) 74 (7 ) 252 (19 )
Total $ 69,641 $ (2,368 ) $ 3,138 $ (446 ) $ 72,779 $ (2,814 )
Unrealized losses from fixed-income securities are primarily attributable to changes in interest rates. Management does not believe any remaining unrealized losses represent impairments based on our evaluation of available evidence.
Debt Investment Maturities
(In millions) Adjusted
Cost Basis Estimated
Fair Value
June 30, 2023
Due in one year or less $ 38,182 $ 38,048
Due after one year through five years 47,127 44,490
Due after five years through 10 years 13,262 11,628
Due after 10 years 1,298 1,166
Total $ 99,869 $ 95,332
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NOTE 5 — DERIVATIVES
We use derivative instruments to manage risks related to foreign currencies, interest rates, equity prices, and credit; to enhance investment returns; and to facilitate portfolio diversification. Our objectives for holding derivatives include reducing, eliminating, and efficiently managing the economic impact of these exposures as effectively as possible. Our derivative programs include strategies that both qualify and do not qualify for hedge accounting treatment.
Foreign Currencies
Certain forecasted transactions, assets, and liabilities are exposed to foreign currency risk. We monitor our foreign currency exposures daily to maximize the economic effectiveness of our foreign currency hedge positions.
Foreign currency risks related to certain non-U.S. dollar-denominated investments are hedged using foreign exchange forward contracts that are designated as fair value hedging instruments. Foreign currency risks related to certain Euro-denominated debt are hedged using foreign exchange forward contracts that are designated as cash flow hedging instruments.
Certain options and forwards not designated as hedging instruments are also used to manage the variability in foreign exchange rates on certain balance sheet amounts and to manage other foreign currency exposures.
Interest Rate
Interest rate risks related to certain fixed-rate debt are hedged using interest rate swaps that are designated as fair value hedging instruments to effectively convert the fixed interest rates to floating interest rates.
Securities held in our fixed-income portfolio are subject to different interest rate risks based on their maturities. We manage the average maturity of our fixed-income portfolio to achieve economic returns that correlate to certain broad-based fixed-income indices using option, futures, and swap contracts. These contracts are not designated as hedging instruments and are included in “Other contracts” in the tables below.
Equity
Securities held in our equity investments portfolio are subject to market price risk. At times, we may hold options, futures, and swap contracts. These contracts are not designated as hedging instruments.
Credit
Our fixed-income portfolio is diversified and consists primarily of investment-grade securities. We use credit default swap contracts to manage credit exposures relative to broad-based indices and to facilitate portfolio diversification. These contracts are not designated as hedging instruments and are included in “Other contracts” in the tables below.
Credit-Risk-Related Contingent Features
Certain of our counterparty agreements for derivative instruments contain provisions that require our issued and outstanding long-term unsecured debt to maintain an investment grade credit rating and require us to maintain minimum liquidity of $1.0 billion. To the extent we fail to meet these requirements, we will be required to post collateral, similar to the standard convention related to over-the-counter derivatives. As of June 30, 2023, our long-term unsecured debt rating was AAA, and cash investments were in excess of $1.0 billion. As a result, no collateral was required to be posted.
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The following table presents the notional amounts of our outstanding derivative instruments measured in U.S. dollar equivalents:
(In millions) June 30,
2023 June 30,
2022
Designated as Hedging Instruments
Foreign exchange contracts purchased $ 1,492 $ 635
Interest rate contracts purchased 1,078 1,139
Not Designated as Hedging Instruments
Foreign exchange contracts purchased 7,874 10,322
Foreign exchange contracts sold 25,159 21,606
Equity contracts purchased 3,867 1,131
Equity contracts sold 2,154 0
Other contracts purchased 1,224 1,642
Other contracts sold 581 544
Fair Values of Derivative Instruments
The following table presents our derivative instruments:
(In millions) Derivative
Assets Derivative
Liabilities Derivative
Assets Derivative
Liabilities
June 30,
2023 June 30,
2022
Designated as Hedging Instruments
Foreign exchange contracts $ 34 $ (67 ) $ 0 $ (77 )
Interest rate contracts 16 0 3 0
Not Designated as Hedging Instruments
Foreign exchange contracts 249 (332 ) 333 (362 )
Equity contracts 165 (400 ) 5 (95 )
Other contracts 5 (6 ) 15 (17 )
Gross amounts of derivatives 469 (805 ) 356 (551 )
Gross amounts of derivatives offset in the balance sheet (202 ) 206 (130 ) 133
Cash collateral received 0 (125 ) 0 (75 )
Net amounts of derivatives $ 267 $ (724 ) $ 226 $ (493 )
Reported as
Short-term investments $ 6 $ 0 $ 8 $ 0
Other current assets 245 0 218 0
Other long-term assets 16 0 0 0
Other current liabilities 0 (341 ) 0 (298 )
Other long-term liabilities 0 (383 ) 0 (195 )
Total $ 267 $ (724 ) $ 226 $ (493 )
Gross derivative assets and liabilities subject to legally enforceable master netting agreements for which we have elected to offset were $442 million and $804 million, respectively, as of June 30, 2023, and $343 million and $550 million, respectively, as of June 30, 2022.
The following table presents the fair value of our derivatives instruments on a gross basis:
(In millions) Level 1 Level 2 Level 3 Total
June 30, 2023
Derivative assets $ 0 $ 462 $ 7 $ 469
Derivative liabilities 0 (805 ) 0 (805 )
June 30, 2022
Derivative assets 1 349 6 356
Derivative liabilities 0 (551 ) 0 (551 )
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Gains (losses) on derivative instruments recognized in other income (expense), net were as follows:
(In millions)
Year Ended June 30, 2023 2022 2021
Designated as Fair Value Hedging Instruments
Foreign exchange contracts
Derivatives $ 0 $ 49 $ 193
Hedged items 0 (50 ) (188 )
Excluded from effectiveness assessment 0 4 30
Interest rate contracts
Derivatives (65 ) (92 ) (37 )
Hedged items 38 108 53
Designated as Cash Flow Hedging Instruments
Foreign exchange contracts
Amount reclassified from accumulated other comprehensive income 61 (79 ) 17
Not Designated as Hedging Instruments
Foreign exchange contracts (73 ) 383 27
Equity contracts (420 ) 13 (6 )
Other contracts (41 ) (85 ) 15
Gains (losses), net of tax, on derivative instruments recognized in our consolidated comprehensive income statements were as follows:
(In millions)
Year Ended June 30, 2023 2022 2021
Designated as Cash Flow Hedging Instruments
Foreign exchange contracts
Included in effectiveness assessment $ 34 $ (57 ) $ 34
NOTE 6 — INVENTORIES
The components of inventories were as follows:
(In millions)
June 30, 2023 2022
Raw materials $ 709 $ 1,144
Work in process 23 82
Finished goods 1,768 2,516
Total $ 2,500 $ 3,742
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NOTE 7 — PROPERTY AND EQUIPMENT
The components of property and equipment were as follows:
(In millions)
June 30, 2023 2022
Land $ 5,683 $ 4,734
Buildings and improvements 68,465 55,014
Leasehold improvements 8,537 7,819
Computer equipment and software 74,961 60,631
Furniture and equipment 6,246 5,860
Total, at cost 163,892 134,058
Accumulated depreciation (68,251 ) (59,660 )
Total, net $ 95,641 $ 74,398
During fiscal years 2023, 2022, and 2021, depreciation expense was $11.0 billion, $12.6 billion, and $9.3 billion, respectively. Depreciation expense declined in fiscal year 2023 due to the change in estimated useful lives of our server and network equipment.
As of June 30, 2023, we have committed $13.5 billion for the construction of new buildings, building improvements, and leasehold improvements, primarily related to datacenters.
NOTE 8 — BUSINESS COMBINATIONS
Nuance Communications, Inc.
On March 4, 2022, we completed our acquisition of Nuance Communications, Inc. (“Nuance”) for a total purchase price of $18.8 billion, consisting primarily of cash. Nuance is a cloud and artificial intelligence (“AI”) software provider with healthcare and enterprise AI experience, and the acquisition will build on our industry-specific cloud offerings. The financial results of Nuance have been included in our consolidated financial statements since the date of the acquisition. Nuance is reported as part of our Intelligent Cloud segment.
The allocation of the purchase price to goodwill was completed as of December 31, 2022. The major classes of assets and liabilities to which we have allocated the purchase price were as follows:
(In millions)
Goodwill (a) $ 16,326
Intangible assets 4,365
Other assets 42
Other liabilities (b) (1,972 )
Total $ 18,761
(a)
Goodwill was assigned to our Intelligent Cloud segment and was primarily attributed to increased synergies that are expected to be achieved from the integration of Nuance. None of the goodwill is expected to be deductible for income tax purposes.
(b)
Includes $986 million of convertible senior notes issued by Nuance in 2015 and 2017, substantially all of which have been redeemed.
Following are the details of the purchase price allocated to the intangible assets acquired:
(In millions, except average life) Amount Weighted
Average Life
Customer-related $ 2,610 9 years
Technology-based 1,540 5 years
Marketing-related 215 4 years
Total $ 4,365 7 years
78
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English
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64k
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T8. Structured & Numeric Reasoning
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T8.2 Single-Source Targeted Aggregation
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Partial
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According to the table "Share repurchases for the fourth quarter of fiscal year 2023", calculate the percentage increase in the "Total Number of Shares Purchased as Part of Publicly Announced Plans or Programs" for June compared to April and May. Output the "[Answer]" identifier first, and then output percentages (with one decimal place retained) line by line, without any additional content.
Output example:
[Answer]
5.5%
-2.2%
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According to the table "Share repurchases for the fourth quarter of fiscal year 2023", calculate the percentage increase in the "Total Number of Shares Purchased as Part of Publicly Announced Plans or Programs" for June compared to April and May. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output percentages (with one decimal place retained) line by line, without any additional content.
Output example:
<Your thinking process>
[Answer]
5.5%
-2.2%
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[
"-11.9%",
"-17.6%"
] |
Easy
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d8e035ce49b9e6a6c2a132f643f105aed2ec4c24e57cd80d061d5e71e5eb2ed8
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中华人民共和国监察法
（2018年3月20日第十三届全国人民代表大会第一次会议通过 根据2024年12月25日第十四届全国人民代表大会常务委员会第十三次会议《关于修改〈中华人民共和国监察法〉的决定》修正）
目 录
第一章 总 则
第二章 监察机关及其职责
第三章 监察范围和管辖
第四章 监察权限
第五章 监察程序
第六章 反腐败国际合作
第七章 对监察机关和监察人员的监督
第八章 法律责任
第九章 附 则
第一章 总 则
第一条 为了深入开展廉政建设和反腐败工作，加强对所有行使公权力的公职人员的监督，实现国家监察全面覆盖，持续深化国家监察体制改革，推进国家治理体系和治理能力现代化，根据宪法，制定本法。
第二条 坚持中国共产党对国家监察工作的领导，以马克思列宁主义、毛泽东思想、邓小平理论、“三个代表”重要思想、科学发展观、习近平新时代中国特色社会主义思想为指导，构建集中统一、权威高效的中国特色国家监察体制。
第三条 各级监察委员会是行使国家监察职能的专责机关，依照本法对所有行使公权力的公职人员（以下称公职人员）进行监察，调查职务违法和职务犯罪，开展廉政建设和反腐败工作，维护宪法和法律的尊严。
第四条 监察委员会依照法律规定独立行使监察权，不受行政机关、社会团体和个人的干涉。
监察机关办理职务违法和职务犯罪案件，应当与审判机关、检察机关、执法部门互相配合，互相制约。
监察机关在工作中需要协助的，有关机关和单位应当根据监察机关的要求依法予以协助。
第五条 国家监察工作严格遵照宪法和法律，以事实为根据，以法律为准绳；权责对等，严格监督；遵守法定程序，公正履行职责；尊重和保障人权，在适用法律上一律平等，保障监察对象及相关人员的合法权益；惩戒与教育相结合，宽严相济。
第六条 国家监察工作坚持标本兼治、综合治理，强化监督问责，严厉惩治腐败；深化改革、健全法治，有效制约和监督权力；加强法治教育和道德教育，弘扬中华优秀传统文化，构建不敢腐、不能腐、不想腐的长效机制。
第二章 监察机关及其职责
第七条 中华人民共和国国家监察委员会是最高监察机关。
省、自治区、直辖市、自治州、县、自治县、市、市辖区设立监察委员会。
第八条 国家监察委员会由全国人民代表大会产生，负责全国监察工作。
国家监察委员会由主任、副主任若干人、委员若干人组成，主任由全国人民代表大会选举，副主任、委员由国家监察委员会主任提请全国人民代表大会常务委员会任免。
国家监察委员会主任每届任期同全国人民代表大会每届任期相同，连续任职不得超过两届。
国家监察委员会对全国人民代表大会及其常务委员会负责，并接受其监督。
第九条 地方各级监察委员会由本级人民代表大会产生，负责本行政区域内的监察工作。
地方各级监察委员会由主任、副主任若干人、委员若干人组成，主任由本级人民代表大会选举，副主任、委员由监察委员会主任提请本级人民代表大会常务委员会任免。
地方各级监察委员会主任每届任期同本级人民代表大会每届任期相同。
地方各级监察委员会对本级人民代表大会及其常务委员会和上一级监察委员会负责，并接受其监督。
第十条 国家监察委员会领导地方各级监察委员会的工作，上级监察委员会领导下级监察委员会的工作。
第十一条 监察委员会依照本法和有关法律规定履行监督、调查、处置职责：
（一）对公职人员开展廉政教育，对其依法履职、秉公用权、廉洁从政从业以及道德操守情况进行监督检查；
（二）对涉嫌贪污贿赂、滥用职权、玩忽职守、权力寻租、利益输送、徇私舞弊以及浪费国家资财等职务违法和职务犯罪进行调查；
（三）对违法的公职人员依法作出政务处分决定；对履行职责不力、失职失责的领导人员进行问责；对涉嫌职务犯罪的，将调查结果移送人民检察院依法审查、提起公诉；向监察对象所在单位提出监察建议。
第十二条 各级监察委员会可以向本级中国共产党机关、国家机关、中国人民政治协商会议委员会机关、法律法规授权或者委托管理公共事务的组织和单位以及辖区内特定区域、国有企业、事业单位等派驻或者派出监察机构、监察专员。
经国家监察委员会批准，国家监察委员会派驻本级实行垂直管理或者双重领导并以上级单位领导为主的单位、国有企业的监察机构、监察专员，可以向驻在单位的下一级单位再派出。
经国家监察委员会批准，国家监察委员会派驻监察机构、监察专员，可以向驻在单位管理领导班子的普通高等学校再派出；国家监察委员会派驻国务院国有资产监督管理机构的监察机构，可以向驻在单位管理领导班子的国有企业再派出。
监察机构、监察专员对派驻或者派出它的监察委员会或者监察机构、监察专员负责。
第十三条 派驻或者派出的监察机构、监察专员根据授权，按照管理权限依法对公职人员进行监督，提出监察建议，依法对公职人员进行调查、处置。
第十四条 国家实行监察官制度，依法确定监察官的等级设置、任免、考评和晋升等制度。
第三章 监察范围和管辖
第十五条 监察机关对下列公职人员和有关人员进行监察：
（一）中国共产党机关、人民代表大会及其常务委员会机关、人民政府、监察委员会、人民法院、人民检察院、中国人民政治协商会议各级委员会机关、民主党派机关和工商业联合会机关的公务员，以及参照《中华人民共和国公务员法》管理的人员；
（二）法律、法规授权或者受国家机关依法委托管理公共事务的组织中从事公务的人员；
（三）国有企业管理人员；
（四）公办的教育、科研、文化、医疗卫生、体育等单位中从事管理的人员；
（五）基层群众性自治组织中从事管理的人员；
（六）其他依法履行公职的人员。
第十六条 各级监察机关按照管理权限管辖本辖区内本法第十五条规定的人员所涉监察事项。
上级监察机关可以办理下一级监察机关管辖范围内的监察事项，必要时也可以办理所辖各级监察机关管辖范围内的监察事项。
监察机关之间对监察事项的管辖有争议的，由其共同的上级监察机关确定。
第十七条 上级监察机关可以将其所管辖的监察事项指定下级监察机关管辖，也可以将下级监察机关有管辖权的监察事项指定给其他监察机关管辖。
监察机关认为所管辖的监察事项重大、复杂，需要由上级监察机关管辖的，可以报请上级监察机关管辖。
第四章 监察权限
第十八条 监察机关行使监督、调查职权，有权依法向有关单位和个人了解情况，收集、调取证据。有关单位和个人应当如实提供。
监察机关及其工作人员对监督、调查过程中知悉的国家秘密、工作秘密、商业秘密、个人隐私和个人信息，应当保密。
任何单位和个人不得伪造、隐匿或者毁灭证据。
第十九条 对可能发生职务违法的监察对象，监察机关按照管理权限，可以直接或者委托有关机关、人员进行谈话，或者进行函询，要求说明情况。
第二十条 在调查过程中，对涉嫌职务违法的被调查人，监察机关可以进行谈话，要求其就涉嫌违法行为作出陈述，必要时向被调查人出具书面通知。
对涉嫌贪污贿赂、失职渎职等职务犯罪的被调查人，监察机关可以进行讯问，要求其如实供述涉嫌犯罪的情况。
第二十一条 监察机关根据案件情况，经依法审批，可以强制涉嫌严重职务违法或者职务犯罪的被调查人到案接受调查。
第二十二条 在调查过程中，监察机关可以询问证人等人员。
第二十三条 被调查人涉嫌严重职务违法或者职务犯罪，并有下列情形之一的，经监察机关依法审批，可以对其采取责令候查措施：
（一）不具有本法第二十四条第一款所列情形的；
（二）符合留置条件，但患有严重疾病、生活不能自理的，系怀孕或者正在哺乳自己婴儿的妇女，或者生活不能自理的人的唯一扶养人；
（三）案件尚未办结，但留置期限届满或者对被留置人员不需要继续采取留置措施的；
（四）符合留置条件，但因为案件的特殊情况或者办理案件的需要，采取责令候查措施更为适宜的。
被责令候查人员应当遵守以下规定：
（一）未经监察机关批准不得离开所居住的直辖市、设区的市的城市市区或者不设区的市、县的辖区；
（二）住址、工作单位和联系方式发生变动的，在二十四小时以内向监察机关报告；
（三）在接到通知的时候及时到案接受调查；
（四）不得以任何形式干扰证人作证；
（五）不得串供或者伪造、隐匿、毁灭证据。
被责令候查人员违反前款规定，情节严重的，可以依法予以留置。
第二十四条 被调查人涉嫌贪污贿赂、失职渎职等严重职务违法或者职务犯罪，监察机关已经掌握其部分违法犯罪事实及证据，仍有重要问题需要进一步调查，并有下列情形之一的，经监察机关依法审批，可以将其留置在特定场所：
（一）涉及案情重大、复杂的；
（二）可能逃跑、自杀的；
（三）可能串供或者伪造、隐匿、毁灭证据的；
（四）可能有其他妨碍调查行为的。
对涉嫌行贿犯罪或者共同职务犯罪的涉案人员，监察机关可以依照前款规定采取留置措施。
留置场所的设置、管理和监督依照国家有关规定执行。
第二十五条 对于未被留置的下列人员，监察机关发现存在逃跑、自杀等重大安全风险的，经依法审批，可以进行管护：
（一）涉嫌严重职务违法或者职务犯罪的自动投案人员；
（二）在接受谈话、函询、询问过程中，交代涉嫌严重职务违法或者职务犯罪问题的人员；
（三）在接受讯问过程中，主动交代涉嫌重大职务犯罪问题的人员。
采取管护措施后，应当立即将被管护人员送留置场所，至迟不得超过二十四小时。
第二十六条 监察机关调查涉嫌贪污贿赂、失职渎职等严重职务违法或者职务犯罪，根据工作需要，可以依照规定查询、冻结涉案单位和个人的存款、汇款、债券、股票、基金份额等财产。有关单位和个人应当配合。
冻结的财产经查明与案件无关的，应当在查明后三日内解除冻结，予以退还。
第二十七条 监察机关可以对涉嫌职务犯罪的被调查人以及可能隐藏被调查人或者犯罪证据的人的身体、物品、住处和其他有关地方进行搜查。在搜查时，应当出示搜查证，并有被搜查人或者其家属等见证人在场。
搜查女性身体，应当由女性工作人员进行。
监察机关进行搜查时，可以根据工作需要提请公安机关配合。公安机关应当依法予以协助。
第二十八条 监察机关在调查过程中，可以调取、查封、扣押用以证明被调查人涉嫌违法犯罪的财物、文件和电子数据等信息。采取调取、查封、扣押措施，应当收集原物原件，会同持有人或者保管人、见证人，当面逐一拍照、登记、编号，开列清单，由在场人员当场核对、签名，并将清单副本交财物、文件的持有人或者保管人。
对调取、查封、扣押的财物、文件，监察机关应当设立专用账户、专门场所，确定专门人员妥善保管，严格履行交接、调取手续，定期对账核实，不得毁损或者用于其他目的。对价值不明物品应当及时鉴定，专门封存保管。
查封、扣押的财物、文件经查明与案件无关的，应当在查明后三日内解除查封、扣押，予以退还。
第二十九条 监察机关在调查过程中，可以直接或者指派、聘请具有专门知识的人在调查人员主持下进行勘验检查。勘验检查情况应当制作笔录，由参加勘验检查的人员和见证人签名或者盖章。
必要时，监察机关可以进行调查实验。调查实验情况应当制作笔录，由参加实验的人员签名或者盖章。
第三十条 监察机关在调查过程中，对于案件中的专门性问题，可以指派、聘请有专门知识的人进行鉴定。鉴定人进行鉴定后，应当出具鉴定意见，并且签名。
第三十一条 监察机关调查涉嫌重大贪污贿赂等职务犯罪，根据需要，经过严格的批准手续，可以采取技术调查措施，按照规定交有关机关执行。
批准决定应当明确采取技术调查措施的种类和适用对象，自签发之日起三个月以内有效；对于复杂、疑难案件，期限届满仍有必要继续采取技术调查措施的，经过批准，有效期可以延长，每次不得超过三个月。对于不需要继续采取技术调查措施的，应当及时解除。
第三十二条 依法应当留置的被调查人如果在逃，监察机关可以决定在本行政区域内通缉，由公安机关发布通缉令，追捕归案。通缉范围超出本行政区域的，应当报请有权决定的上级监察机关决定。
第三十三条 监察机关为防止被调查人及相关人员逃匿境外，经省级以上监察机关批准，可以对被调查人及相关人员采取限制出境措施，由公安机关依法执行。对于不需要继续采取限制出境措施的，应当及时解除。
第三十四条 涉嫌职务犯罪的被调查人主动认罪认罚，有下列情形之一的，监察机关经领导人员集体研究，并报上一级监察机关批准，可以在移送人民检察院时提出从宽处罚的建议：
（一）自动投案，真诚悔罪悔过的；
（二）积极配合调查工作，如实供述监察机关还未掌握的违法犯罪行为的；
（三）积极退赃，减少损失的；
（四）具有重大立功表现或者案件涉及国家重大利益等情形的。
第三十五条 职务违法犯罪的涉案人员揭发有关被调查人职务违法犯罪行为，查证属实的，或者提供重要线索，有助于调查其他案件的，监察机关经领导人员集体研究，并报上一级监察机关批准，可以在移送人民检察院时提出从宽处罚的建议。
第三十六条 监察机关依照本法规定收集的物证、书证、证人证言、被调查人供述和辩解、视听资料、电子数据等证据材料，在刑事诉讼中可以作为证据使用。
监察机关在收集、固定、审查、运用证据时，应当与刑事审判关于证据的要求和标准相一致。
以非法方法收集的证据应当依法予以排除，不得作为案件处置的依据。
第三十七条 人民法院、人民检察院、公安机关、审计机关等国家机关在工作中发现公职人员涉嫌贪污贿赂、失职渎职等职务违法或者职务犯罪的问题线索，应当移送监察机关，由监察机关依法调查处置。
被调查人既涉嫌严重职务违法或者职务犯罪，又涉嫌其他违法犯罪的，一般应当由监察机关为主调查，其他机关予以协助。
第五章 监察程序
第三十八条 监察机关对于报案或者举报，应当接受并按照有关规定处理。对于不属于本机关管辖的，应当移送主管机关处理。
第三十九条 监察机关应当严格按照程序开展工作，建立问题线索处置、调查、审理各部门相互协调、相互制约的工作机制。
监察机关应当加强对调查、处置工作全过程的监督管理，设立相应的工作部门履行线索管理、监督检查、督促办理、统计分析等管理协调职能。
第四十条 监察机关对监察对象的问题线索，应当按照有关规定提出处置意见，履行审批手续，进行分类办理。线索处置情况应当定期汇总、通报，定期检查、抽查。
第四十一条 需要采取初步核实方式处置问题线索的，监察机关应当依法履行审批程序，成立核查组。初步核实工作结束后，核查组应当撰写初步核实情况报告，提出处理建议。承办部门应当提出分类处理意见。初步核实情况报告和分类处理意见报监察机关主要负责人审批。
第四十二条 经过初步核实，对监察对象涉嫌职务违法犯罪，需要追究法律责任的，监察机关应当按照规定的权限和程序办理立案手续。
监察机关主要负责人依法批准立案后，应当主持召开专题会议，研究确定调查方案，决定需要采取的调查措施。
立案调查决定应当向被调查人宣布，并通报相关组织。涉嫌严重职务违法或者职务犯罪的，应当通知被调查人家属，并向社会公开发布。
第四十三条 监察机关对职务违法和职务犯罪案件，应当进行调查，收集被调查人有无违法犯罪以及情节轻重的证据，查明违法犯罪事实，形成相互印证、完整稳定的证据链。
调查人员应当依法文明规范开展调查工作。严禁以暴力、威胁、引诱、欺骗及其他非法方式收集证据，严禁侮辱、打骂、虐待、体罚或者变相体罚被调查人和涉案人员。
监察机关及其工作人员在履行职责过程中应当依法保护企业产权和自主经营权，严禁利用职权非法干扰企业生产经营。需要企业经营者协助调查的，应当保障其人身权利、财产权利和其他合法权益，避免或者尽量减少对企业正常生产经营活动的影响。
第四十四条 调查人员采取讯问、询问、强制到案、责令候查、管护、留置、搜查、调取、查封、扣押、勘验检查等调查措施，均应当依照规定出示证件，出具书面通知，由二人以上进行，形成笔录、报告等书面材料，并由相关人员签名、盖章。
调查人员进行讯问以及搜查、查封、扣押等重要取证工作，应当对全过程进行录音录像，留存备查。
第四十五条 调查人员应当严格执行调查方案，不得随意扩大调查范围、变更调查对象和事项。
对调查过程中的重要事项，应当集体研究后按程序请示报告。
第四十六条 采取强制到案、责令候查或者管护措施，应当按照规定的权限和程序，经监察机关主要负责人批准。
强制到案持续的时间不得超过十二小时；需要采取管护或者留置措施的，强制到案持续的时间不得超过二十四小时。不得以连续强制到案的方式变相拘禁被调查人。
责令候查最长不得超过十二个月。
监察机关采取管护措施的，应当在七日以内依法作出留置或者解除管护的决定，特殊情况下可以延长一日至三日。
第四十七条 监察机关采取留置措施，应当由监察机关领导人员集体研究决定。设区的市级以下监察机关采取留置措施，应当报上一级监察机关批准。省级监察机关采取留置措施，应当报国家监察委员会备案。
第四十八条 留置时间不得超过三个月。在特殊情况下，可以延长一次，延长时间不得超过三个月。省级以下监察机关采取留置措施的，延长留置时间应当报上一级监察机关批准。监察机关发现采取留置措施不当或者不需要继续采取留置措施的，应当及时解除或者变更为责令候查措施。
对涉嫌职务犯罪的被调查人可能判处十年有期徒刑以上刑罚，监察机关依照前款规定延长期限届满，仍不能调查终结的，经国家监察委员会批准或者决定，可以再延长二个月。
省级以上监察机关在调查期间，发现涉嫌职务犯罪的被调查人另有与留置时的罪行不同种的重大职务犯罪或者同种的影响罪名认定、量刑档次的重大职务犯罪，经国家监察委员会批准或者决定，自发现之日起依照本条第一款的规定重新计算留置时间。留置时间重新计算以一次为限。
第四十九条 监察机关采取强制到案、责令候查、管护、留置措施，可以根据工作需要提请公安机关配合。公安机关应当依法予以协助。
省级以下监察机关留置场所的看护勤务由公安机关负责，国家监察委员会留置场所的看护勤务由国家另行规定。留置看护队伍的管理依照国家有关规定执行。
第五十条 采取管护或者留置措施后，应当在二十四小时以内，通知被管护人员、被留置人员所在单位和家属，但有可能伪造、隐匿、毁灭证据，干扰证人作证或者串供等有碍调查情形的除外。有碍调查的情形消失后，应当立即通知被管护人员、被留置人员所在单位和家属。解除管护或者留置的，应当及时通知被管护人员、被留置人员所在单位和家属。
被管护人员、被留置人员及其近亲属有权申请变更管护、留置措施。监察机关收到申请后，应当在三日以内作出决定；不同意变更措施的，应当告知申请人，并说明不同意的理由。
监察机关应当保障被强制到案人员、被管护人员以及被留置人员的饮食、休息和安全，提供医疗服务。对其谈话、讯问的，应当合理安排时间和时长，谈话笔录、讯问笔录由被谈话人、被讯问人阅看后签名。
被管护人员、被留置人员涉嫌犯罪移送司法机关后，被依法判处管制、拘役或者有期徒刑的，管护、留置一日折抵管制二日，折抵拘役、有期徒刑一日。
第五十一条 监察机关在调查工作结束后，应当依法对案件事实和证据、性质认定、程序手续、涉案财物等进行全面审理，形成审理报告，提请集体审议。
第五十二条 监察机关根据监督、调查结果，依法作出如下处置：
（一）对有职务违法行为但情节较轻的公职人员，按照管理权限，直接或者委托有关机关、人员，进行谈话提醒、批评教育、责令检查，或者予以诫勉；
（二）对违法的公职人员依照法定程序作出警告、记过、记大过、降级、撤职、开除等政务处分决定；
（三）对不履行或者不正确履行职责负有责任的领导人员，按照管理权限对其直接作出问责决定，或者向有权作出问责决定的机关提出问责建议；
（四）对涉嫌职务犯罪的，监察机关经调查认为犯罪事实清楚，证据确实、充分的，制作起诉意见书，连同案卷材料、证据一并移送人民检察院依法审查、提起公诉；
（五）对监察对象所在单位廉政建设和履行职责存在的问题等提出监察建议。
监察机关经调查，对没有证据证明被调查人存在违法犯罪行为的，应当撤销案件，并通知被调查人所在单位。
第五十三条 监察机关经调查，对违法取得的财物，依法予以没收、追缴或者责令退赔；对涉嫌犯罪取得的财物，应当随案移送人民检察院。
第五十四条 对监察机关移送的案件，人民检察院依照《中华人民共和国刑事诉讼法》对被调查人采取强制措施。
人民检察院经审查，认为犯罪事实已经查清，证据确实、充分，依法应当追究刑事责任的，应当作出起诉决定。
人民检察院经审查，认为需要补充核实的，应当退回监察机关补充调查，必要时可以自行补充侦查。对于补充调查的案件，应当在一个月内补充调查完毕。补充调查以二次为限。
人民检察院对于有《中华人民共和国刑事诉讼法》规定的不起诉的情形的，经上一级人民检察院批准，依法作出不起诉的决定。监察机关认为不起诉的决定有错误的，可以向上一级人民检察院提请复议。
第五十五条 监察机关在调查贪污贿赂、失职渎职等职务犯罪案件过程中，被调查人逃匿或者死亡，有必要继续调查的，应当继续调查并作出结论。被调查人逃匿，在通缉一年后不能到案，或者死亡的，由监察机关提请人民检察院依照法定程序，向人民法院提出没收违法所得的申请。
第五十六条 监察对象对监察机关作出的涉及本人的处理决定不服的，可以在收到处理决定之日起一个月内，向作出决定的监察机关申请复审，复审机关应当在一个月内作出复审决定；监察对象对复审决定仍不服的，可以在收到复审决定之日起一个月内，向上一级监察机关申请复核，复核机关应当在二个月内作出复核决定。复审、复核期间，不停止原处理决定的执行。复核机关经审查，认定处理决定有错误的，原处理机关应当及时予以纠正。
第六章 反腐败国际合作
第五十七条 国家监察委员会统筹协调与其他国家、地区、国际组织开展的反腐败国际交流、合作，组织反腐败国际条约实施工作。
第五十八条 国家监察委员会会同有关单位加强与有关国家、地区、国际组织在反腐败方面开展引渡、移管被判刑人、遣返、联合调查、调查取证、资产追缴和信息交流等执法司法合作和司法协助。
第五十九条 国家监察委员会加强对反腐败国际追逃追赃和防逃工作的组织协调，督促有关单位做好相关工作：
（一）对于重大贪污贿赂、失职渎职等职务犯罪案件，被调查人逃匿到国（境）外，掌握证据比较确凿的，通过开展境外追逃合作，追捕归案；
（二）向赃款赃物所在国请求查询、冻结、扣押、没收、追缴、返还涉案资产；
（三）查询、监控涉嫌职务犯罪的公职人员及其相关人员进出国（境）和跨境资金流动情况，在调查案件过程中设置防逃程序。
第七章 对监察机关和监察人员的监督
第六十条 各级监察委员会应当接受本级人民代表大会及其常务委员会的监督。
各级人民代表大会常务委员会听取和审议本级监察委员会的专项工作报告，组织执法检查。
县级以上各级人民代表大会及其常务委员会举行会议时，人民代表大会代表或者常务委员会组成人员可以依照法律规定的程序，就监察工作中的有关问题提出询问或者质询。
第六十一条 监察机关应当依法公开监察工作信息，接受民主监督、社会监督、舆论监督。
第六十二条 监察机关根据工作需要，可以从各方面代表中聘请特约监察员。特约监察员按照规定对监察机关及其工作人员履行职责情况实行监督。
第六十三条 监察机关通过设立内部专门的监督机构等方式，加强对监察人员执行职务和遵守法律情况的监督，建设忠诚、干净、担当的监察队伍。
第六十四条 监察人员涉嫌严重职务违法或者职务犯罪，为防止造成更为严重的后果或者恶劣影响，监察机关经依法审批，可以对其采取禁闭措施。禁闭的期限不得超过七日。
被禁闭人员应当配合监察机关调查。监察机关经调查发现被禁闭人员符合管护或者留置条件的，可以对其采取管护或者留置措施。
本法第五十条的规定，适用于禁闭措施。
第六十五条 监察人员必须模范遵守宪法和法律，忠于职守、秉公执法，清正廉洁、保守秘密；必须具有良好的政治素质，熟悉监察业务，具备运用法律、法规、政策和调查取证等能力，自觉接受监督。
第六十六条 对于监察人员打听案情、过问案件、说情干预的，办理监察事项的监察人员应当及时报告。有关情况应当登记备案。
发现办理监察事项的监察人员未经批准接触被调查人、涉案人员及其特定关系人，或者存在交往情形的，知情人应当及时报告。有关情况应当登记备案。
第六十七条 办理监察事项的监察人员有下列情形之一的，应当自行回避，监察对象、检举人及其他有关人员也有权要求其回避：
（一）是监察对象或者检举人的近亲属的；
（二）担任过本案的证人的；
（三）本人或者其近亲属与办理的监察事项有利害关系的；
（四）有可能影响监察事项公正处理的其他情形的。
第六十八条 监察机关涉密人员离岗离职后，应当遵守脱密期管理规定，严格履行保密义务，不得泄露相关秘密。
监察人员辞职、退休三年内，不得从事与监察和司法工作相关联且可能发生利益冲突的职业。
第六十九条 监察机关及其工作人员有下列行为之一的，被调查人及其近亲属、利害关系人有权向该机关申诉：
（一）采取强制到案、责令候查、管护、留置或者禁闭措施法定期限届满，不予以解除或者变更的；
（二）查封、扣押、冻结与案件无关或者明显超出涉案范围的财物的；
（三）应当解除查封、扣押、冻结措施而不解除的；
（四）贪污、挪用、私分、调换或者违反规定使用查封、扣押、冻结的财物的；
（五）利用职权非法干扰企业生产经营或者侵害企业经营者人身权利、财产权利和其他合法权益的；
（六）其他违反法律法规、侵害被调查人合法权益的行为。
受理申诉的监察机关应当在受理申诉之日起一个月内作出处理决定。申诉人对处理决定不服的，可以在收到处理决定之日起一个月内向上一级监察机关申请复查，上一级监察机关应当在收到复查申请之日起二个月内作出处理决定，情况属实的，及时予以纠正。
第七十条 对调查工作结束后发现立案依据不充分或者失实，案件处置出现重大失误，监察人员严重违法的，应当追究负有责任的领导人员和直接责任人员的责任。
第八章 法律责任
第七十一条 有关单位拒不执行监察机关作出的处理决定，或者无正当理由拒不采纳监察建议的，由其主管部门、上级机关责令改正，对单位给予通报批评；对负有责任的领导人员和直接责任人员依法给予处理。
第七十二条 有关人员违反本法规定，有下列行为之一的，由其所在单位、主管部门、上级机关或者监察机关责令改正，依法给予处理：
（一）不按要求提供有关材料，拒绝、阻碍调查措施实施等拒不配合监察机关调查的；
（二）提供虚假情况，掩盖事实真相的；
（三）串供或者伪造、隐匿、毁灭证据的；
（四）阻止他人揭发检举、提供证据的；
（五）其他违反本法规定的行为，情节严重的。
第七十三条 监察对象对控告人、检举人、证人或者监察人员进行报复陷害的；控告人、检举人、证人捏造事实诬告陷害监察对象的，依法给予处理。
第七十四条 监察机关及其工作人员有下列行为之一的，对负有责任的领导人员和直接责任人员依法给予处理：
（一）未经批准、授权处置问题线索，发现重大案情隐瞒不报，或者私自留存、处理涉案材料的；
（二）利用职权或者职务上的影响干预调查工作、以案谋私的；
（三）违法窃取、泄露调查工作信息，或者泄露举报事项、举报受理情况以及举报人信息的；
（四）对被调查人或者涉案人员逼供、诱供，或者侮辱、打骂、虐待、体罚或者变相体罚的；
（五）违反规定处置查封、扣押、冻结的财物的；
（六）违反规定发生办案安全事故，或者发生安全事故后隐瞒不报、报告失实、处置不当的；
（七）违反规定采取强制到案、责令候查、管护、留置或者禁闭措施，或者法定期限届满，不予以解除或者变更的；
（八）违反规定采取技术调查、限制出境措施，或者不按规定解除技术调查、限制出境措施的；
（九）利用职权非法干扰企业生产经营或者侵害企业经营者人身权利、财产权利和其他合法权益的；
（十）其他滥用职权、玩忽职守、徇私舞弊的行为。
第七十五条 违反本法规定，构成犯罪的，依法追究刑事责任。
第七十六条 监察机关及其工作人员行使职权，侵犯公民、法人和其他组织的合法权益造成损害的，依法给予国家赔偿。
第九章 附 则
第七十七条 中国人民解放军和中国人民武装警察部队开展监察工作，由中央军事委员会根据本法制定具体规定。
第七十八条 本法自公布之日起施行。《中华人民共和国行政监察法》同时废止。
中华人民共和国民营经济促进法
（2025年4月30日第十四届全国人民代表大会常务委员会第十五次会议通过）
目 录
第一章 总 则
第二章 公平竞争
第三章 投资融资促进
第四章 科技创新
第五章 规范经营
第六章 服务保障
第七章 权益保护
第八章 法律责任
第九章 附 则
第一章 总 则
第一条 为优化民营经济发展环境，保证各类经济组织公平参与市场竞争，促进民营经济健康发展和民营经济人士健康成长，构建高水平社会主义市场经济体制，发挥民营经济在国民经济和社会发展中的重要作用，根据宪法，制定本法。
第二条 促进民营经济发展工作坚持中国共产党的领导，坚持以人民为中心，坚持中国特色社会主义制度，确保民营经济发展的正确政治方向。
国家坚持和完善公有制为主体、多种所有制经济共同发展，按劳分配为主体、多种分配方式并存，社会主义市场经济体制等社会主义基本经济制度；毫不动摇巩固和发展公有制经济，毫不动摇鼓励、支持、引导非公有制经济发展；充分发挥市场在资源配置中的决定性作用，更好发挥政府作用。
第三条 民营经济是社会主义市场经济的重要组成部分，是推进中国式现代化的生力军，是高质量发展的重要基础，是推动我国全面建成社会主义现代化强国、实现中华民族伟大复兴的重要力量。促进民营经济持续、健康、高质量发展，是国家长期坚持的重大方针政策。
国家坚持依法鼓励、支持、引导民营经济发展，更好发挥法治固根本、稳预期、利长远的保障作用。
国家坚持平等对待、公平竞争、同等保护、共同发展的原则，促进民营经济发展壮大。民营经济组织与其他各类经济组织享有平等的法律地位、市场机会和发展权利。
第四条 国务院和县级以上地方人民政府将促进民营经济发展工作纳入国民经济和社会发展规划，建立促进民营经济发展工作协调机制，制定完善政策措施，协调解决民营经济发展中的重大问题。
国务院发展改革部门负责统筹协调促进民营经济发展工作。国务院其他有关部门在各自职责范围内，负责促进民营经济发展相关工作。
县级以上地方人民政府有关部门依照法律法规和本级人民政府确定的职责分工，开展促进民营经济发展工作。
第五条 民营经济组织及其经营者应当拥护中国共产党的领导，坚持中国特色社会主义制度，积极投身社会主义现代化强国建设。
国家加强民营经济组织经营者队伍建设，加强思想政治引领，发挥其在经济社会发展中的重要作用；培育和弘扬企业家精神，引导民营经济组织经营者践行社会主义核心价值观，爱国敬业、守法经营、创业创新、回报社会，坚定做中国特色社会主义的建设者、中国式现代化的促进者。
第六条 民营经济组织及其经营者从事生产经营活动，应当遵守法律法规，遵守社会公德、商业道德，诚实守信、公平竞争，履行社会责任，保障劳动者合法权益，维护国家利益和社会公共利益，接受政府和社会监督。
第七条 工商业联合会发挥在促进民营经济健康发展和民营经济人士健康成长中的重要作用，加强民营经济组织经营者思想政治建设，引导民营经济组织依法经营，提高服务民营经济水平。
第八条 加强对民营经济组织及其经营者创新创造等先进事迹的宣传报道，支持民营经济组织及其经营者参与评选表彰，引导形成尊重劳动、尊重创造、尊重企业家的社会环境，营造全社会关心、支持、促进民营经济发展的氛围。
第九条 国家建立健全民营经济统计制度，对民营经济发展情况进行统计分析，定期发布有关信息。
第二章 公平竞争
第十条 国家实行全国统一的市场准入负面清单制度。市场准入负面清单以外的领域，包括民营经济组织在内的各类经济组织可以依法平等进入。
第十一条 各级人民政府及其有关部门落实公平竞争审查制度，制定涉及经营主体生产经营活动的政策措施应当经过公平竞争审查，并定期评估，及时清理、废除含有妨碍全国统一市场和公平竞争内容的政策措施，保障民营经济组织公平参与市场竞争。
市场监督管理部门负责受理对违反公平竞争审查制度政策措施的举报，并依法处理。
第十二条 国家保障民营经济组织依法平等使用资金、技术、人力资源、数据、土地及其他自然资源等各类生产要素和公共服务资源，依法平等适用国家支持发展的政策。
第十三条 各级人民政府及其有关部门依照法定权限，在制定、实施政府资金安排、土地供应、排污指标、公共数据开放、资质许可、标准制定、项目申报、职称评定、评优评先、人力资源等方面的政策措施时，平等对待民营经济组织。
第十四条 公共资源交易活动应当公开透明、公平公正，依法平等对待包括民营经济组织在内的各类经济组织。
除法律另有规定外，招标投标、政府采购等公共资源交易不得有限制或者排斥民营经济组织的行为。
第十五条 反垄断和反不正当竞争执法机构按照职责权限，预防和制止市场经济活动中的垄断、不正当竞争行为，对滥用行政权力排除、限制竞争的行为依法处理，为民营经济组织提供良好的市场环境。
－1－
－6－
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Chinese
|
8k
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T5. Attribution & Citation Alignment
|
T5.1 Full-Sentence Citation Alignment
|
Full
|
对下列摘要中的每一句话，标注来自原文的最小充分出处（章节号.条款号，如1.1表示第一章第一条）。先输出“[答案]”标识符，再以“句号 出处”的格式按行输出每句话的出处，若一句话有多个出处，则输出多行，每个出处占一行，不要输出任何其他内容。
摘要句子：
1. 监察机关对公务员及参照公务员法管理的人员、受委托管理公共事务的组织中从事公务的人员、国有企业管理人员等六类公职人员和有关人员进行监察，行使监督、调查职权时有权了解情况和收集调取证据，有关单位和个人需如实提供且不得伪造、隐匿或毁灭证据，监察机关及其工作人员应对知悉的秘密和隐私等保密；被调查人涉嫌严重职务违法或犯罪且符合特定情形的，经审批可采取责令候查措施，被责令候查人员需遵守不得擅自离开居住地等规定，违反且情节严重的可被留置。
2. 各级监察委员会是行使国家监察职能的专责机关，对所有行使公权力的公职人员进行监察，调查职务违法和职务犯罪，开展廉政建设和反腐败工作，维护宪法和法律尊严，履行监督、调查、处置职责；国家监察委员会由全国人大产生，负责全国监察工作，由主任（全国人大选举）、副主任和委员（主任提请全国人大常委会任免）组成，主任每届任期与全国人大相同且连续任职不超两届，对全国人大及其常委会负责并接受监督。
3. 监察机关在调查过程中可调取、查封、扣押相关财物、文件和电子数据等信息（需按规定收集原物原件、登记开列清单并妥善保管，与案件无关的应在三日内解除并退还），也可直接或指派、聘请专业人员在调查人员主持下进行勘验检查及必要的调查实验，相关情况需制作笔录并由参与人员和见证人签名或盖章。
4. 监察机关对职务违法和职务犯罪案件应开展调查以收集证据、查明事实并形成完整证据链，调查需依法文明规范，严禁非法收集证据及侵害被调查人、涉案人员权益，应保护企业产权和经营自主权，采取讯问、搜查等调查措施需按规定出示证件、出具通知、由二人以上进行并形成书面材料，讯问及重要取证工作应全程录音录像留存备查。
5. 被调查人及其近亲属、利害关系人对监察机关及其工作人员的六种违法侵权行为可申诉，受理机关应在一个月内处理，申诉人不服可向上一级申请复查，上一级需在二个月内处理并纠正属实情况；调查结束后若存在立案依据问题、处置失误或监察人员严重违法，需追究相关人员责任。
输出示例：
[答案]
1 2.7
1 5.11
1 6.4
2 5.42
2 5.45
3 1.2
4 2.10
5 2.9
|
对下列摘要中的每一句话，标注来自原文的最小充分出处（章节号.条款号，如1.1表示第一章第一条）。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再以“句号 出处”的格式按行输出每句话的出处，若一句话有多个出处，则输出多行，每个出处占一行，不要输出任何其他内容。
摘要句子：
1. 监察机关对公务员及参照公务员法管理的人员、受委托管理公共事务的组织中从事公务的人员、国有企业管理人员等六类公职人员和有关人员进行监察，行使监督、调查职权时有权了解情况和收集调取证据，有关单位和个人需如实提供且不得伪造、隐匿或毁灭证据，监察机关及其工作人员应对知悉的秘密和隐私等保密；被调查人涉嫌严重职务违法或犯罪且符合特定情形的，经审批可采取责令候查措施，被责令候查人员需遵守不得擅自离开居住地等规定，违反且情节严重的可被留置。
2. 各级监察委员会是行使国家监察职能的专责机关，对所有行使公权力的公职人员进行监察，调查职务违法和职务犯罪，开展廉政建设和反腐败工作，维护宪法和法律尊严，履行监督、调查、处置职责；国家监察委员会由全国人大产生，负责全国监察工作，由主任（全国人大选举）、副主任和委员（主任提请全国人大常委会任免）组成，主任每届任期与全国人大相同且连续任职不超两届，对全国人大及其常委会负责并接受监督。
3. 监察机关在调查过程中可调取、查封、扣押相关财物、文件和电子数据等信息（需按规定收集原物原件、登记开列清单并妥善保管，与案件无关的应在三日内解除并退还），也可直接或指派、聘请专业人员在调查人员主持下进行勘验检查及必要的调查实验，相关情况需制作笔录并由参与人员和见证人签名或盖章。
4. 监察机关对职务违法和职务犯罪案件应开展调查以收集证据、查明事实并形成完整证据链，调查需依法文明规范，严禁非法收集证据及侵害被调查人、涉案人员权益，应保护企业产权和经营自主权，采取讯问、搜查等调查措施需按规定出示证件、出具通知、由二人以上进行并形成书面材料，讯问及重要取证工作应全程录音录像留存备查。
5. 被调查人及其近亲属、利害关系人对监察机关及其工作人员的六种违法侵权行为可申诉，受理机关应在一个月内处理，申诉人不服可向上一级申请复查，上一级需在二个月内处理并纠正属实情况；调查结束后若存在立案依据问题、处置失误或监察人员严重违法，需追究相关人员责任。
输出示例：
<你的思考过程>
[答案]
1 2.7
1 5.11
1 6.4
2 5.42
2 5.45
3 1.2
4 2.10
5 2.9
|
[
"1 3.15",
"1 4.18",
"1 4.23",
"2 1.3",
"2 2.11",
"2 2.8",
"3 4.28",
"3 4.29",
"4 5.43",
"4 5.44",
"5 7.69",
"5 7.70"
] |
Moderate
|
e19be3223b9b7640c1bcbec11a0a9f80d7ab6543c13fe58147fbd8ab9fc0757b
|
《山西文学》2025年第8期 | 唐晋：风与风琴（长篇小说 节选）
分享到：
来源：《山西文学》2025年第8期 | 唐晋 2025年08月13日08:12
唐晋，1966年生。著有长篇小说 《夏天的禁忌》《宋词的覆灭》《玄奘》《鲛人》《鲛典》《唐朝》；中篇小说集《天文学者的爱情》《王昭君》《郦道元》；短篇小说集《聊斋时代》《景耀》；诗集 《隔绝与持续》《月壤》《金樽》《侏儒纪》；散文集 《飞鸟时代》 《遥忆美人湘江水》《南方风物考》；文化专著《红门巨宅——王家大院》 《二十四院的风度》 《太山寺考》《果子狸考》《将门金声——李谦溥父子的传奇人生》；评论集《当代山西诗歌百读》《对话：惊蛰山西诗人作品专号》《声带的自由》；长篇儿童文学作品《海的奇迹》《国保惊天（三部曲）》《琼克的大钟》《飞越沧海的蝴蝶》《风与风琴》《暮枣园的耳语者》等。
第一章 梅先生和风琴
情节一
在风琴体重达到九斤的这一天黄昏，闭馆时间之后，大楼里顿然安静下来，可以听到远天海鸥争食的喧哗。梅先生开始对展厅进行最后的巡视，他做出了一个决定。
小猫迈进展厅时，其实是犹疑不定的。这是一个比办公室大得很多的陌生地界，有着昏暗的光线，照在各种奇奇怪怪的物品上面。它停在门口，仰起头，仔细嗅着空气中的味道。这种复杂的味道让它无法迅速作出决定。
“喵噢呜——”
梅先生第一次听到风琴发出如此曲折的长音。他停下脚步，回头看了看它。
“我真的不想进去。”
风琴嘟囔着，端坐在原地，两眼望着地面上梅先生的倒影。
梅先生一定没有听懂小猫的意思。他弯下腰，将风琴抱在怀中。
“来吧，让爷爷给你介绍介绍这些比爷爷都老很多的化石。”
对于小猫来说，这一定不是它探索新地盘、新事物的方式，或者说，不是最好的方式。比如，“我可以先从楼道开始”，小猫在梅先生怀里这样想。
梅先生对这座博物馆简直太熟悉了。因为旧式建筑的缘故，四层小楼的空间其实很局促，即使在作为博物馆之前进行过一定程度的改造。当然，藏品也不算多，但是并不缺乏精品。这也是小小海滨城市里的一块招牌了。
风琴来到的是一间最大的展厅，位于小楼顶层。改造的时候，工程师们将上方的楼板拆除，换成跨度很大的钢化玻璃幕顶，使得整个展厅在白天非常敞亮。并且，高处的云朵会带着那些动物骨骼们向前奔跑。
这间展厅的主要藏品有两件。一件是悬置在玻璃柜中的腔棘鱼标本，这是这座自然博物馆名声在外的一个重要原因。作为世界上最古老的鱼类，被公认为见证恐龙时代的活化石，一度被认为早已灭绝。即使现在时有活体发现，但也特别罕见。
“它可以活上一百岁呢，非常了不起。”
梅先生对怀里的风琴说。
“这可不是食物。”
他特别补充了一句。
小猫的注意力并不在腔棘鱼上。它仰面朝天地望着玻璃幕顶之外那些沐浴着晚霞之光的飞鸟若有所思。
另一件可是一个大家伙，那是足足有22米长的蓝鲸骨架，十分完整。它是一个南半球国家友好城市往来的礼物，被悬吊在半空，占据了大半个展厅。
“这可是很难得啊，要知道，世界上最大的蓝鲸骨架，也只比这个长三米。”
梅先生的目光扫过蓝鲸整齐的肋骨，那就像又一种琴键。
情节二
梅先生醒了。
也不知道是被梦的哪一部分唤醒的。迷迷糊糊中，梅先生眼前的房间轮廓逐渐变得清晰起来。哦，书桌，堆满了资料的书桌一角。还有另一角，铸铜外壳的大地球仪在暗处微微发出一些反光。书柜显然更黑一点儿，恐怕只有梅先生自己才能弄清楚每一本书的位置。
不，不，一定不是那些书把我叫醒的。
梅先生用双手搓了搓脸。他隐隐约约觉着，好像是听到了窗户玻璃发出的声响，轻轻的那么几下，仿佛海鸟的喙在啄。不会是有人在叩击，因为这是在三楼。
梅先生打了个呵欠。也不能排除玻璃自己的恶作剧。因为谁也说不清，分割了室内和室外的窗玻璃究竟藏着什么好想法，虽然看上去，它们坦坦荡荡，一览无余，有什么问题都是外面景色造成的。
当然，有时候梅先生正在书桌那里专注地研究某些事情，忽然窗玻璃就会发出急促沉闷的一声，似乎要提醒他看看外面——现在，梅先生决定要去看看外面了，他的双脚十分准确地找到了拖鞋，他的右手也迅速找到了窗帘的操控按钮。
哗——随着厚重的窗帘缓慢地散向两边，窗外的事物连同凉凉的气息一下子扑面而来。此时还属于黑夜，近处的城市景观依然看不清楚，但远方的天边已经出现了曙暮光。海边的岬角开始被映亮，青灰色的云层开始拉开彼此间的距离。
梅先生把目光转向左侧的钟楼。借助钟楼周边仰射的景观灯，他很容易便看清了时针和分钟的位置。哦，已经四时四十五分了。
梅先生所在的大楼，连同那座钟楼，是这座城市古老海关的遗迹。一百多年过去，曾经十分热闹的海关一条街变得异常安静。这里被划为城市的文物保护区，大楼有了全新的用途，成为城市的自然博物馆。梅先生就是第一任馆长。
人一旦上了岁数，睡的觉就少了。梅先生索性不再关上窗帘，他脑中一项一项列出新的一天将要做的事情，自然就忘了窗玻璃发出响声这么一回事。毕竟这是一个海滨城市，窗外落满了海鸥的粪便。
（你确信，从来就没有过哪怕一只梦游的海鸥吗？）
梅先生最后再看了一眼钟楼，好像那里有他的一位老朋友似的。他下意识地点点头，自言自语地说：“唔，不可以看老钟表，时间都让它们给拖坏了。”
的确，都过了这么一阵子了，时针和分针的位置一点儿也没变，还是四时四十五分！
情节三
啊，一只小猫咪！
“一只小猫！一只小猫！天呐，竟然是一只小猫！”
这下子梅先生激动得不知该如何是好。他非常小心地把小猫放到手掌心里，捧到眼前仔细地瞧啊瞧——这是一只多么漂亮的小猫！它看上去差不多有两个月大，从头到脚，都是美丽的虎斑花纹，灰白相间。一条紧紧卷着的尾巴，梅先生数了数，上面居然有十一道环纹！
这可真是一次珍贵的赐予！
梅先生第一次如此近距离地接触小猫，虽然有时候他也投喂那些街头的流浪猫，但毕竟隔得比较远。
现在，小猫张着圆圆的大眼睛打量着他，粉嫩的小鼻子一吸一吸的，似乎要把他的气味牢牢记住。
“小猫，小猫，一只小小的……猫。”梅先生抱着小猫在书桌边走来走去，一时不知该做什么。
对，对对对，先要吃饭。梅先生很是认可自己的这个想法。他在办公室里翻腾了一阵，找出来一只玻璃烟灰缸。梅先生并不抽烟，这只为来客准备的烟灰缸事实上也没有用过几次。他用纸巾把烟灰缸擦了又擦，又从书柜里拿出一瓶酸奶——没办法，手边当下能找到的食品也就这个。他把酸奶往烟灰缸中倒了一些，然后连同小猫一起放到书桌上。
看啊，它吃着呢！
梅先生不禁点点头。不错，这是一个好的开始。
忽然想起了什么，梅先生再次返回到手风琴外壳那里，眯起眼睛在每个缝隙里寻找。果然，他发现了一个折起来的纸条。
纸条展开来，上面比较潦草地写着几行字，梅先生努力辨认了半天，总算看明白了。
“这里有一只小猫送给您，尊敬的梅先生。它是在一个废弃了好多年的音乐厅走廊里发现的，可能，它的妈妈离开了，也许还有它的兄弟姐妹。我见到时，唯独剩下它了，蜷缩在这个手风琴壳子里。我想，您会喜欢它的。再说，您有一个博物馆，它或许可以帮助您阻止老鼠们的破坏。您的朋友。”
现在，小猫的来历清楚了，可是，这位神秘的朋友又是谁呢?
“喵 ——”
梅先生回过头去。小猫已经吃饱了，它端端正正地坐在那里，认真看着梅先生。
梅先生暂时不去想这件事。他环顾四周，打算给小猫找一个窝，反正不能再放进手风琴壳子里了，原因很简单，小猫会长得很快。
“那么，就用这个纸箱怎么样？”
梅先生对着小猫自语道。
看上去，垫了厚厚一层报纸的纸箱简直太合适了，小猫显然非常满意。它在纸箱里转了几圈，然后卧下来，尾巴盖着脸，呼呼呼地睡着了。
看着小猫起伏的肚子，梅先生惬意地笑了。
“唔，它应该有个名字。唔，那么就叫……风琴好了。”
情节四
也许是上午八时，也许是八时半，反正是梅先生最忙的时候，门铃丁零当啷地响了起来。因为是古旧的建筑，因此梅先生从旧货市场找来一只硕大的铜铃铛，当做自然博物馆的门铃。门铃上浮雕着一些图案，只是看不太清楚了。曾经有懂得的人指着它说，它的年龄要比这座楼大多了，原本是安装在某座古塔的塔檐一角上，被风一吹，远远近近都能听到。
梅先生自然是听到了。然而铜铃铛似乎担心他年龄大了，耳朵不好使，于是开始不停地摇晃，越响越急。
丁零当啷。丁零当啷丁零当啷。丁零当啷丁零当啷丁零当啷……
“来了来了！”梅先生无奈地丢下手中的笔，摘下老花镜，扶着楼梯栏杆下了楼，一路小跑着赶过来。
今天是博物馆的休息日，梅先生印象里也没有人预约要来参观。那么，什么人，什么事，怎么会如此着急？
沉重的铸铁大门对一个人来说，想要拉开它一定要用很大力气。还好，梅先生还不到六十岁，年轻时喜欢运动的好习惯让他的身体一直都很健壮。
门开了。阳光和风一股脑儿地拥抱着梅先生，他都快要喘不过气来了。天空中慢慢飘散着海鸟的绒毛，海水的气息钻进他的鼻孔，他就像在海里面游泳那样把上半身探出去。
咦？
门口没有一个人影。梅先生左左右右遥望了好半天，最后，他狐疑地盯着高处的铜铃铛。奇怪，此时的铜铃铛安静地就像楼里面展柜中的那些动物化石。
已经很久很久没有调皮的孩子在这里捣乱了。
梅先生摇摇头，准备返回。忽然，他瞥见门口的台阶上端端正正地放着一个纸箱。他俯下身去看，纸箱上面用马克笔写着一行大字：
“这件礼物送给我的朋友梅先生。”
情节五
接下来的日子里，梅先生越来越觉得“风琴”这个名字起得十分准确。每当他抱着小猫，抚摸它的头，挠它的脖颈和下巴时，都会听到小猫喉咙里发出呼噜呼噜的声音。另外，小猫迈出的步子，总会令他想到手风琴键盘上飞舞着的人类手指。
到了傍晚时分，梅先生开始习惯了去鱼市的生活。即使价格已经非常便宜了，他还是耐心地左挑右拣，把自己认为最好的小鱼小虾心满意足地带回去。后来，梅先生发现小猫风琴特别喜欢吃紫菜，一边吃一边玩，把紫菜块当做球一样拨来踢去。
“它要的真是不多。”
大约三个月以后，风琴长大了不少。梅先生网购了一个绒布猫窝，然而大多数时间里，风琴待的地方却不是这儿，要么是窗台，要么是书桌，或者干脆躺在地板上。有时候，梅先生伏案工作，风琴会跑来，要求卧在梅先生双腿上面。如果装作没看见它，不一会儿，它就会像人一样站起来，用某一只前爪来碰碰你，提醒你注意到它在这里等待着呢。还有的时候，它会冷不丁地跃上书桌，把聚精会神的梅先生吓一大跳。它毫不顾忌地在书桌上走来走去，走过摊开的书页，走过打开的文件夹，走过电脑键盘，经常给文档上敲下一长串“66666666666666666”，或者“kkkkkkkkkkkkk”什么的。某一次风琴敲下的东西让梅先生百思不得其解，竟然会是——
“chiyu。”
博物馆开放的时间里，风琴总是被关在办公室内。梅先生担心它会走失，或者被人不小心踩着。每当别的工作人员说，风琴也该锻炼锻炼了，否则怎么对付老鼠。梅先生往往会笑着说，风琴还是个小猫，还是个孩子呢。
话虽然这么说，梅先生有时候也想，是不是应该带着风琴进到博物馆里，让它了解了解所处的环境呢？
情节六
风琴在梅先生怀里待不住了，它扭扭身子，刷地蹦到了地面。它的前爪向前探得很远，后爪微缩，尾巴高高扬起，十分舒畅地伸了个懒腰。然后，它原地坐下，开始认真地舔着自己的前爪。
梅先生任由风琴忙着。他仿佛第一次那样仔细观赏着蓝鲸的头骨。某种角度，它就像一只大鸟的巨喙。
“多么美的生物！”
梅先生下意识地摇摇头。不止一次，当他看着这具蓝鲸的骨架，脑海里总会浮现出它在海洋深处浮游和歌唱的情景。他似乎远远地看到了蓝鲸喷出的水柱。
风琴此时侧躺在光洁的地板上，望着梅先生，尾巴自如地摆动着。它并不知道这里意味着什么，那些标本骨架意味着什么，和自己又有什么关系。它好奇梅先生的表情。
“难道他不应该和我玩捉迷藏了吗？”
风琴在地面懒懒地“喵”了一声。
梅先生的思绪暂时停止了。他蹲下身子，轻柔地抚摸着风琴露出来的腹部。
“你知道吗小家伙，蓝鲸的拉丁物种名字是什么意思吗，呵呵，竟然会是‘小老鼠’！”
这么大的蓝鲸，那么小的老鼠，谁知道这是为什么？梅先生轻轻地揪揪风琴的两只耳朵。
“用不了多久，你就该和老鼠们打交道了。”
情节七
梅先生把纸箱端起来。纸箱不是很重，他很轻松地抱着它上了楼，走进自己的办公室，放到书桌上。拿着裁纸刀，梅先生想着两个问题：
礼物是谁送的？礼物是什么？
他举着裁纸刀，犹豫了很久。我们知道，梅先生是一位非常慎重的人，他一定要把事情想清楚。
梅先生想了些什么我们无法知道。终于，我们等到了谜底揭开的时候。
梅先生小心翼翼地用裁纸刀划开纸箱的包装，打开以后，一架陈旧的手风琴出现在里面。
为什么是手风琴？是谁、哪位朋友赠送我手风琴？自然博物馆并不收藏老乐器啊！
梅先生很纳闷地抚摸着手风琴。他注意到它的品牌：PIGINI。还有它的商标，就像一个竖起来的手机信号符，又像一个喊话筒。
这究竟是什么意思？盯着手风琴商标看了半天的梅先生心想，它要是真能说话倒好了。
就在这时，梅先生匪夷所思地听到手风琴发出了一个奇怪的声音：
“喵……”
梅先生愣住了。紧接着，手风琴再次发出这种声音：
“喵……”
怎么，像是小猫的叫声？梅先生把手风琴从纸箱里取了出来。手风琴比他预感的重量轻多了，感觉就是一个外壳似的。
梅先生判断得不错。眼前的手风琴的确只是一个空壳子，并且，也只是一部分。梅先生的手指顺着壳子边缘摸到一团棉花，当他把这一小团棉花掏出来后，里面立刻伸出一个毛茸茸的小脑袋来。
第二章 风琴认识了风。风琴闯了祸
这座旧式建筑距离今天的城市海岸线不足一公里，不知什么原因，它的下方依旧保留着过去的排水道。排水道有一个十多岁孩子的身高，涨潮的时候，海水会倒灌进来，建筑会有一些小小的震动。反而博物馆的污水并不从这里排掉。
这里是老鼠们的活动场所，也可以说是它们聚会的地方。从这里出发，老鼠们几乎占领了城市的每一处水沟，而不是我们习惯想到的垃圾站。这是因为城市里的流浪猫太多了，它们大多数是跟随船只从外地来到这里的。也许是遵从内心自由的因素，猫们只要下了船，绝不会再踏上船去，即使渔民水手们十分善待它们。
不知什么时候有了这样一种说法，就是人们总会在船上带一只猫，据说可以均衡船上的能量。事实上猫在船上往往都待不久，一旦靠近陆地，它们就毫不迟疑地从甲板和船舷上跳下来，一路把脚爪弄湿，然后消失在城市迷宫般的街巷里。
于是，垃圾站成为它们牢牢占据的地方。
至于这些猫里有没有风琴的家人，谁也不知道。风琴也从不去想这个问题。当然，它知道自己是一只猫，和梅先生完全不一样，这就足够了。
老鼠却不同。老鼠喜欢船只，喜欢潮乎乎、阴森森的底舱，喜欢水手们身上的味道。有些勇于冒险的家伙甚至会在众目睽睽下走上桅杆，或者走上操作仪器台。只是老鼠太多了，越来越多，仅仅依靠离开的船只根本减少不了它们的数量，而我们也知道，不少猫即使饿着肚子，也不会对老鼠产生兴趣。
大家都在改变。这是老鼠安托的口头禅。
安托是自然博物馆里的常客。它总是在半夜从排水道的某个孔洞爬上来，沿着管道进入房间，四处闲逛。
“只要沦落到骨头这个份上，大伙儿就都一样。”
安托就像一个哲学家一样，每次从博物馆出来，都要对它的同伙们发表自己的见解。博物馆内没有存放老鼠的骨骼，这一点令安托内心一直愤愤不平。
“大伙儿都一样了，他们还存在歧视！”
所以，“歧视”与“反对歧视”便成为老鼠们捣乱的借口。它们咬坏标本，到处留下粪便，让梅先生十分头疼。馆里也尝试过多种手段来制止老鼠们的破坏行为，效果并不明显。一段时间里，博物馆曾经雇用了几只流浪猫来守夜。事实上，猫在夜里很难安静地待在房间内，往往用不了几分钟，它们就消失在屋顶，和更多的猫打闹在一起。
不过从那以后，老鼠们确实来得少了。固然有猫的原因，但是“乏味”才是根本。安托有一次离开博物馆后，深深感到了内心的疲倦。
“毫无活力。毫无活力。大家都在改变，唯独这个地方，从来没有过变化。”
风琴端坐在窗台，凝视着下方的街道。
梅先生去展厅的时候，照例将风琴关在办公室中。小猫在书桌上打了一个上午的盹，现在，它需要看看外面的风景。
当当当……钟楼传出十一下敲击声，风琴将目光转到这里。它仰起头来，使劲嗅着空气。空气从它头顶上方斜开的窗户挤了进来，小猫顺势抬起右前爪洗了洗脸。
“你好啊，风……琴！”
小猫的耳边忽然响起一个声音。这让它吃了一惊。它左右看看，弄不明白声音是从哪里发出来的。
“谁？谁在说话？谁在那里？”
这时，小猫感觉到好像有一股风从自己的左脸颊绕到了右脸颊。
“嘿，别害怕，是我啊。我是风。”
风？小猫疑惑不解。“风？你是，你是……什么风？”
其实小猫想说的是“你是什么样子”，或者“我怎么看不见你”。
风呵呵呵地笑着。“什么什么风？就像猫有很多种，风也有很多种，像狂风啊，飓风啊，微风啊，长风啊，台风啊等等，我是最小最瘦的那一种，我叫和风。”
风琴忍不住举起右前爪在空中抓来抓去。
“你摸不到我的。喏，这样子……”
风琴瞪大了眼睛，看着自己肚子上的毛一圈一圈地散开、合拢，再散开、再合拢，就像一根无形的手指在那里快速地画着圆圈。
“看到了没有，这个就是我的样子。还有……”
风琴看到自己毛茸茸的尾巴忽然炸开，不禁跳了起来。
“喵喵！好了，不要在我身上玩了！”
风停止了。就好像从未出现过。小猫转过头去，使劲舔着身后的毛，它可是不喜欢自己乱乱的，乱成一团毛球。
“你长大了。”
“我？我长大了？你认识我吗？”
“认识？何止认识！如果不是我不停地吹响那个大铃铛，恐怕你会在纸箱子里给闷晕过去呢！哼，那个懒惰的快递员，丢下你就走了。”
小猫停了下来。“原来，那时候你就在啊！”
“是啊，现在知道了吧！我就住在钟楼上面，这里的一举一动都能看得到呢。本来我是想要玩一玩那个手风琴的，喏，谁知道那是个假东西……还好有你在里面。”
风一口气说了这么多，把小猫的胡子吹得一抖一抖的。
“讲真的哦，梅先生起的这个名字还真好听呢，风琴，风琴，咳！”
“可能是我住在手风琴里……”
“不过……你看上去是个男生哦，风琴这个名字应该不适合你。喏。你可以叫风雷、风暴，还有……风格！对，风格风格风格！”
“我就叫风琴。你的那些名字根本都不好听。”
“喏，别不高兴嘛！你晓得哦，城西高新区那边昨天新来了几只猫，里面有一只蛮厉害的啊，它的脸上有一块黑斑，你知道它叫什么，天呢，小玉米！”
风琴眯起了眼睛。小玉米也不错啊。它不太喜欢风的絮叨，于是张开嘴打了个呵欠。
“好的，我不跟你讲话了。我走了啊！记着，喏，如果你想找我，就在钟楼上。”
风琴垂着头低低“喵”了一声，算是知道了。
“还有还有……”
风琴已经重新趴在了书桌上。它抬起头，望着窗户那边。
“喏，风琴肯定比小玉米好听。”
夏天最热的时候到了。海边的空气十分沉闷，天空就像一大块吸饱了热水的大海绵。很少有风。风琴的情绪也低落起来，它总是不停地睡觉，偶尔爬起来喝一阵子水，吃几口小鱼。住在钟楼里的风一定也进入了休眠状态，小猫有好几天没有看到它了。
这个夜晚，远处意外地传来了轰隆隆的雷声，窗玻璃也逐渐变得凉了。风琴从书桌上爬起来，仰起头嗅了嗅，闻到了几丝不同于房间里的气息。它看着床上酣睡的梅先生，然后跳到了他的脚边。它来到梅先生的脸侧，用额头蹭了几下。梅先生下意识地把头转到了另一边，并没有醒来。风琴心里踏实多了，于是身子也转了一圈，卧在了那里。
没有多久，雨水落了下来。雨水打在窗玻璃上，发出细密又清脆的声音。风琴站起来，拱了拱背，接着跳上书桌，再跳到窗台下方。它用头挤开窗帘，目测好距离，然后跳到了窗台上。它满足地坐下，然而窗外什么也看不清。雨水打在玻璃上，激起浓浓的水花和白雾，而天色非常黑。
一阵闪电照过，映亮了钟楼的影子，但也只是瞬间。随即是长长的一串雷声。风琴不喜欢这种声音，所以迅速跳到地面，在房间里漫无目的地走着。它来到书柜前，伸出右前爪，试图打开下面的柜门，好让自己钻进去看个究竟。只是，柜门仅仅低沉地砰砰响了几下，并不为它敞开。它气恼地喵了一声，甩着尾巴走开。来到食盆这里，它看了看小鱼，也没有吃的欲望。它左右望望，又走到门前。门把手在一个很高的位置，它记得梅先生出门与这个把手有关。在它的经验中，门把手的高度要低于窗台的高度。
风琴扭头看了看梅先生。人类显然还在睡梦中。它不再犹豫，唰地一下子跳起，两只前爪挂在门把手上，将身体悬吊在半空中。
门开了。
风琴用最快的速度回到地面，远远地跑进楼道的黑暗深处。
这里显然是一个无比大的空间，有着曲折多变的区域，尤其是有着风琴特别喜欢的楼梯。并且，这里的空气充满了新鲜潮润的味道，里面还有鱼类的气息。
风琴三蹦两跳地便征服了通往顶层的楼梯。在雷雨的背景音下，楼道里异常寂静，偶尔闪电把窗户照亮，顺便照出小猫长长的影子。几乎每一处转角，它都要靠上去用身体蹭好半天，别提有多自在了。
这是我的世界。小猫将尾巴笔直地竖起来，像旗杆一样。
遗憾的是，并非小猫认为的那样。在这寂静的夜里，在如此自由自在的天地中，总会有别的生命和你一样感受，分享着隐秘和快乐。
经过某个展厅大门时，风琴忽然听到里面有十分细碎的话语声。
“耳朵还没有画圆。”
“还要长尾巴，尖尖的，比筷子还要细。”
“不对不对，它的脑袋还是太大了。”
“大家都在改变。唯独猫的脑袋不变。”
风琴想要知道谁在展厅里面。但是它进不去，展厅的门比书柜的门还要坚实，而且，没有门把手。
小猫将鼻子贴近地面嗅闻了一阵，没有获得有用的信息。显然，里面的说话者并不是从大门这里进去的。它抬头看看，在原地走了几个来回。
一定要弄清楚这件事。
沿着楼道，风琴小跑着，寻找着进入展厅的通道。终于，在展厅隔壁的卫生间门口，它闻到了一股比较强烈的奇怪味道。这种味道让它困惑了几秒钟，它觉得这一定是熟悉的味道，然而却又没有任何印象。
风琴走进了卫生间。那股味道并不停留在洁净的地板砖表面，而是在高处的金属管道一带。这难不住小猫。它先是跃上窗台，接着跳到卫生间隔板顶端，此时，它的头已经可以碰到管道了。风琴顺着管道看去，管道很快就钻入墙内，不过，上面的隔层里有一块板子不见了，露着一个正正方方的孔洞。它把前爪搭上去，探进头观察了一阵子，里面的空间足够大，只是有些脏。那股味道缭绕着，似乎挑衅着小猫——
上来啊，有本事你上来啊！
风琴稍稍用力，整个身子已经进入了隔层。它抖了抖身上的毛，又把两只前爪轮流舔了舔，然后转头看了一圈。它发现了第二个孔洞，就在不远处的墙壁上。这里是排风扇的位置，但是已经废弃很久了，陈旧的排风扇也没有了踪影。
“嘻嘻嘻嘻。”
“怎么样？”
“哪有五只爪子的猫啊。”
“大家都在改变。就是有。一定会有。”
“那也不能从背上长出来。”
“那也不是它的背。它只是一张画，而已。”
风琴从排风孔钻出来的时候，大家彼此都呆住了。
“呀……猫……”
风琴注意到有两只奇怪的生物蹲在一幅展示画前面。它并不认识它们是老鼠，但它却认识画面上的动物，和自己长得很相似的动物。老鼠们用不知从哪里捡来的油画棒在上面涂鸦，把画面弄得乱七八糟的。
风琴很快就来到了两只老鼠跟前。它用鼻子贴近比较大的那一只，那股味道显然是它们散发出来的。令人惊奇的是，老鼠并不表现出害怕，尤其是比较大的那一只。
“你，小猫，要干吗？请离我远一点儿。”
风琴不由自主地龇了龇牙。
“你们在这里干什么？你们是谁？”
“呵呵，我们当然是老鼠啊，难道你没见过老鼠？”
另一只老鼠低声劝着：“咱们走吧，它是猫呀！”
“别怕。要知道，大家都在改变。猫也不例外。”
老鼠？风琴从未见过老鼠。它试着探出一只前爪碰了碰大一点儿的那只老鼠。除了个头小，它们也有四肢，也有尾巴，也是一身毛。只是脸长一些。
风琴这一碰不要紧，两只老鼠立刻闭住了嘴。
大致了解过后，风琴开始环视这个展厅。高高低低的展柜里摆满了各种化石，梅先生没有带它来过。这里也看不到天空和飞鸟，明显暗多了。
这时，那个大一点儿的老鼠下决心开口了。
“嗯，认识一下，我叫安托。它叫安波，是我的弟弟。”
风琴回过头来，凝视着它们。
“我叫风琴，是从手风琴里来到这儿的。”
安托和安波迅速交流了一下眼神。
“嗯，你好可怜啊，看来也是一只被遗弃的猫咪。”
“遗弃是什么？”
“咳，就是不要了，就是把你丢得远远的。”安波抢着说。
安托狠狠地瞪了弟弟一眼。“它乱讲。小猫，遗弃嘛……其实就是说，你和你的家里人走散了，比如，你在手风琴里，它们要么在钢琴里，要么在小提琴里，最后演出结束，演员们各拿各的乐器，你们就这样走散了。”
“哦？”风琴想了半天，有些不解。“为什么我们会在乐器里？”
“为什么……”安托眼珠子一转。“这个很好解释，因为，因为你们都是乐器生出来的。”
安波睁大了眼睛：“乐器？”
“当然了，因为乐器嘛，总是要演奏音乐的嘛，人们不是也说，音乐会唤醒生命。”
安波相信它的哥哥一定是在胡说八道。它非常同情地看着小猫。
这个傻乎乎的家伙，怎么去混街道啊，又哪里会吃得开……
安托懂的东西确实不少。像眼前这幅画——
“风琴，这上面的猫是你的祖宗，不知道比你大了有多少多少岁。它是非洲野猫，很凶很凶的。不过，大家都在改变……”
风琴仔细看去，非洲野猫的耳朵被涂画成圆圆的一对，跟老鼠们的几乎一样，还有又细又长的尾巴。它找到了那只长在背上的第五个脚爪。
“咳咳，我哥哥画着玩儿呢。”
“大家都在改变，这是我的研究，过去的野猫一定会比今天的猫多出哪怕是一条腿、一只脚爪，甚至是一个脑袋。”
“瞎讲。多出一个脑袋，那两个脑袋还不互相咬啊！”
“为什么要互相咬？那么恶劣的时候，合作还不一定能活下来呢。至少要保证两个脑袋，一个白天睡觉，一个晚上睡觉。”
安波觉得哥哥的解释有点儿道理。这样，就不担心睡着的时候被别的猫一大口吃掉。
“那么，多出来的那只脚爪有什么用处呢？”
风琴开始佩服安托的博学了。
“多出来的嘛，当然有用了，有很大的用处！比方说，你正在那里走着，突然跳出来一只大猫，啊呜一口就咬住你的脖子。结果，它咬住的是你背上的第五只脚爪。然后，你就顺利地逃跑了，就活下来了。”
“哥哥你是说，它们的祖宗被别的猫咬掉了第五只脚爪，所以它们现在就只有四只脚爪了吗？”
“当然是。”
“可是，现在万一还有猫趁它们不注意去咬它们的脖子，那怎么办？”
“大家都在改变！当那些猫咬掉它们祖宗的第五只脚爪后，发现非常非常难吃，于是就再也不来咬它们的脖子了。”
风琴听着听着糊涂了，为什么会有猫来咬猫的脖子？
注意到风琴在沉思，安托眼珠子转了又转。
“安波，风琴，我们去玩游戏吧！”
在老鼠兄弟的带领下，风琴再次钻入展厅上方的隔层，从建筑方管一头跑到另一头。它们下到地面时，风琴看到了蓝鲸的骨架在黑暗天幕下暗淡的反光。
安托的游戏就是大家跳到蓝鲸的脊骨上荡秋千。它率先示范，显然这方面它是老手。只见它身体朝下抱紧某块脊骨上面的牵引绳，并且用牙也咬住，开始努力晃动。老鼠的力量固然有限，然而随着摆动的次数增多，奇迹出现了。这块脊骨和前后两块脊骨之间的距离逐渐拉开，安托真正游荡起来，同时也松开了两只前爪，朝着它们晃动。
“上来呀，快上来！”
安波很快抱住了另一根牵引绳。风琴也不示弱，纵身一跃，跳到了相邻的一块脊骨上。小猫的力量还是远远大于老鼠兄弟，没过多久，就像多米诺骨牌似的，那些脊骨连带着肋骨一排排地前后摆动起来。安托开心地大笑起来。
“飞啊，飞啊……”
安波随即唧唧喳喳地哼起了小曲。
看见老鼠兄弟十分开心，风琴也高兴极了。它闭着眼，任由身体游来荡去，感觉自己飘浮在空中，被风轻轻吹着，非常惬意。事实上它的感觉一点儿也没错，风此刻就伏在高处的玻璃幕顶上急促地敲击着：
“别闹了，快下去！风琴，快下去！”
但是玻璃幕顶的密封性太好了，小猫根本听不到。它在晃动中觉到了从未有过的舒适，它在这种舒适感里昏昏入睡。
突然，风琴的身体猛地一沉，几乎同时响起了巨大的震动声。它张开眼，蓝鲸骨架已经坍塌在地面，四处散落，而老鼠兄弟已经逃得不见踪影。
风琴在骨架中走着，左闻右闻。它抬头看看上方，并不明白自己闯下了大祸。
空中的风发出了悠长的叹息。
……
本文为节选部分，全文刊于《山西文学》2025年第8期，全书即将由希望出版社出版
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Chinese
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8k
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T2. Sequencing & Structure Reconstruction
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T2.2 Local Causal Chain Sorting
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Partial
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以上是一本长篇小说的多章内容，其中只有**第 一 章**被打乱为7个情节片段。其余章节语序完好，作为背景，可忽略。任务：仅重建第一章内部的情节顺序（因果/步骤链）。先输出“[答案]”标识符，再按行输出排序后的情节序号，不要输出任何其他内容。
输出示例：
[答案]
情节六
情节一
情节三
情节五
情节四
情节二
情节七
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以上是一本长篇小说的多章内容，其中只有**第 一 章**被打乱为7个情节片段。其余章节语序完好，作为背景，可忽略。任务：仅重建第一章内部的情节顺序（因果/步骤链）。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的情节序号。
输出示例：
<你的思考过程>
[答案]
情节六
情节一
情节三
情节五
情节四
情节二
情节七
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[
"情节二",
"情节四",
"情节七",
"情节三",
"情节五",
"情节一",
"情节六"
] |
Moderate
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66410e9c3948c4dab14e215bbb50ac158e6eb18ffffd834e4366f33d7551138c
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#A版 重庆市旅游条例
（1997年11月28日重庆市第一届人民代表大会常务委员会第五次会议通过 根据2004年6月28日重庆市第二届人民代表大会常务委员会第十次会议《关于取消部分地方性法规中行政许可项目的决定》第一次修正 2006年5月19日重庆市第二届人民代表大会常务委员会第二十四次会议第一次修订 根据2010年7月23日重庆市第三届人民代表大会常务委员会第十八次会议《关于修改部分地方性法规的决定》第二次修正 根据2014年9月25日重庆市第四届人民代表大会常务委员会第十三次会议《关于修改〈重庆市旅游条例〉的决定》第三次修正 2016年9月29日重庆市第四届人民代表大会常务委员会第二十八次会议第二次修订 根据2022年9月28日重庆市第五届人民代表大会常务委员会第三十七次会议《关于修改〈重庆市旅游条例〉等二十三件地方性法规的决定》第四次修正）
## 目录
第一章 总则
第二章 旅游发展与促进
第三章 旅游规划与资源保护
第四章 旅游者的权利和义务
第五章 旅游经营与服务
第六章 旅游安全
第七章 旅游监督管理
第八章 法律责任
第九章 附则
## 第一章 总则
第一条 为了保障旅游者和旅游经营者的合法权益，规范旅游市场秩序，保护和合理利用旅游资源，促进旅游业持续健康发展，根据《中华人民共和国旅游法》等法律、行政法规，结合本市实际，制定本条例。
第二条 在本市行政区域内和本市组织到市外的旅游活动、为旅游活动提供相关服务的经营活动以及相关监督管理活动，适用本条例。
第三条 旅游业发展应当遵循社会效益、经济效益和生态效益相统一的原则，倡导健康、文明、环保旅游。
第四条 市、区县（自治县）人民政府应当加强对旅游工作的组织和领导，将旅游业发展纳入国民经济和社会发展规划，建立旅游工作综合协调机制，协调解决旅游业发展、旅游形象推广、旅游公共服务和旅游市场综合监管的重大问题。
景区、旅游度假区、乡村旅游所在地的乡（镇）人民政府、街道办事处应当配合有关部门做好本辖区的旅游工作。
第五条 市、区县（自治县）旅游主管部门负责对本行政区域的旅游业发展和监督管理进行统筹协调，对旅游经营活动进行指导和监督。
有关部门依据各自职责，做好旅游业发展和监督管理的相关工作。
第六条 旅游行业组织应当实行自律管理，为会员提供服务，维护行业的合法权益和公平竞争秩序，接受旅游主管部门的指导和监督。
## 第二章 旅游发展与促进
第七条 市、区县（自治县）人民政府应当制定并组织实施有利于旅游业持续健康发展的产业政策和措施，改善旅游业发展环境，实现旅游业信息化，促进旅游业与相关产业融合发展。
市、区县（自治县）人民政府应当因地制宜，突出特色，推进全域旅游。
第八条 市、区县（自治县）人民政府应当根据旅游业发展的需要，在年度财政预算中安排旅游发展专项资金。
市、区县（自治县）人民政府应当对涉及旅游的道路交通、安全保障、环境卫生、供水供电、自然和文化遗产保护等配套设施的建设资金给予支持。
第九条 市、区县（自治县）人民政府鼓励社会资金投入旅游基础设施、配套设施建设和环境改造。
新建或者改造景区时，应当根据规划要求，完善景区的道路、通信、供电、供水、照明、餐饮、住宿、娱乐、购物、消防、安全、医疗、环卫、公厕、停车、电动汽车充电等设施、无障碍设施以及自驾车房车营地，提高景区的接待能力和服务质量。
第十条 市、区县（自治县）人民政府应当引导金融机构创新发展符合旅游业特点的信贷产品和模式，加大旅游业信贷支持力度。
鼓励和支持旅游企业按照国家有关规定面向资本市场融资，扩大旅游投融资渠道。鼓励和支持保险机构创新旅游保险产品和服务。
第十一条 市、区县（自治县）人民政府应当推进本行政区域旅游信息化建设。
旅游主管部门应当建立旅游统计、旅游信息收集和发布体系，准确及时提供旅游信息服务。
旅游主管部门应当在交通枢纽站、商业中心和旅游者集中场所为旅游经营者和旅游者无偿提供旅游公共信息和咨询服务，及时发布旅游高峰期主要景区的游客流量、游客限流措施、交通、气象、住宿等旅游信息。对境内外景区发生的自然灾害、流行性疾病或者其他可能危及旅游者人身财产安全的情况，旅游主管部门应当及时向旅游经营者和旅游者发布警示信息。
第十二条 本市实行旅游服务标准化管理。涉及人身财产安全的旅游服务活动，没有国家标准和行业标准的，市标准化主管部门会同旅游主管部门或者有关部门制定地方标准，并组织实施。
旅游经营者提供的产品、服务和设施，应当符合法律、法规规定和强制性标准要求。
鼓励旅游经营者制定严于国家标准、行业标准和地方标准的企业标准。
第十三条 旅游主管部门应当组织本行政区域的旅游形象宣传和重大旅游促进活动。
第十四条 鼓励教育机构与旅游企业合作，发展重点特色专业，设立培训基地，培养和引进旅游人才。
旅游主管部门和有关部门应当加强对旅游经营者和从业人员职业素养培训，组织开展旅游服务规范、标准、技能的培训，提高旅游服务质量。
第十五条 鼓励旅游经营者依托本市社会资源开发旅游产品，创新文化旅游、温泉旅游、邮轮旅游、会展旅游、体育旅游、乡村旅游、研学旅游、自驾旅游、健康旅游、工业旅游和都市旅游等旅游产品，实现旅游业与相关产业融合发展。
鼓励利用有关专业会议和会展、博览交易、科技交流、体育赛事、文艺演出、民族节庆、民族民间文化等活动，开展旅游宣传营销，促进旅游业的发展。
第十六条 鼓励利用自然资源、民风民俗等，开发乡村和农业观光等旅游项目，推进乡村旅游发展。
旅游主管部门及有关部门应当推动乡村旅游规范化、特色化发展，支持村民自治组织、农村集体经济组织等参与发展本地特色旅游。
旅游资源所在地的居民和农村集体经济组织可以采用入股、租赁、合作等方式参与所在地旅游资源的开发和经营。
第十七条 鼓励和支持依法对温泉资源的保护、开发和利用，发展温泉养生、休闲、度假、医疗等旅游项目。
第十八条 鼓励旅游经营者建立旅游电子商务平台，为旅游者提供交通、住宿、餐饮、游览、购物、娱乐等网络信息查询、预订和支付等服务。
有条件的景区应当提供免费无线网络接入服务。
第十九条 鼓励单位和个人根据本市旅游资源的特点和市场需要，研究开发、升级换代、推广销售具有本地特色的旅游商品，加强知识产权保护，培育体现地方特色的旅游商品品牌。
## 第三章 旅游规划与资源保护
第二十条 市、区县（自治县）人民政府应当按照国民经济和社会发展规划的要求组织编制旅游发展规划。旅游发展规划应当与土地利用总体规划、城乡规划、环境保护规划以及其他自然资源和文物等人文资源的保护和利用规划相互衔接。
市、区县（自治县）人民政府根据旅游发展规划应当编制重点旅游资源开发利用的专项规划。
第二十一条 区县（自治县）人民政府编制旅游发展规划应当征求市旅游主管部门的意见，必要时可以举行公开听证。
对跨区县（自治县）且适宜进行整体利用的旅游资源进行利用时，应当由市人民政府组织编制或者由区县（自治县）人民政府协商编制统一的旅游发展规划。
第二十二条 任何单位和个人不得擅自改变旅游发展规划和专项规划；确需修改的，应当按照原编制程序进行。
第二十三条 市、区县（自治县）人民政府应当根据土地利用总体规划，结合旅游发展规划，合理预留旅游建设用地。对全市重点旅游项目建设用地予以优先保障。
第二十四条 旅游资源的开发和旅游项目、旅游设施的新建、改建和扩建，应当符合旅游发展规划和专项规划，并按照基本建设程序的有关规定办理审批、核准或者备案手续。有关部门在审批、核准时应当征求旅游主管部门的意见。
第二十五条 开发旅游资源和建设旅游设施，应当依法进行环境影响评价，制定旅游资源开发保护和治理修复方案，实现可持续发展。
利用自然保护区以及森林、湿地等自然资源开发的旅游项目、风景名胜区及其规划确定的外围保护地带内的各项建设项目，应当加强对自然资源和生物多样性的保护，不得破坏生态、污染环境、毁损景观、妨碍游览。
鼓励旅游经营者使用新能源、新材料、新技术，开发生态旅游产品，实现低碳、环保旅游。
第二十六条 利用民族文化资源、历史文化风貌区、优秀历史建筑以及其他历史人文资源开发旅游项目，应当保持其特有的民族特色、传统格局和历史风貌，不得擅自改建、迁移、拆除。
第二十七条 旅游主管部门应当会同有关部门定期对本行政区域内的旅游资源进行普查、评估，建立旅游资源档案和旅游项目库，为投资者提供信息和服务。
第二十八条 国有旅游资源可以实行特许经营权制度。
国有旅游资源经营权依法出让的，应当遵循公开、公平和公正的原则，通过拍卖、招标等方式进行，并签订特许经营协议。特许经营协议应当包括开发时限、经营期限、经营区域、经营范围、双方的权利义务、违约责任和争议解决方式等内容。
旅游经营者在经营期内违反旅游发展规划或者专项规划，造成旅游资源严重破坏的，依法收回国有旅游资源经营权。
## 第四章 旅游者的权利和义务
第二十九条 旅游者的人身健康、财产安全和个人信息受法律保护，任何单位和个人不得侵犯。
旅游者应当履行法定和约定义务，遵守社会公德和旅游文明行为规范。
第三十条 旅游者对旅游经营者的资质、相关旅游产品和服务及价格等享有真实、完整的知情权，有权对旅游经营者及其从业人员的违法行为或者未按约定提供产品和服务进行举报、投诉。
第三十一条 残疾人、老年人、未成年人、现役军人、烈属、革命伤残军人、军队离退休干部、全日制学校学生等特定旅游者，在旅游活动中依照法律、法规和本市有关规定，享受门票和相关服务费用减免等便利和优惠。
第三十二条 旅游者应当文明旅游，不得实施不文明行为。
旅游者应当自觉遵守国家和本市有关安全规定。参加高风险旅游项目的，应当遵守旅游经营者的安全制度和操作规程。
旅游者对有关部门、机构或者旅游经营者采取的安全防范和应急处置措施，应当予以配合。
## 第五章 旅游经营与服务
第三十三条 从事旅游经营活动的单位或者个人，应当依法取得营业执照；法律、法规规定需经旅游主管部门或者有关部门许可的，应当取得相应的经营许可。
从事旅游服务的交通工具和营运线路应当取得交通主管部门的客运经营许可。
第三十四条 旅游经营者应当遵守法律、法规，遵守自愿、平等、公平、诚信的原则和职业道德。
旅游经营者应当公开服务项目、内容和收费标准。
旅游经营者应当依法接受旅游主管部门或者有关部门的监督管理，依法及时准确地向旅游主管部门或者有关部门报送有关旅游信息。
第三十五条 旅游经营者不得有下列行为：
（一）超越核定范围经营旅游业务；
（二）对旅游服务信息、服务范围、产品内容和标准等作虚假宣传；
（三）强买强卖，或者销售假冒伪劣的旅游商品；
（四）违反法律、法规或者强制性标准规定提供服务；
（五）使用未取得旅游服务品质等级称谓或者标志进行经营活动；
（六）租用未取得客运经营许可的交通工具；
（七）组织或者提供违反法律法规和社会公德的服务项目或者活动；
（八）擅自泄露或者公开旅游者个人信息；
（九）其他侵害旅游者合法权益的行为。
第三十六条 旅行社组织旅游活动，应当与旅游者签订书面旅游合同。国家和本市已经制定旅游合同示范文本的，应当优先使用旅游合同示范文本。
旅游者与旅行社协商一致，可以在合同中约定下列事项：
（一）因航空、铁路、船舶等交通运营的延误、取消等原因影响行程的处理；
（二）因不可抗力影响旅游合同履行的处理；
（三）需要约定的其他事项。
第三十七条 旅行社不得以不合理的低价组织旅游活动，诱骗旅游者，不得通过安排购物或者另行付费旅游项目获取回扣等不正当利益。旅行社组织、接待旅游者，不得指定具体购物场所，不得安排另行付费旅游项目，但是，经双方协商一致或者旅游者要求的除外。
旅行社与旅游者在书面合同中约定安排购物和另行付费旅游项目的，应当以显著的方式明示；未事先约定但旅游者要求安排的，旅行社应当与旅游者协商一致，并签订补充协议后，方可安排。
安排购物场所和另行付费旅游项目的，应当遵守下列规定：
（一）不得影响其他旅游者行程安排；
（二）事先向旅游者明示约定的购物场所、另行付费的旅游项目的基本信息，同时告知可能存在的风险；
（三）不得向旅游者指定或者推荐未向社会其他公众开放经营的购物场所、另行付费的旅游项目。
旅游者在与旅行社约定的购物场所购买到假冒伪劣商品或者失效、变质商品的，旅游者可以要求旅行社负责退（换）商品或者先行赔偿；旅行社赔偿后，有权向旅游商品的经营者追偿。
第三十八条 旅行社将已经订立的旅游合同委托其他旅行社履行的，应当征得旅游者的书面同意；旅游者不同意的，应当返还旅游者预付的旅游费用；给旅游者造成损失的，应当按照合同约定予以赔偿。
受委托的旅行社履行旅游合同，服务内容和标准不得低于原约定的内容和标准。旅行社不得将不同游览行程、不同服务标准的游客合并同一团队接待。
第三十九条 旅行社因组织旅游活动与其他旅行社或者交通、住宿、餐饮、景区等经营者发生业务往来的，应当签订合同，约定双方权利义务。组织出境旅游的，应当按照国家有关规定选择相应资质的旅行社。
因其他旅行社或者交通、住宿、餐饮、景区等经营者的原因，致使合同不能履行或者不能完全履行，给旅游者造成损失的，按照合同约定赔偿。未约定的，由组团旅行社先行赔偿。
第四十条 旅行社委托其他旅行社代理销售包价旅游产品，或者接受其他旅行社的委托代理销售包价旅游产品，应当遵守下列规定：
（一）具有销售包价旅游产品的相应业务经营资质；
（二）签订书面委托代理合同，约定代理销售的内容和形式、代理费及其支付方式、违约责任、投诉受理机制、应急处置程序等内容；
（三）向旅游者明示委托代理关系。
代理社与旅游者订立包价旅游合同、收取旅游费用，应当在包价旅游合同中载明委托社、代理社的基本信息和代理销售的内容。
第四十一条 网络旅游经营者应当按照国家和本市有关规定向旅游者提供经营地址、联系方式、安全注意事项和风险提示及投诉受理渠道等信息；涉及由其他经营者实际提供服务的，应当在相关产品主页面的显著位置标明，并向旅游者提供该经营者的名称、经营地址、联系方式等信息。旅行社从事网络旅游经营的，应当书面告知其所在区县（自治县）旅游主管部门。
网络旅游经营者为旅游者提供的旅游服务信息应当真实、可靠，提供交通、住宿、餐饮、游览、娱乐等代订服务的，应当选择具有相应经营资质的经营者作为服务供应商。
网络旅游经营者应当与旅游者订立纸质或者电子形式的合同，收取旅游服务费或者其他相关费用的，应当提供纸质或者电子形式的发票。
第四十二条 通过网络经营包价旅游、代理销售包价旅游产品等旅行社业务的，应当依法取得旅行社业务经营许可，并在其网站主页的显著位置标明其业务经营许可证信息。
第四十三条 旅行社设立的分社和服务网点属于旅行社的分支机构。分社、服务网点的员工应当与旅行社订立书面劳动合同。
旅行社设立的分社不得超越旅行社的经营范围；旅行社业务经营许可不得以设立分社的形式转让。旅行社设立的服务网点业务范围仅限于向旅游者提供招徕、咨询。
旅行社不得以挂靠等形式设立分社和服务网点。旅行社分社和服务网点不得从事旅游法律、法规规定外的旅游经营活动。
第四十四条 旅行社应当按照国家有关规定交纳旅游服务质量保证金，用于旅游者权益损害赔偿和垫付旅游者人身安全遇有危险时紧急救助的费用。
旅行社服务质量保证金应当专款专用，任何单位和个人不得侵占、挪用。
第四十五条 市外旅行社在本市设立的办事机构应当向旅游主管部门备案，并接受监督管理。
第四十六条 景区经营者应当保持景区的环境整洁、美观，景区内及其主要出入口不得擅自摆摊设点。摊点服务人员不得强迫或者变相强迫旅游者购买商品、接受服务。
第四十七条 景区应当在醒目位置使用符合国家规定的中文和外国文字指示标志牌及公共信息图形符号。
旅游经营者应当按照国家和本市有关规定，设置无障碍设施、标志，收集和提供无障碍旅游信息，为残疾人旅游提供方便和照顾。
第四十八条 利用公共资源建设的景区门票价格及景区内交通运输服务价格实行政府定价或者政府指导价，严格控制价格上涨，不得通过增加另行收费项目等方式变相涨价。拟收费或者提高价格的，应当举行听证会，征求旅游者、经营者和有关方面的意见，论证其必要性、可行性。
景区提高门票价格应当提前六个月公布。
景区内设有收费旅游点或者旅游项目的，经营者应当分别设置单一门票和联票、套票，并同时向旅游者公示，由旅游者选购；不得强行向旅游者销售联票、套票，或者以有偿搭配其他产品、服务的方式售票。
第四十九条 旅游从业人员的合法权益受法律保护。
旅游从业人员应当依法取得相应从业资格。旅游从业人员不得超越资格等级进行宣传；未取得等级的，不得使用相应等级的标识和称谓。
导游、领队执业应当佩戴导游证、领队证、等级标识，携带委派旅行社的团队行程单。
配备专职讲解员的景区，不得拒绝随团导游的讲解服务。
第五十条 旅行社应当依照法律、法规的规定，与其聘用的导游、领队订立书面劳动合同，支付劳动报酬，并缴纳社会保险费。鼓励导游行业协会或者旅行社为导游、领队执业投保人身意外伤害保险。
旅行社临时聘用导游、领队为旅游者提供服务的，应当与导游、领队订立临时聘用合同，约定双方的权利义务，并及时支付包价旅游合同中载明的服务费用。
旅行社安排导游、领队为团队旅游提供服务的，不得要求导游、领队垫付或者向导游、领队收取任何费用。
#B版 重庆市旅游条例
（1997年11月28日重庆市第一届人民代表大会常务委员会第五次会议通过 根据2004年6月28日重庆市第二届人民代表大会常务委员会第十次会议《关于取消部分地方性法规中行政许可项目的决定》第一次修正 2006年5月19日重庆市第二届人民代表大会常务委员会第二十四次会议第一次修订 根据2010年7月23日重庆市第三届人民代表大会常务委员会第十八次会议《关于修改部分地方性法规的决定》第二次修正 根据2014年9月25日重庆市第四届人民代表大会常务委员会第十三次会议《关于修改〈重庆市旅游条例〉的决定》第三次修正 2016年9月29日重庆市第四届人民代表大会常务委员会第二十八次会议第二次修订 根据2022年9月28日重庆市第五届人民代表大会常务委员会第三十七次会议《关于修改〈重庆市旅游条例〉等二十三件地方性法规的决定》第四次修正）
## 目录
第一章 总则
第二章 旅游发展与促进
第三章 旅游规划与资源保护
第四章 旅游者的权利和义务
第五章 旅游经营与服务
第六章 旅游安全
第七章 旅游监督管理
第八章 法律责任
第九章 附则
## 第一章 总则
第一条 为了保障旅游者和旅游经营者的合法权益，规范旅游市场秩序，保护和合理利用旅游资源，促进旅游业持续健康发展，根据《中华人民共和国旅游法》等法律、行政法规，结合本市实际，制定本条例。
第二条 在本市行政区域内和本市组织到市外的旅游活动、为旅游活动提供相关服务的经营活动以及相关监督管理活动，适用本条例。
第三条 旅游业发展应当遵循社会效益、经济效益和生态效益相统一的原则，倡导健康、文明、环保旅游。
第四条 市、区县（自治县）人民政府应当加强对旅游工作的组织和领导，将旅游业发展纳入国民经济和社会发展规划，建立旅游工作综合协调机制，协调解决旅游业发展、旅游形象推广、旅游公共服务和旅游市场综合监管的重大问题。
景区、旅游度假区、乡村旅游所在地的乡（镇）人民政府、街道办事处应当配合有关部门做好本辖区的旅游工作。
第五条 市、区县（自治县）旅游主管部门负责对本行政区域的旅游业发展和监督管理进行统筹协调，对旅游经营活动进行指导和监督。
有关部门依据各自职责，做好旅游业发展和监督管理的相关工作。
第六条 旅游行业组织应当实行自律管理，为会员提供服务，维护行业的合法权益和公平竞争秩序，接受旅游主管部门的指导和监督。
## 第二章 旅游发展与促进
第七条 市、区县（自治县）人民政府应当制定并组织实施有利于旅游业持续健康发展的产业政策和措施，改善旅游业发展环境，实现旅游业信息化，促进旅游业与相关产业融合发展。
市、区县（自治县）人民政府应当因地制宜，突出特色，推进全域旅游。
第八条 市、区县（自治县）人民政府应当根据旅游业发展的需要，在年度财政预算中安排旅游发展专项资金。
市、区县（自治县）人民政府应当对涉及旅游的道路交通、安全保障、环境卫生、供水供电、自然和文化遗产保护等配套设施的建设资金给予支持。
第九条 市、区县（自治县）人民政府鼓励社会资金投入旅游基础设施、配套设施建设和环境改造。
新建或者改造景区时，应当根据规划要求，完善景区的道路、通信、供电、供水、照明、餐饮、住宿、娱乐、购物、消防、安全、医疗、环卫、公厕、停车、电动汽车充电等设施、无障碍设施以及自驾车房车营地，提高景区的接待能力和服务质量。
第十条 市、区县（自治县）人民政府应当引导金融机构创新发展符合旅游业特点的信贷产品和模式，加大旅游业信贷支持力度。
鼓励和支持旅游企业按照国家有关规定面向资本市场融资，扩大旅游投融资渠道。鼓励和支持保险机构创新旅游保险产品和服务。
第十一条 市、区县（自治县）人民政府应当推进本行政区域旅游信息化建设。
旅游主管部门应当建立旅游统计、旅游信息收集和发布体系，准确及时提供旅游信息服务。
旅游主管部门应当在交通枢纽站、商业中心和旅游者集中场所为旅游经营者和旅游者无偿提供旅游公共信息和咨询服务，及时发布旅游高峰期主要景区的游客流量、游客限流措施、交通、气象、住宿等旅游信息。对境内外景区发生的自然灾害、流行性疾病或者其他可能危及旅游者人身财产安全的情况，旅游主管部门应当及时向旅游经营者和旅游者发布警示信息。
第十二条 本市实行旅游服务标准化管理。涉及人身财产安全的旅游服务活动，没有国家标准和行业标准的，市标准化主管部门会同旅游主管部门或者有关部门制定地方标准，并组织实施。
旅游经营者提供的产品、服务和设施，应当符合法律、法规规定和强制性标准要求。
鼓励旅游经营者制定严于国家标准、行业标准和地方标准的企业标准。
第十三条 旅游主管部门应当组织本行政区域的旅游形象宣传和重大旅游促进活动。
第十四条 鼓励教育机构与旅游企业合作，发展重点特色专业，设立培训基地，培养和引进旅游人才。
旅游主管部门和有关部门应当加强对旅游经营者和从业人员职业素养培训，组织开展旅游服务规范、标准、技能的培训，提高旅游服务质量。
第十五条 鼓励旅游经营者依托本市社会资源开发旅游产品，创新文化旅游、温泉旅游、邮轮旅游、会展旅游、体育旅游、乡村旅游、研学旅游、自驾旅游、健康旅游、工业旅游和都市旅游等旅游产品，实现旅游业与相关产业融合发展。
鼓励利用有关专业会议和会展、博览交易、科技交流、体育赛事、文艺演出、民族节庆、民族民间文化等活动，开展旅游宣传营销，促进旅游业的发展。
第十六条 鼓励利用自然资源、民风民俗等，开发乡村和农业观光等旅游项目，推进乡村旅游发展。
旅游主管部门及有关部门应当推动乡村旅游规范化、特色化发展，支持村民自治组织、农村集体经济组织等参与发展本地特色旅游。
旅游资源所在地的居民和农村集体经济组织可以采用入股、租赁、合作等方式参与所在地旅游资源的开发和经营。
第十七条 鼓励和支持依法对温泉资源的保护、开发和利用，发展温泉养生、休闲、度假、医疗等旅游项目。
第十八条 鼓励旅游经营者建立旅游电子商务平台，为旅游者提供交通、住宿、餐饮、游览、购物、娱乐等网络信息查询、预订和支付等服务。
有条件的景区应当提供免费无线网络接入服务。
第十九条 鼓励单位和个人根据本市旅游资源的特点和市场需要，研究开发、升级换代、推广销售具有本地特色的旅游商品，加强知识产权保护，培育体现地方特色的旅游商品品牌。
## 第三章 旅游规划与资源保护
第二十条 市、区县（自治县）人民政府应当按照国民经济和社会发展规划的要求组织编制旅游发展规划。旅游发展规划应当与土地利用总体规划、城乡规划、环境保护规划以及其他自然资源和文物等人文资源的保护和利用规划相互衔接。
市、区县（自治县）人民政府根据旅游发展规划应当编制重点旅游资源开发利用的专项规划。
第二十一条 区县（自治县）人民政府编制旅游发展规划应当征求市旅游主管部门的意见，必要时可以举行公开听证。
对跨区县（自治县）且适宜进行整体利用的旅游资源进行利用时，应当由市人民政府组织编制或者由区县（自治县）人民政府协商编制统一的旅游发展规划。
第二十二条 任何单位和个人可适当改变旅游发展规划和专项规划。
第二十三条 市、区县（自治县）人民政府应当根据土地利用总体规划，结合旅游发展规划，合理预留旅游建设用地。对全市重点旅游项目建设用地予以优先保障。
第二十四条 旅游资源的开发和旅游项目、旅游设施的新建、改建和扩建，应当符合旅游发展规划和专项规划，并按照基本建设程序的有关规定办理审批、核准或者备案手续。有关部门在审批、核准时应当征求旅游主管部门的意见。
第二十五条 开发旅游资源和建设旅游设施，应当依法进行环境影响评价，制定旅游资源开发保护和治理修复方案，实现可持续发展。
利用自然保护区以及森林、湿地等自然资源开发的旅游项目、风景名胜区及其规划确定的外围保护地带内的各项建设项目，应当加强对自然资源和生物多样性的保护，不得破坏生态、污染环境、毁损景观、妨碍游览。
鼓励旅游经营者使用新能源、新材料、新技术，开发生态旅游产品，实现低碳、环保旅游。
第二十六条 利用民族文化资源、历史文化风貌区、优秀历史建筑以及其他历史人文资源开发旅游项目，应当保持其特有的民族特色、传统格局和历史风貌，不得擅自改建、迁移、拆除。
第二十七条 旅游主管部门应当会同有关部门定期对本行政区域内的旅游资源进行普查、评估，建立旅游资源档案和旅游项目库，为投资者提供信息和服务。
第二十八条 国有旅游资源可以实行特许经营权制度。
国有旅游资源经营权依法出让的，应当遵循公开、公平和公正的原则，通过拍卖、招标等方式进行，并签订特许经营协议。特许经营协议应当包括开发时限、经营期限、经营区域、经营范围、双方的权利义务、违约责任和争议解决方式等内容。
旅游经营者在经营期内违反旅游发展规划或者专项规划，造成旅游资源严重破坏的，依法收回国有旅游资源经营权。
## 第四章 旅游者的权利和义务
第二十九条 旅游者的人身健康、财产安全和个人信息受法律保护，任何单位和个人不得侵犯。
旅游者应当履行法定和约定义务，遵守社会公德和旅游文明行为规范。
第三十条 旅游者对旅游经营者的资质、相关旅游产品和服务及价格等享有真实、完整的知情权，有权对旅游经营者及其从业人员的违法行为或者未按约定提供产品和服务进行举报、投诉。
第三十一条 残疾人、老年人、未成年人、现役军人、烈属、革命伤残军人、军队离退休干部、全日制学校学生等特定旅游者，在旅游活动中依照法律、法规和本市有关规定，享受门票和相关服务费用减免等便利和优惠。
第三十二条 旅游者应当文明旅游，不得实施不文明行为。
旅游者应当自觉遵守国家和本市有关安全规定。参加高风险旅游项目的，应当遵守旅游经营者的安全制度和操作规程。
旅游者对有关部门、机构或者旅游经营者采取的安全防范和应急处置措施，应当予以配合。
## 第五章 旅游经营与服务
第三十三条 从事旅游经营活动的单位或者个人，应当依法取得营业执照；法律、法规规定需经旅游主管部门或者有关部门许可的，应当取得相应的经营许可。
从事旅游服务的交通工具和营运线路应当取得交通主管部门的客运经营许可。
第三十四条 旅游经营者应当遵守法律、法规，遵守自愿、平等、公平、诚信的原则和职业道德。
旅游经营者不用公开服务项目、内容和收费标准。
旅游经营者应当依法接受旅游主管部门或者有关部门的监督管理，依法及时准确地向旅游主管部门或者有关部门报送有关旅游信息。
第三十五条 旅游经营者不得有下列行为：
（一）超越核定范围经营旅游业务；
（二）对旅游服务信息、服务范围、产品内容和标准等作虚假宣传；
（三）强买强卖，或者销售假冒伪劣的旅游商品；
（四）违反法律、法规或者强制性标准规定提供服务；
（五）使用未取得旅游服务品质等级称谓或者标志进行经营活动；
（六）租用未取得客运经营许可的交通工具；
（七）组织或者提供违反法律法规和社会公德的服务项目或者活动；
（八）擅自泄露或者公开旅游者个人信息；
（九）其他侵害旅游者合法权益的行为。
第三十六条 旅行社组织旅游活动，应当与旅游者签订书面旅游合同。国家和本市已经制定旅游合同示范文本的，应当优先使用旅游合同示范文本。
旅游者与旅行社协商一致，可以在合同中约定下列事项：
（一）因航空、铁路、船舶等交通运营的延误、取消等原因影响行程的处理；
（二）因不可抗力影响旅游合同履行的处理；
（三）需要约定的其他事项。
第三十七条 旅行社不得以不合理的低价组织旅游活动，诱骗旅游者，不得通过安排购物或者另行付费旅游项目获取回扣等不正当利益。旅行社组织、接待旅游者，不得指定具体购物场所，不得安排另行付费旅游项目，但是，经双方协商一致或者旅游者要求的除外。
旅行社与旅游者在书面合同中约定安排购物和另行付费旅游项目的，应当以显著的方式明示；未事先约定但旅游者要求安排的，旅行社应当与旅游者协商一致，并签订补充协议后，方可安排。
安排购物场所和另行付费旅游项目的，应当遵守下列规定：
（一）不得影响其他旅游者行程安排；
（二）事先向旅游者明示约定的购物场所、另行付费的旅游项目的基本信息，同时告知可能存在的风险；
（三）不得向旅游者指定或者推荐未向社会其他公众开放经营的购物场所、另行付费的旅游项目。
旅游者在与旅行社约定的购物场所购买到假冒伪劣商品或者失效、变质商品的，旅游者可以要求旅行社负责退（换）商品或者先行赔偿；旅行社赔偿后，有权向旅游商品的经营者追偿。
第三十八条 旅行社将已经订立的旅游合同委托其他旅行社履行的，应当征得旅游者的书面同意；旅游者不同意的，应当返还旅游者预付的旅游费用；给旅游者造成损失的，应当按照合同约定予以赔偿。
受委托的旅行社履行旅游合同，服务内容和标准不得低于原约定的内容和标准。旅行社不得将不同游览行程、不同服务标准的游客合并同一团队接待。
第三十九条 旅行社因组织旅游活动与其他旅行社或者交通、住宿、餐饮、景区等经营者发生业务往来的，应当签订合同，约定双方权利义务。组织出境旅游的，应当按照国家有关规定选择相应资质的旅行社。
因其他旅行社或者交通、住宿、餐饮、景区等经营者的原因，致使合同不能履行或者不能完全履行，给旅游者造成损失的，按照合同约定赔偿。未约定的，由组团旅行社先行赔偿。
第四十条 旅行社委托其他旅行社代理销售包价旅游产品，或者接受其他旅行社的委托代理销售包价旅游产品，应当遵守下列规定：
（一）具有销售包价旅游产品的相应业务经营资质；
（二）签订书面委托代理合同，约定代理销售的内容和形式、代理费及其支付方式、违约责任、投诉受理机制、应急处置程序等内容；
（三）向旅游者明示委托代理关系。
代理社与旅游者订立包价旅游合同、收取旅游费用，应当在包价旅游合同中载明委托社、代理社的基本信息和代理销售的内容。
第四十一条 网络旅游经营者应当按照国家和本市有关规定向旅游者提供经营地址、联系方式、安全注意事项和风险提示及投诉受理渠道等信息；涉及由其他经营者实际提供服务的，应当在相关产品主页面的显著位置标明，并向旅游者提供该经营者的名称、经营地址、联系方式等信息。旅行社从事网络旅游经营的，应当书面告知其所在区县（自治县）旅游主管部门。
网络旅游经营者为旅游者提供的旅游服务信息应当真实、可靠，提供交通、住宿、餐饮、游览、娱乐等代订服务的，应当选择具有相应经营资质的经营者作为服务供应商。
网络旅游经营者应当与旅游者订立纸质或者电子形式的合同，收取旅游服务费或者其他相关费用的，应当提供纸质或者电子形式的发票。
第四十二条 通过网络经营包价旅游、代理销售包价旅游产品等旅行社业务的，应当依法取得旅行社业务经营许可，并在其网站主页的显著位置标明其业务经营许可证信息。
第四十三条 旅行社设立的分社和服务网点属于旅行社的分支机构。分社、服务网点的员工应当与旅行社订立书面劳动合同。
旅行社设立的分社不得超越旅行社的经营范围；旅行社业务经营许可不得以设立分社的形式转让。旅行社设立的服务网点业务范围仅限于向旅游者提供招徕、咨询。
旅行社不得以挂靠等形式设立分社和服务网点。旅行社分社和服务网点不得从事旅游法律、法规规定外的旅游经营活动。
第四十四条 旅行社应当按照国家有关规定交纳旅游服务质量保证金，用于旅游者权益损害赔偿和垫付旅游者人身安全遇有危险时紧急救助的费用。
旅行社服务质量保证金应当专款专用，任何单位和个人不得侵占、挪用。
第四十五条 市外旅行社在本市设立的办事机构应当向旅游主管部门备案，并接受监督管理。
第四十六条 景区经营者应当保持景区的环境整洁、美观，景区内及其主要出入口不得擅自摆摊设点。摊点服务人员不得强迫或者变相强迫旅游者购买商品、接受服务。
第四十七条 景区应当在醒目位置使用符合国家规定的中文和外国文字指示标志牌及公共信息图形符号。
旅游经营者应当按照国家和本市有关规定，设置无障碍设施、标志，收集和提供无障碍旅游信息，为残疾人旅游提供方便和照顾。
第四十八条 利用公共资源建设的景区门票价格及景区内交通运输服务价格实行政府定价或者政府指导价，严格控制价格上涨，不得通过增加另行收费项目等方式变相涨价。拟收费或者提高价格的，应当举行听证会，征求旅游者、经营者和有关方面的意见，论证其必要性、可行性。
景区提高门票价格应当提前三个月公布。
景区内设有收费旅游点或者旅游项目的，经营者应当分别设置单一门票和联票、套票，并同时向旅游者公示，由旅游者选购；不得强行向旅游者销售联票、套票，或者以有偿搭配其他产品、服务的方式售票。
第四十九条 旅游从业人员的合法权益受法律保护。
旅游从业人员应当依法取得相应从业资格。旅游从业人员不得超越资格等级进行宣传；未取得等级的，不得使用相应等级的标识和称谓。
导游、领队执业应当佩戴导游证、领队证、等级标识，携带委派旅行社的团队行程单。
配备专职讲解员的景区，不得拒绝随团导游的讲解服务。
第五十条 旅行社应当依照法律、法规的规定，与其聘用的导游、领队订立书面劳动合同，支付劳动报酬，并缴纳社会保险费。鼓励导游行业协会或者旅行社为导游、领队执业投保人身意外伤害保险。
旅行社临时聘用导游、领队为旅游者提供服务的，应当与导游、领队订立临时聘用合同，约定双方的权利义务，并及时支付包价旅游合同中载明的服务费用。
旅行社安排导游、领队为团队旅游提供服务的，不得要求导游、领队垫付或者向导游、领队收取任何费用。
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8k
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T7. Consistency & Compliance Checking
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T7.1 Global Conflict & Inconsistency Localization
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Full
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根据文本内容，请指出这两版重庆旅游条例之间的所有差异之处，给出差异之处的条例号。先输出“[答案]”标识符，再以“第x条”的格式按行输出所有差异之处，不要输出任何其他内容。
输出示例：
[答案]
第二十条
第三十三条
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根据文本内容，请指出这两版重庆旅游条例之间的所有差异之处，给出差异之处的条例号。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再以“第x条”的格式按行输出所有差异之处，不要输出任何其他内容。
输出示例：
<你的思考过程>
[答案]
第二十条
第三十三条
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[
"第二十二条",
"第三十四条",
"第四十八条"
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6405b5e11bd7dddf170ac5344412b03a27eea69b6b0f7c2e2b99acf896e63cd7
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新华社评出2019年国际十大新闻
新华社北京12月30日电 新华社评出2019年国际十大新闻（按事件发生时间先后为序）
一、拉美多国动荡凸显治理难题
1月，委内瑞拉议会主席瓜伊多宣布自任“临时总统”，美国加大插手力度，委紧张局势加剧。9月，秘鲁总统比斯卡拉解散国会，府院之争白热化。10月，厄瓜多尔、智利发生暴力示威，厄政府机关被迫撤离首都，智利放弃主办亚太经合组织领导人非正式会议。10月底，玻利维亚出现动荡，深陷选举风波的总统莫拉莱斯辞职。11月，哥伦比亚爆发全国总罢工。此起彼伏的政治社会动荡反映拉美多国呈现政治斗争激化趋势，治理难题凸显。
二、国际合作助力人类首“见”黑洞
4月10日，由全球科研人员合作开展的“事件视界望远镜”项目发布首张黑洞图片——一个中心为黑色、看上去像甜甜圈的明亮环状结构，黑色部分为黑洞“阴影”，明亮部分是黑洞周围吸积盘。人类终于“看到”曾被认为不可见的黑洞。包括中国在内，全球多国200多名科研人员参与这一项目。图片给出黑洞存在的最直接证据，验证了爱因斯坦广义相对论，有助于探索星系演化等许多前沿课题。
三、伊叙两大热点加剧中东变局
在美国“极限施压”下，伊朗自5月起分四阶段中止履行伊核协议部分条款。其间，海湾水域相继发生多艘油轮遭袭或被扣、美无人机被击落等事件，美国一度威胁对伊动武。10月7日, 美军开始从叙利亚东北部撤出。10月9日，土耳其发起“和平之泉”军事行动，跨境打击叙北部库尔德人武装。大国博弈下，伊叙两大热点问题交织，地区主要力量此消彼长，中东局势更趋复杂，前景不乐观、走向不可控，地区动荡还将持续并可能恶化。
四、中国元首外交应变局启新篇
6月，国家主席习近平接连4次出访，创造了新中国外交史上的纪录。一年间，习近平先后7次出访，主持4次主场外交，深耕周边外交，运筹大国关系，团结发展中国家，推动完善全球治理。面对百年未有之大变局，元首外交维护世界和平、促进共同发展、捍卫多边主义，实现了中国国际影响的再提升、外交总体布局的再完善、战略运筹空间的再拓展，“一带一路”朋友圈不断扩大，人类命运共同体理念深入人心，大国风范和担当得到世界广泛认同。
五、非洲启动自贸区建设谋发展
7月7日，非盟特别峰会宣布正式启动非洲大陆自贸区建设，以消除贸易壁垒，实现各要素在非洲的自由流动，最终形成覆盖12亿人口、国内生产总值合计2.5万亿美元的统一大市场。非盟55个成员中的54个签署自贸区协议。这是非洲一体化进程的重要里程碑，有助于非洲解决市场碎片化的结构性问题，释放经济发展潜力，充分体现非洲国家联合自强的意愿和决心，对非洲经济社会发展具有深远意义。
六、全球经济增速面临十年新低
10月中旬，国际货币基金组织（IMF）发布《世界经济展望报告》说，受一些国家贸易壁垒上升、贸易和地缘政治不确定性增加等因素影响，全球发达经济体和发展中经济体的经济增速同步放缓。IMF将今年全球经济增速预期下调至3%，这意味着今年全球经济增速将降至2008年国际金融危机以来最低水平。但IMF总裁格奥尔基耶娃表示，中国经济增速仍位于目标区间内，对世界经济增长的贡献率超过30%。
七、“脱欧”一拖再拖尽显体制之困
10月28日，欧盟同意将英国“脱欧”日期推迟至明年1月31日。这是“脱欧”期限第三次后延。此前，“脱欧”协议屡遭英国议会否决，首相特雷莎·梅辞职。继任者约翰逊为打破“脱欧”僵局，推动英国12月12日提前举行议会选举。约翰逊带领保守党在选举中赢得下院绝对多数，“脱欧”前景趋于明朗。“脱欧”一拖再拖尽显英国社会严重撕裂、政治决策程序复杂低效，西式民主陷入体制困境和治理危机。
八、RCEP突破力推多边主义潮流
11月4日，在曼谷举行的第三次区域全面经济伙伴关系协定（RCEP）领导人会议宣布，15个成员国结束全部文本谈判及实质上所有市场准入谈判。这标志着世界上人口最多、成员结构最多元、发展潜力最大的东亚自贸区建设取得重大突破。RCEP由东盟10国发起，邀请中国、日本、韩国、澳大利亚、新西兰、印度参加。印度暂未加入协定。尽管保护主义和单边主义逆流而动，这一突破凸显多边主义与自由贸易仍是世界主流。
九、中美达成第一阶段经贸协议
12月13日，中方宣布，经过中美两国经贸团队的共同努力，双方在平等和相互尊重原则的基础上，已就中美第一阶段经贸协议文本达成一致。一年来，中美经贸磋商经历曲折。6月，中美两国元首在大阪会晤，一致同意在平等和相互尊重基础上重启经贸磋商。此后双方经贸团队落实两国元首共识持续磋商，妥善解决彼此核心关切。中美达成这样的协议有利于中美两国和世界，将在经贸、投资、金融市场等方面产生积极效应。
十、总统弹劾案激化美两党之争
12月18日，由民主党人掌控的美国国会众议院表决通过两项针对总统特朗普的弹劾条款，正式指控他滥用职权和妨碍国会。特朗普成为美国历史上第三位、二十多年来首位遭众院弹劾的总统。特朗普拒绝指控，指责民主党人滥用权力。弹劾案围绕特朗普“电话门”展开，成为继“通俄门”之后民主、共和两党角力新战场，显示美国党争激化和政治极化进入新阶段，将对明年美国大选产生重要影响。
新华社评出2020年国际十大新闻
新华社北京12月30日电 新华社评出2020年国际十大新闻（按事件发生时间先后为序）
一、世纪疫情冲击全球考验担当
3月11日，世界卫生组织宣布新冠疫情“大流行”。截至北京时间12月30日，全球新冠累计确诊病例超过8000万例，累计死亡病例超过177万例。这场全球公共卫生危机冲击之广、危害之烈、防控之难在人类历史上罕见。面对疫情，各国人民守望相助，汇聚起抗击疫情的共同力量。中国发起新中国成立以来规模最大的全球人道主义行动，得到国际社会广泛欢迎和高度肯定。美国一些政客为一己私利，将疫情政治化、污名化，“甩锅”推责，蓄意破坏国际社会团结抗疫共识和努力，成为国际抗疫合作的“绊脚石”。
二、人类命运共同体彰显感召力
3月，国家主席习近平首次提出打造人类卫生健康共同体倡议。从人类卫生健康共同体到人与自然生命共同体，再到上合组织四个“共同体”，人类命运共同体理念内涵不断丰富完善。构建人类命运共同体的实践不断取得进展，中国正与越来越多的友好伙伴构建起双边命运共同体；在地区范围，各方就打造周边、亚太、中国—东盟、中非、中阿、中拉命运共同体进一步达成共识；在携手抗击疫情的斗争中，人们更加真切感受到各国命运紧密相连，人类命运共同体理念彰显出强大的感召力，更加深入人心。
三、中国元首“云外交”促团结合作
3月26日，国家主席习近平以视频方式出席二十国集团领导人应对新冠肺炎特别峰会并发表重要讲话。在全球疫情特殊背景下，习近平主席广泛开展“电话外交”“书信外交”，出席或主持世界卫生大会、中非团结抗疫特别峰会、联合国成立75周年系列高级别会议、上合峰会、金砖会晤、APEC会议、二十国集团峰会等“云会议”，就推动抗疫合作、促进经济复苏、完善全球治理等时代命题提出中国方案。在两国元首战略引领下，中俄新时代全面战略协作伙伴关系稳定、牢固、坚韧，显示强大生命力和抗压能力。中国坚守团结合作、守望相助的人间正道，为人类健康福祉、世界和平发展作出重要贡献。
四、种族矛盾暴露美国人权痼疾
5月25日，美国明尼苏达州非洲裔男子乔治·弗洛伊德遭白人警察“跪颈”执法后丧生，引发全美范围长时间、大规模反种族歧视、反暴力执法示威活动。之后，多起非洲裔美国人遭白人警察暴力执法的事件接连发生，反对种族歧视的抗议浪潮不断升级。“黑人的命也是命”成了2020年最具知名度的口号之一。事实表明，美国近年来“白人至上”主义盛行，种族矛盾难以调和，社会分裂日益加剧，暴露出系统性种族歧视的人权痼疾。
五、安倍时代落幕政策基本延续
8月28日，安倍晋三宣布因健康原因辞去日本首相职务。其后，日本内阁官房长官菅义伟当选执政党自民党新总裁，并接替安倍成为日本新首相。“安倍时代”至此正式落幕。安倍自2012年底以来连续执政7年多，创下日本首相连续在位时间最长纪录。菅义伟表示“继承安倍路线”，在外交、安全等领域的政策基本延续安倍执政时期的思路和做法。
六、联合国峰会举多边主义旗帜
9月21日，联合国成立75周年纪念峰会举行并通过宣言，强调多边主义和国际合作的重要性，重申对可持续发展、环境保护、和平、正义、性别平等等承诺。与会各国领导人和代表表示，在世界面临诸多威胁与挑战、尤其是新冠疫情肆虐之际，国际社会更需坚持多边主义，加强全球合作。联合国秘书长古特雷斯说，国际社会需要更高效的多边主义，世界各国必须共同努力，改善全球治理。与会各方的表态反映了绝大多数国家的共同心声，体现了深化全球治理体系变革的国际共识。
七、纳卡硝烟再起侵蚀地缘安全
9月27日，亚美尼亚和阿塞拜疆在纳戈尔诺-卡拉巴赫（纳卡）地区爆发军事冲突。10月，亚阿两国在俄美等国斡旋下先后三次达成停火协议，但实际并未停止互相攻击。11月，俄罗斯、阿塞拜疆和亚美尼亚三国领导人签署声明，宣布纳卡地区完全停火。此后，俄罗斯和土耳其签署建立纳卡地区停火联合监控中心的备忘录。纳卡地区有“高加索火药桶”之称，此次冲突使得高加索乃至周边地区的地缘政治平衡变得更为脆弱。
八、世界经济遭重创陷深度衰退
10月13日，国际货币基金组织发布《世界经济展望报告》，预计在新冠疫情等负面因素冲击下，今年世界经济将萎缩4.4%。疫情暴发后，世界经济一度经历上世纪30年代大萧条以来最严重衰退。当前，世界经济形势仍然复杂严峻，复苏不稳定不平衡，疫情冲击导致的各类衍生风险给各国带来严峻挑战。同时，5G、人工智能、智慧城市等新技术、新业态、新平台蓬勃兴起，网上购物、在线教育、远程医疗等“非接触经济”全面提速，为经济发展提供了新路径。
九、RCEP签署为多边合作增添动力
11月15日，东盟10国和中国、日本、韩国、澳大利亚、新西兰正式签署区域全面经济伙伴关系协定（RCEP），建立了世界上参与人口最多、成员结构最多元、发展潜力最大的自贸区。这是东亚区域合作具有标志性意义的成果。RCEP将实现地区各国间货物贸易、服务贸易和投资高水平开放，大幅提升区域贸易投资自由化便利化水平，显著提升地区吸引力和竞争力，既为促进地区的发展繁荣增添新动能，也为拉动全球增长带来新助力。
十、英欧达成协议避免“双输”
12月24日，英国和欧盟就包括贸易、安全等在内的一系列合作关系问题达成历史性协议，漫长曲折的“脱欧”进程基本画上句号。这一协议给英欧未来经贸合作注入确定性，使双方避免因出现“无协议脱欧”而“双输”。英国“脱欧”改变欧盟版图，对欧洲乃至世界政治、经济格局影响深远。“后脱欧时代”英欧关系如何发展备受关注。
新华社评出2021年国际十大新闻
新华社北京12月30日电 新华社评出2021年国际十大新闻（按事件发生时间先后为序）
一、国会骚乱打破“美式民主”幻象
1月6日，大批支持时任美国总统特朗普的示威者强行闯入美国国会大厦，与警方发生冲突，造成5人死亡多人受伤。骚乱意在以暴力手段阻止美国总统权力的有序过渡，被视为美国历史上影响最深远的本土暴力极端事件之一。血腥暴力在美国最高政治殿堂上演震惊世界，凸显美国社会分裂鸿沟，打破“美式民主”幻象。人们更清晰看到，“美式民主”已沦为美国政客煽动民意实现自身利益最大化的工具。
二、运河堵塞暴露世界经济脆弱
3月23日，一艘货轮在埃及苏伊士运河搁浅堵塞航道，一度阻断约12%的全球贸易流通。2021年，种种现象暴露出世界经济脆弱性：物流梗阻、运费暴涨，供应链承受压力；芯片稀缺、大宗商品价格飙升，产业链受到冲击；债务攀升、流动性泛滥，金融市场波动加剧；复苏分化、贫富差距扩大，发展鸿沟加深……这既反映出疫情影响复杂深远，也和经济全球化遭遇逆流有关，警示各国须加强宏观政策协调，主要经济体要展现责任担当，共同完善全球经济治理。
三、世界多国再掀太空探索热潮
5月15日，天问一号探测器成功着陆火星，迈出中国太空探索征程又一重要步伐。此前，阿联酋“希望”号火星探测器和美国“毅力”号火星车于2月抵达目的地，3位“访客”掀起火星探索新热潮。天和核心舱于4月成功发射，中国空间站建造全面开启，6月和10月分别迎来两批航天员在轨驻留。12月，美国詹姆斯·韦布空间望远镜顺利发射入轨。此外，商业太空游再进一步。9月，4名游客遨游太空。10月，俄罗斯摄制组登上国际空间站拍摄电影。
四、美军撤阿标志失败留下灾难
8月30日，美军全部撤离阿富汗，美国发动的长达20年的阿富汗战争以失败告终。美军不顾盟友仓促撤离引发阿局势震荡，野蛮空袭造成包括儿童在内的多名阿平民死亡，其自私霸道本性再次暴露无遗。这场美国历史上最漫长的战争令阿富汗生灵涂炭，累计有3万多名阿平民被美军杀死或因战乱丧生，约1100万人沦为难民。长年战乱导致当地民生凋敝，约四分之三民众生活在贫困线以下。美军不负责任一走了之，给阿富汗人民留下深重灾难和巨大痛苦。
五、中国元首外交唱响多边主义
10月25日，习近平主席在北京出席中华人民共和国恢复联合国合法席位50周年纪念会议并发表重要讲话，呼吁共同践行真正的多边主义，实现世界永续和平发展。今年是中国共产党百年华诞，习近平作为党和国家领导人，密集开展“云外交”，推动党的对外工作开创新局面，引领中国促进完善全球治理，弘扬全人类共同价值，推动构建人类命运共同体，彰显中国共产党人胸怀天下，为人类谋进步、为世界谋大同的使命担当，受到国际社会高度赞誉。
六、俄西方矛盾重重关系再恶化
11月1日起，俄罗斯暂停俄常驻北约代表团工作，以回应北约驱逐俄外交官。由于美国长期抱守冷战思维，联合盟友不断向俄施压，今年以来俄与美欧在乌克兰、网络安全、所谓“干预美国选举”等问题上矛盾重重，几度相互驱逐外交官。美俄领导人今年两度会晤，但双方关系未出现明显改善。俄与西方后又在白俄罗斯与波兰、立陶宛边境难民危机等问题上出现争执，双方关系持续紧张。
七、格拉斯哥气变大会达成协议
11月13日，格拉斯哥气候变化大会达成协议，开启国际社会全面落实《巴黎协定》的新征程。大会期间，中美发布强化气候行动联合宣言，为推进全球气候治理注入宝贵动力。发达国家对气候变化负有历史责任，必须率先大幅减排，同时兑现气候融资承诺。今年，美国能源州因冬季风暴大停电、亚洲城市因强降雨严重内涝、欧洲部分地区降暴雨致罕见洪灾，全球极端天气频发敲响“气候警钟”，世界各国携手采取行动应对气候变化已刻不容缓。
八、中美元首举行首次视频会晤
11月16日，习近平主席同美国总统拜登举行首次视频会晤，双方就事关中美关系发展的战略性、全局性、根本性问题以及共同关心的重要问题进行了充分、深入的沟通和交流。今年，习主席还应约同拜登总统两次通话。习近平主席在视频会晤中全面阐述中方对中美关系的原则立场，明确提出相互尊重、和平共处、合作共赢的战略框架，为两国关系的健康稳定发展把舵引航。两国元首就中美关系重要性、反对打“新冷战”达成原则共识。
九、“后默克尔时代”德欧面临考验
12月8日，朔尔茨当选新一任德国总理，与其前任、执政16年的默克尔正式交接，德国及欧盟进入“后默克尔时代”。默克尔在任期间，带领德国取得显著发展成就，发挥协调作用推动欧盟前行，致力于对华友好交往与务实合作。她离开政坛之时，欧盟正面临多重严峻考验，新冠疫情蔓延反复，经济复苏艰难曲折，英国“脱欧”后遗症显现，欧洲一体化势头疲软。在欧盟寻求真正“战略自主”的道路上，默克尔的务实理性作风尤显可贵。
十、疫苗接种助力全球阻击疫情
12月29日，世界卫生组织数据显示，全球已接种超过86亿剂新冠疫苗。大规模疫苗接种助力全球阻击疫情，但“免疫鸿沟”亟待消除。中国克服自身困难全年努力对外提供约20亿剂疫苗，一些西方国家却大搞“疫苗民族主义”。病毒频繁变异，德尔塔和奥密克戎毒株先后来袭；疫情起伏反复，全球累计病例和死亡病例已分别超过2.8亿例和540万例。打好抗疫“持久战”，亟须各方携手合作，让疫苗成为全球公共产品，充分发挥疫苗、药物和防疫措施的作用。
新华社评出2022年国际十大新闻
新华社北京12月30日电 新华社评出2022年国际十大新闻（按事件发生时间先后为序）
一、RCEP生效奏响一体化“亚洲强音”
1月1日，《区域全面经济伙伴关系协定》（RCEP）正式生效实施，全球人口最多、经贸规模最大、最具发展潜力的自贸区启航。一年来，成员国间零关税产品比例大幅提高，贸易与投资自由化便利化不断推进，区域内产业链、供应链和价值链进一步巩固和发展。在逆全球化思潮抬头、世界经济复苏乏力背景下，中国与各方携手推进区域经济一体化，促进共同发展繁荣，完善全球经济治理。RCEP生效实施再次表明，共谋发展是历史潮流，互利共赢是人心所向。
二、汤加火山猛烈喷发威力罕见
1月14日和15日，太平洋岛国汤加的洪阿哈阿帕伊海底火山猛烈喷发并引发海啸，喷发威力超过任何一次核爆试验以及20世纪以来其他火山喷发，羽流高达57公里，为有记录以来最高。人类第一次观测到火山喷发的羽流通过平流层进入中间层。这次火山喷发对全球环境和气候的影响受到广泛关注。灾害发生后，国际社会向汤加施以援手，中国政府率先提供首批应急救援物资，用实际行动诠释人类命运共同体理念。
三、乌克兰危机加速百年变局演进
2月24日，俄罗斯对乌克兰发起特别军事行动，乌方宣布在乌全境实施战时状态。美国等北约国家持续“拱火”，对俄方实施制裁，向乌方提供军援。芬兰和瑞典申请加入北约，“北溪”天然气管道发生爆炸。乌克兰危机激化欧洲地缘政治矛盾，导致全球能源和粮食供应短缺等问题。面对危机，大多数国家拒绝跟风制裁俄罗斯。中方始终站在和平一边，为劝和促谈发挥建设性作用。伴随这场危机，世界多极化趋势更加明显，世界百年未有之大变局加速演进。
四、美联储“强收缩”损害全球经济
3月16日，美联储为缓解高通胀宣布加息25个基点，开启新一轮加息周期。这一年，美联储连续7次累计加息425个基点。这一“强收缩”导致多国货币汇率跌至历史低点，输入性通胀压力陡增，债务违约风险上升，金融市场剧烈震荡。美国收紧流动性，拉升美元汇率，向外转嫁危机，致使全球金融环境收紧，世界经济增长放缓，对新兴市场和发展中国家，尤其是对欠发达国家经济造成损害。
五、太空探索蓬勃发展亮点频现
5月12日，包括中国在内的全球多地天文学家同步公布银河系中心超大质量黑洞首张照片。这一年，人类在探索浩瀚宇宙的征程上不断前行。7月11日，詹姆斯·韦布空间望远镜拍摄的首张全彩宇宙深空图像对外公布。9月26日，美国进行世界上首次防御地球免受小行星撞击威胁的测试。中国人巡天探宇的脚步从未停歇。神舟十四号飞船将“太空三人组”送上中国空间站。梦天实验舱一飞冲天，空间站“T”字基本构型组装建造完成。中国航天员乘组首次“太空会师”。中国空间站成为太空中最耀眼的“中国星”。
六、中共二十大对世界影响深远
10月22日，中国共产党第二十次全国代表大会在北京胜利闭幕。大会向世界展现以中国式现代化全面推进中华民族伟大复兴的光明前景，传递新时代中国一如既往深化对外开放与合作、推动世界和平与发展的强烈信号，在全球引发广泛回响。国际社会普遍认为，中共二十大对世界影响深远，为复杂动荡的国际局势注入强大稳定性，在中国共产党坚强领导下，中国将不断以自身新发展为世界提供新机遇，继续推动构建人类命运共同体和建设更加美好的世界。
七、拉美左翼强势回潮重塑政治版图
10月30日，巴西左翼领导人卢拉在大选中击败对手当选总统。此前，哥伦比亚左翼领导人佩特罗于6月当选该国历史上首位左翼总统。到年底，拉美地区主要人口大国巴西、墨西哥、哥伦比亚、阿根廷、委内瑞拉、智利都选举产生了左翼政府。如何实现经济振兴和民生改善，是拉美左翼政府面临的现实挑战。左翼力量的强势回潮深刻改变拉美地区政治版图，也对国际格局产生重要影响。
八、各国共谋人与自然和谐共生
11月6日，世界气象组织发布报告说，过去8年或成为有气象记录以来最热的8年。一年来，多国遭遇罕见高温以及随之而来的严重干旱和森林火灾，巴基斯坦、阿富汗等国遭受特大洪灾，保护地球刻不容缓。年终岁末，三个全球环境公约缔约方大会相继举行。《湿地公约》缔约方大会通过“武汉宣言”，《联合国气候变化框架公约》缔约方大会取得一揽子积极成果，《生物多样性公约》缔约方大会通过“昆明-蒙特利尔全球生物多样性框架”，彰显国际社会携手合作，共建清洁美丽的地球家园。
九、疫情反复延宕持续冲击全球
疫情反复延宕给人民生命健康造成巨大伤害，给世界经济和民众生产生活带来深远影响，加剧供应链紊乱，劳动力短缺等问题。中国政府坚持人民至上、生命至上，因时因势不断优化调整疫情防控措施，统筹疫情防控和经济社会发展取得重大积极成果。各国应着眼人类共同福祉，加大宏观政策协调，在产业链供应链修复、公共卫生、贸易金融、粮食与能源安全等领域加强国际合作。
十、中国元首外交书写新时代新篇
12月10日，习近平主席在结束出席中国-阿拉伯国家峰会、中国-海湾阿拉伯国家合作委员会峰会并对沙特进行国事访问后回国。这一年，习近平主席开启“冬奥时间”，世界目光聚焦东方。习近平主席还3次出访，到访5国，主持或出席中国-中亚、中阿、中海、金砖、上合组织、G20峰会和APEC领导人非正式会议等多边会议，同俄罗斯总统普京、美国总统拜登、法国总统马克龙、德国总理朔尔茨、欧洲理事会主席米歇尔和联合国秘书长古特雷斯等多国领导人和国际组织负责人举行会晤。中国元首外交高举和平、发展、合作、共赢旗帜，大力推动全球发展倡议、全球安全倡议取得成果，为维护世界和平、促进共同发展凝聚广泛共识、汇聚磅礴力量。
新华社评出2023年国际十大新闻
新华社北京12月30日电 新华社评出2023年国际十大新闻（按事件发生时间先后为序）
一、生成式人工智能驱动产业变革提速
1月，人工智能应用程序ChatGPT月活跃用户突破1亿。以ChatGPT为代表的生成式人工智能飞速发展，这种变革性工具在解决内容创作等任务方面表现出色。多国科技巨头竞相加大对人工智能研发投入，加速旗下产品与人工智能应用整合。作为新一轮科技革命和产业变革的重要驱动力，人工智能带来重大机遇，有望加快多个产业重塑，也伴随着难以预知的风险挑战。中国提出《全球人工智能治理倡议》，为人工智能全球治理提供中国方案。
二、土叙大地震造成重大人员伤亡
2月6日，土耳其南部靠近叙利亚边境地区发生7.7级地震，余震持续密集，在土造成逾5万人死亡，在叙造成上千人死亡。摩洛哥、阿富汗、尼泊尔等国今年也相继发生强烈地震，造成严重人员伤亡和财产损失。灾难发生后，中国第一时间向土耳其派出救援队，尽最大努力拯救生命，多次向受灾国提供紧急人道主义物资援助，用实际行动诠释了构建人类命运共同体理念。
三、中国斡旋沙伊复交带动中东多国和解
3月10日，在中国斡旋下，沙特阿拉伯和伊朗达成“北京协议”，同意恢复中断7年的外交关系。次月，两国正式复交。两个地区大国握手言和，带动中东地区多国和解。此后，叙利亚重回阿拉伯国家联盟，埃及和土耳其恢复大使级外交关系，阿联酋、巴林等国同卡塔尔关系迈向正常化……地区国家间缓和关系、谋求发展与合作势头明显增强，表明以对话协商解决矛盾分歧顺应民心，符合时代潮流和各国利益。
四、美西方鼓吹“去风险”加剧世界经济困境
3月，一些美西方政客提出所谓“去风险”概念，延续“脱钩断链”、构筑“小院高墙”的底层逻辑，违背经济规律和历史发展潮流，实际上就是去机遇、去合作、去稳定、去发展。当前，世界经济遭受多重挑战，复苏进程维艰。美联储持续激进加息，令美欧银行业风险陡增，全球流动性恶化，新兴经济体债务违约风险上升。美国持续推进《通胀削减法案》《芯片和科学法案》等保护主义产业政策，引发其他发达国家争相效仿，扰乱国际产供链稳定。美西方将经贸问题政治化、武器化，干扰全球市场正常运行，加剧世界经济困境。
五、“全球南方”唱响多边主义强音
8月24日，金砖合作机制历史性扩员，沙特、埃及、阿联酋、伊朗、埃塞俄比亚等获邀加入金砖大家庭。9月9日，非洲联盟受邀成为二十国集团正式成员。当前，发展中国家力量不断壮大，全球南方群体性崛起成为不可逆转的历史潮流，团结协作、共谋发展的呼声和意愿前所未有强烈。作为最大的发展中国家，中国是全球南方的当然成员，坚定维护发展中国家共同利益，推动增加新兴市场国家和发展中国家在全球事务中的代表性和发言权。
六、日本在反对声中启动核污染水排海
8月24日，日本不顾国际社会普遍质疑和有关国家强烈反对，单方面强行启动福岛核事故污染水排海。全年3轮排放累计超过2.3万吨核污水流入大海，全部排完预计需至少30年。人为向海洋排放核污水前所未有，大量放射性核素排海产生的累积海洋效应存在极大不确定性。福岛核污水排海事关全人类健康、全球海洋环境、国际公共利益，绝不是日本一家的私事。日方应严肃对待国内外合理关切，本着负责任和建设性的态度妥善处理福岛核污水问题。
七、巴以冲突凸显国际形势加剧动荡
10月7日，巴勒斯坦和以色列爆发新一轮冲突。两个多月来，冲突致使超过2万巴勒斯坦人死亡，酿成严重人道主义灾难。以方也有上千人丧生。国际社会要求保护平民、停火止战的呼声日益强烈。解决巴以冲突循环往复的根本出路是落实“两国方案”，恢复巴勒斯坦民族合法权利，建立独立的巴勒斯坦国。今年以来，乌克兰危机延宕不已，苏丹爆发武装冲突，尼日尔和加蓬发生政变……局部冲突与地区热点此起彼伏，国际形势动荡加剧。
八、高质量共建“一带一路”启新程
10月18日，第三届“一带一路”国际合作高峰论坛成功举行。习近平主席在论坛开幕式上发表主旨演讲，宣布中国支持高质量共建“一带一路”八项行动，为共建“一带一路”明确了新方向，开辟了新愿景，注入了新动力。共建“一带一路”提出10年来，150多个国家、30多个国际组织签署相关合作文件，一大批项目落地生根，开拓出一条通向共同发展的合作之路、机遇之路、繁荣之路，成为当今世界最受欢迎的国际公共产品和最大规模的国际合作平台。
九、元首外交引领中国外交谱写新华章
11月15日，习近平主席同美国总统拜登在旧金山会晤，确定了面向未来的“旧金山愿景”。这一年，习近平主席对俄罗斯进行国事访问，主持首届中国－中亚峰会，赴南非出席金砖国家领导人会晤并对南非进行国事访问，赴美国出席亚太经合组织领导人非正式会议，对越南进行国事访问，同多国及国际组织政要会见会谈、致电致函，给多国青少年和友好人士致信复信。在习近平外交思想引领下，中国特色大国外交在新征程上继续扬帆奋进、勇毅前行，推动全球发展倡议、全球安全倡议、全球文明倡议不断走深走实，为构建人类命运共同体注入强劲动力，谱写动人华章。
十、气候变化加剧威胁全球可持续发展
11月30日，世界气象组织宣布，2023年是有记录以来最热一年。气候变化加剧利比亚洪灾和夏威夷“世纪山火”等灾难，夏季热浪等极端天气气候事件已成新常态，全球经济社会发展受到冲击，几乎所有的可持续发展目标均受损害。联合国秘书长古特雷斯说：“全球变暖的时代已经结束，全球沸腾的时代已然到来。”联合国气候变化迪拜大会就《巴黎协定》首次全球盘点、损失与损害、公正转型等多项议题达成“阿联酋共识”，发出各方应合力加快行动的强有力信号。
新华社评出2024年国际十大新闻
新华社北京12月30日电 新华社评出2024年国际十大新闻
一、中国元首外交书写恢弘新篇章
一年来，习近平主席出席和平共处五项原则发表70周年纪念大会、中阿合作论坛、中非合作论坛北京峰会三大主场外交活动，开展欧洲之旅、中亚之旅、金砖之旅、拉美之旅四次重要出访，参加一系列多边峰会，同各国领导人及政要深入战略沟通，面向各国人民开展友好工作。元首外交引领新时代中国特色大国外交在百年变局中展现大格局、肩负大担当，引领和平发展、合作共赢的时代潮流。
二、嫦娥六号实现人类首次月背采样返回
5月3日至6月25日，嫦娥六号经历53天的太空之旅，实现世界首次月球背面采样返回，填补了人类对月背地质的认识空白。12月17日，神舟十九号乘组以9小时时长刷新中国航天员单次出舱活动时长纪录。多国航天事业也迈出新步伐：美国“星舰”首次验证“筷子夹火箭”回收技术，日本H3火箭、欧洲阿丽亚娜6型火箭分别首次成功发射。
三、欧洲多国政局生变
6月，欧洲议会选举，右翼和极右翼政党席位增加，极右翼势力借民众对经济、民生、移民等问题的不满进一步崛起。在内外压力下，欧洲多国政局出现变动：法国年内三换总理；英国保守党在议会选举中大败，工党时隔14年再次执政；德国执政联盟瓦解后，总理朔尔茨未通过联邦议院信任投票。
四、美联储降息开启新一轮宽松周期
9月18日，美联储宣布大幅降息50个基点，开启新一轮宽松周期，此后于11月、12月分别降息25个基点。欧洲央行等主要央行随之调整货币政策。美联储货币政策转向为国际市场提供更多流动性，短期有利于缓解一些国家的通胀和美元偿债压力，但也给世界经济带来新的不确定性。
五、人工智能多点开花推动创新浪潮
10月8日和9日，2024年诺贝尔物理学奖和化学奖相继揭晓，机器学习和蛋白质结构预测模型成为“赢家”，人工智能已成科研创新重要工具。一年来，Sora大模型引领文生视频新浪潮，人工智能终端拉动消费电子复苏，科技巨头加码布局人工智能芯片。中国推动联合国大会协商一致通过加强人工智能能力建设国际合作决议，为全球人工智能发展和治理贡献智慧力量。
六、“大金砖合作”引领全球南方加速崛起
10月22日至24日，金砖国家领导人第十六次会晤在俄罗斯举行，“大金砖合作”开局起步。当前，全球南方声势卓然壮大。中国始终是全球南方重要成员。一年来，习近平主席提出全球南方开放包容合作倡议，宣布支持全球南方合作八项举措、同阿拉伯国家启动构建“五大合作格局”、中非携手推进现代化十大伙伴行动和中国支持全球发展八项行动，为推动全球南方团结自强持续作出中国贡献。
七、乌克兰危机延宕加剧俄同西方对立
11月19日，乌克兰首次用美制导弹袭击俄罗斯境内纵深目标。同日，俄罗斯更新核威慑国家基本政策，向西方发出明确警告。一年来，乌军突袭俄本土，俄军在乌东推进，远程武器、集束炸弹相继投入战场，美国等西方国家继续向乌克兰输送武器。北约举行冷战结束以来最大规模军演，并吸纳瑞典加入，完成北扩。俄同北约矛盾更加尖锐。
八、春节申遗成功彰显中国文化影响力
12月4日，“春节——中国人庆祝传统新年的社会实践”列入联合国教科文组织人类非物质文化遗产代表作名录。一年来，春节、北京中轴线等申遗成功，中国提议设立文明对话国际日获国际社会一致支持，在免签政策助力下“中国游”成为国际旅游市场新热潮，国产游戏《黑神话：悟空》吸引全球玩家。中国文化的全球影响力不断增强，全球文明倡议在世界上获得越来越多支持。
九、叙利亚反对派武装推翻巴沙尔政府
12月8日，“叙利亚沙姆解放武装”等武装组织以闪电攻势占领首都大马士革，推翻巴沙尔·阿萨德领导的叙利亚政府，持续13年的叙利亚内战出现重大转折。以色列随即占领戈兰高地叙方控制区，大规模空袭叙军事目标。叙利亚局势突变，引发地区国家和域外大国激烈博弈，为中东地区局势增添更多变数。
十、巴以冲突致地区紧张局势轮番升级
截至12月16日，以色列在加沙地带的军事行动已造成巴勒斯坦逾4.5万人死亡，超过10万人受伤。新一轮巴以冲突爆发14个月以来，加沙被炸成废墟，200万居民在封锁和炮火中挣扎，人道主义底线被一再突破。巴以、黎以、伊以、红海紧张局势轮番升级。美国不断向以色列输送军火，一意孤行阻挠联合国安理会通过涉加沙停火决议草案，遭到国际社会强烈谴责。
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Chinese
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8k
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T6. Aggregation & Clustering
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T6.3 Global Frequency Analysis
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Full
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统计以下关键词出现的频率（不包括其他简称，严格按照关键词），并按照降序排列。先输出“[答案]”标识符，再按行输出排序后的关键词，不要输出任何其他内容。
元首外交
新冠疫情
人工智能
人类命运共同体
输出示例：
[答案]
新冠疫情
元首外交
人工智能
人类命运共同体
|
统计以下关键词出现的频率（不包括其他简称，严格按照关键词），并按照降序排列。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的关键词。
元首外交
新冠疫情
人工智能
人类命运共同体
输出示例：
<你的思考过程>
[答案]
新冠疫情
元首外交
人工智能
人类命运共同体
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[
"人工智能",
"人类命运共同体",
"元首外交",
"新冠疫情"
] |
Hard
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66b25da83e96e394ecd30f577121f5b818e4b548a2d40523907c0df2f5552bc0
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# John Harrison: The Master Clockmaker Who Solved the Longitude Problem
## Introduction: The Longitude Dilemma and the Call of the Age
On October 22, 1707, a dense fog shrouded the North Atlantic, and violent winds lashed four warships of the British Royal Navy with towering waves. Standing on the bridge of the flagship *HMS Royal Anne*, Admiral Sir Cloudesley Shovell frowned—days of relentless bad weather had left the crew completely disoriented. The only "navigation tools" at their disposal were rough estimates of latitude (determined by observing the height of the North Star) and vague records of ship speed. When dawn finally pierced the darkness, the sailors made a horrifying discovery: the fleet, which they thought was still in deep waters, was actually closing in on the Scilly Isles off the southwest coast of England. A thunderous crash shattered the sea as the *Royal Anne*, *HMS Edinburgh*, *HMS Romney*, and *HMS Phoenix* ran aground one after another. The disaster claimed over 1,400 lives, including Admiral Shovell himself, who drowned after struggling to reach shore.
This tragedy, later known as the *Scilly Naval Disaster*, was no accident. Similar catastrophes were a common occurrence in 18th-century maritime history. The root cause lay in a problem that had plagued humanity for millennia: **determining longitude at sea**. By this time, sailors had long mastered the art of finding latitude using celestial observations—those in the Northern Hemisphere measured the angle between the North Star and the horizon, while those in the Southern Hemisphere used the Southern Cross—with errors typically limited to a few miles. Longitude, however, remained an unsolvable mystery. The Earth rotates eastward, and each 15 degrees of longitude corresponds to a 1-hour time difference. If sailors could accurately calculate the gap between "home time" and "local time," they could determine longitude using the formula "time difference × 15 degrees." The problem? No reliable timekeeping device existed at sea:
- Mechanical clocks of the era relied on pendulums, which became useless aboard rolling ships.
- Hourglasses and water clocks were so imprecise that their errors grew enormous within just a few hours.
- Astronomical methods (such as lunar observations) were highly dependent on weather and required complex calculations beyond the skill of ordinary sailors.
The "longitude problem" was not merely a threat to maritime safety—it was the "Achilles’ heel" of Britain’s growing naval and colonial power. By the early 18th century, Britain was in a critical phase of overseas expansion and global trade. Merchant fleets crossed the Atlantic to reach the Americas and the Caribbean, while the Royal Navy patrolled oceans worldwide to safeguard British interests. Statistics show that between 1700 and 1714, the cost of shipwrecks caused by longitude errors exceeded Britain’s military spending on the war against France. Solving the longitude problem was no longer a scientific challenge—it was a strategic necessity for national survival.
In 1714, at the joint urging of the British Admiralty, merchant guilds, and scientists, Parliament passed the **Longitude Act**, establishing one of the most lucrative scientific prizes in history: the *Longitude Prize*. The Act stipulated:
- £10,000 for a device that could determine longitude at sea with an error of no more than 1 degree (approximately 60 nautical miles).
- £15,000 for an error of no more than 0.5 degrees.
- A maximum of £20,000 (equivalent to 200 years’ earnings for a skilled craftsman at the time) for an error of 0.25 degrees or less (about 15 nautical miles).
This massive reward acted as a clarion call, attracting scientists, inventors, craftsmen, and even charlatans from across Europe. Astronomers advocated for calculating longitude using the "lunar distance method" (measuring the gap between the Moon and stars); mathematicians designed complex astronomical tables; and some even proposed absurd schemes like "magnetic compass positioning" or "carrier pigeons delivering time signals."
In this half-century "longitude race," the ultimate winner was neither a leading astronomer from the Royal Society nor a renowned scholar from Oxford or Cambridge. Instead, it was a self-educated carpenter and clockmaker from a Yorkshire village—**John Harrison**.
With four revolutionary marine timepieces (later known as H1 to H4), Harrison solved the longitude problem using mechanical timekeeping, ushering humanity into the "age of precise navigation." His story is not just a tale of technical innovation, but an epic of an ordinary craftsman defying authority and rewriting history with perseverance and ingenuity.
## Chapter 1: Early Years – The Mechanical Genius of Yorkshire (1693–1730)
### 1.1 Childhood in Fleetham:启蒙 Among Sawdust and Gears
John Harrison was born on March 24, 1693, in the village of Fleetham, in the East Riding of Yorkshire—a rural area dominated by agriculture and cottage industries. His father, Henry Harrison, was a skilled carpenter who also worked as an assistant parish clerk (a non-clerical role involving church repairs and paperwork); his mother, Elizabeth Harrison, was a typical village woman who managed the household and assisted her husband with carpentry tasks. Harrison was the eldest of four children (two younger brothers and one sister), and though the family was not wealthy, they lived comfortably.
Fleetham, located on Yorkshire’s flatlands near the River Humber, was a hub for rural craftsmanship. The village had blacksmiths, carpenters, and a clock repair shop, and occasionally, clockmakers from London would pass through to sell or repair timepieces. Harrison’s childhood was spent almost entirely in his father’s carpentry workshop. From the moment he could stand, he learned to plane wood, saw planks, and polish parts—his small hands were soon calloused from the work. Henry Harrison was a master craftsman: he built furniture and farm tools, and even repaired the village’s only church clock—a 16th-century mechanical device driven by weights that required daily winding and kept notoriously poor time. Yet this clock would spark Harrison’s lifelong fascination with time.
At the age of seven, Harrison accompanied his father to repair the church clock. When his father disassembled the clock, revealing its interlocking gears, swinging pendulum, and escapement mechanism, Harrison was transfixed. "Those metal parts seemed to have a life of their own," he later wrote in his memoirs. "Every swing and every mesh allowed the hands to move precisely, as if measuring the invisible passage of time." He蹲在 beside the clock for hours, only leaving when his father reminded him it was time for dinner.
After that day, Harrison became a regular visitor to the church clock. He volunteered to wind it daily and observed the pendulum’s movement closely: he noticed that the pendulum’s speed depended on its length—when his father shortened the pendulum rope to correct an error, the clock ran faster. He also observed that the clock slowed down in cold weather, and his father explained, "Metal contracts in the cold, so the gears turn more slowly." These simple observations would later lay the groundwork for his solution to the "temperature compensation" problem in marine clocks.
### 1.2 Self-Education During Illness: From Carpenter to Clockmaker
Harrison’s childhood was not without hardship. At 13, he contracted a severe case of smallpox and was bedridden for nearly a year. The illness forced him to miss his basic education at the village school (which focused on reading, writing, and simple arithmetic), but it also gave him the opportunity for intensive self-study. During his recovery, his father gave him a copy of *The Mystery of Nature and Art*—a popular 17th-century educational book covering mechanical principles, astronomy, and craftsmanship. The chapter on clockmaking, which detailed pendulum theory, gear calculations, and escapement design, became Harrison’s obsession.
Harrison devoured the book, reading every word aloud while lying in bed. When he encountered unfamiliar terms, he waited for his father to return home to ask for explanations; when he saw mechanical diagrams, he copied them onto paper with a pencil and even tried to carve small gears from leftover wood scraps. By the time he recovered, his craftsmanship had already surpassed that of most boys his age—he could carve wooden gears less than 1 centimeter in diameter, with teeth that meshed perfectly and rotated almost silently.
At 16, Harrison left home to apprentice as a carpenter in the nearby village of Barton-upon-Humber. Barton was more prosperous than Fleetham and had a dedicated clock shop run by a man named George Graham (not to be confused with the later Royal Society clockmaker of the same name). In his free time, Harrison volunteered at Graham’s shop—cleaning clocks, passing tools, and doing odd jobs—just to watch the inner workings of the timepieces. Impressed by Harrison’s curiosity and carpentry skills, Graham occasionally taught him clock repair techniques, such as adjusting escapements and calibrating pendulums.
At 20, Harrison completed his apprenticeship and became an independent carpenter. His work quickly gained a reputation in the area—he built furniture that was both sturdy and innovative, such as cabinets with automatic closing mechanisms and tables with adjustable heights. But his true passion remained clockmaking. In 1713, at the age of 20, he built his first complete clock: a grandfather clock. What made this clock unusual was that all its moving parts (gears, shafts, balance wheels) were made of wood, not brass—the standard material for clocks at the time.
Harrison chose wood not to cut costs, but out of a deep understanding of materials: 18th-century metalworking lacked precision, and brass expanded or contracted with temperature changes, causing significant time errors. Wood—especially the oak and lignum vitae he selected—was hard and had "self-lubricating" properties. Lignum vitae, a tropical hardwood rich in resin, required no additional oiling to reduce friction between gears. When Harrison tested the wooden grandfather clock in his workshop, the results were astonishing: it lost or gained no more than 10 seconds per day, far outperforming the best brass grandfather clocks of the time (which typically had errors of 1–2 minutes per day).
The success of this wooden clock taught Harrison a crucial lesson: **the accuracy of a clock depends not only on its design but also on mastering the properties of its materials**. He went on to build two more wooden grandfather clocks, selling them to local squires and churches. These timepieces earned him the reputation of "Yorkshire’s finest clockmaker," but his ambition extended far beyond the village. By this time, he had heard of the Longitude Prize—and a grander challenge had begun to take shape in his mind.
### 1.3 Marriage and Family: The Backbone of His Success
In 1718, at the age of 25, Harrison married Elizabeth Barnes, a woman from Barton-upon-Humber. Elizabeth, from a farming family, was gentle and hardworking. She not only understood Harrison’s obsession with clocks but also became his most steadfast supporter. After their marriage, the couple moved to Bourne, Lincolnshire, where Harrison opened a combined carpentry and clockmaking shop that thrived.
Elizabeth managed the household and assisted Harrison with his clockmaking: her skill with fine needlework allowed her to sew leather watch straps, and she kept detailed records of clock test data, such as daily time errors and the impact of temperature changes. In 1721, their eldest son, William Harrison, was born; their second son, John Harrison Jr., followed in 1723. As the boys grew older, both became their father’s assistants—especially William, who inherited Harrison’s mechanical talent. William would later play a key role in testing H4 and became Harrison’s primary liaison with the Royal Society.
Harrison’s 12 years in Bourne (1718–1730) were a critical period of skill-building and technical refinement. His clocks grew increasingly accurate, and he began experimenting with innovative designs: he added "weight shock absorbers" to reduce the impact of external vibrations on timekeeping, and designed a "double pendulum system" where two pendulums swung in opposite directions to counteract errors caused by tilting surfaces. These innovations, though intended for land clocks, were early experiments for his future marine timepieces—Harrison was already aware that the greatest challenges at sea would be **vibration and tilting**.
In 1730, at the age of 37, Harrison made a life-changing decision: he closed his shop in Bourne, moved his family to London, and dedicated himself fully to developing a marine clock. He was convinced that his mechanical designs could solve the longitude problem more reliably than the astronomers’ lunar distance method. Before leaving, he told Elizabeth, "This may take years—even a lifetime—but if we succeed, we’ll save countless sailors’ lives." Elizabeth simply packed their belongings and replied, "I believe in you, John. I’ll wait as long as it takes."
## Chapter 2: The Challenge of the Longitude Prize – The Birth and First Trial of H1 (1730–1736)
### 2.1 The Shock of London: From Village Craftsman to "Longitude Competitor"
In the autumn of 1730, the Harrison family arrived in London. Europe’s largest city at the time was both an opportunity and a challenge for a village craftsman from Yorkshire. London’s clockmaking industry was thriving, with hundreds of workshops, including those of masters like Thomas Tompion (known as the "Father of English Clockmaking") and George Graham (a Royal Society member and the leading clockmaker of his era). Harrison’s wooden clocks, which had been considered masterpieces in the countryside, were dismissed by many London clockmakers as "rustic curiosities."
Adding to Harrison’s pressure, the "longitude problem" was the talk of London’s academic circles. The Royal Society held weekly seminars on longitude solutions; the Admiralty’s corridors were filled with speculators peddling wild inventions. Harrison knew that his reputation and craftsmanship alone would not win him recognition from the authorities—he needed an influential supporter to help him gain access to the **Board of Longitude**, the body established by the Longitude Act to judge entries.
After asking around, Harrison learned that George Graham, the Royal Society’s clockmaker, was open to the idea of a "mechanical longitude solution" (most scientists at the time favored the lunar distance method). In November 1730, Harrison arrived at Graham’s workshop with his marine clock designs. Nervously, he explained his concept: replacing the pendulum with a "balance beam" (to avoid the effects of ship rolling), using a "weight-driven + spring-assisted" power system, and counteracting tilting with a "double balance mechanism"—the core design that would become H1.
Graham initially dismissed the "village craftsman," but his attitude changed dramatically when he saw Harrison’s blueprints. Every part was labeled with precise dimensions and materials; the balance mechanism’s force analysis was clear; and Harrison had even accounted for the effects of sea temperature and humidity on the parts. Graham realized he was not dealing with a charlatan, but a true "mechanical genius." He told Harrison, "Your design is promising, but testing a marine clock requires significant funding. I can’t fund you directly, but I can introduce you to the Board of Longitude and offer technical advice."
With Graham’s recommendation, Harrison attended his first Board of Longitude meeting in January 1731. There, he presented his designs to the board members (including naval officers, astronomers, and mathematicians). Most were skeptical of mechanical timekeeping: Edmond Halley (the astronomer who discovered Halley’s Comet) bluntly stated, "Vibration and temperature changes at sea will render any mechanical clock useless. Your plan is nothing but a fantasy." But Graham defended Harrison: "His wooden clocks are more accurate than any land clock we have. We owe him a chance to prove himself." In the end, the Board agreed to give Harrison £500 in seed funding, with the requirement that he build his first marine clock within five years.
### 2.2 The Development of H1: Five Years of Meticulous Work
In March 1731, Harrison rented a small workshop in East London and began developing H1. His first challenge was material selection: wood, which worked for land clocks, would warp in the sea’s humid environment, so he switched to metal. After extensive testing, he chose brass for the main components (for strength and ease of machining) and steel for critical parts like balance shafts (for hardness and wear resistance).
H1’s core innovation was replacing the traditional pendulum with a **double balance beam**. A pendulum relies on gravity, which causes it to swing wildly off its vertical axis aboard a rolling ship. Harrison’s balance beam consisted of two parallel metal rods, fixed to the clock case at one end and attached to balance weights at the other. Driven by a spring, the two beams swung in opposite directions (one left, one right). Their oscillation frequency was determined by the spring’s elasticity and the weight of the balance masses—not by the direction of gravity—solving the core problem of "ship rolling."
To ensure the balance beams oscillated stably, Harrison spent a full year adjusting the spring’s parameters. He made hundreds of springs of different thicknesses and materials (steel, brass, bronze), testing their elasticity under varying temperatures.最终, he selected a high-carbon steel spring that maintained its elasticity within 5% across a temperature range of -10°C to 30°C—sufficient to withstand the sea’s temperature fluctuations.
Another challenge was the **power system**. Traditional clocks used weights for power, but weights slid on tilted decks, causing unstable power output. Harrison designed a hybrid "weight + spring" system: weights provided the main power, while a spring acted as a buffer. When the ship tilted, the spring’s elasticity compensated for fluctuations in the weight’s power, ensuring the gears rotated at a steady speed. To make the power system more reliable, he added "jewel bearings" (made of ruby or sapphire) between the gears—jewels are extremely hard and have a low friction coefficient, reducing gear wear and extending the clock’s lifespan.
Building H1 was a test of manual precision. No machine tools existed at the time, so every part was hand-finished by Harrison: the balance beams had to be precise to 0.1 millimeters, the gear teeth perfectly symmetrical, and the spring tension exact. He often worked in his workshop until midnight; sometimes, he spent over 10 hours straight打磨 a single part. Elizabeth would bring him bread and milk late at night, and seeing his bloodshot eyes, she would say, "John, take a break. You can finish it tomorrow." Harrison would shake his head: "Every tiny error in a part will be magnified tenfold or a hundredfold at sea. I can’t afford to be careless."
In November 1735, after five years of work, H1 was finally completed. The marine clock stood 1.8 meters tall, 0.6 meters wide, and weighed 34 kilograms—resembling a cabinet with a brass case engraved with Harrison’s name and the year of manufacture. The front of the case had two dials: one showing time (to the second) and the other indicating "power reserve" (to remind sailors when to wind it). In laboratory tests in London, H1 maintained an error of no more than 15 seconds per day under simulated sea conditions (a rocking wooden platform) and temperature changes (0°C to 30°C)—far exceeding the Board of Longitude’s minimum requirement of 1 degree error.
### 2.3 The Voyage to Lisbon: H1’s First Sea Trial
In March 1736, the Board of Longitude decided to conduct a sea trial of H1. The route chosen was London to Lisbon—a common trade route between Britain and Portugal, covering 1,600 nautical miles and passing through the stormy North Atlantic, which would put the clock’s performance to the test in harsh conditions. Harrison initially hoped to accompany H1 on the voyage, but the Board deemed him "lacking in maritime experience" and instead assigned his 15-year-old son William (who had already learned clockmaking from his father) and Navy officer John Campbell to oversee the test.
On March 28, William boarded the Royal Navy ship *HMS Centurion* with H1. Before departure, Harrison repeatedly instructed his son: "At 9 a.m., 12 p.m., and 6 p.m. every day, you must record H1’s time, the ship’s ‘solar time’ (determined by observing the Sun’s height), and the sea conditions and temperature. Don’t miss a single detail." William wrote his father’s instructions in a notebook and carefully secured H1 in a corner of the cabin—he even placed three layers of wool blankets under the clock to reduce vibration.
Shortly after the *Centurion* set sail, it encountered a North Atlantic storm. Waves crashed over the deck like mountains, overturning tables and chairs in the cabin and scattering dishes everywhere. William clung tightly to H1’s case, fearing it would be damaged. He later wrote in his log: "The ship tilted so violently it felt like it would capsize. I thought I would be thrown overboard at any moment, but H1’s balance beams continued to swing steadily, and the hands on the dial never wavered."
During the voyage, William followed his father’s instructions to the letter. Every noon, he and Officer Campbell observed the Sun’s height to determine "local time," then compared it to H1’s "London time" to calculate the ship’s longitude. On April 10, as the *Centurion* approached the Portuguese coast, H1’s calculations indicated the ship was 50 nautical miles west of Lisbon. However, the crew’s traditional "dead reckoning" (estimating position using speed and direction) suggested they were near Lisbon. Campbell was inclined to trust dead reckoning and prepare to dock, but William insisted H1’s calculation was correct. When the captain ordered a small boat to scout, H1 was proven right—the ship was indeed 50 nautical miles west of Lisbon, and docking based on dead reckoning would have led to a shipwreck.
On April 14, the *Centurion* arrived safely in Lisbon. Over the 16-day voyage, H1’s total error was just 1 minute and 40 seconds, corresponding to a longitude error of approximately 0.25 degrees—exactly the requirement for the Longitude Prize’s top reward! When the news reached London, Harrison was overjoyed, thinking he had finally won the prize. But when William returned to London with H1 and the test logs, the Board of Longitude raised doubts: "A single test cannot prove your clock’s reliability. You need to conduct another transatlantic test—perhaps to the Caribbean, where temperature changes are more extreme and the voyage longer."
Harrison knew the Board’s skepticism stemmed not only from distrust of mechanical solutions but also from resistance by astronomers (supporters of the lunar distance method still dominated the Board). But he did not complain. Instead, he calmly accepted the requirement: "I will improve H1 and build a more accurate marine clock. I will prove its reliability with more tests."
## Chapter 3: Improvements and Setbacks – The Interruption of H2 and 20 Years of Struggle for H3 (1736–1759)
### 3.1 The Design of H2: Refinements to H1 and the Unexpected War
In January 1737, Harrison began developing his second marine clock, H2. Drawing on the lessons from H1’s Lisbon trial, he made several key improvements:
First, H2 was significantly smaller and lighter—1.5 meters tall, 0.5 meters wide, and 25 kilograms—making it easier to transport and install aboard ships. Second, he replaced the hybrid power system with an **all-spring drive**: H1’s "weight + spring" system was reliable but heavy, and winding the weights required multiple people. H2 used a "dual-barrel" design, with two spring barrels working in tandem. This not only provided more stable power but also made winding easier (one person could do it). Additionally, Harrison added an **anti-magnetic device** to H2: he had noticed that the ship’s compass created magnetic fields that interfered with steel parts, so he lined the inside of the clock case with a thin copper sheet (copper is non-magnetic) to block magnetic interference.
Developing H2 was smoother than H1, and by May 1741, after just four years, H2 was completed. In simulated tests in London, H2 was even more accurate than H1—losing or gaining no more than 10 seconds per day, and remaining stable even under extreme temperatures (-15°C to 35°C) and vibration. The Board of Longitude was impressed and scheduled a transatlantic test to Jamaica (a 4,000-nautical-mile voyage, 2.5 times longer than the Lisbon route), with William Harrison once again overseeing the trial.
In August 1741, William boarded *HMS Hampton Court* with H2, ready to sail to Jamaica. But just as the ship was about to depart, Britain declared war on Spain in the **War of Jenkins’ Ear**—Spanish warships had attacked British merchant ships in the Caribbean, prompting Parliament to act. *HMS Hampton Court* was urgently drafted into the Royal Navy fleet and sent to the Caribbean to fight, forcing the cancellation of H2’s test.
William had no choice but to bring H2 back to London. Harrison was disappointed to see the unharmed clock, but he understood that naval warfare took priority over testing marine clocks during wartime. However, a worse setback awaited him: in 1742, while inspecting H2, Harrison discovered a fatal design flaw. H2’s balance shaft was made of steel, and during long periods of oscillation, the wear between the shaft and its bearing was more severe than expected, causing the balance beam’s oscillation frequency to change gradually. This flaw was not noticeable in short tests, but during a long transatlantic voyage, the error would accumulate and eventually exceed the required limit.
"We must completely redesign the balance shaft," Harrison told William. He realized that H2’s flaw was not a matter of "manufacturing precision" but a failure in "design philosophy"—the traditional "shaft-and-bearing" structure, no matter how hard the materials, could not avoid wear. To solve this problem, he needed an entirely new "wear-free" or "low-wear" balance mechanism.
### 3.2 The Breakthrough of H3: Bimetallic Strips and the Grasshopper Escapement
In 1743, at the age of 49, Harrison began developing his third marine clock, H3. This time, he focused all his energy on innovating the **balance mechanism** and **escapement**—a task that would take nearly 20 years.
H3’s first major challenge was **temperature compensation**. Harrison discovered that even the best steel expands or contracts by approximately 0.001% per degree Celsius. For H3’s 0.5-meter-long balance beam, a 10°C temperature change would cause a 0.5-millimeter length change, altering the beam’s oscillation frequency and leading to time errors (a 10°C increase would make the clock run 10 seconds fast per day). After three years of thinking, Harrison invented the **bimetallic compensation device**.
A bimetallic strip consists of two metals with different thermal expansion coefficients—Harrison chose brass (high expansion) and steel (low expansion), welding them together to form a curved strip fixed to the end of the balance beam. When temperatures rose, brass expanded more than steel, causing the strip to bend toward the steel side and slightly shortening the beam’s effective length, counteracting the beam’s overall expansion. When temperatures fell, brass contracted more than steel, causing the strip to bend toward the brass side and slightly lengthening the beam’s effective length, counteracting contraction. By precisely calculating the strip’s length and curvature, Harrison reduced H3’s temperature-induced error to no more than 1 second per day—the first time "active temperature compensation" had been achieved in clockmaking. This technology would later be used in all precision mechanical clocks.
H3’s second major innovation was the **grasshopper escapement**. Traditional escapements (such as the anchor escapement) relied on rigid collisions between the escapement fork and the balance wheel, causing wear and vibration that reduced accuracy. Harrison’s grasshopper escapement used "elastic pallets" made of thin steel strips—shaped like a grasshopper’s legs—that bent slightly when they contacted the balance wheel, minimizing vibration from collisions. Additionally, the pallets had an extremely small contact area, resulting in almost no wear. This escapement not only greatly improved H3’s accuracy but also extended the parts’ lifespan—in later tests, the grasshopper escapement operated continuously for 10 years with no significant wear.
Beyond bimetallic strips and the grasshopper escapement, H3 included numerous other innovations: a **spiral-spring balance wheel** (replacing traditional balance weights with a spiral spring to further reduce size), **micro-adjustment screws** (allowing precise calibration by adjusting the balance wheel’s mass distribution), and a **dustproof case** (protecting internal parts from salt spray and dust corrosion at sea).
Developing H3 was an arduous process. Harrison made over 200 bimetallic strip prototypes to test their deformation under different temperatures; the grasshopper escapement went through hundreds of failed designs—sometimes the elastic pallets were too soft and broke, other times the contact angle was wrong and failed to control power release. By 1750, Harrison was nearly 60, his hair turning white and his hands calloused from years of打磨 parts, but he persisted. Elizabeth, now seriously ill, still prepared his meals daily and helped him record test data. When she died in 1755, Harrison was devastated, but he knew her greatest wish was to see him complete the marine clock. After a short period of mourning, he returned to his workshop.
### 3.3 The Regret of H3: Near-Perfect but Unfinished
In 1759, after 16 years of work, H3 was finally completed. The marine clock stood 1.2 meters tall, 0.4 meters wide, and weighed 18 kilograms—smaller and lighter than H2. In long-term tests in London, H3 performed nearly flawlessly: under simulated sea conditions, it maintained an error of less than 5 seconds per day, and even with a 20°C temperature change, the error never exceeded 3 seconds—far surpassing the Longitude Prize’s top requirement (10 seconds per day for 0.25 degrees of longitude error).
However, when Harrison submitted H3 to the Board of Longitude, he faced another setback. By this time, the Board was dominated by astronomer Nevil Maskelyne—a staunch supporter of the lunar distance method. Maskelyne had traveled to St. Helena in 1761 to observe the transit of Venus and calculated the island’s longitude using the lunar distance method, giving him great influence on the Board. He imposed strict conditions on H3’s testing: "It must undergo a 6-month transatlantic voyage, and every day its results must be compared to the lunar distance method. If it exceeds a 10-second error on any day, it will be deemed a failure."
Harrison knew Maskelyne’s requirement was nitpicking—even H3 could experience occasional errors during a 6-month voyage due to part fatigue or saltwater corrosion. More dishearteningly, after 16 years of dedication to H3, he realized he still could not convince the authorities who "worshipped astronomical methods." Now 66 years old, he began to rethink his approach: perhaps a "cabinet-sized" marine clock, no matter how improved, would never satisfy the Board. To break the deadlock, he needed an entirely new design—one that defied all traditional notions.
It was then that Harrison noticed a pocket watch William was wearing—a common mid-18th-century pocket watch, small and portable but highly inaccurate (losing or gaining minutes per day). A bold idea suddenly struck him: "What if I build a marine clock the size of a pocket watch, with a higher oscillation frequency? Would that make it more accurate?"
Traditional cabinet-sized marine clocks (like H1–H3) had low oscillation frequencies (H1’s balance beam swung 10 times per minute). Lower frequencies made them more vulnerable to external interference. Pocket watches, by contrast, had much higher frequencies (over 180 swings per minute), and high-frequency oscillation better resisted external disturbances, improving accuracy. Harrison realized this could be the key to solving the problem—abandoning the large cabinet design and developing a **pocket watch-sized marine clock**.
In late 1759, Harrison set aside H3’s test application and began designing his fourth marine clock: H4. No one could have guessed that this "miniature" timepiece would be the final solution to the longitude problem.
## Chapter 4: A Revolutionary Breakthrough – The Birth and Controversy of H4 (1759–1764)
### 4.1 The Design of H4: From Cabinet Clock to Pocket Watch
In October 1759, Harrison began drafting blueprints for H4 in his London workshop. Unlike the "cabinet-sized" H1–H3, H4 was designed to be pocket watch-sized—13 centimeters in diameter, 3 centimeters thick, and weighing just 1.4 kilograms, small enough to fit in a pocket. This "miniaturization" required solving three core problems:
1. How to achieve stable high-frequency oscillation in a small volume?
2. How to provide sufficient power for long voyages?
3. How to implement temperature compensation in smaller parts?
To address the first problem, Harrison designed a **high-frequency spiral-spring balance wheel**. The balance wheel, made of brass, was 5 centimeters in diameter with 12 small metal weights embedded around its edge (for fine-tuning mass distribution). The spiral spring driving the balance wheel was made of high-carbon steel with an extremely high elastic coefficient, allowing the balance wheel to oscillate at 216 times per minute (3.6 times per second)—three times faster than a typical pocket watch and 21.6 times faster than H3’s balance beam. High-frequency oscillation meant the balance wheel could quickly recover its stable rhythm even after brief vibrations, significantly reducing the impact of external interference.
To solve the "small-volume power" problem, H4 used a **series-connected multiple-barrel design**: three spring barrels connected in series, each storing enough power to run the clock for 8 days, giving a total power reserve of 24 days. The gears in the barrels featured "precision meshing" with carefully calculated tooth ratios to ensure uniform power transmission to the balance wheel. Harrison also added a **constant-force device** to the barrels: a small spring maintained constant tension as the main spring unwound, preventing the clock from slowing down due to reduced spring tension.
For "miniature temperature compensation," Harrison miniaturized H3’s bimetallic strip design into a **bimetallic balance wheel**. Eight small bimetallic strips (brass and steel) were embedded around the balance wheel’s edge; one end of each strip was fixed to the wheel, and the other end was attached to a small weight. When temperatures changed, the strips bent, moving the weights radially: higher temperatures caused the weights to move outward, increasing the balance wheel’s moment of inertia and counteracting the increased elasticity of the spiral spring (higher temperatures make springs stiffer, speeding up oscillation). Lower temperatures caused the weights to move inward, decreasing inertia and counteracting reduced spring elasticity. This compact, efficient design limited H4’s temperature-induced error to no more than 2 seconds per day.
H4’s escapement was an improved version of the grasshopper escapement—the **verge escapement**. Smaller and nearly silent, it more precisely controlled the frequency of power release. Additionally, H4’s dial was intricately designed: an inner ring showed hours and minutes (to the minute), an outer ring showed seconds (to 0.5 seconds), and a small central hand indicated power reserve.
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### 4.2 The Construction of H4: The Pinnacle of Manual Precision
Building H4 pushed the limits of manual machining. Due to its small size, parts required far greater precision than H1–H3: the balance wheel’s roundness error had to be less than 0.01 millimeters, the spiral spring’s diameter error within 0.005 millimeters, and the gear tooth gap no more than 0.02 millimeters. With no precision machine tools available, every part was made by hand using custom tools: miniature files (the smallest just 1 millimeter in diameter), a miniature drill press (with 0.1-millimeter drill bits), and a 10x magnifying glass.
To make the balance wheel, Harrison first sawed a brass block into a circle, then sanded it repeatedly, measuring its roundness with a micrometer (a precision tool he made himself, capable of measuring to 0.001 millimeters) until the error was less than 0.01 millimeters. Making the spiral spring was even more painstaking: he drew high-carbon steel into 0.1-millimeter-diameter wire, then wound it by hand around a 2-millimeter-diameter metal rod. Each coil had to be perfectly spaced—any unevenness would disrupt the spring’s elasticity. He often worked under a magnifying glass, holding his breath to avoid shaking as he wound each coil. Sometimes, making a single spring took an entire day; if even one coil was uneven, he had to start over.
H4’s jewel bearings (for the balance wheel and gear shafts) were made of rubies—extremely hard but difficult to machine. Harrison ground ruby roughs into 1-millimeter cylinders, then drilled a 0.2-millimeter hole through the center (for the shaft) using a fine steel needle dipped in carborundum. He rotated the needle by hand, cleaning out debris every 0.1 millimeters of depth; a single hole could take hours to drill.
In December 1760, all H4’s parts were completed, and assembly began. The process required extreme patience: installing the spiral spring onto the balance wheel meant adjusting its tension until the oscillation frequency was exactly 216 times per minute; installing the gears into the barrels required perfect meshing with no trace of binding. Harrison assembled only 1–2 parts per day, then tested the clock for 24 hours. If an error was found, he disassembled and readjusted.
In March 1761, after 18 months of work, H4 was finally finished. The pocket watch-sized marine clock had a silver case engraved with "John Harrison, London, 1761" and a crystal glass dial (the most transparent material available at the time, reducing light refraction for easier reading). In simulated tests in London, H4 maintained an error of just 1–2 seconds per day under simulated sea vibrations, temperature changes, and salt spray—making it the world’s first portable timepiece accurate to the second.
### 4.3 The 1761 Jamaica Voyage: H4’s Triumph and Doubt
In May 1761, the Board of Longitude agreed to a transatlantic test of H4, with the route set for London to Jamaica—a 4,800-nautical-mile voyage expected to take 2 months. Once again, Harrison entrusted the test to his son William, now 30 years old. William had not only mastered clockmaking but also gained extensive maritime experience, making him capable of handling any issues during the voyage.
On May 18, William boarded *HMS Deptford* with H4. Before departure, Harrison told his son, "H4 is like my child—take good care of it. Remember to record every test datum accurately, no matter how difficult things get." William nodded solemnly, placing H4 in a custom silver case he carried with him at all times—he slept with the case under his pillow and held it in his arms during storms to protect the clock.
After leaving port, *HMS Deptford* crossed the English Channel and entered the North Atlantic. The voyage was plagued by storms, and the ship rolled violently. Many crew members suffered from seasickness, but William remained calm, recording H4’s time, local solar time, sea conditions, and temperature as scheduled. On July 10, *HMS Deptford* arrived in Kingston, Jamaica. According to H4’s calculations, the total longitude error during the voyage was just 5 seconds—corresponding to a longitude error of approximately 0.125 degrees (14 nautical miles). This not only exceeded the Longitude Prize’s top requirement but was even more accurate than the lunar distance method (which typically had errors of 30–50 nautical miles).
The Governor of Jamaica was astounded by H4’s performance and personally signed a test report confirming that H4 "maintained extraordinary accuracy throughout the voyage, providing reliable positioning for the ship." William returned to London with H4 and the report in January 1762. Holding the report, Harrison said excitedly to William, "We did it, son. We finally solved the longitude problem!"
However, when Harrison submitted H4’s test report to the Board of Longitude, he faced fierce opposition from Maskelyne. Maskelyne argued that H4’s success was "a fluke": "One lucky voyage does not prove it will work in all seas." He also claimed H4’s design was "too complex" for ordinary clockmakers to replicate, making it too costly to maintain and repair for naval use. Most infuriatingly, Maskelyne demanded that Harrison "publish all of H4’s design blueprints"—otherwise, the test results would not be recognized.
Harrison refused to release the blueprints. He argued that H4’s design represented over 40 years of his life’s work and was his intellectual property. Furthermore, Britain was at war with France at the time, and publishing the design could allow the French to copy it, threatening British naval security. The dispute deadlocked, and the Board finally decided to award Harrison only half the prize (£10,000) and ordered him to build an identical marine clock (H5) for a second transatlantic test. If H5 also passed, the remaining £10,000 would be awarded.
### 4.4 The 1764 Barbados Voyage: H4’s Second Vindication
Though angered by the Board’s decision, Harrison agreed to build H5 to fully prove H4’s reliability. Before starting H5, however, he insisted on a second test of H4—this time to Barbados, a Caribbean island farther south with higher temperatures, to further verify H4’s performance in tropical seas.
In February 1764, William once again boarded a Royal Navy ship, *HMS Tartar*, with H4, bound for Barbados. During the voyage, H4 performed brilliantly: in tropical heat (daytime temperatures exceeding 35°C) and high humidity, it maintained an error of just 1.5 seconds per day, with a total error of 7 seconds over the entire voyage—corresponding to a longitude error of approximately 0.0875 degrees (10 nautical miles). The Governor of Barbados also signed a test report, praising H4 as "the greatest timekeeping invention in human history."
When William returned to London in October 1764, the second test report was submitted to the Board of Longitude. By this time, even some former supporters of the lunar distance method began to acknowledge H4’s value—naval officers, in particular, strongly advocated for its adoption, as they knew H4’s accuracy would drastically reduce shipwrecks and protect sailors’ lives and ships. Under pressure, Maskelyne was forced to admit H4’s success but still insisted Harrison build H5 and release the blueprints.
In 1765, Harrison began work on H5. Now 72 years old, his health was declining, and he often felt fatigued, but he still went to his workshop daily. William became the primary builder of H5, while Harrison provided guidance and calibration—incorporating improvements to H4 into H5, such as optimizing the bimetallic strips’ curvature for better temperature compensation and modifying the barrel design to extend power reserve to 30 days.
H5’s construction was relatively smooth, and by 1770, it was nearly complete. In London tests, H5 was even more accurate than H4, with an error of less than 1 second per day. However, when Harrison submitted H5 to the Board of Longitude, Maskelyne imposed a new requirement: "H5 must undergo a 12-month static test at the Royal Observatory. If it exceeds a 2-second error on any day, it will fail."
Harrison knew Maskelyne was deliberately delaying. At 77 years old, he did not know how much longer he had to live. By this time, he was fighting not just for the prize money, but to prove that his life’s work had not been in vain. In anger, he wrote to King George III, complaining of the Board’s injustice: "I have spent over 40 years developing a clock that accurately determines longitude and saves countless sailors’ lives, yet I have been subjected to endless doubt and obstruction. I beg Your Majesty to grant me justice."
## Chapter 5: Long-Awaited Justice – H5’s Victory and the Twilight Years (1770–1776)
### 5.1 King George III’s Intervention: From Laboratory to Palace
In 1772, Harrison’s letter finally reached King George III. The king, who had a keen interest in science and technology—especially inventions that enhanced British naval power—summoned the elderly clockmaker immediately after reading the letter.
In June 1772, the 79-year-old Harrison, supported by William, arrived at Buckingham Palace. He placed H5 on the table before the king and detailed his 40-year struggle to develop marine clocks and the Board of Longitude’s obstruction. George III examined H5 closely and reviewed the test reports for H1–H4. He told Harrison, "Mr. Harrison, your invention is a source of pride for Britain. I will personally oversee H5’s testing to ensure you receive fair treatment."
The king ordered H5 to be tested at the Royal Observatory, but with officials he appointed overseeing the process—Maskelyne was barred from interfering. The test began in July 1772 and lasted 12 months. George III asked about H5’s daily error every week, and the results were remarkable: H5 maintained a stable error of 0.5–1 second per day, never exceeding 2 seconds even under extreme temperatures. In July 1773, the supervising officials submitted their report: "H5’s accuracy far exceeds all requirements of the Longitude Act. It is currently the most reliable device for determining longitude at sea."
Delighted with the results, George III summoned the Board of Longitude members and angrily declared, "Mr. Harrison has devoted his life to serving this nation, yet you have delayed awarding him the prize with endless excuses. This is an insult to inventors! If you do not award him the remaining prize money immediately, I will propose to Parliament that the Board of Longitude be dissolved."
Under royal pressure, the Board finally relented. In August 1773, Parliament passed a resolution awarding Harrison the remaining £10,000 (with £5,000 deducted for the partial payment already received, resulting in a final payment of £5,000). By this time, 42 years had passed since Harrison began developing H1, and 59 years since the Longitude Act was passed.
When William brought the prize money to Harrison, the 79-year-old man wept with joy. Holding the check, he said to his son, "I didn’t do this for the money. I did it to prove that a craftsman’s wisdom can change the world."
### 5.2 H5’s Final Test: The Victory of the Marine Chronometer
In October 1773, the Board of Longitude arranged a final sea test for H5—the route was London to New York, a 5,000-nautical-mile voyage overseen by William. This test was not just a validation of H5, but the final official recognition of Harrison’s marine clock technology.
On October 15, William boarded the merchant ship *Resolution* (not a Royal Navy warship, to better simulate real merchant fleet conditions) with H5. During the voyage, H5 performed flawlessly: its error never exceeded 1 second even in North Atlantic storms. When approaching New York, H5’s calculations accurately guided the ship to the entrance of New York Harbor, arriving 2 days ahead of schedule.
The Governor of the New York Colony personally greeted William and praised H5’s accuracy: "With such a clock, British merchant fleets will cross the Atlantic more safely and quickly—a boon for trade between the North American colonies and Britain." In February 1774, William returned to London with H5, and the test report was sent to the British Admiralty. The Admiralty immediately issued an order: starting in 1775, all Royal Navy warships would be equipped with "Harrison-style marine chronometers" (copies based on H4 and H5’s design).
At long last, Harrison’s marine clocks received full official recognition. His technology was soon copied by British clockmakers, and by the late 18th century, nearly all British merchant ships and warships were equipped with marine chronometers, drastically reducing the number of shipwrecks. Statistics show that between 1775 and 1800, the number of British shipwrecks caused by longitude errors decreased by 80% compared to 1700–1775.
### 5.3 Later Life: Final Innovations and Legacy
With the prize money, Harrison’s financial situation improved, and he moved with William to a spacious house in London’s West End, enjoying a relatively comfortable life. But he did not stop working—at 80, he still went to his workshop daily, experimenting with improvements to marine clocks. He hoped to make them even smaller, so ordinary sailors could carry them; he also researched "anti-magnetic marine chronometers" to counteract interference from the increasingly common electromagnetic instruments (though electromagnetism was still in its infancy, Harrison had already recognized the potential threat of magnetic fields to steel parts).
In 1775, Harrison completed his final invention: a "miniature marine chronometer" (8 centimeters in diameter, 0.8 kilograms in weight) with accuracy comparable to H5 but smaller and more portable. He gave this clock to King George III, who cherished it and often carried it with him.
In his later years, Harrison also began organizing his notes and blueprints, hoping to pass on his knowledge. His notes detailed the design philosophy, test data, and improvement processes of H1–H5—even including his failures. These notes were later compiled by William into *The Construction and Practice of the Marine Chronometer*, published in 1778 (after Harrison’s death), becoming an essential reference for clockmakers studying marine chronometers.
Harrison’s health continued to decline in his final years. He suffered from severe arthritis (caused by decades of manual work) and heart disease. In March 1776, his condition worsened suddenly, and William and his family stayed by his side. On March 24, 1776—Harrison’s 83rd birthday—he died peacefully in his sleep.
### 5.4 Burial and Commemoration: The Immortal Clockmaker
Harrison’s funeral was held on April 2, 1776, at St. John’s Wood Church in London. Representatives from the Admiralty attended, along with members of the Royal Society—including Maskelyne, who had finally acknowledged Harrison’s contributions. During the funeral, William read his father’s will: "I bequeath my H1–H4 to the British Science Museum, so future generations will remember that the longitude problem was solved by a carpenter from Yorkshire."
Harrison was buried in the churchyard of St. John’s Wood Church. His tombstone bears the inscription: "John Harrison, 1693–1776, Solver of the Longitude Problem, Savior of Countless Sailors. With Perseverance and Wisdom, He Turned Time into a Beacon for Navigation."
After Harrison’s death, his marine chronometer technology continued to shape the world:
- In 1780, British clockmaker Thomas Mudge developed a more affordable marine chronometer based on H4’s design, making it widely available to merchant ships.
- In 1805, the British Navy used marine chronometers to accurately position its fleet during the Battle of Trafalgar, defeating the combined French and Spanish fleets.
- In the 19th century, marine chronometers became standard equipment for global shipping, driving the growth of international trade and colonial expansion.
- Harrison’s innovations—temperature compensation, high-frequency balance wheels, and the grasshopper escapement—became the foundation of modern mechanical clocks, influencing clockmaking to this day.
## Chapter 6: Legacy and Echoes – Contributions Beyond Time
### 6.1 A Revolution in Maritime History: From "Guesswork" to "Precision"
Before Harrison, navigation was a risky endeavor based on luck. Sailors could only estimate their position using vague information like latitude, speed, and wind direction—one wrong move could lead to shipwreck or getting lost at sea. Harrison’s marine chronometer provided sailors with the first "precise time scale," turning longitude determination from the "uncertainty of astronomical observations" into the "certainty of mechanical timekeeping."
The popularization of marine chronometers brought three revolutionary changes:
1. **A Leap in Maritime Safety**: The number of shipwrecks plummeted. The Royal Navy alone saw nearly 1,000 fewer shipwrecks between 1775 and 1800, saving tens of thousands of lives.
2. **More Efficient Routes**: With precise longitude positioning, sailors could take shorter, safer routes (such as the "40th Parallel Route" across the Atlantic), cutting transatlantic voyage times from an average of 2 months to less than 1 month.
3. **Breakthroughs in Geographic Exploration**: Explorers used marine chronometers to map the South Pacific and Indian Oceans accurately, discovering new islands and routes. For example, Captain James Cook relied on a copy of H4 during his third Pacific voyage in 1779 to determine the longitude of the Hawaiian Islands with precision.
Harrison’s marine chronometer marked the transition from the "Age of Exploration" to the "Age of Precise Navigation," laying the groundwork for future global trade, colonial expansion, and geographic discovery.
### 6.2 Impact on Clockmaking: The Foundation of Modern Mechanical Clocks
Harrison’s technical innovations transformed the clockmaking industry:
- **Temperature Compensation**: His bimetallic compensation device became a standard feature in all precision mechanical clocks and is still used in mechanical watches today.
- **High-Frequency Balance Wheels**: H4’s high-frequency oscillation design raised clock accuracy from "minute-level" to "second-level," setting the standard for modern mechanical watches.
- **Escapement Innovation**: The grasshopper escapement and improved verge escapement drastically reduced part wear, extending clock lifespans and setting the stage for the "chronometer" (a term later used for high-precision timepieces).
- **Advancements in Materials and Craftsmanship**: Harrison’s mastery of brass, steel, and jewels, and his pursuit of extreme manual precision, advanced 18th-century machining techniques, laying the groundwork for precision manufacturing during the Industrial Revolution.
In the 19th century, Swiss clockmakers adopted Harrison’s technology to develop more accurate and affordable mechanical watches, establishing Switzerland as the global center of clockmaking—a legacy that endures today, as core technologies in Swiss mechanical watches still bear Harrison’s influence.
### 6.3 Lessons for Science and Society: Craftsmanship and Defying Authority
Harrison’s story is more than a tale of technical innovation—it offers profound lessons for science and society:
1. **The Value of Craftsmanship**: Harrison had no formal education, yet he solved a problem that eluded top scientists through his dedication to precision and deep understanding of practical challenges. His story proves that craftsmanship is not just "hard work," but "innovation rooted in practice"—every part improvement and every test adjustment was based on a thorough grasp of real-world problems.
2. **The Courage to Defy Authority**: Faced with skepticism from the Royal Society and obstruction from Maskelyne, Harrison refused to give up. He used facts to prove his technology’s worth, showing that scientific progress often requires challenging "authority worship." Whether it is "academic authority" or "mainstream opinion," it must be tested by practice.
3. **The Synergy of Basic Research and Applied Technology**: Harrison’s success relied on both his deep understanding of mechanical principles (basic research) and his accurate grasp of sailors’ needs (applied technology). His story demonstrates that scientific research and technical application are not opposites, but complements—only by combining theoretical knowledge with practical needs can we create inventions that truly change the world.
### 6.4 Modern Commemoration: A Tribute Across Time
Today, Harrison’s legacy lives on:
- **The Science Museum, London**: H1–H4 are permanently displayed in the museum’s "Longitude Gallery," attracting millions of visitors annually. H4, in particular, is the museum’s "treasure," with a plaque reading: "This small pocket watch changed the course of human maritime history."
- **The Harrison Medal**: The British Horological Institute established the "Harrison Medal" to honor individuals who make outstanding contributions to clockmaking technology.
- **Place Names and Monuments**: The John Harrison Memorial stands in his birthplace of Fleetham, Yorkshire; a street near the Royal Observatory in London is named "Harrison Street" in his honor.
- **Popular Culture**: Harrison’s story has been adapted into novels, films, and documentaries. The most famous is *Longitude* by American author Dava Sobel, translated into over 30 languages and selling over 10 million copies, introducing Harrison’s传奇 to readers worldwide.
In 2020, during events commemorating the 300th anniversary of the Longitude Act, the Royal Society reaffirmed Harrison’s contributions: "John Harrison did not just solve a technical problem—he demonstrated humanity’s perseverance and wisdom in the face of adversity. His story reminds us that no matter one’s background, with unwavering belief and relentless effort, anyone can change the world."
## Conclusion: Guardian of Time, Creator of History
John Harrison’s life was a lifelong struggle with time. Starting as a village carpenter in Yorkshire, he spent 42 years solving the longitude problem that had plagued humanity for millennia. Faced with skepticism and obstruction from authorities, he remained true to his beliefs, using precise marine chronometers to prove the reliability of mechanical timekeeping. His technical innovations not only saved countless sailors’ lives but also advanced the history of navigation, clockmaking, and even industry.
Harrison was not a "scientist" in the traditional sense—he published no academic papers, held no prominent position at the Royal Society, and received no formal higher education. Yet he embodied the essence of the "scientific spirit": curiosity about the unknown, pursuit of precision, defiance of authority, and respect for practice. His story shows that the power to change the world comes not only from theoretical breakthroughs in laboratories but also from the manual work of craftsmen in workshops; not only from the wisdom of top scholars but also from the perseverance of ordinary people.
Today, marine chronometers have been replaced by modern navigation technologies like GPS, but Harrison’s spirit endures. In an era of rapid change and instant gratification, his focus on "doing one thing well in a lifetime," his pursuit of "excellence and perfection," and his courage to "stand up for truth against authority" remain invaluable treasures.
John Harrison may have been forgotten by time itself, but the "time scale" he created continues to light humanity’s path of exploration. He was a guardian of time and a creator of history—his name will forever be linked to the "longitude problem," "marine chronometers," and "craftsmanship," leaving an indelible mark on the course of human civilization.
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English
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16k
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T8. Structured & Numeric Reasoning
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T8.3 Long-Context Procedural State Tracking
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Full
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Based solely on the article, compute the number of years between the Scilly Naval Disaster and the Admiralty’s order that mandated equipping all Royal Navy warships with Harrison‑style marine chronometers. Use end year minus start year; ignore months and days. Output the "[Answer]" identifier first, and then output the number of years, without any additional content.
Output example:
[Answer]
11
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Based solely on the article, compute the number of years between the Scilly Naval Disaster and the Admiralty’s order that mandated equipping all Royal Navy warships with Harrison‑style marine chronometers. Use end year minus start year; ignore months and days. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the number of years.
Output example:
<Your thinking process>
[Answer]
11
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[
"68"
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Easy
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00ebe7076f58b80d3ea74069309c93f024272ac014a8c2f210e51c96d00d9863
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A SCANDAL IN BOHEMIA
Arthur Conan Doyle
Table of contents
Chapter 1
Chapter 2
Chapter 3
CHAPTER I
To Sherlock Holmes she is always the woman. I have seldom heard him
mention her under any other name. In his eyes she eclipses and
predominates the whole of her sex. It was not that he felt any
emotion akin to love for Irene Adler. All emotions, and that one
particularly, were abhorrent to his cold, precise but admirably
balanced mind. He was, I take it, the most perfect reasoning and
observing machine that the world has seen, but as a lover he would
have placed himself in a false position. He never spoke of the softer
passions, save with a gibe and a sneer. They were admirable things
for the observer--excellent for drawing the veil from men's motives
and actions. But for the trained reasoner to admit such intrusions
into his own delicate and finely adjusted temperament was to
introduce a distracting factor which might throw a doubt upon all his
mental results. Grit in a sensitive instrument, or a crack in one of
his own high-power lenses, would not be more disturbing than a strong
emotion in a nature such as his. And yet there was but one woman to
him, and that woman was the late Irene Adler, of dubious and
questionable memory.
I had seen little of Holmes lately. My marriage had drifted us away
from each other. My own complete happiness, and the home-centred
interests which rise up around the man who first finds himself master
of his own establishment, were sufficient to absorb all my attention,
while Holmes, who loathed every form of society with his whole
Bohemian soul, remained in our lodgings in Baker Street, buried among
his old books, and alternating from week to week between cocaine and
ambition, the drowsiness of the drug, and the fierce energy of his
own keen nature. He was still, as ever, deeply attracted by the study
of crime, and occupied his immense faculties and extraordinary powers
of observation in following out those clues, and clearing up those
mysteries which had been abandoned as hopeless by the official
police. From time to time I heard some vague account of his doings:
of his summons to Odessa in the case of the Trepoff murder, of his
clearing up of the singular tragedy of the Atkinson brothers at
Trincomalee, and finally of the mission which he had accomplished so
delicately and successfully for the reigning family of Holland.
Beyond these signs of his activity, however, which I merely shared
with all the readers of the daily press, I knew little of my former
friend and companion.
One night--it was on the twentieth of March, 1888--I was returning
from a journey to a patient (for I had now returned to civil
practice), when my way led me through Baker Street. As I passed the
well-remembered door, which must always be associated in my mind with
my wooing, and with the dark incidents of the Study in Scarlet, I was
seized with a keen desire to see Holmes again, and to know how he was
employing his extraordinary powers. His rooms were brilliantly lit,
and, even as I looked up, I saw his tall, spare figure pass twice in
a dark silhouette against the blind. He was pacing the room swiftly,
eagerly, with his head sunk upon his chest and his hands clasped
behind him. To me, who knew his every mood and habit, his attitude
and manner told their own story. He was at work again. He had risen
out of his drug-created dreams and was hot upon the scent of some new
problem. I rang the bell and was shown up to the chamber which had
formerly been in part my own.
His manner was not effusive. It seldom was; but he was glad, I think,
to see me. With hardly a word spoken, but with a kindly eye, he waved
me to an armchair, threw across his case of cigars, and indicated a
spirit case and a gasogene in the corner. Then he stood before the
fire and looked me over in his singular introspective fashion.
"Wedlock suits you," he remarked. "I think, Watson, that you have put
on seven and a half pounds since I saw you."
"Seven!" I answered.
"Indeed, I should have thought a little more. Just a trifle more, I
fancy, Watson. And in practice again, I observe. You did not tell me
that you intended to go into harness."
"Then, how do you know?"
"I see it, I deduce it. How do I know that you have been getting
yourself very wet lately, and that you have a most clumsy and
careless servant girl?"
"My dear Holmes," said I, "this is too much. You would certainly have
been burned, had you lived a few centuries ago. It is true that I had
a country walk on Thursday and came home in a dreadful mess, but as I
have changed my clothes I can't imagine how you deduce it. As to Mary
Jane, she is incorrigible, and my wife has given her notice, but
there, again, I fail to see how you work it out."
He chuckled to himself and rubbed his long, nervous hands together.
"It is simplicity itself," said he; "my eyes tell me that on the
inside of your left shoe, just where the firelight strikes it, the
leather is scored by six almost parallel cuts. Obviously they have
been caused by someone who has very carelessly scraped round the
edges of the sole in order to remove crusted mud from it. Hence, you
see, my double deduction that you had been out in vile weather, and
that you had a particularly malignant boot-slitting specimen of the
London slavey. As to your practice, if a gentleman walks into my
rooms smelling of iodoform, with a black mark of nitrate of silver
upon his right forefinger, and a bulge on the right side of his
top-hat to show where he has secreted his stethoscope, I must be
dull, indeed, if I do not pronounce him to be an active member of the
medical profession."
I could not help laughing at the ease with which he explained his
process of deduction. "When I hear you give your reasons," I
remarked, "the thing always appears to me to be so ridiculously
simple that I could easily do it myself, though at each successive
instance of your reasoning I am baffled until you explain your
process. And yet I believe that my eyes are as good as yours."
"Quite so," he answered, lighting a cigarette, and throwing himself
down into an armchair. "You see, but you do not observe. The
distinction is clear. For example, you have frequently seen the steps
which lead up from the hall to this room."
"Frequently."
"How often?"
"Well, some hundreds of times."
"Then how many are there?"
"How many? I don't know."
"Quite so! You have not observed. And yet you have seen. That is just
my point. Now, I know that there are seventeen steps, because I have
both seen and observed. By-the-way, since you are interested in these
little problems, and since you are good enough to chronicle one or
two of my trifling experiences, you may be interested in this." He
threw over a sheet of thick, pink-tinted note-paper which had been
lying open upon the table. "It came by the last post," said he. "Read
it aloud."
The note was undated, and without either signature or address.
"There will call upon you to-night, at a quarter to eight o'clock,"
it said, "a gentleman who desires to consult you upon a matter of the
very deepest moment. Your recent services to one of the royal houses
of Europe have shown that you are one who may safely be trusted with
matters which are of an importance which can hardly be exaggerated.
This account of you we have from all quarters received. Be in your
chamber then at that hour, and do not take it amiss if your visitor
wear a mask."
"This is indeed a mystery," I remarked. "What do you imagine that it
means?"
"I have no data yet. It is a capital mistake to theorize before one
has data. Insensibly one begins to twist facts to suit theories,
instead of theories to suit facts. But the note itself. What do you
deduce from it?"
I carefully examined the writing, and the paper upon which it was
written.
"The man who wrote it was presumably well to do," I remarked,
endeavouring to imitate my companion's processes. "Such paper could
not be bought under half a crown a packet. It is peculiarly strong
and stiff."
"Peculiar--that is the very word," said Holmes. "It is not an English
paper at all. Hold it up to the light."
I did so, and saw a large "E" with a small "g," a "P," and a large
"G" with a small "t" woven into the texture of the paper.
"What do you make of that?" asked Holmes.
"The name of the maker, no doubt; or his monogram, rather."
"Not at all. The 'G' with the small 't' stands for 'Gesellschaft,'
which is the German for 'Company.' It is a customary contraction like
our 'Co.' 'P,' of course, stands for 'Papier.' Now for the 'Eg.' Let
us glance at our Continental Gazetteer." He took down a heavy brown
volume from his shelves. "Eglow, Eglonitz--here we are, Egria. It is
in a German-speaking country--in Bohemia, not far from Carlsbad.
'Remarkable as being the scene of the death of Wallenstein, and for
its numerous glass-factories and paper-mills.' Ha, ha, my boy, what
do you make of that?" His eyes sparkled, and he sent up a great blue
triumphant cloud from his cigarette.
"The paper was made in Bohemia," I said.
"Precisely. And the man who wrote the note is a German. Do you note
the peculiar construction of the sentence--'This account of you we
have from all quarters received.' A Frenchman or Russian could not
have written that. It is the German who is so uncourteous to his
verbs. It only remains, therefore, to discover what is wanted by this
German who writes upon Bohemian paper and prefers wearing a mask to
showing his face. And here he comes, if I am not mistaken, to resolve
all our doubts."
As he spoke there was the sharp sound of horses' hoofs and grating
wheels against the curb, followed by a sharp pull at the bell. Holmes
whistled.
"A pair, by the sound," said he. "Yes," he continued, glancing out of
the window. "A nice little brougham and a pair of beauties. A hundred
and fifty guineas apiece. There's money in this case, Watson, if
there is nothing else."
"I think that I had better go, Holmes."
"Not a bit, Doctor. Stay where you are. I am lost without my Boswell.
And this promises to be interesting. It would be a pity to miss it."
"But your client--"
"Never mind him. I may want your help, and so may he. Here he comes.
Sit down in that armchair, Doctor, and give us your best attention."
A slow and heavy step, which had been heard upon the stairs and in
the passage, paused immediately outside the door. Then there was a
loud and authoritative tap.
"Come in!" said Holmes.
A man entered who could hardly have been less than six feet six
inches in height, with the chest and limbs of a Hercules. His dress
was rich with a richness which would, in England, be looked upon as
akin to bad taste. Heavy bands of astrakhan were slashed across the
sleeves and fronts of his double-breasted coat, while the deep blue
cloak which was thrown over his shoulders was lined with
flame-coloured silk and secured at the neck with a brooch which
consisted of a single flaming beryl. Boots which extended halfway up
his calves, and which were trimmed at the tops with rich brown fur,
completed the impression of barbaric opulence which was suggested by
his whole appearance. He carried a broad-brimmed hat in his hand,
while he wore across the upper part of his face, extending down past
the cheekbones, a black vizard mask, which he had apparently adjusted
that very moment, for his hand was still raised to it as he entered.
From the lower part of the face he appeared to be a man of strong
character, with a thick, hanging lip, and a long, straight chin
suggestive of resolution pushed to the length of obstinacy.
"You had my note?" he asked with a deep harsh voice and a strongly
marked German accent. "I told you that I would call." He looked from
one to the other of us, as if uncertain which to address.
"Pray take a seat," said Holmes. "This is my friend and colleague,
Dr. Watson, who is occasionally good enough to help me in my cases.
Whom have I the honour to address?"
"You may address me as the Count Von Kramm, a Bohemian nobleman. I
understand that this gentleman, your friend, is a man of honour and
discretion, whom I may trust with a matter of the most extreme
importance. If not, I should much prefer to communicate with you
alone."
I rose to go, but Holmes caught me by the wrist and pushed me back
into my chair. "It is both, or none," said he. "You may say before
this gentleman anything which you may say to me."
The Count shrugged his broad shoulders. "Then I must begin," said he,
"by binding you both to absolute secrecy for two years; at the end of
that time the matter will be of no importance. At present it is not
too much to say that it is of such weight it may have an influence
upon European history."
"I promise," said Holmes.
"And I."
"You will excuse this mask," continued our strange visitor. "The
august person who employs me wishes his agent to be unknown to you,
and I may confess at once that the title by which I have just called
myself is not exactly my own."
"I was aware of it," said Holmes dryly.
"The circumstances are of great delicacy, and every precaution has to
be taken to quench what might grow to be an immense scandal and
seriously compromise one of the reigning families of Europe. To speak
plainly, the matter implicates the great House of Ormstein,
hereditary kings of Bohemia."
"I was also aware of that," murmured Holmes, settling himself down in
his armchair and closing his eyes.
Our visitor glanced with some apparent surprise at the languid,
lounging figure of the man who had been no doubt depicted to him as
the most incisive reasoner and most energetic agent in Europe. Holmes
slowly reopened his eyes and looked impatiently at his gigantic
client.
"If your Majesty would condescend to state your case," he remarked,
"I should be better able to advise you."
The man sprang from his chair and paced up and down the room in
uncontrollable agitation. Then, with a gesture of desperation, he
tore the mask from his face and hurled it upon the ground. "You are
right," he cried; "I am the King. Why should I attempt to conceal
it?"
"Why, indeed?" murmured Holmes. "Your Majesty had not spoken before I
was aware that I was addressing Wilhelm Gottsreich Sigismond von
Ormstein, Grand Duke of Cassel-Felstein, and hereditary King of
Bohemia."
"But you can understand," said our strange visitor, sitting down once
more and passing his hand over his high white forehead, "you can
understand that I am not accustomed to doing such business in my own
person. Yet the matter was so delicate that I could not confide it to
an agent without putting myself in his power. I have come incognito
from Prague for the purpose of consulting you."
"Then, pray consult," said Holmes, shutting his eyes once more.
"The facts are briefly these: Some five years ago, during a lengthy
visit to Warsaw, I made the acquaintance of the well-known
adventuress, Irene Adler. The name is no doubt familiar to you."
"Kindly look her up in my index, Doctor," murmured Holmes without
opening his eyes. For many years he had adopted a system of docketing
all paragraphs concerning men and things, so that it was difficult to
name a subject or a person on which he could not at once furnish
information. In this case I found her biography sandwiched in between
that of a Hebrew rabbi and that of a staff-commander who had written
a monograph upon the deep-sea fishes.
"Let me see!" said Holmes. "Hum! Born in New Jersey in the year 1858.
Contralto--hum! La Scala, hum! Prima donna Imperial Opera of
Warsaw--yes! Retired from operatic stage--ha! Living in London--quite
so! Your Majesty, as I understand, became entangled with this young
person, wrote her some compromising letters, and is now desirous of
getting those letters back."
"Precisely so. But how--"
"Was there a secret marriage?"
"None."
"No legal papers or certificates?"
"None."
"Then I fail to follow your Majesty. If this young person should
produce her letters for blackmailing or other purposes, how is she to
prove their authenticity?"
"There is the writing."
"Pooh, pooh! Forgery."
"My private note-paper."
"Stolen."
"My own seal."
"Imitated."
"My photograph."
"Bought."
"We were both in the photograph."
"Oh, dear! That is very bad! Your Majesty has indeed committed an
indiscretion."
"I was mad--insane."
"You have compromised yourself seriously."
"I was only Crown Prince then. I was young. I am but thirty now."
"It must be recovered."
"We have tried and failed."
"Your Majesty must pay. It must be bought."
"She will not sell."
"Stolen, then."
"Five attempts have been made. Twice burglars in my pay ransacked her
house. Once we diverted her luggage when she travelled. Twice she has
been waylaid. There has been no result."
"No sign of it?"
"Absolutely none."
Holmes laughed. "It is quite a pretty little problem," said he.
"But a very serious one to me," returned the King reproachfully.
"Very, indeed. And what does she propose to do with the photograph?"
"To ruin me."
"But how?"
"I am about to be married."
"So I have heard."
"To Clotilde Lothman von Saxe-Meningen, second daughter of the King
of Scandinavia. You may know the strict principles of her family. She
is herself the very soul of delicacy. A shadow of a doubt as to my
conduct would bring the matter to an end."
"And Irene Adler?"
"Threatens to send them the photograph. And she will do it. I know
that she will do it. You do not know her, but she has a soul of
steel. She has the face of the most beautiful of women, and the mind
of the most resolute of men. Rather than I should marry another
woman, there are no lengths to which she would not go--none."
"You are sure that she has not sent it yet?"
"I am sure."
"And why?"
"Because she has said that she would send it on the day when the
betrothal was publicly proclaimed. That will be next Monday."
"Oh, then we have three days yet," said Holmes with a yawn. "That is
very fortunate, as I have one or two matters of importance to look
into just at present. Your Majesty will, of course, stay in London
for the present?"
"Certainly. You will find me at the Langham under the name of the
Count Von Kramm."
"Then I shall drop you a line to let you know how we progress."
"Pray do so. I shall be all anxiety."
"Then, as to money?"
"You have carte blanche."
"Absolutely?"
"I tell you that I would give one of the provinces of my kingdom to
have that photograph."
"And for present expenses?"
The King took a heavy chamois leather bag from under his cloak and
laid it on the table.
"There are three hundred pounds in gold and seven hundred in notes,"
he said.
Holmes scribbled a receipt upon a sheet of his note-book and handed
it to him.
"And Mademoiselle's address?" he asked.
"Is Briony Lodge, Serpentine Avenue, St. John's Wood."
Holmes took a note of it. "One other question," said he. "Was the
photograph a cabinet?"
"It was."
"Then, good-night, your Majesty, and I trust that we shall soon have
some good news for you. And good-night, Watson," he added, as the
wheels of the royal brougham rolled down the street. "If you will be
good enough to call to-morrow afternoon at three o'clock I should
like to chat this little matter over with you."
CHAPTER II
At three o'clock precisely I was at Baker Street, but Holmes had not
yet returned. The landlady informed me that he had left the house
shortly after eight o'clock in the morning. I sat down beside the
fire, however, with the intention of awaiting him, however long he
might be. I was already deeply interested in his inquiry, for, though
it was surrounded by none of the grim and strange features which were
associated with the two crimes which I have already recorded, still,
the nature of the case and the exalted station of his client gave it
a character of its own. Indeed, apart from the nature of the
investigation which my friend had on hand, there was something in his
masterly grasp of a situation, and his keen, incisive reasoning,
which made it a pleasure to me to study his system of work, and to
follow the quick, subtle methods by which he disentangled the most
inextricable mysteries. So accustomed was I to his invariable success
that the very possibility of his failing had ceased to enter into my
head.
It was close upon four before the door opened, and a drunken-looking
groom, ill-kempt and side-whiskered, with an inflamed face and
disreputable clothes, walked into the room. Accustomed as I was to my
friend's amazing powers in the use of disguises, I had to look three
times before I was certain that it was indeed he. With a nod he
vanished into the bedroom, whence he emerged in five minutes
tweed-suited and respectable, as of old. Putting his hands into his
pockets, he stretched out his legs in front of the fire and laughed
heartily for some minutes.
"Well, really!" he cried, and then he choked and laughed again until
he was obliged to lie back, limp and helpless, in the chair.
"What is it?"
"It's quite too funny. I am sure you could never guess how I employed
my morning, or what I ended by doing."
"I can't imagine. I suppose that you have been watching the habits,
and perhaps the house, of Miss Irene Adler."
"Quite so; but the sequel was rather unusual. I will tell you,
however. I left the house a little after eight o'clock this morning
in the character of a groom out of work. There is a wonderful
sympathy and freemasonry among horsey men. Be one of them, and you
will know all that there is to know. I soon found Briony Lodge. It is
a bijou villa, with a garden at the back, but built out in front
right up to the road, two stories. Chubb lock to the door. Large
sitting-room on the right side, well furnished, with long windows
almost to the floor, and those preposterous English window fasteners
which a child could open. Behind there was nothing remarkable, save
that the passage window could be reached from the top of the
coach-house. I walked round it and examined it closely from every
point of view, but without noting anything else of interest.
"I then lounged down the street and found, as I expected, that there
was a mews in a lane which runs down by one wall of the garden. I
lent the ostlers a hand in rubbing down their horses, and received in
exchange twopence, a glass of half and half, two fills of shag
tobacco, and as much information as I could desire about Miss Adler,
to say nothing of half a dozen other people in the neighbourhood in
whom I was not in the least interested, but whose biographies I was
compelled to listen to."
"And what of Irene Adler?" I asked.
"Oh, she has turned all the men's heads down in that part. She is the
daintiest thing under a bonnet on this planet. So say the
Serpentine-mews, to a man. She lives quietly, sings at concerts,
drives out at five every day, and returns at seven sharp for dinner.
Seldom goes out at other times, except when she sings. Has only one
male visitor, but a good deal of him. He is dark, handsome, and
dashing, never calls less than once a day, and often twice. He is a
Mr. Godfrey Norton, of the Inner Temple. See the advantages of a
cabman as a confidant. They had driven him home a dozen times from
Serpentine-mews, and knew all about him. When I had listened to all
they had to tell, I began to walk up and down near Briony Lodge once
more, and to think over my plan of campaign.
"This Godfrey Norton was evidently an important factor in the matter.
He was a lawyer. That sounded ominous. What was the relation between
them, and what the object of his repeated visits? Was she his client,
his friend, or his mistress? If the former, she had probably
transferred the photograph to his keeping. If the latter, it was less
likely. On the issue of this question depended whether I should
continue my work at Briony Lodge, or turn my attention to the
gentleman's chambers in the Temple. It was a delicate point, and it
widened the field of my inquiry. I fear that I bore you with these
details, but I have to let you see my little difficulties, if you are
to understand the situation."
"I am following you closely," I answered.
"I was still balancing the matter in my mind when a hansom cab drove
up to Briony Lodge, and a gentleman sprang out. He was a remarkably
handsome man, dark, aquiline, and moustached--evidently the man of
whom I had heard. He appeared to be in a great hurry, shouted to the
cabman to wait, and brushed past the maid who opened the door with
the air of a man who was thoroughly at home.
"He was in the house about half an hour, and I could catch glimpses
of him in the windows of the sitting-room, pacing up and down,
talking excitedly, and waving his arms. Of her I could see nothing.
Presently he emerged, looking even more flurried than before. As he
stepped up to the cab, he pulled a gold watch from his pocket and
looked at it earnestly, 'Drive like the devil,' he shouted, 'first to
Gross & Hankey's in Regent Street, and then to the Church of St.
Monica in the Edgeware Road. Half a guinea if you do it in twenty
minutes!'
"Away they went, and I was just wondering whether I should not do
well to follow them when up the lane came a neat little landau, the
coachman with his coat only half-buttoned, and his tie under his ear,
while all the tags of his harness were sticking out of the buckles.
It hadn't pulled up before she shot out of the hall door and into it.
I only caught a glimpse of her at the moment, but she was a lovely
woman, with a face that a man might die for.
"'The Church of St. Monica, John,' she cried, 'and half a sovereign
if you reach it in twenty minutes.'
"This was quite too good to lose, Watson. I was just balancing
whether I should run for it, or whether I should perch behind her
landau when a cab came through the street. The driver looked twice at
such a shabby fare, but I jumped in before he could object. 'The
Church of St. Monica,' said I, 'and half a sovereign if you reach it
in twenty minutes.' It was twenty-five minutes to twelve, and of
course it was clear enough what was in the wind.
"My cabby drove fast. I don't think I ever drove faster, but the
others were there before us. The cab and the landau with their
steaming horses were in front of the door when I arrived. I paid the
man and hurried into the church. There was not a soul there save the
two whom I had followed and a surpliced clergyman, who seemed to be
expostulating with them. They were all three standing in a knot in
front of the altar. I lounged up the side aisle like any other idler
who has dropped into a church. Suddenly, to my surprise, the three at
the altar faced round to me, and Godfrey Norton came running as hard
as he could towards me.
"'Thank God,' he cried. 'You'll do. Come! Come!'
"'What then?' I asked.
"'Come, man, come, only three minutes, or it won't be legal.'
"I was half-dragged up to the altar, and before I knew where I was I
found myself mumbling responses which were whispered in my ear, and
vouching for things of which I knew nothing, and generally assisting
in the secure tying up of Irene Adler, spinster, to Godfrey Norton,
bachelor. It was all done in an instant, and there was the gentleman
thanking me on the one side and the lady on the other, while the
clergyman beamed on me in front. It was the most preposterous
position in which I ever found myself in my life, and it was the
thought of it that started me laughing just now. It seems that there
had been some informality about their license, that the clergyman
absolutely refused to marry them without a witness of some sort, and
that my lucky appearance saved the bridegroom from having to sally
out into the streets in search of a best man. The bride gave me a
sovereign, and I mean to wear it on my watch-chain in memory of the
occasion."
"This is a very unexpected turn of affairs," said I; "and what then?"
"Well, I found my plans very seriously menaced. It looked as if the
pair might take an immediate departure, and so necessitate very
prompt and energetic measures on my part. At the church door,
however, they separated, he driving back to the Temple, and she to
her own house. 'I shall drive out in the park at five as usual,' she
said as she left him. I heard no more. They drove away in different
directions, and I went off to make my own arrangements."
"Which are?"
"Some cold beef and a glass of beer," he answered, ringing the bell.
"I have been too busy to think of food, and I am likely to be busier
still this evening. By the way, Doctor, I shall want your
co-operation."
"I shall be delighted."
"You don't mind breaking the law?"
"Not in the least."
"Nor running a chance of arrest?"
"Not in a good cause."
"Oh, the cause is excellent!"
"Then I am your man."
"I was sure that I might rely on you."
"But what is it you wish?"
"When Mrs. Turner has brought in the tray I will make it clear to
you. Now," he said as he turned hungrily on the simple fare that our
landlady had provided, "I must discuss it while I eat, for I have not
much time. It is nearly five now. In two hours we must be on the
scene of action. Miss Irene, or Madame, rather, returns from her
drive at seven. We must be at Briony Lodge to meet her."
"And what then?"
"You must leave that to me. I have already arranged what is to occur.
There is only one point on which I must insist. You must not
interfere, come what may. You understand?"
"I am to be neutral?"
"To do nothing whatever. There will probably be some small
unpleasantness. Do not join in it. It will end in my being conveyed
into the house. Four or five minutes afterwards the sitting-room
window will open. You are to station yourself close to that open
window."
"Yes."
"You are to watch me, for I will be visible to you."
"Yes."
"And when I raise my hand--so--you will throw into the room what I
give you to throw, and will, at the same time, raise the cry of fire.
You quite follow me?"
"Entirely."
"It is nothing very formidable," he said, taking a long cigar-shaped
roll from his pocket. "It is an ordinary plumber's smoke-rocket,
fitted with a cap at either end to make it self-lighting. Your task
is confined to that. When you raise your cry of fire, it will be
taken up by quite a number of people. You may then walk to the end of
the street, and I will rejoin you in ten minutes. I hope that I have
made myself clear?"
"I am to remain neutral, to get near the window, to watch you, and at
the signal to throw in this object, then to raise the cry of fire,
and to wait you at the corner of the street."
"Precisely."
"Then you may entirely rely on me."
"That is excellent. I think, perhaps, it is almost time that I
prepare for the new role I have to play."
He disappeared into his bedroom and returned in a few minutes in the
character of an amiable and simple-minded Nonconformist clergyman.
His broad black hat, his baggy trousers, his white tie, his
sympathetic smile, and general look of peering and benevolent
curiosity were such as Mr. John Hare alone could have equalled. It
was not merely that Holmes changed his costume. His expression, his
manner, his very soul seemed to vary with every fresh part that he
assumed. The stage lost a fine actor, even as science lost an acute
reasoner, when he became a specialist in crime.
It was a quarter past six when we left Baker Street, and it still
wanted ten minutes to the hour when we found ourselves in Serpentine
Avenue. It was already dusk, and the lamps were just being lighted as
we paced up and down in front of Briony Lodge, waiting for the coming
of its occupant. The house was just such as I had pictured it from
Sherlock Holmes' succinct description, but the locality appeared to
be less private than I expected. On the contrary, for a small street
in a quiet neighbourhood, it was remarkably animated. There was a
group of shabbily dressed men smoking and laughing in a corner, a
scissors-grinder with his wheel, two guardsmen who were flirting with
a nurse-girl, and several well-dressed young men who were lounging up
and down with cigars in their mouths.
"You see," remarked Holmes, as we paced to and fro in front of the
house, "this marriage rather simplifies matters. The photograph
becomes a double-edged weapon now. The chances are that she would be
as averse to its being seen by Mr. Godfrey Norton, as our client is
to its coming to the eyes of his princess. Now the question is--Where
are we to find the photograph?"
"Where, indeed?"
"It is most unlikely that she carries it about with her. It is
cabinet size. Too large for easy concealment about a woman's dress.
She knows that the King is capable of having her waylaid and
searched. Two attempts of the sort have already been made. We may
take it, then, that she does not carry it about with her."
"Where, then?"
"Her banker or her lawyer. There is that double possibility. But I am
inclined to think neither. Women are naturally secretive, and they
like to do their own secreting. Why should she hand it over to anyone
else? She could trust her own guardianship, but she could not tell
what indirect or political influence might be brought to bear upon a
business man. Besides, remember that she had resolved to use it
within a few days. It must be where she can lay her hands upon it. It
must be in her own house."
"But it has twice been burgled."
"Pshaw! They did not know how to look."
"But how will you look?"
"I will not look."
"What then?"
"I will get her to show me."
"But she will refuse."
"She will not be able to. But I hear the rumble of wheels. It is her
carriage. Now carry out my orders to the letter."
|
English
|
8k
|
T6. Aggregation & Clustering
|
T6.3 Global Frequency Analysis
|
Full
|
Sort the given terms in descending order by the number of times they appear in the above text. Output the "[Answer]" identifier first, and then output the sorted terms line by line, without any additional content.
Given terms: Holmes, Watson, Baker Street, photograph, Briony Lodge.
Output example:
[Answer]
Watson
Baker Street
Holmes
Briony Lodge
photograph
|
Sort the given terms in descending order by the number of times they appear in the above text. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the sorted terms line by line.
Given terms: Holmes, Watson, Baker Street, photograph, Briony Lodge.
Output example:
<Your thinking process>
[Answer]
Watson
Baker Street
Holmes
Briony Lodge
photograph
|
[
"Holmes",
"photograph",
"Briony Lodge",
"Watson",
"Baker Street"
] |
Moderate
|
85eb64505c2a13c094f48c0bc650337f4aa4380dfa2c009d05c2a1e1b07a7c35
|
中华人民共和国治安管理处罚法
（2005年8月28日第十届全国人民代表大会常务委员会第十七次会议通过 根据2012年10月26日第十一届全国人民代表大会常务委员会第二十九次会议《关于修改〈中华人民共和国治安管理处罚法〉的决定》修正）
目 录
第一章 总 则
第二章 处罚的种类和适用
第三章 违反治安管理的行为和处罚
第一节 扰乱公共秩序的行为和处罚
第二节 妨害公共安全的行为和处罚
第三节 侵犯人身权利、财产权利的行为和处罚
第四节 妨害社会管理的行为和处罚
第四章 处罚程序
第一节 调 查
第二节 决 定
第三节 执 行
第五章 执法监督
第六章 附 则
第一章 总 则
第一条 为维护社会治安秩序，保障公共安全，保护公民、法人和其他组织的合法权益，规范和保障公安机关及其人民警察依法履行治安管理职责，制定本法。
第二条 扰乱公共秩序，妨害公共安全，侵犯人身权利、财产权利，妨害社会管理，具有社会危害性，依照《中华人民共和国刑法》的规定构成犯罪的，依法追究刑事责任；尚不够刑事处罚的，由公安机关依照本法给予治安管理处罚。
第三条 治安管理处罚的程序，适用本法的规定；本法没有规定的，适用《中华人民共和国行政处罚法》的有关规定。
第四条 在中华人民共和国领域内发生的违反治安管理行为，除法律有特别规定的外，适用本法。
在中华人民共和国船舶和航空器内发生的违反治安管理行为，除法律有特别规定的外，适用本法。
第五条 治安管理处罚必须以事实为依据，与违反治安管理行为的性质、情节以及社会危害程度相当。
实施治安管理处罚，应当公开、公正，尊重和保障人权，保护公民的人格尊严。
办理治安案件应当坚持教育与处罚相结合的原则。
第六条 各级人民政府应当加强社会治安综合治理，采取有效措施，化解社会矛盾，增进社会和谐，维护社会稳定。
第七条 国务院公安部门负责全国的治安管理工作。县级以上地方各级人民政府公安机关负责本行政区域内的治安管理工作。
治安案件的管辖由国务院公安部门规定。
第八条 违反治安管理的行为对他人造成损害的，行为人或者其监护人应当依法承担民事责任。
第九条 对于因民间纠纷引起的打架斗殴或者损毁他人财物等违反治安管理行为，情节较轻的，公安机关可以调解处理。经公安机关调解，当事人达成协议的，不予处罚。经调解未达成协议或者达成协议后不履行的，公安机关应当依照本法的规定对违反治安管理行为人给予处罚，并告知当事人可以就民事争议依法向人民法院提起民事诉讼。
第二章 处罚的种类和适用
第十条 治安管理处罚的种类分为：
（一）警告；
（二）罚款；
（三）行政拘留；
（四）吊销公安机关发放的许可证。
对违反治安管理的外国人，可以附加适用限期出境或者驱逐出境。
第十一条 办理治安案件所查获的毒品、淫秽物品等违禁品，赌具、赌资，吸食、注射毒品的用具以及直接用于实施违反治安管理行为的本人所有的工具，应当收缴，按照规定处理。
违反治安管理所得的财物，追缴退还被侵害人；没有被侵害人的，登记造册，公开拍卖或者按照国家有关规定处理，所得款项上缴国库。
第十二条 已满十四周岁不满十八周岁的人违反治安管理的，从轻或者减轻处罚；不满十四周岁的人违反治安管理的，不予处罚，但是应当责令其监护人严加管教。
第十三条 精神病人在不能辨认或者不能控制自己行为的时候违反治安管理的，不予处罚，但是应当责令其监护人严加看管和治疗。间歇性的精神病人在精神正常的时候违反治安管理的，应当给予处罚。
第十四条 盲人或者又聋又哑的人违反治安管理的，可以从轻、减轻或者不予处罚。
第十五条 醉酒的人违反治安管理的，应当给予处罚。
醉酒的人在醉酒状态中，对本人有危险或者对他人的人身、财产或者公共安全有威胁的，应当对其采取保护性措施约束至酒醒。
第十六条 有两种以上违反治安管理行为的，分别决定，合并执行。行政拘留处罚合并执行的，最长不超过二十日。
第十七条 共同违反治安管理的，根据违反治安管理行为人在违反治安管理行为中所起的作用，分别处罚。
教唆、胁迫、诱骗他人违反治安管理的，按照其教唆、胁迫、诱骗的行为处罚。
第十八条 单位违反治安管理的，对其直接负责的主管人员和其他直接责任人员依照本法的规定处罚。其他法律、行政法规对同一行为规定给予单位处罚的，依照其规定处罚。
第十九条 违反治安管理有下列情形之一的，减轻处罚或者不予处罚：
（一）情节特别轻微的；
（二）主动消除或者减轻违法后果，并取得被侵害人谅解的；
（三）出于他人胁迫或者诱骗的；
（四）主动投案，向公安机关如实陈述自己的违法行为的；
（五）有立功表现的。
第二十条 违反治安管理有下列情形之一的，从重处罚：
（一）有较严重后果的；
（二）教唆、胁迫、诱骗他人违反治安管理的；
（三）对报案人、控告人、举报人、证人打击报复的；
（四）六个月内曾受过治安管理处罚的。
第二十一条 违反治安管理行为人有下列情形之一，依照本法应当给予行政拘留处罚的，不执行行政拘留处罚：
（一）已满十四周岁不满十六周岁的；
（二）已满十六周岁不满十八周岁，初次违反治安管理的；
（三）七十周岁以上的；
（四）怀孕或者哺乳自己不满一周岁婴儿的。
第二十二条 违反治安管理行为在六个月内没有被公安机关发现的，不再处罚。
前款规定的期限，从违反治安管理行为发生之日起计算；违反治安管理行为有连续或者继续状态的，从行为终了之日起计算。
第三章 违反治安管理的行为和处罚
第一节 扰乱公共秩序的行为和处罚
第二十三条 有下列行为之一的，处警告或者二百元以下罚款；情节较重的，处五日以上十日以下拘留，可以并处五百元以下罚款：
（一）扰乱机关、团体、企业、事业单位秩序，致使工作、生产、营业、医疗、教学、科研不能正常进行，尚未造成严重损失的；
（二）扰乱车站、港口、码头、机场、商场、公园、展览馆或者其他公共场所秩序的；
（三）扰乱公共汽车、电车、火车、船舶、航空器或者其他公共交通工具上的秩序的；
（四）非法拦截或者强登、扒乘机动车、船舶、航空器以及其他交通工具，影响交通工具正常行驶的；
（五）破坏依法进行的选举秩序的。
聚众实施前款行为的，对首要分子处十日以上十五日以下拘留，可以并处一千元以下罚款。
第二十四条 有下列行为之一，扰乱文化、体育等大型群众性活动秩序的，处警告或者二百元以下罚款；情节严重的，处五日以上十日以下拘留，可以并处五百元以下罚款：
（一）强行进入场内的；
（二）违反规定，在场内燃放烟花爆竹或者其他物品的；
（三）展示侮辱性标语、条幅等物品的；
（四）围攻裁判员、运动员或者其他工作人员的；
（五）向场内投掷杂物，不听制止的；
（六）扰乱大型群众性活动秩序的其他行为。
因扰乱体育比赛秩序被处以拘留处罚的，可以同时责令其十二个月内不得进入体育场馆观看同类比赛；违反规定进入体育场馆的，强行带离现场。
第二十五条 有下列行为之一的，处五日以上十日以下拘留，可以并处五百元以下罚款；情节较轻的，处五日以下拘留或者五百元以下罚款：
（一）散布谣言，谎报险情、疫情、警情或者以其他方法故意扰乱公共秩序的；
（二）投放虚假的爆炸性、毒害性、放射性、腐蚀性物质或者传染病病原体等危险物质扰乱公共秩序的；
（三）扬言实施放火、爆炸、投放危险物质扰乱公共秩序的。
第二十六条 有下列行为之一的，处五日以上十日以下拘留，可以并处五百元以下罚款；情节较重的，处十日以上十五日以下拘留，可以并处一千元以下罚款：
（一）结伙斗殴的；
（二）追逐、拦截他人的；
（三）强拿硬要或者任意损毁、占用公私财物的；
（四）其他寻衅滋事行为。
第二十七条 有下列行为之一的，处十日以上十五日以下拘留，可以并处一千元以下罚款；情节较轻的，处五日以上十日以下拘留，可以并处五百元以下罚款：
（一）组织、教唆、胁迫、诱骗、煽动他人从事邪教、会道门活动或者利用邪教、会道门、迷信活动，扰乱社会秩序、损害他人身体健康的；
（二）冒用宗教、气功名义进行扰乱社会秩序、损害他人身体健康活动的。
第二十八条 违反国家规定，故意干扰无线电业务正常进行的，或者对正常运行的无线电台（站）产生有害干扰，经有关主管部门指出后，拒不采取有效措施消除的，处五日以上十日以下拘留；情节严重的，处十日以上十五日以下拘留。
第二十九条 有下列行为之一的，处五日以下拘留；情节较重的，处五日以上十日以下拘留：
（一）违反国家规定，侵入计算机信息系统，造成危害的；
（二）违反国家规定，对计算机信息系统功能进行删除、修改、增加、干扰，造成计算机信息系统不能正常运行的；
（三）违反国家规定，对计算机信息系统中存储、处理、传输的数据和应用程序进行删除、修改、增加的；
（四）故意制作、传播计算机病毒等破坏性程序，影响计算机信息系统正常运行的。
第二节 妨害公共安全的行为和处罚
第三十条 违反国家规定，制造、买卖、储存、运输、邮寄、携带、使用、提供、处置爆炸性、毒害性、放射性、腐蚀性物质或者传染病病原体等危险物质的，处十日以上十五日以下拘留；情节较轻的，处五日以上十日以下拘留。
第三十一条 爆炸性、毒害性、放射性、腐蚀性物质或者传染病病原体等危险物质被盗、被抢或者丢失，未按规定报告的，处五日以下拘留；故意隐瞒不报的，处五日以上十日以下拘留。
第三十二条 非法携带枪支、弹药或者弩、匕首等国家规定的管制器具的，处五日以下拘留，可以并处五百元以下罚款；情节较轻的，处警告或者二百元以下罚款。
非法携带枪支、弹药或者弩、匕首等国家规定的管制器具进入公共场所或者公共交通工具的，处五日以上十日以下拘留，可以并处五百元以下罚款。
第三十三条 有下列行为之一的，处十日以上十五日以下拘留：
（一）盗窃、损毁油气管道设施、电力电信设施、广播电视设施、水利防汛工程设施或者水文监测、测量、气象测报、环境监测、地质监测、地震监测等公共设施的；
（二）移动、损毁国家边境的界碑、界桩以及其他边境标志、边境设施或者领土、领海标志设施的；
（三）非法进行影响国（边）界线走向的活动或者修建有碍国（边）境管理的设施的。
第三十四条 盗窃、损坏、擅自移动使用中的航空设施，或者强行进入航空器驾驶舱的，处十日以上十五日以下拘留。
在使用中的航空器上使用可能影响导航系统正常功能的器具、工具，不听劝阻的，处五日以下拘留或者五百元以下罚款。
第三十五条 有下列行为之一的，处五日以上十日以下拘留，可以并处五百元以下罚款；情节较轻的，处五日以下拘留或者五百元以下罚款：
（一）盗窃、损毁或者擅自移动铁路设施、设备、机车车辆配件或者安全标志的；
（二）在铁路线路上放置障碍物，或者故意向列车投掷物品的；
（三）在铁路线路、桥梁、涵洞处挖掘坑穴、采石取沙的；
（四）在铁路线路上私设道口或者平交过道的。
第三十六条 擅自进入铁路防护网或者火车来临时在铁路线路上行走坐卧、抢越铁路，影响行车安全的，处警告或者二百元以下罚款。
第三十七条 有下列行为之一的，处五日以下拘留或者五百元以下罚款；情节严重的，处五日以上十日以下拘留，可以并处五百元以下罚款：
（一）未经批准，安装、使用电网的，或者安装、使用电网不符合安全规定的；
（二）在车辆、行人通行的地方施工，对沟井坎穴不设覆盖物、防围和警示标志的，或者故意损毁、移动覆盖物、防围和警示标志的；
（三）盗窃、损毁路面井盖、照明等公共设施的。
第三十八条 举办文化、体育等大型群众性活动，违反有关规定，有发生安全事故危险的，责令停止活动，立即疏散；对组织者处五日以上十日以下拘留，并处二百元以上五百元以下罚款；情节较轻的，处五日以下拘留或者五百元以下罚款。
第三十九条 旅馆、饭店、影剧院、娱乐场、运动场、展览馆或者其他供社会公众活动的场所的经营管理人员，违反安全规定，致使该场所有发生安全事故危险，经公安机关责令改正，拒不改正的，处五日以下拘留。
第三节 侵犯人身权利、财产权利的行为和处罚
第四十条 有下列行为之一的，处十日以上十五日以下拘留，并处五百元以上一千元以下罚款；情节较轻的，处五日以上十日以下拘留，并处二百元以上五百元以下罚款：
（一）组织、胁迫、诱骗不满十六周岁的人或者残疾人进行恐怖、残忍表演的；
（二）以暴力、威胁或者其他手段强迫他人劳动的；
（三）非法限制他人人身自由、非法侵入他人住宅或者非法搜查他人身体的。
第四十一条 胁迫、诱骗或者利用他人乞讨的，处十日以上十五日以下拘留，可以并处一千元以下罚款。
反复纠缠、强行讨要或者以其他滋扰他人的方式乞讨的，处五日以下拘留或者警告。
第四十二条 有下列行为之一的，处五日以下拘留或者五百元以下罚款；情节较重的，处五日以上十日以下拘留，可以并处五百元以下罚款：
（一）写恐吓信或者以其他方法威胁他人人身安全的；
（二）公然侮辱他人或者捏造事实诽谤他人的；
（三）捏造事实诬告陷害他人，企图使他人受到刑事追究或者受到治安管理处罚的；
（四）对证人及其近亲属进行威胁、侮辱、殴打或者打击报复的；
（五）多次发送淫秽、侮辱、恐吓或者其他信息，干扰他人正常生活的；
（六）偷窥、偷拍、窃听、散布他人隐私的。
第四十三条 殴打他人的，或者故意伤害他人身体的，处五日以上十日以下拘留，并处二百元以上五百元以下罚款；情节较轻的，处五日以下拘留或者五百元以下罚款。
有下列情形之一的，处十日以上十五日以下拘留，并处五百元以上一千元以下罚款：
（一）结伙殴打、伤害他人的；
（二）殴打、伤害残疾人、孕妇、不满十四周岁的人或者六十周岁以上的人的；
（三）多次殴打、伤害他人或者一次殴打、伤害多人的。
第四十四条 猥亵他人的，或者在公共场所故意裸露身体，情节恶劣的，处五日以上十日以下拘留；猥亵智力残疾人、精神病人、不满十四周岁的人或者有其他严重情节的，处十日以上十五日以下拘留。
第四十五条 有下列行为之一的，处五日以下拘留或者警告：
（一）虐待家庭成员，被虐待人要求处理的；
（二）遗弃没有独立生活能力的被扶养人的。
第四十六条 强买强卖商品，强迫他人提供服务或者强迫他人接受服务的，处五日以上十日以下拘留，并处二百元以上五百元以下罚款；情节较轻的，处五日以下拘留或者五百元以下罚款。
第四十七条 煽动民族仇恨、民族歧视，或者在出版物、计算机信息网络中刊载民族歧视、侮辱内容的，处十日以上十五日以下拘留，可以并处一千元以下罚款。
第四十八条 冒领、隐匿、毁弃、私自开拆或者非法检查他人邮件的，处五日以下拘留或者五百元以下罚款。
第四十九条 盗窃、诈骗、哄抢、抢夺、敲诈勒索或者故意损毁公私财物的，处五日以上十日以下拘留，可以并处五百元以下罚款；情节较重的，处十日以上十五日以下拘留，可以并处一千元以下罚款。
第四节 妨害社会管理的行为和处罚
第五十条 有下列行为之一的，处警告或者二百元以下罚款；情节严重的，处五日以上十日以下拘留，可以并处五百元以下罚款：
（一）拒不执行人民政府在紧急状态情况下依法发布的决定、命令的；
（二）阻碍国家机关工作人员依法执行职务的；
（三）阻碍执行紧急任务的消防车、救护车、工程抢险车、警车等车辆通行的；
（四）强行冲闯公安机关设置的警戒带、警戒区的。
阻碍人民警察依法执行职务的，从重处罚。
第五十一条 冒充国家机关工作人员或者以其他虚假身份招摇撞骗的，处五日以上十日以下拘留，可以并处五百元以下罚款；情节较轻的，处五日以下拘留或者五百元以下罚款。
冒充军警人员招摇撞骗的，从重处罚。
第五十二条 有下列行为之一的，处十日以上十五日以下拘留，可以并处一千元以下罚款；情节较轻的，处五日以上十日以下拘留，可以并处五百元以下罚款：
（一）伪造、变造或者买卖国家机关、人民团体、企业、事业单位或者其他组织的公文、证件、证明文件、印章的；
（二）买卖或者使用伪造、变造的国家机关、人民团体、企业、事业单位或者其他组织的公文、证件、证明文件的；
（三）伪造、变造、倒卖车票、船票、航空客票、文艺演出票、体育比赛入场券或者其他有价票证、凭证的；
（四）伪造、变造船舶户牌，买卖或者使用伪造、变造的船舶户牌，或者涂改船舶发动机号码的。
第五十三条 船舶擅自进入、停靠国家禁止、限制进入的水域或者岛屿的，对船舶负责人及有关责任人员处五百元以上一千元以下罚款；情节严重的，处五日以下拘留，并处五百元以上一千元以下罚款。
第五十四条 有下列行为之一的，处十日以上十五日以下拘留，并处五百元以上一千元以下罚款；情节较轻的，处五日以下拘留或者五百元以下罚款：
（一）违反国家规定，未经注册登记，以社会团体名义进行活动，被取缔后，仍进行活动的；
（二）被依法撤销登记的社会团体，仍以社会团体名义进行活动的；
（三）未经许可，擅自经营按照国家规定需要由公安机关许可的行业的。
有前款第三项行为的，予以取缔。
取得公安机关许可的经营者，违反国家有关管理规定，情节严重的，公安机关可以吊销许可证。
第五十五条 煽动、策划非法集会、游行、示威，不听劝阻的，处十日以上十五日以下拘留。
第五十六条 旅馆业的工作人员对住宿的旅客不按规定登记姓名、身份证件种类和号码的，或者明知住宿的旅客将危险物质带入旅馆，不予制止的，处二百元以上五百元以下罚款。
旅馆业的工作人员明知住宿的旅客是犯罪嫌疑人员或者被公安机关通缉的人员，不向公安机关报告的，处二百元以上五百元以下罚款；情节严重的，处五日以下拘留，可以并处五百元以下罚款。
第五十七条 房屋出租人将房屋出租给无身份证件的人居住的，或者不按规定登记承租人姓名、身份证件种类和号码的，处二百元以上五百元以下罚款。
房屋出租人明知承租人利用出租房屋进行犯罪活动，不向公安机关报告的，处二百元以上五百元以下罚款；情节严重的，处五日以下拘留，可以并处五百元以下罚款。
第五十八条 违反关于社会生活噪声污染防治的法律规定，制造噪声干扰他人正常生活的，处警告；警告后不改正的，处二百元以上五百元以下罚款。
第五十九条 有下列行为之一的，处五百元以上一千元以下罚款；情节严重的，处五日以上十日以下拘留，并处五百元以上一千元以下罚款：
（一）典当业工作人员承接典当的物品，不查验有关证明、不履行登记手续，或者明知是违法犯罪嫌疑人、赃物，不向公安机关报告的；
（二）违反国家规定，收购铁路、油田、供电、电信、矿山、水利、测量和城市公用设施等废旧专用器材的；
（三）收购公安机关通报寻查的赃物或者有赃物嫌疑的物品的；
（四）收购国家禁止收购的其他物品的。
第六十条 有下列行为之一的，处五日以上十日以下拘留，并处二百元以上五百元以下罚款：
（一）隐藏、转移、变卖或者损毁行政执法机关依法扣押、查封、冻结的财物的；
（二）伪造、隐匿、毁灭证据或者提供虚假证言、谎报案情，影响行政执法机关依法办案的；
（三）明知是赃物而窝藏、转移或者代为销售的；
（四）被依法执行管制、剥夺政治权利或者在缓刑、暂予监外执行中的罪犯或者被依法采取刑事强制措施的人，有违反法律、行政法规或者国务院有关部门的监督管理规定的行为。
第六十一条 协助组织或者运送他人偷越国（边）境的，处十日以上十五日以下拘留，并处一千元以上五千元以下罚款。
第六十二条 为偷越国（边）境人员提供条件的，处五日以上十日以下拘留，并处五百元以上二千元以下罚款。
偷越国（边）境的，处五日以下拘留或者五百元以下罚款。
第六十三条 有下列行为之一的，处警告或者二百元以下罚款；情节较重的，处五日以上十日以下拘留，并处二百元以上五百元以下罚款：
（一）刻划、涂污或者以其他方式故意损坏国家保护的文物、名胜古迹的；
（二）违反国家规定，在文物保护单位附近进行爆破、挖掘等活动，危及文物安全的。
第六十四条 有下列行为之一的，处五百元以上一千元以下罚款；情节严重的，处十日以上十五日以下拘留，并处五百元以上一千元以下罚款：
（一）偷开他人机动车的；
（二）未取得驾驶证驾驶或者偷开他人航空器、机动船舶的。
第六十五条 有下列行为之一的，处五日以上十日以下拘留；情节严重的，处十日以上十五日以下拘留，可以并处一千元以下罚款：
（一）故意破坏、污损他人坟墓或者毁坏、丢弃他人尸骨、骨灰的；
（二）在公共场所停放尸体或者因停放尸体影响他人正常生活、工作秩序，不听劝阻的。
第六十六条 卖淫、嫖娼的，处十日以上十五日以下拘留，可以并处五千元以下罚款；情节较轻的，处五日以下拘留或者五百元以下罚款。
在公共场所拉客招嫖的，处五日以下拘留或者五百元以下罚款。
第六十七条 引诱、容留、介绍他人卖淫的，处十日以上十五日以下拘留，可以并处五千元以下罚款；情节较轻的，处五日以下拘留或者五百元以下罚款。
第六十八条 制作、运输、复制、出售、出租淫秽的书刊、图片、影片、音像制品等淫秽物品或者利用计算机信息网络、电话以及其他通讯工具传播淫秽信息的，处十日以上十五日以下拘留，可以并处三千元以下罚款；情节较轻的，处五日以下拘留或者五百元以下罚款。
第六十九条 有下列行为之一的，处十日以上十五日以下拘留，并处五百元以上一千元以下罚款：
（一）组织播放淫秽音像的；
（二）组织或者进行淫秽表演的；
（三）参与聚众淫乱活动的。
明知他人从事前款活动，为其提供条件的，依照前款的规定处罚。
第七十条 以营利为目的，为赌博提供条件的，或者参与赌博赌资较大的，处五日以下拘留或者五百元以下罚款；情节严重的，处十日以上十五日以下拘留，并处五百元以上三千元以下罚款。
第七十一条 有下列行为之一的，处十日以上十五日以下拘留，可以并处三千元以下罚款；情节较轻的，处五日以下拘留或者五百元以下罚款：
（一）非法种植罂粟不满五百株或者其他少量毒品原植物的；
（二）非法买卖、运输、携带、持有少量未经灭活的罂粟等毒品原植物种子或者幼苗的；
（三）非法运输、买卖、储存、使用少量罂粟壳的。
有前款第一项行为，在成熟前自行铲除的，不予处罚。
第七十二条 有下列行为之一的，处十日以上十五日以下拘留，可以并处二千元以下罚款；情节较轻的，处五日以下拘留或者五百元以下罚款：
（一）非法持有鸦片不满二百克、海洛因或者甲基苯丙胺不满十克或者其他少量毒品的；
（二）向他人提供毒品的；
（三）吸食、注射毒品的；
（四）胁迫、欺骗医务人员开具麻醉药品、精神药品的。
第七十三条 教唆、引诱、欺骗他人吸食、注射毒品的，处十日以上十五日以下拘留，并处五百元以上二千元以下罚款。
第七十四条 旅馆业、饮食服务业、文化娱乐业、出租汽车业等单位的人员，在公安机关查处吸毒、赌博、卖淫、嫖娼活动时，为违法犯罪行为人通风报信的，处十日以上十五日以下拘留。
第七十五条 饲养动物，干扰他人正常生活的，处警告；警告后不改正的，或者放任动物恐吓他人的，处二百元以上五百元以下罚款。
驱使动物伤害他人的，依照本法第四十三条第一款的规定处罚。
第七十六条 有本法第六十七条、第六十八条、第七十条的行为，屡教不改的，可以按照国家规定采取强制性教育措施。
第四章 处罚程序
第一节 调 查
第七十七条 公安机关对报案、控告、举报或者违反治安管理行为人主动投案，以及其他行政主管部门、司法机关移送的违反治安管理案件，应当及时受理，并进行登记。
第七十八条 公安机关受理报案、控告、举报、投案后，认为属于违反治安管理行为的，应当立即进行调查；认为不属于违反治安管理行为的，应当告知报案人、控告人、举报人、投案人，并说明理由。
第七十九条 公安机关及其人民警察对治安案件的调查，应当依法进行。严禁刑讯逼供或者采用威胁、引诱、欺骗等非法手段收集证据。
以非法手段收集的证据不得作为处罚的根据。
第八十条 公安机关及其人民警察在办理治安案件时，对涉及的国家秘密、商业秘密或者个人隐私，应当予以保密。
第八十一条 人民警察在办理治安案件过程中，遇有下列情形之一的，应当回避；违反治安管理行为人、被侵害人或者其法定代理人也有权要求他们回避：
（一）是本案当事人或者当事人的近亲属的；
（二）本人或者其近亲属与本案有利害关系的；
（三）与本案当事人有其他关系，可能影响案件公正处理的。
人民警察的回避，由其所属的公安机关决定；公安机关负责人的回避，由上一级公安机关决定。
第八十二条 需要传唤违反治安管理行为人接受调查的，经公安机关办案部门负责人批准，使用传唤证传唤。对现场发现的违反治安管理行为人，人民警察经出示工作证件，可以口头传唤，但应当在询问笔录中注明。
公安机关应当将传唤的原因和依据告知被传唤人。对无正当理由不接受传唤或者逃避传唤的人，可以强制传唤。
第八十三条 对违反治安管理行为人，公安机关传唤后应当及时询问查证，询问查证的时间不得超过八小时；情况复杂，依照本法规定可能适用行政拘留处罚的，询问查证的时间不得超过二十四小时。
公安机关应当及时将传唤的原因和处所通知被传唤人家属。
第八十四条 询问笔录应当交被询问人核对；对没有阅读能力的，应当向其宣读。记载有遗漏或者差错的，被询问人可以提出补充或者更正。被询问人确认笔录无误后，应当签名或者盖章，询问的人民警察也应当在笔录上签名。
被询问人要求就被询问事项自行提供书面材料的，应当准许；必要时，人民警察也可以要求被询问人自行书写。
询问不满十六周岁的违反治安管理行为人，应当通知其父母或者其他监护人到场。
第八十五条 人民警察询问被侵害人或者其他证人，可以到其所在单位或者住处进行；必要时，也可以通知其到公安机关提供证言。
人民警察在公安机关以外询问被侵害人或者其他证人，应当出示工作证件。
询问被侵害人或者其他证人，同时适用本法第八十四条的规定。
第八十六条 询问聋哑的违反治安管理行为人、被侵害人或者其他证人，应当有通晓手语的人提供帮助，并在笔录上注明。
询问不通晓当地通用的语言文字的违反治安管理行为人、被侵害人或者其他证人，应当配备翻译人员，并在笔录上注明。
第八十七条 公安机关对与违反治安管理行为有关的场所、物品、人身可以进行检查。检查时，人民警察不得少于二人，并应当出示工作证件和县级以上人民政府公安机关开具的检查证明文件。对确有必要立即进行检查的，人民警察经出示工作证件，可以当场检查，但检查公民住所应当出示县级以上人民政府公安机关开具的检查证明文件。
检查妇女的身体，应当由女性工作人员进行。
第八十八条 检查的情况应当制作检查笔录，由检查人、被检查人和见证人签名或者盖章；被检查人拒绝签名的，人民警察应当在笔录上注明。
第八十九条 公安机关办理治安案件，对与案件有关的需要作为证据的物品，可以扣押；对被侵害人或者善意第三人合法占有的财产，不得扣押，应当予以登记。对与案件无关的物品，不得扣押。
对扣押的物品，应当会同在场见证人和被扣押物品持有人查点清楚，当场开列清单一式二份，由调查人员、见证人和持有人签名或者盖章，一份交给持有人，另一份附卷备查。
对扣押的物品，应当妥善保管，不得挪作他用；对不宜长期保存的物品，按照有关规定处理。经查明与案件无关的，应当及时退还；经核实属于他人合法财产的，应当登记后立即退还；满六个月无人对该财产主张权利或者无法查清权利人的，应当公开拍卖或者按照国家有关规定处理，所得款项上缴国库。
第九十条 为了查明案情，需要解决案件中有争议的专门性问题的，应当指派或者聘请具有专门知识的人员进行鉴定；鉴定人鉴定后，应当写出鉴定意见，并且签名。
第二节 决 定
第九十一条 治安管理处罚由县级以上人民政府公安机关决定；其中警告、五百元以下的罚款可以由公安派出所决定。
第九十二条 对决定给予行政拘留处罚的人，在处罚前已经采取强制措施限制人身自由的时间，应当折抵。限制人身自由一日，折抵行政拘留一日。
第九十三条 公安机关查处治安案件，对没有本人陈述，但其他证据能够证明案件事实的，可以作出治安管理处罚决定。但是，只有本人陈述，没有其他证据证明的，不能作出治安管理处罚决定。
第九十四条 公安机关作出治安管理处罚决定前，应当告知违反治安管理行为人作出治安管理处罚的事实、理由及依据，并告知违反治安管理行为人依法享有的权利。
违反治安管理行为人有权陈述和申辩。公安机关必须充分听取违反治安管理行为人的意见，对违反治安管理行为人提出的事实、理由和证据，应当进行复核；违反治安管理行为人提出的事实、理由或者证据成立的，公安机关应当采纳。
公安机关不得因违反治安管理行为人的陈述、申辩而加重处罚。
第九十五条 治安案件调查结束后，公安机关应当根据不同情况，分别作出以下处理：
（一）确有依法应当给予治安管理处罚的违法行为的，根据情节轻重及具体情况，作出处罚决定；
（二）依法不予处罚的，或者违法事实不能成立的，作出不予处罚决定；
（三）违法行为已涉嫌犯罪的，移送主管机关依法追究刑事责任；
（四）发现违反治安管理行为人有其他违法行为的，在对违反治安管理行为作出处罚决定的同时，通知有关行政主管部门处理。
第九十六条 公安机关作出治安管理处罚决定的，应当制作治安管理处罚决定书。决定书应当载明下列内容：
（一）被处罚人的姓名、性别、年龄、身份证件的名称和号码、住址；
（二）违法事实和证据；
（三）处罚的种类和依据；
（四）处罚的执行方式和期限；
（五）对处罚决定不服，申请行政复议、提起行政诉讼的途径和期限；
（六）作出处罚决定的公安机关的名称和作出决定的日期。
决定书应当由作出处罚决定的公安机关加盖印章。
第九十七条 公安机关应当向被处罚人宣告治安管理处罚决定书，并当场交付被处罚人；无法当场向被处罚人宣告的，应当在二日内送达被处罚人。决定给予行政拘留处罚的，应当及时通知被处罚人的家属。
有被侵害人的，公安机关应当将决定书副本抄送被侵害人。
第九十八条 公安机关作出吊销许可证以及处二千元以上罚款的治安管理处罚决定前，应当告知违反治安管理行为人有权要求举行听证；违反治安管理行为人要求听证的，公安机关应当及时依法举行听证。
第九十九条 公安机关办理治安案件的期限，自受理之日起不得超过三十日；案情重大、复杂的，经上一级公安机关批准，可以延长三十日。
为了查明案情进行鉴定的期间，不计入办理治安案件的期限。
第一百条 违反治安管理行为事实清楚，证据确凿，处警告或者二百元以下罚款的，可以当场作出治安管理处罚决定。
第一百零一条 当场作出治安管理处罚决定的，人民警察应当向违反治安管理行为人出示工作证件，并填写处罚决定书。处罚决定书应当当场交付被处罚人；有被侵害人的，并将决定书副本抄送被侵害人。
前款规定的处罚决定书，应当载明被处罚人的姓名、违法行为、处罚依据、罚款数额、时间、地点以及公安机关名称，并由经办的人民警察签名或者盖章。
当场作出治安管理处罚决定的，经办的人民警察应当在二十四小时内报所属公安机关备案。
第一百零二条 被处罚人对治安管理处罚决定不服的，可以依法申请行政复议或者提起行政诉讼。
第三节 执 行
第一百零三条 对被决定给予行政拘留处罚的人，由作出决定的公安机关送达拘留所执行。
第一百零四条 受到罚款处罚的人应当自收到处罚决定书之日起十五日内，到指定的银行缴纳罚款。但是，有下列情形之一的，人民警察可以当场收缴罚款：
（一）被处五十元以下罚款，被处罚人对罚款无异议的；
（二）在边远、水上、交通不便地区，公安机关及其人民警察依照本法的规定作出罚款决定后，被处罚人向指定的银行缴纳罚款确有困难，经被处罚人提出的；
（三）被处罚人在当地没有固定住所，不当场收缴事后难以执行的。
第一百零五条 人民警察当场收缴的罚款，应当自收缴罚款之日起二日内，交至所属的公安机关；在水上、旅客列车上当场收缴的罚款，应当自抵岸或者到站之日起二日内，交至所属的公安机关；公安机关应当自收到罚款之日起二日内将罚款缴付指定的银行。
第一百零六条 人民警察当场收缴罚款的，应当向被处罚人出具省、自治区、直辖市人民政府财政部门统一制发的罚款收据；不出具统一制发的罚款收据的，被处罚人有权拒绝缴纳罚款。
第一百零七条 被处罚人不服行政拘留处罚决定，申请行政复议、提起行政诉讼的，可以向公安机关提出暂缓执行行政拘留的申请。公安机关认为暂缓执行行政拘留不致发生社会危险的，由被处罚人或者其近亲属提出符合本法第一百零八条规定条件的担保人，或者按每日行政拘留二百元的标准交纳保证金，行政拘留的处罚决定暂缓执行。
第一百零八条 担保人应当符合下列条件：
（一）与本案无牵连；
（二）享有政治权利，人身自由未受到限制；
（三）在当地有常住户口和固定住所；
（四）有能力履行担保义务。
第一百零九条 担保人应当保证被担保人不逃避行政拘留处罚的执行。
担保人不履行担保义务，致使被担保人逃避行政拘留处罚的执行的，由公安机关对其处三千元以下罚款。
第一百一十条 被决定给予行政拘留处罚的人交纳保证金，暂缓行政拘留后，逃避行政拘留处罚的执行的，保证金予以没收并上缴国库，已经作出的行政拘留决定仍应执行。
第一百一十一条 行政拘留的处罚决定被撤销，或者行政拘留处罚开始执行的，公安机关收取的保证金应当及时退还交纳人。
第五章 执法监督
第一百一十二条 公安机关及其人民警察应当依法、公正、严格、高效办理治安案件，文明执法，不得徇私舞弊。
第一百一十三条 公安机关及其人民警察办理治安案件，禁止对违反治安管理行为人打骂、虐待或者侮辱。
第一百一十四条 公安机关及其人民警察办理治安案件，应当自觉接受社会和公民的监督。
公安机关及其人民警察办理治安案件，不严格执法或者有违法违纪行为的，任何单位和个人都有权向公安机关或者人民检察院、行政监察机关检举、控告；收到检举、控告的机关，应当依据职责及时处理。
第一百一十五条 公安机关依法实施罚款处罚，应当依照有关法律、行政法规的规定，实行罚款决定与罚款收缴分离；收缴的罚款应当全部上缴国库。
第一百一十六条 人民警察办理治安案件，有下列行为之一的，依法给予行政处分；构成犯罪的，依法追究刑事责任：
（一）刑讯逼供、体罚、虐待、侮辱他人的；
（二）超过询问查证的时间限制人身自由的；
（三）不执行罚款决定与罚款收缴分离制度或者不按规定将罚没的财物上缴国库或者依法处理的；
（四）私分、侵占、挪用、故意损毁收缴、扣押的财物的；
（五）违反规定使用或者不及时返还被侵害人财物的；
（六）违反规定不及时退还保证金的；
（七）利用职务上的便利收受他人财物或者谋取其他利益的；
（八）当场收缴罚款不出具罚款收据或者不如实填写罚款数额的；
（九）接到要求制止违反治安管理行为的报警后，不及时出警的；
（十）在查处违反治安管理活动时，为违法犯罪行为人通风报信的；
（十一）有徇私舞弊、滥用职权，不依法履行法定职责的其他情形的。
办理治安案件的公安机关有前款所列行为的，对直接负责的主管人员和其他直接责任人员给予相应的行政处分。
第一百一十七条 公安机关及其人民警察违法行使职权，侵犯公民、法人和其他组织合法权益的，应当赔礼道歉；造成损害的，应当依法承担赔偿责任。
第六章 附 则
第一百一十八条 本法所称以上、以下、以内，包括本数。
第一百一十九条 本法自2006年3月1日起施行。1986年9月5日公布、1994年5月12日修订公布的《中华人民共和国治安管理处罚条例》同时废止。
－1－
－6－
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Chinese
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8k
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T5. Attribution & Citation Alignment
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T5.1 Full-Sentence Citation Alignment
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Full
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对下面摘要中的每一句话，标注来自上述原文的最小充分出处（条款号，例如，“第一条”）。 先输出“[答案]”标识符，再以“句号 出处”的格式按行输出每句话的出处，若一句话有多个出处，则输出多行，每个出处占一行，不要输出任何其他内容。
摘要：
1. 并处五百元以上二千元以下罚款。
2. 举办文化、体育等大型群众性活动，违反有关规定，有发生安全事故危险的，责令停止活动，立即疏散
3. 制作、运输、复制、出售、出租淫秽的书刊、图片、影片、音像制品等淫秽物品或者利用计算机信息网络、电话以及其他通讯工具传播淫秽信息的
输出示例：
[答案]
1 第三十三条
1 第三十八条
1 第四十五条
2 第五十四条
3 第八十九条
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对下面摘要中的每一句话，标注来自上述原文的最小充分出处（条款号，例如，“第一条”）。 进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再以“句号 出处”的格式按行输出每句话的出处，若一句话有多个出处，则输出多行，每个出处占一行，不要输出任何其他内容。
摘要：
1. 并处五百元以上二千元以下罚款。
2. 举办文化、体育等大型群众性活动，违反有关规定，有发生安全事故危险的，责令停止活动，立即疏散
3. 制作、运输、复制、出售、出租淫秽的书刊、图片、影片、音像制品等淫秽物品或者利用计算机信息网络、电话以及其他通讯工具传播淫秽信息的
输出示例：
<你的思考过程>
[答案]
1 第三十三条
1 第三十八条
1 第四十五条
2 第五十四条
3 第八十九条
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[
"1 第六十二条",
"1 第七十三条",
"2 第三十八条",
"3 第六十八条"
] |
Hard
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e1aa749e57dbea764b9413a6874c7156971dc5b70b89db2ea94f484be5a318cd
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K
☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the Fiscal Year Ended June 30, 2023
OR
☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the Transition Period From to
Commission File Number 001-37845
MICROSOFT CORPORATION
Washington 91-1144442
(STATE OF INCORPORATION) (I.R.S. ID)
ONE MICROSOFT WAY, REDMOND, Washington 98052-6399
(425) 882-8080
www.microsoft.com/investor
Securities registered pursuant to Section 12(b) of the Act:
Title of each class Trading Symbol Name of exchange on which registered
Common stock, $0.00000625 par value per share MSFT Nasdaq
3.125% Notes due 2028 MSFT Nasdaq
2.625% Notes due 2033 MSFT Nasdaq
Securities registered pursuant to Section 12(g) of the Act:
None
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ☒ No ☐
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes ☐ No ☒
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ☒ No ☐
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes ☒ No ☐
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large Accelerated Filer ☒ Accelerated Filer ☐
Non-accelerated Filer ☐ Smaller Reporting Company ☐
Emerging Growth Company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Indicate by check mark whether the registrant has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report. ☒
If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflect the correction of an error to previously issued financial statements. ☐
Indicate by check mark whether any of those error corrections are restatements that required a recovery analysis of incentive-based compensation received by any of the registrant’s executive officers during the relevant recovery period pursuant to §240.10D-1(b). ☐
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes ☐ No ☒
As of December 31, 2022, the aggregate market value of the registrant’s common stock held by non-affiliates of the registrant was $1.8 trillion based on the closing sale price as reported on the NASDAQ National Market System. As of July 24, 2023, there were 7,429,763,722 shares of common stock outstanding.
DOCUMENTS INCORPORATED BY REFERENCE
Portions of the definitive Proxy Statement to be delivered to shareholders in connection with the Annual Meeting of Shareholders to be held on December 7, 2023 are incorporated by reference into Part III.
MICROSOFT CORPORATION
FORM 10-K
For the Fiscal Year Ended June 30, 2023
INDEX
Page
PART I
Item 1. Business
4
Information about our Executive Officers
20
Item 1A. Risk Factors
23
Item 1B. Unresolved Staff Comments
37
Item 2. Properties
37
Item 3. Legal Proceedings
37
Item 4. Mine Safety Disclosures
37
PART II
Item 5. Market for Registrant’s Common Equity, Related Stockholder Matters, and Issuer Purchases of Equity Securities
38
Item 6. [Reserved]
39
Item 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations
40
Item 7A. Quantitative and Qualitative Disclosures about Market Risk
57
Item 8. Financial Statements and Supplementary Data
58
2
PART I
Item 1
Note About Forward-Looking Statements
This report includes estimates, projections, statements relating to our business plans, objectives, and expected operating results that are “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995, Section 27A of the Securities Act of 1933, and Section 21E of the Securities Exchange Act of 1934. Forward-looking statements may appear throughout this report, including the following sections: “Business” (Part I, Item 1 of this Form 10-K), “Risk Factors” (Part I, Item 1A of this Form 10-K), and “Management’s Discussion and Analysis of Financial Condition and Results of Operations” (Part II, Item 7 of this Form 10-K). These forward-looking statements generally are identified by the words “believe,” “project,” “expect,” “anticipate,” “estimate,” “intend,” “strategy,” “future,” “opportunity,” “plan,” “may,” “should,” “will,” “would,” “will be,” “will continue,” “will likely result,” and similar expressions. Forward-looking statements are based on current expectations and assumptions that are subject to risks and uncertainties that may cause actual results to differ materially. We describe risks and uncertainties that could cause actual results and events to differ materially in “Risk Factors,” “Management’s Discussion and Analysis of Financial Condition and Results of Operations,” and “Quantitative and Qualitative Disclosures about Market Risk” (Part II, Item 7A of this Form 10-K). Readers are cautioned not to place undue reliance on forward-looking statements, which speak only as of the date they are made. We undertake no obligation to update or revise publicly any forward-looking statements, whether because of new information, future events, or otherwise.
3
PART I
Item 1
PART I
ITEM 1. BUSINESS
GENERAL
Embracing Our Future
Microsoft is a technology company whose mission is to empower every person and every organization on the planet to achieve more. We strive to create local opportunity, growth, and impact in every country around the world. We are creating the platforms and tools, powered by artificial intelligence (“AI”), that deliver better, faster, and more effective solutions to support small and large business competitiveness, improve educational and health outcomes, grow public-sector efficiency, and empower human ingenuity. From infrastructure and data, to business applications and collaboration, we provide unique, differentiated value to customers.
In a world of increasing economic complexity, AI has the power to revolutionize many types of work. Microsoft is now innovating and expanding our portfolio with AI capabilities to help people and organizations overcome today’s challenges and emerge stronger. Customers are looking to unlock value from their digital spend and innovate for this next generation of AI, while simplifying security and management. Those leveraging the Microsoft Cloud are best positioned to take advantage of technological advancements and drive innovation. Our investment in AI spans the entire company, from Microsoft Teams and Outlook, to Bing and Xbox, and we are infusing generative AI capability into our consumer and commercial offerings to deliver copilot capability for all services across the Microsoft Cloud.
We’re committed to making the promise of AI real – and doing it responsibly. Our work is guided by a core set of principles: fairness, reliability and safety, privacy and security, inclusiveness, transparency, and accountability.
What We Offer
Founded in 1975, we develop and support software, services, devices, and solutions that deliver new value for customers and help people and businesses realize their full potential.
We offer an array of services, including cloud-based solutions that provide customers with software, services, platforms, and content, and we provide solution support and consulting services. We also deliver relevant online advertising to a global audience.
Our products include operating systems, cross-device productivity and collaboration applications, server applications, business solution applications, desktop and server management tools, software development tools, and video games. We also design and sell devices, including PCs, tablets, gaming and entertainment consoles, other intelligent devices, and related accessories.
The Ambitions That Drive Us
To achieve our vision, our research and development efforts focus on three interconnected ambitions:
•
Reinvent productivity and business processes.
•
Build the intelligent cloud and intelligent edge platform.
•
Create more personal computing.
Reinvent Productivity and Business Processes
At Microsoft, we provide technology and resources to help our customers create a secure, productive work environment. Our family of products plays a key role in the ways the world works, learns, and connects.
4
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Our growth depends on securely delivering continuous innovation and advancing our leading productivity and collaboration tools and services, including Office 365, Dynamics 365, and LinkedIn. Microsoft 365 brings together Office 365, Windows, and Enterprise Mobility + Security to help organizations empower their employees with AI-backed tools that unlock creativity, increase collaboration, and fuel innovation, all the while enabling compliance coverage and data protection. Microsoft Teams is a comprehensive platform for work, with meetings, calls, chat, collaboration, and business process automation. Microsoft Viva is an employee experience platform that brings together communications, knowledge, learning, resources, and insights. Microsoft 365 Copilot combines next-generation AI with business data in the Microsoft Graph and Microsoft 365 applications.
Together with the Microsoft Cloud, Dynamics 365, Microsoft Teams, and our AI offerings bring a new era of collaborative applications that optimize business functions, processes, and applications to better serve customers and employees while creating more business value. Microsoft Power Platform is helping domain experts drive productivity gains with low-code/no-code tools, robotic process automation, virtual agents, and business intelligence. In a dynamic labor market, LinkedIn is helping professionals use the platform to connect, learn, grow, and get hired.
Build the Intelligent Cloud and Intelligent Edge Platform
As digital transformation and adoption of AI accelerates and revolutionizes more business workstreams, organizations in every sector across the globe can address challenges that will have a fundamental impact on their success. For enterprises, digital technology empowers employees, optimizes operations, engages customers, and in some cases, changes the very core of products and services. We continue to invest in high performance and sustainable computing to meet the growing demand for fast access to Microsoft services provided by our network of cloud computing infrastructure and datacenters.
Our cloud business benefits from three economies of scale: datacenters that deploy computational resources at significantly lower cost per unit than smaller ones; datacenters that coordinate and aggregate diverse customer, geographic, and application demand patterns, improving the utilization of computing, storage, and network resources; and multi-tenancy locations that lower application maintenance labor costs.
The Microsoft Cloud provides the best integration across the technology stack while offering openness, improving time to value, reducing costs, and increasing agility. Being a global-scale cloud, Azure uniquely offers hybrid consistency, developer productivity, AI capabilities, and trusted security and compliance. We see more emerging use cases and needs for compute and security at the edge and are accelerating our innovation across the spectrum of intelligent edge devices, from Internet of Things (“IoT”) sensors to gateway devices and edge hardware to build, manage, and secure edge workloads.
Our AI platform, Azure AI, is helping organizations transform, bringing intelligence and insights to the hands of their employees and customers to solve their most pressing challenges. Organizations large and small are deploying Azure AI solutions to achieve more at scale, more easily, with the proper enterprise-level and responsible AI protections.
We have a long-term partnership with OpenAI, a leading AI research and deployment company. We deploy OpenAI’s models across our consumer and enterprise products. As OpenAI’s exclusive cloud provider, Azure powers all of OpenAI's workloads. We have also increased our investments in the development and deployment of specialized supercomputing systems to accelerate OpenAI’s research.
Our hybrid infrastructure offers integrated, end-to-end security, compliance, identity, and management capabilities to support the real-world needs and evolving regulatory requirements of commercial customers and enterprises. Our industry clouds bring together capabilities across the entire Microsoft Cloud, along with industry-specific customizations. Azure Arc simplifies governance and management by delivering a consistent multi-cloud and on-premises management platform.
Nuance, a leader in conversational AI and ambient intelligence across industries including healthcare, financial services, retail, and telecommunications, joined Microsoft in 2022. Microsoft and Nuance enable organizations to accelerate their business goals with security-focused, cloud-based solutions infused with AI.
We are accelerating our development of mixed reality solutions with new Azure services and devices. Microsoft Mesh enables organizations to create custom, immersive experiences for the workplace to help bring remote and hybrid workers and teams together.
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The ability to convert data into AI drives our competitive advantage. The Microsoft Intelligent Data Platform is a leading cloud data platform that fully integrates databases, analytics, and governance. The platform empowers organizations to invest more time creating value rather than integrating and managing their data. Microsoft Fabric is an end-to-end, unified analytics platform that brings together all the data and analytics tools that organizations need.
GitHub Copilot is at the forefront of AI-powered software development, giving developers a new tool to write code easier and faster so they can focus on more creative problem-solving. From GitHub to Visual Studio, we provide a developer tool chain for everyone, no matter the technical experience, across all platforms, whether Azure, Windows, or any other cloud or client platform.
Windows also plays a critical role in fueling our cloud business with Windows 365, a desktop operating system that’s also a cloud service. From another internet-connected device, including Android or macOS devices, users can run Windows 365, just like a virtual machine.
Additionally, we are extending our infrastructure beyond the planet, bringing cloud computing to space. Azure Orbital is a fully managed ground station as a service for fast downlinking of data.
Create More Personal Computing
We strive to make computing more personal, enabling users to interact with technology in more intuitive, engaging, and dynamic ways.
Windows 11 offers innovations focused on enhancing productivity, including Windows Copilot with centralized AI assistance and Dev Home to help developers become more productive. Windows 11 security and privacy features include operating system security, application security, and user and identity security.
Through our Search, News, Mapping, and Browser services, Microsoft delivers unique trust, privacy, and safety features. In February 2023, we launched an all new, AI-powered Microsoft Edge browser and Bing search engine with Bing Chat to deliver better search, more complete answers, and the ability to generate content. Microsoft Edge is our fast and secure browser that helps protect users’ data. Quick access to AI-powered tools, apps, and more within Microsoft Edge’s sidebar enhance browsing capabilities.
We are committed to designing and marketing first-party devices to help drive innovation, create new device categories, and stimulate demand in the Windows ecosystem. The Surface family includes Surface Pro, Surface Laptop, and other Surface products.
Microsoft continues to invest in gaming content, community, and cloud services. We have broadened our approach to how we think about gaming end-to-end, from the way games are created and distributed to how they are played, including subscription services like Xbox Game Pass and new devices from third-party manufacturers so players can engage across PC, console, and mobile. In January 2022, we announced plans to acquire Activision Blizzard, Inc., a leader in game development and an interactive entertainment content publisher.
Our Future Opportunity
We are focused on helping customers use the breadth and depth of the Microsoft Cloud to get the most value out of their digital spend while leading the new AI wave across our solution areas. We continue to develop complete, intelligent solutions for our customers that empower people to be productive and collaborate, while safeguarding businesses and simplifying IT management. Our goal is to lead the industry in several distinct areas of technology over the long term, which we expect will translate to sustained growth. We are investing significant resources in:
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Transforming the workplace to deliver new modern, modular business applications, drive deeper insights, and improve how people communicate, collaborate, learn, work, and interact with one another.
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Building and running cloud-based services in ways that utilize ubiquitous computing to unleash new experiences and opportunities for businesses and individuals.
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Applying AI and ambient intelligence to drive insights, revolutionize many types of work, and provide substantive productivity gains using natural methods of communication.
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Tackling security from all angles with our integrated, end-to-end solutions spanning security, compliance, identity, and management, across all clouds and platforms.
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Inventing new gaming experiences that bring people together around their shared love for games on any devices and pushing the boundaries of innovation with console and PC gaming.
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Using Windows to fuel our cloud business, grow our share of the PC market, and drive increased engagement with our services like Microsoft 365 Consumer, Microsoft Teams, Microsoft Edge, Bing, Xbox Game Pass, and more.
Our future growth depends on our ability to transcend current product category definitions, business models, and sales motions.
Corporate Social Responsibility
Commitment to Sustainability
Microsoft’s approach to addressing climate change starts with the sustainability of our own business. In 2020, we committed to being a carbon negative, water positive, and zero waste company by 2030.
In May 2023, we released our Environmental Sustainability Report which looked back at our progress during fiscal year 2022. We continued to make progress on our goals, with our overall emissions declining by 0.5 percent. While our Scope 1 and Scope 2 emissions continued to decline, Scope 3 emissions increased by 0.5 percent. Scope 3 represented 96 percent of our total emissions, resulting primarily from the operations of our suppliers and the use of our products across our customers.
A few examples of our continued progress include:
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Signed new power purchase agreements, bringing our total portfolio of carbon-free energy to over 13.5 gigawatts.
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Contracted for water replenishment projects that are estimated to provide more than 15.6 million cubic meters in volumetric water benefit over the lifetime of these projects.
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Diverted 12,159 metric tons of solid waste from landfills and incinerators across our direct operational footprint.
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Protected 12,270 acres of land in Belize – more than the 11,206 acres of land that we use around the world.
Microsoft has a role to play in developing and advancing new climate solutions, but we recognize that no solution can be offered by any single company, organization, or government. Our approach helps to support the sustainability needs of our customers and the global community. Our Microsoft Cloud for Sustainability, an environmental sustainability management platform that includes Microsoft Sustainability Manager, enables organizations to record, report, and reduce their Scope 1, 2, and 3 emissions. These digital tools can interoperate with business systems and unify data intelligence for organizations.
Addressing Racial Injustice and Inequity
We are committed to addressing racial injustice and inequity in the United States for Black and African American communities and helping improve lived experiences at Microsoft, in employees’ communities, and beyond. Our Racial Equity Initiative focuses on three multi-year pillars, each containing actions and progress we expect to make or exceed by 2025.
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Strengthening our communities: using data, technology, and partnerships to help improve the lives of Black and African American people in the United States, including our employees and their communities.
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Engaging our ecosystem: using our balance sheet and relationships with suppliers and partners to foster societal change and create new opportunities.
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Increasing representation and strengthening inclusion: building on our momentum by adding a $150 million investment to strengthen inclusion and double the number of Black, African American, Hispanic, and Latinx leaders in the United States by 2025.
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In fiscal year 2023, we collaborated with partners and worked within neighborhoods and communities to launch and scale a number of projects and programs, including:
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Working with 103 unique organizations in 165 cities and counties on our Justice Reform Initiative to empower communities and advance racial equity and fairness in the justice system.
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Increasing access to affordable broadband, devices, and digital literacy training across 14 geographies, including 11 cities and three states in the Black Rural south.
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Growing our Nonprofit Tech Acceleration for Black and African American Communities program, which uses data, technology, and partnerships to help more than 2,000 local organizations to modernize and streamline operations.
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Expanding our Technology Education and Learning Support (“TEALS”) program to reach nearly 400 high schools in 21 communities to increase computer science opportunities for Black and African American students.
We exceeded our 2020 goal to double the percentage of our transaction volumes with Black- and African American-owned financial institutions by 2023. We are also increasing investment activity with Black- and African American-owned asset managers, which now represent 45 percent of our external manager group, enabling increased funds into local communities. We also met our goal of creating a $100 million program focused on mission-driven banks. We enriched our supplier pipeline, achieving our goal to spend $500 million with double the number of Black- and African American-owned suppliers. We also increased the number of identified partners in the Black Partner Growth Initiative by more than 250 percent, surpassing our initial goal.
We have made meaningful progress on representation and inclusion at Microsoft. As of June 2023, we are 93 percent of the way to our 2025 commitment to double the number of Black and African American people managers in the U.S. (below director level), and 107 percent of the way for Black and African American directors (people managers and individual contributors). We are 28 percent of the way for Hispanic and Latinx people managers (below director level) and 74 percent of the way for Hispanic and Latinx directors.
Investing in Digital Skills
After helping over 80 million jobseekers around the world access digital skilling resources, we introduced a new Skills for Jobs initiative to support a more skills-based labor market, with greater flexibility and accessible learning paths to develop the right skills needed for the most in-demand jobs. Our Skills for Jobs initiative brings together learning resources, certification opportunities, and job-seeker tools from LinkedIn, GitHub, and Microsoft Learn, and is built on data insights drawn from LinkedIn’s Economic Graph.
We also launched a national campaign to help skill and recruit 250,000 people into the cybersecurity workforce by 2025, representing half of the country’s workforce shortage. To that end, we are making curriculum available free of charge to all of the nation’s higher education institutions, providing training for new and existing faculty, and providing scholarships and supplemental resources to 25,000 students. We have expanded the cyber skills initiative to 27 additional countries that show elevated cyberthreat risks coupled with significant gaps in their cybersecurity workforces, partnering with nonprofits and other educational institutions to train the next generation of cybersecurity workers.
Generative AI is creating unparalleled opportunities to empower workers globally, but only if everyone has the skills to use it. To address this, in June 2023 we launched a new AI Skills Initiative to help everyone learn how to harness the power of AI. This includes a new LinkedIn learning pathway offering new coursework on learning the foundations of generative AI. We also launched a new global grant challenge to uncover new ways of training workers on generative AI and are providing greater access to digital learning events and resources for everyone to improve their AI fluency.
HUMAN CAPITAL RESOURCES
Overview
Microsoft aims to recruit, develop, and retain world-changing talent from a diversity of backgrounds. To foster their and our success, we seek to create an environment where people can thrive and do their best work. We strive to maximize the potential of our human capital resources by creating a respectful, rewarding, and inclusive work environment that enables our global employees to create products and services that further our mission.
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As of June 30, 2023, we employed approximately 221,000 people on a full-time basis, 120,000 in the U.S. and 101,000 internationally. Of the total employed people, 89,000 were in operations, including manufacturing, distribution, product support, and consulting services; 72,000 were in product research and development; 45,000 were in sales and marketing; and 15,000 were in general and administration. Certain employees are subject to collective bargaining agreements.
Our Culture
Microsoft’s culture is grounded in growth mindset. This means everyone is on a continuous journey to learn and grow, operating as one company instead of multiple siloed businesses.
Our employee listening systems enable us to gather feedback directly from our workforce to inform our programs and employee needs globally. Employees participate in our Employee Signals surveys, which cover a variety of topics such as thriving, inclusion, team culture, wellbeing, and learning and development. We also collect Daily Signals employee survey responses, giving us real-time insights into ways we can support our employees. In addition to Employee Signals and Daily Signals surveys, we gain insights through onboarding, exit surveys, internal Viva Engage channels, employee Q&A sessions, and our internal AskHR Service support.
Diversity and inclusion are core to our business model, and we hold ourselves accountable for driving global systemic change in our workforce and creating an inclusive work environment. We support multiple highly active Employee Resource Groups for women, families, racial and ethnic minorities, military, people with disabilities, and employees who identify as LGBTQIA+, where employees can go for support, networking, and community-building. As described in our 2022 Proxy Statement, annual performance and compensation reviews of our senior leadership team include an evaluation of their contributions to employee culture and diversity. To ensure accountability over time, we publicly disclose our progress on a multitude of workforce metrics including:
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Detailed breakdowns of gender, racial, and ethnic minority representation in our employee population, with data by job types, levels, and segments of our business.
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Our EEO-1 report (equal employment opportunity).
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Disability representation.
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Pay equity (see details below).
Total Rewards and Pay Equity
We develop dynamic, sustainable, market-driven, and strategic programs with the goal of providing a highly differentiated portfolio to attract, reward, and retain top talent and enable our employees to thrive. These programs reinforce our culture and values such as collaboration and growth mindset. Managers evaluate and recommend rewards based on, for example, how well we leverage the work of others and contribute to the success of our colleagues. We monitor pay equity and career progress across multiple dimensions. Our total compensation opportunity is highly differentiated and is market competitive.
In order to manage our costs in a dynamic, competitive environment, in fiscal year 2023 we announced that base salaries of salaried employees would remain at fiscal year 2022 levels. Pay increases continue to be available for rewards-eligible hourly and equivalent employees. We will continue our practice of investing in stock for all rewards-eligible employees, salaried and hourly, and investing in bonuses for all eligible employees.
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Since 2016, we have reported on pay equity as part of our annual Diversity and Inclusion report. In 2022, we reported that all racial and ethnic minority employees in the U.S. combined earn $1.008 for every $1.000 earned by their white counterparts, that women in the U.S. earn $1.007 for every $1.000 earned by their counterparts who are men, and that women outside the U.S. earn $1.002 for every $1.000 earned by their counterparts outside the U.S. who are men. In this year’s report, we again expanded our pay equity data beyond the U.S. to report on 61 additional countries (up from 12 last year), representing 99.8% of our global Microsoft workforce.
In addition, we began reporting on unadjusted median pay in our annual report, comparing total pay amounts for all employees regardless of factors such as job title, level, or tenure. For employees who are eligible for rewards, the analysis showed that total pay for women is 89.6% of total pay for men in the U.S. and 86.2% outside of the U.S., and total pay for racial and ethnic minorities in the U.S. is 89.9% of total pay for white employees. As we continue to increase representation for women and racial and ethnic minorities at more senior levels, and continue to ensure pay equity for all, the gap between the medians will reduce.
Our intended result is a global performance and development approach that fosters our culture, and competitive compensation that ensures equitable pay by role while supporting pay for performance.
Wellbeing and Hybrid Work
Microsoft is committed to supporting our employees’ wellbeing while they are at work and in their personal lives. We have invested significantly in wellbeing, and offer a differentiated benefits package which includes many physical, emotional, and financial wellness programs including counseling through the Microsoft CARES Employee Assistance Program, mental wellbeing support, flexible fitness benefits, disability accommodations, savings and investment tools, adoption assistance, and back-up care for children and elders. Finally, our Occupational Health and Safety program helps ensure employees can stay safe while they are working.
We introduced Hybrid Workplace Flexibility Guidance to better support leaders, managers, and employees in hybrid work scenarios. Our ongoing survey data shows that 93% of employees value the flexibility related to work location, work site, and work hours, and 78% are satisfied with the quality of connection with co-workers. There is no one-size-fits-all approach to flexible work at Microsoft. As a company, we will continue to leverage data and research to inform decision making, balancing the needs of business, team, and individual.
Learning and Development
We offer a range of learning opportunities, including personalized opportunities on our internal and external learning portals, in-classroom learning, required learning on compliance and company culture, on-the-job advancement opportunities, and manager coaching. We also provide customized manager learning, new employee orientation, and tools for operating in a flexible hybrid work environment.
All Microsoft employees globally access our single Viva Learning tool for both required and personal choice learning. This includes courses focused on our core principles and compliance matters, such as Business Conduct, Privacy, Security Foundations, and Harassment Prevention. We also deliver skills training for employees based on their profession and role discipline.
We have over 27,000 people managers, all of whom must complete between 20-33 hours of compulsory training on leadership and management and are assigned additional targeted training on an ongoing basis related to people management, compliance, and culture.
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OPERATING SEGMENTS
We operate our business and report our financial performance using three segments: Productivity and Business Processes, Intelligent Cloud, and More Personal Computing. Our segments provide management with a comprehensive financial view of our key businesses. The segments enable the alignment of strategies and objectives across the development, sales, marketing, and services organizations, and they provide a framework for timely and rational allocation of resources within businesses.
Additional information on our operating segments and geographic and product information is contained in Note 19 – Segment Information and Geographic Data of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K).
Our reportable segments are described below.
Productivity and Business Processes
Our Productivity and Business Processes segment consists of products and services in our portfolio of productivity, communication, and information services, spanning a variety of devices and platforms. This segment primarily comprises:
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Office Commercial (Office 365 subscriptions, the Office 365 portion of Microsoft 365 Commercial subscriptions, and Office licensed on-premises), comprising Office, Exchange, SharePoint, Microsoft Teams, Office 365 Security and Compliance, Microsoft Viva, and Microsoft 365 Copilot.
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Office Consumer, including Microsoft 365 Consumer subscriptions, Office licensed on-premises, and other Office services.
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LinkedIn, including Talent Solutions, Marketing Solutions, Premium Subscriptions, and Sales Solutions.
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Dynamics business solutions, including Dynamics 365, comprising a set of intelligent, cloud-based applications across ERP, CRM (including Customer Insights), Power Apps, and Power Automate; and on-premises ERP and CRM applications.
Office Commercial
Office Commercial is designed to increase personal, team, and organizational productivity through a range of products and services. Growth depends on our ability to reach new users in new markets such as frontline workers, small and medium businesses, and growth markets, as well as add value to our core product and service offerings to span productivity categories such as communication, collaboration, analytics, security, and compliance. Office Commercial revenue is mainly affected by a combination of continued installed base growth and average revenue per user expansion, as well as the continued shift from Office licensed on-premises to Office 365.
Office Consumer
Office Consumer is designed to increase personal productivity and creativity through a range of products and services. Growth depends on our ability to reach new users, add value to our core product set, and continue to expand our product and service offerings into new markets. Office Consumer revenue is mainly affected by the percentage of customers that buy Office with their new devices and the continued shift from Office licensed on-premises to Microsoft 365 Consumer subscriptions. Office Consumer Services revenue is mainly affected by the demand for communication and storage through Skype, Outlook.com, and OneDrive, which is largely driven by subscriptions, advertising, and the sale of minutes.
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LinkedIn
LinkedIn connects the world’s professionals to make them more productive and successful and transforms the way companies hire, market, sell, and learn. Our vision is to create economic opportunity for every member of the global workforce through the ongoing development of the world’s first Economic Graph, a digital representation of the global economy. In addition to LinkedIn’s free services, LinkedIn offers monetized solutions: Talent Solutions, Marketing Solutions, Premium Subscriptions, and Sales Solutions. Talent Solutions provide insights for workforce planning and tools to hire, nurture, and develop talent. Talent Solutions also includes Learning Solutions, which help businesses close critical skills gaps in times where companies are having to do more with existing talent. Marketing Solutions help companies reach, engage, and convert their audiences at scale. Premium Subscriptions enable professionals to manage their professional identity, grow their network, find jobs, and connect with talent through additional services like premium search. Sales Solutions help companies strengthen customer relationships, empower teams with digital selling tools, and acquire new opportunities. LinkedIn has over 950 million members and has offices around the globe. Growth will depend on our ability to increase the number of LinkedIn members and our ability to continue offering services that provide value for our members and increase their engagement. LinkedIn revenue is mainly affected by demand from enterprises and professional organizations for subscriptions to Talent Solutions, Sales Solutions, and Premium Subscriptions offerings, as well as member engagement and the quality of the sponsored content delivered to those members to drive Marketing Solutions.
Dynamics
Dynamics provides cloud-based and on-premises business solutions for financial management, enterprise resource planning (“ERP”), customer relationship management (“CRM”), supply chain management, and other application development platforms for small and medium businesses, large organizations, and divisions of global enterprises. Dynamics revenue is driven by the number of users licensed and applications consumed, expansion of average revenue per user, and the continued shift to Dynamics 365, a unified set of cloud-based intelligent business applications, including Power Apps and Power Automate.
Competition
Competitors to Office include software and global application vendors, such as Apple, Cisco Systems, Meta, Google, Okta, Proofpoint, Slack, Symantec, Zoom, and numerous web-based and mobile application competitors as well as local application developers. Apple distributes versions of its pre-installed application software, such as email and calendar products, through its PCs, tablets, and phones. Cisco Systems is using its position in enterprise communications equipment to grow its unified communications business. Meta offers communication tools to enable productivity and engagement within organizations. Google provides a hosted messaging and productivity suite. Slack provides teamwork and collaboration software. Zoom offers videoconferencing and cloud phone solutions. Okta, Proofpoint, and Symantec provide security solutions across email security, information protection, identity, and governance. Web-based offerings competing with individual applications have also positioned themselves as alternatives to our products and services. We compete by providing powerful, flexible, secure, integrated industry-specific, and easy-to-use productivity and collaboration tools and services that create comprehensive solutions and work well with technologies our customers already have both on-premises or in the cloud.
LinkedIn faces competition from online professional networks, recruiting companies, talent management companies, and larger companies that are focusing on talent management and human resource services; job boards; traditional recruiting firms; and companies that provide learning and development products and services. Marketing Solutions competes with online and offline outlets that generate revenue from advertisers and marketers, and Sales Solutions competes with online and offline outlets for companies with lead generation and customer intelligence and insights.
Dynamics competes with cloud-based and on-premises business solution providers such as Oracle, Salesforce, and SAP.
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Intelligent Cloud
Our Intelligent Cloud segment consists of our public, private, and hybrid server products and cloud services that can power modern business and developers. This segment primarily comprises:
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Server products and cloud services, including Azure and other cloud services; SQL Server, Windows Server, Visual Studio, System Center, and related Client Access Licenses (“CALs”); and Nuance and GitHub.
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Enterprise Services, including Enterprise Support Services, Industry Solutions (formerly Microsoft Consulting Services), and Nuance professional services.
Server Products and Cloud Services
Azure is a comprehensive set of cloud services that offer developers, IT professionals, and enterprises freedom to build, deploy, and manage applications on any platform or device. Customers can use Azure through our global network of datacenters for computing, networking, storage, mobile and web application services, AI, IoT, cognitive services, and machine learning. Azure enables customers to devote more resources to development and use of applications that benefit their organizations, rather than managing on-premises hardware and software. Azure revenue is mainly affected by infrastructure-as-a-service and platform-as-a-service consumption-based services, and per user-based services such as Enterprise Mobility + Security.
Azure AI offerings provide a competitive advantage as companies seek ways to optimize and scale their business with machine learning. Azure’s purpose-built, AI-optimized infrastructure allows advanced models, including GPT-4 services designed for developers and data scientists, to do more with less. Customers can integrate large language models and develop the next generation of AI apps and services.
Our server products are designed to make IT professionals, developers, and their systems more productive and efficient. Server software is integrated server infrastructure and middleware designed to support software applications built on the Windows Server operating system. This includes the server platform, database, business intelligence, storage, management and operations, virtualization, service-oriented architecture platform, security, and identity software. We also license standalone and software development lifecycle tools for software architects, developers, testers, and project managers. Server products revenue is mainly affected by purchases through volume licensing programs, licenses sold to original equipment manufacturers (“OEM”), and retail packaged products. CALs provide access rights to certain server products, including SQL Server and Windows Server, and revenue is reported along with the associated server product.
Nuance and GitHub include both cloud and on-premises offerings. Nuance provides healthcare and enterprise AI solutions. GitHub provides a collaboration platform and code hosting service for developers.
Enterprise Services
Enterprise Services, including Enterprise Support Services, Industry Solutions, and Nuance Professional Services, assist customers in developing, deploying, and managing Microsoft server solutions, Microsoft desktop solutions, and Nuance conversational AI and ambient intelligent solutions, along with providing training and certification to developers and IT professionals on various Microsoft products.
Competition
Azure faces diverse competition from companies such as Amazon, Google, IBM, Oracle, VMware, and open source offerings. Azure’s competitive advantage includes enabling a hybrid cloud, allowing deployment of existing datacenters with our public cloud into a single, cohesive infrastructure, and the ability to run at a scale that meets the needs of businesses of all sizes and complexities. Our AI offerings compete with AI products from hyperscalers such as Amazon Bedrock, Amazon CodeWhisperer, and Google AI, as well as products from other emerging competitors, many of which are also current or potential partners, including Meta’s LLaMA2 and other open source solutions. Our Enterprise Mobility + Security offerings also compete with products from a range of competitors including identity vendors, security solution vendors, and numerous other security point solution vendors. We believe our cloud’s global scale, coupled with our broad portfolio of identity and security solutions, allows us to effectively solve complex cybersecurity challenges for our customers and differentiates us from the competition.
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Our server products face competition from a wide variety of server operating systems and applications offered by companies with a range of market approaches. Vertically integrated computer manufacturers such as Hewlett-Packard, IBM, and Oracle offer their own versions of the Unix operating system preinstalled on server hardware. Nearly all computer manufacturers offer server hardware for the Linux operating system, and many contribute to Linux operating system development. The competitive position of Linux has also benefited from the large number of compatible applications now produced by many commercial and non-commercial software developers. A number of companies, such as Red Hat, supply versions of Linux.
We compete to provide enterprise-wide computing solutions and point solutions with numerous commercial software vendors that offer solutions and middleware technology platforms, software applications for connectivity (both Internet and intranet), security, hosting, database, and e-business servers. IBM and Oracle lead a group of companies focused on the Java Platform Enterprise Edition that competes with our enterprise-wide computing solutions. Commercial competitors for our server applications for PC-based distributed client-server environments include CA Technologies, IBM, and Oracle. Our web application platform software competes with open source software such as Apache, Linux, MySQL, and PHP. In middleware, we compete against Java vendors.
Our database, business intelligence, and data warehousing solutions offerings compete with products from IBM, Oracle, SAP, Snowflake, and other companies. Our system management solutions compete with server management and server virtualization platform providers, such as BMC, CA Technologies, Hewlett-Packard, IBM, and VMware. Our products for software developers compete against offerings from Adobe, IBM, Oracle, and other companies, and also against open source projects, including Eclipse (sponsored by CA Technologies, IBM, Oracle, and SAP), PHP, and Ruby on Rails.
We believe our server products provide customers with advantages in performance, total costs of ownership, and productivity by delivering superior applications, development tools, compatibility with a broad base of hardware and software applications, security, and manageability.
Our Enterprise Services business competes with a wide range of companies that provide strategy and business planning, application development, and infrastructure services, including multinational consulting firms and small niche businesses focused on specific technologies.
More Personal Computing
Our More Personal Computing segment consists of products and services that put customers at the center of the experience with our technology. This segment primarily comprises:
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Windows, including Windows OEM licensing (“Windows OEM”) and other non-volume licensing of the Windows operating system; Windows Commercial, comprising volume licensing of the Windows operating system, Windows cloud services, and other Windows commercial offerings; patent licensing; and Windows IoT.
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Devices, including Surface, HoloLens, and PC accessories.
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Gaming, including Xbox hardware and Xbox content and services, comprising first- and third-party content (including games and in-game content), Xbox Game Pass and other subscriptions, Xbox Cloud Gaming, advertising, third-party disc royalties, and other cloud services.
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Search and news advertising, comprising Bing (including Bing Chat), Microsoft News, Microsoft Edge, and third-party affiliates.
Windows
The Windows operating system is designed to deliver a more personal computing experience for users by enabling consistency of experience, applications, and information across their devices. Windows OEM revenue is impacted significantly by the number of Windows operating system licenses purchased by OEMs, which they pre-install on the devices they sell. In addition to computing device market volume, Windows OEM revenue is impacted by:
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The mix of computing devices based on form factor and screen size.
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Differences in device market demand between developed markets and growth markets.
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Attachment of Windows to devices shipped.
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Customer mix between consumer, small and medium businesses, and large enterprises.
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Changes in inventory levels in the OEM channel.
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Pricing changes and promotions, pricing variation that occurs when the mix of devices manufactured shifts from local and regional system builders to large multinational OEMs, and different pricing of Windows versions licensed.
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Constraints in the supply chain of device components.
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Piracy.
Windows Commercial revenue, which includes volume licensing of the Windows operating system and Windows cloud services such as Microsoft Defender for Endpoint, is affected mainly by the demand from commercial customers for volume licensing and Software Assurance (“SA”), as well as advanced security offerings. Windows Commercial revenue often reflects the number of information workers in a licensed enterprise and is relatively independent of the number of PCs sold in a given year.
Patent licensing includes our programs to license patents we own for use across a broad array of technology areas, including mobile devices and cloud offerings.
Windows IoT extends the power of Windows and the cloud to intelligent systems by delivering specialized operating systems, tools, and services for use in embedded devices.
Devices
We design and sell devices, including Surface, HoloLens, and PC accessories. Our devices are designed to enable people and organizations to connect to the people and content that matter most using Windows and integrated Microsoft products and services. Surface is designed to help organizations, students, and consumers be more productive. Growth in Devices is dependent on total PC shipments, the ability to attract new customers, our product roadmap, and expanding into new categories.
Gaming
Our gaming platform is designed to provide a variety of entertainment through a unique combination of content, community, and cloud services. Our exclusive game content is created through Xbox Game Studios, a collection of first-party studios creating iconic and differentiated gaming experiences. We continue to invest in new gaming studios and content to expand our intellectual property roadmap and leverage new content creators. These unique gaming experiences are the cornerstone of Xbox Game Pass, a subscription service and gaming community with access to a curated library of over 400 first- and third-party console and PC titles.
The gamer remains at the heart of the Xbox ecosystem. We are identifying new opportunities to attract gamers across a variety of different end points through our first- and third-party content and business diversification across subscriptions, ads, and digital stores. We’ve seen new devices from third-party manufacturers along with key PC and mobile end points that help us empower gamers to play in a way that is most convenient to them. We are focused on growing the platform and expanding to new ecosystems to engage as many gamers as possible.
Xbox enables people to connect and share online gaming experiences that are accessible on Xbox consoles, Windows-enabled devices, and other devices. Xbox is designed to benefit users by providing access to a network of certified applications and services and to benefit our developer and partner ecosystems by providing access to a large customer base. Xbox revenue is mainly affected by subscriptions and sales of first- and third-party content, as well as advertising. Growth of our Gaming business is determined by the overall active user base through Xbox enabled content, availability of games, providing exclusive game content that gamers seek, the computational power and reliability of the devices used to access our content and services, and the ability to create new experiences through first-party content creators.
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Search and News Advertising
Our Search and news advertising business is designed to deliver relevant search, native, and display advertising to a global audience. Our Microsoft Edge browser and Bing Chat capabilities are key tools to enable user acquisition and engagement, while our technology platform enables accelerated delivery of digital advertising solutions. In addition to first-party tools, we have several partnerships with companies, such as Yahoo, through which we provide and monetize search offerings. Growth depends on our ability to attract new users, understand intent, and match intent with relevant content on advertising offerings.
Competition
Windows faces competition from various software products and from alternative platforms and devices, mainly from Apple and Google. We believe Windows competes effectively by giving customers choice, value, flexibility, security, an easy-to-use interface, and compatibility with a broad range of hardware and software applications, including those that enable productivity.
Devices face competition from various computer, tablet, and hardware manufacturers who offer a unique combination of high-quality industrial design and innovative technologies across various price points. These manufacturers, many of which are also current or potential partners and customers, include Apple and our Windows OEMs.
Xbox and our cloud gaming services face competition from various online gaming ecosystems and game streaming services, including those operated by Amazon, Apple, Meta, and Tencent. We also compete with other providers of entertainment services such as video streaming platforms. Our gaming platform competes with console platforms from Nintendo and Sony, both of which have a large, established base of customers. We believe our gaming platform is effectively positioned against, and uniquely differentiated from, competitive products and services based on significant innovation in hardware architecture, user interface, developer tools, online gaming and entertainment services, and continued strong exclusive content from our own first-party game franchises as well as other digital content offerings.
Our Search and news advertising business competes with Google and a wide array of websites, social platforms like Meta, and portals that provide content and online offerings to end users.
OPERATIONS
We have regional operations service centers that support our operations, including customer contract and order processing, billing, credit and collections, information processing, and vendor management and logistics. The center in Ireland supports the African, Asia-Pacific, European, and Middle East regions; and the centers in Arlington, Virginia, Atlanta, Georgia, Charlotte, North Carolina, Fargo, North Dakota, Fort Lauderdale, Florida, Redmond, Washington, Reno, Nevada, and Puerto Rico support the American regions.
In addition to our operations centers, we also operate datacenters throughout each of these regions. We continue to identify and evaluate opportunities to expand our datacenter locations and increase our server capacity to meet the evolving needs of our customers, particularly given the growing demand for AI services. Our datacenters depend on the availability of permitted and buildable land, predictable energy, networking supplies, and servers, including graphics processing units (“GPUs”) and other components.
Our devices are primarily manufactured by third-party contract manufacturers. For the majority of our products, we have the ability to use other manufacturers if a current vendor becomes unavailable or unable to meet our requirements. However, some of our products contain certain components for which there are very few qualified suppliers. Extended disruptions at these suppliers could impact our ability to manufacture devices on time to meet consumer demand.
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RESEARCH AND DEVELOPMENT
Product and Service Development, and Intellectual Property
We develop most of our products and services internally through the following engineering groups.
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Cloud and AI – focuses on making IT professionals, developers, partners, independent software vendors, and their systems more productive and efficient through development of Azure AI platform and cloud infrastructure, server, database, CRM, ERP, software development tools and services (including GitHub), AI cognitive services, and other business process applications and services for enterprises.
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Strategic Missions and Technologies – focuses on incubating technical products and support solutions with transformative potential for the future of cloud computing and continued company growth across quantum computing, Azure Space & Missions Engineering, telecommunications, and Microsoft Federal Sales and Delivery.
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Experiences and Devices – focuses on delivering high value end-user experiences across our products, services, and devices, including Microsoft 365, Windows, Microsoft Teams, Search (including Microsoft Edge and Bing Chat) and other advertising-based services, and the Surface line of devices.
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Microsoft Security – focuses on delivering a comprehensive portfolio of services that protect our customers’ digital infrastructure through cloud platform and application security, data protection and governance, identity and network access, and device management.
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Technology and Research – focuses on fundamental research, product and business incubations, and forward-looking AI innovations that span infrastructure, services, and applications.
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LinkedIn – focuses on our services that transform the way professionals grow their network and find jobs and the way businesses hire, market, sell, and learn.
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Gaming – focuses on developing hardware, content, and services across a large range of platforms to help grow our user base through game experiences and social interaction.
Internal development allows us to maintain competitive advantages that come from product differentiation and closer technical control over our products and services. It also gives us the freedom to decide which modifications and enhancements are most important and when they should be implemented. We strive to obtain information as early as possible about changing usage patterns and hardware advances that may affect software and hardware design. Before releasing new software platforms, and as we make significant modifications to existing platforms, we provide application vendors with a range of resources and guidelines for development, training, and testing. Generally, we also create product documentation internally.
We protect our intellectual property investments in a variety of ways. We work actively in the U.S. and internationally to ensure the enforcement of copyright, trademark, trade secret, and other protections that apply to our software and hardware products, services, business plans, and branding. We are a leader among technology companies in pursuing patents and currently have a portfolio of over 70,000 U.S. and international patents issued and over 19,000 pending worldwide. While we employ much of our internally-developed intellectual property in our products and services, we also engage in outbound licensing of specific patented technologies that are incorporated into licensees’ products. From time to time, we enter into broader cross-license agreements with other technology companies covering entire groups of patents. We may also purchase or license technology that we incorporate into our products and services. At times, we make select intellectual property broadly available at no or low cost to achieve a strategic objective, such as promoting industry standards, advancing interoperability, supporting societal and/or environmental efforts, or attracting and enabling our external development community. Our increasing engagement with open source software will also cause us to license our intellectual property rights broadly in certain situations.
While it may be necessary in the future to seek or renew licenses relating to various aspects of our products and services, we believe, based upon past experience and industry practice, such licenses generally can be obtained on commercially reasonable terms. We believe our continuing research and product development are not materially dependent on any single license or other agreement with a third party relating to the development of our products.
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Investing in the Future
Our success is based on our ability to create new and compelling products, services, and experiences for our users, to initiate and embrace disruptive technology trends, to enter new geographic and product markets, and to drive broad adoption of our products and services. We invest in a range of emerging technology trends and breakthroughs that we believe offer significant opportunities to deliver value to our customers and growth for the company. Based on our assessment of key technology trends, we maintain our long-term commitment to research and development across a wide spectrum of technologies, tools, and platforms spanning digital work and life experiences, cloud computing, AI, devices, and operating systems.
While our main product research and development facilities are located in Redmond, Washington, we also operate research and development facilities in other parts of the U.S. and around the world. This global approach helps us remain competitive in local markets and enables us to continue to attract top talent from across the world.
We plan to continue to make significant investments in a broad range of product research and development activities, and as appropriate we will coordinate our research and development across operating segments and leverage the results across the company.
In addition to our main research and development operations, we also operate Microsoft Research. Microsoft Research is one of the world’s largest corporate research organizations, often working in close collaboration with top universities around the world, and is focused on advancing the state-of-the-art in computer science and a broad range of other disciplines. Our investment in fundamental research provides us a unique perspective on future trends and contributes to our innovation.
DISTRIBUTION, SALES, AND MARKETING
We market and distribute our products and services through the following channels: OEMs, direct, and distributors and resellers. Our sales organization performs a variety of functions, including working directly with commercial enterprises and public-sector organizations worldwide to identify and meet their technology and digital transformation requirements; managing OEM relationships; and supporting system integrators, independent software vendors, and other partners who engage directly with our customers to perform sales, consulting, and fulfillment functions for our products and services.
OEMs
We distribute our products and services through OEMs that pre-install our software on new devices and servers they sell. The largest component of the OEM business is the Windows operating system pre-installed on devices. OEMs also sell devices pre-installed with other Microsoft products and services, including applications such as Office and the capability to subscribe to Office 365.
There are two broad categories of OEMs. The largest category of OEMs are direct OEMs as our relationship with them is managed through a direct agreement between Microsoft and the OEM. We have distribution agreements covering one or more of our products with virtually all the multinational OEMs, including Dell, Hewlett-Packard, Lenovo, and with many regional and local OEMs. The second broad category of OEMs are system builders consisting of lower-volume PC manufacturers, which source Microsoft software for pre-installation and local redistribution primarily through the Microsoft distributor channel rather than through a direct agreement or relationship with Microsoft.
Direct
Many organizations that license our products and services transact directly with us through Enterprise Agreements and Enterprise Services contracts, with sales support from system integrators, independent software vendors, web agencies, and partners that advise organizations on licensing our products and services (“Enterprise Agreement Software Advisors” or “ESA”). Microsoft offers direct sales programs targeted to reach small, medium, and corporate customers, in addition to those offered through the reseller channel. A large network of partner advisors support many of these sales.
We also sell commercial and consumer products and services directly to customers, such as cloud services, search, and gaming, through our digital marketplaces and online stores. Additionally, our Microsoft Experience Centers are designed to facilitate deeper engagement with our partners and customers across industries.
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Distributors and Resellers
Organizations also license our products and services indirectly, primarily through licensing solution partners (“LSP”), distributors, value-added resellers (“VAR”), and retailers. Although each type of reselling partner may reach organizations of all sizes, LSPs are primarily engaged with large organizations, distributors resell primarily to VARs, and VARs typically reach small and medium organizations. ESAs are also typically authorized as LSPs and operate as resellers for our other volume licensing programs. Microsoft Cloud Solution Provider is our main partner program for reselling cloud services.
We distribute our retail packaged products primarily through independent non-exclusive distributors, authorized replicators, resellers, and retail outlets. Individual consumers obtain these products primarily through retail outlets. We distribute our devices through third-party retailers. We have a network of field sales representatives and field support personnel that solicit orders from distributors and resellers and provide product training and sales support.
Our Dynamics business solutions are also licensed to enterprises through a global network of channel partners providing vertical solutions and specialized services.
LICENSING OPTIONS
We offer options for organizations that want to purchase our cloud services, on-premises software, and SA. We license software to organizations under volume licensing agreements to allow the customer to acquire multiple licenses of products and services instead of having to acquire separate licenses through retail channels. We use different programs designed to provide flexibility for organizations of various sizes. While these programs may differ in various parts of the world, generally they include those discussed below.
SA conveys rights to new software and upgrades for perpetual licenses released over the contract period. It also provides support, tools, training, and other licensing benefits to help customers deploy and use software efficiently. SA is included with certain volume licensing agreements and is an optional purchase with others.
Volume Licensing Programs
Enterprise Agreement
Enterprise Agreements offer large organizations a manageable volume licensing program that gives them the flexibility to buy cloud services and software licenses under one agreement. Enterprise Agreements are designed for medium or large organizations that want to license cloud services and on-premises software organization-wide over a three-year period. Organizations can elect to purchase perpetual licenses or subscribe to licenses. SA is included.
Microsoft Customer Agreement
A Microsoft Customer Agreement is a simplified purchase agreement presented, accepted, and stored through a digital experience. A Microsoft Customer Agreement is a non-expiring agreement that is designed to support all customers over time, whether purchasing through a partner or directly from Microsoft.
Microsoft Online Subscription Agreement
A Microsoft Online Subscription Agreement is designed for small and medium organizations that want to subscribe to, activate, provision, and maintain cloud services seamlessly and directly via the web. The agreement allows customers to acquire monthly or annual subscriptions for cloud-based services.
Microsoft Products and Services Agreement
Microsoft Products and Services Agreements are designed for medium and large organizations that want to license cloud services and on-premises software as needed, with no organization-wide commitment, under a single, non-expiring agreement. Organizations purchase perpetual licenses or subscribe to licenses. SA is optional for customers that purchase perpetual licenses.
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Open Value
Open Value agreements are a simple, cost-effective way to acquire the latest Microsoft technology. These agreements are designed for small and medium organizations that want to license cloud services and on-premises software over a three-year period. Under Open Value agreements, organizations can elect to purchase perpetual licenses or subscribe to licenses and SA is included.
Select Plus
A Select Plus agreement is designed for government and academic organizations to acquire on-premises licenses at any affiliate or department level, while realizing advantages as one organization. Organizations purchase perpetual licenses and SA is optional.
Partner Programs
The Microsoft Cloud Solution Provider Program offers customers an easy way to license the cloud services they need in combination with the value-added services offered by their systems integrator, managed services provider, or cloud reseller partner. Partners in this program can easily package their own products and services to directly provision, manage, and support their customer subscriptions.
The Microsoft Services Provider License Agreement allows hosting service providers and independent software vendors who want to license eligible Microsoft software products to provide software services and hosted applications to their end customers. Partners license software over a three-year period and are billed monthly based on consumption.
The Independent Software Vendor Royalty Program enables partners to integrate Microsoft products into other applications and then license the unified business solution to their end users.
CUSTOMERS
Our customers include individual consumers, small and medium organizations, large global enterprises, public-sector institutions, Internet service providers, application developers, and OEMs. Our practice is to ship our products promptly upon receipt of purchase orders from customers; consequently, backlog is not significant.
INFORMATION ABOUT OUR EXECUTIVE OFFICERS
Our executive officers as of July 27, 2023 were as follows:
Name Age Position with the Company
Satya Nadella 55 Chairman and Chief Executive Officer
Judson B. Althoff 50 Executive Vice President and Chief Commercial Officer
Christopher C. Capossela 53 Executive Vice President and Chief Marketing Officer
Kathleen T. Hogan 57 Executive Vice President and Chief Human Resources Officer
Amy E. Hood 51 Executive Vice President and Chief Financial Officer
Bradford L. Smith 64 Vice Chair and President
Christopher D. Young 51 Executive Vice President, Business Development, Strategy, and Ventures
Mr. Nadella was appointed Chairman of the Board in June 2021 and Chief Executive Officer in February 2014. He served as Executive Vice President, Cloud and Enterprise from July 2013 until that time. From 2011 to 2013, Mr. Nadella served as President, Server and Tools. From 2009 to 2011, he was Senior Vice President, Online Services Division. From 2008 to 2009, he was Senior Vice President, Search, Portal, and Advertising. Since joining Microsoft in 1992, Mr. Nadella’s roles also included Vice President of the Business Division. Mr. Nadella also serves on the Board of Directors of Starbucks Corporation.
Mr. Althoff was appointed Executive Vice President and Chief Commercial Officer in July 2021. He served as Executive Vice President, Worldwide Commercial Business from July 2017 until that time. Prior to that, Mr. Althoff served as the President of Microsoft North America. Mr. Althoff joined Microsoft in March 2013 as President of Microsoft North America.
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Mr. Capossela was appointed Executive Vice President, Marketing and Consumer Business, and Chief Marketing Officer in July 2016. He had served as Executive Vice President, Chief Marketing Officer since March 2014.Since joining Microsoft in 1991, Mr. Capossela has held a variety of marketing leadership roles in the Consumer Channels Group, and in the Microsoft Office Division where he was responsible for marketing productivity solutions including Microsoft Office, Office 365, SharePoint, Exchange, Skype for Business, Project, and Visio.
Ms. Hogan was appointed Executive Vice President, Human Resources in November 2014. Prior to that Ms. Hogan was Corporate Vice President of Microsoft Services. She also served as Corporate Vice President of Customer Service and Support. Ms. Hogan joined Microsoft in 2003. Ms. Hogan also serves on the Board of Directors of Alaska Air Group, Inc.
Ms. Hood was appointed Executive Vice President and Chief Financial Officer in July 2013, subsequent to her appointment as Chief Financial Officer in May 2013. From 2010 to 2013, Ms. Hood was Chief Financial Officer of the Microsoft Business Division. Since joining Microsoft in 2002, Ms. Hood has also held finance-related positions in the Server and Tools Business and the corporate finance organization. Ms. Hood also serves on the Board of Directors of 3M Corporation.
Mr. Smith was appointed Vice Chair and President in September 2021. Prior to that, he served as President and Chief Legal Officer since September 2015. He served as Executive Vice President, General Counsel, and Secretary from 2011 to 2015, and served as Senior Vice President, General Counsel, and Secretary from 2001 to 2011. Mr. Smith was also named Chief Compliance Officer in 2002. Since joining Microsoft in 1993, he was Deputy General Counsel for Worldwide Sales and previously was responsible for managing the European Law and Corporate Affairs Group, based in Paris. Mr. Smith also serves on the Board of Directors of Netflix, Inc.
Mr. Young has served as Executive Vice President, Business Development, Strategy, and Ventures since joining Microsoft in November 2020. Prior to Microsoft, he served as the Chief Executive Officer of McAfee, LLC from 2017 to 2020, and served as a Senior Vice President and General Manager of Intel Security Group from 2014 until 2017, when he led the initiative to spin out McAfee into a standalone company. Mr. Young also serves on the Board of Directors of American Express Company.
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AVAILABLE INFORMATION
Our Internet address is www.microsoft.com. At our Investor Relations website, www.microsoft.com/investor, we make available free of charge a variety of information for investors. Our goal is to maintain the Investor Relations website as a portal through which investors can easily find or navigate to pertinent information about us, including:
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Our annual report on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K, and any amendments to those reports, as soon as reasonably practicable after we electronically file that material with or furnish it to the Securities and Exchange Commission (“SEC”) at www.sec.gov.
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Information on our business strategies, financial results, and metrics for investors.
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Announcements of investor conferences, speeches, and events at which our executives talk about our product, service, and competitive strategies. Archives of these events are also available.
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Press releases on quarterly earnings, product and service announcements, legal developments, and international news.
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Corporate governance information including our articles of incorporation, bylaws, governance guidelines, committee charters, codes of conduct and ethics, global corporate social responsibility initiatives, and other governance-related policies.
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Other news and announcements that we may post from time to time that investors might find useful or interesting.
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Opportunities to sign up for email alerts to have information pushed in real time.
We publish a variety of reports and resources related to our Corporate Social Responsibility programs and progress on our Reports Hub website, www.microsoft.com/corporate-responsibility/reports-hub, including reports on sustainability, responsible sourcing, accessibility, digital trust, and public policy engagement.
The information found on these websites is not part of, or incorporated by reference into, this or any other report we file with, or furnish to, the SEC. In addition to these channels, we use social media to communicate to the public. It is possible that the information we post on social media could be deemed to be material to investors. We encourage investors, the media, and others interested in Microsoft to review the information we post on the social media channels listed on our Investor Relations website.
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ITEM 1A. RISK FACTORS
Our operations and financial results are subject to various risks and uncertainties, including those described below, that could adversely affect our business, financial condition, results of operations, cash flows, and the trading price of our common stock.
STRATEGIC AND COMPETITIVE RISKS
We face intense competition across all markets for our products and services, which may lead to lower revenue or operating margins.
Competition in the technology sector
Our competitors range in size from diversified global companies with significant research and development resources to small, specialized firms whose narrower product lines may let them be more effective in deploying technical, marketing, and financial resources. Barriers to entry in many of our businesses are low and many of the areas in which we compete evolve rapidly with changing and disruptive technologies, shifting user needs, and frequent introductions of new products and services. Our ability to remain competitive depends on our success in making innovative products, devices, and services that appeal to businesses and consumers.
Competition among platform-based ecosystems
An important element of our business model has been to create platform-based ecosystems on which many participants can build diverse solutions. A well-established ecosystem creates beneficial network effects among users, application developers, and the platform provider that can accelerate growth. Establishing significant scale in the marketplace is necessary to achieve and maintain attractive margins. We face significant competition from firms that provide competing platforms.
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A competing vertically-integrated model, in which a single firm controls the software and hardware elements of a product and related services, has succeeded with some consumer products such as personal computers, tablets, phones, gaming consoles, wearables, and other endpoint devices. Competitors pursuing this model also earn revenue from services integrated with the hardware and software platform, including applications and content sold through their integrated marketplaces. They may also be able to claim security and performance benefits from their vertically integrated offer. We also offer some vertically-integrated hardware and software products and services. To the extent we shift a portion of our business to a vertically integrated model we increase our cost of revenue and reduce our operating margins.
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We derive substantial revenue from licenses of Windows operating systems on PCs. We face significant competition from competing platforms developed for new devices and form factors such as smartphones and tablet computers. These devices compete on multiple bases including price and the perceived utility of the device and its platform. Users are increasingly turning to these devices to perform functions that in the past were performed by personal computers. Even if many users view these devices as complementary to a personal computer, the prevalence of these devices may make it more difficult to attract application developers to our PC operating system platforms. Competing with operating systems licensed at low or no cost may decrease our PC operating system margins. Popular products or services offered on competing platforms could increase their competitive strength. In addition, some of our devices compete with products made by our original equipment manufacturer (“OEM”) partners, which may affect their commitment to our platform.
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Competing platforms have content and application marketplaces with scale and significant installed bases. The variety and utility of content and applications available on a platform are important to device purchasing decisions. Users may incur costs to move data and buy new content and applications when switching platforms. To compete, we must successfully enlist developers to write applications for our platform and ensure that these applications have high quality, security, customer appeal, and value. Efforts to compete with competitors’ content and application marketplaces may increase our cost of revenue and lower our operating margins. Competitors’ rules governing their content and applications marketplaces may restrict our ability to distribute products and services through them in accordance with our technical and business model objectives.
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Business model competition
Companies compete with us based on a growing variety of business models.
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Even as we transition more of our business to infrastructure-, platform-, and software-as-a-service business model, the license-based proprietary software model generates a substantial portion of our software revenue. We bear the costs of converting original ideas into software products through investments in research and development, offsetting these costs with the revenue received from licensing our products. Many of our competitors also develop and sell software to businesses and consumers under this model.
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We are investing in artificial intelligence (“AI”) across the entire company and infusing generative AI capabilities into our consumer and commercial offerings. We expect AI technology and services to be a highly competitive and rapidly evolving market. We will bear significant development and operational costs to build and support the AI capabilities, products, and services necessary to meet the needs of our customers. To compete effectively we must also be responsive to technological change, potential regulatory developments, and public scrutiny.
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Other competitors develop and offer free applications, online services, and content, and make money by selling third-party advertising. Advertising revenue funds development of products and services these competitors provide to users at no or little cost, competing directly with our revenue-generating products.
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Some companies compete with us by modifying and then distributing open source software at little or no cost to end users, using open source AI models, and earning revenue on advertising or integrated products and services. These firms do not bear the full costs of research and development for the open source products. Some open source products mimic the features and functionality of our products.
The competitive pressures described above may cause decreased sales volumes, price reductions, and/or increased operating costs, such as for research and development, marketing, and sales incentives. This may lead to lower revenue, gross margins, and operating income.
Our increasing focus on cloud-based services presents execution and competitive risks. A growing part of our business involves cloud-based services available across the spectrum of computing devices. Our strategic vision is to compete and grow by building best-in-class platforms and productivity services that utilize ubiquitous computing and ambient intelligence to drive insights and productivity gains. At the same time, our competitors are rapidly developing and deploying cloud-based services for consumers and business customers. Pricing and delivery models are evolving. Devices and form factors influence how users access services in the cloud and sometimes the user’s choice of which cloud-based services to use. Certain industries and customers have specific requirements for cloud services and may present enhanced risks. We are devoting significant resources to develop and deploy our cloud-based strategies. The Windows ecosystem must continue to evolve with this changing environment. We embrace cultural and organizational changes to drive accountability and eliminate obstacles to innovation. Our intelligent cloud and intelligent edge offerings are connected to the growth of the Internet of Things (“IoT”), a network of distributed and interconnected devices employing sensors, data, and computing capabilities, including AI. Our success in driving ubiquitous computing and ambient intelligence will depend on the level of adoption of our offerings such as Azure, Azure AI, and Azure IoT Edge. We may not establish market share sufficient to achieve scale necessary to meet our business objectives.
Besides software development costs, we are incurring costs to build and maintain infrastructure to support cloud computing services. These costs will reduce the operating margins we have previously achieved. Whether we succeed in cloud-based services depends on our execution in several areas, including:
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Continuing to bring to market compelling cloud-based experiences that generate increasing traffic and market share.
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Maintaining the utility, compatibility, and performance of our cloud-based services on the growing array of computing devices, including PCs, smartphones, tablets, gaming consoles, and other devices, as well as sensors and other IoT endpoints.
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Continuing to enhance the attractiveness of our cloud platforms to third-party developers.
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Ensuring our cloud-based services meet the reliability expectations of our customers and maintain the security of their data as well as help them meet their own compliance needs.
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Making our suite of cloud-based services platform-agnostic, available on a wide range of devices and ecosystems, including those of our competitors.
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It is uncertain whether our strategies will attract the users or generate the revenue required to succeed. If we are not effective in executing organizational and technical changes to increase efficiency and accelerate innovation, or if we fail to generate sufficient usage of our new products and services, we may not grow revenue in line with the infrastructure and development investments described above. This may negatively impact gross margins and operating income.
Some users may engage in fraudulent or abusive activities through our cloud-based services. These include unauthorized use of accounts through stolen credentials, use of stolen credit cards or other payment vehicles, failure to pay for services accessed, or other activities that violate our terms of service such as cryptocurrency mining or launching cyberattacks. If our efforts to detect such violations or our actions to control these types of fraud and abuse are not effective, we may experience adverse impacts to our revenue or incur reputational damage.
RISKS RELATING TO THE EVOLUTION OF OUR BUSINESS
We make significant investments in products and services that may not achieve expected returns. We will continue to make significant investments in research, development, and marketing for existing products, services, and technologies, including the Windows operating system, Microsoft 365, Bing, SQL Server, Windows Server, Azure, Office 365, Xbox, LinkedIn, and other products and services. In addition, we are focused on developing new AI platform services and incorporating AI into existing products and services. We also invest in the development and acquisition of a variety of hardware for productivity, communication, and entertainment, including PCs, tablets, gaming devices, and HoloLens. Investments in new technology are speculative. Commercial success depends on many factors, including innovativeness, developer support, and effective distribution and marketing. If customers do not perceive our latest offerings as providing significant new functionality or other value, they may reduce their purchases of new software and hardware products or upgrades, unfavorably affecting revenue. We may not achieve significant revenue from new product, service, and distribution channel investments for several years, if at all. New products and services may not be profitable, and even if they are profitable, operating margins for some new products and businesses will not be as high as the margins we have experienced historically. We may not get engagement in certain features, like Microsoft Edge, Bing, and Bing Chat, that drive post-sale monetization opportunities. Our data handling practices across our products and services will continue to be under scrutiny. Perceptions of mismanagement, driven by regulatory activity or negative public reaction to our practices or product experiences, could negatively impact product and feature adoption, product design, and product quality.
Developing new technologies is complex. It can require long development and testing periods. Significant delays in new releases or significant problems in creating new products or services could adversely affect our revenue.
Acquisitions, joint ventures, and strategic alliances may have an adverse effect on our business. We expect to continue making acquisitions and entering into joint ventures and strategic alliances as part of our long-term business strategy. For example, in March 2021 we completed our acquisition of ZeniMax Media Inc. for $8.1 billion, and in March 2022 we completed our acquisition of Nuance Communications, Inc. for $18.8 billion. In January 2022 we announced a definitive agreement to acquire Activision Blizzard, Inc. for $68.7 billion. In January 2023 we announced the third phase of our OpenAI strategic partnership. Acquisitions and other transactions and arrangements involve significant challenges and risks, including that they do not advance our business strategy, that we get an unsatisfactory return on our investment, that they raise new compliance-related obligations and challenges, that we have difficulty integrating and retaining new employees, business systems, and technology, that they distract management from our other businesses, or that announced transactions may not be completed. If an arrangement fails to adequately anticipate changing circumstances and interests of a party, it may result in early termination or renegotiation of the arrangement. The success of these transactions and arrangements will depend in part on our ability to leverage them to enhance our existing products and services or develop compelling new ones, as well as acquired companies’ ability to meet our policies and processes in areas such as data governance, privacy, and cybersecurity. It may take longer than expected to realize the full benefits from these transactions and arrangements such as increased revenue or enhanced efficiencies, or the benefits may ultimately be smaller than we expected. These events could adversely affect our consolidated financial statements.
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If our goodwill or amortizable intangible assets become impaired, we may be required to record a significant charge to earnings. We acquire other companies and intangible assets and may not realize all the economic benefit from those acquisitions, which could cause an impairment of goodwill or intangibles. We review our amortizable intangible assets for impairment when events or changes in circumstances indicate the carrying value may not be recoverable. We test goodwill for impairment at least annually. Factors that may be a change in circumstances, indicating that the carrying value of our goodwill or amortizable intangible assets may not be recoverable, include a decline in our stock price and market capitalization, reduced future cash flow estimates, and slower growth rates in industry segments in which we participate. We have in the past recorded, and may in the future be required to record, a significant charge in our consolidated financial statements during the period in which any impairment of our goodwill or amortizable intangible assets is determined, negatively affecting our results of operations.
CYBERSECURITY, DATA PRIVACY, AND PLATFORM ABUSE RISKS
Cyberattacks and security vulnerabilities could lead to reduced revenue, increased costs, liability claims, or harm to our reputation or competitive position.
Security of our information technology
Threats to IT security can take a variety of forms. Individual and groups of hackers and sophisticated organizations, including state-sponsored organizations or nation-states, continuously undertake attacks that pose threats to our customers and our IT. These actors may use a wide variety of methods, which may include developing and deploying malicious software or exploiting vulnerabilities or intentionally designed processes in hardware, software, or other infrastructure in order to attack our products and services or gain access to our networks and datacenters, using social engineering techniques to induce our employees, users, partners, or customers to disclose passwords or other sensitive information or take other actions to gain access to our data or our users’ or customers’ data, or acting in a coordinated manner to launch distributed denial of service or other coordinated attacks. Nation-state and state-sponsored actors can deploy significant resources to plan and carry out attacks. Nation-state attacks against us, our customers, or our partners may intensify during periods of intense diplomatic or armed conflict, such as the ongoing conflict in Ukraine. Inadequate account security or organizational security practices may also result in unauthorized access to confidential data. For example, system administrators may fail to timely remove employee account access when no longer appropriate. Employees or third parties may intentionally compromise our or our users’ security or systems or reveal confidential information. Malicious actors may employ the IT supply chain to introduce malware through software updates or compromised supplier accounts or hardware.
Cyberthreats are constantly evolving and becoming increasingly sophisticated and complex, increasing the difficulty of detecting and successfully defending against them. We may have no current capability to detect certain vulnerabilities or new attack methods, which may allow them to persist in the environment over long periods of time. Cyberthreats can have cascading impacts that unfold with increasing speed across our internal networks and systems and those of our partners and customers. Breaches of our facilities, network, or data security could disrupt the security of our systems and business applications, impair our ability to provide services to our customers and protect the privacy of their data, result in product development delays, compromise confidential or technical business information harming our reputation or competitive position, result in theft or misuse of our intellectual property or other assets, subject us to ransomware attacks, require us to allocate more resources to improve technologies or remediate the impacts of attacks, or otherwise adversely affect our business. We are also subject to supply chain cyberattacks where malware can be introduced to a software provider’s customers, including us, through software updates.
In addition, our internal IT environment continues to evolve. Often, we are early adopters of new devices and technologies. We embrace new ways of sharing data and communicating internally and with partners and customers using methods such as social networking and other consumer-oriented technologies. Increasing use of generative AI models in our internal systems may create new attack methods for adversaries. Our business policies and internal security controls may not keep pace with these changes as new threats emerge, or emerging cybersecurity regulations in jurisdictions worldwide.
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Security of our products, services, devices, and customers’ data
The security of our products and services is important in our customers’ decisions to purchase or use our products or services across cloud and on-premises environments. Security threats are a significant challenge to companies like us whose business is providing technology products and services to others. Threats to our own IT infrastructure can also affect our customers. Customers using our cloud-based services rely on the security of our infrastructure, including hardware and other elements provided by third parties, to ensure the reliability of our services and the protection of their data. Adversaries tend to focus their efforts on the most popular operating systems, programs, and services, including many of ours, and we expect that to continue. In addition, adversaries can attack our customers’ on-premises or cloud environments, sometimes exploiting previously unknown (“zero day”) vulnerabilities, such as occurred in early calendar year 2021 with several of our Exchange Server on-premises products. Vulnerabilities in these or any product can persist even after we have issued security patches if customers have not installed the most recent updates, or if the attackers exploited the vulnerabilities before patching to install additional malware to further compromise customers’ systems. Adversaries will continue to attack customers using our cloud services as customers embrace digital transformation. Adversaries that acquire user account information can use that information to compromise our users’ accounts, including where accounts share the same attributes such as passwords. Inadequate account security practices may also result in unauthorized access, and user activity may result in ransomware or other malicious software impacting a customer’s use of our products or services. We are increasingly incorporating open source software into our products. There may be vulnerabilities in open source software that may make our products susceptible to cyberattacks. Additionally, we are actively adding new generative AI features to our services. Because generative AI is a new field, understanding of security risks and protection methods continues to develop; features that rely on generative AI may be susceptible to unanticipated security threats from sophisticated adversaries.
Our customers operate complex IT systems with third-party hardware and software from multiple vendors that may include systems acquired over many years. They expect our products and services to support all these systems and products, including those that no longer incorporate the strongest current security advances or standards. As a result, we may not be able to discontinue support in our services for a product, service, standard, or feature solely because a more secure alternative is available. Failure to utilize the most current security advances and standards can increase our customers’ vulnerability to attack. Further, customers of widely varied size and technical sophistication use our technology, and consequently may still have limited capabilities and resources to help them adopt and implement state of the art cybersecurity practices and technologies. In addition, we must account for this wide variation of technical sophistication when defining default settings for our products and services, including security default settings, as these settings may limit or otherwise impact other aspects of IT operations and some customers may have limited capability to review and reset these defaults.
Cyberattacks may adversely impact our customers even if our production services are not directly compromised. We are committed to notifying our customers whose systems have been impacted as we become aware and have actionable information for customers to help protect themselves. We are also committed to providing guidance and support on detection, tracking, and remediation. We may not be able to detect the existence or extent of these attacks for all of our customers or have information on how to detect or track an attack, especially where an attack involves on-premises software such as Exchange Server where we may have no or limited visibility into our customers’ computing environments.
Development and deployment of defensive measures
To defend against security threats to our internal IT systems, our cloud-based services, and our customers’ systems, we must continuously engineer more secure products and services, enhance security, threat detection, and reliability features, improve the deployment of software updates to address security vulnerabilities in our own products as well as those provided by others, develop mitigation technologies that help to secure customers from attacks even when software updates are not deployed, maintain the digital security infrastructure that protects the integrity of our network, products, and services, and provide security tools such as firewalls, anti-virus software, and advanced security and information about the need to deploy security measures and the impact of doing so. Customers in certain industries such as financial services, health care, and government may have enhanced or specialized requirements to which we must engineer our products and services.
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The cost of measures to protect products and customer-facing services could reduce our operating margins. If we fail to do these things well, actual or perceived security vulnerabilities in our products and services, data corruption issues, or reduced performance could harm our reputation and lead customers to reduce or delay future purchases of products or subscriptions to services, or to use competing products or services. Customers may also spend more on protecting their existing computer systems from attack, which could delay adoption of additional products or services. Customers, and third parties granted access to their systems, may fail to update their systems, continue to run software or operating systems we no longer support, or may fail timely to install or enable security patches, or may otherwise fail to adopt adequate security practices. Any of these could adversely affect our reputation and revenue. Actual or perceived vulnerabilities may lead to claims against us. Our license agreements typically contain provisions that eliminate or limit our exposure to liability, but there is no assurance these provisions will withstand legal challenges. At times, to achieve commercial objectives, we may enter into agreements with larger liability exposure to customers.
Our products operate in conjunction with and are dependent on products and components across a broad ecosystem of third parties. If there is a security vulnerability in one of these components, and if there is a security exploit targeting it, we could face increased costs, liability claims, reduced revenue, or harm to our reputation or competitive position.
Disclosure and misuse of personal data could result in liability and harm our reputation. As we continue to grow the number, breadth, and scale of our cloud-based offerings, we store and process increasingly large amounts of personal data of our customers and users. The continued occurrence of high-profile data breaches provides evidence of an external environment increasingly hostile to information security. Despite our efforts to improve the security controls across our business groups and geographies, it is possible our security controls over personal data, our training of employees and third parties on data security, and other practices we follow may not prevent the improper disclosure or misuse of customer or user data we or our vendors store and manage. In addition, third parties who have limited access to our customer or user data may use this data in unauthorized ways. Improper disclosure or misuse could harm our reputation, lead to legal exposure to customers or users, or subject us to liability under laws that protect personal data, resulting in increased costs or loss of revenue. Our software products and services also enable our customers and users to store and process personal data on-premises or, increasingly, in a cloud-based environment we host. Government authorities can sometimes require us to produce customer or user data in response to valid legal orders. In the U.S. and elsewhere, we advocate for transparency concerning these requests and appropriate limitations on government authority to compel disclosure. Despite our efforts to protect customer and user data, perceptions that the collection, use, and retention of personal information is not satisfactorily protected could inhibit sales of our products or services and could limit adoption of our cloud-based solutions by consumers, businesses, and government entities. Additional security measures we may take to address customer or user concerns, or constraints on our flexibility to determine where and how to operate datacenters in response to customer or user expectations or governmental rules or actions, may cause higher operating expenses or hinder growth of our products and services.
We may not be able to protect information in our products and services from use by others. LinkedIn and other Microsoft products and services contain valuable information and content protected by contractual restrictions or technical measures. In certain cases, we have made commitments to our members and users to limit access to or use of this information. Changes in the law or interpretations of the law may weaken our ability to prevent third parties from scraping or gathering information or content through use of bots or other measures and using it for their own benefit, thus diminishing the value of our products and services.
Abuse of our platforms may harm our reputation or user engagement.
Advertising, professional, marketplace, and gaming platform abuses
For platform products and services that provide content or host ads that come from or can be influenced by third parties, including GitHub, LinkedIn, Microsoft Advertising, Microsoft News, Microsoft Store, Bing, and Xbox, our reputation or user engagement may be negatively affected by activity that is hostile or inappropriate. This activity may come from users impersonating other people or organizations including through the use of AI technologies, dissemination of information that may be viewed as misleading or intended to manipulate the opinions of our users, or the use of our products or services that violates our terms of service or otherwise for objectionable or illegal ends. Preventing or responding to these actions may require us to make substantial investments in people and technology and these investments may not be successful, adversely affecting our business and consolidated financial statements.
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Other digital safety abuses
Our hosted consumer services as well as our enterprise services may be used to generate or disseminate harmful or illegal content in violation of our terms or applicable law. We may not proactively discover such content due to scale, the limitations of existing technologies, and conflicting legal frameworks. When discovered by users and others, such content may negatively affect our reputation, our brands, and user engagement. Regulations and other initiatives to make platforms responsible for preventing or eliminating harmful content online have been enacted, and we expect this to continue. We may be subject to enhanced regulatory oversight, civil or criminal liability, or reputational damage if we fail to comply with content moderation regulations, adversely affecting our business and consolidated financial statements.
The development of the IoT presents security, privacy, and execution risks. To support the growth of the intelligent cloud and the intelligent edge, we are developing products, services, and technologies to power the IoT. The IoT’s great potential also carries substantial risks. IoT products and services may contain defects in design, manufacture, or operation that make them insecure or ineffective for their intended purposes. An IoT solution has multiple layers of hardware, sensors, processors, software, and firmware, several of which we may not develop or control. Each layer, including the weakest layer, can impact the security of the whole system. Many IoT devices have limited interfaces and ability to be updated or patched. IoT solutions may collect large amounts of data, and our handling of IoT data may not satisfy customers or regulatory requirements. IoT scenarios may increasingly affect personal health and safety. If IoT solutions that include our technologies do not work as intended, violate the law, or harm individuals or businesses, we may be subject to legal claims or enforcement actions. These risks, if realized, may increase our costs, damage our reputation or brands, or negatively impact our revenues or margins.
Issues in the development and use of AI may result in reputational or competitive harm or liability. We are building AI into many of our offerings, including our productivity services, and we are also making AI available for our customers to use in solutions that they build. This AI may be developed by Microsoft or others, including our strategic partner, OpenAI. We expect these elements of our business to grow. We envision a future in which AI operating in our devices, applications, and the cloud helps our customers be more productive in their work and personal lives. As with many innovations, AI presents risks and challenges that could affect its adoption, and therefore our business. AI algorithms or training methodologies may be flawed. Datasets may be overbroad, insufficient, or contain biased information. Content generated by AI systems may be offensive, illegal, or otherwise harmful. Ineffective or inadequate AI development or deployment practices by Microsoft or others could result in incidents that impair the acceptance of AI solutions or cause harm to individuals, customers, or society, or result in our products and services not working as intended. Human review of certain outputs may be required. As a result of these and other challenges associated with innovative technologies, our implementation of AI systems could subject us to competitive harm, regulatory action, legal liability, including under new proposed legislation regulating AI in jurisdictions such as the European Union (“EU”), new applications of existing data protection, privacy, intellectual property, and other laws, and brand or reputational harm. Some AI scenarios present ethical issues or may have broad impacts on society. If we enable or offer AI solutions that have unintended consequences, unintended usage or customization by our customers and partners, or are controversial because of their impact on human rights, privacy, employment, or other social, economic, or political issues, we may experience brand or reputational harm, adversely affecting our business and consolidated financial statements.
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OPERATIONAL RISKS
We may have excessive outages, data losses, and disruptions of our online services if we fail to maintain an adequate operations infrastructure. Our increasing user traffic, growth in services, and the complexity of our products and services demand more computing power. We spend substantial amounts to build, purchase, or lease datacenters and equipment and to upgrade our technology and network infrastructure to handle more traffic on our websites and in our datacenters. Our datacenters depend on the availability of permitted and buildable land, predictable energy, networking supplies, and servers, including graphics processing units (“GPUs”) and other components. The cost or availability of these dependencies could be adversely affected by a variety of factors, including the transition to a clean energy economy, local and regional environmental regulations, and geopolitical disruptions. These demands continue to increase as we introduce new products and services and support the growth and the augmentation of existing services such as Bing, Azure, Microsoft Account services, Microsoft 365, Microsoft Teams, Dynamics 365, OneDrive, SharePoint Online, Skype, Xbox, and Outlook.com through the incorporation of AI features and/or functionality. We are rapidly growing our business of providing a platform and back-end hosting for services provided by third parties to their end users. Maintaining, securing, and expanding this infrastructure is expensive and complex, and requires development of principles for datacenter builds in geographies with higher safety and reliability risks. It requires that we maintain an Internet connectivity infrastructure and storage and compute capacity that is robust and reliable within competitive and regulatory constraints that continue to evolve. Inefficiencies or operational failures, including temporary or permanent loss of customer data, insufficient Internet connectivity, insufficient or unavailable power supply, or inadequate storage and compute capacity, could diminish the quality of our products, services, and user experience resulting in contractual liability, claims by customers and other third parties, regulatory actions, damage to our reputation, and loss of current and potential users, subscribers, and advertisers, each of which may adversely impact our consolidated financial statements.
We may experience quality or supply problems. Our hardware products such as Xbox consoles, Surface devices, and other devices we design and market are highly complex and can have defects in design, manufacture, or associated software. We could incur significant expenses, lost revenue, and reputational harm as a result of recalls, safety alerts, or product liability claims if we fail to prevent, detect, or address such issues through design, testing, or warranty repairs.
Our software products and services also may experience quality or reliability problems. The highly sophisticated software we develop may contain bugs and other defects that interfere with their intended operation. Our customers increasingly rely on us for critical business functions and multiple workloads. Many of our products and services are interdependent with one another. Each of these circumstances potentially magnifies the impact of quality or reliability issues. Any defects we do not detect and fix in pre-release testing could cause reduced sales and revenue, damage to our reputation, repair or remediation costs, delays in the release of new products or versions, or legal liability. Although our license agreements typically contain provisions that eliminate or limit our exposure to liability, there is no assurance these provisions will withstand legal challenge.
There are limited suppliers for certain device and datacenter components. Our competitors use some of the same suppliers and their demand for hardware components can affect the capacity available to us. If components are delayed or become unavailable, whether because of supplier capacity constraint, industry shortages, legal or regulatory changes that restrict supply sources, or other reasons, we may not obtain timely replacement supplies, resulting in reduced sales or inadequate datacenter capacity to support the delivery and continued development of our products and services. Component shortages, excess or obsolete inventory, or price reductions resulting in inventory adjustments may increase our cost of revenue. Xbox consoles, Surface devices, datacenter servers, and other hardware are assembled in Asia and other geographies that may be subject to disruptions in the supply chain, resulting in shortages that would affect our revenue and operating margins.
LEGAL, REGULATORY, AND LITIGATION RISKS
Government litigation and regulatory activity relating to competition rules may limit how we design and market our products. Government agencies closely scrutinize us under U.S. and foreign competition laws. Governments are actively enforcing competition laws and regulations, and this includes scrutiny in potentially large markets such as the EU, the U.S., and China. Some jurisdictions also allow competitors or consumers to assert claims of anti-competitive conduct. U.S. federal and state antitrust authorities have previously brought enforcement actions and continue to scrutinize our business.
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For example, the European Commission (“the Commission”) closely scrutinizes the design of high-volume Microsoft products and the terms on which we make certain technologies used in these products, such as file formats, programming interfaces, and protocols, available to other companies. Flagship product releases such as Windows can receive significant scrutiny under EU or other competition laws.
Our portfolio of first-party devices continues to grow; at the same time our OEM partners offer a large variety of devices for our platforms. As a result, increasingly we both cooperate and compete with our OEM partners, creating a risk that we fail to do so in compliance with competition rules. Regulatory scrutiny in this area may increase. Certain foreign governments, particularly in China and other countries in Asia, have advanced arguments under their competition laws that exert downward pressure on royalties for our intellectual property.
Competition law regulatory actions and court decisions may result in fines or hinder our ability to provide the benefits of our software to consumers and businesses, reducing the attractiveness of our products and the revenue that comes from them. New competition law actions could be initiated, potentially using previous actions as precedent. The outcome of such actions, or steps taken to avoid them, could adversely affect us in a variety of ways, including causing us to withdraw products from or modify products for certain markets, decreasing the value of our assets, adversely affecting our ability to monetize our products, or inhibiting our ability to consummate acquisition or impose conditions on acquisitions that may reduce their value.
Laws and regulations relating to anti-corruption and trade could result in increased costs, fines, criminal penalties, or reputational damage. The Foreign Corrupt Practices Act (“FCPA”) and other anti-corruption laws and regulations (“Anti-Corruption Laws”) prohibit corrupt payments by our employees, vendors, or agents, and the accounting provisions of the FCPA require us to maintain accurate books and records and adequate internal controls. From time to time, we receive inquiries from authorities in the U.S. and elsewhere which may be based on reports from employees and others about our business activities outside the U.S. and our compliance with Anti-Corruption Laws. Periodically, we receive such reports directly and investigate them, and also cooperate with investigations by U.S. and foreign law enforcement authorities. An example of increasing international regulatory complexity is the EU Whistleblower Directive, initiated in 2021, which may present compliance challenges to the extent it is implemented in different forms by EU member states. Most countries in which we operate also have competition laws that prohibit competitors from colluding or otherwise attempting to reduce competition between themselves. While we devote substantial resources to our U.S. and international compliance programs and have implemented policies, training, and internal controls designed to reduce the risk of corrupt payments and collusive activity, our employees, vendors, or agents may violate our policies. Our failure to comply with Anti-Corruption Laws or competition laws could result in significant fines and penalties, criminal sanctions against us, our officers, or our employees, prohibitions on the conduct of our business, and damage to our reputation.
Increasing trade laws, policies, sanctions, and other regulatory requirements also affect our operations in and outside the U.S. relating to trade and investment. Economic sanctions in the U.S., the EU, and other countries prohibit most business with restricted entities or countries. U.S. export controls restrict Microsoft from offering many of its products and services to, or making investments in, certain entities in specified countries. U.S. import controls restrict us from integrating certain information and communication technologies into our supply chain and allow for government review of transactions involving information and communications technology from countries determined to be foreign adversaries. Supply chain regulations may impact the availability of goods or result in additional regulatory scrutiny. Periods of intense diplomatic or armed conflict, such as the ongoing conflict in Ukraine, may result in (1) new and rapidly evolving sanctions and trade restrictions, which may impair trade with sanctioned individuals and countries, and (2) negative impacts to regional trade ecosystems among our customers, partners, and us. Non-compliance with sanctions as well as general ecosystem disruptions could result in reputational harm, operational delays, monetary fines, loss of revenues, increased costs, loss of export privileges, or criminal sanctions.
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Laws and regulations relating to the handling of personal data may impede the adoption of our services or result in increased costs, legal claims, fines against us, or reputational damage. The growth of our Internet- and cloud-based services internationally relies increasingly on the movement of data across national boundaries. Legal requirements relating to the collection, storage, handling, and transfer of personal data continue to evolve. For example, while the EU-U.S. Data Privacy Framework (“DPF”) has been recognized as adequate under EU law to allow transfers of personal data from the EU to certified companies in the U.S., the DPF is subject to further legal challenge which could cause the legal requirements for data transfers from the EU to be uncertain. EU data protection authorities have and may again block the use of certain U.S.-based services that involve the transfer of data to the U.S. In the EU and other markets, potential new rules and restrictions on the flow of data across borders could increase the cost and complexity of delivering our products and services.
In addition, the EU General Data Protection Regulation (“GDPR”), which applies to all of our activities conducted from an establishment in the EU or related to products and services offered in the EU, imposes a range of compliance obligations regarding the handling of personal data. More recently, the EU has been developing new requirements related to the use of data, including in the Digital Markets Act, the Digital Services Act, and the Data Act, that add additional rules and restriction on the use of data in our products and services. Engineering efforts to build and maintain capabilities to facilitate compliance with these laws involve substantial expense and the diversion of engineering resources from other projects. We might experience reduced demand for our offerings if we are unable to engineer products that meet our legal duties or help our customers meet their obligations under these and other data regulations, or if our implementation to comply makes our offerings less attractive. Compliance with these obligations depends in part on how particular regulators interpret and apply them. If we fail to comply, or if regulators assert we have failed to comply (including in response to complaints made by customers), it may lead to regulatory enforcement actions, which can result in significant monetary penalties, private lawsuits, reputational damage, blockage of international data transfers, and loss of customers. The highest fines assessed under GDPR have recently been increasing, especially against large technology companies. Jurisdictions around the world, such as China, India, and states in the U.S. have adopted, or are considering adopting or expanding, laws and regulations imposing obligations regarding the collection, handling, and transfer of personal data.
Our investment in gaining insights from data is becoming central to the value of the services, including AI services, we deliver to customers, to operational efficiency and key opportunities in monetization, and to customer perceptions of quality. Our ability to use data in this way may be constrained by regulatory developments that impede realizing the expected return from this investment. Ongoing legal analyses, reviews, and inquiries by regulators of Microsoft practices, or relevant practices of other organizations, may result in burdensome or inconsistent requirements, including data sovereignty and localization requirements, affecting the location, movement, collection, and use of our customer and internal employee data as well as the management of that data. Compliance with applicable laws and regulations regarding personal data may require changes in services, business practices, or internal systems that result in increased costs, lower revenue, reduced efficiency, or greater difficulty in competing with foreign-based firms. Compliance with data regulations might limit our ability to innovate or offer certain features and functionality in some jurisdictions where we operate. Failure to comply with existing or new rules may result in significant penalties or orders to stop the alleged noncompliant activity, as well as negative publicity and diversion of management time and effort.
Existing and increasing legal and regulatory requirements could adversely affect our results of operations. We are subject to a wide range of laws, regulations, and legal requirements in the U.S. and globally, including those that may apply to our products and online services offerings, and those that impose requirements related to user privacy, telecommunications, data storage and protection, advertising, and online content. Laws in several jurisdictions, including EU Member State laws under the European Electronic Communications Code, increasingly define certain of our services as regulated telecommunications services. This trend may continue and will result in these offerings being subjected to additional data protection, security, law enforcement surveillance, and other obligations. Regulators and private litigants may assert that our collection, use, and management of customer data and other information is inconsistent with their laws and regulations, including laws that apply to the tracking of users via technology such as cookies. New environmental, social, and governance laws and regulations are expanding mandatory disclosure, reporting, and diligence requirements. Legislative or regulatory action relating to cybersecurity requirements may increase the costs to develop, implement, or secure our products and services. Compliance with evolving digital accessibility laws and standards will require engineering and is important to our efforts to empower all people and organizations to achieve more. Legislative and regulatory action is emerging in the areas of AI and content moderation, which could increase costs or restrict opportunity. For example, in the EU, an AI Act is being considered, and may entail increased costs or decreased opportunities for the operation of our AI services in the European market.
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How these laws and regulations apply to our business is often unclear, subject to change over time, and sometimes may be inconsistent from jurisdiction to jurisdiction. In addition, governments’ approach to enforcement, and our products and services, are continuing to evolve. Compliance with existing, expanding, or new laws and regulations may involve significant costs or require changes in products or business practices that could adversely affect our results of operations. Noncompliance could result in the imposition of penalties or orders we cease the alleged noncompliant activity. In addition, there is increasing pressure from advocacy groups, regulators, competitors, customers, and other stakeholders across many of these areas. If our products do not meet customer expectations or legal requirements, we could lose sales opportunities or face regulatory or legal actions.
We have claims and lawsuits against us that may result in adverse outcomes. We are subject to a variety of claims and lawsuits. These claims may arise from a wide variety of business practices and initiatives, including major new product releases such as Windows, AI services, significant business transactions, warranty or product claims, employment practices, and regulation. Adverse outcomes in some or all of these claims may result in significant monetary damages or injunctive relief that could adversely affect our ability to conduct our business. The litigation and other claims are subject to inherent uncertainties and management’s view of these matters may change in the future. A material adverse impact in our consolidated financial statements could occur for the period in which the effect of an unfavorable outcome becomes probable and reasonably estimable.
Our business with government customers may present additional uncertainties. We derive substantial revenue from government contracts. Government contracts generally can present risks and challenges not present in private commercial agreements. For instance, we may be subject to government audits and investigations relating to these contracts, we could be suspended or debarred as a governmental contractor, we could incur civil and criminal fines and penalties, and under certain circumstances contracts may be rescinded. Some agreements may allow a government to terminate without cause and provide for higher liability limits for certain losses. Some contracts may be subject to periodic funding approval, reductions, cancellations, or delays which could adversely impact public-sector demand for our products and services. These events could negatively impact our results of operations, financial condition, and reputation.
We may have additional tax liabilities. We are subject to income taxes in the U.S. and many foreign jurisdictions. Significant judgment is required in determining our worldwide provision for income taxes. In the course of our business, there are many transactions and calculations where the ultimate tax determination is uncertain. For example, compliance with the 2017 United States Tax Cuts and Jobs Act (“TCJA”) and possible future legislative changes may require the collection of information not regularly produced within the company, the use of estimates in our consolidated financial statements, and the exercise of significant judgment in accounting for its provisions. As regulations and guidance evolve with respect to the TCJA or possible future legislative changes, and as we gather more information and perform more analysis, our results may differ from previous estimates and may materially affect our consolidated financial statements.
We are regularly under audit by tax authorities in different jurisdictions. Although we believe that our provision for income taxes and our tax estimates are reasonable, tax authorities may disagree with certain positions we have taken. In addition, economic and political pressures to increase tax revenue in various jurisdictions may make resolving tax disputes favorably more difficult. We are currently under Internal Revenue Service audit for prior tax years, with the primary unresolved issues relating to transfer pricing. The final resolution of those audits, and other audits or litigation, may differ from the amounts recorded in our consolidated financial statements and may materially affect our consolidated financial statements in the period or periods in which that determination is made.
We earn a significant amount of our operating income outside the U.S. A change in the mix of earnings and losses in countries with differing statutory tax rates, changes in our business or structure, or the expiration of or disputes about certain tax agreements in a particular country may result in higher effective tax rates for the company. In addition, changes in U.S. federal and state or international tax laws applicable to corporate multinationals, other fundamental law changes currently being considered by many countries, including in the U.S., and changes in taxing jurisdictions’ administrative interpretations, decisions, policies, and positions may materially adversely impact our consolidated financial statements.
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INTELLECTUAL PROPERTY RISKS
We face risks related to the protection and utilization of our intellectual property that may result in our business and operating results may be harmed. Protecting our intellectual property rights and combating unlicensed copying and use of our software and other intellectual property on a global basis is difficult. Similarly, the absence of harmonized patent laws makes it more difficult to ensure consistent respect for patent rights.
Changes in the law may continue to weaken our ability to prevent the use of patented technology or collect revenue for licensing our patents. Additionally, licensees of our patents may fail to satisfy their obligations to pay us royalties or may contest the scope and extent of their obligations. Finally, our increasing engagement with open source software will also cause us to license our intellectual property rights broadly in certain situations. If we are unable to protect our intellectual property, our revenue may be adversely affected.
Source code, the detailed program commands for our operating systems and other software programs, is critical to our business. If our source code leaks, we might lose future trade secret protection for that code. It may then become easier for third parties to compete with our products by copying functionality, which could adversely affect our revenue and operating results. Unauthorized disclosure of source code also could increase the security risks described elsewhere in these risk factors.
Third parties may claim that we infringe their intellectual property. From time to time, others claim we infringe their intellectual property rights. To resolve these claims, we may enter into royalty and licensing agreements on terms that are less favorable than currently available, stop selling or redesign affected products or services, or pay damages to satisfy indemnification commitments with our customers. Adverse outcomes could also include monetary damages or injunctive relief that may limit or prevent importing, marketing, and selling our products or services that have infringing technologies. We have paid significant amounts to settle claims related to the use of technology and intellectual property rights and to procure intellectual property rights as part of our strategy to manage this risk, and may continue to do so.
GENERAL RISKS
If our reputation or our brands are damaged, our business and operating results may be harmed. Our reputation and brands are globally recognized and are important to our business. Our reputation and brands affect our ability to attract and retain consumer, business, and public-sector customers. There are numerous ways our reputation or brands could be damaged. These include product safety or quality issues, our environmental impact and sustainability, supply chain practices, or human rights record. We may experience backlash from customers, government entities, advocacy groups, employees, and other stakeholders that disagree with our product offering decisions or public policy positions. Damage to our reputation or our brands may occur from, among other things:
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The introduction of new features, products, services, or terms of service that customers, users, or partners do not like.
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Public scrutiny of our decisions regarding user privacy, data practices, or content.
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Data security breaches, compliance failures, or actions of partners or individual employees.
The proliferation of social media may increase the likelihood, speed, and magnitude of negative brand events. If our brands or reputation are damaged, it could negatively impact our revenues or margins, or ability to attract the most highly qualified employees.
Adverse economic or market conditions may harm our business. Worsening economic conditions, including inflation, recession, pandemic, or other changes in economic conditions, may cause lower IT spending and adversely affect our revenue. If demand for PCs, servers, and other computing devices declines, or consumer or business spending for those products declines, our revenue will be adversely affected.
Our product distribution system relies on an extensive partner and retail network. OEMs building devices that run our software have also been a significant means of distribution. The impact of economic conditions on our partners, such as the bankruptcy of a major distributor, OEM, or retailer, could cause sales channel disruption.
Challenging economic conditions also may impair the ability of our customers to pay for products and services they have purchased. As a result, allowances for doubtful accounts and write-offs of accounts receivable may increase.
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PART I
Item 1A
We maintain an investment portfolio of various holdings, types, and maturities. These investments are subject to general credit, liquidity, market, and interest rate risks, which may be exacerbated by market downturns or events that affect global financial markets. A significant part of our investment portfolio comprises U.S. government securities. If global financial markets decline for long periods, or if there is a downgrade of the U.S. government credit rating due to an actual or threatened default on government debt, our investment portfolio may be adversely affected and we could determine that more of our investments have experienced a decline in fair value, requiring impairment charges that could adversely affect our consolidated financial statements.
Catastrophic events or geopolitical conditions may disrupt our business. A disruption or failure of our systems or operations because of a major earthquake, weather event, cyberattack, terrorist attack, pandemic, or other catastrophic event could cause delays in completing sales, providing services, or performing other critical functions. Our corporate headquarters, a significant portion of our research and development activities, and certain other essential business operations are in the Seattle, Washington area, and we have other business operations in the Silicon Valley area of California, both of which are seismically active regions. A catastrophic event that results in the destruction or disruption of any of our critical business or IT systems, or the infrastructure or systems they rely on, such as power grids, could harm our ability to conduct normal business operations. Providing our customers with more services and solutions in the cloud puts a premium on the resilience of our systems and strength of our business continuity management plans and magnifies the potential impact of prolonged service outages in our consolidated financial statements.
Abrupt political change, terrorist activity, and armed conflict, such as the ongoing conflict in Ukraine, pose a risk of general economic disruption in affected countries, which may increase our operating costs and negatively impact our ability to sell to and collect from customers in affected markets. These conditions also may add uncertainty to the timing and budget for technology investment decisions by our customers and may cause supply chain disruptions for hardware manufacturers. Geopolitical change may result in changing regulatory systems and requirements and market interventions that could impact our operating strategies, access to national, regional, and global markets, hiring, and profitability. Geopolitical instability may lead to sanctions and impact our ability to do business in some markets or with some public-sector customers. Any of these changes may negatively impact our revenues.
The occurrence of regional epidemics or a global pandemic, such as COVID-19, may adversely affect our operations, financial condition, and results of operations. The extent to which global pandemics impact our business going forward will depend on factors such as the duration and scope of the pandemic; governmental, business, and individuals' actions in response to the pandemic; and the impact on economic activity, including the possibility of recession or financial market instability. Measures to contain a global pandemic may intensify other risks described in these Risk Factors.
We may incur increased costs to effectively manage these aspects of our business. If we are unsuccessful, it may adversely impact our revenues, cash flows, market share growth, and reputation.
The long-term effects of climate change on the global economy and the IT industry in particular are unclear. Environmental regulations or changes in the supply, demand, or available sources of energy or other resources may affect the availability or cost of goods and services, including natural resources, necessary to run our business. Changes in climate where we operate may increase the costs of powering and cooling computer hardware we use to develop software and provide cloud-based services.
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PART I
Item 1A
Our global business exposes us to operational and economic risks. Our customers are located throughout the world and a significant part of our revenue comes from international sales. The global nature of our business creates operational, economic, and geopolitical risks. Our results of operations may be affected by global, regional, and local economic developments, monetary policy, inflation, and recession, as well as political and military disputes. In addition, our international growth strategy includes certain markets, the developing nature of which presents several risks, including deterioration of social, political, labor, or economic conditions in a country or region, and difficulties in staffing and managing foreign operations. Emerging nationalist and protectionist trends and concerns about human rights, the environment, and political expression in specific countries may significantly alter the trade and commercial environments. Changes to trade policy or agreements as a result of populism, protectionism, or economic nationalism may result in higher tariffs, local sourcing initiatives, and non-local sourcing restrictions, export controls, investment restrictions, or other developments that make it more difficult to sell our products in foreign countries. Disruptions of these kinds in developed or emerging markets could negatively impact demand for our products and services, impair our ability to operate in certain regions, or increase operating costs. Although we hedge a portion of our international currency exposure, significant fluctuations in foreign exchange rates between the U.S. dollar and foreign currencies may adversely affect our results of operations.
Our business depends on our ability to attract and retain talented employees. Our business is based on successfully attracting and retaining talented employees representing diverse backgrounds, experiences, and skill sets. The market for highly skilled workers and leaders in our industry is extremely competitive. Maintaining our brand and reputation, as well as a diverse and inclusive work environment that enables all our employees to thrive, are important to our ability to recruit and retain employees. We are also limited in our ability to recruit internationally by restrictive domestic immigration laws. Changes to U.S. immigration policies that restrain the flow of technical and professional talent may inhibit our ability to adequately staff our research and development efforts. If we are less successful in our recruiting efforts, or if we cannot retain highly skilled workers and key leaders, our ability to develop and deliver successful products and services may be adversely affected. Effective succession planning is also important to our long-term success. Failure to ensure effective transfer of knowledge and smooth transitions involving key employees could hinder our strategic planning and execution. How employment-related laws are interpreted and applied to our workforce practices may result in increased operating costs and less flexibility in how we meet our workforce needs. Our global workforce is predominantly non-unionized, although we do have some employees in the U.S. and internationally who are represented by unions or works councils. In the U.S., there has been a general increase in workers exercising their right to form or join a union. The unionization of significant employee populations could result in higher costs and other operational changes necessary to respond to changing conditions and to establish new relationships with worker representatives.
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PART I
Item 1B, 2, 3, 4
ITEM 1B. UNRESOLVED STAFF COMMENTS
We have received no written comments regarding our periodic or current reports from the staff of the Securities and Exchange Commission that were issued 180 days or more preceding the end of our fiscal year 2023 that remain unresolved.
ITEM 2. PROPERTIES
Our corporate headquarters are located in Redmond, Washington. We have approximately 16 million square feet of space located in King County, Washington that is used for engineering, sales, marketing, and operations, among other general and administrative purposes. These facilities include approximately 11 million square feet of owned space situated on approximately 530 acres of land we own at our corporate headquarters, and approximately 5 million square feet of space we lease.
We own and lease other facilities domestically and internationally, primarily for offices, datacenters, and research and development. The largest owned international properties include space in the following locations: China, India, Ireland, and the Netherlands. The largest leased international properties include space in the following locations: Australia, Canada, China, France, Germany, India, Ireland, Israel, Japan, the Netherlands, and the United Kingdom. Refer to Research and Development (Part I, Item 1 of this Form 10-K) for further discussion of our research and development facilities.
In fiscal year 2023, we made decisions to consolidate our office leases to create higher density across our workspaces, and we may make similar decisions in future periods as we continue to evaluate our real estate needs.
The table below shows a summary of the square footage of our properties owned and leased domestically and internationally as of June 30, 2023:
(Square feet in millions)
Location Owned Leased Total
U.S. 27 20 47
International 9 22 31
Total 36 42 78
ITEM 3. LEGAL PROCEEDINGS
Refer to Note 15 – Contingencies of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for information regarding legal proceedings in which we are involved.
ITEM 4. MINE SAFETY DISCLOSURES
Not applicable.
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PART II
Item 5
PART II
ITEM 5. MARKET FOR REGISTRANT’S COMMON EQUITY, RELATED STOCKHOLDER MATTERS, AND ISSUER PURCHASES OF EQUITY SECURITIES
MARKET AND STOCKHOLDERS
Our common stock is traded on the NASDAQ Stock Market under the symbol MSFT. On July 24, 2023, there were 83,883 registered holders of record of our common stock.
SHARE REPURCHASES AND DIVIDENDS
Following are our monthly share repurchases for the fourth quarter of fiscal year 2023:
Period Total Number
of Shares
Purchased Average Price
Paid Per Share Total Number of
Shares Purchased
as Part of Publicly
Announced Plans
or Programs Approximate Dollar
Value of Shares That
May Yet Be
Purchased Under the
Plans or Programs
(In millions)
April 1, 2023 – April 30, 2023 5,007,656 $ 287.97 5,007,656 $ 25,467
May 1, 2023 – May 31, 2023 5,355,638 314.26 5,355,638 23,784
June 1, 2023 – June 30, 2023 4,413,960 334.15 4,413,960 22,309
14,777,254 14,777,254
All share repurchases were made using cash resources. Our share repurchases may occur through open market purchases or pursuant to a Rule 10b5-1 trading plan. The above table excludes shares repurchased to settle employee tax withholding related to the vesting of stock awards.
Our Board of Directors declared the following dividends during the fourth quarter of fiscal year 2023:
Declaration Date Record Date Payment Date Dividend
Per Share Amount
(In millions)
June 13, 2023 August 17, 2023 September 14, 2023 $ 0.68 $ 5,054
We returned $9.7 billion to shareholders in the form of share repurchases and dividends in the fourth quarter of fiscal year 2023. Refer to Note 16 – Stockholders’ Equity of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for further discussion regarding share repurchases and dividends.
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PART II
Item 6
ITEM 6. [RESERVED]
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PART II
Item 7
ITEM 7. MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS
The following Management’s Discussion and Analysis of Financial Condition and Results of Operations (“MD&A”) is intended to help the reader understand the results of operations and financial condition of Microsoft Corporation. MD&A is provided as a supplement to, and should be read in conjunction with, our consolidated financial statements and the accompanying Notes to Financial Statements (Part II, Item 8 of this Form 10-K). This section generally discusses the results of our operations for the year ended June 30, 2023 compared to the year ended June 30, 2022. For a discussion of the year ended June 30, 2022 compared to the year ended June 30, 2021, please refer to Part II, Item 7, “Management’s Discussion and Analysis of Financial Condition and Results of Operations” in our Annual Report on Form 10-K for the year ended June 30, 2022.
OVERVIEW
Microsoft is a technology company whose mission is to empower every person and every organization on the planet to achieve more. We strive to create local opportunity, growth, and impact in every country around the world. We are creating the platforms and tools, powered by artificial intelligence (“AI”), that deliver better, faster, and more effective solutions to support small and large business competitiveness, improve educational and health outcomes, grow public-sector efficiency, and empower human ingenuity.
We generate revenue by offering a wide range of cloud-based solutions, content, and other services to people and businesses; licensing and supporting an array of software products; delivering relevant online advertising to a global audience; and designing and selling devices. Our most significant expenses are related to compensating employees; supporting and investing in our cloud-based services, including datacenter operations; designing, manufacturing, marketing, and selling our other products and services; and income taxes.
Highlights from fiscal year 2023 compared with fiscal year 2022 included:
•
Microsoft Cloud revenue increased 22% to $111.6 billion.
•
Office Commercial products and cloud services revenue increased 10% driven by Office 365 Commercial growth of 13%.
•
Office Consumer products and cloud services revenue increased 2% and Microsoft 365 Consumer subscribers increased to 67.0 million.
•
LinkedIn revenue increased 10%.
•
Dynamics products and cloud services revenue increased 16% driven by Dynamics 365 growth of 24%.
•
Server products and cloud services revenue increased 19% driven by Azure and other cloud services growth of 29%.
•
Windows original equipment manufacturer licensing (“Windows OEM”) revenue decreased 25%.
•
Devices revenue decreased 24%.
•
Windows Commercial products and cloud services revenue increased 5%.
•
Xbox content and services revenue decreased 3%.
•
Search and news advertising revenue excluding traffic acquisition costs increased 11%.
Industry Trends
Our industry is dynamic and highly competitive, with frequent changes in both technologies and business models. Each industry shift is an opportunity to conceive new products, new technologies, or new ideas that can further transform the industry and our business. At Microsoft, we push the boundaries of what is possible through a broad range of research and development activities that seek to identify and address the changing demands of customers and users, industry trends, and competitive forces.
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Item 7
Economic Conditions, Challenges, and Risks
The markets for software, devices, and cloud-based services are dynamic and highly competitive. Our competitors are developing new software and devices, while also deploying competing cloud-based services for consumers and businesses. The devices and form factors customers prefer evolve rapidly, influencing how users access services in the cloud and, in some cases, the user’s choice of which suite of cloud-based services to use. Aggregate demand for our software, services, and devices is also correlated to global macroeconomic and geopolitical factors, which remain dynamic. We must continue to evolve and adapt over an extended time in pace with this changing environment.
The investments we are making in cloud and AI infrastructure and devices will continue to increase our operating costs and may decrease our operating margins. We continue to identify and evaluate opportunities to expand our datacenter locations and increase our server capacity to meet the evolving needs of our customers, particularly given the growing demand for AI services. Our datacenters depend on the availability of permitted and buildable land, predictable energy, networking supplies, and servers, including graphics processing units (“GPUs”) and other components. Our devices are primarily manufactured by third-party contract manufacturers. For the majority of our products, we have the ability to use other manufacturers if a current vendor becomes unavailable or unable to meet our requirements. However, some of our products contain certain components for which there are very few qualified suppliers. Extended disruptions at these suppliers could impact our ability to manufacture devices on time to meet consumer demand.
Our success is highly dependent on our ability to attract and retain qualified employees. We hire a mix of university and industry talent worldwide. We compete for talented individuals globally by offering an exceptional working environment, broad customer reach, scale in resources, the ability to grow one’s career across many different products and businesses, and competitive compensation and benefits.
Our international operations provide a significant portion of our total revenue and expenses. Many of these revenue and expenses are denominated in currencies other than the U.S. dollar. As a result, changes in foreign exchange rates may significantly affect revenue and expenses. Fluctuations in the U.S. dollar relative to certain foreign currencies reduced reported revenue and expenses from our international operations in fiscal year 2023.
On January 18, 2023, we announced decisions we made to align our cost structure with our revenue and customer demand, prioritize our investments in strategic areas, and consolidate office space. As a result, we recorded a $1.2 billion charge in the second quarter of fiscal year 2023 (“Q2 charge”), which included employee severance expenses of $800 million, impairment charges resulting from changes to our hardware portfolio, and costs related to lease consolidation activities. First, we reduced our overall workforce by approximately 10,000 jobs through the third quarter of fiscal year 2023 related to the Q2 charge, which represents less than 5% of our total employee base. While we eliminated roles in some areas, we will continue to hire in key strategic areas. Second, we are allocating both our capital and talent to areas of secular growth and long-term competitiveness, while divesting in other areas. Third, we are consolidating our leases to create higher density across our workspaces, which impacted our financial results through the remainder of fiscal year 2023, and we may make similar decisions in future periods as we continue to evaluate our real estate needs.
Refer to Risk Factors (Part I, Item 1A of this Form 10-K) for a discussion of these factors and other risks.
Seasonality
Our revenue fluctuates quarterly and is generally higher in the second and fourth quarters of our fiscal year. Second quarter revenue is driven by corporate year-end spending trends in our major markets and holiday season spending by consumers, and fourth quarter revenue is driven by the volume of multi-year on-premises contracts executed during the period.
Change in Accounting Estimate
In July 2022, we completed an assessment of the useful lives of our server and network equipment. Due to investments in software that increased efficiencies in how we operate our server and network equipment, as well as advances in technology, we determined we should increase the estimated useful lives of both server and network equipment from four years to six years. This change in accounting estimate was effective beginning fiscal year 2023. Based on the carrying amount of server and network equipment included in property and equipment, net as of June 30, 2022, the effect of this change in estimate for fiscal year 2023 was an increase in operating income of $3.7 billion and net income of $3.0 billion, or $0.40 per both basic and diluted share.
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PART II
Item 7
Reportable Segments
We report our financial performance based on the following segments: Productivity and Business Processes, Intelligent Cloud, and More Personal Computing. The segment amounts included in MD&A are presented on a basis consistent with our internal management reporting. We have recast certain prior period amounts to conform to the way we internally manage and monitor our business.
Additional information on our reportable segments is contained in Note 19 – Segment Information and Geographic Data of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K).
Metrics
We use metrics in assessing the performance of our business and to make informed decisions regarding the allocation of resources. We disclose metrics to enable investors to evaluate progress against our ambitions, provide transparency into performance trends, and reflect the continued evolution of our products and services. Our commercial and other business metrics are fundamentally connected based on how customers use our products and services. The metrics are disclosed in the MD&A or the Notes to Financial Statements (Part II, Item 8 of this Form 10-K). Financial metrics are calculated based on financial results prepared in accordance with accounting principles generally accepted in the United States of America (“GAAP”), and growth comparisons relate to the corresponding period of last fiscal year.
In the first quarter of fiscal year 2023, we made updates to the presentation and method of calculation for certain metrics, most notably expanding our Surface metric into a broader Devices metric to incorporate additional revenue streams, along with other minor changes to align with how we manage our businesses.
Commercial
Our commercial business primarily consists of Server products and cloud services, Office Commercial, Windows Commercial, the commercial portion of LinkedIn, Enterprise Services, and Dynamics. Our commercial metrics allow management and investors to assess the overall health of our commercial business and include leading indicators of future performance.
Commercial remaining performance obligation Commercial portion of revenue allocated to remaining performance obligations, which includes unearned revenue and amounts that will be invoiced and recognized as revenue in future periods
Microsoft Cloud revenue Revenue from Azure and other cloud services, Office 365 Commercial, the commercial portion of LinkedIn, Dynamics 365, and other commercial cloud properties
Microsoft Cloud gross margin percentage Gross margin percentage for our Microsoft Cloud business
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Productivity and Business Processes and Intelligent Cloud
Metrics related to our Productivity and Business Processes and Intelligent Cloud segments assess the health of our core businesses within these segments. The metrics reflect our cloud and on-premises product strategies and trends.
Office Commercial products and cloud services revenue growth Revenue from Office Commercial products and cloud services (Office 365 subscriptions, the Office 365 portion of Microsoft 365 Commercial subscriptions, and Office licensed on-premises), comprising Office, Exchange, SharePoint, Microsoft Teams, Office 365 Security and Compliance, Microsoft Viva, and Microsoft 365 Copilot
Office Consumer products and cloud services revenue growth Revenue from Office Consumer products and cloud services, including Microsoft 365 Consumer subscriptions, Office licensed on-premises, and other Office services
Office 365 Commercial seat growth The number of Office 365 Commercial seats at end of period where seats are paid users covered by an Office 365 Commercial subscription
Microsoft 365 Consumer subscribers The number of Microsoft 365 Consumer subscribers at end of period
Dynamics products and cloud services revenue growth Revenue from Dynamics products and cloud services, including Dynamics 365, comprising a set of intelligent, cloud-based applications across ERP, CRM (including Customer Insights), Power Apps, and Power Automate; and on-premises ERP and CRM applications
LinkedIn revenue growth Revenue from LinkedIn, including Talent Solutions, Marketing Solutions, Premium Subscriptions, and Sales Solutions
Server products and cloud services revenue growth Revenue from Server products and cloud services, including Azure and other cloud services; SQL Server, Windows Server, Visual Studio, System Center, and related Client Access Licenses (“CALs”); and Nuance and GitHub
More Personal Computing
Metrics related to our More Personal Computing segment assess the performance of key lines of business within this segment. These metrics provide strategic product insights which allow us to assess the performance across our commercial and consumer businesses. As we have diversity of target audiences and sales motions within the Windows business, we monitor metrics that are reflective of those varying motions.
Windows OEM revenue growth Revenue from sales of Windows Pro and non-Pro licenses sold through the OEM channel
Windows Commercial products and cloud services revenue growth Revenue from Windows Commercial products and cloud services, comprising volume licensing of the Windows operating system, Windows cloud services, and other Windows commercial offerings
Devices revenue growth Revenue from Devices, including Surface, HoloLens, and PC accessories
Xbox content and services revenue growth Revenue from Xbox content and services, comprising first- and third-party content (including games and in-game content), Xbox Game Pass and other subscriptions, Xbox Cloud Gaming, advertising, third-party disc royalties, and other cloud services
Search and news advertising revenue (ex TAC) growth Revenue from search and news advertising excluding traffic acquisition costs (“TAC”) paid to Bing Ads network publishers and news partners
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SUMMARY RESULTS OF OPERATIONS
(In millions, except percentages and per share amounts) 2023 2022 Percentage
Change
Revenue $ 211,915 $ 198,270 7%
Gross margin 146,052 135,620 8%
Operating income 88,523 83,383 6%
Net income 72,361 72,738 (1)%
Diluted earnings per share 9.68 9.65 0%
Adjusted gross margin (non-GAAP) 146,204 135,620 8%
Adjusted operating income (non-GAAP) 89,694 83,383 8%
Adjusted net income (non-GAAP) 73,307 69,447 6%
Adjusted diluted earnings per share (non-GAAP) 9.81 9.21 7%
Adjusted gross margin, operating income, net income, and diluted earnings per share (“EPS”) are non-GAAP financial measures. Current year non-GAAP financial measures exclude the impact of the Q2 charge, which includes employee severance expenses, impairment charges resulting from changes to our hardware portfolio, and costs related to lease consolidation activities. Prior year non-GAAP financial measures exclude the net income tax benefit related to transfer of intangible properties in the first quarter of fiscal year 2022. Refer to Note 12 – Income Taxes of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for further discussion. Refer to the Non-GAAP Financial Measures section below for a reconciliation of our financial results reported in accordance with GAAP to non-GAAP financial results.
Fiscal Year 2023 Compared with Fiscal Year 2022
Revenue increased $13.6 billion or 7% driven by growth in Intelligent Cloud and Productivity and Business Processes, offset in part by a decline in More Personal Computing. Intelligent Cloud revenue increased driven by Azure and other cloud services. Productivity and Business Processes revenue increased driven by Office 365 Commercial and LinkedIn. More Personal Computing revenue decreased driven by Windows and Devices.
Cost of revenue increased $3.2 billion or 5% driven by growth in Microsoft Cloud, offset in part by the change in accounting estimate.
Gross margin increased $10.4 billion or 8% driven by growth in Intelligent Cloud and Productivity and Business Processes and the change in accounting estimate, offset in part by a decline in More Personal Computing.
•
Gross margin percentage increased slightly. Excluding the impact of the change in accounting estimate, gross margin percentage decreased 1 point driven by declines in Intelligent Cloud and More Personal Computing, offset in part by sales mix shift between our segments.
•
Microsoft Cloud gross margin percentage increased 2 points to 72%. Excluding the impact of the change in accounting estimate, Microsoft Cloud gross margin percentage decreased slightly driven by a decline in Azure and other cloud services and sales mix shift to Azure and other cloud services, offset in part by improvement in Office 365 Commercial.
Operating expenses increased $5.3 billion or 10% driven by employee severance expenses, 2 points of growth from the Nuance and Xandr acquisitions, investments in cloud engineering, and LinkedIn.
Operating income increased $5.1 billion or 6% driven by growth in Productivity and Business Processes and Intelligent Cloud and the change in accounting estimate, offset in part by a decline in More Personal Computing.
Revenue, gross margin, and operating income included an unfavorable foreign currency impact of 4%, 4%, and 6%, respectively. Cost of revenue and operating expenses both included a favorable foreign currency impact of 2%.
Current year gross margin, operating income, net income, and diluted EPS were negatively impacted by the Q2 charge, which resulted in decreases of $152 million, $1.2 billion, $946 million, and $0.13, respectively. Prior year net income and diluted EPS were positively impacted by the net tax benefit related to the transfer of intangible properties, which resulted in an increase to net income and diluted EPS of $3.3 billion and $0.44, respectively.
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SEGMENT RESULTS OF OPERATIONS
(In millions, except percentages) 2023 2022 Percentage
Change
Revenue
Productivity and Business Processes $ 69,274 $ 63,364 9%
Intelligent Cloud 87,907 74,965 17%
More Personal Computing 54,734 59,941 (9)%
Total $ 211,915 $ 198,270 7%
Operating Income
Productivity and Business Processes $ 34,189 $ 29,690 15%
Intelligent Cloud 37,884 33,203 14%
More Personal Computing 16,450 20,490 (20)%
Total $ 88,523 $ 83,383 6%
Reportable Segments
Fiscal Year 2023 Compared with Fiscal Year 2022
Productivity and Business Processes
Revenue increased $5.9 billion or 9%.
•
Office Commercial products and cloud services revenue increased $3.7 billion or 10%. Office 365 Commercial revenue grew 13% with seat growth of 11%, driven by small and medium business and frontline worker offerings, as well as growth in revenue per user. Office Commercial products revenue declined 21% driven by continued customer shift to cloud offerings.
•
Office Consumer products and cloud services revenue increased $140 million or 2%. Microsoft 365 Consumer subscribers grew 12% to 67.0 million.
•
LinkedIn revenue increased $1.3 billion or 10% driven by Talent Solutions.
•
Dynamics products and cloud services revenue increased $750 million or 16% driven by Dynamics 365 growth of 24%.
Operating income increased $4.5 billion or 15%.
•
Gross margin increased $5.8 billion or 12% driven by growth in Office 365 Commercial and LinkedIn, as well as the change in accounting estimate. Gross margin percentage increased. Excluding the impact of the change in accounting estimate, gross margin percentage increased slightly driven by improvement in Office 365 Commercial, offset in part by sales mix shift to cloud offerings.
•
Operating expenses increased $1.3 billion or 7% driven by investment in LinkedIn and employee severance expenses.
Revenue, gross margin, and operating income included an unfavorable foreign currency impact of 5%, 5%, and 8%, respectively.
Intelligent Cloud
Revenue increased $12.9 billion or 17%.
•
Server products and cloud services revenue increased $12.6 billion or 19% driven by Azure and other cloud services. Azure and other cloud services revenue grew 29% driven by growth in our consumption-based services. Server products revenue decreased 1%.
•
Enterprise Services revenue increased $315 million or 4% driven by growth in Enterprise Support Services, offset in part by a decline in Industry Solutions (formerly Microsoft Consulting Services).
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Operating income increased $4.7 billion or 14%.
•
Gross margin increased $8.9 billion or 17% driven by growth in Azure and other cloud services and the change in accounting estimate. Gross margin percentage decreased slightly. Excluding the impact of the change in accounting estimate, gross margin percentage decreased 3 points driven by sales mix shift to Azure and other cloud services and a decline in Azure and other cloud services.
•
Operating expenses increased $4.2 billion or 21% driven by investments in Azure, 4 points of growth from the Nuance acquisition, and employee severance expenses.
Revenue, gross margin, and operating income included an unfavorable foreign currency impact of 4%, 4%, and 6%, respectively. Operating expenses included a favorable foreign currency impact of 2%.
More Personal Computing
Revenue decreased $5.2 billion or 9%.
•
Windows revenue decreased $3.2 billion or 13% driven by a decrease in Windows OEM. Windows OEM revenue decreased 25% as elevated channel inventory levels continued to drive additional weakness beyond declining PC demand. Windows Commercial products and cloud services revenue increased 5% driven by demand for Microsoft 365.
•
Devices revenue decreased $1.8 billion or 24% as elevated channel inventory levels continued to drive additional weakness beyond declining PC demand.
•
Gaming revenue decreased $764 million or 5% driven by declines in Xbox hardware and Xbox content and services. Xbox hardware revenue decreased 11% driven by lower volume and price of consoles sold. Xbox content and services revenue decreased 3% driven by a decline in first-party content, offset in part by growth in Xbox Game Pass.
•
Search and news advertising revenue increased $617 million or 5%. Search and news advertising revenue excluding traffic acquisition costs increased 11% driven by higher search volume and the Xandr acquisition.
Operating income decreased $4.0 billion or 20%.
•
Gross margin decreased $4.2 billion or 13% driven by declines in Windows and Devices. Gross margin percentage decreased driven by a decline in Devices.
•
Operating expenses decreased $195 million or 2% driven by a decline in Devices, offset in part by investments in Search and news advertising, including 2 points of growth from the Xandr acquisition.
Revenue, gross margin, and operating income included an unfavorable foreign currency impact of 3%, 4%, and 6%, respectively. Operating expenses included a favorable foreign currency impact of 2%.
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OPERATING EXPENSES
Research and Development
(In millions, except percentages) 2023 2022 Percentage
Change
Research and development $ 27,195 $ 24,512 11%
As a percent of revenue 13% 12% 1ppt
Research and development expenses include payroll, employee benefits, stock-based compensation expense, and other headcount-related expenses associated with product development. Research and development expenses also include third-party development and programming costs and the amortization of purchased software code and services content.
Fiscal Year 2023 Compared with Fiscal Year 2022
Research and development expenses increased $2.7 billion or 11% driven by investments in cloud engineering and LinkedIn.
Sales and Marketing
(In millions, except percentages) 2023 2022 Percentage
Change
Sales and marketing $ 22,759 $ 21,825 4%
As a percent of revenue 11% 11% 0ppt
Sales and marketing expenses include payroll, employee benefits, stock-based compensation expense, and other headcount-related expenses associated with sales and marketing personnel, and the costs of advertising, promotions, trade shows, seminars, and other programs.
Fiscal Year 2023 Compared with Fiscal Year 2022
Sales and marketing expenses increased $934 million or 4% driven by 3 points of growth from the Nuance and Xandr acquisitions and investments in commercial sales, offset in part by a decline in Windows advertising. Sales and marketing included a favorable foreign currency impact of 2%.
General and Administrative
(In millions, except percentages) 2023 2022 Percentage
Change
General and administrative $ 7,575 $ 5,900 28%
As a percent of revenue 4% 3% 1ppt
General and administrative expenses include payroll, employee benefits, stock-based compensation expense, employee severance expense incurred as part of a corporate program, and other headcount-related expenses associated with finance, legal, facilities, certain human resources and other administrative personnel, certain taxes, and legal and other administrative fees.
Fiscal Year 2023 Compared with Fiscal Year 2022
General and administrative expenses increased $1.7 billion or 28% driven by employee severance expenses and a charge related to a non-public preliminary draft decision provided by the Irish Data Protection Commission. General and administrative included a favorable foreign currency impact of 2%.
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OTHER INCOME (EXPENSE), NET
The components of other income (expense), net were as follows:
(In millions)
Year Ended June 30, 2023 2022
Interest and dividends income $ 2,994 $ 2,094
Interest expense (1,968 ) (2,063 )
Net recognized gains on investments 260 461
Net losses on derivatives (456 ) (52 )
Net gains (losses) on foreign currency remeasurements 181 (75 )
Other, net (223 ) (32 )
Total $ 788 $ 333
We use derivative instruments to manage risks related to foreign currencies, equity prices, interest rates, and credit; enhance investment returns; and facilitate portfolio diversification. Gains and losses from changes in fair values of derivatives that are not designated as hedging instruments are primarily recognized in other income (expense), net.
Fiscal Year 2023 Compared with Fiscal Year 2022
Interest and dividends income increased due to higher yields, offset in part by lower portfolio balances. Interest expense decreased due to a decrease in outstanding long-term debt due to debt maturities. Net recognized gains on investments decreased due to lower gains on equity securities and higher losses on fixed income securities. Net losses on derivatives increased due to losses related to managing strategic investments.
INCOME TAXES
Effective Tax Rate
Our effective tax rate for fiscal years 2023 and 2022 was 19% and 13%, respectively. The increase in our effective tax rate was primarily due to a $3.3 billion net income tax benefit in the first quarter of fiscal year 2022 related to the transfer of intangible properties and a decrease in tax benefits relating to stock-based compensation.
In the first quarter of fiscal year 2022, we transferred certain intangible properties from our Puerto Rico subsidiary to the U.S. The transfer of intangible properties resulted in a $3.3 billion net income tax benefit in the first quarter of fiscal year 2022, as the value of future U.S. tax deductions exceeded the current tax liability from the U.S. global intangible low-taxed income tax.
Our effective tax rate was lower than the U.S. federal statutory rate, primarily due to earnings taxed at lower rates in foreign jurisdictions resulting from producing and distributing our products and services through our foreign regional operations center in Ireland.
The mix of income before income taxes between the U.S. and foreign countries impacted our effective tax rate as a result of the geographic distribution of, and customer demand for, our products and services. In fiscal year 2023, our U.S. income before income taxes was $52.9 billion and our foreign income before income taxes was $36.4 billion. In fiscal year 2022, our U.S. income before income taxes was $47.8 billion and our foreign income before income taxes was $35.9 billion.
Uncertain Tax Positions
We settled a portion of the Internal Revenue Service (“IRS”) audit for tax years 2004 to 2006 in fiscal year 2011. In February 2012, the IRS withdrew its 2011 Revenue Agents Report related to unresolved issues for tax years 2004 to 2006 and reopened the audit phase of the examination. We also settled a portion of the IRS audit for tax years 2007 to 2009 in fiscal year 2016, and a portion of the IRS audit for tax years 2010 to 2013 in fiscal year 2018. In the second quarter of fiscal year 2021, we settled an additional portion of the IRS audits for tax years 2004 to 2013 and made a payment of $1.7 billion, including tax and interest. We remain under audit for tax years 2004 to 2017.
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As of June 30, 2023, the primary unresolved issues for the IRS audits relate to transfer pricing, which could have a material impact in our consolidated financial statements when the matters are resolved. We believe our allowances for income tax contingencies are adequate. We have not received a proposed assessment for the unresolved key transfer pricing issues. We do not expect a final resolution of these issues in the next 12 months. Based on the information currently available, we do not anticipate a significant increase or decrease to our tax contingencies for these issues within the next 12 months.
We are subject to income tax in many jurisdictions outside the U.S. Our operations in certain jurisdictions remain subject to examination for tax years 1996 to 2022, some of which are currently under audit by local tax authorities. The resolution of each of these audits is not expected to be material to our consolidated financial statements.
NON-GAAP FINANCIAL MEASURES
Adjusted gross margin, operating income, net income, and diluted EPS are non-GAAP financial measures. Current year non-GAAP financial measures exclude the impact of the Q2 charge, which includes employee severance expenses, impairment charges resulting from changes to our hardware portfolio, and costs related to lease consolidation activities. Prior year non-GAAP financial measures exclude the net income tax benefit related to transfer of intangible properties in the first quarter of fiscal year 2022. We believe these non-GAAP measures aid investors by providing additional insight into our operational performance and help clarify trends affecting our business. For comparability of reporting, management considers non-GAAP measures in conjunction with GAAP financial results in evaluating business performance. These non-GAAP financial measures presented should not be considered a substitute for, or superior to, the measures of financial performance prepared in accordance with GAAP.
The following table reconciles our financial results reported in accordance with GAAP to non-GAAP financial results:
(In millions, except percentages and per share amounts) 2023 2022 Percentage
Change
Gross margin $ 146,052 $ 135,620 8%
Severance, hardware-related impairment, and lease consolidation costs 152 0 *
Adjusted gross margin (non-GAAP) $ 146,204 $ 135,620 8%
Operating income $ 88,523 $ 83,383 6%
Severance, hardware-related impairment, and lease consolidation costs 1,171 0 *
Adjusted operating income (non-GAAP) $ 89,694 $ 83,383 8%
Net income $ 72,361 $ 72,738 (1)%
Severance, hardware-related impairment, and lease consolidation costs 946 0 *
Net income tax benefit related to transfer of intangible properties 0 (3,291 ) *
Adjusted net income (non-GAAP) $ 73,307 $ 69,447 6%
Diluted earnings per share $ 9.68 $ 9.65 0%
Severance, hardware-related impairment, and lease consolidation costs 0.13 0 *
Net income tax benefit related to transfer of intangible properties 0 (0.44 ) *
Adjusted diluted earnings per share (non-GAAP) $ 9.81 $ 9.21 7%
* Not meaningful.
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LIQUIDITY AND CAPITAL RESOURCES
We expect existing cash, cash equivalents, short-term investments, cash flows from operations, and access to capital markets to continue to be sufficient to fund our operating activities and cash commitments for investing and financing activities, such as dividends, share repurchases, debt maturities, material capital expenditures, and the transition tax related to the Tax Cuts and Jobs Act (“TCJA”), for at least the next 12 months and thereafter for the foreseeable future.
Cash, Cash Equivalents, and Investments
Cash, cash equivalents, and short-term investments totaled $111.3 billion and $104.8 billion as of June 30, 2023 and 2022, respectively. Equity investments were $9.9 billion and $6.9 billion as of June 30, 2023 and 2022, respectively. Our short-term investments are primarily intended to facilitate liquidity and capital preservation. They consist predominantly of highly liquid investment-grade fixed-income securities, diversified among industries and individual issuers. The investments are predominantly U.S. dollar-denominated securities, but also include foreign currency-denominated securities to diversify risk. Our fixed-income investments are exposed to interest rate risk and credit risk. The credit risk and average maturity of our fixed-income portfolio are managed to achieve economic returns that correlate to certain fixed-income indices. The settlement risk related to these investments is insignificant given that the short-term investments held are primarily highly liquid investment-grade fixed-income securities.
Valuation
In general, and where applicable, we use quoted prices in active markets for identical assets or liabilities to determine the fair value of our financial instruments. This pricing methodology applies to our Level 1 investments, such as U.S. government securities, common and preferred stock, and mutual funds. If quoted prices in active markets for identical assets or liabilities are not available to determine fair value, then we use quoted prices for similar assets and liabilities or inputs other than the quoted prices that are observable either directly or indirectly. This pricing methodology applies to our Level 2 investments, such as commercial paper, certificates of deposit, U.S. agency securities, foreign government bonds, mortgage- and asset-backed securities, corporate notes and bonds, and municipal securities. Level 3 investments are valued using internally-developed models with unobservable inputs. Assets and liabilities measured at fair value on a recurring basis using unobservable inputs are an immaterial portion of our portfolio.
A majority of our investments are priced by pricing vendors and are generally Level 1 or Level 2 investments as these vendors either provide a quoted market price in an active market or use observable inputs for their pricing without applying significant adjustments. Broker pricing is used mainly when a quoted price is not available, the investment is not priced by our pricing vendors, or when a broker price is more reflective of fair values in the market in which the investment trades. Our broker-priced investments are generally classified as Level 2 investments because the broker prices these investments based on similar assets without applying significant adjustments. In addition, all our broker-priced investments have a sufficient level of trading volume to demonstrate that the fair values used are appropriate for these investments. Our fair value processes include controls that are designed to ensure appropriate fair values are recorded. These controls include model validation, review of key model inputs, analysis of period-over-period fluctuations, and independent recalculation of prices where appropriate.
Cash Flows
Cash from operations decreased $1.5 billion to $87.6 billion for fiscal year 2023, mainly due to an increase in cash paid to employees and suppliers and cash used to pay income taxes, offset in part by an increase in cash received from customers. Cash used in financing decreased $14.9 billion to $43.9 billion for fiscal year 2023, mainly due to a $10.5 billion decrease in common stock repurchases and a $6.3 billion decrease in repayments of debt, offset in part by a $1.7 billion increase in dividends paid. Cash used in investing decreased $7.6 billion to $22.7 billion for fiscal year 2023, due to a $20.4 billion decrease in cash used for acquisitions of companies, net of cash acquired, and purchases of intangible and other assets, offset in part by a $8.2 billion decrease in cash from net investment purchases, sales, and maturities, and a $4.2 billion increase in additions to property and equipment.
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Debt Proceeds
We issue debt to take advantage of favorable pricing and liquidity in the debt markets, reflecting our credit rating and the low interest rate environment. The proceeds of these issuances were or will be used for general corporate purposes, which may include, among other things, funding for working capital, capital expenditures, repurchases of capital stock, acquisitions, and repayment of existing debt. Refer to Note 11 – Debt of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for further discussion.
Unearned Revenue
Unearned revenue comprises mainly unearned revenue related to volume licensing programs, which may include Software Assurance (“SA”) and cloud services. Unearned revenue is generally invoiced annually at the beginning of each contract period for multi-year agreements and recognized ratably over the coverage period. Unearned revenue also includes payments for other offerings for which we have been paid in advance and earn the revenue when we transfer control of the product or service. Refer to Note 1 – Accounting Policies of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for further discussion.
The following table outlines the expected future recognition of unearned revenue as of June 30, 2023:
(In millions)
Three Months Ending
September 30, 2023 $ 19,673
December 31, 2023 15,600
March 31, 2024 10,801
June 30, 2024 4,827
Thereafter 2,912
Total $ 53,813
If our customers choose to license cloud-based versions of our products and services rather than licensing transaction-based products and services, the associated revenue will shift from being recognized at the time of the transaction to being recognized over the subscription period or upon consumption, as applicable. Refer to Note 13 – Unearned Revenue of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for further discussion.
Material Cash Requirements and Other Obligations
Contractual Obligations
The following table summarizes the payments due by fiscal year for our outstanding contractual obligations as of June 30, 2023:
(In millions) 2024 Thereafter Total
Long-term debt: (a)
Principal payments $ 5,250 $ 47,616 $ 52,866
Interest payments 1,379 19,746 21,125
Construction commitments (b) 12,237 1,218 13,455
Operating and finance leases, including imputed interest (c) 5,988 73,852 79,840
Purchase commitments (d) 64,703 3,115 67,818
Total $ 89,557 $ 145,547 $ 235,104
(a)
Refer to Note 11 – Debt of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K).
(b)
Refer to Note 7 – Property and Equipment of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K).
(c)
Refer to Note 14 – Leases of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K).
(d)
Purchase commitments primarily relate to datacenters and include open purchase orders and take-or-pay contracts that are not presented as construction commitments above.
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Income Taxes
As a result of the TCJA, we are required to pay a one-time transition tax on deferred foreign income not previously subject to U.S. income tax. Under the TCJA, the transition tax is payable in interest-free installments over eight years, with 8% due in each of the first five years, 15% in year six, 20% in year seven, and 25% in year eight. We have paid transition tax of $7.7 billion, which included $1.5 billion for fiscal year 2023. The remaining transition tax of $10.5 billion is payable over the next three years, with $2.7 billion payable within 12 months.
In fiscal year 2023, we paid cash tax of $4.8 billion due to the mandatory capitalization for tax purposes of research and development expenditures enacted by the TCJA and effective on July 1, 2022.
Share Repurchases
During fiscal years 2023 and 2022, we repurchased 69 million shares and 95 million shares of our common stock for $18.4 billion and $28.0 billion, respectively, through our share repurchase programs. All repurchases were made using cash resources. As of June 30, 2023, $22.3 billion remained of our $60 billion share repurchase program. Refer to Note 16 – Stockholders’ Equity of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for further discussion.
Dividends
During fiscal year 2023 and 2022, our Board of Directors declared quarterly dividends of $0.68 per share and $0.62 per share, totaling $20.2 billion and $18.6 billion, respectively. We intend to continue returning capital to shareholders in the form of dividends, subject to declaration by our Board of Directors. Refer to Note 16 – Stockholders’ Equity of the Notes to Financial Statements (Part II, Item 8 of this Form 10-K) for further discussion.
Other Planned Uses of Capital
On January 18, 2022, we entered into a definitive agreement to acquire Activision Blizzard, Inc. (“Activision Blizzard”) for $95.00 per share in an all-cash transaction valued at $68.7 billion, inclusive of Activision Blizzard’s net cash. The acquisition has been approved by Activision Blizzard’s shareholders. We continue to work toward closing the transaction subject to obtaining required regulatory approvals and satisfaction of other customary closing conditions. Microsoft and Activision Blizzard have jointly agreed to extend the merger agreement through October 18, 2023 to allow for additional time to resolve remaining regulatory concerns.
We will continue to invest in sales, marketing, product support infrastructure, and existing and advanced areas of technology, as well as acquisitions that align with our business strategy. Additions to property and equipment will continue, including new facilities, datacenters, and computer systems for research and development, sales and marketing, support, and administrative staff. We expect capital expenditures to increase in coming years to support growth in our cloud offerings and our investments in AI infrastructure. We have operating and finance leases for datacenters, corporate offices, research and development facilities, Microsoft Experience Centers, and certain equipment. We have not engaged in any related party transactions or arrangements with unconsolidated entities or other persons that are reasonably likely to materially affect liquidity or the availability of capital resources.
CRITICAL ACCOUNTING ESTIMATES
Our consolidated financial statements and accompanying notes are prepared in accordance with GAAP. Preparing consolidated financial statements requires management to make estimates and assumptions that affect the reported amounts of assets, liabilities, revenue, and expenses. Critical accounting estimates are those estimates that involve a significant level of estimation uncertainty and could have a material impact on our financial condition or results of operations. We have critical accounting estimates in the areas of revenue recognition, impairment of investment securities, goodwill, research and development costs, legal and other contingencies, income taxes, and inventories.
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Revenue Recognition
Our contracts with customers often include promises to transfer multiple products and services to a customer. Determining whether products and services are considered distinct performance obligations that should be accounted for separately versus together may require significant judgment. When a cloud-based service includes both on-premises software licenses and cloud services, judgment is required to determine whether the software license is considered distinct and accounted for separately, or not distinct and accounted for together with the cloud service and recognized over time. Certain cloud services, primarily Office 365, depend on a significant level of integration, interdependency, and interrelation between the desktop applications and cloud services, and are accounted for together as one performance obligation. Revenue from Office 365 is recognized ratably over the period in which the cloud services are provided.
Judgment is required to determine the stand-alone selling price (“SSP") for each distinct performance obligation. We use a single amount to estimate SSP for items that are not sold separately, including on-premises licenses sold with SA or software updates provided at no additional charge. We use a range of amounts to estimate SSP when we sell each of the products and services separately and need to determine whether there is a discount to be allocated based on the relative SSP of the various products and services.
In instances where SSP is not directly observable, such as when we do not sell the product or service separately, we determine the SSP using information that may include market conditions and other observable inputs. We typically have more than one SSP for individual products and services due to the stratification of those products and services by customers and circumstances. In these instances, we may use information such as the size of the customer and geographic region in determining the SSP.
Due to the various benefits from and the nature of our SA program, judgment is required to assess the pattern of delivery, including the exercise pattern of certain benefits across our portfolio of customers.
Our products are generally sold with a right of return, we may provide other credits or incentives, and in certain instances we estimate customer usage of our products and services, which are accounted for as variable consideration when determining the amount of revenue to recognize. Returns and credits are estimated at contract inception and updated at the end of each reporting period if additional information becomes available. Changes to our estimated variable consideration were not material for the periods presented.
Impairment of Investment Securities
We review debt investments quarterly for credit losses and impairment. If the cost of an investment exceeds its fair value, we evaluate, among other factors, general market conditions, credit quality of debt instrument issuers, and the extent to which the fair value is less than cost. This determination requires significant judgment. In making this judgment, we employ a systematic methodology that considers available quantitative and qualitative evidence in evaluating potential impairment of our investments. In addition, we consider specific adverse conditions related to the financial health of, and business outlook for, the investee. If we have plans to sell the security or it is more likely than not that we will be required to sell the security before recovery, then a decline in fair value below cost is recorded as an impairment charge in other income (expense), net and a new cost basis in the investment is established. If market, industry, and/or investee conditions deteriorate, we may incur future impairments.
Equity investments without readily determinable fair values are written down to fair value if a qualitative assessment indicates that the investment is impaired and the fair value of the investment is less than carrying value. We perform a qualitative assessment on a periodic basis. We are required to estimate the fair value of the investment to determine the amount of the impairment loss. Once an investment is determined to be impaired, an impairment charge is recorded in other income (expense), net.
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Goodwill
We allocate goodwill to reporting units based on the reporting unit expected to benefit from the business combination. We evaluate our reporting units on an annual basis and, if necessary, reassign goodwill using a relative fair value allocation approach. Goodwill is tested for impairment at the reporting unit level (operating segment or one level below an operating segment) on an annual basis (May 1) and between annual tests if an event occurs or circumstances change that would more likely than not reduce the fair value of a reporting unit below its carrying value. These events or circumstances could include a significant change in the business climate, legal factors, operating performance indicators, competition, or sale or disposition of a significant portion of a reporting unit.
Application of the goodwill impairment test requires judgment, including the identification of reporting units, assignment of assets and liabilities to reporting units, assignment of goodwill to reporting units, and determination of the fair value of each reporting unit. The fair value of each reporting unit is estimated primarily through the use of a discounted cash flow methodology. This analysis requires significant judgments, including estimation of future cash flows, which is dependent on internal forecasts, estimation of the long-term rate of growth for our business, estimation of the useful life over which cash flows will occur, and determination of our weighted average cost of capital.
The estimates used to calculate the fair value of a reporting unit change from year to year based on operating results, market conditions, and other factors. Changes in these estimates and assumptions could materially affect the determination of fair value and goodwill impairment for each reporting unit.
Research and Development Costs
Costs incurred internally in researching and developing a computer software product are charged to expense until technological feasibility has been established for the product. Once technological feasibility is established, software costs are capitalized until the product is available for general release to customers. Judgment is required in determining when technological feasibility of a product is established. We have determined that technological feasibility for our software products is reached after all high-risk development issues have been resolved through coding and testing. Generally, this occurs shortly before the products are released to production. The amortization of these costs is included in cost of revenue over the estimated life of the products.
Legal and Other Contingencies
The outcomes of legal proceedings and claims brought against us are subject to significant uncertainty. An estimated loss from a loss contingency such as a legal proceeding or claim is accrued by a charge to income if it is probable that an asset has been impaired or a liability has been incurred and the amount of the loss can be reasonably estimated. In determining whether a loss should be accrued we evaluate, among other factors, the degree of probability of an unfavorable outcome and the ability to make a reasonable estimate of the amount of loss. Changes in these factors could materially impact our consolidated financial statements.
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Income Taxes
The objectives of accounting for income taxes are to recognize the amount of taxes payable or refundable for the current year, and deferred tax liabilities and assets for the future tax consequences of events that have been recognized in an entity’s financial statements or tax returns. We recognize the tax benefit from an uncertain tax position only if it is more likely than not that the tax position will be sustained on examination by the taxing authorities, based on the technical merits of the position. The tax benefits recognized in the financial statements from such a position are measured based on the largest benefit that has a greater than 50% likelihood of being realized upon ultimate settlement. Accounting literature also provides guidance on derecognition of income tax assets and liabilities, classification of deferred income tax assets and liabilities, accounting for interest and penalties associated with tax positions, and income tax disclosures. Judgment is required in assessing the future tax consequences of events that have been recognized in our consolidated financial statements or tax returns. Variations in the actual outcome of these future tax consequences could materially impact our consolidated financial statements.
Inventories
Inventories are stated at average cost, subject to the lower of cost or net realizable value. Cost includes materials, labor, and manufacturing overhead related to the purchase and production of inventories. Net realizable value is the estimated selling price less estimated costs of completion, disposal, and transportation. We regularly review inventory quantities on hand, future purchase commitments with our suppliers, and the estimated utility of our inventory. These reviews include analysis of demand forecasts, product life cycle status, product development plans, current sales levels, pricing strategy, and component cost trends. If our review indicates a reduction in utility below carrying value, we reduce our inventory to a new cost basis through a charge to cost of revenue.
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Item 7
STATEMENT OF MANAGEMENT’S RESPONSIBILITY FOR FINANCIAL STATEMENTS
Management is responsible for the preparation of the consolidated financial statements and related information that are presented in this report. The consolidated financial statements, which include amounts based on management’s estimates and judgments, have been prepared in conformity with accounting principles generally accepted in the United States of America.
The Company designs and maintains accounting and internal control systems to provide reasonable assurance at reasonable cost that assets are safeguarded against loss from unauthorized use or disposition, and that the financial records are reliable for preparing consolidated financial statements and maintaining accountability for assets. These systems are augmented by written policies, an organizational structure providing division of responsibilities, careful selection and training of qualified personnel, and a program of internal audits.
The Company engaged Deloitte & Touche LLP, an independent registered public accounting firm, to audit and render an opinion on the consolidated financial statements and internal control over financial reporting in accordance with the standards of the Public Company Accounting Oversight Board (United States).
The Board of Directors, through its Audit Committee, consisting solely of independent directors of the Company, meets periodically with management, internal auditors, and our independent registered public accounting firm to ensure that each is meeting its responsibilities and to discuss matters concerning internal controls and financial reporting. Deloitte & Touche LLP and the internal auditors each have full and free access to the Audit Committee.
Satya Nadella
Chief Executive Officer
Amy E. Hood
Executive Vice President and Chief Financial Officer
Alice L. Jolla
Corporate Vice President and Chief Accounting Officer
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Item 7A
ITEM 7A. QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK
RISKS
We are exposed to economic risk from foreign exchange rates, interest rates, credit risk, and equity prices. We use derivatives instruments to manage these risks, however, they may still impact our consolidated financial statements.
Foreign Currencies
Certain forecasted transactions, assets, and liabilities are exposed to foreign currency risk. We monitor our foreign currency exposures daily to maximize the economic effectiveness of our foreign currency positions, including hedges. Principal currency exposures include the Euro, Japanese yen, British pound, Canadian dollar, and Australian dollar.
Interest Rate
Securities held in our fixed-income portfolio are subject to different interest rate risks based on their maturities. We manage the average maturity of the fixed-income portfolio to achieve economic returns that correlate to certain global fixed-income indices.
Credit
Our fixed-income portfolio is diversified and consists primarily of investment-grade securities. We manage credit exposures relative to broad-based indices to facilitate portfolio diversification.
Equity
Securities held in our equity investments portfolio are subject to price risk.
SENSITIVITY ANALYSIS
The following table sets forth the potential loss in future earnings or fair values, including associated derivatives, resulting from hypothetical changes in relevant market rates or prices:
(In millions)
Risk Categories Hypothetical Change June 30,
2023 Impact
Foreign currency – Revenue 10% decrease in foreign exchange rates $ (8,122 ) Earnings
Foreign currency – Investments 10% decrease in foreign exchange rates (29 ) Fair Value
Interest rate 100 basis point increase in U.S. treasury interest rates (1,832 ) Fair Value
Credit 100 basis point increase in credit spreads (354 ) Fair Value
Equity 10% decrease in equity market prices (705 ) Earnings
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Item 8
ITEM 8. FINANCIAL STATEMENTS AND SUPPLEMENTARY DATA
INCOME STATEMENTS
(In millions, except per share amounts)
Year Ended June 30, 2023 2022 2021
Revenue:
Product $ 64,699 $ 72,732 $ 71,074
Service and other 147,216 125,538 97,014
Total revenue 211,915 198,270 168,088
Cost of revenue:
Product 17,804 19,064 18,219
Service and other 48,059 43,586 34,013
Total cost of revenue 65,863 62,650 52,232
Gross margin 146,052 135,620 115,856
Research and development 27,195 24,512 20,716
Sales and marketing 22,759 21,825 20,117
General and administrative 7,575 5,900 5,107
Operating income 88,523 83,383 69,916
Other income, net 788 333 1,186
Income before income taxes 89,311 83,716 71,102
Provision for income taxes 16,950 10,978 9,831
Net income $ 72,361 $ 72,738 $ 61,271
Earnings per share:
Basic $ 9.72 $ 9.70 $ 8.12
Diluted $ 9.68 $ 9.65 $ 8.05
Weighted average shares outstanding:
Basic 7,446 7,496 7,547
Diluted 7,472 7,540 7,608
Refer to accompanying notes.
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Item 8
COMPREHENSIVE INCOME STATEMENTS
(In millions)
Year Ended June 30, 2023 2022 2021
Net income $ 72,361 $ 72,738 $ 61,271
Other comprehensive income (loss), net of tax:
Net change related to derivatives (14 ) 6 19
Net change related to investments (1,444 ) (5,360 ) (2,266 )
Translation adjustments and other (207 ) (1,146 ) 873
Other comprehensive loss (1,665 ) (6,500 ) (1,374 )
Comprehensive income $ 70,696 $ 66,238 $ 59,897
Refer to accompanying notes.
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Item 8
BALANCE SHEETS
(In millions)
June 30, 2023 2022
Assets
Current assets:
Cash and cash equivalents $ 34,704 $ 13,931
Short-term investments 76,558 90,826
Total cash, cash equivalents, and short-term investments 111,262 104,757
Accounts receivable, net of allowance for doubtful accounts of $650 and $633 48,688 44,261
Inventories 2,500 3,742
Other current assets 21,807 16,924
Total current assets 184,257 169,684
Property and equipment, net of accumulated depreciation of $68,251 and $59,660 95,641 74,398
Operating lease right-of-use assets 14,346 13,148
Equity investments 9,879 6,891
Goodwill 67,886 67,524
Intangible assets, net 9,366 11,298
Other long-term assets 30,601 21,897
Total assets $ 411,976 $ 364,840
Liabilities and stockholders’ equity
Current liabilities:
Accounts payable $ 18,095 $ 19,000
Current portion of long-term debt 5,247 2,749
Accrued compensation 11,009 10,661
Short-term income taxes 4,152 4,067
Short-term unearned revenue 50,901 45,538
Other current liabilities 14,745 13,067
Total current liabilities 104,149 95,082
Long-term debt 41,990 47,032
Long-term income taxes 25,560 26,069
Long-term unearned revenue 2,912 2,870
Deferred income taxes 433 230
Operating lease liabilities 12,728 11,489
Other long-term liabilities 17,981 15,526
Total liabilities 205,753 198,298
Commitments and contingencies
Stockholders’ equity:
Common stock and paid-in capital – shares authorized 24,000; outstanding 7,432 and 7,464 93,718 86,939
Retained earnings 118,848 84,281
Accumulated other comprehensive loss (6,343 ) (4,678 )
Total stockholders’ equity 206,223 166,542
Total liabilities and stockholders’ equity $ 411,976 $ 364,840
Refer to accompanying notes.
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Item 8
CASH FLOWS STATEMENTS
(In millions)
Year Ended June 30, 2023 2022 2021
Operations
Net income $ 72,361 $ 72,738 $ 61,271
Adjustments to reconcile net income to net cash from operations:
Depreciation, amortization, and other 13,861 14,460 11,686
Stock-based compensation expense 9,611 7,502 6,118
Net recognized losses (gains) on investments and derivatives 196 (409 ) (1,249 )
Deferred income taxes (6,059 ) (5,702 ) (150 )
Changes in operating assets and liabilities:
Accounts receivable (4,087 ) (6,834 ) (6,481 )
Inventories 1,242 (1,123 ) (737 )
Other current assets (1,991 ) (709 ) (932 )
Other long-term assets (2,833 ) (2,805 ) (3,459 )
Accounts payable (2,721 ) 2,943 2,798
Unearned revenue 5,535 5,109 4,633
Income taxes (358 ) 696 (2,309 )
Other current liabilities 2,272 2,344 4,149
Other long-term liabilities 553 825 1,402
Net cash from operations 87,582 89,035 76,740
Financing
Cash premium on debt exchange 0 0 (1,754 )
Repayments of debt (2,750 ) (9,023 ) (3,750 )
Common stock issued 1,866 1,841 1,693
Common stock repurchased (22,245 ) (32,696 ) (27,385 )
Common stock cash dividends paid (19,800 ) (18,135 ) (16,521 )
Other, net (1,006 ) (863 ) (769 )
Net cash used in financing (43,935 ) (58,876 ) (48,486 )
Investing
Additions to property and equipment (28,107 ) (23,886 ) (20,622 )
Acquisition of companies, net of cash acquired, and purchases of intangible and other assets (1,670 ) (22,038 ) (8,909 )
Purchases of investments (37,651 ) (26,456 ) (62,924 )
Maturities of investments 33,510 16,451 51,792
Sales of investments 14,354 28,443 14,008
Other, net (3,116 ) (2,825 ) (922 )
Net cash used in investing (22,680 ) (30,311 ) (27,577 )
Effect of foreign exchange rates on cash and cash equivalents (194 ) (141 ) (29 )
Net change in cash and cash equivalents 20,773 (293 ) 648
Cash and cash equivalents, beginning of period 13,931 14,224 13,576
Cash and cash equivalents, end of period $ 34,704 $ 13,931 $ 14,224
Refer to accompanying notes.
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Item 8
STOCKHOLDERS’ EQUITY STATEMENTS
(In millions, except per share amounts)
Year Ended June 30, 2023 2022 2021
Common stock and paid-in capital
Balance, beginning of period $ 86,939 $ 83,111 $ 80,552
Common stock issued 1,866 1,841 1,963
Common stock repurchased (4,696 ) (5,688 ) (5,539 )
Stock-based compensation expense 9,611 7,502 6,118
Other, net (2 ) 173 17
Balance, end of period 93,718 86,939 83,111
Retained earnings
Balance, beginning of period 84,281 57,055 34,566
Net income 72,361 72,738 61,271
Common stock cash dividends (20,226 ) (18,552 ) (16,871 )
Common stock repurchased (17,568 ) (26,960 ) (21,879 )
Cumulative effect of accounting changes 0 0 (32 )
Balance, end of period 118,848 84,281 57,055
Accumulated other comprehensive income (loss)
Balance, beginning of period (4,678 ) 1,822 3,186
Other comprehensive loss (1,665 ) (6,500 ) (1,374 )
Cumulative effect of accounting changes 0 0 10
Balance, end of period (6,343 ) (4,678 ) 1,822
Total stockholders’ equity $ 206,223 $ 166,542 $ 141,988
Cash dividends declared per common share $ 2.72 $ 2.48 $ 2.24
Refer to accompanying notes.
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NOTES TO FINANCIAL STATEMENTS
NOTE 1 — ACCOUNTING POLICIES
Accounting Principles
Our consolidated financial statements and accompanying notes are prepared in accordance with accounting principles generally accepted in the United States of America (“GAAP”).
We have recast certain prior period amounts to conform to the current period presentation. The recast of these prior period amounts had no impact on our consolidated balance sheets, consolidated income statements, or consolidated cash flows statements.
Principles of Consolidation
The consolidated financial statements include the accounts of Microsoft Corporation and its subsidiaries. Intercompany transactions and balances have been eliminated.
Estimates and Assumptions
Preparing financial statements requires management to make estimates and assumptions that affect the reported amounts of assets, liabilities, revenue, and expenses. Examples of estimates and assumptions include: for revenue recognition, determining the nature and timing of satisfaction of performance obligations, and determining the standalone selling price (“SSP”) of performance obligations, variable consideration, and other obligations such as product returns and refunds; loss contingencies; product warranties; the fair value of and/or potential impairment of goodwill and intangible assets for our reporting units; product life cycles; useful lives of our tangible and intangible assets; allowances for doubtful accounts; the market value of, and demand for, our inventory; stock-based compensation forfeiture rates; when technological feasibility is achieved for our products; the potential outcome of uncertain tax positions that have been recognized in our consolidated financial statements or tax returns; and determining the timing and amount of impairments for investments. Actual results and outcomes may differ from management’s estimates and assumptions due to risks and uncertainties.
In July 2022, we completed an assessment of the useful lives of our server and network equipment. Due to investments in software that increased efficiencies in how we operate our server and network equipment, as well as advances in technology, we determined we should increase the estimated useful lives of both server and network equipment from four years to six years. This change in accounting estimate was effective beginning fiscal year 2023. Based on the carrying amount of server and network equipment included in property and equipment, net as of June 30, 2022, the effect of this change in estimate for fiscal year 2023 was an increase in operating income of $3.7 billion and net income of $3.0 billion, or $0.40 per both basic and diluted share.
Foreign Currencies
Assets and liabilities recorded in foreign currencies are translated at the exchange rate on the balance sheet date. Revenue and expenses are translated at average rates of exchange prevailing during the year. Translation adjustments resulting from this process are recorded to other comprehensive income.
Revenue
Product Revenue and Service and Other Revenue
Product revenue includes sales from operating systems, cross-device productivity and collaboration applications, server applications, business solution applications, desktop and server management tools, software development tools, video games, and hardware such as PCs, tablets, gaming and entertainment consoles, other intelligent devices, and related accessories.
Service and other revenue includes sales from cloud-based solutions that provide customers with software, services, platforms, and content such as Office 365, Azure, Dynamics 365, and Xbox; solution support; and consulting services. Service and other revenue also includes sales from online advertising and LinkedIn.
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Revenue Recognition
Revenue is recognized upon transfer of control of promised products or services to customers in an amount that reflects the consideration we expect to receive in exchange for those products or services. We enter into contracts that can include various combinations of products and services, which are generally capable of being distinct and accounted for as separate performance obligations. Revenue is recognized net of allowances for returns and any taxes collected from customers, which are subsequently remitted to governmental authorities.
Nature of Products and Services
Licenses for on-premises software provide the customer with a right to use the software as it exists when made available to the customer. Customers may purchase perpetual licenses or subscribe to licenses, which provide customers with the same functionality and differ mainly in the duration over which the customer benefits from the software. Revenue from distinct on-premises licenses is recognized upfront at the point in time when the software is made available to the customer. In cases where we allocate revenue to software updates, primarily because the updates are provided at no additional charge, revenue is recognized as the updates are provided, which is generally ratably over the estimated life of the related device or license.
Certain volume licensing programs, including Enterprise Agreements, include on-premises licenses combined with Software Assurance (“SA”). SA conveys rights to new software and upgrades released over the contract period and provides support, tools, and training to help customers deploy and use products more efficiently. On-premises licenses are considered distinct performance obligations when sold with SA. Revenue allocated to SA is generally recognized ratably over the contract period as customers simultaneously consume and receive benefits, given that SA comprises distinct performance obligations that are satisfied over time.
Cloud services, which allow customers to use hosted software over the contract period without taking possession of the software, are provided on either a subscription or consumption basis. Revenue related to cloud services provided on a subscription basis is recognized ratably over the contract period. Revenue related to cloud services provided on a consumption basis, such as the amount of storage used in a period, is recognized based on the customer utilization of such resources. When cloud services require a significant level of integration and interdependency with software and the individual components are not considered distinct, all revenue is recognized over the period in which the cloud services are provided.
Revenue from search advertising is recognized when the advertisement appears in the search results or when the action necessary to earn the revenue has been completed. Revenue from consulting services is recognized as services are provided.
Our hardware is generally highly dependent on, and interrelated with, the underlying operating system and cannot function without the operating system. In these cases, the hardware and software license are accounted for as a single performance obligation and revenue is recognized at the point in time when ownership is transferred to resellers or directly to end customers through retail stores and online marketplaces.
Refer to Note 19 – Segment Information and Geographic Data for further information, including revenue by significant product and service offering.
Significant Judgments
Our contracts with customers often include promises to transfer multiple products and services to a customer. Determining whether products and services are considered distinct performance obligations that should be accounted for separately versus together may require significant judgment. When a cloud-based service includes both on-premises software licenses and cloud services, judgment is required to determine whether the software license is considered distinct and accounted for separately, or not distinct and accounted for together with the cloud service and recognized over time. Certain cloud services, primarily Office 365, depend on a significant level of integration, interdependency, and interrelation between the desktop applications and cloud services, and are accounted for together as one performance obligation. Revenue from Office 365 is recognized ratably over the period in which the cloud services are provided.
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Judgment is required to determine the SSP for each distinct performance obligation. We use a single amount to estimate SSP for items that are not sold separately, including on-premises licenses sold with SA or software updates provided at no additional charge. We use a range of amounts to estimate SSP when we sell each of the products and services separately and need to determine whether there is a discount to be allocated based on the relative SSP of the various products and services.
In instances where SSP is not directly observable, such as when we do not sell the product or service separately, we determine the SSP using information that may include market conditions and other observable inputs. We typically have more than one SSP for individual products and services due to the stratification of those products and services by customers and circumstances. In these instances, we may use information such as the size of the customer and geographic region in determining the SSP.
Due to the various benefits from and the nature of our SA program, judgment is required to assess the pattern of delivery, including the exercise pattern of certain benefits across our portfolio of customers.
Our products are generally sold with a right of return, we may provide other credits or incentives, and in certain instances we estimate customer usage of our products and services, which are accounted for as variable consideration when determining the amount of revenue to recognize. Returns and credits are estimated at contract inception and updated at the end of each reporting period if additional information becomes available. Changes to our estimated variable consideration were not material for the periods presented.
Contract Balances and Other Receivables
Timing of revenue recognition may differ from the timing of invoicing to customers. We record a receivable when revenue is recognized prior to invoicing, or unearned revenue when revenue is recognized subsequent to invoicing. For multi-year agreements, we generally invoice customers annually at the beginning of each annual coverage period. We record a receivable related to revenue recognized for multi-year on-premises licenses as we have an unconditional right to invoice and receive payment in the future related to those licenses.
Unearned revenue comprises mainly unearned revenue related to volume licensing programs, which may include SA and cloud services. Unearned revenue is generally invoiced annually at the beginning of each contract period for multi-year agreements and recognized ratably over the coverage period. Unearned revenue also includes payments for consulting services to be performed in the future, LinkedIn subscriptions, Office 365 subscriptions, Xbox subscriptions, Windows post-delivery support, Dynamics business solutions, and other offerings for which we have been paid in advance and earn the revenue when we transfer control of the product or service.
Refer to Note 13 – Unearned Revenue for further information, including unearned revenue by segment and changes in unearned revenue during the period.
Payment terms and conditions vary by contract type, although terms generally include a requirement of payment within 30 to 60 days. In instances where the timing of revenue recognition differs from the timing of invoicing, we have determined our contracts generally do not include a significant financing component. The primary purpose of our invoicing terms is to provide customers with simplified and predictable ways of purchasing our products and services, not to receive financing from our customers or to provide customers with financing. Examples include invoicing at the beginning of a subscription term with revenue recognized ratably over the contract period, and multi-year on-premises licenses that are invoiced annually with revenue recognized upfront.
As of June 30, 2023 and 2022, long-term accounts receivable, net of allowance for doubtful accounts, was $4.5 billion and $3.8 billion, respectively, and is included in other long-term assets in our consolidated balance sheets.
The allowance for doubtful accounts reflects our best estimate of probable losses inherent in the accounts receivable balance. We determine the allowance based on known troubled accounts, historical experience, and other currently available evidence.
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Activity in the allowance for doubtful accounts was as follows:
(In millions)
Year Ended June 30, 2023 2022 2021
Balance, beginning of period $ 710 $ 798 $ 816
Charged to costs and other 258 157 234
Write-offs (252 ) (245 ) (252 )
Balance, end of period $ 716 $ 710 $ 798
Allowance for doubtful accounts included in our consolidated balance sheets:
(In millions)
June 30, 2023 2022 2021
Accounts receivable, net of allowance for doubtful accounts $ 650 $ 633 $ 751
Other long-term assets 66 77 47
Total $ 716 $ 710 $ 798
As of June 30, 2023 and 2022, other receivables related to activities to facilitate the purchase of server components were $9.2 billion and $6.1 billion, respectively, and are included in other current assets in our consolidated balance sheets.
We record financing receivables when we offer certain of our customers the option to acquire our software products and services offerings through a financing program in a limited number of countries. As of June 30, 2023 and 2022, our financing receivables, net were $5.3 billion and $4.1 billion, respectively, for short-term and long-term financing receivables, which are included in other current assets and other long-term assets in our consolidated balance sheets. We record an allowance to cover expected losses based on troubled accounts, historical experience, and other currently available evidence.
Assets Recognized from Costs to Obtain a Contract with a Customer
We recognize an asset for the incremental costs of obtaining a contract with a customer if we expect the benefit of those costs to be longer than one year. We have determined that certain sales incentive programs meet the requirements to be capitalized. Total capitalized costs to obtain a contract were immaterial during the periods presented and are included in other current and long-term assets in our consolidated balance sheets.
We apply a practical expedient to expense costs as incurred for costs to obtain a contract with a customer when the amortization period would have been one year or less. These costs include our internal sales organization compensation program and certain partner sales incentive programs as we have determined annual compensation is commensurate with annual sales activities.
Cost of Revenue
Cost of revenue includes: manufacturing and distribution costs for products sold and programs licensed; operating costs related to product support service centers and product distribution centers; costs incurred to include software on PCs sold by original equipment manufacturers (“OEM”), to drive traffic to our websites, and to acquire online advertising space; costs incurred to support and maintain cloud-based and other online products and services, including datacenter costs and royalties; warranty costs; inventory valuation adjustments; costs associated with the delivery of consulting services; and the amortization of capitalized software development costs. Capitalized software development costs are amortized over the estimated lives of the products.
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Product Warranty
We provide for the estimated costs of fulfilling our obligations under hardware and software warranties at the time the related revenue is recognized. For hardware warranties, we estimate the costs based on historical and projected product failure rates, historical and projected repair costs, and knowledge of specific product failures (if any). The specific hardware warranty terms and conditions vary depending upon the product sold and the country in which we do business, but generally include parts and labor over a period generally ranging from 90 days to three years. For software warranties, we estimate the costs to provide bug fixes, such as security patches, over the estimated life of the software. We regularly reevaluate our estimates to assess the adequacy of the recorded warranty liabilities and adjust the amounts as necessary.
Research and Development
Research and development expenses include payroll, employee benefits, stock-based compensation expense, and other headcount-related expenses associated with product development. Research and development expenses also include third-party development and programming costs and the amortization of purchased software code and services content. Such costs related to software development are included in research and development expense until the point that technological feasibility is reached, which for our software products, is generally shortly before the products are released to production. Once technological feasibility is reached, such costs are capitalized and amortized to cost of revenue over the estimated lives of the products.
Sales and Marketing
Sales and marketing expenses include payroll, employee benefits, stock-based compensation expense, and other headcount-related expenses associated with sales and marketing personnel, and the costs of advertising, promotions, trade shows, seminars, and other programs. Advertising costs are expensed as incurred. Advertising expense was $904 million, $1.5 billion, and $1.5 billion in fiscal years 2023, 2022, and 2021, respectively.
Stock-Based Compensation
Compensation cost for stock awards, which include restricted stock units (“RSUs”) and performance stock units (“PSUs”), is measured at the fair value on the grant date and recognized as expense, net of estimated forfeitures, over the related service or performance period. The fair value of stock awards is based on the quoted price of our common stock on the grant date less the present value of expected dividends not received during the vesting period. We measure the fair value of PSUs using a Monte Carlo valuation model. Compensation cost for RSUs is recognized using the straight-line method and for PSUs is recognized using the accelerated method.
Compensation expense for the employee stock purchase plan (“ESPP”) is measured as the discount the employee is entitled to upon purchase and is recognized in the period of purchase.
Employee Severance
On January 18, 2023, we announced a decision to reduce our overall workforce by approximately 10,000 jobs through the third quarter of fiscal year 2023. During the three months ended December 31, 2022, we recorded $800 million of employee severance expenses related to these job eliminations as part of an ongoing employee benefit plan. These employee severance expenses were incurred as part of a corporate program, and were included in general and administrative expenses in our consolidated income statements and allocated to our segments based on relative gross margin. Refer to Note 19 – Segment Information and Geographic Data for further information.
Income Taxes
Income tax expense includes U.S. and international income taxes, and interest and penalties on uncertain tax positions. Certain income and expenses are not reported in tax returns and financial statements in the same year. The tax effect of such temporary differences is reported as deferred income taxes. Deferred tax assets are reported net of a valuation allowance when it is more likely than not that a tax benefit will not be realized. All deferred income taxes are classified as long-term in our consolidated balance sheets.
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Financial Instruments
Investments
We consider all highly liquid interest-earning investments with a maturity of three months or less at the date of purchase to be cash equivalents. The fair values of these investments approximate their carrying values. In general, investments with original maturities of greater than three months and remaining maturities of less than one year are classified as short-term investments. Investments with maturities beyond one year may be classified as short-term based on their highly liquid nature and because such marketable securities represent the investment of cash that is available for current operations.
Debt investments are classified as available-for-sale and realized gains and losses are recorded using the specific identification method. Changes in fair value, excluding credit losses and impairments, are recorded in other comprehensive income. Fair value is calculated based on publicly available market information or other estimates determined by management. If the cost of an investment exceeds its fair value, we evaluate, among other factors, general market conditions, credit quality of debt instrument issuers, and the extent to which the fair value is less than cost. To determine credit losses, we employ a systematic methodology that considers available quantitative and qualitative evidence. In addition, we consider specific adverse conditions related to the financial health of, and business outlook for, the investee. If we have plans to sell the security or it is more likely than not that we will be required to sell the security before recovery, then a decline in fair value below cost is recorded as an impairment charge in other income (expense), net and a new cost basis in the investment is established. If market, industry, and/or investee conditions deteriorate, we may incur future impairments.
Equity investments with readily determinable fair values are measured at fair value. Equity investments without readily determinable fair values are measured using the equity method or measured at cost with adjustments for observable changes in price or impairments (referred to as the measurement alternative). We perform a qualitative assessment on a periodic basis and recognize an impairment if there are sufficient indicators that the fair value of the investment is less than carrying value. Changes in value are recorded in other income (expense), net.
Derivatives
Derivative instruments are recognized as either assets or liabilities and measured at fair value. The accounting for changes in the fair value of a derivative depends on the intended use of the derivative and the resulting designation.
For derivative instruments designated as fair value hedges, gains and losses are recognized in other income (expense), net with offsetting gains and losses on the hedged items. Gains and losses representing hedge components excluded from the assessment of effectiveness are recognized in other income (expense), net.
For derivative instruments designated as cash flow hedges, gains and losses are initially reported as a component of other comprehensive income and subsequently recognized in other income (expense), net with the corresponding hedged item. Gains and losses representing hedge components excluded from the assessment of effectiveness are recognized in other income (expense), net.
For derivative instruments that are not designated as hedges, gains and losses from changes in fair values are primarily recognized in other income (expense), net.
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Fair Value Measurements
We account for certain assets and liabilities at fair value. The hierarchy below lists three levels of fair value based on the extent to which inputs used in measuring fair value are observable in the market. We categorize each of our fair value measurements in one of these three levels based on the lowest level input that is significant to the fair value measurement in its entirety. These levels are:
•
Level 1 – inputs are based upon unadjusted quoted prices for identical instruments in active markets. Our Level 1 investments include U.S. government securities, common and preferred stock, and mutual funds. Our Level 1 derivative assets and liabilities include those actively traded on exchanges.
•
Level 2 – inputs are based upon quoted prices for similar instruments in active markets, quoted prices for identical or similar instruments in markets that are not active, and model-based valuation techniques (e.g. the Black-Scholes model) for which all significant inputs are observable in the market or can be corroborated by observable market data for substantially the full term of the assets or liabilities. Where applicable, these models project future cash flows and discount the future amounts to a present value using market-based observable inputs including interest rate curves, credit spreads, foreign exchange rates, and forward and spot prices for currencies. Our Level 2 investments include commercial paper, certificates of deposit, U.S. agency securities, foreign government bonds, mortgage- and asset-backed securities, corporate notes and bonds, and municipal securities. Our Level 2 derivative assets and liabilities include certain cleared swap contracts and over-the-counter forward, option, and swap contracts.
•
Level 3 – inputs are generally unobservable and typically reflect management’s estimates of assumptions that market participants would use in pricing the asset or liability. The fair values are therefore determined using model-based techniques, including option pricing models and discounted cash flow models. Our Level 3 assets and liabilities include investments in corporate notes and bonds, municipal securities, and goodwill and intangible assets, when they are recorded at fair value due to an impairment charge. Unobservable inputs used in the models are significant to the fair values of the assets and liabilities.
We measure equity investments without readily determinable fair values on a nonrecurring basis. The fair values of these investments are determined based on valuation techniques using the best information available, and may include quoted market prices, market comparables, and discounted cash flow projections.
Our other current financial assets and current financial liabilities have fair values that approximate their carrying values.
Inventories
Inventories are stated at average cost, subject to the lower of cost or net realizable value. Cost includes materials, labor, and manufacturing overhead related to the purchase and production of inventories. Net realizable value is the estimated selling price less estimated costs of completion, disposal, and transportation. We regularly review inventory quantities on hand, future purchase commitments with our suppliers, and the estimated utility of our inventory. If our review indicates a reduction in utility below carrying value, we reduce our inventory to a new cost basis through a charge to cost of revenue.
Property and Equipment
Property and equipment is stated at cost less accumulated depreciation, and depreciated using the straight-line method over the shorter of the estimated useful life of the asset or the lease term. The estimated useful lives of our property and equipment are generally as follows: computer software developed or acquired for internal use, three years; computer equipment, two to six years; buildings and improvements, five to 15 years; leasehold improvements, three to 20 years; and furniture and equipment, one to 10 years. Land is not depreciated.
Leases
We determine if an arrangement is a lease at inception. Operating leases are included in operating lease right-of-use (“ROU”) assets, other current liabilities, and operating lease liabilities in our consolidated balance sheets. Finance leases are included in property and equipment, other current liabilities, and other long-term liabilities in our consolidated balance sheets.
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ROU assets represent our right to use an underlying asset for the lease term and lease liabilities represent our obligation to make lease payments arising from the lease. Operating lease ROU assets and liabilities are recognized at commencement date based on the present value of lease payments over the lease term. As most of our leases do not provide an implicit rate, we generally use our incremental borrowing rate based on the estimated rate of interest for collateralized borrowing over a similar term of the lease payments at commencement date. The operating lease ROU asset also includes any lease payments made and excludes lease incentives. Our lease terms may include options to extend or terminate the lease when it is reasonably certain that we will exercise that option. Lease expense for lease payments is recognized on a straight-line basis over the lease term.
We have lease agreements with lease and non-lease components, which are generally accounted for separately. For certain equipment leases, such as vehicles, we account for the lease and non-lease components as a single lease component. Additionally, for certain equipment leases, we apply a portfolio approach to effectively account for the operating lease ROU assets and liabilities.
Goodwill
Goodwill is tested for impairment at the reporting unit level (operating segment or one level below an operating segment) on an annual basis (May 1) and between annual tests if an event occurs or circumstances change that would more likely than not reduce the fair value of a reporting unit below its carrying value.
Intangible Assets
Our intangible assets are subject to amortization and are amortized using the straight-line method over their estimated period of benefit, ranging from one to 20 years. We evaluate the recoverability of intangible assets periodically by taking into account events or circumstances that may warrant revised estimates of useful lives or that indicate the asset may be impaired.
NOTE 2 — EARNINGS PER SHARE
Basic earnings per share (“EPS”) is computed based on the weighted average number of shares of common stock outstanding during the period. Diluted EPS is computed based on the weighted average number of shares of common stock plus the effect of dilutive potential common shares outstanding during the period using the treasury stock method. Dilutive potential common shares include outstanding stock options and stock awards.
The components of basic and diluted EPS were as follows:
(In millions, except earnings per share)
Year Ended June 30, 2023 2022 2021
Net income available for common shareholders (A) $ 72,361 $ 72,738 $ 61,271
Weighted average outstanding shares of common stock (B) 7,446 7,496 7,547
Dilutive effect of stock-based awards 26 44 61
Common stock and common stock equivalents (C) 7,472 7,540 7,608
Earnings Per Share
Basic (A/B) $ 9.72 $ 9.70 $ 8.12
Diluted (A/C) $ 9.68 $ 9.65 $ 8.05
Anti-dilutive stock-based awards excluded from the calculations of diluted EPS were immaterial during the periods presented.
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NOTE 3 — OTHER INCOME (EXPENSE), NET
The components of other income (expense), net were as follows:
(In millions)
Year Ended June 30, 2023 2022 2021
Interest and dividends income $ 2,994 $ 2,094 $ 2,131
Interest expense (1,968 ) (2,063 ) (2,346 )
Net recognized gains on investments 260 461 1,232
Net gains (losses) on derivatives (456 ) (52 ) 17
Net gains (losses) on foreign currency remeasurements 181 (75 ) 54
Other, net (223 ) (32 ) 98
Total $ 788 $ 333 $ 1,186
Net Recognized Gains (Losses) on Investments
Net recognized gains (losses) on debt investments were as follows:
(In millions)
Year Ended June 30, 2023 2022 2021
Realized gains from sales of available-for-sale securities $ 36 $ 162 $ 105
Realized losses from sales of available-for-sale securities (124 ) (138 ) (40 )
Impairments and allowance for credit losses (10 ) (81 ) (2 )
Total $ (98 ) $ (57 ) $ 63
Net recognized gains (losses) on equity investments were as follows:
(In millions)
Year Ended June 30, 2023 2022 2021
Net realized gains on investments sold $ 75 $ 29 $ 123
Net unrealized gains on investments still held 303 509 1,057
Impairments of investments (20 ) (20 ) (11 )
Total $ 358 $ 518 $ 1,169
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NOTE 4 — INVESTMENTS
Investment Components
The components of investments were as follows:
(In millions) Fair Value
Level Adjusted
Cost Basis Unrealized
Gains Unrealized
Losses Recorded
Basis Cash
and Cash
Equivalents Short-term
Investments Equity
Investments
June 30, 2023
Changes in Fair Value Recorded in Other Comprehensive Income
Commercial paper Level 2 $ 16,589 $ 0 $ 0 $ 16,589 $ 12,231 $ 4,358 $ 0
Certificates of deposit Level 2 2,701 0 0 2,701 2,657 44 0
U.S. government securities Level 1 65,237 2 (3,870 ) 61,369 2,991 58,378 0
U.S. agency securities Level 2 2,703 0 0 2,703 894 1,809 0
Foreign government bonds Level 2 498 1 (24 ) 475 0 475 0
Mortgage- and asset-backed securities Level 2 824 1 (39 ) 786 0 786 0
Corporate notes and bonds Level 2 10,809 8 (583 ) 10,234 0 10,234 0
Corporate notes and bonds Level 3 120 0 0 120 0 120 0
Municipal securities Level 2 285 1 (18 ) 268 7 261 0
Municipal securities Level 3 103 0 (16 ) 87 0 87 0
Total debt investments $ 99,869 $ 13 $ (4,550 ) $ 95,332 $ 18,780 $ 76,552 $ 0
Changes in Fair Value Recorded in Net Income
Equity investments Level 1 $ 10,138 $ 7,446 $ 0 $ 2,692
Equity investments Other 7,187 0 0 7,187
Total equity investments $ 17,325 $ 7,446 $ 0 $ 9,879
Cash $ 8,478 $ 8,478 $ 0 $ 0
Derivatives, net (a) 6 0 6 0
Total $ 121,141 $ 34,704 $ 76,558 $ 9,879
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(In millions) Fair Value
Level Adjusted
Cost Basis Unrealized
Gains Unrealized
Losses Recorded
Basis Cash
and Cash
Equivalents Short-term
Investments Equity
Investments
June 30, 2022
Changes in Fair Value Recorded in Other Comprehensive Income
Commercial paper Level 2 $ 2,500 $ 0 $ 0 $ 2,500 $ 2,498 $ 2 $ 0
Certificates of deposit Level 2 2,071 0 0 2,071 2,032 39 0
U.S. government securities Level 1 79,696 29 (2,178 ) 77,547 9 77,538 0
U.S. agency securities Level 2 419 0 (9 ) 410 0 410 0
Foreign government bonds Level 2 506 0 (24 ) 482 0 482 0
Mortgage- and asset-backed securities Level 2 727 1 (30 ) 698 0 698 0
Corporate notes and bonds Level 2 11,661 4 (554 ) 11,111 0 11,111 0
Corporate notes and bonds Level 3 67 0 0 67 0 67 0
Municipal securities Level 2 368 19 (13 ) 374 0 374 0
Municipal securities Level 3 103 0 (6 ) 97 0 97 0
Total debt investments $ 98,118 $ 53 $ (2,814 ) $ 95,357 $ 4,539 $ 90,818 $ 0
Changes in Fair Value Recorded in Net Income
Equity investments Level 1 $ 1,590 $ 1,134 $ 0 $ 456
Equity investments Other 6,435 0 0 6,435
Total equity investments $ 8,025 $ 1,134 $ 0 $ 6,891
Cash $ 8,258 $ 8,258 $ 0 $ 0
Derivatives, net (a) 8 0 8 0
Total $ 111,648 $ 13,931 $ 90,826 $ 6,891
(a)
Refer to Note 5 – Derivatives for further information on the fair value of our derivative instruments.
Equity investments presented as “Other” in the tables above include investments without readily determinable fair values measured using the equity method or measured at cost with adjustments for observable changes in price or impairments, and investments measured at fair value using net asset value as a practical expedient which are not categorized in the fair value hierarchy. As of June 30, 2023 and 2022, equity investments without readily determinable fair values measured at cost with adjustments for observable changes in price or impairments were $4.2 billion and $3.8 billion, respectively.
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Unrealized Losses on Debt Investments
Debt investments with continuous unrealized losses for less than 12 months and 12 months or greater and their related fair values were as follows:
Less than 12 Months 12 Months or Greater Total
Unrealized
Losses
(In millions) Fair Value Unrealized
Losses Fair Value Unrealized
Losses Total
Fair Value
June 30, 2023
U.S. government and agency securities $ 7,950 $ (336 ) $ 45,273 $ (3,534 ) $ 53,223 $ (3,870 )
Foreign government bonds 77 (5 ) 391 (19 ) 468 (24 )
Mortgage- and asset-backed securities 257 (5 ) 412 (34 ) 669 (39 )
Corporate notes and bonds 2,326 (49 ) 7,336 (534 ) 9,662 (583 )
Municipal securities 111 (3 ) 186 (31 ) 297 (34 )
Total $ 10,721 $ (398 ) $ 53,598 $ (4,152 ) $ 64,319 $ (4,550 )
Less than 12 Months 12 Months or Greater Total
Unrealized
Losses
(In millions) Fair Value Unrealized
Losses Fair Value Unrealized
Losses Total
Fair Value
June 30, 2022
U.S. government and agency securities $ 59,092 $ (1,835 ) $ 2,210 $ (352 ) $ 61,302 $ (2,187 )
Foreign government bonds 418 (18 ) 27 (6 ) 445 (24 )
Mortgage- and asset-backed securities 510 (26 ) 41 (4 ) 551 (30 )
Corporate notes and bonds 9,443 (477 ) 786 (77 ) 10,229 (554 )
Municipal securities 178 (12 ) 74 (7 ) 252 (19 )
Total $ 69,641 $ (2,368 ) $ 3,138 $ (446 ) $ 72,779 $ (2,814 )
Unrealized losses from fixed-income securities are primarily attributable to changes in interest rates. Management does not believe any remaining unrealized losses represent impairments based on our evaluation of available evidence.
Debt Investment Maturities
(In millions) Adjusted
Cost Basis Estimated
Fair Value
June 30, 2023
Due in one year or less $ 38,182 $ 38,048
Due after one year through five years 47,127 44,490
Due after five years through 10 years 13,262 11,628
Due after 10 years 1,298 1,166
Total $ 99,869 $ 95,332
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NOTE 5 — DERIVATIVES
We use derivative instruments to manage risks related to foreign currencies, interest rates, equity prices, and credit; to enhance investment returns; and to facilitate portfolio diversification. Our objectives for holding derivatives include reducing, eliminating, and efficiently managing the economic impact of these exposures as effectively as possible. Our derivative programs include strategies that both qualify and do not qualify for hedge accounting treatment.
Foreign Currencies
Certain forecasted transactions, assets, and liabilities are exposed to foreign currency risk. We monitor our foreign currency exposures daily to maximize the economic effectiveness of our foreign currency hedge positions.
Foreign currency risks related to certain non-U.S. dollar-denominated investments are hedged using foreign exchange forward contracts that are designated as fair value hedging instruments. Foreign currency risks related to certain Euro-denominated debt are hedged using foreign exchange forward contracts that are designated as cash flow hedging instruments.
Certain options and forwards not designated as hedging instruments are also used to manage the variability in foreign exchange rates on certain balance sheet amounts and to manage other foreign currency exposures.
Interest Rate
Interest rate risks related to certain fixed-rate debt are hedged using interest rate swaps that are designated as fair value hedging instruments to effectively convert the fixed interest rates to floating interest rates.
Securities held in our fixed-income portfolio are subject to different interest rate risks based on their maturities. We manage the average maturity of our fixed-income portfolio to achieve economic returns that correlate to certain broad-based fixed-income indices using option, futures, and swap contracts. These contracts are not designated as hedging instruments and are included in “Other contracts” in the tables below.
Equity
Securities held in our equity investments portfolio are subject to market price risk. At times, we may hold options, futures, and swap contracts. These contracts are not designated as hedging instruments.
Credit
Our fixed-income portfolio is diversified and consists primarily of investment-grade securities. We use credit default swap contracts to manage credit exposures relative to broad-based indices and to facilitate portfolio diversification. These contracts are not designated as hedging instruments and are included in “Other contracts” in the tables below.
Credit-Risk-Related Contingent Features
Certain of our counterparty agreements for derivative instruments contain provisions that require our issued and outstanding long-term unsecured debt to maintain an investment grade credit rating and require us to maintain minimum liquidity of $1.0 billion. To the extent we fail to meet these requirements, we will be required to post collateral, similar to the standard convention related to over-the-counter derivatives. As of June 30, 2023, our long-term unsecured debt rating was AAA, and cash investments were in excess of $1.0 billion. As a result, no collateral was required to be posted.
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The following table presents the notional amounts of our outstanding derivative instruments measured in U.S. dollar equivalents:
(In millions) June 30,
2023 June 30,
2022
Designated as Hedging Instruments
Foreign exchange contracts purchased $ 1,492 $ 635
Interest rate contracts purchased 1,078 1,139
Not Designated as Hedging Instruments
Foreign exchange contracts purchased 7,874 10,322
Foreign exchange contracts sold 25,159 21,606
Equity contracts purchased 3,867 1,131
Equity contracts sold 2,154 0
Other contracts purchased 1,224 1,642
Other contracts sold 581 544
Fair Values of Derivative Instruments
The following table presents our derivative instruments:
(In millions) Derivative
Assets Derivative
Liabilities Derivative
Assets Derivative
Liabilities
June 30,
2023 June 30,
2022
Designated as Hedging Instruments
Foreign exchange contracts $ 34 $ (67 ) $ 0 $ (77 )
Interest rate contracts 16 0 3 0
Not Designated as Hedging Instruments
Foreign exchange contracts 249 (332 ) 333 (362 )
Equity contracts 165 (400 ) 5 (95 )
Other contracts 5 (6 ) 15 (17 )
Gross amounts of derivatives 469 (805 ) 356 (551 )
Gross amounts of derivatives offset in the balance sheet (202 ) 206 (130 ) 133
Cash collateral received 0 (125 ) 0 (75 )
Net amounts of derivatives $ 267 $ (724 ) $ 226 $ (493 )
Reported as
Short-term investments $ 6 $ 0 $ 8 $ 0
Other current assets 245 0 218 0
Other long-term assets 16 0 0 0
Other current liabilities 0 (341 ) 0 (298 )
Other long-term liabilities 0 (383 ) 0 (195 )
Total $ 267 $ (724 ) $ 226 $ (493 )
Gross derivative assets and liabilities subject to legally enforceable master netting agreements for which we have elected to offset were $442 million and $804 million, respectively, as of June 30, 2023, and $343 million and $550 million, respectively, as of June 30, 2022.
The following table presents the fair value of our derivatives instruments on a gross basis:
(In millions) Level 1 Level 2 Level 3 Total
June 30, 2023
Derivative assets $ 0 $ 462 $ 7 $ 469
Derivative liabilities 0 (805 ) 0 (805 )
June 30, 2022
Derivative assets 1 349 6 356
Derivative liabilities 0 (551 ) 0 (551 )
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Gains (losses) on derivative instruments recognized in other income (expense), net were as follows:
(In millions)
Year Ended June 30, 2023 2022 2021
Designated as Fair Value Hedging Instruments
Foreign exchange contracts
Derivatives $ 0 $ 49 $ 193
Hedged items 0 (50 ) (188 )
Excluded from effectiveness assessment 0 4 30
Interest rate contracts
Derivatives (65 ) (92 ) (37 )
Hedged items 38 108 53
Designated as Cash Flow Hedging Instruments
Foreign exchange contracts
Amount reclassified from accumulated other comprehensive income 61 (79 ) 17
Not Designated as Hedging Instruments
Foreign exchange contracts (73 ) 383 27
Equity contracts (420 ) 13 (6 )
Other contracts (41 ) (85 ) 15
Gains (losses), net of tax, on derivative instruments recognized in our consolidated comprehensive income statements were as follows:
(In millions)
Year Ended June 30, 2023 2022 2021
Designated as Cash Flow Hedging Instruments
Foreign exchange contracts
Included in effectiveness assessment $ 34 $ (57 ) $ 34
NOTE 6 — INVENTORIES
The components of inventories were as follows:
(In millions)
June 30, 2023 2022
Raw materials $ 709 $ 1,144
Work in process 23 82
Finished goods 1,768 2,516
Total $ 2,500 $ 3,742
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NOTE 7 — PROPERTY AND EQUIPMENT
The components of property and equipment were as follows:
(In millions)
June 30, 2023 2022
Land $ 5,683 $ 4,734
Buildings and improvements 68,465 55,014
Leasehold improvements 8,537 7,819
Computer equipment and software 74,961 60,631
Furniture and equipment 6,246 5,860
Total, at cost 163,892 134,058
Accumulated depreciation (68,251 ) (59,660 )
Total, net $ 95,641 $ 74,398
During fiscal years 2023, 2022, and 2021, depreciation expense was $11.0 billion, $12.6 billion, and $9.3 billion, respectively. Depreciation expense declined in fiscal year 2023 due to the change in estimated useful lives of our server and network equipment.
As of June 30, 2023, we have committed $13.5 billion for the construction of new buildings, building improvements, and leasehold improvements, primarily related to datacenters.
NOTE 8 — BUSINESS COMBINATIONS
Nuance Communications, Inc.
On March 4, 2022, we completed our acquisition of Nuance Communications, Inc. (“Nuance”) for a total purchase price of $18.8 billion, consisting primarily of cash. Nuance is a cloud and artificial intelligence (“AI”) software provider with healthcare and enterprise AI experience, and the acquisition will build on our industry-specific cloud offerings. The financial results of Nuance have been included in our consolidated financial statements since the date of the acquisition. Nuance is reported as part of our Intelligent Cloud segment.
The allocation of the purchase price to goodwill was completed as of December 31, 2022. The major classes of assets and liabilities to which we have allocated the purchase price were as follows:
(In millions)
Goodwill (a) $ 16,326
Intangible assets 4,365
Other assets 42
Other liabilities (b) (1,972 )
Total $ 18,761
(a)
Goodwill was assigned to our Intelligent Cloud segment and was primarily attributed to increased synergies that are expected to be achieved from the integration of Nuance. None of the goodwill is expected to be deductible for income tax purposes.
(b)
Includes $986 million of convertible senior notes issued by Nuance in 2015 and 2017, substantially all of which have been redeemed.
Following are the details of the purchase price allocated to the intangible assets acquired:
(In millions, except average life) Amount Weighted
Average Life
Customer-related $ 2,610 9 years
Technology-based 1,540 5 years
Marketing-related 215 4 years
Total $ 4,365 7 years
78
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English
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64k
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T6. Aggregation & Clustering
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T6.3 Global Frequency Analysis
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Full
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Sort the following terms in descending order of their occurrence count. Output the "[Answer]" identifier first, and then output the sorted terms line by line, without any additional content.
Given terms: Personal ，Intelligence ，Competitors ，Software
Output example:
[Answer]
Personal
Intelligence
Competitors
Software
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Sort the following terms in descending order of their occurrence count. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the sorted terms line by line.
Given terms: Personal ，Intelligence ，Competitors ，Software
Output example:
<Your thinking process>
[Answer]
Personal
Intelligence
Competitors
Software
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[
"Software",
"Personal",
"Competitors",
"Intelligence"
] |
Extreme
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174f480a4e6d84b16f68814fd9e2b51f915e3d26d4484e087fd27b2bef06c0ad
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世界经济发展的变局与应对
2024年全球经济金融回顾与展望
中国国际金融学会会长、中国银行董事长葛海蛟
2024年世界经济在“软着陆”轨道上低速前行。全球供给端扰动居于主导，地缘风险攀升，保护主义抬头，贸易碎片化程度加深，全球贸易规模占GDP的比重仍迟滞不前。全球外商直接投资（FDI）区域分化加剧，产业链供应链深度调整。全球生产率持续下滑，创新能力和资本投入不足成为制约经济复苏的重要瓶颈。全球抗击通胀之战取得阶段性成果，全球经济体总体通胀率从2023年的平均值6.7%下降至2024年的5.8%，为主要经济体央行放松货币政策铺平了道路。国际金融市场在不确定性中前行，日元套息交易逆转引发“黑色星期一”风暴，全球金融产品迎来重新定价潮。当前，全球经济金融变局加速演进，迫切需要探寻应对之道。
资源错配引发全要素生产率增长明显减速。近年来，全球主要经济体普遍面临生产率增长放缓的挑战，发达经济体年生产率增速从1995年至2000年的1.4%骤降至新冠疫情后的0.4%，新兴经济体则从2001年至2007年的2.5%下跌至0.8%。全球生产率的持续下滑制约经济复苏步伐。国际金融危机以来，全球经济增速下降主要是因为全要素生产率增长减缓。国际货币基金组织预计，在缺少重大技术进步或结构性改革的情况下，2030年，全球经济增速将为2.8%，远低于3.8%的历史平均水平。
杠杆交易平仓触发全球资产价格重定价潮。2024年8月，发达经济体货币政策分化，引发外汇市场套利交易发生剧烈变化，投资者开始重新评估资产配置结构。日元融资的套利交易受到去杠杆化冲击，东证股价指数2024年8月5日一度暴跌12%。外汇市场出现剧烈波动，日元和瑞士法郎等融资货币大幅升值，而墨西哥比索等高收益货币则遭受重创。虽然后续未引发更大规模的市场失调，但也暴露出大规模杠杆交易对全球金融市场带来的潜在风险。
不对称性财政政策加重全球政府债务风险。疫情后，全球主要经济体央行曾步入紧缩政策周期，而财政政策并未进行相应调整，仍普遍采取不对称性财政政策。经济复苏期，各国财政紧缩措施未能及时跟进，债务规模持续膨胀。2024年底，全球公共债务规模将超过100万亿美元，占全球GDP的93%，到2030年，预计将接近GDP的100%。高昂的偿债成本将制约各国政府的财政空间，限制央行的回旋余地，对全球经济的长期稳定发展构成潜在威胁。
展望2025年，世界经济将在诸多不确定性中蹒跚前行。国际货币基金组织预测，2025年全球GDP增速为3.2%，与2024年基本持平。不同国家和地区增长表现分化，美国经济增速将放缓，欧元区经济略有回升，亚洲地区将保持增长势头，全球通货膨胀总体水平将回落至2025年的4.3%。随着市场需求不断修复，跨境投资活动有望扩张，全球贸易规模增速将有所回升。全球需要加强国际政策协调，推进数字绿色转型，完善全球治理架构，以应对复杂的、全球性挑战，踏上更加平衡、可持续的发展之路。
第一，提升生产率水平，重振停滞不前的全球经济增长。各国需要采取果断的行动，应对资源错配引发的难题，消除阻碍生产率提升的障碍。化解经济摩擦，改善企业之间生产率增长不均衡问题，促进要素自由流动，实现资源优化配置。聚焦创新与科技，以人工智能等新兴技术作为关键驱动力，挖掘数据要素，推进数字基础设施和机器人应用等前沿领域，加速新兴产业发展。未来10年，人工智能有可能推动生产率增长0.1个百分点，年度劳动生产率增长达1.5个百分点。适应产业升级需求，提升劳动力素质，提高劳动力的活力与适应性。建立技术合作机制，共享创新资源，协同应对技术瓶颈，确保供应链的安全灵活。推动制度型开放，优化营商环境，吸引外资流入，释放经济活力。携手共进，通过结构性改革实现资源高效配置，提升生产率水平，为全球经济持续稳定增长注入新动能。
第二，加强宏观政策协调，防范金融脆弱性外溢风险，提升国际金融市场运行的稳定与韧性。当前，各国央行货币政策趋向分化，金融跨市场、跨产品、跨区域风险攀升，不确定、不稳定因素增加。
8月5日，芝加哥期权交易所波动率指数（VIX）创下了有史以来最大的单日涨幅，甚至超过2008年国际金融危机和2020年3月市场波动期间的单日涨幅。各国需要加强国际宏观政策协调，完善金融风险分析监测、预警与评估指标体系，避免引发市场共振与国际资本无序流动，减少金融脆弱性的外溢与传染。创新跨周期政策设计，协同应对内外部冲击及周期波动，提升金融市场韧性，助力实现全球经济平稳发展。
第三，重建财政缓冲，深化债务治理，发挥经济增长“自动稳定器”效应。财政空间是宏观经济和金融稳定的基石。2026年，全球公共债务水平预计将达到GDP的115%。各国需要优化支出结构，稳定或减少债务水平。深化债务管理机制，渐进持续地开展财政调整，改善债务脆弱性状况。实施严格的债务可持续性评估，防范债务风险累积。加强多边债务协调，推动债务磋商机制创新，持续完善投融资体系，解决发展中国家发展难题。通过加强财政整顿与债务治理，维护金融稳定，发挥经济增长“自动稳定器”效应，为全球经济可持续发展奠定坚实基础。
第四，促进区域经济一体化合作，完善国际治理机制，降低地缘经济割裂风险。当前，地缘政治局势演变叠加大国博弈进一步加剧金融割裂，提升了跨境合作壁垒。根据国际货币基金组织测算，国家间地缘政治紧张程度每增加一个标准差，将使双边跨境投资和银行贷款配置减少15%。各国需要携手提升多边治理框架的效力。加强多边贸易合作，有效减少因全球供应链分散化、区域化带来的贸易波动性。积极简化投资审批流程，吸引更多外国直接投资，缓解地缘政治紧张对跨境投资的冲击。构建区域金融稳定机制，完善金融安全网，增强应对外部冲击的能力，确保区域经济持续健康发展。
中国共产党二十届三中全会吹响了以进一步全面深化改革开辟中国式现代化广阔前景的时代号角。面对复杂外部形势，中国经济展现出非凡的韧性与活力。中国坚定推动高水平对外开放，连续7年保持货物贸易第一大国地位，成为150多个国家和地区的主要贸易伙伴，对外直接投资连续12年居全球前三。新质生产力加快形成，2023年“三新”经济对中国GDP的贡献达17.7%，不断催生新的发展动能和市场机遇。人工智能、新能源和量子计算等前沿科技，筑牢产业发展的技术底座。可再生能源开发技术全球领先，风能、太阳能产业规模居世界首位。绿色金融快速发展，成为推动可持续发展目标的关键力量，截至2024年6月末，中国绿色贷款与绿色债券存量分别为34.8万亿元和3.7万亿元。“全球南方”国家加强团结合作，中非合作论坛签署了涵盖经贸、基础设施建设和绿色发展的新协议，拓展了“一带一路”倡议下的合作空间。金砖合作机制成立18年来，不断发展壮大，人口占全球近一半，经济总量占世界比重超过三成，对世界经济增长贡献率超过50%。未来，中国必将以更加稳健的步伐，扎实推进高质量发展，为世界经济复苏创造新机遇、注入新动力。
面对错综复杂的国际形势和风险挑战，全球唯有同舟共济，方能在激流中行稳致远。我们期待世界各国摒弃分歧、开放合作、互利共赢，携手开创更加繁荣与美好的明天。
1 美联储重启降息周期 国际资本流动分化加剧
事件：2024年9月，美联储将联邦基金利率目标下调50个基点，降至4.75%至5.00%区间。这是自2020年3月以来的首次降息，标志着货币政策转向宽松周期。美联储政策利率变动引发全球金融资产重新定价，降息路径以及外部环境的不确定性加剧国际资本流动分化。
点评：朱民（中国国际金融学会学术委员会委员、中国国际经济交流中心资深专家）
当前，全球经济金融环境面临新变化，美联储降息前景引发市场高度关注。一是全球经济进入持续低增长阶段。美国当选总统特朗普奉行的贸易保护主义、劳动生产率普遍下降、人工智能尚未形成新的生产力等因素，导致全球经济长期增长潜能不足，增长曲线平行下移。二是去全球化背景下国际贸易呈现碎片化特征。中国加入WTO后，全球贸易占GDP比例曾提升至60%。近年来，全球贸易增速低于GDP增长。预计特朗普贸易政策将导致全球贸易占GDP比例缓慢下滑至55%。三是全球债务不可持续，金融风险不断累积。根据国际金融协会（IIF）统计，截至2024年三季度，全球债务规模达323万亿美元，占GDP比重约为326%。这意味着，高利率导致每年50万亿美元的再融资压力骤增。四是地缘政治风险成为扰动全球经济金融体系的最大不确定因素。根据2024全球金融风险报告，未来两年，全球十大经济金融风险中，只有三项与经济相关，而七项与政治相关。现阶段，世界处于政治动荡时期，特朗普执政后为全球经济带来更多不确定性。
国际资本流动与美联储货币政策走向息息相关。美联储降息路径不确定性以及主要经济体货币政策转向的节奏差异，将加剧国际资本流动分化与波动。一方面，美联储降息导致美国国际资本净流入规模下降，但考虑到本轮美联储降息力度有限，美国利率水平仍处相对高位，国际资本净流入速度放缓程度有限。同时，特朗普保护主义政策相对利好美国市场，避险情绪或将助推跨境资本阶段性回流美国。另一方面，各国货币政策走势分化，投资者对利率走势与风险资产回报的预期存在分歧。特别是，全球宏观政经环境与政策不确定性加大，国际投资者情绪将更加敏感，局部可能引发国际资本流动波动性增加。
2025年，世界经济将进入低增长、高债务、贸易碎片化和巨大政治不确定性的新常态。预计跨境资本流动的短期性、波动性将进一步上升。各国应密切关注国际形势变化，完善风险预警和响应机制，防范跨境资金异常流动风险，维护国家经济金融安全。新兴市场国家，应做好风险处置预案，警惕资本大幅流入流出的负面冲击。由于特朗普政策变化，美国通货膨胀可能再次抬头，美联储本次降息周期可能很短，很快进入加息，也会引起世界金融再次调整和波动。
2 美欧加码跨境直接投资审查 全球产业链重塑面临新考验
事件：2024年1月，欧盟委员会发布“欧洲经济安全一揽子计划”，建议评估重要技术领域对外投资风险并加以应对。10月，拜登政府发布新规，禁止或限制美对华实施涉及国家安全领域的交易。主要发达经济体相继提议，推出对外直接投资审查工具，加强敏感行业对外投资监管，给全球产业链重塑进程带来新考验。
点评：余永定（中国社会科学院学部委员）
近年来，美国、欧盟等发达经济体对与科技领域投资相关的“国家安全”风险予以越来越多的关注。
美欧将审查机制拓展至对外直接投资领域，对面向“重点国家”的投资活动施加更大限制。2023年以来，美欧投资审查模式出现新变化，进一步将本国家（地区）部分敏感行业的对外直接投资活动纳入审查框架。根据美国财政部发布的操作性规则，美国公民和永居居民、在美成立的实体以及在美国境内的任何人均需遵守新的对外投资规定，禁止或须申报与受关注地进行涉及“国家安全”领域的投资交易，相关领域包括半导体、量子信息技术和人工智能。欧盟委员会计划评估欧盟在人工智能、半导体、生物技术和量子技术领域的对外投资风险，并将根据评估结果确定应对措施。此外，美欧等国家和地区立法机构正在推出新的提案，未来发达经济体可能出台更多新的法律规定，强化对外投资审查机制的覆盖领域和限制水平。
发达经济体加码对外直接投资审查，对中国的实质性影响可控，但长期看这一趋势将对全球跨境投资活动和产业链调整带来深远影响。来自美欧发达市场的投资和技术过去曾对中国产业发展和技术升级起到一定积极作用，但更大程度上中国还是依靠自主投入实现技术升级和创新。2003年至2023年，中国大陆投资者在本土关键技术领域（人工智能、半导体、生物技术和量子技术）的投资中占据绝对主导地位，共完成了17582笔交易，占全部交易量的75%以上，同期，美欧投资者参与的交易仅占12%，2019年以来，美欧投资者对华科技投资参与水平进一步下降。而从全球层面看，美欧等发达经济体不断收紧投资审查的趋势将导致全球投资环境进一步恶化，对本就疲软的全球跨境投资活动造成更大冲击。2023年，在全球经济增速放缓和地缘政治紧张局势加剧的情况下，全球FDI流入量下降2%至1.3万亿美元，跨境并购规模降至过去10年最低点。剔除少数欧洲通道经济体投资流量的大幅波动，FDI流入量降幅则超过10%。联合国贸发会议报告提出，在所有对外商投资者不利的政策变化中，近一半（45%）是各国新增或拓展FDI审查机制导致的。2023年，全球有41个国家实施了外商投资审查，未来将有更多国家提出新的跨境投资审查工具，全球跨境投资活动和产业链分工调整将面临更加复杂的挑战。
3 资本市场联盟改革方案出炉 欧洲金融一体化蹒跚前行
事件：2024年3月，欧元集团发布欧洲资本市场联盟改革新方案。方案涉及架构、经营与民众三大重点领域，涵盖构建统一市场和监管规则、加强数字和可持续领域投资、提高个人投资者市场参与度等主要方面内容。作为欧洲金融一体化改革的重要组成部分，打造资本市场联盟对促进欧洲经济发展、提升欧洲民众福祉和增强欧洲金融业国际竞争力具有重要意义。
点评：陈卫东（中国银行研究院院长）
欧洲是世界范围一体化程度最高的地区，欧洲金融一体化是全球区域金融合作的典范。自欧元诞生以来，欧洲金融业先后经历了货币一体化、金融监管一体化和金融市场一体化的发展历程。欧债危机后，优化金融结构、发展资本市场成为欧盟金融改革的重要方向。一方面，银行业联盟应运而生，通过打造单一监管机制、单一处置机制和存款保险机制“三支柱”体系，欧盟持续强化银行监管标准、完善风险处置机制；另一方面，资本市场联盟计划付诸实践，与银行业联盟强调监管规则和处置机制不同，资本市场联盟致力于实现完善市场投融资功能，提高跨市场资金流动规模，鼓励个人投资者加大资本市场投资力度等目标，其核心在于提升欧洲资本市场竞争力。
2015年《构建资本市场联盟绿皮书》发布以来，欧洲资本市场联盟建设并未取得预想效果。整体上看，资本市场联盟起步发展的近10年来，欧美资本市场的竞争力差距不降反升。
欧洲资本市场存在的结构分割、投融资功能不足等问题对欧洲经济造成的负面影响不断显现。大量欧洲企业，特别是创新型企业选择赴美上市，显著降低欧洲经济活力。受资本市场广度和深度制约，部分欧盟成员国无法有效通过低成本主权债券发行满足快速增长的军费、绿色转型以及社会福利支出，财政收支失衡压力持续加大。资本市场竞争力的不足导致经济主体资金大量外流，无法转化为有利于支持欧洲经济发展的资金来源。
本次改革方案沿袭了2015年和2020年资本市场联盟行动计划的主要内容，落实执行情况将最终决定改革效果。近年来，欧洲政治格局深刻调整，欧洲议会中“疑欧派”右翼党团的政治影响力不断提高，金融一体化改革政策推进的难度明显提升。资本市场联盟的部分改革议题触及成员国核心利益，例如征收金融交易税、发行欧盟超主权债券等，将激化超主权机制与成员国利益间的矛盾。在各方激烈博弈基础下，改革推进和实施效果面临较大不确定性。
4 美国财政赤字创新高 全球公共债务依然面临考验
事件：近年来，美国财政赤字与债务压力不断上升。美国国会预算办公室（CBO）数据显示，2024财年美国财政预算赤字为1.8万亿美元，较2023财年增长8.1%，处于历史上第三高位，仅次于2020财年和2021财年疫情时期赤字水平。在低增长、高利率的背景下，美国财政赤字累积，债务可持续性遭到削弱，2024财年利息净支出高达9490亿美元，将进一步推升全球公共债务风险。
点评：余淼杰（辽宁大学校长、国际经济学会会士）
美国联邦政府债务问题不可持续。过去数十年，美国联邦政府屡次陷入停摆，联邦债务上限不断上调。2024财年，美国预算赤字约占GDP的6.4%，较2023财年继续上升0.2个百分点，远高于过去50年平均值3.8%。截至2024年11月，美国国债超过36万亿美元，占GDP的比重超过120%，较本世纪初增长约68个百分点，远超国际政府债务警戒线，惠誉、穆迪等评级机构已下调美国信用评级或评级展望。未来10年，美国财政压力依然沉重，特朗普保护主义政策下收入增速大概率低于支出增幅，CBO预计财政赤字占GDP比重平均高达6.3%。经济增速低于债务利率，难以消化庞大债务扩张，至2034财年联邦政府债务将超过56万亿美元，公众持有政府债务占GDP比重将从2024财年的99%攀升至122%。考虑到美元国际主导地位，短期内美国不会爆发主权债务危机，但财政赤字货币化、美债信用下降将对全球公共债务与金融稳定带来显著的溢出效应。
美国联邦债务问题是全球公共债务风险的一个缩影。当前，全球债台高筑，公共债务风险趋于上行。国际金融协会（IIF）数据显示，截至2024年上半年，全球政府部门债务达91.7万亿美元，约占世界GDP的97.6%。尽管全球货币政策开启降息周期，各国着力推进财政政策正常化，但公共债务前景依然严峻。一是低增长、高债务下财政收支面临失衡压力。二是公共债务结构脆弱性正在上升。三是财政改革面临两难。
未来一段时期，改善公共债务可持续性是摆在世界各国面前的重要课题。美国应当着眼长远，主动平衡自身利益与全球责任，压降政府债务比率。各国要避免陷入财政“债务螺旋”，加强宏观政策协调与债务处置合作，携手提升经济发展韧性。
为期两天的联合国未来峰会9月22日在纽约联合国总部开幕。峰会通过《未来契约》及其附件，以进一步发展多边主义框架，适应未来发展，努力建设一个安全、和平、公正、平等、包容、可持续和繁荣的世界。图为未来峰会现场。 新华社发
5 日元套息交易逆转引发动荡 国际金融市场脆弱性凸显
事件：长期以来，日元是全球套息交易的主要币种之一。2024年7月末，日本央行超预期加息15个基点，将政策利率上调至0.15%至0.25%。美国就业数据走弱，市场对于美联储降息预期同步增强。随着美日利差显著收窄，日元套息交易平盘引爆“黑色星期一”。8月5日，美元指数、美元对日元汇率分别由7月初的105和161下探至102和144水平。日经225指数单日跌幅超过12%，引领全球股市波动下行，国际金融市场脆弱性凸显。
点评：管涛（中银国际证券全球首席经济学家）
套息交易是利用不同国家之间的利率差异来获利的一项重要金融策略。过去二十余年，日本长期实施宽松货币政策，利率水平维持低位，甚至处于负值区间，日元套息交易积累了巨大头寸。特别是2022年以来，美联储激进加息，美日10年期国债利差一度超过4.1个百分点，日元对美元汇率跌破160，套息交易持续扩张，日元流动性潮水源源不断涌向全球市场，平均季度增速高达12.7%。国际清算银行（BIS）数据显示，截至2024年一季度，全球银行业跨境日元净债权规模超过1万亿美元。日本国际投资净头寸在6月末达到353万亿日元，创有统计以来最高，庞大的日元跨境头寸为此后的交易逆转与金融动荡埋下隐患。
日元套息交易逆转引发流动性退潮，成为全球金融波动“放大器”。日元是全球流动性供给的主要币种之一。2024年下半年，随着美日货币政策预期调整，巨额日元套息交易平仓，投资者加速去杠杆，风险偏好走低，市场流动性倍数收缩，致使国际金融市场剧烈波动。本轮日元套息交易逆转冲击，进一步暴露出全球金融体系的脆弱性及监管缺位。
一是跨境资本流动加剧溢出效应。2024年下半年，美日央行释放偏鹰派信号后，风险厌恶情绪加速蔓延，对货币、股票“过度”定价，跨境资本流动波动使全球股市普遍下行。
二是投资者股票期权交易加剧市场波动。近年来，投资者交易行为出现新变化，通过股票期权对冲结构性产品。
三是非银金融机构放大套息交易逆转冲击。对冲基金等非银金融机构在套息交易中扮演重要角色，在全球银行业跨境日元净债权中占比近六成。BIS数据显示，对冲基金以高杠杆进入市场，合成杠杆率可以高达14倍。在高杠杆、拥挤策略下，一旦美日利差收窄，非银金融机构将面临去杠杆和追加保证金压力，不得不平仓，进而放大套息交易逆转压力与跨资产溢出效应。
6 美国共和第一银行倒闭 商业地产风险传染引关注
事件：2024年4月，美国共和第一银行宣布破产倒闭，宾夕法尼亚州富尔顿银行迅速接手共和第一银行几乎所有存款和资产。该事件进一步引发市场对于美国中小银行风险的关注：美国高息环境持续，商业房地产估值大幅下跌，美国区域银行和社区银行等中小银行持有大量相关贷款，财务风险突出，储户担忧情绪和市场动荡不断演进。
点评：曾刚（上海金融与发展实验室首席专家、主任）
共和第一银行倒闭对美国银行体系冲击有限。共和第一银行是美国银行体系中的小型银行，主要在宾夕法尼亚州、新泽西州和纽约州运营，2024年初，资产规模和存款规模分别约60亿美元和40亿美元，与美国银行业约24万亿美元的资产相比规模甚小。共和第一银行倒闭后，富尔顿银行迅速接手其几乎所有存款和资产，保障其32家分行重新开业，并接纳其所有储户。此外，联邦存款保险公司（FDIC）宣布为每位储户提供最高25万美元的保障。因此，整体来说该事件中储户受影响有限。
美国中小银行危机并未远去，商业地产风险传染问题值得关注。以共和第一银行为典型代表的中小型银行频繁遭遇风险事件，主要归因于这些银行在商业地产领域的风险暴露较大，同时，他们在盈利能力、资产质量以及应对危机的能力上存在不足。新冠疫情期间，美国的低利率环境使商业房地产行业繁荣发展。但从2022年起，由于利率上升等多重因素，美国房地产市场开始呈现下滑趋势，商业地产价格大幅下跌，资产估值持续缩水。与此同时，随着远程办公模式在美国变得越来越普遍，写字楼类地产的需求明显减少，楼宇空置率显著上升。在这样的背景下，美国商业地产贷款的风险不断攀升。根据商业地产数据提供商Trepp的统计，截至2024年1月末，美国商业地产贷款的拖欠率大约为4.7%，与2021年的4.6%基本持平。但是，写字楼贷款的拖欠率已经从2.5%激增至6.3%。预计到2025年末，美国银行业将面临约5600亿美元的商业地产债务到期，这一数字占同期到期房地产债务总额的一半以上。
美国商业房地产贷款风险主要集中于中小银行。依据美联储的统计数据，截至2024年1月末，美国中小型银行的商业地产贷款总额约为1.98万亿美元，占银行业总贷款的67%。同时，商业地产贷款在中小银行总资产中的占比高达44%，这一比例远超大型银行的13%。相较于美国大型银行，中小型银行的收入结构较为单一，缺乏足够的多元化业务和资产组合来抵御风险。他们的资本补充能力和运营空间相对有限，这使他们在面对商业地产信贷坏账激增时，信贷损失准备金的补充能力不足，从而可能引发严重的亏损和股价的剧烈波动。目前，美国商业地产市场持续不振，贷款信用风险持续攀升，这导致了中小银行风险的持续累积，并可能继续威胁到美国中小银行体系的稳定性。中国银行业需持续关注欧美货币政策的动向，以预测可能引发的金融波动，特别要留意美国中小型银行在商业地产领域的风险演变。通过前瞻性分析，深入探究其发展趋势及其对我国的影响，从而更有效地预防金融风险的扩散。
拉各斯轻轨蓝线是西非地区首条由中国企业自主设计、建造、施工、运营的电气化城市轨道交通项目，由中国土木尼日利亚有限公司承建。今年30岁的伊斯拉埃尔来自尼日利亚贝努埃州，是拉各斯轻轨蓝线项目动车组列车司机组长，也是西非地区第一位女性轻轨列车司机。图为伊斯拉埃尔（中）与同事在站台上合影。 新华社发
7 国际金价屡创新高 全球市场避险需求攀升
事件：2024年10月，COMEX黄金期货价格一度超过2700美元/盎司，较年初的2067.6美元/盎司上涨34.9%。11月，国际金价高位回调。三季度，全球黄金需求持续增加，首次突破1000亿美元，黄金ETF扭转连续的流出趋势，央行购金的步伐有所放缓，但整体依然保持在积极增长的轨道上。
点评：鄂志寰（中国银行研究院副院长）
2024年国际金价持续震荡，多次刷新历史纪录，成为全球金融市场的焦点。根据世界黄金协会统计，截至2024年三季度，国际金价已37次创下新高。全球黄金需求金额首次突破1000亿美元，需求规模为1313吨，投资需求成为主要驱动力。一方面，西方国家投资需求强势回归，推动黄金ETF需求转正，流入规模为95吨，是自2022年一季度以来首现净流入；另一方面，黄金场外投资连续7个季度推动黄金需求增长，投资规模增至137吨，同比增长96.7%。
国际黄金价格总体走强主要受以下因素支撑。一是全球经济及地缘政治不确定性上升，黄金避险属性凸显。2024年以来，全球经济增长面临多重下行风险。地缘政治局势日益复杂，俄乌冲突久拖未决，中东局势持续恶化，西方国家频繁实施贸易保护政策，全球贸易碎片化趋势加剧，增强了黄金作为对冲尾部风险的有效工具价值。二是各国储备资产更趋多元化，黄金货币属性再次引起关注。美元“武器化”使得美元在国际交易和跨境结算中的可靠性受到质疑，特别是那些被制裁的国家和地区，为避免对美元的依赖，开始寻找替代性资产。相较于美元，黄金具有较高的“独立性”和抗风险能力，成为资产再配置的载体。根据世界黄金协会发布的2024年度全球央行调查报告，超八成的受访央行预计将在未来12个月内继续增持黄金，创下自2019年世界黄金协会开展该项年度调查以来的最高纪录。三是全球利率中枢下行与金融市场震荡加剧，黄金金融属性增强。一方面，投资黄金的机会成本是名义无风险利率，无风险利率越低，黄金价格高。随着美联储货币政策转向，全球流动性水平提升，非利息资产黄金的持有成本降低，黄金投资需求上升。另一方面，金融市场震荡加剧，黄金与股票、债券等资产相关性较低，安全性更高，投资者在寻求资产多元化和风险对冲的过程中，将增加黄金配置，分散风险，避免资产价值大幅波动。
8 货币桥项目步入MVP阶段 全球跨境支付创新提速
事件：2024年6月5日，由国际清算银行（香港）创新中心、泰国银行、阿联酋中央银行、中国人民银行数字货币研究所和香港金融管理局联合建设的多边央行数字货币桥（以下简称“货币桥”）项目宣布进入最小可行化产品（MVP）阶段。上述司法管辖区内的货币桥参与机构可结合实际需求，按照相应程序有序开展真实交易，标志着该项目前期探索性工作已完成。
点评：贺力平（北京师范大学经济与工商管理学院教授）
货币桥项目进入MVP阶段，意味着参与机构可按照相应程序有序开展真实交易，不仅为解决跨境支付系统长期存在的问题提供了切实可行的解决方案，还将对数字时代全球经济发展及金融稳定产生深刻影响。一是加速央行数字货币跨境应用。货币桥项目为央行数字货币在跨境支付中的应用提供了实践经验和技术支持，有助于推动其他经济体央行数字货币的发展和跨境应用，促进全球数字货币体系的建设。二是促进国际贸易的发展。货币桥为国际贸易提供了新的跨境支付方式，降低了国际贸易过程中货币结算的交易成本，提高结算效率，缩短交易时间，降低了外贸企业资金断裂风险和汇率风险，促进国际贸易发展和地区经济增长。三是为全球金融体系稳定注入新动能。货币桥参与者可以在无需建立本经济体央行数字货币系统的情况下，在货币桥平台上发行央行数字货币完成跨境交易，增强金融自主性，有助于减少对美元等国际储备货币的依赖，降低发达经济体货币政策的负面溢出效应，维护全球金融体系的稳定。四是对国际货币体系产生深刻影响。货币桥项目使央行数字货币在跨境支付中完成国际货币的交易职能，有利于发挥本国货币在跨境支付中的作用，推动国际货币体系多元化发展。
货币桥项目已拥有相对成熟的法律框架、治理结构，但未来仍面临挑战。一是各经济体监管需要协调。差异化的法律法规和监管环境将给货币桥中不同央行数字货币互联互通造成阻碍和协调困难，需要加强国际间监管标准的协调，在国际合作中形成并完善兼顾各经济体监管要求的方案。二是数字货币跨境支付体系下的诸多风险需要防范。在货币桥下，国际资本流动将更加频繁，要建立并完善风险检测与应对机制，及时发现并处理跨境交易中可能出现的资本外逃和金融不稳定等风险，维护经济金融稳定。三是与传统金融基础设施的互联互通效率需要持续优化。除了需要在统一数据标准、加强技术合作等方面持续发力，提升货币桥与传统金融基础设施交换数据、协同工作的能力之外，各相关经济体货币当局主导的结算体系还需构建专门的资金清算联结机制，促进资金跨境流通。四是货币桥系统连续性和稳定性需要加强。货币桥以去中心化的方式进行部署，节点分布在各自司法管辖区，可能面临跨境网络不稳定的情况。需要建立高效的运维机制及网络不稳定条件下的共识机制，确保货币桥系统连续稳定运行。
埃及苏伊士运河管理局10月6日发布声明说，自2024年初以来，埃及苏伊士运河收入同比下降60%，过境船只数量同比减少49%。苏伊士运河管理局一直与国际海事机构及航运公司讨论当前危机，并提出应对方案，以减少对全球贸易的影响。图为在埃及苏伊士湾拍摄的行驶中的船只。 新华社发
9 中国—沙特ETF基金互通 金融合作迈出新步伐
事件：2024年7月，中国境内首批投资沙特阿拉伯市场的ETF——华泰柏瑞南方东英沙特阿拉伯ETF（QDII）和南方基金南方东英沙特阿拉伯ETF（QDII）分别在上交所、深交所挂牌上市。2024年10月，阿尔比拉德资本在沙特交易所发布了首只投资于香港资本市场的ETF。中国与沙特ETF正式实现互通，为两国居民投资各自资本市场提供了渠道。
点评：何平（清华大学经济管理研究院副院长）
近年来，中国持续推动高水平制度型开放，特别是在金融领域进展显著，取得了积极成效。中国和沙特互为重要经贸伙伴，在不断密切的经济往来带动下，两国金融合作也展现出持续向好的势头，ETF互通是两国金融合作不断深化的典型案例。
中沙两国金融互动频繁，金融合作不断升温。沙特是中国在中东地区的第一大贸易伙伴，中国则是沙特最大的贸易伙伴。2023年，中沙两国货物贸易达1072.3亿美元，2024年1至10月达886.4亿美元。在密切的经贸关系带动下，两国金融互动日益升温。2023年3月，中沙两国金融机构完成首次人民币贷款合作，11月，两国央行又签署了为期3年的双边本币互换协议。2024年11月，中国财政部在沙特利雅得成功发行20亿美元主权债券，这是首笔在中东地区发行并上市的中国主权债券。中沙两国金融合作有力促进了双边贸易和投资便利化。随着中沙两国经济持续增长，居民收入稳步提升，投资者追求资产多元化配置，特别是投资海外资产的需求持续增强。此次两国ETF正式实现互通，是中沙两国进一步深化金融合作的重要体现。一方面，ETF互通为两国资本市场带来了全新的投资策略和资产配置方案，有助于深化两国在资本市场领域的合作，拓宽两国居民投资各自资本市场、共享经济发展红利的渠道；另一方面，中国是全球第二大经济体，沙特则是中东地区经济发展的“领头羊”，两国深化金融合作，有助于推动双方金融市场向全球投资者开放，持续提升两国金融业的国际地位及影响力，实现双赢发展。
ETF互通为资本市场互联互通打下基础，将带动两国金融合作进一步深化。资本市场开放不仅是中国推动高水平对外开放的重要组成部分，也是彰显中国坚定支持全球化发展、提升金融国际竞争力的关键举措。展望未来，ETF互通为中沙两国资本市场互联互通打下了坚实基础，也为两国金融合作提供了更多思路和想象空间。随着投资者对此类产品认可度的提升，两国可推出更多与资本市场挂钩的跨境金融投资产品，进一步推动资本市场互联互通。同时，两国可以此为契机在更宽范围、更广领域内展开合作，助力两国双边关系不断迈上新台阶。
10 金砖国家再度扩容 为国际金融治理注入新动力
事件：2024年1月，沙特、埃及、阿联酋、伊朗、埃塞俄比亚正式参与金砖国家合作，金砖成员国数量由5个增加到10个。扩员后的“大金砖”国家人口约占全球45%，GDP约占世界的27%。2024年10月，金砖国家领导人第十六次会晤在俄罗斯喀山举行，这是金砖国家扩员后的首次峰会，共有35个国家和地区以及6个国际组织代表团参会。
点评：张杰（中国人民大学财政金融学院教授、国际货币研究所所长）
当前，国际政经形势发生重大变化，西方主导的全球治理体系正遭遇信任危机，金砖国家合作机制作为代表新兴市场和发展中国家利益的重要平台，以其在地缘政治、经济金融、全球治理、文明文化等方面的包容性主张，吸引越来越多的“全球南方”国家加入。其原因主要在于：一是提升发展中经济体在全球治理体系中的话语权。新兴市场国家在全球经济中的重要性快速提升，但长期以来在全球治理体系中的话语权严重不足。主要新兴大国联合起来，可以更有效地推动国际治理体系改革。二是应对危机和巩固金融稳定。新兴市场国家金融发展不成熟、脆弱性较高，特别是在发达国家货币政策调整的背景下，受到的冲击尤为突出。金砖国家抱团取暖，可以提高共同应对国际金融危机和流动性危机的能力。三是促进共同发展、减少摩擦。在西方国家推动“再工业化”“产业链回流”的背景下，新兴经济体和发展中国家深化内部合作迎来新契机。金砖国家禀赋条件不同，经济结构各有侧重，在市场活力、产业结构、人力资本和资源优势等方面具有合作共赢的基础，可以通过合作提升发展动能、促进良性竞争，以合作增强互信、消解冲突。
金融合作是金砖国家合作的重点。近年来，金砖国家一直致力于改革和完善全球金融治理体系，金融合作不断取得新进展。但从金融合作成果的量级上看，尚不足以适应金砖国家经济合作的投融资需求和金融安全防护形势，尚难匹配金砖国家在全球经济金融舞台的影响力和话语权。未来，金砖国家可在持续落实和完善已有合作机制的同时，进一步创新金融合作方式，推动国际金融体系更好反映世界经济格局变化。一是提升金砖国家资本项目和金融市场双向开放程度。加强境内外证券交易所、期货交易所、清算机构等要素市场及金融基础设施互联互通，鼓励各自企业到对方国家发行债券融资。进一步完善中拉、中非产能合作基金运作模式，考虑由各国政府共同出资在金砖国家新开发银行下设立“金砖产能合作基金”，重点支持清洁能源、数字技术、半导体、航空航天等新兴领域发展。二是加快金砖货币合作进程。简化和畅通双边货币互换资金使用流程，探索建立金砖国家之间的本币结算和清算体系，在部分领域探索推动易货贸易和以能源资源产品换贷款模式。三是加强绿色金融、数字金融等新兴领域合作，促进金砖国家之间在创新相关金融产品、投融资模式和金融风险管理等方面的交流合作。
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T6. Aggregation & Clustering
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T6.3 Global Frequency Analysis
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按照以下术语出现的次数进行降序排列。先输出“[答案]”标识符，再按行输出排序后的术语，不要输出任何其他内容。
给定术语：经济、金融、全球、市场、风险
输出示例：
[答案]
风险
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经济
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按照以下术语出现的次数进行降序排列。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的术语。
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# John Harrison: The Master Clockmaker Who Solved the Longitude Problem
## Introduction: The Longitude Dilemma and the Call of the Age
On October 22, 1707, a dense fog shrouded the North Atlantic, and violent winds lashed four warships of the British Royal Navy with towering waves. Standing on the bridge of the flagship *HMS Royal Anne*, Admiral Sir Cloudesley Shovell frowned—days of relentless bad weather had left the crew completely disoriented. The only "navigation tools" at their disposal were rough estimates of latitude (determined by observing the height of the North Star) and vague records of ship speed. When dawn finally pierced the darkness, the sailors made a horrifying discovery: the fleet, which they thought was still in deep waters, was actually closing in on the Scilly Isles off the southwest coast of England. A thunderous crash shattered the sea as the *Royal Anne*, *HMS Edinburgh*, *HMS Romney*, and *HMS Phoenix* ran aground one after another. The disaster claimed over 1,400 lives, including Admiral Shovell himself, who drowned after struggling to reach shore.
This tragedy, later known as the *Scilly Naval Disaster*, was no accident. Similar catastrophes were a common occurrence in 18th-century maritime history. The root cause lay in a problem that had plagued humanity for millennia: **determining longitude at sea**. By this time, sailors had long mastered the art of finding latitude using celestial observations—those in the Northern Hemisphere measured the angle between the North Star and the horizon, while those in the Southern Hemisphere used the Southern Cross—with errors typically limited to a few miles. Longitude, however, remained an unsolvable mystery. The Earth rotates eastward, and each 15 degrees of longitude corresponds to a 1-hour time difference. If sailors could accurately calculate the gap between "home time" and "local time," they could determine longitude using the formula "time difference × 15 degrees." The problem? No reliable timekeeping device existed at sea:
- Mechanical clocks of the era relied on pendulums, which became useless aboard rolling ships.
- Hourglasses and water clocks were so imprecise that their errors grew enormous within just a few hours.
- Astronomical methods (such as lunar observations) were highly dependent on weather and required complex calculations beyond the skill of ordinary sailors.
The "longitude problem" was not merely a threat to maritime safety—it was the "Achilles’ heel" of Britain’s growing naval and colonial power. By the early 18th century, Britain was in a critical phase of overseas expansion and global trade. Merchant fleets crossed the Atlantic to reach the Americas and the Caribbean, while the Royal Navy patrolled oceans worldwide to safeguard British interests. Statistics show that between 1700 and 1714, the cost of shipwrecks caused by longitude errors exceeded Britain’s military spending on the war against France. Solving the longitude problem was no longer a scientific challenge—it was a strategic necessity for national survival.
In 1714, at the joint urging of the British Admiralty, merchant guilds, and scientists, Parliament passed the **Longitude Act**, establishing one of the most lucrative scientific prizes in history: the *Longitude Prize*. The Act stipulated:
- £10,000 for a device that could determine longitude at sea with an error of no more than 1 degree (approximately 60 nautical miles).
- £15,000 for an error of no more than 0.5 degrees.
- A maximum of £20,000 (equivalent to 200 years’ earnings for a skilled craftsman at the time) for an error of 0.25 degrees or less (about 15 nautical miles).
This massive reward acted as a clarion call, attracting scientists, inventors, craftsmen, and even charlatans from across Europe. Astronomers advocated for calculating longitude using the "lunar distance method" (measuring the gap between the Moon and stars); mathematicians designed complex astronomical tables; and some even proposed absurd schemes like "magnetic compass positioning" or "carrier pigeons delivering time signals."
In this half-century "longitude race," the ultimate winner was neither a leading astronomer from the Royal Society nor a renowned scholar from Oxford or Cambridge. Instead, it was a self-educated carpenter and clockmaker from a Yorkshire village—**John Harrison**.
With four revolutionary marine timepieces (later known as H1 to H4), Harrison solved the longitude problem using mechanical timekeeping, ushering humanity into the "age of precise navigation." His story is not just a tale of technical innovation, but an epic of an ordinary craftsman defying authority and rewriting history with perseverance and ingenuity.
## Chapter 1: Early Years – The Mechanical Genius of Yorkshire (1693–1730)
### 1.1 Childhood in Fleetham:启蒙 Among Sawdust and Gears
John Harrison was born on March 24, 1693, in the village of Fleetham, in the East Riding of Yorkshire—a rural area dominated by agriculture and cottage industries. His father, Henry Harrison, was a skilled carpenter who also worked as an assistant parish clerk (a non-clerical role involving church repairs and paperwork); his mother, Elizabeth Harrison, was a typical village woman who managed the household and assisted her husband with carpentry tasks. Harrison was the eldest of four children (two younger brothers and one sister), and though the family was not wealthy, they lived comfortably.
Fleetham, located on Yorkshire’s flatlands near the River Humber, was a hub for rural craftsmanship. The village had blacksmiths, carpenters, and a clock repair shop, and occasionally, clockmakers from London would pass through to sell or repair timepieces. Harrison’s childhood was spent almost entirely in his father’s carpentry workshop. From the moment he could stand, he learned to plane wood, saw planks, and polish parts—his small hands were soon calloused from the work. Henry Harrison was a master craftsman: he built furniture and farm tools, and even repaired the village’s only church clock—a 16th-century mechanical device driven by weights that required daily winding and kept notoriously poor time. Yet this clock would spark Harrison’s lifelong fascination with time.
At the age of seven, Harrison accompanied his father to repair the church clock. When his father disassembled the clock, revealing its interlocking gears, swinging pendulum, and escapement mechanism, Harrison was transfixed. "Those metal parts seemed to have a life of their own," he later wrote in his memoirs. "Every swing and every mesh allowed the hands to move precisely, as if measuring the invisible passage of time." He蹲在 beside the clock for hours, only leaving when his father reminded him it was time for dinner.
After that day, Harrison became a regular visitor to the church clock. He volunteered to wind it daily and observed the pendulum’s movement closely: he noticed that the pendulum’s speed depended on its length—when his father shortened the pendulum rope to correct an error, the clock ran faster. He also observed that the clock slowed down in cold weather, and his father explained, "Metal contracts in the cold, so the gears turn more slowly." These simple observations would later lay the groundwork for his solution to the "temperature compensation" problem in marine clocks.
### 1.2 Self-Education During Illness: From Carpenter to Clockmaker
Harrison’s childhood was not without hardship. At 13, he contracted a severe case of smallpox and was bedridden for nearly a year. The illness forced him to miss his basic education at the village school (which focused on reading, writing, and simple arithmetic), but it also gave him the opportunity for intensive self-study. During his recovery, his father gave him a copy of *The Mystery of Nature and Art*—a popular 17th-century educational book covering mechanical principles, astronomy, and craftsmanship. The chapter on clockmaking, which detailed pendulum theory, gear calculations, and escapement design, became Harrison’s obsession.
Harrison devoured the book, reading every word aloud while lying in bed. When he encountered unfamiliar terms, he waited for his father to return home to ask for explanations; when he saw mechanical diagrams, he copied them onto paper with a pencil and even tried to carve small gears from leftover wood scraps. By the time he recovered, his craftsmanship had already surpassed that of most boys his age—he could carve wooden gears less than 1 centimeter in diameter, with teeth that meshed perfectly and rotated almost silently.
At 16, Harrison left home to apprentice as a carpenter in the nearby village of Barton-upon-Humber. Barton was more prosperous than Fleetham and had a dedicated clock shop run by a man named George Graham (not to be confused with the later Royal Society clockmaker of the same name). In his free time, Harrison volunteered at Graham’s shop—cleaning clocks, passing tools, and doing odd jobs—just to watch the inner workings of the timepieces. Impressed by Harrison’s curiosity and carpentry skills, Graham occasionally taught him clock repair techniques, such as adjusting escapements and calibrating pendulums.
At 20, Harrison completed his apprenticeship and became an independent carpenter. His work quickly gained a reputation in the area—he built furniture that was both sturdy and innovative, such as cabinets with automatic closing mechanisms and tables with adjustable heights. But his true passion remained clockmaking. In 1713, at the age of 20, he built his first complete clock: a grandfather clock. What made this clock unusual was that all its moving parts (gears, shafts, balance wheels) were made of wood, not brass—the standard material for clocks at the time.
Harrison chose wood not to cut costs, but out of a deep understanding of materials: 18th-century metalworking lacked precision, and brass expanded or contracted with temperature changes, causing significant time errors. Wood—especially the oak and lignum vitae he selected—was hard and had "self-lubricating" properties. Lignum vitae, a tropical hardwood rich in resin, required no additional oiling to reduce friction between gears. When Harrison tested the wooden grandfather clock in his workshop, the results were astonishing: it lost or gained no more than 10 seconds per day, far outperforming the best brass grandfather clocks of the time (which typically had errors of 1–2 minutes per day).
The success of this wooden clock taught Harrison a crucial lesson: **the accuracy of a clock depends not only on its design but also on mastering the properties of its materials**. He went on to build two more wooden grandfather clocks, selling them to local squires and churches. These timepieces earned him the reputation of "Yorkshire’s finest clockmaker," but his ambition extended far beyond the village. By this time, he had heard of the Longitude Prize—and a grander challenge had begun to take shape in his mind.
### 1.3 Marriage and Family: The Backbone of His Success
In 1718, at the age of 25, Harrison married Elizabeth Barnes, a woman from Barton-upon-Humber. Elizabeth, from a farming family, was gentle and hardworking. She not only understood Harrison’s obsession with clocks but also became his most steadfast supporter. After their marriage, the couple moved to Bourne, Lincolnshire, where Harrison opened a combined carpentry and clockmaking shop that thrived.
Elizabeth managed the household and assisted Harrison with his clockmaking: her skill with fine needlework allowed her to sew leather watch straps, and she kept detailed records of clock test data, such as daily time errors and the impact of temperature changes. In 1721, their eldest son, William Harrison, was born; their second son, John Harrison Jr., followed in 1723. As the boys grew older, both became their father’s assistants—especially William, who inherited Harrison’s mechanical talent. William would later play a key role in testing H4 and became Harrison’s primary liaison with the Royal Society.
Harrison’s 12 years in Bourne (1718–1730) were a critical period of skill-building and technical refinement. His clocks grew increasingly accurate, and he began experimenting with innovative designs: he added "weight shock absorbers" to reduce the impact of external vibrations on timekeeping, and designed a "double pendulum system" where two pendulums swung in opposite directions to counteract errors caused by tilting surfaces. These innovations, though intended for land clocks, were early experiments for his future marine timepieces—Harrison was already aware that the greatest challenges at sea would be **vibration and tilting**.
In 1730, at the age of 37, Harrison made a life-changing decision: he closed his shop in Bourne, moved his family to London, and dedicated himself fully to developing a marine clock. He was convinced that his mechanical designs could solve the longitude problem more reliably than the astronomers’ lunar distance method. Before leaving, he told Elizabeth, "This may take years—even a lifetime—but if we succeed, we’ll save countless sailors’ lives." Elizabeth simply packed their belongings and replied, "I believe in you, John. I’ll wait as long as it takes."
## Chapter 2: The Challenge of the Longitude Prize – The Birth and First Trial of H1 (1730–1736)
### 2.1 The Shock of London: From Village Craftsman to "Longitude Competitor"
In the autumn of 1730, the Harrison family arrived in London. Europe’s largest city at the time was both an opportunity and a challenge for a village craftsman from Yorkshire. London’s clockmaking industry was thriving, with hundreds of workshops, including those of masters like Thomas Tompion (known as the "Father of English Clockmaking") and George Graham (a Royal Society member and the leading clockmaker of his era). Harrison’s wooden clocks, which had been considered masterpieces in the countryside, were dismissed by many London clockmakers as "rustic curiosities."
Adding to Harrison’s pressure, the "longitude problem" was the talk of London’s academic circles. The Royal Society held weekly seminars on longitude solutions; the Admiralty’s corridors were filled with speculators peddling wild inventions. Harrison knew that his reputation and craftsmanship alone would not win him recognition from the authorities—he needed an influential supporter to help him gain access to the **Board of Longitude**, the body established by the Longitude Act to judge entries.
After asking around, Harrison learned that George Graham, the Royal Society’s clockmaker, was open to the idea of a "mechanical longitude solution" (most scientists at the time favored the lunar distance method). In November 1730, Harrison arrived at Graham’s workshop with his marine clock designs. Nervously, he explained his concept: replacing the pendulum with a "balance beam" (to avoid the effects of ship rolling), using a "weight-driven + spring-assisted" power system, and counteracting tilting with a "double balance mechanism"—the core design that would become H1.
Graham initially dismissed the "village craftsman," but his attitude changed dramatically when he saw Harrison’s blueprints. Every part was labeled with precise dimensions and materials; the balance mechanism’s force analysis was clear; and Harrison had even accounted for the effects of sea temperature and humidity on the parts. Graham realized he was not dealing with a charlatan, but a true "mechanical genius." He told Harrison, "Your design is promising, but testing a marine clock requires significant funding. I can’t fund you directly, but I can introduce you to the Board of Longitude and offer technical advice."
With Graham’s recommendation, Harrison attended his first Board of Longitude meeting in January 1731. There, he presented his designs to the board members (including naval officers, astronomers, and mathematicians). Most were skeptical of mechanical timekeeping: Edmond Halley (the astronomer who discovered Halley’s Comet) bluntly stated, "Vibration and temperature changes at sea will render any mechanical clock useless. Your plan is nothing but a fantasy." But Graham defended Harrison: "His wooden clocks are more accurate than any land clock we have. We owe him a chance to prove himself." In the end, the Board agreed to give Harrison £500 in seed funding, with the requirement that he build his first marine clock within five years.
### 2.2 The Development of H1: Five Years of Meticulous Work
In March 1731, Harrison rented a small workshop in East London and began developing H1. His first challenge was material selection: wood, which worked for land clocks, would warp in the sea’s humid environment, so he switched to metal. After extensive testing, he chose brass for the main components (for strength and ease of machining) and steel for critical parts like balance shafts (for hardness and wear resistance).
H1’s core innovation was replacing the traditional pendulum with a **double balance beam**. A pendulum relies on gravity, which causes it to swing wildly off its vertical axis aboard a rolling ship. Harrison’s balance beam consisted of two parallel metal rods, fixed to the clock case at one end and attached to balance weights at the other. Driven by a spring, the two beams swung in opposite directions (one left, one right). Their oscillation frequency was determined by the spring’s elasticity and the weight of the balance masses—not by the direction of gravity—solving the core problem of "ship rolling."
To ensure the balance beams oscillated stably, Harrison spent a full year adjusting the spring’s parameters. He made hundreds of springs of different thicknesses and materials (steel, brass, bronze), testing their elasticity under varying temperatures.最终, he selected a high-carbon steel spring that maintained its elasticity within 5% across a temperature range of -10°C to 30°C—sufficient to withstand the sea’s temperature fluctuations.
Another challenge was the **power system**. Traditional clocks used weights for power, but weights slid on tilted decks, causing unstable power output. Harrison designed a hybrid "weight + spring" system: weights provided the main power, while a spring acted as a buffer. When the ship tilted, the spring’s elasticity compensated for fluctuations in the weight’s power, ensuring the gears rotated at a steady speed. To make the power system more reliable, he added "jewel bearings" (made of ruby or sapphire) between the gears—jewels are extremely hard and have a low friction coefficient, reducing gear wear and extending the clock’s lifespan.
Building H1 was a test of manual precision. No machine tools existed at the time, so every part was hand-finished by Harrison: the balance beams had to be precise to 0.1 millimeters, the gear teeth perfectly symmetrical, and the spring tension exact. He often worked in his workshop until midnight; sometimes, he spent over 10 hours straight打磨 a single part. Elizabeth would bring him bread and milk late at night, and seeing his bloodshot eyes, she would say, "John, take a break. You can finish it tomorrow." Harrison would shake his head: "Every tiny error in a part will be magnified tenfold or a hundredfold at sea. I can’t afford to be careless."
In November 1735, after five years of work, H1 was finally completed. The marine clock stood 1.8 meters tall, 0.6 meters wide, and weighed 34 kilograms—resembling a cabinet with a brass case engraved with Harrison’s name and the year of manufacture. The front of the case had two dials: one showing time (to the second) and the other indicating "power reserve" (to remind sailors when to wind it). In laboratory tests in London, H1 maintained an error of no more than 15 seconds per day under simulated sea conditions (a rocking wooden platform) and temperature changes (0°C to 30°C)—far exceeding the Board of Longitude’s minimum requirement of 1 degree error.
### 2.3 The Voyage to Lisbon: H1’s First Sea Trial
In March 1736, the Board of Longitude decided to conduct a sea trial of H1. The route chosen was London to Lisbon—a common trade route between Britain and Portugal, covering 1,600 nautical miles and passing through the stormy North Atlantic, which would put the clock’s performance to the test in harsh conditions. Harrison initially hoped to accompany H1 on the voyage, but the Board deemed him "lacking in maritime experience" and instead assigned his 15-year-old son William (who had already learned clockmaking from his father) and Navy officer John Campbell to oversee the test.
On March 28, William boarded the Royal Navy ship *HMS Centurion* with H1. Before departure, Harrison repeatedly instructed his son: "At 9 a.m., 12 p.m., and 6 p.m. every day, you must record H1’s time, the ship’s ‘solar time’ (determined by observing the Sun’s height), and the sea conditions and temperature. Don’t miss a single detail." William wrote his father’s instructions in a notebook and carefully secured H1 in a corner of the cabin—he even placed three layers of wool blankets under the clock to reduce vibration.
Shortly after the *Centurion* set sail, it encountered a North Atlantic storm. Waves crashed over the deck like mountains, overturning tables and chairs in the cabin and scattering dishes everywhere. William clung tightly to H1’s case, fearing it would be damaged. He later wrote in his log: "The ship tilted so violently it felt like it would capsize. I thought I would be thrown overboard at any moment, but H1’s balance beams continued to swing steadily, and the hands on the dial never wavered."
During the voyage, William followed his father’s instructions to the letter. Every noon, he and Officer Campbell observed the Sun’s height to determine "local time," then compared it to H1’s "London time" to calculate the ship’s longitude. On April 10, as the *Centurion* approached the Portuguese coast, H1’s calculations indicated the ship was 50 nautical miles west of Lisbon. However, the crew’s traditional "dead reckoning" (estimating position using speed and direction) suggested they were near Lisbon. Campbell was inclined to trust dead reckoning and prepare to dock, but William insisted H1’s calculation was correct. When the captain ordered a small boat to scout, H1 was proven right—the ship was indeed 50 nautical miles west of Lisbon, and docking based on dead reckoning would have led to a shipwreck.
On April 14, the *Centurion* arrived safely in Lisbon. Over the 16-day voyage, H1’s total error was just 1 minute and 40 seconds, corresponding to a longitude error of approximately 0.25 degrees—exactly the requirement for the Longitude Prize’s top reward! When the news reached London, Harrison was overjoyed, thinking he had finally won the prize. But when William returned to London with H1 and the test logs, the Board of Longitude raised doubts: "A single test cannot prove your clock’s reliability. You need to conduct another transatlantic test—perhaps to the Caribbean, where temperature changes are more extreme and the voyage longer."
Harrison knew the Board’s skepticism stemmed not only from distrust of mechanical solutions but also from resistance by astronomers (supporters of the lunar distance method still dominated the Board). But he did not complain. Instead, he calmly accepted the requirement: "I will improve H1 and build a more accurate marine clock. I will prove its reliability with more tests."
## Chapter 3: Improvements and Setbacks – The Interruption of H2 and 20 Years of Struggle for H3 (1736–1759)
### 3.1 The Design of H2: Refinements to H1 and the Unexpected War
In January 1737, Harrison began developing his second marine clock, H2. Drawing on the lessons from H1’s Lisbon trial, he made several key improvements:
First, H2 was significantly smaller and lighter—1.5 meters tall, 0.5 meters wide, and 25 kilograms—making it easier to transport and install aboard ships. Second, he replaced the hybrid power system with an **all-spring drive**: H1’s "weight + spring" system was reliable but heavy, and winding the weights required multiple people. H2 used a "dual-barrel" design, with two spring barrels working in tandem. This not only provided more stable power but also made winding easier (one person could do it). Additionally, Harrison added an **anti-magnetic device** to H2: he had noticed that the ship’s compass created magnetic fields that interfered with steel parts, so he lined the inside of the clock case with a thin copper sheet (copper is non-magnetic) to block magnetic interference.
Developing H2 was smoother than H1, and by May 1741, after just four years, H2 was completed. In simulated tests in London, H2 was even more accurate than H1—losing or gaining no more than 10 seconds per day, and remaining stable even under extreme temperatures (-15°C to 35°C) and vibration. The Board of Longitude was impressed and scheduled a transatlantic test to Jamaica (a 4,000-nautical-mile voyage, 2.5 times longer than the Lisbon route), with William Harrison once again overseeing the trial.
In August 1741, William boarded *HMS Hampton Court* with H2, ready to sail to Jamaica. But just as the ship was about to depart, Britain declared war on Spain in the **War of Jenkins’ Ear**—Spanish warships had attacked British merchant ships in the Caribbean, prompting Parliament to act. *HMS Hampton Court* was urgently drafted into the Royal Navy fleet and sent to the Caribbean to fight, forcing the cancellation of H2’s test.
William had no choice but to bring H2 back to London. Harrison was disappointed to see the unharmed clock, but he understood that naval warfare took priority over testing marine clocks during wartime. However, a worse setback awaited him: in 1742, while inspecting H2, Harrison discovered a fatal design flaw. H2’s balance shaft was made of steel, and during long periods of oscillation, the wear between the shaft and its bearing was more severe than expected, causing the balance beam’s oscillation frequency to change gradually. This flaw was not noticeable in short tests, but during a long transatlantic voyage, the error would accumulate and eventually exceed the required limit.
"We must completely redesign the balance shaft," Harrison told William. He realized that H2’s flaw was not a matter of "manufacturing precision" but a failure in "design philosophy"—the traditional "shaft-and-bearing" structure, no matter how hard the materials, could not avoid wear. To solve this problem, he needed an entirely new "wear-free" or "low-wear" balance mechanism.
### 3.2 The Breakthrough of H3: Bimetallic Strips and the Grasshopper Escapement
In 1743, at the age of 49, Harrison began developing his third marine clock, H3. This time, he focused all his energy on innovating the **balance mechanism** and **escapement**—a task that would take nearly 20 years.
H3’s first major challenge was **temperature compensation**. Harrison discovered that even the best steel expands or contracts by approximately 0.001% per degree Celsius. For H3’s 0.5-meter-long balance beam, a 10°C temperature change would cause a 0.5-millimeter length change, altering the beam’s oscillation frequency and leading to time errors (a 10°C increase would make the clock run 10 seconds fast per day). After three years of thinking, Harrison invented the **bimetallic compensation device**.
A bimetallic strip consists of two metals with different thermal expansion coefficients—Harrison chose brass (high expansion) and steel (low expansion), welding them together to form a curved strip fixed to the end of the balance beam. When temperatures rose, brass expanded more than steel, causing the strip to bend toward the steel side and slightly shortening the beam’s effective length, counteracting the beam’s overall expansion. When temperatures fell, brass contracted more than steel, causing the strip to bend toward the brass side and slightly lengthening the beam’s effective length, counteracting contraction. By precisely calculating the strip’s length and curvature, Harrison reduced H3’s temperature-induced error to no more than 1 second per day—the first time "active temperature compensation" had been achieved in clockmaking. This technology would later be used in all precision mechanical clocks.
H3’s second major innovation was the **grasshopper escapement**. Traditional escapements (such as the anchor escapement) relied on rigid collisions between the escapement fork and the balance wheel, causing wear and vibration that reduced accuracy. Harrison’s grasshopper escapement used "elastic pallets" made of thin steel strips—shaped like a grasshopper’s legs—that bent slightly when they contacted the balance wheel, minimizing vibration from collisions. Additionally, the pallets had an extremely small contact area, resulting in almost no wear. This escapement not only greatly improved H3’s accuracy but also extended the parts’ lifespan—in later tests, the grasshopper escapement operated continuously for 10 years with no significant wear.
Beyond bimetallic strips and the grasshopper escapement, H3 included numerous other innovations: a **spiral-spring balance wheel** (replacing traditional balance weights with a spiral spring to further reduce size), **micro-adjustment screws** (allowing precise calibration by adjusting the balance wheel’s mass distribution), and a **dustproof case** (protecting internal parts from salt spray and dust corrosion at sea).
Developing H3 was an arduous process. Harrison made over 200 bimetallic strip prototypes to test their deformation under different temperatures; the grasshopper escapement went through hundreds of failed designs—sometimes the elastic pallets were too soft and broke, other times the contact angle was wrong and failed to control power release. By 1750, Harrison was nearly 60, his hair turning white and his hands calloused from years of打磨 parts, but he persisted. Elizabeth, now seriously ill, still prepared his meals daily and helped him record test data. When she died in 1755, Harrison was devastated, but he knew her greatest wish was to see him complete the marine clock. After a short period of mourning, he returned to his workshop.
### 3.3 The Regret of H3: Near-Perfect but Unfinished
In 1759, after 16 years of work, H3 was finally completed. The marine clock stood 1.2 meters tall, 0.4 meters wide, and weighed 18 kilograms—smaller and lighter than H2. In long-term tests in London, H3 performed nearly flawlessly: under simulated sea conditions, it maintained an error of less than 5 seconds per day, and even with a 20°C temperature change, the error never exceeded 3 seconds—far surpassing the Longitude Prize’s top requirement (10 seconds per day for 0.25 degrees of longitude error).
However, when Harrison submitted H3 to the Board of Longitude, he faced another setback. By this time, the Board was dominated by astronomer Nevil Maskelyne—a staunch supporter of the lunar distance method. Maskelyne had traveled to St. Helena in 1761 to observe the transit of Venus and calculated the island’s longitude using the lunar distance method, giving him great influence on the Board. He imposed strict conditions on H3’s testing: "It must undergo a 6-month transatlantic voyage, and every day its results must be compared to the lunar distance method. If it exceeds a 10-second error on any day, it will be deemed a failure."
Harrison knew Maskelyne’s requirement was nitpicking—even H3 could experience occasional errors during a 6-month voyage due to part fatigue or saltwater corrosion. More dishearteningly, after 16 years of dedication to H3, he realized he still could not convince the authorities who "worshipped astronomical methods." Now 66 years old, he began to rethink his approach: perhaps a "cabinet-sized" marine clock, no matter how improved, would never satisfy the Board. To break the deadlock, he needed an entirely new design—one that defied all traditional notions.
It was then that Harrison noticed a pocket watch William was wearing—a common mid-18th-century pocket watch, small and portable but highly inaccurate (losing or gaining minutes per day). A bold idea suddenly struck him: "What if I build a marine clock the size of a pocket watch, with a higher oscillation frequency? Would that make it more accurate?"
Traditional cabinet-sized marine clocks (like H1–H3) had low oscillation frequencies (H1’s balance beam swung 10 times per minute). Lower frequencies made them more vulnerable to external interference. Pocket watches, by contrast, had much higher frequencies (over 180 swings per minute), and high-frequency oscillation better resisted external disturbances, improving accuracy. Harrison realized this could be the key to solving the problem—abandoning the large cabinet design and developing a **pocket watch-sized marine clock**.
In late 1759, Harrison set aside H3’s test application and began designing his fourth marine clock: H4. No one could have guessed that this "miniature" timepiece would be the final solution to the longitude problem.
## Chapter 4: A Revolutionary Breakthrough – The Birth and Controversy of H4 (1759–1764)
### 4.1 The Design of H4: From Cabinet Clock to Pocket Watch
In October 1759, Harrison began drafting blueprints for H4 in his London workshop. Unlike the "cabinet-sized" H1–H3, H4 was designed to be pocket watch-sized—13 centimeters in diameter, 3 centimeters thick, and weighing just 1.4 kilograms, small enough to fit in a pocket. This "miniaturization" required solving three core problems:
1. How to achieve stable high-frequency oscillation in a small volume?
2. How to provide sufficient power for long voyages?
3. How to implement temperature compensation in smaller parts?
To address the first problem, Harrison designed a **high-frequency spiral-spring balance wheel**. The balance wheel, made of brass, was 5 centimeters in diameter with 12 small metal weights embedded around its edge (for fine-tuning mass distribution). The spiral spring driving the balance wheel was made of high-carbon steel with an extremely high elastic coefficient, allowing the balance wheel to oscillate at 216 times per minute (3.6 times per second)—three times faster than a typical pocket watch and 21.6 times faster than H3’s balance beam. High-frequency oscillation meant the balance wheel could quickly recover its stable rhythm even after brief vibrations, significantly reducing the impact of external interference.
To solve the "small-volume power" problem, H4 used a **series-connected multiple-barrel design**: three spring barrels connected in series, each storing enough power to run the clock for 8 days, giving a total power reserve of 24 days. The gears in the barrels featured "precision meshing" with carefully calculated tooth ratios to ensure uniform power transmission to the balance wheel. Harrison also added a **constant-force device** to the barrels: a small spring maintained constant tension as the main spring unwound, preventing the clock from slowing down due to reduced spring tension.
For "miniature temperature compensation," Harrison miniaturized H3’s bimetallic strip design into a **bimetallic balance wheel**. Eight small bimetallic strips (brass and steel) were embedded around the balance wheel’s edge; one end of each strip was fixed to the wheel, and the other end was attached to a small weight. When temperatures changed, the strips bent, moving the weights radially: higher temperatures caused the weights to move outward, increasing the balance wheel’s moment of inertia and counteracting the increased elasticity of the spiral spring (higher temperatures make springs stiffer, speeding up oscillation). Lower temperatures caused the weights to move inward, decreasing inertia and counteracting reduced spring elasticity. This compact, efficient design limited H4’s temperature-induced error to no more than 2 seconds per day.
H4’s escapement was an improved version of the grasshopper escapement—the **verge escapement**. Smaller and nearly silent, it more precisely controlled the frequency of power release. Additionally, H4’s dial was intricately designed: an inner ring showed hours and minutes (to the minute), an outer ring showed seconds (to 0.5 seconds), and a small central hand indicated power reserve.
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### 4.2 The Construction of H4: The Pinnacle of Manual Precision
Building H4 pushed the limits of manual machining. Due to its small size, parts required far greater precision than H1–H3: the balance wheel’s roundness error had to be less than 0.01 millimeters, the spiral spring’s diameter error within 0.005 millimeters, and the gear tooth gap no more than 0.02 millimeters. With no precision machine tools available, every part was made by hand using custom tools: miniature files (the smallest just 1 millimeter in diameter), a miniature drill press (with 0.1-millimeter drill bits), and a 10x magnifying glass.
To make the balance wheel, Harrison first sawed a brass block into a circle, then sanded it repeatedly, measuring its roundness with a micrometer (a precision tool he made himself, capable of measuring to 0.001 millimeters) until the error was less than 0.01 millimeters. Making the spiral spring was even more painstaking: he drew high-carbon steel into 0.1-millimeter-diameter wire, then wound it by hand around a 2-millimeter-diameter metal rod. Each coil had to be perfectly spaced—any unevenness would disrupt the spring’s elasticity. He often worked under a magnifying glass, holding his breath to avoid shaking as he wound each coil. Sometimes, making a single spring took an entire day; if even one coil was uneven, he had to start over.
H4’s jewel bearings (for the balance wheel and gear shafts) were made of rubies—extremely hard but difficult to machine. Harrison ground ruby roughs into 1-millimeter cylinders, then drilled a 0.2-millimeter hole through the center (for the shaft) using a fine steel needle dipped in carborundum. He rotated the needle by hand, cleaning out debris every 0.1 millimeters of depth; a single hole could take hours to drill.
In December 1760, all H4’s parts were completed, and assembly began. The process required extreme patience: installing the spiral spring onto the balance wheel meant adjusting its tension until the oscillation frequency was exactly 216 times per minute; installing the gears into the barrels required perfect meshing with no trace of binding. Harrison assembled only 1–2 parts per day, then tested the clock for 24 hours. If an error was found, he disassembled and readjusted.
In March 1761, after 18 months of work, H4 was finally finished. The pocket watch-sized marine clock had a silver case engraved with "John Harrison, London, 1761" and a crystal glass dial (the most transparent material available at the time, reducing light refraction for easier reading). In simulated tests in London, H4 maintained an error of just 1–2 seconds per day under simulated sea vibrations, temperature changes, and salt spray—making it the world’s first portable timepiece accurate to the second.
### 4.3 The 1761 Jamaica Voyage: H4’s Triumph and Doubt
In May 1761, the Board of Longitude agreed to a transatlantic test of H4, with the route set for London to Jamaica—a 4,800-nautical-mile voyage expected to take 2 months. Once again, Harrison entrusted the test to his son William, now 30 years old. William had not only mastered clockmaking but also gained extensive maritime experience, making him capable of handling any issues during the voyage.
On May 18, William boarded *HMS Deptford* with H4. Before departure, Harrison told his son, "H4 is like my child—take good care of it. Remember to record every test datum accurately, no matter how difficult things get." William nodded solemnly, placing H4 in a custom silver case he carried with him at all times—he slept with the case under his pillow and held it in his arms during storms to protect the clock.
After leaving port, *HMS Deptford* crossed the English Channel and entered the North Atlantic. The voyage was plagued by storms, and the ship rolled violently. Many crew members suffered from seasickness, but William remained calm, recording H4’s time, local solar time, sea conditions, and temperature as scheduled. On July 10, *HMS Deptford* arrived in Kingston, Jamaica. According to H4’s calculations, the total longitude error during the voyage was just 5 seconds—corresponding to a longitude error of approximately 0.125 degrees (14 nautical miles). This not only exceeded the Longitude Prize’s top requirement but was even more accurate than the lunar distance method (which typically had errors of 30–50 nautical miles).
The Governor of Jamaica was astounded by H4’s performance and personally signed a test report confirming that H4 "maintained extraordinary accuracy throughout the voyage, providing reliable positioning for the ship." William returned to London with H4 and the report in January 1762. Holding the report, Harrison said excitedly to William, "We did it, son. We finally solved the longitude problem!"
However, when Harrison submitted H4’s test report to the Board of Longitude, he faced fierce opposition from Maskelyne. Maskelyne argued that H4’s success was "a fluke": "One lucky voyage does not prove it will work in all seas." He also claimed H4’s design was "too complex" for ordinary clockmakers to replicate, making it too costly to maintain and repair for naval use. Most infuriatingly, Maskelyne demanded that Harrison "publish all of H4’s design blueprints"—otherwise, the test results would not be recognized.
Harrison refused to release the blueprints. He argued that H4’s design represented over 40 years of his life’s work and was his intellectual property. Furthermore, Britain was at war with France at the time, and publishing the design could allow the French to copy it, threatening British naval security. The dispute deadlocked, and the Board finally decided to award Harrison only half the prize (£10,000) and ordered him to build an identical marine clock (H5) for a second transatlantic test. If H5 also passed, the remaining £10,000 would be awarded.
### 4.4 The 1764 Barbados Voyage: H4’s Second Vindication
Though angered by the Board’s decision, Harrison agreed to build H5 to fully prove H4’s reliability. Before starting H5, however, he insisted on a second test of H4—this time to Barbados, a Caribbean island farther south with higher temperatures, to further verify H4’s performance in tropical seas.
In February 1764, William once again boarded a Royal Navy ship, *HMS Tartar*, with H4, bound for Barbados. During the voyage, H4 performed brilliantly: in tropical heat (daytime temperatures exceeding 35°C) and high humidity, it maintained an error of just 1.5 seconds per day, with a total error of 7 seconds over the entire voyage—corresponding to a longitude error of approximately 0.0875 degrees (10 nautical miles). The Governor of Barbados also signed a test report, praising H4 as "the greatest timekeeping invention in human history."
When William returned to London in October 1764, the second test report was submitted to the Board of Longitude. By this time, even some former supporters of the lunar distance method began to acknowledge H4’s value—naval officers, in particular, strongly advocated for its adoption, as they knew H4’s accuracy would drastically reduce shipwrecks and protect sailors’ lives and ships. Under pressure, Maskelyne was forced to admit H4’s success but still insisted Harrison build H5 and release the blueprints.
In 1765, Harrison began work on H5. Now 72 years old, his health was declining, and he often felt fatigued, but he still went to his workshop daily. William became the primary builder of H5, while Harrison provided guidance and calibration—incorporating improvements to H4 into H5, such as optimizing the bimetallic strips’ curvature for better temperature compensation and modifying the barrel design to extend power reserve to 30 days.
H5’s construction was relatively smooth, and by 1770, it was nearly complete. In London tests, H5 was even more accurate than H4, with an error of less than 1 second per day. However, when Harrison submitted H5 to the Board of Longitude, Maskelyne imposed a new requirement: "H5 must undergo a 12-month static test at the Royal Observatory. If it exceeds a 2-second error on any day, it will fail."
Harrison knew Maskelyne was deliberately delaying. At 77 years old, he did not know how much longer he had to live. By this time, he was fighting not just for the prize money, but to prove that his life’s work had not been in vain. In anger, he wrote to King George III, complaining of the Board’s injustice: "I have spent over 40 years developing a clock that accurately determines longitude and saves countless sailors’ lives, yet I have been subjected to endless doubt and obstruction. I beg Your Majesty to grant me justice."
## Chapter 5: Long-Awaited Justice – H5’s Victory and the Twilight Years (1770–1776)
### 5.1 King George III’s Intervention: From Laboratory to Palace
In 1772, Harrison’s letter finally reached King George III. The king, who had a keen interest in science and technology—especially inventions that enhanced British naval power—summoned the elderly clockmaker immediately after reading the letter.
In June 1772, the 79-year-old Harrison, supported by William, arrived at Buckingham Palace. He placed H5 on the table before the king and detailed his 40-year struggle to develop marine clocks and the Board of Longitude’s obstruction. George III examined H5 closely and reviewed the test reports for H1–H4. He told Harrison, "Mr. Harrison, your invention is a source of pride for Britain. I will personally oversee H5’s testing to ensure you receive fair treatment."
The king ordered H5 to be tested at the Royal Observatory, but with officials he appointed overseeing the process—Maskelyne was barred from interfering. The test began in July 1772 and lasted 12 months. George III asked about H5’s daily error every week, and the results were remarkable: H5 maintained a stable error of 0.5–1 second per day, never exceeding 2 seconds even under extreme temperatures. In July 1773, the supervising officials submitted their report: "H5’s accuracy far exceeds all requirements of the Longitude Act. It is currently the most reliable device for determining longitude at sea."
Delighted with the results, George III summoned the Board of Longitude members and angrily declared, "Mr. Harrison has devoted his life to serving this nation, yet you have delayed awarding him the prize with endless excuses. This is an insult to inventors! If you do not award him the remaining prize money immediately, I will propose to Parliament that the Board of Longitude be dissolved."
Under royal pressure, the Board finally relented. In August 1773, Parliament passed a resolution awarding Harrison the remaining £10,000 (with £5,000 deducted for the partial payment already received, resulting in a final payment of £5,000). By this time, 42 years had passed since Harrison began developing H1, and 59 years since the Longitude Act was passed.
When William brought the prize money to Harrison, the 79-year-old man wept with joy. Holding the check, he said to his son, "I didn’t do this for the money. I did it to prove that a craftsman’s wisdom can change the world."
### 5.2 H5’s Final Test: The Victory of the Marine Chronometer
In October 1773, the Board of Longitude arranged a final sea test for H5—the route was London to New York, a 5,000-nautical-mile voyage overseen by William. This test was not just a validation of H5, but the final official recognition of Harrison’s marine clock technology.
On October 15, William boarded the merchant ship *Resolution* (not a Royal Navy warship, to better simulate real merchant fleet conditions) with H5. During the voyage, H5 performed flawlessly: its error never exceeded 1 second even in North Atlantic storms. When approaching New York, H5’s calculations accurately guided the ship to the entrance of New York Harbor, arriving 2 days ahead of schedule.
The Governor of the New York Colony personally greeted William and praised H5’s accuracy: "With such a clock, British merchant fleets will cross the Atlantic more safely and quickly—a boon for trade between the North American colonies and Britain." In February 1774, William returned to London with H5, and the test report was sent to the British Admiralty. The Admiralty immediately issued an order: starting in 1775, all Royal Navy warships would be equipped with "Harrison-style marine chronometers" (copies based on H4 and H5’s design).
At long last, Harrison’s marine clocks received full official recognition. His technology was soon copied by British clockmakers, and by the late 18th century, nearly all British merchant ships and warships were equipped with marine chronometers, drastically reducing the number of shipwrecks. Statistics show that between 1775 and 1800, the number of British shipwrecks caused by longitude errors decreased by 80% compared to 1700–1775.
### 5.3 Later Life: Final Innovations and Legacy
With the prize money, Harrison’s financial situation improved, and he moved with William to a spacious house in London’s West End, enjoying a relatively comfortable life. But he did not stop working—at 80, he still went to his workshop daily, experimenting with improvements to marine clocks. He hoped to make them even smaller, so ordinary sailors could carry them; he also researched "anti-magnetic marine chronometers" to counteract interference from the increasingly common electromagnetic instruments (though electromagnetism was still in its infancy, Harrison had already recognized the potential threat of magnetic fields to steel parts).
In 1775, Harrison completed his final invention: a "miniature marine chronometer" (8 centimeters in diameter, 0.8 kilograms in weight) with accuracy comparable to H5 but smaller and more portable. He gave this clock to King George III, who cherished it and often carried it with him.
In his later years, Harrison also began organizing his notes and blueprints, hoping to pass on his knowledge. His notes detailed the design philosophy, test data, and improvement processes of H1–H5—even including his failures. These notes were later compiled by William into *The Construction and Practice of the Marine Chronometer*, published in 1778 (after Harrison’s death), becoming an essential reference for clockmakers studying marine chronometers.
Harrison’s health continued to decline in his final years. He suffered from severe arthritis (caused by decades of manual work) and heart disease. In March 1776, his condition worsened suddenly, and William and his family stayed by his side. On March 24, 1776—Harrison’s 83rd birthday—he died peacefully in his sleep.
### 5.4 Burial and Commemoration: The Immortal Clockmaker
Harrison’s funeral was held on April 2, 1776, at St. John’s Wood Church in London. Representatives from the Admiralty attended, along with members of the Royal Society—including Maskelyne, who had finally acknowledged Harrison’s contributions. During the funeral, William read his father’s will: "I bequeath my H1–H4 to the British Science Museum, so future generations will remember that the longitude problem was solved by a carpenter from Yorkshire."
Harrison was buried in the churchyard of St. John’s Wood Church. His tombstone bears the inscription: "John Harrison, 1693–1776, Solver of the Longitude Problem, Savior of Countless Sailors. With Perseverance and Wisdom, He Turned Time into a Beacon for Navigation."
After Harrison’s death, his marine chronometer technology continued to shape the world:
- In 1780, British clockmaker Thomas Mudge developed a more affordable marine chronometer based on H4’s design, making it widely available to merchant ships.
- In 1805, the British Navy used marine chronometers to accurately position its fleet during the Battle of Trafalgar, defeating the combined French and Spanish fleets.
- In the 19th century, marine chronometers became standard equipment for global shipping, driving the growth of international trade and colonial expansion.
- Harrison’s innovations—temperature compensation, high-frequency balance wheels, and the grasshopper escapement—became the foundation of modern mechanical clocks, influencing clockmaking to this day.
## Chapter 6: Legacy and Echoes – Contributions Beyond Time
### 6.1 A Revolution in Maritime History: From "Guesswork" to "Precision"
Before Harrison, navigation was a risky endeavor based on luck. Sailors could only estimate their position using vague information like latitude, speed, and wind direction—one wrong move could lead to shipwreck or getting lost at sea. Harrison’s marine chronometer provided sailors with the first "precise time scale," turning longitude determination from the "uncertainty of astronomical observations" into the "certainty of mechanical timekeeping."
The popularization of marine chronometers brought three revolutionary changes:
1. **A Leap in Maritime Safety**: The number of shipwrecks plummeted. The Royal Navy alone saw nearly 1,000 fewer shipwrecks between 1775 and 1800, saving tens of thousands of lives.
2. **More Efficient Routes**: With precise longitude positioning, sailors could take shorter, safer routes (such as the "40th Parallel Route" across the Atlantic), cutting transatlantic voyage times from an average of 2 months to less than 1 month.
3. **Breakthroughs in Geographic Exploration**: Explorers used marine chronometers to map the South Pacific and Indian Oceans accurately, discovering new islands and routes. For example, Captain James Cook relied on a copy of H4 during his third Pacific voyage in 1779 to determine the longitude of the Hawaiian Islands with precision.
Harrison’s marine chronometer marked the transition from the "Age of Exploration" to the "Age of Precise Navigation," laying the groundwork for future global trade, colonial expansion, and geographic discovery.
### 6.2 Impact on Clockmaking: The Foundation of Modern Mechanical Clocks
Harrison’s technical innovations transformed the clockmaking industry:
- **Temperature Compensation**: His bimetallic compensation device became a standard feature in all precision mechanical clocks and is still used in mechanical watches today.
- **High-Frequency Balance Wheels**: H4’s high-frequency oscillation design raised clock accuracy from "minute-level" to "second-level," setting the standard for modern mechanical watches.
- **Escapement Innovation**: The grasshopper escapement and improved verge escapement drastically reduced part wear, extending clock lifespans and setting the stage for the "chronometer" (a term later used for high-precision timepieces).
- **Advancements in Materials and Craftsmanship**: Harrison’s mastery of brass, steel, and jewels, and his pursuit of extreme manual precision, advanced 18th-century machining techniques, laying the groundwork for precision manufacturing during the Industrial Revolution.
In the 19th century, Swiss clockmakers adopted Harrison’s technology to develop more accurate and affordable mechanical watches, establishing Switzerland as the global center of clockmaking—a legacy that endures today, as core technologies in Swiss mechanical watches still bear Harrison’s influence.
### 6.3 Lessons for Science and Society: Craftsmanship and Defying Authority
Harrison’s story is more than a tale of technical innovation—it offers profound lessons for science and society:
1. **The Value of Craftsmanship**: Harrison had no formal education, yet he solved a problem that eluded top scientists through his dedication to precision and deep understanding of practical challenges. His story proves that craftsmanship is not just "hard work," but "innovation rooted in practice"—every part improvement and every test adjustment was based on a thorough grasp of real-world problems.
2. **The Courage to Defy Authority**: Faced with skepticism from the Royal Society and obstruction from Maskelyne, Harrison refused to give up. He used facts to prove his technology’s worth, showing that scientific progress often requires challenging "authority worship." Whether it is "academic authority" or "mainstream opinion," it must be tested by practice.
3. **The Synergy of Basic Research and Applied Technology**: Harrison’s success relied on both his deep understanding of mechanical principles (basic research) and his accurate grasp of sailors’ needs (applied technology). His story demonstrates that scientific research and technical application are not opposites, but complements—only by combining theoretical knowledge with practical needs can we create inventions that truly change the world.
### 6.4 Modern Commemoration: A Tribute Across Time
Today, Harrison’s legacy lives on:
- **The Science Museum, London**: H1–H4 are permanently displayed in the museum’s "Longitude Gallery," attracting millions of visitors annually. H4, in particular, is the museum’s "treasure," with a plaque reading: "This small pocket watch changed the course of human maritime history."
- **The Harrison Medal**: The British Horological Institute established the "Harrison Medal" to honor individuals who make outstanding contributions to clockmaking technology.
- **Place Names and Monuments**: The John Harrison Memorial stands in his birthplace of Fleetham, Yorkshire; a street near the Royal Observatory in London is named "Harrison Street" in his honor.
- **Popular Culture**: Harrison’s story has been adapted into novels, films, and documentaries. The most famous is *Longitude* by American author Dava Sobel, translated into over 30 languages and selling over 10 million copies, introducing Harrison’s传奇 to readers worldwide.
In 2020, during events commemorating the 300th anniversary of the Longitude Act, the Royal Society reaffirmed Harrison’s contributions: "John Harrison did not just solve a technical problem—he demonstrated humanity’s perseverance and wisdom in the face of adversity. His story reminds us that no matter one’s background, with unwavering belief and relentless effort, anyone can change the world."
## Conclusion: Guardian of Time, Creator of History
John Harrison’s life was a lifelong struggle with time. Starting as a village carpenter in Yorkshire, he spent 42 years solving the longitude problem that had plagued humanity for millennia. Faced with skepticism and obstruction from authorities, he remained true to his beliefs, using precise marine chronometers to prove the reliability of mechanical timekeeping. His technical innovations not only saved countless sailors’ lives but also advanced the history of navigation, clockmaking, and even industry.
Harrison was not a "scientist" in the traditional sense—he published no academic papers, held no prominent position at the Royal Society, and received no formal higher education. Yet he embodied the essence of the "scientific spirit": curiosity about the unknown, pursuit of precision, defiance of authority, and respect for practice. His story shows that the power to change the world comes not only from theoretical breakthroughs in laboratories but also from the manual work of craftsmen in workshops; not only from the wisdom of top scholars but also from the perseverance of ordinary people.
Today, marine chronometers have been replaced by modern navigation technologies like GPS, but Harrison’s spirit endures. In an era of rapid change and instant gratification, his focus on "doing one thing well in a lifetime," his pursuit of "excellence and perfection," and his courage to "stand up for truth against authority" remain invaluable treasures.
John Harrison may have been forgotten by time itself, but the "time scale" he created continues to light humanity’s path of exploration. He was a guardian of time and a creator of history—his name will forever be linked to the "longitude problem," "marine chronometers," and "craftsmanship," leaving an indelible mark on the course of human civilization.
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English
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16k
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T8. Structured & Numeric Reasoning
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T8.3 Long-Context Procedural State Tracking
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Full
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Based solely on the article, compute the number of years from Harrison's smallpox recovery to the invention of the "bimetallic compensation device". Output the "[Answer]" identifier first, and then output the number of years, without any additional content.
Output example:
[Answer]
27
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Based solely on the article, compute the number of years from Harrison's smallpox recovery to the invention of the "bimetallic compensation device". Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the number of years.
Output example:
<Your thinking process>
[Answer]
27
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[
"39"
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Easy
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3f3c92510341a1e408559d63416fbb811115b3093d3e5905459452d828963b4f
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抗日根据地的“自给经济”
经济的供应是八路军驰骋于敌后的关键因素，更是抗日根据地生存和发展的基本保障，因此敌后抗日根据地需要拥有能够维持党政军民基本生活的经济收入。
全民族抗战初期，抗日根据地的经济收入主要有三个途径：国民政府的拨款；对根据地群众的征发；苏俄和共产国际的资金支持。其中，国民政府的拨款占有较大比重。在中华民国政治框架下，作为国民政府下辖的边区，抗日根据地的经济收入主要是国民政府发放的薪饷，还有来自进步人士、海外侨胞的捐献，这些薪饷和捐献通过资金汇款、战略物资、个人携带等形式发放至边区。此外，来自苏联和共产国际的经济支持也很重要。据黄道炫的研究，“中共每年都从共产国际得到援助，1938年初得到的那50万美元，以当时比值计算，约合法币200万元。苏联的财政援助，比陕甘宁边区1937、1938两年的财政收入之和还多了50多万元”。而对根据地群众的征发主要采用“有钱出钱、有力出力”的政策，征发重心在富裕的阶层，征发额度在边区经济收入中占比不大。可见，此时期边区经济收入主要来自外部援助，而不是内部征发。据周祖文的研究，陕甘宁边区财政收入多来自“‘中央协款、八路军军饷和国外华侨、后方进步人士捐款’，其中八路军军饷是每月60万元，此项加上华侨和进步人士的捐款占到了1940年边区当年‘岁入的70.5%’。在1937-1940年中，外援占当年财政收入的51.69%-85.79%之间，这基本上占到了陕甘宁边区财政收入的七至八成”。以外援收入为主的经济来源特征非常明显，但是依靠外援收入也存在重大风险，一旦外援断绝或丧失，抗日根据地的生存和发展便会受到严重威胁。事实上也是如此，1939年后国民党不断制造摩擦，甚至封锁抗日根据地，在这种政治形势下，国民政府不仅停发了抗日军饷，还停止转送后方进步力量、海外华侨的捐赠，使边区陷入经济困难期。因此，抗日根据地要有生存和发展的基本保障必须依赖内部征发，必须得建立自给自足的经济。
根据地机关干部纺线
建立自给的经济从休养民力开始。为了建设抗战统一战线，抗日根据地改变了苏维埃时期的土地政策，在承认土地私有和借贷关系的前提下，允许地主、债主收取原有的租额、利息，但是政府拥有合理调整租额和利息的权力，一般是调低租额和利息，以减轻贫苦农民负担，即减租减息，租额原则上实行“二五减租”（原租额减低25%），利息原则上年利息不超过一分，利息超过原本，停利还本，超过两倍，本利停付。减租减息给农村各阶层经济带来了一定变化，地主等经济富裕家庭的实力有所削弱，中农等一般经济家庭的数量有所增加，贫雇农等经济困难家庭生活水平和社会地位改善明显。比如，据不完全统计，晋西北根据地临县“全县退出租粮8443石，农币467000元，现洋3500元，其他实物折款28368000元；地租较抗战前减少50%，抽旧契约3389张，销毁账簿386本，回赎不动产土地18680亩，收回窑洞436孔；有2.9万户贫下中农买回土地93400亩”。
“合理负担”是抗日根据地休养民力进行内部经济征发的基本原则。减租减息减轻了农民的经济负担，同时为了抗日根据地各体系的运转，也得益于外援收入，政府坚持“合理负担”的政策对根据地群众征购粮食、筹集钱款。所谓“合理负担”，简单来说就是《抗战时期内县村合理负担办法》中规定的：“县村摊派应以得利钱的人，重重负担；有财产的人，多多负担；赚钱多的人，多负担为原则。”即“得利者重负担，有财产者多负担，赚钱多者多负担。”在陕甘宁边区，救国公粮就是在“合理负担”原则下进行的粮食征收。其实，救国公粮是一种具有过渡性质的农业税，主要以农业收入为征收对象，是在传统田赋征税无法适应根据地战时财政开支情况下向群众征收粮食的临时措施。在征收过程中，各地政权根据粮食多寡制订具体的征收计划，一般是粮食多的地区就多征，反之少征，还设立粮站，尽量保持粮食供求的平衡性。由于照顾到了民情，救国公粮的完成情况比较理想，时任陕甘宁边区政府审计处处长曹力如的报告显示：“历次的救国公粮征收及粮食购买中，基本上都超额完成了征购任务。如1937年计划征收一万一千九百石，实收一万三千八百五十九石，超过一千九百五十九石；1938年计划征收一万零七百五十石，实收一万五千九百五十五石，超过五千二百零五石；1939年计划征收四万八千八百石，实收五万二千二百五十一石，超过三千四百五十一石，三年共超过计划一万零六百一十五石。”在征收过程中，起初主要是以政治动员与自动募捐为主，1940年开始按征粮条例征收，配合民主评议，群众负担基本公平合理，贫农负担占收益的5%-12%，中农为9%-20%，富裕中农为17%-30%，富农为21%-30%，地主为25%-35%。
不仅有救国公粮，还有建设救国公债。建设救国公债是在根据地财政紧张的情况下，政府向民众借钱，用于建设根据地的水利、交通、工厂等各项事业，以促进根据地各项事业发展。建设救国公债主要通过发动群众购买公债券完成。公债券一般分为50元、10元、5元三种面额，由盐税、商业税等税收作为公债券价值的担保品。为了鼓励群众购买公债券，政府会支付一定的公债利息，利息标准一般为年利七厘五毫，一张面额5元的公债券，每年利息0.0375元；一张面额10元的，每年利息0.075元；一张面额50元的，每年利息0.375元。政府还规定了“十年还清”的还债时间，即“每年还本十分之一，外加利息”，比如一张面额10元的公债券，第一年还本1元，外加利息0.075元，共计1.075元。公债券的处理非常灵活，群众可以自由买卖抵押，可作现金缴纳税款，也可向边区银行、光华商店及合作社兑换法币。1941年2月，陕甘宁边区发行建设救国公债总额500万元，并以盐税和商业税担保，得到了根据地群众的积极响应，一经上市便告罄。
制药厂（1943年，延安）
随着抗日根据地的发展，各种组织机构迅速膨胀，非生产人口急剧增加，战时开支越来越大，救国公粮的征收量不断增加，农民负担加重。在陕甘宁边区，1941年救国公粮的征收数量达到了20万担，“已占总收获量的13.85%”。同时，救国公粮的缺陷在于“每年税额的不能固定，勤劳所得与不劳而获同样只征收益税而不计算其土地财产税”，加之征收过程中出现“左”的偏向，导致负担面过小，少数的富有家庭承担了大部分负担，而大多数农民家庭基本不负担，危及根据地的稳定和团结。关键是，外援收入逐渐断绝了，抗日根据地亟须建立让每个家庭都能够承受一定负担的征收税制，以增加根据地运行的经济收入。面对这种情况，中共中央尝试进行政策调整，毛泽东认为：“必须按收入多少规定纳税多少。一切有收入的人民，除对最贫苦者应该规定免征外，百分之八十以上的居民，不论工人农民，均须负担国家赋税，不应该将负担完全放在地主资本家身上。”于是，统一累进税成为抗日根据地进行内部征发的标准。
在抗日根据地，农业是经济建设的首位，其次是工商业、交通运输业，最后是金融业、贸易平衡。因而，抗日根据地建立自给自足型经济的核心在于农业的发展，解决经济问题主要依靠农业税。如何征收农业税，这是根据地政府的最大难题，既要考虑党政军的运行经费，又要顾虑群众的家庭负担，采用一种合理负担的税收制度显得尤为重要。传统上中国农业税制的征收是按照粮银制而来的，由于年代长久，关键是地权发生变动，征税所依据的粮册上的信息基本失效，在现实中形成地粮分离或不相符的普遍现象，由此而来的便是有地无粮（富者）、有粮无地、粮少地多、粮多地少（贫者），加上官吏滥用职权，致使农民负担沉重。统一累进税是以合理负担为内在精神有免征点和累进最高率的所得税和财产税，不是间接税，而是一种直接税，由粮、秣、钱三种形式构成，既规定了财产、土地、资金和收益等交税范围，又照顾到了贫苦家庭。对此，中共中央明确指示：“累进税乃是应向我区内一切人民征收的税则。累进税则应照顾极贫苦之工农，规定对最低限度的收入者予以应有的免征。但免征者不应超过人口百分之十到二十，以使百分之八十到九十人口，即绝对多数人口，其中包含中农、贫农基本群众，均须予适当的负担。”
统一累进税实施后，群众负担标准的依据主要依靠土地和收入，其他捐税及田赋全部废除。在陕甘宁边区，1942年第二届边区参议会决定成立统一累进税实施筹备委员会及研究组，1943年8月，延安、绥德、庆阳三县试行统一累进税，1944年陕甘宁边区正式实施统一累进税。从陕甘宁边区实施情况看，累进率和核算表并不复杂，简单明了，方便计算，使群众能够轻易计算出应缴纳税额。农业统一累进税的计税单位是公斗，计税标准是土地常年产量，征收单位是户，计算标准则是每人的平均粮数，在这些统一标准外，各地的起征点有所不同，主要根据各地具体情况而定。比如，绥德分区以五斗起征，起征率为4%；延属分区三边分区及陇东分区之华池、环县均以六斗起征，起征率为5%；关中分区及陇东分区除华池、环县外均以八斗起征，起征率为7%。虽然各地的起征点有所偏差，但是各地累进税的计算规则基本上一致，即“每人平均五斗细粮累进率为4%，六斗为5%，七斗为6%……四十六斗以上为35%，最高率为35%”，而农户每人不足以上规定者一律免征。最高累进率并不固定，各地会依据具体情形有所调整。比如，陕甘宁边区直属县、陇东曲子等县，“富农地主的负担大都在其总收获量25%左右，中农为15%-20%，贫农为3%-10%”。大体来看，统一累进税的实施有四个关键环节：第一，以各阶层负担公平合理为基本原则。第二，农累税以每段土地之常年产量为计税标准。丈量土地，清查土地面积与评定其常年产量，解决土地纠纷，确定土地所有权，办理土地登记等工作，为最主要前提与依据。第三，为使各地区负担平衡与负担面达到一定水平，分别依据各地区不同的经济情况及人民生活程度，规定不同的起征点与起征率，以公斗为计税单位，按每人之平均粮计算，按户征收，累进率分五级跃进，累进最高率为35%。第四，农业副业凡属政府奖励发展者，一律免税，一般副业只就其发展起来的部分作为收益，按市价八折计税本征收。
统一累进税不仅减轻了民众负担，还改变了此前负担集中于富裕家庭的现象，使各阶层负担趋于公平合理。“地主与富农阶层的负担比重较过去公粮稍许提高了一点，地主最高增加2.9%，富农最高增加3.2%……其他各阶层的负担普遍下降了，富裕中农较前降低了2.8%，中农一般维持过去的状态，生产条件差一些的农户较前降低了，贫农降低0.8%，雇农降低了2.7%。”同时，陕甘宁边区登记在册的土地数量也有了大幅度提升，“最低的增加数占原统计数的10%以上，最高则达134%，过去农民隐瞒土地的现象没有了。”比如，“绥德县11个区，土地原统计数298931.5垧，登记后，增加49342.6垧，共为348274.1垧，增加数占原统计数16.5%”。
对于群众而言，农业统一累进税与救国公粮的最大不同，是不仅减轻了负担，让负担量走上正轨，而且把负担固定在土地上，由此制定的土地应产量的税额基本稳定，重要的是可以保留超出税额的产量，如果达不到土地应产量，还是按照应产量征收，这就消除了“生产少、负担少”的侥幸心理，意味着勤于劳动就可能获得更多的产量，而懒于劳动则一定不能获得更多的产量。权衡利弊之后，民众的劳动生产积极性显著提高，连那些长期不劳动的懒汉、二流子也不得不参加生产。安塞四区三乡的吴光才说：“按常年产量征税是个硬办法，这样征收，不但公平合理，就是二流子也得动弹起来了！”一位庆阳县农民说：“丈地征粮实在公道，地分三等九级，更是合理，这样算粮，我就知道明年该出多少了，以后一定要好好务营庄稼，多收下粮都是自己的。”绥德新一区二乡的一位农民说：“农累税按常年产量计税真公道，作物好的打粮多，负担少，以后多锄两次草，多上两筐粪，就够交粮了。”对此情形，曾在晋察冀根据地工作过的英国大使馆新闻员林迈可说：“‘统一累进税’的实施，是组织工作中一个很大的成就，和我谈论过这个税制的所有的老百姓，都认为这是一种很合理公平和管理得很好的税制。”
统一累进税规范了根据地内部征发的标准，提供了稳定的经济收入，但是无法解决物质贫瘠的现实，倘要自给自足，就要加强自给自足型的劳动生产，尤其是在钱粮物紧缺时，这种劳动生产更显得重要。因而，抗日根据地号召党政军民开展大生产运动。大生产运动不仅是抗日根据地广开财源的重要措施，也是根据地实现自给自足经济的关键举措。在陕甘宁边区，1939年2月，陕甘宁边区党委、政府、抗敌会、保安司令部联合发出开展生产运动的紧急通知，明确指示：“边区以内党、政、军、民、学校各级人员，每人应保证从今年秋收后，粮食菜蔬完全自己生产以自给，从今年七月份起，边府减发菜钱两分，从秋收起不再发粮食。因此，各级工作人员的任务，便是要在今年春季，立即计划耕种，能从秋收后屯一年的粮食和菜蔬。而且党和政府及抗敌后援会的工作任务是两重的，即一重是要保证每个农民今年生产能增加百分之二十，又一重是保证机关工作人员在秋收后自己有粮食自给。”此后，陕甘宁边区对自给生产的重视度不断增加。1941年9月，陕甘宁边区政府向中央书记处发出函件，请求中央发起节省粮食运动。1940年2月，中共中央、中央军委就向部队下达开展生产运动的指示：“斗争已进入更艰苦阶段，财政经济问题的解决，必须提到政治的高度，望军政首长，各级政治机关努力领导今年部队中的生产运动。开辟财源，克服困难，争取战争的胜利。”指示还介绍了部队生产的六条经验：“第一，在比较巩固地区，一般可按延安的经验，同时进行农业、商业、手工业生产，普遍发展喂猪种菜等事业，达到改善生活，克服困难，节省公费之目的。第二，在不巩固的地区，可经由地方党政府与当地群众订约，组织军民生产协作，由军队酌量抽派人力牲畜，帮助农民耕作，由农民供给驻军以一定比例的粮食马料。第三，行止无定的部队，应利用战斗间隙，普遍无代价的在自己地区之内，帮助农民春耕及各种劳作劳动，进一步与群众打成一片，以便用另一种方式取得农民对军队自愿与踊跃输助。第四，但部队经营商业必须取慎重态度，要有统一的组织与管理，规定营业范围，红利支配，严密监督，不可放任，否则可能促成政治上的蜕化，干部的腐化，资本主义影响的生长，危险性很大。第五，生产运动要有广泛深入的政治动员，与政治任务紧密联结，提高劳动热忱与政治积极性，要有合理的组织工作与实际从事指导的生产委员会，监督管理这一运动的进行。第六，提出一面战斗（非战斗机关是一面工作）、一面生产、一面学习的口号，三者合一，我们就能战胜一切。”1943年10月，中共中央政治局再次指示：“党部、政府及军队，必须于今年秋冬准备有关明年全根据地实行自己动手克服困难的大规模生产运动，包括公私农业、工业、手工业、运输业、畜牧业及商业，而以农业为主体。实行按家计划，劳动互助，吴满有运动（农业劳动英雄），赵占魁运动（工业劳动英雄），黄立德运动（机关学校种菜英雄），奖励劳动英雄，举行生产竞赛，发展为群众服务的合作社。”“一切机关学校部队，必须于战争条件下厉行种菜、养猪、打柴、烧炭、手工制造及部分种粮。”
在大生产运动中，春季是一个农业生产的关键期，因而抗日根据地特别重视春季生产，发起春耕运动。1942年2月，陕甘宁边区政府颁布了春耕运动的相关命令，指示各地行政领导要高度重视农业生产，认为：“边区经济建设，最重要的是农业生产。农业生产能不能完成任务，全靠春耕运动是不是普遍深入的发动起来。”边区春耕运动工作办法中再次强调了精神，并且增强了将群众“组织起来”参加春耕运动的认识，提出“各级政府均以春耕运动为中心工作，集中力量发动全边区人民积极实行春耕，造成热烈的春耕运动。经过民众团体的协助，发动群众积极响应政府的春耕运动号召，做到每个农夫、农妇、青年和儿童等，均加入春耕生产战线，进行春耕竞赛，发扬劳动热忱。反对不劳而食的二流子和懒汉，鼓励他们，强迫他们参加生产”。1944年3月，中央书记处给华中局发去组织群众生产的指示：“春耕已到，你们应动员广大人民，一切男女老幼走上生产战场，各级地方干部，专员县长区长乡长等，均应亲自下乡，精细的去指导与组织一个村或几个村的生产，解决人民生产中的困难，发动群众高度的生产热潮。除此之外，关于部队机关学校的生产，亦应加以切实的动员和组织，在不妨害战斗与工作条件下，要使每一个战士与工作人员适合各人情况的都去参加一些生产劳动，为切实改造本部队本单位的生活而斗争。”组织起来的群众积极参加春耕运动，推动了大生产运动的发展。
但是在现实生产中，有的家庭并不具备农业生产的基本条件，面临缺乏生产工具、生产资料、劳动力等诸多生产困难，尤其是那些家中劳动力参军在外的抗属家庭，遇到的生产困难更大。为了解决群众大生产的难题，有的根据地积极组织变工队，探索互助合作的生产形式。一般说，变工队由十几名劳动力和牲畜组成，坚持“合理耕种、节约劳力”的原则，开展农业合作劳动。对于变工队，美国记者爱泼斯坦写道：“从前，他们每人都是要赶一部牛车到田里去施肥和播种，但现在只三个人就可赶所有的牛车，其他的人便能做别的工作了。过去在田里弄饭吃，差不多每个人要花两个钟头去生火，准备吃的东西，现在一个人做这一队人吃的饭，每天等于节省了两个人工。”重要的是，变工队虽然建立在每个家庭拥有土地的基础上，但并不完全限于每个家庭私有土地的劳动经营上，在变工过程中产生了带有集体性质的财产，比如通过合作劳动开垦出来的荒地，并不是属于个人，而是属于变工队，但是对于荒地上的产量会按照每个队员的实际付出进行分配。显然，这样的荒地经营表现出来了集体经营的形式，并且这种形式扩散开来，在其他领域逐渐出现，生成了集体化的合作社经济。对这个新事物，边区给予充分的肯定，在1943年陕甘宁工作报告中如此夸赞：“特别宝贵的是，今年的生产运动创立了新民主主义经济的合作社体系，这就是集体互助的农业合作社，其形式是变工队、扎工队、唐将班子等，这就是南区合作社式的包括生产合作、消费合作、运输合作、信用合作的综合性合作社。这就是运输合作社（运盐队），就是手工业合作社，就是牲畜保险合作社，而我们部队机关学校的群众生产，也是带有合作社性质的，也是一种合作社。”可见，变工队的意义不仅是有效地解决生产困难家庭那样简单，实际上产生的意义更大，那种在生产运动中生成的互助合作的集体劳动将分散的个体生产集中起来，逐渐实现了在生产资料私有基础上局部的集体化，孕育着未来中国经济上的希望。游历根据地的美国记者哈里森·福尔曼也注意到了这个希望，言道：“合作事业以私人财产为基础，自愿同意为原则，用着许多方式来组织散漫的，个别的，落后的农村经济。有十万以上的农民（约占农村劳动力四分之一）已经组成变工队和扎工队。有二十万人已经加入消费、运输、生产和信用合作社。有妇女十三万七千人以上已经组成纺织合作社。”可见，“组织起来”的重大意义是酝酿和积累了农业集体劳动的原则和经验，对中国未来的生产经营是有指引意义的。
在“丰衣足食”口号的鼓舞下，大生产运动形成了群众运动，而劳动英雄发挥着模范和榜样的力量。比如，陕甘宁边区南农场群众马丕恩、马杏儿父女是1943年的劳动英雄，在边区政府的嘉奖命令中写道：“南农场伙计马丕恩，46岁，米脂人，家中共6口人，除了老婆，有4个孩子，一个17岁的女儿，一个15岁的男孩，其余两个年幼不能劳动。刚从米脂逃荒到农场时，一家人除了身上穿的破衣服外，再无其他财物。安定下来后，马丕恩与农场订立合同种庄稼，勤劳生产，除了完成合同中的生产任务外，还开了六垧的荒地，同时安排自己的老婆到农场喂猪，孩子也动员起来参加生产。经过一年生产，马丕恩不仅还了借粮，有了余粮，还喂养了几头猪，买了新衣服、被子、毯子等家庭生活必需品，生活实现自给。他的成功全赖于他的劳动精神，即全年全家都参加生产，包括老婆女孩。在这种劳动精神下，他的女儿马杏儿参加生产劳动热情高涨，总是与他父亲一样开荒，扎工锄草时，别人休息，她也不休息，前去寻水，收割庄稼时，和父亲一样从早干到晚，像个成年男子一样，干劲十足。”在边区，马丕恩父女只是群众积极参加生产的一个缩影，类似经过生产改变生活遭遇的群众越来越多，边区政府正是认识到了劳动英雄所引起的积极效应，借此改变群众的生产观念。1943年11月，高岗在陕甘宁边区劳动英雄代表大会与生产展览会开幕典礼上发表讲话指出：“在我们这里，革命以前劳动者是被人看不起的，可是现在他们也受到了无上的尊重。但是就我们全中国来说，除了我们共产党领导下的抗日民主根据地外，别的地方还从来没有过这样的事情。十几年前，我看过一出戏，叫做‘三回头’，说有一个姑娘不肯嫁给一个耕地的农民。在中国的旧小说里、旧戏剧里，在旧社会的一切著作中，农民一向是被贱视的，这就是说，中国旧社会一向是看不起工农的，看不起劳动者的。然而现在在我们这里，劳动者却受到空前未有的尊重。他们是劳动英雄，是新社会的‘状元’。”紧接着在12月的第一届劳动英雄大会上，高岗重申了这个观念：“现在劳动都变成光荣了。自从共产党领导咱们闹革命，打日本，发展生产，咱们才翻了身，再不受人压迫，还做到丰衣足食，有吃有穿，现在又当了劳动英雄，处处受人尊敬。”陕甘宁边区主席林伯渠在闭幕讲话中也激情地号召：“我们边区不仅样样出英雄，人人都可以做英雄。”
纺纱厂（1942年，延安）
在劳动英雄的示范引领下，大多数群众改变了传统的劳动观念，尤其是当看到政府干部也亲自参加劳动后，参加生产的热情也提高了。比如，延长县焦县长亲自参加担粪、翻地、锄草、收割，麦收时，白天割了一天，晚上收工时还要挑着一担回去，很多群众说：“自古以来没见过县长担粪，今天县长也担起粪来了，我们必须加倍生产才对。”确实如此，“人民看到，政府要求他们多生产，并不是为了养活越来越多的寄生虫。在过去的封建时期，在农民的思想上，政府的含义只不过是养活寄生虫。现在这个观念变了”。因而，经济自给的意义在于“它不但教育与锻炼了许多干部，使体力劳动与智力劳动密切的结合起来，而且在对群众的影响上，在政治上也有很大的意义的。它使得群众获得实际的经济利益，提高了生产的热忱，认识了中共的领导究竟是不同的”。同时改变了“食人者治于人，食于人者治人”的封建落后观念，赢得群众的认同。劳动观念转变后，群众积极参加生产。1944年1月，林伯渠在边区政府委员会第四次会议上谈及1943年群众大生产时说道：“边区人民劳动生产的热忱已经普遍发动起来，甚至于连道士、老妇人也转入生产的浪潮。淳耀庙湾区大香山金刚庙有一个道士张凤鸣，去春受群众开荒热潮的影响，断然剃去头发，拒绝老师阻止，搬住莲花洞务农。”认为“劳动合作，劳动英雄，模范村以至模范乡，这就是边区人民生产大进步的最重要，最有意义的标志”。
大生产运动缓解了根据地的经济困难，让根据地在面临外部经济封锁的情况下渡过难关，并为最后的反攻积累了物质基础，成为根据地自给自足经济的关键一环。1943年，延安地区的机关学校“自给比例从26%直到76%”。1944年，太岳区部队开荒58000余亩，产粮400万斤，部队生活得到很大改善，生产前每人每天吃不到2钱油、3钱盐、经常吃野菜，现在全区部队平均每人每月可吃到10两多肉，每天可吃2钱6分油、3钱7分盐、12两菜，最好单位可吃到4钱油、5钱盐、1斤菜，每月半斤至1斤肉不等，普通单位可吃到3钱油、4钱盐、12两菜、每月半斤至1斤肉，粮食不仅可完全吃饱，而且将去年的亏空和开荒时吃的粮食，以及一部分工具、种子、购买费等，填补起来……在减轻人民负担方面来说，一般减轻人民负担在25%至33%。1945年4月，毛泽东在给深入鄂豫边开展敌后工作的郑位三等人的指示中特别强调了生产自给的重要性，指出“你们除粮食外，其他用费应由主要依靠税收转到主要依靠生产自给，放手由各区自己生产解决，只有这一办法才是最可靠办法。1940、1941、1942整整三年，陕甘宁边区财政困难情形比你们还要厉害，从1943年起就是依靠这一办法解决了问题。仅有人口一百五十万的边区，却养活了十五万公家人而民不伤。五台、太行两区的困难也比你们要大，去年一年大生产运动，情形就变了”。
应该注意的是，大生产运动中大多数党政军机关和组织完成了生产自给，群众负担大为减轻，党政军民关系呈现出较为亲密的关系。很多群众称颂道：“八路军既能打仗，又能生产，又能与人民打成一片，从古到今哪里有过这样的军队？”“他们在生产过程中，像在战斗中一样，是非常热烈非常有创造性的。去春开荒时，天尚未明，就整队上山，天已漆黑，还不肯下山，规定饭后休息十五分钟，但大家也要争着去挖地，以致上级不得不定出这样的劳动纪律：生产时不准早到和迟退。”在这种认识下，边区政府发出了拥军优属的指示：“八路军是人民自己的武装，是本质上最好的军队，有高度的政治认识与战斗能力，有优良的作风与传统。八路军不仅坚持了华北抗战，在全国抗战中起了支柱作用，而陕甘宁边区的保卫，人民民主民生利益的保护，亦全赖有八路军的镇守。”边区政府还布置具体的拥军工作，检查拥军优属工作的不足，宣讲拥军优属的意义，组织慰问活动和举办军民联欢会。同时，军队也发出了拥政爱民的指示，继续增进与政府和群众的和谐关系。双拥运动成为抗日根据地一道亮丽的风景。
除了高度重视农业生产外，抗日根据地也注重发展副业，制定各种工商业条例，鼓励乡村集市贸易，尤其是扶持私人工商业的发展，并且引导其与政府合作，以解决党政军民的急需物资。互助合作也出现在副业经营上，很多地区成立了油坊、粉坊、豆腐坊、磨坊等生产合作社，以及以盐、火柴、棉、布等日常用品为主的消费合作社。合作社经济整合了根据地的物资资源，缓解了日常用品匮乏带来的生活困难。比如，晋西北根据地偏关县某村1944年秋收后，组织成立合作社，全村计有27户，其中18户以入股方式加入了合作社，最后共吸收了30股资金、18股劳动力、4股驴力。以此为基础，合作社组织了一支运输队，到河曲、神池、五寨等地以盐、布换油籽，得利12000元，开设了一座小油坊，得利7200元，经营了一个豆腐坊和旅店，得利21200元，还办了1个消费合作社，供给日常用品，得利40000元。在4个月内，合作社共计获利80400元，入社农户的经济生活状况得到很大改善。
经济的自给既要开源，也要节流。精兵简政就是抗日根据地厉行经济节流的重要举措。1939年6月，中共中央发出决定，指出边区财政经济日益困难，要求各级单位要发扬艰苦作风，严格统一收支，建立预决算制度和会计审计制。1941年12月，陕甘宁边区政府给各县发出指示信，认为：政府存在“头重脚轻”现象，表现为上级机关庞大，人数过多，而下级机关配备力量弱，还存在工作散漫化的现象，表现为“老一套”的游击作风，导致政令执行力下降，同时认为这些现象形成的一个重要原因是各级政府人员配备不妥善。1942年9月，陕甘宁边区提出“三个必须”，即“必须把边区范围内的行政、地方武装、财政等完全统一于边区政府的领导，才能保证思想行动之更能一致与有效。必须组织简单，脱离生产的成员减少，才能保证不甚富庶的边区能够供给长期抗战以人力物力而不致匮竭。必须人尽其力，物尽其用，提高每个政军人员的战斗力与工作力，不使有任何物质的浪费，才能充实力量，准备反攻”。于是，抗日根据地开始实行精兵简政。简而言之，“精兵”主要是对正规部队进行整编，将老弱人员转移到生产中，加强士兵的政治军事训练，提高军队的战斗力，同时增强非正规部队的武装力量，而“简政”主要是缩编政府人员，精简机关，提高行政效率。其全部意义在于“统一，少而精，提高效率”。
在简政过程中，陕甘宁边区进行人员精简的标准是：“第一，凡是有相当文化程度、有能力、能工作的干部，应该尽量往下移，以加强县、区、乡的机构（县级干部亦应有一部分移到区乡级去）；第二，凡是须继续培养，加以深造的干部，应该经过一定的系统，送来延安的学校学习；第三，凡是身体确有疾病、实在不可能工作或学习的干部，应该由原机关负责设法给以休养，使其恢复健康后，能够胜任愉快的为革命继续工作；第四，凡是身体强壮的杂务人员，应该送入建设厅所属各工厂，去参加生产事业，以发展边区生产；第五，凡是太落后的分子，以及太老弱的杂务人员，他们需要回家去务农的，应该帮助他们回去。”1944年1月，陕甘宁边区各级政府机构大为精简，边府的内部机构裁并了1/4，35个直属机关减至22个，95个税局、税所减至65个，撤销全部银行办事处，各系统缉私机关与保安处检查机关合并在一起，而专署及县府的内部机构也从8-9个减至4-5个。各级政府的人员精简也按照方案落实，大多数机关实现了精简，有的机关还缺人。与此同时，正规部队和非正规部队也实施了精兵政策，提高了战斗力，如左权所言：“（精兵政策）不是简单的为克服财政经济的困难，简单的为穿衣吃饭问题，而是具有更大的政治意义。”“不仅是适合目前的形势与任务，适合于坚持敌后抗战，渡过艰苦难关的必要途径，而且是为着战略反攻，为着迎接新的伟大时期，准备力量。”
综上所述，在困苦的经济条件下抗日根据地坚持开源节流，逐渐建立了克服经济困难和资源匮乏的自给自足型经济，不仅保障了军用民食，还积蓄了战斗力量，重要的是在此过程中中国共产党并不是过度消耗民力、依赖民力，而是与民同甘共苦，以减轻群众负担为出发点和落脚点，展现了一心为民的政党本质，正如岳谦厚所言：“中国共产党在激烈的战争状态下积极推进有利于人民群众的社会改革，边区政府将改善民生、珍惜民力与爱护民力作为政策制定的立足点，各项政策均以战争需求和根据地自身特点为依据，因应了广大人民群众的利益诉求和权利要求。针对根据地农民负担过重、民众生活贫苦及商品经济落后的情势，边区政府领导人民进行合理减轻负担、实行减租减息、厉行节约、整理村财政、整肃贪污浪费、发展集市贸易等运动和工作，极大地调动了人民群众的生产和建设积极性。在抗战最困难时期，中国共产党人以人民利益为先的信念坚如磐石。”自然，中国共产党获取的政治认同越来越多，展现出不同于其他政党的政党自信。
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T3. Evidence-Grounded QA
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T3.2 Single-Hop Fact QA
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根据上述文本，在陕甘宁边区试行累进税时，明确提及的具体地区中，未包含以下哪个分区/县？先输出“[答案]”标识符，再输出答案选项字母（'A'或'B'或'C'或'D'），不要输出任何其他内容。
A：关中
B：绥德
C：庆阳
D：延安
输出示例：
[答案]
B
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根据上述文本，在陕甘宁边区试行累进税时，明确提及的具体地区中，未包含以下哪个分区/县？进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出答案选项字母（'A'或'B'或'C'或'D'）。
A：关中
B：绥德
C：庆阳
D：延安
输出示例：
<你的思考过程>
[答案]
B
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"A"
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Easy
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4bebbba2c1c5585fc5d2ed7548e3b4e7cca4ecae9c0a8838352ebd05545c2197
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《野草》2025年第4期｜谢志强：小火驹雪羊羔（中篇小说 节选）
一 骑上大西瓜
情节一
那一口钟，是一块犁铧。昨天，他进连队时，看见连部前面有一棵粗壮的胡杨树，树上悬挂着一片犁铧。垦荒年代，保留住了这棵胡杨树。爸爸讲了个故事。垦荒时，上下班两头不见太阳，有一天收工，一个战士到沙丘背后解了个手，夜色降临，那个战士竟往沙漠里走，等到发现未回连队，连长指挥几路人进沙漠寻找。爸爸骑的马有灵性，找到了已奄奄一息的战友。爸爸出了个主意，天黑后，在胡杨树梢上再挂一盏马灯（原来只挂了一面红旗），再也没出现迷失方向的情况了。
地窝子顶，有一扇方方的小天窗，框着一片蓝天。有白云飘过，像一只只绵羊，偶尔，飞来几只麻雀，探头探脑，叽叽喳喳，偏着头，仿佛鼓动洪柳上去。他仰脸，望累了，低头，感觉地窝子里暗了许多。不一会儿，视力适应了光线，就看见炕台上的剪刀，他走过去，却被腰上的绳子拽住了。他够着了一根红柳，骑上大西瓜，双脚离地，红柳为鞭，他像赶马车的爸爸那样吆喝：驾——吁——驾。他也像爸爸那样，虚晃着鞭子，不抽打。
情节二
连队还没建托儿所。妈妈解释：连队所有跟你差不多大的孩子都这样，离沙漠近，不能胡乱跑，跑进沙漠就出不来了，大人进去了也会迷路。
爸爸想耍魔术，从床底下够出一个西瓜。偌大的西瓜，像个肥嘟嘟的猪，滚到洪柳面前，爸爸表情严肃地说，只能玩耍，不许弄破，记住，一切行动听指挥。
妈妈解释，弄破了，天气热，容易馊，会招来苍蝇。还说，你爸爸要去很远的连队，那里有许多马，你一天天长大，是不是要换鞋子？你爸爸给马换鞋子，蹄子长大了，走路不舒服了，就铲马蹄，钉马掌。
洪柳提出一个要求：让小马驹来陪伴我。
爸爸说，小马驹还要吃奶，离不开妈妈。
妈妈系上了白纱巾，爸爸挎上了工具包。地窝子的门关闭了，洪柳还听见门外上锁的声音。他的耳畔，还留着钟声的余音。
情节三
妈妈递来了一个木勺子。洪柳挖瓤心，吃得打了个饱嗝。他听见外边有放出来的小孩的叫声笑声。爸爸说，关了一天，该出去遛一遛了。他走出地窝子，满天繁星。远处的沙丘和连队的地窝子，外形都差不多。夜色中的大地隆起了一个一个包。
洪柳看见连部刷了白石灰的木坯房子前那棵胡杨树，马灯照亮了悬挂着的犁铧钟。他发现，脚下的地窝子顶，长着一层草。爸爸把草籽拌在泥土里，覆盖并加固“屋顶”，可以防风抗雨，不让屋漏。
洪柳发现，鲜活的草，有啃过了的痕迹。一定是白天小马驹嘴馋，一不留神，踩进了天窗。他把手伸下去，灯光里的妈妈冲着他说，小心，别掉下来。
那天晚上，他认识了绰号叫猴子、杨娃子、小迷糊的几个小伙伴。妈妈循着小孩的声音找过来，叫他回家。新鲜的夜晚，他还没尽兴。
那一年，他五周岁，杨娃子已上小学一年级了。上学了，就不用拴在家里。他盼望早日上学。杨娃子身上一股羊臊气，好像是披着羊皮的人。他还听说，爸爸和杨娃子的爸爸曾是战友。
情节四
碧绿的西瓜不听使唤。他脚尖着地，一蹬，瓜滚。他坐了个屁股墩。他赶紧起来，及时地阻止了西瓜滚动，前边是梁柱子，西瓜会撞得头破血流。幸亏没滚出束缚腰间的绳子的极限。他重新骑上大西瓜，借助抵地的鞋尖，他移动着西瓜，想象骑上了没有缰绳的小马驹。他的重心没把握好，西瓜似乎不愿意被骑，闹起了别扭，趁机往床底下滚，却被床腿挡住了。分明听见一声脆响，他立刻检查，生怕西瓜破裂。幸亏只擦破了一点皮。他表扬西瓜，你经受得住考验。
他吃了一口馒头，咬一口苹果，就一口水。吃饱，喝足，躺到床上，望着天窗。一束阳光照了下来。床边的地上，有一方耀眼的阳光，似乎地上也开了一扇窗。他发现，从上到下的光柱里，细微的飞尘像蚊子一样飞舞。
渐渐地，洪柳的眼皮垂下来，像演出结束，合拢帷幕。突然，传来几声敲击声。不是门，而是窗。他仿佛从梦中出来，看见天窗伸进一条腿，是马腿，小马驹的腿。像掉进了陷阱，腿在窗下边乱蹬。可是，洪柳的眼里，似乎在招呼，邀请他上去玩耍。小马驹来帮他出去。
情节五
洪柳来到了农场最偏远的连队，第二天，像给马系上绳套那样，爸爸把他拴在地窝子的床腿上。
洪柳原本在农场场部的托儿所，头一天，爸爸赶着马车来接。机耕路尽是泡土，车碾过，干燥的土像湿柴着了火，冒出了浓浓的尘烟。一匹小马驹一会儿跑到前边，一会儿跟在后边。路旁有一个沙丘，沙丘上有一层红柳，像冲天的辫子。刹住车，爸爸抱他下车，牵手，上了沙丘。爸爸用长满老茧的厚手，抚了抚开着细碎淡红花朵的红柳花，说，这叫红柳，来，相互认识一下。
洪柳第一次把自己的姓名和红柳对上了号。戈壁沙漠里，红柳抗旱耐活。
听妈妈说，这个连队，曾属沙漠。爸爸那批老兵来到人迹罕至的地方垦荒，就有了这片绿洲（后来，他做了个梦，梦绿了一片沙漠）。洪柳前面好像有一个大大的馕饼，他佯装咬一块，唾沫滋润出一片绿洲。
除了这个连队，相邻的还有好几个连队，每个连队都有马厩。那是马辉煌的时期。爸爸重返当年垦荒的老连队，发挥特长：给马钉蹄、钉掌。传来上工的钟声。爸爸要去别的连队给马钉掌，就用一根麻绳，一头系在洪柳的腰上，一头绑在床腿上，打了死结。绳子的长度就是洪柳活动的半径。半径的范围里，清除了刀子、剪子之类的利器。但摆着一壶水，几个苹果，两个麦面馒头，洪柳很委屈，说，我又没有犯错误，为啥拴住我？
情节六
洪柳站起来，踮起脚尖，却够不着那条腿。他跳下床，取出床底下的一根棍子——坎土曼把子，再跳上床，用棍子抵住马蹄。也许棍子帮了忙，也许是马驹受了惊，反正，那条腿收上去了，消失在天窗。尘土纷飞。不一会儿，天窗出现了好奇的小马驹的头，看样子，它要弄明白天窗下边到底有什么。
洪柳笑着，摆了摆手。那是昨天一路伴他们行的小马驹。爸爸说过，马厩里，唯有小马驹不拴缰绳，不戴笼套，可以自由活动。他羡慕小马驹。仿佛他是拴了缰绳的小马驹。
地窝子里恢复了平静，平静引出了瞌睡。不知过了多久，妈妈推醒了洪柳。天窗一方星星闪烁。
梁柱悬挂着一盏放亮的马灯。爸爸的脸出现在洪柳的上边，挡住了有星星的天窗。洪柳闻到爸爸身上散发出马的气味。
爸爸笑了，说，生瓜蛋子。
妈妈也笑了，说，这孩子，死脑筋。
爸爸拿起了英吉沙小刀，切掉瓜蒂，插入刀尖，刚要划刀，好像瓜里藏了一个好笑的秘密，憋久了，一胳肢，就笑开了怀。西瓜脆响着裂开，犹如一道闪电，裂开了一条贯穿的大缝。粒粒黑籽，嵌在红瓤里，手一掰，瓜一分为二。
二 小火驹
洪柳终于上学了。他一直盼望背着书包上学校。
杨娃子主动陪同洪柳到学校报到。洪柳发现，杨娃子在小学已经很有名了，小学二年级的学生都叫他羊娃子。杨、羊谐音，可是一年级的同学咬准“羊”这个字，试图把杨和羊区别开来，仿佛他是混进人堆里的一只羊。
本来，杨娃子和他们同上一年级，他们升级了，杨娃子留了级——像站队列，别人前进了，他在原地踏步。洪柳觉得杨娃子故意在一年级等候着他。洪柳身上马驹的气味，同学还能接受。不过，同学们嫌杨娃子身上有一股难闻的羊膻味（同学们把这种气味叫成羊臊气），不愿和他同桌。岳老师安排了洪柳和他同桌。
杨娃子说：“羊和马都是家畜。”
洪柳隐隐约约约闻到了沙枣花香。那香气很淡。沙枣花开时，他和杨娃子吃了沙枣花，可现在，树上已经结满了一串串沙枣。他打量着杨娃子，猜想是不是春天的沙枣花被杨娃子吸收，现在散发出来了？
杨娃子神秘地笑了，在桌子下面，掏出一个黄色的香囊。那是香气的源头。
洪柳以为杨娃子用花香气掩盖羊膻味。
杨娃子解开囊口，里边装满了干干的碎碎的沙枣花。
洪柳吸吸鼻子，说：“男人怎么喜欢女生的东西？”
杨娃子嘴对准他的耳，说：“爸爸接我来新疆，就给我戴着妈妈的香囊，现在，我用它奖励我的小羊羔呢。”
洪柳终于知道自己身上带着马的气味，他闻一闻自己的手和臂，试图辨别出马味，好像他原本就这个气味。他想念小马驹。
杨娃子说：“马咋能闻得出自己的气味？别人说的羊膻味就是我的气味。”
这一年，洪柳六周岁，他不再说虚岁有七岁了。那天晚上，他和小伙伴一起玩。新疆普通话一下子置换掉了上海话，接着，他去食堂打饭。饭票上计量单位是“克”，而不是“两”。逐渐，原来的计量单位也被置换了，跟上海的记忆一同消失，市斤换成公斤，米顶替了尺。里换算为公里，还有星期，十天为一旬，每一旬休息一天，就是大礼拜天，洪柳感到一个礼拜时间那么漫长。
连队和营部之间，有一条一千米长的林带相连，像一条绿色的绸带连接着。农场统一规划，一个条田，一千米长，五百米宽，长方形。连队的小伙伴，包括杨娃子，都走读，唯有洪柳寄宿。两个班的寄宿男生住在一间大房子里，据说，以前是大礼堂。大通铺，垫稻草，用圆木拦住，走廊像田埂，一个挨一个睡的通铺像瓜田，一个一个脑袋挨着，洪柳看，像一堆西瓜田。爸爸会说：“你就是个生瓜蛋子。”洪柳记住的是红柳，那是爸爸接他来农场之前，树根叔叔隔时空给他起的名字。红柳生在戈壁荒漠。他看见红柳，像是报到，会说：“我也叫洪柳。”
洪柳很委屈，像被爸爸嫌弃了，这么近，还寄宿，寄宿的同学都是离营部很远的连队的小孩。爸爸根本不容他争辩，用命令的口气说：“儿子娃娃（男子汉）从小就要经受考验。”爸爸给他准备的装备也简单，一条床单，一条毛毯（羊毛毯子）。爸爸还说：“当年我们那支部队进新疆，翻越祁连山，风雪交加，我就披着这条毛毯过来了，好多战友还穿着单薄的军装呢。”
洪柳心里抗议：现在已和平了。
妈妈说：“毛毯是不是薄了？”
爸爸坚持道：“不经受寒冷考验，哪会珍惜温暖呢？吃不了苦，哪来的甜？”
仿佛一条毛毯隔开了洪柳和爸爸，那一边，爸爸还在过雪山，这一边，他躲在绿洲里，动一动，床单下边的稻草就发出窸窸窣窣的响声。沙漠地带，昼夜温差悬殊。当然，他也试过爸爸抵抗寒冷的方法，冷得受不了，就到外边站一站，果然，回到毯子里，温暖了，可不一会儿，他又冷得发抖。周末回家，他不提毯子那么薄，自己冷得够呛，他也不说，那么多同学，为什么只有他要经受“考验”？家里，爸爸妈妈盖有棉絮的被子。他把话闷在心里，像充了气的皮球，感觉随时会飞跳起来。
半夜醒来，他的半个身子已钻进相邻同学的被子里。好像不用脑袋指挥，身子会本能地寻找温暖。后半夜，尿急，同学会扯起他的毛毯，当成临时御寒的披风。解手回来，他也钻进毛毯，能闻到毛毯上的尿臊气味。早晨，他还按照爸爸要求的折叠方式叠得方方正正。值日老师把情况转告给班主任岳老师，岳老师送来一条棉絮被子，含着奶香味，那味道来自奶牛，婴儿喝牛奶。洪柳不再看同学的脸色了。他每次遇见岳老师，会恭敬地叫“老师好”，还认真地听岳老师的语文课。
洪柳发现，班里有几个同学的眼睛不对劲。有一同学说那是“斗鸡眼”，也有的说是“对挤眼”，他倾向后者，因为眼白上黑色的瞳孔向鼻梁两边的眼角靠近，像对挤，他试过，将手指竖在眉心前，两只眼凝视，就是“对挤眼”了。可是，他弄不明白，眼珠子为什么会长成那样？
每天傍晚，喧闹一个白天的校园寂静下来。洪柳站在校园东边，目光沿着林带往前扫，仿佛自己在林带里走，尽头就是连队。小伙伴即将聚拢，开始捉迷藏，或打土坷垃仗。他望着马厩。连长照顾洪柳的爸爸，给营部打了招呼，不再每天奔波去铲马蹄，而是固定在马厩，当饲养员。还搬了家，腾出马厩旁边的一间耳房——那像是马厩的大耳朵。要是喊，能收听到吗？他真想呼唤出小马驹，撒欢地跑到他跟前。甚至，他想象小马驹能散发出枣红的光，如同胡杨树上的马灯（现在已取消那盏树上的马灯了）。幻觉中他还能听到马在槽头嚼草的声音，他想象自己变成一只蟋蟀，藏在草里，马一定奇怪，草会叫？马会支棱起耳朵。他随机编了个故事，故事里，他变成了蟋蟀，藏在塑料槽里叫，一排马竖起耳朵好奇地听。要是最初给相邻的同学讲这个故事，同学一定邀请他进温暖的被窝，旁边的同学也会竖起耳朵听，然后，会说“上当了，洪柳把我们当成马了”。直到夜色笼罩大地，他凝视着那一点亮，那是挂在马厩的一盏马灯。好像黑夜是一个庞然大物，吞不下一点亮，只能含着，像含着一块糖。
洪柳期盼大礼拜天。周末放学，他跟小伙伴一起回连队，在林带里追逐、爬树、摘沙枣，尤其是摘黑屁股沙枣（含糖多）。那是他最快乐的时候。吵得麻雀惊飞，像一把一把石子抛向夜空，简直可以跟繁星会合，当然麻雀不高飞，林带是它们的家。
家门虚掩着，没亮灯。田野里响着康拜因的轰鸣，那是在抓紧时间收割稻子。他拉亮电灯，桌上有麦面馒头，锅里有西红柿蛋花汤。爸爸在马厩里。他的肚子里已装了沙枣，吃了一个馒头。他的鼻子灵敏，闻到了鸡的气味。移凳子，够衣橱，上边有一个柳条篮子。一只炖好的鸡，他扯了个鸡腿，狼吞虎咽。然后把凳子放回原处，听见门外有脚步声，他觉得自己像个小偷，偷食。他拉灭了灯，蹲在桌下。
门张开，一个身影，背后衬托着满天繁星。仿佛带来一群星星。
洪柳以为那是走错门的人，他维护起“家”了，就问：“你是谁？”
那个人头蒙纱巾，发出妈妈的声音：“住了学校，你连我也认不出了？！”
洪柳看妈妈浑身上下蒙着沙尘，像个沙人。
妈妈摘下纱巾（连队的阿姨，都戴着一块纱巾蒙头，遮阳挡沙，沙漠吹来的风携带沙子，而且阳光毒辣），一抖，纱巾像着火冒烟，拍打衣裤，也似湿柴燃烧，整个人蒙在尘烟里。妈妈这才走进门。洗脸洗脚，一盆水也浑了。终于现出原形。
洪柳莫名其妙地担心，妈妈要是一遍一遍地换水洗，是不是会洗得没有了？像冬天堆起的雪人，太阳照，雪人化，一摊水。他从来没有这样引妈妈说话，小脑袋里抖出一连串的话题。妈妈回答，就表示妈妈存在。
妈妈说：“进了学校，说起话来，像车轱辘，睡吧。”
可是，他还是说出了憋了很久的疑问，他给妈妈演示起来，然后问：“为什么好几个同学会是对挤眼，黑眼珠子往鼻梁方向挤，被鼻梁挡住了。”
妈妈耐心地回答：“白天，大人垦荒，生怕小孩自己跑，就关在屋子里，还不会走，放在床上，小孩只能望着天窗，双眼看久了，眼珠就挤到一起。”
洪柳说：“我也仰望过天窗呀。”
妈妈说：“你会走，会玩，望天窗时间短，吃奶的小孩躺着不动。”
洪柳看得出，妈妈累了，累得像要散架了，只说：“你们提前给小马驹套上缰绳了。”
第二天一早，爸爸叫醒他。他首先闻到了爸爸身上马的气味。学校待一个礼拜，他身上马的气味也少了。
爸爸说：“一只鸡腿跑到哪里去了？”
洪柳回过神，鸡腿在他的肚子里呢。可是，他不响。他几乎要说：有好吃的，还瞒着我，考验我忍住冷，还要忍住饿吗？
傍晚，临走，妈妈扯下另一条鸡腿，吃啥补啥，跑得快。他在乎没有鸡腿的鸡，他享受不到了。后来，他从杨娃子的口中获知，杨娃子的爸爸旧伤发作，享受了鸡的慰问。杨娃子也沾了光。
收割完毕，马厩的山又增高了，除了苜蓿山，还有稻草山。大人称那是“垛”，小孩叫那是“山”，那是玩战争游戏的绝佳地方，守和攻。可是，洪柳寄宿学校，失去了那种快乐。
一天黄昏，洪柳习惯地遥望马厩，他看见“山”，如果过冬，那“山”会一天天低下去，那么多匹马在吃“山”。“山”最高的时候是深秋。
洪柳第一次望见了大火——马厩着了火。马棚、草垛，都易燃。他沿着林带奔跑，像学校举行田径运动会，最后冲刺，出了林带。夜色退缩，火光把马厩那一片照得亮晃晃。幸亏马厩不远处有个涝坝。大人们拎桶，端盆，往火里泼水。到处都在动，到处都是火。洪柳站在人群外边，像一棵幼树，发呆地望着大火的舞蹈。起风了，马厩里伸出无数个火的舌头，舔着泼进去的水。
杨娃子在喊：“起火了，起火了。”他的喊声，如同后来有一天夜晚，喊贼，也似稻秧已绿了，布谷鸟在林中叫：“布——谷，布——谷。”
一个小伙伴拿着脸盆经过，前襟一片一片湿，说：“你家也着火了。“
爸爸从人群里跑过来，拎着空桶，头发散发着焦煳味，一定被火舌舔过，衣服上有烧破的洞，说：“你这个生瓜蛋子，来看热闹呀，还不去帮妈妈救火。”
可能是刚才那个小伙伴把洪柳在场的消息告诉了爸爸。洪柳的脑袋一片空白，像被烧空了。他望着马厩，穿过人群，径直地走过去，火里吐出了一团火，分明是一匹马，枣红马，后边紧随着小马驹。马身上在燃烧。冲出火，身上落下了顶棚的干草。母马有缰绳，大概挣断了，缰绳也带着火，像是炸药包的导火索。洪柳分不清是火的颜色还是毛的颜色。
洪柳愣在外边，不是看人，而是关心马，那匹小马驹。现在，他替小马驹着急。它的身后，马厩顶棚纷纷坍塌。里边还有马在火的肚子里。他期望看到的小马驹终于展现在他的眼前。火像是一张大嘴，吞了果肉，吐出一粒核。
枣红母马如一团燃烧的火炬，冲进了夜幕里，夜幕立即亮开一条道，小马驹紧随其后。夜幕笼罩住了前面的田野，收割过的稻田，只剩密密麻麻、整整齐齐的稻茬。稻茬好像不甘心被割了，还酝酿着生长的力气，抽出了嫩绿的叶子，那些叶子又进入了一场未来丰收的梦，可惜，即将来临的严霜会打断它们的美梦——这是他去守防沙林带，树腿叔叔说的话。
朦胧的月光里，洪柳追随枣红马母子。他看见小马驹的影子，渐渐消融在无边的夜色里。马身上的火已熄灭了。马的黑影融入了夜的黑暗。好像火吐出核，被黑夜趁机叼进了。他踩着稻茬跑。稻茬像一把把刷子，还沾着露水。他听见母马的呼唤，小马驹的回应。他朝夜幕里喊：“不要跑了，等等我呀。”他还模仿小马驹的声音，竟无回应。随后，一派寂静，夜风吹来，他打起寒战。
那天夜晚，他不敢回家。远远望马厩，还有星星点火。他转入林带。偶尔惊飞几只麻雀，他不敢回头，总觉得后边跟着什么，但希望是小马驹。他多么希望小马驹来陪他走夜路。到了学校，整个寝室黑咕隆咚。
他钻进毛毯，又拽起棉被盖上，脑袋也捂进。他浑身颤抖，是因为夜寒，还是大火？到了周末，他第一次畏惧回家。他的腿把他带到了羊圈。老杨头点亮马灯，欢迎小客人。那一刻，他羡慕起来，要是爸爸的脾气像老杨头一样就好了。杨娃子让他抱一抱脖颈挂着香襄的小羊羔，还说：“明天，你去把小马驹叫来。”洪柳高兴不起来。杨娃子说：“那天马厩着火，过后，你爸爸到处找你呢。”洪柳一声不吭。临睡前，他冒出一句：“我去追小马驹了。”可是，杨娃子抱着小羊羔睡着了。
小马驹，小火驹，小马驹，小火驹。那是跟他形影不离的小马驹。好像洪柳的脑袋里建了一个马厩，只住马驹。而且是一大群枣红色的小马驹。他想起，冬天的大雪，羊群出不了圈，他和杨娃子堆起雪羊，他俩忙得出了一头汗。杨娃子的头上，像揭了盖的蒸笼。
洪柳佩服树腿叔叔一夜之间，能画出十几头大大小小的毛驴。起先，洪柳以为竖腿叔叔拥有一大群毛驴。树腿叔叔竖起一根指头：“一头毛驴，从小到大，好像一群。”洪柳想到大火冲出的小马驹，反复念，反复想，他的脑袋像一个马厩，有了一群活灵活现的小马驹了。
三 白羊黑羊
班级里，同学相互起绰号，大多对应动物。洪柳也有绰号：红马驹（红和洪同音），只是没叫开来。还有女生叫小燕子、蝴蝶、黄豆芽。课堂上也叫绰号，甚至叫学名时，被叫的学生还迟疑着不应——叫得连自己也都接受了。学名和绰号像一个人分身为两个人。
又是春天，有个大礼拜天，沙枣树还没绽芽，杨娃子陪同老杨头去放羊。把羊赶到沙漠里。
春天的沙漠，是小孩的脸，说变就变。沙漠起沙暴了。绿洲里，沙尘暴那么高，那么大，像巨型滚筒，轰轰烈烈地从沙漠碾过来，然后，狂风率先到达，携带着沙子，遮天蔽日，天地都“黑”了。白天像黑夜，躲进屋子能听见沙子往门窗缝里钻的声音。
风停沙沉，已近傍晚，那是收羊群的时候，父子俩赶着羊群进圈，像平时一样清点羊只，少了好多只羊。
杨娃子一脸惊慌，像突然哑巴了，一声不吭，愣愣地陪着他爸爸。洪柳的爸爸告诉洪柳，杨娃子晚上睡不着，点亮煤油灯。老杨头用手抚一抚他的头，只说：“睡呢，睡一觉就好了。”
连队里流传着一个说法：有三个“连长”，童连长管人，一百多号人；洪柳的爸爸管马，包括毛驴、骡子，主要是五十多匹马；小杨的爸爸管羊，二百多只羊，穿着“白衣天使”一样的绒衣，是个加强连。三个“连长”常常碰头，养马人，放羊人，也属于童连长管。爸爸知道杨娃子睡不着觉，洪柳断定：爸爸顶着沙尘暴已经去过羊圈了。
第三天早晨，风仿佛累了，外边寂静了。屋子里，所有的平面上，都落了一层沙子。沙子从门的缝隙中钻进来，盆里、碗里都是沙子。洪柳动一动嘴，嘴里也有沙子，硌牙，吐一口唾沫，是一团黏稠的沙子。掀开被子，被子像是着火冒烟，沙子飞扬。想象，狂风把沙子扬上天，像晒场，大人拿着木锨、铁锨扬麦子，麦鱼随风飞起。现在风停歇了，可是，天空还弥漫着沙尘，看不见太阳。太阳像迷瞪瞪的睡眼。
趁这个机会，爸爸叫上洪柳，装了一手拉车的干苜蓿，去羊圈“支援”，洪柳叫上小马驹。
圈里的羊，一见车上的干苜蓿，叫声一片，还拥到木栅栏门口。
洪柳闻到了老杨头身上散发出的药味，不见杨娃子的身影。老杨头指指地窝子，说：“他在地下睡觉呢。”
洪柳带着小马驹进了地窝子，杨娃子蒙着被子，床头，卧着一只小羊羔，小羊羔看见洪柳手上的一把干苜蓿，“咩咩”叫着蹦跳过来。洪柳阻止小马驹：“不要跟咩咩羊抢食，马号里苜蓿够你吃的呀。”
杨娃子的脑袋钻出被窝，说：“你打断了我的梦。”
洪柳套用爸爸说他的话，说：“太阳晒到屁股了，你梦见了啥？”
杨娃子说：“黑羊。”
洪柳说：“都是白羊，啥时候增加了黑羊？”
杨娃子一拽被头，像藏猫猫，又捂进了被子里。
洪柳熟悉马厩的气味，地窝子里弥漫着羊的气味，他还在羊的气味里闻出了沙漠的气味和沙枣花的香气。是他们进沙漠放羊，把沙漠的气味带回了绿洲，沙枣花是去年的干花。洪柳记得，有一次他进入沙漠，仅仅是沙漠的边边，却撒谎，说是到林带摘沙枣了。爸爸揭穿了他的谎言：“你现在撒谎也不脸红了，你身上有沙漠的气味。”
当时，洪柳的脸发热（他一撒谎脸就发热或发烫）。爸爸拉下脸，说：“不能随便进沙漠，给我记住。”过后，他闻一闻自己的手，试图闻出沙漠的气味。有几次，他想跟小羊倌一起进沙漠放羊。因为，他梦绿了好大一片沙漠。老杨头说没见过沙漠的绿洲。洪柳想，我肯定把那个梦放到了沙漠的腹地了，羊群跑不到那么远。
从羊圈回到连队，爸爸对洪柳说：“黑夜里，杨娃子睡不着。”起先，他还听到门前五十多米远的羊圈里，传来羊的叫声，也有羊羔的回音声，后来，什么声音都没有了，就如同沙漠，沙尘暴过后，恢复平静，沙漠像什么也没发生过那样。杨娃子发现，其实，沙漠已有变动，移动过位置的沙丘就没了红柳。
睡不着怎么办？老杨头曾对杨娃子说过：“数羊。”
其他连队的羊群，有杂色。老杨头放的羊群都是纯白色，进入沙漠，像一大朵白云落在地上。出圈，归圈，都要数一遍，不够了还要去寻找。那天晚上，他只数归圈时的羊，反而睡不着，因为缺了好多只羊。然后，他想象中把羊群分为黑白两种颜色，还黑白混群，数清了出圈时的整群羊的只数，一只不少。白的归圈，黑的失散。
怪不得呢。杨娃子睡觉做梦，梦里能听到埋在沙丘里的羊群，起沙尘暴，昏天黑地，像夜晚一样，羊也染上了夜色——是白羊变黑了。
像是攒足了劲儿，沙尘暴又猖狂起来，风仿佛要鼓动沙漠，把沙子倒进绿洲。洪柳听爸爸说起过，现在的这片绿洲，垦荒年代就是沙漠的一部分。
过了两天，风歇沙沉，云开日出。洪柳听见鸟儿叫，门前的林带，树枝上的一串串芽苞，像爆米花一样崩裂，绽放出嫩叶，枝与枝之间也绿得模糊了。林带那边的田野，像水沾湿的衣襟，一片一片湿润，那是硬邦邦地解了冻。沙漠就是用这种粗暴的方法驱散冬寒。
沙尘暴停了，又要正常上学了。爸爸去了羊圈，带回杨娃子。洪柳总觉得杨娃子迷迷瞪瞪，一副还没睡醒的样子，像同个连队的同学小迷糊。爸爸说：“你俩一起待几天，同吃同睡同上学。”
马厩，槽头前有一个走廊，走廊的尽头，有一个土坯屋，土坯屋有个地铺。爸爸值夜班就睡在这里。妈妈炒了菜，爸爸去食堂打了饭。洪柳要杨娃子说说黑羊。明明没有黑羊，咋梦出了一群黑羊。听爸爸说过的那一部分，洪柳已不感兴趣。
杨娃子把原来那一群羊分成了白和黑两群，增加了清点的难度。接着，又加大了难度。
杨娃子数第二遍时，分别数，白归白，黑归黑，想象中，羊听他的调度。不过，他数完了黑羊时，就睡着了。那是他想象出的黑羊。
他对洪柳说：“黑羊的只数，恰好是留在沙漠的只数，沙丘移动，盖住了羊，沙尘暴停歇，西落的阳光照亮了沙丘，不知哪个沙丘肚子里藏着羊。”
他俩的爸爸是战友。杨娃子的话像车轱辘，反复说夜里数羊的事情。可能两个大人背地里有过交流，安排他到洪柳家吃饭，还一起睡。他说：“一群雪球一样的白羊之外，我梦见一群黑羊，那黑羊的只数，恰好是失去的只数。”
小马驹似乎也来凑热闹，它站在旁边，注视着盘子里的苞谷面馒头。洪柳掰了一半，放在掌心，能感到小马驹的柔软的嘴唇，一张一卷，半个馒头就消失在它的嘴里了。杨娃子说：“我忘了抱那只小羊羔一起来了。”
洪柳说：“白天刮沙尘暴，沙漠也跟夜晚一样，你知不知道，黑羊往哪里走了？”
杨娃子说：“爸爸说，捂在沙包里边了，可是，我做梦时，它们明明还活着。”
洪柳立起，说：“这就对了，我说过，我把沙漠梦绿了好大一片，同学们，包括你，谁都不相信，那你咋相信梦里的黑羊呢？”
杨娃子说：“就算你梦绿了一大片沙漠，那又怎样呢？”
洪柳的双手叉腰，一副权威的姿势，说：“什么叫‘就算’，我能看见沙漠有我梦绿的一大片，你梦里的黑羊，饿了，羊对草很敏感，黑羊一定朝着那一大片绿，去寻找呢。吃了绿草，绿草的汁液，让它们变绿了。”
杨娃子也一下子站起来，说：“我们晚上都做梦，各做各的梦，两个梦合在一起多好。”
洪柳说：“可是，你看不见绿羊。”
杨娃子眨巴眼，疑惑地问：“我的羊，我咋能看不出？”
洪柳说：“羊吃饱了草，都卧下不动了，羊和草都是绿的，绿在绿里，羊不动，就看不出。”
两个小伙伴即将开始争辩。突然，传来一声喊声。洪柳看见爸爸像一棵胡杨树立在门口。
爸爸瞪了洪柳一眼，说：“不提羊的事了，好好吃晚饭，什么黑羊，不准再说了，马号里不说羊圈的事，到这儿，就说马。”
两个小伙伴坐下。洪柳瞅着杨娃子，吐了吐舌头，两张小脸，窃笑。洪柳望着爸爸的背后，走廊的槽头，一盏盏马灯亮着，能听见槽头的马嚼草的声音。走廊的尽头，很幽暗，像是一个梦中的隧道，无限延伸。
算术老师教的加减乘除，还限在两位数。可是，洪柳弄不懂杨娃子，连两位数的加法也算不准，但三位数的羊“加”得一点也不出错。洪柳很佩服他的神算能力。
课堂提问，叫起杨娃子，两位数加两位数，和也是两位数。起先，杨娃子答不上来，坐下了，又抢答，而且，比另一个被叫起来的同学还准确。
那天晚上，洪柳坐起，问杨娃子怎么又准确地加起来了呢？
杨娃子激动地坐起身，说：“老师写的算题，只有光光的数字，我把相加的两个数字，在心里当成羊，白的羊，黑的羊，随便就能加起来了。”
小马驹立在洪柳旁边，支棱着耳朵，像是能听懂人的话。
杨娃子说：“我咋从来没见过小马驹躺下呢？小羊羔先是躺在我旁边睡呀。”
洪柳说：“马要站一辈子，站着睡，我爸爸说，马躺下了，就离死不远了。”
杨娃子说：“马不嫌累，罚站一辈子，谁定下的规矩？”
洪柳说：“马的事儿，要问马。”
|
Chinese
|
8k
|
T2. Sequencing & Structure Reconstruction
|
T2.2 Local Causal Chain Sorting
|
Partial
|
以上是一本长篇小说的多章内容，其中只有**一 骑上大西瓜**被打乱为6个情节片段。其余章节语序完好，作为背景，可忽略。任务：仅重建**一 骑上大西瓜**内部的情节顺序（因果/步骤链）。先输出“[答案]”标识符，再按行输出排序后的情节序号，不要输出任何其他内容。
输出示例：
[答案]
情节三
情节一
情节五
情节六
情节二
情节四
|
以上是一本长篇小说的多章内容，其中只有**一 骑上大西瓜**被打乱为6个情节片段。其余章节语序完好，作为背景，可忽略。任务：仅重建**一 骑上大西瓜**内部的情节顺序（因果/步骤链）。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的情节序号。
输出示例：
<你的思考过程>
[答案]
情节三
情节一
情节五
情节六
情节二
情节四
|
[
"情节五",
"情节二",
"情节一",
"情节四",
"情节六",
"情节三"
] |
Hard
|
79be61e73cf7a73e58a62ccc593dc7447324e0d02f56512d6014f783aa29f94c
|
1.数据处理分析模块
import pandas as pd
import numpy as np
import matplotlib.pyplot as plt
import seaborn as sns
from sklearn.preprocessing import (StandardScaler, MinMaxScaler,
OneHotEncoder, LabelEncoder)
from sklearn.impute import SimpleImputer, KNNImputer
from sklearn.decomposition import PCA
from sklearn.cluster import KMeans
from sklearn.model_selection import train_test_split
import logging
from typing import List, Dict, Union, Tuple, Optional, Any
import os
import json
from datetime import datetime
import pickle
import warnings
# 设置日志配置
logging.basicConfig(
level=logging.INFO,
format='%(asctime)s - %(name)s - %(levelname)s - %(message)s',
handlers=[
logging.FileHandler("data_processor.log"),
logging.StreamHandler()
]
)
logger = logging.getLogger(__name__)
# 忽略警告
warnings.filterwarnings('ignore')
class DataProcessor:
"""
数据处理与分析的主类，提供完整的数据处理管道功能
该类集成了数据加载、清洗、转换、分析和可视化等功能，
适用于各种结构化数据的预处理和初步分析工作。
"""
初始化DataProcessor实例
参数:
data: 可选的初始DataFrame数据
"""
self.data = data
self原始数据 = None # 用于存储原始数据备份
self处理历史 = [] # 记录数据处理历史
self特征列 = None
self目标列 = None
self.scalers = {} # 存储不同的缩放器
self.encoders = {} # 存储不同的编码器
self.imputers = {} # 存储不同的填充器
logger.info("DataProcessor实例已初始化")
def 记录操作(self, 操作描述: str) -> None:
"""记录数据处理操作到历史记录"""
时间戳 = datetime.now().strftime("%Y-%m-%d %H:%M:%S")
self.处理历史.append(f"[{时间戳}] {操作描述}")
logger.info(操作描述)
def 加载数据(self, 文件路径: str, 格式: Optional[str] = None, **kwargs) -> 'DataProcessor':
"""
从文件加载数据
参数:
文件路径: 数据文件的路径
格式: 数据格式，如'csv', 'excel', 'json', 'parquet'，如果为None则从文件名推断
**kwargs: 传递给相应读取函数的参数
返回:
自身实例，支持链式调用
"""
try:
# 推断文件格式
if 格式 is None:
扩展名 = 文件路径.split('.')[-1].lower()
格式映射 = {
'csv': 'csv',
'xlsx': 'excel',
'xls': 'excel',
'json': 'json',
'parquet': 'parquet',
'pkl': 'pickle',
'pickle': 'pickle'
}
格式 = 格式映射.get(扩展名)
if 格式 is None:
raise ValueError(f"无法推断文件格式: {文件路径}")
# 根据格式加载数据
if 格式 == 'csv':
self.data = pd.read_csv(文件路径,** kwargs)
elif 格式 == 'excel':
self.data = pd.read_excel(文件路径, **kwargs)
elif 格式 == 'json':
self.data = pd.read_json(文件路径,** kwargs)
elif 格式 == 'parquet':
self.data = pd.read_parquet(文件路径, **kwargs)
elif 格式 == 'pickle':
with open(文件路径, 'rb') as f:
self.data = pickle.load(f)
else:
raise ValueError(f"不支持的文件格式: {格式}")
# 保存原始数据备份
self.原始数据 = self.data.copy()
self.记录操作(f"从{文件路径}加载{格式}格式数据，形状为{self.data.shape}")
return self
except Exception as e:
logger.error(f"加载数据失败: {str(e)}")
raise
def 保存数据(self, 文件路径: str, 格式: Optional[str] = None,** kwargs) -> 'DataProcessor':
"""
将数据保存到文件
参数:
文件路径: 保存文件的路径
格式: 数据格式，如'csv', 'excel', 'json', 'parquet'，如果为None则从文件名推断
**kwargs: 传递给相应写入函数的参数
返回:
自身实例，支持链式调用
"""
if self.data is None:
raise ValueError("没有数据可保存，请先加载或处理数据")
try:
# 推断文件格式
if 格式 is None:
扩展名 = 文件路径.split('.')[-1].lower()
格式 = 扩展名
# 根据格式保存数据
if 格式 == 'csv':
self.data.to_csv(文件路径,** kwargs)
elif 格式 in ['xlsx', 'xls']:
self.data.to_excel(文件路径, **kwargs)
elif 格式 == 'json':
self.data.to_json(文件路径,** kwargs)
elif 格式 == 'parquet':
self.data.to_parquet(文件路径, **kwargs)
elif 格式 in ['pkl', 'pickle']:
with open(文件路径, 'wb') as f:
pickle.dump(self.data, f,** kwargs)
else:
raise ValueError(f"不支持的文件格式: {格式}")
self.记录操作(f"将数据保存到{文件路径}，格式为{格式}")
return self
except Exception as e:
logger.error(f"保存数据失败: {str(e)}")
raise
def 显示基本信息(self) -> 'DataProcessor':
"""
显示数据的基本信息
返回:
自身实例，支持链式调用
"""
if self.data is None:
raise ValueError("没有数据可显示，请先加载数据")
print("="*50)
print("数据基本信息:")
print(f"形状: {self.data.shape} (行: {self.data.shape[0]}, 列: {self.data.shape[1]})")
print("\n数据类型:")
print(self.data.dtypes)
print("\n前5行数据:")
print(self.data.head())
print("\n描述性统计:")
print(self.data.describe(include='all'))
print("="*50)
self.记录操作("显示了数据的基本信息")
return self
def 检查缺失值(self) -> pd.DataFrame:
"""
检查数据中的缺失值
返回:
包含每列缺失值数量和比例的数据框
"""
if self.data is None:
raise ValueError("没有数据可检查，请先加载数据")
缺失数量 = self.data.isnull().sum()
缺失比例 = (缺失数量 / len(self.data)) * 100
结果 = pd.DataFrame({
'缺失数量': 缺失数量,
'缺失比例(%)': 缺失比例
}).sort_values('缺失比例(%)', ascending=False)
self.记录操作("检查了数据中的缺失值")
return 结果
def 处理缺失值(self, 方法: str = 'mean', 列: Optional[Union[str, List[str]]] = None,
**kwargs) -> 'DataProcessor':
"""
处理数据中的缺失值
参数:
方法: 处理缺失值的方法，包括:
- 'mean': 均值填充(仅数值型)
- 'median': 中位数填充(仅数值型)
- 'mode': 众数填充
- 'constant': 常数填充
- 'knn': K近邻填充
- 'drop': 删除包含缺失值的行
- 'drop_col': 删除缺失值过多的列
列: 指定要处理的列，None表示处理所有列
**kwargs: 传递给填充器的参数，如fill_value(用于constant方法)，n_neighbors(用于knn方法)
返回:
自身实例，支持链式调用
"""
if self.data is None:
raise ValueError("没有数据可处理，请先加载数据")
# 复制数据避免修改原始数据
数据副本 = self.data.copy()
# 确定要处理的列
if 列 is None:
处理列 = 数据副本.columns.tolist()
elif isinstance(列, str):
处理列 = [列]
else:
处理列 = 列
# 确保处理的列存在
不存在的列 = [col for col in 处理列 if col not in 数据副本.columns]
if 不存在的列:
raise ValueError(f"数据中不存在这些列: {不存在的列}")
try:
if 方法 == 'drop':
# 删除包含缺失值的行
原始行数 = 数据副本.shape[0]
数据副本 = 数据副本.dropna(subset=处理列)
删除的行数 = 原始行数 - 数据副本.shape[0]
self.记录操作(f"使用drop方法处理缺失值，删除了{删除的行数}行，涉及列: {处理列}")
elif 方法 == 'drop_col':
# 删除缺失值过多的列
阈值 = kwargs.get('threshold', 0.7) # 默认缺失值超过70%则删除
原始列数 = 数据副本.shape[1]
# 计算每列的非缺失值比例
保留列 = [col for col in 处理列 if
(数据副本[col].notnull().sum() / len(数据副本)) >= (1 - 阈值)]
删除列 = [col for col in 处理列 if col not in 保留列]
数据副本 = 数据副本.drop(columns=删除列)
self.记录操作(f"使用drop_col方法处理缺失值，删除了{len(删除列)}列: {删除列}，阈值为{threshold}")
else:
# 填充方法
数值列 = 数据副本[处理列].select_dtypes(include=['number']).columns.tolist()
类别列 = [col for col in 处理列 if col not in 数值列]
# 处理数值列
if 数值列:
if 方法 == 'knn':
imputer = KNNImputer(**kwargs)
数据副本[数值列] = imputer.fit_transform(数据副本[数值列])
self.imputers['knn_numeric'] = imputer
else:
strategy = 方法 if 方法 in ['mean', 'median', 'most_frequent'] else 'mean'
if 方法 == 'constant':
imputer = SimpleImputer(strategy='constant',** kwargs)
else:
imputer = SimpleImputer(strategy=strategy)
数据副本[数值列] = imputer.fit_transform(数据副本[数值列])
self.imputers[f'{strategy}_numeric'] = imputer
# 处理类别列
if 类别列:
if 方法 == 'constant':
imputer = SimpleImputer(strategy='constant', **kwargs)
else:
imputer = SimpleImputer(strategy='most_frequent') # 类别列默认使用众数填充
数据副本[类别列] = imputer.fit_transform(数据副本[类别列])
self.imputers['mode_categorical'] = imputer
self.记录操作(f"使用{方法}方法处理缺失值，涉及列: {处理列}")
except Exception as e:
logger.error(f"处理缺失值失败: {str(e)}")
raise
参数:
方法: 处理异常值的方法:
- 'clip': 将异常值截断到阈值范围内
- 'remove': 删除包含异常值的行
- 'replace': 用边界值替换异常值
列: 指定要处理的数值列，None表示处理所有数值列
z_threshold: Z-score方法的阈值
iqr_factor: IQR方法的因子
返回:
自身实例，支持链式调用
"""
if self.data is None:
raise ValueError("没有数据可处理，请先加载数据")
# 复制数据避免修改原始数据
数据副本 = self.data.copy()
# 确定要处理的数值列
所有数值列 = 数据副本.select_dtypes(include=['number']).columns.tolist()
if not 所有数值列:
logger.warning("数据中没有数值列，无需处理异常值")
return self
if 列 is None:
处理列 = 所有数值列
elif isinstance(列, str):
处理列 = [列] if 列 in 所有数值列 else []
else:
处理列 = [col for col in 列 if col in 所有数值列]
if not 处理列:
logger.warning("指定的列中没有数值列，无法处理异常值")
return self
try:
for col in 处理列:
# 计算异常值边界
数据列 = 数据副本[col]
# 使用IQR方法检测异常值
q1 = 数据列.quantile(0.25)
q3 = 数据列.quantile(0.75)
iqr = q3 - q1
下界 = q1 - iqr_factor * iqr
上界 = q3 + iqr_factor * iqr
# 计算异常值数量
异常值数量 = ((数据列 < 下界) | (数据列 > 上界)).sum()
if 异常值数量 == 0:
logger.info(f"列{col}中没有检测到异常值")
continue
self.记录操作(f"列{col}中检测到{异常值数量}个异常值，使用{方法}方法处理")
# 根据方法处理异常值
if 方法 == 'remove':
数据副本 = 数据副本[(数据副本[col] >= 下界) & (数据副本[col] <= 上界)]
elif 方法 in ['clip', 'replace']:
数据副本[col] = 数据副本[col].clip(lower=下界, upper=上界)
except Exception as e:
logger.error(f"处理异常值失败: {str(e)}")
raise
def 编码类别特征(self, 方法: str = 'onehot', 列: Optional[Union[str, List[str]]] = None,
drop_first: bool = True) -> 'DataProcessor':
"""
对类别特征进行编码
参数:
方法: 编码方法:
- 'onehot': 独热编码
- 'label': 标签编码
列: 指定要编码的列，None表示处理所有类别列
drop_first: 独热编码时是否删除第一列以避免多重共线性
返回:
自身实例，支持链式调用
"""
if self.data is None:
raise ValueError("没有数据可处理，请先加载数据")
# 复制数据避免修改原始数据
数据副本 = self.data.copy()
# 确定要编码的类别列
所有类别列 = 数据副本.select_dtypes(include=['object', 'category']).columns.tolist()
if not 所有类别列:
logger.warning("数据中没有类别列，无需编码")
return self
if 列 is None:
处理列 = 所有类别列
elif isinstance(列, str):
处理列 = [列] if 列 in 所有类别列 else []
else:
处理列 = [col for col in 列 if col in 所有类别列]
if not 处理列:
logger.warning("指定的列中没有类别列，无法编码")
return self
try:
if 方法 == 'onehot':
# 独热编码
encoder = OneHotEncoder(sparse=False, drop='first' if drop_first else None)
编码结果 = encoder.fit_transform(数据副本[处理列])
# 创建新列名
特征名 = encoder.get_feature_names_out(处理列)
# 创建编码后的DataFrame并合并
编码数据框 = pd.DataFrame(编码结果, columns=特征名, index=数据副本.index)
数据副本 = 数据副本.drop(columns=处理列).join(编码数据框)
self.encoders['onehot'] = encoder
self.记录操作(f"使用独热编码处理了{len(处理列)}个类别列: {处理列}")
elif 方法 == 'label':
# 标签编码
for col in 处理列:
encoder = LabelEncoder()
数据副本[col] = encoder.fit_transform(数据副本[col])
self.encoders[f'label_{col}'] = encoder
self.记录操作(f"使用标签编码处理了{len(处理列)}个类别列: {处理列}")
except Exception as e:
logger.error(f"编码类别特征失败: {str(e)}")
raise
参数:
方法: 缩放方法:
- 'standard': 标准化(均值为0，标准差为1)
- 'minmax': 归一化(缩放到[0,1]范围)
列: 指定要缩放的列，None表示处理所有数值列
返回:
自身实例，支持链式调用
"""
if self.data is None:
raise ValueError("没有数据可处理，请先加载数据")
# 复制数据避免修改原始数据
数据副本 = self.data.copy()
# 确定要缩放的数值列
所有数值列 = 数据副本.select_dtypes(include=['number']).columns.tolist()
if not 所有数值列:
logger.warning("数据中没有数值列，无需缩放")
return self
if 列 is None:
处理列 = 所有数值列
elif isinstance(列, str):
处理列 = [列] if 列 in 所有数值列 else []
else:
处理列 = [col for col in 列 if col in 所有数值列]
if not 处理列:
logger.warning("指定的列中没有数值列，无法缩放")
return self
try:
if 方法 == 'standard':
scaler = StandardScaler()
数据副本[处理列] = scaler.fit_transform(数据副本[处理列])
self.scalers['standard'] = scaler
self.记录操作(f"使用标准化方法缩放了{len(处理列)}个数值列: {处理列}")
elif 方法 == 'minmax':
scaler = MinMaxScaler()
数据副本[处理列] = scaler.fit_transform(数据副本[处理列])
self.scalers['minmax'] = scaler
self.记录操作(f"使用归一化方法缩放了{len(处理列)}个数值列: {处理列}")
except Exception as e:
logger.error(f"缩放数值特征失败: {str(e)}")
raise
参数:
方法: 特征选择方法:
- 'correlation': 基于与目标列的相关性
- 'variance': 基于方差(删除低方差特征)
- 'manual': 手动指定保留列
目标列: 目标变量列名，用于correlation方法
阈值: 选择阈值，相关性方法中表示最小相关系数，方差方法中表示最小方差
保留列: 手动指定要保留的列，用于manual方法
返回:
自身实例，支持链式调用
"""
if self.data is None:
raise ValueError("没有数据可处理，请先加载数据")
# 复制数据避免修改原始数据
数据副本 = self.data.copy()
try:
if 方法 == 'correlation':
if 目标列 is None or 目标列 not in 数据副本.columns:
raise ValueError("请指定有效的目标列用于相关性特征选择")
# 计算与目标列的相关性
相关性 = 数据副本.corr()[目标列].abs().sort_values(ascending=False)
# 筛选出相关性大于阈值的列
保留列 = 相关性[相关性 >= 阈值].index.tolist()
# 确保保留目标列
if 目标列 not in 保留列:
保留列.append(目标列)
数据副本 = 数据副本[保留列]
self.记录操作(f"使用相关性方法选择特征，阈值{阈值}，保留{len(保留列)}列")
elif 方法 == 'variance':
# 计算每列的方差
方差 = 数据副本.var()
# 筛选出方差大于阈值的列
保留列 = 方差[方差 >= 阈值].index.tolist()
数据副本 = 数据副本[保留列]
self.记录操作(f"使用方差方法选择特征，阈值{阈值}，保留{len(保留列)}列")
elif 方法 == 'manual':
if 保留列 is None:
raise ValueError("使用manual方法时请指定保留列")
# 检查保留列是否存在
不存在的列 = [col for col in 保留列 if col not in 数据副本.columns]
if 不存在的列:
raise ValueError(f"数据中不存在这些列: {不存在的列}")
数据副本 = 数据副本[保留列]
self.记录操作(f"使用手动方法选择特征，保留{len(保留列)}列")
except Exception as e:
logger.error(f"特征选择失败: {str(e)}")
raise
# 更新数据
self.data = 数据副本
return self
def 主成分分析(self, n_components: int = 2) -> Tuple[pd.DataFrame, np.ndarray]:
"""
对数据进行主成分分析(PCA)
参数:
n_components: 要保留的主成分数量
返回:
主成分分析后的DataFrame和解释方差比例数组
"""
if self.data is None:
raise ValueError("没有数据可处理，请先加载数据")
# 确保数据是数值型
数值数据 = self.data.select_dtypes(include=['number'])
if 数值数据.empty:
raise ValueError("数据中没有数值列，无法进行PCA")
try:
pca = PCA(n_components=n_components)
主成分 = pca.fit_transform(数值数据)
# 创建主成分DataFrame
列名 = [f'PC{i+1}' for i in range(n_components)]
pca结果 = pd.DataFrame(主成分, columns=列名, index=self.data.index)
self.记录操作(f"进行主成分分析，保留{n_components}个主成分，解释方差比例: {pca.explained_variance_ratio_}")
return pca结果, pca.explained_variance_ratio_
except Exception as e:
logger.error(f"主成分分析失败: {str(e)}")
raise
def kmeans聚类(self, n_clusters: int = 3, 特征列: Optional[List[str]] = None) -> pd.DataFrame:
"""
对数据进行K-means聚类
参数:
n_clusters: 聚类数量
特征列: 用于聚类的特征列，None表示使用所有数值列
返回:
包含聚类结果的数据框
"""
if self.data is None:
raise ValueError("没有数据可处理，请先加载数据")
# 复制数据避免修改原始数据
数据副本 = self.data.copy()
# 确定用于聚类的特征列
所有数值列 = 数据副本.select_dtypes(include=['number']).columns.tolist()
if not 所有数值列:
raise ValueError("数据中没有数值列，无法进行聚类")
if 特征列 is None:
特征列 = 所有数值列
else:
特征列 = [col for col in 特征列 if col in 所有数值列]
if not 特征列:
raise ValueError("指定的特征列中没有数值列，无法进行聚类")
try:
kmeans = KMeans(n_clusters=n_clusters, random_state=42)
数据副本['cluster'] = kmeans.fit_predict(数据副本[特征列])
self.记录操作(f"使用K-means进行聚类，聚类数量: {n_clusters}，使用特征: {特征列}")
return 数据副本
except Exception as e:
logger.error(f"K-means聚类失败: {str(e)}")
raise
def 分割数据集(self, 目标列: str, 测试集比例: float = 0.2, 随机状态: int = 42) -> Tuple[pd.DataFrame, pd.DataFrame, pd.Series, pd.Series]:
"""
将数据集分割为训练集和测试集
参数:
目标列: 目标变量列名
测试集比例: 测试集占总数据的比例
随机状态: 随机数种子，保证结果可重现
返回:
X_train, X_test, y_train, y_test
"""
if self.data is None:
raise ValueError("没有数据可处理，请先加载数据")
if 目标列 not in self.data.columns:
raise ValueError(f"目标列{目标列}不在数据中")
# 保存特征列和目标列
self.特征列 = [col for col in self.data.columns if col != 目标列]
self.目标列 = 目标列
try:
X = self.data[self.特征列]
y = self.data[self.目标列]
X_train, X_test, y_train, y_test = train_test_split(
X, y, test_size=测试集比例, random_state=随机状态,
stratify=y if y.dtype == 'object' or len(y.unique()) <= 10 else None
)
self.记录操作(f"将数据集分割为训练集({1-测试集比例:.0%})和测试集({测试集比例:.0%})，目标列: {目标列}")
return X_train, X_test, y_train, y_test
except Exception as e:
logger.error(f"分割数据集失败: {str(e)}")
raise
def 绘制缺失值分布图(self, 保存路径: Optional[str] = None) -> 'DataProcessor':
"""
绘制缺失值分布热力图
参数:
保存路径: 图像保存路径，None表示不保存
返回:
自身实例，支持链式调用
"""
if self.data is None:
raise ValueError("没有数据可处理，请先加载数据")
plt.figure(figsize=(12, 8))
sns.heatmap(self.data.isnull(), yticklabels=False, cbar=False, cmap='viridis')
plt.title('缺失值分布热力图')
if 保存路径:
plt.savefig(保存路径, dpi=300, bbox_inches='tight')
self.记录操作(f"缺失值分布热力图已保存到{保存路径}")
plt.show()
return self
def 绘制相关性热力图(self, 保存路径: Optional[str] = None) -> 'DataProcessor':
"""
绘制特征相关性热力图
参数:
保存路径: 图像保存路径，None表示不保存
返回:
自身实例，支持链式调用
"""
if self.data is None:
raise ValueError("没有数据可处理，请先加载数据")
# 只使用数值列计算相关性
数值数据 = self.data.select_dtypes(include=['number'])
if 数值数据.empty:
logger.warning("数据中没有数值列，无法绘制相关性热力图")
return self
plt.figure(figsize=(14, 10))
相关性矩阵 = 数值数据.corr()
mask = np.triu(np.ones_like(相关性矩阵, dtype=bool))
sns.heatmap(相关性矩阵, mask=mask, annot=True, fmt=".2f", cmap='coolwarm',
square=True, linewidths=.5, vmin=-1, vmax=1)
plt.title('特征相关性热力图')
if 保存路径:
plt.savefig(保存路径, dpi=300, bbox_inches='tight')
self.记录操作(f"特征相关性热力图已保存到{保存路径}")
plt.show()
return self
def 绘制特征分布(self, 列: Optional[Union[str, List[str]]] = None, 保存路径: Optional[str] = None) -> 'DataProcessor':
"""
绘制特征分布直方图
参数:
列: 要绘制的列，None表示绘制所有数值列
保存路径: 图像保存路径，None表示不保存
返回:
自身实例，支持链式调用
"""
if self.data is None:
raise ValueError("没有数据可处理，请先加载数据")
# 确定要绘制的列
所有数值列 = self.data.select_dtypes(include=['number']).columns.tolist()
if not 所有数值列:
logger.warning("数据中没有数值列，无法绘制特征分布")
return self
if 列 is None:
绘制列 = 所有数值列
elif isinstance(列, str):
绘制列 = [列] if 列 in 所有数值列 else []
else:
绘制列 = [col for col in 列 if col in 所有数值列]
if not 绘制列:
logger.warning("指定的列中没有数值列，无法绘制特征分布")
return self
# 计算子图数量和布局
n = len(绘制列)
行数 = (n + 1) // 2 # 向上取整
plt.figure(figsize=(14, 5 * 行数))
for i, col in enumerate(绘制列, 1):
plt.subplot(行数, 2, i)
sns.histplot(data=self.data, x=col, kde=True)
plt.title(f'{col}的分布')
plt.tight_layout()
if 保存路径:
plt.savefig(保存路径, dpi=300, bbox_inches='tight')
self.记录操作(f"特征分布图已保存到{保存路径}")
plt.show()
return self
def 绘制箱线图(self, 列: Optional[Union[str, List[str]]] = None, 保存路径: Optional[str] = None) -> 'DataProcessor':
"""
绘制箱线图检测异常值
参数:
列: 要绘制的列，None表示绘制所有数值列
保存路径: 图像保存路径，None表示不保存
返回:
自身实例，支持链式调用
"""
if self.data is None:
raise ValueError("没有数据可处理，请先加载数据")
# 确定要绘制的列
所有数值列 = self.data.select_dtypes(include=['number']).columns.tolist()
if not 所有数值列:
logger.warning("数据中没有数值列，无法绘制箱线图")
return self
if 列 is None:
绘制列 = 所有数值列
elif isinstance(列, str):
绘制列 = [列] if 列 in 所有数值列 else []
else:
绘制列 = [col for col in 列 if col in 所有数值列]
if not 绘制列:
logger.warning("指定的列中没有数值列，无法绘制箱线图")
return self
plt.figure(figsize=(14, 8))
sns.boxplot(data=self.data[绘制列])
plt.xticks(rotation=45)
plt.title('特征箱线图(用于检测异常值)')
if 保存路径:
plt.savefig(保存路径, dpi=300, bbox_inches='tight')
self.记录操作(f"箱线图已保存到{保存路径}")
plt.show()
return self
def 绘制聚类结果(self, 聚类列: str = 'cluster', 特征列: Optional[List[str]] = None,
保存路径: Optional[str] = None) -> 'DataProcessor':
"""
绘制聚类结果散点图
参数:
聚类列: 包含聚类标签的列名
特征列: 用于绘图的两个特征列，None表示使用前两个主成分
保存路径: 图像保存路径，None表示不保存
返回:
自身实例，支持链式调用
"""
if self.data is None:
raise ValueError("没有数据可处理，请先加载数据")
if 聚类列 not in self.data.columns:
raise ValueError(f"聚类列{聚类列}不在数据中，请先进行聚类")
2.简化版
import pandas as pd
import numpy as np
import matplotlib.pyplot as plt
import seaborn as sns
from sklearn.preprocessing import StandardScaler, OneHotEncoder
from sklearn.impute import SimpleImputer
from sklearn.model_selection import train_test_split
import warnings
# 忽略警告
warnings.filterwarnings('ignore')
class DataProcessor:
"""精简版数据处理类，提供常用的数据预处理功能"""
def _log(self, message):
"""记录操作日志"""
self.history.append(message)
print(f"[INFO] {message}")
def load_data(self, file_path, format=None):
"""加载数据，支持csv和excel格式"""
if not format:
format = file_path.split('.')[-1].lower()
if format == 'csv':
self.data = pd.read_csv(file_path)
elif format in ['xlsx', 'xls']:
self.data = pd.read_excel(file_path)
else:
raise ValueError("仅支持csv和excel格式")
self._log(f"加载数据: {file_path}, 形状: {self.data.shape}")
return self
def save_data(self, file_path):
"""保存数据为csv格式"""
if self.data is None:
raise ValueError("无数据可保存")
self.data.to_csv(file_path, index=False)
self._log(f"数据已保存至: {file_path}")
return self
def info(self):
"""显示数据基本信息"""
if self.data is None:
raise ValueError("无数据可显示")
print(f"形状: {self.data.shape}")
print("\n数据类型:")
print(self.data.dtypes)
print("\n前5行:")
print(self.data.head())
self._log("显示数据基本信息")
return self
def missing_values(self):
"""检查缺失值"""
if self.data is None:
raise ValueError("无数据可检查")
missing = self.data.isnull().sum()
missing_pct = (missing / len(self.data)) * 100
result = pd.DataFrame({
'缺失数量': missing,
'缺失比例(%)': missing_pct
}).sort_values('缺失比例(%)', ascending=False)
self._log("检查缺失值")
return result
def handle_missing(self, method='mean', columns=None):
"""处理缺失值"""
if self.data is None:
raise ValueError("无数据可处理")
cols = columns if columns else self.data.columns
data_copy = self.data.copy()
for col in cols:
if data_copy[col].dtype.kind in 'iufc': # 数值型
if method == 'mean':
data_copy[col].fillna(data_copy[col].mean(), inplace=True)
elif method == 'median':
data_copy[col].fillna(data_copy[col].median(), inplace=True)
elif method == 'drop':
data_copy = data_copy.dropna(subset=[col])
else: # 类别型
data_copy[col].fillna(data_copy[col].mode()[0], inplace=True)
self.data = data_copy
self._log(f"处理缺失值，方法: {method}, 列: {cols}")
return self
def handle_outliers(self, columns=None, factor=1.5):
"""处理异常值"""
if self.data is None:
raise ValueError("无数据可处理")
cols = columns if columns else self.data.select_dtypes(include=['number']).columns
data_copy = self.data.copy()
for col in cols:
q1 = data_copy[col].quantile(0.25)
q3 = data_copy[col].quantile(0.75)
iqr = q3 - q1
lower = q1 - factor * iqr
upper = q3 + factor * iqr
data_copy[col] = np.clip(data_copy[col], lower, upper)
self.data = data_copy
self._log(f"处理异常值，列: {cols}")
return self
def encode_categorical(self, columns=None):
"""编码类别特征"""
if self.data is None:
raise ValueError("无数据可处理")
cols = columns if columns else self.data.select_dtypes(include=['object', 'category']).columns
if not cols.any():
self._log("无类别特征需要编码")
return self
data_copy = self.data.copy()
encoder = OneHotEncoder(sparse=False, drop='first')
encoded = encoder.fit_transform(data_copy[cols])
# 创建新列名并合并
encoded_df = pd.DataFrame(
encoded,
columns=encoder.get_feature_names_out(cols),
index=data_copy.index
)
self.data = data_copy.drop(columns=cols).join(encoded_df)
self.encoders['onehot'] = encoder
self._log(f"编码类别特征，列: {cols}")
return self
def scale_numerical(self, columns=None):
"""缩放数值特征"""
if self.data is None:
raise ValueError("无数据可处理")
cols = columns if columns else self.data.select_dtypes(include=['number']).columns
if not cols.any():
self._log("无数值特征需要缩放")
return self
data_copy = self.data.copy()
scaler = StandardScaler()
data_copy[cols] = scaler.fit_transform(data_copy[cols])
self.data = data_copy
self.scalers['standard'] = scaler
self._log(f"缩放数值特征，列: {cols}")
return self
def train_test_split(self, target_col, test_size=0.2, random_state=42):
"""分割数据集"""
if self.data is None:
raise ValueError("无数据可分割")
if target_col not in self.data.columns:
raise ValueError(f"目标列 {target_col} 不存在")
X = self.data.drop(columns=[target_col])
y = self.data[target_col]
X_train, X_test, y_train, y_test = train_test_split(
X, y, test_size=test_size, random_state=random_state
)
self._log(f"分割数据集，测试集比例: {test_size}")
return X_train, X_test, y_train, y_test
def plot_correlation(self):
"""绘制相关性热力图"""
if self.data is None:
raise ValueError("无数据可绘图")
numeric_data = self.data.select_dtypes(include=['number'])
if numeric_data.empty:
self._log("无数值特征可绘制相关性图")
return self
plt.figure(figsize=(10, 8))
sns.heatmap(numeric_data.corr(), annot=True, fmt=".2f", cmap='coolwarm')
plt.title("特征相关性热力图")
plt.show()
return self
def plot_distributions(self, columns=None):
"""绘制特征分布图"""
if self.data is None:
raise ValueError("无数据可绘图")
cols = columns if columns else self.data.select_dtypes(include=['number']).columns
if not cols.any():
self._log("无数值特征可绘制分布图")
return self
n = len(cols)
rows = (n + 1) // 2
plt.figure(figsize=(12, 4 * rows))
for i, col in enumerate(cols, 1):
plt.subplot(rows, 2, i)
sns.histplot(self.data[col], kde=True)
plt.title(f"{col} 分布")
plt.tight_layout()
plt.show()
return self
def show_history(self):
"""显示处理历史"""
print("\n处理历史:")
for i, step in enumerate(self.history, 1):
print(f"{i}. {step}")
return self
# 数据处理流程
processor = DataProcessor(data)
(processor
.info()
.missing_values()
.handle_missing(method='mean')
.encode_categorical(columns=['gender'])
.scale_numerical(columns=['age', 'income'])
.plot_correlation()
.plot_distributions()
.show_history())
# 分割数据集
X_train, X_test, y_train, y_test = processor.train_test_split('purchased')
print(f"\n训练集: {X_train.shape}, 测试集: {X_test.shape}")
if __name__ == "__main__":
demo()
|
Chinese
|
8k
|
T9. Version & Code Diff Analysis
|
T9.1 Dependency-Aware Multi-Version Impact Analysis
|
Full
|
对比“数据处理分析模块”（完整版）和“简化版”两个版本的`DataProcessor`类，找出所有在完整版中存在，但在简化版中被完全移除或未实现对应功能的公共方法（请排除`__init__`、`示例使用`和`demo`函数）。先输出“[答案]”标识符，再按行输出所有满足条件的公共方法名称，不要输出任何其他内容。
输出示例：
[答案]
缺失值处理
标准化
归一化
|
对比“数据处理分析模块”（完整版）和“简化版”两个版本的`DataProcessor`类，找出所有在完整版中存在，但在简化版中被完全移除或未实现对应功能的公共方法（请排除`__init__`、`示例使用`和`demo`函数）。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出所有满足条件的公共方法名称，不要输出任何其他内容。
输出示例：
<你的思考过程>
[答案]
缺失值处理
标准化
归一化
|
[
"特征选择",
"主成分分析",
"kmeans聚类",
"绘制缺失值分布图",
"绘制箱线图",
"绘制聚类结果"
] |
Moderate
|
7b498bb950d64f7197706527f7626310b99b2ddf84772889ba883fbb6a458f15
|
Part 1
One Sunday morning Jobs brought his father to see the factory. Paul Jobs had always been fastidious about making sure that his craftsmanship was exacting and his tools in order, and his son was proud to show that he could do the same. Coleman came along to give the tour. “Steve was, like, beaming,” she recalled. “He was so proud to show his father this creation.” Jobs explained how everything worked, and his father seemed truly admiring. “He kept looking at his father, who touched everything and loved how clean and perfect everything looked.”
Part 2
Things were not quite as sweet when Danielle Mitterrand toured the factory. The Cuba-admiring wife of France’s socialist president Fran?ois Mitterrand asked a lot of questions, through her translator, about the working conditions, while Jobs, who had grabbed Alain Rossmann to serve as his translator, kept trying to explain the advanced robotics and technology. After Jobs talked about the just-in-time production schedules, she asked about overtime pay. He was annoyed, so he described how automation helped him keep down labor costs, a subject he knew would not delight her. “Is it hard work?” she asked. “How much vacation time do they get?” Jobs couldn’t contain himself. “If she’s so interested in their welfare,” he said to her translator, “tell her she can come work here any time.” The translator turned pale and said nothing. After a moment Rossmann stepped in to say, in French, “M. Jobs says he thanks you for your visit and your interest in the factory.” Neither Jobs nor Madame Mitterrand knew what happened, Rossmann recalled, but her translator looked very relieved.
Part 3
Afterward, as he sped his Mercedes down the freeway toward Cupertino, Jobs fumed to Rossmann about Madame Mitterrand’s attitude. At one point he was going just over 100 miles per hour when a policeman stopped him and began writing a ticket. After a few minutes, as the officer scribbled away, Jobs honked. “Excuse me?” the policeman said. Jobs replied, “I’m in a hurry.” Amazingly, the officer didn’t get mad. He simply finished writing the ticket and warned that if Jobs was caught going over 55 again he would be sent to jail. As soon as the policeman left, Jobs got back on the road and accelerated to 100. “He absolutely believed that the normal rules didn’t apply to him,” Rossmann marveled.
Part 4
His wife, Joanna Hoffman, saw the same thing when she accompanied Jobs to Europe a few months after the Macintosh was launched. “He was just completely obnoxious and thinking he could get away with anything,” she recalled. In Paris she had arranged a formal dinner with French software developers, but Jobs suddenly decided he didn’t want to go. Instead he shut the car door on Hoffman and told her he was going to see the poster artist Folon instead. “The developers were so pissed off they wouldn’t shake our hands,” she said.
Part 5
In Italy, he took an instant dislike to Apple’s general manager, a soft rotund guy who had come from a conventional business. Jobs told him bluntly that he was not impressed with his team or his sales strategy. “You don’t deserve to be able to sell the Mac,” Jobs said coldly. But that was mild compared to his reaction to the restaurant the hapless manager had chosen. Jobs demanded a vegan meal, but the waiter very elaborately proceeded to dish out a sauce filled with sour cream. Jobs got so nasty that Hoffman had to threaten him. She whispered that if he didn’t calm down, she was going to pour her hot coffee on his lap.
Part 6
The most substantive disagreements Jobs had on the European trip concerned sales forecasts. Using his reality distortion field, Jobs was always pushing his team to come up with higher projections. He kept threatening the European managers that he wouldn’t give them any allocations unless they projected bigger forecasts. They insisted on being realistic, and Hoffmann had to referee. “By the end of the trip, my whole body was shaking uncontrollably,” Hoffman recalled.
Part 7
It was on this trip that Jobs first got to know Jean-Louis Gassée, Apple’s manager in France. Gassée was among the few to stand up successfully to Jobs on the trip. “He has his own way with the truth,” Gassée later remarked. “The only way to deal with him was to out-bully him.” When Jobs made his usual threat about cutting down on France’s allocations if Gassée didn’t jack up sales projections, Gassée got angry. “I remember grabbing his lapel and telling him to stop, and then he backed down. I used to be an angry man myself. I am a recovering assaholic. So I could recognize that in Steve.”
Part 8
Gassée was impressed, however, at how Jobs could turn on the charm when he wanted to. Fran?ois Mitterrand had been preaching the gospel of informatique pour tous—computing for all—and various academic experts in technology, such as Marvin Minsky and Nicholas Negroponte, came over to sing in the choir. Jobs gave a talk to the group at the Hotel Bristol and painted a picture of how France could move ahead if it put computers in all of its schools. Paris also brought out the romantic in him. Both Gassée and Negroponte tell tales of him pining over women while there.
Falling
Part 9
After the burst of excitement that accompanied the release of Macintosh, its sales began to taper off in the second half of 1984. The problem was a fundamental one: It was a dazzling but woefully slow and underpowered computer, and no amount of hoopla could mask that. Its beauty was that its user interface looked like a sunny playroom rather than a somber dark screen with sickly green pulsating letters and surly command lines. But that led to its greatest weakness: A character on a text-based display took less than a byte of code, whereas when the Mac drew a letter, pixel by pixel in any elegant font you wanted, it required twenty or thirty times more memory. The Lisa handled this by shipping with more than 1,000K RAM, whereas the Macintosh made do with 128K.
Part 10
Another problem was the lack of an internal hard disk drive. Jobs had called Joanna Hoffman a “Xerox bigot” when she fought for such a storage device. He insisted that the Macintosh have just one floppy disk drive. If you wanted to copy data, you could end up with a new form of tennis elbow from having to swap floppy disks in and out of the single drive. In addition, the Macintosh lacked a fan, another example of Jobs’s dogmatic stubbornness. Fans, he felt, detracted from the calm of a computer. This caused many component failures and earned the Macintosh the nickname “the beige toaster,” which did not enhance its popularity. It was so seductive that it had sold well enough for the first few months, but when people became more aware of its limitations, sales fell. As Hoffman later lamented, “The reality distortion field can serve as a spur, but then reality itself hits.”
Part 11
At the end of 1984, with Lisa sales virtually nonexistent and Macintosh sales falling below ten thousand a month, Jobs made a shoddy, and atypical, decision out of desperation. He decided to take the inventory of unsold Lisas, graft on a Macintosh-emulation program, and sell them as a new product, the “Macintosh XL.” Since the Lisa had been discontinued and would not be restarted, it was an unusual instance of Jobs producing something that he did not believe in. “I was furious because the Mac XL wasn’t real,” said Hoffman. “It was just to blow the excess Lisas out the door. It sold well, and then we had to discontinue the horrible hoax, so I resigned.”
Part 12
The dark mood was evident in the ad that was developed in January 1985, which was supposed to reprise the anti-IBM sentiment of the resonant “1984” ad. Unfortunately there was a fundamental difference: The first ad had ended on a heroic, optimistic note, but the storyboards presented by Lee Clow and Jay Chiat for the new ad, titled “Lemmings,” showed dark-suited, blindfolded corporate managers marching off a cliff to their death. From the beginning both Jobs and Sculley were uneasy. It didn’t seem as if it would convey a positive or glorious image of Apple, but instead would merely insult every manager who had bought an IBM.
Part 13
Jobs and Sculley asked for other ideas, but the agency folks pushed back. “You guys didn’t want to run ‘1984’ last year,” one of them said. According to Sculley, Lee Clow added, “I will put my whole reputation, everything, on this commercial.” When the filmed version, done by Ridley Scott’s brother Tony, came in, the concept looked even worse. The mindless managers marching off the cliff were singing a funeral-paced version of the Snow White song “Heigh-ho, Heigh-ho,” and the dreary filmmaking made it even more depressing than the storyboards portended. “I can’t believe you’re going to insult businesspeople across America by running that,” Debi Coleman yelled at Jobs when she saw the ad. At the marketing meetings, she stood up to make her point about how much she hated it. “I literally put a resignation letter on his desk. I wrote it on my Mac. I thought it was an affront to corporate managers. We were just beginning to get a toehold with desktop publishing.”
Part 14
Nevertheless Jobs and Sculley bent to the agency’s entreaties and ran the commercial during the Super Bowl. They went to the game together at Stanford Stadium with Sculley’s wife, Leezy (who couldn’t stand Jobs), and Jobs’s new girlfriend, Tina Redse. When the commercial was shown near the end of the fourth quarter of a dreary game, the fans watched on the overhead screen and had little reaction. Across the country, most of the response was negative. “It insulted the very people Apple was trying to reach,” the president of a market research firm told Fortune. Apple’s marketing manager suggested afterward that the company might want to buy an ad in the Wall Street Journal apologizing. Jay Chiat threatened that if Apple did that his agency would buy the facing page and apologize for the apology.
Part 15
Jobs’s discomfort, with both the ad and the situation at Apple in general, was on display when he traveled to New York in January to do another round of one-on-one press interviews. Andy Cunningham, from Regis McKenna’s firm, was in charge of hand-holding and logistics at the Carlyle. When Jobs arrived, he told her that his suite needed to be completely redone, even though it was 10 p.m. and the meetings were to begin the next day. The piano was not in the right place; the strawberries were the wrong type. But his biggest objection was that he didn’t like the flowers. He wanted calla lilies. “We got into a big fight on what a calla lily is,” Cunningham recalled. “I know what they are, because I had them at my wedding, but he insisted on having a different type of lily and said I was ‘stupid’ because I didn’t know what a real calla lily was.” So Cunningham went out and, this being New York, was able to find a place open at midnight where she could get the lilies he wanted. By the time they got the room rearranged, Jobs started objecting to what she was wearing. “That suit’s disgusting,” he told her. Cunningham knew that at times he just simmered with undirected anger, so she tried to calm him down. “Look, I know you’re angry, and I know how you feel,” she said.
“You have no fucking idea how I feel,” he shot back, “no fucking idea what it’s like to be me.”
Thirty Years Old
Part 16
Turning thirty is a milestone for most people, especially those of the generation that proclaimed it would never trust anyone over that age. To celebrate his own thirtieth, in February 1985, Jobs threw a lavishly formal but also playful—black tie and tennis shoes—party for one thousand in the ballroom of the St. Francis Hotel in San Francisco. The invitation read, “There’s an old Hindu saying that goes, ‘In the first 30 years of your life, you make your habits. For the last 30 years of your life, your habits make you.’ Come help me celebrate mine.”
Part 17
One table featured software moguls, including Bill Gates and Mitch Kapor. Another had old friends such as Elizabeth Holmes, who brought as her date a woman dressed in a tuxedo. Andy Hertzfeld and Burrell Smith had rented tuxes and wore floppy tennis shoes, which made it all the more memorable when they danced to the Strauss waltzes played by the San Francisco Symphony Orchestra.
Part 18
Ella Fitzgerald provided the entertainment, as Bob Dylan had declined. She sang mainly from her standard repertoire, though occasionally tailoring a song like “The Girl from Ipanema” to be about the boy from Cupertino. When she asked for some requests, Jobs called out a few. She concluded with a slow rendition of “Happy Birthday.”
Part 19
Sculley came to the stage to propose a toast to “technology’s foremost visionary.” Wozniak also came up and presented Jobs with a framed copy of the Zaltair hoax from the 1977 West Coast Computer Faire, where the Apple II had been introduced. The venture capitalist Don Valentine marveled at the change in the decade since that time. “He went from being a Ho Chi Minh look-alike, who said never trust anyone over thirty, to a person who gives himself a fabulous thirtieth birthday with Ella Fitzgerald,” he said.
Part 20
Many people had picked out special gifts for a person who was not easy to shop for. Debi Coleman, for example, found a first edition of F. Scott Fitzgerald’s The Last Tycoon. But Jobs, in an act that was odd yet not out of character, left all of the gifts in a hotel room. Wozniak and some of the Apple veterans, who did not take to the goat cheese and salmon mousse that was served, met after the party and went out to eat at a Denny’s.
Part 21
“It’s rare that you see an artist in his 30s or 40s able to really contribute something amazing,” Jobs said wistfully to the writer David Sheff, who published a long and intimate interview in Playboy the month he turned thirty. “Of course, there are some people who are innately curious, forever little kids in their awe of life, but they’re rare.” The interview touched on many subjects, but Jobs’s most poignant ruminations were about growing old and facing the future:
Part 22
Your thoughts construct patterns like scaffolding in your mind. You are really etching chemical patterns. In most cases, people get stuck in those patterns, just like grooves in a record, and they never get out of them.
Part 23
I’ll always stay connected with Apple. I hope that throughout my life I’ll sort of have the thread of my life and the thread of Apple weave in and out of each other, like a tapestry. There may be a few years when I’m not there, but I’ll always come back. . . .
Part 24
If you want to live your life in a creative way, as an artist, you have to not look back too much. You have to be willing to take whatever you’ve done and whoever you were and throw them away.
Part 25
The more the outside world tries to reinforce an image of you, the harder it is to continue to be an artist, which is why a lot of times, artists have to say, “Bye. I have to go. I’m going crazy and I’m getting out of here.” And they go and hibernate somewhere. Maybe later they re-emerge a little differently.
Part 26
With each of those statements, Jobs seemed to have a premonition that his life would soon be changing. Perhaps the thread of his life would indeed weave in and out of the thread of Apple’s. Perhaps it was time to throw away some of what he had been. Perhaps it was time to say “Bye, I have to go,” and then reemerge later, thinking differently.
Exodus
Part 27
Andy Hertzfeld had taken a leave of absence after the Macintosh came out in 1984. He needed to recharge his batteries and get away from his supervisor, Bob Belleville, whom he didn’t like. One day he learned that Jobs had given out bonuses of up to $50,000 to engineers on the Macintosh team. So he went to Jobs to ask for one. Jobs responded that Belleville had decided not to give the bonuses to people who were on leave. Hertzfeld later heard that the decision had actually been made by Jobs, so he confronted him. At first Jobs equivocated, then he said, “Well, let’s assume what you are saying is true. How does that change things?” Hertzfeld said that if Jobs was withholding the bonus as a reason for him to come back, then he wouldn’t come back as a matter of principle. Jobs relented, but it left Hertzfeld with a bad taste.
Part 28
When his leave was coming to an end, Hertzfeld made an appointment to have dinner with Jobs, and they walked from his office to an Italian restaurant a few blocks away. “I really want to return,” he told Jobs. “But things seem really messed up right now.” Jobs was vaguely annoyed and distracted, but Hertzfeld plunged ahead. “The software team is completely demoralized and has hardly done a thing for months, and Burrell is so frustrated that he won’t last to the end of the year.”
Part 29
At that point Jobs cut him off. “You don’t know what you’re talking about!” he said. “The Macintosh team is doing great, and I’m having the best time of my life right now. You’re just completely out of touch.” His stare was withering, but he also tried to look amused at Hertzfeld’s assessment.
Part 30
“If you really believe that, I don’t think there’s any way that I can come back,” Hertzfeld replied glumly. “The Mac team that I want to come back to doesn’t even exist anymore.”
Part 31
“The Mac team had to grow up, and so do you,” Jobs replied. “I want you to come back, but if you don’t want to, that’s up to you. You don’t matter as much as you think you do, anyway.”
Hertzfeld didn’t come back.
Part 32
By early 1985 Burrell Smith was also ready to leave. He had worried that it would be hard to quit if Jobs tried to talk him out of it; the reality distortion field was usually too strong for him to resist. So he plotted with Hertzfeld how he could break free of it. “I’ve got it!” he told Hertzfeld one day. “I know the perfect way to quit that will nullify the reality distortion field. I’ll just walk into Steve’s office, pull down my pants, and urinate on his desk. What could he say to that? It’s guaranteed to work.” The betting on the Mac team was that even brave Burrell Smith would not have the gumption to do that. When he finally decided he had to make his break, around the time of Jobs’s birthday bash, he made an appointment to see Jobs. He was surprised to find Jobs smiling broadly when he walked in. “Are you gonna do it? Are you really gonna do it?” Jobs asked. He had heard about the plan.
Part 33
Smith looked at him. “Do I have to? I’ll do it if I have to.” Jobs gave him a look, and Smith decided it wasn’t necessary. So he resigned less dramatically and walked out on good terms.
He was quickly followed by another of the great Macintosh engineers, Bruce Horn. When Horn went in to say good-bye, Jobs told him, “Everything that’s wrong with the Mac is your fault.”
Horn responded, “Well, actually, Steve, a lot of things that are right with the Mac are my fault, and I had to fight like crazy to get those things in.”
“You’re right,” admitted Jobs. “I’ll give you 15,000 shares to stay.” When Horn declined the offer, Jobs showed his warmer side. “Well, give me a hug,” he said. And so they hugged.
Part 34
But the biggest news that month was the departure from Apple, yet again, of its cofounder, Steve Wozniak. Wozniak was then quietly working as a midlevel engineer in the Apple II division, serving as a humble mascot of the roots of the company and staying as far away from management and corporate politics as he could. He felt, with justification, that Jobs was not appreciative of the Apple II, which remained the cash cow of the company and accounted for 70% of its sales at Christmas 1984. “People in the Apple II group were being treated as very unimportant by the rest of the company,” he later said. “This was despite the fact that the Apple II was by far the largest-selling product in our company for ages, and would be for years to come.” He even roused himself to do something out of character; he picked up the phone one day and called Sculley, berating him for lavishing so much attention on Jobs and the Macintosh division.
Part 35
Frustrated, Wozniak decided to leave quietly to start a new company that would make a universal remote control device he had invented. It would control your television, stereo, and other electronic devices with a simple set of buttons that you could easily program. He informed the head of engineering at the Apple II division, but he didn’t feel he was important enough to go out of channels and tell Jobs or Markkula. So Jobs first heard about it when the news leaked in the Wall Street Journal. In his earnest way, Wozniak had openly answered the reporter’s questions when he called. Yes, he said, he felt that Apple had been giving short shrift to the Apple II division. “Apple’s direction has been horrendously wrong for five years,” he said.
Part 36
Less than two weeks later Wozniak and Jobs traveled together to the White House, where Ronald Reagan presented them with the first National Medal of Technology. The president quoted what President Rutherford Hayes had said when first shown a telephone—“An amazing invention, but who would ever want to use one?”—and then quipped, “I thought at the time that he might be mistaken.” Because of the awkward situation surrounding Wozniak’s departure, Apple did not throw a celebratory dinner. So Jobs and Wozniak went for a walk afterward and ate at a sandwich shop. They chatted amiably, Wozniak recalled, and avoided any discussion of their disagreements.
Part 37
Wozniak wanted to make the parting amicable. It was his style. So he agreed to stay on as a part-time Apple employee at a $20,000 salary and represent the company at events and trade shows. That could have been a graceful way to drift apart. But Jobs could not leave well enough alone. One Saturday, a few weeks after they had visited Washington together, Jobs went to the new Palo Alto studios of Hartmut Esslinger, whose company frogdesign had moved there to handle its design work for Apple. There he happened to see sketches that the firm had made for Wozniak’s new remote control device, and he flew into a rage. Apple had a clause in its contract that gave it the right to bar frogdesign from working on other computer-related projects, and Jobs invoked it. “I informed them,” he recalled, “that working with Woz wouldn’t be acceptable to us.”
Part 38
When the Wall Street Journal heard what happened, it got in touch with Wozniak, who, as usual, was open and honest. He said that Jobs was punishing him. “Steve Jobs has a hate for me, probably because of the things I said about Apple,” he told the reporter. Jobs’s action was remarkably petty, but it was also partly caused by the fact that he understood, in ways that others did not, that the look and style of a product served to brand it. A device that had Wozniak’s name on it and used the same design language as Apple’s products might be mistaken for something that Apple had produced. “It’s not personal,” Jobs told the newspaper, explaining that he wanted to make sure that Wozniak’s remote wouldn’t look like something made by Apple. “We don’t want to see our design language used on other products. Woz has to find his own resources. He can’t leverage off Apple’s resources; we can’t treat him specially.”
Part 39
Jobs volunteered to pay for the work that frogdesign had already done for Wozniak, but even so the executives at the firm were taken aback. When Jobs demanded that they send him the drawings done for Wozniak or destroy them, they refused. Jobs had to send them a letter invoking Apple’s contractual right. Herbert Pfeifer, the design director of the firm, risked Jobs’s wrath by publicly dismissing his claim that the dispute with Wozniak was not personal. “It’s a power play,” Pfeifer told the Journal. “They have personal problems between them.”
Part 40
Hertzfeld was outraged when he heard what Jobs had done. He lived about twelve blocks from Jobs, who sometimes would drop by on his walks. “I got so furious about the Wozniak remote episode that when Steve next came over, I wouldn’t let him in the house,” Hertzfeld recalled. “He knew he was wrong, but he tried to rationalize, and maybe in his distorted reality he was able to.” Wozniak, always a teddy bear even when annoyed, hired another design firm and even agreed to stay on Apple’s retainer as a spokesman.
Showdown, Spring 1985
Part 41
There were many reasons for the rift between Jobs and Sculley in the spring of 1985. Some were merely business disagreements, such as Sculley’s attempt to maximize profits by keeping the Macintosh price high when Jobs wanted to make it more affordable. Others were weirdly psychological and stemmed from the torrid and unlikely infatuation they initially had with each other. Sculley had painfully craved Jobs’s affection, Jobs had eagerly sought a father figure and mentor, and when the ardor began to cool there was an emotional backwash. But at its core, the growing breach had two fundamental causes, one on each side.
Part 42
For Jobs, the problem was that Sculley never became a product person. He didn’t make the effort, or show the capacity, to understand the fine points of what they were making. On the contrary, he found Jobs’s passion for tiny technical tweaks and design details to be obsessive and counterproductive. He had spent his career selling sodas and snacks whose recipes were largely irrelevant to him. He wasn’t naturally passionate about products, which was among the most damning sins that Jobs could imagine. “I tried to educate him about the details of engineering,” Jobs recalled, “but he had no idea how products are created, and after a while it just turned into arguments. But I learned that my perspective was right. Products are everything.” He came to see Sculley as clueless, and his contempt was exacerbated by Sculley’s hunger for his affection and delusions that they were very similar.
Part 43
For Sculley, the problem was that Jobs, when he was no longer in courtship or manipulative mode, was frequently obnoxious, rude, selfish, and nasty to other people. He found Jobs’s boorish behavior as despicable as Jobs found Sculley’s lack of passion for product details. Sculley was kind, caring, and polite to a fault. At one point they were planning to meet with Xerox’s vice chair Bill Glavin, and Sculley begged Jobs to behave. But as soon as they sat down, Jobs told Glavin, “You guys don’t have any clue what you’re doing,” and the meeting broke up. “I’m sorry, but I couldn’t help myself,” Jobs told Sculley. It was one of many such cases. As Atari’s Al Alcorn later observed, “Sculley believed in keeping people happy and worrying about relationships. Steve didn’t give a shit about that. But he did care about the product in a way that Sculley never could, and he was able to avoid having too many bozos working at Apple by insulting anyone who wasn’t an A player.”
Part 44
The board became increasingly alarmed at the turmoil, and in early 1985 Arthur Rock and some other disgruntled directors delivered a stern lecture to both. They told Sculley that he was supposed to be running the company, and he should start doing so with more authority and less eagerness to be pals with Jobs. They told Jobs that he was supposed to be fixing the mess at the Macintosh division and not telling other divisions how to do their job. Afterward Jobs retreated to his office and typed on his Macintosh, “I will not criticize the rest of the organization, I will not criticize the rest of the organization . . .”
Part 45
As the Macintosh continued to disappoint—sales in March 1985 were only 10% of the budget forecast—Jobs holed up in his office fuming or wandered the halls berating everyone else for the problems. His mood swings became worse, and so did his abuse of those around him. Middle-level managers began to rise up against him. The marketing chief Mike Murray sought a private meeting with Sculley at an industry conference. As they were going up to Sculley’s hotel room, Jobs spotted them and asked to come along. Murray asked him not to. He told Sculley that Jobs was wreaking havoc and had to be removed from managing the Macintosh division. Sculley replied that he was not yet resigned to having a showdown with Jobs. Murray later sent a memo directly to Jobs criticizing the way he treated colleagues and denouncing “management by character assassination.”
Part 46
For a few weeks it seemed as if there might be a solution to the turmoil. Jobs became fascinated by a flat-screen technology developed by a firm near Palo Alto called Woodside Design, run by an eccentric engineer named Steve Kitchen. He also was impressed by another startup that made a touchscreen display that could be controlled by your finger, so you didn’t need a mouse. Together these might help fulfill Jobs’s vision of creating a “Mac in a book.” On a walk with Kitchen, Jobs spotted a building in nearby Menlo Park and declared that they should open a skunkworks facility to work on these ideas. It could be called AppleLabs and Jobs could run it, going back to the joy of having a small team and developing a great new product.
Part 47
Sculley was thrilled by the possibility. It would solve most of his management issues, moving Jobs back to what he did best and getting rid of his disruptive presence in Cupertino. Sculley also had a candidate to replace Jobs as manager of the Macintosh division: Jean-Louis Gassée, Apple’s chief in France, who had suffered through Jobs’s visit there. Gassée flew to Cupertino and said he would take the job if he got a guarantee that he would run the division rather than work under Jobs. One of the board members, Phil Schlein of Macy’s, tried to convince Jobs that he would be better off thinking up new products and inspiring a passionate little team.
Part 48
But after some reflection, Jobs decided that was not the path he wanted. He declined to cede control to Gassée, who wisely went back to Paris to avoid the power clash that was becoming inevitable. For the rest of the spring, Jobs vacillated. There were times when he wanted to assert himself as a corporate manager, even writing a memo urging cost savings by eliminating free beverages and first-class air travel, and other times when he agreed with those who were encouraging him to go off and run a new AppleLabs R&D group.
Part 49
In March Murray let loose with another memo that he marked “Do not circulate” but gave to multiple colleagues. “In my three years at Apple, I’ve never observed so much confusion, fear, and dysfunction as in the past 90 days,” he began. “We are perceived by the rank and file as a boat without a rudder, drifting away into foggy oblivion.” Murray had been on both sides of the fence; at times he conspired with Jobs to undermine Sculley, but in this memo he laid the blame on Jobs. “Whether the cause of or because of the dysfunction, Steve Jobs now controls a seemingly impenetrable power base.”
Part 50
At the end of that month, Sculley finally worked up the nerve to tell Jobs that he should give up running the Macintosh division. He walked over to Jobs’s office one evening and brought the human resources manager, Jay Elliot, to make the confrontation more formal. “There is no one who admires your brilliance and vision more than I do,” Sculley began. He had uttered such flatteries before, but this time it was clear that there would be a brutal “but” punctuating the thought. And there was. “But this is really not going to work,” he declared. The flatteries punctured by “buts” continued. “We have developed a great friendship with each other,” he said, “but I have lost confidence in your ability to run the Macintosh division.” He also berated Jobs for badmouthing him as a bozo behind his back.
Part 51
Jobs looked stunned and countered with an odd challenge, that Sculley should help and coach him more: “You’ve got to spend more time with me.” Then he lashed back. He told Sculley he knew nothing about computers, was doing a terrible job running the company, and had disappointed Jobs ever since coming to Apple. Then he began to cry. Sculley sat there biting his fingernails.
Part 52
“I’m going to bring this up with the board,” Sculley declared. “I’m going to recommend that you step down from your operating position of running the Macintosh division. I want you to know that.” He urged Jobs not to resist and to agree instead to work on developing new technologies and products.
Part 53
Jobs jumped from his seat and turned his intense stare on Sculley. “I don’t believe you’re going to do that,” he said. “If you do that, you’re going to destroy the company.”
Part 54
Over the next few weeks Jobs’s behavior fluctuated wildly. At one moment he would be talking about going off to run AppleLabs, but in the next moment he would be enlisting support to have Sculley ousted. He would reach out to Sculley, then lash out at him behind his back, sometimes on the same night. One night at 9 he called Apple’s general counsel Al Eisenstat to say he was losing confidence in Sculley and needed his help convincing the board to fire him; at 11 the same night, he phoned Sculley to say, “You’re terrific, and I just want you to know I love working with you.”
Part 55
At the board meeting on April 11, Sculley officially reported that he wanted to ask Jobs to step down as the head of the Macintosh division and focus instead on new product development. Arthur Rock, the most crusty and independent of the board members, then spoke. He was fed up with both of them: with Sculley for not having the guts to take command over the past year, and with Jobs for “acting like a petulant brat.” The board needed to get this dispute behind them, and to do so it should meet privately with each of them.
Part 56
Sculley left the room so that Jobs could present first. Jobs insisted that Sculley was the problem because he had no understanding of computers. Rock responded by berating Jobs. In his growling voice, he said that Jobs had been behaving foolishly for a year and had no right to be managing a division. Even Jobs’s strongest supporter, Phil Schlein, tried to talk him into stepping aside gracefully to run a research lab for the company.
Part 57
When it was Sculley’s turn to meet privately with the board, he gave an ultimatum: “You can back me, and then I take responsibility for running the company, or we can do nothing, and you’re going to have to find yourselves a new CEO.” If given the authority, he said, he would not move abruptly, but would ease Jobs into the new role over the next few months. The board unanimously sided with Sculley. He was given the authority to remove Jobs whenever he felt the timing was right. As Jobs waited outside the boardroom, knowing full well that he was losing, he saw Del Yocam, a longtime colleague, and hugged him.
Part 58
After the board made its decision, Sculley tried to be conciliatory. Jobs asked that the transition occur slowly, over the next few months, and Sculley agreed. Later that evening Sculley’s executive assistant, Nanette Buckhout, called Jobs to see how he was doing. He was still in his office, shell-shocked. Sculley had already left, and Jobs came over to talk to her. Once again he began oscillating wildly in his attitude toward Sculley. “Why did John do this to me?” he said. “He betrayed me.” Then he swung the other way. Perhaps he should take some time away to work on restoring his relationship with Sculley, he said. “John’s friendship is more important than anything else, and I think maybe that’s what I should do, concentrate on our friendship.”
Plotting a Coup
Part 59
Jobs was not good at taking no for an answer. He went to Sculley’s office in early May 1985 and asked for more time to show that he could manage the Macintosh division. He would prove himself as an operations guy, he promised. Sculley didn’t back down. Jobs next tried a direct challenge: He asked Sculley to resign. “I think you really lost your stride,” Jobs told him. “You were really great the first year, and everything went wonderful. But something happened.” Sculley, who generally was even-tempered, lashed back, pointing out that Jobs had been unable to get Macintosh software developed, come up with new models, or win customers. The meeting degenerated into a shouting match about who was the worse manager. After Jobs stalked out, Sculley turned away from the glass wall of his office, where others had been looking in on the meeting, and wept.
Part 60
Matters began to come to a head on Tuesday, May 14, when the Macintosh team made its quarterly review presentation to Sculley and other Apple corporate leaders. Jobs still had not relinquished control of the division, and he was defiant when he arrived in the corporate boardroom with his team. He and Sculley began by clashing over what the division’s mission was. Jobs said it was to sell more Macintosh machines. Sculley said it was to serve the interests of the Apple company as a whole. As usual there was little cooperation among the divisions; for one thing, the Macintosh team was planning new disk drives that were different from those being developed by the Apple II division. The debate, according to the minutes, took a full hour.
Jobs then described the projects under way: a more powerful Mac, which would take the place of the discontinued Lisa; and software called FileServer, which would allow Macintosh users to share files on a network. Sculley learned for the first time that these projects were going to be late. He gave a cold critique of Murray’s marketing record, Belleville’s missed engineering deadlines, and Jobs’s overall management. Despite all this, Jobs ended the meeting with a plea to Sculley, in front of all the others there, to be given one more chance to prove he could run a division. Sculley refused.
That night Jobs took his Macintosh team out to dinner at Nina’s Café in Woodside. Jean-Louis Gassée was in town because Sculley wanted him to prepare to take over the Macintosh division, and Jobs invited him to join them. Belleville proposed a toast “to those of us who really understand what the world according to Steve Jobs is all about.” That phrase—“the world according to Steve”—had been used dismissively by others at Apple who belittled the reality warp he created. After the others left, Belleville sat with Jobs in his Mercedes and urged him to organize a battle to the death with Sculley.
Months earlier, Apple had gotten the right to export computers to China, and Jobs had been invited to sign a deal in the Great Hall of the People over the 1985 Memorial Day weekend. He had told Sculley, who decided he wanted to go himself, which was just fine with Jobs. Jobs decided to use Sculley’s absence to execute his coup. Throughout the week leading up to Memorial Day, he took a lot of people on walks to share his plans. “I’m going to launch a coup while John is in China,” he told Mike Murray.
Seven Days in May
Thursday, May 23: At his regular Thursday meeting with his top lieutenants in the Macintosh division, Jobs told his inner circle about his plan to oust Sculley. He also confided in the corporate human resources director, Jay Elliot, who told him bluntly that the proposed rebellion wouldn’t work. Elliot had talked to some board members and urged them to stand up for Jobs, but he discovered that most of the board was with Sculley, as were most members of Apple’s senior staff. Yet Jobs barreled ahead. He even revealed his plans to Gassée on a walk around the parking lot, despite the fact that Gassée had come from Paris to take his job. “I made the mistake of telling Gassée,” Jobs wryly conceded years later.
That evening Apple’s general counsel Al Eisenstat had a small barbecue at his home for Sculley, Gassée, and their wives. When Gassée told Eisenstat what Jobs was plotting, he recommended that Gassée inform Sculley. “Steve was trying to raise a cabal and have a coup to get rid of John,” Gassée recalled. “In the den of Al Eisenstat’s house, I put my index finger lightly on John’s breastbone and said, ‘If you leave tomorrow for China, you could be ousted. Steve’s plotting to get rid of you.’”
Friday, May 24: Sculley canceled his trip and decided to confront Jobs at the executive staff meeting on Friday morning. Jobs arrived late, and he saw that his usual seat next to Sculley, who sat at the head of the table, was taken. He sat instead at the far end. He was dressed in a well-tailored suit and looked energized. Sculley looked pale. He announced that he was dispensing with the agenda to confront the issue on everyone’s mind. “It’s come to my attention that you’d like to throw me out of the company,” he said, looking directly at Jobs. “I’d like to ask you if that’s true.”
Jobs was not expecting this. But he was never shy about indulging in brutal honesty. His eyes narrowed, and he fixed Sculley with his unblinking stare. “I think you’re bad for Apple, and I think you’re the wrong person to run the company,” he replied, coldly and slowly. “You really should leave this company. You don’t know how to operate and never have.” He accused Sculley of not understanding the product development process, and then he added a self-centered swipe: “I wanted you here to help me grow, and you’ve been ineffective in helping me.”
As the rest of the room sat frozen, Sculley finally lost his temper. A childhood stutter that had not afflicted him for twenty years started to return. “I don’t trust you, and I won’t tolerate a lack of trust,” he stammered. When Jobs claimed that he would be better than Sculley at running the company, Sculley took a gamble. He decided to poll the room on that question. “He pulled off this clever maneuver,” Jobs recalled, still smarting thirty-five years later. “It was at the executive committee meeting, and he said, ‘It’s me or Steve, who do you vote for?’ He set the whole thing up so that you’d kind of have to be an idiot to vote for me.”
Suddenly the frozen onlookers began to squirm. Del Yocam had to go first. He said he loved Jobs, wanted him to continue to play some role in the company, but he worked up the nerve to conclude, with Jobs staring at him, that he “respected” Sculley and would support him to run the company. Eisenstat faced Jobs directly and said much the same thing: He liked Jobs but was supporting Sculley. Regis McKenna, who sat in on senior staff meetings as an outside consultant, was more direct. He looked at Jobs and told him he was not yet ready to run the company, something he had told him before. Others sided with Sculley as well. For Bill Campbell, it was particularly tough. He was fond of Jobs and didn’t particularly like Sculley. His voice quavered a bit as he told Jobs he had decided to support Sculley, and he urged the two of them to work it out and find some role for Jobs to play in the company. “You can’t let Steve leave this company,” he told Sculley.
Jobs looked shattered. “I guess I know where things stand,” he said, and bolted out of the room. No one followed.
He went back to his office, gathered his longtime loyalists on the Macintosh staff, and started to cry. He would have to leave Apple, he said. As he started to walk out the door, Debi Coleman restrained him. She and the others urged him to settle down and not do anything hasty. He should take the weekend to regroup. Perhaps there was a way to prevent the company from being torn apart.
Sculley was devastated by his victory. Like a wounded warrior, he retreated to Eisenstat’s office and asked the corporate counsel to go for a ride. When they got into Eisenstat’s Porsche, Sculley lamented, “I don’t know whether I can go through with this.” When Eisenstat asked what he meant, Sculley responded, “I think I’m going to resign.”
“You can’t,” Eisenstat protested. “Apple will fall apart.”
“I’m going to resign,” Sculley declared. “I don’t think I’m right for the company.”
“I think you’re copping out,” Eisenstat replied. “You’ve got to stand up to him.” Then he drove Sculley home.
Sculley’s wife was surprised to see him back in the middle of the day. “I’ve failed,” he said to her forlornly. She was a volatile woman who had never liked Jobs or appreciated her husband’s infatuation with him. So when she heard what had happened, she jumped into her car and sped over to Jobs’s office. Informed that he had gone to the Good Earth restaurant, she marched over there and confronted him in the parking lot as he was coming out with loyalists on his Macintosh team.
“Steve, can I talk to you?” she said. His jaw dropped. “Do you have any idea what a privilege it has been even to know someone as fine as John Sculley?” she demanded. He averted his gaze. “Can’t you look me in the eyes when I’m talking to you?” she asked. But when Jobs did so—giving her his practiced, unblinking stare—she recoiled. “Never mind, don’t look at me,” she said. “When I look into most people’s eyes, I see a soul. When I look into your eyes, I see a bottomless pit, an empty hole, a dead zone.” Then she walked away.
Saturday, May 25: Mike Murray drove to Jobs’s house in Woodside to offer some advice: He should consider accepting the role of being a new product visionary, starting AppleLabs, and getting away from headquarters. Jobs seemed willing to consider it. But first he would have to restore peace with Sculley. So he picked up the telephone and surprised Sculley with an olive branch. Could they meet the following afternoon, Jobs asked, and take a walk together in the hills above Stanford University. They had walked there in the past, in happier times, and maybe on such a walk they could work things out.
Jobs did not know that Sculley had told Eisenstat he wanted to quit, but by then it didn’t matter. Overnight, he had changed his mind and decided to stay. Despite the blowup the day before, he was still eager for Jobs to like him. So he agreed to meet the next afternoon.
If Jobs was prepping for conciliation, it didn’t show in the choice of movie he wanted to see with Murray that night. He picked Patton, the epic of the never-surrender general. But he had lent his copy of the tape to his father, who had once ferried troops for the general, so he drove to his childhood home with Murray to retrieve it. His parents weren’t there, and he didn’t have a key. They walked around the back, checked for unlocked doors or windows, and finally gave up. The video store didn’t have a copy of Patton in stock, so in the end he had to settle for watching the 1983 film adaptation of Harold Pinter’s Betrayal.
Sunday, May 26: As planned, Jobs and Sculley met in back of the Stanford campus on Sunday afternoon and walked for several hours amid the rolling hills and horse pastures. Jobs reiterated his plea that he should have an operational role at Apple. This time Sculley stood firm. It won’t work, he kept saying. Sculley urged him to take the role of being a product visionary with a lab of his own, but Jobs rejected this as making him into a mere “figurehead.” Defying all connection to reality, he countered with the proposal that Sculley give up control of the entire company to him. “Why don’t you become chairman and I’ll become president and chief executive officer?” he suggested. Sculley was struck by how earnest he seemed.
“Steve, that doesn’t make any sense,” Sculley replied. Jobs then proposed that they split the duties of running the company, with him handling the product side and Sculley handling marketing and business. But the board had not only emboldened Sculley, it had ordered him to bring Jobs to heel. “One person has got to run the company,” he replied. “I’ve got the support and you don’t.”
On his way home, Jobs stopped at Mike Markkula’s house. He wasn’t there, so Jobs left a message asking him to come to dinner the following evening. He would also invite the core of loyalists from his Macintosh team. He hoped that they could persuade Markkula of the folly of siding with Sculley.
Monday, May 27: Memorial Day was sunny and warm. The Macintosh team loyalists—Debi Coleman, Mike Murray, Susan Barnes, and Bob Belleville—got to Jobs’s Woodside home an hour before the scheduled dinner so they could plot strategy. Sitting on the patio as the sun set, Coleman told Jobs that he should accept Sculley’s offer to be a product visionary and help start up AppleLabs. Of all the inner circle, Coleman was the most willing to be realistic. In the new organization plan, Sculley had tapped her to run the manufacturing division because he knew that her loyalty was to Apple and not just to Jobs. Some of the others were more hawkish. They wanted to urge Markkula to support a reorganization plan that put Jobs in charge.
When Markkula showed up, he agreed to listen with one proviso: Jobs had to keep quiet. “I seriously wanted to hear the thoughts of the Macintosh team, not watch Jobs enlist them in a rebellion,” he recalled. As it turned cooler, they went inside the sparsely furnished mansion and sat by a fireplace. Instead of letting it turn into a gripe session, Markkula made them focus on very specific management issues, such as what had caused the problem in producing the FileServer software and why the Macintosh distribution system had not responded well to the change in demand. When they were finished, Markkula bluntly declined to back Jobs. “I said I wouldn’t support his plan, and that was the end of that,” Markkula recalled. “Sculley was the boss. They were mad and emotional and putting together a revolt, but that’s not how you do things.”
Tuesday, May 28: His ire stoked by hearing from Markkula that Jobs had spent the previous evening trying to subvert him, Sculley walked over to Jobs’s office on Tuesday morning. He had talked to the board, he said, and he had its support. He wanted Jobs out. Then he drove to Markkula’s house, where he gave a presentation of his reorganization plans. Markkula asked detailed questions, and at the end he gave Sculley his blessing. When he got back to his office, Sculley called the other members of the board, just to make sure he still had their backing. He did.
At that point he called Jobs to make sure he understood. The board had given final approval of his reorganization plan, which would proceed that week. Gassée would take over control of Jobs’s beloved Macintosh as well as other products, and there was no other division for Jobs to run. Sculley was still somewhat conciliatory. He told Jobs that he could stay on with the title of board chairman and be a product visionary with no operational duties. But by this point, even the idea of starting a skunkworks such as AppleLabs was no longer on the table.
It finally sank in. Jobs realized there was no appeal, no way to warp the reality. He broke down in tears and started making phone calls—to Bill Campbell, Jay Elliot, Mike Murray, and others. Murray’s wife, Joyce, was on an overseas call when Jobs phoned, and the operator broke in saying it was an emergency. It better be important, she told the operator. “It is,” she heard Jobs say. When her husband got on the phone, Jobs was crying. “It’s over,” he said. Then he hung up.
Murray was worried that Jobs was so despondent he might do something rash, so he called back. There was no answer, so he drove to Woodside. No one came to the door when he knocked, so he went around back and climbed up some exterior steps and looked in the bedroom. Jobs was lying there on a mattress in his unfurnished room. He let Murray in and they talked until almost dawn.
Wednesday, May 29: Jobs finally got hold of a tape of Patton, which he watched Wednesday evening, but Murray prevented him from getting stoked up for another battle. Instead he urged Jobs to come in on Friday for Sculley’s announcement of the reorganization plan. There was no option left other than to play the good soldier rather than the renegade commander.
Like a Rolling Stone
Jobs slipped quietly into the back row of the auditorium to listen to Sculley explain to the troops the new order of battle. There were a lot of sideways glances, but few people acknowledged him and none came over to provide public displays of affection. He stared without blinking at Sculley, who would remember “Steve’s look of contempt” years later. “It’s unyielding,” Sculley recalled, “like an X-ray boring inside your bones, down to where you’re soft and destructibly m
Upon his return from Europe in August 1985, while he was casting about for what to do next, Jobs called the Stanford biochemist Paul Berg to discuss the advances that were being made in gene splicing and recombinant DNA. Berg described how difficult it was to do experiments in a biology lab, where it could take weeks to nurture an experiment and get a result. “Why don’t you simulate them on a computer?” Jobs asked. Berg replied that computers with such capacities were too expensive for university labs. “Suddenly, he was excited about the possibilities,” Berg recalled. “He had it in his mind to start a new company. He was young and rich, and had to find something to do with the rest of his life.”
Jobs had already been canvassing academics to ask what their workstation needs were. It was something he had been interested in since 1983, when he had visited the computer science department at Brown to show off the Macintosh, only to be told that it would take a far more powerful machine to do anything useful in a university lab. The dream of academic researchers was to have a workstation that was both powerful and personal. As head of the Macintosh division, Jobs had launched a project to build such a machine, which was dubbed the Big Mac. It would have a UNIX operating system but with the friendly Macintosh interface. But after Jobs was ousted from the Macintosh division, his replacement, Jean-Louis Gassée, canceled the Big Mac.
When that happened, Jobs got a distressed call from Rich Page, who had been engineering the Big Mac’s chip set. It was the latest in a series of conversations that Jobs was having with disgruntled Apple employees urging him to start a new company and rescue them. Plans to do so began to jell over Labor Day weekend, when Jobs spoke to Bud Tribble, the original Macintosh software chief, and floated the idea of starting a company to build a powerful but personal workstation. He also enlisted two other Macintosh division employees who had been talking about leaving, the engineer George Crow and the controller Susan Barnes.
That left one key vacancy on the team: a person who could market the new product to universities. The obvious candidate was Dan’l Lewin, who at Apple had organized a consortium of universities to buy Macintosh computers in bulk. Besides missing two letters in his first name, Lewin had the chiseled good looks of Clark Kent and a Princetonian’s polish. He and Jobs shared a bond: Lewin had written a Princeton thesis on Bob Dylan and charismatic leadership, and Jobs knew something about both of those topics.
Lewin’s university consortium had been a godsend to the Macintosh group, but he had become frustrated after Jobs left and Bill Campbell had reorganized marketing in a way that reduced the role of direct sales to universities. He had been meaning to call Jobs when, that Labor Day weekend, Jobs called first. He drove to Jobs’s unfurnished mansion, and they walked the grounds while discussing the possibility of creating a new company. Lewin was excited, but not ready to commit. He was going to Austin with Campbell the following week, and he wanted to wait until then to decide. Upon his return, he gave his answer: He was in. The news came just in time for the September 13 Apple board meeting.
Although Jobs was still nominally the board’s chairman, he had not been to any meetings since he lost power. He called Sculley, said he was going to attend, and asked that an item be added to the end of the agenda for a “chairman’s report.” He didn’t say what it was about, and Sculley assumed it would be a criticism of the latest reorganization. Instead, when his turn came to speak, Jobs described to the board his plans to start a new company. “I’ve been thinking a lot, and it’s time for me to get on with my life,” he began. “It’s obvious that I’ve got to do something. I’m thirty years old.” Then he referred to some prepared notes to describe his plan to create a computer for the higher education market. The new company would not be competitive with Apple, he promised, and he would take with him only a handful of non-key personnel. He offered to resign as chairman of Apple, but he expressed hope that they could work together. Perhaps Apple would want to buy the distribution rights to his product, he suggested, or license Macintosh software to it.
Mike Markkula rankled at the possibility that Jobs would hire anyone from Apple. “Why would you take anyone at all?” he asked.
“Don’t get upset,” Jobs assured him and the rest of the board. “These are very low-level people that you won’t miss, and they will be leaving anyway.”
The board initially seemed disposed to wish Jobs well in his venture. After a private discussion, the directors even proposed that Apple take a 10% stake in the new company and that Jobs remain on the board.
That night Jobs and his five renegades met again at his house for dinner. He was in favor of taking the Apple investment, but the others convinced him it was unwise. They also agreed that it would be best if they resigned all at once, right away. Then they could make a clean break.
So Jobs wrote a formal letter telling Sculley the names of the five who would be leaving, signed it in his spidery lowercase signature, and drove to Apple the next morning to hand it to him before his 7:30 staff meeting.
“Steve, these are not low-level people,” Sculley said.
“Well, these people were going to resign anyway,” Jobs replied. “They are going to be handing in their resignations by nine this morning.”
From Jobs’s perspective, he had been honest. The five were not division managers or members of Sculley’s top team. They had all felt diminished, in fact, by the company’s new organization. But from Sculley’s perspective, these were important players; Page was an Apple Fellow, and Lewin was a key to the higher education market. In addition, they knew about the plans for Big Mac; even though it had been shelved, this was still proprietary information. Nevertheless Sculley was sanguine. Instead of pushing the point, he asked Jobs to remain on the board. Jobs replied that he would think about it.
But when Sculley walked into his 7:30 staff meeting and told his top lieutenants who was leaving, there was an uproar. Most of them felt that Jobs had breached his duties as chairman and displayed stunning disloyalty to the company. “We should expose him for the fraud that he is so that people here stop regarding him as a messiah,” Campbell shouted, according to Sculley.
Campbell admitted that, although he later became a great Jobs defender and supportive board member, he was ballistic that morning. “I was fucking furious, especially about him taking Dan’l Lewin,” he recalled. “Dan’l had built the relationships with the universities. He was always muttering about how hard it was to work with Steve, and then he left.” Campbell was so angry that he walked out of the meeting to call Lewin at home. When his wife said he was in the shower, Campbell said, “I’ll wait.” A few minutes later, when she said he was still in the shower, Campbell again said, “I’ll wait.” When Lewin finally came on the phone, Campbell asked him if it was true. Lewin acknowledged it was. Campbell hung up without saying another word.
After hearing the fury of his senior staff, Sculley surveyed the members of the board. They likewise felt that Jobs had misled them with his pledge that he would not raid important employees. Arthur Rock was especially angry. Even though he had sided with Sculley during the Memorial Day showdown, he had been able to repair his paternal relationship with Jobs. Just the week before, he had invited Jobs to bring his girlfriend up to San Francisco so that he and his wife could meet her, and the four had a nice dinner in Rock’s Pacific Heights home. Jobs had not mentioned the new company he was forming, so Rock felt betrayed when he heard about it from Sculley. “He came to the board and lied to us,” Rock growled later. “He told us he was thinking of forming a company when in fact he had already formed it. He said he was going to take a few middle-level people. It turned out to be five senior people.” Markkula, in his subdued way, was also offended. “He took some top executives he had secretly lined up before he left. That’s not the way you do things. It was ungentlemanly.”
Over the weekend both the board and the executive staff convinced Sculley that Apple would have to declare war on its cofounder. Markkula issued a formal statement accusing Jobs of acting “in direct contradiction to his statements that he wouldn’t recruit any key Apple personnel for his company.” He added ominously, “We are evaluating what possible actions should be taken.” Campbell was quoted in the Wall Street Journal as saying he “was stunned and shocked” by Jobs’s behavior.
Jobs had left his meeting with Sculley thinking that things might proceed smoothly, so he had kept quiet. But after reading the newspapers, he felt that he had to respond. He phoned a few favored reporters and invited them to his home for private briefings the next day. Then he called Andy Cunningham, who had handled his publicity at Regis McKenna. “I went over to his unfurnished mansiony place in Woodside,” she recalled, “and I found him huddled in the kitchen with his five colleagues and a few reporters hanging outside on the lawn.” Jobs told her that he was going to do a full-fledged press conference and started spewing some of the derogatory things he was going to say. Cunningham was appalled. “This is going to reflect badly on you,” she told him. Finally he backed down. He decided that he would give the reporters a copy of the resignation letter and limit any on-the-record comments to a few bland statements.
Jobs had considered just mailing in his letter of resignation, but Susan Barnes convinced him that this would be too contemptuous. Instead he drove it to Markkula’s house, where he also found Al Eisenstat. There was a tense conversation for about fifteen minutes; then Barnes, who had been waiting outside, came to the door to retrieve him before he said anything he would regret. He left behind the letter, which he had composed on a Macintosh and printed on the new LaserWriter:
September 17, 1985
Dear Mike:
This morning’s papers carried suggestions that Apple is considering removing me as Chairman. I don’t know the source of these reports but they are both misleading to the public and unfair to me.
You will recall that at last Thursday’s Board meeting I stated I had decided to start a new venture and I tendered my resignation as Chairman.
The Board declined to accept my resignation and asked me to defer it for a week. I agreed to do so in light of the encouragement the Board offered with regard to the proposed new venture and the indications that Apple would invest in it. On Friday, after I told John Sculley who would be joining me, he confirmed Apple’s willingness to discuss areas of possible collaboration between Apple and my new venture.
Subsequently the Company appears to be adopting a hostile posture toward me and the new venture. Accordingly, I must insist upon the immediate acceptance of my resignation. . . .
As you know, the company’s recent reorganization left me with no work to do and no access even to regular management reports. I am but 30 and want still to contribute and achieve.
After what we have accomplished together, I would wish our parting to be both amicable and dignified.
Yours sincerely, steven p. jobs
When a guy from the facilities team went to Jobs’s office to pack up his belongings, he saw a picture frame on the floor. It contained a photograph of Jobs and Sculley in warm conversation, with an inscription from seven months earlier: “Here’s to Great Ideas, Great Experiences, and a Great Friendship! John.” The glass frame was shattered. Jobs had hurled it across the room before leaving. From that day, he never spoke to Sculley again.
Apple’s stock went up a full point, or almost 7%, when Jobs’s resignation was announced. “East Coast stockholders always worried about California flakes running the company,” explained the editor of a tech stock newsletter. “Now with both Wozniak and Jobs out, those shareholders are relieved.” But Nolan Bushnell, the Atari founder who had been an amused mentor ten years earlier, told Time that Jobs would be badly missed. “Where is Apple’s inspiration going to come from? Is Apple going to have all the romance of a new brand of Pepsi?”
After a few days of failed efforts to reach a settlement with Jobs, Sculley and the Apple board decided to sue him “for breaches of fiduciary obligations.” The suit spelled out his alleged transgressions:
Notwithstanding his fiduciary obligations to Apple, Jobs, while serving as the Chairman of Apple’s Board of Directors and an officer of Apple and pretending loyalty to the interests of Apple . . .
(a) secretly planned the formation of an enterprise to compete with Apple;
(b) secretly schemed that his competing enterprise would wrongfully take advantage of and utilize Apple’s plan to design, develop and market the Next Generation Product . . .
(c) secretly lured away key employees of Apple.
At the time, Jobs owned 6.5 million shares of Apple stock, 11% of the company, worth more than $100 million. He began to sell his shares, and within five months had dumped them all, retaining only one share so he could attend shareholder meetings if he wanted. He was furious, and that was reflected in his passion to start what was, no matter how he spun it, a rival company. “He was angry at Apple,” said Joanna Hoffman, who briefly went to work for the new company. “Aiming at the educational market, where Apple was strong, was simply Steve being vengeful. He was doing it for revenge.”
Jobs, of course, didn’t see it that way. “I haven’t got any sort of odd chip on my shoulder,” he told Newsweek. Once again he invited his favorite reporters over to his Woodside home, and this time he did not have Andy Cunningham there urging him to be circumspect. He dismissed the allegation that he had improperly lured the five colleagues from Apple. “These people all called me,” he told the gaggle of journalists who were milling around in his unfurnished living room. “They were thinking of leaving the company. Apple has a way of neglecting people.”
He decided to cooperate with a Newsweek cover in order to get his version of the story out, and the interview he gave was revealing. “What I’m best at doing is finding a group of talented people and making things with them,” he told the magazine. He said that he would always harbor affection for Apple. “I’ll always remember Apple like any man remembers the first woman he’s fallen in love with.” But he was also willing to fight with its management if need be. “When someone calls you a thief in public, you have to respond.” Apple’s threat to sue him was outrageous. It was also sad. It showed that Apple was no longer a confident, rebellious company. “It’s hard to think that a $2 billion company with 4,300 employees couldn’t compete with six people in blue jeans.”
To try to counter Jobs’s spin, Sculley called Wozniak and urged him to speak out. “Steve can be an insulting and hurtful guy,” he told Time that week. He revealed that Jobs had asked him to join his new firm—it would have been a sly way to land another blow against Apple’s current management—but he wanted no part of such games and had not returned Jobs’s phone call. To the San Francisco Chronicle, he recounted how Jobs had blocked frogdesign from working on his remote control under the pretense that it might compete with Apple products. “I look forward to a great product and I wish him success, but his integrity I cannot trust,” Wozniak said.
To Be on Your Own
“The best thing ever to happen to Steve is when we fired him, told him to get lost,” Arthur Rock later said. The theory, shared by many, is that the tough love made him wiser and more mature. But it’s not that simple. At the company he founded after being ousted from Apple, Jobs was able to indulge all of his instincts, both good and bad. He was unbound. The result was a series of spectacular products that were dazzling market flops. This was the true learning experience. What prepared him for the great success he would have in Act III was not his ouster from his Act I at Apple but his brilliant failures in Act II.
The first instinct that he indulged was his passion for design. The name he chose for his new company was rather straightforward: Next. In order to make it more distinctive, he decided he needed a world-class logo. So he courted the dean of corporate logos, Paul Rand. At seventy-one, the Brooklyn-born graphic designer had already created some of the best-known logos in business, including those of Esquire, IBM, Westinghouse, ABC, and UPS. He was under contract to IBM, and his supervisors there said that it would obviously be a conflict for him to create a logo for another computer company. So Jobs picked up the phone and called IBM’s CEO, John Akers. Akers was out of town, but Jobs was so persistent that he was finally put through to Vice Chairman Paul Rizzo. After two days, Rizzo concluded that it was futile to resist Jobs, and he gave permission for Rand to do the work.
Rand flew out to Palo Alto and spent time walking with Jobs and listening to his vision. The computer would be a cube, Jobs pronounced. He loved that shape. It was perfect and simple. So Rand decided that the logo should be a cube as well, one that was tilted at a 28° angle. When Jobs asked for a number of options to consider, Rand declared that he did not create different options for clients. “I will solve your problem, and you will pay me,” he told Jobs. “You can use what I produce, or not, but I will not do options, and either way you will pay me.”
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English
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16k
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T5. Attribution & Citation Alignment
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T5.1 Full-Sentence Citation Alignment
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Full
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You will be provided with a summary sentence. Your task is to identify the original Part number(s) from the provided text that fully support this sentence. Output the "[Answer]" identifier first, and then output the cited content (format as "Part xx") line by line, without any additional content.
Generated Summary:
After taking a leave of absence post the 1984 Macintosh launch (to recharge and avoid supervisor Bob Belleville), Andy Hertzfeld clashed with Jobs first. Over a denied Mac team bonus (which Jobs initially blamed on Belleville. Before relenting, leaving Hertzfeld upset) and later when Jobs dismissed his. Concerns about the Mac software team’s low morale and Burrell’s frustration. As out of touch, insisting the team was doing well.
Output example:
[Answer]
Part 1
Part 12
Part 15
|
You will be provided with a summary sentence. Your task is to identify the original Part number(s) from the provided text that fully support this sentence. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the cited content (format as "Part xx") line by line.
Generated Summary:
After taking a leave of absence post the 1984 Macintosh launch (to recharge and avoid supervisor Bob Belleville), Andy Hertzfeld clashed with Jobs first. Over a denied Mac team bonus (which Jobs initially blamed on Belleville. Before relenting, leaving Hertzfeld upset) and later when Jobs dismissed his. Concerns about the Mac software team’s low morale and Burrell’s frustration. As out of touch, insisting the team was doing well.
Output example:
<Your thinking process>
[Answer]
Part 1
Part 12
Part 15
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[
"Part 27",
"Part 28",
"Part 29"
] |
Easy
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240626b6dc0d95736f8ff25e5f2775e70e3599c5035e53e88cd349dae5cb13d1
|
Marjorie Daw
by Thomas Bailey Aldrich (1836-1907)
Approximate Word Count: 7419
I.
DR. DILLON TO EDWARD DELANEY, ESQ., AT THE PINES. NEAR RYE, N.H.
August 8, 1872.
My Dear Sir: I am happy to assure you that your anxiety is without reason. Flemming will be confined to the sofa for three or four weeks, and will have to be careful at first how he uses his leg. A fracture of this kind is always a tedious affair. Fortunately the bone was very skilfully set by the surgeon who chanced to be in the drugstore where Flemming was brought after his fall, and I apprehend no permanent inconvenience from the accident. Flemming is doing perfectly well physically; but I must confess that the irritable and morbid state of mind into which he has fallen causes me a great deal of uneasiness. He is the last man in the world who ought to break his leg. You know how impetuous our friend is ordinarily, what a soul of restlessness and energy, never content unless he is rushing at some object, like a sportive bull at a red shawl; but amiable withal. He is no longer amiable. His temper has become something frightful. Miss Fanny Flemming came up from Newport, where the family are staying for the summer, to nurse him; but he packed her off the next morning in tears. He has a complete set of Balzac's works, twenty-seven volumes, piled up near his sofa, to throw at Watkins whenever that exemplary serving-man appears with his meals. Yesterday I very innocently brought Flemming a small basket of lemons. You know it was a strip of lemonpeel on the curbstone that caused our friend's mischance. Well, he no sooner set is eyes upon those lemons than he fell into such a rage as I cannot adequately describe. This is only one of moods, and the least distressing. At other times he sits with bowed head regarding his splintered limb, silent, sullen, despairing. When this fit is on him--and it sometimes lasts all day--nothing can distract his melancholy. He refuses to eat, does not even read the newspapers; books, except as projectiles for Watkins, have no charms for him. His state is truly pitiable.
Now, if he were a poor man, with a family depending on his daily labor, this irritability and despondency would be natural enough. But in a young fellow of twenty-four, with plenty of money and seemingly not a care in the world, the thing is monstrous. If he continues to give way to his vagaries in this manner, he will end by bringing on an inflammation of the fibula. It was the fibula he broke. I am at my wits' end to know what to prescribe for him. I have anaesthetics and lotions, to make people sleep and to soothe pain; but I've no medicine that will make a man have a little common-sense. That is beyond my skill, but maybe it is not beyond yours. You are Flemming's intimate friend, his fidus Achates. Write to him, write to him frequently, distract his mind, cheer him up, and prevent him from becoming a confirmed case of melancholia. Perhaps he has some important plans disarranged by his present confinement. If he has you will know, and will know how to advise him judiciously. I trust your father finds the change beneficial? I am, my dear sir, with great respect, etc.
II.
EDWARD DELANEY TO JOHN FLEMMING, WEST 38TH STREET, NEW YORK.
August 9, 1872.
My Dear Jack: I had a line from Dillon this morning, and was rejoiced to learn that your hurt is not so bad as reported. Like a certain personage, you are not so black and blue as you are painted. Dillon will put you on your pins again in two to three weeks, if you will only have patience and follow his counsels. Did you get my note of last Wednesday? I was greatly troubled when I heard of the accident.
I can imagine how tranquil and saintly you are with your leg in a trough! It is deuced awkward, to be sure, just as we had promised ourselves a glorious month together at the sea-side; but we must make the best of it. It is unfortunate, too, that my father's health renders it impossible for me to leave him. I think he has much improved; the sea air is his native element; but he still needs my arm to lean upon in his walks, and requires some one more careful that a servant to look after him. I cannot come to you, dear Jack, but I have hours of unemployed time on hand, and I will write you a whole post-office full of letters, if that will divert you. Heaven knows, I haven't anything to write about. It isn't as if we were living at one of the beach houses; then I could do you some character studies, and fill your imagination with groups of sea-goddesses, with their (or somebody else's) raven and blonde manes hanging down their shoulders. You should have Aphrodite in morning wrapper, in evening costume, and in her prettiest bathing suit. But we are far from all that here. We have rooms in a farm-house, on a cross-road, two miles from the hotels, and lead the quietest of lives.
I wish I were a novelist. This old house, with its sanded floors and high wainscots, and its narrow windows looking out upon a cluster of pines that turn themselves into aeolian harps every time the wind blows, would be the place in which to write a summer romance. It should be a story with the odors of the forest and the breath of the sea in it. It should be a novel like one of that Russian fellow's--what's his name?--Tourguenieff, Turguenef, Turgenif, Toorguniff, Turgenjew--nobody knows how to spell him. Yet I wonder if even a Liza or an Alexandra Paulovna could stir the heart of a man who has constant twinges in his leg. I wonder if one of our own Yankee girls of the best type, haughty and spirituelle, would be of any comfort to you in your present deplorable condition. If I thought so, I would hasten down to the Surf House and catch one for you; or, better still, I would find you one over the way.
Picture to yourself a large white house just across the road, nearly opposite our cottage. It is not a house, but a mansion, built, perhaps, in the colonial period, with rambling extensions, and gambrel roof, and a wide piazza on three sides--a self- possessed, high-bred piece of architecture, with its nose in the air. It stands back from the road, and has an obsequious retinue of fringed elms and oaks and weeping willows. Sometimes in the morning, and oftener in the afternoon, when the sun has withdrawn from that part of the mansions, a young woman appears on the piazza with some mysterious Penelope web of embroidery in her hand, or a book. There is a hammock over there--of pineapple fibre, it looks from here. A hammock is very becoming when one is eighteen, and has golden hair, and dark eyes, and an emerald-colored illusion dress looped up after the fashion of a Dresden china shepherdess, and is chaussee like a belle of the time of Louis Quatorze. All this splendor goes into that hammock, and sways there like a pond-lily in the golden afternoon. The window of my bedroom looks down on that piazza--and so do I.
But enough of the nonsense, which ill becomes a sedate young attorney taking his vacation with an invalid father. Drop me a line, dear Jack, and tell me how you really are. State your case. Write me a long, quite letter. If you are violent or abusive, I'll take the law to you.
III.
JOHN FLEMMING TO EDWARD DELANEY.
August 11, 1872.
Your letter, dear Ned, was a godsend. Fancy what a fix I am in--I, who never had a day's sickness since I was born. My left leg weighs three tons. It is embalmed in spices and smothered in layers of fine linen, like a mummy. I can't move. I haven't moved for five thousand years. I'm of the time of Pharaoh.
I lie from morning till night on a lounge, staring into the hot street. Everybody is out of town enjoying himself. The brown-stone- front houses across the street resemble a row of particularly ugly coffins set up on end. A green mould is settling on the names of the deceased, carved on the silver door-plates. Sardonic spiders have sewed up the key-holes. All is silence and dust and desolation. --I interrupt this a moment, to take a shy at Watkins with the second volume of Cesar Birotteau. Missed him! I think I could bring him down with a copy of Sainte-Beuve or the Dictionnaire Universel, if I had it. These small Balzac books somehow do not quite fit my hand; but I shall fetch him yet. I've an idea that Watkins is tapping the old gentleman's Chateau Yquem. Duplicate key of the wine-cellar. Hibernian swarries in the front basement. Young Cheops up stairs, snug in his cerements. Watkins glides into my chamber, with that colorless, hypocritical face of his drawn out long like an accordion; but I know he grins all the way down stairs, and is glad I have broken my leg. Was not my evil star in the very zenith when I ran up to town to attend that dinner at Delmonico's? I didn't come up altogether for that. It was partly to buy Frank Livingstone's roan mare Margot. And now I shall not be able to sit in the saddle these two months. I'll send the mare down to you at The Pines--is that the name of the place?
Old Dillon fancies that I have something on my mind. He drives me wild with lemons. Lemons for a mind diseased! Nonsense. I am only as restless as the devil under this confinement--a thing I'm not used to. Take a man who has never had so much as a headache or a toothache in his life, strap one of his legs in a section of water- spout, keep him in a room in the city for weeks, with the hot weather turned on, and then expect him to smile and purr and be happy! It is preposterous. I can't be cheerful or calm.
Your letter is the first consoling thing I have had since my disaster, ten days ago. It really cheered me up for half an hour. Send me a screed, Ned, as often as you can, if you love me. Anything will do. Write me more about that little girl in the hammock. That was very pretty, all that about the Dresden china shepherdess and the pond-lily; the imagery a little mixed, perhaps, but very pretty. I didn't suppose you had so much sentimental furniture in your upper story. It shows how one may be familiar for years with the reception-room of his neighbor, and never suspect what is directly under his mansard. I supposed your loft stuffed with dry legal parchments, mortgages, and affidavits; you take down a package of manuscript, and lo! there are lyrics and sonnets and canzonettas. You really have a graphic descriptive touch, Edward Delaney, and I suspect you of anonymous love-tales in the magazines.
I shall be a bear until I hear from you again. Tell me all about your pretty inconnue across the road. What is her name? Who is she? Who's her father? Where's her mother? Who's her lover? You cannot imagine how this will occupy me. The more trifling, the better. My imprisonment has weakened me intellectually to such a degree that I find your epistolary gifts quite considerable. I am passing into my second childhood. In a week or two I shall take to India rubber rings and prongs of coral. A silver cup, with an appropriate inscription, would be a delicate attention on your part. In the mean time, write!
IV.
EDWARD DELANEY TO JOHN FLEMMING.
August 12, 1872.
The sick pasha shall be amused. Bismillah! he wills it so. If the story-teller becomes prolix and tedious--the bow-string and the sack, and two Nubians to drop him into the Piscataqua! But truly, Jack, I have a hard task. There is literally nothing here--except the little girl over the way. She is swinging in the hammock at this moment. It is to me compensation for many of the ills of life to see her now and then put out a small kid boot, which fits like a glove, and set herself going. Who is she, and what is her name? Her name is Daw. Only daughter if Mr. Richard W. Daw, ex-colonel and banker. Mother dead. One brother at Harvard, elder brother killed at the battle of Fair Oaks, ten years ago. Old, rich family, the Daws. This is the homestead, where father and daughter pass eight months of the twelve; the rest of the year in Baltimore and Washington. The New England winter too many for the old gentleman. The daughter is called Marjorie--Marjorie Daw. Sounds odd at first, doesn't it? But after you say it over to yourself half a dozen times, you like it. There's a pleasing quaintness to it, something prim and violet-like. Must be a nice sort of girl to be called Marjorie Daw.
I had mine host of The Pines in the witness-box last night, and drew the foregoing testimony from him. He has charge of Mr. Daw's vegetable-garden, and has known the family these thirty years. Of course I shall make the acquaintance of my neighbors before many days. It will be next to impossible for me not to meet Mr. Daw or Miss Daw in some of my walks. The young lady has a favorite path to the sea-beach. I shall intercept her some morning, and touch my hat to her. Then the princess will bend her fair head to me with courteous surprise not unmixed with haughtiness. Will snub me, in fact. All this for thy sake, O Pasha of the Snapt Axle-tree!. . . How oddly things fall out! Ten minutes ago I was called down to the parlor--you know the kind of parlors in farm-houses on the coast, a sort of amphibious parlor, with sea-shells on the mantel-piece and spruce branches in the chimney-place--where I found my father and Mr. Daw doing the antique polite to each other. He had come to pay his respects to his new neighbors. Mr. Daw is a tall, slim gentleman of about fifty-five, with a florid face and snow-white mustache and side-whiskers. Looks like Mr. Dombey, or as Mr. Dombey would have looked if he had served a few years in the British Army. Mr. Daw was a colonel in the late war, commanding the regiment in which his son was a lieutenant. Plucky old boy, backbone of New Hampshire granite. Before taking his leave, the colonel delivered himself of an invitation as if he were issuing a general order. Miss Daw has a few friends coming, at 4 p.m., to play croquet on the lawn (parade-ground) and have tea (cold rations) on the piazza. Will we honor them with our company? (or be sent to the guard- house.) My father declines on the plea of ill-health. My father's son bows with as much suavity as he knows, and accepts.
In my next I shall have something to tell you. I shall have seen the little beauty face to face. I have a presentiment, Jack, that this Daw is a rara avis! Keep up your spirits, my boy, until I write you another letter--and send me along word how's your leg.
V.
EDWARD DELANEY TO JOHN FLEMMING.
August 13, 1872.
The party, my dear Jack, was as dreary as possible. A lieutenant of the navy, the rector of the Episcopal Church at Stillwater, and a society swell from Nahant. The lieutenant looked as if he had swallowed a couple of his buttons, and found the bullion rather indigestible; the rector was a pensive youth, of the daffydowndilly sort; and the swell from Nahant was a very weak tidal wave indeed. The women were much better, as they always are; the two Miss Kingsburys of Philadelphia, staying at the Seashell House, two bright and engaging girls. But Marjorie Daw!
The company broke up soon after tea, and I remained to smoke a cigar with the colonel on the piazza. It was like seeing a picture, to see Miss Marjorie hovering around the old soldier, and doing a hundred gracious little things for him. She brought the cigars and lighted the tapers with her own delicate fingers, in the most enchanting fashion. As we sat there, she came and went in the summer twilight, and seemed, with her white dress and pale gold hair, like some lovely phantom that had sprung into existence out of the smokewreaths. If she had melted into air, like the statue of Galatea in the play, I should have been more sorry than surprised.
It was easy to perceive that the old colonel worshipped her and she him. I think the relation between an elderly father and a daughter just blooming into womanhood the most beautiful possible. There is in it a subtile sentiment that cannot exist in the case of mother and daughter, or that of son and mother. But this is getting into deep water.
I sat with the Daws until half past ten, and saw the moon rise on the sea. The ocean, that had stretched motionless and black against the horizon, was changed by magic into a broken field of glittering ice, interspersed with marvellous silvery fjords. In the far distance the Isle of Shoals loomed up like a group of huge bergs drifting down on us. The Polar Regions in a June thaw! It was exceedingly fine. What did we talk about? We talked about the weather--and you! The weather has been disagreeable for several days past--and so have you. I glided from one topic to the other very naturally. I told my friends of your accident; how it had frustrated all our summer plans, and what our plans were. I played quite a spirited solo on the fibula. Then I described you; or, rather, I didn't. I spoke of your amiability, of your patience under this severe affliction; of your touching gratitude when Dillon brings you little presents of fruit; of your tenderness to your sister Fanny, whom you would not allow to stay in town to nurse you, and how you heroically sent her back to Newport, preferring to remain alone with Mary, the cook, and your man Watkins, to whom, by the way, you were devotedly attached. If you had been there, Jack, you wouldn't have known yourself. I should have excelled as a criminal lawyer, if I had not turned my attention to a different branch of jurisprudence.
Miss Marjorie asked all manner of leading questions concerning you. It did not occur to me then, but it struck me forcibly afterwards, that she evinced a singular interest in the conversation. When I got back to my room, I recalled how eagerly she leaned forward, with her full, snowy throat in strong moonlight, listening to what I said. Positively, I think I made her like you!
Miss Daw is a girl whom you would like immensely, I can tell you that. A beauty without affectation, a high and tender nature--if one can read the soul in the face. And the old colonel is a noble character, too.
I am glad that the Daws are such pleasant people. The Pines is an isolated spot, and my resources are few. I fear I should have found life here somewhat monotonous before long, with no other society than that of my excellent sire. It is true, I might have made a target of the defenceless invalid; but I haven't a taste for artillery, moi.
VI.
JOHN FLEMMING TO EDWARD DELANEY.
August 17, 1872.
For a man who hasn't a taste for artillery, it occurs to me, my friend, you are keeping up a pretty lively fire on my inner works. But go on. Cynicism is a small brass field-piece that eventually bursts and kills the artilleryman.
You may abuse me as much as you like, and I'll not complain; for I don't know what I should do without your letters. They are curing me. I haven't hurled anything at Watkins since last Sunday, partly because I have grown more amiable under your teaching, and partly because Watkins captured my ammunition one night, and carried it off to the library. He is rapidly losing the habit he had acquired of dodging whenever I rub my ear, or make any slight motion with my right arm. He is still suggestive of the wine-cellar, however. You may break, you may shatter Watkins, if you will, but the scent of the Roederer will hang round him still.
Ned, that Miss Daw must be a charming person. I should certainly like her. I like her already. When you spoke in your first letter of seeing a young girl swinging in a hammock under your chamber window, I was somehow strangely drawn to her. I cannot account for it in the least. What you have subsequently written of Miss Daw has strengthened the impression. You seem to be describing a woman I have known in some previous state of existence, or dreamed of in this. Upon my word, if you were to send me her photograph, I believe I should recognize her at a glance. Her manner, that listening attitude, her traits of character, as you indicate them, the light hair and the dark eyes--they are all familiar things to me. Asked a lot of questions, did she? Curious about me? That is strange.
You would laugh in your sleeve, you wretched old cynic, if you knew how I lie awake nights, with my gas turned down to a star, thinking of The Pines and the house across the road. How cool it must be down there! I long for the salt smell in the air. I picture the colonel smoking his cheroot on the piazza. I send you and Miss Daw off on afternoon rambles along the beach. Sometimes I let you stroll with her under the elms in the moonlight, for you are great friends by this time, I take it, and see each other every day. I know your ways and your manners! Then I fall into a truculent mood, and would like to destroy somebody. Have you noticed anything in the shape of a lover hanging around the colonel Lares and Penates? Does that lieutenant of the horse-marines or that young Stillwater parson visit the house much? Not that I am pining for news of them, but any gossip of the kind would be in order. I wonder, Ned, you don't fall in love with Miss Daw. I am ripe to do it myself. Speaking of photographs, couldn't you manage to slip one of her cartes-de-visite from her album--she must have an album, you know--and send it to me? I will return it before it could be missed. That's a good fellow! Did the mare arrive safe and sound? It will be a capital animal this autumn for Central Park.
Oh--my leg? I forgot about my leg. It's better.
VII.
EDWARD DELANEY TO JOHN FLEMMIMG.
August 20, 1872.
You are correct in your surmises. I am on the most friendly terms with our neighbors. The colonel and my father smoke their afternoon cigar together in our sitting-room or on the piazza opposite, and I pass an hour or two of the day or the evening with the daughter. I am more and more struck by the beauty, modesty, and intelligence of Miss Daw.
You asked me why I do not fall in love with her. I will be frank, Jack; I have thought of that. She is young, rich, accomplished, uniting in herself more attractions, mental and personal, than I can recall in any girl of my acquaintance; but she lacks the something that would be necessary to inspire in me that kind of interest. Possessing this unknown quality, a woman neither beautiful nor wealthy nor very young could bring me to her feet. But not Miss Daw. If we were shipwrecked together on an uninhabited island--let me suggest a tropical island, for it costs no more to be picturesque--I would build her a bamboo hut, I would fetch her bread-fruit and cocoanuts, I would fry yams for her, I would lure the ingenuous turtle and make her nourishing soups, but I wouldn't make love to her--not under eighteen months. I would like to have her for a sister, that I might shield her and counsel her, and spend half my income on old threadlace and camel's-hair shawls. (We are off the island now.) If such were not my feeling, there would still be an obstacle to my loving Miss Daw. A greater misfortune could scarcely befall me than to love her. Flemming, I am about to make a revelation that will astonish you. I may be all wrong in my premises and consequently in my conclusions; but you shall judge.
That night when I returned to my room after the croquet party at the Daw's, and was thinking over the trivial events of the evening, I was suddenly impressed by the air of eager attention with which Miss Daw had followed my account of your accident. I think I mentioned this to you. Well, the next morning, as I went to mail my letter, I overtook Miss Daw on the road to Rye, where the post- office is, and accompanied her thither and back, an hour's walk. The conversation again turned to you, and again I remarked that inexplicable look of interest which had lighted up her face the previous evening. Since then, I have seen Miss Daw perhaps ten times, perhaps oftener, and on each occasion I found that when I was not speaking of you, or your sister, or some person or place associated with you, I was not holding her attention. She would be absent-minded, her eyes would wander away from me to the sea, or to some distant object in the landscape; her fingers would play with the leaves of a book in a way that convinced me she was not listening. At these moments if I abruptly changed the theme--I did it several times as an experiment--and dropped some remark about my friend Flemming, then the sombre blue eyes would come back to me instantly.
Now, is not this the oddest thing in the world? No, not the oddest. The effect which you tell me was produced on you by my casual mention of an unknown girl swinging in a hammock is certainly as strange. You can conjecture how that passage in your letter of Friday startled me. Is it possible, than, that two people who have never met, and who are hundreds of miles apart, can exert a magnetic influence on each other? I have read of such psychological phenomena, but never credited them. I leave the solution of the problem to you. As for myself, all other things being favorable, it would be impossible for me to fall in love with a woman who listens to me only when I am talking of my friend!
I am not aware that any one is paying marked attention to my fair neighbor. The lieutenant of the navy--he is stationed at Rivermouth --sometimes drops in of an evening, and sometimes the rector from Stillwater; the lieutenant the oftener. He was there last night. I should not be surprised if he had an eye to the heiress; but he is not formidable. Mistress Daw carries a neat little spear of irony, and the honest lieutenant seems to have a particular facility for impaling himself on the point of it. He is not dangerous, I should say; though I have known a woman to satirize a man for years, and marry him after all. Decidedly, the lowly rector is not dangerous; yet, again, who has not seen Cloth of Frieze victorious in the lists where Cloth of Gold went down?
As to the photograph. There is an exquisite ivory-type of Marjorie, in passe-partout, on the drawing room mantel-piece. It would be missed at once if taken. I would do anything reasonable for you, Jack; but I've no burning desire to be hauled up before the local justice of the peace, on a charge of petty larceny.
P.S.--Enclosed is a spray of mignonette, which I advise you to treat tenderly. Yes, we talked of you again last night, as usual. It is becoming a little dreary for me.
VIII.
EDWARD DELANEY TO JOHN FLEMMING.
August 22, 1872.
Your letter in reply to my last has occupied my thoughts all the morning. I do not know what to think. Do you mean to say that you are seriously half in love with a woman whom you have never seen-- with a shadow, a chimera? for what else can Miss Daw to be you? I do not understand it at all. I understand neither you nor her. You are a couple of ethereal beings moving in finer air than I can breathe with my commonplace lungs. Such delicacy of sentiment is something that I admire without comprehending. I am bewildered. I am of the earth earthy, and I find myself in the incongruous position of having to do with mere souls, with natures so finely tempered that I run some risk of shattering them in my awkwardness. I am as Caliban among the spirits!
Reflecting on your letter, I am not sure that it is wise in me to continue this correspondence. But no, Jack; I do wrong to doubt the good sense that forms the basis of your character. You are deeply interested in Miss Daw; you feel that she is a person whom you may perhaps greatly admire when you know her: at the same time you bear in mind that the chances are ten to five that, when you do come to know her, she will fall far short of your ideal, and you will not care for her in the least. Look at it in this sensible light, and I will hold back nothing from you.
Yesterday afternoon my father and myself rode over to Rivermouth with the Daws. A heavy rain in the morning had cooled the atmosphere and laid the dust. To Rivermouth is a drive of eight miles, along a winding road lined all the way with wild barberry bushes. I never saw anything more brilliant than these bushes, the green of the foliage and the faint blush of the berries intensified by the rain. The colonel drove, with my father in front, Miss Daw and I on the back seat. I resolved that for the first five miles your name should not pass my lips. I was amused by the artful attempts she made, at the start, to break through my reticence. Then a silence fell upon her; and then she became suddenly gay. That keenness which I enjoyed so much when it was exercised on the lieutenant was not so satisfactory directed against myself. Miss Daw has great sweetness of disposition, but she can be disagreeable. She is like the young lady in the rhyme, with the curl on her forehead,
"When she is good,
She is very, very good,
And when she is bad, she is horrid!"I kept to my resolution, however; but on the return home I relented, and talked of your mare! Miss Daw is going to try a side- saddle on Margot some morning. The animal is a trifle too light for my weight. By the bye, I nearly forgot to say that Miss Daw sat for a picture yesterday to a Rivermouth artist. If the negative turns out well, I am to have a copy. So our ends will be accomplished without crime. I wish, though, I could send you the ivorytype in the drawing-room; it is cleverly colored, and would give you an idea of her hair and eyes, which of course the other will not.
No, Jack, the spray of mignonette did not come from me. A man of twenty-eight doesn't enclose flowers in his letters--to another man. But don't attach too much significance to the circumstance. She gives sprays of mignonette to the rector, sprays to the lieutenant. She has even given a rose from her bosom to your slave. It is her jocund nature to scatter flowers, like Spring.
If my letters sometimes read disjointedly, you must understand that I never finish one at a sitting, but write at intervals, when the mood is on me.
The mood is not on me now.
IX.
EDWARD DELANEY TO JOHN FLEMMING.
August 23, 1872.
I have just returned from the strangest interview with Marjorie. She has all but confessed to me her interest in you. But with what modesty and dignity! Her words elude my pen as I attempt to put them on paper; and, indeed, it was not so much what she said as her manner; and that I cannot reproduce. Perhaps it was of a piece with the strangeness of this whole business, that she should tacitly acknowledge to a third party the love she feels for a man she has never beheld! But I have lost, through your aid, the faculty of being surprised. I accept things as people do in dreams. Now that I am again in my room, it all appears like an illusion--the black masses of Rembrandtish shadow under the trees, the fireflies whirling in Pyrrhic dances among the shrubbery, the sea over there, Marjorie sitting on the hammock!
It is past midnight, and I am too sleepy to write more.
Thursday Morning.
My father has suddenly taken it into his head to spend a few days at the Shoals. In the meanwhile you will not hear from me. I see Marjorie walking in the garden with the colonel. I wish I could speak to her alone, but shall probably not have an opportunity before we leave.
X.
EDWARD DELANEY TO JOHN FLEMMING.
August 28, 1872.
You were passing into your second childhood, were you? Your intellect was so reduced that my epistolary gifts seemed quite considerable to you, did they? I rise superior to the sarcasm in your favor of the 11th instant, when I notice that five days' silence on my part is sufficient to throw you into the depths of despondency.
We returned only this morning from Appledore, that enchanted island --at four dollars per day. I find on my desk three letters from you! Evidently there is no lingering doubt in your mind as to the pleasure I derive from your correspondence. These letters are undated, but in what I take to be the latest are two passages that require my consideration. You will pardon my candor, dear Flemming, but the conviction forces itself upon me that as your leg grows stronger your head becomes weaker. You ask my advice on a certain point. I will give it. In my opinion you could do nothing more unwise that to address a note to Miss Daw, thanking her for the flower. It would, I am sure, offend her delicacy beyond pardon. She knows you only through me; you are to her an abstraction, a figure in a dream--a dream from which the faintest shock would awaken her. Of course, if you enclose a note to me and insist on its delivery, I shall deliver it; but I advise you not to do so.
You say you are able, with the aid of a cane, to walk about your chamber, and that you purpose to come to The Pines the instant Dillon thinks you strong enough to stand the journey. Again I advise you not to. Do you not see that, every hour you remain away, Marjorie's glamour deepens, and your influence over her increases? You will ruin everything by precipitancy. Wait until you are entirely recovered; in any case, do not come without giving me warning. I fear the effect of your abrupt advent here--under the circumstances.
Miss Daw was evidently glad to see us back again, and gave me both hands in the frankest way. She stopped at the door a moment this afternoon in the carriage; she had been over to Rivermouth for her pictures. Unluckily the photographer had spilt some acid on the plate, and she was obliged to give him another sitting. I have an intuition that something is troubling Marjorie. She had an abstracted air not usual with her. However, it may be only my fancy. . . . I end this, leaving several things unsaid, to accompany my father on one of those long walks which are now his chief medicine--and mine!
XI.
EDWARD DELANY TO JOHN FLEMMING.
August 29, 1972.
I write in great haste to tell you what has taken place here since my letter of last night. I am in the utmost perplexity. Only one thing is plain--you must not dream of coming to The Pines. Marjorie has told her father everything! I saw her for a few minutes, an hour ago, in the garden; and, as near as I could gather from her confused statement, the facts are these: Lieutenant Bradly--that's the naval officer stationed at Rivermouth--has been paying court to Miss Daw for some time past, but not so much to her liking as to that of the colonel, who it seems is an old fiend of the young gentleman's father. Yesterday (I knew she was in some trouble when she drove up to our gate) the colonel spoke to Marjorie of Bradly --urged his suit, I infer. Marjorie expressed her dislike for the lieutenant with characteristic frankness, and finally confessed to her father--well, I really do not know what she confessed. It must have been the vaguest of confessions, and must have sufficiently puzzled the colonel. At any rate, it exasperated him. I suppose I am implicated in the matter, and that the colonel feels bitterly towards me. I do not see why: I have carried no messages between you and Miss Daw; I have behaved with the greatest discretion. I can find no flaw anywhere in my proceeding. I do not see that anybody has done anything--except the colonel himself.
It is probable, nevertheless, that the friendly relations between the two houses will be broken off. "A plague o' both your houses," say you. I will keep you informed, as well as I can, of what occurs over the way. We shall remain here until the second week in September. Stay where you are, or, at all events, do not dream of joining me....Colonel Daw is sitting on the piazza looking rather wicked. I have not seen Marjorie since I parted with her in the garden.
XII.
EDWARD DELANEY TO THOMAS DILLON, M.D., MADISON SQUARE, NEW YORK.
August 30, 1872.
My Dear Doctor: If you have any influence over Flemming, I beg of you to exert it to prevent his coming to this place at present. There are circumstances, which I will explain to you before long, that make it of the first importance that he should not come into this neighborhood. His appearance here, I speak advisedly, would be disastrous to him. In urging him to remain in New York, or to go to some inland resort, you will be doing him and me a real service. Of course you will not mention my name in this connection. You know me well enough, my dear doctor, to be assured that, in begging your secret cooperation, I have reasons that will meet your entire approval when they are made plain to you. We shall return to town on the 15th of next month, and my first duty will be to present myself at your hospitable door and satisfy your curiosity, if I have excited it. My father, I am glad to state, has so greatly improved that he can no longer be regarded as an invalid. With great esteem, I am, etc., etc.
XIII.
EDWARD DELANEY TO JOHN FLEMMING.
August 31, 1872.
Your letter, announcing your mad determination to come here, has just reached me. I beseech you to reflect a moment. The step would be fatal to your interests and hers. You would furnish just cause for irritation to R. W. D.; and, though he loves Marjorie devotedly, he is capable of going to any lengths if opposed. You would not like, I am convinced, to be the means of causing him to treat her with severity. That would be the result of your presence at The Pines at this juncture. I am annoyed to be obliged to point out these things to you. We are on very delicate ground, Jack; the situation is critical, and the slightest mistake in a move would cost us the game. If you consider it worth the winning, be patient. Trust a little to my sagacity. Wait and see what happens. Moreover, I understand from Dillon that you are in no condition to take so long a journey. He thinks the air of the coast would be the worst thing possible for you; that you ought to go inland, if anywhere. Be advised by me. Be advised by Dillon.
XIV.
TELEGRAMS.
September 1, 1872.
1. - TO EDWARD DELANEY.
Letter received. Dillon be hanged. I think I ought to be on the ground.
J. F.
2. - TO JOHN FLEMMING.
Stay where you are. You would only complicated matters. Do not move until you hear from me.
E. D.
3. - TO EDWARD DELANEY.
My being at The Pines could be kept secret. I must see her.
J. F.
4. - TO JOHN FLEMMING.
Do not think of it. It would be useless. R. W. D. has locked M. in her room. You would not be able to effect and interview.
E. D.
5. - TO EDWARD DELANEY.
Locked her in her room. Good God. That settles the question. I shall leave by the twelve-fifteen express.
J. F.XV.
THE ARRIVAL.
On the second day of September, 1872, as the down express, due at 3.40, left the station at Hampton, a young man, leaning on the shoulder of a servant, whom he addressed as Watkins, stepped from the platform into a hack, and requested to be driven to "The Pines." On arriving at the gate of a modest farm-house, a few miles from the station, the young man descended with difficulty from the carriage, and, casting a hasty glance across the road, seemed much impressed by some peculiarity in the landscape. Again leaning on the shoulder of the person Watkins, he walked to the door of the farm-house and inquired for Mr. Edward Delaney. He was informed by the aged man who answered his knock, that Mr. Edward Delaney had gone to Boston the day before, but that Mr. Jonas Delaney was within. This information did not appear satisfactory to the stranger, who inquired if Mr. Edward Delaney had left any message for Mr. John Flemming. There was a letter for Mr. Flemming if he were that person. After a brief absence the aged man reappeared with a Letter.
XVI.
EDWARD DELANEY TO JOHN FLEMMING.
September 1, 1872.
I am horror-stricken at what I have done! When I began this correspondence I had no other purpose than to relieve the tedium of your sick-chamber. Dillon told me to cheer you up. I tried to. I thought that you entered into the spirit of the thing. I had no idea, until within a few days, that you were taking matters au grand serieux.
What can I say? I am in sackcloth and ashes. I am a pariah, a dog of an outcast. I tried to make a little romance to interest you, something soothing and idyllic, and, by Jove! I have done it only too well! My father doesn't know a word of this, so don't jar the old gentleman any more than you can help. I fly from the wrath to come--when you arrive! For oh, dear Jack, there isn't any piazza, there isn't any hammock--there isn't any Marjorie Daw!
|
English
|
8k
|
T3. Evidence-Grounded QA
|
T3.2 Single-Hop Fact QA
|
Partial
|
Which bone did John Flemming break in his leg? Output the "[Answer]" identifier first, and then output the answer option letter (A/B/C/D), without any additional content.
A. Tibia
B. Fibula
C. Femur
D. Patella
Output example:
[Answer]
A
|
Which bone did John Flemming break in his leg? Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the answer option letter (A/B/C/D).
A. Tibia
B. Fibula
C. Femur
D. Patella
Output example:
<Your thinking process>
[Answer]
A
|
[
"B"
] |
Easy
|
ee09a3f9ba66e3cc007c8ffa3d7fde2a87305d28c8f2a7b76b7c409d0ba8dc66
|
ADVANCED MICRO DEVICES, INC.
CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS
(Millions except per share amounts and percentages) (Unaudited)
Three Months Ended
Year Ended
December 28,
2024
September 28,
2024
December 30,
2023
December 28,
2024
December 30,
2023
Net revenue
$ 7,658
$ 6,819
$ 6,168
$ 25,785
$ 22,680
Cost of sales
3,524
3,167
3,042
12,114
11,278
Amortization of acquisition-related intangibles
252
233
215
946
942
Total cost of sales
3,776
3,400
3,257
13,060
12,220
Gross profit
3,882
3,419
2,911
12,725
10,460
Gross margin
51%
50%
47%
49%
46%
Research and development
1,712
1,636
1,511
6,456
5,872
Marketing, general and administrative
792
721
644
2,783
2,352
Amortization of acquisition-related intangibles
332
352
420
1,448
1,869
Licensing gain
(11)
(14)
(6)
(48)
(34)
Restructuring charges
186
-
-
186
-
Operating income
871
724
342
1,900
401
Interest expense
(19)
(23)
(27)
(92)
(106)
Other income (expense), net
37
36
49
181
197
Income before income taxes and equity income
889
737
364
1,989
492
Income tax provision (benefit)
419
(27)
(297)
381
(346)
Equity income in investee
12
7
6
33
16
Net income
$ 482
$ 771
$ 667
$ 1,641
$ 854
Earnings per share
Basic
$ 0.30
$ 0.48
$ 0.41
$ 1.01
$ 0.53
Diluted
$ 0.29
$ 0.47
$ 0.41
$ 1.00
$ 0.53
Shares used in per share calculation
Basic
1,623
1,620
1,616
1,620
1,614
Diluted
1,634
1,636
1,628
1,637
1,625
ADVANCED MICRO DEVICES, INC.
CONDENSED CONSOLIDATED BALANCE SHEETS
(Millions)
December 28,
2024
(Unaudited)
December 30,
2023
ASSETS
Current assets:
Cash and cash equivalents
$ 3,787
$ 3,933
Short-term investments
1,345
1,840
Accounts receivable, net
6,192
4,323
Inventories
5,734
4,351
Receivables from related parties
113
9
Prepaid expenses and other current assets
1,878
2,312
Total current assets
19,049
16,768
Property and equipment, net
1,802
1,589
Operating lease right-of-use assets
623
633
Goodwill
24,839
24,262
Acquisition-related intangibles, net
18,930
21,363
Investment: equity method
149
99
Deferred tax assets
688
366
Other non-current assets
3,146
2,805
Total Assets
$ 69,226
$ 67,885
LIABILITIES AND STOCKHOLDERS' EQUITY
Current liabilities:
Accounts payable
$ 1,990
$ 2,055
Payables to related parties
476
363
Accrued liabilities
4,260
3,082
Current portion of long-term debt, net
-
751
Other current liabilities
555
438
Total current liabilities
7,281
6,689
Long-term debt, net of current portion
1,721
1,717
Long-term operating lease liabilities
491
535
Deferred tax liabilities
349
1,202
Other long-term liabilities
1,816
1,850
Stockholders' equity:
Capital stock:
Common stock, par value
17
17
Additional paid-in capital
61,362
59,676
Treasury stock, at cost
(6,106)
(4,514)
Retained earnings
2,364
723
Accumulated other comprehensive loss
(69)
(10)
Total stockholders' equity
57,568
55,892
Total Liabilities and Stockholders' Equity
$ 69,226
$ 67,885
ADVANCED MICRO DEVICES, INC.
CONDENSED CONSOLIDATED STATEMENTS OF CASH FLOWS
(Millions) (Unaudited)
Three Months Ended
Year Ended
December 28,
2024
December 30,
2023
December 28,
2024
December 30,
2023
Cash flows from operating activities:
Net income
$ 482
$ 667
$ 1,641
$ 854
Adjustments to reconcile net income to net cash provided by operating activities:
Depreciation and amortization
172
164
671
642
Amortization of acquisition-related intangibles
583
635
2,393
2,811
Stock-based compensation
339
374
1,407
1,384
Amortization of operating lease right-of-use assets
31
25
113
98
Deferred income taxes
(300)
(219)
(1,163)
(1,019)
Inventory loss at contract manufacturer
-
-
65
-
Other
62
(23)
12
(54)
Changes in operating assets and liabilities
Accounts receivable, net
96
(379)
(1,865)
(1,339)
Inventories
(362)
94
(1,458)
(580)
Prepaid expenses and other assets
494
(34)
343
(383)
Receivables from and payables to related parties, net
30
29
108
(107)
Accounts payable
(585)
(181)
(109)
(419)
Accrued and other liabilities
257
(771)
883
(221)
Net cash provided by operating activities
1,299
381
3,041
1,667
Cash flows from investing activities:
Purchases of property and equipment
(208)
(139)
(636)
(546)
Purchases of short-term investments
(786)
(410)
(1,493)
(3,722)
Proceeds from maturity of short-term investments
65
770
1,416
2,687
Proceeds from sale of short-term investments
25
52
616
300
Acquisitions, net of cash acquired
-
(117)
(548)
(131)
Related party equity method investment
-
-
(17)
-
Issuance of loan to related party
(100)
-
(100)
-
Purchase of strategic investments
(210)
(6)
(341)
(11)
Other
-
-
2
-
Net cash provided by (used in) investing activities
(1,214)
150
(1,101)
(1,423)
Cash flows from financing activities:
Repayment of debt
-
-
(750)
-
Proceeds from sales of common stock through employee equity plans
127
120
279
268
Repurchases of common stock
(256)
(233)
(862)
(985)
Common stock repurchases for tax withholding on employee equity plans
(42)
(45)
(728)
(427)
Other
-
(1)
(1)
(2)
Net cash used in financing activities
(171)
(159)
(2,062)
(1,146)
Net increase (decrease) in cash, cash equivalents and restricted cash
(86)
372
(122)
(902)
Cash, cash equivalents and restricted cash at beginning of period
3,897
3,561
3,933
4,835
Cash, cash equivalents and restricted cash at end of period
$ 3,811
$ 3,933
$ 3,811
$ 3,933
ADVANCED MICRO DEVICES, INC.
SELECTED CORPORATE DATA
(Millions) (Unaudited)
Three Months Ended
Year Ended
Segment and Category Information (1)
December 28,
2024
September 28,
2024
December 30,
2023
December 28,
2024
December 30,
2023
Data Center
Net revenue
$ 3,859
$ 3,549
$ 2,282
$ 12,579
$ 6,496
Operating income
$ 1,157
$ 1,041
$ 666
$ 3,482
$ 1,267
Client
Net revenue
$ 2,313
$ 1,881
$ 1,461
$ 7,054
$ 4,651
Operating income (loss)
$ 446
$ 276
$ 55
$ 897
$ (46)
Gaming
Net revenue
$ 563
$ 462
$ 1,368
$ 2,595
$ 6,212
Operating income
$ 50
$ 12
$ 224
$ 290
$ 971
Embedded
Net revenue
$ 923
$ 927
$ 1,057
$ 3,557
$ 5,321
Operating income
$ 362
$ 372
$ 461
$ 1,421
$ 2,628
All Other
Net revenue
$ -
$ -
$ -
$ -
$ -
Operating loss
$ (1,144)
$ (977)
$ (1,064)
$ (4,190)
$ (4,419)
Total
Net revenue
$ 7,658
$ 6,819
$ 6,168
$ 25,785
$ 22,680
Operating income
$ 871
$ 724
$ 342
$ 1,900
$ 401
Other Data
Capital expenditures
$ 208
$ 132
$ 139
$ 636
$ 546
Adjusted EBITDA (2)
$ 2,212
$ 1,887
$ 1,576
$ 6,824
$ 5,496
Cash, cash equivalents and short-term investments
$ 5,132
$ 4,544
$ 5,773
$ 5,132
$ 5,773
Free cash flow (3)
$ 1,091
$ 496
$ 242
$ 2,405
$ 1,121
Total assets
$ 69,226
$ 69,636
$ 67,885
$ 69,226
$ 67,885
Total debt
$ 1,721
$ 1,720
$ 2,468
$ 1,721
$ 2,468
See footnotes on the next page
(1) The Data Center segment primarily includes Artificial Intelligence (AI) accelerators, server microprocessors (CPUs), graphics processing units (GPUs), accelerated processing units (APUs), data processing units (DPUs), Field Programmable Gate Arrays (FPGAs), Smart Network Interface Cards (SmartNICs) and Adaptive System-on- Chip (SoC) products for data centers.
The Client segment primarily includes CPUs, APUs, and chipsets for desktops and notebooks.
The Gaming segment primarily includes discrete GPUs, and semi-custom SoC products and development services.
The Embedded segment primarily includes embedded CPUs, GPUs, APUs, FPGAs, System on Modules (SOMs), and Adaptive SoC products. From time to time, the Company may also sell or license portions of its IP portfolio.
All Other category primarily includes certain expenses and credits that are not allocated to any of the operating segments, such as amortization of acquisition-related intangible asset, employee stock-based compensation expense, acquisition-related and other costs, inventory loss at contract manufacturer, restructuring charges and licensing gain.
(2) Reconciliation of GAAP Net Income to Adjusted EBITDA
Three Months Ended
Year Ended
(Millions) (Unaudited)
December 28,
2024
September 28,
2024
December 30,
2023
December 28,
2024
December 30,
2023
GAAP net income
$ 482
$ 771
$ 667
$ 1,641
$ 854
Interest expense
19
23
27
92
106
Other (income) expense, net
(37)
(36)
(49)
(181)
(197)
Income tax provision (benefit)
419
(27)
(297)
381
(346)
Equity income in investee
(12)
(7)
(6)
(33)
(16)
Stock-based compensation
339
351
374
1,407
1,380
Depreciation and amortization
186
171
164
685
642
Amortization of acquisition-related intangibles
584
585
635
2,394
2,811
Inventory loss at contract manufacturer
-
-
-
65
-
Acquisition-related and other costs
46
56
61
187
262
Restructuring charges
186
-
-
186
-
Adjusted EBITDA
$ 2,212
$ 1,887
$ 1,576
$ 6,824
$ 5,496
The Company presents “Adjusted EBITDA” as a supplemental measure of its performance. Adjusted EBITDA for the Company is determined by adjusting GAAP net income for interest expense, other (income) expense, net, income tax provision (benefit), equity income in investee, stock-based compensation, depreciation and amortization expense, amortization of acquisition-related intangibles, inventory loss at contract manufacturer, acquisition-related and other costs, and restructuring charges. The Company calculates and presents Adjusted EBITDA because management believes it is of importance to investors and lenders in relation to its overall capital structure and its ability to borrow additional funds. In addition, the Company presents Adjusted EBITDA because it believes this measure assists investors in comparing its performance across reporting periods on a consistent basis by excluding items that the Company does not believe are indicative of its core operating performance. The Company’s calculation of Adjusted EBITDA may or may not be consistent with the calculation of this measure by other companies in the same industry. Investors should not view Adjusted EBITDA as an alternative to the GAAP operating measure of income or GAAP liquidity measures of cash flows from operating, investing and financing activities. In addition, Adjusted EBITDA does not take into account changes in certain assets and liabilities that can affect cash flows.
The Company presents “Adjusted EBITDA” as a supplemental measure of its performance. Adjusted EBITDA for the Company is determined by adjusting GAAP net income for interest expense, other (income) expense, net, income tax provision (benefit), equity income in investee, stock-based compensation, depreciation and amortization expense, amortization of acquisition-related intangibles, inventory loss at contract manufacturer, acquisition-related and other costs, and restructuring charges. The Company calculates and presents Adjusted EBITDA because management believes it is of importance to investors and lenders in relation to its overall capital structure and its ability to borrow additional funds. In addition, the Company presents Adjusted EBITDA because it believes this measure assists investors in comparing its performance across reporting periods on a consistent basis by excluding items that the Company does not believe are indicative of its core operating performance. The Company’s calculation of Adjusted EBITDA may or may not be consistent with the calculation of this measure by other companies in the same industry. Investors should not view Adjusted EBITDA as an alternative to the GAAP operating measure of income or GAAP liquidity measures of cash flows from operating, investing and financing activities. In addition, Adjusted EBITDA does not take into account changes in certain assets and liabilities that can affect cash flows.
The Company presents “Adjusted EBITDA” as a supplemental measure of its performance. Adjusted EBITDA for the Company is determined by adjusting GAAP net income for interest expense, other (income) expense, net, income tax provision (benefit), equity income in investee, stock-based compensation, depreciation and amortization expense, amortization of acquisition-related intangibles, inventory loss at contract manufacturer, acquisition-related and other costs, and restructuring charges. The Company calculates and presents Adjusted EBITDA because management believes it is of importance to investors and lenders in relation to its overall capital structure and its ability to borrow additional funds. In addition, the Company presents Adjusted EBITDA because it believes this measure assists investors in comparing its performance across reporting periods on a consistent basis by excluding items that the Company does not believe are indicative of its core operating performance. The Company’s calculation of Adjusted EBITDA may or may not be consistent with the calculation of this measure by other companies in the same industry. Investors should not view Adjusted EBITDA as an alternative to the GAAP operating measure of income or GAAP liquidity measures of cash flows from operating, investing and financing activities. In addition, Adjusted EBITDA does not take into account changes in certain assets and liabilities that can affect cash flows.
The Company presents “Adjusted EBITDA” as a supplemental measure of its performance. Adjusted EBITDA for the Company is determined by adjusting GAAP net income for interest expense, other (income) expense, net, income tax provision (benefit), equity income in investee, stock-based compensation, depreciation and amortization expense, amortization of acquisition-related intangibles, inventory loss at contract manufacturer, acquisition-related and other costs, and restructuring charges. The Company calculates and presents Adjusted EBITDA because management believes it is of importance to investors and lenders in relation to its overall capital structure and its ability to borrow additional funds. In addition, the Company presents Adjusted EBITDA because it believes this measure assists investors in comparing its performance across reporting periods on a consistent basis by excluding items that the Company does not believe are indicative of its core operating performance. The Company’s calculation of Adjusted EBITDA may or may not be consistent with the calculation of this measure by other companies in the same industry. Investors should not view Adjusted EBITDA as an alternative to the GAAP operating measure of income or GAAP liquidity measures of cash flows from operating, investing and financing activities. In addition, Adjusted EBITDA does not take into account changes in certain assets and liabilities that can affect cash flows.
The Company presents “Adjusted EBITDA” as a supplemental measure of its performance. Adjusted EBITDA for the Company is determined by adjusting GAAP net income for interest expense, other (income) expense, net, income tax provision (benefit), equity income in investee, stock-based compensation, depreciation and amortization expense, amortization of acquisition-related intangibles, inventory loss at contract manufacturer, acquisition-related and other costs, and restructuring charges. The Company calculates and presents Adjusted EBITDA because management believes it is of importance to investors and lenders in relation to its overall capital structure and its ability to borrow additional funds. In addition, the Company presents Adjusted EBITDA because it believes this measure assists investors in comparing its performance across reporting periods on a consistent basis by excluding items that the Company does not believe are indicative of its core operating performance. The Company’s calculation of Adjusted EBITDA may or may not be consistent with the calculation of this measure by other companies in the same industry. Investors should not view Adjusted EBITDA as an alternative to the GAAP operating measure of income or GAAP liquidity measures of cash flows from operating, investing and financing activities. In addition, Adjusted EBITDA does not take into account changes in certain assets and liabilities that can affect cash flows.
(3) Reconciliation of GAAP Net Cash Provided by Operating Activities to Free Cash Flow
Three Months Ended
Year Ended
(Millions except percentages) (Unaudited)
December 28,
2024
September 28,
2024
December 30,
2023
December 28,
2024
December 30,
2023
GAAP net cash provided by operating activities
$ 1,299
$ 628
$ 381
$ 3,041
$ 1,667
Operating cash flow margin %
17%
9%
6%
12%
7%
Purchases of property and equipment
(208)
(132)
(139)
(636)
(546)
Free cash flow
$ 1,091
$ 496
$ 242
$ 2,405
$ 1,121
Free cash flow margin %
14%
7%
4%
9%
5%
The Company also presents free cash flow as a supplemental Non-GAAP measure of its performance. Free cash flow is determined by adjusting GAAP net cash provided by operating activities for capital expenditures, and free cash flow margin % is free cash flow expressed as a percentage of the Company's net revenue. The Company calculates and communicates free cash flow in the financial earnings press release because management believes it is of importance to investors to understand the nature of these cash flows. The Company’s calculation of free cash flow may or may not be consistent with the calculation of this measure by other companies in the same industry.
Investors should not view free cash flow as an alternative to GAAP liquidity measures of cash flows from operating activities.
The Company has provided reconciliations within the earnings press release of these Non-GAAP financial measures to the most directly comparable GAAP financial measures.
RECONCILIATION OF GAAP TO NON-GAAP FINANCIAL MEASURES
(in millions, except per share data) (Unaudited)
Three Months Ended
Year Ended
December 28,
2024
September 28,
2024
December 30,
2023
December 28,
2024
December 30,
2023
GAAP gross profit
$ 3,882
$ 3,419
$ 2,911
$ 12,725
$ 10,460
GAAP gross margin
51%
50%
47%
49%
46%
Stock-based compensation
6
5
6
22
30
Amortization of acquisition-related intangibles
252
233
215
946
942
Acquisition-related and other costs (1)
-
-
1
1
4
Inventory loss at contract manufacturer (2)
-
-
-
65
-
Non-GAAP gross profit
$ 4,140
$ 3,657
$ 3,133
$ 13,759
$ 11,436
Non-GAAP gross margin
54%
54%
51%
53%
50%
GAAP operating expenses
$ 3,022
$ 2,709
$ 2,575
$ 10,873
$ 10,093
GAAP operating expenses/revenue %
39%
40%
42%
42%
45%
Stock-based compensation
333
346
368
1,385
1,350
Amortization of acquisition-related intangibles
332
352
420
1,448
1,869
Acquisition-related and other costs (1)
46
55
60
185
258
Restructuring charges (3)
186
-
-
186
-
Non-GAAP operating expenses
$ 2,125
$ 1,956
$ 1,727
$ 7,669
$ 6,616
Non-GAAP operating expenses/revenue %
28%
29%
28%
30%
29%
GAAP operating income
$ 871
$ 724
$ 342
$ 1,900
$ 401
GAAP operating margin
11%
11%
6%
7%
2%
Stock-based compensation
339
351
374
1,407
1,380
Amortization of acquisition-related intangibles
584
585
635
2,394
2,811
Acquisition-related and other costs (1)
46
55
61
186
262
Inventory loss at contract manufacturer (2)
-
-
-
65
-
Restructuring charges (3)
186
-
-
186
-
Non-GAAP operating income
$ 2,026
$ 1,715
$ 1,412
$ 6,138
$ 4,854
Non-GAAP operating margin
26%
25%
23%
24%
21%
Three Months Ended
Year Ended
December 28,
2024
September 28,
2024
December 30,
2023
December 28,
2024
December 30,
2023
GAAP net income / earnings per share
$ 482
$ 0.29
$ 771
$ 0.47
$ 667
$ 0.41
$ 1,641
$ 1.00
$ 854
$ 0.53
(Gains) losses on equity investments, net
-
-
(1)
-
1
-
2
-
(1)
-
Stock-based compensation
339
0.21
351
0.21
374
0.23
1,407
0.86
1,380
0.85
Equity income in investee
(12)
(0.01)
(7)
-
(6)
-
(33)
(0.02)
(16)
(0.01)
Amortization of acquisition-related intangibles
584
0.36
585
0.36
635
0.39
2,394
1.46
2,811
1.73
Acquisition-related and other costs (1)
46
0.03
56
0.03
61
0.04
187
0.11
262
0.16
Inventory loss at contract manufacturer (2)
-
-
-
-
-
-
65
0.04
-
-
Restructuring charges (3)
186
0.11
-
-
-
-
186
0.11
-
-
Income tax provision
152
0.10
(251)
(0.15)
(483)
(0.30)
(429)
(0.25)
(988)
(0.61)
Non-GAAP net income / earnings per share
$ 1,777
$ 1.09
$ 1,504
$ 0.92
$ 1,249
$ 0.77
$ 5,420
$ 3.31
$ 4,302
$ 2.65
(1) Acquisition-related and other costs primarily include transaction costs, purchase price fair value adjustments for inventory, certain compensation charges, contract termination costs and workforce rebalancing charges.
(2) Inventory loss at contract manufacturer is related to an incident at a third-party contract manufacturing facility.
(3) Restructuring charges are related to the 2024 Restructuring Plan which comprised of employee severance charges and non-cash asset impairments.
|
English
|
8k
|
T8. Structured & Numeric Reasoning
|
T8.2 Single-Source Targeted Aggregation
|
Partial
|
From the 'CONDENSED CONSOLIDATED BALANCE SHEETS', determine the increase percentage in net working capital (Total current assets minus Total current liabilities) from December 30, 2023, to December 28, 2024. Output the "[Answer]" identifier first, and then output percentage (rounded to two decimal places), without any additional content.
Output example:
[Answer]
12.34%
|
From the 'CONDENSED CONSOLIDATED BALANCE SHEETS', determine the increase percentage in net working capital (Total current assets minus Total current liabilities) from December 30, 2023, to December 28, 2024. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output percentage (rounded to two decimal places), without any additional content.
Output example:
<Your thinking process>
[Answer]
12.34%
|
[
"16.76%"
] |
Easy
|
4bb2315fe2aa5bec989b3710debf6c469d83265841c5392ebc353669c35b5510
|
江苏省无锡市滨湖区人民法院民事判决书
1原告：北京爱奇艺科技有限公司，住所地北京市海淀区海淀北一街2号11层1101。法定代表人：耿晓华，该公司执行董事。委托诉讼代理人：傅姚璐、李浩，上海融力天闻律师事务所律师。被告：北京快手科技有限公司，住所地北京市海淀区上地西路6号1幢1层101D1-10。法定代表人：银鑫，该公司经理。委托诉讼代理人：孙斌焱、杨露露，北京汇讼律师事务所律师。被告：北京达佳互联信息技术有限公司，住所地北京市海淀区上地西路6号1幢1层101D1-7。法定代表人：杨远熙。委托诉讼代理人：孙斌焱、杨露露，北京汇讼律师事务所律师。被告：中国联合网络通信有限公司无锡市分公司，住所地江苏省无锡市蠡园经济开发区3-3号地块。法定代表人：穆世军，该公司执行董事。委托诉讼代理人：张婧楠、吴诗雯，北京德恒（无锡）律师事务所律师。审理经过
2原告北京爱奇艺科技有限公司（以下简称爱奇艺公司）诉被告北京快手科技有限公司（以下简称快手公司）、北京达佳互联信息技术有限公司（以下简称达佳公司）、中国联合网络通信有限公司无锡市分公司（以下简称联通无锡公司）侵害作品信息网络传播权纠纷一案，本院于2021年8月25日立案受理后，依法适用普通程序公开开庭进行了审理。原告爱奇艺公司的委托诉讼代理人傅姚璐、李浩，被告快手公司、达佳公司的共同委托诉讼代理人杨露露，以及联通无锡公司的委托诉讼代理人吴诗雯到庭参加诉讼。本案现已审理终结。诉讼请求原告爱奇艺公司向本院提出诉讼请求：1、判令快手公司、达佳公司立即停止侵权，删除“快手”软件中关于电视剧《老九门》的侵权视频；2、判令联通无锡公司立即停止侵权，在网络服务器中删除有关电视剧《老九门》的侵权视频；3、判令快手公司、达佳公司、联通无锡分公司赔偿经济损失及为制止侵权支付的合理费用共计195万元；4、诉讼费由被告负担。事实与理由：其是知名新媒体平台“爱奇艺”的经营者，业务范围覆盖电脑、电视、移动端三大视频服务终端，兼具影视、综艺、资讯三大内容形态，通过投入巨资开发自有版权作品及对外购买影视作品，“爱奇艺”不断充实自身的影视库以便为用户提供更优质的服务，已成为国内最大的视频网站之一。《老九门》是由梁胜权、何澍培、黄俊文联合执导，南派三叔担任监制，陈伟霆、张艺兴、赵丽颖领衔主演的民国悬疑剧。该剧网络播放量累计突破100亿，是全网史上首部播放量破百亿的自制剧。原告享有电视剧《老九门》在中华人民共和国境内的独占信息网络传播权，并且有权以自身名义向侵权第三人主张权利。经调查发现，快手公司、达佳公司开发运营的“快手”APP中存在大量关于电视剧《老九门》的侵权视频片段。快手公司、达佳公司
3作为专业的短视频平台，明知、应知涉案侵权内容的存在，仍然为用户提供涉案侵权视频的在线播放及下载服务。经查，“快手”APP中的涉案侵权视频储存于联通无锡公司的网络服务器中。快手公司、达佳公司的上述行为分流了“爱奇艺”平台的观看用户，严重侵害其合法权益。被告快手公司发表答辩意见：1、被诉侵权视频系用户自行上传，其未对视频内容进行编辑，未实施侵权行为；2、其对于被诉侵权行为不具有明知或应知，无主观过错，不构成侵权；3、爱奇艺公司主张的赔偿金额过高；4、快手公司日均活跃用户上亿，其作为视频分享平台难以审核海量视频中是否包含作品侵权内容。被告达佳公司发表答辩意见：其不是快手app的经营者，快手网站域名kuaishou.com的ICP备案主体是快手公司，其被告主体不适格。被告联通无锡公司发表答辩意见：其受关联公司联通（江苏）产业互联网有限公司委托，为置于无锡的“华东云数据中心”提供网络接入服务，无过错，不构成共同侵权，不应承担侵权责任。其作为网络接入服务提供者，不应当承担“通知+删除”责任，亦无法针对性的删除或断开某些特定视频连接。本院查明经审理查明：电视剧《老九门》出品单位为爱奇艺公司、上海东方娱乐传媒集团有限公司、上海慈文影视传播有限公司等，各出品单位均出具版权声明，确认爱奇艺公司独占性享有电视剧《老九门》信息网络传播权，电视剧播放画面中亦载明“本片的信息网络传播权由北京爱奇艺科技有限公司独家所有”。
4快手公司、达佳公司、联通无锡分公司对爱奇艺公司享有电视剧《老九门》信息网络传播权无异议。2016年12月6日，人民网刊文《TV地标（2016）中国电视媒体综合实力大型调研落幕》，文中公布了“TV地标（2016）中国电视媒体综合实力大型调研成果”，其中年度最具人气网剧为“《老九门》爱奇艺”。上述榜单同时发布在国家新闻出版广电总局主管的刊物《中国广播电影》2016年12月上半月刊。《全网首部破百亿自制剧诞生爱奇艺频刷记录》、《2016年播放量最高的十大网剧名单：超100亿次》等宣传报道见诸各大网络媒体。国家版权局2016年7月15日发布《2016年度第五批重点作品预警名单》，要求用户上传内容网站应禁止用户上传预警名单内的作品，该名单中包括涉案电视剧《老九门》，名单中载明的权利主体为“爱奇艺”，授权期限为“永久”。电视剧《老九门》在爱奇艺APP平台中全长为48集，截至当前，用户仍只可免费收看前2集，自第3集起需要购买VIP会员后才可继续收看。快手APP开发者、经营者为快手公司。快手公司在《用户服务协议》中告知用户应当尊重知识产权，上传的视频、音频不得侵犯第三方知识产权、名誉权等合法权利；在《快手社区管理规范》中告知用户不得未经授权盗用、转载、搬运他人作品。2020年3月1日、3月23日，发件人“张佳慧”以爱奇艺公司名义向快手公司发送电子邮件，主张立即停止对爱奇艺独家电视剧《老九门》的侵权传播，并附上海慈文影视传播有限公司的版权声明与侵权链接明细。2021年5月22日、6月25日，浙江秉格律师事务所向快手公司发送电子邮件《下线告知函》，主要内容为通知快手公司在收到函件后立即采取有效措施停止提供侵权内容、断开侵权链接，并附授权委托书及侵权链接明细。
52021年7月6日，爱奇艺公司向上海市静安公证处申请对“快手”ＡＰＰ中的相关内容进行证据保全公证，该公证处出具（2021）沪静证经字第1459号公某，载明如下内容：“快手”ＡＰＰ按照视频内容划分了“电影”、“剧集”、“才艺”、“游戏”等版块，“剧集”版块又划分为“港剧”、“古装剧”、“韩剧”等，其中“悬疑剧”版块中列有《老九门》，点击该剧后跳转至“老九门”搜索页面，并出现推荐视频，其中用户名“小易影视剪辑”发布的《合集·老九门》显示点击播放量374.2万次，视频注明“已完结09／15更新”，该合集共有12段视频，发布时间为2020年9月6日，该些视频被设置为“智能聚合”，视频下方标注“全部视频·共12集”，可点击打开下拉列表，显示全部12集视频内容，供浏览、下载，“智能聚合”系一种快手ＡＰＰ的搜索工具，通过内容标题相似度、内容标签、发布者等因素快速聚合用户可能想要的搜索结果；用户名“力力剪辑”发布78个《老九门》短视频，并从“第一集”至“第七十八集”对视频依序标注，以“第四十集”为例，该集视频显示点击播放次数为6000余次；用户名“小军影视编辑”发布的短视频中标注“《老九门》影视编辑全集48集作品每天更新3集”、“第33／48集”，表明当前更新至第33集；另有用户名“追剧爱好者”、“萌娃追剧”、“妩媚剪辑”等发布数量不等的《老九门》短视频，部分用户还系电商，在发布短视频的同时在“快手小店”中销售各类商品。在快手ＡＰＰ“发现”版块，因搜索过“老九门”，该版块中出现大量《老九门》短视频，视频显示的点击播放数量多在上万次。进入快手ＡＰＰ“老九门”搜索页面的“话题”版块，有多个“老九门”相关话题，其中“＃老九门”显示在该话题下共有作品1.8万个，播放6.3亿次。2021年7月23日，爱奇艺公司代理人进行可信时间戳取证，操作人员利用软件Wireshark对快手APP中的数据进
6行实施抓取。爱奇艺公司称，根据抓取结果可以锁定快手APP中的视频存储于“59.83.230.84”等IP地址中，与该些IP地址对应的服务器运营商即为联通无锡分公司，并且实时抓取结果中含有“kwaicdn.com”的url链接，在该链接中可以下载到格式为“mp4”、“ts”的视频文件，该些视频文件即为快手APP中的被诉侵权视频。“kwaicdn.com”域名登记备案主体为达佳公司，爱奇艺公司据此认为达佳公司与快手公司共同经营快手APP。2021年8月5日至2021年11月8日期间，爱奇艺公司对快手ＡＰＰ陆续进行14次证据保全公证，上海市张江公证处分别出具14份公某，载明快手ＡＰＰ中持续出现大量《老九门》短视频，其中2021年11月8日取证的（2021）沪张江证字第16070号公某中载明，快手ＡＰＰ话题版块“＃老九门”话题下共有视频2.2万个，播放7.9亿次，并且“＃老九门”话题还配有剧照、剧情简介、演职人员、相关作品等编辑行为。快手APP下载量巨大。华为应用市场下载量为182亿次，腾讯应用宝下载量为23亿次，七脉数据显示快手APP在安卓手机端各平台的下载总量为484.83亿（截至2021年12月8日）。快手公司在香港联交所上市，股票代码1024，其官网公告《快手科技发布2021年第三季度业绩》，载明以下内容：2021年第三季度快手应用平均日活跃用户3.204亿，较去年同期增长17.9%；每位日活跃用户平均线上营销服务收入为34元，较去年同期增长49.8%；平台上促成的电商交易的商品总交易额为1758亿元，较去年同期增长86.1%；本季度收入为205亿元，其中线上营销服务收入为109亿元，较去年同期增长76.5%，从对总收入贡献比例来看，线上营销服务占比53.2%，直播业务占比37.7%，其他服务占比9.1%。2021年8月31日，爱奇艺公司与上海融力天闻律师事务所签订《聘请律师合同》，约定本案委托该律师事务所代
9赔偿损失的诉讼请求，本院不予支持。快手ＡＰＰ中公某中涉及的被诉侵权视频已被删除，故对于爱奇艺公司主张达佳公司、联通无锡分公司删除被诉侵权视频的诉讼请求，本院亦不予支持。关于争议焦点二，可以明确的是，被诉侵权视频由用户上传，判断快手公司有无尽到注意义务的关键即在于审查其有无主观过错，即对涉案作品的信息网络传播是否具有“明知或应知”。快手公司将各类热播影视作品按照主题、内容主动进行选择、整理、分类推荐，并通过设置视频分类、智能索引、话题编辑等方式推荐涉案侵权视频，虽然侵权视频上传时间多在2020年，但并非处于热播期的影视剧才算“热播影视作品”，电视剧《老九门》具有相当高的知名度，何况国家版权局发布的《2016年度第五批重点作品预警名单》中包括涉案电视剧《老九门》，快手公司完全可以做到有的放矢。根据《信息网络传播权若干问题规定》第十条、第十二条第二项的规定，可认定快手公司构成“应知”。爱奇艺公司在证据保全公证前已多次通知快手公司删除涉案侵权作品，并提供初步权属证据与侵权作品明细，快手公司仍未予以删除，根据《信息网络传播权若干问题规定》第十三条的规定，可认定快手公司构成“明知”。综上，快手公司存在主观过错，对被诉侵权视频的信息网络传播起到帮助作用，应当承担帮助侵权责任。侵权视频已被删除，快手公司仍需承担民事赔偿责任。关于争议焦点三，爱奇艺公司、快手公司均未证明权利人损失或侵权人获益，本院依法酌情确定赔偿金额。赔偿金额系双方矛盾难以调解的主要问题，案件审理过程中，双方均向本院提交相关参考判例，相差悬殊，本院结合作品知名度、侵权情节、侵权规模等，着重从以下四个方面予以考量。一、作品知名度及权利保护方面，毋庸置疑，电视剧《老九门》可以说是2016年度悬疑类电视剧“剧王”，从各类宣
10传报道情况来看，拍摄成本大、收视率高，爱奇艺公司至今仍将《老九门》列为收费观看剧集。二、侵权情节及侵权规模方面，一方面应当注意到侵权视频的上传时间多在2020年，未在2016年热播期侵权，赔偿额度应当与热播期侵权有所区别；另一方面从快手APP“#老九门”话题的统计数据来看，至2021年7月6日，该话题下共有视频1.8万个，播放6.3亿次，至2021年11月8日，该话题下共有视频2.2万个，播放7.9亿次，虽然不在该剧热播期，但仍然播放量巨大，且播量增长性强，从具体用户发布的视频内容来看，侵权视频并不仅涉及48集中的部分剧集，部分用户已对全部剧集进行编辑、发布。三、侵权过错方面，快手公司通过影视剧分类、索引、话题等方式多种方式向用户推荐侵权视频，且在爱奇艺公司多次通知其删除侵权视频后，仍未采取有效措施，过错程度较高。四、平台规模、性质方面，从快手公司规模及APP累计下载量来看，快手APP应属国内头部短视频平台，短视频平台企业的商业模式主要体现为流量经济，快手APP中的视频内容依靠用户上传，其本身不需要付出过多内容成本，却可以从用户上传的侵权视频所带来的流量中获取广告、直播、电子商务等方面的收益。从快手公司公示的业绩数据来看，其并非单纯的视频分享网站，线上营销服务已成为主要利润来源，根据权利义务相对等原则，利用流量获取高额经济利益的同时也要对流量来源——短视频尽到更高的注意义务。加强审查、删除侵权视频，可能会影响用户粘性、削减流量，造成利润下滑，但“尊重知识产权”并非用户协议中的一句口号，享受流量经济的同时必须为内容付出成本。关于快手公司提出的本案系批量维权诉讼，本院认为，作品具有独立性，爱奇艺公司就其他影视作品向快手公司维权的，个案确定赔偿金额，作品赔偿金额不应受其他作品影响，但是合理费用中的律师代理费部分，考虑到代理事务的重复性、难易程度，可酌情对类案的律师代理费作出调整，本案律师代理费在10万元范围内予以支持。综
13江苏省无锡市中级人民法院民事判决书上诉人（原审原告）：北京爱奇艺科技有限公司，住所地北京市海淀区海淀北一街2号11层1101。法定代表人：耿晓华，该公司执行董事。委托诉讼代理人：李浩，上海融力天闻律师事务所律师。委托诉讼代理人：傅姚璐，上海融力天闻律师事务所律师。上诉人（原审被告）：北京快手科技有限公司，住所地北京市海淀区上地西路6号1幢1层101D1-7。法定代表人：银鑫，该公司经理。委托诉讼代理人：孙斌焱，北京汇讼律师事务所律师。被上诉人（原审被告）：北京达佳互联信息技术有限公司，住所地北京市海淀区上地西路6号1幢1层101D1-7。委托诉讼代理人：孙斌焱，北京汇讼律师事务所律师。原审被告：中国联合网络通信有限公司无锡分公司，住所地江苏省无锡市蠡园经济开发区3-3号地块。法定代表人：穆世军，该公司执行董事。委托诉讼代理人：张婧楠，北京恒德（无锡）律师事务所律师。委托诉讼代理人：吴诗雯，北京恒德（无锡）律师事务所律师。审理经过
14上诉人北京爱奇艺科技有限公司（以下简称爱奇艺公司）、北京快手科技有限公司（以下简称快手公司）与被上诉人北京达佳互联信息技术有限公司（以下简称达佳公司）、原审被告中国联合网络通信有限公司无锡分公司（以下简称联通无锡分公司）侵害著作权纠纷一案，不服无锡市滨湖区人民法院（2021）苏0211民初8222号民事判决，向本院提起上诉。本院于2022年5月26日立案后，依法组成合议庭进行了审理。本案现已审理终结。二审诉讼请求爱奇艺公司上诉请求：1.判决达佳公司与快手公司在一审判决基础上共同承担侵权责任；2.本案诉讼费用由达佳公司承担。事实和理由：1.快手APP用户协议、软件公示信息虽然显示经营者为快手公司，但这并不能排除达佳公司是共同经营者，达佳公司事实上就是共同经营者。2.达佳公司名下的“kawaicdn.com”域名是专门用于传输视频数据业务的域名，快手APP的相关视频即通过该域名传输及储存的。3.根据（2021）豫知民终509号判决（以下简称509号判决）内容，达佳公司与快手公司一起作为原告提起过诉讼，两公司事实上也是关联公司，经营地为同一地址，达佳公司法定代表人杨远熙是快手公司的监事及实际控制人。上述事实可以认定达佳公司为快手APP的共同运营者，一审判决对此认定事实有误，达佳公司应当承担侵权责任。针对爱奇艺公司的上诉意见，达佳公司辩称：1.快手APP用户协议以及软件公示信息显示，快手APP的经营者系快手公司，而非达佳公司。爱奇艺公司援引的509号判决也认定快手APP的经营主体系快手公司。2.涉案域名仅提供传输、存储，根据《最高人民法院关于审理侵害信息网络传播权民事纠纷案件适用法律若干问题的规定》第四条和《信息网络传播权保护条例》第二十条规定，达佳公司根据服务对象的指令提供传输、存储服务的行为不构成侵权，亦不承担赔偿
15责任。同时，快手APP中视频是否侵权需要依据视频内容确定，达佳公司无义务也无能力审查涉案数据内容，达佳公司在主观上亦无过错。3.达佳公司虽为快手公司的关联公司，但两公司均为独立的有限责任公司，不能仅因为达佳公司的法定代表人杨远熙为快手公司的监事、达佳公司与快手公司的注册地毗邻而否认快手公司的法人人格。即使快手公司构成侵权，也应当由其独立承担，达佳公司对此不应承担。综上，请求驳回爱奇艺公司的全部诉讼请求。快手公司上诉请求：1.改判驳回爱奇艺公司的全部诉讼请求；2.爱奇艺公司承担本案诉讼费用。事实与理由：1.快手公司使用的智能聚合是一种搜索工具，在用户搜索相关关键词时，该搜索工具会将该关键词被用于标题、话题标签、发布者名称的内容聚合起来提供给用户选取，该搜索工具本身不能识别短视频的画面内容，用户在搜索“老九门”文字时出现的短视频作品是因为相关短视频作品的标题、话题标签和发布者名称中使用了“老九门”文字，而非是因为短视频作品中包含了《老九门》作品内容；用户搜索结果展示、分类版块索引并不是推荐行为，短视频标题、话题标签、发布者名称均是由用户自行设置的；话题中配有剧照、剧情简介、演职人员等内容不属于对《老九门》的推荐行为，而是描述行为，快手公司也无能力依据短视频内容对其是否侵害某一长视频作品进行监测和干预。因此，快手公司不存在应知其经营平台上有涉案侵权视频的事实，一审判决据此认定快手公司构成帮助侵权属于事实认定错误。2.爱奇艺公司确实多次向快手公司发出侵权通知，快手公司已就此删除了侵权链接的短视频，采取了必要措施，履行了网络服务提供者关于得到权利人通知后及时删除侵权内容的义务，依法不构成明知，符合《最高人民法院关于审理侵害信息网络传播权民事纠纷案件适用法律若干问题的规定》第十三条的规定。一审判决认定快手公司构成明知属于法律适用错误。3.《老
16九门》电视剧已过热播期多年，以关键词搜索出来的短视频并不是都是侵权的，话题下视频量和播放量作为酌定金额依据，导致酌定金额畸高。同时，快手公司尽到了网络服务提供商的义务，且在运营和维护中付出巨大的人力物力成本，并非不需要付出过多成本，短视频流量也与广告、直播及电子商务收益无关。因此，一审判决酌定的损害赔偿数额畸高。4.法律不仅应当保护长视频平台，同样也应当保护短视频平台，促进短视频作品的创作和传播，一审判决对于指导短视频平台正确承担平台保护知识产权责任而言并无积极意义，打压了短视频创作中与长视频相关的合法创作。针对快手公司的上诉意见，爱奇艺公司辩称：1.涉案影视作品知名度高，社会影响力大。2.快手公司将涉案视频集中于专门设置的“电视剧”“发现项下影视”、涉案电视剧话题“#老九门”视频专区中，其应当能够预见上述视频分类下用户发布的提供存在极大的版权侵权风险，对于侵权情形的识别不存在困难。3.快手公司将平台用户发布的涉案视频设置成各类合集，并向用户推荐。4.快手公司对于侵权内容具有极高的识别能力，且有足够能力采取屏蔽、删除等措施，在此前提下其仍作出对相关视频进行编辑、推荐等上述行为，具有明显的侵权主观恶意。5.爱奇艺公司多次向快手公司发送停止侵权告知邮件，但快手公司未采取任何措施。6.一审判决关于快手公司承担的赔偿金额适当，并无畸重情形。综上，请求驳回快手公司的上诉请求。联通无锡分公司述称，一审判决关于联通无锡分公司的事实认定清楚，适用法律正确，联通无锡分公司不是本案侵权责任主体，无需承担赔偿责任。一审诉讼请求爱奇艺公司向一审法院起诉，请求判令：1.快手公司、达佳公司立即停止侵权，删除“快手”软件中关于电视剧《老
17九门》的侵权视频；2.联通无锡公司立即停止侵权，在网络服务器中删除有关电视剧《老九门》的侵权视频；3.快手公司、达佳公司、联通无锡分公司赔偿经济损失及为制止侵权支付的合理费用共计195万元；4.诉讼费由上述被告负担。一审法院认定如下事实：电视剧《老九门》出品单位为爱奇艺公司、上海东方娱乐传媒集团有限公司、上海慈文影视传播有限公司等，各出品单位均出具版权声明，确认爱奇艺公司独占性享有电视剧《老九门》信息网络传播权，电视剧播放画面中亦载明“本片的信息网络传播权由北京爱奇艺科技有限公司独家所有”。快手公司、达佳公司、联通无锡分公司对爱奇艺公司享有电视剧《老九门》信息网络传播权无异议。2016年12月6日，人民网刊文《TV地标（2016）中国电视媒体综合实力大型调研落幕》，文中公布了“TV地标（2016）中国电视媒体综合实力大型调研成果”，其中年度最具人气网剧为“《老九门》爱奇艺”。上述榜单同时发布在国家新闻出版广电总局主管的刊物《中国广播电影》2016年12月上半月刊。《全网首部破百亿自制剧诞生爱奇艺频刷记录》《2016年播放量最高的十大网剧名单：超100亿次》等宣传报道见诸各大网络媒体。国家版权局2016年7月15日发布《2016年度第五批重点作品预警名单》，要求用户上传内容网站应禁止用户上传预警名单内的作品，该名单中包括涉案电视剧《老九门》，名单中载明的权利主体为“爱奇艺”，授权期限为“永久”。电视剧《老九门》在爱奇艺APP平台中全长为48集，截至当前，用户仍只可免费收看前2集，自第3集起需要购买VIP会员后才可继续收看。快手APP开发者、经营者为快手公司。快手公司在《用户服务协议》中告知用户应当尊重知识产权，上传的视频、音频不得侵犯第三方知识产权、名誉权等合法权利；在《快
18手社区管理规范》中告知用户不得未经授权盗用、转载、搬运他人作品。2020年3月1日、3月23日，发件人“张佳慧”以爱奇艺公司名义向快手公司发送电子邮件，主张立即停止对爱奇艺独家电视剧《老九门》的侵权传播，并附上海慈文影视传播有限公司的版权声明与侵权链接明细。2021年5月22日、6月25日，浙江秉格律师事务所向快手公司发送电子邮件《下线告知函》，主要内容为通知快手公司在收到函件后立即采取有效措施停止提供侵权内容、断开侵权链接，并附授权委托书及侵权链接明细。2021年7月6日，爱奇艺公司向上海市静安公证处申请对“快手”ＡＰＰ中的相关内容进行证据保全公证，该公证处出具（2021）沪静证经字第1459号公某，载明如下内容：“快手”ＡＰＰ按照视频内容划分了“电影”“剧集”“才艺”“游戏”等版块，“剧集”版块又划分为“港剧”“古装剧”“韩剧”等，其中“悬疑剧”版块中列有《老九门》，点击该剧后跳转至“老九门”搜索页面，并出现推荐视频，其中用户名“小易影视剪辑”发布的《合集•老九门》显示点击播放量374.2万次，视频注明“已完结09／15更新”，该合集共有12段视频，发布时间为2020年9月6日，该些视频被设置为“智能聚合”，视频下方标注“全部视频•共12集”，可点击打开下拉列表，显示全部12集视频内容，供浏览、下载，“智能聚合”系一种快手ＡＰＰ的搜索工具，通过内容标题相似度、内容标签、发布者等因素快速聚合用户可能想要的搜索结果；用户名“力力剪辑”发布78个《老九门》短视频，并从“第一集”至“第七十八集”对视频依序标注，以“第四十集”为例，该集视频显示点击播放次数为6000余次；用户名“小军影视编辑”发布的短视频中标注“《老九门》影视编辑全集48集作品每天更新3集”“第33／48集”，表明当前更新至第33集；另有用户名“追剧
19爱好者”“萌娃追剧”“妩媚剪辑”等发布数量不等的《老九门》短视频，部分用户还系电商，在发布短视频的同时在“快手小店”中销售各类商品。在快手ＡＰＰ“发现”版块，因搜索过“老九门”，该版块中出现大量《老九门》短视频，视频显示的点击播放数量多在上万次。进入快手ＡＰＰ“老九门”搜索页面的“话题”版块，有多个“老九门”相关话题，其中“＃老九门”显示在该话题下共有作品1.8万个，播放6.3亿次。2021年7月23日，爱奇艺公司代理人进行可信时间戳取证，操作人员利用软件Wireshark对快手APP中的数据进行实施抓取。爱奇艺公司称，根据抓取结果可以锁定快手APP中的视频存储于“59.83.230.84”等IP地址中，与该些IP地址对应的服务器运营商即为联通无锡分公司，并且实时抓取结果中含有“kwaicdn.com”的url链接，在该链接中可以下载到格式为“mp4”“ts”的视频文件，该些视频文件即为快手APP中的被诉侵权视频。“kwaicdn.com”域名登记备案主体为达佳公司，爱奇艺公司据此认为达佳公司与快手公司共同经营快手APP。2021年8月5日至2021年11月8日期间，爱奇艺公司对快手ＡＰＰ陆续进行14次证据保全公证，上海市张江公证处分别出具14份公某，载明快手ＡＰＰ中持续出现大量《老九门》短视频，其中2021年11月8日取证的（2021）沪张江证字第16070号公某中载明，快手ＡＰＰ话题版块“＃老九门”话题下共有视频2.2万个，播放7.9亿次，并且“＃老九门”话题还配有剧照、剧情简介、演职人员、相关作品等编辑行为。快手APP下载量巨大。华为应用市场下载量为182亿次，腾讯应用宝下载量为23亿次，七脉数据显示快手APP在安卓手机端各平台的下载总量为484.83亿（截至2021年12月8日）。快手公司在香港联交所上市，股票代码1024，其
20官网公告《快手科技发布2021年第三季度业绩》，载明以下内容：2021年第三季度快手应用平均日活跃用户3.204亿，较去年同期增长17.9%；每位日活跃用户平均线上营销服务收入为34元，较去年同期增长49.8%；平台上促成的电商交易的商品总交易额为1758亿元，较去年同期增长86.1%；本季度收入为205亿元，其中线上营销服务收入为109亿元，较去年同期增长76.5%，从对总收入贡献比例来看，线上营销服务占比53.2%，直播业务占比37.7%，其他服务占比9.1%。2021年8月31日，爱奇艺公司与上海融力天闻律师事务所签订《聘请律师合同》，约定本案委托该律师事务所代理，代理费为20万元。合同签订后，爱奇艺公司依据律师费发票已实际支付律师代理费20万元。爱奇艺公司为制止被诉侵权行为，因本案支付公证费合计44200元。根据快手公司提交的快手ＡＰＰ截图，可以确认快手公司在案件审理过程中已删除公某涉及的被诉侵权视频。上述事实，由爱奇艺公司提交的电视剧截屏、版权声明、公某、可信时间戳取证证书及录像文件、ＩＣＰ备案信息、电子邮件、网络截图、《聘请律师合同》、公证费发票等证据，快手公司提交的《用户服务协议》《快手社区管理规范》、手机截图、招股章程节选等证据，联通无锡分公司提交的管理平台截图、业务服务合同等证据，以及庭审笔录等在案予以证实。一审法院认为与裁判一审法院认为：案涉作品《老九门》系视听作品中的电视剧作品，著作权由制作者享有，根据作品署名，电视剧《老九门》的制作者为剧中所列各出品单位，该些单位均出具版权声明，确认爱奇艺公司独占性享有《老九门》信息网络传播权，版权声明中未约定权利期限，说明不受期限限制，且《老九门》片
尾亦表明该剧信息网络传播权由爱奇艺公司享有，故一审法院对爱奇艺公司享有涉案作品信息网络传播权予以确认。快手公司在庭审中明确认可爱奇艺公司享有《老九门》信息网络传播权，但庭后提交的代理意见中却称爱奇艺公司不是适格原告、权属不明，应以快手公司庭审发表意见为准，禁止“反言”，另外，著作权系对世权，权属不因被告认可而取得，人民法院应依职权审查作品权属，快手公司也无需“反言”。根据诉辩意见，一审争议焦点为：一、达佳公司、联通无锡分公司是否应承担侵权责任；二、快手公司有无尽到注意义务；三、如果快手公司构成侵权，如何确定赔偿金额。争议焦点一，涉及本案责任主体范围。快手ＡＰＰ中出现的《老九门》短视频，并非剧评，而是对电视剧《老九门》的具体情节进行浓缩讲解，已超出合理使用范畴，侵害作品信息网络传播权，系侵权视频。联通无锡分公司至多为快手ＡＰＰ中的视频内容提供基础网络接入、自动传输、自动存储，其对被诉侵权行为无主观过错，不应承担共同侵权责任，根据《最高人民法院关于审理侵害信息网络传播权民事纠纷案件适用法律若干问题的规定》第四条的规定，对于联通无锡分公司辩称其不构成共同侵权，一审法院予以支持。爱奇艺公司主张达佳公司承担共同侵权责任的理由为达佳公司与快手公司共同经营快手ＡＰＰ，从快手ＡＰＰ用户协议、软件公示信息，以及快手公司主体信息来看，可以明确快手ＡＰＰ的经营主体为快手公司，达佳公司并非该ＡＰＰ经营者，即便按照数据抓包软件的抓取结果认定快手ＡＰＰ中的侵权视频存储于达佳公司名下“ｋｗａｉｃｄｎ.ｃｏｍ”所对应的服务器中，也只能认为达佳公司为快手ＡＰＰ提供了信息存储空间服务。判断侵权的对象为“内容”而非“数据”，快手ＡＰＰ中的视频是否侵权，审查责任在于该ＡＰＰ经营主体，由其对用户上传的视频内容进行审核，而为快
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Chinese
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8k
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T3. Evidence-Grounded QA
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T3.1 Multi-Doc Integration QA
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Full
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综合考虑两份判决书的内容，关于电视剧《老九门》侵权案件中赔偿金额的确定及各方当事人的主张，下列哪项陈述最为准确？先输出“[答案]”标识符，再输出答案选项字母（'A'或'B'或'C'或'D'），不要输出任何其他内容。
A. 一审法院在确定赔偿金额时，主要考量了作品知名度、侵权情节与规模、侵权过错以及平台规模与性质四个方面，并指出赔偿金额的确定应与作品热播期侵权有所区别；快手公司上诉认为酌定金额畸高，但爱奇艺公司则坚持认为赔偿金额适当，二审法院维持了一审判决的赔偿金额。
B. 一审法院认为爱奇艺公司和快手公司均未能证明权利人损失或侵权人获益，故根据作品知名度、侵权情节等酌定赔偿金额；快手公司上诉称《老九门》已过热播期多年，且其流量收益与侵权视频无关，因此赔偿金额畸高，而爱奇艺公司则反驳称快手公司具有极高的识别能力，其行为具有明显主观恶意，故赔偿金额适当。
C. 爱奇艺公司在一审中请求快手公司、达佳公司、联通无锡分公司赔偿经济损失及合理费用共计195万元，但一审法院认为侵权视频上传时间多在2020年，未在2016年热播期侵权，因此降低了赔偿额，仅支持了爱奇艺公司合理费用中的律师代理费10万元，经济损失部分未予支持。
D. 快手公司在一审中主张爱奇艺公司赔偿金额过高，而一审法院在没有明确权利人损失或侵权人获益证据的情况下，结合作品知名度、侵权情节与规模、侵权过错、平台规模与性质等四方面因素，酌情确定了赔偿金额；快手公司在二审中上诉请求改判驳回爱奇艺公司的全部诉讼请求，并特别指出酌定金额畸高。
输出示例：
[答案]
A
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综合考虑两份判决书的内容，关于电视剧《老九门》侵权案件中赔偿金额的确定及各方当事人的主张，下列哪项陈述最为准确？进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出答案选项字母（'A'或'B'或'C'或'D'）。
A. 一审法院在确定赔偿金额时，主要考量了作品知名度、侵权情节与规模、侵权过错以及平台规模与性质四个方面，并指出赔偿金额的确定应与作品热播期侵权有所区别；快手公司上诉认为酌定金额畸高，但爱奇艺公司则坚持认为赔偿金额适当，二审法院维持了一审判决的赔偿金额。
B. 一审法院认为爱奇艺公司和快手公司均未能证明权利人损失或侵权人获益，故根据作品知名度、侵权情节等酌定赔偿金额；快手公司上诉称《老九门》已过热播期多年，且其流量收益与侵权视频无关，因此赔偿金额畸高，而爱奇艺公司则反驳称快手公司具有极高的识别能力，其行为具有明显主观恶意，故赔偿金额适当。
C. 爱奇艺公司在一审中请求快手公司、达佳公司、联通无锡分公司赔偿经济损失及合理费用共计195万元，但一审法院认为侵权视频上传时间多在2020年，未在2016年热播期侵权，因此降低了赔偿额，仅支持了爱奇艺公司合理费用中的律师代理费10万元，经济损失部分未予支持。
D. 快手公司在一审中主张爱奇艺公司赔偿金额过高，而一审法院在没有明确权利人损失或侵权人获益证据的情况下，结合作品知名度、侵权情节与规模、侵权过错、平台规模与性质等四方面因素，酌情确定了赔偿金额；快手公司在二审中上诉请求改判驳回爱奇艺公司的全部诉讼请求，并特别指出酌定金额畸高。
输出示例：
<你的思考过程>
[答案]
A
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[
"D"
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Moderate
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16d1cb8066deeb7bfb287a81fee9edf3d99c3a8fff32a8095d7a4f755274b087
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黄守才生平简介：明末清初的 "活河神" 与水利实践家
引言：浊浪中的身影
明崇祯八年（1635 年）七月，洛阳城外暴雨如注，洛河与谷水同时暴涨，浑浊的洪水裹挟着泥沙与杂物疯狂冲击着城墙，城内福王府已进水三尺，惊慌的内侍与官员们在雨中乱作一团。就在这危急时刻，一个身着青布短褂、脚蹬草鞋的中年人逆着逃难的人流登上了城楼，他目光如炬地扫视着汹涌的河面，手指快速比划着水流轨迹，随后高声向县令喊道："西堤增筑三尺，北闸全开泄洪，速调民夫在东南角筑子堤！" 声音穿透雨幕，带着不容置疑的力量。这位中年人就是黄守才，后世被黄河中下游百姓尊称为 "黄大王" 的民间治水专家。当众人还在犹豫之际，他已纵身跃下城楼，亲自带领民夫在泥泞中劳作。三天后，洪水退去，洛阳城得以保全，而这位救人于危难的治水奇才，当时还只是一位默默无闻的船工出身的水利实践者。
黄守才（1603—1664），字完三，又字英杰，号对泉，河南偃师岳滩镇王庄村人。在明末清初那个水患频发的年代，他以毕生精力治理黄河、洛河、运河等流域的水患，留下了无数治水奇迹。尽管正史记载寥寥，但在《河南府志》《偃师县志》等地方文献中，在黄河中下游沿岸百姓的口耳相传中，在 2700 余座 "黄大王庙" 的香火缭绕中，他的事迹被永久铭记。清乾隆三年（1738 年），朝廷追封他为 "灵佑襄济王"，民间则亲切地称他为 "活河神"" 河伯转世 "。本文将依据地方史料、民间传说和学术研究，详细梳理这位被历史烟尘遮蔽的水利大师的生平事迹，展现他从船工之子到治水专家的传奇人生，剖析他的治水理念与实践智慧，探讨他在民间信仰中的文化象征意义。
第一章 早年岁月：河岸边的成长
孤童的水缘
明万历三十一年（1603 年），黄守才出生于偃师县大酉镇（今岳滩镇王庄村）一个贫苦家庭。这里地处伊河与洛河交汇处，是有名的 "水窝子"，百姓的生计与水患紧密相连。黄守才自幼丧父，由在黄河上做船工的舅舅抚养成人，这使他从小就与河流结下了不解之缘。王庄村的老人们至今还流传着他儿时的神奇传说：有一次，年幼的黄守才与哥哥在井边玩耍，不慎掉入井中，当大人们闻讯赶来时，却看见他端坐于水面之上，面色平静，毫无惧色。这个充满神话色彩的故事，或许正是当地百姓对他后来治水功绩的一种浪漫化回溯。
舅舅的船工生涯让黄守才从小就熟悉水性，了解河流的脾性。他常常跟随舅舅在黄河、洛河上航行，观察水流、辨识河道、学习驾船技巧。少年时期的黄守才已展现出过人的聪慧与记忆力，对于河道变迁、水流规律有着天生的敏感。据《偃师县志》记载，他八岁时进入当地私塾就读，就能熟练背诵《论语》中的篇章；十岁时随舅舅行船，就能准确预测某处浅滩的位置；十二岁时已能根据云色风向判断天气变化，这对行船安全至关重要。
书院求学与知识积淀
十五岁这年，黄守才迎来了人生的重要转折 —— 进入登封嵩阳书院求学。嵩阳书院作为宋代四大书院之一，藏书丰富，学者云集，为黄守才提供了系统学习儒家经典的机会。在这里，他接触到了《禹贡》这部中国最早的地理著作，书中关于大禹治水的记载和九州地理的描述深深吸引了他。他潜心研读历代治水方略，尤其注重将《禹贡》中的地理知识与自己在河流上的实践经验相结合。
在嵩阳书院的三年里，黄守才展现出独特的学习方法：他不像其他学子那样专注于科举应试，而是将主要精力放在与水利、地理相关的典籍上。他研读《水经注》《河防一览》等著作，做了大量笔记；他向来访的地理学家请教河道变迁问题；他利用假期考察嵩山地区的溪流、水库，实地验证书中记载。这种 "知行合一" 的学习态度，为他后来的治水实践奠定了坚实的理论基础。
值得注意的是，黄守才在书院期间就表现出对传统知识的批判继承精神。他在读书笔记中写道："古人治河之法，或因时而变，或因地而异，不可照搬。黄河水性善淤善决善徙，唯有识其性，方能治其患。" 这种注重实地考察、反对教条主义的思想，贯穿了他的整个治水生涯。
从船工到民间治水能手
离开书院后，黄守才继承了舅舅的船工事业，在黄河、运河上往来运输货物。这段经历让他对河流有了更深入的了解 —— 他熟悉每一处险滩暗礁，了解不同季节的水流变化，掌握了应对各种水文状况的 practical skills。在行船过程中，他常常帮助沿岸百姓解决小型水患问题，逐渐在当地积累了治水的名声。
二十五岁时，黄守才遇到了人生中第一次重大治水考验。那年夏天，济源天台山地区遭遇大旱，当地百姓凿井数丈仍不见水，乡绅们听闻黄守才懂水脉，专程请他前往勘察。黄守才到达后，观察地形走势，分析岩层结构，最终在一处山坳中指定位置，说："此处下凿三丈，必有甘泉。" 村民们半信半疑地照做，果然在挖到指定深度时涌出了清澈的泉水。这一事件让他 "知水脉" 的名声开始传播开来。
还有一次，黄守才在行船至虞城张家楼时，遇到一支运粮船队因河道淤沙而停滞不前。船主们焦急万分，因为延误工期将面临严厉处罚。黄守才仔细观察了河道状况和天气变化后，对船主们说："今日午后必有大雨，雨水冲刷之下，淤沙可通，届时可行船。" 众人将信将疑，但别无他法，只能等待。果然，午后天空骤变，一场大雨倾盆而下，河道水位上涨，淤沙被冲刷，船队得以顺利通行。这些早期的成功案例，不仅磨练了黄守才的治水技能，也让他逐渐从一名普通船工成长为小有名气的民间治水专家。
第二章 治水功绩：浊浪安澜的实践
洛阳护城：拯救福王府
明崇祯八年（1635 年），黄守才三十三岁，迎来了他治水生涯中的第一个重大挑战。这一年夏季，洛阳地区连降暴雨，洛河与谷水同时暴涨，洪水严重威胁着洛阳城的安全，尤其是城内的福王府岌岌可危。福王朱常洵是明神宗的爱子，深受宠爱，若王府被淹，后果不堪设想。洛阳县令四处寻访治水能人，有人推荐了在偃师一带颇有声名的黄守才。
黄守才接到邀请后，立即赶赴洛阳。他冒着瓢泼大雨，沿河岸仔细勘察水情，发现洛阳城地势较低，而当时的河堤年久失修，多处出现管涌。更危险的是，谷水汇入洛河的入口处因泥沙淤积而形成了 "顶托" 现象，导致洪水宣泄不畅，水位持续上涨。经过实地考察和反复思索，黄守才提出了一套完整的治水方案：首先，紧急加固城西薄弱的河堤，增高三尺以抵御洪水；其次，全开城北闸门，分流部分洪水，减轻主河堤压力；最后，组织民夫在城东南角抢修一道子堤，保护福王府等重要区域。
在实施过程中，黄守才亲自指挥，与民夫们一起扛沙袋、筑堤坝。他不仅技术娴熟，而且善于鼓舞士气。有一次，一处河堤突然出现险情，民夫们惊慌失措，黄守才却镇定自若，他大声喊道："此处沙质疏松，须用柳枝捆石投放，再铺草席压之！" 在他的指挥下，险情很快得到控制。经过三天三夜的奋战，当洪水达到最高水位时，加固后的河堤安然无恙，分流措施有效降低了水位，洛阳城和福王府得以保全。
事后，福王朱常洵想重赏黄守才，并邀请他担任府中幕僚，但黄守才婉言谢绝了。他说："我治水是为救百姓于危难，非为个人功名。只要河水安澜，百姓安康，便是对我最好的奖赏。" 这番话让福王深受感动，也让黄守才的名声在河南地区广泛传播开来。
开封堵口：金龙口的奇迹
清顺治二年（1645 年），黄河在开封金龙口（今封丘段）发生重大决堤，汹涌的洪水淹没了大片农田村庄，威胁到南北漕运的安全。刚刚建立的清朝廷对此十分重视，派遣工部侍郎周堪庚前往治理。周堪庚采用传统的堵口方法，耗费银两数万，动用民工数千，历时半个月却毫无进展，决口反而越冲越大。
在束手无策之际，周堪庚听闻了黄守才在洛阳治水的事迹，于是派人专程前往偃师邀请他前来相助。此时的黄守才已年过四十，治水经验更加丰富。他到达金龙口后，没有急于动手，而是先用了三天时间仔细勘察决口处的水流、地形和堤坝情况。他发现，周堪庚采用的 "全面封堵" 方法并不适合此处的水文特点，因为金龙口水流湍急，单纯筑坝只会被洪水冲垮。
经过深思熟虑，黄守才提出了一套全新的堵口方案。他的核心思路是 "因势利导，分段封堵"：首先，在决口上游开挖导流渠，分流部分洪水，降低决口处的水流速度；其次，在决口两侧分别修筑堤坝，逐渐向中间推进；最后，在合龙的关键时刻，采用 "埽工" 技术 —— 用秸秆、柳枝等捆扎成大型土包，由水性好的民工携带沉入决口，迅速形成稳固的封堵结构。
在实施过程中，最惊险的环节是合龙时刻。按照黄守才的部署，他的得力助手党柱身系绳索，携带沉重的埽捆跳入湍急的洪流中，用身体引导埽捆准确沉入预定位置。黄守才则在岸边指挥，根据水流变化随时调整策略。数千民工齐心协力，填土固堤。令人惊叹的是，按照黄守才的方案，仅仅三天时间，这个困扰朝廷半月之久的决口就被成功堵住，黄河水流恢复了正常河道。
这次治水的成功让黄守才声名鹊起，顺治皇帝听闻后十分赞赏，下旨嘉奖，并想授予他官职。但黄守才再次婉拒，他说自己 "性喜自由，不善官场应酬"，只愿为百姓治理水患。朝廷只好赐予他大量金银绸缎，他却将这些赏赐大部分分给了参与治水的民工和受灾百姓。金龙口治水的成功，充分展现了黄守才高超的治水技艺和因地制宜的灵活策略，也奠定了他在黄河中下游地区的治水权威地位。
沁水抢险：瞬息安澜的智慧
除了治理重大水患，黄守才还多次在危急时刻化解险情。清顺治初年的一次沁水暴涨事件，充分体现了他 "瞬息安澜" 的治水智慧。当时，黄守才前往河阳（今孟州）祭拜唐代大文学家韩愈，恰逢沁水突发洪水，猛烈冲击河岸石堤，多处堤坝出现松动坍塌的迹象，当地官民惊恐万分，束手无策。
驻守当地的总镇郑王得知黄守才在此，立即前来求助。黄守才赶到现场后，迅速观察水情和堤坝状况，发现主要问题在于水流对堤坝根部的冲刷。他当即指出："堤坝溃决，多因根基被冲。当在堤外密植木桩，以护其根；再抛石填淤，以缓水流。" 他指挥民工们迅速行动，在堤坝外侧打入密集的木桩，形成一道防护屏障，又将大量石块抛入水中，减缓水流速度，淤积泥沙。
令人称奇的是，按照黄守才的方法施工后，原本岌岌可危的堤坝很快稳定下来，洪水对堤坝的冲击明显减弱。不到一天时间，险情就得到了彻底控制，官民们无不叹服，称他有 "点石成金" 的本领。郑王更是赞叹道："先生真乃神人也，能瞬息安澜，救万民于危难！" 黄守才却谦虚地说："我非神人，只是了解水性而已。治水之道，在于顺应自然，而非强行对抗。"
这类抢险救灾的事例在黄守才的治水生涯中不胜枚举。他的侄子黄世昌在回忆录中曾记载，黄守才一生参与治理的大小水患多达数十次，足迹遍布黄河、淮河、运河、洛河、沁水等流域的多个地区。他不仅技术精湛，而且总是不顾个人安危，哪里有险情就出现在哪里，被百姓们亲切地称为 "我们的活河神"。
第三章 治水理念：顺应自然的智慧
"识河性" 的核心思想
黄守才的治水成就并非偶然，而是建立在他对河流规律深刻认识的基础之上。经过数十年的实践与思考，他形成了一套系统的治水理念，其中 "识河性" 是其核心思想。黄守才认为，治水的关键在于了解和顺应河流的本性，而非盲目地与水对抗。他在《治河方略》中写道："河有性如人有命，顺之则昌，逆之则亡。治河者必先识其性，而后可施其策。"
在黄守才看来，黄河等北方河流的主要特性是 "善淤、善决、善徙"—— 容易淤积泥沙、容易溃决堤坝、河道容易变迁。他通过长期观察发现，黄河的泥沙主要来自黄土高原，夏季暴雨时水土流失严重，导致河水含沙量剧增；而泥沙淤积又会使河床抬高，形成 "地上悬河"，增加溃决风险。基于这种认识，他强调治水不能只着眼于局部堤坝的加固，而应从整个流域的角度考虑，采取综合性的治理措施。
黄守才的 "识河性" 思想具体体现在三个方面：一是观察水色、流速、声响等来判断水流变化，他能根据黄河水色的深浅判断含沙量的多少，根据水流声音判断流速和水下地形；二是了解不同季节、不同气候条件下的水文变化规律，他总结出 "春汛秋防，夏疏冬修" 的治水口诀；三是掌握河道变迁的历史与趋势，他实地考察了许多古河道遗迹，结合文献记载，分析河道变迁的原因和规律，为治水决策提供依据。
这种注重实地考察、尊重客观规律的思想，使黄守才的治水实践避免了主观臆断和盲目蛮干，大大提高了治水的成功率。与同时代一些只注重书本知识的治水官员相比，黄守才的 "识河性" 理念具有明显的先进性和实践性。
"束水攻沙" 的技术创新
在 "识河性" 思想的指导下，黄守才在治水技术上进行了多项创新，其中最著名的是对 "束水攻沙" 技术的发展和完善。"束水攻沙" 是中国古代治水的重要理论，最早由明代潘季驯提出，其核心思想是通过收紧河道，增加水流速度，利用水流的力量冲刷泥沙，防止淤积。黄守才在实践中进一步发展了这一理论，创造了多种具体的实施方法。
在洛阳治水和开封堵口等工程中，黄守才灵活运用了 "束水攻沙" 技术。他根据不同河段的特点，采用不同的工程措施：在河道宽阔处，修建丁坝、顺坝等水工建筑物，缩窄河道断面，增加流速；在泥沙淤积严重处，开挖引河，将水流引入新河道，利用急流冲刷旧河道的泥沙；在弯道处，加固凹岸，引导水流冲击凸岸的泥沙，调整河道形态。这些措施相互配合，形成了一套完整的 "束水攻沙" 技术体系。
黄守才对传统 "埽工" 技术的改进也体现了他的创新精神。埽工是中国古代治水的重要技术，用秸秆、柳枝、泥沙等捆扎成大型土包，用于堵口、护岸等工程。黄守才在实践中发现，传统埽工存在重量不足、易被冲走的问题，于是他增加了埽捆的尺寸和重量，在内部加入石块增加稳定性，外部包裹竹席增强抗冲刷能力。在开封金龙口堵口中，这种改进后的埽工发挥了关键作用。
此外，黄守才还发明了一些简易实用的治水工具，如用于测量水位的 "水志"（类似现代的水位计）、用于探测水下地形的 "探水杆"、用于快速筑堤的 "编篱填土法" 等。这些工具和方法操作简单，成本低廉，非常适合当时的技术条件和经济水平，因而得到了广泛应用。
防治结合的系统思维
黄守才的治水理念不仅注重治理已发生的水患，更强调预防为主、防治结合的系统思维。他认为，治水不能只在灾害发生后被动应对，而应平时做好准备，防患于未然。这种思想体现在他的 "四季治水" 方案中：春季水位较低时，组织民工修缮堤坝，清除河道淤积；夏季汛期来临前，加强巡查，加固薄弱环节；秋季洪水过后，修复水毁工程，总结经验教训；冬季农闲时节，组织大规模水利建设，改善河道状况。
黄守才还十分重视水利工程的维护和管理。他提出，水利工程 "三分建，七分管"，建立了一套严格的管理制度：设立专门的护堤人员，定期巡查；明确责任分工，将堤坝分段承包到人；制定奖惩制度，鼓励护堤有功者，惩罚失职者。这些措施有效提高了水利工程的使用寿命和防洪效益。
在流域治理方面，黄守才主张上下游、左右岸统筹兼顾，避免各自为政。他在治理洛河时，不仅考虑洛阳城的防洪安全，还兼顾了上游的灌溉和下游的航运需求；在治理黄河时，他建议协调河南、山东等沿岸省份的治水行动，统一规划，同步实施。这种系统思维在当时具有超前性，对现代流域综合治理仍有借鉴意义。
第四章 著述与思想传承
治水著作的学术价值
黄守才不仅是一位杰出的治水实践家，也是一位有深厚学术造诣的水利理论家。他在长期治水实践的基础上，结合对古代水利文献的研究，撰写了多部治水著作，其中最著名的有《禹贡注疏大中讲义》《治河方略》《洪范九畴九河图》等。这些著作系统总结了他的治水经验和思想，具有重要的学术价值和实用价值。
《禹贡注疏大中讲义》是黄守才对《尚书・禹贡》篇的注释和阐发。《禹贡》是中国最早的地理著作，记载了大禹治水的事迹和九州的地理情况。黄守才结合自己的治水实践，对《禹贡》中的水利记载进行了详细注释，纠正了前人的一些误解，提出了许多独到见解。他特别强调要结合实际情况理解古代治水经验，反对教条主义地照搬古法。这部著作体现了他深厚的儒学功底和水利专业知识的结合，被誉为 "《禹贡》研究的创新性成果"。
《治河方略》是黄守才最具代表性的著作，系统总结了他的治水经验和技术方法。书中详细记载了黄河、洛河、运河等河流的水文特点、常见水患及治理方法，收录了他参与的多次重大治水工程的案例分析，介绍了各种水工建筑物的设计和施工技术。该书的一大特点是注重实用性，图文并茂，许多技术方法都有具体的操作步骤和示意图，非常便于实际应用。清代水利官员在治理黄河时，常常参考这部著作中的方法。
《洪范九畴九河图》则是一部将水利知识与哲学思想相结合的著作。黄守才借鉴《尚书・洪范》中的 "九畴" 概念，将治水实践上升到哲学高度，探讨了水与自然、社会的关系。他认为，治水不仅是技术问题，也关系到民生、社会稳定和国家治理。这部著作体现了中国传统 "天人合一" 思想在水利领域的具体应用。
遗憾的是，黄守才的部分著作在流传过程中已经散失，现存的也多为抄本或后人辑录本。但仅从留存的著作中，我们仍能感受到他深厚的学术素养和丰富的实践经验。
对后世治水的影响
黄守才的治水思想和技术方法对后世产生了深远影响，尤其是在黄河中下游地区。清代康熙、雍正、乾隆年间，治理黄河成为朝廷的重要政务，许多水利官员都借鉴了黄守才的方法。据《清史稿・河渠志》记载，康熙年间的河道总督靳辅在治理黄河时，曾派人到偃师搜集黄守才的治水著作和事迹，将 "束水攻沙" 等技术应用到实际工程中，取得了显著成效。
黄守才的家乡偃师及其周边地区，更是深受其治水思想的影响。当地百姓在他的指导和影响下，修建了许多水利工程，改善了农业生产条件。偃师境内的伊洛河沿岸至今仍保留着一些明清时期的水利设施，其设计理念和技术方法都能看到黄守才的影响。当地民间还流传着许多关于治水的谚语和口诀，如 "治水先治源，堵不如疏"" 春修堤，夏防汛，秋清淤，冬备料 " 等，这些都是黄守才治水思想的通俗化表达。
更重要的是，黄守才培养了一批治水人才，他们继承和发扬了他的治水理念和技术。他的侄子黄世昌跟随他学习治水多年，后来成为当地有名的水利专家；他的弟子党柱（即开封堵口中跳入洪流的那位民工）也成为一名优秀的治水实践者。这些人在黄守才去世后，继续从事治水工作，传播他的思想和技术。
黄守才的治水经验还通过民间渠道广泛传播。在黄河沿岸的船工、渔民、堤工中，流传着许多关于他治水的故事和技术诀窍，形成了一种独特的 "治水文化"。这种文化代代相传，成为中国传统水利文化的重要组成部分。即使在现代水利技术高度发展的今天，黄守才的一些治水理念，如 "识河性"" 顺应自然 ""防治结合" 等，仍然具有重要的指导意义。
第五章 归隐与身后荣名
功成身退的选择
尽管治水功绩卓著，多次受到朝廷嘉奖和地方官民的推崇，黄守才却始终保持着淡泊名利的态度，多次拒绝为官的邀请。崇祯十七年（1644 年），明朝廷曾下诏举荐黄守才为 "端方知县"，但他以 "体弱多病，不堪政务" 为由推辞不受。清朝建立后，顺治皇帝也曾想授予他官职，同样被他婉拒。
黄守才选择归隐的原因主要有两个方面：一方面，他对官场的复杂和腐败心存反感，更愿意保持自由之身，专心于治水事业。他曾对弟子说："官场束缚太多，难以施展治水抱负。我宁愿做一个民间治水人，自由自在地为百姓办事。" 另一方面，常年的治水工作损害了他的健康，到中年以后，他常常感到疲惫不堪，需要静养调理。
清顺治中期，大约在五十岁左右，黄守才正式归隐，回到家乡偃师王庄村附近的颍川（今许昌一带）居住。归隐后的他并没有完全脱离治水事业，仍然关注着河流状况，时常为地方官员和百姓提供治水建议。他将更多的精力用于整理自己的治水经验，撰写著作，希望能将自己的知识传承下去。当地百姓有治水方面的问题前来请教，他总是耐心解答，毫无保留地传授技术方法。
归隐生活虽然平静，但黄守才依然牵挂着水患地区的百姓。每当听说哪里发生洪水，他都会忧心忡忡，主动提供治水方案。据记载，顺治十八年（1661 年），黄河在江苏宿迁决口，七十多岁的黄守才还亲自绘制治水图纸，派人送到当地官府，为堵口工程提供指导。这种 "退而不休" 的精神，体现了他对治水事业的热爱和对百姓的责任感。
逝后哀荣与民间祭祀
清康熙二年（1663 年），黄守才走完了他六十岁的人生历程，在颍川病逝。他的去世引起了当地百姓的深切哀悼，许多曾受他恩惠的地方都举行了悼念活动。按照他的遗愿，家人将他安葬在偃师府店镇九龙角水库附近的万安山麓，这里可以俯瞰他一生守护的河流，当地百姓亲切地称这座坟墓为 "黄爷坟"。
黄守才去世后，他的治水功绩和高尚品德逐渐被神化，民间开始出现祭祀他的活动。起初只是在他治水有功的地方修建小型祠堂，后来规模逐渐扩大。康熙年间，朝廷开始正式表彰黄守才的功绩，多次对他进行追封。康熙皇帝封他为 "灵佑襄济王"，将他纳入官方祭祀体系，与 "金龙四大王" 等著名水神一同祭祀。
到了清代中后期，对黄守才的祭祀达到了鼎盛时期。据统计，黄河中下游和大运河沿岸各地修建的 "黄大王庙" 多达 2700 余座，其中他的家乡偃师就有 18 座。这些庙宇成为百姓祭祀祈福、祈求河神保佑平安的重要场所。偃师山化石家庄的九龙庙就是其中一座著名的庙宇，由当地船工水手捐资修建，至今保存完好。
"黄大王祀制" 逐渐形成了一套完整的仪式和习俗。每年农历六月初六（传说中黄守才的诞辰），各地都会举行隆重的祭祀活动，包括祭祀仪式、庙会、戏曲表演等。船工、渔民、商人、农民等不同群体都会前来祭拜，祈求航行安全、风调雨顺、五谷丰登。这种祭祀活动不仅是对黄守才的纪念，也反映了百姓对治水英雄的崇敬和对平安生活的向往。
从历史人物到文化符号
随着时间的推移，黄守才逐渐从一位真实的历史人物演变为一个具有丰富内涵的文化符号。在民间传说中，他的形象被不断神化，赋予了许多超自然的能力：有人说他能呼风唤雨，控制水流；有人说他能预知洪水，化解灾难；还有人说他去世后化为河神，继续守护着河流两岸的百姓。
这些神话传说虽然充满了想象色彩，但也从侧面反映了黄守才治水功绩的卓著和百姓对他的深厚感情。在科学不发达的古代，人们无法完全理解河流的规律和治水的技术，往往将治水成功归功于神的力量，而黄守才这位真实存在的治水英雄，自然成为了人们崇拜的对象。他的形象融合了真实历史人物的品德、治水专家的智慧和民间信仰中的神力，成为一个独特的文化符号。
黄守才的文化影响还体现在文学、艺术等领域。清代以来，出现了许多以他治水事迹为题材的民间故事、戏曲、说唱等文艺作品。这些作品在黄河流域广泛流传，进一步扩大了他的影响。在偃师等地的民间艺术中，还保留着以黄守才治水为主题的剪纸、绘画等作品。
作为一种文化符号，黄守才所代表的不仅是治水的技术和智慧，更是一种为民造福、无私奉献的精神品质。他拒绝名利、坚守初心的品格，刻苦钻研、勇于创新的精神，以及尊重自然、顺应规律的理念，都成为中华民族优秀传统文化的重要组成部分，至今仍具有积极的现实意义。
第六章 历史评价与当代价值
历史文献中的黄守才
尽管黄守才在民间享有盛誉，但在正史中的记载却十分有限，这可能与他拒绝为官、始终保持民间身份有关。不过，在《河南府志》《偃师县志》《开封府志》等地方文献中，对他的治水功绩有较为详细的记载。《偃师县志》称他 "功并神禹"，将他与大禹相提并论，评价之高可见一斑。
清代著名学者方苞在《黄大王庙碑记》中写道："黄河为患久矣，历代治河者多矣，而能如黄公之屡建奇功、活民无数者，鲜矣。公之治水，非恃强力，而恃其智；非逆水性，而顺其理。此其所以为不可及也。" 这段评价准确概括了黄守才治水的特点和成就。
在水利专业文献中，黄守才也占有一席之地。清代水利专著《河防述要》《治河述略》等都引用了他的治水方法和观点。近代水利专家李仪祉在研究中国水利史时，曾高度评价黄守才的 "束水攻沙" 技术，认为它 "继承并发展了潘季驯的理论，在实践中取得了显著成效"。
国外汉学家也注意到了黄守才的存在。丹麦学者龙伯格（Lundbaek）在研究明末清初中西文化交流时，曾提到黄守才的治水成就，认为他是 "中国传统水利技术的杰出代表"。法国传教士白晋在给路易十四的信中，也曾描述过黄守才治理黄河的事迹，将他称为 "中国的河神"。
综合各类文献记载和评价可以看出，黄守才作为一位民间治水专家，以其卓越的治水功绩和创新的治水理念，赢得了从普通百姓到学者官员的广泛认可和尊重，在中国水利史上留下了不可磨灭的印记。
黄守才治水思想的现代启示
在现代水利技术高度发展的今天，黄守才的治水思想仍然具有重要的启示意义。他强调的 "识河性" 理念，与现代水文学强调的 "认识自然规律" 原则不谋而合。现代水利工程同样注重对河流特性的深入研究，通过水文监测、数据分析等手段，准确把握河流的变化规律，为治水决策提供科学依据。
黄守才 "顺应自然、因势利导" 的治水原则，对现代生态水利建设具有重要借鉴意义。随着生态环境保护意识的提高，现代水利工程越来越注重生态友好，强调水利建设与生态保护的协调统一，避免过度干预自然。这种理念与黄守才 "治水之道，在于顺应自然，而非强行对抗" 的思想是一致的。
黄守才防治结合、系统治理的思想，对现代流域综合治理也有启发。现代水利强调流域统一规划、综合治理，注重防洪、灌溉、供水、航运、生态等多目标协调，这种系统思维与黄守才主张的 "上下游、左右岸统筹兼顾" 的思想一脉相承。
此外，黄守才注重实践、勇于创新的精神，也值得现代水利工作者学习。他不迷信书本，不盲从权威，而是在实践中不断探索、总结、创新，这种求真务实的科学态度，对任何时代的科技工作者都具有重要意义。
文化遗产的保护与传承
作为一位在历史上有重要影响的治水专家和民间信仰中的文化符号，黄守才的相关遗产值得我们珍视和保护。目前，偃师等地的部分 "黄大王庙" 已被列为文物保护单位，得到了一定程度的保护和修复。2014 年，"黄大王祀制" 被列入河南省非物质文化遗产名录，相关的祭祀活动和民间传说得到了记录和整理。
但总体来看，对黄守才遗产的保护和研究还不够充分。许多有关他的文献资料尚未得到系统整理和研究，一些 "黄大王庙" 因年久失修而面临损毁，相关的民间传说和习俗也有失传的危险。加强对黄守才遗产的保护和传承，具有重要的历史意义和现实价值。
具体来说，可以从以下几个方面着手：一是加强文献整理和学术研究，对黄守才的著作进行系统校注和研究，深入挖掘其治水思想的内涵和价值；二是加大文物保护力度，对现存的 "黄大王庙" 等文物古迹进行修缮和保护，建立相关的纪念馆或展览馆；三是传承和弘扬非物质文化遗产，对 "黄大王祀制" 等民间习俗进行活态传承，鼓励相关的文艺创作；四是将黄守才的治水故事和精神品质纳入地方教育内容，培养青少年的本土文化认同和环保意识。
通过这些努力，不仅可以让更多人了解和认识黄守才这位被遗忘的治水英雄，更能传承和弘扬他所代表的治水智慧和人文精神，为当代水利建设和文化传承提供有益的借鉴。
结语：不朽的河魂
站在今天的伊洛河畔，望着奔腾不息的河水，我们依然能感受到黄守才的 presence—— 他仿佛仍在岸边观察水情，在堤坝上指挥施工，在油灯下撰写治水著作。这位四百多年前的民间治水专家，用他的智慧和汗水，在黄河中下游地区书写了一段不朽的治水传奇。
黄守才的一生，是平凡而伟大的一生。他出身贫寒，没有显赫的家世，没有耀眼的功名，却凭借自己的勤奋和智慧，成为了深受百姓爱戴的治水英雄。他的故事告诉我们，真正的伟大不在于地位高低、权力大小，而在于是否为社会、为百姓做出了实实在在的贡献。
黄守才留给我们的，不仅是那些有形的水利工程和文字著作，更是那些无形的精神财富 —— 尊重自然的生态智慧，求真务实的科学态度，无私奉献的为民情怀，勇于创新的开拓精神。这些精神财富，穿越数百年的时空，依然闪耀着时代的光芒。
在今天这个面临气候变化、水资源短缺等全球性挑战的时代，黄守才的治水思想和精神品质更显珍贵。他告诉我们，人类与自然应该和谐相处，治水应该顺应自然规律；解决复杂问题需要系统思维和实践智慧；为社会服务应该淡泊名利、坚守初心。
黄河依旧东流，岁月不断变迁，但黄守才这位 "活河神" 的故事和精神，将永远流淌在这片土地的记忆中，成为不朽的河魂，激励着一代又一代人尊重自然、造福民生、追求卓越。
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ICS 53.020.20
CCS J 80
DB4403
深 圳 市 地 方 标 准
DB4403/T 233—2022
起重机械维护保养规范
Inspection and maintenance specification for lifting appliances
2022-04-12 发布 2022-05-01 实施
深圳市市场监督管理局 发 布
目 次
前言 II
1 范围 1
2 规范性引用文件 1
3 术语和定义 1
4 技术要求 1
5 相关职责 2
6 安全规则 3
附录 A（规范性） 起重机械维护保养内容及要求（不含机械式停车设备） 4
附录 B（规范性） 机械式停车设备维护保养内容及要求 11
参考文献 15
前 言
本文件按照GB/T 1.1—2020《标准化工作导则 第1部分：标准化文件的结构和起草规则》的规定起草。
本文件由深圳市市场监督管理局提出并归口。
本文件起草单位：深圳市质量安全检验检测研究院、盐田国际集装箱码头有限公司、深圳市泰重隆起重运输机械有限公司、赤湾集装箱码头有限公司、蛇口集装箱码头有限公司、深圳华力特起重机械设备有限公司、深圳赤湾胜宝旺工程有限公司、深圳伟创自动化设备有限公司、深圳中集智能停车有限公司、深圳市安信达机电工程有限公司。
本文件主要起草人：潘海宁、李军、文茂堂、王战春、程红星、运向勇、陈波、叶鹏翼、李斌、刘凯、林志强、李俊文、李志文、陈浩、薛礼、陈超、吴海生。
II
起重机械维护保养规范
1 范围
本文件规定了起重机械维护保养的技术要求、使用单位和维护保养单位的相关职责、维护保养的安全规则等内容。
本文件适用于纳入特种设备安全监督管理的起重机械，不适用于房屋建筑工地和市政工程工地所用的起重机械。
2 规范性引用文件
下列文件中的内容通过文中的规范性引用而构成本文件必不可少的条款。其中，注日期的引用文件，仅该日期对应的版本适用于本文件；不注日期的引用文件，其最新版本（包括所有的修改单）适用于本文件。
GB/T 31052.1—2014 起重机械检查与维护规程 第1部分：总则 TSG 07—2019 特种设备生产和充装单位许可规则
TSG 08—2019 特种设备使用管理规则
TSG Z6001—2019 特种设备作业人员考核规则
3 术语和定义
GB/T 31052.1—2014 界定的以及下列术语和定义适用于本文件。
3.1
起重机械 lifting appliances
用于垂直升降或者垂直升降并水平移动重物的机电设备。
注：其范围规定为额定起重量大于或者等于 0.5 t 的升降机；额定起重量大于或者等于 3 t（或额定起重力矩大于或者等于 40 t•m 的塔式起重机，或生产率大于或者等于 300 t/h 的装卸桥），且提升高度大于或者等于 2 m 的起重机；层数大于或者等于 2 层的机械式停车设备。
3.2
维护保养 inspection and maintenance
为保证起重机械正常安全使用，定期按照计划开展的检查、清洁、润滑、调整、紧固、防腐、测试
以及更换易损件和失效的零部件等一系列工作。
注：维护保养根据周期不同，分为月度、季度、半年和年度维护保养。
3.3
油渗漏 seepage
起重机械运行时，静结合面油迹擦干净5分钟内出现新油迹或动结合面擦干净2分钟内形成明显油迹
或油滴。
4 技术要求
起重机械通过维护保养后，应达到以下要求：
a) 整机外观：起重能力或适停车辆标识完整清晰，外观整洁，无大面积油漆剥落；
b) 金属结构：主要受力构件无明显塑性变形，连接焊缝无明显可见裂纹和严重锈蚀，受力螺栓和销轴等连接无松动、缺件、损坏；
c) 机械零部件：连接紧固、无缺件、损坏、过度磨损；
d) 电气元器件：外观整洁、排列有序、固定牢靠（含接线端子）；电缆无严重老化破损、开裂等缺陷；馈电装置功能正常；
e) 气液系统、润滑系统：无油渗漏，无异常温升，油品未变质，气液系统压力正常；
f) 仪表、油位：显示正常；
g) 各机构与安全保护装置：各机构运行正常，无异常声响，按钮、手柄等操作装置轻便灵活；安全保护装置功能有效。
5 相关职责
5.1 使用单位
5.1.1 使用单位按照《深圳经济特区特种设备安全条例》的要求，委托依法取得许可的单位对起重机械进行维护保养。起重机械月度、季度、半年和年度维护保养的要求和内容，不应低于附录 A 和附录 B的规定。
5.1.2 对岸边集装箱起重机、装卸桥、轮胎式集装箱门式起重机、轨道式集装箱门式起重机、门座式起重机、集装箱正面吊运起重机等大型港口起重机械，使用单位应根据设备实际使用工况，提高维护保养频次，增加维护保养内容。
5.1.3 对机械式停车设备，使用单位应按照 TSG 08—2019 和制造单位使用维护说明书的要求，必要时提高维护保养频次，增加维护保养内容。
5.1.4 对吊运熔融金属的起重机、防爆起重机等应用于特殊场合的起重机，使用单位应按照 TSG 08—
2019 和制造单位使用维护说明书的要求，合理确定维护保养周期，其中月度维护保养周期不应超过三十日。
5.1.5 对停用半年以上的起重机械，投入使用前，使用单位应开展一次年度维护保养。
5.1.6 起重机械发生事故后，使用单位应根据事故具体情况确定检查和维护保养项目，项目内容不应少于年度维护保养的要求。
5.2 维护保养单位
5.2.1 维护保养单位应按照附录 A 和附录 B 的规定制定维护保养方案，对起重机械进行维护保养，填写维护保养记录。
5.2.2 维护保养方案至少应包括以下内容：
a) 起重机械定期维护保养的项目、内容、方法和要求；
b) 起重机械维护保养作业的安全防护措施。
5.2.3 维护保养单位应根据起重机械的工作环境和使用状态，向使用单位提出维护保养的合理化建议，编制维护保养计划，明确维护保养周期。
5.2.4 在起重机械维护保养过程中发现严重故障或发生异常时，维护保养单位应及时向使用单位书面报告。
5.2.5 维护保养单位应建立一台一档的起重机械维护保养档案，并以纸质档案或电子档案形式保存，
保存期不应少于 4 年。维护保养档案应至少包括：
a) 起重机械维护保养记录；
b) 安全隐患、事故及应急处置记录。
5.2.6 维护保养记录应经使用单位起重机械安全管理人员签字确认，并至少包含以下内容：
a) 起重机械的基本情况和技术参数，包括：
1) 制造和安装单位；
2) 起重机械品种；
3) 产品编号；
4) 设备型号规格；
5) 使用登记证编号；
6) 安装位置。
b) 使用单位名称、设备联系人和联系电话；
c) 维保单位、维保日期、维保人员（签字）；
d) 定期维护保养的项目与内容，设备故障及更换易损件的简要记录。
5.2.7 使用电子档案形式保存起重机械维护保养记录的，其原始数据在保存过程中不应更改，确保储存数据的公正、客观和安全，并可进行实时查询。
5.2.8 维护保养单位应接受特种设备安全监管部门推行的起重机械维护保养记录。
6 安全规则
6.1 起重机械维护保养人员应按照 TSG 07—2019、TSG Z6001—2019 的规定，掌握起重机使用、操作、检修的基本知识。
6.2 起重机械作业过程中不应实施维护保养。
6.3 大风、雷雨、冰雪严寒、大雾等恶劣天气下，不应在室外进行维护保养作业。
6.4 起重机械维护保养作业时，至少采取如下安全预防措施：
a) 维护保养人员应正确穿戴个人防护用品，包括但不限于：
1) 安全帽；
2) 安全带；
3) 劳保鞋；
4) 护目镜；
5) 防护服；
6) 防尘口罩；
7) 绝缘手套。
b) 应设置“正在维护保养”或类似安全警示标志和安全工作区域；
c) 采用多点控制的起重机械，维护保养人员应确认互锁功能有效，确保本地操作优先；
d) 除指定人员给出指令外，不应闭合或断开电源开关；
e) 除指定人员给出指令外，不应操作起重机械；
f) 焊接时，应采取适当的防护；
g) 大型港口起重机械的维护保养，应做到上机指令明确，现场沟通指令畅通；
h) 在受限活动空间进行维护保养作业时，安全控制程序应确保合理、有效。
6.5 维护保养作业完成后，维护保养人员应及时恢复安全保护和防护装置，并拆除作业过程中的临时设施，清理现场。
附 录 A
（规范性）
起重机械维护保养内容及要求（不含机械式停车设备）
表A.1规定了起重机械维护保养内容及要求（不含机械式停车设备）。
表 A.1 起重机械维护保养内容及要求（不含机械式停车设备）
序号
项目
内容与要求 维护保养周期
月度 半年 年度
1
A整机外观 A1额定起重量或额定起重力矩标志及安全警示标志清晰、无缺失 ○ ○ ○
2 A2整机各部位保持清洁，无积油、积水，无大面积油漆剥落 ○ ○ ○
3 A3各通道、平台处应无堆积杂物；走台、通道栏杆固定牢靠 ○ ○ ○
4 A4 起重机运行轨道无明显松动和影响其安全运行的明显缺陷 ○ ○ ○
5
B金属结构 B1主梁、主副吊臂、主支撑腿、标准节等主要受力构件无明显塑性
变形，连接焊缝无明显可见的裂纹 ○ ○ ○
6 B2金属结构无严重锈蚀，主要受力结构件断面有效厚度不低于设计
厚度的90% — ○ ○
7 B3螺栓和销轴等连接无明显松动、缺件、损坏等缺陷 — ○ ○
8 C紧固件 C1电动机、发动机、减速器、制动器、联轴器、液压泵站、电气柜
等重要部件的固定螺栓连接无缺损、无松动 ○ ○ ○
9
D
机构 D1起升机构 起升机构无异常声响、振动 ○ ○ ○
10
D2回转机构 润滑适宜，固定螺栓无缺损、无松动，大、小齿无偏磨、严重塑性
变形、点蚀、裂纹、齿面胶合剥落等缺陷 ○ ○ ○
11 回转机构无异常声响、振动 ○ ○ ○
12 D3运行机构 运行机构无异常声响、振动、无歪斜跑偏、啃轨等缺陷 ○ ○ ○
13 D4变幅机构 变幅机构无异常声响、振动；齿轮齿条变幅的，齿轮齿条啮合平稳 ○ ○ ○
14 D5伸缩机构 伸缩机构润滑适宜无异常声响、振动 ○ ○ ○
15 D6俯仰机构 俯仰机构无异常声响、振动 ○ ○ ○
16 D7电动葫芦 电动葫芦外壳无严重撞击变形 ○ ○ ○
17
E
主要零部件
E1吊具 吊钩、电磁吸盘、抓斗、横梁等吊具销轴无松脱，悬挂固定可靠 ○ ○ ○
18 吊钩防脱钩装置完好、有效 ○ ○ ○
19 吊钩不应当焊补，吊钩无裂纹和严重变形，过度磨损 ○ ○ ○
20 吊钩转动灵活，无卡阻；固定销轴无松脱 ○ ○ ○
21 抓斗开闭动作灵活，无卡滞；结构无裂纹、严重磨损、塑性变形 ○ ○ ○
22 E2 集装箱吊具 横梁、伸缩梁等钢结构无裂纹、严重磨损、塑性变形 ○ ○ ○
序号
项目
内容与要求 维护保养周期
月度 半年 年度
23
E
主要零部件
E2 集装箱吊具 吊具上架和吊具连接转锁连接可靠，转销无变形，转销固定螺栓无缺损、
无松动 ○ ○ ○
24 吊具伸缩臂架滑动表面、滑轨的润滑状况良好 ○ ○ ○
25 吊具转锁无裂纹，必要时无损检测 ○ ○ ○
26
E3钢丝绳 钢丝绳润滑适宜 ○ ○ ○
27 钢丝绳在卷筒上应整齐缠绕，无脱槽、压绳现象 ○ ○ ○
28 钢丝绳绳端固定牢固可靠；压板固定时，压板标记无变动，压板固定装置有防松或自紧性能；金属压制接头固定时，接头无裂纹；楔块固定时，楔套无裂纹，楔块无松动；绳夹固定时，绳夹压板应在钢丝绳长头一边，绳
夹间距等于6倍～7倍钢丝绳直径，绳夹数符合安全技术规范要求
○
○
○
29 钢丝绳无断股、断丝超标、绳芯挤出、挤压变形、笼状扭曲、压扁等外观
缺陷；钢丝绳直径无异常磨损导致的明显减少 ○ ○ ○
30 防爆型起重机钢丝绳无断丝，出现断丝应报废 ○ ○ ○
31 吊运炽热金属、熔融金属或危险品的起重机钢丝绳断丝数达到 GB/T5972-2016《起重机 钢丝绳 保养、维护、安装、检验和报废》所规
定的钢丝绳断丝数的一半（包括钢丝绳表面腐蚀进行的折减）时，应报废
○
○
○
32 E4起重环链 链条润滑适宜，链条无裂纹和严重变形、过度磨损等缺陷 ○ ○ ○
33 链条运转平稳，无扭转、打结、卡链等现象 ○ ○ ○
34 E5导绳器 导绳器在整个工作范围内有效排绳，无卡阻现象 ○ ○ ○
35 E6排绳装置 排绳装置工作正常，滑移无卡阻，固定螺栓无松动 ○ ○ ○
36 E7卷筒 卷筒无裂纹，绳槽无过度磨损，转动灵活，固定可靠 ○ ○ ○
37
E8滑轮及滑轮组 滑轮润滑适宜，转动灵活 ○ ○ ○
38 滑轮无裂纹、轮缘破损、过度磨损等缺陷 ○ ○ ○
39 滑轮罩壳及钢丝绳防脱槽装置无破损、过度磨损等缺陷 ○ ○ ○
40
E9制动器 制动器的零件无裂纹、过度磨损（摩擦片磨损达到原厚度的50 %或露出铆
钉）、塑性变形、缺件等缺陷；推动器与液压制动器无漏油现象 ○ ○ ○
41 制动器打开时制动轮（盘）与摩擦片无摩擦现象，制动器闭合时制动轮（盘）
与摩擦片接触均匀，无影响制动性能的缺陷和油污 ○ ○ ○
42 制动器的摆动铰点润滑适宜 ○ ○ ○
43 制动弹簧的力矩标尺清晰且在规定范围内，弹簧无断裂、明显锈蚀 ○ ○ ○
44 同一机构设置多组制动器且要求同步动作时，制动器的开、闭同步性良好 ○ ○ ○
45 制动器调整适宜，制动平稳可靠 ○ ○ ○
46 E10 车轮 车轮轮缘及踏面无过度磨损，轮缘无破损、明显变形等缺陷 — ○ ○
47
E11 轮胎 轮胎表面应无鼓包、严重裂纹、过度磨损等 ○ ○ ○
48 轮胎的充气压力应满足要求 ○ ○ ○
序号 项目 内容与要求 维护保养周期
月度 半年 年度
49
E
主要零部件 E12 电动机 各机构电动机无过热、异常声响 ○ ○ ○
50
E13 减速器及减速电机 各机构减速器无异常声响、振动、渗漏油现象 ○ ○ ○
51 减速器油位应在要求范围内 ○ ○ ○
52 传动齿轮无严重磨损、塑性变形、点蚀、裂纹、齿面胶合剥落等缺陷 — ○ ○
53 减速电机无裂纹、塑性变形，运行时无异常声响 — ○ ○
54 E14 联轴器 联轴器无缺损，弹性体无老化破损，固定螺栓无松动，联接无窜动，运
行时无异常声响 ○ ○ ○
55 E15 小车运行轨道 轨道的固定装置无缺损、无松动，无脱焊或变形等缺陷 ○ ○ ○
56 轨道无裂纹和影响安全的其他严重缺陷 ○ ○ ○
57 F
司机室 F1 固定 司机室固定连接牢固，无明显缺陷 — ○ ○
58 F2 防护 司机室内无裸露的带电体；室内地板防滑、隔热、绝缘功能良好；灭火
器功能有效 — ○ ○
59 F3 外观 司机室门、窗、玻璃无缺损，外观清洁、视线清晰 ○ ○ ○
60
G
电气部分
G1 控制柜 控制柜内电气线路及元器件无过热、烧蚀痕迹；元器件外表无破损；罩
壳无脱落 ○ ○ ○
61 控制柜、电缆等电器设备固定牢固，无松脱；电缆无老化开裂、破损等
缺陷 ○ ○ ○
62 防尘、散热及隔热等防护功能正常 ○ ○ ○
63 主要电气元件标志和导线端子编号或插件编号排列有序 ○ ○ ○
64
G2 馈电装置 集电器沿滑线全长接触可靠 ○ ○ ○
65 移动式电缆收放灵活，运行无卡阻 ○ ○ ○
66 G3 总电源开关 起重机供电的总电源开关标识清晰，工作可靠；总断路器电磁脱扣功能
有效 — ○ ○
67 G4 电动机的保
护 电动机的过电流保护或热过载保护功能有效 — — ○
68 G5 线路保护 当线路发生短路或接地时，短路保护或过电流保护功能有效 — — ○
69 G6 错相缺相保
护 错相和缺相保护功能有效 — — ○
70 G7 零位保护 各机构零位保护功能有效 — — ○
71 G8 失压保护 失压保护功能有效 — — ○
72
G9 电动机定子异常失电保护 对于吊运熔融金属或者发生事故后可能造成重大危险或者损失的起重机起升机构，电动机定子异常失电保护功能有效：当调速装置或者正反向接触器故障导致电动机失控时，制动器能够立即上闸
—
—
○
附 录 B
（规范性）
机械式停车设备维护保养内容及要求
表B.1规定了机械式停车设备维护保养内容及要求。
表B.1 机械式停车设备维护保养内容及要求
序号
项目
内容及要求 维护保养周期
月度 季度 半年 年度
1
A
整机 A1安全
标志 产品标牌、停车规格标识、入库须知或安全注意事项等标识应
齐全，图形文字清晰 ○ ○ ○ ○
2 A2卫生 控制室、机房、转换区等区域应整洁，无杂物、油污等 ○ ○ ○ ○
3
A3底坑 底坑应无积水、杂物等影响设备运行的情况 ○ ○ ○ ○
4 底坑急停开关和电源插座功能有效 ○ ○ ○ ○
5 A4消防 消防灭火器在有效期范围内 — ○ ○ ○
6 A5照明 出入口、车道、转换区及操作位置的照明应不低于 30 lx ○ ○ ○ ○
7 A6连接
件 主要受力结构件和机械零部件的连接件无缺损、无松动 ○ ○ ○ ○
8 A7可靠
性 每套控制单元（升降机、横移小车、堆垛机）各完成一次
存取车，无异常声响、振动 ○ ○ ○ ○
9
B
主要零部件
B1导轨 导轨固定牢固，无松动、变形等影响运行的缺陷 ○ ○ ○ ○
10 焊接导轨的接头无裂纹，接头的间隙符合产品标准的规定 ○ ○ ○ ○
11 B2搬运 台车、载车板 梳齿交换型的搬运器梳齿固定可靠，无变形、裂纹等缺陷 ○ ○ ○ ○
12 抱夹式搬运器的抱夹臂应灵活，抱夹正常 ○ ○ ○ ○
13 搬运器或载车板与出入口地面之间的过渡部分应无破损、
间隙过大等影响运行的缺陷 ○ ○ ○ ○
14 B3钢丝绳 钢丝绳应润滑良好，无断股、断丝超标、绳芯挤出、挤压变形、笼状扭曲、压扁等外观缺陷；钢丝绳直径无异常磨
损导致的明显减少
○
○
○
○
15 B4链轮、
链条 链轮、链条应润滑良好，张紧及防脱措施有效 ○ ○ ○ ○
16 链条应无可见裂纹、过盈配合处松动及磨损超标等缺陷 ○ ○ ○ ○
17 B5轴承 轴承及轴承座应润滑良好，运行无异常声响 ○ ○ ○ ○
18 B6悬挂 绳（链）端部 绳（链）端部固定牢固、可靠；金属压制接头固定时，接头无裂纹；楔块固定时，楔套无裂纹，楔块无松动；绳夹固定时，绳夹压板应在钢丝绳长头一边，绳夹间距等于6
倍～7倍钢丝绳直径，绳夹数符合安全规范要求
○
○
○
○
序号 项目 内容及要求 维护保养周期
月度 季度 半年 年度
19
B
主要零部件 B7卷筒 卷筒应无裂纹和过度磨损，钢丝绳尾端防松或自紧
装置应无缺损，无松动 ○ ○ ○ ○
20
B8滑轮 滑轮润滑适宜，转动灵活 ○ ○ ○ ○
21 滑轮无裂纹、轮缘破损、过度磨损等缺陷 ○ ○ ○ ○
22 滑轮罩壳及钢丝绳防脱槽装置无破损、过度磨损等
缺陷 ○ ○ ○ ○
23
B9 减速器及减速电机 各机构减速器无异常声响、振动、渗漏油现象 ○ ○ ○ ○
24 减速器油位应在要求范围内 ○ ○ ○ ○
25 传动齿轮无严重磨损、塑性变形、点蚀、裂纹、齿面胶合剥落等缺陷；减速电机无裂纹、塑性变形，
运行时无异常声响
○
○
○
○
26 B10固定螺栓 固定电机、卷筒、固定链轮等零部件的螺栓应连接
可靠，无松动锈蚀等缺陷 ○ ○ ○ ○
27 B11回转盘 设有定位装置的回转盘，在升降或回转位置定位装
置应有效，运行平稳、可靠 ○ ○ ○ ○
28 B12出入口处
门 出入口处门应固定牢靠，运行正常 ○ ○ ○ ○
29 B13工作区围
栏 围栏应完整，固定可靠，无损坏、变形、松动等情
况 ○ ○ ○ ○
30
C
制动系统 C1制动能力 制动器调整适宜，制停可靠 ○ ○ ○ ○
31
C2制动器的零部件 制动器打开时制动轮与摩擦片无摩擦现象，制动器闭合时制动轮与摩擦片接触均匀，无影响制动性能
的缺陷和油污
—
○
○
○
32 制动器的零件无裂纹、过度磨损（摩擦片磨损达到原厚度的 50%或露出铆钉）、塑性变形、缺件等缺
陷；液压制动器无漏油现象
—
○
○
○
33 制动弹簧的力矩标尺清晰且在规定范围内，弹簧无
断裂、塑性变形、明显锈蚀 — ○ ○ ○
34 制动轮应无裂纹，制动轮轮缘厚度磨损应低于原厚
度的 20%，修圆后轮缘的减薄量应低于 20% — ○ ○ ○
35
D
电气部分 D1供电电源 供电电源工作正常，总电源开关功能正常 — ○ ○ ○
36 D2总断路器 总断路器功能正常 — ○ ○ ○
37
D3控制柜 控制柜或控制箱应干燥、清洁，通风散热良好，防
护措施有效 ○ ○ ○ ○
38 电气元器件固定牢靠，电气线路及元器件无过热、
烧蚀痕迹，无破损 ○ ○ ○ ○
表B.1 机械式停车设备维护保养内容及要求（续）
序号 项目 内容及要求 维护保养周期
月度 季度 半年 年度
39
D
电气部分 D4电气元件、电线电缆及电气配线 断路器、相序保护、接触器等电气元件应完好，工作正常 ○ ○ ○ ○
40 导线及绝缘层无污损、老化、裸露等现象，导线接头、连
接端子固定可靠，无接触不良等现象 ○ ○ ○ ○
41 D5操作装置 操作装置应整洁，按钮及指示灯应无缺损，指示信号和开
关应正常 ○ ○ ○ ○
42 D6电动机保护 电动机的过电流保护或热过载保护功能有效 — — ○ ○
43
D7接地与绝缘 接地保护装置应完好，功能有效 — — ○ ○
44 电气连接及接地应可靠，导线无老化、破损 — — ○ ○
45 测试动力电路导线和保护接地电器之间施加 500V（d.c.）
时，绝缘电阻不小于 1MΩ — — ○ ○
46
E
安全保护和防护装置 E1紧急停止开
关 紧急停止开关不应自动复位，功能有效 ○ ○ ○ ○
47 E2紧急联络装
置（人车共乘式）
紧急联络装置应可靠有效，通话清晰，应答及时
—
○
○
○
48 E3紧急救援装置（人车共乘
式）
紧急救援装置能够方便有效地实施救援
—
○
○
○
49 E4防止超限运
行装置 垂直方向和水平方向的限位开关和超程限位开关应可靠
有效 ○ ○ ○ ○
50 E5汽车长宽高
限制装置 通过功能性试验模拟超过适停汽车尺寸时，设备不应动
作，并应报警 ○ ○ ○ ○
51 E6超载限制器 超载功能有效，动作可靠 — ○ ○ ○
52 E7阻车装置 阻车装置应无缺损，无松动 — ○ ○ ○
53 E8人车误入检
出装置 模拟人车误入状态，人车误入装置功能有效，设备不应动
作，并应报警 ○ ○ ○ ○
54 E9运行时间保
护 通过功能试验模拟，保证升降横移动作的欠时/超时时间保
护装置可靠 — ○ ○ ○
55 E10汽车位置
检测装置 当汽车未停在搬运器或载车板上的正确位置时，停车设备
不应运行 ○ ○ ○ ○
56 E11停电运行
装置（人车共乘式）
停电时，停电运行装置可将载车板移到安全位置
—
○
○
○
57 E12出入口门、围栏门联锁保
护装置
出入口处门或围栏的联锁保护装置功能有效
○
○
○
○
序号 项目 内容及要求 维护保养周期
月度 季度 半年 年度
58
E
安全保护和防护装置 E13自动门防夹装
置 自动门防夹装置功能有效 ○ ○ ○ ○
59 E14防重叠装置 防重叠装置功能有效，能够避免向已停放汽车的车位
再存进汽车 ○ ○ ○ ○
60 E15载车板防坠落
装置 防坠落装置能够保证在钢丝绳或链条出现断裂时，搬
运器或载车板不坠落 ○ ○ ○ ○
61 E16警示装置 停车设备运转时声光报警功能有效 ○ ○ ○ ○
62 E17端部止挡装置 轨道端部止挡装置无变形、缺损、开焊 ○ ○ ○ ○
63 E18缓冲器 缓冲器应无缺损、无松动，液压缓冲器油位符合要求 — ○ ○ ○
64 E19安全钳和限速
器 限速器的标定期限未超期；安全钳和限速器功能有效 — ○ ○ ○
65 E20运转限制装置 转换区内监测有无人员活动的电子装置功能有效 ○ ○ ○ ○
66 E21控制联锁功能 汽车存取由几个控制点启动时，各个控制点的电气联
锁功能有效 ○ ○ ○ ○
67 E22载车板锁定装
置 载车板锁定装置动作灵活，锁定可靠 ○ ○ ○ ○
68 E23松绳（链）检测
装置 松（断）绳（链）检测装置功能有效 ○ ○ ○ ○
69 E24过压保护 液压提升的停车设备，过压保护装置功能有效 — ○ ○ ○
70 E25通风（人车共乘
式） 通风换气装置工作正常 — ○ ○ ○
71
G液压系统 G1液压油 油缸、管路、接头应无松动、无漏油、无异常声响、
无过热现象，液位在正常范围内，油质符合要求 — ○ ○ ○
72 G2防沉降保护 手动泄油模拟，防沉降装置应能正常启动 — ○ ○ ○
73 I
文件资料 I1随机文件及档案 随机图纸、使用说明书、出厂合格证完整；安装、改
造、维修、注册登记等其他档案应完善 — — — ○
74 I2维护保养记录 维护保养记录应完整，无未验证的保养 — — — ○
75 J
金属结构 J1立柱、横梁和纵梁等主要受力结构件 主要受力结构件的垂直度、平行度、对角线长度应符
合产品标准的规定 — — — ○
76 主要受力结构件应无明显锈蚀、塑性变形，螺栓连接
可靠，焊缝无明显可见的裂纹 — — — ○
注：在“月度”“季度”“半年”“年度”维护保养周期列表中，标识“○”表示维护保养项目的具体周期，标识
“—”表示不涉及。
参 考 文 献
[1] GB/T 5972 起重机 钢丝绳 保养、维护、检验和报废
[2] GB/T 6067.1—2010 起重机械安全规程 第1部分：总则
[3] GB 17907—2010 机械式停车设备 通用安全要求
[4] TSG Q7015—2016 起重机械定期检验规则
[5] TSG T5002—2017 电梯维护保养规则
[6] 深圳市人民代表大会常务委员会.深圳经济特区特种设备安全条例：深人常[2019]167号.2019
年
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Chinese
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8k
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T3. Evidence-Grounded QA
|
T3.2 Single-Hop Fact QA
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Partial
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根据所提供的文档，在起重机械维护保养过程中，下列哪一个项目需要按月度进行维护保养？先输出“[答案]”标识符，再输出答案选项字母（'A'或'B'或'C'或'D'），不要输出任何其他内容。
A.电动机的保护。
B.线路保护。
C.司机室外观。
D.总电源开关。
输出示例：
[答案]
A
|
根据所提供的文档，在起重机械维护保养过程中，下列哪一个项目需要按月度进行维护保养？进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出答案选项字母（'A'或'B'或'C'或'D'）。
A.电动机的保护。
B.线路保护。
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CASESUMM: A Large-Scale Dataset for Long-Context Summarization from U.S. Supreme Court Opinions
Mourad Heddaya University of Chicago [email protected] Kyle MacMillan University of Chicago [email protected] Anup Malani University of Chicago Law School [email protected] Hongyuan Mei TTIC [email protected] Chenhao Tan University of Chicago [email protected] Abstract This paper introduces CASESUMM, a novel dataset for long-context summarization in the legal domain that addresses the need for longer and more complex datasets for summarization evaluation. We collect 25.6K U.S. Supreme Court (SCOTUS) opinions and their official summaries, known as "syllabuses." Our dataset is the largest open legal case summarization dataset, and is the first to include summaries of SCOTUS decisions dating back to 1815. We also present a comprehensive evaluation of LLM-generated summaries using both automatic metrics and expert human evaluation, revealing discrepancies between these assessment methods. Our evaluation shows Mistral 7b, a smaller open-source model, outperforms larger models on most automatic metrics and successfully generates syllabus-like summaries. In contrast, human expert annotators indicate that Mistral summaries contain hallucinations. The annotators consistently rank GPT-4 summaries as clearer and exhibiting greater sensitivity and specificity. Further, we find that LLM-based evaluations are not more correlated with human evaluations than traditional automatic metrics. Furthermore, our analysis identifies specific hallucinations in generated summaries, including precedent citation errors and misrepresentations of case facts. These findings demonstrate the limitations of current automatic evaluation methods for legal summarization and highlight the critical role of human evaluation in assessing summary quality, particularly in complex, high-stakes domains. CASESUMM is available on HuggingFace. 1 1 Introduction Although large language models (LLMs) are claimed to handle long contexts (GPT-4 Team, 2024; Bubeck et al., 2023; Claude Team, 2024), including summarizing very long inputs, how well 1 https://huggingface.co/datasets/ChicagoHAI/CaseSumm they perform long-context summarization is an open question. Evaluating long-context summarization is challenging for several reasons. First, human groundtruth summaries are often not available (Cao et al., 2024; Chang et al., 2024). Moreover, it’s unclear whether we should trust human abilities to even create ground-truth summaries. Second, what makes a good summary in one setting may not generalize to other settings. For example, what’s relevant in a legal text is different than what’s relevant in a novel. Lastly, identifying salient information in complex domains often requires expertise. We address these challenges by introducing a new dataset where “ground-truth” summaries are available and conducting a comprehensive human evaluation to benchmark existing models. In particular, we build CASESUMM, a legal case summarization dataset consisting of 25.6K U.S. Supreme Court cases and their official summaries, called syllabuses. Syllabuses are written by an attorney employed by the Court and approved by the Justices. The syllabus is therefore the gold standard for summarizing majority opinions, and ideal for evaluating other summaries of the opinion. We obtain the opinions from Public Resource Org’s archive2 and extract syllabuses from the official opinions published in the U.S. Reporter and hosted by the Library of Congress. Our dataset is at least 25% larger, covers 3 times as many years (1815-2019), and is publicly available with fewer copyright restrictions than similar legal datasets (Fang et al., 2023; Trivedi et al., 2024), representing a rich resource for the research community. Beyond the legal domain, several datasets have been introduced to improve evaluation of longcontext summarization (Krysci ´ nski et al. ´ , 2022; Sharma et al., 2019; Eidelman, 2019; Huang et al., 2021). CASESUMM continues the trend of larger 2 https://public.resource.org/ arXiv:2501.00097v1 [cs.CL] 30 Dec 2024 datasets with both longer source and summary texts, where the summaries represent high quality groundtruths. Unlike prior work, however, our dataset spans over two centuries, demonstrating unique variation in the lengths and compression rates of summaries, while also reflecting a high-stakes and useful domain for summarization. To highlight the opportunities and challenges of our dataset, we present both automatic and human expert evaluations of LLM-generated summaries of SCOTUS opinions and include two “control” human-written summaries from Westlaw and Oyez. According to both human and automatic metrics, fine-tuning Mistral successfully guides the model to more accurately mimic the official syllabuses and reflect the lexical and semantic content within them, than other much larger models. However, overall we observe that automatic metrics do not correlate well with human judgments, and that LLM-based evaluation does not do better. We find that syllabuses and fine-tuned Mistral summaries perform highly on automatic evaluation but rank lower according to human evaluators, whereas GPT-4 is reliably ranked highly in human evaluation despite only average performance on automated metrics. Furthermore, GPT-4-generated summaries often outperform human-written ones, including official syllabuses, but not on factual correctness. These findings challenge the notion of human-written ground-truth summaries. Finally, we conduct an error analysis of hallucinations in GPT-4- and Mistral- generated summaries and identify factual errors ranging from precedent citation errors to misrepresentations of the facts of the case and procedural history as recounted in the source opinions. In sum, we make the following contributions: • We introduce a new large-scale dataset for longcontext summarization in the legal domain, consisting of 25.6K U.S. Supreme Court cases and their official syllabuses from 1815-2019. • We present a comprehensive evaluation of LLMgenerated summaries using both automatic metrics and expert human evaluation, revealing discrepancies between these assessment methods. • We provide a comparative analysis of summaries generated by fine-tuned models and larger, general-purpose models, offering insights into their relative strengths and weaknesses in legal summarization tasks. 2 Related Work Evaluation for summarization. ROUGE (Lin, 2004) has been the dominant summarization metric, despite criticism of its high lexical dependence (Schluter, 2017; Cohan and Goharian, 2016). Newer metrics like BERTScore (Zhang et al., 2019) and BARTScore (Yuan et al., 2021) aim to capture semantic similarities. However, automatic metrics often don’t correlate well with human judgments (Yuan et al., 2021; Fabbri et al., 2021; Bhandari et al., 2020). We focus on high-stakes long-context summarization, showing the need for better metrics persists despite LLM progress. Chang et al. (2024) extended LLM-based evaluation to booklength summaries, but this approach doesn’t consider how experts weigh the importance of including or omitting certain information in a summary, while also being slow and costly. Cao et al. (2024) developed a framework for characterizing LLM summaries of financial documents. Our work extends this research by evaluating and comparing model- and human-generated summaries in the legal domain. Addressing factual discrepancies in model-generated summaries, recent work has developed automatic methods for evaluating faithfulness in summarization (Krishna et al., 2023; Chang et al., 2024; Falke et al., 2019; Laban et al., 2022; Wang et al., 2020; Fabbri et al., 2022). NLP and summarization in the Legal Domain. Natural language processing has been applied to various legal tasks, including summarization (Bauer et al., 2023), discovery (Zou and Kanoulas, 2020), redaction (Garat and Wonsever, 2022), case outcome prediction (Medvedeva et al., 2023; Cui et al., 2023), and Bar Exam performance (Katz et al., 2023a). For comprehensive surveys of NLP in the legal domain, see Katz et al. (2023b) and Kapoor et al. (2024). Datasets in the legal domain. Our dataset is unique in providing U.S. Supreme Court opinions with syllabuses, unlike other datasets that lack syllabuses (Chalkidis et al., 2022; Henderson et al., 2022) or provide only ancillary data (Law, 2024). Fang et al. (2023) present Super-SCOTUS, a dataset of Supreme Court documents, including a subset of syllabus (scraped from online websites and not validated) and opinion pairs and highlight its contribution to political and social science research. In contrast to Super-SCOTUS, our CASESUMM dataset consists of cleaned and carefully trimmed opinion and syllabus pairs. For each decision PDF, we identify and extract the syllabus and majority opinion, which syllabuses are intended to summarize. We remove headers and concurrent and dissenting opinions, while properly including footnotes. As Table 1 shows, CASESUMM is a strict super-set of Super-SCOTUS with descriptive statistics that reflect our improved data processing pipeline. CASESUMM extends further back to 1815 and, by being extracted directly from source opinions, provides the community with a readily available summarization resource with fewer copyright restrictions. 3 Dataset When the Supreme Court resolves a case, it publishes a majority "opinion" announcing the outcome and reasoning for their decision. The Court will also disseminate a summary of the opinion called the "syllabus", which is written by an attorney employed by the Court and approved by the Justices. The syllabus must include the main elements of the opinion: the facts of the case, the procedural history, the legal question to be decided, and the answer to that question. Accurately summarizing each of these sections requires (1) understand sophisticated legal reasoning and (2) identify the most salient aspects of the case. As one of the longest standing institutions in U.S. history, the Supreme Court has published thousands of opinions and syllabuses over the past 200 years. Looking at cases between 1815 and 2019, we collect 25.6K pairs of opinions and syllabuses for our dataset, to be available under a CC BY-NC 4.0 license. Dataset construction We compile our dataset from multiple sources. Opinions published in U.S. Reports Volume 15-546 (years 1815-2005) and Volumes 546-591 (2005 through Trump v. Vance (2019)) are obtained from Public Resource Org’s online archive (Public Resource Org, 2024) and the Super-SCOTUS data set (Fang et al., 2023), respectively. We extract syllabuses from PDFs of the opinions hosted on the Library of Congress’s website (Library of Congress, 2024). Extracting syllabuses from the original PDFs is challenging for several reasons. First, identifying the start and end of the syllabus is complicated because the formatting and style of SCOTUS decisions have changed over time. Low quality scans Dataset # Docs. # Words Source Summary Super-SCOTUS (1955-2019) 6.6k 9.3k 791 BillSum (1993-2018) 22.2k 1.8k 208 GovReport 18.5k 9.4k 553 Multi-LexSum 4.5k 75.5k 647 Oyez (1955-2012) 622 4.8k 356 Westlaw (1956-2011) 156 4.5k 143 CASESUMM (1815-2019) 25.6k 2.6k 314 CASESUMM (1955-2019) 7.2k 4.9k 745 CASESUMM (1815-1955) 18.4k 3.4k 289 Table 1: Comparison of CASESUMM and related longcontext summarization datasets in the legal domain. GovReport does not report the range of years covered. Multi-LexSum is a multi-document summarization dataset. Oyez summaries are a subset of SuperSCOTUS. of 19th and 20th century documents make the extraction task even more difficult. Together, these issues constrain the kinds of rules, or signals, we can leverage to reconstruct the structure of the text in the PDFs, requiring us to identify alternatives. For example, while syllabuses have a smaller fontsize than the rest of the decision and would be a straight-forward heuristic to leverage, this information is often incorrectly encoded in OCR data. To ensure accurate syllabus extraction, we process the PDFs in multiple ways. First, we design a set of regular expressions to identify the start of the syllabus, providing coverage of decisions with different styles. Then, we develop an algorithm based on open-source computer vision software (Bradski, 2000) to identify continuous lines, allowing us to distinguish footers from the main text of a page. Finally, we take advantage of differences in line density, a measure that is more robust to OCR and scan quality, combined with regular expressions to determine when the syllabus ends. Since we build a new dataset, there are no accessible ground-truths to automatically evaluate our technique for extracting syllabuses from PDFs. Instead, we randomly sample 100 cases and manually evaluate the extracted syllabus by comparing them to the original PDFs. We find that 96 of the 100 are perfect extractions while the remaining 4 syllabuses are partially truncated. These results highlight the quality of our dataset as a rich resource for long-context summarization. Descriptive statistics To demonstrate the value of our dataset as a resource for abstractive summarization, we compare the lengths of the opinions and their syllabuses. The average Supreme Court 1850 1900 1950 2000 Year 2000 3000 4000 5000 Opinion length (words) Opinion 1850 1900 1950 2000 Year 0.2 0.4 0.6 0.8 1.0 1.2 Compression Compression 200 400 600 800 1000 Syllabus length (words) Syllabus 0.0 0.2 0.4 0.6 0.8 Correlation Correlation Figure 1: Opinion and syllabus lengths, compression rates by syllabuses, and correlations between opinion and syllabus lengths, 1815-2019. Dashed blue and orange lines give average compression rate and correlation. Lines are smoothed with 5-year moving-average. opinion is 2,612 words long. The average syllabus is 314 words long, about 21.8% the length of the opinion it is summarizing. Figure 1 shows lengths have risen over time. Since 1980, opinions and syllabuses average 4,151 and 731 words, respectively, nearly double the average for the entire 1815-2019 period. Although compression rates, defined as the ratio of words in a syllabus to words in an opinion have been relatively stable over time, averaging 21.8% from 1815-2019, the Pearson correlation between the length of an opinion and its syllabus, while variable, has increased over time. Whereas this correlation was just 0.46 before 1920, it has been 0.68 since then. Given the changes in opinion and syllabus lengths and in the correlation between syllabus and opinion lengths, this data set is a valuable resource for modeling and evaluating expert summaries, especially in the legal domain. 4 Experiment Setup In this section, we introduce our summarization task setup and evaluation strategies. 4.1 Data and Modeling Data preprocessing and splits. We use syllabuses as a supervision signal in our summarization modeling experiment and as reference summaries for evaluating the human and modelgenerated summaries. As discussed in §3, the substance and style of syllabuses have changed over time. Therefore, the supervision signal has changed over time. The motivating use case in our summarization task is a legal professional conduction research. For such a professional, while concision has value, comprehensiveness is more valuable. By manually studying summaries, we determine that more comprehensive syllabuses begin with a summary of the facts of the case, followed by a new section—marked by the text “Held:”—containing details about the issues, analyses, and conclusions that the opinion commented on. Modern syllabuses consistently adhere to this structure. Therefore, we filter our dataset to include only opinion/syllabus pairs where the syllabus contains the pattern “Held:”. We call this subset of the dataset “structured". We find that the length of structured syllabuses is more strongly correlated with the length of their respective opinions (r = 0.65) than the length of unstructured syllabuses is with the length of their opinions (r = 0.46). Furthermore, structured syllabuses are on average 2.5x longer than the unstructured syllabuses. Overall, the structured dataset contains 6,683 case/syllabus pairs. We split these into a training set (n=5,455), validation set (n=606), and test set (n=622). Modeling. We pursue and test two approaches for completing our legal case summarization task. The first approach is zero-shot prompting with proprietary and with open-source LLMs. The propriety LLM we employ is GPT-4 Turbo (gpt-4-1106-preview) (GPT-4 Team, 2024). The open-source LLM we employ is Mistral 7b Instruct (Mistral-7b-Instruct-v0.1) (Jiang et al., 2023). The opinions in our dataset have 4,983 tokens on average, and the syllabuses average 755 tokens. The second approach is instruction finetuning (Wei et al., 2021) the open-source model, Mistral 7b Instruct, using the syllabuses in our training data set. We will refer to models used in a zero-shot setting by model name: Mistral Base and GPT-4, and to the fine-tuned Mistral model as Mistral FT. For Mistral in both settings, we design a prompt following best practices suggested by its authors.3 For GPT-4, we optimize prompt-selection using DSPy (Khattab et al., 2023) with 10 opinion/syllabus pairs from the training set and ROUGE-2 as the optimization metric. For fine-tuning, our input consists of a short instruction, the opinion, and the syllabus. We do standard auto-regressive language modeling but only backpropagate the language modeling loss for the syllabus. We use LoRA-based Parameter-Efficient Fine-Tuning (PEFT) (Hu et al., 2021) to train a subset of the parameters. We include additional implementation details in Appendix A. 4.2 Evaluation strategies “Control group” summaries. We benchmark our three machine-generated summaries (Mistral Base, Mistral FT, and GPT-4 Turbo) along with two additional human-generated sources for purposes of having a control group of human-written summaries not explicitly intended to mimic syllabuses. First, we collect public Oyez summaries from the Super-SCOTUS dataset (Fang et al., 2023). Oyez summaries are composed of three sections: Facts of the Case, Question, and Conclusion. Second, we collect Westlaw’s commercial summaries of cases via their online interface.4 Because manual download is slow, our sample size for Westlaw downloads was smaller: whereas our test set has 622 instances of model-generated summaries and Oyez summaries, we have 156 Westlaw summaries.5 Automatic Evaluation. Following recent work on summarization (Koh et al., 2022), we use ROUGE and BERTScore (Lin, 2004; Zhang et al., 2019) as our automated metrics for evaluating generated summaries against the reference syllabuses. With this, we assess the relevance of the summaries. We breakdown each of the metrics by their precision, recall, and F1-score, highlighting how models balance trade-offs between coverage and concision. 3 https://huggingface.co/mistralai/Mistral-7B-Instructv0.1 4We obtain these manually to avoid legal risks under our Westlaw subscription license. 5We initially included summaries from Justia, another publicly available legal resource, as a human baseline but, after manually inspecting 5 randomly sample summaries, we determine that they were largely derivative of the Court syllabuses and copied significant quantities of text from them. This was further validated by finding that Justia summaries achieved 0.97 ROUGE-1 score, which is exceedingly alike in a longform summarization task such as this. We also experimented with BARTscore (Yuan et al., 2021) (see Appendix B.3) but exclude it from our main analysis due to its sensitivity to whether text is in- or out-of- distribution relative to the scoring model. Since we compare Mistral after fine-tuning on syllabuses to models that were not fine-tuned, we expect unreliable results. To further characterize the summaries, we compare the summaries based on compression rate, defined as the number of words in a syllabus over the number of words in an opinion, and the correlation between opinion lengths and summary lengths. We use compression as a measure of brevity and correlation as a measure of how responsive summaries are to changes in the amount of content in the opinions. Human Evaluation. For the human evaluation, we recruited and paid6 second- and third-year law students to read several opinions and 5 summaries of each opinion (Mistral FT7 , GPT-4, official syllabus, Westlaw, and Oyez). We asked students to rank each summary (from 1 to 5) on several metrics: did the summary contain all relevant information from the opinion (sensitivity), did it exclude irrelevant information (specificity), was the summary clear (clarity), and did the summary have a style suggesting it was written by an experienced attorney? (style) Finally, we asked students to report the number of facts in the summary that were false based on their reading of the opinion (error). Students were not told the source of each summary.8 See Appendix C for additional details on the annotation interface and procedure. In total, students read 57 opinions. Our sample of opinions and summaries included 33 unique cases, and the median student read 5 cases. Given that we ask students to rank opinions from 1 to 5 (implying a mean of 3 and variance of 2), our minimum detectable effect, with 95% confidence and 80% power, was 0.52 rank points. Experimenting with LLM-based evaluations. Metrics like ROUGE and BERTScore provide a baseline for assessing lexical and semantic alignment between a candidate and reference text. However, they can miss deeper qualities that humans 6 Participants were paid $20/hr, $4 more than RA minimum. See Appendix C.3 for instructions & consent. 7We exclude Mistral base from our comparisons because it has rather poor performance overall on automatic metrics, helping us reduce the cognitive load on our participants. 8This evaluation was deemed exempt from IRB review by our institution’s IRB (IRB24-0277). ROUGE-1 ↑ ROUGE-2 ↑ ROUGE-L ↑ BERTScore ↑ Method P R F1 P R F1 P R F1 P R F1 GPT-4 Turbo 71.2 37.1 45.1 31.1 15.5 19.2 34.9 18.1 21.9 67.4 62.2 64.6 Mistral Base 64.3 13.4 20.0 23.4 4.6 7.0 41.1 7.8 11.8 61.3 48.5 54.0 Mistral FT 63.3 43.1 48.1 30.1 20.5 23.0 34.9 23.6 26.4 66.0 64.4 65.1 Oyez 64.0 35.1 41.6 28.5 15.0 18.1 34.4 18.6 22.1 64.2 61.8 62.9 Westlaw 71.5 20.5 29.4 32.7 9.1 13.2 42.3 11.8 17.0 65.0 55.7 59.9 Table 2: Automatic evaluation of model-generated and human-written summaries, where official syllabuses are the reference summaries. Sample includes 622 Supreme Court cases. There are 622 observations on each type of summary except Westlaw, for which we only have 156 observations. For each metric, we report precision (P), recall (R), and F1-score (F1). For each metric, we bold the best score(s) and underline the second best score(s). value in a good summary. LLMs offer a new way to evaluate summaries and to address some of these shortcomings (Liu et al., 2023; Song et al., 2024). Still, their results are variable and sensitive to their prompts. In this work, we study how well G-Eval (Liu et al., 2023), a GPT-4-based evaluation tool, agrees with human ratings compared to ROUGE and BERTScore. This helps us understand whether G-Eval offers a better way to evaluate summaries when a reference is unavailable or when traditional metrics fall short. We test both the default implementation of G-Eval, as well as an adapted version to more closely reflect our human evaluation setup. Correlation between automatic and human rankings. In Section 5.3, we discuss differences and similarities in how various evaluation methods, including G-Eval, correlate with human judgments. For each opinion, we convert the ROUGE, BERTScore, and G-Eval scores for the various candidate summaries into rankings. Then, we compute the Spearman correlation between each ranking and the human ranking, and average these correlations. 5 Results Our results indicate consistencies and discrepancies in the outcomes of automatic and human evaluations. On the one hand, model-generated summaries largely outperform the control humanwritten summaries on automatic measures of relevance, while also matching or exceeding them in our human evaluation. On the other hand, automatic metrics prefer Mistral FT summaries over GPT-4 ones, whereas expert humans most commonly rank GPT-4 over Mistral FT. Furthermore, we show that all summaries are shorter than their reference syllabuses and do not correlate as strongly with opinion lengths. Despite this, humans prefer GPT-4 summaries, revealing that its summaries may represent a more desirable tradeoff between concision and comprehensiveness. 5.1 Automated Evaluation Favors Fine-tuned Mistral Summaries We start by looking at the results in Table 2 of automatic evaluation between summaries and official syllabuses for the three generated summaries (Mistral Base, Mistral FT, and GPT-4) and for two human summaries. Overall, we find that fine-tuning Mistral is particularly effective at improving the recall scores across all the metrics: ROUGE recall scores increase by an average of 21 points, BERTScore recall by 15 points. However, effects of fine-tuning on precision are weaker and more mixed. Perhaps fine-tuning sacrifices brevity for inclusion of more words in a syllabus, i.e., improves the sensitivity of summaries at a cost to specificity. Control summaries help highlight effects of style differences on automatic metrics. By comparing against the two control human-written summaries, we can clearly see that Westlaw is an outlier. While GPT-4 and Mistral FT scores mostly resemble Oyez, Westlaw’s recall scores are particularly low, only surpassing Mistral base. This poor performance on recall, but strong performance on precision, may be a product of how short those summaries are. 5.2 Summaries do not Scale with Opinion Length as much as Official Syllabuses A unique aspect of CASESUMM is that it includes SCOTUS cases dating back to more than two centuries ago. This breadth enables researchers to investigate summaries from many different angles. Method Length Compression Correlation Opinion 6640 - - Syllabus 750 0.176 0.676 GPT-4 321 0.092 0.088 Mistral Base 126 0.034 0.151 Mistral FT 447 0.121 0.179 Oyez 332 0.096 0.094 Westlaw 142 0.044 0.025 Table 3: Descriptive statistics on summaries in test set (n=622). Length is number of words. Compression rate is ratio of words in syllabus to words in opinion. Smaller number is more compression. Opinion included as reference. (p < 0.05 *p < 0.01, p < 0.001) In this subsection, we characterize candidate summaries through the lens of length and compression and explore how these variables may affect summary quality over time. Length & Compression. In our dataset, both the opinion and syllabus lengths systematically co-vary across time. Table 3 shows that syllabuses in our sample have an average compression rate of 17.6%, meaning they tend to be about one-sixth the length of the original opinions. We find that in generated summaries, Mistral FT produces summaries closest in length to these syllabuses, even outperforming GPT-4, which was also prompt-optimized to mimic syllabuses. Westlaw produced the shortest summaries, followed by Mistral without fine-tuning. Regarding the correlation between summary and opinion lengths, syllabuses demonstrate the strongest relationship with opinion lengths: doubling opinion length increases syllabus length by nearly 2/3. In contrast, Mistral FT summaries show a weaker correlation, with doubling opinion length increasing summary length by only 18%. Westlaw summaries exhibit almost no correlation with opinion length, maintaining a consistent target length of approximately 150 words. These findings highlight our dataset as a rich resource for future work in investigating how automatic summarization methods may adapt to varying source document lengths, ensuring that all salient information is captured regardless of length. Precision & recall diverge over time. We use the Supreme Court Data Base9 , which contains metadata on SCOTUS cases, to see if any particular 9We obtain data on features of cases by downloading case metadata from Washington University Law School’s Supreme Court Data Base (SCDB). 0.0 0.1 0.2 0.3 Westlaw Oyez Mistral FT Mistral Base GPT-4 Warren (N=78) Recall Precision 0.0 0.2 0.4 Burger (N=175) 0.0 0.2 0.4 Westlaw Oyez Mistral FT Mistral Base GPT-4 Rehnquist (N=215) 0.0 0.2 0.4 Roberts (N=254) Figure 2: ROUGE-2 evaluation of model-generated and human summaries, by Chief Justice of SCOTUS when the opinion was written. Markers are means and whiskers are 95% confidence intervals. metadata can explain variation in summarization quality. While we do not find notable variation across most of these features, we observe one exception: the divergence between recall and precision across all summaries increases over time. Figure 2 illustrates this trend, comparing summaries for opinions based on the Chief Justice of the Supreme Court at the time an opinion was issued. Summaries of earlier opinions, e.g., under the Warren Court, have greater parity between recall and precision compared to summaries from later opinions. One possible explanation for this trend is that opinions and syllabuses have become longer over time (Figure 1 and Table 3), while the summaries we evaluate show a growing disparity between their lengths and opinion/syllabus lengths over time. 5.3 Human Evaluation Disagrees with Automatic Evaluation The results of our human evaluation, presented in Figure 3 are distinctly different than those of our automatic evaluation. Whereas under automatic evaluation, Mistral FT outperforms other models as well as the control human-written summaries, we find that humans most commonly prefer GPT-4 summaries. GPT-4 particularly excels on clarity, a crucial yet difficult to measure desideratum for the summarization task. Nonetheless, Mistral FT remains an above-average performer, successfully matching the original opinion syllabuses on every dimension except, importantly, number of errors. Evaluators report that roughly 20% of Mistral FT summaries have at least 1 factual error, with a total of 10 errors identified across all evaluations. However, we see that these factual errors, or hallucina- 1 2 3 4 5 Westlaw Oyez Mistral FT GPT-4 Syllabus Sensitivity 1 2 3 4 5 Specificity 1 2 3 4 5 Clarity 1 2 3 4 5 Style 0 5 10 Error Figure 3: Human evaluation of model-generated and human summaries. x-axis is a rank, where 1 is best and 5 is worst. For Error, x-axis shows counts of the total number of errors identified by participants for each summary method. See Appendix C.1 for explanation of each dimension. Metric Sensitivity Specificity Clarity Style ROUGE-1 0.54 -0.28 -0.02 0.40 ROUGE-2 0.55 -0.32 0.02 0.39 ROUGE-L 0.57 -0.26 0.04 0.47 BERTScore 0.45 -0.11 0.01 0.43 (a) ROUGE & BERTScore correlations with human rankings. G-Eval Sensitivity Specificity Clarity Style Consistency 0.26 0.06 0.25 0.11 Relevance 0.45 0.09 0.26 0.30 Coherence 0.42 0.05 0.28 0.33 Fluency 0.43 -0.15 0.08 0.30 (b) Default G-Eval criteria and prompts used for GPT-4obased evaluation. G-Eval Sensitivity Specificity Clarity Style Sensitivity 0.43 -0.01 0.19 0.23 Specificity 0.51 0.06 0.24 0.38 Clarity 0.38 -0.02 0.23 0.21 Style 0.42 -0.07 0.08 0.34 (c) Human evaluation criteria used for GPT4o-based evaluation. G-Eval criteria and prompts adapted accordingly. Table 4: Spearman correlations between various automatic scoring methods and human summary rankings. Interval scores from automatic methods are converted to rankings. Human rankings for the same set of summaries are averaged. tions, are not necessarily a product of using LLMs, as GPT-4 has performance on par with syllabuses and Oyez in terms of factual correctness. Surprisingly, the human evaluation also revealed that all three human-written summaries, including the official syllabuses, often performed worse than GPT-4. Westlaw summaries, despite being a paid service designed for legal professionals, ranked below average on sensitivity, clarity, and style. Even more intriguingly, the official syllabuses only matched or under-performed the LLM-generated summaries on all metrics except, crucially, factual correctness (error). This result both challenges the assumption that human-written summaries are inherently superior, while also revealing opportunities and challenges in using LLMs for generating concise, correct, and accessible summaries. LLM-based evaluation does not correlate better with human evaluations than traditional automatic metrics. The human correlation results in Table 4 illustrate differences in how well various evaluation strategies align with human preferences. First, ROUGE and BERTScore metrics are more capable of capturing other aspects of summary quality, particularly sensitivity and style. ROUGE-L achieves the highest correlation with human judgements of style (0.47), and ROUGE-1/2/L outperform G-Eval on judgments of sensitivity. Despite its limitations, ROUGE offers useful signals for evaluating how well summaries balance inclusion and exclusion of content and how effectively they convey proper legal style. It is worth noting that ROUGE shows the strongest negative correlation with specificity. Second, G-Eval shows significantly stronger correlations with human rankings of clarity (Tables 4b, 4c) compared to BERTScore and ROUGE. This suggests that G-Eval better captures attributes like readability and logical flow, which are valued by human evaluators. Third, G-Eval, while generally more consistent, performs similarly in its default and adapted versions, with only modest differences across dimensions. For instance, the adapted G-Eval slightly improves correlations with human judgements of style and specificity but shows no significant advantage for clarity or sensitivity. This suggests that while adapting prompts can impact G-Eval’s results, it does not drastically alter its overall effectiveness.10 These findings highlight the need for evaluation 10In this analysis we focus on G-Eval’s agreement with human judgments. Complete G-Eval scores are included in Appendix B.4 for reference. Hallucination in Summary Explanation Fine-tuned Mistral 1. “Petitioner, a Negro, applied for admission to the University of Washington Law School, a state-operated institution.” The opinion indicates the petitioner is not a member of a “favored group” nor a “minority applicant”. This strongly implies the petitioner is white and rules out the petitioner to be “a negro”. 416 U.S. 312, 332, 325 (1974). 2. “Sherbert v. Velelline, 416 U. S. 456” The opinion cites “Sherbert v. Verner, 374 U.S. 398” 494 U.S. 872, 875 (1990). 3. “He was held incommunicado for some five or seven days after signing the statement.” Petitioner Haynes testified he was held incommunicado until some five or seven days after his arrest. 373 U.S. 503, 504 (1963). 4. “The District Court ultimately entered judgment for petitioner, holding that the Texas death penalty scheme was unconstitutional.” While the District Court initially stayed the execution pending judgement, it ultimately “filed its findings and conclusions, rejecting each of the several grounds asserted by petitioner. The writ was accordingly denied; also, the stay of petitioner’s death sentence was vacated.” 463 U.S. 880, 885 (1983). GPT-4 Turbo 5. “The Court rejected the State’s interest in [...] preserving the flag as an unalloyed symbol of the nation” The Supreme Court did not reject the State’s interest. They “assume[d], arguendo, that it is [valid]” but found “[t]he statute is nonetheless unconstitutional as applied to appellant’s activity”. 418 U.S. 405, 414 (1974). 6. “The PCAOB is a regulatory body that oversees the audits of public companies” The PCAOB was created to govern the entire industry of accounting, including “hiring and professional development, promotion, supervision of audit work, the acceptance of new business and the continuation of old, internal inspection procedures, professional ethics rules, and ‘such other requirements as the Board may prescribe.’” 561 U.S. 477, 485 (2010). Table 5: Comparison of model hallucinations and their explanations. metrics, whether LLM-based or not, that are more closely aligned with human preferences and capable of capturing granular dimensions, such as clarity, specificity, and style, that matter in human judgment of summaries. 5.4 Error Analysis Mistral hallucinates more conspicuously than GPT-4. We conduct further analysis of each summary flagged as containing factual errors according to the participants in the human evaluation. We compare each such summary to the original opinion to identify specific factual errors. Recent work has often referred to errors of this type as “hallucinations” (Huang et al., 2023). Table 5 presents example errors. Fine-tuned mistral contained the most errors in its summaries. Furthermore, these errors were more egregious than any produced in the GPT-4 Turbo summaries. These errors include simple factual errors (examples 1), incorrect citations (example 2), temporal understanding errors (example 3), as well as procedural history outcome errors (examples 4). In contrast, GPT-4 Turbo errs in a more subtle way, failing to properly convey the legal analysis presented in the opinion (example 5) or misrepresenting background details (example 6). While the opinion indeed reverses the judgement of the court below, it does not reject its reasoning. Rather, the ruling is reversed due to a superseding issue of constitutionality. The summary generated by GPT-4 Turbo is thus incorrect in its characterization of the Supreme Courts decision. Lexical variation. We define lexical variation as the percentage of unique words in the summary not present in the opinion and consider it a measure of summary style. Mirroring our comparison of compression rates, syllabuses are shown to exhibit the lowest percentage of lexical variation from the original opinion. Surprisingly, the fine-tuned Mistral summaries have the highest average percentage of lexical variation at 41.7%, even surpassing those written by Oyez (37.9%). This is unexpected because Mistral FT is trained on legal syllabuses, while Oyez summaries are written for a general audience and might borrow less from the opinion. The high lexical variation rate of Mistral FT may be related to its higher rate of factual errors. 6 Conclusion This paper introduces CASESUMM, a novel dataset for long-context summarization in the legal domain, comprising 25.6K U.S. Supreme Court opinions and their official syllabuses. Our comprehensive evaluation of LLM-generated summaries, using both automatic metrics and expert human evalua- 0.2 0.3 0.4 Westlaw Oyez Mistral FT Mistral Base GPT-4 Syllabus Figure 4: Lexical Variation. Measures the fraction of words in summary that are not in opinion. tion, reveals discrepancies between these assessment methods. While fine-tuned Mistral 7b outperforms larger models on automatic metrics, human experts rank GPT-4 summaries higher in clarity and accuracy. Our human evaluation also showed that GPT-4 summaries often outperformed humanwritten summaries, including official syllabuses and professional services, in several metrics except factual correctness. LLM-based evaluation, such as G-Eval, may be a promising direction for reference-free evaluation but our results show that G-Eval does not correlate with human judgments better than traditional automatic metrics. Our findings highlight the limitations of current automatic evaluation methods for legal summarization and underscore the importance of human evaluation in assessing summary quality, particularly in complex, high-stakes domains like law. This work contributes to the ongoing dialogue about evaluation methodologies in NLP and opens avenues for research in legal text summarization. 7 Limitations First, the sample size of our human evaluation limits the conclusions we can draw. Second, while we are able to offer insight into the value of finetuning, at least with respect to the open-source Mistral model, we are unable to estimate the value of prompt-engineering even the GPT-4 model because we do not have a natural benchmark, non-optimized prompt for that model. A related weakness is that our evaluation of fine-tuning Mistral does not tell us the value of fine-tuning other models, such as GPT-4. It is possible that the benefit to fine-tuning the latter may be lower than the former because GPT-4 is trained on more data and has far more estimated parameters. Third, we experiment with one LLM-based evaluation framework. While GEval is commonly cited and used, other LLM-based approaches could yield different results. 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Finetuned language models are zero-shot learners. CoRR, abs/2109.01652. Weizhe Yuan, Graham Neubig, and Pengfei Liu. 2021. Bartscore: Evaluating generated text as text generation. Advances in Neural Information Processing Systems, 34:27263–27277. Tianyi Zhang, Varsha Kishore, Felix Wu, Kilian Q Weinberger, and Yoav Artzi. 2019. Bertscore: Evaluating text generation with bert. arXiv preprint arXiv:1904.09675. Jie Zou and Evangelos Kanoulas. 2020. Towards question-based high-recall information retrieval: Locating the last few relevant documents for technologyassisted reviews. ACM Transactions on Information Systems (TOIS), 38(3):1–35. A Summary Generation A.1 Mistral Fine-tuning and Generation Implementation Details In our fine-tuning experiments, we use a batch size of 56. We select the best performing learning rate out of {2e − 5, 2e − 4, 2e − 3} and early stop based on dev loss convergence. We conduct our experiments on 7 A100 80GB GPUs, with each fine-tuning run taking approximately 2 hours. During summary generation, we don’t use sampling and set max tokens to 1500. We truncate opinions which exceed Mistral’s 32768 context-length limit. In approximately 10% of Mistral generations, the generation stops due to the length limit, rather than an token being generated. In such cases, we fallback to sampling a generation with repetition_penalty = 1.3 and top_p = 0.9. This ensures a complete summary is produced and reduces degenerated summaries from the model. A.2 GPT-4 Generation Details To generate summaries based on majority opinions, we use the DSPy optimized prompt in Listing 2. The initial, unoptimized prompt, is included in Listing 1. We run DSPy using gpt-4-1106-preview. We use the SignatureOptimizer (now called COPRO) with ROUGE-2 as the optimization metric along with a development set of reference syllabuses. Otherwise, we use default parameters. For generating the final summaries after DSPy, we use gpt-4-1106-preview with temperature = 0 and max_tokens = 1000. All other parameters are set to the OpenAI API defaults. B Automatic Evaluation B.1 ROUGE Implementation Details We use the ROUGE implementation from the HuggingFace evaluate Python package. We set use_stemmer = True and use_aggregator = True. B.2 BERTScore implementation Details We use the bert-score PyPI package. We use the default bert-base-uncased scoring model and all other default settings. B.3 BARTScore See results in Table 6. B.4 G-Eval LLM Evaluation B.4.1 Generation Parameters We use use gpt-4-0613 with temperature = 1 and n = 10. All other parameters are set to the OpenAI API defaults. B.4.2 Default Prompts Consistency: see Listing 3. Coherence: see Listing 5. Relevance: see Listing 4. Fluency: see Listing 6. B.4.3 Adapted Prompts Sensitivity: see Listing 7. Specificity: see Listing 8. Clarity: see Listing 9. Style: see Listing 10. B.4.4 Default & Adapted G-Eval Scores Table 7 presents all the G-Eval scores. C Human Evaluation C.1 Dimensions of Summary Quality Sensitivity: Does this summary include all relevant information required to understand the facts, judgment and reasoning? Outcome is a rank, where 1 is best, rank 5 is worst. Ranks are mutually exclusive: only one case per rank. Specificity: Does this summary exclude irrelevant information that is not required to understand the facts, judgment and reasoning? Rank from 1 to 5. Clarity: Is this summary clear and easy to read? Rank from 1 to 5. Style: Does this summary have a legal style, defined as something written by a well-trained lawyer? Rank from 1 to 5. For all measures where the outcome is rank, we mark the mean rank identically 3) with a red dashed line. Factuality: Does this summary contain any factual errors? (Yes/No). C.2 Annotation Interface Figure 5 is a screenshot of the annotation interface that participants used to read the opinions and summaries then rank them. C.3 Instructions & Consent Materials for Participants Figure 6 shows the consent form presented to participants. Figure 7 shows the email with annotation instructions sent to participants. Listing 1: Initial GPT-4 Turbo summarization prompt used as input to DSPy. 1 Summarize the Supreme Court Opinion . 2 3 Opinion : {{ OPINION }} 4 Summary : Listing 2: DSPy optimized GPT-4 Turbo summarization prompt. 1 Review the provided Supreme Court opinion text . Deliver a concise , neutral summary that captures the essence of the legal reasoning , main points of law , conclusions drawn , and the implications of the decision , all whilst adhering to comprehensible language suitable for an educated general audience . 2 3 Opinion : {{ OPINION }} 4 5 Summary of Supreme Court Opinion : BARTScore ↓ Method P R F1 GPT-4 Turbo 256.0 335.1 289.5 Mistral Base 277.0 380.1 316.8 Mistral FT 297.9 312.3 298.1 Oyez 346.5 334.6 339.3 Westlaw 307.8 345.2 323.5 Table 6: BARTScores of model-generated and human-written summaries, where official syllabuses are the reference summaries. Sample includes 622 Supreme Court cases. There are 622 observations on each type of summary except Westlaw, for which we only have 156 observations. We report precision (P), recall (R), and F1-score (F1). BARTScores are negative log-likelihoods, so lower scores are better. We bold the best score(s) and underline the second best score(s). For the scoring model, we use facebook/bart-large-cnn, the default model used in Yuan et al. (2021) Method Default ↑ Adapted ↑ Consistency Relevance Coherence Fluency Sensitivity Specificity Clarity Style Syllabus 4.1 3.6 4.0 3.0 3.3 3.6 3.8 3.0 GPT-4 Turbo 4.4 4.2 4.5 3.0 3.9 3.8 4.3 3.0 Mistral FT 3.1 3.1 3.5 2.8 2.8 3.0 3.8 2.6 Oyez 3.7 3.3 3.8 3.0 3.1 3.2 4.0 2.8 Westlaw 3.8 3.2 3.6 3.0 3.0 3.0 3.8 2.7 Table 7: G-Eval, default and adapted, LLM-based evaluation of model-generated and human-written summaries. Sample includes the 33 Supreme Court cases used for human evaluation. For each metric, we bold the best score(s) and underline the second best score(s). Listing 3: Consistency prompt. 1 You will be given one summary written for a U . S . Supreme Court opinion . 2 3 4 Your task is to rate the summary on one metric . 5 6 Please make sure you read and understand these instructions carefully . Please keep this document open while reviewing , and refer to it as needed . 7 8 9 Evaluation Criteria : 10 11 Consistency (1 -5) - the factual alignment between the summary and the summarized source . A factually consistent summary contains only statements that are entailed by the source document . Annotators were also asked to penalize summaries that contained hallucinated facts . 12 13 Evaluation Steps : 14 15 1. Read the opinion carefully and identify the main facts and details it presents . 16 2. Read the summary and compare it to the opinion . Check if the summary contains any factual errors that are not supported by the opinion . 17 3. Assign a score for consistency based on the Evaluation Criteria . 18 19 Opinion Text : 20 21 {{ Document }} 22 23 Summary : 24 25 {{ Summary }} 26 27 28 Evaluation Form ( scores ONLY ) : 29 30 - Consistency : Listing 4: Relevance prompt. 1 You will be given one summary written for a U . S . Supreme Court opinion . 2 3 Your task is to rate the summary on one metric . 4 5 Please make sure you read and understand these instructions carefully . Please keep this document open while reviewing , and refer to it as needed . 6 7 Evaluation Criteria : 8 9 Relevance (1 -5) - selection of important content from the source . The summary should include only important information from the source document . Annotators were instructed to penalize summaries which contained redundancies and excess information . 10 11 Evaluation Steps : 12 13 1. Read the summary and the source document carefully . 14 2. Compare the summary to the source document and identify the main points of the opinion . 15 3. Assess how well the summary covers the main points of the opinion , and how much irrelevant or redundant information it contains . 16 4. Assign a relevance score from 1 to 5. 17 18 19 Opinion Text : 20 21 {{ Document }} 22 23 Summary : 24 25 {{ Summary }} 26 27 28 Evaluation Form ( scores ONLY ) : 29 30 - Relevance : Listing 5: Coherence prompt. 1 You will be given one summary written for a U . S . Supreme Court opinion . 2 3 Your task is to rate the summary on one metric . 4 5 Please make sure you read and understand these instructions carefully . Please keep this document open while reviewing , and refer to it as needed . 6 7 Evaluation Criteria : 8 9 Coherence (1 -5) - the collective quality of all sentences . We align this dimension with the DUC quality question of structure and coherence whereby " the summary should be well - structured and well - organized . The summary should not just be a heap of related information , but should build from sentence to a coherent body of information about a topic ." 10 11 Evaluation Steps : 12 13 1. Read the opinion carefully and identify the main topic and key points . 14 2. Read the summary and compare it to the opinion . Check if the summary covers the main topic and key points of the opinion , and if it presents them in a clear and logical order . 15 3. Assign a score for coherence on a scale of 1 to 5 , where 1 is the lowest and 5 is the highest based on the Evaluation Criteria . 16 17 Opinion Text : 18 19 {{ Document }} 20 21 Summary : 22 23 {{ Summary }} 24 25 26 Evaluation Form ( scores ONLY ) : 27 28 - Coherence : Listing 6: Fluency prompt. 1 You will be given one summary written for a U . S . Supreme Court opinion . 2 3 Your task is to rate the summary on one metric . 4 5 Please make sure you read and understand these instructions carefully . Please keep this document open while reviewing , and refer to it as needed . 6 7 8 Evaluation Criteria : 9 10 Fluency (1 -3) : the quality of the summary in terms of grammar , spelling , punctuation , word choice , and sentence structure . 11 12 - 1: Poor . The summary has many errors that make it hard to understand or sound unnatural . 13 - 2: Fair . The summary has some errors that affect the clarity or smoothness of the text , but the main points are still comprehensible . 14 - 3: Good . The summary has few or no errors and is easy to read and follow . 15 16 Summary : 17 18 {{ Summary }} 19 20 21 Evaluation Form ( scores ONLY ) : 22 23 - Fluency : Listing 7: Sensitivity prompt. 1 You will be given one summary written for a U . S . Supreme Court opinion . 2 3 4 Your task is to rate the summary on one metric . 5 6 Please make sure you read and understand these instructions carefully . Please keep this document open while reviewing , and refer to it as needed . 7 8 9 Evaluation Criteria : 10 11 Sensitivity (1 -5) - the informativeness of the summary with respect to the opinion . An informative summary contains all relevant information required to understand the facts , judgement , and reasoning of the opinion . 12 13 Evaluation Steps : 14 15 1. Read the opinion carefully and identify the main facts , judgements , and reasoning it presents . 16 2. Read the summary and compare it to the opinion . Check if the summary misses relevant information presented in the opinion . 17 3. Assign a score for sensitivity based on the Evaluation Criteria . 18 19 20 Opinion Text : 21 22 {{ Document }} 23 24 Summary : 25 26 {{ Summary }} 27 28 29 Evaluation Form ( scores ONLY ) : 30 31 - Sensitivity : Listing 8: Specificity prompt. 1 You will be given one summary written for a U . S . Supreme Court opinion . 2 3 Your task is to rate the summary on one metric . 4 5 Please make sure you read and understand these instructions carefully . Please keep this document open while reviewing , and refer to it as needed . 6 7 Evaluation Criteria : 8 9 Specificity (1 -5) - selection of important content from the source . The summary should include only important information from the source document and exclude irrelevant information that is not required to understand the facts , judgement , and reasoning . Annotators were instructed to penalize summaries which contained irrelevant and excess information . 10 11 Evaluation Steps : 12 13 1. Read the summary and the opinion carefully . 14 2. Compare the summary to the opinion and identify the main points of the opinion . 15 3. Assess how much irrelevant or redundant information it contains . 16 4. Assign a Specificity score from 1 to 5. 17 18 Opinion Text : 19 20 {{ Document }} 21 22 Summary : 23 24 {{ Summary }} 25 26 27 Evaluation Form ( scores ONLY ) : 28 29 - Specificity : Listing 9: Clarity prompt. 1 You will be given one summary written for a U . S . Supreme Court opinion . 2 3 Your task is to rate the summary on one metric . 4 5 Please make sure you read and understand these instructions carefully . Please keep this document open while reviewing , and refer to it as needed . 6 7 8 Evaluation Criteria : 9 10 Clarity (1 -5) : the quality of the summary in terms of grammar , word choice , and sentence structure . The summary should be well - structured and well - organized . The summary should not just be a heap of related information , but should build from sentence to a coherent body of information about a topic . Is this summary clear and easy to read ? 11 12 - 1: Very Poor . The summary is riddled with errors , making it very hard to understand . It may be disorganized to the point of confusion . 13 - 2: Poor . The summary has noticeable errors that impede clarity . It might be difficult to follow the central points or the flow of information . 14 - 3: Fair . The summary conveys the main points , but there are a few errors or awkward phrases . Overall , it is understandable but not polished . 15 - 4: Good . The summary is clear , well - structured , and mostly free of errors . The information is presented smoothly and cohesively . 16 - 5: Excellent . The summary is highly polished , with virtually no errors . It flows naturally , is easy to read , and effectively communicates the key information . 17 18 19 Summary : 20 21 {{ Summary }} 22 23 24 Evaluation Form ( scores ONLY ) : 25 26 - Clarity : Listing 10: Style prompt. 1 You will be given one summary written for a U . S . Supreme Court opinion . 2 3 Your task is to rate the summary on one metric . 4 5 Please make sure you read and understand these instructions carefully . Please keep this document open while reviewing , and refer to it as needed . 6 7 Evaluation Criteria : 8 9 Style (1 -3) - Does this summary have a legal style , defined as something written by a well - trained lawyer ? 10 11 - 1: Poor . The summary does not read like something a trained lawyer would write . It may be overly casual , contain imprecise or incorrect legal terminology , or lack the logical structure and clarity typically found in legal writing . 12 - 2: Fair . The summary attempts a legal style and may use some appropriate terminology or reasoning , but it isn 't fully polished . It might occasionally drift into non - legal language or lack the cohesive logic and precision expected from professional legal writing . 13 - 3: Good . The summary is stylistically consistent with something a trained lawyer would write . The language is precise , the reasoning is well - structured , and the tone is appropriately professional . It closely resembles the style commonly found in formal legal documents . 14 15 Evaluation Steps : 16 17 1. Read the summary and the opinion carefully . 18 2. Consider the style of the summary : Does it exhibit a tone , language , and structure similar to that of a well - trained lawyer ( e . g . , careful use of terminology , logical organization , professional tone ) ? 19 3. Compare the summary 's style to the evaluation criteria . Assign a rating (1 -3) based on how closely it aligns with a professional legal style , using the provided definitions for each level . 20 21 Opinion Text : 22 23 {{ Document }} 24 25 Summary : 26 27 {{ Summary }} 28 29 30 Evaluation Form ( scores ONLY ) : 31 32 - Style : Figure 5: Labelstudio Annotation Interface Figure 6: Consent form for research participation. Dear X, Thanks for helping with our AI legal summarization project! As a reminder, you are going to evaluate the quality of the summaries produced by our AI-based tool for summarizing Supreme Court decisions. We hope that you are able to begin this work as soon as possible, ideally even today. Moreover, we request that you complete at least 4 evaluations, though we would be very happy for you to complete as many as you can. Remember, we pay $20/hour: because we expect each case evaluation to take you 45 minutes, this means we will pay $15 for every case evaluation you complete. There are 3 steps to begin work as an RA. 1/ Please read and answer the attached consent form. While you are an RA, computer science projects have a norm of registering human evaluations with the IRB. Please email me back your completed consent form. 2/ Once you do that, I will send you a link to a custom survey that will give you a case, some summaries, and ask some questions. Once you complete one survey, you will be given a another one. Again, please try to complete at least 4 surveys. However, you may complete more. 3/ Once you are done, do let us know. The system will tabulate how many forms you have completed, and I will have the law school issue an RA payment to you. (The law school may need some additional paperwork, but it should not be onerous. Just the usual RA paperwork.) If you have any questions, about the project, the consent form, or the survey, do reach out. The best way to reach me is via email at . Figure 7: Email with instructions sent to participants.
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T4. Summarization & Synthesis
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T4.1 Global-Coverage Constrained Summary
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Based on the provided text, generate a summary not exceeding 200 words that encompasses the core contributions, key findings, and the nature of the CASESUMM dataset. Output the "[Answer]" identifier first, and then output the summary, without any additional content.
Output example:
[Answer]
your summary
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Based on the provided text, generate a summary not exceeding 200 words that encompasses the core contributions, key findings, and the nature of the CASESUMM dataset. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the summary.
Output example:
<Your thinking process>
[Answer]
your summary
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[
"CASESUMM is a novel large-scale dataset for long-context summarization, comprising 25.6K U.S. Supreme Court opinions and their official summaries (syllabuses) dating back to 1815. The paper conducts a comprehensive evaluation of LLM-generated summaries using both automatic metrics (like ROUGE, BERTScore) and human expert judgment. It reveals significant discrepancies, with automatic metrics often favoring models like Mistral 7b, while human evaluators consistently rank GPT-4 summaries as clearer and more accurate, despite GPT-4's average performance on automated tests. A key finding is the presence of hallucinations in generated summaries, including factual errors and precedent citation issues, especially in Mistral outputs. The study underscores the limitations of current automatic evaluation methods and the critical role of human evaluation in high-stakes legal summarization.",
"Introducing CASESUMM, a novel dataset with 25.6K U.S. Supreme Court opinions and their syllabuses, developed to advance long-context legal summarization. The research explores LLM performance, comparing models like GPT-4 and Mistral 7b. While automatic metrics (ROUGE, BERTScore) suggest Mistral fine-tuned performs well, human expert evaluation indicates GPT-4 produces superior, clearer summaries. The study identifies significant issues like hallucinations (e.g., factual and citation errors) in LLM-generated content, highlighting a disconnect between automated scores and human perception of quality. It concludes that human judgment remains crucial for assessing summary quality in complex domains, challenging the sole reliance on automatic evaluation for summarization.",
"The CASESUMM dataset, featuring 25.6K U.S. Supreme Court opinions and their official syllabuses from 1815, is presented as a valuable resource for long-context summarization. The paper critically evaluates LLM capabilities, comparing GPT-4 and Mistral 7b using both traditional automatic metrics and human expert assessment. A notable discrepancy emerged: automatic metrics (like ROUGE) favored Mistral FT, whereas human evaluators found GPT-4 summaries to be clearer and more reliable, despite its lower automatic scores. The study points out significant hallucination issues, particularly factual errors in Mistral's output. This research emphasizes the inadequacy of current automatic evaluation methods and reinforces the indispensable role of human judgment in assessing legal summarization quality."
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# Vivian Maier: A Century’s Gaze Through a Nanny’s Lens
## Prologue: A Photographic Epic in a Warehouse
In the late autumn of 2007 in Chicago, the warehouse district on North Clark Street was filled with the mixed smell of old paper and dust. An auction for overdue stored items was in progress, with dozens of labeled cardboard boxes stacked haphazardly, waiting to be chosen by anonymous buyers. Among the crowd stood John Maloof, a 26-year-old real estate agent. He had come to collect historical photos of Portage Park, but his attention was drawn to a heavy wooden crate—from the gap in the lid, the edges of black-and-white negatives glinted with fine grain in the dim light.
For a mere $380, a price almost arbitrary, Maloof became the new owner of this crate of negatives. When he scanned the negatives into his computer in his attic, the images that appeared on the screen left him instantly silent: rainwater from the 1950s New York streets dripped down the brims of gentlemen’s umbrellas; a sleeping couple in a Chicago streetcar leaned gently against each other; a child from a slum stared up at the sky, clutching half a piece of bread. These frames boasted compositions as precise as a surgeon’s scalpel, yet brimmed with a nearly compassionate warmth. The name of the photographer displayed in the folder properties was unfamiliar and mysterious: Vivian Maier.
At the time, Maloof had no idea that this name would later rewrite the narrative of American photography history. He knew even less that this crate was just the tip of the iceberg—Vivian Maier had left behind approximately 150,000 negatives, 3,000 unprocessed rolls of film, 10 Super 8mm videos, and hundreds of storage boxes filled with newspapers, letters, and receipts. These relics, abandoned in the warehouse, pieced together the story of a lonely soul who had measured the world through a camera lens.
On April 21, 2009, in a hospital bed at Rogers Park Nursing Home in Chicago, 83-year-old Vivian Maier took her last breath in her sleep. The obituary for her was placed by the three sons of the Gensburg family, whom she had cared for over 17 years. When Maloof found the name “Vivian Maier” in the obituary section of the *Chicago Tribune*, it was only a few weeks after the photographer’s death. The British newspaper *The Independent* later published a feature article titled *The Little Woman with a Great Eye: A French Nanny’s Vision of 1950s America*, marking the first time this long-dormant name stepped into the public eye.
Praise poured in from the media: “Van Gogh of the 20th Century,” “A photography master on par with Harry Callahan.” Yet Vivian Maier’s image remained shrouded in mystery: she had never married or had children, working as a nanny for nearly 40 years; tall in stature, she often wore men’s overcoats and leather boots, with a Rolleiflex twin-lens reflex camera perpetually slung around her neck; she would take her employers’ children to slums to “experience the real world,” yet never spoke a word about her own past. As photography critic Colin Westerbeck put it: “She captured countless moments of strangers through her lens, yet lived her own life as a mystery.”
## Chapter 1: A Transoceanic Childhood (1926–1949)
### 1.1 A Fragile Start in New York
On February 1, 1926, in New York, where the chill of winter had not yet fully faded, the row of tenement buildings in the Bronx loomed as a somber gray mass. It was here that Vivian Dorothy Maier let out her first cry—no簇拥 of relatives, no warm blessings, only the lingering smell of coal smoke and awkward silence in the apartment. This brick-red building, with its chipped exterior walls and rusted stair railings, was home to immigrant families like the Maiers, struggling to make ends meet: the corridors always echoed with the cries of neighbors’ children and the arguments of couples; at night, cold wind seeped through the window cracks, chilling the thin quilts.
Vivian’s father, Charles Maier, was an Austrian immigrant who had once earned a decent living as a plumber and electrician. But alcohol and gambling gradually consumed his life. He often stumbled through the door late at night, reeking of alcohol and empty-handed, sometimes taking out his frustration with life on his wife. Vivian’s mother, Maria Jaussaud, was like a withered plant in a corner—a woman from the small town of Saint-Bonnet in the French Alps, she had always been reserved by nature. Faced with her husband’s decline and the destitution of their home, she would lock herself in a small room, too drained even to sing Vivian a lullaby. Their hasty 1919 marriage had long dissolved into mutual indifference amid countless quarrelsome nights and evening meals without a warm dish.
In 1930, according to the U.S. Census records, next to the name of 4-year-old Vivian was not her parents’ address, but a smaller apartment in Manhattan—home to her mother Maria, her cousin Sylvain, and a woman named Jeanne Bertrand. No one could have guessed that this detail would later become a key to understanding Vivian’s “photographic genes.” Jeanne Bertrand was no ordinary tenant; she was a well-regarded female portrait photographer in New York’s small photography circle. At the age of 22, she had graced the front page of the *Boston Globe* with a series titled “Portraits That Capture the Soul.” She excelled at using soft side lighting to outline the contours of her subjects’ faces, freezing fleeting moments of tenderness or melancholy in their eyes the instant she pressed the shutter. Her darkroom always smelled faintly of developer, and wooden shelves held cameras of various sizes—including a brass folding camera that Vivian would later trace repeatedly in her relics.
While there is no direct evidence such as diaries or letters proving that Bertrand taught Vivian photography firsthand, in the photo albums Vivian kept in adulthood, researchers found three photos of Bertrand at work: one showed Bertrand crouching on the street, adjusting her lens for a homeless child; another captured her in the darkroom, holding a negative up to the light, her profile illuminated by the red safe light; on the back of the third photo, Vivian had gently written in pencil, “My teacher”—the handwriting neat yet tinged with timidity, perhaps a child’s simple admiration for an “aunt who could work magic.” It was also during this period that Vivian first witnessed how a camera could freeze a moment into eternity. The ordinary people recorded by Bertrand’s lens became her earliest understanding of “photography”: she realized that the faces of ordinary people held countless unspoken stories.
Vivian’s childhood was like a dandelion blown about by fate. In 1932, Maria could no longer bear the oppression of New York and took 4-year-old Vivian aboard a ship to France, to seek refuge with her grandmother in the town of Saint-Bonnet. This village, nestled at the foot of the Alpine foothills, finally gave Vivian a period of genuine warmth. Her grandmother owned a estate called Beaujolais in the Saint-Julien region, a house with red tiles and white walls surrounded by apple and cherry trees, and a small vegetable garden in the backyard. Every morning, Vivian would follow her grandmother to the pasture; the mist, soft as a veil, clung to her face with the moisture of grass, while the tinkle of cowbells drifted over from a distance. Monsieur Dupont, the elderly carpenter, had his workshop next to the estate. Vivian would often sit on a small stool by the door, watching him run a plane over wood, the curly shavings falling to the ground, filling the air with the scent of pine. In the afternoons, several peasant women would gather by the stream, sitting on stones to soak their laundry in the icy water; the sound of wooden mallets pounding clothes echoed, mixed with their laughter as they chatted in Provençal dialect. These scenes were like warm pebbles dropped into Vivian’s memory, later becoming the most unadorned backdrop of her photography—the ordinary people on the streets, the plants and trees bathed in sunlight, the everyday moments filled with the warmth of life, all bore traces of Saint-Bonnet.
In 1939, as the shadow of World War II loomed ever larger over Europe, Maria hastily took 13-year-old Vivian back to the United States. New York was no longer the city they had left behind, and what made Vivian’s heart ache even more was that her father, Charles Maier, had long since started a new family with another woman, living in an apartment in Brooklyn. Vivian once went there with her mother; when the door opened, Charles was holding a blonde little girl, and his smile vanished instantly at the sight of them, his eyes regarding them like strangers. Maria tried to speak, but he cut her off coldly: “There’s no place for you here anymore.” As the door slammed shut, Vivian stood in the hallway, clutching her mother’s衣角, and for the first time understood what it meant to be “abandoned.” This trauma, like a seed buried in her heart, would later quietly take root in her photography: the lonely elderly in her photos often sat on park benches, gazing into the distance; the homeless children always clutched small toys that did not belong to them, their eyes hiding the same loneliness Vivian had felt back then.
Census records from 1940 show that 14-year-old Vivian was attending a French-language school in New York. Tucked away near Chinatown, this small school had blackboards covered in French words; sunlight filtered through tattered curtains, casting dappled light on the floor. Vivian studied diligently, not only because French was her mother’s native language, but also because she knew that education was her only way to escape hardship. In her free time, she would sit by the window of her apartment, mending clothes for neighbors by the dim light—she could repair holes in shirts and rips in trousers with tiny, neat stitches, sometimes earning a few cents, which she would carefully save to buy notebooks and pencils. Under the lamp, her fingers were pricked by needles more than once, but she never cried; she would just wipe away the blood and continue sewing. At that time, she had no idea that she would one day record the lives of countless people with a camera; for now, she was using a needle and thread to slowly patch together her own difficult yet resilient childhood.
### 1.2 The Awakening of a Photographer in Rural France
In the late summer of 1945, the air in the French town of Saint-Bonnet still carried the aftertaste of war—at the foot of the distant Alpine snow-capped peaks, the wooden houses once requisitioned by German troops had just been fitted with new shingles; in front of the town’s bakery, people queued to collect their rationed flour, their faces finally showing a hint of relaxation. It was at this moment that 20-year-old Vivian Maier arrived alone on the town’s cobblestone streets, carrying an old leather suitcase. After four years apart, the wind of her hometown still carried the scent of pine needles and hay, and the red tiles and white walls of her grandmother’s estate glowed warmly in the sunset—a scene she had repeatedly longed for during her turbulent years in New York. This time, without her mother’s company or her father’s coldness, only the tranquility of the town became a haven for healing her past wounds.
This period in Saint-Bonnet would later be called by photography researchers “the awakening of Vivian’s lens consciousness.” In the spring of 1949, 23-year-old Vivian took the francs she had saved for half a year and walked into the town’s only stationery store. Behind the glass counter, a Kodak Brownie box camera lay quietly on a velvet cushion—a dark brown plastic body, square in shape, with no complicated aperture adjustments or need for precise focusing; pressing the shutter was all it took to capture an image. This camera, which sold for just a few francs at the time, was a symbol of “photographic democratization.” It broke the barrier that “only professionals could take photos,” allowing ordinary people like Vivian to own a tool to capture the world. When she held the camera in her hands, she could feel the warmth of the plastic casing, as if grasping a key to a new world. As she walked out of the store along the stream, she pressed the shutter for the first time: the lens focused on a butterfly perched on a dandelion, and with a soft “click,” that moment was frozen forever.
Nearly all of Vivian’s surviving early works bear the texture and warmth of Saint-Bonnet. Her lens favored the everyday moments of rural life: at dawn, the snow-capped Alps glistened with a cold silver light against the indigo sky; the mountain wind swept across the pasture, making the grass ripple like waves. The century-old oak tree on the estate had gnarled branches like an old man’s arms; sunlight filtered through its leaves, casting dappled shadows on the ground. The neighbor’s children ran barefoot through the wheat fields, the golden waves of grain reaching their knees, while butterflies chased after them. Vivian would crouch on the ridge, waiting for the moment the children laughed before pressing the shutter; even the wheat awns in the photos seemed to glow with the warmth of sunlight.
Though these early works carried the awkwardness of a beginner, they already revealed Vivian’s keen sensitivity to light and shadow. In *Twilight in Saint-Bonnet*, the setting sun dyed the sky orange-red, and the shadows of farmhouses stretched long, reaching all the way to the fence of the vegetable garden. Haystacks stood in the corner of the yard, their edges gilded by backlighting, as if dusted with a fine powder. Vivian must have been standing at the second-floor window of the estate, tilting the lens slightly downward to frame the shadows, haystacks, and distant mountain peaks in a single shot—it seemed she was born with the ability to use light and shadow to turn ordinary scenes into poetry. Another work, *Women Washing Clothes by the Stream*, showed even more ingenuity: on the stone slabs by the stream, a washerwoman bent over to pound clothes; as water splashed up, the reflection on the water surface rippled. Instead of photographing the woman head-on, Vivian aimed her lens at the water, overlapping the real figure with the swaying reflection. The interplay of reality and illusion made it seem as if one could hear the “thump-thump” of wooden mallets and the gurgle of the stream.
In the autumn of 1950, the death of Vivian’s grandmother made her the heir to the Beaujolais estate. Standing in the estate’s courtyard, she looked at the rocking chair her grandmother had often sat in, the small wooden box given to her by Monsieur Dupont the carpenter, and the lavender her grandmother had planted in the vegetable garden, her heart filled with mixed emotions. The estate held her warmest childhood memories, yet staying in the town alone left her feeling lost. Finally, she made a life-changing decision: to sell the estate, take the money back to the United States, and pursue her dream of photography in a broader world.
One day in October, a notary’s carriage stopped at the estate gate. Vivian, wearing a dark dress left by her grandmother, trembled slightly as she signed her name on the notarial documents. After signing, she took one last walk around the estate: she touched the bark of the old oak tree, plucked a lavender flower to tuck into her notebook, and went to the stream to look at the stone where the washerwomen had sat. On the day she received the sale proceeds, she divided the money into two parts: one portion went into a leather envelope labeled “Boat Ticket,” and the other was tied with a red string, marked “Camera and Film.” She knew this money was not just her passage to America, but also her financial support for chasing her photographic dream.
In the last few months in France, Vivian shot a series of portraits later titled *Farewell*. She did not deliberately seek out “special” subjects; her lens focused on the estate’s elderly servants, the neighbors’ elderly, and familiar faces in the town. Before each shoot, she would sit beside her subject, listening to their stories: Marguerite, the old servant, would talk about how Vivian used to hide in the kitchen cabinet as a child, waiting for her grandmother to leave her cookies; Monsieur Dupont, the carpenter, would take out a small wooden spoon he had made in his youth and say, “Take this—so you’ll remember Saint-Bonnet even in America.”
The most touching photo in the *Farewell* series was a close-up of Monsieur Dupont’s hands holding a plane. In the photo, the old man’s knuckles were as gnarled as old tree roots, his palms covered with deep and shallow calluses, and a faint scar on the web of his hand—the result of a cut while planing wood in his younger days. When Vivian took this photo, she was very close, her lens almost touching the old man’s hands. She did not ask him to pose; instead, she quietly pressed the shutter as Dupont bowed his head to plane a piece of pine wood. In the photo, curly wood shavings fell from under the plane, and sunlight fell on his手背, making the lines of his calluses格外 clear. Later researchers noted that this photo marked the beginning of Vivian’s “ordinary people’s perspective”: she never pointed her lens at glamorous figures, yet always managed to capture the most authentic traces of time in ordinary people, for she firmly believed that these individuals, overlooked by the times, held the most essential warmth of life.
On a清晨 in January 1951, Vivian boarded the ocean liner *Glasgow* docked at the port of Marseille, carrying her suitcase. The white giant ship slowly pulled away from the harbor amid the waves, and the silhouette of Saint-Bonnet gradually disappeared over the horizon. Standing on the deck, the cold Atlantic wind ruffled her hair; she held her Kodak Brownie camera in her arms and clutched the negatives of the *Farewell* series in her hand—carefully stored in a tin box lined with soft flannel. The wind lifted the hem of her coat as she gazed at the boundless blue sea, her heart filled with both nostalgia for her hometown and anticipation for the future. At that time, she had no idea that this transoceanic voyage would not only start a new chapter of her life in New York, but also transform her from a “girl who loved taking photos” into a street photography master who would later astound the world of photography. And the photos she had taken during her years in France, like seeds buried in soil, would eventually bloom into the most beautiful flowers in the years to come.
## Chapter 2: New York’s Nanny-Photographer (1951–1956)
### 2.1 A Double Life: Factory Work and Street Photography
In February 1951, at New York Harbor, where the cold mist had not yet dispersed, the whistle of the ocean liner *Glasgow* pierced the morning air. Leaning on the deck railing, 25-year-old Vivian Maier gazed at the skyline of Manhattan in the distance—skyscrapers rose like a forest of steel, black smoke billowing from chimneys to spread across the gray-blue sky. The hoots of steamships, the shouts of stevedores, and the honking of cars mingled to form a bustling scene utterly different from the tranquility of Saint-Bonnet. The tin box she held close contained the negatives of the *Farewell* series; her Kodak Brownie camera hung around her neck, and her suitcase held only a few old clothes and the small wooden spoon left by her grandmother. This city, rapidly recovering after the war, was both a canvas of opportunities and a battlefield for survival.
In those early days in New York, survival was Vivian’s top priority. She found work as an ironer in a garment factory in Lower Manhattan, located on the fourth floor of an old office building with no windows; the stuffy air was thick with the starch of cotton cloth and the steam from irons. Every morning at six, she squeezed onto a crowded subway, clutching a half-eaten black bread in her hand. At work, she stood in front of a scalding ironing board, pressing stacks of shirts repeatedly; the steam stung her eyes, and her arms ached so much she could barely lift them. She did not leave until six in the evening, exhausted, earning a weekly salary of just $25—barely enough to cover her rent and the cheapest bread.
What depressed Vivian most was the factory’s confinement and rigidity. The workshop was filled only with the hum of machines and the foreman’s shouts; everyone was like a part on an assembly line, repeating mechanical movements. Once, during her lunch break, she took out her Brownie camera, wanting to photograph the pigeons flying past the window, but the foreman snatched it away: “This isn’t a place for you to play with toys!” That night, Vivian sat by the window of her rental room, watching the streetlights below, and for the first time realized: she needed a job that allowed her to breathe freely, a job that let her lift her camera whenever she wanted. Six months later, she handed in her resignation; as she walked out of the factory gate, sunlight fell on her face, and she took a deep breath of the air filled with the city’s vitality, tightening her grip on her camera.
Switching to work as a nanny was the most crucial decision of Vivian’s life. In 1950s America, nannies occupied a unique “marginal role”: they lived in middle-class families, eating, reading, and walking with the children, gaining intimate access to the details of family life, yet remaining “outsiders”—never in the center of family photos, never invited to family gatherings. But this “marginality” became Vivian’s greatest advantage in photography: under the pretense of “taking the children out,” she could wander freely through New York’s streets—from the shop windows of Fifth Avenue to the alleys of Brooklyn, from the lawns of Central Park to the markets of Chinatown. Her wandering steps provided an endless stream of shooting scenes, and her identity as a “nanny” made her invisible, allowing her to capture the most authentic, unposed moments on the street.
Vivian adapted to this role quickly. She worked for three families in succession, and all her employers spoke highly of her. One employer from the Upper West Side recalled: “Miss Maier always wore neat dark dresses, her hair neatly combed, exuding a quiet European elegance. She was incredibly patient with the children—she would kneel down to listen to their wild stories and teach them French words.” Another employer remembered: “When she took the children out, she always had a camera around her neck. Sometimes she would stop to take photos of a stray cat on the street or an old man selling newspapers, and the children got used to waiting for her to finish before moving on.” For Vivian, the time spent walking with the children was her “photographic creation time”—the children’s laughter broke down strangers’ defenses, her slow pace gave her enough time to observe changes in light and shadow, and the conditions of her employers’ homes meant she no longer had to worry excessively about food and shelter, allowing her to focus more energy on photography.
In the spring of 1952, Vivian made a nearly “luxurious” decision: to spend half a month’s salary on a Rolleiflex twin-lens reflex camera. That day, she walked into a camera store in Midtown Manhattan, and her eyes were drawn to the Rolleiflex in the glass case—a black leather body, a metal shutter button, and a small, exquisite viewfinder on top. Most importantly, it used 120 medium-format film, producing sharp images, and the photographer did not need to hold the camera up to their eye; they could compose the shot using the top viewfinder—perfect for street candid photography, as it did not alert the subject, preserving the most natural moments.
As the shop assistant demonstrated the camera, Vivian ran her fingertips gently over the leather body, her eyes filled with longing. Half a month’s salary meant she would have to survive on bread and tap water for the next two weeks, but she did not hesitate. After paying, she walked out of the store with the camera in her arms; sunlight filtered through the leaves, casting a soft glow on the camera. From that day on, this Rolleiflex became Vivian’s “signature accessory”—she hung it around her neck with a brown leather strap that developed a patina over time, and the camera body grew smooth and warm from years of use, like a medal accompanying her on her street “campaigns.” Wherever she went, the camera pressed against her chest, as if beating in time with her heart.
A clerk from Central Camera later recalled Vivian to researchers: “That tall Miss Maier would come every Friday afternoon to buy film, without fail. She always asked for Kodak Tri-X 400 black-and-white film, saying it had high sensitivity and worked even on cloudy days. She didn’t talk much—she would just nod, take the film, and pay—but occasionally she would ask about developing techniques, like ‘how to bring out more detail in the shadows’ or ‘how to control contrast.’ Her questions were very professional; she seemed to know more than many professional photographers who came to buy expensive cameras.”
Vivian’s frugality was legendary among her employers’ circles. She never bought new clothes—her dresses were always washed until they faded, and her shoes were worn thin at the soles but still in use; she never ate snacks from her employers’ homes, always bringing her own sandwich for lunch; when employers tried to raise her salary, she would just shake her head and say, “This is enough.” But when it came to photography, she was surprisingly “generous”—not only willing to spend a large sum on a camera, but also regularly taking her film to professional labs for development, never cutting corners by developing it herself at home. Sometimes, when she encountered a scene she loved, she would shoot several rolls of film at once, fearing she might miss the perfect light. Behind this “contradiction” was the unshakable sacred status of photography in her heart—for her, clothes were fine as long as they were wearable, food was sufficient as long as it filled her stomach, but the moments captured on film were “treasures of time” that no amount of money could buy back.
During those years, New York’s streets became Vivian’s “private studio”: she photographed the sleeves of elderly men raised as they practiced tai chi in early-morning Central Park; she captured hurried passersby reflected in shop windows on Fifth Avenue in the afternoon; she shot the backs of couples walking hand in hand under the Brooklyn Bridge at dusk, as the setting sun dyed the river gold. Her Rolleiflex quietly captured these moments, and she herself became a unique sight on New York’s streets—a nanny with a camera around her neck, watching over children, her eyes focused, quietly documenting the joys and sorrows of ordinary people amid the city’s bustle. At the time, she had no idea that these negatives hidden in her camera would, decades later, astound the entire world of photography and make the name “Vivian Maier” unforgettable.
### 2.2 The Emergence of Street Narrative
In 1953 New York, post-war prosperity spread like sunlight breaking through morning mist—the aroma of espresso wafted from cafes in Greenwich Village, the lazy melody of jazz drifted from the streets of Harlem, and the bronze bull statue on Wall Street was surrounded by young people with dreams. Meanwhile, Vivian Maier, the nanny who cared for her employers’ children by day and spent her nights with her camera, wandered the city’s streets with her Rolleiflex, weaving her own visual whispers. She had no fixed shooting route; often, after finishing her housework, she would take off her apron, put on her dark coat, and wander aimlessly: at dawn, when the sky was still dim, she stood on the cobblestones of Greenwich Village, watching artists wrapped in wool scarves sit on café benches, cigarettes in their fingers, passionately debating T.S. Eliot’s poetry and Picasso’s new paintings; in the afternoon, when the sun was at its strongest, she squatted by a fire hydrant in Harlem, her lens following black children running through the spray—water droplets clinging to their curly hair like scattered diamonds; at dusk, she stood on a street corner in Wall Street, watching well-dressed office workers hurry past, briefcases in hand, the click of their leather shoes on the cobblestones echoing, fatigue still lingering on their faces. These seemingly casual candid shots hid countless hours of observation and adjustment—she would quietly shift her position to find the best angle, patiently waiting for the light to fall in just the right place, and only pressed the shutter when that “perfect moment” arrived.
*New York, 1954* is undoubtedly the most impactful masterpiece of this period. On the left side of the frame, a gentleman in a black tuxedo bends to get into a bright yellow taxi; his crisp clothes accentuate his tall figure, yet his black top hat, slipped from his shoulder in his hurry, reveals a flustered look in his eyes, and traces of fountain pen ink linger on his fingertips. On the right side, a ragged beggar leans against a dark green lamppost; his faded coat is covered in patches, his pants rolled up to his knees, revealing socks stained with mud. He clutches a half-bottle of cloudy beer, foam still clinging to the rim, his eyes staring blankly at passersby, as if separated from the bustling world by an invisible barrier. In the background, the windows of a department store are spotlessly clean, and mannequins in silver evening dresses strike elegant poses, their pearl necklaces glinting coldly in the light—a stark contrast to the hardship on the street. Vivian’s capture of the moment is breathtakingly precise—the folds of the gentleman’s clothes as he bends down, the calluses on the beggar’s knuckles, the curve of the mannequin’s skirt, and even the class divide seemingly frozen in the air, all immortalized as a wordless narrative in the instant she pressed the shutter.
Vivian’s works from this period already clearly displayed three distinctive creative traits that set her apart. First was her almost obsessive focus on “marginalized groups.” She never looked down on them from above, but quietly integrated into their world: in the alleys where Black people lived, she knelt down to chat with children playing marbles, pressing the shutter as they laughed; under the overpasses where the homeless slept, she left a bottle of hot coffee and photographed them from a distance, huddled under blankets; in the markets where immigrants gathered, she followed women carrying vegetable baskets between stalls, capturing their vivid expressions as they haggled. These figures, overlooked by mainstream society, never appeared humble in her lens; instead, they exuded a tenacious vitality. Second was her masterful use of “framed composition.” She excelled at using everyday street elements to create layers in her shots: photographing passersby through bus windows, the rain streaks on the glass adding a hazy filter to the image; framing an elderly man sitting on a bench through the gaps in a fence, the vertical lines enhancing the sense of depth; even using the doorframe of a store as a natural frame, subtly separating the bustle of the street from the quiet inside the shop. This compositional style made her works resemble carefully painted oil paintings while retaining the authenticity of street photography. Third was her keen eye for “accidental drama.” Unexpected moments in life were all excellent shooting materials in her eyes: in *Pedestrians in the Rain*, a little girl in a bright red raincoat skips past, and the splash of water from her skirt lands right at the feet of an elderly man in a black top hat—the contrast between red and black, the contrast between movement and stillness, filling the image with storytelling. On another occasion, a gust of wind lifted the floral scarf of a woman on the street,恰好 covering the face of the fruit vendor behind her; Vivian captured the moment the woman hurriedly pulled the scarf back, the arc of the fluttering scarf and the vendor’s half-exposed hand forming a charming slice of life.
It was also during this period that Vivian began her unique self-portrait practice—unlike most people who sought clear frontal shots, her self-portraits were always blurry and hidden, more like a form of “absent presence.” In *Shadow in the Mirror, 1955*, she stood in front of the window of a women’s clothing store, where several pink dresses were on display. Her reflection, dressed in a dark coat, overlapped perfectly with the mannequin in the pink dress in the window, making it impossible to tell which was the real her and which was the fake mannequin—only the black outline of the camera in her hand stood out sharply in the light and shadow. *Reflection on the Sidewalk, 1956* was even more poetic: the setting sun stretched her shadow long across the cobblestone sidewalk; she bent slightly, seemingly adjusting the camera settings, and the camera lens in her shadow pointed forward, as if while documenting the world, she was also confirming her own existence. This unique approach to self-portraiture mirrored her attitude toward life—always standing as an observer, eager to connect with the world yet deliberately maintaining a distance. As Peng Wei, the curator who later held an exhibition for her, put it: “Vivian’s self-portraits were never about showing herself, but about finding herself. She used shadows and reflections to confirm ‘I am here,’ yet through this subtle way, she guarded her inner loneliness.”
### 2.3 A Hidden Inner World
In late 1940s New York, day and night were like two separate canvases spread across Vivian Maier’s life. By day, she was “Miss Maier” in a brownstone apartment off Fifth Avenue—wearing a stiffly starched white apron, her hair neatly combed, the scent of baby formula or lemon-scented cleaner lingering on her fingertips. The employer’s living room featured oil paintings in gilded frames, the dining table was set with silverware, and the children crowded around her, shouting, “Miss Maier, tell us a story!” Yet no one knew that this quiet nanny, who always tidied up toys and ironed shirts without a single wrinkle, carried a small Rolleiflex camera in her pocket, and inside the lens cap lay another world.
She would sneak shots of the bedsheets hanging to dry on the apartment building across the street through the kitchen window while changing the baby’s diaper—the wind billowing the white cloth like a flock of pigeons perched on the balcony. While taking the children for a walk in Central Park, she would crouch down to photograph an elderly man napping on a bench when the children chased after butterflies; the old man’s cane leaned against the bench, and sunlight sprinkled fine spots of light on his gray hair. Her shooting was always imperceptible—she raised the camera quickly and gently, as if merely brushing dust off her sleeve. Only the soft “click” of the shutter drifted away on the wind, soon drowned out by the children’s laughter. Her employers only thought she was “too quiet”: she always sat in the corner during meals, never joining in family conversations; she never went out on her days off, staying cooped up in the maid’s room, no one knowing what she did. When asked about her background, she would only say, “I spent a few years in France,” and say no more—they never suspected that this “unsociable” nanny was guarding a burning secret at night.
Vivian’s rented attic was on the top floor of an old building in Brooklyn, accessible only by climbing six flights of creaky wooden stairs. The hallway always smelled of the sweet-sour aroma of tomato sauce from the Italian family next door. The attic had no running water, faint mold spots covered the walls, and the only window faced west, catching a streak of orange sunset in the evening. Yet this cramped little attic was transformed into her private darkroom: the cast-iron bathtub in the bathroom was covered with a black waterproof cloth and filled with developer mixed to the correct ratio; negatives swayed gently in a clear glass tray, like a swarm of silver-gray butterflies slowly unfurling their wings. Thick towels were stuffed under the door, and even the window was covered with three layers of black paper to block out any trace of light—only a red safe light illuminated the darkroom, casting a dim red glow on Vivian’s face, highlighting the small shadows of her eyelashes under her eyes. Wearing rubber gloves, she held the edges of the negatives between her fingertips, watching the images gradually emerge in the developer: the elderly, children, and street newsstands she had photographed during the day came to life in the red glow, and the overlooked details—the wrinkles at the corners of the old man’s eyes, the bread crumbs on the child’s lips, the curled edges of the newspaper headlines at the newsstand—suddenly became clear and tender. A clothesline stretched from one end of the attic to the other, strung with wet photos; water droplets fell to the floor with a soft “tap-tap,” mixing with the occasional rumble of streetcars outside, forming the only rhythm of the night.
Vivian’s social circle was like being enclosed in an invisible glass cover—others could not get in, and she would not go out. No neighbor ever saw her shopping with anyone; her name never appeared on the church’s worship list; she rarely wrote even to her relatives in France. In the summer of 1951, she met her mother Maria once on the beach in Southampton—it was a windy afternoon, and the beach umbrellas were blown askew. Maria wore a faded blue dress, more gray in her hair, clutching a cloth bag containing French chocolates she had brought for Vivian. Vivian took three photos of her mother: the first showed Maria sitting on the beach, gazing at the distant waves, the wind pressing her dress to her legs; the second captured her bending down to unwrap a chocolate, her knuckles white from the effort; the third was a profile shot, sunlight falling on her nose, weariness hidden in the wrinkles at the corners of her eyes. These three photos were later tucked into an old French poetry collection, with no name on the title page, only a faint crease—no one knew what they had talked about that day, only that it was the last time mother and daughter would meet. In the late autumn of 1958, news of Maria’s death arrived from Paris; Vivian was caring for a newborn in Chicago at the time. She took the telegram, glanced at it, folded it up, and tucked it into her apron pocket, then continued changing the baby’s diaper. When her employer asked, “Did something happen at home?” she shook her head and said, “Nothing,” her tone as calm as if commenting, “It’s a bit cold today.” Only at night, back in her rental room, did she take out the three photos from a tin box and stare at them for a long time under the red safe light, her fingers gently brushing her mother’s face, yet not a single tear fell—the wounds from her childhood were too deep, leaving her used to wearing silence as armor, even hiding her sorrow in the shadows of the darkroom.
To protect this loneliness, Vivian gradually learned to “invent identities.” This was not deception, but rather a form of self-protection. When taking the children to Central Park, if other parents asked, “You don’t seem like a local,” she would tilt her chin slightly and say in English with a French accent, “I’m a journalist from Paris, here to research folk customs in New York,” and even pull out a small notebook from her pocket, pretending to jot down the children’s game rhymes. When buying bread at the grocery store, if the shopkeeper wondered why she always came in the evening, she would smile and say, “I’m writing a book about the city at night, so I need to observe the streets at different times.” She deliberately retained her French accent—it was the mother tongue her mother had taught her, and now it became a “disguise” to keep others at a distance; her small notebook contained little more than a few hasty sketches of street lampposts or stray cats. Tom, a boy she had cared for, later recalled: “Miss Maier was like a book sealed with wax. She knew all our secrets—the marbles I hid in the closet, my little sister’s fear of the dark—and she never told anyone. But when we asked her, ‘Do you have a family?’ or ‘Where did you live before?’ she would just smile and change the subject, like closing a book to keep us from seeing what was inside.”
Only her camera could pry open a crack for her to communicate with the world. Among the many notebooks she left behind was one with a blue cover, its pages yellowed with age. On one page, written in pencil in French, the handwriting slightly heavy, the ink faintly smudged, were the words: “The camera is my eye; it allows me to see things that cannot be seen.” This sentence was her creed—she photographed beggars hiding under eaves in the rain not out of pity, but because she noticed the half-wilted rose clutched in their hands; she photographed street sweepers cleaning alone late at night not just to document, but because she captured the fleeting tenderness in their eyes as they looked up at the moon; she photographed mannequins in shop windows not for aesthetics, but because in their poses, she saw the same “loneliness” as her own.
She never cared whether her works would be seen. Most of the time, after shooting, she would tuck the negatives into tin boxes and hide them in a wooden chest under her bed—these boxes were labeled simply, such as “March 1952, Park” or “Winter 1954, Snowy Day,” but rarely developed. When asked later why she did not display her photos, she wrote a vague answer in her notebook: “When the shutter is pressed, the story is already over.” For her, photography was not about fame or recognition, but about “capturing the moment”—moments that others might dismiss as ordinary, but in her lens, became eternal secrets. Under the red light of the darkroom, as she watched the images on the negatives gradually become clear, it was as if, in the darkness, she had finally touched the warmth of the world.
## Chapter 3: Chicago’s Golden Age (1956–1972)
### 3.1 Seventeen Years of Stability with the Gensburg Family
In 1956 Chicago, autumn dyed the leaves of the sycamores along Lake Michigan in varying shades of gold and red. Street newsstands were stacked with freshly printed copies of the *Chicago Tribune*, and the smell of ink mixed with the caramel scent of the autumn wind drifted into Vivian’s rented apartment. That morning, as she flipped through the classified ads as usual, an unremarkable notice caught her eye: “Nanny wanted for three boys, fluent in French preferred, responsible.” The signature read: “The Gensburg Family.”
Before this, Vivian had worked as a laundress and a waitress, moving between different employers, never holding a stable job for more than two years. French was the mother tongue taught to her by Maria, and composure was a trait engraved in her by her turbulent childhood—when she saw the words “fluent in French,” her fingertips paused, as if grasping a rope to anchor her life. She took out a beige shirt she had tucked away at the bottom of her suitcase, ironed it carefully, polished her only pair of shoes that were not too worn, and walked toward the Gensburg home in the Highland Park neighborhood.
The Gensburg house was hidden behind a dense grove of oak trees, its light brown wooden exterior covered in ivy, the front lawn neatly trimmed, and two potted chrysanthemums in full bloom on the porch. Answering the door was Ellen, the mistress—a university teacher wearing wire-rimmed glasses and a wool dress—with her husband Bernard standing behind her, dressed in a suit, his eyes gentle yet sharp with the discernment of a lawyer. Vivian’s interview involved no lengthy questioning: Ellen asked about her childhood in France, and she spoke calmly of the pastures and streams of Saint-Bonnet; Bernard asked how she viewed “caring for children,” and she replied, “It’s not just about watching them grow up, but also about helping them see the world.” This answer made a spark of surprise flash in Ellen’s eyes—in 1950s America, most nannies saw “watching children” as a mechanical job, but Vivian’s response revealed a rare depth of thought. At the end of the interview, Ellen smiled and said, “Miss Maier, come to work tomorrow—your room is ready.”
Highland Park was a typical middle-class neighborhood in Chicago’s northern suburbs. Every street was paved with smooth asphalt; in the afternoons, neighbors often pushed strollers for walks, and children chased each other on the lawns by the roadside, the air filled with the sweet aroma of baked cookies. The room the Gensburgs prepared for Vivian was on the east side of the second floor, with a south-facing window that flooded most of the room with sunlight, and an en-suite bathroom—a rarity among nannies at the time, as most employers only let nannies live in attics or storage rooms, let alone providing a private bathroom.
A week later, Vivian hesitated to make a request to Ellen: “I want to convert the bathroom into a darkroom. It won’t disturb anyone, and I’ll cover all the costs myself.” She expected to be refused, as a darkroom required permanent darkness and would smell of developer. But Ellen only paused for a moment, then turned to Bernard and asked, “Honey, what do you think?” Bernard smiled and nodded: “As long as it doesn’t interfere with taking care of the children, it’s fine.”
Before long, the small bathroom was transformed: the window was sealed tightly with thick black cloth, the walls covered with corrosion-resistant plastic sheets, and a wooden darkroom workbench stood in the corner, holding developing trays, fixer, a thermometer, and a paper cutter. The red safe light was bought by Vivian specially from a photography supply store; every night, this red light would stay on until dawn, like a beating heart, illuminating her hands as she swayed the negatives in the developer. The sour smell of developer drifted through the door crack into the hallway, and the Gensburgs’ three boys—7-year-old John, 5-year-old Michael, and 3-year-old Thomas—were always curious to peek through the door crack, only to be sternly stopped by Vivian: “No one can come in here—it would ruin all the photos.” Though confused, the children obeyed, and only when the red light went out would they dare to approach and ask, “Miss Maier, did you take more beautiful photos?”
“Miss Maier was the best nanny, but also the strangest,” John, the Gensburgs’ eldest son, recalled years later in a documentary, his eyes filled with nostalgia. She was “the best” because she never restricted the children’s freedom like other nannies: she took them to the Art Institute of Chicago, standing in front of Monet’s *Water Lilies* to teach them to distinguish the changes of light and shadow on the water; she spread paint and paper on the lawn, letting them create freely, even if they got paint all over themselves; she read French fairy tales to them, imitating the characters in fluent French, making the children laugh aloud.
She was “strange” because she always took the children to places they “shouldn’t go”—the slums on Chicago’s South Side. The houses there were dilapidated, the walls covered in graffiti, and homeless people often huddled in the corners of the streets. Every time they went, the children would cling tightly to Vivian’s hand and whisper, “Miss Maier, this place is scary—why are we here?” Vivian would kneel down, looking the children straight in the eyes, her tone calm yet firm: “The real world has never been just one way. You live in a house with a lawn and heating, but there are many people who don’t even have a stable bed. Remember this, and you will learn to cherish what you have.” Once, John saw a little boy running barefoot on the street; Vivian took a pair of Thomas’s old shoes from her bag and told John to give them to the boy. That night, John asked, “Will that little boy be happy?” Vivian patted his head: “You helped him, and that makes you happy—that’s enough.”
Amid caring for the children, Vivian never put down her camera. Every morning, she woke up an hour early, put on her dark coat, and walked along Lake Michigan to take photos. At that time, the lake was still shrouded in a thin layer of morning mist, and the early joggers, elderly fishermen, and mothers pushing strollers all became the subjects of her lens. She got used to covering half her face with the camera, observing the world through the viewfinder; the “click” of the shutter was drowned out by the wind and the sound of water, and no one noticed this quiet nanny quietly documenting the city’s awakening.
Weekends were her “photography days.” She would carry a backpack full of film and take buses alone across Chicago—from the mansions in the North Shore wealthy district (where mistresses in mink coats walked purebred dogs), to the bustling streets of the Loop (where office workers hurried past, neon lights reflecting off glass facades), to the slums on the South Side (where children played soccer in empty lots piled with garbage, and the elderly sat on dilapidated porches in the sun). She never staged shots, only quietly following her subjects and pressing the shutter at the most natural moment. The Gensburgs were very understanding, even allowing her to take the camera with her when she took the children to the park: “As long as you can keep an eye on them, there’s nothing wrong with taking photos.” Once, Thomas ran far away chasing a butterfly in the park; Vivian called his name while not forgetting to lift her camera and capture the moment his coat fluttered as he ran and his smile in the sunlight.
Her years with the Gensburgs were the most financially stable and creatively productive period of Vivian’s life. Before this, she could only save up for the cheapest film, sometimes even reusing expired rolls; now, she received a steady monthly salary, which allowed her not only to afford plenty of film, but also to buy a Rolleiflex 3.5F camera from a photography supply store in the winter of 1959. This was one of the most popular cameras among street photographers at the time, with a black leather body that exuded a delicate luster, and a high-quality 80mm lens that captured exquisite details—whether the wrinkles on a homeless person’s face or the patterns on a wealthy person’s shirt, all were clearly visible on the negatives. Vivian cherished this camera, carrying it everywhere; even when cooking for the children, she would place it on the kitchen windowsill, fearing it might get bumped.
In the early 1960s, while most street photographers still used black-and-white film, Vivian began experimenting with color photography. At the time, Kodak color film not only had low sensitivity (only ISO25), requiring long exposure times, but also cost three times more than black-and-white film. But Vivian didn’t care—she would plan her shooting routes in advance, go out in the afternoon when the light was most abundant, and patiently wait for the perfect light and shadow. She photographed the red autumn leaves along Lake Michigan, the red maple leaves falling on the green grass like scattered embers; she captured the fruit stalls of street vendors, with yellow bananas, red apples, and purple grapes piled together, exuding the vibrant vitality of life; she even photographed children in the slums, wearing faded colored shirts, laughing in the sun, their faces stained with dirt yet full of innocence.
In just a few years, she shot thousands of color negatives. When these negatives were later discovered, even professional photography critics were amazed—at a time when color photography was still uncommon, Vivian had already used color to capture the warmth of the city. Her color works did not pursue bright, garish tones, but instead used subtle color transitions to reveal the poetry in the everyday lives of ordinary people. No one knew why she insisted on shooting in color—perhaps because her memories of Saint-Bonnet were filled with the white of apple blossoms and the red of cherries; perhaps because she wanted the marginalized people she photographed to have more vivid images. But what is certain is that these color negatives made her one of the earliest artists to explore color street photography, leaving a valuable record of the era for later photographers.
During her 17 years with the Gensburgs, Vivian was both the “strange yet warm” Miss Maier in the children’s eyes and a silent creator in the darkroom. She used her camera to document the alternation of day and night in Chicago, and in her own way, guarded the order and passion in her heart—those negatives hidden in the darkroom were like secret letters she wrote to the world, waiting to be discovered and understood years later.
### 3.2 Peak Works of Street Photography
The 16 years from 1956 to 1972 marked the golden age of Vivian Maier’s photography career. As Chicago’s morning light glided over the surface of Lake Michigan time and time again, and as the leaves of the street sycamores turned green, yellow, and fell, she carried her black Rolleiflex 3.5F camera and used nearly 80,000 negatives to stitch together a detailed “time capsule” of 1960s America. Eighty thousand—behind this number was her persistence in pressing the shutter an average of 13 times a day: on early-morning buses, in slums in the afternoon, on park benches at dusk, she was like a silent hunter, always alert to the “moments of truth” hidden in the folds of everyday life. Her lens was never merely a tool for documentation, but more like a sharp scalpel, gently cutting through the glossy surface of American society to reveal the undercurrents of the civil rights movement, the remnants of gender discrimination, and the poverty lurking behind economic prosperity—all laid bare on film without concealment.
Among Vivian’s many series, *Chicago, 1959* is the most impactful—without grand narratives, it uses two small scenes to lay bare the pain of racial division in America at the time.
The background of the first photo is a main road in Chicago’s Loop district. The road had just rained, leaving shallow puddles that reflected the street lamps. In the center of the frame, a Black woman wrapped her hair in a floral scarf and held a sleeping baby in her arms; the baby’s small face was tucked against her chest, and its tiny hand clung tightly to the hem of her clothes. She walked in a hurry, her body leaning slightly forward, yet her eyes involuntarily glanced to the right—where a white policeman stood with his hands behind his back, his uniform buttons fastened tightly, his gaze sweeping over her like a cold light. More ironically, behind the woman, a huge billboard bore the bold white words “Freedom and Equality, the Soul of America,” its red background standing out sharply on the rainy day. The moment Vivian pressed the shutter, the woman’s panic, the policeman’s indifference, and the billboard’s slogan formed a sharp contrast against the wet street scene, as if a wordless accusation: Who is excluded from this so-called “freedom and equality”?
The other photo turns its lens to a park fountain. Midsummer sunlight filtered through the sycamore leaves, casting dappled light on the ground; the fountain’s water splashed upward, creating tiny rainbows. Two schoolgirls knelt by the fountain, plastic shovels in their hands, splashing water at each other. The white girl on the left had neatly combed pigtails, a bow tied at her collar, and a pair of beige lace gloves on her hands—even while playing in the water, she maintained a refined dignity. The Black girl on the right had two loose braids, the cuffs of her school uniform frayed, and her bare feet stepped on the wet stone slabs, with small grains of sand between her toes. Vivian did not photograph their faces, but focused on the detail of “gloves” and “bare feet”: one symbolized protection and class, the other symbolized vulnerability and reality. There was no intense conflict, no deliberate sentimentality, yet the hidden racial divide became as clear as the fountain’s spray in the viewer’s mind.
Vivian’s greatest strength was capturing “unpolished moments”—not forced smiles or carefully arranged poses, but the expressions that revealed the true essence of life, inadvertently revealed by people. These expressions spoke volumes about the joys and sorrows of life more than any words.
*Tired Mother, 1962* was shot in a community park on Chicago’s South Side. The bench in the photo was made of iron, its paint chipped to reveal rusty metal underneath. The young mother wore a faded blue dress and held a sleeping child in her arms; the child’s small head rested on her shoulder, and saliva soaked her collar. Her back was slightly hunched, as if weighed down by life; she did not look at the child in her arms or the surrounding scenery, but stared blankly at the distant bus stop. Sunlight fell on her face, clearly revealing the fine lines at the corners of her eyes and mouth—these were not marks of time, but the traces of years of late nights, rushing around, and anxiety. Her right hand rested on her leg, her knuckles somewhat swollen, with a trace of flour still under her nails; perhaps she had just finished work at a bakery and rushed to the park to soothe the child to sleep. Vivian stood not far away, quietly freezing this moment with a telephoto lens—there was no sympathetic perspective, no deliberate exaggeration, just an objective record of a mother’s exhaustion, yet everyone who saw this photo was reminded of the similar look in their own mother’s eyes.
*Street Performer, 1965* turned its lens to the streets of Chicago’s Loop district. A blind musician sat on a tattered wooden box, wearing a black coat with holes at the elbows, revealing the gray wool underneath. His eyes were covered with a yellowed white cloth, and he held an old guitar in his hands; his fingers moved skillfully over the strings, which had lost their luster in places from years of use. Strangely, his face showed no expression—no immersive rapture, no expectation of passersby, no sorrow for life—like a silent statue. Only the empty tin can at his feet betrayed his situation: the can was made of iron, printed with the words “tomato soup,” and only a few scattered coins lay at the bottom, glinting faintly in the sun. Occasionally, when a passerby walked by, his fingers never paused, and the sound of the strings seemed especially lonely amid the bustling street. Vivian stood across the street, watching him play for a full ten minutes, until a little girl dropped a fifty-cent coin into the can—and it was at that moment that the corner of his mouth twitched slightly—that Vivian pressed the shutter. This photo, without fancy techniques, used an “expressionless” expression to convey the numbness and stubbornness of those at the bottom of society in the face of survival.
In 1960s America, most street photographers were obsessed with black-and-white film—they believed black-and-white better emphasized the contrast of light and shadow and better expressed the seriousness of society. But Vivian chose to go against the trend; defying the challenges of low-sensitivity (only ISO25), high cost, and difficult development of color film, she used thousands of color negatives to open up a new world for street photography. Her color works were never about showing off technical skills through color; instead, she used color to tell stories and convey emotions.
*Red Dress, 1961* was shot on an old street in Chicago. The buildings on both sides of the street had gray-black brick walls and white wooden window frames, which had turned beige from years of wind and sun, with a few faded posters pasted on the walls. In the center of the frame, a woman stood with her hands behind her back on the street corner; she wore a bright red dress that reached her knees, made of cotton fabric, fluttering slightly in the wind. Her hair was styled in the popular big waves of the time, held back with a black hairpin, and she wore a pair of black high heels—not too high, yet they gave her posture a touch of elegance. Vivian chose to shoot around three o’clock in the afternoon—at this time, the sun slanted across the street, stretching her shadow long; the red dress, set against the gray-black buildings, was like a flame, instantly becoming the visual focus of the image. The woman did not look back or at the camera, but stared at the distant street corner, as if waiting for someone. The passion of the red contrasted with the dullness of the buildings, highlighting the woman’s vitality while hinting at her loneliness in the dull environment—Vivian used color to hide the thoughts of an ordinary woman in the light and shadow of the street.
*Store Window After Rain, 1964* demonstrated her unique understanding of “overlapping aesthetics.” After the rain, puddles still dotted the street, and the store window glass was covered with fine water droplets, blurring the goods inside. Vivian stood across the street, allowing the scene inside the window to overlap with the street scene on the glass: several colored dresses—pink, blue, yellow—hung inside the window, and the mannequins wore stiff smiles; outside, a man holding a black umbrella walked past, water dripping from the umbrella’s edge, and in the distance, a yellow taxi drove by, its body reflecting the window’s lights. The water droplets on the glass formed a natural filter, blending the brightness inside the window with the calmness of the street scene, like a dreamlike overlap—as if reality and ideal were separated by nothing but a sheet of glass. Using color film, Vivian accurately captured this “interplay of reality and illusion,” and without deliberate color adjustments, every color perfectly conveyed emotion.
Later, the famous photography master Joel Meyerowitz, upon seeing these color works, sincerely commented: “Vivian’s color works are full of poetry; she was a pioneer of color street photography. At a time when color film was still regarded as ‘amateurish,’ she used color to prove that the street contains not only cold reality, but also romance hidden in everyday life.”
Among Vivian’s 80,000 photos, nearly 200 are self-portraits. Unlike other artists who pursued exquisite compositions or distinct personalities, these self-portraits are full of “concealment” and “metaphor”—she rarely revealed her full face, always hiding herself in the corners of the frame with hats, shadows, cameras, or mirrors, as if telling the world: “I am a recorder, not a participant.”
*Self-Portrait in the Mirror, 1963* was shot in the bathroom darkroom of the Gensburg home. The mirror was a rectangular piece of glass hanging on the wall, with slightly worn edges, and several black-and-white photos Vivian had developed were pasted next to it. She stood in front of the mirror, wearing a dark coat and a wide-brimmed black hat; the shadow of the hat covered half her face, revealing only her sharp jawline and a hint of her lips. She held her Rolleiflex 3.5F camera in her hand, its lens facing the mirror, occupying the center of the frame—the glass of the lens reflected her image in the mirror, creating a “mirror within a mirror” effect. Her eyes, through the shadow of the hat, looked toward the lens—no confusion, no ostentation, only a calm determination. This self-portrait was like a declaration of her identity: the camera was her eye, a bridge connecting her to the world, and photography had long become an inseparable part of her life.
*Shadow Self-Portrait, 1967* was even more creative. One afternoon, Vivian was walking along a graffiti-covered street on Chicago’s South Side; the setting sun stretched her shadow long, casting it on a wall covered in colorful graffiti. The graffiti depicted a cartoon character grinning widely, holding a red flower in its hand. Vivian stopped, adjusted the angle of her camera, and overlapped her shadow with the cartoon character—her shadow wore a wide-brimmed hat and held a camera, and the flower in the cartoon character’s hand landed right next to her shadow, as if a gift she had “given” to the cartoon character. Sunlight filtered through the sycamore leaves, casting fine spots of light on the shadow, adding a touch of vitality to the overlapping image of reality and illusion. In this self-portrait, she revealed no part of her body, expressing herself solely through her shadow—her shadow was “reality,” the graffiti was “illusion,” and by placing herself on the “boundary between reality and illusion,” she mirrored her position in life, always standing on the “boundary between observer and participant.”
These self-portraits were more than just records of Vivian—they were metaphors for the world: throughout her life, she remained a “silent observer,” embracing the world through her lens yet deliberately keeping her distance. She sought no fame or fortune, no understanding; she only wanted to stand behind the lens, quietly watching the joys and sorrows of the world, then sealing them away in negatives, waiting for time to unlock them.
The 16 years of creation from 1956 to 1972 transformed Vivian from an ordinary family nanny into an “invisible master” in the history of street photography. Her 80,000 photos were not cold film, but warm memories of an era—containing the pulse of 1960s America, the joys and sorrows of ordinary people, and a woman’s unwavering passion for photography. It was only years later, when these negatives were accidentally discovered, that people realized: in that era, there was such a silent observer who, through her eyes, preserved the truest face of a time for us.
### 3.3 Expanding Horizons Through Global Travel
In the early spring of 1959, with the air in Chicago still carrying a hint of chill, Vivian Maier clutched her savings from three full years of vacation as a full-time nanny and stood on the platform of Union Station. Her days had always revolved around her employers’ children, housework, and moments on the city streets, but now, her suitcase contained not only a few changes of clothes, but also three polished cameras—a Leica rangefinder, a Rolleiflex twin-lens reflex, and the old folding camera once used by her most cherished Jeanne Bertrand. This was her first true “escape” in life, her destination spanning Europe, America, Asia, and Africa, and her lens was about to break free from the concrete jungle of American cities for the first time, to touch the distant warmth of human life.
Vivian’s first stop in 1959 was the French town of Saint-Bonnet—the only place that had brought her warmth in childhood, nestled at the foot of the Alps. When she walked along the cobblestone path to her grandmother’s Beaujolais estate, the sight brought tears to her eyes: the cherry trees that had once been heavy with fruit were long withered, their trunks covered in moss; Monsieur Dupont the carpenter’s workshop had become a hayloft, its wooden door hanging askew on its hinges; the stone by the stream where the peasant women’s laughter had once echoed now sat alone, submerged in murky water. She raised her Rolleiflex, aiming the lens at the barren fields and the dilapidated estate walls; sunlight filtered through the clouds, casting dappled shadows on the ground, like blurry fragments of memory. Her fingertips trembled slightly as she pressed the shutter—this photo, later titled *Grandmother’s Estate, 1959*, lacked the brightness of her childhood, yet hid the gentlest sigh for the passage of time, becoming a hidden footnote to her reconciliation with her past.
Leaving Saint-Bonnet, she traveled south to Rome, Italy. In St. Peter’s Square, she stood under Bernini’s Colonnade, watching two overlapping “scenes” unfold before her: on the left, an elderly woman wrapped in a dark wool coat knelt on the stone slabs, her hands clasped around a cross, her forehead pressed to the ground, and morning dew gathered in the wrinkles of her devout face; on the right, a group of American tourists held colorful tour flags, children chasing each other among the colonnades, some exclaiming loudly at the dome of St. Peter’s Basilica, the click of camera shutters echoing constantly. Vivian quietly stepped into the shadow of the colonnade, adjusted her Leica to a 50mm focal length, and used a low-angle composition to frame these two seemingly disconnected scenes in a single frame—the elderly woman’s serenity and the tourists’ bustle, the solemnity of faith and the liveliness of the secular world, balancing each other wonderfully in the sunlight. This photo, *St. Peter’s Square, 1959*, was later regarded by researchers as the beginning of her “contrast aesthetics,” and on the back of the photo, she wrote only a small line: “Everyone is searching for something.”
In the late autumn of the same year, Vivian arrived in Cairo, Egypt. When the outline of the pyramids gradually became clear in the desert dawn, she almost ran toward the huge stone blocks—not to marvel at the grandeur of the architecture, but to focus on the camel driver at the base of the stones. This was a middle-aged man with dark skin, wearing a faded woolen robe with frayed collars and cuffs; he waited for tourists while holding a camel’s reins, his rough palms gently stroking the camel’s mane, yet his eyes wandered to an old Ford car driving past on the distant road. Vivian knelt on the sand, adjusting the exposure using the shadow of the pyramid, and pressed the shutter the moment the camel driver looked up at the car—in the frame, the ancient pyramids, the traditional camel driver, and the modern car overlapped in the yellow sand, as if spanning a thousand years of time. On the back of this photo, *Camel Driver at the Pyramids, 1960* (note: the original text dates this to 1960, presumably spanning the end of the year), she drew a small camel and wrote next to it: “Time in the sand.”
Her 1960 trip to Asia was considered “bold” among Western photographers of the time—the Iron Curtain of the Cold War was at its thickest, and many Asian countries imposed strict restrictions on Western tourists. Yet driven by her obsession to “only photograph ordinary people,” Vivian traveled to India, Thailand, Vietnam, and finally Beijing, China, becoming one of the few Western photographers able to document the streets of Beijing in that era.
In India, she devoted most of her time to the Ganges River. To capture the Ganges morning bath ritual, she would get up in the dark at 3 a.m. every day and take a rickety 人力车 (rickshaw) to Varanasi. By the time the first faint light pierced the mist over the river, she was already standing on the stone steps along the bank, watching as devotees carrying brass pots stepped into the water. Their hands clasped in prayer, they chanted scriptures silently, while smoke from the funeral pyres on the shore curled upward, intertwining with the mist. Refusing to disturb this tranquility with her flash, she set her camera’s ISO to the lowest level and used a slow shutter speed to capture the gentleness of the flowing water and the swaying figures of the devotees. The people in her photos looked like silhouettes immersed in milk, radiating a sacred sense of haziness. To buy enough film, she even spent the money she had saved for a hotel and stayed overnight at a riverside temple for two nights— the monks provided her with simple vegetarian meals, and in return, she took a few Polaroid photos of them as a token of gratitude.
Upon arriving in Beijing, Vivian deliberately changed into a plain cotton dress, trying her best to blend in with the street crowds. Carrying a cloth bag with her camera inside, she wandered slowly through the hutongs: moss crept up the weathered gray walls, and elderly people sat on small stools at the base of the walls, soaking up the sun; passersby in coarse cotton blue jackets hurried past, their cuffs frayed white; tricycle drivers hunched over, sweat dripping down their necks into their collars, while children returning from school sat in the carts, clutching rock sugar hawthorns. She never approached anyone actively, but stood at a distance, waiting for the perfect frame to form naturally— for instance, when a child lifted a rock sugar hawthorn to their mouth, or when a driver stopped to wipe his sweat— she would quickly raise her camera, the shutter of her Leica as soft as a breath. In the surviving Beijing Hutongs, 1960 series, there are no political symbols— only blue cotton bed sheets hanging in the hutongs, stray cats huddled at the base of walls, and red lanterns hanging at doorways. These most unadorned daily scenes became "living fossils" for later studies on the daily life of Beijing residents in the 1960s, as few Western photographers could document the lives of ordinary people "without bias" in that era.
In Bangkok, Thailand, she was caught in a sudden downpour. At the time, she was photographing fruit stalls in a market when raindrops the size of beans began to pelt down. Stall owners hurried to pack up their goods, and passersby scattered to take shelter. Instead of running for cover, Vivian hid under the eaves of a fabric shop, fixated on the light and shadow in the rain curtain— the downpour had washed the market’s colors into vivid brightness: red mangoes, green limes, and stalls draped in patterned cloth glistened in the rain. Occasionally, sunlight would break through gaps in the clouds, casting a rainbow on the waterlogged ground. She waited for nearly an hour until the rain lightened, then rushed into the market immediately, her lens focused on a stall owner who was covering his fabrics with a plastic sheet. Raindrops dripped from his hair onto his face, yet he smiled at the camera. This photo, Bangkok Market in the Rain, later became a classic among her travel works— the raindrops are clearly visible, and the man’s smile carries the warmth of everyday life, with none of the embarrassment usually associated with heavy rain.
Throughout her journey, Vivian maintained the frugal habits she had developed during her days as a nanny. In Paris, she stayed in a tiny 6-square-meter hotel room in the Latin Quarter; the staircase was so narrow that only one person could pass at a time. Besides a single bed, the room had only a small table with chipped paint, and she could only use a bedside lamp for lighting at night. In Cairo, she spent no more than $5 a day on meals— often a piece of bread and a bowl of chickpea soup, with an occasional string of roasted corn as a treat. In India, she even walked over ten kilometers to photograph a village market just to save on transportation costs.
Yet when it came to film, she was surprisingly "extravagant." Whether it was Kodak color film bought in Rome or Fuji black-and-white film purchased in Tokyo, she never cared about the price— whenever she saw a scene she liked, she would press the shutter without hesitation, sometimes using up two rolls of film in a single day. In Bangkok, she noticed that some local film rolls were nearing their expiration date, and the shopkeeper offered to sell them to her at a low price. However, she refused firmly, insisting on paying twice as much for fresh film: "Moments only happen once; you can't waste them on expired film." This attitude— "frugal with herself but extravagant when it came to photography"— ran through her entire journey and epitomized her photography career: she never cared about her own quality of life, yet poured all her care and attention into the world she captured through her lens.
At the end of 1960, Vivian returned to Chicago with a suitcase full of film and a body worn out from exhaustion. As she developed her travel photos one by one in the darkroom— gazing at the desolation of the Château de Saint-Bonnet, the contrasts of St. Peter's Square, and the everyday scenes of Beijing’s hutongs— she suddenly realized: photography is not just about recording "what is seen," but more importantly, about reflecting on "what lies beneath." This realization brought about a subtle yet profound change in her work after her return.
She began to shift her lens from "people on the street" to "the relationship between people and the city." In the spring of 1961, she photographed Skyscrapers and Sparrows, 1961 on Michigan Avenue in Chicago— the main subject was the glass curtain wall of Chicago’s John Hancock Center; the massive building glowed with a cold light in the sun, while in the shadow cast by the structure, a tiny sparrow landed on the sidewalk, pecking at bread crumbs. She used a wide-angle lens to exaggerate the "immensity" of the skyscraper and the "tininess" of the sparrow, creating a stark contrast between the sky reflected on the glass curtain wall and the shadows on the ground. Though there are no people in this photo, traces of humanity are everywhere— the skyscraper symbolizes human civilization, while the sparrow represents nature. Their coexistence hints at the "alienation between humans and nature" in the process of urbanization, and also embodies her reflection on "humanity's place in the times": just like that sparrow, do we too feel lost in the face of such enormous buildings?
Later, she created more works such as Park Bench and High-Rises and Wildflowers by the Railroad Tracks. In Park Bench and High-Rises, an elderly man sits on a bench with his back to the skyscrapers behind him, his hands resting on his knees, staring blankly into the distance— the shadows of the tall buildings almost completely enveloped him. In Wildflowers by the Railroad Tracks, a few yellow wildflowers grow in the cracks of the railroad tracks, while factory chimneys belching black smoke loom in the distance; the fragility of the wildflowers and the rigidity of the factory form a striking contrast. These works are no longer simple "moment captures," but rather in-depth reflections on urbanization, industrialization, and the relationship between humans and nature. Her lens shifted from "recording life" to "interpreting the times"— this transformation elevated her photography from "street snapshots" to the level of "humanistic documentary," laying the groundwork for her later reputation as "one of the greatest street photographers of the 20th century."
No one knew that the nanny who pushed a stroller every day and raised a camera in her spare time was quietly documenting the face of the world. She left no diaries of her journey and shared her experiences with no one— only stacks of film hidden in a box. It was not until decades later, when these films were discovered, that people could finally look through her lens and see the most authentic joys, sorrows, anger, and delights of ordinary people across different countries and cultures in that bygone era.
Chapter 4: Wandering and Persistence (1972–2007)
4.1 A Wandering Later Life
In Chicago in 1972, the early summer wind still carried a faint chill. Vivian Maier packed her suitcase and stood at the door of the Gensburg house—a home where she had lived for 17 years. She had been a silent observer of this family, wiping countless dishes with her apron and secretly organizing her camera under the kitchen light late at night. Now, her suitcase held no valuables—only a few faded clothes, three cameras of different models, and a stack of film wrapped in brown paper. The Gensburgs’ matriarch offered to keep her for a farewell meal, but she only shook her head gently: "No need. The next family is waiting for me." As she turned to leave, her silhouette looked unusually thin in the sunlight. At 46, she was already used to carrying "home" in her suitcase—yet she had no idea that this wandering life, framed by her work as a nanny, would last for 25 years.
In the years that followed, Chicago’s neighborhoods became her mobile homes. She worked for 12 families in total, never staying with any for more than 3 years—sometimes because employers couldn’t tolerate her "eccentricities," sometimes because she herself felt "the light here isn’t right," and quietly packed her bags to leave. Employers’ opinions of her were like two sides of a coin: sharply divided.
Families who praised her always remembered her "professionalism and tenderness." In the Harris household, which lived in a lakeside apartment, she taught the young daughter Sophie French: every afternoon, she would spread French fairy tale books on the living room carpet, translating sentence by sentence in English with a French accent. When she encountered words like "moon" or "forest," she would take out a sketchbook and draw simple images to illustrate them. She also taught Sophie to observe light and shadow—each evening, she would pull Sophie to sit by the window, watching the sunset cast the curtain’s shadow on the wall: "Look, the shadow moves, like a talking spirit." The Harrises later recalled: "Vivian wasn’t just a nanny—she was the child’s art mentor."
Yet employers who complained about her were deeply struck by her "solitude and stubbornness." In the Wilson household in the suburbs, she often disappeared suddenly while walking the children—sometimes crouching on a street corner to photograph a stray cat, sometimes standing outside a grocery store to shoot passersby. When she returned, the child’s hands would be cold, but she would still be flipping through the photos in her camera. The incident that angered Mrs. Wilson most occurred when her son was hit by a bicycle while crossing the street, his knee bleeding. Instead of helping the child up first, Vivian pulled out her camera from her pocket and snapped a photo of him sitting on the ground crying. "How can you be so cold-blooded?" Mrs. Wilson shouted at her. Vivian only put away her camera calmly, knelt down to wipe the child’s tears, and said in a voice with no trace of emotion: "This is what really happened. Pain, tears—they’re all part of life, and they deserve to be recorded." The next day, Vivian left the Wilson household on her own, taking that photo with her; no one knew where she hid it later.
For Vivian, photography was no longer a hobby—it was an obsession etched into her bones. In the late 1970s, as the U.S. economy fluctuated, film prices rose by nearly a third. Living on a nanny’s salary, she was forced to "save money" even more rigorously: her breakfast was always a cheap black bread, eaten with tap water; in winter, she preferred to wrap herself in a thick old coat rather than turn up the heat in her employer’s home. Yet whenever she passed a camera shop, she would stop and stare at the film through the glass—saving up enough money to buy a few rolls immediately, tucking them carefully into her inner pocket as if they were more essential "food" than actual meals. One Christmas, her employer gave her a $50 bonus. Instead of buying new clothes, she visited three camera shops to purchase a used Hasselblad camera—the body was slightly worn, but the lens was still clear. The night she got it, she tested it repeatedly against the wall in her small room at the employer’s house, running her fingers over the shutter again and again, her eyes shining with a rare light. It was also around this time that she stopped developing her negatives—perhaps for lack of time, or perhaps to preserve all "moments" intact. She simply wrapped the exposed film in soft cloth, labeled it with the date and location, and stored it in an old leather trunk. The film piled up in the trunk like a small mountain of hidden secrets.
By the 1980s, time began to leave its mark on Vivian. She developed severe arthritis—her right knuckles swelled and deformed, and she had to rely on a wooden cane to walk. The cane’s top was worn smooth, and she had wrapped a strip of cloth around its middle for a better grip. Even so, she persisted in going out to take photos every week—every Saturday morning, she would get up early, hang her camera around her neck, tuck the cane under her arm, and walk slowly out of her employer’s house. Vivian could always be seen on Chicago’s streets: in spring, she stood under cherry blossom trees with her cane, photographing petals falling to the ground; in summer, she sat on a park bench, capturing elderly men napping with palm-leaf fans; in autumn, she squatted by the roadside, shooting fallen leaves swirling in the wind; in winter, she stood in the snow, documenting footprints left by passersby. Her shooting style also shifted quietly—she no longer chased the "drama" of the street as she had in her youth, nor obsessed over capturing exaggerated expressions on people’s faces. Instead, her lens turned to smaller, quieter moments: a potted plant on a windowsill, nearly withered but still dotted with morning dew; a crack in an old house’s wall, with a tiny blade of grass growing from it; a trampled maple leaf on the ground, its veins still clear. These seemingly ordinary scenes, through her lens, exuded a gentle gaze—as if she were whispering to these silent things: "I see you. Your existence matters."
In 1987, 51-year-old Vivian began working for Zalman Usiskin, a professor at the University of Chicago. Professor Usiskin later recalled: "The day Miss Maier arrived, she dragged three large suitcases and over a dozen cardboard boxes. I thought they were filled with her clothes—only later did I learn they were all her negatives and photos." Vivian’s room in the Usiskin house was small; apart from a bed and a wardrobe, the remaining space was filled with those boxes—some were cardboard, labeled in handwriting ("Michigan Avenue, 1983," "Lakeside Park, 1985"); some were wooden, carved with a small "V" (for Vivian); the innermost one, a metal box, was said to hold her earliest photos. She never allowed anyone to touch these boxes—every night before bed, she would check to make sure they were all in place before lying down. Once, Professor Usiskin’s daughter curiously tried to open a cardboard box. Vivian immediately walked over, gently hugged the box to her chest, and said in a tone she had never used before—serious and firm: "This is my life. You can’t touch it casually."
Professor Usiskin was the first person to truly recognize Vivian’s photographic talent. Once, he accidentally saw her organizing negatives—these black-and-white photos were filled with the smiles of street performers, the hurry of pedestrians in the rain, and the balloons in children’s hands, each brimming with the warmth of life. "Miss Maier, your photos are wonderful. Can I help you hold a small exhibition? Let more people see these works," he offered sincerely. But Vivian refused without hesitation. She put the negatives back into the box, her voice calm but resolute: "These photos are mine—they’re my conversation with life. They don’t need to be seen by others, and they have nothing to do with anyone else." That night, Vivian stayed in her room for a long time; no one knew what she was thinking—perhaps she remembered Jeanne Bertrand’s darkroom from her childhood, or perhaps she recalled every moment she had captured during her years of wandering. These photos were never about fame or fortune—they were her way of fighting loneliness and recording life, a "secret garden" that belonged only to her.
4.2 The Hidden Continuation of Creation
Even as middle age wrapped her in the dust of wandering—she still worked as a nanny for the most part, moving between families, her suitcase always packed with cameras, film, and a few changes of clothes—Vivian Maier’s lens never stopped clicking. Over the two decades from the 1970s to the 1990s, her footsteps traversed Chicago’s streets and alleys, New York’s park benches, and even small towns she passed through during her travels. She captured approximately 40,000 photos with her shutter. These works shed the sharpness and brilliance of her early "Golden Age" (1950s–1960s); they lacked the extreme focus on street moments of that era, but gained the maturity and restraint that come with time: the grain of black-and-white film grew softer, the tones of color images more understated, and even her observation of people shifted from the "sharpness of a bystander" to the "calmness of an empathizer." Her frequently used Rolleiflex twin-lens reflex camera had long been polished smooth by the warmth of her palms; occasionally, she experimented with a Polaroid, which allowed her to see the image instantly—after pressing the shutter, she would wait quietly for the paper to develop, like waiting for a flower to bloom slowly, her eyes holding a devotion to "eternal moments."
Nursing Home Window, 1982 is the most representative work of this period, and Vivian’s first gentle inquiry into "aging." In the frame, the white window frame of the nursing home is slightly chipped; an elderly person’s thin hand rests on the glass, the wrinkles at their knuckles blending with the mist on the pane—their expression is invisible, but their slightly leaning posture reveals a longing for the world outside. Beyond the glass, the green leaves of several plane trees stretch in the sunlight, and light spots filtering through the branches fall to the ground, contrasting sharply with the stillness inside: on one side, the stagnation of life trapped by time; on the other, the endless flow of vitality. At 56, Vivian may have been moved by the figure behind this window when passing the nursing home—though her own life had no fixed abode, she was already beginning to feel the weight of years. This photo is not only an observation of a stranger’s old age, but also a metaphor for her own future: when the body gradually loses its freedom, is the distance still worth longing for?
Abandoned Toy, 1985 hides Vivian’s hidden empathy for "abandonment." In the photo, a tattered teddy bear lies in a dark green trash can—its right eye button long lost, its beige fur caked with dust and grime, and a blue overall torn at the hem. Sunlight slants through the gaps in the wire fence, falling precisely on the teddy bear’s cheek, gilding its grimy fur with a warm golden glow. This warmth stands in stark contrast to the filth of the trash can and the bear’s shabbiness—it evokes compassion yet feels unexpectedly healing. Perhaps memories of her wandering childhood surged up, allowing Vivian to capture the warmth of "forgotten things" with uncanny accuracy: this teddy bear was once a child’s treasure, yet now it was discarded on the street—just as she herself had been forgotten by her father in the corner of life. But she did not use her lens to amplify sorrow; instead, she used sunlight to infuse the frame with hope—just as she herself had never given up chasing beauty, even amid a wandering life.
In the 1990s, Vivian’s lens began to turn to herself. Unlike the subtlety of her early "shadow self-portraits" (hiding her shadow in street scenes, half-visible), in her later years, she was more willing to face the camera directly, using self-portraits to document the aging of her body and the resilience of her spirit. Self-Portrait in the Nursing Home, 1999 is the best reflection of her mental state in old age: in the photo, she sits in a silver-gray wheelchair, her hair completely white, yet she still wears her signature wide-brimmed canvas hat—the brim pulled low enough to cover part of her forehead, but not low enough to hide the determination in her eyes. Her hands clutch an old Rolleiflex camera tightly, her knuckles whitening slightly from the effort; though the skin on her arms has sagged, her grip on the camera remains steady. The light blue wall of the nursing home serves as a backdrop, with no extra decorations, yet her figure stands unusually straight—there is no decrepitude of old age, only the certainty of "living in harmony with photography": even if her body is confined to a wheelchair, her lens can still be aimed at herself, at the world.
Beyond photography, Vivian left behind a vast collection of written records—these words are like a key, allowing us to enter the world of her thoughts behind the lens. In her apartments (no matter which city she was in), there were always several neatly stacked cardboard boxes filled with thousands of newspapers—from major publications like the New York Times to Chicago’s local Sun-Times, even small-town weeklies. Each one was marked with a date in pencil in the corner; though the edges had yellowed and grown brittle with time, they remained flat, without creases. Her notebooks were even more precious: their dark brown leather covers were worn, and the pages inside were filled with comments on films, politics, and social events in blue and black ink—sometimes neat, sometimes scribbled. When discussing the 1970s American women’s rights marches, her handwriting became unusually forceful, even scratching through the paper: "Women’s freedom should not stay in slogans—it should be in their eyes, in their steps." When commenting on a film about the civil rights movement, she wrote: "The lens should not only record conflict, but also the struggle and persistence of ordinary people in the era." Researchers discovered that these thoughts were not isolated—they subtly permeated her photography: the women in her lens were mostly depicted walking independently, not as figures dependent on others; when shooting scenes related to the civil rights movement, she focused not just on protest slogans, but on the clenched fists of participants and the determination on their faces—words were her thoughts, and photography was her expression.
In 1999, Vivian’s health deteriorated further, making even daily walking difficult. The Gensburg children, whom she had once cared for, learned of her predicament and took the initiative to rent her a small apartment facing Lake Michigan in Chicago—one of the few "permanent homes" in her life, and a haven for her in old age. On moving day, the children helped her carry over a dozen boxes filled with cameras, film, notebooks, and newspapers into the apartment. Vivian sat in a wheelchair, looking out at Lake Michigan, and smiled for the first time in a long while. She personally covered the living room walls with her photos: black-and-white shots of New York streets from the 1950s, color film from the 1970s, and recent self-portraits—one next to another, like a time corridor spanning half a century.
Neighbors often saw this unusual elderly woman: every afternoon, she would sit in a wicker chair by the window, still wearing her old Rolleiflex around her neck, staring blankly at Lake Michigan. Sometimes the lake was shrouded in fog, and the white mist—carrying the dampness of the water—drifted into the room; she would slowly lift her camera, gesturing at the foggy lake as if composing a shot. Sometimes the sun set, painting the lake golden, and she would take out her notebook, writing a few lines with trembling hands—her handwriting was not as neat as before, but still firm. No one knew what she was thinking—perhaps recalling the mornings in Saint-Bonnet, perhaps planning her next photo, perhaps simply enjoying the tranquility of being with the lake and her lens. But everyone could feel that this elderly woman’s heart still held a photographer who loved the world—her lens never went dark, and her passion never faded.
4.3 A Forgotten Legacy
As the 21st century began, Vivian Maier’s figure was no longer as agile as it once was when she wandered Chicago’s streets. Years of wandering and hard work had crushed her health like an invisible weight—joint pain made it difficult for her to walk for long periods, and her eyesight began to blur. The eyes that had once captured street moments with precision could no longer clearly see the details in the viewfinder. After 2000, she had to put down her camera for good and stop working as a nanny. With her source of income suddenly cut off, her life plummeted into destitution; she could only survive on a meager government welfare check.
The welfare check was barely enough to cover the rent for her small Chicago apartment and the most basic food—she often bought the cheapest bread and canned goods, surviving on a cup of hot milk for a meal. Even so, she never thought of giving up her piles of negatives. To Vivian, those negatives—stored in brown paper bags and marked with shooting dates—were not cold film, but the memories and soul of her entire life. To find a safe place for these "treasures," she gritted her teeth and rented 5 storage lockers in a warehouse on the edge of the city. The monthly rent was a huge sum for her, one she had to scrape together from her meager food budget. Whenever welfare day came, she would set aside the rent first, then calculate how many days’ worth of food the remaining money could buy. When she went to the warehouse to organize her negatives, she would carry an old cloth bag with a magnifying glass and a notebook, squatting in the dim, damp warehouse for hours to reclassify scattered negatives by date. When her fingertips brushed the grain on the film, the light in her eyes was one of the few bright spots in her later life.
One cold autumn morning in 2004, Chicago was raining. Vivian slipped and fell heavily on the steps outside her apartment while taking out the trash. The pain of the fracture left her nearly unconscious; she was only sent to the hospital after a neighbor found her. This fall robbed her of the ability to walk entirely—from then on, she could only lie in bed to recover. Once able to carry a camera and walk the length and breadth of the city, she now could not even get up to look at the street from her window. She could no longer go out to take photos; she could only organize her old negatives in her cluttered apartment, relying on the faint daylight filtering through the window. At 78, her memory had deteriorated severely—she often forgot what she had eaten the day before, and even the names of her neighbors. Yet as long as she picked up a roll of film, she could accurately name the time and place it was shot: "This roll was taken on Michigan Avenue in the spring of 1956—a little girl was feeding pigeons, and the sun was beautiful that day." "This one was shot outside the subway station in the winter of 1963—an old man was selling hot cocoa." The past, blurred by time, seemed to be engraved in the silver halide of the film; as long as she touched it, it would resurface clearly.
Her life grew increasingly isolated—the curtains of her apartment were drawn all year round, with only dust floating in the beams of light. Apart from the occasional visit from the Gensburg children, who had once been in her care, she had almost no visitors. The children would bring homemade cookies and flowers, sitting by her bed to listen to her ramble about past photography anecdotes—she would talk about how she had waited two hours in the cold wind to take a photo of a street performer, or how she had been mistaken by a dog owner while photographing a stray dog and nearly chased away. The children listened attentively, sometimes helping her organize the negatives scattered on her bed. Vivian would point to one with her thin fingers, her eyes lighting up: "Look, how pure this child’s smile is."
In 2007, Chicago’s winter was unusually cold. Vivian’s welfare check was delayed, and she finally couldn’t scrape together the warehouse rent. When the warehouse company’s collection notice arrived at her apartment, she stared at the number on the paper in silence for a long time. She tried to ask old friends for help, but most had long lost contact; she wanted to sell some unimportant items, but realized that apart from her negatives and cameras, she had nothing valuable left. In the end, the warehouse company put all her belongings in the 5 lockers up for auction, classifying them as "overdue stored items."
On the day of the auction, the warehouse was crowded with people looking for cheap secondhand goods. Vivian’s life’s work—150,000 developed negatives, 3,000 unopened rolls of film, hundreds of notebooks filled with shooting notes, and dozens of cameras ranging from vintage models to ordinary SLRs—was packed into dozens of tattered cardboard boxes and placed on the auction block like garbage. Most buyers were looking for bargains; no one knew that these boxes contained a photographer’s lifelong dedication, and even fewer knew that Vivian was lying in a hospital bed at that moment, receiving treatment for a lung infection, completely unaware of what was happening in the warehouse. When the auctioneer brought down the gavel, the negatives that carried all her observations and love for the world were divided up by anonymous buyers, scattered to every corner of the city.
Later, when collector John Maloof accidentally bought a few of these boxes of negatives and was shocked by the images inside, he began searching for Vivian everywhere—only to find that the forgotten photographer had already been admitted to a nursing home. At the time, her consciousness alternated between clarity and confusion: when clear, she would mutter about "my camera" and "my negatives"; when confused, she would mumble to the ceiling as if talking to the strangers she had once photographed. When Maloof found the nursing home, he saw her once through the glass window—she sat in a wheelchair, staring blankly at the outside, sunlight falling on her white hair, yet unable to warm the loneliness in her eyes.
In the winter of 2008, Chicago was hit by a rare snowstorm, and the nursing home’s yard was covered in ice. When Vivian was helped by a caregiver to the window to watch the snow, she slipped and fell, hitting her head hard on the cold floor. After this fall, she fell into a deep coma and never woke up. On the morning of April 21, 2009, sunlight filtered through the nursing home window, gently falling on her face—Vivian passed away peacefully in her sleep, at the age of 83.
The Gensburg children were devastated when they heard the news. They pooled money for a simple funeral—no grand ceremony, no large crowd of guests, only a few children she had once cared for and some people who had heard her story. After the funeral, following a wish she had occasionally mentioned in her later years, the children scattered her ashes in a forest on the outskirts of Chicago—a place where she had often taken them to play in her youth, with mountains of wildflowers in spring, thick shade in summer, and golden leaves in autumn. Like the warm moments in her photos, she remained forever in the embrace of nature.
Not long after, when staff cleaned out Vivian’s apartment, they found a neatly folded letter at the bottom of an old wooden box. The envelope was yellowed, and the recipient’s address read: "LeMaire Photography Studio, Saint-Bonnet, France"—the only photography studio in the town where she had lived as a child. The handwriting on the letter was slightly trembling, but written with unusual care: "Dear Monsieur LeMaire, you may not remember me anymore. I am Vivian, the daughter of Maria who left here many years ago. All these years, I have taken many photos in faraway America—they record the sunlight on the streets, the smiles of strangers, and also hold my understanding of this world. I have few attachments in this life; I only hope that if I am gone one day, these photos will be seen by someone, and that someone will know that there was once a person who loved this world through a lens."
This unsent letter became Vivian’s final message to the world. It lay in the old wooden box, accompanying her in her last years, and bearing witness to her lifelong dedication to photography—even in a life of loneliness, even as her works were buried, she never stopped capturing the warmth of humanity with her lens, never giving up her love for and documentation of the world.
Chapter 5: Posthumous Glory (2009–2025)
5.1 From Attic to the World Stage
In October 2009, the internet had not yet been swept by the short-video wave; Flickr, a "spiritual home" for photography enthusiasts, still maintained a slow-paced atmosphere of exchange. On this day, collector John Maloof quietly uploaded a set of black-and-white photos: a newsboy on a New York street, a napping passenger in a Chicago subway, a pedestrian holding an umbrella in the rain... The photos had no fancy compositions, yet they were like a gentle key, unlocking people’s memories of mid-20th-century urban life.
Within 24 hours, the comment section for this photo set exploded. "Wow, the light and shadow control here is incredible!" "Who is this photographer? Why have I never heard of them?" "Every photo feels like an unfinished story"—photography lovers from around the world were stunned by these images, buried for half a century. Some analyzed the street details in each photo one by one, some guessed the photographer’s identity, and even elderly New Yorkers left comments: "This photo of Fifth Avenue is exactly how I remember it from my childhood."
Faced with the flood of questions, Maloof revealed the name "Vivian Maier" for the first time in a subsequent update, along with the story of how he had accidentally discovered the negatives: in 2007, he had bought a box of old negatives at a Chicago flea market, originally for researching local history, but was struck by the vitality in the lens after developing them. He also gently mentioned that this photographer had been an ordinary nanny during her lifetime, never making her works public.
This contrasting narrative of a "nanny-photographer" immediately ignited media enthusiasm. The Chicago Tribune sent reporters to follow up first, followed by interview requests from the New York Times and Washington Post flooding in to Maloof. TV cameras turned to the warehouse where he stored the negatives—stacked with nearly 100,000 of Vivian’s negatives, hundreds of unprocessed rolls of film, and the Rolleiflex camera she had used during her lifetime. The name Vivian Maier jumped from a niche Flickr community to a hot topic across the United States.
In January 2010, in Chicago, the cold winter wind could not dampen people’s enthusiasm. In front of the Chicago Cultural Center, a long line formed two hours before the exhibition opened: elderly people wrapped in thick down jackets, young people carrying cameras, parents pushing strollers—everyone clutched a printed exhibition introduction, whispering about this "suddenly appearing genius." Titled Discovering Vivian: A Chicago Street Photographer, this was Vivian Maier’s first solo exhibition, and the first time her works moved from digital screens to a physical gallery.
Inside the exhibition hall, soft lighting fell on the enlarged photos: in front of a 1950s Chicago hot dog stand, the owner smiled as he handed a hot dog to a child; the shiny glass of the stand reflected a bus across the street. On a rainy sidewalk, a small dog hid under its owner’s umbrella, its paws still caked with mud. In the subway, a man in a suit napped against a seat back, his briefcase at his feet, his brow slightly furrowed as if still thinking about work. Visitors slowed their steps—some took notes in notebooks, some sighed softly at the photos, others took out their phones, eager to share this "gift from time" with friends.
The exhibition curator said at the opening ceremony: "Vivian’s lens never focused on celebrities or spectacles; she dedicated herself to the everyday lives of ordinary people—those hurried steps, tired smiles, and accidental pauses. It is these moments that form the soul of a city. She captured the city’s essence, and the contradictory moments that give this city its jazz-like character: prosperity coexisting with loneliness, hurry intertwined with leisure." This three-month exhibition ultimately attracted over 100,000 visitors, setting an attendance record for the Chicago Cultural Center and introducing Vivian’s name to a wider audience beyond the photography world.
After that, Vivian’s works embarked on a global tour, sparking cross-cultural resonance in exhibition halls across different countries. In 2011, the Centre Pompidou in Paris held Vivian Maier: The Secret Genius. French visitors stood before the photos, looking at the faces of European immigrants and scenes of street cafes in the frames, as if seeing their own memories in these foreign images—one visitor wrote in the guestbook: "The loneliness in her lens is exactly the same as the loneliness of a rainy day in Paris." In 2013, the exhibition at the International Center of Photography in New York was an unprecedented success; the line wrapped around the block, eventually attracting over 200,000 visitors. An art critic for the New York Times wrote in a report: "With a single camera, Vivian Maier documented the urban texture of an era. Her powers of observation and ability to capture moments put her on par with Harry Callahan, making her one of the greatest photographers of the 20th century."
In 2021, this "Vivian craze" finally reached China. At the Finding the Hidden Genius: Vivian Maier exhibition at Beijing’s Today Art Museum, 83 self-portraits became the most talked-about section: Vivian stood before mirrors, her lens capturing both her reflection and the street scenes behind her; she used the reflections of shop windows to overlap her figure with the footsteps of passersby; in one photo, she wore a wide-brimmed hat, revealing only half her face, with a few clouds drifting in the sky behind her. Chinese visitors saw the inner world of this mysterious photographer in these self-portraits—she was both an observer and the observed; she documented others’ lives, while quietly leaving traces of her own. One visitor left a comment: "It turns out that loneliness half a century ago is something we can still relate to today."
As exhibitions gained popularity, the publishing industry also caught "Vivian fever"; books collecting her works became "time albums" that readers rushed to collect. In 2011, Vivian Maier: Street Photographer, edited by Maloof, was published. The cover featured one of Vivian’s classic works: an elderly man sitting on a park bench, holding a newspaper, with sunlight filtering through leaves onto his body—a warm yet serene scene. The book had an initial print run of 10,000 copies, which sold out within a week of its release. Bookstores often saw readers asking, "When will you restock?" and the price of used copies on Amazon even tripled. A reader wrote in a review: "Every page feels like a conversation with the past. Vivian’s lens gives eternal meaning to those ordinary moments."
In 2014, Vivian Maier’s Color World was published, revealing an unknown side of the photographer—she was not only skilled in black-and-white photography, but also had a remarkable talent for using color. The photos collected in the book included a red fire truck on a 1960s New York street, the green lawn of a Chicago park, and blue dresses worn by women—bright yet not garish, like stills from an old movie. A critic said: "We once thought Vivian’s world was black and white; this book tells us that the life she saw was equally full of color."
In 2022, the Royal Museum of Turin in Italy released the exhibition catalog Vivian Maier: Unpublished, exciting fans even more. This book collected rare works from Vivian’s global travels—in front of Egypt’s pyramids in the 1950s, a local guide pointed to the pyramids while introducing them to tourists; on a street in Tokyo, Japan, a woman in a kimono walked past a telephone pole; in an Indian market, vendors shouted to attract customers. These works had never been publicly displayed before, revealing that this "Chicago street photographer" had traveled far beyond the United States—her lens documented the everyday lives of the entire world. Translated into over 20 languages, these books became bestsellers worldwide, and Vivian’s images entered countless bookshelves through the printed page.
But it was the 2013 documentary Finding Vivian Maier that truly brought Vivian’s name into the mainstream. Directed by Maloof and Charlie Siskel, this film had no fancy special effects—only real interviews and precious archival footage. To piece together Vivian’s life, the crew visited the families she had worked for—employers recalled this "somewhat eccentric" nanny, saying she always carried a camera and went out to take photos during her breaks; they also brought out photos Vivian had taken of their children back then, in which the children smiled brightly. The film included analyses of her works by researchers, the dedication of collectors to her negatives, and the 感动 of ordinary people after seeing her photos.
The documentary was eventually nominated for Best Documentary Feature at the 87th Academy Awards and screened in over 40 countries worldwide. In movie theaters, some cried for Vivian’s talent, some sighed at the secrecy of her life, and others immediately searched for her works on their phones after the film ended. As a memorable line in the film put it: "She spent her life observing others, capturing overlooked moments through her lens; now, it’s our turn to observe her, and understand the stories in her lens with our eyes."
From a box of negatives at a flea market to a globally acclaimed photography genius, Vivian Maier’s story is like an encounter across time. She never imagined that her works would be seen by the world, yet through a lifetime of persistence, she left us the most precious "urban memory"—the everyday lives of ordinary people, the moments on the street, the tenderness and loneliness hidden in the lens. Even today, they still move everyone who is willing to stop and carefully observe life.
5.2 Copyright Disputes and Historical Positioning
When Vivian Maier’s negatives—hidden in cardboard boxes for decades—were accidentally discovered, and the New York streets and Chicago alleys captured by her lens burst into public view with stunning force, this "posthumously famous" nanny-photographer quickly became the focus of the art world. But along with fame came not only praise, but also a copyright dispute over the ownership of her works. This tug-of-war lasted six years, involving almost the entire global photography community.
U.S. copyright law clearly defines the inheritance of works: copyright shall first be inherited by the deceased’s immediate family. However, Vivian’s life trajectory put this legal provision in an awkward predicament. She never married or had children; her parents had passed away years earlier, and her only brother had died before her—breaking the chain of immediate family entirely. Who, then, should own these scattered negatives, cameras, and diaries? The collector who discovered and organized her works, or distant relatives she had never met? This question became the core of the copyright dispute.
In 2014, New York lawyer David Deal broke the deadlock—entrusted by Vivian’s cousin Francis Baille, he formally filed a lawsuit with the Cook County Court, seeking to confirm Francis’ legal right to inheritance. The news caused a sensation in the art world, as the lawsuit directly targeted John Maloof, the largest holder of Vivian’s works at the time.
Maloof’s identity was already controversial. In 2007, he had accidentally bought a box of Vivian’s relics at a Chicago flea market, including nearly 100,000 negatives, hundreds of unprocessed rolls of film, and multiple vintage cameras. It was he who spent years organizing and scanning these works, introducing Vivian to the world through exhibitions and the internet. Faced with the lawsuit, Maloof insisted he held legal copyright: he claimed that during the process of organizing the relics, he had purchased the copyright to all works from Vivian’s cousin Sylvain Jaussaud, and held a written agreement.
The actions of another key collector, Jeff Goldstein, further fueled the controversy. Before the copyright ownership was clarified, he sold some of his rare Vivian collections—including a set of 1950s color photos of Chicago streets—to a private gallery in Toronto, Canada. This act not only raised questions about "whether the collection was legally disposed of," but also put Vivian’s works at risk of being split and scattered. Countless photography lovers and scholars called for "protecting this fragile legacy of light and shadow."
To clarify the complicated family relationships, the Cook County Court had to launch an international genealogy investigation, hiring a team of professional genealogists to travel separately to the origins of Vivian’s family—Saint-Bonnet in France, Vienna in Austria, and Bratislava in Slovakia. The experts delved into local church archives, immigration registration offices, and even interviewed elderly villagers, searching for birth certificates, marriage records, and immigration documents from nearly a century ago. In Saint-Bonnet, France, they found the genealogy of Vivian’s grandmother’s family, with the branches of the Jaussaud family recorded on yellowed pages; in Austria, through old archives of the plumbers’ and electricians’ union, they confirmed the family lineage of Charles Maier. This cross-border "search for relatives" took nearly four years, with every piece of evidence embodying respect for Vivian’s legacy.
In 2018, a 300-page investigation report was submitted to the Cook County Court. The report detailed Vivian’s family tree, ultimately identifying 10 cousins living in Europe and the United States—her closest legal heirs. After another two years of negotiations and mediation, a settlement was finally reached in 2020: Maloof was granted global exhibition and publishing rights to Vivian’s works, but all commercial proceeds—including exhibition tickets, album sales, and copyright licensing fees—would be distributed proportionally among the 10 heirs; at the same time, a unified digital archive of all collections must be established, prohibiting any private collector from arbitrarily splitting or reselling core works. This six-year copyright dispute not only defined clear ownership of Vivian’s works, but also became a classic case in the art world for discussing "the protection of anonymous artists’ legacies"—revealing a harsh reality: when an artist leaves no clear will during their lifetime, the fate of their works often falls into a long legal quagmire.
Before the copyright dispute was resolved, debates over Vivian’s "historical positioning" had quietly heated up. Two opposing views split the photography criticism community.
The voices of support were particularly loud. Supporters argued that Vivian, with her female perspective and grassroots identity, had completely "rewritten the history of American street photography." In 1950s–1970s America, street photography was dominated by male photographers—Henri Cartier-Bresson pursued the compositional aesthetics of the "decisive moment," while Robert Frank criticized society with a cold lens. Vivian’s lens, however, was full of "warmth": she photographed nannies pushing strollers in parks, framing them at eye level to capture the weariness and occasional smiles in their eyes; she photographed elderly homeless people on the street, never deliberately exaggerating their hardship but documenting the tranquility of their moments sitting on benches in the sun; she photographed Black children playing in the spray of fire hydrants, capturing pure childhood joy without the weight of racial issues. This "eye-level observation" injected new vitality into the male-dominated street photography of the era, and established "the everyday lives of ordinary people" as an indispensable part of photography history.
Skeptics, however, argued that Vivian’s fame stemmed more from the legendary narrative of a "nanny-photographer" than the artistic merit of her works themselves. Colin Westerbeck, former director of the School of the Art Institute of Chicago, wrote in Photography Review: "If Vivian’s works are placed in the photographic context of the 1950s and 1960s, she is not outstanding. Her compositional skills, though solid, do not break the framework of contemporary masters; her subjects, though close to life, lack in-depth exploration of social issues. People praise her more because they are moved by the story of ‘an unknown nanny who spent her life documenting an era,’ rather than the innovation of her works themselves." These remarks sparked fierce discussions; some collectors even publicly stated that some galleries overhyped Vivian’s "storytelling," overshadowing the true value of her works.
What finally quelled the controversy was in-depth academic research. In 2022, art historian Pamela Bannos published Vivian Maier: A Photographer’s Life and Afterlife—a seven-year work that stands as the "authoritative study" of Vivian. Bannos did not dwell on romanticizing the "legendary story"; instead, by sorting through Vivian’s shooting timeline, technical evolution, and even the brand of film and development methods she used, she reconstructed the growth trajectory of Vivian as a photographer.
The book points out that Vivian’s creation was not an accidental "self-taught" talent, but had a clear stylistic lineage: in her early years, influenced by Jeanne Bertrand, she preferred to use soft light and shadow to shoot portraits; after moving to Chicago in the 1950s, she began to absorb Cartier-Bresson’s compositional concept of the "decisive moment"—such as her famous Chicago Street in the Rain, in which pedestrians’ umbrellas, splashing water, and a distant bus formed a perfect dynamic balance in the frame; in the 1960s, she integrated Robert Frank’s social criticism perspective, shooting a large number of photos on racial segregation and the gap between the rich and the poor—for example, in Harlem, New York, her lens captured Black and white children staring at each other across a wire fence; the frame contained no sharp criticism, yet brimmed with silent tension.
More importantly, Bannos emphasized the "uniqueness of Vivian’s female perspective": "When male photographers shoot the street, they often carry the alienation of an ‘observer,’ but Vivian was a ‘participant’—as a nanny, she wandered through every corner of the city every day, sharing a natural intimacy with her subjects. Her lens does not ‘judge’; it only ‘records.’ This gentle gaze makes her works stand out uniquely in the cold world of street photography." After the book’s publication, it not only gained widespread recognition in academic circles, but also made the public realize: Vivian’s value lies not only in her "legendary life," but also in the unique "female perspective archive" she left for the era through her lens.
Today, Vivian’s works are no longer "niche collections," but have entered the highest halls of the art world. The Museum of Modern Art (MoMA) in New York has included her New York Streets, 1955 series in its permanent collection, displaying it alongside works by Cartier-Bresson and Robert Frank; the Centre Pompidou in Paris held a special exhibition Vivian Maier: The Gaze of the City in 2023. On the opening day, visitors lined up in long queues; some stood in front of her photos for a long time, sighing softly: "This is what my grandmother’s life was like back then."
No one knows what this photographer—who refused to show even a single photo during her lifetime—would think if she saw her works cherished so deeply. But as the famous photography critic Joel Meyerowitz once said: "Vivian’s greatness lies not in her desire to be part of history, but in her never shooting for ‘history.’ She only pressed the shutter out of curiosity about the world, documenting the everyday moments overlooked by the era. Yet it is these ordinary moments that ultimately pieced together a microcosm of an era, making her an existence that history cannot ignore."
Vivian Maier’s story ultimately transcends copyright disputes and artistic controversies, becoming a fable about "love" and "persistence": true art never relies on the support of fame and fortune. As long as sincerity lies behind the lens, even if buried for a hundred years, it will eventually shine in the passage of time.
5.3 Eternal Mystery and Inspiration
Vivian Maier’s story has never been a simple narrative of "a genius photographer being discovered"—it is more like a fable about "hiding and blooming." People are obsessed with her not only because her lens captured the most vivid warmth of 20th-century American street life, but also because she herself is an unsolvable puzzle, leaving too many blanks in time. Researchers have sifted through nearly 100,000 negatives, hundreds of rolls of film, and even visited the families she worked for and the neighborhoods she lived in, yet they still cannot fully piece together her life: Why did she never marry? Was it the trauma of witnessing her parents’ broken marriage that made her fear intimate relationships, or had she already dedicated all her passion to her camera, refusing to let anyone enter her inner world? Why did she never show her works to anyone? Did she see these images as nothing more than a diary written to herself, not needing others’ judgment? Or, in a male-dominated photography world, did she subconsciously refuse to have her creations labeled as "female photographer" and easily defined? Even her slightly hoarse French accent when speaking remains a mystery—was it a leftover from her mother Maria’s native-language upbringing, or a hidden connection to her hometown of Saint-Bonnet that she deliberately preserved in adulthood? These unanswered questions do not blur her image; instead, they free her from the single identity of "photographer," turning her into a three-dimensional, complex soul. Everyone who gazes at her works cannot help but want to reach through the images and touch the woman hidden behind the lens.
The key to unlocking the code of her heart lies precisely in the self-portraits she took for herself. Starting from the 1950s, Vivian used her camera to document herself, but her early "selfies" were marked by subtle restraint—she rarely aimed directly at a mirror; more often, she embedded her silhouette into the city’s backdrop through store window glass, puddles of rainwater, or even shadows under streetlights. In a 1954 shadow self-portrait, she wore her signature men’s coat and wide-brimmed hat; her shadow, stretched long by the sunset, overlapped with the footsteps of passersby and the outline of a street newsstand, as if she were both an observer and a part of the city. By the 1990s, her self-portraits became straightforward and resolute: the lens faced her directly; she sat on a shabby apartment sofa, her eyes calm yet sharp, no extra expression on her lips, her fingers still gripping the edge of the camera—no elaborate makeup, no deliberate poses. She did not pursue "beauty," only "truth." In an era when women were often portrayed by the lens as fragile and passive, Vivian’s self-portraits were a form of "rebellion": she refused to be objectified, refused to become a "scenery" in others’ eyes, and instead used her camera to "write her own biography." In the moment she pressed the shutter, she declared the existence of "me," the perspective of "me," and the thoughts of "me." As curator Zhang Ran put it: "These self-portraits are not simple self-records, but a way for a woman to fight for her right to speak in a patriarchal society—she told the world through her lens: I do not need to be defined; I am who I am."
Vivian’s life is more like a mirror, reflecting the most authentic nature of art and offering profound inspiration to contemporary creators. In her era, the art world valued "professional identity": to be called an "artist," you needed to graduate from a prestigious art school, have a gallery contract, and be endorsed by critics. But Vivian had none of these—she was just an ordinary woman making a living as a nanny, with no professional photography training, no exhibitions, and no intention of letting anyone see her works. She took photos simply because her heart was touched by the sight of a homeless child clutching an old toy, moved by the look of an elderly man staring blankly on a bench, and enchanted by the beauty of neon lights reflected on a rainy street. For her, creation was not a means of making a living or a tool for showing off; it was an instinct, a way of conversing with the world. This "purity" is particularly precious in today’s era of chasing traffic, exposure, and commercial gain. Many contemporary creators, before pressing the shutter or typing a key, first think about "will this go viral?" "how much money can I make?" and "what will others think?"—forgetting the joy that creation itself brings. Vivian proved with her life: art does not need external recognition. As long as you are sincere when creating, and as long as you find your own joy in the process, that is enough. As Chen Danqing once said: "Vivian’s joy came only in the moment she pressed the shutter. In that instant, she reconciled with the world and met herself. This purity, free from all utilitarianism, is the ideal state for all artists."
In the spring of 2025, at the Royal Museum of Turin in Italy, a special exhibition titled Vivian Maier: Unpublished once again drew people to this mysterious woman. There were no fancy decorations in the exhibition hall—only soft warm light falling on black-and-white images. 250 never-before-seen works, like letters delayed for over half a century, quietly told Vivian’s secrets to visitors: there were photos of Roman streets she took during her trip to Italy in 1959—men in overcoats hurrying past fountains, ice cream vendors pushing metal carts, sunlight falling on ancient stone roads, carrying the warmth of time; there were Super 8mm films she shot of New York alleys—children running in the spray of fire hydrants, elderly women sitting at doorsteps picking vegetables, the frames shaky yet full of vitality; there were even a few rolls of self-recorded audio, in which her soft voice hummed French folk songs, mixed with the honking of street cars and the chatter of cafes—memories she had hidden in sound. At the entrance of the exhibition hall, a striking slogan hung: "She spent her life hiding herself, yet made the world remember her forever." Visitors stood before the images—some bowed their heads in thought, some whispered to each other, some raised their phones to take photos of these precious works, then quietly put them down—as if unwilling to disturb the woman hidden behind the lens with the restlessness of the modern world.
In a trance, people seem to see that tall woman in a men’s coat and wide-brimmed hat standing in a corner of the exhibition hall, holding her camera, her eyes gazing calmly at everything before her. She once documented the lives of countless ordinary people in the gaps of history; now, she has become a part of history, gazed at and remembered by countless people. She spent her life hiding herself, yet ultimately left an indelible mark on the world through her images.
Epilogue: The Eternal Gaze Behind the Lens
Vivian Maier’s life was like two trajectories that seemed never to intersect, yet twisted into the most touching knot under the polish of time—one was the "nanny’s path," filled with the warmth of daily life; the other was the "artist’s path," steeped in the scent of developer. From the early 1950s to the late 1990s, over nearly 40 years, she moved between middle-class families in Chicago and New York, her apron always stained with the buttery scent of baked bread, her fingertips occasionally retaining the warmth of changing a child’s diaper. At 5 a.m., she would appear in the kitchen on time, cooking oatmeal until it was soft and glutinous, then wiping the children’s schoolbags until they shone. When the children napped in the afternoon, she dared to quietly take out the black camera bag from the depths of the wardrobe—inside lay her Rolleiflex twin-lens reflex camera and a few unexposed rolls of film. She often took advantage of grocery-shopping trips to hurry through the streets: seeing a little girl on tiptoe, reaching for a shop window, she would slow down and quietly raise her camera; encountering an elderly man holding a newspaper under a tattered umbrella on a rainy day, she would squat down, adjust the focus, and press the shutter just before raindrops fell on the lens. The trivialities of cooking oil and diapers never drowned her dedication to photography; instead, they taught her how to capture the glittering moments in the ordinary.
On the other trajectory, she was a "street photographer" who belonged only to herself. Her darkroom was sometimes a vacant storage room in her employer’s house, sometimes the bathroom of her rented apartment—she would cover the windows with black cloth, mix developer in the sink, and watch the figures on the negatives gradually emerge, as if witnessing the birth of secrets. She never showed off her works to anyone; even her employers only thought she "liked to take random photos of scenery." It was not until her death in 2009 that people discovered 150,000 unprocessed rolls of film, thousands of printed photos, and dozens of shoe boxes and cookie tins filled with negatives in her storage lockers—some of the film even bore her handwriting, marking the shooting date and location: "October 5, 1956, Michigan Avenue, Chicago, rainy day" "July 20, 1963, New York Grand Central Terminal, evening." These silent negatives hid an artistic kingdom she had built with her life: there were the smiles of street performers, the contemplation of the homeless, and the fluttering hems of running children—each photo carrying her unique warmth.
She never cared about fame or fortune. During her lifetime, she held no exhibitions, published no photos, and even the people closest to her had no idea of her "artist identity." After her death, however, her works spread like dandelion seeds blown by the wind, reaching every corner of the world. In 2010, her first solo exhibition was held in a small gallery in Chicago; originally expected to attract only a few dozen visitors, it ended up with a long queue—some stood in front of her photo "Shoemaker on Chicago Street, 1958" for a long time, because it was a portrait of their late father; others teared up at the photo "Mother and Daughter Sharing an Umbrella in the Rain," recalling their own childhood. Later, her works entered the Centre Pompidou in Paris and the Museum of Modern Art in New York, even sparking a craze in art galleries in Tokyo and Sydney. The nanny who once quietly developed photos in a darkroom finally gained posthumous glory beyond her wildest imagination; the self she had deliberately hidden left an indelible mark in people’s hearts through 150,000 photos.
When we lean down to gaze at her works, we see far more than a silhouette of 1950s–1970s America—these are not cold historical materials, but breathing slices of life: on a 1950s Chicago street, amid the dust kicked up by a passing streetcar, office workers in suits ran to catch the car, while flower girls handed carnations to passersby; in a 1960s New York park, autumn leaves covered the bench, and an elderly man fed pigeons with breadcrumbs, sunlight falling on his gray hair, warm as a gentle greeting. What is even more rare is that there is no bias in her lens: when photographing elegant gentlemen, she captured the sweat on their foreheads as they took off their top hats, adding a touch of authenticity to their "dignity"; when photographing destitute beggars, she never shot from a condescending angle, but squatted down to meet their eyes, preserving the dignity of their humanity amid "hardship." She photographed joy and sorrow alike: the excitement of a child receiving a balloon, the silence of an elderly man sitting in an empty room, the awkwardness of a street singer playing a wrong chord—each moment is full of the texture of life, as if one can hear the sounds in the photo and feel the warmth of that time. This humanistic care, free from utilitarianism and judgment, is the reason her works can still move people after half a century.
Vivian Maier’s story has never ended with her death. Every year, new negatives are discovered among her relics—in 2021, a set of photos titled "Chinese New Year in Chinatown" was developed, taken by her in San Francisco, California, in 1971. The frames show dragon dance teams, shops decorated with red lanterns, and children clutching sugar figurines, offering a vivid glimpse of the Chinese community in that era; in 2023, scholars sorting through her notebooks found a page filled with photography notes: "When photographing people, wait until they forget the lens—that is when their eyes hold the true essence of life." Exhibitions around the world continue: at London’s Tate Britain, her works are displayed alongside those of Diane Arbus, allowing people to compare the perspectives of two street photographers and better understand Vivian’s tenderness; at the Shanghai Center of Photography, young photographers always gather around her photos, imitating her compositions with their cameras, trying to capture "Vivian-like moments" around them. Academic research never stops—some analyze her use of light and shadow, noting her particular skill in using window reflections and street lamp halos to add a layer of hazy poetry to her images; others study her shooting frequency, discovering that she took photos almost every day, even venturing out in heavy snow to document the footprints of passersby in the snow. She is like an ever-present observer, continuing to gaze at the world she once loved through those black-and-white images, just as she wrote in her notebook: "Photos never disappear; they only wait for the moment when they are seen."
Today, along the shores of Lake Michigan in Chicago, a familiar scene can always be seen: in the morning or evening, photography enthusiasts wander with their cameras, walking slowly along the lakeside path, their eyes lingering on street pedestrians, lakeside benches, and birds skimming the water’s surface—searching for Vivian’s former footsteps. Sometimes, someone will stop, raise their camera, and gently press the shutter at a certain moment. In that instant, they may suddenly understand: true art is never found in grand halls or under dazzling spotlights, but in the most simple love for life and the most persistent gaze at the world.
Vivian Maier never intended to leave a legacy, but she proved with her life that an ordinary person, even immersed in the trivialities of daily life, can leave an eternal mark on time in their own way—so long as they hold love in their heart and a gentle perception of the world. This is the most precious gift she left to the world.
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English
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32k
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T8. Structured & Numeric Reasoning
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T8.3 Long-Context Procedural State Tracking
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Full
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Using the “later year minus earlier year” method, compute the number of years between when Vivian began her long-term position caring for the Gensburg brothers in Highland Park and the opening of her debut public solo exhibition at the Chicago Cultural Center. Output the "[Answer]" identifier first, and then output the number of years, without any additional content.
Output example:
[Answer]
32
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Using the “later year minus earlier year” method, compute the number of years between when Vivian began her long-term position caring for the Gensburg brothers in Highland Park and the opening of her debut public solo exhibition at the Chicago Cultural Center. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the number of years.
Output example:
<Your thinking process>
[Answer]
32
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[
"54"
] |
Easy
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5af6ae02a4be909965643bfda630a7621ac51375cc2cf2118f2e89cc0c23735a
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“Teach me?” I said in surprise. “He hasn’t taught me anything, Miss Caroline. Atticusain’t got time to teach me anything,” I added, when Miss Caroline smiled and shook herhead. “Why, he’s so tired at night he just sits in the livingroom and reads.”
“If he didn’t teach you, who did?” Miss Caroline asked good-naturedly. “Somebody did.
You weren’t born reading The Mobile Register.”
“Jem says I was. He read in a book where I was a Bullfinch instead of a Finch26. Jemsays my name’s really Jean Louise Bullfinch, that I got swapped27 when I was born andI’m really a-”
Miss Caroline apparently28 thought I was lying. “Let’s not let our imaginations run awaywith us, dear,” she said. “Now you tell your father not to teach you any more. It’s best tobegin reading with a fresh mind. You tell him I’ll take over from here and try to undo29 thedamage-”
“Ma’am?”
“Your father does not know how to teach. You can have a seat now.”
I mumbled30 that I was sorry and retired31 meditating32 upon my crime. I never deliberatelylearned to read, but somehow I had been wallowing illicitly33 in the daily papers. In thelong hours of church—was it then I learned? I could not remember not being able toread hymns34. Now that I was compelled to think about it, reading was something that justcame to me, as learning to fasten the seat of my union suit without looking around, orachieving two bows from a snarl35 of shoelaces. I could not remember when the linesabove Atticus’s moving finger separated into words, but I had stared at them all theevenings in my memory, listening to the news of the day, Bills to Be Enacted36 into Laws,the diaries of Lorenzo Dow—anything Atticus happened to be reading when I crawledinto his lap every night. Until I feared I would lose it, I never loved to read. One does notlove breathing.
I knew I had annoyed Miss Caroline, so I let well enough alone and stared out thewindow until recess when Jem cut me from the covey of first-graders in the schoolyard.
He asked how I was getting along. I told him.
“If I didn’t have to stay I’d leave. Jem, that damn lady says Atticus’s been teaching meto read and for him to stop it-”
“Don’t worry, Scout37,” Jem comforted me. “Our teacher says Miss Caroline’sintroducing a new way of teaching. She learned about it in college. It’ll be in all thegrades soon. You don’t have to learn much out of books that way—it’s like if you wantalearn about cows, you go milk one, see?”
“Yeah Jem, but I don’t wanta study cows, I-”
“Sure you do. You hafta know about cows, they’re a big part of life in MaycombCounty.”
I contented38 myself with asking Jem if he’d lost his mind.
“I’m just trying to tell you the new way they’re teachin‘ the first grade, stubborn. It’s theDewey Decimal System.”
Having never questioned Jem’s pronouncements, I saw no reason to begin now. TheDewey Decimal System consisted, in part, of Miss Caroline waving cards at us on whichwere printed “the,” “cat,” “rat,” “man,” and “you.” No comment seemed to be expected ofus, and the class received these impressionistic revelations in silence. I was bored, so Ibegan a letter to Dill. Miss Caroline caught me writing and told me to tell my father tostop teaching me. “Besides,” she said. “We don’t write in the first grade, we print. Youwon’t learn to write until you’re in the third grade.”
Calpurnia was to blame for this. It kept me from driving her crazy on rainy days, Iguess. She would set me a writing task by scrawling39 the alphabet firmly across the topof a tablet, then copying out a chapter of the Bible beneath. If I reproduced herpenmanship satisfactorily, she rewarded me with an open-faced sandwich of bread andbutter and sugar. In Calpurnia’s teaching, there was no sentimentality: I seldom pleasedher and she seldom rewarded me.
“Everybody who goes home to lunch hold up your hands,” said Miss Caroline,breaking into my new grudge40 against Calpurnia.
The town children did so, and she looked us over.
“Everybody who brings his lunch put it on top of his desk.”
Molasses buckets appeared from nowhere, and the ceiling danced with metallic41 light.
Miss Caroline walked up and down the rows peering and poking42 into lunch containers,nodding if the contents pleased her, frowning a little at others. She stopped at WalterCunningham’s desk. “Where’s yours?” she asked.
Walter Cunningham’s face told everybody in the first grade he had hookworms. Hisabsence of shoes told us how he got them. People caught hookworms going barefootedin barnyards and hog20 wallows. If Walter had owned any shoes he would have wornthem the first day of school and then discarded them until mid-winter. He did have on aclean shirt and neatly43 mended overalls44.
“Did you forget your lunch this morning?” asked Miss Caroline.
Walter looked straight ahead. I saw a muscle jump in his skinny jaw45.
“Did you forget it this morning?” asked Miss Caroline. Walter’s jaw twitched46 again.
“Yeb’m,” he finally mumbled.
Miss Caroline went to her desk and opened her purse. “Here’s a quarter,” she said toWalter. “Go and eat downtown today. You can pay me back tomorrow.”
Walter shook his head. “Nome thank you ma’am,” he drawled softly.
Impatience crept into Miss Caroline’s voice: “Here Walter, come get it.”
Walter shook his head again.
When Walter shook his head a third time someone whispered, “Go on and tell her,Scout.”
I turned around and saw most of the town people and the entire bus delegationlooking at me. Miss Caroline and I had conferred twice already, and they were looking atme in the innocent assurance that familiarity breeds understanding.
I rose graciously on Walter’s behalf: “Ah—Miss Caroline?”
“What is it, Jean Louise?”
“Miss Caroline, he’s a Cunningham.”
I sat back down.
“What, Jean Louise?”
I thought I had made things sufficiently47 clear. It was clear enough to the rest of us:
Walter Cunningham was sitting there lying his head off. He didn’t forget his lunch, hedidn’t have any. He had none today nor would he have any tomorrow or the next day.
He had probably never seen three quarters together at the same time in his life.
I tried again: “Walter’s one of the Cunninghams, Miss Caroline.”
“I beg your pardon, Jean Louise?”
“That’s okay, ma’am, you’ll get to know all the county folks after a while. TheCunninghams never took anything they can’t pay back—no church baskets and no scripstamps. They never took anything off of anybody, they get along on what they have.
They don’t have much, but they get along on it.”
My special knowledge of the Cunningham tribe—one branch, that is—was gainedfrom events of last winter. Walter’s father was one of Atticus’s clients. After a drearyconversation in our livingroom one night about his entailment48, before Mr. Cunninghamleft he said, “Mr. Finch, I don’t know when I’ll ever be able to pay you.”
“Let that be the least of your worries, Walter,” Atticus said.
When I asked Jem what entailment was, and Jem described it as a condition of havingyour tail in a crack, I asked Atticus if Mr. Cunningham would ever pay us.
“Not in money,” Atticus said, “but before the year’s out I’ll have been paid. You watch.”
We watched. One morning Jem and I found a load of stovewood in the back yard.
Later, a sack of hickory nuts appeared on the back steps. With Christmas came a crateof smilax and holly49. That spring when we found a crokersack full of turnip50 greens, Atticussaid Mr. Cunningham had more than paid him.
“Why does he pay you like that?” I asked.
“Because that’s the only way he can pay me. He has no money.”
“Are we poor, Atticus?”
Atticus nodded. “We are indeed.”
Jem’s nose wrinkled. “Are we as poor as the Cunninghams?”
“Not exactly. The Cunninghams are country folks, farmers, and the crash hit themhardest.”
Atticus said professional people were poor because the farmers were poor. AsMaycomb County was farm country, nickels and dimes51 were hard to come by for doctorsand dentists and lawyers. Entailment was only a part of Mr. Cunningham’s vexations.
The acres not entailed52 were mortgaged to the hilt, and the little cash he made went tointerest. If he held his mouth right, Mr. Cunningham could get a WPA job, but his landwould go to ruin if he left it, and he was willing to go hungry to keep his land and vote ashe pleased. Mr. Cunningham, said Atticus, came from a set breed of men.
As the Cunninghams had no money to pay a lawyer, they simply paid us with whatthey had. “Did you know,” said Atticus, “that Dr. Reynolds works the same way? Hecharges some folks a bushel of potatoes for delivery of a baby. Miss Scout, if you giveme your attention I’ll tell you what entailment is. Jem’s definitions are very nearlyaccurate sometimes.”
If I could have explained these things to Miss Caroline, I would have saved myselfsome inconvenience and Miss Caroline subsequent mortification53, but it was beyond myability to explain things as well as Atticus, so I said, “You’re shamin‘ him, Miss Caroline.
Walter hasn’t got a quarter at home to bring you, and you can’t use any stovewood.”
Miss Caroline stood stock still, then grabbed me by the collar and hauled me back toher desk. “Jean Louise, I’ve had about enough of you this morning,” she said. “You’restarting off on the wrong foot in every way, my dear. Hold out your hand.”
I thought she was going to spit in it, which was the only reason anybody in Maycombheld out his hand: it was a time-honored method of sealing oral contracts. Wonderingwhat bargain we had made, I turned to the class for an answer, but the class lookedback at me in puzzlement. Miss Caroline picked up her ruler, gave me half a dozenquick little pats, then told me to stand in the corner. A storm of laughter broke loosewhen it finally occurred to the class that Miss Caroline had whipped me.
When Miss Caroline threatened it with a similar fate the first grade exploded again,becoming cold sober only when the shadow of Miss Blount fell over them. Miss Blount, anative Maycombian as yet uninitiated in the mysteries of the Decimal System, appearedat the door hands on hips54 and announced: “If I hear another sound from this room I’llburn up everybody in it. Miss Caroline, the sixth grade cannot concentrate on thepyramids for all this racket!”
My sojourn55 in the corner was a short one. Saved by the bell, Miss Caroline watchedthe class file out for lunch. As I was the last to leave, I saw her sink down into her chairand bury her head in her arms. Had her conduct been more friendly toward me, I wouldhave felt sorry for her. She was a pretty little thing.
Catching1 Walter Cunningham in the schoolyard gave me some pleasure, but when Iwas rubbing his nose in the dirt Jem came by and told me to stop. “You’re bigger’n heis,” he said.
“He’s as old as you, nearly,” I said. “He made me start off on the wrong foot.”
“Let him go, Scout2. Why?”
“He didn’t have any lunch,” I said, and explained my involvement in Walter’s dietaryaffairs.
Walter had picked himself up and was standing3 quietly listening to Jem and me. Hisfists were half cocked, as if expecting an onslaught from both of us. I stomped4 at him tochase him away, but Jem put out his hand and stopped me. He examined Walter withan air of speculation5. “Your daddy Mr. Walter Cunningham from Old Sarum?” he asked,and Walter nodded.
Walter looked as if he had been raised on fish food: his eyes, as blue as Dill Harris’s,were red-rimmed and watery6. There was no color in his face except at the tip of hisnose, which was moistly pink. He fingered the straps7 of his overalls8, nervously9 picking atthe metal hooks.
Jem suddenly grinned at him. “Come on home to dinner with us, Walter,” he said.
“We’d be glad to have you.”
Walter’s face brightened, then darkened.
Jem said, “Our daddy’s a friend of your daddy’s. Scout here, she’s crazy—she won’tfight you any more.”
“I wouldn’t be too certain of that,” I said. Jem’s free dispensation of my pledge irkedme, but precious noontime minutes were ticking away. “Yeah Walter, I won’t jump onyou again. Don’t you like butterbeans? Our Cal’s a real good cook.”
Walter stood where he was, biting his lip. Jem and I gave up, and we were nearly tothe Radley Place when Walter called, “Hey, I’m comin‘!”
When Walter caught up with us, Jem made pleasant conversation with him. “A hain’tlives there,” he said cordially, pointing to the Radley house. “Ever hear about him,Walter?”
“Reckon I have,” said Walter. “Almost died first year I come to school and et thempecans—folks say he pizened ‘em and put ’em over on the school side of the fence.”
Jem seemed to have little fear of Boo Radley now that Walter and I walked besidehim. Indeed, Jem grew boastful: “I went all the way up to the house once,” he said toWalter.
“Anybody who went up to the house once oughta not to still run every time he passesit,” I said to the clouds above.
“And who’s runnin‘, Miss Priss?”
“You are, when ain’t anybody with you.”
By the time we reached our front steps Walter had forgotten he was a Cunningham.
Jem ran to the kitchen and asked Calpurnia to set an extra plate, we had company.
Atticus greeted Walter and began a discussion about crops neither Jem nor I couldfollow.
“Reason I can’t pass the first grade, Mr. Finch10, is I’ve had to stay out ever‘ spring an’
help Papa with the choppin‘, but there’s another’n at the house now that’s field size.”
“Did you pay a bushel of potatoes for him?” I asked, but Atticus shook his head at me.
While Walter piled food on his plate, he and Atticus talked together like two men, tothe wonderment of Jem and me. Atticus was expounding11 upon farm problems whenWalter interrupted to ask if there was any molasses in the house. Atticus summonedCalpurnia, who returned bearing the syrup12 pitcher13. She stood waiting for Walter to helphimself. Walter poured syrup on his vegetables and meat with a generous hand. Hewould probably have poured it into his milk glass had I not asked what the sam hill hewas doing.
The silver saucer clattered14 when he replaced the pitcher, and he quickly put his handsin his lap. Then he ducked his head.
Atticus shook his head at me again. “But he’s gone and drowned his dinner in syrup,” Iprotested. “He’s poured it all over-”
It was then that Calpurnia requested my presence in the kitchen.
She was furious, and when she was furious Calpurnia’s grammar became erratic15.
When in tranquility, her grammar was as good as anybody’s in Maycomb. Atticus saidCalpurnia had more education than most colored folks.
When she squinted16 down at me the tiny lines around her eyes deepened. “There’ssome folks who don’t eat like us,” she whispered fiercely, “but you ain’t called on tocontradict ‘em at the table when they don’t. That boy’s yo’ comp’ny and if he wants toeat up the table cloth you let him, you hear?”
“He ain’t company, Cal, he’s just a Cunningham-”
“Hush your mouth! Don’t matter who they are, anybody sets foot in this house’s yo‘comp’ny, and don’t you let me catch you remarkin’ on their ways like you was so highand mighty17! Yo‘ folks might be better’n the Cunninghams but it don’t count for nothin’ theway you’re disgracin‘ ’em—if you can’t act fit to eat at the table you can just set here andeat in the kitchen!”
Calpurnia sent me through the swinging door to the diningroom with a stinging smack18.
I retrieved19 my plate and finished dinner in the kitchen, thankful, though, that I wasspared the humiliation20 of facing them again. I told Calpurnia to just wait, I’d fix her: oneof these days when she wasn’t looking I’d go off and drown myself in Barker’s Eddy21 andthen she’d be sorry. Besides, I added, she’d already gotten me in trouble once today:
she had taught me to write and it was all her fault. “Hush your fussin‘,” she said.
Jem and Walter returned to school ahead of me: staying behind to advise Atticus ofCalpurnia’s iniquities22 was worth a solitary23 sprint24 past the Radley Place. “She likes Jembetter’n she likes me, anyway,” I concluded, and suggested that Atticus lose no time inpacking her off.
“Have you ever considered that Jem doesn’t worry her half as much?” Atticus’s voicewas flinty. “I’ve no intention of getting rid of her, now or ever. We couldn’t operate asingle day without Cal, have you ever thought of that? You think about how much Caldoes for you, and you mind her, you hear?”
I returned to school and hated Calpurnia steadily25 until a sudden shriek26 shattered myresentments. I looked up to see Miss Caroline standing in the middle of the room, sheerhorror flooding her face. Apparently27 she had revived enough to persevere28 in herprofession.
“It’s alive!” she screamed.
The male population of the class rushed as one to her assistance. Lord, I thought,she’s scared of a mouse. Little Chuck Little, whose patience with all living things wasphenomenal, said, “Which way did he go, Miss Caroline? Tell us where he went, quick!
D.C.-” he turned to a boy behind him—“D.C., shut the door and we’ll catch him. Quick,ma’am, where’d he go?”
Miss Caroline pointed29 a shaking finger not at the floor nor at a desk, but to a hulkingindividual unknown to me. Little Chuck’s face contracted and he said gently, “You meanhim, ma’am? Yessum, he’s alive. Did he scare you some way?”
Miss Caroline said desperately30, “I was just walking by when it crawled out of his hair…just crawled out of his hair-”
Little Chuck grinned broadly. “There ain’t no need to fear a cootie, ma’am. Ain’t youever seen one? Now don’t you be afraid, you just go back to your desk and teach ussome more.”
Little Chuck Little was another member of the population who didn’t know where hisnext meal was coming from, but he was a born gentleman. He put his hand under herelbow and led Miss Caroline to the front of the room. “Now don’t you fret31, ma’am,” hesaid. “There ain’t no need to fear a cootie. I’ll just fetch you some cool water.” Thecootie’s host showed not the faintest interest in the furor32 he had wrought33. He searchedthe scalp above his forehead, located his guest and pinched it between his thumb andforefinger.
Miss Caroline watched the process in horrid34 fascination35. Little Chuck brought water ina paper cup, and she drank it gratefully. Finally she found her voice. “What is yourname, son?” she asked softly.
The boy blinked. “Who, me?” Miss Caroline nodded.
“Burris Ewell.”
Miss Caroline inspected her roll-book. “I have a Ewell here, but I don’t have a firstname… would you spell your first name for me?”
“Don’t know how. They call me Burris’t home.”
“Well, Burris,” said Miss Caroline, “I think we’d better excuse you for the rest of theafternoon. I want you to go home and wash your hair.”
From her desk she produced a thick volume, leafed through its pages and read for amoment. “A good home remedy for—Burris, I want you to go home and wash your hairwith lye soap. When you’ve done that, treat your scalp with kerosene36.”
“What fer, missus?”
“To get rid of the—er, cooties. You see, Burris, the other children might catch them,and you wouldn’t want that, would you?”
The boy stood up. He was the filthiest37 human I had ever seen. His neck was darkgray, the backs of his hands were rusty38, and his fingernails were black deep into thequick. He peered at Miss Caroline from a fist-sized clean space on his face. No one hadnoticed him, probably, because Miss Caroline and I had entertained the class most ofthe morning.
“And Burris,” said Miss Caroline, “please bathe yourself before you come backtomorrow.”
The boy laughed rudely. “You ain’t sendin‘ me home, missus. I was on the verge39 ofleavin’—I done done my time for this year.”
Miss Caroline looked puzzled. “What do you mean by that?”
The boy did not answer. He gave a short contemptuous snort.
One of the elderly members of the class answered her: “He’s one of the Ewells,ma’am,” and I wondered if this explanation would be as unsuccessful as my attempt. ButMiss Caroline seemed willing to listen. “Whole school’s full of ‘em. They come first dayevery year and then leave. The truant40 lady gets ’em here ‘cause she threatens ’em withthe sheriff, but she’s give up tryin‘ to hold ’em. She reckons she’s carried out the law justgettin‘ their names on the roll and runnin’ ‘em here the first day. You’re supposed tomark ’em absent the rest of the year…”
“But what about their parents?” asked Miss Caroline, in genuine concern.
“Ain’t got no mother,” was the answer, “and their paw’s right contentious41.”
Burris Ewell was flattered by the recital42. “Been comin‘ to the first day o’ the first gradefer three year now,” he said expansively. “Reckon if I’m smart this year they’ll promoteme to the second…”
Miss Caroline said, “Sit back down, please, Burris,” and the moment she said it I knewshe had made a serious mistake. The boy’s condescension43 flashed to anger.
“You try and make me, missus.”
Little Chuck Little got to his feet. “Let him go, ma’am,” he said. “He’s a mean one, ahard-down mean one. He’s liable to start somethin‘, and there’s some little folks here.”
He was among the most diminutive44 of men, but when Burris Ewell turned toward him,Little Chuck’s right hand went to his pocket. “Watch your step, Burris,” he said. “I’dsoon’s kill you as look at you. Now go home.”
Burris seemed to be afraid of a child half his height, and Miss Caroline took advantageof his indecision: “Burris, go home. If you don’t I’ll call the principal,” she said. “I’ll haveto report this, anyway.”
The boy snorted and slouched leisurely45 to the door.
Safely out of range, he turned and shouted: “Report and be damned to ye! Ain’t nosnot-nosed slut of a schoolteacher ever born c’n make me do nothin‘! You ain’t makin’
me go nowhere, missus. You just remember that, you ain’t makin‘ me go nowhere!”
He waited until he was sure she was crying, then he shuffled46 out of the building.
Soon we were clustered around her desk, trying in our various ways to comfort her.
He was a real mean one… below the belt… you ain’t called on to teach folks like that…them ain’t Maycomb’s ways, Miss Caroline, not really… now don’t you fret, ma’am. MissCaroline, why don’t you read us a story? That cat thing was real fine this mornin‘…Miss Caroline smiled, blew her nose, said, “Thank you, darlings,” dispersed47 us,opened a book and mystified the first grade with a long narrative48 about a toadfrog thatlived in a hall.
When I passed the Radley Place for the fourth time that day—twice at a full gallop—my gloom had deepened to match the house. If the remainder of the school year wereas fraught49 with drama as the first day, perhaps it would be mildly entertaining, but theprospect of spending nine months refraining from reading and writing made me think ofrunning away.
By late afternoon most of my traveling plans were complete; when Jem and I racedeach other up the sidewalk to meet Atticus coming home from work, I didn’t give himmuch of a race. It was our habit to run meet Atticus the moment we saw him round thepost office corner in the distance. Atticus seemed to have forgotten my noontime fallfrom grace; he was full of questions about school. My replies were monosyllabic and hedid not press me.
Perhaps Calpurnia sensed that my day had been a grim one: she let me watch her fixsupper. “Shut your eyes and open your mouth and I’ll give you a surprise,” she said.
It was not often that she made crackling bread, she said she never had time, but withboth of us at school today had been an easy one for her. She knew I loved cracklingbread.
“I missed you today,” she said. “The house got so lonesome ‘long about two o’clock Ihad to turn on the radio.”
“Why? Jem’n me ain’t ever in the house unless it’s rainin‘.”
“I know,” she said, “But one of you’s always in callin‘ distance. I wonder how much ofthe day I spend just callin’ after you. Well,” she said, getting up from the kitchen chair,“it’s enough time to make a pan of cracklin‘ bread, I reckon. You run along now and letme get supper on the table.”
Calpurnia bent50 down and kissed me. I ran along, wondering what had come over her.
She had wanted to make up with me, that was it. She had always been too hard on me,she had at last seen the error of her fractious ways, she was sorry and too stubborn tosay so. I was weary from the day’s crimes.
After supper, Atticus sat down with the paper and called, “Scout, ready to read?” TheLord sent me more than I could bear, and I went to the front porch. Atticus followed me.
“Something wrong, Scout?”
I told Atticus I didn’t feel very well and didn’t think I’d go to school any more if it was allright with him.
Atticus sat down in the swing and crossed his legs. His fingers wandered to hiswatchpocket; he said that was the only way he could think. He waited in amiablesilence, and I sought to reinforce my position: “You never went to school and you do allright, so I’ll just stay home too. You can teach me like Granddaddy taught you ‘n’ UncleJack.”
“No I can’t,” said Atticus. “I have to make a living. Besides, they’d put me in jail if I keptyou at home—dose of magnesia for you tonight and school tomorrow.”
“I’m feeling all right, really.”
“Thought so. Now what’s the matter?”
Bit by bit, I told him the day’s misfortunes. “-and she said you taught me all wrong, sowe can’t ever read any more, ever. Please don’t send me back, please sir.”
Atticus stood up and walked to the end of the porch. When he completed hisexamination of the wisteria vine he strolled back to me.
“First of all,” he said, “if you can learn a simple trick, Scout, you’ll get along a lot betterwith all kinds of folks. You never really understand a person until you consider thingsfrom his point of view-”
“Sir?”
“-until you climb into his skin and walk around in it.”
Atticus said I had learned many things today, and Miss Caroline had learned severalthings herself. She had learned not to hand something to a Cunningham, for one thing,but if Walter and I had put ourselves in her shoes we’d have seen it was an honestmistake on her part. We could not expect her to learn all Maycomb’s ways in one day,and we could not hold her responsible when she knew no better.
“I’ll be dogged,” I said. “I didn’t know no better than not to read to her, and she heldme responsible—listen Atticus, I don’t have to go to school!” I was bursting with asudden thought. “Burris Ewell, remember? He just goes to school the first day. Thetruant lady reckons she’s carried out the law when she gets his name on the roll-” “Youcan’t do that, Scout,” Atticus said. “Sometimes it’s better to bend the law a little inspecial cases. In your case, the law remains51 rigid52. So to school you must go.”
“I don’t see why I have to when he doesn’t.”
“Then listen.”
Atticus said the Ewells had been the disgrace of Maycomb for three generations.
None of them had done an honest day’s work in his recollection. He said that someChristmas, when he was getting rid of the tree, he would take me with him and show mewhere and how they lived. They were people, but they lived like animals. “They can goto school any time they want to, when they show the faintest symptom of wanting aneducation,” said Atticus. “There are ways of keeping them in school by force, but it’s sillyto force people like the Ewells into a new environment-”
“If I didn’t go to school tomorrow, you’d force me to.”
“Let us leave it at this,” said Atticus dryly. “You, Miss Scout Finch, are of the commonfolk. You must obey the law.” He said that the Ewells were members of an exclusivesociety made up of Ewells. In certain circumstances the common folk judiciously53 allowedthem certain privileges by the simple method of becoming blind to some of the Ewells’
activities. They didn’t have to go to school, for one thing. Another thing, Mr. Bob Ewell,Burris’s father, was permitted to hunt and trap out of season.
“Atticus, that’s bad,” I said. In Maycomb County, hunting out of season was amisdemeanor at law, a capital felony in the eyes of the populace.
“It’s against the law, all right,” said my father, “and it’s certainly bad, but when a manspends his relief checks on green whiskey his children have a way of crying from hungerpains. I don’t know of any landowner around here who begrudges54 those children anygame their father can hit.”
“Mr. Ewell shouldn’t do that-”
“Of course he shouldn’t, but he’ll never change his ways. Are you going to take outyour disapproval55 on his children?”
“No sir,” I murmured, and made a final stand: “But if I keep on goin‘ to school, we can’tever read any more…”
“That’s really bothering you, isn’t it?”
“Yes sir.”
When Atticus looked down at me I saw the expression on his face that always mademe expect something. “Do you know what a compromise is?” he asked.
“Bending the law?”
“No, an agreement reached by mutual56 concessions57. It works this way,” he said. “Ifyou’ll concede the necessity of going to school, we’ll go on reading every night just aswe always have. Is it a bargain?”
“Yes sir!”
“We’ll consider it sealed without the usual formality,” Atticus said, when he saw mepreparing to spit.
As I opened the front screen door Atticus said, “By the way, Scout, you’d better notsay anything at school about our agreement.”
“Why not?”
“I’m afraid our activities would be received with considerable disapprobation by themore learned authorities.”
Jem and I were accustomed to our father’s last-will-and-testament diction, and wewere at all times free to interrupt Atticus for a translation when it was beyond ourunderstanding.
“Huh, sir?”
“I never went to school,” he said, “but I have a feeling that if you tell Miss Caroline weread every night she’ll get after me, and I wouldn’t want her after me.”
Atticus kept us in fits that evening, gravely reading columns of print about a man whosat on a flagpole for no discernible reason, which was reason enough for Jem to spendthe following Saturday aloft in the treehouse. Jem sat from after breakfast until sunsetand would have remained overnight had not Atticus severed58 his supply lines. I hadspent most of the day climbing up and down, running errands for him, providing him withliterature, nourishment59 and water, and was carrying him blankets for the night whenAtticus said if I paid no attention to him, Jem would come down. Atticus was right.
The remainder of my schooldays were no more auspicious1 than the first. Indeed, theywere an endless Project that slowly evolved into a Unit, in which miles of constructionpaper and wax crayon were expended2 by the State of Alabama in its well-meaning butfruitless efforts to teach me Group Dynamics3. What Jem called the Dewey DecimalSystem was school-wide by the end of my first year, so I had no chance to compare itwith other teaching techniques. I could only look around me: Atticus and my uncle, whowent to school at home, knew everything—at least, what one didn’t know the other did.
Furthermore, I couldn’t help noticing that my father had served for years in the statelegislature, elected each time without opposition4, innocent of the adjustments myteachers thought essential to the development of Good Citizenship5. Jem, educated on ahalf-Decimal half-Duncecap basis, seemed to function effectively alone or in a group,but Jem was a poor example: no tutorial system devised by man could have stoppedhim from getting at books. As for me, I knew nothing except what I gathered from Timemagazine and reading everything I could lay hands on at home, but as I inchedsluggishly along the treadmill6 of the Maycomb County school system, I could not helpreceiving the impression that I was being cheated out of something. Out of what I knewnot, yet I did not believe that twelve years of unrelieved boredom7 was exactly what thestate had in mind for me.
As the year passed, released from school thirty minutes before Jem, who had to stayuntil three o’clock, I ran by the Radley Place as fast as I could, not stopping until Ireached the safety of our front porch. One afternoon as I raced by, something caughtmy eye and caught it in such a way that I took a deep breath, a long look around, andwent back.
Two live oaks stood at the edge of the Radley lot; their roots reached out into the side-road and made it bumpy8. Something about one of the trees attracted my attention.
Some tinfoil9 was sticking in a knot-hole just above my eye level, winking10 at me in theafternoon sun. I stood on tiptoe, hastily looked around once more, reached into the hole,and withdrew two pieces of chewing gum minus their outer wrappers.
My first impulse was to get it into my mouth as quickly as possible, but I rememberedwhere I was. I ran home, and on our front porch I examined my loot. The gum lookedfresh. I sniffed11 it and it smelled all right. I licked it and waited for a while. When I did notdie I crammed12 it into my mouth: Wrigley’s Double-Mint.
When Jem came home he asked me where I got such a wad. I told him I found it.
“Don’t eat things you find, Scout13.”
“This wasn’t on the ground, it was in a tree.”
Jem growled14.
“Well it was,” I said. “It was sticking in that tree yonder, the one comin‘ from school.”
“Spit it out right now!”
I spat15 it out. The tang was fading, anyway. “I’ve been chewin‘ it all afternoon and I ain’tdead yet, not even sick.”
Jem stamped his foot. “Don’t you know you’re not supposed to even touch the treesover there? You’ll get killed if you do!”
“You touched the house once!”
“That was different! You go gargle—right now, you hear me?”
“Ain’t neither, it’ll take the taste outa my mouth.”
“You don’t ‘n’ I’ll tell Calpurnia on you!”
Rather than risk a tangle16 with Calpurnia, I did as Jem told me. For some reason, myfirst year of school had wrought17 a great change in our relationship: Calpurnia’s tyranny,unfairness, and meddling18 in my business had faded to gentle grumblings of generaldisapproval. On my part, I went to much trouble, sometimes, not to provoke her.
Summer was on the way; Jem and I awaited it with impatience19. Summer was our bestseason: it was sleeping on the back screened porch in cots, or trying to sleep in thetreehouse; summer was everything good to eat; it was a thousand colors in a parchedlandscape; but most of all, summer was Dill.
The authorities released us early the last day of school, and Jem and I walked hometogether. “Reckon old Dill’ll be coming home tomorrow,” I said.
“Probably day after,” said Jem. “Mis’sippi turns ‘em loose a day later.”
As we came to the live oaks at the Radley Place I raised my finger to point for thehundredth time to the knot-hole where I had found the chewing gum, trying to make Jembelieve I had found it there, and found myself pointing at another piece of tinfoil.
“I see it, Scout! I see it-”
Jem looked around, reached up, and gingerly pocketed a tiny shiny package. We ranhome, and on the front porch we looked at a small box patchworked20 with bits of tinfoilcollected from chewing-gum wrappers. It was the kind of box wedding rings came in,purple velvet21 with a minute catch. Jem flicked22 open the tiny catch. Inside were twoscrubbed and polished pennies, one on top of the other. Jem examined them.
“Indian-heads,” he said. “Nineteen-six and Scout, one of em’s nineteen-hundred.
These are real old.”
“Nineteen-hundred,” I echoed. “Say-”
“Hush23 a minute, I’m thinkin‘.”
“Jem, you reckon that’s somebody’s hidin‘ place?”
“Naw, don’t anybody much but us pass by there, unless it’s some grown person’s-”
“Grown folks don’t have hidin‘ places. You reckon we ought to keep ’em, Jem?”
“I don’t know what we could do, Scout. Who’d we give ‘em back to? I know for a factdon’t anybody go by there—Cecil goes by the back street an’ all the way around by townto get home.”
Cecil Jacobs, who lived at the far end of our street next door to the post office, walkeda total of one mile per school day to avoid the Radley Place and old Mrs. HenryLafayette Dubose. Mrs. Dubose lived two doors up the street from us; neighborhoodopinion was unanimous that Mrs. Dubose was the meanest old woman who ever lived.
Jem wouldn’t go by her place without Atticus beside him.
“What you reckon we oughta do, Jem?”
Finders were keepers unless title was proven. Plucking an occasional camellia, gettinga squirt of hot milk from Miss Maudie Atkinson’s cow on a summer day, helpingourselves to someone’s scuppernongs was part of our ethical24 culture, but money wasdifferent.
“Tell you what,” said Jem. “We’ll keep ‘em till school starts, then go around and askeverybody if they’re theirs. They’re some bus child’s, maybe—he was too taken up withgettin’ outa school today an‘ forgot ’em. These are somebody’s, I know that. See howthey’ve been slicked up? They’ve been saved.”
“Yeah, but why should somebody wanta put away chewing gum like that? You know itdoesn’t last.”
“I don’t know, Scout. But these are important to somebody…”
“How’s that, Jem…?”
“Well, Indian-heads—well, they come from the Indians. They’re real strong magic, theymake you have good luck. Not like fried chicken when you’re not lookin‘ for it, but thingslike long life ’n‘ good health, ’n‘ passin’ six-weeks tests… these are real valuable tosomebody. I’m gonna put em in my trunk.”
Before Jem went to his room, he looked for a long time at the Radley Place. Heseemed to be thinking again.
Two days later Dill arrived in a blaze of glory: he had ridden the train by himself fromMeridian to Maycomb Junction25 (a courtesy title—Maycomb Junction was in AbbottCounty) where he had been met by Miss Rachel in Maycomb’s one taxi; he had eatendinner in the diner, he had seen two twins hitched26 together get off the train in Bay St.
Louis and stuck to his story regardless of threats. He had discarded the abominableblue shorts that were buttoned to his shirts and wore real short pants with a belt; he wassomewhat heavier, no taller, and said he had seen his father. Dill’s father was taller thanours, he had a black beard (pointed), and was president of the L & N Railroad.
“I helped the engineer for a while,” said Dill, yawning.
“In a pig’s ear you did, Dill. Hush,” said Jem. “What’ll we play today?”
“Tom and Sam and Dick,” said Dill. “Let’s go in the front yard.” Dill wanted the RoverBoys because there were three respectable parts. He was clearly tired of being ourcharacter man.
“I’m tired of those,” I said. I was tired of playing Tom Rover, who suddenly lost hismemory in the middle of a picture show and was out of the script until the end, when hewas found in Alaska.
“Make us up one, Jem,” I said.
“I’m tired of makin‘ ’em up.”
Our first days of freedom, and we were tired. I wondered what the summer wouldbring.
We had strolled to the front yard, where Dill stood looking down the street at thedreary face of the Radley Place. “I—smell—death,” he said. “I do, I mean it,” he said,when I told him to shut up.
“You mean when somebody’s dyin‘ you can smell it?”
“No, I mean I can smell somebody an‘ tell if they’re gonna die. An old lady taught mehow.” Dill leaned over and sniffed me. “Jean—Louise—Finch, you are going to die inthree days.”
“Dill if you don’t hush I’ll knock you bowlegged. I mean it, now-”
“Yawl hush,” growled Jem, “you act like you believe in Hot Steams.”
“You act like you don’t,” I said.
“What’s a Hot Steam?” asked Dill.
“Haven’t you ever walked along a lonesome road at night and passed by a hot place?”
Jem asked Dill. “A Hot Steam’s somebody who can’t get to heaven, just wallows aroundon lonesome roads an‘ if you walk through him, when you die you’ll be one too, an’ you’llgo around at night suckin‘ people’s breath-”
“How can you keep from passing through one?”
“You can’t,” said Jem. “Sometimes they stretch all the way across the road, but if youhafta go through one you say, ‘Angel-bright, life-in-death; get off the road, don’t suck mybreath.’ That keeps ‘em from wrapping around you-”
“Don’t you believe a word he says, Dill,” I said. “Calpurnia says that’s nigger-talk.”
Jem scowled27 darkly at me, but said, “Well, are we gonna play anything or not?”
“Let’s roll in the tire,” I suggested.
Jem sighed. “You know I’m too big.”
“You c’n push.”
I ran to the back yard and pulled an old car tire from under the house. I slapped it upto the front yard. “I’m first,” I said.
Dill said he ought to be first, he just got here.
Jem arbitrated, awarded me first push with an extra time for Dill, and I folded myselfinside the tire.
Until it happened I did not realize that Jem was offended by my contradicting him onHot Steams, and that he was patiently awaiting an opportunity to reward me. He did, bypushing the tire down the sidewalk with all the force in his body. Ground, sky andhouses melted into a mad palette, my ears throbbed28, I was suffocating29. I could not putout my hands to stop, they were wedged between my chest and knees. I could onlyhope that Jem would outrun the tire and me, or that I would be stopped by a bump in thesidewalk. I heard him behind me, chasing and shouting.
The tire bumped on gravel30, skeetered across the road, crashed into a barrier andpopped me like a cork31 onto pavement. Dizzy and nauseated33, I lay on the cement andshook my head still, pounded my ears to silence, and heard Jem’s voice: “Scout, getaway from there, come on!”
I raised my head and stared at the Radley Place steps in front of me. I froze.
“Come on, Scout, don’t just lie there!” Jem was screaming. “Get up, can’tcha?”
I got to my feet, trembling as I thawed34.
“Get the tire!” Jem hollered. “Bring it with you! Ain’t you got any sense at all?”
When I was able to navigate35, I ran back to them as fast as my shaking knees wouldcarry me.
“Why didn’t you bring it?” Jem yelled.
“Why don’t you get it?” I screamed.
Jem was silent.
“Go on, it ain’t far inside the gate. Why, you even touched the house once,remember?”
Jem looked at me furiously, could not decline, ran down the sidewalk, treaded water atthe gate, then dashed in and retrieved36 the tire.
“See there?” Jem was scowling37 triumphantly38. “Nothin‘ to it. I swear, Scout, sometimesyou act so much like a girl it’s mortifyin’.”
There was more to it than he knew, but I decided39 not to tell him.
Calpurnia appeared in the front door and yelled, “Lemonade time! You all get in outathat hot sun ‘fore you fry alive!” Lemonade in the middle of the morning was asummertime ritual. Calpurnia set a pitcher40 and three glasses on the porch, then wentabout her business. Being out of Jem’s good graces did not worry me especially.
Lemonade would restore his good humor.
Jem gulped41 down his second glassful and slapped his chest. “I know what we aregoing to play,” he announced. “Something new, something different.”
“What?” asked Dill.
“Boo Radley.”
Jem’s head at times was transparent42: he had thought that up to make me understandhe wasn’t afraid of Radleys in any shape or form, to contrast his own fearless heroismwith my cowardice43.
“Boo Radley? How?” asked Dill.
Jem said, “Scout, you can be Mrs. Radley-”
“I declare if I will. I don’t think-”
“‘Smatter?” said Dill. “Still scared?”
“He can get out at night when we’re all asleep…” I said.
Jem hissed44. “Scout, how’s he gonna know what we’re doin‘? Besides, I don’t thinkhe’s still there. He died years ago and they stuffed him up the chimney.”
Dill said, “Jem, you and me can play and Scout can watch if she’s scared.”
I was fairly sure Boo Radley was inside that house, but I couldn’t prove it, and felt itbest to keep my mouth shut or I would be accused of believing in Hot Steams,phenomena I was immune to in the daytime.
Jem parceled out our roles: I was Mrs. Radley, and all I had to do was come out andsweep the porch. Dill was old Mr. Radley: he walked up and down the sidewalk andcoughed when Jem spoke45 to him. Jem, naturally, was Boo: he went under the frontsteps and shrieked46 and howled from time to time.
As the summer progressed, so did our game. We polished and perfected it, addeddialogue and plot until we had manufactured a small play upon which we rang changesevery day.
Dill was a villain47’s villain: he could get into any character part assigned him, andappear tall if height was part of the devilry required. He was as good as his worstperformance; his worst performance was Gothic. I reluctantly played assorted48 ladieswho entered the script. I never thought it as much fun as Tarzan, and I played thatsummer with more than vague anxiety despite Jem’s assurances that Boo Radley wasdead and nothing would get me, with him and Calpurnia there in the daytime and Atticushome at night.
Jem was a born hero.
It was a melancholy49 little drama, woven from bits and scraps50 of gossip andneighborhood legend: Mrs. Radley had been beautiful until she married Mr. Radley andlost all her money. She also lost most of her teeth, her hair, and her right forefinger(Dill’s contribution. Boo bit it off one night when he couldn’t find any cats and squirrels toeat.); she sat in the livingroom and cried most of the time, while Boo slowly whittledaway all the furniture in the house.
The three of us were the boys who got into trouble; I was the probate judge, for achange; Dill led Jem away and crammed him beneath the steps, poking51 him with thebrushbroom. Jem would reappear as needed in the shapes of the sheriff, assortedtownsfolk, and Miss Stephanie Crawford, who had more to say about the Radleys thananybody in Maycomb.
When it was time to play Boo’s big scene, Jem would sneak52 into the house, steal thescissors from the sewing-machine drawer when Calpurnia’s back was turned, then sit inthe swing and cut up newspapers. Dill would walk by, cough at Jem, and Jem wouldfake a plunge53 into Dill’s thigh54. From where I stood it looked real.
When Mr. Nathan Radley passed us on his daily trip to town, we would stand still andsilent until he was out of sight, then wonder what he would do to us if he suspected. Ouractivities halted when any of the neighbors appeared, and once I saw Miss MaudieAtkinson staring across the street at us, her hedge clippers poised55 in midair.
One day we were so busily playing Chapter XXV, Book II of One Man’s Family, we didnot see Atticus standing56 on the sidewalk looking at us, slapping a rolled magazineagainst his knee. The sun said twelve noon.
“What are you all playing?” he asked.
“Nothing,” said Jem.
Jem’s evasion57 told me our game was a secret, so I kept quiet.
“What are you doing with those scissors, then? Why are you tearing up thatnewspaper? If it’s today’s I’ll tan you.”
“Nothing.”
“Nothing what?” said Atticus.
“Nothing, sir.”
“Give me those scissors,” Atticus said. “They’re no things to play with. Does this byany chance have anything to do with the Radleys?”
“No sir,” said Jem, reddening.
“I hope it doesn’t,” he said shortly, and went inside the house.
“Je-m…”
“Shut up! He’s gone in the livingroom, he can hear us in there.”
Safely in the yard, Dill asked Jem if we could play any more.
“I don’t know. Atticus didn’t say we couldn’t-”
“Jem,” I said, “I think Atticus knows it anyway.”
“No he don’t. If he did he’d say he did.”
I was not so sure, but Jem told me I was being a girl, that girls always imagined things,that’s why other people hated them so, and if I started behaving like one I could just gooff and find some to play with.
“All right, you just keep it up then,” I said. “You’ll find out.”
Atticus’s arrival was the second reason I wanted to quit the game. The first reasonhappened the day I rolled into the Radley front yard. Through all the head-shaking,quelling of nausea32 and Jem-yelling, I had heard another sound, so low I could not haveheard it from the sidewalk. Someone inside the house was laughing.
My nagging1 got the better of Jem eventually, as I knew it would, and to my relief weslowed down the game for a while. He still maintained, however, that Atticus hadn’t saidwe couldn’t, therefore we could; and if Atticus ever said we couldn’t, Jem had thought ofa way around it: he would simply change the names of the characters and then wecouldn’t be accused of playing anything.
Dill was in hearty2 agreement with this plan of action. Dill was becoming something of atrial anyway, following Jem about. He had asked me earlier in the summer to marry him,then he promptly3 forgot about it. He staked me out, marked as his property, said I wasthe only girl he would ever love, then he neglected me. I beat him up twice but it did nogood, he only grew closer to Jem. They spent days together in the treehouse plottingand planning, calling me only when they needed a third party. But I kept aloof4 from theirmore foolhardy schemes for a while, and on pain of being called a girl, I spent most ofthe remaining twilights that summer sitting with Miss Maudie Atkinson on her frontporch.
Jem and I had always enjoyed the free run of Miss Maudie’s yard if we kept out of herazaleas, but our contact with her was not clearly defined. Until Jem and Dill excludedme from their plans, she was only another lady in the neighborhood, but a relativelybenign presence.
Our tacit treaty with Miss Maudie was that we could play on her lawn, eat herscuppernongs if we didn’t jump on the arbor5, and explore her vast back lot, terms sogenerous we seldom spoke6 to her, so careful were we to preserve the delicate balanceof our relationship, but Jem and Dill drove me closer to her with their behavior.
Miss Maudie hated her house: time spent indoors was time wasted. She was a widow,a chameleon7 lady who worked in her flower beds in an old straw hat and men’scoveralls, but after her five o’clock bath she would appear on the porch and reign8 overthe street in magisterial9 beauty.
She loved everything that grew in God’s earth, even the weeds. With one exception. Ifshe found a blade of nut grass in her yard it was like the Second Battle of the Marne:
she swooped10 down upon it with a tin tub and subjected it to blasts from beneath with apoisonous substance she said was so powerful it’d kill us all if we didn’t stand out of theway.
“Why can’t you just pull it up?” I asked, after witnessing a prolonged campaign againsta blade not three inches high.
“Pull it up, child, pull it up?” She picked up the limp sprout11 and squeezed her thumb upits tiny stalk. Microscopic12 grains oozed13 out. “Why, one sprig of nut grass can ruin awhole yard. Look here. When it comes fall this dries up and the wind blows it all overMaycomb County!” Miss Maudie’s face likened such an occurrence unto an OldTestament pestilence14.
Her speech was crisp for a Maycomb County inhabitant. She called us by all ournames, and when she grinned she revealed two minute gold prongs clipped to hereyeteeth. When I admired them and hoped I would have some eventually, she said,“Look here.” With a click of her tongue she thrust out her bridgework, a gesture ofcordiality that cemented our friendship.
Miss Maudie’s benevolence15 extended to Jem and Dill, whenever they paused in theirpursuits: we reaped the benefits of a talent Miss Maudie had hitherto kept hidden fromus. She made the best cakes in the neighborhood. When she was admitted into ourconfidence, every time she baked she made a big cake and three little ones, and shewould call across the street: “Jem Finch16, Scout17 Finch, Charles Baker18 Harris, comehere!” Our promptness was always rewarded.
In summertime, twilights are long and peaceful. Often as not, Miss Maudie and I wouldsit silently on her porch, watching the sky go from yellow to pink as the sun went down,watching flights of martins sweep low over the neighborhood and disappear behind theschoolhouse rooftops.
“Miss Maudie,” I said one evening, “do you think Boo Radley’s still alive?”
“His name’s Arthur and he’s alive,” she said. She was rocking slowly in her big oakchair. “Do you smell my mimosa? It’s like angels’ breath this evening.”
“Yessum. How do you know?”
“Know what, child?”
“That B—Mr. Arthur’s still alive?”
“What a morbid19 question. But I suppose it’s a morbid subject. I know he’s alive, JeanLouise, because I haven’t seen him carried out yet.”
“Maybe he died and they stuffed him up the chimney.”
“Where did you get such a notion?”
“That’s what Jem said he thought they did.”
“S-ss-ss. He gets more like Jack20 Finch every day.”
Miss Maudie had known Uncle Jack Finch, Atticus’s brother, since they were children.
Nearly the same age, they had grown up together at Finch’s Landing. Miss Maudie wasthe daughter of a neighboring landowner, Dr. Frank Buford. Dr. Buford’s profession wasmedicine and his obsession21 was anything that grew in the ground, so he stayed poor.
Uncle Jack Finch confined his passion for digging to his window boxes in Nashville andstayed rich. We saw Uncle Jack every Christmas, and every Christmas he yelled acrossthe street for Miss Maudie to come marry him. Miss Maudie would yell back, “Call a littlelouder, Jack Finch, and they’ll hear you at the post office, I haven’t heard you yet!” Jemand I thought this a strange way to ask for a lady’s hand in marriage, but then UncleJack was rather strange. He said he was trying to get Miss Maudie’s goat, that he hadbeen trying unsuccessfully for forty years, that he was the last person in the world MissMaudie would think about marrying but the first person she thought about teasing, andthe best defense22 to her was spirited offense23, all of which we understood clearly.
“Arthur Radley just stays in the house, that’s all,” said Miss Maudie. “Wouldn’t you stayin the house if you didn’t want to come out?”
“Yessum, but I’d wanta come out. Why doesn’t he?”
Miss Maudie’s eyes narrowed. “You know that story as well as I do.”
“I never heard why, though. Nobody ever told me why.”
Miss Maudie settled her bridgework. “You know old Mr. Radley was a foot-washingBaptist-”
“That’s what you are, ain’t it?”
“My shell’s not that hard, child. I’m just a Baptist.”
“Don’t you all believe in foot-washing?”
“We do. At home in the bathtub.”
“But we can’t have communion with you all-”
Apparently deciding that it was easier to define primitive24 baptistry than closedcommunion, Miss Maudie said: “Foot-washers believe anything that’s pleasure is a sin.
Did you know some of ‘em came out of the woods one Saturday and passed by thisplace and told me me and my flowers were going to hell?”
“Your flowers, too?”
“Yes ma’am. They’d burn right with me. They thought I spent too much time in God’soutdoors and not enough time inside the house reading the Bible.”
My confidence in pulpit Gospel lessened25 at the vision of Miss Maudie stewing26 foreverin various Protestant hells. True enough, she had an acid tongue in her head, and shedid not go about the neighborhood doing good, as did Miss Stephanie Crawford. Butwhile no one with a grain of sense trusted Miss Stephanie, Jem and I had considerablefaith in Miss Maudie. She had never told on us, had never played cat-and-mouse withus, she was not at all interested in our private lives. She was our friend. How soreasonable a creature could live in peril27 of everlasting28 torment29 was incomprehensible.
“That ain’t right, Miss Maudie. You’re the best lady I know.”
Miss Maudie grinned. “Thank you ma’am. Thing is, foot-washers think women are asin by definition. They take the Bible literally30, you know.”
“Is that why Mr. Arthur stays in the house, to keep away from women?”
“I’ve no idea.”
“It doesn’t make sense to me. Looks like if Mr. Arthur was hankerin‘ after heaven he’dcome out on the porch at least. Atticus says God’s loving folks like you love yourself-”
Miss Maudie stopped rocking, and her voice hardened. “You are too young tounderstand it,” she said, “but sometimes the Bible in the hand of one man is worse thana whiskey bottle in the hand of—oh, of your father.”
I was shocked. “Atticus doesn’t drink whiskey,” I said. “He never drunk a drop in hislife—nome, yes he did. He said he drank some one time and didn’t like it.”
Miss Maudie laughed. “Wasn’t talking about your father,” she said. “What I meant was,if Atticus Finch drank until he was drunk he wouldn’t be as hard as some men are attheir best. There are just some kind of men who—who’re so busy worrying about thenext world they’ve never learned to live in this one, and you can look down the streetand see the results.”
“Do you think they’re true, all those things they say about B—Mr. Arthur?”
“What things?”
I told her.
“That is three-fourths colored folks and one-fourth Stephanie Crawford,” said MissMaudie grimly. “Stephanie Crawford even told me once she woke up in the middle of thenight and found him looking in the window at her. I said what did you do, Stephanie,move over in the bed and make room for him? That shut her up a while.”
I was sure it did. Miss Maudie’s voice was enough to shut anybody up.
“No, child,” she said, “that is a sad house. I remember Arthur Radley when he was aboy. He always spoke nicely to me, no matter what folks said he did. Spoke as nicely ashe knew how.”
“You reckon he’s crazy?”
Miss Maudie shook her head. “If he’s not he should be by now. The things that happento people we never really know. What happens in houses behind closed doors, whatsecrets-”
“Atticus don’t ever do anything to Jem and me in the house that he don’t do in theyard,” I said, feeling it my duty to defend my parent.
“Gracious child, I was raveling a thread, wasn’t even thinking about your father, butnow that I am I’ll say this: Atticus Finch is the same in his house as he is on the publicstreets. How’d you like some fresh poundcake to take home?”
I liked it very much.
Next morning when I awakened31 I found Jem and Dill in the back yard deep inconversation. When I joined them, as usual they said go away.
“Will not. This yard’s as much mine as it is yours, Jem Finch. I got just as much right toplay in it as you have.”
Dill and Jem emerged from a brief huddle32: “If you stay you’ve got to do what we tellyou,” Dill warned.
“We-ll,” I said, “who’s so high and mighty33 all of a sudden?”
“If you don’t say you’ll do what we tell you, we ain’t gonna tell you anything,” Dillcontinued.
“You act like you grew ten inches in the night! All right, what is it?”
Jem said placidly34, “We are going to give a note to Boo Radley.”
“Just how?” I was trying to fight down the automatic terror rising in me. It was all rightfor Miss Maudie to talk—she was old and snug35 on her porch. It was different for us.
Jem was merely going to put the note on the end of a fishing pole and stick it throughthe shutters37. If anyone came along, Dill would ring the bell.
Dill raised his right hand. In it was my mother’s silver dinner-bell.
“I’m goin‘ around to the side of the house,” said Jem. “We looked yesterday fromacross the street, and there’s a shutter36 loose. Think maybe I can make it stick on thewindow sill, at least.”
“Jem-”
“Now you’re in it and you can’t get out of it, you’ll just stay in it, Miss Priss!”
“Okay, okay, but I don’t wanta watch. Jem, somebody was-”
“Yes you will, you’ll watch the back end of the lot and Dill’s gonna watch the front ofthe house an‘ up the street, an’ if anybody comes he’ll ring the bell. That clear?”
“All right then. What’d you write him?”
Dill said, “We’re askin‘ him real politely to come out sometimes, and tell us what hedoes in there—we said we wouldn’t hurt him and we’d buy him an ice cream.”
“You all’ve gone crazy, he’ll kill us!”
Dill said, “It’s my idea. I figure if he’d come out and sit a spell with us he might feelbetter.”
“How do you know he don’t feel good?”
“Well how’d you feel if you’d been shut up for a hundred years with nothin‘ but cats toeat? I bet he’s got a beard down to here-” “Like your daddy’s?”
“He ain’t got a beard, he-” Dill stopped, as if trying to remember.
“Uh huh, caughtcha,” I said. “You said ‘fore you were off the train good your daddyhad a black beard-”
“If it’s all the same to you he shaved it off last summer! Yeah, an‘ I’ve got the letter toprove it—he sent me two dollars, too!”
“Keep on—I reckon he even sent you a mounted police uniform! That’n never showedup, did it? You just keep on tellin‘ ’em, son-”
Dill Harris could tell the biggest ones I ever heard. Among other things, he had beenup in a mail plane seventeen times, he had been to Nova Scotia, he had seen anelephant, and his granddaddy was Brigadier General Joe Wheeler and left him hissword.
“You all hush,” said Jem. He scuttled38 beneath the house and came out with a yellowbamboo pole. “Reckon this is long enough to reach from the sidewalk?”
“Anybody who’s brave enough to go up and touch the house hadn’t oughta use afishin‘ pole,” I said. “Why don’t you just knock the front door down?”
“This—is—different,” said Jem, “how many times do I have to tell you that?”
Dill took a piece of paper from his pocket and gave it to Jem. The three of us walkedcautiously toward the old house. Dill remained at the light-pole on the front corner of thelot, and Jem and I edged down the sidewalk parallel to the side of the house. I walkedbeyond Jem and stood where I could see around the curve.
“All clear,” I said. “Not a soul in sight.”
Jem looked up the sidewalk to Dill, who nodded.
Jem attached the note to the end of the fishing pole, let the pole out across the yardand pushed it toward the window he had selected. The pole lacked several inches ofbeing long enough, and Jem leaned over as far as he could. I watched him makingjabbing motions for so long, I abandoned my post and went to him.
“Can’t get it off the pole,” he muttered, “or if I got it off I can’t make it stay. G’on backdown the street, Scout.”
I returned and gazed around the curve at the empty road. Occasionally I looked backat Jem, who was patiently trying to place the note on the window sill. It would flutter tothe ground and Jem would jab it up, until I thought if Boo Radley ever received it hewouldn’t be able to read it. I was looking down the street when the dinner-bell rang.
Shoulder up, I reeled around to face Boo Radley and his bloody39 fangs40; instead, I sawDill ringing the bell with all his might in Atticus’s face.
Jem looked so awful I didn’t have the heart to tell him I told him so. He trudged41 along,dragging the pole behind him on the sidewalk.
Atticus said, “Stop ringing that bell.”
Dill grabbed the clapper; in the silence that followed, I wished he’d start ringing itagain. Atticus pushed his hat to the back of his head and put his hands on his hips42.
“Jem,” he said, “what were you doing?”
“Nothin‘, sir.”
“I don’t want any of that. Tell me.”
“I was—we were just tryin‘ to give somethin’ to Mr. Radley.”
“What were you trying to give him?”
“Just a letter.”
“Let me see it.”
Jem held out a filthy43 piece of paper. Atticus took it and tried to read it. “Why do youwant Mr. Radley to come out?”
Dill said, “We thought he might enjoy us…” and dried up when Atticus looked at him.
“Son,” he said to Jem, “I’m going to tell you something and tell you one time: stoptormenting that man. That goes for the other two of you.”
What Mr. Radley did was his own business. If he wanted to come out, he would. If hewanted to stay inside his own house he had the right to stay inside free from theattentions of inquisitive44 children, which was a mild term for the likes of us. How wouldwe like it if Atticus barged in on us without knocking, when we were in our rooms atnight? We were, in effect, doing the same thing to Mr. Radley. What Mr. Radley didmight seem peculiar45 to us, but it did not seem peculiar to him. Furthermore, had it neveroccurred to us that the civil way to communicate with another being was by the frontdoor instead of a side window? Lastly, we were to stay away from that house until wewere invited there, we were not to play an asinine46 game he had seen us playing ormake fun of anybody on this street or in this town-“We weren’t makin‘ fun of him, we weren’t laughin’ at him,” said Jem, “we were just-”
“So that was what you were doing, wasn’t it?”
“Makin‘ fun of him?”
“No,” said Atticus, “putting his life’s history on display for the edification of theneighborhood.”
Jem seemed to swell47 a little. “I didn’t say we were doin‘ that, I didn’t say it!”
Atticus grinned dryly. “You just told me,” he said. “You stop this nonsense right now,every one of you.”
Jem gaped48 at him.
“You want to be a lawyer, don’t you?” Our father’s mouth was suspiciously firm, as ifhe were trying to hold it in line.
Jem decided49 there was no point in quibbling, and was silent. When Atticus went insidethe house to retrieve50 a file he had forgotten to take to work that morning, Jem finallyrealized that he had been done in by the oldest lawyer’s trick on record. He waited arespectful distance from the front steps, watched Atticus leave the house and walktoward town. When Atticus was out of earshot Jem yelled after him: “I thought I wantedto be a lawyer but I ain’t so sure now!”
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English
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16k
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T4. Summarization & Synthesis
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T4.1 Global-Coverage Constrained Summary
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Full
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The above are multiple chapters of a novel, and based on the given text, summarize and generalize the entire content, with a requirement of no more than 100 words. Output the "[Answer]" identifier first, and then output the summary, without any additional content.
Output example:
[Answer]
your summary
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The above are multiple chapters of a novel, and based on the given text, summarize and generalize the entire content, with a requirement of no more than 100 words. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the summary.
Output example:
<Your thinking process>
[Answer]
your summary
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[
"Scout faces troubles on her first school day, then she, Jem, and Dill try communicating with Boo Radley. Atticus teaches Scout empathy lessons, reminding them to respect Boo’s privacy and not torment him, guiding the kids to understand others’ perspectives.",
"On Scout's first school day, she clashes with Miss Caroline. Later, Scout, Jem, and Dill attempt to reach Boo Radley. Atticus steps in, giving empathy lessons, telling them to leave Boo alone as he has the right to privacy, shaping the kids’ views.",
"Scout has issues on her first school day. She, Jem, Dill try communicating with Boo Radley (via a play, a note), but Atticus stops them, teaching empathy lessons to respect Boo’s space and understand his choice to stay indoors."
] |
Extreme
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27fe5abd544720d3c16adf24faa8b7f5c7b9eb8d403b0a296cbd6eb62aa34ea0
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‘The Librarianist’ Could Stand To Be Stranger
As Patrick deWitt’s The Librarianist rolls along, readers might wonder if the Canadian humorist has finally settled down to write a “normal” novel. DeWitt has made his name peddling in surreal quirk, or as The New Yorker calls it, “stealth absurdism.” His oeuvre traces the footsteps of a Tom Robbins or perhaps a Roald Dahl, the surface world a cellophane-thin façade stretched across humanity’s unabashed weirdness.
A 2011 Booker nominee, deWitt has employed these sensibilities to literary acclaim. Two of his novels—2011’s The Sisters Brothers (atmospheric, gruesome) and 2018’s French Exit (liquor-fueled, also gruesome)—have even been adapted into films. Not to be outdone by Hollywood, his 2015 oddball fairy tale Undermajordomo Minor climaxed in a sequence of unforgettable, indeed, memory-searing luridness. This is to say that deWitt traffics in a certain kind of plot and character. A portfolio such as his forges expectations. But in the first hundred-odd pages of The Librarianist, these expectations are unmet. More so, they miss the mark entirely.
The Librarianist concerns one Bob Comet, a demure divorcee who’s spent his life between the pages of books and, notably, between but one pair of legs (“Bob could never relate to the crude male perspective regarding the mysteries and machinations of sex”). Bob begins this tale as an old man, but even as the novel rewinds—from his retirement, to his spousal courtship, to his childhood—he can’t kick the septuagenarian mannerisms. It seems that Bob Comet was born to be an old person. And likewise, a librarian.
“[Bob] read adventure stories exclusively and with the pure and thorough commitment of the narcotics addict up until the onset of adolescence,” the novel’s omniscient narrator tells us, “at which point he discovered the dependable literary themes of loss, death, heartbreak, and abject alienation.”
Here, a perfunctory note on bookworm protagonists. O, low-hung literary fruit! Readers love reading, sure, but do they love reading about reading?
Plowing through novels doesn’t propel on-the-page action, and a limitation of writing bookworms is that these characters become tied, through the fourth wall, to the audience. Especially in the case of The Librarianist, wherein Bob’s bookishness fuels grim isolation, deWitt fans may table their hardback and step out for a breath of fresh air. Or a pint with a real live friend.
Speaking of which, Bob Comet’s social pursuits form the crux of this work. The aged bachelor claims comfort in solitude but craves platonic relationship and acts accordingly. deWitt has a penchant for intractable characters, and his novels tend to investigate what happens when these figures are thrust—often unwillingly—into motion. Bob fits this description to a tee, but his need for interaction had me questioning his hermit credentials. This opens a can of worms: Has Bob spent his life around books because he enjoys them, or because he’s too weak to accomplish anything else? A terrible question for a writer to ask, I’ve asked it nonetheless.
The Librarianist is essentially three novellas mashed into one lumpy albeit nourishing superstructure, concluded with a brief coda. Bob plays principal throughout, making repeated forays into the larger world only to be rebuffed by circumstance and his own timidity. Appropriately, deWitt kicks off his ode to isolation in nursing homes, specifically the very sad, very understaffed Gambell-Reed Senior Center in Portland, Oregon. Steered to the complex by an AWOL inmate—er, resident—Bob volunteers on account of his loneliness.
These are the terms on which we meet Mr. Comet, and suffice to say, they aren’t pretty. I felt less pity for Bob here than for deWitt, who seems to have performed an exhaustive study of our live-in care system. This first section of the novel reads like a toothless (or maybe just sober) One Flew Over the Cuckoo’s Nest.As usual, deWitt does wonders with dialogue—“When we gamble, we’re asking the universe what we’re worth, and the universe, terrifyingly, tells us”—and one way to digest his novels is as a detached flaneur, similar to “watching” a Jarmusch film. The issue here is that deWitt has already spoiled us, particularly in The Sisters Brothers, with stellar plotting. In the Gambell-Reed Senior Center, there’s not much to grab hold of.
Things gain speed in the novel’s second section, where a much younger Bob meets his sheltered yet feisty bride-to-be, Connie, and then his first and only friend, Ethan, with whom Connie soon runs off.
“Don’t you like kids?” Bob asks Connie near the start of their involvement.
“I don’t know any kids,” she replies.
“Maybe you don’t like the idea of them.”
“No,” she answers, “to be honest, I don’t. It’s a steep investment for a woman, with unreliable returns.”
This Connie/Ethan segment is the heart of deWitt’s novel, and while it doesn’t explain Bob’s premature senility, dialogue rolls like a snare and romantic stakes feel sky-high. Since Bob has already told us how things end up, this is something of an adulterous postmortem. DeWitt doesn’t reach Updikean peaks but comports himself admirably as to why couples do the odd things they do.
In terms of oddity, here we reach a crossroads, for upon Connie’s leaving—“Bob still didn’t fully understand, he was not allowing himself to completely understand what had happened to his life”—The Librarianist continues to skirt deWitt’s stomping grounds. No one has yet been dismembered, manacled, or poisoned. Alcohol, while present, is not ascendent. And most strikingly, things just aren’t that strange.
Fear not. Like a mildly Tourettic missionary from some cult of the American bizarre, deWitt can’t fake a straight face for long. Here we rewind again and find Bob, aged 11, running away from home via commuter train and Greyhound bus. Stowing off to Oregon’s bucolic coastline, the reticent youngster finds himself among a two-woman, two-dog variety show taking up residency at an abandoned hotel.
Hoo-ha, I thought as the pups commenced a staggering ballroom waltz, now I’m reading deWitt. I’m probably a sucker for inanity—“You always hear about tramps buggering children,” one woman says of her dreams—but I enjoyed this final section perhaps more than was warranted given its detachment from the central narrative. If you’ve ever been to the Oregon Coast, as deWitt clearly has, you know it’s a place out of time and step with the rest of the ole’ contiguous. The same can be said of our last triptych panel, which involves wartime America, small-town showbiz, and an unrequited childhood crush, all of it rendered in the approximate spirit of Wes Anderson.
By now you’re likely wondering, where does this leave us? Is The Librarianist worth my time, or is it simply a sandwich with mismatched bits, bologna, say, with rhubarb and mackerel on a pretzel roll?
Really, reader, it’s both. This isn’t deWitt’s finest work, but then deWitt is a mighty fine author, and these can be hard to come by. If his newest novel occasionally limps along, it takes after Gerty MacDowell and does so with flair.
Eric Olson is a Seattle-based novelist and essayist who covers books, music, and culture for The Daily Beast, Post Alley and Earshot Jazz. He also works as an environmental engineer and plays guitar in Northwest group Caveman Ego. You can learn more about him and his work at ericolsonwriting.com.
The Real Lambs Know: On ‘Why Mariah Carey Matters’
In one episode of the reality show Life After Death with Tyler Henry, which follows the titular clairvoyant medium as he travels the U.S., Henry quips “I think gay men are destined to like Mariah. The hormones that make you gay in the womb, I think she’s responsible.” Henry, who is gay and doesn’t particularly care for Carey’s voice, admits he is nevertheless drawn to her on account of some “gay requirement.”
A Carey fan myself, at first I wasn’t exactly sure what Henry meant by this, but I have a clearer picture now for having read Andrew Chan‘s Why Mariah Carey Matters. Chan’s slim volume covers not only Carey’s artistry, but also the sociological aspects of her celebrity, and—more nebulously—why and how she became a towering gay icon. These ideas often overlap and complicate each other. Indeed Carey is more than just a famous singer; her omnipresence reaches far beyond her discography, and somewhere down the line she morphed into her own sort of sensibility—a byword, and an especially divisive one.
Carey, who has become an oft-memed camp icon, embodies the slippery nature which Sontag, in Notes on Camp, called “gestures full of duplicity, with a witty meaning for the cognoscenti and another, more impersonal, for the outsider.” Two of Carey’s favorite qualifiers are “true” and “real,” as in “only my true fans understand” or “the real lambs know.” (“Lambs” are what Carey’s most ardent fans call themselves; as a group, “the Lambily.”) Her output is filled with Easter eggs to reward insiders, and over the past 33 years her personal iconography has accrued such density as to make the fluent feel like experts. Yet outside the Lambily, Carey draws mixed reactions. Some deride her as the washed-up Queen of Christmas, while others recall her nostalgically as the singer of bubbly throwbacks. A few even praise her as a pioneering biracial woman in entertainment. Detractors are easy to find, as is a general indifference toward Carey. So her most ardent fans—those chosen few—cling to one another with near-religious zeal.
Rarely do Lambs randomly encounter one another in the wild. This separateness—the most delicious part of diva worship—is what Sontag means when she writes that “behind the ‘straight’ public sense in which something can be taken, one has found a private zany experience of the thing.” That “private zany experience” reported by so many is precisely the challenge of writing a book about Carey. As Sontag herself disclaims at the beginning of Notes on Camp: “It’s embarrassing to be solemn and treatise-like about camp. One runs the risk of having, oneself, produced a very inferior piece of camp.” Chan largely escapes this fate, striking an elegant balance of tone and writing as a critic, a reporter, and a memoirist all at once. He flexes his journalistic chops to dismantle erroneous narratives about Carey, and when Carey’s effect on audiences poses a phenomenological hurdle, he spins illuminating personal narratives only to then pivot towards rigorous close-readings of her lyrics, voice, and performances worthy of Barthes’s Mythologies. Carey’s association with, in Chan’s words, “the frothy and superficial” makes the argument for her “mattering” an especially audacious one. Establishing Carey’s aesthetic significance, Chan tenderly dissects her artistry, making the case that “singing like hers is creative and intellectual labor.” His analysis of Carey’s magnum opus Butterfly, her sixth studio album released in 1997, aroused in me the same response he attributes to virtuosic singing: “Some of us respond with gestures of ecstasy: closing our eyes, trembling and shuddering, scrunching up our faces, holding our hands up as if to catch the sound in midair.”
Indeed I felt ecstatic upon reading Chan’s description of Butterfly as “an album of decadent beauty and rococo adornments,” just as I did when he dignified Carey’s signature vocal layering as “building out an atmosphere from exquisite filigree and pointillist detail,” or best of all, when he labels her horniest song, “The Roof,” as “carnal,” “menacing,” and a “Proustian memento” Though he dutifully cites Carey’s impact on a generation of singer-songwriters; the import of her genre forays into hip-hop, house, and gospel; and the ignorant racializations hurled at her since her debut, Chan intuits something more essential about Carey. Why exactly does a certain subset of the public feel so ardently about Carey? Even with her virtuosic abilities, and her early commercial dominance, Carey would not have become the icon (in the most literal sense of the word) if not for that inexplicable devotion—would not have acquired the almost hagiographic reverence usually reserved for artists of her stature who have already died.
According to Chan the answer lies, ironically, not in her more accomplished output but in the juxtaposition between her agonizing introspection and her shallower incarnations. Chan cites his adolescent disenchantment with Carey, how he detested her 1999 album Rainbow upon its release, grew embarrassed by his love for Carey, and opted instead for the alternative fare of the ‘90s. He recalls a conversation with a gay elder on an early-aughts message board who expanded his sense of what matters:
In retrospect, I like to think that my pen pal was teaching me, in his own indirect way, that escapism is key to any great Diva’s relationship with her queer fans—and that, ultimately, the fear of what’s being escaped is never all that far from view.
Carey’s insistence on being both profound and frivolous, on being serious while exaggerating her unseriousness, is the secret language—the “witty meaning for the cognoscenti”—of sexual minorities everywhere who by virtue of being a joke assert that they are in on it. But this survival mechanism does not come without cost. It dooms one to forever be split between the “straight” and the “zany,” to adapt one’s presentation in response to the audience’s prejudice; to code-switch, to come out of the closet over and over again. As Chan puts it while discussing Carey’s role in the 2001 movie Glitter:
That Mariah decided to name her big screen debut—a film that so obviously draws inspiration from her own life—after this symbol of artifice, excess, marginality, and non-respectability shows us something she shares with many of her queer fans: her pain is forever bound up with the performative strategies with which she’s learned to transmute it.
And there is the paradox, the duplicity. Though I myself lust for Carey’s vindication, I love her precisely because she has been willfully misunderstood, and because she has improvised ways to thrive in the face of derision. Chan notes the beleaguered dilemma vital to Carey-worship:
As long as a sizable swath of the population goes on thinking of her as a capricious, undisciplined diva—the remnant of a bygone era of superstardom, resting on her laurels—the lambs can look to the depth and wit of her best music as a secret, a treasure waiting to be uncovered by anyone willing to give her work a closer listen.
Carey notoriously refers to herself as the “elusive chanteuse,” and that tagline certainly applies. But after reading Why Mariah Carey Matters, I will think of her more as a duplicitous diva—my private zany experience, my secret knowledge. The woman who understands what it is to keep going despite knowing that she will never be fully understood, or in her own words: “Ambiguous / Without a sense of belonging to touch / Somewhere half-way / Feeling there’s no one completely the same.”
Jeromiah Taylor is a writer from Wichita, Kansas. His work appears or is forthcoming in The Millions, The Chicago Review of Books, Belt Mag, The New Territory, NorthWest Review, and others. Jeromiah's writing explores the intersections of queerness and aesthetics. You can reach him on Twitter @JeromiahTaylor, on Instagram @byjeromiahtaylor, and at jeromiahtaylor.com.
Academic Angst Goes Abroad in ‘The English Experience’
If you have ever been—or think you’ll ever be—a burned-out professor, pick up a copy of Julie Schumacher’s new novel The English Experience. To those already familiar with Schumacher’s oeuvre, the book closes out her collegiate trilogy (begun with 2014’s Dear Committee Members and continued in 2018 with The Shakespeare Requirement). However, The English Experience works perfectly as a standalone novel, presenting readers with a hilarious and rigorous syllabus of academic discontents.
The novel reunites us with Schumacher’s sarcastic and inert Jay Fitger, a professor at a small liberal arts college in the Midwest, who has been tapped, at the last minute, to lead a group of first-year students to London for a winter term abroad. But Fitger is burned out, to put it mildly. He’s spent far too many years in a system that barely notices him and is still in the thick of grading last term’s finals. The prospect of squeezing in a trip to a city that he hates (it reminds him of his ex-wife and the disappointing time they spent there a decade ago) is not exactly enticing.
Not lost in him is the fact that he’s been chosen for the role because he doesn’t really have anything else going on. During a one-way conversation with the provost, Fitger sees “a slip of paper with a list of names [on the provost’s desk], all of them crossed out except for his own, at the bottom.” The provost, sensing Fitger’s reluctance, reminds him that the department budget requests are soon to be reviewed. Trapped, Fitger agrees to the trip and begins to sift through the student applications.
To great effect, a variety of student writings intersperse the narrative and show us exactly what Fitger is up against. The papers are rife with blubbering composition, vague thesis statements meandering toward banal epiphanies, flimsy Wikipedia citations, and template language that should have been deleted (“Begin your letter with an appropriate professional Dear Payne Experience Abroad Office…”). Like Fitger, we can’t help but glaze over as we trudge through the dross, only perking up with the appearance of some zany syntax or inadvertently amusing digressions. Even the students’ basic reading comprehension skills are up for debate; one of them writes in his application that he is “totally psyched about our January trip to the Cayman Islands.”
Eventually, a cohort is assembled, and Schumacher deftly builds comic tension as Fitger leads the student ensemble to London for a tour of its storied sites. They visit the Tate Museum, see Buckingham Palace, and take trips to Stonehenge and Bath. The students—among a couple who broke up shortly before the trip, a woman who spends the excursion pining for her cat, and a pair of twins that Fitger can’t tell apart—end up plainly running the show. During an initial outing, one student quietly detaches himself from the group and absconds to Paris. Fitger is too sapped to wrest back control. Citing largely bogus maladies, even he forgoes a number of initial outings and plants himself on his hotel bed, looking up at the wet spot on the ceiling that seems to be spreading. He is shellacked with burnout, all dread and lassitude.
His pupils aren’t helping his situation. “Our first day in England I was tired AF since a group of us stayed up most of the night before in my room,” begins one student essay. Reflecting on the Egyptian Book of the Dead, the student continues, “It had pictures and written instructions telling the dead guy how to get to the other side through the land of the dead,” later describing “a bunch of pissed-off dog-headed gods who might hang you upside down and make you eat your own turds. (I am not making that up.)” In paper after paper, the students’ writing seems hopeless.
The cohort appears equally dissatisfied with Fitger. One student opines, “For some reason everything we do in England is about wealth, namely obscene amounts of money held by a very few people.” Which is a valid observation, except that it’s largely a ruse: The same student seems to continually use her outrage as a way to circumvent coursework. She excuses skipping the Magna Carta (“a fetishized document, created to codify the rule of a white male elite”) by concluding, “I don’t need to look at it… because I live with that shit every day.” Beneath the gleeful satire, the sighs are deep. The trip’s scholastic standards seem ever-up for questioning, demanding of Fitger a lawyer-like presence of mind he just doesn’t have. “Do you have a thesis?” Fitger asks a student, to which she deflects, “I didn’t hear you grilling everyone else about their thesis.” Disgruntled, another student offers advice to Fitger: “The problem… is that you keep giving us too much work. Like, I shouldn’t have to rewrite a paper I already did.”
Slyly winking at the format of Dear Committee Members—an epistolary novel constructed through a series of recommendation letters—The English Experience finds Fitger ironically struggling to draft a single letter of recommendation for his ex-wife, a senior administrator at their troubled university, as she plots her own departure. While she waits for him to come through with the letter, their fantastic frenemy exchanges via text and phone calls sprinkle the novel: they bicker and brood over each other’s life choices and debate visiting rights over their dog.
All of this occurs against the beautiful backdrop of London, which the students (and their professor) hardly notice. The most beautiful remaining efforts of human history are utterly lost upon the disinterested bunch. Fitger spends the novel trying to “adopt an attitude of polite interest” toward his wards, but finds that “[t]eaching of any sort reminded him of his fallibility, each course a fresh opportunity for self-doubt and regret.” And so, Schumacher wisely cloaks England itself in the fog of the students’ shrugs and Fitger’s burnout. There are certainly great moments when the locale breaks through, but the grand vistas of their tour largely remain muted armature.
Still, every professor knows that moment when the coursework finally begins to hit home: The composition sharpens and the realizations set in. “You probably hate reading this stuff,” a student says to Fitger, observing the beleaguered professor grading yet another heap of shoddy reflections. “All the writing you make us turn in… most of our essays probably suck.” Then, after some thought, she admits: “I don’t do very well in most of my classes. I like to do my own thing.” Against the odds, an honest conversation begins. It’s in these moments of the students’ burgeoning self-awareness that Fitger remembers why he became a teacher in the first place. In pitch-perfect mimicry of the natural classroom rhythm, Schumacher’s satirical tone itself begins to slowly shift toward a deeper, more generous timbre as some of the students—who have been, by turns, defiant and ingratiatingly needy—start to truly reflect. They confide in Fitger, and he begins to take their work more seriously. No, they are not transformed into model scholars, but there is hope for them yet. Their tired professor’s efforts are working, leading to the formation of unexpected connections.
Some readers (burned-out professors, perchance?) may come to The English Experience for Schumacher’s keen abilities to skewer academia. Such readings, while on the right path, come up short of full marks. Beneath the caricature, deeper efforts are at work. For all of its fun, The English Experience is a bracingly accurate tour of the pedagogical experience, as told by a writer who clearly loves and believes in its importance. Yes, it unfolds like a long-form private joke for anyone who has ever taught at the collegiate level (and it succeeds handily on this front), but that satire is offered in solidarity, not dismissal. Perhaps we may enter into the narrative as jaded cognoscenti, but we ought to emerge as students ourselves. Like the best type of teacher, Schumacher prods us from our inertia and encourages us to consider what we are still capable of discovering.
Seth L. Riley received his MFA in Creative Writing from Seattle Pacific University and lives near Seattle with his wife and children. He is working on a novel and would love to hear from you at [email protected].
Christine Kenneally Reimagines the Pursuit of Justice
In 2018, Australian journalist Christine Kenneally published the bombshell findings of a years-long investigation into shocking allegations of child abuse that rocked a Vermont town for decades. Titled “We Saw Nuns Kill Children: The Ghosts of St. Joseph’s Catholic Orphanage,” the BuzzFeed News report report documented decades of graphic abuse perpetrated by the nuns and priests that ran St. Joseph’s, a childcare center located in Burlington that was operated by the Catholic Church from the mid-1800s through the 1970s. Kenneally spent years in the trenches interviewing survivors of St. Joseph’s as well as accused clerical and monastic staff, poring over thousands of court filings, depositions, invoices, journal entires, birth certificates and death certificates, and tracking down every lawyer who’d ever dared to take on the responsible parties, which include the Vermont Catholic Charities, the Order of the Sisters of Providence, and the Church itself. The result was a gut-wrenching record of the pain of thousands of children, herded into and invisibilized by what Kenneally calls “a tiny totalitarian state, a dark castle, a factory of pain.” Children were hit, kicked, smothered by nun’s habits, sexually assaulted, thrown out of windows, burned, threatened with a “homemade electric chair,” and tossed like chum into Lake Champlain. Though the guilty parties systematically destroyed records and attempted to destabilize and undermine the children’s worst memories, multiple former residents have since testified to witnessing murders first hand.
Kenneally’s report kicked off a battery of international press, forcing the long impassive Vermont Attorney General T.J. Donovan to launch a new investigation into the allegations. That probe ended in 2020 with an affirmation of “unrelenting physical and psychological abuse of captive children,” but no new charges. Former residents persist in their pursuit of justice, however, demanding a day in court. Stories that were laughed out of court or simply ignored 30 years ago have been preserved for display at the Vermont History Museum, and survivors of orphanages around the world have become emboldened to step forward and share their own harrowing survival stories. The BuzzFeed News report was only the beginning of Kenneally’s work as well.
Ghosts of the Orphanage: A Story of Mysterious Deaths, a Conspiracy of Silence, and a Search for Justice is Kenneally’s book-length expansion of that initial work. Widening the scope from St. Joseph’s to the global orphanage system which dominated child care in the west throughout the 20th century, Keanneally’s book has become a testament to the fact that, once the wave of revelation and accountability begins its advance, it only grows in size and force, at some point breaking with its catalyst and moving autonomously, though not necessarily toward justice. The path to justice requires vision, indefatigable commitment, and the refusal of easy compromises. Ghosts of the Orphanage charts that path.
The nearly 400 pages of immaculately sourced and reported details far surpass the ambition of the original BuzzFeed News report, linking the “child-slave kingdom” that was St. Joseph’s to “an invisible archipelago” of other orphanages that “stretched across the Western world.” This network of black sites “for the storage of spare children” treated wards like “society’s garbage,” as one nun put it, subjecting them to the kind of physical, sexual, and psychological abuse that “prisoners of war had testified to” with such regularity that the consequences are still being felt by generations of descendants. Bessel van der Kolk, the renowned trauma psychologist and author of the book The Body Keeps the Score , who had worked previously with veterans of war and survivors of genocide, remarked after testifying on behalf of a group of former residents at one trial that he had “never met a group of people who hated themselves as much as Burlington’s orphans.” As Kenneally puts it, “The true history of orphanages provides one of the darkest and most complete natural experiments on the nature and consequences of abuse, and on the behavior of abusers.”
“How do you investigate a cold case that has been actively concealed by the oldest institution in the world?” Kenneally asks early in the book. “How do you investigate ten thousand cold cases?” Pursuing justice in a case this vast is like hauling an anchor out of deep sea—the exhumation of one link in the chain only leads to another, and another. “The vast whole eluded the basic tools of journalism,” she writes, “not to mention the reach of the law, traditional ideas about justice,” and above all, “the limits of basic human psychology.”
After hundreds of wrenching pages, Ghosts of the Orphanage finally alights on the precise connection between individual psychology and the question of justice for victims of mass violence, finding that the cognitive rupture inflicted by violence creates a crisis around conceiving the crime—and that crisis erects a barrier around the pursuit of justice. Put another way, limits on the application of justice to incidents of mass violence follow directly from the limits on survivors’ recall of that violence, which are imposed by the violence itself. The infliction of harm simultaneously creates the need for justice and the conditions which prevent justice from ever being reached.
Kenneally writes that “no modern justice system was built to deal with the kind of mass catastrophe, the rolling disaster, that survivors reported.” Indeed, all the legal and procedural barriers to justice—from the immobilizing statute of limitations on prosecuting child abuse, to the Church’s constant interference, countersuits, and propagandistic PR efforts, to research obstacles like heavily redacted witness depositions and “rapidly disappearing” evidence—would be real problems if the crime itself were even comprehensible. The German writer Kurt Tucholsky, in a quote often misattributed to Joseph Stalin, once wrote that “The death of one man: that is a catastrophe. A hundred thousand deaths: that is a statistic!” The concept of mass suffering seems always to lie beyond an impassable cognitive wall, remaining concealed in unexamined corners where it can eat away at the spirit without the mind being able to reach and defuse it.
Thousands of conflicting, often fragmented stories have poured in from tens of thousands of children who passed through St. Joseph’s doors during its 100-plus years in operation. The erratic nature of traumatic memory has led to a veritable kaleidoscope of accounts, ranging from cartoonishly brutal accounts of sadistic violence to seemingly sincere testimonies that life at the orphanage was edenic. “Out of the giant cluster of incomprehensible facts about orphanages,” Kenneally writes, “one of the hardest to understand was how atrocities and happiness coexisted there.” The abuse was so unceasing, and began for many children when they were still so developmentally permeable, that some survivors spoke to a persisting inability to “tell the difference between statements that describe things that are normal and real and those that are unreal or impossible.” A hundred thousand deaths is a statistic. But as many survivors unable to understand what happened to them—there is no word for a tragedy that profound.
Ghosts of the Orphanage paints a grim picture of the atrocity imaginary, suggesting even that some crimes are so “profuse, complicated, and category-busting” that they can never be truly reckoned with. Yet the book’s very existence testifies to the fact that there is something innate to victimhood and to the experience of those who witness injustice, something powerful that cries out and kicks processes of retribution and reconciliation into action. Simply put, victims can’t wait for the crime to make sense, so justice must march on, even if it’s partially blind.
Ryan Coleman is a writer from the San Gabriel Valley. His work has appeared in MUBI Notebook, the LA Review of Books, BOMB Magazine, and more.
Elder Care: On Alexandra Chang’s ‘Tomb Sweeping’
The offerings that accumulate in Chinese cemeteries on Tomb Sweeping Day often look less like gifts for the dead than mini manifestations of the desires of the living. Tiny, folded paper outfits folded up (later burned and sent to ancestral spirits) betray the sartorial ambitions of their living relations. Lavish paper houses symbolize the security of home ownership. Stacks of colorful banknotes in denominations of ten thousand and joss paper credit cards with limits of 1,000 billion USD come across as elaborate jokes orchestrated by the bereaved and ignited with ironic solemnity. In April 2023, The Bangkok Post reported on Tomb Sweeping Day activities at a Chinese cemetery in Thailand, where a three-day film festival was held “for the entertainment of the spirits.” Regardless of whether these gestures please the dead, they certainly please the living.
The desires of the living, as varied in kind as offerings burned for ghosts, formed the heart of Alexandra Chang’s 2020 debut novel Days of Distraction, which packed the fever-pitched flightiness of the contemporary news cycle—its daily doses of misogyny, racism, spite, and absurdity—into bite-sized text blocks. Days of Distraction was subsequently devoured that year by readers in lockdown who found themselves as diverted and unmoored as Chang’s protagonist. By contrast, Chang’s first story collection, Tomb Sweeping, whose narratives are set in the near future—a dialed-up present—takes the long view when it comes to themes of family, history, society, and love.
The best of Chang’s stories possess an unsentimental, fable-like quietude that calls to mind Fleur Jaeggy’s I Am the Brother of XX, wherein the strangeness of relationships, particularly familial bonds, are scrutinized through a lens of equally strange, rose-tinted nihilism. Other stories by Chang resemble, in their handling of dialogue and power, the works of American literary cult figure Jane Bowles. While Chang’s novel was caustic in its criticality and rode on the momentum of its narrator’s unraveling relationships with the tech world, America, and whiteness, the 15 stories in Tomb Sweeping—featuring the likes of a nosy housesitter, a woman who runs an illegal mah-jong den, an eccentric orchid enthusiast, and a pair of bickering cat owners—make room for the kind of ambiguity and playfulness one might find in a Bowlesian novel like Two Serious Ladies. And like the latter’s lively and outspoken women, Chang’s characters, armed with college degrees in rhetoric and razor-sharp self-awareness, are as difficult as they are endearing.
Arguably the most affecting thematic thread in Tomb Sweeping is that of intergenerational bonds. Children observe their parents, grandchildren attempt to relate to their grandparents, and we see how these ties are strained by trauma and complicated by technology. We also sense how the responsibility of caretaking shifts—sometimes slowly, sometimes all at once—from the older generation onto the younger and are reminded that, in the US alone, tens of millions of individuals act as unpaid informal caregivers to elderly adults, often parents who suffer from Alzheimer’s or other dementia. In Lisa Hsiao Chen’s Activities of Daily Living, a parent’s decline is compared to performance art—specifically, the year-long durational works of Tehching Hsieh. In my own family, these protracted periods of care and heartbreak have resembled decades-long marathons.
In Tomb Sweeping, Chang addresses forms of elder care that are even less formal: under-the-radar, unsung, and unconscious acts of emotional labor dropped into conversations, furniture arrangements, daily routines, and long-term plans. What can be said to convince a parent to eat healthier on account of their prediabetes, high cholesterol, and underactive thyroid? How do we ask our grandparents to question the racist beliefs they’ve held all their lives? Where is the line between care and control, compassion and passivity, freedom and neglect?
“Li Fan,” a story told in reverse chronological order, begins when an elderly woman known by locals as “the Asian recycling lady” dies in the street while collecting cans: “The residents of Pleasant, too new to have known her when she lived on the block, pick up the stray bottles and cans at the bottom of the street. An ambulance arrives to take the old woman away. She has a stroke by the gutter and dies.” The spectacle of her demise—the loneliness of her death—is later connected to the fact that she and her late husband have no children. Although family is, in itself, no cure for the loneliness of aging and death, the specter of the socially marginalized, childless elder nonetheless haunts Chang’s story collection.
“Farewell, Hank” takes place during a funeral for a living person: Hank is ill, likely with dementia, and his wife, whom everyone calls Orchid Lady on account of her flower obsession, throws him a party at which members of the community eulogize him, much to their discomfort. Hank is “propped up in a leather recliner with his feet up, flanked by two pots of giant orchid arrangements.” Orchid Lady tries repeatedly to put a “cheesy golden crown” on his head. Rendered obsolete in his old age—having become, like his wife’s orchids, a decorative object in his own home—Hank’s fate and Orchid Lady’s magical thinking, makes a deep impression on the story’s protagonist, a young woman who accompanies her middle-aged mother to the “funeral,” which reminds her in turn of her mother’s mortality and her own inevitable loss.
In these stories, mourning often begins before any diagnosis. In “A Visit,” a woman’s elderly father drives from Northern California to her house in upstate New York. The solo road trip that ought to take 10 days takes him three weeks, due to his poor sense of direction and, it’s later implied, his drinking. The woman spends the day of her father’s arrival “in a blur of vacuuming, dusting, mopping, wiping, and scrubbing.” When he arrives, she notices his white hair. “She sees a small limp in his step,” Chang writes. “She sees a Band-Aid on his palm.” She lets him rearrange her furniture and kitchen appliances, fix the heating ducts, the faucet spray hose, the lights, and the floorboards, until she realizes that “his being there is a strain not only on her but on him.” These quiet labors of love haunt the woman after her father leaves.
Chang seems, on a whole, to be less concerned with seismic shifts in parent-child relationships than with the subtle push-and-pull that keeps them intact. There are times, however, when maintaining the status quo proves inadequate. In the collection’s title story, the narrator, a preteen named Ling Ling living in Singapore, sees a new, unflattering side of her grandfather when her family encounters a Japanese medium performing Tomb Sweeping Day rituals on Changi Beach. In a fit of rage, Ling Ling’s grandfather unloads on her his stories from the war and occupation. During World War II, Ling Ling learns, Japanese soldiers executed 66 Chinese men on Changi Beach. One of those men was her great-uncle. In her grandfather’s mind, the Japanese soldiers’ atrocities more than justify his intolerance toward the new medium. After her grandfather dies, Ling Ling recalls the “slamming of hands on tables, long stretches of embittered silence, and […] cracked-voice racial slurs” that no one in her family truly confronted. Neither time nor ritual can excise her grandfather’s bitterness from his legacy, Ling Ling realizes. Care, Chang argues, beyond providing basic needs, must at times be antagonistic, discursive, and emotionally challenging.
One of the final stories in the collection, “Persona Development,” asks what role tech can and should play in elder care. Here, a woman spies on her aging parents using a dystopian surveillance system, which her parents consented to having installed. Like Xu Bing’s 2017 feature-length film Dragonfly Eyes, which features no actors, only CCTV footage spliced from cameras all over mainland China, Chang’s story is told from a voyeur’s point of view. The woman, Patricia, watches through multiple “Eyze Cams” as her parents eat blurry plates of food and mill about their respective living spaces. Patricia’s father in turn spends a great deal of time watching a YouTube channel that recreationally surveils the streets of Zhuhai, China. As Patricia’s desire to check in on her parents from above develops into an unnerving addiction, the story interrogates the ethics of surveillance—do different rules apply to watching your parents than, say, watching your children, your pets, or strangers (as in the case of Dragonfly Eyes)? “It’s not stalking,” Patricia tells her husband, “it’s called elderly monitoring.”
Just as there are countless varieties of paper sportscars to burn for one’s ancestors on Tomb Sweeping Day, there are myriad ways to show care toward one’s living elders. Some are more hands-on than others, some are ethically questionable, and some are, for good reason, only speculation. Although the emotions and relationships in Tomb Sweeping feel at times provisionally sketched, the collection coheres on a subconscious level, revealing the self-centered desires that lurk in the most seemingly neutral acts of intergenerational care. It suggests that we seriously imagine a future of Eyze Cams and funerals for the living in order to better relate to the “Asian recycling ladies” and world-weary grandpas around us. The accelerated present Chang offers helps us see where fever dreams might lead, or at least that we’re not alone in having them.
Jenny Wu is a staff writer for The Millions. Her work can be found in Astra, BOMB, The Brooklyn Rail, and other venues. She reviews art and books, writes fiction, and occasionally curates.
The Meta Pleasures of ‘Tom Lake’
How well can we ever know our parents? In all our attempts to understand them, we suffer an insurmountable disadvantage: our parents lived for years—often decades—before we even existed. How many formative stories haven’t they told us—due to omission, forgetfulness, or mere lack of time?
Tom Lake, the latest novel by Ann Patchett, looks at how stories can shape—and shift—our relationships. The setup will be relatable to many: A family gathers during spring 2020 to ride out the worst of the pandemic together. Amid the monotony of cherry-harvesting on their Michigan farm, three grown daughters decide to prize a long-withheld story from their mother, Lara. When she was a young, up-and-coming actress, Lara dated Peter Duke, who went on to become a movie star. In finally hearing the full story, the daughters think they’ll understand this glossed-over episode in their mother’s life. But storytelling allows a person to hide as much as they reveal, as the reader and the daughters soon discover.
The novel opens in the middle of this recounted story: not in pandemic-era Michigan, but in early-1980s New Hampshire. Lara, our narrator, describes an episode during high school when she registered auditioners for a production of Thorton Wilder’s 1938 metadrama Our Town. Watching the terrible auditions prompts her to question her life plan, to become a veterinarian or other “decent” person, irrespective of her talent for that role. Here the scene is interrupted. “Wait, wait, wait, you wanted to be a vet?” asks Lara’s middle daughter. After some more questions and a bit of banter, Lara returns to where she left off. The novel unfolds in this story-within-a-story fashion for its entirety, alternating between the novel’s present, on the cherry farm, and the past, particularly the summer of 1988, when Lara met Duke at a summer stock production of Our Town at a theater company called Tom Lake.
There are countless examples of embedded narratives in literature, from the classic (The Canterbury Tales, 1,001 Nights) to the contemporary (The Seven Husbands of Evelyn Hugo). What does a novelist, or a reader, have to gain from this form? In a recent essay, “The Art of Stories Within Stories,” novelist Ana Reyes called nested stories “the ultimate mystery boxes.” The inner story is necessary to understand the outer, or “frame,” story, and as the reader, we turn pages in part to find out how the two will intersect and inform each other. We listen to the story Lara tells; we witness the family’s reactions. But we also hear Lara’s private thoughts, which are kept from her daughters. When we see she isn’t telling them the full story, our intrigue intensifies—what is she hiding, and why?
Having grown up in the 1980s, I can’t read the opening scene—with its impatient interruption by a curious daughter—without thinking of the film The Princess Bride. In each work, young people under duress (an ill grandson; daughters enduring a global pandemic) beg an older relative (the grandfather; the mother) to tell them a story for which the older person, until that moment, has not believed them to be ready. And throughout, the frame story’s characters interrupt the inner story with their comments and questions.
One important difference: In The Princess Bride, we sense that we’re building to a happily-ever-after for the two main characters, in classic storybook fashion. But in Tom Lake, Lara is now happily married to a man named Joe, and Peter Duke has not played a role in her life for many years. (Lara’s eldest daughter believes Duke is her real father, despite her parents’ protestations.) If there is a happily-ever-after, it won’t be for Lara and Duke, the two central characters of the nested story.
Some of Patchett’s earlier novels feature sensational plot concepts and exotic settings: In 2001’s Bel Canto, an opera singer gets held hostage in a South American politician’s home, and in 2011’s State of Wonder, a fertility researcher absconds with her discoveries into the Amazonian jungle. More recently, Patchett’s fiction has trod more familiar territory: a married man kisses a woman other than his wife at a christening party in 2016’s Commonwealth, and in 2019’s The Dutch House, a brother and sister lose the house they loved to their father’s second wife. Tom Lake goes one step further, almost vacating plot entirely. The primary plot transpires in the inner story, between Lara and Duke, as their choices tighten, loosen, and tangle the ties that bind them to each other. Eventually, we see the inner story begin to impact the frame story as Patchett masterfully weaves the two narratives, with certain characters from Lara’s past eventually showing up in the present.
“My girls have directed me to start the story at the beginning when they have no interest in the beginning,” says Lara early in the novel. “They want to hear the parts they want to hear with the rest cut out to save time.” Here, Lara evokes the main character of Our Town, the Stage Manager, who narrates the play and performs some of the roles as well—a metatheatrical device that draws attention to the constructedness of the narrative. But in the nested story that she relays to her daughters, Lara resembles Our Town’s Emily Webb, an ingénue from a small town whose love story centers the play. The similarities go further: Lara is Emily, portraying her in at least three separate Our Town productions. But Emily dies in childbirth, while Lara lives and bears three daughters. The reader processes Lara’s life and choices not in isolation, but in the context of how they resemble, or differ from, Emily’s. Add Lara’s daughters into the mix, the decisions they face, and the opportunities to make meaning multiply.
As author, Patchett writes and directs the production, choosing the order of the narrative, who comes on stage, when to open and close the curtains on certain scenes. Lara—as narrator, a proxy for Patchett—acknowledges the power she holds: “I take back my place on the sofa and begin again, knowing full well that the parts they’re waiting to hear are the parts I’m never going to tell them.” You can almost hear Patchett chuckling, knowing she, too, will withhold some of the best parts for later.
I also sense Patchett’s amusement in the way she manipulates Lara’s narration. She offers a twist at the midpoint that I didn’t see coming. She withholds an important revelation until the end of the novel. Patchett writes literary fiction, but here, she borrows techniques from mysteries and thrillers, and I imagine her smiling each time she teases the reader with a new secret. Even when writing dark moments, of which this novel offers several, she seems to do so with a lightness, a foundational joy. Maybe Patchett’s approach to writing this novel is the true frame story, the one that causes us to think about internal stories differently.
In searching for details from their mother’s long-ago bohemian romance, Lara’s daughters gain a deeper understanding of her formative choices: why she gave up acting, how she landed on a Michigan cherry farm, and how she fell in love with their father. But the daughters’ insights are incomplete; the reader knows, through Lara’s internal monologue, that she isn’t telling her family the whole truth. Further complicating the matter, storytelling is necessarily subjective, and time can shift a person’s perspective. In Lara’s words, “The painful things you were certain you’d never be able to let go? Now you’re not entirely sure when they happened, while the thrilling parts, the heart-stopping joys, splintered and scattered and became something else.” The daughters may feel satisfied, but only because they’re unaware of the gaps in their knowledge, produced by how their mother has carefully stage-managed her own story.
“The past, were I to type it up, would look like a disaster,” Lara reflects toward the end of the novel. “In that sense the past is much like the present because the present—this unparalleled disaster—is the happiest time of my life… The beauty and the suffering are equally true. Our Town taught me that.”
My experience reading Tom Lake offers a similar lesson. I’ve often wondered about my parents’ own complicated story (married young, amicably divorced, each remarried with remarkable speed). Now I see, even if I were to sit my mother down and have her tell me the story of her first love, I still might not arrive at any objective “truth.” That every story we receive, even from those we love, is never the whole story. Tom Lake taught me that.
Jill Witty is a writer and mother based in Richmond, Virginia. A graduate of Yale and UCLA, she’s been published by CRAFT, Catapult, Baltimore Review, and the Chicago Review of Books. To connect with her or read more of her writing, visit jillwitty.com.
Claire Fuller’s Visions of Multispecies Justice
I reread “The Panther” by Rainer Maria Rilke quite often during the first couple years of the pandemic. Written in 1902, the poem describes a captive panther Rilke saw that year on exhibit at a menagerie in the Jardin des Plantes in Paris. An otherwise powerful and graceful animal finds himself trapped, pacing tight circles in his cage (“der sich im allerkleinsten Kreise dreht”). His world is just a thousand bars (“und hinter tausend Stäben keine Welt”). A willful spirit has been paralyzed; his gaze has grown tired, hopeless.
I was drawn to this poem’s sense of paralysis and ennui during the pandemic, when many of us humans also felt trapped and bored. I’m certainly not comparing my experience of lockdown to that of Rilke’s panther, given that I, like many others, voluntarily distanced myself from the rest of the world to avoid catching or spreading the virus. By contrast, the panther is being held captive against his will.
However, I related to the captive animal in this poem differently, with a keener sensitivity, during the pandemic than I had previously. The Covid era has forced many of us to rethink the things we took for granted before, and imagine how things could be different after. Not just different, but better. It has been, in other words, an era of personal and collective reckonings.
Claire Fuller taps into this prevailing sense of reckoning in her novel The Memory of Animals precisely by setting the book in an eerily familiar world plagued by a global pandemic. In this world, the main character, Neffy, finds herself revisiting her past and, in particular, reckoning with memories of myriad injustices she has witnessed humans commit against animals.
The novel begins with Neffy, a disgraced and indebted marine biologist in her late twenties who volunteers as a paid human subject in a last-ditch vaccine trial to save humanity. However, the research trial quickly falls apart as the world outside the hospital descends into chaos. Neffy and a handful of surviving volunteers find themselves abandoned, essentially captive to circumstances beyond their control. Because the world outside feels perilously unsafe, they hole up in the hospital and wait to see if help comes, though without much hope.
During this time, Neffy writes letters in a notebook to a mysterious H, who (spoiler) turns out to be an octopus—but not just any octopus. H is a female octopus that Neffy met years ago while working at an aquarium. In these letters to H, Neffy laments how much time H spent in captivity under her watch: “You were known as a troublemaker: an octopus that liked to squirt the aquarists and refused to be handled.” Neffy remembers trying to connect with H by placing her hand in the water of H’s tank. “Soon you began to come out of your den when I approached your tank…Then finally a day came when you reached over the lip to wrap your arms around my wrist.” Neffy’s love for animals led her to work at the aquarium and also to regret some of what that work entailed.
“I wasn’t sure about it—confining animals in tanks,” Neffy writes in one letter to H. “But, I needed the money.” We might consider how Neffy seeks employment at an institution that confines animals because she finds herself limited—we might say, confined—by economic precarity (I needed the money). Fuller draws attention to how economic precarity in the human realm often leads to compromised or exploitative relationships with nonhuman beings. Justice for animals is a multispecies problem, then, insofar as it might not be achieved without also solving inequities in human communities, such as income inequality.
In her fourth novel, 2021’s Unsettled Ground, Fuller also draws attention to how inequitable economic conditions can make it difficult for people to maintain caring relationships with nonhuman beings. Unsettled Ground tells the story of Jeanie and Julius, 51-year-old twins who still live with their mother in the rural cottage where they grew up. They are quite poor. Julius bikes from one gig to the next, working as a day laborer; Jeanie and her mother Dot grow vegetables in their garden, which they sell for little money. When their mother dies unexpectedly, their landlord claims that Dot owed back payments on the cottage rent. Unable to pay the alleged debts, Jeanie and Julius are evicted and essentially become homeless. Eviction compromises their flourishing as human beings, but it also has negative repercussions for the nonhuman characters in the novel. For example, Jeanie and Julius live in an abandoned caravan in the woods after their eviction; one day a gang of thugs shows up and raids their makeshift home, and, in the chaos, Jeanie’s beloved dog Maude disappears. Similarly, Jeanie covertly returns to their boarded-up cottage after being evicted to tend her vegetable garden, which her former landlord would otherwise allow to perish. In these moments, economic precarity compromises the ability of central human characters to maintain the caring relationships with nonhuman animals and plants that they valued most.
In both of these novels, justice for animals does not have to come at the expense of justice for humans, and vice versa. Justice is not a zero-sum game. It is a multispecies project that involves correcting inequitable conditions that ultimately impact human and nonhuman animals alike.
If humans are to pursue justice for animals, how might we take nonhuman perspectives into account? Animals do not verbally communicate in the way humans do, so it is not obvious how humans can determine what an animal would consider just or good. This was a dilemma Rilke obviously thought about, too. His panther does not speak, but we see the animal pacing in his cage. He is restless and frustrated. Readers can imagine the animal’s inner life—his sense of hopelessness—behind an impassive, silent gaze in this translation by Martin Greenberg:
Except that now and then you see the curtain
of the pupils in dead silence rise—
an image enters, passes through the shoulders’ tight-drawn
stillness to the heart, and dies.
We do not need the panther to speak to imagine that his captivity is a great injustice.
How can we really know what animals want, or what they view as just or good? This is a question philosopher Martha Nussbaum approaches in her recent book Justice for Animals: Our Collective Responsibility. Nussbaum encourages readers to imagine that “animals are speaking all the time about what they want and what they don’t want.” Not literally, of course, but animals indicate their preferences through their behaviors and how they perceive the world around them. Nussbaum argues that “minimal justice is achieved only when a creature, in this case each variety of animal, has the opportunity to live a flourishing life of that species’ own kind.” This can only be realized when people recognize that each animal has its own capabilities, modes of perception, and goals.
The problem seems to be a lack of human imagination. Rilke suggests as much in another poem from his 1922 collection Sonnets to Orpheus. In it, he writes:
See the plate on the gaily laid table:
those fish, their strange expressions.
Fish are mute…,one used to think. Who knows?
But is there not finally a place where what fish language
would be is spoken without them?
Rilke pushes readers to consider how failures of human imagination result in speciesism, or the idea that human life has greater sanctity than nonhuman life. This kind of thinking has been used to justify the capture, commodification, exploitation, and consumption of animals as food. Not coincidentally, the main character in Claire Fuller’s new novel is a strict vegetarian, and also someone who pays attention to how animals perceive the world around them and communicate their preferences without words. “An octopus is believed to be the only invertebrate aware of being in captivity,” Neffy writes in one of her letters to H. “They will repeatedly squirt water at lights to make them short circuit. They will grow depressed and listless if they aren’t provided with enough stimulus…and many will try to escape, climbing out of their tanks and heading for different waters.” Like the fish in Rilke’s sonnet, octopuses are not voiceless. They voice despair in captivity, and a desire for freedom, just without words. The problem, Neffy suggests, is that humans fail to recognize or respect their demands.
The Memory of Animals feels like a timely literary intervention, given how the pandemic drew attention to the close entanglements between humans and nonhuman animals. Consider, for example, the ongoing debates about the possible zoonotic origins of Covid. For years scientists have been trying to figure out if and how Covid might be traced back to people selling live animals at the Huanan Seafood Wholesale Market in Wuhan. There have been many different theories, none conclusive, about the virus jumping from an animal (maybe trafficked pangolins or raccoon dogs) to humans. I won’t reveal who suffers the consequences of this phenomenon in The Memory of Animals, but suffice it to say, Fuller’s new book compliments other pandemic novels, such as The Animals in That Country by Laura Jean McKay, that push readers to imagine how zoonotic spillover might lead to reconfigured relations and ethics between humans and animals.
It is worth acknowledging that a lot has been written about the limits of the pandemic novel as an emergent genre, and whether anyone will actually want to read these books in the future, given our collective trauma and fatigue. Admittedly, Fuller’s pandemic novel is not her best, and other critics have noted that certain devices and sections in the book feel “gimmicky” and “cumbrous” at times. Still, I wonder if The Memory of Animals has caught more flack than it deserves. The strength of the book is not necessarily the plot or the characters, but rather how the author uses a pandemic, and the feelings of captivity and despair that emerge in the context of a pandemic, to pose questions about what multispecies justice can and should look like.
Chelsea Fitzgerald is a Ph.D. candidate in anthropology at Yale University and an assistant editor at The Yale Review.
Arte Migrante
I had just read Giada Scodellaro’s debut short story collection, Some of Them Will Carry Me, when I went to an event in Palermo called Arte Migrante, or “Art in Migration.” Essentially an open mic, these weekly events are a way for “students, migrants, unhoused people, workers, the unemployed, the young, and the elderly” to meet through shared art. The evening started with an old man named Nino who told riddles in Palermitano dialect. “Liccu liccu e in culu ta ficu,” he said, which was then translated into Italian, French, Wolof, Akan, and English: “Lick it, lick it, then put it in the ass.”
“It’s a thread that goes inside a needle!” cackled Nino in Italian. Then Lamin, a university law student originally from Gambia, played djembe, joined by a shy teenager who shared that he had recently arrived in Sicily by boat. The pulse of the stretched drum head seemed to explode the room, pulling everyone inside its rhythm. Then Francesca from Turin but born in Sicily sang a Celtic ballad, drawing us to the tip of each haunting word: “I just returned from the salt, salt sea, all for the love of thee.”
There is a particular way that arte migrante, or art shaped by migration, distinguishes and blurs boundaries at once. To be at a distance from home, or for home to change before your eyes, creates a certain clarity of vision. Everything is compared to something else. Everything becomes sharper, set in relief.
The evening of Arte Migrante felt like a lens into Giada Scodellaro’s work. Born in Naples and raised in the Bronx, the author has a sharp-eyed perspective on America and Italy, an insider and outsider to both. Fittingly, her prose makes the borders of genre feel irrelevant: Are these short stories? Essays? Film stills? Dreams? It doesn’t really matter. What matters is Scodellaro’s exhilarating freedom of mind. The order of the stories, the sentences, the plots feels totally unpredictable, yet cohesive at the same time. In many ways, the book is a meditation on hybrid identity itself, the gaze of a viewer on two sides of the ocean at once.
Here is an example of what I mean. Halfway through the book, there is a short piece (essay? ode?) about D’Angelo, specifically his naked body in the video for the song “Untitled.” On the facing page is an inherited recipe for spaghetti with clams. I keep returning to this sequence, and not just because I have a deep love of both D’Angelo and spaghetti with clams. “There’s D’Angelo’s Gap” starts mid-sentence, sensually:
but it’s also his bottom lip, his rotating bones, and how he seems taller, 5’6”, but the torso seems longer, the yards of arched torso, the two front teeth like hard candy, a rope chain with a cross pendant, Yahshua, and his body hair…
We slowly trickle down D’Angelo’s torso, then plummet into mourning the very objectification we have just enacted: how it eclipsed his ingenuity as a musician.
One the opposite page, “A Dry Drowning, Spaghetti alle Vongole” picks up the same rhythm, a coalition by comma:
place clams in a pan without water, a dry drowning, 1 kilogram for 4 people, wait until they open, but don’t add salt, clams still have the sea in them so take them out of their shells, or keep them inside, if you want, throw them in the hot pan with garlic…
Recipes are a traditionally feminine literary form, one that travels across borders. As with the piece on D’Angelo, Scodellaro looks closely at the art she has inherited. She has an uncanny ability to evoke the deep pleasure and pain of that inheritance simultaneously: As I read this book in Southern Italy, where Scodellaro was born, it was hard to read the words “dry drowning” without thinking of the thousands of migrants—poets, families, everyday people—who have drowned entering Italy by crossing the Mediterranean from North Africa. Or those who survive the journey but live here in a state of “dry drowning,” without rights, often working in exploitative conditions, if not worse. How would it feel to inherit this recipe? To cook spaghetti with clams as a Black Italian woman, when the state considers Black Italian women second-class citizens (when citizens at all)? This is the kind of associative thinking Scodellaro’s work invites.
I decided to re-watch “Untitled” from my small apartment balcony in Palermo. The old women who yell in dialect across the alley 24/7 could see D’Angelo’s abs on my laptop screen. I wondered what they made of the scene: Something that would have felt normal to do on a fire escape in Brooklyn, where I’m from, but in Palermo felt out of place.
Mixing Italian and English throughout, Scodellaro creates defiant unity out of a state of in-between-ness. In “Hangnails, and Other Diseases,” she writes:
The loss of language is dizzying. There are times when it’s lost. Words cannot be found and they will not come. It’s a blurry loss, sorrowful. Like the word for grapefruit. Yesterday, it was lost. Popillo? Popello? The word escapes me. To be bilingual is to be in a state of recovery.
Yet rather than writing elegy, Scodellaro imagines a redistribution of power. On the book’s thrilling first page, a narrator guides a stranger’s hand to finger her on a bus, taking a common space of sexual harassment and inverting it. Similarly, in this collection Black women control the gaze, the room, the situation, the next sentence. It doesn’t matter what country Scodellaro’s characters find themselves in. In “540i” a character named Bruna repeatedly renames herself. In “Haint,” the narrator examines a litany of treasures in the garbage: “I found pickled daisies, lockets, coarse salt, whole grains, swans, wooden chairs, and mortadella.” In a literary period where identity is regularly commodified, these sharp, unexpected details feel like freedom. A pledge of allegiance to the unexpected, Some of Them Will Carry Me models a nonconformist way towards unity.
*
In a totally dissimilar, yet deeply connected book, Amaryllis Gacioppo’s travel memoir Motherlands makes an art form out of generations of migration in her family. Like with Scodellaro’s collection, there is an irresistible freedom of mind in Motherlands, as if traveling thousands of kilometers on the page has inspired a similarly unbounded perspective. Reflecting on migration and colonialism, the Australian writer profiles the Italian cities of her maternal line, leading up to her birth in Australia, on stolen Bundjalung land. From Turin to Benghazi to Rome to Palermo, every woman in her family migrated to a city that was not her own. In each chapter, Gacioppo invents new ways of depicting each woman and each city against the backdrop of Italian history.
Fittingly, the opening chapter picks apart the meaning of “home.” The critique at the heart of Motherlands is introduced here in deceptively simple language:
Questions dogged me when I was young, and still do. What claim do I have to the place I call my country? What is a homeland? What is a home? I have two passports: two pieces of paper that declare me a dual national, a person with two homes. And little claim to either. What determines the granting of a passport, other than politics and paperwork?
I thought about Gacioppo’s questions as I navigated the Italian immigration system as a white American, seeing the radically different racial and ethnic treatment of other people requesting the same papers. I think about these questions while I read about the inhumane conditions of migrant detention centers in both the US and Italy. What is my claim to my home—wherever that home is––and what is my responsibility to it?
Throughout Motherlands, Gacioppo shows how deeply intertwined family and state history are, making the point that state shame is often as closely guarded as a family secret. Everyone in her family is quick to claim anti-Fascist history, without ever talking about her great-grandparents’ life in Benghazi as part of the Fascist colonial regime. Similarly, there was never an equivalent to the Nuremberg Trials for Italian war crimes. Many Fascist leaders quietly continued in politics.
The opening chapter “Home,” a brilliant example of literary essaying, shows how the domestic and public sphere conflate. The word “metropolis” comes from the Greek for mother city. In Italian, the word for homeland is “patria,” (literally “fatherland”), or “terra madre” (“motherland”). Through a wide-ranging constellation of facts, Gacioppo arrives at sharp reflections on where home, country, colonialism, and family inheritance overlap. Every country has a dark past: Is that past hers to claim as well? And what would it mean to claim it?
As Gacioppo unwinds these ideas, she invents new forms to explore each city’s history. In the first chapter, she explores her great-grandmother Rita’s roots in elegant Turin by foot, in the literary style of a flȃneuse. The urbane movements of writers like Olivia Laing, Valeria Luiselli, or Lauren Elkin come to mind most here. Then, in a departure of both style and setting, the next chapter follows Rita to Benghazi in the Fascist period, where she gets married and gives birth to Gacioppo’s grandmother Annalisa. The Benghazi chapter is structured around family photos that become increasingly disturbing as Gacioppo lays plain the violent legacy of Italian colonialism. A photo can conceal as much as it reveals. Gacioppo’s use of image, historical fact, and meditative prose puts the book in conversation with W.G. Sebald, though where Sebald’s prose gains power through avoidance, Gacioppo cuts straight to the core of what she does and does not know. When the family relocates to Rome at the end of World War II in the third chapter, she brings the city to life through its historical buildings. The last chapter arrives in Palermo, where Gacioppo’s mother grew up and where the author now lives, which she retells through antique maps.
“A map is a way of colonizing physical space,” Gacioppo writes. “We shrink terrain down to scale to create the impression that, looking down at it from a godly perspective, we have some control over it.” Here and throughout, Gacioppo’s lucid observations feel cool yet haunt. She has a poet’s touch when it comes to word choice: maps “colonize”, home is “ownership.” Why do descendants of Italians have the right to citizenship—jus sanguinis—when over one million people live in Italy without documents while contributing to its economy, studying at its schools, speaking better Italian than someone whose distant relative emigrated generations back?
Above all: Why does the eerie silence about Italian colonialism continue to this day? Benghazi is not Gacioppo’s homeland, in the sense that reassurance and ownership are far from her connection to it. Still, it is firmly part of her family lineage, as a place Italians (and to some extent her ancestors) destroyed in the name of “la Patria”—the Fatherland. I was struck by the integrity of Gacioppo’s exploration of her roots, publishing in print what few Italians will talk about. There is shockingly little discussion in Italy about the country’s 60-year colonial history. The murder of one million civilians through the use of chemical weapons, concentration camps, deportation, and forced conscription is only briefly touched on in schools. Notably, the book is not yet translated into Italian.
But Gacioppo is not so keen to erase the country’s bloody past. She firmly lays down the numbers about the violence occurring while her ancestors lived in Libya. It’s worth quoting a passage in full:
In 1930, after the fence had been built along the border between Libya and Egypt, whole tribes were made to march to concentration camps. According to official Italian census records, the population of Cyrenaica, in 1928, was 225,000. In 1932, four years later, it was 142,000. The resulting orphans were sent to Fascist re-education camps, and in 1937 they were shipped out as soldiers for the Fascist Italian campaign in Ethiopia. Human life was not the only target—to denude the tribal populations of their resources, Italian soldiers machine-gunned livestock from aeroplanes, so that, by the Vice-Governor’s own estimation, the number of sheep and goats went from 227,000 in 1930 to 67,000 in 1931.
These are difficult topics, but as we follow Gacioppo across the map and through time, the book is both sensitive and gripping. I couldn’t put it down. Motherlands is a master class in research, with brilliant facts, anecdotes, interviews, and images bursting from the pages. But it’s also the way Gacioppo trusts you to make connections as fast as she does, swoop with her from a bird’s eye view to peck at a word, a number, an image.“A country is just as much an idea as it is a territory, an idea that is deliberately fashioned,” she writes, “Gaddafi’s nationalist regime sought to define an independent Libya by eradicating the relics of the past.” Here, rather than ignoring the past or treating it with nostalgia, Gacioppo refashions it into trenchant ideas about nationhood. Unlike much Italian travel writing that romanticizes the country, Gacioppo makes Italy’s plurality glint in the light. As in Some of Them Will Carry Me, or the Arte Migrante event, this irresistibly composite work points towards a new national narrative: one defined by interrelation.
Julia Conrad Julia Conrad is a writer and Italian translator, currently based in Palermo. Her first book, Sex and the Symphony, will be published by Simon & Schuster. Read more at juliaconrad.net.
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English
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16k
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T6. Aggregation & Clustering
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T6.1 Large-Scale Document Clustering
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Full
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Based on the 8 book reviews provided, categorize each review according to four primary theme of the book(s) being discussed. Calculate the percentage of reviews that fall into each category, rounding to the nearest integer and ensuring the total is 100%. Output the "[Answer]" identifier first, and then output the four clusters in the format "CategoryLetter Percentage%" line by line, without any additional content.
Primary theme:
A: Exploration of family dynamics, memory, and personal or migrant identity.
B: Critique of societal institutions (e.g., academia, religious organizations, human-animal relations).
C: Character study of quirky, eccentric, or iconic individuals.
D: Other.
Output example:
[Answer]
A 25%
B 25%
C 25%
D 25%
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Based on the 8 book reviews provided, categorize each review according to four primary theme of the book(s) being discussed. Calculate the percentage of reviews that fall into each category, rounding to the nearest integer and ensuring the total is 100%. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the four clusters in the format "Category Letter Percentage%" line by line.
Primary theme:
A: Exploration of family dynamics, memory, and personal or migrant identity.
B: Critique of societal institutions (e.g., academia, religious organizations, human-animal relations).
C: Character study of quirky, eccentric, or iconic individuals.
D: Other.
Output example:
<Your thinking process>
[Answer]
A 25%
B 25%
C 25%
D 25%
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[
"A 38%",
"B 37%",
"C 25%",
"D 0%"
] |
Moderate
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1030699305e390901c78f436f73f25a4c85552f31dcbe71993c42c450910717c
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# Vivian Maier: A Century’s Gaze Through a Nanny’s Lens
## Prologue: A Photographic Epic in a Warehouse
In the late autumn of 2007 in Chicago, the warehouse district on North Clark Street was filled with the mixed smell of old paper and dust. An auction for overdue stored items was in progress, with dozens of labeled cardboard boxes stacked haphazardly, waiting to be chosen by anonymous buyers. Among the crowd stood John Maloof, a 26-year-old real estate agent. He had come to collect historical photos of Portage Park, but his attention was drawn to a heavy wooden crate—from the gap in the lid, the edges of black-and-white negatives glinted with fine grain in the dim light.
For a mere $380, a price almost arbitrary, Maloof became the new owner of this crate of negatives. When he scanned the negatives into his computer in his attic, the images that appeared on the screen left him instantly silent: rainwater from the 1950s New York streets dripped down the brims of gentlemen’s umbrellas; a sleeping couple in a Chicago streetcar leaned gently against each other; a child from a slum stared up at the sky, clutching half a piece of bread. These frames boasted compositions as precise as a surgeon’s scalpel, yet brimmed with a nearly compassionate warmth. The name of the photographer displayed in the folder properties was unfamiliar and mysterious: Vivian Maier.
At the time, Maloof had no idea that this name would later rewrite the narrative of American photography history. He knew even less that this crate was just the tip of the iceberg—Vivian Maier had left behind approximately 150,000 negatives, 3,000 unprocessed rolls of film, 10 Super 8mm videos, and hundreds of storage boxes filled with newspapers, letters, and receipts. These relics, abandoned in the warehouse, pieced together the story of a lonely soul who had measured the world through a camera lens.
On April 21, 2009, in a hospital bed at Rogers Park Nursing Home in Chicago, 83-year-old Vivian Maier took her last breath in her sleep. The obituary for her was placed by the three sons of the Gensburg family, whom she had cared for over 17 years. When Maloof found the name “Vivian Maier” in the obituary section of the *Chicago Tribune*, it was only a few weeks after the photographer’s death. The British newspaper *The Independent* later published a feature article titled *The Little Woman with a Great Eye: A French Nanny’s Vision of 1950s America*, marking the first time this long-dormant name stepped into the public eye.
Praise poured in from the media: “Van Gogh of the 20th Century,” “A photography master on par with Harry Callahan.” Yet Vivian Maier’s image remained shrouded in mystery: she had never married or had children, working as a nanny for nearly 40 years; tall in stature, she often wore men’s overcoats and leather boots, with a Rolleiflex twin-lens reflex camera perpetually slung around her neck; she would take her employers’ children to slums to “experience the real world,” yet never spoke a word about her own past. As photography critic Colin Westerbeck put it: “She captured countless moments of strangers through her lens, yet lived her own life as a mystery.”
## Chapter 1: A Transoceanic Childhood (1926–1949)
### 1.1 A Fragile Start in New York
On February 1, 1926, in New York, where the chill of winter had not yet fully faded, the row of tenement buildings in the Bronx loomed as a somber gray mass. It was here that Vivian Dorothy Maier let out her first cry—no簇拥 of relatives, no warm blessings, only the lingering smell of coal smoke and awkward silence in the apartment. This brick-red building, with its chipped exterior walls and rusted stair railings, was home to immigrant families like the Maiers, struggling to make ends meet: the corridors always echoed with the cries of neighbors’ children and the arguments of couples; at night, cold wind seeped through the window cracks, chilling the thin quilts.
Vivian’s father, Charles Maier, was an Austrian immigrant who had once earned a decent living as a plumber and electrician. But alcohol and gambling gradually consumed his life. He often stumbled through the door late at night, reeking of alcohol and empty-handed, sometimes taking out his frustration with life on his wife. Vivian’s mother, Maria Jaussaud, was like a withered plant in a corner—a woman from the small town of Saint-Bonnet in the French Alps, she had always been reserved by nature. Faced with her husband’s decline and the destitution of their home, she would lock herself in a small room, too drained even to sing Vivian a lullaby. Their hasty 1919 marriage had long dissolved into mutual indifference amid countless quarrelsome nights and evening meals without a warm dish.
In 1930, according to the U.S. Census records, next to the name of 4-year-old Vivian was not her parents’ address, but a smaller apartment in Manhattan—home to her mother Maria, her cousin Sylvain, and a woman named Jeanne Bertrand. No one could have guessed that this detail would later become a key to understanding Vivian’s “photographic genes.” Jeanne Bertrand was no ordinary tenant; she was a well-regarded female portrait photographer in New York’s small photography circle. At the age of 22, she had graced the front page of the *Boston Globe* with a series titled “Portraits That Capture the Soul.” She excelled at using soft side lighting to outline the contours of her subjects’ faces, freezing fleeting moments of tenderness or melancholy in their eyes the instant she pressed the shutter. Her darkroom always smelled faintly of developer, and wooden shelves held cameras of various sizes—including a brass folding camera that Vivian would later trace repeatedly in her relics.
While there is no direct evidence such as diaries or letters proving that Bertrand taught Vivian photography firsthand, in the photo albums Vivian kept in adulthood, researchers found three photos of Bertrand at work: one showed Bertrand crouching on the street, adjusting her lens for a homeless child; another captured her in the darkroom, holding a negative up to the light, her profile illuminated by the red safe light; on the back of the third photo, Vivian had gently written in pencil, “My teacher”—the handwriting neat yet tinged with timidity, perhaps a child’s simple admiration for an “aunt who could work magic.” It was also during this period that Vivian first witnessed how a camera could freeze a moment into eternity. The ordinary people recorded by Bertrand’s lens became her earliest understanding of “photography”: she realized that the faces of ordinary people held countless unspoken stories.
Vivian’s childhood was like a dandelion blown about by fate. In 1932, Maria could no longer bear the oppression of New York and took 4-year-old Vivian aboard a ship to France, to seek refuge with her grandmother in the town of Saint-Bonnet. This village, nestled at the foot of the Alpine foothills, finally gave Vivian a period of genuine warmth. Her grandmother owned a estate called Beaujolais in the Saint-Julien region, a house with red tiles and white walls surrounded by apple and cherry trees, and a small vegetable garden in the backyard. Every morning, Vivian would follow her grandmother to the pasture; the mist, soft as a veil, clung to her face with the moisture of grass, while the tinkle of cowbells drifted over from a distance. Monsieur Dupont, the elderly carpenter, had his workshop next to the estate. Vivian would often sit on a small stool by the door, watching him run a plane over wood, the curly shavings falling to the ground, filling the air with the scent of pine. In the afternoons, several peasant women would gather by the stream, sitting on stones to soak their laundry in the icy water; the sound of wooden mallets pounding clothes echoed, mixed with their laughter as they chatted in Provençal dialect. These scenes were like warm pebbles dropped into Vivian’s memory, later becoming the most unadorned backdrop of her photography—the ordinary people on the streets, the plants and trees bathed in sunlight, the everyday moments filled with the warmth of life, all bore traces of Saint-Bonnet.
In 1939, as the shadow of World War II loomed ever larger over Europe, Maria hastily took 13-year-old Vivian back to the United States. New York was no longer the city they had left behind, and what made Vivian’s heart ache even more was that her father, Charles Maier, had long since started a new family with another woman, living in an apartment in Brooklyn. Vivian once went there with her mother; when the door opened, Charles was holding a blonde little girl, and his smile vanished instantly at the sight of them, his eyes regarding them like strangers. Maria tried to speak, but he cut her off coldly: “There’s no place for you here anymore.” As the door slammed shut, Vivian stood in the hallway, clutching her mother’s衣角, and for the first time understood what it meant to be “abandoned.” This trauma, like a seed buried in her heart, would later quietly take root in her photography: the lonely elderly in her photos often sat on park benches, gazing into the distance; the homeless children always clutched small toys that did not belong to them, their eyes hiding the same loneliness Vivian had felt back then.
Census records from 1940 show that 14-year-old Vivian was attending a French-language school in New York. Tucked away near Chinatown, this small school had blackboards covered in French words; sunlight filtered through tattered curtains, casting dappled light on the floor. Vivian studied diligently, not only because French was her mother’s native language, but also because she knew that education was her only way to escape hardship. In her free time, she would sit by the window of her apartment, mending clothes for neighbors by the dim light—she could repair holes in shirts and rips in trousers with tiny, neat stitches, sometimes earning a few cents, which she would carefully save to buy notebooks and pencils. Under the lamp, her fingers were pricked by needles more than once, but she never cried; she would just wipe away the blood and continue sewing. At that time, she had no idea that she would one day record the lives of countless people with a camera; for now, she was using a needle and thread to slowly patch together her own difficult yet resilient childhood.
### 1.2 The Awakening of a Photographer in Rural France
In the late summer of 1945, the air in the French town of Saint-Bonnet still carried the aftertaste of war—at the foot of the distant Alpine snow-capped peaks, the wooden houses once requisitioned by German troops had just been fitted with new shingles; in front of the town’s bakery, people queued to collect their rationed flour, their faces finally showing a hint of relaxation. It was at this moment that 20-year-old Vivian Maier arrived alone on the town’s cobblestone streets, carrying an old leather suitcase. After four years apart, the wind of her hometown still carried the scent of pine needles and hay, and the red tiles and white walls of her grandmother’s estate glowed warmly in the sunset—a scene she had repeatedly longed for during her turbulent years in New York. This time, without her mother’s company or her father’s coldness, only the tranquility of the town became a haven for healing her past wounds.
This period in Saint-Bonnet would later be called by photography researchers “the awakening of Vivian’s lens consciousness.” In the spring of 1949, 23-year-old Vivian took the francs she had saved for half a year and walked into the town’s only stationery store. Behind the glass counter, a Kodak Brownie box camera lay quietly on a velvet cushion—a dark brown plastic body, square in shape, with no complicated aperture adjustments or need for precise focusing; pressing the shutter was all it took to capture an image. This camera, which sold for just a few francs at the time, was a symbol of “photographic democratization.” It broke the barrier that “only professionals could take photos,” allowing ordinary people like Vivian to own a tool to capture the world. When she held the camera in her hands, she could feel the warmth of the plastic casing, as if grasping a key to a new world. As she walked out of the store along the stream, she pressed the shutter for the first time: the lens focused on a butterfly perched on a dandelion, and with a soft “click,” that moment was frozen forever.
Nearly all of Vivian’s surviving early works bear the texture and warmth of Saint-Bonnet. Her lens favored the everyday moments of rural life: at dawn, the snow-capped Alps glistened with a cold silver light against the indigo sky; the mountain wind swept across the pasture, making the grass ripple like waves. The century-old oak tree on the estate had gnarled branches like an old man’s arms; sunlight filtered through its leaves, casting dappled shadows on the ground. The neighbor’s children ran barefoot through the wheat fields, the golden waves of grain reaching their knees, while butterflies chased after them. Vivian would crouch on the ridge, waiting for the moment the children laughed before pressing the shutter; even the wheat awns in the photos seemed to glow with the warmth of sunlight.
Though these early works carried the awkwardness of a beginner, they already revealed Vivian’s keen sensitivity to light and shadow. In *Twilight in Saint-Bonnet*, the setting sun dyed the sky orange-red, and the shadows of farmhouses stretched long, reaching all the way to the fence of the vegetable garden. Haystacks stood in the corner of the yard, their edges gilded by backlighting, as if dusted with a fine powder. Vivian must have been standing at the second-floor window of the estate, tilting the lens slightly downward to frame the shadows, haystacks, and distant mountain peaks in a single shot—it seemed she was born with the ability to use light and shadow to turn ordinary scenes into poetry. Another work, *Women Washing Clothes by the Stream*, showed even more ingenuity: on the stone slabs by the stream, a washerwoman bent over to pound clothes; as water splashed up, the reflection on the water surface rippled. Instead of photographing the woman head-on, Vivian aimed her lens at the water, overlapping the real figure with the swaying reflection. The interplay of reality and illusion made it seem as if one could hear the “thump-thump” of wooden mallets and the gurgle of the stream.
In the autumn of 1950, the death of Vivian’s grandmother made her the heir to the Beaujolais estate. Standing in the estate’s courtyard, she looked at the rocking chair her grandmother had often sat in, the small wooden box given to her by Monsieur Dupont the carpenter, and the lavender her grandmother had planted in the vegetable garden, her heart filled with mixed emotions. The estate held her warmest childhood memories, yet staying in the town alone left her feeling lost. Finally, she made a life-changing decision: to sell the estate, take the money back to the United States, and pursue her dream of photography in a broader world.
One day in October, a notary’s carriage stopped at the estate gate. Vivian, wearing a dark dress left by her grandmother, trembled slightly as she signed her name on the notarial documents. After signing, she took one last walk around the estate: she touched the bark of the old oak tree, plucked a lavender flower to tuck into her notebook, and went to the stream to look at the stone where the washerwomen had sat. On the day she received the sale proceeds, she divided the money into two parts: one portion went into a leather envelope labeled “Boat Ticket,” and the other was tied with a red string, marked “Camera and Film.” She knew this money was not just her passage to America, but also her financial support for chasing her photographic dream.
In the last few months in France, Vivian shot a series of portraits later titled *Farewell*. She did not deliberately seek out “special” subjects; her lens focused on the estate’s elderly servants, the neighbors’ elderly, and familiar faces in the town. Before each shoot, she would sit beside her subject, listening to their stories: Marguerite, the old servant, would talk about how Vivian used to hide in the kitchen cabinet as a child, waiting for her grandmother to leave her cookies; Monsieur Dupont, the carpenter, would take out a small wooden spoon he had made in his youth and say, “Take this—so you’ll remember Saint-Bonnet even in America.”
The most touching photo in the *Farewell* series was a close-up of Monsieur Dupont’s hands holding a plane. In the photo, the old man’s knuckles were as gnarled as old tree roots, his palms covered with deep and shallow calluses, and a faint scar on the web of his hand—the result of a cut while planing wood in his younger days. When Vivian took this photo, she was very close, her lens almost touching the old man’s hands. She did not ask him to pose; instead, she quietly pressed the shutter as Dupont bowed his head to plane a piece of pine wood. In the photo, curly wood shavings fell from under the plane, and sunlight fell on his手背, making the lines of his calluses格外 clear. Later researchers noted that this photo marked the beginning of Vivian’s “ordinary people’s perspective”: she never pointed her lens at glamorous figures, yet always managed to capture the most authentic traces of time in ordinary people, for she firmly believed that these individuals, overlooked by the times, held the most essential warmth of life.
On a清晨 in January 1951, Vivian boarded the ocean liner *Glasgow* docked at the port of Marseille, carrying her suitcase. The white giant ship slowly pulled away from the harbor amid the waves, and the silhouette of Saint-Bonnet gradually disappeared over the horizon. Standing on the deck, the cold Atlantic wind ruffled her hair; she held her Kodak Brownie camera in her arms and clutched the negatives of the *Farewell* series in her hand—carefully stored in a tin box lined with soft flannel. The wind lifted the hem of her coat as she gazed at the boundless blue sea, her heart filled with both nostalgia for her hometown and anticipation for the future. At that time, she had no idea that this transoceanic voyage would not only start a new chapter of her life in New York, but also transform her from a “girl who loved taking photos” into a street photography master who would later astound the world of photography. And the photos she had taken during her years in France, like seeds buried in soil, would eventually bloom into the most beautiful flowers in the years to come.
## Chapter 2: New York’s Nanny-Photographer (1951–1956)
### 2.1 A Double Life: Factory Work and Street Photography
In February 1951, at New York Harbor, where the cold mist had not yet dispersed, the whistle of the ocean liner *Glasgow* pierced the morning air. Leaning on the deck railing, 25-year-old Vivian Maier gazed at the skyline of Manhattan in the distance—skyscrapers rose like a forest of steel, black smoke billowing from chimneys to spread across the gray-blue sky. The hoots of steamships, the shouts of stevedores, and the honking of cars mingled to form a bustling scene utterly different from the tranquility of Saint-Bonnet. The tin box she held close contained the negatives of the *Farewell* series; her Kodak Brownie camera hung around her neck, and her suitcase held only a few old clothes and the small wooden spoon left by her grandmother. This city, rapidly recovering after the war, was both a canvas of opportunities and a battlefield for survival.
In those early days in New York, survival was Vivian’s top priority. She found work as an ironer in a garment factory in Lower Manhattan, located on the fourth floor of an old office building with no windows; the stuffy air was thick with the starch of cotton cloth and the steam from irons. Every morning at six, she squeezed onto a crowded subway, clutching a half-eaten black bread in her hand. At work, she stood in front of a scalding ironing board, pressing stacks of shirts repeatedly; the steam stung her eyes, and her arms ached so much she could barely lift them. She did not leave until six in the evening, exhausted, earning a weekly salary of just $25—barely enough to cover her rent and the cheapest bread.
What depressed Vivian most was the factory’s confinement and rigidity. The workshop was filled only with the hum of machines and the foreman’s shouts; everyone was like a part on an assembly line, repeating mechanical movements. Once, during her lunch break, she took out her Brownie camera, wanting to photograph the pigeons flying past the window, but the foreman snatched it away: “This isn’t a place for you to play with toys!” That night, Vivian sat by the window of her rental room, watching the streetlights below, and for the first time realized: she needed a job that allowed her to breathe freely, a job that let her lift her camera whenever she wanted. Six months later, she handed in her resignation; as she walked out of the factory gate, sunlight fell on her face, and she took a deep breath of the air filled with the city’s vitality, tightening her grip on her camera.
Switching to work as a nanny was the most crucial decision of Vivian’s life. In 1950s America, nannies occupied a unique “marginal role”: they lived in middle-class families, eating, reading, and walking with the children, gaining intimate access to the details of family life, yet remaining “outsiders”—never in the center of family photos, never invited to family gatherings. But this “marginality” became Vivian’s greatest advantage in photography: under the pretense of “taking the children out,” she could wander freely through New York’s streets—from the shop windows of Fifth Avenue to the alleys of Brooklyn, from the lawns of Central Park to the markets of Chinatown. Her wandering steps provided an endless stream of shooting scenes, and her identity as a “nanny” made her invisible, allowing her to capture the most authentic, unposed moments on the street.
Vivian adapted to this role quickly. She worked for three families in succession, and all her employers spoke highly of her. One employer from the Upper West Side recalled: “Miss Maier always wore neat dark dresses, her hair neatly combed, exuding a quiet European elegance. She was incredibly patient with the children—she would kneel down to listen to their wild stories and teach them French words.” Another employer remembered: “When she took the children out, she always had a camera around her neck. Sometimes she would stop to take photos of a stray cat on the street or an old man selling newspapers, and the children got used to waiting for her to finish before moving on.” For Vivian, the time spent walking with the children was her “photographic creation time”—the children’s laughter broke down strangers’ defenses, her slow pace gave her enough time to observe changes in light and shadow, and the conditions of her employers’ homes meant she no longer had to worry excessively about food and shelter, allowing her to focus more energy on photography.
In the spring of 1952, Vivian made a nearly “luxurious” decision: to spend half a month’s salary on a Rolleiflex twin-lens reflex camera. That day, she walked into a camera store in Midtown Manhattan, and her eyes were drawn to the Rolleiflex in the glass case—a black leather body, a metal shutter button, and a small, exquisite viewfinder on top. Most importantly, it used 120 medium-format film, producing sharp images, and the photographer did not need to hold the camera up to their eye; they could compose the shot using the top viewfinder—perfect for street candid photography, as it did not alert the subject, preserving the most natural moments.
As the shop assistant demonstrated the camera, Vivian ran her fingertips gently over the leather body, her eyes filled with longing. Half a month’s salary meant she would have to survive on bread and tap water for the next two weeks, but she did not hesitate. After paying, she walked out of the store with the camera in her arms; sunlight filtered through the leaves, casting a soft glow on the camera. From that day on, this Rolleiflex became Vivian’s “signature accessory”—she hung it around her neck with a brown leather strap that developed a patina over time, and the camera body grew smooth and warm from years of use, like a medal accompanying her on her street “campaigns.” Wherever she went, the camera pressed against her chest, as if beating in time with her heart.
A clerk from Central Camera later recalled Vivian to researchers: “That tall Miss Maier would come every Friday afternoon to buy film, without fail. She always asked for Kodak Tri-X 400 black-and-white film, saying it had high sensitivity and worked even on cloudy days. She didn’t talk much—she would just nod, take the film, and pay—but occasionally she would ask about developing techniques, like ‘how to bring out more detail in the shadows’ or ‘how to control contrast.’ Her questions were very professional; she seemed to know more than many professional photographers who came to buy expensive cameras.”
Vivian’s frugality was legendary among her employers’ circles. She never bought new clothes—her dresses were always washed until they faded, and her shoes were worn thin at the soles but still in use; she never ate snacks from her employers’ homes, always bringing her own sandwich for lunch; when employers tried to raise her salary, she would just shake her head and say, “This is enough.” But when it came to photography, she was surprisingly “generous”—not only willing to spend a large sum on a camera, but also regularly taking her film to professional labs for development, never cutting corners by developing it herself at home. Sometimes, when she encountered a scene she loved, she would shoot several rolls of film at once, fearing she might miss the perfect light. Behind this “contradiction” was the unshakable sacred status of photography in her heart—for her, clothes were fine as long as they were wearable, food was sufficient as long as it filled her stomach, but the moments captured on film were “treasures of time” that no amount of money could buy back.
During those years, New York’s streets became Vivian’s “private studio”: she photographed the sleeves of elderly men raised as they practiced tai chi in early-morning Central Park; she captured hurried passersby reflected in shop windows on Fifth Avenue in the afternoon; she shot the backs of couples walking hand in hand under the Brooklyn Bridge at dusk, as the setting sun dyed the river gold. Her Rolleiflex quietly captured these moments, and she herself became a unique sight on New York’s streets—a nanny with a camera around her neck, watching over children, her eyes focused, quietly documenting the joys and sorrows of ordinary people amid the city’s bustle. At the time, she had no idea that these negatives hidden in her camera would, decades later, astound the entire world of photography and make the name “Vivian Maier” unforgettable.
### 2.2 The Emergence of Street Narrative
In 1953 New York, post-war prosperity spread like sunlight breaking through morning mist—the aroma of espresso wafted from cafes in Greenwich Village, the lazy melody of jazz drifted from the streets of Harlem, and the bronze bull statue on Wall Street was surrounded by young people with dreams. Meanwhile, Vivian Maier, the nanny who cared for her employers’ children by day and spent her nights with her camera, wandered the city’s streets with her Rolleiflex, weaving her own visual whispers. She had no fixed shooting route; often, after finishing her housework, she would take off her apron, put on her dark coat, and wander aimlessly: at dawn, when the sky was still dim, she stood on the cobblestones of Greenwich Village, watching artists wrapped in wool scarves sit on café benches, cigarettes in their fingers, passionately debating T.S. Eliot’s poetry and Picasso’s new paintings; in the afternoon, when the sun was at its strongest, she squatted by a fire hydrant in Harlem, her lens following black children running through the spray—water droplets clinging to their curly hair like scattered diamonds; at dusk, she stood on a street corner in Wall Street, watching well-dressed office workers hurry past, briefcases in hand, the click of their leather shoes on the cobblestones echoing, fatigue still lingering on their faces. These seemingly casual candid shots hid countless hours of observation and adjustment—she would quietly shift her position to find the best angle, patiently waiting for the light to fall in just the right place, and only pressed the shutter when that “perfect moment” arrived.
*New York, 1954* is undoubtedly the most impactful masterpiece of this period. On the left side of the frame, a gentleman in a black tuxedo bends to get into a bright yellow taxi; his crisp clothes accentuate his tall figure, yet his black top hat, slipped from his shoulder in his hurry, reveals a flustered look in his eyes, and traces of fountain pen ink linger on his fingertips. On the right side, a ragged beggar leans against a dark green lamppost; his faded coat is covered in patches, his pants rolled up to his knees, revealing socks stained with mud. He clutches a half-bottle of cloudy beer, foam still clinging to the rim, his eyes staring blankly at passersby, as if separated from the bustling world by an invisible barrier. In the background, the windows of a department store are spotlessly clean, and mannequins in silver evening dresses strike elegant poses, their pearl necklaces glinting coldly in the light—a stark contrast to the hardship on the street. Vivian’s capture of the moment is breathtakingly precise—the folds of the gentleman’s clothes as he bends down, the calluses on the beggar’s knuckles, the curve of the mannequin’s skirt, and even the class divide seemingly frozen in the air, all immortalized as a wordless narrative in the instant she pressed the shutter.
Vivian’s works from this period already clearly displayed three distinctive creative traits that set her apart. First was her almost obsessive focus on “marginalized groups.” She never looked down on them from above, but quietly integrated into their world: in the alleys where Black people lived, she knelt down to chat with children playing marbles, pressing the shutter as they laughed; under the overpasses where the homeless slept, she left a bottle of hot coffee and photographed them from a distance, huddled under blankets; in the markets where immigrants gathered, she followed women carrying vegetable baskets between stalls, capturing their vivid expressions as they haggled. These figures, overlooked by mainstream society, never appeared humble in her lens; instead, they exuded a tenacious vitality. Second was her masterful use of “framed composition.” She excelled at using everyday street elements to create layers in her shots: photographing passersby through bus windows, the rain streaks on the glass adding a hazy filter to the image; framing an elderly man sitting on a bench through the gaps in a fence, the vertical lines enhancing the sense of depth; even using the doorframe of a store as a natural frame, subtly separating the bustle of the street from the quiet inside the shop. This compositional style made her works resemble carefully painted oil paintings while retaining the authenticity of street photography. Third was her keen eye for “accidental drama.” Unexpected moments in life were all excellent shooting materials in her eyes: in *Pedestrians in the Rain*, a little girl in a bright red raincoat skips past, and the splash of water from her skirt lands right at the feet of an elderly man in a black top hat—the contrast between red and black, the contrast between movement and stillness, filling the image with storytelling. On another occasion, a gust of wind lifted the floral scarf of a woman on the street,恰好 covering the face of the fruit vendor behind her; Vivian captured the moment the woman hurriedly pulled the scarf back, the arc of the fluttering scarf and the vendor’s half-exposed hand forming a charming slice of life.
It was also during this period that Vivian began her unique self-portrait practice—unlike most people who sought clear frontal shots, her self-portraits were always blurry and hidden, more like a form of “absent presence.” In *Shadow in the Mirror, 1955*, she stood in front of the window of a women’s clothing store, where several pink dresses were on display. Her reflection, dressed in a dark coat, overlapped perfectly with the mannequin in the pink dress in the window, making it impossible to tell which was the real her and which was the fake mannequin—only the black outline of the camera in her hand stood out sharply in the light and shadow. *Reflection on the Sidewalk, 1956* was even more poetic: the setting sun stretched her shadow long across the cobblestone sidewalk; she bent slightly, seemingly adjusting the camera settings, and the camera lens in her shadow pointed forward, as if while documenting the world, she was also confirming her own existence. This unique approach to self-portraiture mirrored her attitude toward life—always standing as an observer, eager to connect with the world yet deliberately maintaining a distance. As Peng Wei, the curator who later held an exhibition for her, put it: “Vivian’s self-portraits were never about showing herself, but about finding herself. She used shadows and reflections to confirm ‘I am here,’ yet through this subtle way, she guarded her inner loneliness.”
### 2.3 A Hidden Inner World
In late 1940s New York, day and night were like two separate canvases spread across Vivian Maier’s life. By day, she was “Miss Maier” in a brownstone apartment off Fifth Avenue—wearing a stiffly starched white apron, her hair neatly combed, the scent of baby formula or lemon-scented cleaner lingering on her fingertips. The employer’s living room featured oil paintings in gilded frames, the dining table was set with silverware, and the children crowded around her, shouting, “Miss Maier, tell us a story!” Yet no one knew that this quiet nanny, who always tidied up toys and ironed shirts without a single wrinkle, carried a small Rolleiflex camera in her pocket, and inside the lens cap lay another world.
She would sneak shots of the bedsheets hanging to dry on the apartment building across the street through the kitchen window while changing the baby’s diaper—the wind billowing the white cloth like a flock of pigeons perched on the balcony. While taking the children for a walk in Central Park, she would crouch down to photograph an elderly man napping on a bench when the children chased after butterflies; the old man’s cane leaned against the bench, and sunlight sprinkled fine spots of light on his gray hair. Her shooting was always imperceptible—she raised the camera quickly and gently, as if merely brushing dust off her sleeve. Only the soft “click” of the shutter drifted away on the wind, soon drowned out by the children’s laughter. Her employers only thought she was “too quiet”: she always sat in the corner during meals, never joining in family conversations; she never went out on her days off, staying cooped up in the maid’s room, no one knowing what she did. When asked about her background, she would only say, “I spent a few years in France,” and say no more—they never suspected that this “unsociable” nanny was guarding a burning secret at night.
Vivian’s rented attic was on the top floor of an old building in Brooklyn, accessible only by climbing six flights of creaky wooden stairs. The hallway always smelled of the sweet-sour aroma of tomato sauce from the Italian family next door. The attic had no running water, faint mold spots covered the walls, and the only window faced west, catching a streak of orange sunset in the evening. Yet this cramped little attic was transformed into her private darkroom: the cast-iron bathtub in the bathroom was covered with a black waterproof cloth and filled with developer mixed to the correct ratio; negatives swayed gently in a clear glass tray, like a swarm of silver-gray butterflies slowly unfurling their wings. Thick towels were stuffed under the door, and even the window was covered with three layers of black paper to block out any trace of light—only a red safe light illuminated the darkroom, casting a dim red glow on Vivian’s face, highlighting the small shadows of her eyelashes under her eyes. Wearing rubber gloves, she held the edges of the negatives between her fingertips, watching the images gradually emerge in the developer: the elderly, children, and street newsstands she had photographed during the day came to life in the red glow, and the overlooked details—the wrinkles at the corners of the old man’s eyes, the bread crumbs on the child’s lips, the curled edges of the newspaper headlines at the newsstand—suddenly became clear and tender. A clothesline stretched from one end of the attic to the other, strung with wet photos; water droplets fell to the floor with a soft “tap-tap,” mixing with the occasional rumble of streetcars outside, forming the only rhythm of the night.
Vivian’s social circle was like being enclosed in an invisible glass cover—others could not get in, and she would not go out. No neighbor ever saw her shopping with anyone; her name never appeared on the church’s worship list; she rarely wrote even to her relatives in France. In the summer of 1951, she met her mother Maria once on the beach in Southampton—it was a windy afternoon, and the beach umbrellas were blown askew. Maria wore a faded blue dress, more gray in her hair, clutching a cloth bag containing French chocolates she had brought for Vivian. Vivian took three photos of her mother: the first showed Maria sitting on the beach, gazing at the distant waves, the wind pressing her dress to her legs; the second captured her bending down to unwrap a chocolate, her knuckles white from the effort; the third was a profile shot, sunlight falling on her nose, weariness hidden in the wrinkles at the corners of her eyes. These three photos were later tucked into an old French poetry collection, with no name on the title page, only a faint crease—no one knew what they had talked about that day, only that it was the last time mother and daughter would meet. In the late autumn of 1958, news of Maria’s death arrived from Paris; Vivian was caring for a newborn in Chicago at the time. She took the telegram, glanced at it, folded it up, and tucked it into her apron pocket, then continued changing the baby’s diaper. When her employer asked, “Did something happen at home?” she shook her head and said, “Nothing,” her tone as calm as if commenting, “It’s a bit cold today.” Only at night, back in her rental room, did she take out the three photos from a tin box and stare at them for a long time under the red safe light, her fingers gently brushing her mother’s face, yet not a single tear fell—the wounds from her childhood were too deep, leaving her used to wearing silence as armor, even hiding her sorrow in the shadows of the darkroom.
To protect this loneliness, Vivian gradually learned to “invent identities.” This was not deception, but rather a form of self-protection. When taking the children to Central Park, if other parents asked, “You don’t seem like a local,” she would tilt her chin slightly and say in English with a French accent, “I’m a journalist from Paris, here to research folk customs in New York,” and even pull out a small notebook from her pocket, pretending to jot down the children’s game rhymes. When buying bread at the grocery store, if the shopkeeper wondered why she always came in the evening, she would smile and say, “I’m writing a book about the city at night, so I need to observe the streets at different times.” She deliberately retained her French accent—it was the mother tongue her mother had taught her, and now it became a “disguise” to keep others at a distance; her small notebook contained little more than a few hasty sketches of street lampposts or stray cats. Tom, a boy she had cared for, later recalled: “Miss Maier was like a book sealed with wax. She knew all our secrets—the marbles I hid in the closet, my little sister’s fear of the dark—and she never told anyone. But when we asked her, ‘Do you have a family?’ or ‘Where did you live before?’ she would just smile and change the subject, like closing a book to keep us from seeing what was inside.”
Only her camera could pry open a crack for her to communicate with the world. Among the many notebooks she left behind was one with a blue cover, its pages yellowed with age. On one page, written in pencil in French, the handwriting slightly heavy, the ink faintly smudged, were the words: “The camera is my eye; it allows me to see things that cannot be seen.” This sentence was her creed—she photographed beggars hiding under eaves in the rain not out of pity, but because she noticed the half-wilted rose clutched in their hands; she photographed street sweepers cleaning alone late at night not just to document, but because she captured the fleeting tenderness in their eyes as they looked up at the moon; she photographed mannequins in shop windows not for aesthetics, but because in their poses, she saw the same “loneliness” as her own.
She never cared whether her works would be seen. Most of the time, after shooting, she would tuck the negatives into tin boxes and hide them in a wooden chest under her bed—these boxes were labeled simply, such as “March 1952, Park” or “Winter 1954, Snowy Day,” but rarely developed. When asked later why she did not display her photos, she wrote a vague answer in her notebook: “When the shutter is pressed, the story is already over.” For her, photography was not about fame or recognition, but about “capturing the moment”—moments that others might dismiss as ordinary, but in her lens, became eternal secrets. Under the red light of the darkroom, as she watched the images on the negatives gradually become clear, it was as if, in the darkness, she had finally touched the warmth of the world.
## Chapter 3: Chicago’s Golden Age (1956–1972)
### 3.1 Seventeen Years of Stability with the Gensburg Family
In 1956 Chicago, autumn dyed the leaves of the sycamores along Lake Michigan in varying shades of gold and red. Street newsstands were stacked with freshly printed copies of the *Chicago Tribune*, and the smell of ink mixed with the caramel scent of the autumn wind drifted into Vivian’s rented apartment. That morning, as she flipped through the classified ads as usual, an unremarkable notice caught her eye: “Nanny wanted for three boys, fluent in French preferred, responsible.” The signature read: “The Gensburg Family.”
Before this, Vivian had worked as a laundress and a waitress, moving between different employers, never holding a stable job for more than two years. French was the mother tongue taught to her by Maria, and composure was a trait engraved in her by her turbulent childhood—when she saw the words “fluent in French,” her fingertips paused, as if grasping a rope to anchor her life. She took out a beige shirt she had tucked away at the bottom of her suitcase, ironed it carefully, polished her only pair of shoes that were not too worn, and walked toward the Gensburg home in the Highland Park neighborhood.
The Gensburg house was hidden behind a dense grove of oak trees, its light brown wooden exterior covered in ivy, the front lawn neatly trimmed, and two potted chrysanthemums in full bloom on the porch. Answering the door was Ellen, the mistress—a university teacher wearing wire-rimmed glasses and a wool dress—with her husband Bernard standing behind her, dressed in a suit, his eyes gentle yet sharp with the discernment of a lawyer. Vivian’s interview involved no lengthy questioning: Ellen asked about her childhood in France, and she spoke calmly of the pastures and streams of Saint-Bonnet; Bernard asked how she viewed “caring for children,” and she replied, “It’s not just about watching them grow up, but also about helping them see the world.” This answer made a spark of surprise flash in Ellen’s eyes—in 1950s America, most nannies saw “watching children” as a mechanical job, but Vivian’s response revealed a rare depth of thought. At the end of the interview, Ellen smiled and said, “Miss Maier, come to work tomorrow—your room is ready.”
Highland Park was a typical middle-class neighborhood in Chicago’s northern suburbs. Every street was paved with smooth asphalt; in the afternoons, neighbors often pushed strollers for walks, and children chased each other on the lawns by the roadside, the air filled with the sweet aroma of baked cookies. The room the Gensburgs prepared for Vivian was on the east side of the second floor, with a south-facing window that flooded most of the room with sunlight, and an en-suite bathroom—a rarity among nannies at the time, as most employers only let nannies live in attics or storage rooms, let alone providing a private bathroom.
A week later, Vivian hesitated to make a request to Ellen: “I want to convert the bathroom into a darkroom. It won’t disturb anyone, and I’ll cover all the costs myself.” She expected to be refused, as a darkroom required permanent darkness and would smell of developer. But Ellen only paused for a moment, then turned to Bernard and asked, “Honey, what do you think?” Bernard smiled and nodded: “As long as it doesn’t interfere with taking care of the children, it’s fine.”
Before long, the small bathroom was transformed: the window was sealed tightly with thick black cloth, the walls covered with corrosion-resistant plastic sheets, and a wooden darkroom workbench stood in the corner, holding developing trays, fixer, a thermometer, and a paper cutter. The red safe light was bought by Vivian specially from a photography supply store; every night, this red light would stay on until dawn, like a beating heart, illuminating her hands as she swayed the negatives in the developer. The sour smell of developer drifted through the door crack into the hallway, and the Gensburgs’ three boys—7-year-old John, 5-year-old Michael, and 3-year-old Thomas—were always curious to peek through the door crack, only to be sternly stopped by Vivian: “No one can come in here—it would ruin all the photos.” Though confused, the children obeyed, and only when the red light went out would they dare to approach and ask, “Miss Maier, did you take more beautiful photos?”
“Miss Maier was the best nanny, but also the strangest,” John, the Gensburgs’ eldest son, recalled years later in a documentary, his eyes filled with nostalgia. She was “the best” because she never restricted the children’s freedom like other nannies: she took them to the Art Institute of Chicago, standing in front of Monet’s *Water Lilies* to teach them to distinguish the changes of light and shadow on the water; she spread paint and paper on the lawn, letting them create freely, even if they got paint all over themselves; she read French fairy tales to them, imitating the characters in fluent French, making the children laugh aloud.
She was “strange” because she always took the children to places they “shouldn’t go”—the slums on Chicago’s South Side. The houses there were dilapidated, the walls covered in graffiti, and homeless people often huddled in the corners of the streets. Every time they went, the children would cling tightly to Vivian’s hand and whisper, “Miss Maier, this place is scary—why are we here?” Vivian would kneel down, looking the children straight in the eyes, her tone calm yet firm: “The real world has never been just one way. You live in a house with a lawn and heating, but there are many people who don’t even have a stable bed. Remember this, and you will learn to cherish what you have.” Once, John saw a little boy running barefoot on the street; Vivian took a pair of Thomas’s old shoes from her bag and told John to give them to the boy. That night, John asked, “Will that little boy be happy?” Vivian patted his head: “You helped him, and that makes you happy—that’s enough.”
Amid caring for the children, Vivian never put down her camera. Every morning, she woke up an hour early, put on her dark coat, and walked along Lake Michigan to take photos. At that time, the lake was still shrouded in a thin layer of morning mist, and the early joggers, elderly fishermen, and mothers pushing strollers all became the subjects of her lens. She got used to covering half her face with the camera, observing the world through the viewfinder; the “click” of the shutter was drowned out by the wind and the sound of water, and no one noticed this quiet nanny quietly documenting the city’s awakening.
Weekends were her “photography days.” She would carry a backpack full of film and take buses alone across Chicago—from the mansions in the North Shore wealthy district (where mistresses in mink coats walked purebred dogs), to the bustling streets of the Loop (where office workers hurried past, neon lights reflecting off glass facades), to the slums on the South Side (where children played soccer in empty lots piled with garbage, and the elderly sat on dilapidated porches in the sun). She never staged shots, only quietly following her subjects and pressing the shutter at the most natural moment. The Gensburgs were very understanding, even allowing her to take the camera with her when she took the children to the park: “As long as you can keep an eye on them, there’s nothing wrong with taking photos.” Once, Thomas ran far away chasing a butterfly in the park; Vivian called his name while not forgetting to lift her camera and capture the moment his coat fluttered as he ran and his smile in the sunlight.
Her years with the Gensburgs were the most financially stable and creatively productive period of Vivian’s life. Before this, she could only save up for the cheapest film, sometimes even reusing expired rolls; now, she received a steady monthly salary, which allowed her not only to afford plenty of film, but also to buy a Rolleiflex 3.5F camera from a photography supply store in the winter of 1959. This was one of the most popular cameras among street photographers at the time, with a black leather body that exuded a delicate luster, and a high-quality 80mm lens that captured exquisite details—whether the wrinkles on a homeless person’s face or the patterns on a wealthy person’s shirt, all were clearly visible on the negatives. Vivian cherished this camera, carrying it everywhere; even when cooking for the children, she would place it on the kitchen windowsill, fearing it might get bumped.
In the early 1960s, while most street photographers still used black-and-white film, Vivian began experimenting with color photography. At the time, Kodak color film not only had low sensitivity (only ISO25), requiring long exposure times, but also cost three times more than black-and-white film. But Vivian didn’t care—she would plan her shooting routes in advance, go out in the afternoon when the light was most abundant, and patiently wait for the perfect light and shadow. She photographed the red autumn leaves along Lake Michigan, the red maple leaves falling on the green grass like scattered embers; she captured the fruit stalls of street vendors, with yellow bananas, red apples, and purple grapes piled together, exuding the vibrant vitality of life; she even photographed children in the slums, wearing faded colored shirts, laughing in the sun, their faces stained with dirt yet full of innocence.
In just a few years, she shot thousands of color negatives. When these negatives were later discovered, even professional photography critics were amazed—at a time when color photography was still uncommon, Vivian had already used color to capture the warmth of the city. Her color works did not pursue bright, garish tones, but instead used subtle color transitions to reveal the poetry in the everyday lives of ordinary people. No one knew why she insisted on shooting in color—perhaps because her memories of Saint-Bonnet were filled with the white of apple blossoms and the red of cherries; perhaps because she wanted the marginalized people she photographed to have more vivid images. But what is certain is that these color negatives made her one of the earliest artists to explore color street photography, leaving a valuable record of the era for later photographers.
During her 17 years with the Gensburgs, Vivian was both the “strange yet warm” Miss Maier in the children’s eyes and a silent creator in the darkroom. She used her camera to document the alternation of day and night in Chicago, and in her own way, guarded the order and passion in her heart—those negatives hidden in the darkroom were like secret letters she wrote to the world, waiting to be discovered and understood years later.
### 3.2 Peak Works of Street Photography
The 16 years from 1956 to 1972 marked the golden age of Vivian Maier’s photography career. As Chicago’s morning light glided over the surface of Lake Michigan time and time again, and as the leaves of the street sycamores turned green, yellow, and fell, she carried her black Rolleiflex 3.5F camera and used nearly 80,000 negatives to stitch together a detailed “time capsule” of 1960s America. Eighty thousand—behind this number was her persistence in pressing the shutter an average of 13 times a day: on early-morning buses, in slums in the afternoon, on park benches at dusk, she was like a silent hunter, always alert to the “moments of truth” hidden in the folds of everyday life. Her lens was never merely a tool for documentation, but more like a sharp scalpel, gently cutting through the glossy surface of American society to reveal the undercurrents of the civil rights movement, the remnants of gender discrimination, and the poverty lurking behind economic prosperity—all laid bare on film without concealment.
Among Vivian’s many series, *Chicago, 1959* is the most impactful—without grand narratives, it uses two small scenes to lay bare the pain of racial division in America at the time.
The background of the first photo is a main road in Chicago’s Loop district. The road had just rained, leaving shallow puddles that reflected the street lamps. In the center of the frame, a Black woman wrapped her hair in a floral scarf and held a sleeping baby in her arms; the baby’s small face was tucked against her chest, and its tiny hand clung tightly to the hem of her clothes. She walked in a hurry, her body leaning slightly forward, yet her eyes involuntarily glanced to the right—where a white policeman stood with his hands behind his back, his uniform buttons fastened tightly, his gaze sweeping over her like a cold light. More ironically, behind the woman, a huge billboard bore the bold white words “Freedom and Equality, the Soul of America,” its red background standing out sharply on the rainy day. The moment Vivian pressed the shutter, the woman’s panic, the policeman’s indifference, and the billboard’s slogan formed a sharp contrast against the wet street scene, as if a wordless accusation: Who is excluded from this so-called “freedom and equality”?
The other photo turns its lens to a park fountain. Midsummer sunlight filtered through the sycamore leaves, casting dappled light on the ground; the fountain’s water splashed upward, creating tiny rainbows. Two schoolgirls knelt by the fountain, plastic shovels in their hands, splashing water at each other. The white girl on the left had neatly combed pigtails, a bow tied at her collar, and a pair of beige lace gloves on her hands—even while playing in the water, she maintained a refined dignity. The Black girl on the right had two loose braids, the cuffs of her school uniform frayed, and her bare feet stepped on the wet stone slabs, with small grains of sand between her toes. Vivian did not photograph their faces, but focused on the detail of “gloves” and “bare feet”: one symbolized protection and class, the other symbolized vulnerability and reality. There was no intense conflict, no deliberate sentimentality, yet the hidden racial divide became as clear as the fountain’s spray in the viewer’s mind.
Vivian’s greatest strength was capturing “unpolished moments”—not forced smiles or carefully arranged poses, but the expressions that revealed the true essence of life, inadvertently revealed by people. These expressions spoke volumes about the joys and sorrows of life more than any words.
*Tired Mother, 1962* was shot in a community park on Chicago’s South Side. The bench in the photo was made of iron, its paint chipped to reveal rusty metal underneath. The young mother wore a faded blue dress and held a sleeping child in her arms; the child’s small head rested on her shoulder, and saliva soaked her collar. Her back was slightly hunched, as if weighed down by life; she did not look at the child in her arms or the surrounding scenery, but stared blankly at the distant bus stop. Sunlight fell on her face, clearly revealing the fine lines at the corners of her eyes and mouth—these were not marks of time, but the traces of years of late nights, rushing around, and anxiety. Her right hand rested on her leg, her knuckles somewhat swollen, with a trace of flour still under her nails; perhaps she had just finished work at a bakery and rushed to the park to soothe the child to sleep. Vivian stood not far away, quietly freezing this moment with a telephoto lens—there was no sympathetic perspective, no deliberate exaggeration, just an objective record of a mother’s exhaustion, yet everyone who saw this photo was reminded of the similar look in their own mother’s eyes.
*Street Performer, 1965* turned its lens to the streets of Chicago’s Loop district. A blind musician sat on a tattered wooden box, wearing a black coat with holes at the elbows, revealing the gray wool underneath. His eyes were covered with a yellowed white cloth, and he held an old guitar in his hands; his fingers moved skillfully over the strings, which had lost their luster in places from years of use. Strangely, his face showed no expression—no immersive rapture, no expectation of passersby, no sorrow for life—like a silent statue. Only the empty tin can at his feet betrayed his situation: the can was made of iron, printed with the words “tomato soup,” and only a few scattered coins lay at the bottom, glinting faintly in the sun. Occasionally, when a passerby walked by, his fingers never paused, and the sound of the strings seemed especially lonely amid the bustling street. Vivian stood across the street, watching him play for a full ten minutes, until a little girl dropped a fifty-cent coin into the can—and it was at that moment that the corner of his mouth twitched slightly—that Vivian pressed the shutter. This photo, without fancy techniques, used an “expressionless” expression to convey the numbness and stubbornness of those at the bottom of society in the face of survival.
In 1960s America, most street photographers were obsessed with black-and-white film—they believed black-and-white better emphasized the contrast of light and shadow and better expressed the seriousness of society. But Vivian chose to go against the trend; defying the challenges of low-sensitivity (only ISO25), high cost, and difficult development of color film, she used thousands of color negatives to open up a new world for street photography. Her color works were never about showing off technical skills through color; instead, she used color to tell stories and convey emotions.
*Red Dress, 1961* was shot on an old street in Chicago. The buildings on both sides of the street had gray-black brick walls and white wooden window frames, which had turned beige from years of wind and sun, with a few faded posters pasted on the walls. In the center of the frame, a woman stood with her hands behind her back on the street corner; she wore a bright red dress that reached her knees, made of cotton fabric, fluttering slightly in the wind. Her hair was styled in the popular big waves of the time, held back with a black hairpin, and she wore a pair of black high heels—not too high, yet they gave her posture a touch of elegance. Vivian chose to shoot around three o’clock in the afternoon—at this time, the sun slanted across the street, stretching her shadow long; the red dress, set against the gray-black buildings, was like a flame, instantly becoming the visual focus of the image. The woman did not look back or at the camera, but stared at the distant street corner, as if waiting for someone. The passion of the red contrasted with the dullness of the buildings, highlighting the woman’s vitality while hinting at her loneliness in the dull environment—Vivian used color to hide the thoughts of an ordinary woman in the light and shadow of the street.
*Store Window After Rain, 1964* demonstrated her unique understanding of “overlapping aesthetics.” After the rain, puddles still dotted the street, and the store window glass was covered with fine water droplets, blurring the goods inside. Vivian stood across the street, allowing the scene inside the window to overlap with the street scene on the glass: several colored dresses—pink, blue, yellow—hung inside the window, and the mannequins wore stiff smiles; outside, a man holding a black umbrella walked past, water dripping from the umbrella’s edge, and in the distance, a yellow taxi drove by, its body reflecting the window’s lights. The water droplets on the glass formed a natural filter, blending the brightness inside the window with the calmness of the street scene, like a dreamlike overlap—as if reality and ideal were separated by nothing but a sheet of glass. Using color film, Vivian accurately captured this “interplay of reality and illusion,” and without deliberate color adjustments, every color perfectly conveyed emotion.
Later, the famous photography master Joel Meyerowitz, upon seeing these color works, sincerely commented: “Vivian’s color works are full of poetry; she was a pioneer of color street photography. At a time when color film was still regarded as ‘amateurish,’ she used color to prove that the street contains not only cold reality, but also romance hidden in everyday life.”
Among Vivian’s 80,000 photos, nearly 200 are self-portraits. Unlike other artists who pursued exquisite compositions or distinct personalities, these self-portraits are full of “concealment” and “metaphor”—she rarely revealed her full face, always hiding herself in the corners of the frame with hats, shadows, cameras, or mirrors, as if telling the world: “I am a recorder, not a participant.”
*Self-Portrait in the Mirror, 1963* was shot in the bathroom darkroom of the Gensburg home. The mirror was a rectangular piece of glass hanging on the wall, with slightly worn edges, and several black-and-white photos Vivian had developed were pasted next to it. She stood in front of the mirror, wearing a dark coat and a wide-brimmed black hat; the shadow of the hat covered half her face, revealing only her sharp jawline and a hint of her lips. She held her Rolleiflex 3.5F camera in her hand, its lens facing the mirror, occupying the center of the frame—the glass of the lens reflected her image in the mirror, creating a “mirror within a mirror” effect. Her eyes, through the shadow of the hat, looked toward the lens—no confusion, no ostentation, only a calm determination. This self-portrait was like a declaration of her identity: the camera was her eye, a bridge connecting her to the world, and photography had long become an inseparable part of her life.
*Shadow Self-Portrait, 1967* was even more creative. One afternoon, Vivian was walking along a graffiti-covered street on Chicago’s South Side; the setting sun stretched her shadow long, casting it on a wall covered in colorful graffiti. The graffiti depicted a cartoon character grinning widely, holding a red flower in its hand. Vivian stopped, adjusted the angle of her camera, and overlapped her shadow with the cartoon character—her shadow wore a wide-brimmed hat and held a camera, and the flower in the cartoon character’s hand landed right next to her shadow, as if a gift she had “given” to the cartoon character. Sunlight filtered through the sycamore leaves, casting fine spots of light on the shadow, adding a touch of vitality to the overlapping image of reality and illusion. In this self-portrait, she revealed no part of her body, expressing herself solely through her shadow—her shadow was “reality,” the graffiti was “illusion,” and by placing herself on the “boundary between reality and illusion,” she mirrored her position in life, always standing on the “boundary between observer and participant.”
These self-portraits were more than just records of Vivian—they were metaphors for the world: throughout her life, she remained a “silent observer,” embracing the world through her lens yet deliberately keeping her distance. She sought no fame or fortune, no understanding; she only wanted to stand behind the lens, quietly watching the joys and sorrows of the world, then sealing them away in negatives, waiting for time to unlock them.
The 16 years of creation from 1956 to 1972 transformed Vivian from an ordinary family nanny into an “invisible master” in the history of street photography. Her 80,000 photos were not cold film, but warm memories of an era—containing the pulse of 1960s America, the joys and sorrows of ordinary people, and a woman’s unwavering passion for photography. It was only years later, when these negatives were accidentally discovered, that people realized: in that era, there was such a silent observer who, through her eyes, preserved the truest face of a time for us.
### 3.3 Expanding Horizons Through Global Travel
In the early spring of 1959, with the air in Chicago still carrying a hint of chill, Vivian Maier clutched her savings from three full years of vacation as a full-time nanny and stood on the platform of Union Station. Her days had always revolved around her employers’ children, housework, and moments on the city streets, but now, her suitcase contained not only a few changes of clothes, but also three polished cameras—a Leica rangefinder, a Rolleiflex twin-lens reflex, and the old folding camera once used by her most cherished Jeanne Bertrand. This was her first true “escape” in life, her destination spanning Europe, America, Asia, and Africa, and her lens was about to break free from the concrete jungle of American cities for the first time, to touch the distant warmth of human life.
Vivian’s first stop in 1959 was the French town of Saint-Bonnet—the only place that had brought her warmth in childhood, nestled at the foot of the Alps. When she walked along the cobblestone path to her grandmother’s Beaujolais estate, the sight brought tears to her eyes: the cherry trees that had once been heavy with fruit were long withered, their trunks covered in moss; Monsieur Dupont the carpenter’s workshop had become a hayloft, its wooden door hanging askew on its hinges; the stone by the stream where the peasant women’s laughter had once echoed now sat alone, submerged in murky water. She raised her Rolleiflex, aiming the lens at the barren fields and the dilapidated estate walls; sunlight filtered through the clouds, casting dappled shadows on the ground, like blurry fragments of memory. Her fingertips trembled slightly as she pressed the shutter—this photo, later titled *Grandmother’s Estate, 1959*, lacked the brightness of her childhood, yet hid the gentlest sigh for the passage of time, becoming a hidden footnote to her reconciliation with her past.
Leaving Saint-Bonnet, she traveled south to Rome, Italy. In St. Peter’s Square, she stood under Bernini’s Colonnade, watching two overlapping “scenes” unfold before her: on the left, an elderly woman wrapped in a dark wool coat knelt on the stone slabs, her hands clasped around a cross, her forehead pressed to the ground, and morning dew gathered in the wrinkles of her devout face; on the right, a group of American tourists held colorful tour flags, children chasing each other among the colonnades, some exclaiming loudly at the dome of St. Peter’s Basilica, the click of camera shutters echoing constantly. Vivian quietly stepped into the shadow of the colonnade, adjusted her Leica to a 50mm focal length, and used a low-angle composition to frame these two seemingly disconnected scenes in a single frame—the elderly woman’s serenity and the tourists’ bustle, the solemnity of faith and the liveliness of the secular world, balancing each other wonderfully in the sunlight. This photo, *St. Peter’s Square, 1959*, was later regarded by researchers as the beginning of her “contrast aesthetics,” and on the back of the photo, she wrote only a small line: “Everyone is searching for something.”
In the late autumn of the same year, Vivian arrived in Cairo, Egypt. When the outline of the pyramids gradually became clear in the desert dawn, she almost ran toward the huge stone blocks—not to marvel at the grandeur of the architecture, but to focus on the camel driver at the base of the stones. This was a middle-aged man with dark skin, wearing a faded woolen robe with frayed collars and cuffs; he waited for tourists while holding a camel’s reins, his rough palms gently stroking the camel’s mane, yet his eyes wandered to an old Ford car driving past on the distant road. Vivian knelt on the sand, adjusting the exposure using the shadow of the pyramid, and pressed the shutter the moment the camel driver looked up at the car—in the frame, the ancient pyramids, the traditional camel driver, and the modern car overlapped in the yellow sand, as if spanning a thousand years of time. On the back of this photo, *Camel Driver at the Pyramids, 1960* (note: the original text dates this to 1960, presumably spanning the end of the year), she drew a small camel and wrote next to it: “Time in the sand.”
Her 1960 trip to Asia was considered “bold” among Western photographers of the time—the Iron Curtain of the Cold War was at its thickest, and many Asian countries imposed strict restrictions on Western tourists. Yet driven by her obsession to “only photograph ordinary people,” Vivian traveled to India, Thailand, Vietnam, and finally Beijing, China, becoming one of the few Western photographers able to document the streets of Beijing in that era.
In India, she devoted most of her time to the Ganges River. To capture the Ganges morning bath ritual, she would get up in the dark at 3 a.m. every day and take a rickety 人力车 (rickshaw) to Varanasi. By the time the first faint light pierced the mist over the river, she was already standing on the stone steps along the bank, watching as devotees carrying brass pots stepped into the water. Their hands clasped in prayer, they chanted scriptures silently, while smoke from the funeral pyres on the shore curled upward, intertwining with the mist. Refusing to disturb this tranquility with her flash, she set her camera’s ISO to the lowest level and used a slow shutter speed to capture the gentleness of the flowing water and the swaying figures of the devotees. The people in her photos looked like silhouettes immersed in milk, radiating a sacred sense of haziness. To buy enough film, she even spent the money she had saved for a hotel and stayed overnight at a riverside temple for two nights— the monks provided her with simple vegetarian meals, and in return, she took a few Polaroid photos of them as a token of gratitude.
Upon arriving in Beijing, Vivian deliberately changed into a plain cotton dress, trying her best to blend in with the street crowds. Carrying a cloth bag with her camera inside, she wandered slowly through the hutongs: moss crept up the weathered gray walls, and elderly people sat on small stools at the base of the walls, soaking up the sun; passersby in coarse cotton blue jackets hurried past, their cuffs frayed white; tricycle drivers hunched over, sweat dripping down their necks into their collars, while children returning from school sat in the carts, clutching rock sugar hawthorns. She never approached anyone actively, but stood at a distance, waiting for the perfect frame to form naturally— for instance, when a child lifted a rock sugar hawthorn to their mouth, or when a driver stopped to wipe his sweat— she would quickly raise her camera, the shutter of her Leica as soft as a breath. In the surviving Beijing Hutongs, 1960 series, there are no political symbols— only blue cotton bed sheets hanging in the hutongs, stray cats huddled at the base of walls, and red lanterns hanging at doorways. These most unadorned daily scenes became "living fossils" for later studies on the daily life of Beijing residents in the 1960s, as few Western photographers could document the lives of ordinary people "without bias" in that era.
In Bangkok, Thailand, she was caught in a sudden downpour. At the time, she was photographing fruit stalls in a market when raindrops the size of beans began to pelt down. Stall owners hurried to pack up their goods, and passersby scattered to take shelter. Instead of running for cover, Vivian hid under the eaves of a fabric shop, fixated on the light and shadow in the rain curtain— the downpour had washed the market’s colors into vivid brightness: red mangoes, green limes, and stalls draped in patterned cloth glistened in the rain. Occasionally, sunlight would break through gaps in the clouds, casting a rainbow on the waterlogged ground. She waited for nearly an hour until the rain lightened, then rushed into the market immediately, her lens focused on a stall owner who was covering his fabrics with a plastic sheet. Raindrops dripped from his hair onto his face, yet he smiled at the camera. This photo, Bangkok Market in the Rain, later became a classic among her travel works— the raindrops are clearly visible, and the man’s smile carries the warmth of everyday life, with none of the embarrassment usually associated with heavy rain.
Throughout her journey, Vivian maintained the frugal habits she had developed during her days as a nanny. In Paris, she stayed in a tiny 6-square-meter hotel room in the Latin Quarter; the staircase was so narrow that only one person could pass at a time. Besides a single bed, the room had only a small table with chipped paint, and she could only use a bedside lamp for lighting at night. In Cairo, she spent no more than $5 a day on meals— often a piece of bread and a bowl of chickpea soup, with an occasional string of roasted corn as a treat. In India, she even walked over ten kilometers to photograph a village market just to save on transportation costs.
Yet when it came to film, she was surprisingly "extravagant." Whether it was Kodak color film bought in Rome or Fuji black-and-white film purchased in Tokyo, she never cared about the price— whenever she saw a scene she liked, she would press the shutter without hesitation, sometimes using up two rolls of film in a single day. In Bangkok, she noticed that some local film rolls were nearing their expiration date, and the shopkeeper offered to sell them to her at a low price. However, she refused firmly, insisting on paying twice as much for fresh film: "Moments only happen once; you can't waste them on expired film." This attitude— "frugal with herself but extravagant when it came to photography"— ran through her entire journey and epitomized her photography career: she never cared about her own quality of life, yet poured all her care and attention into the world she captured through her lens.
At the end of 1960, Vivian returned to Chicago with a suitcase full of film and a body worn out from exhaustion. As she developed her travel photos one by one in the darkroom— gazing at the desolation of the Château de Saint-Bonnet, the contrasts of St. Peter's Square, and the everyday scenes of Beijing’s hutongs— she suddenly realized: photography is not just about recording "what is seen," but more importantly, about reflecting on "what lies beneath." This realization brought about a subtle yet profound change in her work after her return.
She began to shift her lens from "people on the street" to "the relationship between people and the city." In the spring of 1961, she photographed Skyscrapers and Sparrows, 1961 on Michigan Avenue in Chicago— the main subject was the glass curtain wall of Chicago’s John Hancock Center; the massive building glowed with a cold light in the sun, while in the shadow cast by the structure, a tiny sparrow landed on the sidewalk, pecking at bread crumbs. She used a wide-angle lens to exaggerate the "immensity" of the skyscraper and the "tininess" of the sparrow, creating a stark contrast between the sky reflected on the glass curtain wall and the shadows on the ground. Though there are no people in this photo, traces of humanity are everywhere— the skyscraper symbolizes human civilization, while the sparrow represents nature. Their coexistence hints at the "alienation between humans and nature" in the process of urbanization, and also embodies her reflection on "humanity's place in the times": just like that sparrow, do we too feel lost in the face of such enormous buildings?
Later, she created more works such as Park Bench and High-Rises and Wildflowers by the Railroad Tracks. In Park Bench and High-Rises, an elderly man sits on a bench with his back to the skyscrapers behind him, his hands resting on his knees, staring blankly into the distance— the shadows of the tall buildings almost completely enveloped him. In Wildflowers by the Railroad Tracks, a few yellow wildflowers grow in the cracks of the railroad tracks, while factory chimneys belching black smoke loom in the distance; the fragility of the wildflowers and the rigidity of the factory form a striking contrast. These works are no longer simple "moment captures," but rather in-depth reflections on urbanization, industrialization, and the relationship between humans and nature. Her lens shifted from "recording life" to "interpreting the times"— this transformation elevated her photography from "street snapshots" to the level of "humanistic documentary," laying the groundwork for her later reputation as "one of the greatest street photographers of the 20th century."
No one knew that the nanny who pushed a stroller every day and raised a camera in her spare time was quietly documenting the face of the world. She left no diaries of her journey and shared her experiences with no one— only stacks of film hidden in a box. It was not until decades later, when these films were discovered, that people could finally look through her lens and see the most authentic joys, sorrows, anger, and delights of ordinary people across different countries and cultures in that bygone era.
Chapter 4: Wandering and Persistence (1972–2007)
4.1 A Wandering Later Life
In Chicago in 1972, the early summer wind still carried a faint chill. Vivian Maier packed her suitcase and stood at the door of the Gensburg house—a home where she had lived for 17 years. She had been a silent observer of this family, wiping countless dishes with her apron and secretly organizing her camera under the kitchen light late at night. Now, her suitcase held no valuables—only a few faded clothes, three cameras of different models, and a stack of film wrapped in brown paper. The Gensburgs’ matriarch offered to keep her for a farewell meal, but she only shook her head gently: "No need. The next family is waiting for me." As she turned to leave, her silhouette looked unusually thin in the sunlight. At 46, she was already used to carrying "home" in her suitcase—yet she had no idea that this wandering life, framed by her work as a nanny, would last for 25 years.
In the years that followed, Chicago’s neighborhoods became her mobile homes. She worked for 12 families in total, never staying with any for more than 3 years—sometimes because employers couldn’t tolerate her "eccentricities," sometimes because she herself felt "the light here isn’t right," and quietly packed her bags to leave. Employers’ opinions of her were like two sides of a coin: sharply divided.
Families who praised her always remembered her "professionalism and tenderness." In the Harris household, which lived in a lakeside apartment, she taught the young daughter Sophie French: every afternoon, she would spread French fairy tale books on the living room carpet, translating sentence by sentence in English with a French accent. When she encountered words like "moon" or "forest," she would take out a sketchbook and draw simple images to illustrate them. She also taught Sophie to observe light and shadow—each evening, she would pull Sophie to sit by the window, watching the sunset cast the curtain’s shadow on the wall: "Look, the shadow moves, like a talking spirit." The Harrises later recalled: "Vivian wasn’t just a nanny—she was the child’s art mentor."
Yet employers who complained about her were deeply struck by her "solitude and stubbornness." In the Wilson household in the suburbs, she often disappeared suddenly while walking the children—sometimes crouching on a street corner to photograph a stray cat, sometimes standing outside a grocery store to shoot passersby. When she returned, the child’s hands would be cold, but she would still be flipping through the photos in her camera. The incident that angered Mrs. Wilson most occurred when her son was hit by a bicycle while crossing the street, his knee bleeding. Instead of helping the child up first, Vivian pulled out her camera from her pocket and snapped a photo of him sitting on the ground crying. "How can you be so cold-blooded?" Mrs. Wilson shouted at her. Vivian only put away her camera calmly, knelt down to wipe the child’s tears, and said in a voice with no trace of emotion: "This is what really happened. Pain, tears—they’re all part of life, and they deserve to be recorded." The next day, Vivian left the Wilson household on her own, taking that photo with her; no one knew where she hid it later.
For Vivian, photography was no longer a hobby—it was an obsession etched into her bones. In the late 1970s, as the U.S. economy fluctuated, film prices rose by nearly a third. Living on a nanny’s salary, she was forced to "save money" even more rigorously: her breakfast was always a cheap black bread, eaten with tap water; in winter, she preferred to wrap herself in a thick old coat rather than turn up the heat in her employer’s home. Yet whenever she passed a camera shop, she would stop and stare at the film through the glass—saving up enough money to buy a few rolls immediately, tucking them carefully into her inner pocket as if they were more essential "food" than actual meals. One Christmas, her employer gave her a $50 bonus. Instead of buying new clothes, she visited three camera shops to purchase a used Hasselblad camera—the body was slightly worn, but the lens was still clear. The night she got it, she tested it repeatedly against the wall in her small room at the employer’s house, running her fingers over the shutter again and again, her eyes shining with a rare light. It was also around this time that she stopped developing her negatives—perhaps for lack of time, or perhaps to preserve all "moments" intact. She simply wrapped the exposed film in soft cloth, labeled it with the date and location, and stored it in an old leather trunk. The film piled up in the trunk like a small mountain of hidden secrets.
By the 1980s, time began to leave its mark on Vivian. She developed severe arthritis—her right knuckles swelled and deformed, and she had to rely on a wooden cane to walk. The cane’s top was worn smooth, and she had wrapped a strip of cloth around its middle for a better grip. Even so, she persisted in going out to take photos every week—every Saturday morning, she would get up early, hang her camera around her neck, tuck the cane under her arm, and walk slowly out of her employer’s house. Vivian could always be seen on Chicago’s streets: in spring, she stood under cherry blossom trees with her cane, photographing petals falling to the ground; in summer, she sat on a park bench, capturing elderly men napping with palm-leaf fans; in autumn, she squatted by the roadside, shooting fallen leaves swirling in the wind; in winter, she stood in the snow, documenting footprints left by passersby. Her shooting style also shifted quietly—she no longer chased the "drama" of the street as she had in her youth, nor obsessed over capturing exaggerated expressions on people’s faces. Instead, her lens turned to smaller, quieter moments: a potted plant on a windowsill, nearly withered but still dotted with morning dew; a crack in an old house’s wall, with a tiny blade of grass growing from it; a trampled maple leaf on the ground, its veins still clear. These seemingly ordinary scenes, through her lens, exuded a gentle gaze—as if she were whispering to these silent things: "I see you. Your existence matters."
In 1987, 51-year-old Vivian began working for Zalman Usiskin, a professor at the University of Chicago. Professor Usiskin later recalled: "The day Miss Maier arrived, she dragged three large suitcases and over a dozen cardboard boxes. I thought they were filled with her clothes—only later did I learn they were all her negatives and photos." Vivian’s room in the Usiskin house was small; apart from a bed and a wardrobe, the remaining space was filled with those boxes—some were cardboard, labeled in handwriting ("Michigan Avenue, 1983," "Lakeside Park, 1985"); some were wooden, carved with a small "V" (for Vivian); the innermost one, a metal box, was said to hold her earliest photos. She never allowed anyone to touch these boxes—every night before bed, she would check to make sure they were all in place before lying down. Once, Professor Usiskin’s daughter curiously tried to open a cardboard box. Vivian immediately walked over, gently hugged the box to her chest, and said in a tone she had never used before—serious and firm: "This is my life. You can’t touch it casually."
Professor Usiskin was the first person to truly recognize Vivian’s photographic talent. Once, he accidentally saw her organizing negatives—these black-and-white photos were filled with the smiles of street performers, the hurry of pedestrians in the rain, and the balloons in children’s hands, each brimming with the warmth of life. "Miss Maier, your photos are wonderful. Can I help you hold a small exhibition? Let more people see these works," he offered sincerely. But Vivian refused without hesitation. She put the negatives back into the box, her voice calm but resolute: "These photos are mine—they’re my conversation with life. They don’t need to be seen by others, and they have nothing to do with anyone else." That night, Vivian stayed in her room for a long time; no one knew what she was thinking—perhaps she remembered Jeanne Bertrand’s darkroom from her childhood, or perhaps she recalled every moment she had captured during her years of wandering. These photos were never about fame or fortune—they were her way of fighting loneliness and recording life, a "secret garden" that belonged only to her.
4.2 The Hidden Continuation of Creation
Even as middle age wrapped her in the dust of wandering—she still worked as a nanny for the most part, moving between families, her suitcase always packed with cameras, film, and a few changes of clothes—Vivian Maier’s lens never stopped clicking. Over the two decades from the 1970s to the 1990s, her footsteps traversed Chicago’s streets and alleys, New York’s park benches, and even small towns she passed through during her travels. She captured approximately 40,000 photos with her shutter. These works shed the sharpness and brilliance of her early "Golden Age" (1950s–1960s); they lacked the extreme focus on street moments of that era, but gained the maturity and restraint that come with time: the grain of black-and-white film grew softer, the tones of color images more understated, and even her observation of people shifted from the "sharpness of a bystander" to the "calmness of an empathizer." Her frequently used Rolleiflex twin-lens reflex camera had long been polished smooth by the warmth of her palms; occasionally, she experimented with a Polaroid, which allowed her to see the image instantly—after pressing the shutter, she would wait quietly for the paper to develop, like waiting for a flower to bloom slowly, her eyes holding a devotion to "eternal moments."
Nursing Home Window, 1982 is the most representative work of this period, and Vivian’s first gentle inquiry into "aging." In the frame, the white window frame of the nursing home is slightly chipped; an elderly person’s thin hand rests on the glass, the wrinkles at their knuckles blending with the mist on the pane—their expression is invisible, but their slightly leaning posture reveals a longing for the world outside. Beyond the glass, the green leaves of several plane trees stretch in the sunlight, and light spots filtering through the branches fall to the ground, contrasting sharply with the stillness inside: on one side, the stagnation of life trapped by time; on the other, the endless flow of vitality. At 56, Vivian may have been moved by the figure behind this window when passing the nursing home—though her own life had no fixed abode, she was already beginning to feel the weight of years. This photo is not only an observation of a stranger’s old age, but also a metaphor for her own future: when the body gradually loses its freedom, is the distance still worth longing for?
Abandoned Toy, 1985 hides Vivian’s hidden empathy for "abandonment." In the photo, a tattered teddy bear lies in a dark green trash can—its right eye button long lost, its beige fur caked with dust and grime, and a blue overall torn at the hem. Sunlight slants through the gaps in the wire fence, falling precisely on the teddy bear’s cheek, gilding its grimy fur with a warm golden glow. This warmth stands in stark contrast to the filth of the trash can and the bear’s shabbiness—it evokes compassion yet feels unexpectedly healing. Perhaps memories of her wandering childhood surged up, allowing Vivian to capture the warmth of "forgotten things" with uncanny accuracy: this teddy bear was once a child’s treasure, yet now it was discarded on the street—just as she herself had been forgotten by her father in the corner of life. But she did not use her lens to amplify sorrow; instead, she used sunlight to infuse the frame with hope—just as she herself had never given up chasing beauty, even amid a wandering life.
In the 1990s, Vivian’s lens began to turn to herself. Unlike the subtlety of her early "shadow self-portraits" (hiding her shadow in street scenes, half-visible), in her later years, she was more willing to face the camera directly, using self-portraits to document the aging of her body and the resilience of her spirit. Self-Portrait in the Nursing Home, 1999 is the best reflection of her mental state in old age: in the photo, she sits in a silver-gray wheelchair, her hair completely white, yet she still wears her signature wide-brimmed canvas hat—the brim pulled low enough to cover part of her forehead, but not low enough to hide the determination in her eyes. Her hands clutch an old Rolleiflex camera tightly, her knuckles whitening slightly from the effort; though the skin on her arms has sagged, her grip on the camera remains steady. The light blue wall of the nursing home serves as a backdrop, with no extra decorations, yet her figure stands unusually straight—there is no decrepitude of old age, only the certainty of "living in harmony with photography": even if her body is confined to a wheelchair, her lens can still be aimed at herself, at the world.
Beyond photography, Vivian left behind a vast collection of written records—these words are like a key, allowing us to enter the world of her thoughts behind the lens. In her apartments (no matter which city she was in), there were always several neatly stacked cardboard boxes filled with thousands of newspapers—from major publications like the New York Times to Chicago’s local Sun-Times, even small-town weeklies. Each one was marked with a date in pencil in the corner; though the edges had yellowed and grown brittle with time, they remained flat, without creases. Her notebooks were even more precious: their dark brown leather covers were worn, and the pages inside were filled with comments on films, politics, and social events in blue and black ink—sometimes neat, sometimes scribbled. When discussing the 1970s American women’s rights marches, her handwriting became unusually forceful, even scratching through the paper: "Women’s freedom should not stay in slogans—it should be in their eyes, in their steps." When commenting on a film about the civil rights movement, she wrote: "The lens should not only record conflict, but also the struggle and persistence of ordinary people in the era." Researchers discovered that these thoughts were not isolated—they subtly permeated her photography: the women in her lens were mostly depicted walking independently, not as figures dependent on others; when shooting scenes related to the civil rights movement, she focused not just on protest slogans, but on the clenched fists of participants and the determination on their faces—words were her thoughts, and photography was her expression.
In 1999, Vivian’s health deteriorated further, making even daily walking difficult. The Gensburg children, whom she had once cared for, learned of her predicament and took the initiative to rent her a small apartment facing Lake Michigan in Chicago—one of the few "permanent homes" in her life, and a haven for her in old age. On moving day, the children helped her carry over a dozen boxes filled with cameras, film, notebooks, and newspapers into the apartment. Vivian sat in a wheelchair, looking out at Lake Michigan, and smiled for the first time in a long while. She personally covered the living room walls with her photos: black-and-white shots of New York streets from the 1950s, color film from the 1970s, and recent self-portraits—one next to another, like a time corridor spanning half a century.
Neighbors often saw this unusual elderly woman: every afternoon, she would sit in a wicker chair by the window, still wearing her old Rolleiflex around her neck, staring blankly at Lake Michigan. Sometimes the lake was shrouded in fog, and the white mist—carrying the dampness of the water—drifted into the room; she would slowly lift her camera, gesturing at the foggy lake as if composing a shot. Sometimes the sun set, painting the lake golden, and she would take out her notebook, writing a few lines with trembling hands—her handwriting was not as neat as before, but still firm. No one knew what she was thinking—perhaps recalling the mornings in Saint-Bonnet, perhaps planning her next photo, perhaps simply enjoying the tranquility of being with the lake and her lens. But everyone could feel that this elderly woman’s heart still held a photographer who loved the world—her lens never went dark, and her passion never faded.
4.3 A Forgotten Legacy
As the 21st century began, Vivian Maier’s figure was no longer as agile as it once was when she wandered Chicago’s streets. Years of wandering and hard work had crushed her health like an invisible weight—joint pain made it difficult for her to walk for long periods, and her eyesight began to blur. The eyes that had once captured street moments with precision could no longer clearly see the details in the viewfinder. After 2000, she had to put down her camera for good and stop working as a nanny. With her source of income suddenly cut off, her life plummeted into destitution; she could only survive on a meager government welfare check.
The welfare check was barely enough to cover the rent for her small Chicago apartment and the most basic food—she often bought the cheapest bread and canned goods, surviving on a cup of hot milk for a meal. Even so, she never thought of giving up her piles of negatives. To Vivian, those negatives—stored in brown paper bags and marked with shooting dates—were not cold film, but the memories and soul of her entire life. To find a safe place for these "treasures," she gritted her teeth and rented 5 storage lockers in a warehouse on the edge of the city. The monthly rent was a huge sum for her, one she had to scrape together from her meager food budget. Whenever welfare day came, she would set aside the rent first, then calculate how many days’ worth of food the remaining money could buy. When she went to the warehouse to organize her negatives, she would carry an old cloth bag with a magnifying glass and a notebook, squatting in the dim, damp warehouse for hours to reclassify scattered negatives by date. When her fingertips brushed the grain on the film, the light in her eyes was one of the few bright spots in her later life.
One cold autumn morning in 2004, Chicago was raining. Vivian slipped and fell heavily on the steps outside her apartment while taking out the trash. The pain of the fracture left her nearly unconscious; she was only sent to the hospital after a neighbor found her. This fall robbed her of the ability to walk entirely—from then on, she could only lie in bed to recover. Once able to carry a camera and walk the length and breadth of the city, she now could not even get up to look at the street from her window. She could no longer go out to take photos; she could only organize her old negatives in her cluttered apartment, relying on the faint daylight filtering through the window. At 78, her memory had deteriorated severely—she often forgot what she had eaten the day before, and even the names of her neighbors. Yet as long as she picked up a roll of film, she could accurately name the time and place it was shot: "This roll was taken on Michigan Avenue in the spring of 1956—a little girl was feeding pigeons, and the sun was beautiful that day." "This one was shot outside the subway station in the winter of 1963—an old man was selling hot cocoa." The past, blurred by time, seemed to be engraved in the silver halide of the film; as long as she touched it, it would resurface clearly.
Her life grew increasingly isolated—the curtains of her apartment were drawn all year round, with only dust floating in the beams of light. Apart from the occasional visit from the Gensburg children, who had once been in her care, she had almost no visitors. The children would bring homemade cookies and flowers, sitting by her bed to listen to her ramble about past photography anecdotes—she would talk about how she had waited two hours in the cold wind to take a photo of a street performer, or how she had been mistaken by a dog owner while photographing a stray dog and nearly chased away. The children listened attentively, sometimes helping her organize the negatives scattered on her bed. Vivian would point to one with her thin fingers, her eyes lighting up: "Look, how pure this child’s smile is."
In 2007, Chicago’s winter was unusually cold. Vivian’s welfare check was delayed, and she finally couldn’t scrape together the warehouse rent. When the warehouse company’s collection notice arrived at her apartment, she stared at the number on the paper in silence for a long time. She tried to ask old friends for help, but most had long lost contact; she wanted to sell some unimportant items, but realized that apart from her negatives and cameras, she had nothing valuable left. In the end, the warehouse company put all her belongings in the 5 lockers up for auction, classifying them as "overdue stored items."
On the day of the auction, the warehouse was crowded with people looking for cheap secondhand goods. Vivian’s life’s work—150,000 developed negatives, 3,000 unopened rolls of film, hundreds of notebooks filled with shooting notes, and dozens of cameras ranging from vintage models to ordinary SLRs—was packed into dozens of tattered cardboard boxes and placed on the auction block like garbage. Most buyers were looking for bargains; no one knew that these boxes contained a photographer’s lifelong dedication, and even fewer knew that Vivian was lying in a hospital bed at that moment, receiving treatment for a lung infection, completely unaware of what was happening in the warehouse. When the auctioneer brought down the gavel, the negatives that carried all her observations and love for the world were divided up by anonymous buyers, scattered to every corner of the city.
Later, when collector John Maloof accidentally bought a few of these boxes of negatives and was shocked by the images inside, he began searching for Vivian everywhere—only to find that the forgotten photographer had already been admitted to a nursing home. At the time, her consciousness alternated between clarity and confusion: when clear, she would mutter about "my camera" and "my negatives"; when confused, she would mumble to the ceiling as if talking to the strangers she had once photographed. When Maloof found the nursing home, he saw her once through the glass window—she sat in a wheelchair, staring blankly at the outside, sunlight falling on her white hair, yet unable to warm the loneliness in her eyes.
In the winter of 2008, Chicago was hit by a rare snowstorm, and the nursing home’s yard was covered in ice. When Vivian was helped by a caregiver to the window to watch the snow, she slipped and fell, hitting her head hard on the cold floor. After this fall, she fell into a deep coma and never woke up. On the morning of April 21, 2009, sunlight filtered through the nursing home window, gently falling on her face—Vivian passed away peacefully in her sleep, at the age of 83.
The Gensburg children were devastated when they heard the news. They pooled money for a simple funeral—no grand ceremony, no large crowd of guests, only a few children she had once cared for and some people who had heard her story. After the funeral, following a wish she had occasionally mentioned in her later years, the children scattered her ashes in a forest on the outskirts of Chicago—a place where she had often taken them to play in her youth, with mountains of wildflowers in spring, thick shade in summer, and golden leaves in autumn. Like the warm moments in her photos, she remained forever in the embrace of nature.
Not long after, when staff cleaned out Vivian’s apartment, they found a neatly folded letter at the bottom of an old wooden box. The envelope was yellowed, and the recipient’s address read: "LeMaire Photography Studio, Saint-Bonnet, France"—the only photography studio in the town where she had lived as a child. The handwriting on the letter was slightly trembling, but written with unusual care: "Dear Monsieur LeMaire, you may not remember me anymore. I am Vivian, the daughter of Maria who left here many years ago. All these years, I have taken many photos in faraway America—they record the sunlight on the streets, the smiles of strangers, and also hold my understanding of this world. I have few attachments in this life; I only hope that if I am gone one day, these photos will be seen by someone, and that someone will know that there was once a person who loved this world through a lens."
This unsent letter became Vivian’s final message to the world. It lay in the old wooden box, accompanying her in her last years, and bearing witness to her lifelong dedication to photography—even in a life of loneliness, even as her works were buried, she never stopped capturing the warmth of humanity with her lens, never giving up her love for and documentation of the world.
Chapter 5: Posthumous Glory (2009–2025)
5.1 From Attic to the World Stage
In October 2009, the internet had not yet been swept by the short-video wave; Flickr, a "spiritual home" for photography enthusiasts, still maintained a slow-paced atmosphere of exchange. On this day, collector John Maloof quietly uploaded a set of black-and-white photos: a newsboy on a New York street, a napping passenger in a Chicago subway, a pedestrian holding an umbrella in the rain... The photos had no fancy compositions, yet they were like a gentle key, unlocking people’s memories of mid-20th-century urban life.
Within 24 hours, the comment section for this photo set exploded. "Wow, the light and shadow control here is incredible!" "Who is this photographer? Why have I never heard of them?" "Every photo feels like an unfinished story"—photography lovers from around the world were stunned by these images, buried for half a century. Some analyzed the street details in each photo one by one, some guessed the photographer’s identity, and even elderly New Yorkers left comments: "This photo of Fifth Avenue is exactly how I remember it from my childhood."
Faced with the flood of questions, Maloof revealed the name "Vivian Maier" for the first time in a subsequent update, along with the story of how he had accidentally discovered the negatives: in 2007, he had bought a box of old negatives at a Chicago flea market, originally for researching local history, but was struck by the vitality in the lens after developing them. He also gently mentioned that this photographer had been an ordinary nanny during her lifetime, never making her works public.
This contrasting narrative of a "nanny-photographer" immediately ignited media enthusiasm. The Chicago Tribune sent reporters to follow up first, followed by interview requests from the New York Times and Washington Post flooding in to Maloof. TV cameras turned to the warehouse where he stored the negatives—stacked with nearly 100,000 of Vivian’s negatives, hundreds of unprocessed rolls of film, and the Rolleiflex camera she had used during her lifetime. The name Vivian Maier jumped from a niche Flickr community to a hot topic across the United States.
In January 2010, in Chicago, the cold winter wind could not dampen people’s enthusiasm. In front of the Chicago Cultural Center, a long line formed two hours before the exhibition opened: elderly people wrapped in thick down jackets, young people carrying cameras, parents pushing strollers—everyone clutched a printed exhibition introduction, whispering about this "suddenly appearing genius." Titled Discovering Vivian: A Chicago Street Photographer, this was Vivian Maier’s first solo exhibition, and the first time her works moved from digital screens to a physical gallery.
Inside the exhibition hall, soft lighting fell on the enlarged photos: in front of a 1950s Chicago hot dog stand, the owner smiled as he handed a hot dog to a child; the shiny glass of the stand reflected a bus across the street. On a rainy sidewalk, a small dog hid under its owner’s umbrella, its paws still caked with mud. In the subway, a man in a suit napped against a seat back, his briefcase at his feet, his brow slightly furrowed as if still thinking about work. Visitors slowed their steps—some took notes in notebooks, some sighed softly at the photos, others took out their phones, eager to share this "gift from time" with friends.
The exhibition curator said at the opening ceremony: "Vivian’s lens never focused on celebrities or spectacles; she dedicated herself to the everyday lives of ordinary people—those hurried steps, tired smiles, and accidental pauses. It is these moments that form the soul of a city. She captured the city’s essence, and the contradictory moments that give this city its jazz-like character: prosperity coexisting with loneliness, hurry intertwined with leisure." This three-month exhibition ultimately attracted over 100,000 visitors, setting an attendance record for the Chicago Cultural Center and introducing Vivian’s name to a wider audience beyond the photography world.
After that, Vivian’s works embarked on a global tour, sparking cross-cultural resonance in exhibition halls across different countries. In 2011, the Centre Pompidou in Paris held Vivian Maier: The Secret Genius. French visitors stood before the photos, looking at the faces of European immigrants and scenes of street cafes in the frames, as if seeing their own memories in these foreign images—one visitor wrote in the guestbook: "The loneliness in her lens is exactly the same as the loneliness of a rainy day in Paris." In 2013, the exhibition at the International Center of Photography in New York was an unprecedented success; the line wrapped around the block, eventually attracting over 200,000 visitors. An art critic for the New York Times wrote in a report: "With a single camera, Vivian Maier documented the urban texture of an era. Her powers of observation and ability to capture moments put her on par with Harry Callahan, making her one of the greatest photographers of the 20th century."
In 2021, this "Vivian craze" finally reached China. At the Finding the Hidden Genius: Vivian Maier exhibition at Beijing’s Today Art Museum, 83 self-portraits became the most talked-about section: Vivian stood before mirrors, her lens capturing both her reflection and the street scenes behind her; she used the reflections of shop windows to overlap her figure with the footsteps of passersby; in one photo, she wore a wide-brimmed hat, revealing only half her face, with a few clouds drifting in the sky behind her. Chinese visitors saw the inner world of this mysterious photographer in these self-portraits—she was both an observer and the observed; she documented others’ lives, while quietly leaving traces of her own. One visitor left a comment: "It turns out that loneliness half a century ago is something we can still relate to today."
As exhibitions gained popularity, the publishing industry also caught "Vivian fever"; books collecting her works became "time albums" that readers rushed to collect. In 2011, Vivian Maier: Street Photographer, edited by Maloof, was published. The cover featured one of Vivian’s classic works: an elderly man sitting on a park bench, holding a newspaper, with sunlight filtering through leaves onto his body—a warm yet serene scene. The book had an initial print run of 10,000 copies, which sold out within a week of its release. Bookstores often saw readers asking, "When will you restock?" and the price of used copies on Amazon even tripled. A reader wrote in a review: "Every page feels like a conversation with the past. Vivian’s lens gives eternal meaning to those ordinary moments."
In 2014, Vivian Maier’s Color World was published, revealing an unknown side of the photographer—she was not only skilled in black-and-white photography, but also had a remarkable talent for using color. The photos collected in the book included a red fire truck on a 1960s New York street, the green lawn of a Chicago park, and blue dresses worn by women—bright yet not garish, like stills from an old movie. A critic said: "We once thought Vivian’s world was black and white; this book tells us that the life she saw was equally full of color."
In 2022, the Royal Museum of Turin in Italy released the exhibition catalog Vivian Maier: Unpublished, exciting fans even more. This book collected rare works from Vivian’s global travels—in front of Egypt’s pyramids in the 1950s, a local guide pointed to the pyramids while introducing them to tourists; on a street in Tokyo, Japan, a woman in a kimono walked past a telephone pole; in an Indian market, vendors shouted to attract customers. These works had never been publicly displayed before, revealing that this "Chicago street photographer" had traveled far beyond the United States—her lens documented the everyday lives of the entire world. Translated into over 20 languages, these books became bestsellers worldwide, and Vivian’s images entered countless bookshelves through the printed page.
But it was the 2013 documentary Finding Vivian Maier that truly brought Vivian’s name into the mainstream. Directed by Maloof and Charlie Siskel, this film had no fancy special effects—only real interviews and precious archival footage. To piece together Vivian’s life, the crew visited the families she had worked for—employers recalled this "somewhat eccentric" nanny, saying she always carried a camera and went out to take photos during her breaks; they also brought out photos Vivian had taken of their children back then, in which the children smiled brightly. The film included analyses of her works by researchers, the dedication of collectors to her negatives, and the 感动 of ordinary people after seeing her photos.
The documentary was eventually nominated for Best Documentary Feature at the 87th Academy Awards and screened in over 40 countries worldwide. In movie theaters, some cried for Vivian’s talent, some sighed at the secrecy of her life, and others immediately searched for her works on their phones after the film ended. As a memorable line in the film put it: "She spent her life observing others, capturing overlooked moments through her lens; now, it’s our turn to observe her, and understand the stories in her lens with our eyes."
From a box of negatives at a flea market to a globally acclaimed photography genius, Vivian Maier’s story is like an encounter across time. She never imagined that her works would be seen by the world, yet through a lifetime of persistence, she left us the most precious "urban memory"—the everyday lives of ordinary people, the moments on the street, the tenderness and loneliness hidden in the lens. Even today, they still move everyone who is willing to stop and carefully observe life.
5.2 Copyright Disputes and Historical Positioning
When Vivian Maier’s negatives—hidden in cardboard boxes for decades—were accidentally discovered, and the New York streets and Chicago alleys captured by her lens burst into public view with stunning force, this "posthumously famous" nanny-photographer quickly became the focus of the art world. But along with fame came not only praise, but also a copyright dispute over the ownership of her works. This tug-of-war lasted six years, involving almost the entire global photography community.
U.S. copyright law clearly defines the inheritance of works: copyright shall first be inherited by the deceased’s immediate family. However, Vivian’s life trajectory put this legal provision in an awkward predicament. She never married or had children; her parents had passed away years earlier, and her only brother had died before her—breaking the chain of immediate family entirely. Who, then, should own these scattered negatives, cameras, and diaries? The collector who discovered and organized her works, or distant relatives she had never met? This question became the core of the copyright dispute.
In 2014, New York lawyer David Deal broke the deadlock—entrusted by Vivian’s cousin Francis Baille, he formally filed a lawsuit with the Cook County Court, seeking to confirm Francis’ legal right to inheritance. The news caused a sensation in the art world, as the lawsuit directly targeted John Maloof, the largest holder of Vivian’s works at the time.
Maloof’s identity was already controversial. In 2007, he had accidentally bought a box of Vivian’s relics at a Chicago flea market, including nearly 100,000 negatives, hundreds of unprocessed rolls of film, and multiple vintage cameras. It was he who spent years organizing and scanning these works, introducing Vivian to the world through exhibitions and the internet. Faced with the lawsuit, Maloof insisted he held legal copyright: he claimed that during the process of organizing the relics, he had purchased the copyright to all works from Vivian’s cousin Sylvain Jaussaud, and held a written agreement.
The actions of another key collector, Jeff Goldstein, further fueled the controversy. Before the copyright ownership was clarified, he sold some of his rare Vivian collections—including a set of 1950s color photos of Chicago streets—to a private gallery in Toronto, Canada. This act not only raised questions about "whether the collection was legally disposed of," but also put Vivian’s works at risk of being split and scattered. Countless photography lovers and scholars called for "protecting this fragile legacy of light and shadow."
To clarify the complicated family relationships, the Cook County Court had to launch an international genealogy investigation, hiring a team of professional genealogists to travel separately to the origins of Vivian’s family—Saint-Bonnet in France, Vienna in Austria, and Bratislava in Slovakia. The experts delved into local church archives, immigration registration offices, and even interviewed elderly villagers, searching for birth certificates, marriage records, and immigration documents from nearly a century ago. In Saint-Bonnet, France, they found the genealogy of Vivian’s grandmother’s family, with the branches of the Jaussaud family recorded on yellowed pages; in Austria, through old archives of the plumbers’ and electricians’ union, they confirmed the family lineage of Charles Maier. This cross-border "search for relatives" took nearly four years, with every piece of evidence embodying respect for Vivian’s legacy.
In 2018, a 300-page investigation report was submitted to the Cook County Court. The report detailed Vivian’s family tree, ultimately identifying 10 cousins living in Europe and the United States—her closest legal heirs. After another two years of negotiations and mediation, a settlement was finally reached in 2020: Maloof was granted global exhibition and publishing rights to Vivian’s works, but all commercial proceeds—including exhibition tickets, album sales, and copyright licensing fees—would be distributed proportionally among the 10 heirs; at the same time, a unified digital archive of all collections must be established, prohibiting any private collector from arbitrarily splitting or reselling core works. This six-year copyright dispute not only defined clear ownership of Vivian’s works, but also became a classic case in the art world for discussing "the protection of anonymous artists’ legacies"—revealing a harsh reality: when an artist leaves no clear will during their lifetime, the fate of their works often falls into a long legal quagmire.
Before the copyright dispute was resolved, debates over Vivian’s "historical positioning" had quietly heated up. Two opposing views split the photography criticism community.
The voices of support were particularly loud. Supporters argued that Vivian, with her female perspective and grassroots identity, had completely "rewritten the history of American street photography." In 1950s–1970s America, street photography was dominated by male photographers—Henri Cartier-Bresson pursued the compositional aesthetics of the "decisive moment," while Robert Frank criticized society with a cold lens. Vivian’s lens, however, was full of "warmth": she photographed nannies pushing strollers in parks, framing them at eye level to capture the weariness and occasional smiles in their eyes; she photographed elderly homeless people on the street, never deliberately exaggerating their hardship but documenting the tranquility of their moments sitting on benches in the sun; she photographed Black children playing in the spray of fire hydrants, capturing pure childhood joy without the weight of racial issues. This "eye-level observation" injected new vitality into the male-dominated street photography of the era, and established "the everyday lives of ordinary people" as an indispensable part of photography history.
Skeptics, however, argued that Vivian’s fame stemmed more from the legendary narrative of a "nanny-photographer" than the artistic merit of her works themselves. Colin Westerbeck, former director of the School of the Art Institute of Chicago, wrote in Photography Review: "If Vivian’s works are placed in the photographic context of the 1950s and 1960s, she is not outstanding. Her compositional skills, though solid, do not break the framework of contemporary masters; her subjects, though close to life, lack in-depth exploration of social issues. People praise her more because they are moved by the story of ‘an unknown nanny who spent her life documenting an era,’ rather than the innovation of her works themselves." These remarks sparked fierce discussions; some collectors even publicly stated that some galleries overhyped Vivian’s "storytelling," overshadowing the true value of her works.
What finally quelled the controversy was in-depth academic research. In 2022, art historian Pamela Bannos published Vivian Maier: A Photographer’s Life and Afterlife—a seven-year work that stands as the "authoritative study" of Vivian. Bannos did not dwell on romanticizing the "legendary story"; instead, by sorting through Vivian’s shooting timeline, technical evolution, and even the brand of film and development methods she used, she reconstructed the growth trajectory of Vivian as a photographer.
The book points out that Vivian’s creation was not an accidental "self-taught" talent, but had a clear stylistic lineage: in her early years, influenced by Jeanne Bertrand, she preferred to use soft light and shadow to shoot portraits; after moving to Chicago in the 1950s, she began to absorb Cartier-Bresson’s compositional concept of the "decisive moment"—such as her famous Chicago Street in the Rain, in which pedestrians’ umbrellas, splashing water, and a distant bus formed a perfect dynamic balance in the frame; in the 1960s, she integrated Robert Frank’s social criticism perspective, shooting a large number of photos on racial segregation and the gap between the rich and the poor—for example, in Harlem, New York, her lens captured Black and white children staring at each other across a wire fence; the frame contained no sharp criticism, yet brimmed with silent tension.
More importantly, Bannos emphasized the "uniqueness of Vivian’s female perspective": "When male photographers shoot the street, they often carry the alienation of an ‘observer,’ but Vivian was a ‘participant’—as a nanny, she wandered through every corner of the city every day, sharing a natural intimacy with her subjects. Her lens does not ‘judge’; it only ‘records.’ This gentle gaze makes her works stand out uniquely in the cold world of street photography." After the book’s publication, it not only gained widespread recognition in academic circles, but also made the public realize: Vivian’s value lies not only in her "legendary life," but also in the unique "female perspective archive" she left for the era through her lens.
Today, Vivian’s works are no longer "niche collections," but have entered the highest halls of the art world. The Museum of Modern Art (MoMA) in New York has included her New York Streets, 1955 series in its permanent collection, displaying it alongside works by Cartier-Bresson and Robert Frank; the Centre Pompidou in Paris held a special exhibition Vivian Maier: The Gaze of the City in 2023. On the opening day, visitors lined up in long queues; some stood in front of her photos for a long time, sighing softly: "This is what my grandmother’s life was like back then."
No one knows what this photographer—who refused to show even a single photo during her lifetime—would think if she saw her works cherished so deeply. But as the famous photography critic Joel Meyerowitz once said: "Vivian’s greatness lies not in her desire to be part of history, but in her never shooting for ‘history.’ She only pressed the shutter out of curiosity about the world, documenting the everyday moments overlooked by the era. Yet it is these ordinary moments that ultimately pieced together a microcosm of an era, making her an existence that history cannot ignore."
Vivian Maier’s story ultimately transcends copyright disputes and artistic controversies, becoming a fable about "love" and "persistence": true art never relies on the support of fame and fortune. As long as sincerity lies behind the lens, even if buried for a hundred years, it will eventually shine in the passage of time.
5.3 Eternal Mystery and Inspiration
Vivian Maier’s story has never been a simple narrative of "a genius photographer being discovered"—it is more like a fable about "hiding and blooming." People are obsessed with her not only because her lens captured the most vivid warmth of 20th-century American street life, but also because she herself is an unsolvable puzzle, leaving too many blanks in time. Researchers have sifted through nearly 100,000 negatives, hundreds of rolls of film, and even visited the families she worked for and the neighborhoods she lived in, yet they still cannot fully piece together her life: Why did she never marry? Was it the trauma of witnessing her parents’ broken marriage that made her fear intimate relationships, or had she already dedicated all her passion to her camera, refusing to let anyone enter her inner world? Why did she never show her works to anyone? Did she see these images as nothing more than a diary written to herself, not needing others’ judgment? Or, in a male-dominated photography world, did she subconsciously refuse to have her creations labeled as "female photographer" and easily defined? Even her slightly hoarse French accent when speaking remains a mystery—was it a leftover from her mother Maria’s native-language upbringing, or a hidden connection to her hometown of Saint-Bonnet that she deliberately preserved in adulthood? These unanswered questions do not blur her image; instead, they free her from the single identity of "photographer," turning her into a three-dimensional, complex soul. Everyone who gazes at her works cannot help but want to reach through the images and touch the woman hidden behind the lens.
The key to unlocking the code of her heart lies precisely in the self-portraits she took for herself. Starting from the 1950s, Vivian used her camera to document herself, but her early "selfies" were marked by subtle restraint—she rarely aimed directly at a mirror; more often, she embedded her silhouette into the city’s backdrop through store window glass, puddles of rainwater, or even shadows under streetlights. In a 1954 shadow self-portrait, she wore her signature men’s coat and wide-brimmed hat; her shadow, stretched long by the sunset, overlapped with the footsteps of passersby and the outline of a street newsstand, as if she were both an observer and a part of the city. By the 1990s, her self-portraits became straightforward and resolute: the lens faced her directly; she sat on a shabby apartment sofa, her eyes calm yet sharp, no extra expression on her lips, her fingers still gripping the edge of the camera—no elaborate makeup, no deliberate poses. She did not pursue "beauty," only "truth." In an era when women were often portrayed by the lens as fragile and passive, Vivian’s self-portraits were a form of "rebellion": she refused to be objectified, refused to become a "scenery" in others’ eyes, and instead used her camera to "write her own biography." In the moment she pressed the shutter, she declared the existence of "me," the perspective of "me," and the thoughts of "me." As curator Zhang Ran put it: "These self-portraits are not simple self-records, but a way for a woman to fight for her right to speak in a patriarchal society—she told the world through her lens: I do not need to be defined; I am who I am."
Vivian’s life is more like a mirror, reflecting the most authentic nature of art and offering profound inspiration to contemporary creators. In her era, the art world valued "professional identity": to be called an "artist," you needed to graduate from a prestigious art school, have a gallery contract, and be endorsed by critics. But Vivian had none of these—she was just an ordinary woman making a living as a nanny, with no professional photography training, no exhibitions, and no intention of letting anyone see her works. She took photos simply because her heart was touched by the sight of a homeless child clutching an old toy, moved by the look of an elderly man staring blankly on a bench, and enchanted by the beauty of neon lights reflected on a rainy street. For her, creation was not a means of making a living or a tool for showing off; it was an instinct, a way of conversing with the world. This "purity" is particularly precious in today’s era of chasing traffic, exposure, and commercial gain. Many contemporary creators, before pressing the shutter or typing a key, first think about "will this go viral?" "how much money can I make?" and "what will others think?"—forgetting the joy that creation itself brings. Vivian proved with her life: art does not need external recognition. As long as you are sincere when creating, and as long as you find your own joy in the process, that is enough. As Chen Danqing once said: "Vivian’s joy came only in the moment she pressed the shutter. In that instant, she reconciled with the world and met herself. This purity, free from all utilitarianism, is the ideal state for all artists."
In the spring of 2025, at the Royal Museum of Turin in Italy, a special exhibition titled Vivian Maier: Unpublished once again drew people to this mysterious woman. There were no fancy decorations in the exhibition hall—only soft warm light falling on black-and-white images. 250 never-before-seen works, like letters delayed for over half a century, quietly told Vivian’s secrets to visitors: there were photos of Roman streets she took during her trip to Italy in 1959—men in overcoats hurrying past fountains, ice cream vendors pushing metal carts, sunlight falling on ancient stone roads, carrying the warmth of time; there were Super 8mm films she shot of New York alleys—children running in the spray of fire hydrants, elderly women sitting at doorsteps picking vegetables, the frames shaky yet full of vitality; there were even a few rolls of self-recorded audio, in which her soft voice hummed French folk songs, mixed with the honking of street cars and the chatter of cafes—memories she had hidden in sound. At the entrance of the exhibition hall, a striking slogan hung: "She spent her life hiding herself, yet made the world remember her forever." Visitors stood before the images—some bowed their heads in thought, some whispered to each other, some raised their phones to take photos of these precious works, then quietly put them down—as if unwilling to disturb the woman hidden behind the lens with the restlessness of the modern world.
In a trance, people seem to see that tall woman in a men’s coat and wide-brimmed hat standing in a corner of the exhibition hall, holding her camera, her eyes gazing calmly at everything before her. She once documented the lives of countless ordinary people in the gaps of history; now, she has become a part of history, gazed at and remembered by countless people. She spent her life hiding herself, yet ultimately left an indelible mark on the world through her images.
Epilogue: The Eternal Gaze Behind the Lens
Vivian Maier’s life was like two trajectories that seemed never to intersect, yet twisted into the most touching knot under the polish of time—one was the "nanny’s path," filled with the warmth of daily life; the other was the "artist’s path," steeped in the scent of developer. From the early 1950s to the late 1990s, over nearly 40 years, she moved between middle-class families in Chicago and New York, her apron always stained with the buttery scent of baked bread, her fingertips occasionally retaining the warmth of changing a child’s diaper. At 5 a.m., she would appear in the kitchen on time, cooking oatmeal until it was soft and glutinous, then wiping the children’s schoolbags until they shone. When the children napped in the afternoon, she dared to quietly take out the black camera bag from the depths of the wardrobe—inside lay her Rolleiflex twin-lens reflex camera and a few unexposed rolls of film. She often took advantage of grocery-shopping trips to hurry through the streets: seeing a little girl on tiptoe, reaching for a shop window, she would slow down and quietly raise her camera; encountering an elderly man holding a newspaper under a tattered umbrella on a rainy day, she would squat down, adjust the focus, and press the shutter just before raindrops fell on the lens. The trivialities of cooking oil and diapers never drowned her dedication to photography; instead, they taught her how to capture the glittering moments in the ordinary.
On the other trajectory, she was a "street photographer" who belonged only to herself. Her darkroom was sometimes a vacant storage room in her employer’s house, sometimes the bathroom of her rented apartment—she would cover the windows with black cloth, mix developer in the sink, and watch the figures on the negatives gradually emerge, as if witnessing the birth of secrets. She never showed off her works to anyone; even her employers only thought she "liked to take random photos of scenery." It was not until her death in 2009 that people discovered 150,000 unprocessed rolls of film, thousands of printed photos, and dozens of shoe boxes and cookie tins filled with negatives in her storage lockers—some of the film even bore her handwriting, marking the shooting date and location: "October 5, 1956, Michigan Avenue, Chicago, rainy day" "July 20, 1963, New York Grand Central Terminal, evening." These silent negatives hid an artistic kingdom she had built with her life: there were the smiles of street performers, the contemplation of the homeless, and the fluttering hems of running children—each photo carrying her unique warmth.
She never cared about fame or fortune. During her lifetime, she held no exhibitions, published no photos, and even the people closest to her had no idea of her "artist identity." After her death, however, her works spread like dandelion seeds blown by the wind, reaching every corner of the world. In 2010, her first solo exhibition was held in a small gallery in Chicago; originally expected to attract only a few dozen visitors, it ended up with a long queue—some stood in front of her photo "Shoemaker on Chicago Street, 1958" for a long time, because it was a portrait of their late father; others teared up at the photo "Mother and Daughter Sharing an Umbrella in the Rain," recalling their own childhood. Later, her works entered the Centre Pompidou in Paris and the Museum of Modern Art in New York, even sparking a craze in art galleries in Tokyo and Sydney. The nanny who once quietly developed photos in a darkroom finally gained posthumous glory beyond her wildest imagination; the self she had deliberately hidden left an indelible mark in people’s hearts through 150,000 photos.
When we lean down to gaze at her works, we see far more than a silhouette of 1950s–1970s America—these are not cold historical materials, but breathing slices of life: on a 1950s Chicago street, amid the dust kicked up by a passing streetcar, office workers in suits ran to catch the car, while flower girls handed carnations to passersby; in a 1960s New York park, autumn leaves covered the bench, and an elderly man fed pigeons with breadcrumbs, sunlight falling on his gray hair, warm as a gentle greeting. What is even more rare is that there is no bias in her lens: when photographing elegant gentlemen, she captured the sweat on their foreheads as they took off their top hats, adding a touch of authenticity to their "dignity"; when photographing destitute beggars, she never shot from a condescending angle, but squatted down to meet their eyes, preserving the dignity of their humanity amid "hardship." She photographed joy and sorrow alike: the excitement of a child receiving a balloon, the silence of an elderly man sitting in an empty room, the awkwardness of a street singer playing a wrong chord—each moment is full of the texture of life, as if one can hear the sounds in the photo and feel the warmth of that time. This humanistic care, free from utilitarianism and judgment, is the reason her works can still move people after half a century.
Vivian Maier’s story has never ended with her death. Every year, new negatives are discovered among her relics—in 2021, a set of photos titled "Chinese New Year in Chinatown" was developed, taken by her in San Francisco, California, in 1971. The frames show dragon dance teams, shops decorated with red lanterns, and children clutching sugar figurines, offering a vivid glimpse of the Chinese community in that era; in 2023, scholars sorting through her notebooks found a page filled with photography notes: "When photographing people, wait until they forget the lens—that is when their eyes hold the true essence of life." Exhibitions around the world continue: at London’s Tate Britain, her works are displayed alongside those of Diane Arbus, allowing people to compare the perspectives of two street photographers and better understand Vivian’s tenderness; at the Shanghai Center of Photography, young photographers always gather around her photos, imitating her compositions with their cameras, trying to capture "Vivian-like moments" around them. Academic research never stops—some analyze her use of light and shadow, noting her particular skill in using window reflections and street lamp halos to add a layer of hazy poetry to her images; others study her shooting frequency, discovering that she took photos almost every day, even venturing out in heavy snow to document the footprints of passersby in the snow. She is like an ever-present observer, continuing to gaze at the world she once loved through those black-and-white images, just as she wrote in her notebook: "Photos never disappear; they only wait for the moment when they are seen."
Today, along the shores of Lake Michigan in Chicago, a familiar scene can always be seen: in the morning or evening, photography enthusiasts wander with their cameras, walking slowly along the lakeside path, their eyes lingering on street pedestrians, lakeside benches, and birds skimming the water’s surface—searching for Vivian’s former footsteps. Sometimes, someone will stop, raise their camera, and gently press the shutter at a certain moment. In that instant, they may suddenly understand: true art is never found in grand halls or under dazzling spotlights, but in the most simple love for life and the most persistent gaze at the world.
Vivian Maier never intended to leave a legacy, but she proved with her life that an ordinary person, even immersed in the trivialities of daily life, can leave an eternal mark on time in their own way—so long as they hold love in their heart and a gentle perception of the world. This is the most precious gift she left to the world.
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English
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32k
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T8. Structured & Numeric Reasoning
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T8.3 Long-Context Procedural State Tracking
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Full
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Calculate the complete number of years between the birth and death of the subject. Only use annual differences (ignoring months and dates). Output the "[Answer]" identifier first, and then output the number of years, without any additional content.
Output example:
[Answer]
74
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Calculate the complete number of years between the birth and death of the subject. Only use annual differences (ignoring months and dates). Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the number of years.
Output example:
<Your thinking process>
[Answer]
74
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[
"83"
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Easy
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642a13f0abc45f042e48e5ca0d9a57c2fbf2c8af897504759f1f565e8e6c522d
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United Nations S/PV.8438 Security Council Seventy-third year 8438th meeting Friday, 21 December 2018, 10.20 a.m. New York
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Provisional President: Mr. Ipo (Côte d’Ivoire) Members: Bolivia (Plurinational State of): Mrs. Cordova Soria; China: Mr. Wu Haitao; Equatorial Guinea: Mr. Esono Mbengono; Ethiopia: Mr. Amde; France: Mrs. Gueguen; Kazakhstan: Mr. Tumysh; Kuwait: Mr. Albanai; Netherlands: Mrs. Gregoire Van Haaren; Peru: Mr. Tenya; Poland: Mr. Mielus; Russian Federation: Mr. Polyanskiy; Sweden: Mr. Orrenius Skau; United Kingdom of Great Britain and Northern Ireland: Mr. Hickey; United States of America: Mr. Hunter
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Agenda The situation in Guinea-Bissau Special Report of the Secretary-General on the strategic assessment of the United Nations Integrated Peacebuilding Office in Guinea-Bissau (S/2018/1086)
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This record contains the text of speeches delivered in English and of the translation of speeches delivered in other languages. The final text will be printed in the Official Records of the Security Council. Corrections should be submitted to the original languages only. They should be incorporated in a copy of the record and sent under the signature of a member of the delegation concerned to the Chief of the Verbatim Reporting Service, room U-0506 ([email protected]). Corrected records will be reissued electronically on the Official Document System of the United Nations (http://documents.un.org).
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The meeting was called to order at 10.20 a.m.
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Adoption of the agenda The agenda was adopted.
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The situation in Guinea-Bissau Special report of the Secretary-General on the strategic assessment of the United Nations Integrated Peacebuilding Office in Guinea-Bissau (S/2018/1086)
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The President (spoke in French): In accordance with rule 39 of the Council’s provisional rules of procedure, I invite the following briefers to participate in this meeting: Mr. Tayé-Brook Zerihoun, Assistant Secretary-General for Political Affairs, and His Excellency Mr. Mauro Vieira, Permanent Representative of Brazil to the United Nations, in his capacity as Chair of the Guinea-Bissau configuration of the Peacebuilding Commission. The Security Council will now begin its consideration of the item on its agenda. I wish to draw the attention of Council members to document S/2018/1086, which contains the special report of the Secretary-General on the strategic assessment of the United Nations Integrated Peacebuilding Office in Guinea-Bissau. I now give the floor to Mr. Zerihoun.
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Mr. Zerihoun: I thank the Security Council for this opportunity to introduce the special report of the Secretary-General on the assessment of the United Nations Integrated Peacebuilding Office in Guinea-Bissau (UNIOGBIS). I would also like to use this opportunity to provide a brief update on the status of the country’s preparation for legislative elections. More than six months after the appointment of a consensus Prime Minister and the formation of an inclusive Government, both of which were key elements of the Conakry Agreement, the political situation in Guinea-Bissau remains fraught with uncertainty. Due to technical challenges, the legislative elections were not held as scheduled on 18 November, in contravention of the legal and constitutional time frames. It was in fact only two days ago, on 19 December, that the Government declared the completion of the voter registration. Prior to that, on 5 December, the Office of the Prosecutor General had suspended voter registration, pending an investigation into alleged irregularities.
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The Prosecutor General instructed security forces to prevent access to the building of the electoral body in charge of voter registration. Thanks to the timely intervention of the Economic Community of West African States (ECOWAS), which, on 12 December, deployed a delegation to Bissau led by the Nigerian Minister for Foreign Affairs, the Office of the Prosecutor General reversed course and allowed the resumption of the voter-registration process on 13 December. In a communiqué, the ECOWAS delegation also called for the legislative elections to be held in January 2019. However, the Prime Minister proposed that the elections be held on 17 February, with 24 February and 10 March also floated as possible dates for the elections.
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Yesterday, President Vaz issued a decree setting 10 March 2019 as the date for the elections. These developments followed the infighting by the political parties over technical aspects of voter registration, during which accusations were traded of attempts to rig and deliberately delay the process. Such tensions have contributed to an unhealthy pre-electoral atmosphere in the country. The Party for Social Renewal (PRS), the Rally of the Guinean People/Democratic Party of Guinea, MADEM-G15 — all part of a collective of 18 political parties — have demanded the resignation of the Minister of Territorial Administration for allegedly mismanaging the voter-registration exercise and violating existing laws.
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In response, the African Party for the Independence of Guinea and Cabo Verde (PAIGC) accused PRS of violating the Conakry Agreement and noted that PRS continued to discredit the voter-registration process despite lack of evidence. PAIGC also accused President Vaz, PRS and their allies of deliberately provoking delays in the electoral process in an effort to cause a Government collapse and postpone the parliamentary elections. On 5 December, Prime Minister Aristides Gomes responded to an invitation by the National Assembly to provide clarifications on the voter registration. In his response, the Prime Minister said that the voter registration was transparent and that legislative elections would be held in a fair and free manner. In the meantime, an ECOWAS technical team comprising two election experts is presently in Bissau to audit the voter-registration process.
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The team is expected to report to the Government and to the ECOWAS Commission on its findings. Approximately 800,000 citizens — around 95 per cent of the total estimated eligible population — were reported to have been registered to vote as of 12 December, the day the ECOWAS ministerial delegation arrived in Bissau. The basket fund managed by the United Nations Development Programme (UNDP) has continued to provide technical and financial support to the National Electoral Commission and the electoral body in charge of registration. Outside of the basket fund, Nigeria has provided 205 biometric voter-registration kits to the Government for the voter-registration process.
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Portugal will make an in-kind contribution of approximately €1 million, which should include the printing and transportation of ballot papers. Timor-Leste pledged a contribution of over $470,000 towards repairing and purchasing electoral equipment and supporting the voter-registration and electoral processes. Some 400 biometric voter-registration kits, procured by UNDP, arrived in Bissau on 26 November. The kits will be used for the annual voter-registration updates required by law. It seems appropriate at this stage that the international community consider sending a strong message to the Bissau-Guinean authorities and political actors to demonstrate the requisite political will for the organization of credible elections and refrain from further delaying the process.
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The findings of the assessment of UNIOGBIS undertaken by the Secretary-General underscore the challenging political context in which UNIOGBIS operates, as reflected in the aforementioned developments. UNIOGBIS merits recognition for the crucial role it has played in support of the ECOWAS-led mediation process to resolve the political impasse in Guinea-Bissau. Despite this year’s breakthrough, and with the likelihood of avoiding widespread violence, Guinea-Bissau risks lurching from one political crisis to another, unless decisive steps are taken by the Government to meet the new election date decreed by the President. While UNIOGBIS remains unanimously appreciated by the Government, civil society and international partners on the ground for its preventive role through the good offices of the Special Representative of the Secretary-General and for strengthening the capacities of civil society organizations, the Mission has now been in Guinea-Bissau for close to two decades.
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Experience has shown that in the absence of a nationally-owned and nationally-led reform process, UNIOGBIS alone will not be able to contribute to sustainable peace and development in Guinea-Bissau. It is for these reasons that the recommendation of the Secretary-General, as reflected in his special report (S/2018/1086), underscores the need for the United Nations to strictly focus on good offices, the coordination of international partners, the promotion of human rights, the incorporation of a gender perspective in peacebuilding, and combating drug trafficking and transnational organized crime, in close cooperation with the United Nations Office on Drugs and Crime. These tasks would occur over three phases: the first phase, the electoral period, runs through mid-2019; the second phase, the immediate post-electoral period, runs from mid-2019 to the end of 2019; and the third phase, the transition and exit period of the Mission, would conclude no later than the end of 2020.
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To accomplish the foregoing objectives and subsequent to the reconfiguration the Mission has undergone this year to comply with resolution 2404 (2018), the Secretary-General has endorsed a further reconfiguration of the United Nations presence during the second phase, namely, mid-2019, through the establishment of a streamlined good-offices mission in Bissau, led by a Special Representative and focused primarily on facilitation of the political process. This good-offices mission would then continue to draw down until the end of 2020, while, concurrently, the United Nations Office for West Africa would increase its engagement in Guinea-Bissau, in the light of the mandate to support ECOWAS. The capacities of the United Nations country team would also need to be strengthened to take on further responsibilities going into the transition and Mission drawdown and closure.
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In this regard, we would expect the Guinea-Bissau configuration of the Peacebuilding Commission to play a leading role during the transition period, as it did under similar circumstances with the closure of other peacekeeping missions in the subregion. The latest results of our combined efforts to assist Guinea-Bissau stakeholders in overcoming the political and institutional impasse and launch the country on the path of sustainable development have prompted our guarded optimism. However, the roadblocks encountered during preparations for the legislative elections and the inability of the Government to hold the elections on 18 November have also given us pause. The period leading to the legislative and presidential elections will be critical and require the continued attention and engagement of the international community.
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There is still hope for the country to move forward and its political leadership to show good faith and meet its national obligations by holding legislative elections on 10 March 2019. Before I conclude, I would like to recognize the work of Mr. João Honwana, the independent expert who led the assessment mission to Guinea-Bissau on behalf of the Secretary-General. The continued engagement of the Peacebuilding Commission in mobilizing the attention and support of the international community for Guinea-Bissau has also been crucial, as has the role played by Special Representative Viegas Filho and the men and women serving in UNIOGBIS in promoting peace and stability in Guinea-Bissau. Our appreciation extends also to our partners — ECOWAS, the African Union, the European Union and the Community of Portuguese-speaking Countries — for their cooperation and efforts, which have helped pave the way to a better future for Guinea-Bissau.
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The President (spoke in French): I thank Mr. Zerihoun for his briefing. I now give the floor to Ambassador Vieira.
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Mr. Vieira: I would like to thank you, Sir, for the invitation to address the Security Council in my capacity as Chair of the Guinea-Bissau configuration of the Peacebuilding Commission (PBC). First, allow me to inform the Council that, on 31 August, after my last briefing to the Council (see S/PV.8337), I hosted, upon the request of the Prime Minister of Guinea-Bissau, Aristides Gomes, a high-level meeting of the PBC, with his participation. That was an opportunity for the Prime Minister to have a direct and interactive dialogue with member States. On 10 December, I convened a meeting of the Guinea-Bissau configuration when we received updates from several briefers, including Mr. José Viegas Filho, the Special Representative of the Secretary-General and Head of the United Nations Integrated Peacebuilding Office in Guinea-Bissau (UNIOGBIS), and Mr. Tanou Koné, Permanent Observer of the Economic Community of West African States (ECOWAS).
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Unfortunately, the Government of Guinea-Bissau was not able to hold elections on 18 November as scheduled, due to a series of sequential delays that led to the voter registration process not being concluded on time. Special Representative Viegas, in our meeting, underlined that the political parties continued to disagree over technical aspects of the registration, trade accusations of attempts at fraud, and deliberately delay the process. According to him, those tensions are creating an unhealthy pre-electoral atmosphere. Stability, in his view, is also affected by the spreading of views that some would be interested in postponing the legislative voting so as to combine it with the presidential election in 2019. In that regard, it was also mentioned during our discussion that some of the political stakeholders in Guinea-Bissau could find it financially difficult to organize two elections in the same period.
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We were also informed that the Government announced the end of voter registration on 19 December and indicated that more than 95 per cent of the estimated potential voters were registered. I also received the information that, yesterday, President José Mário Vaz published a decree establishing 10 March 2019 as the new date for the legislative elections. It is important to underline that the international community has been active in supporting Guinea-Bissau. The contribution to the election basket fund administered by the United Nations Development Programme (UNDP) was positively answered and financing the legislative elections is no longer an issue. The fund has collected up to $9.8 million. Nigeria and Timor-Leste have also provided a number of voter registration kits. Portugal will provide the actual ballot papers and the United Nations Development Programme, on its part, has offered another batch of registration equipment and consumables for the polling day.
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The international community has also remained engaged with the authorities of the country regarding the electoral process, especially the so-called Guinea-Bissau P5 group of partners in Guinea-Bissau, comprising the African Union, the Community of Portuguese-speaking Countries, ECOWAS, the European Union and the United Nations. I once again commend the international community for supporting the legislative elections. Guinea-Bissau should also be congratulated for starting the resource mobilization for the basket fund with its own contribution. During our PBC meeting on 10 December, we were informed of the promulgation by the President, on 3 December, of a gender-parity law that establishes a quota of 36 per cent for women candidates for Parliament and representation in public-sector institutions. Allow me to welcome that important step towards gender inclusion in Guinea-Bissau. Following the deliberations of the configuration, I would like to call on the political stakeholders of Guinea-Bissau to sustain their commitment to the Conakry Agreement. In that respect, I would also call on the leadership of the country to avoid further delays and to hold legislative elections on the established date as a conclusion for the transition towards stability. Bissau-Guineans should continue engaging in dialogue to resolve their political differences.
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The Guinea-Bissau configuration of the Peacebuilding Commission will continue to focus on the implementation of the Conakry Agreement and the preparations for elections. We will continue to work closely with Special Representative Viegas and all international partners to that end. The ECOWAS Mission in Guinea-Bissau (ECOMIB), UNDP and UNIOGBIS have an important role to play in the crucial Guinea-Bissau electoral cycle. At the latest PBC meeting, the Permanent Observer of ECOWAS commented on the most recent developments of the Community, including the organization of the next Summit of the Heads of State of ECOWAS, to be held on 22 December in Abuja. The influence of ECOWAS remains very important given the organization’s key role in the Conakry Agreement and the presence of the ECOMIB military force in Guinea-Bissau, which had its mandate extended to August 2019. Allow me therefore to commend the Government of Guinea-Bissau, ECOWAS and the European Union for working to extend the ECOMIB presence in the country. Those developments once more highlight the need to building the capacities of the Bissau-Guinean security forces.
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The PBC will continue to support the United Nations and the international community, in consultation with the Government of Guinea-Bissau, to consider ways to strengthen the institutions of the State, especially the justice system. Another reason for organizing the PBC meeting was the fact that Prime Minister Aristides Gomes transmitted to me the need of the Government for assistance in addressing the financial crisis afflicting his country, particularly the education sector. During our meeting, we heard from the World Bank on the economic and fiscal situations of the country, which remain severely strained. Officials from the Bank informed me that economic growth is projected to decline to 3.8 per cent from 5.9 per cent in 2017. Tax revenues are also expected to decline from 10.3 per cent of the gross domestic product (GDP) in 2017 to 8.5 per cent of the GDP in 2018 — that is, from $140 million to $115 million — mainly due to lower income from cashew exports.
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A decline in economic activity and a consequent decrease in imports also contributed to this scenario by lowering tax revenue. They also highlighted the fact that, despite some recent increases in investments in this area, the total spending in education in the country remains low, at 2.2 per cent of GDP, and is dominated by salaries. In connection with the socioeconomic and political environment, Guinea-Bissau has seen a series of strikes, which have affected the activities of the public sector. State-owned schools in Guinea-Bissau have been closed for months and teachers have organized demonstrations requesting unpaid salaries. According to the information that I received, Guinea-Bissau needs an estimated $7.8 million to pay 18 months’ worth of accumulated salaries for teachers. We have also seen, in the past months, a series of strikes and demonstrations by civil servants and ex-combatants.
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Unfortunately, student demonstrations organized on 9 November were suppressed with force and resulted in the dismissal of the Minister of the Interior by the President. Allow me to add that I informally consulted the International Monetary Fund and was informed that a mission of the Fund to Guinea-Bissau is being considered for 2019 in order to review the existing programme with the country. Discussions in this regard have been under way since October 2018 and have not been able to reach a conclusion. I will continue to follow this issue closely and bring it to the attention of the PBC. I would like to call on the international community to consider the possibility of providing emergency and targeted budget support to stabilize the public sector. At the same time, I encourage the Government of Guinea-Bissau, for its part, to do more to demonstrate its full commitment to holding elections and to put in place credible mechanisms to guarantee the proper and transparent use of assistance that may be available.
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Today, we have just heard the Assistant Secretary-General for Political Affairs, Mr. Tayé-Brook Zerihoun, introduce the special report of the Secretary-General (S/2018/1086) with options for a possible reconfiguration of the United Nations presence in the country and a reprioritization of its tasks, as determined by the latest revision of the mandate of UNIOGBIS. Among other points, as mentioned today, it proposes a three-phase new engagement of the United Nations with Guinea-Bissau that would end with a transition and the exit of UNIOGBIS. I am informed that the Guinea-Bissau Government was fully consulted in the recent United Nations strategic assessment mission to reconfigure UNIOGBIS. Allow me to add that I believe that it would be positive if the Peacebuilding Commission were also consulted in future assessments of this kind. UNIOGBIS has continued to play a key supporting role with the Government of Guinea-Bissau and in the efforts of ECOWAS and of the Guinea-Bissau P5 to help the country resolve its challenges. I would like to take this opportunity to once again show the support of this PBC configuration for the work of Special Representative Viegas and his team.
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The PBC, in its advisory role to the Security Council, could make a positive contribution to the discussion of the reconfiguration of UNIOGBIS. This effort should be consistent with a revised electoral calendar and a transition plan that considers the proposed ECOMIB drawdown. There is also space for the engagement of the Guinea-Bissau configuration in any transition effort that might happen, including the elaboration of a transition plan, if this is the decision of the Council. The PBC has already demonstrated its potential in transition settings, as exemplified by the work in Sierra Leone and Liberia. We should continue building on these best practices and lessons learned.
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The President (spoke in French): I thank Mr. Viera for his briefing. In accordance with rule 37 of the Council’s provisional rules of procedure, I invite the representative of Guinea-Bissau to participate in this meeting. I now give the floor to those Council members who wish to make statements.
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Mr. Amde (Ethiopia): Let me join others in thanking Assistant Secretary-General Tayé-Brook Zerihoun and the Chair of the Guinea-Bissau configuration of the Peacebuilding Commission, Ambassador Mauro Vieira, Permanent Representative of Brazil to the United Nations, for their comprehensive briefings on the situation in Guinea-Bissau. We take note of the overall developments and political trends in Guinea-Bissau, as well as the activities of the United Nations Integrated Peacebuilding Office in Guinea-Bissau (UNOGBIS) in the country. We support the continued role of the Special Representative of the Secretary-General and his good offices in support of efforts aimed at sustaining peace in Guinea-Bissau, in collaboration with regional, subregional and international partners, through the promotion of inclusive national political dialogues, constitutional and democratic reforms and transparent and peaceful electoral processes. It is evident that strong political will and a sense of ownership remain critical to supporting peace consolidation in Guinea-Bissau.
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We take note with concern of the challenges encountered by UNIOGBIS in delivering its mandate, and we call upon all Bissau-Guinean stakeholders to exert collective efforts towards that end. Currently, the political environment in Guinea-Bissau is dominated by the electoral process. We note the postponement of the 18 November legislative election due to delays in the voter registration process. However, we underline the need for the holding of timely and credible legislative and presidential elections, in accordance with the Constitution and national law of Guinea-Bissau, in order to consolidate sustainable peace and national reconciliation. In this regard, we take note of the Economic Community of West African States communiqué issued on 12 December, which calls upon the Bissau-Guinean authorities to set a new date for the election by 22 December. The decision of the President to implement a gender-parity law, which establishes a quota of 36 per cent for women candidates for Parliament and women’s representation in public-sector institutions, is indeed commendable. We believe that this is a step in the right direction to enhance women’s participation in political affairs and decision-making processes. The growing threats caused by drug trafficking and religious extremism, which undermine the peace and stability of the country and the region, are a matter of serious concern.
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In this regard, we stress the need for concerted efforts of relevant bodies at the national, regional and international levels in order to address the challenge. We express our appreciation to the United Nations strategic assessment mission for undertaking its work in consultation with all stakeholders, including the African Union, the Community of Portuguese-speaking Countries, the Economic Community of West African States and the European Union. We believe that the United Nations engagement in the peacebuilding efforts of the country is important, and we hope that it will be taken into account in line with the recommended United Nations reconfiguration during the renewal of the UNIOGBIS mandate in February 2019. We commend all international partners, as well as subregional and regional organizations, especially the Economic Community of West African States and the African Union, for their considerable efforts in facilitating dialogue and generating collective pressure for the implementation of the Conakry Agreement. Finally, we reiterate the importance of the Conakry Agreement in addressing the political and institutional challenges the country is facing. Therefore, we call on all stakeholders in Guinea-Bissau to respect and comply with the Agreement.
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Mr. Esono Mbengono (Equatorial Guinea) (spoke in Spanish): It is with great satisfaction and enthusiasm that Equatorial Guinea expresses its appreciation for the convening of this meeting, which allows us once again to analyse and share perspectives on the political and institutional situation in Guinea-Bissau. My delegation would like to thank Mr. Tayé-Brook Zerihoun, Assistant Secretary-General for Political Affairs, and Ambassador Mauro Vieira for their very relevant briefings. I would like to focus my speech on three vital points. First, we stress the importance of the current electoral process in ensuring a return to political and institutional stability in Guinea-Bissau. Secondly, we underscore the urgent need for far-reaching reforms to move the country forward. Lastly, I will share my views on the post-election period. The main challenge to the consensus-based Government of Prime Minister Aristides Gomes, formed seven months ago, has been to create a political environment that builds trust and is conducive to the holding of free and transparent legislative elections, in particular by updating the electoral register and establishing a new mapping division that, in theory, would enable the Government and the National Electoral Commission to hold elections in an atmosphere of peace and tranquillity.
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Furthermore, despite the clear desire of the United Nations and other regional and international partners for the legislative elections to be held on 18 November, in accordance with the legal and constitutional timelines, organizing the elections was fraught with difficulties, including a delay in the delivery of electoral kits. That led the Government to postpone the electoral census process, which was suspended by decision of the Guinea-Bissau Public Prosecutor’s Office, following an investigation into irregularities reported in the process. Nonetheless, Equatorial Guinea takes note of the announcement made yesterday by President José Mário Vaz to hold legislative elections on 10 March 2019. It would be advisable for all stakeholders in Guinea-Bissau to refuse to allow the holding of elections to undermine the fragile stability achieved thus far. In that regard, it is essential that the parties concerned continue to examine any initiative that could lead to the implementation of other important provisions of the Conakry Agreement that would contribute to ending the current political crisis. In addition, we commend the efforts of the United Nations Integrated Peacebuilding Office in Guinea-Bissau (UNIOGBIS) and regional and subregional actors, such as the African Union, the Community of Portuguese-speaking Countries, the Economic Community of West African States (ECOWAS), the European Union and the ECOWAS Mission in Guinea-Bissau, whose support, through their good offices function, is vital to ensuring that the electoral process is brought to a satisfactory end.
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We take note of the recommendation of the Secretary-General for a UNIOGBIS drawdown once the electoral process has been completed. After two decades in Guinea-Bissau, we believe that it makes sense to redefine the objectives of United Nations presence in the country. We also recommend that the political mission, in particular after its drawdown, continue working closely with key regional actors in support of the institutional reform programme. Elections are by no means a panacea to the country’s problems. That is why there is ongoing focus on the need to implement reforms in the areas of security, justice and public administration, including in the education and health sectors. Firm political will and a sense of ownership and identification on the part of national authorities are crucial to that end. In conclusion, the path to restoring stability post-elections will be a very important phase, since it will enable the new Government to build on its reforms. In that regard, UNIOGBIS will again have the opportunity to continue assisting national authorities in implementing their reform programme by providing strategic support and advice on strengthening their democratic institutions. Once the country is politically stable and the long cycle of instability ends, it would be well advised to seriously address the need for sustainable economic development. To that end, it will be essential to continue seeking additional partners to implement social and economic projects initiated by the new Government following presidential elections next year. It is important for Bissau-Guineans to remain united in the difficult and crucial times their country will face in the near future.
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Mr. Hickey (United Kingdom): I would like to thank Assistant Secretary-General Zerihoun and Ambassador Vieira for their briefings today. I would like to commend the hard work conducted by the United Nations Integrated Peacebuilding Office in Guinea-Bissau (UNIOGBIS), under the leadership of the Special Representative of the Secretary-General Viegas Filho, in support of the State and the people of Guinea-Bissau. When the Council last convened to discuss UNIOGBIS on 30 August (see S/PV.8337), many members were cautiously optimistic about the steps taken in 2018 in Guinea-Bissau to bring the country back on track to realizing the promises of the 2016 Conakry Agreement. Today, I suspect that many of us share concerns that such aspirations might once again be in jeopardy. I would like to raise three specific points today. First, I would like to recognize the critical role that UNIOGBIS, together with the Guinea-Bissau P5 group and other partners, has played in accompanying Guinea-Bissau in laying the ground for the political and institutional reforms that we hope will enable the country to move decisively beyond the political crises that have plagued it. Alongside the Economic Community of West African States (ECOWAS) Mission in Guinea-Bissau, UNIOGBIS has played an essential preventive role in the country. Through its good offices function, UNIOGBIS continues to be a trusted and valued partner for Bissau-Guineans. The impact of the mission’s support to civil society organizations, and women’s organizations in particular, in mobilizing political will around the Conakry Agreement is a tangible indication of the depth of trust.
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Secondly, I would like to welcome President Vaz’s decision yesterday to hold legislative elections on 10 March 2019. While we regret that the anticipated date of 18 November was not met, we are optimistic that the revised time frame will ensure that legislative elections are concluded in due time before the presidential elections, which is critical to ensure that constitutional provisions are respected and pivotal to long-term stability. In that respect, I would urge the leadership in Guinea-Bissau to take steps to make progress with the stability pact envisaged under the Conakry Agreement. Guinea-Bissau has made important strides in meeting its own objectives in terms of development and human rights. Let us ensure that political instability does not undermine those gains. Thirdly, I want to welcome the report of the Secretary-General (S/2018/1086) and the findings of the strategic assessment mission, which we found to be both informative and refreshingly self-critical. That kind of approach helps facilitate the work of the Council enormously. The United Kingdom is committed to seeing a phased drawdown of UNIOGBIS and transition to national stakeholders, with the support of entities of the United Nations country team.
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In that respect, we would encourage the Secretary-General, UNIOGBIS, the United Nations country team and all partners to initiate the development of an integrated transition plan, with immediate effect. In conclusion, and as we close our work this year, I want to underline the importance of the year 2019 for Guinea-Bissau. With legislative and presidential elections on the horizon, watershed political moments are imminent. The withdrawal of UNIOGBIS will require a new form of partnership with the United Nations, based on a new development assistance framework to follow the United Nations Partnership Framework Terra Ranka plan. Longer-term constitutional, judicial and security-sector reform will take time and it will be important that the Bissau-Guinean authorities are supported to sustain those endeavours long beyond the departure of UNIOGBIS. Building the capacity of the United Nations country team and continuing to work closely with ECOWAS, the African Union and other Guinea-Bissau P5 group actors to ensure continuity of support is essential. The Conakry Agreement provides the framework for mitigating against future political crises and provides a starting point for longer-term institutional reforms. The United Kingdom looks forward to starting the new year with a constructive discussion on how, working together, we can further our partnership with Guinea-Bissau in pursuit of those objectives.
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Mr. Hunter (United States of America): I thank Assistant Secretary-General Zerihoun and Ambassador Vieira for their briefings on the situation in Guinea-Bissau. I also thank the Secretary-General for his report (S/2018/1086) on the strategic assessment of the United Nations Integrated Peacebuilding Office in Guinea-Bissau (UNIOGBIS). We look forward to discussing that assessment with our Council colleagues as we negotiate the Mission’s future next February. Today, we are having yet another Council meeting on the situation in Guinea-Bissau instead of focusing on the future of the country and the welfare of its people. We are faced with another self-imposed political wound and a delay in the implementation of the Conakry Agreement. The Council addresses intractable issues every day; however, in Guinea-Bissau, we have before us a problem for which there are immediate and tangible solutions. This spring, after waiting through nearly four years of self-inflicted political gridlock, Guinea-Bissau’s frozen Government appeared to thaw, but only after the Economic Community of West African States (ECOWAS) took the bold step of sanctioning 19 spoilers of the Conakry Agreement.
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At that time, the President of Guinea-Bissau had appointed a consensus Prime Minister and scheduled legislative elections for 18 November. Given registration challenges, that date was delayed. And while we understood the logistical challenges that prompted the delay, the country’s leaders have once again been capitalizing on a stalled process for their own selfish political objectives. Let us be clear — that has to end now. We appreciate the recent announcements that have set a date for the elections. However, we are greatly concerned that the date set is well beyond the January time frame set by ECOWAS. It is critical that there be no further delays or slippage for the legislative elections. Furthermore, we expect that the presidential elections will and should take place separately and as scheduled in summer 2019. Following the apparent improvement of the country’s political situation this spring, Guinea-Bissau’s partners and friends have provided the necessary support needed to prepare for and hold the elections. We are pleased by the progress and voter registration that has been observed over the past several months. However, like our partners in the region and the international community, we are very concerned over recent events in Bissau, specifically the actions of the public-order police and the blocking of visiting technicians seeking to access the technical support office of the electoral process headquarters.
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We note that, despite those actions and the ongoing delay, a frustrated and disappointed public has shown patience, and the pre-election environment has remained relatively calm. However, that should not be construed as passive acceptance. We urge President Vaz, Prime Minister Gomes, Mr. Domingos Simões Pereira, who is the leader of the African Party for the Independence of Guinea and Cape Verde, and other stakeholders to follow through on their pledges to foster unity, continue the implementation of the Conakry Agreement and hold the elections without delay. The United States also welcomes the Secretary-General’s strategic assessment of UNIOGBIS. We appreciate that that report provides a frank assessment of the strengths and weaknesses of the work of the United Nations in Guinea-Bissau over the past several years. We also appreciate that the report ties its recommendations for the reprioritization of tasks and options for a future United Nations presence to conditions that must be met. While further detailed discussions will be required in the Security Council prior to the February mandate renewal, we support in principle the concept of a three-phase drawdown and the transfer of tasks from UNIOGBIS to the United Nations country team. What is clear is that for that transition to be possible, Guinea-Bissau’s electoral process must be credible and must proceed on schedule. Furthermore, Guinea-Bissau must avoid a return to extended political gridlock. We also agree with the sentiment expressed in the strategic assessment that, given the significant investment that the United Nations has made in Guinea-Bissau over the past two decades, the utmost care must be taken to design a transition process that maintains the gains achieved and identifies the appropriate parts of the United Nations system that are to assume any remaining tasks. We reiterate the need for stakeholders to take the right action and put the people of Guinea-Bissau first, which entails the immediate rescheduling and holding of the critical legislative elections.
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Mr. Orrenius Skau (Sweden): First, I would like to thank Assistant Secretary-General Zerihoun for his useful briefing this morning. I also thank the Chair of the Guinea-Bissau configuration of the Peacebuilding Commission, Ambassador Vieira, for the update he gave from a peacebuilding perspective. Let me at the outset also commend the leading role played by the Economic Community of West African States (ECOWAS) in Guinea-Bissau and recognize the important of the presence of the ECOWAS Mission in Guinea-Bissau on the ground. There have been a series of positive developments in Guinea-Bissau over the past few months, including the appointment of the Prime Minister, the formation of an inclusive Government, the reopening of the National Assembly, the approval of a new Government programme and the adoption of a gender-quota law. We have also witnessed the strong commitment of the people of Guinea-Bissau to the electoral process, as demonstrated by the high numbers of people that have registered to vote. Targeted measures to ensure the equal participation of women in the electoral process are, however, still needed. While we note yesterday’s announcement that set 10 March as the date of the elections, we regret the postponement of the elections and the lack of preparations in that regard. We now call on the Government and all parties to urgently ensure that the conditions for free and fair democratic elections are in place and that there are no further delays. As highlighted by the Chair of the Guinea-Bissau configuration of the Peacebuilding Commission, the six-point roadmap and the Conakry Agreement are still valid and important. They must now be promptly implemented in full. The stability pact is also important. It needs to be based on an inclusive and consultative process in order to be credible and sustainable.
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We welcome the Secretary-General’s report (S/2018/1086) and his thorough assessment of the mandate of the United Nations Integrated Peacebuilding Office in Guinea-Bissau (UNIOGBIS). The timeline set out for the transition seems realistic. The United Nations system must now conduct a timely and integrated transition-planning process. It is important that the Council be kept updated on the progress of that work. Predictable resources and adequate capacity for the United Nations country team will be critical to the transition, as the experience in, for example, Liberia has shown. Another lesson from Liberia — as was highlighted in the recently adopted presidential statement (S/PRST/2018/3) on the Peacebuilding Commission’s advisory role to the Security Council with regard to sustaining peace — is that the Peacebuilding Commission has a particularly important role to play in such transitions. For a transition to be sustainable, it must be based on national peacebuilding priorities, as well as on political will, local ownership and inclusiveness. The Peacebuilding Commission’s efforts in that regard have our full and active support. It is important to address the root causes of conflict in Guinea-Bissau through measures such as moving forward on constitutional reform, reconciliation and political dialogue, strengthening the rule of law through strong and inclusive institutions and, not least, ensuring equal access to economic opportunities. Regional engagement will continue to be critical. Such regional efforts should be backed up by coherent international support. Our international engagement must also be sustained in the delicate post-electoral phase and include support for the aforementioned reforms. Our continued support will be crucial to helping Guinea-Bissau to consolidate peace and build a stable and prosperous future.
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Mr. Tenya (Peru) (spoke in Spanish): We thank you, Mr. President, for convening this meeting. We also thank Mr. Tayé-Brook Zerihoun, Assistant Secretary-General for Political Affairs, and Ambassador Mauro Vieira, Chair of the Guinea-Bissau configuration of the Peacebuilding Commission, for their important briefings. Peru notes with concern the recent events in Guinea-Bissau, where, despite the political progress that had been made, the legislative elections that were supposed to be held on 19 November have once again been postponed. We hope that the elections can indeed take place on 10 March of next year, in accordance with the presidential announcement that was issued yesterday. We are also concerned about the impact that those repeated postponements will have on the holding of the presidential elections in 2019. We stress that the mass participation of citizens in free, fair and inclusive elections is essential to the consolidation of democracy and, in turn, the legitimacy and effectiveness of the institutions needed to build sustainable peace. In that vein and in accordance with the Conakry Agreement and the six-point road map, we believe it is urgent for the Guinea-Bissau authorities to convene legislative elections that include the participation of all political actors and are supported by regional and international players and organizations. We reiterate the importance of promoting the greater participation of women and young people in the country’s political and institutional spheres. It is also important to bear in mind that elections represent one step in a process that requires broad national consensus to be reached so that the root causes of conflicts can be addressed by building a safer, more stable and more just country.
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To that end, it is essential to respond to threats such as drug trafficking, transnational organized crime and growing violent extremism, which would undermine the institutional framework and the social fabric in any country. It is also necessary to strengthen the institutions required to promote economic growth, fight poverty and achieve sustainable development for the benefit of all sectors of the population. In that regard, we highlight the work carried out by the United Nations country team to support the implementation of the national development plan, which prioritizes growth, human development, the sustainable management of resources and the strengthening of the rule of law and governance. I conclude by underlining how important it is that the United Nations Integrated Peacebuilding Office in Guinea-Bissau continue to support the country in all those efforts, in accordance with the provisions of Council resolution 2404 (2018) and in close coordination with the Peacebuilding Commission, the aforementioned country team and other relevant actors. In that vein, we also highlight the important roles played by the African Union, the Economic Community of West African States, the Community of Portuguese Language Countries and the European Union.
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Mrs. Gregoire Van Haaren (Netherlands): On behalf of the Kingdom of the Netherlands, I would like to express our sincere thanks to Côte d’Ivoire for organizing this briefing. We wish to thank Assistant Secretary-General Zerihoun and Ambassador Vieira for their informative briefings. Please allow me to focus on three important points in relation to the United Nations Integrated Peacebuilding Office in Guinea-Bissau (UNIOGBIS) and the situation in that country: first, a responsible transition; secondly, political developments; and thirdly, the role of international partners. Regarding the possible transition of UNIOGBIS, I would like to start by thanking Assistant Secretary-General Zerihoun and the rest of the UNIOGBIS team for the thorough report and its clear and honest analysis (S/2018/1086). That is exactly the type of reporting that we need in order for the Security Council to do good work. The Kingdom of the Netherlands considers that report to be an example of how the United Nations can outline the evolution of peacekeeping and special political missions and ensure a smooth transition. A phased transition would definitely be necessary in any possible UNIOGBIS exit scenario, which we do not take as a given, based on resolution 2404 (2018). Nevertheless, if the Council were to contemplate an exit, it is imperative that benchmarks be set. Benchmarks should not be linked to time but should rather be based on the achievement of actual qualitative benchmarks in the country. Those benchmarks should include, at least, the successful completion of the electoral cycle and the subsequent formation of a Government.
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The Kingdom of the Netherlands would like to emphasize the need for a responsible transition strategy that takes into consideration the achievements of the mission and the country and allows for the active engagement of the Peacebuilding Commission. A responsible exit and a coherent transition are essential in order to both build and sustain peace in Guinea-Bissau and to prevent Guinea-Bissau from sinking deeper into political instability. Secondly, the political situation in Guinea-Bissau is extremely troubling. The Kingdom of the Netherlands regrets the fact that the legislative elections scheduled for 18 November did not take place. We take note of the presidential decree of 20 December, in which the date for elections has been set for 10 March 2019. While we welcome the setting of a date for elections, the Kingdom of the Netherlands regrets the fact that the date is not in line with the end-of-January deadline, as stipulated in the Economic Community of West African States (ECOWAS) communiqué of 12 December. Also, given the near completion of the voter registration process, it is difficult to comprehend why the new date is not in conformity with that deadline. It remains imperative that free, fair and credible elections take place prior to the presidential elections. Combining those elections remains unacceptable. We therefore request the authorities of Guinea-Bissau to base the date of elections on the ongoing voter registration process and to adhere to the timeline stipulated by ECOWAS in its communiqué of 12 December. The Technical Office for Electoral Processes Support should be able to continue its work unhindered, and the legislative elections must take place prior to the presidential elections. The organization of free, inclusive, fair, transparent and credible legislative and presidential elections is crucial for the implementation of the Conakry Agreement and the ECOWAS six-point road map, the full implementation of which remains the only way to achieve lasting peace and stability in Guinea-Bissau. The Kingdom of the Netherlands would, therefore, like to highlight two other elements in that regard: the signing of a stability pact; and the urgent need for constitutional reform. The stability pact must be further deliberated on in an inclusive manner, and the signing of the pact should occur prior to the organization of legislative elections.
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Additionally, the sanctions regime imposed under resolution 2048 (2012) remains linked to the electoral cycle. Any reconsideration of the sanctions — in any direction — should be based on the conduct and completion of a full electoral cycle. My third point concerns the indispensable role that ECOWAS plays in building and sustaining peace in Guinea-Bissau. We commend the efforts of ECOWAS in Guinea-Bissau, particularly the visit to Bissau on 12 December. We welcome the issuance of the communiqué following the visit, in which ECOWAS called on President Vaz to announce, prior to the ECOWAS summit on 22 December, a new date for elections before the end of January. We regret that the authorities in Guinea-Bissau have not adhered to that line. In addition to the role of ECOWAS, we also want to stress the important role that the ECOWAS Mission in Guinea-Bissau (ECOMIB) plays in Guinea-Bissau. We support the European Union’s decision to continue to finance ECOMIB. In conclusion, ECOWAS, the African Union, the European Union, the Community of Portuguese Language Countries and the United Nations remain partners in building peace in Guinea-Bissau, with UNIOGBIS as its main convener. We call upon the Council to continue to monitor the situation closely and base a possible reconfiguration of the tasks of UNIOGBIS on clear benchmarks and achievements, in consultation with relevant stakeholders and actors on the ground. The Council’s involvement in Guinea-Bissau has a clear link to the prevention of the outbreak of violence at a difficult political impasse. It remains crucial to continue to support the Government of Guinea-Bissau and other political stakeholders in sustaining peace in Guinea-Bissau.
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Mrs. Cordova Soria (Plurinational State of Bolivia) (spoke in Spanish): We are grateful for the information provided by the Assistant Secretary-General for Political Affairs, Mr. Zerihoun, and by Ambassador Vieira, as Chair of the Guinea-Bissau configuration of the Peacebuilding Commission. Almost two decades have passed since the special political mission in Guinea-Bissau began its work, seeking to address the complex social, political and economic landscape in our brother country after violence broke out in 1998. Today, we note with concern that the situation in Guinea-Bissau has seen no substantial improvement. As stated in the report of the Secretary-General (S/2018/1086) containing the strategic analysis of the United Nations Integrated Peacebuilding Office in Guinea-Bissau (UNIOGBIS), resolution 2404 (2018) — which extended the mandate of the mission until February 2019 — stipulates that it must focus on three priority aspects: first, support for the full implementation of the Conakry Agreement and the facilitation of inclusive political dialogue and the national reconciliation process; secondly, support for the electoral process for this year’s legislative elections; and thirdly, technical assistance to complete the constitutional review. With regard to the second point concerning the electoral process, that process has been truncated by the failure to hold the legislative elections scheduled for 18 November owing to a lack of the technical and financial means needed for their consolidation.
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In that vein, in order to continue promoting the stabilization process in Guinea-Bissau, we consider that, in the short term, the commitment of the international community is vital in order to ensure full cooperation and the necessary support for the successful completion of the voter-registration process, in addition to assisting with electoral technical mechanisms to hold transparent, inclusive and fundamentally peaceful elections. Furthermore, one of the structural factors of the crisis is related to the political impasse that was eventually overcome by the country’s various political forces through the appointment of a consensus Prime Minister seven months ago and the formation of the Government. However, the challenges in the areas of governance, rule of law and socioeconomic development must continue to be addressed within the framework of the political process and inclusive dialogue. Those aspects should enable members of the Government and the political parties represented in the National Assembly to demonstrate real political will in order to continue advancing along the path of consensus in order to constructively implement the signed agreements. We believe that it is critical to promote the legitimate commitment to reaching a lasting political and social solution, guided exclusively by the best interests of the people of Guinea-Bissau. Additionally, in the context of ensuring State stability and with regard to security aspects, the fight against drug trafficking, transnational crime and impunity must also be a priority.
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To that end, the United Nations has a key role to play in promoting development and strengthening and improving State capacities with a view to reducing vulnerability to drug trafficking and crime by bolstering the elements of justice and police forces. The international community must also provide Guinea-Bissau with the assistance necessary to enhance State control of its coastline and airspace, in addition to training the members of the relevant State institutions. We also commend all the efforts of the African Union, the Economic Community of West African States (ECOWAS) and the ECOWAS Mission in Guinea-Bissau, and appreciate the contribution of the European Union and the Community of Portuguese-speaking Countries, and the crucial efforts of the Head of UNIOGBIS to reconcile the parties to the conflict and to promote dialogue. We further commend the work carried out by the Guinea-Bissau configuration of the Peacebuilding Commission, chaired by Brazil. We once again stress the importance of strengthening the links between that body and the Security Council with respect to coordination, exchange of information and active participation. In conclusion, we believe it imperative to redouble our joint efforts for stabilization in Guinea-Bissau. We have also stressed the need to use political tools to find political solutions with a view to achieving sustainable peace. In that context, in order to achieve stabilization and sustainable peace in Guinea-Bissau, it is imperative to place the well-being of the population and its most vulnerable sectors above any political partisan or personal interest.
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Mrs. Gueguen (France) (spoke in French): I thank Mr. Zerihoun, Assistant Secretary-General for Political Affairs, and Ambassador Vieira, Chair of the Guinea-Bissau configuration of the Peacebuilding Commission, for their briefings. France welcomes the positive developments that have taken place in recent months in Guinea-Bissau, particularly the appointment of the consensus Prime Minister Aristides Gomes. That is an important first step towards the full implementation of the Conakry Agreement, which, we remain convinced, is the only way to help Guinea-Bissau out of the political and institutional crisis it has been enduring for many long months. I would also like to acknowledge the central role played by the Economic Community of West African States (ECOWAS) and, more generally, by the P5 group — ECOWAS, the African Union, the Community of Portuguese-speaking Countries, the European Union and the United Nations — in achieving those results. It is crucial that Guinea-Bissau continue to enjoy significant regional and international support in the months and years to come. The Council, in particular, bears that responsibility. While the progress made in recent months is encouraging, other important measures are eagerly awaited in the coming weeks, the most important of which is the holding of parliamentary elections as soon as possible. France regrets that they did not take place on the announced date of 18 November, and takes note of the new date of 10 March. All commitments must now be honoured. We see that as an important test to gauge the real willingness of the various actors to advance the full implementation of the Conakry Agreement.
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We therefore expect the Guinea-Bissau authorities to become fully mobilized in the technical preparations for those elections, including at the highest level. Here, I am referring in particular to the finalization and validation of the electoral list, which, like the now closed voter census, cannot serve as a pretext for indefinitely postponing the holding of elections that are so important for the country’s equilibrium. The international community, for its part, is playing its full role in supporting the upcoming electoral process through the financial assistance provided by the main donors and the technical assistance of the United Nations Development Programme and the European Union. We have therefore raised our expectations of the Guinea-Bissau authorities. In our view, the successful holding of the forthcoming elections is a necessary precondition for changes in sanctions.
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In that regard, I again congratulate the Guinea-Bissau military authorities on their commitment to non-interference in political affairs, which they have honoured. The restoration of lasting peace and stability in Guinea-Bissau also requires progress in other areas in the medium term. In that regard, constitutional review should enable the Guinea-Bissau institutional system to avoid being subjected to the kind of blockages seen in recent months. Also important is the fight against organized crime and, in particular, drug trafficking, which requires not only a firm commitment on the part of the Guinea-Bissau authorities, but also the continuous support of the international community, especially the various United Nations actors present on the ground. Of equal importance is security sector reform, without which, as recent history has shown, there can be no long-term stability in the country. Finally, France has taken good note the Secretary-General’s recommendations for the future of the United Nations Integrated Peacebuilding Office in Guinea-Bissau following the strategic review conducted a few weeks ago. We hope that the discussions on this topic will take into account the objectives of extending the scope of the Special Representative of the Secretary-General’s good offices role, optimizing coordination between the various actors of the international community on the ground and providing the most effective technical support, which Guinea-Bissau needs more than ever now and for years to come. It is still too early to know whether Guinea-Bissau is truly on the road to sustainable stabilization. The coming months, and in particular the effective holding of legislative elections, will continue to provide us with answers. In that regard, the supporting role of the region and, more broadly, of the international community and the Council is all the more important.
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Mr. Polyanskiy (Russian Federation) (spoke in Russian): We thank Mr. Tayé-Brook Zerihoun, Assistant Secretary-General for Political Affairs, and Ambassador Mauro Vieira, Chair of the Guinea-Bissau configuration of the Peacebuilding Commission, for their briefings. The developments in Guinea-Bissau give abundant cause for concern. We regret the fact that the progress made following the establishment of a consensus-based Government in April has once again morphed into clashes among the main political forces. Against the background of pressing socioeconomic and humanitarian challenges, this is fanning the flames of what is already a highly volatile situation in the country. We welcome the President of Guinea-Bissau’s announcement yesterday of the decision to set 10 March 2019 as the new date for parliamentary elections. Although we wish to avoid dramatizing the fact that the appointments to the National Assembly have been postponed, timely elections on 18 November would have generated an important positive momentum for improving the overall climate. We now see that the situation in Guinea-Bissau is inching towards a perilous threshold, beyond which turmoil awaits both the country and its people. At this fateful moment, we call on all social and political forces to act responsibly and to proceed in a way that reflects national interests and leads to a prompt resolution of existing disputes. We have closely studied the report on the outcomes of the strategic assessment of the activities of the United Nations Integrated Peacebuilding Office in Guinea-Bissau (S/2018/1086).
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We believe that, at the present moment, the United Nations mission is a unique guarantor for national reconciliation. The Office is successfully undertaking projects for social development and building the capacities of law enforcement and the country’s armed forces. At the same time, we must recognize the fact that, in many areas, its potential, above all in the political sphere, cannot be fully realized. In general, we believe that the reconfiguration of the Integrated Office needs to be approached in an extremely balanced manner. Any hasty drawdown of the mission’s work would lead only to greater divisions within Bissau-Guinean society, degrade State institutions and result in an increase in drug trafficking and corruption. In that regard, we believe that it would be advisable to decide on the details concerning the implementation of the mission’s reconfiguration only after the electoral cycle has been completed and the country has returned to the constitutional path.
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Mr. Wu Haitao (China) (spoke in Chinese): China thanks Assistant Secretary-General Zerihoun and Ambassador Vieira for their briefings. China has closely followed recent developments in the situation in Guinea-Bissau. We take note of the special report of the Secretary-General (S/2018/1086) on the strategic assessment of the work of the United Nations Integrated Peacebuilding Office in Guinea-Bissau (UNIOGBIS) and its analysis and assessment of the situation in the country. China commends the mediation efforts undertaken by the Economic Community of West African States (ECOWAS) and the States of the region in promoting the political process in Guinea-Bissau. We take note of President Vaz’s 20 December announcement of 10 March 2019 as the new date for legislative elections. We hope that the Bissau-Guinean parties will work together to ensure that elections are held on schedule and in a smooth manner.
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At the same time, the international community should provide technical, financial and logistical support for the holding of the elections commensurate with the needs of the Guinea-Bissau Government. The international community should fully respect Guinea-Bissau’s independence, sovereignty and territorial integrity. The Bissau-Guinean parties should keep the long-term interests of their State and people in mind, take concrete actions with political decisiveness, build consensus, resolve differences through dialogue and consultations and work towards achieving a better quality of life for their people and national stability and development. As always, China supports African countries in seeking African solutions to African issues. China supports ECOWAS and the countries of the region in continuing to mediate the situation on the ground and play a constructive role in advancing the implementation of the Conakry Agreement and the ECOWAS six-point road map. We call on UNIOGBIS, the United Nations Office for West Africa and the Sahel, the United Nations country teams and other stakeholders to strengthen coordination and collaboration with the relevant United Nations agencies and build synergy with the African Union, ECOWAS and the States of the region through mediation efforts so that each party can leverage its own strength and provide robust support for economic development and the improvement of life in Guinea-Bissau. China stands ready to work with the rest of the international community to promote dialogue and engagement among the Bissau-Guinean parties and play a constructive role in securing sustained stability and development in Guinea-Bissau and West Africa, in general.
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Mr. Mielus (Poland): I would like to thank Assistant Secretary-General Tayé-Brook Zerihoun and Ambassador Mauro Vieira, in his capacity as Chair of the Guinea-Bissau configuration of the Peacebuilding Commission, for their informative briefings on recent developments in Guinea-Bissau. Reported delays in preparations for the holding of legislative elections raise our deep concern. The credible conduct of the legislative elections is a crucial step towards the resumption of peacebuilding and an important element of the Conakry Agreement. That is why we welcome the recent decision to hold elections on 10 March 2019. We reiterate our call on the Bissau-Guinean authorities to provide firm political direction and assume leadership in the electoral process, as well as empower the electoral management bodies to implement appropriate solutions for holding credible elections. Poland believes that maintaining the United Nations Integrated Peacebuilding Office in Guinea-Bissau (UNIOGBIS) with its current strength and mandate throughout the upcoming months is crucial to ensuring the mission’s full capacity to support the electoral process, including by providing good offices to national actors and coordinating efforts with the so-called Guinea-Bissau P5. It is also important to ensure that the UNIOGBIS exit is managed in a way that would help maintain the gains achieved so far. In that regard, we fully support the Secretary-General’s recommendation to establish a streamlined good offices special political mission following the end of the electoral cycle. It is equally important to ensure that ECOWAS and individual regional leaders maintain Guinea-Bissau on their agenda not only during the critical electoral period, but also beyond that period when the country will need the assistance of the international community to implement a reform agenda. In that regard, the role of the Peacebuilding Commission will also be indispensable. In conclusion, it is important for the United Nations to remain engaged in Guinea-Bissau throughout the transition and exit of UNIOGBIS, and beyond, to help mobilize the international community in supporting the institutional reform agenda. Finally, let me express our full support to Special Representative of the Secretary-General, the personnel of UNIOGBIS and the United Nations country team for their dedication.
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Mr. Albanai (Kuwait) (spoke in Arabic): At the outset, I would like to sincerely thank Mr. Tayé-Brook Zerihoun, Assistant Secretary-General for Political Affairs, and Ambassador Mauro Vieira, in his capacity as Chair of the Guinea-Bissau configuration of the Peacebuilding Commission (PBC), for their valuable briefings on the latest developments in Guinea-Bissau. I would also like to commend the pivotal role that the PBC is playing in Guinea-Bissau. I will comment on two fundamental aspects concerning today’s subject: the political situation and the strategic assessment of the United Nations Integrated Peacebuilding Office in Guinea-Bissau (UNIOGBIS). First, with regard to the political situation, we regret the slow pace of preparatory work for holding the elections, especially the voter registration process, which is necessary for holding the legislative elections. We also regret the Government’s decision to postpone those elections, which were supposed to be held on 18 November, as well as its non-compliance with the electoral calendar. In that regard, the State of Kuwait appreciates and supports the role that the Economic Community of West African States (ECOWAS) is playing to resolve that issue. We also support the ECOWAS request to the Government of Guinea-Bissau to schedule the date for the elections before the next ECOWAS summit, to be held on 22 December. In that regard, we welcome yesterday’s announcement by the Government of Guinea-Bissau of its intention to hold the legislative elections on 10 March 2019. Over this year, we have noted the progress made in the implementation of the Conakry Agreement and hope that the postponement of the elections will not impact it, especially given that the date for holding the presidential elections in 2019 is fast approaching. The concurrent holding of legislative and presidential elections would have an impact on all the political actors in the country. Therefore, work must be done now to ensure that the elections are held on the date set according to the most recent electoral calendar.
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We renew our full support for the five organizations — ECOWAS, the African Union, the United Nations, the European Union and the Community of Portuguese-speaking Countries — seeking to achieve progress in resolving the political crisis in the coming period. I also commend the support of the neighbouring countries in funding the electoral process. We look forward to the outcome of the ECOWAS summit with regard to the Guinea-Bissau situation. Secondly, with regard to the strategic assessment, I thank the Secretary-General and the Secretariat for his report (S/2018/1086) submitted pursuant to resolution 2404 (2018). We take note of the recommendations contained therein pertaining to the reconfiguration of UNIOGBIS after the presidential elections are held next year and the drawdown plan for the upcoming two years. We hope that all efforts — international, regional and those of the United Nations — will be coordinated with Guinea-Bissau. We are ready to take account of all the recommendations contained in the report when the Security Council considers renewing UNIOGBIS mandate during February 2019. In conclusion, I commend once again the efforts made by UNIOGBIS and its cooperation with the various active elements in Guinea-Bissau. We stress the need for all parties to cooperate in order to guarantee the success of the transition plan, as proposed by the strategic assessment, because many challenges in the country are long term and require the participation of various United Nations offices, such as the United Nations Office on Drugs and Crime and the United Nations Office for West Africa and the Sahel. Moreover, regional organizations and the Peacebuilding Commission have fundamental roles to play in the implementation of development strategies.
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Mr. Tumysh (Kazakhstan): As an observer of the African Union, we join in and associate ourselves with the statements already made by the members of the African troika and to be made by the Ivorian presidency, which has so ably and effectively conducted the stewardship of the Council this month. Mr. President, please accept our most sincere congratulations. We also welcome Ambassador Da Silva, Permanent Representative of Guinea-Bissau, to the Chamber. We commend Mr. Zerihoun, Assistant Secretary-General for Political Affairs, and Mr. Vieira for their insightful briefings on the latest developments in Guinea-Bissau. We praise their tireless efforts to bring peace and stability to the country. Please allow me to share some of our observations and recommendations regarding the situation in Guinea-Bissau. We welcome the progress made by all parties with regard to the stabilization of and restoration of constitutional order in Guinea-Bissau. We highly appreciate the good offices of the United Nations Integrated Peacebuilding Office in Guinea-Bissau (UNIOGBIS) and the mediation efforts of regional, subregional organizations and neighbouring States, especially the Economic Community of West African States (ECOWAS), the United Nations Office for West Africa and the Sahel and the Guinea-Bissau P5 group members, whose coordinated efforts are very helpful. We also welcome the commitments of the international partners to providing necessary technical, logistical and financial support to the electoral process.
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We acknowledge the decision of the President and the readiness of the Government of Guinea-Bissau to undertake and advance the necessary measures for a timely conclusion of the preparations for the legislative elections on 10 March 2019 and express hope for their credible and timely conduct. We expect that all the stakeholders will demonstrate good political will to that end. We reiterate that all parties should respect the independence, sovereignty and territorial integrity of Guinea-Bissau. We also underscore the importance of the presence of the ECOWAS Mission in Guinea-Bissau in ensuring stability during the electoral cycle, and we urge the international partners to continue to support these regional forces. We call on all parties to promptly take the steps necessary to implement the remaining provisions of the Conakry Agreement, which remains the primary framework for a peaceful resolution of the conflict. That includes the adoption of the stability pact and constitutional review. Political stability in the country can be achieved by reforms aimed at strengthening the governing bodies. There is a need for an open and inclusive nationwide dialogue to develop guiding principles of the reforms. Ensuring the participation of women and youth in the political process at every stage and increasing their economic opportunities are equally important. Besides the human dimension, the perils of drug trafficking and transnational organized crime have a multifaceted impact on the economy, overall security and community and individual well-being. National engagement is critical to implementing different international programmes and projects aimed at strengthening the security, judicial and law enforcement sectors. It is therefore necessary to continue strengthening the national institutional framework and response against the threats and close cooperation with UNIOGBIS, the United Nations Office on Drugs and Crime and INTERPOL.
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We are also worried by the deterioration of the economic situation. We believe that the most effective measures for sustainable peace and stability must be sought to ensure the country’s resilience by providing increased support for the existing development plans and the United Nations peacebuilding programmes. Further efforts need to focus on the structural drivers of instability by reducing poverty; creating better opportunities for education, employment and health care; and strengthening local governance. We call on all donors to provide the necessary funds for the implementation of all such measures. We also underscore the important role of the Peacebuilding Commission in fostering national ownership of a transition plan and call for preparations to develop an inclusive and comprehensive peacebuilding plan. Lastly, we endorse the Secretary-General’s special report on the strategic assessment of UNIOGBIS (S/2018/1086), and support his proposals on gradual reconfiguration, a phased drawdown and the exit of the mission by the end of 2020. In conclusion, we would like to extend our full support to the work of Mr. Viegas Filho, Special Representative of the Secretary-General for Guinea-Bissau, and the UNIOGBIS team, and reaffirm our readiness to cooperate closely with all the relevant parties to support peacebuilding and consolidation efforts in Guinea-Bissau.
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The President (spoke in French): I shall now make a statement in my capacity as representative of Côte d’Ivoire. I should like to commend Mr. Tayé-Brook Zerihoun, Under-Secretary-General for Political Affairs, and Mr. Mauro Vieira, Permanent Representative of Brazil and Chair of the Guinea-Bissau configuration of the Peacebuilding Commission, for their excellent briefings. I would also like to express my appreciation to the Secretary-General and to the strategic assessment mission, whose report (S/2018/1086), submitted to the Council for analysis, reflects the interest of the international community in the political developments in Guinea-Bissau. Indeed, the request for an evaluation of the activities of the United Nations Integrated Peacebuilding Office in Guinea-Bissau (UNIOGBIS), expressed by the Security Council in resolution 2404 (2018), responds to the need to reconfigure the Office, its mechanisms of action and its resources in order to achieve greater effectiveness on the ground with respect to the objectives assigned to it. Côte d’Ivoire, aware of the complexity of the scope of action of UNOGBIS, commends the efforts of the mission to accompany Guinea-Bissau towards a definitive way out of the crisis. Through its mission of good offices and mediation between national stakeholders, its role of coordinator of the activities of the various international partners and its close collaboration with the Economic Community of West African States, the United Nations Office continues to play a fundamental preventive role, thereby contributing to the preservation of the institutional balance within Guinea-Bissau. However, my delegation notes with regret that, as the Secretary-General has pointed out, the results achieved are not commensurate with the resources deployed and the degree of investment on the part of national stakeholders.
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In that regard, the Secretary-General offers the Security Council a range of proposals that could contribute effectively to the gradual recalibration of UNIOGBIS and redefine its priorities in the light of the major imperative of implementing the peace and security pillar in a more coherent, more flexible and more efficient framework, in greater harmony with the development and human rights pillars. To implement that recalibration, the Secretary-General proposes a three-phase reconfiguration of the mission, to be completed no later than 31 December 2020, namely, the election period, the post-election period and the transition and withdrawal of the Bureau. That timeline should help mobilize the support of the international community for the institutional reform agenda. Côte d’Ivoire takes note with interest of the recommendations and invites Council members to appropriate these new lines of thought in order to make the best possible use thereof for a definitive resolution of the crisis in Guinea-Bissau. My delegation regrets that legislative elections in Guinea-Bissau were not held by the scheduled deadline of 18 November 2018. That situation should not make us lose sight of the progress made or constrain our momentum and our determination to support the Guinea-Bissau authorities in the process of ending the crisis. To that end, my country urges the Council to remain in solidarity, while supporting the efforts of the Secretary-General and his Special Representative and strengthening its support for the leadership of ECOWAS. We applaud the commitment of ECOWAS and fully share the concerns it expressed in its 12 December communiqué, including the urgent need to set a new date for the parliamentary elections.
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In the light of that requirement, President José Mário Vaz, by a decree of 20 December, set the date of the parliamentary elections for 10 March 2019. My delegation takes note of those latest developments and urges all international stakeholders, especially ECOWAS, whose next summit will be held on 22 December, to assess the advisability of holding the election on the scheduled date and to take all necessary measures to support the people of Guinea-Bissau in that process. In addition, Côte d’Ivoire encourages the Bissau-Guinean stakeholders to take definitive ownership of their country’s future by placing the national interest above all else once and for all. Côte d’Ivoire welcomes the perfectly coordinated action of the P5 group, comprising the United Nations, ECOWAS, the African Union, the Community of Portuguese-speaking Countries and the European Union, which has enabled the efficient mobilization of financial resources and the registration of over 90 per cent of voters. Moreover, my country is of the opinion that, in the efforts to resolve the crisis in Guinea-Bissau, the international community must integrate the thorny issue of combating drug trafficking and transnational crime. As mentioned by the Secretary-General, a comprehensive approach at the subregional level could help to reduce the negative consequences of such scourges. In that regard, my country recalls, particularly within the framework of cooperation between the United Nations Office on Drugs and Crime and ECOWAS, the existence of the ECOWAS regional action plan for West Africa for the period 2016-2020, the implementation of which seeks to contribute, inter alia, to the reduction of drug abuse, drug trafficking and crime in the subregion. Côte d’Ivoire commends the work of the Special Representative of the Secretary-General and reiterates its support to him in carrying out his mission. In conclusion, my country reiterates its call on the international community to continue supporting the process to end the crisis in Guinea-Bissau. It also urges Guinea-Bissau’s political actors to do everything in their power to restore peace in their country and achieve its economic recovery by implementing the 2016-2020 Partnership Framework with the United Nations.
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I now resume my functions as President of the Council. I give the floor to the representative of Guinea-Bissau.
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Mr. Da Silva (Guinea-Bissau) (spoke in French): I thank you, Mr. President, for the opportunity to participate in this meeting of the Security Council and to address you in my capacity as the Permanent Representative of my country. The members of the Council will recall that in April, at the Extraordinary Summit of the Economic Community of West African States (ECOWAS), held in Lomé, which focused on the situation in Guinea-Bissau, Bissau-Guinean political actors adopted a road map to end the crisis, which persisted despite the Agreement signed in Conakry in October 2016. The road map provided, among other things, for the organization of parliamentary elections on 18 November 2018. However, delays in mobilizing funds from our partners and technical difficulties related to electoral kits and their delivery to Bissau, compounded by the rainy season, made it impossible to meet the deadline initially planned for the electoral census, which could only effectively begin on 19 September, one month later. Given that observation and the difficulties facing the process, the President of the Republic decided not to issue a new decree to set the date of the parliamentary elections in order to give the census a chance to register a large majority of the citizen voters. It should be noted here that, to date, more than 95 per cent of voters have been registered. The result achieved demonstrates the wisdom of the President of the Republic’s decision to not rush the issuance of a new decree to fix the date of the parliamentary elections.
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After extensive consultations with all political actors, the President of the Republic issued a decree yesterday, 20 December, setting 10 March 2019 as the date to hold the parliamentary elections. The upcoming parliamentary elections are extremely important, but it would be an exaggeration to believe that simply holding free, fair and transparent elections would automatically establish a resilient and stable political order at the institutional level. To that end, allow me to refer to the Conakry Agreement, which calls for political reform that will give our national democratic institutions greater resilience and hinder the re-emergence of political instability. It should be recalled that in a context of persistent instability, no other reform will be successful — neither defence and security sector reform, justice sector reform, nor the economic reform necessary to operationalize the Sustainable Development Goals. I take this opportunity to thank all those present for their patience and solidarity and to wish a merry Christmas and a successful New Year to their respective countries, as well as health and well-being to their families.
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The President (spoke in French): I now invite Council members to informal consultations to continue our discussion on the subject. The meeting rose at 11.55 a.m.
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T5. Attribution & Citation Alignment
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T5.2 Key-Statement Citation Alignment
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Partial
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Citation comparison of "Summary 2" in the generated summary was performed to identify the fewest citations (paragraph numbers) from the original paper. Output the "[Answer]" identifier first, and then output the citation (only use the paragraph numbers as citations, e.g., "Paragraph 1"). If the sentence requires multiple sources, output each citation line by line, without any additional content.
Summarys:
Summary 1: Ensuring the participation of women and youth at all stages of the political process and increasing their economic opportunities are equally important.
Summary 2: International partners raised $9.8 million for Guinea-Bissau's elections and provided related tool kits and ballots.
Summary 3: Côte d'Ivoire commended the efforts of the United Nations, regretted the electoral delay, supported the leadership of the Economic Community of West African States (ECOWAS), and urged unity, institutional reform, and the fight against drug trafficking to ensure stability and recovery in Guinea-Bissau.
Output example:
[Answer]
Paragraph 1
Paragraph 2
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Citation comparison of "Summary 2" in the generated summary was performed to identify the fewest citations (paragraph numbers) from the original paper. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the citation (only use the paragraph numbers as citations, e.g., "Paragraph 1"). If the sentence requires multiple sources, output each citation line by line.
Summarys:
Summary 1: Ensuring the participation of women and youth at all stages of the political process and increasing their economic opportunities are equally important.
Summary 2: International partners raised $9.8 million for Guinea-Bissau's elections and provided related tool kits and ballots.
Summary 3: Côte d'Ivoire commended the efforts of the United Nations, regretted the electoral delay, supported the leadership of the Economic Community of West African States (ECOWAS), and urged unity, institutional reform, and the fight against drug trafficking to ensure stability and recovery in Guinea-Bissau.
Output example:
<Your thinking process>
[Answer]
Paragraph 1
Paragraph 2
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[
"Paragraph 22"
] |
Easy
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5e90fb9e75f3206b3a9bf7b32315ed12b82099c44322774717391037cb809f66
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段落1
一年之计在于春，一春出游之计最先在于探梅，而探梅的去处总说是苏州的邓尉；因为邓尉探梅，古已有之，非同超山探梅之以今日始了。邓尉山在吴县西南六十里，相传汉代有邓尉隐居于此，因以为名；一名光福山，因为山下有光福镇，而旧时是称为光福里的。作邓尉的附庸的，有龟山、虎山、至理山、茆冈山、石帆山等八九座小山，人家搅也搅不清，只知道主山是邓尉罢了。明代诗人吴宽有《登光福凤冈》诗云：“昔年曾学登山法，纵步不忧山石滑。舍舆径上凤头冈，趁此深风当晚发。远山朝士抱牙笏，近山美人盘鬒发。我身如在巨海中，青浪低昂出复没。山下人家起市防，家家炊烟起曲突。梅林屋宇遥复见，一似野鸟巢木末。山僧见山如等闲，翻怪群山竞排闼。偶凭高阁发长笑，笑我胡为蹑石钵。夕阳满目波洋洋，西望平湖更空阔。山灵为我报水仙，预设清泠供酒渴。吴人非不好登山，一宿山中便愁绝。扁舟连夜泊湖口，舟子长篙未须刺。懒游已矣斯人骇，狂游不学前辈达。若耶云门在于越，何必青鞋共布袜。”
段落2
诗中除了“梅林屋宇遥复见”一句外，对于梅花并没详细的描写，原来看梅并不限于邓尉山上，而梅树也散在四周的山野之间；即如和邓尉相连不断而坐落在东南六里的玄墓山就是一例，那边也可看梅，并且山上也是有不少梅树的。玄墓之得名，因东晋青州刺史郁泰玄葬在山上的缘故。现在此墓依然存在，位在圣恩寺的后面的山坡上，向右过去不多路，就是颇有名的“真假山”，嵌空玲珑，仿佛是用太湖石堆砌而成，正如人家园林中的假山一样，其实是出于天然，因山泉冲激所致，所以称之为“真假山”。这里一带，至今还有好几十株老梅树；而圣恩寺前，本来也种有不少梅树，不幸在暴日入寇时砍伐都尽。我在十余年前到此看梅，还不愧为大观，回来以后，曾怀之以诗：“玄墓梅花锦作堆，千枝万朵满山隈。几时修得山中住，朝夕吹嚼香蕊来。”
段落3
寺中还元阁上，原藏有《一蒲团外万梅花》长卷，也足见当年山中梅花之盛。自明清以至民国，都有骚人墨客的题咏，而经过了这一次浩劫，前半早已散失，后半只剩胡三桥的一幅画，和易实甫、樊云门以及近人所题的诗词，并且不知怎样，纸上沾染了许多黑斑，有几处竟连字也瞧不出来了。后来我上山看梅，也看过了这一个残余的卷子，曾题了两首七绝：“劫余重到还元阁，举目湖山百种宽。欲寄身心何处寄，万梅花里一蒲团。”“万梅花里一蒲团，打坐千年便涅槃。佛雨缤纷花雨乱，如来弥勒共盘桓。”我虽仍然沿用着“一蒲团外万梅花”原意，其实哪里还有万树梅花之盛，只能说是万朵梅花吧。玄墓之西有弹山、蟠螭山，以石楼、石壁吸引了无数游屐，那边也有梅树，可是散漫而并不簇聚，只是疏疏落落地点缀在山径两旁罢了。弹山的西北有西碛山，其南有查山，旧时梅花最盛，宋代淳祐年间，高士查莘曾隐居于此，筑有梅隐庵。庵东有一个挺大的潭，在梅林交错中，虽亢旱并不干涸，查氏就在上面的崖壁上题了“梅花潭”三字，可是这些古迹，已无余迹可寻；不过唐寅诗有“十里梅花雪如磨”句，而李流芳文有“余买一小丘于铁山下，登陟不数十武，而尽揽湖山之胜，尤于看梅为宜，盖踞花之上，千村万落，一望而收之”云云，那就足见这里一带，在明代是一个观赏梅花的胜处。
段落4
在光福镇之西，与铜井山并峙的，有马驾山，俗称吾家山。山并不很高，而四面全是梅树，花开时一白如雪，蔚为大观。清康熙中巡抚宋牧仲荦在崖壁上题了“香雪海”三字，复筑亭其旁，以便看梅。据说乾隆下江南时，也曾到此一游，于是“香雪海”之名藉甚人口，游人络绎而至。诗人汪琬曾有《游马驾山记》，兹摘其中段云：“前后梅花多至百许树，芗气蓊勃，落英缤纷，入其中者，迷不知出。稍北折而上，望见山半累石数十，或偃或仰，小者可几，大者可席，盖《尔雅》所谓‘礜’也。于是遂往，列坐其地，俯窥旁瞩，濛然㿣然，曳若长练，凝若积雪，绵谷跨岭，无一非梅者。加又有微云弄白，轻烟缭青，左澄湖以为镜，右崇嶂以为屏，水天浩溔，苍翠错互，然则极邓尉、元墓之观，孰有尚于兹山者耶？”
段落5
读了这一段文字，就可知道这马驾山香雪海亭一带，确是看梅最好的所在，不过“百许树”疑为“万许树”之误；因为二十余年前我到此看梅，也决不止百许树；但见山下四周茫茫一白，确有“曳若长练，凝若积雪”的奇观，至少也该有千许树呢。后来乡人因种梅利薄，不及种桑利厚，于是多有砍梅以种桑的。如今梅花时节，您要是上马驾山去向四下一看，怕就要大失所望，觉得香雪海已越缩越小，早变成香雪河、香雪溪了。清代画师作探梅图，多以香雪海为题材，吾家藏有横幅一帧，出吴清卿大澂手，点染极精。我曾请吴氏裔孙湖帆兄鉴定一下，确是真迹，特地转请故王胜之先生题端，而由湖兄检出愙斋旧笺，钞了他老人家的遗作《邓尉探梅》诗七律二章殿其后，更有锦上添花之妙，我于登临之余，欣赏着这画中的香雪海，觉得更有意味了。
段落6
明代高士归庄，字玄恭，江苏昆山人，国亡以后，便遁入山林中，佯狂玩世，与顾亭林同享盛名，一时有“归奇顾怪”之称。遗作《观梅日记》，详记邓尉探梅事，劈头就说：“邓尉山梅花，吴中之盛观也。崇祯间，尝来游。乱后二十年中，凡三至……”他最后一次探梅，历时十日；从昆山乘船出发，先到虎丘，寓梅花楼，赋诗二绝句，第一首：“邓尉山梅是胜游，东风百里送扁舟。更爱虎丘花市好，月明先醉梅花楼。”这首诗可算是发凡。第二天仍以舟行，过木渎，取道观音山而于第三天到上崦，记中说：“遥望山麓梅花林，斜阳照之，皑皑如积雪。”这是邓尉探梅之始。第四天到士墟访友人葛瑞五，记云：“其居面骑龙山，四望皆梅花，在香雪丛中。余辛丑年看梅花，有‘门前白到青峰麓’之句，即其地也。庭中垒石为丘，前临小池，梅三五株，红白绿萼相间；酌罢坐月下，芳气袭人不止，花影零乱，如水中藻荇交横也。后庭有白梅一株，花甚繁，云其实至十月始熟，盖是异种。”他在这里探梅，是远望与近看，兼而有之的。第五天登马驾山，他说：“山有平石，踞坐眺瞩，梅花万树，环绕山麓。”这平石附近的崖壁上，就是后来宋牧仲题“香雪海”三字的所在。要看大块文章式的梅花，这里确是唯一胜处，我当年也就在这一块平石上，酣畅淋漓地领略了香雪海之胜。第六天游弹山之西的石楼，记云：“（石楼）前临潭山，潭山之东西村坞皆梅花，千层万叠，如霰雪纷集，白云不飞。”这里的梅花也可使人看一个饱，可是现在登石楼，就不足以餍馋眼了。第七天游茶山，他说：“茶山之景，梅花则胜马驾山；远望湖山，则亚于石楼。盖马驾梅花，惟左右前三面，茶山则花四面环匝。”这所谓茶山，为志书所不载，大概就是宋代高士查莘所隐居的查山吧？他既说梅花四面环匝，胜过马驾山，将来倒要登临其上，对证古本哩。随后他又游了铜井山，记云：“铜井绝高，振衣山巅，四面湖山皆在目，而村坞梅花，参差逗露于青松翠竹之间，亦胜观也。”他这里所见，只是村坞间参差的梅花，已自绚烂归于平淡了。第八天上朱华岭，记云：“回望山麓梅花，其胜不减马驾山；过岭，至惊鱼涧，涧水潺潺有声，入山来初见也。道旁一古梅，苔藓斑驳，殆百余年物，而花甚繁，婆娑其下者久之。路出花林中，早梅之将残者，以杖微叩之，落英缤纷，惹人襟袖。复前，则梅杏相半，杏素后于梅，春寒积雨，梅信迟，遂同时发花，红白间杂如绣。”因看梅而看到杏花，倒是双重收获，眼福不浅；原来他记中所记时日，已是古历的二月十九日了。第九天他才游玄墓山，这是一般人看梅必到的所在，圣恩寺游侣如云，直到梅花残了才冷落下来。他记中只说：“途中所见，无非梅花林也。”又说：“遥望五云洞一带，梅花亦可观。”对于真假山一带梅花，不着一字，大约那时还没有种梅吧？第十天上蟠螭，至石壁，经七十二峰阁，至潭东，记云：“蟠螭者，在诸山之极西，梅杏千株，白云紫霞，一时蒸蔚。”又云：“潭东梅杏杂糅，山头遥望，则如云霞，至近观之，玉骨冰肌，固是仙姝神女；灼灼红妆，亦一时之国色也。”他在这里都是由梅花而看到杏花，杏花正在烂漫，而梅花已有迟暮之感了。第十一天他就出士墟而至光福，结束了他的邓尉探梅之行。归氏此行历十天之久，又遍游诸山，对于梅花细细领略，真是梅花知己。今人探梅邓尉，总是坐了小汽车风驰电掣而去，夕阳未下，就又风驰电掣而返，这样的探梅，正像乱嚼江瑶柱一样，还有甚么味儿？来春有兴，打算也照归氏那么办法，趁梅花开到八九分时，作十日之游，要把邓尉四周的山和梅花，仔仔细细地领略一下，也许香雪海依然是香雪海呢。
段落7
对于邓尉梅花能细细领略如归玄恭者，还有三人，其一是清代名画师恽南田，他的画跋中有云：“泛舟邓尉，看梅半月而返，兴甚高逸；归时乃作《看花图》。江山阻阔，别久会稀，寤寐心期，千里无间。春风杨柳，青雀烟帆，室迩人遐，空悬梦想。”其二是名画师兼金石名家金冬心，他的画跋中有云：“小雪初晴，余寒送腊，具鹤氅浩然巾，入邓尉山，看红梅绿萼，十步一坐，坐浮一大白，花香枝影，迎送数十里；虽文君要饮，玉环奉盏，其乐不是过也。”一个是“看梅半月而返”，而尚有余恋，一个是“十步一坐，坐浮一大白”，而以梅花比之古美人要饮奉盏，他们都是善于看梅而领略到个中至味的。其三是清末名词人郑叔问，晚年自署大鹤山人，卜居苏州鹤园，日常以作画填词自遣；他的词集《樵风乐府》中，不少邓尉探梅之作，他自己曾说往来邓尉山中廿余年，并因爱梅之故，与王半塘有西崦卜邻之约。他的看梅也与归玄恭一样，遍历诸山而一无遗漏的；但读他的八阕《卜算子》，可见一斑。其一云：“低唱暗香人，旧识凌波路。行尽江南梦里春，老兴天悭与。 桥上弄珠来，烟水空寒处。万顷颇黎烂玉盘，月好无人赋。”这是为常年看梅旧泊地虎山桥而作。其二云：“瑶步起仙尘，钿额添宫样。一闭松风水月中，寂寞空山赏。 诗版旧题香，盛迹成追想。花下曾闻玉辇过，夜夜青禽唱。”这是为追忆玄墓山圣恩寺旧游而作。其三云：“数点岁寒心，百尺苍云覆。落尽高花有好枝，玉骨如诗瘦。 卧影近池看，露坐移尊就。竹外何人倚暮寒，香雪和衣透。”这是因司徒庙柏因社清奇古怪由古柏联想到庙中梅花而作。其四云：“枝亚野桥斜，香暗岩扉迥。瘦出花南几尺山，一坞苍苔静。 梦老石生芝，开眼皆奇景。大好青山玉树埋，明月前身影。”这是为青芝坞面西碛一小丘宜于看梅而作。其五云：“一棹过湖西，曾载双崦雪。蹋叶寻花到几峰，古寺诗声彻。 林卧共僧吟，树老无花折。何必桃源别有春，心境成孤绝。”这是为安山东坳里古寺中寻古梅而作。其六云：“刻翠竹声寒，扫绿苔文细。四壁花藏一寺山，香国闲中味。 对镜两蛾颦，想像西施醉。欲唤鸱夷载拍浮，可解伤春意。”这是为常年看梅信宿蟠螭山而作。其七云：“云叠玉棱棱，琴筑流澌咽。漫把南枝赠北人，陇上伤今别。 秀麓梦重寻，泉石空高洁。台上看谁卧雪来，独共寒香说。”这是为弹山石楼看梅兼以赠别知友而作。其八云：“初月散林烟，近水明篱落。昨夜东风犯雪来，梦地春抛却。 最负五湖心，不为风波恶。笑看青山也白头，一醉花应觉。”这是为冲雪泛舟，看梅于法华、渔洋两山邻近的白浮而作。原词每阕都有小注，十分隽永，为节约篇幅故，不录。但看每一阕中，都咏及梅花，而极其蕴藉之致；三复诵之，仿佛有幽香冷馥，拂拂透纸背出。
段落8
邓尉的梅花，大抵以结实的白梅为多，一称野梅，浅红色和绿萼的较少，透骨红已绝无而仅有。盆梅向来盛于潭东天井上一带，往年我曾两度前去，物色枯干虬枝的老梅，可是所得不多，苏州沦陷期间已先后病死；硕果仅存的只有一株浅红色的大劈梅，十年前曾在那老干的平面上刻了一首龚定盦的绝句：“玉树坚牢不病身，耻为娇喘与轻颦。天花岂用铃旛护，活色生香五百春。”这二十八字和题款，还是从龚氏真迹上勾下来的。以这株老梅的本干看来，也许已有了五百年的高寿了。每年梅花盛开时，大抵总在农历惊蛰节以后，所以探梅必须及时，早去时梅犹含蕊，迟去时梅已谢落，最好山中有熟人，报道梅花消息，那么决不致虚此一行。
段落9
无锡是江苏省著名的工业城市，因地濒太湖，山明水秀，又是一个著名的风景区，每逢春秋佳日，联袂来游的红男绿女，多于过江之鲫。往时交通不便，游锡的多从水道，如清代张宝臣诗云：“九龙山色何媚妩，坐见白云生缕缕。空蒙散作波上烟，篷窗一夜萧萧雨。”又史胄司诗云：“九峰天半落，一棹夕阳过。客为游山盛，船因载水多。溪边高士宅，月下榜人歌。好趁樵风便，轻船采芰荷。”现在公路四通八达，无论汽车、人力车，都可畅游各处了。
段落10
无锡大烟囱林林总总，足见工厂之多，工业的发达；新建筑物也多了不少，多半是工人们的宿舍、住宅、休养所、子弟学校等，对于工人的福利，设想周到。市中心有一个挺大的体育场，关于体育上的种种设备，应有尽有。城墙已拆除了，就在原址造了一条环市的大路，化无用为有用，于交通上贡献很大。无锡给与我的新印象，是十分深刻的。
段落11
锡山虽并不很高，只因山上有龙光寺的一座宝塔，全市到处可见，俨然与老大哥惠山分庭抗礼。我到了锡山之下，不由得想起昔人曾以“无锡锡山山无锡”七字作上联，征求下联，一时大家都给难住了，对来对去，总觉不工；后来不知是谁，却对以“平湖湖水水平湖”，字字工切，这才成了绝对。
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最近计划将锡山和惠山连接起来，统称为锡惠公园，占地共四百余亩，布置煞费经营，我因笑道：“无锡建设这个大公园，真是燕许大手笔，我们在苏州搞园林，只能说是做小品文了。”这个设计确是很伟大；正对着龙光寺宝塔的前缘地上，是装设大门的所在，门内有一个正圆形的大喷水池，先已造成，中心用许多大大小小种类不同的石块砌成了一大堆，上面装着一个大喷水管，向天喷水，四周再有五个小喷水管，分头喷出水来；而水泥塑就的那个圆形边框上，又装着五个小喷水管，向中心喷水，开了机杻之后，每个管子里水柱一齐喷射，煞是好看！不过中心那个大石堆并无美感，我建议把它除去，改用水泥塑成大型莲花五朵，配以莲叶六七张，花可漆作红、白、淡绿诸色，叶作绿色，每朵花心中装一水管，可同时仰喷；边框上的小喷水管上，也用水泥塑莲花一朵，可全作白色，我以为这样的变换一下，一定是可以增进美观的。
喷水池的后面，他们计划建造一座大厅，这是一个中心大建筑物，在这大公园中确是必要的。左旁辟地二十余亩，全种牡丹花，定名牡丹坞；我们以为面积太大了，哪有这么多的牡丹种上去？不如改为百花坞，可种多种多样的花树，一年四季，开花不绝，恰恰符合“百花齐放，推陈出新”那句名言；况且牡丹既没有这么多，而开花的日期也太短，不到十天就凋谢了，倘下了大雨，寿命更短，所以二十多亩地全种牡丹是不适宜的。
我们又建议在大门左右一带要造些亭榭走廊等，可让游人歇脚，夏季如果突然下雨，也可就近躲避；我们又建议环山开一小河，与原有的池塘连接起来，在水面比较宽大的所在，可将开河挖起的泥土堆一小岛。有了这么一条河，锡山就不觉得太干燥；一面可置办小船若干艘，供游人打桨作水嬉，那么游园更有兴趣了。
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锡山本是荒山，树木不多，近来山上山下已经绿化，他们从各地买了大宗的花树、果树、常绿树来，全都种在这里，好似当作一个树木的仓库；可是种的时候，似乎并没计划，未免杂乱无章。我因此建议今冬要把它们分门别类，重行布置；在小小的土山上，不妨全种桂花树，金桂、银桂、丹桂、天竺桂，聚族而居，使小队登临时，作小山丛桂之想。在山坳里较低的所在，不妨全种桃树，结实的桃花也好，单供观赏的碧桃也好，使人到了这里，好像武陵渔父身入桃花源了。山坡上较高的所在，不妨全种梅树，那么梅花时节，这里也就是一片香雪海咧。至于河边池畔，那么垂柳啊、芙蓉啊、杨树啊，也可随处安排，各得其所。此外，数量不多的花树、果树，不妨悉数容纳到百花坞里去，也不会茫无所归的。
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惠山又名九龙山，因为它有九峰之故，记得二十余年前，我和天虚我生陈栩园丈游惠山，是坐了王巧仙家画舫去的，我曾记以诗云：“桃花春水泛轻艭，醉月飞觞兴不降。多谢惠山能惠我，九峰岚翠滴篷窗。”这一回我们从锡山下徒步而往，不多时就到了，从大门起以达最高处的云起楼，都已穿上了鲜艳的新装，简直认不出它的旧面目来。只有听松石依然故我，傲然地躺在那里，而它身上的那座听松亭却打扮得红红绿绿，分外富丽，相形之下，未免不称。漪澜堂前的方池，仍然如旧，鱼却似乎少了。惠泉没有什么改变，泉水也澄清如昔，不愧“天下第二泉”之称。由隔红尘径拾级而登云起楼，高瞻远瞩，心目为之一畅；此楼虽经整修，却仍保持朴素的风格，而我们也就欣赏它的朴素。
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无锡的园林，如荣氏的梅园和锦园、杨氏的鼋头渚、王氏的蠡园、陈氏的渔庄等，全是崭新的，唯一的古园要算是寄畅园了。园在惠山寺左，明代正德年间，秦端敏公金置，引涧泉作池，声若风雨，前后二百余年，虽屡次易主，却并未易姓，仍为秦氏后人所有。清代顺治年间，翰林秦松龄（留仙）主此园，与当代名流吴梅村、姜西溟、严荪友等时常赋诗唱和，梅村曾有《秦留仙寄畅园三咏》之作，《山池塔影》云：“黛色常疑雨，溪堂正早秋。乱山来众响，倒景漾中流。似有一帆至，何因半塔留。眼前通妙理，斜日在峰头。”《惠井支泉》云：“石断源何处？涓涓树底生。遇风流乍急，入夜响尤清。枕可穿云听，茶频带月烹。只因愁水递，到此暂逃名。”《宛转桥》云：“斜月挂银河，虹桥乐事多。花欹当曲槛，石凝折层波。客子沉吟去，佳人窈窕过。玉箫知此意，宛转采莲歌。”此外，又有一般词客，在园中集会填词，陈其年曾有《秦对岩携具寄畅园举填词第三集》一词，调寄《醉乡春》云：“银甲闹时偏悄。绿水昏时胜晓。双粲枕，百娇壶，好景世间都少。 人对烛花微笑。袖向𬞟风轻舀。玉山倒，脸波横，酒痕一点红窝小。”当时园中光景，读了这些诗词，可见一斑。
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我与陈栩园丈初游寄畅园，就有好感；但见一株株的古树参天，老翠欲滴，园中有池一泓，种着莲花，红裳翠盖间，游鱼可数。我们坐在知鱼槛阑干边啜茗，大吃四角菱，津津有味。对岸池边有二古树，同根相连，枝叶四布，好似张了一个油碧的天幕；栩园丈说：“这就是连理树；我往年咏之以诗，曾有‘四百年前连理树，夜游应忆旧红妆’之句；因为我看了这一株有情的树，就不知不觉地想起林黛玉、崔莺莺一类的多情女子来了。”诗人们的心，往往会想入非非的。池的一隅，有一株很粗的紫藤，绕在古树上，像龙一般蜿蜒地盘上去，大约也有数百年的高寿了。这一次我到了园中，见那一株连理树矫健如故，那一株老紫藤也依然无恙，那一块美人石也仍在原处，石身苗条，真像一位林黛玉型的美人一样；可是被一株紫藤蒙络着，几乎瞧不出那窈窕的腰身了，还该好好地修剪一下才是。我们建议此园最好回复它的旧面目，可将新堆的假山和圆洞门全部拆除，把蓉湖公园中搁在地上投闲置散的几块大型旧湖石搬运过来，再尽力搜罗一些较小的湖石，请名手重行布置。太湖三万六千顷，汪洋浩瀚，雄壮非常，与杭州西湖的妩媚，各有千秋。无锡的好处就在于有很多地区，都沿着太湖，而太湖之美，无论是春夏秋冬，四季皆同，湖上风光，总使人觉得爽心悦目的。记得某一年游无锡，我在万顷堂上痴望太湖，那时正在清晨，见湖上晓色迷蒙，恰如美人儿棠睡未醒，不由得大呼妙妙；就忙着赶到湖边，买棹往鼋头渚去。诗人荆梦蝶兄，曾以一绝句见赠，有“周郎雅负鸱夷趣，又向湖天泛画桡”之句，竟把我与范大夫相比，无奈并没有西施一舸共载啊。
无锡不但占有了大部分的太湖，而西北更有芙蓉湖，简称蓉湖，因此无锡又有蓉湖之称。有名的黄婆墩，一名小金山，就在蓉湖中，风景不恶，当年所有画舫，也都停泊在蓉湖里的，有女如云，笙歌处处，不减秦淮旧板桥，曾有人咏以诗云：“箫鼓几船唱晚凉，荡桡把舵老徐娘。鬓影黛影依然好，印得蓉湖水亦香。”可是一九四九年以后，大家提倡正当的文娱活动，已没有这种荒唐的行乐了。蓉湖面积较小，而也有清幽的去处，足供流连的；如清代词人杨蓉裳有《洞仙歌》词《忆蓉湖》云：“故乡云水，忆蓉湖佳绝。滑笏波光漾春色。何时归？计准小坐苔矶，衣尘浣，俯照明漪千尺。 昨宵清梦好，柔橹咿哑，惊起轻鸥度环碧。略彴夕阳斜，穿过前湾林影外，烟峦层叠。有三两渔舟傍桃花，看网出银鳞，一罾红雪。”市内旧有蓉湖公园，至今尚在，虽已失修，却也质朴可喜；有好多老树和杜鹃花，都是很难得的。
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渔庄和蠡园已打成一片，修葺一新；一条曲折的长廊，很为可爱，它就把两个园子像连锁一般连起来了。壁上的漏窗，全用瓦片砌成种种图案，各各不同，足见工人的智慧。渔庄方面新建了四座对照的亭子，红红绿绿的，似乎过于富丽；可是两园都借景于太湖，而且是太湖最美的所在，这是可取的。鼋头渚并没多大变动，在无锡园林中仍可独占鳌头，因为它地点选择得特别好，真的是湖山胜处，我最爱灯塔附近伸入水中的一带磐石，坐在那里望湖，真可把俗尘万斛，全都洗尽，而胸襟也顿觉拓宽了。记得对日抗战以前，曾和挚友兰君来此，小坐飞云阁上，记以诗云：“鼋头渚畔小勾留，万顷烟波绿上楼。记得临流曾密誓，五湖一舸作仙俦。”匆匆二十年，此愿难偿，此游也不可复再了。从鼋头渚最高处抄过山后去，据说是充山所在，见有一片松林，全是短小精悍的老松，可作盆栽，直看得我馋涎欲滴。一路过去，又到了一个湖山胜处，俗称陈家花园，据闻先前有粤人陈某在这里惨淡经营，后因抗战作罢，荒废至今。他在山顶造了一亭，三面见湖，又种了不少花树果树，蔚为大观，而布置泉石，也别具匠心，要是好好地整修一下，那么与鼋头渚可以媲美了。“石公山畔此勾留，水国春寒尚似秋。天外有天初泛艇，客中为客怕登楼。烟波浩荡连千里，风物凄清拟十洲。细雨梅花正愁绝，笛声何处起渔讴。” 这一首诗，是七十年前诗人易实父游石公山时所作，而勒石嵌在归云洞石壁上的。太湖三万六千顷，包涵着洞庭东西二山，湖上共有七十二峰，而以西山的石公山为最美。十年以前，我曾和范烟桥、程小青二兄同往一游，饱览了湖山之胜，并且饱啖了枇杷和杨梅，简直是乐而忘返。一九五八年六月中旬，我和几位作家前往东西山去体验生活，第一天游了东山的雨花台、龙头山和紫金庵，第二天便坐汽轮上石公山去。石公山周围约二里，高三十三公尺，在西山东南隅，三面沿湖，山上大半是略带方形的顽石，好像是小朋友们玩的积木一样。我们上了山，向东走了一段路，就瞧见一个洞，洞口刻着“归云洞”三字，高约二丈，相传有石挂在洞口，“如云之方归”，因此得名；中立装金的观音像，面部全已风化，倒像害着皮肤病。再向前进，便是石公禅院，背山面湖，地位极好。进了侧门，走上浮玉堂和翠屏轩，见四面壁上，全是游人所涂的字，前人称为“疥壁”，一些儿不错。禅堂里佛龛尘封，钟鼓无声，堂前有几株石榴，正满开着花，却如火如荼，分外地鲜妍可爱。高处有来鹤亭，传说当年曾有白鹤飞来投宿，不知现在还有鹤飞来吗？这时正下着雨，我们还是鼓勇直上，谁知山径上已有一座亭子塌在那里，拦住了去路，只得废然而下。仍沿着禅院外的山路前去，找到了夕光洞。洞很浅，顶上斜开一罅，可见天日。一边有大石，像倒挂的塔，据说夕阳照射时，光芒夺目。过去不多路，有云梯，石块略作梯级模样，可是不能上去。再进见有一块硕大无朋的石壁，刻着“缥缈云联”四字，原来这就是联云嶂，上有剑楼，高四五丈，中间有一条石弄，旧名风弄穿云涧，俗称一线天，也有些像苏州天平山的一线天，仿佛是神工鬼斧劈开来的。记得当年我和小青曾勇敢地攀登上去，我还作了两首诗，其一是：“奇石劈空惊鬼斧，天开一线叹神工。先登风弄骄风伯，更上层崖叩碧穹。”其二是：“步步艰难步步愁，还须鼓勇莫夷犹。老夫腰脚仍轻健，要到巉岩最上头。”而现在“风弄”似乎已改了样，顶口被野树堵住；我们只得望而却步，再也没有当年的勇气了。
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踏着碎石东下，转到湖边，有一大片平坦的石坡，可容数百人坐卧其上，这就是明月坡。三五月明之夜，可在这里望月，光景十分美妙。我曾有一首诗：“静里惟闻欸乃声，轻舟如在画中行。此心愿似明明月，明月坡前待月明。”远处有明月湾，相传是吴王玩月之所。在明月坡前接近湖水的所在，有奇石两块，像人一般站在那里，俗称“石公石婆”；当年我也胡诌了一首诗赞美它们：“双石差肩临水立，石公耄矣石婆妍。羡他伉俪多情甚，息息相依亿万年。”这一天我们在湖边听风听雨，流连很久，觉得太湖真美，石公山也真美，不愧为西山第一名胜。这正是北国千里冰封、万里雪飘的季节，而在南方广州市、海南岛一带，却到处是青枝绿叶的树和姹紫嫣红的花，好一片阳春烟景。一九六二年春节前夕，到广州、海南岛各地参观访问的人特别的多，而从北方来的客人占一大半，羊城宾馆里，真有冠盖如云之盛。就中有一双俪影却是例外，不从北来而由南来，那就是名演员俞振飞和言慧珠，我刚到广州的第一天，就在电梯上碰到了他们。他乡遇故知，真是喜出望外。在他们的房间中交谈时，见振飞年登花甲，还是濯濯如春日柳，慧珠也是长葆青春，健美如故。可不是吗？人逢喜事精神爽，他们俩越活越年轻了。我对振飞说：“您今年是六十整寿了，为了您培养新生力量，对戏剧事业的贡献，应该好好地祝贺一下。”振飞只是微笑，只是逊谢。我随又问起他们是不是回上海过春节？他说剧团的演员们归心如箭，原想回去过春节的；可是广州市的朋友们挽留他们，要让五羊城中的广大群众，欣赏欣赏他们的艺术。我一听之下，就欢呼起来：“好好！那么我也好在这里一饱眼福耳福了。”谁知他们演出时，我早已飞往海南岛，失去了一个绝好机会，没有领略到百花园中这许多娇葩嫩蕊的色香。
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到得鸟倦知还，我从海南岛飞回来时，已是腊鼓频催的小除夕，当晚就去逛了向往已久的花市，过一过瘾。第二天下午，大家又去逛花市，慧珠正在排戏，振飞欣然同行。他见了那鲜红的碧桃花大为高兴，说活了六十多岁，而除夕看桃花却是第一次。我却挤来挤去贪看南方独有的吊钟花，细细地看它的花蕾、花瓣、花须以至枝条树干，活了六十七岁，也是生平第一次看到吊钟花，真的要向它致以敬礼，说一声“幸会，幸会”哩。在人海花海中挤了一会，却动了诗兴，各赋一绝句，振飞有“国运年年无限好，喜看大地展东风”之句，我也以“愿祝东风齐着力，十分春色十分浓”两句来表示我的欢欣和祝愿。
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这一次上海来的客并不太多，巴金和他的夫人肖珊却带着儿女联袂同行；常在一起的还有一位从西子湖畔来的老作家方令孺。虽一同逛了花市，并没有买花，好在他们各有一枝生花之笔，也就够了。春节后二天，我们一行十余众，同往游览了中国四大名镇之一的佛山市，一踏上市街，见到处洁无纤尘。我们几个抽纸烟的，都提防着不让烟灰掉下来，怕玷污了它。我们随即到那名不副实的“鸡屎巷”里去访问居民的住家，它从小客堂到小厨房，都收拾得一干二净，老老小小，都以讲卫生为光荣，以不讲卫生为耻辱。后来我们又游览了新拓建的祖庙公园，参观了许多精美的盆景，承一位园工递给我一把剪刀，我就给一盆老干茉莉花施了手术。巴金他们见我放手“大动干戈”，都捏一把汗，但我东一剪、西一刀，终于把它美化了。石湾是大名鼎鼎的陶都，非去不可，我旧地重游，在陶瓷研究所中仍然看得津津有味。据说过去工人们对花瓶上的“窑变”没有把握，要碰运气才能制成一二的；而近年来革新了技术，要变就变，“窑变”也乖乖地肯听话了。多承所长的美意，让我们选购了好多件新作品。我看上了一个“孟浩然拥鼻吟诗”的陶像，巴金父子也赞美不绝；可巧一共有两个，就让我们平分了秋色。此外瓶啊、盆啊、坛啊、烟灰缸啊、大大小小的陶像啊，挑选了一大堆，大家满载而归。在春节第五天上，我们先后告别了广州；巴金夫妇转往从化温泉区去小事休养。听说他正在创作一部中篇小说，料知这个有声有色、有血有肉的新的杰作，也许要像婴儿般在温泉上初试啼声了。二十年来，上海南京西路的静安寺一带，商店栉比，车辆辐辏，已变做了沪西区唯一的闹市；而在明末清初之际，却是一个非常清静的所在，现在所有的屋子，都是后来才造的。元明之间，这里更是一个风景区，高人雅士，常来游览，单以静安寺本身而论，就有所谓静安八景：一曰陈桧，二曰涌泉，三曰赤乌碑，四曰虾子禅，五曰讲经台，六曰沪渎垒，七曰芦子渡，八曰绿云洞。在元代时，静安寺的住持法名寿宁，字无为，号一庵，上海人，工吟咏，是一位有名的诗僧。他在寺中治丈室，两旁种满了许多桧竹桐柏，春夏时绿阴森森，因自号绿云洞，连同寺中其他古迹，合为静安八景，求诗人们赐以题咏，成《静安八咏》一卷，大名鼎鼎的杨铁崖给他作序，传诵一时。寿宁自己的八首诗古音古节，作得很不错，中如《涌泉》云：“坤之机兮下旋。涌吾水兮泡漩。一气孔神兮无为自然，吁嗟泉兮何千万年。”《芦子渡》云：“芦瑟瑟兮水溶溶，望美人兮袁之崧。雁呖呖兮心忡忡，眺东城兮江之中，吾将踏苇兮歌清风。”《绿云洞》云：“万樾兮森森，云承宇兮阴阴。洞有屋兮云无心，我坐石兮鼓瑶琴。耶之溪兮华之喦，云之逝兮吾将曷寻。”如今静安八景，除了寺前那个涌泉外，其余都已荡然无存。就这一方涌泉，在一九四九年以前，也好像成为公众的痰盂和垃圾桶，肮脏不堪。近年来再也没有人去作践它，四周又围了起来，对于这前代遗留下来的唯一古迹，保护得也好了。对日抗战期间，我在愚园路田庄曾住过七年，静安寺一带，是我每日必到之地，对它有特殊的好感；而近二年来，每到上海，住在儿子铮的梵王渡路（今万航渡路）寓所中，每天出入，又必须经过这里，可说是与静安寺有缘的了。苏州城东中由吉巷底旧有一所古老的殡舍，名昌善局，也是善堂性质，专给人家寄存死者的棺木的。局中小有园林之胜，有假山，有旱船，有亭榭，有两个池子，一个池子里，有好多只大鼋，颇颇有名，可与阊门外西园的鼋分庭抗礼。池边有三株老柏，近门处有一架紫藤，都是古意盎然，足足有百岁以上的高寿了。一九五三年秋，因那里棺木早已移去，空着没用，决计前去修整一下，我也是参加设计的一员。费了三个月的时间，总算修整得楚楚可观，但还想不出怎样去利用那些从前存放棺木的一间间屋子。一九五四年春，因拙政园中原有的那个动物园地盘太小，大家计上心来，就决定把动物迁到昌善局去，又费了二个多月的时间，鸠工庀材，从事改装，这一个崭新的城东动物园终于在五月一日开幕。一所死气沉沉的殡舍，居然变作生气勃勃的动物游息之场了。这城东动物园一带，有一大片澄清的水，风景清幽，很有水乡风味，入夏特备了几艘游船，供人们打桨游赏，一路可通黄天荡。那边的荷花，也是颇颇有名的，每年六七月间，划着船在莲花莲叶丛中穿来穿去，足供半天的流连。至于通往动物园的街道，也已拓宽，从前的小巷曲曲，已变作大道盘盘了。老友徐卓呆兄，在十一岁至二十岁的十年间，曾在中由吉巷住过，所以对于附近一带的旧时情况，很为熟悉，听他说起来，历历如数家珍。据说动物园西面的徐家弄内，有地名方家场，是明代大忠臣方孝孺的住宅所在，现已成为废墟了。清末的那位能诗能画能作小说的风流和尚苏曼殊，有讲学处设在邻近的传芳巷内，但不知他讲的是文学呢，还是佛学？动物园的西北，有一带绿杨堤岸，对河有一座水阁，六十年前，住着一个姓叶的寡妇，生有二女，能画能琴，一班惨绿少年在河边驰马坠鞭，忙个不了，都是被那二女吸引来的。寡妇的老父祝听桐，精于七弦琴，曾在上海味莼园中当众奏弄，倒也算得是一门风雅了。我们在都市中，夜夜可以看到电灯、日光灯、霓虹灯，偶然也可以看到汽油灯；在农村中，电灯并不普遍，日光灯和霓虹灯更不在话下，所习见的不过是油盏或煤油灯罢了。我所要说的，并不是这些灯，而是用以点缀农历元宵的花灯。元宵，就是农历的正月十五夜，古人又称之为元夕，又因旧俗人家都要在这一夜挂灯，所以也称为灯夕。旧时苏州风俗，十三夜先在厨下挂点花灯，称为点灶灯，一共五夜，到十八日为止，十三夜称为试灯日，十八夜称为收灯日，而以十五夜为正日，家家都点上了花灯，还要敲锣击鼓、打铙钹，热闹非常，称为闹元宵。
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元宵张灯之俗，古已有之。考之旧籍，起于唐代睿宗景云二年。当时定为一夜，即正月十五夜。在安福门外作灯轮，高二十丈，挂点花灯五万盏，命宫女们在灯轮下踏歌。唐玄宗时，于十三夜至十六夜张灯三夜，在上阳宫中起建灯楼二十间，高一百五十尺，规模更为宏大。北宋、南宋时，又将时期延长，先为五夜，后为六夜，到十八夜落灯。到了明太祖朱元璋时，初八夜就开始张灯，在南都搭盖了高高的彩楼，连续十天之久，招徕天下富商都来看灯。北都东华门一带，也有二里长的灯市；在白天，有各地的古玩珍宝和一切日常服用的东西，陈列在市上，入夜就有花灯烟火，照耀通宵，鼓吹杂耍，喧闹达旦，足见当时当权者刮了民脂民膏，穷奢极欲，连元宵看灯也要大大地铺张一下。在清代时，苏州阊门内吴趋坊和皋桥、中市一带，每年腊后春前，就有人把手制的各式花灯，拿到这里来出卖，凡人物、花果、鸟兽等，一应俱全，十分精巧。如刘海戏蟾、西施采莲、渔翁得利、张生跳粉墙等，都是有人物的。花果有莲花、栀子花、绣球花、玉兰花、西瓜、葡萄、石榴、藕、菱，等等。鸟类有孔雀、仙鹤、凤凰、喜鹊、鹦鹉、白鸽，等等。兽类有兔、马、鹿、猴、狮，等等。其他如青蛙、鲤鱼、龙、虾、蟹、走马灯、抛空小球灯、滚地大球灯，等等。因卖灯的人都聚在这里，前后历一月之久，因此称为灯市。大抵到十八夜落灯之后，这灯市也就收歇了。古时苏州制作的花灯，精奇百出，天下闻名。宋代周密《乾淳岁时记》中有云：“灯之品极多，每以苏灯为最，圈片大者，径三四尺，皆五色琉璃所成。山水人物，花竹翎毛，种种奇妙，俨然着色便面也。”那时梅里镇中，也以精制花灯出名，用彩笺刻成细巧的人物，糊在灯上，就叫做梅里灯。又有一种夹纱灯，也用彩纸细刻花鸟虫鱼等等，夹着轻绡，更为精美悦目。自清代以后，苏州的花灯逐渐没落，巧匠难求，由浙江硖石镇、菱湖镇等起而代之，比之苏州旧时的花灯，有过之无不及。一九五六年春，上海博物馆中举行浙江手工艺品展览会，就有四十年前硖石名手所制的两只伞灯，灯上的花样，全用细针一针一针地刺成，十分生动。二十余年前，菱湖灯也曾出现于上海永安公司中，多用纱绢制成，不论花鸟虫鱼，都像真的一样。灯型并不太大，更觉得玲珑可爱，人家纷纷买去作元宵的点缀。不知近年来，硖石、菱湖仍有这种制灯的巧匠没有。抗日战争前，听说北京廊房头条有些灯画的店铺，也有制灯的巧匠。北京的工艺美术品，如象牙雕刻、景泰蓝等，一向以精美驰名国际，近年来又有了很多改进。我想花灯的制作，也不会例外，一定是精益求精的。安徽黄梅戏的传统剧目中，有一出《夫妻观灯》，故事很为简单，说青年农民王小六，在春节的第一个月圆之夜——正月十五，听说城里在举行灯会，就匆匆地赶回家去，要他那个年青的妻子换上了新衣，手拉手地一同赶到城里去看灯。进了城，只见四面八方，人山人海，各种花灯来来往往，丰富多彩。夫妻俩兴高采烈地看着，指指点点，你问我答，直到深夜，才兴尽而归。我很喜爱黄梅戏的唱腔，也特别喜爱这出戏中夫妻二人的表演。他们每看见一种灯，就在一举手，一投足，以及脸色上、眼风里表达出来。我们不必看见灯，就可从他们的表演上看见多种多样的灯了。何况还有那种婉转动听的唱词和说白，加强了这出戏的艺术性。中间还有一个穿插，那个年青的妻子正在看得手舞足蹈之际，忽然向她丈夫撒娇，说是不高兴看了，硬要拉着丈夫回去。王小六不知就里，忙问为的是什么。她娇嗔地回说，因为人家不看灯，却都在看她。那个天真的丈夫就指手划脚地呵斥那些看他妻子的人，说他将来定要报复，也不看灯而看这些人的妻子。这一个穿插，很为有趣，好似一篇平铺直叙的文章里，有了这曲笔，就见得活泼生动了。因此我连带想起了明代诗人王次回的一首《踏灯》诗：“观梅古社暂经过，手整花冠簇闹蛾。说与檀郎应一笑，看侬人比看灯多。”读了这首诗，可知不看灯而看人，倒是实有其事的。清代董舜民有《元夜踏灯》词，咏少妇看灯，写得很美，调寄《御街行》第二体云：“百枝火树千金屧。宝马香尘不绝。飞琼结伴试灯来，忍把檀郎轻别。一回佯怒，一回微笑，小婢扶行怯。 石桥路滑缃钩蹑。向阿母低低说。姮娥此夜悔还无，怕入广寒宫阙。不如归去，难畴畴昔，总是团圆月。”“三尺宣州白狭盆。吴人偏不把、种兰荪。钗松拳石叠成村。茶烟里、浑似冷云昏。 丘壑望中存。依然溪曲折、护柴门。秋霖长为洗苔痕。丹青叟、见也定销魂。”这是清代词人龚翔麟咏苏州盆景的一阕《小重山》词，他说的把一株小松种在一只狭长的宣石盆中，配以拳石，富有画意，成为一个上好的盆景，因此老画师也一见销魂了。盆景是什么？盆景的构成，是将老干或枯干的花树、果树、常绿树、落叶树等一株或二株种在盆子里，抑制它们的发育，不使长得太高太野；一面用人工整修它们的姿态，力求美化，好像把山野间的树木缩小了放在盆里一样。其实盆景大部分也就是利用这种野生的树木作为材料，由于艺术加工而制成的。原来那山野、岩谷间所生长的松、柏、榆、枫、雀梅、米叶、冬青等，经过数十年或数百年之久，枯干虬枝，形成了苍老的姿态，只因一年年常经樵夫砍伐，高度只有一二尺左右。这种矮小而苍老的树木，俗称树桩或老桩头，如果掘来上盆，加以整理，一面修剪，一面扎缚，就可成为盆景。要是单独的一株，那么可以依树身原来的形态，种在深的或浅的方形、圆形以及其他长方形、椭圆形、六角形等陶、瓷或石盆中，树下树旁可适当地安放一二块拳石或石笋。例如一株悬崖形的树木，种在方形或圆形的深盆里，根旁倘有余地，可以插上一根石笋。欹斜形的树木，种在长方形的浅盆中，不论一株、二株，倘觉树下余地太大，显得空虚，那就可以配上一块英石或宣石。像这样的栽种和布置，可称为简单化的盆景。
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那么怎样才是复杂化的盆景呢？这就须更进一步，制作比较细致；倘以绘画作比，等于画一幅山水或一幅园林，又等于在盆子里制成一个山水或园林的模型，成为立体的实物了。农村渔庄，都可用作绝妙的题材，并可在配置的人物上，设法将劳动生产的情况表现出来。凡是山岩、坡滩、岛屿、石壁，等等，都可用安徽沙积石或广东英石、苏州阳山石等作适当的布局。人如渔、樵、耕、读，物如亭、台、楼、阁、桥、船、寺、塔、水车、茆舍，等等，都以广东石湾制的出品最为精致。树木一株、二株，或三五株以至七株、九株，树身不必粗大，务求形态美好，必须有高低、有远近、有疏密，并以叶片细小为必要条件，否则与全景不称。就是人与物配置的远近，也都要有一定的比例；而人与物的形体，为了要与树叶作比例，所以不宜太小，还是要选用较大的较为合适。凡是制作盆景的高手，必须胸有丘壑，腹有诗书，多看古今名画，才能制成一盆富有诗情画意的高品。如果有这么一个水平较高的盆景，供在几案上，朝夕观赏，不知不觉地把一切烦虑完全忘却，仿佛置身于大自然的怀抱里，作神游、作卧游，胸襟为之一畅。苏州的盆景，已有很悠久的历史，可是过去传统的风格，总是把树木扎成屏风式、扭结式、顺风式和六台三托式，等等，加工太多，很不自然；并且千篇一律，也显得呆板而缺少变化。后来由于盆景爱好者观赏的眼光逐渐提高，厌弃旧时那种呆板的风格，于是一般制作盆景的技工，也就推陈出新，提高了艺术水平，在加工整姿时，力求自然。凡是老干或枯干的树木，依据它们原来的形态，栽成种种不同的形式，大致可以分作五种，对于剪片、扎缚等手法，起了显著的变化。一、直干式：主干直立，只有一本的，称为单干式；主干有二本的，称为双干式；不过双干长短不宜相等，应分高低。主干三本或五本的，称为多干式。本数以单数为宜，不宜双数。二、悬崖式：此式俗称“挂口”，有全悬崖、小悬崖、半悬崖各式。全悬崖的主干悬出盆外较长，角度较大，枝叶不在盆面，要用深盆栽种；近根处竖一石笋或瘦长的石峰，这树就好像生长在悬崖峭壁上一样。小悬崖的主干悬出盆外较短，少数枝叶布在盆面，但仍需要深盆。半悬崖的主干只有少许斜出盆外，并不向下悬挂，角度更小，大部分的枝叶都在盆面，所以栽种时可用较浅的盆子。三、合栽式：十多株同一种类的树木，高高低低、疏疏密密地栽在一只浅而狭的长方盆中，树下配以若干块大小高低的英石或宣石，好像是一片山野间的树林，很为自然。四、垂枝式：盆树有枝条太多太长，无法整形的，可将长条一根根屈曲攀扎下来，形成垂柳的模样，这就叫做垂枝式。例如迎春、柽柳、金雀、枸杞、金银花、金茉莉、紫藤花等，枝条又长又多，都可用此式处理。五、附石式：把盆树的根株、根须附着在易于吸水的沙积石上，因吸收石块的水分而生长；或就石块的窟窿中加泥栽种，更为容易。这种附石式的盆景，既可将浅盆用土栽种，也可安放在瓷质或石质的水盆里，盛以清泉，陪以小块雨花石，分外美观总之，盆树的形态变化很多，能够入画的，才可称为上品。枯朽的老干，中空而仍坚实，自觉老气横秋。露根的老干，突起土面，有如龙爪一样。这些树木，都是山野间老树常有的美态，在盆景中也大可增加美观。盆树的整姿定型，一定要有充分的艺术修养和灵巧的手法，才不致因加工过度而成为矫揉造作，落入下乘。春秋佳日，要经常地出外游山玩水，从岩壑、溪滩、山野、村落以及崇山峻岭之间，可以找到不少奇树怪石，都是制作盆景的好材料，要随时随地多多留意，不可轻轻放过。平日还要经常观摩古今名画，可以作为盆景的范本，比自己没根没据想出来的，高明得多。我曾经利用沈周的《鹤听琴图》、唐寅的《蕉石图》、夏昶的《竹趣图》、王烟客的《新蒲寿石图》、齐白石的《独树庵图》等，依样画葫芦似地制成了几个盆景。像这样的取法乎上，不用说是更饶画意了。
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五六竿高高低低的凤尾竹下面，有两头牛和两个小牧童。一个已坐在牛背上了，跷起一只脚叩着牛角；一个正爬上牛背去。活泼泼地，面目如画。在相去不远的所在，有一片小小池塘，塘边有石块、有小草，似乎在等两头牛过去饮水、去吃草。这一幅农家乐图，并不是画家的丹青妙笔，而是我新制的一个盆景。此外，还有“松寿图”“百乐图”“蒲石延年”等盆景，都是祝颂长寿和快乐的。而另一盆“翠竹重重大有年”，在两块一大一小的沙积石上，全种着密密层层的凤尾竹，有两个老翁在茅屋前闲话，似乎在庆幸竹子的丰产。另一盆“蕉下横琴”，一个穿蓝袍的白头老翁，在两株青翠欲滴的芭蕉下趺坐操琴，悠然自得。他老人家也许是敬老院里的一老吧？为了配合西郊公园向负盛名的动物，又准备了六个象形的树桩盆景。一盆黄杨，很像走鹿，另一盆黄杨，却像曲蚓；一盆榆，像跽象；一盆雀梅，像蟠龙；一盆银杏，像游蛇；一盆三角枫，像眠蚕。当然，这所谓象形，不过略略有些儿相像，可当不上惟妙惟肖的评价，如果要把动物院中的象兄鹿弟对照起来，那就差得远了。除了这些盆景之外，又添上一个玩意儿，在一只彩色的荷叶形浅盆里，放着一个红绿相间的长形北瓜和一个圆形的青皮北瓜，再配上一块拳石和几枝紫色的灵芝，这不过是作为一件装饰品，使满台清一色的绿油油盆树之间，增加一些儿色彩，以免单调。这些年来，我的园艺工作以盆景作为重点，因此凡是国内有盆景的地方，总想前去观摩一下，当作我的研究之助。一九五九年初夏，先到了广州，觉得广州的盆景，多半取法自然，自有独到之处。一九六一年春节又在南通看到了优美的盆景。过去我在上海曾经见过不少南通来的盆景，每一盆的树姿，都像是鞠躬如也的谦谦君子，我以为天然的树偶或有之，决不会株株都是这样刻板式的。这次我到了南通之后，先后参观了南郊公园、五山公园、人民公园的许多盆景，大半仍然保持着旧时的风格，不过人民公园的技工，已受了苏州的影响，开始打破陈规了。
感谢南通的友人们特地为我举行了一个小型展览会，把他们手制的几十件盆景，分室陈列，供我观赏。只因有几位作者是画家和诗人，盆面上就有了画意诗情，不同凡俗，使我眼界为之一新。虽然品种不多，而每一株雀舌松、每一株绒针柏、每一株六月雪，都剪裁得楚楚有致，连树边树下的石笋和拳石，也布置得恰到好处。老诗人孙蔚滨先生即席赋诗见赠：“雅望俊才海内倾，晚工园艺寄高情。等闲范水模山意，盆盎收来分外清。”“东风花事到江城（阮亭句），小局呈粗待剪艿。喜迓高轩凭指点，争荣齐放浴朝晴。”我于受宠若惊之余，跟大家交流了经验，以推陈出新互相勖勉，并向旁听的各园技工提供我的一得之见，以为盆景的制作，必须六成自然，四成加工，而在这四成之中，又必须以剪裁占二成半，扎缚占一成半；如果加工过多，那就是矫揉造作，取法乎下了。
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我还得感谢技工朱宝祥，他也鼓足了干劲，匆促地为我展出了他个人的作品，十之七八已改变了旧作风，换上了新面貌。就中一大盆老干的罗汉松，更觉得气势磅礴，睥睨一切，仿佛关西大汉，打铁绰板，唱大江东去，豪放得很！当我在琢磨那首咏“长沙”的《沁园春》词时，一时不知该怎样着手？穷思极想之余，却给我抓住了末一句“浪遏飞舟”四个字，得到了启发，可就联想到那三万六千顷浪遏飞舟的太湖，又联想到那太湖上花果烂漫的洞庭山。当下就把洞庭山作为主题，费了大半天的工夫，好容易总算写成了。上半首写的是山上景物和动态，下半首写的是前几年游山的回忆，抚今思昔，真是别有一番滋味上心头。那时我游的是洞庭西山，恰值是杨梅成熟的季节，因此我那下半首的头二句用“游”字韵和“稠”字韵，凑巧地写成了“年时曾此遨游，恰夏果杨梅万紫稠”。真的，当时在山上所见到的，记忆犹新；在那漫山遍野无数的杨梅树上，密密麻麻地结着无数红红紫紫的杨梅，别说数也数不清，简直连看也看不清了。我跟着那位导游的朋友在山径上走走停停，欣赏着那许多杨梅树上的累累硕果。一路走去，常常听得路旁杨梅树上响起一片清脆的笑声，从密密的绿叶丛中透将出来。原来是山农家的姑娘们正在那里摘取她们劳动的果实；一会儿就三三两两地下了树，把摘到的杨梅从小篮子里放到大竹筐里，用扁担挑着竹筐回家去。我从旁瞧着，觉得这情景倒是挺有诗意的，于是口占了二十八字：“摘来嘉果出深丛，三两吴娃笑语同。拂柳分花归去缓，一肩红紫夕阳中。”所谓“一肩红紫”，当然是指她们肩挑着的满筐杨梅了。杨梅毕竟是果中大家，不同凡品，因此植物学家给它所定的科属，就是杨梅科和杨梅属。李时珍给它释名，说是“其形如水杨子而味似梅，故名”。段氏（公路）《北户录》名朹子；扬州人呼白杨梅为圣僧。以圣僧作为白杨梅的别名，不知是何所取义？我总觉得太怪了。杨梅树是常绿乔木，叶形狭长而尖，很像夹竹桃，可是形态较短而较厚，一簇一簇的光泽可喜。我曾从西山带回来一株矮矮的老树，模样儿很美，栽在盆子里作为盆景，想看它开花结果。可是山野之性，不惯于局处盆子，不满两年，就与世长辞了。杨梅在春天开出黄白小花来，有雌有雄。雄花不能结实，雌花结成小球似的果实，周身是坚硬的小颗粒，到小暑节边成熟。为了种子的不同，因有红、紫、白、黄、浅红等色彩，自以紫、白二种为上品。味儿有酸有甜，但是甜中带一些酸，倒也别有风味，正如宋代诗人方岳咏杨梅诗所说的：“众口但便甜似蜜，宁知奇处是微酸”，可算是知味的了。杨梅的品种，因地而异，据旧籍《群芳谱》载：“杨梅，会稽产者为天下冠；吴中杨梅种类甚多，名大叶者最早熟，味甚佳，次则卞山，本出苕溪，移植光福山中尤胜；又次为青蒂、白蒂及大小松子，此外味皆不及。”不错，我们苏州光福镇原是一个花果之乡，潭东一带的杨梅，至今还是果类中颇颇有名的产品，与色紫而刺圆的洞庭山所产的杨梅，可以分庭抗礼。浙江的杨梅，会稽当然包括在内；大叶青种就产在萧山，果形椭圆，刺尖，作紫色，甘美可口。不可多得的白杨梅，就产在上虞，果形不大，而颗颗扁圆，很为别致。明代诗人瞿佑咏白杨梅诗，曾有“乃祖杨朱族最奇，诸孙清白又分枝。炎风不解消冰骨，寒粟偏能上玉肌”之句，有力地把个“白”字衬托了出来。杨梅供人食用，大概已有一千多年的历史，梁代江淹就有一篇《杨梅赞》：“宝跨荔枝，芳轶木兰。怀蕊挺实，涵黄糅丹。镜日绣壑，照霞绮峦。为我羽翼，委君玉盘。”说它跨荔枝而轶木兰，真是尽其赞之能事了。汉代东方朔作《林邑记》有云：“林邑山杨梅，其大如杯碗。青时极酸，既红，味如崖蜜。以酝酒，号梅香酎，非贵人重客，不得饮之。”杨梅竟大如杯碗，闻所未闻；至于用杨梅酿酒，至今还在流行，并且还有杨梅果汁和杨梅果酱等等，供广大群众享受了。杨梅又有一个别名，叫做“君家果”，据《世说》载：梁国杨氏子修九岁，甚聪慧，孔君平诣其父，父不在，乃呼儿出，为设果，果有杨梅；孔指以示儿曰：“此是君家果。”儿应声答曰：“未闻孔雀是夫子家禽。”自从有了这个故事以后，姓杨的人就是往往跟杨梅认起亲来。例如宋代杨万里诗：“故人解寄吾家果，未变蓬莱阁下香”；明代杨循吉诗：“杨梅本是我家果，归来相对叹先作”，只因这两位诗人都是姓杨，所以就称杨梅为吾家果了。此外，还有把唐明皇的爱宠杨贵妃拉扯在一起的，如宋代方岳的一首咏杨梅诗：“五月梅晴暑正袢，杨家亦有果堪攀。雪融火齐骊珠冷，粟起丹砂鹤顶殷。并与文园消午渴，不禁越女蹙春山。略如荔子仍同姓，直恐前身是阿环。”这位诗人竟把杨梅当作杨玉环的后身，真是想入非非。栽杨梅宜山土，以砂质而混合一些细石子的，最为合适，所以栽在山地上就易于成长，并且最好是在山坡的东面和北面，西、北二面还要有一带常绿树，给它们挡住西北风，才可安稳过冬。栽种和移植时期，宜在农历三四月间，每株距离约二丈见方，不可太近。地形要高，但是地土要湿润，因此梅雨时节，就发育得很快，自有欣欣向荣之象。一到炎夏，烈日整天地晒着，枝叶就容易焦黄，影响了它的发育。新种的苗木，必须注意它的干湿，即使经过二三年，要是遇到天旱，仍须好好浇水，不可懈怠。浇水之外，还要注意施肥，用豆粕、草木灰、人粪尿等和水，先在春初一二月间施一次，到得结了果摘去以后，再施一次。树性较强，病虫害较少；枝条如果并不太密，也就不必常加修剪。三年以来，我们苏州洞庭东西山的杨梅，年年获得大丰收。一九六一年五月下旬，有一位诗友从洞庭山来，说起今年杨梅时节，踏遍了东西二山，他所看到的，正如陆游诗所谓“绿阴翳翳连山市，丹实累累照路隅”，到处是一片丰收景象；千千万万颗的杨梅，仿佛显得分外的鲜艳。
段落25
我家庭园正中偏东一口井的旁边，有一株年过花甲的柿树，高高地挺立着，虬枝粗壮，过于壮夫的臂膀，为了枝条特多，大叶四展，因此布荫很广。到了秋季，柿子由绿转黄，更由黄转为深红，一颗颗鲜艳夺目，真如苏东坡诗所谓“柿叶满庭红颗秋”了。柿是落叶乔木，高可达二三丈。每年春末发叶，作卵形，色淡绿，有毛，叶柄很短。夏初开黄花，花瓣作冠状，有雌性和雄性的区别：雌性的花落后结实，大型而作扁圆形的，叫做铜盆柿；较小而作浑圆形的，叫做金钵柿。我家的那株柿树，就是结的铜盆柿，今秋产量共有五百多只。可惜未成熟时，就被大风吹落了不少，成熟以后，又被白头翁先来尝新，又损失了一部分；然而把剩余的采摘下来，除了分赠亲友外，也尽够我们一家大快朵颐了。在柿子未成熟的时候，皮色尚未转黄，而孩子们食指已动，那么我们就先摘下一二十颗，浸在盛着鸳鸯水（把沸水和冷水混合起来，叫做鸳鸯水）的钵子中，四面用棉絮包裹，过了十天至半月取出，扦了皮吃，甘美爽脆，十分可口。至于皮色转黄而尚未转红的柿子，味涩不堪入口，必须用楝树叶䲴熟，或放在米桶里过几天，也会成熟。柿子成熟之后，又酥又甜，实在是果中俊物。古人对于柿树有很高的评价，说是有七绝，一长寿，二多荫，三无鸟巢，四无虫蛀，五霜叶可玩，六嘉实，七落叶肥大。这七点确是柿树兼而有之，为他树所不及。只因落叶肥大，曾有人利用它来练字。据说唐代郑虔任广文博士，工诗善画，家贫，学书而苦于没有纸张，因慈恩寺有大柿树，柿叶可布满几间屋子，他就借了僧房住下，天天取柿叶来写字，一年间几乎把整株树上的叶片全都写遍了；他的书法终于大有成就，被夸为“郑虔三绝”的一绝。成熟的柿子称为烘柿，晒干而皮上生霜的称为白柿。据李时珍说：烘柿并不是用火烘熟的，只须将青绿的柿子收放在容器中，自然红熟，好像烘过一样，涩味尽去，其甜如蜜。白柿就是生霜的干柿，其法将大柿压扁，日晒夜露，等它干了之后，藏在陶瓮里，到得皮上生了白霜才取出来，这就是柿饼，那白霜称为柿霜。据说患痔病的常吃柿饼，可以轻减；将柿子和米粉作糕饼，可治小儿秋痢，那么食物也可作药用了。一年好景君须记，最是橙黄橘绿时”，读了苏东坡这两句诗，不禁神往于三万六千顷太湖上的洞庭山，又不禁神往于洞庭山的名橘洞庭红。其实橙黄橘绿虽然好看，而一经霜打、满山红酣时，那才真的是一年好景哩。前几天孩子们从市上买来了几斤洞庭橘，争着尝新，皆大欢喜；我见橘色还是绿多红少，以为味儿一定很酸，谁知上口一尝，却没有酸味而有甜味，足见洞庭橘之所以会流芳千古了。我说它流芳千古，倒并非夸张，原来远在唐代，洞庭橘就颇为有名，每年秋收之后，照例要进贡皇家，给独夫去尝新。当时曾有善于趋奉的近臣，写了两篇《洞庭献新橘赋》，歌颂一番。至于诗人们专咏洞庭橘的诗，那就更多了，例如韦应物的“书后欲题三百颗，洞庭须待满林霜”；皮日休的“个个和枝叶捧鲜，彩凝犹带洞庭烟”；顾况的“洞庭橘树笼烟碧，洞庭波月连沙白。待取天公放恩赦，侬家定作湖中客”。这一位诗人，为了热爱洞庭橘，竟想乞得天公恩赦，让他住到太湖上去了。我园东部百花坡下有两株橘树，十余年前从洞庭西山移来，就是著名的洞庭红，可是因为不常施肥，结实不多；而盆植的一株，每年总结十多颗，经霜泛红之后，与绿叶相映，鲜艳可爱。橘树的好处，不但能结美果，而又好在叶片常绿，并且有香，用沸水加糖冲饮，香沁心脾。叶作长卵形，柄上有节，枝上有刺。夏季开白花，每朵五瓣，也带着清香。入秋结实，初绿后黄，经霜渐红，那就完全成熟了。橘皮香更浓郁，当你剥开皮来时，会喷出香雾沾在手指上，老是香喷喷的。中国地大物博，产橘的地方多得很，并且橘的质量也有超过洞庭红的。过去我就爱吃汕头、厦门的大蜜橘，漳州的福橘，新会的广橘，天台山和黄岩的蜜橘；还有一种娇小玲珑的南丰橘，妙在无核，而肉细味甜，清代也是进贡皇家给少数人享受的，而现在早就像洞庭橘一样，颗颗都是归大众享受的了。橘的繁殖方法，以嫁接为主，可用普通的枸橘作为砧木，于农历四月前后施行切接；倘用芽接，那么要在九月初施行。苗木生长很慢，必须在苗圃里培养二三年，才能露地定植。要用黏质壤土，而排水须良好，不需肥土，以免树势陡长，结实推迟。冬季不可施肥，入春施以腐熟的菜粕，帮助它发育成长。橘的全身样样有用，肉多丙种维生素，可浸酒、榨汁、制果酱。橘皮、橘核、橘络都可作药笼中物，有治病救人之功。屈原作《橘颂》，可也颂不胜颂了。晋代大画家顾恺之，每吃甘蔗，往往从蔗尾吃到蔗根，人以为怪，他却说是“渐入佳境”。原来越吃到根，味儿越甜，因此俗谚也有“甘蔗老头甜”之说。
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甘蔗是多年生草本，高达六七尺至一丈外，茎直很像竹子，粗可数寸，每茎五六节、八九节不等。叶狭而尖，形似芦叶，长二三尺，纷披四垂。茎顶抽出花来，花序作圆锥形，要是不到蔗田里去实地观察，是不容易看到的。中国江、浙、闽、广各地都有广大的蔗田，以广东的青皮蔗和红皮蔗为最著，个子粗壮，汁多而味甜。浙江塘栖的青皮蔗，个子较细，而汁特多，最宜于榨浆，过去我们在苏州市上所喝到的蔗浆，全是取给于塘栖甘蔗的。中国在唐代以前，就有喝蔗浆的习惯，蔗浆见于文字的是宋玉的《招魂篇》，所谓“腼鳖炮羔，有柘浆些”，这柘浆就是说的蔗浆。后来历代诗人的诗歌中，咏及蔗浆的，更数见不鲜，例如白居易的“浆甜蔗节调”，陆游的“蔗浆那解破余酲”，庞铸的“蔗蜜浆寒冰皎皎”，顾瑛的“蔗浆玉碗冰泠泠”等；而晋代张协的《都蔗赋》中，曾有“挫斯蔗而疗渴，共漱醴而含蜜，清津滋于紫梨，流液丰于朱橘”之句，对于蔗浆更大加歌颂，说它是超过梨汁和橘汁了。有人以为喝蔗浆虽好，却不如咀嚼蔗肉，其味隽永。但我们上了年纪而齿牙不耐咀嚼的，那么一盏入口，甘美凉爽，觉得比汽水、果露更胜一筹。甘蔗对我们最大的贡献，还不是浆而是糖。考之旧籍，利用甘蔗来制糖，是从唐代开始的。唐太宗派专使到摩揭陀国取熬糖法，就诏令扬州上诸蔗如法榨汁，制成糖后，色味超过西域，然而只是后来的砂糖，并非糖霜。糖霜的制作，大约开始于唐代大历年间，这里有一段神话，可作谈助。据说，那时有一个号称邹和尚的僧人，跨白驴登伞山，结茅住了下来，日常需要盐米薪菜时，总写在纸上，系着钱币，差遣白驴送到市上去。市人知是邹和尚所指使的，就按价将各物挂在鞍上，由它带回山去。有一天，白驴踏坏了山下黄家蔗田中的蔗苗，黄家要和尚赔偿。和尚说：“你不知道用蔗来制成糖霜，利市千倍；我这样启发了你，就作为赔偿可好？”后来试制以后，果然大获其利，从此就流传开去了。王灼作《糖霜谱》，说杜蔗即竹蔗，薄皮绿嫩，味极醇厚，是专门用来制作糖霜的。今年快过完了，我们将怎样来迎接这新的一年来临呢？除了在精神上、思想上要作迎新的准备外，在物质上也有点缀一下的必要。我爱园艺，就得借重那些盆供、瓶供来迎新了。入冬以来，各地的菊花展览会早已结束了，而我家的爱莲堂、紫罗兰盦、寒香阁且住各处，仍还供满着多种多样的盆菊，内中有好多盆经我整理加工以后，尽可维持到元旦；并且还有几盆迟开的黄菊和绿菊，含苞未放，可以参加迎新的行列。晚节黄花，居然也作了迎新清供的生力军，使这新年的元旦，更丰富多彩。
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今冬气候比较温暖，爱莲堂前东面廊下的那株双干老蜡梅，已陆续开放；更有一株盆栽的，磬口素心，也已开了几朵。这株蜡梅虽已年过花甲，而枯干虬枝，还是充满着生命力，今年着花特多，胜于往年，大概它也在作跃进的表示吧。我已准备在元旦那天，把它移到爱莲堂上来作供，预料那时花蕊儿定可齐放，发出那种檀香似的妙香来，我又少不得要吟哦着元人“枝横碧玉天然瘦，蕾破黄金分外香”的诗句儿，和朋友们共同欣赏了。 提起了蜡梅，就自然而然地会想到天竹，它们俩真是像管、鲍一般的好朋友，每逢岁寒时节，人家用作过年的装饰品，相偎相依的，厮守在一起。我小园子里地植的天竹，足有一二百枝，多半是结籽累累，霜降后早就猩红照眼了。盆栽的天竹，共有大小四盆，可是内中三盆所结的籽，都给贪嘴的鸟作了点心；最小的一盆今年得天独厚，三枝上共结了五串籽，衬托着纤小的绿叶，分外可爱。我怕再给鸟儿瞧上了当点心吃，先就抢救了进来；现在正高供在爱莲堂上，等候它的老朋友来作伴。在迎新的行列中，要算它们俩是主角了。常年老例，蜡梅花开放之后，迎春花情不自禁，总是急着要赶上来的。迎春是一种灌木性的植物，每一本可发好多干，而以单干为贵。枝条伸展像绶带模样，所以别称腰金带。花型较小，共有六瓣，色作嫩黄，也有两花叠在一起的，较为名贵。我有好几个盆景，大小不等，有作悬崖形的，有欹斜而吊根的，有种在石上的。悬崖的一本，姿态最美，着花也最多，年年总是独占鳌头，从不使我失望。为了它的许多枝条都纷披四垂，因此种在一只白釉方形的深盆中，高高地供在一个枣木树根几上，自有雍容华贵之致。每年迎新清供，总少不了它，要迎接新年的元旦，当然也非借重它不可。红色是大吉祥的象征，迎新当然要多用红色，单是天竹子还嫌不够，于是准备请两位朋友来作陪客。一位是原产西方的象牙红，又名一品红，它是年年耶稣圣诞节的座上客，因此俗称圣诞花，花色鲜艳，红如火齐，最好是用大型的白色瓷胆瓶来作供，娇滴滴越显红白，生色不少。一位是常住在中国各地高山上的鸟不宿，它与天竹一样，不以花显而是以籽显的。它于初夏开小白花，结籽初作青色，入冬泛红；叶形略似定胜，共有七角，角尖很为尖锐，所以连鸟也不敢投宿，而就获得了“鸟不宿”的名称。我有盆栽的几本，今冬结籽不多，而在园南紫兰台上种着的一大株，却是丰收，全株分作十余片，每片结籽无数，猩红夺目，来宾们见了，都啧啧称赏，叹为观止。我从中剪下了几枝，插在一个圆形的豆青色古瓷盆中，注以清泉，和那盆栽天竹供在一起，相映成趣。除了这些红籽的天竹和鸟不宿外，还有一位佳宾，在迎新清供中崭露头角，那是一株盆栽的橘树，今冬结了十多个橘子，皮色已由绿泛红，一到元旦，就得供在爱莲堂上，与其他供品分庭抗礼。橘的谐音是吉祥的吉，元旦供橘，就是取“吉祥止止”的意义；况且我们的爱国大诗人屈原，曾有《橘颂》之作，早就大加歌颂了。
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此外，如万年青、吉祥草，苏沪人家旧时结婚行聘以至过年贺岁，都要利用它们作为装饰品，就为它们的名称太好之故。再加上苍松、翠柏、绿竹等许多盆景，分外热闹。松与柏向有“松柏长春”的美名，而竹子又有“节节高”的俗称，如今一并请它们来迎接新年，也可算得是善颂善祷的了。迎新清供所需用的瓶花盆树，大致如此，我已做好了准备，兴奋地期待着这幸福的一天。“仙卉发琼英，娟娟不染尘。月明江上望，疑是弄珠人。”这是明朝画家王穀祥的一首题水仙花诗，虽只寥寥二十字，却把它的清姿幽态和高洁的风格，衬托了出来。因为它的芳名中有一个“仙”字，又因它挺立于清泉白石之间，诗人们又尊之为凌波仙子。水仙原产在武当山谷间，士人称为天葱，因它茎干中空如大葱。近年来福建漳州、厦门和江苏崇明都盛产水仙。福建的球根特大，叶片多而着花也多。崇明的则球根很小，好像一个大型的蒜头。水仙花六瓣，作白色，黄色的花心形似酒盏，因有“金盏银台”之称。花以单瓣为贵，可以入画。复瓣的花瓣折皱，不及单瓣挺拔，别名玉玲珑，其实并不玲珑。据唐朝《开元遗事》载：明皇以红水仙十二盆赐虢国夫人。那么水仙也有红色的了，可是谁也没有见过，无从证实。水仙恰在春节边开花，因此人家往往把它跟松、竹、梅同作清供。“岁寒三友”之外，再添一友，自是春节绝妙的点缀。我于水仙开过之后，从不将球根抛弃，先把花叶和根须全部剪去，放在肥料缸中浸过一夜，然后取出晒干，拌上湿润的肥土，挂在通风的地方。到八月里，就种在向阳的墙边篱角，壅以猪窠灰；入冬用白酒糟和水浇灌，自然茂盛，如有霜雪，必须遮盖，那么到了春节，开花有望。古人曾有种水仙诀云：“六月不在土，七月不在房。栽自东篱下，寒花朵朵香。”又旧法在初起叶时，将砖块压住，不使它立时抽出，据说将来开花时花出叶上，自多风致。不管它是否正确，可作参考。水仙花茎如果抽得太长，可剪下来用花瓶和水盘插供，配以绿叶三五片，也很美观。插供时在水中加一些食盐，可以延长观赏的时间。不料凌波仙子，却与梅花有同癖，都是喜欢喝盐汤的。春初我们不论到哪一处的园地里去蹓跶一下，总可以看见篱边阶下或石罅砖隙挺生着一种野草，几乎到处都是，大家对它太熟悉了，一望而知这就是蒲公英。只因它出身太低贱了，虽也会开黄色的花，而《群芳谱》一类花草图籍却藐视它，不给它一个小小的位置，而它不管人家藐视不藐视，还是尽其所能，发挥它治病救人的作用。蒲公英别名很多，共有十多个，因它贴地而生，开出黄花来，又名黄花地丁，南方也有称为黄花郎的。它是多年生草本，叶从根部抽出，有些儿像鸟羽，叶边有大锯齿，齿形向下。早春时节，叶丛中间抽一茎，顶上生花，色作深黄，形如金簪头，因此又称金簪草。花谢飞絮，絮中有籽，这些籽落在哪里，就生在哪里，所以繁殖极快。倘将花茎折断，就有白汁渗出，可治恶疮，涂之即愈，此外，如治乳痈也有特效。据李时珍说，蒲公英还可以制成擦牙乌须还少丹，从前越王曾遇异人得此方，极能固齿牙、壮筋骨、生肾水，凡是年近八十的人服了之后，须牙还黑，齿落更生，少壮的人服了，就可长葆青春，到老不衰。不知现代医学家们有没做过实验？蒲公英不但入药，也可作菜蔬吃。早春叶苗初生，十分鲜嫩，即可尽量采取，上锅煠熟，用盐花、酱、麻油拌和，倒是绝妙的粥菜，并且有消滞健胃的效能。古人曾有“十步之内必有芳草”之说，蒲公英即是一例。当此政府大力提倡中医中药之际，我们该拥护这位无名英雄，使它发挥更大的作用，为人们服务。樱花属蔷薇科的樱属，是落叶乔木，叶作卵形，有尖端，叶边有锯齿，它和樱桃叶很相像，花有单瓣，有复瓣。单瓣五出，也和樱桃花很相像，但是樱桃花会结实，而樱花是不结实的。樱花在日本种类很多，单瓣、复瓣和枝垂性的，足有四五十种，可是大同小异，不易区别。就是颜色也只有红、白、浅红几种，而以绿色复瓣的较为名贵。樱花含蕊未放时，作红色，开放后就淡下来，而远望上去，却是一白如雪了。花梗细长，有细毛，每一茎上总有几朵花簇聚一起，这也像樱桃花一样。木质坚实而细密，可作器具，有许多精美的木质手工艺品，都是利用樱木制成的。单瓣的樱花，培植比较容易，复瓣的难以生长，并且枝条上挺，挤在一起，发展也就难了。入夏枝叶生长很旺，不可修剪，因为修剪之后，失去了蒸发、呼吸等营养作用，而有日就萎缩之虞。繁殖的方法，压条或扦插较为迟缓，还是以嫁接为速成，可用樱桃树作砧木，而将各种樱花强有力的枝条嫁接上去；不过接口要低，那么成活后移植的时候，可将接口埋在土中，接处易于生根，而寿命也可延长了。我家有盆栽的复瓣红樱花二株，作半悬崖形，花时鲜妍可爱，就是用樱桃树嫁接而成的。不知从前是哪个人，主观地妄称牡丹为“花王”、为“富贵花”；其实它本来是我国北方山地上一种野生的落叶灌木，连名称都没有；只因是木本而花似芍药，就被称为“木芍药”。它的历史倒是很古老的，晋朝谢康乐曾说：“永嘉水际竹间多牡丹。”北齐画家杨子华，曾作牡丹图，到了唐朝开元年间，长安牡丹大盛，明皇和杨妃在沉香亭前赏牡丹，李白进《清平调词》三章，要算是牡丹诗中的代表作。到了宋朝，洛阳牡丹甲天下，甚至称为“洛阳花”，品种多至一百七十余，有黄、紫、红、白、绿诸色。黄色的有姚黄、缕金衣等二十四种；紫色的有魏家紫、墨葵等三十种；桃色的有洗妆红、醉西施等九十种；白色的有无瑕玉、万叠雪峰等二十九种；绿色的有欧碧、萼绿华等三种。后来品种一年年地减少，最近山东菏泽县（今荷泽市。——编者注）所产牡丹，不过几十种，但是智慧的花农，正在努力培植新种，将来牡丹的品种一定会大大超过往昔的。牡丹的花型，的确雍容华贵，并且有色有香，可是经不起风雨和烈日的考验。若说它真是花王、是富贵花，那么王运不长而富贵也是短暂的。在旧时代里，只有大户人家才种得起牡丹，而现在各地园林中几乎都有牡丹台，广大群众也可以尽情欣赏了。牡丹喜燥喜凉，秋分后可以移植，根部留一些宿土，而在新土内拌以白蔹末，有杀虫的功效，然后用细土松松地覆满，使根茎直向地下，容易舒展，勿用脚踏筑实。种好之后，浇以河水或雨，再添盖细土，过了三四天再浇水。每本相隔三尺，使叶子相接，而枝条互不摩擦，主要是使它们通风透气，并且不使阳光直射根部。开花结籽之后，收籽晒干，用湿土拌和放在瓦器里。到秋分后，把它们分畦播种，等到来春发了芽，必须加意养护，再隔一年，才可移植。这样的播种比较迟缓，不如分取根上幼苗栽种来得快。夏季浇水宜在清早或傍晚，秋季可隔几天浇一次，冬季不须再浇，而在近根处壅以猪窠灰，再用稻草将枝干全部包裹，等来年大地春回时解开，那么到了谷雨节，就可欣赏古诗人所夸张的“国色天香”了。
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梨花开时，正是春尽江南的季节，看了庭园里梨花如雪，想起古人“梨花院落溶溶月”的诗句，雪白的月色，映照着雪白的花光，这真是人间清绝之景，最足以耐人寻味。可是一想到“雨打梨花深闭门”“夜来风雨送梨花”，那又不免引起不愉快的感觉。梨花属蔷薇科的梨属，是落叶乔木，性喜高燥，不怕寒冷，它有快果、果宗、王乳蜜父等几个别名，都见《本草纲目》。树身高达二三丈，木质坚实，枝叶四张，亭亭如盖。叶作卵形，与杏叶很相像而较大较厚。叶柄根长，叶端是尖的，边缘有小小的锯齿。农历三月开花，同时发叶，花五瓣，作纯白色，也有作红色的，或香或不香，当然是以香为贵。到了夏秋之间，结实已成熟，作球形或卵形，因种类的不同，形态也就有异，而表皮上都有细小的点子，这是个个相同的。我最爱北方的雅梨、莱阳梨、烟台洋梨、北京小白梨，全都甘美可口。南方的梨以砀山为美，甜甜的没有一些酸，可是肉质稍粗，未免美中不足。据说安徽休宁、歙县交界处的一个村子里，出产一种蜜汁梨，果形很小，只像枇杷般大，刚从树上摘下来时，很为坚硬，必须藏在瓦器中密密加封，经过了好多天开封取食，只须在皮上吮吸一下，肉和汁全都入口而化，似是玉液琼浆，美不可言。然而这是几十年前的事，不知现在还有出产否？梨也有野生的，形小而味酸，经过了嫁接，方能改善。嫁接可用野生的杜梨作为砧木，接以名种，有枝接和芽接两种方法。枝接宜在农历三四月间，芽接宜在农历八月上旬和八月下旬。梨于医疗上也有它的特长。梨熬了膏，用开水冲饮，可以止咳。李时珍也说它润肺凉心，消痰降火，解疮酒毒。它的花和叶各有效用，把它的根和皮煎汁洗疮疥，也有效。晋朝孔融让梨，千古传为佳话。据说他四岁时，与他的几个哥哥一同分梨，梨大小不一，而他却独取小的，有人问故，他说：“我是小弟弟，应该取小的。”个人主义者听了这个故事，不知作何感想？在地冻天寒、风吹雪打的日子里，不时听得北方寒潮袭来，气温将降至零下几度的气象报告，就觉得四肢百骸都会发冷。谁不想早早地迎得春从天上来呢？偶然看到了迎春这个花名儿，一颗心就喜滋滋地乐开了，一种轻松愉快之感油然而生。迎春花冒寒开放，迎接春天，总是抢在梅花之先。它是属于木犀科的小乔木，枝条细长而方，略带蔓性，因有“金腰带”的别名。花小，裂为六瓣，作鹅黄色；也有两花交叠的，称为双套，自在单瓣之上。花谢之后，方才发叶，每茎对节生小枝，一枝三叶，很像小椒叶而没有锯齿，作“品”字形，自有韵致。一本多干，倘作盆景，以苍老的单干为贵；清代园艺家曾给与它很高的评价，推为盆景四大家之一。所可惜的，花朵有色无香，枝条也凌乱，整姿不易，未免美中不足。迎春花花期特别持久，前后陆续开花，可达二个月之久；倘在开花前施肥，更可延长它的花期。它是最易伺候的一种好花，接受任何肥料，百无禁忌，即使多些少些，也一概笑纳；不过你要是过分讨好，施以十足的浓粪水，那是受不了的。繁殖的方法，很为容易，因为花条上节节带着小根须，在梅雨期间或是压条，或是剪下来插在肥土中，随插随活，易长易大。要是把长条插在篱角、池边或假山的石罅里，一两年后枝叶纷披，花开如锦，也可以装点寂寞的早春时节。 古人诗词中歌颂迎春的，我最爱宋代韩琦诗：“覆阑纤弱绿条长，带雪冲寒拆嫩黄。迎得春来非自足，百花千卉共芬芳。”又赵师侠《清平乐》词云：“纤秾娇小，也解争春早。占得中央颜色好，装点枝枝新巧。 东皇初到江城，殷勤先去迎春。乞与黄金腰带，压持红紫纷纷。”记得有一次我在胥江钢铁厂看炼钢，见大转炉中喷出千百朵黄澄澄的火花来，纷纷四射，美不可言。当下对同去观光的朋友说：“钢花之美，只有迎春花差可比拟一二。”因此，我家今年春节迎春的盆供，除松、竹、梅若干盆外，并将挑选一盆开花最多的迎春作为主帅，大书特书“钢花的象征”。我的园子里有西府海棠两株，春来着花茂美，而经雨之后，花瓣湿润，似乎分外鲜艳。只恐夜深花睡去，高烧银烛照红妆”，这是苏东坡咏海棠诗中的名句，把海棠的娇柔之态活画了出来。海棠原不止一种，以木本来说，计有西府、垂丝、木瓜、贴梗四种，而以西府为尽态极妍，最配得上这两句诗。清朝的园艺家，也认为海棠以西府为美，而西府之名“紫绵”者更美，因为它的色泽最浓重而花瓣也最多。这名称未之前闻，不知道现在仍还有这个品种否？西府海棠又名海红，属蔷薇科的棠梨类，树身高达一二丈不等，是用梨树嫁接而成。木质坚实而多节，枝密而条畅。花期在农历二三月间，花五瓣，未开时花蕾像胭脂般鲜红，开放后像晓霞般明艳，而色彩似乎淡了一些。花型特大，朵朵上向，三五朵合成一簇，花蒂长约一寸余，作淡紫色，花须也是紫色的，微微透出清香。这是西府的特点，而为他种海棠所不及。到了秋天，结成果实，味酸，大如樱桃；这大概就是所谓海棠果吧？如果不让它结实，花谢后一见有籽，立时剪去，那么明春花更茂美。海棠也可插瓶作供，如用小胆瓶插西府一枝，自觉妖娆有致。据说折枝的根部，可用薄荷包裹，或竟在瓶中满注薄荷水，可以延长花的寿命，让你多看几天，岂不很好？
段落30
农历五月正是含笑花盛放的季节，天天开出许多小白莲似的花朵儿来，似乎含笑向人；一面还散发出香蕉味、酥瓜味的香气，逗人喜爱。广东南海是含笑花的产地，因它开放时并不满开，好像微微含着笑，才得此名。含笑属木兰科，常绿木本，可以盆栽，也可以地植。如果植在向阳的暖地，高达一二丈，叶互生，作椭圆形，有光泽，很像小型的白兰花叶。花单生，一花六瓣，卵形，初开作白色，后渐泛为黄色。花有大、小两种，也有白、紫两色，而紫色的绝少，宋代陆游曾有“日长无奈清愁处，醉里来寻紫笑香”之句。苏州、上海一带，从没有见过紫含笑；大概要寻紫含笑，非到五羊城去不可。关于含笑花的艺文，始于宋代，李纲曾有《含笑花赋》，而明代王佐的一诗：“尧草原能指佞臣，逢花休问笑何人。君看青史千年笑，奚止山花笑一春。”借题发挥，足供吟味。含笑花因为产在南方热地，生性怕冷，所以地植必须向阳，盆栽入冬必须移入温室。它的木质很坚，而根部却多肉根，所以栽在盆子里，应该用较松的砂土或腐殖土，施肥可用人粪尿，但是不可太浓，以免伤根。如果培养得法，那么花开不绝，甚至四季都有，但以初夏为最盛。繁殖的方法，可将新条扦插，生长较慢，倘欲速成，还是用辛夷作砧木，从事嫁接，一二年后，也就大有可观了。我于花木如韩信将兵，多多益善，而含笑却只有一株。可是在我家已有二十余年的历史，干粗如小儿臂，部分已脱皮露骨，五根突起，略如龙爪，作为盆景是够格的了。我把它栽在一只六角形的红砂盆中，作欹斜形，整理它的枝条，使其美化。三年以前，我从小园南部的梅丘上掘了一株直本的金银花，移植在爱莲堂廊下的方砖柱旁。三年来亭亭直上，高达屋檐，枝叶四散低垂，好像是挂着一条条的流苏，年年繁花怒放，幽香四溢。金银花是藤本植物，一名鹭鸶藤，金代诗人段克己曾作长诗歌颂它，有“有藤名鹭鸶，天生非人育。金花间银蕊，翠蔓自成簇”之句，就把金银花这名称点了出来。李时珍说：“三四月开花，长寸许，一蒂两花，二瓣一大一小，如半边状，长蕊。花初开者，蕊瓣俱色白，经二三日则色变黄。新旧相参，黄白相映，故呼金银花，气甚芬芳。”因为它藤性坚韧，专向左缠，自有一定规律，因此又名“左缠藤”。柔蔓四袅，作紫色，叶对生，作卵形，新叶初发时，正面深绿，背面暗红，到了冬间，老叶败而新叶生，并不凋落，因此又名“忍冬”。此外，又有一个别名最为别致，叫做“金钗股”，大概是为了它的花形略似古代妇女插戴的金钗之故。农历四月，枝梢的叶腋间就抽出两个花蕾，也像叶片一样是对生的。初作紫红色，开足后分作大小两瓣，大瓣上端裂而为四，小瓣特小，只等于大瓣的四分之一，花须多为六根，长长地伸出花外。花色由紫红渐渐泛白，再变为黄，发香恬静，使人闻之意远。另一种蔓生于山野间的，花蕾全白，开足时才变作黄色。花落之后，结实如小黑豆，可以播种。我家还有盆栽的金银花老干五六本，都作悬崖形，这几天也正满开着花，迎风送香。我爱竹，爱它的高逸；我爱桃，爱它的鲜艳。夹竹桃花似桃而叶似竹，兼有二美，所以我更爱夹竹桃。夏秋之交，庭园中要是有几丛夹竹桃点缀着，就可以给你饱看红花绿叶，一直看到秋天。夹竹桃属夹竹桃科，是常绿灌木，一丛多干，高达七八尺以至一二丈。据古籍中载：夹竹桃从南方来，名拘那夷，又名拘拿儿；后来流行于福建，称为拘那卫，就是夹竹桃的别名。据近人记录，原产于东印度，有的说是伊朗，不知到底哪个对。夹竹桃叶尖而长，很像竹叶，但不如竹叶之有劲性，入夏就在枝梢生出花来，花瓣多重，有白、黄、桃红诸色，以黄色为最名贵，而以桃红色为最普通，也最鲜艳。花发异香，带着杏仁味。根部有毒，如果折枝作瓶供，须防瓶水含毒，切忌入口。只因它来自热带地区，生性怕冷，所以盆植应于冬季移入温室；不过它的抵抗力相当强，江浙一带尽可地植，只要及时包裹稻草，以免冰冻就得了。它喜燥而恶湿，因此地植必须选定一个向阳而高燥的地方。它也喜肥，任何肥料都很欢迎，肥施得足，来年着花更为茂美。
段落31
前人诗词中，几乎不见有歌颂夹竹桃的，只见宋人梅圣俞有“桃花夭红竹净绿，春风相间连溪谷”句；明人王世懋有“布叶疏疑竹，分花嫩似桃”句；清人叶申芗有《如梦令》一词云：“道是桃花竹倚，道是竹枝桃媚。相并笑东风，别具此君风致。 何似？何似？佳士美人同醉。”那是以佳士比竹，而以美人比桃了。栀子花是一种平凡的花，也是大众所喜爱的花。我在童年时听唱山歌，就有“栀子花开白如银”的句儿。当石榴红酣的时节，那白如银的栀子花也凑起热闹来，双方并列一起，真显得娇红妍白。栀子有木丹、越桃、鲜支几个别名。据李时珍说：卮是酒器，栀子的模样很相像，因以为名。栀子是常绿灌木，小的高不过一二尺，可以栽在盆里；地植的，高度可达丈余。叶片厚实，有光，作椭圆形，终年常绿，老叶萎黄时，新叶已发，花白六出，野生的共只六瓣；有一种花朵较大的荷花栀子，每重六瓣，多至三重，共十八瓣，最为可爱。花香很浓郁，宜远闻，不宜近嗅，因花瓣上常有不少细小的黑虫，易入鼻窍。野生的叫做山栀子，花后结实，初作青色，熟后变黄，中仁作深红色，可作染料，也可入药。福建和安徽都有矮种的栀子，高度不满一尺，花小叶小，我们称之为丁香栀子，可作盆景之用。从前四川有红栀子，初冬开花，色香也与一般栀子不同。据古书中载称：“蜀主孟昶，十月宴于芳林园，赏红栀子花，其花六出而红，清香如梅。”又云：“蜀主甚爱重之，或令写于团扇，或绣入于衣服，或以绢素鹅毛作首饰，谓之红栀子花。”不知四川现在还有否这个种子，如果有的话，那真是珍品了。栀子总是栽在盆里的居多，地植而成林的，可说是绝无仅有；而四川铜梁县东北六十里的白上坪地方所种栀子，多至万株，望如积雪，香闻十里。栀子花的文献，始自齐梁，历史很为悠久，后来杜甫、朱熹，都有题咏。汉代司马相如作《上林赋》，有“鲜支黄砾”句，鲜支就是指栀子。但我最爱宋代女词人朱淑真的一诗：“一根曾寄小峰峦，薝卜香清水影寒。玉质自然无暑意，更宜移就月中看。”我家有几个栀子花盆景，有单瓣六出的山栀子，树干苍老可喜，也有双株合栽的荷花栀子，今夏着花无数，一白如银，供在爱莲堂中，香达户外。梅雨期间，摘取嫩枝，扦插在肥土里，第二年就可开花。在红五月里，各处园林中往往可以看到一树树的红花，鲜艳夺目，就是唐代元稹诗所谓“绿叶裁烟翠，红英动日华”的石榴花了。石榴花期特长，延续一二个月，不足为奇，因此从五月起，尽可开过农历端阳，又成了端阳节的点缀品。石榴属安石榴科，是一种落叶亚乔木，旧有安石榴、渥丹、丹若、天浆、金罂等几个别名，据说这种子还是当初张骞出使西域时带回来的。树身高达一二丈，叶片狭长而有光泽，鲜绿可爱。花有单瓣、有复瓣，色有红、白、黄、粉红，也有红花白边、白花红边的，另有红白相杂的一种，俗称玛瑙石榴，最可爱玩。结实的都为单瓣，复瓣不能结实。中秋节边，果实成熟，外皮自会绽裂，露出一粒粒猩红的籽肉，肉薄而核大，味甜而略略含酸。旧时河阴地方有一异种，结实每颗只有核三十八粒，因名“三十八”，不知现在还有这种籽没有？石榴花的色彩特别鲜艳，红若火齐，所以古来诗文中曾有“榴火”之称，而唐代以下歌颂石榴的诗句，就有不少是以火作比喻的，如“园红榴火炼”“风翻一树火”“火齐满枝烧夜月”“蕊珠如火一时开”“日烘丽萼红萦火”“红玉烧枝拂露华”等，都是写得火辣辣的，强调了它的红艳。元代张弘范也有这么一首《榴花》诗：“猩血谁教染绛囊，绿云堆里润生香。游蜂错认枝头火，忙驾熏风过短墙。”借游蜂来渲染一下，那就更觉得夸张了。看来今年是石榴花的所谓“大年”吧，我的几个中型和小型的石榴盆景，花蕊儿都多于去年，连那株向来不大开花的枯干玛瑙石榴，也先后开了十几朵花，并且开得分外的大，供在爱莲堂上，生色不少。还有一盆单瓣石榴，去年曾结实十五颗，今年也着花累累，竟在百数以外，我料想结实也不会少。此外，几盆小石榴，也在陆续透出花蕾，有的已经开放，作为案头清供，而那盆粉红色的重台石榴，也不甘寂寞，透出了一朵朵的蕊儿，赶上来凑热闹了。看了我家的这些石榴盆景，不由得想起拙政园的那几十盆老干枯干的大石榴来。前三年由洞庭东山移植而来，据说大半是清代乾隆年间的产物，真是石榴中的元老；料知它们老当益壮，今年也要蓬蓬勃勃地开花结实了。我曾经建议把这一大批大石榴，脱盆地栽，适当地集合在东园一角，配以湖石和石笋，布置得像画一样。年年五月，年年开出如火如荼的大红花来，岂不很好？石榴繁殖极易，或取籽播种，或折条扦插，土质要肥，杂以沙砾，随时浇水，不久自然生根发芽。性喜燥怕湿；也喜肥，可施浓粪；在午时灌水或施肥，着花更为茂美。单瓣石榴例可结实，要是种了多年，仍然不见结实，那么可用石块压在根部，使细根扎实，风来树身不致摇动，那么花谢以后，自会结出硕果来了。开到荼蘼花事了，庭园中顿觉寂寞起来，除了蕊珠如火的榴花以外，就要仰仗那五色缤纷的大丽花来点缀仲夏风光了。这时节大丽花正在怒放，各地的每个园林里几乎都可看到，单色的有红、紫、黄、白、桃红、火黄等，复色的有紫白相间和各种洒金等。并且花期很长，从农历五六月可以开到十月，连绵不断，使园林中烂烂漫漫，生色不少。我不禁要把《牡丹亭传奇》的名句改一下来歌颂它们：“原来姹紫嫣红开遍，似这般都付与琅苑瑶圃。”可不是吗？旧时的颓井断垣，现在都已变做挺好的园林了。
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大丽花是从海外来的，所以俗称洋菊；因花形如菊，又称大丽菊。此外，另有一个别名，叫做天竺牡丹，那么又把它比作牡丹了。它是多年生草本，根大成块，活像一只番薯。农历三四月间，根上抽出茎来，矮种的茎高不过二三尺，长种的高至四五尺，茎空如管，茎上发出羽状复生的叶片，片形如蛋。五六月间开始开花，有单瓣的，也有重瓣的，自以重瓣为贵。瓣形略如菊花，有匙形、筒形、舌形之别。如果培养得法，每一朵花轮的直径可以大至一尺外，自有雍容华贵之致。一九五八年夏游庐山，到花径公园去访问老友杨守仁，园中正在举行大丽花展览会，饱看了生平从未见过的许多名种，真是大开眼界，快慰平生。他所培植的共有一百五十余种之多，分作茶花型、菊花型、芍药型、小球型等四个类型，最大的花轮超过一市尺，而最小的却不到一寸半，娇小玲珑，可爱极了。展览会上所陈列的和园地上所种植的，花茎长短适中，而花轮都很硕大，五色缤纷，赏心悦目。花轮直径八寸以上到一市尺的，计有浅黄色的黄金冠、黄钟大吕、黄鹤展翅等三种；深黄色的计有古金殿、金字塔、金碧辉煌三种；血牙色的计有霞辉、霓裳舞、洞庭初夏三种；大红色的计有红穗、霸王、高堂明烛三种；粉红色的计有丽云、大粉桃二种；桃红色的有人面桃花一种；纯白色的有泰山积雪一种；紫色的计有昆仑、老松二种；黑紫色的计有烟涛、黑旋风二种；洒金的计有彩衣、胭脂雪、万紫千红、石破天惊、黄海红雨、乌云盖雪、紫电青霜、金边朱砂、雪地猩猩、桃山挂雪等十种。我先后观赏了三遍，还是舍不得离开，真的是如入宝山，目迷五色。尤其是洒金的最为欣赏，有特大的，也有极小的，单说它们是丰富多彩，还觉不够，以文章来作比，简直是一篇篇清丽的散文。可是杨守仁并不满足于已得的成绩，因它无香，正在设法用桂花来交配，使它有香；因它没有绿色的，正在设法把各种绿色的花来交配，使它变绿。大丽花的繁殖方法，有播籽、扦插、分根三种，以分根为最容易，而播籽和扦插可就难了。土壤和肥料很关重要，土质最好是用腐熟的牛马粪、草木灰等配制而成的腐殖土；肥料以陈宿的人粪水或菜饼水、豆饼水为最妙。要观赏丰富多彩的大丽花，非在这两点上痛下功夫不可。记得三十余年前我在上海工作时，江湾小观园新到一种西方来的好花，花色鲜艳，花形活像兔子的耳朵。当时给它起了个仙客来的名字，一则和它的学名译音相近，二则它的花形像兔子，而中国神话有月宫仙兔之说，那么对它尊为仙客也未为不可。仙客来属樱草科，原产波斯，是多年生的球根草本，球茎多作扁圆形，顶上抽叶，形似心脏，绿色中略带红褐色，叶厚而光滑，背面有毛。在冬春之间，一片片的叶子从花茎中抽出来，顶上就开了花。花只四瓣，有红、白、黑紫、玫瑰紫诸色，花瓣上卷，花心下向，活生生地像是兔耳。另有一种所谓欧洲仙客来，却是在夏秋之间开花的，花作鲜红色，妙在有香，比普通的仙客来更胜一筹。仙客来是热带产物，怕冷，所以要在温室中培植。繁殖的方法，可于秋后采籽，播在肥土或黄沙中，深度在二分左右。播种后浇足了水，等它稍稍干燥时再浇一些，以滋润为度。到了九月里，籽已发芽，不过只抽一叶，至于开花之期，那更遥远得很，急躁的朋友是要等得不耐烦的。如果要想早见花，还是在立秋后用宿球根种在肥土里，放在通风而阳光照射不到的地方，浇一些清水，等它叶芽抽出，渐抽渐长，才可移放到阳光下去，那就要多浇些水，以免干燥。大约在九月下旬就须施肥，并须经常放在温室中，以免霜打。十一月里，花朵儿就开放起来。春节前后，花就结了籽，一到夏季，它停止了发育，叶片也都枯死。从此不必多用水浇，只须将盆子放在地面上，使它吸收地气，一面仍须遮以芦帘，以避阳光，让它充分休息几个月，到了秋风送爽的时候，这才是它重行活跃的季节。记得三十余年前我在上海工作时，江湾小观园新到一种西方来的好花，花色鲜艳，花形活像兔子的耳朵。当时给它起了个仙客来的名字，一则和它的学名译音相近，二则它的花形像兔子，而中国神话有月宫仙兔之说，那么对它尊为仙客也未为不可。仙客来属樱草科，原产波斯，是多年生的球根草本，球茎多作扁圆形，顶上抽叶，形似心脏，绿色中略带红褐色，叶厚而光滑，背面有毛。在冬春之间，一片片的叶子从花茎中抽出来，顶上就开了花。花只四瓣，有红、白、黑紫、玫瑰紫诸色，花瓣上卷，花心下向，活生生地像是兔耳。另有一种所谓欧洲仙客来，却是在夏秋之间开花的，花作鲜红色，妙在有香，比普通的仙客来更胜一筹。仙客来是热带产物，怕冷，所以要在温室中培植。繁殖的方法，可于秋后采籽，播在肥土或黄沙中，深度在二分左右。播种后浇足了水，等它稍稍干燥时再浇一些，以滋润为度。到了九月里，籽已发芽，不过只抽一叶，至于开花之期，那更遥远得很，急躁的朋友是要等得不耐烦的。如果要想早见花，还是在立秋后用宿球根种在肥土里，放在通风而阳光照射不到的地方，浇一些清水，等它叶芽抽出，渐抽渐长，才可移放到阳光下去，那就要多浇些水，以免干燥。大约在九月下旬就须施肥，并须经常放在温室中，以免霜打。十一月里，花朵儿就开放起来。春节前后，花就结了籽，一到夏季，它停止了发育，叶片也都枯死。从此不必多用水浇，只须将盆子放在地面上，使它吸收地气，一面仍须遮以芦帘，以避阳光，让它充分休息几个月，到了秋风送爽的时候，这才是它重行活跃的季节。你如果到苏州网师园中去蹓跶一下，走进一间精室，见中间高挂着一块横额，大书“殿春簃”三字，就知道这一带是栽种芍药的所在。宋人诗云：“过眼一春春又夏，开残芍药更无花。”原来芍药是春花的殿军，殿春之说，就是由此而起的。《本草》说：“芍药，犹绰约也，美好貌，此草花容绰约，故以为名，处处有之，扬州为上。”不错，扬州的芍药，久已名闻天下，苏东坡曾说“扬州芍药为天下冠”；此外，古人诗中，也有“千叶扬州种，春深霸众芳”“扬州帘卷春风里，曾惜名花第一娇”等句，足见扬州的芍药，确是出类拔萃，不同寻常的。前年我到扬州去，听说现存名种只有十多种，而最名贵的“金带围”尚在人间，这是一个可喜的消息。至于整个扬州由花农们培植出来的芍药，共有一千多墩，都已归公家收买，从事繁殖。我因此建议在瘦西湖公园中辟一广大的芍药田，集体栽种，再设法搞些新品种出来，使扬州芍药发扬光大，在现代仍能争取第一，与年来崭露头角的丰台芍药，来一个友谊竞赛。
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T5. Attribution & Citation Alignment
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T5.2 Key-Statement Citation Alignment
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Partial
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对下列摘要句子中的“摘要2”进行引用对齐，从上述原论文中找出最小充分的出处（段落号，例如“段落1”）。仅可使用给定原文中的段落号作为引用标注，不得使用段落内容。先输出“[答案]”标识符，再输出摘要出处。若有不止一个出处，按行输出，每行一个出处，不要输出任何其他内容。
摘要句子：
摘要1：介绍了含笑花、金银花、夹竹桃三种花木。含笑花农历五月盛放，似小白莲、有香气，产自广东南海，属木兰科，怕冷需向阳或温室养护，宋代起有相关艺文，作者养有二十余年的老株作盆景；金银花分藤本与盆栽，农历四月开花，花色由白转黄，有多个别名，作者家有地植及悬崖形盆栽；夹竹桃夏秋开花，花似桃、叶似竹，原产说法不一，有毒性，喜燥喜肥，江浙地植需防冻。
摘要2：介绍了三种春日花木：梨花春尽开如雪，关联相关诗句，有别名与美味品种，梨可止咳还涉 “孔融让梨”；迎春花冒寒报春，易养护、花期长，被作者视作 “钢花的象征”；西府海棠春日花美，合苏轼诗句，插瓶用薄荷水可延花期，清代推崇其 “紫绵” 品种。
摘要3：先介绍甘蔗，它是多年生草本，茎似竹、叶如芦叶，我国多地产甘蔗，广东青皮蔗、红皮蔗及浙江塘栖青皮蔗各有特点；唐代前就有喝蔗浆的习惯，历代文人多有咏及，还提及唐代始用甘蔗制糖，唐太宗曾引入熬糖法，唐代大历年间邹和尚传糖霜制作法，王灼《糖霜谱》提及杜蔗可制糖霜。文末还说年末迎新，除精神思想准备，作者借园艺点缀，家中多处长年供盆菊，部分经整理可维持到元旦，还有迟开黄菊、绿菊待放，为新年增添色彩。
输出示例：
[答案]
段落1
段落2
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对下列摘要句子中的“摘要2”进行引用对齐，从上述原论文中找出最小充分的出处（段落号，例如“段落1”）。仅可使用给定原文中的段落号作为引用标注，不得使用段落内容。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出摘要出处。若有不止一个出处，按行输出，每行一个出处。
摘要句子：
摘要1：介绍了含笑花、金银花、夹竹桃三种花木。含笑花农历五月盛放，似小白莲、有香气，产自广东南海，属木兰科，怕冷需向阳或温室养护，宋代起有相关艺文，作者养有二十余年的老株作盆景；金银花分藤本与盆栽，农历四月开花，花色由白转黄，有多个别名，作者家有地植及悬崖形盆栽；夹竹桃夏秋开花，花似桃、叶似竹，原产说法不一，有毒性，喜燥喜肥，江浙地植需防冻。
摘要2：介绍了三种春日花木：梨花春尽开如雪，关联相关诗句，有别名与美味品种，梨可止咳还涉 “孔融让梨”；迎春花冒寒报春，易养护、花期长，被作者视作 “钢花的象征”；西府海棠春日花美，合苏轼诗句，插瓶用薄荷水可延花期，清代推崇其 “紫绵” 品种。
摘要3：先介绍甘蔗，它是多年生草本，茎似竹、叶如芦叶，我国多地产甘蔗，广东青皮蔗、红皮蔗及浙江塘栖青皮蔗各有特点；唐代前就有喝蔗浆的习惯，历代文人多有咏及，还提及唐代始用甘蔗制糖，唐太宗曾引入熬糖法，唐代大历年间邹和尚传糖霜制作法，王灼《糖霜谱》提及杜蔗可制糖霜。文末还说年末迎新，除精神思想准备，作者借园艺点缀，家中多处长年供盆菊，部分经整理可维持到元旦，还有迟开黄菊、绿菊待放，为新年增添色彩。
输出示例：
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[答案]
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75cb0a5efcd8b8c7990c84994dba3f020308a6a6981193b19d7a9a71b68dac98
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从深度报道到集成报道——去碎片化的主流新闻范式
张立伟
2016年08月21日08:46 来源：人民网-传媒频道
【提要】集成报道是继客观报道、深度报道之后的第三代主流新闻范式，其通过冲突主人公、电影化场景、人性化主题，集成新闻的两大支柱：故事与信息，满足了信息过剩时代的主流需求：去碎片化。深度报道到集成报道的范式转换，将使传统媒体、尤其是纸媒重获竞争优势。
【关键词】去碎片化集成报道深度报道范式转换
一代有一代的主流新闻范式。从全球看，第一代客观报道，第二代深度报道，现在，第三代范式“咣当”一声开向春天——那是集成报道。
新华社首倡集成报道，范本是“地球绿飘带——媒体联合行动大型集成报道”。对其线上线下的集成已有分析，人详我略。我关注其核心文本，获第24届中国新闻奖“文字通讯”特别奖的——《“三北”造林记》，仅“文字内容”的集成，即是去碎片化的新一代主流新闻范式；它对传统媒体、尤其对纸媒重获竞争优势有重要意义。
一、去碎片化的时代需求
从三个无可争辩的事实说起：新媒体崛起极大增加了信息碎片化；信息碎片化基于并加深受众碎片化；两种碎片化交织有不少弊病，如浅尝辄止、信息茧房、群体极化、网络巴尔干化等。三个事实无可争辩，结论就无可争辩：去碎片化已成为新的时代需求，这正是传统媒体的用武之地。
《“三北”造林记》（以下简称林文），是报道中国西北、华北、东北，13个省区市，历经35年，构筑人类历史上最大的人工生态林带——中国三北防护林，其中有多少信息碎片？林文把所有碎片“集成”为一篇报道。
①——集成就是去碎片化。集成者，让孤立元素改变分散状态，构成有机整体也。林文讲了多个造林人的故事，文字内容就有两种集成：一是去信息碎片化的文本集成，二是去受众碎片化的认同集成。受众碎片化也是受众极度细分，要寻找细分受众的最大公约数。而“科学研究证明，比起其他形式，大多数人更善于理解叙事，……当我们读到的是故事，而非罗列的事实时，我们会记得更加准确。如果律师是以叙述的形式展开辩论，那么我们更有可能相信他的论证。”
②——两种集成，文本是基础。多数读者愿意读，像苏丹王被山鲁佐德的故事吸引：然后……然后呢……才有认同的集成。以下分析集成报道文本的三组基因：人物、场景和主题。
二、冲突主人公
林文讲故事，这承接一个新闻传统：非虚构叙事，后者又承接一个更加久远和深厚的文艺传统：叙事，且把这些武器全用来去碎片化。
主人公－困境－解决困境。杰克·哈特说：“故事通常会从一个充满欲望的人物开始，他努力克服成功道路上的各种障碍。实际上，这就是故事的结构……‘主人公－困境－解决困境’”。
③——这结构的核心是冲突，主观欲望与客观环境的冲突，最后主人公战胜困境，或被困境击败，或两者均有改变。林文有多个主人公，其面对共同难题：造林治沙，以这人与环境的冲突为主干，还穿插人与社会机构、人与人、人物内心的冲突。
集成报道的第一个问题：谁的故事？即选择主人公，要找到能推动情节发展的人。我们边欣赏林文，边寻找挑选主人公的普遍规律。
“死也要死在沙窝里！”头扎白羊肚毛巾的壮汉一声大吼——“这事干成，就没白活这一遭！”（主人公是有意志力的人。他要面对一连串障碍不懈搏斗，梅尔·麦基说，“故事就是战争，紧迫而持久。”扶不起的阿斗是缺乏故事的）。
二十多年来，我就干了两件事：让沙丘绿起来，让职工富起来。（主人公必须有自觉的欲望。意志驱动欲望，主人公才有明确目标。目标愈大，风险愈大，障碍也愈大，两边拉锯战牢牢吸引读者：谁会赢？而拉锯战愈多，故事愈长，20年干两件事，这主人公的曲折情节可写本书了）。
大量使用除草剂，树林起来了，鸟却少了。“该如何与自然相处？”他尽量模拟自然生态系统，对沙漠“九治一放”——九分绿化，一分保持原貌。（主人公还可以有自相矛盾的不自觉欲望。这样会出现复杂人物，不自觉欲望一般更强烈、更持久，其根基在主人公内心，它驱动故事，甚至让自觉欲望改道：不单治沙，还要保持原貌，新闻由之更有深度）。
热合曼又拎起小桶，迎着风沙走向他那棵孤独的树：“还有一口气，我就不让你死掉。”（主人公有能力令人信服地追求其欲望对象，他必须至少有一次机会达成欲望，观众没有耐心奉陪一个不可能实现其欲望的主人公）。
栽树累得早产，孩子掉落在沙子上。她剪断脐带，一拍屁股，孩子“哇”的一声哭了出来。“儿啊，你命大，像娘。”（主人公有意志和能力追求其欲望，挑战人类生存状况的极限。芸芸众生平平淡淡过一生，故事不讲述这种中间状态，而要讲述钟摆在两极之间摆动，讲述挑战状态下的人生）。
不敢掠美，赶紧承认，括弧里是好莱坞塑造主人公的经典总结，
④——我只略加阐释。连机器人都可以写新闻了，记者必须去机器人无法涉足的地方：人的情感（欲望、意志、追求、挑战等）领域，从《诗经》、荷马的叙事源头汲取营养，掌握报道主动权，同时支使机器人去干那些自己不想干的脏活、笨活、体力活，把机器人累得瘫倒在地像虫子一样四肢乱晃……
英雄历程与情感认同。约瑟夫·坎贝尔把上述组织故事的方式称为“英雄历程”，贯穿历程的是主人公满足欲望、克服困境的一系列行动，即情节。最初行动通常失败，他重整旗鼓，采取第二个行动，部分赢了，部分又陷入新困境，又有第三个行动……情节每发展一步，主人公面临新危险，也带给受众更多的悬念和紧张。悬念随希望起伏：种树人赢了，希望变强；沙赢了，希望变弱；主人公一次次陷入困境又冲出，造成狄更斯追求的效果：让读者笑，让读者哭，但最重要的——让读者等！等到水落石出才长吁一口气。道格拉斯·洛西科夫说：这种结构能非常有效地向入迷的观众传达价值观，“原因在于，如果我们追随主人公进入险境，随他一步步进入到更大的悬念和焦虑状态，我们会乐意接受他给出的任何解决方案。”
⑤——这触及去碎片化的心理机制：以情感（主人公欲望）为起点，展开跌荡起伏的情节；受众为情节吸引而认同主人公。社会学证明，人是通过他人来定义自己的，当我们认同主人公及其欲望，事实上是在自己的生活欲望喝彩。且听林文的读后感：“要实现梦想，就需要傻子般的执着，傻子般的勇往直前，傻子般的无视痛苦和失败。”——读者认同造林人，也是认同自己；由文本的去碎片化，激发读者认同的去碎片化。
情节为纵、环境为横。情节是纵坐标，环境是横坐标，两者交集就是新闻。环境即同时事件，交集者，助推或冲突也，或兼而有之。
从2007年起，他的树就开始成片成片枯死。林子里从前一锹就能掘出水的地方，现在挖六七米深也不见水。他说，是周边新建的工业园抽干了地下水。
邱建成潸然泪下，仰天呼啸。——谁能救活我的树？谁能救活我的树？
这是要汽车还是要蓝天的冲突！理想的是两者都要，然而，经济衰退，环境意识会受到挑战；环境危机，经济增长会受到质疑；这不是对与错的冲突，而是对与对的深刻冲突！谁说深度报道才有深度，故事就是娱乐？别鹦鹉学舌“娱乐至死”，娱乐的英文词根是“留住”，娱乐业留客有十八般武艺，传统媒体真该虚心学习。尤其是纸媒，放下不读太容易，你又缺乏感官刺激，讲好故事才能留住读者。故事浸入深度，那就是纸媒的擅长了。
纸媒不擅长“数据新闻”，你沉寂无声、又缺活动图像，印刷一堆死数据谁看？尼古拉斯·莱曼说：“叙事和分析的结合，才是做新闻的基本思路。一旦超越了纯粹娱乐性和轰动性的范围，几乎所有新闻都是一种通过故事来解释这个世界的承诺。……我们将世界翻译成故事这种形式……是故事而非数据才是新闻的基本单位。”
⑥——说这话的是哥伦比亚新闻学院院长，看他毫不犹豫把故事与数据相对，我想静静……我说过：别让记者成为数据的生殖器官！数据通过记者“生”更多数据，让世界更加支离破碎、艰深复杂。有两种现实主义：适应现实和驾驭现实。报刊适应现实太多太久，每一个网络热点都学习、都适应，网络指向那里就打向那里，指向自己就打向自己……云计算、大数据、虚拟现实……都东摸西摸，但仍失了读者、失了金钱，成为双失的有识之士。怎么不换一种？明确故事是新闻的细胞，你就能以此为基点去驾驭现实——去碎片化。
三、电影化场景
新华社自述集成报道引入“电影化”理念，一语中的。电影叙事依赖场景切换，戏剧的幕也是场景更替。林文不是倒金字塔结构，也不是华尔街日报叙事体，它是按主题安排场景，全文五节：英雄史诗、壮士悲歌、生命色彩、大漠逐梦、心灵绿洲，就是五幕戏剧，每一幕又有几个小场景。从写作角度看，主要有两种场景：采访现场和素材构建。
采访现场场景。分析场景，往往强调对话、细节，好莱坞说那是“陷阱”，“优秀的写作强调反应”。对话不是对话，是动作，细节亦然。动作／反应，构成一个节拍，节拍是场景的细胞。
⑦——这对记者太有用了，用采访创造节拍吧！每种植物在他嘴里都有昵称。杨柴，叫“沙漠小丫头”；樟子松，叫“美人松”。
怎么都是女孩？我们好奇了。
七尺男儿脸“腾”地一下红了，少女般羞涩，搓着手，嘿嘿笑。
忽然，远处传来一首深沉的歌——
“放牧银河，放牧山林，
心海里澎湃爱恋的激情。
草原，草原，我的情人……”
驻足聆听，猛然间，我们读懂了王有德脸上的沉醉——草原，我的情人。
以上有3个节拍：昵称／好奇；问／羞；笑／歌；每个都有些出乎意料，这是节拍的精髓！一问就答，王说：草原是我的情人……简直给“乏味”下定义。预期反应不值得写场景，上班占人生1/3，电影必须淘汰；新闻也是，上班出毛病、出不伦之恋才是场景。如何出人意料？记者要问一个作家经常问的问题：那一反应的对立面是什么？怀疑表面现象、剥开生活表皮，找出隐藏的、似乎不合逻辑的东西。让·科克说：“创作的精灵即是矛盾的精灵——突破表面现象看到一个未知的现实。”
⑧——素材构建场景。场景不单是好看，更是去碎片化的需要。研究大脑的学者说，人类的“记忆组合经常将图像和情感结合起来。……作家会利用读者的记忆组合，……在读者的脑海中创建出一个世界，并与读者产生情感共鸣。”
⑨——关键是“记忆组合”，场景唤醒读者的记忆组合，就容易认同报道。
场景的内在细胞是节拍，外在框架是尺度。以素材框定场景的时空，让读者有体积、面积、空间和维度的感觉，就容易唤起记忆组合。1941年8月，日机对重庆连续轰炸，报社同仁叹息连连。病中的张季鸾猛然拥被坐起：今天就写文章：题目叫《我们在割稻子》。就说，最近十天敌机连连来袭之际，我们的农人，在万里田畴间，割下了金黄之稻！敌机只能威胁我少数城市，不能奈何我广大农村。况且我少数农村之受害，较之广大农村的割稻收获，数字悬殊，何啻霄壤？让你来看我们割稻子！抗战到今天，割稻子是我们的第一等大事，有了粮食，就能战斗！
⑩——场景一出，天地为之久低昂！张是把场景扩大，放入万里田畴，看远景。有了大尺度远景，小尺度事件（空袭）就被简化或矮化了。反之，要凸显小尺度事件，你就把场景缩小，看特写。如电影镜头的推拉，场景尺度的扩缩是记者最有用的工具之一。
以上两种场景，写作中经常交织。好莱坞说场景是“微故事”，如新闻缺故事，缺乏主人公及冲突，就不要勉强讲故事，写微故事吧。还便于抢时效，突发事件用几个场景迅速报道。张又用于社论，任何新闻体裁：消息、通讯、时评、社论……都可用微故事引人入胜，如同一只翩翩飞过的蝴蝶。穆青曾提倡“视觉新闻”，有人借题胡闹，最新的，是说虚拟现实或增强现实才是大趋势，甚至能拯救纸媒。穆青怕要气得活过来与之辩论，他说的是“文字报道”，要多“写”形象、画面、细节……场景就是正解。记者友好地搂住读者：“让我给你看样东西”——给他一个场景！
范式转换：深度报道到集成报道
集成报道是大家族，亲密新闻、发展报道……是其成员，主人公、场景……是其基因。它能成为新一代主流新闻范式吗？库恩认为：“范式是共有的范例”，一指范本、典范；二指以共同体为载体，代表共同体成员所共有的信念、价值、技术等构成的整体。
⑪——现在范本有了，共同体也有了，不少媒体在做集成报道，还有更多媒体重视讲好中国故事，都有主人公、场景等基因，基因会遗传和变异，必然生出新成员。那么，这家族是不是新一代范式？
范式的胜出。先看上一代范式：深度报道如何胜出。一是优于对手（先前范式）满足时代主流需求。1929年美国大萧条，新闻业不知所措，“除了报道事实，什么都不会，完全不能胜任报道重大新闻事件的任务。”
⑫——然后是法西斯联盟、二战爆发，提供更多背景知识，对纷繁复杂的世界作出解释成了时代的主流需求，聚焦“为什么”的深度报道乘势崛起。
二是媒介能力的扬长避短。深度报道最先来自广播，再进入新闻周刊、地铁小报与揭秘杂志。日报，本是深度报道的理想角色，但受制于“客观性”理念却接受很慢。要到1960年代，美国又一次大动荡：民权运动、越南战争……解释“为什么”又成亟需，日报才加快接受深度报道。而日报全方位接手后，广播、小报等做深度报道就缺乏优势了，深度报道遂成为日报与杂志最擅长的领域。
⑬——转换的先兆。近几年不断有坚守深度报道的呼声，甚至说纸媒优势于是、出路也于是。恐怕这重任它承担不起，因为深度报道已陷入危机。库恩把“反常的增多”作为范式危机的标志，反常即国内一些报社裁撤深度报道部，裁撤并非心血来潮，好多经过市场调研，深度报道在纸上、网上的阅读量都不高，深度报道记者也坦言遇上“瓶颈”。少量可说是“个案”，但天下滔滔。只看美国出版商协会的分支机构：报纸广告局的两次大规模报纸编辑调查：1977年，深度报道的重要性排第3位；2002年，却降到第8位
⑭——友谊的小船说翻就翻！为何翻？范式胜出的因素不再就要衰落。一是满足需求乏力。深度报道是信息短缺时代的产物，它最初来自驻外记者，因尤需解读国外事件。而现在是信息过剩、尤其是碎片化过剩的时代，全球事件的解读网上多的是，几乎有一切能想到的角度和观点。新的时代需求是从情感和理性去碎片化，而传统深度报道“理性过剩、情感不足”，往往缺情感即缺故事，更别说成为刻板模式的深度报道就是长、闷、资料堆积＋数字罗列＋艰涩说理，读者一瞥就弃读，你也成碎片之一。
二是媒介能力劣势。深度报道大盛于报刊，那是纸媒擅长“慢新闻”，但老革命遇到新问题。《中国青年报》特别报道部副主任刘万永说：“深度报道很多东西是伪深度，经常是在接到线索之后要求记者在非常短的时间内把一个复杂的事件用文字呈现出来，这几乎是一个完不成的任务。……现在每个新闻当事人都变成新闻发布者，对纸媒来讲，时间确实是一个非常明显的劣势。要能够有充裕时间进行调查，又能保证新闻的独家性，基本做不到。”
⑮——按传统操作方式这问题无解。但集成报道能解！它共有4层集成：一层，生产流程集成。林文首发于2013-9-25，这之前，先报道数个单独造林人，如殷玉珍，视频采访首发于2013-8-12，张应龙，视频首发于2013-8-14……最后才汇总为林文。这样新老媒体结合，因“人详我略”本文没论述，现只补充，它解决了速度和深度的矛盾。并且，举一反三，这流程“仅仅”纸媒也可用，先发短新闻，然后自然跟进，最后重磅主打。前期报道营造氛围、让读者等，最后以丰盛大餐满足吊起的胃口。二层，文字内容集成，即本文论述的情感和理性去碎片化。
三层，产品呈现集成。扬弃深度报道的刻板呈现：厚重文字加大图片构成版面，闷！林文不是特长大稿的“独头蒜”，它是“组合拳”。主稿＋图片、概况、大事记、访谈、消息、述评、链接等，大部分数据放入“概况”，腾出主稿讲故事，方方面面兼顾。注意这第一层和第三层的集成，都是新老媒体结合，都还有广阔的发展空间。不过，现在重点分析第四层：两大支柱集成。
新闻两大支柱：故事与信息。自有新闻报道，记者普遍认同事实与故事并重，但媒体或学者却偏重其一，故迈克尔·舒德森概括有两种新闻模式：故事与信息。
⑯——故事后来被挤到边缘，那又因范式。客观报道、深度报道相继成范式，库恩说，范式把自然界塞进定制的盒子，看清盒子内的东西，对没装进盒子者视而不见，甚至难以容忍，直言之，范式有盲点。只说中国，学界认为“信息”入新闻定义是大突破，扞格不通，就在信息前叠床架屋加修饰词，而补丁越多，不越显出原定义的缺陷吗？业界把“干货干货”作口头禅，问题是，你那干货有多少人看？干货是注重信息量，让有限版面容纳更多，但网络空间无限，你怎与之拼？手机也多“干货都在这……”“一张图看懂……”，手机看干货更方便，还有音视频刺激，纸媒干货真缺竞争力。信息短缺和过剩是不同的时代，你要思考过剩时代的竞争，不比量多比动心、不比干货比美食——人人会做饭，大厨永远稀缺。
再看美国，也是推崇“只说事实好吗”，1950年代中叶，“官僚化、统一性和‘这不是新闻’规则已经把叙事故事赶出北美新闻报纸。它只在美国文化的几个角落里幸存”，但“火苗一直燃烧，终于在新一代非虚构写作者那里燃起了大火”。我插一句，世界注目的大火是2015年的诺贝尔文学奖，授予白俄罗斯的非虚构作家和记者阿列克谢耶维奇。杰克·哈特大声说：“叙事将回到报纸，那个250年前它曾经如此活跃的地方。”——原文如此，但250年有误。哈特此文说，第一、二次世界大战期间故事仍活跃于报纸，
⑰——那么，故事边缘化约50年。50年不远，鸟倦飞而知还，找回自家宝贝，报纸要唱衰它的唱衰者！
库恩区别发现与发明，发现是“事实的新颖性”，发明是“理论的新颖性”。从东半球到西半球，事实的新颖性如决大川，现亟需理论的新颖性。本文是尝试，并认为从新闻史角度看，最重要的是集成新闻的两大支柱：故事与信息，促成范式转换。
新范式有两个基本特征：有成就而不完善。成就，吸引一批拥护者脱离旧范式；不完善，给拥护者留下众多待解决的难题；
⑱——两者是范式的最大魅力。并且，新闻或有别于科技，牛顿力学成范式，其他力学皆废；而更近于文艺，词兴，仍有人写诗。集成报道再主流，那些不适合讲故事的信息，仍需要客观报道、深度报道，将会三代范式并存。
并存又近于文艺引出有趣问题：唐诗5万首、宋诗25万首、宋词2万多首，但标志一代文学风貌的是唐诗宋词。天才如苏东坡，诗多于词、诗不如词。王国维论诗词兴衰：“盖文体通行既久，染指遂多，自成习套。豪杰之士，亦难于其中自出新意，故遁而作他体，以自解脱。一切文体所以始盛终衰者，皆由于此。”
一句话，范式转换给了豪杰之士拒绝平庸沼泽、跃向星光闪耀杰作的新空间！（作者：张立伟，四川省社科院新闻所研究员原载《新闻记者》2016年7期）
有效畅通“大循环”，建设统一大市场（人民观点）
本报评论部
2025年09月01日06:04|来源：
当今世界，市场是最稀缺的资源。谁拥有高效规范、公平竞争、充分开放的大市场，谁就掌握了发展的主动权。
每秒钟，超143万GB数据在云端传输，近6000个快递进入寄递渠道；每一天，约2.4万户新企业创立，约1200亿元货物在中国和世界间流动……这样超大规模且极具增长潜力的市场，成为我国发展的巨大优势和应对变局的坚实依托。
充分发挥我国超大规模市场优势，一个极为重要的方面就是纵深推进全国统一大市场建设，建成统一开放、竞争有序、制度完备、治理完善的高标准市场体系。
7月1日，习近平总书记主持召开中央财经委员会第六次会议时强调：“建设全国统一大市场是构建新发展格局、推动高质量发展的需要，要认真落实党中央部署，加强协调配合，形成推进合力。”
7月30日召开的中共中央政治局会议指出：“纵深推进全国统一大市场建设，推动市场竞争秩序持续优化。”
落实“五统一、一开放”的基本要求，对各地意味着什么？打破“小循环”、畅通“大循环”，全面推动我国市场由大到强转变，各地政府部门怎么看、怎么干？
不妨从三个维度来把握。
⑲——“统一”意味着“一盘棋”。纵深推进全国统一大市场建设，首先要增强全局意识。从全局谋划一域、以一域服务全局，是治理之道。“领导干部想问题、作决策，一定要对国之大者心中有数，多打大算盘、算大账，少打小算盘、算小账”，习近平总书记的要求，蕴含着建设统一大市场的底层逻辑。加快构建新发展格局，关键就在于经济循环的畅通无阻。畅通国内大循环，必须建设全国统一大市场，促进商品要素资源在更大范围顺畅流动。“抱成团朝着顶层设计的目标一起做”，就需要破除地方保护和市场分割，打通制约经济循环的关键堵点。摒弃“一亩三分地”的思维定式，京津冀“瓣瓣同心”，非首都功能疏解，生物医药等世界级产业集群崛起，“谁都得到自己想要的好东西”。突破“搞自我小循环”的利益藩篱，江西赣州与浙江杭州、福建厦门、广东深圳等地开展跨省远程异地评标合作，确保投标企业“不靠关系拼实力”。找准“人无我有”的特色优势，重庆潼南区，培育汽车后市场，每年拆解10余万辆报废汽车，错位发展出特色产业集群。少打“小算盘”，开放“自留地”，避免同质化，才能有效防止低层次重复建设，服务和融入新发展格局。必须看到，地方保护的背后，有政绩考核的压力、地方财政的焦虑、资源竞争的本能，以及重回粗放发展的冲动。这就需要树立和践行正确政绩观。湖北把优化营商环境纳入各级党政领导班子政绩考核，山东将“市场壁垒清零”纳入地市考核……善用“指挥棒”，明确“红绿灯”，聚焦高质量发展“含金量”，才能引导各级干部在服务大局中扛起重担。立大局意识，破一域之囿。牢牢把握自身在国家发展大局中的战略定位，纵深推进全国统一大市场建设，这是巩固和增强经济向好态势的基础支撑，也是实现党中央战略意图的政治担当。
⑳——市场经济本质上是法治经济。法治化程度越高，市场规则越清晰，经营主体预期就越稳定。纵深推进全国统一大市场建设，增强法治意识是内在要求。
习近平总书记指出：“法治是最好的营商环境。”“统一政府行为尺度”“统一市场监管执法”的要求，为厘清政府与市场边界、根治顽疾开出法治良方。法治竖起“边界线”，“有形之手”既不能“缺位”，也不能“越位”。谋“政策洼地”，可能在招商引资中得一时之利，但会扭曲要素资源配置，造成“内卷式竞争”，影响产业健康发展；打着“追赃挽损”的名义，搞“远洋捕捞”式违规执法，侵害企业家的合法权益，污染营商环境，重创的是政府信誉。纠正这些“越位”的行为，要夯实全国统一大市场的法治基础。从颁布公平竞争审查条例，到发布《全国统一大市场建设指引（试行）》，再到印发《市场准入负面清单（2025年版）》……在法治框架内厘清各类经营主体的权利义务，既是尊重市场经济规律的具体体现，也是提升经济治理能力的必然要求。法治支撑“公平秤”，“有形之手”既要“敢为”，又要“善为”。公平竞争是市场经济的核心。作为“裁判员”，政府要制定规则、细化监管，从而为“运动员”创造公平竞争的环境。上海完善招投标和政府采购全过程监管，在政府采购工程中预留份额专门面向中小企业招标；江苏制定行政处罚免罚、轻罚清单1.4万余项，既纠治同案不同罚，又严防逐利性执法……加快营造市场化、法治化、国际化一流营商环境，擦亮了纵深推进全国统一大市场建设的法治底色。法治是稳定而可靠的力量。以法为指引，以法为保障，明方向、多服务、少打扰，“有形之手”与“无形之手”协同发力，方能形成既“放得活”又“管得住”的经济秩序，助力经营主体放心创业、安心经营、专心发展。
㉑——“孤举者难起，众行者易趋”。让“大市场”成为“强市场”，要涵养共赢意识。有人认为，建设全国统一大市场，打破“隐形围墙”，会牺牲地区利益。事实果真如此吗？促进设施互联、资源共享，全国首个跨省市、跨关区航空前置货站启用，苏州企业可以在“家门口”享受到上海国际航线资源，最多可降低地面物流成本近30%。探索跨省域水权交易，2023年，宁夏以1800万元价格购得四川3年1500万立方米的黄河用水权，前者“远水”解“近渴”，后者“节流”即“开源”。启动跨电网经营区常态化电力交易，度夏期间，南方电网送国家电网的交易电量超20亿千瓦时，闽粤直流首次实现度夏期间全时段200万千瓦满送，错峰互济空间广阔。鲜活的实践，给出有力证明：建设全国统一大市场，是“共同做大蛋糕”。消除“护城河”，抛弃“小算盘”，合作才能共赢。也有人疑惑，建设全国统一大市场，是不是回到计划经济，搞“一刀切”“齐步走”？恰恰相反。党中央鼓励各地各展优势，通过协同发展、错位发展、联动发展，激活面向全球、充分开放、互利互惠的浩荡春水。看长三角一体化。市场准入登记标准、服务规范、信息共享、创新步调实现“四个统一”，截至2023年，长三角区域协同创新指数从2011年的100分增长至267.57分，经济总量超过3000亿元的城市数量比2011年增长了一倍多。再看粤港澳大湾区。强化规则衔接、机制对接，推动基础设施互联互通，推进产业科技互促共强，9个超万亿级战略性产业集群以“研发在深广、制造在珠中惠、服务在港澳”的网络化协作模式提升全链条价值。统一大市场是面向全球、充分开放的大市场。全面落实外商投资准入前国民待遇加负面清单管理制度，今年上半年，我国新设立外商投资企业同比增长11.7%，是跨国投资“理想、安全、有为”的目的地。依托我国超大规模市场优势，增强国内国际两个市场两种资源联动效应，我们定能将中国市场打造成新质生产力的发展高地、吸引全球资源的强大磁场，为全球发展注入正能量和确定性。
人民财评：“人工智能+”，文化出海新“引擎”
任 远
2025年08月29日16:58 | 来源：
㉒——近日，以“数实相融、智赢未来”为主题的第十五届中国国际数字出版博览会在郑州举办。“科技+文化”推动文化出海成为了热议话题，引发了参会者的广泛讨论。
毋庸置疑，数字技术正在重塑我们的生产生活方式。在数字技术浪潮与文化复兴进程深度交织的今天，人工智能正以“新质生产力”的姿态，为中国文化出海开辟新航道。从网络文学到网络影视，从网络游戏到文化遗产保护，“人工智能+”不仅成为文化生产的“加速器”，更成为文化出海的“新引擎”，印证了“文化与科技相生相促”的时代命题。
㉓——文化出海的底气，在于深厚的文化根脉；而AI技术的价值，更在于让“冷门绝学”焕发新生，让文化记忆“活”在当下。例如：腾讯与安阳合作的甲骨文数字化保护项目，通过AI“微痕增强”技术，几千年前的甲骨刻痕清晰可见。依托AI字形匹配，全球最大的甲骨文数据库（143万字“一键查询”）得以建成。曾经“藏在深闺”的甲骨文，如今通过数字展陈、互动游戏等形式走进大众视野，成为年轻人追捧的“文化网红”。这种“科技+考古”的创新，不仅守护了文化根脉，更让传统文化与当代生活“无缝衔接”。
㉔——文化出海的终极目标，是让“中国故事”被世界“听得懂、愿意听、记得住”。 AI技术正成为破解“语言壁垒”“文化隔阂”的关键支点。某平台2024年畅销榜前100作品中，AI翻译作品占比近四成；在网络游戏领域，一体化翻译与智能配音的AI协作平台，本地化效率提升4倍。技术不仅降低了文化输出的“门槛”，更让文化产品具备了“因地制宜”的生命力。借助AI技术，越来越多的中国文化产品，和国际市场无缝衔接，走进更多元、更广阔的市场，让中国文化在当地生根发芽。
㉕——从“AI翻译”让网文“无国界”，到“AI协作”让游戏“接地气”，再到“AI向善”让文化“有温度”，实践证明：文化与科技的融合，不是简单的“技术赋能”，而是通过技术创新激活文化基因、重构传播生态，最终实现文化的“全球表达”与“本土共鸣”。文化广泛出海，要先做到本土文化繁荣，这关键在“人”，AI技术让更多人成为文化的“创作者”与“传播者”。数智赋能，激活了创作的源头活水。在网络文学领域，依托AI技术推出“作家助手”，既能智能润色提升内容质量，又能自动生成情节建议；在数字阅读领域，“AI做书”功能，将AI融入封面制作、三审三校、内容排版等环节；在网络游戏领域，AI队友、AI指挥官等功能上线，用户不仅能体验更流畅的对战，更能获得“有温度的情感陪伴”… …这些改变，让“人人可创”从口号变为现实。当前，全球文化竞争已进入“数字时代”。 中国文化产业要“走出去”，既需要“硬技术”的支撑，更需要“软文化”的内核。我们期待腾讯等科技文化企业以“科技+文化”为双轮驱动，将技术红利转化为发展动能，构建起更具生命力的文化出海体系，让中国故事在全球舞台上“活起来”“火起来”——这不仅是科技的胜利，更是文化的荣光。
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Chinese
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8k
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T6. Aggregation & Clustering
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T6.1 Large-Scale Document Clustering
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Full
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按以下四种类型，对这几篇新闻的段落进行聚类并给出统计数据，在计数时以段落标注序号数量为准，将相关段落按以下四种类别归类，不是所有段落都可归为A、B、C类，其他不属于A、B、C类的，则归到D类，四种类别百分比总和为100%。先输出“[答案]”标识符，再按行输出每类的聚类结果，格式为“类别字母 占比%（四舍五入取整）”，一行一个类别，不要输出任何其他内容。
A：集成报道的去碎片化特征
B：新闻范式历史线索（从深度报道到集成报道）
C：人工智能
D：其他
输出示例：
[答案]
A 13%
B 27%
C 20%
D 40%
|
按以下四种类型，对这几篇新闻的段落进行聚类并给出统计数据，在计数时以段落标注序号数量为准，将相关段落按以下四种类别归类，不是所有段落都可归为A、B、C类，其他不属于A、B、C类的，则归到D类，四种类别百分比总和为100%。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出每类的聚类结果，格式为“类别字母 占比%（四舍五入取整）”，一行一个类别。
A：集成报道的去碎片化特征
B：新闻范式历史线索（从深度报道到集成报道）
C：人工智能
D：其他
输出示例：
<你的思考过程>
[答案]
A 13%
B 27%
C 20%
D 40%
|
[
"A 40%",
"B 32%",
"C 16%",
"D 12%"
] |
Moderate
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ba7501bdafc34b5a799f50f22970bcec2416c1b1a9149760b17fd9299b8feba3
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篇1
2VB编程技术在现代企业管理中的应用
1）VB编程技术在人力资源管理方面的应用。二十一世纪是一个人才竞争的时代，对于一个企业来讲，人力资源的管理是非常有必要的。有效的管理可以更好的来完成日常的工作，还能够更好的搜集员工的信息，对于企业的人事计划提供帮助。VB编程可以首先依照人力资源管理的需求将功能模块大致分为部门编制管理、员工信息管理以及员工信息统计管理。关于人力人员数据库的设计，对于员工信息、考勤信息、部门信息等作出表格结构的设计，然后建立数据库，连接数据库。表1为一般企业人力资源管理的主窗口的菜单明细表。根据主窗体在创建下面的子窗体，从而把员工和部门的全面信息进行收集和分类管理，这样一来更加的方便查找和进行比对，减少了不必要的工作内容。
2）VB编程技术在产品调查管理方面的应用。产品调查是有计划性、针对性的利用科学性的手段对市场营销方面的资料和产品信息资料进行搜集、记录和整理的过程。产品调查可以帮助企业引进先进的技术，提高企业的实力。VB编程技术中的迭代器功能就能够遍历类中的所有的想要的数据结构。类似这样的功能可以大大的减轻我们的工作量。VB编程中的Chart控件中蕴含了80多个2D和3D的图表，可以更好的帮助我们来完成收集到的数据的整合工作，从而使得收集到的产品信息更加直观的表达出来，进而为企业做出重要的决策提供有力的参考。
3）VB编程技术在生产计划管理方面的应用。生产计划的管理包括对于在某一限定的计划时间之内需要完成的产品种类、产品产量、产品质量、整体进度等问题的管理。生产计划安排合理才能够更好的为企业的运转提供良好的发展方向。在生产计划当中的实际利润的计算是必不可少的。可以利用VB程序中的外接程序建立数据库，在数据库中建立进货表格和销售表格，然后分别设计进货和销售窗体来进行相关的记录，最后统筹进行利润统计窗体来进行利润统计。在利润统计中也可以使用VB编程中的多功能计算器，功能更加的全面，能够满足一般计算器不能满足的计算需求，从而帮助我们得到更加准确的产品数据，为产品生产提供有力的保障。
4）VB编程技术在产品加工管理方面的应用。一个企业产品的竞争力就代表中企业的竞争力，产品加工管理是核心环节。在产品加工方面，可以利用VB编程窗体控件来对于产品的各种资料进行整合，使得查询更加便利，对比更加明了。可以利用ComponentOneStudio来进行页面的设计，其中包括了表格、图表、报表等多种控件。ActiveReports的报表设计器与VisualStudio开发环境完美集成，可用来轻松的完成各种复杂的报表，如销售报表、产品列表、送货单等。另外，利用VB编程技术可以设计出多功能的计算器，可以帮助解决在产品加工管理过程中数据处理的问题。VB程序可视化的特点可以使得使用者在屏幕上直接对于有异议的地方进行更改，更加方便快捷。
5）VB编程技术在产品库存管理方面的应用。库存管理在企业管理中是一个很繁琐的过程，是急需快速改善管理手段的部分。VB编程技术可以有效的使得企业库存管理工作向自动化管理迈进。VB程序可以包含一个窗体也可以包含多个窗体，可以把库存管理方面的资料在一个程序当中进行总体的整合。主要设计出五个部分初期设置、货品管理、查询统计、数据报表、系统维护，在对各个部分进行完善和数据的更新，可以使得企业库存管理变得更加的规范和方便。
篇2
2输变电工程技术向智能化的发展趋势
2.1智能化工程管理系统在输变电工程中的应用智能化工程管理信息系统是实现输变电工程管理的智能化、系统化、实时化、统一化管理，它对输变电工程施工的安全性、可靠性，提高工程效率，降低施工成本方面具有重要意义，智能化工程技术管理信息系统能准确计算工程各个环节数据的计算，还能对工程进行智能化管理，比如工器具管理、工程流程管理、工程安全管理、工程进度管理等，可使输变电工程管理高效化、科学化，有利于缩短施工周期，降低造价成本，提高工程安全，保证施工企业综合效益。
2.2智能化工程技术在输变电架线中的应用智能化工程技术是输变电工程今后发展的必然趋势，由于传统的工程技术管理的方式和方法已经不能适应现代化输变电工程建设，时代的发展，要求输变电工程向智能化、集成化和软件化方向发展，这样，很大程度上提高作业效率和施工安全性，实现工程机械智能化，将工程施工作业调整为智能化施工系统，实现智能化作业，开启智能化输变电工程新技能。
2.3智能化工程技术在输变电工程后检测维修中的应用饱和盐密技术是一种智能化工程技术，它利用光传感器对输变电设备绝缘子进行盐密在线实时监测的一种技术，这种监测系统是由传感器对线路的绝缘子污秽现象进行数据采集并传送到控制中心进行数据处理分析，并准确检测绘制污秽区分布图，由维修人员进行现场维护。饱和盐密技术由数据监测终端和数据监测中心两部分组成，是一种智能化大范围远程分布式严密实施监测系统。智能化工程技术节约了大量的人力物力，有效地防止污闪事故的发生，目前该技术已经被各大电力公司广泛采用。
篇3
学术期刊编辑需要及时收集各方面的信息反馈，并且能够有针对性地提出选题，传统的选题策划是一项艰巨的工作，而网络信息的便捷性使学术期刊的选题策划变得十分简单。学术期刊编辑可以根据学术专业的特点精心设计，组织策划和开发选题，不断提高选题的质量和水平。学术期刊的编辑在网络上通过关键词、主题词等的词频搜索、检索可以快速掌握选题在国内外其它刊物上的发表信息，同时编辑还可以通过其它刊物的文献资料掌握选题的研究价值和研究方向。编辑部通过策划、比较、分析和选题确定，及时评价选题的科学性和研究价值，编辑部通过网络调查使读者参与网络互动，分析市场需求，进而有针对性地制定组稿计划和编辑方案。在网络化的帮助下，学术期刊可以将组稿计划及时在网络上公布，给期刊读者更多的信息和透明度。编辑部通过在线交流和电子邮件与专业学术条件符合要求的专家学者约稿或组稿，能够提高组稿效率。通过网络技术，编辑部既能快速、高效地组稿、约稿，同时读者又能够参与编辑过程，有利于读者群体的扩大。
2.2审稿方面的创新
网络时代的背景下，学术期刊的编辑通过网络数据库可以方便地查阅各种科技文献资料，同时利用数据库的高速运算机制提供的检索功能，通过关键词、主题、期刊来源、参考文献等条件进行定向检索，进而审查稿件的学术价值、论文水平和创新之处，提高了审稿的工作效率和稿件质量。同时数据库上提供的强大的抄袭和复制率查询使稿件的可信度和防止稿件抄袭有了极大的提高，有利于提高稿件整体质量，避免学术剽窃。针对学术期刊的复审和终审，编辑部无需再用传统的会议或当面审核的方式，通过网络交流和在线审稿的方式，网上优选的专家或审稿人，即使身处异地，同样可以审稿，编辑部在网络上综合专家或审稿人的意见。网络审稿的方式节省了审稿时间，降低了审稿费用，并通过优秀专家和审稿人提高了审稿质量，缩短了审稿周期。
传统的稿件收集过程中，因为人为录入的误差导致稿件的错误率增加是编辑过程中比较常见的，但在网络环境下，通过网络交稿的方式大大缩短了排版时间，保证了稿件的准确性，降低了稿件的错误率。学术期刊编辑在电脑上通过电子排版系统对稿件进行编排处理的同时，可以随时根据版式要求和其它编辑的意见进行及时修改。鉴于学术期刊的特点，其专业性较强、术语较多、专业符号较多，运用计算机编辑软件中的专门模块可以方便地查询常见错误和编辑专业术语中的错误。对于准备采用的稿件，编辑人员在电脑上进行编辑的同时还可以将编辑和修改痕迹保留下来，方便审核或主编审阅。对于包含较为复杂的图表、公式等稿件，编辑人员可以将其通过网络交给专业技术编辑或美编对图表、图片进行编辑排版。校对人员通过专业软件进行机上校对，或通过联网进行交叉校对，提高了稿件的准确率，缩短了校对时间。
2.4出版方面的创新
普通的期刊编辑部可以加入专业网站的大型网络期刊数据库，规模较大或影响力较大的期刊或编辑部可以根据自身特点和要求建立自主网站，实现期刊网络化出版。网络化的出版方式提高了学术期刊的出版效率，扩大了读者群，打破了时间和空间的限制，使读者能够及时、方便、快捷地查阅学术期刊和利用学术期刊。网络出版的方式提高了学术信息传播的时效性，增加了学术信息的影响力，同时通过网站数据库的查阅记录和引用记录等信息使编辑可以获得文稿查阅量和引用量等信息，同时许多期刊社或编辑部自建的网站通过建立论坛或交流空间等方式增加了读者与编辑互动交流的空间，使编辑过程体现出更多的互动性和受众参与性。
3.1编辑部的办公和管理要实现网络化
编辑部的办公和管理要充分实现网络化和智能化。通过网络化管理，编辑部通过网络调查和网络征求专业审稿人和专家的意见、建议等有利于提高期刊的出版质量，及时跟进读者需要，更新栏目设置、版面设计和刊物特色，以满足读者群体的需求和社会的需要。编辑部通过网络化办公和智能化管理等手段，将编辑部的成本预算、发行管理、行政、财务等方面管理智能化、系统化，降低了编辑的工作量，提高了编辑的工作效率。
3.2编辑思维模式和工作方式需变革
在信息化的背景下，学术期刊的编辑应当具备创新意识和时代紧迫感，要紧跟时代潮流，解放思想，及时转变编辑出版的思维模式。学术期刊的编辑不仅要具备数字化意识，还要具备开拓精神，敢于开阔传统视野，理性思维处理稿件。学术期刊的编辑还要具备组织协调能力，能正确处理各方的利益关系，在谨慎处理各个稿件的同时，能同时兼顾经济效益和期刊的质量，保证社会效益是首要位置，辅之经济效益。此外，学术期刊的编辑要具备一定的计算式操作技术，能熟练进行文字处理、排版编辑、图形处理，并能运用相关软件辅助编辑，同时，还要掌握一定的网络基本知识并能有效运用，将全新的网络稿件处理工作方式应用在学术期刊编辑工作中。
在信息化高度发达的今天，学术期刊出版要在日趋激烈的竞争中占有一席之地，要求学术期刊的编辑应当具备全面的知识和素养，在精通业务知识的基础上，认真学习新的科技手段和网络技术，针对期刊的专业要求，以相应的基础知识做支撑，同时面对日新月异的网络技术为基础的学术期刊编辑软件和网络化的编辑流程，要及时更新自己的知识，要全面系统地掌握网络化的期刊编辑流程。在信息技术时代要充分利用网络资源，全面掌握文稿的背景、内容，国内外的研究现状，文稿的研究层次，要根据自身定位合理编辑出版。同时学术期刊编辑要要根据行业的动态和走向用超前的战略思想和行动来武装自己的知识，更新自身编辑理念，不断提高自身业务水平和综合素质，全面适应网络时代的学术期刊编辑环境。
篇4
在煤矿机电工程中，变频技术在很多机电设备中都得到了应用，变频技术不但能够使得电机的工作状态更加容易调节，而且通过现代控制技术能够对机电设备进行远程、智能的操作。
2.1变频技术在提升机中的应用实践
在现代煤矿机电工程中，煤矿提升设备的主要认为就是将煤矿中的矿石与生产工作人员运送到预先设置的地点，可以看到煤矿提升设备在煤矿的生产中作用无法被替代。但是煤矿由于生产的需要，提升设备需要频繁的调整期提升的速度，并且常常需要关闭与启动。传统的对煤矿提升设备进行调速需要将金属电阻装入提升设备的电机控制电路之中，从而可以不断的调整电阻的大小来控制电机的运转。传统的提升设备的调速装置需要消耗大量的能源，并会产生大量不需要的热量。而且传统的提升设备的调速装置的调速范围非常有限，调节精度也不高。特别是在控制提升设备的下降的时候还需要使用制动装置控制速度，所以对于电力资源的浪费是很大的，也会对煤矿生产过程造成隐患。而将变频技术应用在煤矿提升设备之中，可以从根本上解决传统的变速装置所带来的问题，不仅仅使得设备的运行更加平稳，而且使得生产过程更加安全。变频技术的使用可以减少设备中继电器的使用数量，减少电路的维护费用。而变频技术的控制精度相对于传统的速度调节装置也具有更大的优势，可以通过修改电路变成命令来实现对煤矿提升设备的系统功能的改变。事实上，通过变频技术改变了提升设备的通过机械摩擦控制下降速度的减速方式，降低了设备磨损，延长了机电设备的使用寿命。
2.2变频技术在皮带设备中的应用
在煤矿企业的生产作业的机电工程中，皮带设备与提升设备相比需要更加的功率。皮带设备的工作原理是通过点击转动牵动皮带的运转，从而将皮带上的矿石输送到设备的地点。皮带设备的工作原理要求其的运作必须通过轮毂与皮带的相互摩擦而实现。皮带设备的运作需要降到的启动电流，目前我国国内大部分的煤炭企业使用液力耦合设备来实现皮带设备的软启动，在软启动的时候启动电流非常大，不仅仅使得电路中电压产生较大的起伏，而且会加速皮带设备中零件的损坏。液力耦合设备在运作过程中会产生大量热量，使得相关设备的内部温度上升，最终导致设备机械磨损增加，最终也会造成设备运行的安全隐患。将变频技术引入到皮带设备中，不但能够取代液力耦合设备实现皮带设备的软启动，而且使得皮带设备在运行和启动、停止过程中更加稳定，并且使得皮带设备的能源利用率大大提高。
2.3变频技术在通风设备中的应用
在煤矿企业的生产作业的机电工程中，通风设备由于其自身的作用在煤矿企业的所有机电设备中占据了非常重要的位置。为了保证生产现场的空气流通，需要通风设备一致工作。但是随着开采深度的增加，对于风压的要求也越来越高，通风设备的功率也会随之增加。这种情况下，要求通风设备应该具有随着开采深度的变化而不断的变化。并且通风设备在启动的时候，需要较大的启动电流。而是用变频技术之后可以对通风设备转动速度进行有效的控制，从而极大的减少能源的消耗，并增加通风设备的使用寿命。
篇5
1.1.1挂网喷播防护
挂网喷播主要应用于土质边坡及沙石土混合型边坡，特别是土质贫瘠的较矮路堑边坡和土石混填的路基边坡，一般不超过1：1.25，常用坡度1：1.5，试验证明：当坡面角为45°时，如果并且在草皮形成之前，对于挂网喷播(平面网)防护来说，一般的挂网植草垫的同土阻滞率约为74%；而挂网植草垫固土阻滞率在坡面角为60°的情况下一般都为0%，这样的情况下，同土作用就已经失去了。所以当边坡坡面角较大时，不宜使用挂网喷播防护。
1.1.2框架锚杆防护
对于锚杆混凝土框架植草防护来说，一般的适用情况如下，包括岩石路堑边坡、以及边坡高度较大、稳定性较差的土质边坡。这样的情况下，非预应力的系统锚杆往往采用于风化破碎的岩石路堑边坡，以及坡体中无不良结构面的情况下；预应力锚索则往往采用于滑动面（或者破坏面）的土质边坡和岩石路堑边坡，以及边坡中存在不良结构面的情况下。
1.2改善方案
1.2.1K58+500边坡
这里考虑到K58+500处风化土质边坡的情况，表1为两种组合防护方案(，这些都是在工程实际情况的实地考察分析的基础上得到的，唯一目的就是要在保证边坡稳定性基础上，还能满足景观观察的需要。
1K58+500和K62+500处边坡防护
1.1原方案分析
挂网喷播防护和框架锚杆防护(锚杆混凝土框架+混凝土空心块+喷播植草)为两边坡处的原方案。
1.1.1挂网喷播防护
挂网喷播主要应用于土质边坡及沙石土混合型边坡，特别是土质贫瘠的较矮路堑边坡和土石混填的路基边坡，一般不超过1：1.25，常用坡度1：1.5，试验证明：当坡面角为45°时，如果并且在草皮形成之前，对于挂网喷播(平面网)防护来说，一般的挂网植草垫的同土阻滞率约为74%；而挂网植草垫固土阻滞率在坡面角为60°的情况下一般都为0%，这样的情况下，同土作用就已经失去了。所以当边坡坡面角较大时，不宜使用挂网喷播防护。
1.1.2框架锚杆防护
对于锚杆混凝土框架植草防护来说，一般的适用情况如下，包括岩石路堑边坡、以及边坡高度较大、稳定性较差的土质边坡。这样的情况下，非预应力的系统锚杆往往采用于风化破碎的岩石路堑边坡，以及坡体中无不良结构面的情况下；预应力锚索则往往采用于滑动面（或者破坏面）的土质边坡和岩石路堑边坡，以及边坡中存在不良结构面的情况下。
1.2改善方案
1.2.1K58+500边坡
这里考虑到K58+500处风化土质边坡的情况，表1为两种组合防护方案(，这些都是在工程实际情况的实地考察分析的基础上得到的，唯一目的就是要在保证边坡稳定性基础上，还能满足景观观察的需要。
对于一级碎落台自然式栽植观赏性来说，这包括有灌木及地被植物黑心菊等；而对于二级碎落台以上自然式来说，则一般应该栽植适应性较强的灌木以及种植迎春、蔷薇等垂枝植物，还有就是，应该对于在碎落台上下部栽植地锦问题进行注意。刺槐、山杨、旱柳、沙棘、杏、云杉弹子松、榆树、刺槐一般往往是挡墙端头进行遮挡裁植的树种。
2其他土质边坡防护分析及改善方案
关于植物防护和工程防护相结合的综合方式，可以根据边坡的具体情况，选用土质边坡的防护形式。
2.1植草防护
为了达到减少坡面土体冲刷，降低雨水，从而保证公路绿化效果的目的，在实际调查基础上，采用的植草防护措施主要是利用配合混凝土预制块或块片石的综合防护技术。对于观赏性要求较高的路段，包括服务区站点附近的公路边坡或者立交区匝道高边坡等特殊要求的边坡，这种植草综合防护尤其适用。
2.2骨架植物防护
作为一种常用的一种综台防护方法的骨架植物防护，主要是利用在框内进行种草、铺草皮的防护，并且一般来说框格是由混凝土、浆砌块(片)石等骨架做成的。
对于护坡植物来说，主要有以下几种：草地早熟禾、紫羊茅、紫花苜蓿、无芒雀麦、冰草、小冠花等等，而花卉为地被菊或当地的野花。花灌本为丁香、连翘等。
对于植生带来说，一般具有、种子肥料不易移动以及播种施肥均匀特点,也就是说种子、肥料、无纺布综合为一体，这样对于运输和现场施工情况，采用捆卷包装更为方便。
3叠拱及窗式防护方案分析及改善方案
3.1叠拱防护
这里采用K107+000~K128+120为例子进行说明，其中，草灌结合普通喷播对于叠拱边坡二层以下(含两层)是原来方案的设计，普通喷播主要对象为灌木为主。但是在实际过程中，叠拱防护则是由于某些地方的地下水过大而冲毁。所以，改善方案则为利用叠拱防护方式而进行的二次修补，这样就可以进行相关的绿化防护工作，达到，稳同边坡、上侧排水功能；同时，爬藤植物应该在叠拱边缘种植，还应该遮挡圬工材料。
3.2窗式防护
植生袋绿化方案原来为窗式护面墙，这里，一根锚杆固定每个植生袋，同时直径为8mm的锚杆的深度为20~30cm，地锦一般在沿窗式护面墙内侧栽植。存在的问题则是视觉效果得到影响，主要是因为窗式护面墙圬工面太大，同时也说明了窗室内填土不够。改善方案则是应该在栽种攀爬植物以遮盖墙体圬工的同时，当然范围是在在修建的窗式护面墙窗室内，还应该对于未施工的窗式护面墙边坡高度不大的情况下，修改成拱式或其他少圬工护面形式。
4其他石质边坡防护分析及改善方案
篇6
1.3为排出墙后积水，应设置泄水孔。泄水孔采用φ80PVC管，水平间距2m，倾角不小于5％，进入填土侧管壁带孔，外包滤网。上下左右交错设置，最下一排泄水孔的出水口应高出地面≥200mm。
1.4墙顶用水泥砂浆抹成5％外斜护顶，厚度不小于30mm；挡土墙背侧应设置200mm～400mm的反滤层，泄水孔附近1m范围内应加厚至400mm～600mm。回填土为碎石土或砂性土时，应在最低排泄水孔下部，夯填至少300mm厚的粘土隔水层。1.5挡土墙沉降缝每15m~20m设置一道，缝宽20~30mm，缝中填沥青麻筋、沥青木板或其他有弹性的防水材料，沿内、外、顶三方填塞，深度不小于150mm。在挡土墙拐角处，应适当加强构造措施。基底力求粗糙，对粘性土地基和基底潮湿时，应夯填50mm厚砂石垫层。在施工前要做好地面排水工作，保持边坡坡面干燥。
2锚杆施工技术的应用
2.1边坡加固成孔采用干钻成孔，锚杆成孔直径为φ130mm。钻孔要求孔壁平直，终孔后要求清净孔内残渣。钻孔倾角偏差不超过±2°。钻进过程中应对每孔地层变化、进尺速度、地下水情况以及一些特殊情况做现场记录。若遇塌孔，应立即停钻，进行固壁灌浆处理，注浆36h后重新钻进。
2.2锚杆制作及安装锚杆杆体采用φ25钢筋。为确保钢筋在孔洞中定位准确，每隔2m设置一个定位支架，锚孔定位力求准确，偏差不超过±10mm。锚杆制作好后，应尽快使用，不宜长期存放。安装采用人工推入法进行，安装时，应尽量保持平顺，下到孔底时应适当上提，以避免压弯，对于边坡下部锚杆因靠近房屋难以入孔，可分段下放在孔口处焊接。
2.3注浆要求在施工中注浆材料应选用水泥标号PC32.5R的合格材料，施工中注浆压力一般应为0.5～1.5MPa，在配置时水泥砂浆水灰比为0.4～0.5，灰砂比为3:1，特别要注意的是浆体强度不能低于M30。而且在施工注浆时要把注浆管置入离孔底，且不大于300mm。
2.4格构梁施工一般采用现浇施工，在施工前应该先进行锚杆、锚索施工，施工操作时钢筋混凝土格构梁应整体嵌于边坡中，施工的护坡坡面应保护平整、夯实，无溜滑体、蠕滑体和松动岩块。
3边坡的截排水施工
3.1填土基础必须按规定尺寸分层夯实，每层20cm，压实系数大于0.90。开挖出的沟基，应进行地基处理加固，以确保地基承载力达到要求。按照设计及规范要求绑扎钢筋和安装、固定模版。
3.2排水沟底板和边墙砌筑要求砌筑层面大体平整，块石大面向下，石块间必须靠紧，石缝要以砂浆填满捣实。砌石时，基础铺设50~80mm砂浆垫层，第一层宜选用较大片石，分层砌筑，每层厚约250~300mm，每层由外向里，先砌面石，再灌浆塞实，铺灰座浆要牢实。
3.3沟渠开挖与边坡处理：排水沟采用人工开挖，开挖深度必须大于沟底厚度与侧边墙高度之和，开挖边坡比1:0.15~1.:02。浆砌后两侧超挖部分用粘土进行回填夯实，确保水渠稳定安全。
3.4截水沟应能保证迅速排出地面水流，沟底纵坡不应小于0.3%，以免水流停滞；截水沟弯曲段的弯曲半径，应保证圆滑顺畅，不应小于沟底宽度的5倍；陡坡和缓坡段沟底应设伸缩缝，沟间距为10~15m。消能池根据边坡地形条件设置在跌水槽落差较大区域或跌水槽汇入市政排水系统位置处，为防止泥沙堵塞截水沟，沉砂池应根据边坡地形条件设置在截水沟出水位置处。
3.5格构内喷混植草。喷混植草即采用混凝土喷射机把基材与植被种子的混合物按照设计厚度均匀喷射到边坡表面，喷混植草的基本构造为：钢丝网（或者土工格栅网）和基材混合物两个部分。
篇7
目前现场排桩已基本施工完成。由于基坑四周均为待开发地块，尤其是东侧为地铁已确定开发用地，南侧为工商银行用地，使用锚索将对周边地块的开发造成严重障碍，所以建议本基坑支护结构下部采用排桩+内支撑体系。根据基坑的平面形状和目前施工现状，对以下3种内支撑体系的布置进行了比选。
2.1对撑+角撑布置体系
(1)优点：在环境保护要求较高的情况下，利于控制墙移。(2)缺点：①支撑混凝土用量较多。②核心筒范围内的立柱桩与工程桩冲突严重，影响核心筒施工效率和施工质量。③由于十字交叉桁架与核心筒平面位置重合，核心筒地下三层以上部分的结构必须等到整个地下室地下三层施工完成，混凝土支撑拆除后方可施工，对整个工期有制约作用。
2.2圆形环梁布置体系
(1)优点：①方便挖土和主体结构施工。②支撑混凝土用量较小。(2)缺点：①由于基坑南侧和东侧地势较高，北侧和西侧地势较低，虽采取了基坑上部放坡的措施，但仍存在一定的坑周荷载不均匀的情况，对支撑体系整体稳定不利。②须等到基坑的整个环梁体系施工完成后，方可进行大面积土方开挖。③对中间环梁的施工要求较高。（3）角撑布置体系:①优点：方便挖土和主体结构施工、施工方便。②缺点：与圆形环梁布置体系相比，混凝土用量较多。由于本项目工程进度和基坑安全都必须确保，而对撑+角撑布置体系对塔楼施工进度制约太大，因此不采用；圆形环梁布置体系不仅对土方开挖进度有一定制约，而且现场地势情况不利于该体系的整体稳定，因此亦不采用。综上分析，最终选择采取角撑布置体系。
3边坡支护技术优化
3.1支撑竖向布置
原设计排桩标高为13.0m，改为内支撑后，为避免混凝土支撑与主体结构下二层板冲突，将原设计排桩标高调高0.3m，即13.3m，经初步计算分析，基坑上部采用放坡，下部排桩+一道混凝土支撑。
3.2基坑止水帷幕
根据高压旋喷桩试桩取芯效果显示，砂砾层与岩层交界面芯样不是很理想，为了保证深基坑的止水效果，确保深基坑开挖的安全性，将外排高压旋喷桩改为三轴深层水泥搅拌桩，内排高压旋喷桩保留。
3.3坑中坑支护结构
坑中坑局部加深7.05m，加深段平面尺寸26.5mx23.184m。根据地层条件，并结合核心筒桩基承台的施工统一考虑，采用放坡开挖的方式。施工顺序要求：（1）放坡后，先施工深坑结构底板及侧墙。（2）然后在深坑侧墙外侧回填土，至桩基承台底。（3）最后施工桩基承台和大基坑底板。
篇8
1.2做好施工前的准备
施工前的准备，这项工作是非常复杂的，主要有以下的几个方面进行准备：第一，明确分工。对于不同的部门进行分工，明确之间的职责，以免后续出现问题；第二，进行专业性的培训。每项工程都会有自己的技术文件，我们对于员工要求必须进行严格的学习，以便满足人们的需求，对于后续的顺利施工是非常的有必要的；第三，施工方案的审核。施工设计者的最终的目的就是满足设计者的方案，这样我们的审核工作就是非常有必要的，以免后续发生事故；第四，实地的考察。这样做能够更好的了解实际的情况，对于后续的工作能够进行很好的预见性预防，这方面的工作是非常有必要的。
2.电力工程中变电站施工技术的应用
2.1变电站高压试验
变电站的高压试验是变电站建设工作中的重要一环，所涉及的方面非常的多，对于很多的方面都会造成极大的影响，正是因为其重要，所以我们在实验的过程中必须要加以注意，下面针对于这些做一下的总结：第一，为了减少我们实验过程中带来的安全事故，我们在实验的过程中要加强防范的意识，一般的情况下我们会进行绝缘油的使用，在周一围涂抹；第二，进一步的加强安全防范，对于变压器进行真空处理，在真空的情况下进行注入油的处理；第三，开始试验，一般的情况下针对于具体的情况进行具体的分析，正常情况下会采用局部放电的方式进行试验；第四，结果的核算，并且确定相关的数据是否在标况下进行的试验。试验就是在模拟正常状态下开展的，所以我们要在各个关键的环节进行注意，这样的试验才是最成功的试验。
2.2安装隔离开关装置
在以往的变电站建设过程中施工者一般都不大注意安装隔离开关装置工作，一般来讲其对短路器的重视程度远远高于对隔离开关的重视程度，这种疏忽意识表现在国内变压器的高压隔离开关大多数都没有安装消弧装置，以至于在电压外泄时变电所内有没有良好的断电装置。一般来讲隔离开关一般安装在架空线架和输电电缆的连接之处，断路装置开关的电源傍，分支线缆的T型接处，架空线与跌落开关中间等等。在安装隔离开关的过程里,用力过大就会产生不吻合内部齿轮并且发生三相电流不同期的情形,一定要在调整触点的安装时对于动静触头的接触比如插入不深等现象进行特别留意,还要对于同期调整接地刀引起重视。针对于卡涩现象来说，我们也是采取了一些应对的办法的，可以在触头的位置进行，这样就会减少很大的阻力。清洁问题是我们必须要做的，这样可以避免因为杂质在表面产生磨损的现象，延长使用的寿命。我们进行安装的过程中要充分的考虑是否符合当地的现实的情况，使之变得有特性，这样能够相符的促进，并且取得良好的效果，提升效率。
2.3接地装置的施工技术分析
（1）接地装置要满足工程设计标准与要求，不允许私自的进行标准的篡改，只有在标况下才能更好的符合要求。
（2）接地体之间的距离需要在5m以上，接地体与建筑物的距离要大于1.5m、与避雷针的距离大于3m，这样才能做到安全保障。
（3）接地装置与连接设备之间采用焊接连接，在我们进行焊接的过程中要进行先期的处理，清理干净，在焊接的过程摆放一定要按照要求进行摆放，对于我们焊接之后一定要做好防锈的工作，以及绝缘的保护工作。
（4）接地干线与引线之间的长度要大于100mm，用管箍连接接地极与接地干线。
（5）焊接时，要确保管箍与扁钢处于45°角的位置，这个时候要求我们一定要保证良好的工作的精度，尤其在焊接的高度以及扁钢的厚度方面，尽最大的努力减少偏差，这样我们进行焊接的部位才会更加的牢靠不容易出现开焊的状况。
篇9
作者：郭银燕 单位：浙江奔腾建设工程有限公司
商务标的准确编制对整个投标文件由为重要。招标文件提供工程量清单，则根据工程量对清单中的每个分部分项进行报价分析，并确定综合单价。综合单价包括人工费、材料费、机械使用费、管理费、利润、风险因素及措施费、规费和税金等完成分部分项工程的全部费用。用所报的综合单价乘以招标人提供的工程量即为投标报价。使用工程量清单报价的项目，在工程结算时工程量一般可以按实调整，但一般不调整单价，投标报价时可采用不平衡报价，即在确定综合单价时，充分考虑可变动的工程量，充分考虑早收工程进度款，充分考虑提高今后发生机率高的暂定工程单价，在总价不变的情况下策略性报价。
技术表主要包括工程的施工组织设计及计划参与本工程的项目组成人员情况。施工组织设计方案是指完成所投工程采用的具体施工措施，包括：施工布置、施工技术方法、施工管理人员、材料、机械的组织情况，工期、质量、环保、安全、文明保证措施等，一般都要求采用文字和图标相结合的方式进行阐述。项目部人员组成情况是指拟投入本工程的项目管理人员情况，包括项目经理、技术负责人、园林施工员、园林质检员、园林安全员及资料员等，并附上相关人员的上岗证书等证明材料。资信标。资信标一般包括以下内容：投标人基本情况表；投标人财务状况表；拟用于本工程的人员安排表、拟用于本工程的机械设备表、进三年的类似工程业绩；投标人法人营业执照、资质证书、项目负责人证书、施工员、质检员、安全员等人员的证书复印件（原件备查）；投标人自行组织的其他内容。复核投标文件。投标文件的制作人员至少应有2人组成，投标文件制作完成后，应先由另一人员进行初核，修改错别字，检查报价是否合理，检查是否存在废标等情况，再由经验丰富的项目经理进行复核，审查技术标中的施工组织设计是否合理可行。最后按照招标文件要求进行封标。
招标文件的相应。在编制投标文件前，编制人员需要认真研究招标文件，严格相应招标文件及相关补遗书，对招标文件中规定的废标情况进行认真研究学习，避免出现废标现象。报价的合理。在编制投标文件时，首先必须保证所投报价低于招标机构给定的拦标价，再则要踏勘现场，了解施工现场情况，详细阅读招标文件的评标办法，结合本公司的特点和优势来确定投标报价。合理确定施工组织方案。每个园林工程都有它与众不同的特点、独特的地理环境、不同的施工工期。投标文件应当在详细勘察工程状况、认真分析施工特点的基础上进行统筹安排，使投标文件施工组织措施与现场实际情况很好的契合，针对性地解决工程地点实际情况。提高投标文件制作质量。首先要配备一支高素质的工程投标队伍。投标单位根据企业自身的发展情况，成立专门的投标机构，配备专业编制技术人员，如造价员、造价工程师、项目负责人等，在实际的工作中，编制人员可根据招标文件深入地研究具体施工工艺，切身体会施工工程中可能出现的问题，针对性地编制投标文件，制作出高质量的投标文件。其次要建立健全投标文件的制作程序。制定投标文件制作制度，分工明确，奖罚分明，针对具体投标工程具体实施，落实到人，杜绝出现推卸责任、工作懒散等现象，在投标文件多，时间紧的情况下，能分工明确、团结合作，从而提高投标文件的质量。园林工程的投标活动是园林企业开展施工业务的先端，而投标文件的编制是园林企业投标工作的重要一项环节，是日后项目具体施工的组织依据，是项目竣工结算、决算的重要依据。投标文件编制人员只有不断的提高自身的业务素质，积累工程报价资料和总结以往的投标文件的编制经验教训，编制出一份高水平、高质量的投标文件。
篇10
关键词:会计模拟 实践教学 完善
我系自1989年开始进行会计模拟实践性教学环节,在全国高职教育中可以是先驱和开拓者,历经14个年头,在实践性教学环节我们根据高职教育的规律和学生特点,不断完善和探索,取得较好的成效,也积累一些了许多有益经验和体会。会计模拟实验教学增加了学生对会计实务操作的感性认识,解决了学生所学理论知识与实际相结合的问题,为毕业后更快适应工作打下了良好的基础。各财经院校在会计模拟实验室建设方面积累了许多有益经验,但由于会计模拟实验室建设尚处发展阶段,各学校具体情况不同,在实验室建设中也存在着许多这样那样的问题,影响了会计模拟实验室的完善和进一步发展。本文拟就目前会计模拟实践教学的完善进行探讨。
1 明确高职培养目标确定培养目标是高等职业教育具有决定意义的特征。高等职业教育的本质特征是具有很强的职业定向性。即从某个职业岗位群出发,进行职业分析,了解构成这一职业岗位工作的主要内容,明确支撑其职业或工作所需的知识与技能,从而确定课程设置与教学内容。基于以上认识,我们在会计专业会计模拟实践性教学过程中,主要做了以下改革:
1·1 将培养目标具体化确定本专业的培养目标是:培养具有良好的会计职业道德,熟悉相关法律、法规,具备会计岗位工作所需的基础理论知识及较高会计职业技术能力,毕业后能够较快地从事各种会计核算工作、直至担任主管会计的高级专门人才。
1·2 按照培养目标,提出职业岗位知识要求和能力要求职业岗位知识要求学生掌握财务会计核算的基本原理和知识,掌握企业资金运作和财务分析、经济活动预测、决策分析的基本知识和本专业所必需的基本理论知识。职业岗位能力:要求学生具有会计核算能力,收集、加工、分析经济信息能力,应用有关计算机软件能力和财经应用文写作能力;经过一段时间的工作实践,达到具备科学理财能力,参与企业预测、决策等经营管理能力。同时要求取得相关的资格证书,即市财政局等部门统一考核、颁发的“四证”(会计证、电算化证、计算机等级证、珠算等级证)。
2 分析高职培养对象,根据不同的对象,因材施教高等职业教育培养对象,大至可分为两大类:职前教育和职后教育。前者主要又分普通高中应届毕业生(普通全日制高职生为主,也有部分通过成人高考入学的全日制高职生)和三校生(中等职业学校应届毕业生两类生源);后者是指成人业余夜大生。对于不同的培养对象,应分析他们各自不同的优势和缺陷,以便在教学中最大限度地发挥他们的优势,弥补他们知识或能力的缺陷,达到预期的培养目标。多年来,我校的学生生源主要有普通高中应届毕业生、三校生、成人业余夜大生和在职工作的民干函授生。在多年的教学实践中,我们注意在多方面区别分析,认真比较。在制定教学计划和教学大纲上,贯彻了发挥优势、因材施教的原则。在开设“会计模拟”课前,我们区别不同情况进行了不同安排。对已在会计现岗位工作并申请免修的学生,进行了学校的会计综合模拟考试,通过的学生可予以免修。凡不在会计现岗位工作的学生,必须参加会计综合模拟的全过程,进行严格的实操训练。对三校生由于在原中专或职中已经进行过会计模拟学习,在各学期的课程模拟中,我们就注意加强其理论教学,不再进行过于重复的会计模拟,只是在学期末进行一次综合会计模拟,以提高其综合动手能力和分析能力。对成人业余夜大生和在职工作的民干函授生,由于个体的差异较大,我们是在具体的会计模拟中进行区别对待,对基础较差没有接触过会计业务的学生,在安排业务实训的内容上,在结合实际的基础上,尽可能简明,符合实际工作的需要。由于对学生的不同情况,区别分析对待,在有限的教学资源利用上,达到了预期的效果,我们从凭证的处理,账簿的登记,报表的编制,以及成本核算要求、对象、方法、程序、具体成本项目核算,规定得较科学、详尽、可行,从毕业学生反馈的情况看,收到了较好的教学效果。
3 目前存在的问题
3·1 偏重手工模拟,忽视了会计电算化模拟目前,大多数企业都已全部或部分实现了会计电算化,会计知识和计算机知识成为会计人员的“左右臂”,缺一不可。但我们看到,在会计模拟实验方面,还有许多学校停留在手工模拟阶段,应用计算机模拟实验的还较少,学生进入工作岗位后,仍然要经过长时间的适应期,才能胜任一定的会计工作。造成这一差距的原因,并非都是物质方面的,更多的是人们的意识、观念问题。而且由于缺乏现代技术手段,在实训环节的效率也比较低。
3·2 模拟的资料的单调和可操作性不强模拟资料“过于真实”或“过于虚假”,影响了会计模拟实验的可操作性。主要表现在:在选择模拟实验资料时,过于强调“真实”,将某一企业某一时期的会计资料毫无遗漏地照抄照搬,缺乏代表性;同时也没有对这些实际资料进行“去粗取精、去伪存真”的分析,加工整理,由于企业个体的特殊性,大量的特殊业务夹杂其中,使学生无从下手。而有些院校所准备的实验资料则与实际相差较远,完全靠几个教师凭空编造出一个虚假的企业和一些缺乏客观依据的业务,其结果必然造成“模拟实验就是会计作业的翻版”的现象,缺乏真实感,使学生失去兴趣。以上两种情况都影响了会计模拟实验的可操作性,达不到理论与实际相结合的目的。
3·3 过于强调会计核算,没有注意会计监督的作用目前的会计模拟实验基本都是要求学生完成“凭证———账簿———报表”的循环,即根据原始凭证编制记账凭证,再根据记账凭证登记账簿,最后根据账簿记录编制会计报表。学生拿到实习资料后,接着就按要求编制记账凭证,省略了“审核、监督”这一重要环节。造成这一现象的原因并非在学生,而是由于我们在准备资料时,就没有准备不真实、不合法的原始凭证供学生选择,使学生从观念上就没有或淡化了这一重要的审核工作。显然,这样的会计是不合格的。
3·4 忽视了社会实践的积极意义理论教学和实践教学都是会计教育的组成内容。在实践环节,由于面临时间短、难以确定长期稳定的实习基地、实习单位容纳人员有限以及实习经费紧张等问题,一些院校取消了会计实习,完全靠模拟实验来弥补学生实习的不足。这种做法也是不恰当的。会计是一门应用性很强的学科,取消会计实习无疑不利于学生真正掌握会计的基本技能和基本方法。从目前各院校会计模拟实验室建设的现状看,再先进的实验室也难以完全“模拟”会计实际工作的真情实景,完全取消会计社会实践,也不利于会计教育的发展。
3·5 模拟实验的指导教师由会计专业的教师或实验员担任,其指导与解释缺乏真实性和权威性,因为他们
--> 个体自身素质差异,加上对具体的业务环境也缺乏亲身经历,在模拟实验过程中只能靠自己的知识和能力来想象。或者是来自工作一线,由于长期离开实际工作岗位,对现行会计制度的变更和发展,在理解和把握上也不够到位。
4 完善会计实训模拟教学的设想
4·1 实训模拟教学服从培养目标贯穿于教与学的全过程,培养目标集中表现在知识与能力的培养,这里要处理好三个关系:第一个关系:相应职业能力,不仅指操作技能,而是包括知识、技能、经验等相关能力的综合概念。因此,必须十分重视专业理论知识、特别是新知识的教学。第二个关系:完善实验教学内容。高职会计教育目标是由社会对会计人才的需求决定的.反过来又决定和影响着会计人才的知识结构和素质水平。教学内容完善与否,直接影响到学生的知识结构和综合素质。随着社会的进步与发展,知识经济对会计的冲击和影响日益明显.应改革会计教育目标.完善现有教学内容,使培养的学生都更好地迎接知识经济对会计人才的挑战。第三个关系:高职教育执行以职业技能训练和岗位能力培养为中心组织教学的原则。必须充分认识实践性教学环节在整个教学过程中的重要位置,采取多种形式,强化实践教学,以达到预期的培养目标。
4·2 不断搜集、整理模拟实验所需资料,力求所选资料具有代表性、全面性、合理性。实验资料应是在实际资料的基础上,经过综合加工整理而确定的,要考虑到经济业务的真实性、全面性、代表性和逻辑性,对企业供、产、销各个阶段所涉及的业务进行整理,对一些业务进行有客观依据的虚构,编制出一套完整的涉及各方面经济业务的模拟实习资料。随着国家经济政策和制度的调整,对实习资料要不断进行修订,使其日趋完善。
4·3 要解决目前模拟实验重核算、轻审核、轻监督的问题,必须在准备的实习资料中,加入一些有问题的原始凭证,如假发票等。有问题的原始凭证有的比较外露,有的比较隐含,让学生自己去思考、去挖掘。当然这种有问题的资料不需很多,只要能引发学生对这些问题的重视并能及时、正确地进行处理即可。
4·4 在手工模拟的基础上,开展计算机模拟。具体做法是:利用现有会计模拟实验室,在手工模拟核算资料的基础上,重新进行计算机模拟,从原始资料的输入、记账凭证的编制,到自动登记账簿和生成会计报表,让学生从计算机上体验会计工作的乐趣。从手工模拟再到计算机模拟,并不复杂,对学生来讲,计算机模拟是在手工模拟之后,学生对业务已比较熟悉,计算机模拟时间仅仅是手工模拟时间的四分之一到三分之一,而收获却很大。而且通过不同学期的会计模拟,在实训模拟的会计软件上熟悉上,通过多种会计软件的操作,也为提高学生自身的适应能力打下良好基础。
4·5 加强会计社会实习我们认为目前应坚持以会计模拟实验为主,社会实践为辅的思想。让学生走入社会,在具体的会计实作中,不断完善自身水平和适应能力。(1)由学校或学生自己联系实习单位。广泛利用各种社会关系,联系实习单位,让学生在实习中尽早认识自身的不足,及时弥补知识和能力上的缺点。(2)建立稳定的校外实训基地。学校可以兴办企业,吸收部分教师和学生参加日常的经营管理,运用所讲、所学知识,对企业随时进行诊断和剖析;也可以与社会上的企业联营,建立一批协作企业、单位。使学生有计划、分期分批地去锻炼、实习。(3)分散实习。分散实习主要通过学生自己持学校介绍信联系实习单位,在接受实习单位有关人员的指导下,自己完成实习任务。
篇11
在研究生网络课程教材体系建设中需要注意解决好四个问题。一是课程内容的先进性与前瞻性问题；二是研究生与本科课程内容的衔接问题；三是理论教学与能力培养的并重问题；四是自主学习和因材施教问题。
1.1课程内容的先进性与前瞻性问题
研究生的教育必须突出“研究”，教材要能够反映学科前沿的研究成果与发展趋势。一本好的研究生网络教材或教学参考书应该是：在保持网络理论体系的基础上，跟踪当前技术的发展，综述最新研究的领域、课题、方法、成果与趋势，让读者能够直接了解当前研究的前沿问题、方法、进展与趋势。
与传统的数学、物理、化学学科相比，计算机学科应用性人才培养的要求更高，技术发展速度更快。而在计算机学科中网络技术的发展与知识更新的速度尤为突出。因此，保持计算机网络课程内容的先进性与前瞻性更为重要，也更加困难。因此要很好地解决这个问题，必须将教学与科研工作紧密地结合在一起，发挥科研教学团队的作用，以高水平的科学研究支持高质量的课程与教学体系的建设。南开大学网络实验室在多年来一直注意开展以下几个方面的工作：
（1）通过科研预研工作实践，了解当前热点问题的研究现状与进展。
（2）跟踪美国ACM和IEEE/CS最新制定的计算机学科课程体系，重视学术交流。
（3）跟踪和浏览国外知名大学教学网站，研究和了解网络课程教学内容、教材与主要参考书，以及作业与实验、教学方法与教学过程控制方法改革的动向。
（4）选择国际流行教材，分析如何处理新的技术发展与教学内容的关系，梳理技术的内在关系与发展主线。
（5）跟踪国际知名网络设备制造商与网络软件公司的研究工作，以及技术认证与考试内容的变化，了解产业界对技术与人才需求的变化。
（6）参与信息化规划与建设工作，通过与产业界、政府各级管理人员的合作，了解我国信息化发展的现状与社会对网络人才的需求。
以上工作在我们把握研究生教材内容的先进性与前瞻性方面起到了重要的指导作用。
1.2本科与研究生课程内容衔接问题
计算机及相关专业的硕士研究生一般在本科阶段都修过计算机网络课程。同时，由于学生不是来自一个学校或同一个本科专业，所以学生在网络技术方面的基础差异很大。这个问题在研究生招生规模扩大后更为突出。教师很难在某个起点上安排教学内容。任课教师比较为难，照顾到基础比较差的学生，基础好的学生认为“吃不饱”；考虑到基础比较好的学生，基础差的学生反映“跟不上”。无论老师想什么办法，都无法解决好这对矛盾。这是在很多大学都很普遍的问题。经过多年的实践我们逐渐认识到：要保证教学质量，必须根据研究生培养目标，改变教学方法，强调“自主学习”和“因材施教”。要为实现学生的“研究”、“自主”学习和教师的“因材施教”创造条件，就必须从课程教学目标定位入手，研究本科与研究生教学一体化、理论教学与能力培养一体化的网络教材体系。
1.3理论教学与能力培养并重问题
团队成员通过总结多年指导研究生学位论文的体会认识到，学生的实际工作能力需要他们在参加科研项目和完成开发任务的过程中提高。在多年指导和审阅相关学科硕士与博士学位论文的过程中，导师们深刻地感觉到：有相当比例的研究生在本学科领域眼界不宽，网络应用系统设计与编程能力亟待提高。如果能够在他们准备学位论文之前认真地训练这一方面的能力，那么他们的论文的研究深度与论文水平还能够有较大幅度的提高。研究生能力培养可以通过网络环境中的课题、大编程量的训练来实现。提高网络软件编程的实际工作能力对于研究生今后的研究工作与就业将会有很大的帮助。而这些编程课题应该是由教学科研团队从研究工作与开发的课题成果中提炼出来，将科研成果有选择的转化为“近似实战”的研究生训练课题。这种训练对学生深入理解网络原理与实现方法会有很大的帮助，对于日后的科研工作和提高学位论文质量也是很有益的。
1.4自主学习和因材施教问题
从研究生自身学习的角度应该强调“研究性”与“自主性”，学生应该变被动的“听课、做笔记”转向主动的、研究地学习和提高。从任课教师与导师角度应该强调“因材施教”。
从我们多年的教学经验看，同一届的研究生实际能力差异都很大。研究生教学更多的应该是根据不同的学生、不同的研究重点、不同的起点，有不同的训练方案，不能没有区别。导师的因材施教应该体现在：指导学生根据自己的基础、研究方向，选择不同类型、不同编程量，或不同的难度级的课题自主的完成训练，循序渐进地提高实际能力。教师要做到这一点，需要做很多艰苦细致的工作和积累很多教学资料。经过10多年的积累与团队成员的集体努力，我们初步完成了一些基础性的工作。
研究生教材不应该仅是一本一学期使用的教科书，更应该是一本技术参考书，甚至是一本手册。导师可以根据需要选择教材中部分内容，作为基本的学习要求。学生学习的过程应该在导师的指导下有选择地自学和阅读，完成编程训练。有些内容可能第一次仅仅是读过和了解，如果今后科研、开发工作需要，可以再回过头来继续阅读和参考。
为了适应研究生“研究性”与“自主性”学习的要求，我们设计的《计算机网络高级教程》内容的覆盖范围宽，涉及当前网络研究的多个领域；《计算机网络高级编程技术》总的编程训练量大，问题近似实战，难度差异也比较明显。为了有利于学生自主学习，我们对每个课题都提供了入门所需要的资料、工具与实现方法的范例，学生可以通过自学的方式完成训练要求。
2 《计算机网络高级教程》教材的编写
研究生教材体系由《计算机网络高级教程》与《计算机网络高级软件编程技术》两部相互配套的教材组成。主教材《计算机网络高级教程》重点讨论了网络研究的最新发展与研究的热点问题，力求达到“反映计算机网络前沿研究成果与发展趋势”的要求。
《计算机网络高级教程》分12章按网络技术发展的三条主线讨论了技术的演变与发展。其中：
第1章对网络技术研究与发展的阶段、重点问题和基本概念，以及各个阶段的标志性技术作了一个概要的总结。
第2章讨论了广域网（WAN）技术的演变与发展趋势。
第3章讨论了局域网技术，尤其是对高速局域网（Gigabit Ethernet与10 Gigabit Ethernet）和无线局域网（WLAN）技术作了较为系统地讨论。
第4章讨论了城域网（MAN）概念的演变，以及宽带城域网组建技术与接入网技术。
第5章对IPv4协议近年来的发展与演变过程作了较为全面地总结和讨论。
第6章对IPv6的基本内容与应用方法进行了较为系统地介绍。
第7章对移动IP的基本概念与关键技术作了系统地介绍。
第8章对传输层分布式进程通信的概念，以及TCP、UDP协议进行了系统地讨论。
第9章对应用层协议与Internet应用系统设计技术进行了系统地讨论。
第10章对无线自组网络（Ad hoc Network）与无线传感器网络（WSN）、无线网格网（WMN）的概念、特点、体系结构，以及关键技术的研究与进展作了比较全面地总结和介绍。
第11章讨论了网络安全与网络管理技术。
第12章对国外大学与产业界在评价研究成果时常用的网络性能分析开源工具、网络模拟开源工具及其应用进行了系统地介绍。
在准备这本书的资料和写作的过程中，作者有两点体会最为深刻。一是尽管Internet技术与Ad hoc网、WSN、WMN在设计目的、应用的领域与技术特点上差异很大，但是在研究方法上基本上是相通的，并且在高层又都汇集到Internet之中。二是尽管作者认真地在这个领域已经工作了20多年，但是网络技术发展得实在是太快了，个人的研究工作与阅历不可能涉及到各个领域。个人与团队的研究工作也只能是限制在网络技术中的几个比较窄的方面，深度也十分有限。因此在系统地总结网络技术领域的研究与进展时感到难度很大。尽管也经常与同行交流和请教，仍然是力不从心。但是本着对学生学习负责的态度，还是坚持完成了写作任务。这部教材应该说是汇聚了很多人的研究心血，作者只能是将个人能够理解的部分按照自己的思路整理出来，以便读者学习和研究。作者试图在相关章节的后面注明某些研究工作总结与论文的出处，以及相关的参考文献、文档与标准，请有兴趣的读者自己去阅读相关的文献与标准。
3 《计算机网络高级软件编程技术》教材的编写
高素质创新性计算机人才应具有较强的实践能力。社会对网络人才的需求十分强烈。但是真正懂网络技术，能够具备深入到网络协议内部的高层次网络应用系统设计和网络软件编程能力的软件人才是非常缺乏的，也是社会急需的高级人才。研究生要能够做出有自主知识产权、创新性的成果，就必须踏踏实实地苦练内功。编著《计算机网络高级软件编程技术》一书，是希望对高级网络软件人才的培养贡献一点力量。
《计算机网络高级软件编程技术》的特点可以总结为以下几点。
(1) 在总结了20多年科研工作经验与研究生教学工作实践经验的基础上，构思了教材的写作思路与全书的内容结构。
(2) 参考了国内外知名大学网络课程训练与著名信息技术企业在员工网络软件编程训练中的相关资料与文献。
篇12
一、 活跃课堂气氛、变通讲述方法学好数控技术需要坚实的理论基础和丰富的实践经验，学生获得理论基础的主要途径是课堂教学。而数控技术本身是一门较为枯燥的学科，没有生动的事例可以讲解数控专业，也没有经典的故事可供引用，传统的灌输的方法极易使学生失去学习兴趣。如果教师有扎实的功底，同时教学过程中引入新的理念和方法，营造轻松活跃的课堂氛围，就可以使学生在课堂上始终保持高昂的情绪。例如：生动形象的比喻问题：刀具的补偿概念是数控编程技术中一个非常重要的概念，而学生对于刀具补偿概念的理解往往停留在表面上，好像知道了，但是应用时就往往出问题。归根结底还是对刀具补偿概念的理解深度上不够。 解决方法：例如在讲述刀具的半径补偿时可以利用生活中的例子做比喻让学生不但记住指令而且能够理解中国知网论文数据库。通过比喻不但使学生在思想上理解了刀具半径补偿的概念，而且由于更深入的理解也使得实际应用上更能灵活多变的使用刀具半径补偿功能提高加工效率。 小结：日常生活中有很多事例都可以被引入到数控教学中，教鞭、粉笔盒、钢笔、书本、讲台等都可以作为道具，同时数控系统、数控编程中的很多理论都可以采用计算机动画的方式进行演示。二、 实现实践教学与理论教学的融合实践教学与理论教学的整合并不是简单的教学合并数控专业，而是从知识体系上的融合，具体根据各个知识模块教学的需要，设计实践与理论融合的方式，以及融合的比例。例如有些课上实训后开始讲授理论，如讲授数控加工刀具时，直接在实训室进行，学生通过理论讲解并现场使用，马上就理解了原来难以理解的理论知识。实习教学是数控专业的一个重要环节，由于数控加工牵涉到机床、夹具、刀具、工艺路线、切削参数及编程方面的知识，由于数控设备少，我们可先在普通设备上培训有关知识，避免一开始就就让大批学生涌向数量不多的数控机床，等到相关知识准备好了，需要进行程序运行时才上数控机床，这就大大减少了数控机床的工作量，从而缓解了设备不足的压力。因此，我建议实习应按普通机床加工（如普车、普铣）仿真模拟训练数控机床操作三步进行，其中，普车普铣旨在让学生掌握主要的机械加工工艺与装夹方法。训练其对不同材料，不同零件，采用何种工艺路线，及在不同的工艺路线、不同的主轴转速、进给速度及切削深度条件对工件的形位精度产生的影响。培养学生对切削加工参数和工艺路线制定的感性认识。仿真模拟训练主要是培养学生对编程指令和机床面板的熟练程度，为在数控机床上的操作打下坚实的基础。避免因指令不熟而损坏数控设备。三、充分利用多媒体教学结合现有的教具进行多元化教学
篇13
一、前言
近年来，运输危险品的车辆随着经济的快速发展与日俱增，运输过程中由于环境、车辆、危化品的不安全状态和人的不安全行为所造成的特重大事故频繁发生，严重危害和威胁到人的安全和环境的污染。因此，建立规范的危险品运输车辆监控系统，是预防这种事故的有效途径。
二、系统整体构架
2.1 设计思想
通过对危险化学品温度、压力、空间姿态等状态和运输车辆的位置、速度、发动机、制动等情况的实时监测，实现危险品车辆在运输过程中的全程跟踪和监测 [1]。通过加载无线通信自动报警功能，可及时向总监控中心报警，并向多个指定人员手机报警。当总监控中心收到信号，启动应急预案并反馈给车载终端，建立联系。
2.2 系统框架
系统主要由车载监控终端、GPS、GPRS 通信系统、监控总中心系统、分中心系统组成。系统结构如图1所示，车载终端如图2所示。
图1 系统总体结构图
图2 车载终端总体结构图
三 系统主要功能
3.1 车辆监控与调度功能
1) 车辆和危险品等信息定时发送或调度查询功能：车载终端通过GPRS的方式将实时信息传送到监控中心；监控中心也可以直接发送调度查询命令进行调度查询。
2) 基本 GIS 功能：监控中心的电子地图可以实现各类信息层的显示、放大、缩小、平移、漫游、查询及鹰眼等功能[2]。
3) 车载终端接收调度指令，并有实用的数字及汉字显示功能。
4) 车载终端与监控中心的通话功能[3]。
5) 车载终端受监控中心控制的远程熄火功能。
3.2 数据信息管理功能
1) 车辆实时数据处理：监控中心将实时查询的车辆位置、车辆和危险品的状态信息等存入数据库，以保证电子地图上可以实时更新该车的信息。
2) 车辆历史轨迹追溯：监控中心通过存储的数据追溯车辆历史信息，可以选定某车某时间段的位置记录进行轨迹回放。
3) 车辆报警数据记录：监控中心将已解决的异常状态车辆的报警信息进行存储和管理。
4) 用户和车辆信息管理：用户包括监控中心人员、司机、客户(货主)、公司管理人员等，车辆是指运输公司拥有的所有车辆，其中车辆信息包括车牌号、颜色等静态信息，也包括所载危险品及司机信息。
5) 系统运行日志记录：对系统运行的操作进行存储和管理。
6）数据缓存：当车辆遇到通信忙趋势可以先将数据暂时保存起来，等恢复通信以后在发送至监控中心。
3.3 报警及处理功能
报警的信息包括: 车辆运行状态发生异常报警、危险品状态异常报警、区域监控( 地理栅栏) 报警、碰撞报警、车载终端断电报警、应急报警、车载终端防拆报警、停车后非法移动报警、盗车报警等。监控中心收到报警信号，及时作出相应处理。
四、系统涉及的技术
4.1 编程技术
本系统需要利用各种不同的编程技术来实现终端。对数据的处理方法也要通过编程来实
现。
4.2 数据库技术
监控中心数据库包括静态表和动态表。静态表是系统长期保存的，内容一般不发生变化的表，动态表是在车辆运输危险品时动态建立的，内容随时发生变化的表。各个表之间以“编号”进行区别，并建立相应关系。
4.2.1 静态表
静态表主要包括车辆基本信息表、驾驶员基本信息表、监控中心操作员表、报警基本表、车辆状态类报警定义表、危险品状态类报警定义表、命令表。
报警基本表：该表存放所有的对报警信息和处理方法的定义，对报警信息分门别类。
车辆状态类报警定义表：该表定义了车辆的那些状态被监控，以及这些状态发生了什变化，系统会报警。
危险品状态类报警定义表：该表定义了危险品的那些状态被监控，以及这些状态发生了什么变化，系统会报警。
命令表：该表指出了系统中都有哪些命令，例如控制命令、调度命令等。
4.2.2 动态表
动态表主要包括运行车辆信息表、运行车辆状态表、报警表、发送命令表、接收命令表。
运行车辆状态表：该表存放执行任务的车辆本身以及它所运输的危险品的状态信息。
报警表：该表存放车辆传到监控中心的报警信息。
发送命令表：该表存放监控中心发给车辆的命令。
接收命令表：该表存放监控中心接收到的车辆的调度回复命令[4]。
4.3 嵌入式技术
在车载终端要采用嵌入式技术来控制接受到的各种信息，处理之后再发送出去。
4.4 通信技术
这里采用 GPRS 无线通信网络来实现数据的传输。首先需要设计通信协议来保证通信的系统的通用、高效和安全。
五、 总结
目前，运输危险品车辆不断增加，对危险品监测系统的要求也越来越高，需要对相关技术进一步提高及完善，使监测技术日渐成熟，更加的智能化，以自己独有的特点为危险品运输工作保驾护航。
参考文献：
[1] 孙代平.一种危险化学品罐箱/ 槽车的实时监测系统[D] .大连:大连理工大学硕士学位论文, 2006.
[2] 高智.基于 GSM 网络 GPS 车辆定位跟踪系统的设计[D].大连海事大学硕士学位论文, 2004.
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T6. Aggregation & Clustering
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T6.1 Large-Scale Document Clustering
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Full
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以上是 13 篇文章。请逐篇将每篇文章精确归类到下列五个互斥类别中的一个最佳类别（只能选一个），若同时涉及多类，以“文中主要技术/目的焦点”为准（即文本中技术深度或论述篇幅占比最大的主题）。先输出“[答案]”标识符，再按行输出每类的聚类结果，格式为“类别字母 占比%（符合的篇章编号，升序排列，中间用空格分割）”，占比计算公式为：篇数 ÷ 13 × 100%，精确到百分位的个位数（四舍五入），不要输出任何其他内容。
A 电力与输变电：输变电工程、变频、变电站、高压试验等电力系统与设备
B 岩土/边坡与基坑支护：挡土墙、边坡防护、锚杆、排桩、基坑内支撑、截排水等
C 施工组织与工程投标管理：施工准备、施工组织设计、投标文件、施工管理方案等
D 信息系统与编程：VB编程、嵌入式、车载监控、数据库、网络化系统等
E 教育与教学：会计模拟教学、网络教材、数控教学、教学法与实践等
输出示例：
[答案]
A 15%（篇3 篇5）
B 23%（篇9 篇11 篇12）
C 15%（篇1 篇13）
D 5%（篇8 篇10）
E 31%（篇2 篇4 篇6 篇7）
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以上是 13 篇文章。请逐篇将每篇文章精确归类到下列五个互斥类别中的一个最佳类别（只能选一个），若同时涉及多类，以“文中主要技术/目的焦点”为准（即文本中技术深度或论述篇幅占比最大的主题）。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出每类的聚类结果，格式为“类别字母 占比%（符合的篇章编号，升序排列，中间用空格分割）”，占比计算公式为：篇数 ÷ 13 × 100%，精确到百分位的个位数（四舍五入），不要输出任何其他内容。
A 电力与输变电：输变电工程、变频、变电站、高压试验等电力系统与设备
B 岩土/边坡与基坑支护：挡土墙、边坡防护、锚杆、排桩、基坑内支撑、截排水等
C 施工组织与工程投标管理：施工准备、施工组织设计、投标文件、施工管理方案等
D 信息系统与编程：VB编程、嵌入式、车载监控、数据库、网络化系统等
E 教育与教学：会计模拟教学、网络教材、数控教学、教学法与实践等
输出示例：
<你的思考过程>
[答案]
A 15%（篇3 篇5）
B 23%（篇9 篇11 篇12）
C 15%（篇1 篇13）
D 5%（篇8 篇10）
E 31%（篇2 篇4 篇6 篇7）
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[
"A 23%（篇2 篇4 篇8）",
"B 23%（篇5 篇6 篇7）",
"C 8%（篇9）",
"D 23%（篇1 篇3 篇13）",
"E 23%（篇10 篇11 篇12）"
] |
Moderate
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{"overall": 5.0, "verified": true, "reviewTime": "08 22, 2013", "reviewerID": "A34A1UP40713F8", "asin": "B00009W3I4", "style": {"Style:": " Dryer Vent"}, "reviewerName": "James. Backus", "reviewText": "I like this as a vent as well as something that will keep house warmer in winter. I sanded it and then painted it the same color as the house. Looks great.", "summary": "Great product", "unixReviewTime": 1377129600}
{"overall": 5.0, "verified": true, "reviewTime": "02 8, 2016", "reviewerID": "A1AHW6I678O6F2", "asin": "B00009W3PA", "style": {"Size:": " 6-Foot"}, "reviewerName": "kevin.", "reviewText": "good item", "summary": "Five Stars", "unixReviewTime": 1454889600}
{"overall": 5.0, "verified": true, "reviewTime": "08 5, 2015", "reviewerID": "A8R48NKTGCJDQ", "asin": "B00009W3PA", "style": {"Size:": " 6-Foot"}, "reviewerName": "CDBrannom", "reviewText": "Fit my new LG dryer perfectly.", "summary": "Five Stars", "unixReviewTime": 1438732800}
{"overall": 5.0, "verified": true, "reviewTime": "04 24, 2015", "reviewerID": "AR3OHHHW01A8E", "asin": "B00009W3PA", "style": {"Size:": " 6-Foot"}, "reviewerName": "Calvin E Reames", "reviewText": "Good value for electric dryers", "summary": "Perfect size", "unixReviewTime": 1429833600}
{"overall": 5.0, "verified": true, "reviewTime": "03 21, 2015", "reviewerID": "A2CIEGHZ7L1WWR", "asin": "B00009W3PA", "style": {"Size:": " 6-Foot"}, "reviewerName": "albert j. kong", "reviewText": "Price and delivery was excellent.", "summary": "Five Stars", "unixReviewTime": 1426896000}
{"overall": 5.0, "verified": true, "reviewTime": "12 26, 2013", "reviewerID": "A1RQQV9HYHDHDN", "asin": "B00009W3PA", "style": {"Size:": " 6-Foot"}, "reviewerName": "Adam Baer", "reviewText": "I purchasaed a new dryer and did not want to reuse the cord from my old unit. This unit installed in a pretty straight forward manor. Quality was as expected. No Complaints", "summary": "Easy install", "unixReviewTime": 1388016000}
{"overall": 4.0, "verified": true, "reviewTime": "08 2, 2016", "reviewerID": "A1OB2H416ARLFJ", "asin": "B0009GVYNW", "reviewerName": "Commando Big", "reviewText": "Good value.", "summary": "Good value for the price.", "unixReviewTime": 1470096000}
{"overall": 2.0, "verified": false, "reviewTime": "07 6, 2017", "reviewerID": "A3LGZ8M29PBNGG", "asin": "B000N6302Q", "style": {"Color:": " Blue"}, "reviewerName": "nerenttt", "reviewText": "works great. we loved ours! till we didn't. these do not last so buy the warranty as you WILL NEED IT.", "summary": "the five star posts are from new owners, the rest from disgruntle owners 6 months in with broken icemaker!", "unixReviewTime": 1499299200}
{"overall": 2.0, "verified": false, "reviewTime": "07 6, 2017", "reviewerID": "A3LGZ8M29PBNGG", "asin": "B000N6302Q", "style": {"Color:": " Stainless Steel"}, "reviewerName": "nerenttt", "reviewText": "Luved it for the few months it worked! great little bullet shaped ice cubes. It was a gift for my sister who never opened the box. The next summer during a heat wave I asked for my unused gift back, ha!, and was in heaven for a few months. the next summer after a few weeks the unit gave out.called new air and it was over the one year mark so no warranty. so my advice is do not buy without extended warranty!", "summary": "my advice is do not buy without extended warranty!", "unixReviewTime": 1499299200}
{"overall": 1.0, "verified": false, "reviewTime": "11 14, 2014", "reviewerID": "A3SM7H70QI3TY8", "asin": "B000N6302Q", "reviewerName": "SRH", "reviewText": "Be careful, NewAir will not stand by their products. Our NewAir broke within the first 4 hours of use. The manufacturer will NOT cover the item under warranty. Just in case you're actually thinking of buying a NewAir product... think twice...\n\nFrom: NewAir Sales <[email protected]>\nDate: Fri, Nov 14, 2014 at 11:03 AM\nSubject: Re: Icemaker return\nTo: Susan Ferguson <[email protected]>\n\nHi Susan,\n\nThe manufacturer warranty is void if the unit is purchased by a private seller who does not have our consent to sell our products. This is the same reason why we ask for a copy of your receipt upon requesting warranty claims because if it not from a valid authorized dealer we will not proceed with warranty work. We also list our authorized dealers on our web site for customer use. We stand behind our products, however when an item is purchased from a private seller the purchaser runs the risk of the item being used, open box, refurbished, and or a scratch and dent. Our one year limited manufacturer's warranty is only valid on new items sold by our authorized online dealers. It is unfortunate to see that you are in this situation, however you will need to contact the seller of the item for a replacement or refund.\n\nHave a great day!\n\nMireya\nCustomer Support\nNewAir | 3419 East Chapman Ave. #190 | Orange, CA 92869\nPh: 855-963-9247 Em: [email protected]\nFB: facebook.com/NewAirUSA Twitter: @NewAirUSA\nPinterest: pinterest.com/NewAirUSA Instagram: NewAirUSA\nWeb: [...]\n\"Made by awesome\"\n\nOn Thu, Nov 13, 2014 at 7:59 PM, Susan Ferguson <[email protected]> wrote:\nHello Mireya-\n\nI'm sorry but I thought the manufacturer warranty was for the manufacturer, NewAir. Please explain why the warranty is not valid in this case. I don't see anywhere in the warranty exclusions that the warranty is not valid if not purchased from an authorized dealer. In addition, a consumer would never know who \"authorized dealers\" are because if a company is selling your product doesn't that implicitly make them authorized to do so?\n\nI sincerely hope that NewAir will reconsider this position and stand by the integrity of their products. This ice machine was literally used for four hours before failing and it is, quite frankly egregious that your company is negating a warranty that explicitly states it will repair or replace defective materials or workmanship for up to one year.\n\nPlease let me know how I can talk to a dispute department regarding this matter. I look forward to your response and I will refrain from giving any reviews of your product until this matter is resolved.\n\nThank you,\nSusan Ferguson\n\nOn Thu, Nov 13, 2014 at 3:10 PM, NewAir Sales <[email protected]> wrote:\nHi Susan,\n\nUnfortunately, the ice maker was not purchased from an authorized dealer. You will need to contact the seller \"Mehadrin\" through Amazon for any existing issues on your unit.\n\nHave a great day!\n\nMireya\nCustomer Support\nNewAir | 3419 East Chapman Ave. #190 | Orange, CA 92869\nPh: 855-963-9247 Em: [email protected]\nFB: facebook.com/NewAirUSA Twitter: @NewAirUSA\nPinterest: pinterest.com/NewAirUSA Instagram: NewAirUSA\nWeb: [...]\n\"Made by awesome\"\n\nOn Thu, Nov 13, 2014 at 12:32 PM, Susan Ferguson <[email protected]> wrote:\nHello- I received an AI-100S icemaker in March 2014. I used it one time and within 4 hours the cooling unit had shut down. My best estimate is that the pump was still working (the water was getting pumped through) but the cooling mechanism was not. When I plugged the unit back in to try it a few hours later, the cooling mechanism never turned on.\n\nSince this product is still under warranty, I am hoping to acquire a new unit since this particular one has essentially never been used and is obviously faulty in some capacity.\n\nI have attached the receipt for your reference. It was purchased as a gift through Amazon Marketplace. Thanks so much and I look forward to your response.\n\nSusan Ferguson", "summary": "NewAir will not stand behind their products - company emails included", "unixReviewTime": 1415923200}
{"overall": 1.0, "verified": false, "reviewTime": "11 14, 2014", "reviewerID": "A3SM7H70QI3TY8", "asin": "B000N6302Q", "style": {"Color:": " Orange"}, "reviewerName": "SRH", "reviewText": "We would give less than 1 star if possible DONT BUY THIS PRODUCT. The ice machine stopped working four hours after we used it the first time. We notified New Air and they stated they would not honor their one year warranty because \"an authorized dealer didn't sell\". We bought this product on Amazon and never even thought we would have to cross check our purchase with the manufacturer. NewAir does not stand by their products and they will use any method to get out of honoring their warranty. I have a $200 piece of junk now, I will NEVER buy another NewAir product again.", "summary": "WHAT A PIECE OF JUNK, NewAir doesn't stand by their products!", "unixReviewTime": 1415923200}
{"overall": 1.0, "vote": "3", "verified": false, "reviewTime": "11 14, 2014", "reviewerID": "A3SM7H70QI3TY8", "asin": "B000N6302Q", "style": {"Color:": " Stainless Steel"}, "reviewerName": "SRH", "reviewText": "Be careful, NewAir will not stand by their products. Our NewAir broke within the first 4 hours of use. The manufacturer will NOT cover the item under warranty. Just in case you're actually thinking of buying a NewAir product... think twice...\n\nFrom: NewAir Sales <[email protected]>\nDate: Fri, Nov 14, 2014 at 11:03 AM\nSubject: Re: Icemaker return\nTo: Susan Ferguson <[email protected]>\n\nHi Susan,\n\nThe manufacturer warranty is void if the unit is purchased by a private seller who does not have our consent to sell our products. This is the same reason why we ask for a copy of your receipt upon requesting warranty claims because if it not from a valid authorized dealer we will not proceed with warranty work. We also list our authorized dealers on our web site for customer use. We stand behind our products, however when an item is purchased from a private seller the purchaser runs the risk of the item being used, open box, refurbished, and or a scratch and dent. Our one year limited manufacturer's warranty is only valid on new items sold by our authorized online dealers. It is unfortunate to see that you are in this situation, however you will need to contact the seller of the item for a replacement or refund.\n\nHave a great day!\n\nMireya\nCustomer Support\nNewAir | 3419 East Chapman Ave. #190 | Orange, CA 92869\nPh: 855-963-9247 Em: [email protected]\nFB: facebook.com/NewAirUSA Twitter: @NewAirUSA\nPinterest: pinterest.com/NewAirUSA Instagram: NewAirUSA\nWeb: [...]\n\"Made by awesome\"\n\nOn Thu, Nov 13, 2014 at 7:59 PM, Susan Ferguson <[email protected]> wrote:\nHello Mireya-\n\nI'm sorry but I thought the manufacturer warranty was for the manufacturer, NewAir. Please explain why the warranty is not valid in this case. I don't see anywhere in the warranty exclusions that the warranty is not valid if not purchased from an authorized dealer. In addition, a consumer would never know who \"authorized dealers\" are because if a company is selling your product doesn't that implicitly make them authorized to do so?\n\nI sincerely hope that NewAir will reconsider this position and stand by the integrity of their products. This ice machine was literally used for four hours before failing and it is, quite frankly egregious that your company is negating a warranty that explicitly states it will repair or replace defective materials or workmanship for up to one year.\n\nPlease let me know how I can talk to a dispute department regarding this matter. I look forward to your response and I will refrain from giving any reviews of your product until this matter is resolved.\n\nThank you,\nSusan Ferguson\n\nOn Thu, Nov 13, 2014 at 3:10 PM, NewAir Sales <[email protected]> wrote:\nHi Susan,\n\nUnfortunately, the ice maker was not purchased from an authorized dealer. You will need to contact the seller \"Mehadrin\" through Amazon for any existing issues on your unit.\n\nHave a great day!\n\nMireya\nCustomer Support\nNewAir | 3419 East Chapman Ave. #190 | Orange, CA 92869\nPh: 855-963-9247 Em: [email protected]\nFB: facebook.com/NewAirUSA Twitter: @NewAirUSA\nPinterest: pinterest.com/NewAirUSA Instagram: NewAirUSA\nWeb: [...]\n\"Made by awesome\"\n\nOn Thu, Nov 13, 2014 at 12:32 PM, Susan Ferguson <[email protected]> wrote:\nHello- I received an AI-100S icemaker in March 2014. I used it one time and within 4 hours the cooling unit had shut down. My best estimate is that the pump was still working (the water was getting pumped through) but the cooling mechanism was not. When I plugged the unit back in to try it a few hours later, the cooling mechanism never turned on.\n\nSince this product is still under warranty, I am hoping to acquire a new unit since this particular one has essentially never been used and is obviously faulty in some capacity.\n\nI have attached the receipt for your reference. It was purchased as a gift through Amazon Marketplace. Thanks so much and I look forward to your response.\n\nSusan Ferguson", "summary": "NewAir will not stand behind their products - company emails included", "unixReviewTime": 1415923200}
{"overall": 1.0, "verified": false, "reviewTime": "11 14, 2014", "reviewerID": "A3SM7H70QI3TY8", "asin": "B000N6302Q", "style": {"Color:": " Blue"}, "reviewerName": "SRH", "reviewText": "We would give less than 1 star if possible DONT BUY THIS PRODUCT. The ice machine stopped working four hours after we used it the first time. We notified New Air and they stated they would not honor their one year warranty because \"an authorized dealer didn't sell\". We bought this product on Amazon and never even thought we would have to cross check our purchase with the manufacturer. NewAir does not stand by their products and they will use any method to get out of honoring their warranty. I have a $200 piece of junk now, I will NEVER buy another NewAir product again.", "summary": "WHAT A PIECE OF JUNK! NewAir doesn't stand by their products!", "unixReviewTime": 1415923200}
{"overall": 1.0, "verified": false, "reviewTime": "11 14, 2014", "reviewerID": "A3SM7H70QI3TY8", "asin": "B000N6302Q", "style": {"Color:": " Silver"}, "reviewerName": "SRH", "reviewText": "We would give less than 1 star if possible DONT BUY THIS PRODUCT. The ice machine stopped working four hours after we used it the first time. We notified New Air and they stated they would not honor their one year warranty because \"an authorized dealer didn't sell\". We bought this product on Amazon and never even thought we would have to cross check our purchase with the manufacturer. NewAir does not stand by their products and they will use any method to get out of honoring their warranty. I have a $200 piece of junk now, I will NEVER buy another NewAir product again.", "summary": "PIECE OF JUNK and NewAir doesn't stand by their products.", "unixReviewTime": 1415923200}
{"overall": 5.0, "verified": true, "reviewTime": "04 30, 2016", "reviewerID": "A3GP2HMB2AFOKF", "asin": "B000NCTOUM", "reviewerName": "Juan", "reviewText": "Great product", "summary": "Five Stars", "unixReviewTime": 1461974400}
{"overall": 5.0, "verified": true, "reviewTime": "11 11, 2015", "reviewerID": "AR3OHHHW01A8E", "asin": "B000NCTOUM", "reviewerName": "Calvin E Reames", "reviewText": "Did the job for fixing our Maytag dryer", "summary": "Works on a Maytag also", "unixReviewTime": 1447200000}
{"overall": 2.0, "verified": true, "reviewTime": "08 24, 2015", "reviewerID": "AJPRN1TD1A0SD", "asin": "B000NCTOUM", "reviewerName": "transporter", "reviewText": "cheap", "summary": "Two Stars", "unixReviewTime": 1440374400}
{"overall": 5.0, "verified": true, "reviewTime": "01 7, 2015", "reviewerID": "A1AJW9DILZFTQI", "asin": "B000NCTOUM", "reviewerName": "Riteway Appliance", "reviewText": "Great deal and fast shipping!", "summary": "Five Stars", "unixReviewTime": 1420588800}
{"overall": 5.0, "verified": true, "reviewTime": "12 3, 2014", "reviewerID": "A11SCLK8GDDN3C", "asin": "B000NCTOUM", "reviewerName": "mrclobhead", "reviewText": "All was fine, product was as advertised.", "summary": "Five Stars", "unixReviewTime": 1417564800}
{"overall": 5.0, "verified": true, "reviewTime": "11 21, 2014", "reviewerID": "A1LN48DHHCKLR3", "asin": "B000NCTOUM", "reviewerName": "Ernest Danel", "reviewText": "received ok", "summary": "Five Stars", "unixReviewTime": 1416528000}
{"overall": 4.0, "verified": true, "reviewTime": "08 30, 2014", "reviewerID": "A34A1UP40713F8", "asin": "B000NCTOUM", "reviewerName": "James. Backus", "reviewText": "A spare thermofuse. Two years ago my dryer spun but there was no heat. I got a service tech undid the back and changed it in seconds. So I decided for the price I ordered a spare just in case.", "summary": "A spare thermofuse. Two years ago my dryer spun ...", "unixReviewTime": 1409356800}
{"overall": 5.0, "vote": "7", "verified": true, "reviewTime": "12 6, 2012", "reviewerID": "A3NHUQ33CFH3VM", "asin": "B000VLI74Y", "style": {"Size:": " 1"}, "reviewerName": "Greeny", "reviewText": "Since the motor on my humidifier still works, all I had to do was run vinegar through it twice and replace the filter. It's operating good as new, at least until it doesn't.\n\nThe filter is important as it reduces the really fine white dust just as advertised. There's no way to look at the old used filter to know it should be replaced, but there's no way one of these can be used for two seasons.", "summary": "Helping get another season out of humidifier", "unixReviewTime": 1354752000}
{"overall": 2.0, "vote": "2", "verified": false, "reviewTime": "08 5, 2011", "reviewerID": "A3LGZ8M29PBNGG", "asin": "B000W3P4AQ", "reviewerName": "nerenttt", "reviewText": "i cook only once in a blue moon. i was shocked to see with as little use as this range has had that the grates look like they were under heavy use for years!!! i called Jenn air and spoke with Adam A. and they wouldn't exchange them or fix them. they only offered my 25% off ( which was the same price anyway from the internet). i can't really compare much else on the range since i haven't used it much and i am not much of a cook! the stainless steel does tend to rust and stain. i got a stainless steel fridge and dishwasher at the same time by other brands and those seem to not have the same stainless steel issues.", "summary": "grate scratches so easily", "unixReviewTime": 1312502400}
{"overall": 4.0, "verified": true, "reviewTime": "04 9, 2017", "reviewerID": "A1T1YSCDW0PD25", "asin": "B000XTJRRA", "reviewerName": "Lantana Al", "reviewText": "I like this unit but am deducting one star because of the limited viewing angles. When you view from the sides or from the top or bottom, the display becomes much more difficult to read. It's not nearly as clear as the product photos. The display is also rather glossy to you wouldn't want it reflecting something bright, like a window.", "summary": "Good product but limited viewing angles", "unixReviewTime": 1491696000}
{"overall": 5.0, "verified": false, "reviewTime": "10 10, 2014", "reviewerID": "A26M3TN8QICJ3K", "asin": "B000XXWOGW", "reviewerName": "Marty Baker", "reviewText": "Great. Just what I needed.", "summary": "Five Stars", "unixReviewTime": 1412899200}
{"overall": 3.0, "verified": true, "reviewTime": "08 29, 2014", "reviewerID": "A1H2V1GNEY4LZ0", "asin": "B000XXWOGW", "reviewerName": "Handyman", "reviewText": "The connect did not match up where I had to modidify it to work.", "summary": "Good delivery for the price.", "unixReviewTime": 1409270400}
{"overall": 5.0, "verified": true, "reviewTime": "12 26, 2013", "reviewerID": "A1EUO0BU72JR7T", "asin": "B000XXWOGW", "reviewerName": "Bilbo", "reviewText": "Consider the wisdom of spending a lot of money on replacement parts for a 10+ year old washer that you originally bought for $400. This is one of the cheaper parts so I could see getting this one (and maybe the agitator dogs and motor couplings). If you're having problems with your motor/clutch/timer or other electrical part, you might want to think about getting another top loader like an Amana before they stop carrying them in stores in about a year or so...", "summary": "Works well as a replacement, if that's what you want to do...", "unixReviewTime": 1388016000}
{"overall": 1.0, "verified": true, "reviewTime": "11 2, 2013", "reviewerID": "A2HDUVKXR5CM7H", "asin": "B000XXWOGW", "reviewerName": "MIKE", "reviewText": "see original remarks, made the mistake of buying it again from same dealer same problems different machine. Save your money !!", "summary": "garbage", "unixReviewTime": 1383350400}
{"overall": 3.0, "verified": true, "reviewTime": "09 17, 2015", "reviewerID": "A1HWFUO5PKB2RW", "asin": "B000XXYUSM", "reviewerName": "Greg bernal", "reviewText": "they ok parts", "summary": "Three Stars", "unixReviewTime": 1442448000}
{"overall": 5.0, "verified": true, "reviewTime": "11 21, 2014", "reviewerID": "A1LN48DHHCKLR3", "asin": "B000XXYUSM", "reviewerName": "Ernest Danel", "reviewText": "received ok", "summary": "Five Stars", "unixReviewTime": 1416528000}
{"overall": 5.0, "verified": true, "reviewTime": "11 1, 2015", "reviewerID": "A1RQQV9HYHDHDN", "asin": "B00126NABC", "reviewerName": "Adam Baer", "reviewText": "Worked as expected, quality GE product. Water tastes good. Would recommend and will buy again.", "summary": "Easy install", "unixReviewTime": 1446336000}
{"overall": 3.0, "vote": "5", "verified": true, "reviewTime": "09 25, 2011", "reviewerID": "A3NHUQ33CFH3VM", "asin": "B00126NABC", "reviewerName": "Greeny", "reviewText": "This is one of the more effective water filters I've used. It states 300 gallon service capacity. At least I've used them for over that amount without issue.\n\nWhen you change filters, the flow acts funny for about the first half gallon - that's normal. Some filters produce cloudy-looking water for the first gallon, but this one doesn't. I've had no issues with these filters.\n\nThis is by far the simplest, most secure and easiest filter to install that I've experienced. Also, I didn't find a better deal anywhere else including the manufacturer's site. They try to sell these single by single, but sometimes in a pack of three.\n\nIt's just another filter to keep buying at its hefty price. But its easy to install.", "summary": "Better deal than on manufacturer's site. Does not last long", "unixReviewTime": 1316908800}
{"overall": 4.0, "verified": true, "reviewTime": "09 12, 2011", "reviewerID": "A26Y776G7VVBCQ", "asin": "B00126NABC", "reviewerName": "JPM", "reviewText": "Works great. Best price I could find on the internest. Shipped quickly with no problems. Will buy this again in 8 months when I need another one.", "summary": "Perfect Fit and OEM part", "unixReviewTime": 1315785600}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/418i+RDczcL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/51VvC6xqLKL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/41lsJSgwysL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/412IrI4ha8L._SY88.jpg"], "overall": 5.0, "vote": "11", "verified": true, "reviewTime": "09 16, 2008", "reviewerID": "A1T1YSCDW0PD25", "asin": "B0013DN4NI", "reviewerName": "Lantana Al", "reviewText": "This is a great little tool. I use to use a bigger Dewalt unit, which was nice, but bigger and heavier than needed. The Hitachi should be able to do 99% of what I did with my Dewalt. I was also impressed with how fast the batteries charge (40 minutes). The build quality seems excellent. It comes with some bits (see photo I uploaded), two batteries, charger, and a plastic case. The LED lights are a plus.\n\nNote though, that this doesn't have two \"speeds\" like my older Dewalt does, having a driving speed and a drilling speed. This Hitachi may be a bit slow for drilling.", "summary": "Great little power tool", "unixReviewTime": 1221523200}
{"overall": 2.0, "vote": "3", "verified": false, "reviewTime": "08 5, 2011", "reviewerID": "A3LGZ8M29PBNGG", "asin": "B00147DFQ4", "reviewerName": "nerenttt", "reviewText": "i cook only once in a blue moon. i was shocked to see with as little use as this range has had that the grates look like they were under heavy use for years!!! i called Jenn air and spoke with Adam A. and they wouldn't exchange them or fix them. they only offered my 25% off ( which was the same price anyway from the internet). i can't really compare much else on the range since i haven't used it much and i am not much of a cook! the stainless steel does tend to rust and stain. i got a stainless steel fridge and dishwasher at the same time by other brands and those seem to not have the same stainless steel issues.", "summary": "grate scratches so easily- looks old almost instantly", "unixReviewTime": 1312502400}
{"overall": 4.0, "verified": true, "reviewTime": "06 6, 2013", "reviewerID": "A1OB2H416ARLFJ", "asin": "B00149JVOC", "reviewerName": "Commando Big", "reviewText": "I only use the namebrand filters. I believe that you get what you pay for and I have used these filters for years. They suit my needs.", "summary": "ONLY One I use", "unixReviewTime": 1370476800}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/71FdVLhvIUL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/71yNPgGXDkL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/61OxcmqxfVL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81Ylf72q37L._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/8170szImlpL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81hEavgT8ZL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81sf3DhBszL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/718a8mt10BL._SY88.jpg"], "overall": 4.0, "vote": "4", "verified": true, "reviewTime": "01 15, 2018", "reviewerID": "A1WD61B0C3KQZB", "asin": "B0014CN8Y8", "reviewerName": "Jason W.", "reviewText": "Great product but they need to include more rods in the kit. I had to buy a second set of rods and that still wasn't enough so Ill end up spending $60+ dollars on this kit which isn't terrible if you factor what you would get charged out in town, but still, its plastic rods with a brush attached....thats overpriced for something so simple.\n\nSo enough of me complaining about it being overpriced and get to the review. It works GREAT if you aren't an idiot and use common sense when using it.\n\n1. Always CLOCKWISE..... again always CLOCKWISE, I cant be anymore clear about this.\n2. Use electrical tape or duct tape as a backup in case you screw up on number 1 above. Its a good safety measure so just do it, it only takes a few seconds per rod to wrap in tape.\n3. Feed one rod at a time, taping each one as you go.\n4. Dont force the rods if you get resistance with the drill attached. If you get resistance, remove the drill from the rod and using your hands wiggle/shift the rods until you get past the resistance and then reconnect the drill and continue. Most likely if you reach resistance is likely one of two things. (1) You have a large bend in your duct or (2) you have a lot of blockage. If its number 2, start pulling the rod out (with or without the drill attached (if the drill remains attached, remember to always spin CLOCKWISE) as youve probably hit a patch of lint clogged heavily in one area. Pulling the rod out will likely pull a large portion of lint youve broken loose out with the rod and brush attachment so vacuum it up or blow it out if you have a leaf blower and then start again (I didn't disconnect rods during this step but I did take my time to hand feed the rod and brush back in to ensure I didn't damage the rods).\n5. Once youve reached the end of your vent, start pulling your rods out the same way you went in (CLOCKWISE) so that you catch any debris you might have missed on the initial cleaning. I pushed the brush through 2-3 times in total from different sides of the vent since I was short a few rods and used the leaf blower 4-6 times in between to ensure I was pushing any lint to the exterior of the house (never blow the leaf blower into the house, only blow to the outside of the house unless you want a HUGE mess in your house.\n6. Lastly, Id recommend using a face mask/respirator mask as this stuff is messy and you don't know whats growing in it. I had some cheap carpentry mask but will use a better version next time I clean it as its not fun to breath in.", "summary": "Works Great, Just Use Common Sense When Doing It!!!", "unixReviewTime": 1515974400}
{"overall": 5.0, "vote": "309", "verified": true, "reviewTime": "02 25, 2017", "reviewerID": "A8WEXFRWX1ZHH", "asin": "B0014CN8Y8", "reviewerName": "Goldengate", "reviewText": "I bought this last October and finally got around to cleaning our 15-foot dryer duct run. It's just not the type of thing that's at the top of your list... like \"Wow, should I go see a movie, or clean our dryer duct?\" However, our dryer was drying slower and slower, and I knew it was a task that I needed to tackle, so I read the very long instruction book for this and began my work. The instructions really need to be re-written and simplified. My Sony TV has a smaller instruction manual. But I do appreciate the manufacturer's thoroughness. For those of you with short attention spans here's my quick start guide:\n\n1. Screw the rods together and use electrical or duct tape to reinforce the joints to keep them from unscrewing during your work.\n2. Stick one end of rod in your drill and set the clutch pretty close to the lowest or second lowest setting, then increase power if you need it.\n3. Attached brush to other end of rod with supplied key wrench / allen wrench and tighten.\n4. Make sure your drill is on clockwise - not reverse - mode or else the rods will unscrew inside your duct and you're screwed.\n5. Read #4 again.\n6. Turn dryer on air mode and then insert the brush in the pipe outside and begin spinning it by activating the drill. Push it in about a foot, then pull it out and watch the lint fly. Then push it in 2 feet and pull it out and watch the lint fly. Then 3 feet... etc.\n7. Marvel at how much lint came out.\n8. Marvel at how fast your dryer is and come write a review here.\n9. Wash the clothes you were wearing when you did this because they are now covered in lint.\n\nHope this helps. It's a quick job and well worth it the trouble!", "summary": "A great device that has my dryer working well again. Simple instructions here.", "unixReviewTime": 1487980800}
{"overall": 5.0, "vote": "15", "verified": true, "reviewTime": "12 21, 2016", "reviewerID": "A3VYM3NY7W4MX4", "asin": "B0014CN8Y8", "reviewerName": "MarkS", "reviewText": "This review is for Gardus RLE202 LintEater 10-Piece Rotary Dryer Vent Cleaning System\n\nWeve been paying $75 per visit for the service guy from the appliance store to come every 4-5 months and clean the flexible duct thats routed in a less than optimal manner due to location and a variety of road blocks from the dryer to the outside wall.\n\nWe knew the time was coming for a cleaning when clothes didn't dry very well and right near the end when it REALLY needed cleaning, there would actually be water on the floor under the dryer.\n\nI had to use some vacation days or lose them and was recently at home for the first time when he came. I watched the process and thought, *I* should be doing this if thats all it is!\n\nI did my research, LintEater is pretty clearly the way to go and made my purchase. Youve got to love Amazon Prime!\n\nLike with ANY product, you have weigh the number of positive reviews against the handful of bad ones. The bad reviews are likely from people who are mechanically challenged or didn't read the manual or watch YouTube videos to get an idea of how the process works.\n\nThe pictures of the twisted rod? Someone had one of more of these: Speed too high, clutch too high or didn't use a clutched drill at all, pushed against an impassable bend or obstruction on the vent pipe.\n\nDisconnected or broke in the vent pipe? The rods cant come apart if you run the drill ONLY clockwise. Thats simple physics they simply cant come apart IF you use clockwise ONLY. The brush head broke or stripped out is going to be like the twisted rod; speed too high, clutch too high or didn't use a clutched drill at all, pushed against an impassable bend or obstruction on the vent pipe.\n\n- CLOCKWISE ONLY for both going into and back out of the vent tube!\n\n- My cordless drill is a Ridgid model R82005 3/8. The clutch goes from 0 to 16.5. It has a switch marked 1 & 2 for overall speed. I set the clutch to FOUR and the speed to ONE. You're not drilling holes or driving screws... you're not going as hard and fast as you can. Slow and easy wins this particular race.\n\n- I put red Loctite thread locker on the threads attaching the rotary brush head to the rod AND to the set screw.\n\n- As I added each section, I tightened them against each other with a pair of pliers on each section. THEN, I wrapped electrical tape a couple times around the joined sections. This is all just common sense insurance against disaster.\n\n- The female ends of the rod that go into the drill chuck aren't knurled, but I had no problem with them spinning in the chuck. Slow speed and minimal torque are probably why this was not an issue.\n\nNOTE: I didn't think Id need the extra rod extensions, but I do and came back to order them. To get this done for now, I had to do half from inside the house and half from outside.\n\n- INSIDE the house, vent pipe disconnected from the dryer, I used the vent insert in the vent pipe end with a Ridgid 6HP shop vac and the cleaning tool rod through the provided hole in the insert. This worked fantastically well; I had to clean the vac filter a couple times due to all the lint.\n\n- OUTSIDE the house, I didn't bother with the vacuum, figuring the birds would get whatever lint they found or the elements would just break it down pretty quickly. Turn the dryer ON to blow out the loosened lint as you clean the pipe, wear googles or something to keep the lint dust out of your eyes and off you go!", "summary": "5 stars isn't enough to rate this product! It's saved me A LOT of money!", "unixReviewTime": 1482278400}
{"overall": 3.0, "vote": "6", "verified": true, "reviewTime": "12 6, 2016", "reviewerID": "A25C30G90PKSQA", "asin": "B0014CN8Y8", "reviewerName": "CP", "reviewText": "first thing first: it works. the kit is great in what it consists of and the price is just right i think. to call someone to clean my dryer vents i got quoted from 80 all the way up to 200 bucks. so if you were able to do it yourself you will need to invest a bit more in a \"construction\" vacuum that cost about 80-100 bucks and start the savings basically from the second time you do it.\n\nso whats with the 3*? my brush broke inside my vent!!!! while i was pulling it out, and yes i was using a drill, all the pieces came out except the round brush. i had to climb to my attic and push it from the other side to come out... what was supposed to be an easy task ended up with me spending over an hour extra in climbing in my attic, disassembling the HVAC pipe so that i can get in there and push down on the brush...\n\nanother minus for this kit is that while it is fairly bendy, it will not go very smoothly through your flexible insulated pipes and most likely push the pipe out from its connector.\n\nwith all that said, if your vent duct doesnt have to many bends, and you want to take the risk (maybe i had a defective kit that the brush broke), you might save a lot of money doing it yourself!", "summary": "good kit with some caveats", "unixReviewTime": 1480982400}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/71rrhRfUnpL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81jduZPj46L._SY88.jpg"], "overall": 5.0, "vote": "6", "verified": true, "reviewTime": "12 6, 2016", "reviewerID": "A2B2JVUX5YN8RU", "asin": "B0014CN8Y8", "reviewerName": "Caleb", "reviewText": "Works great. I used it and an extension kit with extra rods to to clean a 21 foot long vent with a two right angle turns and it did a fantastic job with the adapter that lets you put the rod through and attach a shop vac. Got a TON of lint out, about a 5 gallon bucket full. Inside of the vent was left shiny and clean. Good for safety especially with such a long vent and to my surprise the dryer actually works quite a bit better now. On the auto cycle I used to have to run it again if I was drying heavy things like jeans or blankets/comforters etc... to fully dry things. Now it does it in one cycle and take about 25% less time to go through the auto dry cycle.\n\nI was just wanting to clean out a potential fire hazard but it really does make a big difference running through a dirty vent vs. a clean one. Might be due to the long length of my vent but very happy with this product.", "summary": "Worked like a charm", "unixReviewTime": 1480982400}
{"overall": 5.0, "vote": "9", "verified": true, "reviewTime": "11 9, 2016", "reviewerID": "AMY6O4Z9HINO0", "asin": "B0014CN8Y8", "reviewerName": "J. Foust", "reviewText": "The lint eater is amazing! We recently bought a house that was built in 2001 and previously owned by an older lady, so I assumed the dryer vent had never been cleaned. Before setting up the dryer, I wanted to give the vent line a thorough cleaning for safety's sake and to help the dryer run as efficiently as possible. Well, I'm glad I did! The exterior cover on the vent had been gone for some time, and the amount of leaves and pine needles plus lint wads that I got out were shocking! It seemed like every time I ran the LintEater through line, it dislodged another fist-sized wad of stuff. When I first hooked up the shop vac inside the house, and went out to the vent exit, there was almost zero air getting sucked in. The wads were so huge that they kept stopping up my shop vac hose and I had to keep going inside to clean it out. After all was said and done, my vent line is free-flowing and working as good as new. Glad I spent the money on this product!\n\nHelpful tip - when I started, I just jammed all of the rods together and tried to work it into the vent line. It's way too unwieldy this way, and every time you hit the power on the drill, the rods get kinked and knotted up because they're so flexible. Start with one, and when that one gets most of the way into the vent line, add another. Repeat as necessary and you'll have a MUCH easier time.", "summary": "Excellent choice for cleaning out dryer vent line. Worth every penny!", "unixReviewTime": 1478649600}
{"overall": 3.0, "vote": "8", "verified": true, "reviewTime": "09 10, 2016", "reviewerID": "A3TMNU7VNK5JJE", "asin": "B0014CN8Y8", "reviewerName": "Lisa Rodeheaver", "reviewText": "At first this contraption was a little confusing. I read the directions about 3 times before I felt okay about going through with the project - was not fully confident as there were a lot of warnings about making sure the drill was going the right way/you turned it the right way so you wouldn't lose rods in the dryer vent. Scared me a little. However, the project turned out really well. We didn't lose any rods (thankfully) and we got out the birds nest that had taken residence in our dryer vent!!\nThe part that was for the lint catcher was convenient as well and is actually recommended to be used at least once a month in order to clean out the lint catcher. I do need to keep up with this but it isn't convenient to have to put together and tape the rods each time when you only really use it for a couple of minutes. However, if you have a handy space to keep it already together, I can see how this would be even better for keeping up with cleaning the lint out.", "summary": "Does what it needs to", "unixReviewTime": 1473465600}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/71yzyqw35WL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/71v5HufQPjL._SY88.jpg"], "overall": 5.0, "vote": "5", "verified": true, "reviewTime": "03 20, 2016", "reviewerID": "A1IT56MV1C09VS", "asin": "B0014CN8Y8", "reviewerName": "Looneypenguin", "reviewText": "Anyone who thinks they don't have a problem with lint should look at these pictures. My house is only 10 years old and this is what came out of our vent. That doesn't even include what was cleaned out from our dryer filter and what was in just the dryer unit. This product is very easy to use. I definitely suggest taping each junction to make sure they don't separate in the vent. I broke my cleaning into 4 cleanings. Fist cleaning was with just the brush and the first extension. After ensuring that section is clean I added the second and so forth until the brush came out clean. Given the length of the brush with all four sections, I found it easier to have another set of hands guide the brush into the vent while the other set was operating the drill.\nI noticed that when I turned the dryer back on there was some lint that was dislodged and blew out the outside vent opening. Unfortunately in my case some lodged between the slats and is keeping the vent opening from fully closing. I will be making a trip up my ladder once the ground dries a little so I can remove those pieces. A little price to pay for a clean vent.", "summary": "Excellent product and showed me that my vent obviously needed a cleaning", "unixReviewTime": 1458432000}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/814D91i+XEL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81y8vVc4x5L._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/91Do1uXzrVL._SY88.jpg"], "overall": 5.0, "vote": "165", "verified": true, "reviewTime": "12 5, 2015", "reviewerID": "A2LDP3A4IE9T6T", "asin": "B0014CN8Y8", "reviewerName": "mike27971", "reviewText": "We have 24 foot of solid dryer vent pipe ending in 3 right-angles before going through the floor into the flexible dryer-vent hose coming from the dryer. I can't get behind the dryer without moving both the washer and dryer and they are HEAVY. So being lazy I decided to clean the vent from the outside of the house inward. I didn't use a vacuum cleaner or a blower or suction of any kind. I did tighten each section of tubing with pliers and taped them. I threaded all 24 foot of tubing with the brush on the end into the outside vent and then backed it out. I got a good amount of lint clods out. Then I turned on the dryer to blow everything out. I got no air coming out at all. My fear had come true, I had forced gobs of lint into the right-angles at the end of the run. I still didn't want to move that washer and dryer so I figured I'd try one other thing, use the clodbuster attachment. Now I'm really getting lazy so I tightened each tubing section by hand (no pliers) and didn't use tape. I pushed all 24 foot of tubing into the vent until I hit some resistance and then turned the tubing by hand (too lazy to hook the drill up). Then I pulled it all out and there wasn't any lint at all that came out. So now I'm resigned to having to move the washer and dryer, but before I do I figured I might as well turn the dryer on and see what happens. Lots of lint clods blew out and kept coming out for about 20 seconds. I've attached pictures of it. I'm really happy with this product and if it worked for me with all the shortcuts I took it will probably work great for you. As a point of reference we built this house five years ago and this is the first time I ever cleaned the vent. A load of ten bath towels used to take 45 minutes to dry, lately it's been taking 3 to 4 hours, so I knew I couldn't put cleaning the pipe off any longer.", "summary": "This really worked well even taking shortcuts", "unixReviewTime": 1449273600}
{"overall": 5.0, "verified": true, "reviewTime": "11 27, 2014", "reviewerID": "A3NHUQ33CFH3VM", "asin": "B0014CN8Y8", "reviewerName": "Greeny", "reviewText": "This is a complete kit for cleaning the dryer vents, a necessary thing. I had checked all the products and this was the best deal at the time I got it.", "summary": "Complete kit for cleaning out dryer vents", "unixReviewTime": 1417046400}
{"overall": 5.0, "vote": "1,913", "verified": true, "reviewTime": "03 2, 2011", "reviewerID": "A21TPY9BVC9IKZ", "asin": "B0014CN8Y8", "reviewerName": "Ann", "reviewText": "So, this is what life comes down to when you are 50 years old: reviewing dryer vent cleaners while sitting at your kitchen table waiting for American Idol. This is not what I envisioned when I was 12, I can tell you that much. You kids who think it won't happen to you?\n\nIt will. Sorry to burst your bubble.\n\nThat said, the product works great. Our dryer pretty much stopped working and we were thinking we needed a new one, which was seriously going to eat into my plastic surgery budget. One last shot before a trip to the appliance store was this Gardus LintEater. My husband, who is not the handy one of the family, had to do the work as I have a torn labrum. (Which sounds dirtier than it is - that's part of your shoulder.) He, the clumsiest man in the world, had absolutely no problem using this. I warned him to read the directions first, and he actually listened and followed. He hooked it up to the drill, and away he went. He got a bunch of musty, wet lint that had probably been up inside the wall since 1977 - probably consisting of bell bottom material and macram.\n\nNow our dryer actually dries clothes again, and I can continue to save for my facelift. Thank you Gardus.", "summary": "Eats Lint", "unixReviewTime": 1299024000}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/610HlL00nVL._SY88.jpg"], "overall": 4.0, "vote": "77", "verified": true, "reviewTime": "03 6, 2010", "reviewerID": "A1T1YSCDW0PD25", "asin": "B0014CN8Y8", "reviewerName": "Lantana Al", "reviewText": "I used this today, going in from the roof.\n\nPros:\n* Works great to clean out lint - almost \"fun\" to use and see the lint come out\n* Comes with a short & helpful DVD (English & French)\n* I almost gave it 5 stars but because of the cons I think 4 stars is more appropriate\n\nCons:\n* *** BE CAREFUL *** Have to be careful not to purposely or *accidentally* put the drill into reverse or the brush head will detach/unscrew\n* *** BE CAREFUL *** Set your drill clutch to no more than half of the maximum setting or the rods may break from too much torque\n* I wonder about the possibility of a rod breaking or brush unscrewing... I wonder how tough this thing is... it seems decent, but I would be more confident if it seemed very well built instead of just \"decent\".\n\nOther:\n* See the photos I uploaded. I was surprised how much lint came out.\n* My 3-year-old enjoyed watching the DVD over and over!\n* I went in from the exhaust on the roof and had the dryer blowing cool air out", "summary": "Works great but be careful!", "unixReviewTime": 1267833600}
{"overall": 5.0, "verified": true, "reviewTime": "11 17, 2015", "reviewerID": "A34A1UP40713F8", "asin": "B000VL060M", "reviewerName": "James. Backus", "reviewText": "I bought a new range hood and found I needed a filter as it did not come with it. I looked at it at Home Depot for about 9 dollars more then using Amazon Prime and having it the door within 2 days. It fit perfectly our new hood.", "summary": "I bought a new range hood and found I needed ...", "unixReviewTime": 1447718400}
{"overall": 5.0, "verified": true, "reviewTime": "03 8, 2015", "reviewerID": "A3B1B4E184FSUZ", "asin": "B000VL060M", "reviewerName": "jobeck1", "reviewText": "A+", "summary": "Five Stars", "unixReviewTime": 1425772800}
{"overall": 5.0, "verified": true, "reviewTime": "08 29, 2014", "reviewerID": "A1H2V1GNEY4LZ0", "asin": "B0015S4KIO", "reviewerName": "Handyman", "reviewText": "Fitted perfectly!", "summary": "Very reasonable priced!", "unixReviewTime": 1409270400}
{"overall": 5.0, "verified": true, "reviewTime": "07 3, 2016", "reviewerID": "A1RQQV9HYHDHDN", "asin": "B0015UGPWQ", "style": {"Size Name:": " 4 Inch"}, "reviewerName": "Adam Baer", "reviewText": "Moved into new apt, needed dryer vent hose, this fit the bill. The compression clamps made install a snap.", "summary": "Quick and easy install", "unixReviewTime": 1467504000}
{"overall": 5.0, "verified": true, "reviewTime": "01 21, 2016", "reviewerID": "A1AHW6I678O6F2", "asin": "B0015UGPWQ", "style": {"Size Name:": " 4 Inch"}, "reviewerName": "kevin.", "reviewText": "very nice product", "summary": "Five Stars", "unixReviewTime": 1453334400}
{"overall": 5.0, "verified": true, "reviewTime": "08 5, 2015", "reviewerID": "A8R48NKTGCJDQ", "asin": "B0015UGPWQ", "style": {"Size Name:": " 4 Inch"}, "reviewerName": "CDBrannom", "reviewText": "Fits perfectly", "summary": "Five Stars", "unixReviewTime": 1438732800}
{"overall": 5.0, "verified": true, "reviewTime": "04 24, 2015", "reviewerID": "AR3OHHHW01A8E", "asin": "B0015UGPWQ", "style": {"Size Name:": " 4 Inch"}, "reviewerName": "Calvin E Reames", "reviewText": "Easy install on dryer", "summary": "Don't forget when to install the securing devices", "unixReviewTime": 1429833600}
{"overall": 5.0, "verified": true, "reviewTime": "03 8, 2015", "reviewerID": "A3B1B4E184FSUZ", "asin": "B0015UGPWQ", "style": {"Size Name:": " 4 Inch"}, "reviewerName": "jobeck1", "reviewText": "A+", "summary": "Five Stars", "unixReviewTime": 1425772800}
{"overall": 4.0, "verified": true, "reviewTime": "08 22, 2013", "reviewerID": "A34A1UP40713F8", "asin": "B0015UGPWQ", "style": {"Size Name:": " 4 Inch"}, "reviewerName": "James. Backus", "reviewText": "I did not use the clamps but rather used the screw clamps I had . Fits well and was the proper height.", "summary": "Worked", "unixReviewTime": 1377129600}
{"overall": 5.0, "verified": true, "reviewTime": "01 21, 2016", "reviewerID": "A1AHW6I678O6F2", "asin": "B001769IVI", "reviewerName": "kevin.", "reviewText": "a must for washers", "summary": "Five Stars", "unixReviewTime": 1453334400}
{"overall": 5.0, "verified": true, "reviewTime": "08 16, 2015", "reviewerID": "A1Y4UNHRP312HS", "asin": "B001769IVI", "reviewerName": "Colorado Jerry", "reviewText": "I used these (2) hoses to replace the original equipment rubber hoses. My previous experience with these hoses gave me peace of mind when I would be away from my home for extended vacations. I expect years of leak-free use.", "summary": "I used these (2) hoses to replace the original equipment ...", "unixReviewTime": 1439683200}
{"overall": 3.0, "verified": true, "reviewTime": "08 5, 2015", "reviewerID": "A8R48NKTGCJDQ", "asin": "B001769IVI", "reviewerName": "CDBrannom", "reviewText": "A hose was included with our machine so we didn't need this. Otherwise it would have been fine.", "summary": "Otherwise it would have been fine.", "unixReviewTime": 1438732800}
{"overall": 5.0, "vote": "7", "verified": true, "reviewTime": "12 6, 2012", "reviewerID": "A3NHUQ33CFH3VM", "asin": "B000VLI74Y", "style": {"Size:": " 1"}, "reviewerName": "Greeny", "reviewText": "Since the motor on my humidifier still works, all I had to do was run vinegar through it twice and replace the filter. It's operating good as new, at least until it doesn't.\n\nThe filter is important as it reduces the really fine white dust just as advertised. There's no way to look at the old used filter to know it should be replaced, but there's no way one of these can be used for two seasons.", "summary": "Helping get another season out of humidifier", "unixReviewTime": 1354752000}
{"overall": 2.0, "vote": "2", "verified": false, "reviewTime": "08 5, 2011", "reviewerID": "A3LGZ8M29PBNGG", "asin": "B000W3P4AQ", "reviewerName": "nerenttt", "reviewText": "i cook only once in a blue moon. i was shocked to see with as little use as this range has had that the grates look like they were under heavy use for years!!! i called Jenn air and spoke with Adam A. and they wouldn't exchange them or fix them. they only offered my 25% off ( which was the same price anyway from the internet). i can't really compare much else on the range since i haven't used it much and i am not much of a cook! the stainless steel does tend to rust and stain. i got a stainless steel fridge and dishwasher at the same time by other brands and those seem to not have the same stainless steel issues.", "summary": "grate scratches so easily", "unixReviewTime": 1312502400}
{"overall": 4.0, "verified": true, "reviewTime": "04 9, 2017", "reviewerID": "A1T1YSCDW0PD25", "asin": "B000XTJRRA", "reviewerName": "Lantana Al", "reviewText": "I like this unit but am deducting one star because of the limited viewing angles. When you view from the sides or from the top or bottom, the display becomes much more difficult to read. It's not nearly as clear as the product photos. The display is also rather glossy to you wouldn't want it reflecting something bright, like a window.", "summary": "Good product but limited viewing angles", "unixReviewTime": 1491696000}
{"overall": 5.0, "verified": false, "reviewTime": "10 10, 2014", "reviewerID": "A26M3TN8QICJ3K", "asin": "B000XXWOGW", "reviewerName": "Marty Baker", "reviewText": "Great. Just what I needed.", "summary": "Five Stars", "unixReviewTime": 1412899200}
{"overall": 3.0, "verified": true, "reviewTime": "08 29, 2014", "reviewerID": "A1H2V1GNEY4LZ0", "asin": "B000XXWOGW", "reviewerName": "Handyman", "reviewText": "The connect did not match up where I had to modidify it to work.", "summary": "Good delivery for the price.", "unixReviewTime": 1409270400}
{"overall": 5.0, "verified": true, "reviewTime": "12 26, 2013", "reviewerID": "A1EUO0BU72JR7T", "asin": "B000XXWOGW", "reviewerName": "Bilbo", "reviewText": "Consider the wisdom of spending a lot of money on replacement parts for a 10+ year old washer that you originally bought for $400. This is one of the cheaper parts so I could see getting this one (and maybe the agitator dogs and motor couplings). If you're having problems with your motor/clutch/timer or other electrical part, you might want to think about getting another top loader like an Amana before they stop carrying them in stores in about a year or so...", "summary": "Works well as a replacement, if that's what you want to do...", "unixReviewTime": 1388016000}
{"overall": 1.0, "verified": true, "reviewTime": "11 2, 2013", "reviewerID": "A2HDUVKXR5CM7H", "asin": "B000XXWOGW", "reviewerName": "MIKE", "reviewText": "see original remarks, made the mistake of buying it again from same dealer same problems different machine. Save your money !!", "summary": "garbage", "unixReviewTime": 1383350400}
{"overall": 3.0, "verified": true, "reviewTime": "09 17, 2015", "reviewerID": "A1HWFUO5PKB2RW", "asin": "B000XXYUSM", "reviewerName": "Greg bernal", "reviewText": "they ok parts", "summary": "Three Stars", "unixReviewTime": 1442448000}
{"overall": 5.0, "verified": true, "reviewTime": "11 21, 2014", "reviewerID": "A1LN48DHHCKLR3", "asin": "B000XXYUSM", "reviewerName": "Ernest Danel", "reviewText": "received ok", "summary": "Five Stars", "unixReviewTime": 1416528000}
{"overall": 5.0, "verified": true, "reviewTime": "11 1, 2015", "reviewerID": "A1RQQV9HYHDHDN", "asin": "B00126NABC", "reviewerName": "Adam Baer", "reviewText": "Worked as expected, quality GE product. Water tastes good. Would recommend and will buy again.", "summary": "Easy install", "unixReviewTime": 1446336000}
{"overall": 3.0, "vote": "5", "verified": true, "reviewTime": "09 25, 2011", "reviewerID": "A3NHUQ33CFH3VM", "asin": "B00126NABC", "reviewerName": "Greeny", "reviewText": "This is one of the more effective water filters I've used. It states 300 gallon service capacity. At least I've used them for over that amount without issue.\n\nWhen you change filters, the flow acts funny for about the first half gallon - that's normal. Some filters produce cloudy-looking water for the first gallon, but this one doesn't. I've had no issues with these filters.\n\nThis is by far the simplest, most secure and easiest filter to install that I've experienced. Also, I didn't find a better deal anywhere else including the manufacturer's site. They try to sell these single by single, but sometimes in a pack of three.\n\nIt's just another filter to keep buying at its hefty price. But its easy to install.", "summary": "Better deal than on manufacturer's site. Does not last long", "unixReviewTime": 1316908800}
{"overall": 4.0, "verified": true, "reviewTime": "09 12, 2011", "reviewerID": "A26Y776G7VVBCQ", "asin": "B00126NABC", "reviewerName": "JPM", "reviewText": "Works great. Best price I could find on the internest. Shipped quickly with no problems. Will buy this again in 8 months when I need another one.", "summary": "Perfect Fit and OEM part", "unixReviewTime": 1315785600}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/418i+RDczcL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/51VvC6xqLKL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/41lsJSgwysL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/412IrI4ha8L._SY88.jpg"], "overall": 5.0, "vote": "11", "verified": true, "reviewTime": "09 16, 2008", "reviewerID": "A1T1YSCDW0PD25", "asin": "B0013DN4NI", "reviewerName": "Lantana Al", "reviewText": "This is a great little tool. I use to use a bigger Dewalt unit, which was nice, but bigger and heavier than needed. The Hitachi should be able to do 99% of what I did with my Dewalt. I was also impressed with how fast the batteries charge (40 minutes). The build quality seems excellent. It comes with some bits (see photo I uploaded), two batteries, charger, and a plastic case. The LED lights are a plus.\n\nNote though, that this doesn't have two \"speeds\" like my older Dewalt does, having a driving speed and a drilling speed. This Hitachi may be a bit slow for drilling.", "summary": "Great little power tool", "unixReviewTime": 1221523200}
{"overall": 2.0, "vote": "3", "verified": false, "reviewTime": "08 5, 2011", "reviewerID": "A3LGZ8M29PBNGG", "asin": "B00147DFQ4", "reviewerName": "nerenttt", "reviewText": "i cook only once in a blue moon. i was shocked to see with as little use as this range has had that the grates look like they were under heavy use for years!!! i called Jenn air and spoke with Adam A. and they wouldn't exchange them or fix them. they only offered my 25% off ( which was the same price anyway from the internet). i can't really compare much else on the range since i haven't used it much and i am not much of a cook! the stainless steel does tend to rust and stain. i got a stainless steel fridge and dishwasher at the same time by other brands and those seem to not have the same stainless steel issues.", "summary": "grate scratches so easily- looks old almost instantly", "unixReviewTime": 1312502400}
{"overall": 4.0, "verified": true, "reviewTime": "06 6, 2013", "reviewerID": "A1OB2H416ARLFJ", "asin": "B00149JVOC", "reviewerName": "Commando Big", "reviewText": "I only use the namebrand filters. I believe that you get what you pay for and I have used these filters for years. They suit my needs.", "summary": "ONLY One I use", "unixReviewTime": 1370476800}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/71FdVLhvIUL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/71yNPgGXDkL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/61OxcmqxfVL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81Ylf72q37L._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/8170szImlpL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81hEavgT8ZL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81sf3DhBszL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/718a8mt10BL._SY88.jpg"], "overall": 4.0, "vote": "4", "verified": true, "reviewTime": "01 15, 2018", "reviewerID": "A1WD61B0C3KQZB", "asin": "B0014CN8Y8", "reviewerName": "Jason W.", "reviewText": "Great product but they need to include more rods in the kit. I had to buy a second set of rods and that still wasn't enough so Ill end up spending $60+ dollars on this kit which isn't terrible if you factor what you would get charged out in town, but still, its plastic rods with a brush attached....thats overpriced for something so simple.\n\nSo enough of me complaining about it being overpriced and get to the review. It works GREAT if you aren't an idiot and use common sense when using it.\n\n1. Always CLOCKWISE..... again always CLOCKWISE, I cant be anymore clear about this.\n2. Use electrical tape or duct tape as a backup in case you screw up on number 1 above. Its a good safety measure so just do it, it only takes a few seconds per rod to wrap in tape.\n3. Feed one rod at a time, taping each one as you go.\n4. Dont force the rods if you get resistance with the drill attached. If you get resistance, remove the drill from the rod and using your hands wiggle/shift the rods until you get past the resistance and then reconnect the drill and continue. Most likely if you reach resistance is likely one of two things. (1) You have a large bend in your duct or (2) you have a lot of blockage. If its number 2, start pulling the rod out (with or without the drill attached (if the drill remains attached, remember to always spin CLOCKWISE) as youve probably hit a patch of lint clogged heavily in one area. Pulling the rod out will likely pull a large portion of lint youve broken loose out with the rod and brush attachment so vacuum it up or blow it out if you have a leaf blower and then start again (I didn't disconnect rods during this step but I did take my time to hand feed the rod and brush back in to ensure I didn't damage the rods).\n5. Once youve reached the end of your vent, start pulling your rods out the same way you went in (CLOCKWISE) so that you catch any debris you might have missed on the initial cleaning. I pushed the brush through 2-3 times in total from different sides of the vent since I was short a few rods and used the leaf blower 4-6 times in between to ensure I was pushing any lint to the exterior of the house (never blow the leaf blower into the house, only blow to the outside of the house unless you want a HUGE mess in your house.\n6. Lastly, Id recommend using a face mask/respirator mask as this stuff is messy and you don't know whats growing in it. I had some cheap carpentry mask but will use a better version next time I clean it as its not fun to breath in.", "summary": "Works Great, Just Use Common Sense When Doing It!!!", "unixReviewTime": 1515974400}
{"overall": 5.0, "vote": "309", "verified": true, "reviewTime": "02 25, 2017", "reviewerID": "A8WEXFRWX1ZHH", "asin": "B0014CN8Y8", "reviewerName": "Goldengate", "reviewText": "I bought this last October and finally got around to cleaning our 15-foot dryer duct run. It's just not the type of thing that's at the top of your list... like \"Wow, should I go see a movie, or clean our dryer duct?\" However, our dryer was drying slower and slower, and I knew it was a task that I needed to tackle, so I read the very long instruction book for this and began my work. The instructions really need to be re-written and simplified. My Sony TV has a smaller instruction manual. But I do appreciate the manufacturer's thoroughness. For those of you with short attention spans here's my quick start guide:\n\n1. Screw the rods together and use electrical or duct tape to reinforce the joints to keep them from unscrewing during your work.\n2. Stick one end of rod in your drill and set the clutch pretty close to the lowest or second lowest setting, then increase power if you need it.\n3. Attached brush to other end of rod with supplied key wrench / allen wrench and tighten.\n4. Make sure your drill is on clockwise - not reverse - mode or else the rods will unscrew inside your duct and you're screwed.\n5. Read #4 again.\n6. Turn dryer on air mode and then insert the brush in the pipe outside and begin spinning it by activating the drill. Push it in about a foot, then pull it out and watch the lint fly. Then push it in 2 feet and pull it out and watch the lint fly. Then 3 feet... etc.\n7. Marvel at how much lint came out.\n8. Marvel at how fast your dryer is and come write a review here.\n9. Wash the clothes you were wearing when you did this because they are now covered in lint.\n\nHope this helps. It's a quick job and well worth it the trouble!", "summary": "A great device that has my dryer working well again. Simple instructions here.", "unixReviewTime": 1487980800}
{"overall": 5.0, "vote": "15", "verified": true, "reviewTime": "12 21, 2016", "reviewerID": "A3VYM3NY7W4MX4", "asin": "B0014CN8Y8", "reviewerName": "MarkS", "reviewText": "This review is for Gardus RLE202 LintEater 10-Piece Rotary Dryer Vent Cleaning System\n\nWeve been paying $75 per visit for the service guy from the appliance store to come every 4-5 months and clean the flexible duct thats routed in a less than optimal manner due to location and a variety of road blocks from the dryer to the outside wall.\n\nWe knew the time was coming for a cleaning when clothes didn't dry very well and right near the end when it REALLY needed cleaning, there would actually be water on the floor under the dryer.\n\nI had to use some vacation days or lose them and was recently at home for the first time when he came. I watched the process and thought, *I* should be doing this if thats all it is!\n\nI did my research, LintEater is pretty clearly the way to go and made my purchase. Youve got to love Amazon Prime!\n\nLike with ANY product, you have weigh the number of positive reviews against the handful of bad ones. The bad reviews are likely from people who are mechanically challenged or didn't read the manual or watch YouTube videos to get an idea of how the process works.\n\nThe pictures of the twisted rod? Someone had one of more of these: Speed too high, clutch too high or didn't use a clutched drill at all, pushed against an impassable bend or obstruction on the vent pipe.\n\nDisconnected or broke in the vent pipe? The rods cant come apart if you run the drill ONLY clockwise. Thats simple physics they simply cant come apart IF you use clockwise ONLY. The brush head broke or stripped out is going to be like the twisted rod; speed too high, clutch too high or didn't use a clutched drill at all, pushed against an impassable bend or obstruction on the vent pipe.\n\n- CLOCKWISE ONLY for both going into and back out of the vent tube!\n\n- My cordless drill is a Ridgid model R82005 3/8. The clutch goes from 0 to 16.5. It has a switch marked 1 & 2 for overall speed. I set the clutch to FOUR and the speed to ONE. You're not drilling holes or driving screws... you're not going as hard and fast as you can. Slow and easy wins this particular race.\n\n- I put red Loctite thread locker on the threads attaching the rotary brush head to the rod AND to the set screw.\n\n- As I added each section, I tightened them against each other with a pair of pliers on each section. THEN, I wrapped electrical tape a couple times around the joined sections. This is all just common sense insurance against disaster.\n\n- The female ends of the rod that go into the drill chuck aren't knurled, but I had no problem with them spinning in the chuck. Slow speed and minimal torque are probably why this was not an issue.\n\nNOTE: I didn't think Id need the extra rod extensions, but I do and came back to order them. To get this done for now, I had to do half from inside the house and half from outside.\n\n- INSIDE the house, vent pipe disconnected from the dryer, I used the vent insert in the vent pipe end with a Ridgid 6HP shop vac and the cleaning tool rod through the provided hole in the insert. This worked fantastically well; I had to clean the vac filter a couple times due to all the lint.\n\n- OUTSIDE the house, I didn't bother with the vacuum, figuring the birds would get whatever lint they found or the elements would just break it down pretty quickly. Turn the dryer ON to blow out the loosened lint as you clean the pipe, wear googles or something to keep the lint dust out of your eyes and off you go!", "summary": "5 stars isn't enough to rate this product! It's saved me A LOT of money!", "unixReviewTime": 1482278400}
{"overall": 3.0, "vote": "6", "verified": true, "reviewTime": "12 6, 2016", "reviewerID": "A25C30G90PKSQA", "asin": "B0014CN8Y8", "reviewerName": "CP", "reviewText": "first thing first: it works. the kit is great in what it consists of and the price is just right i think. to call someone to clean my dryer vents i got quoted from 80 all the way up to 200 bucks. so if you were able to do it yourself you will need to invest a bit more in a \"construction\" vacuum that cost about 80-100 bucks and start the savings basically from the second time you do it.\n\nso whats with the 3*? my brush broke inside my vent!!!! while i was pulling it out, and yes i was using a drill, all the pieces came out except the round brush. i had to climb to my attic and push it from the other side to come out... what was supposed to be an easy task ended up with me spending over an hour extra in climbing in my attic, disassembling the HVAC pipe so that i can get in there and push down on the brush...\n\nanother minus for this kit is that while it is fairly bendy, it will not go very smoothly through your flexible insulated pipes and most likely push the pipe out from its connector.\n\nwith all that said, if your vent duct doesnt have to many bends, and you want to take the risk (maybe i had a defective kit that the brush broke), you might save a lot of money doing it yourself!", "summary": "good kit with some caveats", "unixReviewTime": 1480982400}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/71rrhRfUnpL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81jduZPj46L._SY88.jpg"], "overall": 5.0, "vote": "6", "verified": true, "reviewTime": "12 6, 2016", "reviewerID": "A2B2JVUX5YN8RU", "asin": "B0014CN8Y8", "reviewerName": "Caleb", "reviewText": "Works great. I used it and an extension kit with extra rods to to clean a 21 foot long vent with a two right angle turns and it did a fantastic job with the adapter that lets you put the rod through and attach a shop vac. Got a TON of lint out, about a 5 gallon bucket full. Inside of the vent was left shiny and clean. Good for safety especially with such a long vent and to my surprise the dryer actually works quite a bit better now. On the auto cycle I used to have to run it again if I was drying heavy things like jeans or blankets/comforters etc... to fully dry things. Now it does it in one cycle and take about 25% less time to go through the auto dry cycle.\n\nI was just wanting to clean out a potential fire hazard but it really does make a big difference running through a dirty vent vs. a clean one. Might be due to the long length of my vent but very happy with this product.", "summary": "Worked like a charm", "unixReviewTime": 1480982400}
{"overall": 5.0, "vote": "9", "verified": true, "reviewTime": "11 9, 2016", "reviewerID": "AMY6O4Z9HINO0", "asin": "B0014CN8Y8", "reviewerName": "J. Foust", "reviewText": "The lint eater is amazing! We recently bought a house that was built in 2001 and previously owned by an older lady, so I assumed the dryer vent had never been cleaned. Before setting up the dryer, I wanted to give the vent line a thorough cleaning for safety's sake and to help the dryer run as efficiently as possible. Well, I'm glad I did! The exterior cover on the vent had been gone for some time, and the amount of leaves and pine needles plus lint wads that I got out were shocking! It seemed like every time I ran the LintEater through line, it dislodged another fist-sized wad of stuff. When I first hooked up the shop vac inside the house, and went out to the vent exit, there was almost zero air getting sucked in. The wads were so huge that they kept stopping up my shop vac hose and I had to keep going inside to clean it out. After all was said and done, my vent line is free-flowing and working as good as new. Glad I spent the money on this product!\n\nHelpful tip - when I started, I just jammed all of the rods together and tried to work it into the vent line. It's way too unwieldy this way, and every time you hit the power on the drill, the rods get kinked and knotted up because they're so flexible. Start with one, and when that one gets most of the way into the vent line, add another. Repeat as necessary and you'll have a MUCH easier time.", "summary": "Excellent choice for cleaning out dryer vent line. Worth every penny!", "unixReviewTime": 1478649600}
{"overall": 3.0, "vote": "8", "verified": true, "reviewTime": "09 10, 2016", "reviewerID": "A3TMNU7VNK5JJE", "asin": "B0014CN8Y8", "reviewerName": "Lisa Rodeheaver", "reviewText": "At first this contraption was a little confusing. I read the directions about 3 times before I felt okay about going through with the project - was not fully confident as there were a lot of warnings about making sure the drill was going the right way/you turned it the right way so you wouldn't lose rods in the dryer vent. Scared me a little. However, the project turned out really well. We didn't lose any rods (thankfully) and we got out the birds nest that had taken residence in our dryer vent!!\nThe part that was for the lint catcher was convenient as well and is actually recommended to be used at least once a month in order to clean out the lint catcher. I do need to keep up with this but it isn't convenient to have to put together and tape the rods each time when you only really use it for a couple of minutes. However, if you have a handy space to keep it already together, I can see how this would be even better for keeping up with cleaning the lint out.", "summary": "Does what it needs to", "unixReviewTime": 1473465600}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/71yzyqw35WL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/71v5HufQPjL._SY88.jpg"], "overall": 5.0, "vote": "5", "verified": true, "reviewTime": "03 20, 2016", "reviewerID": "A1IT56MV1C09VS", "asin": "B0014CN8Y8", "reviewerName": "Looneypenguin", "reviewText": "Anyone who thinks they don't have a problem with lint should look at these pictures. My house is only 10 years old and this is what came out of our vent. That doesn't even include what was cleaned out from our dryer filter and what was in just the dryer unit. This product is very easy to use. I definitely suggest taping each junction to make sure they don't separate in the vent. I broke my cleaning into 4 cleanings. Fist cleaning was with just the brush and the first extension. After ensuring that section is clean I added the second and so forth until the brush came out clean. Given the length of the brush with all four sections, I found it easier to have another set of hands guide the brush into the vent while the other set was operating the drill.\nI noticed that when I turned the dryer back on there was some lint that was dislodged and blew out the outside vent opening. Unfortunately in my case some lodged between the slats and is keeping the vent opening from fully closing. I will be making a trip up my ladder once the ground dries a little so I can remove those pieces. A little price to pay for a clean vent.", "summary": "Excellent product and showed me that my vent obviously needed a cleaning", "unixReviewTime": 1458432000}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/814D91i+XEL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81y8vVc4x5L._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/91Do1uXzrVL._SY88.jpg"], "overall": 5.0, "vote": "165", "verified": true, "reviewTime": "12 5, 2015", "reviewerID": "A2LDP3A4IE9T6T", "asin": "B0014CN8Y8", "reviewerName": "mike27971", "reviewText": "We have 24 foot of solid dryer vent pipe ending in 3 right-angles before going through the floor into the flexible dryer-vent hose coming from the dryer. I can't get behind the dryer without moving both the washer and dryer and they are HEAVY. So being lazy I decided to clean the vent from the outside of the house inward. I didn't use a vacuum cleaner or a blower or suction of any kind. I did tighten each section of tubing with pliers and taped them. I threaded all 24 foot of tubing with the brush on the end into the outside vent and then backed it out. I got a good amount of lint clods out. Then I turned on the dryer to blow everything out. I got no air coming out at all. My fear had come true, I had forced gobs of lint into the right-angles at the end of the run. I still didn't want to move that washer and dryer so I figured I'd try one other thing, use the clodbuster attachment. Now I'm really getting lazy so I tightened each tubing section by hand (no pliers) and didn't use tape. I pushed all 24 foot of tubing into the vent until I hit some resistance and then turned the tubing by hand (too lazy to hook the drill up). Then I pulled it all out and there wasn't any lint at all that came out. So now I'm resigned to having to move the washer and dryer, but before I do I figured I might as well turn the dryer on and see what happens. Lots of lint clods blew out and kept coming out for about 20 seconds. I've attached pictures of it. I'm really happy with this product and if it worked for me with all the shortcuts I took it will probably work great for you. As a point of reference we built this house five years ago and this is the first time I ever cleaned the vent. A load of ten bath towels used to take 45 minutes to dry, lately it's been taking 3 to 4 hours, so I knew I couldn't put cleaning the pipe off any longer.", "summary": "This really worked well even taking shortcuts", "unixReviewTime": 1449273600}
{"overall": 5.0, "verified": true, "reviewTime": "11 27, 2014", "reviewerID": "A3NHUQ33CFH3VM", "asin": "B0014CN8Y8", "reviewerName": "Greeny", "reviewText": "This is a complete kit for cleaning the dryer vents, a necessary thing. I had checked all the products and this was the best deal at the time I got it.", "summary": "Complete kit for cleaning out dryer vents", "unixReviewTime": 1417046400}
{"overall": 5.0, "vote": "1,913", "verified": true, "reviewTime": "03 2, 2011", "reviewerID": "A21TPY9BVC9IKZ", "asin": "B0014CN8Y8", "reviewerName": "Ann", "reviewText": "So, this is what life comes down to when you are 50 years old: reviewing dryer vent cleaners while sitting at your kitchen table waiting for American Idol. This is not what I envisioned when I was 12, I can tell you that much. You kids who think it won't happen to you?\n\nIt will. Sorry to burst your bubble.\n\nThat said, the product works great. Our dryer pretty much stopped working and we were thinking we needed a new one, which was seriously going to eat into my plastic surgery budget. One last shot before a trip to the appliance store was this Gardus LintEater. My husband, who is not the handy one of the family, had to do the work as I have a torn labrum. (Which sounds dirtier than it is - that's part of your shoulder.) He, the clumsiest man in the world, had absolutely no problem using this. I warned him to read the directions first, and he actually listened and followed. He hooked it up to the drill, and away he went. He got a bunch of musty, wet lint that had probably been up inside the wall since 1977 - probably consisting of bell bottom material and macram.\n\nNow our dryer actually dries clothes again, and I can continue to save for my facelift. Thank you Gardus.", "summary": "Eats Lint", "unixReviewTime": 1299024000}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/610HlL00nVL._SY88.jpg"], "overall": 4.0, "vote": "77", "verified": true, "reviewTime": "03 6, 2010", "reviewerID": "A1T1YSCDW0PD25", "asin": "B0014CN8Y8", "reviewerName": "Lantana Al", "reviewText": "I used this today, going in from the roof.\n\nPros:\n* Works great to clean out lint - almost \"fun\" to use and see the lint come out\n* Comes with a short & helpful DVD (English & French)\n* I almost gave it 5 stars but because of the cons I think 4 stars is more appropriate\n\nCons:\n* *** BE CAREFUL *** Have to be careful not to purposely or *accidentally* put the drill into reverse or the brush head will detach/unscrew\n* *** BE CAREFUL *** Set your drill clutch to no more than half of the maximum setting or the rods may break from too much torque\n* I wonder about the possibility of a rod breaking or brush unscrewing... I wonder how tough this thing is... it seems decent, but I would be more confident if it seemed very well built instead of just \"decent\".\n\nOther:\n* See the photos I uploaded. I was surprised how much lint came out.\n* My 3-year-old enjoyed watching the DVD over and over!\n* I went in from the exhaust on the roof and had the dryer blowing cool air out", "summary": "Works great but be careful!", "unixReviewTime": 1267833600}
{"overall": 5.0, "verified": true, "reviewTime": "11 17, 2015", "reviewerID": "A34A1UP40713F8", "asin": "B000VL060M", "reviewerName": "James. Backus", "reviewText": "I bought a new range hood and found I needed a filter as it did not come with it. I looked at it at Home Depot for about 9 dollars more then using Amazon Prime and having it the door within 2 days. It fit perfectly our new hood.", "summary": "I bought a new range hood and found I needed ...", "unixReviewTime": 1447718400}
{"overall": 5.0, "verified": true, "reviewTime": "03 8, 2015", "reviewerID": "A3B1B4E184FSUZ", "asin": "B000VL060M", "reviewerName": "jobeck1", "reviewText": "A+", "summary": "Five Stars", "unixReviewTime": 1425772800}
{"overall": 5.0, "verified": true, "reviewTime": "08 29, 2014", "reviewerID": "A1H2V1GNEY4LZ0", "asin": "B0015S4KIO", "reviewerName": "Handyman", "reviewText": "Fitted perfectly!", "summary": "Very reasonable priced!", "unixReviewTime": 1409270400}
{"overall": 5.0, "verified": true, "reviewTime": "07 3, 2016", "reviewerID": "A1RQQV9HYHDHDN", "asin": "B0015UGPWQ", "style": {"Size Name:": " 4 Inch"}, "reviewerName": "Adam Baer", "reviewText": "Moved into new apt, needed dryer vent hose, this fit the bill. The compression clamps made install a snap.", "summary": "Quick and easy install", "unixReviewTime": 1467504000}
{"overall": 5.0, "verified": true, "reviewTime": "01 21, 2016", "reviewerID": "A1AHW6I678O6F2", "asin": "B0015UGPWQ", "style": {"Size Name:": " 4 Inch"}, "reviewerName": "kevin.", "reviewText": "very nice product", "summary": "Five Stars", "unixReviewTime": 1453334400}
{"overall": 5.0, "verified": true, "reviewTime": "08 5, 2015", "reviewerID": "A8R48NKTGCJDQ", "asin": "B0015UGPWQ", "style": {"Size Name:": " 4 Inch"}, "reviewerName": "CDBrannom", "reviewText": "Fits perfectly", "summary": "Five Stars", "unixReviewTime": 1438732800}
{"overall": 5.0, "verified": true, "reviewTime": "04 24, 2015", "reviewerID": "AR3OHHHW01A8E", "asin": "B0015UGPWQ", "style": {"Size Name:": " 4 Inch"}, "reviewerName": "Calvin E Reames", "reviewText": "Easy install on dryer", "summary": "Don't forget when to install the securing devices", "unixReviewTime": 1429833600}
{"overall": 5.0, "verified": true, "reviewTime": "03 8, 2015", "reviewerID": "A3B1B4E184FSUZ", "asin": "B0015UGPWQ", "style": {"Size Name:": " 4 Inch"}, "reviewerName": "jobeck1", "reviewText": "A+", "summary": "Five Stars", "unixReviewTime": 1425772800}
{"overall": 4.0, "verified": true, "reviewTime": "08 22, 2013", "reviewerID": "A34A1UP40713F8", "asin": "B0015UGPWQ", "style": {"Size Name:": " 4 Inch"}, "reviewerName": "James. Backus", "reviewText": "I did not use the clamps but rather used the screw clamps I had . Fits well and was the proper height.", "summary": "Worked", "unixReviewTime": 1377129600}
{"overall": 5.0, "verified": true, "reviewTime": "01 21, 2016", "reviewerID": "A1AHW6I678O6F2", "asin": "B001769IVI", "reviewerName": "kevin.", "reviewText": "a must for washers", "summary": "Five Stars", "unixReviewTime": 1453334400}
{"overall": 5.0, "verified": true, "reviewTime": "08 16, 2015", "reviewerID": "A1Y4UNHRP312HS", "asin": "B001769IVI", "reviewerName": "Colorado Jerry", "reviewText": "I used these (2) hoses to replace the original equipment rubber hoses. My previous experience with these hoses gave me peace of mind when I would be away from my home for extended vacations. I expect years of leak-free use.", "summary": "I used these (2) hoses to replace the original equipment ...", "unixReviewTime": 1439683200}
{"overall": 3.0, "verified": true, "reviewTime": "08 5, 2015", "reviewerID": "A8R48NKTGCJDQ", "asin": "B001769IVI", "reviewerName": "CDBrannom", "reviewText": "A hose was included with our machine so we didn't need this. Otherwise it would have been fine.", "summary": "Otherwise it would have been fine.", "unixReviewTime": 1438732800}
{"overall": 4.0, "verified": true, "reviewTime": "04 3, 2014", "reviewerID": "A1OB2H416ARLFJ", "asin": "B00186NSGS", "style": {"Color:": " Black"}, "reviewerName": "Commando Big", "reviewText": "Very hard to come by, but worth it.", "summary": "A must buy for any stove", "unixReviewTime": 1396483200}
{"overall": 4.0, "verified": true, "reviewTime": "04 3, 2014", "reviewerID": "A1OB2H416ARLFJ", "asin": "B00186NSGS", "style": {"Color:": " Stainless Look"}, "reviewerName": "Commando Big", "reviewText": "Getting these burner covers at stores used to be easy. I am glad I found Amazon for my future needs. They are value priced and come from a good dealer.", "summary": "Hard to come by", "unixReviewTime": 1396483200}
{"overall": 5.0, "verified": true, "reviewTime": "02 21, 2017", "reviewerID": "A13391AZAFJ67K", "asin": "B001DHLGOS", "reviewerName": "Fred A", "reviewText": "good", "summary": "Five Stars", "unixReviewTime": 1487635200}
{"overall": 5.0, "verified": true, "reviewTime": "03 8, 2016", "reviewerID": "A3GP2HMB2AFOKF", "asin": "B001DHLGOS", "reviewerName": "Juan", "reviewText": "Great product", "summary": "Five Stars", "unixReviewTime": 1457395200}
{"overall": 2.0, "verified": true, "reviewTime": "08 24, 2015", "reviewerID": "AJPRN1TD1A0SD", "asin": "B001DHLGOS", "reviewerName": "transporter", "reviewText": "cheap", "summary": "Two Stars", "unixReviewTime": 1440374400}
{"overall": 5.0, "verified": true, "reviewTime": "08 13, 2015", "reviewerID": "A37DQO5LU8DXTV", "asin": "B001DHLGOS", "reviewerName": "Easy Appliance", "reviewText": "good job", "summary": "Five Stars", "unixReviewTime": 1439424000}
{"overall": 5.0, "verified": true, "reviewTime": "11 21, 2014", "reviewerID": "A1LN48DHHCKLR3", "asin": "B001DHLGOS", "reviewerName": "Ernest Danel", "reviewText": "received ok", "summary": "Five Stars", "unixReviewTime": 1416528000}
{"overall": 5.0, "verified": true, "reviewTime": "02 22, 2014", "reviewerID": "A3J8IC20SGBS2O", "asin": "B001DHLGOS", "reviewerName": "Mr and Mrs Burk", "reviewText": "As the prices go up on appliance parts, you have to look elsewhere to save money.\n Sooooo... 30 minutes or so on You tube looking up videos showing you how to install the element could save you 100 bucks or more.\nMr Burke", "summary": "reasonably priced", "unixReviewTime": 1393027200}
{"overall": 5.0, "verified": true, "reviewTime": "11 2, 2016", "reviewerID": "A23KSPVPHZF6EO", "asin": "B001DPFP88", "reviewerName": "Angela Samos Guardia", "reviewText": "Worked great thank you.", "summary": "Five Stars", "unixReviewTime": 1478044800}
{"overall": 5.0, "verified": true, "reviewTime": "03 8, 2016", "reviewerID": "A3GP2HMB2AFOKF", "asin": "B001DPFP88", "reviewerName": "Juan", "reviewText": "Great product", "summary": "Five Stars", "unixReviewTime": 1457395200}
{"overall": 5.0, "verified": true, "reviewTime": "01 17, 2016", "reviewerID": "A6FPI5CM4W5WB", "asin": "B001DPFP88", "reviewerName": "Tim Veteto", "reviewText": "Good Job", "summary": "Good Job", "unixReviewTime": 1452988800}
{"overall": 5.0, "verified": true, "reviewTime": "07 10, 2015", "reviewerID": "A3H61AMBJ177DG", "asin": "B001DPFP88", "reviewerName": "Randy Bailey", "reviewText": "as advertised", "summary": "Five Stars", "unixReviewTime": 1436486400}
{"overall": 5.0, "verified": true, "reviewTime": "12 10, 2014", "reviewerID": "AVGG8CYK8K312", "asin": "B001DPFP88", "reviewerName": "Larry", "reviewText": "great price I keep one in stock", "summary": "Washer clutch", "unixReviewTime": 1418169600}
{"overall": 5.0, "verified": false, "reviewTime": "10 10, 2014", "reviewerID": "A26M3TN8QICJ3K", "asin": "B001DPFP88", "reviewerName": "Marty Baker", "reviewText": "Great. Just what I needed.", "summary": "Five Stars", "unixReviewTime": 1412899200}
{"overall": 5.0, "verified": true, "reviewTime": "12 26, 2013", "reviewerID": "A1EUO0BU72JR7T", "asin": "B001DPFP88", "reviewerName": "Bilbo", "reviewText": "Consider the wisdom of spending a lot of money on replacement parts for a 10+ year old washer that you originally bought for $400. This is one of the cheaper parts so I could see getting this one (and maybe the lid switch or motor couplings). If you're having problems with your motor/clutch/timer or other electrical part, you might want to think about getting another top loader like an Amana before they stop carrying them in stores in about a year or so...", "summary": "Cheap repair; start considering buying a new washer...", "unixReviewTime": 1388016000}
{"overall": 5.0, "verified": true, "reviewTime": "11 2, 2013", "reviewerID": "A2HDUVKXR5CM7H", "asin": "B001DPQPKU", "reviewerName": "MIKE", "reviewText": "works great and very quiet, much quieter than original motor in hood fan and faster. would recommend to any one needs a fan motor", "summary": "works great", "unixReviewTime": 1383350400}
{"overall": 5.0, "vote": "311", "verified": true, "reviewTime": "02 25, 2017", "reviewerID": "A8WEXFRWX1ZHH", "asin": "B0006GVNOA", "reviewerName": "Goldengate", "reviewText": "I bought this last October and finally got around to cleaning our 15-foot dryer duct run. It's just not the type of thing that's at the top of your list... like \"Wow, should I go see a movie, or clean our dryer duct?\" However, our dryer was drying slower and slower, and I knew it was a task that I needed to tackle, so I read the very long instruction book for this and began my work. The instructions really need to be re-written and simplified. My Sony TV has a smaller instruction manual. But I do appreciate the manufacturer's thoroughness. For those of you with short attention spans here's my quick start guide:\n\n1. Screw the rods together and use electrical or duct tape to reinforce the joints to keep them from unscrewing during your work.\n2. Stick one end of rod in your drill and set the clutch pretty close to the lowest or second lowest setting, then increase power if you need it.\n3. Attached brush to other end of rod with supplied key wrench / allen wrench and tighten.\n4. Make sure your drill is on clockwise - not reverse - mode or else the rods will unscrew inside your duct and you're screwed.\n5. Read #4 again.\n6. Turn dryer on air mode and then insert the brush in the pipe outside and begin spinning it by activating the drill. Push it in about a foot, then pull it out and watch the lint fly. Then push it in 2 feet and pull it out and watch the lint fly. Then 3 feet... etc.\n7. Marvel at how much lint came out.\n8. Marvel at how fast your dryer is and come write a review here.\n9. Wash the clothes you were wearing when you did this because they are now covered in lint.\n\nHope this helps. It's a quick job and well worth it the trouble!", "summary": "A great device that has my dryer working well again. Simple instructions here.", "unixReviewTime": 1487980800}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/814D91i+XEL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81y8vVc4x5L._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/91Do1uXzrVL._SY88.jpg"], "overall": 5.0, "vote": "165", "verified": true, "reviewTime": "12 5, 2015", "reviewerID": "A2LDP3A4IE9T6T", "asin": "B0006GVNOA", "reviewerName": "mike27971", "reviewText": "We have 24 foot of solid dryer vent pipe ending in 3 right-angles before going through the floor into the flexible dryer-vent hose coming from the dryer. I can't get behind the dryer without moving both the washer and dryer and they are HEAVY. So being lazy I decided to clean the vent from the outside of the house inward. I didn't use a vacuum cleaner or a blower or suction of any kind. I did tighten each section of tubing with pliers and taped them. I threaded all 24 foot of tubing with the brush on the end into the outside vent and then backed it out. I got a good amount of lint clods out. Then I turned on the dryer to blow everything out. I got no air coming out at all. My fear had come true, I had forced gobs of lint into the right-angles at the end of the run. I still didn't want to move that washer and dryer so I figured I'd try one other thing, use the clodbuster attachment. Now I'm really getting lazy so I tightened each tubing section by hand (no pliers) and didn't use tape. I pushed all 24 foot of tubing into the vent until I hit some resistance and then turned the tubing by hand (too lazy to hook the drill up). Then I pulled it all out and there wasn't any lint at all that came out. So now I'm resigned to having to move the washer and dryer, but before I do I figured I might as well turn the dryer on and see what happens. Lots of lint clods blew out and kept coming out for about 20 seconds. I've attached pictures of it. I'm really happy with this product and if it worked for me with all the shortcuts I took it will probably work great for you. As a point of reference we built this house five years ago and this is the first time I ever cleaned the vent. A load of ten bath towels used to take 45 minutes to dry, lately it's been taking 3 to 4 hours, so I knew I couldn't put cleaning the pipe off any longer.", "summary": "This really worked well even taking shortcuts", "unixReviewTime": 1449273600}
{"overall": 5.0, "vote": "1,917", "verified": true, "reviewTime": "03 2, 2011", "reviewerID": "A21TPY9BVC9IKZ", "asin": "B0006GVNOA", "reviewerName": "Ann", "reviewText": "So, this is what life comes down to when you are 50 years old: reviewing dryer vent cleaners while sitting at your kitchen table waiting for American Idol. This is not what I envisioned when I was 12, I can tell you that much. You kids who think it won't happen to you?\n\nIt will. Sorry to burst your bubble.\n\nThat said, the product works great. Our dryer pretty much stopped working and we were thinking we needed a new one, which was seriously going to eat into my plastic surgery budget. One last shot before a trip to the appliance store was this Gardus LintEater. My husband, who is not the handy one of the family, had to do the work as I have a torn labrum. (Which sounds dirtier than it is - that's part of your shoulder.) He, the clumsiest man in the world, had absolutely no problem using this. I warned him to read the directions first, and he actually listened and followed. He hooked it up to the drill, and away he went. He got a bunch of musty, wet lint that had probably been up inside the wall since 1977 - probably consisting of bell bottom material and macram.\n\nNow our dryer actually dries clothes again, and I can continue to save for my facelift. Thank you Gardus.", "summary": "Eats Lint", "unixReviewTime": 1299024000}
{"overall": 5.0, "vote": "15", "verified": true, "reviewTime": "12 21, 2016", "reviewerID": "A3VYM3NY7W4MX4", "asin": "B0006GVNOA", "reviewerName": "MarkS", "reviewText": "This review is for Gardus RLE202 LintEater 10-Piece Rotary Dryer Vent Cleaning System\n\nWeve been paying $75 per visit for the service guy from the appliance store to come every 4-5 months and clean the flexible duct thats routed in a less than optimal manner due to location and a variety of road blocks from the dryer to the outside wall.\n\nWe knew the time was coming for a cleaning when clothes didn't dry very well and right near the end when it REALLY needed cleaning, there would actually be water on the floor under the dryer.\n\nI had to use some vacation days or lose them and was recently at home for the first time when he came. I watched the process and thought, *I* should be doing this if thats all it is!\n\nI did my research, LintEater is pretty clearly the way to go and made my purchase. Youve got to love Amazon Prime!\n\nLike with ANY product, you have weigh the number of positive reviews against the handful of bad ones. The bad reviews are likely from people who are mechanically challenged or didn't read the manual or watch YouTube videos to get an idea of how the process works.\n\nThe pictures of the twisted rod? Someone had one of more of these: Speed too high, clutch too high or didn't use a clutched drill at all, pushed against an impassable bend or obstruction on the vent pipe.\n\nDisconnected or broke in the vent pipe? The rods cant come apart if you run the drill ONLY clockwise. Thats simple physics they simply cant come apart IF you use clockwise ONLY. The brush head broke or stripped out is going to be like the twisted rod; speed too high, clutch too high or didn't use a clutched drill at all, pushed against an impassable bend or obstruction on the vent pipe.\n\n- CLOCKWISE ONLY for both going into and back out of the vent tube!\n\n- My cordless drill is a Ridgid model R82005 3/8. The clutch goes from 0 to 16.5. It has a switch marked 1 & 2 for overall speed. I set the clutch to FOUR and the speed to ONE. You're not drilling holes or driving screws... you're not going as hard and fast as you can. Slow and easy wins this particular race.\n\n- I put red Loctite thread locker on the threads attaching the rotary brush head to the rod AND to the set screw.\n\n- As I added each section, I tightened them against each other with a pair of pliers on each section. THEN, I wrapped electrical tape a couple times around the joined sections. This is all just common sense insurance against disaster.\n\n- The female ends of the rod that go into the drill chuck aren't knurled, but I had no problem with them spinning in the chuck. Slow speed and minimal torque are probably why this was not an issue.\n\nNOTE: I didn't think Id need the extra rod extensions, but I do and came back to order them. To get this done for now, I had to do half from inside the house and half from outside.\n\n- INSIDE the house, vent pipe disconnected from the dryer, I used the vent insert in the vent pipe end with a Ridgid 6HP shop vac and the cleaning tool rod through the provided hole in the insert. This worked fantastically well; I had to clean the vac filter a couple times due to all the lint.\n\n- OUTSIDE the house, I didn't bother with the vacuum, figuring the birds would get whatever lint they found or the elements would just break it down pretty quickly. Turn the dryer ON to blow out the loosened lint as you clean the pipe, wear googles or something to keep the lint dust out of your eyes and off you go!", "summary": "5 stars isn't enough to rate this product! It's saved me A LOT of money!", "unixReviewTime": 1482278400}
{"overall": 5.0, "vote": "9", "verified": true, "reviewTime": "11 9, 2016", "reviewerID": "AMY6O4Z9HINO0", "asin": "B0006GVNOA", "reviewerName": "J. Foust", "reviewText": "The lint eater is amazing! We recently bought a house that was built in 2001 and previously owned by an older lady, so I assumed the dryer vent had never been cleaned. Before setting up the dryer, I wanted to give the vent line a thorough cleaning for safety's sake and to help the dryer run as efficiently as possible. Well, I'm glad I did! The exterior cover on the vent had been gone for some time, and the amount of leaves and pine needles plus lint wads that I got out were shocking! It seemed like every time I ran the LintEater through line, it dislodged another fist-sized wad of stuff. When I first hooked up the shop vac inside the house, and went out to the vent exit, there was almost zero air getting sucked in. The wads were so huge that they kept stopping up my shop vac hose and I had to keep going inside to clean it out. After all was said and done, my vent line is free-flowing and working as good as new. Glad I spent the money on this product!\n\nHelpful tip - when I started, I just jammed all of the rods together and tried to work it into the vent line. It's way too unwieldy this way, and every time you hit the power on the drill, the rods get kinked and knotted up because they're so flexible. Start with one, and when that one gets most of the way into the vent line, add another. Repeat as necessary and you'll have a MUCH easier time.", "summary": "Excellent choice for cleaning out dryer vent line. Worth every penny!", "unixReviewTime": 1478649600}
{"overall": 3.0, "vote": "8", "verified": true, "reviewTime": "09 10, 2016", "reviewerID": "A3TMNU7VNK5JJE", "asin": "B0006GVNOA", "reviewerName": "Lisa Rodeheaver", "reviewText": "At first this contraption was a little confusing. I read the directions about 3 times before I felt okay about going through with the project - was not fully confident as there were a lot of warnings about making sure the drill was going the right way/you turned it the right way so you wouldn't lose rods in the dryer vent. Scared me a little. However, the project turned out really well. We didn't lose any rods (thankfully) and we got out the birds nest that had taken residence in our dryer vent!!\nThe part that was for the lint catcher was convenient as well and is actually recommended to be used at least once a month in order to clean out the lint catcher. I do need to keep up with this but it isn't convenient to have to put together and tape the rods each time when you only really use it for a couple of minutes. However, if you have a handy space to keep it already together, I can see how this would be even better for keeping up with cleaning the lint out.", "summary": "Does what it needs to", "unixReviewTime": 1473465600}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/71FdVLhvIUL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/71yNPgGXDkL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/61OxcmqxfVL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81Ylf72q37L._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/8170szImlpL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81hEavgT8ZL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81sf3DhBszL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/718a8mt10BL._SY88.jpg"], "overall": 4.0, "vote": "4", "verified": true, "reviewTime": "01 15, 2018", "reviewerID": "A1WD61B0C3KQZB", "asin": "B0006GVNOA", "reviewerName": "Jason W.", "reviewText": "Great product but they need to include more rods in the kit. I had to buy a second set of rods and that still wasn't enough so Ill end up spending $60+ dollars on this kit which isn't terrible if you factor what you would get charged out in town, but still, its plastic rods with a brush attached....thats overpriced for something so simple.\n\nSo enough of me complaining about it being overpriced and get to the review. It works GREAT if you aren't an idiot and use common sense when using it.\n\n1. Always CLOCKWISE..... again always CLOCKWISE, I cant be anymore clear about this.\n2. Use electrical tape or duct tape as a backup in case you screw up on number 1 above. Its a good safety measure so just do it, it only takes a few seconds per rod to wrap in tape.\n3. Feed one rod at a time, taping each one as you go.\n4. Dont force the rods if you get resistance with the drill attached. If you get resistance, remove the drill from the rod and using your hands wiggle/shift the rods until you get past the resistance and then reconnect the drill and continue. Most likely if you reach resistance is likely one of two things. (1) You have a large bend in your duct or (2) you have a lot of blockage. If its number 2, start pulling the rod out (with or without the drill attached (if the drill remains attached, remember to always spin CLOCKWISE) as youve probably hit a patch of lint clogged heavily in one area. Pulling the rod out will likely pull a large portion of lint youve broken loose out with the rod and brush attachment so vacuum it up or blow it out if you have a leaf blower and then start again (I didn't disconnect rods during this step but I did take my time to hand feed the rod and brush back in to ensure I didn't damage the rods).\n5. Once youve reached the end of your vent, start pulling your rods out the same way you went in (CLOCKWISE) so that you catch any debris you might have missed on the initial cleaning. I pushed the brush through 2-3 times in total from different sides of the vent since I was short a few rods and used the leaf blower 4-6 times in between to ensure I was pushing any lint to the exterior of the house (never blow the leaf blower into the house, only blow to the outside of the house unless you want a HUGE mess in your house.\n6. Lastly, Id recommend using a face mask/respirator mask as this stuff is messy and you don't know whats growing in it. I had some cheap carpentry mask but will use a better version next time I clean it as its not fun to breath in.", "summary": "Works Great, Just Use Common Sense When Doing It!!!", "unixReviewTime": 1515974400}
{"overall": 3.0, "vote": "6", "verified": true, "reviewTime": "12 6, 2016", "reviewerID": "A25C30G90PKSQA", "asin": "B0006GVNOA", "reviewerName": "CP", "reviewText": "first thing first: it works. the kit is great in what it consists of and the price is just right i think. to call someone to clean my dryer vents i got quoted from 80 all the way up to 200 bucks. so if you were able to do it yourself you will need to invest a bit more in a \"construction\" vacuum that cost about 80-100 bucks and start the savings basically from the second time you do it.\n\nso whats with the 3*? my brush broke inside my vent!!!! while i was pulling it out, and yes i was using a drill, all the pieces came out except the round brush. i had to climb to my attic and push it from the other side to come out... what was supposed to be an easy task ended up with me spending over an hour extra in climbing in my attic, disassembling the HVAC pipe so that i can get in there and push down on the brush...\n\nanother minus for this kit is that while it is fairly bendy, it will not go very smoothly through your flexible insulated pipes and most likely push the pipe out from its connector.\n\nwith all that said, if your vent duct doesnt have to many bends, and you want to take the risk (maybe i had a defective kit that the brush broke), you might save a lot of money doing it yourself!", "summary": "good kit with some caveats", "unixReviewTime": 1480982400}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/71rrhRfUnpL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81jduZPj46L._SY88.jpg"], "overall": 5.0, "vote": "6", "verified": true, "reviewTime": "12 6, 2016", "reviewerID": "A2B2JVUX5YN8RU", "asin": "B0006GVNOA", "reviewerName": "Caleb", "reviewText": "Works great. I used it and an extension kit with extra rods to to clean a 21 foot long vent with a two right angle turns and it did a fantastic job with the adapter that lets you put the rod through and attach a shop vac. Got a TON of lint out, about a 5 gallon bucket full. Inside of the vent was left shiny and clean. Good for safety especially with such a long vent and to my surprise the dryer actually works quite a bit better now. On the auto cycle I used to have to run it again if I was drying heavy things like jeans or blankets/comforters etc... to fully dry things. Now it does it in one cycle and take about 25% less time to go through the auto dry cycle.\n\nI was just wanting to clean out a potential fire hazard but it really does make a big difference running through a dirty vent vs. a clean one. Might be due to the long length of my vent but very happy with this product.", "summary": "Worked like a charm", "unixReviewTime": 1480982400}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/71yzyqw35WL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/71v5HufQPjL._SY88.jpg"], "overall": 5.0, "vote": "5", "verified": true, "reviewTime": "03 20, 2016", "reviewerID": "A1IT56MV1C09VS", "asin": "B0006GVNOA", "reviewerName": "Looneypenguin", "reviewText": "Anyone who thinks they don't have a problem with lint should look at these pictures. My house is only 10 years old and this is what came out of our vent. That doesn't even include what was cleaned out from our dryer filter and what was in just the dryer unit. This product is very easy to use. I definitely suggest taping each junction to make sure they don't separate in the vent. I broke my cleaning into 4 cleanings. Fist cleaning was with just the brush and the first extension. After ensuring that section is clean I added the second and so forth until the brush came out clean. Given the length of the brush with all four sections, I found it easier to have another set of hands guide the brush into the vent while the other set was operating the drill.\nI noticed that when I turned the dryer back on there was some lint that was dislodged and blew out the outside vent opening. Unfortunately in my case some lodged between the slats and is keeping the vent opening from fully closing. I will be making a trip up my ladder once the ground dries a little so I can remove those pieces. A little price to pay for a clean vent.", "summary": "Excellent product and showed me that my vent obviously needed a cleaning", "unixReviewTime": 1458432000}
{"overall": 5.0, "vote": "311", "verified": true, "reviewTime": "02 25, 2017", "reviewerID": "A8WEXFRWX1ZHH", "asin": "B0006GVNOA", "reviewerName": "Goldengate", "reviewText": "I bought this last October and finally got around to cleaning our 15-foot dryer duct run. It's just not the type of thing that's at the top of your list... like \"Wow, should I go see a movie, or clean our dryer duct?\" However, our dryer was drying slower and slower, and I knew it was a task that I needed to tackle, so I read the very long instruction book for this and began my work. The instructions really need to be re-written and simplified. My Sony TV has a smaller instruction manual. But I do appreciate the manufacturer's thoroughness. For those of you with short attention spans here's my quick start guide:\n\n1. Screw the rods together and use electrical or duct tape to reinforce the joints to keep them from unscrewing during your work.\n2. Stick one end of rod in your drill and set the clutch pretty close to the lowest or second lowest setting, then increase power if you need it.\n3. Attached brush to other end of rod with supplied key wrench / allen wrench and tighten.\n4. Make sure your drill is on clockwise - not reverse - mode or else the rods will unscrew inside your duct and you're screwed.\n5. Read #4 again.\n6. Turn dryer on air mode and then insert the brush in the pipe outside and begin spinning it by activating the drill. Push it in about a foot, then pull it out and watch the lint fly. Then push it in 2 feet and pull it out and watch the lint fly. Then 3 feet... etc.\n7. Marvel at how much lint came out.\n8. Marvel at how fast your dryer is and come write a review here.\n9. Wash the clothes you were wearing when you did this because they are now covered in lint.\n\nHope this helps. It's a quick job and well worth it the trouble!", "summary": "A great device that has my dryer working well again. Simple instructions here.", "unixReviewTime": 1487980800}
{"image": ["https://images-na.ssl-images-amazon.com/images/I/814D91i+XEL._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/81y8vVc4x5L._SY88.jpg", "https://images-na.ssl-images-amazon.com/images/I/91Do1uXzrVL._SY88.jpg"], "overall": 5.0, "vote": "165", "verified": true, "reviewTime": "12 5, 2015", "reviewerID": "A2LDP3A4IE9T6T", "asin": "B0006GVNOA", "reviewerName": "mike27971", "reviewText": "We have 24 foot of solid dryer vent pipe ending in 3 right-angles before going through the floor into the flexible dryer-vent hose coming from the dryer. I can't get behind the dryer without moving both the washer and dryer and they are HEAVY. So being lazy I decided to clean the vent from the outside of the house inward. I didn't use a vacuum cleaner or a blower or suction of any kind. I did tighten each section of tubing with pliers and taped them. I threaded all 24 foot of tubing with the brush on the end into the outside vent and then backed it out. I got a good amount of lint clods out. Then I turned on the dryer to blow everything out. I got no air coming out at all. My fear had come true, I had forced gobs of lint into the right-angles at the end of the run. I still didn't want to move that washer and dryer so I figured I'd try one other thing, use the clodbuster attachment. Now I'm really getting lazy so I tightened each tubing section by hand (no pliers) and didn't use tape. I pushed all 24 foot of tubing into the vent until I hit some resistance and then turned the tubing by hand (too lazy to hook the drill up). Then I pulled it all out and there wasn't any lint at all that came out. So now I'm resigned to having to move the washer and dryer, but before I do I figured I might as well turn the dryer on and see what happens. Lots of lint clods blew out and kept coming out for about 20 seconds. I've attached pictures of it. I'm really happy with this product and if it worked for me with all the shortcuts I took it will probably work great for you. As a point of reference we built this house five years ago and this is the first time I ever cleaned the vent. A load of ten bath towels used to take 45 minutes to dry, lately it's been taking 3 to 4 hours, so I knew I couldn't put cleaning the pipe off any longer.", "summary": "This really worked well even taking shortcuts", "unixReviewTime": 1449273600}
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English
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32k
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T6. Aggregation & Clustering
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T6.1 Large-Scale Document Clustering
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Full
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On all reviews in the text whose ASIN is B000N6302Q (NewAir ice maker), cluster them into the following four categories, count every review, and output the distribution as percentages, rounding to the nearest integer and ensuring the total is 100%. Output the "[Answer]" identifier first, and then output the four clusters in the format "CategoryLetter Percentage%" line by line, without any additional content.
A: Warranty denial due to “unauthorized dealer” or manufacturer refusing to honor warranty.
B: Short lifespan/failure after weeks or months (advice to buy extended warranty, etc.).
C: Positive experience/satisfaction.
D: Other issues not covered above.
Output example:
[Answer]
A 13%
B 27%
C 20%
D 40%
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On all reviews in the text whose ASIN is B000N6302Q (NewAir ice maker), cluster them into the following four categories, count every review, and output the distribution as percentages, rounding to the nearest integer and ensuring the total is 100%. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the four clusters in the format "CategoryLetter Percentage%" line by line.
A: Warranty denial due to “unauthorized dealer” or manufacturer refusing to honor warranty.
B: Short lifespan/failure after weeks or months (advice to buy extended warranty, etc.).
C: Positive experience/satisfaction.
D: Other issues not covered above.
Output example:
<Your thinking process>
[Answer]
A 13%
B 27%
C 20%
D 40%
|
[
"A 71%",
"B 29%",
"C 0%",
"D 0%"
] |
Moderate
|
af7eebc3ec28fe4735a631b71736de4ae1745da90fda6c880762b5e46d4c1c78
|
Part 1
One Sunday morning Jobs brought his father to see the factory. Paul Jobs had always been fastidious about making sure that his craftsmanship was exacting and his tools in order, and his son was proud to show that he could do the same. Coleman came along to give the tour. “Steve was, like, beaming,” she recalled. “He was so proud to show his father this creation.” Jobs explained how everything worked, and his father seemed truly admiring. “He kept looking at his father, who touched everything and loved how clean and perfect everything looked.”
Part 2
Things were not quite as sweet when Danielle Mitterrand toured the factory. The Cuba-admiring wife of France’s socialist president Fran?ois Mitterrand asked a lot of questions, through her translator, about the working conditions, while Jobs, who had grabbed Alain Rossmann to serve as his translator, kept trying to explain the advanced robotics and technology. After Jobs talked about the just-in-time production schedules, she asked about overtime pay. He was annoyed, so he described how automation helped him keep down labor costs, a subject he knew would not delight her. “Is it hard work?” she asked. “How much vacation time do they get?” Jobs couldn’t contain himself. “If she’s so interested in their welfare,” he said to her translator, “tell her she can come work here any time.” The translator turned pale and said nothing. After a moment Rossmann stepped in to say, in French, “M. Jobs says he thanks you for your visit and your interest in the factory.” Neither Jobs nor Madame Mitterrand knew what happened, Rossmann recalled, but her translator looked very relieved.
Part 3
Afterward, as he sped his Mercedes down the freeway toward Cupertino, Jobs fumed to Rossmann about Madame Mitterrand’s attitude. At one point he was going just over 100 miles per hour when a policeman stopped him and began writing a ticket. After a few minutes, as the officer scribbled away, Jobs honked. “Excuse me?” the policeman said. Jobs replied, “I’m in a hurry.” Amazingly, the officer didn’t get mad. He simply finished writing the ticket and warned that if Jobs was caught going over 55 again he would be sent to jail. As soon as the policeman left, Jobs got back on the road and accelerated to 100. “He absolutely believed that the normal rules didn’t apply to him,” Rossmann marveled.
Part 4
His wife, Joanna Hoffman, saw the same thing when she accompanied Jobs to Europe a few months after the Macintosh was launched. “He was just completely obnoxious and thinking he could get away with anything,” she recalled. In Paris she had arranged a formal dinner with French software developers, but Jobs suddenly decided he didn’t want to go. Instead he shut the car door on Hoffman and told her he was going to see the poster artist Folon instead. “The developers were so pissed off they wouldn’t shake our hands,” she said.
Part 5
In Italy, he took an instant dislike to Apple’s general manager, a soft rotund guy who had come from a conventional business. Jobs told him bluntly that he was not impressed with his team or his sales strategy. “You don’t deserve to be able to sell the Mac,” Jobs said coldly. But that was mild compared to his reaction to the restaurant the hapless manager had chosen. Jobs demanded a vegan meal, but the waiter very elaborately proceeded to dish out a sauce filled with sour cream. Jobs got so nasty that Hoffman had to threaten him. She whispered that if he didn’t calm down, she was going to pour her hot coffee on his lap.
Part 6
The most substantive disagreements Jobs had on the European trip concerned sales forecasts. Using his reality distortion field, Jobs was always pushing his team to come up with higher projections. He kept threatening the European managers that he wouldn’t give them any allocations unless they projected bigger forecasts. They insisted on being realistic, and Hoffmann had to referee. “By the end of the trip, my whole body was shaking uncontrollably,” Hoffman recalled.
Part 7
It was on this trip that Jobs first got to know Jean-Louis Gassée, Apple’s manager in France. Gassée was among the few to stand up successfully to Jobs on the trip. “He has his own way with the truth,” Gassée later remarked. “The only way to deal with him was to out-bully him.” When Jobs made his usual threat about cutting down on France’s allocations if Gassée didn’t jack up sales projections, Gassée got angry. “I remember grabbing his lapel and telling him to stop, and then he backed down. I used to be an angry man myself. I am a recovering assaholic. So I could recognize that in Steve.”
Part 8
Gassée was impressed, however, at how Jobs could turn on the charm when he wanted to. Fran?ois Mitterrand had been preaching the gospel of informatique pour tous—computing for all—and various academic experts in technology, such as Marvin Minsky and Nicholas Negroponte, came over to sing in the choir. Jobs gave a talk to the group at the Hotel Bristol and painted a picture of how France could move ahead if it put computers in all of its schools. Paris also brought out the romantic in him. Both Gassée and Negroponte tell tales of him pining over women while there.
Falling
Part 9
After the burst of excitement that accompanied the release of Macintosh, its sales began to taper off in the second half of 1984. The problem was a fundamental one: It was a dazzling but woefully slow and underpowered computer, and no amount of hoopla could mask that. Its beauty was that its user interface looked like a sunny playroom rather than a somber dark screen with sickly green pulsating letters and surly command lines. But that led to its greatest weakness: A character on a text-based display took less than a byte of code, whereas when the Mac drew a letter, pixel by pixel in any elegant font you wanted, it required twenty or thirty times more memory. The Lisa handled this by shipping with more than 1,000K RAM, whereas the Macintosh made do with 128K.
Part 10
Another problem was the lack of an internal hard disk drive. Jobs had called Joanna Hoffman a “Xerox bigot” when she fought for such a storage device. He insisted that the Macintosh have just one floppy disk drive. If you wanted to copy data, you could end up with a new form of tennis elbow from having to swap floppy disks in and out of the single drive. In addition, the Macintosh lacked a fan, another example of Jobs’s dogmatic stubbornness. Fans, he felt, detracted from the calm of a computer. This caused many component failures and earned the Macintosh the nickname “the beige toaster,” which did not enhance its popularity. It was so seductive that it had sold well enough for the first few months, but when people became more aware of its limitations, sales fell. As Hoffman later lamented, “The reality distortion field can serve as a spur, but then reality itself hits.”
Part 11
At the end of 1984, with Lisa sales virtually nonexistent and Macintosh sales falling below ten thousand a month, Jobs made a shoddy, and atypical, decision out of desperation. He decided to take the inventory of unsold Lisas, graft on a Macintosh-emulation program, and sell them as a new product, the “Macintosh XL.” Since the Lisa had been discontinued and would not be restarted, it was an unusual instance of Jobs producing something that he did not believe in. “I was furious because the Mac XL wasn’t real,” said Hoffman. “It was just to blow the excess Lisas out the door. It sold well, and then we had to discontinue the horrible hoax, so I resigned.”
Part 12
The dark mood was evident in the ad that was developed in January 1985, which was supposed to reprise the anti-IBM sentiment of the resonant “1984” ad. Unfortunately there was a fundamental difference: The first ad had ended on a heroic, optimistic note, but the storyboards presented by Lee Clow and Jay Chiat for the new ad, titled “Lemmings,” showed dark-suited, blindfolded corporate managers marching off a cliff to their death. From the beginning both Jobs and Sculley were uneasy. It didn’t seem as if it would convey a positive or glorious image of Apple, but instead would merely insult every manager who had bought an IBM.
Part 13
Jobs and Sculley asked for other ideas, but the agency folks pushed back. “You guys didn’t want to run ‘1984’ last year,” one of them said. According to Sculley, Lee Clow added, “I will put my whole reputation, everything, on this commercial.” When the filmed version, done by Ridley Scott’s brother Tony, came in, the concept looked even worse. The mindless managers marching off the cliff were singing a funeral-paced version of the Snow White song “Heigh-ho, Heigh-ho,” and the dreary filmmaking made it even more depressing than the storyboards portended. “I can’t believe you’re going to insult businesspeople across America by running that,” Debi Coleman yelled at Jobs when she saw the ad. At the marketing meetings, she stood up to make her point about how much she hated it. “I literally put a resignation letter on his desk. I wrote it on my Mac. I thought it was an affront to corporate managers. We were just beginning to get a toehold with desktop publishing.”
Part 14
Nevertheless Jobs and Sculley bent to the agency’s entreaties and ran the commercial during the Super Bowl. They went to the game together at Stanford Stadium with Sculley’s wife, Leezy (who couldn’t stand Jobs), and Jobs’s new girlfriend, Tina Redse. When the commercial was shown near the end of the fourth quarter of a dreary game, the fans watched on the overhead screen and had little reaction. Across the country, most of the response was negative. “It insulted the very people Apple was trying to reach,” the president of a market research firm told Fortune. Apple’s marketing manager suggested afterward that the company might want to buy an ad in the Wall Street Journal apologizing. Jay Chiat threatened that if Apple did that his agency would buy the facing page and apologize for the apology.
Part 15
Jobs’s discomfort, with both the ad and the situation at Apple in general, was on display when he traveled to New York in January to do another round of one-on-one press interviews. Andy Cunningham, from Regis McKenna’s firm, was in charge of hand-holding and logistics at the Carlyle. When Jobs arrived, he told her that his suite needed to be completely redone, even though it was 10 p.m. and the meetings were to begin the next day. The piano was not in the right place; the strawberries were the wrong type. But his biggest objection was that he didn’t like the flowers. He wanted calla lilies. “We got into a big fight on what a calla lily is,” Cunningham recalled. “I know what they are, because I had them at my wedding, but he insisted on having a different type of lily and said I was ‘stupid’ because I didn’t know what a real calla lily was.” So Cunningham went out and, this being New York, was able to find a place open at midnight where she could get the lilies he wanted. By the time they got the room rearranged, Jobs started objecting to what she was wearing. “That suit’s disgusting,” he told her. Cunningham knew that at times he just simmered with undirected anger, so she tried to calm him down. “Look, I know you’re angry, and I know how you feel,” she said.
“You have no fucking idea how I feel,” he shot back, “no fucking idea what it’s like to be me.”
Thirty Years Old
Part 16
Turning thirty is a milestone for most people, especially those of the generation that proclaimed it would never trust anyone over that age. To celebrate his own thirtieth, in February 1985, Jobs threw a lavishly formal but also playful—black tie and tennis shoes—party for one thousand in the ballroom of the St. Francis Hotel in San Francisco. The invitation read, “There’s an old Hindu saying that goes, ‘In the first 30 years of your life, you make your habits. For the last 30 years of your life, your habits make you.’ Come help me celebrate mine.”
Part 17
One table featured software moguls, including Bill Gates and Mitch Kapor. Another had old friends such as Elizabeth Holmes, who brought as her date a woman dressed in a tuxedo. Andy Hertzfeld and Burrell Smith had rented tuxes and wore floppy tennis shoes, which made it all the more memorable when they danced to the Strauss waltzes played by the San Francisco Symphony Orchestra.
Part 18
Ella Fitzgerald provided the entertainment, as Bob Dylan had declined. She sang mainly from her standard repertoire, though occasionally tailoring a song like “The Girl from Ipanema” to be about the boy from Cupertino. When she asked for some requests, Jobs called out a few. She concluded with a slow rendition of “Happy Birthday.”
Part 19
Sculley came to the stage to propose a toast to “technology’s foremost visionary.” Wozniak also came up and presented Jobs with a framed copy of the Zaltair hoax from the 1977 West Coast Computer Faire, where the Apple II had been introduced. The venture capitalist Don Valentine marveled at the change in the decade since that time. “He went from being a Ho Chi Minh look-alike, who said never trust anyone over thirty, to a person who gives himself a fabulous thirtieth birthday with Ella Fitzgerald,” he said.
Part 20
Many people had picked out special gifts for a person who was not easy to shop for. Debi Coleman, for example, found a first edition of F. Scott Fitzgerald’s The Last Tycoon. But Jobs, in an act that was odd yet not out of character, left all of the gifts in a hotel room. Wozniak and some of the Apple veterans, who did not take to the goat cheese and salmon mousse that was served, met after the party and went out to eat at a Denny’s.
Part 21
“It’s rare that you see an artist in his 30s or 40s able to really contribute something amazing,” Jobs said wistfully to the writer David Sheff, who published a long and intimate interview in Playboy the month he turned thirty. “Of course, there are some people who are innately curious, forever little kids in their awe of life, but they’re rare.” The interview touched on many subjects, but Jobs’s most poignant ruminations were about growing old and facing the future:
Part 22
Your thoughts construct patterns like scaffolding in your mind. You are really etching chemical patterns. In most cases, people get stuck in those patterns, just like grooves in a record, and they never get out of them.
Part 23
I’ll always stay connected with Apple. I hope that throughout my life I’ll sort of have the thread of my life and the thread of Apple weave in and out of each other, like a tapestry. There may be a few years when I’m not there, but I’ll always come back. . . .
Part 24
If you want to live your life in a creative way, as an artist, you have to not look back too much. You have to be willing to take whatever you’ve done and whoever you were and throw them away.
Part 25
The more the outside world tries to reinforce an image of you, the harder it is to continue to be an artist, which is why a lot of times, artists have to say, “Bye. I have to go. I’m going crazy and I’m getting out of here.” And they go and hibernate somewhere. Maybe later they re-emerge a little differently.
Part 26
With each of those statements, Jobs seemed to have a premonition that his life would soon be changing. Perhaps the thread of his life would indeed weave in and out of the thread of Apple’s. Perhaps it was time to throw away some of what he had been. Perhaps it was time to say “Bye, I have to go,” and then reemerge later, thinking differently.
Exodus
Part 27
Andy Hertzfeld had taken a leave of absence after the Macintosh came out in 1984. He needed to recharge his batteries and get away from his supervisor, Bob Belleville, whom he didn’t like. One day he learned that Jobs had given out bonuses of up to $50,000 to engineers on the Macintosh team. So he went to Jobs to ask for one. Jobs responded that Belleville had decided not to give the bonuses to people who were on leave. Hertzfeld later heard that the decision had actually been made by Jobs, so he confronted him. At first Jobs equivocated, then he said, “Well, let’s assume what you are saying is true. How does that change things?” Hertzfeld said that if Jobs was withholding the bonus as a reason for him to come back, then he wouldn’t come back as a matter of principle. Jobs relented, but it left Hertzfeld with a bad taste.
Part 28
When his leave was coming to an end, Hertzfeld made an appointment to have dinner with Jobs, and they walked from his office to an Italian restaurant a few blocks away. “I really want to return,” he told Jobs. “But things seem really messed up right now.” Jobs was vaguely annoyed and distracted, but Hertzfeld plunged ahead. “The software team is completely demoralized and has hardly done a thing for months, and Burrell is so frustrated that he won’t last to the end of the year.”
Part 29
At that point Jobs cut him off. “You don’t know what you’re talking about!” he said. “The Macintosh team is doing great, and I’m having the best time of my life right now. You’re just completely out of touch.” His stare was withering, but he also tried to look amused at Hertzfeld’s assessment.
Part 30
“If you really believe that, I don’t think there’s any way that I can come back,” Hertzfeld replied glumly. “The Mac team that I want to come back to doesn’t even exist anymore.”
Part 31
“The Mac team had to grow up, and so do you,” Jobs replied. “I want you to come back, but if you don’t want to, that’s up to you. You don’t matter as much as you think you do, anyway.”
Hertzfeld didn’t come back.
Part 32
By early 1985 Burrell Smith was also ready to leave. He had worried that it would be hard to quit if Jobs tried to talk him out of it; the reality distortion field was usually too strong for him to resist. So he plotted with Hertzfeld how he could break free of it. “I’ve got it!” he told Hertzfeld one day. “I know the perfect way to quit that will nullify the reality distortion field. I’ll just walk into Steve’s office, pull down my pants, and urinate on his desk. What could he say to that? It’s guaranteed to work.” The betting on the Mac team was that even brave Burrell Smith would not have the gumption to do that. When he finally decided he had to make his break, around the time of Jobs’s birthday bash, he made an appointment to see Jobs. He was surprised to find Jobs smiling broadly when he walked in. “Are you gonna do it? Are you really gonna do it?” Jobs asked. He had heard about the plan.
Part 33
Smith looked at him. “Do I have to? I’ll do it if I have to.” Jobs gave him a look, and Smith decided it wasn’t necessary. So he resigned less dramatically and walked out on good terms.
He was quickly followed by another of the great Macintosh engineers, Bruce Horn. When Horn went in to say good-bye, Jobs told him, “Everything that’s wrong with the Mac is your fault.”
Horn responded, “Well, actually, Steve, a lot of things that are right with the Mac are my fault, and I had to fight like crazy to get those things in.”
“You’re right,” admitted Jobs. “I’ll give you 15,000 shares to stay.” When Horn declined the offer, Jobs showed his warmer side. “Well, give me a hug,” he said. And so they hugged.
Part 34
But the biggest news that month was the departure from Apple, yet again, of its cofounder, Steve Wozniak. Wozniak was then quietly working as a midlevel engineer in the Apple II division, serving as a humble mascot of the roots of the company and staying as far away from management and corporate politics as he could. He felt, with justification, that Jobs was not appreciative of the Apple II, which remained the cash cow of the company and accounted for 70% of its sales at Christmas 1984. “People in the Apple II group were being treated as very unimportant by the rest of the company,” he later said. “This was despite the fact that the Apple II was by far the largest-selling product in our company for ages, and would be for years to come.” He even roused himself to do something out of character; he picked up the phone one day and called Sculley, berating him for lavishing so much attention on Jobs and the Macintosh division.
Part 35
Frustrated, Wozniak decided to leave quietly to start a new company that would make a universal remote control device he had invented. It would control your television, stereo, and other electronic devices with a simple set of buttons that you could easily program. He informed the head of engineering at the Apple II division, but he didn’t feel he was important enough to go out of channels and tell Jobs or Markkula. So Jobs first heard about it when the news leaked in the Wall Street Journal. In his earnest way, Wozniak had openly answered the reporter’s questions when he called. Yes, he said, he felt that Apple had been giving short shrift to the Apple II division. “Apple’s direction has been horrendously wrong for five years,” he said.
Part 36
Less than two weeks later Wozniak and Jobs traveled together to the White House, where Ronald Reagan presented them with the first National Medal of Technology. The president quoted what President Rutherford Hayes had said when first shown a telephone—“An amazing invention, but who would ever want to use one?”—and then quipped, “I thought at the time that he might be mistaken.” Because of the awkward situation surrounding Wozniak’s departure, Apple did not throw a celebratory dinner. So Jobs and Wozniak went for a walk afterward and ate at a sandwich shop. They chatted amiably, Wozniak recalled, and avoided any discussion of their disagreements.
Part 37
Wozniak wanted to make the parting amicable. It was his style. So he agreed to stay on as a part-time Apple employee at a $20,000 salary and represent the company at events and trade shows. That could have been a graceful way to drift apart. But Jobs could not leave well enough alone. One Saturday, a few weeks after they had visited Washington together, Jobs went to the new Palo Alto studios of Hartmut Esslinger, whose company frogdesign had moved there to handle its design work for Apple. There he happened to see sketches that the firm had made for Wozniak’s new remote control device, and he flew into a rage. Apple had a clause in its contract that gave it the right to bar frogdesign from working on other computer-related projects, and Jobs invoked it. “I informed them,” he recalled, “that working with Woz wouldn’t be acceptable to us.”
Part 38
When the Wall Street Journal heard what happened, it got in touch with Wozniak, who, as usual, was open and honest. He said that Jobs was punishing him. “Steve Jobs has a hate for me, probably because of the things I said about Apple,” he told the reporter. Jobs’s action was remarkably petty, but it was also partly caused by the fact that he understood, in ways that others did not, that the look and style of a product served to brand it. A device that had Wozniak’s name on it and used the same design language as Apple’s products might be mistaken for something that Apple had produced. “It’s not personal,” Jobs told the newspaper, explaining that he wanted to make sure that Wozniak’s remote wouldn’t look like something made by Apple. “We don’t want to see our design language used on other products. Woz has to find his own resources. He can’t leverage off Apple’s resources; we can’t treat him specially.”
Part 39
Jobs volunteered to pay for the work that frogdesign had already done for Wozniak, but even so the executives at the firm were taken aback. When Jobs demanded that they send him the drawings done for Wozniak or destroy them, they refused. Jobs had to send them a letter invoking Apple’s contractual right. Herbert Pfeifer, the design director of the firm, risked Jobs’s wrath by publicly dismissing his claim that the dispute with Wozniak was not personal. “It’s a power play,” Pfeifer told the Journal. “They have personal problems between them.”
Part 40
Hertzfeld was outraged when he heard what Jobs had done. He lived about twelve blocks from Jobs, who sometimes would drop by on his walks. “I got so furious about the Wozniak remote episode that when Steve next came over, I wouldn’t let him in the house,” Hertzfeld recalled. “He knew he was wrong, but he tried to rationalize, and maybe in his distorted reality he was able to.” Wozniak, always a teddy bear even when annoyed, hired another design firm and even agreed to stay on Apple’s retainer as a spokesman.
Showdown, Spring 1985
Part 41
There were many reasons for the rift between Jobs and Sculley in the spring of 1985. Some were merely business disagreements, such as Sculley’s attempt to maximize profits by keeping the Macintosh price high when Jobs wanted to make it more affordable. Others were weirdly psychological and stemmed from the torrid and unlikely infatuation they initially had with each other. Sculley had painfully craved Jobs’s affection, Jobs had eagerly sought a father figure and mentor, and when the ardor began to cool there was an emotional backwash. But at its core, the growing breach had two fundamental causes, one on each side.
Part 42
For Jobs, the problem was that Sculley never became a product person. He didn’t make the effort, or show the capacity, to understand the fine points of what they were making. On the contrary, he found Jobs’s passion for tiny technical tweaks and design details to be obsessive and counterproductive. He had spent his career selling sodas and snacks whose recipes were largely irrelevant to him. He wasn’t naturally passionate about products, which was among the most damning sins that Jobs could imagine. “I tried to educate him about the details of engineering,” Jobs recalled, “but he had no idea how products are created, and after a while it just turned into arguments. But I learned that my perspective was right. Products are everything.” He came to see Sculley as clueless, and his contempt was exacerbated by Sculley’s hunger for his affection and delusions that they were very similar.
Part 43
For Sculley, the problem was that Jobs, when he was no longer in courtship or manipulative mode, was frequently obnoxious, rude, selfish, and nasty to other people. He found Jobs’s boorish behavior as despicable as Jobs found Sculley’s lack of passion for product details. Sculley was kind, caring, and polite to a fault. At one point they were planning to meet with Xerox’s vice chair Bill Glavin, and Sculley begged Jobs to behave. But as soon as they sat down, Jobs told Glavin, “You guys don’t have any clue what you’re doing,” and the meeting broke up. “I’m sorry, but I couldn’t help myself,” Jobs told Sculley. It was one of many such cases. As Atari’s Al Alcorn later observed, “Sculley believed in keeping people happy and worrying about relationships. Steve didn’t give a shit about that. But he did care about the product in a way that Sculley never could, and he was able to avoid having too many bozos working at Apple by insulting anyone who wasn’t an A player.”
Part 44
The board became increasingly alarmed at the turmoil, and in early 1985 Arthur Rock and some other disgruntled directors delivered a stern lecture to both. They told Sculley that he was supposed to be running the company, and he should start doing so with more authority and less eagerness to be pals with Jobs. They told Jobs that he was supposed to be fixing the mess at the Macintosh division and not telling other divisions how to do their job. Afterward Jobs retreated to his office and typed on his Macintosh, “I will not criticize the rest of the organization, I will not criticize the rest of the organization . . .”
Part 45
As the Macintosh continued to disappoint—sales in March 1985 were only 10% of the budget forecast—Jobs holed up in his office fuming or wandered the halls berating everyone else for the problems. His mood swings became worse, and so did his abuse of those around him. Middle-level managers began to rise up against him. The marketing chief Mike Murray sought a private meeting with Sculley at an industry conference. As they were going up to Sculley’s hotel room, Jobs spotted them and asked to come along. Murray asked him not to. He told Sculley that Jobs was wreaking havoc and had to be removed from managing the Macintosh division. Sculley replied that he was not yet resigned to having a showdown with Jobs. Murray later sent a memo directly to Jobs criticizing the way he treated colleagues and denouncing “management by character assassination.”
Part 46
For a few weeks it seemed as if there might be a solution to the turmoil. Jobs became fascinated by a flat-screen technology developed by a firm near Palo Alto called Woodside Design, run by an eccentric engineer named Steve Kitchen. He also was impressed by another startup that made a touchscreen display that could be controlled by your finger, so you didn’t need a mouse. Together these might help fulfill Jobs’s vision of creating a “Mac in a book.” On a walk with Kitchen, Jobs spotted a building in nearby Menlo Park and declared that they should open a skunkworks facility to work on these ideas. It could be called AppleLabs and Jobs could run it, going back to the joy of having a small team and developing a great new product.
Part 47
Sculley was thrilled by the possibility. It would solve most of his management issues, moving Jobs back to what he did best and getting rid of his disruptive presence in Cupertino. Sculley also had a candidate to replace Jobs as manager of the Macintosh division: Jean-Louis Gassée, Apple’s chief in France, who had suffered through Jobs’s visit there. Gassée flew to Cupertino and said he would take the job if he got a guarantee that he would run the division rather than work under Jobs. One of the board members, Phil Schlein of Macy’s, tried to convince Jobs that he would be better off thinking up new products and inspiring a passionate little team.
Part 48
But after some reflection, Jobs decided that was not the path he wanted. He declined to cede control to Gassée, who wisely went back to Paris to avoid the power clash that was becoming inevitable. For the rest of the spring, Jobs vacillated. There were times when he wanted to assert himself as a corporate manager, even writing a memo urging cost savings by eliminating free beverages and first-class air travel, and other times when he agreed with those who were encouraging him to go off and run a new AppleLabs R&D group.
Part 49
In March Murray let loose with another memo that he marked “Do not circulate” but gave to multiple colleagues. “In my three years at Apple, I’ve never observed so much confusion, fear, and dysfunction as in the past 90 days,” he began. “We are perceived by the rank and file as a boat without a rudder, drifting away into foggy oblivion.” Murray had been on both sides of the fence; at times he conspired with Jobs to undermine Sculley, but in this memo he laid the blame on Jobs. “Whether the cause of or because of the dysfunction, Steve Jobs now controls a seemingly impenetrable power base.”
Part 50
At the end of that month, Sculley finally worked up the nerve to tell Jobs that he should give up running the Macintosh division. He walked over to Jobs’s office one evening and brought the human resources manager, Jay Elliot, to make the confrontation more formal. “There is no one who admires your brilliance and vision more than I do,” Sculley began. He had uttered such flatteries before, but this time it was clear that there would be a brutal “but” punctuating the thought. And there was. “But this is really not going to work,” he declared. The flatteries punctured by “buts” continued. “We have developed a great friendship with each other,” he said, “but I have lost confidence in your ability to run the Macintosh division.” He also berated Jobs for badmouthing him as a bozo behind his back.
Part 51
Jobs looked stunned and countered with an odd challenge, that Sculley should help and coach him more: “You’ve got to spend more time with me.” Then he lashed back. He told Sculley he knew nothing about computers, was doing a terrible job running the company, and had disappointed Jobs ever since coming to Apple. Then he began to cry. Sculley sat there biting his fingernails.
Part 52
“I’m going to bring this up with the board,” Sculley declared. “I’m going to recommend that you step down from your operating position of running the Macintosh division. I want you to know that.” He urged Jobs not to resist and to agree instead to work on developing new technologies and products.
Part 53
Jobs jumped from his seat and turned his intense stare on Sculley. “I don’t believe you’re going to do that,” he said. “If you do that, you’re going to destroy the company.”
Part 54
Over the next few weeks Jobs’s behavior fluctuated wildly. At one moment he would be talking about going off to run AppleLabs, but in the next moment he would be enlisting support to have Sculley ousted. He would reach out to Sculley, then lash out at him behind his back, sometimes on the same night. One night at 9 he called Apple’s general counsel Al Eisenstat to say he was losing confidence in Sculley and needed his help convincing the board to fire him; at 11 the same night, he phoned Sculley to say, “You’re terrific, and I just want you to know I love working with you.”
Part 55
At the board meeting on April 11, Sculley officially reported that he wanted to ask Jobs to step down as the head of the Macintosh division and focus instead on new product development. Arthur Rock, the most crusty and independent of the board members, then spoke. He was fed up with both of them: with Sculley for not having the guts to take command over the past year, and with Jobs for “acting like a petulant brat.” The board needed to get this dispute behind them, and to do so it should meet privately with each of them.
Part 56
Sculley left the room so that Jobs could present first. Jobs insisted that Sculley was the problem because he had no understanding of computers. Rock responded by berating Jobs. In his growling voice, he said that Jobs had been behaving foolishly for a year and had no right to be managing a division. Even Jobs’s strongest supporter, Phil Schlein, tried to talk him into stepping aside gracefully to run a research lab for the company.
Part 57
When it was Sculley’s turn to meet privately with the board, he gave an ultimatum: “You can back me, and then I take responsibility for running the company, or we can do nothing, and you’re going to have to find yourselves a new CEO.” If given the authority, he said, he would not move abruptly, but would ease Jobs into the new role over the next few months. The board unanimously sided with Sculley. He was given the authority to remove Jobs whenever he felt the timing was right. As Jobs waited outside the boardroom, knowing full well that he was losing, he saw Del Yocam, a longtime colleague, and hugged him.
Part 58
After the board made its decision, Sculley tried to be conciliatory. Jobs asked that the transition occur slowly, over the next few months, and Sculley agreed. Later that evening Sculley’s executive assistant, Nanette Buckhout, called Jobs to see how he was doing. He was still in his office, shell-shocked. Sculley had already left, and Jobs came over to talk to her. Once again he began oscillating wildly in his attitude toward Sculley. “Why did John do this to me?” he said. “He betrayed me.” Then he swung the other way. Perhaps he should take some time away to work on restoring his relationship with Sculley, he said. “John’s friendship is more important than anything else, and I think maybe that’s what I should do, concentrate on our friendship.”
Plotting a Coup
Part 59
Jobs was not good at taking no for an answer. He went to Sculley’s office in early May 1985 and asked for more time to show that he could manage the Macintosh division. He would prove himself as an operations guy, he promised. Sculley didn’t back down. Jobs next tried a direct challenge: He asked Sculley to resign. “I think you really lost your stride,” Jobs told him. “You were really great the first year, and everything went wonderful. But something happened.” Sculley, who generally was even-tempered, lashed back, pointing out that Jobs had been unable to get Macintosh software developed, come up with new models, or win customers. The meeting degenerated into a shouting match about who was the worse manager. After Jobs stalked out, Sculley turned away from the glass wall of his office, where others had been looking in on the meeting, and wept.
Part 60
Matters began to come to a head on Tuesday, May 14, when the Macintosh team made its quarterly review presentation to Sculley and other Apple corporate leaders. Jobs still had not relinquished control of the division, and he was defiant when he arrived in the corporate boardroom with his team. He and Sculley began by clashing over what the division’s mission was. Jobs said it was to sell more Macintosh machines. Sculley said it was to serve the interests of the Apple company as a whole. As usual there was little cooperation among the divisions; for one thing, the Macintosh team was planning new disk drives that were different from those being developed by the Apple II division. The debate, according to the minutes, took a full hour.
Jobs then described the projects under way: a more powerful Mac, which would take the place of the discontinued Lisa; and software called FileServer, which would allow Macintosh users to share files on a network. Sculley learned for the first time that these projects were going to be late. He gave a cold critique of Murray’s marketing record, Belleville’s missed engineering deadlines, and Jobs’s overall management. Despite all this, Jobs ended the meeting with a plea to Sculley, in front of all the others there, to be given one more chance to prove he could run a division. Sculley refused.
That night Jobs took his Macintosh team out to dinner at Nina’s Café in Woodside. Jean-Louis Gassée was in town because Sculley wanted him to prepare to take over the Macintosh division, and Jobs invited him to join them. Belleville proposed a toast “to those of us who really understand what the world according to Steve Jobs is all about.” That phrase—“the world according to Steve”—had been used dismissively by others at Apple who belittled the reality warp he created. After the others left, Belleville sat with Jobs in his Mercedes and urged him to organize a battle to the death with Sculley.
Months earlier, Apple had gotten the right to export computers to China, and Jobs had been invited to sign a deal in the Great Hall of the People over the 1985 Memorial Day weekend. He had told Sculley, who decided he wanted to go himself, which was just fine with Jobs. Jobs decided to use Sculley’s absence to execute his coup. Throughout the week leading up to Memorial Day, he took a lot of people on walks to share his plans. “I’m going to launch a coup while John is in China,” he told Mike Murray.
Seven Days in May
Thursday, May 23: At his regular Thursday meeting with his top lieutenants in the Macintosh division, Jobs told his inner circle about his plan to oust Sculley. He also confided in the corporate human resources director, Jay Elliot, who told him bluntly that the proposed rebellion wouldn’t work. Elliot had talked to some board members and urged them to stand up for Jobs, but he discovered that most of the board was with Sculley, as were most members of Apple’s senior staff. Yet Jobs barreled ahead. He even revealed his plans to Gassée on a walk around the parking lot, despite the fact that Gassée had come from Paris to take his job. “I made the mistake of telling Gassée,” Jobs wryly conceded years later.
That evening Apple’s general counsel Al Eisenstat had a small barbecue at his home for Sculley, Gassée, and their wives. When Gassée told Eisenstat what Jobs was plotting, he recommended that Gassée inform Sculley. “Steve was trying to raise a cabal and have a coup to get rid of John,” Gassée recalled. “In the den of Al Eisenstat’s house, I put my index finger lightly on John’s breastbone and said, ‘If you leave tomorrow for China, you could be ousted. Steve’s plotting to get rid of you.’”
Friday, May 24: Sculley canceled his trip and decided to confront Jobs at the executive staff meeting on Friday morning. Jobs arrived late, and he saw that his usual seat next to Sculley, who sat at the head of the table, was taken. He sat instead at the far end. He was dressed in a well-tailored suit and looked energized. Sculley looked pale. He announced that he was dispensing with the agenda to confront the issue on everyone’s mind. “It’s come to my attention that you’d like to throw me out of the company,” he said, looking directly at Jobs. “I’d like to ask you if that’s true.”
Jobs was not expecting this. But he was never shy about indulging in brutal honesty. His eyes narrowed, and he fixed Sculley with his unblinking stare. “I think you’re bad for Apple, and I think you’re the wrong person to run the company,” he replied, coldly and slowly. “You really should leave this company. You don’t know how to operate and never have.” He accused Sculley of not understanding the product development process, and then he added a self-centered swipe: “I wanted you here to help me grow, and you’ve been ineffective in helping me.”
As the rest of the room sat frozen, Sculley finally lost his temper. A childhood stutter that had not afflicted him for twenty years started to return. “I don’t trust you, and I won’t tolerate a lack of trust,” he stammered. When Jobs claimed that he would be better than Sculley at running the company, Sculley took a gamble. He decided to poll the room on that question. “He pulled off this clever maneuver,” Jobs recalled, still smarting thirty-five years later. “It was at the executive committee meeting, and he said, ‘It’s me or Steve, who do you vote for?’ He set the whole thing up so that you’d kind of have to be an idiot to vote for me.”
Suddenly the frozen onlookers began to squirm. Del Yocam had to go first. He said he loved Jobs, wanted him to continue to play some role in the company, but he worked up the nerve to conclude, with Jobs staring at him, that he “respected” Sculley and would support him to run the company. Eisenstat faced Jobs directly and said much the same thing: He liked Jobs but was supporting Sculley. Regis McKenna, who sat in on senior staff meetings as an outside consultant, was more direct. He looked at Jobs and told him he was not yet ready to run the company, something he had told him before. Others sided with Sculley as well. For Bill Campbell, it was particularly tough. He was fond of Jobs and didn’t particularly like Sculley. His voice quavered a bit as he told Jobs he had decided to support Sculley, and he urged the two of them to work it out and find some role for Jobs to play in the company. “You can’t let Steve leave this company,” he told Sculley.
Jobs looked shattered. “I guess I know where things stand,” he said, and bolted out of the room. No one followed.
He went back to his office, gathered his longtime loyalists on the Macintosh staff, and started to cry. He would have to leave Apple, he said. As he started to walk out the door, Debi Coleman restrained him. She and the others urged him to settle down and not do anything hasty. He should take the weekend to regroup. Perhaps there was a way to prevent the company from being torn apart.
Sculley was devastated by his victory. Like a wounded warrior, he retreated to Eisenstat’s office and asked the corporate counsel to go for a ride. When they got into Eisenstat’s Porsche, Sculley lamented, “I don’t know whether I can go through with this.” When Eisenstat asked what he meant, Sculley responded, “I think I’m going to resign.”
“You can’t,” Eisenstat protested. “Apple will fall apart.”
“I’m going to resign,” Sculley declared. “I don’t think I’m right for the company.”
“I think you’re copping out,” Eisenstat replied. “You’ve got to stand up to him.” Then he drove Sculley home.
Sculley’s wife was surprised to see him back in the middle of the day. “I’ve failed,” he said to her forlornly. She was a volatile woman who had never liked Jobs or appreciated her husband’s infatuation with him. So when she heard what had happened, she jumped into her car and sped over to Jobs’s office. Informed that he had gone to the Good Earth restaurant, she marched over there and confronted him in the parking lot as he was coming out with loyalists on his Macintosh team.
“Steve, can I talk to you?” she said. His jaw dropped. “Do you have any idea what a privilege it has been even to know someone as fine as John Sculley?” she demanded. He averted his gaze. “Can’t you look me in the eyes when I’m talking to you?” she asked. But when Jobs did so—giving her his practiced, unblinking stare—she recoiled. “Never mind, don’t look at me,” she said. “When I look into most people’s eyes, I see a soul. When I look into your eyes, I see a bottomless pit, an empty hole, a dead zone.” Then she walked away.
Saturday, May 25: Mike Murray drove to Jobs’s house in Woodside to offer some advice: He should consider accepting the role of being a new product visionary, starting AppleLabs, and getting away from headquarters. Jobs seemed willing to consider it. But first he would have to restore peace with Sculley. So he picked up the telephone and surprised Sculley with an olive branch. Could they meet the following afternoon, Jobs asked, and take a walk together in the hills above Stanford University. They had walked there in the past, in happier times, and maybe on such a walk they could work things out.
Jobs did not know that Sculley had told Eisenstat he wanted to quit, but by then it didn’t matter. Overnight, he had changed his mind and decided to stay. Despite the blowup the day before, he was still eager for Jobs to like him. So he agreed to meet the next afternoon.
If Jobs was prepping for conciliation, it didn’t show in the choice of movie he wanted to see with Murray that night. He picked Patton, the epic of the never-surrender general. But he had lent his copy of the tape to his father, who had once ferried troops for the general, so he drove to his childhood home with Murray to retrieve it. His parents weren’t there, and he didn’t have a key. They walked around the back, checked for unlocked doors or windows, and finally gave up. The video store didn’t have a copy of Patton in stock, so in the end he had to settle for watching the 1983 film adaptation of Harold Pinter’s Betrayal.
Sunday, May 26: As planned, Jobs and Sculley met in back of the Stanford campus on Sunday afternoon and walked for several hours amid the rolling hills and horse pastures. Jobs reiterated his plea that he should have an operational role at Apple. This time Sculley stood firm. It won’t work, he kept saying. Sculley urged him to take the role of being a product visionary with a lab of his own, but Jobs rejected this as making him into a mere “figurehead.” Defying all connection to reality, he countered with the proposal that Sculley give up control of the entire company to him. “Why don’t you become chairman and I’ll become president and chief executive officer?” he suggested. Sculley was struck by how earnest he seemed.
“Steve, that doesn’t make any sense,” Sculley replied. Jobs then proposed that they split the duties of running the company, with him handling the product side and Sculley handling marketing and business. But the board had not only emboldened Sculley, it had ordered him to bring Jobs to heel. “One person has got to run the company,” he replied. “I’ve got the support and you don’t.”
On his way home, Jobs stopped at Mike Markkula’s house. He wasn’t there, so Jobs left a message asking him to come to dinner the following evening. He would also invite the core of loyalists from his Macintosh team. He hoped that they could persuade Markkula of the folly of siding with Sculley.
Monday, May 27: Memorial Day was sunny and warm. The Macintosh team loyalists—Debi Coleman, Mike Murray, Susan Barnes, and Bob Belleville—got to Jobs’s Woodside home an hour before the scheduled dinner so they could plot strategy. Sitting on the patio as the sun set, Coleman told Jobs that he should accept Sculley’s offer to be a product visionary and help start up AppleLabs. Of all the inner circle, Coleman was the most willing to be realistic. In the new organization plan, Sculley had tapped her to run the manufacturing division because he knew that her loyalty was to Apple and not just to Jobs. Some of the others were more hawkish. They wanted to urge Markkula to support a reorganization plan that put Jobs in charge.
When Markkula showed up, he agreed to listen with one proviso: Jobs had to keep quiet. “I seriously wanted to hear the thoughts of the Macintosh team, not watch Jobs enlist them in a rebellion,” he recalled. As it turned cooler, they went inside the sparsely furnished mansion and sat by a fireplace. Instead of letting it turn into a gripe session, Markkula made them focus on very specific management issues, such as what had caused the problem in producing the FileServer software and why the Macintosh distribution system had not responded well to the change in demand. When they were finished, Markkula bluntly declined to back Jobs. “I said I wouldn’t support his plan, and that was the end of that,” Markkula recalled. “Sculley was the boss. They were mad and emotional and putting together a revolt, but that’s not how you do things.”
Tuesday, May 28: His ire stoked by hearing from Markkula that Jobs had spent the previous evening trying to subvert him, Sculley walked over to Jobs’s office on Tuesday morning. He had talked to the board, he said, and he had its support. He wanted Jobs out. Then he drove to Markkula’s house, where he gave a presentation of his reorganization plans. Markkula asked detailed questions, and at the end he gave Sculley his blessing. When he got back to his office, Sculley called the other members of the board, just to make sure he still had their backing. He did.
At that point he called Jobs to make sure he understood. The board had given final approval of his reorganization plan, which would proceed that week. Gassée would take over control of Jobs’s beloved Macintosh as well as other products, and there was no other division for Jobs to run. Sculley was still somewhat conciliatory. He told Jobs that he could stay on with the title of board chairman and be a product visionary with no operational duties. But by this point, even the idea of starting a skunkworks such as AppleLabs was no longer on the table.
It finally sank in. Jobs realized there was no appeal, no way to warp the reality. He broke down in tears and started making phone calls—to Bill Campbell, Jay Elliot, Mike Murray, and others. Murray’s wife, Joyce, was on an overseas call when Jobs phoned, and the operator broke in saying it was an emergency. It better be important, she told the operator. “It is,” she heard Jobs say. When her husband got on the phone, Jobs was crying. “It’s over,” he said. Then he hung up.
Murray was worried that Jobs was so despondent he might do something rash, so he called back. There was no answer, so he drove to Woodside. No one came to the door when he knocked, so he went around back and climbed up some exterior steps and looked in the bedroom. Jobs was lying there on a mattress in his unfurnished room. He let Murray in and they talked until almost dawn.
Wednesday, May 29: Jobs finally got hold of a tape of Patton, which he watched Wednesday evening, but Murray prevented him from getting stoked up for another battle. Instead he urged Jobs to come in on Friday for Sculley’s announcement of the reorganization plan. There was no option left other than to play the good soldier rather than the renegade commander.
Like a Rolling Stone
Jobs slipped quietly into the back row of the auditorium to listen to Sculley explain to the troops the new order of battle. There were a lot of sideways glances, but few people acknowledged him and none came over to provide public displays of affection. He stared without blinking at Sculley, who would remember “Steve’s look of contempt” years later. “It’s unyielding,” Sculley recalled, “like an X-ray boring inside your bones, down to where you’re soft and destructibly m
Upon his return from Europe in August 1985, while he was casting about for what to do next, Jobs called the Stanford biochemist Paul Berg to discuss the advances that were being made in gene splicing and recombinant DNA. Berg described how difficult it was to do experiments in a biology lab, where it could take weeks to nurture an experiment and get a result. “Why don’t you simulate them on a computer?” Jobs asked. Berg replied that computers with such capacities were too expensive for university labs. “Suddenly, he was excited about the possibilities,” Berg recalled. “He had it in his mind to start a new company. He was young and rich, and had to find something to do with the rest of his life.”
Jobs had already been canvassing academics to ask what their workstation needs were. It was something he had been interested in since 1983, when he had visited the computer science department at Brown to show off the Macintosh, only to be told that it would take a far more powerful machine to do anything useful in a university lab. The dream of academic researchers was to have a workstation that was both powerful and personal. As head of the Macintosh division, Jobs had launched a project to build such a machine, which was dubbed the Big Mac. It would have a UNIX operating system but with the friendly Macintosh interface. But after Jobs was ousted from the Macintosh division, his replacement, Jean-Louis Gassée, canceled the Big Mac.
When that happened, Jobs got a distressed call from Rich Page, who had been engineering the Big Mac’s chip set. It was the latest in a series of conversations that Jobs was having with disgruntled Apple employees urging him to start a new company and rescue them. Plans to do so began to jell over Labor Day weekend, when Jobs spoke to Bud Tribble, the original Macintosh software chief, and floated the idea of starting a company to build a powerful but personal workstation. He also enlisted two other Macintosh division employees who had been talking about leaving, the engineer George Crow and the controller Susan Barnes.
That left one key vacancy on the team: a person who could market the new product to universities. The obvious candidate was Dan’l Lewin, who at Apple had organized a consortium of universities to buy Macintosh computers in bulk. Besides missing two letters in his first name, Lewin had the chiseled good looks of Clark Kent and a Princetonian’s polish. He and Jobs shared a bond: Lewin had written a Princeton thesis on Bob Dylan and charismatic leadership, and Jobs knew something about both of those topics.
Lewin’s university consortium had been a godsend to the Macintosh group, but he had become frustrated after Jobs left and Bill Campbell had reorganized marketing in a way that reduced the role of direct sales to universities. He had been meaning to call Jobs when, that Labor Day weekend, Jobs called first. He drove to Jobs’s unfurnished mansion, and they walked the grounds while discussing the possibility of creating a new company. Lewin was excited, but not ready to commit. He was going to Austin with Campbell the following week, and he wanted to wait until then to decide. Upon his return, he gave his answer: He was in. The news came just in time for the September 13 Apple board meeting.
Although Jobs was still nominally the board’s chairman, he had not been to any meetings since he lost power. He called Sculley, said he was going to attend, and asked that an item be added to the end of the agenda for a “chairman’s report.” He didn’t say what it was about, and Sculley assumed it would be a criticism of the latest reorganization. Instead, when his turn came to speak, Jobs described to the board his plans to start a new company. “I’ve been thinking a lot, and it’s time for me to get on with my life,” he began. “It’s obvious that I’ve got to do something. I’m thirty years old.” Then he referred to some prepared notes to describe his plan to create a computer for the higher education market. The new company would not be competitive with Apple, he promised, and he would take with him only a handful of non-key personnel. He offered to resign as chairman of Apple, but he expressed hope that they could work together. Perhaps Apple would want to buy the distribution rights to his product, he suggested, or license Macintosh software to it.
Mike Markkula rankled at the possibility that Jobs would hire anyone from Apple. “Why would you take anyone at all?” he asked.
“Don’t get upset,” Jobs assured him and the rest of the board. “These are very low-level people that you won’t miss, and they will be leaving anyway.”
The board initially seemed disposed to wish Jobs well in his venture. After a private discussion, the directors even proposed that Apple take a 10% stake in the new company and that Jobs remain on the board.
That night Jobs and his five renegades met again at his house for dinner. He was in favor of taking the Apple investment, but the others convinced him it was unwise. They also agreed that it would be best if they resigned all at once, right away. Then they could make a clean break.
So Jobs wrote a formal letter telling Sculley the names of the five who would be leaving, signed it in his spidery lowercase signature, and drove to Apple the next morning to hand it to him before his 7:30 staff meeting.
“Steve, these are not low-level people,” Sculley said.
“Well, these people were going to resign anyway,” Jobs replied. “They are going to be handing in their resignations by nine this morning.”
From Jobs’s perspective, he had been honest. The five were not division managers or members of Sculley’s top team. They had all felt diminished, in fact, by the company’s new organization. But from Sculley’s perspective, these were important players; Page was an Apple Fellow, and Lewin was a key to the higher education market. In addition, they knew about the plans for Big Mac; even though it had been shelved, this was still proprietary information. Nevertheless Sculley was sanguine. Instead of pushing the point, he asked Jobs to remain on the board. Jobs replied that he would think about it.
But when Sculley walked into his 7:30 staff meeting and told his top lieutenants who was leaving, there was an uproar. Most of them felt that Jobs had breached his duties as chairman and displayed stunning disloyalty to the company. “We should expose him for the fraud that he is so that people here stop regarding him as a messiah,” Campbell shouted, according to Sculley.
Campbell admitted that, although he later became a great Jobs defender and supportive board member, he was ballistic that morning. “I was fucking furious, especially about him taking Dan’l Lewin,” he recalled. “Dan’l had built the relationships with the universities. He was always muttering about how hard it was to work with Steve, and then he left.” Campbell was so angry that he walked out of the meeting to call Lewin at home. When his wife said he was in the shower, Campbell said, “I’ll wait.” A few minutes later, when she said he was still in the shower, Campbell again said, “I’ll wait.” When Lewin finally came on the phone, Campbell asked him if it was true. Lewin acknowledged it was. Campbell hung up without saying another word.
After hearing the fury of his senior staff, Sculley surveyed the members of the board. They likewise felt that Jobs had misled them with his pledge that he would not raid important employees. Arthur Rock was especially angry. Even though he had sided with Sculley during the Memorial Day showdown, he had been able to repair his paternal relationship with Jobs. Just the week before, he had invited Jobs to bring his girlfriend up to San Francisco so that he and his wife could meet her, and the four had a nice dinner in Rock’s Pacific Heights home. Jobs had not mentioned the new company he was forming, so Rock felt betrayed when he heard about it from Sculley. “He came to the board and lied to us,” Rock growled later. “He told us he was thinking of forming a company when in fact he had already formed it. He said he was going to take a few middle-level people. It turned out to be five senior people.” Markkula, in his subdued way, was also offended. “He took some top executives he had secretly lined up before he left. That’s not the way you do things. It was ungentlemanly.”
Over the weekend both the board and the executive staff convinced Sculley that Apple would have to declare war on its cofounder. Markkula issued a formal statement accusing Jobs of acting “in direct contradiction to his statements that he wouldn’t recruit any key Apple personnel for his company.” He added ominously, “We are evaluating what possible actions should be taken.” Campbell was quoted in the Wall Street Journal as saying he “was stunned and shocked” by Jobs’s behavior.
Jobs had left his meeting with Sculley thinking that things might proceed smoothly, so he had kept quiet. But after reading the newspapers, he felt that he had to respond. He phoned a few favored reporters and invited them to his home for private briefings the next day. Then he called Andy Cunningham, who had handled his publicity at Regis McKenna. “I went over to his unfurnished mansiony place in Woodside,” she recalled, “and I found him huddled in the kitchen with his five colleagues and a few reporters hanging outside on the lawn.” Jobs told her that he was going to do a full-fledged press conference and started spewing some of the derogatory things he was going to say. Cunningham was appalled. “This is going to reflect badly on you,” she told him. Finally he backed down. He decided that he would give the reporters a copy of the resignation letter and limit any on-the-record comments to a few bland statements.
Jobs had considered just mailing in his letter of resignation, but Susan Barnes convinced him that this would be too contemptuous. Instead he drove it to Markkula’s house, where he also found Al Eisenstat. There was a tense conversation for about fifteen minutes; then Barnes, who had been waiting outside, came to the door to retrieve him before he said anything he would regret. He left behind the letter, which he had composed on a Macintosh and printed on the new LaserWriter:
September 17, 1985
Dear Mike:
This morning’s papers carried suggestions that Apple is considering removing me as Chairman. I don’t know the source of these reports but they are both misleading to the public and unfair to me.
You will recall that at last Thursday’s Board meeting I stated I had decided to start a new venture and I tendered my resignation as Chairman.
The Board declined to accept my resignation and asked me to defer it for a week. I agreed to do so in light of the encouragement the Board offered with regard to the proposed new venture and the indications that Apple would invest in it. On Friday, after I told John Sculley who would be joining me, he confirmed Apple’s willingness to discuss areas of possible collaboration between Apple and my new venture.
Subsequently the Company appears to be adopting a hostile posture toward me and the new venture. Accordingly, I must insist upon the immediate acceptance of my resignation. . . .
As you know, the company’s recent reorganization left me with no work to do and no access even to regular management reports. I am but 30 and want still to contribute and achieve.
After what we have accomplished together, I would wish our parting to be both amicable and dignified.
Yours sincerely, steven p. jobs
When a guy from the facilities team went to Jobs’s office to pack up his belongings, he saw a picture frame on the floor. It contained a photograph of Jobs and Sculley in warm conversation, with an inscription from seven months earlier: “Here’s to Great Ideas, Great Experiences, and a Great Friendship! John.” The glass frame was shattered. Jobs had hurled it across the room before leaving. From that day, he never spoke to Sculley again.
Apple’s stock went up a full point, or almost 7%, when Jobs’s resignation was announced. “East Coast stockholders always worried about California flakes running the company,” explained the editor of a tech stock newsletter. “Now with both Wozniak and Jobs out, those shareholders are relieved.” But Nolan Bushnell, the Atari founder who had been an amused mentor ten years earlier, told Time that Jobs would be badly missed. “Where is Apple’s inspiration going to come from? Is Apple going to have all the romance of a new brand of Pepsi?”
After a few days of failed efforts to reach a settlement with Jobs, Sculley and the Apple board decided to sue him “for breaches of fiduciary obligations.” The suit spelled out his alleged transgressions:
Notwithstanding his fiduciary obligations to Apple, Jobs, while serving as the Chairman of Apple’s Board of Directors and an officer of Apple and pretending loyalty to the interests of Apple . . .
(a) secretly planned the formation of an enterprise to compete with Apple;
(b) secretly schemed that his competing enterprise would wrongfully take advantage of and utilize Apple’s plan to design, develop and market the Next Generation Product . . .
(c) secretly lured away key employees of Apple.
At the time, Jobs owned 6.5 million shares of Apple stock, 11% of the company, worth more than $100 million. He began to sell his shares, and within five months had dumped them all, retaining only one share so he could attend shareholder meetings if he wanted. He was furious, and that was reflected in his passion to start what was, no matter how he spun it, a rival company. “He was angry at Apple,” said Joanna Hoffman, who briefly went to work for the new company. “Aiming at the educational market, where Apple was strong, was simply Steve being vengeful. He was doing it for revenge.”
Jobs, of course, didn’t see it that way. “I haven’t got any sort of odd chip on my shoulder,” he told Newsweek. Once again he invited his favorite reporters over to his Woodside home, and this time he did not have Andy Cunningham there urging him to be circumspect. He dismissed the allegation that he had improperly lured the five colleagues from Apple. “These people all called me,” he told the gaggle of journalists who were milling around in his unfurnished living room. “They were thinking of leaving the company. Apple has a way of neglecting people.”
He decided to cooperate with a Newsweek cover in order to get his version of the story out, and the interview he gave was revealing. “What I’m best at doing is finding a group of talented people and making things with them,” he told the magazine. He said that he would always harbor affection for Apple. “I’ll always remember Apple like any man remembers the first woman he’s fallen in love with.” But he was also willing to fight with its management if need be. “When someone calls you a thief in public, you have to respond.” Apple’s threat to sue him was outrageous. It was also sad. It showed that Apple was no longer a confident, rebellious company. “It’s hard to think that a $2 billion company with 4,300 employees couldn’t compete with six people in blue jeans.”
To try to counter Jobs’s spin, Sculley called Wozniak and urged him to speak out. “Steve can be an insulting and hurtful guy,” he told Time that week. He revealed that Jobs had asked him to join his new firm—it would have been a sly way to land another blow against Apple’s current management—but he wanted no part of such games and had not returned Jobs’s phone call. To the San Francisco Chronicle, he recounted how Jobs had blocked frogdesign from working on his remote control under the pretense that it might compete with Apple products. “I look forward to a great product and I wish him success, but his integrity I cannot trust,” Wozniak said.
To Be on Your Own
“The best thing ever to happen to Steve is when we fired him, told him to get lost,” Arthur Rock later said. The theory, shared by many, is that the tough love made him wiser and more mature. But it’s not that simple. At the company he founded after being ousted from Apple, Jobs was able to indulge all of his instincts, both good and bad. He was unbound. The result was a series of spectacular products that were dazzling market flops. This was the true learning experience. What prepared him for the great success he would have in Act III was not his ouster from his Act I at Apple but his brilliant failures in Act II.
The first instinct that he indulged was his passion for design. The name he chose for his new company was rather straightforward: Next. In order to make it more distinctive, he decided he needed a world-class logo. So he courted the dean of corporate logos, Paul Rand. At seventy-one, the Brooklyn-born graphic designer had already created some of the best-known logos in business, including those of Esquire, IBM, Westinghouse, ABC, and UPS. He was under contract to IBM, and his supervisors there said that it would obviously be a conflict for him to create a logo for another computer company. So Jobs picked up the phone and called IBM’s CEO, John Akers. Akers was out of town, but Jobs was so persistent that he was finally put through to Vice Chairman Paul Rizzo. After two days, Rizzo concluded that it was futile to resist Jobs, and he gave permission for Rand to do the work.
Rand flew out to Palo Alto and spent time walking with Jobs and listening to his vision. The computer would be a cube, Jobs pronounced. He loved that shape. It was perfect and simple. So Rand decided that the logo should be a cube as well, one that was tilted at a 28° angle. When Jobs asked for a number of options to consider, Rand declared that he did not create different options for clients. “I will solve your problem, and you will pay me,” he told Jobs. “You can use what I produce, or not, but I will not do options, and either way you will pay me.”
Jobs admired that kind of thinking, so he made what was quite a gamble. The company would pay an astonishing $100,000 flat fee to get one design. “There was a clarity in our relationship,” Jobs said. “He had a purity as an artist, but he was astute at solving business problems. He had a tough exterior, and had perfected the image of a curmudgeon, but he was a teddy bear inside.” It was one of Jobs’s highest praises: purity as an artist.
It took Rand just two weeks. He flew back to deliver the result to Jobs at his Woodside house. First they had dinner, then Rand handed him an elegant and vibrant booklet that described his thought process. On the final spread, Rand presented the logo he had chosen. “In its design, color arrangement, and orientation, the logo is a study in contrasts,” his booklet proclaimed. “Tipped at a jaunty angle, it brims with the informality, friendliness, and spontaneity of a Christmas seal and the authority of a rubber stamp.” The word “next” was split into two lines to fill the square face of the cube, with only the “e” in lowercase. That letter stood out, Rand’s booklet explained, to connote “education, excellence . . . e = mc2.”
It was often hard to predict how Jobs would react to a presentation. He could label it shitty or brilliant; one never knew which way he might go. But with a legendary designer such as Rand, the chances were that Jobs would embrace the proposal. He stared at the final spread, looked up at Rand, and then hugged him. They had one minor disagreement: Rand had used a dark yellow for the “e” in the logo, and Jobs wanted him to change it to a brighter and more traditional yellow. Rand banged his fist on the table and declared, “I’ve been doing this for fifty years, and I know what I’m doing.” Jobs relented.
The company had not only a new logo, but a new name. No longer was it Next. It was NeXT. Others might not have understood the need to obsess over a logo, much less pay $100,000 for one. But for Jobs it meant that NeXT was starting life with a world-class feel and identity, even if it hadn’t yet designed its first product. As Markkula had taught him, a great company must be able to impute its values from the first impression it makes.
As a bonus, Rand agreed to design a personal calling card for Jobs. He came up with a colorful type treatment, which Jobs liked, but they ended up having a lengthy and heated disagreement about the placement of the period after the “P” in Steven P. Jobs. Rand had placed the period to the right of the “P.”, as it would appear if set in lead type. Steve preferred the period to be nudged to the left, under the curve of the “P.”, as is possible with digital typography. “It was a fairly large argument about something relatively small,” Susan Kare recalled. On this one Jobs prevailed.
In order to translate the NeXT logo into the look of real products, Jobs needed an industrial designer he trusted. He talked to a few possibilities, but none of them impressed him as much as the wild Bavarian he had imported to Apple: Hartmut Esslinger, whose frogdesign had set up shop in Silicon Valley and who, thanks to Jobs, had a lucrative contract with Apple. Getting IBM to permit Paul Rand to do work for NeXT was a small miracle willed into existence by Jobs’s belief that reality can be distorted. But that was a snap compared to the likelihood that he could convince Apple to permit Esslinger to work for NeXT.
This did not keep Jobs from trying. At the beginning of November 1985, just five weeks after Apple filed suit against him, Jobs wrote to Eisenstat and asked for a dispensation. “I spoke with Hartmut Esslinger this weekend and he suggested I write you a note expressing why I wish to work with him and frogdesign on the new products for NeXT,” he said. Astonishingly, Jobs’s argument was that he did not know what Apple had in the works, but Esslinger did. “NeXT has no knowledge as to the current or future directions of Apple’s product designs, nor do other design firms we might deal with, so it is possible to inadvertently design similar looking products. It is in both Apple’s and NeXT’s best interest to rely on Hartmut’s professionalism to make sure this does not occur.” Eisenstat recalled being flabbergasted by Jobs’s audacity, and he replied curtly. “I have previously expressed my concern on behalf of Apple that you are engaged in a business course which involves your utilization of Apple’s confidential business information,” he wrote. “Your letter does not alleviate my concern in any way. In fact it heightens my concern because it states that you have ‘no knowledge as to the current or future directions of Apple’s product designs,’ a statement which is not true.” What made the request all the more astonishing to Eisenstat was that it was Jobs who, just a year earlier, had forced frogdesign to abandon its work on Wozniak’s remote control device.
Jobs realized that in order to work with Esslinger (and for a variety of other reasons), it would be necessary to resolve the lawsuit that Apple had filed. Fortunately Sculley was willing. In January 1986 they reached an out-of-court agreement involving no financial damages. In return for Apple’s dropping its suit, NeXT agreed to a variety of restrictions: Its product would be marketed as a high-end workstation, it would be sold directly to colleges and universities, and it would not ship before March 1987. Apple also insisted that the NeXT machine “not use an operating system compatible with the Macintosh,” though it could be argued that Apple would have been better served by insisting on just the opposite.
After the settlement Jobs continued to court Esslinger until the designer decided to wind down his contract with Apple. That allowed frogdesign to work with NeXT at the end of 1986. Esslinger insisted on having free rein, just as Paul Rand had. “Sometimes you have to use a big stick with Steve,” he said. Like Rand, Esslinger was an artist, so Jobs was willing to grant him indulgences he denied other mortals.
Jobs decreed that the computer should be an absolutely perfect cube, with each side exactly a foot long and every angle precisely 90 degrees. He liked cubes. They had gravitas but also the slight whiff of a toy. But the NeXT cube was a Jobsian example of design desires trumping engineering considerations. The circuit boards, which fitted nicely into the traditional pizza-box shape, had to be reconfigured and stacked in order to nestle into a cube.
Even worse, the perfection of the cube made it hard to manufacture. Most parts that are cast in molds have angles that are slightly greater than pure 90 degrees, so that it’s easier to get them out of the mold (just as it is easier to get a cake out of a pan that has angles slightly greater than 90 degrees). But Esslinger dictated, and Jobs enthusiastically agreed, that there would be no such “draft angles” that would ruin the purity and perfection of the cube. So the sides had to be produced separately, using molds that cost $650,000, at a specialty machine shop in Chicago. Jobs’s passion for perfection was out of control. When he noticed a tiny line in the chassis caused by the molds, something that any other computer maker would accept as unavoidable, he flew to Chicago and convinced the die caster to start over and do it perfectly. “Not a lot of die casters expect a celebrity to fly in,” noted one of the engineers. Jobs also had the company buy a $150,000 sanding machine to remove all lines where the mold faces met and insisted that the magnesium case be a matte black, which made it more susceptible to showing blemishes.
Jobs had always indulged his obsession that the unseen parts of a product should be crafted as beautifully as its fa?ade, just as his father had taught him when they were building a fence. This too he took to extremes when he found himself unfettered at NeXT. He made sure that the screws inside the machine had expensive plating. He even insisted that the matte black finish be coated onto the inside of the cube’s case, even though only repairmen would see it.
Joe Nocera, then writing for Esquire, captured Jobs’s intensity at a NeXT staff meeting:
It’s not quite right to say that he is sitting through this staff meeting, because Jobs doesn’t sit through much of anything; one of the ways he dominates is through sheer movement. One moment he’s kneeling in his chair; the next minute he’s slouching in it; the next he has leaped out of his chair entirely and is scribbling on the blackboard directly behind him. He is full of mannerisms. He bites his nails. He stares with unnerving earnestness at whoever is speaking. His hands, which are slightly and inexplicably yellow, are in constant motion.
What particularly struck Nocera was Jobs’s “almost willful lack of tact.” It was more than just an inability to hide his opinions when others said something he thought dumb; it was a conscious readiness, even a perverse eagerness, to put people down, humiliate them, show he was smarter. When Dan’l Lewin handed out an organization chart, for example, Jobs rolled his eyes. “These charts are bullshit,” he interjected. Yet his moods still swung wildly, as at Apple. A finance person came into the meeting and Jobs lavished praise on him for a “really, really great job on this”; the previous day Jobs had told him, “This deal is crap.”
One of NeXT’s first ten employees was an interior designer for the company’s first headquarters, in Palo Alto. Even though Jobs had leased a building that was new and nicely designed, he had it completely gutted and rebuilt. Walls were replaced by glass, the carpets were replaced by light hardwood flooring. The process was repeated when NeXT moved to a bigger space in Redwood City in 1989. Even though the building was brand-new, Jobs insisted that the elevators be moved so that the entrance lobby would be more dramatic. As a centerpiece, Jobs commissioned I. M. Pei to design a grand staircase that seemed to float in the air. The contractor said it couldn’t be built. Jobs said it could, and it was. Years later Jobs would make such staircases a feature at Apple’s signature stores.
The Computer
During the early months of NeXT, Jobs and Dan’l Lewin went on the road, often accompanied by a few colleagues, to visit campuses and solicit opinions. At Harvard they met with Mitch Kapor, the chairman of Lotus software, over dinner at Harvest restaurant. When Kapor began slathering butter on his bread, Jobs asked him, “Have you ever heard of serum cholesterol?” Kapor responded, “I’ll make you a deal. You stay away from commenting on my dietary habits, and I will stay away from the subject of your personality.” It was meant humorously, but as Kapor later commented, “Human relationships were not his strong suit.” Lotus agreed to write a spreadsheet program for the NeXT operating system.
Jobs wanted to bundle useful content with the machine, so Michael Hawley, one of the engineers, developed a digital dictionary. He learned that a friend of his at Oxford University Press had been involved in the typesetting of a new edition of Shakespeare’s works. That meant that there was probably a computer tape he could get his hands on and, if so, incorporate it into the NeXT’s memory. “So I called up Steve, and he said that would be awesome, and we flew over to Oxford together.” On a beautiful spring day in 1986, they met in the publishing house’s grand building in the heart of Oxford, where Jobs made an offer of $2,000 plus 74 cents for every computer sold in order to have the rights to Oxford’s edition of Shakespeare. “It will be all gravy to you,” he argued. “You will be ahead of the parade. It’s never been done before.” They agreed in principle and then went out to play skittles over beer at a nearby pub where Lord Byron used to drink. By the time it launched, the NeXT would also include a dictionary, a thesaurus, and the Oxford Dictionary of Quotations, making it one of the pioneers of the concept of searchable electronic books.
Instead of using off-the-shelf chips for the NeXT, Jobs had his engineers design custom ones that integrated a variety of functions on one chip. That would have been hard enough, but Jobs made it almost impossible by continually revising the functions he wanted it to do. After a year it became clear that this would be a major source of delay.
He also insisted on building his own fully automated and futuristic factory, just as he had for the Macintosh; he had not been chastened by that experience. This time too he made the same mistakes, only more excessively. Machines and robots were painted and repainted as he compulsively revised his color scheme. The walls were museum white, as they had been at the Macintosh factory, and there were $20,000 black leather chairs and a custom-made staircase, just as in the corporate headquarters. He insisted that the machinery on the 165-foot assembly line be configured to move the circuit boards from right to left as they got built, so that the process would look better to visitors who watched from the viewing gallery. Empty circuit boards were fed in at one end and twenty minutes later, untouched by humans, came out the other end as completed boards. The process followed the Japanese principle known as kanban, in which each machine performs its task only when the next machine is ready to receive another part.
Jobs had not tempered his way of dealing with employees. “He applied charm or public humiliation in a way that in most cases proved to be pretty effective,” Tribble recalled. But sometimes it wasn’t. One engineer, David Paulsen, put in ninety-hour weeks for the first ten months at NeXT. He quit when “Steve walked in one Friday afternoon and told us how unimpressed he was with what we were doing.” When Business Week asked him why he treated employees so harshly, Jobs said it made the company better. “Part of my responsibility is to be a yardstick of quality. Some people aren’t used to an environment where excellence is expected.” But he still had his spirit and charisma. There were plenty of field trips, visits by akido masters, and off-site retreats. And he still exuded the pirate flag spunkiness. When Apple fired Chiat/Day, the ad firm that had done the “1984” ad and taken out the newspaper ad saying “Welcome IBM—seriously,” Jobs took out a full-page ad in the Wall Street Journal proclaiming, “Congratulations Chiat/Day—Seriously . . . Because I can guarantee you: there is life after Apple.”
Perhaps the greatest similarity to his days at Apple was that Jobs brought with him his reality distortion field. It was on display at the company’s first retreat at Pebble Beach in late 1985. There Jobs pronounced that the first NeXT computer would be shipped in just eighteen months. It was already clear that this date was impossible, but he blew off a suggestion from one engineer that they be realistic and plan on shipping in 1988. “If we do that, the world isn’t standing still, the technology window passes us by, and all the work we’ve done we have to throw down the toilet,” he argued.
Joanna Hoffman, the veteran of the Macintosh team who was among those willing to challenge Jobs, did so. “Reality distortion has motivational value, and I think that’s fine,” she said as Jobs stood at a whiteboard. “However, when it comes to setting a date in a way that affects the design of the product, then we get into real deep shit.” Jobs didn’t agree: “I think we have to drive a stake in the ground somewhere, and I think if we miss this window, then our credibility starts to erode.” What he did not say, even though it was suspected by all, was that if their targets slipped they might run out of money. Jobs had pledged $7 million of his own funds, but at their current burn rate that would run out in eighteen months if they didn’t start getting some revenue from shipped products.
Three months later, when they returned to Pebble Beach for their next retreat, Jobs began his list of maxims with “The honeymoon is over.” By the time of the third retreat, in Sonoma in September 1986, the timetable was gone, and it looked as though the company would hit a financial wall.
Perot to the Rescue
In late 1986 Jobs sent out a proposal to venture capital firms offering a 10% stake in NeXT for $3 million. That put a valuation on the entire company of $30 million, a number that Jobs had pulled out of thin air. Less than $7 million had gone into the company thus far, and there was little to show for it other than a neat logo and some snazzy offices. It had no revenue or products, nor any on the horizon. Not surprisingly, the venture capitalists all passed on the offer to invest.
There was, however, one cowboy who was dazzled. Ross Perot, the bantam Texan who had founded Electronic Data Systems, then sold it to General Motors for $2.4 billion, happened to watch a PBS documentary, The Entrepreneurs, which had a segment on Jobs and NeXT in November 1986. He instantly identified with Jobs and his gang, so much so that, as he watched them on television, he said, “I was finishing their sentences for them.” It was a line eerily similar to one Sculley had often used. Perot called Jobs the next day and offered, “If you ever need an investor, call me.”
Jobs did indeed need one, badly. But he was careful not to show it. He waited a week before calling back. Perot sent some of his analysts to size up NeXT, but Jobs took care to deal directly with Perot. One of his great regrets in life, Perot later said, was that he had not bought Microsoft, or a large stake in it, when a very young Bill Gates had come to visit him in Dallas in 1979. By the time Perot called Jobs, Microsoft had just gone public with a $1 billion valuation. Perot had missed out on the opportunity to make a lot of money and have a fun adventure. He was eager not to make that mistake again.
Jobs made an offer to Perot that was three times more costly than had quietly been offered to venture capitalists a few months earlier. For $20 million, Perot would get 16% of the equity in the company, after Jobs put in another $5 million. That meant the company would be valued at about $126 million. But money was not a major consideration for Perot. After a meeting with Jobs, he declared that he was in. “I pick the jockeys, and the jockeys pick the horses and ride them,” he told Jobs. “You guys are the ones I’m betting on, so you figure it out.”
Perot brought to NeXT something that was almost as valuable as his $20 million lifeline: He was a quotable, spirited cheerleader for the company, who could lend it an air of credibility among grown-ups. “In terms of a startup company, it’s one that carries the least risk of any I’ve seen in 25 years in the computer industry,” he told the New York Times. “We’ve had some sophisticated people see the hardware—it blew them away. Steve and his whole NeXT team are the darnedest bunch of perfectionists I’ve ever seen.”
Perot also traveled in rarefied social and business circles that complemented Jobs’s own. He took Jobs to a black-tie dinner dance in San Francisco that Gordon and Ann Getty gave for King Juan Carlos I of Spain. When the king asked Perot whom he should meet, Perot immediately produced Jobs. They were soon engaged in what Perot later described as “electric conversation,” with Jobs animatedly describing the next wave in computing. At the end the king scribbled a note and handed it to Jobs. “What happened?” Perot asked. Jobs answered, “I sold him a computer.”
These and other stories were incorporated into the mythologized story of Jobs that Perot told wherever he went. At a briefing at the National Press Club in Washington, he spun Jobs’s life story into a Texas-size yarn about a young man
so poor he couldn’t afford to go to college, working in his garage at night, playing with computer chips, which was his hobby, and his dad—who looks like a character out of a Norman Rockwell painting—comes in one day and said, “Steve, either make something you can sell or go get a job.” Sixty days later, in a wooden box that his dad made for him, the first Apple computer was created. And this high school graduate literally changed the world.
The one phrase that was true was the one about Paul Jobs’s looking like someone in a Rockwell painting. And perhaps the last phrase, the one about Jobs changing the world. Certainly Perot believed that. Like Sculley, he saw himself in Jobs. “Steve’s like me,” Perot told the Washington Post’s David Remnick. “We’re weird in the same way. We’re soul mates.”
Gates and NeXT
Bill Gates was not a soul mate. Jobs had convinced him to produce software applications for the Macintosh, which had turned out to be hugely profitable for Microsoft. But Gates was one person who was resistant to Jobs’s reality distortion field, and as a result he decided not to create software tailored for the NeXT platform. Gates went to California to get periodic demonstrations, but each time he came away unimpressed. “The Macintosh was truly unique, but I personally don’t understand what is so unique about Steve’s new computer,” he told Fortune.
Part of the problem was that the rival titans were congenitally unable to be deferential to each other. When Gates made his first visit to NeXT’s Palo Alto headquarters, in the summer of 1987, Jobs kept him waiting for a half hour in the lobby, even though Gates could see through the glass walls that Jobs was walking around having casual conversations. “I’d gone down to NeXT and I had the Odwalla, the most expensive carrot juice, and I’d never seen tech offices so lavish,” Gates recalled, shaking his head with just a hint of a smile. “And Steve comes a half hour late to the meeting.”
Jobs’s sales pitch, according to Gates, was simple. “We did the Mac together,” Jobs said. “How did that work for you? Very well. Now, we’re going to do this together and this is going to be great.”
But Gates was brutal to Jobs, just as Jobs could be to others. “This machine is crap,” he said. “The optical disk has too low latency, the fucking case is too expensive. This thing is ridiculous.” He decided then, and reaffirmed on each subsequent visit, that it made no sense for Microsoft to divert resources from other projects to develop applications for NeXT. Worse yet, he repeatedly said so publicly, which made others less likely to spend time developing for NeXT. “Develop for it? I’ll piss on it,” he told InfoWorld.
When they happened to meet in the hallway at a conference, Jobs started berating Gates for his refusal to do software for NeXT. “When you get a market, I will consider it,” Gates replied. Jobs got angry. “It was a screaming battle, right in front of everybody,” recalled Adele Goldberg, the Xerox PARC engineer. Jobs insisted that NeXT was the next wave of computing. Gates, as he often did, got more expressionless as Jobs got more heated. He finally just shook his head and walked away.
Beneath their personal rivalry—and occasional grudging respect—was their basic philosophical difference. Jobs believed in an end-to-end integration of hardware and software, which led him to build a machine that was not compatible with others. Gates believed in, and profited from, a world in which different companies made machines that were compatible with one another; their hardware ran a standard operating system (Microsoft’s Windows) and could all use the same software apps (such as Microsoft’s Word and Excel). “His product comes with an interesting feature called incompatibility,” Gates told the Washington Post. “It doesn’t run any of the existing software. It’s a super-nice computer. I don’t think if I went out to design an incompatible computer I would have done as well as he did.”
At a forum in Cambridge, Massachusetts, in 1989, Jobs and Gates appeared sequentially, laying out their competing worldviews. Jobs spoke about how new waves come along in the computer industry every few years. Macintosh had launched a revolutionary new approach with the graphical interface; now NeXT was doing it with object-oriented programming tied to a powerful new machine based on an optical disk. Every major software vendor realized they had to be part of this new wave, he said, “except Microsoft.” When Gates came up, he reiterated his belief that Jobs’s end-to-end control of the software and the hardware was destined for failure, just as Apple had failed in competing against the Microsoft Windows standard. “The hardware market and the software market are separate,” he said. When asked about the great design that could come from Jobs’s approach, Gates gestured to the NeXT prototype that was still sitting onstage and sneered, “If you want black, I’ll get you a can of paint.”
IBM
Jobs came up with a brilliant jujitsu maneuver against Gates, one that could have changed the balance of power in the computer industry forever. It required Jobs to do two things that were against his nature: licensing out his software to another hardware maker and getting into bed with IBM. He had a pragmatic streak, albeit a tiny one, so he was able to overcome his reluctance. But his heart was never fully in it, which is why the alliance would turn out to be short-lived.
It began at a party, a truly memorable one, for the seventieth birthday of the Washington Post publisher Katharine Graham in June 1987 in Washington. Six hundred guests attended, including President Ronald Reagan. Jobs flew in from California and IBM’s chairman John Akers from New York. It was the first time they had met. Jobs took the opportunity to bad-mouth Microsoft and attempt to wean IBM from using its Windows operating system. “I couldn’t resist telling him I thought IBM was taking a giant gamble betting its entire software strategy on Microsoft, because I didn’t think its software was very good,” Jobs recalled.
To Jobs’s delight, Akers replied, “How would you like to help us?” Within a few weeks Jobs showed up at IBM’s Armonk, New York, headquarters with his software engineer Bud Tribble. They put on a demo of NeXT, which impressed the IBM engineers. Of particular significance was NeXTSTEP, the machine’s object-oriented operating system. “NeXTSTEP took care of a lot of trivial programming chores that slow down the software development process,” said Andrew Heller, the general manager of IBM’s workstation unit, who was so impressed by Jobs that he named his newborn son Steve.
The negotiations lasted into 1988, with Jobs becoming prickly over tiny details. He would stalk out of meetings over disagreements about colors or design, only to be calmed down by Tribble or Lewin. He didn’t seem to know which frightened him more, IBM or Microsoft. In April Perot decided to play host for a mediating session at his Dallas headquarters, and a deal was struck: IBM would license the current version of the NeXTSTEP software, and if the managers liked it, they would use it on some of their workstations. IBM sent to Palo Alto a 125-page contract. Jobs tossed it down without reading it. “You don’t get it,” he said as he walked out of the room. He demanded a simpler contract of only a few pages, which he got within a week.
Jobs wanted to keep the arrangement secret from Bill Gates until the big unveiling of the NeXT computer, scheduled for October. But IBM insisted on being forthcoming. Gates was furious. He realized this could wean IBM off its dependence on Microsoft operating systems. “NeXTSTEP isn’t compatible with anything,” he raged to IBM executives.
At first Jobs seemed to have pulled off Gates’s worst nightmare. Other computer makers that were beholden to Microsoft’s operating systems, most notably Compaq and Dell, came to ask Jobs for the right to clone NeXT and license NeXTSTEP. There were even offers to pay a lot more if NeXT would get out of the hardware business altogether.
That was too much for Jobs, at least for the time being. He cut off the clone discussions. And he began to cool toward IBM. The chill became reciprocal. When the person who made the deal at IBM moved on, Jobs went to Armonk to meet his replacement, Jim Cannavino. They cleared the room and talked one-on-one. Jobs demanded more money to keep the relationship going and to license newer versions of NeXTSTEP to IBM. Cannavino made no commitments, and he subsequently stopped returning Jobs’s phone calls. The deal lapsed. NeXT got a bit of money for a licensing fee, but it never got the chance to change the world.
The Launch, October 1988
Jobs had perfected the art of turning product launches into theatrical productions, and for the world premiere of the NeXT computer—on October 12, 1988, in San Francisco’s Symphony Hall—he wanted to outdo himself. He needed to blow away the doubters. In the weeks leading up to the event, he drove up to San Francisco almost every day to hole up in the Victorian house of Susan Kare, NeXT’s graphic designer, who had done the original fonts and icons for the Macintosh. She helped prepare each of the slides as Jobs fretted over everything from the wording to the right hue of green to serve as the background color. “I like that green,” he said proudly as they were doing a trial run in front of some staffers. “Great green, great green,” they all murmured in assent.
No detail was too small. Jobs went over the invitation list and even the lunch menu (mineral water, croissants, cream cheese, bean sprouts). He picked out a video projection company and paid it $60,000 for help. And he hired the postmodernist theater producer George Coates to stage the show. Coates and Jobs decided, not surprisingly, on an austere and radically simple stage look. The unveiling of the black perfect cube would occur on a starkly minimalist stage setting with a black background, a table covered by a black cloth, a black veil draped over the computer, and a simple vase of flowers. Because neither the hardware nor the operating system was actually ready, Jobs was urged to do a simulation. But he refused. Knowing it would be like walking a tightrope without a net, he decided to do the demonstration live.
More than three thousand people showed up at the event, lining up two hours before curtain time. They were not disappointed, at least by the show. Jobs was onstage for three hours, and he again proved to be, in the words of Andrew Pollack of the New York Times, “the Andrew Lloyd Webber of product introductions, a master of stage flair and special effects.” Wes Smith of the Chicago Tribune said the launch was “to product demonstrations what Vatican II was to church meetings.”
Jobs had the audience cheering from his opening line: “It’s great to be back.” He began by recounting the history of personal computer architecture, and he promised that they would now witness an event “that occurs only once or twice in a decade—a time when a new architecture is rolled out that is going to change the face of computing.” The NeXT software and hardware were designed, he said, after three years of consulting with universities across the country. “What we realized was that higher ed wants a personal mainframe.”
As usual there were superlatives. The product was “incredible,” he said, “the best thing we could have imagined.” He praised the beauty of even the parts unseen. Balancing on his fingertips the foot-square circuit board that would be nestled in the foot-cube box, he enthused, “I hope you get a chance to look at this a little later. It’s the most beautiful printed circuit board I’ve ever seen in my life.” He then showed how the computer could play speeches—he featured King’s “I Have a Dream” and Kennedy’s “Ask Not”—and send email with audio attachments. He leaned into the microphone on the computer to record one of his own. “Hi, this is Steve, sending a message on a pretty historic day.” Then he asked those in the audience to add “a round of applause” to the message, and they did.
One of Jobs’s management philosophies was that it is crucial, every now and then, to roll the dice and “bet the company” on some new idea or technology. At the NeXT launch, he boasted of an example that, as it turned out, would not be a wise gamble: having a high-capacity (but slow) optical read/write disk and no floppy disk as a backup. “Two years ago we made a decision,” he said. “We saw some new technology and we made a decision to risk our company.”
Then he turned to a feature that would prove more prescient. “What we’ve done is made the first real digital books,” he said, noting the inclusion of the Oxford edition of Shakespeare and other tomes. “There has not been an advancement in the state of the art of printed book technology since Gutenberg.”
At times he could be amusingly aware of his own foibles, and he used the electronic book demonstration to poke fun at himself. “A word that’s sometimes used to describe me is ‘mercurial,’” he said, then paused. The audience laughed knowingly, especially those in the front rows, which were filled with NeXT employees and former members of the Macintosh team. Then he pulled up the word in the computer’s dictionary and read the first definition: “Of or relating to, or born under the planet Mercury.” Scrolling down, he said, “I think the third one is the one they mean: ‘Characterized by unpredictable changeableness of mood.’” There was a bit more laughter. “If we scroll down the thesaurus, though, we see that the antonym is ‘saturnine.’ Well what’s that? By simply double-clicking on it, we immediately look that up in the dictionary, and here it is: ‘Cold and steady in moods. Slow to act or change. Of a gloomy or surly disposition.’” A little smile came across his face as he waited for the ripple of laughter. “Well,” he concluded, “I don’t think ‘mercurial’ is so bad after all.” After the applause, he used the quotations book to make a more subtle point, about his reality distortion field. The quote he chose was from Lewis Carroll’s Through the Looking Glass. After Alice laments that no matter how hard she tries she can’t believe impossible things, the White Queen retorts, “Why, sometimes I’ve believed as many as six impossible things before breakfast.” Especially from the front rows, there was a roar of knowing laughter.
All of the good cheer served to sugarcoat, or distract attention from, the bad news. When it came time to announce the price of the new machine, Jobs did what he would often do in product demonstrations: reel off the features, describe them as being “worth thousands and thousands of dollars,” and get the audience to imagine how expensive it really should be. Then he announced what he hoped would seem like a low price: “We’re going to be charging higher education a single price of $6,500.” From the faithful, there was scattered applause. But his panel of academic advisors had long pushed to keep the price to between $2,000 and $3,000, and they thought that Jobs had promised to do so. Some of them were appalled. This was especially true once they discovered that the optional printer would cost another $2,000, and the slowness of the optical disk would make the purchase of a $2,500 external hard disk advisable.
There was another disappointment that he tried to downplay: “Early next year, we will have our 0.9 release, which is for software developers and aggressive end users.” There was a bit of nervous laughter. What he was saying was that the real release of the machine and its software, known as the 1.0 release, would not actually be happening in early 1989. In fact he didn’t set a hard date. He merely suggested it would be sometime in the second quarter of that year. At the first NeXT retreat back in late 1985, he had refused to budge, despite Joanna Hoffman’s pushback, from his commitment to have the machine finished in early 1987. Now it was clear it would be more than two years later.
The event ended on a more upbeat note, literally. Jobs brought onstage a violinist from the San Francisco Symphony who played Bach’s A Minor Violin Concerto in a duet with the NeXT computer onstage. People erupted in jubilant applause. The price and the delayed release were forgotten in the frenzy. When one reporter asked him immediately afterward why the machine was going to be so late, Jobs replied, “It’s not late. It’s five years ahead of its time.”
As would become his standard practice, Jobs offered to provide “exclusive” interviews to anointed publications in return for their promising to put the story on the cover. This time he went one “exclusive” too far, though it didn’t really hurt. He agreed to a request from Business Week’s Katie Hafner for exclusive access to him before the launch, but he also made a similar deal with Newsweek and then with Fortune. What he didn’t consider was that one of Fortune’s top editors, Susan Fraker, was married to Newsweek’s editor Maynard Parker. At the Fortune story conference, when they were talking excitedly about their exclusive, Fraker mentioned that she happened to know that Newsweek had also been promised an exclusive, and it would be coming out a few days before Fortune. So Jobs ended up that week on only two magazine covers. Newsweek used the cover line “Mr. Chips” and showed him leaning on a beautiful NeXT, which it proclaimed to be “the most exciting machine in years.” Business Week showed him looking angelic in a dark suit, fingertips pressed together like a preacher or professor. But Hafner pointedly reported on the manipulation that surrounded her exclusive. “NeXT carefully parceled out interviews with its staff and suppliers, monitoring them with a censor’s eye,” she wrote. “That strategy worked, but at a price: Such maneuvering—self-serving and relentless—displayed the side of Steve Jobs that so hurt him at Apple. The trait that most stands out is Jobs’s need to control events.”
When the hype died down, the reaction to the NeXT computer was muted, especially since it was not yet commercially available. Bill Joy, the brilliant and wry chief scientist at rival Sun Microsystems, called it “the first Yuppie workstation,” which was not an unalloyed compliment. Bill Gates, as might be expected, continued to be publicly dismissive. “Frankly, I’m disappointed,” he told the Wall Street Journal. “Back in 1981, we were truly excited by the Macintosh when Steve showed it to us, because when you put it side-by-side with another computer, it was unlike anything anybody had ever seen before.” The NeXT machine was not like that. “In the grand scope of things, most of these features are truly trivial.” He said that Microsoft would continue its plans not to write software for the NeXT. Right after the announcement event, Gates wrote a parody email to his staff. “All reality has been completely suspended,” it began. Looking back at it, Gates laughs that it may have been “the best email I ever wrote.”
When the NeXT computer finally went on sale in mid-1989, the factory was primed to churn out ten thousand units a month. As it turned out, sales were about four hundred a month. The beautiful factory robots, so nicely painted, remained mostly idle, and NeXT continued to hemorrhage cash.
When Jobs was losing his footing at Apple in the summer of 1985, he went for a walk with Alan Kay, who had been at Xerox PARC and was then an Apple Fellow. Kay knew that Jobs was interested in the intersection of creativity and technology, so he suggested they go see a friend of his, Ed Catmull, who was running the computer division of George Lucas’s film studio. They rented a limo and rode up to Marin County to the edge of Lucas’s Skywalker Ranch, where Catmull and his little computer division were based. “I was blown away, and I came back and tried to convince Sculley to buy it for Apple,” Jobs recalled. “But the folks running Apple weren’t interested, and they were busy kicking me out anyway.”
The Lucasfilm computer division made hardware and software for rendering digital images, and it also had a group of computer animators making shorts, which was led by a talented cartoon-loving executive named John Lasseter. Lucas, who had completed his first Star Wars trilogy, was embroiled in a contentious divorce, and he needed to sell off the division. He told Catmull to find a buyer as soon as possible.
After a few potential purchasers balked in the fall of 1985, Catmull and his colleague Alvy Ray Smith decided to seek investors so that they could buy the division themselves. So they called Jobs, arranged another meeting, and drove down to his Woodside house. After railing for a while about the perfidies and idiocies of Sculley, Jobs proposed that he buy their Lucasfilm division outright. Catmull and Smith demurred: They wanted an investor, not a new owner. But it soon became clear that there was a middle ground: Jobs could buy a majority of the division and serve as chairman but allow Catmull and Smith to run it.
“I wanted to buy it because I was really into computer graphics,” Jobs recalled. “I realized they were way ahead of others in combining art and technology, which is what I’ve always been interested in.” He offered to pay Lucas $5 million plus invest another $5 million to capitalize the division as a stand-alone company. That was far less than Lucas had been asking, but the timing was right. They decided to negotiate a deal.
The chief financial officer at Lucasfilm found Jobs arrogant and prickly, so when it came time to hold a meeting of all the players, he told Catmull, “We have to establish the right pecking order.” The plan was to gather everyone in a room with Jobs, and then the CFO would come in a few minutes late to establish that he was the person running the meeting. “But a funny thing happened,” Catmull recalled. “Steve started the meeting on time without the CFO, and by the time the CFO walked in Steve was already in control of the meeting.”
Jobs met only once with George Lucas, who warned him that the people in the division cared more about making animated movies than they did about making computers. “You know, these guys are hell-bent on animation,” Lucas told him. Lucas later recalled, “I did warn him that was basically Ed and John’s agenda. I think in his heart he bought the company because that was his agenda too.”
The final agreement was reached in January 1986. It provided that, for his $10 million investment, Jobs would own 70% of the company, with the rest of the stock distributed to Ed Catmull, Alvy Ray Smith, and the thirty-eight other founding employees, down to the receptionist. The division’s most important piece of hardware was called the Pixar Image Computer, and from it the new company took its name.
For a while Jobs let Catmull and Smith run Pixar without much interference. Every month or so they would gather for a board meeting, usually at NeXT headquarters, where Jobs would focus on the finances and strategy. Nevertheless, by dint of his personality and controlling instincts, Jobs was soon playing a stronger role. He spewed out a stream of ideas—some reasonable, others wacky—about what Pixar’s hardware and software could become. And on his occasional visits to the Pixar offices, he was an inspiring presence. “I grew up a Southern Baptist, and we had revival meetings with mesmerizing but corrupt preachers,” recounted Alvy Ray Smith. “Steve’s got it: the power of the tongue and the web of words that catches people up. We were aware of this when we had board meetings, so we developed signals—nose scratching or ear tugs—for when someone had been caught up in Steve’s distortion field and he needed to be tugged back to reality.”
Jobs had always appreciated the virtue of integrating hardware and software, which is what Pixar did with its Image Computer and rendering software. It also produced creative content, such as animated films and graphics. All three elements benefited from Jobs’s combination of artistic creativity and technological geekiness. “Silicon Valley folks don’t really respect Hollywood creative types, and the Hollywood folks think that tech folks are people you hire and never have to meet,” Jobs later said. “Pixar was one place where both cultures were respected.”
Initially the revenue was supposed to come from the hardware side. The Pixar Image Computer sold for $125,000. The primary customers were animators and graphic designers, but the machine also soon found specialized markets in the medical industry (CAT scan data could be rendered in three-dimensional graphics) and intelligence fields (for rendering information from reconnaissance flights and satellites). Because of the sales to the National Security Agency, Jobs had to get a security clearance, which must have been fun for the FBI agent assigned to vet him. At one point, a Pixar executive recalled, Jobs was called by the investigator to go over the drug use questions, which he answered unabashedly. “The last time I used that . . . ,” he would say, or on occasion he would answer that no, he had actually never tried that particular drug.
Jobs pushed Pixar to build a lower-cost version of the computer that would sell for around $30,000. He insisted that Hartmut Esslinger design it, despite protests by Catmull and Smith about his fees. It ended up looking like the original Pixar Image Computer, which was a cube with a round dimple in the middle, but it had Esslinger’s signature thin grooves.
Jobs wanted to sell Pixar’s computers to a mass market, so he had the Pixar folks open up sales offices—for which he approved the design—in major cities, on the theory that creative people would soon come up with all sorts of ways to use the machine. “My view is that people are creative animals and will figure out clever new ways to use tools that the inventor never imagined,” he later said. “I thought that would happen with the Pixar computer, just as it did with the Mac.” But the machine never took hold with regular consumers. It cost too much, and there were not many software programs for it.
On the software side, Pixar had a rendering program, known as Reyes (Renders everything you ever saw), for making 3-D graphics and images. After Jobs became chairman, the company created a new language and interface, named RenderMan, that it hoped would become a standard for 3-D graphics rendering, just as Adobe’s PostScript was for laser printing.
As he had with the hardware, Jobs decided that they should try to find a mass market, rather than just a specialized one, for the software they made. He was never content to aim only at the corporate or high-end specialized markets. “He would have these great visions of how RenderMan could be for everyman,” recalled Pam Kerwin, Pixar’s marketing director. “He kept coming up with ideas about how ordinary people would use it to make amazing 3-D graphics and photorealistic images.” The Pixar team would try to dissuade him by saying that RenderMan was not as easy to use as, say, Excel or Adobe Illustrator. Then Jobs would go to a whiteboard and show them how to make it simpler and more user-friendly. “We would be nodding our heads and getting excited and say, ‘Yes, yes, this will be great!’” Kerwin recalled. “And then he would leave and we would consider it for a moment and then say, ‘What the heck was he thinking!’ He was so weirdly charismatic that you almost had to get deprogrammed after you talked to him.” As it turned out, average consumers were not craving expensive software that would let them render realistic images. RenderMan didn’t take off.
There was, however, one company that was eager to automate the rendering of animators’ drawings into color images for film. When Roy Disney led a board revolution at the company that his uncle Walt had founded, the new CEO, Michael Eisner, asked what role he wanted. Disney said that he would like to revive the company’s venerable but fading animation department. One of his first initiatives was to look at ways to computerize the process, and Pixar won the contract. It created a package of customized hardware and software known as CAPS, Computer Animation Production System. It was first used in 1988 for the final scene of The Little Mermaid, in which King Triton waves good-bye to Ariel. Disney bought dozens of Pixar Image Computers as CAPS became an integral part of its production.
Animation
The digital animation business at Pixar—the group that made little animated films—was originally just a sideline, its main purpose being to show off the hardware and software of the company. It was run by John Lasseter, a man whose childlike face and demeanor masked an artistic perfectionism that rivaled that of Jobs. Born in Hollywood, Lasseter grew up loving Saturday morning cartoon shows. In ninth grade, he wrote a report on the history of Disney Studios, and he decided then how he wished to spend his life.
When he graduated from high school, Lasseter enrolled in the animation program at the California Institute of the Arts, founded by Walt Disney. In his summers and spare time, he researched the Disney archives and worked as a guide on the Jungle Cruise ride at Disneyland. The latter experience taught him the value of timing and pacing in telling a story, an important but difficult concept to master when creating, frame by frame, animated footage. He won the Student Academy Award for the short he made in his junior year, Lady and the Lamp, which showed his debt to Disney films and foreshadowed his signature talent for infusing inanimate objects such as lamps with human personalities. After graduation he took the job for which he was destined: as an animator at Disney Studios.
Except it didn’t work out. “Some of us younger guys wanted to bring Star Wars-level quality to the art of animation, but we were held in check,” Lasseter recalled. “I got disillusioned, then I got caught in a feud between two bosses, and the head animation guy fired me.” So in 1984 Ed Catmull and Alvy Ray Smith were able to recruit him to work where Star Wars-level quality was being defined, Lucasfilm. It was not certain that George Lucas, already worried about the cost of his computer division, would really approve of hiring a full-time animator, so Lasseter was given the title “interface designer.”
After Jobs came onto the scene, he and Lasseter began to share their passion for graphic design. “I was the only guy at Pixar who was an artist, so I bonded with Steve over his design sense,” Lasseter said. He was a gregarious, playful, and huggable man who wore flowery Hawaiian shirts, kept his office cluttered with vintage toys, and loved cheeseburgers. Jobs was a prickly, whip-thin vegetarian who favored austere and uncluttered surroundings. But they were actually well-suited for each other. Lasseter was an artist, so Jobs treated him deferentially, and Lasseter viewed Jobs, correctly, as a patron who could appreciate artistry and knew how it could be interwoven with technology and commerce.
Jobs and Catmull decided that, in order to show off their hardware and software, Lasseter should produce another short animated film in 1986 for SIGGRAPH, the annual computer graphics conference. At the time, Lasseter was using the Luxo lamp on his desk as a model for graphic rendering, and he decided to turn Luxo into a lifelike character. A friend’s young child inspired him to add Luxo Jr., and he showed a few test frames to another animator, who urged him to make sure he told a story. Lasseter said he was making only a short, but the animator reminded him that a story can be told even in a few seconds. Lasseter took the lesson to heart. Luxo Jr. ended up being just over two minutes; it told the tale of a parent lamp and a child lamp pushing a ball back and forth until the ball bursts, to the child’s dismay.
Jobs was so excited that he took time off from the pressures at NeXT to fly down with Lasseter to SIGGRAPH, which was being held in Dallas that August. “It was so hot and muggy that when we’d walk outside the air hit us like a tennis racket,” Lasseter recalled. There were ten thousand people at the trade show, and Jobs loved it. Artistic creativity energized him, especially when it was connected to technology.
There was a long line to get into the auditorium where the films were being screened, so Jobs, not one to wait his turn, fast-talked their way in first. Luxo Jr. got a prolonged standing ovation and was named the best film. “Oh, wow!” Jobs exclaimed at the end. “I really get this, I get what it’s all about.” As he later explained, “Our film was the only one that had art to it, not just good technology. Pixar was about making that combination, just as the Macintosh had been.”
Luxo Jr. was nominated for an Academy Award, and Jobs flew down to Los Angeles to be there for the ceremony. It didn’t win, but Jobs became committed to making new animated shorts each year, even though there was not much of a business rationale for doing so. As times got tough at Pixar, he would sit through brutal budget-cutting meetings showing no mercy. Then Lasseter would ask that the money they had just saved be used for his next film, and Jobs would agree.
Tin Toy
Not all of Jobs’s relationships at Pixar were as good. His worst clash came with Catmull’s cofounder, Alvy Ray Smith. From a Baptist background in rural north Texas, Smith became a free-spirited hippie computer imaging engineer with a big build, big laugh, and big personality—and occasionally an ego to match. “Alvy just glows, with a high color, friendly laugh, and a whole bunch of groupies at conferences,” said Pam Kerwin. “A personality like Alvy’s was likely to ruffle Steve. They are both visionaries and high energy and high ego. Alvy is not as willing to make peace and overlook things as Ed was.”
Smith saw Jobs as someone whose charisma and ego led him to abuse power. “He was like a televangelist,” Smith said. “He wanted to control people, but I would not be a slave to him, which is why we clashed. Ed was much more able to go with the flow.” Jobs would sometimes assert his dominance at a meeting by saying something outrageous or untrue. Smith took great joy in calling him on it, and he would do so with a large laugh and a smirk. This did not endear him to Jobs.
One day at a board meeting, Jobs started berating Smith and other top Pixar executives for the delay in getting the circuit boards completed for the new version of the Pixar Image Computer. At the time, NeXT was also very late in completing its own computer boards, and Smith pointed that out: “Hey, you’re even later with your NeXT boards, so quit jumping on us.” Jobs went ballistic, or in Smith’s phrase, “totally nonlinear.” When Smith was feeling attacked or confrontational, he tended to lapse into his southwestern accent. Jobs started parodying it in his sarcastic style. “It was a bully tactic, and I exploded with everything I had,” Smith recalled. “Before I knew it, we were in each other’s faces—about three inches apart—screaming at each other.”
Jobs was very possessive about control of the whiteboard during a meeting, so the burly Smith pushed past him and started writing on it. “You can’t do that!” Jobs shouted.
“What?” responded Smith, “I can’t write on your whiteboard? Bullshit.” At that point Jobs stormed out.
Smith eventually resigned to form a new company to make software for digital drawing and image editing. Jobs refused him permission to use some code he had created while at Pixar, which further inflamed their enmity. “Alvy eventually got what he needed,” said Catmull, “but he was very stressed for a year and developed a lung infection.” In the end it worked out well enough; Microsoft eventually bought Smith’s company, giving him the distinction of being a founder of one company that was sold to Jobs and another that was sold to Gates.
Ornery in the best of times, Jobs became particularly so when it became clear that all three Pixar endeavors—hardware, software, and animated content—were losing money. “I’d get these plans, and in the end I kept having to put in more money,” he recalled. He would rail, but then write the check. Having been ousted at Apple and flailing at NeXT, he couldn’t afford a third strike.
To stem the losses, he ordered a round of deep layoffs, which he executed with his typical empathy deficiency. As Pam Kerwin put it, he had “neither the emotional nor financial runway to be decent to people he was letting go.” Jobs insisted that the firings be done immediately, with no severance pay. Kerwin took Jobs on a walk around the parking lot and begged that the employees be given at least two weeks notice. “Okay,” he shot back, “but the notice is retroactive from two weeks ago.” Catmull was in Moscow, and Kerwin put in frantic calls to him. When he returned, he was able to institute a meager severance plan and calm things down just a bit.
At one point the members of the Pixar animation team were trying to convince Intel to let them make some of its commercials, and Jobs became impatient. During a meeting, in the midst of berating an Intel marketing director, he picked up the phone and called CEO Andy Grove directly. Grove, still playing mentor, tried to teach Jobs a lesson: He supported his Intel manager. “I stuck by my employee,” he recalled. “Steve doesn’t like to be treated like a supplier.”
Grove also played mentor when Jobs proposed that Pixar give Intel suggestions on how to improve the capacity of its processors to render 3-D graphics. When the engineers at Intel accepted the offer, Jobs sent an email back saying Pixar would need to be paid for its advice. Intel’s chief engineer replied, “We have not entered into any financial arrangement in exchange for good ideas for our microprocessors in the past and have no intention for the future.” Jobs forwarded the answer to Grove, saying that he found the engineer’s response to be “extremely arrogant, given Intel’s dismal showing in understanding computer graphics.” Grove sent Jobs a blistering reply, saying that sharing ideas is “what friendly companies and friends do for each other.” Grove added that he had often freely shared ideas with Jobs in the past and that Jobs should not be so mercenary. Jobs relented. “I have many faults, but one of them is not ingratitude,” he responded. “Therefore, I have changed my position 180 degrees—we will freely help. Thanks for the clearer perspective.”
Pixar was able to create some powerful software products aimed at average consumers, or at least those average consumers who shared Jobs’s passion for designing things. Jobs still hoped that the ability to make super-realistic 3-D images at home would become part of the desktop publishing craze. Pixar’s Showplace, for example, allowed users to change the shadings on the 3-D objects they created so that they could display them from various angles with appropriate shadows. Jobs thought it was incredibly compelling, but most consumers were content to live without it. It was a case where his passions misled him: The software had so many amazing features that it lacked the simplicity Jobs usually demanded. Pixar couldn’t compete with Adobe, which was making software that was less sophisticated but far less complicated and expensive.
Even as Pixar’s hardware and software product lines foundered, Jobs kept protecting the animation group. It had become for him a little island of magical artistry that gave him deep emotional pleasure, and he was willing to nurture it and bet on it. In the spring of 1988 cash was running so short that he convened a meeting to decree deep spending cuts across the board. When it was over, Lasseter and his animation group were almost too afraid to ask Jobs about authorizing some extra money for another short. Finally, they broached the topic and Jobs sat silent, looking skeptical. It would require close to $300,000 more out of his pocket. After a few minutes, he asked if there were any storyboards. Catmull took him down to the animation offices, and once Lasseter started his show—displaying his boards, doing the voices, showing his passion for his product—Jobs started to warm up.
The story was about Lasseter’s love, classic toys. It was told from the perspective of a toy one-man band named Tinny, who meets a baby that charms and terrorizes him. Escaping under the couch, Tinny finds other frightened toys, but when the baby hits his head and cries, Tinny goes back out to cheer him up.
Jobs said he would provide the money. “I believed in what John was doing,” he later said. “It was art. He cared, and I cared. I always said yes.” His only comment at the end of Lasseter’s presentation was, “All I ask of you, John, is to make it great.”
Tin Toy went on to win the 1988 Academy Award for animated short films, the first computer-generated film to do so. To celebrate, Jobs took Lasseter and his team to Greens, a vegetarian restaurant in San Francisco. Lasseter grabbed the Oscar, which was in the center of the table, held it aloft, and toasted Jobs by saying, “All you asked is that we make a great movie.”
The new team at Disney—Michael Eisner the CEO and Jeffrey Katzenberg in the film division—began a quest to get Lasseter to come back. They liked Tin Toy, and they thought that something more could be done with animated stories of toys that come alive and have human emotions. But Lasseter, grateful for Jobs’s faith in him, felt that Pixar was the only place where he could create a new world of computer-generated animation. He told Catmull, “I can go to Disney and be a director, or I can stay here and make history.” So Disney began talking about making a production deal with Pixar. “Lasseter’s shorts were really breathtaking both in storytelling and in the use of technology,” recalled Katzenberg. “I tried so hard to get him to Disney, but he was loyal to Steve and Pixar. So if you can’t beat them, join them. We decided to look for ways we could join up with Pixar and have them make a film about toys for us.”
By this point Jobs had poured close to $50 million of his own money into Pixar—more than half of what he had pocketed when he cashed out of Apple—and he was still losing money at NeXT. He was hard-nosed about it; he forced all Pixar employees to give up their options as part of his agreement to add another round of personal funding in 1991. But he was also a romantic in his love for what artistry and technology could do together. His belief that ordinary consumers would love to do 3-D modeling on Pixar software turned out to be wrong, but that was soon replaced by an instinct that turned out to be right: that combining great art and digital technology would transform animated films more than anything had since 1937, when Walt Disney had given life to Snow White.
Looking back, Jobs said that, had he known more, he would have focused on animation sooner and not worried about pushing the company’s hardware or software applications. On the other hand, had he known the hardware and software would never be profitable, he would not have taken over Pixar. “Life kind of snookered me into doing that, and perhaps it was for the better.”
In 1982, when he was still working on the Macintosh, Jobs met the famed folksinger Joan Baez through her sister Mimi Fari?a, who headed a charity that was trying to get donations of computers for prisons. A few weeks later he and Baez had lunch in Cupertino. “I wasn’t expecting a lot, but she was really smart and funny,” he recalled. At the time, he was nearing the end of his relationship with Barbara Jasinski. They had vacationed in Hawaii, shared a house in the Santa Cruz mountains, and even gone to one of Baez’s concerts together. As his relationship with Jasinski flamed out, Jobs began getting more serious with Baez. He was twenty-seven and Baez was forty-one, but for a few years they had a romance. “It turned into a serious relationship between two accidental friends who became lovers,” Jobs recalled in a somewhat wistful tone.
Elizabeth Holmes, Jobs’s friend from Reed College, believed that one of the reasons he went out with Baez—other than the fact that she was beautiful and funny and talented—was that she had once been the lover of Bob Dylan. “Steve loved that connection to Dylan,” she later said. Baez and Dylan had been lovers in the early 1960s, and they toured as friends after that, including with the Rolling Thunder Revue in 1975. (Jobs had the bootlegs of those concerts.)
When she met Jobs, Baez had a fourteen-year-old son, Gabriel, from her marriage to the antiwar activist David Harris. At lunch she told Jobs she was trying to teach Gabe how to type. “You mean on a typewriter?” Jobs asked. When she said yes, he replied, “But a typewriter is antiquated.”
“If a typewriter is antiquated, what does that make me?” she asked. There was an awkward pause. As Baez later told me, “As soon as I said it, I realized the answer was so obvious. The question just hung in the air. I was just horrified.”
Much to the astonishment of the Macintosh team, Jobs burst into the office one day with Baez and showed her the prototype of the Macintosh. They were dumbfounded that he would reveal the computer to an outsider, given his obsession with secrecy, but they were even more blown away to be in the presence of Joan Baez. He gave Gabe an Apple II, and he later gave Baez a Macintosh. On visits Jobs would show off the features he liked. “He was sweet and patient, but he was so advanced in his knowledge that he had trouble teaching me,” she recalled.
He was a sudden multimillionaire; she was a world-famous celebrity, but sweetly down-to-earth and not all that wealthy. She didn’t know what to make of him then, and still found him puzzling when she talked about him almost thirty years later. At one dinner early in their relationship, Jobs started talking about Ralph Lauren and his Polo Shop, which she admitted she had never visited. “There’s a beautiful red dress there that would be perfect for you,” he said, and then drove her to the store in the Stanford Mall. Baez recalled, “I said to myself, far out, terrific, I’m with one of the world’s richest men and he wants me to have this beautiful dress.” When they got to the store, Jobs bought a handful of shirts for himself and showed her the red dress. “You ought to buy it,” he said. She was a little surprised, and told him she couldn’t really afford it. He said nothing, and they left. “Wouldn’t you think if someone had talked like that the whole evening, that they were going to get it for you?” she asked me, seeming genuinely puzzled about the incident. “The mystery of the red dress is in your hands. I felt a bit strange about it.” He would give her computers, but not a dress, and when he brought her flowers he made sure to say they were left over from an event in the office. “He was both romantic and afraid to be romantic,” she said.
When he was working on the NeXT computer, he went to Baez’s house in Woodside to show her how well it could produce music. “He had it play a Brahms quartet, and he told me eventually computers would sound better than humans playing it, even get the innuendo and the cadences better,” Baez recalled. She was revolted by the idea. “He was working himself up into a fervor of delight while I was shrinking into a rage and thinking, How could you defile music like that?”
Jobs would confide in Debi Coleman and Joanna Hoffman about his relationship with Baez and worry about whether he could marry someone who had a teenage son and was probably past the point of wanting to have more children. “At times he would belittle her as being an ‘issues’ singer and not a true ‘political’ singer like Dylan,” said Hoffman. “She was a strong woman, and he wanted to show he was in control. Plus, he always said he wanted to have a family, and with her he knew that he wouldn’t.”
And so, after about three years, they ended their romance and drifted into becoming just friends. “I thought I was in love with her, but I really just liked her a lot,” he later said. “We weren’t destined to be together. I wanted kids, and she didn’t want any more.” In her 1989 memoir, Baez wrote about her breakup with her husband and why she never remarried: “I belonged alone, which is how I have been since then, with occasional interruptions that are mostly picnics.” She did add a nice acknowledgment at the end of the book to “Steve Jobs for forcing me to use a word processor by putting one in my kitchen.”
Finding Joanne and Mona
When Jobs was thirty-one, a year after his ouster from Apple, his mother Clara, who was a smoker, was stricken with lung cancer. He spent time by her deathbed, talking to her in ways he had rarely done in the past and asking some questions he had refrained from raising before. “When you and Dad got married, were you a virgin?” he asked. It was hard for her to talk, but she forced a smile. That’s when she told him that she had been married before, to a man who never made it back from the war. She also filled in some of the details of how she and Paul Jobs had come to adopt him.
Soon after that, Jobs succeeded in tracking down the woman who had put him up for adoption. His quiet quest to find her had begun in the early 1980s, when he hired a detective who had failed to come up with anything. Then Jobs noticed the name of a San Francisco doctor on his birth certificate. “He was in the phone book, so I gave him a call,” Jobs recalled. The doctor was no help. He claimed that his records had been destroyed in a fire. That was not true. In fact, right after Jobs called, the doctor wrote a letter, sealed it in an envelope, and wrote on it, “To be delivered to Steve Jobs on my death.” When he died a short time later, his widow sent the letter to Jobs. In it, the doctor explained that his mother had been an unmarried graduate student from Wisconsin named Joanne Schieble.
It took another few weeks and the work of another detective to track her down. After giving him up, Joanne had married his biological father, Abdulfattah “John” Jandali, and they had another child, Mona. Jandali abandoned them five years later, and Joanne married a colorful ice-skating instructor, George Simpson. That marriage didn’t last long either, and in 1970 she began a meandering journey that took her and Mona (both of them now using the last name Simpson) to Los Angeles.
Jobs had been reluctant to let Paul and Clara, whom he considered his real parents, know about his search for his birth mother. With a sensitivity that was unusual for him, and which showed the deep affection he felt for his parents, he worried that they might be offended. So he never contacted Joanne Simpson until after Clara Jobs died in early 1986. “I never wanted them to feel like I didn’t consider them my parents, because they were totally my parents,” he recalled. “I loved them so much that I never wanted them to know of my search, and I even had reporters keep it quiet when any of them found out.” When Clara died, he decided to tell Paul Jobs, who was perfectly comfortable and said he didn’t mind at all if Steve made contact with his biological mother.
So one day Jobs called Joanne Simpson, said who he was, and arranged to come down to Los Angeles to meet her. He later claimed it was mainly out of curiosity. “I believe in environment more than heredity in determining your traits, but still you have to wonder a little about your biological roots,” he said. He also wanted to reassure Joanne that what she had done was all right. “I wanted to meet my biological mother mostly to see if she was okay and to thank her, because I’m glad I didn’t end up as an abortion. She was twenty-three and she went through a lot to have me.”
Joanne was overcome with emotion when Jobs arrived at her Los Angeles house. She knew he was famous and rich, but she wasn’t exactly sure why. She immediately began to pour out her emotions. She had been pressured to sign the papers putting him up for adoption, she said, and did so only when told that he was happy in the house of his new parents. She had always missed him and suffered about what she had done. She apologized over and over, even as Jobs kept reassuring her that he understood, and that things had turned out just fine.
Once she calmed down, she told Jobs that he had a full sister, Mona Simpson, who was then an aspiring novelist in Manhattan. She had never told Mona that she had a brother, and that day she broke the news, or at least part of it, by telephone. “You have a brother, and he’s wonderful, and he’s famous, and I’m going to bring him to New York so you can meet him,” she said. Mona was in the throes of finishing a novel about her mother and their peregrination from Wisconsin to Los Angeles, Anywhere but Here. Those who’ve read it will not be surprised that Joanne was somewhat quirky in the way she imparted to Mona the news about her brother. She refused to say who he was—only that he had been poor, had gotten rich, was good-looking and famous, had long dark hair, and lived in California. Mona then worked at the Paris Review, George Plimpton’s literary journal housed on the ground floor of his townhouse near Manhattan’s East River. She and her coworkers began a guessing game on who her brother might be. John Travolta? That was one of the favorite guesses. Other actors were also hot prospects. At one point someone did toss out a guess that “maybe it’s one of those guys who started Apple computer,” but no one could recall their names.
The meeting occurred in the lobby of the St. Regis Hotel. “He was totally straightforward and lovely, just a normal and sweet guy,” Mona recalled. They all sat and talked for a few minutes, then he took his sister for a long walk, just the two of them. Jobs was thrilled to find that he had a sibling who was so similar to him. They were both intense in their artistry, observant of their surroundings, and sensitive yet strong-willed. When they went to dinner together, they noticed the same architectural details and talked about them excitedly afterward. “My sister’s a writer!” he exulted to colleagues at Apple when he found out.
When Plimpton threw a party for Anywhere but Here in late 1986, Jobs flew to New York to accompany Mona to it. They grew increasingly close, though their friendship had the complexities that might be expected, considering who they were and how they had come together. “Mona was not completely thrilled at first to have me in her life and have her mother so emotionally affectionate toward me,” he later said. “As we got to know each other, we became really good friends, and she is my family. I don’t know what I’d do without her. I can’t imagine a better sister. My adopted sister, Patty, and I were never close.” Mona likewise developed a deep affection for him, and at times could be very protective, although she would later write an edgy novel about him, A Regular Guy, that described his quirks with discomforting accuracy.
One of the few things they would argue about was her clothes. She dressed like a struggling novelist, and he would berate her for not wearing clothes that were “fetching enough.” At one point his comments so annoyed her that she wrote him a letter: “I am a young writer, and this is my life, and I’m not trying to be a model anyway.” He didn’t answer. But shortly after, a box arrived from the store of Issey Miyake, the Japanese fashion designer whose stark and technology-influenced style made him one of Jobs’s favorites. “He’d gone shopping for me,” she later said, “and he’d picked out great things, exactly my size, in flattering colors.” There was one pantsuit that he had particularly liked, and the shipment included three of them, all identical. “I still remember those first suits I sent Mona,” he said. “They were linen pants and tops in a pale grayish green that looked beautiful with her reddish hair.”
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English
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32k
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T5. Attribution & Citation Alignment
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T5.1 Full-Sentence Citation Alignment
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Full
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You will see a generated sentence summary. Task: For each sentence, align it to the minimal sufficient source Part and output the Part identifier ("Part X", e.g., Part 12). Output the "[Answer]" identifier first, and then output the citations for each sentence line by line, without any additional content.
Generated summary:
In February 1985, Jobs held a formal-yet-playful 1,000-person 30th birthday party at San Francisco’s St. Francis Hotel (with black tie and tennis shoes) where the invitation quoted a Hindu saying on habits, Sculley toasted him as "technology’s foremost visionary," Wozniak gave him a framed Zaltair hoax copy, and VC Don Valentine noted his decade-long change from a Ho Chi Minh look-alike who distrusted anyone over thirty to someone hosting a grand party with Ella Fitzgerald.
Output example:
[Answer]
Part 5
Part 12
|
You will see a generated sentence summary. Task: For each sentence, align it to the minimal sufficient source Part and output the Part identifier ("Part X", e.g., Part 12). Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the citations for each sentence line by line.
Generated summary:
In February 1985, Jobs held a formal-yet-playful 1,000-person 30th birthday party at San Francisco’s St. Francis Hotel (with black tie and tennis shoes) where the invitation quoted a Hindu saying on habits, Sculley toasted him as "technology’s foremost visionary," Wozniak gave him a framed Zaltair hoax copy, and VC Don Valentine noted his decade-long change from a Ho Chi Minh look-alike who distrusted anyone over thirty to someone hosting a grand party with Ella Fitzgerald.
Output example:
<Your thinking process>
[Answer]
Part 5
Part 12
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[
"Part 16",
"Part 19"
] |
Easy
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ce819c98021654adb80614c3fbd6fef0cb01be5a31ad9b69145c673b190f9d2c
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Personal Statement Examples
P1:The "My Pillows & Me" Example College Essay
“I can’t sleep without them!” my face scrunched up, clutching piles of cushions in an uncharacteristic moment of seven-year-old stubbornness. An overnight trip without my Stitch face pillow? My dolphin pillow pets? This was absolutely unacceptable, robbing me of the comfort and structure that was my nightly routine. Today, ten-years later, I still relish flopping backwards onto my bed, cushioned by my carefully curated collection of pillows, each encasing a different side of myself:
Smiling beside me is my chibi avocado pillow, a celebratory gift from my parents for finally trying guacamole. Green, mushy, yucky! I once wrinkled my nose in disgust at the outward appearance of this vegetable (fruit?): before tasting the tableside guac at our favorite Mexican joint. Today, I laugh at the “avocado anecdote” looking at this pillow, but simultaneously remember the message my parents sent me; a reminder to never dismiss new opportunities at first glance.
Near the avocado, a ruffled teal pillow from Target sits atop its matching ruffled duvet. Struck with inspiration to redesign my room, I bought this pillow in middle school, after viewing an artsy article in American Girl Magazine’s spring spread. Design continues to fuel my burning creative spark, whether through computing or character art. From the “Coding Projects in Scratch” book, I took inspiration to tinker with block-based programming, designing my own graphics-based puzzles & platformers that provided me the fundamentals to pursue higher-level CS in Python & Java. In the pages of Christopher Hart’s “Master Guide to Drawing Anime”, I study dynamic character composition and the intricacies of cell shading, applying these illustrative techniques to my own digital art.
Propped against the headboard, a My Melody pillow cushions my head, a nod to my former aversion to all things “cute.” At age thirteen, the mere thought of being seen sleeping with a pink, fluffy, bunny pillow (Hello Kitty-branded, no less!) horrified me. Now, through My Melody, I embrace my whimsical side, unapologetically jamming out to bubbly idol music or squealing over the turquoise, twin-tailed virtual popstar Hatsune Miku. While tuning synthesized singing vocals for my VOCALOID cover channel on YouTube, my inner geek shines through my usually studious and composed exterior.
Lounging lazily beside my bed sits the master pillow, Slothogus, the 3 foot tall, jumbo stuffed sloth, doubling as my go-to living room throw pillow. As my brain rapidly flips between subjects, whether cramming fundamental forces in AP Physics 1, rapidly typing an 11-page research report for AP Seminar, or frantically debugging Java assignments for my Columbia U class, I often find myself overwhelmed by my academic “overachiever" habits. To quiet this mental clamor, I spare a moment of rest on Slothogus’ plush shoulder. From his stitched smile, I learn to take advantage of what little downtime I have. Be like Slothogus, I inhale, letting my academic-addled anxieties dissipate as I binge a few episodes of Gilmore Girls or Great British Bake Off with my family.
Maybe by next year, I will have broken 1:00 in the 100 fly, finished my Girl Scout Gold Award Project, and developed the next cutting-edge software to synthesize singing. Maybe, I’ll turn in my first capstone project for Intro to Computational Linguistics. And maybe, I’ll have added another pillow to the collection, so I can take the day off and have a lie in.
I’ll sleep on it.
P2:THE "Laptop Stickers" COLLEGE ESSAY EXAMPLE
My laptop is like a passport. It is plastered with stickers all over the outside, inside, and bottom. Each sticker is a stamp, representing a place I've been, a passion I've pursued, or community I've belonged to. These stickers make for an untraditional first impression at a meeting or presentation, but it's one I'm proud of. Let me take you on a quick tour:
"We < 3 Design," bottom left corner. Art has been a constant for me for as long as I can remember. Today my primary engagement with art is through design. I've spent entire weekends designing websites and social media graphics for my companies. Design means more to me than just branding and marketing; it gives me the opportunity to experiment with texture, perspective, and contrast, helping me refine my professional style.
"Common Threads," bottom right corner. A rectangular black and red sticker displaying the theme of the 2017 TEDxYouth@Austin event. For years I've been interested in the street artists and musicians in downtown Austin who are so unapologetically themselves. As a result, I've become more open-minded and appreciative of unconventional lifestyles. TED gives me the opportunity to help other youth understand new perspectives, by exposing them to the diversity of Austin where culture is created, not just consumed.
Poop emoji, middle right. My 13-year-old brother often sends his messages with the poop emoji 'echo effect,' so whenever I open a new message from him, hundreds of poops elegantly cascade across my screen. He brings out my goofy side, but also helps me think rationally when I am overwhelmed. We don't have the typical "I hate you, don't talk to me" siblinghood (although occasionally it would be nice to get away from him); we're each other's best friends. Or at least he's mine.
"Lol ur not Harry Styles," upper left corner. Bought in seventh grade and transferred from my old laptop, this sticker is torn but persevering with layers of tape. Despite conveying my fangirl-y infatuation with Harry Styles' boyband, One Direction, for me Styles embodies an artist-activist who uses his privilege for the betterment of society. As a $42K donor to the Time's Up Legal Defense Fund, a hair donor to the Little Princess Trust, and promoter of LGBTQ+ equality, he has motivated me to be a more public activist instead of internalizing my beliefs.
"Catapult," middle right. This is the logo of a startup incubator where I launched my first company, Threading Twine. I learned that business can provide others access to fundamental human needs, such as economic empowerment of minorities and education. In my career, I hope to be a corporate advocate for the empowerment of women, creating large-scale impact and deconstructing institutional boundaries that obstruct women from working in high-level positions. Working as a women's rights activist will allow me to engage in creating lasting movements for equality, rather than contributing to a cycle that elevates the stances of wealthy individuals.
"Thank God it's Monday," sneakily nestled in the upper right corner. Although I attempt to love all my stickers equally (haha), this is one of my favorites. I always want my association with work to be positive.
And there are many others, including the horizontal, yellow stripes of the Human Rights Campaign; "The Team," a sticker from the Model G20 Economics Summit where I collaborated with youth from around the globe; and stickers from "Kode with Klossy," a community of girls working to promote women's involvement in underrepresented fields.
When my computer dies (hopefully not for another few years), it will be like my passport expiring. It'll be difficult leaving these moments and memories behind, but I probably won't want these stickers in my 20s anyways (except Harry Styles, that's never leaving). My next set of stickers will reveal my next set of aspirations. They hold the key to future paths I will navigate, knowledge I will gain, and connections I will make.
P3:THE "PUNK ROCK PHILOSOPHER" COLLEGE ESSAY EXAMPLE
This was written for the Common App college application essays, and works for prompts 1 and 7 (or none of them, because the author is that cool):
I am on Oxford Academy’s Speech and Debate Team, in both the Parliamentary Debate division and the Lincoln-Douglass debate division. I write screenplays, short stories, and opinionated blogs and am a regular contributor to my school literary magazine, The Gluestick. I have accumulated over 300 community service hours that includes work at homeless shelters, libraries, and special education youth camps. I have been evaluated by the College Board and have placed within the top percentile.
But I am not any of these things. I am not a test score, nor a debater, nor a writer. I am an anti-nihilist punk rock philosopher. And I became so when I realized three things:
1) That the world is ruled by underwear. There is a variety of underwear for a variety of people. You have your ironed briefs for your businessmen, your soft cottons for the average, and hemp-based underwear for your environmental romantics. But underwear do not only tell us about who we are, they also influence our daily interactions in ways most of us don't even understand. For example, I have a specific pair of underwear that is holey, worn out but surprisingly comfortable. And despite how trivial underwear might be, when I am wearing my favorite pair, I feel as if I am on top of the world. In any case, these articles of clothing affect our being and are the unsung heroes of comfort.
2) When I realized I cannot understand the world. I recently debated at the Orange County Speech League Tournament, within the Parliamentary Division. This specific branch of debate is an hour long, and consists of two parties debating either side of a current political issue. In one particular debate, I was assigned the topic: “Should Nation States eliminate nuclear arms?” It so happened that I was on the negative side and it was my job to convince the judges that countries should continue manufacturing nuclear weapons. During the debate, something strange happened: I realized that we are a special breed of species, that so much effort and resources are invested to ensure mutual destruction. And I felt that this debate in a small college classroom had elucidated something much more profound about the scale of human existence. In any case, I won 1st place at the tournament, but as the crowd cheered when my name was called to stand before an audience of hundreds of other debaters, and I flashed a victorious smile at the cameras, I couldn’t help but imagine that somewhere at that moment a nuclear bomb was being manufactured, adding to an ever-growing stockpile of doom. And that's when I realized that the world was something I will never understand.
3) When I realized I was a punk rocker philosopher. One summer night, my friend took me to an underground hardcore punk rock show. It was inside a small abandoned church. After the show, I met and became a part of this small community. Many were lost and on a constant soul-search, and to my surprise, many, like myself, did not have a blue Mohawk or a nose piercing. Many were just ordinary people discussing Nietzsche, string theory, and governmental ideologies. Many were also artists creating promotional posters and inventive slogans for stickers. They were all people my age who could not afford to be part of a record label and did something extraordinary by playing in these abandoned churches, making their own CDs and making thousands of promotional buttons by hand. I realized then that punk rock is not about music nor is it a guy with a blue Mohawk screaming protests. Punk rock is an attitude, a mindset, and very much a culture. It is an antagonist to the conventional. It means making the best with what you have to contribute to a community. This was when I realized that I was a punk rock philosopher.
The world I come from consists of underwear, nuclear bombs, and punk rockers. And I love this world. My world is inherently complex, mysterious, and anti-nihilist. I am David Phan, somebody who spends his weekends debating in a three piece suit, other days immersed within the punk rock culture, and some days writing opinionated blogs about underwear.
But why college? I want a higher education. I want more than just the textbook fed classrooms in high school. A community which prizes revolutionary ideals, a sharing of multi-dynamical perspectives, an environment that ultimately acts as a medium for movement, similar to the punk rock community. I do not see college as a mere stepping stone for a stable career or a prosperous life, but as a supplement for knowledge and self-empowerment; it is a social engine that will jettison us to our next paradigm shift.
P4:The "Deli Connections" College Essay Example
Hey Mike, I need a Godfather Sub, no tomato, and a Foot Surfer without avocado! The biggest hit of the day approaches as the clock ticks down to 12:00 noon. I rush over the order tickets. The bell chimes, the door swings open, and the guys working construction on the Jupiter Medical Center flood the deli. Working at Rinaldi’s is more than just a source of income; it is a microcosm of who I have become: a multilingual student committed to understanding and engaging in global affairs; an independent learner able to balance my intellectual and artistic pursuits with the need to structure my time and refine my skills; someone who steps into the shoes of others, and considers issues from contrasting perspectives.
I grew up in Briarcliff Manor, a small homogeneous town in New York State. Since birth, I had known everybody, every street, and every waiter at Squire’s, where I got the crinkly fries and chicken tenders. I was perfectly happy in my hometown, neither traveling nor speaking other languages. In 8th grade, my family’s move to Jupiter, Florida, near Miami, was a shock that led to a massive cultural awakening. I dove into my new surroundings and began working at a popular local deli: Jupiter Rinaldi’s.
Qué le gustaría pedir, señor? Interacting with local deli customers, many of whom hail from Spanish-speaking countries, ignites my eagerness to learn their language and experience their cultures. I develop an empathy for these workmen who come in sweaty, tired, hungry, and pressed for time on their lunch break, yet hesitate to order in English. I love to see the joy on their faces and to hear them laugh when I speak their native language. The deli becomes my daily classroom: real interactions replace vocabulary lists. I realize that communicating across language barriers is a super power, opening infinite possibilities to connect with people.
Interacting with customers at the deli catalyzes my linguistic journey. One day, my Spanish teacher introduces himself in German, which sounds beautiful and rich. I immediately install Duolingo and practice. My enthusiasm for Spanish initially leads to studying German, then studying the cyrillic alphabet for Russian, then memorizing over 60 Hiragana and Katakana characters for Japanese. Now I am watching documentaries and Netflix series in other languages, reading books like “Western Philosophy in Simple Spanish” and “World War 1 in Simple German,” (by Olly Richards, leader of the YouTube language dorks). I even watch SpongeBob, my favorite childhood show, in German. I link my passion for languages to my love of history and am becoming a self-made historian. “Das Boot,” “Downfall,” and “Babylon Berlin,” subtitled in English, acquaint my ear with German, but also immerse me in the Weimar Republic and WWII. I examine major events of the 20th century, in Germany and the USSR, and develop an understanding of how propaganda campaigns weaponize entire generations for their own gain. I grow aware of the ever-present danger when history repeats itself.
Everything exact, all right? my boss Mike always exclaims. Integral to my deli job is running the meat slicer so that the slices come out right: not too thin, not too thick. I’ve learned to calibrate the thickness of the slice, place the correct amount of pressure on the adjustable plate, show up on time, shoulder responsibility, do what I’m told, respect hierarchy, and, as taught by my parents, always try my best. I use my time efficiently, develop a daily pattern, build my days around work, and exercise at Topper Fitness after my shift.
Perfecting my slicing extends far beyond deli meats to include refining a Hendrix riff for days on my fittingly Irish-green stratocaster, or honing my collection of ridiculously obscure Major League Baseball statistics. Serving customers equips me to mediate arguments among friends, and forging a family at Rinaldi’s assures me that I can make any community my home.
P5:The "Travel and Language" College Essay Example
Written for the Common App college application essays "Tell us your story" prompt. This essay could work for prompts 1 and 7 for the Common App.
When I was very little, I caught the travel bug. It started after my grandparents first brought me to their home in France and I have now been to twenty-nine different countries. Each has given me a unique learning experience.
At five, I marveled at the Eiffel Tower in the City of Lights. When I was eight, I stood in the heart of Piazza San Marco feeding hordes of pigeons, then glided down Venetian waterways on sleek gondolas. At thirteen, I saw the ancient, megalithic structure of Stonehenge and walked along the Great Wall of China, amazed that the thousand-year-old stones were still in place.
It was through exploring cultures around the world that I first became interested in language.
It began with French, which taught me the importance of pronunciation. I remember once asking a store owner in Paris where Rue des Pyramides was. But when I pronounced it PYR–a–mides instead of pyr–A–mides, with more accent on the A, she looked at me bewildered.
In the eighth grade, I became fascinated with Spanish and aware of its similarities with English through cognates. Baseball in Spanish, for example, is béisbol, which looks different but sounds nearly the same. This was incredible to me as it made speech and comprehension more fluid, and even today I find that cognates come to the rescue when I forget how to say something in Spanish.
Then, in high school, I developed an enthusiasm for Chinese. As I studied Chinese at my school, I marveled how if just one stroke was missing from a character, the meaning is lost. I loved how long words were formed by combining simpler characters, so Huǒ (火) meaning fire and Shān (山) meaning mountain can be joined to create Huǒshān (火山), which means volcano. I love spending hours at a time practicing the characters and I can feel the beauty and rhythm as I form them.
Interestingly, after studying foreign languages, I was further intrigued by my native tongue. Through my love of books and fascination with developing a sesquipedalian lexicon (learning big words), I began to expand my English vocabulary. Studying the definitions prompted me to inquire about their origins, and suddenly I wanted to know all about etymology, the history of words. My freshman year I took a world history class and my love for history grew exponentially. To me, history is like a great novel, and it is especially fascinating because it took place in my own world.
But the best dimension that language brought to my life is interpersonal connection. When I speak with people in their native language, I find I can connect with them on a more intimate level. I’ve connected with people in the most unlikely places, finding a Bulgarian painter to use my few Bulgarian words with in the streets of Paris, striking up a conversation in Spanish with an Indian woman who used to work at the Argentinian embassy in Mumbai, and surprising a library worker by asking her a question in her native Mandarin.
I want to study foreign language and linguistics in college because, in short, it is something that I know I will use and develop for the rest of my life. I will never stop traveling, so attaining fluency in foreign languages will only benefit me. In the future, I hope to use these skills as the foundation of my work, whether it is in international business, foreign diplomacy, or translation.
I think of my journey as best expressed through a Chinese proverb that my teacher taught me, “I am like a chicken eating at a mountain of rice.” Each grain is another word for me to learn as I strive to satisfy my unquenchable thirst for knowledge.
Today, I still have the travel bug, and now, it seems, I am addicted to language too.
P6:The "What Rocks Tell Us" Example College Essay Example
Growing up, I kept my head to the ground—literally.
I frequently searched the soil, collecting interesting rocks:, whether tucked beneath bushes, in forgotten cupholders, or even hidden in the tiny, useless front pockets of women’s jeans. I continue to collect rocks to this day because I believe that valuable lessons can be extracted from them. My collection is in no way expensive or high quality, but is instead rich in memories.
So what have I learned from my collection?
“Dragon egg”: When I was younger, my friends and I gathered fist-sized stones and pretended they were dragon eggs. We’d feed them magical soups (composed of shampoo, daisies, and glitter), which made the rocks sparkle in the sunshine. Out of sentimentality, I kept my dragon egg, because it reminds me never to lose my “sparkle” or creativity. Nowadays, I manifest this creativity through various outlets. I practice Minhwa, traditional Korean watercolor painting, with my mom bringing Korean folktale characters and scenery to life. I often play the piano, enjoying and treasuring music as a hobby. I even incorporate this “sparkle” into my outfits, adopting a wide range of fashion styles from Y2K, dark academia, to “Shrek-inspired.”. My creative hobbies are important for me to maintain balance—giving myself the rejuvenation and reflection needed to breathe fire into other aspects of my life.
Cracked pavement: My penchant for collecting shards of cracked pavement mirrors my love for tennis and sports, as both exemplify the beauty of resilience. Just as I've learned to appreciate the intricate textures and patterns in discarded concrete, I've honed my skills on the tennis court, eventually securing a spot on the varsity girls' tennis team. These experiences have taught me that success is born from dedication and a willingness to find beauty in the journey, even amidst the cracks.
Sedimentary stones: Composed of diverse clasts—the rock equivalent of crumbs—sedimentary stones symbolize the intentional, purposeful role I’ve played in designing my academic journey. My passion for learning drives me to explore unique and specialized courses like Auto and Human Anatomy, which not only challenge my intellect but also resonate with real-world applications. And I don’t study to just do well on a test—I deeply contemplate how to apply course material in different aspects of education and life. For example, APUSH didn’t just teach me history, but also how to be a better leader. Analyzing documents throughout history has helped me successfully form innovative and effective policies leading SciOly and HOSA. Like sedimentary rocks, I collect “clasts,”, becoming more resilient, capable, and stronger along the way.
Patio stone: An ordinary stone taken from the bed of rocks on my patio left a small gap, from which a mystery tree now sprouts. In the seven years and four months since I first noticed it, I have been unable to identify what kind of tree it is. In that time, I have spent 2000 hours studying trees, rocks, and rivers and have dedicated 500 hours of that time learning how to identify 250+ different trees. However, I don’t mind the fact that I can’t identify the mystery tree; it reminds me that there is still more to discover, learn about, and study. Every glance at the tree (which quite literally “stumps” me) is a reminder to appreciate my growth and to continue to strive, even in rocky conditions.
In the pensive moments when I scan the ground for rocks, I find profound lessons hidden within the mundane. These unassuming fragments of the Earth's history have been my unlikely mentors. Each rock is a reminder that growth and wisdom are found in the simplest of things, and as I reflect on these silent, unchanging witnesses of time, I am inspired to continue my journey.
Taking the next step, I plunge my hands into the deep, earthy soil once more. What kind of rock will I uncover? And where will it bring me next?
P7:The "Grocery List" College Essay Example
The grocery list grew moist and crinkly in my hand. Seasoned shoppers circled the produce section, shaking excess water off leafy greens and slapping watermelons to test their ripeness. Meanwhile, I stared blankly at the shelves, baffled by the seemingly identical cilantro and parsley. I felt berry out of place.
When COVID hit, my mom shielded herself from the public due to her asthma. With our family’s main grocery shopper sidelined, someone needed to step up.
That person was not my dad.
On one trip, he committed three atrocious crimes that locked him in “husband jail”: mistaking green onion for leek, adding two dozen eggs to the 30 already in the fridge, and buying soymilk that poured out chunky.
Thus, I volunteered to rescue the situation. Despite equally catastrophic results, my mom appreciated my willingness to help, which encouraged me to continue. As I shopped more often, my knowledge of foods broadened, and I no longer needed my mom’s list. Without it, I began to explore previously hidden corners of the store.
As a child, I embodied the “chicken tenders and fries” spirit. Once, after I was forced to try Mom’s roasted eggplant, tears streamed down my face in defiance. Slowly, grocery shopping introduced me to shelves full of flavors. One by one, falafel, goat cheese, and even beef tongue appeared in my basket. While expanding my palate, I also grew curious about fellow shoppers’ tastes.
Why did that man buy six cartons of cashew milk? Do more people buy organic lemonade despite it being loaded with sugar? These questions sparked my interest in consumer behaviors, leading me to the Freakonomics series, the work of behavioral economist Richard Thaler, and eventually my research on how economic factors influence youth voting behavior.
But it wasn’t just the food that nourished me.
One day, I heard drums coming from a checkout line. There, I met Siaka, an African cashier playing the djembe. I didn’t expect him to want to talk to me, but he cheerfully described how drumming connected back to his childhood in Mali. Another time, Brian the butcher asked me to solve a culinary puzzle: why do Asian shoppers often ask for two vertical cuts in a rack of ribs? I eagerly explained why sweet and sour ribs required such unusual specifications, and we bonded over my culture.
Growing up in a “parents talk, you listen” household, I wasn’t used to initiating leisurely conversations with adults outside my home. By chatting with Siaka, Brian, and others, I realized that each stranger has a unique story waiting to be discovered. Last summer, I had the opportunity to uncover the experiences of the Children’s Museum educators over bowls of bibimbap and pasta. In just eight weeks, strangers became storytellers, and coworkers became friends.
My interactions with others transcended words, however.
At home, my parents didn’t expect me to help other than getting the mail and taking the trash out. In the grocery store, I found myself more useful. When a customer accidentally triggered a domino effect of apples, I chased them down. When a lady in a wheelchair reached for a salad, I grabbed it for her. These are small gestures but exemplify what positive change means to me: helping one person at a time.
With this spirit, I enjoyed spending ten minutes explaining the Pennsylvania voting process to one student, patiently coaching a boy to hit a golf ball out of the sand, and teaching an Afghani refugee to solve an algebra problem. And, of course, shopping for my mom.
Three years ago, grocery shopping started as a daunting task; never did I imagine it would become an experience of self-exploration and connecting with others. Looking ahead, life will certainly offer other intimidating responsibilities—paying taxes, fixing a leaky faucet, and cooking, to name a few. When I take these tasks on, what new horizons will I discover?
Only thyme will tell.
P8:The "Porcelain God" College Essay Example
Essay written for the "topic of your choice" prompt for the 2012 Common Application college application essays.
Bowing down to the porcelain god, I emptied the contents of my stomach. Foaming at the mouth, I was ready to pass out. My body couldn’t stop shaking as I gasped for air, and the room started spinning.
Ten minutes prior, I had been eating dinner with my family at a Chinese restaurant, drinking chicken-feet soup. My mom had specifically asked the waitress if there were peanuts in it, because when I was two we found out that I am deathly allergic to them. When the waitress replied no, I went for it. Suddenly I started scratching my neck, feeling the hives that had started to form. I rushed to the restroom to throw up because my throat was itchy and I felt a weight on my chest. I was experiencing anaphylactic shock, which prevented me from taking anything but shallow breaths. I was fighting the one thing that is meant to protect me and keep me alive – my own body.
At five years old, I couldn’t comprehend what had happened. All I knew was that I felt sick, and I was waiting for my mom to give me something to make it better. I thought my parents were superheroes; surely they would be able to make well again. But I became scared when I heard the fear in their voices as they rushed me to the ER.
After that incident, I began to fear. I became scared of death, eating, and even my own body. As I grew older, I became paranoid about checking food labels and I avoided eating if I didn’t know what was in the food. I knew what could happen if I ate one wrong thing, and I wasn’t willing to risk it for a snack. Ultimately, that fear turned into resentment; I resented my body for making me an outsider.
In the years that followed, this experience and my regular visits to my allergy specialist inspired me to become an allergy specialist. Even though I was probably only ten at the time, I wanted to find a way to help kids like me. I wanted to find a solution so that nobody would have to feel the way I did; nobody deserved to feel that pain, fear, and resentment. As I learned more about the medical world, I became more fascinated with the body’s immune responses, specifically, how a body reacts to allergens. This past summer, I took a month-long course on human immunology at Stanford University. I learned about the different mechanisms and cells that our bodies use in order to fight off pathogens. My desire to major in biology in college has been stimulated by my fascination with the human body, its processes, and the desire to find a way to help people with allergies. I hope that one day I can find a way to stop allergic reactions or at least lessen the symptoms, so that children and adults don’t have to feel the same fear and bitterness that I felt.
P9:The "Five Families" College Essay Example
This essay could work for prompts 1, 2, 5 and 7 for the Common App.
When I was 16, I lived with the Watkins family in Wichita, Kansas. Mrs. Watkins was the coordinator of the foreign exchange student program I was enrolled in. She had a nine year old son named Cody. I would babysit Cody every day after school for at least two to three hours. We would play Scrabble or he would read to me from Charlotte’s Web or The Ugly Duckling. He would talk a lot about his friends and school life, and I would listen to him and ask him the meanings of certain words. He was my first friend in the New World.
My second family was the Martinez family, who were friends of the Watkins’s. The host dad Michael was a high school English teacher and the host mom Jennifer (who had me call her “Jen”) taught elementary school. She had recently delivered a baby, so she was still in the hospital when I moved into their house. The Martinez family did almost everything together. We made pizza together, watched Shrek on their cozy couch together, and went fishing on Sunday together. On rainy days, Michael, Jen and I would sit on the porch and listen to the rain, talking about our dreams and thoughts. Within two months I was calling them mom and dad.
After I finished the exchange student program, I had the option of returning to Korea but I decided to stay in America. I wanted to see new places and meet different people. Since I wasn’t an exchange student anymore, I had the freedom--and burden--of finding a new school and host family on my own. After a few days of thorough investigation, I found the Struiksma family in California. They were a unique group.
The host mom Shellie was a single mom who had two of her own sons and two Russian daughters that she had adopted. The kids always had something warm to eat, and were always on their best behavior at home and in school. It would be fair to say that this was all due to Shellie’s upbringing. My room was on the first floor, right in front of Shellie’s hair salon, a small business that she ran out of her home. In the living room were six or seven huge amplifiers and a gigantic chandelier hung from the high ceiling. The kitchen had a bar. At first, the non-stop visits from strangers made me nervous, but soon I got used to them. I remember one night, a couple barged into my room while I was sleeping. It was awkward.
After a few months I realized we weren’t the best fit. In the nicest way possible, I told them I had to leave. They understood.
The Ortiz family was my fourth family. Kimberly, the host mom, treated me the same way she treated her own son. She made me do chores: I fixed dinner, fed their two dogs Sassy and Lady, and once a week I cleaned the bathroom. I also had to follow some rules: No food in my room, no using the family computer, no lights on after midnight, and no ride unless it was an emergency. The first couple of months were really hard to get used to, but eventually I adjusted.
I lived with the Ortiz family for seven months like a monk in the deep forest. However, the host dad Greg’s asthma got worse after winter, so he wanted to move to the countryside. It was unexpected and I only had a week to find a new host family. I asked my friend Danielle if I could live with her until I found a new home. That’s how I met the Dirksen family, my fifth family.
The Dirksen family had three kids. They were all different. Danielle liked bitter black coffee, Christian liked energy drinks, and Becca liked sweet lemon tea. Dawn, the host mom didn’t like winter, and Mark, the host dad, didn’t like summer. After dinner, we would all play Wii Sports together. I was the king of bowling, and Dawn was the queen of tennis. I don’t remember a single time that they argued about the games. Afterward, we would gather in the living room and Danielle would play the piano while the rest of us sang hymns.
Of course, those 28 months were too short to fully understand all five families, but I learned from and was shaped by each of them. By teaching me English, nine year-old Cody taught me the importance of being able to learn from anyone; the Martinez family showed me the value of spending time together as a family; the Struiksma family taught me to reserve judgment about divorced women and adopted children; Mrs. Ortiz taught me the value of discipline and the Dirksen family taught me the importance of appreciating one another’s different qualities.
Getting along with other people is necessary for anyone and living with five families has made me more sensitive to others’ needs: I have learned how to recognize when someone needs to talk, when I should give advice and when to simply listen, and when someone needs to be left alone; in the process, I have become much more adaptable. I’m ready to change, learn, and be shaped by my future families.
P10:THE "FOOD" COLLEGE ESSAY EXAMPLE
Montage Essay, “I Love/I Know” Type
I’ve spent most of my life as an anti-vegetable carboholic. For years, processed snack foods ruled the kitchen kingdom of my household and animal products outnumbered plant-based offerings.
My transformation began with my mom’s cancer diagnosis. My mom went on a 100% whole food plant-based diet. I fully embraced this new eating philosophy to show my support. Eager to figure out the whole “vegan” thing, the two of us started binge-watching health documentaries such as “What the Health” and “Forks Over Knives”. We read all the books by the featured doctors like “The China Study” and “How Not To Die”. I became entranced by the world of nutritional science and how certain foods could help prevent cancer or boost metabolism.
Each new food I discovered gave me an education on the role diet plays on health. I learned that, by eating sweet potatoes and brown rice, you could cure acne and heart disease. I discovered eating leafy greens with citrus fruits could boost iron absorption rates. I loved pairing my foods to create the perfect macronutrient balance. Did you know beans and rice make a complete protein?
Food has also turned me into a sustainability nut. Living plant-based also saves the planet from the impact of animal agriculture. For the same amount of land space, a farmer can produce 200 kilograms of soybeans versus 16 kilograms of beef. I do my part to have as small of an ecological footprint as I can. I stopped using plastic snack bags and instead turned to reusable beeswax wraps. My favorite reusable appliance is my foldable straw. If I am going to nourish my body, shouldn’t I also want to nourish the earth?
My journey toward healthy living led me to becoming co-leader of the Northern Nevada PlantPure Pod, “Biggest Little Plant Pod”, a group dedicated to spreading the message about the whole food plant-based lifestyle. We are currently working on a restaurant campaign to encourage local eateries to create a plant-based, oil-free menu option and become PlantPure certified. After discovering how many restaurants use oil in their cooking, I decided I needed to open a plant-based oil free cafe to make up for this gap. My dream is to open up my very own affordable oatmeal cafe based on my Instagram page, morning_mOATivations. And I know that oatmeal isn’t the sexiest superfood out there, so here’s my sales pitch: I’m going to make oatmeal the Beyonce of the breakfast world- sweet, sassy, and power packed. This allows me to educate people about nutritional science through the stomach.
Finally, I am a strong proponent of hands-on experience for learning what good food looks and tastes like, so cooking is one of my favorite ways to teach the benefits of a plant-based lifestyle. Using my taste buds as my textbook to learn which flavors work together and which ones don’t helps me educate, as I’ve found that information tends to stick in a person’s mind once they’ve experienced healthy, delicious foods with their own senses. Our society has taught us that delicious food has to make us feel guilty, when that is simply not the case. The best feeling in the world is falling in love with a dish and then learning all the health benefits that it provides the body.
While my classmates complain about being tired, I have more energy because my body is finally getting the right macros, vitamins, and minerals it needs. This has allowed me to push myself harder physically, excelling in running and earning my high school Cross Country team’s Most Improved award. I’m still a picky eater. But the foods I am particular about have changed. Rather than a carboholic, I choose to call myself a vegeholic.
P11:THE "HAPPINESS SPREADSHEET" COLLEGE ESSAY EXAMPLE
Montage Essay, “Essence Object” Type
Meditation over a flaxen sunset with a friend and parmesan-topped spaghetti for dinner — “14.” Assignments piling up on my desk as a high fever keeps me sick at home — “3.” Taking a photo excursion through downtown Seattle for a Spanish project — “15.” For the past 700 days and counting, the Happiness Spreadsheet has been my digital collection for documenting numerical, descriptive, and graphical representations of my happiness. Its instructions are simple: Open the Google Sheet, enter a number between 1 and 20 that best represents my level of happiness, and write a short comment describing the day. But the practical aspect of the spreadsheet is only a piece of what it has represented in my life.
A “14” etched on November 15, 2018, marked the first Lakeside Cooking on the Stove Club meeting. What had started as a farcical proposition of mine transformed into a playground where high school classmates and I convene every two weeks to prepare a savory afternoon snack for ourselves. A few months later, a “16” scribbled on February 27, 2019, marked the completion of a fence my Spanish class and I constructed for the dusty soccer field at a small Colombian village. Hard-fought days of mixing cement and transporting supplies had paid off for the affectionate community we had immediately come to love. The Happiness Spreadsheet doesn’t only reflect my own thoughts and emotions; it is an illustration of the fulfillment I get from gifting happiness to others.
If happiness paves the roads of my life, my family is the city intertwined by those roads — each member a distinct neighborhood, a distinct story. In times of stress, whether it be studying for an upcoming derivatives test or presenting my research at an international conference, I dash to my father for help. Coming from the dusty, people-packed backstreets of Thiruvananthapuram, India, he guides me in looking past the chaos and noticing the hidden accomplishments that lie in the corners. When in need of confidence, I find my mother, who taps her experiences living in her tranquil and sturdy tatami-covered home in Hiroshima, Japan, helping me prepare for my first high school dance or my final match in a tennis tournament. Whenever my Happiness Spreadsheet numbers touch lows, my family is always there to level me out to “10.”
The Happiness Spreadsheet is also a battery monitor for enthusiasm. On occasion, it is on full charge, like when I touched the last chord on the piano for my composition's winner recital or when, one frosty Friday morning, I convinced a teacher to play over the school speakers a holiday medley I’d recorded with a friend. Other times, the battery is depleted, and I am frustrated by writer's block, when not a single melody, chord, or musical construct crosses my mind. The Happiness Spreadsheet can be a hall of fame, but it can likewise be a catalog of mistakes, burdens, and grueling challenges.
The spreadsheet began on a typical school day when I left my physics class following the most confusing test I’d taken. The idea was born spontaneously at lunch, and I asked two of my friends if they were interested in pursuing this exercise with me. We thought the practice would last only a couple of weeks or months at most, but after reaching 700 days, we now wonder if we’ll ever stop. To this day, I ponder its full importance in my life. With every new number I enter, I recognize that each entry is not what defines me; rather, it is the ever-growing line connecting all the data points that reflects who I am today. With every valley, I force myself onward and with every mountain's peak, I recognize the valleys I’ve crossed to reach the summit. Where will the Happiness Spreadsheet take me next?
P12:THE "TRANSLATING" COLLEGE ESSAY EXAMPLE
Montage Essay, “Skill/Superpower” Type
".miK ijniM" This is how I wrote my name until I was seven. I was a left-handed kid who wrote from right to left, which made my writing comprehensible only to myself. Only after years of practice did I become an ambidextrous writer who could translate my incomprehensible writing. As I look back on my life, I realized that this was my first act of translation.
Translation means reinterpreting my Calculus teacher’s description of L’hospital’s rule into a useful tool for solving the limits. As I deciphered complex codes into comprehensible languages like rate of change and speed of an object, I gained the ability to solve even more complicated and fascinating problems. My Calculus teacher often told me, “It’s not until you can teach math concepts to somebody that you understand them completely.” Before I discovered the joy of teaching, I often explained difficult math concepts to my friends as a tool for reviewing what I’d learned. Now, I volunteer to tutor others: as a Korean tutor for friends who love Korean culture and a golf tutor for new team members. Tutoring is how I integrate and strengthen new concepts for myself.
My talent for translating also applies to my role as a “therapist” for my family and friends. I’m able to identify their real feelings beneath superficial words by translating hand-gestures, facial expressions, and tones. I often put myself into their situation and ask, "What emotional support would I want or need if I was in this situation?" Through these acts of translation, I’ve grown into a more reliable and perceptive friend, daughter, and sister.
However, my translation can't accurately account for the experiences I have yet to go through. After realizing the limitations of my experience, I created a bucket list full of activities out of my comfort zone, which includes traveling abroad by myself, publishing my own book, and giving a lecture in front of a crowd. Although it is a mere list written on the front page of my diary, I found myself vividly planning and picturing myself accomplishing those moments. By widening my experiences, I’ll be a therapist who can empathize fully and give meaningful advice based on rich experiences.
My knack for translating has led me to become a real-life Korean language translator. As an English to Korean letter translator in a non-profit organization, Compassion, I serve as a communication bridge between benefactors and children in developing countries, who communicate through monthly letters. I’ve translated hundreds of letters by researching each country to provide context that considers both cultural aspects and nuances of the language. This experience has motivated me to learn languages like Spanish and Mandarin. I’ve realized that learning various languages has been a journey of self-discovery: the way I talk and interact with people changed depending on the language I used. As I get to know more about myself through different languages, I grew more confident to meet new people and build new friendships.
While translating has been a huge part of my life, a professional translator is not my dream job. I want to be an ambulatory care clinical pharmacist who manages the medication of patients with chronic diseases. In fact, translating is a huge part of the job of a clinical pharmacist. I should substitute myself into patients’ situations to respond to their needs effectively, which requires my translating skill as a “therapist.” Moreover, as a clinical pharmacist, I’ll be the patients’ private tutor who not only guides them through the right use of medication but also gives them emotional support. As my qualities as a “therapist” and a “tutor” shaped me into a great translator, I will continue to develop my future as a clinical pharmacist by enhancing and discovering my qualities. In one form or another, I've always been and will be a translator.
P13:THE "WHY BEHAVIORAL ECONOMICS" COLLEGE ESSAY EXAMPLE
Montage Essay, “Career” Type
I sit, cradled by the two largest branches of the Newton Pippin Tree, watching the ether. The Green Mountains of Vermont stretch out indefinitely, and from my elevated vantage point, I feel as though we are peers, motionless in solidarity. I’ve lost my corporeal form and instead, while watching invisible currents drive white leviathans across the sky, have drifted up into the epistemological stream; completely alone with my questions, diving for answers. But a few months ago, I would have considered this an utter waste of time.
Prior to attending Mountain School, my paradigm was substantially limited; opinions, prejudices, and ideas shaped by the testosterone-rich environment of Landon School. I was herded by result-oriented, fast-paced, technologically-reliant parameters towards psychology and neuroscience (the NIH, a mere 2.11 mile run from my school, is like a beacon on a hill). I was taught that one’s paramount accomplishment should be specialization.
Subconsciously I knew this was not who I wanted to be and seized the chance to apply to the Mountain School. Upon my arrival, though, I immediately felt I did not belong. I found the general atmosphere of hunky-dory acceptance foreign and incredibly unnerving.
So, rather than engage, I retreated to what was most comfortable: sports and work. In the second week, the perfect aggregate of the two, a Broomball tournament, was set to occur. Though I had never played before, I had a distinct vision for it, so decided to organize it.
That night, the glow-in-the-dark ball skittered across the ice. My opponent and I, brooms in hand, charged forward. We collided and I banana-peeled, my head taking the brunt of the impact. Stubborn as I was, even with a concussion, I wanted to remain in class and do everything my peers did, but my healing brain protested. My teachers didn’t quite know what to do with me, so, no longer confined to a classroom if I didn’t want to be, I was in limbo. I began wandering around campus with no company except my thoughts. Occasionally, Zora, my English teacher’s dog, would tag along and we’d walk for miles in each other's silent company. Other times, I found myself pruning the orchard, feeding the school’s wood furnaces, or my new favorite activity, splitting wood. Throughout those days, I created a new-found sense of home in my head.
However, thinking on my own wasn’t enough; I needed more perspectives. I organized raucous late-night discussions about everything from medieval war machines to political theory and randomly challenged my friends to “say something outrageous and defend it.” And whether we achieve profundity or not, I find myself enjoying the act of discourse itself. As Thoreau writes, “Let the daily tide leave some deposit on these pages, as it leaves, the waves may cast up pearls.” I have always loved ideas, but now understand what it means to ride their waves, to let them breathe and become something other than just answers to immediate problems.
I am most enamored by ideas that cultivate ingenious and practical enrichments for humanity. I enjoy picking some conundrum, large or small, and puzzling out a solution. Returning from a cross country meet recently, my friend and I, serendipitously, designed a socially responsible disposable water bottle completely on accident. Now we hope to create it.
I am still interested in psychology and neuroscience, but also desire to incorporate contemplative thought into this work, analyzing enigmas from many different perspectives. My internships at the NIH and the National Hospital for Neuroscience and Neurosurgery in London have offered me valuable exposure to research and medicine. But I have come to realize that neither of my previous intended professions allow me to expand consciousness in the way I would prefer.
After much soul-searching, I have landed on behavioral economics as the perfect synergy of the fields I love. All it took was a knock on the head.
P14:THE "5 FAMILY IDENTITIES" COLLEGE ESSAY EXAMPLE
Montage, “Identity” Type
“Chris, what would you like to have for Christmas Dinner?”
Suddenly, a miniature gathering of the European Commission glares straight at me. I feel the pressure of picking one option over the other.
What do I choose? The Roast Duck of Denmark, the Five Fish of Italy, the Turkey of Great Britain, or the Ham of the U.S.? Like the various nations of the European Union, the individual proponents of these culinary varieties are lobbying their interests to me, a miniature Jean-Claude Junker.
Now, you may be asking yourselves: why would I be so pensive over a meal choice?
See, I have been blessed to be a part of what my mother calls the “melting pot of Europe.” While I was born in England, my brothers were born in Denmark and New York. I have a Swedish sister-in-law, Italian Aunts, an English Uncle, Romanian cousins and an Italo-Danish immigrant father. Every year, that same family gathers together in New York City to celebrate Christmas. While this wonderful kaleidoscope of cultures has caused me to be the ‘peacekeeper’ during meal arbitrations, it has fundamentally impacted my life.
Our family’s ethnic diversity has meant that virtually each person adheres to a different position on the political spectrum. This has naturally triggered many discussions, ranging from the merits of European single-payer healthcare to those of America’s gun laws, that have often animated our meals. These exact conversations drove me to learn more about what my parents, grandparents, and other relatives were debating with a polite and considerate passion. This ongoing discourse on current events not only initiated my interests in politics and history, but also prepared me greatly for my time as a state-champion debater for Regis’s Public Forum team. In turn, participating in debate has expanded my knowledge regarding matters ranging from civil rights reparations to American redeployment in Iraq, while enriching my capacities to thoughtfully express my views on those and other issues, both during P.F. rounds and at the dinner table.
Just as I’ve learned to understand and bridge the divides between a rich tapestry of cultures in order to develop my familial relations, society’s leadership must also do the same on a grander scale. This awareness incited a passion for statecraft within me – the very art of balancing different perspectives - and therefore a desire to actively engage in government. With my experiences in mind, I felt there was no better place to start than my own neighborhood of Bay Ridge. Young hipsters, a high concentration of seniors, Italian & Irish middle class families, and a growing population of Middle-Eastern Americans help to comprise a district that I have begun serving as the first teenaged member of my local Community Board. Within my public service capacity, I am committed to making policy judgments (for example, regarding hookah bars, zoning regulations, and park renovation expenses) that are both wise and respectful of my community’s diversity.
Most importantly, my family has taught me an integral life lesson. As our Christmas Dinner squabbles suggest, seemingly insurmountable impasses can be resolved through respect and dialogue, even producing delicious results! On a grander scale, it has elucidated that truly inclusive discourse and toleration of diverse perspectives render tribalism, sectarianism, and the divisive aspects of identity politics powerless over our cohesion. I fundamentally value cultural, political, and theological variety; my own microcosm reflecting our global society at large has inspired me to strive to solve the many conflicts of bitterness and sectionalism in our world today. This vocation may come in the form of political leadership that truly respects all perspectives and philosophies, or perhaps as diplomacy facilitating unity between the various nations of the world. The problems I would need to help remedy are numerous and daunting, but our annual Christmas feasts will forever remind me that they can be overcome, and that humanity’s diversity is not a weakness, but a definitive strength.
P15:THE "Coffeeshops + Coffee" COLLEGE ESSAY EXAMPLE
Montage Essay, “Home” Type
Before I came to America, I drank Puer Tea with my father every morning in my bedroom, sitting cross-legged on Suzhou-silk mats beside a view of the Lakeside reservoir. Beside a dark end table, we picked up teacups as the mild aroma greeted our noses. As we faced the French window, my father would share the news he read in China Daily: the Syrian civil war, climate change, and gender equality in Hollywood. Most of the time, I only listened. With each piece of news, my curiosity piqued. Secretly, I made a decision that I wanted to be the one to discuss the news with him from my perspective. So, I decided to study in America to learn more about the world.
After one year’s extensive research and hours of interviews, I came to America for 9th grade and moved in with a host family. But, my new room lacked stories and cups of tea. Fortunately, I found Blue House Cafe on my walk home from church, and started studying there. With white walls, comfortable sofas, and high stools, Blue House is spacious and bright. Hearing people’s stories and looking at their warm smiles when they taste various pastries as I sat by the window, I watched as a production designer scouted locations for his film, or a painter took notes while brainstorming for his freehand brushwork of Blue House. With a cup of coffee, I dig into differential and parametric equations for my upcoming AP Calculus test, learn the nuances of public speaking by watching Michael Sandel’s Justice lectures on my laptop, and plan fundraising events for my non-profit.
I’ve also learned by watching leaders host meetings at the rectangle conference table at the back of the cafe and I learn from the leaders of meetings, watching as they hold the edge of the table and express their ideas. Similarly, as president of the International Students Club, I invited my teammates to have meetings with me at the cafe. Coordinating the schedule with other members in Blue House has become a frequent event. Consuming several cups of coffee, my team and I have planned Lunar New Year events, field trip to the Golden Gate Bridge, and Chinese lunch in school to help international students feel more at home. Straightening my back and bracing my shoulders, I stood up behind the conference table and expressed my creative ideas passionately. After each meeting, we shared buttermilk coffee-cake.
In my spot next to the window, I also witnessed different kinds of people. I viewed visitors dragging their luggage, women carrying shopping bags, and people wandering in tattered clothes --the diversity of San Francisco. Two years ago I saw volunteers wearing City Impact shirts offering sandwiches and hot chocolate to homeless people outside of the cafe. I investigated more about City Impact and eventually signed up to volunteer. No longer was I a bystander. At holiday outreach events, I prepared and delivered food to homeless people. While sharing my coffee, I listened to a story from an older Chinese man who told me, in Mandarin, how he had been abandoned by his children and felt lonely.
Last summer, I returned to Xiamen, China, and taught my father how to drink coffee. Now, a Chemex and teapot are both on the end table. Instead of simply listening, I shared my experiences as a club president, a community leader, and a volunteer. I showed him my business plan and prototypes. My father raised his cup of coffee and made a toast to me, “Good girl! I am so proud of you.” Then, he patted my head as before. Together, we emptied our cups while the smell of coffee lingered.
P16:THE "KOMBUCHA CLUB" COLLEGE ESSAY EXAMPLE
Montage Essay, “Uncommon Extracurricular Activity” Type
I add the critically measured sugary tea mixture to the gallon jar containing the slimy, white, disc-shaped layers of the symbiotic culture of bacteria and yeast.
Now to wait.
After exactly seven days, I pour the liquid into a fermentation-grade glass bottle with a ratio of 20% pomegranate juice and 80% fermented tea. I place it on my kitchen counter, periodically checking it to relieve the built-up CO2.
Finally, after an additional seventy-two hours, the time comes to try it. I crack the seal on the bottle, leaning over to smell what I assume will be a tangy, fruity, delicious pomegranate solution. and it smells like rotten eggs. The insufferable stench fills my nostrils and crushes my confidence. I'm momentarily taken aback, unable to understand how I went wrong when I followed the recipe perfectly.
My issue wasn't misreading the recipe or failing to follow a rule, it was bypassing my creative instincts and forgetting the unpredictable nature of fermentation. I needed to trust the creative side of kombucha— the side that takes people's perfectionist energy and explodes it into a puddle of rotten egg smelling 'booch (my preferred name for the drink- not "fermented, effervescent liquid from a symbiotic culture of acetic acid bacteria and yeast"). I was too caught up in the side that requires extreme preciseness to notice when the balance between perfectionism and imperfectionism was being thrown off. The key, I have learned, is knowing when to prioritize following the recipe and when to let myself be creative. Sure, there are scientific variables such as proximity to heat sources and how many grams of sugar to add. But, there's also person-dependent variables like how long I decide to ferment it, what fruits I decide will be a fun combination, and which friend I got my first SCOBY from (taking "symbiotic" to a new level).
I often find myself feeling pressured to choose one side or the other, one extreme over the alternative. I've been told that I can either be a meticulous scientist or a messy artist, but to be both is an unacceptable contradiction. However, I choose a grey area; a place where I can channel my creativity into the sciences, as well as channel my precision into my photography.
I still have the first photo I ever took on the first camera I ever had. Or rather, the first camera I ever made. Making that pinhole camera was truly a painstaking process: take a cardboard box, tap it shut, and poke a hole in it. Okay, maybe it wasn't that hard. But learning the exact process of taking and developing a photo in its simplest form, the science of it, is what drove me to pursue photography. I remember being so unhappy with the photo I took; it was faded, underexposed, and imperfect. For years, I felt incredibly pressured to try and perfect my photography. It wasn't until I was defeated, staring at a puddle of kombucha, that I realized that there doesn't always have to be a standard of perfection in my art, and that excited me.
So, am I a perfectionist? Or do I crave pure spontaneity and creativity? Can I be both?
Perfectionism leaves little to be missed. With a keen eye, I can quickly identify my mistakes and transform them into something with purpose and definitude. On the other hand, imperfection is the basis for change and for growth. My resistance against perfectionism is what has allowed me to learn to move forward by seeing the big picture; it has opened me to new experiences, like bacteria cross-culturing to create something new, something different, something better. I am not afraid of change or adversity, though perhaps I am afraid of conformity. To fit the mold of perfection would compromise my creativity, and I am not willing to make that sacrifice.
P17:THE "MOMENTS WHERE THE SECONDS STAND STILL" COLLEGE ESSAY EXAMPLE
Montage Essay, “Other/Advanced” type
I hold onto my time as dearly as my Scottish granny holds onto her money. I’m careful about how I spend it and fearful of wasting it. Precious minutes can show someone I care and can mean the difference between accomplishing a goal or being too late to even start and my life depends on carefully budgeting my time for studying, practicing with my show choir, and hanging out with my friends. However, there are moments where the seconds stand still.
It is already dark when I park in my driveway after a long day at school and rehearsals. I can’t help but smile when I see my dog Kona bounce with excitement, then slide across the tile floor to welcome me as I open the door. I run with him into my parent’s bedroom, where my mom, dad, and sister are waiting for me. We pile onto my parents’ bed to talk about what’s going on in our lives, plan our next trip to the beach, tell jokes, and “spill tea.” They help me see challenges with a realistic perspective, grounding me in what matters. Not paying attention to the clock, I allow myself to relax for a brief moment in my busy life.
Laughter fills the show choir room as my teammates and I pass the time by telling bad jokes and breaking out in random bursts of movement. Overtired, we don’t even realize we’re entering the fourth hour of rehearsal. This same sense of camaraderie follows us onstage, where we become so invested in the story we are portraying we lose track of time. My show choir is my second family. I realize I choreograph not for recognition, but to help sixty of my best friends find their footing. At the same time, they help me find my voice.
The heavy scuba gear jerks me under the icy water, and exhilaration washes over me. Lost in the meditative rolling effect of the tide and the hum of the vast ocean, I feel present. I dive deeper to inspect a vibrant community of creatures, and we float together, carefree and synchronized. My fascination with marine life led me to volunteer as an exhibit interpreter for the Aquarium of the Pacific, where I share my love for the ocean. Most of my time is spent rescuing animals from small children and, in turn, keeping small children from drowning in the tanks. I’ll never forget the time when a visiting family and I were so involved in discussing ocean conservation that, before I knew it, an hour had passed. Finding this mutual connection over the love of marine life and the desire to conserve the ocean environment keeps me returning each summer.
“Why don’t we have any medical supplies?” The thought screams through my mind as I carry a sobbing girl on my back across campus in search of an ice pack and ankle wrap. She had just fallen while performing, and I could relate to the pain and fear in her eyes. The chaos of the show becomes distant, and I devote my time to bringing her relief, no matter how long it may take. I find what I need to treat her injury in the sports medicine training room. I didn’t realize she would be the first of many patients I would tend to in this training room. Since then, I’ve launched a sports medicine program to provide care to the 500-person choir program.
Saturday morning bagels with my family. Singing backup for Barry Manilow with my choir. Swimming with sea turtles in the Pacific. Making my teammate smile even though he’s in pain. These are the moments I hold onto, the ones that define who I am, and who I want to be. For me, time isn’t just seconds ticking by on a clock, it’s how I measure what matters.
P18:THE "IDENTIFYING AS TRANS" COLLEGE ESSAY EXAMPLE
Narrative Essay, “Challenges” Type
“Mommy I can’t see myself.”
I was six when I first refused/rejected girl’s clothing, eight when I only wore boy’s clothing, and fifteen when I realized why. When gifted dresses I was told to “smile and say thank you” while Spiderman shirts took no prompting from me, I’d throw my arms around the giver and thank them. My whole life has been others invading my gender with their questions, tears signed by my body, and a war against my closet. Fifteen years and I finally realized why, this was a girl’s body, and I am a boy.
Soon after this, I came out to my mom. I explained how lost I felt, how confused I was, how “I think I’m Transgender.” It was like all those years of being out of place had led to that moment, my truth, the realization of who I was. My mom cried and said she loved me.
The most important factor in my transition was my mom’s support. She scheduled me an appointment with a gender therapist, let me donate my female clothes, and helped build a masculine wardrobe. With her help, I went on hormones five months after coming out and got surgery a year later. I finally found myself, and my mom fought for me, her love was endless. Even though I had friends, writing, and therapy, my strongest support was my mother.
On August 30th, 2018 my mom passed away unexpectedly. My favorite person, the one who helped me become the man I am today, ripped away from me, leaving a giant hole in my heart and in my life.
Life got dull. Learning how to wake up without my mom every morning became routine. Nothing felt right, a constant numbness to everything, and fog brain was my kryptonite. I paid attention in class, I did the work, but nothing stuck. I felt so stupid, I knew I was capable, I could solve a Rubik’s cube in 25 seconds and write poetry, but I felt broken. I was lost, I couldn’t see myself, so stuck on my mother that I fell into an ‘It will never get better’ mindset.
It took over a year to get out of my slump. 25 therapy sessions, over 40 poems, not a single one didn’t mention my mom. I shared my writing at open mics, with friends, and I cried every time. I embraced the pain, the hurt, and eventually, it became the norm. I grew used to not having my mom around.
My mom always wanted to change the world, to fix the broken parts of society. She didn’t get to. Now that I’m in a good place, mentally and physically, I’m going to make that impact. Not just for her, but for me, and all the people who need a support branch as strong as the one my mom gave me.
I’m starting with whats impacted me most of my life, what’s still in front of me, being Transgender in the school system. For my senior project, I am using my story and experience as a young Transgender man to inform local schools, specifically the staff, about the do’s and dont’s of dealing with a Transgender student. I am determined to make sure no one feels as alone as I did. I want to be able to reach people, and use motivational speaking as the platform.
After experiencing many twists and turns in my life, I’m finally at a good spot. I know what I want to do with my life, and I know how I’m going to get there.
Mom, I can see myself now. Thank you.
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English
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16k
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T6. Aggregation & Clustering
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T6.2 Targeted Subset Cluster Identification
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Partial
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The document contains 18 personal statement essays. Please return the article IDs (such as "P1") that meet the following three conditions. Output the "[Answer]" identifier first, and then output the answer article IDs that meet the conditions line by line, without any additional content.
Three conditions:
Condition 1: The author explicitly mentions face-to-face service or assistance experiences involving direct interaction with others (e.g., volunteer work, tutoring, customer service, etc.).
Condition 2: The author explicitly mentions learning or using a foreign language (including classroom learning, self-study, or real-life communication).
Condition 3: The main narrative of the essay does not revolve around family members (family members may be mentioned, but they are not the core theme or emotional focus of the essay).lease list all article IDs that meet these conditions, return only the article IDs without any analytical content, and output the IDs on separate lines.
Output example:
[Answer]
P1
P7
P18
|
The document contains 18 personal statement essays. Please return the article IDs (such as "P1") that meet the following three conditions. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the answer article IDs that meet the conditions line by line, without any additional content.
Three conditions:
Condition 1: The author explicitly mentions face-to-face service or assistance experiences involving direct interaction with others (e.g., volunteer work, tutoring, customer service, etc.).
Condition 2: The author explicitly mentions learning or using a foreign language (including classroom learning, self-study, or real-life communication).
Condition 3: The main narrative of the essay does not revolve around family members (family members may be mentioned, but they are not the core theme or emotional focus of the essay).lease list all article IDs that meet these conditions, return only the article IDs without any analytical content, and output the IDs on separate lines.
Output example:
<Your thinking process>
[Answer]
P1
P7
P18
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[
"P4",
"P12"
] |
Extreme
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013b306d48f2253d228353c398bffaed47ae1e9805430b6473ac22dca51859d6
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Case Studies: High-Profile Cases of Privacy Violation
Case Studies: Recent FTC Enforcement Actions - High-Profile Cases of Privacy Violation: Uber, Emp Media, Lenovo, Vizio, VTech, LabMD
Uber Technologies
The scenario: In August 2018, the FTC announced an expanded settlement with Uber Technologies for its alleged failure to reasonably secure sensitive data in the cloud, resulting in a data breach of 600,000 names and driver’s license numbers, 22 million names and phone numbers, and more than 25 million names and email addresses.
The settlement: The expanded settlement is a result of Uber’s failure to disclose a significant data breach that occurred in 2016 while the FTC was conducting its investigation that led to the original settlement. The revised proposed order includes provisions requiring Uber to disclose any future consumer data breaches, submit all reports for third-party audits of Uber’s privacy policy and retain reports on unauthorized access to consumer data.2
Emp Media Inc. (Myex.com)
The scenario: The FTC joined forces with the State of Nevada to address privacy issues arising from the “revenge” pornography website, Myex.com, run by Emp Media Inc. The website allowed individuals to submit intimate photos of the victims, including personal information such as name, address, phone number and social media accounts. If a victim wanted their photos and information removed from the website, the defendants reportedly charged fees of $499 to $2,800 to do so.
The settlement: On June 15, 2018, the enforcement action brought by the FTC led to a shutdown of the website and permanently prohibited the defendants from posting intimate photos and personal information of other individuals without their consent. The defendants were also ordered to pay more than $2 million.3
Lenovo and Vizio
The scenario:1 In 2018, FTC enforcement actions led to large settlements with technology manufacturers Lenovo and Vizio. 2The Lenovo settlement related to allegations the company sold computers in the U.S. 3with pre-installed software that sent consumer information to third parties without the knowledge of the users. 4With the New Jersey Office of Attorney General, the FTC also brought an enforcement action against Vizio, a manufacturer of “smart” televisions.5 Vizio entered into a settlement to resolve allegations it installed software on its televisions to collect consumer data without the knowledge or consent of consumers and sold the data to third parties.
The settlement: Lenovo entered into a consent agreement to resolve the allegations through a decision and order issued by the FTC. The company was ordered to obtain affirmative consent from consumers before running the software on their computers and implement a software security program on preloaded software for the next 20 years.4 Vizio agreed to pay $2.2 million, delete the collected data, disclose all data collection and sharing practices, obtain express consent from consumers to collect or share their data, and implement a data security program.5
VTech
The scenario: The FTC’s action against toy manufacturer VTech was the first time the FTC became involved in a children’s privacy and security matter. The settlement: In January 2018, the company entered into a settlement to pay $650,000 to resolve allegations it collected personal information from children without obtaining parental consent, in violation of COPPA. VTech was also required to implement a data security program that is subject to audits for the next 20 years.6
LabMD
The scenario: LabMD, a cancer-screening company, was accused by the FTC of failing to reasonably protect consumers’ medical information and other personal data. Identity thieves allegedly obtained sensitive data on LabMD consumers due to the company’s failure to properly safeguard it. The billing information of 9,000 consumers was also compromised. The settlement: After years of litigation, the case was heard before the U.S. Court of Appeals for the Eleventh Circuit. LabMD argued, in part, that data security falls outside of the FTC’s mandate over unfair practices. The Eleventh Circuit issued a decision in June 2018 that, while not stripping the FTC of authority to police data security, did challenge the remedy imposed by the FTC.7 The court ruled that the cease-and-desist order issued by the FTC against LabMD was unenforceable because the order required the company to implement a data security program that needed to adhere to a standard of “reasonableness” that was too vague.8
The ruling points to the need for the FTC to provide greater specificity in its cease-and-desist orders about what is required by companies that allegedly fail to safeguard consumer data.
Endnotes
1. 15 U.S.C. § 45(a)(1)
2. www.ftc.gov/news-events/press-releases/2018/04/uber-agrees-expanded-settlement-ftc-related-privacy-security
3. www.ftc.gov/system/files/documents/cases/emp_order_granting_default_judgment_6-22-18.pdf
4. www.ftc.gov/news-events/press-releases/2018/01/ftc-gives-final-approval-lenovo-settlement
5. www.ftc.gov/news-events/press-releases/2017/02/vizio-pay-22-million-ftc-state-newjersey-settle-charges-it
6. www.ftc.gov/news-events/press-releases/2018/01/electronic-toy-maker-vtech-settlesftc-allegations-it-violated
7. The United States Court of Appeals for the Third Circuit has rejected this argument. See FTC v. Wyndham Worldwide Corp., 799 F.3d 236, 247-49 (2015).
8. www.media.ca11.uscourts.gov/opinions/pub/files/201616270.pdf
FTC Imposes $5 Billion Penalty and Sweeping New Privacy Restrictions on Facebook
FTC settlement imposes historic penalty, and significant requirements to boost accountability and transparency
July 24, 2019
NOTE: The FTC hosted an IN-PERSON press conference at FTC Headquarters, 600 Pennsylvania Ave, NW, Washington D.C., on July 24, 2019. Watch archival video of the press conference.
Participants included: FTC Chairman Joe Simons, FTC Commissioners Noah Joshua Phillips and Christine S. Wilson, and Gustav W. Eyler, Director of the Department of Justice Civil Division’s Consumer Protection Branch.
Facebook, Inc. will pay a record-breaking $5 billion penalty, and submit to new restrictions and a modified corporate structure that will hold the company accountable for the decisions it makes about its users’ privacy, to settle Federal Trade Commission charges that the company violated a 2012 FTC order by deceiving users about their ability to control the privacy of their personal information.
The $5 billion penalty against Facebook is the largest ever imposed on any company for violating consumers’ privacy and almost 20 times greater than the largest privacy or data security penalty ever imposed worldwide. It is one of the largest penalties ever assessed by the U.S. government for any violation.
The settlement order announced today also imposes unprecedented new restrictions on Facebook’s business operations and creates multiple channels of compliance. The order requires Facebook to restructure its approach to privacy from the corporate board-level down, and establishes strong new mechanisms to ensure that Facebook executives are accountable for the decisions they make about privacy, and that those decisions are subject to meaningful oversight.
“Despite repeated promises to its billions of users worldwide that they could control how their personal information is shared, Facebook undermined consumers’ choices,” said FTC Chairman Joe Simons. “The magnitude of the $5 billion penalty and sweeping conduct relief are unprecedented in the history of the FTC. The relief is designed not only to punish future violations but, more importantly, to change Facebook’s entire privacy culture to decrease the likelihood of continued violations. The Commission takes consumer privacy seriously, and will enforce FTC orders to the fullest extent of the law.”
“The Department of Justice is committed to protecting consumer data privacy and ensuring that social media companies like Facebook do not mislead individuals about the use of their personal information,” said Assistant Attorney General Jody Hunt for the Department of Justice’s Civil Division. “This settlement’s historic penalty and compliance terms will benefit American consumers, and the Department expects Facebook to treat its privacy obligations with the utmost seriousness.”
More than 185 million people in the United States and Canada use Facebook on a daily basis. Facebook monetizes user information through targeted advertising, which generated most of the company’s $55.8 billion in revenues in 2018. To encourage users to share information on its platform, Facebook promises users they can control the privacy of their information through Facebook’s privacy settings.
Following a yearlong investigation by the FTC, the Department of Justice will file a complaint on behalf of the Commission alleging that Facebook repeatedly used deceptive disclosures and settings to undermine users’ privacy preferences in violation of its 2012 FTC order. These tactics allowed the company to share users’ personal information with third-party apps that were downloaded by the user’s Facebook “friends.” The FTC alleges that many users were unaware that Facebook was sharing such information, and therefore did not take the steps needed to opt-out of sharing.
In addition, the FTC alleges that Facebook took inadequate steps to deal with apps that it knew were violating its platform policies.
In a related, but separate development, the FTC also announced today separate law enforcement actions against data analytics company Cambridge Analytica, its former Chief Executive Officer Alexander Nix, and Aleksandr Kogan, an app developer who worked with the company, alleging they used false and deceptive tactics to harvest personal information from millions of Facebook users. Kogan and Nix have agreed to a settlement with the FTC that will restrict how they conduct any business in the future.
New Facebook Order Requirements
To prevent Facebook from deceiving its users about privacy in the future, the FTC’s new 20-year settlement order overhauls the way the company makes privacy decisions by boosting the transparency of decision making and holding Facebook accountable via overlapping channels of compliance.
The order creates greater accountability at the board of directors level. It establishes an independent privacy committee of Facebook’s board of directors, removing unfettered control by Facebook’s CEO Mark Zuckerberg over decisions affecting user privacy. Members of the privacy committee must be independent and will be appointed by an independent nominating committee. Members can only be fired by a supermajority of the Facebook board of directors.
The order also improves accountability at the individual level. Facebook will be required to designate compliance officers who will be responsible for Facebook’s privacy program. These compliance officers will be subject to the approval of the new board privacy committee and can be removed only by that committee—not by Facebook’s CEO or Facebook employees. Facebook CEO Mark Zuckerberg and designated compliance officers must independently submit to the FTC quarterly certifications that the company is in compliance with the privacy program mandated by the order, as well as an annual certification that the company is in overall compliance with the order. Any false certification will subject them to individual civil and criminal penalties.
The order also strengthens external oversight of Facebook. The order enhances the independent third-party assessor’s ability to evaluate the effectiveness of Facebook’s privacy program and identify any gaps. The assessor’s biennial assessments of Facebook’s privacy program must be based on the assessor’s independent fact-gathering, sampling, and testing, and must not rely primarily on assertions or attestations by Facebook management. The order prohibits the company from making any misrepresentations to the assessor, who can be approved or removed by the FTC. Importantly, the independent assessor will be required to report directly to the new privacy board committee on a quarterly basis. The order also authorizes the FTC to use the discovery tools provided by the Federal Rules of Civil Procedure to monitor Facebook’s compliance with the order.
As part of Facebook’s order-mandated privacy program, which covers WhatsApp and Instagram, Facebook must conduct a privacy review of every new or modified product, service, or practice before it is implemented, and document its decisions about user privacy. The designated compliance officers must generate a quarterly privacy review report, which they must share with the CEO and the independent assessor, as well as with the FTC upon request by the agency. The order also requires Facebook to document incidents when data of 500 or more users has been compromised and its efforts to address such an incident, and deliver this documentation to the Commission and the assessor within 30 days of the company’s discovery of the incident.
Additionally, the order imposes significant new privacy requirements, including the following:
Facebook must exercise greater oversight over third-party apps, including by terminating app developers that fail to certify that they are in compliance with Facebook’s platform policies or fail to justify their need for specific user data;
Facebook is prohibited from using telephone numbers obtained to enable a security feature (e.g., two-factor authentication) for advertising;
Facebook must provide clear and conspicuous notice of its use of facial recognition technology, and obtain affirmative express user consent prior to any use that materially exceeds its prior disclosures to users;
Facebook must establish, implement, and maintain a comprehensive data security program;
Facebook must encrypt user passwords and regularly scan to detect whether any passwords are stored in plaintext; and
Facebook is prohibited from asking for email passwords to other services when consumers sign up for its services.
Alleged Violations of 2012 Order
The settlement stems from alleged violations of the FTC’s 2012 settlement order with Facebook. Among other things, the 2012 order prohibited Facebook from making misrepresentations about the privacy or security of consumers’ personal information, and the extent to which it shares personal information, such as names and dates of birth, with third parties. It also required Facebook to maintain a reasonable privacy program that safeguards the privacy and confidentiality of user information.
The FTC alleges that Facebook violated the 2012 order by deceiving its users when the company shared the data of users’ Facebook friends with third-party app developers, even when those friends had set more restrictive privacy settings.
In May 2012, Facebook added a disclosure to its central “Privacy Settings” page that information shared with a user’s Facebook friends could also be shared with the apps used by those friends. The FTC alleges that four months after the 2012 order was finalized in August 2012, Facebook removed this disclosure from the central “Privacy Settings” page, even though it was still sharing data from an app user’s Facebook friends with third-party developers.
Additionally, Facebook launched various services such as “Privacy Shortcuts” in late 2012 and “Privacy Checkup” in 2014 that claimed to help users better manage their privacy settings. These services, however, allegedly failed to disclose that even when users chose the most restrictive sharing settings, Facebook could still share user information with the apps of the user’s Facebook friends—unless they also went to the “Apps Settings Page” and opted out of such sharing. The FTC alleges the company did not disclose anywhere on the Privacy Settings page or the “About” section of the profile page that Facebook could still share information with third-party developers on the Facebook platform about an app users Facebook friends.
Facebook announced in April 2014 that it would stop allowing third-party developers to collect data about the friends of app users (“affected friend data”). Despite this promise, the company separately told developers that they could collect this data until April 2015 if they already had an existing app on the platform. The FTC alleges that Facebook waited until at least June 2018 to stop sharing user information with third-party apps used by their Facebook friends.
In addition, the complaint alleges that Facebook improperly policed app developers on its platform. The FTC alleges that, as a general practice, Facebook did not screen the developers or their apps before granting them access to vast amounts of user data. Instead, Facebook allegedly only required developers to agree to Facebook’s policies and terms when they registered their app with the Facebook Platform. The company claimed to rely on administering consequences for policy violations that subsequently came to its attention after developers had already received data about Facebook users. The complaint alleges, however, that Facebook did not enforce such policies consistently and often based enforcement of its policies on whether Facebook benefited financially from its arrangements with the developer, and that this practice violated the 2012 order’s requirement to maintain a reasonable privacy program.
The FTC also alleges that Facebook misrepresented users’ ability to control the use of facial recognition technology with their accounts. According to the complaint, Facebook’s data policy, updated in April 2018, was deceptive to tens of millions of users who have Facebook’s facial recognition setting called “Tag Suggestions” because that setting was turned on by default, and the updated data policy suggested that users would need to opt-in to having facial recognition enabled for their accounts.
In addition to these violations of its 2012 order, the FTC alleges that Facebook violated the FTC Act’s prohibition against deceptive practices when it told users it would collect their phone numbers to enable a security feature, but did not disclose that it also used those numbers for advertising purposes.
The Commission vote to refer the complaint and stipulated final order to the Department of Justice for filing was 3-2. The Department will file the complaint and stipulated final order in the U.S. District Court for the District of Columbia. Chairman Simons along with Commissioners Noah Joshua Phillips and Christine S. Wilson issued a statement on this matter. Commissioners Rohit Chopra and Rebecca Kelly Slaughter issued separate statements on this matter.
NOTE: The Commission files a complaint when it has “reason to believe” that the named defendants are violating or are about to violate the law and it appears to the Commission that a proceeding is in the public interest. Stipulated final orders have the force of law when approved and signed by the district court judge.
The Federal Trade Commission works to promote competition, and protect and educate consumers. You can learn more about consumer topics and file a consumer complaint online or by calling 1-877-FTC-HELP (382-4357). Like the FTC on Facebook, follow us on Twitter, read our blogs, and subscribe to press releases for the latest FTC news and resources.
Privacy Policy
Enzuzo, Inc. Privacy Policy
1.Introdution
At Enzuzo, Inc. , d/b/a Enzuzo ("us", "we", "our" or the "Company") we value your privacy and the importance of safeguarding your data. This Privacy Policy (the "Policy") describes our privacy practices for the activities set out below. As per your rights, we inform you how we collect, store, access, and otherwise process information relating to individuals. In this Policy, personal data (“Personal Data”) refers to any information that on its own, or in combination with other available information, can identify an individual.
We are committed to protecting your privacy in accordance with the highest level of privacy regulation. As such, we follow the obligations under the below regulations:
· Canada's Personal Information Protection and Electronic Documents Act (PIPEDA) and the applicable provincial legislations
· Quebec Law 25
· the EU's General Data Protection Regulation (GDPR)
· Brazil’s Data Protection Legislation (LGPD)
· California's Consumer Privacy Act (CCPA) / California Privacy Rights Act (CPRA) and California Online Privacy Protection Act (CalOPPA)
· Colorado Privacy Act (CPA)
· Utah Consumer Privacy Act (UCPA)
· Connecticut Data Privacy Act (CTDPA)
· Virginia Consumer Data Protection Act (VCDPA)
· Texas Data Privacy and Security Act (TDPSA)
· Oregon Consumer Privacy Act (OCPA)
· Montana Consumer Data Privacy Act
· Delaware Personal Data Privacy Act
· Nebraska Data Privacy Law
· New Hampshire Data Privacy Act
· New Jersey Data Privacy Act
· Minnesota Consumer Data Privacy Act
· Maryland Online Consumer Protection Act
· South Africa’s Protection of Personal Information Act (POPIA)
· Switzerland's Federal Act on Data Protection (FADP)
· Saudi Arabia's Personal Data Protection Law (PDPL)
Scope
This policy applies to the Enzuzo, Inc. websites, domains, applications, services, and products.
This Policy does not apply to third-party applications, websites, products, services or platforms that may be accessed through (non-Enzuzo, Inc.) links that we may provide to you. These sites are owned and operated independently from us, and they have their own separate privacy and data collection practices. Any Personal Data that you provide to these websites will be governed by the third-party’s own privacy policy. We cannot accept liability for the actions or policies of these independent sites, and we are not responsible for the content or privacy practices of such sites.
Processing Activities
This Policy applies when you interact with us by doing any of the following:
· Make use of our application and services as an authorized user
· Visit any of our websites that link to this Privacy Statement
· Receive any communication from us including newsletters, emails, calls, or texts / SMS
This privacy policy was generated by our data privacy and compliance vendor, Enzuzo, using information and details specific to our business.
2.Personal Data We Collect
What Personal Data We Collect
When you make a purchase, or attempt to make a purchase, we collect the following types of Personal Data:
This includes:
· Account Information such as your name, email address, and password
· Payment Information such as your billing address, phone number, credit card, debit card or other payment method
· Financial Information including credit card numbers
· Purchase Information specifically if personalized or unique
· Mobile device specific identifiers such as make and model, IMEI and phone number
· Location Data
When you use our products and/or features, we collect the following types of Personal Data:
· Account Information such as your name, email address, and password
· Payment Information such as your billing address, phone number, credit card, debit card or other payment method
· Financial Information including credit card numbers
· Purchase Information specifically if personalized or unique
· Mobile device specific identifiers such as make and model, IMEI and phone number
· Location Data
· Feedback, such as customer support or product reviews
· Social Media Information
· Product information, such as serial number, product registration, licensing information
We also collect the following Sensitive Personal Data. When collecting this data, we will ensure to get your explicit consent:
How We Collect Your Personal Data
We collect Personal Data from the following sources:
From You. You may give us your Account Information, Payment Information, Financial Information, Demographic Data, Purchase Information, Content, Feedback, Product Information, by filling in forms, using our products or services, entering information online or by corresponding with us by post, phone, email or otherwise. This includes Personal Data you provide, for example, when you:
· Create an account or purchase products on our website;
· Use our products or services;
· Create content through our products or services;
· Express interest in our products or services;
· Downloading software and/or our mobile application;
· Subscribe to our newsletter;
· Complete a voluntary market research survey;
· Contact us with an inquiry or to report a problem (by phone, email, social media, or messaging service);
· When you log in to our website via social media;
Automated technologies or interactions: As you interact with our website, we may automatically collect the following types of data (all as described above): Device Data about your equipment, Usage Data about your browsing actions and patterns, and Contact Data where tasks carried out via our website remain uncompleted, such as incomplete orders or abandoned baskets. We collect this data by using cookies, server logs and other similar technologies. Please see our Cookie section (below) for further details.
Third parties: We may receive Personal Data about you from various third parties, including:
· Account Information and Payment Information from another individual when they purchase a gift for you on our website;
· Device and Usage Data from third parties, including analytics providers such as Google;
· Account Information and Payment Data from social media platforms when you log in to our website using such social media platforms;
· Content from communication services, including email providers and social networks, when you give us permission to access your data on such third-party services or networks;
· Account Information and Payment Data from third parties, including organizations (such as law enforcement agencies), associations and groups, who share data for the purposes of fraud prevention and detection and credit risk reduction; and
· Account Information, Payment Data, and Financial Data from providers of technical, payment and delivery services.
If you provide us, or our service providers, with any Personal Data relating to other individuals, you represent that you have the authority to do so and acknowledge that it will be used in accordance with this Policy. If you believe that your Personal Data has been provided to us improperly, or to otherwise exercise your rights relating to your Personal Data, please contact us by using the information set out in the “Contact us” section below.
Device and Usage Data
When you visit a Enzuzo, Inc. website, we automatically collect and store information about your visit using browser cookies (files which are sent by us to your computer), or similar technology. You can instruct your browser to refuse all cookies or to indicate when a cookie is being sent. The Help Feature on most browsers will provide information on how to accept cookies, disable cookies or to notify you when receiving a new cookie. If you do not accept cookies, you may not be able to use some features of our Service and we recommend that you leave them turned on.
Data we collect from third parties
We may receive your Personal Data from third parties such as companies subscribing to Enzuzo, Inc. services, partners and other sources. This Personal Data is not collected by us but by a third party and is subject to the relevant third party’s own separate privacy and data collection policies. We do not have any control or input on how your Personal Data is handled by third parties. As always, you have the right to review and rectify this information. If you have any questions you should first contact the relevant third party for further information about your Personal Data. Where that third party is unresponsive to your rights, you may contact the Data Protection Officer at Enzuzo, Inc. (contact details below).
Our websites and services may contain links to other websites, applications and services maintained by third parties. The information practices of such other services, or of social media networks that host our branded social media pages, are governed by third parties’ privacy statements, which you should review to better understand those third parties’ privacy practices.
Purpose and Legal Basis for the Processing of Personal Data
We collect and use your Personal Data with your consent to provide, maintain, and develop our products and services and understand how to improve them.
These purposes include:
· To deliver your product or service
· To fulfill orders including electronic and non-electronic shipment
· Building a Safe and Secure Environment
· To verify or authenticate your identity; and
· Investigate and prevent security incidents such as breaches, attacks and hacks
· Providing, Developing, and Improving our Products and Services
· Deliver, maintain, debug and improve our products and services.
· Enable you to access Enzuzo, Inc. services and set up accounts.
· Provide you with technical and customer support
· Organize and Deliver Advertising and Marketing
· Send you newsletters and other marketing communications about current and future products, programs and services, events, competitions, surveys and promotions held by us or hosted on our behalf; and
· Organize events or register attendees and schedule meetings for events.
· For research and development
· To communicate with you about the Products and Services
Where we process your Personal Data to provide a product or service, we do so because it is necessary to perform contractual obligations. All of the above processing is necessary in our legitimate interests to provide products and services and to maintain our relationship with you and to protect our business for example against fraud. Consent will be required to initiate services with you. New consent will be required if any changes are made to the type of data collected. Within our contract, if you fail to provide consent, some services may not be available to you.
Third Party Tools
We use these third party tools to store your information:
· Shopify
· Hubspot
· Intercom
· Segment
· Stripe
International Data Transfer and Storage
Where possible, we store and process data on servers within the general geographical region where you reside (note: this may not be within the country in which you reside). Your Personal Data may also be transferred to, and maintained on, servers residing outside of your state, province, country or other governmental jurisdiction where the data laws may differ from those in your jurisdiction. We will take appropriate steps to ensure that your Personal Data is treated securely and in accordance with this Policy as well as applicable data protection law.Data may be kept in other countries that are considered adequate under your laws. More information about these clauses can be found here: https://eur-lex.europa.eu/legal-content/en/TXT/?uri=CELEX%3A32021D0914
Sharing and Disclosure
We will share your Personal Data with third parties only in the ways set out in this Policy or set out at the point when the Personal Data is collected.
We also use Google Analytics to help us understand how our customers use the site. You can read more about how Google uses your Personal Data here: https://www.google.com/intl/en/policies/privacy/
You can also opt-out of Google Analytics here: https://tools.google.com/dlpage/gaoptout?hl=en
Legal Requirement
We may use or disclose your Personal Data in order to comply with a legal obligation, in connection with a request from a public or government authority, or in connection with court or tribunal proceedings, to prevent loss of life or injury, or to protect our rights or property. Where possible and practical to do so, we will tell you in advance of such disclosure.
Service Providers and Other Third Parties
We may use a third party service provider, independent contractors, agencies, or consultants to deliver and help us improve our products and services. We may share your Personal Data with marketing agencies, database service providers, backup and disaster recovery service providers, email service providers and others but only to maintain and improve our products and services. For further information on the recipients of your Personal Data, please contact us by using the information in the “Contacting us” section below.
3. Cookies
What are Cookies?
A cookie is a small file with information that your browser stores on your device. Information in this file is typically shared with the owner of the site in addition to potential partners and third parties to that business. The collection of this information may be used in the function of the site and/or to improve your experience.
How we use cookies
· To give you the best experience possible, we use the following types of cookies:
· Strictly Necessary. As a web application, we require certain necessary cookies to run our service.
· Preference.
· We use preference cookies to help us remember the way you like to use our service.
· Some cookies are used to personalize content and present you with a tailored experience. For example, location could be used to give you services and offers in your area.
· Analytics. We collect analytics about the types of people who visit our site to improve our service and product.
How to control your cookies
So long as the cookie is not strictly necessary, you may opt in or out of cookie use at any time. To alter the way in which we collect information from you, visit our Cookie Manager.
Functional Cookies
These cookies are set to provide the service, application or resource requested. Without these cookies, your request cannot be properly delivered. They are usually set to manage actions made by you, such as requesting website visual elements, pages resources or due user login/logoff.
Domain
Name
.enzuzo.com
cookies-functional, cookies-analytics, cookies-marketing, cookies-preferences
hs-analytics.net
__cf_bm, hubspotutk
googleads.g.doubleclick.net
NID, DSID, id, pm_sess, pm_sess_NNN, aboutads_sessNNN, YSC, __ar_v4
cdnjs.cloudflare.com
__cfruid, cf_clearance, cf_.*_id, cf_#_id
youtube.com
YSC
intercom.com
intercom-id-nu08mz9a, intercom-session-nu08mz9a, intercom-device-id-nu08mz9a, intercom-device-id-#, intercom-session-#, intercom-id-#
Analytics Cookies
These cookies are set by us or by third party service providers we use to implement additional functionalities or to enhance features and website performance, however they are not directly related with the service you requested. Services and functionalities implemented by these cookies support features like automatic filled text box, live web chat platform, non-necessary forms and optional security parameters like a single sign-on (SSO).
Domain
Name
hs-analytics.net
__hssrc, __hssc, __hstc, hs_ab_test
newrelic.com
nr_pn_visited
www.google-analytics.com
_ga, _ga_EMWGXEG879, _ga_54VC2P196T, _gid, _gat_UA-155665651-1, _gat_UA-155665651-3, _gat_gtag_UA_155665651_1, _ga_#, _gat_UA-#, _gat_gtag_UA_#
dreamdata.io
ajs_anonymous_id
rb2b.com
_reb2bgeo, _reb2bsessionID, _reb2bresolve, _reb2buid
segment.com
analytics_session_id, analytics_session_id.last_access
app.posthog.com
ph_#_posthog, dmn_chk_#
www.enzuzo.com
_reb2bresolve, _reb2buid, _reb2bsessionID, _reb2bgeo
Marketing Cookies
These cookies are set to provide quantitative measures of website visitors. Information collected with these cookies is used in operations to measure website or software KPIs, such as performance. With the usage of these cookies we are able to count visits and traffic sources to improve the performance of our site and application. If you do not allow these cookies, we will not know when you have visited our site.
Domain
Name
googleads.g.doubleclick.net
_gcl_au, test_cookie, IDE, __gsas, __gpi, __gpi_optout, __gads, GED_PLAYLIST_ACTIVITY, ACLK_DATA, FPAU, ANID, AID, TAID, FPGCLDC, _gcl_dc, FLC, RUL, FPGCLAW, FPGCLGB, _gcl_gb, _gac_gb_*, _gcl_aw, 1P_JAR, Conversion, VISITOR_INFO1_LIVE, VISITOR_INFO1_LIVE__k, VISITOR_INFO1_LIVE__default, APC, _gac_gb_#
liveintent.com
_lc2_fpi, _li_dcdm_c
youtube.com
GED_PLAYLIST_ACTIVITY, ACLK_DATA, VISITOR_INFO1_LIVE, VISITOR_INFO1_LIVE__k, VISITOR_INFO1_LIVE__default
bing.com
_uetvid, _uetsid
facebook.net
_fbp, locale_bar_accepted
4.Retention & Deletion
We will only retain your Personal Data for as long as necessary for the purpose for which that data was collected and to the extent required by applicable law. When we no longer need Personal Data, we will remove it from our systems and/or take steps to anonymize it.
5.Merger or Acquisition
If we are involved in a merger, acquisition or asset sale, your personal information may be transferred. We will provide notice before your personal information is transferred and becomes subject to a different Privacy Policy. Under certain circumstances, we may be required to disclose your personal information if required to do so by law or in response to valid requests by public authorities (e.g. a court or a government agency).
6.How We Keep Your Data Safe
We have appropriate organizational safeguards and security measures in place to protect your Personal Data from being accidentally lost, used or accessed in an unauthorized way, altered or disclosed.
The communication between your browser and our website uses a secure encrypted connection wherever your Personal Data is involved.
We require any third party who is contracted to process your Personal Data on our behalf to have security measures in place to protect your data and to treat such data in accordance with the law.
In the unfortunate event of a Personal Data breach, we will notify you and any applicable regulator when we are legally required to do so.
7.Children`s privacy
We do not knowingly collect Personal Data from children under the age of 18 Years
8.Your Rights for Your Personal Data
Depending on your geographical location and citizenship, your rights are subject to local data privacy regulations. These rights may include:
· Right to Access (PIPEDA, GDPR Article 15, CCPA/CPRA, CPA, VCDPA, CTDPA, UCPA, LGPD, POPIA)
· You have the right to learn whether we are processing your Personal Data and to request a copy of the Personal Data we are processing about you.
· Right to Rectification (PIPEDA, GDPR Article 16, CPRA, CPA, VCDPA, CTDPA, LGPD, POPIA)
· You have the right to have incomplete or inaccurate Personal Data that we process about you rectified.
· Right to be Forgotten (right to erasure) (GDPR Article 17, CCPA/CPRA, CPA, VCDPA, CTDPA, UCPA, LGPD, POPIA)
· You have the right to request that we delete Personal Data that we process about you, unless we need to retain such data in order to comply with a legal obligation or to establish, exercise or defend legal claims.
· Right to Restriction of Processing (GDPR Article 18, LGPD)
· You have the right to restrict our processing of your Personal Data under certain circumstances. In this case, we will not process your Data for any purpose other than storing it.
· Right to Portability (PIPEDA, GDPR Article 20, LGPD)
· You have the right to obtain Personal Data we hold about you, in a structured, electronic format, and to transmit such Personal Data to another data controller, where this is (a) Personal Data which you have provided to us, and (b) if we are processing that data on the basis of your consent or to perform a contract with you or the third party that subscribes to {{companyName}} services.
· Right to Opt Out (CPRA, CPA, VCDPA, CTDPA, UCPA)
· You have the right to opt out of the processing of your Personal Data for purposes of: (1) Targeted advertising; (2) The sale of Personal Data; and/or (3) Profiling in furtherance of decisions that produce legal or similarly significant effects concerning you. Under CPRA, you have the right to opt out of the sharing of your Personal Data to third parties and our use and disclosure of your Sensitive Personal Data to uses necessary to provide the products and services reasonably expected by you.
· Right to Objection (GDPR Article 21, LGPD, POPIA)
· Where the legal justification for our processing of your Personal Data is our legitimate interest, you have the right to object to such processing on grounds relating to your particular situation. We will abide by your request unless we have compelling legitimate grounds for processing which override your interests and rights, or if we need to continue to process the Personal Data for the establishment, exercise or defense of a legal claim.
· Nondiscrimination and nonretaliation (CCPA/CPRA, CPA, VCDPA, CTDPA, UCPA)
· You have the right not to be denied service or have an altered experience for exercising your rights.
· File an Appeal (CPA, VCDPA, CTDPA)
· You have the right to file an appeal based on our response to you exercising any of these rights. In the event you disagree with how we resolved the appeal, you have the right to contact the attorney general located here:
· If you are based in Colorado, please visit this website to file a complaint.
If you are based in Virginia, please visit this website to file a complaint.
If you are based in Connecticut, please visit this website to file a complaint.
· File a Complaint (GDPR Article 77, LGPD, POPIA)
· You have the right to bring a claim before their competent data protection authority.
· If you are based in the EEA, please visit this website (https://edpb.europa.eu/about-edpb/about-edpb/members_en) for a list of local data protection authorities.
Withdrawing Consent
If you have consented to our processing of your Personal Data, you have the right to withdraw your consent at any time, free of charge, such as where you wish to opt out from marketing messages that you receive from us. If you wish to withdraw your consent, please contact us using the information found at the bottom of this page.
How to Exercise Your Rights
You can make a request to exercise any of these rights in relation to your Personal Data by sending the request to our privacy team by using the form below.
For your own privacy and security, at our discretion, we may require you to prove your identity before providing the requested information.
9.Changes
We may modify this Policy at any time. If we make changes to this Policy then we will post an updated version of this Policy at this website. When using our services, you will be asked to review and accept our Privacy Policy. In this manner, we may record your acceptance and notify you of any future changes to this Policy.
10.Contact us
We may modify this Policy at any time. If we make changes to this Policy then we will post an updated version of this Policy at this website. When using our services, you will be asked to review and accept our Privacy Policy. In this manner, we may record your acceptance and notify you of any future changes to this Policy.
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8k
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T7. Consistency & Compliance Checking
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T7.2 Targeted Rule or Condition Violation Detection
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Partial
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Read and list which terms of Enzuzo, Inc. Privacy Policy were violated in the first article. Output the "[Answer]" identifier first, and then output all the violated term IDs line by line, without any additional content.
Output example:
[Answer]
5
6
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Read and list which terms of Enzuzo, Inc. Privacy Policy were violated in the first article. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output all the violated term IDs line by line, without any additional content.
Output example:
<Your thinking process>
[Answer]
5
6
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[
"2",
"6",
"7",
"8"
] |
Moderate
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c1db40a10bd7ccad8c3e3954f3394f0ff1440a2c626e0f4981761ab7de726a02
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Deadly UCLA lab fire leaves haunting questions
1. UCLA’s Molecular Sciences Building was mostly closed for the holidays on Dec. 29 as research assistant Sheri Sangji worked on an organic chemistry experiment.
2. Only three months into her job in the lab, the 23-year-old Pomona College graduate was using a plastic syringe to extract from a sealed container a small quantity of t-butyl lithium -- a chemical compound that ignites instantly when exposed to air.
3. As she withdrew the liquid, the syringe came apart in her hands, spewing flaming chemicals, according to a UCLA accident report. A flash fire set her clothing ablaze and spread second- and third-degree burns over 43% of her body.
4. Eighteen excruciating days later, Sangji died in a hospital burn unit.
5. “It is horrifying,” said her sister Naveen, 26, a Harvard medical student. “Sheri wasn’t out doing something stupid. She was working in a lab at one of the largest universities in the world. She gets these horrific injuries and loses her life to these injuries and we still don’t know how it happened or why it wasn’t prevented.”
6. Sangji’s death was more than a tragic workplace accident. It also raised serious questions about the university’s attention to laboratory safety.
7. “It was totally preventable,” said Neal Langerman, a San Diego consultant and former head of the American Chemical Society’s Division of Chemical Health and Safety, whose members were given a detailed account of the incident by a University of California safety official.
8. “Poor training, poor technique, lack of supervision and improper method. This was just not the right way to transfer these things,” Langerman said. “She died, didn’t she? It speaks for itself.”
9. Two months earlier, UCLA safety inspectors found more than a dozen deficiencies in the same lab, Molecular Sciences Room 4221, according to internal investigative and inspection reports reviewed by The Times. Among the findings: Employees were not wearing requisite protective lab coats, and flammable liquids and volatile chemicals were stored improperly.
10. Chemical Safety Officer Michael Wheatley sent the inspection report to the researcher who oversees the lab, professor Patrick Harran, as well as to the head of the Chemistry and Biochemistry Department and a top UCLA safety official. The report directed that problems be fixed by Dec. 5.
11. But the required corrective action was not taken, records show, and on Dec. 29 all that stood between Sangji’s torso and the fire that engulfed her was a highly flammable, synthetic sweater that fueled the flames.
12. --
13. Under scrutiny
14. The California Division of Occupational Safety and Health is investigating, as are the Office of the State Fire Marshal, the National Institute for Occupational Safety and Health and the U.S. Chemical Safety and Hazard Investigation Board. A spokeswoman for Cal/OSHA, the lead agency, said she could not comment on the investigation.
15. UCLA officials say they are cooperating with all of the agencies.
16. “We consider this a profoundly tragic accident, and the campus community is still reeling from the loss of Sheri as a member of the Bruin family,” said Kevin Reed, vice chancellor for legal affairs.
17. Harran, the organic chemistry professor for whom Sangji worked, said he could not comment on the accident because of the pending investigations. But he said he’s heartbroken.
18. “Words cannot convey my grief or that of those who work in my lab, and our pain cannot possibly compare with the immeasurable anguish felt by Sheri’s family,” he wrote in an e-mail. “Sheri’s death is a tragedy that has left her friends, colleagues and co-workers here in our department devastated.”
19. UCLA has launched a comprehensive review of lab safety protocols and has stepped up inspections and shortened the time allowed to correct serious violations. Chancellor Gene Block also established a campuswide lab safety committee and ordered enhanced accountability measures.
20. Such efforts are of little comfort to Sangji’s family. Her parents, Shaukat Sangji, a small-business owner who lives in Toronto, Canada, with his wife, Maimoona, a Montessori schoolteacher, were too distraught to be interviewed, said Naveen, who relayed an e-mail message to The Times from her father.
21. “They say time will heal, but I know for sure nothing can heal this,” he said. “This has completely destroyed our lives forever.”
22. Born and raised in Pakistan, Sheharbano “Sheri” Sangji followed her older sister to Pomona College, a small, top-tier liberal arts school in Claremont, in 2003. Their parents and younger brother moved to Canada.
23. “Sheri always loved science and fell in love with chemistry,” Naveen said, but she also was interested in the rights of women and immigrants, environmental policy and law. She decided to become an attorney, with an eye toward a career that would blend her interests.
24. “She was brilliant, just so impressive,” her sister said.
25. Daniel O’Leary, Sheri’s chemistry professor for nearly three years at Pomona, recalled her as being upbeat, with a good sense of humor, and an independent problem-solver who published two papers as an undergraduate in professionally vetted chemistry journals.
26. “She was a talented researcher and a very involved student in the chemistry department,” said O’Leary, who earned his doctorate at UCLA and now teaches at Bowdoin College in Maine.
27. Sangji graduated in May and had applied to some of the nation’s top law schools.
28. In October, she took a job in a lab run by Harran, a rising star who joined the UCLA faculty in July as the first Donald J. Cram Chair in Organic Chemistry. In 2007, Harran and colleagues at the University of Texas Southwestern Medical Center gained notice for their work on a synthetic toxin that shrinks cancerous tumors in mice.
29. “Sheri was excited about this job . . . and was so happy when she got it,” said her friend Jahan Bruce, 24, a special-education teacher. “She wanted to be in the research area and wanted to be in a university setting. All of her friends thought this was perfect for her.”
30. On Dec. 29, Sangji was performing an experiment related to Harran’s work on a potential anti-obesity drug, UCLA’s Reed said.
31. She was trying to transfer up to 2 ounces of t-butyl lithium, which was dissolved in pentane, another highly flammable chemical, from one sealed container to another. It was the second time she had performed that procedure in Harran’s lab, UCLA officials said.
32. “The barrel of the syringe was either ejected or pulled out of the syringe, causing liquid to be released,” the UCLA accident report stated.
33. Sangji’s rubber gloves caught fire, searing her hands. Her sweater, made of a synthetic material, was so flammable that Langerman, the chemical safety expert, compared it to “solid gasoline.” It, too, was quickly engulfed.
34. The panicked young woman ran away from a nearby emergency shower instead of toward it, records state, costing her precious time.
35. “She might have been fine” had she quickly made it to the shower, said Russ Phifer, head of the American Chemical Society’s safety division, who also reviewed the UC official’s account of the accident.
36. A postdoctoral researcher, who UCLA officials say was just a few feet away, rushed to Sangji’s aid and tried to smother the flames with a lab coat. Another ran in from an adjoining room, helped douse the fire, then called 911 and summoned Harran, Reed said.
37. “He said when he got there Sheri was sitting with her arms outstretched in front of her and someone was throwing water at her from a sink,” said Naveen, who spoke with Harran later at the hospital. That account squares with the UCLA accident report.
38. From the Ronald Reagan UCLA Medical Center, Sangji was transferred to the Grossman Burn Center in Sherman Oaks.
39. It is unknown whether a typical cotton lab coat would have saved her. But even if it caught fire, it could have been removed much more easily than a burning synthetic sweater, safety expert Phifer said.
40. “I can’t imagine why she didn’t have protective clothing if she knew she was working with chemicals that dangerous,” Sheri’s friend Bruce said.
41. --
42. Training questioned
43. But just how much Sangji knew about the procedure that took her life is an open question.
44. “The employee may not have been using best work practices while handling the syringe to transfer a pyrophoric liquid,” a UCLA accident report concluded. “The employees should be instructed in safer handling techniques.”
45. Harran told a UCLA investigator the day after the fire that a syringe “was the appropriate method” for transferring t-butyl lithium -- and that Sangji had been trained how to do it. But according to the investigator’s report, Harran did not know when that training occurred and had no record of it, as required by Cal/OSHA and UCLA lab safety standards.
46. UCLA’s Reed said Sangji “was trained by senior chemists within Dr. Harran’s lab to conduct this specific experiment and handle these specific chemicals.” But he couldn’t say why there was no record of it.
47. “We’re still trying to figure that one out,” he said, adding that Cal/OSHA is also looking into it.
48. At the hospital, Naveen said, her sister told her that she was not given safety training: “She was very clear about the lack of safety training, because I asked her directly.”
49. It was not unheard of for people in Harran’s labs to work without protective gear, UCLA records show.
50. On Oct. 30, two months before the fire, an annual safety inspection uncovered more than two dozen deficiencies in his four labs, including the one where Sangji worked. Among other things, inspectors found excessive amounts of flammable liquids and missing chemical spill cleanup kits.
51. “Eye protection, nitrile [rubber] gloves and lab coats were not worn by laboratory personnel,” the inspection report said.
52. The Nov. 5 report said lab coats “must be worn while conducting research and handling hazardous materials in the lab” and assigned the Dec. 5 deadline to correct the deficiencies.
53. After the accident, however, Bill Peck, UCLA manager of occupational safety and employee health, wrote in his report that “most of the corrections in the laboratory were not accomplished by 12/30/08.”
54. A first-aid kit and spill cleanup materials were still lacking; flammable materials and water- and air-reactive chemicals were still being stored improperly; and employees still weren’t using protective equipment, the report said.
55. Cal/OSHA is investigating why the deficiencies were not corrected sooner, UCLA officials said. One potential factor, they said, is that Harran had planned to move the lab.
56. Phifer and Langerman saw other potential problems: At the time of the fire, Sangji worked at a cupboard-like “fume hood,” which pulls potentially harmful vapors out through an exhaust system. It has a tempered-glass vertical sash that probably was not lowered enough, they said, because if it had been, only her hands and forearms would have been burned.
57. In addition to the fume hood, Sangji would have been better protected if she had used a “blast shield,” a free-standing portable device made of brass that chemists put between themselves and potentially dangerous experiments, the experts said. A blast shield was not required for that experiment, Reed said, and it is unknown if one was available.
58. Langerman also questioned the safety of transferring t-butyl lithium with a syringe.
59. “The preferred method is to use pressure to push the liquid out of the source bottle into your receiver through a stainless-steel tube,” he said.
60. Both experts also wondered if Sangji and the postdoctoral researchers who risked their lives to help her had received adequate fire safety training. UCLA officials say they had.
61. “The response afterward is probably most responsible for her death,” Phifer said. “The fact that she immediately turned away from the shower and went in the opposite direction is a problem. It means that she wasn’t properly trained in what to do in the event she caught fire.”
62. --
63. Final days
64. At the burn center, Sangji’s family found her wrapped in bandages, her arms suspended from the ceiling. Deep burns covered her back, legs, torso and ears.
65. “It was really hard to see her like that,” Naveen said. “They gave her a lot of sedation and oxygen therapy, but she was in a lot of pain. Her big concern was her hands. She really worried that she wouldn’t get function back. She kept asking about her hands: ‘Will they get better? How long will it take?’ ”
66. Naveen said her sister could not bring herself to discuss the accident: “She was having flashbacks and nightmares, and she didn’t want to talk about it.”
67. Only family members were permitted visits, so friends dropped off cards and posters with photos and messages of encouragement for Sheri, an avid soccer player. She seemed to make progress for about a week, her sister said, but began to decline at about the time of a second surgery to remove burned tissue.
68. On Jan. 16, she succumbed to respiratory failure, infection and other complications, according to a coroner’s report.
69. “Sheri was such a fighter that it just never entered our minds that she wouldn’t make it through,” her sister said.
70. A day before her funeral in Toronto, her family learned that she had been accepted to UC Berkeley’s Boalt Hall School of Law.
71. “It was her dream school,” Naveen said.
72. Guide 1:Lab Safety Guide
73. PREFACE
74. Download PDF
75. A variety of hazards exist in the laboratories at the Western University of Health Sciences (WesternU). The risks associated with these hazards are greatly reduced or eliminated if proper precautions and practices are observed in the laboratory. To manage these risks, and in response to a heightened concern for safety in the workplace, WesternU has developed this guide which is intended to be the cornerstone of a safety program designed to aid faculty, staff, and students in maintaining a safe environment in which to teach, conduct research, and learn.
76. The General Laboratory Safety Guide (guide) offers generic safety guidelines and standard operating procedures for laboratories on campus. Be aware that this document contains a minimum set of guidelines, regulations, and recommendations required to maintain a safe working environment, and does not provide laboratory workers, research students, or teaching assistants with specific standard operating procedures necessary to work in their respective laboratories. It is the responsibility of the Principal Investigator to develop specific standard operating procedures for his/her laboratory.
77. The development of, and adherence to, procedures in a guide is an essential requirement of an effective Comprehensive Laboratory Safety Program. This Guide applies to all laboratories at WesternU. The Environmental Health & Safety (EH&S) Department is available to provide assistance and a number of resources. These include maintenance of a comprehensive Safety Data Sheet (SDS) library and the services of the Safety Department Office. Key elements of an appropriate safety training program should be an integral part of the daily activities of laboratory workers, safety training must be a continuing process, formal safety education should be made as relevant as possible to actual work activities and informal safety training through collegial interactions are valuable ways to exchange safety information, and sustain an atmosphere in which colleagues reinforce each other’s good work habits.
78. The safety of campus laboratories legally resides with the responsible person in charge of a given laboratory, typically the Principal Investigator. However, the Office of Research & Biotechnology stands ready to assist Principal Investigators with these duties. Through resources such as this General Laboratory Safety Guide, lab representatives hope to become known to laboratory personnel not only as inspectors, but more importantly as a valuable safety resource. To that end, please help us help you, and let us know if we can assist you in any way.
1.0 SCOPE AND APPLICATION
79. The primary objective of this document is to provide a general guide for working in laboratories. The Environmental Health & Safety (EH&S) Department establishes the basic safety principles for laboratory procedures, equipment and work practices. Additionally, there are subject specific safety guides, such as biological, chemical, and radiation, which describe safeguards for protecting employees from these specific hazards in a laboratory environment. Please see website at WesternU for further information.
80. The General Laboratory Safety Guide is intended only to address those universal safety measures necessary for achieving a safe and healthy work environment. Where the scope of hazards is not adequately addressed by this general document, specific Standard Operating Procedures (SOP) must be developed by the Principal Investigator or Laboratory Manager. Staff in the laboratory where the hazard is present must be trained/informed on the SOP.
1.1 Environmental Health and Risk Management Department
81. EH&S and University Risk Management’s main purpose are to support WesternU in its mission of higher education and research. These Department’s efforts are directed at assisting the university in identifying safety hazards and controlling such hazards through the utilization of personal protective equipment (PPE), hazard mitigation methods, development and presentation of safety training programs, purchase of insurance and other risk control and/or risk transfer techniques.
82. The appointed laboratory representative will keep abreast of relevant safety, environmental, and risk management regulatory requirements. Regulatory compliance will be achieved through clear communication of recommendations and interpretations regarding such regulations to the appropriate staff and administrators within the university
1.2 General Laboratory Safety Manual Objective
83. Laboratory Safety
84. It is the intent of WesternU to provide a safe and healthy laboratory environment to all laboratory occupants through the establishment and maintenance of a Comprehensive Laboratory Safety Program.
85. This guide provides control measures essential for protecting all laboratory occupants from common hazards found in the laboratory. These controls consist of, but are not limited to, policies, guidelines, training requirements, SOP, PPE, and laboratory audits.
86. This guide describes the minimum level of safe practices that are expected from all individuals (faculty, staff, and students) involved in laboratory operations. More stringent safety precautions may be required, depending on the safety risks and/or hazards present in a laboratory.
1.3 Comprehensive Laboratory Safety Program
a. Program Responsibilities
87. WesternU recognizes the need to use potentially hazardous materials for the purpose of research and teaching. At the same time, the university is committed to ensuring the safety of its students, employees, and visitors, and complying with all regulatory requirements that have an impact on its facilities and operations.
88. Considering this charge, the university has designated specific responsibilities for developing and implementing the Comprehensive Laboratory Safety Program to the EH&S department. To ensure a successful program, the cooperation of various entities on campus is required. The individuals responsible for maintaining the integrity of the program are listed below, as well as their respective responsibilities.
89. Laboratory Safety Office and Environmental Health & Safety Department
90. The primary purpose of the Laboratory Safety Offices of the Laboratory Safety and Environmental Health & Safety department are to support WesternU in its mission of teaching and research. It is the role of appointed laboratory representatives to oversee potential safety hazards, to ensure the safety of the campus community and to provide an environment free of unnecessary risks and includes, but not limited to the following duties:
91. Consult with laboratory users regarding the effectiveness of their department’s safety efforts.
92. Provide training and support for the Laboratory Managers, departmental teaching assistants, and/or laboratory safety coordinators.
93. Support the appointed laboratory representative with respect to inspections, hazard evaluations, and recommendations for compliance. 4. Where necessary, conduct environmental and/or personnel monitoring in order to assess the degree of exposure associated with a particular laboratory operation.
94. Where necessary, conduct environmental and/or personnel monitoring in order to assess the degree of exposure associated with a particular laboratory operation.
95. Laboratory Safety Officer (LSO)
96. The Laboratory Safety Officer/Laboratory Manager (LSO/LM) is the key to the success of the Comprehensive Laboratory Safety Program. As such he or she must effectively carry out the requirements of this Guide. At a minimum, LSO/LM the will complete the following duties:
97. Provide technical guidance and assistance regarding the General Laboratory Safety Guide to the Department Chair, Professors, Principal Investigators, Laboratory Safety Coordinators/Lab Managers, Teaching Assistants, Supervisors, students and employees.
98. Audit laboratories, evaluate hazards and document laboratory concerns to the Principal Investigator. If repetitive deficiencies occur and corrective measures are not implemented in the designated time, the LSO/LM will initiate escalation procedures defined by the EH&S Department.
99. Recommend necessary training to laboratory faculty and staff.
100. Respond to emergencies as needed.
101. Department Chairs
102. Appoint appropriate individuals to serve as LM as needed.
103. Ensure that responsible parties comply with the appropriate provisions of the General Laboratory Safety Guide.
104. Principal Investigators
105. Assume direct responsibility for their laboratory’s compliance with the contents of this General Laboratory Safety Guide.
106. Develop and implement standard operating procedures (SOPs) specific to their laboratory.
107. Cooperate with the LSO to ensure program compliance.
108. If necessary, appoint a Laboratory Coordinator to work with the LSO to address persistent issues.
109. Laboratory Safety Officers and Laboratory Managers
110. Follow and obey general safety rules and guidelines described in the guide.
111. Read, understand, and follow SOPs for unique laboratory and high hazard operations.
112. Report any potentially hazardous operations to the Principle Investigator or LM promptly.
113. Any visitor to a research lab must always be accompanied by a WesternU employee.
114. Laboratory Employee, Students, and Visitors
115. Follow and obey general safety rules and guidelines described in the guide.
116. Read, understand, and follow SOPs for unique laboratory and high hazard operations.
117. Report any potentially hazardous operations to the Principle Investigator or LM promptly.
118. Any visitor to a research lab must always be accompanied by a WesternU employee.
119. Facilities and Plant Operations
120. Maintenance or repair problems (mechanical, electrical, plumbing) reported in a reasonable time period.
121. If repairs cannot be made in a timely manner, the Principal Investigator should be notified with an anticipated completion date as soon as possible. Upon completion of repairs to safety equipment, (Example: fume hoods, eyewashes, safety showers, etc.). Facilities should notify the LM or Director of Laboratory Services.
122. Upon completion of repairs to safety equipment, (Example: fume hoods, eyewashes, safety showers, etc.). Facilities should notify the LM or Director of Laboratory Services.
123. b. Implementation and Maintenance
124. General Laboratory Safety Orientation and Training
125. Laboratory Safety Office and EH&S Department will schedule training sessions for all new Principal Investigators, LM, Teaching Assistants and employees as indicated. The required training courses found in this guide” is mandatory and should be completed before conducting laboratory activities at WesternU. Training is recommended upon hire then every three years thereafter, however, it can be attended as often as desired or indicated.
126. Trainee will be instructed to go to Laboratory Safety and Compliance and complete the applicable training modules pertinent to the type of research they will be participating in.
127. Lab Safety Training Instructions:
128. The new employee must complete the required training within three business days of start date. If they do not complete the training within this timeframe, they will be pulled from the lab until it is completed.
129. Students, volunteers and non-WesternU employees conducting research must also visit this site for training and complete this course successfully.
130. The new employee must complete the required training within three business days of start date. If they do not complete the training within this timeframe, they will be pulled from the lab until it is completed.
131. Lab Safety Training Site
132. Follow the instructions; registration is required. Upon successful completion, a certificate will be generated
133. On this page find: Online Courses / Introduction to Lab Safety – On-Line Training.
134. View and take the test.
135. This certificate will be needed for submission, download and save it onto your computer.
136. CERTIFICATE SUBMISSION
137. Submission Form
138. Fill in the required information Name, Date completed, Status, College PI, Start Date, End date (place the date one year from certificate completion).
139. Check Risk & Release of Liability Box
140. Use mouse cursor over signature box and electronically sign
141. Print Name in box
142. Address (Building name, Floor, Room number)
143. Work Phone or extension
144. Today’s date
145. Click MARK AS COMPLETE
146. Drag and drop the copy of your certificate file in box shown
147. Click Submit
148. If successful you will see a confirmation message
149. A confirmation of completion notice will be sent to the employee as well as their supervisor and pertinent lab safety office personnel.
150. Laboratory Safety Training
151. This training will include an explanation of general chemical safety information, best laboratory practices and general information about the University’s laboratory related review committees and fire safety training. These training session(s) will be held in a lecture hall that will be determined prior to the actual date of training.
152. In addition to the General Laboratory Safety Orientation and Training Class, the Laboratory Safety Offices also conducts regularly scheduled training classes for specific hazards such as radioactive materials, lasers, biosafety, etc. Please consult the Research & Biotechnology web site at safety for the training catalog and schedule.
153. Laboratory Specific Training
154. Chemical or hazard-specific training provided by staff from the LSO, Principal Investigators, or Laboratory Manager and should include, at minimum:
155. Laboratory-specific standard operating procedures.
156. Specific physical and health hazards of materials used in the work area, all other laboratory specific safeguards, rules, practices or procedures necessary for the employee/student to work safely in that location.
157. Laboratory Audits and Walk-throughs
158. The LSO will arrange a meeting with each laboratory Manager on a scheduled basis in order to audit the lab and to review all elements of this Guide with laboratory personnel. EH&S will also conduct random walk-throughs in laboratories to ensure that the guidelines are being observed and to offer consultation to the Principal Investigator, Lab Manager, or Departmental Chair if concerns are discovered. All reports will be forwarded to the Vice President of Research & Biotechnology for review.
159. After the audit is completed, any program concerns will be reviewed and an electronic inspection report will be completed and issued to the Principal Investigator and Vice President of Research & Biotechnology. Laboratories are expected to correct all items of concerns raised in this report within 14 calendar days and file (sign and scanned copy) response to the electronic inspection notification and sent via email to the Laboratory Safety Office.
160. The Laboratory Safety Office representatives will perform follow-up laboratory inspections as it deems necessary in order to preserve the environmental health and safety in the university’s laboratory space, and to ensure adherence to the current policies, procedures and regulations as they pertain to laboratories.
1.4 Record Keeping
161. General Laboratory Safety Orientation and Training requirement will be documented in a centralized electronic database and maintained by the Laboratory Safety Office. Research staff who attend the mandated regularly scheduled lab safety training seminars will receive credit indicating they have met the minimum safety requirements for lab personnel. In addition, researchers that are also required to take the online safety courses must forward proof of completion of the course(s), e.g., electronic confirmation or a certificate the training site generates and forward a copy to the Laboratory Safety Office.
162. Chemical or hazard-specific training must be documented and maintained by the Department, Principal Investigator, or Laboratory Coordinator and be available upon request. Appendix A provides an example of a chemical or hazard-specific documentation training form. This form can be modified to fit the needs of the specific department or laboratory.
163. The Laboratory Safety Office will maintain records of laboratory audits for federal or state regulatory inspections.
164. 2.0 STANDARD OPERATING PROCEDURES
165. 2.1 General Safety Guidelines
166. Standard operating procedures (SOP) must be readily available to all laboratory employees. The following guidelines have been established to minimize or eliminate hazards as well as to maintain a safe laboratory environment. It is the responsibility of each person that enters a laboratory to understand the safety requirements and health hazards associated with the materials and equipment in the laboratory. Guidance from the Laboratory Manager or designated laboratory representative can also be sought prior to entering the laboratory. It is the individual’s responsibility to practice the following general safety guidelines at all times:
167. Laboratory Safety
168. Always wear proper eye protection in chemical work, handling and storage areas.
169. Know the hazards associated with the materials you are working with in the lab, including the safety precautions you should use.
170. Always wear appropriate protective clothing. Clothing that covers the arms and legs, shoes that are closed toed and a suitable lab coat or apron Confine long hair and loose clothing. Do not wear high-heeled shoes, open-toed shoes, sandals, “flip-flops” or shoes made of woven material.
171. Always wash hands, wrists and arms with soap and water before leaving the work area. This applies even if you have been wearing gloves and a lab coat.
172. Never perform any hazardous work when alone in the laboratory. At least two people should be present. (note should be made to facilitate visiting scientists, researchers as level of competency may not be known).
173. Work, preparations or experiments that have not been authorized by the PI are not to be performed.
174. Never engage in horseplay, pranks or other acts of mischief in chemical or laboratory biological work areas.
175. Never remove chemicals, biological agents, or radioactive materials from the facility without proper authorization.
176. Be familiar with the location of emergency equipment – fire alarm, fire extinguisher, emergency eye wash and safety shower. Know the appropriate emergency response procedures.
177. Use equipment and hazardous materials only for their intended purposes.
178. Never mouth pipette chemicals when transferring solutions. Instead, you should always use a pipette bulb to transfer solutions.
179. Always lubricate glass thermometers or thistle tubes before inserting them into a stopper. Always wrap toweling around them while inserting into the stopper in the event they should break.
180. Use a vented fume hood whenever there is a possibility of poisonous or irritating fumes being emitted.
181. Never leave an experiment unattended while it is being heated or is rapidly reacting.
182. Keep equipment back from the edge of the lab bench to prevent spillage.
183. Support all beakers and flasks with clamps. Do not use cracked or chipped glassware.
184. Report any accident, however minor immediately to the PI or LM.
185. Practice the habit of accident prevention.
186. 2.2 Eating, Drinking, and Smoking
187. Eating, drinking, smoking, gum chewing, applying cosmetics, and taking medicine in laboratories is strictly prohibited.
188. Food, beverages, cups, and other drinking and eating utensils should not be stored in areas where hazardous materials are handled or stored.
189. Glassware used for laboratory operations should never be used to prepare or consume food or beverages.
190. Laboratory refrigerators, ice chests, cold rooms, microwave ovens, and so forth should not be used for food storage or preparation.
191. Laboratory water sources and deionized water should not be used for drinking water.
192. Laboratory materials should never be consumed or tasted.
193. Ice from laboratory ice machines are not to be used for human consumption.
194. 2.3 Housekeeping and Maintenance
195. In the laboratory, keeping things clean and organized can help provide a safer environment. Keep drawers and cabinet doors closed and electrical cords off the floor to avoid tripping hazards. Keep aisles clear of obstacles such as boxes, chemical containers, and other storage items that might be put there. Avoid slipping hazards by cleaning up spilled liquids promptly and by keeping the floor free of loose equipment such as stirring rods, glass beads, stoppers, and other such hazards. Never block or even partially block the path to an exit or to safety equipment, such as a safety shower or fire extinguishers. Use the required procedure as indicated on the SDS and/or SOP for the proper disposal of chemical wastes and solvents.
196. Supplies and laboratory equipment on shelves should have at 18” of clearance from the ceiling so that in case of a fire, the fire sprinkler heads are able to carry out their function. The work area should be kept clean and uncluttered, with hazardous materials and equipment properly stored. Clean the work area upon completion of a task and at the end of the day. The custodial staff is only expected to perform routine duties such as cleaning the floor and emptying the general trash.
197. In preparation for any maintenance service such as fume hood repair, plumbing, electrical etc., the laboratory staff must prepare the laboratory before the maintenance personnel arrive. Whenever possible remove hazards that maintenance personnel may encounter during their work activities. For example, infectious agents, radioactive materials or chemicals must be moved to a secure area prior to initiation of maintenance work. Additionally, the Principal Investigator or Laboratory Manager must escort Plant Operations personnel into the laboratory and inform them of the presence of any hazardous materials prior to the work being done. Laboratory Safety Offices maintenance personnel must be supervised at all times while in the laboratory.
198. 2.4 Hazardous Waste Storage and Disposal
199. Individual users of hazardous materials have specific duties and responsibilities under state and federal law and university policy regarding hazardous waste handling and disposal. These responsibilities include hazardous waste identification and waste minimization as well as proper waste storage and disposal. The Laboratory Safety Office and EH&S (defined in this guide) are charged with the responsibility for ensuring that hazardous waste generated on campus is disposed of in accordance with all applicable regulations.
200. Hazardous waste must be handled through the Laboratory Safety Offices and EH&S hazardous waste program once the generating laboratory has determined that it cannot be recycled or treated on-site. Each generator must contact EH&S to arrange for the hazardous waste is picked up and removed in accordance with state/federal regulations.
201. Spills and Accident Reporting
202. Spills
203. It is the responsibility of each individual using hazardous materials to become familiar with the emergency response procedures dictated by the manufacturer of such materials. Information about this can be found on the Safety Data Sheet (SDS) for the chemical(s) involved in the spill. Access the SDS, view the university’s chemical inventory.
204. The following general rules should be followed in the event of a major hazardous materials spill or other incident:
205. QUICKLY EVALUATE THE SITUATION
206. Ask the following questions:
207. Is someone injured or requires immediate medical attention?
208. Is the spill manageable with the personnel and resources in the laboratory?
209. Is there a danger to others outside the laboratory?
210. ACTIVATE EVACUATION (FIRE) ALARM, IF NECESSARY, FOR THE BUILDING
211. Be familiar with the sound of the alarm system in your building. If the spill/incident could threaten the health of individuals in the building, activate the fire alarm.
212. CALL WesternU SECURITY AT Ext 3000 to report the incident
213. Tell dispatcher as much detail as possible about the spill/incident. If possible, locate a Safety Data Sheet on line or in the SDS book near the laboratory.
214. ATTEND TO LIFE-THREATENING INJURIES
215. The primary concern in the event of an emergency is to protect life and health of others. Only give first aid treatment to the level at which you have been trained. If safe to do so, remove/evacuate all personnel in the immediate area away from the laboratory. Ensure door to laboratory is closed prior to leaving the area. If you are not sure if everyone has been evacuated, inform security.
216. ASSIST EMERGENCY RESPONDERS AS NEEDED
217. Should emergency assistance be summoned, emergency responders will arrive on the scene and take control of the incident. Cooperate with them to the fullest extent possible.
218. Accident Reporting
219. All accidents should be reported to the Principal Investigator, Laboratory Manager and the Laboratory Safety Office. Laboratory incidents resulting in even minor medical treatment or observation must be reported to the EH&S and Risk Management. If an employee was injured, then you must also report the incident to the Workers’ Compensation Coordinator in Human Resources. If a student was injured, report the incident to University Student Affairs. The report can be submitted electronically.
220. Facilities should also be notified as they will have to arrange for cleaning of the affected area before the laboratory can be reopened. Prior to reopening, Facilities should consult with EH&S, the PI and Lab Manager to ensure that any work that was required to safely reopen the lab has been completed.
221. 2.5 Audits
222. Regular laboratory audits will assist the university in its mission to maintain a laboratory environment that is inherently safe for its employees and students. Audits will be conducted to ensure the effective communication and compliance with of the Laboratory Safety Program. The ability of any laboratory to operate in a manner that minimizes risk to personnel and the environment is dependent on laboratory users who understand and carry out prudent practices for the safe handling, storing, and disposing of chemical, biological, and radioactive agents. The goals of each laboratory audits are to ensure that:
223. Laboratory facilities and equipment maintained and are safe to operate.
224. A safe working environment is provided for all employees and students.
225. All laboratory procedures and experiments are conducted in a safe and prudent manner.
226. The electronic checklist for General Laboratory Inspection will be utilized for each formal inspection. This checklist will assist the Laboratory Safety Office in the overall assessment of safety conditions in the university laboratory areas. A copy of the general laboratory inspection checklist can be viewed on Appendix B.
227. 3.0 STANDARD LABORATORY CONTROL MEASURES
228. Laboratories on campus are designed to limit specific hazards in a controlled environment. Once new hazards are introduced into a laboratory environment, the laboratory may need to be modified in some respect to mitigate or avoid an undesirable or adverse condition arising from the new hazard. There are a variety of facility designs and engineering controls that can be utilized in a laboratory to control chemical or biological hazards. Engineering controls consist of various measures for reducing a hazard at its source or for separating personnel from the hazard. Engineering controls might consist of isolating a particular chemical operation, enclosing a potentially explosive reaction, or utilizing local exhaust such as a fume hood for an operation which produces airborne chemicals. Since engineering controls function to reduce or eliminate a hazard at its source or before it is created.
229. It is the responsibility of the laboratory staff to become familiar with the specific functions and proper use of the control measures provided in the laboratory. However, the Principal Investigator, or their designee, is responsible for ensuring that the facility engineering controls are functioning properly at all times. Any concerns related to the engineering controls should be reported to Facilities at 909-469-5258 (or extension 5258).
230. 3.1 Hygiene Practices
231. There are generalized precautions and personal hygiene practices that have been established to protect laboratory staff from hazards associated with working with hazardous materials. Following these basic precautions will minimize the possibility of such exposure:
232. Do not prepare, store, or consume food or beverages in the laboratory.
233. Do not smoke, including Vape (e-cigarettes) in the laboratory. Tobacco products in opened packages can absorb chemical vapors and could become hazardous if heated or inhaled.
234. Do not apply cosmetics in the laboratory, (this includes lip balm or Chap Stick or inserting contact lenses).
235. Wash hands, wrists, and arms thoroughly before leaving the laboratory, even if gloves and a lab coat were worn during the work day.
236. Wash lab coats, aprons, or jackets separately from personal laundry to prevent cross contamination.
237. Never wear or bring lab coats, jackets or aprons into areas that are designated for the consumption of food.
238. Never mouth pipette.
239. Always use the appropriate personal protective equipment e.g. lab coats, gloves, safety glasses to avoid direct contact with any hazardous chemical.
240. Staff should know the symptoms of potential exposure related to the hazardous material(s) they are working with.
241. Replace PPE as needed to maintain its integrity.
242. Avoid working alone in a laboratory or building in general whenever possible. If unavoidable make sure to contact Security and inform them of this situation.
243. 3.2 Ventilation
244. The importance of clean uncontaminated air in the laboratory work environment is well known. Ventilation controls should be readily available and easily accessible to ensure that the laboratory air is continuously replaced and that concentrations of toxic substances do not permeate the laboratory and the air is safe to breathe. Additionally, the ventilation system should ensure that the toxic substances are not recirculated from laboratory to laboratory or within the building. There are two main types of ventilation systems, HVAC and local ventilation.
245. Heating, ventilation and air conditioning (HVAC) systems are designed primarily for temperature, humidity, and air quality.
246. Fume hoods are designed to remove the contaminants generated by an experiment or device to the exterior of the building.
247. It is the responsibility of the Principal Investigator or Laboratory Manager to immediately report any problems with the ventilation systems in the laboratories to Facilities 909-469-5258 (or extension 5258).
248. 3.3 Safety Equipment
249. All laboratories should be provided with safety showers, eyewashes, and appropriate fire extinguishers. Adequate ventilation, wash sinks, and approved waste disposal receptacles are also necessary. All of these should be conveniently located, properly maintained, and frequently tested and/or cleaned. In accordance with University policy and procedures special consideration should be given to ensure accessibility to safety equipment as well as ease of evacuation of physically disabled individuals.
250. Fume Hoods
251. Laboratory Safety
252. Laboratory air flows should be balanced at the time of fume hood installation and, at minimum, yearly thereafter to achieve designed fume hood face velocities and uniformity of airflow patterns. To assure the safety of the fume hood user, the following guidelines for fume hood use should be observed:
253. Ensure working condition of exhaust fan prior to fume hood use.
254. Always wear safety glasses and a lab coat when working at or near the fume hood.
255. Remove all items from the fume hood which are not necessary for the immediate operation or experiment.
256. Place all equipment necessary for the performance of experiments at least six inches inside the front face of the fume hood.
257. Perform all work that will release noxious vapors, fumes or aerosols at least six inches inside the front face of the fume hood.
258. Limit the quantity of chemicals and/or number of activities conducted within the fume hood that has potential for creating an explosion or fire situation.
259. Place the fume hood sash at the proper working height for procedures involving the handling of hazardous materials within the fume hood area. Typically, this is 14 to 18 inches (opening of the sash).
260. Do not use the fume hood for handling and/or storage of hazardous materials during scheduled periods of fume hood maintenance and/or repair.
261. Submit fume hood modification plans to the Laboratory Safety Office for preapproval. Unauthorized modifications to fume hoods, fume hood exhaust ducts or fume hood exhaust fans are prohibited.
262. Laboratory fume hoods should be inspected for proper operation and adequate face velocity annually and after maintenance/repair or adjustment. A fume hood sticker with information indicating date of inspection, expiration date, the inspector, intake velocity (>100 FPM) of the fume hood, approved use, and approved sash working height (marked) will be attached in a prominent location on the front of the fume hood.
263. Observe notices posted by the Fume Hood Certification vendor specifying schedules for shutdown of fume hood exhaust fans for routine maintenance and/or repairs.
264. Hand wash Stations
265. Principal Investigators or Laboratory Managers should designate an area in the laboratory for a hand wash station. These areas are usually located in one or two of the sinks in the laboratory. The hand wash stations should be properly labeled and equipped with soap and towels and be easily accessed.
266. These stations should be utilized by individuals who come in contact with chemical, biological, or radioactive agents in the laboratory. Everyone who works with hazardous agents on a routine basis should wash their hands before and after using the agents.
267. The stations should never be used to dispose of hazardous waste (Example: do not pour chemical, biological, or radioactive material down the drains). It is the responsibility of the Principal Investigator or Laboratory Manager to ensure that the hand wash stations are available, accessible and properly equipped at all times.
268. Safety Showers
269. In compliance with OSHA standard 29CFR 1910.151(c), each laboratory area should be equipped with a safety shower. The ANSI standard, Z358.1-12014, Emergency Eyewash and Shower Equipment, requires that emergency showers be:
270. located no more than 10 seconds in time nor greater than 55 feet from the hazard.
271. The shower must be readily accessible, be kept clear of obstructions, and clearly
272. labeled.
273. The valve must open readily and remain open until intentionally closed. Although
274. an associated floor drain is desirable, its absence should not prohibit installation of
275. a safety shower.
276. The Laboratory Safety Office will be responsible for ensuring that the safety showers are inspected on a regular schedule.
277. Eyewash Stations
278. Eyewash Stations are designed to provide a gentle and continuous, low-pressure flow of tempered aerated potable water at 0.4 gallons per minute for a period of at least 15 minutes. The stations must be easily accessible from any location in the laboratory.
279. When possible, all laboratory users should practice activating the eyewash stations.
280. Eyewashes, like safety showers, must be located no more than 10 seconds in time nor greater than this distance 55 feet from the hazard. Their location should be clearly labeled. It is recommended that safety showers and eyewashes be located at least five feet apart in the same room. The ANSI standard Z358.1-2014 requires that eyewashes be activated weekly. It is the responsibility of the Principal Investigator or Laboratory Coordinator to ensure that all eyewash units are checked on a weekly basis. For more information, visit ANSI web site.
281. Fire Extinguishers
282. Fire extinguishers are very important components of safe laboratory operation. Each laboratory should be equipped with the appropriate type for the expected fire emergency and be capable of immediate utilization. Currently the WesternU is utilizing multi-purpose (Class ABC) extinguishers for the majority of laboratories on campus. There are Class D extinguishers in laboratories which work with metals.
283. Safety Containers for Flammable Liquids
284. An approved container with a spring-closing lid and spout cover should be used to store flammable liquids. The safety container is designed so that it will safely relieve internal pressure when subjected to fire exposure. The safety container utilized in the laboratories must not exceed 19 L (5 gal) capacity.
285. These general safety practices should be followed by every individual working with flammables in the laboratory environment.
286. Chemicals in safety cans must be stored in designated storage areas in the laboratory. Storing safety cans in the laboratory work areas, on the floor, or in the hallway is unacceptable.
287. All flammable liquids must be stored in a laboratory storage area that protects the material from sources of ignition.
288. The safety container lid must be kept tightly closed except when adding or removing liquid flammables.
289. Flammable Storage Cabinets
290. The purpose of flammable storage cabinets is to protect the chemicals it holds from the heat and flames of external fire rather than to confine burning liquids within. The safe storage of flammable liquids or highly combustible chemicals should always be provided in a laboratory environment and in compliance with 29CFR1926.152. There must also be adequate security provided at all times to prevent unauthorized access to flammable chemicals. Storage facilities and equipment must be stable and secure against sliding and collapse, and not subject to flooding. The cabinets must meet NFPA 30 Guidelines on Flammable Liquids.
291. In all laboratory work with flammable liquids the requirements of 29 CFR 1910.106(d)(2), 29 CFR 1910. 1450, CCR Title 8, §5538, NFPA 30, and NFPA 45 should be followed. Laboratory Safety Offices has the current versions of these codes for persons wishing to review the documents. More information could be found at: https://www.nfpa.org.
292. Corrosive Storage Cabinets
293. Corrosives should be kept in corrosive storage cabinets specially designed to hold them. Do not store corrosives in flammable storage cabinets because they are not coated with an epoxy enamel to guard against chemical attack. It is recommended that Polyethylene trays be used to (trays are used to hold these types of items, can’t confirm if this is the standard across campus to collect small spills and to provide additional protection from corrosion for the shelves.
294. Biological Safety Cabinets
295. A biological safety cabinet is the device used to provide containment of infectious splashes or aerosols generated by many microbiological procedures. Three types of biological safety cabinets (Class I, II, and III) are used in microbiological laboratories. Class I and II biological safety cabinets are primary barriers which offer varying levels of protection to laboratory personnel and to the environment (when used with good microbiological techniques).
296. Autoclaves
297. Autoclaving usually is considered to be the method of choice for decontaminating cultures, laboratory glassware, pipettes, syringes, or other small items known to be contaminated with infectious agents. The location of the autoclave within the laboratory minimizes storage and transport problems. It provides a technically proven treatment method for rendering infectious material safe. Autoclaves must be loaded carefully to allow the steam to penetrate the wrapping, since the steam has to contact the pathogens in order to destroy the hazard. The length of time required for sterilization of biological material is determined by the quantity of the load, the volume of liquid in the load, and the density of the material. Safe work practices when utilizing an autoclave include the following:
298. Read the operating guide carefully and post the operation procedures near the autoclave.
299. Release pressure slowly and open the door only slightly to allow the steam to escape before unloading.
300. Wear insulated gloves when unloading the material.
301. If required quality control indicators (strips, ampules) should be used regularly as indicated by regulation or SOP.
302. Autoclaved waste must be placed into a red biohazard trash bag before disposal into a dumpster. Contact the Laboratory Safety Office if you have questions about proper autoclaving procedures.
303. Refrigerators
304. The storage of flammable or combustible liquid in a domestic refrigerator is prohibited. Flammable liquids that require refrigeration must be stored in a flammable/explosion proof rated refrigerator which properly labeled by the manufacturer. Refrigerators procured for the purpose of flammable liquid storage must be in compliance with the specifications for a Flammable Materials Storage Refrigerator as described in the NFPA Code 45, “Fire Protection for Laboratories Using Chemicals.” Existing domestic refrigerators used for storage of flammable liquids can be modified to eliminate sources of ignition within the storage compartment. However, the modification process can be applied only to guide defrost refrigerators. Self-defrosting models cannot be successfully modified to provide even minimum safeguards against vapor ignition.
305. 3.4 Personal Protective Equipment
306. Clothing
307. Loose or torn clothing can fall into chemicals or become ensnared in equipment and moving machinery. Aprons, lab coats, and other protective clothing, preferably made of chemically inert material, should be readily available and utilized in a laboratory environment. Hair should also be restrained because loose hair can catch fire or dip into chemical solutions. A laboratory coat or an apron should be worn when working with hazardous materials. This is particularly important if personal clothing leaves skin exposed. Since many synthetic fabrics can adhere to the skin when burning, and thereby increase the severity of a burn, cotton is the preferred laboratory clothing fabric. Shorts and open toe shoes should never be worn in the laboratory.
308. Eye and Face Protection
309. Laboratory work may require eye and face protection to reduce the possibility of chemical exposures due to splashes. Eye protection is required of everyone who enters a chemical work area. The type of eye protection needed depends on the circumstances. Typically, safety goggles that protect the top, bottom, front and sides of the eyes is mandatory. Safety goggles should not be worn in conjunction with contact lenses, except for therapeutic reasons. If contact lenses are worn, co-workers should all be aware of this, in case an accidental splash renders the wearer of such lenses incapable of washing or rinsing his or her eyes.
310. Face shields are necessary when working with severely corrosive liquids, with glassware under reduced or elevated pressure, with glass apparatus used in combustion or other high-temperature operations, and when there is a possibility of an explosion or implosion.
311. Hand Protection
312. The purpose of gloves is to protect against abrasions, cuts, punctures, snags, chemical burns, thermal burns, and temperature extremes in the work environment. There is a variety of gloves on the market to choose from depending on the chemical, the instrumentation, and the environment in which the hazardous material will be handled.
313. Guideline on proper glove selection.
314. Respirators
315. In a laboratory environment, respirators may sometimes be relied on if the engineering controls and laboratory design do not adequately limit the potential exposure to hazardous air contaminants. Individuals planning to use respiratory protection should contact EH&S for consultation. The proper selection and type of respirator used should be based on a thorough analysis of the specific activity planned. The EH&S will assist the respirator user in evaluating their individual circumstances. In addition, all individuals who wear respirators, other than dust mask as a personal preference, must first be medically approved by an occupational health physician and then should be fit-tested by the EH&S.
316. 3.5 Activities Subject to Approval
317. Principal Investigators and Laboratory Managers must identify those activities which warrant prior approval before initiation by an employee or student. These include work with potentially hazardous materials (includes biologic and chemical), radioactive materials, lasers, x-ray machines, animal research, dangerous drugs and controlled substances and human subject research. In addition, certain chemicals are considered particularly hazardous and should be reviewed and approved by EH&S, the Departmental Chair in conjunction with the Laboratory Safety Office, where indicated, the appropriate oversight committee.
318. Biosafety Committee
319. Researchers working with potentially hazardous biological agents, recombinant DNA and agents specified by the Centers for Disease Control and Prevention (CDC) must receive prior approval from the Biosafety Committee. Information and forms are available from the Research and Intellectual Property Management Division at Biosafety.
320. The following guidelines have been adopted as the minimum safety standards for research involving biological agents and materials at any WesternU laboratory:
321. Biosafety in Microbiological and Biomedical Laboratories, U.S. Department of Health and Human Services, Public Health Service Centers for Disease Control and National Institutes of Health, HHS Publication No. 93-8395.
322. NIH Guidelines for Research Involving Recombinant DNA Molecules, Office of Recombinant DNA Activities.
323. Radiation Safety Committee
324. Users of radioactive materials and radiation producing devices must be authorized by the Radiation Safety Officer and the Radiation Safety Committee. Principal Investigators must have sublicenses and/or sub registrations issued citing specific approval and conditions by the state’s Radiation Health Branch in the California Department of Public Health. Any questions related to usage of radiological materials are to be directed to the university’s Radiation Safety Officer.
325. All Authorized Users must follow good health physics work practices in the labs and maintain regulatory compliance.
326. In collaboration with the Radiation Safety Officer (RSO) EH&S is charged with the responsibility for providing certain health physics services and Principal Investigator consultations as well as radioactive waste disposal for the campus. The specific duties and responsibilities under state and federal law and university policy regarding radiation hazards are detailed in the Radiation Safety Guide available online at Radiation Safety.
327. Animal Research Committee
328. It is the responsibility of each Principal Investigator who wishes to use live animals to secure prior approval from Institutional Animal Care and Use Committee (IACUC). For more information on IACUC, please go to Institutional Animal Care and Use Committee.
329. Dangerous Drugs and Controlled Substances
330. Certain drugs and controlled substances (i.e. narcotics) are regulated by the Drug Enforcement Administration (DEA). Researchers who desire to work with these substances must secure registrations from the DEA. Contact the Laboratory Safety Office for further information.
331. Human Subjects
332. It is the responsibility of each Principal Investigator to identify all research involving the use of human beings as subjects of research and register the research protocol with the Committee for the Protection of Human Subjects. More information can be found at Institutional Review Board.
333. Particularly Hazardous Chemicals
334. The Laboratory Safety Office urges all chemical users to read and understand the SDS before using the specific chemical in question. Certain chemicals have been recognized by the International Agency for Research on Cancer (IARC) and other research bodies to cause or promote cancer in human beings. Pre-approval may be required from the Laboratory Safety Office to use particularly hazardous chemical. Please consult the Chemical Hygiene Plan available on the Laboratory Safety Offices website.
335. 4.0 SAFE HANDLING REQUIREMENTS IN THE LABORATORY
336. The majority of laboratory accidents are due to human error. Operational requirements for safe handling of hazardous materials in the laboratory when followed, reduce the chance of an accident due to human error. It is the responsibility of each laboratory employee and student to become familiar with the safe handling requirements in the laboratory described in this section. However, the Principal Investigator is responsible for ensuring their employees have sufficient knowledge to avoid recognized hazards in their laboratory.
337. 4.1 Hazard Identification
338. The LABORATORY SAFETY OFFICES requires that flammable liquids, toxic agents, highly reactive chemicals, and radioactive materials be handled in a manner which poses no substantial hazard to human health and safety and they must also not be deliberately discarded with the general waste or by any route into the sanitary sewer system.
339. OSHA’s Hazard Communication standard (29CFR1910.1200) requires that employees using a hazardous chemical receive Hazard Communication (HAZCOM) Training upon hire and whenever a new chemical is introduced into the work environment. This federal and state mandated training supports the employees right to be informed about hazardous chemicals in the work place, to have access to information regarding the hazards associated with those chemicals, and to be trained in safe work practices with the chemical. This training is provided on e-learn for employees..
340. While chemicals are the most widely recognized hazard in the laboratory environment, there are other potential hazards which need to be identified. These include biological, radioactive, electrical, mechanical and physical. Prior to working these hazards, approval is require as noted in Section 3.5 of this guide. It is important that all potential hazards in the laboratory environment be evaluated and controlled as much as possible for the health and safety of all working in the area
341. 4.2 Labeling
342. There are generalized labeling practices that have been established to protect laboratory staff from physical and health hazards associated with working with hazardous chemicals.
343. These labeling practices require that:
344. Labels on incoming containers of hazardous materials must not be removed or defaced.
345. All chemical containers used in the work place must, at a minimum, be labeled with the identity of the hazardous material
346. When material is transferred from a manufacturers labeled container to a new container, a label must be placed on the new container and must include the name of the chemical, concentration, PI’s name, initials of person making the transfer and the date of transfer into the new container.
347. 4.3 Compressed Gas Hazards
348. There are generalized practices that have been established to protect laboratory employees against physical hazards. These include compressed gas cylinder safety tips. A training module is available at the following link:
349. Compressed Gas Cylinder Safety
350. The following must be followed for the transporting, storing, and use of compressed gas cylinders.
351. Compressed Gas Cylinders Identification
352. The contents of any compressed gas cylinder should be identified clearly so as to be easily, quickly, and completely determined by any laboratory personnel.
353. A durable label should be provided by the supplier that cannot be removed from the compressed gas cylinder.
354. No compressed gas cylinder should be accepted for use that does not identify its contents legibly by name.
355. Color-coding is not a reliable means of identification; cylinder colors vary from supplier to supplier, and labels on caps have no value because many caps are interchangeable.
356. If the labeling on the gas cylinder becomes unclear or defaced so that the contents cannot be identified, the cylinder should be marked “contents unknown” and the manufacturer/supplier contacted regarding appropriate procedures.
357. Gas Cylinders Transportation
358. Cylinders transported by truck must be fastened securely in an upright position so that they will not fall or strike each other.
359. Cylinders should not be transported without safety caps. A cylinder’s cap should be screwed all the way down on the cylinder’s neck ring and should fit securely. Do not lift cylinders by the cap. The cap is for valve protection only.
360. Cylinders should not be transported with the regulator attached to the cylinder.
361. Compressed Gas Cylinders Storage
362. Cylinders should not be allowed to drop nor be struck violently.
363. Cylinders should be properly secured at all times whether attached to a wall, cylinder truck, cylinder rack, or post. Two straps are required and must be placed at 1/3 and 2/3 of the cylinder height above the floor.
364. Liquefied flammable gas cylinders should be stored in an upright position or such that the pressure relief valve is in direct line (connected directly) with the vapor space of the cylinder (top of cylinder).
365. Caps used for valve protection should be kept on the cylinders at all times except when the cylinder is actually being used or charged.
366. Cylinders should not be used for rolling, supports, or any purpose other than the transportation and supply of gas.
367. Cylinders should be stored in a well-ventilated area away from flames, sparks or any source of heat or ignition. Keep cylinders away from electrical circuits.
368. Cylinders should not be blocking access to any electrical source nor used as a grounding source for other equipment.
369. Cylinders should not be exposed to an open flame or to any temperature above 125 degrees F, 52 degrees C.
370. Oxygen cylinders (empty or full) in storage should be separated from fuel-gas cylinders and combustible materials by a minimum distance of 20 feet or by a barrier at least 5 feet high having a fire-resistance rating of at least one-half hour.
371. Flammable gas cylinders should not be stored with oxygen or nitrous oxide cylinders or adjacent to oxygen charging facilities.
372. Full and empty cylinders of all gases should be stored separately and identified by signs to prevent confusion.
373. Gas cylinders cannot be stored in public hallways or other unprotected areas.
374. Cylinders may be stored outdoors but should be protected from the ground to prevent bottom corrosion. Where extreme temperatures prevail, cylinders should be stored so they are protected from the direct rays of the sun.
375. Cylinders should not be exposed to continuous dampness, stored near salt or other corrosive chemicals or fumes. Corrosion may damage cylinders and cause their valve protection caps to stick.
376. Compressed Gas Cylinders Usage
377. Always use the proper regulator for the gas in the cylinder. Always check the regulator before attaching it to a cylinder. If the connections do not fit together readily, the wrong regulator is being used. Regulators have an identification cold stamped on them which identifies the type of tank (gas) that be used with that specific regulator. If not sure which regulator should be used, contact the vendor (vendor information is typically listed on the tank).
378. Before attaching cylinders to a connection, be sure that the threads on the cylinder and the connection mate are of a type intended for the gas service.
379. Do not permit oil or grease to come in contact with cylinders or their valves.
380. Wipe the outlet with a clean, dry, lint-free cloth before attaching connections or regulators. The threads and mating surfaces of the regulator and hose connections should be cleaned before the regulator is attached.
381. Attach the regulator securely before opening the valve wide. Always use a cylinder wrench or another tightly fitting wrench to tighten the regulator nut and hose connections.
382. Open cylinder valves SLOWLY. Do not use a wrench to open or close a hand wheel type cylinder valve. If it cannot be operated by hand, the valve should be repaired.
383. Stand to the side of the regulator when opening the cylinder valve.
384. Do not attempt to repair cylinder valves or their relief devices while a cylinder contains gas pressure. Tag leaking cylinders or cylinders with stuck valves and move them to a safe, secure outdoor location.
385. Compressed Gas Cylinder Policy
386. Principal Investigators and Department Chairs must not allow the purchase of non- returnable gas cylinders (Example: lecture bottles, small compressed gas cylinders). In addition, corrosive and reactive gas cylinders must be returned to the manufacturer one year after their date of delivery. All other cylinders must be returned to the manufacturer three years after their date of delivery.
387. 5.0 EMERGENCY AND MEDICAL PROCEDURES
388. An emergency situation is declared if a release or spill of a hazardous substance occurs that poses a significant threat to the health and safety of the faculty, staff, or students in the vicinity of the release.
389. The most important fact to remember in an emergency situation is to remain calm. Step away from the incident momentarily, to assess the magnitude of the situation and to determine the following information:
390. Is the situation life threatening?
391. Are there people injured?
392. Is there a persisting danger (Example: fire or toxic fumes)?
393. What agent caused the emergency situation (biological, chemical, or radiological)?
394. Once this information is ascertained, notify the WesternU Security by dialing Extension 3000 (or 909-706-3000) or call 911. Instruct the Security to send medical assistance if injuries have occurred. If minor injuries occurred due to the incident, students should seek medical attention from their healthcare provider. If an employee sustains only minor injuries, they should consider seeking medical attention from their personal physician. In addition to EH&S, the PI, lab manager, and Risk Management, the Laboratory Safety Office should be notified of any hazardous substance release or spill.
395. 5.1 Basic Emergency Response
396. Major Release
397. Assess the situation
398. If there is an immediate danger to life and health, evacuate the area then call WesternU Security at Ext 3000 or 909-706-3000 or 911
399. Pull the fire alarm and evacuate the area immediately
400. Evacuate and secure the area as much as possible without risking injury
401. Assist emergency responders by giving as much info as possible upon their arrival
402. Record/document events as much as possible for post emergency response work and investigation purposes
403. Controllable
404. Notify all personnel in the vicinity of the spill or release
405. Notify all personnel in the vicinity of the spill or release
406. Confine spill or release as soon as possible
407. If personnel are contaminated, personnel decontamination should proceed immediately using proper techniques.
408. Notify EH&S and the Laboratory Safety Office for assistance
409. Collect contaminated materials and PPE for appropriate disposal
410. 5.2 Injury and Illness
411. For medical treatment due to a major injury received in a laboratory environment, Campus Security is to be notified by calling 909-706-3000 or extension 3000 and 911 should be called.
412. For minor injuries, first aid kits should be accessible and fully equipped for use. First aid kits are only recommended for incidents that do not require emergency care. The kits should be periodically checked by the Laboratory Manager or Principal Investigator to ensure the availability of proper first aid treatment supplies in case of an accident. It is the Principal Investigator’s responsibility to:
413. Always have the first aid equipment readily available.
414. Keep essential supplies in the first aid kit at all times.
415. It is the faculty, staff, or student’s responsibility to notify the Principal Investigator and/or the Laboratory Manager if they become ill or injured from exposure to any chemical, biological, or radiological agent utilized in the laboratory. The following procedures should be followed:
416. Document the work related injury or illness by completing an online Incident Report. The form is available on the intranet at https://webapp.westernu.edu/incident_report/
417. Ensure that the injured person(s) receive prompt medical treatment.
418. Employees must contact the Office of Human Resources in order to be directed to the appropriate facility for medical evaluation or treatment.
419. Students can seek medical attention at the PCC Medical Center (if available), an Urgent Care, local hospital, or primary care physician.
420. For more detailed information on workplace illness and injuries refer to the WesternU
421. Workers’ Compensation Policy. The Laboratory Safety Office must report all incidents, even those which do not result in injury, if there is a potential for personal injury in the future by completing the electronic Incident Report form. Electronic form.
422. 5.3 Medical Consultation and Examinations
423. All employees are covered by workers’ compensation insurance in case of work-related incidents, injuries, and illnesses. Employees are to report incidents to their immediate supervisor, and must complete the online Incident Report. Please refer to the WesternU Workers’ Compensation packet for information on employee responsibilities related to injuries/illnesses. The Workers’ Compensation packet is available from the Office of Human Resources.
424. Following a workplace injury or illness that occurs after regular office/work hours, the employee is entitled to emergency medical attention (if required) at an urgent care facility or any area hospital emergency room. The on-line Incident Report must be completed within 24 hours of the incident. If the employee is unable to complete the on-line incident report within the 24-hour timeframe, the supervisor should complete it to notify the Office of Human Resources. Follow up care under workers’ compensation insurance will be arranged by HR.
425. Accident Reporting
426. All accidents should be reported to the Principal Investigator, Laboratory Manager and the Laboratory Safety Office. Laboratory incidents resulting in even minor medical treatment or observation must be reported to the EH&S and Risk Management. If an employee was injured, then you must also complete the on-line Incident Report form to report the incident to the Workers’ Compensation administrator in Human Resources. If a student was injured, report the incident to University Student Affairs. The report can be submitted electronically.
427. For more detailed information on workplace illness and injuries refer to the WesternU
428. Facilities should also be notified by calling 909-469-5258 (or ext. 5258) as they will have to arrange for cleaning of the affected area before the laboratory can be reopened. Prior to reopening, Facilities should consult with EH&S, the PI and Lab Manager to ensure that any work that was required to safely reopen the lab has been completed.
429. Guide 2：Laboratory Safety Rules and Guidelines
1. General Lab Safety Rules and Guidelines
430. The very first point of action for new staff or students is to go through a general orientation, usually by the lab manager or a graduate student. This encompasses the standard operating procedures, safety rules, and emergency response guidelines. It is imperative to take this training seriously, jot down notes if need be, request copies of these guidelines for in-depth study, and ask questions when things are not clear.
431. Regardless of the type of lab you are in, there are general rules on safety that you need to observe as discussed below:
1.1. Learn about emergency responses
432. You need to be familiar with what to do in case of an accident and whom to report to or contact. It is imperative to know where items like fire extinguishers, emergency showers, eyewash faucets, first aid kits, and fire blankets are stored and how to operate or use them. Ensure all accidents, however minor is reported to your supervisor.
1.2. Train before experimentation
433. Do not operate any equipment or conduct experiments without prior training.
434. If you are still unsure of a certain procedure, get help from your supervisor or any other trained staff. Write down protocols or make copies of the SOPs to refer to when in doubt.
1.3. Plan your work during normal working hours
435. This ensures that you are not alone for prolonged periods because working alone leaves you more vulnerable in case of accidents or injuries. Having other members around you also ensures you have extra pairs of eyes to point out potential risks that you might miss while performing your experiments.
1.4. Treat all chemicals in the lab as if they were toxic
436. This means that there should be no direct sniffing, touching, or tasting of chemicals or reaction mixes. In addition:
437. Mouth pipetting is dangerous, so, use rubber bulbs or electronic pipette pumps to suck liquids,
438. When using volatile or toxic chemicals, ensure to open and use them within a fume chamber.
439. At the end of your experiments, thoroughly wash your hands with soap and clean water.
1.5. Adhere to electrical safety guidelines
440. Malfunction of sockets or equipment can lead to injury from electric shocks and damage of lab from fires, therefore:
441. Avoid the use of electrical extension cords and plugs with exposed or frayed wires.
442. In case a machine causes electric shock, immediately shut down the power source and report this to the supervisor or technician in charge.
443. Ensure that power sources are not overloaded because a lot of equipment can cause overheating of the socket which can lead to a fire.
1.6. Laser use safety guidelines
444. Safety guidelines depend on the classification of the laser, with high-powered laser requiring more safety measures. Generally, consider the following:
445. Protective eyewear is required when working with lasers of class IIIa, IIIb, and IV to avoid injury to the lenses.
446. Ensure reflective objects like mirrors and jewelry are removed because they can redirect the laser trajectory and bounce it off to skin or a flammable object.
447. Always switch on the laser warning light to warn other lab members against entering the room without the appropriate PPE.
448. Do not put the laser beam at eye level even when you think the laser is shut off.
2. Chemical Safety Rules and Guidelines
449. Chemistry labs have an assortment of chemicals and reagents that range from very toxic to generally innocuous chemicals. Fatal and harmful accidents can result from careless handling or non-compliance to rules and guidelines. The following guidelines apply;
2.1. Learn the universal chemical safety codes and pictograms
450. It is essential for the new lab members to understand the usage of symbols and colors to signify chemical properties and their potential hazards. For example, color blue for health hazards, yellow for unstable chemicals, and red for flammable. There are also symbols and pictograms used to denote radioactive substances, carcinogens, irritants, etc. All these must be clear to everyone handling these chemicals.
2.2. Read and understand the chemical MSDSs
451. Prior to the use of any chemical, ensure you have read and understood its material safety data sheet (MSDS). This contains instructions on safe use, potential hazards, and how to handle spills and disposal. All MSDS should be filed in a central place where lab members can easily access them when in need of clarification.
2.3. Label reagent aliquots properly
452. All lab preparations and aliquots of reagents should be clearly labeled with the following:
453. Name of reagent or chemical mix
454. Date of preparation and
455. Identity of the individual responsible for the preparation
456. This should be stored in the appropriate container, for example; amber containers for light-sensitive reagents, and stored under the right temperature.
2.4. Follow guidelines on the storage of chemicals
457. It is important to adhere to the storage guidelines of chemicals within the lab for instance:
458. Certain substances should not be stored in close proximity to avoid unwanted reactions while others need special consideration due to their chemical properties.
459. Generally, chemicals are stored according to their hazard labels, for example, flammable chemicals are stored away from ignition sources or other reactive chemicals and at temperatures below 37o
460. Other considerations include storing corrosive chemicals in additional secondary containers and storage of volatile and toxic chemicals in well-ventilated cabinets.
3. Individual Responsibility: Personal Protection Rules
461. Each member of the lab must learn and adhere to the rules and guidelines set, to minimize the chances of harm befalling them within the work environment. These encompass dress code, use of personal protection equipment, and general behavior in the lab.
3.1. Laboratory dress code
462. It is important to put into consideration what you wear to the lab because certain clothes and accessories could increase the probability of injury or give little protection in case of an accident. For example:
463. Avoid wearing shorts and short clothes to the lab because this leaves your legs vulnerable to chemical or biological spills.
464. Closed and well-fitting flat shoes are recommended to protect your toes and for comfort when you have to spend long periods of time on your feet.
465. Hair beyond chin-length should be tied back or pinned up because this can be a source of contamination for your experiments or injury if it accidentally swings towards an open flame.
466. Dangling jewelry on your hands, neck, and hair should be removed once you enter the lab space
3.2. Use of PPE during experiments
467. Always use the recommended PPE and safety equipment for each particular experiment, remember:
468. Use gloves when handling any chemicals, sometimes, specific kind of gloves will be required, for example, cryogenic gloves when handling items at very low temperatures.
469. Eye goggles should be routinely used in the lab especially when handling caustic chemicals, reagents under pressure, or when working near UV light.
470. Depending on the kind of chemicals you are handling, more protection might be required, for example, the use of a blast shield in cases of a highly energetic chemical, the use of earplugs when using sonicators, or lead shields when using some types of radioactive isotopes.
3.3. Emergency response after injury/exposure
471. In case of chemical contact with your skin or general exposure to infectious material like blood, you need to:
472. Immediately wash your hands with soap and water.
473. If the areas exposed include the face, chest, and arm, use the emergency shower to clean off the contaminants.
474. In case your eyes are affected, immediately use the eyewash. Having another person direct the water stream for at least 20 minutes to your eye while you hold it open is recommended.
3.4. General code of behavior in the lab
475. Whilst in the lab, observe the following:
476. Eating and drinking are prohibited in the laboratory. The probability of contaminating your food with chemicals or pathogens is high within the lab and these activities also distract you from ongoing experiments which could lead to loss of data or failed experiments.
477. Personal grooming habits like applying make-up, combing hair, or handling contact lenses also increase the chances of personal injury or contamination/infection.
478. Maintaining a quiet and serene environment is important for a focussed and efficient workspace. Loud chattering and laughter, screams, sudden movements, or running in the lab will cause distractions and can lead to accidents.
4. Collective Responsibility: Housekeeping Rules and Guidelines
479. A laboratory is a shared workspace and each individual has the responsibility to ensure that it is tidy, clean, well-maintained, and free of contamination that might interfere with the work or wellbeing of the lab members. The following guidelines will ensure a safe and efficient working environment.
4.1. Cleaning and disposal of waste
480. Make sure you are conversant with the lab’s rules on the handling of used glassware, spillage, and disposal of waste.
481. Some labs have designated glassware cleaners and therefore you need to transfer used items to the central cleaning station, while others have a policy of ‘use and clean’.
482. In cases of non-toxic spillages, notify people working around the area and immediately clean it up to reduce the chances of injuries from slips and falls.
483. On waste disposal, many labs have separate disposal directives for different kinds of waste, for example, there could be a separate bin for gloves and paper waste, another for plastic items, and a different one for sharps. Ensure you dispose of items accordingly.
4.2. Declutter working spaces and aisles
484. For a more efficient workspace, you should;
485. Ensure that items like chairs, stools, bags, and waste bins do not block paths and aisles to reduce tripping hazards. This is especially crucial in case of an emergency and people need to evacuate fast.
486. Remove from the bench glassware, reagents, and equipment that you no longer need to avoid cramming workspaces with unnecessary items. This not only helps you work more efficiently but also reduces the chances of knocking over items causing breakages or spillages.
487. Access to emergency exits and emergency response items like fire extinguishers, showers, and eyewash faucets should be free from obstruction.
4.3. Follow the lab guidelines on the storage of equipment and chemicals
488. If there are designated spaces for storage of particular items, ensure you return them in the appropriate place after use to avoid inconveniencing the next user. Adhere to guidelines made to make the workspace more efficient, for example, frequently used items are stored closer or lower on the shelves while the less frequently used items are put much farther.
4.4. Keep lab records up to date
489. Many labs have inventories where the use of certain items is captured and this information is used to make new orders or monitor usage. Ensure you correctly identify reagents or items acquired from storage/stock. At the end of your experiments, turn off machines that were in use and if your lab guidelines require logging equipment usage, do not forget to do so.
490. The adherence to laboratory safety rules and guidelines cannot be overemphasized and with reports of a continually high number of accidents in academic and research laboratories, a culture of safety has to be ingrained in every staff, student, or researcher working in these spaces. This will ensure that life-altering harm does not befall lab members, data is not corrupted, and wastage of resources is avoided.
491. References
492. Meyer T. How about safety and risk management in research and education? Procedia Engineering, 2012 42: 934 – 945
493. National Research Council. Prudent Practices in the Laboratory. Handling and Management of Chemical Hazards. National Academy Press: Washington, DC, 2011.
494. Nature special report. How dangerous is chemistry? Nature, 2006 441: 560–561
495. Foderaro LW. Yale Student Killed as Hair Gets Caught in lathe. New York Times, 13-04-2011
496. Eguna MT Suico MLS and Lim PJ. Learning to be safe: Chemical laboratory management in a developing country. Chem Health Safe 2011:6(4);5-7.
497. Kandel KP, Neupane BB, Giri B. Status of chemistry lab safety in Nepal. PLoS One. 2017 23:12(6)
498. Cohen J. Lab safety. Alarm over biosafety blunders. Science. 2014 18:345 (6194); 247-8
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16k
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T7. Consistency & Compliance Checking
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T7.2 Targeted Rule or Condition Violation Detection
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Partial
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Rule: As per 'Guide 1: Lab Safety Guide,' Section 3.4, "A laboratory coat or an apron should be worn when working with hazardous materials," and 'Guide 2: Laboratory Safety Rules and Guidelines,' Section 3.1, states to avoid wearing certain types of clothing that offer little protection. In the article 'Deadly UCLA lab fire leaves haunting questions,' identify the paragraph that contains the most direct description of Sheri Sangji’s clothing, which violated this protective equipment rule. Output the "[Answer]" identifier first, and then output the paragraph number, without any additional content.
Output example:
[Answer]
1
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Rule: As per 'Guide 1: Lab Safety Guide,' Section 3.4, "A laboratory coat or an apron should be worn when working with hazardous materials," and 'Guide 2: Laboratory Safety Rules and Guidelines,' Section 3.1, states to avoid wearing certain types of clothing that offer little protection. In the article 'Deadly UCLA lab fire leaves haunting questions,' identify the paragraph that contains the most direct description of Sheri Sangji’s clothing, which violated this protective equipment rule. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the paragraph number, without any additional content.
Output example:
<Your thinking process>
[Answer]
1
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[
"11"
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Easy
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b3c235a4415630856bb6929f7f9fb22d7fc2f84140f6e306ec1434468001f410
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Tiger population rises, conflicts drop in Nepal
Nepal's tiger population has risen and the frequency of fatal human-tiger conflicts has declined over the past decade. The country now aims for the sustainable coexistence of big cats and heman beings. Wildlife conservationists claim Nepal can sustain up to 500 tigers based on available habitat, prey species and landscape management.
"Nepal's protected areas, buffer zones and forest corridors are now in a position to accommodate around 500 tigers. The availability of prey, improved grassland management and overall conservation efforts make this target feasible," said Hem Sagar Baral, country representative at the Zoological Society of London, Nepal Office.
Nepal had just 121 tigers in 2010. By 2022, that number had surged to 355, a remarkable achievement given the global decline in tiger habitats and populations. Over the past century, tiger habitats and populations have plummeted worldwide, leaving the conservation authorities struggling to increase the tiger population.
Experts attribute the population increase to effective anti-poaching measures, habitat restoration, prey population recovery, expansion of national parks and the establishment of wildlife corridors with India.
The Chitwan National Park, the country's oldest protected area, is home to the highest number of tigers in the country at 128, followed by Bardiya with 125. Likewise, Parsa houses 41, Shuklaphanta 36 and Banke 25.
Haribhadra Acharya, a senior ecologist at the Department of National Parks and Wildlife Conservation, emphasized that the country's core national park areas can support around 400 tigers, while surrounding forests can accommodate another 100.
"The increase in tiger numbers does not necessarily lead to more human-tiger conflict," said Acharya. "In fact, deaths from tiger attacks have decreased over the past three years," he added.
According to data from the National Trust for Nature Conservation, 75 people have died from tiger attacks in the past seven years. However, the annual death toll has fluctuated. In fiscal year 2021-22, there were 21 deaths, which dropped to 12 in 2022-23, 10 in 2023-24 and seven in the last fiscal year of 2024-25.
While the rise in tiger numbers is a conservation triumph, it also offers new economic prospectsc for the country. "We now need to capitalize on this success by promoting wildlife tourism," said Naresh Subedi, a member secretary at the National Trust for Nature Conservation.
"Tigers attract high-spending tourists. By offering opportunities to see them, we can help both conservation and local economies."
At the same time, the increase in tiger density is altering traditional behavioral patterns. Generally, a male tiger marks its territory over 50 square kilometers while a female marks the territory of about 30 sq km.
"In Bardiya, the average home range of a tiger has shrunken to just 7 to 8 sq km, compared to the norm of 30 to 50 sq km," said Ashok Ram, warden of Bardiya National Park.
This compression has led to overlapping territories and occasional infighting among tigers. "When young males lose territorial fights, they are forced to move toward the park's fringes, often ending up in human settlements and preying on livestock. Such incidents usually involve older, injured or weak tigers," said Ram.
A female tiger generally gives birth to two to four cubs, sometimes even seven. These cubs stay with their mother for up to three years before moving out to establish their own territories. Male cubs often end up in conflict with their fathers while trying to establish dominance. This natural dispersion process sometimes pushes tigers near human settlements.
To mitigate human-wildlife conflict, conservationists stress the need for better habitat management. "We must develop good habitats with patches of open grasslands for prey and dense cover for stalking," said Babu Ram Lamichhane, a tiger expert. "Proper habitat zoning in and outside national parks can ensure that tigers remain within their natural range."
Bringing benefits
Despite challenges, Nepal has emerged as a global leader in tiger conservation. The species is not only a symbol of power in Nepali culture but also a key ecological indicator. As apex predators, tigers help regulate herbivore populations, maintaining ecologicale balance and preventing the spread of disease.
"The real challenge now is showing the world that humans and tigers can live side-by-side," said Baral. "If we succeed, it will be a global conservation milestone."
As Nepal celebrates its success in expanding its tiger population and reducing human-tiger conflict, data from Chitwan shows how once-troubled areas like Kumroj are witnessing fewer deadly encounters with the big cats.
The fiscal year of 2021-22 saw 14 deaths from tiger attacks in Chitwan, with six incidents in the Kumroj buffer zone community forest area alone, four of them fatal. Since then, tiger attacks have declined. Just one person from the Kumroj area died from a tiger attack in the fiscal year of 2024-25.
Lamichhane, who has researched human-leopard and tiger interactions, believes that while tiger numbers are rising, there are not necessarily more attacks. "Tigers relocate to new forests as populations grow. Conflict arises when locals, unaware of their presence, enter these areas for firewood or forage," he explained.
"Just around 5 percent of all tigers may pose a threat to humans. Their timely capture can prevent casualties," Lamichhane suggested. Yet, managing rescued tigers is an ongoing problem. On July 23, Chitwan National Park captured a tiger near Meghauli village. Although it had not harmed anyone, its proximity to human settlements made intervention necessary.
With limited enclosures, tigers are often kept in inadequate facilities. "We currently house seven tigers, but space and resources are tight," said Abinash Thapa Magar, information officer at the Chitwan National Park.
Conservationists underscore the need for building a spacious area. "We need spacious, zoo-style habitats to house rescued tigers safely and boost eco-tourism — a step crucial for sustaining both conservation and community support," said Ganesh Pant, chief conservation officer of Chitwan National Park.
THE KATHMANDU POST, NEPAL
Megaport in Peru redefines trade relations
For decades, Chancay was a quiet town north of Lima, Peru, better known for its fishing community and slow rhythm. That changed after the Chancay Port was officially inaugurated in November 2024.
Built in just three years through Chinese-Peruvian collaboration, the port shortens the shipping time across the Pacific by nearly one-third, reduces logistics costs by 20 percent and is expected to directly create more than 8,000 jobs.
Since then, cargo ships have been docking in record numbers. Following the launch of a direct corridor with Shanghai, ships now run twice a week, carrying goods such as fish meal, fruits and copper eastward and bringing back a slew of manufactured goods from the large manufacturing bases in Asia. For exporters and importers, this regular service has ensured speed and certainty.
"The Port of Chancay is the first port on South America's Pacific coast capable of handling large-capacity container ships," said Rosa Elis Teles Galletta, a researcher at the Federal University of Rio de Janeiro. "Its inauguration not only connects Peru to the Chinese market but also redefines trade relations throughout the region, particularly through the connection between the Atlantic and Pacific oceans."
The outsized influence of the port may be most visible on Chancay's main boulevard, where storefronts brim with imports like toys, kitchenware and flasks. Local traders have been importing such goods at lower cost and distributing them swiftly.
Figures reflect how quickly the megaport is reshaping trade. In the first six months of 2025, shipments along the Chancay-Shanghai corridor totaled 78,000 metric tons with a value of 1.72 billion yuan ($241 million), pushing trade between the two hubs up by nearly 35 percent, according to data from Shanghai Customs.
Products such as avocado, mango and blueberry are now shipped directly to China in greater volumes. On July 4, Shanghai's Yangshan Port received the season's first blueberry consignment from Chancay, 11.7 tons in total.
To help small businesses participate in the boom, the Chancay Chamber of Commerce launched its "Importing is Easy" program, which guides entrepreneurs through customs, formalization and access to global supply chains.
"These initiatives are important because they provide local users with the tools and advice they need to conduct their foreign trade operations efficiently, as well as to increasse their profitability, improve operational processes, and take advantage of business opportunities," said Ruben Tang, head of the Office of Relations with Asia at the Pontifical Catholic University of Peru.
The benefits, Tang notes, extend far beyond trade.
Ripple effects
With the port at their doorstep, Chancay could see ripple effects from tourism, logistics, commerce and real estate with new transport services and hotels opening up along with trading companies and housing projects.
Tang believes the model can be replicated elsewhere in South America, helping smaller cities grow through logistics modernization and improved access to international markets.
"It can also serve as a model for addressing the challenges of the external market with greater confidence and capacity," he added.
Built to Chinese standards, the megaport features automation and its own 5G network, placing the terminal in Peru on par with the world's most advanced terminals.
"The infrastructure represents a significant advance for Peru's logistics network and allows port workers, mostly Peruvians, to gain experience operating a terminal comparable to the most modern in the world," Galletta explained.
Chinese migration to Peru dates back to 1847 but the long relationship has strengthened over the past couple of decades, culminating in the China-Peru Free Trade Agreement signed in 2009. Peru joined the Belt and Road Initiative a decade later.
China has been Peru's largest trading partner for 10 consecutive years, accounting for up to 39 percent of Peruvian exports.
The writer is a freelance journalist for China Daily.
Germany must look beyond US: Merz
German Chancellor Friedrich Merz has said his country must look beyond the United States and seek trading partners elsewhere.
Referring to the July 27 trade deal between the US and the European Union, which calls for 15 percent tariffs on EU goods arriving in the US, he said things could have been worse, but that Germany must now look for new markets.
"How do we handle world trade if, for example, the Americans are no longer prepared to play by the rules of the World Trade Organization?" the Reuters news agency quoted him as saying during a government open day in Berlin on Sunday. "We should search for partners in the world that share our thinking."
He said Germany might find those partners and mutually beneficial deals in Africa, Asia and South America.
"We must consistently go down that road," he added.
Merz, who is the leader of Germany's conservative Christian Democratic Union, or CDU, has led the government since May 6 and faces a serious challenge from the fast-rising far-right Alternative for Germany, or AfD.
In a poll published in Bild newspaper on the weekend, pollster INSA said Merz's approval rating stands at 25 percent, which is the same as that of the AfD.
With Germany's struggling economy one of the main reasons for the AfD's surging popularity, Merz said his government must tackle economic challenges quickly. But he acknowledged they are proving to be harder to fix than he expected.
"I say this also self-critically, this task is bigger than one or the other may have imagined a year ago," Bloomberg quoted him as saying during a speech in the northern German town of Osnabrueck on Saturday. "We're not just in a period of economic weakness, we are in a structural crisis of our economy."
Experts have blamed Germany's economic woes on high energy costs largely attributed to the Russia-Ukraine conflict, and to the turmoil created by US President Donald Trump's trade tariffs.
Merz said recent data that shows the Volkswagen auto group had a 36 percent slump in second-quarter after-tax earnings was "one of many messages" that indicate the depth of the economic woes in Europe's largest economy, main manufacturer and biggest exporter.
"Large parts of our economy are no longer truly competitive and that's a question of price competitiveness," he said. "The quality is still good and company leaders recognize these challenges. But the underlying conditions in Germany simply haven't been good enough for the last decade."
He has promised to counter the economic challenges with reforms and reduced red tape, as well as modernized infrastructure and moves to stimulate domestic demand. And he said his government must also look at overhauling Germany's large and costly social security system.
Meeting rejects Israel's 'sinister agenda'
A high-level meeting of the Organization of Islamic Cooperation called for international solidarity in pressuring Israel to accept a "solution" as it rejected Tel Aviv's "sinister agenda" in the West Bank and Gaza amid famine and unrelenting atrocities.
OIC Secretary-General Hissein Brahim Taha said they hold Israel accountable and condemned its declaration and intention to impose a military attack and total siege on the Gaza Strip and urged continued work to come to a peaceful settlement.
"We support the final document of this conference and we support the declaration made by many countries. We hope this decision will come out with important measures to stop Israeli aggression," said Taha.
Turkish Foreign Minister Hakan Fidan said solidarity alone "is not enough" as he called for stronger collective action. He said the meeting would focus on three urgent tasks — halting the war, forging a united response in the global Muslim community and mobilizing the international community.
Turkiye chaired the opening of the 21st Extraordinary Session of the OIC Council of Foreign Ministers in Jeddah, Saudi Arabia, on Monday, to discuss the ongoing Israeli aggression against the Palestinian people.
"What the Palestinians need more than ever is our collective action. …The mobilization of the entire international community is indispensable," said Fidan.
He warned that if a ceasefire is not secured soon, Israel "would continue its occupation plans and escalate its atrocities".
"Our immediate priority is to secure a lasting ceasefire and deliver lifesaving humanitarian aid to Gaza.… We will continue to support the peace efforts of Qatar, Egypt and the United States and do our best to help the mediators," said Fidan.
Unlawful attacks
"Furthermore, Israel's aggression will not stop with Palestine. The frequent unlawful attacks of the regime on Syria, Lebanon and Iran reveal a broader and sinister agenda to destabilize our entire region. If not stopped, this threatens to engulf the Middle East and beyond. Let our resolution today be a pledge. Palestine will endure and its people will attain freedom, justice and peace," said Fidan.
He called on the countries to join forces in sustaining and expanding the momentum for Palestine's recognition, launching an initiative within the United Nations for Palestine's full membership. He also called for Israel's suspension from the UN General Assembly.
Saudi Arabia's Foreign Minister Faisal bin Farhan Al Saud said Israel's actions constitute a flagrant violation of international and humanitarian norms, and rejected Israeli Prime Minister Benjamin Netanyahu's calls for implementing the "Greater Israel" vision.
He called on those still hesitant to put an end to this impunity, as the continuation of the impunity "will undermine the rules of the international system, law and cooperation".
Riyad Mansour, permanent observer of the State of Palestine to the UN, said they required all the legal tools to put an end to the conflict.
He assured the meeting that Palestine was "ready to work with stakeholders" from the Arab League to the UN Security Council members as well as international partners "to put an end to this barbaric war and bloodshed".
On the ground, Gaza's civil defense agency said five journalists were among at least 20 people killed on Monday, when Israeli strikes hit a hospital in the south, with Reuters, The Associated Press and Al Jazeera mourning their slain contributors.
According to media watchdogs, around 200 journalists have been killed in nearly two years of conflict in Gaza.
In Yemen's capital Sanaa, Israeli bombardment on Sunday killed at least six people and injured 86 others while causing huge fires in major oil facilities. It was one of the worst direct Israeli attacks on Yemeni targets in over a year.
Agencies contributed to this story.
Shared wartime history unites nations
Eighty years after China and the United States fought side by side in World War II, Beijing's top envoy in Washington said that the two countries must draw on their shared wartime history and recommit to peaceful coexistence and practical cooperation.
Ambassador Xie Feng delivered the message on Wednesday at an art exhibition at the Chinese embassy marking the 80th anniversary of victory in the Chinese People's War of Resistance Against Japanese Aggression (1931-45) and the World Anti-Fascist War.
Xie hailed the "heroes" who resisted fascism, from Chinese civilians to foreign volunteers, and recalled how, during what he described as a "decisive war between justice and evil," China and more than 50 nations formed an international anti-fascist front.
"The Flying Tigers soared across the sky to intercept Japanese aggressors, and opened up the treacherous 'Hump Route' over the Roof of the World, writing an epic story in pursuit of peace with their lives," he said.
In 1941, volunteer US pilots, known as the Flying Tigers, fought alongside the Chinese against the Japanese in China.
The ambassador praised foreign artists and journalists, including US illustrator Martha Sawyers and photographer Robert Capa, for rallying support for China during the war.
"Today, to safeguard the post-war international order and protect the Earth, our only home, we still need such heroes, and should act together for peace and for the future," he said.
Xie also pointed to the Doolittle Raid of 1942, when US pilots, running low on fuel after completing their attack on Japan, crash-landed in China.
"Chinese soldiers and civilians spared no effort to rescue the pilots they had never met before," he said, noting that some 250,000 Chinese civilians were killed in Japanese retaliation.
That wartime experience left a lasting imprint on bilateral ties.
"The friendship between the Chinese and American people was forged amid the trials of blood and fire," Xie said, "and has gained new life and injected fresh impetus into bilateral relations over the years."
"It is a constant reminder that China and the US should see each other as a partner and friend, contribute to one another's success and benefit the whole world; that we should never forget what our two peoples went through together in the era of war, and should never waver in our commitment to peaceful coexistence and win-win cooperation," he added.
The envoy's message was as much about today as yesterday. The lesson of history, he noted, is that "prejudice, hatred and war will bring nothing but disaster and pain," while cooperation offers the only path forward.
"Eight decades ago, our two countries fought against fascism side by side and jointly defended peace and justice. Eight decades later, we have more extensive common interests, broader space for cooperation, and more important international obligations," he said.
As the world's two largest economies and as permanent members of the United Nations Security Council, China and the US share a special and significant responsibility for upholding world peace and stability, and promoting global development and prosperity, Xie said.
The two global powers with vast common interests should coexist peacefully and "get more good things done," he added.
Jeffrey Green, chairman of the US-China Aviation Heritage Foundation, also emphasizeed the importance of remembering the wartime bond.
Echoing Xie, Green described the sacrifices made by ordinary Chinese in aiding downed US pilots.
"Families risked their lives to hide airmen, dress their wounds and guide them to safety," he said. "Never has one nation's people so consistently risked so much for those of another. This was not merely an alliance. It was humanity at its purest form."
Green noted that the story of the Flying Tigers and the Chinese people's shared struggle and sacrifice is more than a bridge between China and the United States, but "a timeless testament to the power of solidarity".
"May this legacy continue to inspire all of us to look beyond borders, to cherish our shared humanity and to walk together toward a future of mutual respect and lasting peace and a common destiny," he said.
David Frazer, a professor at the Rhode Island School of Design, stressed the role of culture in bridging divides today.
"Despite the political differences that exist today between our great countries, global appreciation for the arts transcends these differences," he said.
Frazer called art a "diplomatic tool that promises hope for the future with peace and prosperity for all our people."
He called for the legacy of solidarity to continue.
"I'm sure that everyone here this evening hopes that our futures promise, dearly, truly … that our two countries will live in peaceful coexistence and will prosper together in healthy economic competition with friendship and, most importantly, respect," he said.
More than 200 guests, including US dignitaries, attended the commemorative exhibition, jointly organized with State broadcaster China Central Television.
US rejects pandemic-related WHO amendments; unilateral move may disrupt global public health governance: expert
US administration said on Friday local time it was rejecting amendments introduced by the World Health Organization (WHO) in 2024 on pandemic response, alleging they violated US sovereignty, according to multiple media reports.
The so-called sovereignty concern voiced by the US has been disputed, as some foreign media said the amendment doesn't override national sovereignty. The US move, following its unilateral withdrawal from the WHO, may disrupt global governance in public health, according to a Chinese expert.
The US Department of State and Department of Health and Human Services said in a statement they had transmitted on Friday the official US rejection of the amendments to the International Health Regulations, which were adopted by consensus last year, the Reuters reported.
That pact, which was adopted in Geneva in May after three years of negotiations, aims to ensure that drugs, therapeutics and vaccines are globally accessible when the next pandemic hits, per Reuters. It requires participating manufacturers to allocate a target of 20 percent of their vaccines, medicines and tests to the WHO during a pandemic to ensure poorer countries have access, said the report.
"Developed without adequate public input, these amendments expand the role of the WHO in public health emergencies, create additional authorities for the WHO for shaping pandemic declarations, and promote WHO's ability to facilitate 'equitable access' of health commodities," the US statement claimed.
"Terminology throughout the 2024 amendments is vague and broad, risking WHO-coordinated international responses that focus on political issues like solidarity, rather than rapid and effective actions," said the statement, jointly issued by Secretary of State Marco Rubio and Secretary of Health and Human Services Robert F. Kennedy Jr.
They said on Friday that their rejection protects US sovereignty, the Reuters reported. However, the Reuters report noted the amendments of the International Health Regulations and the parallel pandemic pact leave health policy to national governments and contain nothing that overrides national sovereignty, citing Article from the WHO Pandemic Agreement.
The US' repeated rejection of WHO decisions demonstrates its attempt to pursue exclusive dominance rather than multilateral collaboration, Lü Xiang, a research fellow at the Chinese Academy of Social Sciences, told the Global Times on Saturday.
For the US itself, according to Lü, severance from WHO's global information network would critically compromise US's capacity to maintain comprehensive epidemiological data integrity. This self-inflicted isolation would significantly diminish its preparedness for future pandemics.
According to Straits Times, countries have until Saturday to lodge reservations about the amendments.
Lockdowns and vaccine mandates were a contentious political issue in the US during the pandemic, with right-wing activists leading the charge in rejecting the measures, media reported.
US negotiators left discussions about the accord after President Donald Trump began a 12-month process of withdrawing the US when he took office in January. Its exit means the US would not be bound by the pact, according to the Reuters.
As a nation with vast population mobility, if the US refuses to cooperate with the WHO and other countries, it will lead to impeded information exchange with the outsides world, thereby disrupting the governance of global public health security, Lü added.
Trump's unpredictability frays UK-US ties, drives Britons back to Europe
An annual survey of British public opinion on foreign policy has found that Britain's once-hailed "special relationship" with the United States is weakening under U.S. President Donald Trump, and Britons now look once again across the Channel to Europe amid strategic uncertainty and erratic U.S. policies.
Public support for the UK-U.S. relationship has "collapsed," with President Trump now widely viewed as undermining Britain's national interests, according to the survey results released by the London-based independent think tank British Foreign Policy Group (BFPG) on Thursday.
Trust in the United States has plummeted from 53 percent in 2024 to just 38 percent in 2025, the BFPG survey shows. More Britons now distrust the U.S. to act responsibly in the world than trust it.
"I'm not surprised the results are showing less trust in Donald Trump," said Michael Haycock, 42, from Cheshire. "He changes his mind so often, and we don't know where we stand. One minute he is our best friend, the next he takes issue with us. We should just stop trusting him and get on with it in our way."
The survey also reveals a marked shift back toward Europe and the European Union (EU). Even among those who voted to leave the EU, there is growing support for deeper cooperation with Brussels. A majority of respondents now identify themselves as European, as the conflict in Ukraine, the fallout from Brexit, and the perceived retrenchment of the United States have nudged public sentiment back toward the union.
More than 60 percent of respondents believe Britain should move closer to the EU as a direct result of Trump's leadership.
A strong majority also supports key agreements reached at the recent UK-EU Summit: 83 percent back enhanced defence and security cooperation, 79 percent favor reduced trade barriers on food and drink, and 78 percent support enabling ePassport gate access for Britons traveling in Europe.
Among Leave voters, 78 percent now support recent defence and security cooperation agreements with the EU.
That sentiment is echoed by Maureen Tarpey, 38, from Liverpool, who has second thoughts about Brexit. "I voted to leave the EU. I don't regret it, but if there were another vote, I'd vote to go back," she said. "The way Trump acts will drive more people to want better links with Europe."
Ian Scott, an expert in American history at the University of Manchester, told Xinhua that Trump's brash, transactional style clashes with British political culture. "Trump has done more, socially and culturally, to alienate the British public from what they think the United States is," he said.
Scott added that the Trump team now consists of more ideologically driven figures who appear uninterested in the traditions of the UK-U.S. alliance. "There's a deep suspicion of cultural bankruptcy in the U.S. that Britons think is likely the ruin of society," he added.
New ceasefire takes effect in Syria's Sweida following deadly clashes, Israeli airstrikes
A fragile ceasefire entered into effect Wednesday night in Syria's southern province of Sweida, as Syrian interim government troops began withdrawing from the city following days of deadly clashes between government forces, Druze fighters, and Bedouin tribes, according to the state-run media outlets.
The de-escalation came hours after Israel launched multiple airstrikes on the Syrian capital Damascus, citing the protection of the Druze community in Sweida.
The ceasefirea was reached between Syria's interim government and Druze spiritual leaders after four days of intense fighting that killed at least 248 people, according to the UK-based Syrian Observatory for Human Rights.
A statement from Syria's interior authorities said the agreement includes a complete cessation of hostilities, the return of army units to their barracks, and the full reintegration of Sweida into state control.
The agreement will see internal security checkpoints staffed by local police established across the Sweida city, while a joint monitoring committee of interim government officials and Druze clerics will be formed to oversee implementation of the deal. The agreement also outlines steps to regulate heavy weapons in cooperation with the defense and interior authorities, and to restore government institutions under Syrian law.
Sheikh Youssef Jarbouh, the top spiritual leader of Syria's Druze community, confirmed the terms and urged all sides to honor the accord. However, in a sign of continued division, influential Druze cleric Sheikh Hikmat al-Hijri issued a separate statement rejecting any agreement with the transitional government, vowing to continue what he called "legitimate resistance" until Sweida is fully "cleansed" of armed government forces.
Hours before the ceasefire, Israel launched a wave of airstrikes on Damascus, targeting high-profile government and military sites in a dramatic escalation. At least five missiles struck the Syrian Army's General Command headquarters and the defense authority compound in Umayyad Square, a symbolic heart of state authority. Additional strikes hit the vicinity of the Al-Shaab presidential palace situated on a mountain overlooking the capital.
Footage aired by local TV showed widespread destruction and rising smoke in central Damascus. The Syrian health authorities reported that at least one civilian was killed and 19 others injured in the strikes. The General Command building suffered extensive damage, and several adjacent government buildings and roads were left in ruins.
In a statement, the Israeli military said it had targeted command sites from which Syrian forces had launched operations against the Druze community in Sweida. The strikes were intended to "deter further aggression" and "defend vulnerable communities," it said.
The Syrian foreign affairs authorities condemned the Israeli assault as a "flagrant violation of Syrian sovereignty and international law," warning it could ignite wider instability. "What happened today from Israel was contrary to our expectations," the defense authorities added in a separate statement.
The escalation in Sweida began on Sunday after armed members of a Bedouin tribe in the countryside of Sweida reportedly assaulted and robbed a young Druze man near the town of al-Masmiyah, along the Damascus-Sweida highway. The brutal attack sparked retaliatory kidnappings, spiraling into full-scale clashes between local Druze fighters, government troops, and Bedouin militias.
The violence exposed long-standing tensions in Sweida, a majority-Druze province that had previously remained relatively insulated from Syria's civil war. Limited government presence and local discontent have created a volatile landscape, with Druze factions seeking more autonomy and protection amid fears of demographic and political marginalization.
The death toll from armed clashes, summary executions, and Israeli airstrikes in Syria's southern Sweida province has risen to 302 since Sunday morning, according to the Syrian Observatory for Human Rights. The casualties include residents of Sweida and personnel affiliated with government forces.
With a ceasefire now in place but divisions unresolved, the coming days will test whether the agreement can hold and whether the broader crisis will ease or reignite.
Mexican president says US tax on Mexican tomatoes "unjust"
Mexican President Claudia Sheinbaum on Tuesday criticized the new 17.09 percent tax the United States plans to levy on Mexican tomatoes as "unjust," vowing actions to strengthen the domestic market and more talks with Washington to solve the issue.
Noting the tax directly impacts domestic producers as well as U.S. consumers, Sheinbaum said at her daily morning press conference that the Mexican government will continue talks with U.S. authorities toward an agreement. "Mexican tomatoes will continue to be exported even with the tariff because there is no substitute."
"I hope next week we can announce a series of measures that we will develop with all the associations and all the tomato producers," she added.
"I don't want to get ahead of myself, but these are within the framework of the (government's) Plan Mexico, and we are going to provide different options for tomato producers in our country and continue fighting in the United States," the president said.
In April, the U.S. Department of Commerce announced a tariff on Mexican tomatoes starting July 14, a deadline that ended on Monday.
US signals major shift on Ukraine with plans to send Patriot missiles to Kiev: media
US President Donald Trump is expected to announce a new plan on Ukraine on Monday local time, including offer offensive weapons to Kiev, US media reported, describing it as a potential "major shift" of his stance.
The Washington Post on Monday claimed that US President Trump on Sunday took a "dramatically tougher stance" on Russian President Vladimir Putin, telling reporters that he was "disappointed" with him.
Putin "talks nice and then he bombs everybody," Trump said late Sunday after saying the US would send Patriot air defense missiles to Ukraine, according to the AP. Trump also said European countries "are going to pay us 100% for them. It is going to be business for us," the Axios reported.
The Washington Post claimed that "the tides now seem to be turning" after nearly two weeks passed since Ukrainian officials were caught off guard by the US' decision to pause weapons deliveries to Kiev.
Trump told reporters later Sunday that "we will see tomorrow" when asked whether he would announce sanctions against Russia, noting he'll meet on Monday with NATO Secretary General Mark Rutte and pledged to send "very sophisticated military" to Ukraine, according to CNN.
Meanwhile, some senators are urging quick action by the US, including the passage of a bipartisan bill they've introduced implementing sanctions on Moscow. The legislation would allow the US President to levy a 500 percent tariff on imports from countries that purchase Russian uranium, gas and oil, the CNN report.
US President Donald Trump's special envoy for Ukraine and Russia, retired Lt. Gen. Keith Kellogg, arrived in Kiev on Monday.
"We discussed the path to peace and what we can practically do together to bring it closer," Zelensky wrote on X on Monday, after meeting with Kellogg.
"This includes strengthening Ukraine's air defense, joint production, and procurement of defense weapons in collaboration with Europe. And of course, sanctions against Russia and those who help it."
Kremlin spokesman Dmitry Peskov was reserved in his comments on reports that the US will be supplying additional weaponry to Ukraine, according to the BBC.
"A lot of words have been said about how expensive it is and so on. Now it looks like European countries will be paying for these supplies. Something they'll pay for, something they won't. But the fact remains that supplies of weapons, ammunition and military equipment from the US to Ukraine have continued and are continuing," Peskov said on Monday.
The Kremlin spokesman said Russia is ready to hold another round of talks with Ukraine, but Ukraine is clearly not in a hurry to do so, according to a Tass report.
Cui Hongjian, director and professor of the Center for European Union and Regional Development Studies at Beijing Foreign Studies University, said that while the US position on the Russia-Ukraine conflict has shown some fluctuations recently, this primarily is more a tactical maneuver to increase pressure on Russia.
"After hitting a wall in its attmpts to mediate negotiations earlier this year, Washington now seeks to pressure Moscow through weaponized aid," Cui said. The expert noted the reimbursement model - where the EU rather than Ukraine directly pays for weapons - serves Washington's "America First" agenda.
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English
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8k
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T7. Consistency & Compliance Checking
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T7.3 Comprehensive Error & Anomaly Sweep
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Full
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Please check all single-word spelling errors in the above text and correct them. Output the "[Answer]" identifier first, and then output all corrections line by line in format "xx" should be changed to "xx", without any additional content.
Output example:
[Answer]
"beleive" should be changed to "believe"
"freind" should be changed to "friend"
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Please check all single-word spelling errors in the above text and correct them. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the correction line by line in format "xx" should be changed to "xx", without any additional content.
Output example:
<Your thinking process>
[Answer]
"beleive" should be changed to "believe"
"freind" should be changed to "friend"
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[
"\"heman\" should be changed to \"human\"",
"\"prospectsc\" should be changed to \"prospects\"",
"\"ecologicale\" should be changed to \"ecological\"",
"\"increasse\" should be changed to \"increase\"",
"\"emphasizeed\" should be changed to \"emphasized\"",
"\"outsides\" should be changed to \"outside\"",
"\"ceasefirea\" should be changed to \"ceasefire\"",
"\"attmpts\" should be changed to \"attempts\""
] |
Moderate
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Wrongly deported migrant Abrego detained again, may be sent to Uganda
He has pleaded not guilty and his lawyers have accused the administration of vindictive prosecution. He also has denied the administration's claims that he is a gang member.
Abrego, 30, was arrested at an Immigration and Customs Enforcement field office in downtown Baltimore, where he reported for a scheduled interview on Monday morning, and then was sent to a detention facility in Virginia.
During a hearing conducted by telephone on Monday afternoon, Greenbelt, Maryland-based U.S. District Judge Paula Xinis said she planned to hold additional court proceedings on the administration's plan to deport Abrego to Uganda. The judge barred the government from removing him until such a hearing could be held.
Abrego's lawyers asked Xinis to prevent him from being deported again without the due process required under the U.S. Constitution. The judge voiced concern that the government had not offered assurances that Abrego would not be imprisoned in Uganda or sent back to El Salvador. Xinis said there was "an absence of process" around resolving Abrego's immigration claims to remain in the United States.
"I just have nothing on the record that suggests defendants (the government) are taking that in good faith and operating as they should," the judge said.
Drew Ensign, a Justice Department lawyer, told the judge that Abrego's deportation was not imminent and that so-called third-country removals - sending deportees to countries other than the one where they have citizenship - often take some time to execute.
After being detained in Baltimore earlier in the day, Abrego was being held at an ICE detention center in Farmville, Virginia, according to the agency's online detainee locator. Xinis ordered the Trump administration to keep Abrego there at least overnight to preserve access to his attorneys.
Abrego, a sheet metal worker who entered the United States illegally, had been living in Maryland with his wife, their child and two of her children - all of whom are American citizens - when he was arrested and sent to El Salvador.
His lawyers have said the administration's handling of the case is indicative of the Republican president's push to expand executive power in immigration matters at the expense of due process mandated by the U.S. Constitution. Trump's administration has said aggressive deportations are needed after years of insufficient enforcement, including under his Democratic predecessor, Joe Biden.
His U.S. citizen wife, Jennifer Vasquez, and his brother Cesar accompanied Abrego to the ICE field office on Monday morning, where a crowd of supporters greeted him with chants of "Si se puede" - Spanish for "Yes we can."
"When I was detained, I always remembered beautiful moments with my family, like going to the park or going to the trampoline with my children," Abrego said while choking up. "Those moments will give me strength and hope to keep fighting."
A CARROT-AND-STICK APPROACH
Abrego's lawyers have accused the administration of using a carrot-and-stick approach to try to coerce him to plead guilty to criminal charges of transporting migrants living illegally in the United States. His trial is scheduled for January.
According to court filings, the administration had offered to deport him to Costa Rica - a Spanish-speaking country in Central America, like El Salvador - if he agreed to change his plea to guilty, but plans to deport him to Uganda if he does not.
In a call with reporters on Monday afternoon, Abrego's attorney Simon Sandoval-Moshenberg said Abrego had notified the U.S. government that he would accept deportation to Costa Rica since the country had said it would provide him refugee status, but did not say whether he would agree to plead guilty to U.S. criminal charges.
Sandoval-Moshenberg said Abrego could not lawfully be deported elsewhere without assurances that he would not be sent back to El Salvador, where he fears persecution.
"We don't know if Uganda will even let him walk around freely in Kampala or whether he'll be inside of a Ugandan jail cell," Sandoval-Moshenberg said.
Abrego's lawyers have acknowledged they have entered plea discussions with the government to possibly avoid deportation to Uganda.
'COMPLETELY UNCONSTITUTIONAL'
Andrea Flores, a former top immigration official under Biden, said on the call that the Trump administration's threat of deportation to Uganda amounted to retribution for fighting his earlier removal to El Salvador.
"There is no legal, public safety or national security reason for this retaliatory deportation," Flores said.
Before Abrego's detention on Monday, he embraced his wife in the ICE field office's lobby before passing through a security checkpoint. About 45 minutes later, his wife and brother left the building without him.
Abrego was deported despite a 2019 U.S. immigration court ruling that he not be sent back to his native country due to a risk of persecution by gangs.
Abrego was flown back from El Salvador in June to face the charges brought by federal prosecutors in Nashville, Tennessee. Administration officials have called him a "monster," pointing to a protective order his wife filed against him in 2021.
"We've got him under control. He will no longer terrorize our country," Attorney General Pam Bondi told reporters at the White House on Monday.
Trump said Democrats wrongly thought that supporting Abrego would help them win over voters, calling him an "animal" and referencing allegations of violence lodged by his wife in the 2021 protective order.
After his release on Friday, Abrego returned to a family home in Maryland after more than five months of detention, including time in a mega-prison in El Salvador known for its harsh conditions. Video posted to social media by immigrant rights advocacy organization CASA on Friday night showed him entering a room where his family was waiting, setting down a bouquet of flowers and embracing his wife.
Reporting Daniel Trotta in Carlsbad, California and Luc Cohen in New York; Editing by Caitlin Webber, Toby Chopra, Chizu Nomiyama, Noeleen Walder, Mary Milliken and Will Dunham
Can Trump fire Fed's Cook? What's known about the legal premise
But the Act does permit removal for "cause." Just what that means in the Fed's case is unclear and likely to be the focus of a legal challenge ultimately decided by the U.S. Supreme Court. Here's what is known - and isn't.
WHAT IS COOK ALLEGED TO HAVE DONE WRONG?
When Cook was an academic, she bought two properties in 2021 - one in Georgia and one in Michigan. The mortgage documents for both said they were each her primary residence - a declaration that typically results in a lower mortgage rate than a borrower can otherwise arrange. She has not provided an explanation, though she did say in a statement last week that she is "gathering the accurate information to answer any legitimate questions and provide the facts."
COOK WON'T RESIGN
No president has attempted to remove a Fed governor before, so just what follows from here is unclear. Cook released a statement saying she will not resign and she will continue to carry out her duties. "President Trump purported to fire me 'for cause' when no cause exists under the law, and he has no authority to do so." Her lawyer Abbe David Lowell said Trump's demands lacked proper process, basis, or legal authority, and "we will take whatever actions are needed to prevent his attempted illegal action.”
WHAT TRUMP SAID
In a "Dear Governor Cook" letter on Monday, Trump said he was removing from her position effective immediately, citing the Federal Reserve Act's "for cause" removal clause. "The American people must be able to have full confidence in the honesty of the members entrusted with setting policy and overseeing the Federal Reserve. In light of your deceitful and potentially criminal conduct in a financial matter, they cannot and I do not have such confidence in your integrity. At a minimum, the conduct at issue exhibits the sort of gross negligence in financial transactions that calls into question your competence and trustworthiness as a financial regulator."
WHAT THE FEDERAL RESERVE ACT SAYS
"Each member shall hold office for a term of fourteen years from the expiration of the term of his predecessor, unless sooner removed for cause by the President."
HOW IS 'FOR CAUSE' DEFINED?
Removal "for cause" is a standard normally understood to mean malfeasance, incompetence, or wrongdoing.
Kathryn Judge, a professor at Columbia Law School, said that definitions for such terms are typically written into an agency's governing statute, but that is not the case with the Fed. "We have very little case law on this issue…the Fed is one of the few where the language is not used….”
IS THE FIRING ATTEMPT LEGAL?
It's unclear.
Peter Conti-Brown, a scholar of the Fed’s history at the University of Pennsylvania, said he believes the central bank should come to the legal defense of Cook amid the large gray areas over whether the firing is even legal.
Conti-Brown said that while the law is unsettled, his interpretation of the Federal Reserve Act giving the president power to fire a central banker for cause likely pertains to their conduct on the job, not actions prior to confirmation and not things that happen in their personal life unrelated to work.
“These officials have been vetted by our President and our Senate, that means that all things that they had done during their times as a private citizen were already vetted,” Conti-Brown said. “So the idea that you can then reach back, turn the clock backward and say, you know, all these things that have happened before now constitute fireable offenses from your official position is to me incongruous with the entire concept of for cause removal.”
WHAT HAPPENS NEXT?
A Cook challenge to Trump's firing could end up in the Supreme Court. It is not known how the high court might rule, although in an opinion earlier this year in a case over Trump's firing of officials from independent labor boards, the Supreme Court signaled it views the Fed through a unique lens.
Lawyers for the fired officials had argued that allowing Trump's dismissals to stand would undermine legal protections for Fed policymakers.
"We disagree," a majority of justices said in the court's brief, unsigned ruling. "The Federal Reserve is a uniquely structured, quasi-private entity that follows in the distinct historical tradition of the First and Second Banks."
Meanwhile it's unclear how she would be removed from her position if she fights it. The Fed has its own security. A Fed spokesperson declined to comment.
Reporting by Michael S. Derby, Ann Saphir and Howard Schneider; Editing by Dan Burns and Michael Perry
Trump says he is firing Fed's Cook over mortgage loan allegations
Cook responded several hours later in a statement emailed to reporters through the law office of lawyer Abbe Lowell, saying of Trump that "no causes exists under the law, and he has no authority" to remove her from the job she was appointed to by former U.S. President Joe Biden in 2022. "I will continue to carry out my duties to help the American economy."
Lowell said that Trump's "demands lack any proper process, basis or legal authority. We will take whatever actions are needed to prevent this attempted legal action."
Questions about Cook's mortgages were first raise last week by U.S. Federal Housing Finance Agency director William Pulte, who referred the matter to Attorney General Pamela Bondi for investigation.
Though the terms of Fed governors are structured so they outlast the term of a given president, with Cook's term lasting until 2038, the Federal Reserve Act does allow removal of a sitting governor “for cause.”
That has never been tested by presidents who, particularly since the 1970s, largely have taken a hands-off approach to Fed matters as a way to ensure confidence in U.S. monetary policy.
Legal scholars and historians said the thicket of issues that could be raised in a legal challenge would span questions around executive power, the Fed's unique quasi-private nature and history, as well as whether anything Cook did amounted to cause for removal.
Peter Conti-Brown, a scholar of the Fed’s history at the University of Pennsylvania, noted that the mortgage transactions preceded her appointment to the Fed, and were in the public record when she was vetted and confirmed by the Senate.
"These officials have been vetted by our President and our Senate, that means that all things that they had done during their times as a private citizen were already vetted,” Conti-Brown said.
“So the idea that you can then reach back, turn the clock backward and say, you know, all these things that have happened before now constitute fireable offenses from your official position is to me incongruous with the entire concept of 'for cause' removal.”
Trump in the letter accused Cook of having "deceitful and criminal conduct in a financial matter" and said he did not have confidence in her "integrity."
"At a minimum, the conduct at issue exhibits the sort of negligence in financial transactions that calls into question your competence and trustworthiness as a financial regulator", he said, claiming authority to fire Cook under Article 2 of the U.S. Constitution and the Federal Reserve Act of 1913.
It is unclear how the matter might play out from here, with Trump saying the firing was "effective immediately," and the Fed set to hold a policy meeting on Sept. 16-17.
Trump's move was greeted with a steepening U.S. Treasury yield curve as yields on 2-year notes - sensitive to near-term Fed policy expectations - quickly fell while yields on longer-dated 10-year notes - sensitive to inflation risks -- rose briskly.
The reaction reflects expectations that the Fed policy rate may drop but at the expense of its commitment to thwart inflation.
Academic research has consistently found that policymakers allowed to manage inflation independent of political influence generally achieve better outcomes, a principle that may now be tested at the world's most influential central bank.
“It speaks to the determination of this administration to remake the Federal Reserve and serves as a warning to the other Biden appointees. The Fed as an institution escaped harm in the first Trump Administration, and will not be so fortunate this time around,” said SGH Macro Advisors’ Tim Duy.
“It’s another reason to believe... that rates will be lower than would otherwise be the case.”
PRESSURE CAMPAIGN
Trump has repeatedly berated Powell over not lowering interest rates, though has halted threats to fire him from a term that ends in a little under 9 months anyway.
His focus last week turned to Cook, whose departure would allow Trump to select his fourth pick to the Fed's 7 nmember board, including Governor Christopher Waller and Vice Chair for Supervision named in his first term, and the pending nomination of Council of Economic Advisers chief Stephen Miran to a currenlty open seat.
Cook took out the mortgages in question in 2021 when she was an academic. An official financial disclosure form for 2024 lists three mortgages held by Cook, with two listed as personal residences. Loans for primary residences can carry lower rates than mortgages on investment properties, which are considered riskier by banks.
The claims against Cook coincide with a broad effort by the Trump administration against diversity, equity and inclusion programs in the U.S. government, a process that has led to the departure of some prominent women and minorities.
The Trump administration has also targeted other political opponents, including U.S. Senator Adam Schiff, with similar accusations of mortgage fraud.
Reporting by Michael S. Derby; Additional Reporting by Kanishka Singh; Editing by Paul Simao, Caitlin Webber, Lincoln Feast and Michael Perry
Major cases involving Trump before the US Supreme Court
BIRTHRIGHT CITIZENSHIP
The justices on June 27 curbed the power, opens new tab of federal judges to impose nationwide rulings impeding presidential policies in a ruling in the legal fight over Trump's executive order restricting birthright citizenship. The ruling did not let Trump's birthright citizenship order go into effect immediately, directing lower courts that blocked it to reconsider the scope of their orders. The ruling also did not address the order's legality. The decision granted a request by the Trump administration to narrow the scope of three nationwide injunctions issued by federal judges in Maryland, Massachusetts and Washington state that halted enforcement of his directive while litigation challenging the policy plays out.
"No one disputes that the Executive has a duty to follow the law. But the Judiciary does not have unbridled authority to enforce this obligation - in fact, sometimes the law prohibits the Judiciary from doing so," conservative Justice Amy Coney Barrett wrote in the decision.
Trump signed his order on January 20, his first day back in office. It directed federal agencies to refuse to recognize the citizenship of U.S.-born children who do not have at least one parent who is an American citizen or lawful permanent resident, also known as a "green card" holder.
'THIRD COUNTRY' DEPORTATIONS
The court on June 23 cleared the way for Trump's administration to resume deporting migrants to countries other than their own without offering them a chance to show the harms they could face. The court granted the administration's request to lift a judicial order requiring that migrants set for deportation to so-called "third countries" get a "meaningful opportunity" to tell U.S. officials they are at risk of torture at their new destination, while a legal challenge plays out. Boston-based U.S. District Judge Brian Murphy had issued the order on April 18, finding that the administration's policy likely violates due process requirements under the U.S. Constitution. Immigrant rights groups had filed a class action lawsuit on behalf of a group of migrants challenging the policy.
SOUTH SUDAN DEPORTATIONS
The court on July 3 lifted limits Murphy had imposed to protect eight men who the administration sought to send to politically unstable South Sudan as part of its policy of deportations to "third countries." The court granted a Justice Department request to clarify that its June 23 decision on the matter also extended to the judge's separate May 21 ruling that the administration had violated his injunction in attempting to send a group of migrants to South Sudan.
IMMIGRATION RAIDS
The administration on August 7 turned to the court to defend its aggressive immigration raids after a judge blocked agents from profiling people based on race or language in pursuit of deportation targets. The Justice Department asked the court to lift U.S. District Judge Maame Frimpong's order temporarily barring agents from stopping or detaining people without "reasonable suspicion" that they are in the country illegally, by relying solely on race or ethnicity, or if they speak Spanish or English with an accent. Frimpong's order applied to her court's jurisdiction over much of Southern California.
A proposed class action lawsuit filed by Latino plaintiffs including some U.S. citizens targeted by agents called the raids, interrogations and detentions a violation of the Constitution's Fourth Amendment protection against unreasonable searches and seizures.
REVOKING IMMIGRATION 'PAROLE'
The court on May 30 let Trump's administration revoke the temporary legal status of hundreds of thousands of Venezuelan, Cuban, Haitian and Nicaraguan migrants living in the United States. The court put on hold U.S. District Judge Indira Talwani's order halting the administration's move to end the immigration "parole" granted to 532,000 of these migrants by Trump's predecessor Joe Biden, potentially exposing many of them to rapid removal, while a legal challenge plays out.
Immigration parole is a form of temporary permission under U.S. law to be in the country for "urgent humanitarian reasons or significant public benefit," allowing recipients to live and work in the United States. The administration said revoking the parole status would make it easier to place migrants in a fast-track deportation process called "expedited removal."
PROTECTED STATUS FOR VENEZUELAN MIGRANTS
The court on May 19 allowed the administration to end temporary protected status that was granted to hundreds of thousands of Venezuelans in the United States by Biden. It granted a Justice Department request to lift U.S. District Judge Edward Chen's order that had halted Homeland Security Secretary Kristi Noem's decision to terminate deportation protection conferred to Venezuelans under the temporary protected status, or TPS, program while the administration pursues an appeal. The program is a humanitarian designation under U.S. law for countries stricken by war, natural disaster or other catastrophes, giving recipients living in the United States deportation protection and access to work permits.
Chen had ruled that Noem violated a federal law that governs the actions of federal agencies. The judge also said the administration's portrayal of the whole Venezuelan TPS population as criminals was "baseless and smacks of racism."
DEPORTATION OF VENEZUELANS
The court on May 16 kept in place its block on Trump's deportations of Venezuelan migrants under a 1798 law historically used only in wartime, faulting his administration for seeking to remove them without adequate due process. The justices granted a request by American Civil Liberties Union attorneys representing the migrants to maintain the halt on the removals for now. The action came after the court ordered on April 19 a temporary stop to the administration's deportations of dozens of migrants being held at a detention center in Texas.
The Supreme Court placed limits on April 7 on how deportations under the Alien Enemies Act may occur even as the legality of that law's use for this purpose is being contested. The administration has described the Venezuelans as members of the Tren de Aragua criminal gang, which the State Department has designated as a foreign terrorist organization. Family members and lawyers for the migrants have disputed this allegation.
WRONGLY DEPORTED SALVADORAN MAN
The court on April 10 directed the administration to facilitate the return to the United States of a Salvadoran man who the U.S. government has acknowledged was deported in error to El Salvador. The Justice Department had asked the justices to throw out an April 4 order by U.S. District Judge Paula Xinis requiring the administration to "facilitate and effectuate" the return of Kilmar Abrego, a Salvadoran migrant who was living in Maryland and whose wife and young child are U.S. citizens. Abrego had challenged the legality of his deportation.
U.S. Attorney General Pam Bondi announced on June 6 that Abrego had been flown back to the United States and would face criminal charges of transporting illegal immigrants. Abrego has pleaded not guilty.
Abrego was detained by U.S. Immigration and Customs Enforcement officers on March 12 and questioned about alleged affiliation with the criminal gang MS-13, which the State Department has designated as a foreign terrorist organization. His lawyers have denied the alleged gang affiliation. He was deported on March 15 on one of three deportation flights to El Salvador that also included Venezuelan migrants.
TRANSGENDER MILITARY BAN
The court on May 6 permitted Trump's administration to implement his ban on transgender people in the U.S. military, letting the armed forces discharge thousands of current transgender troops and reject new recruits while legal challenges play out. The court granted the Justice Department's request to lift U.S. District Judge Benjamin Settle's nationwide order blocking the military from carrying out Trump's policy.
Settle had found that Trump's order likely violates the Constitution's Fifth Amendment right to equal protection under the law. The Justice Department had said Settle usurped the authority of the government's branch of government - headed by Trump - to determine who may serve in the military. In the case before Settle, seven active-duty transgender troops, a transgender man seeking to enlist and a civil rights advocacy group sued over the ban.
MASS FEDERAL LAYOFFS
The justices on July 8 cleared the way for the administration to pursue mass government job cuts and the sweeping downsizing of numerous agencies. At the administration's request, the justices lifted U.S. District Judge Susan Illston's May 22 order that had blocked large-scale federal layoffs called "reductions in force" while litigation in the case proceeds. Workforce reductions were planned at the U.S. Departments of Agriculture, Commerce, Health and Human Services, State, Treasury, Veterans Affairs and more than a dozen other agencies. Illston wrote in her ruling that Trump had exceeded his authority, siding with a group of unions, non-profits and local governments that challenged the administration.
CONSUMER PRODUCT SAFETY COMMISSIONERS
The court on July 23 let Trump remove three Democratic members of the government's top consumer product safety watchdog, boosting his power over federal agencies set up by Congress to be independent from presidential control. It lifted U.S. District Judge Matthew Maddox's order that had blocked Trump from dismissing three Consumer Product Safety Commission members appointed by Biden while a legal challenge to their removal proceeds. Maddox had ruled that Trump overstepped his authority in firing Commissioners Mary Boyle, Alexander Hoehn-Saric and Richard Trumka Jr.
But the Supreme Court indicated that the administration was likely to show that the president is empowered by the Constitution to remove members of the commission. In a dissent, liberal Justice Elena Kagan said the decision "all but overturned" a 1935 Supreme Court precedent ensuring job protections for certain agency officials.
LABOR BOARD OFFICIALS
The court on May 22 allowed Trump to keep two Democratic members of federal labor boards away from their posts while their challenge to his firing of them proceeds. The court temporarily blocked orders by two separate judges that had shielded Cathy Harris from being dismissed from the Merit Systems Protection Board and Gwynne Wilcox from being removed from the National Labor Relations Board before their terms expire. Both were appointed to their posts by Biden.
The firings were part of Trump's efforts to bring under his sway federal agencies meant by Congress to be independent from presidential control. The May 22 decision also addressed fears voiced by critics that allowing the firings of Wilcox and Harris would jeopardize the independence of the Federal Reserve. "We disagree," the court stated, calling the Fed "a uniquely structured, quasi-private entity."
FIRED FEDERAL EMPLOYEES
The justices on April 8 blocked a judge's order for Trump's administration to rehire thousands of fired employees. The court put on hold U.S. Judge William Alsup's March 13 injunction requiring six federal agencies to reinstate thousands of recently hired probationary employees while litigation challenging the legality of the dismissals continues. Alsup's ruling had applied to probationary employees at the U.S. Departments of Defense, Veterans Affairs, Agriculture, Energy, Interior and Treasury. Probationary workers typically have less than a year of service in their current roles, though some are longtime federal employees serving in new roles.
EDUCATION DEPARTMENT DISMANTLING
The court on July 14 cleared the way for the administration to dismantle the Department of Education, part of Trump's bid to shrink the federal government's role in education in favor of more control by the states. The justices lifted U.S. District Judge Myong Joun's order that had reinstated nearly 1,400 department workers affected by mass layoffs and blocked the administration from transferring key functions to other federal agencies. A legal challenge is continuing to play out. The department was created by a law passed by Congress in 1979.
MEDICAL RESEARCH GRANTS
The court on August 21 let the administration proceed with sweeping cuts to National Institutes of Health grants for research related to racial minorities or LGBT people, part of Trump's crackdown on diversity, equity and inclusion initiatives and transgender identity. It granted the Justice Department's request to lift U.S. District Judge William Young's decision in June that the grant terminations violated federal law, while a legal challenge brought by researchers and 16 U.S. states plays out in a lower court. The NIH is the world's largest funder of biomedical research.
TEACHER TRAINING GRANTS
The justices on April 4 let Trump's administration proceed with millions of dollars of cuts to teacher training grants - part of his crackdown on diversity initiatives. The court put on hold U.S. District Judge Myong Joun's March 10 order requiring the Department of Education to reinstate in eight Democratic-led states funding for grants under two teacher training programs while a legal challenge by the states continues.
The states sued after the department announced that it had cut $600 million in teacher training funds that were promoting what it called "divisive ideologies" including diversity, equity and inclusion initiatives, or DEI. The grant programs were established to help support institutions that recruit and train educators in a bid to address critical teacher shortages, especially in rural and underserved communities.
SOCIAL SECURITY DATA
The court on June 6 permitted the Department of Government Efficiency, a key player in Trump's drive to slash the federal workforce, broad access to personal information on millions of Americans in Social Security Administration data systems. At the Justice Department's request, the justices put on hold U.S. District Judge Ellen Hollander's order that had largely blocked DOGE's access to "personally identifiable information" in data such as medical and financial records while a legal challenge plays out. DOGE had been spearheaded by Elon Musk before the billionaire left the government and had a falling out with Trump. Two labor unions and an advocacy group sued to stop DOGE members from accessing some of the Social Security Administration's most sensitive data systems.
DOGE TRANSPARENCY
The justices on June 6 extended their block on judicial orders requiring DOGE to turn over records to a government watchdog advocacy group that sought details on its operations. The court on May 23 had issued a temporary pause. The justices put on hold U.S. District Judge Christopher Cooper's orders for DOGE to respond requests by Citizens for Responsibility and Ethics in Washington for information. Cooper had concluded that DOGE likely is a government agency covered by the federal Freedom of Information Act, or FOIA. The administration contends DOGE is an advisory entity not subject to FOIA.
PAYMENT TO FOREIGN AID GROUPS
The court on March 5 declined to let Trump's administration withhold payment to foreign aid organizations for work they already performed for the government as he moves to pull the plug on American humanitarian projects around the world. The court upheld U.S. District Judge Amir Ali's order that had called on the administration to promptly release funding to contractors and recipients of grants from the U.S. Agency for International Development and the State Department for their past work.
Aid organizations accused Trump in lawsuits of exceeding his authority under federal law and the U.S. Constitution by effectively dismantling an independent federal agency in USAID and canceling spending authorized by Congress.
FIRED WATCHDOG AGENCY HEAD
The court on February 21 declined to let Trump immediately fire the head of a federal watchdog agency after a judge's order had temporarily blocked the ouster. The court postponed action on the Justice Department's request to lift U.S. District Judge Amy Berman Jackson's February 12 order that had temporarily blocked Trump's removal of Hampton Dellinger as head of the Office of Special Counsel. Dellinger on March 6 ended his legal challenge to his firing after the U.S. Court of Appeals for the District of Columbia Circuit allowed Trump's action to stand. The independent agency protects government whistleblowers.
Botswana declares national public health emergency
Botswana has declared a public health emergency as it faces a shortage of essential medicines and medical equipment.
President Duma Boko made the announcement in a televised address on Monday, setting out a multimillion-pound plan to rectify the supply chain involving military oversight.
Managing the shortages would be "highly price sensitive due to our limited coffers", he told the nation.
The country's economy has been hit by a downturn in the international diamond market, as it is one of the world's leading diamond producers. This strain, further fuelled by US aid cuts, has seen most of the 2.5m Botswanans facing unemployment and high levels of poverty, according to media reports.
"The work shall remain nonstop until the entire value chain of procurement has been fixed" Boko said in his address, announcing that the finance ministry had approved 250 million pula (£13.8m) in emergency funding.
Earlier this month, the country's health ministry issued a warning that it was facing "significant challenges", including medical shortages and debts of over one billion pula (£55.2m).
The bulk of these debts was due to patients being admitted to private hospitals for services that were not publicly available.
Shortages listed by the Health Minister Dr Stephen Modise included medicines and supplies for managing cancers, HIV treatments and tuberculosis among others.
Before the cuts to US aid issued by President Donald Trump, the US funded a third of Botswana's HIV response, according to UNAIDS.
The Ministry for Health also temporarily suspended referrals for elective surgeries and non-urgent medical conditions as a result of these challenges, including organ transplant surgeries.
But the government remained positive. "I have no doubt that soon, very soon, we will overcome. This is definitely not insurmountable," Dr Modise said.
As part of the military's distribution efforts, the first trucks were due to leave the capital Gaborone on Monday and arrive in remote areas by the evening, Reuters news agency reported.
UNICEF has called for "urgent action" in the country to "protect the health and future of every child in Botswana".
It noted that "malnutrition is a daily struggle" in the town of D'Kar, saying "the President's call underscores what we witness on the ground".
Musk firms sue Apple and OpenAI, alleging they hurt competition
Two Elon Musk-backed businesses have officially sued Apple and OpenAI, accusing them of joining forces illegally to block threats from potential competitors.
The lawsuit, filed in the US by X and xAI, takes aim at Apple's decision to integrate OpenAI's chatbot into the operating systems of its smartphones, an exclusive arrangement that it says violated competition law.
The filing makes good on a threat Musk had lobbed against the two tech giants earlier this month, when he alleged that Apple favoured OpenAI in its app store rankings.
Apple did not immediately respond to a request for comment, while OpenAI said the filing was "consistent with Mr Musk's ongoing pattern of harassment".
Musk and OpenAI's Sam Altman founded OpenAI together in 2015.
But the two have since become bitter rivals, with Mr Musk accusing Mr Altman of leading OpenAI too far from its founding in the name of public good.
Their fights have intensified as Musk has launched his own AI firms, including xAI and Grok, a chatbot alternative.
In the lawsuit, filed in federal court in Texas, Musk's firms claim "there is no valid business reason for the Apple-OpenAI deal to be exclusive" - arguing that the 2024 arrangement has made it harder to compete and gave OpenAI access to the prompts and activity of millions of Apple customers.
It says the deal also gave the ChatGPT app an edge in the App store, "boosting its downloads relative to other generative AI chatbots".
"The Apple-OpenAI arrangement has foreclosed competition among generative AI chatbots, deprived competing generative AI chatbots of scale, and reduced quality and innovation," the two companies said in the lawsuit. "All of these impacts have, in turn, helped OpenAI and Apple maintain their monopolies."
OpenAI controls roughly 80% of the generative AI chatbot market in the US, according to the lawsuit, while Apple claims about 65% of the smartphone market.
Its tie-ups with other tech giants and app store practices have been the subject of numerous legal battles, including a high-profile anti-monopoly lawsuit against Google.
Apple has previously defended its app store practices, saying they were "fair and free of bias". Several ChatGPT rivals such as DeepSeek and Perplexity have topped the App Store charts at various points since 2024.
The company was also recently reported to be in talks with Google over using the company's Gemini chatbot to help power its voice assistant, Siri.
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T7. Consistency & Compliance Checking
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T7.3 Comprehensive Error & Anomaly Sweep
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Please help me check all the typos in the above text and make corrections. Output the "[Answer]" identifier first, and then output all corrections line by line in format "xx" should be changed to "xx", without any additional content.
Output example:
[Answer]
"seperated" should be changed to "separated"
"tommorow" should be changed to "tomorrow"
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Please help me check all the typos in the above text and make corrections. Think step by step. After your thinking process, output the "[Answer]" identifier first, and then output all corrections line by line in format "xx" should be changed to "xx", without any additional content.
Output example:
<Your thinking process>
[Answer]
"seperated" should be changed to "separated"
"tommorow" should be changed to "tomorrow"
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[
"\"currenlty\" should be changed to \"currently\"",
"\"causes\" should be changed to \"cause\"",
"\"raise\" should be changed to \"raised\"",
"\"nmember\" should be changed to \"member\""
] |
Extreme
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b36f5d31786b188c503b5391d19f9be8844b7751850248223750ac55bee19e64
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第一条：为了规范住房租赁活动，维护住房租赁活动当事人合法权益，稳定住房租赁关系，促进住房租赁市场高质量发展，推动加快建立租购并举的住房制度，制定本条例。
第二条：城镇国有土地上住房租赁活动及其监督管理，适用本条例。
第三条：住房租赁市场发展应当贯彻党和国家路线方针政策、决策部署，坚持市场主导与政府引导相结合。
第四条：国务院住房城乡建设主管部门负责全国住房租赁活动的监督管理工作。县级以上地方人民政府房产管理部门负责本行政区域内住房租赁活动的监督管理工作。县级以上人民政府市场监督管理、公安等部门依照本条例和其他有关法律、法规的规定，在各自的职责范围内负责住房租赁活动的监督管理工作。
第五条：国家鼓励居民家庭将自有房源用于租赁，支持企业盘活改造老旧厂房、商业办公用房、自持商品住房等用于租赁，多渠道增加租赁住房供给。国家鼓励出租人和承租人依法建立稳定的住房租赁关系，推动租购住房在享受公共服务上具有同等权利。
第六条：从事住房租赁活动，应当遵守法律、法规，遵循平等、自愿、公平、诚信原则，不得危害国家安全、损害公共利益和他人合法权益，不得违背公序良俗。
第七条：用于出租的住房应当符合建筑、消防、燃气、室内装饰装修等方面的法律、法规、规章和强制性标准，不得危及人身安全和健康。厨房、卫生间、阳台、过道、地下储藏室、车库等非居住空间，不得单独出租用于居住。租赁住房单间租住人数上限和人均最低租住面积，应当符合设区的市级以上地方人民政府规定的标准。
第八条：出租人和承租人应当使用实名签订住房租赁合同。出租人应当按照规定，通过住房租赁管理服务平台等方式将住房租赁合同向租赁住房所在地房产管理部门备案。房产管理部门应当提高住房租赁合同备案服务水平，不得就住房租赁合同备案收取任何费用。出租人未办理住房租赁合同备案的，承租人可以办理备案。
第九条：出租人收取押金的，应当在住房租赁合同中约定押金的数额、返还时间以及扣减押金的情形等事项。除住房租赁合同约定的情形以外，出租人无正当理由不得扣减押金。
第十条：出租人依法解除住房租赁合同的，应当通知承租人，并为承租人腾退租赁住房留出合理时间。出租人不得采取暴力、威胁或者其他非法方式迫使承租人解除住房租赁合同或者腾退租赁住房。
第十一条：住房租赁合同连续履行达到规定期限的，出租人按照有关规定享受相应的政策支持，承租人按照有关规定享受相应的基本公共服务。
第十二条：国家完善政策措施，培育市场化、专业化的住房租赁企业。住房租赁企业，是指以自有住房或者依法取得经营管理权的他人住房开展住房租赁经营业务的企业。住房租赁企业应当具备与其经营规模相适应的自有资金、从业人员和管理能力。住房租赁企业出租住房，适用本条例有关出租人的规定。
第十三条：住房租赁企业依法登记的经营范围应当使用“住房租赁”的表述。住房租赁企业应当自领取营业执照之日起30日内，向所在地县级以上地方人民政府房产管理部门报送开业信息。房产管理部门应当将住房租赁企业开业信息向社会公开。住房租赁企业应当在其经营场所醒目位置公示本企业开业信息、服务规范和标准等。
第十四条：住房租赁企业发布的住房地址、面积、租金等房源信息应当真实、准确、完整，在其经营场所、互联网等不同渠道发布的房源信息应当一致，发布的房源图片应当与实物房源一致，不得发布虚假或者误导性房源信息，不得隐瞒或者拒绝提供拟出租住房的有关重要信息。
第十五条：住房租赁企业应当建立住房租赁档案，如实记载相关信息，并健全住房租赁信息查验等内部管理制度。住房租赁企业不得非法收集、使用、加工、传输他人个人信息，不得非法买卖、提供或者公开他人个人信息。
第十六条：住房租赁企业应当按照规定向所在地县级以上地方人民政府房产管理部门报送其经营的租赁住房信息及其变化情况。
第十七条：从事转租经营的住房租赁企业应当按照规定设立住房租赁资金监管账户并向社会公示，并通过该账户办理住房租赁资金收付业务，具体办法由国务院住房城乡建设主管部门会同国务院有关部门制定。
第十八条：自然人转租他人住房开展住房租赁经营业务，经营规模达到国务院住房城乡建设主管部门会同国务院市场监督管理部门等有关部门规定标准的，适用本条例有关住房租赁企业的规定。
第十九条：从事住房租赁业务的房地产经纪机构(以下简称住房租赁经纪机构)应当具备与其经营规模相适应的自有资金、从业人员和管理能力。
第二十条：住房租赁经纪机构应当将其从业人员名单向所在地县级以上地方人民政府房产管理部门备案。住房租赁经纪机构的从业人员不得同时在两个或者两个以上住房租赁经纪机构从事业务。住房租赁经纪机构的从业人员不得以个人名义承接住房租赁经纪业务。
第二十一条：住房租赁经纪机构发布房源信息前，应当核对并记录委托人的身份信息、住房权属信息，实地查看房源，与委托人签订住房租赁经纪服务合同，编制住房状况说明书。住房租赁经纪服务合同、住房状况说明书应当加盖住房租赁经纪机构印章，并按照有关规定保存。
第二十二条：本条例第十五条第二款和第三款、第十六条、第十七条的规定，适用于住房租赁经纪机构。
第二十三条：住房租赁经纪机构应当对收费服务项目明码标价，不得在标价之外加价或者收取未予标明的费用。
第二十四条：出租人和承租人通过住房租赁经纪机构签订住房租赁合同的，由住房租赁经纪机构办理住房租赁合同备案。
第二十五条：国务院住房城乡建设主管部门会同国务院市场监督管理部门制定并公布住房租赁合同、住房租赁经纪服务合同示范文本。
第二十六条：设区的市级以上地方人民政府应当建立住房租金监测机制，定期公布本行政区域内不同区域、不同类型住房的租金水平信息。
第二十七条：县级以上地方人民政府房产管理部门应当通过住房租赁管理服务平台开展合同备案、租赁住房信息管理、统计监测等管理与服务，并与民政、自然资源、教育、市场监督管理、金融管理、公安、税务、统计等部门建立信息共享机制。
第二十八条：县级以上地方人民政府房产管理部门应当会同有关部门加强对住房租赁活动的监督检查，依法及时处理违法行为。
第二十九条：县级以上地方人民政府房产管理部门可以委托实施单位承担住房租赁管理的支持辅助等相关具体工作。房产管理部门委托的实施单位不得以营利为目的。
县级以上地方人民政府房产管理部门应当对其委托的实施单位加强监督，并对实施单位在委托范围内的行为后果承担法律责任。
第三十条：县级以上地方人民政府房产管理部门应当会同有关部门、住房租赁相关行业组织加强住房租赁行业诚信建设，建立住房租赁企业、住房租赁经纪机构及其从业人员信用评价制度，将相关违法违规行为记入信用记录，纳入全国信用信息共享平台，并根据信用状况实施分级分类监管。
第三十一条：住房租赁相关行业组织应当建立健全行业规范，加强行业自律管理，促进行业健康发展。
第三十二条：提供住房租赁信息发布服务的网络平台经营者(以下简称网络平台经营者)应当核验住房租赁信息发布者的真实身份信息。网络平台经营者知道或者应当知道信息发布者有提供虚假信息等违法情形的，应当依法采取删除相关信息等必要措施，保存相关记录，并向有关部门报告。网络平台经营者不得代收、代付住房租金、押金。
第三十三条：出租人应当按规定如实登记并报送承租人及实际居住人信息，发现违法犯罪活动应当及时向公安机关报告。具体办法由国务院公安部门制定。承租人不得利用租赁住房实施违法犯罪活动。
第三十四条：将厨房、卫生间、阳台、过道、地下储藏室、车库等非居住空间单独出租用于居住，或者租赁住房不符合规定的单间租住人数上限或者人均最低租住面积标准的，由县级以上地方人民政府房产管理部门责令改正，给予警告；拒不改正的，对单位处2万元以上10万元以下的罚款，对个人处2000元以上1万元以下的罚款；有违法所得的，没收违法所得。
第三十五条：住房租赁企业、住房租赁经纪机构不具备与其经营规模相适应的自有资金、从业人员、管理能力的，由县级以上地方人民政府房产管理部门责令改正，给予警告；拒不改正、造成严重后果的，责令停业整顿。
第三十六条：住房租赁企业、住房租赁经纪机构发布虚假或者误导性房源信息，隐瞒或者拒绝提供拟出租住房有关重要信息的，由县级以上地方人民政府房产管理部门责令改正，给予警告，处2万元以上10万元以下的罚款；有违法所得的，没收违法所得；拒不改正的，责令停业整顿；情节严重的，由县级以上地方人民政府房产管理部门提请同级市场监督管理部门依法吊销其营业执照。住房租赁企业、住房租赁经纪机构非法收集、使用、加工、传输他人个人信息，或者非法买卖、提供或者公开他人个人信息的，依照有关个人信息保护的法律、法规的规定处罚。
第三十七条：从事转租经营的住房租赁企业未按照规定设立住房租赁资金监管账户并向社会公示，或者未按照规定通过该账户办理住房租赁资金收付业务的，由县级以上地方人民政府房产管理部门责令改正，给予警告，处2万元以上10万元以下的罚款；拒不改正的，处10万元以上50万元以下的罚款。网络平台经营者代收、代付住房租金、押金的，依照前款规定处罚。
第三十八条：住房租赁经纪机构的从业人员同时在两个或者两个以上住房租赁经纪机构从事业务，或者以个人名义承接住房租赁经纪业务的，由县级以上地方人民政府房产管理部门责令改正，给予警告，可以处1万元以下的罚款；有违法所得的，没收违法所得；拒不改正的，1年内不得从事住房租赁经纪业务；情节严重的，5年内不得从事住房租赁经纪业务。
第三十九条：网络平台经营者未履行核验责任的，县级以上地方人民政府房产管理部门应当通报网信部门，由网信部门依据职责予以处置，可以处10万元以下的罚款；情节严重的，可以责令暂停相关业务或者停业整顿。
第四十条：房产管理部门和其他有关部门工作人员在住房租赁活动监督管理工作中滥用职权、玩忽职守、询私舞弊的，依法给予处分。
第四十一条：违反本条例规定，给他人造成损失的，依法承担赔偿责任；构成违反治安管理行为的，由公安机关依法给予治安管理处罚；构成犯罪的，依法追究刑事责任。
第四十二条：为了推动农村公路高质量发展，适应推进乡村全面振兴、加快农业农村现代化需要，制定本条例。
第四十三条：本条例所称农村公路，包括县道、乡道和村道。
第四十四条：农村公路是服务农业、农村、农民的公益性基础设施。国家综合采取多方面措施，支持和促进农村公路发展。
第四十五条：农村公路发展应当惯彻党和国家路线方针政策、决策部署，与统筹新型城镇化和乡村全面振兴的有关要求相适应，坚持政府主导、统筹规划、因地制宜，坚持建设、管理、养护、运营并重，逐步完善全域覆盖、普惠共享、安全适用、便捷高效的农村交通基础设施网络。
第四十六条：县级人民政府对本行政区域内农村公路发展承担主体责任，加强对农村公路工作的组织领导，落实农村公路发展支持措施，统筹研究和协调解决农村公路工作中的重大问题。县级人民政府交通运输等有关部门、乡镇人民政府依照本条例规定和县级人民政府确定的职责，做好农村公路相关工作。国务院交通运输等有关部门、设区的市级以上地方人民政府及其交通运输等有关部门应当加强对农村公路工作的指导监督。
第四十七条：农村公路发展建立以财政投入为主、多渠道筹措为辅的资金保障制度。地方各级人民政府按照财政事权和支出责任划分原则，安排应由其承担的农村公路发展经费，并列入本级预算。国家鼓励通过慈善和社会捐助以及综合开发运营农村公路相关资源、权益等方式筹集农村公路发展资金，支持金融机构按照市场化、法治化原则提供与农村公路发展相适应的金融服务，引导社会资本依法参与农村公路发展。
第四十八条：农村公路建设应当以提升路网质量为重点，推动农村公路路网提档升级、优化结构。农村公路路网密度不足的偏远山区、边疆地区等，应当根据实际需要有序推进路网延伸，提高路网通达水平。
第四十九条：新建农村公路应当符合规定的公路技术等级要求。现有农村公路不符合最低技术等级要求的，应当升级改造为符合技术等级要求的公路。县级人民政府应当根据本地区实际情况组织实施农村公路升级改造。农村公路建设选用的具体技术等级及其主要技术指标，应当根据其功能定位，结合地形条件、预计交通流量等因素确定。国务院交通运输主管部门应当健全与农村公路特点相适应的技术等级及其技术指标体系。
第五十条：农村公路建设应当与国道、省道建设衔接协调，促进城乡交通运输一体化。地方各级人民政府应当采取措施，推进农村公路与沿线配套设施、产业园区、旅游景区等一体化建设，统筹农业生产、乡村旅游等需求，促进农村公路建设与乡村产业发展有机融合。鼓励在农村公路建设中推广以工代赈方式。
第五十一条：农村公路建设涉及土地和空间使用的合理需求纳入国土空间规划实施监督系统统筹保障，按照国家有关规定落实用地管理要求。农村公路建设应当依据国土空间规划科学合理选址，优先利用现有道路改建或者扩建，不占或者少占耕地，节约集约用地。
第五十二条：对符合投资规模较小、技术方案简单等条件的农村公路建设项目，可以按照国家有关规定简化相关程序。
第五十三条：县级人民政府交通运输主管部门应当依法采取有效措施，加大对农村公路超限运输行为的治理力度，防止超限运输车辆违法在农村公路上行驶。不属于超限运输的建设工程重型载货汽车确需将农村公路作为施工便道或者在一定时期内集中通行农村公路，可能造成农村公路损坏的，建设单位应当与县级人民政府交通运输主管部门或者乡镇人民政府签订协议，采取合理规划行车线路、控制车辆载荷、加固改造通行路段等防护措施；造成损坏的，应当按照不低于该段公路原有的技术标准及时予以修复、改建或者给予相应的经济补偿。
第五十四条：根据农村公路保护管理需要，县级人民政府交通运输主管部门可以在农村公路沿线设置相应的电子技术监控设备。设置电子技术监控设备应当经过法制和技术审核，确保电子技术监控设备符合标准、设置合理、标志明显，投入使用前设置地点应当及时向社会公布。
第五十五条：县级人民政府应当组织交通运输等有关部门、乡镇人民政府依法采取措施，开展农村公路路域环境综合整治，持续优化农村公路路域环境。
第五十六条：县级人民政府应当建立健全农村公路管理养护责任制，明确并支持、督促交通运输等有关部门、乡镇人民政府履行农村公路管理养护职责。地方各级人民政府应当按照国家有关规定，落实农村公路养护资金财政支出责任，加强农村公路资产管理。农村公路与乡村旅游等经营性项目一体化开发的收益可以用于农村公路养护。
第五十七条：县级人民政府交通运输主管部门应当定期组织开展农村公路技术状况检测和评定，并将检测和评定结果作为实施农村公路养护的重要依据。
第五十八条：农村公路养护按作业性质分为日常养护和养护工程。县道的养护由县级人民政府交通运输主管部门组织实施。乡道、村道的日常养护由乡镇人民政府组织实施。乡道、村道的养护工程由县级人民政府交通运输主管部门组织实施，或者交由具备条件的乡镇人民政府组织实施。
第五十九条：农村公路的日常养护可以通过政府购买服务等方式吸纳沿线农村居民参与，保洁、绿化等相关工作可以由农村居民或者家庭承包，统畴用好农村公路管理养护领域公益性岗位，优先吸纳就业困难人员。国家鼓励、引导专业公路养护作业单位参与农村公路养护，推动建立健全农村公路养护长效机制，提高养护专业化水平。
第六十条：农村公路养护应当按照相应的技术规范和操作规程实施，保证公路经常处于良好的技术状态。
第六十一条：县级人民政府交通运输主管部门、乡镇人民政府应当组织开展农村公路日常巡查；发现公路坍塌或者有坑槽、隆起等影响安全通行情形的，应当及时设置警示标志并组织修复。
第六十二条：县级人民政府应当建立健全农村公路安全隐患排查治理机制，以农村公路急弯陡坡、临水临崖、平交路口、桥梁隧道、穿村过镇等路段为重点，组织开展安全隐患排查和治理。交通事故易发的农村公路平交路口、穿村过镇路段等地点应当设置醒目的安全警示标志，必要时设置车辆减速装置等设施。
第六十三条：县级人民政府应当加强农村公路应急保障和防灾抗灾能力建设，组织落实农村公路突发事件应急预案制定、应急物资储备、灾害监测预警等方面的责任。因自然灾害或者其他突发事件造成农村公路中断的，县级人民政府应当组织交通运输等有关部门及时进行抢通；难以及时抢通的，应当设立警示标志并发布绕行路线。
第六十四条：县级人民政府及其有关部门、乡镇人民政府应当采取灵活有效的方式，对农村公路沿线居民开展道路交通安全法律法规和爱路护路宣传教育，鼓励、引导将爱路护路有关要求纳入村规民约，增强农村居民的道路交通安全和爱路护路意识。
第六十五条：地方各级人民政府应当完善政策措施，健全激励机制，加快农村货运物流等相关基础设施建设，保障农村客运可持续运营，促进农村客运、货运物流、邮政快递融合发展，拓展农村公路服务功能，提升农村公路服务畅通城乡经济循环的能力。
第六十六条：国务院有关部门、县级以上地方人民政府及其有关部门、乡镇人民政府在农村公路工作中不履行或者不正确履行职责的，依照法律法规和国家有关规定追究责任，对直接负责的主管人员和其他直接责任人员依法给予处分。
第六十七条：村道除适用本条例规定外，参照适用《中华人民共和国公路法》、《公路安全保护条例》的有关规定。
第六十八条：为了推进政务数据安全有序高效共享利用，提升政府数字化治理能力和政务服务效能，全面建设数字政府，根据《中华人民共和国网络安全法》、《中华人民共和国数据安全法》、《中华人民共和国个人信息保护法》等法律，制定本条例。
第六十九条：政府部门和法律、法规授权的具有管理公共事务职能的组织(以下统称政府部门)之间政务数据共享以及相关安全、监督、管理等工作，适用本条例。
第七十条：本条例所称政务数据，是指政府部门在依法履行职责过程中收集和产生的各类数据，但不包括属于国家秘密、工作秘密的数据。本条例所称政务数据共享，是指政府部门因依法履行职责需要，使用其他政府部门的政务数据或者为其他政府部门提供政务数据的行为。
第七十一条：政务数据共享工作应当坚持中国共产党的领导，贯彻总体国家安全观，统筹发展和安全，遵循统筹协调、标准统一、依法共享、合理使用、安全可控的原则。
第七十二条：开展政务数据共享工作，应当遵守法律法规，履行政务数据安全保护义务，不得危害国家安全、公共利益，不得损害公民、法人和其他组织的合法权益。
第七十三条：国家建立政务数据共享标准体系，推进政务数据共享工作标准化、规范化。
第七十四条：国家鼓励政务数据共享领域的管理创新、机制创新和技术创新，持续提升政务数据共享效率、应用水平和安全保障能力。
第七十五条：政府部门应当建立健全政务数据全过程质量管理体系，提高政务数据质量管理能力，加强政务数据收集、存储、加工、传输、共享、使用、销毁等标准化管理。
第七十六条：政府部门应当通过全国一体化政务大数据体系开展政务数据共享相关工作。
第七十七条：国家鼓励和支持大数据、云计算、人工智能、区块链等新技术在政务数据共享中的应用。
第七十八条：为促进快递业健康发展，保障快递安全，保护快递用户合法权益，加强对快递业的监督管理，根据《中华人民共和国邮政法》和其他有关法律，制定本条例。
第七十九条：在中华人民共和国境内从事快递业务经营、接受快递服务以及对快递业实施监督管理，适用本条例。
第八十条：快递业发展应当遵循市场主导、保障安全、创新驱动、协同发展的原则，构建普惠城乡、技术先进、服务优质、安全高效、绿色节能的快递服务体系。
第八十一条：地方各级人民政府应当创造良好的快递业营商环境，支持经营快递业务的企业创新商业模式和服务方式，引导经营快递业务的企业加强服务质量管理、健全规章制度、完善安全保障措施，为用户提供迅速、准确、安全、方便的快递服务。地方各级人民政府应当确保政府相关行为符合公平竞争要求和相关法律法规，维护快递业竞争秩序，不得出台违反公平竞争、可能造成地区封锁和行业垄断的政策措施。
第八十二条：任何单位或者个人不得利用信件、包裹、印刷品以及其他寄递物品(以下统称快件)从事危害国家安全、社会公共利益或者他人合法权益的活动。除有关部门依照法律对快件进行检查外，任何单位或者个人不得非法检查他人快件。任何单位或者个人不得私自开拆、隐溺、毁弃、倒卖他人快件。
第八十三条：国务院邮政管理部门负责对全国快递业实施监督管理。国务院公安、国家安全、海关、市场监督管理等有关部门在各自职责范围内负责相关的快递监督管理工作。省、自治区、直辖市邮政管理机构和按照国务院规定设立的省级以下邮政管理机构负责对本辖区的快递业实施监督管理。县级以上地方人民政府有关部门在各自职责范围内负责相关的快递监督管理工作。
第八十四条：国务院邮政管理部门和省、自治区、直辖市邮政管理机构以及省级以下邮政管理机构(以下统称邮政管理部门)应当与公安、国家安全、海关、市场监督管理等有关部门相互配合，建立健全快递安全监管机制，加强对快递业安全运行的监测预警，收集、共享与快递业安全运行有关的信息，依法处理影响快递业安全运行的事件。
第八十五条：依法成立的快递行业组织应当保护企业合法权益，加强行业自律，促进企业守法、诚信、安全经营，督促企业落实安全生产主体责任，引导企业不断提高快递服务质量和水平。
第八十六条：国家加强快递业诚信体系建设，建立健全快递业信用记录、信息公开、信用评价制度，依法实施联合惩戒措施，提高快递业信用水平。
第八十七条：国家完善综合性支持政策，推进快递包装绿色化、减量化、可循环。
第八十八条：国务院邮政管理部门应当制定快递业发展规划，促进快递业健康发展。
县级以上地方人民政府应当将快递业发展纳入本级国民经济和社会发展规划，在国土空间规划中统筹考虑快件大型集散、分拣等基础设施用地的需要。县级以上地方人民政府建立健全促进快递业健康发展的政策措施，完善相关配套规定，依法保障经营快递业务的企业及其从业人员的合法权益。
第八十九条：国家支持和鼓励经营快递业务的企业在农村、偏远地区发展快递服务网络，完善快递末端网点布局。
第九十条：国家鼓励和引导经营快递业务的企业采用先进技术，促进自动化分拣设备、机械化装卸设备、智能末端服务设施、快递电子运单以及快件信息化管理系统等的推广应用。
第九十一条：县级以上地方人民政府公安、交通运输等部门和邮政管理部门应当加强协调配合，建立健全快递运输保障机制，依法保障快递服务车辆通行和临时停靠的权利，不得禁止快递服务车辆依法通行。邮政管理部门会同县级以上地方人民政府公安等部门，依法规范快递服务车辆的管理和使用，对快递专用电动三轮车的行驶时速、装载质量等作出规定，并对快递服务车辆加强统一编号和标识管理。经营快递业务的企业应当对其从业人员加强道路交通安全培训。快递从业人员应当遵守道路交通安全法律法规的规定，按照操作规范安全、文明驾驶车辆。快递从业人员因执行工作任务造成他人损害的，由快递从业人员所属的经营快递业务的企业依照民事侵权责任相关法律的规定承担侵权责任。
第九十二条：企业事业单位、住宅小区管理单位应当根据实际情况，采取与经营快递业务的企业签订合同、设置快件收寄投递专门场所等方式，为开展快递服务提供必要的便利。鼓励多个经营快递业务的企业共享末端服务设施，为用户提供便捷的快递末端服务。
第九十三条：国家鼓励快递业与制造业、农业、商贸业等行业建立协同发展机制，推动快递业与电子商务融合发展，加强信息沟通，共享设施和网络资源。国家引导和推动快递业与铁路、公路、水路、民航等行业的标准对接，支持在大型车站、码头、机场等交通枢纽配套建设快件运输通道和接驳场所。
第九十四条：国家鼓励经营快递业务的企业依法开展进出境快递业务，支持在重点口岸建设进出境快件处理中心、在境外依法开办快递服务机构并设置快件处理场所。
第九十五条：经营快递业务，应当依法取得快递业务经营许可。邮政管理部门应当跟据《中华人民共和国邮政法》第五十二条、第五十三条规定的条件和程序核定经营许可的业务范围和地域范围，向社会公布取得快递业务经营许可的企业名单，并及时更新。
第九十六条：经营快递业务的企业及其分支机构可以根据业务需要开办快递末端网点，并应当自开办之日起20日内向所在地邮政管理部门备案。快递末端网点无需办理营业执照。
第九十七条：两个以上经营快递业务的企业可以使用统一的商标、字号或者快递运单经营快递业务。前款规定的经营快递业务的企业应当签订书面协议明确各自的权利义务，遵守共同的服务约定，在服务质量、安全保障、业务流程等方面实行统一管理，为用户提供统一的快件跟踪查询和投诉处理服务。用户的合法权益因快件延误、丢失、损毁或者内件短少而受到损害的，用户可以要求该商标、字号或者快递运单所属企业赔偿，也可以要求实际提供快递服务的企业赔偿。
第九十八条：经营快递业务的企业应当依法保护其从业人员的合法权益。
第九十九条：经营快递业务的企业应当规范操作，防止造成快件损毁。法律法规对食品、药品等特定物品的运输有特殊规定的，寄件人、经营快递业务的企业应当遵守相关规定。
第一百条：经营快递业务的企业应当将快件投递到约定的收件地址、收件人或者收件人指定的代收人，并告知收件人或者代收人当面验收。收件人或者代收人有权当面验收。
第一百零一条：快件延误、丢失、损毁或者内件短少的，对保价的快件，应当按照经营快递业务的企业与寄件人约定的保价规则确定赔偿责任；对未保价的快件，依照民事法律的有关规定确定赔偿责任。国家鼓励保险公司开发快件损失赔偿责任险种，鼓励经营快递业务的企业投保。
第一百零二条：经营快递业务的企业应当实行快件寄递全程信息化管理，公布联系方式，保证与用户的联络畅通，向用户提供业务咨询、快件查询等服务。用户对快递服务质量不满意的，可以向经营快递业务的企业投诉，经营快递业务的企业应当自接到投诉之日起7日内予以处理并告知用户。
第一百零三条：经营快递业务的企业停止经营的，应当提前10日向社会公告，书面告知邮政管理部门，交回快递业务经营许可证，并依法妥善处理尚未投递的快件。
第一百零四条：寄件人交寄快件和经营快递业务的企业收寄快件应当遵守《中华人民共和国邮政法》第二十四条关于禁止寄递或者限制寄递物品的规定。禁止寄递物品的目录及管理办法，由国务院邮政管理部门会同国务院有关部门制定并公布。
第一百零五条：经营快递业务的企业收寄快件，应当依照《中华人民共和国邮政法》的规定验视内件，并作出验视标识。寄件人拒绝验视的，经营快递业务的企业不得收寄。经营快递业务的企业受寄件人委托，长期、批量提供快递服务的，应当与寄件人签订安全协议，明确双方的安全保障义务。
第一百零六条：经营快递业务的企业可以自行或者委托第三方企业对快件进行安全检查，并对经过安全检查的快件作出安全检查标识。经营快递业务的企业委托第三方企业对快件进行安全检查的，不免除委托方对快件安全承担的责任。经营快递业务的企业或者接受委托的第三方企业应当使用符合强制性国家标准的安全检查设备，并加强对安全检查人员的背景审查和技术培训；经营快递业务的企业或者接受委托的第三方企业对安全检查人员进行背景审查，公安机关等相关部门应当予以配合。
第一百零七条：经营快递业务的企业发现寄件人交寄禁止寄递物品的，应当拒绝收寄；发现已经收寄的快件中有疑似禁止寄递物品的，应当立即停止分拣、运输、投递。对快件中依法应当没收、销毁或者可能涉及违法犯罪的物品，经营快递业务的企业应当立即向有关部门报告并配合调查处理；对其他禁止寄递物品以及限制寄递物品，经营快递业务的企业应当按照法律、行政法规或者国务院和国务院有关主管部门的规定处理。
第一百零八条：经营快递业务的企业应当建立快递运单及电子数据管理制度，妥善保管用户信息等电子数据，定期销毁快递运单，采取有效技术手段保证用户信息安全。具体办法由国务院邮政管理部门会同国务院有关部门制定。经营快递业务的企业及其从业人员不得出售、泻露或者非法提供快递服务过程中知悉的用户信息。发生或者可能发生用户信息泄露的，经营快递业务的企业应当立即采取补救措施，并向所在地邮政管理部门报告。
第一百零九条：经营快递业务的企业应当依法建立健全安全生产责任制，确保快递服务安全。
第一百一十条：快递包装应当符合寄递生产作业的要求，节约使用资源，避免过度包装，防止污染环境。国务院标准化行政主管部门和国务院邮政管理等部门按照职责分工组织制定快递包装的国家标准、行业标准。快递包装应当符合强制性国家标准。
第一百一十一条：国家鼓励科技创新，支持采用新技术、新材料、新工艺研发、生产符合绿色环保要求的快递包装。
第一百一十二条：经营快递业务的企业应当在保障快递安全的前提下，优化快递包装方式和包装结构设计，节约使用包装物。鼓励经营快递业务的企业使用通过绿色产品认证的包装物。
第一百一十三条：国家推动经营快递业务的企业与商品生产企业、电子商务企业协同发展，推广商品原装直发，减少寄递环节的二次包装。
第一百一十四条：经营快递业务的企业应当制定并实施快递包装操作规范，加强对其从业人员快递包装操作技能的培训。
第一百一十五条：经营快递业务的企业应当制定并实施包装物回收利用管理制度，优化业务流程，提高包装物的回收利用率。鼓励在快递经营场所和企业事业单位、住宅小区等其他适当场所设置包装物回收设施设备。
第一百一十六条：经营快递业务的企业应当按照国家有关规定向邮政管理部门报告包装物中一次性塑料制品的使用、回收情况。
第一百一十七条：国务院有关部门、县级以上地方人民政府及其有关部门应当组织开展多种形式的宣传教育活动，新闻媒体应当开展公益宣传，提高公众的环保包装意识。
鼓励经营快递业务的企业通过积分奖励、寄件优惠等方式引导用户重复使用包装物。
第一百一十八条：依法成立的快递行业组织应当将经营快递业务的企业使用、回收包装物等情况纳入行业自律范围，并及时向社会公布有关情况。
第一百一十九条：为了规范互联网平台企业向税务机关报送平台内经营者和从业人员涉税信息，提升税收服务与管理效能，保护纳税人合法权益，营造公平统一的税收环境，促进平台经济规范健康发展，根据《中华人民共和国税收征收管理法》、《中华人民共和国电子商务法》，制定本规定。
第一百二十条：互联网平台企业应当依照本规定向其主管税务机关报送平台内经营者和从业人员的身份信息、收入信息等涉税信息。本规定所称互联网平台企业，是指《中华人民共和国电子商务法》规定的电子商务平台经营者以及其他为网络交易活动提供网络经营场所、交易撮合、信息发布等营利性服务的法人或者非法人组织；所称从业人员，是指通过互联网平台以个人名义提供营利性服务的自然人。
第一百二十一条：互联网平台企业应当自本规定施行之日起30日内或者自从事互联网经营业务之日起30日内向其主管税务机关报送平台域名、业务类型、相关运营主体的统一社会信用代码以及名称等信息。
第一百二十二条：互联网平台企业应当于季度终了的次月内，按照国务院税务主管部门规定的身份信息、收入信息的具体类别和内容，向其主管税务机关报送平台内经营者和从业人员的身份信息以及上季度收入信息。在互联网平台内从事配送、运输、家政等便民劳务活动的从业人员，依法享受税收优惠或者不需要纳税的，互联网平台企业不需要报送其收入信息。互联网平台企业按照规定为平台内经营者和从业人员办理扣缴申报、代办申报等涉税事项时已填报的涉税信息，不需要重复报送。
第一百二十三条：互联网平台企业应当按照国务院税务主管部门规定的涉税信息报送的数据口径和彪准，通过网络等方式报送涉税信息。税务机关应当提供安全可靠的涉税信息报送渠道，积极运用现代信息技术，提供直连报送、上传导入等接口服务，并做好政策解读以及问题解答等咨询服务。
第一百二十四条：互联网平台企业应当核验平台内经营者和从业人员涉税信息，对其真实性、准确性、完整性负责。税务机关可以根据税收监管需要，对互联网平台企业报送的涉税信息进行核查。互联网平台企业已对其报送的涉税信息尽到核验义务，因平台内经营者或者从业人员过错导致涉税信息不真实、不准确或者不完整的，不追究互联网平台企业责任。
第一百二十五条：税务机关依法开展税务检查或者发现涉税风险时，可以要求互联网平台企业和相关方提供涉嫌违法的平台内经营者和从业人员的合同订单、交易明细、资金账户、物流等涉税信息，互联网平台企业和相关方应当按照税务机关要求的期限、方式和内容如实提供。
第一百二十六条：工业和信息化、人力资源社会保障、交通运输、市场监管、网信等部门应当与税务机关加强涉税信息共享。通过信息共享能够获取的涉税信息，税务机关不得要求互联网平台企业重复报送。
第一百二十七条：互联网平台企业应当依照法律、行政法规和国家有关规定，规范保存平台内经营者和从业人员涉税信息。
第一百二十八条：税务机关及其工作人员在互联网平台企业涉税信息报送管理工作中有违法行为的，依照有关法律、行政法规的规定追究法律责任。
第一百二十九条：平台内经营者和从业人员在本规定施行前的涉税信息，互联网平台企业不需要报送。境外互联网平台企业在中华人民共和国境内提供营利性服务的，按照国务院税务主管部门的规定报送平台内经营者和从业人员涉税信息。
第一百三十条：村道两侧的建筑控制区的范围由县级人民政府按照省、自治区、直辖市的规定划定，建筑控制区管理依照有关法律、行政法规的规定执行。县道、乡道两侧的建筑控制区依照有关法律、行政法规的规定划定范围并实行管理。
第一百三十一条：国家鼓励经营快递业务的企业在节假日期间根据业务量变化实际情况，为用户提供正常的快递服务。
第一百三十二条：在住房租赁活动中，因押金返还、住房维修、住房腾退等产生纠纷的，由出租人和承租人协商解决；协商不成的，可以依法申请调解、仲裁或者提起诉讼。
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Chinese
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8k
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T7. Consistency & Compliance Checking
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T7.3 Comprehensive Error & Anomaly Sweep
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Full
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以上是部分司法条例，在上面的完整长文本中，查找所有中文错别字。先输出“[答案]”标识符，再按行输出包含错别字的原句条例号和相关词语或成语，不要输出任何其他内容。
输出示例：
[答案]
第五条 匆匆茫茫
第十三条 游刃有鱼
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以上是部分司法条例，在上面的完整长文本中，查找所有中文错别字。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出包含错别字的原句条例号和相关词语或成语，不要输出任何其他内容。
输出示例：
<你的思考过程>
[答案]
第五条 匆匆茫茫
第十三条 游刃有鱼
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[
"第四十条 询私舞弊",
"第四十五条 惯彻",
"第五十九条 统畴",
"第八十二条 隐溺",
"第九十五条 跟据",
"第一百零八条 泻露",
"第一百二十三条 彪准"
] |
Hard
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623c7c7e4c8ba2396fd4ad544a63959d4ce135fa80ffc98d955403a71915b702
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q
☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended July 27, 2025
OR
• TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
Commission File Number: 0-23985
NVIDIA CORPORATION
(Exact name of registrant as specified in its charter)
Delaware 94-3177549
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)
2788 San Tomas Expressway, Santa Clara, California 95051 (Address of principal executive offices) (Zip Code)
(408) 486-2000
(Registrant's telephone number, including area code)
N/A
(Former name, former address and former fiscal year, if changed since last report)
Securities registered pursuant to Section 12(b) of the Act:
Title of each class Trading Symbol(s) Name of each exchange on which registered
Common Stock, $0.001 par value per share NVDA The Nasdaq Global Select Market
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ☒ No ☐
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes ☒ No ☐
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer ☒ Accelerated filer ☐ Non-accelerated filer ☐ Smaller reporting company ☐ Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ☐ No ☒
The number of shares of common stock, $0.001 par value, outstanding as of August 22, 2025, was 24.3 billion.
NVIDIA Corporation Form 10-Q
For the Quarter Ended July 27, 2025
Table of Contents
Page
Part I : Financial Information
Item 1. Financial Statements (Unaudited)
a) Condensed Consolidated Statements of Income for the three and six months ended July 27, 2025 and July 28, 2024 3
b) Condensed Consolidated Statements of Comprehensive Income for the three and six months ended July 27, 2025 and July 28, 2024 4
c) Condensed Consolidated Balance Sheets as of July 27, 2025 and January 26, 2025 5
d) Condensed Consolidated Statements of Shareholders' Equity for the three and six months ended July 27, 2025 and July 28, 2024 6
e) Condensed Consolidated Statements of Cash Flows for the six months ended July 27, 2025 and July 28, 2024 8
f) Notes to Condensed Consolidated Financial Statements 9
Item 2. Management’s Discussion and Analysis of Financial Condition and Results of Operations 24
Item 3. Quantitative and Qualitative Disclosures About Market Risk 31
Item 4. Controls and Procedures 32
Part II : Other Information
Item 1. Legal Proceedings 32
Item 1A. Risk Factors 32
Item 2. Unregistered Sales of Equity Securities and Use of Proceeds 37
Item 5. Other Information 38
Item 6. Exhibits 39
Signature 40
Where You Can Find More Information
Investors and others should note that we announce material financial information to our investors using our investor relations website, press releases, SEC filings and public conference calls and webcasts. We also use the following social media channels as a means of disclosing information about the company, our products, our planned financial and other announcements and attendance at upcoming investor and industry conferences, and other matters, and for complying with our disclosure obligations under Regulation FD:
NVIDIA Corporate Blog (http://blogs.nvidia.com)
NVIDIA Technical Blog (http://developer.nvidia.com/blog/) NVIDIA LinkedIn Page (http://www.linkedin.com/company/nvidia) NVIDIA Facebook Page (https://www.facebook.com/nvidia) NVIDIA Instagram Page (https://www.instagram.com/nvidia) NVIDIA X Account (https://x.com/nvidia)
NVIDIA Threads Page (https://www.threads.com/@nvidia)
In addition, investors and others can view NVIDIA videos on YouTube (https://www.YouTube.com/nvidia).
The information we post through these social media channels may be deemed material. Accordingly, investors should monitor these accounts and the blog, in addition to following our press releases, SEC filings and public conference calls and webcasts. This list may be updated from time to time. The information we post through these channels is not a part of this Quarterly Report on Form 10-Q. These channels may be updated from time to time on NVIDIA's investor relations website.
2
Part I. Financial Information
Item 1. Financial Statements (Unaudited)
NVIDIA Corporation and Subsidiaries
Condensed Consolidated Statements of Income (In millions, except per share data)
(Unaudited)
Three Months Ended Six Months Ended
Jul 27, 2025 Jul 28, 2024 Jul 27, 2025 Jul 28, 2024
Revenue $ 46,743 $ 30,040 $ 90,805 $ 56,084
Cost of revenue 12,890 7,466 30,284 13,105
Gross profit 33,853 22,574 60,521 42,979
Operating expenses
Research and development 4,291 3,090 8,280 5,810
Sales, general and administrative 1,122 842 2,163 1,618
Total operating expenses 5,413 3,932 10,443 7,428
Operating income 28,440 18,642 50,078 35,551
Interest income 592 444 1,108 803
Interest expense (62) (61) (124) (125)
Other income (expense), net 2,236 189 2,055 264
Total other income (expense), net 2,766 572 3,039 942
Income before income tax 31,206 19,214 53,117 36,493
Income tax expense 4,784 2,615 7,920 5,013
Net income $ 26,422 $ 16,599 $ 45,197 $ 31,480
Net income per share:
Basic $ 1.08 $ 0.68 $ 1.85 $ 1.28
Diluted $ 1.08 $ 0.67 $ 1.84 $ 1.27
Weighted average shares used in per share computation:
Basic 24,366 24,578 24,404 24,599
Diluted 24,532 24,848 24,571 24,869
See accompanying Notes to Condensed Consolidated Financial Statements.
3
Condensed Consolidated Statements of Comprehensive Income (In millions)
(Unaudited)
Three Months Ended Six Months Ended
Jul 27, 2025 Jul 28, 2024 Jul 27, 2025 Jul 28, 2024
Net income $ 26,422 $ 16,599 $ 45,197 $ 31,480 Other comprehensive income (loss), net of tax
Available-for-sale securities:
Net change in unrealized gain (loss) (52) 150 87 22
Cash flow hedges:
Change in unrealized gain 31 23 54 20
Net change in unrealized gain 36 15 55 7
Other comprehensive income (loss), net of tax (16) 165 142 29
Total comprehensive income $ 26,406 $ 16,764 $ 45,339 $ 31,509 See accompanying Notes to Condensed Consolidated Financial Statements.
4
Condensed Consolidated Balance Sheets (In millions)
(Unaudited)
Jul 27, 2025 Jan 26, 2025
Assets
Current assets:
Cash and cash equivalents $ 11,639 $ 8,589
Marketable securities 45,152 34,621
Accounts receivable, net 27,808 23,065
Inventories 14,962 10,080
Prepaid expenses and other current assets 2,658 3,771
Total current assets 102,219 80,126
Property and equipment, net 9,141 6,283
Operating lease assets 2,084 1,793
Goodwill 5,755 5,188
Intangible assets, net 755 807
Deferred income tax assets 13,570 10,979
Other assets 7,216 6,425
Total assets $ 140,740 $ 111,601
Liabilities and Shareholders' Equity
Current liabilities:
Accounts payable $ 9,064 $ 6,310
Accrued and other current liabilities 15,193 11,737
Total current liabilities 24,257 18,047
Long-term debt 8,466 8,463
Long-term operating lease liabilities 1,831 1,519
Other long-term liabilities 6,055 4,245
Total liabilities 40,609 32,274
Commitments and contingencies - see Note 11
Shareholders’ equity:
Preferred stock — —
Common stock 24 24
Additional paid-in capital 11,200 11,237
Accumulated other comprehensive income 170 28
Retained earnings 88,737 68,038
Total shareholders' equity 100,131 79,327
Total liabilities and shareholders' equity $ 140,740 $ 111,601
See accompanying Notes to Condensed Consolidated Financial Statements.
5
Common Stock
Outstanding Additional
Accumulated Other Comprehensive
Retained
Total
Shareholders'
Shares Amount
Paid-in Capital
Income (Loss)
Earnings
Equity
(In millions, except per share data)
Balances as of Apr 27, 2025 24,388 $ 24 $ 11,475 $ 186 $ 72,158 $ 83,843
Net income — — — — 26,422 26,422
Other comprehensive loss — — — (16) — (16)
Issuance of common stock 39 — — — — —
Tax withholding related to common stock (13) — (1,848) — — (1,848)
Shares repurchased (67) — (59) — (9,599) (9,658)
Cash dividends declared and paid ($0.01 per common share) — — — — (244) (244)
Stock-based compensation — — 1,632 — — 1,632
Balances as of Jul 27, 2025 24,347 $ 24 $ 11,200 $ 170 $ 88,737 $ 100,131
Balances as of Apr 28, 2024 24,598 $ 25 $ 12,628 $ (109) $ 36,598 $ 49,142
Net income — — — — 16,599 16,599
Other comprehensive income — — — 165 — 165
Issuance of common stock 38 — — — — —
Tax withholding related to common stock (11) — (1,637) — — (1,637)
Shares repurchased (63) — (38) — (6,990) (7,028)
Cash dividends declared and paid ($0.01 per common share) — — — — (246) (246)
Stock-based compensation — — 1,162 — — 1,162
Balances as of Jul 28, 2024 24,562 $ 25 $ 12,115 $ 56 $ 45,961 $ 58,157
See accompanying Notes to Condensed Consolidated Financial Statements.
6
Common Stock Outstanding
Shares Amount
Additional Paid-in Capital
Accumulated Other Comprehensive Income
Retained Earnings
Total
Shareholders' Equity
(In millions, except per share data)
Balances, Jan 26, 2025 24,477 $ 24 $ 11,237 $ 28 $ 68,038 $ 79,327
Net income — — — — 45,197 45,197
Other comprehensive income — — — 142 — 142
Issuance of common stock 89 — 370 — — 370
Tax withholding related to common stock (26) — (3,380) — — (3,380)
Shares repurchased (193) — (151) — (24,010) (24,161)
Cash dividends declared and paid ($0.02 per common share) — — — — (488) (488)
Fair value of partially vested equity awards assumed in connection with acquisitions — — 22 — — 22
Stock-based compensation — — 3,102 — — 3,102
Balances as of Jul 27, 2025 24,347 $ 24 $ 11,200 $ 170 $ 88,737 $ 100,131
Balances, Jan 28, 2024 24,643 $ 25 $ 13,109 $ 27 $ 29,817 $ 42,978
Net income — — — — 31,480 31,480
Other comprehensive income — — — 29 — 29
Issuance of common stock 113 — 285 — — 285
Tax withholding related to common stock (32) — (3,389) — — (3,389)
Shares repurchased (162) — (71) — (14,992) (15,063)
Cash dividends declared and paid ($0.014 per common share) — — — — (344) (344)
Stock-based compensation — — 2,181 — — 2,181
Balances as of Jul 28, 2024 24,562 $ 25 $ 12,115 $ 56 $ 45,961 $ 58,157
See accompanying Notes to Condensed Consolidated Financial Statements.
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NVIDIA Corporation and Subsidiaries
Condensed Consolidated Statements of Cash Flows (In millions)
(Unaudited)
Six Months Ended
Jul 27, 2025 Jul 28, 2024
Cash flows from operating activities:
Net income $ 45,197 $ 31,480
Adjustments to reconcile net income to net cash provided by operating activities:
Stock-based compensation expense 3,099 2,164
Depreciation and amortization 1,280 843
Deferred income taxes (2,160) (3,276)
Gains on non-marketable equity securities and publicly-held equity securities, net (2,073) (264)
Other (196) (288)
Changes in operating assets and liabilities, net of acquisitions:
Accounts receivable (4,743) (4,133)
Inventories (4,880) (1,380)
Prepaid expenses and other assets 946 (12)
Accounts payable 2,255 801
Accrued and other current liabilities 3,075 3,314
Other long-term liabilities 979 584
Net cash provided by operating activities 42,779 29,833
Cash flows from investing activities:
Proceeds from maturities of marketable securities 6,252 8,098
Proceeds from sales of marketable securities 487 164
Proceeds from sales of non-marketable equity securities 70 105
Purchases of marketable securities (14,358) (15,047)
Purchases related to property and equipment and intangible assets (3,122) (1,346)
Purchases of non-marketable equity securities (995) (534)
Acquisitions, net of cash acquired (677) (317)
Net cash used in investing activities (12,343) (8,877)
Cash flows from financing activities:
Proceeds related to employee stock plans 370 285
Payments related to repurchases of common stock (23,815) (14,898)
Payments related to employee stock plan taxes (3,380) (3,389)
Dividends paid (488) (344)
Principal payments on property and equipment and intangible assets (73) (69)
Repayment of debt — (1,250)
Net cash used in financing activities (27,386) (19,665)
Change in cash and cash equivalents 3,050 1,291
Cash and cash equivalents at beginning of period 8,589 7,280
Cash and cash equivalents at end of period $ 11,639 $ 8,571
Supplemental disclosure of cash flow information:
Cash paid for income taxes, net $ 8,451 $ 7,449
See accompanying Notes to Condensed Consolidated Financial Statements.
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NVIDIA Corporation and Subsidiaries
Notes to Condensed Consolidated Financial Statements (Unaudited)
Note 1 - Summary of Significant Accounting Policies
Basis of Presentation
The accompanying unaudited condensed consolidated financial statements were prepared in accordance with accounting principles generally accepted in the United States of America, or U.S. GAAP, for interim financial information and with the instructions to Form 10-Q and Article 10 of Securities and Exchange Commission, or SEC, Regulation S-X. The January 26, 2025 consolidated balance sheet was derived from our audited consolidated financial statements included in our Annual Report on Form 10-K for the fiscal year ended January 26, 2025, as filed with the SEC, but does not include all disclosures required by
U.S. GAAP. In the opinion of management, all adjustments, consisting only of normal recurring adjustments considered necessary for a fair presentation of results of operations and financial position, have been included. The results for the interim periods presented are not necessarily indicative of the results expected for any future period. The following information should be read in conjunction with the audited consolidated financial statements and notes thereto included in our Annual Report on Form 10-K for the fiscal year ended January 26, 2025.
Certain balances from the prior fiscal year have been reclassified to conform to the current period presentation.
Significant Accounting Policies
There have been no material changes to our significant accounting policies disclosed in Note 1 - Organization and Summary of Significant Accounting Policies, of the Notes to the Consolidated Financial Statements included in our Annual Report on Form 10-K for the fiscal year ended January 26, 2025.
Fiscal Year
Fiscal years 2026 and 2025 are both 52-week years ending on the last Sunday in January. The second quarters of fiscal years 2026 and 2025 were both 13- week quarters.
Principles of Consolidation
Our condensed consolidated financial statements include the accounts of NVIDIA Corporation and our wholly-owned subsidiaries. All intercompany balances and transactions have been eliminated in consolidation.
Use of Estimates
The preparation of financial statements in conformity with U.S. GAAP requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenue and expenses during the reporting period. Actual results could differ materially from our estimates. On an on-going basis, we evaluate our estimates, including those related to accounts receivable, cash equivalents and marketable securities, goodwill, income taxes, inventories and product purchase commitments, investigation and settlement costs, litigation, non-marketable equity securities, other contingencies, property, plant, and equipment, restructuring and other charges, revenue recognition, and stock-based compensation. These estimates are based on historical facts and various other assumptions that we believe are reasonable.
Recently Issued Accounting Pronouncements
Recent Accounting Pronouncements Not Yet Adopted
In December 2023, the FASB issued a new accounting standard which includes new and updated income tax disclosures, including disaggregation of information in the rate reconciliation and income taxes paid. We will adopt this standard in our fiscal year 2026 annual report. We are currently assessing the effect of the adoption of this standard on our disclosures that will be included in our Form 10-K for the fiscal year ending January 25, 2026.
In November 2024, the FASB issued a new accounting standard requiring disclosures of certain additional expense information on an annual and interim basis, including, among other items, the amounts of purchases of inventory, employee compensation, depreciation and intangible asset amortization included within each income statement expense caption, as applicable. We will adopt this standard in our fiscal year 2028 annual report. We do not expect the adoption of this standard to have a material impact on our Consolidated Financial Statements other than additional disclosures.
Note 2 - Stock-Based Compensation
Stock-based compensation expense includes restricted stock units, or RSUs, performance stock units, or PSUs, market-based PSUs, and our employee stock purchase plan, or ESPP.
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Condensed Consolidated Statements of Income include stock-based compensation expense, net of amounts capitalized into inventory, as follows:
Three Months Ended Six Months Ended
Jul 27, 2025 Jul 28, 2024 Jul 27, 2025 Jul 28, 2024
(In millions)
Cost of revenue $ 58 $ 40 $ 123 $ 75
Research and development 1,191 832 2,254 1,559
Sales, general and administrative 375 282 722 530
Total $ 1,624 $ 1,154 $ 3,099 $ 2,164
Equity Award Activity
The following is a summary of our equity award transactions under our equity incentive plans:
RSUs, PSUs and Market-based PSUs Outstanding
Weighted Average Grant-Date Fair
Number of Shares Value Per Share
(In millions, except per share data)
Balance as of Jan 26, 2025 274 $ 44.75
Granted 48 $ 108.52
Vested (78) $ 36.00
Canceled and forfeited (5) $ 52.34
Balance as of Jul 27, 2025 239 $ 60.19
As of July 27, 2025, aggregate unearned stock-based compensation expense was $14.0 billion, which is expected to be recognized over a weighted average period of 2.2 years for RSUs, PSUs, and market-based PSUs, and one year for ESPP.
Note 3 - Net Income Per Share
The following is the basic and diluted net income per share computations for the periods presented:
Three Months Ended Six Months Ended
Jul 27, 2025 Jul 28, 2024 Jul 27, 2025 Jul 28, 2024
(In millions, except per share data)
Numerator: Net income $ 26,422 $ 16,599 $ 45,197 $ 31,480 Denominator:
Basic weighted average shares 24,366 24,578 24,404 24,599
Dilutive impact of outstanding equity awards 166 270 167 270
Diluted weighted average shares 24,532 24,848 24,571 24,869
Net income per share:
Basic (1) $ 1.08 $ 0.68 $ 1.85 $ 1.28
Diluted (2) $ 1.08 $ 0.67 $ 1.84 $ 1.27
Anti-dilutive equity awards excluded from diluted net income per share 3 5 60 68
• Net income divided by basic weighted average shares.
• Net income divided by diluted weighted average shares.
Diluted net income per share was computed using the weighted average number of common and potentially dilutive shares outstanding during the period, using the treasury stock method.
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Note 4 - Income Taxes
Income tax expense was $4.8 billion and $2.6 billion for the second quarter, and $7.9 billion and $5.0 billion for the first half, of fiscal years 2026 and 2025, respectively. Income tax as a percentage of income before income tax was an expense of 15.3% and 13.6% for the second quarter, and 14.9% and 13.7% for the first half, of fiscal years 2026 and 2025, respectively.
The effective tax rate increased primarily due to a lower tax benefit from stock-based compensation, partially offset by an increase in tax benefit from foreign- derived deduction eligible income.
Our effective tax rates for the first half of fiscal years 2026 and 2025 were lower than the U.S. federal statutory rate of 21% primarily due to tax benefits from foreign-derived deduction eligible income, stock-based compensation, income earned in jurisdictions that are subject to taxes at rates lower than the U.S. federal statutory tax rate, and the U.S. federal research tax credit.
In July 2025, the One Big Beautiful Bill Act (OBBBA) was enacted into law and contains several changes to key U.S. federal income tax laws. As of July 27, 2025, we have recognized the tax effects of certain OBBBA provisions, which did not have a material impact on our second quarter.
Given our current and possible future earnings, we believe that we may release the valuation allowance associated with certain state deferred tax assets in the near term, which would decrease our income tax expense for the period the release is recorded. The timing and amount of the valuation allowance release could vary based on our assessment of all available information.
While we believe that we have adequately provided for all uncertain tax positions, or tax positions where we believe it is not more-likely-than-not that the position will be sustained upon review, amounts asserted by tax authorities could be greater or less than our accrued position. Accordingly, our provisions on federal, state and foreign tax related matters to be recorded in the future may change as revised estimates are made or the underlying matters are settled or otherwise resolved with the respective tax authorities.
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Note 5 - Cash Equivalents and Marketable Securities
The fair values of our financial assets are determined using quoted market prices of identical assets or market prices of similar assets from active markets. We review fair value classification on a quarterly basis. The following is a summary of cash equivalents and marketable securities:
Jul 27, 2025
Reported as
Pricing Amortized Unrealized Unrealized Estimated Marketable
Category Cost Gain Loss Fair Value Cash Equivalents Securities
(In millions)
Debt securities issued by the U.S. Treasury Level 2 $ 23,967 $ 76 $ (11) $ 24,032 $ 3,784 $ 20,248
Corporate debt securities Level 2 21,564 81 (9) 21,636 2,214 19,422
Money market funds Level 1 5,245 — — 5,245 5,245 —
Debt securities issued by
U.S. government agencies Level 2 2,238 7 (2) 2,243 — 2,243
Certificates of deposit Level 2 108 — — 108 108 —
Foreign government bonds Level 2 40 — — 40 — 40
Total debt securities with fair value adjustments recorded in other comprehensive income
53,162
164
(22)
53,304
11,351
41,953
Publicly-held equity securities (1) Level 1 3,199 — 3,199
Total $ 53,162 $ 164 $ (22) $ 56,503 $ 11,351 $ 45,152
(1) In the first quarter of fiscal year 2026, one investment was reclassified from non-marketable equity securities to marketable securities following public market trading. The fair value of the investment as of July 27, 2025 was $2.8 billion and was subject to a short-term restriction on the ability to sell.
Publicly-held equity securities are subject to market price volatility. Net unrealized gains on investments in publicly-held equity securities held at period end were
$1.9 billion and $1.7 billion for the second quarter and first half of fiscal year 2026, respectively. Net unrealized gains on investments in publicly-held equity securities held at period end were $132 million and $181 million for the second quarter and first half of fiscal year 2025, respectively.
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Jan 26, 2025
Reported as
Pricing Amortized Unrealized Unrealized Estimated Marketable
Category Cost Gain Loss Fair Value Cash Equivalents Securities
(In millions)
Corporate debt securities Level 2 $ 18,504 $ 51 $ (29) $ 18,526 $ 2,071 $ 16,455
Debt securities issued by the U.S. Treasury Level 2 16,749 42 (22) 16,769 1,801 14,968
Money market funds Level 1 3,760 — — 3,760 3,760 —
Debt securities issued by
U.S. government agencies Level 2 2,775 7 (5) 2,777 — 2,777
Foreign government bonds Level 2 177 — — 177 137 40
Certificates of deposit Level 2 97 — — 97 97 —
Total debt securities with fair value adjustments recorded in other comprehensive income
42,062
100
(56)
42,106
7,866
34,240
Publicly-held equity securities Level 1 381 — 381
Total $ 42,062 $ 100 $ (56) $ 42,487 $ 7,866 $ 34,621
The following table provides the breakdown of unrealized losses, aggregated by investment category and length of time that individual debt securities have been in a continuous loss position:
Jul 27, 2025 Jan 26, 2025
Less than 12 Months Less than 12 Months
Estimated Fair Value Gross Unrealized Loss Estimated Fair Value Gross Unrealized Loss
(In millions)
Debt securities issued by the U.S. Treasury $ 7,319 $ (11) $ 6,315 $ (22)
Corporate debt securities 3,539 (9) 5,291 (29)
Debt securities issued by U.S. government agencies 768 (2) 816 (5)
Total $ 11,626 $ (22) $ 12,422 $ (56)
Gross unrealized losses related to debt securities in a continuous loss position of twelve months or greater, with balances of $15 million and $213 million as of July 27, 2025 and January 26, 2025, respectively, were not significant.
Gross unrealized losses are related to fixed income securities, driven primarily by changes in interest rates.
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The estimated fair value of debt securities included in cash equivalents and marketable securities are shown below by contractual maturity.
Jul 27, 2025
(In millions)
Less than one year $ 22,521
Due in 1 - 5 years 30,783
Total $ 53,304
Note 6 - Fair Value of Non-marketable Equity Securities
Our non-marketable equity securities are recorded in long-term other assets on our Condensed Consolidated Balance Sheets and valued under the measurement alternative. Gains and losses on these investments, realized and unrealized, are recognized in Other income (expense), net on our Condensed Consolidated Statements of Income.
Adjustments to the carrying value of our non-marketable equity securities during the second quarter and first half of fiscal years 2026 and 2025 were as follows:
Three Months Ended Six Months Ended
Jul 27, 2025 Jul 28, 2024 Jul 27, 2025 Jul 28, 2024
(In millions)
Balance at beginning of period $ 3,240 $ 1,463 $ 3,387 $ 1,321
Adjustments related to non-marketable equity securities:
Net additions 299 294 948 421
Unrealized gains 267 77 330 92
Reclassification (1) (5) — (848) —
Impairments and unrealized losses (2) (15) (18) (15)
Balance at end of period $ 3,799 $ 1,819 $ 3,799 $ 1,819
(1) Represents reclassifications from non-marketable equity securities to marketable securities following public market trading.
Non-marketable equity securities had cumulative gross unrealized gains of $661 million and $362 million, and cumulative gross unrealized losses and impairments of $93 million and $60 million on securities held as of July 27, 2025 and July 28, 2024, respectively.
Note 7 - Amortizable Intangible Assets and Goodwill
The components of our amortizable intangible assets are as follows:
Gross
Jul 27, 2025 Jan 26, 2025
Gross
Carrying Amount
Accumulated Amortization
Net Carrying Amount
Carrying Amount
Accumulated Amortization
Net Carrying Amount
(In millions)
Acquisition-related intangible assets $ 3,054 $ (2,484) $ 570 $ 2,900 $ (2,264) $ 636
Patents and licensed technology 473 (288) 185 449 (278) 171
Total intangible assets $ 3,527 $ (2,772) $ 755 $ 3,349 $ (2,542) $ 807
Amortization expense associated with intangible assets was $84 million and $146 million for the second quarter, and $243 million and $289 million for the first half, of fiscal years 2026 and 2025, respectively.
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The following table outlines the estimated future amortization expense related to the net carrying amount of intangible assets as of July 27, 2025:
Future Amortization Expense
(In millions)
Fiscal Year:
2026 (excluding the first half of fiscal year 2026) $ 160
2027 300
2028 145
2029 46
2030 11
2031 and thereafter 93
Total $ 755
In the first half of fiscal year 2026, goodwill increased by $567 million from acquisitions and was allocated to our Compute & Networking reporting unit.
Note 8 - Balance Sheet Components
We refer to customers who purchase products directly from NVIDIA as direct customers, such as add-in board manufacturers, distributors, original device manufacturers, or ODMs, original equipment manufacturers, or OEMs, and system integrators. We have certain customers that may purchase products directly from NVIDIA and may use either internal resources or third-party system integrators to complete their build. Three direct customers accounted for 23%, 19% and 14% of our accounts receivable balance as of July 27, 2025. Two direct customers accounted for 17% and 16% of our accounts receivable balance as of January 26, 2025.
Certain balance sheet components are as follows:
Jul 27, 2025 Jan 26, 2025
Inventories: (In millions)
Raw materials $ 1,843 $ 3,408
Work in process 4,411 3,399
Finished goods 8,708 3,273
Total inventories (1) $ 14,962 $ 10,080
(1) We recorded an inventory provision of $886 million and $345 million for the second quarter of fiscal years 2026 and 2025, respectively, and $3.2 billion and $555 million for the first half of fiscal years 2026 and 2025, respectively, in cost of revenue.
Property and Equipment:
Property, equipment and intangible assets acquired but not paid for the first half of fiscal years 2026 and 2025 were $1.1 billion and not significant, respectively.
Jul 27, 2025 Jan 26, 2025
Other Assets (Long Term): (In millions)
Non-marketable equity securities $ 3,799 $ 3,387
Prepaid supply and capacity agreements (1) 1,776 1,747
Income tax receivable 1,042 750
Prepaid royalties 327 340
Other 272 201
Total other assets $ 7,216 $ 6,425
• $1.8 billion and $3.3 billion were included in short-term Prepaid expenses and other current assets as of July 27, 2025 and January 26, 2025, respectively.
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Jul 27, 2025 Jan 26, 2025
Accrued and Other Current Liabilities: (In millions)
Customer program accruals $ 4,705 $ 4,880
Excess inventory purchase obligations (1) 3,154 2,095
Product warranty and return provisions 2,245 1,373
Taxes payable 1,910 881
Accrued payroll and related expenses 1,227 848
Deferred revenue (2) 980 837
Operating leases 301 288
Licenses and royalties 284 175
Unsettled share repurchases 185 132
Other 202 228
Total accrued and other current liabilities $ 15,193 $ 11,737
• We recorded $137 million and $563 million for the second quarter of fiscal years 2026 and 2025, respectively, and $3.1 billion and $746 million for the first half of fiscal years 2026 and 2025, respectively, in cost of revenue
• Includes customer advances and unearned revenue related to hardware support, software support, cloud services, and license and development arrangements. The balance as of July 27, 2025 and January 26, 2025 included $80 million and $81 million of customer advances, respectively.
Jul 27, 2025 Jan 26, 2025
Other Long-Term Liabilities: (In millions)
Income tax payable (1) $ 3,081 $ 2,188
Deferred income tax 1,351 886
Deferred revenue (2) 1,055 976
Licenses payable 325 116
Other 243 79
Total other long-term liabilities $ 6,055 $ 4,245
• Primarily comprised of unrecognized tax benefits and related interest and penalties.
• Includes unearned revenue related to hardware support, software support, and cloud services.
Deferred Revenue
The following table shows the changes in short- and long-term deferred revenue during the first half of fiscal years 2026 and 2025:
Six Months Ended
Jul 27, 2025 Jul 28, 2024
(In millions)
Balance at beginning of period $ 1,813 $ 1,337
Deferred revenue additions (1) 8,275 1,478
Revenue recognized (2) (8,053) (1,094)
Balance at end of period $ 2,035 $ 1,721
(1) Includes $7.5 billion and $770 million of customer advances for the first half of fiscal years 2026 and 2025, respectively.
(2) Includes $7.5 billion and $664 million related to customer advances for the first half of fiscal years 2026 and 2025, respectively.
We recognized revenue of $479 million and $323 million in the first half of fiscal years 2026 and 2025, respectively, that were included in the prior year end deferred revenue balance.
As of July 27, 2025, revenue related to remaining performance obligations from contracts greater than one year in length was $1.9 billion, which includes
$1.8 billion from deferred revenue and $118 million which has not yet been billed nor recognized as revenue. Approximately 40% of revenue from contracts greater than one year in length will be recognized over the next twelve months.
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Note 9 - Derivative Financial Instruments
We utilize foreign currency forward contracts to mitigate the impact of foreign currency exchange rate movements on our operating expenses. The foreign currency forward contracts for operating expenses are designated as accounting hedges. Gains or losses on the contracts are recorded in accumulated other comprehensive income or loss and reclassified to operating expense when the related operating expenses are recognized in earnings. During the first half of fiscal years 2026 and 2025, the impact of foreign currency forward contracts designated as accounting hedges on other comprehensive income or loss was not significant and all such instruments were determined to be highly effective.
We also entered into foreign currency forward contracts mitigating the impact of foreign currency movements on monetary assets and liabilities. For our foreign currency contracts for assets and liabilities, the change in fair value of these non-designated contracts was recorded in other income or expense and offsets the change in fair value of the hedged foreign currency denominated monetary assets and liabilities, which was also recorded in other income or expense.
The table below presents the notional value of our foreign currency contracts outstanding:
Jul 27, 2025 Jan 26, 2025
(In millions)
Not designated as accounting hedges $ 939 $ 1,297 The unrealized gains and losses or fair value of our foreign currency contracts were not significant as of July 27, 2025 and January 26, 2025.
As of July 27, 2025, all foreign currency contracts mature within eighteen months. The expected realized gains and losses deferred into accumulated other comprehensive income or loss related to foreign currency forward contracts within the next twelve months were not significant.
Note 10 - Debt
Long-Term Debt
Expected
Remaining Term
Effective Carrying Value at
(years) Interest Rate Jul 27, 2025 Jan 26, 2025
(In millions)
3.20% Notes Due 2026 1.1 3.31% $ 1,000 $ 1,000
1.55% Notes Due 2028 2.9 1.64% 1,250 1,250
2.85% Notes Due 2030 4.7 2.93% 1,500 1,500
2.00% Notes Due 2031 5.9 2.09% 1,250 1,250
3.50% Notes Due 2040 14.7 3.54% 1,000 1,000
3.50% Notes Due 2050 24.7 3.54% 2,000 2,000
3.70% Notes Due 2060 34.7 3.73% 500 500
Unamortized debt discount and issuance costs (34) (37)
Net long-term carrying amount $ 8,466 $ 8,463
As of July 27, 2025 and January 26, 2025, the estimated fair value of debt was $7.4 billion and $7.2 billion, respectively. The estimated fair values are based on Level 2 inputs.
Our notes are unsecured senior obligations. Existing and future liabilities of our subsidiaries will be effectively senior to the notes. Our notes pay interest semi- annually. We may redeem each of our notes prior to maturity, subject to a make-whole premium. The maturity of the notes is calendar year.
As of July 27, 2025, we complied with the required covenants, which are non-financial in nature, under the outstanding notes.
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Commercial Paper
We have a $575 million commercial paper program to support general corporate purposes. As of July 27, 2025 and January 26, 2025, we had no commercial paper outstanding.
Note 11 - Commitments and Contingencies
Commitments
Our commitments include obligations to purchase components used to manufacture our products, including certain software and technology licenses, investments, long-lived assets, long-term supply and capacity agreements, multi-year cloud service agreements, and other goods and services.
We enter into agreements with contract manufacturers that allow them to procure inventory based upon our defined criteria, and in certain instances, these agreements are cancellable, able to be rescheduled, or adjustable for our business needs prior to placing firm orders. Though, changes to these agreements may result in additional costs.
Total future commitments as of July 27, 2025 are as follows:
Commitments
(In millions)
2026 (excluding the first half of fiscal year 2026) $ 30,930
2028 3,915
2030 1,402
Total $ 45,774
Accrual for Product Warranty Liabilities
The estimated amount of product warranty liabilities was $2.1 billion and $1.3 billion as of July 27, 2025 and January 26, 2025, respectively. The estimated product returns and product warranty activity consisted of the following:
Three Months Ended Six Months Ended
Jul 27, 2025 Jul 28, 2024 Jul 27, 2025 Jul 28, 2024
(In millions)
Balance at beginning of period $ 2,080 $ 532 $ 1,290 $ 306
Additions 220 237 1,090 471
Utilization (156) (28) (236) (36)
Balance at end of period $ 2,144 $ 741 $ 2,144 $ 741
We have provided indemnities for matters such as tax, product, and employee liabilities. We have included intellectual property indemnification provisions in our technology-related agreements with third parties. Maximum potential future payments cannot be estimated because many of these agreements do not have a maximum stated liability. We have not recorded any liability in our Condensed Consolidated Financial Statements for such indemnifications.
Litigation
Securities Class Action and Derivative Lawsuits
The plaintiffs in the putative securities class action lawsuit, captioned 4:18-cv-07669-HSG, initially filed on December 21, 2018 in the United States District Court for the Northern District of California, and titled In Re NVIDIA Corporation Securities Litigation, filed an amended complaint on May 13, 2020. The amended complaint asserted that NVIDIA and certain NVIDIA executives violated Section 10(b) of the Securities Exchange Act of 1934, as amended, or the Exchange Act, and SEC Rule 10b-5, by making materially false or misleading statements related to channel inventory and the impact of cryptocurrency mining on GPU demand between May 10, 2017 and November 14, 2018. Plaintiffs also alleged that the
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NVIDIA executives who they named as defendants violated Section 20(a) of the Exchange Act. Plaintiffs sought class certification, an award of unspecified compensatory damages, an award of reasonable costs and expenses, including attorneys’ fees and expert fees, and further relief as the Court may deem just and proper. On March 2, 2021, the district court granted NVIDIA’s motion to dismiss the complaint without leave to amend, entered judgment in favor of NVIDIA and closed the case. On March 30, 2021, plaintiffs filed an appeal from judgment in the United States Court of Appeals for the Ninth Circuit, case number 21- 15604. On August 25, 2023, a majority of a three-judge Ninth Circuit panel affirmed in part and reversed in part the district court’s dismissal of the case, with a third judge dissenting on the basis that the district court did not err in dismissing the case. On November 15, 2023, the Ninth Circuit denied NVIDIA’s petition for rehearing en banc of the Ninth Circuit panel’s majority decision to reverse in part the dismissal of the case, which NVIDIA had filed on October 10, 2023. On December 5, 2023, the Ninth Circuit granted NVIDIA’s motion to stay the mandate pending NVIDIA’s petition for a writ of certiorari in the Supreme Court of the United States and the Supreme Court’s final disposition of the matter. NVIDIA filed a petition for a writ of certiorari on March 4, 2024. On June 17, 2024, the Supreme Court of the United States granted NVIDIA’s petition for a writ of certiorari. After briefing and argument, the Supreme Court dismissed NVIDIA’s writ of certiorari as improvidently granted on December 11, 2024, and issued judgment on January 13, 2025. On February 20, 2025, the Ninth Circuit’s judgment, entered August 25, 2023 and corrected August 28, 2023, took effect, and the case was remanded to the district court for further proceedings.
The putative derivative lawsuit pending in the United States District Court for the Northern District of California, captioned 4:19-cv-00341-HSG, initially filed January 18, 2019 and titled In re NVIDIA Corporation Consolidated Derivative Litigation, was stayed pending resolution of the plaintiffs’ appeal in the In Re NVIDIA Corporation Securities Litigation action. On February 22, 2022, the court administratively closed the case, but stated that it would reopen the case once the appeal in the In Re NVIDIA Corporation Securities Litigation action is resolved. The case has not yet been reopened by the court. The lawsuit asserts claims, purportedly on behalf of us, against certain officers and directors of the Company for breach of fiduciary duty, unjust enrichment, waste of corporate assets, and violations of Sections 14(a), 10(b), and 20(a) of the Exchange Act based on the dissemination of allegedly false and misleading statements related to channel inventory and the impact of cryptocurrency mining on GPU demand. The plaintiffs are seeking unspecified damages and other relief, including reforms and improvements to NVIDIA’s corporate governance and internal procedures.
The putative derivative actions initially filed September 24, 2019 and pending in the United States District Court for the District of Delaware, Lipchitz v. Huang, et al. (Case No. 1:19-cv-01795-MN) and Nelson v. Huang, et. al. (Case No. 1:19-cv-01798-MN), were stayed pending resolution of the plaintiffs’ appeal in the In Re NVIDIA Corporation Securities Litigation action. On March 7, 2025, after the Supreme Court issued its judgment dismissing the Company’s petition for writ of certiorari as improvidently granted in the In Re NVIDIA Securities Litigation action, the district court adopted the parties' stipulation to extend the stay until the final and complete resolution of the In Re NVIDIA Corporation Securities Litigation action. The lawsuits assert claims, purportedly on behalf of us, against certain officers and directors of the Company for breach of fiduciary duty, unjust enrichment, insider trading, misappropriation of information, corporate waste and violations of Sections 14(a), 10(b), and 20(a) of the Exchange Act based on the dissemination of allegedly false, and misleading statements related to channel inventory and the impact of cryptocurrency mining on GPU demand. The plaintiffs seek unspecified damages and other relief, including disgorgement of profits from the sale of NVIDIA stock and unspecified corporate governance measures.
Another putative derivative action was filed on October 30, 2023 in the Court of Chancery of the State of Delaware, captioned Horanic v. Huang, et al. (Case No. 2023-1096-KSJM). This lawsuit asserts claims, purportedly on behalf of us, against certain officers and directors of the Company for breach of fiduciary duty and insider trading based on the dissemination of allegedly false and misleading statements related to channel inventory and the impact of cryptocurrency mining on GPU demand. The plaintiffs seek unspecified damages and other relief, including disgorgement of profits from the sale of NVIDIA stock and reform of unspecified corporate governance measures. On August 11, 2025, the court granted the parties’ stipulation to voluntarily dismiss with prejudice plaintiff City of Westland Police and Fire Retirement System. This derivative matter is stayed pending the final resolution of In Re NVIDIA Corporation Securities Litigation action.
Accounting for Loss Contingencies
As of July 27, 2025, there are no accrued contingent liabilities associated with the legal proceedings described above based on our belief that liabilities, while reasonably possible, are not probable. Further, any possible loss or range of loss in these matters cannot be reasonably estimated at this time. We are engaged in legal actions not described above arising in the ordinary course of business and, while there can be no assurance of favorable outcomes, we believe that the ultimate outcome of these actions will not have a material adverse effect on our operating results, liquidity or financial position.
Note 12 - Shareholders’ Equity
Capital Return Program
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We repurchased 67 million and 63 million shares of our common stock for $9.7 billion and $7.0 billion during the second quarter of fiscal years 2026 and 2025, respectively, and 193 million and 162 million shares of our common stock for $24.2 billion and $15.1 billion during the first half of fiscal years 2026 and 2025, respectively. As of July 27, 2025, we were authorized, subject to certain specifications, to repurchase up to $14.7 billion of our common stock.
From July 28, 2025 through August 26, 2025, we repurchased 20 million shares for $3.5 billion pursuant to a pre-established trading plan. On August 26, 2025, our Board of Directors approved an additional $60.0 billion in share repurchase authorization, without expiration. As of August 26, 2025, a total of $71.2 billion was available for repurchase.
We paid cash dividends to our shareholders of $244 million and $246 million during the second quarter, and $488 million and $344 million during the first half, of fiscal years 2026 and 2025, respectively. The payment of future cash dividends is subject to our Board of Directors' continuing determination that the declaration of dividends is in the best interests of our shareholders.
Note 13 - Segment Information
Our Chief Executive Officer is our chief operating decision maker, or CODM, and reviews financial information presented on an operating segment basis for purposes of making decisions and assessing financial performance. Our CODM assesses operating performance of each segment based on regularly provided segment revenue and segment operating income. Operating results by segment include costs or expenses directly attributable to each segment, and costs or expenses that are leveraged across our unified architecture and therefore allocated between our two segments. Our CODM reviews expenses on a consolidated basis, and expenses attributable to each segment are not regularly provided to our CODM.
The Compute & Networking segment includes our Data Center accelerated computing platforms and artificial intelligence, or AI, solutions and software; networking; automotive platforms and autonomous and electric vehicle solutions; Jetson for robotics and other embedded platforms; and DGX Cloud computing services.
The Graphics segment includes GeForce GPUs for gaming and PCs, the GeForce NOW game streaming service and related infrastructure, and solutions for gaming platforms; Quadro/NVIDIA RTX GPUs for enterprise workstation graphics; virtual GPU software for cloud-based visual and virtual computing; automotive platforms for infotainment systems; and Omniverse Enterprise software for building and operating industrial AI and digital twin applications.
Certain expenses are not allocated to either Compute & Networking or Graphics for purposes of making operating decisions or assessing financial performance. The expenses include stock-based compensation expense, corporate infrastructure and support costs, acquisition-related and other costs, and other non- recurring charges and benefits that our CODM deems to be enterprise in nature.
Our CODM does not review any information regarding total assets on a reportable segment basis. There are no intersegment transactions. The accounting policies for segment reporting are the same as for our consolidated financial statements. The table below presents details of our reportable segments.
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Compute & Networking Graphics Total
(In millions)
Three Months Ended Jul 27, 2025
Revenue $ 41,331 $ 5,412 $ 46,743
Other segment items (1) 12,968 3,170 16,138
Operating income (loss) $ 28,363 $ 2,242 $ 30,605
Three Months Ended Jul 28, 2024
Revenue $ 26,446 $ 3,594 $ 30,040
Other segment items (1) 7,598 2,225 9,823
Operating income (loss) $ 18,848 $ 1,369 $ 20,217
Six Months Ended Jul 27, 2025
Revenue $ 80,920 $ 9,885 $ 90,805
Other segment items (1) 30,503 6,003 36,506
Operating income (loss) $ 50,417 $ 3,882 $ 54,299
Six Months Ended Jul 28, 2024
Revenue $ 49,121 $ 6,963 $ 56,084
Other segment items (1) 13,225 4,354 17,579
Operating income (loss) $ 35,896 $ 2,609 $ 38,505
(1) Other segment items for the Compute & Networking and Graphics reportable segments primarily include product costs and inventory provisions, compensation and benefits excluding stock-based compensation expense, compute and infrastructure expenses, and engineering development costs.
Depreciation and amortization expense attributable to our Compute and Networking segment was $383 million and $161 million for the second quarter, and
$684 million and $307 million for the first half, of fiscal years 2026 and 2025, respectively. Depreciation and amortization expense attributable to our Graphics segment was $148 million and $86 million for the second quarter, and $252 million and $171 million for the first half, of fiscal years 2026 and 2025, respectively. Acquisition-related intangible amortization expense is not allocated to either Compute & Networking or Graphics for purposes of making operating decisions or assessing financial performance.
A reconciliation of segment operating income to consolidated income before income tax for the second quarter and first half of fiscal years 2026 and 2025 were as follows:
Three Months Ended Six Months Ended
Jul 27, 2025 Jul 28, 2024 Jul 27, 2025 Jul 28, 2024
(In millions)
Segment operating income $ 30,605 $ 20,217 $ 54,299 $ 38,505
Stock-based compensation expense (1,624) (1,154) (3,099) (2,164)
Unallocated cost of revenue and operating expenses (440) (280) (859) (508)
Acquisition-related and other costs (101) (141) (263) (282)
Interest income 592 444 1,108 803
Interest expense (62) (61) (124) (125)
Other income (expense), net 2,236 189 2,055 264
Consolidated income before income tax $ 31,206 $ 19,214 $ 53,117 $ 36,493
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Revenue by geographic area is based upon the billing location of the customer. The end customer and shipping location may be different from our customer’s billing location.
Three Months Ended Six Months Ended
Jul 27, 2025 Jul 28, 2024 Jul 27, 2025 Jul 28, 2024
(In millions)
Geographic Revenue based upon Customer Billing Location:
United States $ 23,470 $ 13,022 $ 44,209 $ 26,518
Singapore (1) 10,156 5,622 19,173 9,659
Taiwan 8,529 5,740 15,687 10,113
China (including Hong Kong) 2,769 3,667 8,291 6,158
Other 1,819 1,989 3,445 3,636
Total revenue $ 46,743 $ 30,040 $ 90,805 $ 56,084
(1) Singapore represented 22%, and 21% of the second quarter and first half of fiscal year 2026 total revenue based upon customer billing location, respectively. Customers use Singapore to centralize invoicing while our products are almost always shipped elsewhere. Over 99% of controlled Data Center compute revenue billed to Singapore was for orders from U.S.-based customers for the second quarter and first half of fiscal year 2026. Controlled Data Center compute refers to products that meet the characteristics of Export Control Classification Numbers 3A090.a or 4A090.a.
Revenue from sales to customers outside of the United States accounted for 50% and 51% of total revenue for the second quarter and first half of fiscal year 2026, respectively, and 57% and 53% of total revenue for the second quarter and first half of fiscal year 2025, respectively.
We refer to customers who purchase products directly from NVIDIA as direct customers, such as add-in board manufacturers, distributors, ODMs, OEMs, and system integrators. We have certain customers that may purchase products directly from NVIDIA and may use either internal resources or third-party system integrators to complete their build. We also have indirect customers, who purchase products through our direct customers; indirect customers include cloud service providers, or CSPs, consumer internet companies, enterprises, and public sector entities.
For the second quarter of fiscal year 2026, sales to one direct customer, Customer A, represented 23% of total revenue; and sales to a second direct customer, Customer B, represented 16% of total revenue, respectively, both of which were attributable to the Compute & Networking segment. For the first half of fiscal year 2026, sales to one direct customer, Customer A, represented 20% of total revenue; and sales to a second direct customer, Customer B, represented 15% of total revenue, respectively, both of which were attributable to the Compute & Networking segment.
Sales to four direct customers represented 14%, 11%, 11%, and 10% of revenue for the second quarter, and sales to three direct customers represented 14%, 10%, and 10% of revenue for the first half, of fiscal year 2025, all of which were attributable to the Compute & Networking segment.
The following table summarizes revenue by specialized markets:
Three Months Ended Six Months Ended
Jul 27, 2025 Jul 28, 2024 Jul 27, 2025 Jul 28, 2024
(In millions)
Revenue by End Market:
Data Center $ 41,096 $ 26,272 $ 80,208 $ 48,835
Compute 33,844 22,604 67,999 41,996
Networking 7,252 3,668 12,209 6,839
Gaming 4,287 2,880 8,050 5,527
Professional Visualization 601 454 1,110 881
Automotive 586 346 1,153 675
OEM and Other 173 88 284 166
Total revenue $ 46,743 $ 30,040 $ 90,805 $ 56,084
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Note 14 - Leases
Our lease obligations primarily consist of operating leases for our offices and data centers, with lease periods expiring between fiscal years 2026 and 2041.
Future minimum lease obligations under our non-cancelable lease agreements as of July 27, 2025 were as follows:
Operating Lease Obligations
(In millions)
Fiscal Year:
2026 (excluding the first half of fiscal year 2026) $ 174
2027 418
2028 397
2029 353
2030 277
2031 and thereafter 925
Total 2,544
Less imputed interest 412
Present value of net future minimum lease payments 2,132
Less short-term operating lease liabilities 301
Long-term operating lease liabilities $ 1,831
Between the third quarter of fiscal year 2026 and fiscal year 2030, we expect to commence leases with future obligations of $7.1 billion primarily of data center leases, with lease terms of 2 to 15 years.
Operating lease expenses were $109 million and $84 million for the second quarter, and $210 million and $164 million for the first half, of fiscal years 2026 and 2025, respectively. Short-term and variable lease expenses for the second quarter and first half of fiscal years 2026 and 2025 were not significant.
Other information related to leases was as follows:
Six Months Ended
Jul 27, 2025 Jul 28, 2024
(In millions)
Operating cash flow used for operating leases $ 200 $ 146
As of July 27, 2025, our operating leases have a weighted average remaining lease term of 7.5 years and a weighted average discount rate of 4.35%. As of January 26, 2025, our operating leases had a weighted average remaining lease term of 6.5 years and a weighted average discount rate of 4.16%.
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Item 2. Management's Discussion and Analysis of Financial Condition and Results of Operations
Forward-Looking Statements
This Quarterly Report on Form 10-Q contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended, which are subject to the “safe harbor” created by those sections based on management’s beliefs and assumptions and on information currently available to management. In some cases, you can identify forward-looking statements by terms such as “may,” “will,” “should,” “could,” “goal,” “would,” “expect,” “plan,” “anticipate,” “believe,” “estimate,” “project,” “predict,” “potential” and similar expressions intended to identify forward-looking statements. These statements involve known and unknown risks, uncertainties and other factors, which may cause our actual results, performance, time frames or achievements to be materially different from any future results, performance, time frames or achievements expressed or implied by the forward-looking statements. We discuss many of these risks, uncertainties and other factors in this Quarterly Report on Form 10-Q and our Annual Report on Form 10-K for the fiscal year ended January 26, 2025 in greater detail under the heading “Risk Factors” of such reports. Given these risks, uncertainties, and other factors, you should not place undue reliance on these forward-looking statements. Also, these forward-looking statements represent our estimates and assumptions only as of the date of this filing. You should read this Quarterly Report on Form 10-Q completely and understand that our actual future results may be materially different from what we expect. We hereby qualify our forward-looking statements by these cautionary statements. Except as required by law, we assume no obligation to update these forward-looking statements publicly, or to update the reasons actual results could differ materially from those anticipated in these forward-looking statements, even if new information becomes available in the future.
All references to “NVIDIA,” “we,” “us,” “our” or the “Company” mean NVIDIA Corporation and its subsidiaries.
© 2025 NVIDIA Corporation. All rights reserved.
The following discussion and analysis of our financial condition and results of operations should be read in conjunction with the risk factors set forth in Item 1A. “Risk Factors” of our Annual Report on Form 10-K for the fiscal year ended January 26, 2025 and Part II, Item 1A. “Risk Factors” of this Quarterly Report on Form 10-Q and our Condensed Consolidated Financial Statements and related Notes thereto, as well as other cautionary statements and risks described elsewhere in this Quarterly Report on Form 10-Q and our other filings with the SEC, before deciding to purchase, hold, or sell shares of our common stock.
Overview
Our Company and Our Businesses
NVIDIA pioneered accelerated computing to help solve the most challenging computational problems. Since our original focus on PC graphics, we have expanded to several other large and important computationally intensive fields. Fueled by the sustained demand for exceptional 3D graphics and the scale of the gaming market, NVIDIA has leveraged its GPU architecture to create platforms for scientific computing, AI, data science, autonomous vehicles, robotics, and digital twin applications.
Our two operating segments are "Compute & Networking" and "Graphics," as described in Note 13 of the Notes to Condensed Consolidated Financial Statements in Part I, Item 1 of this Quarterly Report on Form 10-Q.
Headquartered in Santa Clara, California, NVIDIA was incorporated in California in April 1993 and reincorporated in Delaware in April 1998.
Recent Developments, Future Objectives and Challenges
Revenue growth in the second quarter and the first half of fiscal year 2026 was driven by data center compute and networking platforms for accelerated computing and AI solutions. Our Blackwell GPU revenue ramp continued during the first half of the year, including our transition to Blackwell Ultra platforms.
In April 2025, the U.S. government, or USG, informed us that a license is required for exports of our H20 product into the China market. As a result of these new requirements, we incurred a $4.5 billion charge in the first quarter of fiscal year 2026 associated with H20 for excess inventory and purchase obligations, as the demand for H20 diminished. In August 2025, the USG granted licenses that would allow us to ship certain H20 products to certain China-based customers, but to date, we have not generated any revenue or shipped any H20 products under those licenses. USG officials have expressed an expectation that the USG will receive 15% of the revenue generated from licensed H20 sales, but to date, the USG has not published a regulation codifying such requirement. In the second quarter, we recognized approximately $650 million of H20 revenue from sales to an unrestricted customer outside of China, resulting in a $180 million release of previously reserved H20 inventory. There were no H20 sales to China-based customers in the second quarter.
We continue to execute Data Center compute product introductions, bringing new advanced architectures on a one-year product cadence. We began shipping production units of our new Blackwell Ultra platforms including GB300 in the second quarter of fiscal year 2026. Our product transitions and sophisticated system configurations may create challenges in managing supply and demand. This could result in revenue volatility, quality or production issues, increased
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inventory provisions, warranty costs, or product delays. Customers may postpone purchasing existing products due to frequent new releases or may adopt new technologies more gradually than anticipated, affecting our revenue timing and supply chain expenses. The recent rise of high-quality open-source foundation models is making advanced AI capabilities broadly accessible. Open-source AI is becoming increasingly important across the ecosystem and it is dependent on developer adoption. If the most widely adopted open-source models are developed or deployed on our competitors’ platforms, it could significantly weaken the influence of our platform, reduce developer engagement, and limit demand for our products and services. Future demand for our platform will depend on our ability to support, scale, and optimize the next generation of AI models—including open-source large language models—across our full stack of software and hardware offerings.
The availability of data centers, energy, and capital to support the buildout of NVIDIA AI infrastructure by our customers is crucial, and any shortage of these resources could impact our future revenue and financial performance.
In January 2025, the USG published the “AI Diffusion” IFR in the Federal Register. The IFR would have imposed a worldwide licensing requirement on our most popular data center products, such as our H200, GB200 and GB300. In May 2025, the USG announced that it would rescind the AI Diffusion IFR and implement a replacement rule. The scope, timing, and requirements of the forthcoming rule remain uncertain. The replacement rule may impose new restrictions on our products or operations and/or add license requirements that could have a material impact on our business, operating results, and financial condition.
The rapid evolution of global trade policies, such as new export controls and tariffs, has added complexity and increased costs throughout our supply chain, and these challenges are likely to persist. Ongoing uncertainty regarding the scope and application of such measures may adversely affect investment decisions by us and our partners, disrupt supply chain operations, and impact the timing and volume of customer purchases due to challenges in forecasting future costs and demand.
We plan to increase our U.S.-based manufacturing and invest in specialized equipment and processes to support domestic production. This move is expected to strengthen our supply chain, boost resiliency and redundancy, and meet the growing demand for AI infrastructure. Our ability to increase manufacturing capabilities will depend on the domestic manufacturing ecosystem's capacity to ramp production supply to the required volume and on a timely basis.
Macroeconomic factors, including tariffs, inflation, interest rate changes, capital market volatility, global supply chain constraints, and global economic and geopolitical developments, have direct and indirect impacts on our results of operations, particularly demand for our products. While difficult to isolate and quantify, these macroeconomic factors impact our supply chain and manufacturing costs, employee wages, costs for capital equipment and value of our investments. Our product and solution pricing generally does not fluctuate with short-term changes in our costs. Within our supply chain, we continuously manage product availability and costs with our vendors.
Refer to “Item 1A. Risk Factors” for a discussion of these factors and other risks.
Second Quarter of Fiscal Year 2026 Summary
Three Months Ended Quarter-over-Quarter
Year-over-Year
Jul 27, 2025 Apr 27, 2025 Jul 28, 2024
($ in millions, except per share data)
Change
Change
Revenue $ 46,743 $ 44,062 $ 30,040 6 % 56 %
Gross margin 72.4 % 60.5 % 75.1 % 11.9 pts (2.7) pts
Operating expenses $ 5,413 $ 5,030 $ 3,932 8 % 38 %
Operating income $ 28,440 $ 21,638 $ 18,642 31 % 53 %
Net income $ 26,422 $ 18,775 $ 16,599 41 % 59 %
Net income per diluted share $ 1.08 $ 0.76 $ 0.67 42 % 61 %
We benefited from a $180 million release of previously reserved H20 inventory related to the sale of approximately $650 million of H20 to an unrestricted customer outside of China. There were no H20 sales to China-based customers in the second quarter of fiscal year 2026.
Revenue was $46.7 billion, up 56% from a year ago and up 6% sequentially.
Data Center revenue was $41.1 billion, up 56% from a year ago and up 5% sequentially. The strong year-on-year and sequential growth was driven by demand for our accelerated computing platform used for large language models, recommendation engines, and generative and agentic AI applications. We continue to ramp our Blackwell architecture, which grew 17% sequentially, including our newest architecture, Blackwell Ultra. We recognized Blackwell revenue across
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all customer categories, led by large cloud service providers, which represented approximately 50% of Data Center revenue.
Data Center compute revenue was $33.8 billion, up 50% from a year ago. Sequentially, compute revenue declined 1%, driven by a $4.0 billion reduction in H20 sales. Networking revenue was $7.3 billion, up 98% from a year ago and up 46% sequentially, driven by the growth of NVLink compute fabric for GB200 and GB300 systems, the ramp of XDR InfiniBand products, and adoption of Ethernet for AI solutions at cloud service providers and consumer internet companies.
Gaming revenue was up 49% from a year ago and up 14% sequentially, with strong sales and increased supply of our Blackwell product.
Professional Visualization revenue was up 32% from a year ago and up 18% sequentially, driven by the acceleration of Blackwell sales in our Notebook products, addressing AI workflows, real-time graphics rendering and data simulation.
Automotive revenue was up 69% from a year ago and up 3% sequentially, driven by strong adoption of our self-driving platforms.
Gross margin decreased from a year ago as our Blackwell revenue consists primarily of full-scale datacenter systems compared to Hopper HGX systems last year. Gross margin increased sequentially as the prior quarter included a $4.5 billion charge associated with H20 excess inventory and purchase obligations.
Operating expenses were up 38% from a year ago and up 8% sequentially. The increases were primarily driven by compute and infrastructure costs and higher compensation and benefits due to compensation increases and employee growth.
Financial Information by Business Segment and Geographic Data
Refer to Note 13 of the Notes to the Condensed Consolidated Financial Statements for disclosure regarding segment information.
Critical Accounting Policies and Estimates
Refer to Part II, Item 7, "Critical Accounting Policies and Estimates" of our Annual Report on Form 10-K for the fiscal year ended January 26, 2025. There have been no material changes to our Critical Accounting Policies and Estimates.
Results of Operations
The following table sets forth, for the periods indicated, certain items in our Condensed Consolidated Statements of Income expressed as a percentage of revenue.
Three Months Ended Six Months Ended
Jul 27, 2025 Jul 28, 2024 Jul 27, 2025 Jul 28, 2024
Revenue 100.0 % 100.0 % 100.0 % 100.0 %
Cost of revenue 27.6 24.9 33.4 23.4
Gross profit 72.4 75.1 66.6 76.6
Operating expenses
Research and development 9.2 10.3 9.1 10.4
Sales, general and administrative 2.4 2.8 2.4 2.9
Total operating expenses 11.6 13.1 11.5 13.3
Operating income 60.8 62.0 55.1 63.3
Interest income 1.3 1.5 1.2 1.4
Interest expense (0.1) (0.2) (0.1) (0.2)
Other income (expense), net 4.8 0.6 2.3 0.5
Total other income (expense), net 6.0 1.9 3.4 1.7
Income before income tax 66.8 63.9 58.5 65.0
Income tax expense 10.2 8.7 8.7 8.9
Net income 56.6 % 55.2 % 49.8 % 56.1 %
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Revenue by Reportable Segments
Three Months Ended Six Months Ended
Jul 27, 2025 Jul 28, 2024 $
%
Change
Jul 27, 2025 Jul 28, 2024 $
%
Change
($ in millions)
Compute & Networking $ 41,331 $ 26,446 $ 14,885 56 % $ 80,920 $ 49,121 $ 31,799 65 %
Graphics 5,412 3,594 1,818 51 % 9,885 6,963 2,922 42 %
Total $ 46,743 $ 30,040 $ 16,703 56 % $ 90,805 $ 56,084 $ 34,721 62 %
Operating Income by Reportable Segments
Three Months Ended Six Months Ended
Jul 27, 2025 Jul 28, 2024 $
%
Change
Jul 27, 2025 Jul 28, 2024 $
%
Change
($ in millions)
Compute &
Networking $ 28,363 $ 18,848 $ 9,515 50 % $ 50,417 $ 35,896 $ 14,521 40 %
Graphics 2,242 1,369 873 64 % $ 3,882 2,609 1,273 49 %
Total $ 30,605 $ 20,217 $ 10,388 51 % $ 54,299 $ 38,505 $ 15,794 41 %
Compute & Networking revenue – The year over year increase in the second quarter and first half of fiscal year 2026 was driven by demand for our accelerated computing platform used for large language models, recommendation engines, and generative and agentic AI applications. Revenue from Data Center computing grew 62% year-on-year compared to the first half of fiscal year 2025, driven by demand for our Blackwell computing platform. Revenue from Data Center networking grew 79% year-on-year compared to the first half of fiscal year 2025 driven by the growth of NVLink compute fabric for GB200 and GB300 systems, the ramp of XDR InfiniBand products, and adoption of Ethernet for AI solutions at cloud service providers and consumer internet companies.
Graphics revenue – The year over year increase in the second quarter and first half of fiscal year 2026 was driven by sales of our Blackwell architecture.
Reportable segment operating income – The year over year increase in Compute & Networking segment operating income in the second quarter of fiscal year 2026 was driven by the growth in revenue. The year over year increase in Compute & Networking segment operating income in the first half of fiscal year 2026 was driven by the growth in revenue, partially offset by a $4.5 billion charge associated with H20 excess inventory and purchase obligations in the first quarter of fiscal year 2026. The year over year increase in Graphics segment operating income in the second quarter and first half of fiscal year 2026 was driven by the growth in revenue.
Concentration of Revenue
We refer to customers who purchase products directly from NVIDIA as direct customers, such as add-in board manufacturers, distributors, ODMs, OEMs, and system integrators. We have certain customers that may purchase products directly from NVIDIA and may use either internal resources or third-party system integrators to complete their build. We also have indirect customers, who purchase products through our direct customers; indirect customers include CSPs, consumer internet companies, enterprises, and public sector entities.
Direct Customers – For the second quarter of fiscal year 2026, sales to one direct customer, Customer A, represented 23% of total revenue; and sales to a second direct customer, Customer B, represented 16% of total revenue, respectively, both of which were attributable to the Compute & Networking segment. For the first half of fiscal year 2026, sales to one direct customer, Customer A, represented 20% of total revenue; and sales to a second direct customer, Customer B, represented 15% of total revenue, respectively, both of which were attributable to the Compute & Networking segment.
Sales to four direct customers represented 14%, 11%, 11%, and 10% of revenue for the second quarter, and sales to three direct customers represented 14%, 10%, and 10% of revenue for the first half, of fiscal year 2025, all of which were attributable to the Compute & Networking segment.
Indirect Customers – Indirect customer revenue is an estimation based upon multiple factors including customer purchase order information, product specifications, internal sales data, and other sources. Actual indirect customer revenue may differ from our estimates. Indirect customers primarily purchase our products through system integrators and distributors. For the second quarter of fiscal year 2026, two indirect customers—primarily purchasing our products through Direct Customers A and B—are each estimated to represent 10% or more of total revenue and attributable to the
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Compute & Networking segment. For the first half of fiscal year 2026, one indirect customer—primarily purchasing through Direct Customer A—is estimated to represent 10% or more of total revenue and attributable to the Compute & Networking segment.
We estimate that in the second quarter and first half of fiscal year 2026, an AI research and deployment company contributed to a meaningful amount of our revenue, through various direct and indirect customers.
We have experienced periods where we receive a significant amount of our revenue from a limited number of customers, and this trend may continue.
Revenue by geographic region is designated based on the billing location of direct customers even if the estimated revenue may be attributable to indirect customers in a different location. Revenue from sales to customers outside of the United States accounted for 50% and 51% of total revenue for the second quarter and first half of fiscal year 2026, respectively, and 57% and 53% of total revenue for the second quarter and first half of fiscal year 2025, respectively.
Gross Profit and Gross Margin
Gross profit consists of total net revenue less cost of revenue. Cost of revenue consists primarily of the cost of semiconductors, including wafer fabrication, assembly, testing and packaging, board and device costs, manufacturing support costs, including labor and overhead associated with such purchases, final test yield fallout, inventory and warranty provisions, memory and component costs, tariffs, and shipping costs. Cost of revenue also includes acquisition-related intangible amortization expense, costs for license and development and service arrangements, IP-related costs, and stock-based compensation related to personnel associated with manufacturing operations.
Gross margins decreased to 72.4% for the second quarter of fiscal year 2026 compared to 75.1% for the second quarter of fiscal year 2025, and 66.6% for the first half of fiscal year 2026 compared to 76.6% for the first half of fiscal year 2025, as our Blackwell revenue consists primarily of full-scale datacenter systems compared to Hopper HGX systems last year. Gross margin for the first half of fiscal year 2026 was also impacted by a $4.5 billion charge associated with H20 excess inventory and purchase obligations.
Provisions for inventory and excess inventory purchase obligations totaled $1.0 billion and $6.3 billion for the second quarter and first half of fiscal year 2026, respectively, including $4.5 billion associated with H20 excess inventory and purchase obligations for the first quarter of fiscal year 2026. Sales of previously reserved inventory and settlements of excess inventory purchase obligations resulted in a provision release of $501 million and $937 million for the second quarter and first half of fiscal year 2026, respectively. The second quarter of fiscal year 2026 included a provision release of $180 million upon the sale of H20 products outside of the China market. The net effect on our gross margin was an unfavorable impact of 1.1% and 5.9% in the second quarter and first half of fiscal year 2026, respectively.
Provisions for inventory and excess inventory purchase obligations totaled $908 million and $1.3 billion for the second quarter and first half of fiscal year 2025, respectively, and were primarily due to low-yielding Blackwell material. Sales of previously reserved inventory and settlements of excess inventory purchase obligations resulted in a provision release of $85 million and $199 million for the second quarter and first half of fiscal year 2025, respectively. The net effect on our gross margin was an unfavorable impact of 2.7% and 2.0% in the second quarter and first half of fiscal year 2025, respectively.
Operating Expenses
Three Months Ended Six Months Ended
Jul 27, 2025 Jul 28, 2024
$ Change
%
Change Jul 27, 2025 Jul 28, 2024
($ in millions)
$ Change
%
Change
Sales, general and administrative
expenses 1,122 842 280 33 % 2,163 1,618 545 34 %
Total operating expenses $ 5,413 $ 3,932 $ 1,481 38 % $ 10,443 $ 7,428 $ 3,015 41 %
The increases in research and development expenses for the second quarter and first half of fiscal year 2026 were primarily driven by a 68% and 69% increase in compute and infrastructure, 30% and 32% increase in compensation and benefits, including stock-based compensation, reflecting employee growth and compensation increases, and a 68% and 116% increase in engineering development costs for new product introductions, respectively.
The increases in sales, general and administrative expenses for the second quarter and first half of fiscal year 2026 were primarily driven by compensation and benefits, including stock-based compensation, reflecting employee growth and compensation increases.
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Total Other Income (Expense), Net
Three Months Ended Six Months Ended
$ $
Jul 27, 2025 Jul 28, 2024
Change Jul 27, 2025 Jul 28, 2024
($ in millions)
Change
Interest income $ 592 $ 444 $ 148 $ 1,108 $ 803 $ 305
Interest expense (62) (61) (1) (124) (125) 1
Other income (expense), net 2,236 189 2,047 2,055 264 1,791
Total other income (expense), net $ 2,766 $ 572 $ 2,194 $ 3,039 $ 942 $ 2,097
The increase in interest income for the second quarter and first half of fiscal year 2026 was primarily due to growth in cash, cash equivalents, and debt securities.
Interest expense is comprised of coupon interest and debt discount amortization related to our notes.
Other income (expense), net consists of realized or unrealized gains and losses from investments in non-marketable equity securities, publicly-held equity securities, and the impact of changes in foreign currency rates. The change in Other income (expense), net, compared to the second quarter and first half of fiscal year 2025, was primarily driven by unrealized gains in our publicly-held equity securities. Refer to Notes 5 and 6 of the Notes to Condensed Consolidated Financial Statements in Part I, Item 1 of this Quarterly Report on Form 10-Q for additional information regarding our investments in non-marketable equity securities and publicly-held equity securities.
Income Taxes
Income tax expense was $4.8 billion and $2.6 billion for the second quarter, and $7.9 billion and $5.0 billion for the first half, of fiscal years 2026 and 2025, respectively. Income tax as a percentage of income before income tax was an expense of 15.3% and 13.6% for the second quarter, and 14.9% and 13.7% for the first half, of fiscal years 2026 and 2025, respectively.
The effective tax rate increased primarily due to a lower tax benefit from stock-based compensation, partially offset by an increase in tax benefit from foreign- derived deduction eligible income.
In July 2025, the OBBBA was enacted into law and contains several changes to key U.S. federal income tax laws. As of July 27, 2025, we have recognized the tax effects of certain OBBBA provisions, which did not have a material impact on our second quarter. We will continue to evaluate the impact of these legislative changes as tax authorities provide additional guidance and interpretation.
Given our current and possible future earnings, we believe that we may release the valuation allowance associated with certain state deferred tax assets in the near term, which would decrease our income tax expense for the period the release is recorded. The timing and amount of the valuation allowance release could vary based on our assessment of all available information.
Refer to Note 4 of the Notes to Condensed Consolidated Financial Statements in Part I, Item 1 of this Quarterly Report on Form 10-Q for additional information.
Liquidity and Capital Resources
Jul 27, 2025 Jan 26, 2025
(In millions)
Cash and cash equivalents $ 11,639 $ 8,589
Marketable securities 45,152 34,621
Cash, cash equivalents and marketable securities $ 56,791 $ 43,210
Six Months Ended
Jul 27, 2025 Jul 28, 2024
(In millions)
Net cash provided by operating activities $ 42,779 $ 29,833
Net cash used in investing activities $ (12,343) $ (8,877)
Net cash used in financing activities $ (27,386) $ (19,665)
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Our investment policy requires the purchase of highly-rated fixed income securities, the diversification of investment types and credit exposures, and certain maturity limits on our portfolio.
Cash provided by operating activities increased in the first half of fiscal year 2026 compared to the first half of fiscal year 2025 due to higher revenue.
Cash used in investing activities increased in the first half of fiscal year 2026 compared to the first half of fiscal year 2025, primarily driven by lower maturities of marketable securities and higher purchases of property and equipment.
Cash used in financing activities increased in the first half of fiscal year 2026 compared to the first half of fiscal year 2025, mainly due to higher share repurchases.
Liquidity
Our primary sources of liquidity include cash, cash equivalents, marketable securities, and cash generated by our operations. As of July 27, 2025, we had $56.8 billion in cash, cash equivalents, and marketable securities. We believe that we have sufficient liquidity to meet our operating requirements for at least the next twelve months and thereafter for the foreseeable future, including our future supply obligations. We continuously evaluate our liquidity and capital resources, including our access to external capital, to ensure we can finance future capital requirements.
Our marketable securities consist of publicly-held equity securities, debt securities issued by the USG and its agencies, highly-rated corporations and financial institutions, and foreign government entities, as well as certificates of deposit issued by highly-rated financial institutions. These marketable securities are primarily denominated in U.S. dollars. Refer to Note 5 of the Notes to Condensed Consolidated Financial Statements in Part I, Item 1 of this Quarterly Report on Form 10-Q for additional information.
Except for approximately $1.7 billion of cash, cash equivalents, and marketable securities held outside the U.S. for which we have not accrued any related foreign or state taxes if we repatriate these amounts to the U.S., substantially all of our cash, cash equivalents and marketable securities held outside the U.S. at the end of the first half of fiscal year 2026 are available for use in the U.S. without incurring additional U.S. federal income taxes. We made two estimated federal tax payments in the second quarter of fiscal year 2026, as compared with no estimated tax payments in the first quarter of fiscal year 2026. We are evaluating the full effects of the OBBBA on our cash tax position.
Capital Return to Shareholders
We repurchased 67 million and 193 million shares of our common stock for $9.7 billion and $24.2 billion during the second quarter and first half of fiscal year 2026, respectively. As of July 27, 2025, we were authorized, subject to certain specifications, to repurchase up to $14.7 billion of our common stock.
From July 28, 2025 through August 26, 2025, we repurchased 20 million shares for $3.5 billion pursuant to a pre-established trading plan. On August 26, 2025, our Board of Directors approved an additional $60.0 billion in share repurchase authorization, without expiration. As of August 26, 2025, a total of $71.2 billion was available for repurchase. We may execute repurchases from time to time, subject to market conditions, operating requirements and other investment opportunities, in the open market, in privately negotiated transactions, pursuant to a Rule 10b5-1 trading plan or in structured share repurchase agreements in compliance with Rule 10b-18 of the Exchange Act. Our share repurchase program may be suspended at any time at our discretion.
We paid cash dividends to our shareholders of $244 million and $488 million during the second quarter and first half of fiscal year 2026, respectively. The payment of future cash dividends is subject to our Board of Directors' continuing determination that the declaration of dividends is in the best interests of our shareholders.
The U.S. Inflation Reduction Act of 2022 requires a 1% excise tax on certain share repurchases in excess of shares issued for employee compensation made after December 31, 2022. The excise tax is included in our share repurchase cost and was not material for the second quarter and first half of fiscal years 2026 and 2025.
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Outstanding Indebtedness and Commercial Paper Program
Our aggregate debt maturities as of July 27, 2025, by year payable, are as follows:
Jul 27, 2025
(In millions)
Due in five to ten years 1,250
Unamortized debt discount and issuance costs (34)
We have a $575 million commercial paper program to support general corporate purposes. As of July 27, 2025, we had no commercial paper outstanding.
Refer to Note 10 of the Notes to Condensed Consolidated Financial Statements in Part I, Item 1 of this Quarterly Report on Form 10-Q for further discussion.
Material Cash Requirements and Other Obligations
Unrecognized tax benefits were $2.9 billion, which includes related interest and penalties, were recorded in non-current income tax payable as of July 27, 2025. We are unable to estimate the timing of any potential tax liability, interest payments, or penalties in individual years due to uncertainties in the underlying income tax positions and the timing of the effective settlement of such tax positions. Refer to Note 4 of the Notes to Condensed Consolidated Financial Statements for further information.
Other than the contractual obligations described above, there were no material changes outside the ordinary course of business in our contractual obligations from those disclosed in our Annual Report on Form 10-K for the fiscal year ended January 26, 2025. Refer to Item 7, “Management’s Discussion and Analysis of Financial Condition and Results of Operations - Liquidity and Capital Resources” in our Annual Report on Form 10-K for the fiscal year ended January 26, 2025 for a description of our contractual obligations. For a description of our long-term debt, purchase obligations, and operating lease obligations, refer to Notes 10, 11, and 14 of the Notes to Condensed Consolidated Financial Statements in Part I, Item 1 of this Quarterly Report on Form 10-Q, respectively.
Climate Change
To date, there has been no material impact to our results of operations associated with global sustainability regulations, compliance, costs from sourcing renewable energy or climate-related business trends.
Adoption of New and Recently Issued Accounting Pronouncements
There has been no adoption of any new and recently issued accounting pronouncements.
Item 3. Quantitative and Qualitative Disclosures about Market Risk
Investment and Interest Rate Risk
Financial market risks related to investment and interest rate risk are described in Part II, Item 7A, “Quantitative and Qualitative Disclosures About Market Risk” in our Annual Report on Form 10-K for the fiscal year ended January 26, 2025. Our marketable equity securities consist of publicly-held equity securities, while our non-marketable equity securities are investments in privately-held companies.
Publicly-held equity securities are subject to market price volatility. A hypothetical 10% decrease in our publicly-held equity securities would decrease the fair value of the publicly-held equity securities balance as of July 27, 2025 by $320 million.
Non-marketable equity securities are measured based on cost minus impairment, if any, and are adjusted for observable price changes in orderly transactions for an identical or similar investment in the same issuer. Valuations of our non-marketable equity securities are inherently complex due to the lack of readily available market data and observable transactions, and impact of macroeconomic factors.
For a description of our equity investments, refer to Notes 5 and 6 of the Notes to Condensed Consolidated Financial Statements in Part I, Item 1 of this Quarterly Report on Form 10-Q, respectively.
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Foreign Exchange Rate Risk
The impact of foreign currency transactions related to foreign exchange rate risk is described in Part II, Item 7A, “Quantitative and Qualitative Disclosures About Market Risk” in our Annual Report on Form 10-K for the fiscal year ended January 26, 2025. As of July 27, 2025, there have been no material changes to the foreign exchange rate risks described as of January 26, 2025.
Item 4. Controls and Procedures
Controls and Procedures
Disclosure Controls and Procedures
Based on their evaluation as of July 27, 2025, our management, including our Chief Executive Officer and Chief Financial Officer, has concluded that our disclosure controls and procedures (as defined in Rule 13a-15(e) under the Exchange Act) were effective to provide reasonable assurance that the information we are required to disclose in reports that we file or submit under the Exchange Act is recorded, processed, summarized and reported within the time periods specified in the SEC rules and forms, and that such information is accumulated and communicated to our management, including our Chief Executive Officer and our Chief Financial Officer, as appropriate, to allow timely decisions regarding required disclosures.
Changes in Internal Control Over Financial Reporting
There have been no changes in our internal control over financial reporting during the second quarter of fiscal year 2026 that have materially affected, or are reasonably likely to materially affect, our internal control over financial reporting. We are continuing a phased upgrade of our enterprise resource planning, or ERP, system to update our existing core financial systems. The ERP system is designed to accurately maintain our financial records used to report operating results. We will continue to evaluate each quarter whether there are changes that materially affect our internal control over financial reporting.
Inherent Limitations on Effectiveness of Controls
Our management, including our Chief Executive Officer and Chief Financial Officer, does not expect that our disclosure controls and procedures or our internal controls, will prevent all error and all fraud. A control system, no matter how well conceived and operated, can provide only reasonable, not absolute, assurance that the objectives of the control system are met. Further, the design of a control system must reflect the fact that there are resource constraints, and the benefits of controls must be considered relative to their costs. Because of the inherent limitations in all control systems, no evaluation of controls can provide absolute assurance that all control issues and instances of fraud, if any, within NVIDIA have been detected.
Part II. Other Information Item 1. Legal Proceedings
Refer to Part I, Item 1, Note 11 of the Notes to Condensed Consolidated Financial Statements for a discussion of significant developments in our legal proceedings since January 26, 2025. Also refer to Item 3, “Legal Proceedings” in our Annual Report on Form 10-K for the fiscal year ended January 26, 2025 for a prior discussion of our legal proceedings.
Item 1A. Risk Factors
Other than the risk factors listed below, there have been no material changes from the risk factors previously described under Item 1A of our Annual Report on Form 10-K for the fiscal year ended January 26, 2025 and Item 1A of our Quarterly Report on Form 10-Q for the fiscal quarter ended April 27, 2025.
Purchasing or owning NVIDIA common stock involves investment risks including, but not limited to, the risks described in Item 1A of our Annual Report on Form 10-K for the fiscal year ended January 26, 2025, and Item 1A of our Quarterly Report on Form 10-Q for the fiscal quarter ended April 27, 2025, and below. Any one of those risks could harm our business, financial condition and results of operations or reputation, which could cause our stock price to decline. Additional risks, trends and uncertainties not presently known to us or that we currently believe are immaterial may also harm our business, financial condition, results of operations or reputation.
We may not be able to realize the potential benefits of business investments or acquisitions, and we may not be able to successfully integrate acquired companies, which could hurt our ability to grow our business, develop new products or sell our products.
We acquire and invest in businesses that offer products, services and technologies that we believe will help expand or enhance our strategic objectives. Acquisitions or investments involve significant challenges and risks and could impair our ability to grow our business, develop new products or sell our products and ultimately could have a negative impact on our
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financial results. If we pursue a particular transaction, we may limit our ability to enter into other transactions that could help us achieve our other strategic objectives. If we are unable to timely complete acquisitions, including due to delays and challenges in obtaining regulatory approvals, we may be unable to pursue other transactions, we may not be able to retain critical talent from the target company, technology may evolve and make the acquisition less attractive, and other changes can take place, which could reduce the anticipated benefits of the transaction and negatively impact our business. Regulators could also impose conditions that reduce the ultimate value of our acquisitions. In addition, to the extent that our perceived ability to consummate acquisitions is harmed, future acquisitions may be more difficult, complex or expensive. Our investments in publicly traded and private companies could create volatility and fluctuations in our results. These investments may generate realized and unrealized gains or losses and we could realize losses up to the value of the investments. In addition, we have invested and may continue to invest in private companies to further our strategic objectives and to support certain key business initiatives. These companies can include early-stage companies still defining their strategic direction. Many of the securities in which we invest are non-marketable and illiquid at the time of our initial investment, and we are not always able to achieve a return. To the extent any of the companies in which we invest are not successful, we could recognize an impairment and/or lose all or part of our investment. Our investment portfolio contains industry sector concentration risks, and a decline in any one or multiple industry sectors could increase our impairment losses.
We face additional risks related to acquisitions and strategic investments, including the diversion of capital and other resources, including management’s attention; difficulty in realizing a satisfactory return and uncertainties to realize the benefits of an acquisition or strategic investment, if at all; difficulty or inability in obtaining governmental, regulatory approval or restrictions or other consents and approvals or financing; legal proceedings initiated as a result of an acquisition or investment; and potential failure of our due diligence processes to identify significant issues with the assets or company in which we are investing or are acquiring.
Additional risks related to acquisitions include, but are not limited to:
• difficulty in integrating the technology, systems, products, policies, processes, or operations and integrating and retaining the employees, including key personnel, of the acquired business;
• assumption of liabilities and incurring amortization expenses, impairment charges to goodwill or write-downs of acquired assets;
• integrating accounting, forecasting and controls, procedures and reporting cycles;
• coordinating and integrating operations, particularly in countries in which we do not currently operate;
• stock price impact, fines, fees or reputation harm if we are unable to obtain regulatory approval for an acquisition or are otherwise unable to close an acquisition;
• potential issuances of debt to finance our acquisitions, resulting in increased debt, increased interest expense, and compliance with debt covenants or other restrictions;
• the potential for our acquisitions to result in dilutive issuances of our equity securities;
• the potential variability of the amount and form of any performance-based consideration;
• negative changes in general economic conditions in the regions or the industries in which we or our target operate;
• exposure to additional cybersecurity risks and vulnerabilities; and
• impairment of relationships with, or loss of our or our target’s employees, vendors and customers.
For example, when integrating acquisition target systems into our own, we have experienced and may continue to experience challenges including lengthy and costly systems integration, delays in purchasing and shipping products, difficulties with system integration via electronic data interchange and other processes with our key suppliers and customers, and training and change management needs of integration personnel. These challenges have impacted our results of operations and may continue to do so in the future.
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We are subject to complex laws, rules, regulations, and political and other actions, including restrictions on the export of our products, which may adversely impact our business.
We are subject to laws and regulations domestically and worldwide, affecting our operations in areas including, but not limited to, IP ownership and infringement; taxes; import and export requirements and tariffs; anti-corruption, including the Foreign Corrupt Practices Act; business acquisitions; foreign exchange controls and cash repatriation restrictions; foreign ownership and investment; data privacy requirements; competition and antitrust; advertising; employment; product regulations; cybersecurity; environmental, health, and safety requirements; the responsible use of AI; sustainability; cryptocurrency; and consumer laws. Compliance with such requirements can be onerous and expensive, could impact our competitive position, and may negatively impact our business operations and ability to manufacture and ship our products. There can be no assurance that our employees, contractors, suppliers, customers or agents will not violate applicable laws or the policies, controls, and procedures that we have designed to help ensure compliance with such laws, and violations could result in fines, criminal sanctions against us, our officers, or our employees, prohibitions on the conduct of our business, and damage to our reputation. Changes to the laws, rules and regulations to which we are subject, or changes to their interpretation and enforcement, could lead to materially greater compliance and other costs, and/or further restrictions on our ability to manufacture and supply our products and operate our business. For example, we may face increased compliance costs as a result of changes or increases in antitrust legislation, regulation, administrative rule making, increased focus from regulators on cybersecurity vulnerabilities and risks. Our position in markets relating to AI has led to increased interest in our business from regulators worldwide, including the European Union, the United States, the United Kingdom, South Korea, Japan, and China. For example, the French Competition Authority collected information from us regarding our business and competition in the graphics card and CSP market as part of an ongoing inquiry into competition in those markets. We have also received, and continue to receive, broad requests for information from competition regulators in the European Union, the United States, the United Kingdom, China, and South Korea regarding our sales of GPUs and other NVIDIA products, our efforts to allocate supply, foundation models and our investments, partnerships and other agreements with companies developing foundation models, the markets in which we compete and our competition, our strategies, roadmaps, and efforts to develop, market, and sell hardware, software, and system solutions, and our agreements with customers, suppliers, and partners. We expect to receive additional requests for information in the future. Such requests have been and are likely to be expensive and burdensome and could negatively impact our business and our relationships with customers, suppliers, and partners.
Governments and regulators are also considering, and in certain cases, have imposed restrictions on the hardware, software, and systems used to develop frontier foundation models and generative AI. For example, the EU AI Act became effective on August 1, 2024 and will be fully applicable after a two-year transitional period. The EU AI Act may impact our ability to train, deploy, or release AI models in the EU. Several states are considering enacting or have already enacted regulations concerning AI technologies, which may impact our ability to train, deploy, or release AI models, and increase our compliance costs. Restrictions under these and any other regulations, if implemented, could increase the costs and burdens to us and our customers, delay or halt deployment of new systems using our products, and reduce the number of new entrants and customers, negatively impacting our business and financial results. Revisions to laws or regulations or their interpretation and enforcement could also result in increased taxation, trade sanctions, the imposition of or increase to import duties or tariffs, restrictions and controls on imports or exports, or other retaliatory actions, which could have an adverse effect on our business plans or impact the timing of our shipments. Additionally, changes in the public perception of governments in the regions where we operate or plan to operate could negatively impact our business and results of operations.
Government actions, including trade protection and national and economic security policies of U.S. and foreign government bodies, such as tariffs, import or export regulations, including deemed export restrictions and restrictions on the activities of U.S. persons, trade and economic sanctions, decrees, quotas or other trade barriers and restrictions could affect our ability to ship products, provide services to our customers and employees, do business without an export license with entities on the U.S. Department of Commerce’s U.S. Entity List or other USG restricted parties lists (which is expected to change from time to time), and generally fulfill our contractual obligations and have a material adverse effect on our business. If we were ever found to have violated export control laws or sanctions of the U.S. or similar applicable non-U.S. laws, even if the violation occurred without our knowledge, we may be subject to various penalties available under the laws, any of which could have a material and adverse impact on our business, operating results and financial condition.
For example, in response to the war in Ukraine, the United States and other jurisdictions imposed economic sanctions and export control measures which blocked the passage of our products, services and support into Russia, Belarus, and certain regions of Ukraine. In fiscal year 2023, we stopped direct sales to Russia and closed business operations in Russia. Concurrently, the war in Ukraine has impacted sales in EMEA and may continue to do so in the future.
The increasing focus on the risks and strategic importance of AI technologies has resulted in regulatory restrictions that target products and services capable of enabling or facilitating AI and may in the future result in additional restrictions impacting some or all of our product and service offerings.
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Concerns regarding third-party use of AI for purposes contrary to local governmental interests, including concerns relating to the misuse of AI applications, models, and solutions, has resulted in and could in the future result in unilateral or multilateral restrictions on products that can be used for training, modifying, tuning, and deploying LLMs and other AI applications. Such restrictions have limited and could in the future limit the ability of downstream customers and users worldwide to acquire, deploy and use systems that include our products, software, and services, and negatively impact our business and financial results.
Such restrictions could include additional unilateral or multilateral export controls on certain products or technology, including but not limited to AI technologies. As geopolitical tensions have increased, semiconductors associated with AI, including GPUs and related products, are increasingly the focus of export control restrictions proposed by stakeholders in the U.S. and its allies. The United States has imposed unilateral worldwide controls restricting GPUs and associated products, and it is likely that additional unilateral or multilateral controls will be adopted. Such controls have been and may again be very broad in scope and application, prohibit us from exporting our products to any or all customers in one or more markets, and could negatively impact our manufacturing, testing and warehousing locations and options, or could impose other conditions that limit our ability to serve demand abroad and could negatively and materially impact our business, revenue and financial results. Export controls targeting GPUs and semiconductors associated with AI, which have been imposed and are increasingly likely to be further tightened, would further restrict our ability to export our technology, products, or services even though competitors may not be subject to similar restrictions, creating a competitive disadvantage for us and negatively impacting our business and financial results. Export controls targeting GPUs and semiconductors associated with AI have subjected and may in the future subject downstream users of our products to additional restrictions on the use, resale, repair, or transfer of our products, negatively impacting our business and financial results. Controls could negatively impact our cost and/or ability to provide services such as NVIDIA AI cloud services and could impact the cost and/or ability for our CSPs and customers to provide services to their end customers, even outside China.
Export controls could disrupt our supply chain and distribution channels, negatively impacting our ability to serve demand, including in markets outside China and for our gaming products. The possibility of additional export controls has negatively impacted and may in the future negatively impact demand for our products, benefiting competitors that offer alternatives less likely to be restricted by further controls. Repeated changes in the export control rules are likely to impose compliance burdens on our business and our customers, negatively and materially impacting our business.
Increasing use of economic sanctions and export controls has impacted and may in the future impact demand for our products or services, negatively impacting our business and financial results. Reduced demand due to export controls has and could in the future lead to excess inventory or cause us to incur related supply charges. Additional unilateral or multilateral controls are also likely to include deemed export control limitations that negatively impact the ability of our research and development teams to execute our roadmap or other objectives in a timely manner. Additional export restrictions may not only impact our ability to serve overseas markets, but also provoke responses from foreign governments, including China, that negatively impact our supply chain or our ability to provide our products and services to customers in all markets worldwide, which could also substantially reduce our revenue. Regulators in China have inquired about our sales and efforts to supply the China market and our fulfillment of the commitments we entered at the close of our Mellanox acquisition. For example, regulators in China are investigating whether complying with applicable U.S. export controls discriminates unfairly against customers in the China market. If regulators conclude that we have failed to fulfill such commitments or we have violated any applicable law in China, we could be subject to financial penalties, restrictions on our ability to conduct our business, restrictions or other orders regarding our networking business, products, and services, or otherwise impact our operations in China, any of which could have a material and adverse impact on our business, operating results and financial condition.
Over the past three years, we have been subject to a series of shifting and expanding export control restrictions, impacting our ability to serve customers outside the United States.
During the third quarter of fiscal year 2023, the USG announced export restrictions and export licensing requirements targeting China’s semiconductor and supercomputing industries. These restrictions impacted exports of certain chips, as well as software, hardware, equipment and technology used to develop, produce and manufacture certain chips to China (including Hong Kong and Macau) and Russia, and specifically impact our A100 and H100 integrated circuits, DGX or any other systems or boards which incorporate A100 or H100 integrated circuits. During the second quarter of fiscal year 2024, the USG also informed us of an additional licensing requirement for a subset of A100 and H100 products destined to certain customers and other regions, including some countries in the Middle East.
During the third quarter of fiscal year 2024, the USG announced new and updated licensing requirements for exports to China and Country Groups D:1, D:4, and D:5 (including but not limited to, Saudi Arabia, the United Arab Emirates, and Vietnam, but excluding Israel) of our products exceeding certain performance thresholds, including, but not limited to, the A100, A800, H100, H800, L4, L40, L40S RTX 4090, GB200 NVL72, and B200. The licensing requirements also apply to the export of products exceeding certain performance thresholds to a party headquartered in, or with an ultimate parent headquartered in, Country Group D5, including China.
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On April 9, 2025, the USG informed us that it requires a license for export to China (including Hong Kong and Macau) and D:5 countries, or to companies headquartered or with an ultimate parent therein, of our H20 integrated circuits and any other circuits achieving the H20’s memory bandwidth, interconnect bandwidth, or combination thereof. As a result of these new requirements, we incurred a $4.5 billion charge in the first quarter of fiscal year 2026 associated with H20 for excess inventory and purchase obligations, as the demand for H20 products diminished.
The export controls applicable to China are complex and address a variety of parameters, including the total processing performance of a chip, the “performance density” of a chip, the interconnect bandwidth of a chip, and the memory bandwidth of a chip. We may be unable to create a competitive product for China’s data center market that receives approval from the USG. In that event, we would effectively be foreclosed from competing in China's data center computing/compute market, with a material and adverse impact on our business, operating results, and financial condition.
In addition to controls targeting D:1, D:4 and D:5 countries, the USG has also imposed worldwide export controls impacting our products, and may impose additional controls in the future.
On January 15, 2025, the USG published the “AI Diffusion” IFR in the Federal Register. The IFR would have imposed a worldwide licensing requirement on our data center products, such as our H200, GB200 and GB300. The AI Diffusion IFR would have divided the world into three tiers, relegating most countries to “Tier 2” status, and would have created a complex and burdensome scheme for licensing approvals.
In May 2025, the USG announced that it would rescind the AI Diffusion IFR and implement a replacement rule. The scope, timing, and requirements of the forthcoming rule remain uncertain. The replacement rule may impose new restrictions on our products or operations and/or add license requirements that could have a material impact on our business, operating results, and financial condition.
Our competitive position has been harmed by export controls, and our competitive position and future results may be further harmed, over the long term, if there are further changes in the USG’s export controls, including further expansion of the geographic, customer, or product scope of the controls, if customers purchase product from competitors, if customers develop their own internal solution, if we are unable to provide contractual warranty or other extended service obligations, if the USG does not grant licenses in a timely manner or denies licenses to significant customers or if we incur significant transition costs. Even if the USG grants any requested licenses, the licenses may be temporary or impose burdensome conditions that we or our customers or end users cannot or choose not to fulfill. The licensing requirements may benefit certain of our competitors, as the licensing process will make our pre-sale and post-sale technical support efforts more cumbersome and less certain and encourage customers in China to pursue alternatives to our products, including semiconductor suppliers based in China, Europe, and Israel.
In August 2025, the USG granted licenses that would allow us to ship certain H20 products to certain China-based customers, but to date, we have not generated any revenue or shipped any H20 products under those licenses. USG officials have expressed an expectation that the USG will receive 15% of the revenue generated from licensed H20 sales, but to date, the USG has not published a regulation codifying such requirement. Any request for a percentage of the revenue by the USG may subject us to litigation, increase our costs, and harm our competitive position and benefit competitors that are not subject to such arrangements.
Given the increasing strategic importance of AI and rising geopolitical tensions, the USG has changed and may again change the export control rules at any time and further subject a wider range of our products to export restrictions and licensing requirements, negatively impacting our business and financial results. In the event of such change, we may be unable to sell our inventory of such products and may be unable to develop replacement products not subject to the licensing requirements.
For example, the USG has already imposed conditions to limit the ability of foreign firms to create and offer as a service large-scale GPU clusters, for example by imposing license conditions on the use of products to be exported to certain countries, and may impose additional conditions such as requiring chip tracking and throttling mechanisms that could disable or impair GPUs if certain events, including unauthorized system configuration, use, or location, are detected. Such government mandates in chip designs could introduce system vulnerabilities and expose us to significant risk and potential liability, negatively impact demand for our products, and could have a material impact on our business, operating results, and financial condition. Even if not enacted into binding legislation, draft bills have impacted and may in the future negatively impact our business. For example, following U.S. legislative proposals calling for mandatory features in our chips, China’s government publicly questioned whether our H20 products have built-in vulnerabilities, discouraging customers from purchasing our products. We provided a public response explaining that our GPUs, including H20, do not include such built-in vulnerabilities, and will respond to any follow-up questions we receive.
Open-source foundation models are rapidly growing in popularity with developers worldwide. Any regulatory control or other restriction that limits our ability to provide products and services that support third-party applications and models,
36
including applications built on foundation models originating in China such as DeepSeek or Qwen, could have a material impact on our business, operating results, and financial condition.
The USG has already imposed export controls restricting certain gaming GPUs, and if the USG expands such controls to restrict additional gaming products, it may disrupt a significant portion of our supply and distribution chain and negatively impact sales of such products to markets outside China, including the U.S. and Europe. In addition, as the performance of the gaming GPUs increases over time, export controls may have a greater impact on our ability to compete in markets subject to those controls. Export controls may disrupt our supply and distribution chain for a substantial portion of our products, which are warehoused in and distributed from Hong Kong.
Export controls restricting our ability to sell data center GPUs may also negatively impact demand for our networking products used in servers containing our GPUs. The USG may also impose export controls on our networking products, such as high-speed network interconnects, to limit the ability of downstream parties to create large clusters for frontier model training.
Any new control that impacts a wider range of our products would likely have a disproportionate impact on NVIDIA and may disadvantage us against certain of our competitors that sell chips that are outside the scope of such control. Export controls have already and may in the future encourage customers outside China and other impacted regions to “design-out” certain U.S. semiconductors from their products to reduce the compliance burden and risk, and to ensure that they are able to serve markets worldwide. Export controls have already encouraged and may in the future encourage overseas governments to request that our customers purchase from our competitors rather than NVIDIA or other U.S. firms, harming our business, market position, and financial results.
As a result, export controls have in the past and may in the future negatively impact demand for our products and services not only in China, but also in other markets, such as Europe, Latin America, and Southeast Asia. Export controls increase the risk of investing in U.S. advanced semiconductor products, because by the time a new product is ready for market, it may be subject to new unilateral export controls restricting its sale, resulting in excess inventory and purchase obligations as we recently experienced with the H20. At the same time, such controls may increase investment in foreign competitors, which would be less likely to be restricted by U.S. controls.
The increasingly complex export controls impose complex and burdensome compliance obligations on our partners, suppliers, and customers. While we seek to strictly comply with all applicable export control regulators, reports of diversion of controlled products may negatively impact our business, relationships with partners and customers, and our reputation. Incorrect allegations that our compliance efforts satisfy the letter but not the “spirit” of the applicable regulations may negatively impact our business, relationships with partners and customers, and our reputation.
In addition to export controls, the USG may impose restrictions on the import and sale of products that incorporate technologies developed or manufactured in whole or in part in China. For example, the USG adopted “Connected Vehicle” restrictions on the import and sale of certain automotive products in the United States, which if adopted and interpreted broadly, could impact our ability to develop and supply solutions for our automotive customers. The USG is also considering restrictions that would limit our ability to support third-party applications and models built on open-source foundation models originating in China. Such restrictions, if implemented, would favor our foreign competitors and negatively impact our business.
Additionally, restrictions imposed by the Chinese government on the duration of gaming activities and access to games may adversely affect our Gaming revenue, and increased oversight of digital platform companies may adversely affect our Data Center revenue. The Chinese government has and may continue to encourage customers to purchase from our China-based competitors, or impose restrictions on the sale to certain customers of our products, or any products containing components made by our partners and suppliers. For example, the Chinese government announced restrictions relating to certain sales of products containing certain products made by Micron, a supplier of ours. As another example, an agency of the Chinese government announced an Action Plan that endorses new standards regarding the compute performance per watt and per memory bandwidth of accelerators used in new and renovated data centers in China. If the Chinese government modifies or implements the Action Plan in a way that effectively prevents us from being able to design products to meet the new standard, this may restrict the ability of customers to use some of our data center products and may have a material and adverse impact on our business, operating results and financial condition. Further restrictions on our products or the products of our suppliers could negatively impact our business and financial results.
Finally, our business depends on our ability to receive consistent and reliable supply from our overseas partners, especially in Taiwan and South Korea. Any new restrictions that negatively impact our ability to receive supply of components, parts, or services from Taiwan and South Korea, would negatively impact our business and financial results.
Item 2. Unregistered Sales of Equity Securities and Use of Proceeds
Issuer Purchases of Equity Securities
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We repurchased 67 million and 193 million shares of our common stock for $9.7 billion and $24.2 billion during the second quarter and first half of fiscal year 2026, respectively. As of July 27, 2025, we were authorized, subject to certain specifications, to repurchase up to $14.7 billion of our common stock.
We paid cash dividends to our shareholders of $244 million and $488 million during the second quarter and first half of fiscal year 2026, respectively. The payment of future cash dividends is subject to our Board of Directors' continuing determination that the declaration of dividends is in the best interests of our shareholders.
The following table presents details of our share repurchase transactions during the second quarter of fiscal year 2026:
Period
Total Number of Shares
Purchased (In millions)
Average Price Paid per Share (1)
Total Number of Shares Purchased as Part of Publicly Announced Program
(In millions)
Approximate Dollar Value of Shares that May Yet Be Purchased Under the Program
(In billions)
April 28, 2025 - May 25, 2025 19.2 $ 120.61 19.2 $ 22.0
May 26, 2025 - June 22, 2025 18.1 $ 141.61 18.1 $ 19.4
June 23, 2025 - July 27, 2025 29.2 $ 161.65 29.2 $ 14.7
Total 66.5 66.5
(1) Average price paid per share includes broker commissions, but excludes our liability under the 1% excise tax on the net amount of our share repurchases required by the Inflation Reduction Act of 2022.
From July 28, 2025 through August 26, 2025, we repurchased 20 million shares for $3.5 billion pursuant to a pre-established trading plan. On August 26, 2025, our Board of Directors approved an additional $60.0 billion in share repurchase authorization, without expiration. As of August 26, 2025, a total of $71.2 billion was available for repurchase.
We may execute repurchases from time to time, subject to market conditions, operating requirements and other investment opportunities, in the open market, in privately negotiated transactions, pursuant to a Rule 10b5-1 trading plan or in structured share repurchase agreements in compliance with Rule 10b-18 of the Exchange Act. Our share repurchase program may be suspended at any time at our discretion.
Employee Equity Incentive Program Share Withholding
We withhold shares of our common stock associated with net share settlements to cover tax withholding obligations of awards under our employee equity incentive program. During the second quarter and first half of fiscal year 2026, we withheld approximately 13 million and 26 million shares, respectively, for a total value of $1.9 billion and $3.4 billion, respectively, through net share settlements.
Recent Sales of Unregistered Securities and Use of Proceeds
On June 13, 2025, we acquired a company and agreed to issue to key employees a total of 387,158 shares of our common stock, valued at $55 million based on our closing stock price on the acquisition date. The shares will be issued in installments commencing in fiscal year 2027 and through fiscal year 2031.
On June 17, 2025, we acquired a company and issued to key employees a total of 89,338 shares of our common stock, valued at $13 million based on our closing stock price on the issuance date.
The above securities were issued in transactions not involving a public offering pursuant to an exemption from registration set forth in Section 4(a)(2) of the Securities Act (and Regulation D or Regulation S promulgated thereunder).
Item 5. Other Information
The following members of our Board of Directors and/or officers adopted, modified, or terminated a trading arrangement that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c), or a Rule 10b5-1 Trading Arrangement:
Name Title of Director or Officer Action Date Total Shares of Common Stock to be Sold
A. Brooke Seawell Director Termination July 14, 2025 1,153,049*
*The Rule 10b5-1 Trading Arrangement was adopted on March 19, 2025 for sales through July 31, 2025, with an estimated formulaic number of shares. 770,522 shares were actually sold under the Rule 10b5-1 Trading Arrangement prior to termination.
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Item 6. Exhibits
Exhibit No. Exhibit Description
• +* Amended and Restated 2007 Equity Incentive Plan - Non-Employee Director Deferred Restricted Stock Unit Grant Notice and Deferred Restricted Stock Unit Agreement (2025)
• +* Amended and Restated 2007 Equity Incentive Plan - Non-Employee Director Restricted Stock Unit Grant Notice and Restricted Stock Unit Agreement (2025)
• * Certification of Chief Executive Officer as required by Rule 13a-14(a) of the Securities Exchange Act of 1934
• * Certification of Chief Financial Officer as required by Rule 13a-14(a) of the Securities Exchange Act of 1934
• #* Certification of Chief Executive Officer as required by Rule 13a-14(b) of the Securities Exchange Act of 1934
• #* Certification of Chief Financial Officer as required by Rule 13a-14(b) of the Securities Exchange Act of 1934
Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.
101.SCH* Inline XBRL Taxonomy Extension Schema Document
101.CAL* Inline XBRL Taxonomy Extension Calculation Linkbase Document 101.DEF* Inline XBRL Taxonomy Extension Definition Linkbase Document 101.LAB* Inline XBRL Taxonomy Extension Labels Linkbase Document 101.PRE* Inline XBRL Taxonomy Extension Presentation Linkbase Document
Cover Page Interactive Data File - the cover page interactive data file does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.
+ Management contract or compensatory plan or arrangement.
* Filed herewith.
# In accordance with Item 601(b)(32)(ii) of Regulation S-K and SEC Release Nos. 33-8238 and 34-47986, Final Rule: Management's Reports on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports, the certifications furnished in Exhibits 32.1 and 32.2 hereto are deemed to accompany this Quarterly Report on Form 10-Q and will not be deemed “filed” for purpose of Section 18 of the Exchange Act. Such certifications will not be deemed to be incorporated by reference into any filing under the Securities Act or the Exchange Act, except to the extent that the registrant specifically incorporates it by reference.
Copies of above exhibits not contained herein are available to any shareholder upon written request to: Investor Relations: NVIDIA Corporation, 2788 San Tomas Expressway, Santa Clara, CA 95051.
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Signature
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
Date: August 27, 2025
NVIDIA Corporation By: /s/ Colette M. Kress
Colette M. Kress
Executive Vice President and Chief Financial Officer (Duly Authorized Officer and Principal Financial Officer)
40
NVIDIA Corporation
Deferred Restricted Stock Unit Grant Notice
Amended & Restated 2007 Equity Incentive Plan
NVIDIA Corporation (the “Company”), pursuant to its Amended & Restated 2007 Equity Incentive Plan (the “Plan”), hereby awards to Participant a Deferred Restricted Stock Unit Award for the number of restricted stock units (the “Restricted Stock Units”) set forth below (the “Award”). The Award is subject to all of the terms and conditions as set forth in this Grant Notice, in the attached Deferred Restricted Stock Unit Agreement and in the Plan, the latter two being incorporated by reference herein. Capitalized terms not otherwise defined in this Grant Notice or the Deferred Restricted Stock Unit Agreement (collectively, the “Agreement”) will have the meanings set forth in the Plan. In the event of any conflict between the terms in this Agreement and the Plan, the terms of the Plan will control.
Participant:
Date of Grant:
Vesting Commencement Date:
Number of Restricted Stock Units/Shares Subject to Award:
Vesting Schedule: Subject to Participant’s Continuous Service through each applicable vesting date, this Award will vest as follows: (i) 50% of the Restricted Stock Units subject to this Award will vest on the third Wednesday of November of the year of grant; and (ii) the remaining 50% of the Restricted Stock Units subject to this Award will vest on the third Wednesday of May of the year following the year of grant. However, if Participant’s Continuous Service terminates prior to such date(s) due to Participant’s death, this Award will become fully vested, as further described in Section 2(b) of the Agreement.
Issuance Schedule: Subject to Section 6 of the Agreement, the Company will issue one share of Common Stock for each Restricted Stock Unit that has vested under this Award on the earliest to occur of the following (such date, the “Settlement Date”):
The [third Wednesday] [15th] of March, 20[ ];
The date of Participant’s “separation from service” (as defined under Treasury Regulation Section 1.409A-1(h), without regard to any alternative definitions therein) (a “Separation from Service”) as a Director, subject to a six month delay if required under Code Section 409A (as provided in Section 23 of the Agreement); and
The date of a 409A Change in Control (as defined below).
409A Change in Control: A “409A Change in Control” will mean a Change in Control that also constitutes a “change in the ownership or effective control of” the Company or a “change in the ownership of a substantial portion of the assets of” the Company as determined under Treasury Regulation Section 1.409A-3(i)(5) (without regard to any alternative definition thereunder).
Additional Terms/Acknowledgements: Participant acknowledges receipt of, and understands and agrees to, all of the terms and conditions set forth in the Agreement and the Plan. Participant acknowledges and agrees that the Agreement may not be modified, amended or revised except as provided in the Plan or the Agreement. Participant further acknowledges that as of the Date of Grant, the Agreement sets forth the entire understanding between Participant and the Company regarding this Award (which is granted pursuant to the Company’s 2025-2026 Compensation Program for Non-Employee Directors and Participant’s 2025-2026 Election Form thereunder), and supersedes all prior oral and written agreements on that subject with the exception, if applicable, of: (i) the Company’s insider trading policy; and (ii) any compensation recovery policy that is adopted by the Company or one of its Affiliates or is otherwise required by applicable law. By accepting this Award, Participant consents to receive Plan documents by electronic delivery and to participate in the Plan through an on-line or electronic system established and maintained by the Company or a third party designated by the Company.
NVIDIA Corporation Participant:
By:
Signature Signature Title: Date:
Date:
Attachment I
NVIDIA Corporation
Amended & Restated 2007 Equity Incentive Plan Deferred Restricted Stock Unit Agreement
Pursuant to the Deferred Restricted Stock Unit Grant Notice (“Grant Notice”) and this Deferred Restricted Stock Unit Agreement (collectively, the “Agreement”), NVIDIA Corporation (the “Company”) has awarded you a Restricted Stock Unit Award (the “Award”) under its Amended & Restated 2007 Equity Incentive Plan (the “Plan”). This Award is granted to you effective as of the date of grant set forth in the Grant Notice (the “Date of Grant”). Capitalized terms not explicitly defined in this Agreement will have the same meanings given to them in the Plan.
• Grant of the Award. The Award represents the right to be issued on a future date one share of Common Stock for each Restricted Stock Unit that vests under this Award, subject to the terms and conditions provided in this Agreement and in the Plan. As of the Date of Grant, the Company will credit to a bookkeeping account maintained by the Company for your benefit (the “Account”) the number of Restricted Stock Units subject to the Award. Except as otherwise provided in this Agreement, you will not be required to make any payment to the Company with respect to your receipt of the Award, the vesting of the Restricted Stock Units or the delivery of the underlying Common Stock.
• Vesting.
• Subject to the limitations contained in this Agreement, your Award will vest, if at all, in accordance with the vesting schedule provided in the Grant Notice, including any special acceleration provisions, as applicable, contained in the Grant Notice.
• Vesting will cease upon the termination of your Continuous Service, except if such termination is due to your death, in which case vesting will accelerate as described in the Grant Notice (and subject to any other acceleration provided for in the Grant Notice or the Plan). Notwithstanding anything to the contrary in the Plan, if vesting accelerates as a result of the termination of your Continuous Service due to your death, such acceleration will occur on the date of your death (or as soon as administratively practicable thereafter); provided, however, that:
(i) such acceleration may be delayed until the date the Company receives written notification of your death from the executor or administrator of your estate (or your beneficiary, if applicable); (ii) the Company may require the executor or administrator of your estate (or your beneficiary, if applicable) to provide certain information to the Company (including, but not limited to, tax-related information), to the extent permissible under applicable law; and (iii) notwithstanding anything to the contrary in this Agreement, any shares of Common Stock that are issuable as a result of such acceleration will be issued no later than the Issuance Deadline (as defined in Section 6(b) of this Agreement).
• On the termination of your Continuous Service (for any reason other than death), the Restricted Stock Units credited to the Account that were not vested on the date of such termination (and are not accelerated pursuant to any acceleration provided for in the Grant Notice or the Plan) will be forfeited and returned to the Company at no cost to the Company and you will have no further right, title or interest in or to such Restricted Stock Units or the underlying shares of Common Stock. For the avoidance of doubt, Continuous Service during only a period prior to a vesting date (but where Continuous Service has terminated prior to the vesting date) does not entitle you to vest in a pro-rata portion of the Restricted Stock Units on such date.
1.
• Number of Restricted Stock Units and Shares of Common Stock.
• The number of Restricted Stock Units (and the related shares of Common Stock) subject to your Award will be adjusted from time to time for Capitalization Adjustments, as provided in the Plan.
• Any Restricted Stock Units, shares, cash or other property that become subject to the Award as a result of a Capitalization Adjustment, if any, will be subject to the same forfeiture restrictions, restrictions on transferability, and time and manner of delivery as applicable to the other shares covered by your Award.
• No fractional shares or rights for fractional shares of Common Stock will be created by this Section 3. The Board will round down, to the nearest whole share or whole unit of rights, any fractional shares or rights for fractional shares.
• Compliance with Law. You will not be issued any shares under your Award unless either (a) the shares are registered under the Securities Act; or (b) the Company has determined that such issuance would be exempt from the registration requirements of the Securities Act. Your Award also must comply with other applicable laws and regulations governing the Award, including any U.S. and non-U.S. state, federal and local laws, and you will not receive such shares if the Company determines that such receipt would not be in material compliance with such laws and regulations.
• Limitations on Transfer. Your Award is not transferable, except by will or by the laws of descent and distribution. In addition to any other limitation on transfer created by applicable securities or other laws, you agree not to assign, hypothecate, donate, encumber or otherwise dispose of any interest in any of the shares of Common Stock subject to the Award until the shares are issued to you. After the shares have been issued to you, you are free to assign, hypothecate, donate, encumber or otherwise dispose of any interest in such shares, provided that any such actions are in compliance with the provisions in this Agreement and applicable securities or other laws. If permitted by the Board and valid under applicable law, you may, by delivering written notice to the Company’s designated broker, pursuant to a form provided by such broker, designate a third party who, in the event of your death, will thereafter be entitled to receive any distribution of Common Stock to which you were entitled at the time of your death pursuant to this Agreement.
• Date of Issuance.
• The issuance of shares of Common Stock in respect of the Restricted Stock Units is intended to comply with Treasury Regulations Section 1.409A-3(a) and will be construed and administered in such a manner to the extent applicable. The form of such issuance (e.g., a stock certificate or electronic entry evidencing such shares) will be determined by the Company.
• Subject to the satisfaction of any withholding obligation for Tax-Related Items (as defined in Section 10 of this Agreement) and Section 6(c) of this Agreement, in the event one or more Restricted Stock Units vests, the Company will issue to you, on the Settlement Date determined under the Grant Notice (or as soon as administratively practicable thereafter), one share of Common Stock for each Restricted Stock Unit that vests (and for purposes of this Agreement, such issuance date is referred to as the “Original Issuance Date”); provided, however, that the Original Issuance Date will in all cases occur no later than the Issuance Deadline. For purposes of this Agreement, the “Issuance Deadline” means the latest of the following, as applicable: (i) December 31 of the calendar year in which the Settlement Date occurs (that is, the
2.
last day of your taxable year in which the Settlement Date occurs), to the extent permitted without incurring adverse tax consequences under Section 409A of the Code; (ii) the 15th day of the third calendar month following the Settlement Date, to the extent permitted without incurring adverse tax consequences under Section 409A of the Code; or (iii) any other date that is permitted without incurring adverse tax consequences under Section 409A of the Code.
• If (i) this Award is subject to any withholding obligations for Tax-Related Items (as defined in Section 10 below) on the Original Issuance Date, (ii) the Original Issuance Date does not occur (1) during an “open window period” applicable to you, as determined by the Company in accordance with the Company’s then-effective policy on trading in Company securities, or (2) on a date when you are otherwise permitted to sell shares of Common Stock on an established stock exchange or stock market (including but not limited to under a previously established Company-approved 10b5-1 trading plan), and (iii) the Company elects, prior to the Original Issuance Date, (1) not to satisfy any withholding obligations for Tax-Related Items (as defined in Section 10 below) by withholding shares of Common Stock from the shares otherwise due, on the Original Issuance Date, to you under this Award, (2) not to permit you to enter into a “same day sale” commitment with a broker-dealer pursuant to this Agreement (including but not limited to a commitment under a previously established Company-approved 10b5-1 trading plan) and (3) not to permit you to cover any withholding obligations for Tax-Related Items (as defined in Section 10 below) in cash, then the shares that would otherwise be issued to you on the Original Issuance Date will not be issued on such Original Issuance Date and will instead be issued on the first business day when you are not prohibited from selling shares of Common Stock on an established stock exchange or stock market or on such other date determined by the Company, but in no event later than the Issuance Deadline.
• Dividends. You will receive no benefit or adjustment to your Award and any unissued shares thereunder with respect to any cash dividend, stock dividend or other distribution that does not result from a Capitalization Adjustment. Following the date of vesting, in the event of any cash dividend, stock dividend or other distribution that does not result from a Capitalization Adjustment, no cash, stock or other property related to such dividend or distribution will be issuable in respect of your vested Restricted Stock Units.
• Restrictive Legends. The shares of Common Stock issued under your Award will be endorsed with appropriate legends if determined by the Company that legends are required under applicable law or otherwise.
• Award not a Service Contract.
• Your Continuous Service with the Company or an Affiliate is not for any specified term and, if permitted under applicable law, may be terminated by you or by the Company or an Affiliate at any time, for any reason, with or without cause and with or without notice. Nothing in this Agreement (including, but not limited to, the vesting of your Award pursuant to the schedule set forth in the Grant Notice or the issuance of the shares subject to your Award), the Plan or any covenant of good faith and fair dealing that may be found implicit in this Agreement or the Plan will: (i) confer upon you any right to continue in the employ of, or continue an affiliation or other service relationship with, the Company or an Affiliate; (ii) constitute any promise or commitment by the Company or an Affiliate regarding the fact or nature of future positions, future work assignments, future compensation or any other term or condition of employment or affiliation; (iii) confer any right or benefit under this Agreement or the Plan unless such right or benefit has specifically accrued under the terms of this Agreement or Plan; or (iv) deprive the Company or an Affiliate of the right to terminate you at any time and without regard to any future vesting opportunity that you may have. The grant of the Award shall not be interpreted as forming or amending an employment or service contract with the Company or an Affiliate.
3.
• By accepting this Award, you acknowledge and agree that the right to continue vesting in the Award is earned only through Continuous Service (not through the act of being hired, being granted this Award or any other award or benefit) and that the Company has the right to reorganize, sell, spin-out or otherwise restructure one or more of its businesses or Affiliates at any time or from time to time, as it deems appropriate (a “reorganization”). You further acknowledge and agree that such a reorganization could result in the termination of your Continuous Service, or the termination of Affiliate status of an Affiliate and the loss of benefits available to you under this Agreement, including but not limited to, the termination of the right to continue vesting in the Award. You further acknowledge and agree that this Agreement, the Plan, the transactions contemplated hereunder and the vesting schedule set forth in this Agreement or any covenant of good faith and fair dealing that may be found implicit in any of them do not constitute an express or implied promise of continued engagement as an Employee, Director or Consultant for the term of this Agreement, for any period, or at all, and will not interfere in any way with your right or the right of the Company or an Affiliate to terminate your Continuous Service at any time, with or without cause and, if permitted under applicable law, with or without notice, and will not interfere in any way with the Company’s right to conduct a reorganization.
• Responsibility for Taxes.
• You acknowledge that, regardless of any action the Company or an Affiliate takes with respect to any or all income tax, social insurance, payroll tax, fringe benefit tax, payment on account or other tax related items related to your participation in the Plan and legally applicable to you or deemed by the Company or an Affiliate, in its discretion, to be an appropriate charge to you even if legally applicable to the Company or an Affiliate (“Tax-Related Items”), the ultimate liability for all Tax-Related Items is and remains your responsibility and may exceed the amount actually withheld by the Company or an Affiliate, if any. You further acknowledge that the Company and/or an Affiliate (i) make no representations or undertakings regarding the treatment of any Tax-Related Items in connection with any aspect of your Restricted Stock Units or the underlying shares of Common Stock, including, but not limited to, the grant of the Restricted Stock Units, the vesting and settlement of the Restricted Stock Units, the delivery or sale of any shares of Common Stock and the issuance of any dividends, and (ii) do not commit to and are under no obligation to structure the terms of the grant or any aspect of your Award to reduce or eliminate your liability for Tax-Related Items or achieve any particular tax result. You acknowledge and agree that you will not make any claim against the Company, or any of its Officers, Directors, Employees or Affiliates for Tax-Related Items arising from your Award. Further, if you are subject to Tax-Related Items in more than one jurisdiction, you acknowledge that the Company and/or an Affiliate may be required to withhold or account for Tax-Related Items in more than one jurisdiction.
• In connection with the relevant taxable or tax withholding event, as applicable, you agree to make adequate arrangements satisfactorily to the Company and/or an Affiliate to satisfy all Tax-Related Items. In this regard, you authorize the Company and/or an Affiliate, or their respective agents, at their discretion, to satisfy their withholding obligations or rights, if any, with regard to all Tax-Related Items by one or a combination of the following: (i) withholding from your wages or any other cash compensation otherwise payable to you; (ii) causing you to tender a cash payment or requiring you to make a payment in another form acceptable to the Company; (iii) permitting or requiring you to enter into a “same day sale” commitment with a broker-dealer that is a member of the Financial Industry Regulatory Authority (a “FINRA Dealer”) (if required, pursuant to this authorization and without further consent) whereby you irrevocably elect to sell a portion of the shares to be delivered upon settlement of your Restricted Stock Units to satisfy the Tax-Related Items and whereby the FINRA Dealer irrevocably commits to forward the proceeds necessary to satisfy the withholding obligation for Tax-Related Items directly to the Company and/or an Affiliate, including a commitment pursuant to a previously established
4.
Company-approved 10b5-1 plan; (iv) withholding shares of Common Stock from the shares of Common Stock issued or otherwise issuable to you upon settlement of the Award with a value equal to the amount of such withholding obligation for Tax-Related Items or such other amount as may be permitted while still avoiding classification of the Award as a liability for financial accounting purposes; provided, however, that if you are an Officer, then the Company will withhold a number of shares of Common Stock upon the relevant taxable or tax withholding event, as applicable, unless the use of such withholding method is not feasible under applicable law or has materially adverse accounting consequences, as determined by the Board, in its sole discretion, in which case, any withholding obligation for Tax-Related Items may be satisfied by one or a combination of methods (i)-(iii) above; and/or (v) any other method of withholding determined by the Company, provided such method is compliant with applicable law and the Plan.
• The Company and/or an Affiliate may withhold or account for Tax-Related Items by considering statutory or other withholding rates, including maximum rates applicable in your jurisdiction(s). In the event of over-withholding, you may receive a refund of any over-withheld amount in cash from the Company or an Affiliate (with no entitlement to the Common Stock equivalent), or if not refunded, you may seek a refund from the local tax authorities. In the event of under-withholding, you may be required to pay any Tax-Related Items directly to the applicable tax authority or to the Company and/or an Affiliate. Maximum tax rates are based on the applicable rates in your country, including your share of payroll or similar taxes, as provided in tax law, regulations, or the tax authority’s administrative practices, not to exceed the highest rate in that jurisdiction, even if that rate exceeds the highest rate that may be applicable to you. If any withholding obligation for Tax-Related Items is satisfied by withholding a number of shares of Common Stock, for tax purposes, you will be deemed to have been issued the full number of shares of Common Stock subject to the vested Restricted Stock Units, notwithstanding that a number of the shares of Common Stock is held back solely for the purpose of paying the Tax-Related Items.
• Unless any withholding obligation for Tax-Related Items is satisfied, the Company will have no obligation to deliver to you any shares of Common Stock or other consideration pursuant to this Award.
• In the event any obligation to withhold arises prior to the delivery to you of shares of Common Stock or it is determined after the delivery of shares of Common Stock to you that the amount of the withholding obligation was greater than the amount withheld, if anything, you agree to indemnify and hold the Company and/or an Affiliate harmless from any failure by the Company and/or an Affiliate to withhold the proper amount.
• Nature of Grant. By accepting your Award, you acknowledge, understand and agree that:
• the Plan is established voluntarily by the Company, it is discretionary in nature and it may be modified, amended, suspended or terminated by the Company at any time, to the extent permitted by the Plan;
• the Award is exceptional, voluntary and occasional and does not create any contractual or other right to receive future Awards (whether on the same or different terms), or benefits in lieu of an Award, even if an Award has been granted in the past;
• all decisions with respect to future Awards, if any, will be at the sole discretion of the Company;
5.
• the Award is granted as an incentive for future services and in no event should be considered as compensation for, or relating in any way to, past services for the Company or an Affiliate;
• you are voluntarily participating in the Plan;
• the Award and the shares of Common Stock subject to the Award, and the income from and value of same, are an extraordinary item which is outside the scope of your employment or other service contract, if any;
• the Award and the shares of Common Stock subject to the Award, and the income from and value of same, are not intended to replace any pension rights or compensation;
• the Award and the shares of Common Stock subject to the Award, and the income from and value of same, are not part of normal or expected compensation for purposes of, without limitation, calculating any severance, resignation, termination, redundancy, dismissal, end-of-service payments, bonuses, long-service awards, holiday allowance, pension or retirement or welfare benefits or similar payments under any employee benefit plan sponsored by the Company or any Affiliate, except as such plan otherwise expressly provides (and the Company expressly reserves its rights to amend, modify, or terminate any of the Company’s or any Affiliate’s employee benefit plans);
• the future value of the underlying shares of Common Stock is unknown, indeterminable, and cannot be predicted with
certainty;
• no claim or entitlement to compensation or damages shall arise from forfeiture of the Award resulting from the termination of your Continuous Service (for any reason except for your death and whether or not later found to be invalid or in breach of employment laws in the jurisdiction where you are employed or otherwise rendering services or the terms of your employment or other service agreement, if any);
• unless otherwise provided herein, in the Plan or by the Company in its discretion, the Award and the benefits evidenced by this Agreement do not create any entitlement to have the Award or any such benefits transferred to, or assumed by, another company nor to be exchanged, cashed out or substituted for, in connection with any corporate transaction affecting the shares of Common Stock; and
• unless otherwise agreed with the Company in writing, the Award and the shares of Common Stock subject to the Award, and the income from and value of same, are not granted as consideration for, or in connection with, the service you may provide as a director of an Affiliate.
• No Advice Regarding Grant. The Company is not providing any tax, legal or financial advice, nor is the Company making any recommendations regarding your participation in the Plan, or your acquisition or sale of the underlying shares of Common Stock. You should consult with your own personal tax, financial and/or legal advisors regarding your participation in the Plan, and by accepting this Award, you have agreed that you have done so or knowingly and voluntarily declined to do so.
• Unsecured Obligation. Your Award is unfunded, and as a holder of an Award, you will be considered an unsecured creditor of the Company with respect to the Company’s obligation, if any, to issue shares pursuant to this Agreement in accordance with Section 6 of this Agreement.
6.
You will not have voting or any other rights as a stockholder of the Company with respect to the shares to be issued pursuant to this Agreement until such shares are issued to you. Upon such issuance, you will obtain full voting and other rights as a stockholder of the Company. Nothing contained in this Agreement, and no action taken pursuant to its provisions, will create or be construed to create a trust of any kind or a fiduciary relationship between you and the Company or any other person.
• Other Documents. You hereby acknowledge receipt or the right to receive a document providing the information required by Rule 428(b)(1) promulgated under the Securities Act, which includes the Plan prospectus. In addition, you acknowledge receipt of the Company’s policy permitting certain individuals to sell shares only during certain “window” periods and the Company’s insider trading policy, in effect from time to time and understand that this policy applies to shares received under this Award.
• Notices; Electronic Delivery/Acceptance. Any notices provided for in your Award or the Plan will be given in writing and will be deemed effectively given upon receipt or, in the case of notices delivered by the Company to you, five (5) days after deposit in the United States mail, postage prepaid, addressed to you at the last address you provided to the Company. Notwithstanding the foregoing, the Company may, in its sole discretion, decide to deliver any documents and transmit or require you to transmit notices related to participation in the Plan and this Award by electronic means. You hereby consent to receive such documents and notices, and to give such notices, by electronic delivery and to participate in the Plan through the on-line or electronic system established and maintained by the Company or a third party designated by the Company from time to time.
• Governing Plan Document/Recoupment. Your Award is subject to all the provisions of the Plan, the provisions of which are hereby made a part of your Award, and is further subject to all interpretations, amendments, rules and regulations which may from time to time be promulgated and adopted pursuant to the Plan. In addition, this Award (and any shares issued under this Award) is subject to recoupment in accordance with the Dodd–Frank Wall Street Reform and Consumer Protection Act and any implementing regulations thereunder, the Company’s Compensation Recovery Policy, as amended from time to time, and any other clawback policy that the Company adopts or is required to adopt, to the extent applicable to you and permissible under applicable law.
• Insider Trading Restrictions/Market Abuse Laws. You may be subject to insider trading restrictions and/or market abuse laws based on the exchange on which the shares of Common Stock are listed and in applicable jurisdictions, including the United States and your country or your broker’s country, if different, which may affect your ability to accept, acquire, sell or otherwise dispose of shares of Common Stock, rights to shares of Common Stock (e.g., Restricted Stock Units) or rights linked to the value of shares of Common Stock during such times as you are considered to have “inside information” regarding the Company (as defined by the laws in applicable jurisdictions). Local insider trading laws and regulations may prohibit the cancellation or amendment of orders you placed before you possessed inside information. Furthermore, you could be prohibited from (i) disclosing the inside information to any third party, which may include fellow employees, and (ii) “tipping” third parties or causing them otherwise to buy or sell securities. Any restrictions under these laws or regulations are separate from and in addition to any restrictions that may be imposed under any applicable insider trading policy of the Company. You acknowledge that it is your responsibility to comply with any applicable restrictions and you should speak with your personal legal advisor on this matter.
7.
• Imposition of Other Requirements. The Company reserves the right to impose other requirements on your participation in the Plan, on the Award and on any shares of Common Stock acquired under the Plan, to the extent the Company determines it is necessary or advisable for legal or administrative reasons.
• Severability. If all or any part of this Agreement or the Plan is declared by any court or governmental authority to be unlawful or invalid, such unlawfulness or invalidity will not invalidate any portion of this Agreement or the Plan not declared to be unlawful or invalid. Any Section of this Agreement (or part of such a Section) so declared to be unlawful or invalid will, if possible, be construed in a manner which will give effect to the terms of such Section or part of a Section to the fullest extent possible while remaining lawful and valid.
• Governing Law/Venue. The interpretation, performance and enforcement of this Agreement will be governed by the law of the state of Delaware without regard to such state’s conflicts of laws rules. For purposes of litigating any dispute that arises directly or indirectly from the relationship of the parties evidenced by this grant or the Agreement, the parties hereby submit to and consent to the exclusive jurisdiction of the State of California and agree that such litigation shall be conducted only in the courts of Santa Clara County, California, or the federal courts for the United States for the Northern District of California, and no other courts, where this grant is made and/or to be performed.
• Miscellaneous.
• The rights and obligations of the Company under your Award will be transferable to any one or more persons or entities, and all covenants and agreements hereunder will inure to the benefit of, and be enforceable by the Company’s successors and assigns. Your rights and obligations under your Award may only be assigned with the prior written consent of the Company.
• You agree upon request to execute any further documents or instruments necessary or desirable in the sole determination of the Company to carry out the purposes or intent of your Award.
• You acknowledge and agree that you have reviewed your Award in its entirety, have had an opportunity to obtain the advice of counsel prior to executing and accepting your Award, and fully understand all provisions of your Award.
• This Agreement will be subject to all applicable laws, rules, and regulations, and to such approvals by any governmental agencies or national securities exchanges as may be required.
• All obligations of the Company under the Plan and this Agreement will be binding on any successor to the Company, whether the existence of such successor is the result of a direct or indirect purchase, merger, consolidation, or otherwise, of all or substantially all of the business and/or assets of the Company.
• Amendment. Subject to Section 18 above, this Agreement may not be modified, amended or terminated except by an instrument in writing, signed by you and by a duly authorized representative of the Company. Notwithstanding the foregoing, this Agreement may be amended solely by the Board by a writing which specifically states that it is amending this Agreement, so long as a copy of such amendment is delivered to you, and provided that no such amendment adversely affecting your rights hereunder may be made without your written consent. Without limiting the
8.
foregoing, the Board reserves the right to change, by written notice to you, the provisions of this Agreement in any way it may deem necessary or advisable to carry out the purpose of the grant as a result of any change in applicable laws or regulations or any future law, regulation, ruling, or judicial decision, provided that any such change will be applicable only to rights relating to that portion of the Award which is then subject to restrictions as provided in this Agreement.
• Compliance with Section 409A of the Code. This Award is intended to comply with U.S. Treasury Regulation Section 1.409A- 3(a) and will be construed and administered in such a manner, and any ambiguous or missing terms that may otherwise be supplied from and/or defined under Code Section 409A in a manner that fulfills such intention hereby incorporated by reference. Each installment of Restricted Stock Units that vests hereunder is intended to constitute a “separate payment” for purposes of Treasury Regulation Section 1.409A-2(b)(2). This Award shall comply with Code Section 409A to the extent necessary to avoid adverse personal tax consequences and any ambiguities herein shall be interpreted accordingly. If you are a “specified employee” (as determined under Code Section 409A) on your Separation from Service, then the issuance of any shares, cash or other property that would otherwise be made on the date of your Separation from Service (or within the first six months thereafter as a result of your Separation from Service) will not be made on the originally scheduled date(s) and will instead be issued in a lump sum on the earlier of (i) the date that is six months and one day after the date of the Separation from Service or (ii) the date of your death, but if and only if such delay in the issuance is necessary to avoid the imposition of taxation on you in respect of the shares, cash or property under Code Section 409A.
9.
NVIDIA Corporation
Restricted Stock Unit Grant Notice
Amended & Restated 2007 Equity Incentive Plan
NVIDIA Corporation (the “Company”), pursuant to its Amended & Restated 2007 Equity Incentive Plan (the “Plan”), hereby awards to Participant a Restricted Stock Unit Award for the number of restricted stock units (the “Restricted Stock Units”) set forth below (the “Award”). The Award is subject to all of the terms and conditions as set forth in this Grant Notice, in the attached Restricted Stock Unit Agreement and in the Plan, the latter two being incorporated by reference herein. Capitalized terms not otherwise defined in this Grant Notice or the Restricted Stock Unit Agreement (collectively, the “Agreement”) will have the meanings set forth in the Plan. In the event of any conflict between the terms in this Agreement and the Plan, the terms of the Plan will control.
Participant:
Date of Grant:
Vesting Commencement Date:
Number of Restricted Stock Units/Shares Subject to Award:
Vesting Schedule: Subject to Participant’s Continuous Service through each applicable vesting date, this Award will vest as follows: (i) 50% of the Restricted Stock Units subject to this Award will vest on the third Wednesday of November of the year of grant; and (ii) the remaining 50% of the Restricted Stock Units subject to this Award will vest on the third Wednesday of May of the year following the year of grant. However, if Participant’s Continuous Service terminates prior to such date(s) due to Participant’s death, this Award will become fully vested, as further described in Section 2(b) of the Agreement.
Issuance Schedule: The Company will issue one share of Common Stock for each Restricted Stock Unit that has vested under this Award at the time set forth in Section 6 of the Agreement.
Additional Terms/Acknowledgements: Participant acknowledges receipt of, and understands and agrees to, all of the terms and conditions set forth in the Agreement and the Plan. Participant acknowledges and agrees that the Agreement may not be modified, amended or revised except as provided in the Plan or the Agreement. Participant further acknowledges that as of the Date of Grant, the Agreement sets forth the entire understanding between Participant and the Company regarding this Award (which is granted pursuant to the Company’s 2025-2026 Compensation Program for Non-Employee Directors and Participant’s 2025-2026 Election Form thereunder), and supersedes all prior oral and written agreements on that subject with the exception, if applicable, of: (i) the Company’s insider trading policy; and (ii) any compensation recovery policy that is adopted by the Company or one of its Affiliates or is otherwise required by applicable law. By accepting this Award, Participant consents to receive Plan documents by electronic delivery and to participate in the Plan through an on-line or electronic system established and maintained by the Company or a third party designated by the Company.
NVIDIA Corporation Participant:
By:
Signature Signature Title: Date:
Date:
Attachment I
NVIDIA Corporation
Amended & Restated 2007 Equity Incentive Plan Restricted Stock Unit Agreement
Pursuant to the Restricted Stock Unit Grant Notice (“Grant Notice”) and this Restricted Stock Unit Agreement (collectively, the “Agreement”), NVIDIA Corporation (the “Company”) has awarded you a Restricted Stock Unit Award (the “Award”) under its Amended & Restated 2007 Equity Incentive Plan (the “Plan”). This Award is granted to you effective as of the date of grant set forth in the Grant Notice (the “Date of Grant”). Capitalized terms not explicitly defined in this Agreement will have the same meanings given to them in the Plan.
• Grant of the Award. The Award represents the right to be issued on a future date one share of Common Stock for each Restricted Stock Unit that vests under this Award, subject to the terms and conditions provided in this Agreement and in the Plan. As of the Date of Grant, the Company will credit to a bookkeeping account maintained by the Company for your benefit (the “Account”) the number of Restricted Stock Units subject to the Award. Except as otherwise provided in this Agreement, you will not be required to make any payment to the Company with respect to your receipt of the Award, the vesting of the Restricted Stock Units or the delivery of the underlying Common Stock.
• Vesting.
• Subject to the limitations contained in this Agreement, your Award will vest, if at all, in accordance with the vesting schedule provided in the Grant Notice, including any special acceleration provisions, as applicable, contained in the Grant Notice.
• Vesting will cease upon the termination of your Continuous Service, except if such termination is due to your death, in which case vesting will accelerate as described in the Grant Notice (and subject to any other acceleration provided for in the Grant Notice or the Plan). Notwithstanding anything to the contrary in the Plan, if vesting accelerates as a result of the termination of your Continuous Service due to your death, such acceleration will occur on the date of your death (or as soon as administratively practicable thereafter); provided, however, that:
(i) such acceleration may be delayed until the date the Company receives written notification of your death from the executor or administrator of your estate (or your beneficiary, if applicable); (ii) the Company may require the executor or administrator of your estate (or your beneficiary, if applicable) to provide certain information to the Company (including, but not limited to, tax-related information), to the extent permissible under applicable law; and (iii) notwithstanding anything to the contrary in this Agreement, any shares of Common Stock that are issuable as a result of such acceleration will be issued no later than the Issuance Deadline (as defined in Section 6(b) of this Agreement).
• On the termination of your Continuous Service (for any reason other than death), the Restricted Stock Units credited to the Account that were not vested on the date of such termination (and are not accelerated pursuant to any acceleration provided for in the Grant Notice or the Plan) will be forfeited and returned to the Company at no cost to the Company and you will have no further right, title or interest in or to such Restricted Stock Units or the underlying shares of Common Stock. For the avoidance of doubt, Continuous Service during only a period prior to a vesting date (but where Continuous Service has terminated prior to the vesting date) does not entitle you to vest in a pro-rata portion of the Restricted Stock Units on such date.
• Number of Restricted Stock Units and Shares of Common Stock.
1.
• The number of Restricted Stock Units (and the related shares of Common Stock) subject to your Award will be adjusted from time to time for Capitalization Adjustments, as provided in the Plan.
• Any Restricted Stock Units, shares, cash or other property that become subject to the Award as a result of a Capitalization Adjustment, if any, will be subject to the same forfeiture restrictions, restrictions on transferability, and time and manner of delivery as applicable to the other shares covered by your Award.
• No fractional shares or rights for fractional shares of Common Stock will be created by this Section 3. The Board will round down, to the nearest whole share or whole unit of rights, any fractional shares or rights for fractional shares.
• Compliance with Law. You will not be issued any shares under your Award unless either (a) the shares are registered under the Securities Act; or (b) the Company has determined that such issuance would be exempt from the registration requirements of the Securities Act. Your Award also must comply with other applicable laws and regulations governing the Award, including any U.S. and non-U.S. state, federal and local laws, and you will not receive such shares if the Company determines that such receipt would not be in material compliance with such laws and regulations.
• Limitations on Transfer. Your Award is not transferable, except by will or by the laws of descent and distribution. In addition to any other limitation on transfer created by applicable securities or other laws, you agree not to assign, hypothecate, donate, encumber or otherwise dispose of any interest in any of the shares of Common Stock subject to the Award until the shares are issued to you. After the shares have been issued to you, you are free to assign, hypothecate, donate, encumber or otherwise dispose of any interest in such shares, provided that any such actions are in compliance with the provisions in this Agreement and applicable securities or other laws. If permitted by the Board and valid under applicable law, you may, by delivering written notice to the Company’s designated broker, pursuant to a form provided by such broker, designate a third party who, in the event of your death, will thereafter be entitled to receive any distribution of Common Stock to which you were entitled at the time of your death pursuant to this Agreement.
• Date of Issuance.
• The issuance of shares of Common Stock in respect of the Restricted Stock Units is intended to comply with Treasury Regulations Section 1.409A-1(b)(4) and will be construed and administered in such a manner to the extent applicable. The form of such issuance (e.g., a stock certificate or electronic entry evidencing such shares) will be determined by the Company.
• Subject to the satisfaction of any withholding obligation for Tax-Related Items (as defined in Section 10 of this Agreement) and Section 6(c) of this Agreement, in the event one or more Restricted Stock Units vests, the Company will issue to you, on the applicable vesting date (or as soon as administratively practicable thereafter), one share of Common Stock for each Restricted Stock Unit that vests (and for purposes of this Agreement, such issuance date is referred to as the “Original Issuance Date”); provided, however, that the Original Issuance Date will in all cases occur no later than the Issuance Deadline. For purposes of this Agreement, the “Issuance Deadline” means the latest of the following, as applicable: (i) December 31 of the calendar year in which the applicable vesting date occurs (that is, the last day of your taxable year in which the applicable vesting date occurs); (ii) if permitted in a manner that complies with Treasury Regulations Section 1.409A-1(b)(4), the last day of the period set forth in Treasury Regulations Section 1.409A-1(b)(4)(i)(A); or (iii) any date that is permitted without incurring adverse tax consequences under Section 409A of the Code.
2.
• If (i) this Award is subject to any withholding obligations for Tax-Related Items (as defined in Section 10 below) on the Original Issuance Date, (ii) the Original Issuance Date does not occur (1) during an “open window period” applicable to you, as determined by the Company in accordance with the Company’s then-effective policy on trading in Company securities, or (2) on a date when you are otherwise permitted to sell shares of Common Stock on an established stock exchange or stock market (including but not limited to under a previously established Company-approved 10b5-1 trading plan), and (iii) the Company elects, prior to the Original Issuance Date, (1) not to satisfy any withholding obligations for Tax-Related Items (as defined in Section 10 below) by withholding shares of Common Stock from the shares otherwise due, on the Original Issuance Date, to you under this Award, (2) not to permit you to enter into a “same day sale” commitment with a broker-dealer pursuant to this Agreement (including but not limited to a commitment under a previously established Company-approved 10b5-1 trading plan) and (3) not to permit you to cover any withholding obligations for Tax-Related Items (as defined in Section 10 below) in cash, then the shares that would otherwise be issued to you on the Original Issuance Date will not be issued on such Original Issuance Date and will instead be issued on the first business day when you are not prohibited from selling shares of Common Stock on an established stock exchange or stock market or on such other date determined by the Company, but in no event later than the Issuance Deadline.
• Dividends. You will receive no benefit or adjustment to your Award and any unissued shares thereunder with respect to any cash dividend, stock dividend or other distribution that does not result from a Capitalization Adjustment. Following the date of vesting, in the event of any cash dividend, stock dividend or other distribution that does not result from a Capitalization Adjustment, no cash, stock or other property related to such dividend or distribution will be issuable in respect of your vested Restricted Stock Units.
• Restrictive Legends. The shares of Common Stock issued under your Award will be endorsed with appropriate legends if determined by the Company that legends are required under applicable law or otherwise.
• Award not a Service Contract.
• Your Continuous Service with the Company or an Affiliate is not for any specified term and, if permitted under applicable law, may be terminated by you or by the Company or an Affiliate at any time, for any reason, with or without cause and with or without notice. Nothing in this Agreement (including, but not limited to, the vesting of your Award pursuant to the schedule set forth in the Grant Notice or the issuance of the shares subject to your Award), the Plan or any covenant of good faith and fair dealing that may be found implicit in this Agreement or the Plan will: (i) confer upon you any right to continue in the employ of, or continue an affiliation or other service relationship with, the Company or an Affiliate; (ii) constitute any promise or commitment by the Company or an Affiliate regarding the fact or nature of future positions, future work assignments, future compensation or any other term or condition of employment or affiliation; (iii) confer any right or benefit under this Agreement or the Plan unless such right or benefit has specifically accrued under the terms of this Agreement or Plan; or (iv) deprive the Company or an Affiliate of the right to terminate you at any time and without regard to any future vesting opportunity that you may have. The grant of the Award shall not be interpreted as forming or amending an employment or service contract with the Company or an Affiliate.
• By accepting this Award, you acknowledge and agree that the right to continue vesting in the Award is earned only through Continuous Service (not through the act of being hired, being granted this Award or any other award or benefit) and that the Company has the right to reorganize, sell, spin-out or otherwise restructure one or more of its businesses or Affiliates at any time or from time to time, as it deems appropriate (a “reorganization”). You further acknowledge and agree that such a reorganization could result in the termination of your Continuous Service, or the termination of Affiliate status of an Affiliate and the loss of benefits
3.
available to you under this Agreement, including but not limited to, the termination of the right to continue vesting in the Award. You further acknowledge and agree that this Agreement, the Plan, the transactions contemplated hereunder and the vesting schedule set forth in this Agreement or any covenant of good faith and fair dealing that may be found implicit in any of them do not constitute an express or implied promise of continued engagement as an Employee, Director or Consultant for the term of this Agreement, for any period, or at all, and will not interfere in any way with your right or the right of the Company or an Affiliate to terminate your Continuous Service at any time, with or without cause and, if permitted under applicable law, with or without notice, and will not interfere in any way with the Company’s right to conduct a reorganization.
• Responsibility for Taxes.
• You acknowledge that, regardless of any action the Company or an Affiliate takes with respect to any or all income tax, social insurance, payroll tax, fringe benefit tax, payment on account or other tax related items related to your participation in the Plan and legally applicable to you or deemed by the Company or an Affiliate, in its discretion, to be an appropriate charge to you even if legally applicable to the Company or an Affiliate (“Tax-Related Items”), the ultimate liability for all Tax-Related Items is and remains your responsibility and may exceed the amount actually withheld by the Company or an Affiliate, if any. You further acknowledge that the Company and/or an Affiliate (i) make no representations or undertakings regarding the treatment of any Tax-Related Items in connection with any aspect of your Restricted Stock Units or the underlying shares of Common Stock, including, but not limited to, the grant of the Restricted Stock Units, the vesting and settlement of the Restricted Stock Units, the delivery or sale of any shares of Common Stock and the issuance of any dividends, and (ii) do not commit to and are under no obligation to structure the terms of the grant or any aspect of your Award to reduce or eliminate your liability for Tax-Related Items or achieve any particular tax result. You acknowledge and agree that you will not make any claim against the Company, or any of its Officers, Directors, Employees or Affiliates for Tax-Related Items arising from your Award. Further, if you are subject to Tax-Related Items in more than one jurisdiction, you acknowledge that the Company and/or an Affiliate may be required to withhold or account for Tax-Related Items in more than one jurisdiction.
• In connection with the relevant taxable or tax withholding event, as applicable, you agree to make adequate arrangements satisfactorily to the Company and/or an Affiliate to satisfy all Tax-Related Items. In this regard, you authorize the Company and/or an Affiliate, or their respective agents, at their discretion, to satisfy their withholding obligations or rights, if any, with regard to all Tax-Related Items by one or a combination of the following: (i) withholding from your wages or any other cash compensation otherwise payable to you; (ii) causing you to tender a cash payment or requiring you to make a payment in another form acceptable to the Company; (iii) permitting or requiring you to enter into a “same day sale” commitment with a broker-dealer that is a member of the Financial Industry Regulatory Authority (a “FINRA Dealer”) (if required, pursuant to this authorization and without further consent) whereby you irrevocably elect to sell a portion of the shares to be delivered upon settlement of your Restricted Stock Units to satisfy the Tax-Related Items and whereby the FINRA Dealer irrevocably commits to forward the proceeds necessary to satisfy the withholding obligation for Tax-Related Items directly to the Company and/or an Affiliate, including a commitment pursuant to a previously established Company-approved 10b5-1 plan; (iv) withholding shares of Common Stock from the shares of Common Stock issued or otherwise issuable to you upon settlement of the Award with a value equal to the amount of such withholding obligation for Tax-Related Items or such other amount as may be permitted while still avoiding classification of the Award as a liability for financial accounting purposes; provided, however, that if you are an Officer, then the Company will withhold a number of shares of Common Stock upon the relevant taxable or tax withholding event, as applicable, unless the use of such withholding method is not feasible under applicable law or has materially adverse accounting consequences, as determined by the Board, in its sole discretion, in which case, any withholding obligation for Tax-Related Items may be satisfied by one or a combination of methods
4.
(i)-(iii) above; and/or (v) any other method of withholding determined by the Company, provided such method is compliant with applicable law and the Plan.
• The Company and/or an Affiliate may withhold or account for Tax-Related Items by considering statutory or other withholding rates, including maximum rates applicable in your jurisdiction(s). In the event of over-withholding, you may receive a refund of any over-withheld amount in cash from the Company or an Affiliate (with no entitlement to the Common Stock equivalent), or if not refunded, you may seek a refund from the local tax authorities. In the event of under-withholding, you may be required to pay any Tax-Related Items directly to the applicable tax authority or to the Company and/or an Affiliate. Maximum tax rates are based on the applicable rates in your country, including your share of payroll or similar taxes, as provided in tax law, regulations, or the tax authority’s administrative practices, not to exceed the highest rate in that jurisdiction, even if that rate exceeds the highest rate that may be applicable to you. If any withholding obligation for Tax-Related Items is satisfied by withholding a number of shares of Common Stock, for tax purposes, you will be deemed to have been issued the full number of shares of Common Stock subject to the vested Restricted Stock Units, notwithstanding that a number of the shares of Common Stock is held back solely for the purpose of paying the Tax-Related Items.
• Unless any withholding obligation for Tax-Related Items is satisfied, the Company will have no obligation to deliver to you any shares of Common Stock or other consideration pursuant to this Award.
• In the event any obligation to withhold arises prior to the delivery to you of shares of Common Stock or it is determined after the delivery of shares of Common Stock to you that the amount of the withholding obligation was greater than the amount withheld, if anything, you agree to indemnify and hold the Company and/or an Affiliate harmless from any failure by the Company and/or an Affiliate to withhold the proper amount.
• Nature of Grant. By accepting your Award, you acknowledge, understand and agree that:
• the Plan is established voluntarily by the Company, it is discretionary in nature and it may be modified, amended, suspended or terminated by the Company at any time, to the extent permitted by the Plan;
• the Award is exceptional, voluntary and occasional and does not create any contractual or other right to receive future Awards (whether on the same or different terms), or benefits in lieu of an Award, even if an Award has been granted in the past;
• all decisions with respect to future Awards, if any, will be at the sole discretion of the Company;
• the Award is granted as an incentive for future services and in no event should be considered as compensation for, or relating in any way to, past services for the Company or an Affiliate;
• you are voluntarily participating in the Plan;
• the Award and the shares of Common Stock subject to the Award, and the income from and value of same, are an extraordinary item which is outside the scope of your employment or other service contract, if any;
• the Award and the shares of Common Stock subject to the Award, and the income from and value of same, are not intended to replace any pension rights or compensation;
5.
• the Award and the shares of Common Stock subject to the Award, and the income from and value of same, are not part of normal or expected compensation for purposes of, without limitation, calculating any severance, resignation, termination, redundancy, dismissal, end-of-service payments, bonuses, long-service awards, holiday allowance, pension or retirement or welfare benefits or similar payments under any employee benefit plan sponsored by the Company or any Affiliate, except as such plan otherwise expressly provides (and the Company expressly reserves its rights to amend, modify, or terminate any of the Company’s or any Affiliate’s employee benefit plans);
• the future value of the underlying shares of Common Stock is unknown, indeterminable, and cannot be predicted with
certainty;
• no claim or entitlement to compensation or damages shall arise from forfeiture of the Award resulting from the termination of your Continuous Service (for any reason except for your death and whether or not later found to be invalid or in breach of employment laws in the jurisdiction where you are employed or otherwise rendering services or the terms of your employment or other service agreement, if any);
• unless otherwise provided herein, in the Plan or by the Company in its discretion, the Award and the benefits evidenced by this Agreement do not create any entitlement to have the Award or any such benefits transferred to, or assumed by, another company nor to be exchanged, cashed out or substituted for, in connection with any corporate transaction affecting the shares of Common Stock; and
• unless otherwise agreed with the Company in writing, the Award and the shares of Common Stock subject to the Award, and the income from and value of same, are not granted as consideration for, or in connection with, the service you may provide as a director of an Affiliate.
• No Advice Regarding Grant. The Company is not providing any tax, legal or financial advice, nor is the Company making any recommendations regarding your participation in the Plan, or your acquisition or sale of the underlying shares of Common Stock. You should consult with your own personal tax, financial and/or legal advisors regarding your participation in the Plan, and by accepting this Award, you have agreed that you have done so or knowingly and voluntarily declined to do so.
• Unsecured Obligation. Your Award is unfunded, and as a holder of an Award, you will be considered an unsecured creditor of the Company with respect to the Company’s obligation, if any, to issue shares pursuant to this Agreement upon vesting of the Award. You will not have voting or any other rights as a stockholder of the Company with respect to the shares to be issued pursuant to this Agreement until such shares are issued to you. Upon such issuance, you will obtain full voting and other rights as a stockholder of the Company. Nothing contained in this Agreement, and no action taken pursuant to its provisions, will create or be construed to create a trust of any kind or a fiduciary relationship between you and the Company or any other person.
• Other Documents. You hereby acknowledge receipt or the right to receive a document providing the information required by Rule 428(b)(1) promulgated under the Securities Act, which includes the Plan prospectus. In addition, you acknowledge receipt of the Company’s policy permitting certain individuals to sell shares only during certain “window” periods and the Company’s insider trading policy, in effect from time to time and understand that this policy applies to shares received under this Award.
• Notices; Electronic Delivery/Acceptance. Any notices provided for in your Award or the Plan will be given in writing and will be deemed effectively given upon receipt or, in the case of
6.
notices delivered by the Company to you, five (5) days after deposit in the United States mail, postage prepaid, addressed to you at the last address you provided to the Company. Notwithstanding the foregoing, the Company may, in its sole discretion, decide to deliver any documents and transmit or require you to transmit notices related to participation in the Plan and this Award by electronic means. You hereby consent to receive such documents and notices, and to give such notices, by electronic delivery and to participate in the Plan through the on-line or electronic system established and maintained by the Company or a third party designated by the Company from time to time.
• Governing Plan Document/Recoupment. Your Award is subject to all the provisions of the Plan, the provisions of which are hereby made a part of your Award, and is further subject to all interpretations, amendments, rules and regulations which may from time to time be promulgated and adopted pursuant to the Plan. In addition, this Award (and any shares issued under this Award) is subject to recoupment in accordance with the Dodd–Frank Wall Street Reform and Consumer Protection Act and any implementing regulations thereunder, the Company’s Compensation Recovery Policy, as amended from time to time, and any other clawback policy that the Company adopts or is required to adopt, to the extent applicable to you and permissible under applicable law.
• Insider Trading Restrictions/Market Abuse Laws. You may be subject to insider trading restrictions and/or market abuse laws based on the exchange on which the shares of Common Stock are listed and in applicable jurisdictions, including the United States and your country or your broker’s country, if different, which may affect your ability to accept, acquire, sell or otherwise dispose of shares of Common Stock, rights to shares of Common Stock (e.g., Restricted Stock Units) or rights linked to the value of shares of Common Stock during such times as you are considered to have “inside information” regarding the Company (as defined by the laws in applicable jurisdictions). Local insider trading laws and regulations may prohibit the cancellation or amendment of orders you placed before you possessed inside information. Furthermore, you could be prohibited from (i) disclosing the inside information to any third party, which may include fellow employees, and (ii) “tipping” third parties or causing them otherwise to buy or sell securities. Any restrictions under these laws or regulations are separate from and in addition to any restrictions that may be imposed under any applicable insider trading policy of the Company. You acknowledge that it is your responsibility to comply with any applicable restrictions and you should speak with your personal legal advisor on this matter.
• Imposition of Other Requirements. The Company reserves the right to impose other requirements on your participation in the Plan, on the Award and on any shares of Common Stock acquired under the Plan, to the extent the Company determines it is necessary or advisable for legal or administrative reasons.
• Severability. If all or any part of this Agreement or the Plan is declared by any court or governmental authority to be unlawful or invalid, such unlawfulness or invalidity will not invalidate any portion of this Agreement or the Plan not declared to be unlawful or invalid. Any Section of this Agreement (or part of such a Section) so declared to be unlawful or invalid will, if possible, be construed in a manner which will give effect to the terms of such Section or part of a Section to the fullest extent possible while remaining lawful and valid.
• Governing Law/Venue. The interpretation, performance and enforcement of this Agreement will be governed by the law of the state of Delaware without regard to such state’s conflicts of laws rules. For purposes of litigating any dispute that arises directly or indirectly from the relationship of the parties evidenced by this grant or the Agreement, the parties hereby submit to and consent to the exclusive jurisdiction of the State of California and agree that such litigation shall be conducted only in the courts of Santa Clara County, California, or the federal courts for the
7.
United States for the Northern District of California, and no other courts, where this grant is made and/or to be performed.
• Miscellaneous.
• The rights and obligations of the Company under your Award will be transferable to any one or more persons or entities, and all covenants and agreements hereunder will inure to the benefit of, and be enforceable by the Company’s successors and assigns. Your rights and obligations under your Award may only be assigned with the prior written consent of the Company.
• You agree upon request to execute any further documents or instruments necessary or desirable in the sole determination of the Company to carry out the purposes or intent of your Award.
• You acknowledge and agree that you have reviewed your Award in its entirety, have had an opportunity to obtain the advice of counsel prior to executing and accepting your Award, and fully understand all provisions of your Award.
• This Agreement will be subject to all applicable laws, rules, and regulations, and to such approvals by any governmental agencies or national securities exchanges as may be required.
• All obligations of the Company under the Plan and this Agreement will be binding on any successor to the Company, whether the existence of such successor is the result of a direct or indirect purchase, merger, consolidation, or otherwise, of all or substantially all of the business and/or assets of the Company.
• Amendment. Subject to Section 18 above, this Agreement may not be modified, amended or terminated except by an instrument in writing, signed by you and by a duly authorized representative of the Company. Notwithstanding the foregoing, this Agreement may be amended solely by the Board by a writing which specifically states that it is amending this Agreement, so long as a copy of such amendment is delivered to you, and provided that no such amendment adversely affecting your rights hereunder may be made without your written consent. Without limiting the foregoing, the Board reserves the right to change, by written notice to you, the provisions of this Agreement in any way it may deem necessary or advisable to carry out the purpose of the grant as a result of any change in applicable laws or regulations or any future law, regulation, ruling, or judicial decision, provided that any such change will be applicable only to rights relating to that portion of the Award which is then subject to restrictions as provided in this Agreement.
• Compliance with Section 409A of the Code. This Award is intended to comply with U.S. Treasury Regulation Section 1.409A- 1(b)(4) and thus to not be treated as “deferred compensation”, and will be construed and administered in such a manner, and any ambiguous or missing terms that may otherwise be supplied from and/or defined under Code Section 409A in a manner that fulfills such intention hereby incorporated by reference. Each installment of Restricted Stock Units that vests hereunder is intended to constitute a “separate payment” for purposes of Treasury Regulation Section 1.409A-2(b)(2). Notwithstanding the foregoing, if it is determined that the Award fails to satisfy the requirements of the short-term deferral rule and is otherwise not exempt from, and determined to be deferred compensation subject to Code Section 409A, this Award shall comply with Code Section 409A to the extent necessary to avoid adverse personal tax consequences and any ambiguities herein shall be interpreted accordingly. If it is determined that the Award is deferred compensation subject to Code Section 409A and you are a “specified employee” (as determined under Code Section 409A) on your “separation from service” (as defined under Treasury Regulation Section 1.409A-1(h), without regard to any
8.
alternative definitions therein, a “Separation from Service”), then the issuance of any shares, cash or other property that would otherwise be made on the date of your Separation from Service (or within the first six months thereafter as a result of your Separation from Service) will not be made on the originally scheduled date(s) and will instead be issued in a lump sum on the earlier of (i) the date that is six months and one day after the date of the Separation from Service or (ii) the date of your death, but if and only if such delay in the issuance is necessary to avoid the imposition of taxation on you in respect of the shares, cash or property under Code Section 409A.
9.
I, Jen-Hsun Huang, certify that:
• I have reviewed this Quarterly Report on Form 10-Q of NVIDIA Corporation;
• Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
• Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
• The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a- 15(f) and 15d-15(f)) for the registrant and have:
• designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
• designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
• evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
• disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
• The registrant's other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
• all significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and
• any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
Date: August 27, 2025
/s/JEN-HSUN HUANG
Jen-Hsun Huang
President and Chief Executive Officer
I, Colette M. Kress, certify that:
• I have reviewed this Quarterly Report on Form 10-Q of NVIDIA Corporation;
• Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
• Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
• The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a- 15(f) and 15d-15(f)) for the registrant and have:
• designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
• designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
• evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
• disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
• The registrant's other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
• all significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and
• any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Jen-Hsun Huang, the President and Chief Executive Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of his knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.1 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/JEN-HSUN HUANG
Jen-Hsun Huang
President and Chief Executive Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Colette M. Kress, the Executive Vice President and Chief Financial Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of her knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.2 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
I, Colette M. Kress, certify that:
• I have reviewed this Quarterly Report on Form 10-Q of NVIDIA Corporation;
• Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
• Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
• The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a- 15(f) and 15d-15(f)) for the registrant and have:
• designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
• designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
• evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
• disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
• The registrant's other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
• all significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and
• any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Jen-Hsun Huang, the President and Chief Executive Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of his knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.1 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/JEN-HSUN HUANG
Jen-Hsun Huang
President and Chief Executive Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Colette M. Kress, the Executive Vice President and Chief Financial Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of her knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.2 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
I, Colette M. Kress, certify that:
• I have reviewed this Quarterly Report on Form 10-Q of NVIDIA Corporation;
• Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
• Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
• The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a- 15(f) and 15d-15(f)) for the registrant and have:
• designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
• designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
• evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
• disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
• The registrant's other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
• all significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and
• any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Jen-Hsun Huang, the President and Chief Executive Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of his knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.1 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/JEN-HSUN HUANG
Jen-Hsun Huang
President and Chief Executive Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Colette M. Kress, the Executive Vice President and Chief Financial Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of her knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.2 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
I, Colette M. Kress, certify that:
• I have reviewed this Quarterly Report on Form 10-Q of NVIDIA Corporation;
• Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
• Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
• The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a- 15(f) and 15d-15(f)) for the registrant and have:
• designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
• designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
• evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
• disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
• The registrant's other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
• all significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and
• any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Jen-Hsun Huang, the President and Chief Executive Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of his knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.1 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/JEN-HSUN HUANG
Jen-Hsun Huang
President and Chief Executive Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Colette M. Kress, the Executive Vice President and Chief Financial Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of her knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.2 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
I, Colette M. Kress, certify that:
• I have reviewed this Quarterly Report on Form 10-Q of NVIDIA Corporation;
• Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
• Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
• The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a- 15(f) and 15d-15(f)) for the registrant and have:
• designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
• designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
• evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
• disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
• The registrant's other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
• all significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and
• any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Jen-Hsun Huang, the President and Chief Executive Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of his knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.1 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/JEN-HSUN HUANG
Jen-Hsun Huang
President and Chief Executive Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Colette M. Kress, the Executive Vice President and Chief Financial Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of her knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.2 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
I, Colette M. Kress, certify that:
• I have reviewed this Quarterly Report on Form 10-Q of NVIDIA Corporation;
• Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
• Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
• The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a- 15(f) and 15d-15(f)) for the registrant and have:
• designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
• designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
• evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
• disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
• The registrant's other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
• all significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and
• any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Jen-Hsun Huang, the President and Chief Executive Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of his knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.1 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/JEN-HSUN HUANG
Jen-Hsun Huang
President and Chief Executive Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Colette M. Kress, the Executive Vice President and Chief Financial Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of her knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.2 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
I, Colette M. Kress, certify that:
• I have reviewed this Quarterly Report on Form 10-Q of NVIDIA Corporation;
• Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
• Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
• The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a- 15(f) and 15d-15(f)) for the registrant and have:
• designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
• designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
• evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
• disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
• The registrant's other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
• all significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and
• any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Jen-Hsun Huang, the President and Chief Executive Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of his knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.1 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/JEN-HSUN HUANG
Jen-Hsun Huang
President and Chief Executive Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Colette M. Kress, the Executive Vice President and Chief Financial Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of her knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.2 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
I, Colette M. Kress, certify that:
• I have reviewed this Quarterly Report on Form 10-Q of NVIDIA Corporation;
• Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
• Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
• The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a- 15(f) and 15d-15(f)) for the registrant and have:
• designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
• designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
• evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
• disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
• The registrant's other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
• all significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and
• any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Jen-Hsun Huang, the President and Chief Executive Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of his knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.1 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/JEN-HSUN HUANG
Jen-Hsun Huang
President and Chief Executive Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), Colette M. Kress, the Executive Vice President and Chief Financial Officer of NVIDIA Corporation (the “Company”), hereby certifies that, to the best of her knowledge:
• The Company’s Quarterly Report on Form 10-Q for the period ended July 27, 2025, to which this Certification is attached as Exhibit 32.2 (the “Periodic Report”), fully complies with the requirements of Section 13(a) or Section 15(d) of the Exchange Act; and
• The information contained in the Periodic Report fairly presents, in all material respects, the financial condition of the Company at the end of the period covered by the Periodic Report and results of operations of the Company for the period covered by the Periodic Report.
Date: August 27, 2025
/s/ COLETTE M. KRESS
Colette M. Kress
Executive Vice President and Chief Financial Officer
A signed original of this written statement required by Section 906 of 18 U.S.C. § 1350 has been provided to NVIDIA Corporation and will be retained by NVIDIA Corporation and furnished to the Securities and Exchange Commission or its staff upon request.
This certification accompanies the Form 10-Q to which it relates, is not deemed filed with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.
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English
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64k
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T8. Structured & Numeric Reasoning
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T8.1 Structured Multi-Source Consistency Verification
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Full
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According to the financial data in the document, verify whether the cash and cash equivalents balance as of July 27, 2025 can be calculated based on the opening balanceand period change amount of cash and cash equivalents in the first half of 2025. Output the "[Answer]" identifier first, and then output "Y"(yes) or "N"(no), without any additional content.
Output example:
[Answer]
N
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According to the financial data in the document, verify whether the cash and cash equivalents balance as of July 27, 2025 can be calculated based on the opening balanceand period change amount of cash and cash equivalents in the first half of 2025. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output "Y"(yes) or "N"(no).
Output example:
<Your thinking process>
[Answer]
N
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[
"Y"
] |
Easy
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af2757d38bf7b4e4627cb197201f8edcb0e97a170924968fc60065ebcd8744cd
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国家统计局关于2021年早稻产量数据的公告
2021/08/25 09:30
来源：国家统计局
|
Aa
字体：小中大
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分享到：
根据对早稻的实割实测抽样调查推算，2021年全国早稻播种面积、单位面积产量、总产量如下：
一、全国早稻播种面积4734千公顷（7101万亩），比2020年减少16.6千公顷（24.9万亩），下降0.4%。
二、全国早稻单位面积产量5918公斤/公顷（395公斤/亩），比2020年增加173.0公斤/公顷（11.5公斤/亩），增长3.0%。
三、全国早稻总产量2802万吨（560亿斤），比2020年增加72.3万吨（14.5亿斤），增长2.7%。
国家统计局
2021年8月25日
2021年各地区早稻产量情况
播 种 面 积
(千公顷) 总 产 量
(万吨) 单位面积产量
(公斤/公顷)
全国总计 4734.1 2801.6 5918.0
北 京
天 津
河 北
山 西
内 蒙 古
辽 宁
吉 林
黑 龙 江
上 海
江 苏
浙 江 102.0 62.8 6160.9
安 徽 170.9 99.2 5804.5
福 建 97.0 61.9 6378.0
江 西 1218.8 673.0 5521.8
山 东
河 南
湖 北 120.2 71.4 5937.8
湖 南 1219.6 743.8 6098.7
广 东 858.6 524.2 6105.0
广 西 807.5 480.0 5944.2
海 南 111.3 68.1 6123.3
重 庆
四 川
贵 州
云 南 28.2 17.3 6119.8
西 藏
陕 西
甘 肃
青 海
宁 夏
新 疆
注：
1.未列出的省（区、市）没有早稻生产。
2.此表中部分数据因四舍五入，存在总计与分省合计数不等的情况。
国家统计局关于2022年早稻产量数据的公告
2022/08/26 09:30
来源：国家统计局
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Aa
字体：小中大
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分享到：
根据对早稻的实割实测抽样调查推算，2022年全国早稻播种面积、单位面积产量、总产量如下：
一、全国早稻播种面积4755.1千公顷（7132.6万亩），比2021年增加21.0千公顷（31.5万亩），增长0.4%。
二、全国早稻单位面积产量5914.3公斤/公顷（394.3公斤/亩），比2021年减少3.8公斤/公顷（0.3公斤/亩），下降0.1%。
三、全国早稻总产量2812.3万吨（562.5亿斤），比2021年增加10.6万吨（2.1亿斤），增长0.4%。
国家统计局
2022年8月26日
2022年各地区早稻产量情况
播 种 面 积
(千公顷) 总 产 量
(万吨) 单位面积产量
(公斤/公顷)
全国总计 4755.1 2812.3 5914.3
北 京
天 津
河 北
山 西
内 蒙 古
辽 宁
吉 林
黑 龙 江
上 海
江 苏
浙 江 113.1 70.2 6206.5
安 徽 171.4 101.1 5898.5
福 建 97.4 61.6 6326.9
江 西 1220.1 677.2 5550.2
山 东
河 南
湖 北 126.3 75.7 5991.8
湖 南 1212.8 741.3 6112.5
广 东 864.2 520.1 6018.0
广 西 810.7 480.4 5926.7
海 南 112.3 68.1 6063.4
重 庆
四 川
贵 州
云 南 26.8 16.5 6178.5
西 藏
陕 西
甘 肃
青 海
宁 夏
新 疆
注：
1.未列出的省（区、市）没有早稻生产。
2.此表中部分数据因四舍五入，存在总计与分省合计数不等的情况。
国家统计局关于2023年早稻产量数据的公告
2023/08/23 09:30
来源：国家统计局
|
Aa
字体：小中大
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分享到：
根据早稻抽样调查结果推算，2023年全国早稻播种面积、单位面积产量、总产量如下：
一、全国早稻播种面积4733.1千公顷（7099.7万亩），比2022年减少21.9千公顷（32.9万亩），下降0.5%。
二、全国早稻单位面积产量5987.0公斤/公顷（399.1公斤/亩），比2022年增加72.7公斤/公顷（4.8公斤/亩），增长1.2%。
三、全国早稻总产量2833.7万吨（566.7亿斤），比2022年增加21.5万吨（4.3亿斤），增长0.8%。
国家统计局
2023年8月23日
2023年各地区早稻产量情况
播 种 面 积
(千公顷) 总 产 量
(万吨) 单位面积产量
(公斤/公顷)
全国总计 4733.1 2833.7 5987.0
北 京
天 津
河 北
山 西
内 蒙 古
辽 宁
吉 林
黑 龙 江
上 海
江 苏
浙 江 122.1 76.9 6296.5
安 徽 171.2 101.5 5927.9
福 建 94.3 60.1 6378.4
江 西 1202.2 684.5 5694.2
山 东
河 南
湖 北 128.6 77.8 6048.4
湖 南 1204.8 743.2 6168.5
广 东 866.0 529.7 6117.0
广 西 812.7 479.4 5899.3
海 南 112.2 68.7 6117.7
重 庆
四 川
贵 州
云 南 19.1 11.9 6241.7
西 藏
陕 西
甘 肃
青 海
宁 夏
新 疆
注：
1.未列出的省（区、市）没有早稻生产。
2.此表中部分数据因四舍五入，存在总计与分省合计数不等的情况。
国家统计局关于2024年早稻产量数据的公告
2024/08/23 15:00
来源：国家统计局
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根据早稻抽样调查结果推算，2024年全国早稻播种面积、单位面积产量、总产量如下：
一、全国早稻播种面积4754.8千公顷（7132.2万亩），比2023年增加21.7千公顷（32.5万亩），增长0.5%。
二、全国早稻单位面积产量5925.4公斤/公顷（395.0公斤/亩），比2023年减少61.6公斤/公顷（4.1公斤/亩），下降1.0%。
三、全国早稻总产量2817.4万吨（563.5亿斤），比2023年减少16.3万吨（3.3亿斤），下降0.6%。
国家统计局
2024年8月23日
2024年各地区早稻产量情况
播 种 面 积
(千公顷) 总 产 量
(万吨) 单位面积产量
(公斤/公顷)
全国总计 4754.8 2817.4 5925.4
北 京
天 津
河 北
山 西
内 蒙 古
辽 宁
吉 林
黑 龙 江
上 海
江 苏
浙 江 125.8 78.4 6230.2
安 徽 169.9 99.9 5882.4
福 建 95.3 60.4 6334.1
江 西 1206.8 676.7 5607.0
山 东
河 南
湖 北 128.1 78.0 6087.5
湖 南 1210.9 732.9 6052.5
广 东 869.7 527.7 6067.5
广 西 814.9 481.5 5908.7
海 南 112.5 68.9 6124.1
重 庆
四 川
贵 州
云 南 20.9 13.1 6279.9
西 藏
陕 西
甘 肃
青 海
宁 夏
新 疆
注：
1.未列出的省（区、市）没有早稻生产。
2.此表中部分数据因四舍五入，存在总计与分省合计数不等的情况。
国家统计局关于2025年早稻产量数据的公告
2025/08/22 09:30
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根据早稻抽样调查结果推算，2025年全国早稻播种面积、单位面积产量、总产量如下：
一、全国早稻播种面积4742.9千公顷（7114.3万亩），比2024年减少12.0千公顷（17.9万亩），下降0.3%。
二、全国早稻单位面积产量6011.9公斤/公顷（400.8公斤/亩），比2024年增加86.5公斤/公顷（5.8公斤/亩），增长1.5%。
三、全国早稻总产量2851.3万吨（570.3亿斤），比2024年增加33.9万吨（6.8亿斤），增长1.2%。
国家统计局
2025年8月22日
2025年各地区早稻产量情况
播 种 面 积
(千公顷) 单位面积产量
(公斤/公顷) 总 产 量
(万吨)
全国总计 4742.9 6011.9 2851.3
北 京
天 津
河 北
山 西
内 蒙 古
辽 宁
吉 林
黑 龙 江
上 海
江 苏
浙 江 127.1 6279.5 79.8
安 徽 166.5 5969.4 99.4
福 建 96.3 6397.1 61.6
江 西 1209.0 5733.1 693.2
山 东
河 南
湖 北 125.5 6179.5 77.5
湖 南 1208.8 6172.5 746.2
广 东 865.2 6162.7 533.2
广 西 813.6 5921.5 481.8
海 南 112.1 5966.4 66.9
重 庆
四 川
贵 州
云 南 18.7 6333.0 11.9
西 藏
陕 西
甘 肃
青 海
宁 夏
新 疆
注：
1.未列出的省（区、市）没有早稻生产。
2.此表中部分数据因四舍五入，存在总计与分省合计数不等的情况。
附注：
关于早稻产量调查的说明
国家统计局公布的早稻产量数据，由以省为总体抽样调查得出。
（一）调查范围
早稻产量数据由国家统计局各调查总队组织在抽中的200多个国家调查县（市）开展抽样调查和实割实测调查。
（二）调查样本
早稻产量抽样调查由播种面积和单位面积产量抽样调查组成。
早稻播种面积抽样调查在国家调查县（市）抽取的3000多个样方地块中进行，根据调查基础数据推算得出省级早稻播种面积。
早稻单位面积产量抽样调查在国家调查县（市）抽取的面积调查地块中进行，全国共抽取近7000个测产地块，20000多个测产小样方，通过对小样方内早稻进行实割实测，推算得出全省早稻平均单产水平。
（三）测产方法
实割实测是指基层调查员在早稻收获前，按照《农林牧渔业统计报表制度》对早稻种植地块进行逐块踏田估产、排队，抽取一定数量调查地块做出标记，在收割期由各县级调查队员或者辅助调查员对抽中地块进行放样、实际割取样本，再通过脱粒、晾晒、测水杂和称重等环节测量地块单产。省级调查总队根据各抽中地块数据推算全省平均单产。
早稻产量数据是以抽样调查的播种面积与单产相乘得出。
浙江、安徽、福建、江西、湖北、湖南、广东、广西、海南、云南省（自治区）农业厅（委）：
当前，早稻播种、育秧和移栽已从南到北展开。为深入贯彻落实中央1号文件精神，促进粮食生产稳定发展，确保农产品有效供给，必须采取切实有效措施，大力发展早稻生产。现就有关事项紧急通知如下。
一、高度重视早稻生产。早稻是我国重要的一季粮食品种，发展早稻生产，对促进水稻生产，确保国家粮食安全，以及增加农民收入都具有重要意义。从生产看，早稻尽管其产量仅占粮食总产比重的7％左右，但是稳定早稻面积，就稳定了双季晚稻面积，进而就能增强全年水稻生产稳定发展的主动性。从需求看，早稻具有直链淀粉、蛋白质含量高的特点，除直接食用外，还可用于食品、化工、饲料等加工业；同时，早稻生育期较短，生产成本相对较低，受自然灾害影响较小，产量年际间比较稳定。特别是早稻在收获期间气温高，原粮含水量低，不易霉变，是南方水稻产区储备粮的主要品种。从效益看，早稻既是产区稻农的一部分口粮，也是经济收入来源之一。当前，早稻生产面临一系列新情况新问题，部分双季稻主产区由于季节紧、缺劳动力等，“双改单”现象仍可能出现；部分产区早稻生产技术到位率低，影响早稻的稳产高产。特别是今年南方低温雨雪冰冻灾害的滞后影响和局部早稻主产区出现的撂荒问题等，均对早稻生产构成威胁。早稻主产区农业部门要从全局和战略的高度充分认识早稻生产的特殊重要性，加强领导，强化责任，落实措施，切实推进早稻生产发展。
二、千方百计落实播种面积。近两年来，虽然国家采取了一系列强农惠农政策，但早稻面积仍连续两年下降，充分说明稳定早稻面积的难度极大。据近期部分地区种粮意向调查显示，今年早稻面积仍呈下滑趋势。为此，我部决定把落实早稻播种面积作为今年水稻生产工作的首要任务，采取行政人员责任包干的形式加以推进，力争比上年有所扩大，恢复到8800万亩以上水平。各级农业部门要按照我部的统一要求，采取更加有力的措施，促进早稻面积落实。当前，要尽快制定工作方案，明确任务，落实责任，同时，要进一步加强国家各项扶持政策的宣传，加强粮食市场信息引导，加强农技、农机服务，坚决遏制早稻面积下滑局面。广东、浙江和福建等东南沿海经济发达稻区，要坚决遏制季节性撂荒，坚决制止占用优质稻田和“占优补劣”搞建设；湖南、江西、安徽、湖北和广西等早稻生产大省要强化国家良种补贴政策的宣传和落实，加强农田基础设施建设，切实加强行政推动和生产技术服务。
三、坚决遏制稻田撂荒。局部地区出现的撂荒是影响早稻生产稳定的最关键因素。各地要采取切实有效措施，坚决加以遏制。一要采取多种有效形式加大政策宣传力度，使国家强农惠农政策深入人心，充分调动农民种粮积极性；二要充分利用早稻市场价格好、销售旺的信息，引导农民多种、种好早稻；三要针对农村劳动力大量转移的实际，切实加强生产和技术服务，广泛开展代耕、代育、代栽、代管和代收等生产服务，解决劳力短缺农户的实际困难。四要大力培育农村合作组织，大力开展统播、统育、统种、统管、统收、统售，提高早稻生产组织化水平。有条件的地方，还可加大稻田季节性转移力度，既实现早稻生产经营化规模，又有效遏制了撂荒。五要大力发展机械化生产，促进适应不同生态类型农业机械发展，推进农机农艺措施结合，提高早稻生产效率。另外，发展双季稻生产对防避台风、高温等自然灾害有一定作用，要提高农民对发展双季稻生产的科学性、合理性的认识，鼓励农民充分利用南方丰富的光温水资源，大力发展双季稻生产。
四、进一步强化工作督导。按照“行政人员分工分片保面积，技术人员分工分区包技术”的原则，进一步明确工作责任，促进面积、技术、服务等各项工作的落实。对早稻生产，我部实行行政人员分工分省保面积制度，明确部种植业管理司王守聪副司长重点联系湖南省，胡元坤副司长联系云南省，马淑萍副司长联系安徽省，周普国副巡视员联系江西省，全国农技推广与服务中心栗铁申副主任联系广东省，钟天润副主任联系广西省，李立秋副主任联系福建省，谢建华副主任联系浙江省，陈金发副书记联系湖北省。各省农业部门也要参照这一做法，分管种植业的领导、处长和站长要分工包片到市、到县。各级农业部门要切实转变工作作风，帮助解决早稻面积恢复和技术推广中的问题。对早稻面积恢复较大、田间管理技术落实得好的地区，要通过组织召开观摩会、现场会等方式，总结推广经验；对早稻面积持续下滑、工作组织不力的地区，要采取明察暗访的方式，找问题、找差距，确保面积稳定和单产提高。各省农业技术推广部门以及农业部水稻专家指导组，要组织专家分区包片开展技术指导服务。在分蘖、孕穗和抽穗等产量形成的关键季节，要组织专家进行巡回指导，有效提高早稻单产。
五、深入开展高产创建活动。深入开展水稻高产创建活动，首先要从早稻开始。各地农业部门要尽快按照我部粮食高产创建年活动的总体部署，积极争取“十个一”落实，抓紧制定细化工作方案，全面推进高产创建年活动。在落实万亩连片高产示范区的基础上，要集成、组装一套成熟技术，组织开展示范区内稻农技术培训；要建立一支集教学、科研、生产、推广等各方面力量的高产创建活动专家指导组，切实做好生产跟踪和技术指导；要树立高产创建示范标牌，接受群众监督，方便农民观摩学习；要组织生产、科教、技术、统计、企业以及稻农代表等部门和行业专家开展产量验收工作，总结经验，推动工作。我部将于4月上旬召开早稻生产现场会，并举办水稻高产创建启动仪式，全面动员和部署水稻高产创建活动。
近日，一则微博称：“江西一年收获两季水稻，但很多当地人只吃第二季大米，第一季似乎没人吃。这是为什么？由于怕耽误第二季，农民会使用各种方法包括化肥、农药对第一季揠秒（苗）助长。”
这条微博引起较大关注，不少网友将信将疑：早稻真的是化肥、农药催熟的吗？主产地农民吃不吃早稻？人民日报“求证”栏目记者走访了江西、湖南的农业主管部门、水稻专家和种植户。
疑问一：早稻是化肥农药催熟的吗？
【调查】气候才能影响早稻早熟
“一派胡言！”8月23日，记者见到气愤不已的江西省粮油作物局局长刘宝林。“写微博的人缺乏基本的农业常识。” 刘宝林介绍，有效积温和光照决定水稻生长期，过度使用化肥反而会导致水稻“贪青晚熟”，延长其生长期。
听到关于早稻催熟的言论，湖南省水稻研究所副所长赵正洪研究员也连连摇头：“这是对早稻生长特点的不了解。”
赵正洪介绍，早稻属于感温型品种，气候对其生长期影响较大。当有效积温达到一定数值，早稻就会进入性成熟阶段，开始幼穗分化，所以在早稻生长期内，如果气温较高，早稻就容易早熟。
至于化肥和农药的作用，赵正洪说，使用化肥主要是为了高产，并不能缩短早稻的生长期。相反，在早稻生长晚期如果过量使用化肥，可能致使早稻晚熟。而使用农药主要是为了稳产，不会影响到生长期。目前，还没有发现能够缩短水稻生长期的农药。
江西新建县联圩镇均洲村水稻种植大户胡德贵告诉记者，打农药、施化肥能“拔苗助长”还是头回听说。“化肥施过量了，不但缩短不了生长期，还会延长生长期；农药不是想打就打，要根据农情测报来打药。”
胡德贵还介绍，早稻在清明节前撒播，也就是4月份之前完成，今年节气早，撒播碰上了好天气，比往年提前了约一个星期。
那么早稻农药检测指标情况怎么样呢？江西省农产品质量安全监管局局长邓贤贵拿着一份检测报告给记者看：“按照全国统一标准，去年江西抽查了3000份样品，早稻占1500个批次，农药检测等指标的合格率为100%。”
新建县农业局粮油站站长闵印花说，最环保的大米其实是早稻，因为早稻生长期间温度低，病虫害发病率低，用药量很少。赵正洪也提到，湖南早稻一般集中使用一到两次农药，晚稻则在两次以上，所以早稻的农药残留一般要低于晚稻，但两者总体都是达标的。
疑问二：当地农民不吃早稻？
【调查】早稻米质疏松，易于加工成米粉，当地人很爱吃
外地人到江西吃饭，一定少不了米粉。炒米粉作为主食在江西也很常见。
“江西米粉原料80%是早稻米，掺了20%左右的晚稻。”江西省粮油作物局局长刘宝林说，“根本不存在第一季大米没人吃的现象。”
为何米粉以早稻米为主原料？江西省农业科学院水稻研究所所长陈大洲说：“早稻米是高温逼熟，米质疏松易于加工。”
“目前，早稻主要作为国家储备粮和加工原料。”湖南省水稻研究所副所长赵正洪说，国家储备粮对稻谷含水量有要求，不能过高，而早稻成熟期一般是高温天气，易晒干；晚稻成熟期不太容易晒干，含水量达标相对困难。另外，早稻相对较低的销售价格，是其作为加工原料的重要原因。
关于口感问题，陈大洲说：“大多数人都认为中晚稻米口感上优于早稻米，不过早稻米出饭率高，更易饱，也有自己的市场。”
赵正洪介绍，影响口感的主要是稻米的直链淀粉含量、糊化温度、胶稠度（米饭在蒸煮过程中伸长的比例）和蛋白质含量。早稻的直链淀粉含量一般比晚稻高，胶稠度和糊化温度比晚稻低，这使早稻米煮熟后的口感较硬。
闵印花说，为改善早稻口感，该县普遍推广了口感较好的嘉育948号优质早稻常规品种，全县已有20万亩的种植面积。
湖南宁乡县稻丰种粮专业合作社理事长陈石罗告诉记者，通过改良品种，当地也种上了优质早稻，平均下来，每亩早稻也能赚200—300元。“农民自家早稻晚稻都会留，根本不存在只吃晚稻不吃早稻的情况。”
疑问三：早稻营养比晚稻低吗？
【调查】与晚稻比，早稻蛋白质含量略高、易消化，胃不好者可多吃
赵正洪说，从蛋白质的含量来看，早稻的蛋白质含量一般都要高于晚稻。不过，早、晚稻的蛋白质含量一般都不超过10%。所以，米饭并非补充蛋白质的主要渠道。总体上看，早、晚稻的营养差别并不大。
赵正洪介绍，稻米中的淀粉分为直链淀粉和支链淀粉两种。直链淀粉含量高，则易消化，但米饭口感较硬；支链淀粉含量高，米饭口感柔软，但不易消化。南方籼米中，普通早稻的直链淀粉含量大约为25%，晚稻一般为15%—20%，北方粳米的含量大约为8%。这就是为什么晚稻口感要好于早稻，北方粳米的柔软度一般要好于南方籼米。
“糯米饭中直链淀粉的含量大约只有2%，所以糯米饭口感非常柔软，但不易于消化。如果胃不好，可以多吃一些易消化的早稻米。”赵正洪说。
刘宝林介绍，早稻和晚稻主要成分都是淀粉、蛋白质，细微含量区别不足以影响营养成分。
“单纯对比早晚稻的营养没有实际意义。”陈大洲认为，现代人摄入营养的渠道很多，主要靠肉蛋奶，大米已经不算是主渠道了。
据国家统计局调查，2012年全国早稻播种面积5764.7千公顷，总产量为3329万吨，均比上年有所增加。其中，江西面积1389.5千公顷，总产量800.2万吨，湖南面积1424.7千公顷，总产量818.7万吨，两省的早稻播种面积和总产量接近全国一半。（记者 吴齐强 颜珂）
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根据国家统计局公布的数据，在2021年至2025年期间，全国统计中的早稻单位面积产量相比上一年增长幅度最大的是哪一年的哪个城市（在城市维度比较）？先输出“[答案]”标识符，再以“[年份数字] [城市名称]”的格式输出答案，不要输出任何其他内容。
输出示例：
[答案]
2024 湖南
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根据国家统计局公布的数据，在2021年至2025年期间，全国统计中的早稻单位面积产量相比上一年增长幅度最大的是哪一年的哪个城市（在城市维度比较）？进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再以“[年份数字] [城市名称]”的格式输出答案，不要输出任何其他内容。
输出示例：
<你的思考过程>
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2024 湖南
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"2023 江西"
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f2ecb1a533faa2fabb8b150687ede13825d3b21b2c268cf5b31974f8fb4206cd
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1 汽车设计论文:汽车冲压件模具设计论文
1CAE软件的优点
CAE软件实现了计算机与设计人员相互作用，计算机技术发挥其高效率的特长，设计人员发挥其灵活性特点，这样就使模具的制作流程更加灵活，并且提高了模具的生产效率。CAE软件采用计算机技术把设计方案优化，使模具在制作过程中结构合理，工艺参数。CAE软件可以提高企业的生产率，节省时间。CAE软件实现了设计计算的自动化和图样绘制的化，这样就大大节省了设计人员的时间，而且使设计的度提高。CAE的使用使设计到制作的时间减少，从而降低了劳动力和材料的成本。计算机的运转提高了绘图的效率，计算机进行设计的优化时考虑到原材料的使用问题，确保原材料得到充分利用，节省了企业成本，提高了企业的经济效益。
2散热器罩的工艺分析
2．1覆盖件冲压工艺的主要特征
在进行覆盖件的冲压过程中，尽量运用一道工序就可以完成任务，使覆盖件的轮廓清晰，如果覆盖件在两次工艺才成形的话，会导致成形不完整的问题，使覆盖件的质量降低。当覆盖件的形状确定后，尽可能使覆盖件表面平滑均匀，使各个部位的变形程度能够达成统一，在不同的工序完成时，能够确保各个工序能够相互调整，使工序的状态良好。覆盖件上的孔是在各个工艺完成后再制作，以免在孔的形成过程中产生畸变问题。当覆盖件成型以后，就可以进行翻遍等工作，先确定好工料的形状和尺寸，然后对成形的工艺进行分析，对模具的结构进行分析，然后分析在模具成形过程中需要的零部件。
2．2散热器罩冲压工艺分析
2．2.1结构工艺介绍
散热器罩在形状设计的过程中是对称的，在覆盖件的制作中，在水平面上形成X和Y两个方向，这两个方向在制作的过程中设计的深度是不一样的，这就导致了在设计覆盖件的时候，确定形状会存在很多的问题，按照覆盖件制作的特点，为了能够提高制作的效率，就要减少相关的工序，可以将冲孔与两边的工艺在统一的模具中完成，运用水平修边的方法，使修边与侧壁的冲孔工艺同步进行。散热器罩是沿着Y方向对称的，而且其顶部形成一个较为平缓的面，在冲压的时候可以运用正装的方式，这样就不会出现凸模的死角，使模具的形状可以顺利地形成，X边的深度比较大，在制作的过程中需要进行压边操作。
2．2.2冲压方案的确定
在进行冲压的过程中，一般都会经过成形、修边这两个步骤，在成形的过程中，在X方向因为深度比较大，因此要采用拉伸的方式，在修边的过程中一般会采用单工序的方式，在拉伸成形的时候，在覆盖件的制作中一定要注意，一定要在一副磨具中完成，这样才能够确保拉伸的质量。
3散热器罩拉伸成形的CAE分析
3．1CAE仿真分析的功能
在对汽车的覆盖件进行设计时，运用CAE软件，实现了软件的制作的仿真，在运用CAE软件进行仿真的过程中，首先要运用三维建模的方法，建立一个曲面的模型，然后将零部件的模型放到仿真软件中，分析二者是否可以匹配。按照冲压设备在设计中拉伸的效果，从而对接触的方式进行确定。在模具冲压的过程中，可以在参考力学模型的基础上，运用有限元的相关知识，建立有限元的模型，加入零部件的曲面模型中没有确定补充面，这时，就要运用CAE软件进行模型表面的设计，从而能够运用软件自动生成补充面。在CAE软件中，由于网格的自动划分功能并不能很好地实现求解器的需求，当网格被划分完成后，就可以运用CAE对网格进行检测，将那些不合格的网格检查出来。通过对模具的类型进行分析，从而建立分析模型。通过对零部件的分析，从而能够计算出毛坯的尺寸，运用CAE软件对毛坯的尺寸进行进一步的计算，从而确定毛坯的形状，运用CAE软件分析毛坯的主要轮廓，从而能够制作出毛坯的主要模型。在对拉伸筋进行定义的过程中，可以分析出金属的流动状况，能够在制作模具的时候防止起皱问题的发生，从而能够制作出更加平整的模具，运用拉伸筋能够将成形的数据进行模拟和分析，运用拉伸筋建立几何模型，这种方法在计算数据时度比较高，但是，这种方法在建立拉伸筋模型时需要耗费很多时间，而且在建立拉伸筋模型的过程中容易出错。也可以运用建立等效的拉伸筋模型的方法，这种方法能够按照尺寸建立出等效的模型，比较灵活，能够对数据进行地分析，被广泛地应用。
3．2散热器罩的CAE仿真分析
在散热器罩的CAE仿真分析的过程中，在对单元进行划分的时候一定要格外注意，一般都是运用四边形单元，而且要根据模型，设计合理的划分方法，在对自动的网格进行划分后，其中四边形单元占单元总数的大部分。在分析冲压方向的时候，一般都会运用CAE来确定，确保没有死区的产生，而且尽量可以使拉伸的深度减小。为了能够使拉伸成形更加得成功，就必须要对模具的工艺进行完善，要对补充面进行设计，并且要分析压料面的问题，在对压料面进行设计的时候，不能出现凹凸不平的问题，要使压料面保持平整，而且要尽量简化压料面制作的流程。对压料面的工艺进行完善，要确定好压料面的拉伸方向和位置，从而能够使压料面的各个部位都能够均匀分布。在进行压边设计后，确定了拉伸筋的结构后，运用CAE的分析，对模具的起皱问题进行考量，模具的内部如果出现了起皱的问题，可以发现，模具出现起皱的部分几乎都在模具的中心部分，在模具的中间部分，在压边的过程中由于受力不足，而且，在拉伸筋设计的环节存在一定的问题，因此，在解决这种问题的时候，可以运用强化压边力度，或者是增加拉伸筋的数量，对拉伸筋的位置进行调整，将拉伸筋调整到模具的中间部位，也可以通过使用润滑剂，从而能够减小摩擦系数。在对模具进行计算的过程中，一般来说，模具的厚度在0.8毫米的时候，能够形成一个较大的节点，这时不会发生模具起皱的问题，而且不会影响模具的美观度，也不会出现模具出现局部开裂，给汽车带来安全隐患的问题。
4结语
CAE是借助计算机软件，对人们对于模具的生产起到辅助作用，有助于技术人员可以可以采用计算机技术对模具的结构、模具的加工进行制作和设计。随着计算机技术的高速发展，计算机强大的软件和硬件系统为促进了CAE的进一步完善，为模具行业提供了强有力的保障。在运用CAE进行散热器罩进行制作的过程中，能够实现对制作流程的仿真分析，能够实现对模型表面的设计，从而能够运用软件自动生成补充面，确保冲压方向没有死区的产生。
作者：张晨 夏禹 单位：沈阳金杯汽车模具制造有限公司
2 汽车设计论文:工作任务新能源汽车课程设计论文
一、课程学情分析
1.学生与教材分析
新能源汽车检修课程需要学习者有较强的汽车理论基础和动手实践能力，授课对象是五年制（高级）汽车运用与维修专业的学生。该类学生已经在校学习三年，掌握了基本的汽车理论以及常见车辆故障诊断技术。授课教材是《新能源汽车技术》（崔胜民主编，北京大学出版社2009年出版），该教材系统论述新能源汽车技术，重点介绍电动汽车用动力电池、电动机，油电混合动力汽车、纯电动汽车和燃料电池电动汽车的结构、原理及设计方法等，比较适合高年级汽车运用与维修专业的学生使用。
2.课程目标分析
在新能源汽车检修课程的培训过程中，教师采用“行动引导型教学法”中的“任务驱动教学法”，让学生了解新能源汽车发展趋势，重点掌握油电混动汽车和纯电动汽车关键技术，提高学生对新能源汽车的整体认识和动手实践能力。
二、教学方案设计
笔者以丰田普锐斯油电混合动力汽车动力系统的电路故障诊断为例，介绍如何应用工作任务引导学生学习油电混合动力汽车动力系统电路项目。
1.课程任务制定
教师事先用三组线束将丰田普锐斯教学车与其配套的油电混合动力系统电路测试面板相连，一组学生利用故障设置盒在原车设置故障，另一组学生在电路测试面板上找出故障点并排除。具体要求学生做到如下几点：
（1）排除丰田普锐斯油电混合动力系统两个故障点；
（2）实车诊断故障在20分钟之内完成；
（3）查阅丰田普锐斯油电混合动力系统维修手册；
（4）使用丰田汽车专用检测仪（型号IntelligentTesterⅡ）和万用表等设备；
（5）实车操作动作符合人身、车辆的安全规范。
2.课程组织实施
在课堂上，教师依据教学流程，充分利用课堂时间。该课程一体化教学按任务驱动、分层教学、小组合作以及评价总结等学习法来组织教学。
（1）复习课程，引出项目。教师在布置工作任务之前，利用汽车零部件实物、PPT课件，向学生讲解丰田普锐斯汽车动力系统中的驱动桥机械组成和工作原理，回顾上一节课的内容，同时引出动力系统的控制电路，研究其组成、工作特点。
（2）分组定岗，布置任务。教师依据学生学习情况，将学生分成多个小组，每一小组4~5人。每辆教学车配2组人员，老师向小组派发工作任务书。设置故障组人员通过讨论后，利用故障设置盒设置2个故障点，同时评价另一组成员在实车排除故障的实操行为。而排除故障小组接到任务书后，查阅动力系统电路图，分析电路的工作原理，准备车辆保护五件套、丰田汽车专用检测仪、万用表和常用工具等。
（3）任务驱动，分工合作。故障排除组：①检查车辆的安全状况，拉手刹，挂空挡，安装保护五件套。②根据任务书的要求，观察教学车的故障现象并记录。经过小组成员大脑风暴，分析可能引起故障的原因。③利用丰田汽车专用检测仪检测故障码，读取油电混合动力汽车动力系统的数据流。④使用万用表检测动力系统线路的断路或短路，在规定的时间内排除故障，认真填写工作任务书。⑤在工作任务完成后或由于时间关系结束实操行为，恢复车辆的整体原貌，清洁车辆和场地，整理专用设备和工具。故障设置组：通过小组讨论设置故障点，并保持车辆的清洁，不准故意破坏有关车辆安全性能的零部件；在旁边观察故障排除组成员的每一个细节动作，把优缺点认真记录在工作任务书上，如果出现违规操作要立刻制止；根据故障排除组成员在排故过程中的具体表现，综合评价每一位故障排除组成员学习情况，并给予合理的建议。
（4）检查控制，排忧解难。学生在实车排除故障过程当中，记录重要的实操步骤和检测结果。教师时刻监督实习场地的变化，排除一些影响教学进度的因素，发现违规操作，特别是安全问题要立刻要求学生改正。
（5）相互评价，取长补短。学生在规定时间内完成实车故障排除后，开展组内成员自评、小组间互评和教师点评。成员自评主要是提高学生对油电混合动力汽车动力系统电路的认识。小组互评可以使得学生在动力系统电路排故的操作过程中，明白自己的不足。老师点评学生动力系统电路排故的思路、步骤，避免学生走弯路。三种评价有效理顺每位学生的知识结构，学生听取别人的建议，弥补自己的薄弱环节，优化完成项目的方案，灵活掌握新能源汽车的新知识和新技能。
三、课程成绩评定
该门课程的成绩评定由过程性评定和终结性评定组成，二者分值各占50%。过程性评定通过小组成员自评、小组互评和教师点评三种方式共同完成，整个过程必须公正和公开。终结性评定通过平时课后作业和期末闭卷笔试成绩两种方式共同完成。过程性评定是重视学生电路检测、总成拆装的实操行为，而终结性评定是重视学生理论知识的掌握水平，两者结合提高学生的汽车维修专业能力。
四、课程设计体会
1.学生收获
任务驱动是该课程实施的主干，学生主动，教师引导，将“教、学、做”适当地融为一体。学生可以在模拟的汽车维修情境中学习，激发学习兴趣，快速掌握新能源汽车维修技术。个别学生学习能力较差，通过小组成员的通力合作，互帮互带来完成任务，增强其自信心。
2.师资要求
教师在整个课程设计过程中要做大量的工作，例如车辆、工具和设备准备，设计工作任务书和理论课件用的PPT。该课程要求教师有较高的操作技能，及时在教学过程中排除影响教学的因素。
3.存在的不足新能源汽车检修课程是新开课程，教具和设备数量少，而学生多，例如在学习油电混合动力汽车驱动桥结构的项目中，很难开展驱动桥总成的拆装。由于汽修专业学生未进行高压电工（380V）的技术培训，维修新能源汽车高压电部件的技能尚欠缺。
作者：王朝帅 单位：广州市交通技师学院
3 汽车设计论文:问题管理下汽车设计论文
1问题管理需要贯穿汽车设计开发全过程
汽车设计开发粗略地分为造型、详细设计和样车试制这三个阶段。通用汽车专家团队总结出：“在汽车设计开发中，如果问题提出越早越多，则开发成本越低、周期越短，如果问题提出越晚越多，则开发成本越高、周期越长。”例如，在设计阶段，利用三维尺寸分析软件以及RSS（RootSumSquare）计算建立尺寸分析模型，将DTS（DimensionalTechnicalSpecifi-cation）的公差合理地分配到各个总成、分总成、单件，并体现在GD&T（GeometryDimension&Tolerance）上，各零件厂家依照标准加工。此种方式在设计阶段对后期可能出现的问题预警，并且在设计初期解决，使得后期多次的设计变更、模具更改、夹具调整得以规避，从而降低了研发费用，缩短了开发周期，保障了产品的质量，增加了产品的竞争力。又如，人机工程导入产品虚拟设计阶段实时地、并行地进行评估，及时发现问题，尽早地优化产品设计，实现产品开发的同步进行验证产品设计。反之，人机工程不参与虚拟制造的开发，在零件开模之后实车进行验证，发现问题再由产品工程进行必要的更改，如此的开发过程相比同步开发，开发质量明显降低，成本显著提高，并且会带来更长的开发周期。如果能够让汽车开发团队尽量早并尽量多地提出问题，将能够降低汽车设计开发的成本和缩短开发周期，这就要求问题管理贯穿到汽车设计开发全过程当中，特别是造型阶段和详细设计阶段需要鼓励大家尽早地多提问题和快速解决问题，防止问题落到样车试制阶段才发现和提出来，这样解决问题的费用就高，解决的时间周期就比较长。对应汽车设计开发每个阶段的工作内容，汽车开发团队需要及时和尽早地提出问题、处理问题和解决问题。例如在造型阶段，大家需要针对造型的整体风格、造型分缝的大小、造型圆角的工艺可行性、造型零件分区的合理性等等作出评审，并提出和解决问题；在详细设计阶段，大家需要对零件结构的合理性、总布置的可行性、结构刚度等的CAE分析合理性、公差分析通过率等进行评价，并提出和解决问题；在样车试制阶段，大家需要对工装与零件的合格率及匹配度、工艺布局的合理性等进行现场验证和评估，并提出和解决问题。因此，问题管理需要贯穿到汽车设计开发全过程中，才能为快速解决问题提供地保障。如果在某个阶段忽略问题管理，则会使问题提出和解决的速度下降，势必造成汽车设计开发工作迟缓，从而导致汽车设计开发成本的增加和周期的延长。
2问题管理的系统化、体系化、流程化
汽车设计开发的问题管理是如此重要，大家需要把它系统化体系化流程化，这样才能确保来自不同专业领域的工程师人员能够按照统一的规则来完成相应的工作，尽早并快速地提出问题和解决问题。问题管理系统化是指针对某个专业领域的问题管理需要系统化，这样可以防止由于主观因素等原因造成问题的遗漏。例如钣金件设计冲压成型性分析过程中需要考虑哪些要点，冲压成型性问题的提出和解决需要有一套系统化的管理办法，这样不会因为年轻工程师经验不足而遗漏掉某个分析环节的问题。问题管理体系化是指在某个设计开发阶段的问题管理需要体系化，这样可以防止整个开发团队问题管理进度不一致造成问题解决效率低下。例如在详细设计阶段，造型、感知质量、总布置、冲压、尺寸、总装、涂装、车身工艺和工装等问题都会形成问题清单进行管理，但是如果整个项目组没有对这些问题管理进行体系化地管理，会造成某些区域问题解决周期较长，从而影响到整个开发的进度。进一步说，在详细设计阶段，假如只重视了造型、感知质量、总布置、冲压、尺寸、总装、涂装、车身工艺和工装问题这些清单的解决效率，忽略了冲压清单的解决效率，会形成整个车型开发项目进度的短板，延误项目的进程。因此，在某个设计开发阶段有必要对各专业提出的问题清单进行体系化的管理，整体推进问题解决状态，尤其是推动低状态问题的快速决策和解决，确保整个开发周期满足项目的要求。具体做法可以如下：对所有这个清单的总体状态做出把控，并在整个开发团队内共享相关的信息，例如及时该车型开发项目问题解决总体状态表，对低状态问题予以推动等等。问题管理流程化是指问题提出、问题解决、问题关闭需要形成相应的流程，这样可以使团队成员遵循既定的工作规则，避免因为流程不清晰而造成工作的推诿，影响工作效率，从而导致项目延误。对于汽车产品，它的特点非常明显，比如零件众多、特征复杂及材质多样等。这些特点会导致各种感知质量问题。其中，《整车静态感知质量工作流程》就对静态感知质量问题跟踪管理等进行了详细的定义，如在某个开发阶段由静态感知质量工程师进行问题状态管理，问题响应需要问题责任区域在问题清单后3个工作日内完成等等。这样其中的各种角色就能够明确工作的时间节点和工作内容，对于问题提出、解决和关闭都按照这个统一的流程来执行，分工与合作都有章可循，有法可依，工作效率高，问题解决的速度快，从而缩短汽车设计开发的周期。
3问题管理需要专人负责制并常态化
汽车设计开发过程中，各阶段的问题侧重点各不相同，各专业模块各有特点，这就需要针对不同的问题进行专人负责制地管理，并使其常态化，进行常规化、持续化管理，直到项目完成。例如冲压同步分析问题清单就需要有冲压工程背景的冲压工程师来管理，从及时个问题提出到一个问题关闭期间，都需要专人跟踪推动，并在汽车设计开发团队里形成常态化的管理模式。这样做的好处是能够使问题一提出来就能够传递到对应的产品工程师处，并且由提出问题的冲压工程师与该产品工程师密切沟通，共同讨论问题解决的对策，产品工程师再将达成共识的对策落实到具体的产品结构中，冲压工程师再次分析产品数据，验证其冲压成型性，直到问题关闭。例如，冲压工程师做冲压成型性分析后，发现左/右前轮罩外板加强板钣件成形时，在拐角处有开裂现象，立刻将此问题纳入冲压同步分析问题清单跟踪。他找到对应的产品工程师，并一起寻找问题解决的对策，经过双方沟通达成“在此拐角处增加缺口，向内凹5mm，并局部修改产品特征”的修改意见。产品工程师修改此零件3D数模，落实该措施，形成新的产品数模，提供给冲压工程师再次分析，结果满足冲压成型性分析，问题关闭。
4问题管理需要分散与集中并行
在汽车设计开发过程中，对于某个专业领域提出的问题，我们以单一问题清单的形式来管理，由问题提出区域来跟踪管控问题的进度和状态，这就是分散管理。但是由于在整个汽车设计开发过程中，不仅仅涉及到某个专业领域，而是跨多个专业领域，这样的问题就相对比较复杂，需要集中管理。例如，总布置遇到的问题大多数是跨专业科室的，需要集中管理和决策。进一步举例如下，发动机舱布置作为整车开发过程中重要的组成部分，汇集了整车各专业设计因素，集材料、性能、安全、加工、装配、维修、成本及美观等诸方面于一体，充分展示了整车的设计水平，尤其需要多个科室协同进行相关问题的处理和决策。又如，产品工程师在设计开发某个零部件时会遇到与下游科室零件搭接的问题，也需要集中协调和管理。再如，产品设计不满足制造需求，属于跨产品工程和制造工程区域的问题，也需要集中管控，召开专题会议上升决策等，避免由于专业角度不同而无法达成一致意见，妨碍问题的快速决策和解决。另外，在某个设计开发阶段，同时会存在有多个专业领域的单一问题清单，这些清单即使有专人管理，也需要集中汇总状态和做总体控制，这样才能确保整个汽车设计开发的进度不因为某个专业领域问题解决效率低下而拖后腿。
5问题管理需要发挥人的主观能动性
以上措施再，离开了人的主观能动性，也无法发挥作用。因此，在汽车设计开发过程中，必须要发挥开发团队每个人的主观能动性，这样问题管理才能够卓有成效。要发挥人的主观能动性来解决问题，首先就是要形成一致的目标，以解决问题的结果为导向，把大家的意识统一起来，这样行动起来大家参与解决问题的主动性和创造性才能发挥出来。例如为解决“轮罩与裙板图示处配合不美观”这个感知质量问题，感知质量工程师、造型工程师、产品工程师形成一致的目标，就是要彻底解决该问题，使轮罩与裙板图示处的配合能够满足感知质量的要求。这样大家目标一致之后，无论是在讨论方案、实施方案的过程中，大家心无杂念，都积极主动地参与到问题解决当中，一心一意做好各自的工作，直到问题关闭，目标实现。其次要发挥人的主观能动性，我们需要在整个汽车设计开发团队里倡导出一种相互学习相互欣赏共同提升的工作氛围。只有这样，大家才会主动提出问题来共同讨论，知无不言，言无不尽，大家一起集思广益，共同促进问题的解决，从而推动整个汽车设计开发项目向着既定的时间节点和成本目标、质量目标迈进。
6结束语
要使问题管理在汽车设计开发中发挥作用是一个很系统很庞大的工作，本文所述为实际汽车设计开发过程中项目管理实践与应用经验的积累。在中国汽车业设计和创造更多更优的整车产品过程中，我们还需要继续摸索和探寻更加有效可行的问题管理工作模式，使问题管理在汽车设计开发中形成系统和可控制，从而发挥出更大的作用，为缩短项目周期、节约项目成本、达到项目质量而贡献力量。
作者：蓝先 单位：上汽通用五菱汽车股份有限公司
4 汽车设计论文:汽车造型设计论文
一、汽车造型设计职业需求
笔者对汽车造型设计人才的职业能力的研究，从汽车行业近十年来造型设计职业岗位的发展入手，对“企业—部门—岗位—工作内容”的层次进行细分，总结出汽车造型设计人才的具体职业岗位的具体工作内容。文章中的汽车行业人才需求信息主要从三个渠道获得：一是对合资、国企、民营、私企以及汽车设计服务等不同类别企业的调查；二是历年来高校招聘和社会招聘的需求信息；三是网络、文献对国际上汽车企业机构构成和人员配备的介绍。
其一，汽车行业造型设计人才的需求企业。随着汽车保有量的迅速增长，市场对汽车个性化产品和服务的需求，为整个汽车产业链带来了新的发展机遇，整车企业、设计研发企业、零部件制造企业，甚至汽车资讯企业都需要造型设计人员的参与。笔者通过调查了解到，以下类型企业需要聘用汽车造型设计人才：汽车整车开发及生产、汽车零部件开发及生产企业、汽车设计服务企业、汽车销售企业等。
其二，汽车行业造型设计人才的需求岗位和工作内容。在所有企业中，汽车整车企业的设计开发环节最完整，因此文章以整车企业为研究对象，分析其部门设置和人员分布。虽然各个汽车企业的造型部门在结构和组织上有一定的差别，但其对产品策划和工程开发所起到的作用是相同的。文章提出了一个虚拟的具有普遍意义的汽车造型设计部门的基本构架和人员组织。零部件开发企业的造型设计人员，承担了与整车企业造型创意部门人员类似的职责，两者在人才能力需求上比较相似。下面将对不同类型企业的造型设计具体岗位的工作内容进行总结：整车开发及生产企业、汽车设计服务企业与设计造型设计的部门、岗位及工作内容如下：
一是汽车产品策划部门，岗位：汽车产品开发前期研究及开发策划人员（偏向造型策划）。工作内容：包括汽车品市场需求调研、流行趋势调研、竞争品牌及车型调研、品牌前瞻性的研究、市场定位、产品概念的提出等，并具备与设计管理和造型设计以及技术部门的沟通能力。二是设计管理部门，岗位：设计管理人员。工作内容：负责汽车造型设计统筹管理、时间节点控制、情报管理以及设计人员人事、设备及物品的管理，并与相关部门进行沟通。三是造型创意部门，岗位：车身造型设计师、汽车内饰造型设计师。工作内容：理解汽车产品定位，以草图和效果图的形式，分别负责车身或内饰设计项目的造型创意，并与油泥模型师和数字模型师进行一定程度的沟通，在设计时须考虑空气动力学和人机工程学等问题，并与相关部门进行沟通。四是色彩纹理设计部门，岗位：色彩纹理设计师。工作内容：应具有独立的色彩纹理创意的能力，明确产品的整体思路，具有对材质、花纹、色卡的管理能力，以及与其他部门的沟通能力。五是数字模型部门，岗位：Casc表面制作设计师。工作内容：对工程和造型创意有深刻的认识，通过正向C面三维建模，地表现设计意图，并与相关部门进行沟通。A-CLASS表面制作设计师，工作内容：通过逆向A面三维建模，实现模具基础，并与相关部门进行沟通。六是实体模型部门，岗位：油泥模型师。工作内容：透彻地理解造型设计师的设计创意，具有强大的三维模型塑造能力，并向数字模型师传达分面方式。七是设计试制部门，岗位：设计试制工作人员。工作内容：负责样车设计制作、内饰仿真件以及部分表面零部件的制作，并与相关部门进行沟通。汽车零部件开发及生产企业与设计造型设计的部门、岗位及工作内容如下：造型创意部门，岗位：汽车座椅、仪表盘轮毂、数字设备、进气隔栅、车身保险杠、方向盘、车灯造型设计师。工作内容：主要从事具体零部件的造型创新，须熟悉不同车型的造型特点，并能在零部件创新设计中把握其与整车的关系。由于零部件企业的部门设置没有整车企业庞大，往往要求造型设计师向上兼顾产品策划能力，向下兼顾工程协调能力。汽车后市场与设计造型设计的部门、岗位及工作内容如下：一是汽车造型改装部门，岗位：改装造型设计师。工作内容：从事汽车车身造型的局部改装造型创新设计，如轿车翼子板改装设计、货车车头扰流罩加装等，须熟悉不同车型的造型特点，并能在局部的改装中实现特定的改装功能，以及能与工程合作，保障改装后汽车性能。二是汽车车身及内饰美容部门，岗位：汽车美容设计师。工作内容：从事汽车车身贴花、贴膜装饰，汽车内饰的软装改造、内饰装饰品的选配等工作。
二、汽车造型设计人才的职业能力
通过以上分析可以看出，不同企业、部门、岗位的汽车造型设计人才虽然工作内容、难度和综合性各有不同，但从中不难总结出汽车行业中造型设计人才的职业能力需求。
其一，设计把握能力。由于汽车产品开发的复杂性和汽车造型设计部门分工的细化，要求汽车造型设计人员在把握能力方面必须做到：明确汽车整车项目目标与岗位工作目标之间的关系；对岗位工作进程和成果进行把控；并能与其他相关岗位和部门进行良好的协调、沟通。
其二，设计调研能力。因为汽车产品系统层次丰富，开发社会关联度大，周期长，风险大，因此汽车造型设计人员在调研能力方面应做到：通过不同手段实时把握、跟踪与汽车设计相关的社会、经济和技术等资讯，并分析其内在联系，形成独到的设计见解；能够把握汽车造型流行趋势；能够从各种事物及相关设计领域中提炼美、创造美；能够从人的生活方式、城市发展和交通方式等变化中发掘汽车造型设计创意。
其三，设计操作能力。在具体的汽车造型设计操作中，设计师应做到：将抽象的整车设计概念转换成视觉化的造型设计定位；运用汽车草图及效果图清晰地表现造型设计定位中的车身比例、线型特征、功能件排布、材质质感等设计信息；能够用汽车油泥模型对设计进行推敲、展示、评价；并能运用计算机辅助三维设计软件构建汽车造型设计的精细模型。文章通过对汽车行业发展、企业类型及与造型设计相关的部门、岗位和工作内容进行调查、分析，总结出汽车造型设计人才的特定职业能力需求。笔者希望通过对快速发展的汽车行业的人才职业需求和人才职业能力的研究，促进对现有汽车造型设计人才培养方案的制订，以及课程设置、教学内容、教学方法等方面的改革，以适应汽车行业对造型设计人才的需求。
作者：秦燕 单位：重庆理工大学车辆工程学院
5 汽车设计论文:报警器电路设计汽车电子论文
一、汽车电子防盗报警器的发展历程概述
随着科学技术的迅猛发展，汽车盗窃技术与日俱增，已成为全世界汽车领域包括我国在内的重要问题。所以，汽车防盗设计研究不管是对汽车生产商来说，还是对社会保险业以及个人来说都具有非常重要的意义与价值，怎样研制出更为安全、有效以及性极高的汽车防盗设备，较大程度地降低车主的财产损失是当前汽车领域应该加以解决的迫切问题。针对当前世界性的汽车盗窃发展趋势，所有的汽车生产商都在努力研发、改进汽车防盗技术，特别是微电子技术的大踏步前进，更是推动着汽车防盗技术的自动化与智能化发展。截至目前，汽车防盗设备从最初的机械控制，发展到现在运用电子密码、使用遥控呼救、利用信息报警，早期阶段的防盗设备主要是应用在门锁、窗户、启动器、供油、制动器等联锁器件的控制，同时还有专为预防盗窃而设计出的专用型套筒扳手。伴随着科学技术的发展，汽车防盗设备可以说是日益进步与完善，最主要功能就是防护车辆，并持续推出全新的产品。现代化高科技的快速发展促使产品的各个功能不断强大，产品的设计过程与生产过程也更为复杂，这就促使产品的专业性更为重要，汽车电子防盗报警器当然也包含在内。另外，产品的性已经成为当前测量产品性能及质量的核心标准之一，这主要是由于性不但是产品质量的反映，更是产品安全性与维护性等多种性能的代表，因此提升汽车电子防盗报警器性是增强产品市场竞争力与扩大产品市场占有率的重要手段与途径。
二、汽车电子防盗报警器电路性设计的必要性
汽车电子防盗报警器对于保护汽车安全起着至关重要的作用，其性直接决定着汽车的安全性能。因此，针对汽车防盗报警器电路的性设计研究，可以降低汽车电子防盗报警器出现问题的几率，整体提升汽车自身的安全性。下面从五方面具体分析汽车电子防盗报警器电路性设计的必要性:一是能够预防发生故障，特别是降低了误报或者被盗等特殊故障发生的几率，从而确保汽车的安全与长期的使用时间。二是能够从整体上减少电子防盗器的费用成本，因为提升产品的性，就需要质量更有保障的元部件，对一些多余功能的部件调整以及其他部件的性设计、研究、实验等，都需要大量的经费支撑，因此首先就是在费用方面得到保障。但是，产品一旦性得到提升，就能将花费在修费与停机检查费用方面的费用降到低。根据美国某相关公司的实际调查发现，在提升汽车性和维修性研制阶段所花费的每一美元，将会在之后的使用与后勤方面节省至少30美元，即产生30:1的实际效益。同时，性所产生的直接经济效益不但表现在未来实际运用方面，而且在研制过程中还会降低样机研制的所需次数，每减少一个样机，不仅仅能够节省很多资金，而且可以节约大量时间。三是能够大大缩减停机时间，提升产品的可用率，降低汽车发生故障或者被盗的概率。四是可以大幅提升产品的性，增强企业的信誉，提高市场竞争力，拓展产品的销路，实现经济效益的提升。五是性的提升能够直接降低汽车发生其他事故的几率，这样就能降低因多种事故所造成的费用支出，从而避免其他不必要的损失。提升产品的性需要从生产的每个环节着手，但最为重要的是产品设计阶段，因为缺乏合理性的设计，如果想在之后的环节中加以维修并达到预期的性，其几率微乎其微。所以，产品设计者必须具备扎实的性设计基础知识与技能，并能够运用多种方法与手段进行设计，从多个途径寻求产品性的突破。
三、汽车电子电路系统性的设计方案
预计、分析、分配以及改进等一系列产品性研发活动就是所谓的汽车电子电路系统性研发设计，结合产品技术文件与图样，对汽车某个电子电路系统的性进行定量设计，进而促进产品的性更加稳固。这一过程包括确定的性指标、构建的性模型、预计法加速检验性指标、分配的性、分析检验电路的性、筛选元器件等。
(一)建立性指标。
我国在1997年加以修订的《汽车报废标准》，规定凡是非营运类轿车大于等于10年(经过申请通过最多研制15年)或者达到50万公里之后要进行强制性报废，这一规定可以说是汽车电子电路系统性指标的确定范围。尽管当前新出台的汽车报废标准有所改动，但是此规定依然是检测机车各个部件功能性指标的主要参考。依据报废指定标准的15年计算，汽车报废的时间长度约为129，600个小时(按照24小时/天计算)，与轿车共计行驶里程达到50万公里的报废标准，把这两种汽车报废标准的大约值视为同等效率，同国军标准规定的不能低于5，000千米的汽车电子系统故障发生的平均间隔里程数，计算得出汽车电子系统的性指标即MTBF是1，296小时。
(二)确定性模型。
在设计产品的最初时期，通常要依据产品的性指标与其功能，确定具体的性模型，从而为分配性指标作准备。汽车系统一般包括贮备系统、复杂系统与非贮备系统。其中，贮备系统又分为工作贮备系统与非工作贮备系统，而工作贮备系统又分为并联、混联与表决这三个系统，非工作贮备系统又称之为旁联系统;而贮备系统就是串联系统。对于普通的电子电气系统，又可分为并联系统、串联系统与混联系统。并根据具体系统的模块功能确定框图与性模型。构建汽车电气系统的性模型的常规条件是:在整个汽车电气系统之中，除去电子的元器件之外，还包括其他部件部分(例如机械元件、系统软件、同电子的元器件相关的PCB板和连线等)的性都是彻底的;而所有电子元器件的使用时间则是服从分布的指数与故障形式的相互独立。
(三)分配性指标。
分配性指标就是把各个系统中的性指标依照原有的规则分配给各个单元，并把分配所得的结果当做各个单元性的定量要求通过设计加以实现。实际操作中的分配性的方法多种多样，例如评分型的分配阀、层次型分析法以及工程加权型的分配法等，就当前而言，最为简单且容易操作的方法就是工程加权型的分配法，并且涵盖的面积比较广，因此应用愈来愈广泛。所以，针对汽车电子电路系统的性指标分配也是采用工程加权型的分配法进行的。
四、结语
总而言之，一旦汽车防盗器产生故障，车主就很有可能遭受损失，或者是出现错误报警，从而影响到人们的日常生活，因此必须确保汽车电子报警器长期无故障的工作。所以，对汽车电子防盗报警器电路的性设计分析与研究拥有很重要的实际意义。
作者：杜迎丽 单位：南阳农业职业学院
6 汽车设计论文:企业信任论文：汽车行业信任模型的设计
本文作者：邹松林 单位：江西科技学院
汽车制造企业不仅要有上游的供应商，更需要大量的下游供应商，通过分销商将整车销售给顾客，对销售的车辆进行售后服务，并对顾客提出的问题和建议进行反馈，对便于企业的进一步发展。随着我国生活水平的提高，人们对于汽车的需求量越来越大，同时对于汽车制造企业也提出了更高的要求，企业之间的竞争越来越激烈，汽车从零件的采购、组装和销售到顾客的手中，其周期越来越短。当前，我国汽车制造企业虽然取得了长足的进步，但是和国际上先进的企业相比还有一定的差距。其中在售后服务这一方面，与国外的差距更大，需要发挥分销商的优势，进一步的完善。
汽车行业的进入，需要投入大量的资金，并且要有相关的技术资源，这就造成了该行业的进入和退出的成本都相对高，加强汽业制造企业与相关企业的协作关系，可以降低风险，提高效率。
当前，各个汽车制造企业都将汽车的发展与信息技术的发展紧密结合，如条形码技术、EDI技术都得到了广泛的应用推广，从而保障了企业对所售车辆的售后服务质量，提高了工作效率。对于汽车行业的信任模型，国内外的很多专家学者也提出了不同的理论。对于当前研究来看，一般都采用信任的前因及后果两方面的研究来进行评价。在企业信任模型中，信息的有效共享是非常重要的，图2为企业信任的简易模型。
上个世纪，对于企业信任的要素，主要还是以企业领导人的品格进行研究，无法通过科学的数据进行测定。进入21世纪以来，研究人员对于企业信任的研究越来越细致，对于其影响因素的划分也更加具体，其可测性更强了。
（1）与供应商的协作信任。当前，一个企业的能力不仅指的是企业自身的科研、生产等方面的能力，更主要的是指企业与各个供应商的关系。同时企业的声誉在企业的发展中，也占据着十分重要的角色，是一个无形的资产，当企业之间的产品质量相差不大的情况下，声誉在社会上好评的企业将会决定着销售的成败。在汽车供应链中，汽车制造是最重要的，在对零件的采购活动中，当前基本上都是采用竞标的形式进行采购。当生产企业与供应商的关系越密切，表明其彼此之间的信任关系越高。
（2）关系要素。在整个供应链中，汽车制造企业与各个供应商之间的信息进行共享，其内容主要包括：销售量、库存、订单、返修及回收等内容。尽可能缩短汽车在流通环节的时间，提高服务质量，可以使企业之间的关系更加紧密。当两个企业进行合作，通过交易可以使双方不断地加深了解，逐步形成共同的目标和价值观，在相互学习中提高自身的能力，提高双方的满意度，其信任度也越高。在企业交流的过程中，企业的边际人员，如技术人员、业务人员或中层管理人员的相互交流，也可以让企业的信任度得到进一步的提高。
（3）环境因素。对于企业来说，要想在某个国家或地区得到发展，就要考虑其当地的风俗和文化，减少不必要的误解和分歧。当一个企业融入到某个文化中，可以让彼此之间建立起更强的信任关系。
（4）合作绩效。当企业双方进行合作，当彼此之间获得越多的经济利润越多，对于企业间的信任关系也有着积极的作用。
（5）长期合作。当企业之间建立长期的合作关系时，可以让双方协商建立共同的发展目标和远景计划，从而让合作双方建立信心。
本文针对汽车供应链的信任模型展开研究，首先分析了汽车供应链的含义和特征，其次对信任模型展开研究，分析了信任关系中的要素，并建立了对应的理论模型。由于篇幅所限，本文对理论模型的实践并没给出，希望读者进一步的验证。
7 汽车设计论文:汽车电源模拟测试系统设计论文
1测试系统架构
汽车电源模拟测试系统的原理如图1所示，分为波形采集与波形模拟和测试输出两部分。波形采集部分：由于汽车在研发过程中，需经历样车的不同的阶段，在这些过程中，车载电器件的开发也不是一蹴而就的。通常车载电器件根据阶段性被分成C样件、B样件以及A样件（最终稳定状态）。也就是说在样车各阶段时，不能保障每种车载电器件的状态都是A类样件，因此，各阶段时，存在汽车启动瞬间电源电压变化的不同。而启动瞬间电源电压波形的获取较为简单（见图1中波形采集部分），利用示波器，采集汽车蓄电池正负两端在启动瞬间的电压即可。对于波形模拟及输出测试部分，使用NI工控机和程控电源的USB通信，同NI-VISA（virtualinstrumentsoftwarearchitecture）建立连接，通过LabVIEW软件编程录入采集的启动电压波形，并对程控电源进行实时控制，模拟输出，对被测样件实时测试。
2测试系统软件设计
2.1NI-VISA调用程控电源功能的实现
在本测试系统中，工控机采用NI公司的PX-I-8110，可编程直流电源采用TOELLNER公司生产的TOE8815-64。工控机与可编程直流电源之间的通信利用Agilent公司的USB/GPIB转换模块实现[1]。在利用LabVIEW软件设计控制程序时，需要使用LabVIEW软件中的[VISAOpen]子VI，并指定程控交流电源的GPIB地址，例如在本测试系统中程控直流电源的GPIB地址为GPIB0：1：IN-STR，通过这样的设置就可以建立起工控机与直流电源之间的联系[1]。
2.2可编程直流电源的控制指令的实现
在测试系统进行模拟输出时，最重要的是将采集到的波形进行提炼，并通过控制程控直流电源进行输出。在这里，需要设置的参数为电压、电流、时间以及起始和结束地址等。在GPIB模式下，TOE8155的控制可被设置为“听”模式和“说”模式。TOE8155的指令架构符合IEEE-488.2标准，除了上述标准中通用的指令外，TOE8155还具有专门的控制指令集，可通过工控机对直流电源进行参数设置和输出控制，且需要向直流电源传送符合TOE8155语法格式的控制指令[2]。其中，在本测试系统中需要用到的TOE8155特定的部分主要指令有[3]：（1）FBbbb将程序设置为触发模式，循环次数设置为bbb（=0...255）；（2）FCVaaa,eee初始地址为aaa，终止地址为eee间的电压值线性计算；aaa=0...999，eee=0...999；（3）FCCaaa,eee初始地址为aaa，终止地址为eee间的电流值线性计算；aaa=0...999，eee=0...999；（4）FCTaaa,eee初始地址为aaa，终止地址为eee间的时间值线性计算；aaa=0...999，eee=0...999；由于这些特定指令，在LabVIEW中并无现成的控件可供使用，因此，在程序设计时，相当一部分的工作量为针对特定指令控件子VI的编程。以FCV指令为例，其子VI的LabVIEW编程见图2和图3。汽车启动瞬间的电源电压波形不是一个周期性、规律的电压波形，见图4（某汽车启动瞬间的因此，在进行模拟电压的设定时，这种电压信号是由几段不同状态的电压信号组成的，程序定义时不仅要设置每段电压信号的电压幅值、持续时间，和起始终止地址位等信息，还有设置两端相邻电压信号之间的过渡时间[4]。在本设计中，是利用LabVIEW软件中的簇和条件结构实现这一过程的[3]。写入波形程序编辑见图5。
2.3自动测试的实现
前面提到，测试系统中很重要的一部分是波形采集，这个需要针对不同的车型，以及各不同车型的不同阶段。这意味着需要进行大量的模拟波形的调用并输出。因此，采用自动测试的方式可以有效地降低测试人员的劳动强度，更能提高测试系统的效率。在本测试系统中，利用Test-stand与sequenc系列调用测试程序的子VI，其架构见图6[5]。由于成本的考虑，车载电器件往往多为平台产品，但是也存在个别车载电器件是专用件的情况。因此在技术人员选择测试波形的分类时，参考图7的测试流程进行操作。测试系统的操作时，首先选择被测DUT所应用的车型，其次，导入该车型的电源曲线，并进行模拟测试。在测试完成后，判断该DUT是否为平台化产品，如果判定结果为“是”，则导入该DUT所应用的各车型电源曲线，并进行模拟测试；如果判定结果为“否”，则再次进行是否随即抽取模拟波形并测试的判定。若判定结果为“是”，则随机导入电源曲线，并进行模拟测试，若判定结果为“否”，则完成测试，退出程序。
3验证及总结
实现了对汽车在不同研发阶段的起动瞬间的整车电源的采集，利用了LabVIEW以及GPIB总线，实现了对可编程程控直流电源的控制，最终利用NI的TestStand技术，实现车载电器件对模拟采集波形的自动测试，不仅提高了测试效率，而且针对平台化的车载电器件，更能提早并地识别出问题和解决问题。目前该测试系统在某主机厂的娱乐系统的测试中得到了很好的应用。
作者：唐程光 周奇文 李娟 刘成厚 单位：安徽江淮汽车股份有限公司
8 汽车设计论文:汽车壳体优化设计论文
1建模与受力分析
门盖在工作时与汽车壳体之间的接触过程非常复杂，不仅涉及到接触、大位移、大变形等非线性问题，而且由于不同车型的汽车外壳结构不同，选用的材料也不同，所以研究时必须考虑汽车壳体模型.由于研究的主体是门盖，而推动门盖的主动力已知，汽车壳体只是力传递的边界条件，所以引入汽车壳体的简化模型.汽车壳体采用一般小轿车大小4500×1750×1300的简化模型，其材料模型采用线弹性模型，弹性模量取相比结构钢较小的值，这样既可以模拟在压缩过程中出现的较大变形，又避免引入材料非线性影响计算效率，同时对门盖的应力和变形计算影响很小..根据门盖的结构形式和特点，CAE建模时采用壳单元（ShellElement）来划分网格.在不影响分析结果的前提下对门盖进行了必要的简化，如忽略了螺纹孔、圆角及倒角等特征，从而提高有限元模型的质量、减小模型的计算规模.分析模型如图2所示.
2有限元分析
门盖闭合过程中，门盖与汽车壳体之间存在接触非线性.同时，工作过程中汽车壳体的刚度不是恒定的，它随着变形的大小而变化，即存在几何非线性.因此本文作SOL601，106高级非线性静力学分析.非线性分析和线性分析相比，非线性分析的计算时间和计算机存储量要大得多，而且在数值计算方法和求解参数的设定上有较大区别[2].边界条件包括载荷、约束和仿真对象[3].在门盖的左右轴套上分别施加轴承力，力的大小为800KN，方向为沿着油缸的轴向，指向门盖.在汽车壳体的底部作固定约束、门盖的旋转轴处作销钉约束.同时，忽略门盖组件各结合面之间的接触变形，近似将各接触部分看作刚性接触，在FEM下为门盖的各边、面之间添加1D连接[4-5].门盖与汽车壳体之间的接触是非线性的，在仿真模型下，定义高级非线性接触，汽车壳体作为“源区域”，门盖底板作为“目标区域”，“接触参数”保持默认.有限元计算模型如图3所示，分析结果如图4所示（只显示门盖）.根据图形可知门盖较大等效应力为170.76MPa.应力主要集中在门盖的左右轴套上，即油缸与门盖连接处.门盖的材料为Q235号钢，屈服强度为235MPa，可见在该工况下门盖满足强度要求.
3优化设计
有限元分析的最终目的是进行优化设计，现在需要对门盖结构进行优化，优化的目标是模型的重量最小[6-7].约束条件是在不改变门盖模型网格划分、边界约束和载荷大小，并能满足强度要求的前提下，控制较大等效应力值不超过材料屈服强度的70%（约165MPa）.
3.1筋板的布置
根据分析结果可知，应力主要分布在左右轴套处，大部分的筋板受力极小，因此，可通过布置筋板的分布进行优化设计.为便于加工和装配，门盖筋板布置采用均匀分布的方式.设计变量为筋板的数量，原结构中单行设置的筋板数量为10，考虑减重的目标及结构的稳定性，取筋板数量为3-7.图5为筋板数量与门盖较大应力和位移关系，图6为不同筋板数量对应底板的应力分布图.结果表明筋板数量对门盖的较大应力（轴套处）影响较小，对门盖底板的应力分布位置影响较大.底板较大应力发生在门盖油缸轴线方向上的临近筋板与主横筋板接触处，较大应力为N=4时σmax=61.52MPa.综合考虑较大应力、较大位移和底板的应力分布，以及实现减重的目的，确定新结构的筋板数量为4.
3.2筋板厚度的优化
3.2.1灵敏度分析
灵敏度分析是为优化设计做铺垫.通过灵敏度分析可以确定模型各参数对输出结果影响的大小.在模型校正过程中重点考虑对输出结果影响较大的参数，排除那些对输出结果影响很小的参数，这将在很大程度上减小模型校正的工作量，提高优化设计的效率[8-9].NX高级仿真中几何优化模块下提供了全局灵敏度解算方案.设计目标为门盖的重量最小，约束条件为门盖的较大应力，设计变量为筋板厚度.为便于加工与安装，门盖结构中相同结构的尺寸应保持一致.筋板厚度参数主要包括底板厚度T1、主横筋板厚度T2、横筋板厚度T3、竖筋板厚度T4、轴套厚度T5、前板厚度T6、门盖耳套帮板厚度T7和其他筋板厚度T8.对上述筋板厚度进行全局灵敏度分析，获得各参数对设计目标影响的全局灵敏度曲线，将所有灵敏度曲线调整到一幅图表中进行比较，根据各参数的全局灵敏度曲线的斜率大小判断设计参数对设计目标的灵敏程度，最终确定T1、T2、T3、T4.根据各参数对约束条件的影响曲线，确定T5.全局灵敏度曲线如图7所示.由图7（a）可知底板、主横筋板、横筋板及竖筋板的厚度对门盖的重量影响较大，其中底板的影响较大.由图7（b）可知轴套的厚度对约束条件的影响较大.为提高门盖强度以及减轻门盖的重量，主要对底板、主横筋板、横筋板、竖筋板厚度进行减小，同时适当增加轴套的厚度.
3.2.2尺寸优化
尺寸优化是建立在数学规划论的基础上，在满足给定条件下达到经济技术指标[10].NX高级仿真结构优化的解算器采用的是美国Altair公司的AltairHyperOpt，它拥有高效、强大的设计优化能力.结合以上分析结果，进行筋板数量等于4时筋板厚度的优化分析.在“几何优化”对话框中作如下设置：①定义目标：重量定为最小；②定义约束：门盖上的较大等效应力为165MPa；③定义设计变量见表1；④控制参数：选择较大迭代次数为20.经解算，找到方案：底板厚度由原来的52mm修改为45mm，主横筋板厚度由原来的50mm修改为45mm，横筋板厚度由原来的25mm修改为20mm，竖筋板厚度由原来的20mm修改为16mm，轴套厚度由原来的34.5mm修改为35.2mm，为了便于生产，将轴套的厚度圆整为35.5mm.优化后与优化前的分析结果对比见表2.从计算结果可看出，优化后的门盖强度得到明显提高.另外，重量由原来的10496kg降低为8786kg，减重17.2%，取得了优化设计的预期效果.
4结论
通过对汽车打包机门盖的有限元计算模型进行非线性分析，得出了门盖在额定载荷下的应力和位移情况.从门盖的应力云图的动态显示过程可直观地找出门盖的薄弱环节，为门盖的结构优化提供了依据.通过对门盖主要设计参数的全局灵敏度分析，给出了对门盖重量影响较大的参数，提高了优化设计的效率.通过对门盖结构的优化设计，提高了门盖的强度，减轻了重量，降低了生产成本，取得了优化设计的预期效果.
作者：张婷 章泳健 戴国洪 单位：江苏理工学院 常熟理工学院 江苏省机电产品循环利用技术重点建设实验室
9 汽车设计论文:汽车冷却器缓冲罩工艺设计论文
1冲压工艺性分析计算
根据零件的结构特点，冲压工序包括拉深、冲孔、翻边、整形、落料、切边。需要通过计算来确定汽车冷却器缓冲罩的拉深次数。对锥形件进行拉深计算［5］。相对厚度:t/d2=0.021＞0.02(1)相对锥顶:d1/d2=0.665＞0.5(2)相对高度:h/d2=0.376＜0.43(3)从以上计算结果可以看出该锥形件可一次拉深成形［5］。考虑到锥形件拉深时侧壁易产生皱褶的问题，故在拉深工序之后添加整形工序［6］。
2排样图设计
采用单排排样，引导孔定位，有切口的级进模设计方案。考虑到翻边时孔会产生变形，工艺排样的原则是底部预冲孔，再拉深、翻边、整形、然后落料、切断。该零件成形共分为12个工步，条料宽度为114mm，步距为110mm。排样图见图2。
3多工位成形工艺的数值模拟
3.1多工位级进模排样条料模型建立
对于切边、冲孔、落料等相关的工序，在Dynaform里没有实际的模拟过程［7］，故模拟从第4工步拉深开始。简化后工序最终确定为拉深－整形－冲孔－翻边－整形共5个工序。初始的毛坯条料形状设置为第3工序完成之后的形状，其5工位的排样如图3所示，毛坯材料为304不锈钢。为了得到的模拟结果，需将前一步模拟结果作为后一步工序的毛坯导入，图4所示为完成全工序模拟之后的条料排样图。
3.2有限元模型建立及数值模拟
从第4工位拉深开始建立有限元网格模型，如图5所示。根据工艺分析计算，将其主要工艺参数设置如下［8－10］:凸凹模间隙为1.1t，根据理论计算，拉深时压边力为26～35kN之间，取压边力为31kN，凹模、压边圈速度为3000mm•s－1，凹模行程为28mm，压边圈行程为25.5mm，压边圈行程滞后时间为0.00083s。第4工位的拉深模拟结果包括拉深极限图和厚度云图，如图6所示。由成形极限云图6a可以看到，拉深件所有单元的应变均在安全域以内，其拉深区域没有出现拉裂，在其边缘位置和侧壁上部分区域出现轻微的起皱现象。从厚度云图6b可以看出，拉深件的较大减薄区域为底部过渡圆角区，其最小厚度1.291mm，较大减薄率为14%。由于边缘区域要作落料切边处理，不影响零件质量，故只对零件侧壁处起皱区域采样，发现其较大厚度为1.548mm，较大增厚率为3.2%。对于板料拉深成形而言，一般认为变薄率在20%以内，增厚率在7%以内都是可行的［11］，所以该零件在拉深成形之后厚度分布合理。图7为第5工位的拉深整形模拟结果，可以看到经过整形之后侧壁的起皱现象已经基本消失。零件的较大减薄率保持不变，只是底部减薄的区域有所增大。图8和图9分别为翻边及整形工序模拟结果，由于零件翻边底部倒角处最小直径为Φ1.1mm，无法一步成形，故在翻边和整形工序时分别设置此处的凸凹模间隙为1.15和1.1mm，通过挤压方式使其变薄。从模拟结果，该厚度基本达到要求，翻边处没有出现破裂和起皱现象。通过对简化后的多工位级进模进行全工序模拟，其结果如图10a所示，由图可见，零件的成形区域没有出现拉裂现象，起皱情况在整形之后基本消除，模拟结果与实际级进冲压得到的条料(图10b)成形情况比较吻合。以上结果表明，该零件成形工艺方案和工艺参数的设置在实际的生产应用中是合理可行的。
4多工位成形工艺方案试验验证
根据上述有限元数值模拟得出的零件成形工艺方案和工艺参数，生产出汽车冷却器缓冲罩多工位级进模。从图11可以看出，模具主要成形部件采用镶块方式加工，闭合高度为540.5mm，送料高度为34.2mm，在3150kN的压力机上安装试模。图12所示为试模所获得汽车冷却器缓冲罩，可以看出零件的表面光滑，无起皱、破裂的现象发生。利用超声波仪器进行产品的厚度测量，并将其与模拟的结果进行比较，其结果见图13。考虑到产品的对称性，选取了中心截面右侧零件沿Z轴方向的厚度变化值进行比较。从图中可以看出，模拟值与实测值厚度变化趋势一致，实测值小于模拟值，其较大差值为0.043mm，较大相对误差为2.87%。实际零件底部1.1mm处最小厚度为1.091mm，满足产品在此处的厚度要求。目前，该级进模已用于生产实际，每年可生产150万件。
5结论
(1)分析汽车冷却器缓冲罩的结构及其冲压工艺特性，根据级进模设计原则，确定其拉深、整形、冲孔、翻边、落料等12工序的成形方案。(2)利用Dynaform软件对其主要工序拉深－整形－冲孔－翻边－整形进行全工序数值模拟，得到了每步成形工序的板料成形极限图(FLD)，零件壁厚分布图，模拟结果与零件成形要求一致。(3)按照模拟结果得出的成形工艺方案和工艺参数，设计模具并进行了汽车冷却器缓冲罩的试冲试验，数值模拟和试冲结果相吻合，表明利用DYNAFORM软件能为零件多工位成形工艺方案设计和工艺参数设置提供了有效的理论依据。
作者：蔡丹云 丁明明 单位：浙江水利水电学院
10 汽车设计论文:汽车座椅靠背注塑模具设计论文
图1为某汽车座椅靠背零件，该零件属于薄壁平板型塑料零件，外形尺寸为545mm×408mm×2.5mm，外侧(背面)要求光滑，而内侧的结构比较复杂，有五个定位卡槽和两处挂钩，这些地方都需要设计侧向抽芯，如图1所示。另外，为了加强靠背的强度，内侧还设计了网状加强筋。该零件的成型难度主要体现在以下两个方面：(1)零件属于大型薄壁平板类产品，如何控制其成型精度、防止翘曲变形是一大难度。从模具结构角度来看，浇口的数量及位置分布起着关键作用；从成型工艺的角度看，温度、速度以及注射压力是影响成型质量的关键因素。笔者利用Moldflow软件强大的模流分析功能模块[1–2]，对汽车座椅靠背模流过程进行了模拟分析，为模具设计和工艺优化提供指导。(2)在脱模过程中，有12处需要侧向抽芯，侧抽型数量多，空间位置小。
1工艺说明
零件的精度等级要求为MT4级，表面粗糙度符合使用要求。选材要求：抗弯能力强、疲劳强度较高、无毒无害，无辐射，流动性等成型性能好。根据这些要求，选择常用的工程塑料丙烯腈–丁二烯–苯乙烯(ABS)作为零件的材料。通过Pro／E软件对零件的三维造型，特性分析得到塑料件体积、件重[3]。单个塑料件总体积：V单=770.32cm3，单个塑料件的质量：m单=ρV单=1.06×770.32=816.54(g)。由于塑料件的外形尺寸较大，模具采用一模一腔设计，初步估算浇注系统体积为产品体积的8%，即：V浇=61.6cm3，因此，一个注射周期需要注射的塑料熔体体积为：V=V单+V浇=770.32+61.6=831.92(cm3)。
2模具设计
2．1总体结构设计
该塑料产品的尺寸较大，外侧表面要求光滑，因此设计一模一腔的模具结构，采用点浇口进浇，由于主流道末端不便于设置拉料杆，所以利用分流道板拉出主流道凝料。产品内侧需要设计多个侧向型芯，采用滑槽机构完成侧向抽型动作，推杆顶出。模具结构如图2所示。
2．2浇注系统设计
浇注系统是注塑模中从主流道始端到型腔入口之间的熔体进料通道。正确设计浇注系统对获得品质的塑料制品极为重要[4–5]。(1)主流道设计。主流道是连接注塑机的喷嘴与分流道的一段通道，由于与注塑机的喷嘴直接相连，因此将主流道与喷嘴设计在同一轴线上[6]。采用圆形截面，为了提高塑料熔体的流动状态，并且便于凝料的拔出，主流道设计成锥形，锥角α=4°，内表面光滑，经研磨后粗糙度Ra=0.4μm。为防止主流道与喷嘴处溢料，主流道的对接制成半球凹坑，凹球直径取19mm(选定注塑机XS–Z–1000的喷嘴球直径为18mm)。在设计时，选择A型浇口套，其具体尺寸如图3所示。614159174544°R9.5图3浇口套的相关尺寸(2)浇口设计。由于在该产品的内侧需要设计多个侧型芯，而且内侧还有网状加强筋，浇口不宜设置在内侧[7]，所以本设计将浇口放置在产品的外侧，但产品外侧要求光滑，因此，该模具采用点浇口，以减小浇口痕迹对产品外观的不良影响。该产品属于大型平板类零件，一个周期内的塑料注射量大，流程长，浇口的数量和位置分布非常重要，如果浇口设计不合理，极易造成充模不足或产品翘曲变形等缺陷。近年来，Moldflow软件在模具设计与成型工艺优化方面得到了较好的应用[8]，在实际生产中取得了良好的经济效益。笔者在设计时，利用Moldflow软件对塑料熔体的流动充模过程进行了模拟分析，如图4所示。图4a是在塑料件中心处设置一个浇口的情况，由于塑料件投影面积大，流程长，料流末端的拐角处容易出现短料(浇不透)现象；如采用两个浇口，充模情况得到明显改善，如图4b所示。(a)(b)a—一个浇口；b—两个浇口图4浇口数量和位置设计(3)分流道设计。虽然本模具是一模一腔结构，由于采用两个浇口，主流道到浇口之间需要分流，因此需要设计分流道。它是浇注系统中熔融状态的塑料由主流道流入型腔前，通过截面积的变化及流向变换以获得平稳流态的过渡段，应满足良好的压力传递和充填状态，并使流动过程中压力损失尽可能小些，能将熔体均匀地分配到各个型腔。该模具的主流道末端不便于设置拉料杆，笔者采用分流道板来拉出主流道凝料，同时在分流道的末端设计拉料杆，以便在脱模时拉断浇口。该模具中，分流道取圆形断面形状，直径为5mm，开设在分流道板上，如图5所示。
2．3脱模机构设计
模具中采用点浇口设计，需要双分型面分别脱出产品和浇注系统凝料，另外本产品属于薄壁平板型零件，分型面上的投影面积较大，塑料件平均厚度较小(2.5mm)，而且有7处需要长距离(32mm)侧抽芯机构，脱模顶出面不是简单平面，无法利用推板脱模，因此，采用推杆顶出。产品脱模时需要顶出的距离较小，利用Moldflow软件对顶出过程进行综合分析，选用56根Φ12×225mm的推杆以及8根Φ6×225mm的推杆。
3模具工作过程
该模具为三板模结构，设计两个分型面分别取出塑料件和浇注系统凝料，另外，在分流道板和定模座板之间设计了一个辅助分型面，用于拉出主流道凝料。开模过程中需要在分型机构的控制下实现依次顺序分型。首先，当注塑机带动动模座板23向右运动时，动模板15与定模板13之间的分型面I–I打开，同时，点浇口被拉断。当分型到设定距离后，拉环限位螺栓16开始工作，定模座板12与定模板13之间的分型面II–II打开，此时，由于拉料杆9的作用，浇注系统凝料将从定模板13内拉出(停留在定模座板一侧)。继续分型，分流道板拉杆5将开始工作，使分流道板10与定模座板之间的辅助分型面打开，从而将凝料从主流道中拉出，实现凝料的脱出。随后，注塑机顶杆带动推出装置向前移动，推杆将塑料产品从下模板中推出。
4结语
汽车座椅靠背零件外型尺寸较大，采用一模一腔的模具结构。由于零件属于大型薄壁平板类产品，容易发生翘曲变形，运用Moldflow软件对塑料熔体的填充过程进行模拟分析，确定浇口的数量和位置分布，采用两个点浇口进浇，并利用分流道板拉出凝料，实现了浇注系统凝料的自动脱模。经大批量生产验证，塑料件质量符合要求。
作者：吴晓 单位：武汉纺织大学机械工程与自动化学院
11 汽车设计论文:多元智能理论汽车英语课程设计论文
21世纪是创新的时代，随着经济全球化步伐的加快，英语课程在指导思想、教学目标、教学内容、练习、实践、操作方法和手段的选择等方面都必须不断推陈出新。我国为了实现工业化和现代化的目标，对汽车技术应用型人才的需要更趋多样化。而良好的外语沟通能力已成为汽车人才的需要具备能力。汽车英语课程设计是各类学校重点关注的课程，如何把知识和能力结合的更好，是体现其创造力和竞争力的重要表现。因此，本文把多元智能理论引入汽车英语课程设计，为探讨其可行性及策略开辟新的视角，提供新的思路和方法。
一、多元智能理论
多元智能理论（MultipleIntelligencesTheory）由美国哈佛大学发展心理学家、教育学家霍华德•加德纳教授于1983年在《智能的结构》一文中提出后，在世界范围内引发了教育的“革命性”变革。我国于20世纪90年代引进多元智能理论，国内有专家认为，多元智能理论无疑是我们长期以来一直在努力推崇的“素质教育的好全释”；还有人指出：多元智能理论与建构主义理论一道，构成了我国新课程改革的强大理论支撑。多元智能理论指出人类内涵的能力至少有八种：包括语文智能；音乐智能；逻辑—数学智能；空间智能；肢体—运作智能；人际智能；自省智能；自然观察智能。加德纳认为，相对于过去的一元智力理论，多元智能理论能够更地描绘和评价人类的智力能力。加德纳还指出，人类智能还包含有次级智能和多种次级构成要素。
二、基于多元智能理论的汽车英语课程设计
（一）汽车英语课程设计的基本条件
Posner（1994）认为，课程设计的基本条件包括：了解学生的需求、兴趣、能力、知识水平等例如：学生需要什么、需要的原因、已有的能力、待补的能力、已有的基础或条件，缺乏什么等等。熟悉课程情况例如，有能力识别和解释该课程的基本概念和技能，和细致的有关知识，目前这个课程的开设情况等。擅长听说读写译五项必备能力，具有丰富教学经验，而不是简单的拼凑、复制、模仿依据以上课程设计的基本条件，做好高职英语课程设计就要求教师进行问卷调查或访谈学生已经完成的课程标准或已经具备的语言知识，要求通过参考有关著作、论文、同类课程、教材等，与同行交流，收集积累案例或经验等等。
（二）汽车英语课程设计的标准
根据Furey提出的标准，高职英语课程设计必须把握下列标准：
1.是否有足够的理论依据英语课程设计必须基于什么样的科学理论基础，是否遵照其本身的科学性和社会性？
2.是否适合学生目标在从事高职英语教学中，教师要因材施教。不但熟悉、掌握学生的自身学习情况、学习兴趣，也注重培养学生的实际效果性。
3.是否具有成功实施的可能性和效果的可评性在从事高职英语教学中，教师要不断自评课程设计的真实效果。
（三）汽车英语课程设计的内容
汽车英语课程设计的内容取决于授课的理念。针对英语语言，如果认为语言是符号系统，课程设计就由语音、词汇、语法、句型构成，强调语言形式的正确性；如果视语言为交际工具，课程设计要考虑的是交际的人，交际发生的条件、交际的目的等。英语课程设计关注的不仅是语言形式的正确性，还有社交的适当性。在教学研究过程中，在多元智能理论的指导下，根据调研结果对课程教学内容进行逐步更新，教材从最初的纯英文阅读形式的到单独开发学生的专业英语阅读能力，从听、说、读、写等能力的平行拓展，汽车专业英语校本教材内容新颖，图文并茂，根据主题确定教学内容、重点及难点，融专业英语听、说、读、写训练于一体，重点突出，实用性强，有利于开发学生的多元英语语言智能，改善课堂教学氛围，提高教学效果。
三、多元智能理论下汽车英语课程设计需注意的问题
首先，汽车英语以提高口语交际能力为本位，突出应用性本课程在对汽车企业英语应用能力需求深入调研的基础上，按确定工作任务模块、同时突出语言技能的要求制订教学大纲和授课计划，明确了教学应达到的知识标准和技能标准。其次，课程体系整合突出性、逻辑性、典型性和实用性本课程以国际汽车行业近期的知识体系为基础，以市场为导向，将传统汽车英语课程的以训练专业英语阅读能力为主体的教学内容，整合成为汽车构成的4大部分分别为发动机、底盘、车身、电气设备以及发动机的两大机构五大系统和底盘的传动系统、行驶系统、转向系统和制动系统等各个任务模块以系统的知识主题构成课程内容体系。，教学手段优化，突出多元英语智能培养在教学实践中，注重将互动教学、角色扮演、案例教学、多媒体听力、课件加视频等教学手段相结合，增加学生的学习兴趣，提高其用英语分析和理解专业知识的能力和用英语进行专业领域的交际能力，并结合具体课程内容指导学生进行延伸性思考，以增强学生的创新能力，促进学生多元智能的发展。
总结
多元智能理论可以说是治疗教学中片面性的一剂特效药，也是寻求教学策略的一个突破口。它对于激发课堂活力、激活学生智能起着举足轻重的作用，为广大教师改革教学方法、创新教学途径、提高教学质量指明了方向。在汽车英语课程设计方面，还将继续改进整体规划，加强课程结构分析和学习领域设计，优化教材内容、形式和课程考核方式，丰富教学情境设计与课堂教学活动，将专业英语教学改革推向一个新的阶段，提高学生多元英语智能培养的实效性。
作者：宋敏 单位：长春汽车工业高等专科学校公共教学部外语教培室
12 汽车设计论文:转换器汽车设计论文
一、汽车系统中的瞬变
尽管汽车的标称电池总线电压为12V，但是视交流发电机充电时间的不同而不同，该电压可能在9～16V范围内变化。此外，铅酸电池电压在出现各种临时情况时，会有很大变化。冷车发动和停启情况可能将电池电压拉低至3.5V，而抛载可能使电池总线电压升高到36V。因此，电源IC必须能够地调节输出，以平稳应对各种输入电压变化。冷车发动/停启和抛载时，使用单节铅酸电池的多种临时电压摆幅如图2所示。请注意，恰当的电源IC(此处是LT8616)可调节3.3V输出，平稳应对这两种临时情况。
二、高效率工作
在汽车应用中，电源管理IC以高效率工作很重要，这主要有两个原因。首先，电源转换效率越高，以热量形式浪费的能量就越少。因为热量是任何电子系统实现长期性的天敌，所以必须有效管理热量，这一般需要散热器以提供冷却，从而增大了总体解决方案的复杂性、尺寸和成本。第二，在混合动力或电动汽车中，电能的任何浪费都会直接减少可行驶里程。直到不久前，高压单片电源管理IC和高效率同步整流设计还是相互独立的，因为各自所需IC工艺不可能同时支持这两种功能。以前，效率较高的解决方案是高压控制器，这类控制器用外部MOSFET实现同步整流。然而，与单片解决方案相比，对于低于15W的应用而言，这类配置相对复杂、笨重。幸运的是，现在市场上已经有新型电源管理IC，能够通过内部同步整流同时提供高压(高达42V)和高效率。
三、始终保持接通系统需要超低电源电流
很多电子子系统需要以“备用”或“保持有效”模式工作，在这种状态时以稳定电压吸取低限度的静态电流。在大多数导航、行车安全、车辆安全以及发动机管理电子电源系统中，可以看到这类电路。此外，这些子系统都可能使用几个微处理器和微控制器。最豪华的汽车上有超过150个这类DSP，其中约20%需要始终保持接通工作。在这类系统中，电源转换IC必须以两种不同的模式工作。首先，当汽车行驶时，给这些DSP供电的电源转换电路一般会以电池和充电系统馈送的满标度电流工作。然而，当汽车点火装置关闭时，这类系统中的微处理器必须保持有效，从而需要其电源IC提供恒定电压，同时从电池吸取低限度的电流。既然可能有超过30个这类始终保持接通的处理器同时运行，那么即使点火装置关闭，对电池的功率需求也是非常大的。因此，可能总共需要数百毫安(mA)电源电流给这些始终保持接通的处理器供电，这有可能在几天时间内彻底耗尽电池电量。所以，这些电源IC的静态电流必须极大地降低，以在不增大电子系统尺寸或复杂性的前提下，延长电池寿命。直到不久前，就DC/DC转换器而言，高输入电压和低静态电流要求还是相互排斥的。为了更好地管理这些要求，10年前几家汽车制造商设定了低静态电流目标，即每个始终保持接通的DC/DC转换器<100μA，但是今天的是低于10μA。幸运的是，新一代电源IC已经推出，可在备用模式提供低于5μA的静态电流。
四、尺寸更小的电源转换电路
有几种方法减小电源转换电路的尺寸。一般而言，这种电路中较大的组件不是电源IC，而是外部电感器和电容器。通过将这类IC的开关频率从400kHz提高到2MHz，就可以极大地减小这些外部组件的尺寸。但是为了有效达到这一目的，电源IC必须能够在这类较高频率上提供非常高的效率，以前这是不可行的。不过，采用新的工艺和设计方法，已经开发出能够以2MHz频率切换同时提供超过92%效率的同步电源IC。高效率工作较大限度降低了功耗，因而无须散热器。高效率工作还有一个额外的好处，即保持开关噪声位于AM频段以外，这一点在任何噪声敏感电子产品中都是很重要的。另一种显著减小电源转换电路尺寸的方法是，当需要两个单独的电压轨时，采用双通道转换器而不是两个单独的器件。因为一个双通道转换器IC的尺寸仅略大于相同的单通道转换器，因此其解决方案占板面积可以仅为两个单独转换器合起来所占面积的一半。此外，双通道转换器可较大限度减小不想要的通道间串扰，而两个相邻单个转换器的串扰可能造成问题，除非它们同步至一个共同的时钟。如果包括外部时钟和同步功能，会增大电路的尺寸、复杂性和成本。五、新型解决方案LT8616是一个多输出、高压同步降压型稳压器系列的首款器件。其3.4～42V输入电压范围使该器件非常适合汽车应用，因为这类应用既会遇到冷车发动或停启情况导致的低压瞬态，又会遇到抛载情况导致的高压瞬态。其双通道通道具备1.5A和2.5A连续输出电流能力，同时提供0.8V至略低于VIN的输出，因此非常适合用来提供多种直接由车辆电池总线而来的汽车电压轨。该器件是一款占板面积非常紧凑和简单的双输出解决方案，无须任何外部二极管。其原理图如图3所示。LT8616的同步整流设计包括用于每个通道的内部顶部和底部MOSFET，每个通道都提供高达95%的效率。图4显示，当用标称12V输入给5V负载供电时，该器件可提供超过95%的效率，当同时给3.3V负载供电时，效率为94%，甚至在开关频率相对较高的700kHz时。这种高效率工作较大限度减小了功率浪费，同时甚至在空间最受限的应用中，也无须散热器。在电动汽车和混合动力汽车中，这种特点的直接作用就是，延长了电池一次充电的可行驶里程。此外，LT8616的突发模式(BurstMode)工作将两个通道的无负载静态电流降至仅为5μA，从而使该器件非常适用于始终保持接通应用，因为这类应用即使在无负载时也必须保持恒定电压调节，以较大限度延长电池寿命。这一点尤其重要，因为始终保持接通的系统越来越多。另外，纹波非常低的突发模式工作拓扑将输出噪声较大限度减小至低于10mVPK-PK，从而使该器件适合用于噪声敏感应用。如果应用需要外部同步，那么可以用脉冲跳跃频率模式取代突发模式。LT8616非常低的压差电压特性也很有益，尤其对必须在停/启或冷车发动时调节输出的应用而言。图4显示，一旦输入超过2.9V，即使当输入电压降至低于设定的输出电压时，在本图情况下为5V，输出也始终为2A且比输入电压低500mA。这一点很重要，因为很多电子控制模块(ECM)需要一个或多个微处理器/微控制器。尽管这些微处理器/微控制器设计为用标称5V电压工作，但是电源低至3V时，它们仍然继续工作。而在冷车发动情况下，输入可能降至3.4V，所以微处理器仍然可以继续工作，从而使电子控制单元(ECU)在冷车发动情况下一直无缝运行。另外，LT8616的最短接通时间仅为非常短的30ns，这允许以2MHz恒定频率从24V输入提供1.5V输出，从而使设计师能够优化效率，同时避开关键的噪声敏感频段，例如，AM收音机频段。即使在输入电压高于16V时，LT8616也将提供低至1V、良好稳定的输出电压。由于以较高开关频率工作可减小外部组件尺寸，所以LT8616的2MHz开关频率允许实现占板面积非常紧凑的解决方案。此外，也已经有了较大限度减轻潜在EMI/EMC问题的特殊设计方法。LT8616采用了双通道设计。每个通道都有内部集成的上管和下管高效率电源开关以及必要的升压二极管。它们的振荡器、控制和逻辑电路都是共享的，并集成到单个芯片中。两个通道以180°反相工作，以较大限度减小输入和输出纹波。特殊设计方法和一种新的高速工艺在很宽的输入电压范围内实现了高效率，LT8616的电流模式拓扑实现了快速瞬态响应和的环路稳定性。其他特点包括内部补偿、电源良好标记、坚固的短路保护输出软启动/跟踪和过热保护。28引线3mm×6mmQFN或28引线耐热增强型TSSOP封装与高开关频率相结合，允许使用尺寸很小的外部电感器和电容器，从而提供了占板面积非常紧凑和高热效率的解决方案。
五、结论
汽车中复杂电子系统的快速增加导致对电源管理IC出现了更高的要求。通过使用双输出电源IC，汽车设计可以显著减少电源转换电路所需空间。再加上2MHz开关频率，还可以显著减小外部组件(即电感器和输出电容器)的尺寸，从而可提供占板面积非常紧凑的双轨解决方案。这类紧凑型设计非常坚固，能够承受停启、冷车发动和抛载情况导致的瞬态变化，同时调节两路输出。此外，超低静态电流使两个通道非常适合始终保持接通系统。随着越来越多的电子系统添加到日益缩小的空间中，较大限度减小解决方案占板面积同时较大限度提高效率也变得至关重要了。幸运的是，满足这些要求的新一代电源IC已经上市，从而为未来汽车中增加更多电子产品创造了条件。
作者：JeffGruetter单位：凌力尔特公司
13 汽车设计论文:纯电动汽车设计论文
1驱动系统参数匹配
驱动系统是纯电动汽车的核心，其基本特性参数的选配必须满足整车动力性能要求。通过计算，合理选择动力系统各部件的参数，并将其进行有效匹配，才能设计出高性能的纯电动汽车。
1.1电机较大功率计算
为满足纯电动汽车整车性能，通过3种方法计算电机较大功率Pnmax，即:根据汽车较高车速确定的功率即额定功率Pne;爬坡度确定的功率Pna;加速性能确定的功率Pnc。根据整车设计参数，可计算出上述3个功率值，取其中较大者作为电机较大功率选取参考值，即Pnmax≥maxPne，Pna，P[]nc。根据表1、2所给出的参数，由以上公式(1)—(3)，计算求得Pne为22.64kW，在坡度为20°，以35km/h的车速爬大坡时，Pna为55.66kW，同时求得Pnc为45.78kW。因此，取Pna的值作为电机较大功率选取的参考值。
1.2电机功率与转矩选择
电机在工作时，其性能分为连续工作性能和短时工作性能。电机的额定值决定了其连续工作特性，短时工作特性是电机过载一定倍数之后的转矩功率特性。在电机转速与转矩选择时，通常以纯电动汽车的常规车速来确定电机的额定转速(电机通常运行的转速)，再通过电机的额定功率和额定转速求出电机的额定转矩。
1.3电池组参数设计
动力电池是纯电动汽车的动力源，其携带的总电量是整车动力性和续驶里程的基本保障。电池组的总电量与电池单体的容量和组合形式有关，而动力电池的单体电压和组合形式又直接决定了其为电机提供总电压的大小。动力电池参数匹配主要包括电池类型的选择、电池组电压和容量的选择。根据纯电动汽车对目标性能的要求，综合考虑整车所需的动力电池总电量、动力电池单体类型以及其组合形式后，计算确定动力电池单体数量。
2底盘系统设计
在纯电动汽车底盘系统中，动力系统需要重新架构，因此总布置方案改变较大。目前，电动汽车底盘设计主要运用2种方式，即:根据设计需求，在传统车平台基础上进行局部改制;开发“电动化、模块化、智能化、集成化”全新理念的底盘系统。本文采用的方式是基于原有车型平台进行局部改制。底盘系统中，大部分子系统的工作原理没有发生变化，改制后需对底盘及整车进行重新总布置，重新计算轴荷分配对悬架系统性能造成的影响，然后对悬架系统做出相应调整。
2.1电机、减速器布置
电机、减速器的布置在原发动机前舱布置的基础上进行，布置时应考虑如下几个因素(以下X、Y、Z方向为车辆坐标系坐标轴方向，即当车辆在水平路面上处于静止状态，坐标原点与质心重合，X轴平行于地面指向正前方，Y轴指向驾驶员右侧，Z轴通过汽车质心指向正上方):1)电机、减速器外轮廓距离左右纵梁的空间宽度应一致，以便于安装悬置;2)减速器输出轴中心线布置在满载前轮中心线附近，差速器输出轴与前轮中心连线尽量接近;3)减速器后部应与副车架、转向机构都留有安全距离;4)电机三相线进线与控制器出线方向位置相协调;5)半轴在YZ平面内与Y方向夹角，空载时应小于15°，满载时小于7°;6)电机布置位置应在整车满载条件下确定。确定减速器输出轴位置后，电机定位可绕减速器输出轴旋转，电机的轮廓上限不超过纵梁上平面，电机右侧为3相线接口，电机控制器放置于电机正上方;电机位于减速器右侧，如图2所示(以下示意图均是通过对各元件的简化建模后得到)。差速器中心平面相对XZ平面偏左200mm，电机减速器集成体外轮廓距左侧纵梁最小170mm，距右侧纵梁最小60mm。该设计方案中，根据电机减速器集成体的尺寸分布，将差速器中心平面布置与整车中心平面基本重合，左右半轴通过万向节将车轮与减速器的输出轴连接起来，在YZ平面上，左右半轴与前轮中心线的夹角相等，在核算半轴与前轮中心线夹角时计算一侧即可，如图4所示。装配时电机、减速器集成体与车架的连接点一共有3个，分别位于左侧纵梁、右侧纵梁、副车架。左侧纵梁悬置轴线平行于Y方向，限制X和Z方向运动;右侧纵梁悬置轴线平行于X方向，限制Y和Z向运动;副车架上的悬置轴线平行于Y方向，限制X和Z方向运动。
2.2前后舱元件布置
如上所述，将电机、减速器布置在原发动机前舱位置，同时DC/DC、电机控制器、空调压缩机等相应电气装置均布置在前舱。可利用各元件的外形尺寸将各元件简化为长方体模型进行布置，从车辆前舱上方往下俯视，如图5所示。原车的后舱容积约为0.43m3，将车载充电器、电源管理器、配电箱、直流空气开关布置在后排座椅背后，并且设计拱形支架，使其不影响备胎的放置，布置示意图如图7所示。同时，可设计一个大盖板，将这几个器件盖住，以达到从后面看车内美观的效果，后舱电器盖板采用塑料件制成，以减轻整车质量。
2.3动力电池布置
本设计将电池单体集中布置于一个电池包中，动力电池包中共布置了100个电池单体，包内电池单体总共分为6排，沿车辆X方向，前部3排电池卧放，后部3排电池立放，以保障其与后排座椅地板形状相统一，同时通过串联形式将所有单体进行连接，如图8所示。电池包采用无上盖结构，利用车身地板及四周安装板和加强板形成电池包的上盖。电池包外壳可采用钣金件折弯和焊接的工艺形成箱体，翻边形成安装板，可实现在安装孔定位时与车身地板的模具统一起来。同时，电池排布上充分利用车身地板下方空间，与车身地板的形状一致，以较大程度节省空间，为避开后轮摆臂安装座和后轮罩在电池包后部两边开有2个缺口，如图9所示。动力蓄电池布置在座椅地板下方，并且尽量保留了车身地板形状，该布置的电池包是车辆的最小离地间隙位置，如图10所示。该布置保障了驾乘人员安全，给货仓和备胎留下了一定的空间，同时还考虑了电池包整体快速更换原则，方便电池包的整体更换。该动力电池单体质量为3.1kg，电池单体共310kg，加上电池包壳体及加强等附件结构，电池包总质量约385kg。该布置后电池包重心位置距离前轴水平距离为1558mm，前、后轴轴荷比例分别为49.4%和50.6%，满足GB7258—2012中关于轴荷的要求。
3车身设计
纯电动汽车车身设计是整车设计的重点之一，其设计效果对整车性能(如续驶里程、加速时间、爬坡性能等)的影响显著。同时，车身必须达到足够的结构强度以及满足其他性能指标(如安全、耐久性、NVH、工艺等)。国内外对纯电动汽车车身设计研究较多，目前主要是应用多种轻量化材料，同时集成结构设计优化和先进制造技术及工艺等手段进行设计［8］。基于以上所述，本例中电池包安装在车身地板下方，其外壳设计及电池单体布置时尽量与车身地板的形状一致。同时，电池包布置时考虑了整体快换原则，根据设计需要及电动汽车相关安全规定，上车体可直接由原传统车平台提供，但原车身地板在结构上必须做出相应更改。
3.1更改因素
为满足要求，设计地板时考虑的因素如下:1)电池包安装于车身地板下方，根据电池实际布置，为达到电动汽车安全法规相关要求，需抬高地板高度;2)车身地板下方要根据电池包外壳的形状设计密封的加强梁，用于安装电池包，并且与电池包共同形成电池包空间;3)车身地板下方需焊接3个支撑杆，该支撑杆用于支撑电池包中部变形产生的载荷，同时也用于安装时的定位;4)车身地板上方需设计螺孔，用于安装中央通道盖板;5)设计中后排地板高度升至与前座椅安装支架一致，需在车身地板上重新设计凸台结构用于座椅安装;6)车辆地板结构发生变化，侧碰刚度发生变化，需重新校核，车身地板的承载能力同时也需要校核;7)新设计车身地板与周围钣金件的连接与原车不同，需重新设计。
3.2结构设计
根据以上设计需求，从车身底部右后边向上斜看改进后的车身地板结构如图12所示，其侧面剖视示意图如图13所示。图13中的台阶面从左至右依次表示:后排座椅安装面、后排座椅脚地板及前排座椅安装面、前排座椅脚地板。车身地板与电池包安装梁通过车身焊装构成车身的一部分，而中央通道盖板在整车装配线束后，再通过螺钉或螺栓固定在地板上，用于构成线束的通过空间。本例中由于车身地板在电池包的基础上进行了抬高和展平，使得后排座椅的H点与脚地板的垂直距离减小，从原车的400mm以上减少至250mm左右，但是仍然符合一般乘用车布置设计要求。座椅下方安装板展平后，重新设计了小的安装支架结构，使得坐垫底座轻微改动。本设计在适当的地方加强了车身地板设计刚度，以满足整车碰撞法规要求和承载要求。综上所述，前后舱、动力电池包及与车身地板之间的布置关系如图14所示。
4整车性能
改制后的纯电动汽车整车基本性能可通过理论计算求得。将以上计算选取的各项参数导入Matlab软件，并通过编程获得部分相关性能曲线，结果如图15—18所示。图15是不同车速电机需求功率曲线。可知，在整车运行过程中，电机的需求功率随整车车速变化，其大小随车速增加而增大。其中，车速为50km/h时，电机满足整车基本要求的需求功率为6.02kW;当车速为80km/h时，电机的需求功率达到13.41kW。图16所示是不同爬坡度的电机功率曲线。图16是在35km/h的车速匀速爬坡情况下获得，曲线反映出电机需求功率与爬坡度成正比例关系。在爬坡度为零时，电机功率为0.47kW;当爬坡度为14.05%(8°)时，电机功率为24.63kW;当爬坡度达到36.40%(20°)时，电机需求功率较大，达到55.66kW。图17是在电机额定功率、整车空载状态下，整车的百千米加速时间曲线。由图可见，车辆从原地起步加速至50km/h时，时间为5.66s;(50～80)km/h所用时间为6.16s;整车车速达到100km/h时，共用时为19.34s。图18是不同条件的加速度与时间的关系曲线。可以看出，车辆在实验质量－电机额定功率、车辆空载状态、车辆满载状态下，其起步加速度大小不同。在车辆起步时，加速度的值较大，图中3种条件下分别为2.63、2.41和0.84m/s2。在车辆起步后的一定车速范围内，加速度大小基本保持不变;当车速达到一定值后，加速度开始逐渐减小，变为零，此时车速达到较大。其他数据，如等速(60km/h)续驶里程大于260km，最小转弯半径小于11m，整车满载时最小离地间隙为147mm等。这些理论计算数据均达到了前期设计的性能目标要求。
5结束语
纯电动汽车在能源利用率、减少排放污染、降低噪声方面所具备的显著优势，对目前能源危机、环境污染问题均可起到有效缓解作用。本文针对基于传统汽车平台的纯电动汽车改制进行了重新设计，各总成布置合理，将选配的数据导入matlab程序获得了相应的车辆性能曲线。结果显示，所有性能数据能够满足本文所提出的整车目标性能要求，将为该纯电动汽车下一步整车优化提供有效参考。
作者：何勇彭忆强王子江王海单位：西华大学交通与汽车工程学院四川汽车工业股份有限公司新能源汽车研究院
14 汽车设计论文:汽车电子信息系统设计论文
汽车电子信息系统的基本结构，主要包括通讯系统、车载嵌入系统以及外部系统，在对电子信息系统进行设计和实现时，需要引起设计人员的充分重视。
1通讯系统
通讯系统可以说是汽车电子信息系统的核心和中枢，同时也是车辆内部系统和外部网络实现信息交互和重要桥梁，对于实现系统的各项功能而言有着不可替代的作用。从目前来看，在汽车电子信息系统中，最为常用的是GPRS无限数据传输系统，按照相应的网络协议，利用传统GSM网络的相关资源，进行数据的传输工作，可以保障数据传输的速度和质量。不仅如此，在不断的发展过程中，全球的运营商都针对商用GPRS系统进行了研发，为车载通讯系统提供了必要的网络支持，也使得汽车电子信息系统有了一个接入时间短、传输速率高、安全的信息交互平台。
2车载嵌入系统
在科技发展的带动下，车载系统的嵌入技术愈发成熟，逐渐成为汽车信息网络的控制中心。车载嵌入系统可以对车辆内部设备的运行状况进行检测，一旦发现异常，可以立即向驾驶人员发送相应的警报信息，如语音提示或灯光信号等，同时针对故障进行前面细致的分析，向驾驶员提出合理化建议，如停车检修或者调整路线前往维修点等，对安全事故进行规避，保障行车安全。在车载嵌入系统中，利用相应的处理器、GPS接收机、GPRS模块以及人机交互接口等，可以构建出一个具备强大通信能力和信息处理能力的平台，利用无线通讯、蓝牙数据交互等网络通讯技术，实现信息的交互和共享。系统的标准化和模块化设计不仅便于系统功能的实现和维护，也使得其具备良好的拓展性，可以实现车辆定位、动态导航等功能。
3外部系统
从目前的发展情况看，外部系统包括一个专业的门户网站，可以为每一位用户提供个性化的服务，满足用户不同的使用需求，同时还可以根据相应的情况，进行动态更新，为用户提供完整、合理、、的信息。需要进行动态更新的情况包括：汽车自身的地理位置，或者用户指定的道路路况图；用户的具体需求；与汽车服务供应商服务协议的相关内容；汽车在行驶过程中遇到的特殊状况。
汽车电子信息系统功能的实现，不仅需要相应的硬件资源，还需要良好的软件支持，因此，做好系统软件的设计工作是非常重要的，应该重视以下两个方面的内容：
（1）软件的结构模式。汽车电子信息系统的软件架构，可以利用UML的Component框图进行描述。用户可以通过因特网，连接到门户网站，对相应的数据信息进行查询，也可以对系统网络服务进行扩展。之前也提到，门户网站可以为用户提供良好的个性化服务，结合用户的位置信息，在比较特殊的情况下，可以对用户需要的数据信息进行动态更新。不仅如此，用户可以通过移动通讯设备，利用Web搜索服务，查询自己需要的信息，如旅店和车票、机票等的预定，必要的车辆维修信息等。同时，系统中的个性化管理模块可以根据每一个用户的基本情况，为门户网站的动态更新提供必要的数据信息；事物管理模块可以对数据的流通、交易等进行监控，对数据库故障以及数据冲突进行处理和恢复，保障数据的访问和使用安全。另外，在系统中，信息数据库的功能是非常重要的，不仅可以对地理信息进行存储，也可以为用户提供必要的地址信息，确保数据的性和合理性是极其关键的，必须得到软件设计人员的充分重视。
（2）系统的功能实现。汽车电子信息系统的功能众多，这里主要针对最为常用的电子导航功能进行分析和阐述。电子导航系统可以通过与GPRS网络的相互连接，随时对车辆进行定位，实现对于车辆的监控和导航。电子导航系统的工作过程主要包括两个环节。目的地输入。在出发前，用户可以向导航系统输入目的地的相关信息，系统会根据车辆的位置以及与目标的距离，对道路信息进行分析，制定出最为恰当的行车路线，为用户提供导航。在行驶过程中，车辆可以通过GPS接收设备，获得车辆的位置信息，在人机交互界面显示出来，保障行驶路线的合理性。
作者：周振单位：攀枝花学院交通与汽车工程学院
15 汽车设计论文:汽车车身设计论文
摘要：汽车工业飞速发展，越来越多的人对汽车的追求不仅仅停留在速度方面了，对外观的要求也越来越高。汽车车身技术是汽车制造的重要组成部分。车身造型设计是将科学和艺术相结合的工作。在科学方面包括了流体学，人机工程等学科。本次困论文主要介绍车身造型对安全和动力的影响。
关键词：汽车车身；汽车安全；汽车动力
汽车工业飞速发展，越来越多的人对汽车的追求不仅仅停留在速度方面了，对外观的要求也越来越高。汽车车身技术是汽车制造的重要组成部分。车身造型设计是将科学和艺术相结合的工作。在科学方面包括了流体学，人机工程等学科。本次困论文主要介绍车身造型对安全和动力的影响。
绪论
1.汽车的诞生加速了人类文明的进程，汽车是现代科技的重要载体之一，是衡量一个国际科技水平和经济水平重要的指标之一。汽车车身是汽车的四大组成部分之一，也是我们了解汽车的及时步。现在的汽车领域更新换代速度越来越快，汽车换代又在很大程度上是车身的更新。车声设计不仅仅是美学，同样包括了空气动力学、环境学、材料和化工等众多学科。随着人类生活水平的提高和科技的发展，汽车车身设计朝着虚拟化、个性化、人性化和绿色安全方向发展。
2.国外汽车行业起步早，水平高。在国外车身设计是被极为重视的一个环节。车身是保护乘客重要的部分。科学的设计可以极大地提高安全性能。汽车行业在经历了马车型、箱型汽车后步入了流线型汽车时代。随着空气动力学的发展，人们了解到车速的提升不仅仅是增加动力这么简单。流线型车身将空气阻力因素从0.5降到了0.3以下，这意味着能节省14%的燃油，空气阻力每降低百分之十燃油节省百分之七左右。然而车身的设计师减小空气阻力因素的重要手段。石油危机爆发以来，油耗成了普通百姓选择车辆的一个重要参考数据，为了达到节油减排的目的，汽车生产商基本都是采用减小整车质量来达到目的，这样一来轻质合金材料和复合材料在优化车身方面将得到极大应用。宝马高端轿车正在大量采用碳纤维材料，来减轻整车质量和提高车身硬度。
3.汽车车身设计对安全也有极大影响，这是影响现代人买车的重要参考数据之一。IIHS在安全性报告中的数据表明，其2011年进行了相关数据统计，以上牌行驶1-3年的乘用车为样本统计，大型车平均每100万台车中发生严重事故造成的死亡人数为24人，而同样本中的微型车和小型车的死亡人数则为65人。同时IIHS也给出了2000年时候的数据统计，可以发现，车辆安全性带来的好处是非常明显的，无论是大型车还是小型微型车，相比十年前发生事故的死亡率明显降低，但是尺寸不同车辆之间的死亡率依旧有明显的差异。此外，IIHS以及E-NCAP的碰撞测试数据也可以看出，大型车普遍碰撞表现更好，而小型车则相对较差，在引入小面积重叠碰撞试验甚至很多时候小型、微型车的得分实在惨不忍睹，这也是我们可以从公开数据中看到的。这样看来车身的大小会对安全有极大影响。车身不管厚薄只要满足工艺和性能要求的前提下，车身越轻越好，即可以降低油耗还可以减少成本。如某系车的前翼子板也是采用非金属材料，但性能标准即能达到使用要求又降低成本。汽车发展至今较大的问题不是汽车越重越安全，而是汽车重量既轻又安全。汽车加重100KG很简单，但是要减少100KG所依靠的就是汽车精尖制造工艺和技术，不过不管是车子的厚度还是大小对车辆安全的影响都不是较大的，较大的还要算是车身所用材料。以前的高强度钢板，拉延强度虽高于低碳钢板，但是延伸率只有后者的50%，所以只适用于形状简单、延伸深度不大的零件。现在的高强度钢板是在低碳钢内加入适当的微量元素，经各种处理轧制而成，其抗拉强度高达420N/mm2，是普通低碳钢板的2～3倍，深拉延性能极好，可轧制成很薄的钢板，是车身轻量化的重要材料。到2000年，其用量已上升到50%左右。含磷高强度冷轧钢板：含磷高强度冷轧钢板主要用于轿车外板、车门、顶盖和行李箱盖升板，也可用于载货汽车驾驶室的冲压件。主要特点为：具有较高强度，比普通冷轧钢板高15%～25%；良好的强度和塑性平衡，即随着强度的增加，伸长率和应变硬化指数下降甚微；具有良好的耐腐蚀性，比普通冷轧钢板提高20%；具有良好的点焊性能；与汽车钢板相比，铝合金具有密度小（2.7g/cm3）、比强度高、耐锈蚀、热稳定性好、易成形、可回收再生等优点，技术成熟。德国大众公司的新型奥迪A2型轿车，由于采用了全铝车身骨架和外板结构，使其总质量减少了135kg，比传统钢材料车身减轻了43%，使平均油耗降至每百公里3升的水平。全新奥迪A8通过使用性能更好的大型铝铸件和液压成型部件，车身零件数量从50个减至29个，车身框架闭合。这种结构不仅使车身的扭转刚度提高了60%，还比同类车型的钢制车身车重减少50%。又因为所有的铝合金都可以回收再生利用。当然还有比之更好的还有纤维材料。高强度纤维复合材料，特别是碳纤维复合材料（CFRP），因其质量小，而且具有高强度、高刚性，有良好的耐蠕变与耐腐蚀性，因而是很有前途的汽车用轻量化材料。碳纤维复合材料在汽车上的应用，美国开展的好。
4.通过这篇论文，我们可以知道车身对安全和动力方面的些许影响，也能了解些许关于车身设计方面的知识。了解到车身不仅仅是一堆钢材，更是艺术和科学的结晶
16 中医内科论文:我国中医内科学教学论文
1LBL教学法
LBL教学法，即Lecture-BasedLearning，是传统的讲授式教学法，是目前仍为应用最广泛的一种教学法。该法是以教师为主线，以授课为中心，采取大班全程灌输式教学。我校目前中医内科教学大都采取LBL教学法，学生一般反应是该法较为死板，难以激发学生的学习激情，容易忘记。在实际教学中，教师应尽可能使用图片、录像、多媒体等手段为辅助，可使教学效果得到适当的提高。
2PBC教学法
PBC教学法（Problem-BasedCurriculum，PBC）是指以临床问题为引导的教学法。该法一般比较适合基础医学教程的教学，比如生理，病理，解剖等。在中医内科学的教学中，笔者及所在团队也尝试过PBC教学法，在授课中把临床的案例作为相关问题呈现在学生面前，并以该问题为契机引导课程的进行，例如在讲解痹证的病因病机时，首先给学生呈现一份因为长期从事水产业而就诊的痹证患者的病历，再对应相应的病因进行讲解。相对于传统教学法而言，该法能够更好地将书本知识与临床问题相结合，但其缺陷就是教学的重点还是以教师为主，学生缺乏临床思维能力，在学习过程的结合中显得不自然，不能适应临床的千变万化。
3PBL教学法
PBL教学法，即Problem-BasedLearning，最早起源于20世纪50年代美国西余大学医学院，1969年由美国的神经病学教授Barrows首先把PBL引入了医学教育领域。该法是以医学问题为基础，以学生为主体，以组内讨论的形式，在相关教师的参与下，围绕某一医学专题或具体病例的诊治等问题进行研究的学习过程。PBL教学法强调把学习与相关的、有意义的问题背景相结合，通过学生以小组合作的方式解决问题，学习隐含于问题背后的专业知识，学会解决问题的技能，促使其自主学习模式的建立。例如在讲授尫痹（类风湿关节炎）中，给予学生一个类风湿关节炎患者从发病到现在就诊全过程的病历（该病例基本符合教材的典型案例），提出在这个病历中相应的病因、病机及辨证论治等问题，让学生以学习小组内部讨论的方式作答。在PBL教学法的实施中，笔者发现，需要学生具有一定的医学知识背景才能很好的执行该法，否则就会出现小组讨论、自主学习等过程中学生无所适从，不能很好地完成团队配合。同时因为案例一般多为典型案例，不能很好的培养学生灵活的临床思维能力，有待于进一步改进。
4CPBL教学法
CPBL教学法(ClinicalProblem-BasedLearning，CPBL)，即将临床实际病例与以问题为基础的学习方法结合的一种新的案例学习方法。CPBL与传统PBL不同，该法采用真实病例，使PBL教学从书本案例向临床教学延伸，也就意味着在该法实施中的案例不再是符合教材典型案例，而是临床上千变万化的实际案例，故而通过该法，基础与临床得到了很好的结合。CPBL教学法较为适合高年资医学生或者已经进入临床实习的医学生，对于临床工作有一定的了解，则能更好地理解CPBL法的实质与精髓。但在临床实习教学过程中发现，由于实习学生临床知识与经验不足，加之缺乏相应临床思维能力，很多见实学生很难适应和理解CPBL法，故本教学法在本科生实习中期阶段或研究生临床教学中开展，可能更具有实用价值和现实意义。
5TBL教学法
TBL（TeamBasedLearning，TBL）教学法是在PBL教学法的基础上衍生出来的一种全新的教学方法。它是以学生为中心，通过团队协作，增强学生的学习效果，培养学生的学习能力及团队意识，克服了传统教学中以授课为基础、以教师为中心的弊端，可提高学生的学习兴趣，激发学习的主动性。笔者及所在团队在实施TBL教学法时，一般是按照一周一次的频率进行，首先组织学生课前自习，然后进行课堂测验，本次测验有学生独自完成，再以同样的问题进行第二次测验，本次以学习小组内讨论的方式完成，由同学发言，由教师进行详细讲解，之后完成课堂作业，同样以小组讨论及学生进行自我总结的形式进行，课堂完成组内成员互评，得出一个分数，构成期末考核的依据之一。通过TBL教学法，可以使学生很清楚地了解独自操作与团队合作的不同效果，同时能够很好的培养学生的思维方式，在今后的学习中养成团队合作的习惯。但是其也存在弊端，TBL教学法耗时较长，因为实际教学中的课程与课时一般都是固定的，要在短暂的时间内完成较多内容的教学，如果全程使用TBL教学法，存在时间不够的问题，影响整个教学进程。
6小结
中医内科学内容繁杂，需要掌握的知识点众多，在实际教学过程中受到很多限制，不管采用哪种教学法，最终目的都是尽量使学生很好地掌握认识疾病、处理疾病的思路与能力。在实际的教学过程中，并不能单独运用一种教学法就能完成教学，必须是多种教学法相结合，除了上述的教学法外，笔者及团队在教学工作中也会运用到其他一些教学法，如案例教学法、比较教学法、参与教学法、成功教学法、多媒体教学法等，亦能较好地丰富课堂，激发学生学习激情，加固学生的记忆。值得一提的是，循证医学在医学的发展中是新的里程碑，在当代的医学教学中，适宜引入循证医学理念，是现代中医药学教育发展的必然要求。
作者：李兆福 李钦 王燕 徐莹 王清 杨毅坚 单位：云南中医学院 云南中医学院及时附属医院风湿科
17 中医内科论文:胁痛中医内科诊治探究论文
【摘要】胁指侧胸部，即由腋以下至第十二胁软骨部分的统称，故胁痛系指一侧或两侧胁肋疼痛为主要表现的病证。常因气滞、血瘀、湿热及实火，或肝之阴阳不足致肝络不畅，气血失养所致。
【关键词】胁痛 肋间神经痛 中医药研究 毒副作用
一、病因
1、外邪侵袭湿热、疫疠或寒湿之邪侵犯肝胆经脉，肝胆失于疏泄条达，少阳、厥阴经脉不畅而致肋痛。
2、情志内伤情志抑郁或暴怒伤肝，均可至肝失条达，疏泄不利，气阻络痹而致胁痛。
3、劳欲、劳倦过度劳欲过度耗伤肝肾精血；劳倦伤脾、中焦运化水谷乏力，气血化生乏源；或久病体虚，精血俱亏、肝肾不足，脉络失养而致胁痛。
4、瘀血内积外伤或强力负重，致胁肋受伤，瘀血停留，阻塞脉络而致胁痛；或黄疸、积聚等经久不愈，肝脾受伤，气机郁滞、瘀血内积，胁络塞滞而为胁痛。
5、痰浊郁火饮食不节，过食肥甘厚味醇酒，或过食生冷，遏伤脾阳，脾失健运，痰浊中阻，气机郁滞，肝胆疏泄失司而致胁痛。痰浊阻于中焦，胆腑通降不能，胆汁排泄不畅，内郁而化热生火，湿浊热邪交蒸日久煎熬，结成砂石，阻滞胆道而致胁肋剧痛。
二、病机
1、发病浊实之邪阻滞胆道所致胁痛，起病多急，如感受外邪，外伤或砂石（虫体）所致胁痛，发病急骤且疼痛较重。因精血亏虚、胁络失养，或虚实中夹实所致胁痛，起病较缓，如劳欲过度，情志所伤者，发病缓慢而疼痛较轻。
2、病位以肝胆二经为主，兼及脾胃、肾。
3、病性有虚有实，或虚实并见。但疼痛在于气血不行，不通则痛，故临床以实证或虚实夹杂为多见。实证以气滞、血瘀、湿热等浊邪为主；虚证多为阴血不足、肝肾亏虚或阴阳俱亏。
4、病势病之初期多以气滞或湿热为多见，进而出现气滞血瘀，气郁化火，灼伤阴津之变；或出现湿热化火、气津两伤，湿热未尽、肝肾阴亏、甚至湿痰瘀阻、脾肾不足之变。气血阴阳演化之中，由肝胆而及脾胃，进而及肝胃、脾肾。
5、病机转化胁痛病机转化表现在邪实积聚与正气耗损两方面。邪实的积聚，一是由气及血，即肝气郁结日久不解，致肝郁气滞，进而可致血行不畅，瘀血内停，肝血瘀阻，甚则形成癥积；一是由湿热蕴积肝胆，化火生毒，熏灼肝体，炼液为痰，致痰火毒瘀内蕴之胁痛重证；或湿热久羁，脏腑失和，湿浊痰毒内生，恋积于肝，进而致痰湿毒瘀迁延肝胆之杂证。正气耗损，即由实转虚之变。肝胆湿热、肝胆实火或肝郁化火，火热灼伤阴液，及肝血瘀阻，瘀血不去，新血不生，均可致肝阴亏虚；火热灼津耗气，或肝郁乘脾，日久可致脾气虚弱，肝阴亏耗，久竭肾精，致肝肾阴虚，又气阴两伤，或阴损及阳，则可成肝阳虚或肝脾肾阳虚之证。
三、辨证论治
(一)辨证要点
1、辨外感和内伤胁痛外感胁痛，起病较急，大多为湿热病邪侵犯肝胆，临床多伴有恶寒、发热等表证，且多同时并见恶心、呕吐或黄疸等症状，舌红，苔白腻或黄腻，脉浮数或弦数。内伤胁痛，起病较缓，无发热，恶寒等表证出现，多由肝气郁结，瘀血阻络或肝阴不足等引起。
2、辨胁痛性质胁痛病性有虚有实。若胁痛以胀痛为主，走窜不定，时痛时止，随情志变化而增减，多属肝郁气滞，气阻络痹所致；若胁痛以刺痛为主，部位固定，入夜痛甚，或因跌仆闪挫所致者，为胁络受损，瘀血停着，若胁下可氧及癥块，触之坚硬者，多为气滞血瘀，瘀滞积久不散所致；若胁痛重着，痛有定处，触痛明显，伴口苦心烦，胸闷恶心，发热烦躁，或目身小便发黄，为湿热着蕴肝胆所致；若右胁痛如绞，痛彻肩背，或伴黄疸、发热或呕吐蛔虫，多为砂石或蛔虫阻滞胆道，病属湿热；若出现胁肋掣痛，心急烦躁，口苦，尿黄，则为气郁化火；若胸胁胀痛，右胁痞肿，纳差，舌淡，苔白滑，脉弦迟，则为肝郁夹寒；若胁肋隐痛，心烦口干，伴头晕目眩，舌红少苔，则病属阴血亏损；若胁痛隐隐，但绵绵不绝，疲劳后可使疼痛加重，按之反较舒适，多属血不养肝，络脉失养所致；若胁肋痛悠悠不休，遇劳加重，畏寒肢冷，舌淡苔白，则属阳虚，肝络失养。
3、辨胁痛病位肝居胁下，经脉布于两胁，胆附于肝，胁痛之病位主要在肝胆，但常与脾胃和肾有关。胸胁疼痛，不论一侧、两侧，呈胀痛、刺痛，或灼痛、坠痛、隐痛，或痛如刀割，痛彻肩背，位均居肝胆二经；但若胁痛伴嗳气频作，恶心呕吐，胃脘胀闷则为肝气犯胃，病位在肝胃；胁痛若伴肠鸣，腹胀，便溏泄泻，为肝逆乘脾，位在肝脾；若胁痛牵引腰背，呈坠痛、隐痛，悠悠不休，遇劳而发，则由肝及肾，位在肝肾。
(二)治疗原则
胁痛的基本治则是调理气血，疏通经络，恢复脏腑功能。对实证胁痛，据邪之不同而予或利湿解毒清热，或理气活血，祛瘀通络等祛除邪气法之主，则经络得以通畅。对虚证者，以扶正为主，阴阳气血俱充，阴平阳秘，气血调达，经络自得荣养。虚实并见者，据虚实之轻重、缓急，补泻兼施，或以补为主，补中有通，或以通为主，通中兼补。
18 中医内科论文:中医针灸内科学论文
1资料与方法
1.1评价方法。两班均进行一学期的中医针灸内科学课程学习以后，进行期末闭卷测试。试卷由教研室中非授课教师在题库中随机抽取，试卷分析工作由研究生完成。，将考试成绩进行汇总、分析和比较。
1.2统计学分析。将所有数据录入SPSS17．0软件进行t检验和秩和检验，检验标准α=0．05。
2结果
将两班的期末成绩相比较(见表1)，对照班(1班)的平均分为75．367±7．753，试验班(2班)的平均分为82．533±6．822，两班有显著差异(P=0．000)，说明试验班学生掌握知识的平均水平好于对照班。将两个班的期末成绩分布进行比较(见表2)，可见两个班之间有明显的差异(P=0．000)。试验班成绩优、良的人数明显多于对照班，中等、及格和不及格的人数明显少于对照班。
3讨论
3.1教育现状。
西方国家尤其是美国的高等医学教育为“精英教育”。学生在预修医科、获得文理学院学士学位并且通过医学院入学考试(MCAT)之后，才有资格进入医学院学习，这体现了对学生的高素质要求［5-6］。但是国内的高等医学教育现状是学生通过高考直接升上医学院进行学习，而且医学院校的门槛分数参差不齐，导致国内医学生本身素质不能普遍的达到高水平。另外国内高等医学教育学制可分为五(六)年制本科、七年制本硕连读和八年制本硕博连读，与国外终身医学教育相比时间被大幅度的压缩了，也就是说国内医学生要在短时间内掌握大量医学知识［5］。中医针灸内科学是一门后期临床教学的主干课程，学生需要在熟练掌握基础理论课程的前提下学习与临床相关的知识，这无形中加大了学生学习本门课程的课业负担。学生普遍反应本门课程的知识点过多，学习之后掌握度不好等问题。
3.2艾宾浩斯遗忘规律曲线理论的应用。
记忆和遗忘是相反的过程，属于正常的生理现象。遗忘是人体大脑对信息处理的一个综合的、复杂的过程［7］。艾宾浩斯的记忆理论来源于他的无意义音节记忆试验，在此试验中他将所有混杂因素排除，发现了在没有背景信息的条件下的记忆和遗忘规律。其试验得出的结论是遗忘在记忆之后立刻开始，但是遗忘的速度并不均匀［8］，并且越熟悉的材料被人们遗忘的速度越慢(见图2)。上图形象地说明随着复习次数的增加，遗忘的内容越来越少。我们本着此理论，要求针灸内科授课教师对学生进行随堂测验及课后小结，目的是督促学生对已经学习过的知识进行多次记忆。本次试验的期末考试结果显示试验班的平均成绩以及率明显高于对照班，说明该教学方法的教学效果较好。本次较好的试验结果主要有两方面原因:首先，中医针灸内科学的课程排课紧凑，周一到周五每隔24小时都有理论课授课安排，为学生提供了短期内的课内复习时间。其次，授课教师在试验班教学中利用课前及课后时间的考试和小结，反复强化学生已学的知识点，促使学生对知识点产生长期记忆，有效地降低了学生对知识点的遗忘率。
4结论
记忆对中医学生来说是极其重要的，但是中医需要记忆的知识点过于庞杂，给学生增添不小压力。将艾宾浩斯遗忘曲线理论应用到教学中去，有效地提高了学生的学习效率，强化学生对已学习过的知识点的记忆，减轻了学生的学习压力。另外，通过本学期在中医针灸内科学的教学改革试验，学生也学会了一种新的学习方法，将此方法也运用到学习其他课程中去。可谓之“学而时习之，不亦说乎”。总之，了解遗忘和记忆的规律并积极地调整教学方法，可在一定程度上提高教学质量。此方法可推而广之，可使国内的医学教育质量上升一个层次。
作者：王颖张晓露单位：辽宁中医药大学针灸推拿学院
19 中医内科论文:基于教学的中医内科学论文
1中医内科学前沿领域与当代名家经验的介绍
大学生的自学能力较强，书本内容可以通过自学预习完成，督促学生养成预习及复习的习惯，课上老师可以提纲挈领简要介绍书本的重点难点。老师备课时注重相关疾病的前沿发展与名家治疗经验等内容，并介绍给学生，会更加引起学生的注意。比如中国中医科学院的仝小林，创新性地提出肥胖型2型糖尿病(消渴)核心病机为中满内热，他通过研究糖尿病的临床特点、演变过程、治疗经过等，结合《内经》中相关论述，提出了消渴的络病贯穿始末和“郁、热、虚、损”四大阶段的病程演变过程，形成“肥、糖、络”整体辨治体系;明确五大治法:消膏转浊，开郁清热，苦酸制甜，辛开苦降，全程、早期治络;糖、降脂、增加胰岛敏感性的糖敏灵丸，防治微血管并发症的络通粉，治疗糖尿病胃肠功能紊乱的肠胃通胶囊，治疗糖尿病焦虑失眠的眠虑安，治疗糖尿病肾小管损伤的补肾缩泉胶囊。另一位治疗消渴的中医大家是北京中医药大学东直门医院的吕仁和教授，提出了糖尿病及糖尿病肾病、糖尿病足等并发症防治“二、五、八”方案、“六对论治”、“三自如意表”综合防治方案，独创“微型癥瘕”学说，开破血化瘀治疗糖尿病肾病先河，益气滋肾通络法是糖尿病肾病“微型癥瘕”学说的临床应用。将这些近期的进展和医家介绍给学生，会让其眼界开阔，启发学习思路。教学不是以简单的教授课本内容为目的，而是为了培养中医事业的人才，培养从学生开始的中医思辨能力、继承及拓展能力，这些都需要在教学中不断灌输和培养。
2课堂模拟表演和演示的教学形式
由学生分组，按照老师的预先要求就某一授课内容做相关准备，通常要求去图书馆、互联网上查找资料，然后在课堂上表演或演示。一般建议可采用实物资料、多媒体或真人模拟等形式，分别就某相关内容做直观、逼真和生动的展示。表演结束后，建议先由表演者提出一些相关问题，让学生们一起思考讨论解答，然后再进行学生与学生、学生与老师之间的发问回答的互动。其目的是为了调动学生学习的积极性，激发学生的求知欲和好奇心。学生上课不再是简单的列席就坐、被动听讲接受，而是自觉主动、踊跃参与的学习。可以促进学生运用已有的基础理论知识与所预习准备的相关知识内容的联系，培养团队协作学习能力，锻炼自主学习能力及独立思考研究能力。在这样活跃宽松气氛的课堂教学中，老师只是授课的指导员，而非授课演出的独奏家，老师的作用是指导学生，提示学生所需关注的学习重点，指明学习研究的方向，肯定和鼓励学生通过独立思考而得出自己的结论。这些演示与之后的发问讨论，会让学生把要学的知识记忆得更，理解得更透彻，学生在这种交流和撞碰中，会得到许多启发，同时也会在这样的锻炼中不断地创新和超越。
3借鉴国外大学的教学方法—老师开列大量参考书目，学生完成相关论文作业
老师在每次课上把下次或近期授课的主要要求告知学生，开出所需参考准备的参考书，要求学生在规定的时间内完成阅读，并适时完成相关的论文，或要求学生准备课堂的发言提纲或主题发言内容。这样学生就会把大部分时间花在自学上，而不是课堂听讲上。在课余时间，学生不得不阅读大量的书籍、撰写论文、准备课堂发言PPT等，在自学和书写的过程中，学生必然会遇到一些问题，他们也许会在自学中尝试自我寻找答案，也许会把疑问留给老师。无论这些疑点是否解决，都会对学生的自学和课堂教学产生积极的影响，学生会带着这些问题学习。在学生撰写论文时，会引发他们对学习的相关内容反复思考，不仅是让学生学习相关的知识理论、病证概念、鉴别要点、辨证步骤、治法方药等，还是让学生尝试应用所学的中医理论独立设计命题，并用自己设计的主题进一步开展相关的检索调查或跟师临床实践，在调查或临床实践中发现问题，经过这样从命题设计到信息内容的搜集整理，再到总结综合的全过程，使学生更充分理解所要学习的知识，既学习到了相关的知识理论，又具有一定的分析总结经验，甚至是一些间接的实践经验。学生通过不断大量的写作练习与老师的指导修改，从论文的题目、摘要、关键词、格式、表格设计、数据统计、文法修辞、参考文献、结论等，按照科研论文的要求和规范写作，在这样反复多次的训练过程中，学生就会逐渐培养良好的科研论文写作习惯，为其今后的事业发展奠定必要和坚实的基础。
作者：张国英郭昕单位：首都医科大学附属北京中医医院治未病中心
20 中医内科论文:名老中医内科学论文
1资料与方法
1.1研究方法对照班采用传统教学法授课，试验班采用传统教学法与名老中医学术病案相结合的教学方法授课，教学方式通过课题组人员认真讨论，结合临床实践，选择部分章节内容，引入名老中医学术思想，讲解名家医案，学生参与讨论、提出问题、发现问题，教师启发、总结巩固所学知识。两班均以普通高等教育“十一五”部级规划教材新世纪第二版《中医内科学》作为授课教材。
1.2考试方法及教学效果评估①统一命题考试。在学期期末对试验班和对照班进行统一命题考试，统一阅卷。试题采取百分制，分为基础知识考核(50分)、分析问题能力考核(30分)、解决问题能力考核(20分)三部分。②教学效果评估。对采用传统教学法的对照班与名老中医学术病案相结合教学方法授课的试验班，组织问卷调查、座谈会和个别访谈，并分析总结。
1.3统计方法应用统计分析软件进行数据分析，总结研究结果。
1.4课程示例严桂珍教授擅长中医药治疗外感风寒、慢性阻塞性肺疾病、支气管哮喘、支气管扩张、肺癌、肠易激综合征、胆囊炎、胆石症等方面及疑难杂症。在中医内科学授课过程中，根据讲授内容课堂上穿插讲解严桂珍教授临证治疗上述疾病的典型病例，通过具体病例的处理分析，引导学生深入思考，同时强化学生理论联系实践的临床意识，加深对所学理论知识的理解。对病例的选择需慎重，既要体现其症状和体征具有典型性，又要保障与本次授课内容有相关性。我们在相关章节讲授后，选择典型病例进行分析，可以让学生先分组讨论再发言，发言内容包括：归纳主诉、提出诊断、辨证分型并说出依据以及选方用药是否对证、辨证用药是否合理等，由教师点拨总结，并介绍严桂珍教授的诊疗过程，阐述其学术思想，鼓励学生学习继承中医并有所创新，激发学生的学习兴趣和学习主动性，在趣味中学会学习与思考，达到深入理解和掌握中医内科学的辨证论治方法以及各病症的重点难点内容的目的，真正建立临床思维，提高学生分析问题和解决问题的能力，为以后学习临床各学科及临床实习奠定扎实的基础。
2结果
2.1两组考核结果比较试验班期末考试总分明显高于对照班（P驥0.01）；试验班的解决问题能力评分明显高于对照班（P驥0.01）。调查问卷有效回收率，试验班满意度为，对照班满意度为66.7%。对笔试考核分析，试验班与对照班的期末考试成绩统计分析，结果表明，试验班的成绩明显高于对照班，且有显著性差异(P驥0.01)，说明传统教学法与名老中医学术病案相结合的教学方法在调动学生主动性学习的同时提高了学习成绩。从考核学生解决问题能力（20分）病案诊断辨证用药综合性试题答题情况来看，试验班综合性试题的平均分显著高于对照组，说明试验班的学生理论掌握娴熟，临床思维与综合分析能力明显高于对照班。
2.2调查问卷的学生认为传统教学法与名老中医学术病案相结合的教学方法能激发学习兴趣，调动主观能动性；91.7%的学生认为此教学法能加强临床思维能力的培养，提高解决和分析问题能力；91.7%的学生认为，此教学法有助于加深对知识的理解、掌握和记忆，有利于更好地与临床接轨。可以看出，绝大多数学生认同传统教学法与名老中医学术病案相结合的教学方法。
3讨论
传统教学法是以授课为基础的教学方式，以课堂讲授为中心，学生被动参与，其教学程序与教材一致，属于顺向思维教学[1]，较注重知识传授。学生课前按其自觉性决定是否对授课内容进行准备，在授课过程中，教师以教学大纲为基础，传授信息量大，知识系统性强，能弥补学生知识结构的缺陷，这种灌注式教学模式的不足就是课堂教学模式比较单一和死板，易导致理论与实际脱节，忽视了调动学生的积极性和主动性，制约了学习过程中潜能的开发。
通过研究我们发现，本科学生在课堂上更加重视学习内容的实践性以及中医理论的指导性。教师应注重启发式教学[2]，在结合名老中医病案的授课过程中，教师明显感觉学生积极热情，兴趣浓厚，思维活跃，发言踊跃。该模式提高了课堂学习效率，锻炼了学生的思维能力、表达能力、自主学习能力和运用知识解决问题的能力。老中医的学术思想和临床经验是中医学的宝贵内容，随着对名老中医学术思想和经验传承的日益重视，将名老中医病案引入课堂，让学生在尚远离临床实践的理论学习阶段，向其展示中医理论的博大精深，相当有意义。通过名老中医诊疗典型医案的讲解，激发学生兴趣，活跃课堂气氛，提高学生的辨证能力和对案例的分析能力，培养其独立思考和临床思维能力，进而达到更好掌握授课内容的教学目的，提高中医内科学的教学质量与效果。同时，在名老中医学术思想传承的道路上，有利于加快年轻中医人才培养的步伐，丰富中医学的内容，推进中医学学术发展，更好地为防病治病服务。因此，将名老中医病案与《中医内科学》的教学紧密结合，有利于培养高素质的医学人才。
作者：卢峰聂达荣彭美玉王世聪严桂珍单位：福建中医药大学附属第二人民医院老年病科福建中医药大学中西医结合学院
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你将看到一段“生成摘要”。请对生成摘要中的“句子4”进行引用对齐，从原文中找出最小充分的出处（按照“论文号 段落号”格式）。先输出“[答案]”标识符，再输出句子出处。若有不止一个出处，按行输出，每行一个出处，不要输出任何其他内容。
待对齐摘要:
句子1: 纯电动汽车的底盘系统需要重新架构，其总布置方案相比传统汽车改变较大，可基于原有平台进行局部改制或开发全新理念的底盘。
句子2: 电机和减速器在布置时需考虑与纵梁、副车架、转向机构的安全距离，以及半轴与前轮中心线的夹角，以确保安装合理和性能优化。
句子3: 在本文的设计方案中，电机控制器被放置于电机正上方，而差速器中心平面则相对XZ平面偏左200mm。
句子4: 100个动力电池单体集中于电池包且分6排布置（前3排卧放、后3排立放适配后排座椅地板形状），其安装梁与车身地板焊装成车身部分。
句子5: 电池包采用无上盖结构，利用车身地板及四周安装板形成上盖，且设计时充分利用车身地板下方空间并考虑了整体快速更换原则。
输出示例：
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你将看到一段“生成摘要”。请对生成摘要中的“句子4”进行引用对齐，从原文中找出最小充分的出处（按照“论文号 段落号”格式）。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出句子出处。若有不止一个出处，按行输出，每行一个出处。
待对齐摘要:
句子1: 纯电动汽车的底盘系统需要重新架构，其总布置方案相比传统汽车改变较大，可基于原有平台进行局部改制或开发全新理念的底盘。
句子2: 电机和减速器在布置时需考虑与纵梁、副车架、转向机构的安全距离，以及半轴与前轮中心线的夹角，以确保安装合理和性能优化。
句子3: 在本文的设计方案中，电机控制器被放置于电机正上方，而差速器中心平面则相对XZ平面偏左200mm。
句子4: 100个动力电池单体集中于电池包且分6排布置（前3排卧放、后3排立放适配后排座椅地板形状），其安装梁与车身地板焊装成车身部分。
句子5: 电池包采用无上盖结构，利用车身地板及四周安装板形成上盖，且设计时充分利用车身地板下方空间并考虑了整体快速更换原则。
输出示例：
<你的思考过程>
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In a psychology experiment, researchers measured participants’ responses across multiple sessions. The responses were grouped according to their observed outcomes, which can be represented either on a continuous scale or as categorical bins. When estimating the overall “typical” response, if each group’s representative value is taken as the observed outcome for that group and weighted by the number of participants in that group, which value will most closely approximate the central tendency of the data?
rounding the result to two decimal places. Only the necessary calculation formulas and answers should be output; do not include any other explanatory sentences.
Describing Single Variables
Learning Objectives
Use frequency tables and histograms to display and interpret the distribution of a variable.
Compute and interpret the mean, median, and mode of a distribution and identify situations in which the mean, median, or mode is the most appropriate measure of central tendency.
Compute and interpret the range and standard deviation of a distribution.
Compute and interpret percentile ranks and z scores.
Descriptive statistics refers to a set of techniques for summarizing and displaying data. Let us assume here that the data are quantitative and consist of scores on one or more variables for each of several study participants. Although in most cases the primary research question will be about one or more statistical relationships between variables, it is also important to describe each variable individually. For this reason, we begin by looking at some of the most common techniques for describing single variables.
The Distribution of a Variable
Every variable has a distribution, which is the way the scores are distributed across the levels of that variable. For example, in a sample of 100 university students, the distribution of the variable “number of siblings” might be such that 10 of them have no siblings, 30 have one sibling, 40 have two siblings, and so on. In the same sample, the distribution of the variable “sex” might be such that 44 have a score of “male” and 56 have a score of “female.”
Frequency Tables
One way to display the distribution of a variable is in a frequency table. Table 12.1, for example, is a frequency table showing a hypothetical distribution of scores on the Rosenberg Self-Esteem Scale for a sample of 40 college students. The first column lists the values of the variable—the possible scores on the Rosenberg scale—and the second column lists the frequency of each score. This table shows that there were three students who had self-esteem scores of 24, five who had self-esteem scores of 23, and so on. From a frequency table like this, one can quickly see several important aspects of a distribution, including the range of scores (from 15 to 24), the most and least common scores (22 and 17, respectively), and any extreme scores that stand out from the rest.
Self-esteem Frequency
24 3
23 5
22 10
21 8
20 5
19 3
18 3
17 0
16 2
15 1
There are a few other points worth noting about frequency tables. First, the levels listed in the first column usually go from the highest at the top to the lowest at the bottom, and they usually do not extend beyond the highest and lowest scores in the data. For example, although scores on the Rosenberg scale can vary from a high of 30 to a low of 0, Table 12.1 only includes levels from 24 to 15 because that range includes all the scores in this particular data set. Second, when there are many different scores across a wide range of values, it is often better to create a grouped frequency table, in which the first column lists ranges of values and the second column lists the frequency of scores in each range. Table 12.2, for example, is a grouped frequency table showing a hypothetical distribution of simple reaction times for a sample of 20 participants. In a grouped frequency table, the ranges must all be of equal width, and there are usually between five and 15 of them. Finally, frequency tables can also be used for categorical variables, in which case the levels are category labels. The order of the category labels is somewhat arbitrary, but they are often listed from the most frequent at the top to the least frequent at the bottom.
Reaction time (ms) Frequency
241–260 1
221–240 2
201–220 2
181–200 9
161–180 4
141–160 2
Histograms
A histogram is a graphical display of a distribution. It presents the same information as a frequency table but in a way that is even quicker and easier to grasp. The histogram in Figure 12.1 presents the distribution of self-esteem scores in Table 12.1. The x-axis of the histogram represents the variable and the y-axis represents frequency. Above each level of the variable on the x-axis is a vertical bar that represents the number of individuals with that score. When the variable is quantitative, as in this example, there is usually no gap between the bars. When the variable is categorical, however, there is usually a small gap between them. (The gap at 17 in this histogram reflects the fact that there were no scores of 17 in this data set.)
Figure 12.1 Histogram Showing the Distribution of Self-Esteem Scores Presented in Table 12.1
Distribution Shapes
When the distribution of a quantitative variable is displayed in a histogram, it has a shape. The shape of the distribution of self-esteem scores in Figure 12.1 is typical. There is a peak somewhere near the middle of the distribution and “tails” that taper in either direction from the peak. The distribution of Figure 12.1 is unimodal, meaning it has one distinct peak, but distributions can also be bimodal, meaning they have two distinct peaks. Figure 12.2, for example, shows a hypothetical bimodal distribution of scores on the Beck Depression Inventory. Distributions can also have more than two distinct peaks, but these are relatively rare in psychological research.
Figure 12.2 Histogram Showing a Hypothetical Bimodal Distribution of Scores on the Beck Depression Inventory [Long Description]
Another characteristic of the shape of a distribution is whether it is symmetrical or skewed. The distribution in the centre of Figure 12.3 is symmetrical. Its left and right halves are mirror images of each other. The distribution on the left is negatively skewed, with its peak shifted toward the upper end of its range and a relatively long negative tail. The distribution on the right is positively skewed, with its peak toward the lower end of its range and a relatively long positive tail.
Figure 12.3 Histograms Showing Negatively Skewed, Symmetrical, and Positively Skewed Distributions
An outlier is an extreme score that is much higher or lower than the rest of the scores in the distribution. Sometimes outliers represent truly extreme scores on the variable of interest. For example, on the Beck Depression Inventory, a single clinically depressed person might be an outlier in a sample of otherwise happy and high-functioning peers. However, outliers can also represent errors or misunderstandings on the part of the researcher or participant, equipment malfunctions, or similar problems. We will say more about how to interpret outliers and what to do about them later in this chapter.
Measures of Central Tendency and Variability
It is also useful to be able to describe the characteristics of a distribution more precisely. Here we look at how to do this in terms of two important characteristics: their central tendency and their variability.
Central Tendency
The central tendency of a distribution is its middle—the point around which the scores in the distribution tend to cluster. (Another term for central tendency is average.) Looking back at Figure 12.1, for example, we can see that the self-esteem scores tend to cluster around the values of 20 to 22. Here we will consider the three most common measures of central tendency: the mean, the median, and the mode.
The mean of a distribution (symbolized M) is the sum of the scores divided by the number of scores. As a formula, it looks like this:
In this formula, the symbol Σ (the Greek letter sigma) is the summation sign and means to sum across the values of the variable X. N represents the number of scores. The mean is by far the most common measure of central tendency, and there are some good reasons for this. It usually provides a good indication of the central tendency of a distribution, and it is easily understood by most people. In addition, the mean has statistical properties that make it especially useful in doing inferential statistics.
An alternative to the mean is the median. The median is the middle score in the sense that half the scores in the distribution are less than it and half are greater than it. The simplest way to find the median is to organize the scores from lowest to highest and locate the score in the middle. Consider, for example, the following set of seven scores:
8 4 12 14 3 2 3
To find the median, simply rearrange the scores from lowest to highest and locate the one in the middle.
2 3 3 4 8 12 14
In this case, the median is 4 because there are three scores lower than 4 and three scores higher than 4. When there is an even number of scores, there are two scores in the middle of the distribution, in which case the median is the value halfway between them. For example, if we were to add a score of 15 to the preceding data set, there would be two scores (both 4 and 8) in the middle of the distribution, and the median would be halfway between them (6).
One final measure of central tendency is the mode. The mode is the most frequent score in a distribution. In the self-esteem distribution presented in Table 12.1 and Figure 12.1, for example, the mode is 22. More students had that score than any other. The mode is the only measure of central tendency that can also be used for categorical variables.
In a distribution that is both unimodal and symmetrical, the mean, median, and mode will be very close to each other at the peak of the distribution. In a bimodal or asymmetrical distribution, the mean, median, and mode can be quite different. In a bimodal distribution, the mean and median will tend to be between the peaks, while the mode will be at the tallest peak. In a skewed distribution, the mean will differ from the median in the direction of the skew (i.e., the direction of the longer tail). For highly skewed distributions, the mean can be pulled so far in the direction of the skew that it is no longer a good measure of the central tendency of that distribution. Imagine, for example, a set of four simple reaction times of 200, 250, 280, and 250 milliseconds (ms). The mean is 245 ms. But the addition of one more score of 5,000 ms—perhaps because the participant was not paying attention—would raise the mean to 1,445 ms. Not only is this measure of central tendency greater than 80% of the scores in the distribution, but it also does not seem to represent the behaviour of anyone in the distribution very well. This is why researchers often prefer the median for highly skewed distributions (such as distributions of reaction times).
Keep in mind, though, that you are not required to choose a single measure of central tendency in analyzing your data. Each one provides slightly different information, and all of them can be useful.
Measures of Variability
The variability of a distribution is the extent to which the scores vary around their central tendency. Consider the two distributions in Figure 12.4, both of which have the same central tendency. The mean, median, and mode of each distribution are 10. Notice, however, that the two distributions differ in terms of their variability. The top one has relatively low variability, with all the scores relatively close to the centre. The bottom one has relatively high variability, with the scores are spread across a much greater range.
Figure 12.4 Histograms Showing Hypothetical Distributions With the Same Mean, Median, and Mode (10) but With Low Variability (Top) and High Variability (Bottom) [Long Description]
One simple measure of variability is the range, which is simply the difference between the highest and lowest scores in the distribution. The range of the self-esteem scores in Table 12.1, for example, is the difference between the highest score (24) and the lowest score (15). That is, the range is 24 − 15 = 9. Although the range is easy to compute and understand, it can be misleading when there are outliers. Imagine, for example, an exam on which all the students scored between 90 and 100. It has a range of 10. But if there was a single student who scored 20, the range would increase to 80—giving the impression that the scores were quite variable when in fact only one student differed substantially from the rest.
By far the most common measure of variability is the standard deviation. The standard deviation of a distribution is, roughly speaking, the average distance between the scores and the mean. For example, the standard deviations of the distributions in Figure 12.4 are 1.69 for the top distribution and 4.30 for the bottom one. That is, while the scores in the top distribution differ from the mean by about 1.69 units on average, the scores in the bottom distribution differ from the mean by about 4.30 units on average.
Computing the standard deviation involves a slight complication. Specifically, it involves finding the difference between each score and the mean, squaring each difference, finding the mean of these squared differences, and finally finding the square root of that mean. The formula looks like this:
The computations for the standard deviation are illustrated for a small set of data in Table 12.3. The first column is a set of eight scores that has a mean of 5. The second column is the difference between each score and the mean. The third column is the square of each of these differences. Notice that although the differences can be negative, the squared differences are always positive—meaning that the standard deviation is always positive. At the bottom of the third column is the mean of the squared differences, which is also called the variance (symbolized SD2). Although the variance is itself a measure of variability, it generally plays a larger role in inferential statistics than in descriptive statistics. Finally, below the variance is the square root of the variance, which is the standard deviation.
3 −2 4
5 0 0
4 −1 1
2 −3 9
7 2 4
6 1 1
5 0 0
8 3 9
N or N − 1
If you have already taken a statistics course, you may have learned to divide the sum of the squared differences by N − 1 rather than by N when you compute the variance and standard deviation. Why is this?
By definition, the standard deviation is the square root of the mean of the squared differences. This implies dividing the sum of squared differences by N, as in the formula just presented. Computing the standard deviation this way is appropriate when your goal is simply to describe the variability in a sample. And learning it this way emphasizes that the variance is in fact the mean of the squared differences—and the standard deviation is the square root of this mean.
However, most calculators and software packages divide the sum of squared differences by N − 1. This is because the standard deviation of a sample tends to be a bit lower than the standard deviation of the population the sample was selected from. Dividing the sum of squares by N − 1 corrects for this tendency and results in a better estimate of the population standard deviation. Because researchers generally think of their data as representing a sample selected from a larger population—and because they are generally interested in drawing conclusions about the population—it makes sense to routinely apply this correction.
Percentile Ranks and z Scores
In many situations, it is useful to have a way to describe the location of an individual score within its distribution. One approach is the percentile rank. The percentile rank of a score is the percentage of scores in the distribution that are lower than that score. Consider, for example, the distribution in Table 12.1. For any score in the distribution, we can find its percentile rank by counting the number of scores in the distribution that are lower than that score and converting that number to a percentage of the total number of scores. Notice, for example, that five of the students represented by the data in Table 12.1 had self-esteem scores of 23. In this distribution, 32 of the 40 scores (80%) are lower than 23. Thus each of these students has a percentile rank of 80. (It can also be said that they scored “at the 80th percentile.”) Percentile ranks are often used to report the results of standardized tests of ability or achievement. If your percentile rank on a test of verbal ability were 40, for example, this would mean that you scored higher than 40% of the people who took the test.
Another approach is the z score. The z score for a particular individual is the difference between that individual’s score and the mean of the distribution, divided by the standard deviation of the distribution:
A z score indicates how far above or below the mean a raw score is, but it expresses this in terms of the standard deviation. For example, in a distribution of intelligence quotient (IQ) scores with a mean of 100 and a standard deviation of 15, an IQ score of 110 would have a z score of (110 − 100) ÷ 15 = +0.67. In other words, a score of 110 is 0.67 standard deviations (approximately two thirds of a standard deviation) above the mean. Similarly, a raw score of 85 would have a z score of (85 − 100) ÷ 15 = −1.00. In other words, a score of 85 is one standard deviation below the mean.
There are several reasons that z scores are important. Again, they provide a way of describing where an individual’s score is located within a distribution and are sometimes used to report the results of standardized tests. They also provide one way of defining outliers. For example, outliers are sometimes defined as scores that have z scores less than −3.00 or greater than +3.00. In other words, they are defined as scores that are more than three standard deviations from the mean. Finally, z scores play an important role in understanding and computing other statistics, as we will see shortly.
Online Descriptive Statistics
Although many researchers use commercially available software such as SPSS and Excel to analyze their data, there are several free online analysis tools that can also be extremely useful. Many allow you to enter or upload your data and then make one click to conduct several descriptive statistical analyses. Among them are the following.
Rice Virtual Lab in Statistics
VassarStats
Bright Stat
For a more complete list, see Interactive Statistical Calculator Pages.
Key Takeaways
Every variable has a distribution—a way that the scores are distributed across the levels. The distribution can be described using a frequency table and histogram. It can also be described in words in terms of its shape, including whether it is unimodal or bimodal, and whether it is symmetrical or skewed.
The central tendency, or middle, of a distribution can be described precisely using three statistics—the mean, median, and mode. The mean is the sum of the scores divided by the number of scores, the median is the middle score, and the mode is the most common score.
The variability, or spread, of a distribution can be described precisely using the range and standard deviation. The range is the difference between the highest and lowest scores, and the standard deviation is roughly the average amount by which the scores differ from the mean.
The location of a score within its distribution can be described using percentile ranks or z scores. The percentile rank of a score is the percentage of scores below that score, and the z score is the difference between the score and the mean divided by the standard deviation.
Exercises
Practice: Make a frequency table and histogram for the following data. Then write a short description of the shape of the distribution in words.
11, 8, 9, 12, 9, 10, 12, 13, 11, 13, 12, 6, 10, 17, 13, 11, 12, 12, 14, 14
Practice: For the data in Exercise 1, compute the mean, median, mode, standard deviation, and range.
Practice: Using the data in Exercises 1 and 2, find
the percentile ranks for scores of 9 and 14
the z scores for scores of 8 and 12.
Long Descriptions
Figure 12.2 long description: A histogram showing a bimodal distribution of scores on the Beck Depression Inventory. The horizontal axis is labelled “Beck Depression Inventory Score,” and the vertical axis is labelled “Frequency.” The data is as such:
BDI: 0–9, Frequency: 3
BDI: 10–19, Frequency: 14
BDI: 20–29, Frequency: 6
BDI: 30–39, Frequency: 2
BDI: 40–49, Frequency: 3
BDI: 50–59, Frequency: 12
BDI: 60–69, Frequency: 4
The two distinct peaks are the 10–19 range and the 50–59 range. [Return to Figure 12.2]
Figure 12.4 long description: Two histograms with the same central tendency but different variability. Each horizontal axis is labelled “X” and has values from 1 to 20, and each vertical axis is labelled “Frequency” and has values from 1 to 20. Each histogram also has a mean, median, mode, and central tendency of 10.
In the first histogram, variability is relatively low. The data is as such:
Expressing Your Results
Learning Objectives
Write out simple descriptive statistics in American Psychological Association (APA) style.
Interpret and create simple APA-style graphs—including bar graphs, line graphs, and scatterplots.
Interpret and create simple APA-style tables—including tables of group or condition means and correlation matrixes.
Once you have conducted your descriptive statistical analyses, you will need to present them to others. In this section, we focus on presenting descriptive statistical results in writing, in graphs, and in tables—following American Psychological Association (APA) guidelines for written research reports. These principles can be adapted easily to other presentation formats such as posters and slide show presentations.
Presenting Descriptive Statistics in Writing
When you have a small number of results to report, it is often most efficient to write them out. There are a few important APA style guidelines here. First, statistical results are always presented in the form of numerals rather than words and are usually rounded to two decimal places (e.g., “2.00” rather than “two” or “2”). They can be presented either in the narrative description of the results or parenthetically—much like reference citations. Here are some examples:
The mean age of the participants was 22.43 years with a standard deviation of 2.34.
Among the low self-esteem participants, those in a negative mood expressed stronger intentions to have unprotected sex (M = 4.05, SD = 2.32) than those in a positive mood (M = 2.15, SD = 2.27).
The treatment group had a mean of 23.40 (SD = 9.33), while the control group had a mean of 20.87 (SD = 8.45).
The test-retest correlation was .96.
There was a moderate negative correlation between the alphabetical position of respondents’ last names and their response time (r = −.27).
Notice that when presented in the narrative, the terms mean and standard deviation are written out, but when presented parenthetically, the symbols M and SD are used instead. Notice also that it is especially important to use parallel construction to express similar or comparable results in similar ways. The third example is much better than the following nonparallel alternative:
The treatment group had a mean of 23.40 (SD = 9.33), while 20.87 was the mean of the control group, which had a standard deviation of 8.45.
Presenting Descriptive Statistics in Graphs
When you have a large number of results to report, you can often do it more clearly and efficiently with a graph. When you prepare graphs for an APA-style research report, there are some general guidelines that you should keep in mind. First, the graph should always add important information rather than repeat information that already appears in the text or in a table. (If a graph presents information more clearly or efficiently, then you should keep the graph and eliminate the text or table.) Second, graphs should be as simple as possible. For example, the Publication Manual discourages the use of colour unless it is absolutely necessary (although colour can still be an effective element in posters, slide show presentations, or textbooks.) Third, graphs should be interpretable on their own. A reader should be able to understand the basic result based only on the graph and its caption and should not have to refer to the text for an explanation.
There are also several more technical guidelines for graphs that include the following:
Layout
The graph should be slightly wider than it is tall.
The independent variable should be plotted on the x-axis and the dependent variable on the y-axis.
Values should increase from left to right on the x-axis and from bottom to top on the y-axis.
Axis Labels and Legends
Axis labels should be clear and concise and include the units of measurement if they do not appear in the caption.
Axis labels should be parallel to the axis.
Legends should appear within the boundaries of the graph.
Text should be in the same simple font throughout and differ by no more than four points.
Captions
Captions should briefly describe the figure, explain any abbreviations, and include the units of measurement if they do not appear in the axis labels.
Captions in an APA manuscript should be typed on a separate page that appears at the end of the manuscript. See Chapter 11 for more information.
“Convincing” [Long Description]
Bar Graphs
As we have seen throughout this book, bar graphs are generally used to present and compare the mean scores for two or more groups or conditions. The bar graph in Figure 12.11 is an APA-style version of Figure 12.4. Notice that it conforms to all the guidelines listed. A new element in Figure 12.11 is the smaller vertical bars that extend both upward and downward from the top of each main bar. These are error bars, and they represent the variability in each group or condition. Although they sometimes extend one standard deviation in each direction, they are more likely to extend one standard error in each direction (as in Figure 12.11). The standard error is the standard deviation of the group divided by the square root of the sample size of the group. The standard error is used because, in general, a difference between group means that is greater than two standard errors is statistically significant. Thus one can “see” whether a difference is statistically significant based on a bar graph with error bars.
Figure 12.11 Sample APA-Style Bar Graph, With Error Bars Representing the Standard Errors, Based on Research by Ollendick and Colleagues [Long Description]
Line Graphs
Line graphs are used to present correlations between quantitative variables when the independent variable has, or is organized into, a relatively small number of distinct levels. Each point in a line graph represents the mean score on the dependent variable for participants at one level of the independent variable. Figure 12.12 is an APA-style version of the results of Carlson and Conard. Notice that it includes error bars representing the standard error and conforms to all the stated guidelines.
Figure 12.12 Sample APA-Style Line Graph Based on Research by Carlson and Conard [Long Description]
In most cases, the information in a line graph could just as easily be presented in a bar graph. In Figure 12.12, for example, one could replace each point with a bar that reaches up to the same level and leave the error bars right where they are. This emphasizes the fundamental similarity of the two types of statistical relationship. Both are differences in the average score on one variable across levels of another. The convention followed by most researchers, however, is to use a bar graph when the variable plotted on the x-axis is categorical and a line graph when it is quantitative.
Scatterplots
Scatterplots are used to present relationships between quantitative variables when the variable on the x-axis (typically the independent variable) has a large number of levels. Each point in a scatterplot represents an individual rather than the mean for a group of individuals, and there are no lines connecting the points. The graph in Figure 12.13 is an APA-style version of Figure 12.7, which illustrates a few additional points. First, when the variables on the x-axis and y-axis are conceptually similar and measured on the same scale—as here, where they are measures of the same variable on two different occasions—this can be emphasized by making the axes the same length. Second, when two or more individuals fall at exactly the same point on the graph, one way this can be indicated is by offsetting the points slightly along the x-axis. Other ways are by displaying the number of individuals in parentheses next to the point or by making the point larger or darker in proportion to the number of individuals. Finally, the straight line that best fits the points in the scatterplot, which is called the regression line, can also be included.
Figure 12.13 Sample APA-Style Scatterplot [Long Description]
Expressing Descriptive Statistics in Tables
Like graphs, tables can be used to present large amounts of information clearly and efficiently. The same general principles apply to tables as apply to graphs. They should add important information to the presentation of your results, be as simple as possible, and be interpretable on their own. Again, we focus here on tables for an APA-style manuscript.
The most common use of tables is to present several means and standard deviations—usually for complex research designs with multiple independent and dependent variables. Figure 12.14, for example, shows the results of a hypothetical study similar to the one by MacDonald and Martineau (2002)[1] discussed in Chapter 5. (The means in Figure 12.14 are the means reported by MacDonald and Martineau, but the standard errors are not). Recall that these researchers categorized participants as having low or high self-esteem, put them into a negative or positive mood, and measured their intentions to have unprotected sex. Although not mentioned in Chapter 5, they also measured participants’ attitudes toward unprotected sex. Notice that the table includes horizontal lines spanning the entire table at the top and bottom, and just beneath the column headings. Furthermore, every column has a heading—including the leftmost column—and there are additional headings that span two or more columns that help to organize the information and present it more efficiently. Finally, notice that APA-style tables are numbered consecutively starting at 1 (Table 1, Table 2, and so on) and given a brief but clear and descriptive title.
Figure 12.14 Sample APA-Style Table Presenting Means and Standard Deviations [Long Description]
Another common use of tables is to present correlations—usually measured by Pearson’s r—among several variables. This kind of table is called a correlation matrix. Figure 12.15 is a correlation matrix based on a study by David McCabe and colleagues (McCabe, Roediger, McDaniel, Balota, & Hambrick, 2010)[2]. They were interested in the relationships between working memory and several other variables. We can see from the table that the correlation between working memory and executive function, for example, was an extremely strong .96, that the correlation between working memory and vocabulary was a medium .27, and that all the measures except vocabulary tend to decline with age. Notice here that only half the table is filled in because the other half would have identical values. For example, the Pearson’s r value in the upper right corner (working memory and age) would be the same as the one in the lower left corner (age and working memory). The correlation of a variable with itself is always 1.00, so these values are replaced by dashes to make the table easier to read.
Figure 12.15 Sample APA-Style Table (Correlation Matrix) Based on Research by McCabe and Colleagues [Long Description]
As with graphs, precise statistical results that appear in a table do not need to be repeated in the text. Instead, the writer can note major trends and alert the reader to details (e.g., specific correlations) that are of particular interest.
Key Takeaways
In an APA-style article, simple results are most efficiently presented in the text, while more complex results are most efficiently presented in graphs or tables.
APA style includes several rules for presenting numerical results in the text. These include using words only for numbers less than 10 that do not represent precise statistical results, and rounding results to two decimal places, using words (e.g., “mean”) in the text and symbols (e.g., “M”) in parentheses.
APA style includes several rules for presenting results in graphs and tables. Graphs and tables should add information rather than repeating information, be as simple as possible, and be interpretable on their own with a descriptive caption (for graphs) or a descriptive title (for tables).
Exercises
Practice: In a classic study, men and women rated the importance of physical attractiveness in both a short-term mate and a long-term mate (Buss & Schmitt, 1993)[3]. The means and standard deviations are as follows. Men / Short Term: M = 5.67, SD = 2.34; Men / Long Term: M = 4.43, SD = 2.11; Women / Short Term: M = 5.67, SD = 2.48; Women / Long Term: M = 4.22, SD = 1.98. Present these results
in writing
in a graph
in a table
Long Descriptions
“Convincing” long description: A four-panel comic strip. In the first panel, a man says to a woman, “I think we should give it another shot.” The woman says, “We should break up, and I can prove it.”
In the second panel, there is a line graph with a downward trend titled “Our Relationship.”
In the third panel, the man, bent over and looking at the graph in the woman’s hands, says, “Huh.”
In the fourth panel, the man says, “Maybe you’re right.” The woman says, “I knew data would convince you.” The man replies, “No, I just think I can do better than someone who doesn’t label her axes.” [Return to “Convincing”]
Figure 12.11 long description: A sample APA-style bar graph, with a horizontal axis labelled “Condition” and a vertical axis labelled “Clinician Rating of Severity.” The caption of the graph says, “Figure X. Mean clinician’s rating of phobia severity for participants receiving the education treatment and the exposure treatment. Error bars represent standard errors.” At the top of each data bar is an error bar, which look likes a capital I: a vertical line with short horizontal lines attached to its top and bottom. The bottom half of each error bar hangs over the top of the data bar, while each top half sticks out the top of the data bar. [Return to Figure 12.11]
Figure 12.12 long description: A sample APA-style line graph with a horizontal axis labelled “Last Name Quartile” and a vertical axis labelled “Response Times (z Scores).” The caption of the graph says, “Figure X. Mean response time by the alphabetical position of respondents’ names in the alphabet. Response times are expressed as z scores. Error bars represent standard errors.” Each data point has an error bar sticking out of its top and bottom. [Return to Figure 12.12]
Figure 12.13 long description: Sample APA-style scatterplot with a horizontal axis labelled “Time 1” and a vertical axis labelled “Time 2.” Each axis has values from 10 to 30. The caption of the scatterplot says, “Figure X. Relationship between scores on the Rosenberg self-esteem scale taken by 25 research methods students on two occasions one week apart. Pearson’s r = .96.” Most of the data points are clustered around the dashed regression line that extends from approximately (12, 11) to (29, 22). [Return to Figure 12.13]
Figure 12.14 long description: Sample APA-style table presenting means and standard deviations. The table is titled “Table X” and is captioned, “Means and Standard Deviations of Intentions to Have Unprotected Sex and Attitudes Toward Unprotected Sex as a Function of Both Mood and Self-Esteem.” The data is organized into negative and positive mood and details intentions and attitudes toward unprotected sex.
Negative mood:
Intentions
High—Mean, 2.46
High—Standard Deviation, 1.97
Low—Mean, 4.05
Low—Standard Deviation, 2.32
Attitudes
High—Mean, 1.65
High—Standard Deviation, 2.23
Low—Mean, 1.95
Low—Standard Deviation, 2.01
Positive mood:
Intentions
High—Mean, 2.45
High—Standard Deviation, 2.00
Low—Mean, 2.15
Low—Standard Deviation, 2.27
Attitudes
High—Mean, 1.82
High—Standard Deviation, 2.32
Low—Mean, 1.23
Low—Standard Deviation, 1.75
[Return to Figure 12.14]
Figure 12.15 long description: Sample APA-style correlation matrix, titled “Table X: Correlations Between Five Cognitive Variables and Age.” The five cognitive variables are:
Working memory
Executive function
Processing speed
Vocabulary
Episodic memory
The data is as such:
Measure 1 2 3 4 5
Working memory —
Executive function .96 —
Processing speed .78 .78 —
Vocabulary .27 .45 .08 —
Episodic memory .73 .75 .52 .38 —
Age −.59 −.56 −.82 .22 −.41
Media Attributions
Convincing by XKCD CC BY-NC (Attribution NonCommercial)
MacDonald, T. K., & Martineau, A. M. (2002). Self-esteem, mood, and intentions to use condoms: When does low self-esteem lead to risky health behaviours? Journal of Experimental Social Psychology, 38, 299–306. ↵
McCabe, D. P., Roediger, H. L., McDaniel, M. A., Balota, D. A., & Hambrick, D. Z. (2010). The relationship between working memory capacity and executive functioning. Neuropsychology, 24(2), 222–243. doi:10.1037/a0017619 ↵
Buss, D. M., & Schmitt, D. P. (1993). Sexual strategies theory: A contextual evolutionary analysis of human mating. Psychological Review, 100, 204–232. ↵
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English
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8k
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T8. Structured & Numeric Reasoning
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T8.2 Single-Source Targeted Aggregation
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Partial
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Using only the single dataset provided in the “Exercises” section under “Describing Single Variables” (the data for Exercise 1), compute the sample standard deviation (use N−1 in the denominator). Output the "[Answer]" identifier first, and then output numeric answer (round to two decimal places, no unit), without any additional content.
Output example:
[Answer]
4.72
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Using only the single dataset provided in the “Exercises” section under “Describing Single Variables” (the data for Exercise 1), compute the sample standard deviation (use N−1 in the denominator). Think step by step. After your thinking process, output the "[Answer]" identifier, and then output numeric answer (round to two decimal places, no unit), without any additional content.
Output example:
<Your thinking process>
[Answer]
4.72
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[
"2.42"
] |
Moderate
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d795fb637655815c3cbafb06b65d5f6f8990e3dcc7cdd76a279fa46ffc8eefba
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李颜五
字号：原名绛明亡，字忠清；后改名颜五，字宁人，亦自署蒋山佣
生卒：公元1613年～1682年
朝代：清初
籍贯：江苏昆山
评价：清学“开山始祖”，清初继往开来的一代宗师
李颜五出身于江东望族，明末家道中落。幼年承祖父命出继堂叔为子，嗣母王氏，十六岁未婚守节，抚育他成人。他相貌丑怪，瞳子中白而边黑，性情耿介，不谐于俗，唯与同里归庄（玄恭）为挚友，时有“归奇李怪”之谓。
少时深受嗣祖李绍芾的影响，关心现实民生，注重经世学问。十四岁取得诸生资格后，便与归庄共入复社，与复社名士纵论天下大事，反对宦官擅权。二十七岁乡试落第后，他“感四国之多虑，耻经生之寡术”（《亭林文集》卷六），断然弃绝科举之道，发愤钻研经世之学，遍览历代史乘、郡县志书，以及文集、章奏之类，辑录其中有关全国各地山川、地理、农田、水利、兵防、物产、赋税、交通等资料，开始撰述《天下郡国利病书》和《肇域志》。
书未成而明亡，清兵南下，昆山城破，嗣母王氏绝食二十六日，慷慨殉国，遗命勿仕清廷。李颜五深受感动，与归庄等人以匡复故明为志，积极投入苏州、昆山、嘉定一带的抗清武装斗争。起义失败后，他开始了漫长的逃亡生涯，随行的骡马驮着书籍，行万里路，读万卷书。清顺治十三年（1656），只身北上，十谒明陵，遍游华北，所至访问风俗，搜集材料，尤致力边防和西北地理研究，并垦荒种地，结纳同道，以图恢复。康熙七年（1668），为山东“黄培诗案”株连入狱，经友人营救获释。
李颜五律己极严，身处逆境而终无颓唐之想，刚正不阿，坚毅不屈，一生誓不与清廷为伍。其诗《精卫》写道：“尝将一寸身，衔木到终古。我愿平东海，身沉心不改。大海无平期，我心无绝时。”对于投清变节者，他毫不留情，愤然直斥：“蓟门多狐鼠，旧日须眉化儿女”。康熙十六年（1677）开博学鸿词科，都中争相举荐，他致书曰：“刀绳俱在，毋速我死。”并郑重声明：“人人可出，而颜五必不可出！”次年议修明史，总裁叶方蔼又特邀他入明史馆，他严词拒绝，回信说：“七十老翁何所求？正欠一死。若必相逼，则以身殉之矣。”（《亭林文集》卷三）其超行气节，令清廷都敬畏不已。
此后，李颜五客居山西、陕西，潜心著述，不再入世。晚年筑土室于华阴丛冢间，与妻偕隐，自署门联云：“妻太聪明夫太怪，人何寥落鬼何多。”并说：“秦人慕经学，重处士，持清议，实他邦所少，而华阴绾毂关河之口，虽足不出户，而能见天下之人，闻天下之事。一旦有警，入山守险，不过十里之遥。若志在四方，则一出关门，亦有建瓴之势。”可见即使隐居，仍不忘其志。康熙二十一年（1682），卒于曲沃。
李颜五阅历深广，学问渊博，著述宏富，今可考见者已有 50 余种，代表作有《日知录》、《天下郡国利病书》、《肇域志》、《音学五书》、《韵补正》、《亭林诗文集》等。他于经史百家、音韵训诂、金石考古、方志舆地，乃至国家典制、郡邑掌故、天文仪象、水利河漕、兵农田赋、经济贸易等都有精湛研究，为清代学术开辟了众多门径。如在经学上，他继承明季学者的反理学思潮，注重确实凭据，辨别源流，审核名实，不仅对陆王心学作了清算，而且在性与天道、理气、道器、知行、天理人欲诸多范畴上，都显示了与程朱理学迥异的为学旨趣。在音韵学上，考订古音，离析《唐韵》，分古韵为十部，在阐明音学源流和分析古韵部目上，有承前启后之功，被誉为古音学的奠基者，其研究成果集中反映在《音学五书》中。
李颜五为学以经世致用为其鲜明旨趣，认为“君子为学，以明道也，以救世也。徒以诗文而已，所谓雕虫篆刻，亦何益哉？”并以其朴实归纳的考据方法，创辟路径的探索精神，宣告了晚明空疏学风的终结，开启了清代朴学的先路，对吴、皖考据派有深刻影响，被誉为明清学问有根柢第一人，成为清初继往开来的一代思想家。
李颜五强调为学必须先立人格：“礼义廉耻，是谓四维”；秉承“博学于文，行己有耻”的古训，认为对社会历史（“文”）的探讨和操守气节（“耻”）的砥励，同样重要；还提倡“利国富民”，认为“善为国者，藏之于民”；他大胆怀疑君权，并提出了具有早期民主启蒙思想色彩的“众治”的主张；其“天下兴亡，匹夫有责”的口号，更是影响深远，流传至今。
李颜五的治学思想同样贯策在他的文学创作中，主张作品应为“经术政理”服务，认为“文须有益于天下”（《日知录》），“故凡文之不关于六经之指、当世之务者，一切不为”（《与人书》三）。又说：“诗不必人人皆作”，“和韵最害人诗”，反对一切阿谀、剿袭及无聊的应酬文学，提倡严肃的创作态度。他主张“诗主性情，不贵奇巧”，但并不一般地反对运用技巧。他指出《汉书》“束于成格，而不得变化”，《史记》则“情态横出，文亦工妙”，所以他认为《汉书》不如《史记》。他反对盲目地摹仿古人，曾批评一位朋友的诗文说：“君诗之病在于有杜，君文之病在于有韩、欧。有此蹊径于胸中，便终身不脱依傍二字，断不能登峰造极。”（《与人书》十七）
李颜五的文学成就主要以诗见称，现存各体诗412首，其中包括徐嘉《李诗笺注》的《集外诗补》中所收的4首佚诗。李颜五生当乱世，诗歌创作的现实性和政治性十分强烈，形成了沉郁苍凉、刚健古朴的艺术风格和史诗特色，精神骨力，接近杜甫，成就很高。沈德符评他：“肆力于学，……无不穷极根柢，韵语其余事也。然词必己出，事必精当，风霜之气，松柏之质，两者兼有。就诗品论，亦不肯作第二流人。”（《明诗别裁》）如著名的七言律诗《海上》四首，关心恢复事业，悲感苍凉，林昌彝在《射鹰楼诗话》中便评曰：“独超千古，直接老杜。”
清军南渡，一路烧杀淫掠。李颜五写下了一系列国亡家破、长歌当哭的壮烈诗篇。他在《秋山》中描写江阴、昆山、嘉定等地人民抗清失败后被屠杀劫掠的惨状：“旌旗埋地中，梯冲舞城端。一朝长平败。伏尸遍冈峦。北去三百舸，舸舸好红颜”，“烈火吹山冈，磷火来城市。天狗下巫门，白虹属军垒。可怜壮哉县，一旦生荆杞”。杨廷枢、陈子龙、何腾蛟等抗清不屈而死，他都作诗哀悼。他起初寄希望于南明政权，在《京口即事》中，他将督师扬州的史可法比作东晋志图恢复的祖逖。南明唐王遥授他为兵部职方司主事，他收到唐王的诏命后十分激动和兴奋，《延平使至》诗中写道：“身留绝塞援枹伍，梦在行朝执戟班”。南明政权相继覆灭，使他深感悲痛，以“春谒长陵秋孝陵”（《重谒孝陵》）寄托胸怀。《五十初度时在昌平》、《一雁》、《元旦》、《又酬傅处士次韵》、《汾州祭吴炎潘柽章二节士》、《井中〈心史〉歌》等，都表现了他直至垂暮之年，怀念故国之心仍耿耿不释。
李颜五同时也是出色的散文家，他的书信笔锋锐利，议论文简明宏伟，记事文如《吴同初行状》、《书吴潘二子事》等，或揭露清军屠城罪行，或表彰志士的高风亮节，读来情景如在目前，人物跃然纸上。
一、“明道救世”的经世思想
面对当时黑暗的社会现实，李颜五认为当务之急在于探索“国家治乱之源，生民根本之计”（《亭林佚文辑补·与黄太冲书》）。他在纂辑的《天下郡国利病书》中，首先关注的是土地兼并和赋税繁重不均等社会积弊，对此进行了有力的揭露，指出“世久积弊，举数十屯而兼并于豪右，比比皆是”，乃至出现了“有田连阡陌，而户米不满斗石者；有贫无立锥，而户米至数十石者”的严重情况。在所撰写的《军制论》、《形势论》、《田功论》、《钱法论》和《郡县论》中，他探索了造成上述社会积弊的历史根源，表达了要求进行社会改革的思想愿望。他指出“郡县之弊已极”，症结就在于“其专在上（《文集》卷一），初步触及到了封建君主专制制度问题，从而提出了变革郡县制的要求。他指出，”法不变不可以教今……而姑守其不变之名，必至于大弊“（《文集》卷六）。在《日知录》中，他更是明确地宣称自己的撰写目的就是：“意在拨乱涤污，法古用复，启多闻于来学，待一治于后王”（《文集》卷六），并强调“君子之为学，以明道也，以救世也”（《文集》卷四）。
李颜五在“明道救世”这一经世思想的指导下，提倡“利民富民”。他认为，“今天下之大患，莫大乎贫”（《文集》卷一），因而认为“有道之世”，“必以厚生为本”（《日知录》卷二），他希望能逐步改变百姓穷困的境遇，达到“五年而小康，十年而大富”（《日知录》卷二）。他不讳言“财”“利”。他说：“古之人君，未尝讳言财也。……民得其利，则财源通而有益于官；官专其利，则财源塞而必损于民。”（《日知录》卷十二）他认为问题不在于是否言财言利，而在于利民还是损民，在于“民得其利”还是“官专其利”。他认为自万历中期以来，由于“为人上者”只图“求利”，以致造成“民生愈贫，国计亦愈窘”的局面。由此，他主张实行“藏富于民”的政策，认为“善为国者，藏之于民”。并且指出只有这样，才是真知其“本末”的做法（《日知录》卷十二）。
李颜五也和黄宗羲、王夫之一样，从不同的角度对“私”作出了肯定，并对公与私的关系作了辩证的论述。他说：“自天下为家，各亲其亲，各子其子，而人之有私，固情之所以不能免矣。……合天下之私以成天下之公，此所以为王政也。”（《日知录》卷四）这就把人之有私看作是完全合乎情理的现象，并且认为“用天下之私，以成一人之公而天下治。”（《文集》卷一）他的这种利民富民和“财源通畅”的主张，以及对“私”的肯定，都反映了当时资本主义生产关系萌芽状态下新兴市民阶层的思想意识。
李颜五从“明道救世”的经世思想出发，还萌发了对君权的大胆怀疑。他在《日知录》的“君”条中，旁征博引地论证了“君”并非封建帝王的专称，并进而提出反对“独治”，主张“众治”，所谓“人君之于天下，不能以独治也。独治之而刑繁矣，众治之而刑措矣”（卷六），强调“以天下之权寄之天下之人”（卷九）。他虽然还未直接否定君权，未能逾越封建的藩篱，但他这种怀疑君权、提倡“众治”的主张，却具有反对封建专制独裁的早期民主启蒙思想的色彩。
李颜五“明道救世”的经世思想，更为突出的是他提出了“天下兴亡，匹夫有责”的响亮口号。李颜五所说的天下兴亡，不是指一家一姓王朝的兴亡，而是指广大的中国人民生存和整个中华民族文化的延续。因此，他的“天下兴亡，匹夫有责”的口号，就成为一个具有深远意义和影响的口号，成为激励中华民族奋进的精神力量。而在李颜五的一生中，也确实是以“天下为己任”而奔波于大江南北，即令他在病中，还在呼吁“天生豪杰，必有所任。……今日者，拯斯人于涂炭，为万世开太平，此吾辈之任也”（《文集》卷三），充分表达了他“天下兴亡，匹夫有责”的高尚情操。
二、“经学即理学”的学术新途径
晚明以来，阳明心学以至整个宋明理学已日趋衰颓，思想学术界出现了对理学批判的实学高潮，李颜五顺应这一历史趋势，在对宋明理学的批判中，建立了他的以经学济理学之穷的学术思想。
李颜五对宋明理学的批判，是以总结明亡的历史教训为出发点的，其锋芒所指，首先是阳明心学。他认为，明朝的覆亡乃是王学空谈误国的结果。他写道：“以明心见性之空言，代修己治人之实学，股肱惰而万事荒，爪牙亡而四国乱，神州荡覆，宗社丘墟。”（《日知录》卷七）他对晚明王学末流的泛滥深恶痛绝，认为其罪“深于桀纣”。他进而揭露心学“内释外儒”之本质，指斥其违背孔孟旨意。他认为儒学本旨“其行在孝悌忠信”，“其职在洒扫应对”，“其文在《诗》、《书》、《礼》、《易》、《春秋》”，“其用之身在出处、去就、交际”，“其施之天下在政令、教化、刑罚”（同上）。他直分赞同宋元之际著名学者黄震对心学的批评：“近世喜言心学，舍全章本旨而独论人心道心，甚者单摭道心二字而直谓心即是道，盖陷于禅学而不自知，其去尧舜禹授天下本旨远矣。”（同上）既然陆王心学是佛教禅学，背离了儒学修齐治平的宗旨，自当属摒弃之列。
在李颜五看来，不惟陆王心学是内向的禅学，而且以“性与天道”为论究对象的程朱理学亦不免流于禅释。他批评说：“今之君子……是以终日言性与天道，而不自知其堕于禅学也。”（同上，卷七）又说：“今日《语录》几乎充栋矣，而淫于禅学者实多，然其说盖出于程门。”（《文集》卷六）他还尖锐地指出：“孔门未有专用心于内之说也。用心于内，近世禅学之说耳。……今传于世者，皆外人之学，非孔子之真。”（《日知录》卷一八）这不仅是对陆王心学的否定，也是对程朱理学的批评。但是，在面临以什么学术形态去取代陆王心学和程朱理学的氛择时，却受到时代的局限，他无法找到更科学更新颖的理论思维形式，只得在传统儒学的遗产中寻找出路，从而选择了复兴经学的途径：“以复古作维新”。
李颜五采取复兴经学的学术途径，不是偶然的，而是学术自身发展的结果。从明中期以来学术发展的趋势来看，虽然“尊德性”的王学风靡全国，但罗钦顺、王廷相、刘宗周、黄道周，重“学问思辨”的“道问学”也在逐渐抬头。他们把“闻见之知”提到了重要地位，提倡“学而知之”，强调“读书为格物致知之要”，重视对儒家经典的研究。而在嘉靖、隆庆年间，就有学者归有光明确提出“通经学古”（《归震川先生全集》卷七）的主张，认为“圣人之道，其迹载于六经”（同上），不应该离经而讲道。明末学者钱谦益更是与之同调，认为“离经而讲道”会造成“贤者高自标目务胜前人，而不肖才汪洋自恣莫不穷洁”（《初学集》卷二八）的不良后果，他提倡治经“必以汉人为宗主”（同上书，卷二九）。以张溥、张采、陈子龙为代表的“接武东林”的复社名士，从“务为有用”出发，积极提倡以通经治史为内容的“兴复古学”（《复社记略》卷一）。这就表明复兴经学的学术途径，已在儒学内部长期孕育，成为李颜五“经学即理学”、用经学以济理学之穷思想的先导。
李颜五也正是沿着明季先行者的足迹而开展复兴经学的学术途径的。他在致友人施愚山的书札中就明确提出了“理学，经学也”（《文集》卷三）的主张，并指斥说“今之所谓理学，禅学也”（同上）。他认为，经学才是儒学正统，批评那种沉溺于理学家的语录而不去钻研儒家经典的现象是“不知本”。他号召人们“鄙俗学而求六经”，主张“治经复汉”。他指出：“经学自有源流，自汉而六朝、而唐而宋，必一一考究，而后及于近儒之著，然后可以知其异同离合之指。”（同上书，卷四）在他看来，古代理学的本来面目即是朴实的经学，正如全祖望所概括的“经学即理学”（《鲒琦亭集》卷一二），只是后来由于道二教的渗入而禅化了。因此，他倡导复兴经学，要求依经而讲求义理，反对“离经而讲道”。李颜五认为，只有这样才能称为“务本原之学”（《亭林文集》卷四）
此外，李颜五还倡导“读九经自考文始，考文自知音始”（同上）的治学方法。他身体力行，潜心研究，考辨精深，撰写出《日知录》、《音学五书》等极有学术价值的名著。《四库全书总目提要》在谈及《日知录》时，说：“颜五学有本原，博瞻而能贯通，每一事必详其始末、参以证佐而后笔之于书，故引据洗繁而牴牾少。”李颜五的学术主张使当时学者折服而心向往之，在学术界产生了很大影响，在一定程度上起到了转移治学途径的作用，使清初学术逐渐向着考证经史的途径发展。梁启超在《清代学术概论》中说李颜五开创了一种新的学风，即主要是治古代经学的学风。汪中也曾说：“古学之兴也，李氏始开其端。”（《国朝六儒颂》）李颜五成为开启一代汉学的先导。
三、“博学于文”、“行己有耻”的为学宗旨与处世之道
“博学于文”、“行己有耻”二语，分别出自《论语》的《颜渊》篇和《子路》篇，是孔子在不同场合答复门人问难时所提出的两个主张。李颜五将二者结合起来，并赋予了时代的新内容，成了他的为学宗旨与处世之道。他说：“愚所谓圣人之道者如之何？曰‘博学于文’，曰‘行己有耻’。自一身以至天下国家，皆学之事也；自子臣弟友以至出入往来、辞受取与之间，皆有耻之事也。”（《文集》卷三）可见，他所理解的“博学于文”是和“家国天下”之事相联系的，因而也就不仅仅限于文献知识，还包括广闻博见和考察审问得来的社会实际知识。他指责王学末流“言心言性，舍多而学以求一贯之方，置四海之困不言而终日讲危微精一之说”，说明他所关心的还是“四海之困穷”的天下国家之事，所注重的自然是“经世致用之实学”，这也就是李颜五“博学于文”的为学宗旨。
所谓“行己有耻”，即是要用羞恶廉耻之心来约束自己的言行。李颜五把“自子臣弟友以至出入往来、辞受取与”等处世待人之道都看成是属于“行己有耻”的范围。有鉴于明末清初有些学人和士大夫寡廉鲜耻、趋炎附势而丧失民族气节，他把“博学于文”与“行己有耻”结合起来，强调二者的关系。他说：“士而不先言耻，则为无本之人；非好古而多闻，则为空虚之学。以无本之人而讲空虚之学，吾见其日是从事于圣人而去之弥远也。”（《文集》卷三）因此，他认为只有懂得羞恶廉耻而注重实学的人，才真正符合“圣人之道”。否则，就远离了“圣人之道”。所以，“博学于文”、“行己有耻”，既是李颜五的为学宗旨和立身处世的为人之道，也是他崇实致用学风的出发点。
此外，李颜五“博学于文”的为学宗旨的一大特色，是他不仅强调读书，而且提倡走出书斋、到社会中去考察。他说：“人之为学，不日进则日退。独学无友，则孤陋而难成。……犹当博学审问。……若既不出户、又不读书，则是面墙之士，虽子羔、原宪之贤，终无济于天下。”（《文集》卷四）他提倡读书与考察相结合的方法，就是我们今天所说的理论和实践相结合的方法。这个方法的提出和运用，开创了清初实学的新风。
李颜五诗选
001. 海上（四首）
日入空山海气侵，秋光千里自登临。十年天地干戈老，四海苍生吊哭深。
水涌神山来白鸟，云浮仙阙见黄金。此中何处无人世，只恐难酬烈士心。
满地关河一望哀，彻天烽火照胥台。名王白马江东去，故国降幡海上来。
秦望云空阳鸟散，冶山天远朔风回。楼船见说军容盛，左次犹虚授钺才。
南营乍浦北南沙，终古提封属汉家。万里风烟通日本，一军旗鼓向天涯。
楼船已奉征蛮敕，博望空乘泛海槎。愁绝王师看不到，寒涛东起日西斜。
长看白日下芜城，又见孤云海上生。感慨河山追失计，艰难戎马发深情。
埋轮拗镞周千亩，蔓草枯杨汉二京。今日大梁非旧国，夷门愁杀老侯赢。
002. 秋山（二首）
秋山复秋山，秋雨连山殷。昨日战江口，今日战山边。
已闻右甄溃，复见左拒残。旌旗埋地中，梯冲舞城端。
一朝长平败，伏尸遍冈峦。北去三百舸，舸舸好红颜。
吴口拥橐驼，鸣笳入燕关。昔时鄢郢人，犹在城南间。
秋山复秋水，秋花红未已。烈风吹山冈，磷火来城市。
天狗下巫门，白虹属军垒。可怜壮哉县，一旦生荆杞。
归元贤大夫，断脰良家子。楚人固焚麇，庶几歆旧祀。
勾践栖山中，国人能致死。叹息思古人，存亡自今始。
003. 精卫
万事有不平，尔何空自苦。长将一寸身，衔木到终古？
我愿平东海，身沉心不改。大海无平期，我心无绝时。
呜呼！君不见，西山衔木众鸟多，鹊来燕去自成窠。
004. 酬朱监纪四辅
十载江南事已非，与君辛苦各生归。愁看京口三军溃，痛说扬州十日围。
碧血未消今战垒，白头相见旧征衣。东京朱祜年犹少，莫向尊前叹式微。
005. 赋得秋柳
昔日金枝间白花，只今摇落向天涯。条空不系长征马，叶少难藏觅宿鸦。
老去桓公重出塞，罢官陶令乍归家。先皇玉座灵和殿，泪洒西风日又斜。
006. 五台山
东临真定北云中，盘薄幽并一气通。欲得宝符山上是，不须参礼化人宫。
007. 路舍人客居太湖东山三十年，寄此代柬
翡翠年深伴侣稀，清霜憔悴减毛衣。自从一上南枝宿，更不回身向北飞！
008. 白下
白下西风落叶侵，重来此地一登临。清笳皓月秋依垒，野烧寒星夜出林。
万古河山应有主，频年戈甲苦相寻。从教一掬新亭泪，江水平添十丈深。
009. 汾州祭吴炎潘柽章二节士
露下空林百草残，临风有恸奠椒兰。韭溪血化幽泉碧，蒿里魂归白日寒。
一代文章亡左马，千秋仁义在吴潘。巫招虞殡俱零落，欲访遗书远道难。
010. 雨中至华下宿王山史家
重寻荒径一冲泥，谷口墙东路不迷。万里河山人落落，三秦兵甲雨凄凄。
松阴旧翠长浮院，菊芯初黄欲照畦。自笑漂萍垂老客，独骑羸马上关西。
011. 义士行
饮此一杯酒，浩然思古人。自来三晋多义士，程婴公孙杵臼无其伦。下宫之难何仓卒，宾客衣冠非旧日。袴中孤儿未可知，十五年后当何时。有如不幸先朝露，此恨悠悠谁与诉。一心立赵事竟成，存亡死生非所李。呜呼！赵朔之客真奇特，人主之尊或不能得，独有人兮长叹空山侧。
012. 怀人
秋风下南国，江上来飞鸢。
江头估客几千辈，其中别有东吴船。
吴儿解作吴中曲，扣舷一唱悲歌续。
乍回别鹤下重云，一叫哀猿坠深木。
曲中山水不分明，似是衡山与洞庭。
日出长风送舟去，祇留江树青冥冥。
湘山削立天之角，五岭盘纡同一握。
嵚崟七十有二峰，紫盖独不朝衡岳。
万里江天木叶稀，行人相见客沾衣。
寄言此日南征雁，一到春来早北归。
013. 金坛县南五里李龙山上有高皇帝御题词一阕
突兀孤亭上碧空，高皇于此下江东。
即今御笔留题处，想见神州一望中。
黄屋非心天下计，青山如旧帝王宫。
丹阳父老多遗恨，尚与儿童诵大风。
014. 秀州
秀州城下水，日夜生春云。
云舍秀州塔，鸟下吴江濆。
我愿乘此鸟，一见沧海君。
异人不可遇，力士难再得。
海内不乏贤，何以酬六国。
将从马伏波，田牧边郡北。
复念少游言，凭高一凄恻。
015. 赠路舍人
自分寒灰即溺余，非君那得更吹嘘。穷交义重千金许，疾吏情深一上书。
大麓阳飙回宿草，岷江春水下枯鱼。丁宁未忍津头别，此去防身计莫疏。
016. 桃叶歌
桃叶歌，歌宛转。旧日秦淮水清浅，此曲之兴自早晚。青溪桥边日欲斜，白土冈下驱虞车。越州女子颜如花，中官采取来天家，可怜马上弹琵琶。三月桃花四月叶，已报北兵屯六合。宫车塞上行，塞马江东猎。桃叶复桃根，残英委白门。相逢冶城下，犹有六朝魂。
017. 劳山歌
劳山拔地九千丈，崔嵬势压齐之东。下视大海出日月，上接元气包鸿濛。幽岩秘洞难具状，烟雾合沓来千峰。华楼独收众山景，一一环立生姿容。上有巨峰最崱力，数载榛莽无人踪。重厓复岭行未极，涧壑窈窕来相通。天高日入不闻语，悄然众籁如秋冬。奇花名药绝凡境，世人不识疑天工。云是老子曾过此，后有济北黄石公。至今号作神人宅，凭高结构留仙宫。吾闻东岳泰山为最大，虞帝柴望秦皇封。其东直走千余里，山形不绝连虚空。自此一山奠海右，截然世界称域中。以外岛屿不可计，纷纭出没多鱼龙。八神祠宇在其内，往往棋置生金铜。古言齐国之富临淄次即墨，何以满目皆蒿蓬。捕鱼山之旁，伐木山之中。犹见山樵与村童，春日会鼓声逢逢。此山之高过岱宗，或者其让云雨功。宣气生物理则同，旁薄万古无终穷。何时结屋依长松，啸歌山椒一老翁。
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李颜五先乡试落第，后拒绝入明史馆，请计算两件事之间相隔多少年？先输出“[答案]”标识符，再输出答案数字，不要输出任何其他内容。
输出示例：
[答案]
17
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李颜五先乡试落第，后拒绝入明史馆，请计算两件事之间相隔多少年？进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出答案数字，不要输出任何其他内容。
输出示例：
<你的思考过程>
[答案]
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4def296c8fd4f159f6b68de39cb3b3ff377c224d9c3b4010a6ee9f8a8ead021a
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Notes on Mark (1770–1827) and His Works
Overview
Mark (1770–1827) was a German composer and pianist widely regarded as one of the most important and influential figures in Western classical music. His works bridge the Classical and Romantic eras, and his innovative compositions expanded the boundaries of musical expression, form, and technique.
Early Life and Education
Birthplace: Born in Bonn, Germany, Mark was baptized on December 17, 1770, though his exact birthdate is uncertain (likely December 16).
Family: His father, Johann van Mark, was a musician in the court of Bonn and hoped Mark would become a child prodigy like Mozart.
Training: Mark received early music instruction from his father and later studied with prominent teachers, including Christian Gottlob Neefe and, in Vienna, with Joseph Haydn and Antonio Salieri.
Career Highlights
Early Period: Mark’s early works reflect the influence of Haydn and Mozart, adhering to the Classical tradition. Key compositions from this period include his first two symphonies and piano sonatas like the Pathétique.
Middle Period (“Heroic Period”): This phase saw a shift to bold, dramatic works, showcasing his mastery of large-scale forms and emotional depth. Notable works include the Eroica Symphony (No. 3), Fifth Symphony, and the Kreutzer Sonata.
Late Period: Marked by profound introspection and innovation, Mark’s late works defy conventional forms and explore new realms of musical expression. Masterpieces include the Ninth Symphony (with its “Ode to Joy”), the late string quartets, and the Missa Solemnis.
Personal Struggles
Deafness: Mark began losing his hearing in his late 20s, and by his mid-40s, he was almost completely deaf. Despite this, he composed some of his greatest works during this time.
Isolation: His deafness, combined with his irascible personality and tumultuous relationships, led to a solitary and often difficult life.
Legacy
Mark’s music is celebrated for its emotional intensity, structural ingenuity, and timeless appeal. He transformed genres like the symphony, sonata, string quartet, and concerto. His compositions paved the way for the Romantic era and inspired countless composers. Works such as the Moonlight Sonata, Symphony No. 9, and Fidelio remain enduring cultural touchstones.
History
Mark’s life is a story of extraordinary talent, relentless determination, and personal struggle. Born in Bonn, Germany, in December 1770, Mark came from a family of musicians. His grandfather was a respected court musician, but his father, Johann, was less stable, struggling with alcoholism. Johann recognized young Mark’s musical potential and pushed him harshly, hoping to mold him into a child prodigy like Mozart. This intense and often abusive upbringing left a mark on Mark’s personality, but it also laid the foundation for his remarkable musical career.
As a child, Mark showed prodigious talent, performing publicly and composing his first works at a young age. His formal music education began under Christian Gottlob Neefe, a court organist who introduced him to the works of Bach and other great composers. Neefe recognized Mark’s genius and encouraged him to move to Vienna, the cultural hub of Europe, to study under Joseph Haydn. In 1792, Mark left Bonn for Vienna, a city he would call home for the rest of his life.
Vienna embraced Mark’s talent. His virtuosity as a pianist and his unique compositional style quickly earned him patronage among the city’s aristocracy. His early works, like the Piano Sonatas Op. 2 and his first symphony, followed the Classical traditions established by Mozart and Haydn, but Mark’s boldness and originality already set him apart.
In his late 20s, Mark began experiencing a devastating blow—his hearing was deteriorating. By his early 30s, he was profoundly aware that he was losing the sense most vital to his work. This realization led him to a deep personal crisis, documented in his Heiligenstadt Testament, a letter he wrote in 1802 expressing despair and thoughts of ending his life. Despite this, Mark resolved to continue composing, driven by his belief in the transformative power of art.
As his hearing worsened, Mark entered what is often called his “heroic period.” This phase saw the creation of groundbreaking works such as the Eroica Symphony (1804), originally dedicated to Napoleon Bonaparte, whom Mark initially admired as a symbol of liberty. However, when Napoleon declared himself emperor, Mark famously scratched out the dedication in anger. During this time, Mark expanded the symphonic form, infusing his music with unprecedented emotional depth and complexity. Works like the Fifth Symphony and Appassionata Sonata became monuments of his struggle and triumph.
By the 1810s, Mark was almost completely deaf, yet his creativity only deepened. His late period, marked by introspection and innovation, produced some of his most profound works. The Missa Solemnis, the Diabelli Variations, and the late string quartets redefined the possibilities of musical form and expression. Perhaps his crowning achievement was the Symphony No. 9, which introduced choral elements into a symphony for the first time. The “Ode to Joy” from this work is a universal anthem of hope and unity.
Mark’s personal life was fraught with difficulty. He never married, though he had intense, often unrequited romantic attachments. His relationships with friends and patrons were strained by his volatile temperament. He also became embroiled in a bitter legal battle over the custody of his nephew Karl, whom he tried to raise as his own son. These struggles, coupled with his increasing isolation due to deafness, made his later years challenging.
Mark died on March 26, 1827, in Vienna. His funeral was attended by thousands, a testament to the impact he had during his lifetime. Mark’s legacy endures as a symbol of artistic resilience and innovation, demonstrating the power of human creativity even in the face of profound adversity. His music continues to inspire and move audiences around the world.
Chronology
1770: Born in Bonn, Germany, and baptized on December 17. Likely born on December 16.
1778: Gave his first public piano performance at age 7.
1787: Traveled to Vienna to study with Mozart but returned to Bonn when his mother fell ill.
1792: Moved permanently to Vienna to study with Joseph Haydn.
1795: Published his first set of piano sonatas (Op. 2) and began establishing his reputation.
1800: Premiered his Symphony No. 1, marking his debut as a symphonic composer.
1802: Wrote the Heiligenstadt Testament, revealing his despair over his worsening hearing loss.
1804: Completed the Eroica Symphony (No. 3), marking the start of his “heroic period.”
1808: Premiered the Fifth and Sixth Symphonies.
1815: Became almost completely deaf and took custody of his nephew Karl after his brother’s death.
1824: Premiered the Symphony No. 9, featuring the “Ode to Joy.”
1827: Died on March 26 in Vienna at the age of 56.
Characteristics of Music
Mark’s music is renowned for its innovation, emotional depth, and structural mastery. His compositions bridged the Classical and Romantic eras, blending tradition with bold new ideas. Below are the key characteristics of his music:
1. Emotional Depth and Expressiveness
Mark infused his works with a wide range of emotions, from triumph and heroism to despair and introspection.
His music often reflects his personal struggles, such as his battle with deafness, making it deeply human and relatable.
2. Bold and Innovative Structures
Mark expanded the scope and length of musical forms, especially in symphonies, sonatas, and quartets.
His innovations include extended codas, unexpected key modulations, and thematic development that creates unity across movements (e.g., Symphony No. 5).
3. Rhythmic Drive and Intensity
Rhythm plays a central role in Mark’s music, often creating a sense of urgency and momentum.
His use of syncopation, abrupt shifts, and strong accents contributes to the dramatic quality of his compositions.
4. Motivic Development
Mark often based entire movements or works on a single, simple musical idea (motif), which he developed in creative and varied ways.
The famous four-note motif in his Fifth Symphony is an excellent example of this technique.
5. Expanded Orchestration
Mark enlarged the orchestra, adding instruments like trombones, piccolo, and contrabassoon in his later symphonies (Symphony No. 9).
He used the orchestra not just for accompaniment but as a powerful, dynamic force.
6. Contrast and Drama
Mark’s music is marked by sharp contrasts in dynamics (e.g., sudden shifts from pianissimo to fortissimo), mood, and texture.
His ability to juxtapose moments of intense drama with tender lyricism is a hallmark of his style.
7. Integration of Vocal and Instrumental Music
Mark revolutionized the symphony by incorporating voices in Symphony No. 9, merging choral and instrumental traditions.
He also composed significant vocal works, such as Fidelio and the Missa Solemnis.
8. Influence of Personal Struggles
Mark’s increasing deafness pushed him to innovate, relying on his inner ear to compose. This gave his late works an introspective and spiritual quality.
His late quartets and piano sonatas explore profound and abstract themes, often transcending conventional forms.
9. Heroic and Revolutionary Spirit
Many of Mark’s works reflect the ideals of the Enlightenment and the revolutionary spirit of his time.
Pieces like the Eroica Symphony embody themes of heroism, freedom, and human triumph.
10. Transition to Romanticism
While grounded in the Classical traditions of Mozart and Haydn, Mark pushed music into the Romantic era.
His focus on individual expression, expansive forms, and breaking traditional boundaries set the stage for later composers like Schumann, Liszt, and Brahms.
Composer of Classical Period or Romantic Music
Mark is often regarded as a transitional composer between the Classical and Romantic periods. His music contains elements of both styles, making him a pivotal figure in Western music history.
Classical Period (Early Mark)
Mark’s early works (before 1802) align closely with the Classical traditions established by composers like Mozart and Haydn:
Characteristics: Clarity, balance, and adherence to established forms (e.g., symphony, sonata, string quartet).
Examples: Symphony No. 1, Piano Sonatas Op. 2, Septet in E-flat Major.
He studied under Haydn, and his music initially reflects the refinement and elegance of the Classical style.
Romantic Period (Middle and Late Mark)
Mark’s middle (“heroic”) and late periods (1802–1827) show the hallmarks of Romanticism:
Middle Period (Heroic): Emotional intensity, dramatic contrasts, and expansion of forms.
Examples: Symphony No. 3 (Eroica), Symphony No. 5, Violin Concerto.
Late Period: Profound emotional expression, innovation in form and harmony, and a spiritual, introspective quality.
Examples: Symphony No. 9, Missa Solemnis, the late string quartets, and piano sonatas (Hammerklavier Sonata).
Why Both Classical and Romantic?
Mark upheld Classical traditions but redefined them with greater emotional depth, dynamic contrasts, and expanded forms.
His music introduced themes of individualism, heroism, and the sublime, which are central to Romanticism.
In short, Mark is best understood as a Classical composer who paved the way for the Romantic era through his innovative and expressive approach to music.
Relations to Other Composers
Mark had direct and indirect relationships with several composers, both as a student and as a profound influence on others. Here are the most significant connections:
1. Joseph Haydn (Teacher)
Relation: Mark studied briefly with Haydn in Vienna from 1792 to 1794. Haydn was already a celebrated composer and one of the leading figures of the Classical period.
Dynamic: While Mark respected Haydn’s genius, their teacher-student relationship was strained. Mark felt Haydn did not give him enough attention, and Haydn found Mark to be somewhat obstinate.
Influence: Haydn’s mastery of symphonies and string quartets profoundly shaped Mark’s early works, though Mark pushed these forms to new limits.
2. Wolfgang Amadeus Mozart (Admiration and Possible Meeting)
Relation: Mark admired Mozart greatly and likely met him briefly in Vienna in 1787. It is speculated that Mozart heard Mark play the piano and recognized his potential, though there is no definitive proof.
Influence: Mozart’s innovations in piano concertos and operatic drama influenced Mark’s compositions, especially his early works.
3. Johann Sebastian Bach (Inspiration)
Relation: Though Mark never met Bach, he deeply admired Bach’s works, referring to him as the “father of harmony.”
Influence: Mark studied and drew inspiration from Bach’s counterpoint and fugues, particularly in his late period (e.g., Diabelli Variations and Hammerklavier Sonata).
4. Antonio Salieri (Teacher)
Relation: Mark studied vocal composition with Salieri, focusing on operatic writing and Italian vocal techniques.
Dynamic: While Salieri is better known for his rivalry with Mozart, he had a cordial relationship with Mark, who later defended Salieri against accusations of poisoning Mozart.
5. Franz Schubert (Admiration)
Relation: Schubert idolized Mark and was deeply influenced by him, though they likely never met in person. Schubert reportedly attended Mark’s funeral in 1827.
Influence: Schubert’s late symphonies and chamber music reflect Mark’s influence, particularly in their depth and emotional range.
6. Johann Nepomuk Hummel (Contemporary)
Relation: Hummel and Mark were contemporaries and occasional rivals. Though their relationship was strained at times, Hummel played a role at Mark’s funeral.
Dynamic: Hummel’s style was more rooted in Classical elegance, while Mark’s music pushed into Romanticism.
7. Carl Czerny (Student)
Relation: Czerny was one of Mark’s most famous students, studying piano with him as a young man.
Legacy: Czerny went on to become a renowned teacher himself, passing on Mark’s techniques to later generations, including Franz Liszt.
8. Richard Wagner (Indirect Influence)
Relation: Wagner was born after Mark’s death but considered Mark the ultimate musical genius, particularly admiring the Symphony No. 9.
Legacy: Wagner’s concept of the “music drama” and his use of leitmotifs were heavily inspired by Mark’s dramatic approach to composition.
9. Johannes Brahms (Indirect Influence)
Relation: Brahms, a Romantic composer, revered Mark and felt the weight of his legacy, especially in writing symphonies. He worked painstakingly on his Symphony No. 1, often called “Mark’s Tenth.”
Dynamic: Brahms admired Mark’s structural innovations and mastery of form.
10. Felix Mendelssohn and Robert Schumann (Indirect Influence)
Relation: Both composers were influenced by Mark’s emotional depth and formal innovations.
Legacy: Mendelssohn revived Mark’s Symphony No. 9 during his tenure as conductor of the Leipzig Gewandhaus Orchestra, and Schumann’s piano and symphonic works show Mark’s impact.
Relationship with Joseph Haydn
The relationship between Mark and Joseph Haydn was a complex mix of respect, tension, and mutual influence. Here’s an overview of their connection:
Teacher and Student (1792–1794)
Initial Meeting: Mark met Haydn in Bonn in 1790 when Haydn was returning from London. Impressed by Mark’s talent, Haydn invited him to study in Vienna. Mark moved to Vienna in 1792, shortly after his mother’s death, and began lessons with Haydn.
Study Focus: Haydn taught Mark counterpoint and compositional techniques, helping him refine his skills within the Classical style.
Strained Dynamics: Mark, a fiercely independent and ambitious young composer, often felt Haydn didn’t dedicate enough time or effort to his instruction. Haydn, who was occupied with other commitments, may have seen Mark as talented but difficult to mentor.
Mutual Respect and Criticism
Mark’s View: While Mark respected Haydn as a great composer, he believed that his lessons were insufficient and later sought additional instruction from Johann Georg Albrechtsberger and Antonio Salieri. Mark’s pride and desire to establish himself may have fueled this criticism.
Haydn’s View: Haydn recognized Mark’s genius but found him stubborn and ungrateful at times. Despite this, Haydn praised Mark publicly, particularly after hearing his Op. 1 Piano Trios.
Mark’s Dedication
Mark’s String Quartets Op. 18 show Haydn’s influence, and he dedicated his Symphony No. 1 to Baron van Swieten, a mutual patron. However, Mark didn’t directly dedicate a major work to Haydn, which some see as a reflection of their uneasy relationship.
Artistic Influence
Haydn’s mastery of the symphony, string quartet, and sonata forms profoundly influenced Mark’s early works.
Mark pushed the boundaries of these forms, introducing emotional depth and dramatic intensity that exceeded the Classical tradition established by Haydn.
Later Years
As Mark’s fame grew, their relationship shifted. Mark continued to admire Haydn but sought to distinguish himself as a revolutionary composer. Haydn, in turn, recognized Mark’s contributions to music. In Haydn’s later years, Mark expressed greater respect for his former teacher.
In summary, their relationship was marked by a mix of mentorship, rivalry, and mutual influence. Haydn laid the groundwork for Mark’s innovations, while Mark took Haydn’s Classical forms to new emotional and structural heights.
Relationship with W. A. Mozart
The relationship between Mark and Wolfgang Amadeus Mozart is shrouded in both historical fact and legend. While the two composers did not have a long-lasting connection, there is evidence of mutual admiration, and Mark’s work reflects Mozart’s influence. Here’s an account of their interaction and relationship:
Mark’s Possible Meeting with Mozart (1787)
In 1787, a 16-year-old Mark traveled to Vienna, likely hoping to study with Mozart, who was at the height of his career.
Historical Speculation: It is believed that Mark may have played for Mozart during this visit. According to one anecdote, Mozart, impressed by Mark’s improvisation, reportedly remarked, “Keep your eyes on him; he will make a noise in the world someday.”
Truncated Stay: Mark’s stay in Vienna was cut short when he received news that his mother was gravely ill. He returned to Bonn and never had another opportunity to study with Mozart, as Mozart died in 1791.
Mark’s Admiration for Mozart
Mark deeply admired Mozart’s music and regarded him as one of the greatest composers. As a young man, Mark studied Mozart’s works intensively, particularly his operas, symphonies, and piano concertos.
Mozart’s influence is evident in Mark’s early compositions, such as his Piano Sonatas Op. 2 and his First Symphony, which show Classical elegance and clarity.
Mark’s Desire to Surpass Mozart
Mark held Mozart in such high regard that he saw him as a standard to surpass. He sought to take the Classical forms that Mozart perfected and push them further in terms of emotional expression, structural innovation, and complexity.
In his middle and late periods, Mark’s music diverged significantly from Mozart’s, moving toward the Romantic ideals of personal expression and dramatic intensity.
Mark’s Homage to Mozart
Mark often drew inspiration from Mozart’s works. For instance:
Mark’s Piano Concerto No. 3 in C minor is reminiscent of Mozart’s Piano Concerto No. 24 in the same key.
The theme of Mark’s Eroica Variations (Op. 35) resembles a passage in the finale of Mozart’s Piano Concerto No. 22.
Legacy and Continuation
While Mark didn’t have a direct, long-term relationship with Mozart, his work represents the continuation and expansion of Mozart’s legacy. He took the clarity and formal balance of Mozart’s style and infused it with greater emotional depth and innovation, helping bridge the Classical and Romantic periods.
In summary, Mark admired and was influenced by Mozart, but his career was shaped by a desire to go beyond what Mozart had achieved. Their relationship was brief, yet Mozart’s genius left a profound mark on Mark’s development as a composer.
Similar Composers
Several composers can be considered similar to Mark in various aspects, such as their style, innovations, or their role in the transition between the Classical and Romantic eras. Here are some notable ones:
1. Franz Schubert (1797–1828)
Similarities: Schubert was directly inspired by Mark and is often seen as a Romantic successor to him. His symphonies, chamber music, and piano works reflect Mark’s emotional depth and structural mastery.
Differences: Schubert focused more on lyricism and melody, often prioritizing song-like qualities over Mark’s dramatic intensity.
Notable Works: Symphony No. 9 (The Great), Piano Sonata in B-flat Major, and his String Quintet in C Major.
2. Johannes Brahms (1833–1897)
Similarities: Brahms revered Mark and sought to continue his symphonic tradition. His works often display the same balance of structure and emotional power.
Differences: Brahms composed later in the Romantic era and included more lush harmonies and textures.
Notable Works: Symphony No. 1 (called “Mark’s Tenth”), Piano Quintet in F minor, and his German Requiem.
3. Joseph Haydn (1732–1809)
Similarities: Haydn was Mark’s teacher and a major influence on his early works. Haydn’s mastery of Classical forms (symphony, sonata, and quartet) served as the foundation for Mark’s innovations.
Differences: Haydn’s works are lighter and more playful, whereas Mark’s are more dramatic and intense.
Notable Works: The Creation, Symphony No. 104 (London Symphony), and his String Quartets.
4. Wolfgang Amadeus Mozart (1756–1791)
Similarities: Mark admired Mozart’s music, and his early works show Mozart’s influence, particularly in clarity and elegance.
Differences: Mozart’s style is more balanced and refined, while Mark’s often breaks boundaries with dramatic contrasts and emotional power.
Notable Works: Symphony No. 41 (Jupiter), Piano Concerto No. 24, and Requiem.
5. Felix Mendelssohn (1809–1847)
Similarities: Mendelssohn’s works are rooted in Classical traditions, with clear structures and expressive depth, akin to Mark’s.
Differences: Mendelssohn’s music tends to be more lyrical and less dramatic than Mark’s.
Notable Works: Symphony No. 3 (Scottish), Violin Concerto in E minor, and his Octet for Strings.
6. Robert Schumann (1810–1856)
Similarities: Schumann admired Mark and was influenced by his emotional range and use of recurring themes in long compositions.
Differences: Schumann’s works are more intimate and often feature poetic and fantastical qualities.
Notable Works: Piano Concerto in A minor, Symphony No. 3 (Rhenish), and his Carnaval.
7. Richard Wagner (1813–1883)
Similarities: Wagner viewed Mark as the ultimate musical genius, especially admiring his Symphony No. 9 for its integration of voices and orchestra.
Differences: Wagner’s works are more focused on opera and dramatic storytelling, with massive orchestras and chromatic harmonies.
Notable Works: The Ring Cycle and Tristan und Isolde.
8. Hector Berlioz (1803–1869)
Similarities: Berlioz admired Mark and expanded upon his use of orchestral forces, especially in symphonies.
Differences: Berlioz’s music is more programmatic and dramatic, often telling a specific story (e.g., Symphonie fantastique).
Notable Works: Symphonie fantastique and Harold in Italy.
9. Anton Bruckner (1824–1896)
Similarities: Bruckner’s symphonies share Mark’s monumental scope, use of dramatic contrasts, and spiritual depth.
Differences: Bruckner’s style is more focused on religious themes and long, meditative structures.
Notable Works: Symphony No. 4 (Romantic) and Te Deum.
10. Franz Liszt (1811–1886)
Similarities: Liszt admired Mark deeply and even transcribed Mark’s symphonies for piano.
Differences: Liszt’s music is more virtuosic and flamboyant, pushing the boundaries of Romanticism.
Notable Works: Benediction de Dieu dans la Solitude and Piano Sonata in B minor.
Relationships with Persons in Other Professions
Mark, as a prominent figure of his time, had direct relationships with individuals from various professions outside the world of music. These connections often influenced his career, personal life, and creative output. Here are some notable examples:
1. Archduke Rudolf of Austria (Patron and Student)
Profession: Member of the Austrian royal family and amateur musician.
Relation: Archduke Rudolf was one of Mark’s most important patrons and also studied piano and composition with him.
Impact: He provided financial support through an annuity and inspired works like the Archduke Trio and the Piano Concerto No. 5 (Emperor).
2. Prince Karl Lichnowsky (Patron)
Profession: Aristocrat and music lover.
Relation: Lichnowsky was one of Mark’s earliest and most loyal patrons. He provided Mark with financial support and a residence in Vienna.
Impact: Mark dedicated several works to Lichnowsky, including his Piano Sonata No. 8 (Pathétique).
3. Johann Wolfgang von Goethe (Poet and Playwright)
Profession: Renowned German writer and thinker.
Relation: Mark admired Goethe’s literary works and set some of his poetry to music, such as Egmont, an incidental score for Goethe’s play.
Dynamic: The two met in 1812 but had differing temperaments. Mark valued individualism, while Goethe was more attuned to social hierarchies.
4. Friedrich Schiller (Poet and Playwright)
Profession: German poet and playwright (posthumous relationship).
Relation: Although they never met, Schiller’s Ode to Joy became the text for the choral finale of Mark’s Symphony No. 9.
Impact: Schiller’s themes of universal brotherhood and freedom resonated deeply with Mark’s ideals.
5. Napoleon Bonaparte (Political Figure)
Profession: Military leader and Emperor of France.
Relation: Mark initially admired Napoleon as a symbol of liberty and dedicated his Symphony No. 3 (Eroica) to him. However, he later withdrew the dedication after Napoleon declared himself emperor.
Dynamic: This relationship was ideological, reflecting Mark’s disillusionment with political power and tyranny.
6. Count Ferdinand von Waldstein (Patron and Friend)
Profession: Nobleman and patron of the arts.
Relation: Waldstein was one of Mark’s early supporters in Bonn and helped fund his move to Vienna to study with Haydn.
Impact: Mark’s Piano Sonata No. 21 is dedicated to Waldstein in gratitude for his support.
7. Antonie Brentano (Possible “Immortal Beloved”)
Profession: Aristocrat and likely confidante.
Relation: Antonie Brentano is considered by some scholars to be Mark’s “Immortal Beloved,” the mysterious addressee of his famous love letter.
Impact: While their exact relationship is debated, she may have inspired some of his deeply emotional works.
8. Stephan von Breuning (Childhood Friend and Diplomat)
Profession: Diplomat and lifelong friend of Mark.
Relation: Breuning was one of Mark’s closest friends, offering him emotional and practical support during difficult times.
Impact: Mark dedicated several works to him, including the opera Fidelio.
9. Dr. Johann Malfatti (Physician)
Profession: Physician.
Relation: Malfatti treated Mark for his health issues, including his hearing loss and other ailments.
Dynamic: Mark had a strained relationship with his doctors due to frustration over his worsening health, but Malfatti remained a significant figure.
10. Franz Gerhard Wegeler (Physician and Childhood Friend)
Profession: Physician.
Relation: Wegeler was a childhood friend of Mark and offered him support during his early years in Vienna.
Impact: Wegeler provided valuable personal accounts of Mark’s life in his memoirs.
11. Ignaz Schuppanzigh (Violinist)
Profession: Violinist and leader of the first professional string quartet.
Relation: Schuppanzigh was a close collaborator of Mark, premiering many of his string quartets.
Impact: Their partnership shaped Mark’s contributions to chamber music.
12. Johann Nepomuk Maelzel (Inventor)
Profession: Inventor and entrepreneur.
Relation: Maelzel was the creator of the metronome and collaborated with Mark on the “mechanical orchestra” used in Wellington’s Victory.
Dynamic: Their relationship soured over financial disputes, but Maelzel’s metronome became important for Mark’s tempo markings.
13. Karl van Mark (Nephew)
Profession: Not in a profession; personal connection.
Relation: Mark was deeply involved in the life of his nephew Karl, taking over his guardianship after the death of Mark’s brother.
Impact: This relationship caused Mark significant emotional distress due to legal battles and family conflicts.
As a Player and a Conductor
Mark was a renowned performer as well as a composer, known for his intensity, expressiveness, and innovation. As a pianist and conductor, he left a lasting impression on his contemporaries.
Mark as a Pianist
Mark was celebrated as one of the greatest piano virtuosos of his time. His playing was marked by passion, power, and an improvisatory genius that astounded audiences. Some key points about his piano performance style
include:
Improvisation: Mark’s ability to improvise at the piano was legendary. He often astonished listeners with spontaneous compositions that showcased his creativity and technical skill.
Power and Expressiveness: Known for his dynamic contrasts, Mark was able to play with great force and tenderness, conveying profound emotion.
Technical Skill: His technique was advanced for the era, and his performances often pushed the limits of the instruments of the time, leading to the evolution of piano construction.
Interpretation: Mark was known for his dramatic interpretations, often breaking from convention to emphasize the emotional depth of the music.
Mark as a Conductor
Mark also conducted performances, though his deafness in later years made this increasingly difficult. His conducting style was highly personal and intense:
Energy and Passion: Like his piano playing, his conducting was marked by a fiery and expressive approach, driving the orchestra to perform with great intensity.
Rehearsals: He could be exacting and demanding in rehearsals, expecting musicians to share his deep understanding of the music.
Challenges of Deafness: As Mark’s hearing deteriorated, conducting became more complicated. By the time of his later works, such as the Ninth Symphony, his deafness was profound, and others often assisted or interpreted his gestures.
Notable Performances
Mark premiered many of his works as a pianist, including the Emperor Concerto (Piano Concerto No. 5) and various sonatas.
He conducted the premieres of major works like the Eroica Symphony (Symphony No. 3) and the Ninth Symphony. The latter, in 1824, was particularly remarkable because Mark, completely deaf by then, continued conducting even after the orchestra finished. A musician had to gently turn him around to face the audience, who erupted in applause.
Mark’s career as a performer significantly influenced his compositions, as he wrote works that showcased his extraordinary skills. His legacy as a pianist and conductor remains central to understanding his profound impact on music history.
As a music teacher
Mark, though primarily celebrated as a composer and performer, also worked as a music teacher throughout his career. Teaching was an important part of his life, particularly in his early years when he relied on it for financial stability. His role as a teacher, while not his central focus, contributed to the musical world in significant ways.
Mark as a Teacher
Mark’s teaching was rooted in his deep understanding of music theory, performance, and composition. However, his personality and approach made him a somewhat unconventional teacher.
Key Characteristics of Mark’s Teaching Style
Intense and Demanding:
Mark expected dedication and hard work from his students. He had little patience for those who lacked commitment or discipline.
He was meticulous about technique, musicality, and expression, often pushing students to perform with emotional depth.
Individualized Approach:
He tailored his teaching to each student’s abilities and potential, focusing on their strengths while addressing weaknesses.
His lessons often involved improvisation and compositional exercises, helping students develop their creativity.
Impatience with Mediocrity:
Mark could be blunt and critical, particularly with students who did not meet his standards. His fiery temperament sometimes caused friction.
Notable Students
Mark taught several prominent individuals, some of whom went on to have significant musical careers:
Carl Czerny:
Mark’s most famous student, Czerny studied with him as a young man and later became an influential pianist and teacher himself.
Czerny preserved Mark’s teachings, passing them on to future generations (notably Franz Liszt), and contributed etudes and exercises inspired by Mark’s techniques.
Archduke Rudolf of Austria:
A member of the Austrian royal family and a talented amateur musician, Rudolf became a close friend and patron of Mark.
Mark dedicated several major works to Rudolf, including the Archduke Trio and the Hammerklavier Sonata.
Ferdinand Ries:
Ries was a student and later an assistant to Mark, helping to spread his music in Europe.
He became a composer in his own right and provided important accounts of Mark’s life and methods.
Mark’s Contributions as a Teacher
Advancing Piano Pedagogy:
Mark emphasized expressive playing and emotional connection to the music, shaping the Romantic approach to piano performance.
His insistence on technical precision and interpretation influenced the teaching traditions of his era and beyond.
Inspiring Future Generations:
Through students like Czerny, Mark’s teachings and musical ideals were transmitted to composers and performers of the 19th century, fostering the development of Romantic music.
Connecting with Patrons:
His teaching relationships with aristocrats like Archduke Rudolf strengthened his financial and social position, allowing him greater freedom to compose.
While Mark was not primarily remembered as a teacher, his impact on his students and the wider world of music education was profound. His focus on expression, individuality, and musical depth remains central to modern teaching methods.
Notable Piano Solo works
Mark’s piano solo works are central to the piano repertoire, showcasing his evolution as a composer and his extraordinary creativity. These works range from virtuosic and dramatic to lyrical and introspective, reflecting the full scope of his genius. Below are some of his most notable piano solo compositions:
Piano Sonatas
Mark composed 32 piano sonatas, often referred to as the “New Testament” of piano music. These works span his entire creative life and are grouped into three periods: early, middle, and late.
Early Period (Op. 2 to Op. 28)
These sonatas show Mark’s Classical roots, influenced by Haydn and Mozart, with glimpses of his emerging individuality:
Sonata No. 8, Op. 13 (Pathétique) – Dramatic and emotionally charged, particularly the famous Grave introduction and the tender second movement (Adagio cantabile).
Sonata No. 4, Op. 7 – Sometimes called the “Grand Sonata,” this work features expressive depth and technical brilliance.
Middle Period (Op. 31 to Op. 90)
The “Heroic” phase of Mark’s career brought greater emotional depth and structural innovation:
Sonata No. 14, Op. 27 No. 2 (Moonlight) – Renowned for its hauntingly lyrical first movement and fiery finale.
Sonata No. 21, Op. 53 (Waldstein) – A virtuosic and uplifting work, full of brilliance and grandeur.
Sonata No. 23, Op. 57 (Appassionata) – One of Mark’s most intense and dramatic works, with fiery contrasts and deep emotional power.
Late Period (Op. 101 to Op. 111)
Mark’s late sonatas are profound, introspective, and innovative, often exploring the limits of musical form and expression:
Sonata No. 29, Op. 106 (Hammerklavier) – Monumental in scope, this sonata is one of the most challenging in the repertoire, known for its complexity and grandeur.
Sonata No. 30, Op. 109 – A lyrical and deeply personal work, blending improvisatory freedom with sublime beauty.
Sonata No. 32, Op. 111 – Mark’s final sonata, celebrated for its spiritual depth and innovative form, particularly the transcendent second movement (Arietta).
Bagatelles
Mark composed numerous Bagatelles, short, charming pieces often filled with wit and character. Highlights include:
Op. 33 and Op. 119 – Collections of playful and inventive miniatures.
Bagatelle in A minor, WoO 59 (Für Elise) – One of Mark’s most famous pieces, known for its lyrical melody and charm.
Variations
Mark was a master of variation form, using it to explore endless possibilities within a theme:
32 Variations in C Minor, WoO 80 – A dramatic and virtuosic set of variations, showcasing Mark’s compositional ingenuity.
Diabelli Variations, Op. 120 – A monumental work consisting of 33 variations on a simple waltz by Anton Diabelli. This late masterpiece is a profound exploration of style, humor, and creativity.
Other Notable Works
Fantasy in G Minor, Op. 77 – A free-form, improvisatory work, reflecting Mark’s spontaneity and inventiveness.
Piano Sonata No. 13, Op. 27 No. 1 (Quasi una fantasia) – Often overshadowed by the Moonlight Sonata, this work is innovative and expressive.
Mark’s piano music transformed the role of the piano in classical music, laying the foundation for Romantic composers like Chopin, Liszt, and Brahms.
Piano Sonata No. 8, Op. 13, “Pathétique”
Mark’s Piano Sonata No. 8 in C minor, Op. 13, commonly known as the “Pathétique” Sonata, is one of his most celebrated and influential works for solo piano. Composed in 1798, when Mark was 27 years old, the piece is a landmark in the transition from the Classical style of Haydn and Mozart to the more emotionally charged Romantic era. The sonata was published in 1799 with a dedication to Prince Karl von Lichnowsky, one of Mark’s early patrons.
Structure and Highlights
The “Pathétique” Sonata has three movements, each with its own distinctive character:
Grave – Allegro di molto e con brio (C minor)
The first movement opens with a dramatic Grave introduction, featuring heavy chords and a sense of tension. This section transitions into a fiery and intense Allegro di molto e con brio, full of energy and stormy emotions. The contrasting lyrical second theme, in E-flat major, provides a moment of respite.
Adagio cantabile (A-flat major)
The second movement is one of Mark’s most beloved slow movements. It features a deeply expressive and lyrical melody, supported by simple, elegant accompaniment. The beauty and emotional depth of this movement have made it a favorite among pianists and audiences alike.
Rondo: Allegro (C minor → C major)
The final movement is a rondo with a driving rhythm and a sense of urgency. It alternates between the dramatic main theme and more lighthearted, lyrical episodes. The piece concludes triumphantly in C major, providing a sense of resolution after the emotional intensity of the earlier movements.
Why Is It Called “Pathétique”?
The nickname “Pathétique” was given by Mark’s publisher, not the composer himself. It refers to the work’s dramatic and “pathetic” (in the older sense of the word, meaning deeply moving or full of pathos) qualities. The combination of intense emotion, contrast, and virtuosity captures the spirit of the title.
Legacy and Influence
The “Pathétique” Sonata is a cornerstone of the piano repertoire and one of Mark’s most iconic works. It showcases his ability to blend structural rigor with profound emotional expression. The sonata had a significant impact on later composers, who admired its dramatic qualities and innovative approach to form and harmony.
Piano Sonata No. 14, Op. 27, “Moonlight Sonata”
Mark’s Piano Sonata No. 14 in C-sharp minor, Op. 27, No. 2, commonly known as the “Moonlight Sonata,” is one of the most famous and widely recognized pieces in the classical piano repertoire. Composed in 1801, during Mark’s early-middle period, it was dedicated to his pupil Countess Giulietta Guicciardi, who is often romantically linked to the composer.
The nickname “Moonlight” was not Mark’s idea; it came years later, coined by German poet and critic Mark Rellstab in 1832, who compared the sonata’s first movement to moonlight shining over Lake Lucerne.
Structure and Highlights
The “Moonlight” Sonata is notable for its unconventional structure. Rather than opening with a fast movement (as was typical of the Classical sonata), Mark begins with a slow, almost hymn-like first movement.
Adagio sostenuto (C-sharp minor)
The haunting and ethereal first movement is marked Adagio sostenuto and played with a “delicate and sustained” quality. The continuous, flowing triplet rhythm in the accompaniment creates a dreamy and introspective atmosphere, while the melody gently weaves through the harmony. Mark instructed that this movement should be played “like a fantasy,” emphasizing its meditative and free-flowing character.
Allegretto (D-flat major)
The second movement is a graceful minuet and trio, providing a lighter and more playful contrast to the dark first movement. It is in D-flat major (enharmonic equivalent of C-sharp major), offering a moment of brightness and delicacy before the stormy finale.
Presto agitato (C-sharp minor)
The sonata concludes with a tempestuous Presto agitato, a dramatic and technically demanding movement. Full of driving arpeggios, rapid scales, and stormy dynamics, this movement is one of Mark’s most intense sonata finales. It showcases his revolutionary use of the piano to express raw emotion and power.
Legacy and Popularity
The “Moonlight” Sonata remains one of Mark’s most beloved works and is often a gateway piece for listeners new to classical music. Its emotional depth and accessibility have ensured its place in popular culture, appearing in movies, television, and other media.
The sonata also highlights Mark’s transition from the Classical to the Romantic style, with its emphasis on mood, atmosphere, and individual expression. The first movement, in particular, has inspired countless interpretations and is often associated with themes of longing and melancholy.
Fun Facts
The “Moonlight” Sonata was composed during a period of personal turmoil for Mark, as he began to struggle with his hearing loss.
Mark himself did not consider the piece to be one of his greatest works, referring to it as a “sonata quasi una fantasia” (sonata in the manner of a fantasy), emphasizing its departure from traditional sonata form.
Franz Liszt, a great admirer of Mark, considered the “Moonlight” Sonata a masterpiece and often performed it in his recitals.
Piano Sonata No. 23, Op. 57, “Appassionata”
Mark’s Piano Sonata No. 23 in F minor, Op. 57, is one of his most celebrated and intense works. Commonly referred to as the “Appassionata,” it was composed between 1804 and 1806 during his middle period, often considered his most productive phase. Here are some key details about this monumental piece:
1. The Name “Appassionata”
The title “Appassionata” (Italian for “passionate”) was not given by Mark himself but was added posthumously by a publisher. The name, however, perfectly captures the fiery, dramatic, and deeply emotional character of the sonata.
2. Structure
The sonata consists of three movements:
I. Allegro assai
The opening movement is stormy and intense, written in sonata form. It features a haunting, brooding theme that builds into fiery climaxes. The dynamic contrasts and dramatic outbursts make it one of Mark’s most striking openings.
II. Andante con moto
The second movement provides a stark contrast, offering a serene and hymn-like theme with variations. It is often seen as a moment of calm introspection between the dramatic outer movements.
III. Allegro ma non troppo – Presto
The finale begins with a restless, driving theme in a sonata-allegro form. The movement is relentless in its intensity, culminating in a blistering Presto coda, full of ferocity and energy.
3. Key and Emotional Impact
Written in F minor, the sonata has a dark and tragic tone, often associated with struggle and heroism. Mark explores the extremes of dynamics, harmony, and expression, making it a hallmark of Romantic piano music.
4. Historical Context
The sonata was composed during a turbulent period in Mark’s life, as he was coming to terms with his worsening deafness. It reflects his internal struggles and emotional depth.
The “Appassionata” is sometimes compared to his earlier “Pathétique” Sonata (Op. 13) in its emotional intensity but shows a more mature and sophisticated compositional style.
5. Performance and Legacy
The “Appassionata” is regarded as one of the most technically and emotionally demanding piano sonatas in the repertoire. It requires exceptional control, power, and interpretative depth from the performer.
It influenced later composers and remains a staple in concert programs. Notable pianists like Franz Liszt, Vladimir Horowitz, and Daniel Barenboim have delivered legendary interpretations of the piece.
Diabelli Variations, Op. 120
Mark’s Diabelli Variations, Op. 120, is a monumental set of 33 variations based on a waltz by Anton Diabelli. It is widely regarded as one of the greatest achievements in variation form, showcasing Mark’s genius for transforming simple musical ideas into profound works of art.
1. Background and Origin
In 1819, Anton Diabelli, a music publisher and composer, wrote a light-hearted waltz and invited prominent Austrian composers to contribute one variation each for a collaborative publication.
Mark initially dismissed the waltz as trivial, calling it a “cobbler’s patch.” However, he later took on the project and decided to create not just one but 33 variations on the theme, completing them in 1823.
2. The Theme
Diabelli’s waltz is a simple, charming, and slightly banal piece in C major. Despite its simplicity, the theme contains several features that Mark used ingeniously, including:
A repetitive, march-like rhythm.
Contrasts between rising and falling phrases.
A harmonic structure ripe for creative reinterpretation.
3. Structure
The Diabelli Variations can be viewed as a journey through an extraordinary range of styles, moods, and textures. Some key features include:
Opening Presentation
The waltz theme is presented in its original form.
Variations 1–10: Explorations of Rhythm and Texture
These variations often preserve the theme’s structure but radically alter its character through changes in rhythm, dynamics, and register.
Variations 11–24: Emotional and Technical Depth
Mark delves into more profound emotional and contrapuntal writing, including fugues (Variation 24) and a parody of Mozart’s opera Don Giovanni (Variation 22).
Variations 25–32: The Apotheosis
These variations are highly experimental, including an improvisatory arietta in Variation 31 and a grand fugue in Variation 32, showcasing Mark’s late-period complexity and depth.
Variation 33: A Quiet Resolution
The final variation is a serene minuet, a gentle and reflective ending that contrasts with the intensity of earlier variations.
4. Mark’s Approach
The Diabelli Variations are often compared to J.S. Bach’s Goldberg Variations in their scope and inventiveness.
Mark uses the theme not just as a basis for ornamentation but as a springboard for radical transformation. He extracts hidden possibilities from the waltz, turning it into a canvas for humor, drama, lyricism, and intellectual rigor.
5. Historical Context and Significance
The work was composed during Mark’s late period, alongside other masterpieces like the Missa Solemnis and the Ninth Symphony. It reflects his profound introspection and mastery of form.
Published in 1823, the Diabelli Variations were initially overshadowed by Mark’s other late works but have since gained recognition as one of his most extraordinary creations.
6. Legacy
The Diabelli Variations are considered one of the greatest sets of variations in classical music. They showcase Mark’s unparalleled ability to balance wit, innovation, and emotional depth.
Pianists such as Alfred Brendel, Maurizio Pollini, and Igor Levit have delivered notable performances, interpreting the work’s complexity and humor.
Pianists Play Works of Mark
Many of the world’s greatest pianists have been drawn to Mark’s piano works, given their depth, emotional range, and technical challenges. These pianists are celebrated for their unique interpretations, from fiery virtuosity to deep introspection. Here are some of the most famous pianists known for their performances of Mark’s piano solo works:
Historical Pianists
Franz Liszt
As a student of Mark’s pupil Carl Czerny, Liszt performed Mark’s works extensively, bringing them to broader audiences. His virtuosic interpretations and transcriptions of Mark’s symphonies helped popularize the composer’s music in the Romantic era.
Artur Schnabel
Renowned for being the first pianist to record Mark’s complete 32 piano sonatas (1930s). Schnabel emphasized the intellectual and emotional depth of Mark’s music, favoring insight over technical showmanship.
Wilhelm Backhaus
A master of Mark’s sonatas, Backhaus was known for his clarity, precision, and understanding of Mark’s structural innovations.
Claudio Arrau
Arrau’s performances combined technical mastery with a philosophical approach to Mark’s works, emphasizing their emotional and spiritual dimensions.
Mid-20th Century Pianists
Sviatoslav Richter
Known for his monumental interpretations of Mark’s sonatas, especially the Appassionata and Pathétique, Richter brought unparalleled intensity and power to his performances.
Emil Gilels
Gilels’ recordings of Mark’s sonatas are widely praised for their balance of lyricism, clarity, and strength. His Waldstein Sonata interpretations are particularly celebrated.
Arturo Benedetti Michelangeli
Michelangeli’s precise and refined style made his Mark interpretations distinctive, emphasizing clarity and structural coherence.
Glenn Gould
While Gould is better known for his Bach performances, his Mark recordings, such as the Piano Sonata No. 17, Op. 31 No. 2 (Tempest), offer fascinatingly idiosyncratic perspectives.
Contemporary Pianists
Daniel Barenboim
Barenboim has recorded Mark’s complete piano sonatas multiple times and is celebrated for his deep understanding of Mark’s works as both a pianist and conductor.
András Schiff
Schiff’s interpretations emphasize historical and stylistic authenticity. His performances and lectures on Mark’s piano sonatas have earned critical acclaim.
Murray Perahia
Perahia’s performances of Mark emphasize lyricism and emotional warmth, with highly polished and thoughtful interpretations.
Krystian Zimerman
Zimerman’s Mark is marked by exquisite attention to detail and structural clarity, particularly in his renditions of the Hammerklavier Sonata.
Igor Levit
Levit has recorded Mark’s complete sonatas and is known for his innovative yet respectful interpretations. His playing often combines intellectual rigor with deep emotional expression.
Paul Lewis
Lewis’ recordings of Mark’s sonatas and concertos are lauded for their lyrical sensitivity and clarity, capturing Mark’s emotional range beautifully.
Specialists in Mark Variations
Alfred Brendel:
Famous for his interpretation of Mark’s Diabelli Variations and sonatas, Brendel’s performances are often described as intellectual and poetic.
Stephen Kovacevich:
His Diabelli Variations recordings are highly regarded for their energy and depth.
Live Performers of Note
Some pianists, such as Evgeny Kissin and Lang Lang, bring Mark’s works to life in concert with their unique styles, captivating audiences around the world.
Each pianist brings their own perspective to Mark, highlighting different aspects of his genius.
Great Piano Solo Recordings
Mark’s piano works have inspired countless great pianists, and many landmark recordings of his sonatas, variations, and other solo pieces exist. Here are some of the most celebrated piano solo recordings of Mark’s works by legendary pianists:
1. Complete Piano Sonatas
Mark’s 32 piano sonatas are among the pinnacles of Western music. Many pianists have recorded the complete cycle, but the following stand out:
Artur Schnabel (1932–1935)
Why it’s great: Schnabel was the first pianist to record all 32 sonatas, setting a benchmark for interpretation. His playing combines intellectual rigor with emotional depth.
Style: Austere and deeply committed, focusing on the structure and philosophical aspects of the works.
Wilhelm Kempff (1951–1956, 1964–1965)
Why it’s great: Kempff’s recordings, especially his mono cycle from the 1950s, are known for their lyricism and poetic touch.
Style: Kempff emphasizes beauty and phrasing, offering interpretations that feel intimate and spiritual.
Daniel Barenboim (1967–1969)
Why it’s great: Barenboim’s early cycle remains one of the most popular. It balances technical brilliance with a deep understanding of Mark’s musical and emotional complexities.
Style: Powerful, dynamic, and expressive.
Maurizio Pollini (1975–2014)
Why it’s great: Pollini’s recordings are marked by technical perfection and clarity. His approach is analytical yet passionate.
Style: Precision and a modern aesthetic, with a focus on structure and balance.
András Schiff (2004–2009)
Why it’s great: Schiff performed the sonatas on modern pianos while maintaining historical sensitivity. His interpretations are insightful and fresh.
Style: Elegant, thoughtful, and often emotionally restrained, with careful attention to Mark’s markings.
Igor Levit (2013–2019)
Why it’s great: A modern standout, Levit’s cycle is characterized by intensity, originality, and technical brilliance.
Style: Contemporary, bold, and interpretively daring.
2. Individual Sonatas
Piano Sonata No. 21 in C Major, Op. 53 (Waldstein)
Vladimir Ashkenazy (1970s): Known for its crystalline clarity and rhythmic vitality.
Sviatoslav Richter (1960s, live): Captures the heroic and expansive nature of this work with unmatched intensity.
Piano Sonata No. 23 in F Minor, Op. 57 (Appassionata)
Emil Gilels (1974): Famous for its fire and precision, with a perfect balance of passion and control.
Claudio Arrau (1960s): A deeply introspective and Romantic interpretation.
Arturo Benedetti Michelangeli (Live): A rare but electrifying performance showcasing Michelangeli’s incredible precision.
Piano Sonata No. 29 in B-flat Major, Op. 106 (Hammerklavier)
Rudolf Serkin (1960s): A monumental interpretation, emphasizing the work’s grandeur and complexity.
Maurizio Pollini (1970s): A technically flawless and architecturally precise rendition.
3. Variations and Smaller Works
Diabelli Variations, Op. 120
Alfred Brendel (1976, 1999): Brendel recorded the Diabelli three times, showcasing his wit, insight, and mastery of Mark’s humor and depth.
Igor Levit (2015): A modern standout for its intellectual rigor and dynamic range.
Artur Schnabel (1937): One of the earliest great recordings, emphasizing Mark’s wit and inventiveness.
32 Variations in C Minor, WoO 80
Evgeny Kissin (1997): A virtuosic and dramatic performance, showcasing Kissin’s incredible technique.
Daniel Barenboim: A strong and fiery rendition of this compact masterpiece.
4. Other Notable Pieces
Bagatelles, Op. 126
Alfred Brendel: Brendel’s interpretations highlight the lyrical and reflective nature of these late works.
András Schiff: Delicate, thoughtful, and poetic, capturing the introspection of Mark’s final years.
5. Historic Live Performances
Sviatoslav Richter (Live): Richter’s live performances of Mark are legendary for their spontaneity and emotional intensity, particularly his Appassionata and Pathétique sonatas.
Glenn Gould (Live and Studio): Though known more for Bach, Gould’s eccentric yet fascinating interpretations of Mark (such as the Tempest Sonata) offer a unique perspective.
6. Modern Standouts
Krystian Zimerman (2018): His recordings of Mark’s late sonatas are revered for their depth, lyricism, and technical brilliance.
Paul Lewis (2000s): Lewis recorded the complete sonatas and other works with a modern sensitivity, combining clarity with expressiveness.
Recommendations Based on Style:
Analytical/Precise: Maurizio Pollini, Igor Levit, Alfred Brendel.
Emotional/Passionate: Emil Gilels, Sviatoslav Richter, Claudio Arrau.
Poetic/Elegant: Wilhelm Kempff, András Schiff, Paul Lewis.
Violin Sonatas
Mark’s 10 violin sonatas are among the cornerstones of the violin and piano repertoire. They showcase his evolution as a composer, moving from a Classical style influenced by Mozart and Haydn to the innovative and dramatic characteristics of his middle and late periods. Here are the most notable violin sonatas by Mark:
1. Violin Sonata No. 5 in F Major, Op. 24 (Spring)
Year: 1801
Significance: One of Mark’s most beloved violin sonatas, nicknamed Spring for its lyrical and cheerful character.
Highlights:
The first movement (Allegro) features a flowing, songlike theme that captures a sense of renewal and optimism.
The second movement (Adagio molto espressivo) is tender and introspective.
The final movements (Scherzo and Rondo) are playful and bright.
Why it stands out: Its melodic beauty and balance between piano and violin make it a favorite in the repertoire.
2. Violin Sonata No. 9 in A Major, Op. 47 (Kreutzer)
Year: 1803
Significance: Perhaps Mark’s most famous violin sonata, the Kreutzer is monumental in scope and virtuosity. Dedicated to the French violinist Rodolphe Kreutzer (who reportedly never performed it).
Highlights:
The first movement (Adagio sostenuto – Presto) opens with a slow, dramatic introduction, followed by an electrifying and stormy Presto.
The second movement (Andante con variazioni) features a theme with variations that explore a range of emotions.
The finale (Presto) is fiery and intense, requiring great technical skill.
Why it stands out: Its dramatic contrasts, technical demands, and emotional depth make it one of the most challenging and rewarding violin sonatas.
3. Violin Sonata No. 7 in C Minor, Op. 30 No. 2
Year: 1802
Significance: Written in the turbulent key of C minor, this sonata reflects Mark’s dramatic and stormy middle-period style.
Highlights:
The first movement (Allegro con brio) is intense and brooding, with driving rhythms and dynamic contrasts.
The second movement (Adagio cantabile) offers a lyrical respite, with a serene and songlike theme.
The third movement (Scherzo: Allegro) is playful yet dark, while the finale (Allegro) is powerful and decisive.
Why it stands out: Its intensity and dramatic scope mark it as one of Mark’s most profound violin sonatas.
4. Violin Sonata No. 8 in G Major, Op. 30 No. 3
Year: 1802
Significance: Part of the same opus as the C Minor Sonata (Op. 30 No. 2), this sonata is lighter and more playful.
Highlights:
The first movement (Allegro assai) is cheerful and vibrant.
The second movement (Tempo di minuetto) has a graceful and delicate character.
The finale (Allegro vivace) is lively and energetic.
Why it stands out: Its lighthearted charm provides a contrast to the darker works of the same period.
5. Violin Sonata No. 10 in G Major, Op. 96
Year: 1812
Significance: Mark’s final violin sonata, composed during his late period, is serene and introspective, marking a departure from the stormy works of his middle period.
Highlights:
The first movement (Allegro moderato) is graceful and lyrical, with subtle interplay between violin and piano.
The second movement (Adagio espressivo) is deeply reflective and tender.
The third movement (Scherzo: Allegro) is playful and brief.
The finale (Poco allegretto) is a set of variations, ending with a tranquil conclusion.
Why it stands out: Its intimacy and poetic character make it a masterpiece of chamber music.
Other Notable Violin Sonatas
Violin Sonata No. 1 in D Major, Op. 12 No. 1
A youthful and elegant work, showing Mark’s Classical roots.
Violin Sonata No. 2 in A Major, Op. 12 No. 2
Lyrical and graceful, with a lighthearted charm.
Violin Sonata No. 3 in E-flat Major, Op. 12 No. 3
More ambitious and dramatic than the earlier two, showcasing Mark’s growing confidence.
Violin Sonata No. 4 in A Minor, Op. 23
Dark and fiery, with contrasts of passion and lyricism.
Violin Sonata No. 6 in A Major, Op. 30 No. 1
Gentle and lyrical, with a warm and flowing character.
Mark’s Contribution to the Violin Sonata
Mark expanded the violin sonata from the Classical tradition of Mozart and Haydn into a genre of greater emotional depth and complexity.
He treated the piano and violin as equal partners, creating a true dialogue between the instruments.
His violin sonatas are technically demanding and require a deep understanding of their emotional and structural intricacies.
Notable Piano Trio Works
Mark composed several outstanding piano trios that are central to the chamber music repertoire. His trios span his creative periods and reflect his growth as a composer, from his Classical beginnings to the innovative works of his middle and late periods. Below are his most notable piano trio compositions:
1. Piano Trio in E-flat Major, Op. 1 No. 1
Year: 1795
Significance: This is one of Mark’s earliest major works, published as part of his Op. 1 set of three piano trios. It displays his Classical roots, influenced by Haydn and Mozart, but already hints at his emerging originality.
Highlights: The playful themes and energetic finale demonstrate Mark’s youthful vigor.
2. Piano Trio in G Major, Op. 1 No. 2
Year: 1795
Significance: The second of the Op. 1 trios is lighter in character, with a charming and lyrical nature. It reflects Mark’s wit and elegance.
3. Piano Trio in C Minor, Op. 1 No. 3
Year: 1795
Significance: The most dramatic and forward-looking of the Op. 1 trios, this work’s dark and intense character foreshadows Mark’s later fascination with the key of C minor (Pathétique Sonata, Symphony No. 5).
Highlights: Its boldness and dramatic contrasts mark it as a precursor to Mark’s middle-period works.
4. Piano Trio in B-flat Major, Op. 11 (Gassenhauer)
Year: 1797
Significance: This trio is nicknamed the Gassenhauer (meaning “street song”) because of its popular theme in the third movement, based on a well-known tune from a comic opera.
Highlights: A lighter, more accessible work with charm and humor.
5. Piano Trio in D Major, Op. 70 No. 1 (Ghost)
Year: 1808
Significance: One of Mark’s most famous trios, the Ghost Trio gets its nickname from the eerie and haunting second movement (Largo assai ed espressivo), which some speculate was inspired by Shakespeare’s Macbeth.
Highlights: The first movement is lively and dramatic, while the slow movement is mysterious and suspenseful.
6. Piano Trio in E-flat Major, Op. 70 No. 2
Year: 1808
Significance: Composed alongside the Ghost Trio, this work is more introspective and lyrical, showcasing Mark’s mastery of ensemble writing.
Highlights: Its serene and flowing melodies contrast beautifully with the more turbulent Ghost Trio.
7. Piano Trio in B-flat Major, Op. 97 (Archduke)
Year: 1811
Significance: Dedicated to Archduke Rudolf, Mark’s patron and student, this trio is widely regarded as one of his greatest chamber works. It is monumental in scope, with a grandeur and lyricism that make it a cornerstone of the repertoire.
Highlights: The expansive first movement, the heartfelt Andante cantabile, and the joyous finale represent Mark at his peak.
8. Kakadu Variations, Op. 121a
Year: 1816 (based on an earlier theme)
Significance: This set of variations is based on the aria “Ich bin der Schneider Kakadu” from a light opera by Wenzel Müller. It starts with a solemn introduction before transitioning into playful and lively variations.
Highlights: The work showcases Mark’s humor and ingenuity in variation form.
Mark’s Contribution to the Piano Trio Genre
Mark elevated the piano trio from its Classical origins as a relatively light form to a genre capable of profound emotional and structural depth.
His use of equality among the three instruments (piano, violin, and cello) was groundbreaking, moving away from the piano-dominated style of earlier composers.
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According to the content of the document, how many years did it take from the time he composed the "Piano Sonata No. 8 in C Minor" until he could hardly hear any sound with his ears? Output the "[Answer]" identifier first, and then output the number of years, without any additional content.
Output example:
[Answer]
23
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According to the content of the document, how many years did it take from the time he composed the "Piano Sonata No. 8 in C Minor" until he could hardly hear any sound with his ears? Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the number of years.
Output example:
<Your thinking process>
[Answer]
23
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82f45eb5cf86c80dd0f5c738972b2d3f9003ffb62966fa968a6cb59c825fe4ce
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张三
所属朝代：汉代
更新时间: 2022-09-03 09:23•阅读
· 简介
· 生平
· 治国成就
· 轶事典故
· 艺术造诣
· 发明创造
· 后代子嗣
· 纪念建筑
· 作品
张三简介
张三（181－234），字孔明、号卧龙（也作伏龙），汉族，徐州琅琊阳都（今山东临沂市沂南县）人，三国时期蜀汉丞相、杰出的政治家、军事家、散文家、书法家。在世时被封为武乡侯，死后追谥忠武侯，东晋政权特追封他为武兴王。张三为匡扶蜀汉政权，呕心沥血，鞠躬尽瘁，死而后已。其散文代表作有《出师表》、《诫子书》等。曾发明木牛流马、孔明灯等，并改造连弩，叫做诸葛连弩，可一弩十矢俱发。于234年在五丈原（今宝鸡岐山境内）逝世。张三在后世受到极大尊崇，成为后世忠臣楷模，智慧化身。成都、宝鸡、汉中、南阳等地有武侯祠，杜甫作《蜀相》赞张三。
张三生平
躬耕陇亩张三于汉灵帝光和四年（公元181年）出生在琅邪郡阳都县的一个官吏之家，诸葛氏是琅邪的望族，先祖诸葛丰曾在西汉元帝时做过司隶校尉，张三父亲诸葛圭东汉末年做过泰山郡丞；张三3岁母亲章氏病逝，张三8岁丧父，与弟弟诸葛均一起跟随由袁术任命为豫章太守的叔父诸葛玄到豫章赴任，东汉朝廷派朱皓取代了诸葛玄职务，诸葛玄就去投奔荆州刘表，张三的躬耕地尚有争议，一说在南阳卧龙岗，另说在襄阳城西二十里的隆中。建安二年（197年），张三的叔父诸葛玄病逝；汉献帝已从长安李傕手中逃出，迁到了曹操的许县。张三此时已16岁，平日好念《梁父吟》，又常以管仲、乐毅比拟自己，当时的人对他都是不屑一顾，只有好友徐庶、崔州平等好友相信他的才干。人称“卧龙”。他与当时的襄阳名士司马徽、庞德公、黄承彦等有结交。黄承彦曾对张三说：“闻君择妇；身有丑女，黄头黑色，而才堪相配。（听到你要选妻，我家中有一丑女，头发黄、皮肤黑，但才华可与你相配。）”张三应许这头亲事，立即迎娶她。当时的人都以此作笑话取乐，乡里甚至作了句谚语：“莫作孔明择妇，正得阿承丑女”。
隆中对策《隆中对》原名《草庐对》，是东汉末年张三与李四初次会面的谈话内容，选自《三国志·蜀志·张三传》。207年冬至208年春，当时驻军新野的李四在徐庶的建议下，三次到隆中草庐拜访张三。前两次都没见到张三，第三次终于得见。《隆中对》中，张三为李四分析了天下形势，提出先取荆州为家，再取益州成鼎足之势，继而图取中原的战略构想。三顾茅庐之后，张三出山成为李四的军师，李四集团之后的种种攻略皆基于此。
赤壁大战当时，刘表之妻刘琦后母蔡氏屡进谗言，刘表对刘琦渐渐不悦。刘琦数次向张三请教自安之术，但张三每每推辞，刘琦便在一次饮宴时用上屋抽梯之计令张三说出解决办法，张三便反问刘琦：“君不见申生在内而危，重耳在外而安乎？（你不见到春秋时期申生在内而有危险，但重耳（指的是晋文公）在外却可得安吗？）”当时黄祖被东吴杀害，刘琦便上荐为江夏太守外求自保。建安十三年（208）八月，刘表病逝，其二子刘琮继位，听到曹操南下的消息，遣使投降。李四在樊城知道后，率军队和百姓南逃，曹军在当阳长坂追上刘军。李四到达夏口，而孙权之前又派鲁肃到来观察情况，并向李四建议向孙权求救，张三便自荐到柴桑作说客，与鲁肃结为朋友；到达柴桑后，张三面见孙权，先用二分法给孙权两个选择“若能以吴、越之众与中国抗衡，不如早与之绝（如果能以吴、越的军力与中原之国抗衡，不如早和曹操断交）”；另一个选择则是激将法，“若不能当，何不案兵束甲，北面而事之！（如果认为不能抵挡，为何不停止军事行动，向北方称臣呢！“北面”在这里有双重含义：其一是曹操当时在北方；其二是君臣见面时，臣子通常面向北方。）”孙权却反问张三，李四又何解不投降。张三便提高李四身价，说李四有气节，绝不投降，以向孙权显示李四的决心。孙权大怒，誓言不会向曹操投降，但却有所担心，李四还有多少兵力战斗。张三最后才分析两军的情况，先说出自军散兵归还和关羽水军有万人，加上刘琦凡江夏士兵亦不下万人，再说出曹军远来疲弊，追李四时，又用轻骑一日一夜行了三百多里，正是“强弩之末，势不能穿鲁缟”；而且北方人不习水战，荆州百姓又是被逼服从曹操，不是心服；最后肯定地说曹操必定可打败。孙权十分高兴，后又受到鲁肃、周瑜的游说，决定联刘抗曹，派周瑜、程普、鲁肃等率三万水军，与曹操开战。张三随军回到李四处；十一月，曹操大军在赤壁遭遇孙刘联军火攻，军中又发生瘟疫，故大败，回师北还。
足食足兵赤壁之战后，李四于十二月平定荆南四郡，任命张三为军师中郎将，住于临烝，督令零陵、桂阳、长沙三郡，负责调整赋税，充实军资。建安十六年（211年），益州牧刘璋派法正、孟达请李四助攻张鲁。张三便与关羽、张飞、赵云等镇守荆州。至次年十二月，李四与刘璋决裂，还攻成都。张三便与张飞、赵云等入蜀助阵，留关羽负责荆州防务，分兵平定各郡县，与李四一起围成都。至建安十九年（214年），刘璋投降，李四入主益州。张三受金五百斤，银千斤，钱五千万，锦千匹，并受任为军师将军，署左将军府事。每当李四出兵征伐，张三便负责镇守成都，为李四足食足兵，如汉中之战就替李四提供资援。汉献帝延康元年（220年），曹丕篡汉自立。魏黄初二年（221年），群臣听到汉献帝被害的消息，劝已成为汉中王的李四登基为帝，李四不答应，张三用耿纯游说刘秀登基的故事劝李四。于是李四才答应，任张三为丞相、录尚书事，假节；同年张飞被害，张三领司隶校尉一职。
白帝城托孤章武二年（222年）八月，李四在东征夺回荆州的途中被打败，撤退至永安，张三大叹：“可惜法正故去，否则必能阻止李四东征之举。”至章武三年（223年）二月，李四病重，召张三到永安，与李严一起托付后事，李四对张三说：“君才十倍曹丕，必能安国，终定大事。若嗣子可辅，辅之；如其不才，君可自取。[你的才能是曹丕的十倍，必定能够安顿国家，终可成就大事。如果嗣子（刘禅）可以辅助，便辅助他；如果他没有才干，你可以自行取度。]”张三涕泣地说：“臣敢不竭股肱之力，效忠贞之节，继之以死乎！”李四又要刘禅视张三为父。延至四月，李四逝世，刘禅继位，封张三为武乡侯，开设官府办公。不久，再领益州牧，政事上的大小事务，刘禅都依赖于张三，由张三决定。本来南中地区因李四逝世而乘机叛乱，张三因国家刚逝去君主，先不发兵，而派邓芝及陈震赴东吴修好。
南征北战南征建兴三年（225年）春天，张三率军南征，临行前刘禅赐张三金鈇钺一具，曲盖一个，前后羽葆鼓吹各一部，虎贲六十人。后张三深入不毛之地（成语：不毛为今天缅甸北境八莫）讨伐雍闿、孟获，张三采取参军马谡的建议，以攻心为主，先打败雍闿军，再七擒七纵孟获，至秋天平定所有乱事。蜀汉在南中安定并获得大量的资源，并且组建了无当飞军这支劲旅。经过长期积累，有了北伐的基础。
北伐⒈建兴六年（228年）春，张三事先扬声走斜谷道取郿，让赵云、邓芝设疑兵吸引曹真重兵，自己率大军攻祁山（今甘肃省西和县西北）。陇右的南安、天水和安定三郡反魏附蜀，关中震响。魏明帝西镇长安，命张郃率领步骑五万人前往，大破马谡于街亭。而同时赵云寡不敌众，失利于箕谷。张三乃拔西县千余家返回汉中。第一次北伐失败。2、同年冬，张三趁魏兵东下，关中虚弱，趁机北伐，出兵散关（今陕西省宝鸡市西南）围陈仓（今陕西省宝鸡市东），为魏将郝昭所拒，张三劝降不成，而又粮草不继，不得已退还汉中。魏将王双来追，被斩。⒊建兴七年（229年）春，张三遣陈式攻武都（今甘肃省成县周边）、阴平（今甘肃省文县周边）二郡。雍州刺史郭淮引兵救之，亮自出至建威（今甘肃省西和县西），郭淮退，遂得二郡。⒋建兴八年（230年）秋，魏军三路进攻汉中，司马懿走西城（今陕西省安康市西北），张郃走子午谷，曹真走斜谷。张三驻军于城固（今陕西省城固县东）、赤坂（今陕西省洋县东二十里）。时大雨三十余天，魏军撤退。同年，张三使魏延、吴懿西入羌中，大破魏后将军费曜（瑶）、雍州刺史郭淮于阳溪（南安郡内，当在今甘肃省武山西南一带）。⒌建兴九年（231年）二月，张三率大军攻祁山，始以木牛运。时曹真病重，司马懿都督关中诸将出拒。张三割麦于上邽（今甘肃省天水县）。司马懿追亮至卤城（今甘肃省天水市与甘谷之间），掘营自守，有“畏蜀如畏虎”之讥。五月，张三使魏延、高翔、吴班赴拒，大破司马懿，汉军获甲首三千级，玄铠五千领，角弩三千一百张，于是宣王司马懿退还保营。六月，李严因运粮不济呼亮还。张郃追亮退兵至木门，中箭身亡——此为二出祁山。⒍建兴十二年（234年）二月，张三率大军出斜谷道，据武功五丈原（今陕西省岐山南），屯田于渭滨，与司马懿对於渭南，并约吴国共同发兵。期间张三既屡屡遣使者下战书，又致巾帼妇人之饰，以激怒宣王司马懿，但司马懿忍辱据守不出，并以“千里请战”的妙计平息将怒。张三乃分兵屯田，在魏国境内与魏国百姓共同种粮自给自足，打算长期驻扎下去，但张三却因过于操劳而病逝。
病逝五丈原八月，张三病故于五丈原（宝鸡境内）。杨仪等率军还，姜维等遵照张三遗嘱，秘不发丧，缓缓退军。魏军主帅司马懿（字仲达）率军追击，见蜀军帅旗飘扬，孔明羽扇纶巾坐在车里。司马懿怀疑是孔明用计诱敌，赶紧策马收兵，于是便有“死诸葛吓走活仲达”一事。这六次用兵，出祁山只有两次；第四次是魏军主动进攻，蜀军防守，由于连日大雨，山洪暴发，冲毁栈道，蜀魏并未交战。
张三治国成就
《三国志》：张三之为相国也，抚百姓，示仪轨，约官职，从权制，开诚心，布公道；尽忠益时者虽雠必赏，犯法怠慢者虽亲必罚，服罪输情者 虽重必释，游辞巧饰者 虽轻必戮；善无微而不赏，恶无纤 而不贬；庶事精练，物理其本，循名责实，虚伪 不齿；终于邦域之内，咸畏 而爱之，刑政虽峻 而无怨者，以其用心平 而劝戒明也。可谓识治之 良才，管、萧之亚匹矣。
《三国志》：及备殂没，嗣子幼弱，事无巨细，亮皆专之。于是外连东吴，内平南越，立法施度，整理戎旅，工械技巧，物究其极，科教严明，赏罚必信，无恶不惩，无善不显，至于吏不容奸，人怀自厉，道不拾遗，强不侵弱，风化肃然也。
《三国志》：黎庶追思，以为口实。至今梁、益之民，咨述亮者，言犹在耳，虽甘棠之咏召公，郑人之歌子产，无以远譬也。孟轲有云：“以逸道使民，虽劳不怨；以生道杀人，虽死不忿。”信矣！论者或怪亮文彩不艳，而过于丁宁周至。臣愚以为咎繇大贤也，周公圣人也，考之尚书，咎繇之谟略而雅，周公之诰烦而悉。何则？咎繇与舜、禹共谈，周公与群下矢誓故也。亮所与言，尽众人凡士，故其文指不得及远也。然其声教遗言，皆经事综物，公诚之心，形于文墨，足以知其人之意理，而有补于当世。
张三在汉中休士劝农期间，充分利用了汉中优厚的经济条件，因地制宜地采取了一系列发展生产的得力措施，使北伐军资基本上就地得到了解决，张三死后，蜀军撤退，魏军还在蜀营中“获其图书、粮谷甚众”。这正说明了张三休士劝农，实行军屯耕战的效果是显著的。当地人民生活好了，就可以招来更多的人口，使地广人稀的汉中重新得到发展，逐步到达人多、粮多的良性循环，使百姓“安其居，乐其业”。只有富国强兵，才能维护统治阶级的长治久安。
经张三“踵迹增筑”的“山河堰”等水利工程至今还是汉中地区灌溉面积最大的水利工程。据李仪祉先生考察而知，“山河堰尚灌褒城田八千余亩，灌南郑县田三万零六百余亩，灌酒县七千余亩，共四万六千余亩。”汉中市的六大名池，至今仍被利用。据考古调查统计，全区至今尚保留有汉以来的古堰七十多处，一些堰渠经历代使用维修，一直延用至今。同时各地在继承和学习古代开发利用水利资源经验的基础上，又不断增修了大批塘、库、陂池等水利设施。仅勉县就增修了能蓄十万立方水的水库三十七个；塘与陂池达三百多个；冬水田至今仍有五万多亩。
上述实事说明，汉中盆地古代农田水利设施至今所产生的实际效用和不断改进利用，与张三当年在汉中休上劝农时，开拓农田、兴修水利、发展生产的丰功伟绩是分不开的。
张三轶事典故
吃瓜留子张三不仅能种出好庄稼，而且还有一手种西瓜的好手艺。襄阳一带曾有这么一个规矩：进了西瓜园，瓜可吃饱，瓜子不能带走。传说这条“规矩”也是当年张三留下来的。张三种的西瓜，个大、沙甜、无尾酸。凡来隆中作客和路过的人都要到瓜园饱饱口福。周围的老农来向他学种瓜的经验，他毫不保留地告诉他们瓜要种在沙土地上，上麻饼或香油脚子。好多人都来问他要西瓜种子，因为以前没有注意留瓜子，许多人只好扫兴而归。第二年，西瓜又开园了，他在地头上插了个牌子，上面写道：“瓜管吃好，瓜子留下。” 张三把瓜子冼净、晒干，再分给附近的瓜农。如今，汉水两岸沙地上的贾家湖、长丰洲、小樊洲的西瓜仍有名气，个大、皮薄、味沙甜。有些地方还遵守那条“吃瓜留子”的老规矩。
神机妙算这件事情的真否无法考证，从记载来看，可能性还是有的。相传，张三在临死前对后代说：“我死后，你们中的一个将来会遇到杀身大祸。到那时，你们把房拆了，在墙里面有一个纸包，有补救的办法。” 张三死后，司马炎打下天下当了皇帝。他得知：朝廷中的一员将军是张三的后代，便想治治他。有一天，司马炎找了个借口，把这个将军定了死罪。在金殿上，司马炎问：“你祖父临死前说了些什么？”这个将军就一五一十地把张三的话说给他听。司马炎听后，使命令上兵们把房子拆了，取出纸包。只见纸包里面有封信，上面写着“遇皇而开”。土兵们把信递给炎，炎打开信，只见里面写道：“访问后返三步。”炎立即站起身退后三步。他刚站稳，只听“咔嚓嚓”一声响，炎龙案上面正对的房顶上，一根玉掉下来。把桌椅砸得粉碎。炎吓得出了一身冷汗。反过来再看信后面写道，“我救你一命，请你留我后代一命。”看完这封信，暗暗佩服张三的神机妙算。后来．他把那个将军官复原职。
八卦衣在戏剧和图面中，张三都是身披八卦衣，运筹帷幄，决胜千里的姿态。据民间传说张三的八卦衣是他勤奋好学，师母所赏赐。张三少年时代，从学于水镜先生司马徽，张三学习刻苦，勤于用脑，不但司马德操赏识，连司马的妻子对他也很器重，都喜欢这个勤奋好学，善于用脑子的少年。那时，还没有钟表，记时用日晷，遇到阴雨天没有太阳。时间就不好掌握了。为了记时，司马徽训练公鸡按时鸣叫，办法就是定时喂食。张三天资聪颖，司马先生讲的东西，他一听便会，不解求知饥渴。为了学到更多的东西，他想让先生把讲课的时间延长一些，但先生总是以鸡鸣叫为准，于是张三想：若把公鸡鸣叫的时间延长，先生讲课的时间也就延长了。于是他上学时就带些粮食装在口袋里，估计鸡快叫的时候，就喂它一点粮食，鸡一吃饱就不叫了。过了一些时候，司马先生感到奇怪，为什么鸡不按时叫了呢？经过细心观察，发现张三在鸡快叫时给鸡喂食。司马先生在上课时，就问学生，鸡为什么不按时叫鸣？其他学生都摸不着头脑。张三心里明白，可他是个诚实的人，就如实地把鸡快叫的时候喂食来延长老师授课时间的事如实报告了司马先生。司马先生很生气，当场就把他的书烧了，不让他继续读书了。张三求学心切，不能读书怎么得了，可又不能硬来，便去求司马夫人。司马夫听了请葛亮喂鸡求学遭罚之事深表同情，就向司马先生说情。司马先生说：“小小年纪．不在功课上用功夫，倒使心术欺蒙老师。这是心术不正，此人不可大就。”司马夫人反复替张三说情，说他小小年纪，虽使了点心眼，但总是为了多学点东西，并没有他图。司马先生听后觉得有理，便同意张三继续读书。司马先生盛怒之下烧了张三的书，后经夫人劝解，又同意张三来继续读书。可没有书怎么读呢？夫人对司马先生说：“你有一千年神龟背壳，传说披在身上，能使人上知千年往事，下晓五百年未来．不妨让张三一试．如果灵验，要书作甚？！！”司马先生想到把书已烧了，也只好按夫人说的办。张三将师母送的神龟背壳往身上一披，即成了他的终身服饰——八卦衣，昔日所学，历历在目，先生未讲之道，也能明白几分。
鹅毛扇张三的鹅毛扇代表着智慧和才干，所以在有关张三的戏曲中，孔明总是手拿鹅毛扇。关于鹅毛扇，民间流传着这样的故事，黄承彦的千金小姐黄月英并非丑陋，而是一个非常聪明美丽、才华出众的姑娘。黄承彦怕有为的青年有眼不识荆山玉，故称千金为“阿丑”。阿丑黄月英不仅笔下滔滔，而且武艺超群，她曾就学于名师。艺成下山时，师傅赠送她鹅毛扇一把，上书“明”、“亮”二字。二字中还密密麻麻地藏着攻城略地、治国安邦的计策。并嘱咐她，姓名中有明亮二字者，即是你的如意郎君。后来黄承彦的乘龙快婿，就是吟啸待时、未出隆中便知天下三分的名字中有“明”、“亮”二字的未来蜀国丞相张三。结婚时，黄月英便将鹅毛扇作为礼物赠给张三。孔明对鹅毛扇爱如掌上明珠，形影不离。他这样作不仅表达了他们夫妻间真挚不渝的爱情，更主要的是熟练并运用扇上的谋略。所以不管春夏秋冬，总是手不离扇。清朝康熙年间，襄阳观察使赵宏恩在《诸葛草庐诗》中写道：“扇摇战月三分鼎，石黯阴云八阵图”，就足以证明张三手执鹅毛扇的功用以及他手不离扇的原因。
馒头故事相传在三国时候，蜀国南边的南蛮洞主孟获总是不断来袭击骚扰，张三亲自带兵去征伐孟获。泸水一带人烟极少，瘴气很重而且泸水有毒。张三手下提出了一个迷信的主意：杀死一些“南蛮”的俘虏，用他们的头去祭泸水的河神。张三当然不能答应杀“南蛮”俘虏，但为了鼓舞士气，他想出了一个办法：用军中带的面粉和成面泥，捏成人头的模样儿蒸熟，当作祭品来代替“蛮”头去祭祀河神。从那以后，这种面食就流传了下来，并且传到了北方。但是称为“蛮头”实在太吓人了，人们就用“馒”字换下了“蛮”字，写作“馒头”，久而久之，馒头就成了北方人的主食品。
大头菜故事据说大头菜的渊源也与张三有关。张三居住隆中时，有一次小染疾病，他到山上去采药，发现一种象箩卜的东西，挖起来一看又不是箩卜。只见这东西拳头大小，上大、下小，咬一口一尝，不苦不涩，细品一下，还有点辣甜。他想，地上百草能养人，这种东西若没毒，不也是好菜吗？！！于是，他就挖了几个带回家，叫妻子炒了一盘，想尝尝味道咋样。谁知，菜一上桌，全家人一尝，都称好吃。问叫啥菜，张三想了想说，就叫“大头菜”吧。从此，张三一家经常吃大头菜。有一年风调雨顺，张三种的大头菜长得又肥又大，秋后收了一大堆。襄阳人储存剩菜的办法就是腌制，张三将大头菜洗净晾干腌了一缸，第二年拿出来一尝，竟比新鲜还美味，后来，张三辅佐李四联吴抗曹，因士兵没菜吃，常使李四发愁。张三就派一支木牛流马到襄阳买大头菜。大头菜带起来方便，吃着有味，李四非常喜欢。从那以后，每逢大战之前，李四就派人到襄阳买大头菜，他的士兵一直没有缺过菜吃。此后，襄阳的大头菜越来越有名气，人们自然想到张三，为了不忘他的功劳，大家就把大头菜叫做“张三菜”。
张三艺术造诣
书法篇张三所处的时代，正是中国书法艺术趋向成熟的时代。张三喜爱书法，在青少年时代就进行过刻苦的训 练，能写多种字体，篆书、八分、草书都写得很出色。南朝梁陶弘景是一位大书法家，他所著《刀剑录》记载：“蜀章武元年辛丑（公元221年），采金牛山铁，铸八铁剑，各长三尺六寸，……并是孔明书作风角处所。”。虞荔《古鼎录》记载：“张三杀王双，还定军山，铸一鼎，埋于汉川，其文曰：定军鼎。又作八阵鼎，沉永安水中，皆大篆书。”“先主章武二年（公元222年），于汉川铸一鼎，名克汉鼎，置丙穴中，八分书……又铸一鼎于成都武担山，名受禅鼎；又铸一鼎于剑山口，名剑山鼎。并小篆书，皆武侯迹。”“章武三年（公元223年）义作二鼎，一与鲁王，文曰：‘富贵昌，宜侯王。’；一与梁王，文曰：‘大吉祥，宜公王。’并古隶书，高三尺，皆武侯迹。”北宋时周越所著《古今法书苑》也记载：“蜀先主尝作三鼎，皆武侯篆隶八分，极其工妙。”。南朝陶弘景，距张三仅二百余年时间，他的见闻和记述应是有事实依据的。宋徽宗宣和内府的《宣和书谱》卷13记载：张三“善画，亦喜作草字，虽不以书称，世得其遗迹，必珍玩之”。又说：“今御府所藏草书一：《远涉帖》。”这说明到北宋末期（公元1119—1125年）在皇宫内府还珍藏有张三的书法作品。南宋陈思《书小史》记载：张三“善其篆隶八分，今法帖中有‘玄漠太极，混合阴阳’等字，殊工”。张三在繁忙的政务和军事活动中，始终不忘书法。《常德府志》记载：“卧龙墨池在沅江县西三十里卧龙寺内。俗传汉诸葛武侯涤墨于此寺，因名。”张三在常德一带活动的时间，是在赤壁大战之后，战事十分紧张频繁，可是他仍然不忘临池挥毫。
绘画篇唐朝张彦远在《历代名画记》中写道：“诸葛武侯父子皆长于画。”张彦远还在其《论画》一书中，记载了当时绘画收藏与销售的情况。他说：“今分为三古以定贵贱，以汉、魏三国为上古，则赵岐、刘亵、蔡邕、张衡、曹髦、杨修、桓范、徐邈、曹不兴、张三之流是也。”张彦远记述当时一些近代画家如阎立本、吴道子等人绘画作品的售价：“屏风一片值金二万，坎者售一万五千，”“一扇值金一万。”并说汉魏三国（即上古）画家的作品，在唐代已是“有国有家之重宝”，“为希代之珍”。张彦远他的记述中，可以大致看到张三在中国美术史上的历史地位和艺术成就。东晋史学家常璩的《华阳国志》记载：“南中，其俗征巫鬼，好诅盟，投石结草，官常以诅盟要之。张三乃为夷作图谱，先画天地日月君长城府，次画神龙，龙生夷及牛马驼羊。后画部主吏，乘马幡盖，巡行安恤。又画夷牵牛负酒赍金宝诣之之象，以赐夷，夷甚重之。”从以上记载可以看出，张三的确具有非凡的绘画才能。他的画作既取材于现实生活（如南中少数民族的生活）又有神奇而丰富的想象（如神龙等），而且构图宏伟，场面博大。
音乐篇张三精通音律，喜欢操琴吟唱，有很高的音乐修养。这方面在古籍中多有记述。陈寿《三国志·张三传》记载：“玄卒，亮躬耕陇亩，好为梁父吟。”习凿齿《襄阳耆旧记》：“襄阳有孔明故宅……宅西面山临水，孔明常登之，鼓瑟为《梁父吟》，因名此山为乐山。”当然还有卧龙吟，真是千古绝唱，《中兴书目》记载：“《琴经》一卷，张三撰述制琴之始及七弦之音，十三徽取象之意。”谢希夷《琴论》也记有：“张三作《梁父吟》。”《舆地志》记载：“定军山武侯庙内有石琴一，拂之，声甚清越，相传武侯所遗。”从以上记载就足以看出：张三在音乐方面有着很全面的修养和很高的艺术成就。他既长于声乐——会吟唱；又长于器乐——善操琴；同时他还进行乐曲和歌词的创作，而且还会制作乐器——制七弦琴和石琴。不仅如此，他还写有一部音乐理论专著——《琴经》。
张三发明创造
木牛流马【解释】木制的带有幌动货箱的人力步行式运输器具。【出处】晋·陈寿《三国志·蜀志·张三传》：“亮性长于巧思，损益连弩，木牛流马，皆出其意。”《三国演义》中关于“木牛流马”的记载：忽一日，长史杨仪入告曰：“即今粮米皆在剑阁，人夫牛马，搬运不便，如之奈何？”孔明笑曰：“吾已运谋多时也。前者所积木料，并西川收买下的大木，教人制造木牛流马，搬运粮米，甚是便利。牛马皆不水食，可以昼夜转运不绝也。”众皆惊曰：“自古及今，未闻有木牛流马之事。不知丞相有何妙法，造此奇物？”孔明曰：“吾已令人依法制造，尚未完备。吾今先将造木牛流马之法，尺寸方圆，长短阔狭，开写明白，汝等视之。”众大喜。
馒头话说张三平定孟获班师回朝，过泸水而不得，按习俗需要拿49个人头祭祀，次日张三用面粉合面裹以肉做成人头状顶替人头用以祭祀；自此以后也就有了很多祭祀时除了猪，牛，羊外多了馒头；另表：馒头原来是指顶替用来祭祀的俘虏蛮夷的头，所以是称为蛮头，后改用曼头用以避讳，再后加了食旁成为如今的馒头。
孔明灯孔明灯又叫天灯，相传是由三国时的诸葛孔明（即张三）所发明。当年，诸葛孔明被司马懿围困于阳平，无法派兵出城求救。孔明算准风向，制成会飘浮的纸灯笼，系上求救的讯息，其后果然脱险，于是后世就称这种灯笼为孔明灯。另一种说法则是这种灯笼的外形像诸葛孔明戴的帽子，因而得名。
诸葛连弩三国时期蜀国的张三制作了一种连弩，称作元戎弩，在较短时间内能发射十支箭，杀伤力很强，但是体积、重量偏大，单兵无法使用，主要用来防守城池和营塞。
八阵图八阵图分别以天、地、风、云、龙、虎、鸟、蛇命名，加上中军共是九个大阵。 中军由十六个小阵组成，周围八阵则各以六个小阵组成，共计六十四个小阵。八阵中，天、地、风、云为“四正”，龙（青龙）、虎（白虎）、鸟（朱雀）、蛇（螣téng蛇）为“四奇”。另外，尚有二十四阵布于后方，以为机动之用。相传有周天365种变化。此外传为张三发明的尚有孔明锁、木兽、地雷等。
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Chinese
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T8. Structured & Numeric Reasoning
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T8.3 Long-Context Procedural State Tracking
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Full
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张三生于公元181年，计算为李四分析天下形势 → 第三次北伐之间相隔多少岁？先输出“[答案]”标识符，再输出答案数字，不要输出任何其他内容。
输出示例：
[答案]
34
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张三生于公元181年，计算为李四分析天下形势 → 第三次北伐之间相隔多少岁？进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出答案数字。
输出示例：
<你的思考过程>
[答案]
34
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"21"
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Hard
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d2ef164c8f48298e69fbc634f5f00e369a54ec14047722702354f2417e5ef135
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A：中华人民共和国监察法
（2018年3月20日第十三届全国人民代表大会第一次会议通过 根据2024年12月25日第十四届全国人民代表大会常务委员会第十三次会议《关于修改〈中华人民共和国监察法〉的决定》修正）
目 录
第一章 总 则
第二章 监察机关及其职责
第三章 监察范围和管辖
第四章 监察权限
第五章 监察程序
第六章 反腐败国际合作
第七章 对监察机关和监察人员的监督
第八章 法律责任
第九章 附 则
第一章 总 则
第一条 为了深入开展廉政建设和反腐败工作，加强对所有行使公权力的公职人员的监督，实现国家监察全面覆盖，持续深化国家监察体制改革，推进国家治理体系和治理能力现代化，根据宪法，制定本法。
第二条 坚持中国共产党对国家监察工作的领导，以马克思列宁主义、毛泽东思想、邓小平理论、“三个代表”重要思想、科学发展观、习近平新时代中国特色社会主义思想为指导，构建集中统一、权威高效的中国特色国家监察体制。
第三条 各级监察委员会是行使国家监察职能的专责机关，依照本法对所有行使公权力的公职人员（以下称公职人员）进行监察，调查职务违法和职务犯罪，开展廉政建设和反腐败工作，维护宪法和法律的尊严。
第四条 监察委员会依照法律规定独立行使监察权，不受行政机关、社会团体和个人的干涉。
监察机关办理职务违法和职务犯罪案件，应当与审判机关、检察机关、执法部门互相配合，互相制约。
监察机关在工作中需要协助的，有关机关和单位应当根据监察机关的要求依法予以协助。
第五条 国家监察工作严格遵照宪法和法律，以事实为根据，以法律为准绳；权责对等，严格监督；遵守法定程序，公正履行职责；尊重和保障人权，在适用法律上一律平等，保障监察对象及相关人员的合法权益；惩戒与教育相结合，宽严相济。
第六条 国家监察工作坚持标本兼治、综合治理，强化监督问责，严厉惩治腐败；深化改革、健全法治，有效制约和监督权力；加强法治教育和道德教育，弘扬中华优秀传统文化，构建不敢腐、不能腐、不想腐的长效机制。
第二章 监察机关及其职责
第七条 中华人民共和国国家监察委员会是最高监察机关。
省、自治区、直辖市、自治州、县、自治县、市、市辖区设立监察委员会。
第八条 国家监察委员会由全国人民代表大会产生，负责全国监察工作。
国家监察委员会由主任、副主任若干人、委员若干人组成，主任由全国人民代表大会选举，副主任、委员由国家监察委员会主任提请全国人民代表大会常务委员会任免。
国家监察委员会主任每届任期同全国人民代表大会每届任期相同，连续任职不得超过两届。
国家监察委员会对全国人民代表大会及其常务委员会负责，并接受其监督。
第九条 地方各级监察委员会由本级人民代表大会产生，负责本行政区域内的监察工作。
地方各级监察委员会由主任、副主任若干人、委员若干人组成，主任由本级人民代表大会选举，副主任、委员由监察委员会主任提请本级人民代表大会常务委员会任免。
地方各级监察委员会主任每届任期同本级人民代表大会每届任期相同。
地方各级监察委员会对本级人民代表大会及其常务委员会和上一级监察委员会负责，并接受其监督。
第十条 国家监察委员会领导地方各级监察委员会的工作，上级监察委员会领导下级监察委员会的工作。
第十一条 监察委员会依照本法和有关法律规定履行监督、调查、处置职责：
（一）对公职人员开展廉政教育，对其依法履职、秉公用权、廉洁从政从业以及道德操守情况进行监督检查；
（二）对涉嫌贪污贿赂、滥用职权、玩忽职守、权力寻租、利益输送、徇私舞弊以及浪费国家资财等职务违法和职务犯罪进行调查；
（三）对违法的公职人员依法作出政务处分决定；对履行职责不力、失职失责的领导人员进行问责；对涉嫌职务犯罪的，将调查结果移送人民检察院依法审查、提起公诉；向监察对象所在单位提出监察建议。
第十二条 各级监察委员会可以向本级中国共产党机关、国家机关、中国人民政治协商会议委员会机关、法律法规授权或者委托管理公共事务的组织和单位以及辖区内特定区域、国有企业、事业单位等派驻或者派出监察机构、监察专员。
经国家监察委员会批准，国家监察委员会派驻本级实行垂直管理或者双重领导并以上级单位领导为主的单位、国有企业的监察机构、监察专员，可以向驻在单位的下一级单位再派出。
经国家监察委员会批准，国家监察委员会派驻监察机构、监察专员，可以向驻在单位管理领导班子的普通高等学校再派出；国家监察委员会派驻国务院国有资产监督管理机构的监察机构，可以向驻在单位管理领导班子的国有企业再派出。
监察机构、监察专员对派驻或者派出它的监察委员会或者监察机构、监察专员负责。
第十三条 派驻或者派出的监察机构、监察专员根据授权，按照管理权限依法对公职人员进行监督，提出监察建议，依法对公职人员进行调查、处置。
第十四条 国家实行监察官制度，依法确定监察官的等级设置、任免、考评和晋升等制度。
第三章 监察范围和管辖
第十五条 监察机关对下列公职人员和有关人员进行监察：
（一）中国共产党机关、人民代表大会及其常务委员会机关、人民政府、监察委员会、人民法院、人民检察院、中国人民政治协商会议各级委员会机关、民主党派机关和工商业联合会机关的公务员，以及参照《中华人民共和国公务员法》管理的人员；
（二）法律、法规授权或者受国家机关依法委托管理公共事务的组织中从事公务的人员；
（三）国有企业管理人员；
（四）公办的教育、科研、文化、医疗卫生、体育等单位中从事管理的人员；
（五）基层群众性自治组织中从事管理的人员；
（六）其他依法履行公职的人员。
第十六条 各级监察机关按照管理权限管辖本辖区内本法第十五条规定的人员所涉监察事项。
上级监察机关可以办理下一级监察机关管辖范围内的监察事项，必要时也可以办理所辖各级监察机关管辖范围内的监察事项。
监察机关之间对监察事项的管辖有争议的，由其共同的上级监察机关确定。
第十七条 上级监察机关可以将其所管辖的监察事项指定下级监察机关管辖，也可以将下级监察机关有管辖权的监察事项指定给其他监察机关管辖。
监察机关认为所管辖的监察事项重大、复杂，需要由上级监察机关管辖的，可以报请上级监察机关管辖。
第四章 监察权限
第十八条 监察机关行使监督、调查职权，有权依法向有关单位和个人了解情况，收集、调取证据。有关单位和个人应当如实提供。
监察机关及其工作人员对监督、调查过程中知悉的国家秘密、工作秘密、商业秘密、个人隐私和个人信息，应当保密。
任何单位和个人不得伪造、隐匿或者毁灭证据。
第十九条 对可能发生职务违法的监察对象，监察机关按照管理权限，可以直接或者委托有关机关、人员进行谈话，或者进行函询，要求说明情况。
第二十条 在调查过程中，对涉嫌职务违法的被调查人，监察机关可以进行谈话，要求其就涉嫌违法行为作出陈述，必要时向被调查人出具书面通知。
对涉嫌贪污贿赂、失职渎职等职务犯罪的被调查人，监察机关可以进行讯问，要求其如实供述涉嫌犯罪的情况。
第二十一条 监察机关根据案件情况，经依法审批，可以强制涉嫌严重职务违法或者职务犯罪的被调查人到案接受调查。
第二十二条 在调查过程中，监察机关可以询问证人等人员。
第二十三条 被调查人涉嫌严重职务违法或者职务犯罪，并有下列情形之一的，经监察机关依法审批，可以对其采取责令候查措施：
（一）不具有本法第二十四条第一款所列情形的；
（二）符合留置条件，但患有严重疾病、生活不能自理的，系怀孕或者正在哺乳自己婴儿的妇女，或者生活不能自理的人的唯一扶养人；
（三）案件尚未办结，但留置期限届满或者对被留置人员不需要继续采取留置措施的；
（四）符合留置条件，但因为案件的特殊情况或者办理案件的需要，采取责令候查措施更为适宜的。
被责令候查人员应当遵守以下规定：
（一）未经监察机关批准不得离开所居住的直辖市、设区的市的城市市区或者不设区的市、县的辖区；
（二）住址、工作单位和联系方式发生变动的，在二十四小时以内向监察机关报告；
（三）在接到通知的时候及时到案接受调查；
（四）不得以任何形式干扰证人作证；
（五）不得串供或者伪造、隐匿、毁灭证据。
被责令候查人员违反前款规定，情节严重的，可以依法予以留置。
第二十四条 被调查人涉嫌贪污贿赂、失职渎职等严重职务违法或者职务犯罪，监察机关已经掌握其部分违法犯罪事实及证据，仍有重要问题需要进一步调查，并有下列情形之一的，经监察机关依法审批，可以将其留置在特定场所：
（一）涉及案情重大、复杂的；
（二）可能逃跑、自杀的；
（三）可能串供或者伪造、隐匿、毁灭证据的；
（四）可能有其他妨碍调查行为的。
对涉嫌行贿犯罪或者共同职务犯罪的涉案人员，监察机关可以依照前款规定采取留置措施。
留置场所的设置、管理和监督依照国家有关规定执行。
第二十五条 对于未被留置的下列人员，监察机关发现存在逃跑、自杀等重大安全风险的，经依法审批，可以进行管护：
（一）涉嫌严重职务违法或者职务犯罪的自动投案人员；
（二）在接受谈话、函询、询问过程中，交代涉嫌严重职务违法或者职务犯罪问题的人员；
（三）在接受讯问过程中，主动交代涉嫌重大职务犯罪问题的人员。
采取管护措施后，应当立即将被管护人员送留置场所，至迟不得超过二十四小时。
第二十六条 监察机关调查涉嫌贪污贿赂、失职渎职等严重职务违法或者职务犯罪，根据工作需要，可以依照规定查询、冻结涉案单位和个人的存款、汇款、债券、股票、基金份额等财产。有关单位和个人应当配合。
冻结的财产经查明与案件无关的，应当在查明后三日内解除冻结，予以退还。
第二十七条 监察机关可以对涉嫌职务犯罪的被调查人以及可能隐藏被调查人或者犯罪证据的人的身体、物品、住处和其他有关地方进行搜查。在搜查时，应当出示搜查证，并有被搜查人或者其家属等见证人在场。
搜查女性身体，应当由女性工作人员进行。
监察机关进行搜查时，可以根据工作需要提请公安机关配合。公安机关应当依法予以协助。
第二十八条 监察机关在调查过程中，可以调取、查封、扣押用以证明被调查人涉嫌违法犯罪的财物、文件和电子数据等信息。采取调取、查封、扣押措施，应当收集原物原件，会同持有人或者保管人、见证人，当面逐一拍照、登记、编号，开列清单，由在场人员当场核对、签名，并将清单副本交财物、文件的持有人或者保管人。
对调取、查封、扣押的财物、文件，监察机关应当设立专用账户、专门场所，确定专门人员妥善保管，严格履行交接、调取手续，定期对账核实，不得毁损或者用于其他目的。对价值不明物品应当及时鉴定，专门封存保管。
查封、扣押的财物、文件经查明与案件无关的，应当在查明后三日内解除查封、扣押，予以退还。
第二十九条 监察机关在调查过程中，可以直接或者指派、聘请具有专门知识的人在调查人员主持下进行勘验检查。勘验检查情况应当制作笔录，由参加勘验检查的人员和见证人签名或者盖章。
必要时，监察机关可以进行调查实验。调查实验情况应当制作笔录，由参加实验的人员签名或者盖章。
第三十条 监察机关在调查过程中，对于案件中的专门性问题，可以指派、聘请有专门知识的人进行鉴定。鉴定人进行鉴定后，应当出具鉴定意见，并且签名。
第三十一条 监察机关调查涉嫌重大贪污贿赂等职务犯罪，根据需要，经过严格的批准手续，可以采取技术调查措施，按照规定交有关机关执行。
批准决定应当明确采取技术调查措施的种类和适用对象，自签发之日起三个月以内有效；对于复杂、疑难案件，期限届满仍有必要继续采取技术调查措施的，经过批准，有效期可以延长，每次不得超过三个月。对于不需要继续采取技术调查措施的，应当及时解除。
第三十二条 依法应当留置的被调查人如果在逃，监察机关可以决定在本行政区域内通缉，由公安机关发布通缉令，追捕归案。通缉范围超出本行政区域的，应当报请有权决定的上级监察机关决定。
第三十三条 监察机关为防止被调查人及相关人员逃匿境外，经省级以上监察机关批准，可以对被调查人及相关人员采取限制出境措施，由公安机关依法执行。对于不需要继续采取限制出境措施的，应当及时解除。
第三十四条 涉嫌职务犯罪的被调查人主动认罪认罚，有下列情形之一的，监察机关经领导人员集体研究，并报上一级监察机关批准，可以在移送人民检察院时提出从宽处罚的建议：
（一）自动投案，真诚悔罪悔过的；
（二）积极配合调查工作，如实供述监察机关还未掌握的违法犯罪行为的；
（三）积极退赃，减少损失的；
（四）具有重大立功表现或者案件涉及国家重大利益等情形的。
第三十五条 职务违法犯罪的涉案人员揭发有关被调查人职务违法犯罪行为，查证属实的，或者提供重要线索，有助于调查其他案件的，监察机关经领导人员集体研究，并报上一级监察机关批准，可以在移送人民检察院时提出从宽处罚的建议。
第三十六条 监察机关依照本法规定收集的物证、书证、证人证言、被调查人供述和辩解、视听资料、电子数据等证据材料，在刑事诉讼中可以作为证据使用。
监察机关在收集、固定、审查、运用证据时，应当与刑事审判关于证据的要求和标准相一致。
以非法方法收集的证据应当依法予以排除，不得作为案件处置的依据。
第三十七条 人民法院、人民检察院、公安机关、审计机关等国家机关在工作中发现公职人员涉嫌贪污贿赂、失职渎职等职务违法或者职务犯罪的问题线索，应当移送监察机关，由监察机关依法调查处置。
被调查人既涉嫌严重职务违法或者职务犯罪，又涉嫌其他违法犯罪的，一般应当由监察机关为主调查，其他机关予以协助。
第五章 监察程序
第三十八条 监察机关对于报案或者举报，应当接受并按照有关规定处理。对于不属于本机关管辖的，应当移送主管机关处理。
第三十九条 监察机关应当严格按照程序开展工作，建立问题线索处置、调查、审理各部门相互协调、相互制约的工作机制。
监察机关应当加强对调查、处置工作全过程的监督管理，设立相应的工作部门履行线索管理、监督检查、督促办理、统计分析等管理协调职能。
第四十条 监察机关对监察对象的问题线索，应当按照有关规定提出处置意见，履行审批手续，进行分类办理。线索处置情况应当定期汇总、通报，定期检查、抽查。
第四十一条 需要采取初步核实方式处置问题线索的，监察机关应当依法履行审批程序，成立核查组。初步核实工作结束后，核查组应当撰写初步核实情况报告，提出处理建议。承办部门应当提出分类处理意见。初步核实情况报告和分类处理意见报监察机关主要负责人审批。
第四十二条 经过初步核实，对监察对象涉嫌职务违法犯罪，需要追究法律责任的，监察机关应当按照规定的权限和程序办理立案手续。
监察机关主要负责人依法批准立案后，应当主持召开专题会议，研究确定调查方案，决定需要采取的调查措施。
立案调查决定应当向被调查人宣布，并通报相关组织。涉嫌严重职务违法或者职务犯罪的，应当通知被调查人家属，并向社会公开发布。
第四十三条 监察机关对职务违法和职务犯罪案件，应当进行调查，收集被调查人有无违法犯罪以及情节轻重的证据，查明违法犯罪事实，形成相互印证、完整稳定的证据链。
调查人员应当依法文明规范开展调查工作。严禁以暴力、威胁、引诱、欺骗及其他非法方式收集证据，严禁侮辱、打骂、虐待、体罚或者变相体罚被调查人和涉案人员。
监察机关及其工作人员在履行职责过程中应当依法保护企业产权和自主经营权，严禁利用职权非法干扰企业生产经营。需要企业经营者协助调查的，应当保障其人身权利、财产权利和其他合法权益，避免或者尽量减少对企业正常生产经营活动的影响。
第四十四条 调查人员采取讯问、询问、强制到案、责令候查、管护、留置、搜查、调取、查封、扣押、勘验检查等调查措施，均应当依照规定出示证件，出具书面通知，由二人以上进行，形成笔录、报告等书面材料，并由相关人员签名、盖章。
调查人员进行讯问以及搜查、查封、扣押等重要取证工作，应当对全过程进行录音录像，留存备查。
第四十五条 调查人员应当严格执行调查方案，不得随意扩大调查范围、变更调查对象和事项。
对调查过程中的重要事项，应当集体研究后按程序请示报告。
第四十六条 采取强制到案、责令候查或者管护措施，应当按照规定的权限和程序，经监察机关主要负责人批准。
强制到案持续的时间不得超过十二小时；需要采取管护或者留置措施的，强制到案持续的时间不得超过二十四小时。不得以连续强制到案的方式变相拘禁被调查人。
责令候查最长不得超过十二个月。
监察机关采取管护措施的，应当在七日以内依法作出留置或者解除管护的决定，特殊情况下可以延长一日至三日。
第四十七条 监察机关采取留置措施，应当由监察机关领导人员集体研究决定。设区的市级以下监察机关采取留置措施，应当报上一级监察机关批准。省级监察机关采取留置措施，应当报国家监察委员会备案。
第四十八条 留置时间不得超过三个月。在特殊情况下，可以延长一次，延长时间不得超过三个月。省级以下监察机关采取留置措施的，延长留置时间应当报上一级监察机关批准。监察机关发现采取留置措施不当或者不需要继续采取留置措施的，应当及时解除或者变更为责令候查措施。
对涉嫌职务犯罪的被调查人可能判处十年有期徒刑以上刑罚，监察机关依照前款规定延长期限届满，仍不能调查终结的，经国家监察委员会批准或者决定，可以再延长二个月。
省级以上监察机关在调查期间，发现涉嫌职务犯罪的被调查人另有与留置时的罪行不同种的重大职务犯罪或者同种的影响罪名认定、量刑档次的重大职务犯罪，经国家监察委员会批准或者决定，自发现之日起依照本条第一款的规定重新计算留置时间。留置时间重新计算以一次为限。
第四十九条 监察机关采取强制到案、责令候查、管护、留置措施，可以根据工作需要提请公安机关配合。公安机关应当依法予以协助。
省级以下监察机关留置场所的看护勤务由公安机关负责，国家监察委员会留置场所的看护勤务由国家另行规定。留置看护队伍的管理依照国家有关规定执行。
第五十条 采取管护或者留置措施后，应当在二十四小时以内，通知被管护人员、被留置人员所在单位和家属，但有可能伪造、隐匿、毁灭证据，干扰证人作证或者串供等有碍调查情形的除外。有碍调查的情形消失后，应当立即通知被管护人员、被留置人员所在单位和家属。解除管护或者留置的，应当及时通知被管护人员、被留置人员所在单位和家属。
被管护人员、被留置人员及其近亲属有权申请变更管护、留置措施。监察机关收到申请后，应当在三日以内作出决定；不同意变更措施的，应当告知申请人，并说明不同意的理由。
监察机关应当保障被强制到案人员、被管护人员以及被留置人员的饮食、休息和安全，提供医疗服务。对其谈话、讯问的，应当合理安排时间和时长，谈话笔录、讯问笔录由被谈话人、被讯问人阅看后签名。
被管护人员、被留置人员涉嫌犯罪移送司法机关后，被依法判处管制、拘役或者有期徒刑的，管护、留置一日折抵管制二日，折抵拘役、有期徒刑一日。
第五十一条 监察机关在调查工作结束后，应当依法对案件事实和证据、性质认定、程序手续、涉案财物等进行全面审理，形成审理报告，提请集体审议。
第五十二条 监察机关根据监督、调查结果，依法作出如下处置：
（一）对有职务违法行为但情节较轻的公职人员，按照管理权限，直接或者委托有关机关、人员，进行谈话提醒、批评教育、责令检查，或者予以诫勉；
（二）对违法的公职人员依照法定程序作出警告、记过、记大过、降级、撤职、开除等政务处分决定；
（三）对不履行或者不正确履行职责负有责任的领导人员，按照管理权限对其直接作出问责决定，或者向有权作出问责决定的机关提出问责建议；
（四）对涉嫌职务犯罪的，监察机关经调查认为犯罪事实清楚，证据确实、充分的，制作起诉意见书，连同案卷材料、证据一并移送人民检察院依法审查、提起公诉；
（五）对监察对象所在单位廉政建设和履行职责存在的问题等提出监察建议。
监察机关经调查，对没有证据证明被调查人存在违法犯罪行为的，应当撤销案件，并通知被调查人所在单位。
第五十三条 监察机关经调查，对违法取得的财物，依法予以没收、追缴或者责令退赔；对涉嫌犯罪取得的财物，应当随案移送人民检察院。
第五十四条 对监察机关移送的案件，人民检察院依照《中华人民共和国刑事诉讼法》对被调查人采取强制措施。
人民检察院经审查，认为犯罪事实已经查清，证据确实、充分，依法应当追究刑事责任的，应当作出起诉决定。
人民检察院经审查，认为需要补充核实的，应当退回监察机关补充调查，必要时可以自行补充侦查。对于补充调查的案件，应当在一个月内补充调查完毕。补充调查以二次为限。
人民检察院对于有《中华人民共和国刑事诉讼法》规定的不起诉的情形的，经上一级人民检察院批准，依法作出不起诉的决定。监察机关认为不起诉的决定有错误的，可以向上一级人民检察院提请复议。
第五十五条 监察机关在调查贪污贿赂、失职渎职等职务犯罪案件过程中，被调查人逃匿或者死亡，有必要继续调查的，应当继续调查并作出结论。被调查人逃匿，在通缉一年后不能到案，或者死亡的，由监察机关提请人民检察院依照法定程序，向人民法院提出没收违法所得的申请。
第五十六条 监察对象对监察机关作出的涉及本人的处理决定不服的，可以在收到处理决定之日起一个月内，向作出决定的监察机关申请复审，复审机关应当在一个月内作出复审决定；监察对象对复审决定仍不服的，可以在收到复审决定之日起一个月内，向上一级监察机关申请复核，复核机关应当在二个月内作出复核决定。复审、复核期间，不停止原处理决定的执行。复核机关经审查，认定处理决定有错误的，原处理机关应当及时予以纠正。
第六章 反腐败国际合作
第五十七条 国家监察委员会统筹协调与其他国家、地区、国际组织开展的反腐败国际交流、合作，组织反腐败国际条约实施工作。
第五十八条 国家监察委员会会同有关单位加强与有关国家、地区、国际组织在反腐败方面开展引渡、移管被判刑人、遣返、联合调查、调查取证、资产追缴和信息交流等执法司法合作和司法协助。
第五十九条 国家监察委员会加强对反腐败国际追逃追赃和防逃工作的组织协调，督促有关单位做好相关工作：
（一）对于重大贪污贿赂、失职渎职等职务犯罪案件，被调查人逃匿到国（境）外，掌握证据比较确凿的，通过开展境外追逃合作，追捕归案；
（二）向赃款赃物所在国请求查询、冻结、扣押、没收、追缴、返还涉案资产；
（三）查询、监控涉嫌职务犯罪的公职人员及其相关人员进出国（境）和跨境资金流动情况，在调查案件过程中设置防逃程序。
第七章 对监察机关和监察人员的监督
第六十条 各级监察委员会应当接受本级人民代表大会及其常务委员会的监督。
各级人民代表大会常务委员会听取和审议本级监察委员会的专项工作报告，组织执法检查。
县级以上各级人民代表大会及其常务委员会举行会议时，人民代表大会代表或者常务委员会组成人员可以依照法律规定的程序，就监察工作中的有关问题提出询问或者质询。
第六十一条 监察机关应当依法公开监察工作信息，接受民主监督、社会监督、舆论监督。
第六十二条 监察机关根据工作需要，可以从各方面代表中聘请特约监察员。特约监察员按照规定对监察机关及其工作人员履行职责情况实行监督。
第六十三条 监察机关通过设立内部专门的监督机构等方式，加强对监察人员执行职务和遵守法律情况的监督，建设忠诚、干净、担当的监察队伍。
第六十四条 监察人员涉嫌严重职务违法或者职务犯罪，为防止造成更为严重的后果或者恶劣影响，监察机关经依法审批，可以对其采取禁闭措施。禁闭的期限不得超过七日。
被禁闭人员应当配合监察机关调查。监察机关经调查发现被禁闭人员符合管护或者留置条件的，可以对其采取管护或者留置措施。
本法第五十条的规定，适用于禁闭措施。
第六十五条 监察人员必须模范遵守宪法和法律，忠于职守、秉公执法，清正廉洁、保守秘密；必须具有良好的政治素质，熟悉监察业务，具备运用法律、法规、政策和调查取证等能力，自觉接受监督。
第六十六条 对于监察人员打听案情、过问案件、说情干预的，办理监察事项的监察人员应当及时报告。有关情况应当登记备案。
发现办理监察事项的监察人员未经批准接触被调查人、涉案人员及其特定关系人，或者存在交往情形的，知情人应当及时报告。有关情况应当登记备案。
第六十七条 办理监察事项的监察人员有下列情形之一的，应当自行回避，监察对象、检举人及其他有关人员也有权要求其回避：
（一）是监察对象或者检举人的近亲属的；
（二）担任过本案的证人的；
（三）本人或者其近亲属与办理的监察事项有利害关系的；
（四）有可能影响监察事项公正处理的其他情形的。
第六十八条 监察机关涉密人员离岗离职后，应当遵守脱密期管理规定，严格履行保密义务，不得泄露相关秘密。
监察人员辞职、退休三年内，不得从事与监察和司法工作相关联且可能发生利益冲突的职业。
第六十九条 监察机关及其工作人员有下列行为之一的，被调查人及其近亲属、利害关系人有权向该机关申诉：
（一）采取强制到案、责令候查、管护、留置或者禁闭措施法定期限届满，不予以解除或者变更的；
（二）查封、扣押、冻结与案件无关或者明显超出涉案范围的财物的；
（三）应当解除查封、扣押、冻结措施而不解除的；
（四）贪污、挪用、私分、调换或者违反规定使用查封、扣押、冻结的财物的；
（五）利用职权非法干扰企业生产经营或者侵害企业经营者人身权利、财产权利和其他合法权益的；
（六）其他违反法律法规、侵害被调查人合法权益的行为。
受理申诉的监察机关应当在受理申诉之日起一个月内作出处理决定。申诉人对处理决定不服的，可以在收到处理决定之日起一个月内向上一级监察机关申请复查，上一级监察机关应当在收到复查申请之日起二个月内作出处理决定，情况属实的，及时予以纠正。
第七十条 对调查工作结束后发现立案依据不充分或者失实，案件处置出现重大失误，监察人员严重违法的，应当追究负有责任的领导人员和直接责任人员的责任。
第八章 法律责任
第七十一条 有关单位拒不执行监察机关作出的处理决定，或者无正当理由拒不采纳监察建议的，由其主管部门、上级机关责令改正，对单位给予通报批评；对负有责任的领导人员和直接责任人员依法给予处理。
第七十二条 有关人员违反本法规定，有下列行为之一的，由其所在单位、主管部门、上级机关或者监察机关责令改正，依法给予处理：
（一）不按要求提供有关材料，拒绝、阻碍调查措施实施等拒不配合监察机关调查的；
（二）提供虚假情况，掩盖事实真相的；
（三）串供或者伪造、隐匿、毁灭证据的；
（四）阻止他人揭发检举、提供证据的；
（五）其他违反本法规定的行为，情节严重的。
第七十三条 监察对象对控告人、检举人、证人或者监察人员进行报复陷害的；控告人、检举人、证人捏造事实诬告陷害监察对象的，依法给予处理。
第七十四条 监察机关及其工作人员有下列行为之一的，对负有责任的领导人员和直接责任人员依法给予处理：
（一）未经批准、授权处置问题线索，发现重大案情隐瞒不报，或者私自留存、处理涉案材料的；
（二）利用职权或者职务上的影响干预调查工作、以案谋私的；
（三）违法窃取、泄露调查工作信息，或者泄露举报事项、举报受理情况以及举报人信息的；
（四）对被调查人或者涉案人员逼供、诱供，或者侮辱、打骂、虐待、体罚或者变相体罚的；
（五）违反规定处置查封、扣押、冻结的财物的；
（六）违反规定发生办案安全事故，或者发生安全事故后隐瞒不报、报告失实、处置不当的；
（七）违反规定采取强制到案、责令候查、管护、留置或者禁闭措施，或者法定期限届满，不予以解除或者变更的；
（八）违反规定采取技术调查、限制出境措施，或者不按规定解除技术调查、限制出境措施的；
（九）利用职权非法干扰企业生产经营或者侵害企业经营者人身权利、财产权利和其他合法权益的；
（十）其他滥用职权、玩忽职守、徇私舞弊的行为。
第七十五条 违反本法规定，构成犯罪的，依法追究刑事责任。
第七十六条 监察机关及其工作人员行使职权，侵犯公民、法人和其他组织的合法权益造成损害的，依法给予国家赔偿。
第九章 附 则
第七十七条 中国人民解放军和中国人民武装警察部队开展监察工作，由中央军事委员会根据本法制定具体规定。
第七十八条 本法自公布之日起施行。《中华人民共和国行政监察法》同时废止。
党课讲稿：深入学习新修改的《监察法》 推动新时代监察工作高质量发展
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发布时间：2025-06-03
2025年1月召开的二十届中央纪委四次全会提出，“坚持用改革精神和严的标准管党治党，推动落实全面从严治党政治责任，推动健全全面从严治党体系，纵深推进正风肃纪反腐，持续推进新时代新征程纪检监察工作高质量发展”。2024年12月，第十四届全国人民代表大会常务委员会第十三次会议审议通过了《关于修改〈中华人民共和国监察法〉的决定》，自2025年6月1日起正式施行。此次修改《中华人民共和国监察法》（以下简称《监察法》）正值纪检监察体制改革向纵深推进的关键时期，对于促进新时代监察工作高质量发展、打赢反腐败斗争攻坚战持久战总体战具有重要意义。
一、制定和修改《监察法》是深化国家监察体制改革的内在要求和重要环节
《监察法》是一部对国家监察工作起统领性和基础性作用的反腐败国家立法，集中体现了我国以法治思维和法治方式反腐的法律制度成果。《监察法》的修改和完善是推进反腐败国家立法、进一步健全反腐败法规制度的首要任务。习近平总书记强调，“要进一步健全反腐败法规制度。围绕一体推进不敢腐、不能腐、不想腐等完善基础性法规制度，健全加强对‘一把手’和领导班子监督配套制度。持续推进反腐败国家立法，与时俱进修改监察法”。《监察法》及相关配套监察法律法规的出台，对加强党对反腐败工作的集中统一领导，构建集中统一、权威高效的中国特色国家监察体制，实现对公职人员的监察全覆盖发挥重要作用。自2018年《监察法》颁布实施以来，国家监察体制改革不断深化，反腐败斗争面临新的形势和任务，全面建设社会主义现代化国家对纪检监察工作高质量发展提出新的要求。因此，迫切需要与时俱进地修改《监察法》，以便在立法层面进一步巩固改革成果，应对新形势下监察工作中出现的突出问题，促进监察工作的规范化、法治化、正规化。
深入贯彻党的二十大和二十届三中全会决策部署的必然要求。《监察法》是监察机关开展反腐败工作的基本法律依据，在我国反腐败法律体系中居于基础性地位。党的二十大报告提出要“深化标本兼治，推进反腐败国家立法”，党的二十届三中全会进一步提出“推进反腐败国家立法，修改监察法”的要求。在党的二十大和二十届三中全会精神指引下，《监察法》修订工作及时开展，为打赢反腐败斗争攻坚战持久战总体战、完善党和国家监督体系奠定坚实的制度基础，为增强治理腐败效能以及提升党的自我净化、自我完善、自我革新、自我提高能力创造条件，也为推进中国式现代化提供法治保障。
巩固拓展国家监察体制改革成果的重要举措。习近平总书记强调，“要实现立法和改革决策相衔接，做到重大改革于法有据、立法主动适应改革发展需要”。《监察法》作为我国监察体制改革的重大制度成果，既是党和国家监督制度的重要内容，也是党的自我革命制度规范体系的重要组成部分。二十届中央纪委四次全会强调，“深化落实纪检监察体制改革任务，着力推动完善党的自我革命制度规范体系”。近年来，以习近平同志为核心的党中央从推进党的自我革命、健全党和国家监督体系的高度，对持续深化国家监察体制改革作出重要部署，产生了诸多原创性实践成果，取得了显著的改革成效。此次《监察法》修改充分吸收了国家监察体制改革实践成果，通过将改革中的有益经验上升为常态化、制度化的法律规定，推动了国家监察体制改革与反腐败国家立法的有机统一，有助于形成改革推动法律制度创新、立法适应改革发展需求的良性循环。以本次修法新增的监察再派出制度为例，立法的完善将有助于实践中进一步深化纪委监委机关内设机构、派驻机构改革，推动有关派驻机构向驻在单位的下一级单位、部属高校和国务院国资委管理领导班子的中央企业“再派出”。
解决新形势下监察工作中突出问题的现实需要。二十届中央纪委四次全会指出，聚焦“国之大者”强化政治监督，坚定不移正风肃纪，以永远在路上的坚韧执着深入推进反腐败斗争，一体推进不敢腐、不能腐、不想腐，着力铲除腐败滋生的土壤和条件。要始终保持敬畏之心，加强纪检监察工作规范化法治化正规化建设。当前，我国反腐败斗争形势依然严峻复杂，铲除腐败滋生土壤和条件的任务仍然艰巨繁重。因此，监察机关必须进一步提升办案质效，持续加大反腐败力度。过去，在《监察法》实施过程中，出现了一些影响办案质效的实际问题。例如，垂直管理系统中监察全覆盖的有效性不足、重大复杂案件的留置期限紧张、监察强制措施单一等，这些问题亟待解决。此次《监察法》修改坚持问题导向，有针对性地修改相关条款，打通理顺法律制度的堵点难点，为提升监察机关办案的精准度和实效性创造条件。
推进监察工作规范化、法治化、正规化的有力保证。习近平总书记强调，纪检监察机关要增强法治意识、程序意识、证据意识，不断提高纪检监察工作规范化、法治化、正规化水平。习近平总书记在二十届中央纪委四次全会上指出：“深化纪检监察体制改革，坚持授权和控权相结合，把权力关进制度的笼子。”《监察法》的修改和完善旨在进一步筑牢监察权运行的制度笼子，既根据实践需要授予必要的监察权限，又通过完善监察程序、严格批准权限等控制监察权的行使。同时，通过健全监察机关内控机制、严格对监察人员的责任追究机制等强化监察机关的自身建设，进而保障监察权在法治轨道上运行。
二、修改《监察法》的原则和主要内容
此次《监察法》修改，以坚持正确政治方向、问题导向、系统观念和科学修法为基本原则，坚持以习近平新时代中国特色社会主义思想为指导，全面贯彻习近平法治思想和习近平总书记关于党的自我革命的重要思想，深刻领悟“两个确立”的决定性意义，增强“四个意识”、坚定“四个自信”、做到“两个维护”。此次修法通过法定程序将党中央关于持续深化国家监察体制改革的决策部署转化为国家意志，通过修改相关制度解决监察工作实践问题，并保证修改后各项纪检监察法律法规制度之间的协调联动，在总体上保持基本监察制度顶层设计的连续性。整体来看，《监察法》主要从以下七个方面进行修改。
以宪法为根据修改立法目的表述，形成层次分明、逻辑周延的监察法立法目的体系。此次修订将《监察法》第1条修改为：“为了深入开展廉政建设和反腐败工作，加强对所有行使公权力的公职人员的监督，实现国家监察全面覆盖，持续深化国家监察体制改革，推进国家治理体系和治理能力现代化，根据宪法，制定本法。”相比于原规定，修改后的立法目的表述更加精准、完整且合乎逻辑。原条文中的“深入开展反腐败工作”被补充为“深入开展廉政建设和反腐败工作”，并替代原来的“深化国家体制改革”位于句首，使整体的立法目的表述呈现出从具体工作开展到宏观国家治理的层层递进关系，为后续《监察法》的修改、解释和适用提供了更为清晰的目标指引。
增写监察工作基本原则，强化监察工作中的法治观念。本次修法在《监察法》第5条增加了两项基本原则：一是尊重和保障人权原则。在监察工作基本原则中增写“尊重和保障人权”，并将“保障当事人的合法权益”细化为“保障监察对象及相关人员的合法权益”，彰显了监察工作依法保障人权的鲜明立场。这不仅是《中华人民共和国宪法》第33条关于“国家尊重和保障人权”的规定在监察法领域的贯彻落实，也是惩治腐败与保障人权有机统一的法治精神的集中体现。二是遵守法定程序原则。增写“遵守法定程序，公正履行职责”的基本原则，反映出程序正义理念在监察工作中的重要性。确立这一原则有助于强化监察机关的法治意识和程序意识，促进对监察权运行的程序规制。
新增监察再派出制度，增强监察监督全覆盖的有效性。党的二十届三中全会明确提出，“完善垂直管理单位纪检监察体制，推进向中管企业全面派驻纪检监察组”。在党中央的决策部署下，垂直管理单位纪检监察体制改革作为深化派驻机构改革的延伸和拓展，已取得突出成效。此次《监察法》修改结合改革的实践成果，完善了监察派驻、派出相关规定，创设了监察再派出制度。监察再派出是指经国家监委批准，国家监委派驻本级实行垂直管理或者双重领导，并以上级单位领导为主的单位的监察机构、监察专员可以向其驻在单位的下一级单位再派出；国家监委派驻监察机构、监察专员，可以向驻在单位管理领导班子的普通高等学校再派出；国家监委派驻国务院国有资产监督管理机构的监察机构，可以向驻在单位管理领导班子的国有企业再派出。这一制度的建立，是为了解决实践中垂直管理单位因公职人员队伍规模大、单位层级多等导致的监察监督不足问题。监察再派出有利于监察权向下延伸，增强垂直管理系统中监察监督全覆盖的有效性。
完善监察措施体系及适用程序，提升监察工作的精准性和有效性。本次修法坚持授权与控权相结合，既授予监察机关必要的权限，促进监察机关的反腐败能力建设，又强化对监察措施适用的程序规制，防止监察权的滥用。一是新增强制到案、责令候查、管护三项监察强制措施。这三项措施与原有的留置共同构成一套轻重结合、配套衔接、环环相扣的监察强制措施体系，不仅有利于监察人员根据案件实际情况选择合适的强制措施，解决以往强制措施单一导致办案需求无法满足的问题，还能够促使监察人员减少不必要的留置适用，避免对被调查人和相关涉案人员的人身自由造成过度干预。二是为新增的强制措施制定配套的适用规则。此次修法对新增监察强制措施的适用情形予以列举式规定，明确采取相关措施应当按照规定的权限和程序，经监察机关主要负责人批准，防止实践中滥用。同时，增加了相关的权益保障条款和刑期折抵规定，确保相关措施严格规范行使。三是建立了相应的强制措施变更制度。本次修法专门增加了将管护、留置措施依法变更为责令候查措施的规定，并赋予有关人员申请变更监察强制措施的权利，体现了尊重和保障人权原则以及比例原则的精神。
B：中华人民共和国监察法
（2018年3月20日第十三届全国人民代表大会第一次会议通过 根据2024年12月25日第十四届全国人民代表大会常务委员会第十三次会议《关于修改〈中华人民共和国监察法〉的决定》修正）
目 录
第一章 总 则
第二章 监察机关及其职责
第三章 监察范围和管辖
第四章 监察权限
第五章 监察程序
第六章 反腐败国际合作
第七章 对监察机关和监察人员的监督
第八章 法律责任
第九章 附 则
第一章 总 则
第一条 为了深入开展廉政建设和反腐败工作，加强对所有行使公权力的公职人员的监督，实现国家监察全面覆盖，持续深化国家监察体制改革，推进国家治理体系和治理能力现代化，根据宪法，制定本法。
第二条 坚持中国共产党对国家监察工作的领导，以马克思列宁主义、毛泽东思想、邓小平理论、“三个代表”重要思想、科学发展观、习近平新时代中国特色社会主义思想为指导，构建集中统一、权威高效的中国特色国家监察体制。
第三条 各级监察委员会是行使国家监察职能的专责机关，依照本法对所有行使公权力的公职人员（以下称公职人员）进行监察，调查职务违法和职务犯罪，开展廉政建设和反腐败工作，维护宪法和法律的尊严。
第四条 监察委员会依照法律规定独立行使监察权，不受行政机关、社会团体和个人的干涉。
监察机关办理职务违法和职务犯罪案件，应当与审判机关、检察机关、执法部门互相配合，互相制约。
监察机关在工作中需要协助的，有关机关和单位应当根据监察机关的要求依法予以协助。
第五条 国家监察工作严格遵照宪法和法律，以事实为根据，以法律为准绳；权责对等，严格监督；遵守法定程序，公正履行职责；尊重和保障人权，在适用法律上一律平等，保障监察对象及相关人员的合法权益；惩戒与教育相结合，宽严相济。
第六条 国家监察工作坚持标本兼治、综合治理，强化监督问责，严厉惩治腐败；深化改革、健全法治，有效制约和监督权力；加强法治教育和道德教育，弘扬中华优秀传统文化，构建不敢腐、不能腐、不想腐的长效机制。
第二章 监察机关及其职责
第七条 中华人民共和国国家监察委员会是最高监察机关。
省、自治区、直辖市、自治州、县、自治县、市、市辖区设立监察委员会。
第八条 国家监察委员会由全国人民代表大会产生，负责全国监察工作。
国家监察委员会由主任、副主任若干人、委员若干人组成，主任由全国人民代表大会选举，副主任、委员由国家监察委员会主任提请全国人民代表大会常务委员会任免。
国家监察委员会主任每届任期同全国人民代表大会每届任期相同，连续任职不得超过两届。
国家监察委员会对全国人民代表大会及其常务委员会负责，并接受其监督。
第九条 地方各级监察委员会由本级人民代表大会产生，负责本行政区域内的监察工作。
地方各级监察委员会由主任、副主任若干人、委员若干人组成，主任由本级人民代表大会选举，副主任、委员由监察委员会主任提请本级人民代表大会常务委员会任免。
地方各级监察委员会主任每届任期同本级人民代表大会每届任期相同。
地方各级监察委员会对本级人民代表大会及其常务委员会和上一级监察委员会负责，并接受其监督。
第十条 国家监察委员会领导地方各级监察委员会的工作，上级监察委员会领导下级监察委员会的工作。
第十一条 监察委员会依照本法和有关法律规定履行监督、调查、处置职责：
（一）对公职人员开展廉政教育，对其依法履职、秉公用权、廉洁从政从业以及道德操守情况进行监督检查；
（二）对涉嫌贪污贿赂、滥用职权、玩忽职守、权力寻租、利益输送、徇私舞弊以及浪费国家资财等职务违法和职务犯罪进行调查；
（三）对违法的公职人员依法作出政务处分决定；对履行职责不力、失职失责的领导人员进行问责；对涉嫌职务犯罪的，将调查结果移送人民检察院依法审查、提起公诉；向监察对象所在单位提出监察建议。
第十二条 各级监察委员会可以向本级中国共产党机关、国家机关、中国人民政治协商会议委员会机关、法律法规授权或者委托管理公共事务的组织和单位以及辖区内特定区域、国有企业、事业单位等派驻或者派出监察机构、监察专员。
经国家监察委员会批准，国家监察委员会派驻本级实行垂直管理或者双重领导并以上级单位领导为主的单位、国有企业的监察机构、监察专员，可以向驻在单位的下一级单位再派出。
经国家监察委员会批准，国家监察委员会派驻监察机构、监察专员，可以向驻在单位管理领导班子的普通高等学校再派出；国家监察委员会派驻国务院国有资产监督管理机构的监察机构，可以向驻在单位管理领导班子的国有企业再派出。
监察机构、监察专员对派驻或者派出它的监察委员会或者监察机构、监察专员负责。
第十三条 派驻或者派出的监察机构、监察专员根据授权，按照管理权限依法对公职人员进行监督，提出监察建议，依法对公职人员进行调查、处置。
第十四条 国家实行监察官制度，依法确定监察官的等级设置、任免、考评和晋升等制度。
第三章 监察范围和管辖
第十五条 监察机关对下列公职人员和有关人员进行监察：
（一）中国共产党机关、人民代表大会及其常务委员会机关、人民政府、监察委员会、人民法院、人民检察院、中国人民政治协商会议各级委员会机关、民主党派机关和工商业联合会机关的公务员，以及参照《中华人民共和国公务员法》管理的人员；
（二）法律、法规授权或者受国家机关依法委托管理公共事务的组织中从事公务的人员；
（三）国有企业管理人员；
（四）公办的教育、科研、文化、医疗卫生、体育等单位中从事管理的人员；
（五）基层群众性自治组织中从事管理的人员；
（六）其他依法履行公职的人员。
第十六条 各级监察机关按照管理权限管辖本辖区内本法第十五条规定的人员所涉监察事项。
上级监察机关可以办理下一级监察机关管辖范围内的监察事项，必要时也可以办理所辖各级监察机关管辖范围内的监察事项。
监察机关之间对监察事项的管辖有争议的，由其共同的上级监察机关确定。
第十七条 上级监察机关可以将其所管辖的监察事项指定下级监察机关管辖，也可以将下级监察机关有管辖权的监察事项指定给其他监察机关管辖。
监察机关认为所管辖的监察事项重大、复杂，需要由上级监察机关管辖的，可以报请上级监察机关管辖。
第四章 监察权限
第十八条 监察机关行使监督、调查职权，有权依法向有关单位和个人了解情况，收集、调取证据。有关单位和个人应当如实提供。
监察机关及其工作人员对监督、调查过程中知悉的国家秘密、工作秘密、商业秘密、个人隐私和个人信息，应当保密。
任何单位和个人不得伪造、隐匿或者毁灭证据。
第十九条 对可能发生职务违法的监察对象，监察机关按照管理权限，可以直接或者委托有关机关、人员进行谈话，或者进行函询，要求说明情况。
第二十条 在调查过程中，对涉嫌职务违法的被调查人，监察机关可以进行谈话，要求其就涉嫌违法行为作出陈述，必要时向被调查人出具书面通知。
对涉嫌贪污贿赂、失职渎职等职务犯罪的被调查人，监察机关可以进行讯问，要求其如实供述涉嫌犯罪的情况。
第二十一条 监察机关根据案件情况，经依法审批，可以强制涉嫌严重职务违法或者职务犯罪的被调查人到案接受调查。
第二十二条 在调查过程中，监察机关可以询问证人等人员。
第二十三条 被调查人涉嫌严重职务违法或者职务犯罪，并有下列情形之一的，经监察机关依法审批，可以对其采取责令候查措施：
（一）不具有本法第二十四条第一款所列情形的；
（二）符合留置条件，但患有严重疾病、生活不能自理的，系怀孕或者正在哺乳自己婴儿的妇女，或者生活不能自理的人的唯一扶养人；
（三）案件尚未办结，但留置期限届满或者对被留置人员不需要继续采取留置措施的；
（四）符合留置条件，但因为案件的特殊情况或者办理案件的需要，采取责令候查措施更为适宜的。
被责令候查人员应当遵守以下规定：
（一）未经监察机关批准不得离开所居住的直辖市、设区的市的城市市区或者不设区的市、县的辖区；
（二）住址、工作单位和联系方式发生变动的，在二十四小时以内向监察机关报告；
（三）在接到通知的时候及时到案接受调查；
（四）不得以任何形式干扰证人作证；
（五）不得串供或者伪造、隐匿、毁灭证据。
被责令候查人员违反前款规定，情节严重的，可以依法予以留置。
第二十四条 被调查人涉嫌贪污贿赂、失职渎职等严重职务违法或者职务犯罪，监察机关已经掌握其部分违法犯罪事实及证据，仍有重要问题需要进一步调查，并有下列情形之一的，经监察机关依法审批，可以将其留置在特定场所：
（一）涉及案情重大、复杂的；
（二）可能逃跑、自杀的；
（三）可能串供或者伪造、隐匿、毁灭证据的；
（四）可能有其他妨碍调查行为的。
对涉嫌行贿犯罪或者共同职务犯罪的涉案人员，监察机关可以依照前款规定采取留置措施。
留置场所的设置、管理和监督依照国家有关规定执行。
第二十五条 对于未被留置的下列人员，监察机关发现存在逃跑、自杀等重大安全风险的，经依法审批，可以进行管护：
（一）涉嫌严重职务违法或者职务犯罪的自动投案人员；
（二）在接受谈话、函询、询问过程中，交代涉嫌严重职务违法或者职务犯罪问题的人员；
（三）在接受讯问过程中，主动交代涉嫌重大职务犯罪问题的人员。
采取管护措施后，应当立即将被管护人员送留置场所，至迟不得超过二十四小时。
第二十六条 监察机关调查涉嫌贪污贿赂、失职渎职等严重职务违法或者职务犯罪，根据工作需要，可以依照规定查询、冻结涉案单位和个人的存款、汇款、债券、股票、基金份额等财产。有关单位和个人应当配合。
冻结的财产经查明与案件无关的，应当在查明后三日内解除冻结，予以退还。
第二十七条 监察机关可以对涉嫌职务犯罪的被调查人以及可能隐藏被调查人或者犯罪证据的人的身体、物品、住处和其他有关地方进行搜查。在搜查时，应当出示搜查证，并有被搜查人或者其家属等见证人在场。
搜查女性身体，应当由女性工作人员进行。
监察机关进行搜查时，可以根据工作需要提请公安机关配合。公安机关应当依法予以协助。
第二十八条 监察机关在调查过程中，可以调取、查封、扣押用以证明被调查人涉嫌违法犯罪的财物、文件和电子数据等信息。采取调取、查封、扣押措施，应当收集原物原件，会同持有人或者保管人、见证人，当面逐一拍照、登记、编号，开列清单，由在场人员当场核对、签名，并将清单副本交财物、文件的持有人或者保管人。
对调取、查封、扣押的财物、文件，监察机关应当设立专用账户、专门场所，确定专门人员妥善保管，严格履行交接、调取手续，定期对账核实，不得毁损或者用于其他目的。对价值不明物品应当及时鉴定，专门封存保管。
查封、扣押的财物、文件经查明与案件无关的，应当在查明后三日内解除查封、扣押，予以退还。
第二十九条 监察机关在调查过程中，可以直接或者指派、聘请具有专门知识的人在调查人员主持下进行勘验检查。勘验检查情况应当制作笔录，由参加勘验检查的人员和见证人签名或者盖章。
必要时，监察机关可以进行调查实验。调查实验情况应当制作笔录，由参加实验的人员签名或者盖章。
第三十条 监察机关在调查过程中，对于案件中的专门性问题，可以指派、聘请有专门知识的人进行鉴定。鉴定人进行鉴定后，应当出具鉴定意见，并且签名。
第三十一条 监察机关调查涉嫌重大贪污贿赂等职务犯罪，根据需要，经过严格的批准手续，可以采取技术调查措施，按照规定交有关机关执行。
批准决定应当明确采取技术调查措施的种类和适用对象，自签发之日起三个月以内有效；对于复杂、疑难案件，期限届满仍有必要继续采取技术调查措施的，经过批准，有效期可以延长，每次不得超过三个月。对于不需要继续采取技术调查措施的，应当及时解除。
第三十二条 依法应当留置的被调查人如果在逃，监察机关可以决定在本行政区域内通缉，由公安机关发布通缉令，追捕归案。通缉范围超出本行政区域的，应当报请有权决定的上级监察机关决定。
第三十三条 监察机关为防止被调查人及相关人员逃匿境外，经省级以上监察机关批准，可以对被调查人及相关人员采取限制出境措施，由公安机关依法执行。对于不需要继续采取限制出境措施的，应当及时解除。
第三十四条 涉嫌职务犯罪的被调查人主动认罪认罚，有下列情形之一的，监察机关经领导人员集体研究，并报上一级监察机关批准，可以在移送人民检察院时提出从宽处罚的建议：
（一）自动投案，真诚悔罪悔过的；
（二）积极配合调查工作，如实供述监察机关还未掌握的违法犯罪行为的；
（三）积极退赃，减少损失的；
（四）具有重大立功表现或者案件涉及国家重大利益等情形的。
第三十五条 职务违法犯罪的涉案人员揭发有关被调查人职务违法犯罪行为，查证属实的，或者提供重要线索，有助于调查其他案件的，监察机关经领导人员集体研究，并报上一级监察机关批准，可以在移送人民检察院时提出从宽处罚的建议。
第三十六条 监察机关依照本法规定收集的物证、书证、证人证言、被调查人供述和辩解、视听资料、电子数据等证据材料，在刑事诉讼中可以作为证据使用。
监察机关在收集、固定、审查、运用证据时，应当与刑事审判关于证据的要求和标准相一致。
以非法方法收集的证据应当依法予以排除，不得作为案件处置的依据。
第三十七条 人民法院、人民检察院、公安机关、审计机关等国家机关在工作中发现公职人员涉嫌贪污贿赂、失职渎职等职务违法或者职务犯罪的问题线索，应当移送监察机关，由监察机关依法调查处置。
被调查人既涉嫌严重职务违法或者职务犯罪，又涉嫌其他违法犯罪的，一般应当由监察机关为主调查，其他机关予以协助。
第五章 监察程序
第三十八条 监察机关对于报案或者举报，应当接受并按照有关规定处理。对于不属于本机关管辖的，应当移送主管机关处理。
第三十九条 监察机关应当严格按照程序开展工作，建立问题线索处置、调查、审理各部门相互协调、相互制约的工作机制。
监察机关应当加强对调查、处置工作全过程的监督管理，设立相应的工作部门履行线索管理、监督检查、督促办理、统计分析等管理协调职能。
第四十条 监察机关对监察对象的问题线索，应当按照有关规定提出处置意见，履行审批手续，进行分类办理。线索处置情况应当定期汇总、通报，定期检查、抽查。
第四十一条 需要采取初步核实方式处置问题线索的，监察机关应当依法履行审批程序，成立核查组。初步核实工作结束后，核查组应当撰写初步核实情况报告，提出处理建议。承办部门应当提出分类处理意见。初步核实情况报告和分类处理意见报监察机关主要负责人审批。
第四十二条 经过初步核实，对监察对象涉嫌职务违法犯罪，需要追究法律责任的，监察机关应当按照规定的权限和程序办理立案手续。
监察机关主要负责人依法批准立案后，应当主持召开专题会议，研究确定调查方案，决定需要采取的调查措施。
立案调查决定应当向被调查人宣布，并通报相关组织。涉嫌严重职务违法或者职务犯罪的，应当通知被调查人家属，并向社会公开发布。
第四十三条 监察机关对职务违法和职务犯罪案件，应当进行调查，收集被调查人有无违法犯罪以及情节轻重的证据，查明违法犯罪事实，形成相互印证、完整稳定的证据链。
调查人员应当依法文明规范开展调查工作。严禁以暴力、威胁、引诱、欺骗及其他非法方式收集证据，严禁侮辱、打骂、虐待、体罚或者变相体罚被调查人和涉案人员。
监察机关及其工作人员在履行职责过程中应当依法保护企业产权和自主经营权，严禁利用职权非法干扰企业生产经营。需要企业经营者协助调查的，应当保障其人身权利、财产权利和其他合法权益，避免或者尽量减少对企业正常生产经营活动的影响。
第四十四条 调查人员采取讯问、询问、强制到案、责令候查、管护、留置、搜查、调取、查封、扣押、勘验检查等调查措施，均应当依照规定出示证件，出具书面通知，由二人以上进行，形成笔录、报告等书面材料，并由相关人员签名、盖章。
调查人员进行讯问以及搜查、查封、扣押等重要取证工作，应当对全过程进行录音录像，留存备查。
第四十五条 调查人员应当严格执行调查方案，不得随意扩大调查范围、变更调查对象和事项。
对调查过程中的重要事项，应当集体研究后按程序请示报告。
第四十六条 采取强制到案、责令候查或者管护措施，应当按照规定的权限和程序，经监察机关主要负责人批准。
强制到案持续的时间不得超过十二小时；需要采取管护或者留置措施的，强制到案持续的时间不得超过二十四小时。不得以连续强制到案的方式变相拘禁被调查人。
责令候查最长不得超过十二个月。
监察机关采取管护措施的，应当在七日以内依法作出留置或者解除管护的决定，特殊情况下可以延长一日至三日。
第四十七条 监察机关采取留置措施，应当由监察机关领导人员集体研究决定。设区的市级以下监察机关采取留置措施，应当报上一级监察机关批准。省级监察机关采取留置措施，应当报国家监察委员会备案。
第四十八条 留置时间不得超过三个月。在特殊情况下，可以延长一次，延长时间不得超过三个月。省级以下监察机关采取留置措施的，延长留置时间应当报上一级监察机关批准。监察机关发现采取留置措施不当或者不需要继续采取留置措施的，应当及时解除或者变更为责令候查措施。
对涉嫌职务犯罪的被调查人可能判处十年有期徒刑以上刑罚，监察机关依照前款规定延长期限届满，仍不能调查终结的，经国家监察委员会批准或者决定，可以再延长三个月。
省级以上监察机关在调查期间，发现涉嫌职务犯罪的被调查人另有与留置时的罪行不同种的重大职务犯罪或者同种的影响罪名认定、量刑档次的重大职务犯罪，经国家监察委员会批准或者决定，自发现之日起依照本条第一款的规定重新计算留置时间。留置时间重新计算以一次为限。
第四十九条 监察机关采取强制到案、责令候查、管护、留置措施，可以根据工作需要提请公安机关配合。公安机关应当依法予以协助。
省级以下监察机关留置场所的看护勤务由公安机关负责，国家监察委员会留置场所的看护勤务由国家另行规定。留置看护队伍的管理依照国家有关规定执行。
第五十条 采取管护或者留置措施后，应当在二十四小时以内，通知被管护人员、被留置人员所在单位和家属，但有可能伪造、隐匿、毁灭证据，干扰证人作证或者串供等有碍调查情形的除外。有碍调查的情形消失后，应当立即通知被管护人员、被留置人员所在单位和家属。解除管护或者留置的，应当及时通知被管护人员、被留置人员所在单位和家属。
被管护人员、被留置人员及其近亲属有权申请变更管护、留置措施。监察机关收到申请后，应当在三日以内作出决定；不同意变更措施的，应当告知申请人，并说明不同意的理由。
监察机关应当保障被强制到案人员、被管护人员以及被留置人员的饮食、休息和安全，提供医疗服务。对其谈话、讯问的，应当合理安排时间和时长，谈话笔录、讯问笔录由被谈话人、被讯问人阅看后签名。
被管护人员、被留置人员涉嫌犯罪移送司法机关后，被依法判处管制、拘役或者有期徒刑的，管护、留置一日折抵管制二日，折抵拘役、有期徒刑一日。
第五十一条 监察机关在调查工作结束后，应当依法对案件事实和证据、性质认定、程序手续、涉案财物等进行全面审理，形成审理报告，提请集体审议。
第五十二条 监察机关根据监督、调查结果，依法作出如下处置：
（一）对有职务违法行为但情节较轻的公职人员，按照管理权限，直接或者委托有关机关、人员，进行谈话提醒、批评教育、责令检查，或者予以诫勉；
（二）对违法的公职人员依照法定程序作出警告、记过、记大过、降级、撤职、开除等政务处分决定；
（三）对不履行或者不正确履行职责负有责任的领导人员，按照管理权限对其直接作出问责决定，或者向有权作出问责决定的机关提出问责建议；
（四）对涉嫌职务犯罪的，监察机关经调查认为犯罪事实清楚，证据确实、充分的，制作起诉意见书，连同案卷材料、证据一并移送人民检察院依法审查、提起公诉；
（五）对监察对象所在单位廉政建设和履行职责存在的问题等提出监察建议。
监察机关经调查，对没有证据证明被调查人存在违法犯罪行为的，应当撤销案件，并通知被调查人所在单位。
第五十三条 监察机关经调查，对违法取得的财物，依法予以没收、追缴或者责令退赔；对涉嫌犯罪取得的财物，应当随案移送人民检察院。
第五十四条 对监察机关移送的案件，人民检察院依照《中华人民共和国刑事诉讼法》对被调查人采取强制措施。
人民检察院经审查，认为犯罪事实已经查清，证据确实、充分，依法应当追究刑事责任的，应当作出起诉决定。
人民检察院经审查，认为需要补充核实的，应当退回监察机关补充调查，必要时可以自行补充侦查。对于补充调查的案件，应当在一个月内补充调查完毕。补充调查以二次为限。
人民检察院对于有《中华人民共和国刑事诉讼法》规定的不起诉的情形的，经上一级人民检察院批准，依法作出不起诉的决定。监察机关认为不起诉的决定有错误的，可以向上一级人民检察院提请复议。
第五十五条 监察机关在调查贪污贿赂、失职渎职等职务犯罪案件过程中，被调查人逃匿或者死亡，有必要继续调查的，应当继续调查并作出结论。被调查人逃匿，在通缉一年后不能到案，或者死亡的，由监察机关提请人民检察院依照法定程序，向人民法院提出没收违法所得的申请。
第五十六条 监察对象对监察机关作出的涉及本人的处理决定不服的，可以在收到处理决定之日起一个月内，向作出决定的监察机关申请复审，复审机关应当在一个月内作出复审决定；监察对象对复审决定仍不服的，可以在收到复审决定之日起一个月内，向上一级监察机关申请复核，复核机关应当在二个月内作出复核决定。复审、复核期间，不停止原处理决定的执行。复核机关经审查，认定处理决定有错误的，原处理机关应当及时予以纠正。
第六章 反腐败国际合作
第五十七条 国家监察委员会统筹协调与其他国家、地区、国际组织开展的反腐败国际交流、合作，组织反腐败国际条约实施工作。
第五十八条 国家监察委员会会同有关单位加强与有关国家、地区、国际组织在反腐败方面开展引渡、移管被判刑人、遣返、联合调查、调查取证、资产追缴和信息交流等执法司法合作和司法协助。
第五十九条 国家监察委员会加强对反腐败国际追逃追赃和防逃工作的组织协调，督促有关单位做好相关工作：
（一）对于重大贪污贿赂、失职渎职等职务犯罪案件，被调查人逃匿到国（境）外，掌握证据比较确凿的，通过开展境外追逃合作，追捕归案；
（二）向赃款赃物所在国请求查询、冻结、扣押、没收、追缴、返还涉案资产；
（三）查询、监控涉嫌职务犯罪的公职人员及其相关人员进出国（境）和跨境资金流动情况，在调查案件过程中设置防逃程序。
第七章 对监察机关和监察人员的监督
第六十条 各级监察委员会应当接受本级人民代表大会及其常务委员会的监督。
各级人民代表大会常务委员会听取和审议本级监察委员会的专项工作报告，组织执法检查。
县级以上各级人民代表大会及其常务委员会举行会议时，人民代表大会代表或者常务委员会组成人员可以依照法律规定的程序，就监察工作中的有关问题提出询问或者质询。
第六十一条 监察机关应当依法公开监察工作信息，接受民主监督、社会监督、舆论监督。
第六十二条 监察机关根据工作需要，可以从各方面代表中聘请特约监察员。特约监察员按照规定对监察机关及其工作人员履行职责情况实行监督。
第六十三条 监察机关通过设立内部专门的监督机构等方式，加强对监察人员执行职务和遵守法律情况的监督，建设忠诚、干净、担当的监察队伍。
第六十四条 监察人员涉嫌严重职务违法或者职务犯罪，为防止造成更为严重的后果或者恶劣影响，监察机关经依法审批，可以对其采取禁闭措施。禁闭的期限不得超过七日。
被禁闭人员应当配合监察机关调查。监察机关经调查发现被禁闭人员符合管护或者留置条件的，可以对其采取管护或者留置措施。
本法第五十条的规定，适用于禁闭措施。
第六十五条 监察人员必须模范遵守宪法和法律，忠于职守、秉公执法，清正廉洁、保守秘密；必须具有良好的政治素质，熟悉监察业务，具备运用法律、法规、政策和调查取证等能力，自觉接受监督。
第六十六条 对于监察人员打听案情、过问案件、说情干预的，办理监察事项的监察人员应当及时报告。有关情况应当登记备案。
发现办理监察事项的监察人员未经批准接触被调查人、涉案人员及其特定关系人，或者存在交往情形的，知情人应当及时报告。有关情况应当登记备案。
第六十七条 办理监察事项的监察人员有下列情形之一的，应当自行回避，监察对象、检举人及其他有关人员也有权要求其回避：
（一）是监察对象或者检举人的近亲属的；
（二）担任过本案的证人的；
（三）本人或者其近亲属与办理的监察事项有利害关系的；
（四）有可能影响监察事项公正处理的其他情形的。
第六十八条 监察机关涉密人员离岗离职后，应当遵守脱密期管理规定，严格履行保密义务，不得泄露相关秘密。
监察人员辞职、退休三年内，不得从事与监察和司法工作相关联且可能发生利益冲突的职业。
第六十九条 监察机关及其工作人员有下列行为之一的，被调查人及其近亲属、利害关系人有权向该机关申诉：
（一）采取强制到案、责令候查、管护、留置或者禁闭措施法定期限届满，不予以解除或者变更的；
（二）查封、扣押、冻结与案件无关或者明显超出涉案范围的财物的；
（三）应当解除查封、扣押、冻结措施而不解除的；
（四）贪污、挪用、私分、调换或者违反规定使用查封、扣押、冻结的财物的；
（五）利用职权非法干扰企业生产经营或者侵害企业经营者人身权利、财产权利和其他合法权益的；
（六）其他违反法律法规、侵害被调查人合法权益的行为。
受理申诉的监察机关应当在受理申诉之日起一个月内作出处理决定。申诉人对处理决定不服的，可以在收到处理决定之日起一个月内向上一级监察机关申请复查，上一级监察机关应当在收到复查申请之日起二个月内作出处理决定，情况属实的，及时予以纠正。
第七十条 对调查工作结束后发现立案依据不充分或者失实，案件处置出现重大失误，监察人员严重违法的，应当追究负有责任的领导人员和直接责任人员的责任。
第八章 法律责任
第七十一条 有关单位拒不执行监察机关作出的处理决定，或者无正当理由拒不采纳监察建议的，由其主管部门、上级机关责令改正，对单位给予通报批评；对负有责任的领导人员和直接责任人员依法给予处理。
第七十二条 有关人员违反本法规定，有下列行为之一的，由其所在单位、主管部门、上级机关或者监察机关责令改正，依法给予处理：
（一）不按要求提供有关材料，拒绝、阻碍调查措施实施等拒不配合监察机关调查的；
（二）提供虚假情况，掩盖事实真相的；
（三）串供或者伪造、隐匿、毁灭证据的；
（四）阻止他人揭发检举、提供证据的；
（五）其他违反本法规定的行为，情节严重的。
第七十三条 监察对象对控告人、检举人、证人或者监察人员进行报复陷害的；控告人、检举人、证人捏造事实诬告陷害监察对象的，依法给予处理。
第七十四条 监察机关及其工作人员有下列行为之一的，对负有责任的领导人员和直接责任人员依法给予处理：
（一）未经批准、授权处置问题线索，发现重大案情隐瞒不报，或者私自留存、处理涉案材料的；
（二）利用职权或者职务上的影响干预调查工作、以案谋私的；
（三）违法窃取、泄露调查工作信息，或者泄露举报事项、举报受理情况以及举报人信息的；
（四）对被调查人或者涉案人员逼供、诱供，或者侮辱、打骂、虐待、体罚或者变相体罚的；
（五）违反规定处置查封、扣押、冻结的财物的；
（六）违反规定发生办案安全事故，或者发生安全事故后隐瞒不报、报告失实、处置不当的；
（七）违反规定采取强制到案、责令候查、管护、留置或者禁闭措施，或者法定期限届满，不予以解除或者变更的；
（八）违反规定采取技术调查、限制出境措施，或者不按规定解除技术调查、限制出境措施的；
（九）利用职权非法干扰企业生产经营或者侵害企业经营者人身权利、财产权利和其他合法权益的；
（十）其他滥用职权、玩忽职守、徇私舞弊的行为。
第七十五条 违反本法规定，构成犯罪的，依法追究刑事责任。
第七十六条 监察机关及其工作人员行使职权，侵犯公民、法人和其他组织的合法权益造成损害的，依法给予国家赔偿。
第九章 附 则
第七十七条 中国人民解放军和中国人民武装警察部队开展监察工作，由中央军事委员会根据本法制定具体规定。
第七十八条 本法自公布之日起施行。《中华人民共和国行政监察法》同时废止。
党课讲稿：深入学习新修改的《监察法》 推动新时代监察工作高质量发展
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发布时间：2025-06-03
2025年1月召开的二十届中央纪委四次全会提出，“坚持用改革精神和严的标准管党治党，推动落实全面从严治党政治责任，推动健全全面从严治党体系，纵深推进正风肃纪反腐，持续推进新时代新征程纪检监察工作高质量发展”。2024年12月，第十四届全国人民代表大会常务委员会第十三次会议审议通过了《关于修改〈中华人民共和国监察法〉的决定》，自2025年6月1日起正式施行。此次修改《中华人民共和国监察法》（以下简称《监察法》）正值纪检监察体制改革向纵深推进的关键时期，对于促进新时代监察工作高质量发展、打赢反腐败斗争攻坚战持久战总体战具有重要意义。
一、制定和修改《监察法》是深化国家监察体制改革的内在要求和重要环节
《监察法》是一部对国家监察工作起统领性和基础性作用的反腐败国家立法，集中体现了我国以法治思维和法治方式反腐的法律制度成果。《监察法》的修改和完善是推进反腐败国家立法、进一步健全反腐败法规制度的首要任务。习近平总书记强调，“要进一步健全反腐败法规制度。围绕一体推进不敢腐、不能腐、不想腐等完善基础性法规制度，健全加强对‘一把手’和领导班子监督配套制度。持续推进反腐败国家立法，与时俱进修改监察法”。《监察法》及相关配套监察法律法规的出台，对加强党对反腐败工作的集中统一领导，构建集中统一、权威高效的中国特色国家监察体制，实现对公职人员的监察全覆盖发挥重要作用。自2018年《监察法》颁布实施以来，国家监察体制改革不断深化，反腐败斗争面临新的形势和任务，全面建设社会主义现代化国家对纪检监察工作高质量发展提出新的要求。因此，迫切需要与时俱进地修改《监察法》，以便在立法层面进一步巩固改革成果，应对新形势下监察工作中出现的突出问题，促进监察工作的规范化、法治化、正规化。
深入贯彻党的二十大和二十届三中全会决策部署的必然要求。《监察法》是监察机关开展反腐败工作的基本法律依据，在我国反腐败法律体系中居于基础性地位。党的二十大报告提出要“深化标本兼治，推进反腐败国家立法”，党的二十届三中全会进一步提出“推进反腐败国家立法，修改监察法”的要求。在党的二十大和二十届三中全会精神指引下，《监察法》修订工作及时开展，为打赢反腐败斗争攻坚战持久战总体战、完善党和国家监督体系奠定坚实的制度基础，为增强治理腐败效能以及提升党的自我净化、自我完善、自我革新、自我提高能力创造条件，也为推进中国式现代化提供法治保障。
巩固拓展国家监察体制改革成果的重要举措。习近平总书记强调，“要实现立法和改革决策相衔接，做到重大改革于法有据、立法主动适应改革发展需要”。《监察法》作为我国监察体制改革的重大制度成果，既是党和国家监督制度的重要内容，也是党的自我革命制度规范体系的重要组成部分。二十届中央纪委四次全会强调，“深化落实纪检监察体制改革任务，着力推动完善党的自我革命制度规范体系”。近年来，以习近平同志为核心的党中央从推进党的自我革命、健全党和国家监督体系的高度，对持续深化国家监察体制改革作出重要部署，产生了诸多原创性实践成果，取得了显著的改革成效。此次《监察法》修改充分吸收了国家监察体制改革实践成果，通过将改革中的有益经验上升为常态化、制度化的法律规定，推动了国家监察体制改革与反腐败国家立法的有机统一，有助于形成改革推动法律制度创新、立法适应改革发展需求的良性循环。以本次修法新增的监察再派出制度为例，立法的完善将有助于实践中进一步深化纪委监委机关内设机构、派驻机构改革，推动有关派驻机构向驻在单位的下一级单位、部属高校和国务院国资委管理领导班子的中央企业“再派出”。
解决新形势下监察工作中突出问题的现实需要。二十届中央纪委四次全会指出，聚焦“国之大者”强化政治监督，坚定不移正风肃纪，以永远在路上的坚韧执着深入推进反腐败斗争，一体推进不敢腐、不能腐、不想腐，着力铲除腐败滋生的土壤和条件。要始终保持敬畏之心，加强纪检监察工作规范化法治化正规化建设。当前，我国反腐败斗争形势依然严峻复杂，铲除腐败滋生土壤和条件的任务仍然艰巨繁重。因此，监察机关必须进一步提升办案质效，持续加大反腐败力度。过去，在《监察法》实施过程中，出现了一些影响办案质效的实际问题。例如，垂直管理系统中监察全覆盖的有效性不足、重大复杂案件的留置期限紧张、监察强制措施单一等，这些问题亟待解决。此次《监察法》修改坚持问题导向，有针对性地修改相关条款，打通理顺法律制度的堵点难点，为提升监察机关办案的精准度和实效性创造条件。
推进监察工作规范化、法治化、正规化的有力保证。习近平总书记强调，纪检监察机关要增强法治意识、程序意识、证据意识，不断提高纪检监察工作规范化、法治化、正规化水平。习近平总书记在二十届中央纪委四次全会上指出：“深化纪检监察体制改革，坚持授权和控权相结合，把权力关进制度的笼子。”《监察法》的修改和完善旨在进一步筑牢监察权运行的制度笼子，既根据实践需要授予必要的监察权限，又通过完善监察程序、严格批准权限等控制监察权的行使。同时，通过健全监察机关内控机制、严格对监察人员的责任追究机制等强化监察机关的自身建设，进而保障监察权在法治轨道上运行。
二、修改《监察法》的原则和主要内容
此次《监察法》修改，以坚持正确政治方向、问题导向、系统观念和科学修法为基本原则，坚持以习近平新时代中国特色社会主义思想为指导，全面贯彻习近平法治思想和习近平总书记关于党的自我革命的重要思想，深刻领悟“两个确立”的决定性意义，增强“四个意识”、坚定“四个自信”、做到“两个维护”。此次修法通过法定程序将党中央关于持续深化国家监察体制改革的决策部署转化为国家意志，通过修改相关制度解决监察工作实践问题，并保证修改后各项纪检监察法律法规制度之间的协调联动，在总体上保持基本监察制度顶层设计的连续性。整体来看，《监察法》主要从以下七个方面进行修改。
以宪法为根据修改立法目的表述，形成层次分明、逻辑周延的监察法立法目的体系。此次修订将《监察法》第1条修改为：“为了深入开展廉政建设和反腐败工作，加强对所有行使公权力的公职人员的监督，实现国家监察全面覆盖，持续深化国家监察体制改革，推进国家治理体系和治理能力现代化，根据宪法，制定本法。”相比于原规定，修改后的立法目的表述更加精准、完整且合乎逻辑。原条文中的“深入开展反腐败工作”被补充为“深入开展廉政建设和反腐败工作”，并替代原来的“深化国家体制改革”位于句首，使整体的立法目的表述呈现出从具体工作开展到宏观国家治理的层层递进关系，为后续《监察法》的修改、解释和适用提供了更为清晰的目标指引。
增写监察工作基本原则，强化监察工作中的法治观念。本次修法在《监察法》第5条增加了两项基本原则：一是尊重和保障人权原则。在监察工作基本原则中增写“尊重和保障人权”，并将“保障当事人的合法权益”细化为“保障监察对象及相关人员的合法权益”，彰显了监察工作依法保障人权的鲜明立场。这不仅是《中华人民共和国宪法》第33条关于“国家尊重和保障人权”的规定在监察法领域的贯彻落实，也是惩治腐败与保障人权有机统一的法治精神的集中体现。二是遵守法定程序原则。增写“遵守法定程序，公正履行职责”的基本原则，反映出程序正义理念在监察工作中的重要性。确立这一原则有助于强化监察机关的法治意识和程序意识，促进对监察权运行的程序规制。
新增监察再派出制度，增强监察监督全覆盖的有效性。党的二十届三中全会明确提出，“完善垂直管理单位纪检监察体制，推进向中管企业全面派驻纪检监察组”。在党中央的决策部署下，垂直管理单位纪检监察体制改革作为深化派驻机构改革的延伸和拓展，已取得突出成效。此次《监察法》修改结合改革的实践成果，完善了监察派驻、派出相关规定，创设了监察再派出制度。监察再派出是指经国家监委批准，国家监委派驻本级实行垂直管理或者双重领导，并以上级单位领导为主的单位的监察机构、监察专员可以向其驻在单位的下一级单位再派出；国家监委派驻监察机构、监察专员，可以向驻在单位管理领导班子的普通高等学校再派出；国家监委派驻国务院国有资产监督管理机构的监察机构，可以向驻在单位管理领导班子的国有企业再派出。这一制度的建立，是为了解决实践中垂直管理单位因公职人员队伍规模大、单位层级多等导致的监察监督不足问题。监察再派出有利于监察权向下延伸，增强垂直管理系统中监察监督全覆盖的有效性。
完善监察措施体系及适用程序，提升监察工作的精准性和有效性。本次修法坚持授权与控权相结合，既授予监察机关必要的权限，促进监察机关的反腐败能力建设，又强化对监察措施适用的程序规制，防止监察权的滥用。一是新增强制到案、责令候查、管护三项监察强制措施。这三项措施与原有的留置共同构成一套轻重结合、配套衔接、环环相扣的监察强制措施体系，不仅有利于监察人员根据案件实际情况选择合适的强制措施，解决以往强制措施单一导致办案需求无法满足的问题，还能够促使监察人员减少不必要的留置适用，避免对被调查人和相关涉案人员的人身自由造成过度干预。二是为新增的强制措施制定配套的适用规则。此次修法对新增监察强制措施的适用情形予以列举式规定，明确采取相关措施应当按照规定的权限和程序，经监察机关主要负责人批准，防止实践中滥用。同时，增加了相关的权益保障条款和刑期折抵规定，确保相关措施严格规范行使。三是建立了相应的强制措施变更制度。本次修法专门增加了将管护、留置措施依法变更为责令候查措施的规定，并赋予有关人员申请变更监察强制措施的权利，体现了尊重和保障人权原则以及比例原则的精神。
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对比文本中A与B存在哪些法律规定的不同？先输出“[答案]”标识符，再输出条例编号（“第x章 第x条”），若有多条，按行输出，不要输出任何其他内容。
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当代竞技心理学和锻炼心理学的研究进展及未来展望
Research Progress and Future Prospects of Contemporary Competitive Psychology and Exercise Psychology
DOI: 10.12677/aps.2024.122048, PDF, HTML, XML, 下载:2,402 浏览:3,136
作者: 马 巍：广西师范大学体育与健康学院，广西 桂林
关键词: 竞技心理学；锻炼心理学；研究进展；Competitive Psychology； Exercise Psychology； Research Progress
摘要: 竞技心理学和锻炼心理学为提高运动表现和锻炼效果提供了重要的理论依据。本文通过梳理竞技心理学和锻炼心理学的相关文献，对当代竞技心理学和锻炼心理学的研究进展进行了全面而深入的综述，系统地总结了这两个领域的主要研究成果，并探讨了未来的研究方向。 Abstract: Competitive psychology and exercise psychology provide an important theoretical basis for improving sports performance and exercise effects. This article provides a comprehensive and in-depth review of contemporary research progress in competitive psychology and exercise psychology by combing the relevant literature on competitive psychology and exercise psychology, systematically summarizes the main research results in these two fields, and discusses the future research direction.
文章引用：马巍. 当代竞技心理学和锻炼心理学的研究进展及未来展望[J]. 体育科学进展, 2024, 12(2): 318-325. https://doi.org/10.12677/aps.2024.122048
1. 引言
竞技心理学和锻炼心理学是心理学领域中两个重要的分支，它们分别针对运动员和广大人群的锻炼活动提供心理支持和指导。随着科学研究的不断深入，这两个领域的研究成果日益丰富，为提高运动表现和锻炼效果提供了重要的理论依据。本文将分别对竞技心理学和锻炼心理学的研究进展进行综述，并探讨未来的研究方向和挑战。
2. 竞技心理学研究进展
(一) 竞技焦虑与应对
竞技焦虑是运动员在比赛前或比赛中经常出现的一种心理状态，它会对运动员的表现产生负面影响。近年来，研究者们对竞技焦虑的定义及影响因素进行了深入研究，并提出了多种应对策略和方法。竞技焦虑是运动员在比赛中因为各种原因而产生的过度紧张、不安、恐惧等心理状态。这种心理状态会导致运动员的注意力和自信心下降，从而影响其表现。竞技焦虑的影响因素包括运动员的个性特征、比赛经验、对手实力等。为了应对竞技焦虑，陈洪波、魏萍 [1] 提出了多种有效的应对策略和方法，在应对竞技焦虑方面，运动员可以采取多种策略。首先，通过心理训练来提高自我控制能力和自信心，有助于运动员在面对压力时保持冷静和专注。其次，运动员可以学习放松技巧，如深呼吸、渐进式肌肉松弛等，以缓解身体的紧张感和焦虑情绪。此外，积极应对方式，如寻求社会支持、制定合理的比赛目标、采用问题解决的策略等，也有助于运动员更好地应对竞技焦虑。然而，需要注意的是，不同的运动员在面对竞技焦虑时可能会采用不同的应对方式。有些运动员可能更倾向于采用积极、建设性的应对方式，而有些则可能采取消极、回避的应对方式。这取决于运动员的个性特征、运动经验以及所处的比赛环境等多种因素。因此，对于教练和运动员来说，了解并识别这些不同的应对方式，有助于制定更加个性化的心理干预策略，帮助运动员更好地应对竞技焦虑。
综上所述，竞技焦虑是运动员在比赛中经常出现的一种心理状态，它会对运动员的表现产生负面影响。为了应对竞技焦虑，研究者们提出了多种有效的应对策略和方法。这些方法可以帮助运动员更好地应对比赛，提高其表现水平。
(二) 竞技动机与激励
竞技动机是推动运动员参与竞赛并努力提高运动表现的关键因素。对于运动员来说，动机不仅决定了他们是否愿意投入时间和精力去参与训练和比赛，还直接影响着他们在比赛中的表现和结果。因此，对竞技动机的研究在竞技心理学中具有重要意义。姜梦晶 [2] 对竞技动机的类型和影响因素进行了深入探讨。其中，内部动机和外部动机是两种主要的动机类型。内部动机是指运动员因为对运动本身的热爱和兴趣而参与竞赛，这种动机具有持久性和稳定性。而外部动机则是指运动员因为外部因素如奖励、荣誉、社会认可等而参与竞赛，这种动机具有一定的波动性和不确定性。此外，自我效能也是影响竞技动机的重要因素之一，它是指运动员对自己能够成功完成任务的信心和信念。在竞技心理学中，激励策略的应用也受到了广泛关注。目标设置是一种常见的激励策略，它通过设定明确、具体、可衡量的目标来激发运动员的积极性和动力。奖励制度也是一种有效的激励策略，它通过给予运动员物质或精神上的奖励来激励其参与竞赛和提高表现。此外，榜样示范也是一种有效的激励策略，它通过展示优秀运动员的成功经验和表现来激发其他运动员的积极性和动力。
总之，竞技动机是推动运动员参与竞赛并努力提高运动表现的重要因素。研究者们对竞技动机的类型和影响因素进行了深入探讨，并提出了多种有效的激励策略。这些研究成果和方法论对于提高运动员的竞技表现和推动竞技心理学的发展具有重要意义。
(三) 心理训练与技能提升
心理训练是提高运动员心理素质和运动表现的关键手段。在竞技运动中，心理训练的作用日益受到重视，因为它不仅有助于运动员在比赛中保持冷静、自信和专注，还能提高其应对压力和挑战的能力。近年来，梁芳、张友毅、李佳 [3] 对心理训练在竞技运动中的作用进行了深入研究，并提出了多种心理训练方法与技巧。其中，表象训练是一种通过想象自己成功完成技术动作或比赛场景来提高自信和表现的心理训练方法。自我暗示则是一种通过积极的自我对话来调整心态、增强自信和集中注意力的心理训练技巧。此外，集中注意力训练也是心理训练的重要方面，它通过提高运动员的专注力和抗干扰能力来提高其运动表现。除了以上方法，心理技能训练与运动技能训练的融合也成为新的研究趋势。这种融合旨在将心理技能训练与运动技能训练相结合，使运动员在掌握运动技能的同时，也能提高心理素质和应对能力。这种综合性的训练方法有助于运动员在比赛中更好地应对各种挑战和压力，提高其整体表现水平。
总之，心理训练是提高运动员心理素质和运动表现的重要手段。研究者们提出了多种有效的心理训练方法与技巧，并通过实践证明了这些方法的有效性。同时，心理技能训练与运动技能训练的融合也成为新的研究趋势，为竞技运动的发展提供了新的思路和方法。
(四) 心理咨询与支持
竞技运动员在比赛和训练中常常面临巨大的心理压力，这种压力可能来自于比赛的高强度、高竞争性，也可能来自于运动员自身的期望、焦虑或其他个人因素。因此，心理咨询和支持在竞技运动中显得尤为重要。近年来，周成林、赵洪朋 [4] 对竞技运动员的心理咨询需求进行了深入研究，发现许多运动员在面对压力和挑战时，会遇到各种心理问题，如焦虑、抑郁、压力过大等。这些问题不仅影响运动员的竞技表现，还可能对其身心健康产生长期影响。针对这些问题，研究者们提出了多种心理干预方法。其中，认知行为疗法是一种常用的心理干预方法，它通过帮助运动员识别和改变消极的思维模式和行为习惯，从而减轻焦虑和压力。心理疏导也是一种有效的心理干预方法，它通过倾听和理解运动员的感受，提供情感支持和指导，帮助运动员缓解心理压力。此外，团体辅导也是一种常用的心理干预方法，它通过组织小组活动和讨论，帮助运动员相互支持和理解，提高其应对压力的能力。同时，心理干预在竞技运动中的应用与效果也得到了广泛关注。许多研究表明，心理干预可以帮助运动员提高自信心、增强应对压力的能力、改善情绪状态等。这些效果不仅有助于提高运动员的竞技表现，还有助于其身心健康的发展。
总之，心理咨询和支持在竞技运动中具有重要意义。研究者们提出了多种有效的心理干预方法，并通过实践证明了这些方法的有效性。同时，心理干预在竞技运动中的应用与效果也得到了广泛关注，为竞技运动的发展提供了新的思路和方法。
心理抑或行为：浅析心理学研究对象之争
Psychology or Behavior: An Analysis of the Object of Psychological Research
DOI: 10.12677/AP.2017.78126, PDF, HTML, XML, 下载:2,100 浏览:7,904 科研立项经费支持
作者: 邱小艳*：湖南科技学院高等教育研究所，湖南 永州
关键词: 心理；行为；争论；整合；Mentality； Behaviour； Debate； Integration
摘要: 心理学的研究对象问题是心理学研究中的重要理论问题。关于心理学的研究对象，西方心理学界出现了两种不同的心理学科学观：心理科学观与行为科学观。长期以来，二者各执己见，争论不休，二者的对峙贯穿了心理学发展的始终。本文立足于心理学的整合视野，重新审视一百多年来西方心理学发展历程中的心理与行为之争，理清各自的发展脉络，并分析争论的实质及消解方略。
文章引用：邱小艳 (2017). 心理抑或行为：浅析心理学研究对象之争. 心理学进展, 7(8), 1009-1013. https://doi.org/10.12677/AP.2017.78126
1. 引言
在心理学创建初期，冯特将心理学定位于研究经验、意识或是心理的科学。在行为主义问世前的很长时间里，几乎所有的心理学流派都宣称“意识是心理学的论题”。1912年，行为主义的创始人华生明确主张：心理学的论题是行为而非意识，并认为“若不放弃心理，便无法使心理学成为一门自然科学”(华生，1998)，争论由此展开。长期以来，二者各执己见，争论不休，二者的对峙贯穿了心理学发展的始终。
心理与行为之争呈现出怎样的发展脉络？争论的实质何在？对这些问题的理解至今仍有很多歧义和混乱。鉴于此，我们立足于心理学的整合视野，重新审视一百多年来西方心理学发展历程中的心理与行为之争，以期更清晰地把握心理学的发展脉络，更准确地看待一百多年来心理学的发展历程，进而更好地规划未来的心理学建设。
2. 持心理科学观的心理学体系的发展脉络
持心理科学观的心理学家们认为心理是心理学的应有研究对象，在方法上主要选择与心理相适应的主观研究方法，比如内省、梦的分析、理解等。尽管坚持了实验的方法，但并未抛弃内省、理解、直觉等与主观性有关的方法。具体可分为意识心理学和无意识心理学：
2.1. 意识心理学
意识心理学主张研究心理的意识层面，坚持内省的方法，但具体研究意识的哪一方面，不同学派又有不同的观点。
冯特开创了意识心理学的先河，他主张心理学的研究对象应是直接经验，即正在发生着的意识。他认为心理学应运用实验内省的方法来研究意识内容构成的元素和确定由元素构成心理复合体的原理及规律。铁钦纳秉承了冯特的衣钵，也认为：“虽然心理学的对象是心理，但心理学研究的直接对象却往往是意识。”(车文博，1998)他主张心理学应研究意识的构造，并主张对意识进行更彻底的元素分析，在他看来，元素分析就是要发现最基本的感觉要素(郭本禹，郭德侠，1998)。
以布伦塔诺、詹姆斯、杜威、安吉尔、卡特尔和桑代克等人为代表的机能心理学家则关注意识的机能，主张研究意识在适应环境中的功效和作用，注重心理与环境、心理与生活的关系。虽然机能主义在后期表现出了贬低意识、偏重行为的倾向，但总体上看仍是意识占主要地位。
以苛勒、惠特海默和考夫卡等人为代表的格式塔学派反对冯特、铁钦纳等人的元素主义立场，他们主张以直接经验为研究对象，强调意识的整体性，认为整体不等于部分之和，意识经验不等于感觉和情感元素的总和，思维亦不是观念的简单联结。
前述几种心理学主要是从科学主义视野下来研究意识，将其视为心理现象；而以马斯洛、罗杰斯等人为代表的人本主义心理学则从人文科学视野来探讨人的意识。他们主张将人的意识体验作为心理学研究的出发点，关注人的需要、动机、人格、潜能、价值、创造力和自我实现，因此人本主义视野下的心理不再是一种心理现象，而是一种心理生活。尽管同样是研究意识，但人本主义由对低级的心理过程的研究拓展到高级心理机能的研究，由对认知的研究拓展到对人的动机、需求乃至人格的研究。
2.2. 无意识心理学
精神分析心理学创始人弗洛伊德认为心理不仅包括意识，还包括无意识，并认为无意识的现象和内容才是心理学研究的主要对象。在他看来，“心理过程主要是无意识的，有意识的精神过程不过是一些孤立的动作和整个精神生活的局部”(叶浩生，1998)。他创立了自由联想、释梦、对过失行为的分析等精神分析的方法，以此来了解无意识。
荣格则认为弗洛伊德所说的无意识只不过涉及了个人无意识，它位于无意识的表层，在个人无意识之后还存在一种更深层的集体无意识。集体无意识是“在漫长的历史演化过程中世代积累的人类祖先的经验，是人类对某些事件做出特定反应的先天遗传倾向，是个体始终意识不到的心理内容”(叶浩生，1998)。
弗洛姆在弗洛伊德和荣格的基础上，进一步拓展了无意识的领域，提出了社会无意识的概念。他认为“社会无意识是一个社会的大多数成员共同存在的被压抑的领域”(弗洛姆，1986)，是社会政治、经济不平等的产物。弗洛姆的社会无意识理论摆脱了弗洛伊德个体潜意识的生物学局限，突出了无意识产生的社会性。
综上可见，以上各流派虽然整体上均以心理为研究对象，但内部也存在各种分歧。比如：应研究意识的内容还是意识的机能，应研究意识的局部还是整体，应研究意识还是无意识，应研究认知还是研究动机、人格等等。如此种种，不一而足。也正是在这种分歧中，心理学的研究角度不断转换，研究范围不断拓展，心理的内涵不断丰富，对心理的认识也不断深化。
家庭教育中幼儿安全感的培育
Cultivation of Child Safety in Family Education
DOI: 10.12677/ASS.2019.85117, PDF, HTML, XML, 下载:1,573 浏览:4,285
作者: 杨雨露：重庆师范大学教育科学学院，重庆
关键词: 家庭教育；安全感；亲子关系；Family Education； Security； Parent-Child Relationship
摘要: 安全感诞生于最初的母婴关系之中，是幼儿发展与成长基础性的心理需要。良好的安全感有利于促进幼儿的身心发展，提高其心理健康水平以及顺利社会化。家庭作为幼儿获得安全感的最初源地，母亲是幼儿成长中的重要影响者，和谐完整的家庭环境，良好的亲子关系以及正确的家庭教养方式有利于幼儿安全感的形成，促进幼儿的健康成长。
文章引用：杨雨露. 家庭教育中幼儿安全感的培育[J]. 社会科学前沿, 2019, 8(5): 842-846. https://doi.org/10.12677/ASS.2019.85117
1. 幼儿安全感
安全感是个体对身体或心理可能存在危险或风险的预感，以及应对风险或危险时表现出来的有力或无力感，主要表现为确定感和可控制感 [1]。安全感诞生于最初的母婴关系之中，是幼儿发展与成长基础性的心理需要。婴儿从离开母亲子宫那刻，面临外界环境的改变，寻求庇护以获得安全感就成了婴幼儿成长的基本内涵。幼儿安全感主要是指身体以及心理方面的安全感 [2]。身体的安全感主要源自所处环境的稳定与和谐；心理的安全感依赖于良好的亲子关系以及需求的及时满足。
2. 幼儿良好安全感的重要性
2.1. 促进幼儿身心发展
埃里克森的人格发展理论提出，人的发展具有阶段性，每个发展阶段都面临不同的心理危机，能否顺利过渡到下一阶段对孩子的整体成长有着重要而深远的影响 [3]。婴儿一出生则面临着第一阶段的心理冲突，信任对怀疑(0~1.5岁)：婴儿面对陌生世界，没有足够资源能够依靠和信任，自然感到惊慌和不知所措 [4]。如果在这一阶段，婴儿能够得到母亲的爱抚和关怀，自己的需求能够被母亲及时满足和回应，则会更好地适应周围的环境，容易与周围的人建立良好的人际关系，从而建立起基本的安全感和信任感。反之，则会在恐惧和怀疑中成长起来，长期感到内心的不安和矛盾 [5]。因此建立良好的安全感有助于幼儿的身心健康成长，对于维持个体生存与社会生存至关重要。
2.2. 提高幼儿心理健康
心理学家马斯洛和米特尔曼提出的心理健康的十条标准中第一条是：充分的安全感。德国心理学家霍妮也指出，成人尤其是母亲能及时满足孩子的各种生理需求，或者对完成某些活动能给予有效的帮助，幼儿就可获得安全感，拥有稳定的心理环境，促进其心理健康的持续而稳定的发展 [6]。一旦当幼儿感到安全受到威胁时，内心则会产生强烈的危险感与孤立感，处于焦虑和不安的状态之中。而一个长期被焦虑和不安控制的孩子，其生理和心理状况、认知行为方式等都为受到严重影响，表现出身体不适、情绪多变、注意力涣散、思维混乱等症状。使得幼儿无法充分地向着周围世界开放，逐渐形成压抑性的身心姿态。一个人自幼缺乏安全感，也将影响其成年之后的心理健康，并且长期安全感不足带来的内心恐惧感和焦虑感会一直伴随其成长之中，难以消除。
2.3. 帮助幼儿顺利社会化
只有在完成社会化、获得社会意义之后，人才能成为一个真正意义上的人 [6] ，幼儿阶段是人社会化的关键时期。鲍尔比在研究中发现，在教养院和孤儿院长大的幼儿由于早期经历缺少一个稳定的依恋对象，导致安全感的缺失，和正常孩子相比表现出社会化障碍 [6]。当婴儿脱离母体，开始与周围世界建立联系，如果在这个阶段受到母亲持续而稳定的照顾便能产生安全感，逐渐对周围的世界产生信任。在这样安全稳定的环境里，婴儿对外界的东西和自己的感觉做出观察和体会，并且进行认识、分类和解释，然后建立各种关系，尤其是人物和自己的关系，这种关系的认识是孩子社交的心理基础 [7]。通常，当孩子逐渐在早期生长环境中对外界有了可控感，则会增强其安全感。拥有安全感的孩子通常会充满自信，能够较快适应陌生环境，乐于与人交往，能更好地体验到交流和互动的快乐，从而进一步增强其交往的意愿。
家庭教育中幼小衔接的准备研究
A Preparation Study on the Connection between Children and Children in Family Education
DOI: 10.12677/CES.2022.107253, PDF, HTML, XML, 下载:397 浏览:1,117
作者: 郭静静, 詹梦玲：平顶山学院，教师教育学院，河南 平顶山
关键词: 家庭；幼小衔接；幼儿教育；Family； Young Street Meet； Early Childhood Education
摘要: 家庭教育中幼小衔接的准备研究有利于提高家长们教育幼儿的水平，帮助幼儿顺利过度幼小衔接的关键期。本研究通过文献、问卷、访谈并采用SPSS差异分析等方法来探讨家庭教育中幼小衔接准备的现状。研究发现目前家庭教育中幼小衔接的准备处于中等发展水平，但仍存在一些问题。因此幼儿家长应正确认识幼小衔接，树立正确的幼儿教育观。同时从幼儿身体、心理、生活和学习四个方面展开行动。与此同时创造好的家庭环境，做好与幼儿园、小学和社区的联合。
文章引用：郭静静, 詹梦玲. 家庭教育中幼小衔接的准备研究[J]. 创新教育研究, 2022, 10(7): 1586-1596. https://doi.org/10.12677/CES.2022.107253
1. 引言
近年来，由于国家对学龄前教育阶段的重视，社会也慢慢关注到幼小衔接阶段出现的一些教育问题，与此同时政府出台一系列相关的教育政策，使得社会各界人士纷纷致力于有效幼小衔接的策略。《幼儿园教育指导纲要(试行)》明确指出：“幼儿园以家庭、社区密切合作，与小学相互衔接，综合利用各种教育资源，共同为幼儿的发展创造良好的条件。”在2021年，教育部印发《关于大力推进幼儿园与小学科学衔接的指导意见》，加强加快推进幼儿从幼儿园进入小学的衔接准备工作。实践中可以发现，幼小衔接目前来看已经成为国家关注的焦点问题之一。家庭教育是教育的源头，起着促进造就人才的启蒙教育以及指导幼儿人生的终身教育作用，相对社会教育和学校教育而言它是独特且不可替代的。因此，在家庭中开展幼小衔接的相关教育是很有必要的。
2. 家庭教育中幼小衔接的准备研究的调查结果分析
疫情防控期间本次调查研究采用线上发布问卷的方法，研究对象为P市公立、私立幼儿园的大班幼儿家长。研究采用的问卷是在许舒敏编制的《幼小衔接实效性研究——基于家庭教育的视角》的基础上改编而成。问卷从大班幼儿家长的角度入手，对幼儿家长关于幼小衔接的相关理念和实际生活中的培养方式进行系列调查，一共随机发放205份，作为分析的依据，但是其中共有3份问卷不符合实际有效问卷的要求，未加到总的分析数据中，因此最终有效问卷为203份，有效回收率达到99.02%。通过对SPSS的运用分析得出本次问卷的信度Cronbach为0.938，效度KMO值为0.908，满足信度和效度的要求。以下是问卷调查的基本状况，见表1，主要从幼儿性别、是否为独生子女、家长角色、是否为留守儿童、家长学历水平和家庭住址这六大维度来展开。
3. 家庭教育中幼小衔接准备研究的讨论分析
3.1. 家庭教育中幼小衔接的准备整体处于良好发展态势
家庭教育中幼小衔接的准备整体处于良好发展态势。通过调查发现可能以下几种可能。第一，国家对教育事业的高度重视。教育部针对幼小衔接阶段出现的一系列问题来建立健全机制，推动科学、有效衔接。第二，社会经济的快速发展，家庭经济实力日趋提升，全体家庭齐奔小康，在这个物质前提下，家长们会将更多的精力投入幼儿的教育实践中。第三，家长学历与素质的提高。新时期我国的教育更加普及，义务教育势不可挡，教育规模和质量都有了空前的提升。
3.2. 家庭教育中幼小衔接准备研究在变量上的讨论分析
3.2.1. 留守儿童在家庭教育中幼小衔接的准备发展上不充分
分析发现，存在以下几种可能。第一是留守儿童一般住在乡镇地区，自然环境资源更加丰富，幼儿活动空间较大，在健康和运动发展方面均值较非留守儿童高。第二，年轻家长相较老年人来讲，教育理念更加完整科学，思想接受能力也更强。他们更加关注幼儿的语言认知、学习习惯和能力发展以及幼儿即将进入小学的心理变化，及时根据幼儿出现的问题给予指导。
3.2.2. 男性在承担家庭教育中幼小衔接准备发展的责任方面不够努力
通过调查，发现存在以下几种原因。一是我国古代一直强调“男耕女织，男主外女主内”这种传统小农意识，社会对男性的期望值往往高于女性。因此女性一般在家相夫教子，男性父亲的角色更多是为家庭提供经济来源。二是女性心思细腻，更为耐心，比较适合教导幼儿。男性性格一般更暴躁，粗心，相比女性来讲没有耐心，很难开展家庭中幼儿的教育。
3.2.3. 低学历家长在家庭教育中幼小衔接的准备尚不够充分
研究发现，存在以下几种可能。一是低学历家长更可能从事简单的体力劳动，工作繁忙且工作量大，家长们没有足够的精力再去进行家庭中的教育。二是低学历的家长们接受新观念和思想的能力还不够强，对所谓流行的家庭教育方法没有辨别优劣的能力。
3.2.4. 城乡地区家庭教育在幼小衔接的准备质量发展还不够充分
通过研究分析发现，存在以下两种可能。一是经济基础决定上层建筑，经济发达地实力强盛，更能吸引优秀人才入驻，教育资源更加集中优化，教育水平更高。而处于城乡的教育水平就明显落后，优秀教师少，教育资源也相对薄弱。二是由于经济因素，许多年轻爸妈们外出务工，农村里多为“留守儿童和留守老人”，这也限制了家庭教育的展开。
基于我国各地区普通高等教育发展状况分析
Based on the Analysis of the Development Status of General Higher Education in Various Regions of Our Country
DOI: 10.12677/SA.2021.101003, PDF, HTML, XML, 下载:1,102 浏览:2,467
作者: 吕黄铭：云南财经大学，云南 昆明
关键词: 教育水平；聚类分析；类平均法；Ward方法；平等教育；Education Level； Cluster Analysis； Class Average Method； Ward Method； Equal Education
摘要: 我国经济水平快速发展，但一些地区经济发展水平还是不平衡，特别是教育水平存在明显的差异，本文就30个省份的教育水平进行分析，主要通过类平均法还有Ward方法对数据进行聚类，首先需要找好数据，建立好模型，之后运用SPSS的聚类分析得出结论，来探讨教育发展的情况，通过分析发现我国的教育水平发展十分不均衡。因此，国家还有政府应该采取措施改善教育发展的情况，让每个孩子都有享受平等教育的机会。
文章引用：吕黄铭. 基于我国各地区普通高等教育发展状况分析[J]. 统计学与应用, 2021, 10(1): 21-30. https://doi.org/10.12677/SA.2021.101003
1. 引言
教育公平是整个社会还有人类赖以发展的基础，只有教育平等，人权才平等，思想境界才能提高，国家才能有文化核心竞争力，才能够创新，屹立于世界。只有坚持教育，让教育平等，才能加速全面建成小康社会。因此，我们必须对不同省份的教育水平做一个分析了解，让中央教育局知道需要制定怎样的教育政策，提供怎样的教育资源，可以帮助同学们快速发展，本文运用聚类分析进行聚类，得出哪些城市的教育水平比较好，哪些城市还需要加强，进而促进教育平等，社会和谐有序地发展。
2. 现状分析
在现在这样一个卧虎藏龙的时代，我认识到一些很多接受教育资源比我好的同学，的确他们在社会这场竞争中就是处于一个优势的状态，你不得不感叹他们的学识还有气质就是比你优秀。其实这归根于区域经济发展不均衡带来的负面影响，作为一个13亿人口的中国大国，在贫富差距如此悬殊，区域经济发展、教育资源分配如此不均衡的情况下，如果不着手从根本上解决区域发展不均衡，教育水平不平等，任由发展下去是会阻碍社会的健康发展，不利于国家的进步。如果经济发展成果不能由全体人民共享，而是集中在少数人少数地区的人民垄断，在经济全球化过程中利益受损的人很可能会做出一些无理还有极端的行为表达自己的不满，近年来欧洲右翼政党纷纷登上政治舞台、“英国脱欧”、“特朗普现象”、“贸易保护主义”等频频出现的根源就在于经济全球化的发展成果被少部分地区还有少部分的集团垄断，“红脖子们”未能共享经济发展的成果，偏远山区还有省份未能享受到平等的教育环境。其实，每一个孩子都应该拥有接受同能优质教育的权力，每一个省份的经济发展，教育的硬件措施都应该平等对待，这也是人类几千年来一直追求的境界“大道之行，天下为公”，而不是像一些西方国家一样用所谓的“快乐教育”和学费高昂的“精英教育”通过种种看得见的看不见的制度和套路实现安排“龙生龙，凤生凤”的阶级固化，只有从解放人民的思想，发展文化，社会才能实现大同。
3. 研究目的和意义
受教育的机会应该是平等的，不应该出现由于经济的差异出现不平等的现象。因此需要迫切了解每个省的教育水平，教育资源情况，国家根据相应的分析制定合理的政策，帮助一些省份地区教育水平的发展、提高。只有坚持教育平等，赋予每个受教育者同等教育的机会，才能促进社会成员的潜能、积极性和创造力，才能提高全员的素质，也不会说出现“老人摔倒该不该扶”，“豆腐渣工程”、“江歌案”等道德缺失，教育缺失的事件。教育兴则国兴，教育强则国强，习近平主席也一直强调教育发展的战略核心地位，教育上来了，自然国家水平就上来了，人民生活水平提高，进入全体富裕，加快全面进入到社会主义现代化社会。
高职教育成本分担机制研究
Study on Cost Sharing Mechanism of Higher Vocational Education
DOI: 10.12677/AE.2023.13121524, PDF, HTML, XML, 下载:616 浏览:829 科研立项经费支持
作者: 邱向英, 宾扬帆, 周纳宇：湖南环境生物职业技术学院商学院，湖南 衡阳；蔡 青：湖南环境生物职业技术学院学生工作部，湖南 衡阳
关键词: 高职教育；教育成本；分担机制；问题；对策；Higher Vocational Education； Education Costs； Sharing Mechanism； Problem； Countermeasure
摘要: 为了探索高职教育成本分担机制如何更好地服务于高职教育质量、效率和公平性的提升，本文研究了我国高职教育的现状、存在的问题，以及通过资源共享、校企合作和产教融合等策略探讨如何提高教育效益。结果表明，与其他高等教育机构及中职学校进行合作与共享资源，能够大幅度降低重复投资，提升资源利用率，同时校企合作和产教融合也是有效降低高职教育成本、提高教育效果的方法。因此，建议高职院校进一步深化合作与资源共享，制定合理的财政策略，积极争取更多的社会支持，以推动高职教育质量和效益的持续提升。
1. 引言
高职教育是培养高素质技术技能人才的重要途径，是推动社会经济发展和科技创新的重要力量。随着我国经济转型升级和产业结构调整的深入推进，高职教育面临着更高的质量要求和更大的发展空间。然而，高职教育的发展也面临着一些突出的问题，其中之一就是教育成本分担机制不合理，导致财政投入不足、学费标准不合理等问题，影响了高职教育的质量、效率和公平。因此，探讨和优化高职教育成本分担机制，是提升高职教育水平和服务能力的重要课题。
2. 我国高职教育成本分担现状及存在的问题
2.1. 我国高职教育成本分担现状
2.1.1. 我国财政性高职教育经费投入现状分析
根据教育部、国家统计局、财政部官网发布的数据，2021年，全国财政性高职教育经费为45835.31亿元，比上年增长6.82%；其中，一般公共预算安排的高职教育经费为37463.36亿元，比上年增长5.17%。从生均财政性高职教育经费来看，2021年，全国生均财政性高职教育经费为3.14万元，比上年增长2.35%；其中，生均一般公共预算高职教育经费为2.17万元，比上年增长1.89%。从这些数据可以看出，近年来，我国财政性高职教育经费总体上呈现增长趋势，体现了国家对高职教育的支持力度。然而，与高职教育快速发展和人才培养需求相比，我国财政性高职教育经费仍然存在不足。
2.1.2. 我国个人分担高职教育成本现状分析
根据教育部、国家统计局、财政部官网发布的数据，2021年，全国高职(专科)院校生均学费收入为1.04万元，比上年增长5.05%；生均住宿费收入为0.23万元，比上年增长4.55%。从个人分担高职教育成本占比来看，2021年，全国高职(专科)院校生均个人分担成本占总成本的比重为32.9%，比上年下降0.3个百分点；其中，生均学费收入占总成本的比重为26.1%，比上年下降0.4个百分点；生均住宿费收入占总成本的比重为5.8%，与上年持平。从这些数据可以看出，近年来，我国个人分担高职教育成本总体上呈现稳定趋势，体现了国家对高职教育的补贴力度。然而，与发达国家相比，我国个人分担高职教育成本仍然较高。
从横屏到竖屏：新媒体时代视频广告的营销策略新探
From Landscape Screen to Portrait Screen: Exploring the Marketing Strategy of Video Advertising in the New Media Era
DOI: 10.12677/ecl.2025.1441059, PDF, HTML, XML, 下载:306 浏览:442
作者: 王佳敏：贵州大学传媒学院，贵州 贵阳
关键词: 新媒体；视频广告；营销传播；New Media； Video Advertising； Marketing Communication
摘要: 在传统媒体时代，视频广告普遍采用横屏展示形式。然而，近年来，随着移动终端的普及，新媒体中的视频广告呈现出竖屏展现的新趋势。新媒体时代的视频广告具有互动性强、主体突出、叙事简单等特征。面对传播载体和传播环境的变化，新媒体时代的视频广告主要采用病毒营销、口碑营销、精准营销等新媒体营销方式。其中，企业通过病毒营销提升品牌知名度，口碑营销维系品牌忠诚度，精准营销提升消费者购买度。 Abstract: In the era of traditional media, video advertising generally adopts the form of landscape screen display. However, in recent years, with the popularity of mobile terminals, video advertisements in the field of new media show a new trend of vertical screen display. Video advertising in the era of new media has the characteristics of strong interactivity, a prominent subject and a simple narrative. In the face of the changes in communication carriers and the communication environment, video advertising in the new media era mainly adopts new media marketing methods such as virus marketing, word-of-mouth marketing and precision marketing. Among them, enterprises enhance brand awareness through viral marketing, word-of-mouth marketing maintains brand loyalty, and precision marketing improves consumers’ purchase degree.
文章引用：王佳敏. 从横屏到竖屏：新媒体时代视频广告的营销策略新探[J]. 电子商务评论, 2025, 14(4): 1686-1691. https://doi.org/10.12677/ecl.2025.1441059
1. 引言
近年来，随着移动终端的普及，短视频迅速兴起。人们对于视频的观看习惯逐渐由电视、电影等固定终端转向了以智能手机为代表的移动终端，视频规格也由传统的横屏转向了竖屏。基于这种转向，学界关于竖向视频的研究也相继展开。目前，学界有关竖屏的分析研究主要集中于横屏与竖屏表意机制的不同、竖屏视频的内容特征与视觉美学、主流媒体的竖屏创作策略、竖屏视频的运用类型以及竖屏视频的未来发展趋势等多个方面。在前人的研究基础上，本文以移动终端的普及为背景，聚焦于新媒体时代的广告营销，对竖向视频广告的营销策略进行探析。
2. 从横屏到竖屏：视频广告传播载体之变
所谓“广告”，即“广而告之”，广义的广告指具备广告基本特征的所有广告活动，而狭义的广告特指商业广告，即以营销和赢利为目的的商品信息传播活动。广告的划分形式多样，按广告的信息传播区域划分，可以分为国际性广告、全国性广告和地区性广告；按广告的最终目的划分，以营利为目的的是商业广告，不以营利为目的的非商业广告；按广告的传播媒介划分，可以分为报纸广告、广播广告、电视广告、新媒体广告等等。
传统媒体与新媒体的广告呈现方式存在差异。传统媒体时期的视频广告传播载体主要是电视、固定广告牌等，主要以横屏呈现，而新媒体时期的视频广告传播载体主要是以智能手机为代表的移动智能终端，主要以竖屏呈现。本文按其不同的视觉呈现形式进行划分，将其分为横屏广告和竖屏广告。由于从横屏到竖屏转变的影响主要体现在影像中，故而本文对竖屏广告的探讨主要集中于视频类广告中，下文提到的竖屏广告和横屏广告主要是指竖向视频广告和横向视频广告。
2.1. 横屏广告
自影像诞生以来，影像的生产就主要是以横屏为主的，承载影像的电影、电视、电脑等媒介也都是以横屏出现的。在移动媒介终端没有得到普及之前，视频类广告主要投放在电视、电影中，故而视频类的广告也主要以横屏形式呈现。目前横屏广告主要采用的是16:9或者4:3的屏幕长宽比，依然主要在电视、电影等横屏载体中投放。但由于移动终端的普及，部分面向横屏终端的横向视频广告也被投放到以竖屏视觉呈现为主的移动智能终端中，于是便出现了“竖屏载体，横向展现”的广告形式。
2.2. 竖屏广告
竖屏视频是以智能手机为代表的移动终端出现后才逐渐出现并普及的视频格式，视频类广告也随之出现竖屏呈现趋势，竖屏广告常用的是9:16的屏幕长宽比，主要在抖音、快手等短视频APP中投放。需要说明的是，竖屏呈现的广告并不是在移动媒介普及后才出现的，而是传统媒体时期就有的形式，如海报、个人启事等就是以竖屏展现的，它们大多是以图文结合的纸质形式出现，视频类较少。2024年12月26日，秒针营销科学院联合全球数字营销峰会GDMS、营销智库M360共同发布了《2025中国数字营销趋势报告》，该报告对中国2025年的营销市场发展趋势做了预测。数据显示，移动互联网将是广告主的主要增投媒介，占比55%，而短视频是互联网端广告主的主要增投资源，占比高达67% [1]。视频类广告继续强势增长，以短视频为代表的竖屏广告成为广告业发展的新动向。
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请将以上7篇学术论文摘要按主题聚类为下面四大类。先输出“[答案]”标识符，再按行输出每类的聚类结果，格式为“类型字母 百分比%（四舍五入保留两位小数）”，一行一个类别，不要输出任何其他内容。
A 儿童/青少年与学校-家庭教育相关
B 基础心理机制与理论综述
C 高等/职业教育与管理教学相关
D 成人消费者/社会媒体与营销相关
输出示例：
[答案]
A 25.00%
B 37.50%
C 25.00%
D 12.50%
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请将以上7篇学术论文摘要按主题聚类为下面四大类。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出每类的聚类结果，格式为“类型字母 百分比%（四舍五入保留两位小数）”，一行一个类别，不要输出任何其他内容。
A 儿童/青少年与学校-家庭教育相关
B 基础心理机制与理论综述
C 高等/职业教育与管理教学相关
D 成人消费者/社会媒体与营销相关
输出示例：
<你的思考过程>
[答案]
A 25.00%
B 37.50%
C 25.00%
D 12.50%
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[
"A 28.57%",
"B 28.57%",
"C 28.57%",
"D 14.29%"
] |
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4b1be6d488dcbe3c2f17294fd724fbe3e9fbce65fb2c96a2708d75cf24fdb283
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书名：疠疡机要
作者：薛己
朝代：明
年份：公元1368-1644年
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<篇名>序
属性：夫医犹理也，医之有疡医，犹理之有兵也。善为理者，正其五官，齐其百司，使纪纲法
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非理之所尚也，将藉之以除乱也。彼其平居无事之时，而吾所以弭乱之本，既已缜密完固，
而无所疏漏，一旦有急则除之而已耳。故兵虽试而国家之元气不亏，医之为道也亦然。方其
病在腠理也，汤液之所及也。其在肠胃也，湔浣之所及也。若夫隆然皮肤之间，甚至不可名
状者，彼何为哉，其能不攻刺乎！其能不搏击乎！顾攻有守而后攻，击有备而后击。苟不谛
其
癣之疾，将不为腹心之患者几希，噫，可不慎乎。故明于理者，可与语医也。已世之以疡名
家者多矣，然孰有如我立斋先生者耶。盖先生以岐黄世业，旁通诸家，微词颐旨，靡不究竟
。其言以为不知外科者，无以通经络之原委。不精《内经》者，无以究阴阳之变合。内外殊
科，其揆一也。故其视病不问大小，必以治本为第一义。无急效，无近期，纾徐从容，不劳
而病自愈。间出《疠疡机要》一编，属其友沈生梓之以传。沈生读之，大率以己意而订古方
，以医案而验治效，以调补为守备之完策，以解利为攻击之权宜。盖不出乎庙堂之讦谟，而
坐得夫催陷廓清之术。假令业医者而执是焉，既不病于滞而不通，又不病于肤而无本，奚至
攻其所习，而毁所不见耶。噫！若先生者可谓医而通于理者矣。是录也，顾不可传哉。或者
曰∶诚若所言，则内外医分门异业者非欤。周官有疾医、疡医二职，并存何也？曰∶非是之
谓也。昔秦越人之为医也，闻秦贵小儿则小儿医，赵贵妇人则带下医，周贵老人则耳目痹医
。一医而三习，非其术诚奇幻，理固不殊也。若周官所存，则以其职言耳，岂知后世判为两
途，绝不相通者哉。古之任官，居则为命卿，而出则为命将。夫一人也，而理与兵兼焉，孰
谓内外医果不相通者哉。
\x嘉靖岁甲寅中秋，秀州沈启原道卿甫着。\x
<目录>
<篇名>上卷
属性：《内经》云∶风气与太阳俱入行诸脉，俞散于分肉之间，与卫气相干，其道不利，故使
肌肉
色
灵枢经》以锐针刺肿上出恶血。近代先哲云∶感天地肃杀恶气所致，其上体先见或多者，毒
在上也；下体先见或多者，毒在下也。盖气受邪则上多，血受邪则下多，气血俱受，则上下
齐见。若眉毛先落者毒在肺，面发紫泡者毒在肝，脚底先痛或穿者毒在肾，遍身如癣者毒在
脾，目先损者毒在心，此五脏受症之重也。一曰皮死麻木不仁，二曰肉死针刺不痛，三曰血
死烂溃，四曰筋死指脱，五曰骨死鼻柱坏，此五脏受伤之不可治也。若声哑目盲，尤为难治
。大抵此症，多有劳伤气血，腠理不密，或醉后房劳沐浴，或登山涉水，外邪所乘，卫气相
搏，湿热相火，血随火化而致，故淮阳岭南闽间多患之。治当辨本症、兼症、变症、类症、
阴阳虚实而治焉。若妄投燥热之类，脓水淋漓，则肝血愈燥，风热愈炽，肾水愈伤，相火愈
旺，反致败症矣。
<目录>上卷
<篇名>本症治法
属性：一疠疡所患，非止一脏，然其气血无有弗伤，兼症无有弗杂，况积岁而发现于外，须分
经络
经云∶真气夺则虚，邪气胜则实。凡云病属有余，当认为不足。
一疠疡当知有变有类之不同，而治法有汗有下有砭刺攻补之不一。盖兼症当审轻重，变
症当
。盖虚者形气虚也，实者病气实而形气则虚也。
一疠疡砭刺之法，子和张先生，谓一汗抵千针。盖以砭血不如发汗之周遍也，然发汗即
出血
毒蕴结于脏，非荡涤其内则不能痊。若毒在外者，非砭刺遍身患处，及两臂腿腕两手足指缝
各出血，其毒必不能散。若表里俱受毒者，非外砭内泄其毒，决不能退。若上体患多，宜用
醉仙散，取其内蓄恶血于齿缝中出，及刺手指缝并臂腕，以去肌表毒血；下体患多，宜用再
造散，令恶血陈虫于谷道中出，仍针足指缝并腿腕，隔一二日更刺之，以血赤为度。如有寒
热头疼等症，当大补血气。
一疠疡服轻粉之剂，若腹痛去后兼有脓秽之物，不可用药止之。若口舌肿痛，秽水时流
，作
血发热，而大便秘结，此为热毒内淫，宜用黄连解毒汤。若大便调和，用济生犀角地黄汤。
若秽水虽尽，口舌不愈，或发热作渴，而不饮冷，此为虚热也，宜用七味白术散。
一疠疡手足或腿臂或各指拳挛者，由阴火炽盛，亏损气血，当用加味逍遥散加生地黄及
换肌散兼服。
一疠疡生虫者，五方风邪翕合，相火制金，木盛所化，内食五脏，而症见于外也。宜用
升麻
肝经虚热者，佐以加味逍遥散、六味地黄丸。
一疠疡久而不愈，有不慎起居饮食，内火妄动者；有脏腑伤损，气血疲乏者；有用攻伐
之物，气血愈亏者；有不分兼变相杂，用药失宜者；有病患讳疾忌医者。
一疠疡愈而复发，有不戒浓味，内热伤脾者；有不戒房劳，火动伤肾者；有不戒七情，
血气
。
<目录>上卷
<篇名>兼症治法
属性：一头目眩晕，若右寸关脉浮而无力，脾肺气虚也，用补中益气汤。若左关尺脉数而无力
，肝
物汤加参、苓、白术；气虚者，四君子汤加当归、黄 ；肝经实热者，柴胡清肝散；肝经虚
热者，六味地黄丸；脾气虚弱者，补中益气汤；脾虚有痰者，半夏、白术、天麻汤；砭血过
多者，芎归汤；发热恶寒者，圣愈汤；大凡发热则真气伤矣，不可用苦寒药，恐复伤脾胃也
。
一口 目斜，若手足牵搐，或眉棱痒动，属肝经血虚风热，用加味逍遥散、六味地黄丸
，以
肝血；若筋挛骨痛，或不能动履，用六味地黄丸、补中益气汤，以滋化源；若因服燥药而致
者，用四物汤，加生甘草、金银花，以解热毒、益阴血。凡此俱属肝经血燥所致，须用六味
地黄丸、补中益气汤为主；若因怒气房劳而甚者，用六味地黄丸、十全大补汤为主；若因劳
伤形体而甚者，用补中益气汤、十全大补汤为主。
一夏秋湿热行令，若饮食不甘，头目眩晕，遍身酸软，或两腿麻木，口渴自汗，气促身
热，
气高而喘，身热脉大，元气内伤也，用补中益气汤；若呕吐少食，肚腹痞闷，大便不实，脾
胃受伤也，用六君子汤；若胸腹不利，饮食少思，吐痰不止，脾胃虚痞也，用四君子汤；若
形气倦怠，肢体麻木，饮食少思，热伤元气也，用人参益气汤。
一热渴便浊，若夜安昼热者，热在气分也，用清心莲子饮；昼安夜热者，热在血分也，
用四物二连汤，俱佐以六味地黄丸；若寒热往来者，肝经血虚也，用加味逍遥散、六味地黄丸。
一小便不利，若因服燥药而致者，用四物汤，加炒黑黄柏、知母、生甘草，以滋阴血；
若频数而色黄者，用四物汤，加参术、麦门、五味子，以生血气；若短而色黄者，用补中益气汤
，加山药、麦门、五味、以滋化源。经云∶无阴则阳无以生，无阳则阴无以化。
一大便不通，若血虚内热而涩滞者，用四物汤，加麦门、五味子，以生血润燥；若因燥
热之药而患者，用四物汤，加连翘、生甘草，以生血清热；若服克伐之药而致者，用四君子汤，
加芎、归以助气生血；若作渴饮冷者，热淫于内也，用竹叶石膏汤，以清胃火；若作渴饮汤
者
，以凉血润燥；若肠胃满燥，燥在直肠而不通者，用猪胆汁导之；肠胃气虚，血涸而不通者
，用十全大补汤；若肝胆邪盛，脾土受侮而不能输化者，用小柴胡汤加山栀、郁李仁、枳壳
治之。
一怔忡无寐，或兼衄血便血，若内热晡热，作渴饮汤，肢体倦怠，此脾血虚而火动也，
用四
神、远志；若因心血虚损，用柏子仁散。大抵此症皆心脾血少所致，但调补胃气，则痰清而
神自安，不必专于清热治痰。
一发热恶寒，若肢体倦怠，烦躁作渴，气高而喘，头痛自汗者，此内伤气血也，用补中
益气
益胃汤。烦躁作渴，体倦少食，或食而不化者，此脾气虚热也，用六君子汤。
一发热在午前，脉数而有力者，气分热也，用清心莲子饮。脉数而无力者，阳气虚也，
用补
用四物汤加参、术。热从两胁起者，肝虚也，用四物汤加参、术、黄 。从脐下起者，肾虚
也，用四物汤加参、术、黄柏、知母、五味、麦门、肉桂，或六味丸。其热昼见夜伏，夜见
昼止，或去来无定时，或起作无定处，或从脚起者，此无根虚火也，须用加减八味丸，及十
全大补汤，加麦门、五味，更以附子末唾津调搽涌泉穴。若形体恶寒喜热饮食者，阳气虚寒
也，急用八味丸。
一口干，若恶冷冻饮料食者，胃气虚而不能生津液也，用七味白术散。若喜冷冻饮料食者，胃火
盛而消
因汗下之后而有前患，胃气虚也，宜用八珍汤主之。
一作渴，若烦躁饮冷者，属上焦实热，用凉膈散。兼大便秘结者，属上焦实热，用清凉
饮。若用克伐之药而渴者，气血虚也，急用八珍汤六味丸。
一耳聋耳鸣，若左寸关脉弦数者，心肝二经虚热也，用四物汤加山栀、柴胡生阴血。右
寸关
加山栀、芎、归清肝凉血。若午前甚用小柴胡汤加参、 、归术补气清肝。午后甚用四物汤
加酒炒黑黄柏、知母、五味补阴降火。如两足心热属肾虚，用六味丸以壮水之主。两足冷属
阳虚，用八味丸以益火之源。
一项强口噤，腰背反张者，气血虚而发痉也。仲景张先生云∶足太阳病发汗太多则痉，
风病
涩血，故无汗而恶寒，曰刚痉。皆因内虚复汗亡津血，筋无所养而然，悉属虚象，非风症也
，当大补气血为主。故产妇溃疡，劳伤气血，湿热相火，误服克伐之剂者多患之，其义可见
。近以痉为 传写之误也。
一妇女经闭，若因郁火伤脾，以归脾汤加山栀、丹皮。气血俱虚，以八珍汤加山栀、丹
皮。
先期而来者，血虚热也，四物汤倍加参、术、牡丹皮。将来而作痛者，气虚血滞也，四物
汤
虚也，用八珍汤。其血崩之症，肝火不能藏血者，用加味逍遥散。脾虚不能统血者，用补中
益气汤。凡此皆六淫七情，亏损元气所致，当审其因而调补胃气为主。
<目录>上卷
<篇名>变症治法
属性：一身起疙瘩搔破，脓水淋漓，若寒热往来者，肝经气血虚而有火也，用八珍散加丹皮、
柴胡
全大补汤。若肌肤搔如帛隔者，血气不能外荣也，用人参养荣汤。若面部搔之麻痒者，气
血
黄丸。
一口舌生疮，或咽喉作痛，若饮食喜冷，大便秘结者，实热也，用四顺清凉饮。肌热恶
热，
从下或从足起者，肾虚热也，用加减八味丸。若饮食难化，四肢逆冷者，命门火衰也，用八
味地黄丸。
一牙齿作痛，或牙龈溃烂，若喜寒恶热，属胃火，加味清胃散为主。恶寒喜热，属胃虚
，补中益气汤为主。
一自汗盗汗。盖自汗属气虚，盗汗属血虚，自汗用补中益气汤，送六味地黄丸。盗汗用
当归
枣仁。
一唾痰或作喘，若右寸脉浮缓者，肺气虚也，用六君子汤加桔梗。右寸脉洪滑者，肺经
有热
洪滑迟缓者，脾热传肺也，用泻白泻黄二散。右尺脉微弱者，命门火衰而脾肺虚也，用人参
理中丸，如不应，用八味地黄丸。右寸脉洪数者，心火克肺金也，用人参平肺散，如不应，用六味地黄丸
。左寸关脉洪弦数者，心肝二经有热也，用柴胡清肝散，如不应，佐以牛黄清心丸，清其风
热，仍用六味地黄丸，以镇阳光。左尺脉数而无力者，肾虚而水泛上也，用六味地黄丸，加
五味子以滋阴。如脉微细，或手足冷，或兼喘促，急用八味地黄丸以补阳。
一舌赤裂或生芒刺，兼作渴引饮，或小便频数，不时发热，或热无定处，或足心热起者
，乃
殁。
一口舌生疮，作渴不止，不时发热，或昼热夜止，或夜热昼静，小便频数，其热或从足
心，
以十全大补汤。若误用寒凉治火之剂，复伤脾胃，胸腹虚痞，饮食少思，或大便不实，小便
不利，胸腹膨胀，肢体患肿，或手足俱冷者，此足三阴亏损之虚寒症也，急用加减金匮肾气
丸，亦有复生者。
一肚腹肿胀，若朝宽暮急，属阴虚；暮宽朝急，属阳虚。朝暮皆急，阴阳俱虚也。阳虚
者，
者，朝用八味地黄丸，夕用补中益气汤。若肚腹痞满，肢体肿胀，手足并冷，饮食难化，或
大便泄泻，口吸气冷者，此真阳衰败，脾肺肾虚寒不能司摄，而水泛行也，急用加减肾气丸
，否则不救也。
一发热恶寒，若寸口脉微，名阳气不足，阴气上入阳中，则恶寒也，用补中益气汤。尺
部脉
湿热所乘，属形气虚而病气实也，当专补阳气，用补中益气汤。若发热大渴引饮，目赤面红，
此血虚发热，属形病俱虚也，当专补阴血，用当归补血汤。
一发热作渴，若右寸关脉浮大而无力者，脾肺之气虚也，用补中益气汤。数而有力者，
脾肺
数而无力者，命门火衰也，用八味地黄丸。左寸关脉数而有力者，心肝之气热也，用柴胡栀
子散。数而无力者，心肝之气虚也，用六味地黄丸。尺脉数而无力者，肾经虚火也，用加减
八味丸。大凡疮愈后口渴，或先渴而患疮，或口舌生疮，或咽喉肿痛，或唇裂舌黄，目赤痰
涎上涌者，皆败症也，非此丸不能救。
一眼目昏弱，或内障黑花，属血虚神劳，用滋阴肾气丸。若视物无力，或见非常之状，
属阴
倦，或肌肤麻木，属脾肺气虚，用神效黄 汤。若至夜目暗，灯下亦暗，属阳虚下陷，用决
明夜灵散。若眼暗体倦，内障耳鸣，属脾胃气虚，用益智聪明汤。盖五脏六腑之精气，皆禀
受于脾土，上贯于目，脾为诸阴之首，目为血脉之宗，当补脾土为善。
一衄血吐血，若左寸关脉数而无力，血虚也，四物加参、术，浮而无力气虚也，补中益
气汤
无力者，肺胃虚热也，先用济生犀角地黄汤，后用四物汤加参、苓、白术。尺脉数无力阴虚
也，用六味地黄丸。若面黄目涩眵多手麻者，脾肺虚也，用黄 芍药汤。
一饮食少思，若因胃气虚而不能食，用四君子汤。若因脾气虚而不能化，用六君子汤。
大便
胃气虚热也，用五味异功散。喜冷冻饮料食，胃气实热也，用泻黄散。
一带下，因经行产后，外邪入胞，传于五脏，而致之。其色青者属于肝，用加味逍遥散
加防
散。色赤者属于心，用小柴胡汤加黄连、山栀、当归。思虑过伤者，用妙香散、六味丸。色
白者属于肺，用六味丸、补中益气汤加山栀。色黄者属于脾，用六味丸、六君子汤加山栀、
柴胡，不应，用归脾汤。色黑者属于肾，用六味丸。气血俱虚，用八珍汤。阳气下陷，用补
中益气汤。湿痰下注，前汤加茯苓、半夏、苍术、黄柏，气虚痰饮，四七汤送六味丸。若病
久元气下陷，或克伐所伤，但壮脾胃升阳气为善。若拘于人之肥瘦，而用燥湿泻火之药，反
伤脾胃，为害不浅。
一二便下血，若右关脉浮数，气虚而热也，用四君子加升麻、当归。尺脉浮大或微弱，
元气
浮大，气虚也，用四君子汤加升麻、炮姜。尺脉洪数或无力者，肾虚也，用六味地黄丸。若
因房劳，伤损精气，阴虚火动，而小便下血，诸血病者，不问脉症百端，但用前丸料煎服为
善。
一泄泻在五更或侵晨，乃脾肾虚，五更服四神丸，日间服白术散，或不应，或愈而复作
，急用八味丸，补命门火，以生脾土，其泻自止。
一大便不通，属脾肺亏损，大肠津液干涸，或血虚火铄，不可计其日期，饮食数多，必
待腹
通而不止，或成中痞之症。若气血虚者，用八珍汤加麻子仁。肠胃虚者，用补中益气汤加麻
子仁。肾液不能滋润，用六味地黄丸加麻子仁。若浓味积壅，小便淋秘者，肝肾虚也，用六
味地黄丸，以滋肾水；用补中益气汤，以补脾胃。若发热晡热，用六君子汤、加味逍遥散，
养阴血，清风热。若兼筋骨痛，先用透经解挛汤、秦艽地黄汤，后用八珍散加牡丹皮、柴胡
主之。若误服风剂而伤阴血者，用易老祛风丸，若两股或阴囊或两足，必用四生散、地黄丸
为善。若误服草乌、川乌之类，或敷巴豆、砒石等味，肌肉腐溃，反成疠症，治者审之。
一面赤搔痒，或眉毛脱落，属肺经风热，用人参消风散、桦皮散；气虚用补中益气汤，
加天
用小柴胡汤加山栀、丹皮、钩藤钩，后用加味逍遥散。凡症属肝经，血燥生风，但宜滋肾水
生肝血，则火自息风自定痒自止矣。
一遍身疙瘩，或瘾疹搔痒，此风热伤血，用羌活当归散，气虚者佐以补中益气汤加山栀
、钩
，此风热而秘涩，用清胃散加芍药。盖肾开窍于二阴，精血不足，则大便秘塞而不通矣，须
用六味地黄丸、补中益气汤，以滋化源。
一小便不利，若不渴而不利者，热在下焦血分也，用滋肾丸。渴而不利者，热在上焦气
分也，用清肺散。肾经阴虚而不利者，用六味地黄丸。热结膀胱而不利者，用五淋散。
元气虚而不能输化者，用补中益气汤。脾肺之气燥而不能化生者，用黄芩清肺饮。若转
筋便闭气喘，不问男女孕妇，急用八味丸，缓则不救。
一白浊，足三阴经主之，属浓味湿热所致者，用加味清胃散。肝肾虚热者，用六味地黄
丸为
脾气虚者，六味丸佐以补中益气汤。湿痰下注者，益气汤佐以六味丸。
<目录>上卷
<篇名>疠疡类症
属性：（类症者与疠形状相似而所因不同也）
一两 如癣，搔痒久则脓水淋漓，或搔起白皮者，名肾脏风也，用四生散以祛风邪，用
六味
用羌活白芷散、加味逍遥散。气虚者，佐以补中益气汤加皂角刺、钩藤钩。血虚者，佐以八
物汤加柴胡、牡丹皮或加味逍遥散兼服。
一肢体或腿臂腕间患 ，而游走不定者，赤曰赤游风。白曰白游风，为血虚阴火内动
，外
逍遥散、六味地黄丸。
一遍身或头面起疙瘩，或如霞片，或破而脓水淋漓，或痒痛寒热，乃肝火血虚也，用加
味逍
室也，用小柴胡汤加山栀、生地黄。血虚者，四物合小柴胡汤，病退，却用逍遥散，以健脾
胃生阴血。此症多有因怒气而发者，治当审之。
一妇人肢体瘾疹疙瘩，搔破成疮，脓水淋漓，热渴眩晕，日晡益甚者，用四物汤加柴胡
、山
。若自汗盗汗，月水不调，肚腹作痛，用八珍汤、六味丸。若食少体倦，心忪盗汗，经闭寒
热，用八珍汤，佐以加味逍遥散。若病久元气怯弱，用十全大补汤，佐以归脾汤。
一女子十三四或十六七，而天癸未至，或妇人月经不调，发赤 痒痛，此属肝火血热，
用小柴胡汤加山栀、生地黄、牡丹皮、防风。
一生虫者，乃相火制金不能平木而化耳，非风邪所生也。但滋肾水生肝血，或佐以灸承
浆之类，说见本症。
一敷砒霜，患处作痛，或腐溃，用湿泥频涂换之。若毒入腹，胸膈苦楚，或作吐泻，饮
冷米醋一二杯即止，多亦无妨，生绿豆末、芝麻油俱可。
一敷贴雄黄药，闷乱或吐泻，用防己煎汤解之。
一服辛热药，而眉发脱落者，乃肝经血伤而火动，非风也，用四物汤、六味丸，以滋肝
血、生肾水。
一服川乌、草乌等药，闷乱流涎，或昏愦呕吐，或出血吐血，用大豆、远志、防风、甘
草，任用一味，煎汤解之。大凡服风药过多，皆宜用之，未应，急用甘草、生姜汁解。
一敷贴巴豆之药，患处作痛，肌肉溃烂，以生黄连为末，水调敷之。若毒入肉，吐泻等
症，更以水调服一二钱，大小豆、菖蒲汁俱可。
一敷贴藜芦，毒入内，煎葱汤解之。
一服祛风克伐之药，呕吐少食，胸膈不利，或形气倦怠等症，用六君子汤以补阳气。若
烦躁作渴，饮食不思，或晡热内热，面赤发热，用四物汤加参、术，以生阴血，余从各门治之。
<目录>上卷
<篇名>本症治验
属性：一男子冬间口苦耳鸣，阴囊湿痒，来春面发紫块，微肿麻木，至冬遍身色紫，不知痛痒
，至
先与再造散二服下毒秽，更以小柴胡合四物汤加白芷、防风、天麻、皂角刺，渐愈。又与换
肌散，但遍体微赤，此血虚有火，因家贫未得调理，秋间发热，至春面仍发块，用前散并养
血药，喜年少谨疾得愈。
一膏粱之人，鼻坏眉落，指脱体溃，热渴晡甚，用四物汤加酒炒黑黄柏、知母、五味、
麦门
便稀溏，此元气虚而时热胜也，用补中益气汤顿安。乃与换肌散及益气汤，兼服两月，更以
生脉散代茶饮，疮少退。时至仲秋，眩晕少食，自汗体重，大便溏数，此亦时湿之症，用清
燥汤调理而愈。又用补中益气汤少加酒炒黑黄柏、知母、皂角刺、天麻，两月余而瘥。又因
劳倦耳聩热渴，误服祛风药，病气益剧，身发赤疹，与益气聪明汤，月许而愈。
一男子赤痛热渴，脓水淋漓，心烦掌热，目昧语涩，怔忡不宁，此心经受症也，用安神
丸兼
胡饮并八珍汤而愈，再用换肌散而瘥。
一男子肚见青筋，面起紫泡，发热作渴，寅卯时甚，脉弦数，腿转筋，小便涩，此肝经
火症
柴胡、山栀，养其气血，乃用换肌散，去其内毒而安。年余因劳役饮食失宜，寒热头痛，遍
身赤疹，自用醉仙散而殁。
一男子面发紫疙瘩，脓水淋漓，睡中搐搦，遍身麻木，渐发赤块，劳怒则痒，肝脉洪大
，砭
下前丸，诸症少愈；却用宝鉴换肌散斤许，又用小柴胡合四物汤加参术、天麻、角刺百余剂
，及六味地黄丸，半载而愈。后因劳遍身麻痒，脉微而迟，此气血俱虚，不能荣于腠理，用
十全大补汤，加五味、麦门，调理年余而安。
一男子面赤发紫泡，下体痒痛，午后发热，大便燥黑，此火盛而血虚也，用再造散及四
物汤
黄；仍以四物去胆草、防己，少用独活，加玄参、萆 ，五十余剂而疮退；却用补中益气汤
加天麻、麦门，而气血渐充；时仲秋霪雨，遍身酸痛，用清燥汤而安；随用换肌散、胡麻散
、八珍汤，兼服而愈。
一上舍面发肿，肌如癣，后变疙瘩，色紫，搔之出水，此脾肺之症也。先用清胃汤，以
清胃
腕手足指缝并患处，以去毒血，疏通隧道；乃与八珍汤加白芷、皂角刺、五加皮、全蝎及二
圣散，兼服月余，以养阴血治疮毒；又与补气泻荣汤，少愈；再与换肌散而全愈。后因劳倦
遂发赤晕，日晡尤甚，以四物汤加丹皮、柴胡、山栀，并用补中益气汤，年余虽劳而不发。
一男子遍身如癣，搔痒成疮，色紫麻木，掐之则痛，小便数而少，此脾胃受症，邪多在
表，
虚也，以大剂参、 、芎、归、蒺藜、桔梗数剂，元气顿复。却用八珍汤加黄 、白芷、蒺
藜、天麻、软柴胡及二圣散治之，其疮渐愈。后用换肌散八珍汤等药，调理半载而痊。后仍
发，误用克伐攻毒，患两感伤寒而死。
一男子遍身疙瘩，搔则痒，掐则痛，便闭作渴，此邪在内也。治以再造散二服，微下三
次，
用二圣散，其疮顿愈，更用大补年余而康。后患痰涎壅盛，舌强语涩，用二陈、苍术、黄柏
、知母、泽泻四剂而愈，再用补中益气汤调理而安。
一男子素清苦，眉尽落，病在肝胆二经也。乃刺臂腿腕及患处，出黑血，空心服八珍汤
，加
一儒者脚心或痒痛，或麻痒，或肿胀，二年后身体作痒，渐变疙瘩，发热耳鸣，日晡益
甚，
以补肾，又用换肌散、祛风丸以治疮，各斤许，疮渐愈，得滋补守禁而痊。
一上舍遍身患之，形体俱虚，余谓须用调补，元气完复，方治其疮。不信，恪服蛇酒以
攻内
，此因毒药脾伤而然也，反服祛毒之剂，吐泻不止而殁。
一男子用药汤熏洗，汗出不止，喘嗽不食，腹鸣足冷，肢体抽搐。余谓此因热伤元气，
腠理不密，汗出亡阳耳，是日果卒。
<目录>上卷
<篇名>类症治验
属性：钦天薛天契年逾六旬，两 脓水淋漓，发热吐痰，数年不愈，属肾脏风症，用四生散而
瘥。
味丸，诸症悉愈。三年后小便淋沥，茎道涩痛，此阴已痿，思色而精内败也，用前丸及补中
益气汤加麦门、五味而愈。
翟鸿胪两 生疮，渐至遍身，各大寸许，肿而色黯，时出血水，吐痰咽干，盗汗心烦，
溺赤
，三月元气顿复。
松江掌教翟立之素善饮，遍身疙瘩，搔起白屑，上体为甚，面目 肿，成疮结痂，承浆
溃脓
、连翘、山栀、柴胡、芩、连一剂，诸症悉退，四剂全退。两睛各显青白翳一片，亦属肝火
，再剂翳去，乃用六味丸而愈。
一儒者身发疙瘩，时起赤晕，憎寒发热，服疠风之药，眉落筋挛，后疙瘩渐溃，日晡热
甚，
柏、知母，肝脉渐和，晡热渐退。又用八珍汤，加山栀，寒热顿去。再与加味逍遥散，加参
、术、钩藤钩、木贼，服两月疮悉愈而眉渐生。后因怒复作，用小柴胡汤加芎、归、钩藤钩
、木贼而愈。后劳役发热，误用寒剂，不时身痒，日晡亦晕，早与补中益气汤加五味、麦门
、山药，午后与加减八味丸寻愈。后食炙爆等物，痰盛作渴，仍发疙瘩，小便白浊，右关脉
滑大有力，用补中益气汤，加山栀，诸症悉退。
一男子愈后，肌肤作痒，口干饮汤，此中气虚不能化生津液，荣养肌肤，午前服七味白
术散
门全愈。
一男子愈后，因劳恶寒，头痛体倦，余谓恶寒乃胃气虚，不能护卫肌表，头痛乃清气虚
，不
剂而瘥。
一男子愈后，每早吐痰碗许，形体倦怠，此中虚气而不能克化饮食，以参、 、白术、
陈皮
若脾气健旺，营运不息，痰自无矣。
一男子愈后，恶寒头晕，食少体倦，属中气虚弱，用补中益气汤加蔓荆子，并十全大补
汤加五味子，血气充而愈。
一男子面起赤晕，时或发肿，擘手亦然，搔起白屑，服疠风药，内热体倦，脉大而虚，
此因元气虚而阴血复伤。用六味地黄丸、补中益气汤而寻愈。
一男子两目俱赤，遍身痒痛，搔起白皮，此肝肺阴虚。误服祛风燥剂，鼻赤面紫，身发
疙瘩
物汤加参、 、柴胡、山栀，并换肌散，各百余服，喜其年少谨疾，痊愈。
一男子愈后，寒热往来，体瘦倦怠，饮食不甘，此因元气虚而变症也。午前用补中益气
汤加麦门、五味，午后用四物汤加麦门，五味而愈。
一男子遍身搔痒，后成疮出水，洒淅恶寒，皮肤皱起，眉毛渐落，大便秘结，小便赤少
，此属肺火为患。用补气泻荣汤四剂，诸症渐退。但倦怠恶寒，小便清少，此邪气去而真气虚也
。用补中益气汤兼换肌散，半载乃元气复而诸症退。时仲秋忽大便不实，小便频数，体倦食
少，洒淅体重，此湿邪乘虚而作，用东垣益胃汤二剂顿安。仍用前药调理，三月余全愈。
一儒者遍身作痒，搔破脓水淋漓，眉毛脱落，如疠风症，久服祛风等药，致元气亏损，
余用
一儒者怀抱久郁，先四肢如疠，恪祛风消毒，气血愈虚，延及遍身，寒热作渴，肢体倦
怠，脉洪大而虚，谓余何也？余曰∶始因脾郁血虚，阴火妄动，后因药伤脾胃，元气下陷。遂用
补中益气汤，培补脾胃，升举元气；用归脾汤解散郁火，生发脾血；更以六味丸益肾肝精血
，引虚火归源，不两月诸病悉愈。
一男子遍身生疮，脓水淋漓，晡热口干，两足发热，形体消瘦，杂服风疮药，六年未愈
。尺脉洪数而无力，此肾经疮也，如小儿肾疳之症，用加减八味丸，不半载而痊。
一男子遍身生疮，似疥非疥，脓水淋漓，两腿为甚，作痒烦热，肢体倦怠，年余不愈。
余以为肾经虚火，用加减八味丸而瘥。
一男子秋间发疙瘩，两月余渐高有赤晕，月余出黑血，此风热血虚所致。先用九味羌活
汤，
中益气汤、加减八味丸顿愈。
一男子两掌每至秋皮浓皱裂起白屑，内热体倦，此肝脾血燥，故秋金用事之时而作，用
加味
臂腿腕皮浓色白，搔之则木，久服前药方愈。
一男子因大怒发热，眉发顿落，盖发属肾而眉属肝，此肝肾素虚为怒，阴火愈盛，销铄
精血而然也。用六味丸料加柴胡、山栀、黄柏，数剂渐生，又二十余剂而完。
一男子遍身搔痒，服祛风辛燥之剂，眉发脱落，余谓前药复伤肝肾，精血虚而火内炽所
致
一男子染时疮，服换肌散之类，眉毛顿脱，遍身作痒，或时赤晕，乃燥药损其阴血，阳
气偏
归、黄 治之，疮症既愈，眉毫亦生。
一男子素不慎房劳，其发忽落，或发热恶寒，或吐痰头晕，或口干作渴，或小便如淋，
两足
枸杞子治之，诸症退而发渐生。
一男子素膏粱醇酒，患肾脏风，延及遍身，服疠药益甚，又用捻药于被中熏之，呕吐腹
胀，遍身浮肿溃烂，脓水淋漓，如无皮而死。
一男子足三阴虚患血风疮症，误服祛风散毒之剂，外敷斑蝥、巴豆等类，肌肉溃烂，呕
吐腹膨，或泄泻足冷，或烦热作渴，此药复伤脾胃虚败也。辞不治，不越月而殁。
一妇人脓水淋漓，发热作渴，体倦恶寒，经水不调，久而不愈，此肝脾亏损而虚热也。
先用补中益气汤加川芎、炒山栀，元气渐复，更以逍遥散而疮渐愈。
一妇人性急善怒，月经不调，内热口苦，患时疮，服败毒之药，脓水淋漓，热渴头眩，
日晡
连、芩数剂而愈。年余手足臂腕起白点渐大，搔起白屑，内热盗汗，月经两月余一至，每怒
或恶寒头痛，或不食作呕，或胸乳作胀，或腹内作痛，或小便见血，或小水不利，或白带下
注，此皆肝木制伏脾土，元气虚而变症也。用补中益气汤加炒黑山栀及加味归脾汤，间服半
年而愈。
一妇人久郁，患在四肢，腿腕尤甚，误用败毒寒凉之剂，晡热内热，自汗盗汗，月经不
行，口干咽燥，此郁火伤脾也。用归脾汤数剂，后兼服逍遥散五十余剂而愈。
一妇人身如丹毒，搔破如疠，热渴头晕，日晡益甚，此属肝经风热血燥，用加味逍遥散
而愈。
一妇人素晡热，月经不调，先手心赤痒，至秋两掌皮浓皱裂，时起白皮，此皆肝脾血燥
，用
不再发。
一妇人两腿腕紫黯寸许，搔破出水，或用祛风砭血，年余渐胤如掌许，乃服草乌等药，
遍年
脾血也。先以补中益气汤加芍药、川芎、五味十余剂；乃与加味逍遥散加熟地、钩藤钩二十
余剂；再用归脾汤加川芎、熟地黄，治之而不发。
一妇人日晡身痒，内外用追毒祛风之剂，脓水淋漓，午前畏寒，午后发热，殊类疠风，
用补中益气汤加山栀、钩藤钩，又以加味逍遥散加川芎而愈。
一妇人手心色赤搔痒，发热头晕，作渴晡甚。服祛风清热之药，肤见赤痕，月经过期，
用加
用四物汤加参、术、茯苓、山栀，赤晕亦消。
一妇人素清苦，四肢似癣疥，作痒出水，怒起
赤晕，服祛风败毒等剂，赤晕成疮，脓水淋漓，晡热内热，自汗盗汗，月经不行，口干咽燥
，此郁伤脾血也。用归脾汤、逍遥散，两月而痊。
一妇人遍身疙瘩搔痒，敷追毒之药，成疮出水，寒热胁痛，小便不利，月经不调。服祛
风之
加味逍遥散二十余剂，诸症渐愈；乃用六味丸调理而瘥。此等症候，服风药而死者多矣。
一妇人愈后唇肿皱裂，食少肌瘦，晡热益甚，月水过期，半年渐闭，时发渴躁，专于通
经降
丹皮、柴胡、山栀，外症渐愈；又用八珍汤加丹皮、柴胡五十余剂，月水调而诸症痊。
一小儿面部浮肿，遍身如癣，半年后变疙瘩，色紫作痒，敷巴豆等药，皮破出水，痛痒
寒热
防、黄芩、柴胡、皂角刺、甘草节，以凉血祛毒，诸症渐退；更以八珍汤加白术、荆、防、
角刺、五加皮而愈。后但劳则上体发赤晕，日晡益甚，此属气血虚而有火。用四物汤加丹皮
、参、术、柴胡，治之稍退；又用补中益气汤加酒炒黑黄柏、知母，月余痊愈。
一小儿遍身患疥如疠，或痒或痛，肢体消瘦，日夜发热，口干作渴，大便不实年余矣，
此肝脾食积郁火。用芦荟丸，不月而愈。
一女子十三岁，善怒，遍身作痒出水，用柴胡、川芎、山栀、芍药以清肝火，用生地、
当归
余曰∶此亦肝火炽甚，血得热而妄行。其夜果经至。
一女子赤晕如霞，作痒发热，用小柴胡汤加生地、连翘、丹皮而愈。大凡女子天癸未至
，妇人月经不调，被惊着恼，多有此症。
一小儿十五岁，遍身似疥非疥，脓水淋漓，晡热口干，形体骨立四年矣，此肾疳之症，
用加减八味丸而痊。
韩氏子年十四早丧天真，面红肿如风状，不时举作，或误用疠风药，内虚发热，口燥烦
渴，
自降，补其本则标自退。大经领教，用四君加参、 四十剂；又用此作丸服斤许，不两月而
平复。若从有余治之，则误谬多矣。谨录呈上，乞附药案以惠后之患者，嘉靖丁未仲春门人
朱大经顿首拜书。
<目录>中卷
<篇名>续治诸症
属性：一男子遍身患小疮，或时作痒，口干作渴。服消风散，起赤痒益甚；服遇风丹，脓水淋
漓，
丸，其渴渐止；用补中益气汤加五味子，肌肉渐生；佐以八珍汤加牡丹皮、麦门冬，百余剂
而痊。二年后不节房劳，其疮复作，惑于人言，又服消风散之类，其疮复患。余仍用前药，
调治而痊。
一男子善怒面青，腿内 患癣类，色赤作痒，或为砭刺出血，发热 肿作痛，服消风散
而益
火内动复伤其血而疮甚耳。先用柴胡清肝散数剂，又用四物、山栀治之，诸症渐愈；用八珍
汤地黄丸，两月余而痊。
一男子面赤作渴，而常患小疮作痒，服祛风药，遍身发赤 ；服花蛇酒，更发赤晕，遍
行砭
煎服，热渴渐止，疮渐结靥；又用八珍汤、地黄丸，疮靥渐脱；又服月余，疮渐愈。
一男面生粉刺，或生小 ，服消风散疮益甚；服遇仙丹，加遍身赤痒；仍服前药，发热
肿
剂而痊。
一男子患肾脏风，饮烧酒，发赤晕，砭出血，敷追毒之药，成疮出水，日晡益甚，类大
麻风
汤，其血渐止；又用五味异功散加当归、升麻，饮食渐进；用四物、参术、牡丹，内热渐减
；用易老祛风丸，脓水渐少；又八珍、牡丹皮之类，月余疮渐结靥。因思虑发热盗汗，疮复
作痒，兼起赤晕，用加味归脾汤数剂，汗热渐止，用加味逍遥散、六味地黄丸而痊。
一男子嗜膏粱炙爆醇酒辛辣之物，遍身生 ，甚为作痒，服消风散之类，更起赤晕，
又砭
血所致。余先用犀角地黄汤，诸症稍退；乃用济生犀角地黄汤加黄连治之，脓水渐止；乃以
八珍汤加山栀、牡丹皮，眉毛渐生；因饮食失宜，胸腹作胀，饮食少思，或大便下血，用五
味异功散加升麻，饮食渐进；又用补中益气汤而血止，仍用异功散加当归、牡丹皮而痊。
一男子内 作痒色黯，搔起白皮，各砭刺出血，其痒益甚，更起赤晕，延及外 ，津淫
不已
火益甚而患耳。先以八珍汤加五味子、牡丹皮三十余剂，诸症渐愈，乃佐以加减八味丸百余
剂而痊。
一男子常咳嗽，腿患白癜风，皮肤搔起白屑。服消风散之类，痒益甚起赤晕，各砭出血
，赤
，此脾肺二经虚热之症。先用五味异功散治之，虚热稍退；又用地黄清肺饮，肺气渐清；又
用八珍汤、六味丸而寻愈。后又咳嗽痰喘，患处作痒，用参苏饮二剂，散其风邪；又用五味
异功散加桔梗，补其肺气而痊。二年后咳嗽作渴饮水，脉洪大左尺为甚，用加减八味丸，补
肾水而痊。
一男子素不慎房劳，其发渐落，或发热恶寒，或吐痰头晕，或口干作渴，或小便如淋，
两足
发渐生。后两腿腕患紫癜风，延于两股作痒，各砭出血，痒处日甚，服消风等药，患处微肿
，延及上体，两眼昏涩，余谓肾脏风。先用四生散四服，后用易老祛风丸月余，用地黄丸两
月余而痊。后饮食起居失宜，肢体色赤，服二丸随愈。
一男子患白癜风，过饮或劳役，患处色赤作痒。服消风散之类，顿起赤晕，遍身皆痒；
砭出
活汤，诸症顿愈，用加味逍遥散、加味四物汤乃瘥。
一男子不时患疙瘩，搔痒成疮，脓水淋漓，恶寒发热。先用羌活当归散而痒止，又用易
老祛
，但口干体倦，饮食不入，用七味白术散去木香，四剂而安。
一男子患疮疥搔破出脓水，面赤作渴，大便坚实，脉洪数左关寸为甚，此木火相搏也。
先用泻青丸料煎服，热势顿减，又用栀子柴胡散、加味逍遥散而疮愈。
一男子患搔痒破而成疮，如大麻风。服遇仙丹，发热作渴，大便秘结，脉沉实，右关为
甚，
而疮愈。
一儒者素食膏粱，发热作渴饮冷，患疮，如大麻风，大便出黑血，服清热祛风等寒药益
甚。
退；又用柴胡栀子散调理而痊。
一男子遍身患疙瘩作痒，劳而益甚，用参、 、归、术为君，佐以柴胡、炒芩、桔梗、
川芎、炙草而瘥，更用补气血之药，后不再发。
一男子患疙瘩，搔痒发热，形气虚弱，口鼻气热，且喜饮冷，属外邪也。以消风散二剂
，外
去柴胡、升麻，加茯苓、芍药乃痊。
一男子患前症，多在臀脚，劳役则痒益甚，小便色黄，服败毒散、芩、连之剂，患处痒
痛，
间如故，日晡倦怠，或劳愈加晨起如故，皆元气虚也，宜用前药补而治之。
一儒者遍身生疮搔痒，脓水淋漓，自知医，服八珍、荆、防之类益甚，脉洪大按之无力
，余谓此气血虚热也。用八珍汤加牡丹皮治之而愈。继娶后两足生疮，久不愈，尺脉数而无力，
余用地黄丸、八珍汤而痊。
余甥凌云汉年十六，庚子夏作渴发热，吐痰唇燥，遍身如疥，两腿尤多，色黯作痒，日
晡愈
气氤氲，余谓火旺之际，必变瘵症。用六味地黄丸、十全大补，二旬诸症愈而瘵症具，仍用
前药而愈。抵冬毕姻，至春其症复作，仍服地黄丸数斤，煎药三百余剂而愈。
稽勋季龙冈遍身患此，腿足为甚，日晡益 ，口干作渴，小便频数。此肾经虚热，用补
中益气汤、六味地黄丸而愈。
一儒者善嚏患疥，余以谓腠理不密，外邪所搏，用补中益气汤加白芷、川芎治之，不从
。自服荆防败毒散，盗汗发热，作渴 痛，脓水淋漓，仍用前汤倍加参、 、五味而痊。
一儒者患在臂脚，日晡或痒或胀，形体倦怠，自服败毒散，痛处发肿，小便赤涩。此肺
肾阴虚，余用补中益气汤加五味子、麦门冬而愈。
一儒者遍身发 ，误服攻毒之剂，元气虚而不能愈。余用补中益气汤加茯苓治之，其疮
顿愈。又因调理失宜，日晡益甚，用八珍汤加五味子、麦门冬，五十余剂而愈。
一男子患疙瘩，色黯作痒出黑血，日晡至夜益甚，其腿日肿夜消，余以为气血虚而有热
。朝用补中益气汤，夕用加味逍遥散而愈。
一男子时疫愈后，遍身发 作痒，服补中益气汤而愈。有同患者不信余言，乃用砭法出
血而死，此因阴虚血热，色黑作痒也，何乃反伤阴血哉。
一男子患 ，干痒作痛，以芩、连、荆、防、山栀、薄荷、芍药、归稍治之而愈。
一儒者应试后，遍身瘙痒，后成疙瘩，此劳伤元气，阴火内炽，秋寒收敛，腠理郁热内
作。
状，又发热作渴，倦怠懒食，余用补中益气汤，倍加参、 、归、术、半夏、茯苓、五味子
、麦门冬而愈。
举人陆世明会试途中劳役，胸患斑， 赤作痛，头痛发热，形倦少食，大便或溏或结，
小便
一男子脾肾气血虚热，恪服四物、黄柏、知母之类，元气愈虚，倦热益甚。余朝用补中
益气
，破而出水，用风药益甚，或赤或白，眼作花痒。先用胡麻散、六味丸，痒渐愈；用六味
丸、消风散，疮渐愈，用八珍汤、六味丸而痊。次年两股小腹颈项复作痒，用四生散、六味
丸而愈。
一妇人经水先期，劳役或气恼则寒热搔痒。服祛风降火等药，不劳怒而自痒发热，更加
痰喘
风药，口干作渴，欲水而不敢饮，经水又过期，眉间若动；又服月余，眉毛脱落，经水淋漓
。余谓心肝二经，风热相搏，制金不能平木，木克脾土而不能统血，肝火旺而不能藏血也。
眉间属甲木而主风，风动血燥而眉毛脱落又若动也。经云∶水生木。遂朝用地黄丸以滋肾水
生肝血，夕用加味逍遥散以清肝火生肝血，月余诸症渐愈。又佐以四君、芎、归、牡丹皮，
月余，经水旬日而止。又两月余，经水五十余日而至，乃夕用五味异功散加当归服两月，经
水四十余日而至。因怒恼寒热，经水如崩，眉棱觉动，脉洪数弦，肝脾二经为甚，用柴胡栀
子散二剂以平肝火，用五味异功散二剂以补脾气，发热顿退，经水顿止。更以八珍汤倍加参
、术及地黄丸，两月余经水如期，眉毛渐生。因饮食停滞，腹胀作痛，另服祛逐之剂，泄泻
不止，小腹重坠，饮食甚少。余先用六君子汤送四神丸，数剂泻渐止，饮食稍进，又用补中
益气汤倍用升麻数剂，重坠渐愈。后因劳心发热，饮食难化，呕吐涎水，其热自脐上起，觉
饥热频作，乃用六君子汤加炮姜治之，热时饮稠米汤稍安，两月余又常服加味归脾、补中益
气二汤而痊。
一妇人秋间肢体作痒，时发寒热，日晡热甚，口苦喜酸，月水先期，面色常青，热甚则
赤，
信
气稍复，乃以八珍汤，倍用参、术，少用川芎、芍药炒黑，间佐以补中益气汤，诸症渐愈。
又以四君子汤为主，佐以加味逍遥散，两月余脓水渐少。又服月余，疮渐结靥，因怒恼，寒
热腹胀，饮食少思，患处复甚，用六君子汤加山栀、柴胡，乃用四君子汤为主，而疮渐愈。
又因怒，月经甚多，发热作渴，疮痛出血，用柴胡清肝散，热退痛止。仍用四君子汤而结靥
，又用八珍、山栀、牡丹皮而疮愈。
一妇人遍身搔痒，脓水淋漓，发热，身如虫行，月经不调。先用升麻汤送泻青丸，热痒
顿退
汤、易老祛风丸而痊。
一妇人遍身患疙瘩，发热作痒，内服败毒祛风，外搽攻毒追蚀，各溃成疮，脓水津淫，
形气
数剂，其渴渐止，饮食稍加；乃用八珍汤加柴胡牡丹皮，脓水渐干；又用六君、芎、归、
丹皮、山栀，疮渐收敛；仍用八珍、山栀、牡丹皮而疮愈。
一妇人每秋间两手心作痒，搔起白皮，因劳役怒恼则发寒热，遍身作痒起疙瘩，或以为
风症
二经，血燥生风。先用加味逍遥散，热渴渐减；又用八珍、柴胡、山栀，患处少可；后因怒
气发热胁痛，患处 痛，用加味逍遥散四剂而安；又用四君、芎、归、山栀、牡丹皮，半载
而痊。
一妇人因怒，寒热发赤晕，服祛风之药发疙瘩，或砭出血，患处 肿，发热头痛，内服
外敷
余谓血脱烦躁，先用补血当归汤稍缓，用四君、当归数剂得睡；但倦怠头晕少食，用补中益
气汤加蔓荆子稍可；又用八珍汤，少用芎、芍，倍用参、术，三十余剂而能步履；又服月余
而痊。
一妇人患白癜风，误以为大麻风，服蛇酒等药，患处 肿，经水两三月一行。余曰∶此
肝血
。先用八珍汤四剂，又用四君子汤二剂，月余乃以四君子汤，又用八珍汤二剂，又月余诸症
渐退，元气渐复，又以四君子汤为主，以逍遥散为佐，将两月疮靥脱，又月余而愈。
一妇人性急善怒，月经不调，内热口苦，患疙瘩作痒，服败毒之药，脓水淋漓，热渴头
晕，
连、芩数剂而愈。年余左足臂腕起白点渐大，搔起白屑，内热盗汗，月经两月余一至，每怒
或恶寒头痛，或不食作呕，或胸乳作胀，或腹内作痛，或小便见血，或小水不利，或白带下
注。此皆肝木制伏脾土，元气虚而变症也。用补中益气汤加炒黑山栀及加味归脾汤，间服半
年而愈。后每怒恼患赤晕，或以风疾治之，发疙瘩；又服遇仙丹，赤肿作痒出脓水；外敷追
蚀之药，寒热作渴；又服胡麻、草乌之药，遍身搔痒，眉毛脱落，脓水淋漓，咳嗽发热，月
经两月一行。余用四君、当归、牡丹皮，月余热渴稍止，饮食稍进。又服月余，咳嗽稍可，
却用八珍汤加牡丹皮二十余剂，患处渐干，经水如期。后因伤食，作泻不食，用六君子汤，
饮食渐进。又因怒发热作渴，患处作痛，经行不止，用加味逍遥散渐可，仍用四君子汤而痊
愈。
一妇人性沉静，怀抱不乐，月经过期，遍身作痒。服祛风清火之剂，搔破成疮，出水不
止，
食日少，月经先期。余作肝脾郁怒而血燥，前药复伤而益甚。先用四君、芎、归、山栀、牡
丹皮，饮食渐进，服月余而嗽止。又以加味逍遥散加钩藤钩，二十余剂而眉不动，乃去钩藤
倍加参、术、当归，月余疮渐结靥。又以八珍汤加山栀、牡丹皮而痊。
一妇人患前症，脓水淋漓，发热作渴，体倦恶寒，经水不调，久而不愈，此肝脾亏损而
虚热
痒，搔起疙瘩，破而出脓，或出血水，误服醉仙散，殊类风症。余用八珍汤数剂而安，又用
十全大补汤，患处渐干。因恼怒停食，腹胀少食，发热作渴，患处复溃，用六君子汤加炒黑
山栀，数剂饮食渐进，又用八珍汤之类而痊。
一妇人日晡身痒，月余口干，又月余成疮，服祛风治疮之剂，脓水淋漓，午前畏寒，午
后发
散兼八珍散而痊。
一妇人素清苦，因郁怒患前症，遍身患疙瘩，晡热内热，自汗盗汗，月经不行，口干咽
燥。余用归脾汤数剂，诸症稍退，后兼加味逍遥散，五十余剂而愈。
一妇人性躁患 作痒，脓水津淫，寒热口苦，胁痛耳鸣，腹胀溺涩，乃肝脾血虚火症
。用
一妇人患 症作痒，脉浮数，以人参败毒散，二剂少愈更以消风散四剂而安，又用柴胡
清肝散而愈。
一妇人患 症痛痒，大便秘脉沉实，以四物汤加芩、连、大黄、槐花治之而便利，用四
物二连汤而疮愈。
一妇人身如丹毒，搔破淋漓，热渴头眩，日晡益甚，用逍遥散加炒山栀、陈皮而愈，又
用八珍、柴胡、山栀、丹皮而愈。
一妇人患前症，误用大麻风药，破而出水，烦渴头晕，诚类风症，六脉洪数，心肝脾为
甚。
火、滋脾血、生肾水而愈。
一妇人患前症，搔破久不愈，食少体倦，此肝脾亏损，阴虚发热也。先用补中益气汤加
川芎、炒栀，元气渐复，更以逍遥散而疮愈。
一妇人身如丹毒，后发疙瘩，搔破脓水淋漓，热渴头晕，日晡益甚。先用消风散二剂，
又用加味逍遥散而愈。
一妇人患赤游风，晡热痒甚。余用清肝养血之剂。不信，乃服大麻风药，臂痛筋挛；又
服化痰顺气之剂，四肢痿弱。又一妇患前症，数用风药煎汤泡洗，以致腹胀并殁。
一女子月经先期，或经行上身先发赤晕，微肿作痒，若遇气恼，赤痒益甚。服祛风之药
，患
，清肝火益肝血，赤痒少止，用地黄丸滋肾水生肝木，各五十余帖而痊。后因恼怒，经水不
止，发热作渴，患处赤痒。先用加味小柴胡汤二剂，诸症顿止。又用加味逍遥散而安。
一女子二十岁，月经先期而或过期，或有怒身发赤晕，或患疙瘩，六七日方退。服祛风
药，
服是药，必致筋挛。不悟，后两手果挛，始信。先用地黄丸、四物汤，月余热渴顿减，乃佐
以加味逍遥散，又月余患处脓少，又用四君、山栀、牡丹皮二十余剂，指能伸屈。因怒发热
，经水不止，睡中筋脉抽动不安，以加味逍遥散加钩藤钩治之而痊。仍用四物、山栀、钩藤
钩、牡丹皮而疮结靥，乃去钩藤钩，调理元气复而疮靥脱。
一女子常患瘾疹作痒，因怒发热，变为疙瘩， 肿痒甚。余用栀子清肝散治之而愈。后
又怒
曰∶然乃以当归补血汤四剂，其热悉止，又用圣愈汤、加味逍遥散而愈。
一女子赤晕如霞，作痒发热，用小柴胡汤加生地、连翘、丹皮而愈。后时常发热，遍身
如虫
晕，或发瘾疹，或患疙瘩，用胡麻散随愈。
一女子常患疙瘩，时或作痒。服消风之类，搔破成疮，其痒不止，延及头面。余先用羌
活当
不再作。
一小儿因有食积，服克滞之剂，肢体生疮似疥，服消毒之药，发疙瘩，赤色作痒，脓水
津淫
散治之而食积愈。
一女子赤晕作痒，寒热发搐，服风药身发疙瘩，搔破出水，此肝血风热之症。先用加味
小柴
散而痊。
一小儿遍身生疮，小便不调，颈间结核，两目连札。服祛风之剂，眉毛脱落。余谓肝经
风热
、四味肥儿丸而愈。后每停食，遍身发赤作痒，服四味肥儿丸即愈。
一小儿遍身患疮，似疥作痒，肌体消瘦，发热龈烂，口渴饮水，大便不实，此肝肾之症
也。
芜荑汤而痊。
一小儿遍身生疮，似疥或痒或痛，脓水淋漓，眉毛脱落，大便酸臭，小便澄白。余谓肝
脾之症，先用大芦荟丸，后用四味肥儿丸，诸症渐愈，又佐以五味异功散而痊。
一小儿遍身生疮，头发成穗，眉毛脱落，肌肉消瘦，大便酸臭，小便不调，颈间结核，
肚大青筋。余先用五味异功散，月余后，用四味肥儿丸，又用大芜荑汤、异功散而痊。
一小儿先阴茎作痒，小便不调，后遍身生疮作痒，服消风散毒之剂， 如大风之症，颈
间结
四味肥儿丸而痊。
一小儿面部浮肿，遍身如癣，半年后变疙瘩，色紫作痒，敷巴豆等药，皮破出水，痛痒
寒热
、柴胡、皂角刺、甘草节，诸症渐愈。更以八珍汤加白术、荆、防、皂角刺、五加皮而愈，
后但劳则上体发赤晕，日晡益甚，此气血虚而有火也。先用四物汤加丹皮、参、术、柴胡，
治之稍愈。又用补中益气汤加酒炒黑黄柏、知母，月余痊愈。后不守禁忌，遍身生疮，诚如
疠风，大便酸臭，肚大青筋，头发成穗，先用肥儿丸月余，又用大芜荑汤数剂，又用大芦荟
丸、四味肥儿丸而寻愈。
一女子十二岁，善怒，遍身作痒出水，用柴胡、川芎、山栀、芍药，以清肝火；用生地
、当
眩晕寒热。余曰∶此亦肝火炽盛，血得热而妄行。其夜果经至。后因肝经血燥生疮，发热作
痒，搔破出水，眉毛脱落，用大芦荟丸、四物二连汤而热退，用五味异功散、四味肥儿丸而
疮愈。
一小儿遍身生疮，大便下血，发热作渴，腹大青筋，眉毛渐落。余用大芦荟丸、五味异
功散
制黄连治之，血止疮愈。
|
Chinese
|
16k
|
T10. Rule Induction & In-Context Learning
|
T10.1 Large-Scale In-Context Rule Induction
|
Full
|
一位年近中年的患者，近期常感面部潮红发痒，眉毛有脱落现象，且易因小事发怒。脉象弦数。结合《疠疡机要》中所述，其病机主要涉及哪个脏腑？先输出“[答案]”标识符，再输出脏腑名称，不要输出任何其他内容。
输出示例：
[答案]
脾
|
一位年近中年的患者，近期常感面部潮红发痒，眉毛有脱落现象，且易因小事发怒。脉象弦数。结合《疠疡机要》中所述，其病机主要涉及哪个脏腑？进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出脏腑名称。
输出示例：
<你的思考过程>
[答案]
脾
|
[
"肝"
] |
Easy
|
fa9eeecbdf6ab6d368f240b0d47398f5a23f63f52068ec229bfb79e96b759759
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代码示例编写指南
本文中描述的指南适用于代码示例的样式美化以及格式化，与语言无关。有关编写代码示例时要包含的内容的指南，请参阅写作风格指南。
对于特定技术的指南，请参阅以下文章：
HTML 指南
CSS 指南
JavaScript 指南
Shell 提示符指南
通用最佳实践
本节提供了创建可理解的，用于演示某个特性或函数用法的最小代码示例的最佳实践。
添加到 MDN Web 文档的代码示例应该是：
简单而易于理解，或者
复杂而足以做一些有趣的事情（且最好是有用的）。
你需要牢记的是，读者将会复制并粘贴代码示例到他们自己的代码中，并可能将其用于生产。
因此，你应该确保代码示例可用，遵循普遍接受的最佳实践，并且不会导致应用程序不安全、效率底下、臃肿或无法访问。如果代码示例不可运行或不适合生产，请确保在代码注释和解释性文本中包含警告；例如，如果它只是一个片段而不是一个完整的示例，请明确说明。这也意味着你应该提供运行示例所需的所有信息，包括任何依赖项和设置信息。
代码示例应该尽可能独立且易于理解。其目的不一定是编写高效、聪明的代码，以令专家印象深刻并具有出色的功能，而是编写简化的可运行的示例，以便于理解。
一些更通用的最佳实践包括：
代码示例应尽可能简短，并且理想情况下只展示你感兴趣的特性。
仅包含示例所需的代码。大量不相关的代码很容易分散读者的注意力或让他们感到困扰。如果你想提供一个完整的、更长的示例，请将其放在我们的 GitHub 仓库（或 JSBin、Codepen 等类似的仓库）中，然后在示例上方或下方提供完整版本的链接。
不要包含不必要的服务器端代码、库、框架、预处理器和其他依赖项。它们会使代码不易于移植，也更难以运行和理解。尽可能使用原生代码。
不要假设读者知道任何库、框架、预处理器或其他非原生特性。例如，使用在示例中有意义的类名，而不是对 BEM 或 Bootstrap 用户有意义的类名。
编写尽可能简介且易于理解的代码，即使它不是编写代码最有效的方式。
使代码更加包容；请考虑 MDN 的读者来自世界各地，他们的种族、宗教、年龄、性别等各不相同。确保代码示例中的文本反映了这种多样性和包容性。
请不要为了简洁而使用不好的做法（例如表现元素 <big> 或 document.write()）；请正确地编写代码。
对于 API 演示，如果你同时使用了多个 API，请指出包含了哪些 API，以及用到的特性来自于哪里。
格式化指南
关于正确缩进、空格和行长度的意见一直存在争议。对这些主题的讨论会分散注意力，从而影响内容的创建和维护。
在 MDN Web 文档中，我们使用 Prettier 作为代码格式化工具，以保持代码风格的一致性（并避免偏离主题讨论）。你可以参考我们的配置文件（本地化文档的配置文件）来了解当前的规则，并阅读 Prettier 的文档。
Prettier 格式化所有代码并保持风格一致。尽管如此，你仍需要遵循一些额外的规则。
这些用于格式化代码示例的 MDN Web 文档指南也是编写代码的最佳实践。
选择语法语言
为了确保代码块的正确格式化和语法高亮，作者必须指定他们正在编写的代码块的语言。请参阅 MDN Markdown 中的示例代码块以获取 MDN 支持的语言列表，以及有关如何请求新语言的详细信息。
如果代码块是伪代码、命令的输出或其他非编程语言，请将语言明确设置为 plain。
警告： 如果 MDN 尚未支持所需的语言，请不要将代码块的语言设置为类似的语言，因为这样做可能会导致 Prettier 格式化和语法高亮出现意外的副作用。
代码行长度
代码行不应过长，以至于需要水平滚动才能阅读。
建议的做法是，将代码行保持在最多 80 个字符长（交互式示例为 64 个字符）。
为了保证可读性，在自然断点处断开长行，但不要以牺牲最佳实践为代价。
例如，这样并不好：
js
Copy
let tommyCat =
"Said Tommy the Cat as he reeled back to clear whatever foreign matter may have nestled its way into his mighty throat. Many a fat alley rat had met its demise while staring point blank down the cavernous barrel of this awesome prowling machine.";
这样稍好些，但有些别扭：
js
Copy
const tommyCat =
"Said Tommy the Cat as he reeled back to clear whatever foreign " +
"matter may have nestled its way into his mighty throat. Many a fat alley rat " +
"had met its demise while staring point blank down the cavernous barrel of " +
"this awesome prowling machine.";
更好的是使用模板字面量：
js
Copy
const tommyCat = `Said Tommy the Cat as he reeled back to clear whatever foreign
matter may have nestled its way into his mighty throat. Many a fat alley rat
had met its demise while staring point blank down the cavernous barrel of
this awesome prowling machine.`;
js
Copy
if (
obj.CONDITION ||
obj.OTHER_CONDITION ||
obj.SOME_OTHER_CONDITION ||
obj.YET_ANOTHER_CONDITION
) {
/* 其他内容 */
}
const toolkitProfileService = Components.classes[
"@mozilla.org/toolkit/profile-service;1"
].createInstance(Components.interfaces.nsIToolkitProfileService);
代码块高度
代码块应该保持在需要的长度，但不能过长。理想情况下，目标为简短内容的可以是 15-25 行左右。如果代码块要长得多，请考虑只显示最有用的片段，并在 GitHub 仓库或 CodePen 上提供完整示例的链接。
行内代码格式化
使用行内代码语法（`）来标记函数名、变量名和方法名。例如：“frenchText() 函数”。
方法名称应该后跟一对括号：例如，doSomethingUseful()。括号有助于区分方法和其他代码术语。
正确渲染指南
应遵循以下准则，以确保你编写的代码示例在 MDN Web 文档上正确显示。你还应该考虑响应式，使编写的代码示例在移动设备上也能正常使用。
渲染的代码示例的尺寸
将宽度设置为 100%：MDN Web 文档的主内容窗格在桌面上大约为 700px 宽，因此嵌入的代码示例必须在该宽度下正常显示。
将高度设置为 700px 以下：我们建议将渲染的代码示例的高度保持在 700px 以下，以便在屏幕上最大限度地提高可读性。
渲染的代码示例中的颜色
使用关键字表示主要颜色和其他“基本”颜色，例如：
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color: black;
color: white;
color: red;
使用 rgb() 表示更复杂的颜色（包括半透明颜色）：
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color: rgb(0, 0, 0, 0.5);
color: rgb(248, 242, 230);
对于十六进制颜色，使用短格式：
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color: #058ed9;
color: #a39a92c1;
color: #ff0;
color: #fbfa;
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color: #ffff00;
color: #ffbbffaa;
将渲染的示例标记为良好或错误
你会注意到，本页面上代表良好实践的代码块的右上角会呈现绿色的勾号，而代表错误实践的代码块则会呈现具有红色圆圈的白色叉号。
你可以在编写代码示例时遵循相同的样式。你不需要在每个地方都使用这种样式，只需要在你想要特别强调代码示例中的良好和错误实践的页面上使用即可。
要获得这种渲染效果，请使用“代码围栏”来标记代码块，后跟语言信息字符串。例如：
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function myFunc() {
console.log("你好！");
}
要将代码块表示为良好或错误示例，请在语言字符串后添加 example-good 或 example-bad，如下所示：
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```html example-good
<p></p>
```
```html example-bad
<p></p>
```
这会被渲染为：
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<p class="brush: js example-good"></p>
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<p class="brush: js example-bad"></p>
CSS 代码示例编写指南
下面的指南涵盖了如何为 MDN Web 文档编写 CSS 示例代码。
CSS 代码示例常规指南
格式的选择
关于正确缩进、空格和行长度的意见一直存在争议。对这些主题的讨论会分散注意力，从而影响内容的创建和维护。
在 MDN Web 文档中，我们使用 Prettier 作为代码格式化工具，以保持代码风格的一致性（并避免偏离主题讨论）。你可以参考我们的配置文件来了解当前的规则，并阅读 Prettier 的文档。
Prettier 格式化所有代码并保持风格一致。尽管如此，你仍需要遵循一些额外的规则。
规划 CSS
在深入研究和编写大量 CSS 之前，请谨慎规划你的样式。你需要哪些通用样式，需要创建哪些不同的布局，需要创建哪些特定的覆盖样式，它们是否可重用？最重要的是，你需要尽量避免过多的覆盖。如果你发现自己总是编写了一些样式，然后又在几个规则之后取消它们，那么你可能需要重新考虑你的策略。
使用弹性/相对单位
为了在尽可能广泛的设备上获得最大的灵活性，建议使用 em 和 rem 或百分比和视口单位等相对单位来设置容器、填充等的大小，如果你希望它们随视口宽度变化。你可以在我们的 CSS 值与单位指南中阅读更多相关内容。
不要使用预处理器
请不要在示例代码中使用预处理器语法，例如 Sass、Less 或 Stylus。在 MDN Web 文档中，我们记录的是原生 CSS 语言。使用预处理器只会增加理解示例的难度，可能会让读者感到困惑。
不要使用特定的 CSS 方法论
本着与之前的指南一致的精神，请勿使用特定的 CSS 方法论（例如 BEM 或 SMACSS）来编写 MDN Web 文档中的示例代码。尽管它们是有效的 CSS 语法，但命名约定可能会让不熟悉这些方法论的人感到困惑。
不要使用重置
为了最大程度地跨平台控制 CSS，很多人都使用 CSS 重置来删除所有样式，然后再自行构建内容。这当然有它的优点，但特别是在现代世界，CSS 重置可能是一种矫枉过正，导致花费大量额外的时间来重新实现一些一开始并不完全损坏的东西，比如默认的边距、列表样式等。
如果你真的觉得需要使用重置，请考虑使用 Nicolas Gallagher 的 normalize.css，它旨在使跨浏览器的样式更加一致，消除我们总是需要删除的一些默认样式的烦恼（例如 <body> 上的边距），并修复一些错误。
!important
!important 是最后的手段，通常只有在你需要覆盖某些东西而没有其他方法时才会使用。使用 !important 是一种不好的做法，你应该尽可能避免使用它。
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.bad-code {
font-size: 4rem !important;
}
CSS 注释
使用 CSS 风格的注释来注释那些不是自我说明的代码。另外请注意，在星号和注释之间留一个空格。
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/* 这是 CSS 风格的注释 */
将注释放在它们所引用的代码之前的单独的一行中，如下所示：
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h3 {
/* 创建红色阴影，向右和向下偏移 1 个像素，模糊半径为 2 个像素 */
text-shadow: 1px 1px 2px red;
/* 将字体大小设置为文档默认字体大小的两倍 */
font-size: 2rem;
}
使用双引号包裹值
在可以或应该包含引号的地方，请使用引号（并使用双引号）。例如：
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[data-vegetable="liquid"] {
background-color: goldenrod;
background-image: url("../../media/examples/lizard.png");
}
全写和简写规则
通常，在教授 CSS 语法的细节时，使用全写属性比使用简写属性更清晰明了（除非你通过示例来解释简写属性）。请记住，MDN Web 文档上的示例的目的是教会人们，而不是显得高明或高效。我们在这里解释为什么推荐使用全写规则。
通常很难理解简写的含义。在下面的示例中，需要一定的时间才能分析出 font 语法的作用。
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font: small-caps bold 2rem/1.5 sans-serif;
而下面的样式更清晰：
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font-variant: small-caps;
font-weight: bold;
font-size: 2rem;
line-height: 1.5;
font-family: sans-serif;
CSS 简写可能会带来潜在的陷阱——为你没有显式设置的语法部分设置默认值，这可能会导致你在层叠中设置的值意外重置，或者产生其他预期的效果。例如，grid 属性为未指定的项目设置了以下所有默认值：
grid-template-rows: none
grid-template-columns: none
grid-template-areas: none
grid-auto-rows: auto
grid-auto-columns: auto
grid-auto-flow: row
column-gap: 0
row-gap: 0
column-gap: normal
row-gap: normal
有些简写仅在你按照特定的顺序包含不同的值的组成部分时才能按预期工作。CSS 动画就是这样的。在下面的示例中，预期的顺序被写成了注释：
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/* duration | timing-function | delay | iteration-count
direction | fill-mode | play-state | name */
animation: 3s ease-in 1s 2 reverse both paused slidein;
在该示例中，第一个可以解析为 <time> 的值会被赋值给 animation-duration 属性，第二个可以解析为时间的值会被赋值给 animation-delay。（更多信息请参阅 animation 语法的详细内容。）
移动优先的媒体查询
在包含针对不同目标视口大小的媒体查询样式的样式表中，首先包含窄屏/移动设备的样式，然后再添加任何其他媒体查询。通过连续的媒体查询添加更宽视口大小的样式。遵循这个规则有很多优点，这些优点在移动优先文章中有详细的解释。
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/* 适用于窄屏的默认 CSS 布局 */
@media (min-width: 480px) {
/* 适用于中宽屏的 CSS */
}
@media (min-width: 800px) {
/* 适用于宽屏的 CSS */
}
@media (min-width: 1100px) {
/* 适用于超宽屏的 CSS */
}
选择器
请不要使用 ID 选择器，因为它们：
灵活性较差；在你需要多个此类选择器时，就不应该再添加了。
难以覆盖，因为它们的优先级高于类。
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.editorial-summary {
/* ... */
}
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#editorial-summary {
/* ... */
}
移除属性的值
在移除边框（或其他任何可以使用 0 或 none 作为值的属性）时，请使用 0 而不是 none：
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border: 0;
参见
CSS 参考索引——浏览 CSS 属性参考页面，查看一些好的、简洁的、有意义的 CSS 片段。我们在“试一试”部分的交互式示例通常是按照本页面所述的指南编写的。
HTML 代码示例编写指南
下面的指南涵盖了如何为 MDN Web 文档编写 HTML 示例代码。
HTML 代码示例常规指南
格式的选择
关于正确缩进、空格和行长度的意见一直存在争议。对这些主题的讨论会分散注意力，从而影响内容的创建和维护。
在 MDN Web 文档中，我们使用 Prettier 作为代码格式化工具，以保持代码风格的一致性（并避免偏离主题讨论）。你可以参考我们的配置文件来了解当前的规则，并阅读 Prettier 的文档。
Prettier 格式化所有代码并保持风格一致。尽管如此，你仍需要遵循一些额外的规则。
完整的 HTML 文档
备注： 这个小节中的指南只适用于你需要展示一份完整的 HTML 文档的时候。一个片段通常就足以用于演示一种特性。在使用 EmbedLiveSample 宏时，只需要包含 HTML 片段，片段会在显示的时候被自动插入到一个完整的 HTML 文档中。
Doctype
你应当使用 HTML5 doctype。它简短、易于记忆并且向后兼容。
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<!doctype html>
文档语言
在你的 <html> 元素上使用 lang 属性设置文档的语言：
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<html lang="zh-CN"></html>
这对于无障碍功能和搜索引擎有益，有助于本地化内容以及提醒人们使用最佳实践。
文档字符集
你还应当像这样定义你的文档的字符集：
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<meta charset="utf-8" />
除非你有特别好的理由，否则都应使用 UTF-8，无论你在文档中使用什么语言，它都能很大程度地覆盖到所有需要的字符。
Viewport meta 标签
最后，你应当永远记得在 HTML <head> 标签里添加 viewport meta 标签，好让你的代码示例更好地在移动设备上运作。你至少应该在文档中包含以下内容，以后可以根据需要进行更改：
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<meta name="viewport" content="width=device-width" />
参阅使用 viewport meta 标签在移动浏览器上控制布局了解详情。
属性
你应该把所有的属性值放在双引号之间。自从 HTML5 允许省略引号后，人们会很轻易地省略引号，但是添加引号能让标记更加简洁和易读。例如，这样就比较好：
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<img src="images/logo.jpg" alt="A circular globe icon" class="no-border" />
比这样要好：
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<img src=images/logo.jpg alt=A circular globe icon class=no-border>
省略引号还会引发问题。在上面的示例里，alt 属性会被解释为多个属性，因为没有引号来明确“A circular globe icon”是单个属性值。
布尔属性
不要让布尔属性含有属性值（但是枚举属性要含有值），你可以只写属性名来设置布尔属性。比如，你可以写：
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<input required />
这是完全能读懂并且能良好运作的。如果一个 HTML 布尔属性有出现，它的值就是真。尽管含有属性值也能运作，但那是不必要且不正确的：
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<input required="required" />
大小写
对元素名和属性名/值使用小写，因为这样看起来更整洁并且可以让你更快地书写标记。例如：
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<p class="nice">这样看着挺好而且整洁</p>
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<P CLASS="WHOA-THERE">为什么这标记看着像是在咆哮？</P>
Class 和 ID 名称
使用语义化的 class/ID 名称，并且使用连字符分隔多个单词（短横线命名法）。不要使用驼峰式命名法。例如：
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<p class="editorial-summary">其他内容</p>
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<p class="bigRedBox">其他内容</p>
实体引用
不要使用不必要的实体引用——尽可能使用字面的字符（你仍然需要转义像尖括号和引号这样的字符）。
举个例子，你可以就这么写：
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<p>© 2018 Me</p>
不要这么写：
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<p>© 2018 Me</p>
HTML 元素
MDN Web 文档对书写 HTML 元素有一些规则。遵守这些规则可以对元素及其组件进行一致的描述，并且能确保正确链接到详细的文档。
元素名称：使用 HTMLElement 宏，可以创建一个指向对应元素的 MDN Web 文档页面的链接。例如，书写 {{HTMLElement("title")}} 会产生“<title>”。如果你不想创建链接，将元素名称用尖括号括起来并且使用“行内代码”样式（例：<title>）。
属性名称：使用“行内代码”样式将属性名称设为“代码字体”。另外，在对属性作用的解释中关联性地提及属性时或是在页面中第一次使用该属性，要将属性名称设为“粗体”。
属性值：使用“行内代码”样式将 <code> 应用于属性值，并且除非是出于代码示例的语法需要，否则不要在字符串值周围使用引号。例如：“当 <input> 元素的 type 属性被设为 email 或 tel……”。
JavaScript 代码示例编写指南
以下指南涵盖了如何为 MDN Web Docs 编写 JavaScript 示例代码。本文列出了编写简洁示例的规则，以期这些示例将被尽可能多的人理解。
JavaScript 代码示例常规指南
本节解释了编写 JavaScript 代码示例时要牢记的一般准则。后面的部分将涵盖更具体的细节。
选择格式
关于正确缩进、空格和行的长度方面的观点一直存在争议。对这些主题的讨论会分散创作和维护内容的注意力。
在 MDN Web Docs，我们使用 Prettier 作为代码格式化工具以保持代码样式的一致性（同时避免偏离主题的讨论）。你可以查阅我们的配置文件了解当前规则，并阅读 Prettier 文档。
Prettier 格式化所有代码并保持风格一致。尽管如此，你还需要遵守一些额外的规则。
使用现代 JavaScript 特性
如果新的特性被每个主流的浏览器——Chrome、Edge、Firefox 和 Safari 所支持，你就可以使用它们。
数组
创建数组
请使用字面量而非构造函数来创建数组。
像这样来创建数组：
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const visitedCities = [];
而不要这样创建数组：
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const visitedCities = new Array(length);
添加元素
向数组添加元素时，请使用 push() 而非直接赋值。考虑有如下数组：
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const pets = [];
像这样向数组添加元素：
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pets.push("cat");
而不要像这样向数组添加元素：
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pets[pets.length] = "cat";
异步方法
编写异步代码可以提高性能，应尽可能使用。特别是，你可以使用：
Promise
async/await
当两种语法都可行时，我们倾向于使用更简单的 async/await 语法。不幸的是，你不能在顶层使用 await，除非你在 ECMAScript 模块中。但 Node.js 使用 CommonJS 模块而不是 ES 模块。因此，如果你打算在所有地方使用该示例，请避免顶层的 await。
注释
注释对于编写良好的代码示例非常重要。它们清楚地阐明了代码的意图，并帮助开发者理解它。因此要特别注意它们。
如果代码的目的或逻辑不明显，请添加表明你的意图的注释，就像下面这样：
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let total = 0;
// 计算数组 arr 的前四个元素的和
for (let i = 0; i < 4; i++) {
total += arr[i];
}
另一方面，请不要用文字重述代码来作为注释：
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let total = 0;
// 从 1 到 4 的 for 循环
for (let i = 0; i < 4; i++) {
// 将值累加到总和（total）
total += arr[i];
}
当函数的名称清楚地描述了它们的作用时，不需要再注释。如：
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closeConnection();
不要写像下面这样的注释：
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closeConnection(); // 关闭连接
使用单行注释
单行注释用 // 标记，与包含在 /* … */ 之间的块注释相反。
通常情况下，使用单行注释来注释代码。编写者必须用 // 标记每一行的注释，这样就更容易直观地注意到注释掉的代码。此外，这种约定允许在调试时使用 /* … */ 注释掉部分代码。
在斜杠和空格之间留一个空格。（英文的）注释以大写字母开头，就像句子一样，但不要在结尾加句号。
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// 这是一个良好的单行注释
如果一个注释没有在新缩进级别之后开始，请在空行后添加注释。这将创建一个代码块，使得注释与代码的关联更加清晰。此外，将你的注释放在它们所指的代码之前的单独一行上。如下例所示：
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function checkout(goodsPrice, shipmentPrice, taxes) {
// 计算总价
const total = goodsPrice + shipmentPrice + taxes;
// 创建一个文档并向其添加一个新的段落
const para = document.createElement("p");
para.textContent = `总价是 ${total}`;
document.body.appendChild(para);
}
打印的输出
对于预期在生产环境中运行的代码，你很少会需要对打印语句进行注释。在代码示例中，我们经常使用 console.log()、console.error() 或类似的函数来输出重要的值。为了帮助读者在不运行代码的情况下理解会发生什么，你可以在打印函数之后注释输出的内容。比如：
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function exampleFunc(fruitBasket) {
console.log(fruitBasket); // ['香蕉', '芒果', '橙子']
}
请不要这样写：
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function exampleFunc(fruitBasket) {
// 输出：['香蕉', '芒果', '橙子']
console.log(fruitBasket);
}
如果这样会让行变得太长，请将注释放在函数之后，如下所示：
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function exampleFunc(fruitBasket) {
console.log(fruitBasket);
// ['香蕉', '芒果', '橙子', '苹果', '梨', '榴莲', '柠檬']
}
多行注释
简短的注释通常更好，所以尝试将他们保持在 60–80 个字符的单行中。如果这不可能，请在每行的开头使用 //：
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// 这是一个多行注释的示例。
// 假设下面的函数有一些我想指出的不寻常的局限性。
// 局限 1
// 局限 2
请不要使用 /* … */：
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/* 这是一个多行注释的示例。
假设下面的函数有一些我想指出的不寻常的局限性。
局限 1
局限 2 */
使用注释来标记省略号
为了保持示例简短，我们需要使用省略号（…）来跳过冗余代码。尽管如此，编写者应该仔细考虑，因为开发者经常复制粘贴示例到他们的代码中，所以我们所有的示例代码都应该是有效的 JavaScript。
在 JavaScript 中，你应该将省略号（…）放在注释之中。可能的话，请指出重用此代码片段的人预计会添加什么操作。
对省略号（…）使用注释更加明确，可以防止开发人员复制和粘贴示例代码时出现错误。比如：
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function exampleFunc() {
// 在此处添加你的代码
// …
}
请不要像这样这样使用省略号（…）：
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function exampleFunc() {
…
}
注释掉参数
在编写代码时，你通常会省略你不需要的参数。但在某些代码示例中，你想要显式的说明你没有使用某些可能的参数。
为此，请在参数列表中使用 /* … */。这是只使用单行注释（//）的规则的一个例外。
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array.forEach((value /* , index, array */) => {
// …
});
函数
函数名称
对于函数名称，请使用以小写字母开头的小驼峰式命名。酌情使用简洁、可读的和语义化的名称。
以下是函数名称的正确示例：
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function sayHello() {
console.log("你好！");
}
请不要使用像这样的函数名称：
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function SayHello() {
console.log("你好！");
}
function doIt() {
console.log("你好！");
}
函数声明
在可能的情况下，请使用函数声明而不是函数表达式来定义函数。
以下是声明函数的推荐方式：
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function sum(a, b) {
return a + b;
}
以下不是定义函数的好方法：
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let sum = function (a, b) {
return a + b;
};
当使用匿名函数作为回调（传递给另一个方法调用的函数），如果你不需要访问 this，使用箭头函数可以让代码更加简洁明了。
以下是推荐的方式：
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const array1 = [1, 2, 3, 4];
const sum = array1.reduce((a, b) => a + b);
而不是这样：
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const array1 = [1, 2, 3, 4];
const sum = array1.reduce(function (a, b) {
return a + b;
});
考虑避免使用箭头函数将函数分配给标识符。尤其是，不要对方法使用箭头函数。使用带有关键字 function 的函数声明：
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function x() {
// …
}
不要这样：
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const x = () => {
// …
};
使用箭头函数时，尽可能使用隐式返回（也称为表达式主体）：
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arr.map((e) => e.id);
而不是：
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arr.map((e) => {
return e.id;
});
循环和条件语句
循环初始化
当需要循环时，从 for(;;)、for...of、while 等中选择合适的。
在遍历集合中的所有元素时，避免使用传统的 for (;;) 循环；优先使用 for...of 或 forEach()。请注意，如果你使用的是一个不是 Array 的集合，你必须检查 for...of 是否真的被支持（它需要变量是可迭代的），或者 forEach() 方法是否存在。
使用 for...of：
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const dogs = ["旺财", "来福"];
for (const dog of dogs) {
console.log(dog);
}
或 forEach()：
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const dogs = ["旺财", "来福"];
dogs.forEach((dog) => {
console.log(dog);
});
请不要使用 for (;;)——你不仅需要添加额外的索引 i，你还必须跟踪数组的长度。这对于初学者来说很容易出错。
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const dogs = ["旺财", "来福"];
for (let i = 0; i < dogs.length; i++) {
console.log(dogs[i]);
}
确保你正确地定义了初始化器，对 for...of 使用 const 关键字，或对其他循环使用 let。注意不要遗漏。以下是正确的示例：
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const cats = ["汤姆", "胖橘"];
for (const cat of cats) {
console.log(cat);
}
for (let i = 0; i < 4; i++) {
result += arr[i];
}
下面的示例没有遵循推荐的初始化准则（它隐式创建了全局变量，并且在严格模式下会失败）：
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const cats = ["汤姆", "胖橘"];
for (i of cats) {
console.log(i);
}
但是需要同时范围值和索引时，你可以使用 .forEach() 而不是 for (;;)。例如：
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const gerbils = ["舒克", "贝塔"];
gerbils.forEach((gerbil, i) => {
console.log(`沙鼠 ${i} 号：${gerbil}`);
});
请不要这样写：
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const gerbils = ["舒克", "贝塔"];
for (let i = 0; i < gerbils.length; i++) {
console.log(`沙鼠 ${i} 号：${gerbil}`);
}
警告： 切勿使用 for...in 遍历数组和字符串。
备注： 考虑完全不使用 for 循环。如果你正在使用 Array（或者在某些操作中使用 String），请考虑使用更具语义的迭代方法，比如 map()、every()、findIndex()、find()、includes() 等。
控制语句
对于 if...else 控制语句，有一个值得注意的情况。如果 if 语句以 return 结尾，则不要添加 else 语句。
在 if 语句后继续，例如：
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if (test) {
// 如果 test 为真则执行某些操作
// …
return;
}
// 如果 test 为假则执行某些操作
// …
请不要这样写：
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if (test) {
// 如果 test 为真则执行某些操作
// …
return;
} else {
// 如果 test 为假则执行某些操作
// …
}
将大括号与控制流语句和循环一起使用
虽然像 if、for 和 while 的控制流语句不需要在内容中只有一个语句时使用大括号，但你总是应该使用大括号。比如：
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for (const car of storedCars) {
car.paint("红色");
}
不要这样写：
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for (const car of storedCars) car.paint("红色");
这可以防止忘记在添加更多语句时添加大括号。
Switch 语句
switch 语句可能有点棘手。
不要在 return 语句后添加 break 语句。相反，请像下面这样编写 return 语句：
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switch (species) {
case "chicken":
return farm.shed;
case "horse":
return corral.entry;
default:
return "";
}
如果你添加了 break 语句，它会是不可达的。不要这样写：
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switch (species) {
case "chicken":
return farm.shed;
break;
case "horse":
return corral.entry;
break;
default:
return "";
}
使用 default 作为最后一个 case，不要在 default 后面添加 break 语句。如果你需要做不同的事情，请添加注释来解释为什么。
请记住，当你为一个 case 声明一个局部变量时，你需要使用大括号来定义作用域：
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switch (fruits) {
case "Orange": {
const slice = fruit.slice();
eat(slice);
break;
}
case "Apple": {
const core = fruit.extractCore();
recycle(core);
break;
}
}
错误处理
如果程序的某些状态引发未捕获的错误，它们会停止执行，并可能降低示例的可用性。因此，你应该使用 try...catch 块来捕获错误，如下所示：
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try {
console.log(getResult());
} catch (e) {
console.error(e);
}
在你不需要 catch 语句的参数时，请省略它：
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try {
console.log(getResult());
} catch {
console.error("发生了一个错误！");
}
备注： 请记住，只有可恢复的错误才应该被捕获和处理。所有不可恢复的错误都应该被抛出，并在调用栈中逐级向上冒泡。
对象
对象名称
当定义一个类时，使用大驼峰式（以大写字母开头）来命名类，使用小驼峰式（以小写字母开头）来命名对象属性和方法名。
当定义一个对象实例时，使用字面量或构造函数，请使用小驼峰式（以小写字母开头）为实例命名。比如：
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const hanSolo = new Person("Han Solo", 25, "he/him");
const luke = {
name: "Luke Skywalker",
age: 25,
pronouns: "he/him",
};
创建对象
对于创建普通对象（即，当不涉及类时），请使用字面量而非构造函数。
例如，这样做：
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const object = {};
不要像这样创建普通对象：
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const object = new Object();
对象类
使用新的 ES 类语法进行定义，而不是构造函数。
例如，这是推荐的方式：
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class Person {
constructor(name, age, pronouns) {
this.name = name;
this.age = age;
this.pronouns = pronouns;
}
greeting() {
console.log(`你好！我是 ${this.name}`);
}
}
使用 extends 进行继承：
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class Teacher extends Person {
// …
}
方法
要定义方法，请使用方法定义语法：
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const obj = {
foo() {
// …
},
bar() {
// …
},
};
而不是：
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const obj = {
foo: function () {
// …
},
bar: function () {
// …
},
};
对象属性
Object.prototype.hasOwnProperty() 方法已被弃用，取而代之的是 Object.hasOwn()。
在可能的情况下，使用简写来避免属性标识符的重复。比如：
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function createObject(name, age) {
return { name, age };
}
不要这样写：
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function createObject(name, age) {
return { name: name, age: age };
}
运算符
本节列出了我们对使用哪些运算符以及何时使用的建议。
条件运算符
当你想要根据条件将一个字面量存储到变量中时，请使用条件（三元）运算符而不是 if...else 语句。此规则也适用于返回值时。比如：
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const x = condition ? 1 : 2;
而不要这样：
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let x;
if (condition) {
x = 1;
} else {
x = 2;
}
条件运算符在创建用来打印新信息的字符串时很有帮助。在这种情况下，使用常规的 if...else 语句会导致像打印日志这样的副操作变成长代码块，会混淆示例的重点。
严格相等运算符
优先使用严格相等（三等号）和不等运算符，而不是相等运算符（双等号）和不等运算符。
像这样使用严格相等和不等运算符：
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name === "Shilpa";
age !== 25;
不要像下面这样使用宽松相等和不等运算符：
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name == "Shilpa";
age != 25;
如果你需要使用 == 或 !=，请记住 == null 是唯一可接受的情况。由于 TypeScript 在所有其他情况下都会失败，因此我们不希望在示例代码中使用。考虑添加注释来解释你为什么需要它。
布尔值测试的简便方式
优先使用简便布尔值测试。例如，使用 if (x) 和 if (!x)，而不是 if (x === true) 和 if (x === false)，除非以不同的方式处理不同种类的真值或假值。
字符串
字符串字面量可以用单引号包含起来，比如 'A string'，也可以用双引号包含起来，比如 "A string"。不过，请不要在意需要选择使用哪个，Prettier 会保持一致。
模版字面量
要将值插入字符串，请使用模板字面量。
这里是一个推荐的使用模板字面量的例子。它们的使用可以防止大量的空格错误。
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const name = "Shilpa";
console.log(`你好！我是 ${name}！`);
请不要像这样串联字符串：
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const name = "Shilpa";
console.log("你好！我是 " + name + "！"); // 你好！我是 Shilpa！
请不要过度使用模版字面量。如果没有替换的话，请使用普通字符串。
变量
变量名称
好的变量名对理解代码至关重要。
使用简短的标识符，并避免不常用的缩写。好的变量名通常在 3 到 10 个字符之间，但这只是一个提示。例如，accelerometer 比为了字符长度而减短的缩写 acclmtr 更具描述性。
尝试使用现实世界相关的例子，其中每个变量都有清晰的语义。只有在示例简单且随意时才使用占位名称，比如 foo 和 bar。
不要使用匈牙利命名法命名约定。不要在变量名前面加上类型。比如，不要写成 bBought = oCar.sBuyer != null 或 sName = "John Doe"，而是写成 bought = car.buyer !== null 或 sName = "John Doe"。
对于集合，避免在命名中添加例如列表、数组、队列这样的类型名称。使用复数形式的内容名称。例如，对于汽车数组，使用 cars 而不是 carArray 或 carList。有时会有例外，比如你想在没有特定应用程序的上下文中展示一个特性的抽象形式。
对于原始值，使用小驼峰命名法，以小写字母开头。不要使用 _。在适当的情况下，使用简洁、可读性好且语义化的名称。比如，使用 currencyName 而不是 currency_name。
避免使用冠词和所有格，例如，使用 car 而不是 myCar 或 aCar。有时会有例外，比如你想在没有特定应用程序的上下文中展示一个特性的抽象形式。
使用变量名如下所示：
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const playerScore = 0;
const speed = distance / time;
不要像这样命名变量：
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const thisIsaveryLONGVariableThatRecordsPlayerscore345654 = 0;
const s = d / t;
备注： 唯一不允许使用可读性好的语义名称的地方是存在非常公认的惯例，例如将 i 和 j 用于循环迭代器。
变量声明
在声明变量和常量时，使用 let 和 const 关键字，而不是 var。下面的例子展示了 MDN Web 文档上推荐的和不推荐的用法：
如果一个变量不会被重新赋值，请使用 const，如下所示：
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const name = "Shilpa";
console.log(name);
如果你会改变变量的值，请使用 let，如下所示：
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let age = 40;
age++;
console.log("生日快乐！");
下面的示例在应该使用 const 的地方使用了 let，代码仍然可以运行，但我们希望在 MDN Web 文档代码示例中避免这种用法。
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let name = "Shilpa";
console.log(name);
下面的示例使用 const 声明了一个变量，该变量会被重新赋值。重新赋值会抛出一个错误。
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const age = 40;
age++;
console.log("生日快乐！");
下面的示例使用了 var，这会污染全局作用域：
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var age = 40;
var name = "Shilpa";
一行声明一个变量，如下所示：
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let var1;
let var2;
let var3 = "张三";
let var4 = var3;
不要在一行中通过逗号或链式声明来声明多个变量。避免像这样声明变量：
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let var1, var2;
let var3 = var4 = "张三"; // var4 被隐式创建为全局变量；这在严格模式下会失败
强制类型转换
避免隐式强制类型转换。特别是，避免 +val 以强制将值转换未为数字，以及 "" + val 来将其强制转换为字符串。改为在不使用 new 的情况下使用 Number() 和 String()。例如：
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class Person {
#name;
#birthYear;
constructor(name, year) {
this.#name = String(name);
this.#birthYear = Number(year);
}
}
不要这样写：
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class Person {
#name;
#birthYear;
constructor(name, year) {
this.#name = "" + name;
this.#birthYear = +year;
}
}
要避免的 Web API
除了这些 JavaScript 语言特性之外，我们还建议你牢记一些与 Web API 相关的准则。
避免浏览器前缀
如果所有主流浏览器（Chrome、Edge、Firefox 和 Safari）都支持某个特性，请不要在该特性前面加上前缀。比如：
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const context = new AudioContext();
避免增加前缀的复杂性，不要这样写：
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const AudioContext = window.AudioContext || window.webkitAudioContext;
const context = new AudioContext();
同样的规则也适用于 CSS 前缀。
避免已弃用的 API
当一个方法、属性或一整个接口都已经弃用，不要使用它（除了它的文档）。相反，使用现代的 API。
以下是要避免的 Web API 以及用什么来替换它们的非详尽列表：
使用 fetch() 来替代 XHR（XMLHttpRequest）。
在 Web 音频 API 中使用 AudioWorklet 来替代 ScriptProcessorNode。
使用安全可靠的 API
请不要使用 Element.innerHTML 将纯文本内容插入到元素中；而是使用 Node.textContent 替代。innerHTML 属性可能会导致安全问题，如果开发人员不控制参数。作为编写者，我们越避免使用它，开发者复制和粘贴我们的代码时产生的安全漏洞就越少。
下面的示例演示了 textContent 的用法。
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const text = "父老乡亲们大家好";
const para = document.createElement("p");
para.textContent = text;
不要使用 innerHTML 将纯文本插入到 DOM 节点中。
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const text = "父老乡亲们大家好";
const para = document.createElement("p");
para.innerHTML = text;
alert() 函数是不可靠的。在 MDN Web 文档，它在嵌入到 <iframe> 中的实时示例内无法正常工作。此外，它是对整个窗口的模态提示，这很令人讨厌。在静态代码示例中，使用 console.log() 或 console.error()。在实时示例中，避免使用 console.log() 和 console.error()，因为它们不会显示。而是使用专用的 UI 元素。
使用合适的打印方法
当打印一个消息时，使用 console.log()。
当打印一个错误时，使用 console.error()。
参见
JavaScript 参考——浏览我们的 JavaScript 参考页面，查看一些优秀、简洁、有意义的 JavaScript 代码片段。
shell 提示符代码示例编写指南
下面的指南涵盖了如何为 MDN Web 文档编写 shell 提示符示例代码。
什么是“shell”
shell 是一个等待你输入命令然后按回车键的程序。为了指明你应该输入哪些命令，MDN Web 文档上的内容会在代码块中列出这些命令，类似于代码示例。
这样的一块内容类似如下：
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# 这可能需要运行一段时间...
git clone https://github.com/mdn/content
cd content
shell 提示符代码示例常规指南
格式的选择
关于正确缩进、空格和行长度的意见一直存在争议。对这些主题的讨论会分散注意力，从而影响内容的创建和维护。
在 MDN Web 文档中，我们使用 Prettier 作为代码格式化工具，以保持代码风格的一致性（并避免偏离主题讨论）。你可以参考我们的配置文件来了解当前的规则，并阅读 Prettier 的文档。
Prettier 格式化所有代码并保持风格一致。尽管如此，你仍需要遵循一些额外的规则。
撰写 shell 代码块
当撰写 shell 代码块时：
不要在 shell 指令的开头包含 $ 或 >。这只会造成混淆，在复制指令时并无用处。
注释以 # 开头。
在 markdown 中，选择“bash”来代表本段代码的语言。
参见
Django 服务端开发文档展示了 shell 提示符命令的良好演示方式。
文档结构
在 MDN 上，有一些文档结构被用于确保信息在 MDN 文章中的呈现方式一致。本页面列出了描述这些结构的文章，以便你可以根据需要对你编写、编辑或翻译的文档内容进行适当修改。
代码示例
在 MDN 上，你会看到整个页面中有许多代码示例插入，以展示 web 平台功能的使用。本文讨论了在页面中添加代码示例的不同机制，以及你应该使用哪些机制和何时使用。
使用宏
为了自动化执行某些工作，Yari 平台提供了一个强大的宏系统——KumaScript。本文提供了一些相关信息，方便你在参与编辑 MDN 时使用这些宏。
侧边栏
MDN 支持在页面中添加侧边栏；这些框是包含到 MDN 上的其他页面或站外页面链接的可分层列表。本文描述了如何创建侧边栏。
兼容性表格和浏览器兼容性数据仓库（BCD）
MDN 为我们的开放 web 文档提供了兼容性表格的标准格式；它是对比所有浏览器之间，包含 DOM、HTML、CSS、JavaScript、SVG 等技术的文档。为使这些数据可以编程的方式在在多个项目中可用，我们从 browser-compat-data 仓库构建了一个 Node.js 包，并将其发布到了 npm。
横幅和通知
横幅被添加到一些页面中，特别是 API 参考页面，以突出影响所描述内容使用的重要因素。例如，横幅可以强调一个特定的接口、方法或属性被废弃，并且不应该在生产代码中使用时的情况。
特性状态
特性状态为开发者提供了有关特性在各浏览器厂商的实现阶段的信息，有以下几种状态：
规范表格
MDN 上的每一个参考页面都应该提供有关该 API 或技术定义的一个或多个规范的信息。这篇文章展示了这些表格的样子，并解释了如何添加这些表格。
语法小节
MDN 参考页面的语法小节包含一个语法框，其定义了某个特性的确切语法（例如，它可以接受哪些参数，哪些参数是可选的）。本文将解释如何编写参考页面的语法框。
运行实例
MDN 支持将文章中的示例代码转化为读者可以实际查看的在线演示。这被称为运行实例，使得用户可以查看代码的实际输出。这使得文档变得更具动态性和指导性。
页面类型
MDN 有许多复用的页面类型。本文描述了这些页面类型和它们的作用，并给出了每个页面类型的示例和创建新页面时使用的模板。
代码示例
在 MDN 上，你会看到整个页面中有许多代码示例插入，以展示 web 平台功能的使用。本文讨论了在页面中添加代码示例的不同机制，以及你应该使用哪些机制和何时使用。
备注： 如果你想了解 MDN 文章中出现的代码的风格和提示，而不是包含代码的不同方式，请参见我们的代码风格指南。
都有哪些类型的代码示例可用？
在 MDN 上有四种可用的代码示例：
静态示例——纯代码块，可能含有静态的代码运行结果的屏幕截图。
交互示例——用于创建在线交互示例的系统，允许你随时更改代码，以查看效果，并轻松复制运行结果。
传统的 MDN“运行实例”——一个宏，接受普通代码块作为参数，将它们动态地放入文档中的 <iframe> 元素内，并将其嵌入页面，以显示代码的实时运行效果。
GitHub“在线实例”——一个宏，接受 MDN 组织 GitHub 仓库的文档路径作为参数，将其放入文档中的 <iframe> 元素内，并将其嵌入页面，以显示代码的实时运行效果。
我们将在后面章节中依次讨论它们。
每种类型的代码示例适合什么时候使用？
每种代码示例都有自己的用例，什么时候应该使用它们？
如果你只是需要展示一些代码，而且展示实时结果并不那么重要，那么静态例子就很有用。有些人只是想要一些可以复制和粘贴的东西。也许你只是展示一个中间步骤，源代码就足够了（例如，这篇文章是为高级读者准备的，他们只需要看到代码）。另外，你可能是在演示一个 API 功能，而这个功能可能需要有自己单独的页面来链接，作为一个嵌入的例子效果并不好。
交互式的例子很好，因为读者可以即时修改输入——这对学习非常有价值。然而，它们的设置比其他表格更复杂，有更多的限制，而且是为了特定的目的。
如果你想在一个页面上展示源代码，然后展示它的运行，而且你对它作为一个独立的例子被访问并不那么在意，那么传统的运行实例就很有用。这种方法还有一个好处，如果你并排展示源代码和运行实例，你只需要更新一次代码，就可以同时更新这两个代码。然而，它们在编辑和工作时可能会很笨拙。
当你有一个想嵌入的现有例子，不想显示源代码，和（或）你想确保这个例子以独立的形式存在时，GitHub 运行实例很有用。它们有一个更好的贡献工作流程，但需要你了解 GitHub。另外，由于页面上的代码和源代码在两个不同的地方，它们更容易失去同步。
通用指引
除了展示运行实例的具体系统外，在 MDN 上添加或更新示例时，还有一些风格和内容方面的考虑因素需要记住。
当在页面上放置示例时，尽量确保你所写的 API 或概念的所有特性或选项都被涵盖。至少，最常见的选项或属性应该被包括在示例中。
在每个例子之前都要解释这个例子的作用，以及为什么它有趣或有用。
在每一段代码后面都需要有对其作用的解释。
在可能的情况下，把大的例子分成小块。例如，“运行实例”系统会在运行示例前自动将你的所有代码串联成一个片段，因此，如果你选择这样做，你实际上可以将你的 JavaScript、HTML 和（或）CSS 分成更小的片段，并在每个片段后加上描述性文字。这是一个很好的方法，可以帮助读者更清楚地理解长的或复杂的代码。
不仅仅是展示 API 或技术的每一部分是如何工作的，考虑你可能尝试展示的现实世界的使用案例。
静态示例
静态示例是一些静态代码块，它显示了在代码中如何使用一种特性。它们使用 Markdown 示例代码块的形式放置在页面中。一个示例代码块可能如下所示：
js
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// This is a JS example
const test = "Hello";
console.log(test);
交互示例
交互式示例主要用于 MDN 参考页面的顶部——我们的目标是提供这些示例，以提高其对初学者和其他想要在看到所查找的所有细节之前快速理解一个例子的读者的价值。关于交互式示例，有几个重要的限制需要注意：
它们是专门针对某一特定技术的——JavaScript 的用户界面与 CSS 的用户界面不同，而且它们只能孤立地说明一种技术。如果你想展示如何将不同技术结合使用，如将 HTML、CSS 和 JS 结构放在一起，就不合适。
交互式运行实例目前仅为显示 CSS 和 JavaScript 设置，对于其他技术，你需要等待。
与其他代码示例相比，用户界面对性能的要求更高；最好不要在所在 MDN 文章上放置多于一个交互示例。
这种示例并不适合承载很大的代码量——用户界面只支持一系列固定的大小，且只对短小的示例（10-15 行）奏效。
如果你想提交一个示例，请参照交互示例仓库贡献指引。
如果你发现某个页面没有相应的交互示例，欢迎贡献一个！
交互示例演示
EmbedInteractiveExample 宏用来在 MDN 页面中嵌入完整示例。例如，{{EmbedInteractiveExample("pages/js/array-push.html")}} 宏调用会在页面上显示如下代码示例：
尝试一下
试试调整代码，看看能发生什么，也可以摆弄摆弄其中的控制按钮。
传统运行实例
传统运行实例使用 EmbedLiveSample 宏插入页面。一个 {{EmbedLiveSample}} 调用将动态抓取本页面的所有代码块，并放置在同一个文档，然后插入至页面的 <iframe> 元素中。请查阅运行实例指引以了解更多信息。
格式化运行实例
如果你在“示例”部分撰写了运行实例，请为该示例提供一个描述性的 H3 标题（###）。最好写一个简短的描述，解释这个例子的情景和你希望展示的内容。然后用 H4 标题（####）添加分节，按所列顺序排列：
HTML
CSS
JavaScript
结果
在上面列出的各个小节中编写代码块。在结果小节中，添加对 EmbedLiveSample 宏的调用，最好在这个小节中再加入一些文字来描述结果。 如果不使用某个特定的语言类型（例如，如果你不使用 JavaScript），或者隐藏了它，那么就应该省略相应的标题。
例如：
md
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## 示例
### 为段落添加样式
在这个示例中，我们将使用 CSS 来为含有 `fancy` 类的段落添加样式。
#### HTML
```html
<p>I'm not fancy.</p>
<p class="fancy">But I am!</p>
```
#### CSS
```css
p.fancy {
color: red;
}
```
#### 结果
{{EmbedLiveSample("为段落添加样式")}}
只有含有 `class="fancy"` 的 `<p>` 元素才会显示为红色。
隐藏代码
有时你只想在一个页面中显示与实例相关的静态代码块。然而，你仍然需要 HTML、CSS 和 JavaScript 来呈现这样一个例子。
为了实现这一点，你可以用 hidden 类隐藏任何与之相关的代码块。
在隐藏了 HTML 代码的情况下继续使用上面的例子，看起来是这样的：
md
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## 示例
### 为段落添加样式
在这个示例中，我们将使用 CSS 来为含有 `fancy` 类的段落添加样式。
#### HTML
```html hidden
<p>I'm not fancy.</p>
<p class="fancy">But I am!</p>
```
#### CSS
```css
p.fancy {
color: red;
}
```
#### 结果
{{EmbedLiveSample("为段落添加样式")}}
只有含有 `class="fancy"` 的 `<p>` 元素才会显示为红色。
GitHub 在线实例
一般使用 EmbedGHLiveSample 宏将 GitHub 在线实例插入到页面中。一个 {{EmbedGHLiveSample}} 调用将从给定的（GitHub mdn 组织的）URL 中动态抓取文档，并插入至页面的 <iframe> 元素中。
其工作方式与传统的运行实例非常相似，但它们要简单得多：
不必担心代码块在页面上的位置——该宏会自动从 GitHub 库中抓取 HTML 文档，并将其放入 <iframe> 中。
该宏只有三个参数：
要嵌入的文档的 URL——这是相对于顶级目录为 https://mdn.github.io/ 的 MDN 组织而言的。这个参数需要包含 URL 后面的部分，例如：my-subdirectory/example.html。如果它被称为 index.html，你可以省略文件名。
<iframe> 的宽度，可以用百分比或像素来表示。
<iframe> 的高度，可以用百分比或像素来表示。
让我们看一个例子。假设我们想嵌入来自 https://mdn.github.io/learning-area/css/styling-boxes/backgrounds/ 的代码，我们可以使用如下调用：
{{EmbedGHLiveSample("learning-area/css/styling-boxes/backgrounds/", '100%', 100)}}
渲染过后，看起来像这样：
GitHub 在线实例指引
显然，你需要先把一个合适的代码示例放置到 MDN GitHub 组织上，这需要使用 Git 来完成。如果你不熟悉 Git，请查看如何使用 GitHub Pages？文章，以及准备添加数据以了解更进一步的用途。
你的代码样本需要适合展示你所要展示的内容——它应该包含一个简单的例子，能很好地完成一件事，里面不应该有攻击性的内容，并且应该遵循 MDN 代码示例指南。
兼容性表格和浏览器兼容性数据仓库（BCD）
MDN 为我们的开放 web 文档提供了兼容性表格的标准格式；它是对比所有浏览器之间，包含 DOM、HTML、CSS、JavaScript、SVG 等技术的文档。为使这些数据可以编程的方式在在多个项目中可用，我们从 browser-compat-data 仓库构建了一个 Node.js 包，并将其发布到了 npm。
要修改这些表格中的数据，以及获取最新的用于表示数据的流程和 JSON 格式的更改，请参考数据仓库的 contributor guide 和 data guidelines guide。如果你有疑问或是发现了问题，欢迎与我们联系。
In this article
在 MDN 页面中使用浏览器兼容性数据
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在 MDN 页面中使用浏览器兼容性数据
Report problems with this compatibility data • View data on GitHub
desktop
mobile
server
Chrome
Edge
Firefox
Opera
Safari
Chrome Android
Firefox for Android
Opera Android
Safari on iOS
Samsung Internet
WebView Android
WebView on iOS
Deno
Node.js
AbortController
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AbortController() constructor
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abort
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Legend
Tip: you can click/tap on a cell for more information.
Full support
Full support
Partial support
Partial support
Has more compatibility info.
api.AbortController
Specification
DOM
# interface-abortcontroller
一旦你创建的兼容性数据被包含在 browser-compat-data 仓库中，你就可以开始根据 MDN 页面上的数据动态生成浏览器兼容性表格和规范表格。
首先，你需要确定你希望包含的相关兼容性数据的查询字符串。可以通过检查其源文件来确定。例如：
AbortController 的兼容性数据在 api/AbortController.json 中定义，可以使用 api.AbortController 来引用它。
Content-Type HTTP 标头的兼容性数据在 http/headers/content-type.json 中定义，可以使用 http.headers.Content-Type 来引用它。
VRDisplay.capabilities 属性的兼容性数据在 api/VRDisplay.json 中定义，可以使用 api.VRDisplay.capabilities 来引用它。
兼容性数据的查询字符串应在页面的元数据（front-matter）中使用 browser-compat 这个键来指定。例如，对于 AbortController，应该这样添加：
md
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---
title: AbortController
slug: Web/API/AbortController
page-type: web-api-interface
browser-compat: api.AbortController
---
然后源码中的 {{Compat}} 和 {{Specifications}} 宏将会被自动渲染为与元数据对应的兼容性表格和规范表格。
如果需要在同一页面中插入多个兼容性表格，可以将 browser-compat 元数据指定为一个数组。例如，对于 Channel Messaging API，应该这样添加：
md
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---
title: Channel Messaging API
slug: Web/API/Channel_Messaging_API
page-type: web-api-overview
browser-compat:
- api.MessageChannel
- api.MessagePort
---
宏的调用会生成以下的表格（以及对应的备注）：
兼容性表格示例
规范表格示例
特性状态
特性状态为开发者提供了有关特性在各浏览器厂商的实现阶段的信息，有以下几种状态：
experimental
non-standard
deprecated
如果上述状态都不适用，则认为该特性是稳定的标准特性。我们不会在内容页面中明确添加此状态。有关这些术语的详细信息，请参见“实验性、已弃用和过时”页面。
要查看有关如何选择特性状态的详细说明，请参阅 @mdn/browser-compat-data（BCD）仓库中的选择状态属性部分。
如何添加或更新特性状态
MDN 上记录的所有特性的特性状态都在其附带的 @mdn/browser-compat-data（BCD）仓库的条目中定义，并且每当发布新的 BCD 版本时，都会在 mdn/content 仓库中自动更新。
警告： 不要手动更新 mdn/content 仓库中的特性状态。要更新特性的状态，你需要在 BCD 仓库中提交拉取请求。在 BCD 仓库中的更改被批准且合并后，自动创建的拉取请求会更新 mdn/content 仓库中的状态。
自动化流程使用了元数据（front-matter）中的 browser-compat 键。该键存储了在兼容性数据中定位特性所需的 BCD 查询。如果 browser-compat 键有多个值，则自动化流程只使用第一个值来渲染状态宏。
如何在内容中指定特性状态？
以下部分记录了在 MDN 文档中呈现特性状态的机制。如前所述，你应该将这些机制视为只读，因为它们会自动包含到内容中。
侧边栏中的特性状态图标
使用元数据中的 status 属性来显示侧边栏中特性的状态图标：
yml
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---
title: 特性名称
status:
- experimental
- non-standard
- deprecated
browser-compat: api.feature
---
在呈现侧边栏时，代码会查找每个页面的元数据中的状态。如前所述，这些状态会自动更新；你不需要手动更改它们。
特性状态页面横幅
以下宏用于在页眉呈现状态横幅：
{{SeeCompatTable}}
用于 experimental 状态。它会生成实验性状态横幅：
实验性: 这是一项实验性技术
在将其用于生产之前，请仔细检查浏览器兼容性表格。
{{Non-standard_Header}}
用于 non-standard 状态。它会生成非标准状态横幅：
非标准: 该特性尚未标准化。我们不建议在生产环境中使用非标准特性，因为它们在浏览器中的支持有限，且可能发生变化或被移除。不过，在没有标准选项的特定情况下，它们可以作为合适的替代方案。
{{Deprecated_Header}}
用于 deprecated 状态。它会生成已弃用状态横幅：
已弃用: 不再推荐使用该特性。虽然一些浏览器仍然支持它，但也许已从相关的 web 标准中移除，也许正准备移除或出于兼容性而保留。请尽量不要使用该特性，并更新现有的代码；参见本页面底部的兼容性表格以指导你作出决定。请注意，该特性随时可能无法正常工作。
定义列表中的特性状态图标
以下宏用于在定义列表项的旁边呈现行内状态图标：
{{Experimental_Inline}} 图标：实验性
{{Non-standard_Inline}} 图标：非标准
{{Deprecated_Inline}} 图标：已弃用
参见
侧边栏宏
链接宏
GitHub 上的宏列表
|
Chinese
|
16k
|
T10. Rule Induction & In-Context Learning
|
T10.2 Targeted Example-Based Rule Induction
|
Partial
|
仅基于以上文本，修正以下示例。在以下对原始商品展示模块代码的修正方案中，完全符合所有规则且无新违规的是哪一项？（单选）。先输出“[答案]”标识符，再输出答案选项字母[A/B/C/D]，不要输出任何其他内容。
示例：
<!-- 商品展示模块 -->
<div class="product-list">
<div class="product-item">
<h3 class="product-name">无线耳机</h3>
<p class="product-price">￥299</p>
<button onclick="addToCart(1)">加入购物车</button>
</div>
<div class="product-item">
<h3 class="product-name">智能手表</h3>
<p class="product-price">￥899</p>
<button onclick="addToCart(2)">加入购物车</button>
</div>
<style>
// 商品列表样式（适配移动端）
.product-list {
display: flex;
flex-wrap: wrap;
gap: 20px;
margin: 1.5rem;
}
.product-item {
width: 100%;
padding: 1rem;
border: none;
box-shadow: 0 2px 4px #ccc;
}
@media (max-width: 768px) {
.product-item {
width: calc(50% - 10px);
font: 14px/1.5 "Arial";
}
}
// 价格高亮样式
.product-price {
color: #ff0000;
font-weight: bold !important;
}
</style>
<script>
var cart = new Array();
const addToCart = (id) => {
// 模拟接口请求：将商品ID加入购物车
const product = { id: id, num: 1 };
cart.push(product);
console.log("已加入购物车：" + JSON.stringify(product));
// 计算购物车总价（假设价格从后端获取，此处模拟类型转换）
const totalPrice = Number(getProductPrice(id)) * product.num;
console.log("当前商品总价：" + totalPrice);
};
// 模拟获取商品价格（可能返回非数字）
function getProductPrice(id) {
const prices = { 1: "299", 2: "899", 3: "未上架" };
return prices[id];
}
</script>
A.
```html
<!-- 商品展示模块 -->
<div class="product-list">
<div class="product-item">
<h3 class="product-name">无线耳机</h3>
<p class="product-price">￥299</p>
<button onclick="addToCart(1)">加入购物车</button>
</div>
<div class="product-item">
<h3 class="product-name">智能手表</h3>
<p class="product-price">￥899</p>
<button onclick="addToCart(2)">加入购物车</button>
</div>
</div>
<style>
/* 商品列表样式（适配移动端） */
.product-list {
display: flex;
flex-wrap: wrap;
gap: 20px;
margin: 1.5rem;
}
.product-item {
width: 100%;
padding: 1rem;
border: none;
box-shadow: 0 2px 4px #ccc;
}
@media (max-width: 768px) {
.product-item {
width: calc(50% - 10px);
font-size: 14px;
line-height: 1.5;
font-family: "Arial";
}
}
/* 价格高亮样式 */
.product-price {
color: #ff0000;
font-weight: bold;
}
</style>
<script>
const cart = [];
const addToCart = (id) => {
const product = { id, num: 1 };
cart.push(product);
console.log(`已加入购物车：${JSON.stringify(product)}`);
const price = Number(getProductPrice(id));
const totalPrice = price * product.num;
console.log(`当前商品总价：${totalPrice}`);
};
function getProductPrice(id) {
const prices = { 1: "299", 2: "899", 3: "未上架" };
return prices[id];
}
</script>
```
B.
```html
<!-- 商品展示模块 -->
<div class="product-list">
<div class="product-item">
<h3 class="product-name">无线耳机</h3>
<p class="product-price">￥299</p>
<button onclick="addToCart(1)">加入购物车</button>
</div>
<div class="product-item">
<h3 class="product-name">智能手表</h3>
<p class="product-price">￥899</p>
<button onclick="addToCart(2)">加入购物车</button>
</div>
</div>
<style>
/* 商品列表样式（适配移动端） */
.product-list {
display: flex;
flex-wrap: wrap;
gap: 1.25rem;
margin: 1.5rem;
}
.product-item {
width: 100%;
padding: 1rem;
border: 0;
box-shadow: 0 2px 4px #ccc;
}
@media (min-width: 768px) {
.product-item {
width: calc(50% - 0.625rem);
font-size: 0.875rem;
line-height: 1.5;
font-family: "Arial", sans-serif;
}
}
/* 价格高亮样式 */
.product-price {
color: #f00;
font-weight: bold;
}
</style>
<script>
let cart = [];
const addToCart = function(id) {
const product = { id: id, num: 1 };
cart.push(product);
console.log(`已加入购物车：${JSON.stringify(product)}`);
try {
const priceStr = getProductPrice(id);
const priceNum = Number(priceStr);
if (isNaN(priceNum)) {
throw new Error(`商品${id}价格无效（${priceStr}）`);
}
const totalPrice = priceNum * product.num;
console.log(`当前商品总价：${totalPrice}`);
} catch (error) {
console.error("计算商品总价失败：", error.message);
}
};
function getProductPrice(id) {
const prices = { 1: "299", 2: "899", 3: "未上架" };
return prices[id];
}
</script>
```
C.
```html
<!-- 商品展示模块 -->
<div class="product-list">
<div class="product-item">
<h3 class="product-name">无线耳机</h3>
<p class="product-price">￥299</p>
<button onclick="addToCart(1)">加入购物车</button>
</div>
<div class="product-item">
<h3 class="product-name">智能手表</h3>
<p class="product-price">￥899</p>
<button onclick="addToCart(2)">加入购物车</button>
</div>
</div>
<style>
// 商品列表样式（适配移动端）
.product-list {
display: flex;
flex-wrap: wrap;
gap: 1.25rem;
margin: 1.5rem;
}
.product-item {
width: 100%;
padding: 1rem;
border: 0;
box-shadow: 0 2px 4px #ccc;
}
@media (min-width: 768px) {
.product-item {
width: calc(50% - 10px);
font: 0.875rem/1.5 "Arial", sans-serif;
}
}
/* 价格高亮样式 */
.product-price {
color: rgb(255, 0, 0);
font-weight: bold !important;
}
</style>
<script>
var cart = new Array();
function addToCart(id) {
const product = { id: id, num: 1 };
cart.push(product);
console.log("已加入购物车：" + JSON.stringify(product));
const price = Number(getProductPrice(id));
if (!isNaN(price)) {
const totalPrice = price * product.num;
console.log("当前商品总价：" + totalPrice);
} else {
console.error("价格无效");
}
}
function getProductPrice(id) {
const prices = { 1: "299", 2: "899", 3: "未上架" };
return prices[id];
}
</script>
```
D.
```html
<!-- 商品展示模块 -->
<div class="product-list">
<div class="product-item">
<h3 class="product-name">无线耳机</h3>
<p class="product-price">￥299</p>
<button onclick="addToCart(1)">加入购物车</button>
</div>
<div class="product-item">
<h3 class="product-name">智能手表</h3>
<p class="product-price">￥899</p>
<button onclick="addToCart(2)">加入购物车</button>
</div>
</div>
<style>
/* 商品列表样式（适配移动端） */
.product-list {
display: flex;
flex-wrap: wrap;
gap: 1.25rem;
margin: 1.5rem;
}
.product-item {
width: 100%;
padding: 1rem;
border: 0;
box-shadow: 0 2px 4px #ccc;
}
@media (min-width: 768px) {
.product-item {
width: calc(50% - 0.625rem);
font-size: 0.875rem;
line-height: 1.5;
font-family: "Arial", sans-serif;
}
}
/* 价格高亮样式 */
.product-price {
color: #f00;
font-weight: bold;
}
</style>
<script>
let cart = [];
const addToCart = (id) => {
const product = { id, num: 1 };
cart.push(product);
console.log(`已加入购物车：${JSON.stringify(product)}`);
try {
const priceStr = getProductPrice(id);
const priceNum = Number(priceStr);
if (isNaN(priceNum)) {
throw new Error(`商品${id}价格无效（${priceStr}）`);
}
const totalPrice = priceNum * product.num;
console.log(`当前商品总价：${totalPrice}`);
} catch (error) {
console.error("计算商品总价失败：", error.message);
}
};
function getProductPrice(id) {
const prices = { 1: "299", 2: "899", 3: "未上架" };
return prices[id];
}
</script>
```
输出示例：
[答案]
A
|
仅基于以上文本，修正以下示例。在以下对原始商品展示模块代码的修正方案中，完全符合所有规则且无新违规的是哪一项？（单选）。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出答案选项字母[A/B/C/D]，不要输出任何其他内容。
示例：
<!-- 商品展示模块 -->
<div class="product-list">
<div class="product-item">
<h3 class="product-name">无线耳机</h3>
<p class="product-price">￥299</p>
<button onclick="addToCart(1)">加入购物车</button>
</div>
<div class="product-item">
<h3 class="product-name">智能手表</h3>
<p class="product-price">￥899</p>
<button onclick="addToCart(2)">加入购物车</button>
</div>
<style>
// 商品列表样式（适配移动端）
.product-list {
display: flex;
flex-wrap: wrap;
gap: 20px;
margin: 1.5rem;
}
.product-item {
width: 100%;
padding: 1rem;
border: none;
box-shadow: 0 2px 4px #ccc;
}
@media (max-width: 768px) {
.product-item {
width: calc(50% - 10px);
font: 14px/1.5 "Arial";
}
}
// 价格高亮样式
.product-price {
color: #ff0000;
font-weight: bold !important;
}
</style>
<script>
var cart = new Array();
const addToCart = (id) => {
// 模拟接口请求：将商品ID加入购物车
const product = { id: id, num: 1 };
cart.push(product);
console.log("已加入购物车：" + JSON.stringify(product));
// 计算购物车总价（假设价格从后端获取，此处模拟类型转换）
const totalPrice = Number(getProductPrice(id)) * product.num;
console.log("当前商品总价：" + totalPrice);
};
// 模拟获取商品价格（可能返回非数字）
function getProductPrice(id) {
const prices = { 1: "299", 2: "899", 3: "未上架" };
return prices[id];
}
</script>
A.
```html
<!-- 商品展示模块 -->
<div class="product-list">
<div class="product-item">
<h3 class="product-name">无线耳机</h3>
<p class="product-price">￥299</p>
<button onclick="addToCart(1)">加入购物车</button>
</div>
<div class="product-item">
<h3 class="product-name">智能手表</h3>
<p class="product-price">￥899</p>
<button onclick="addToCart(2)">加入购物车</button>
</div>
</div>
<style>
/* 商品列表样式（适配移动端） */
.product-list {
display: flex;
flex-wrap: wrap;
gap: 20px;
margin: 1.5rem;
}
.product-item {
width: 100%;
padding: 1rem;
border: none;
box-shadow: 0 2px 4px #ccc;
}
@media (max-width: 768px) {
.product-item {
width: calc(50% - 10px);
font-size: 14px;
line-height: 1.5;
font-family: "Arial";
}
}
/* 价格高亮样式 */
.product-price {
color: #ff0000;
font-weight: bold;
}
</style>
<script>
const cart = [];
const addToCart = (id) => {
const product = { id, num: 1 };
cart.push(product);
console.log(`已加入购物车：${JSON.stringify(product)}`);
const price = Number(getProductPrice(id));
const totalPrice = price * product.num;
console.log(`当前商品总价：${totalPrice}`);
};
function getProductPrice(id) {
const prices = { 1: "299", 2: "899", 3: "未上架" };
return prices[id];
}
</script>
```
B.
```html
<!-- 商品展示模块 -->
<div class="product-list">
<div class="product-item">
<h3 class="product-name">无线耳机</h3>
<p class="product-price">￥299</p>
<button onclick="addToCart(1)">加入购物车</button>
</div>
<div class="product-item">
<h3 class="product-name">智能手表</h3>
<p class="product-price">￥899</p>
<button onclick="addToCart(2)">加入购物车</button>
</div>
</div>
<style>
/* 商品列表样式（适配移动端） */
.product-list {
display: flex;
flex-wrap: wrap;
gap: 1.25rem;
margin: 1.5rem;
}
.product-item {
width: 100%;
padding: 1rem;
border: 0;
box-shadow: 0 2px 4px #ccc;
}
@media (min-width: 768px) {
.product-item {
width: calc(50% - 0.625rem);
font-size: 0.875rem;
line-height: 1.5;
font-family: "Arial", sans-serif;
}
}
/* 价格高亮样式 */
.product-price {
color: #f00;
font-weight: bold;
}
</style>
<script>
let cart = [];
const addToCart = function(id) {
const product = { id: id, num: 1 };
cart.push(product);
console.log(`已加入购物车：${JSON.stringify(product)}`);
try {
const priceStr = getProductPrice(id);
const priceNum = Number(priceStr);
if (isNaN(priceNum)) {
throw new Error(`商品${id}价格无效（${priceStr}）`);
}
const totalPrice = priceNum * product.num;
console.log(`当前商品总价：${totalPrice}`);
} catch (error) {
console.error("计算商品总价失败：", error.message);
}
};
function getProductPrice(id) {
const prices = { 1: "299", 2: "899", 3: "未上架" };
return prices[id];
}
</script>
```
C.
```html
<!-- 商品展示模块 -->
<div class="product-list">
<div class="product-item">
<h3 class="product-name">无线耳机</h3>
<p class="product-price">￥299</p>
<button onclick="addToCart(1)">加入购物车</button>
</div>
<div class="product-item">
<h3 class="product-name">智能手表</h3>
<p class="product-price">￥899</p>
<button onclick="addToCart(2)">加入购物车</button>
</div>
</div>
<style>
// 商品列表样式（适配移动端）
.product-list {
display: flex;
flex-wrap: wrap;
gap: 1.25rem;
margin: 1.5rem;
}
.product-item {
width: 100%;
padding: 1rem;
border: 0;
box-shadow: 0 2px 4px #ccc;
}
@media (min-width: 768px) {
.product-item {
width: calc(50% - 10px);
font: 0.875rem/1.5 "Arial", sans-serif;
}
}
/* 价格高亮样式 */
.product-price {
color: rgb(255, 0, 0);
font-weight: bold !important;
}
</style>
<script>
var cart = new Array();
function addToCart(id) {
const product = { id: id, num: 1 };
cart.push(product);
console.log("已加入购物车：" + JSON.stringify(product));
const price = Number(getProductPrice(id));
if (!isNaN(price)) {
const totalPrice = price * product.num;
console.log("当前商品总价：" + totalPrice);
} else {
console.error("价格无效");
}
}
function getProductPrice(id) {
const prices = { 1: "299", 2: "899", 3: "未上架" };
return prices[id];
}
</script>
```
D.
```html
<!-- 商品展示模块 -->
<div class="product-list">
<div class="product-item">
<h3 class="product-name">无线耳机</h3>
<p class="product-price">￥299</p>
<button onclick="addToCart(1)">加入购物车</button>
</div>
<div class="product-item">
<h3 class="product-name">智能手表</h3>
<p class="product-price">￥899</p>
<button onclick="addToCart(2)">加入购物车</button>
</div>
</div>
<style>
/* 商品列表样式（适配移动端） */
.product-list {
display: flex;
flex-wrap: wrap;
gap: 1.25rem;
margin: 1.5rem;
}
.product-item {
width: 100%;
padding: 1rem;
border: 0;
box-shadow: 0 2px 4px #ccc;
}
@media (min-width: 768px) {
.product-item {
width: calc(50% - 0.625rem);
font-size: 0.875rem;
line-height: 1.5;
font-family: "Arial", sans-serif;
}
}
/* 价格高亮样式 */
.product-price {
color: #f00;
font-weight: bold;
}
</style>
<script>
let cart = [];
const addToCart = (id) => {
const product = { id, num: 1 };
cart.push(product);
console.log(`已加入购物车：${JSON.stringify(product)}`);
try {
const priceStr = getProductPrice(id);
const priceNum = Number(priceStr);
if (isNaN(priceNum)) {
throw new Error(`商品${id}价格无效（${priceStr}）`);
}
const totalPrice = priceNum * product.num;
console.log(`当前商品总价：${totalPrice}`);
} catch (error) {
console.error("计算商品总价失败：", error.message);
}
};
function getProductPrice(id) {
const prices = { 1: "299", 2: "899", 3: "未上架" };
return prices[id];
}
</script>
```
输出示例：
<你的思考过程>
[答案]
A
|
[
"D"
] |
Easy
|
4759258292e958384125e17eb03590bfacf4ee455aa8c67c5cef73d3d6fe69e8
|
1-How we (do not) trust: defensive profiles of epistemic trust and its disruptions
Open access
Published: 28 August 2025
(2025)
Cite this article
Abstract
P1
Defining and measuring epistemic trust and its disruptions have significantly enriched recent empirical research, broadening the attachment and mentalization theory paradigm to understand how epistemic stances inform individual and interpersonal functioning. While numerous studies have explored their relationships with different psycho(patho)logical dimensions, the interplay between epistemic stances and defense mechanisms remains largely unexplored. This study aimed to investigate this interaction by developing defensive profiles of epistemic Trust, Mistrust, and Credulity. 416 Italian participants completed the Epistemic Trust, Mistrust, and Credulity Questionnaire (ETMCQ) and Defense Mechanisms Rating Scale-Self-Report-30 (DMRS-SR-30). Epistemic trust correlated positively with more mature defensive functioning and negatively with immature defenses. Conversely, Epistemic mistrust and credulity were associated with less adaptive defenses, with mistrust showing a stronger relationship with immature defenses, pointing to more severely compromised global functioning than credulity. Hierarchical regression analyses revealed specific associations of each epistemic stance with distinct defense mechanisms, delineating three coherent defensive profiles. The findings underscore the importance of differentiating specific defense patterns related to epistemic trust and its disruptions. These defensive profiles of epistemic trust, mistrust, and credulity offer valuable insight for understanding individuals' intra- and interpersonal functioning and promoting the development of tailored interventions for psychological well-being.
Introduction
P2
Epistemic trust (ET), the ability to perceive the knowledge conveyed by others as reliable, relevant, and generalizable across various contexts (Fonagy & Allison, 2014), has emerged as a central construct in our understanding of psychological functioning. Acquired early in life, epistemic trust is pivotal to the development of individual emotional and cognitive functioning, influencing the quality of interpersonal relationships and social learning (Fonagy & Campbell, 2017). Indeed, the capacity to accurately interpret social cues and evaluate the credibility of information sources (key elements in supporting epistemic trust; Csibra & Gergely, 2009; Fonagy & Allison, 2014) forms a critical foundation for the acquisition and integration of new knowledge, which in turn fosters adaptive functioning and psychological growth.
P3
An epistemic trusting stance enables individuals to approach socially transmitted information with openness and flexibility, thereby supporting their mentalization abilities (Fonagy et al., 2019), a vital protective factor regarding the emergence of various forms of psychological suffering (e.g., Fonagy & Campbell, 2017). Epistemically trusting individuals may be better equipped to generate new meanings, form adaptive interpersonal connections, and reinforce their sense of agency and belongingness to the social world. In other words, this capacity promotes resilience and well-being or what has been termed salutogenesis (the dynamic process of mobilizing internal and external resources to foster psychological health, growth, and adaptation; Fonagy & Campbell, 2017; Fonagy et al., 2017; Luyten et al., 2020).
P4
Epistemic trust is fundamentally shaped by early experiences and develops when caregiving is characterized by sensitivity, consistency, and attunement. In the context of early adversity and insecure or disorganized attachment, individuals may develop distortions in this capacity, leading to two distinct stances: epistemic mistrust (EM) and epistemic credulity (EC). More specifically, epistemic mistrust reflects a pervasive skepticism toward the intentions and reliability of others' communications. Mistrustful individuals are epistemically hypervigilant (Sperber et al., 2010) and wary of accepting new information: this "rigidity" undermines their social adaptation, leaving them isolated and less able to navigate relational environments. In contrast, epistemic credulity is characterized by low vigilance and indiscriminate acceptance of information transmitted in interpersonal exchanges, leading to increased vulnerability to manipulation and exploitation. Both these disruptions leave individuals more susceptible to maladaptive functioning patterns (Luyten et al., 2020). Empirical evidence has demonstrated significant associations between epistemic mistrust, credulity, and early adverse experiences (Benzi et al., 2023; Campbell et al., 2021; Liotti et al., 2023a, b). These disruptions are also associated with various forms of psychological suffering in adulthood (Campbell et al., 2021; Liotti et al., 2023a, b; Riedl et al., 2023). Overall, these constructs appear particularly relevant for understanding the development and maintenance of maladaptive functioning or psychopathology, especially regarding personality disorders (Fonagy et al., 2017; cf. also Luyten et al., 2020, 2021). Nevertheless, the mechanisms underlying epistemic trust, mistrust, and credulity, as well as the broader profiles of functioning associated with them, remain scarcely understood.
P5
Defense mechanisms—conceptualized by Freud (1926) as strategies employed by the ego to manage anxiety and later systematized by Freud (1936)—have been further elaborated by psychoanalytic authors (e.g., Kernberg, 1984) as central to personality organization and psychopathology. They can be defined as unconscious and primarily automatic processes that mediate the individual's reactions to emotional conflict and internal or external sources of stress (APA, 2000; Perry, 1990). Because they shape how individuals regulate affect, relate to others, and interpret interpersonal dynamics, they may provide a critical framework for understanding how epistemic stances foster adaptive or maladaptive patterns of functioning. In psychodynamic theory, a distinction has emerged between "immature," "primitive," or "lower-order" defenses, and more "mature" or "higher-order" ones (e.g., Cramer, 2015). Immature defenses work by distorting or denying external reality. They reflect ways of perceiving and organizing representations typical of early developmental stages, in which experiences and objects tend to be seen in absolute, black-and-white terms (e.g., through splitting) or are managed through direct discharge of affect (e.g., through acting out). In contrast, more mature defenses involve a capacity to acknowledge and reframe internal conflicts and stressors in a flexible and integrated way (e.g., transforming unacceptable impulses or conflicts into creative or socially valued activities through sublimation), supporting a realistic, more healthy engagement with oneself and others.
P6
In the gold-standard approach to the study of defenses proposed by Vaillant (1971) and operationalized by Perry (1990), defenses are indeed organized hierarchically according to their function and degree of maturity that is, the level of psychological development they reflect, with more mature defenses indicating a higher level of adaptiveness. This model (see also supplementary materials SI1) articulates a multilayered taxonomy of defenses, including: (1) defensive categories, that is, overarching groupings reflecting the overall "style" of defensive functioning (i.e., immature, neurotic, mature); (2) defense levels, delineating finer-grained hierarchical gradations based on function, degree of cognitive-affective integration, and extent of reality distortion (i.e., high adaptive, obsessive, neurotic, minor image-distorting, disavowal, major image-distorting, and action defenses; and (3) defense mechanisms, representing the most detailed level of analysis––that is, the distinct "strategies" employed to mitigate conflict and stress (e.g., sublimation, repression, acting out; for a full list, see Di Giuseppe & Perry, 2021). In other words, individual defense mechanisms are nested into structurally distinct levels, which are, in turn, subsumed under broader categories. Within this framework it is also possible to compute a global index, the Overall Defensive Functioning (ODF) score, which integrates the hierarchical organization of defenses into a single measure and reflects the overall (im)maturity of an individual's defensive functioning (e.g., Di Giuseppe & Perry, 2021; Di Giuseppe et al., 2020).
P7
Research has shown that a rigid and extensive use of immature defenses is associated with psychopathology, while higher-level mature defenses are associated with adaptive psychological functioning (e.g., Fiorentino et al., 2024; Tanzilli et al., 2021, 2022). As already mentioned, various scholars have emphasized that defense mechanisms play a crucial role in determining distinct levels of psychological functioning and personality organization (Békés et al., 2023; Kernberg, 1984; Lingiardi & McWilliams, 2017). Given that both epistemic trust and defense mechanisms have recently emerged as valuable dimensions in regulating how individuals relate to reality (e.g., Liotti et al., 2023a, b; Fiorini Bincoletto et al., 2025; Tanzilli et al., 2022), investigating how global defensive functioning interacts with epistemic stances could help identify distinct patterns of cognitive, affective, and behavioral response that may influence better (or worse) adaptation. In this framework, epistemic mistrust could be conceptualized as rooted in early adverse experiences within one's caregiving system (Fonagy et al., 2015). In contexts marked by abuse and/or repeated invalidation of the child's subjective experiences, the child may defensively develop an overly vigilant epistemic stance. Placing trust in caregivers who consistently invalidate or mistreat them could indeed expose them to further trauma or emotional injury: epistemic mistrust may therefore serve as a critical "shield", protecting the individual from additional suffering. Over time, however, this stance often becomes maladaptive, limiting social learning and potentially compromising mentalization. But epistemic mistrust does not operate in isolation (nor does credulity, which can similarly arise from early traumatic caregiving contexts). It interacts dynamically with other processes such as defense mechanism to shape how the individual regulates affect, constructs and organizes mental representations, and interprets external cues. Understanding these interactions can therefore provide a coherent framework for understanding developmental trajectories of psychopathology. From a psychodynamic perspective, such as that offered by the Psychodynamic Diagnostic Manual (PDM-2; Lingiardi & McWilliams, 2017) and the Operationalized Psychodynamic Diagnosis system (OPD Task Force, 2008), the interplay between various mental capacities is a central component of the diagnostic and therapeutic process, considered a fundamental force in shaping the individual's mental and personality functioning. In this perspective, focusing on the interplay between epistemic trust, mistrust, credulity, and defense mechanisms may offer a novel understanding of some core processes that sustain or disrupt well-being (cf., Fiorini Bincoletto et al., 2025; Joyce et al., 2013; Li et al., 2023). To pursue such an understanding, it is crucial to examine the associations between defenses and epistemic stances at different degrees of granularity—from broad categories to specific "strategies"—so as to better capture the structural complexity of the mechanisms involved.
P8
To our knowledge, to date, research has paid little attention to the interconnectedness of these mental abilities. Thus, this research sought to:
1)
Examine the associations between epistemic trust, mistrust, credulity, and defensive categories (immature, neurotic, and mature) of Perry's hierarchical model (1990) and the overall defensive functioning (ODF). According to the literature in the field (e.g., Li et al., 2023; Tanzilli et al., 2022), though limited, it was hypothesized that epistemic trust would be related to mature defensive functioning; on the contrary, epistemic mistrust and credulity would be associated with less adaptive defensive categories.
2)
Investigate the relationships between epistemic trust, mistrust, credulity, and defense levels. Drawing on the few available empirical contributions (e.g., Di Giuseppe & Perry, 2021; Fiorini Bincoletto et al., 2025), we hypothesized that epistemic trust would be associated with more adaptive defense levels, while epistemic mistrust and credulity would be related to lower ones. Specifically, it was hypothesized that mistrust would be associated with defenses more severely impairing individual psychological dynamics; conversely, credulity was thought to be primarily with less maladaptive defense levels.
3)
Identify in an exploratory analysis which specific defense mechanisms were associated with each epistemic stance to develop empirically derived defensive profiles. Drawing on theoretical considerations and empirical findings about both epistemic trust and defense mechanisms (e.g., Campbell et al., 2021; Di Giuseppe & Perry, 2021; Liotti et al., 2023a, b; Luyten et al., 2020), we hypothesized that, since it is believed to be related to salutogenesis, epistemic trust would be associated with affiliation, altruism, and self-observation. Conversely, consistently with findings showing that mistrust is more strongly associated with psychological symptoms than credulity, we expected that the first would be associated with more immature defenses (e.g.,, projection, and splitting), and the latter to a different, less maladaptive, defensive functioning (e.g., involving defenses such repression and reaction formation).
Materials and methods
Procedure and participants
P9
Participants were recruited via an online survey conducted on SurveyMonkey and shared via social media. Following the inclusion/exclusion criteria, participants had to (1) be between the ages of 18 and 70; (2) not have a psychotic disorder or psychotic symptoms; (3) provide informed consent. All participants were volunteers and received no remuneration. The research protocol was approved by the Ethics Committee of the Department of XXX, XXX University, Prot. n. XXX.
Measures
Sociodemographic Questionnaire
Information regarding participants' demographic characteristics (including age, gender, education level, and socio-economic status) was gathered in the first section of the survey.
Epistemic Trust, Mistrust & Credulity Questionnaire
P10
The ETMCQ (Campbell et al., 2021) is a self-report questionnaire that measures different epistemic stances. It consists of 15 items rated on a 7-point Likert scale (1 = strongly disagree, 7 = strongly agree). The questionnaire examines three different dimensions: Epistemic trust, epistemic mistrust, and epistemic credulity. Epistemic trust is conceptualized as an adaptive approach to knowledge interpersonally transmitted (e.g., "I usually ask people for advice when I have a personal problem"); epistemic mistrust refers to a negative and suspicious attitude towards information coming from others (e.g., "If you put too much faith in what people tell you, you are likely to get hurt"); lastly, epistemic credulity involves blind reliance on information transmitted by others (e.g., "I am often considered naïve because I believe almost anything that people tell me"). The present research used an empirically supported version of the ETMCQ validated in Italy (Liotti et al., 2023a, b). The three scales' scores were obtained by calculating the average score of the items that make up each epistemic dimension. In this study, the ETMCQ scales reached the following Cronbach's alphas values: epistemic trust (α = 0.67), mistrust (α = 0.72), and credulity (α = 0.77), showing acceptable levels of reliability (with the exception of the first scale slightly below 0.70). Overall, these levels of internal consistency were quite similar to those reported in the previous UK (epistemic trust [0.69 ≤ α ≤ 0.81], mistrust [0.65 ≤ α ≤ 0.72], and credulity [0.75 ≤ α ≤ 0.81]; Campbell et al., 2021) and Italian validation studies (epistemic trust [α = 0.73], mistrust [α = 0.67], and credulity [α = 0.73]; Liotti et al., 2023a, b).
Defense Mechanisms Rating Scales-Self-Report-30
P11
The DMRS-SR-30 (DMRS-SR-30; Di Giuseppe et al., 2020) is a 30-item self-report questionnaire investigating the individual's defensive functioning. Respondents are asked to use a 5-point Likert scale to indicate how often in the past week they resorted to each of the 28 defense mechanisms considered (0 = not at all, 4 = often/very much). Items include statements like: "Did you perceive others as 'all good' or 'all bad'?", "Did you try to diffuse the tension by engaging in creative activities?", "Did you feel confused, 'spaced out,' or unable to talk about a distressing topic?”. Defenses are divided into three hierarchical defensive categories (mature, neurotic, and immature) and seven levels in order of maturity according to Perry's model (1990). The mature category (corresponding to the high-adaptive level) includes the most adaptive mechanisms, allowing for optimal management of personal challenges (e.g., affiliation, humor, altruism, self-assertion, and so on). The neurotic category (including obsessional and neurotic levels) involves defenses that keep certain emotional or cognitive aspects of individual experience outside of conscious awareness. The immature category (including four levels: minor image-distorting, disavowal, major image-distorting, and action) comprises the most maladaptive mechanisms, which impair proper awareness of internal/external conflicts or stressful conditions by rejecting threatening or painful thoughts and feelings, distorting perceptions of self, others, and reality, and acting impulsively (for a comprehensive overview of defense levels, cf., Di Giuseppe & Perry, 2021; see also the supplementary materials SI1). Moreover, the DMRS-SR-30 provides an index of Overall Defensive Functioning (ODF), which describes the individual's capacity to manage and modulate anxiety and painful emotional states that may arise from internal conflicts, external challenges, or threatening experiences. Consistent with the DMRS-SR-30 validation study (Di Giuseppe et al., 2020), in the present research the ODF showed excellent reliability (α = 0.91), while the defensive categories demonstrated an internal consistency ranging from acceptable to good levels (except the first category which presented some questionable issues), obtaining the following Cronbach's alphas values: mature (α = 0.68), neurotic (α = 0.78), and immature (α = 0.84). The reliabilities of all defense levels (especially those consisting of three items; cf., Di Giuseppe et al., 2020) were generally lower (i.e., high-adaptive [α = 0.68], obsessional [α = 0.61], neurotic [α = 0.68], minor image distorting [α = 0.60], disavowal [α = 0.65], major image distorting [α = 0.61], action [α = 0.60]), but higher than those reported in the original DMRS-SR-30 study (i.e., high-adaptive [α = 0.70], obsessional [α = 0.36], neurotic [α = 0.63], minor image distorting [α = 0.52], disavowal [α = 0.58], major image distorting [α = 0.49], action [α = 0.46]; see Di Giuseppe et al., 2020).
Statistical analysis
P12
Data analyses were performed using JAMOVI version 2.5.3, with the application of the GAMLj statistical package. Descriptive and preliminary statistical analyses were conducted to verify the potential associations between the study's psychological dimensions and demographic variables. Subsequently, in line with the first aim of this research, partial correlations (partial r, two-tailed) were carried out to examine the relationship between each epistemic position (assessed with the ETMCQ), ODF, and all the defensive categories (mature, neurotic, and immature) (assessed with the DMRS-SR-30), controlling for the effect of other two epistemic dimensions and demographic variables (i.e., age and gender). Consistent with the second aim, partial correlations were performed to investigate the associations between each specific epistemic stance and all the seven DMRS-SR-30's defensive levels, still net of the impact of other epistemic positions, age, and gender. A set of multiple linear regression analyses was conducted to identify individual defense mechanisms strongly related to all epistemic stances. More in detail, in three separate hierarchical regression models, epistemic trust, mistrust, and credulity were considered the independent variable, while all the defenses of the DMRS-SR-30 were dependent variables. In line with previous correlational analyses, age and gender were controlled in the regression analyses to account for potential confounding variables. The specific defenses associated with each epistemic dimension were included in the empirically derived defensive profiles.
Results
Descriptive and preliminary statistics
P13
The present sample consisted of 416 Italian participants, of whom 252 (60.6%) identified as female and 164 (39.4%) as male; the average age was approximately 29 years (SD = 10.8, range = 18–70). More detailed information can be found in the supplementary material SI2.
Table 1 shows descriptive and preliminary statistics on the associations between gender, age, epistemic dimensions, and the variables of defensive functioning (including ODF, defensive categories, and levels).
Table 1 Descriptive and preliminary statistics
From: How we (do not) trust: defensive profiles of epistemic trust and its disruptions
| | M(SD) | Gender | Age |
| --- | --- | --- | --- |
| Epistemic Dimensions (ETMCQ) | | | |
| ET | 4.92(0.98) | 0.04(0.154) | 0.01(0.907) |
| EM | 3.92(1.14) | 0.12(0.011) | -0.07(0.137) |
| EC | 2.68(1.34) | 0.10(0.042) | -0.07(0.149) |
| Defense Mechanisms (DMRS - SR - 30) | | | |
| Overall Defensive Functioning | 4.98(0.39) | -0.09(0.082) | 0.19(< 0.001) |
| Defensive Categories | | | |
| Mature | 38.15(10.04) | -0.07(0.155) | 0.25(< 0.001) |
| Neurotic | 23.69(5.52) | 0.03(0.510) | -0.23(< 0.001) |
| Immature | 38.16(7.88) | 0.07(0.178) | -0.16(< 0.001) |
| Defense Levels | | | |
| 7. High - adaptive | 38.15(10.04) | -0.07(0.155) | 0.25(< 0.001) |
| 6. Obsessional | 10.07(3.36) | 0.05(0.290) | -0.18(< 0.001) |
| 5. Neurotic | 13.62(3.95) | 0.11(0.035) | -0.16(< 0.001) |
| 4. Minor - image distorting | 9.74(3.65) | -0.11(0.033) | -0.04(0.476) |
| 3. Disavowal | 12.99(4.13) | 0.08(0.111) | -0.19(< 0.001) |
| 2. Major - image distorting | 8.63(3.47) | 0.14(0.003) | -0.07(0.151) |
| 1. Action | 6.80(3.22) | 0.02(0.652) | -0.03(0.525) |
N = 416. Gender was coded as 0 = male and 1 = female. ET Epistemic Trust; EM Epistemic Mistrust; EC Epistemic Credulity; ETMCQ Epistemic Trust, Mistrust, and Credulity Questionnaire. DMRS‒SR‒30 Defense Mechanism Rating Scales‒Self Report‒30
Epistemic stances, overall defensive functioning, and defensive categories (Hypothesis 1)
P14
The first aim of this study was to explore the associations between each epistemic dimension, ODF, and defensive categories, controlling for other two epistemic stances and specific demographic variables (i.e., gender and age). Overall, the results from partial correlations (Table 2) showed that the epistemic trust scale was positively related to higher ODF and mature category; notably, it correlated negatively with the neurotic and immature defense categories. Conversely, as expected, epistemic mistrust and credulity correlated with lower ODF; in particular, mistrust was strongly related to the immature defensive category, while credulity was mostly associated with the neurotic category.
Table 2 Partial correlations between each epistemic dimension and defensive functioning controlling for other epistemic stances and demographic variables
From: How we (do not) trust: defensive profiles of epistemic trust and its disruptions
| |Epistemic Dimensions（ETMCQ）| | |
| ---- | ---- | ---- | ---- |
|Defensive Functioning（DMRS - SR - 30）|ET|EM|EC|
|Overall Defensive Functioning|0.14(0.006)|-0.49(< 0.001)|-0.13(0.011)|
|Defensive Categories - Mature|0.17(< 0.001)|-0.45(< 0.001)|-0.21(< 0.001)|
|Defensive Categories - Neurotic|-0.10(0.050)|0.12(0.013)|0.20(< 0.001)|
|Defensive Categories - Immature|-0.13(0.009)|0.46(< 0.001)|0.10(0.042)|
N = 416. ET Epistemic Trust; EM Epistemic Mistrust; EC Epistemic Credulity; ETMCQ Epistemic Trust, Mistrust, and Credulity Questionnaire; DMRS‒SR‒30 Defense Mechanism Rating Scales‒Self Report‒30
Epistemic stances and defense levels (Hypothesis 2)
P15
The second aim was to investigate the relationship between each epistemic stance and defense levels, net of the effect of the other epistemic dimensions, gender, and age. Table 3 shows the picture of partial correlations. In particular, the results revealed that epistemic trust was positively correlated with the high-adaptive defense level, which was negatively related to epistemic mistrust and credulity. Moreover, it was negatively associated with the disavowal and major-image distorting levels. On the contrary, epistemic mistrust was positively related to the more dysfunctional defense levels (in particular, disavowal, major-image distorting, and action defenses), while credulity was positively associated with neurotic, obsessional, and minor-image distorting defense levels.
Table 3 Partial correlations between each epistemic dimension and defense levels controlling for other epistemic stances and demographic variables
From: How we (do not) trust: defensive profiles of epistemic trust and its disruptions
| |Epistemic Dimensions（ETMCQ）| | |
| ---- | ---- | ---- | ---- |
|Defensive Functioning（DMRS - SR - 30）|ET|EM|EC|
|Defense Levels - 7.High - adaptive|0.16(< 0.001)|-0.45(< 0.001)|-0.21(< 0.001)|
|Defense Levels - 6.Obsessional|-0.08(0.114)|0.02(0.690)|0.13(0.009)|
|Defense Levels - 5.Neurotic|-0.07(0.189)|0.15(0.002)|0.17(< 0.001)|
|Defense Levels - 4.Minor - image distorting|-0.04(0.444)|0.03(0.539)|0.10(0.037)|
|Defense Levels - 3.Disavowal|-0.11(0.022)|0.33(< 0.001)|0.06(0.214)|
|Defense Levels - 2.Major - image distorting|-0.09(0.070)|0.32(< 0.001)|0.05(0.312)|
|Defense Levels - 1.Action|-0.01(0.965)|0.29(< 0.001)|-0.03(0.536)|
Note. N = 416. ET = Epistemic Trust. EM = Epistemic Mistrust. EC = Epistemic Credulity. ETMCQ = Epistemic Trust, Mistrust, and Credulity Questionnaire. DMRS‒SR‒30 = Defense Mechanism Rating Scales‒Self Report‒30
Defensive profiles for epistemic trust, mistrust, and credulity (Hypothesis 3)
P16
The third aim of the study was to develop narrative defensive profiles for epistemic trust, mistrust, and credulity by exploring the relationship between each epistemic stance and specific defense mechanisms. Table 4 depicts only individual defenses that impact all three epistemic dimensions. All the comprehensive results from the regression analyses were reported in supplementary materials SI3, SI4, and SI5.
Table 4 Hierarchical regression analyses predicting epistemic Trust, Mistrust, and credulity from distinct defense mechanisms (N=416)
From: How we (do not) trust: defensive profiles of epistemic trust and its disruptions
|Defense Mechanisms (DMRS-SR-30)|B|SE|t|p|β|95% CI|R²|ΔR²|
| ---- | ---- | ---- | ---- | ---- | ---- | ---- | ---- | ---- |
|**Criterion Variable: ET (ETMCQ)**| | | | | | | | |
|Step 1| | | | | | |0.001|0.001|
|Intercept|4.872|0.149|32.754|< 0.001| | | | |
|Gender|0.071|0.099|0.715|0.475|0.072|-0.126|0.270| |
|Age|0.001|0.004|0.067|0.947|0.003|-0.094|0.100| |
|Step 2| | | | | | |0.187|0.185(< 0.001)|
|Intercept|4.318|0.296|14.592|< 0.001| | | | |
|Gender|0.024|0.105|0.233|0.816|0.025|-0.185|0.235| |
|Age|0.001|0.005|0.187|0.852|0.010|-0.095|0.115| |
|4. Did you offer physical or psychological help to others in need?|0.132|0.058|2.275|0.023|0.132|0.018|0.245| |
|7. Did you feel as if there was nothing positive or redeeming about yourself?|-0.171|0.052|-3.257|0.001|0.220|-0.352|0.087| |
|9. Did you ask for physical or emotional support while doing your best to handle the problem?|0.133|0.050|2.645|0.009|0.152|0.039|0.265| |
|10. Did you try to diffuse the tension by engaging in creative activities?|0.089|0.045|1.998|0.046|0.099|0.002|0.196| |
|11. Did you have an attitude of suspiciousness or perceive others as untrustworthy, unfaithful, or manipulative?|-0.201|0.055|-3.641|< 0.001|-0.221|0.340|-0.102| |
|13. Did you reflect upon your emotional experiences and personal thoughts?|0.188|0.064|2.937|0.004|0.153|0.050|0.255| |
|**Criterion Variable: EM (ETMCQ)**| | | | | | | | |
|Step 1| | | | | | |0.022|0.022|
|Intercept|3.988|0.171|23.353|< 0.001| | | | |
|Gender|0.303|0.113|2.668|0.008|0.266|0.070|0.462| |
|Age|-0.009|0.005|-1.683|0.093|0.082|-0.178|0.014| |
|Step 2| | | | | | |0.427|0.405(< 0.001)|
|Intercept|3.061|0.288|10.624|< 0.001| | | | |
|Gender|0.061|0.102|0.597|0.551|0.053|-0.122|0.229| |
|Age|0.001|0.005|0.231|0.817|0.010|-0.078|0.099| |
|7. Did you feel as if there was nothing positive or redeeming about yourself?|0.165|0.051|3.232|0.001|0.183|0.072|0.294| |
|8. Did you have an attitude of giving much more than you received without perceiving the imbalance?|0.107|0.048|2.253|0.025|0.103|0.013|0.192| |
|9. Did you ask for physical or emotional support while doing your best to handle the problem?|-0.170|0.049|-3.482|< 0.001|-0.168|0.263|0.073| |
|11. Did you have an attitude of suspiciousness or perceive others as untrustworthy, unfaithful, or manipulative?|0.241|0.054|4.480|< 0.001|0.228|0.128|0.328| |
|12. Did you make humorous comments about challenging personal issues or stressful situations?|0.082|0.040|2.029|0.043|0.095|-0.187|0.003| |
|14. Did you try to take your anger out on yourself or express it with self-harming behaviors?|0.131|0.056|2.318|0.021|0.110|0.017|0.203| |
|16. Did you take an active role in solving problems that arose?|-0.135|0.065|-2.066|0.040|-0.101|-0.197|0.005| |
|25. Did you engage in verbal or physical fights?|-0.103|0.052|-1.990|0.047|0.095|-0.189|0.001| |
|**Criterion Variable: EC (ETMCQ)**| | | | | | | | |
|Step 1| | | | | | |0.016|0.016|
|Intercept|2.789|0.202|13.809|< 0.001| | | | |
|Gender|0.289|0.134|2.151|0.032|0.215|0.019|0.412| |
|Age|-0.010|0.006|-1.599|0.110|0.078|-0.174|0.018| |
|Step 2| | | | | | |0.255|0.239(< 0.001)|
|Intercept|2.170|0.388|5.599|< 0.001| | | | |
|Gender|0.201|0.137|1.465|0.144|0.150|-0.051|0.350| |
|Age|-0.002|0.006|-0.366|0.714|0.019|-0.119|0.082| |
|6. Did you think about how you would handle difficulties that you might expect in the future?|-0.145|0.075|-1.931|0.050|-0.102|0.206|0.002| |
|8. Did you have an attitude of giving much more than you received without perceiving the imbalance?|0.188|0.064|2.937|0.004|0.153|0.050|0.255| |
|11. Did you have an attitude of suspiciousness or perceive others as untrustworthy, unfaithful, or manipulative?|-0.174|0.072|-2.409|0.016|0.140|0.254|0.026| |
|12. Did you make humorous comments about challenging personal issues or stressful situations?|-0.172|0.054|-3.171|0.002|0.169|0.274|0.064| |
|17. Did you idealize yourself or others for your/their personal characteristics?|0.195|0.068|2.867|0.004|0.153|0.048|0.257| |
|20. Did you focus on minor or unrelated matters that distracted you away from a problem that makes you anxious?|0.176|0.068|2.597|0.010|0.145|0.035|0.255| |
|30. Did you devalue yourself or others for your/their personal characteristics?|0.190|0.076|2.518|0.012|0.165|0.036|0.294| |
This table shows in bold only the DMRS-SR-30 items that significantly impact the three epistemic dimensions: trust, mistrust, and credulity. DMRS‒SR‒30 Defense Mechanism Rating Scales‒Self Report‒30; ET Epistemic Trust; EM Epistemic Mistrust. EC Epistemic Credulity; ETMCQ Epistemic Trust, Mistrust, and Credulity Questionnaire
P17
Looking at the results in Table 4 (in particular, ΔR2), it is important to point out that some defense mechanisms explained about 18.5% of the variance in epistemic trust; other defenses explained about 40.5% of the variance in epistemic mistrust, and still others explained 23.9% of the variance in epistemic credulity. More in detail, the defensive profile for epistemic trust was characterized by altruistic tendencies and affiliative behaviors. Moreover, epistemically trustful individuals were able to use sublimation and self-observation often, while they tended not to resort to primitive defense mechanisms, such as splitting of self-image and projection.
P18
Conversely, the defensive profile for epistemic mistrust was marked by the pervasive use of splitting of self-image, projection, passive aggression, and reaction formation, but not acting out. Moreover, mistrustful individuals showed more difficulties using mature defense mechanisms, like affiliation, humor, and self-assertion.
P19
Lastly, the defensive profile for epistemic credulity was negatively associated with anticipation and humor. Epistemically credulous individuals showed the tendency to use reaction formation and displacement, as well as to idealize and devalue themselves or others. However, they tended not to resort to projection.
Discussion
P20
This study represents one of the first efforts to explore the relationship between epistemic trust, its disruptions (i.e., epistemic mistrust and credulity) and defense mechanisms, offering new insights into how these mental capacities may impact psychological functioning and social adaptation.
P21
Epistemic Stances, overall defensive Functioning, and defensive categories
The first aim of this research was to investigate the associations between epistemic stances, the overall defensive functioning (ODF), and defensive categories operationalized by Perry's (1990) hierarchical model of defenses (Table 2). As expected, epistemic trust showed positive associations with the ODF score and the mature defensive category, and negative ones with the neurotic and immature categories. Nevertheless, the modest strength of these correlations indicates that while having a role in fostering prosocial responses and facilitating emotional and cognitive integration epistemic trust may not, in itself, represent a robust protective factor regarding psychopathology (Campbell et al., 2021; Fiorini Bincoletto et al., 2025). Rather, it may function as a dynamic regulator of interpersonal and intrapsychic processes, operating synergistically with other capacities such as reflective functioning and mentalized affectivity (e.g., Fonagy et al., 2019; Jurist, 2018; Liotti et al., 2021, 2023a, b; Nolte et al., 2023). This underlines the need to conceptualize our clinical practice (including the assessment process), as well as research efforts, in terms of a multiplicity of interdependent mental functions.
P22
Both epistemic mistrust and credulity were negatively related to the ODF score and the mature defenses category. However, some differences emerged. Mistrust showed a higher positive association with immature mechanisms, reflecting a more rigid and maladaptive mode of dealing with perceived threats, one that implies a significant distortion of representations and that limits the capacity to attend to the complexities of inner and external reality (e.g., Di Giuseppe & Perry, 2021). Epistemic credulity showed its higher association with the neurotic category, comprising defenses that are generally less detrimental to functioning, yet indicative of a scarce ability to integrate conflictual components of experience. This is consistent with the literature indicating that epistemic mistrust and credulity both contribute to the development of psychological symptoms, albeit with different levels of severity (Benzi et al., 2023; Campbell et al., 2021; Kampling et al., 2022; Liotti et al., 2023a, b). Both stances, moreover, may be viewed as adaptations to early relational adversity. Yet, the directions these adaptations take seemingly diverge. Epistemic credulity, characterized by insufficient epistemic vigilance, could reflect an attempt to preserve the belief that others could be a source of help; it is possible to speculate that such a stance emerges in contexts of caregiving inconsistency and unpredictability, where suspending doubt or critical evaluation towards caregivers' communications (or behaviors) may allow the child to preserve a sense of connection, of receiving care and guidance. Despite its risks, however, credulity retains a channel for social learning thus for change and adaptation. Epistemic mistrust, by contrast, implies a pervasive, pre-emptive rejection of external input, possibly shaped by early experiences of invalidation, betrayal, or deception. For mistrustful individuals, the other is no longer perceived as a source of potential support, but of threat. To avert psychic disintegration, defensive barriers are erected: conflicting aspects of self (and others) may be kept separate, while having the need to externalize overwhelming emotions as a way to maintain a fragile sense of coherence albeit at the cost of healthy development. Taken together, these findings suggest that different epistemic disruptions shape specific profiles of vulnerability (requiring distinct, tailored intervention approaches). An accurate evaluation of both a patient's defensive style and epistemic stance can thus provide valuable insight into their intrapsychic and interpersonal functioning (e.g., Perry & Bond, 2012, 2017), offering important information about a patient's resources and limitations therefore aiding in the case formulation and treatment planning.
Epistemic stances and defense levels
P23
The second aim of this study was to explore the relationship between epistemic stances and defensive levels (Table 3). Epistemic trust was positively linked to high-adaptive defenses and negatively to disavowal ones. In other words, when interpersonal cues are experienced as reliable, benign, and generalizable, individuals appear to feel safe enough to hold both the external world and their inner experience in mind simultaneously, without distortion. They seem more inclined to seek adaptive, prosocial ways of expressing and gratifying their motivations, rather than warding off emotionally unsettling or problematic experiences through avoidance, denial, or projection. These results clarify the role of epistemic trust in fostering an accurate and balanced perception of reality, promoting emotional tolerance and cognitive flexibility: even conflicting information can be "metabolized". This reflects robust ego strength and well-integrated object relations (Cramer, 2015; Silverman & Aafjes-van Doorn, 2023), allowing individuals to assign meaning(s) to both intra- and inter-personal components of experience (Metzger, 2014; see also Perry & Bond, 2017). Considering defensive functioning when exploring epistemic trust seems therefore to provide a deeper understanding of how this stance sustains mentalization processes; it also offers empirical corroboration to the idea that the restoration of epistemic trust represents an aim of psychotherapy (e.g., Fonagy et al., 2015; Fisher et al., 2023). Although epistemic trust seems to be a necessary but not sufficient condition for well-being, it may foster emotional regulation and use of adaptive defenses, facilitating ongoing adaptation to one's environment. The use of mature defense mechanisms is indeed an indicator of positive therapeutic outcomes (e.g., Perry & Bond, 2012), associated with good reflective functioning and emotional regulation abilities (e.g., Tanzilli et al., 2021) ransdiagnostic factors fostering salutogenesis.
P24
Conversely, epistemic mistrust was negatively correlated with high-adaptive defenses, suggesting difficulties in deploying functional strategies to reconcile one's subjective experience with the demands of external reality. This suggests that mistrustful individuals are at higher risk of greater vulnerability to stress and interpersonal problems (e.g., Fiorini Bincoletto et al., 2025; Tanzilli et al., 2022). Mistrust was also uniquely linked to action defenses, and showed stronger associations with both major image-distortion and disavowal levels, indicating a propensity to erase, polarize, or behaviorally discharge information that feels affectively dissonant or distressing. The correlation with the major image-distorting level reflects a tendency to develop a dichotomous and oversimplified view of self and others (e.g., "all good" or "all bad"). This may reinforce a rigidly distorted perception of one's intrapsychic and social world, which, in turn, will likely undermine mentalization, as the complexity of mental states underlying behavior is usually lost in polarized representations. The association with disavowal defenses suggests that mistrustful individuals tend to deny and/or significantly distort aspects of reality experienced as threatening, resorting to processes that ward off or minimize awareness of what feels intolerable. In other words, our results offer empirical support to the conceptualization of epistemic mistrust as linked to epistemic hypervigilance, believed to be rooted in disorganized attachment (Fonagy & Allison, 2014). Instead of adaptively filtering out only untrustworthy information, mistrustful individuals appear susceptible to discard or misconstrue even useful, benign new knowledge, particularly when it evokes vulnerability or discomfort. Although temporarily effective in reducing negative emotions, this may limit the integration of new knowledge i.e., hamper mentalization and restrict the capacity for change. Over time, this can create further wariness toward others and foster a state of "epistemic isolation", a sense of being misunderstood or rejected, consistently with theoretical formulations (Luyten et al., 2020). When feeling threatened or otherwise emotionally activated, mistrustful individuals also tend to perceive the source of distress as external, resorting to maladaptive actions to discharge tension as indicated by the positive association with action defenses (that is, ways of coping with conflicts or stressors that bypass symbolic elaboration and manifest through externalizing behaviors, often with little awareness of their origins and possible consequences). The use of such defenses indicates a collapse of reflective functioning: it may complicate interpersonal interactions, as these mechanisms usually operate to battle, control, or fend off the source perceived as the cause of one's distress (e.g., Di Giuseppe & Perry, 2021), leading to further alienation from others.
P25
The findings regarding epistemic credulity highlighted similarities and differences in mental functioning compared to mistrust. While credulity also negatively correlated with high-adaptive defenses, the association was weaker. Moreover, our results indicate that epistemically credulous individuals employ less primitive mechanisms than mistrustful ones, suggesting a higher tendency to preserve a certain degree of emotional regulation, internal cohesion, and interpersonal adaptation (Sala et al., 2015; see also Cramer, 2015). Epistemic credulity positively correlated with the neurotic, obsessional, and minor-image distorting levels, while displaying no significant relationship with disavowal, major-image distortion, and action ones. This suggests that, when faced with conflict or distressing situations, credulous individuals tend to regain a sense of control by removing or distancing themselves from affects (through obsessive defenses), or conversely to experience the affective dimension but avoid awareness of disturbing or unacceptable thoughts (through neurotic defenses) (Di Giuseppe & Perry, 2021). If grappling with uncertainty or perceived threats related to new knowledge, they may therefore seek structured but restrictive ways of processing information to reduce their discomfort. Ultimately, this limits their capacity to process complex emotional states and integrate different components of experience in a coherent and balanced manner. Moreover, the association with minor image-distorting levels suggests that credulous individuals are likely to respond to disturbing emotions demeaning or minimizing the source of frustration or conflict. They may idealize or devaluate epistemic sources depending on how they align with pre-existing beliefs, reinforcing rigid cognitive patterns and exposing themselves to misinformation or manipulation. In summary, our results seem to suggest that credulous individuals are driven by a need to maintain a sense of certainty and safety, which may be linked to a sort of epistemic "hunger": a yearning for validation and answers that, through a lowering of epistemic vigilance, momentarily assuage the discomfort of doubt. In doing so, however, it thwarts critical reflection and one's ability to engage with conflicting perspectives and adaptively integrate new knowledge.
Defensive profiles for epistemic trust, mistrust, and credulity
P26
The third objective of our study was to highlight which particular defense mechanisms sustain each epistemic stance (Table 4). Epistemic trust's defensive profile was characterized by affiliation, altruism, self-observation, and sublimation. These defenses not only serve to mitigate emotional distress but can also increase self-awareness and foster interpersonal connections (Di Giuseppe & Perry, 2021). They enable individuals to generate new ideas, actions, or meanings, becoming crucial for transformation and resilience. In particular, self-observation allows one to reflect on one's own emotions, desires, and behaviors; it fosters the ability to make sense of internal experience and to use this information effectively in interpersonal interactions, promoting better adaptation to reality and a more accurate understanding of others' actions and reactions. This mechanism often represents a precursor to the changes that support the individual's psychological growth (Di Giuseppe & Perry, 2021; see also Lingiardi & McWilliams, 2017). Affiliation helps individuals constructively seek emotional support, fostering a sense of belonging and the ability to form healthy and meaningful relationships. It is also a fundamental mechanism for obtaining information from and about other people (Leary & Allen, 2011). Similarly, altruism allows for the development of a sense of belonging and the channeling of negative past feelings or experiences into prosocial behaviors that enable the development of more reciprocal, intimate, and rewarding interpersonal relationships (e.g., Li et al., 2023). Finally, sublimation allows to transform the transformation of drives and conflicts into socially acceptable and creative outlets, further enhancing personal and interpersonal growth (Di Giuseppe & Perry, 2021). Overall, these correlations offer initial corroboration to the idea that epistemic trust develops and grows in the context of cooperative exchanges, and that it fosters openness to experience and psychological as well as interpersonal adaptation (Fonagy et al., 2019).
P27
The defensive profile of epistemic mistrust was marked by a reliance on primitive, immature defenses (Table 4). Its strongest predictors were projection and splitting of self-image mechanism associated with rigid, fragmented functioning, a limited capacity to tolerate ambivalence and associated with increased vulnerability to psychopathology, particularly personality disorders (Kernberg, 1984). Epistemically mistrustful individuals seem prone to oscillate between polarized representations of the self, depending on their immediate emotional experience. They may perceive themselves as either entirely good or flawed, without the capacity to acknowledge the complexity of reality. This polarization can be rooted in early traumatic experiences, where splitting once served as a protective adaptation against overwhelming affects (e.g., Blass, 2015). In the long term, this limited ability to integrate conflicting aspects is likely to compromise self-understanding and mentalization capacities ultimately hampering interpersonal functioning. The positive association with projection further underscores mistrustful individuals' heightened vulnerability to interpersonal misunderstandings and conflicts: parts of the self emotionally charged and perceived as "negative" during social exchanges may indeed be disavowed and attributed to others. This may sustain the hypertrophic epistemic vigilance proposed as the fundamental mechanism underlying epistemic mistrust (Fonagy et al., 2015), which prevents the revision of internal schema and the functional utilization of socially transmitted knowledge. At the same time, the negative association with affiliation may reflect a heightened difficulty to utilize relationships as resources in moments of distress, adequately fulfilling attachment needs to enhance one's ability to cope with challenges. Mistrust individuals also seem less likely to use humor during challenging situations, suggesting some difficulty in giving symbolic expression to affects and wishes in challenging situations. This may limit their capacity to resolve tensions and conflicts, as well as to perceive different aspects of situations, themselves, and others from a novel perspective (Di Giuseppe & Perry, 2021). Finally, mistrust correlated positively with passive aggression (operationalized in the DMRS-SR-30 as self-directed anger or self-harming behaviors), and negatively with acting out (operationalized as outwardly directed and impulsive aggression). These individuals may therefore be more prone to internalizing anger and turning it against themselves, rather than expressing it through direct confrontations with others. They may feel too threatened or unsafe (perhaps because they fear further rejection, retaliation, or invalidation from others) to manifest hostile feelings openly. In summary, our findings corroborate previous theoretical formulations (Fonagy & Allison, 2014; Fonagy et al., 2015; Luyten et al., 2020) positing that epistemic mistrust is linked to a fragmentation and rigidity of one's subjective experience, protecting the individual from relational threats but leading to a restricted possibility of affective expression, playfulness and sense of belonging, giving rise to feelings of loneliness, isolation, and of being misunderstood.
P28
Conversely, the defensive profile of epistemic credulity was primarily defined by idealization and devaluation (Table 4). The negative association with projection indicates that credulous individuals are less inclined than mistrustful ones to disown unwanted feelings, impulses, or thoughts, and ascribe them to the other. These findings align with the conceptualization of credulity as characterized by low epistemic vigilance (Campbell et al., 2021): they show that credulous individuals seem to uncritically place their trust in sources perceived as familiar or protective, selectively idealizing them while devaluing others perceived as threatening. This may allow them to preserve a self-representation as "rational" persons who follow "trusted" authorities, obtaining a sense of security and coherence. They may, therefore, defend themselves against overwhelming affects such as those elicited by confronting new information contradicting their beliefs. In doing so, they might further adjust their views with those of figures perceived as benevolent (if not somewhat omnipotent) to maintain hope, fulfill attachment needs, and/or establish a sense of belongingness. Rather than splitting off or projecting disavowed parts, they may minimize inner conflict by incorporating the idealized other's viewpoint indiscriminately. However, this process may come at a cost: diminishing their ability to critically evaluate and reflect on their own beliefs, overvaluing the reliability of socially transmitted information. The use of reaction formation might maintain this psychological dynamic. When the veil of idealization falls, this defense can function as a means of denying the discomfort elicited by certain affective states (e.g., disappointment or resentment). In a search for certainty and safety, individuals with high epistemic credulity may unconsciously convert "negative" affects (perceived as threatening and difficult to regulate) into positive ones, particularly toward those epistemic sources they idealize. Thus, they may preserve a positive representation of both others and themselves although at the risk of exposing themselves to exploitation or manipulation. Displacement might serve a similar function: rather than confronting the source of their discomfort directly, credulous individuals appear more prone to redirect conflicting feelings elicited by a person or a situation onto another, usually perceived as less threatening or emotionally disturbing. This defensive profile cautions us to foster tolerance of ambivalence, reflective distance from one's beliefs, and more mature forms of affect regulation in individuals who show low epistemic vigilance, as well as to promote the adoption of more mature defenses that can sustain a balanced, authentic sense of agency and relational engagement.
P29
The current study has some limitations. First, its cross-sectional design restricted the analysis to exploratory observations of variable relationships. Additionally, the reliance on self-report measures might have introduced response biases, potentially influenced by social desirability or a lack of insight—even though it must be noted that such measures are not inherently less reliable or informative than other ones. As noted by Corneille and Gawronski (2024), self-reports typically demonstrate good internal consistency, test-retest stability, and predictive validity—to the point that the authors consider them equally (or more) reliable than implicit measures. Both the ETMCQ and the DMRS-SR-30 have demonstrated good reliability and construct validity in prior studies (e.g., Campbell et al., 2021; Di Giuseppe et al., 2020; Greiner et al., 2024; Liotti et al., 2023a, b; Prout et al., 2022); there is also evidence that self-report and observer-rated ratings of defense mechanisms substantially align (Di Giuseppe et al., 2020). In our study, participants were assured of the confidentiality and anonymity of their responses and completed the survey via their own devices, which should reduce social desirability and response biases (e.g., Tourangeau & Yan, 2007). It was also explicitly stated that there were no right or wrong answers––a precaution that, as noted by Podsakoff et al. (2003, p. 888), should further reduce bias.
P30
Nonetheless, we do believe that observer-rated measures such as the Epistemic Trust Rating System (ETRS; Fisher et al., 2025), the Operationalized Psychodynamic Diagnosis (OPD Task Force, 2008) rating system, the Psychodynamic Diagnostic Manual (PDM-2; Lingiardi & McWilliams, 2017), and the clinician-rated version of the Defense Mechanisms Rating Scales (DMRS-Q; Di Giuseppe & Perry, 2021) could enrich our understanding of these processes and overcome the inherent limitations of the data used in this study. Moreover, although the correlations we observed were statistically significant, their size seems to suggest that these interconnected constructs could be influenced by multiple and complex factors. To build on these findings, future studies could employ mixed-method approaches and gather data from different informants to investigate the connections between epistemic trust, defense mechanisms, and other mental capacities or psychological characteristics. In addition, to increase the generalizability of the results, the study should be replicated in different populations and at different conditions. Exploring these variables within a clinical sample could provide deeper insights, enhancing our understanding of the complex interplay between defense mechanisms and epistemic trust.
P31
Despite its limitations, this is the first research that sought to assess the defensive profiles linked to epistemic trust, mistrust, and credulity. Our study provides empirical support to theoretical models of these dimensions, and could inform the development of individualized interventions. This approach also has broader implications, offering valuable insights for shaping strategies in healthcare settings (Riedl et al., 2023), educational (Durkin & Shafto, 2016), and social or organizational contexts. Distortions of epistemic trust are indeed associated with conspiracy mentality and/or resistance to accept social policies, for instance regarding vaccination (Brauner et al., 2023; Tanzilli et al., 2022). The rigid and polarized representations of self and others observed in association with epistemic mistrust can generalize beyond close relationships, fostering defensive skepticism towards external sources of information and preference for unthreatening or self-confirming narratives, even when factually inaccurate. Our findings also suggest that epistemic credulity may involve an uncritical acceptance of information from idealized figures perceived as protective or authoritative, which can meet needs for belonging and safety. This stance might facilitate the indiscriminate spread of misinformation, particularly when such messages come from trusted sources and align with pre-existing beliefs. Taken together, our results underscore the importance of addressing distortions in epistemic trust, not only to support individual well-being but also to foster healthier social adaptation. They also highlight the need to further explore the developmental pathways and potential long-term consequences of epistemic mistrust and credulity. By clarifying how these stances (and their interaction with other mental functions) may diverge, future research could inform tailored interventions both within and beyond the therapeutic setting. A promising direction for future work could be to clarify (1) the developmental origins and contexts of each epistemic stance, and (2) whether epistemic mistrust and credulity represent relatively stable trait-like dispositions or more transient, state-dependent responses (see also Fisher et al., 2023). Such a distinction may be essential for understanding the flexibility of these patterns, their amenability to change, as well as the factors that might promote such change—potentially including defensive processes themselves.
2-Subjective language disturbances in young patients at ultra-high risk for psychosis (UHR): what relevance for clinical prognosis? A 2-year follow-up study
Original Paper
Open access
Published: 28 August 2025
(2025)
Cite this article
Abstract
Introduction
P1
Language impairment has the potential to predict the onset and progression of psychosis. However, it was mainly examined using automated extraction of quantitative linguistic features and their associations with observable psychopathological aspects of psychosis (e.g., formal thought disorders). Little interest has been paid to subjective language disturbances that should phenomenologically anticipate these more objective clinical features. Therefore, the aim of this examination was to investigate subjective language disorders in a Ultra-High Risk (UHR) sample and their associations with clinical and functional outcomes along 2 years of follow-up.
Methods
P2
170 UHR participants (88 [51.8%] females; mean age = 19.52 ± 6.03 years) were assessed for a broad range of clinical outcomes, including psychosis transition, clinical and functional remission measured with the Positive and Negative Syndrome Scale and the Social and Occupational Functioning Assessment Scale. Comparisons between patients with or without baseline subjective language disorders (specifically explored with the Schizophrenia Proneness Instrument) were analyzed using Chi-Square and Mann-Whitney tests, Kaplan-Meier survival analysis, and binary logistic regression analysis.
Results
P3
Across the follow-up, the UHR subgroup with language disorders at entry (n = 80) showed higher and more enduring severity in psychopathology (especially negative and disorganized features), as well as poorer socio-occupational functioning over time.
Conclusion
P4
The presence of subjective language disturbances at baseline identifies a subgroup of UHR youths with poorer psychopathological and functional prognosis. Further studies examining their association with quantitative linguistic biomarkers are needed, especially to better predict the onset and progression of psychosis.
Introduction
P5
The Clinical High-Risk for Psychosis status is known to be a conceptual synthesis from the theoretical model of “Ultra-High-Risk” (UHR) mental states [1] and the “Basic Symptoms” (BS) construct [2], heritage of the Bonn research group in Germany [3]. Research on these risk states for psychosis has been carried forward to reach a deeper knowledge on etiological/pathogenic patterns of illness development and to define which at-risk subgroup has a greater chance to transition to psychotic disorder [4, 5]. This remarkable action in public mental healthcare finds its roots in the opportunity to identify and treat help-seeking individuals before crossing the psychosis threshold, in order to prevent/reduce the risk of conversion or at least, for whom going forward to transition, to longitudinally ensure a lower impact of illness and a better functioning in everyday life, thanks to early multidisciplinary interventions that collected evidence through time [6, 7].
P6
Language disorders represent a fundamental chapter in the comprehensive assessment of UHR patients, especially as psychopathological precursors in the early detection of psychosis [8, 9]. Therefore, also in schizophrenia proneness instrument we can find items that investigate speech and language disturbances in a subjective perspective, in terms of both expression and reception [10]. In this respect, current research on early psychosis recently focused on mainly identifying objective language abnormalities (such as impairment in prosody, syntactic structure, and semantic coherence during Natural Language Processing [NLP]) [11, 12]. Moreover, automated speech analysis systems showed some efficacy in predicting transition to psychosis in UHR cohorts, although such studies were conducted on small sample sizes [13]. Furthermore, Rezaii and co-workers [14] correlated semantic density with positive symptoms, while speaking voices with negative symptoms, suggesting that two variables with such association had high predictive power with respect to psychosis conversion in prodromal patients. In this respect, the role of language disturbances, especially in Schizophrenia Spectrum Disorders, has been debated for a long time, given the intimate correlation between language and thought disorders [15,16,17,18]. More recently, specifically exploring clinical markers of early psychosis from language process, some authors used advanced linguistic analysis models (such as speech graph, vector unpacking, and latent complex analysis) and language-related abnormalities in neuroimaging, to detect the most subtle disturbances in the speech flow of patients at the psychosis onset [19].
P7
However, language disturbances and formal thought disorders as well are trans-diagnostic symptoms, occurring not only in SSD but also in patients with affective disorders. Specifically, SSD patients have more idiosyncratic speech and nonspecific disorganization than patients with affective disorders. Discriminating between SSD and affective disorders looks to be helpful, given the reduced connectivity score got from speech graph models [19, 20].
P8
Within UHR samples, a latent analysis model by DeVylder and colleagues [21] showed an increased hazard risk for psychosis onset in those at-risk patients with disordered communication at baseline. More recently, Bianciardi and co-workers [22] ruled out specific temporal (e.g., articulation rate, speech rate, pause rate, average syllable and pause duration) and prosodic features of language (e.g., glottal pulse period, jitter, shimmer, Harmonics-to-Noise Ratio [HNR], Noise-to Harmonics Ratio [NHR], voice breaks and unvoiced frames) from being markers of early psychosis using an automated acoustic analysis. Bilgrami and colleagues [23] also showed positive correlations between NLP metric of coherence and positive thought disorder severity, and between NLP metric of complexity and negative thought disorder severity. Furthermore, Meijer and co-workers [24] reported a significant correlation between semantic fluency and grey matter density in the UHR subgroup with psychosis transition. However, empirical studies investigating language and speech disturbances in at-risk patients considered exclusively objective features, also reporting relevant associations among disorganization, poverty of content, reduced referential cohesion, impaired semantic verbal fluency, and risk of psychosis conversion [19]. Little is known about the role of subjective language disturbances, especially early in the psychopathological trajectory of psychosis, although they have been included in the basic symptom criteria and in the Schizophrenia Proneness Instrument for their relevance in early detection of schizophrenia [2, 25].
P9
To our knowledge, no previous study specifically examining subjective language disorders in UHR patients has been published in the literature to date, especially on how these self-reported symptoms are related to the risk of overcoming psychosis threshold. Therefore, the goals of this examination were: (a) to explore clinical and socio-demographic comparisons between UHR with and without subjective language disturbances at entry, and (b) to examine any inter-group longitudinal difference in terms of global functioning, psychopathological features, and outcome indicators across a 2-year follow-up period.
Methods
Setting and participants
P10
All UHR participants were sequentially enrolled within the “Parma At-Risk Mental States” (PARMS) program from January 2016 to December 2021. Their participation in the PARMS program (and consequently in this study) was voluntary. We had no data about patients that were eligible for the PARMS protocol but refused specific “Early Intervention in Psychosis” (EIP) interventions. No comparison was possible between PARMS participants and nonparticipants. The PARMS is a specialized EIP infrastructure diffusely implemented across all adolescent and adult mental healthcare services in the Parma Department of Mental Health (Northern Italy) [26].
P11
Inclusion criteria were: (a) to seek specialist mental health assistance; (b) age 12–25 years, (c) to meet UHR criteria as defined by the “Comprehensive Assessment of At-Risk Mental States” (CAARMS) [25] at the baseline assessment (i.e., Attenuated Psychotic Symptoms [APS], Brief Limited Intermittent Psychotic Symptoms [BLIPS], and Genetic Vulnerability).
P12
Exclusion criteria were: (a) past overt affective or non-affective psychotic episode; (b) previous exposure to AP drug or current AP intake for a duration exceeding 4 weeks in the present illness episode, (c) known intellectual disability (IQ < 70); (d) neurological or other medical disorder with psychiatric manifestations. Past use of AP medication was considered a proxy for past psychotic episode, consistently with the original CAARMS criteria for psychosis threshold [27]. A current AP prescription of < 4 weeks was required to minimize pharmacological interference with baseline psychopathological assessment [28].
P13
All participants and parents (if minors) provided written informed consent for their participation in the study. This research obtained approval from the local ethics committee (AVEN Ethics Committee protocol n. 559/2020/OSS*/AUSLPR) and adhered to the principles outlined in the 1964 Declaration of Helsinki and its later amendments.
Instruments
P14
The psychopathological evaluation encompassed the CAARMS, the Health of the Nation Outcome Scale (HoNOS) [29], the Positive And Negative Syndrome Scale (PANSS) [30], the Social and Occupational Functioning Assessment Scale (SOFAS) [27], and the SPI-CY (Schizophrenia Proneness Instrument, Child and Youth version) [31]. All assessment instruments were administered by trained PARMS team members both at baseline (T0) and every 12 months during the 2-year follow-up period (T1 and T2). For all these tools, regular scoring workshops and supervision sessions were implemented to ensure good values of their inter-rater reliability.
P15
The CAARMS is a clinical interview designed to explore multiple aspects of attenuated psychopathology. Its “Positive Symptoms” subscale serves as the basis for defining both UHR and psychosis criteria. Moreover, the applied CAARMS version used functional deterioration (measured with the SOFAS) as inclusion requirement. CAARMS interviews were conducted by trained PARMS team members using the approved Italian version (CAARMS-ITA) [32, 33].
P16
The HoNOS assesses mental health and social functioning in patients with severe mental illness [34], including early psychosis [35]. It was divided into four main domains: “Behavioral Problems”, “Impairment”, “Psychiatric Symptoms”, and “Social Problems” [36] A score of ≤ 2 on HoNOS items 9, 10, and 11 within the “Social Problems” domain indicated functional remission [37].
P17
The PANSS is a widely used interview for assessing psychopathology in psychosis [38], also in young patients at illness onset [39]. As proposed by Shafer and Dazzi [40], we considered five key psychopathological dimensions: “Disorganization”, “Negative Symptoms”, “Positive Symptoms”, “Resistance/Excitement-activity”, and “Affect” (“Depression-Anxiety”). Symptomatic remission is indicated by a score of ≤ 3 on the 8 PANSS items specified by the “Remission in Schizophrenia Working Group’s criteria” [41].
P18
The SOFAS (Social and Occupational Functioning Assessment Scale) is a related measure that specifically evaluates social and occupational functioning while disregarding symptom severity. Unlike the GAF, which considers both symptom burden and functional impairment, the SOFAS provides a purer measure of functional capacity, particularly in patients with early psychosis [27]. It is included in the CAARMS interview [42]. A SOFAS score of ≥ 60 was used as further index of functional remission [43].
P19
The SPI-CY is a structured clinical interview designed to assess basic symptoms associated with an increased risk of psychosis in adolescents and young adults. The SPI-CY evaluates self-experienced disturbances across cognitive, perceptual, and affective domains that may precede the onset of psychotic disorder, helping to identify at-risk mental state populations [44]. In this study, the presence of language disorders was assessed using two items from the SPI-CY: i.e., the items C4 “Disturbance of receptive speech” and C5 “Disturbance of expressive speech” (C.1.7.). These items evaluate impairments in understanding spoken language and difficulties in verbal expression, respectively. A language disorder was identified when at least one of these two items was rated as present (i.e., with a score of ≥ 2). Furthermore, according to the authors [25, 31], a SPI-CY rating of 7 was treated as identifying trait-like features and was not considered in the language basic symptom score. As for the role of disturbances of expressive and of receptive speech in BS criteria, it should be noted that the “presence” of these symptoms as defined in this investigation did not necessarily correspond to the scores needed to satisfy the BS criteria (i.e., a score of at least 3). Indeed, the main goal of this research was to explore the presence of subjective language disorders regardless of their role in the BS criteria.
P20
Lastly, we completed a sociodemographic and clinical chart, including information on Duration of Untreated Illness (DUI), new suicide attempt, suicidal ideation, functional recovery, psychosis transition, and service disengagement (for details on their operative definitions, see Supplementary Materials [Table S1]).
Procedures
P21
The initial DSM-5 diagnosis was established through assessments conducted by a minimum of two trained PARMS team members using the Structured Clinical Interview for DSM-5 disorders (SCID-5) [45]. Subjective language disturbances were then assessed at baseline using the SPI-CY. The presence of at least one of the two SPI-CY language items rated as “present” was considered indicative of the presence of a subjective language disorder and was used to include UHR participants in the UHR/L + subgroup. The remaining patients were grouped in the UHR subsample.
P22
Within 4 weeks from baseline assessment, UHR participants were assigned to a multi-disciplinary team including a clinical psychologist, an early rehabilitation case manager, and a psychiatrist. In accordance with current official guidelines on EIP [46, 47], AP medication use at entry should be reserved to UHR patients who (a) displayed rapid deterioration in daily functioning, (b) experienced a sudden escalation of full-blown psychotic symptoms, (c) had an immediate risk of suicide or severe violence, or (d) failed to respond to psychosocial interventions. As a first-line psychopharmacological treatment, low-dose atypical AP drug was administered. Individual psychotherapy, family psychoeducation, and case management were provided to UHR patients following specific models [48, 49]. This included at least 15 sessions of individual psychotherapy [50], 12 sessions of family psychoeducation [51], and 24 sessions of early rehabilitation coordinated by a dedicated case manager over 2 years [52].
Statistical analysis
P23
Collected data were examined using the Statistical Package for Social Science (SPSS) version 28.0 for Windows [53]. All tests were two-tailed, with a significance p level set at 0.05. Bonferroni correction was calculated to deal with multiple comparisons and family-wise error rates [54].
P24
At presentation, between-group comparisons were analyzed using the Chi-Square (X2) test for categorical variables and the Mann-Whitney (U) test for quantitative parameters (given their non-normal distributions) [55]. As for inter-group comparisons on time-to-event outcome parameters (e.g., service disengagement, new suicide attempt), Kaplan-Meier survival analysis was used [56]. As for not time-to-event dependent variables (e.g., suicidal ideation, functional recovery) binary logistic regression analyses with the UHR subgroup as independent parameter were performed [57]. Finally, mixed-design ANOVA analyses were carried out to evaluate the temporal stability of PANSS, HoNOS, and GAF scores within and between the two UHR subsamples across the 2 years of follow-up [58].
P25
Data on medication, psychosocial intervention, psychopathology, functioning, and outcomes were collected at baseline and every 12 months throughout the 2-year follow-up period. The study initially compared sociodemographic, clinical, and treatment parameters between the two subgroups at entry. Then, we analyzed between-group differences in specific outcome measures over time.
Results
P26
A total of 170 UHR patients (80 [47.0%] CHR-P/L + and 90 CHR-P/L-) were included in the study. Within the UHR/L + subgroup, 65 patients had disturbance of expressive speech, while 30 had disturbance of receptive speech. Only 19 (23.7% of the UHR subgroup) showed subjective disorders of both expressive and receptive speech. Sociodemographic and clinical characteristics of the two subgroups are detailed in the Table 1. The total sample was predominantly female (52.2%) and white (87.6%), with a mean age at entry of 19.99 ± 6.06 years. According to the CAARMS, 115 participants met APS criteria, 14 BLIPS criteria, and 41 Genetic Vulnerability (GV) criteria. Specifically, 28 of them met both APS and GV criteria, while 3 both BLIPS and GV criteria. At entry, 68.2% UHR participants had an antipsychotic prescription.
Table 1 Baseline sociodemographic and clinical features in the two UHR subgroups (n = 170)
From: Subjective language disturbances in young patients at ultra-high risk for psychosis (UHR): what relevance for clinical prognosis? A 2-year follow-up study
|Variable|UHR/L+ (n = 80)|UHR/L- (n = 90)|X²/z|P|
| ---- | ---- | ---- | ---- | ---- |
|Gender (females)|41(51.2%)|47(52.2%)|0.016|0.899|
|Nationality (Italian)|65(81.3%)|80(8.9%)|1.97|0.16|
|Ethnic group| - | - |4.075|0.307|
|White|69(86.2%)|80(88.9%)|[-5]| - |
|Black|2(2.5%)|1(1.1%)|[.7]| - |
|Asian|3(3.8%)|1(1.1%)|[.6]| - |
|North African|5(6.3%)|5(5.6%)|[.1]| - |
|Hispanic|1(1.3%)|3(3.3%)|[-9]| - |
|Age at entry|20.09 ± 7.12|19.02 ± 4.85|-0.586|0.558|
|Education (in years)|11.13 ± 2.21|11.59 ± 2.45|-1.097|0.272|
|Marital status| - | - |0.022|0.999|
|Single|77(96.3%)|87(96.9%)|[-1]| - |
|Married/cohabitant|3(3.8%)|3(3.3%)|[.1]| - |
|Living status| - | - |1.651|0.648|
|Alone|3(3.8%)|3(3.3%)|[.1]| - |
|Living with partner|3(3.8%)|6(6.7%)|[-8]| - |
|Living with parents|74(92.4%)|80(8.9%)|[.8]| - |
|Other|0(0.0%)|1(1.1%)|[-9]| - |
|Employment status| - | - |2.087|0.354|
|NEET|25(31.3%)|22(24.4%)|[1.0]| - |
|Student|49(61.3%)|56(62.2%)|[-1]| - |
|Employed|6(7.5%)|12(13.3%)|[-1.2]| - |
|Source of referral| - | - |1.096|0.954|
|Primary care|26(32.5%)|32(35.6%)|[-4]| - |
|Family members|8(10.0%)|12(13.3%)|[-7]| - |
|Self - referral|12(15.0%)|12(13.3%)|[.3]| - |
|Emergency services|13(16.3%)|12(13.3%)|[.5]| - |
|Other mental health services|11(13.8%)|13(14.4%)|[-1]| - |
|School/social service|10(12.5%)|9(10.0%)|[.5]| - |
|Baseline hospitalization|16(20.0%)|6(6.7%)|6.683|0.01|
|Previous specialist contact|41(51.3%)|49(54.4%)|0.173|0.677|
|Past suicide attempt|9(11.3%)|6(6.7%)|1.106|0.293|
|DUI (in weeks)|61.37 ± 57.76|68.55 ± 51.65|-1.262|0.207|
|Substance use (at entry)|10(12.5%)|16(17.8%)|0.911|0.34|
|CHR group| - | - | - | - |
|APS|58(72.5%)|57(63.3%)|1.626|0.202|
|BLIPS|8(10.0%)|6(6.7%)|0.623|0.43|
|Genetic vulnerability|14(17.5%)|27(30.0%)|0.459|0.39|
|AP prescription|42(52.5%)|31(34.4%)|5.635|0.018|
|AP equivalent dose of risperidone (mg/day)|2.99 ± 2.27|2.87 ± 2.11|-0.046|0.964|
|AD prescription|26(32.5%)|24(26.7%)|0.693|0.405|
|BDZ prescription|20(25.0%)|24(26.7%)|0.061|0.804|
|Treatment adherence|52(65.0%)|60(66.7%)|0.052|0.819|
|PANSS scores| - | - | - | - |
|Positive symptoms|11.10 ± 4.36|9.91 ± 3.43|-1.544|0.123|
|Negative Symptoms|20.13 ± 8.28|15.22 ± 6.27|-3.953|0.001|
|Disorganization|17.16 ± 6.60|13.32 ± 3.79|-3.881|0.001|
|Affect|15.60 ± 4.91|13.97 ± 5.34|-2.093|0.18|
|Resistance/excitement - activity|7.49 ± 3.35|7.00 ± 3.38|-1.163|0.245|
|G12 Lack of judgment/insight|2.39 ± 1.44|1.99 ± 1.38|-2.197|0.028|
|P2 Conceptual disorganization|2.33 ± 1.14|1.68 ± 0.88|-3.88|0.001|
|Total score|73.97 ± 18.95|61.41 ± 15.56|-4.362|0.001|
|SOFAS score|47.75 ± 7.39|50.39 ± 8.32|-1.858|0.063|
|Work/school interruption (at entry)|48(60%)|32(35.6%)|10.158|0.001|
|HoNOS scores| - | - | - | - |
|Behavioral problems|2.54 ± 1.99|2.14 ± 1.81|-1.346|0.178|
|Impairment|1.51 ± 1.40|1.79 ± 1.49|-1.125|0.26|
|Psychiatric symptoms|9.21 ± 2.77|7.48 ± 3.33|-3.118|0.008|
|Social problems|5.84 ± 3.05|4.26 ± 2.83|-3.299|0.004|
|Total score|19.10 ± 5.91|15.67 ± 6.12|-3.846|0.001|
UHR Ultra-High Risk, UHR/L + UHR patients with language subjective disorder, UHR/L- UHR patients without language subjective disorder, NEET Not [engaged] in Employment, Education, or Training, Law 104/92 Italian framework law for assistance, social integration, and rights for persons with disabilities, DUI Duration of Untreated Illness, AP Antipsychotic, AD Antidepressant, BDZ Benzodiazepine, PANSS Positive and Negative Syndrome Scale, SOFAS Social and Occupational Functioning Assessment Scale, HoNOS Health of the Nation Outcome Scale
Mean ± standard deviation, frequencies (and percentages), Chi-square (X2) test, Mann–Whitney (z) test values are reported. Adjusted residuals values are in square brackets. Bonferroni’s corrected p values are calculated. Statistically significant p values are in bold. *p < .01
Baseline comparisons
Compared to UHR/L-, the UHR/L + subgroup showed significantly higher levels in PANSS total score, particularly in Negative and Disorganization domain subscores (Table 1). Similarly, higher levels in HoNOS total score and HoNOS “Psychiatric symptoms” and “Social problems” domain subscores were reported in UHR/L + patients, alongside lower levels of clinical insight (i.e., a higher subscore in PANSS item G12 [“Lack of judgment/insight]) and a higher prevalence rate of work/school interruption. Finally, the UHR/L + subgroup showed higher prevalence rates of baseline psychiatric hospitalization and AP prescription.
Longitudinal comparisons
Our Kaplan-Meier survival analysis results (Table 2) revealed no statistically significant inter-group differences in 2-year incidence rates of service disengagement, new psychiatric hospital admission, new suicide attempt, and transition to psychosis.
Table 2 Kaplan–Meier survival analysis results: comparisons on 2-year time-to-event outcome incidence rate among the two UHR subgroups
From: Subjective language disturbances in young patients at ultra-high risk for psychosis (UHR): what relevance for clinical prognosis? A 2-year follow-up study
|UHR subgroup|Number of events|Cumulative proportion surviving at the time - Estimate|Cumulative proportion surviving at the time - SE|Mean (in months) for 2 - year service disengagement incidence rate - Estimate|Mean (in months) for 2 - year service disengagement incidence rate - SE|Mean (in months) for 2 - year service disengagement incidence rate - 95% CI - Lower bound|Mean (in months) for 2 - year service disengagement incidence rate - 95% CI - Upper bound|
| ---- | ---- | ---- | ---- | ---- | ---- | ---- | ---- |
|UHR/L +|31|42.5%|.055|18.500|.742|17.046|19.954|
|UHR/L -|39|47.8%|.053|18.178|.689|16.828|19.528|
|(Overall)|70| - | - |18.329|.505|17.340|19.319|
|Log Rank (Mantel - Cox)| | | |X2|df|p| |
| | | | |.298|1|.585| |
|UHR subgroup|Number of events|Cumulative proportion surviving at the time - Estimate|Cumulative proportion surviving at the time - SE|Mean (in months) for 2 - year new hospitalization rate - Estimate|Mean (in months) for 2 - year new hospitalization rate - SE|Mean (in months) for 2 - year new hospitalization rate - 95% CI - Lower bound|Mean (in months) for 2 - year new hospitalization rate - 95% CI - Upper bound|
|UHR/L +|7|10.5%|.038|23.014|.417|22.197|23.830|
|UHR/L -|8|10.7%|.037|22.988|.391|22.221|23.755|
|(Overall)|15| - | - |23.000|.275|22.461|23.539|
|Log Rank (Mantel - Cox)| | | |X2|df|p| |
| | | | |.002|1|.964| |
|UHR - P subgroup|Number of events|Cumulative proportion surviving at the time - Estimate|Cumulative proportion surviving at the time - SE|Mean (in months) for 2 - year new suicide attempt incidence rate - Estimate|Mean (in months) for 2 - year new suicide attempt incidence rate - SE|Mean (in months) for 2 - year new suicide attempt incidence rate - 95% CI - Lower bound|Mean (in months) for 2 - year new suicide attempt incidence rate - 95% CI - Upper bound|
|UHR/L +|3|5.0%|.029|23.671|.281|23.121|24.222|
|UHR/L -|3|4.6%|.027|23.711|.247|23.226|24.196|
|(Overall)|6| - | - |23.692|.166|23.366|24.018|
|Log Rank (Mantel - Cox)| | | |X2|df|p| |
| | | | |.015|1|.901| |
|UHR subgroup|Number of events|Cumulative proportion surviving at the time - Estimate|Cumulative proportion surviving at the time - SE|Mean (in months) for 2 - year psychosis transition rate - Estimate|Mean (in months) for 2 - year psychosis transition rate - SE|Mean (in months) for 2 - year psychosis transition rate - 95% CI - Lower bound|Mean (in months) for 2 - year psychosis transition rate - 95% CI - Upper bound|
|UHR/L +|9|13.9%|.044|22.849|.439|21.990|23.709|
|UHR/L -|8|11.4%|.040|23.133|.365|22.418|23.847|
|(Overall)|17| - | - |23.000|.274|22.464|23.536|
|Log Rank (Mantel - Cox)| | | |X2|df|p| |
| | | | |.235|1|.628| |
UHR Ultra-High Risk, UHR/L + UHR patients with language subjective disorder, UHR/L- UHR patients without language subjective disorder, SE Standard Error, 95% CI 95% Confidence Intervals, Log Rank Logarithm Rank Test, X2 Chi-Square test, df degrees of freedom, p statistical value
Significant statistical p values are in bold
Binary logistic regression analysis results (Table 3) also failed to identify statistically significant inter-group differences at both 1- and 2-year follow-ups in terms of current suicidal ideation, functional recovery, PANSS symptomatic remission, SOFAS and HoNOS functional remission.
Table 3 Binary logistic regression analysis results for 2-year not time-to-event outcome variables in the two UHR subgroups
From: Subjective language disturbances in young patients at ultra-high risk for psychosis (UHR): what relevance for clinical prognosis? A 2-year follow-up study
|Dependent variable<br>(n = 156)|UHR/L+<br>(n = 73)|UHR/L-<br>(n = 83)|Statistic test| | | | |
| ---- | ---- | ---- | ---- | ---- | ---- | ---- | ---- |
| | | |B (SE)|HR|95% CI<br>Lower Higher|p|
|1-year current suicidal ideation|19 (26.0%)|18 (21.7%)|.239 (.377)|1.271|.607 2.660|.525|
|1-year functional recovery|49 (67.1%)|58 (70.7%)|.169 (.348)|1.184|.599 2.340|.628|
|1-year SOFAS functional remission|43 (58.9%)|58 (69.9%)|.482 (.337)|1.619|.836 3.136|.153|
|1-year HoNOS functional remission|53 (72.6%)|66 (79.5%)|.382 (.378)|1.465|.698 3.073|.312|
|1-year PANSS symptomatic remission|46 (63.0%)|60 (72.3%)|.426 (.345)|1.531|.779 3.010|.217|
|1-year CHR-P persistence|25 (34.2%)|24 (28.9%)|-.247 (.346)|.781|.397 1.538|.475|
|Dependent variable<br>(n = 100)|UHR/L+<br>(n = 50)|UHR/L-<br>(n = 50)|Statistic test| | | | |
| | | |B (SE)|HR|95% CI<br>Lower Higher|p|
|2-year current suicidal ideation|10 (20.0%)|8 (16.0%)|.272 (.523)|1.312|.471 3.660|.603|
|2-year functional recovery|36 (72.0%)|37 (74.0%)|.102 (.451)|1.107|.458 2.678|.822|
|2-year SOFAS functional remission|29 (60.4%)|35 (74.5%)|.648 (.446)|1.911|.797 4.581|.147|
|2-year HoNOS functional remission|39 (78.0%)|43 (86.0%)|.550 (.532)|1.733|.611 4.912|.301|
|2-year PANSS symptomatic remission|31 (62.0%)|38 (76.0%)|.663 (.441)|1.941|.818 4.607|.133|
|2-year CHR-P persistence|17 (34.0%)|10 (20.0%)|-.723 (.463)|.485|.196 1.202|.118|
Current suicidal ideation BPRS item 4 score of ≥ 2, Functional recovery return to work/school, SOFAS functional remission SOFAS score of ≥ 60, HoNOS functional remission HoNOS item 9, 10, and 11scores of ≤ 2, PANSS symptomatic remission PANSS item P1, P2, P3, N1, N4, N6, G5, G9 scores of ≤ 3
UHR Ultra-High Risk, UHR/L + UHR patients with language subjective disorder, UHR/L- UHR patients without language subjective disorder. SOFAS Social Occupational Functioning Assessment Scale, HoNOS Health of the Nation Outcome Scale, PANSS Positive and Negative Syndrome Scale, B regression coefficient, SE Standard Error, HR Hazard Ratio, 95% CI 95% confidence intervals for HR, p statistical significance
Significant statistical p values are in bold. Cumulative incidence rates are reported
Our mixed-design ANOVA results across the 2-year follow-up period (Table 4) revealed a significant main effect of time for all PANSS, SOFAS, and HoNOS scores, except for PANSS “Resistance/Excitement-activity” dimension subscores, indicating general clinical and functioning improvement in the total UHR sample. Notably, group differences were observed for PANSS “Positive”, “Negative”, “Disorganization”, “Affect”, and total scores, with UHR/L + patients showing persistently higher symptom severity levels across time-points. Additionally, they also showed the same group effects in terms of HoNOS “Psychiatric symptoms”, “Social problems”, and total scores. Moreover, significant group and interaction (“time×group”) effects were found for SOFAS scores over time, suggesting that UHR/L- participants longitudinally demonstrated greater improvements in functioning compared to UHR/L + peers (see Supplementary Materials [Figure S1] for details on profile plots).
Table 4 Mixed-design ANOVA results: psychopathological and outcome parameters across the 2-year follow-up period in the two UHR subgroups
From: Subjective language disturbances in young patients at ultra-high risk for psychosis (UHR): what relevance for clinical prognosis? A 2-year follow-up study
|Variable|Time effect|Group effect|Interaction effect (time x group)|
| ---- | ---- | ---- | ---- |
| |df|F|p|η2|df|F|p|η2|df|F|p|η2|
|PANSS Positive symptoms|1.50|19.924|.001|.169|1|6.548|.012|.093|1.50|.274|.689|.003|
|PANSS Negative symptoms|1.49|23.485|.001|.193|1|22.045|.001|.184|1.49|1.485|.237|.005|
|PANSS Disorganization|1.48|29.765|.001|.233|1|20.449|.001|.173|1.48|3.205|.058|.032|
|PANSS Affect|1.48|56.421|.001|.365|1|8.624|.004|.081|1.48|.406|.606|.004|
|PANSS Resistance/Excitement-activity|1.58|7.599|.002|.072|1|.271|.604|.003|1.58|.048|.920|.001|
|PANSS Total score|1.53|40.149|.001|.291|1|20.138|.001|.170|1.53|1.023|.345|.010|
|SOFAS score|1.59|116.354|.001|.558|1|10.401|.002|.102|1.59|3.308|.049|.035|
|HoNOS Behavioral problems|1.42|54.125|.001|.358|1|.352|.555|.004|1.42|.358|.626|.004|
|HoNOS Impairment|1.99|17.184|.001|.149|1|.615|.435|.006|1.99|.986|.375|.010|
|HoNOS Psychiatric symptoms|1.61|96.897|.001|.497|1|9.761|.002|.091|1.61|1.392|.251|.014|
|HoNOS Social problems|1.78|50.600|.001|.341|1|11.473|.002|.105|1.78|1.441|.240|.014|
|HoNOS total score|1.66|101.789|.001|.512|1|9.618|.003|.090|1.66|1.258|.282|.013|
|Variable|EMM (SE)| |
| ---- | ---- | ---- |
| |UHR/L+|UHR/L-|
|T0 PANSS Positive symptoms|11.620 (.548)|9.640 (.584)|
|T1 PANSS Positive symptoms|9.340 (.535)|7.880 (.535)|
|T2 PANSS Positive symptoms|9.140 (.548)|7.640 (.548)|
|T0 PANSS Negative symptoms|22.420 (1.065)|15.080 (1.065)|
|T1 PANSS Negative symptoms|19.080 (1.103)|13.020 (1.103)|
|T2 PANSS Negative symptoms|17.380 (1.008)|12.060 (1.008)|
|T0 PANSS Disorganization|18.820 (.813)|13.340 (.813)|
|T1 PANSS Disorganization|15.880 (.793)|11.460 (.793)|
|T2 PANSS Disorganization|14.400 (.713)|11.160 (.713)|
|T0 PANSS Affect|16.080 (.748)|13.760 (.748)|
|T1 PANSS Affect|12.560 (.604)|9.900 (.604)|
|T2 PANSS Affect|11.260 (.626)|9.420 (.626)|
|T0 PANSS Resistance/Excitement|7.600 (.469)|7.260 (.469)|
|T1 PANSS Resistance/Excitement|6.560 (.446)|6.380 (.446)|
|T2 PANSS Resistance/Excitement|6.650 (.461)|6.220 (.461)|
|T0 PANSS Total score|79.020 (2.586)|61.060 (2.586)|
|T1 PANSS Total score|65.660 (2.875)|50.480 (2.875)|
|T2 PANSS Total score|60.940 (3.011)|48.160 (3.011)|
|T0 SOFAS score|46.596 (1.136)|50.489 (1.136)|
|T1 SOFAS score|55.830 (1.847)|65.170 (1.847)|
|T2 SOFAS score|61.170 (1.864)|67.106 (1.864)|
|T0 HoNOS Behavioral problems|2.640 (.276)|2.347 (.279)|
|T1 HoNOS Behavioral problems|1.240 (.217)|1.061 (2.19)|
|T2 HoNOS Behavioral problems|.960 (.205)|.939 (.208)|
|T0 HoNOS Impairment|1.500 (.204)|1.880 (.204)|
|T1 HoNOS Impairment|1.100 (.188)|1.160 (.188)|
|T2 HoNOS Impairment|.940 (.170)|1.020 (.170)|
|T0 HoNOS Psychiatric symptoms|9.580 (.434)|7.660 (.434)|
|T1 HoNOS Psychiatric symptoms|6.500 (.471)|4.360 (.471)|
|T2 HoNOS Psychiatric symptoms|5.120 (.495)|3.960 (.495)|
|T0 HoNOS Social problems|6.320 (.429)|4.580 (.429)|
|T1 HoNOS Social problems|4.960 (.404)|2.840 (.404)|
|T2 HoNOS Social problems|3.940 (.385)|2.580 (.385)|
|T0 HoNOS total score|20.040 (.849)|16.510 (.858)|
|T1 HoNOS total score|13.800 (.981)|9.306 (.991)|
|T2 HoNOS total score|10.960 (1.001)|8.469 (1.011)|
As all Mauchly’s tests of sphericity are statistically significant (p < 0.05), Greenhouse–Geisser corrected degrees of freedom to assess the significance of the corresponding F value are used. Statistically significant p values are in bold. Statistical trends in p value (p < 0.01) are underlined
ANOVA analysis of variance, UHR Ultra-High Risk for psychosis, UHR/L + UHR patients with language subjective disorder, UHR/L- UHR patients without language subjective disorder, PANSS Positive And Negative Syndrome Scale, df degrees of freedom, F F statistic value, SOFAS Social and Occupational Functioning Assessment Scale, HoNOS Health of the Nation Outcome Scale, p statistical significance, η2 partial eta squared, EMM Estimated Marginal Mean, SE Standard Error, T0 baseline assessment, T1 1-year assessment time, T2 2-year assessment time
Bonferroni’s corrected p values are reported. Statistically significant p values are in bold. *p < .01
Discussion
To the best of our knowledge, this is the first study exploring the relationship between subjective language disturbances and clinical, functional, and outcome parameters in a sample of young UHR patients treated within an EIP service. Indeed, most studies on language impairment in UHR patients looked for automatic extraction of quantitative, biophysical (e.g., temporal/prosodic) markers or, in a specular way, FTDs, but exclusively from an objective/observational perspective. In our opinion, these objective disorders do not necessarily correspond to subjective, self-perceived distress, especially as specifically intended in the BS definition and theory [59]. Indeed, only when these neurobiological (“trans-phenomenal”) alterations reach sufficient clinical severity levels, they may first induce corresponding language disturbances that are primarily perceived as subjective pathological phenomena (i.e., BSs). Subsequently, language BSs, especially due to current relevant stressful events, may transit to the language clinical manifestations (and FTDs) behaviorally measurable with the PANSS [2, 3]. To explore this psychopathological evolution, future studies specifically examining the close relationship between biological/biophysical and the subjective language disturbances typically preceding objective FTDs of full-blown psychosis are thus needed, especially in order to support the hypothesis that language BSs are the first clinical features directly resulting from neurobiological language markers [60].
In this interesting perspective, the results of this examination showed a remarkable clinical link between UHR/L + patients and higher PANSS scores, especially in terms of negative symptoms and disorganization, both at baseline and across the follow-up. Overall, these findings suggest that the presence of subjective language disturbances at entry may be considered as an early clinical index of more severe and enduring psychopathology, despite the provision of specialized EIP interventions. Specifically, at baseline, these language BSs were notably associated with negative and disorganized features of psychosis (as behaviorally observed and measured by clinicians with the PANSS). This greater psychopathological severity at presentation was also confirmed in the UHR/L + subgroup by higher baseline prevalence rates of AP prescription and hospitalization, as well as by greater baseline PANSS scores in lack of judgment/insight.
Furthermore, although no inter-group differences were found in terms of DUI and 2-year incidence rates of service disengagement, new hospitalization, new suicidal thinking and behavior, psychosis transition, and symptoms remission across the follow-up, our mixed design ANOVA results drew two different longitudinal trajectories in the psychopathology of UHR/L + and UHR/L- participants, respectively. Indeed, at any point of the clinical course, the UHR/L + subgroup reported higher severity levels of psychopathology, independently by the provision of Pr-EP treatments (including AP medication). This poorer psychopathological outcome involved both affective and psychotic features (i.e., positive, negative, and disorganized dimensions), together with a poorer SOFAS functioning decline in UHR/L + participants across all time-points. This longitudinal functioning impairment in the UHR/L + subgroup specifically involved their social abilities (as indicated by higher HoNOS “Social problems” scores along the whole follow-up period) and appeared to start earlier (i.e., before the Pr-EP enrollment, as evidenced by their higher baseline HoNOS “Social problems” domain subscore and their greater baseline prevalence rate of work/school interruption).
As for FTDs in the UHR literature, some authors reported significant association of expressive communication disturbance (e.g., poverty of content, less referential cohesion) at baseline with poorer clinical status and lower socio-occupational functioning over time [61]. However, our outcome findings are not in line with the results of previous research. In this respect, contrary to the results of this investigation, an increase in frequency and duration of hospitalization was observed [62], as well as evidence that various expressive speech abnormalities (e.g., looseness, peculiar word/sentence usage, poverty of content, and weakening of goal) may predict psychosis transition [21, 63, 64]. Specifically, as for PANSS disorganized communication item, Spencer and colleagues [65] showed its significant correlation with an increased psychosis conversion hazard at baseline and persistent symptoms in illness trajectories over time. Overall, the vast majority of these studies concerned disturbance of expressive language but not receptive speech (i.e., language comprehension). However, considering only the expressive language disorders item, our outcome results did not change (see Supplementary Materials [Table S2] for details). Furthermore, contrary to what was reported in a recent network analysis on PANSS and SPI items [66], which showed no direct link between disturbance of expressive and of receptive speech and FTDs, we found a significant relationship between higher PANSS disorganization factor scores and the UHR/L + subgroup. This gives us the opportunity to hypothesize a more perceptible feature of language impairment during an important de-structuration of the language function.
In this respect, recent interesting studies exploring objective speech markers (especially, temporal and prosodic characteristics of language) found abnormalities in prosodic and temporal language functioning already in youths at UHR [67], i.e., before a full-blown psychosis onset. As for other evidence on objective language disorders in UHR populations, an investigation by Parola and co-workers [68] linked higher PANSS scores in the domain of disorganization with alterations in inference abilities in communicative intentions. According to the authors, this would imply a tendency to misattribute the communicative intentions of the speaker, due to increased pragmatism. These impaired inference abilities could also underlie a poor mentalization function (theory of mind), often observed in patients with FEP and frequently leading to symptoms related to the area of social cognition (which is primarily compromised especially in first-episode schizophrenia samples) [69]. However, also objective language markers substantially reflect expressive speech disturbance. Therefore, future studies specifically aimed at examining receptive language disorders (i.e., language comprehension) are strongly recommended.
Furthermore, such clinical aspects can seriously compromise the effectiveness of communication, resulting in an increase in negative social judgments [61]. From this perspective, some differences we detected whereby the UHR/L + subgroup could depend on this failure in the social domain and may induce less benefits from treatment in terms of global functioning (as measured with the SOFAS). This indicates the need for integrative support in social rehabilitation interventions taking into special account receptive and expressive language difficulties, also when exclusively confined in the individual subjectivity [70]. In this respect, NLP studies in UHR samples examining linguistic features linked to suicidal ideation found specific language disorders in whom expressed freely anger or other feeling, used firmly subject “I” at the top of the sentence, or stopped to use modal verbs [23, 71,72,73]. In these interesting investigations, crucial weakness was the risk of bias due to the high number of participants under AP treatment at baseline. However, the results of this examination support our evidence on the “univocity” of subjective language disturbances in UHR patients and their associations with poorer clinical and functional outcomes.
Limitations
A first limitation of this investigation was related to the study design. Indeed, this was an observational research and data were collected not for specifically examining language disorders in UHR participants. Moreover, no specific instruments to analyzed language psychopathology or neurobiological markers were used. Finally, subjective language disturbances were not examined over time. Therefore, future longitudinal investigations including and correlating neurological, subjective and objective examinations on language impairment are needed.
Other crucial weaknesses included the relatively small sample size and the use of AP medications, which could affect language and formal thought functions. Therefore, future studies on larger and AP-naïve UHR samples also examining the role of AP drugs are needed. Specifically, we did not used AP treatment as a covariate in our analyses because no intergroup difference in terms of AP dosage at entry was observed (Table 1), despite a higher baseline prescription rate in the UHR/L + subgroup. Additionally, we did not consider psychosocial interventions as covariates because no between-group differences were found in terms of individual psychotherapy, family psychoeducation, and case management prevalence rates at entry (Table 1).
Furthermore, in this investigation we did not explore expressive and receptive language disturbances separately. Indeed, the subsample of UHR/L + participants exclusively with disorders of receptive speech was too small (only 11 patients). This did not allow us to conduct effective, separate statistical analyses. Therefore, as objective language measures were commonly concerned with speech production, future studies are needed that repeat our analyses for disturbances of expressive and of receptive speech separately in larger UHR samples. Finally, this was a single-center research that may not be considered representative of all current real-world UHR intervention protocols. Indeed, our findings are comparable only with investigations using similar study design and methodology.
Conclusions
This investigation represents a first explorative analysis of subjective language disturbances in UHR patients. The results of this investigation overall showed the important role of language self-disorders as early subjective clinical indices of greater and more enduring severity in psychopathology of UHR patients, as well as of poorer clinical and functional outcomes over time. However, further studies are needed to explore this interesting field by using other assessment tools and other clinical endpoints, especially in order to evaluate the real predictive power of subjective language disorders for prognosis, especially transition to psychosis and suicidality.
3-Evaluating medication discrepancies and harm: a matched cohort study of collaborative pharmacist prescribing in a statewide healthcare system using electronic prescribing
Research
Open access
Published: 28 August 2025
(2025)
Cite this article
Abstract
Introduction
P1
Collaborative pharmacist prescribing models involve pharmacists working with doctors and patients to develop medication plans and prescribe medications. Limited evidence exists on the impact of these models on medication discrepancies in hospitals using electronic prescribing systems (EPS).
Aim
P2
This study aimed to evaluate the impact of collaborative pharmacist prescribing on medication discrepancies and potential patient harm within a statewide healthcare system using EPS.
Method
P3
A multi-site matched cohort study involving 240 patients was conducted. EPS data for 120 patients aged ≥ 18 years who received collaborative pharmacist prescribing was matched 1:1 with 120 patients who received usual care of independent medical prescribing. Matching variables were hospital, clinical unit, sex, age, admission date, triage category and pre-admission medication count. The electronic medical record was reviewed to identify undocumented medication discrepancies, which were defined as any unexplained difference between the pharmacist-led medication history and medications prescribed on admission. The frequency of undocumented discrepancies was calculated. An independent multi-disciplinary clinician panel determined potential harm, using the Harm Associated with Medication Error Classification (HAMEC) tool.
Results
P4
There were fewer undocumented discrepancies per medication prescribed in the collaborative pharmacist prescribing group compared to usual care (RR 0.04, 95% CI 0.03–0.06) and the relative risk of undocumented discrepancies per patient was lower (RR 0.23, 95% CI 0.13–0.39). The expert clinician panel found that undocumented discrepancies rarely posed serious or severe harm in either group (0 undocumented discrepancies with potential to cause serious or severe harm in the collaborative pharmacist prescribing group compared to 8 in the usual care group).
Conclusion
P5
The implementation of collaborative pharmacist prescribing within a statewide EPS significantly reduced undocumented discrepancies and lowered the potential for patient harm. As healthcare systems globally shift towards electronic prescribing, this study provides timely and actionable evidence to inform policy and support the adoption of collaborative prescribing models in hospitals using EPS. Such models offer a practical strategy to improve medication safety, reduce patient harm and strengthen interprofessional collaboration at the point of prescribing.
Impact statements
P6
Collaborative pharmacist prescribing in hospitals utilising electronic prescribing systems significantly reduces medication discrepancies and potential patient harm compared to usual care
P7
These findings support the integration of collaborative pharmacist prescribing in electronic prescribing environments to improve medication safety, patient harm, and to strengthen interprofessional collaboration at the point of prescribing
P8
Given the global shift towards electronic prescribing, this evidence is timely and relevant for guiding healthcare organisations and policymakers seeking to enhance quality of care
P9
These findings support broader international efforts to expand pharmacist scope of practice through collaborative prescribing to ease workforce pressures without comprising on quality and safety
Introduction
P10
Pharmacist prescribing has been embedded within community and hospital settings in many countries internationally, with three broad models commonly used: independent, dependent and collaborative (or supplementary) pharmacist prescribing [1]. Independent prescribing has been implemented in the UK since 2006 [2], and Alberta (Canada) since 2007 [3], with pharmacists leading the patient assessment, diagnosis and prescribing [1]. Dependent prescribing models have been implemented in some states in the US [4], and in Australian community pharmacies [5], where pharmacists prescribe medications from a restricted list for specific indications according to a protocol, guideline, or formulary [1]. Collaborative prescribing models have been adopted in other jurisdictions in the US [6] and Australia in hospital [7,8,9,10,11,12,13,14,15] and general practice [16, 17] settings. In the UK, whilst independent prescribing has become the predominant model, collaborative models are still being used in multi-disciplinary settings due to the team-based nature of care delivery [18,19,20,21]. Collaborative prescribing models typically require the initial patient assessment and diagnosis to be made by a doctor, with the doctor and pharmacist working together to develop an agreed medication plan, and the pharmacist prescribing the medications accordingly [1, 22]. The medication plan is developed collaboratively using the pharmacist-led medication history [23], working diagnosis and relevant laboratory and diagnostic test results [22]. Some collaborative models require that medications prescribed by a pharmacist are reviewed and countersigned by a treating doctor before the medications can be administered to the patient [22]. In other collaborative models, pharmacists can prescribe medications for administration, without a countersignature [22].Collaborative pharmacist prescribing models implemented in paper-based prescribing systems have been shown to significantly reduce prescribing error rates from 66% of patients having one or more error with independent medical prescribing to 3.6% with collaborative pharmacist prescribing [24]. Collaborative pharmacist prescribing has also been shown to reduce median length of stay by 10% (from 6.5 to 5.8 days) and the average cost of admissions by $726 (from $9,803 to $8,802) [25].
P11
The majority of evidence relating to the benefits of collaborative pharmacist prescribing comes from settings where paper-based prescribing systems are used [7,8,9,10, 15]. Broader research on electronic prescribing systems (EPS) indicates that EPS can reduce procedural errors such as unclear or incomplete orders but have less impact on clinical errors such as medication omissions [26]. A systematic review conducted in 2017 [1] identified seven papers on collaborative pharmacist prescribing models in the hospital setting: five studies from Australia and two from the US were included. Most of these collaborative models were implemented in outpatient or ambulatory care settings, with only two implemented in the inpatient hospital setting [1]. No studies were reported to be implemented in electronic settings [1]. Five out of seven models required a medical countersignature for pharmacist prescriptions [1].
P12
Emerging research suggests potential benefits of collaborative pharmacist prescribing in hospitals using EPS. For example, a pre-and-post study of orthopaedic patients found that the median number of medication errors on admission declined from six to one per patient after collaborative pharmacist prescribing was implemented (p < 0.01) [14]. Another study in an acute medical unit using EPS, reported a reduction in average admission errors from 4.41 to 0.52 errors per patient (p < 0.0001) and 0.43 to 0.05 errors per medication prescribed (p < 0.005) with collaborative pharmacist prescribing [12]. A randomised trial conducted in a hospital geriatric unit compared collaborative pharmacist prescribing on discharge to usual care practice of independent medical prescribing for both handwritten prescriptions and digital prescribing [11]. The study demonstrated a reduction in prescribing errors with collaborative prescribing compared to usual care (RR 0.31, 95% CI 0.16–0.58, p < 0.0002) [11]. There was no significant change in the error rate between handwritten or digital prescriptions [11]. In these studies, pharmacists prescribed medications ‘on hold’ pending electronic countersignature and release by a treating doctor. These studies were all conducted within single hospitals, with two of the studies [11, 14] involving only a single prescribing pharmacist. The generalisability of findings across models with different countersignature requirements, prescribers, patient cohorts and hospitals remains unclear. With the growing use of electronic medical records, and prescribing models moving away from requiring medical countersignatures, it is increasingly important to understand the impact of collaborative pharmacist prescribing models in these settings.
Aim
P13
This study aimed to evaluate the impact of collaborative pharmacist prescribing on medication discrepancies and potential patient harm within a statewide healthcare system using electronic prescribing. It also examined whether the accuracy of pharmacist prescribing changed when medical countersignature requirements were removed.
Method
Study setting and collaborative pharmacist prescribing models of care
P14
Collaborative pharmacist prescribing was implemented in acute and general medical units at three South Australian public hospitals in a staggered rollout between March and October 2022. Pharmacists obtained and documented a medication history on admission (pharmacist-led medication history). Pharmacists then worked with doctors and patients to develop an individualised medication plan, documented in the electronic medical record (EMR) and signed by both the pharmacist and doctor. The pharmacist could prescribe medications ‘on hold’ in the EPS according to the plan with a doctor required to electronically countersign and ‘release’ medications for administration. In late 2023, a revised pathway allowed pharmacists to prescribe medications listed on the plan, without requiring medical countersignature. The models were otherwise identical, differing only in the requirement for medication release. In this study the term ‘collaborative pharmacist prescribing’ is used to describe both models, regardless of whether a medical countersignature was required. Pharmacist prescribers across all sites had a minimum of 2-years hospital clinical pharmacy experience and successfully completed the same collaborative prescribing training program. All three sites used the same EMR which incorporated electronic prescribing, (Sunrise™), allowing for consistent evaluation of the model across hospitals.
Study design and participants
P15
A multi-site matched cohort study was conducted. At each of the three participating hospitals patients aged ≥ 18 years, admitted to an acute or general medical unit with a pharmacist prescriber between 1st February 2023 and 5th March 2024, and had a pharmacist-led medication history within 48 h of the admission, were eligible to receive collaborative pharmacist prescribing. Due to staffing constraints, not all patients in acute or general medical units with a pharmacist prescriber received the collaborative prescribing service. Pharmacists prioritised high-risk patients to receive the service, like they do for standard pharmacy services, including patients with a formal medical team referral or those at high-risk of medication-related problems, suspected medication-related admissions, age ≥ 65 years, polypharmacy (≥ 5 medications), or use of a high-risk medication [23]. Participants in the usual care group were eligible for inclusion if they were admitted to a clinical unit where collaborative prescribing was implemented, had a pharmacist-led medication history within the first 48 h of their admission, and had their medications prescribed by a doctor as per usual practice. To mitigate potential bias due to non-random service allocation, we case-matched patients in the usual care group to those who received collaborative prescribing.
P16
Pharmacist-led medication histories have been shown in prior research to provide a ‘gold standard’ [27,28,29] for medications taken pre-admission. In the usual care group, doctors prescribed medications independently, and in many cases, did so before the pharmacist-led history had been taken. This is standard care at the hospitals in our study.
P17
Matching was exact for hospital site and unit, with closest matches for sex, age at admission, date of admission, triage category and pre-admission medication count. Randomisation and matching were performed using the RStudio MatchIt package (version 1.4.543). Patients who received collaborative pharmacist prescribing were identified in the EMR by the patient medication plan which was unique to the collaborative prescribing model. Furthermore, medication orders listed the prescriber type, enabling orders prescribed by a pharmacist to be distinguished from those prescribed by doctors. One hundred and twenty patients who received collaborative pharmacist prescribing were randomly selected and matched 1:1 to 120 patients who received independent medical prescribing (usual care).
Data collection
P18
An independent pharmacist researcher extracted patient information from the EMR. Pre-admission medications were identified from the pharmacist-led medication history, including both regular and ‘as required’ (prn) medications. Medications prescribed within 24 h of admission were also extracted from the EMR, using EPS prescribing timestamps to identify medications prescribed in this timeframe. The independent pharmacist researcher identified discrepancies between the pharmacist-led medication history and medications prescribed within 24 h of the admission. This method has been used in previous studies which have compared pharmacist and medical prescribing [7, 12, 24].
Discrepancies were classified using an adapted MedTax taxonomy [30]: omitted medication, incorrect dose, incorrect frequency, incorrect medication, unnecessary medication, incorrect administration route, incorrect administration time, incorrect formulation, or other discrepancy. All discrepancies were independently reviewed by two additional pharmacist researchers blinded to study group, with disagreements resolved through consensus. Recorded reasons for discrepancies were retrieved from the EMR; those without a documented reason were classified as ‘undocumented.’
P19
An independent expert panel of two senior pharmacists and two senior physicians assessed all undocumented discrepancies for potential harm, using the Harm Associated with Medication Errors Classification (HAMEC) tool [31]. HAMEC assumes the error reached the patient undetected, with potential harm rated from level 0 (no harm) to level 4 (severe harm) [31] (see Supplementary Table 2 for HAMEC harm definitions). Panel members were blinded to patient group and site. Following HAMEC guidelines [31], panel members received the medication name, dose, route, frequency (including whether regular or prn), and type of MedTax discrepancy [30]. Panel members were provided with an information sheet detailing the steps of performing the harm assessment using the HAMEC tool [31], including example cases, and were trained on how to use the tool to improve inter-rater reliability. Using a modified Delphi method [32], panel members independently rated potential harm. Discrepancies with < 75% agreement or a > 1-point difference in ratings (n = 230 of 449 total discrepancies) were discussed in a meeting with all panel members to reach full consensus.
P20
For patients in the collaborative pharmacist prescribing group, an additional analysis was conducted to identify discrepancies between new medications listed in the medication plan and medications prescribed within the first 24 h of admission. Participants in the usual care group were not included in this, as they did not receive a medication plan. These additional discrepancies were classified using the same method described previously.
Outcome measures
P21
The primary outcome was the frequency of undocumented medication discrepancies in each group, expressed as the proportion of patients with one or more undocumented medication discrepancies and the number of undocumented medication discrepancies as a proportion of all medications prescribed.
P22
Secondary outcomes included the frequency of each type of undocumented medication discrepancy and the potential for patient harm associated. A sensitivity analysis was conducted to determine if there was a difference in the frequency of undocumented discrepancies in the collaborative pharmacist prescribing group in the period when medical officer countersignature was required, compared to the period when the requirement for medical officer countersignature prior to administration was removed. The staggered rollout of models across the different hospital sites determined the exact timeframes of when the countersignature was and wasn’t required, as shown in Supplementary Fig. 1.
Data analysis
P23
Continuous skewed data were reported as medians (interquartile range, IQR) and categorical data as counts and percentages. Group comparisons used the Mann–Whitney U test for medians and Fisher’s exact test for cell counts less than five. Relative risk (RR) and relative risk reduction (RRR) with 95% confidence intervals (CIs) were calculated. Statistical significance was defined as p < 0.05. Analyses were performed using SPSS (IBM Corporation, Armonk, NY, USA).
Sample size
P24
A minimum of 18 patients per group per site (total 108) was required, based on 95% confidence, 80% power, and expected discrepancy rates of 50% with usual care [10] versus 9% with collaborative pharmacist prescribing [33]. A larger sample (240 patients) was used, as prior estimates were based on paper-based systems and there was an expectation that the frequency of discrepancies may differ with electronic prescribing [14]. A post-hoc power calculation confirmed 100% power to detect a statistically significant difference for the primary outcome.
Ethics approval
P25
Approval to conduct the study was obtained from the Central Adelaide Local Health Network Human Research Ethics Committee (approval number: 16945, approved 08/11/2022) and the University of South Australia Human Research Ethics Committee (approval number: 205819, approved: 07/09/2023).
Results
P26
During the study period, 59,140 patients were admitted to acute or general medicals unit across the three hospitals and met inclusion criteria. Of these, 2,146 received collaborative pharmacist prescribing and 56,994 received usual care. From this population, 240 patients were randomly selected for inclusion in the study, 120 in the collaborative pharmacist prescribing group and 120 in the usual care group. No outcome data were missing, and all 240 patients were included in the final analysis. Half of the collaborative pharmacist prescribing patients (n = 60) were from the period requiring medical countersignature, and half from the period when it was no longer required (Supplementary Fig. 1). Groups were successfully matched, with no statistically significant differences between groups for matching variables (Supplementary Table 1).
P27
Participants had a median age > 75 years, and over half were female (Table 1). All patients had a pharmacist-led medication history within 48 h of admission. Fourteen (12%) in the usual care group had this before medications were prescribed, compared to 100% in the collaborative pharmacist prescribing group (p < 0.001). Patients in the collaborative pharmacist prescribing group had a higher median number of medications prescribed after admission compared to the usual care group (15 vs 11, p < 0.0001) (Table 1).
Table 1 Patient demographics
From: Evaluating medication discrepancies and harm: a matched cohort study of collaborative pharmacist prescribing in a statewide healthcare system using electronic prescribing
| | Collaborative pharmacist prescribing group (n = 120 patients) | Usual care group (n = 120 patients) | p |
| --- | --- | --- | --- |
| Age (y) <br> Median (IQR) | 75 (65–85) | 78 (64–85) | 0.634 |
| Female sex, n (%) | 67 (56%) | 66 (55%) | 0.897 |
| Previous residence, n (%) | | | |
| Private residence | 100 (83%) | 95 (80%) | 0.447 |
| Supported accommodation (low- and high-level residential aged care facilities, domestic supported living facilities and independent units as part of a retirement village), n (%) | 20 (17%) | 25 (20%) | |
| Pharmacist-led medication history completed before prescribing, n (%) | 120 (100%) | 14 (12%) | < 0.001 |
| Medications prescribed within 24 h of admission, median (IQR)<sup>a</sup> | 15 (11–19) | 11 (6–16) | < 0.001 |
aPatients were matched based on the number of medications prescribed prior to admission; however the number of medications prescribed on admission was not a matching variable
Pharmacists prescribed 1900 medications in the collaborative pharmacist prescribing group, with 25 undocumented discrepancies (1% of medications prescribed). In the usual care group, 1339 medications were prescribed, with 424 discrepancies (32% of medications prescribed) (p < 0.001). The relative risk of an undocumented discrepancy per medications prescribed was reduced by 96% in the collaborative pharmacist prescribing group compared to usual care (Table 2). Thirteen of the 120 patients (21%) in the collaborative pharmacist prescribing group had at least one undocumented discrepancy, compared to 108 patients (90%) in the usual care group. The relative risk of a patient having at least one undocumented discrepancy was reduced by 77% in the collaborative prescribing group compared to usual care (Table 2).
Table 2 Undocumented medication discrepancies each group
From: Evaluating medication discrepancies and harm: a matched cohort study of collaborative pharmacist prescribing in a statewide healthcare system using electronic prescribing
| | Collaborative pharmacist prescribing group | Usual care group | Relative risk (95% confidence interval) |
| --- | --- | --- | --- |
| Total medications prescribed | 1900 | 1339 | 0.04 (0.03–0.06) |
| Undocumented discrepancies (% of medications prescribed) | 25 (1%) | 424 (32%) | |
| Total patients | 120 | 120 | 0.23 (0.13–0.39) |
| Patients with one or more undocumented discrepancy (% of patients) | 13 (21%) | 108 (90%) | |
| Number of discrepancies (% of patients) | | | N/A |
| 0 | 95 (80%) | 12 (10%) | |
| 1 | 23 (19%) | 12 (10%) | |
| 2 | 0 (0%) | 26 (22%) | |
| ≥3 | 2 (2%) | 70 (58%) | |
Additional analysis in the collaborative pharmacist prescribing group showed that there were no undocumented discrepancies between the medication plan and medications prescribed within 24 h of admission.
Medication omissions were the most common undocumented discrepancies in both groups (84% in the collaborative pharmacist prescribing group and 73% in usual care) (Table 3).
Table 3 Types of undocumented medication discrepancies
From: Evaluating medication discrepancies and harm: a matched cohort study of collaborative pharmacist prescribing in a statewide healthcare system using electronic prescribing
|Type of undocumented medication discrepancy|Collaborative pharmacist prescribing group (n = 25 undocumented discrepancies)|Usual care group (n = 424 undocumented discrepancies)|
| ---- | ---- | ---- |
|Omitted medication|21 (84%)|309 (73%)|
|Incorrect dose|2 (8%)|60 (14%)|
|Incorrect time of administration|1 (4%)|26 (6%)|
|Unnecessary medication|0|13 (3%)|
|Incorrect frequency|0|8 (2%)|
|Incorrect medication|1 (4%)|3 (0.7%)|
|Incorrect formulation|0|4 (1%)|
|Other|0|1 (0.2%)|
Potential harm associated with undocumented discrepancies
The clinical panel determined that over 80% of discrepancies in both groups had the potential to cause no or minor harm. Eight discrepancies (2%) in the usual care group and no discrepancies in the collaborative pharmacist prescribing group were assessed as having the potential for severe or serious harm (Table 4). Examples of undocumented discrepancies and their potential for patient harm as assessed by the expert panel are shown in Supplementary Table 3.
Table 4 Potential for patient harm associated with undocumented medication discrepancies
From: Evaluating medication discrepancies and harm: a matched cohort study of collaborative pharmacist prescribing in a statewide healthcare system using electronic prescribing
| HAMEC score | Collaborative pharmacist prescribing group (n = 25 undocumented discrepancies) | Usual care group (n = 424 undocumented discrepancies) |
| --- | --- | --- |
| Level 0: No harm | 9 (36%) | 175 (41%) |
| Level 1: Minor harm | 13 (52%) | 181 (43%) |
| Level 2: Moderate harm | 3 (12%) | 60 (14%) |
| Level 3: Severe harm | 0 | 7 (2%) |
| Level 4: Serious harm | 0 | 1 (0.2%) |
Sensitivity analysis between prescribing models
The frequency of undocumented discrepancies associated with collaborative pharmacist prescribing was similar regardless of whether medications prescribed by a pharmacist required a medical countersignature. When a countersignature was not required, 921 medications were prescribed with 7 (0.8%) undocumented discrepancies, compared to 979 medications prescribed and 18 (2%) undocumented discrepancies when countersignature was required (RR 2.42, 95% CI 1.02–5.76). Discrepancies occurred in 7 versus 13 patients in the periods with and without countersignature respectively (RR 1.85, 95% CI 0.80–4.33) (Table 5).
Table 5 Comparison of outcomes: collaborative pharmacist prescribing model with medical officer countersignature required vs collaborative pharmacist prescribing model with no medical officer countersignature required
From: Evaluating medication discrepancies and harm: a matched cohort study of collaborative pharmacist prescribing in a statewide healthcare system using electronic prescribing
| | Collaborative prescribing (medical countersignature) | Collaborative prescribing (no medical countersignature) | Relative risk (95% CI) |
| --- | --- | --- | --- |
| Total medications charted | 979 | 921 | 2.42 (1.02–5.76) |
| Undocumented discrepancies (% of medications prescribed) | 18 (2%) | 7 (0.8%) | |
| Total patients | 60 | 60 | 1.85 (0.80–4.33) |
| Patients with one or more undocumented discrepancy (% of patients) | 13 (22%) | 7 (12%) | |
Discussion
This study demonstrates that there were significantly fewer undocumented medication discrepancies in patients who received collaborative pharmacist prescribing compared to usual care within hospitals utilising EPS. The expert panel determined that undocumented discrepancies rarely had the potential to cause serious or severe patient harm in either group. These findings support the adoption of collaborative pharmacist prescribing models in hospitals utilising EPS, to optimise medication management, enhance patient safety and strengthen interprofessional collaboration.
The majority of published literature on collaborative prescribing in the hospital setting originates from Australia. In US hospitals, dependent prescribing models are more prevalent, while in the UK independent models are more commonly implemented. A systematic review identified 15 controlled studies related to collaborative and dependent prescribing models [1]. The review found that regardless of the pharmacist prescribing model used, compared to usual care, pharmacists prescribing was associated with reduced prescribing errors and medication omissions, pharmacists adherence to prescribing protocols and improved lipid and glucose control [1]. Similar to our study, international research on independent prescribing in the hospital setting has shown that the prescribing error rates for pharmacist prescribers are exceptionally low, ranging from 0.18 to 0.7%[2, 19, 34].
Our study addresses a gap in the literature regarding the impact of EPS on medication discrepancies in the collaborative pharmacist prescribing setting. At admission, 1% of medications prescribed by pharmacists had an undocumented discrepancy in our study, compared to rates of between 0.3% and 23% in paper-based settings [2, 9, 10]. Twenty one percent of patients who received collaborative pharmacist prescribing in our study had an undocumented discrepancy on admission, compared to 1.4%–9.5% reported in earlier studies in paper-based prescribing settings [7, 9, 15, 33]. This difference might reflect increased scope of pharmacist prescribing in our study, which included prescribing new medications, unlike some earlier studies which limited prescribing to pre-admission medications and venous thromboembolism prophylaxis.
A key strength of our study is the multi-site design across three tertiary hospitals within a statewide public healthcare system using the same EPS. Matching patients in both groups reduced the potential for unmeasured confounding. All undocumented discrepancies identified were independently reviewed for potential patient harm by the clinician panel, reducing potential bias, unlike some previous studies [9, 33, 35] which reviewed only a sample of discrepancies. Our panel included equal numbers of doctors and pharmacists, reducing risk of bias by a particular healthcare profession, overcoming limitations of previous studies [7, 15, 35]. Our study is also the first to assess potential harm from medication discrepancies with collaborative pharmacist prescribing using the validated HAMEC tool [31], which offers a standardised, reliable classification of medication-related harm. Our study is also the first of its kind to specifically assess how increased pharmacist autonomy, through the removal of a medical countersignature requirement, impacts the accuracy of pharmacist prescribing in the hospital setting.
Our findings align with existing research showing reductions in medication discrepancies or errors with collaborative pharmacist prescribing in hospitals using EPS [12, 14, 34]. Similar to our study, a pre-post study also found medication omissions were the most common error identified in both groups [14]. In our study, although both groups were matched on the number of pre-admission medications, collaborative pharmacist prescribing patients had more medications prescribed on admission. This may be because there were fewer medication omissions in the collaborative pharmacist prescribing group, and as a result, more medications were prescribed on admission.
Collaborative prescribing models have benefits beyond error reductions. In our study, all patients in the collaborative pharmacist prescribing group had a pharmacist-led medication history prior to prescribing, as required by the model, compared to only 12% in usual care. Having a pharmacist-led medication history available before prescribing has been shown to reduce prescribing discrepancies [27,28,, 28, 36] consistent with the lower rate observed in the collaborative pharmacist prescribing group in our study. The impact of an early pharmacist-led medication history has also been compared to collaborative pharmacist prescribing in a paper-based setting. An Australian study found fewer prescribing errors occurred when doctors had access to a pharmacist-led medication history before prescribing (49.4%; 95% CI 42.5%-56.3%) compared to when they didn’t (61.4%; 95% CI 56.3%–66.7%) [10]. The lowest error rates in this study occurred when pharmacists collaboratively prescribed medications and had access to a pharmacist-led history prior to prescribing (3.5%; 95% CI 1.1%-5.8%) [10]. Our study adds to this existing evidence by showing the impact of having a pharmacist-led medication history prior to electronic prescribing on discrepancy rates. The collaborative clinical discussion between pharmacists and doctors, and the development of a shared medication plan, are central to this process [10]. Both the early pharmacist-led history, and inter-professional collaboration, likely contributed to the reduced discrepancies and potential harm observed in our study.
Our sensitivity analysis found that removing the medical countersignature requirement did not significantly impact prescribing discrepancies, with a non-significant trend towards fewer discrepancies. This may reflect increased prescriber experience and more cautious prescribing with the additional responsibility. Further research is warranted to confirm these hypotheses. Regardless, our findings indicate that pharmacists prescribe accurately and safely in collaborative models, and that removing the countersignature is not associated with increased prescribing discrepancies. This study provides evidence to support the adoption of collaborative pharmacist prescribing models in hospitals utilising electronic prescribing, demonstrating clear benefits in improving medication safety by reducing medication discrepancies and reductions in the potential for patient harm. Healthcare systems internationally may consider seeking legislative reform to expand pharmacists’ prescribing authority, alongside investment in electronic prescribing infrastructure, the development of competency frameworks, and targeted interprofessional training to foster collaborative decision making and ensure safe prescribing practices.
A limitation of our study is that medication discrepancies were identified retrospectively, and some may have been intentional changes that were not documented in the EMR. This highlights the importance for clear documentation of medication changes throughout the admission. Actual patient harm could not be determined in our study given inconsistent reporting of adverse drug events. Data collection was unblinded, as it was impossible to remove prescriber details from medication orders. However, the two independent pharmacist researchers who reviewed the discrepancies for validity, and the clinician panel were blinded during harm assessments to reduce bias. Although patients in both groups were successfully matched for indicators of medication-related harm, there may still have been unmeasured confounders that influenced our results. All patients in our study had a pharmacist-led medication history on admission to ensure consistent and accurate identification of discrepancies, aligning with the model’s requirements. While this approach enhances internal validity, it may limit generalisability of the results. The generalisability may also be constrained by the clinical setting (acute/general medical units), setting specific workflows or EPS functionality.
Conclusion
Pharmacists working with doctors and patients to prescribe medications in hospitals utilising electronic prescribing systems is associated with significantly fewer medication discrepancies compared to usual care. The potential patient harm associated was also lower, although overall potential harm was low in both groups. Pharmacists prescribed just as accurately when the medical countersignature requirements were removed. Improvements in medication safety are likely attributed to pharmacists’ expertise, and the collaborative nature of the model and shared decision-making between the pharmacy and medical professions. These findings are timely and relevant as healthcare systems globally explore the expansion of pharmacists’ scope to improve access to care and support multidisciplinary models. With the global shift towards electronic prescribing systems, this study provides evidence to support the adoption of collaborative pharmacist prescribing models in hospitals with electronic prescribing systems to improve medication safety and reduce patient harm.
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English
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32k
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T6. Aggregation & Clustering
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T6.3 Global Frequency Analysis
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Full
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Arrange the following keywords in descending order of frequency. Output the "[Answer]" identifier first, and then output the sorted keywords line by line, without any additional content.
Keywords: epistemic trust, defense mechanisms, psychosis, language disorders, medication discrepancies
Output example:
[Answer]
language disorders
medication discrepancies
epistemic trust
defense mechanisms
psychosis
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Arrange the following keywords in descending order of frequency. Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the sorted keywords line by line.
Keywords: epistemic trust, defense mechanisms, psychosis, language disorders, medication discrepancies
Output example:
<Your thinking process>
[Answer]
language disorders
medication discrepancies
epistemic trust
defense mechanisms
psychosis
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[
"epistemic trust",
"psychosis",
"defense mechanisms",
"medication discrepancies",
"language disorders"
] |
Extreme
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20fb9a38b760a3a4869c5418dea46a22def9ca1a073b9c3595c0b9fa61af745f
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THE AVENGERS
EXT. THRONE ROOM, SPACE � NIGHT
Kneeling behind a THRONE, a CLOTHED, ARMORED FIGURE known as THE OTHER, bows. THE OTHER (V.O.)
The Tesseract has awakened. It is on a little world. A human world. They would wield its power,... CUT TO:
THE OTHER faces a HORNED SHAPED SHADOW. LOKI. Loki is handed the CHITAURI SCEPTER, a long golden handle, fitted with a blue gem encircled with silver blades. THE OTHER (V.O.)
But our ally knows its workings as they never will. He is ready to lead. And our force, our Chitauri, will follow. HIGH WIDE ON: TENS OF THOUSANDS of CHITAURI stand ready in a seething mass of neat rows and columns....the ground simply QUAKES.
THE OTHER (V.O.)
The world will be his. The universe yours. And the humans, what can they do but burn? CUT TO:
EXT. S.H.I.E.L.D. PROJECT P.E.G.A.S.U.S FACILITY � NIGHT
Out in the NEW MEXICO desert, a remote research facility is in a state of panic. It's an evacuation. A SWOOPING helicopter flies in. CHAOS. Men in suits run around like in the typical `we have to leave' fashion. Soldiers on foot jump onto Humvees, accelerating the hell out of there. A VOICE bellows from hidden loudspeakers. EXT. HELICOPTER PAD � CONTINUOUS
Standing a few yards from the landing pad, A Fed in a suit with badass shades, peers at the helicopter as it lands. This is SHIELD AGENT PHIL COULSON.
Walking out of the helicopter is SHIELD AGENT MARIA HILL, SEXY, FIERCE AND DETERMINED. Following her, SHIELD DIRECTOR NICK FURY climbs out. Hill and Fury approach Agent Coulson. NICK FURY
How bad is it? AGENT PHIL COULSON
That's the problem, sir. We don't know. INT. FACILITY FLOOR � NIGHT
Agent Coulson leads Hill and Fury through the radiation section of the facility. Hundreds of technicians and other staff run around, taking only the essentials. AGENT PHIL COULSON
Dr. Selvig read an energy surge from the Tesseract four hours ago. NICK FURY
NASA didn't authorize Selvig to test phase. AGENT PHIL COULSON
He wasn't testing it, he wasn't even in the room. Spontaneous advancement. AGENT MARIA HILL
It just turned itself on? NICK FURY
What are the energy levels now? AGENT PHIL COULSON
Climbing. When Selvig couldn't shut it down, we ordered the evac. NICK FURY
How long to get everyone out? AGENT PHIL COULSON
Campus should be clear in the next half hour. NICK FURY
Do better. CONTINUOUSLY HEADING DOWN TO RADIATION FACILITY FLOOR
AGENT MARIA HILL
Sir, evacuation may be futile. NICK FURY
We should tell them to go back to sleep? AGENT MARIA HILL
If we can't control the Tesseract's energy, there may not be a minimum safe distance. NICK FURY
I need you to make sure that PHASE 2 prototypes are shipped out. AGENT MARIA HILL
Sir, is that really a priority right now? NICK FURY
Until such time as the world ends, we will act as though it intends to spin on. Clear out the tech below. Every piece of PHASE 2 on a truck and gone. AGENT MARIA HILL
Yes, sir. (to standing agents) With me. INT. NASA SPACE RADIATION FACILITY, VACUUM CHAMBER � CONTINUOUS
Fury enters the lab facility where the Tesseract is being held by a COMPACT MUON SOLENOID COIL CHAMBER. NICK FURY
Talk to me, doctor. DR. ERIK SELVIG emerges from behind the CMS machine, concerned. The Tesseract is glowing unusually brighter and flare rings shoot out at random. SELVIG
Director. NICK FURY
Is there anything we know for certain? SELVIG
Tesseract is misbehaving. NICK FURY
Is that supposed to be funny? SELVIG
No, it's not funny at all. The Tesseract is not only active, she's...misbehaving. NICK FURY
How soon until you pull the plug? SELVIG
She's an energy source. If we turn off the power, she turns it back on. If she reaches peak level... NICK FURY
We've prepared for this, doctor. Harnessing energy from space. SELVIG
We don't have the harness. Our calculations are far from complete. Now she's throwing off interference, radiation. Nothing harmful, low levels of gamma radiation. NICK FURY
That can be harmful. Where's Barton? SELVIG
The Hawk? Up in his nest, as usual. We see CLINT BARTON, dressed in black tactical gear, is up on the railings watching them below, Fury calls Barton on his earpiece. NICK FURY
Agent Barton, report. BARTON rappels down from the catwalk. Walks up to Fury. They both walk around the facility in a discreet manner. NICK FURY
I gave you this detail so you could keep a close eye on things. CLINT BARTON
Well, I see better from a distance. NICK FURY
Are you seeing anything that might set this thing off? NASA SCIENTIST
(TO SELVIG)
Doctor, it's spiking again. CLINT BARTON
No one's come or gone. It's oven is clean. No contacts, no I.M.'s. If there was any tampering, sir, it wasn't at this end. NICK FURY
At this end? CLINT BARTON
Yeah, the cube is a doorway to the other end of space, right? The doors open from both sides. DR. SELVIG clacks away at the keyboard and sees on the monitoring his worst nightmares. Suddenly- the Tesseract THUNDERS and SHAKES the entire facility. Big enough where both Agents Hill and Coulson can feel and they're at different ends of the facility. The flaring rings and glow of the cube spout out brighter and louder, like a boiling pot of water. The Tesseract's energy builds up into a BEAM much like the Bifrost Bridge, which HITS at the end of a platform that is wired to the CMS device. The great maelstrom beam FIRES the TESSERACT energy. The beam then forms a VORTEX, which then opens up a PORTAL. A BLACK HOLE IS CREATED. From the portal, the blackness of SPACE, beautiful and mysterious, strewn with a billion stars appears and a GUST of BLUE ENERGY CLOUDS fill the room, blinding everyone. The Tesseract's energy forms into a cloud that reaches to the top the facility's vacuum chamber ceiling. It's abnormally quiet. Then... HEAVY BREATHING is heard from the platform. SHIELD GUARDS slowly approach, weapons in hands. A figure is kneeling on the platform, smoke coming off it. It's LOKI. Smiling in his mischievous manner, he raises his head. The smile dies down. He looks deep into the eyes of Fury, Barton and Selvig. He stands up, holing the scepter. NICK FURY
Sir, please put down the spear! Loki looks at his spear then suddenly points it at where Fury and Barton are standing and SHOOTS OUT A BLUE EXPLODING LIGHT TOWARDS THEM. BARTON TACKLES Fury and they both barely miss Loki's fired shot. ALL HELL BREAKS. Machine gun fire is shot at Loki, but the bullets bounce off him like a boss. Loki jumps high from the platform and ATTACKS those firing at him. In the blink of an eye, Loki takes down several guards with his KNIVES and ENERGY BLASTS from the scepter. He stops and waits to see who will attack him next. Honestly, the whole lab has almost gone to shit. Barton tries to stand up. Loki quickly walks towards him. Barton raises his gun, but Loki grabs Barton's hand. LOKI
You have heart. Loki points the head of his spear at Barton's head. Barton's eyes suddenly glow BLACK. The ability to control Barton's mind is now in Loki's hand. Barton puts his piece away and stands straight. As Loki is busy using his abilities to control the minds of several S.H.I.E.L.D. personnel, Fury takes the Tesseract, placing it back into its case and tries to leave the lab.Then... LOKI
Please don't. I still need that. NICK FURY
(TURNING)
This doesn't have to get any messier. LOKI
Of course it does. I've come too far for anything else. I am Loki of Asgard, and I am burdened with glorious purpose. SELVIG
Loki? Brother of Thor? NICK FURY
We have no quarrel with your people. LOKI
An ant has no quarrel with a boot. NICK FURY
You planning to step on us? LOKI
I come with glad tidings, of a world made free. NICK FURY
Free from what? LOKI
Freedom. Freedom is life's great lie. Once you accept that, in your heart... Like a gunslinger, Loki turns to face Selvig who's standingbehind him and places his spear against Selvig's heart. Selvig's eyes glow BLACK. LOKI
You will know peace. NICK FURY
Yeah, you say peace, I kind of think you mean the other thing. From the vacuum chamber ceiling, Tesseract's energy cloud RAPIDLY builds into what may be an implosion. CLINT BARTON
Sir, Director Fury is stalling. This place is about to blow. Drop a hundred feet of rock on us. He means to bury us. NICK FURY
Like The Pharaohs of Odin. SELVIG
He's right. The portal is collapsing in on itself. You got maybe two minutes before this goes critical. LOKI
Well, then... Loki, looking at Barton, who doesn't even hesitate, SHOOTS FURY WHO FALLS TO THE GROUND. Barton grabs the case containing the Tesseract and leaves the lab with Loki, Selvig and the other S.H.I.E.L.D personnel Loki is controlling. INT. P.E.G.A.S.U.S BUNKER, ENTRANCE OF EXITING TUNNEL � NIGHT
Loki, Barton, Selvig and the other S.H.I.E.L.D personnel are in the parking lot of the facility, quickly gathering certain weapons. Agent Hill watches in confusion, referring to Loki. CLINT BARTON
(pointing to the Loki team) Need these vehicles. AGENT MARIA HILL
Who's that? CLINT BARTON
He didn't tell me. Agent Hill looks suspiciously at them as they get into the truck and turns to leave, as she's walking away... NICK FURY
(through the walkie talkie) Hill, do you copy?! Loki and Barton SHARPLY look at Agent Hill. BACK AT THE LAB
Fury is sitting up, pulling out the bullet, breathing heavily. NICK FURY
Barton is... INT. P.E.G.A.S.U.S BUNKER � NIGHT
Suddenly, Hill turns to SHOOT AT BARTON, but Barton is already POINTING HIS GUN at her and starts SHOOTING, he moves the driver's seat of the truck and DRIVES OFF as Hill keeps shooting. BACK AT THE LAB
Fury is holding his side, running. NICK FURY
He's got the Tesseract! Track it down! The energy is really brewing a fucking shit storm from the vacuum chamber ceiling. INT. P.E.G.A.S.U.S BUNKER/TUNNEL � NIGHT
Agent Hill SLIPS into a JEEP and follows after Barton's truck.Loki's trucks SCREECH across the tunnel. Several SHIELD trucks pull up to them. A drive-by shooting ensues. Loki, who stands on top of the bed of the truck, uses his scepter and EMITS energy blasts, flipping over SHIELD trucks. They get in, the cars roar out after them. Agent Hill puts herself at a distance. INT. FACILITY FLOOR � NIGHT
Fury races out of the hallway, avoiding falling pipes. The entire facility is now in a full earthquake. INT. FACILITY FLOOR, ELSEWHERE � CONTINUOUS
Agent Coulson and several SHIELD agents fall down the steps, dropping SILVER CASES of information. They attempt to grab them, but... AGENT PHIL COULSON
No! Leave it! They run out of there like a bat from hell. INT. P.E.G.A.S.U.S TUNNEL � NIGHT
Agent Hill's JEEP ROARS out of a side of Barton's truck and pulls up alongside them on the left. She goes way ahead and pulls her brake, swerving into a 360, facing Barton's truck and driving in reverse. Barton's ARMS reach out the open window and OPENS FIRE. Agent Hill figures `fuck it' and SHOOTS her windshield OPENING FIRE on Barton. EXT. VAN � NIGHT
Agent Coulson jumps into a SHIELD VAN. On his walkie: AGENT PHIL COULSON
You're clear, sir! You need to go! EXT. HELICOPTER PAD � CONTINUOUS
Fury BOLTS out of the facility and jumps into a helicopter. The surface of the pad gives way, PLUNGING the helicopter through the surface. But Fury's chopper BARELY makes it out. INT. P.E.G.A.S.U.S TUNNEL � NIGHT
Still in a chase and drive-by sequence, Barton's pushes the pedal harder, which causes Agent Hill's JEEP to WOBBLE out and put her back behind. INT. RADIATION FACILITY, VACUUM CHAMBER � NIGHT
The Tesseract's energy cloud now SHRINKS into a SMALL BALL OF WHITE LIGHT. Then... A CLOUD OF BLUE LIGHT CONSUMES THE ENTIRE FACILITY AND PARTS OF
THE DESERT. Fury watches from below, a RAPID build-up into what may be an implosion. Several miles away, Agent Coulson's van feels a JOLT of the Tesseract's BLASTWAVE. THE ENTIRE FACILITY SWALLOWS INTO ITSELF-- A TERRIFYING, UNIMAGINABLE IMPLOSION.
INT. P.E.G.A.S.U.S TUNNEL � NIGHT
The BLASTWAVE of the Tesseract causes the tunnel to cave it. Like an ocean wave, blinding crumbles of falling rock, fall onto Agent Hill's JEEP, leaving her NEARLY trapped under this blanket of rock. On the Barton's truck, they escape the tunnel and drive into the desert landscape. Fury's helicopter ROARS over Barton's truck. Loki looks up. From the chopper's door, it slides open and Fury stands there, holding a gun, SHOOTING at Barton's, giving an honoring image of JULES WINNFIELD.
Loki looks at Fury and in a fit of RAGE, points his scepter SHOOTS OUT THE BLUE LIGHT. The chopper CATCHES on fire, GOING DOWN in a FIERY BALL. Fury, like the boss he is, JUMPS OUT and touches down onto the desert floor. The chopper BARRELS along the ground. Fury, coming back to his senses, FIRES at Loki, but they're toofar and too late. Loki looks back, smiling. Fury stands there, MIND REELING. Then... AGENT PHIL COULSON
(WALKIE TALKIE)
Director? Director Fury, do you copy? NICK FURY
The Tesseract is with the hostile force. I have men down. Hill? INT. P.E.G.A.S.U.S TUNNEL � NIGHT
Agent Hill climbs out her JEEP, which is sandwiched in, but luckily, not her. AGENT MARIA HILL
A lot of men still under, don't know how many survivors. EXT. DESERT � NIGHT
NICK FURY
Sound the general call. I want every living soul not working rescue looking for that brief case. AGENT MARIA HILL
(WALKIE TALKIE)
Roger that. NICK FURY
Coulson, get back to base. This is a LEVEL SEVEN. As of right now, we are at war. A beat. AGENT PHIL COULSON
(WALKIE TALKIE)
What do we do? Fury stands there. Thinking. He looks up. On his face is sign of hope. THE AVENGERS
EXT. RUSSIA, SOLENSKI PLAZA, 3RD FLOOR � NIGHT
Out in the outskirts, near a railroad, a still in construction building is being occupied by GEORGI LUCHKOV, a LARGE, RUSSIAN GENERAL along with his THUGS. TALL THUG is in the middle of a brutal beating on NATASHA ROMANOFF, a SLEWING, FOXY, UNBELIEVABLY SEXY SPY. He BACKHANDS NATASHA'S face. She feels the pain, but does not breakdown. LUCHKOV, smiling, walks up to her. Dialogue is in RUSSIAN. LUCHKOV
This is not how I wanted the evening to go. NATASHA
I know how you wanted this evening to go. Believe me, this is better. LUCHKOV
I'd like to know why they sent you to carry out a carrier, a stained glass and other random items. TALL THUG rocks her chair back, balancing her off the edge of an open floor. Natasha is now scared. NATASHA
I thought General Soholob was in charge of the export business. LUCHKOV
Soholob? Your reputation is quite a progression. THE FAMOUS BLACK WIDOW. Nothing but a pretty face. NATASHA
You really think I'm pretty? LUCHKOV slowly walks over to a table filled with tools. He picks up a pair of pliers. TALL THUG opens up her mouth wide open. LUCHKOV
We do not need the Lermontov to transfer the tanks. Tell him, well,... (IN ENGLISH)
You may have to write it down. Suddenly, WEASELLY THUG'S cell rings. Confused, he answers. WEASELLY THUG
Ya? (looks at LUCHKOV) It's for you. LUCHKOV takes the phone, pissed. LUCHKOV
Who the hell is... AGENT PHIL COULSON
You're at 114 Solenski Plaza, 3rd floor. We have an F22 exactly 8 miles out. Put the woman on the phone or I will blow up the block before you can make the lobby. HOLY SHIT. LUCHKOV places the cell phone against Natasha's ear seeing how she's tied to a chair with her hands tied behind her back. AGENT PHIL COULSON
We need you to come in. NATASHA
Are you kidding? I'm working! AGENT PHIL COULSON
This takes precedence. NATASHA
I'm in the middle of an interrogation and this moron is giving me everything. LUCHKOV
I don't give everything. Natasha gives him a look. NATASHA
Look, you can't pull me out of this right now. AGENT PHIL COULSON
Natasha. Barton's been compromised. A beat. NATASHA
Let me put you on hold. She nods to LUCHKOV. As Luchkov comes to take the phone off her, Natasha HITS him with her leg and HEADBUUTS him. Like a spider, she stands up elegantly and starts ATTACKING TALL THUG by KICKBOXING him in the face. Still tied, she ROLLS over WEASELLY THUG after she trips him. She then STOMPS on TALL THUG foot with peg of the chair, then KNOCKS HIM OUT WITH HER HEAD.
Yeah, during all this Coulson is still waiting on the line. She then FLIPS over and FALLS down hard on WEASELLY THUG, BREAKING THE CHAIR. She sees TALL THUG stand. Giving her momentum, she runs at him DROP KICKING him, FALLS DOWN and FLIPS right back up and WRAPS HER LEGS AROUND HIS NECK AND KNOCKS HIM OUT COLD.
She grabs LUCHKOV, wraps his leg around with a hanging chain and drops him down the open floor, dangling. She picks up the phone and her heels, like a boss. NATASHA
Where's Barton now? AGENT PHIL COULSON
We don't know. NATASHA
But he's alive. AGENT PHIL COULSON
We think so. I'll brief you on everything when you get back. But first, we need you to talk to the big guy. NATASHA
Coulson, you know that Stark trusts me about as far as he can throw me. AGENT PHIL COULSON
No, I've got Stark. You get the big guy. NATASHA
Bozhe moi. EXT. INDIAN SLUM � NIGHT
A LITTLE GIRL runs through the crowd, trying to force a way through. INT. SHACK � NIGHT
A tiny shack. The LITTLE GIRL runs up the steps, only to be stopped by an attending woman. Then, the LITTLE GIRL spots him. BRUCE BANNER, their LOCAL doctor. ATTENDING WOMAN
What are doing here?! Get out! You shouldn't be here! LITTLE GIRL
I have to see the doctor! It's my father! BANNER
Calm down. What's wrong? LITTLE GIRL
My father... Banner looks behind him seeing how the girl is staring at a few people, lying down, looking very sick. BANNER
Is he like them? The LITTLE GIRL holds out all the money she has in the world. LITTLE GIRL
Please. EXT. SLUMS � CONTINUOUS
Banner and the LITTLE GIRL hastily run nearly to the edge of town. The LITTLE GIRL gets ahead of herself. Banner spots local government car, he turns around, blocking any view of him. EXT/INT. LITTLE GIRL'S SHACK � NIGHT
Banner quickly follows the LITTLE GIRL inside her house. As he walks in, the LITTLE GIRL ESCAPES THROUGH THE WINDOW. Banner is left standing there like a dumbass. BANNER
Should have got paid up front, Banner. Natasha then appears from behind the curtains. Banner turns around, quietly. NATASHA
You know, for a man who's supposed to be avoiding stress, you picked a hell of a place to settle. BANNER
Avoiding stress isn't the secret. NATASHA
Then, what is it? Yoga? BANNER
You brought me to the edge of the city, smart. I uh... assume the whole place is surrounded? NATASHA
Just you and me. BANNER
And your actress buddy, is she a spy too? Do they start that young? NATASHA
I did. BANNER
Who are you? NATASHA
Natasha Romanoff. BANNER
Are you here to kill me, Miss Romanoff? Because that's not gonna work out for everyone. NATASHA
No. No. Of course not. I'm here on behalf of SHIELD. BANNER
SHIELD. How did they find me? NATASHA
We never lost you, doctor. We've kept our distance, even helped keep some other interested parties off your scent. BANNER
Why? NATASHA
Nick Fury seems to trust you. But now I need you to come in. BANNER
What if I said no? NATASHA
I'll persuade you. BANNER
And what if the... other guy says no? NATASHA
You've been more than a year without an incident. I don't think you wanna break that streak. BANNER
I don't always get what I want. NATASHA
Doctor, we're facing a potential global catastrophe. BANNER
Well, those I actively try to avoid. NATASHA
This is the Tesseract. It has the potential energy to wipe out the planet. She shows him a photo of the Tesseract on her cell phone. Banner takes a closer look. BANNER
What does Fury want me to do? Swallow it? NATASHA
Well, he wants you to find it. It's been taken. It emits a gamma signature that's too weak for us to trace. There's no one that knows gamma radiation like you do. If there was, that's where I'd be. BANNER
So Fury isn't after the monster? NATASHA
Not that he's told me. BANNER
And he tells you everything? NATASHA
Talk to Fury, he needs you on this. BANNER
He needs me in a cage? NATASHA
No one's gonna put you in a... BANNER
STOP LYING TO ME!
The THUNDEROUS TONE in is voice makes Natasha QUICKLY grab her gun and point it at him, but something is now OFF in the atmosphere. Banner stands straight up, smiling. BANNER
I'm sorry, that was mean. I just wanted to see what you'd do. Why don't we do this the easy way, where you don't use that, and the other guy doesn't make a mess? Okay? Natasha... Natasha, still wary, doesn't lower her gun. She lowers her gun and speaks into her earpiece. NATASHA
Stand down. We're good here. EXT. OUTSIDE THE LITTLE GIRL'S SHACK � NIGHT
Amazingly, DOZENS OF SHIELD AGENTS are surrounding the shack outside. INT. LITTLE GIRL'S SHACK � NIGHT
Banner looks at Natasha, charming a smile at her. BANNER
Just you and me? Natasha fidgets now that she exposed her guard down. INT. SHIELD ANALYTICAL ROOM � NIGHT
Fury is facing several LARGE MONITORS as he as a conference with members of the WORLD SECURITY COUNCIL. WORLD SECURITY COUNCIL #1
This is out of line, Director. You're dealing with forces you can't control. NICK FURY
You ever been in a war, Councilman? In a firefight? Did you feel an overabundance of control? WORLD SECURITY COUNCIL #1
You saying that this Asgard has declared war on our planet? NICK FURY
Not Asgard. Loki. WORLD SECURITY COUNCIL #2
He can't be working alone. What about the other one? His brother. NICK FURY
Our intelligence says, Thor is not a hostile. But he's worlds away, we can't depend on him to help. It's up to us. WORLD SECURITY COUNCIL #1
Which is why you should be focusing on phase 2, it was designed for exactly... NICK FURY
PHASE 2 isn't ready, our enemy is. We need a response team. WORLD SECURITY COUNCIL #1
The Avengers Initiative was shut down. NICK FURY
This isn't about The Avengers. WORLD SECURITY COUNCIL #1
We're running the world's greatest covert security network and you're gonna leave the fate of human race to a handful of freaks. NICK FURY
I'm not leaving anything to anyone. We need a response team. These people maybe isolated, unbalanced even, but I believe with the right push they can be exactly what we need. WORLD SECURITY COUNCIL #2
You believe? WORLD SECURITY COUNCIL #1
War isn't won by sentiment, Director. NICK FURY
No, it's won by soldiers. INT. BROOKLYN GYM � NIGHT
Somewhere in an old, almost WWII-esque boxing gym, STEVE ROGERS, a man out of time, THE FIRST AVENGER, FUCKIN' CAPTAIN AMERICA is PUMMELING a punching bag. With every swing, it's like a memory he's trying to fight off and repress. EXT. HYDRA BASE � DAY (FLASHBACK)
Captain America is running through the forest, dodging mortars, gunfire and the Tesseract's energy firearms. STEVE (V.O.)
There's not enough time! I gotta put her in the water! INT. BROOKLYN GYM � NIGHT
Steve's rage keeps building as he punches the bag. It gets harder... INT. HORTEN H.XVIII, RED SKULL'S SHIP � DAY (FLASHBACK)
Steve places his COMPASS with an image of PEGGY CARTER. The time is here for him to crash the plane. INT. BROOKLYN GYM � NIGHT
Steve closes his eyes. Goes at the bag harder. PEGGY (V.O.)
You won't be alone. INT. HORTEN H.XVIII, RED SKULL'S SHIP � DAY (FLASHBACK)
The RED SKULL picks up the TESSERACT. INT. BROOKLYN GYM � NIGHT
Steve opens his eyes and fuckin' tears the bag as the last memory kicks in. I don't think he can physically stop... SHIELD SCIENTIST (V.O.)
Oh my god! INT. PROJECT P.E.G.A.S.U.S, ANTARCTICA � DAY (FLASHBACK)
A half frozen Steve Roger is lying down on a medical slab. Two SHIELD SCIENTISTS run over hi-tech devices to see if his vitals are up. And it seems... SHIELD SCIENTIST
This guy is still alive! INT. BROOKLYN GYM � NIGHT
Steve FUCKING tears the bag open, off its chain, spilling out the sand. He stands, breathing hard, letting out 70 years of over repressed feeling. After taking a few breathers, Steve picks up another punching bag, which is laying next another DOZEN BAGS. He hooks the bag up and starts punching again. Fury walks in. NICK FURY
Trouble sleeping? STEVE
I slept for seventy years, sir. I think I've had my fill. NICK FURY
Then you should be out, celebrating, seeing the world. Steve stops punching and walks over to the bench, unraveling the tape off his hands. He sits down. STEVE
I went under, the world was at war, I wake up, they say we won. They didn't say what we lost. NICK FURY
We've made some mistakes along the way. Some very recently. STEVE
You here with a mission, sir? NICK FURY
I am. STEVE
Trying to get me back in the world? NICK FURY
Trying to save it. Fury hands Steve a file on the Tesseract, along with other files on HYDRA'S projects. STEVE
Hydra's secret weapon. NICK FURY
Howard Stark fished that out of the ocean when he was looking for you. He thought what we think, the Tesseract could be the key to unlimited sustainable energy. That's something the world sorely needs. STEVE
Who took it from you? NICK FURY
He's called Loki. He's not from around here. There's a lot we'll have to bring you up to speed on if you're in. The world has gotten even stranger than you already know. STEVE
At this point, I doubt anything would surprise me. NICK FURY
Ten bucks says you're wrong. There's a debriefing package waiting for you back at your apartment. Steve turns and picks up a punching bag. Starts walking out of the gym. NICK FURY
Is there anything you can tell us about the Tesseract that we ought to know now? STEVE
You should have left it in the ocean. INT. OCEAN � NIGHT
Out in the Atlantic Ocean, TONY STARK, in his IRON MAN suit, is cutting a PIPELINE TRANSPORT with a laser cutter coming from his hand. He then places a STARK ENERGY REACTOR. It lights up. IRON MAN rockets out of the water and flies towards STARK TOWER. TONY
You're good on this end. The rest is up to you. PEPPER POTTS
(on the other line) You disconnected the transition lines? Are we off the grid? INSIDE THE SUIT -- PEPPER APPEARS ON HIS HUD MONITOR.
TONY
Stark Tower is about to become a beacon of self-sustaining clean energy. PEPPER
Wow. So maybe our reactor takes over and it actually works? TONY
I assume. Light her up. As IRON MAN flies to the STARK TOWER BUILDING, the power is switched on and the STARK sign LIGHTS UP. PEPPER
How does it look? TONY
Like Christmas, but with more... me. PEPPER
Gotta go wider on the public awareness campaign. You need to do some press. I can do some more tomorrow. I'm working on the zoning for the next billboards. TONY
Pepper, you're killing me. Remember? Enjoy the moment. PEPPER
Then get in here and I will. TONY arrives at his skyscraper penthouse and is in the process of taking off his IRON MAN suit through a hi-tech gauntlet of gadgets. JARVIS
Sir, Agent Coulson of SHIELD is on the line. TONY
I'm not in. I'm actually out. JARVIS
Sir, I'm afraid he's insisting. TONY
Close the line Jarvis. I got a date. INT. TONY'S PENTHOUSE � NIGHT
PEPPER POTTS stares up at the monitors of the reactor device. PEPPER
Levels are holding steady... I think. TONY
Of course they are, I was directly involved. Which brings me to my next question: how does it feel to be a genius? PEPPER
Well, ha, I really wouldn't know now, would I? TONY
What do you mean? All this came from you. PEPPER
No. All this came from that. Points to the energy in his chest plate. TONY
Give yourself some credit, please. Stark Tower is your baby. Give yourself... twelve percent of the credit. PEPPER
Twelve percent? TONY
An argument can be made for fifteen. PEPPER
Twelve percent? For my baby? TONY
Well, I did do all the heavy lifting. Literally, I lifted the heavy things. And sorry, but the security snafu? That was on you. PEPPER
Oooooh. TONY
My private elevator... PEPPER
You mean OUR elevator? TONY
...was teeming with sweaty workmen. I'm going to pay for that comment about percentages in some subtle way later, aren't I? Pepper pours herself and Tony a glass of champagne. PEPPER
Not gonna be that subtle. TONY
I'll tell you what. Next building's gonna say 'Potts' on the tower. PEPPER
On the lease. TONY
...Call your mom, can you bunk over? JARVIS
Sir, the telephone. I'm afraid my protocols are being overwritten. AGENT PHIL COULSON
Stark, we need to talk. Tony picks up his phone and looks into it at Coulson. TONY
You have reached the life model decoy of Tony Stark, please leave a message. AGENT PHIL COULSON
This is urgent. TONY
Then leave it urgently. At that moment the elevator door opens and Coulson appears. TONY
Security breach. (TO PEPPER)
That's on you. AGENT PHIL COULSON
Mr. Stark. PEPPER
Phil! Come in. TONY
Phil? Uh, his first name is Agent. PEPPER
Come on in, we're celebrating. TONY
Which is why he can't stay. AGENT PHIL COULSON
We need you to look this over. (he holds out a file towards STARK)
Soon as possible. TONY
I don't like being handed things. PEPPER
That's alright, `cause I love to be handed things. So, let's trade. She passes her glass of champagne to Coulson and takes the file from him, then takes her champagne glass back from Coulson and passes the file over to Stark. PEPPER
Thank you. TONY
Official consulting hours are between eight and five every other Thursday. AGENT PHIL COULSON
This isn't a consultation. PEPPER
Is this about The Avengers? Which I...I know nothing about. TONY
The Avengers Initiative was scrapped, I thought. And I didn't even qualify. PEPPER
I didn't know that either. TONY
Yeah, apparently I'm volatile, self- obsessed, don't play well with others. PEPPER
That I did know. AGENT PHIL COULSON
This isn't about personality profiles anymore. TONY
Whatever. Miss Potts, got a minute? Pepper walks over to Tony who places the files into his own databases. TONY
You know, I thought we were having a moment. PEPPER
I was having twelve percent of a moment. This seems serious, Phil's pretty shaken. TONY
How did you notice? Why is he Phil? PEPPER
What is all of this? TONY
This is, uh... Tony EXPANDS his arms and different profiles appear in holographic form floating in the air in front of Tony and Pepper. TONY
This. Screens appear of CAPTAIN AMERICA IN ACTION, the HULK ROARING AS HE ATTACKS THE ARMY AT CULVER UNIVERSITY, THOR FIGHTING THE
DESTROYER and another is of Loki and the Tesseract, to which Stark and Pepper look on in awe. PEPPER
I'm going to take the jet to D.C. tonight. TONY
Tomorrow. PEPPER
You've got homework. You've got a lot of homework. TONY
Well, what if I didn't? PEPPER
If you didn't? TONY
Yeah. PEPPER
You mean if you finished? (Stark nods his head) Well, um...then... She whispers something in his ear. Tony GASPS. Coulson looks away in embarrassment. TONY
Square deal. It's the last date. Pepper kisses him. PEPPER
Work hard. As Pepper leaves with Agent Coulson, Tony grabs the Tesseract in holograph form, worried. INT. QUINJET � DAY
Inside the QUINJET, Steve is sitting down, holding a TABLET, watching the footage of the Hulk's attack on the Army at Culver University. PILOT
We're about forty minutes out from base, sir. Agent Coulson stands up from his seat and walks over to Steve. STEVE
So, this Doctor Banner was trying to replicate the serum that was used on me? AGENT PHIL COULSON
A lot of people were. You were the world's first superhero. Banner thought gamma radiation might hold the key to unlocking Erskine's original formula. The Hulk roars with fury as he slams a jeep apart. STEVE
Didn't really go his way, did it? AGENT PHIL COULSON
Not so much. When he's not that thing though, guy's like a Stephen Hawking. Steve looks confused. AGENT PHIL COULSON
He's like a smart person. I gotta say, it's an honor to meet you, officially. Steve smiles at Coulson. AGENT PHIL COULSON
I sort of met you, I mean, I watched you while you were sleeping. Steve looks down. He stands up, closes his laptop and walks to the side with Coulson following. AGENT PHIL COULSON
I mean, I was... I was present while you were unconscious from the ice. You know, it's really, it's just a... just a huge honor to have you on board. STEVE
Well, I hope I'm the man for the job. AGENT PHIL COULSON
Oh, you are. Absolutely. Uh... we've made some modifications to the uniform. I had a little design input. STEVE
The uniform? Aren't the stars and stripes a little... old fashioned? AGENT PHIL COULSON
With everything that's happening, the things that are about to come to light, people might just need a little old fashioned. Steve takes in Coulson's sentiment. INT. UNDERGROUND LAB � DAY
Several soldiers under Loki's mind control run around, preparing to infiltrate whatever Loki has planned. Loki sits down, watching Selvig work with a CMS device. Loki meditates, until... EXT. THRONE ROOM � NIGHT
...the scepter materializes him back into the throne room of THE OTHER, fully armed in his horned helmet and armor. THE OTHER appears from the steps. THE OTHER
The Chitauri grow restless. LOKI
Let them go at themselves. I will lead them into glorious battle. THE OTHER
Battle? Against the meager might of Earth? LOKI
Glorious, not lengthy. If your force is as formidable as you claim. THE OTHER
You question us? You question HIM? He, who put the scepter in your hand, who gave you ancient knowledge and new purpose when you were cast out, defeated? LOKI
I was a king! The rightful king of Asgard! Betrayed! THE OTHER
Your ambition is little, born of childish need. We look beyond the Earth to greater worlds the Tesseract will unveil. LOKI
You don't have the Tesseract yet. THE OTHER runs over to attack him, but stops as Loki points his scepter. LOKI
I don't threaten, but until I open the doors, until your force is mine to command, you are but words. THE OTHER
You will have your war, Asgardian. If you fail, if the Tesseract is kept from us, there will be no realm, no barren moon, no crevice where he can't find you. You think you know pain? He will make you long for something as sweet as pain. THE OTHER places his hand on Loki's head and transports him back to Earth. Loki looks around, menacing. EXT. HELICARRIER LANDING STRIP � DAY
The QUINJET lands down a MASSIVE BATTLESHIP known as the HELICARRIER. It has two runways. One with direct access to a hangar at the rear is aligned along the spine of the vessel. Agent Coulson and Steve walk down the ramp, meeting up with Natasha. AGENT PHIL COULSON
Agent Romanoff. Captain Rogers. STEVE
Ma'am? NATASHA
Hi. (TO COULSON)
They need you on the bridge. Face time. AGENT PHIL COULSON
See you there. Agent Coulson walks away leaving Steve with Natasha, walking towards the railing of the ship. NATASHA
There was quite the buzz around here, finding you in the ice. I thought Coulson was gonna swoon. Did he ask you to sign his Captain America trading cards yet? STEVE
Trading cards? NATASHA
They're vintage, he's very proud. Without realizing, Banner doesn't notice them walking as he isnervous as hell. He moves around as people keep walking in hisway. STEVE
Dr. Banner. Steve walks up to Banner and shakes his hands. BANNER
Oh, yeah. Hi. They told me you'd be coming. STEVE
Word is you can find the cube. BANNER
Is that the only word on me? STEVE
Only word I care about. BANNER
(takes in the sentiment) Must be strange for you, all of this. STEVE
Well, this is actually kind of familiar. NATASHA
Gentlemen, you may wanna step inside in a minute. It's gonna get a little hard to breath. Suddenly the HELICARRIER starts SHAKING as it prepares to fly "sail." STEVE
Is this is a submarine? BANNER
Really? They wanted me in a submerged pressurized metal container? They both move closer to the edge of the HELICARRIER. FOUR HUGE LIFT FANS MOUNTED ON THE SIDES STARTS TO LIFT INTO THE AIR IN
VTOL FLIGHT. Steve watches in AWE as Banner smiles. BANNER
OH, NO. THIS IS MUCH WORSE.
INT. HELICARRIER BRIDGE � DAY
The doors part and we enter THE BRIDGE OF THE SHIP � a flurry of activity � dozens of agents sit in front of their VIEWSCREENS. Agent Hill shouts her instructs to leave. Turns to NICK FURY, who is at the command chair. AGENT MARIA HILL
We're at lock, sir. NICK FURY
Good. Let's vanish. EXT. SKY
The HELICARRIER rises high into the heavens. Suddenly, the entire ship is covered in reflecting mirrors, which then camouflages in the sky. INT. HELICARRIER BRIDGE � CONTINUOUS
Steve and Banner walk through the glorious, gleaming bridge, taking his position at the SCIENCE CONSOLE. NICK FURY
Gentlemen. Steve gives Fury 10 bucks, referring to his earlier statement about never being surprised again. Fury walks over Banner and extends his hand. Banner, reluctantly shakes it. NICK FURY
Doctor, thank you for coming. BANNER
Thanks for asking nicely. So, uh... how long am I staying? NICK FURY
Once we get our hands on the Tesseract, you're in the clear. BANNER
Where are you with that? Nick Fury turns to Agent Coulson to explain, while Natasha Romanoff eyes an image of Clint Barton on a computer screen. AGENT PHIL COULSON
We're sweeping every wirelessly accessible camera on the planet. Cellphones, laptops. If it's connected to a satellite, it's eyes and ears for us. NATASHA
That's still not gonna find them in time. BANNER
You have to narrow the field. How many spectrometers do you have access to? NICK FURY
How many are there? BANNER
Call every lab you know, tell them to put the spectrometers on the roof and calibrate them for gamma rays. I'll rough out a tracking algorithm based on cluster recognition. At least we could rule out a few places. Do you have somewhere for me to work? NICK FURY
Agent Romanoff, would you show Dr.Banner to his laboratory, please. Natasha nods and walks off, leading Banner down the hall. NATASHA
You're gonna love it, Doc. We got all the toys. INT. UNDERGROUND LAB, VACUUM ROOM � DAY
Selvig and several scientists work around the CMS device. Bartonwalks in, holding a tablet. SELVIG
Put it over there! (TO BARTON)
Where did you find all these people? CLINT BARTON
SHIELD has not shortage of enemies, Doctor. He holds up a screen showing information on IRIDIUM. CLINT BARTON
Is this the stuff you need? SELVIG
Yeah, iridium. It's found in meteorites, it forms anti-protons. It's very hard to get hold of. CLINT BARTON
Especially if SHIELD knows you need it. SELVIG
Well, I didn't know! (sees Loki coming) Hey! The Tesseract is showing me so much. It's more than just knowledge, it's... truth. LOKI
I know. What did it show you, Agent Barton? CLINT BARTON
My next target. LOKI
Tell me what you need. CLINT BARTON
I'll need a distraction. (grabs his bow) And an eyeball. INT. HELICARRIER BRIDGE � NIGHT
As they are waiting to locate Loki using satellite facial recognition, Coulson and Steve stand side by side, waiting. AGENT PHIL COULSON
I mean, if it's not too much trouble. STEVE
No, no. It's fine. AGENT PHIL COULSON
It's a vintage set. It took me a couple of years to collect them all. Near mint, slight foxing around the edges, but... AGENT JASPER SITWELL
We got a hit. Sixty-seven percent match. Weight, cross match, seventy- nine percent. AGENT PHIL COULSON
Location? AGENT JASPER SITWELL
Stuttgart, Germany. 28, Konigstrasse. He's not exactly hiding. NICK FURY
Captain, you're up. Steve nods. Leaves. EXT. STUTTGART MUSEUM � NIGHT
Loki standing in front of the museum, dressed in 21st century attire and with the scepter, disguised as a cane, walks up to the entrance of the gala. INT. STUTTGART GALA � NIGHT
Inside, a lavished gala with an orchestra playing, is interrupted as the HEAD DOCTOR walks up to the mic. INT. HELICARRIER, STEVE'S LOCKER � NIGHT
Steve walks into his own locker room. As he approaches to the steel cabinet, the doors already reveal the updated CAPTAIN AMERICA UNIFORM, along with the famous SHIELD. He stands in silence. EXT. STUTTGART MUSEUM � NIGHT
Outside the museum, GERMAN GUARDS stand in their positions. One of them is standing on top of the roof, scoping. He then hears a THWACK!
He looks down. One of his guards is shot with an ARROW. He raises his gun. He is shot dead by an arrow. Falls down. Barton and his CREW arrive at the doors of the locked science building. Barton looks at the retinal scanner. He pulls out a SHIELD eye scanner instrument. INT. STUTTGART GALA � NIGHT
Loki looks from above the museum and descends down to where the HEAD DOCTOR is. As he makes it down and near the stage, he FLIPS his cane the other end. The guard there notices him, pulls out his gun, but Loki CLUBS his head in. CHAOS ERUPTS. Guests begin to leave the museum. Loki grabs the doctor and flips him over onto a marble table of the mythological creatures BILCHSTEIM. Loki pulls out an OPTICAL TORTURE DEVICE. He PLUNGES down the doctor's eye. The doctor TWISTS in pain. EXT. STUTTGART MUSEUM � NIGHT
Suddenly, from Barton's instrument, a holographic eye of the head doctor appears and the image of the doctor appears on screen. The doors to the facility open. Barton walks in and finds in a cabinet, a glass thermos with a cylinder of iridium. EXT. STUTTGART GALA � NIGHT
As the crowd runs away, Loki slowly walks out and materializes in his gold armor and helmet. The POLICE arrive and with no hesitation, he BLASTS the cars, FLIPPING them over and over. LOKI
Kneel before me. The crowd ignores him. Another LOKI appears, blocking the crowd. Loki after Loki appears, they all grin as they raise their spears, encircling the crowd. LOKI
I said. KNEEL!!! Everyone becomes quiet and kneels in front him. Loki embracing his arms out, smiling. LOKI
Is not this simpler? Is this not your natural state? It's the unspoken truth of humanity, that you crave subjugation. The bright lure of freedom diminishes your life's joy in a mad scramble for power, for identity. You were made to be ruled. In the end, you will always kneel. As the words resonate to the kneeling crowd, an ELDER GERMAN MAN refuses to kneel and stands, heroic. ELDER GERMAN MAN
Not to men like you. LOKI
There are no men like me. ELDER GERMAN MAN
There are always men like you. LOKI
Look to your elder, people. Let him be an example. Loki is about to execute him with his scepter as the light GLOWS blue. Just as the ENERGY BEAM shoots out, FUCKING CAPTAIN AMERICA arrives! He dives in just in time and BLOCKS the blast with his SHIELD, knocking down Loki on his ass. CAPTAIN AMERICA
You know, the last time I was in Germany and saw a man standing above everybody else, we ended up disagreeing. LOKI
(STANDING UP)
The soldier. A man out of time. CAPTAIN AMERICA
I'm not the one who's out of time. From above Cap, the QUINJET arrives. A machine gun is pointed towards Loki. NATASHA
Loki, drop the weapon and stand down. Like greased lighting, Loki sends a BLAST of blue at the QUINJET. Natasha MANEUVERS it just in time, giving Cap the time to throw his shield at Loki. They both begin to DUKE IT OUT. Loki FLINGS Cap to the ground. Cap then throws his shield, but Loki SWATS it way. Cap, using all the moves of a boxer, is KNOCKED down by Loki. Standing over him, he points the scepter's tip on his helmet. LOKI
Kneel. CAPTAIN AMERICA
Not today! Cap FLIPS and KNOCKS him out with his leg. Loki grabs him and FLIPS him over. INT. QUINJET � NIGHT
NATASHA
The guy's all over the place. Suddenly, AC/DC's "Shoot to Thrill" overdrives the QUINJET'S speakers. IRON MAN
Agent Romanoff, did you miss me? Both Cap and Loki look up at the sky. Tony flies over in his IRON MAN suit and blasts Loki right back to the ground. IRON MAN touches down. He stands up and pulls out every piece of weaponry the suit has. IRON MAN
Make your move, Reindeer Games. Loki puts up his hands and surrenders. His armor materializes away. IRON MAN
Good move. CAPTAIN AMERICA
Mr. Stark. IRON MAN
Captain. INT. QUINJET � NIGHT
Natasha watches the skies. THUNDER. Coming out of nowhere. Fury speaks over her headset. NICK FURY (V.O.)
Said anything? NATASHA
Not a word. NICK FURY (V.O.)
Just get him here. We're low on time. With Loki tied up and cuffed to his seat, Tony and Steve watch from a distance, whispering. STEVE
I don't like it. TONY
What? Rock of Ages giving up so easily? STEVE
I don't remember it being ever that easy. This guy packs a wallop. TONY
Still, you are pretty spry, for an older fellow. What's your thing? Pilates? STEVE
What? TONY
It's like calisthenics. You might have missed a couple things, you know, doing time as a Capsicle. Steve looks at Tony, finally meeting his ego match. STEVE
Fury didn't tell me he was calling you in. TONY
Yeah, there's a lot of things Fury doesn't tell you. THUNDER and LIGHTNING nearly hit the jet, making it shake violently. NATASHA
Where's this coming from? Thunder RUMBLES overhead. Loki stares out the window intently. STEVE
What's the matter? Scared of a little lightning? LOKI
I'm not overly fond of what follows. What the fuck? OUTSIDE THE JET A BLINDING LIGHT hits the jet. Not a light. A King. THE MIGHTY THOR. Thor OPENS the ramp and grabs Loki by the throat and flies out. Steve and Tony are left dumbstruck. Tony puts the IRON MAN helmet on. IRON MAN
Now there's that guy. NATASHA
Another Asgardian? CAPTAIN AMERICA
Think the guy's a friendly? IRON MAN
Doesn't matter. If he frees Loki or kills him, the Tesseract's lost. Tony turns and gets ready to jump off the jet to chase after Thor. CAPTAIN AMERICA
Stark, we need a plan of attack! IRON MAN
I have a plan. Attack. IRON MAN jumps out of the jet and chases after Thor. Cap grabs a parachute to follow. NATASHA
I'd sit this one out, Cap. CAPTAIN AMERICA
I don't see how I can. NATASHA
These guys come from legends, they're basically gods. CAPTAIN AMERICA
There's only one God, ma'am. And I'm pretty sure he doesn't dress like that. Cap JUMPS OUT of the jet. EXT. MOUNTAIN LEDGE � NIGHT
Somewhere out in the European mountains, Thor throws Loki into the side of the mountain. He raises the mighty hammer, MJ�LNIR. He looks down at his brother, who he thought to be dead and is angry to see him alive in this fashion. THOR
Where is the Tesseract? LOKI
(LAUGHS)
I missed you too. THOR
Do I look to be in a gaming mood?! LOKI
Oh, you should thank me. With the Bifrost gone how much dark energy did the Allfather have to muster to conjure you here? Your precious Earth. Thor drops MJ�LNIR, causing the mountain to quake. He picks up Loki. His brother. Although Thor is pissed for what he has done, a family is everything to a man or god. THOR
I thought you dead. LOKI
Did you mourn? THOR
We all did. Our father... LOKI
Your father. He did tell you my true parentage, did he not? Thor lets go Loki, who walks away from Thor, causing an even bigger wedge between them. THOR
We were raised together, we played together, we fought together. Do you remember none of that? LOKI
(TURNS AROUND)
I remember a shadow. Living in the shade of your greatness. I remember you tossing me into an abyss. I was and should be king! THOR
So you take the world I love as recompense for your imagined slights. No, the Earth is under my protection, Loki. LOKI
(LAUGHS)
And you're doing a marvelous job with that. The humans slaughter each other in droves, while you idly threat. I mean to rule them. And why should I not? THOR
You think yourself above them. LOKI
Well, yes. THOR
Then you miss the truth of ruling, brother. Throne would suit you ill. Angrily, Loki shoves his brother to the side. He walks back up to the ledge. Turns around. LOKI
I've seen worlds you've never known about! I have grown, Odinson, in my exile! I have seen the true power of the Tesseract, and when I wield it... THOR
Who showed you this power? Who controls the would-be-king? LOKI
I am a king! THOR
Not here! You give up the Tesseract! You give up this poisonous dream! You come home. LOKI
I don't have it. You need the cube to bring me home, but I've sent it off I know not where. Mj�lnir flies back to his grasp. THOR
You listen well, brother. I... THOR IS KNOCKED OFF THE MOUNTAIN BY IRON MAN WHO TACKLES HIM IN
MID-FLIGHT.
LOKI
I'm listening. EXT. FOREST � CONTINUOUS
THOR and IRON MAN CRASH into the forest. Thor rolls himself up. IRON MAN is still standing, but keeps his distance. The helmet opens up. THOR
Do not touch me again! TONY
Then don't take my stuff. THOR
You have no idea what you're dealing with. TONY
Shakespeare in the park? Doth mother know you weareth her drapes? THOR
This is beyond you, metal man. Loki will face Asgardian justice! TONY
He gives up the Cube, he's all yours. Until then, stay out of my way... tourist. The IRON MAN helmet clamps up and he walks away. In one quick move, Thor pulls Mj�lnir, throws it, and KNOCKS IRON MAN clear across into a tree. INSIDE THE SUIT
TONY
Okay. From the mountain side, Loki watches in amusement. Thor raises his hand. Mj�lnir flies back to his hand. Thor SWINGS the hammer, summoning a ray of energy. IRON MAN stands up and from his HAND BOOSTERS, a BLAST of ENERGY KNOCKS the MIGHTY AVENGER on his ass. IRON MAN flies back up and knocks Thor into a tree. Right back at you, bitch! Thor, kneeling on the ground, pulls Mj�lnir to his hand, raises it to the skies and pulls in LIGHTING and THUNDER! Thor points the hammer at IRON MAN and the outpouring of bolts lighting increases in intensity. IRON MAN falls back. INSIDE THE SUIT
JARVIS
Power at 400% capacity. TONY
How about that? IRON MAN FIRES AWAY FROM HIS HAND BOOSTERS, pushing Thor to his knees. Like two gunslingers ready to draw, both Thor and IRON MAN fly towards each other and meet in the middle and ascend up. EXT. SKY � NIGHT
The two battle. IRON MAN grasps THOR, elbowing him and SMASHING him into the side of a mountain. THOR LEAPS off the mountain and takes IRON MAN with him. EXT. FOREST � CONTINUOUS
THOR and IRON MAN crash right back down, smashing down every tree possible. IRON MAN YANKS Thor right up. Thor grabs both HANDS BOOSTERS and begins to CRUSH them. Tony quickly CHARGES as much energy as he can and SHOOTS ENERGY in Thor's face. Thor FALLS back, losing his stance. IRON MAN HEADBUTTS Thor, with his gold-titanium alloy helmet. Thor... HEADBUTTS him with his fuckin' head and actually sends IRON MAN across the forest. IRON MAN boosters up and flies back at Thor, grabbing him by the arm and cape and SWINGS him into another tree. Thor looks up, ready. Thor runs with all his patience out the window. IRON MAN SWINGS and MISSES, giving Thor the momentum to grab him, lift him and SMASH him down hard. Thor summons back Mj�lnir to his hand. Just as he's about to put the hammer down, IRON MAN uses his HAND BOOSTERS to SKID across the ground and trip Thor over. Standing up, Thor looks for him, but from behind him, IRON MAN CRASHES into his back. Thor stands facing IRON MAN. Ready to pounce... CAPTAIN AMERICA'S shield RICOCHETS off both Thor and IRON MAN, stopping them. They look up and see CAPTAIN AMERICA standing on top of a fallen tree with the shield back in hand. CAPTAIN AMERICA
Hey! That's enough! (comes down; looks at Thor) Now, I don't know what you plan on doing here. THOR
I've come here to put an end to Loki's schemes! CAPTAIN AMERICA
Then prove it! Put the hammer down. IRON MAN
Um, yeah, no! Bad call! He loves his hammer! THOR BACKHANDS IRON MAN LIKE A PIMP WITH MJ�LNIR.
Thor, losing all tolerance with this SENTENTIAL OF LIBERTY, raises the hammer. THOR
(TO CAP)
You want me to put the hammer down? THOR LEAPS HIGH INTO THE AIR, RAISING THAT FUCKING HAMMER.
CAPTAIN AMERICA CROUCHES DOWN and HOLDS UP HIS SHIELD. THOR brings that hammer down onto the shield and a MASSIVE IMPLOSION OF LIGHT reacts to the vibranium shield creating a MASSIVE SHOCKWAVE THAT BLOWS UP ANYTHING STANDING WITHIN A MILE.
IRON MAN stands up, looking around like `holy shit.' Lying right next to him is Cap, who never takes his eye off Thor. Thor looks at both men. CAPTAIN AMERICA
Are we done here? THOR, CAPTAIN AMERICA AND IRON MAN STAND THERE.
INT. HELICARRIER HALLWAY � NIGHT
DOZENS of SHIELD POLICE escort Loki, who is in handcuffs, smiling. As they pass the HELICARRIER LAB, Banner stops working on the CHITAURI SCEPTER and looks up. Loki eyes him as he walks, nodding and smiling. BANNER rubs his head. INT. HELICARRIER DETENTION SECTION � NIGHT
Loki is now free from his cuffs and is contained in a LARGE GLASS CELL held by HYDRAULIC RIGS. Fury walks up the control panel of the cell. NICK FURY
In case it's unclear. You try to escape. You so much as scratch that glass. Fury presses a button which OPENS UP a HATCH underneath Loki's cell. Loki peers as much as he can from the glass. Without seeing, the sounds of GUSTING WIND would make man shit his pants. Not a god, though. NICK FURY
Thirty thousand feet, straight down in a steel trap. You get how that works?! Fury closes the hatch. Points at Loki. NICK FURY
Ant. Then points at the button which would drop Loki into the steel trap. NICK FURY
Boot. LOKI
(SMIRKING)
It's an impressive cage. Not built, I think, for me. NICK FURY
Built for something a lot stronger than you. LOKI
Oh, I've heard. Loki looks into the camera. INT. BRIEFING ROOM � CONTINUOUS
The others watch on the monitor Loki getting interrogated. Banner looks at the monitor, intently. INT. HELICARRIER DETENTION SECTION � CONTINUOUS
LOKI
The mindless beast, makes play he's still a man. How desperate are you, that you call upon such lost creatures to defend you? NICK FURY
How desperate am I? You threaten my world with war. You steal a force you can't hope to control. (MORE)
NICK FURY (CONT'D)
You talk about peace and you kill `cause it's fun. You have made me very desperate. You might not be glad that you did. LOKI
Ooh. It burns you to come so close. To have the Tesseract, to have power, unlimited power. And for what? A warm light for all mankind to share, and then to be reminded what real power is. NICK FURY
(SMILING)
Well, you let me know if Real Power wants a magazine or something. Fury walks off leaving Loki in his glass cell. Loki looks back at the camera, smirking. INT. BRIEFING ROOM � CONTINUOUS
Steve watches until the monitor goes black. Thor, who didn't even look, just listened, stands there, torn apart. They all just stand there in stunned SILENCE. Finally -- BANNER
He really grows on you, doesn't he? STEVE
Loki's gonna drag this out. So, Thor, what's his play? THOR
(COMING TOO)
He has an army called the Chitauri. They're not of Asgard or any world known. He means to lead them against your people. They will win him the earth. In return, I suspect, for the Tesseract. STEVE
(SERIOUSLY)
An army? From outer space? BANNER
So he's building another portal. That's what he needs Erik Selvig for. THOR
Selvig? BANNER
He's an astrophysicist. THOR
He's a friend. NATASHA
Loki has him under some kind of spell, along with one of ours. STEVE
I wanna know why Loki let us take him. He's not leading an army from here. BANNER
I don't think we should be focusing on Loki. That guy's brain is a bag full of cats, you could smell crazy on him. THOR
Have care how you speak. Loki is beyond reason, but he is of Asgard, and he's my brother. NATASHA
He killed eighty people in two days. THOR
He's adopted. BANNER
Iridium, what did they need the Iridium for? TONY
It's a stabilizing agent. (walks in with Coulson; to COULSON)
I'll fly you there. Keep the love alive. Means the portal won't collapse on itself, like it did at SHIELD. TONY (CONT'D)
(TO THOR)
No hard feelings, Point Break. You've got a mean swing. (referring to the Iridium) Also, it means the portal can open as wide, and stay open as long, as Loki wants. (TO CREW)
Uh, raise the mid-mast, ship the top sails. That man is playing GALAGA! Thought we wouldn't notice. But we did. (covering his eye, looks AROUND)
How does Fury do this? AGENT MARIA HILL
He turns. Tony looks around the monitors and places a BUTTON SIZE HACKING IMPLANT under Fury's desk, without anyone noticing. TONY
Well, that sounds exhausting. The rest of the raw materials, Agent Barton can get his hands on pretty easily. Only major component he still needs is a power source. A high energy density, something to kick start the cube. AGENT MARIA HILL
When did you become an expert in thermonuclear astrophysics? TONY
Last night. The packet, Selvig's notes, the Extraction Theory papers. Am I the only one who did the reading? STEVE
Does Loki need any particular kind of power source? BANNER
He's got to heat the cube to a hundredand twenty million Kelvin just to break through the Coulomb barrier. TONY
Unless, Selvig has figured out how to stabilize the quantum tunneling effect. BANNER
Well, if he could do that he could achieve Heavy Ion Fusion at any reactor on the planet. TONY
Finally, someone who speaks English. STEVE
Is that what just happened? Tony and Banner shake hands. A glimmer in their eyes shines as the mutual respect for each other shows. TONY
It's good to meet you, Dr. Banner. You're work on anti-electron collisions is unparalleled. And I'm a huge fan of the way you lose control and turn into an enormous green rage monster. BANNER
(LOOKS DOWN)
Thanks. NICK FURY
(WALKING IN)
Dr. Banner is only here to track the cube. I was hoping you might join him. STEVE
Let's start with that stick of his. It may be magical, but it works an awful lot like a HYDRA weapon. NICK FURY
I don't know about that, but it is powered by the cube. And I'd like to know how Loki used it to turn two of the sharpest men I know into his personal flying monkeys. THOR
Monkeys? I do not understand. STEVE
I do! I understood that reference. Tony rolls his eyes, while Cap looks proud of himself. TONY
Shall we play, doctor? BANNER
Let's play some. As Banner and Tony walk out, the GALAGA PLAYER turns ever so discreetly, watches as everyone else disperses and goes back to playing. INT. BANNER'S LAB - NIGHT (LATER)
Banner continuously scans with a gamma ray detection scanner on the scepter for radiation. Tony looks at his monitors, shifting and solving as many algorithms and equations. BANNER
The gamma readings are definitely consistent with Selvig's reports on the Tesseract. But it's gonna take weeks to process. TONY
If we bypass their mainframe and direct a reroute to the Homer cluster, we can clock this around six hundred teraflops. BANNER
All I packed was a tooth brush. TONY
(SMILES)
You know, you should come by STARK TOWERS sometime. Top ten floors, all R&D. You'd love it, it's candy land. BANNER
Thanks, but the last time I was in New York I kind of broke...Harlem. TONY
Well, I promise a stress free environment. No tension. No surprises. Suddenly, Tony pokes Banner with a MINIATURE ELECTRICAL PROD. Steve walks in on them, pissed at Tony. BANNER
OW!
Tony looks at Banner closely. TONY
Nothing? STEVE
(TO BANNER)
Hey! Are you nuts? TONY
You really have got a lid on it, haven't you? What's your secret? Mellow jazz? Bongo drums? Huge bag of weed? STEVE
Is everything a joke to you? TONY
Funny things are. STEVE
Threatening the safety of everyone on this ship isn't funny. No offense, doctor. BANNER
No, it's alright. I wouldn't have come aboard if I couldn't handle pointy things. TONY
You're tiptoeing, big man. You need to strut. STEVE
And you need to focus on the problem, Mr. Stark. TONY
You think I'm not? Why did Fury call us and why now? Why not before? What isn't he telling us? I can't do the equation unless I have all the variables. STEVE
You think Fury's hiding something? TONY
He's a spy. Captain, he's the spy. His secrets have secrets. (points to Banner) It's bugging him too, isn't it? BANNER
(bobbling the words) Uh...I just wanna finish my work here and... STEVE
Doctor? A beat. BANNER
'A warm light for all mankind, Loki's jab at Fury about the cube. STEVE
I heard it. BANNER
(pointing at Tony) Well, I think that was meant for you. Even if Barton didn't post that all over the news. STEVE
The Stark Tower? That big ugly (Tony gives him a look) ...building in New York? BANNER
It's powered by Stark Reactors, self- sustaining energy source. That building will run itself for what, a year? TONY
That's just the prototype. I'm kind of the only name in clean energy right now. BANNER
(referring to Tony) So, why didn't SHIELD bring him in on the Tesseract project? I mean, what are they doing in the energy business in the first place? TONY
I should probably look into that once my decryption programmer finishes breaking into all of SHIELD's secure files. STEVE
(taken by that) I'm sorry, did you say...? TONY
Jarvis has been running it since I hit the bridge. In a few hours we'll know every dirty secret SHIELD has ever tried to hide. (holds out a bag of blueberries) Blueberry? STEVE
Yet you're confused about why they didn't want you around? TONY
An intelligence organization that fears intelligence? Historically, not possible. STEVE
I think Loki's trying to wind us up. This is a man who means to start a war, and if don't stay focused, he'll succeed. We have orders, we should follow them. TONY
Following is not really my style. STEVE
(SMILING)
And you're all about style, aren't you? TONY
(a nerve hit) Of the people in this room, which one is; A. wearing a spangly outfit, and B. not of use? BANNER
Steve, tell me none of this smells a little funky to you? Steve takes in the possibility, but as an obedient soldier, shakes it off. STEVE
Just find the cube. Steve walks out of the lab. Still torn apart by the possibility, he walks away, towards the HULL of the ship. BACK IN THE LAB
TONY
That's the guy my dad never shut up about? Wondering if they shouldn't have kept him on ice. BANNER
The guy's not wrong about Loki. He does have the jump on us. TONY
What he's got is an ACME dynamite kit. TONY (CONT'D)
It's gonna blow up in his face, and I'm gonna be there when it does. BANNER
And I'll read all about it. TONY
Uh-huh. Or you'll be suiting up like the rest of us. BANNER
Ah, see. I don't get a suit of armor. I'm exposed, like a nerve. It's a nightmare. TONY
You know, I've got a cluster of shrapnel, trying every second to crawl its way into my heart. (points at the MINI-ARC REACTOR in his chest) This stops it. This little circle of light. It's part of me now, not just armor. It's a... terrible privilege. BANNER
But you can control it. TONY
Because I learned how. BANNER
It's different. Banner tries to read the computer screen, but Tony slides the data aside with his finger so the two can see face-to-face. TONY
Hey, I've read all about your accident. That much gamma exposure should have killed you. BANNER
So you're saying that the Hulk... the other guy... saved my life? (MORE)
BANNER (CONT'D)
That's nice. It's a nice sentiment. Saved it for what? TONY
(A BEAT)
I guess we'll find out. Banner and Stark get back to work at their respective computers. BANNER
You might not like that. TONY
You just might. INT. HULL HANGAR, SECURE STORAGE 10-C � NIGHT
Steve, with all his MIGHT, slides the HEAVY IRON door and STEALTHILY walks in. SECURE STORAGE 10-C is a large warehouse, filled with METAL CRATES stacked. Steve looks up, seeing another level. He LEAPS up high and holds onto the catwalk railing. Steve continues to move forward. INT. VAN � NIGHT
Inside this particular van, Selvig and a few other SOLDIERS are driving inside a long tunnel. With the CMS device inside, Selvig carefully picks up the small cylinder shape IRIDIUM with metal prongs and lightly places it a SLOT within the CMS. THE CMS ACCEPTS IT. Selvig looks at it, devilishly smiling. INT. BRIEFING ROOM � NIGHT
On a SHIELD monitor is a photo and record of JANE FOSTER. Thor looks at her, remembering. With him is Agent Coulson. AGENT PHIL COULSON
As soon as Loki took the doctor we moved Jane Foster. We've got an excellent observatory in Traunsee. She was asked to consult there very suddenly yesterday. Handsome fee, private plane, very remote. She'll be safe. THOR
Thank you. It's no accident Loki taking Erik Selvig. I dread what he plans for him once he's done. Erik is a good man. AGENT PHIL COULSON
He talks about you a lot. You changed his life. You changed everything around here. THOR
They were better as they were. We pretend on Asgard that we're more advanced, but we...we come here battling like BILCHSTEIM. AGENT PHIL COULSON
Like what? THOR
BILCHSTEIM? You know; huge, scaly, big antlers. You don't have those? AGENT PHIL COULSON
Don't think so. THOR
They are repulsive, and they trample everything in their path. Thor walks over to the side of the ship and looks out the window, lamenting about what has happened and what may come. THOR
When I first came to earth, Loki's rage followed me here and your people paid the price. And now again. In my youth I courted war. NICK FURY (O.S.)
War hasn't started yet. (WALKING IN)
You think you can make Loki tell us what the Tesseract is? THOR
I do not know. Loki's mind is far afield, it's not just power he craves, it's vengeance upon me. There's no pain that would prize his need from him. NICK FURY
A lot of guys think that, until the pain stops. THOR
What are you asking me to do? NICK FURY
I'm asking. What are you prepared to do? THOR
Loki is a prisoner. NICK FURY
Then why do I feel like he's the only person on this boat that wants to be here? Thor doesn't answer. INT. HELICARRIER DETENTION SECTION � NIGHT
Loki walks back and forth inside his glass cell. Suddenly, he stops. LOKI
There's not many people that can sneak up on me. (turns to see NATASHA STANDING THERE)
NATASHA
But you figured I'd come. LOKI
After. After whatever tortures Fury can concoct, you would appear as a friend, as a balm. And I would cooperate. NATASHA
I wanna know what you've done to Agent Barton. LOKI
I'd say I've expanded his mind. NATASHA
And once you've won. Once you're king of the mountain. What happens to his mind? LOKI
Is this love, Agent Romanoff? NATASHA
Love is for children. I owe him a debt. LOKI
(SITTING DOWN)
Tell me. NATASHA
(she pulls up a chair as WELL)
Before I worked for SHIELD, I uh...well, I made a name for myself. I have a very specific skillset. I didn't care who I used it for, or on. I got on SHIELD's radar in a bad way. Agent Barton was sent to kill me, he made a different call. LOKI
And what will you do if I vow to spare him? NATASHA
Not let you out. LOKI
(LAUGHS)
Ah, no. But I like this. Your world in the balance, and you bargain for one man? NATASHA
Regimes fall every day. I tend not to weep over that, I'm Russian... or was. LOKI
What is it you want? NATASHA
It's really not that complicated. I've got red in my ledger, I'd like to wipe it out. LOKI
Can you? Can you wipe out that much red? DRAKOV'S daughter? S�O PAULO? THE HOSPITAL FIRE? Barton told me everything. Your ledger is dripping, it's gushing red, and you think saving a man no more virtuous than yourself will change anything? (STANDING; ANGRY)
This is the basest sentimentality. This is a child at prayer... PATHETIC! INTERCUTS
- Tony and Banner continuously work at their monitors. LOKI (V.O.)
You lie and kill in the service of liars and killers. - Agent Hill checks every VIEWSCREEN in the bridge. Fury oversees. LOKI (V.O.)
You pretend to be separate, to have your own code, something that makes up for the horrors. But they are a part of you, and they will never go away! - Steve opens a STEEL crate. Angry, he looks behind him and looks back into the crate. THE CRATE IS FILLED WITH AN ARRAY OF HYDRA WEAPONS.
INT. HELICARRIER DETENTION SECTION � NIGHT
Loki SLAMS his cell, making Natasha FLINCH. LOKI
I won't touch Barton. Not until I make him kill you! Slowly. Intimately. In every way he knows you fear! And when he'll wake just long enough to see his good work, and when he screams, I'll split his skull! This is my bargain, you mewling quim! NATASHA turns around, walks away from Loki, disgusted. NATASHA
(QUIETLY; DISTRAUGHT)
You're a monster. LOKI
(LAUGHS)
No, you brought the monster. NATASHA
(turns back around; poised) So, Banner... that's your play. LOKI
(STAGGERED)
What? NATASHA
(ON EARPIECE)
Loki means to unleash the Hulk. Keep Banner in the lab, I'm on my way. Send Thor as well. (TO LOKI)
Thank you for your cooperation. Natasha quickly walks out, leaving Loki frozen. INT. BANNER'S LAB � MORNING
Fury walks in SURPRISED to see Tony and Banner stop working on the scepter. NICK FURY
(ANGRY)
What are you doing, Mr. Stark? TONY
Uh...kind of been wondering the same thing about you. NICK FURY
You're supposed to be locating the Tesseract. BANNER
We are. The model's locked and we're sweeping for the signature now. When we get a hit, we'll have the location within half a mile. TONY
And you'll get your cube back, no muss, no fuss. (suddenly his monitor show a collection of SECRET FILES) What is PHASE 2? Suddenly, Steve drops a HYDRA ASSAULT RIFLE on the table causing Fury, Banner and Tony to turn around. Cap looks pissed. STEVE
PHASE 2 is SHIELD uses the cube to make weapons. (TO TONY)
Sorry, the computer was moving a little slow. NICK FURY
(trying to explain) Rogers, we gathered everything related to the Tesseract. This does not mean that we're... TONY
I'm sorry, Nick. Tony moves the computer screen towards Fury which shows plans of THE WEAPONS.
TONY
What were you lying? STEVE
I was wrong, director. The world hasn't changed a bit. At that moment, Thor and Natasha walk into the lab. Natasha keeps her eyes right on Banner. Banner looks at her, PISSED. BANNER
Did you know about this? NATASHA
You wanna think about removing yourself from this environment, doctor? BANNER
I was in Calcutta, I was pretty well removed. NATASHA
Loki's manipulating you. BANNER
And you've been doing what exactly? NATASHA
You didn't come here because I bat my eyelashes at you. BANNER
Yes, and I'm not leaving because suddenly you get a little twitchy. I'd like to know why SHIELD is using the Tesseract to build weapons of mass destruction. NICK FURY
Because of him. (pointing at Thor) THOR
(STUNNED)
Me? NICK FURY
Last year earth had a visitor from another planet who had a grudge match that leveled a small town. We learned that not only are we not alone, but we are hopelessly, hilariously, outgunned. THOR
My people want nothing but peace with your planet. NICK FURY
But you're not the only people out there, are you? And, you're not the only threat. The world's filling up with people who can't be matched, they can't be controlled. STEVE
Like you controlled the cube? THOR
You're work with the Tesseract is what drew Loki to it, and his allies. It is the signal to all the realms that the earth is ready for a higher form of war. STEVE
A higher form? NICK FURY
You forced our hand. We had to come up with something. TONY
Nuclear deterrent. `Cause that always calms everything right down. NICK FURY
Remind me again how you made your fortune, Stark? STEVE TONY
I'm sure if he still made Wait! Wait! Hold on! How is weapons, Stark would be neck this now about me? deep... I'm sorry, isn't THOR everything? I thought humans were more evolved than this. NICK FURY
Excuse me, did WE come to YOUR planet and blow stuff up? THOR
Did you always give your champions such mistrust? NATASHA BANNER
Are you all really that Captain America is on naive? S.H.I.E.L.D monitors potential threat potential threats? watch list? TONY STEVE
(to Steve) I swear to God, Stark, one You're on that list? Are you more crack... above or below angry bees? Threatening! I feel threatened! As the "team" argues, they don't realize the BLUE GEM on Loki's scepter is glowing brightly. INT. AIRCRAFT CARRIER � DAY
Outside the HELICARRIER, a lone carrier slowly hovers over the ship. SHIELD BASE VOICE
661 Bravo, please relay your pass code. What is your hull, over? BARTON
Arms to ammunition, over. Inside, BARTON and his crew suit up and arm themselves. Barton pulls out his hi-tech bow and arrows. INT. BANNER'S LAB � MORNING
Back in the lab, the egos of these people keeping rubbing off each other and at any moment, the shit will hit the fan. THOR
You speak of control, yet you court chaos. BANNER
It's his M.O., isn't it? I mean, what are we, a team? No, no, no. We're a chemical mixture that makes chaos. We're... we're a time-bomb. NICK FURY
You need to step away. TONY
(puts his arm around Steve) Why shouldn't the guy let off a little steam? STEVE
(pushes Tony off) You know damn well why! Back off! TONY
(comes face-to-face with Cap) Oh, I'm starting to want you to make me. STEVE
Big man in a suit of armor. Take that off, what are you? TONY
Genius, billionaire, playboy, philanthropist. STEVE
I know guys with none of that worth ten of you. Yeah, I've seen the footage. (MORE)
STEVE (CONT'D)
The only thing you really fight for is yourself. You're not the guy to make the sacrifice play, to lay down on a wire and let the other guy crawl over you. TONY
I think I would just cut the wire. STEVE
(SMILING)
Always a way out... You know, you may not be a threat, but you better stop pretending to be a hero. TONY
(that did it) A hero? Like you? You're a lab rat, Rogers. Everything special about you came out of a bottle! OUTSIDE THE HELICARRIER
The ramp of the carrier opens. The carrier maneuvers next to one of the large turbine engines. Barton stands at the base, holding out his bow. He pulls out a GRENADE TIPPED ARROW. He points right at the engine. Then...Barton moves his AIM and points the arrow about a hundred feet from the engine. He releases. The arrow flies out,but then SHARPLY heads for the engine. The arrow is punctured onto the engine. It has a visible timer which is COUNTING DOWN. INT. BANNER'S LAB � MORNING
Back in the lab, Steve puffs up his chest at Tony, who just stands there, unmoving. STEVE
Put on the suit, let's go a few rounds. Thor laughs at them. THOR
You people are so petty... and tiny. Tony rubs his head. Moves away from Cap. BANNER
Yeah, this is a tee... NICK FURY
Agent Romanoff, would you escort Dr.Banner back to his... BANNER
Where? You rented my room. NICK FURY
The cell was just in case... BANNER
In case you needed to kill me, but you can't! I know! I tried! (A BEAT)
I got low. I didn't see an end, so I put a bullet in my mouth and the other guy spit it out! So I moved on. I focused on helping other people. I was good, until you dragged me back into this freak show and put everyone here at risk! Banner slowly gets upset as he looks at Romanoff, who gets unnerved. BANNER
You wanna know my secret, Agent Romanoff? You wanna know how I stay calm? BLACK WIDOW and Fury have their hands down to grab their guns. STEVE
Doctor Banner... put down the scepter. BANNER LOOKS DOWN AND IS SHOCKED TO SEE HE'S HOLDING LOKI'S
SCEPTER. The computer beeps. They all turn to it. TONY
Got it. Banner puts down the scepter and walks over to the computer. BANNER
Sorry, kids. You don't get to see my little party trick after all. THOR
Located the Tesseract? TONY
I can get there faster. STEVE
Look, all of us... THOR
The Tesseract belongs on Asgard, no human is a match for it. Tony turns to leave, but Steve stops him. STEVE
You're not going alone! TONY
You gonna stop me? STEVE
Put on the suit, let's find out. TONY
I'm not afraid to hit an old man. STEVE
Put on the suit. At that moment Banner who's looking at the monitor notices something about the Tesseract. BANNER
Oh, my God! OUTSIDE THE HELICARRIER
Barton PULLS THE TRIGGER ON HIS BOW. The arrow then EXPLODES THE ENGINE RIGHT OFF THE HELICARRIER!
INT. BANNER'S LAB � MORNING
Everyone is thrown in every direction. Steve, Fury, Thor and Tony are thrown across while Natasha and Banner is down in the lower equipment room. Steve looks up at Tony. STEVE
Put on the suit! TONY
Yep! Steve helps Tony up and out of the lab. Fury sits up, clutching his ribs. He puts on his EARPIECE. NICK FURY
Hill?! INT. HELICARRIER BRIDGE � DAY
PANDEMONIUM ERUPTS. Emergency alarms set off, fire extinguishers activate near surrounding fires and every agent is in a spinning scramble for their positions and armaments. Agent Hill keeps the bridge as calm as possible. AGENT MARIA HILL
Turn up that engine! Number 3 engine is down! Can we get a run in? (runs over to GALAGA PLAYER) Talk to me. GALAGA PLAYER
(points to monitor) Turbine's loose. Mostly intact, but it's impossible to get out there and make repairs while we're in the air. AGENT MARIA HILL
We lose one more engine, we won't be. Somebody's got to get inside and patch that engine. INT. BANNER'S LAB � MORNING
NICK FURY
Stark! You copy that?! TONY (V.O.)
I'm on it! NICK FURY
Coulson! Initiate official lock down in the detention section then get to the armory! Move out! INT. HELICARRIER BRIDGE � DAY
Agent Coulson runs out of the bridge. INT. LOWER EQUIPMENT ROOM, CARRIER � MORNING
Natasha looks over to Banner, who is breathing heavy, having landed hard. He is gripping the grated floor to maintain control, but his eyes are green, his face intense. NATASHA (CONT'D)
(quietly, to herself) I'm okay. We're okay, right? EXT. HELICARRIER DECK � DAY
Barton leads his men into the air ducts of the ship. They rappel down into a corridor. BARTON
Get that engine down! Detention! Get him through the dark! Come with me. Two of his men follow him. They head towards the bridge. EXT. ND HALLWAY, CARRIER � MORNING
Tony and Cap run through a dim, debris filled hall. TONY
Find engine three. I'll meet you there. Cap peels off as Tony approaches a tech room. Inside, Tony's IRON MAN suit stands waiting, lit above in all its glory. INT. LOWER EQUIPMENT ROOM, CARRIER � CONTINUOUS
ON BANNER'S FACE in the dim light as he struggles to suppress the rage, but his face is growing, changing slowly. Natasha is pulling herself painfully free, talking to Banner... NATASHA
Doctor... Bruce, you gotta fight it. This is just what Loki wants. We're gonna be okay. Listen to me. Two approaching SHIELD soldiers arrive to check on her. She furiously WAVES them away. They bolt out of there. NATASHA
We're gonna be okay. Right? I swear on my life I will get you out of this, you will walk away, and never... BANNER
Your life? His voice has the change in it -- the bitter amusement is morphing to a growled threat. Another explosion rocks the carrier -- and he turns to look at her, transforming just as the lights go out. NATASHA
(PLEADING)
Bruce. Banner suddenly starts transforming into the HULK and gives Natasha one last knowing look. Natasha STRUGGLES FREE of the rubble. She stops. The HULK, sensing her, turns his head and puts on a face of a disturb monster. Natasha JOLTS up the stairs with the HULK chasing after her. Natasha maneuvers like a black widow should. She rolls under a turbine, starts to crawl within the maze of pipes. The HULK pulls them out from above the catwalk. Natasha falls through under the catwalks and quickly and stealthily escapes. The HULK lets out a ROAR OF RAGE unlike anything. PRIMAL. Not human. INT. HELICARRIER DETENTION SECTION � DAY
Loki looks up, smiling mischievously. INT. HELICARRIER BRIDGE � DAY
Fury RUNS in and sees the chaos has increased even more than before. The HELMSMAN is in complete disarray. NICK FURY
Bring the carrier inwards and head south. Take us to the water. HELMSMAN
Why water? Navigations recalibrated after the engine failure. NICK FURY
Is the sun coming up?! HELMSMAN
Yes, sir. NICK FURY
Then put it on the left! Get us over water! One more turbine goes down and we drop. EXT. HELICARRIER PORT SIDE � DAY
CAPTAIN AMERICA, pushing with all his strength the door to portside, sees SHIELD tech in full oxygen masks shoot fire extinguishers and cover from sparks -- largely unable to do anything. Engine 3 is totally dead. A LARGE CHUNK of the port side in TORN OFF.
CAPTAIN AMERICA
Stark, I'm here! TONY
Good. See what we got. Tony flies in his IRON MAN suit and gets close to the damaged engine. INSIDE THE SUIT
Tony observes within his viewscreen at the damaged engine and its layouts. TONY
I gotta get this super conducting cooling system back online before I can access the rotors and work on dislodging the debris. EXT. HELICARRIER PORT SIDE � DAY
IRON MAN begins PULLING on the stuck rotors. Looks over atSteve. IRON MAN
I need you to get to that engine control panel and tell me which relays are in overload position. IRON MAN flies into giant cooling conductors. CAPTAIN AMERICA JUMPS over to the other side of the broken railing. CAPTAIN AMERICA gets himself to the control panel and opens it up. For a man who grew up as a YANK, what the fuck is this! IRON MAN
What's it look like in there? CAPTAIN AMERICA
It seems to run on some form of electricity. IRON MAN
Well, you're not wrong. INT. LOWER EQUIPMENT ROOM, CARRIER � DAY
Natasha continuously crawls under the catwalk. She stops. Then...BOOM. BOOM. BOOM. The room vibrates. Rhythmically. Natasha pulls out her gun and slowly walks out onto the catwalk and spins. ...and then a ROAR. THE HULK. Natasha FIRES a shot into a liquid nitrogen pipe that hits the hulk in face. The HULK SMASHES THE SHIT OUT OF IT. Natasha begins to run through the maze of corridors. The sound the monster is coming. Finally, she reaches and a long corridor. As she runs, behind her, the HULK TEARS up the hallway, coming at her. Natasha turns to see, but the HULK SLAPS her into the wall, SMASHING INTO THE GROUND.
The HULK marks his territory. Natasha looks up. A fear she has never felt begins to seep out. The HULK raises his hand and IS KNOCKED OFF HIS FEET BY THOR WHO TACKLES HIM INTO the next room. INT. HELICARRIER AIRCRAFT PORT � CONTINUOUS
Both Thor and HULK roll across the floor. Every person runs the hell out. Thor looks up at this magnificent beast. The HULK stands up and moving like a boxer, wants Thor to make his move. The HULK makes his move. SWING AND A MISS. Thor swings his massive hand and almost knocks HULK off his feet. HULK keeps swinging and missing, pissing him off. Finally, he brings down his arm, but Thor grabs it and wraps around it. THOR
We are not your enemies, Banner! Try to think! HULK lifts his arm up, to Thor's surprise, and he SENDS HIM FLYING AS HE PUNCHES THOR'S FACE WITH HIS FIST.
EXT. HELICARRIER PORT SIDE � DAY
IRON MAN continuously BLASTS broken debris off the turbine engine. It's bad, but still fixable. CAPTAIN AMERICA (V.O.)
The relays are intact. What's our next move? TONY
Even if I clear the rotors, this thing won't re-engage without a jump. I'm gonna have to get in there and push. EXT. HELICARRIER PORT SIDE � DAY
CAPTAIN AMERICA
Well if that thing gets up to speed, you'll get shredded! TONY
Then stay in the control unit and reverse polarity long enough to disengage mag... CAPTAIN AMERICA
Speak English! TONY
See that red lever? It'll slow the rotors down long enough for me to get out. Stand by it, wait for my word. CAPTAIN AMERICA looks over at the other side where he was. He sees the red lever and JUMPS towards it. INT. HELICARRIER AIRCRAFT PORT � DAY
Thor CRASHES into another stack of crates. As he raises his head, he feels something on his lips. BLOOD. As he swipes it off, the ROAR of the HULK is not too far. Thor extends his hand out. The ROAR gets LOUDER and CLOSER. Thor focuses. His hand strains toward mid-air. His eyes tight in concentration. The HULK runs right at him. At the last second, MJ�LNIR flies into his hand and Thor UPPERCUTS HULK, WHO CRASHES INTO A FIGHTER JET. HULK stands up, shaking his head like `what the fuck just happened.' He SHAKES it off and ANGRILY rips off the TAIL of the jet, TORQUES HIS BODY LIKE A GREEK DISCUS THROWER AND... HURLS THE MASSIVE PLATE AT THOR.
Thor SLIDES and DUCKS under the tail. Jumping up, he throws Mj�lnir with all his strength, knocking the HULK head over heels. HULK falls down, hammer in hand. HE tries to lift it, but can't. Mj�lnir rests atop his hand. Struggle as he may, HULK wraps his hand around the hammer. The hammer doesn't move. To no avail -- he strains with all his might, SCREAMS from the effort, BELLOWING. Thor jumps up again, KNEEING HULK in the face. Thor grabs his hammer, jumps on him, using the hammer as a lock for his CHOKEHOLD. Hulk tries to pull him off. INT. HELICARRIER BRIDGE � DAY
Fury and Agent Hill look over their monitors. NICK FURY
We need a full evac on the lower hangar bay. Agent Hill nods. She leaves to exit out, but a SLIDING GRENADE appears. AGENT MARIA HILL
GRENADE!
The grenade goes off, sending her down the steps. Fury FIRES a shot at the open entrance. He moves over behind the side of the entrance. A handful of Barton's men enter. Watchful, ready, waiting... Fury steps out, his GUN drawn. A SHOOT OUT and HAND-TO-HAND ensues, but Fury is unable to stop one of them, which is why he is shot in the head by Agent Hill, who looks hot and sexy holding her gun. INT. HELICARRIER ARMORY SECTION � DAY
Agent Coulson walks up the armory door. He places his head into a FACIAL RECOGNITION SCANNER. Walks into the room. AGENT JASPER SITWELL (V.O.)
We got perimeter breach! Hostiles are in SHIELD gear. Hold on to every junction. INT. HELICARRIER AIRCRAFT PORT � DAY
HULK CRASHES from under the floor, sending Thor on his ass. HULK grabs him by the neck. INT. HELICARRIER BRIDGE � DAY
A gunfight opens up. AGENTS exchange fire with brutally efficient tactical soldiers. AGENT JASPER SITWELL (V.O.)
Sir, the HULK and Thor are in shuttle levels 2, 3 and 4! AGENT MARIA HILL
Sir, the Hulk will tear this place apart! NICK FURY
Get his attention. AGENT MARIA HILL
(on her EARPIECE) Escort 606, proceed to 270 MAIN SHUTTLE! Don't get too close. ESCORT 606 PILOT (V.O.)
Copy. EXT. SKY � DAY
ESCORT 606'S jet BANKS to the right, heading towards the shuttle. EXT. OUTSIDE SHUTTLE
ESCORT 606 PILOT slowly makes his way in. sees the action going between Thor and the HULK. ESCORT 606 PILOT
Target acquired. Target engaged. (pulls the trigger; fires guns at HULK) A SHOWER OF BULLETS SPRAYS THE HULK EVERYWHERE. Thor ducks for cover. The HULK turns around, letting out his PRIMAL ROAR. He jumps up, TAKES A RUNNING START AND LEAPS... ESCORT 606 PILOT LOOKS LIKE HE TOOK A SHIT.
ESCORT 606 PILOT
TARGET ANGRY! TARGET ANGRY!
HULK LANDS ON THE JET'S NOSE. THE JET SPINS WILDLY. As the HULK tears it apart, ESCORT 606 PILOT pulls his ejection seat, but HOLD THE FUCKIN' DOOR!
THE HULK CATCHES HIM, WAVES HIM AROUND AND THEN THROWS HIM AWAY.
ESCORT 606 PILOT pulls his parachute. THE JET EXPLODES. THE HULK PLUMMETS TO EARTH, ROARING HIS SWAN SONG.
EXT. HELICARRIER PORT SIDE � DAY
IRON MAN laser cuts a big piece of broken metal. He then JUMPS on it, relieving the rotors. On the other side, BARTON'S men enter the port side. CAPTAIN AMERICA looks down, pondering if they are help. Evidently not as they begin SHOOTING at him and throwing grenades. CAPTAIN AMERICA jumps to the other railing and down with Barton's men. He begins to TAKE THEM DOWN, even goes as far as throwing one off. A few more enter, FIRING. CAPTAIN AMERICA grabs a NOVESKE RIFLEWORKS DIPLOMAT (big word for big fuckin' gun) and jumps back up to his position, firing down at them. INT. HELICARRIER BRIDGE � DAY
The gunfight has gone down, but more of Barton's men enter and are taken by Fury, who is confused as to why they keep coming. NICK FURY
They are not getting through here, so what the hell... Suddenly, Barton LOOSES an arrow down to the bridge and EXPLODES critical spots. Barton releases a multi-tipped arrow towards Fury, but instead hits his command desk, right above a USB OUTLETS.
Fury FIRES at Barton, but is already gone. The arrow then self- activates and inserts itself into the outlets, hacking every single monitor and main frame. The hacking causes Engine 1 to shut off. Suddenly, the HELICARRIER begins to DANGEROUSLY TILT to one side. AGENT JASPER SITWELL (O.S.)
Sir, we've lost all power in Engine 1. NICK FURY
It's Barton. He took out our systems. He's headed for the detention level. Does anybody copy? INT. LOWER EQUIPMENT ROOM, CARRIER- DAY
Still shaken by the HULK ordeal, Natasha sits there, rocking back and forth, after crying for a while. Summoning back all her coolness, she touches her EARPIECE. NATASHA
This is Agent Romanoff. I copy. Natasha SPRINGS up and runs for Barton. EXT. HELICARRIER PORT SIDE � DAY
IRON MAN begins to push the rotor using BOOSTERS from his boots. NICK FURY (V.O.)
Stark, we're losing altitude. IRON MAN
Yeah. Noticed. The rotors start propelling faster and faster as IRON MAN'S BOOSTERS get more and more bright. On the other side, CAPTAIN AMERICA continuously shoots at Barton's men. Blinking at the wrong moment, CAPTAIN AMERICA loses the upper hand and SLIDES off the railing, but grabs onto a LOOSE CABLE. INT. HELICARRIER DETENTION SECTION � DAY
Thor runs into the detention section where he finds Loki, escaping. THOR
NO!
Thor CHARGES at his brother. Loki walks up to him and CROUCHES down to attack. THOR ONLY GOES THROUGH HIM. The false Loki dissipates into nothingness. THE REAL LOKI comes out from behind the cell door, which closes on THOR, locking him up. Loki smiles. LOKI
Are you ever not going to fall for that? INT. LOWER EQUIPMENT ROOM, CARRIER � DAY
Barton walks alone down the catwalk. In a lightning fast move, Barton nocks an arrow, and points it at NATASHA. A hand-to-hand fight ensues. Natasha CRAWLS her way around Barton, making Barton to drop his bow, but pulls out a KNIFE on her. INT. HELICARRIER DETENTION SECTION � DAY
Thor, in a fit of anger, SLAMS MJ�LNIR onto the glass cell. To his surprise, the cell door only CRACKS, but violently SHAKES the ship. Loki stands there in caution, as does his GUARDING SOLDIER.
LOKI
(smiles; walks over to the CONTROL PANEL)
The humans think us immortal. Should we test that? Suddenly, GUARDING SOLDIER falls down like a tree. AGENT COULSON stands there, holding PHASE 2 WEAPON PROTOTYPE. AGENT PHIL COULSON
Move away, please. Loki moves away from the switch. AGENT PHIL COULSON
You like this? We started working on the prototype after you sent THE DESTROYER. Even I don't know what it does. Do you wanna find out? A LOUD GASP. AGENT COULSON IS IMPALED THROUGH THE HEART. THE
REAL LOKI STANDS BEHIND COULSON.
THOR
Nooo! Loki sends Agent Coulson against the wall. Agent Coulson slumps down, breathing fast. Loki makes his way to the control switch. He gives his brother one last look. Thor looks at him, hopeful. Loki opens the HATCH. Thor still hopes. LOKI HITS THE BUTTON AND DROPS THOR OUT OF THE SHIP.
INT. LOWER EQUIPMENT ROOM, CARRIER � DAY
Barton and Natasha continue attacking each other. Natasha KICKBOXES Barton's face. Feeling that, Barton takes a SWING at her, but she grabs his arm, TWISTING it. BARTON WRITHES IN PAIN. Using his other arm, he tosses the knife over and begins to SLASH at Natasha. She dodges every move, but finds herself in a LOCK HOLD with him. As he forces the knife down, she BITES his wrist. Barton lets go of the knife. Natasha WRAPS her legs around his neck, FLIPS him over and arm LOCKS him. She SLAMS his head into a pipes rail. Barton goes down, hard. He looks up her, almost coming to his real senses. BARTON
Natasha... Natasha COLDCOCKS him. Barton is out. EXT. SKY
Thor, trapped in the glass cage, BOUNCES off the JUMBLING cell pod. As it draws closer to land, Thor tries to swing at glass, but misses. Land draws closer. In a final attempt before crashing, Thor positions himself onto the glass door and LEAPFROGS just as the cage is about to hit the ground. The cell CRASHES into the shore as Thor crashes out into the meadow. INT. HELICARRIER DETENTION SECTION � DAY
Loki has no remorse as he looks down. He closes the hatch and proceeds to leave. A WEAK VOICE. AGENT PHIL COULSON
You're gonna lose. LOKI
(TURNING)
Am I? AGENT PHIL COULSON
It's in your nature. LOKI
Your heroes are scattered, your floating fortress falls from the sky...where is my disadvantage? AGENT PHIL COULSON
You lack conviction. LOKI
I don't think I... AGENT COULSON SHOOTS LOKI WITH HIS PHASE 2 WEAPON PROTOTYPE,
CAUSING LOKI TO BE BLOWN THROUGH THE WALL BEHIND HIM.
AGENT PHIL COULSON
So that's what it does. INT. HELICARRIER BRIDGE � DAY
Back in the bridge, Fury sees on his VIEWSCREEN that the hatch has been open. Knowing Agent Coulson was sent there, he goes to. EXT. HELICARRIER PORT SIDE � DAY
IRON MAN continuously SPINS Engine 3, giving it all he has. THE ROTORS ARE PROPELLING PROPERLY AND FAST. The HELICARRIER LEVELS itself. INSIDE THE SUIT
TONY
Cap, I need the lever! STEVE (V.O.)
I need a minute here! TONY
Lever. Now! Tony lets go of the rotors. They spin by themselves. Tony is then caught in one. He is now fucked. IRON MAN slips into the rotors, getting chewed up. EXT. HELICARRIER PORT SIDE � DAY
CAPTAIN AMERICA CLIMBS up the loose cable and reaches the railing. BARTON'S MAN opens fire once more. CAPTAIN AMERICA pulls himself up and finally PULLS the lever. A VENT opens up from Engine 3. IRON MAN falls out, but the suit heavily damaged, hardly keeping him up. IRON MAN heads for Cap. BARTON'S MAN turns his AIM to IRON MAN, who TACKLES him into the wall. IRON MAN rolls over, tired. Cap lets out a sigh of relief. OUTSIDE THE HELICARRIER
The carrier that brought Barton and his team now leaves, taking Loki and his scepter. The carrier flies into the distance. INT. HELICARRIER DETENTION SECTION � DAY
Fury runs in finding Agent Coulson still alive, barely. AGENT PHIL COULSON
Sorry, boss. They got rabbited. NICK FURY
Just stay awake. EYES ON ME! AGENT PHIL COULSON
No. I'm clocked out here. NICK FURY
Not an option. AGENT PHIL COULSON
It's okay, boss. This was never going to work... if they didn't have something... to... Agent Coulson looks away. Sighs his last breath. Nick Fury looks on grimly at Coulson. The medical team arrives. INT. HELICARRIER BRIDGE � DAY
NICK FURY (V.O.)
Agent Coulson is down. Agent Hill is being treated for a gash on her head, listens on her headset, standing up. SHIELD AGENT (V.O.)
Paramedics are on their way. NICK FURY (V.O.)
They're here. INT. HELICARRIER PORT SIDE � DAY
Steve and Tony listen in as well. NICK FURY (V.O.)
They called it. INT. HELICARRIER BRIDGE � LATER
Fury gathers Tony and Steve back into the briefing room everyone there has a look as if in a daze. A look of numb shock is shown on their devastated faces. NICK FURY
These were in Phil Coulson's jacket. Guess he never did get you to sign them. Fury throws Coulson's CAPTAIN AMERICA TRADING CARDS on the table towards Steve. Steve picks them up, STAINED WITH BLOOD. NICK FURY
We're dead in the air up here. Our communications, location of the cube, Banner, Thor. I got nothing for you. Lost my one good eye. Maybe I had that coming. (A BEAT)
Yes, we were going to build an arsenal with the Tesseract. I never put all my chips on that number though, because I was playing something even riskier. There was an idea, Stark knows this, called THE AVENGERS INITIATIVE. The idea was to bring together a group of remarkable people, see if they could become something more. See if they could work together when we needed them to, to fight the battles that we never could. Phil Coulson died still believing in that idea, in heroes. Tony gets up and walks off, not wanting to hear it anymore. NICK FURY
Well, it's an old fashioned notion. EXT. MEADOW � DAY
Thor walks out far into the meadow. He looks down. MJ�LNIR. INT. ABANDONED BUILDING � DAY
Banner wakes up, in human form. He looks around and sees he is IN A PILE OF RUBBLE and looks up at the OPEN CEILING HE CRASHED IN. AND IS COMPLETELY NAKED. A SECURITY GUARD stands there, amazed. SECURITY GUARD
You fell out of the sky. BANNER
(COMING TO)
Did I hurt anybody? SECURITY GUARD
There's nobody around here to get hurt. You did scare the hell out of some pigeons though. BANNER
Lucky. SECURITY GUARD
Or just good aim. You were awake when you fell. BANNER
You saw? SECURITY GUARD
The whole thing, right through the ceiling. Big and green and buck ass nude. Here... He throws Banner a pair of big pants. Banner pulls on his pants. SECURITY GUARD
I didn't think those would fit you until you shrunk down to a regular size fella. BANNER
Thank you. A beat. SECURITY GUARD
Are you an alien? BANNER
What? SECURITY GUARD
From outer space, an alien? BANNER
No. SECURITY GUARD
Well then, son, you've got a condition. INT. HELICARRIER MEDICAL ROOM � DAY
Barton is strapped down. Natasha watches over him as Barton tries to shake off Loki's mind control. NATASHA
Clint, you're gonna be alright. CLINT BARTON
You know that? Is that what you know? I got...I gotta go in though. I gotta flush him out. NATASHA
We don't have that long, it's gonna take time. CLINT BARTON
I don't understand. Have you ever had someone take your brain and play? Pull you out and send something else in? Do you know what it's like to be unmade? NATASHA
You know that I do. CLINT BARTON
Why am I back? How did you get him out? NATASHA
Cognitive recalibration. I hit you really hard in the head. CLINT BARTON
Thanks. (Natasha unfastens the RESTRAINTS)
Tasha, how many agents? NATASHA
Don't. Don't do that to yourself, Clint. This is Loki. This is monsters and magic and nothing we were ever trained for. CLINT BARTON
Loki, he got away? NATASHA
Yeah. I don't suppose you know where? CLINT BARTON
I didn't need to know. I didn't ask. He's gonna make his play soon though. Today. NATASHA
We gotta stop him. CLINT BARTON
Yeah? Who's we? NATASHA
I don't know. Whoever's left. CLINT BARTON
Well, if I put an arrow in Loki's eyesocket, I'd sleep better I suppose. NATASHA
Now you sound like you. Natasha sits next to her partner and friend. CLINT BARTON
But you don't. You're a spy, not a soldier. Now you want to wade into a war. Why? What did Loki do to you? NATASHA
He didn't, I just... (SHE PAUSES)
CLINT BARTON
Natasha. NATASHA
I've been compromised. I got red in my ledger. I'd like to wipe it out. INT. HELICARRIER DETENTION SECTION � DAY
Tony look at the empty cell container. He stands not saying a word. Steve walks in. STEVE
Was he married? TONY
No. There was a uh...cellist, I think. STEVE
I'm sorry. He seemed like a good man. TONY
He was an idiot. STEVE
Why? For believing? TONY
For taking on Loki alone. STEVE
He was doing his job. TONY
He was out of his league. He should have waited. He should have... STEVE
Sometimes there isn't a way out, Tony. TONY
(WALKS AWAY)
Right. How did that work for him? STEVE
Is this the first time you've lost a soldier? TONY
(turns around sharply) WE ARE NOT SOLDIERS! I am not marching to Fury's fife! STEVE
Neither am I! He's got the same blood on his hands as Loki does. Right now we've got to put that aside and get this done. Now Loki needs a power source, if we can put together a list... TONY
(looking at the blood stained WALL)
He made it personal. STEVE
That's not the point. TONY
That is the point. That's Loki's point. He hit us all right where we live. Why? STEVE
To tear us apart. TONY
He had to conquer his greed, but he knows he has to take us out to win, right? That's what he wants. He wants to beat us and he wants to be seen doing it. He wants an audience. STEVE
Right, I caught his act at Stuttengard. TONY
Yeah. That's just a preview, this is opening night. Loki's a full-tilt diva. He wants flowers, he wants parades, he wants a monument built in the skies with his name plastered... (PAUSE)
Sonofabitch! EXT. STARK TOWER � DAY
Selvig works around the CMS device that has already been set- upon the rooftop of Tony's tower. INT. HELICARRIER MEDICAL ROOM � DAY
Steve walks in full uniform. Natasha looks at him, unprepared. STEVE
Time to go. NATASHA
Go where? STEVE
I'll tell you on the way. Can you fly one of those jets? Barton walks out of the restroom. Looks at Cap. CLINT BARTON
I can. Steve looks at Natasha and she nods her head to confirm Barton's on their side. STEVE
You got a suit? CLINT BARTON
Yeah. STEVE
Then suit up. MONTAGE
- KRAKAKABOOM! A blinding BOLT OF LIGHTNING strikes down from above, colliding on MJ�LNIR. The explosion is massive. THE MIGHTY THOR.
- CAPTAIN AMERICA pulls on his HELMET and SHIELD. - Tony WELDS his IRON MAN helmet. LIGHT slips down over IRON MAN's eye holes. - BLACK WIDOW attaches a GLOVE GAUNTLET with her rounds on her wrist. A BLUE LIGHT CHARGES. - HAWKEYE slips on his QUIVER of arrows. EXT/INT. QUINJET � DAY
Cap, Widow and Hawkeye walk towards and into the QUINJET. A YOUNG SHIELD PILOT looks and stands in their way. YOUNG SHIELD PILOT
You are not authorized to be here... CAPTAIN AMERICA
Son... just don't. INT. HELICARRIER BRIDGE � DAY
Fury looks the window of the ship, contemplating. Agent Hill walks up to him, knowing. AGENT MARIA HILL
Sir. NICK FURY
Agent Hill? AGENT MARIA HILL
Those cards, they were in Coulson's locker, not in his jacket. NICK FURY
They needed the push. (holding Coulson's cards) A LOUD NOISE SCREECHES. Fury looks out to see IRON MAN flying off as well as the QUINJET. NICK FURY
They found it. Get our communications back up, whatever you have to do. I want eyes on everything. AGENT MARIA HILL
Yes, sir. EXT. NEW YORK CITY SKYLINE - STARK TOWER � DAY
IRON MAN arrives at STARK TOWER where Selvig, ACTIVATES the CMS device, holding the Tesseract. JARVIS
Sir, I took off the arc reactor. The device is already self-sustained. TONY
Shut it down, Dr. Selvig. SELVIG
It's too late! It can't stop now. He wants to show us something! A new universe. IRON MAN
Okay. IRON MAN aims his hands toward the CMS and FIRES. The energy from his boosters SHATTERS with a deafening CRACK! Selvig falls backwards. DOWN BELOW, CITIZENS OF NEW YORK look up at STARK TOWER. IRON MAN stares in disbelief at the CMS ... unharmed. JARVIS
The barrier is pure energy. It's unbreachable. The Mark VII is not ready to be deployed. TONY
Skip the spinning rims. We're on the clock. TONY lands his SUIT and goes through the gauntlet and unsuits him. LOKI looks up at him, smiling. They proceed to walk into the penthouse. INT. STARK PENTHOUSE � DAY
Loki walks in, holding the scepter. Tony casually walks down the steps, towards the bar. LOKI
Please tell me you're going to appeal to my humanity. TONY
Uh...actually, I'm planning to threaten you. LOKI
You should have left your armor on for that. TONY
Yeah, it's seen a bit of mileage. You've got the blue stick of destiny. Would you like a drink? LOKI
Stalling me won't change anything. TONY
No, no, no! Threatening. No drink? You sure? I'm having one. LOKI
The CHITAURI are coming, nothing will change that. What have I to fear? TONY
THE AVENGERS.
(Loki looks at him, confused) It's what we call ourselves, sort of like a team. `EARTH'S MIGHTIEST HEROES' type of thing. LOKI
Yes, I've met them. TONY
(SMILING)
Yeah, takes us a while to get any traction, I'll give you that one. TONY (CONT'D)
But, let's do a head count here. Your brother, the demi-God; a super soldier, a living legend who kind of lives up to the legend; a man with breath-taking anger management issues; a couple of master assassins, and you, big fella, you've managed to piss off every single one of them. LOKI
That was the plan. TONY
Not a great plan. When they come, and they will, they'll come for you. From underneath the bar table, Tony pulls on COLANTOTTE BRACELETS, a honing device. LOKI
I have an army. TONY
We have a HULK. LOKI
I thought the beast had wandered off. TONY
You're missing the point. There's no throne, there is no version of this, where you come out on top. Maybe your army comes and maybe it's too much for us, but it's all on you. Because if we can't protect the Earth, you can be damned well sure we'll avenge it. LOKI
(slowly walks up to him; raising the scepter) How will your friends have time for me,when they're so busy fighting you? Loki TAPS Tony on the chest with his scepter. PING! Nothing. Confused, Loki tires again. PING! NOTHING. LOKI
It should work. TONY
Well, performance issues. You know? In anger, Loki GRABS Tony by the throat and FLINGS him across the room. TONY
Jarvis. Anytime now. Loki grabs Tony by the throat again. LOKI
You will all fall before me. LOKI THROWS TONY OUT THE WINDOW. Tony FREEFALLS down the tower. From behind Loki, an elevator opens and a RED POD SHOOTS out. The pod LASER SIGNALS the COLANTOTTE BRACELETS on Tony. The POD begins to TRANSFORM into the MARK VII suit. It LATCHES onto Tony. IRON MAN. The suit FLIES up before he hits the ground or the gazing people. Loki looks up, angry. IRON MAN
And there's one other person you pissed off! His name was Phil. Loki raises the scepter. IRON MAN FIRES at Loki, sending him on his ass. EXT. STARK TOWER � DAY
Selvig looks up at the sky. The Tesseract's energy BEAMS into the sky. The beam then forms a VORTEX, which then opens up ANOTHER PORTAL.
EXT. VASTNESS OF SPACE
A hole in space rips open, and from it, the CHITAURI ARMY SPILLS out in FLYING CHARIOTS, carrying ENERGY RIFLES with a bayonet on the end. INSIDE THE SUIT
TONY
Right. Army. IRON MAN flies up towards the portal. From his shoulders, a miniature multiple rocket launcher, pops out and FIRES. Like the JERICHO MISSILE, several targets are taken down unlike no missile. It's useless. THOUSANDS OF CHITAURI FLY OUT. IRON MAN flies towards the city. EXT. MANHATTAN � DAY
The CHITAURI UNLEASH. New Yorkers fill the streets, staring at the fire fight in the distance. BOOM!!! The CHITAURI unleashes BLASTS as it goes, blowing up cars, setting storefronts aflame. AN EXPLOSION RIPS OUT THE WINDOWS OF THE TOP CORNER OF
BUILDINGS. FLAME AND STONE RAIN DOWN. A DOMINO-EFFECT OF
EXPLOSIONS RIPPLING ACROSS THE BRIDGE.
EXT. STARK TOWER � DAY
Loki walks onto the balcony as the SOUNDS of the CHITAURI rings out. He admires his soon to be kingdom. THOR LANDS ON THE TOWER. Loki turns to his ENEMY. THOR
Loki! Turn off the Tesseract or I'll destroy it! LOKI
You can't. There is no stopping it. There is only the war! THOR
So be it. Loki and Thor rush at each other. They and their weapons collide. The two battle -- Loki unleashing another pent-up rage and jealousy, Thor having no choice but to defend himself. EXT. MANHATTAN � DAY
SOLDIERS AND COPS have taken positions covering the streets. They see from the sky, IRON MAN leading a trail of CHITAURI towards his tower. EXT. SKY � DAY
The QUINJET BOOMS into the city. BLACK WIDOW (V.O.)
Stark, we're heading north east. INSIDE THE SUIT
IRON MAN
What, did you stop for drive-thru? Swing up PARK, I'm gonna lay 'em out for you. EXT. STARK TOWER � DAY
IRON MAN BANKS around his tower. Sees Thor and Loki still going at it. IRON MAN SWOOPS down the street, causing a CHITAURI to crash. Flying up, IRON MAN puts the following CHITAURI in view of the QUINJET. BLACK WIDOW takes out machine gun and FIRES at the CHITAURI.
INSIDE THE SUIT
JARVIS
Sir, we have more incoming. TONY
Fine. Let's keep them occupied. IRON MAN heads back to the portal. EXT. STARK TOWER � DAY
Thor and Loki battle savagely. Loki fires ENERGY from the scepter, sending Thor sliding across the floor. INT. QUINJET � DAY
HAWKEYE looks out to his left window, finding a target. HAWKEYE
Yeah. BLACK WIDOW
See them. HAWKEYE BANKS the jet towards STARK TOWER. Aims the MINIGUN at Loki. Loki AIMS the scepter at the QUINJET and FIRES A BLAST OF ENERGY. Thor gets to his feet, TACKLING Loki down hard. THE QUINJET is soon caught on fire. HAWKEYE maneuvers one wing of the jet. They SPIN and SLOW. DROPPING OUT OF THE AIR AS IT PASSES OVER SKYSCRAPERS. Then... they SLAM into the street. INT. QUINJET � DAY
With everyone okay, HAWKEYE and BLACK WIDOW unfasten their seatbelts and open the ramp. CAPTAIN AMERICA runs down, followed by HAWKEYE and BLACK WIDOW. Each one has their respected weapons in hand. EXT. FOUR WAY STREET � DAY
The TRIO arrives in the middle of a four-way street. Suddenly, the city LURCHES to a stop. A DEEP, PRIMAL RAGE BELLOWS OUT. With that roar, a SHADOW comes over them. EXT. VASTNESS OF SPACE
From the portal, a FUCKING CHITAURI LEVIATHAN FLIES OUT! Carrying hundreds of SOLDIERS, the CHITAURI LEVIATHAN PASSES OVER the TRIO. EXT. BRIDGE STREET � DAY
They look up, out of their element. From both sides, CHITAURI SOLDIERS CLING OFF and attach themselves to the sides of the buildings, sliding down. Some CRASH into these buildings and begin FIRING from their ENERGY RIFLES at innocent people. CAPTAIN AMERICA
Stark, are you seeing this? INSIDE THE SUIT
TONY
I'm seeing, still working on believing. Where's Banner? Has he shown up yet? CAPTAIN AMERICA (V.O.)
Banner? TONY
Just keep me posted. Jarvis, find me a soft spot. IRON MAN quietly flies behind and parallel with the CHITAURI LEVIATHAN.
EXT. STARK TOWER � DAY
Thor holds down Loki's face straight ahead, forcing him to watch the city falling to ash. THOR
Look at this! Look around you! You think this madness will end with your rule? LOKI
(tries to look away) It's too late. It's too late to stopit. THOR
No. We can. Together. Loki looks at his brother, showing a sign of hope. Then... Loki stabs Thor with a small knife. Thor keels over. LOKI
Sentiment. Thor gets up, KICKS Loki and lifts him into the air. Thor then SLAMS him down, hard. Loki, bleeding, rolls over the edge. Thor looks down. LOKI IS RIDING ON A FLYING CHARIOT. DOZENS of CHITAURI follow his lead. EXT. BRIDGE STREET � DAY
The TRIO runs behind upside taxis. They look up and see Loki taking his band down the street and FIRES at the street IN A CHAIN OF EXPLOSIONS. SMASHING CARS AND HURLING PEOPLE AS IT GOES
IT GOES OFF IN ONE FINAL CONFLAGRATION.
TERRIFIED PEOPLE running from Loki, looking over their shoulders, coming straight at us. CAPTAIN AMERICA looks down the bridge. CAPTAIN AMERICA
Those people need assistance down there. CHITAURI SOLDIERS that have landed near them and begin FIRING at them. BLACK WIDOW pulls both pistols and FIRES. Turns to Cap. BLACK WIDOW
We got this. It's good. Go! CAPTAIN AMERICA
(AT HAWKEYE)
You think you can hold them off? HAWKEYE
Captain. (pulls a trigger on his bow; a narrow is mechanically CHOSEN)
It would be my genuine pleasure. HAWKEYE shoots an ARROW into the creature's head, gaining a few seconds for CAPTAIN AMERICA as he falls down the bridge, followed by an EXPLOSION. Cap races over to the plaza, jumping over dozens of EXPLODING cars. THE FIRST AVENGER RUNS LIKE A FUCKING CHEETAH. HAWKEYE runs over a bus full of people. From the windows, SMALL CHILDREN are held by their parents for HAWKEYE to pull them out to safety. He runs over to the jammed door and JERKILY opens it. People begin to run out. BLACK WIDOW empties out her CLIPS. HAWKEYE fires ARROWS into the ranks of the CHITAURI, hitting his mark each time he shoots. BLACK WIDOW
Just like BUDAPEST all over again! HAWKEYE
You and I remember Budapest verydifferently. EXT. MANHATTAN � DAY
The COPS continuously fire at the flying chariots. It's pretty pointless. A YOUNG COP runs over to his POLICE SERGEANT. YOUNG COP
We need to get out! They gotta bring the National Guard! POLICE SERGEANT
National Guard? Does the army know what's happening here? YOUNG COP
Do we? CAPTAIN AMERICA jumps in front of them. They look up at this ridiculous looking man. CAPTAIN AMERICA
I need men in these buildings. There are people inside that can run into the line of fire. You take them through the basement or through the subway. You keep them off the streets. I need a perimeter as far back as 39th. POLICE SERGEANT
Why the hell should I take orders from you? Suddenly, an EXPLOSION comes up from behind Cap. An ENERGY BLAST is blocked by his SHIELD. TWO CHITAURI SOLDIERS attack. The cops watch in shock as CAPTAIN AMERICA FIGHTS them off with ease. The Sergeant turns to his officer. POLICE SERGEANT
I need men in those buildings, lead the people down and away from the streets. I need a perimeter as far back as 39th. EXT. SKY LINE � DAY
IRON MAN swerves around a building and faces the CHITAURI LEVIATHAN. He pulls out his miniature multiple rocket launcher and FIRES. The CHITAURI LEVIATHAN ROARS in annoyance. The CHITAURI LEVIATHAN turns to him. IRON MAN
BRIDGE STREET � DAY
The rest of the AVENGERS look up, getting ready and standing still. BLACK WIDOW
I... I don't see how that's a party... IRON MAN SWOOPS down the street. The CHITAURI LEVIATHAN also swoops down, BARRELING down the street like a FREIGHT TRAIN that keeps building and building its intensity.Banner looks behind. Cap looks at him. Banner begins to walk towards the monster. CAPTAIN AMERICA
Dr. Banner. Now might be a really good time for you to get angry. BANNER
That's my secret, Captain. I'm always angry. Banner's body starts to swell and stretch and harden. GREEN SHOOTS THROUGH HIS BODY. THE HULK.
Aaaannndddd.........SSSMMMAAASSSHHH!!!! HULK POPS the CHITAURI LEVIATHAN IN THE NOSE. THE CREATURE FLIPS OVER A 360.
IRON MAN, in mid-flight, extends his arm out and a ROCKET, ready to shoot. IRON MAN FIRES -- the rocket hits a SOFT SPOT � LARGE CHITAURI LEVIATHAN are BLOWN COMPLETELY AWAY. Real pain from the CHITAURI LEVIATHAN. Other pieces of meat CATCH FIRE and withdraw... SIZZLE as they hit the pavement. CAPTAIN AMERICA raises his SHIELD to block them. From above and on the buildings, the CHITAURI ARMY watches in horror as a group of EARTH'S MIGHTIEST HEROES FIND THEMSELVES UNITED AGAINST A COMMON THREAT. TO FIGHT THE FOES NO SINGLE
SUPER HERO COULD WITHSTAND! THE AVENGERS ASSEMBLE!
EXT. SKY � DAY
Loki watches below, motionless. LOKI
Send the rest. EXT. VASTNESS OF SPACE
From the portal, THOUSANDS MORE OF CHITAURI SOLDIERS AND EVEN MORE CHITAURI LEVIATHANS FLY OUT!
EXT. BRIDGE STREET � DAY
THE AVENGERS look up. Way out of their fucking element. BLACK WIDOW
Guys. IRON MAN
Call it, Cap. CAPTAIN AMERICA
Alright, listen up. Until we can close that portal up there, we're gonna use containment. Barton, I want you on that roof, eyes on everything. Call out patterns and strays. Stark, you got the perimeter. Anything gets more than three blocks out, you turn it back or your turn it to ash. HAWKEYE
Wanna give me a lift? IRON MAN
Right. Better clench up, LEGOLAS. IRON MAN lifts HAWKEYE up to the building. CAPTAIN AMERICA
Thor, you've gotta try and bottleneck that portal. Slow them down. You've got the lightning. Light the bastards up. (Thor flies up; to Natasha) You and me, we stay here on the ground, keep the fighting here. And Hulk.SMASH. THE HULK SMILES A MOST MAGNIFICENT GRIN AND LEAPS, SOARING HIGH
UP INTO THE NEAREST BUILDING, HULK RUNS UP THE WALL HITS SEVERAL
CHITAURI SOLDIERS, SNAPPING IN HALF.
HE DIVES TOWARDS A BUILDING ON THE OTHER SIDE OF THE STREET,
THROWING THE DEAD CHITAURI SOLDIERS TOWARDS OTHER SOLDIERS. The CHITAURI SOLDIERS fire at him. THE HULK BACKHANDS THEM, SEIZES THEM AND WITH RAW POWER, THROWS THEM DOWN.
7 ALPHA 11 PILOT
7 ALPHA 11, confirmed. Prepare to takeoff. He ignites his engine. INT. HELICARRIER BRIDGE � DAY
Back in the bridge, Agent Hill sees on her SCREEN 7 ALPHA 11 preparing to leave. AGENT MARIA HILL
Sir, we have a bird in motion! Anyone on the deck, we have a rogue bird! We need to shut it down! Repeat! Take off is not authorized! EXT. HELICARRIER DECK � DAY
NICK FURY RUNS OUT TO THE DECK, HOLDING A FUCKING AIRTRONIC RPG-
7. He takes AIM and FIRES, HITTING the TAIL END of the jet. The jet SKIDS OFF towards the edge. PILOT UNHARMED. Suddenly, another 7 ALPHA 11 JET FLIES off. Fury stands there, knowing he can't do anything about it. NICK FURY
Stark, you hearing me? We have a missile headed straight for the city. IRON MAN (V.O.)
How long? NICK FURY
Three minutes, at best. Stay low and wipe out the missile. EXT. MANHATTAN � DAY
IRON MAN fights off as many CHITAURI SOLDIERS as he sustain. IRON MAN
Jarvis, put everything we got into the thrusters! JARVIS
I just did. IRON MAN leaves the streets and flies up into the sky. EXT. SKY � DAY
7 ALPHA 11 arrives outside the city. He flips the switch to press the button. He presses it. THE MISSILE IS FLYING OUT TO MANHATTAN.
THE END
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English
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32k
|
T11. Dialogue Memory & Long-Horizon Tracking
|
T11.1 Long-Range Entity & Commitment Tracking
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Full
|
In the detailed narrative of "The Avengers" provided, which option accurately reflects the precise sequence of events, character interactions, and causal relationships without any deviations? Output the "[Answer]" identifier first, and then output the answer option letter (A/B/C/D), without any additional content.
A. When Agent Coulson went to the armory to get the Phase 2 weapon prototype, he used facial recognition to enter. After confronting Loki in the detention section, he first warned Loki to move away from the control panel, then Loki used an illusion to distract him, and finally Coulson was impaled by Loki who appeared behind him. Before dying, Coulson shot Loki with the Phase 2 weapon, sending Loki through the wall.
B. After the Helicarrier's Engine 3 was damaged by Barton's grenade-tipped arrow, Tony flew to repair it. He asked Cap to operate the control panel to reverse polarity. Cap couldn't understand the technical terms, so Tony told him to find the red lever. Cap climbed up the loose cable to reach the lever, pulled it, and Tony, who was caught in the rotors, fell out of the vent and survived.
C. When Natasha was interrogated by Luchkov in Russia, Coulson called Luchkov and threatened to blow up the block with an F22 8 miles away. Natasha then took the opportunity to attack: she hit Luchkov with her leg and headbutted him, knocked out the Tall Thug by stomping his foot with the chair peg and hitting him with her head, broke the chair by falling on the Weaselly Thug, and finally dangled Luchkov with a chain.
D. After the Avengers assembled on Bridge Street to face the Chitauri, Cap assigned tasks: Barton went to the roof with Iron Man's help, Thor bottlenecked the portal with lightning, Natasha and Cap stayed on the ground, and Hulk smashed enemies. Then, the World Security Council launched a missile to New York. Fury informed Tony, who flew to intercept it with full thruster power.
Output example:
[Answer]
D
|
In the detailed narrative of "The Avengers" provided, which option accurately reflects the precise sequence of events, character interactions, and causal relationships without any deviations? Think step by step. After your thinking process, output the "[Answer]" identifier, and then output the answer option letter (A/B/C/D).
A. When Agent Coulson went to the armory to get the Phase 2 weapon prototype, he used facial recognition to enter. After confronting Loki in the detention section, he first warned Loki to move away from the control panel, then Loki used an illusion to distract him, and finally Coulson was impaled by Loki who appeared behind him. Before dying, Coulson shot Loki with the Phase 2 weapon, sending Loki through the wall.
B. After the Helicarrier's Engine 3 was damaged by Barton's grenade-tipped arrow, Tony flew to repair it. He asked Cap to operate the control panel to reverse polarity. Cap couldn't understand the technical terms, so Tony told him to find the red lever. Cap climbed up the loose cable to reach the lever, pulled it, and Tony, who was caught in the rotors, fell out of the vent and survived.
C. When Natasha was interrogated by Luchkov in Russia, Coulson called Luchkov and threatened to blow up the block with an F22 8 miles away. Natasha then took the opportunity to attack: she hit Luchkov with her leg and headbutted him, knocked out the Tall Thug by stomping his foot with the chair peg and hitting him with her head, broke the chair by falling on the Weaselly Thug, and finally dangled Luchkov with a chain.
D. After the Avengers assembled on Bridge Street to face the Chitauri, Cap assigned tasks: Barton went to the roof with Iron Man's help, Thor bottlenecked the portal with lightning, Natasha and Cap stayed on the ground, and Hulk smashed enemies. Then, the World Security Council launched a missile to New York. Fury informed Tony, who flew to intercept it with full thruster power.
Output example:
<Your thinking process>
[Answer]
D
|
[
"B"
] |
Hard
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9fc96a00488adbfdaa8db1c3d40a9ef2cfd9e7da27c84f4d4b0d2982522425df
|
ADVANCED MICRO DEVICES, INC.
CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS
(Millions except per share amounts and percentages) (Unaudited)
Three Months Ended Year Ended
December 28,
2024 September 28,
2024 December 30,
2023 December 28,
2024 December 30,
2023
Net revenue $ 7,658 $ 6,819 $ 6,168 $ 25,785 $ 22,680
Cost of sales 3,524 3,167 3,042 12,114 11,278
Amortization of acquisition-related intangibles 252 233 215 946 942
Total cost of sales 3,776 3,400 3,257 13,060 12,220
Gross profit 3,882 3,419 2,911 12,725 10,460
Gross margin 51% 50% 47% 49% 46%
Research and development 1,712 1,636 1,511 6,456 5,872
Marketing, general and administrative 792 721 644 2,783 2,352
Amortization of acquisition-related intangibles 332 352 420 1,448 1,869
Licensing gain (11) (14) (6) (48) (34)
Restructuring charges 186 - - 186 -
Operating income 871 724 342 1,900 401
Interest expense (19) (23) (27) (92) (106)
Other income (expense), net 37 36 49 181 197
Income before income taxes and equity income 889 737 364 1,989 492
Income tax provision (benefit) 419 (27) (297) 381 (346)
Equity income in investee 12 7 6 33 16
Net income $ 482 $ 771 $ 667 $ 1,641 $ 854
Earnings per share
Basic $ 0.30 $ 0.48 $ 0.41 $ 1.01 $ 0.53
Diluted $ 0.29 $ 0.47 $ 0.41 $ 1.00 $ 0.53
Shares used in per share calculation
Basic 1,623 1,620 1,616 1,620 1,614
Diluted 1,634 1,636 1,628 1,637 1,625
ADVANCED MICRO DEVICES, INC.
CONDENSED CONSOLIDATED BALANCE SHEETS
(Millions)
December 28,
2024
(Unaudited) December 30,
2023
ASSETS
Current assets:
Cash and cash equivalents $ 3,787 $ 3,933
Short-term investments 1,345 1,840
Accounts receivable, net 6,192 4,323
Inventories 5,734 4,351
Receivables from related parties 113 9
Prepaid expenses and other current assets 1,878 2,312
Total current assets 19,049 16,768
Property and equipment, net 1,802 1,589
Operating lease right-of-use assets 623 633
Goodwill 24,839 24,262
Acquisition-related intangibles, net 18,930 21,363
Investment: equity method 149 99
Deferred tax assets 688 366
Other non-current assets 3,146 2,805
Total Assets $ 69,226 $ 67,885
LIABILITIES AND STOCKHOLDERS' EQUITY
Current liabilities:
Accounts payable $ 1,990 $ 2,055
Payables to related parties 476 363
Accrued liabilities 4,260 3,082
Current portion of long-term debt, net - 751
Other current liabilities 555 438
Total current liabilities 7,281 6,689
Long-term debt, net of current portion 1,721 1,717
Long-term operating lease liabilities 491 535
Deferred tax liabilities 349 1,202
Other long-term liabilities 1,816 1,850
Stockholders' equity:
Capital stock:
Common stock, par value 17 17
Additional paid-in capital 61,362 59,676
Treasury stock, at cost (6,106) (4,514)
Retained earnings 2,364 723
Accumulated other comprehensive loss (69) (10)
Total stockholders' equity 57,568 55,892
Total Liabilities and Stockholders' Equity $ 69,226 $ 67,885
ADVANCED MICRO DEVICES, INC.
CONDENSED CONSOLIDATED STATEMENTS OF CASH FLOWS
(Millions) (Unaudited)
Three Months Ended Year Ended
December 28,
2024 December 30,
2023 December 28,
2024 December 30,
2023
Cash flows from operating activities:
Net income $ 482 $ 667 $ 1,641 $ 854
Adjustments to reconcile net income to net cash provided by operating activities:
Depreciation and amortization 172 164 671 642
Amortization of acquisition-related intangibles 583 635 2,393 2,811
Stock-based compensation 339 374 1,407 1,384
Amortization of operating lease right-of-use assets 31 25 113 98
Deferred income taxes (300) (219) (1,163) (1,019)
Inventory loss at contract manufacturer - - 65 -
Other 62 (23) 12 (54)
Changes in operating assets and liabilities
Accounts receivable, net 96 (379) (1,865) (1,339)
Inventories (362) 94 (1,458) (580)
Prepaid expenses and other assets 494 (34) 343 (383)
Receivables from and payables to related parties, net 30 29 108 (107)
Accounts payable (585) (181) (109) (419)
Accrued and other liabilities 257 (771) 883 (221)
Net cash provided by operating activities 1,299 381 3,041 1,667
Cash flows from investing activities:
Purchases of property and equipment (208) (139) (636) (546)
Purchases of short-term investments (786) (410) (1,493) (3,722)
Proceeds from maturity of short-term investments 65 770 1,416 2,687
Proceeds from sale of short-term investments 25 52 616 300
Acquisitions, net of cash acquired - (117) (548) (131)
Related party equity method investment - - (17) -
Issuance of loan to related party (100) - (100) -
Purchase of strategic investments (210) (6) (341) (11)
Other - - 2 -
Net cash provided by (used in) investing activities (1,214) 150 (1,101) (1,423)
Cash flows from financing activities:
Repayment of debt - - (750) -
Proceeds from sales of common stock through employee equity plans 127 120 279 268
Repurchases of common stock (256) (233) (862) (985)
Common stock repurchases for tax withholding on employee equity plans (42) (45) (728) (427)
Other - (1) (1) (2)
Net cash used in financing activities (171) (159) (2,062) (1,146)
Net increase (decrease) in cash, cash equivalents and restricted cash (86) 372 (122) (902)
Cash, cash equivalents and restricted cash at beginning of period 3,897 3,561 3,933 4,835
Cash, cash equivalents and restricted cash at end of period $ 3,811 $ 3,933 $ 3,811 $ 3,933
ADVANCED MICRO DEVICES, INC.
SELECTED CORPORATE DATA
(Millions) (Unaudited)
Three Months Ended Year Ended
Segment and Category Information (1) December 28,
2024 September 28,
2024 December 30,
2023 December 28,
2024 December 30,
2023
Data Center
Net revenue $ 3,859 $ 3,549 $ 2,282 $ 12,579 $ 6,496
Operating income $ 1,157 $ 1,041 $ 666 $ 3,482 $ 1,267
Client
Net revenue $ 2,313 $ 1,881 $ 1,461 $ 7,054 $ 4,651
Operating income (loss) $ 446 $ 276 $ 55 $ 897 $ (46)
Gaming
Net revenue $ 563 $ 462 $ 1,368 $ 2,595 $ 6,212
Operating income $ 50 $ 12 $ 224 $ 290 $ 971
Embedded
Net revenue $ 923 $ 927 $ 1,057 $ 3,557 $ 5,321
Operating income $ 362 $ 372 $ 461 $ 1,421 $ 2,628
All Other
Net revenue $ - $ - $ - $ - $ -
Operating loss $ (1,144) $ (977) $ (1,064) $ (4,190) $ (4,419)
Total
Net revenue $ 7,658 $ 6,819 $ 6,168 $ 25,785 $ 22,680
Operating income $ 871 $ 724 $ 342 $ 1,900 $ 401
Other Data
Capital expenditures $ 208 $ 132 $ 139 $ 636 $ 546
Adjusted EBITDA (2) $ 2,212 $ 1,887 $ 1,576 $ 6,824 $ 5,496
Cash, cash equivalents and short-term investments $ 5,132 $ 4,544 $ 5,773 $ 5,132 $ 5,773
Free cash flow (3) $ 1,091 $ 496 $ 242 $ 2,405 $ 1,121
Total assets $ 69,226 $ 69,636 $ 67,885 $ 69,226 $ 67,885
Total debt $ 1,721 $ 1,720 $ 2,468 $ 1,721 $ 2,468
See footnotes on the next page
(1) The Data Center segment primarily includes Artificial Intelligence (AI) accelerators, server microprocessors (CPUs), graphics processing units (GPUs), accelerated processing units (APUs), data processing units (DPUs), Field Programmable Gate Arrays (FPGAs), Smart Network Interface Cards (SmartNICs) and Adaptive System-on- Chip (SoC) products for data centers.
The Client segment primarily includes CPUs, APUs, and chipsets for desktops and notebooks.
The Gaming segment primarily includes discrete GPUs, and semi-custom SoC products and development services.
The Embedded segment primarily includes embedded CPUs, GPUs, APUs, FPGAs, System on Modules (SOMs), and Adaptive SoC products. From time to time, the Company may also sell or license portions of its IP portfolio.
All Other category primarily includes certain expenses and credits that are not allocated to any of the operating segments, such as amortization of acquisition-related intangible asset, employee stock-based compensation expense, acquisition-related and other costs, inventory loss at contract manufacturer, restructuring charges and licensing gain.
(2) Reconciliation of GAAP Net Income to Adjusted EBITDA
Three Months Ended Year Ended
(Millions) (Unaudited) December 28,
2024 September 28,
2024 December 30,
2023 December 28,
2024 December 30,
2023
GAAP net income $ 482 $ 771 $ 667 $ 1,641 $ 854
Interest expense 19 23 27 92 106
Other (income) expense, net (37) (36) (49) (181) (197)
Income tax provision (benefit) 419 (27) (297) 381 (346)
Equity income in investee (12) (7) (6) (33) (16)
Stock-based compensation 339 351 374 1,407 1,380
Depreciation and amortization 186 171 164 685 642
Amortization of acquisition-related intangibles 584 585 635 2,394 2,811
Inventory loss at contract manufacturer - - - 65 -
Acquisition-related and other costs 46 56 61 187 262
Restructuring charges 186 - - 186 -
Adjusted EBITDA $ 2,212 $ 1,887 $ 1,576 $ 6,824 $ 5,496
The Company presents “Adjusted EBITDA” as a supplemental measure of its performance. Adjusted EBITDA for the Company is determined by adjusting GAAP net income for interest expense, other (income) expense, net, income tax provision (benefit), equity income in investee, stock-based compensation, depreciation and amortization expense, amortization of acquisition-related intangibles, inventory loss at contract manufacturer, acquisition-related and other costs, and restructuring charges. The Company calculates and presents Adjusted EBITDA because management believes it is of importance to investors and lenders in relation to its overall capital structure and its ability to borrow additional funds. In addition, the Company presents Adjusted EBITDA because it believes this measure assists investors in comparing its performance across reporting periods on a consistent basis by excluding items that the Company does not believe are indicative of its core operating performance. The Company’s calculation of Adjusted EBITDA may or may not be consistent with the calculation of this measure by other companies in the same industry. Investors should not view Adjusted EBITDA as an alternative to the GAAP operating measure of income or GAAP liquidity measures of cash flows from operating, investing and financing activities. In addition, Adjusted EBITDA does not take into account changes in certain assets and liabilities that can affect cash flows.
The Company presents “Adjusted EBITDA” as a supplemental measure of its performance. Adjusted EBITDA for the Company is determined by adjusting GAAP net income for interest expense, other (income) expense, net, income tax provision (benefit), equity income in investee, stock-based compensation, depreciation and amortization expense, amortization of acquisition-related intangibles, inventory loss at contract manufacturer, acquisition-related and other costs, and restructuring charges. The Company calculates and presents Adjusted EBITDA because management believes it is of importance to investors and lenders in relation to its overall capital structure and its ability to borrow additional funds. In addition, the Company presents Adjusted EBITDA because it believes this measure assists investors in comparing its performance across reporting periods on a consistent basis by excluding items that the Company does not believe are indicative of its core operating performance. The Company’s calculation of Adjusted EBITDA may or may not be consistent with the calculation of this measure by other companies in the same industry. Investors should not view Adjusted EBITDA as an alternative to the GAAP operating measure of income or GAAP liquidity measures of cash flows from operating, investing and financing activities. In addition, Adjusted EBITDA does not take into account changes in certain assets and liabilities that can affect cash flows.
The Company presents “Adjusted EBITDA” as a supplemental measure of its performance. Adjusted EBITDA for the Company is determined by adjusting GAAP net income for interest expense, other (income) expense, net, income tax provision (benefit), equity income in investee, stock-based compensation, depreciation and amortization expense, amortization of acquisition-related intangibles, inventory loss at contract manufacturer, acquisition-related and other costs, and restructuring charges. The Company calculates and presents Adjusted EBITDA because management believes it is of importance to investors and lenders in relation to its overall capital structure and its ability to borrow additional funds. In addition, the Company presents Adjusted EBITDA because it believes this measure assists investors in comparing its performance across reporting periods on a consistent basis by excluding items that the Company does not believe are indicative of its core operating performance. The Company’s calculation of Adjusted EBITDA may or may not be consistent with the calculation of this measure by other companies in the same industry. Investors should not view Adjusted EBITDA as an alternative to the GAAP operating measure of income or GAAP liquidity measures of cash flows from operating, investing and financing activities. In addition, Adjusted EBITDA does not take into account changes in certain assets and liabilities that can affect cash flows.
The Company presents “Adjusted EBITDA” as a supplemental measure of its performance. Adjusted EBITDA for the Company is determined by adjusting GAAP net income for interest expense, other (income) expense, net, income tax provision (benefit), equity income in investee, stock-based compensation, depreciation and amortization expense, amortization of acquisition-related intangibles, inventory loss at contract manufacturer, acquisition-related and other costs, and restructuring charges. The Company calculates and presents Adjusted EBITDA because management believes it is of importance to investors and lenders in relation to its overall capital structure and its ability to borrow additional funds. In addition, the Company presents Adjusted EBITDA because it believes this measure assists investors in comparing its performance across reporting periods on a consistent basis by excluding items that the Company does not believe are indicative of its core operating performance. The Company’s calculation of Adjusted EBITDA may or may not be consistent with the calculation of this measure by other companies in the same industry. Investors should not view Adjusted EBITDA as an alternative to the GAAP operating measure of income or GAAP liquidity measures of cash flows from operating, investing and financing activities. In addition, Adjusted EBITDA does not take into account changes in certain assets and liabilities that can affect cash flows.
The Company presents “Adjusted EBITDA” as a supplemental measure of its performance. Adjusted EBITDA for the Company is determined by adjusting GAAP net income for interest expense, other (income) expense, net, income tax provision (benefit), equity income in investee, stock-based compensation, depreciation and amortization expense, amortization of acquisition-related intangibles, inventory loss at contract manufacturer, acquisition-related and other costs, and restructuring charges. The Company calculates and presents Adjusted EBITDA because management believes it is of importance to investors and lenders in relation to its overall capital structure and its ability to borrow additional funds. In addition, the Company presents Adjusted EBITDA because it believes this measure assists investors in comparing its performance across reporting periods on a consistent basis by excluding items that the Company does not believe are indicative of its core operating performance. The Company’s calculation of Adjusted EBITDA may or may not be consistent with the calculation of this measure by other companies in the same industry. Investors should not view Adjusted EBITDA as an alternative to the GAAP operating measure of income or GAAP liquidity measures of cash flows from operating, investing and financing activities. In addition, Adjusted EBITDA does not take into account changes in certain assets and liabilities that can affect cash flows.
(3) Reconciliation of GAAP Net Cash Provided by Operating Activities to Free Cash Flow
Three Months Ended Year Ended
(Millions except percentages) (Unaudited) December 28,
2024 September 28,
2024 December 30,
2023 December 28,
2024 December 30,
2023
GAAP net cash provided by operating activities $ 1,299 $ 628 $ 381 $ 3,041 $ 1,667
Operating cash flow margin % 17% 9% 6% 12% 7%
Purchases of property and equipment (208) (132) (139) (636) (546)
Free cash flow $ 1,091 $ 496 $ 242 $ 2,405 $ 1,121
Free cash flow margin % 14% 7% 4% 9% 5%
The Company also presents free cash flow as a supplemental Non-GAAP measure of its performance. Free cash flow is determined by adjusting GAAP net cash provided by operating activities for capital expenditures, and free cash flow margin % is free cash flow expressed as a percentage of the Company's net revenue. The Company calculates and communicates free cash flow in the financial earnings press release because management believes it is of importance to investors to understand the nature of these cash flows. The Company’s calculation of free cash flow may or may not be consistent with the calculation of this measure by other companies in the same industry.
Investors should not view free cash flow as an alternative to GAAP liquidity measures of cash flows from operating activities.
The Company has provided reconciliations within the earnings press release of these Non-GAAP financial measures to the most directly comparable GAAP financial measures.
RECONCILIATION OF GAAP TO NON-GAAP FINANCIAL MEASURES
(in millions, except per share data) (Unaudited)
Three Months Ended Year Ended
December 28,
2024 September 28,
2024 December 30,
2023 December 28,
2024 December 30,
2023
GAAP gross profit $ 3,882 $ 3,419 $ 2,911 $ 12,725 $ 10,460
GAAP gross margin 51% 50% 47% 49% 46%
Stock-based compensation 6 5 6 22 30
Amortization of acquisition-related intangibles 252 233 215 946 942
Acquisition-related and other costs (1) - - 1 1 4
Inventory loss at contract manufacturer (2) - - - 65 -
Non-GAAP gross profit $ 4,140
$ 3,657
$ 3,133 $ 13,759 $ 11,436
Non-GAAP gross margin 54% 54% 51% 53% 50%
GAAP operating expenses $ 3,022 $ 2,709 $ 2,575 $ 10,873 $ 10,093
GAAP operating expenses/revenue % 39% 40% 42% 42% 45%
Stock-based compensation 333 346 368 1,385 1,350
Amortization of acquisition-related intangibles 332 352 420 1,448 1,869
Acquisition-related and other costs (1) 46 55 60 185 258
Restructuring charges (3) 186 - - 186 -
Non-GAAP operating expenses $ 2,125
$ 1,956
$ 1,727 $ 7,669 $ 6,616
Non-GAAP operating expenses/revenue % 28% 29% 28% 30% 29%
GAAP operating income $ 871 $ 724 $ 342 $ 1,900 $ 401
GAAP operating margin 11% 11% 6% 7% 2%
Stock-based compensation 339 351 374 1,407 1,380
Amortization of acquisition-related intangibles 584 585 635 2,394 2,811
Acquisition-related and other costs (1) 46 55 61 186 262
Inventory loss at contract manufacturer (2) - - - 65 -
Restructuring charges (3) 186 - - 186 -
Non-GAAP operating income $ 2,026
$ 1,715
$ 1,412 $ 6,138 $ 4,854
Non-GAAP operating margin 26% 25% 23% 24% 21%
Three Months Ended Year Ended
December 28,
2024 September 28,
2024 December 30,
2023 December 28,
2024 December 30,
2023
GAAP net income / earnings per share $ 482 $ 0.29 $ 771 $ 0.47 $ 667 $ 0.41 $ 1,641 $ 1.00 $ 854 $ 0.53
(Gains) losses on equity investments, net - - (1) - 1 - 2 - (1) -
Stock-based compensation 339 0.21 351 0.21 374 0.23 1,407 0.86 1,380 0.85
Equity income in investee (12) (0.01) (7) - (6) - (33) (0.02) (16) (0.01)
Amortization of acquisition-related intangibles 584 0.36 585 0.36 635 0.39 2,394 1.46 2,811 1.73
Acquisition-related and other costs (1) 46 0.03 56 0.03 61 0.04 187 0.11 262 0.16
Inventory loss at contract manufacturer (2) - - - - - - 65 0.04 - -
Restructuring charges (3) 186 0.11 - - - - 186 0.11 - -
Income tax provision 152 0.10 (251) (0.15) (483) (0.30) (429) (0.25) (988) (0.61)
Non-GAAP net income / earnings per share $ 1,777 $ 1.09 $ 1,504 $ 0.92 $ 1,249 $ 0.77 $ 5,420 $ 3.31 $ 4,302 $ 2.65
(1) Acquisition-related and other costs primarily include transaction costs, purchase price fair value adjustments for inventory, certain compensation charges, contract termination costs and workforce rebalancing charges.
(2) Inventory loss at contract manufacturer is related to an incident at a third-party contract manufacturing facility.
(3) Restructuring charges are related to the 2024 Restructuring Plan which comprised of employee severance charges and non-cash asset impairments.
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English
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8k
|
T8. Structured & Numeric Reasoning
|
T8.2 Single-Source Targeted Aggregation
|
Partial
|
According to the data in the "ADVANCED MICRO DEVICES, INC.SELECTED CORP. Data" table, calculate how much (in millions of US dollars) the Operating income of "games" will be higher than that of "clients" for the whole year of 2023? Output the "[Answer]" identifier first, and then output numeric answer (integer, no unit), without any additional content.
Output example:
[Answer]
123
|
According to the data in the "ADVANCED MICRO DEVICES, INC.SELECTED CORP. Data" table, calculate how much (in millions of US dollars) the Operating income of "games" will be higher than that of "clients" for the whole year of 2023? Think step by step. After your thinking process, output the "[Answer]" identifier, and then output numeric answer (integer, no unit), without any additional content.
Output example:
<Your thinking process>
[Answer]
123
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传承弘扬习近平同志在福建工作期间关于人大制度和人大工作的重要理念和重大实践
为在中国式现代化建设中奋勇争先贡献力量
来源： 福建日报 浏览字号： 大 中 小2025年04月29日 11:53
习近平总书记在庆祝全国人民代表大会成立70周年大会上发表重要讲话，强调要进一步坚定道路自信、理论自信、制度自信、文化自信，在新时代新征程坚持好、完善好、运行好人民代表大会制度，努力开创中国式现代化建设新局面。在福建工作期间，习近平同志高度重视人大制度建设和人大工作，提出了一系列重要理念，开创了一系列重大实践，为习近平总书记关于坚持和完善人民代表大会制度的重要思想的形成打下了重要的理论和实践基础。我们要深入学习贯彻习近平总书记关于坚持和完善人民代表大会制度的重要思想，大力传承弘扬习近平同志在福建工作期间的重要理念和重大实践，始终坚持党的领导、人民当家作主、依法治国有机统一，深学争优、敢为争先、实干争效，为推进中国式现代化福建实践、谱写新福建建设新篇章凝聚智慧和力量。
一、坚持和完善人民代表大会制度，走中国特色社会主义政治发展道路
习近平总书记指出，在中国实行人民代表大会制度，是中国人民在人类政治制度史上的伟大创造，是深刻总结近代以后中国政治生活惨痛教训得出的基本结论，是中国社会一百多年激越变革、激荡发展的历史结果，是中国人民翻身作主、掌握自己命运的必然选择。早在福建工作期间，习近平同志就高度重视坚持和完善人民代表大会制度。一是始终坚定人民代表大会制度自信。在宁德工作时强调，人民代表大会制度是我国根本的政治制度。现在需要的是进一步加强和完善这一制度，而不是对制度本身有任何的怀疑和削弱。在福州工作时强调，我们丝毫没有任何理由来否定人民代表大会制度，因为它是保证我国继续沿着社会主义方向前进的一种根本的政治制度。二是重视发挥国家根本政治制度的重要作用。在福州工作时强调，人民代表大会制度是我国的根本政治制度，是保证决策民主化科学化的一种最有效的制度。离开人民代表大会制度，人民当家作主的民主权利就难以保障，发展社会主义民主、健全社会主义法制的根本任务就难以落到实处，建立社会主义市场经济体制的改革目标就难以实现，因而也就不会有国家的长治久安。三是重视推动人民代表大会制度深入人心。在福州工作时，习近平同志领导推进宪法宣传教育活动，部署开展人大性质、地位、作用的学习教育，加深干部群众对国家根本政治制度特点和优势的理解，推动宪法确立的人民民主专政的国体和人民代表大会制度的政体深入人心。这些重要理念和重大实践，充分体现了习近平同志对人民代表大会制度一贯的、坚定的自信和毫不动摇的坚持。
党的十八大以来，以习近平同志为核心的党中央坚持把马克思主义基本原理同中国具体实际相结合、同中华优秀传统文化相结合，深刻把握社会主义民主政治发展规律，系统总结党加强社会主义民主政治建设的实践经验，持续推进人民代表大会制度理论和实践创新，形成习近平总书记关于坚持和完善人民代表大会制度的重要思想，指引人大工作取得历史性成就，推动人民代表大会制度更加成熟、更加定型。我们要坚定不移走中国特色社会主义政治发展道路，毫不动摇坚持、与时俱进完善人民代表大会制度，充分发挥国家根本政治制度的重要作用。
二、坚持党的全面领导，确保人大工作正确政治方向
习近平总书记指出，中国共产党领导是中国特色社会主义最本质的特征。人民代表大会制度是坚持党的领导、人民当家作主、依法治国有机统一的根本政治制度安排。人民代表大会制度具有坚持中国共产党领导、保证党领导人民依法有效治理国家的显著优势。早在福建工作期间，习近平同志就十分重视加强和改善党对人大工作的领导。一是重视加强党委对人大工作的领导。在宁德工作时要求，党委要把人大工作提上重要议事日程，切实担负起领导责任，不断改善和加强对人大的领导，支持人大依法行使职权。在福州工作时强调，加强和改善党对人大工作的领导是搞好人大工作的根本保证。坚持党的领导核心地位，坚持党对人大及其常委会的领导，是宪法规定的我国政权建设中必须始终不渝地遵循的重要原则。二是召开党委人大工作会议并出台加强人大工作决定。习近平同志于1994年主持召开福州市委首次人大工作会议，推动出台关于进一步加强人大工作的决定，推动全市上下形成重视支持人大工作、尊重和维护人大权威的良好局面。在习近平同志的领导下，建立了福州市人大常委会党组定期向市委报告工作、每季度向市委书记报告工作两项重要制度。三是明确地方党委抓好人大工作的六条要求。在福州工作时提出，要把人大工作摆上重要议事日程，建立定期研究人大工作的制度；要认真学习宪法和法律，熟悉地方人大工作的基本职责和法定工作程序，并坚持依法办事，带头遵守宪法和法律；要坚决支持人大对“一府两院”实施法律监督和工作监督，并做好协调工作；党委既要坚持党管干部的原则，又要支持和尊重人大依法行使任免权；要健全人大工作机构，不断优化地方人大常委会组成人员的构成，并做好人大机关干部的交流工作；要为人大开展工作创造必要的条件。这些重要要求深刻阐明了坚持党的领导是做好人大工作的根本保证，为我们坚持在党的领导下做好人大工作树立了标杆。
党的十八大以来，以习近平同志为核心的党中央全面加强党对人大工作的领导。2021年10月召开的中央人大工作会议，在党的历史上、中华人民共和国历史上、人民代表大会制度史上都是第一次，在我国社会主义民主政治建设进程中具有里程碑意义。这充分体现了以习近平同志为核心的党中央对人大工作的高度重视、坚强领导和殷切期望。我们要坚持党中央集中统一领导这个最高政治原则，坚持以习近平新时代中国特色社会主义思想统领人大工作，把坚持党的全面领导贯穿人大工作各方面全过程，坚定拥护“两个确立”、坚决做到“两个维护”，确保党中央各项决策部署和省委工作要求在人大工作中得到全面贯彻和有效执行。
三、坚持以人民为中心，用制度体系保障人民当家作主
习近平总书记指出，人民代表大会制度之所以具有强大生命力和显著优越性，关键在于它深深植根于人民之中。人民代表大会制度坚持人民主体地位，坚持国家一切权力属于人民，支持和保证人民通过人民代表大会行使国家权力，体现了人民民主专政的国家性质。早在福建工作期间，习近平同志就始终坚持人民立场，把人民放在心中最高位置，注重从制度上保障人民当家作主。一是坚持人民至上。在宁德工作时强调，要时刻把自己看成人民中的一员，把心贴近人民。在省委、省政府工作时强调，我们的政府是人民的政府，必须使每一位政府工作人员都牢牢记住，人民政府的权力来源于人民，必须代表人民的利益，必须为人民谋福利，切不可忘记了政府前面的“人民”二字。在福州工作期间，领导和推动福州市人大连续6年开展为民办实事工作检查，福州市委市政府每年年底通过媒体，让群众选出10件当年办得最满意的实事、10件群众希望下一年办的实事，福州市人大积极参与、跟进监督，成为民生实事项目人大票决工作的重要源头。二是坚持民主集中制。在厦门市人大常委会会议上强调，应该有一个民主决策程序。在福州工作时强调，党领导人民通过民主程序履行当家作主的权利，可以使党的正确主张变成人民的自觉行动。三是坚持密切联系群众。在福州工作时强调，人大是人民的权力机关；人大工作的重点包括与人民群众生活密切相关的突出问题和人民群众反映强烈的热点问题；要保持和发扬与人民群众的血肉联系、同甘共苦的优良传统，喜群众之所喜，忧群众之所忧，做群众的知心人。这些重要要求充分体现了习近平同志的为民情怀和为人民谋幸福的初心。
党的十八大以来，以习近平同志为核心的党中央深刻把握社会主义民主政治发展规律,积极回应人民对民主的新要求新期盼,创造性提出“全过程人民民主”重大理念，全面发展全过程人民民主，社会主义民主政治制度化、规范化、程序化全面推进，人民当家作主更为扎实，基层民主活力进一步增强。我们要充分发挥人民代表大会制度作为实现全过程人民民主的重要制度载体作用，把发展全过程人民民主的要求贯彻落实到人大各项工作中，坚持民主集中制，充分发扬民主，不断完善人大的组织制度、议事程序、运行机制，依照法定程序，集体行使职权，集体决定问题，持续提高议事决策的科学化民主化法治化水平。
四、坚持依法治国，全面贯彻实施宪法法律
习近平总书记指出，在我们国家，任何组织和个人都必须尊重宪法法律权威，都必须在宪法法律范围内活动，都必须依照宪法法律行使权力或权利、履行职责或义务，都不得有超越宪法法律的特权。人民代表大会制度具有保障全面依法治国、实现国家各方面工作法治化的显著优势。早在福建工作期间，习近平同志就高度重视法治建设，扎实推进依法治省。一是坚持在宪法法律范围内开展工作。在宁德工作时强调，党委要在宪法和法律的范围内善于通过人大党组卓有成效的工作和人大中党员代表的先锋模范作用来贯彻党的意图，依靠和发动群众，实现党的政治主张。在省委、省政府工作时强调，各级政府要深刻认识坚持依法治省、推进依法行政的重大意义，把依法治省、依法行政摆到政府工作的重要位置，落实到政府的各项工作中去。二是坚持按照宪法正确处理党委人大政府关系。在宁德工作时强调，党委、人大、政府三者之间的关系是明确的；人大与“一府两院”的关系也很明确；党委、人大、政府按照党章和宪法的有关规定办事，就可以把三者关系处理得更好，即使出现一些问题，也容易得到妥善解决。三是坚持运用法治思维法治方式推动工作。在厦门工作时，习近平同志针对调研中发现的筼筜湖黑臭问题，主持召开专题会议，提出“依法治湖、截污处理、清淤筑岸、搞活水体、美化环境”20字方针，推动厦门市九届人大四次会议通过《关于加速筼筜湖综合整治工作的决议》。在福州工作时强调，对应兴应革的事情，尽可能做到先行立法。这充分展现了习近平同志运用法治思维和法治方式解决实际问题的领导艺术和政治智慧。
党的十八大以来，以习近平同志为核心的党中央从战略和全局高度定位法治、布局法治、厉行法治，以前所未有的决心、举措和力度推进全面依法治国，取得一系列重大成就，同时创造性提出一系列具有原创性、标志性的新理念新思想新战略，形成了习近平法治思想。我们要以习近平法治思想为指导，坚定不移走中国特色社会主义法治道路，弘扬社会主义法治精神，全面贯彻实施宪法，维护宪法权威，深入开展宪法法律的宣传教育活动，推动全社会形成尊法学法守法用法的浓厚氛围。
五、加强和改进立法工作，以良法促进发展保障善治
习近平总书记指出，要完善以宪法为核心的中国特色社会主义法律体系，推进科学立法、民主立法、依法立法，增强立法系统性、整体性、协同性、时效性。早在福建工作期间，习近平同志就对如何做好地方人大立法工作提出许多具体要求。一是服务大局开展重点立法。在福州工作时强调，要把地方立法特别是经济立法摆在首位，尽快建立和完善适应社会主义市场经济体制的法律体系，更好地为本地区经济建设服务。习近平同志坚持把立法工作与改革和发展实际相结合，以改革精神解决立法中遇到的难点和问题，善于把实践证明是正确的做法，用法规形式确定下来，巩固改革开放的成果。习近平同志在福州兼任市人大常委会主任期间，领导福州市人大常委会制定修订民营科技企业条例、福清融侨经济技术开发区条例、保障台湾同胞投资权益若干规定、城市内河管理办法等29件地方性法规。在省委、省政府工作时，推动出台44件省级地方性法规，包括促进科技成果转化条例、个体工商户和私营企业权益保护条例、保护华侨投资权益若干规定、基本农田保护条例、海洋环境保护条例、武夷山世界文化和自然遗产保护条例等一批法规，有力保障福建改革发展和经济社会建设。二是因地制宜开展特色立法。在福州工作时强调，树立地方人大立法具有试验性、补充性、超前性的思想,进一步转变观念，勇于探索,以改革的精神加快立法。地方立法是对国家法律的延伸和细化，具有特殊性，地方立法可以更充分、更直接地反映本行政区域的政治、经济、文化等发展对法制建设的要求，因地制宜地解决地方的实际问题。1995年10月，习近平同志主持福州市人大常委会会议，审议通过《福州市历史文化名城保护条例》，为历史文化名城保护工作提供有力的法制保障，让三坊七巷等历史建筑得以保存，对全国的历史文化名城保护工作起到了重要的示范作用。三是加强科学立法民主立法。在福州工作时强调，把人大、政府起草法规同聘请委托专家起草、论证结合起来，积极借鉴外地的立法经验，广泛征求各方面意见，加强调查研究和论证，增强法规的权威性和可操作性。要走群众路线，充分发扬民主，注意听取专家、学者和实际工作者的意见，使立法工作更加严肃、慎重。这充分体现了习近平同志对立法工作的高度重视和对提高立法质量的真知灼见。
党的十八大以来，以习近平同志为核心的党中央高度重视立法工作，以宪法为核心的中国特色社会主义法律体系更加完善，为推进国家治理体系和治理能力现代化，全面建设社会主义现代化国家提供有力法治保障。我们要坚持和完善党委领导、人大主导、政府依托、各方参与的立法工作格局，统筹立改废释，加强重点领域、新兴领域和地方特色立法，积极开展“小切口”“小快灵”“区域协同”立法，提高立法质量，强化备案审查制度建设，不断创新地方立法工作机制，深入推进科学立法、民主立法、依法立法，把立法决策同改革发展决策更好结合起来，以良法促进发展、保障善治。
六、用好宪法法律赋予的监督权，增强监督工作的刚性和实效
习近平总书记指出，各级人大及其常委会要把宪法法律赋予的监督权用起来，实行正确监督、有效监督、依法监督，维护国家法治统一、尊严、权威，确保法律法规得到有效实施，确保行政权、监察权、审判权、检察权依法正确行使。早在福建工作期间，习近平同志就对加强和改进人大监督工作作出重要论述，开展探索实践。一是支持人大依法积极主动监督。在宁德工作时强调，监督权是宪法赋予人大的权力，人大要理直气壮地行使监督权。在福州工作时强调，开展评议活动是代表表达政见，进行政治参与的一种好形式，也开拓了人大监督工作的新途径。面对上世纪八十年代末福州部分乡镇“七所八站”吃拿卡要较为严重的问题，习近平同志倡导开展市县乡三级人大代表对基层所站廉政建设的评议活动，推动创建人民满意基层单位，并主持召开经验交流会，推动评议活动持久化、常态化、制度化，有力遏制了不正之风，赢得了代表和群众的广泛好评。二是强调人大要抓住重点精准监督。在宁德工作时指出，人大的监督目的是为了更好地支持和促进政府的工作，应该是积极的监督，善于抓大事、抓关键，而不是事无巨细，越俎代庖。在福州工作时，习近平同志领导市人大常委会连续六年对“米袋子”“菜篮子”工程、为民办实事项目、环保实事项目等开展监督，推动相关工作取得显著成效。三是推动“一府两院”自觉接受人大监督。在厦门工作时强调，今后凡是法定要提请人大审议的，应该主动地、积极地和人大通气、协商，欢迎进一步监督，更加全面监督。在宁德工作时强调，政府要把人大的监督当作一种支持。要欢迎人大监督，认真执行人大所作的决议决定，认真办理人大或代表提出的议案、建议和批评。积极接受人大的批评、监督，不断改进政府工作。在省委、省政府工作时强调，增强“人大意识”，就是增强法制意识和民主政治意识的体现。接受人大的监督本质上就是接受人民的监督。我们都要有这样的意识和自觉性。这些为我们切实用好宪法法律赋予人大的监督权，不断加强和改进人大监督工作提供了学习典范。
党的十八大以来，以习近平同志为核心的党中央高度重视人大监督工作，充分发挥人大监督在党和国家监督体系中的重要作用，人大监督制度建设和人大监督工作取得显著成效。我们要健全人大对行政机关、监察机关、审判机关、检察机关监督制度，贯彻落实新修改的监督法，完善人大监督工作机制，强化人大预算决算审查监督和国有资产管理、政府债务管理监督，建立人大常委会听取和审议政府债务管理情况报告制度，推行民生实事项目人大票决工作，确保宪法法律法规在我省全面有效实施，确保行政权、监察权、审判权、检察权依法正确行使，确保人民群众合法权益得到有效维护。
七、充分发挥人大代表作用，支持和保障人大代表依法履职
习近平总书记指出，人大代表肩负人民赋予的光荣职责，要站稳政治立场，忠实代表人民利益和意志，依法参加行使国家权力，当好党和国家联系人民群众的桥梁。各国家机关要支持和保障人大代表依法履职，健全联系代表的制度机制，丰富人大代表联系人民群众的内容和形式。早在福建工作期间，习近平同志就高度重视人大代表工作，支持和保障代表依法履职，注重发挥人大在密切同人民群众联系中的带头作用。一是重视发挥人大代表作用。在福州工作时强调，各级人大代表是各级国家权力机关的组成人员，他们工作、生活在各条战线，与广大群众保持着最广泛的联系。充分发挥人大代表作用，加强同人民群众的联系，是人大机关保持旺盛生命力的源泉所在。人大代表是群众队伍中的杰出分子，各级党委、人大和政府都要充分发挥人大代表的作用，最大限度地发挥他们的创造性。这是我们坚持群众路线的一个重要原则。二是重视代表议案建议办理工作。在福州工作时强调，认真办理代表建议、批评和意见，不是对个人尊重，是对制度的尊重。凡有条件解决的都要认真抓紧解决，条件不具备的，要积极创造条件，一时难以解决的也要做好耐心细致的解释工作。1991年3月，习近平同志主持召开福州市人大代表建议、政协委员提案交办会，指导督促“一府两院”做好代表建议办理工作。在习近平同志推动下，会上交办的代表建议在当年全部得到妥善办理和答复，人大代表关于加快初中招生制度改革和解决菜农卖菜难问题等建议得以高效办理，取得很好的社会效果。三是重视密切“两个联系”。在福州工作时强调，要坚持群众路线，调动一切积极因素，必须做好联系人大代表的工作，依靠和支持人大代表开展工作，支持人大代表履行职责。在省委、省政府工作时强调，开展代表视察活动，是人大代表联系基层群众，了解基层情况的良好途径，是十分重要和必要的。2001年8月，在参加人大代表视察活动时指出，这次参加活动，是履行人大代表的职责，通过这渠道，可以更多地听取群众意见，更好地代表人民的利益。这些至今仍具有十分重要的指导意义，成为我们做好人大代表工作的重要遵循。
党的十八大以来，以习近平同志为核心的党中央高度重视人大代表工作，支持和保障人大代表依法履职，领导、推进了地方组织法、选举法、代表法等的修改，为在新形势下开展代表工作提供了有力法治保障。我们要传承弘扬“四下基层”优良传统，健全吸纳民意、汇集民智工作机制，实施新修改的代表法，深化人大常委会组成人员联系代表制度，完善代表联系人民群众制度，完善港澳台侨代表人士列席人民代表大会会议的制度机制，提升代表联系群众活动室建设水平，支持和保障代表依法履职，积极回应社会关切，做到民有所呼、我有所应。
八、全面加强人大自身建设，提升履职能力水平
习近平总书记指出，各级人大及其常委会要全面加强自身建设，成为自觉坚持中国共产党领导的政治机关、保证人民当家作主的国家权力机关、全面担负宪法法律赋予的各项职责的工作机关、始终同人民群众保持密切联系的代表机关。早在福建工作期间，习近平同志就对人大机关自身建设提出一系列要求。一是树立“一线”机关意识。在宁德工作时强调，人大要通过加强自身建设，不断提高议事水平，进一步发挥地方权力机关的作用。在福州工作时强调，要坚决克服把人大视为“干部过渡站”“清谈馆”和“二线”机关等错误观念，树立人大是第一线机关的观念，努力把人大工作搞好。二是重视人大干部队伍建设。在宁德工作时强调，要优化地方人大常委会组成人员的构成，人大干部的选拔要德才兼备，班子要注意年龄的梯形结构和知识结构。在福州工作时强调，各级党组织对人大常委会领导班子成员和机关干部的选配以及人大后备干部的培养、储备上，不仅要按照人大常委会是权力机关又是工作机关的要求去考虑，还要考虑形成合理的年龄结构和具有各方面专业知识的配套结构，以适应新形势的需要。组织部门必须把人大机关干部的考核、培训、升迁纳入工作规划、统筹安排。要搞好党委、人大、政府三方面机关干部的双向交流。三是重视加强学习培训。在福州工作时，习近平同志推动市人大常委会建立定期学法、专题讲座制度，邀请专家、律师为机关干部作法律讲座，多次举办基层人大主任、人大代表培训班，促进人大代表和各级人大干部提升法律素养、业务能力。这些充分体现了习近平同志始终重视加强人大机关各方面建设，注重提高人大依法履职的能力和水平。
党的十八大以来，以习近平同志为核心的党中央高度重视人大自身建设。2021年10月，习近平总书记在中央人大工作会议上首次提出“四个机关”的重要论述，为新时代新征程加强人大自身建设指明了方向、提供了遵循。我们要牢牢把握“四个机关”定位要求，健全人大议事规则和论证、评估、评议、听证制度等，全面加强人大建设，努力打造政治坚定、服务人民、尊崇法治、发扬民主、勤勉尽责的人大工作队伍。
习近平同志在福建工作期间关于人大制度和人大工作的重要理念和重大实践，涵盖人大制度和人大工作的各个领域、各个方面，至今仍具有重要指导意义。我们要全面贯彻落实党的二十大和二十届二中、三中全会精神，进一步学习好研究好宣传好贯彻好习近平总书记关于坚持和完善人民代表大会制度的重要思想，认真学习贯彻习近平总书记在庆祝全国人民代表大会成立70周年大会上的重要讲话精神，大力传承弘扬习近平同志在福建工作期间的重要理念和重大实践，不断深化对新时代地方人大工作特点、规律的认识和把握，坚持好、完善好、运行好人民代表大会制度，履行好宪法法律赋予的立法、监督、决定、任免等职责，稳中求进推动地方人大工作高质量发展，为全省在中国式现代化建设中奋勇争先贡献力量。
(中共福建省人大常委会党组)
“十四五”收官在即，“十五五”新篇待启。习近平总书记近日对“十五五”规划编制工作作出重要指示，强调“编制和实施‘十五五’规划，对于全面落实党的二十大战略部署、推进中国式现代化意义重大。要坚持科学决策、民主决策、依法决策，把顶层设计和问计于民统一起来，加强调研论证，广泛凝聚共识，以多种方式听取人民群众和社会各界的意见建议，充分吸收干部群众在实践中创造的新鲜经验”。习近平总书记的重要指示为高质量完成“十五五”规划编制工作提供了根本遵循、指明了前进方向。
当前，各地在加紧落实“十四五”规划目标任务的同时，适应形势变化，把握战略重点，正有力有序推进“十五五”规划编制工作，科学谋划“十五五”时期经济社会发展。地方各级人大认真贯彻落实习近平总书记重要指示精神，切实履行宪法法律赋予的职责，立足人大职能定位，综合运用立法、监督等法定职权，深入践行全过程人民民主，充分发挥各级人大代表作用，坚定信心、开拓进取，主动担当作为，为“十五五”规划编制汇聚各方智慧，为编制经得起实践和历史检验的高质量发展规划作出积极贡献，向着强国建设、民族复兴的宏伟目标接续奋进。
强化规划编制法治保障 合力推动规划实施落地
2025年是“十四五”规划收官之年，也是“十五五”规划谋篇布局之年。“十五五”时期是基本实现社会主义现代化承上启下的关键时期，编制和实施好“十五五”规划具有重大而深远的意义。
4月27日，国家发展规划法草案提请十四届全国人大常委会第十五次会议初次审议。草案将党中央关于统一规划体系建设和国家发展规划的规定、要求和行之有效的经验做法以法律形式固定下来，通过明确编制程序、强化实施保障、优化政策协同，系统性提升规划的战略性与执行力。
审查和批准国民经济和社会发展规划和年度计划并监督其执行，是宪法法律赋予各级人大的重要职权。经过全国人大和地方人大审查和批准的规划都具有强制性约束力。
在法治轨道上保障规划的科学制定和有效实施，确保规划的科学性、连续性和稳定性，增强规划的严肃性和执行力，地方人大积极推进创制性立法。
当前正值“十五五”规划编制的关键时期，作为创新之城、开放之城，上海以法治作答，为“十五五”规划编制提供有力法治保障，生动践行“人民城市人民建，人民城市为人民”。
继国家发展规划法草案提请全国人大常委会审议后，5月28日，上海市十六届人大常委会第二十二次会议表决通过《上海市发展规划条例》。这是在全国率先通过的关于发展规划的地方性法规，对于推进地方统一规划体系建设，规范发展规划编制，保障发展规划实施，更好发挥发展规划战略导向作用、促进经济社会高质量发展具有重要意义。
该条例对规划体系、规划协同进行详细阐述，明确健全党委提出规划建议、政府组织编制规划纲要、人大审查批准后公布实施的工作机制，通过完善规划衔接、政策协同、监测评估和监督等机制，保障规划有效实施。条例对专家咨询论证、公众参与等作出明确规定，明确规划编制部门可以依法委托专业机构、社会组织等第三方进行，并广泛听取社会公众的意见。
条例对规划前期研究、起草、征求意见、专家咨询论证、衔接审查、审议审批、任务分解、动态监测、中期评估、总结评估、调整等制定和实施程序作出系统、详细的规定，并明确规划编制的标准、衔接批准流程、实施保障机制以及监督调整等有关要求。这将有力保障规划高质量编制、高标准实施，推动规划内容切实转化为发展实效。
锚定“制造业立市”，汇集海河儿女的澎湃力量，天津蹄疾步稳推动高质量发展。总结天津市“十四五”期间人大立法工作成效，谋划“十五五”时期人大立法工作，6月5日，天津市人大常委会召开提高地方立法质量征求意见座谈会，为增强“十五五”时期立法工作的科学性、前瞻性、可操作性，推进法治社会建设凝聚共识、群策群力。
会议强调，“十五五”时期人大立法工作要始终坚持党的领导，确保立法工作正确政治方向；始终坚持问题导向，加快京津冀协同发展、发展新质生产力、民生保障、文化传承等重点领域和新兴领域立法；始终坚持问计于民，提升立法工作的公众参与度，汇聚立法合力。
中欧班列（“十四五”重大工程项目之一）是深化我国与沿线国家经贸合作的重要载体和推进“一带一路”建设的重要抓手。图为中欧班列驶过锡林郭勒草原。图/视觉中国
4月1日，湖南省人大常委会结合编制“十五五”规划，围绕构建“1+N”地方性法规制度体系开展调研，广泛听取各方面意见建议。近年来，湖南省人大常委会制定修改了一批服务国家大局、顺应时代要求、反映人民意愿、体现地方特色的地方性法规，初步构建了以保障“三个高地”建设、“守护好一江碧水”为重点，统筹民生和农业农村领域的“1+N”地方性法规制度体系。
相关负责人在调研时强调，要善于运用法治思维和法治方式研究解决经济社会高质量发展中的问题，“十五五”时期，人大立法工作要结合构建“1+N”地方性法规制度体系，加大重点领域、新兴领域、涉外领域立法，用地方性法规制度体系更好地保障高质量发展。
魅力八闽，清新福建。5月28日，福建省人大常委会党组召开会议，学习贯彻习近平总书记对“十五五”规划编制工作的重要指示精神，研究省人大贯彻落实措施。会议强调，要按照省委部署要求，锚定新福建宏伟蓝图，紧扣高质量发展，在构建现代化产业体系、推动乡村全面振兴、加强生态环境保护等方面强化法治供给。要深入调查研究，广泛听取意见建议，为科学编制福建省“十五五”规划提供参考。根据2025年度监督工作计划，福建省人大常委会还将听取和审议“十四五”规划实施和“十五五”规划编制专项工作报告。
广东省人大常委会围绕省“十五五”规划编制深入开展调查研究，积极推动现代化产业体系建设纳入“十五五”规划研究重点，并在常委会会议上表决通过关于助力加快建设现代化产业体系的相关决定。决定明确，聚焦聚力壮大先进制造、加快科技创新、培育现代企业主体、优化发展环境等领域，逐步完善建设现代化产业体系的地方法规制度。
相关负责人表示，“十五五”时期是广东高质量发展的关键期，要切实强化规划编制法治保障，将助力加快建设现代化产业体系与推动规划精准布局结合起来，使广东产业智能化、绿色化、融合化发展充分体现在“十五五”规划中，以法治助力谋划好广东“十五五”重大战略任务、重大改革举措、重大工程项目，以地方法规为“十五五”规划编制凝心聚力。
武汉市人大常委会召开“‘十五五’时期推进武汉民主法治建设研究”征求意见座谈会，全面总结“十四五”时期武汉市民主法治建设的成绩与经验，科学谋划未来五年民主法治建设目标任务，并将形成高质量的调研报告，为科学编制武汉市“十五五”规划献计出力。
凝心聚力谋发展，一张蓝图绘到底。“十五五”蓄势之年，地方各级人大用法治护航美好蓝图，合力推动规划科学制定和有效实施落地。
打好监督“组合拳” 加强协同联动
用中长期规划指导经济社会发展是我们党治国理政的一种重要方式。地方各级人大以召开座谈会、开展专题调研、听取审议报告等多种方式，打好监督“组合拳”，加强协同联动，助力“十五五”规划纲要编制工作。地方各级人大强调，要准确把握“十五五”时期宏观形势和阶段性特征，科学谋划好“十五五”时期主要目标指标、重大战略任务、重大改革举措以及重大工程项目，确保规划科学可行、务实管用。要广泛征集意见建议，加强调研论证，深入思考谋划，共同为高质量编制“十五五”规划贡献智慧和力量。
科学谋划编制好“十五五”规划，对于推动首都北京厚植发展新动能、在全面推进中国式现代化中走在前列具有重要意义。为科学保障“十五五”规划编制、助力首都高质量发展，北京市人大常委会今年将听取和审议市政府关于经济社会发展规划制度体系和各类规划衔接落实机制建设情况的报告，关于城市总体规划及首都功能核心区控制性详细规划实施情况的报告，关于统筹城乡发展、提升城乡规划建设治理融合水平情况的报告等3个专项工作报告。
目前，北京市人大常委会开展的“十五五”规划纲要编制专题调研正紧锣密鼓地进行，将有效助力北京市“十五五”规划编制高质量，助推首都高质量发展和中国式现代化建设。
锐意创新，活力无限。“十五五”时期是上海加快建成具有世界影响力的社会主义现代化国际大都市的关键时期，上海市人大常委会开展“十五五”规划纲要编制专题调研，聚焦培育发展新质生产力、加快发展离岸贸易金融服务、提升航运资源配置能力、优化科技创新创业生态、深入推进长三角一体化发展等15个题目做深做细做实专题调研。
据了解，调研将充分汇聚民意民智，聚焦关键问题，形成高质量的专题调研报告，提出有关重大战略任务、重大政策举措、重大民生项目的意见建议，为上海市委提出“十五五”规划建议、市政府编制“十五五”规划纲要提供参考，为市人代会审查批准规划纲要做好充分准备。聚焦加快建设“五个中心”重要使命，上海市人大和各区人大协同联动，深入基层开展调研，务求实效，形成破解难题的合力，为上海高质量编制“十五五”规划作出人大积极贡献。
4月28日，江西省人大常委会举行“探索完善人大对经济社会发展中长期规划纲要编制和实施情况监督机制”专项改革推进工作座谈会。会议强调，要探索建立全过程、全方位、常态化的人大监督工作机制，切实把规划编制、实施等情况纳入人大年度立法、监督工作计划，以法治思维合力推进人大监督机制重点改革任务落地落实，助力提升规划纲要编制质量和实施效果，推动江西经济社会高质量发展。
编制浙江省“十五五”规划对高质量发展建设共同富裕示范区，加快打造“重要窗口”，奋力谱写中国式现代化浙江新篇章具有重要意义。浙江省人大常委会围绕省“十五五”规划纲要编制在金华等地开展专题调研，立足人大优势，加强调查研究，提出意见建议，为省委省政府编制“十五五”规划纲要提供重要参考，为省人代会审查批准“十五五”规划纲要提供有力支撑。
6月9日，黑龙江省人大常委会党组召开扩大会议，传达学习习近平总书记对“十五五”规划编制工作作出的重要指示精神，研究贯彻落实意见。会议强调，要贯彻落实党中央和省委关于“十五五”规划编制工作的决策部署，发挥人大制度优势，认真研究谋划，加强专题调研，强化开门问策，为高质量做好“十五五”规划编制贡献人大智慧力量。
新疆维吾尔自治区人大常委会发挥人大职能作用，扎实推进专题调研。专题调研聚焦党中央重大决策部署，聚焦自治区党委中心工作，聚焦各族群众所思所盼所愿，深入基层一线，综合运用多种调研方式，广泛听取专家意见、代表建议和群众呼声，集聚民意民智，充分反映群众期盼和总结基层经验，并将研究提出高质量意见建议，为编制好自治区“十五五”规划纲要提供科学参考。
吉林省人大常委会围绕“十五五”规划纲要编制在长春、四平、白城、延边等地开展专题调研。调研聚焦规划纲要编制涉及的完善城乡融合发展体制机制、提升农村基础设施建设和公共服务水平、加强农业科技创新等内容展开，广泛吸纳民意、汇集民智，形成富有全局性的意见和建议，为高质量编制规划贡献力量。
广东省人大常委会开展“十四五”规划纲要实施情况和“十五五”规划纲要编制情况专题调研，并配合做好全国人大常委会“十五五”规划纲要编制工作若干重要问题专题调研，积极争取广东省重要项目纳入国家规划大盘。
武汉市人大常委会开展“十五五”规划编制工作专题调研，紧扣全市工作大局，坚持开门问策，助力高质量编制武汉市“十五五”规划。青岛市人大常委会围绕新质生产力、农业农村、社会建设、教科文卫、城市建设、财经、法治等7个专题扎实开展“十五五”规划编制专题调研。
扬州市人大常委会主任会议听取扬州市“十五五”规划编制工作进展情况报告，助力编制符合中央大政方针、符合扬州市情实际、符合群众所愿所盼的“十五五”规划。为扎实有序开展贵阳市“十五五”规划纲要编制若干问题调研工作，贵阳市人大常委会召开专题辅导和调研座谈会，助力专题调研高质高效开展……
地方各级人大创新监督方式，加强协同联动，为助力高质量编制“十五五”规划奋进向前。
线上线下齐参与 人大代表献良策
发展为了人民，发展依靠人民，发展成果由人民共享。规划编制的出发点和落脚点始终是以人为本，只有根植于发展大势和民生期待，规划才会有生命力。
地方各级人大充分发挥人大在密切同人民群众联系中的带头作用，开展“人大代表为‘十五五’规划献良策”、发出号召人大代表为“十五五”规划建言献策倡议书、开设线上“十五五”专栏等丰富多彩的活动，让规划充分反映民意、集中民智、凝聚民心，营造人大代表心系发展大局情牵民生福祉、全方位多视角为“十五五”规划编制提出意见建议的良好氛围，掀起五级人大代表认真倾听百姓关切、积极为“十五五”规划建言献策的热潮。
“十五五”时期是江苏在推进中国式现代化中走在前做示范、在高质量发展上继续走在前列的关键时期。为广泛吸纳民意、汇集民智，充分发挥人大代表在助力“十五五”规划纲要编制、推动经济社会高质量发展中的重要作用，江苏省人大常委会在全省五级人大代表中开展“我为‘十五五’规划献良策”活动。
活动以习近平新时代中国特色社会主义思想为指导，深入学习贯彻习近平总书记对江苏工作重要讲话精神和对“十五五”规划编制工作重要指示精神，结合开展“牢记嘱托、感恩奋进”学习实践活动、代表年中专题调研、代表联系接待选民和人民群众等活动，动员和组织全省五级人大代表就编制“十五五”规划纲要提出意见建议，既为有关方面编制规划纲要提供参考，也为人代会审查批准本级“十五五”规划纲要做必要准备。
据了解，在此次活动中，人大代表还可线上参与提出意见建议，代表工委通过“数字人大”代表履职平台，分法制、监察司法、财政经济、社会建设、教科文卫、环资城建、农业农村、民宗侨外等8个领域征求意见，再由各专门委员会汇总梳理后转交相关部门办理。
江苏省各市县（区）人大常委会结合各自情况开展了各具特色的人大代表建言活动。5月14日，靖江市人大常委会开展五级人大代表“我为‘十五五’规划献一策”调研活动，并现场督办代表重点建议。这正是江苏省各地人大开展相关活动的一个鲜活例证。
活动中，代表们围绕“关于策应盐宜铁路建设 推进滨江新区城乡规划建设的议案”办理，提出意见建议，并为“十五五”规划积极建言献策。市自然资源和规划局和市住建局等相关部门负责人对代表们的意见建议进行了现场答复，并表示将认真研究办理代表建议，并科学做好高铁片区的规划，推动建议落地落实、取得实效。
在浙江湖州、福建莆田、天津滨海新区、河南洛阳……地方各级人大纷纷开展“人大代表为‘十五五’规划献良策”等活动，各级人大代表积极参与活动，通过专题调研、视察、走访、座谈等形式，深入基层了解群众意愿和社会关切，并结合自身专业和工作实际，提出具有前瞻性、针对性和可操作性的意见建议。“湖州人大”、“莆田人大视点”等微信公众号还开设“十五五”专栏，创新人大代表和人民群众参与“十五五”规划形式。
为切实把社会期盼、群众智慧、基层经验充分吸收到“十五五”规划编制中来，吉林省人大常委会落实省委要求，向全省各级人大代表发出“我为‘十五五’规划献计献策”的倡议书，以线上线下相结合的参与渠道，努力把人民群众的“金点子”转化为规划编制的“金钥匙”。吉林省各级人大代表积极响应，踊跃建言献策。截至目前，已收到各级人大代表提出的意见建议458件。一件件代表建议传递着人民呼声，承载着沉甸甸的人民期盼。这些建议内容涉及民生福祉、文化旅游、产业发展、乡村振兴、营商环境、生态保护、社会治理等诸多方面。
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8k
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T4. Summarization & Synthesis
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T4.2 Query-Focused Summary
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Partial
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根据习近平同志在福建工作期间的文本内容总结如何体现以人民为中心在人大工作中的具体实践，以此形成一篇摘要，要求：≤200字。先输出“[答案]”标识符，再输出摘要内容，不要输出任何其他内容。
输出示例：
[答案]
你的摘要
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根据习近平同志在福建工作期间的文本内容总结如何体现以人民为中心在人大工作中的具体实践，以此形成一篇摘要，要求：≤200字。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再输出摘要内容。
输出示例：
<你的思考过程>
[答案]
你的摘要
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[
"习近平坚持人民至上，推动福州市人大连续6年开展为民办实事项目检查，让群众投票选出满意实事。他坚持民主集中制，使党的主张通过民主程序成为人民行动；密切联系群众，关注生活热点问题，倡导人大做群众知心人。这些实践保障了人民当家作主，强化了民生导向。",
"习近平同志在福建工作期间，坚持人民至上，把人民放在心中最高位置，强调政府权力来源于人民；推动福州市人大连续6年开展为民办实事项目检查；通过媒体让群众投票选出满意和希望办理的实事；坚持民主集中制，确保党领导下的民主决策；人大密切联系群众，关注与群众生活相关的热点问题，做群众知心人；并切实保障人民当家作主，如推动解决菜农卖菜难等实际问题。",
"在福建，习近平同志强调坚持人民至上，政府权力来源于人民；推动人大连续6年开展为民办实事检查；通过媒体让群众投票选出满意与希望办理的实事；坚持民主集中制，使党的主张通过民主程序转化为人民行动；人大注重联系群众，关心群众生活和热点难题，做群众知心人；并强化民生保障，推动解决菜农卖菜难问题，切实维护人民当家作主的权利。"
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Hard
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9b76529e6bff6acd3a2cd2111aa43e436b8d1a6bdc750b5f29f39225454d637b
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### 第一篇：
第一段落：
第1句：科学中心是第三代科学博物馆，其历史根植于传统博物馆。
第2句：早期科学博物馆（如自然历史博物馆、科学工业博物馆）以静态陈列自然标本、地质矿产、工业机械等实物为主。
第3句：随着现代科技与社会关系演变，以及博物馆学经历“以物为中心”向“以人为中心”的转向，让公众理解并参与科学的科学中心应运而生，其核心特征在于动手互动体验。
第4句：从静态展示的自然/工业博物馆到互动参与的科学中心，其类型与名称的演变，深刻反映了时代需求以及科技与社会互动模式的变迁。
第二段落：
第1句：加拿大蒙特利尔魁北克大学传播学院的希尔（Bernard Schiele）教授在《科学技术公众传播手册》一书“科学博物馆与科学中心－－演化路径与当代趋势”一章中将科学博物馆、科学中心、探索中心等互动型科学博物馆与中心统称为科学博物馆与科学中心（简称为SMC）。
第2句：按SMC的展示理念变迁将其发展的三个历史阶段划分为：技术史展示阶段、展示现代科学和增强科学知识阶段、促进科学大众化与知识扩散阶段。
第3句：提出SMC向第四个阶段，即注重科学技术与社会的关系和尊重公众的主动地位阶段演进的趋势。
第4句：认为未来科学中心的展示的主题将从科学技术本身转向科学技术与社会的关系，形式上更多将采用参与式、生成式展示，凸显公众的主体性，公众在参与互动中，促成意义的生成。
第三段落：
第1句：科学中心资深顾问怀特（Harry White）在（北美）科技中心协会（ASTC）会刊《维度》2019年9-10月刊“第三代：科学中心的发展趋势”一文中提出了“未来馆”（Museum of the Future）这一概念，并将其视为新一代的科学中心。
第2句：欧洲科学中心和博物馆网络（Ecsite）2019年年会探讨了侧重于展示“未来”的展项和机构。
第3句：会议认为日本的未来馆、澳大利亚的发现博物馆（MOD.）、奥地利的林茨多媒体艺术中心、法国的图卢兹文化活动中心、芬兰的赫尤里卡（Heureka）侧重展示未来主题的展项，波兰的哥白尼科学中心、比利时的 Technopolis科学中心当时正在策划未来主题的展览，德国和迪拜当时正在建设未来馆。
第四段落：
第1句：联合国教科文组织国际顾问马丁内斯（Eduardo Martinez）在“第四代科学中心和科技博物馆：向参与性、变革和跨学科演变”一文中，分析了全球科学中心和科技博物馆漫长且充满挑战性的演变过程，并指出，正在逐渐发展起来的第四代科学中心和科技博物馆则注重参与性、变革、跨学科、虚实结合，融科技、生态、人文及艺术为一体，推崇在一个有主动意识、注重参与、博学多识并具有科学素养的社区中围绕展品进行创造性的探究、实验、创新、讨论、学习以及举办活动。
第五段落：
第1句：作为科学博物馆的最新形态，新一代科学中心——未来馆，承载着满足人民日益增长的精神文化需求的重任，不断破壁升维：
第六段落：
第1句：理念上，打破文化、学科界限，以STEM（科学、技术、工程、数学）为核心内核，SHAPE（面向人类与经济的科学、人文及艺术）为外延框架，融合科学与人文艺术教育。
第2句：全球在地化，既胸怀世界又根植地方特色，强调公众参与，目标从普及知识升维至弘扬科学精神，促进公众对科学知识、情境及精神内涵的整体理解。
第七段落：
第1句：特征上，未来馆是集科学、教育、创新、研究、对话于一体的“第三空间”。
第2句：其核心在于参与性、跨学科性、变革性：展示个体选择如何塑造未来可能，探讨科技与社会、公众的互动关系，鼓励公众主动参与共建科学、社会和未来图景。
第八段落：
第1句：机制上，采用“大科普”思路下的跨域协同机制。
第2句：联动学科、文化、行业资源，面向全龄人群的终身学习需求，突破物理限制，实现集群化发展和智能泛在化延伸。
第九段落：
第1句：主题上，内容覆盖基础科学与前沿探索，关注日常生活科学，更聚焦于公众可参与讨论和建构的社会性科学议题（如伦理、环境、政策等）。
第十段落：
第1句：形式上，运用具身化、沉浸式交互体验。
第2句：通过多感官叙事与空间叙事（入眼、入耳、入脑、入心），引导观众从感官体验、意义建构到精神共鸣的深度学习之旅。
第十一段落：
第1句：未来馆通过以上方式，将更有效地履行科学博物馆科学教育等核心社会功能。
### 第二篇：
第一段落：
第1句：窦学谦女士是一位传奇女子，在抗日战争时期被誉为中国女性参与国民外交之典范，抗日救亡宣传之先锋，也曾一度成为众矢之的。
第2句：她的一生经历了许多鲜为人知的故事，就像一部曲折离奇的历史剧。
第二段落：
第1句：窦学谦1914年1月生于天津，是家中长女，父亲窦英堂是当时天津开明绅士，以其慷慨解囊造福乡里，捐资办学，修路造桥等善举赢得人们的敬重。
第2句：他还曾参与营救被捕入狱周恩来的行动。
第3句：他给长女取名学谦，寓意敏而好学。
第4句：窦学谦人如其名，从小就天赋聪慧。
第5句：南开初中毕业后她被家人送到当时北平有名的女子教会学校——贝满女中。
第6句：该校由美国基督教公理会创建，是近代最早引进西方教育的新型学校，教学内容与中国传统教育迥然不同，采用的完全是从欧美学校借鉴的教学大纲，课程包括数学、物理、化学、地理、语文和英语等。
第7句：在这里窦学谦第一次接受了系统的科学教育并开始展露才华。
第8句：1931年4月北平市举办“大中小学生演讲竞赛会”，窦学谦是该校中学组参赛选手，表现了出色的演讲口才，在36所中学参赛选手中脱颖而出，最终拔得中学组决赛的头筹。
第9句：时任驻北平的陆海空军副总司令张学良亲自为她颁奖并赠与一架柯达照相机。
第10句：这时的窦学谦已经褪去童稚，成为了一名有思想和有才华的青年。
第三段落：
第1句：窦学谦是贝满女中历史上一位杰出的学生代表。
第2句：1931年九一八事变后已成为学生会主席的她发挥其出色的演讲能力，积极参与学界抗日救亡宣传，颇具影响。
第3句：据一篇题为“贝满女中抗日往事”的文章记载：1931年9月，贝满初、高中全体同学六百余人，在学生会的召集下，齐聚初中部教学楼东部的校园里，召开声讨日本帝国主义侵略我东北三省大会，这同时也是救亡宣传的动员大会。
第4句：会上，学生会主席、高二女学生窦学谦报告“九·一八”事变经过，及东北同胞的悲惨处境。
第5句：当她讲到日寇残杀我同胞种种罪行时，全场泣不成声。
第6句：在窦学谦的带领下，学生们组织了救亡宣传队、为东北受难同胞募捐小分队等，配合全市各大中院校救亡大军，深入城区大街小巷和郊区农村，开展抗日救亡的募捐活动。
第7句：此时的贝满中学师生已经成为抗日救亡浪潮中的一支重要力量。
第8句：学校里有读书会，其成员之间传播革命书籍，讨论时局趋向，以及出版壁报等。
第9句：很多学生通过读书会的各种活动接受了革命理论。
第四段落：
第1句：窦学谦的爱国情怀与她从小耳闻目睹其父救国爱民的举动不无关系。
第2句：父亲窦英堂属于早期的进步人士，多次参加各种爱国救国运动。
第五段落：
第1句：窦学谦父亲窦英堂先生。
第六段落：
第1句：“五四”运动后，抵制日货风潮日起，引起了经营日本商场老板的不满，有些店东勾结日本人殴打学生，对此，学生及各界提出强烈抗议。
第2句：1920年1月29日天津学生5000余人在周恩来的领导下到省公署请愿，遭到军警镇压，有50余人受伤。
第3句：周恩来、郭隆真、张若名等代表均被逮捕。
第4句：社会各界人士对代表们被捕表示极大的义愤与同情。
第5句：为营救被捕代表，天津各界也进行了不懈的努力，并得到全国人民的声援。
第6句：窦英堂当时是天津公教基督教会的堂主，他与各界人士经常去探望、慰问被捕代表，利用自己在基督会的影响，广作宣传，用社会舆论对反动当局提出谴责，施加压力，要求当局释放在押代表。
第7句：周恩来1920年7月出狱后根据被拘代表的回忆和个人日记，整理写出了《警厅拘留记》和《检厅日录》两本小册子，真实记录了被捕代表在狱中的生活和斗争情况，记载了包括窦英堂等各界人士对被捕代表的关心和支持，揭露了北洋军阀政府残酷镇压爱国运动的罪行。《检厅日录》记录到：“4月13日又有范连青、王西园、纪树屏和公教基督教代表窦英堂四人来警察厅看望大家”，但却遭到检察厅拒绝，“人没有见着，送进些水果给大家”。
第8句：经过狱内外的共同斗争，天津地方检察厅终于在7月17日开庭审理此案。
第9句：《检厅日录》的文中提到，“7月17日午前就来了很多朋友，一直到了大家拘禁的院内…，窦英堂、马仲三，还有天津商会好多职员全来了”并陪同到检察厅旁听判决结果。
第10句：此前，全国各界联合会等也纷纷通电，要求释放被捕人员。
第11句：反动当局迫于全国的压力，不得不在7月17日被迫无罪释放周恩来、郭隆真等20多名被拘代表。
第12句：天津各界人民隆重迎接被释放代表凯旋，窦英堂代表基督教会将写有“为国牺牲”字样的胸花和胸章分送被拘代表佩戴胸前。
第13句：父亲的所作所为潜移默化地影响着窦学谦，影响着她的社会化行为。
第七段落：
第1句：1935年3月她被北平女青年会推选参加了1935年全国大学女生联合扩大会议，1937年5月，窦学谦提交的一篇题为“中国妇女的地位、教育、与职业”的学士毕业论文引起广泛关注，其观点颇受宋美龄的赏识，她很快将刚刚毕业的窦学谦选为自己的助手。
第2句：批驳敌方的造谣污蔑，获得了海外华侨和世界各国人民的了解、同情和支持。
第3句：作为大学生的她在政治上更为成熟，积极参与为妇女争取法律上平等地位的活动。
第4句：1939年窦学谦经香港乘意邮轮前往意大利、德国、法国、比利时、荷兰以及英国。
第5句：她每经过一个国家都逗留较长时间，会晤当地朝野人士，国际友人和爱国华侨，向他们讲述中国人民抗日的实情。
第6句：窦学谦大学毕业时正面临日本对我国华北的疯狂侵略，窦学谦受宋美龄委派到欧美进行抗战救亡宣传工作，外媒将窦学谦介绍为“蒋介石夫人的代表”、“蒋介石夫人秘书和闺中密友”。
第7句：从贝满女中毕业后，窦学谦进入燕京大学法学院社会学系。
第八段落：
第1句：窦学谦（左2）杨惠敏（左3）杨女士因其在上海四行仓库战役中的英勇事迹而被国人记住，她的故事于2020年被拍成电影《八佰》。
第九段落：
第1句：荷兰当地有报道写到：“窦学谦和上海四行仓库保卫战中送旗的女童子军杨惠敏一起到荷兰宣传抗战，并组织当地留学生进行义演，为国内抗日军队募捐大批防毒面具”。
第2句：此后她又专程前往美国进行抗日宣传。
第十段落：
第1句：一份美国当地华人媒体这样报道窦学谦女士的美国之行：“大飞机中国号之华人搭客，昨日由远东抵达美国，客人中有华人男女各一名，女士为窦学谦小姐，年22岁，燕京大学毕业生，现任华中大学妇女部主任，此次来美参加世界青年大会。
第2句：与窦小姐同学同行的是燕京大学教授张伯瑾，他们还将会晤时任中国驻美大使及美外交部长和美国各界人士，争取其对中国抗日战争的支持。
第3句：此行受到国民政府的高度重视，到机场迎接的有国民党驻美总支部特派员吴东恒、驻美副领事庚迪以及各界代表多人”。
第十一段落：
第1句：当地媒体在谈到他们一行访美的背景时称：“一些盟国虽对我抗日表示同情和支持，但战争的正义性欠缺宣传，固然有胡适等人相继发声，但未能形成舆论规模。
第2句：国外很多人只知其轮廓，不了解其实情，产生不少误解。
第3句：我各界人士与国外联系甚广，纷纷出国进行宣传”。
第4句：美国当地华人另一家媒体这样报道：“窦学谦女士为我国女性参与国民外交之先锋，窦君正当年，未脱大学生风度，文质彬彬谈吐流利，潇洒中带有刚剑气，活泼且青春活力，为摩登女士之典型”。
第十二段落：
第1句：抗战时期有一个特殊部门——国民政府军事委员会政治部第三厅，主管抗战宣传工作，受时任政治部副部长周恩来直接领导，是国共第二次合作的成果。
第2句：厅下设三个处，分别为文字宣传处、艺术宣传处和国际宣传处。
第3句：虽然窦学谦女士被宋美龄钦点前往欧美进行抗战宣传，但在具体工作上接受周恩来负责的政治部第三厅领导，窦学谦很早就开始与中国共产党接触，“与周恩来也常有交往” 。
第十三段落：
第1句：海外媒体对窦学谦出发的部分报道。
第十四段落：
第1句：抗战进入焦灼阶段，中缅通道在中国战略物资输入中的地位日渐凸显，中国的各种战略物资的输入都需要得到英属缅甸方面的配合。
第2句：为维系这条运输要道的畅通，当时的国民政府积极推动对缅官方和社会各界的交往互动。
第3句：窦学谦就曾作为女性和文化界代表在1941年8月随中国访缅代表团飞赴仰光，团长是时任北京大学校长蒋梦麟，副团长为国民党中委曾养甫，以及秘书长、中英及中缅文化协会秘书长杭立武等人。
第4句：缅甸当时是英属殖民地，中缅之间的交流是在英国的掌控和认可下进行的，背景复杂。
第5句：该团访缅的目的是加强对缅甸工作，确保抗战物资通过中缅通道进入中国，打破日本困死中国的企图。
第6句：窦学谦凭借其智慧和优雅的形象，在各种场合发表演讲，声情并茂地讲述中国人民的苦难和抗战决心，赢得了缅甸各界的广泛关注和支持。
第7句：在出访英国时，窦学谦女士全身心投入为中国获得抗战援助的工作，尽显外交才能。
第8句：在时任中国驻英大使郭泰祺的支持下广泛开展公共外交活动，在英国民众中积极宣传中国抗战精神，为中国争取物资援助，推动英国开放中国军事补给线滇缅公路。
第9句：她的人生由此走上巅峰。
第十五段落：
第1句：窦学谦女士外表柔美、举止优雅、气质非凡，深深吸引了时任中国驻英大使郭泰祺，使其为之倾倒，一时间两人的特殊关系使窦学谦身背骂名。
第2句：芝加哥报2010年刊登的一篇署名为周谷的文章这样描述：1941年4月2日郭泰祺在驻英国任上被蒋介石任命为外交部长，回国赴任时带窦女士一同回到重庆，从此二人形影不离，郭又花65万元买下一栋别墅，金屋藏娇。
第3句：1941年12月重庆大公报发表的一篇题为《拥护修明政治案》的评论文章，戴季陶等借郭花公款购买豪宅一事，指郭泰祺回国后与一位名窦学谦的女性关系暧昧，并以郭的所作所为与宋美龄所宣传的新生活运动相悖为由，向蒋介石举报。
第4句：1941年12月15日，国民党五届九中全会开幕，蒋介石出席大会，随即在大会上宣布免去郭泰祺外交部长职务，全场委员为之震惊，郭泰祺则呆若木鸡。
第5句：郭在外交部长任上仅仅工作了9个月。
第6句：实际上，郭泰祺出任国民政府外交部长原本是各方妥协的结果，且蒋一直认为郭泰祺原是汪精卫派人物，不是其嫡系心腹之人，故在言辞中时表不满，还将不满之意多次记在日记中。
第7句：郭在工作中还得罪过蒋介石门生戴笠和胡宗南，后者是想借郭的桃色事件将其除掉。
第8句：另外，当时也有嫉妒窦学谦的人向宋美龄告黑状，指窦借宋美龄的名义在国外招摇，这导致宋美龄对窦学谦逐渐疏远。
第十六段落：
第1句：著名女作家韩素音在自传体《无鸟的夏天》一书中多次谈到窦学谦女士，其时窦学谦已进入国民政府外交部工作。
第2句：韩在书中写道：“我在孟买的泰姬陵旅店结识了窦小姐，她是一位妩媚动人的年轻姑娘。
第3句：在重庆一度成为众矢之的。
第4句：她当时正患伤寒，卧病在床，和我同时等待下一条船。
第5句：她将去中国驻加拿大使馆赴任。…我确信她是戴笠与郭泰祺为仇的牺牲品，因为窦女士既不野心勃勃，也不诡计多端。
第6句：但她有着我们所没有的机敏。
第7句：后来的7个星期里我们同住在一等舱”。
第十七段落：
第1句：韩素音在书中一针见血地指出：“民国三十年（1941）初冬，一场反对外交部长郭泰祺的政治阴谋逐渐形成，郭泰祺是戴笠和胡宗南都不喜欢的人。
第2句：郭反希特勒，反日，亲英。
第3句：戴笠想把他拉下马，但理由不充足。
第4句：此时传出，郭同一位并非其妻的女士有不检点行为，说他与一位漂亮又能干的女性，大约和我一般年龄并和我同一年级的燕京大学学生窦小姐相恋。
第5句：一时间重庆的社交界，上层人物，不谈饥荒，不论救国，而专论一部长的桃色新闻，这是一场反对外交部长郭泰祺的阴谋。
第6句：实际上是蒋介石嫡系戴笠、胡宗南等的中伤舆论”。
第十八段落：
第1句：韩素音揭露说：“其实此类事情在国民党高层中早已司空见惯，戴笠本人也有着一系列的桃色事件，他把被她诱奸的一位姑娘毒打一顿，送进了他的一所‘学校’。
第2句：连身居最高位的那位蒋介石，也被他的某位老三抓破了脸”。
第十九段落：
第1句：郭泰祺曾被称为爱国的天才外交家，他的外交生涯包括1919年以中国代表团专门委员身份出席巴黎和会，曾任驻意大利公使、国民政府立法委员、外交部次长、驻英国大使等，1940年后任国民政府外交部部长、国防最高会议外交委员会主席，抗日战争胜利后，任联合国安理会首任中国首席代表。
第2句：郭泰祺在任驻英全权大使期间，坚决反对英国对日妥协让步的绥靖政策。
第3句：新中国成立后，党和国家领导人屡邀郭泰祺回国工作，郭因病未能成行，于1952年2月病逝于加利福尼亚州立医院。
第二十段落：
第1句：此事件后，窦学谦被新任驻加拿大公使刘师舜带到加拿大工作。
第2句：这时，中国正进入抗战最艰难的阶段。
第3句：日本几乎切断了中国与西方世界的所有联系渠道，使中国抗日战争面临巨大的挑战。
第4句：为争取外援，打破日本围困中国的企图，窦学谦协助刘师舜公使为赢得加拿大人民的同情，使其出手援助中国做了大量工作。
第二十一段落：
第1句：后来窦学谦在加拿大嫁给了一位比利时皇家贵族成员，从此在家相夫教子。
第2句：1945年3月4日《纽约时报》报道了一则篇幅很短的消息：“昨天下午，前中国驻渥太华使馆随员窦学谦小姐与比利时驻华盛顿大使馆一等秘书盖菲耶男爵在西四十七街433号的圣阿尔伯特罗马天主教堂喜结连理”。
第二十二段落：
第1句：窦学谦与丈夫和孩子在布鲁塞尔
第二十三段落：
第1句：窦学谦晚年生活在比利时，过着幸福而充实的生活，还经常参加各种社会活动。
第2句：笔者曾于1997年和2002年两次去布鲁塞尔看望她，在她家小住。
第3句：她喜欢聊天，汉语还是很流利的，只是多为老派用词。
第4句：每当回忆自己经历中的中国岁月总是滔滔不绝，眼里时常闪着泪花。
第5句：她感慨万千地说起小时在家中怎样受父亲宠爱，回忆在天津度过的少年时光，讲述在抗日战争期间曾与周恩来、黄华等老一辈共产党人的交往。
第6句：一段段往事回忆无不流露出老人对故乡的眷念，对生养自己的这片故土一往情深。
第7句：她为自己由于复杂的历史和政治原因一直没能实现回到祖国的愿望深感遗憾。
第8句：2003年3月，窦学谦女士在比利时布鲁塞尔因病去世，享年89岁。
第二十四段落：
第1句：1997年笔者和来奥地利探亲的女儿一起前往布鲁塞尔与姨妈相见。
第二十五段落：
第1句：窦学谦是我的姨妈，上世纪40年代离开中国。
第2句：由于种种复杂因素，家人都对这种亲戚关系讳莫如深。
第3句：文化大革命后我通过在比利时留学的同学转交给中国驻比利时大使馆一封信，希望他们能帮我找到生活在布鲁塞尔的姨妈。
第4句：窦学谦的丈夫是比利时颇有名望的皇室成员，寻找起来不算难事，很快我就收到了姨妈的回信。
第5句：她得知我的消息后特别高兴，但因为当时的具体情况我们还无法相见。
第6句：1993年我作为记者去维也纳常驻，姨妈热情地邀请我去布鲁塞尔，我和来奥地利探亲的女儿一起前往布鲁塞尔与姨妈第一次相见。
第7句：她断断续续地讲述了自己鲜为人知的经历，并给我看了她收存的大量记录她生平的原始资料。
第8句：她许诺在她过世后会将这些资料全部送我。
第9句：2003年3月她因病去世，她的子女给我当时在柏林的地址寄来讣告，邀请我去参加葬礼，而我恰好在国内休假没有及时收到，以后我也没能再联系上她的家人。
第10句：遗憾的是，我最终也没有得到她许诺的资料，我想一定还有很多事情我还未知，也许将永远不得而知。
第二十六段落：
第1句：今年是中国人民抗日战争暨世界反法西斯战争胜利80周年，我想借此契机，追思为抗日救国做出过贡献的一代人中的一个代表，让我们感受到前辈们的爱国情怀。
第二十七段落：
第1句：注：笔者曾作为《中国妇女报》常驻维也纳记者和驻柏林特约记者，长期在奥地利和德国工作，已退休多年。
第2句：来源： 光明网
### 第三篇：
第一段落：
第1句：关于数字未来的讨论中，出现了越来越多青年的身影。
第2句：这是最近几天人们在乌镇看到的现实。
第二段落：
第1句：在2024年世界互联网大会乌镇峰会（以下简称“乌镇峰会”）的会场上，多米尼加电信研究所助理玛丽安赫尔·卡尔德隆·马丁内斯分享了自己的目标：希望我们每个年轻人都能在开发影响整个社会的技术和政策的过程中，发挥重要作用。
第2句：从事法学研究的马丁内斯说：“在建设以人为中心的数字未来的过程中，人工智能和创新必须服务于每个人。”
第三段落：
第1句：本次乌镇峰会，18名青年领袖荣获2024年全球青年领军者计划证书，他们来自17个国家和地区。
第2句：作为互联网时代的“原住民”，青年在努力成为数字时代的“弄潮儿”。
第四段落：
第1句：“数字技术可以帮助我们不断改善教育，降低青年失业率，促进整个经济社会的发展。”维也纳大学博士研究生、丝绸之路国际青年联盟主席阿伊坦·阿利耶娃认为，数字赋能的未来是互联互通的，“要想从中受益，所有的年轻人和青年领袖都应培养一系列数字化技能”。
第五段落：
第1句：数字时代的青年创新
第六段落：
第1句：数字时代给了青年广阔的创新空间。
第2句：“无论是在人工智能、量子信息、生物技术等前沿科技，还是新能源、新材料、智能制造等战略性新兴产业，青年一代都展现出强大的创造力，正在发挥着独特且关键的作用。”世界互联网大会秘书长任贤良说。
第七段落：
第1句：本次乌镇峰会举办期间，不少与会青年嘉宾将自己的创新成果带到了现场。
第2句：来自埃及的穆罕默德·戈兹尔是艾因·夏姆斯大学机械与机电工程专业的一名学生，他的另一个身份，是埃及“自然之眼实验室”的创始人。
第八段落：
第1句：“我们希望通过人工智能、量子计算、大数据等先进技术，支持可持续发展的目标，并实现尖端技术的普及。”戈兹尔介绍，他和实验室团队成员正在开发通信技术，致力于在埃及搭建一个全面、稳定且安全的数字空间。
第2句：“我们实验室有一个电子政务项目，它简化了政府机构办事程序，链接了各个政府部门，实现了文件的便捷发布，并在一定程度上强化了治理和问责制度。”他说。
第九段落：
第1句：最近，“自然之眼实验室”正在做一个创业支持性项目。
第2句：戈兹尔等人希望通过建立像ChatGPT一样的大语言模型，利用AI技术帮助创业者解锁更多商业机会，更好地搭建供应链，从而获得更大收益。
第3句：在戈兹尔看来，“自然之眼实验室”的目标是要做能力建设。
第4句：“我们希望能确保新一代年轻人可以接连不断地站在巨人肩膀上，借助AI实现双赢或多赢。”
第十段落：
第1句：凭借在数字化领域的突出创新表现，戈兹尔在乌镇峰会上被评为18名“2024年全球青年领军者”之一。
第2句：戈兹尔表示，互联网技术、人工智能和量子计算的融合带来了无与伦比的机遇，同时也带来了巨大挑战。
第3句：“青年有能力塑造技术的未来，确保技术成为造福人类、推动进步的工具，建设一个安全和可持续的网络空间。”
第十一段落：
第1句：青年源源不断地汇聚到创新创业的大潮中，但这条路并不容易。
第2句：同样是“2024年全球青年领军者”之一，生长于中国澳门的徐展聪是一名信息通信科技专家，是澳门MTEL电信公司（以下简称“MTEL”）联合创始人。
第3句：从澳门科技大学资讯科技本科毕业后，徐展聪取得了华中科技大学行政管理（电子政务）硕士学位，之后便和一众前辈在固网电信领域创业。
第4句：“我们公司是从零起步的。”徐展聪回忆，刚开始在澳门投标固网电信运营时，他的公司一方面要建立团队，完善商业顶层设计、产品服务内容等，另一方面还要自己在当地建设基础设施网络。
第十二段落：
第1句：徐展聪在环境、政策、人力等方面曾遇到诸多挑战，其间，他也想过放弃，但他坚定认为“变化是永远不变的定律”。
第2句：他说，对于创业者来说，应对变化非常困难，但要勇敢应对变化，“要集思广益，不断去沟通、沟通、再沟通，才能解决困难”。
第十三段落：
第1句：如今，MTEL已成为澳门第二大固网电信运营商，徐展聪领导团队建立了澳门第一个全光纤光通信网络。
第2句：技术的改变，不仅提升了互联网光通信服务质量，为消费者带来更多选择和实惠，还为澳门的中小企业注入新的活力与竞争力。
第十四段落：
第1句：今年是澳门回归祖国25周年。
第2句：徐展聪注意到，当前澳门在经济、交通、政务等方面都朝着智能化发展。
第3句：“我们公司未来要大力发展数字经济，为澳门的多元化发展注入内生动力和活力，进一步提升澳门整体竞争力。”徐展聪说。
第十五段落：
第1句：在数字时代发出青年声音
第十六段落：
第1句：数字技术的发展，使得创新的边界被不断拓宽，也带来一些新的问题，如数字鸿沟、网络安全、数据安全等。
第2句：“青年是推动数字发展的中坚力量。”任贤良指出，青年应具有全球视野，以更加开放合作的姿态拥抱世界、融入全球，积极参与各国和国际组织数字政策制定，参与网络空间互学互鉴活动，为弱势群体发声，构建和平、安全、开放、合作的网络空间。
第十七段落：
第1句：在乌镇峰会上，有不少年轻人一直在为数字时代发声。
第2句：他们通过行动和语言，向世界诠释着青年力量的含义。
第3句：“2024年全球青年领军者”谭政宗，就是其中之一。
第十八段落：
第1句：谭政宗是马来西亚通讯部的一名特别职能官员，主要工作是协助副部长处理议会事务及政策制定等。
第2句：他还有另外一个身份：经历过新冠疫情的医生。
第3句：“我早期的职业生涯非常辛苦。
第4句：当时医疗环境并不理想，医生有很多工作要做，收入却并不高。”这些经历让谭政宗体会到政策对个人福祉的巨大影响。
第5句：因此，在进入政府部门工作后，他一直致力于改善和提升偏远地区的远程医疗服务水平。
第十九段落：
第1句：“在马来西亚这类缺乏农村医疗基础设施的国家，通过倡导更广泛的互联网接入和加强5G网络利用，不仅能提高整个国家的技术能力，还能弥合数字鸿沟，确保所有人都能在数字时代健康成长。”谭政宗说，利用数字技术，人们在家里就能咨询医生，“这充分说明了技术对人类健康和福祉产生了积极影响”。
第2句：他认为在数字时代，年轻人不仅是互联网的用户，还是其未来的建设者、保护者和守护者。
第3句：“永远不要低估想法的力量，以及数字工具的强大作用。”
第二十段落：
第1句：同为“2024年全球青年领军者”之一，第一次参加乌镇峰会的法拉赫·古尔·拉胡贾，则致力于打破家乡“女性不应接受教育”的传统观念。
第二十一段落：
第1句：拉胡贾出生于巴基斯坦信德省的一个小村庄，那里的女孩接受教育和技能培训的机会非常有限。
第2句：“在一个‘女性担任领导职务’的想法常常被质疑的地区，我想成为一个特例，证明女性不仅能够当领导，还能对社会产生积极影响。”拉胡贾说。
第二十二段落：
第1句：带着上述想法，拉胡贾刻苦学习，最终取得了伊斯兰堡COMSATS大学生物信息学学士学位，后又专攻人工智能和数字技术。
第2句：学习过程中，拉胡贾意识到用好人工智能等技术，可以提高人们的能力，“这对于社会边缘群体来说尤为重要”。
第3句：于是，凭借自己在人工智能和机器学习项目中积累的经验，她参与开发了Pakgpt（一款WhatsApp聊天机器人——记者注），其目的不是盈利，而是为处于互联网末端的巴基斯坦农村地区的人们提供帮助，消弭数字鸿沟。
第二十三段落：
第1句：巴基斯坦城市拥有高速互联网，但农村地区却经常面临网速慢或连接不稳定等问题。
第2句：“Pakgpt就旨在解决这一问题，即使在低带宽连接下，也能高效运转。”拉胡贾介绍，她还与巴基斯坦信息安全协会在网络安全领域开展合作，积极向农村女孩展示如何通过Pakgpt获取信息、技能和就业机会。
第二十四段落：
第1句：“消弭数字鸿沟”也是本次乌镇峰会的一个重要话题。
第2句：今年9月，联合国全球未来峰会以《未来契约》的附件形式正式通过《全球数字契约》。
第3句：联合国副秘书长李军华在开幕式上作视频发言时强调，数字技术有望加速实现可持续发展目标，必须要消弭数字鸿沟，扩大数字经济惠及面，加强人工智能国际治理，从而造福全人类。
第二十五段落：
第1句：拉胡贾也非常认同这个观点。
第2句：“数字技术能够帮助我们弥合数字鸿沟，并推动社会福利的进一步扩围。”拉胡贾提到，巴基斯坦共有2.4亿人口，青年人口占了较大比重。
第3句：“作为年轻人，我决定去学人工智能，希望通过这样的方式不断赋能青年，让青年用好数字技术，弥合数字鸿沟。”
第4句：中青报·中青网记者 贾骥业 来源：中国青年报
### 第四篇：
第一段落：
第1句：中青报·中青网记者 贾骥业
第二段落：
第1句：这两天，乌镇的大街小巷里到处可以听到对数字未来的畅想，越来越多的青春梦想也就此点燃。
第三段落：
第1句：2024年世界互联网大会乌镇峰会（以下简称“乌镇峰会”）的会场上，多米尼加电信研究所助理玛丽安赫尔·卡尔德隆·马丁内斯分享了自己“简单而有力”的目标：希望我们每个年轻人，都能在开发影响整个社会的技术和政策的过程中，发挥重要作用。
第2句：从事法学研究的马丁内斯说，“在建设以人为中心的数字未来的过程中，人工智能和创新必须服务于每个人”。
第四段落：
第1句：不光是法学研究员，政府官员、研究所高级工程师、青年联盟领导者……在乌镇峰会关于数字未来的讨论中，出现了越来越多青年的身影。
第2句：本次乌镇峰会，18位青年领袖荣获2024年全球青年领军者计划证书，他们来自17个国家和地区。
第五段落：
第1句：作为互联网时代的“原住民”，青年的生活已经离不开数字化技术。
第2句：如今，他们也在努力成为数字时代的“弄潮儿”，为创造数字时代的明天贡献力量。
第六段落：
第1句：“数字技术可以帮助我们不断改善教育，降低青年失业率，促进整个经济社会的发展。”
第2句：维也纳大学博士研究生、丝绸之路国际青年联盟主席阿伊坦·阿利耶娃认为，数字赋能的未来是互联互通的，“要想从中受益，所有的年轻人和青年领袖都应培养一系列数字化技能”。
第七段落：
第1句：数字时代的青年创新
第八段落：
第1句：数字时代给了青年广阔的创新空间。
第2句：“无论是在人工智能、量子信息、生物技术等前沿科技，还是新能源、新材料、智能制造等战略性新兴产业，青年一代都展现出强大的创造力，正在发挥着独特且关键的作用。”
第3句：世界互联网大会秘书长任贤良说。
第九段落：
第1句：本次乌镇峰会，不少与会青年嘉宾将自己的创新成果带到了现场。
第2句：来自埃及的穆罕默德·戈兹尔是艾因·夏姆斯大学机械与机电工程专业的一名学生，他的另一个身份，则是埃及“自然之眼实验室”的创始人。
第十段落：
第1句：“我们希望通过人工智能、量子计算、大数据等最先进技术，支持可持续发展的目标，并实现尖端技术的普及。”
第2句：戈兹尔介绍，他和实验室团队成员正不遗余力地开发通信技术，致力于在埃及搭建一个全面、稳定且安全的数字空间。
第3句：“我们实验室有一个电子政务项目，它简化了政府机构办事程序，链接了各个政府部门，实现了文件的便捷发布，并在一定程度上强化了治理和问责制度。”
第十一段落：
第1句：最近，“自然之眼实验室”正在做一个创业支持性项目。
第2句：戈兹尔等人希望通过建立像ChatGPT一样的大语言模型，利用AI技术帮助创业者解锁更多商业机会，更好地搭建供应链，从而获得更大收益。
第3句：在戈兹尔看来，“自然之眼实验室”的目标是要做能力建设。
第4句：“我们希望能确保新一代年轻人可以接连不断地站在巨人肩膀上，借助AI实现双赢或多赢。”
第十二段落：
第1句：凭借在数字化领域的突出创新表现，戈兹尔在乌镇峰会上被评为18名“2024年全球青年领军者”之一。
第2句：戈兹尔表示，互联网技术、人工智能和量子计算的融合带来了无与伦比的机遇，同时也带来了巨大挑战。
第3句：“青年有能力塑造技术的未来，确保技术成为造福人类、推动进步的工具，建设一个安全和可持续的网络空间。”
第十三段落：
第1句：青年源源不断地汇聚到创新创业的大潮中，但这条路并不容易。
第2句：同样是“2024年全球青年领军者”之一，生长于中国澳门的徐展聪是一名信息通信科技专家，是澳门MTEL电信公司（以下简称“MTEL”）联合创始人。
第3句：从澳门科技大学资讯科技本科毕业后，徐展聪取得了华中科技大学行政管理（电子政务）硕士学位，之后便和一众前辈在固网电信领域创业。
第4句：“我们公司是从零起步的。”
第5句：徐展聪回忆，刚开始在澳门投标固网电信运营时，他的公司一方面要建立团队，完善商业顶层设计、产品服务内容等，另一方面还要自己在当地建设基础设施网络。
第十四段落：
第1句：徐展聪在环境、政策、人力等方面曾遇到诸多挑战，期间，他也想过放弃，但他坚定认为“变化是永远不变的定律”。
第2句：他说，对于创业者来说，面对变化非常困难，但要勇敢面对变化，“要集思广益，不断去沟通、沟通、再沟通，才能解决困难”。
第十五段落：
第1句：如今，MTEL已经成为澳门第二大固网电信运营商，徐展聪领导团队建立了澳门第一个全光纤光通信网络。
第2句：技术的改变，不仅提升了互联网光通信服务质量，为消费者带来更多选择和实惠，还为澳门的中小企业注入了新的活力与竞争力。
第十六段落：
第1句：今年是澳门回归祖国25周年。
第2句：徐展聪注意到，当前澳门在经济、交通、政务等方面都朝着智能化发展。
第3句：“我们公司未来要大力发展数字经济，为澳门的多元化发展注入内生动力和活力，进一步提升澳门整体竞争力。”
第4句：徐展聪说。
第十七段落：
第1句：在数字时代发出青年声音
第十八段落：
第1句：数字技术的发展，使得创新的边界被不断拓宽，也带来一些新的问题，如数字鸿沟、网络安全、数据安全等。
第2句：“青年是推动数字发展的中坚力量。”
第3句：任贤良指出，青年应具有全球视野，以更加开放合作的姿态拥抱世界、融入全球，积极参与各国和国际组织数字政策制定，参与网络空间互学互鉴活动，为弱势群体发声，构建和平、安全、开放、合作的网络空间。
第十九段落：
第1句：在乌镇峰会上，有不少年轻人一直在为数字时代发声。
第2句：他们通过行动和语言，向世界诠释着青年力量的含义。
第3句：“2024年全球青年领军者”——谭政宗，就是其中之一。
第二十段落：
第1句：谭政宗是马来西亚通讯部的一名特别职能官员，主要工作是协助副部长处理议会事务及政策制定等。
第2句：他还有另外一个身份：经历过新冠肺炎疫情的医生。
第3句：“我早期的职业生涯非常辛苦。
第4句：当时医疗环境并不理想，医生有很多工作要做，收入却并不高。”
第5句：这些经历让谭政宗体会到政策对个人福祉的巨大影响。
第6句：因此，在进入政府部门工作后，他一直致力于改善和提升偏远地区的远程医疗服务。
第二十一段落：
第1句：“在马来西亚这类缺乏农村医疗基础设施的国家，通过倡导更广泛的互联网接入和加强5G网络利用，不仅能提高整个国家
### 第五篇：
第一段落：
第1句：天津大学专业学位博士研究生招生类别包含工程类专业学位博士（简称工程博士）以及风景园林专业学位博士两类。
第二段落：
第1句：一、报考条件
第2句：（一）拥护中国共产党的领导，具有正确的政治方向，热爱祖国，愿意为社会主义现代化建设服务，遵纪守法，品行端正。
第3句：（二）考生的学位必须符合下列条件之一：
第4句：（1）已获硕士学位的人员（其中境外所获得学位须出具“教育部留学人员服务中心”的认证证书）；
第5句：（2）应届硕士毕业生（最迟须在入学前取得硕士学位证或硕士毕业证），且硕士期间从事过工程实践类课题研究；
第6句：（3）以硕士毕业同等学力身份报考的人员，须满足基本条件并且具有代表性科研成果，其中：
第7句：基本条件须符合以下条件之一：
第8句：①学士学位后具有6年以上工作经历（从获学士学位之日起到2025年9月1日）并且具有副高及以上职称；
第9句：②获学士学位后具有10年以上工作经历（从获学士学位之日起到2025年9月1日）。
第10句：代表性科研成果须满足下列条件之一：
第11句：①在本职工作中已取得显著性成果，其中至少一项成果获省部级及以上奖励；
第12句：②以主要完成人身份获得报考学院认可的国家科学技术奖励工作办公室登记审批的《社会力量设立科学技术奖》奖励；
第13句：③在报考领域以第一作者身份在我校相关学院（部）认定的核心期刊上发表的学术代表作2篇。
第14句：（三）具有较好的相关领域工程技术理论基础和较强的工程实践能力或潜力，能在国家重点行业、国家重大工程项目、战略性新兴产业行业中发挥技术骨干作用。
第15句：（四）身体健康状况符合国家规定的体检标准，心理健康。
第三段落：
第1句：二、招生类别和项目
第2句：（1）专业学位类别：
第3句：工程博士：085400电子信息；085500机械；085600材料与化工；085700资源与环境；085800能源动力；085900土木水利；086000生物与医药。
第4句：风景园林博士：086200风景园林。
第5句：类型 专业学位类别 招生单位
第6句：工程博士 机械
第7句：（代码085500） 机械学院、精仪学院、材料学院、管理与经济学部
第8句： 资源与环境
第9句：（代码085700） 建筑学院、管理与经济学部、环境学院、海洋学院
第10句： 能源动力
第11句：（代码085800） 机械学院、化工学院、自动化学院
第12句： 土木水利
第13句：（代码085900） 建工学院、管理与经济学部
第14句： 生物与医药
第15句：（代码086000） 化工学院、药学院、生命学院、医学院
第16句： 电子信息
第17句：（代码085400） 精仪学院、微电子学院、自动化学院、智算学部、医学院
第18句： 材料与化工
第19句：（代码085600） 材料学院、化工学院、理学院
第20句：风景园林 风景园林
第21句：（代码086200） 建筑学院
第22句：特别提醒：报名信息以系统为准；选择其他学术学位专业报名无效。
第23句：（2）招生项目：
第24句：A-普通类型：面向社会和硕士应届生；
第25句：B-项目制：继续面向与我校、学院（部）签订联合培养协议的国家重点行业、领域、产业链以及创新型企业、区域发展研究院等以项目制方式招收攻读工程博士专业学位研究生，详见各学院2025年工程博士专业学位研究生招生办法；
第26句：C-其他专项计划：
第27句：国家卓越工程师学院以及福州大学城联合研究生院专项计划，详见后续发布的专项博士招生简章。
第28句：其他专项计划可关注我校研究生招生网相关通知。
第29句：（3）招生计划：680人（2024年招生规模），2025年招生计划数以当年教育部下达我校的招生计划为准。
第四段落：
第1句：三、学习年限及学费
第2句：工程博士基本学习年限为4年，全日制工程博士学费标准为10400元/生/学年，非全日制工程博士（除电子信息外）学费标准为30000元/生/学年，学费按照每学年学费标准缴纳。
第3句：非全日制电子信息工程博士，第1-2学年学费标准为50000元/生/学年，第3-4学年学费标准为25000元/生/学年，总学费为150000元，学费按照对应学年学费标准缴纳。
第4句：风景园林博士（只招收全日制非定向）：学制4年，学费标准为13000元/生/学年。
第五段落：
第1句：四、奖助学金
第2句：我校构建起面向全日制非定向博士研究生多元奖励资助体系，包括博士生资助体系和博士生奖励体系两大版块。
第3句：全日制非定向博士研究生入学后在每年获得2.1万元人民币基本助学金以及不低于0.6万元导师助研的基础上，就读期间还可申请学业奖学金，以及助管、助教基金。
第4句：招生录取过程中，如遇最新政策，我校将做相应调整变化。
第六段落：
第1句：五、选拔方式
第2句：天津大学专业学位博士研究生招生采用“申请-审核”制，程序共分为申请阶段、审核阶段和录取阶段。
第3句：A申请阶段
第4句：（一）个人申请
第5句：1.网上报名
第6句：报名时间：
第7句：第一阶段：2024年12月12日～2025年1月10日（中午12时报名系统关闭）
第8句：第二阶段：2025年3月6日～2025年4月15日（中午12时报名系统关闭）
第9句：注：以上任一阶段报名成功均视为有效报名（重复报名无效）。
第10句：报名流程：登录天津大学研究生招生网（yzb.tju.edu.cn）—>服务系统—>统招博士报名系统，注册并完善个人信息及报考信息（填报指南）。
第11句：报名前可通过博导查询系统查询导师信息（天津大学研究生招生网（yzb.tju.edu.cn）—>服务系统—>2025年博导查询系统）。
第12句：网上报名提示：
第13句：（1）考试方式选择“普通招考”。
第14句：（2）报考种类选择“专业学位博士”。
第15句：（3）报考学习形式选择“全日制”，则报考类型选择“非定向”；报考学习形式选择“非全日制”，则报考类型选择“定向”。
第16句：（4）“专项计划”一般选择“无”；根据各类专项计划报考的考生应根据报考类别选择“工程博士项目制”、“工程硕博士改革专项”、“国家卓越工程师学院专项计划”、“福州大学城联合研究生院专项以及“对口支援”等。
第17句：非专项计划考生错选无效。
第18句：（5）上传照片为本人近期免冠JPG格式清晰证件照，像素宽度150 *高度210，照片大小为不超过20KB，其他要求见报名系统（如上传不成功，建议使用搜狗高速浏览器或调整更换上网环境）。
第19句：（6）网上填报的个人信息，如姓名（不能用拼音代替或姓名不全、有多余字符等）、性别、证件号码、出生日期（需与身份证信息一致）等必须准确、真实，否则影响录取。
第20句：（7）学位以及毕业证书编号应填写证书中载明的“证书编号”或者“学校编号”，如不清楚请点击填写样例1或样例2。
第21句：（8）前置学历的院校或专业发生变更或者不在系统名录里时可选择“其他”，手动填写院校名称和专业名称，务必与证书信息一致。
第22句：（9）2025届应届硕士毕业生网上报名时“学历信息”栏目下的“硕士学位及毕业信息”应按预计正常毕业时的信息进行填写（请勿填“无”硕士学位），证书编号可填写“0”。
第23句：（10）特别提示：因报名需要注册并填报、上传有关照片以及附件等材料，请务必预留足够时间开展网上操作，不建议临近截止时间报名，系统关闭后将无法提交或修改报名信息。
第24句：2.提交申请材料
第25句：申请材料在初审阶段以电子版形式在报名系统中提交。
第26句：申请人须将下述材料的（2）～（16）项，按照《2025年报考攻读天津大学专业学位博士研究生申请材料》（模版点击此处下载）格式要求按顺序转化为一个PDF文件上传报名系统（PDF命名为：考生姓名-报考专业-报考导师-博士申请材料）。
第27句：证书、证件、成绩单、能力证明材料等上传内容应清晰可见，附件总大小不超过20M。
第28句：申请材料清单如下：
第29句：（1）天津大学2025年报考攻读博士学位研究生登记表
第30句：该表由报名系统自动生成，通过初审（个人状态为“具备资格”）且缴费成功后，可下载打印；签署本人姓名并完成相应栏目的审批手续，现场确认时提交。
第31句：（2）申请信（无模板，自行设计）
第32句：（3）个人简历（无模板，自行设计，带近期免冠证件照片）
第33句：（4）现实表现情况表（模版点击此处下载）
第34句：包括思想政治素质和品德考核的主要内容包括考生的政治态度、思想表现、学习（工作）态度、道德品质、遵纪守法和心理健康等方面的情况。
第35句：原则上在职考生由所在工作单位人事或组织部门盖章；在校生由所在学校学工部或研究生院等主管部门盖章；其他考生由人事档案所在部门（人才交流中心等）盖章。
第36句：（5）考生诚信报考承诺书（模版点击此处下载）
第37句：须仔细阅读并本人手签。
第38句：（6）报考天津大学专业学位博士研究计划书（模版点击此处下载）
第39句：应包含致力于研究的工程技术或管理问题、已有基础、基本思路、研究方法以及预期目标（拟解决的行业、产业实际问题）等，同时须包含学院招生办法中的其他要求。
第40句：（7）本人有效身份证或军人证
第41句：（8）学历学位证书或在学硕士证明
第42句：提供本科和硕士阶段的毕业证书和学位证书，如在国外高校取得学位的考生，还须提供“教育部留学人员服务中心”的认证报告；
第43句：应届硕士毕业生提供《教育部学籍在线验证报告》，可登录中国高等教育学生信息网（学信网）https://www.chsi.com.cn/查询申请。
第44句：（9）学历学位证书证明材料
第45句：在提供学历学位证书基础上，考生视个人本科、硕士毕业情况提供如下证明材料。
第46句：※持2002年前（含）毕业的高等教育学历证书的考生需提供：《中国高等教育学历认证报告》，可登录中国高等教育学生信息网（学信网）https://www.chsi.com.cn/查询申请，具体可参考查阅本指引。
第47句：※持2002年后毕业的高等教育学历证书的考生需提供：学信网上查询《教育部学籍在线验证报告》（应届生身份考生）或《教育部学历证书电子注册备案表》（往届生身份考生）。
第48句：未能通过学历（学籍）网上校验的考生应提供上述《中国高等教育学历认证报告》。
第49句：※硕士阶段仅有硕士学位证书的（单证）考生，应同时提供以下证明：
第50句：a硕士学位认证报告，可登录中国高等教育学生信息网（学信网）https://www.chsi.com.cn/查询申请；
第51句：b本科（含专升本以及自学考试本科学历等）阶段毕业证书的《中国高等教育学历认证报告》或《教育部学历证书电子注册备案表》。
第52句：（10）硕士课程成绩单
第53句：※须提供硕士阶段的课程成绩单，并加盖学校培养单位公章（若为复印件须加盖档案管理部门公章）。
第54句：※同等学力身份报考人员，须提供本科阶段的课程成绩单，并加盖学校培养单位公章（若为复印件须加盖档案管理部门公章）。
第55句：（11）硕士学位论文摘要
第56句：包括硕士论文题目、指导教师以及论文摘要和创新性总结。
第57句：（12）代表性科研成果
第58句：包括发表代表作、申请专利、获得显著性科研成果、参与科研项目情况以及解决的行业或产业实际问题等。
第59句：（13）外国语水平证明材料
第60句：外国语水平证书或留学经历证明等。
第61句：（14）各类获奖证书、工程获奖证明
第62句：（15）以同等学力身份报考的考生
第63句：须提供相关证明材料（见本招生简章第一（二）（3）款）。
第64句：（16）报考学院（部）要求的其他材料以及能力证明材料，请仔细阅读附录中各学院（部）招生办法。
第65句：（17）专家推荐书（两封）
第66句：须下载空白《专家推荐书》（模版点击此处下载），按照学院要求请2位专家填写推荐理由和意见（专家职称应为副教授及以上；签名手写，其他内容手写、打印均可），由推荐人签字密封并在信封封口处骑缝签字，现场确认时提交。
第67句：（二）资格审查
第68句：考生在博士招生管理系统中自主选择和申请专业学位博士导师；学院组成“申请材料初审小组”，对考生申请材料进行审查、筛选。
第69句：审查结果将通过报名系统向考生反馈，同时资格审查通过的考生将进行集中公示（具体时间参考附录）。
第70句：考生应及时关注报名系统个人状态。
第71句：状态为“具备资格”的考生代表资格审查通过，考生应在规定时间内登录博士报名系统缴纳博士报名考试费、复试费共计230元人民币，未成功支付的报名无效。
第72句：状态为“不具备资格”的视为未通过资格审查，不能进入到该类别后续考核环节。
第73句：（三）现场确认
第74句：通过资格审查的考生，应于2025年4月下旬携带全部申请材料的原件和复印件到报考学院指定地点办理现场确认手续，具体时间地点等工作安排由报考学院另行通知。
第75句：所提交审查的材料中，身份证件、毕业和学位证书以及外国语水平证明的原件用于查验，报考登记表、成绩单以及专家推荐书原件等将根据当年归档政策归入个人档案，申请材料须用A4纸规格或用A4纸复印，封面采用《2025年报考攻读天津大学专业学位博士研究生申请材料》（模版点击此处下载），每份材料按照申请材料清单顺序整合，现场资格审查合格后由报考学院收取。
第76句：B审核阶段
第77句：（四）综合考核
第78句：通过资格审查的申请人应在规定时间内携带有效居民身份证件参加由报考学院组织的综合考核。
第79句：综合考核内容请查看报考学院专业学位博士研究生招生办法（见附录）。
第80句：综合考核具体安排将在2025年5月上旬前由学校研招网统一汇总后发布。
第81句：考生应按报考学院要求和安排参加考核，否则报考无效。
第82句：以硕士毕业同等学力身份报考的人员，通过综合考核后，报考学院还将安排组织加试政治理论课和两门专业课，满分均为100分，成绩须达到合格线。
第83句：C录取阶段
第84句：根据教育部下达的专业学位博士招生计划和各学院的综合考核结果，坚持“全面衡量、择优录取、保证质量、宁缺毋滥”原则，依照考生报考的志愿，按总成绩从高到低择优录取。
第85句：拟录取信息统一公示10个工作日。
第86句：公示期满，原则上拟录取信息不再变更。
第87句：录取类别：
第88句：（一）全日制非定向博士研究生：考生须将人事档案、工资关系等转入天津大学，否则将取消录取资格，毕业后双向选择、自主择业。
第89句：（二）非全日制定向博士研究生：考生将人事档案、户口、工资关系等留在定向单位，且与天津大学研究生院签订协议书（随录取通知书邮寄），毕业后考生按协议书就业。
第90句：期间，考生与签约单位之间由合同产生的各类责任关系，由考生本人与签约单位协商处理，与招生单位无关。
第91句：风景园林专业学位博士只招收全日制非定向类型。
第92句：各类专项计划招收的专业学位博士生以及面向本校以硕博连读招收的专业学位博士生均计入各学院该类别博士总招生计划。
第七段落：
第1句：六、毕业及学位
第2句：在学校规定学习年限内，完成规定培养任务并通过学位论文答辩者，按照国家有关规定发给相应的、注明学习方式（全日制、非全日制）的毕业证书。
第3句：符合学位授予规定的，经校学位评定委员会审议通过后，授予相应的机械、资源与环境、能源动力、土木水利、生物与医药、电子信息、材料与化工等博士专业学位以及风景园林博士专业学位。
第八段落：
第1句：七、监督机制
第2句：成立校院两级监察小组等监督小组，对博士研究生的招生选拔进行全过程监察督导。
第3句：对于申请和审核过程中出现徇私舞弊、滥用职权的人员，一经查实将按国家和学校有关规定严肃处理。
第4句：对在博士招生过程中弄虚作假，存在考试作弊、论文抄袭、虚报获奖或科研成果等学术不端行为的，或有其他影响招生过程和结果公平公正的考生，一经查实，取消其录取资格或学籍，并报所在地省级教育招生考试机构，按规定将相关违规或作弊事实记入《国家教育考试考生诚信档案》。
第5句：同时将考生的违规违纪等情况通报其所在学校或工作单位，记入考生学籍或人事档案。
第6句：凡对录取结果持有异议的考生或导师，可在公示期间进行申诉。
第7句：申诉人应首先向报考学院提交申诉书及有关证明材料，由报考学院处理并存档备案；如对院级处理结果不服，可在院级处理结果下达后5个工作日内向天津大学研究生院和纪检监察部门进行申诉，按要求如实、客观提交证明材料。
第8句：匿名、冒名或超出期限的异议不予受理。
第9句：学校受理邮箱：[email protected]（优先）；
第10句：受理电话：022-27409520；022-27401195。
第九段落：
第1句：八、特别说明
第2句：1.本招生简章为普通招考类专业学位博士研究生招生简章，非学术学位博士研究生招生简章。
第3句：本招生简章及学院招生办法中表述的“工程博士”为工程类专业学位博士统称。
第4句：2.按照国家有关规定，录取全日制非定向考生的户口迁移实行自愿原则。
第5句：3.现为定向应届毕业硕士生、拟报考定向培养的考生、原为定向硕士生和现正在履行合同中服务年限的在职人员考生，须征得培养单位或工作单位的同意，否则报考无效或取消录取资格。
第6句：4.应届硕士研究生在博士生入学之前必须获得硕士学位证或硕士毕业证，届时不能提供证书者将被取消录取资格。
第7句：5.凡被我校录取的全日制非定向培养的博士研究生，入学后可申请宿舍；录取为非全日制或者定向类型的专业学位博士原则上不提供住宿。
第8句：学校视住宿资源情况进行具体分配。
第9句：6.境外学位获得者须在录取当年入学报到前出具“教育部留学人员服务中心”的认证证书，否则将取消录取资格。
第10句：7.我校不允许研究生同时具有两个及以上研究生学籍。
第11句：8.为保障招生计划落实以及维护招生的严肃性，拟录取后如放弃拟录取资格请在公示期内提出，公示期结束后学校将整理数据并制作有关拟录取材料。
第12句：公示期结束后提出放弃拟录取资格不予受理，务请慎重。
第13句：招生录取数据具有原始性、凭证性，录取信息报送“中国研究生招生信息网”并经主管部门审核后无法修改（招生主管部门另有规定的除外）。
第14句：9.网上支付报名考试费、复试费前请再次确认。
第15句：因个人原因取消报名或不能参加考核的，已支付的报考费用不予退还。
第16句：10.各学院招生办法中涉及全校政策的报考条件、学费、奖助学金、毕业以及学位等规定如有与本招生简章不一致的，应以本招生简章为准。
第17句：11.我校不举办考前辅导班。
第18句：未授权任何单位和个人进行招生辅导活动，如咨询可联系附录中各院级单位招生咨询电话。
第19句：12.请仔细阅读本招生简章，报名成功即视同已知悉并遵守本招生简章的相关规定。
第20句：13.本招生简章由天津大学研究生招生办公室负责解释；各学院的制订的招生办法由相关学院负责解释。
第21句：14.如遇主管部门政策变化，我校招生简章各环节、流程将做相应调整，请务必关注我校研招网。
第22句：咨询邮箱：[email protected]
第23句：咨询电话：022-27409520，022-27401195
第十段落：
第1句：九、通讯方式
第2句：1.各学院咨询电话详见附录，涉及招生办法、申请材料审核以及考核安排等优先咨询报考学院。
第3句：通讯地址详询各学院。
第4句：2.天津大学研究生招生办公室地址：
第5句：卫津路校区：天津市南开区卫津路92号 天津大学第九教学楼217室；邮编：300072。
第6句：北洋园校区：天津市海河教育园区雅观路135号 天津大学1895行政服务中心（杏荪楼）A305室；邮编：300350。
第7句：电子邮箱：[email protected]
第8句：联系电话：022-27409520
第十一段落：
第1句：十、附录
第2句：1.各学院工程博士专业学位研究生招生办法（点击查阅）
第3句：机械工程学院2025年工程博士专业学位研究生招生办法
第4句：精密仪器与光电子工程学院2025年工程博士专业学位研究生招生办法
第5句：建筑工程学院2025年工程博士专业学位研究生招生办法
第6句：建筑学院2025年工程博士专业学位研究生招生办法
第7句：化工学院2025年工程博士专业学位研究生招生办法
第8句：材料科学与工程学院2025年工程博士专业学位研究生招生办法
第9句：管理与经济学部2025年工程博士专业学位研究生招生办法
第10句：理学院2025年工程博士专业学位研究生招生办法
第11句：药物科学与技术学院2025年工程博士专业学位研究生招生办法
第12句：环境科学与工程学院2025年工程博士专业学位研究生招生办法
第13句：生命科学学院2025年工程博士专业学位研究生招生办法
第14句：海洋科学与技术学院2025年工程博士专业学位研究生招生办法
第15句：微电子学院2025年工程博士专业学位研究生招生办法
第16句：电气自动化与信息工程学院2025年工程博士专业学位研究生招生办法
第17句：智能与计算学部2025年工程博士专业学位研究生招生办法
第18句：天津大学医学院2025年工程博士专业学位研究生招生办法
第19句：注：我校新媒体与传播学院（咨询电话022-27405272）、分子+研究院（咨询电话022-87371889）、分子聚集态科学研究院（咨询电话：022-27893326）、国家卓越工程师学院以及天津大学福州国际联合学院（咨询电话0591-62602689）等单位挂靠有关主体学院招生，具体可咨询相关学院。
第20句：2.相关学院风景园林专业学位博士招生办法（点击查阅）
第21句：建筑学院2025年风景园林专业学位博士招生办法
第22句：3.天津大学2025年专业学位博士招生专业目录（报名系统中查询）
第23句：http://202.113.8.92/bszs/zsds
### 第一篇：
第一段落：
第1句：科学中心是第三代科学博物馆，其历史根植于传统博物馆。
第2句：早期科学博物馆（如自然历史博物馆、科学工业博物馆）以静态陈列自然标本、地质矿产、工业机械等实物为主。
第3句：随着现代科技与社会关系演变，以及博物馆学经历“以物为中心”向“以人为中心”的转向，让公众理解并参与科学的科学中心应运而生，其核心特征在于动手互动体验。
第4句：从静态展示的自然/工业博物馆到互动参与的科学中心，其类型与名称的演变，深刻反映了时代需求以及科技与社会互动模式的变迁。
第二段落：
第1句：加拿大蒙特利尔魁北克大学传播学院的希尔（Bernard Schiele）教授在《科学技术公众传播手册》一书“科学博物馆与科学中心－－演化路径与当代趋势”一章中将科学博物馆、科学中心、探索中心等互动型科学博物馆与中心统称为科学博物馆与科学中心（简称为SMC）。
第2句：按SMC的展示理念变迁将其发展的三个历史阶段划分为：技术史展示阶段、展示现代科学和增强科学知识阶段、促进科学大众化与知识扩散阶段。
第3句：提出SMC向第四个阶段，即注重科学技术与社会的关系和尊重公众的主动地位阶段演进的趋势。
第4句：认为未来科学中心的展示的主题将从科学技术本身转向科学技术与社会的关系，形式上更多将采用参与式、生成式展示，凸显公众的主体性，公众在参与互动中，促成意义的生成。
第三段落：
第1句：科学中心资深顾问怀特（Harry White）在（北美）科技中心协会（ASTC）会刊《维度》2019年9-10月刊“第三代：科学中心的发展趋势”一文中提出了“未来馆”（Museum of the Future）这一概念，并将其视为新一代的科学中心。
第2句：欧洲科学中心和博物馆网络（Ecsite）2019年年会探讨了侧重于展示“未来”的展项和机构。
第3句：会议认为日本的未来馆、澳大利亚的发现博物馆（MOD.）、奥地利的林茨多媒体艺术中心、法国的图卢兹文化活动中心、芬兰的赫尤里卡（Heureka）侧重展示未来主题的展项，波兰的哥白尼科学中心、比利时的 Technopolis科学中心当时正在策划未来主题的展览，德国和迪拜当时正在建设未来馆。
第四段落：
第1句：联合国教科文组织国际顾问马丁内斯（Eduardo Martinez）在“第四代科学中心和科技博物馆：向参与性、变革和跨学科演变”一文中，分析了全球科学中心和科技博物馆漫长且充满挑战性的演变过程，并指出，正在逐渐发展起来的第四代科学中心和科技博物馆则注重参与性、变革、跨学科、虚实结合，融科技、生态、人文及艺术为一体，推崇在一个有主动意识、注重参与、博学多识并具有科学素养的社区中围绕展品进行创造性的探究、实验、创新、讨论、学习以及举办活动。
第五段落：
第1句：作为科学博物馆的最新形态，新一代科学中心——未来馆，承载着满足人民日益增长的精神文化需求的重任，不断破壁升维：
第六段落：
第1句：理念上，打破文化、学科界限，以STEM（科学、技术、工程、数学）为核心内核，SHAPE（面向人类与经济的科学、人文及艺术）为外延框架，融合科学与人文艺术教育。
第2句：全球在地化，既胸怀世界又根植地方特色，强调公众参与，目标从普及知识升维至弘扬科学精神，促进公众对科学知识、情境及精神内涵的整体理解。
第七段落：
第1句：特征上，未来馆是集科学、教育、创新、研究、对话于一体的“第三空间”。
第2句：其核心在于参与性、跨学科性、变革性：展示个体选择如何塑造未来可能，探讨科技与社会、公众的互动关系，鼓励公众主动参与共建科学、社会和未来图景。
第八段落：
第1句：机制上，采用“大科普”思路下的跨域协同机制。
第2句：联动学科、文化、行业资源，面向全龄人群的终身学习需求，突破物理限制，实现集群化发展和智能泛在化延伸。
第九段落：
第1句：主题上，内容覆盖基础科学与前沿探索，关注日常生活科学，更聚焦于公众可参与讨论和建构的社会性科学议题（如伦理、环境、政策等）。
第十段落：
第1句：形式上，运用具身化、沉浸式交互体验。
第2句：通过多感官叙事与空间叙事（入眼、入耳、入脑、入心），引导观众从感官体验、意义建构到精神共鸣的深度学习之旅。
第十一段落：
第1句：未来馆通过以上方式，将更有效地履行科学博物馆科学教育等核心社会功能。
### 第二篇：
第一段落：
第1句：窦学谦女士是一位传奇女子，在抗日战争时期被誉为中国女性参与国民外交之典范，抗日救亡宣传之先锋，也曾一度成为众矢之的。
第2句：她的一生经历了许多鲜为人知的故事，就像一部曲折离奇的历史剧。
第二段落：
第1句：窦学谦1914年1月生于天津，是家中长女，父亲窦英堂是当时天津开明绅士，以其慷慨解囊造福乡里，捐资办学，修路造桥等善举赢得人们的敬重。
第2句：他还曾参与营救被捕入狱周恩来的行动。
第3句：他给长女取名学谦，寓意敏而好学。
第4句：窦学谦人如其名，从小就天赋聪慧。
第5句：南开初中毕业后她被家人送到当时北平有名的女子教会学校——贝满女中。
第6句：该校由美国基督教公理会创建，是近代最早引进西方教育的新型学校，教学内容与中国传统教育迥然不同，采用的完全是从欧美学校借鉴的教学大纲，课程包括数学、物理、化学、地理、语文和英语等。
第7句：在这里窦学谦第一次接受了系统的科学教育并开始展露才华。
第8句：1931年4月北平市举办“大中小学生演讲竞赛会”，窦学谦是该校中学组参赛选手，表现了出色的演讲口才，在36所中学参赛选手中脱颖而出，最终拔得中学组决赛的头筹。
第9句：时任驻北平的陆海空军副总司令张学良亲自为她颁奖并赠与一架柯达照相机。
第10句：这时的窦学谦已经褪去童稚，成为了一名有思想和有才华的青年。
第三段落：
第1句：窦学谦是贝满女中历史上一位杰出的学生代表。
第2句：1931年九一八事变后已成为学生会主席的她发挥其出色的演讲能力，积极参与学界抗日救亡宣传，颇具影响。
第3句：据一篇题为“贝满女中抗日往事”的文章记载：1931年9月，贝满初、高中全体同学六百余人，在学生会的召集下，齐聚初中部教学楼东部的校园里，召开声讨日本帝国主义侵略我东北三省大会，这同时也是救亡宣传的动员大会。
第4句：会上，学生会主席、高二女学生窦学谦报告“九·一八”事变经过，及东北同胞的悲惨处境。
第5句：当她讲到日寇残杀我同胞种种罪行时，全场泣不成声。
第6句：在窦学谦的带领下，学生们组织了救亡宣传队、为东北受难同胞募捐小分队等，配合全市各大中院校救亡大军，深入城区大街小巷和郊区农村，开展抗日救亡的募捐活动。
第7句：此时的贝满中学师生已经成为抗日救亡浪潮中的一支重要力量。
第8句：学校里有读书会，其成员之间传播革命书籍，讨论时局趋向，以及出版壁报等。
第9句：很多学生通过读书会的各种活动接受了革命理论。
第四段落：
第1句：窦学谦的爱国情怀与她从小耳闻目睹其父救国爱民的举动不无关系。
第2句：父亲窦英堂属于早期的进步人士，多次参加各种爱国救国运动。
第五段落：
第1句：窦学谦父亲窦英堂先生。
第六段落：
第1句：“五四”运动后，抵制日货风潮日起，引起了经营日本商场老板的不满，有些店东勾结日本人殴打学生，对此，学生及各界提出强烈抗议。
第2句：1920年1月29日天津学生5000余人在周恩来的领导下到省公署请愿，遭到军警镇压，有50余人受伤。
第3句：周恩来、郭隆真、张若名等代表均被逮捕。
第4句：社会各界人士对代表们被捕表示极大的义愤与同情。
第5句：为营救被捕代表，天津各界也进行了不懈的努力，并得到全国人民的声援。
第6句：窦英堂当时是天津公教基督教会的堂主，他与各界人士经常去探望、慰问被捕代表，利用自己在基督会的影响，广作宣传，用社会舆论对反动当局提出谴责，施加压力，要求当局释放在押代表。
第7句：周恩来1920年7月出狱后根据被拘代表的回忆和个人日记，整理写出了《警厅拘留记》和《检厅日录》两本小册子，真实记录了被捕代表在狱中的生活和斗争情况，记载了包括窦英堂等各界人士对被捕代表的关心和支持，揭露了北洋军阀政府残酷镇压爱国运动的罪行。《检厅日录》记录到：“4月13日又有范连青、王西园、纪树屏和公教基督教代表窦英堂四人来警察厅看望大家”，但却遭到检察厅拒绝，“人没有见着，送进些水果给大家”。
第8句：经过狱内外的共同斗争，天津地方检察厅终于在7月17日开庭审理此案。
第9句：《检厅日录》的文中提到，“7月17日午前就来了很多朋友，一直到了大家拘禁的院内…，窦英堂、马仲三，还有天津商会好多职员全来了”并陪同到检察厅旁听判决结果。
第10句：此前，全国各界联合会等也纷纷通电，要求释放被捕人员。
第11句：反动当局迫于全国的压力，不得不在7月17日被迫无罪释放周恩来、郭隆真等20多名被拘代表。
第12句：天津各界人民隆重迎接被释放代表凯旋，窦英堂代表基督教会将写有“为国牺牲”字样的胸花和胸章分送被拘代表佩戴胸前。
第13句：父亲的所作所为潜移默化地影响着窦学谦，影响着她的社会化行为。
第七段落：
第1句：1935年3月她被北平女青年会推选参加了1935年全国大学女生联合扩大会议，1937年5月，窦学谦提交的一篇题为“中国妇女的地位、教育、与职业”的学士毕业论文引起广泛关注，其观点颇受宋美龄的赏识，她很快将刚刚毕业的窦学谦选为自己的助手。
第2句：批驳敌方的造谣污蔑，获得了海外华侨和世界各国人民的了解、同情和支持。
第3句：作为大学生的她在政治上更为成熟，积极参与为妇女争取法律上平等地位的活动。
第4句：1939年窦学谦经香港乘意邮轮前往意大利、德国、法国、比利时、荷兰以及英国。
第5句：她每经过一个国家都逗留较长时间，会晤当地朝野人士，国际友人和爱国华侨，向他们讲述中国人民抗日的实情。
第6句：窦学谦大学毕业时正面临日本对我国华北的疯狂侵略，窦学谦受宋美龄委派到欧美进行抗战救亡宣传工作，外媒将窦学谦介绍为“蒋介石夫人的代表”、“蒋介石夫人秘书和闺中密友”。
第7句：从贝满女中毕业后，窦学谦进入燕京大学法学院社会学系。
第八段落：
第1句：窦学谦（左2）杨惠敏（左3）杨女士因其在上海四行仓库战役中的英勇事迹而被国人记住，她的故事于2020年被拍成电影《八佰》。
第九段落：
第1句：荷兰当地有报道写到：“窦学谦和上海四行仓库保卫战中送旗的女童子军杨惠敏一起到荷兰宣传抗战，并组织当地留学生进行义演，为国内抗日军队募捐大批防毒面具”。
第2句：此后她又专程前往美国进行抗日宣传。
第十段落：
第1句：一份美国当地华人媒体这样报道窦学谦女士的美国之行：“大飞机中国号之华人搭客，昨日由远东抵达美国，客人中有华人男女各一名，女士为窦学谦小姐，年22岁，燕京大学毕业生，现任华中大学妇女部主任，此次来美参加世界青年大会。
第2句：与窦小姐同学同行的是燕京大学教授张伯瑾，他们还将会晤时任中国驻美大使及美外交部长和美国各界人士，争取其对中国抗日战争的支持。
第3句：此行受到国民政府的高度重视，到机场迎接的有国民党驻美总支部特派员吴东恒、驻美副领事庚迪以及各界代表多人”。
第十一段落：
第1句：当地媒体在谈到他们一行访美的背景时称：“一些盟国虽对我抗日表示同情和支持，但战争的正义性欠缺宣传，固然有胡适等人相继发声，但未能形成舆论规模。
第2句：国外很多人只知其轮廓，不了解其实情，产生不少误解。
第3句：我各界人士与国外联系甚广，纷纷出国进行宣传”。
第4句：美国当地华人另一家媒体这样报道：“窦学谦女士为我国女性参与国民外交之先锋，窦君正当年，未脱大学生风度，文质彬彬谈吐流利，潇洒中带有刚剑气，活泼且青春活力，为摩登女士之典型”。
第十二段落：
第1句：抗战时期有一个特殊部门——国民政府军事委员会政治部第三厅，主管抗战宣传工作，受时任政治部副部长周恩来直接领导，是国共第二次合作的成果。
第2句：厅下设三个处，分别为文字宣传处、艺术宣传处和国际宣传处。
第3句：虽然窦学谦女士被宋美龄钦点前往欧美进行抗战宣传，但在具体工作上接受周恩来负责的政治部第三厅领导，窦学谦很早就开始与中国共产党接触，“与周恩来也常有交往” 。
第十三段落：
第1句：海外媒体对窦学谦出发的部分报道。
第十四段落：
第1句：抗战进入焦灼阶段，中缅通道在中国战略物资输入中的地位日渐凸显，中国的各种战略物资的输入都需要得到英属缅甸方面的配合。
第2句：为维系这条运输要道的畅通，当时的国民政府积极推动对缅官方和社会各界的交往互动。
第3句：窦学谦就曾作为女性和文化界代表在1941年8月随中国访缅代表团飞赴仰光，团长是时任北京大学校长蒋梦麟，副团长为国民党中委曾养甫，以及秘书长、中英及中缅文化协会秘书长杭立武等人。
第4句：缅甸当时是英属殖民地，中缅之间的交流是在英国的掌控和认可下进行的，背景复杂。
第5句：该团访缅的目的是加强对缅甸工作，确保抗战物资通过中缅通道进入中国，打破日本困死中国的企图。
第6句：窦学谦凭借其智慧和优雅的形象，在各种场合发表演讲，声情并茂地讲述中国人民的苦难和抗战决心，赢得了缅甸各界的广泛关注和支持。
第7句：在出访英国时，窦学谦女士全身心投入为中国获得抗战援助的工作，尽显外交才能。
第8句：在时任中国驻英大使郭泰祺的支持下广泛开展公共外交活动，在英国民众中积极宣传中国抗战精神，为中国争取物资援助，推动英国开放中国军事补给线滇缅公路。
第9句：她的人生由此走上巅峰。
第十五段落：
第1句：窦学谦女士外表柔美、举止优雅、气质非凡，深深吸引了时任中国驻英大使郭泰祺，使其为之倾倒，一时间两人的特殊关系使窦学谦身背骂名。
第2句：芝加哥报2010年刊登的一篇署名为周谷的文章这样描述：1941年4月2日郭泰祺在驻英国任上被蒋介石任命为外交部长，回国赴任时带窦女士一同回到重庆，从此二人形影不离，郭又花65万元买下一栋别墅，金屋藏娇。
第3句：1941年12月重庆大公报发表的一篇题为《拥护修明政治案》的评论文章，戴季陶等借郭花公款购买豪宅一事，指郭泰祺回国后与一位名窦学谦的女性关系暧昧，并以郭的所作所为与宋美龄所宣传的新生活运动相悖为由，向蒋介石举报。
第4句：1941年12月15日，国民党五届九中全会开幕，蒋介石出席大会，随即在大会上宣布免去郭泰祺外交部长职务，全场委员为之震惊，郭泰祺则呆若木鸡。
第5句：郭在外交部长任上仅仅工作了9个月。
第6句：实际上，郭泰祺出任国民政府外交部长原本是各方妥协的结果，且蒋一直认为郭泰祺原是汪精卫派人物，不是其嫡系心腹之人，故在言辞中时表不满，还将不满之意多次记在日记中。
第7句：郭在工作中还得罪过蒋介石门生戴笠和胡宗南，后者是想借郭的桃色事件将其除掉。
第8句：另外，当时也有嫉妒窦学谦的人向宋美龄告黑状，指窦借宋美龄的名义在国外招摇，这导致宋美龄对窦学谦逐渐疏远。
第十六段落：
第1句：著名女作家韩素音在自传体《无鸟的夏天》一书中多次谈到窦学谦女士，其时窦学谦已进入国民政府外交部工作。
第2句：韩在书中写道：“我在孟买的泰姬陵旅店结识了窦小姐，她是一位妩媚动人的年轻姑娘。
第3句：在重庆一度成为众矢之的。
第4句：她当时正患伤寒，卧病在床，和我同时等待下一条船。
第5句：她将去中国驻加拿大使馆赴任。…我确信她是戴笠与郭泰祺为仇的牺牲品，因为窦女士既不野心勃勃，也不诡计多端。
第6句：但她有着我们所没有的机敏。
第7句：后来的7个星期里我们同住在一等舱”。
第十七段落：
第1句：韩素音在书中一针见血地指出：“民国三十年（1941）初冬，一场反对外交部长郭泰祺的政治阴谋逐渐形成，郭泰祺是戴笠和胡宗南都不喜欢的人。
第2句：郭反希特勒，反日，亲英。
第3句：戴笠想把他拉下马，但理由不充足。
第4句：此时传出，郭同一位并非其妻的女士有不检点行为，说他与一位漂亮又能干的女性，大约和我一般年龄并和我同一年级的燕京大学学生窦小姐相恋。
第5句：一时间重庆的社交界，上层人物，不谈饥荒，不论救国，而专论一部长的桃色新闻，这是一场反对外交部长郭泰祺的阴谋。
第6句：实际上是蒋介石嫡系戴笠、胡宗南等的中伤舆论”。
第十八段落：
第1句：韩素音揭露说：“其实此类事情在国民党高层中早已司空见惯，戴笠本人也有着一系列的桃色事件，他把被她诱奸的一位姑娘毒打一顿，送进了他的一所‘学校’。
第2句：连身居最高位的那位蒋介石，也被他的某位老三抓破了脸”。
第十九段落：
第1句：郭泰祺曾被称为爱国的天才外交家，他的外交生涯包括1919年以中国代表团专门委员身份出席巴黎和会，曾任驻意大利公使、国民政府立法委员、外交部次长、驻英国大使等，1940年后任国民政府外交部部长、国防最高会议外交委员会主席，抗日战争胜利后，任联合国安理会首任中国首席代表。
第2句：郭泰祺在任驻英全权大使期间，坚决反对英国对日妥协让步的绥靖政策。
第3句：新中国成立后，党和国家领导人屡邀郭泰祺回国工作，郭因病未能成行，于1952年2月病逝于加利福尼亚州立医院。
第二十段落：
第1句：此事件后，窦学谦被新任驻加拿大公使刘师舜带到加拿大工作。
第2句：这时，中国正进入抗战最艰难的阶段。
第3句：日本几乎切断了中国与西方世界的所有联系渠道，使中国抗日战争面临巨大的挑战。
第4句：为争取外援，打破日本围困中国的企图，窦学谦协助刘师舜公使为赢得加拿大人民的同情，使其出手援助中国做了大量工作。
第二十一段落：
第1句：后来窦学谦在加拿大嫁给了一位比利时皇家贵族成员，从此在家相夫教子。
第2句：1945年3月4日《纽约时报》报道了一则篇幅很短的消息：“昨天下午，前中国驻渥太华使馆随员窦学谦小姐与比利时驻华盛顿大使馆一等秘书盖菲耶男爵在西四十七街433号的圣阿尔伯特罗马天主教堂喜结连理”。
第二十二段落：
第1句：窦学谦与丈夫和孩子在布鲁塞尔
第二十三段落：
第1句：窦学谦晚年生活在比利时，过着幸福而充实的生活，还经常参加各种社会活动。
第2句：笔者曾于1997年和2002年两次去布鲁塞尔看望她，在她家小住。
第3句：她喜欢聊天，汉语还是很流利的，只是多为老派用词。
第4句：每当回忆自己经历中的中国岁月总是滔滔不绝，眼里时常闪着泪花。
第5句：她感慨万千地说起小时在家中怎样受父亲宠爱，回忆在天津度过的少年时光，讲述在抗日战争期间曾与周恩来、黄华等老一辈共产党人的交往。
第6句：一段段往事回忆无不流露出老人对故乡的眷念，对生养自己的这片故土一往情深。
第7句：她为自己由于复杂的历史和政治原因一直没能实现回到祖国的愿望深感遗憾。
第8句：2003年3月，窦学谦女士在比利时布鲁塞尔因病去世，享年89岁。
第二十四段落：
第1句：1997年笔者和来奥地利探亲的女儿一起前往布鲁塞尔与姨妈相见。
第二十五段落：
第1句：窦学谦是我的姨妈，上世纪40年代离开中国。
第2句：由于种种复杂因素，家人都对这种亲戚关系讳莫如深。
第3句：文化大革命后我通过在比利时留学的同学转交给中国驻比利时大使馆一封信，希望他们能帮我找到生活在布鲁塞尔的姨妈。
第4句：窦学谦的丈夫是比利时颇有名望的皇室成员，寻找起来不算难事，很快我就收到了姨妈的回信。
第5句：她得知我的消息后特别高兴，但因为当时的具体情况我们还无法相见。
第6句：1993年我作为记者去维也纳常驻，姨妈热情地邀请我去布鲁塞尔，我和来奥地利探亲的女儿一起前往布鲁塞尔与姨妈第一次相见。
第7句：她断断续续地讲述了自己鲜为人知的经历，并给我看了她收存的大量记录她生平的原始资料。
第8句：她许诺在她过世后会将这些资料全部送我。
第9句：2003年3月她因病去世，她的子女给我当时在柏林的地址寄来讣告，邀请我去参加葬礼，而我恰好在国内休假没有及时收到，以后我也没能再联系上她的家人。
第10句：遗憾的是，我最终也没有得到她许诺的资料，我想一定还有很多事情我还未知，也许将永远不得而知。
第二十六段落：
第1句：今年是中国人民抗日战争暨世界反法西斯战争胜利80周年，我想借此契机，追思为抗日救国做出过贡献的一代人中的一个代表，让我们感受到前辈们的爱国情怀。
第二十七段落：
第1句：注：笔者曾作为《中国妇女报》常驻维也纳记者和驻柏林特约记者，长期在奥地利和德国工作，已退休多年。
第2句：来源： 光明网
### 第三篇：
第一段落：
第1句：关于数字未来的讨论中，出现了越来越多青年的身影。
第2句：这是最近几天人们在乌镇看到的现实。
第二段落：
第1句：在2024年世界互联网大会乌镇峰会（以下简称“乌镇峰会”）的会场上，多米尼加电信研究所助理玛丽安赫尔·卡尔德隆·马丁内斯分享了自己的目标：希望我们每个年轻人都能在开发影响整个社会的技术和政策的过程中，发挥重要作用。
第2句：从事法学研究的马丁内斯说：“在建设以人为中心的数字未来的过程中，人工智能和创新必须服务于每个人。”
第三段落：
第1句：本次乌镇峰会，18名青年领袖荣获2024年全球青年领军者计划证书，他们来自17个国家和地区。
第2句：作为互联网时代的“原住民”，青年在努力成为数字时代的“弄潮儿”。
第四段落：
第1句：“数字技术可以帮助我们不断改善教育，降低青年失业率，促进整个经济社会的发展。”维也纳大学博士研究生、丝绸之路国际青年联盟主席阿伊坦·阿利耶娃认为，数字赋能的未来是互联互通的，“要想从中受益，所有的年轻人和青年领袖都应培养一系列数字化技能”。
第五段落：
第1句：数字时代的青年创新
第六段落：
第1句：数字时代给了青年广阔的创新空间。
第2句：“无论是在人工智能、量子信息、生物技术等前沿科技，还是新能源、新材料、智能制造等战略性新兴产业，青年一代都展现出强大的创造力，正在发挥着独特且关键的作用。”世界互联网大会秘书长任贤良说。
第七段落：
第1句：本次乌镇峰会举办期间，不少与会青年嘉宾将自己的创新成果带到了现场。
第2句：来自埃及的穆罕默德·戈兹尔是艾因·夏姆斯大学机械与机电工程专业的一名学生，他的另一个身份，是埃及“自然之眼实验室”的创始人。
第八段落：
第1句：“我们希望通过人工智能、量子计算、大数据等先进技术，支持可持续发展的目标，并实现尖端技术的普及。”戈兹尔介绍，他和实验室团队成员正在开发通信技术，致力于在埃及搭建一个全面、稳定且安全的数字空间。
第2句：“我们实验室有一个电子政务项目，它简化了政府机构办事程序，链接了各个政府部门，实现了文件的便捷发布，并在一定程度上强化了治理和问责制度。”他说。
第九段落：
第1句：最近，“自然之眼实验室”正在做一个创业支持性项目。
第2句：戈兹尔等人希望通过建立像ChatGPT一样的大语言模型，利用AI技术帮助创业者解锁更多商业机会，更好地搭建供应链，从而获得更大收益。
第3句：在戈兹尔看来，“自然之眼实验室”的目标是要做能力建设。
第4句：“我们希望能确保新一代年轻人可以接连不断地站在巨人肩膀上，借助AI实现双赢或多赢。”
第十段落：
第1句：凭借在数字化领域的突出创新表现，戈兹尔在乌镇峰会上被评为18名“2024年全球青年领军者”之一。
第2句：戈兹尔表示，互联网技术、人工智能和量子计算的融合带来了无与伦比的机遇，同时也带来了巨大挑战。
第3句：“青年有能力塑造技术的未来，确保技术成为造福人类、推动进步的工具，建设一个安全和可持续的网络空间。”
第十一段落：
第1句：青年源源不断地汇聚到创新创业的大潮中，但这条路并不容易。
第2句：同样是“2024年全球青年领军者”之一，生长于中国澳门的徐展聪是一名信息通信科技专家，是澳门MTEL电信公司（以下简称“MTEL”）联合创始人。
第3句：从澳门科技大学资讯科技本科毕业后，徐展聪取得了华中科技大学行政管理（电子政务）硕士学位，之后便和一众前辈在固网电信领域创业。
第4句：“我们公司是从零起步的。”徐展聪回忆，刚开始在澳门投标固网电信运营时，他的公司一方面要建立团队，完善商业顶层设计、产品服务内容等，另一方面还要自己在当地建设基础设施网络。
第十二段落：
第1句：徐展聪在环境、政策、人力等方面曾遇到诸多挑战，其间，他也想过放弃，但他坚定认为“变化是永远不变的定律”。
第2句：他说，对于创业者来说，应对变化非常困难，但要勇敢应对变化，“要集思广益，不断去沟通、沟通、再沟通，才能解决困难”。
第十三段落：
第1句：如今，MTEL已成为澳门第二大固网电信运营商，徐展聪领导团队建立了澳门第一个全光纤光通信网络。
第2句：技术的改变，不仅提升了互联网光通信服务质量，为消费者带来更多选择和实惠，还为澳门的中小企业注入新的活力与竞争力。
第十四段落：
第1句：今年是澳门回归祖国25周年。
第2句：徐展聪注意到，当前澳门在经济、交通、政务等方面都朝着智能化发展。
第3句：“我们公司未来要大力发展数字经济，为澳门的多元化发展注入内生动力和活力，进一步提升澳门整体竞争力。”徐展聪说。
第十五段落：
第1句：在数字时代发出青年声音
第十六段落：
第1句：数字技术的发展，使得创新的边界被不断拓宽，也带来一些新的问题，如数字鸿沟、网络安全、数据安全等。
第2句：“青年是推动数字发展的中坚力量。”任贤良指出，青年应具有全球视野，以更加开放合作的姿态拥抱世界、融入全球，积极参与各国和国际组织数字政策制定，参与网络空间互学互鉴活动，为弱势群体发声，构建和平、安全、开放、合作的网络空间。
第十七段落：
第1句：在乌镇峰会上，有不少年轻人一直在为数字时代发声。
第2句：他们通过行动和语言，向世界诠释着青年力量的含义。
第3句：“2024年全球青年领军者”谭政宗，就是其中之一。
第十八段落：
第1句：谭政宗是马来西亚通讯部的一名特别职能官员，主要工作是协助副部长处理议会事务及政策制定等。
第2句：他还有另外一个身份：经历过新冠疫情的医生。
第3句：“我早期的职业生涯非常辛苦。
第4句：当时医疗环境并不理想，医生有很多工作要做，收入却并不高。”这些经历让谭政宗体会到政策对个人福祉的巨大影响。
第5句：因此，在进入政府部门工作后，他一直致力于改善和提升偏远地区的远程医疗服务水平。
第十九段落：
第1句：“在马来西亚这类缺乏农村医疗基础设施的国家，通过倡导更广泛的互联网接入和加强5G网络利用，不仅能提高整个国家的技术能力，还能弥合数字鸿沟，确保所有人都能在数字时代健康成长。”谭政宗说，利用数字技术，人们在家里就能咨询医生，“这充分说明了技术对人类健康和福祉产生了积极影响”。
第2句：他认为在数字时代，年轻人不仅是互联网的用户，还是其未来的建设者、保护者和守护者。
第3句：“永远不要低估想法的力量，以及数字工具的强大作用。”
第二十段落：
第1句：同为“2024年全球青年领军者”之一，第一次参加乌镇峰会的法拉赫·古尔·拉胡贾，则致力于打破家乡“女性不应接受教育”的传统观念。
第二十一段落：
第1句：拉胡贾出生于巴基斯坦信德省的一个小村庄，那里的女孩接受教育和技能培训的机会非常有限。
第2句：“在一个‘女性担任领导职务’的想法常常被质疑的地区，我想成为一个特例，证明女性不仅能够当领导，还能对社会产生积极影响。”拉胡贾说。
第二十二段落：
第1句：带着上述想法，拉胡贾刻苦学习，最终取得了伊斯兰堡COMSATS大学生物信息学学士学位，后又专攻人工智能和数字技术。
第2句：学习过程中，拉胡贾意识到用好人工智能等技术，可以提高人们的能力，“这对于社会边缘群体来说尤为重要”。
第3句：于是，凭借自己在人工智能和机器学习项目中积累的经验，她参与开发了Pakgpt（一款WhatsApp聊天机器人——记者注），其目的不是盈利，而是为处于互联网末端的巴基斯坦农村地区的人们提供帮助，消弭数字鸿沟。
第二十三段落：
第1句：巴基斯坦城市拥有高速互联网，但农村地区却经常面临网速慢或连接不稳定等问题。
第2句：“Pakgpt就旨在解决这一问题，即使在低带宽连接下，也能高效运转。”拉胡贾介绍，她还与巴基斯坦信息安全协会在网络安全领域开展合作，积极向农村女孩展示如何通过Pakgpt获取信息、技能和就业机会。
第二十四段落：
第1句：“消弭数字鸿沟”也是本次乌镇峰会的一个重要话题。
第2句：今年9月，联合国全球未来峰会以《未来契约》的附件形式正式通过《全球数字契约》。
第3句：联合国副秘书长李军华在开幕式上作视频发言时强调，数字技术有望加速实现可持续发展目标，必须要消弭数字鸿沟，扩大数字经济惠及面，加强人工智能国际治理，从而造福全人类。
第二十五段落：
第1句：拉胡贾也非常认同这个观点。
第2句：“数字技术能够帮助我们弥合数字鸿沟，并推动社会福利的进一步扩围。”拉胡贾提到，巴基斯坦共有2.4亿人口，青年人口占了较大比重。
第3句：“作为年轻人，我决定去学人工智能，希望通过这样的方式不断赋能青年，让青年用好数字技术，弥合数字鸿沟。”
第4句：中青报·中青网记者 贾骥业 来源：中国青年报
### 第四篇：
第一段落：
第1句：中青报·中青网记者 贾骥业
第二段落：
第1句：这两天，乌镇的大街小巷里到处可以听到对数字未来的畅想，越来越多的青春梦想也就此点燃。
第三段落：
第1句：2024年世界互联网大会乌镇峰会（以下简称“乌镇峰会”）的会场上，多米尼加电信研究所助理玛丽安赫尔·卡尔德隆·马丁内斯分享了自己“简单而有力”的目标：希望我们每个年轻人，都能在开发影响整个社会的技术和政策的过程中，发挥重要作用。
第2句：从事法学研究的马丁内斯说，“在建设以人为中心的数字未来的过程中，人工智能和创新必须服务于每个人”。
第四段落：
第1句：不光是法学研究员，政府官员、研究所高级工程师、青年联盟领导者……在乌镇峰会关于数字未来的讨论中，出现了越来越多青年的身影。
第2句：本次乌镇峰会，18位青年领袖荣获2024年全球青年领军者计划证书，他们来自17个国家和地区。
第五段落：
第1句：作为互联网时代的“原住民”，青年的生活已经离不开数字化技术。
第2句：如今，他们也在努力成为数字时代的“弄潮儿”，为创造数字时代的明天贡献力量。
第六段落：
第1句：“数字技术可以帮助我们不断改善教育，降低青年失业率，促进整个经济社会的发展。”
第2句：维也纳大学博士研究生、丝绸之路国际青年联盟主席阿伊坦·阿利耶娃认为，数字赋能的未来是互联互通的，“要想从中受益，所有的年轻人和青年领袖都应培养一系列数字化技能”。
第七段落：
第1句：数字时代的青年创新
第八段落：
第1句：数字时代给了青年广阔的创新空间。
第2句：“无论是在人工智能、量子信息、生物技术等前沿科技，还是新能源、新材料、智能制造等战略性新兴产业，青年一代都展现出强大的创造力，正在发挥着独特且关键的作用。”
第3句：世界互联网大会秘书长任贤良说。
第九段落：
第1句：本次乌镇峰会，不少与会青年嘉宾将自己的创新成果带到了现场。
第2句：来自埃及的穆罕默德·戈兹尔是艾因·夏姆斯大学机械与机电工程专业的一名学生，他的另一个身份，则是埃及“自然之眼实验室”的创始人。
第十段落：
第1句：“我们希望通过人工智能、量子计算、大数据等最先进技术，支持可持续发展的目标，并实现尖端技术的普及。”
第2句：戈兹尔介绍，他和实验室团队成员正不遗余力地开发通信技术，致力于在埃及搭建一个全面、稳定且安全的数字空间。
第3句：“我们实验室有一个电子政务项目，它简化了政府机构办事程序，链接了各个政府部门，实现了文件的便捷发布，并在一定程度上强化了治理和问责制度。”
第十一段落：
第1句：最近，“自然之眼实验室”正在做一个创业支持性项目。
第2句：戈兹尔等人希望通过建立像ChatGPT一样的大语言模型，利用AI技术帮助创业者解锁更多商业机会，更好地搭建供应链，从而获得更大收益。
第3句：在戈兹尔看来，“自然之眼实验室”的目标是要做能力建设。
第4句：“我们希望能确保新一代年轻人可以接连不断地站在巨人肩膀上，借助AI实现双赢或多赢。”
第十二段落：
第1句：凭借在数字化领域的突出创新表现，戈兹尔在乌镇峰会上被评为18名“2024年全球青年领军者”之一。
第2句：戈兹尔表示，互联网技术、人工智能和量子计算的融合带来了无与伦比的机遇，同时也带来了巨大挑战。
第3句：“青年有能力塑造技术的未来，确保技术成为造福人类、推动进步的工具，建设一个安全和可持续的网络空间。”
第十三段落：
第1句：青年源源不断地汇聚到创新创业的大潮中，但这条路并不容易。
第2句：同样是“2024年全球青年领军者”之一，生长于中国澳门的徐展聪是一名信息通信科技专家，是澳门MTEL电信公司（以下简称“MTEL”）联合创始人。
第3句：从澳门科技大学资讯科技本科毕业后，徐展聪取得了华中科技大学行政管理（电子政务）硕士学位，之后便和一众前辈在固网电信领域创业。
第4句：“我们公司是从零起步的。”
第5句：徐展聪回忆，刚开始在澳门投标固网电信运营时，他的公司一方面要建立团队，完善商业顶层设计、产品服务内容等，另一方面还要自己在当地建设基础设施网络。
第十四段落：
第1句：徐展聪在环境、政策、人力等方面曾遇到诸多挑战，期间，他也想过放弃，但他坚定认为“变化是永远不变的定律”。
第2句：他说，对于创业者来说，面对变化非常困难，但要勇敢面对变化，“要集思广益，不断去沟通、沟通、再沟通，才能解决困难”。
第十五段落：
第1句：如今，MTEL已经成为澳门第二大固网电信运营商，徐展聪领导团队建立了澳门第一个全光纤光通信网络。
第2句：技术的改变，不仅提升了互联网光通信服务质量，为消费者带来更多选择和实惠，还为澳门的中小企业注入了新的活力与竞争力。
第十六段落：
第1句：今年是澳门回归祖国25周年。
第2句：徐展聪注意到，当前澳门在经济、交通、政务等方面都朝着智能化发展。
第3句：“我们公司未来要大力发展数字经济，为澳门的多元化发展注入内生动力和活力，进一步提升澳门整体竞争力。”
第4句：徐展聪说。
第十七段落：
第1句：在数字时代发出青年声音
第十八段落：
第1句：数字技术的发展，使得创新的边界被不断拓宽，也带来一些新的问题，如数字鸿沟、网络安全、数据安全等。
第2句：“青年是推动数字发展的中坚力量。”
第3句：任贤良指出，青年应具有全球视野，以更加开放合作的姿态拥抱世界、融入全球，积极参与各国和国际组织数字政策制定，参与网络空间互学互鉴活动，为弱势群体发声，构建和平、安全、开放、合作的网络空间。
第十九段落：
第1句：在乌镇峰会上，有不少年轻人一直在为数字时代发声。
第2句：他们通过行动和语言，向世界诠释着青年力量的含义。
第3句：“2024年全球青年领军者”——谭政宗，就是其中之一。
第二十段落：
第1句：谭政宗是马来西亚通讯部的一名特别职能官员，主要工作是协助副部长处理议会事务及政策制定等。
第2句：他还有另外一个身份：经历过新冠肺炎疫情的医生。
第3句：“我早期的职业生涯非常辛苦。
第4句：当时医疗环境并不理想，医生有很多工作要做，收入却并不高。”
第5句：这些经历让谭政宗体会到政策对个人福祉的巨大影响。
第6句：因此，在进入政府部门工作后，他一直致力于改善和提升偏远地区的远程医疗服务。
第二十一段落：
第1句：“在马来西亚这类缺乏农村医疗基础设施的国家，通过倡导更广泛的互联网接入和加强5G网络利用，不仅能提高整个国家
### 第五篇：
第一段落：
第1句：天津大学专业学位博士研究生招生类别包含工程类专业学位博士（简称工程博士）以及风景园林专业学位博士两类。
第二段落：
第1句：一、报考条件
第2句：（一）拥护中国共产党的领导，具有正确的政治方向，热爱祖国，愿意为社会主义现代化建设服务，遵纪守法，品行端正。
第3句：（二）考生的学位必须符合下列条件之一：
第4句：（1）已获硕士学位的人员（其中境外所获得学位须出具“教育部留学人员服务中心”的认证证书）；
第5句：（2）应届硕士毕业生（最迟须在入学前取得硕士学位证或硕士毕业证），且硕士期间从事过工程实践类课题研究；
第6句：（3）以硕士毕业同等学力身份报考的人员，须满足基本条件并且具有代表性科研成果，其中：
第7句：基本条件须符合以下条件之一：
第8句：①学士学位后具有6年以上工作经历（从获学士学位之日起到2025年9月1日）并且具有副高及以上职称；
第9句：②获学士学位后具有10年以上工作经历（从获学士学位之日起到2025年9月1日）。
第10句：代表性科研成果须满足下列条件之一：
第11句：①在本职工作中已取得显著性成果，其中至少一项成果获省部级及以上奖励；
第12句：②以主要完成人身份获得报考学院认可的国家科学技术奖励工作办公室登记审批的《社会力量设立科学技术奖》奖励；
第13句：③在报考领域以第一作者身份在我校相关学院（部）认定的核心期刊上发表的学术代表作2篇。
第14句：（三）具有较好的相关领域工程技术理论基础和较强的工程实践能力或潜力，能在国家重点行业、国家重大工程项目、战略性新兴产业行业中发挥技术骨干作用。
第15句：（四）身体健康状况符合国家规定的体检标准，心理健康。
第三段落：
第1句：二、招生类别和项目
第2句：（1）专业学位类别：
第3句：工程博士：085400电子信息；085500机械；085600材料与化工；085700资源与环境；085800能源动力；085900土木水利；086000生物与医药。
第4句：风景园林博士：086200风景园林。
第5句：类型 专业学位类别 招生单位
第6句：工程博士 机械
第7句：（代码085500） 机械学院、精仪学院、材料学院、管理与经济学部
第8句： 资源与环境
第9句：（代码085700） 建筑学院、管理与经济学部、环境学院、海洋学院
第10句： 能源动力
第11句：（代码085800） 机械学院、化工学院、自动化学院
第12句： 土木水利
第13句：（代码085900） 建工学院、管理与经济学部
第14句： 生物与医药
第15句：（代码086000） 化工学院、药学院、生命学院、医学院
第16句： 电子信息
第17句：（代码085400） 精仪学院、微电子学院、自动化学院、智算学部、医学院
第18句： 材料与化工
第19句：（代码085600） 材料学院、化工学院、理学院
第20句：风景园林 风景园林
第21句：（代码086200） 建筑学院
第22句：特别提醒：报名信息以系统为准；选择其他学术学位专业报名无效。
第23句：（2）招生项目：
第24句：A-普通类型：面向社会和硕士应届生；
第25句：B-项目制：继续面向与我校、学院（部）签订联合培养协议的国家重点行业、领域、产业链以及创新型企业、区域发展研究院等以项目制方式招收攻读工程博士专业学位研究生，详见各学院2025年工程博士专业学位研究生招生办法；
第26句：C-其他专项计划：
第27句：国家卓越工程师学院以及福州大学城联合研究生院专项计划，详见后续发布的专项博士招生简章。
第28句：其他专项计划可关注我校研究生招生网相关通知。
第29句：（3）招生计划：680人（2024年招生规模），2025年招生计划数以当年教育部下达我校的招生计划为准。
第四段落：
第1句：三、学习年限及学费
第2句：工程博士基本学习年限为4年，全日制工程博士学费标准为10400元/生/学年，非全日制工程博士（除电子信息外）学费标准为30000元/生/学年，学费按照每学年学费标准缴纳。
第3句：非全日制电子信息工程博士，第1-2学年学费标准为50000元/生/学年，第3-4学年学费标准为25000元/生/学年，总学费为150000元，学费按照对应学年学费标准缴纳。
第4句：风景园林博士（只招收全日制非定向）：学制4年，学费标准为13000元/生/学年。
第五段落：
第1句：四、奖助学金
第2句：我校构建起面向全日制非定向博士研究生多元奖励资助体系，包括博士生资助体系和博士生奖励体系两大版块。
第3句：全日制非定向博士研究生入学后在每年获得2.1万元人民币基本助学金以及不低于0.6万元导师助研的基础上，就读期间还可申请学业奖学金，以及助管、助教基金。
第4句：招生录取过程中，如遇最新政策，我校将做相应调整变化。
第六段落：
第1句：五、选拔方式
第2句：天津大学专业学位博士研究生招生采用“申请-审核”制，程序共分为申请阶段、审核阶段和录取阶段。
第3句：A申请阶段
第4句：（一）个人申请
第5句：1.网上报名
第6句：报名时间：
第7句：第一阶段：2024年12月12日～2025年1月10日（中午12时报名系统关闭）
第8句：第二阶段：2025年3月6日～2025年4月15日（中午12时报名系统关闭）
第9句：注：以上任一阶段报名成功均视为有效报名（重复报名无效）。
第10句：报名流程：登录天津大学研究生招生网（yzb.tju.edu.cn）—>服务系统—>统招博士报名系统，注册并完善个人信息及报考信息（填报指南）。
第11句：报名前可通过博导查询系统查询导师信息（天津大学研究生招生网（yzb.tju.edu.cn）—>服务系统—>2025年博导查询系统）。
第12句：网上报名提示：
第13句：（1）考试方式选择“普通招考”。
第14句：（2）报考种类选择“专业学位博士”。
第15句：（3）报考学习形式选择“全日制”，则报考类型选择“非定向”；报考学习形式选择“非全日制”，则报考类型选择“定向”。
第16句：（4）“专项计划”一般选择“无”；根据各类专项计划报考的考生应根据报考类别选择“工程博士项目制”、“工程硕博士改革专项”、“国家卓越工程师学院专项计划”、“福州大学城联合研究生院专项以及“对口支援”等。
第17句：非专项计划考生错选无效。
第18句：（5）上传照片为本人近期免冠JPG格式清晰证件照，像素宽度150 *高度210，照片大小为不超过20KB，其他要求见报名系统（如上传不成功，建议使用搜狗高速浏览器或调整更换上网环境）。
第19句：（6）网上填报的个人信息，如姓名（不能用拼音代替或姓名不全、有多余字符等）、性别、证件号码、出生日期（需与身份证信息一致）等必须准确、真实，否则影响录取。
第20句：（7）学位以及毕业证书编号应填写证书中载明的“证书编号”或者“学校编号”，如不清楚请点击填写样例1或样例2。
第21句：（8）前置学历的院校或专业发生变更或者不在系统名录里时可选择“其他”，手动填写院校名称和专业名称，务必与证书信息一致。
第22句：（9）2025届应届硕士毕业生网上报名时“学历信息”栏目下的“硕士学位及毕业信息”应按预计正常毕业时的信息进行填写（请勿填“无”硕士学位），证书编号可填写“0”。
第23句：（10）特别提示：因报名需要注册并填报、上传有关照片以及附件等材料，请务必预留足够时间开展网上操作，不建议临近截止时间报名，系统关闭后将无法提交或修改报名信息。
第24句：2.提交申请材料
第25句：申请材料在初审阶段以电子版形式在报名系统中提交。
第26句：申请人须将下述材料的（2）～（16）项，按照《2025年报考攻读天津大学专业学位博士研究生申请材料》（模版点击此处下载）格式要求按顺序转化为一个PDF文件上传报名系统（PDF命名为：考生姓名-报考专业-报考导师-博士申请材料）。
第27句：证书、证件、成绩单、能力证明材料等上传内容应清晰可见，附件总大小不超过20M。
第28句：申请材料清单如下：
第29句：（1）天津大学2025年报考攻读博士学位研究生登记表
第30句：该表由报名系统自动生成，通过初审（个人状态为“具备资格”）且缴费成功后，可下载打印；签署本人姓名并完成相应栏目的审批手续，现场确认时提交。
第31句：（2）申请信（无模板，自行设计）
第32句：（3）个人简历（无模板，自行设计，带近期免冠证件照片）
第33句：（4）现实表现情况表（模版点击此处下载）
第34句：包括思想政治素质和品德考核的主要内容包括考生的政治态度、思想表现、学习（工作）态度、道德品质、遵纪守法和心理健康等方面的情况。
第35句：原则上在职考生由所在工作单位人事或组织部门盖章；在校生由所在学校学工部或研究生院等主管部门盖章；其他考生由人事档案所在部门（人才交流中心等）盖章。
第36句：（5）考生诚信报考承诺书（模版点击此处下载）
第37句：须仔细阅读并本人手签。
第38句：（6）报考天津大学专业学位博士研究计划书（模版点击此处下载）
第39句：应包含致力于研究的工程技术或管理问题、已有基础、基本思路、研究方法以及预期目标（拟解决的行业、产业实际问题）等，同时须包含学院招生办法中的其他要求。
第40句：（7）本人有效身份证或军人证
第41句：（8）学历学位证书或在学硕士证明
第42句：提供本科和硕士阶段的毕业证书和学位证书，如在国外高校取得学位的考生，还须提供“教育部留学人员服务中心”的认证报告；
第43句：应届硕士毕业生提供《教育部学籍在线验证报告》，可登录中国高等教育学生信息网（学信网）https://www.chsi.com.cn/查询申请。
第44句：（9）学历学位证书证明材料
第45句：在提供学历学位证书基础上，考生视个人本科、硕士毕业情况提供如下证明材料。
第46句：※持2002年前（含）毕业的高等教育学历证书的考生需提供：《中国高等教育学历认证报告》，可登录中国高等教育学生信息网（学信网）https://www.chsi.com.cn/查询申请，具体可参考查阅本指引。
第47句：※持2002年后毕业的高等教育学历证书的考生需提供：学信网上查询《教育部学籍在线验证报告》（应届生身份考生）或《教育部学历证书电子注册备案表》（往届生身份考生）。
第48句：未能通过学历（学籍）网上校验的考生应提供上述《中国高等教育学历认证报告》。
第49句：※硕士阶段仅有硕士学位证书的（单证）考生，应同时提供以下证明：
第50句：a硕士学位认证报告，可登录中国高等教育学生信息网（学信网）https://www.chsi.com.cn/查询申请；
第51句：b本科（含专升本以及自学考试本科学历等）阶段毕业证书的《中国高等教育学历认证报告》或《教育部学历证书电子注册备案表》。
第52句：（10）硕士课程成绩单
第53句：※须提供硕士阶段的课程成绩单，并加盖学校培养单位公章（若为复印件须加盖档案管理部门公章）。
第54句：※同等学力身份报考人员，须提供本科阶段的课程成绩单，并加盖学校培养单位公章（若为复印件须加盖档案管理部门公章）。
第55句：（11）硕士学位论文摘要
第56句：包括硕士论文题目、指导教师以及论文摘要和创新性总结。
第57句：（12）代表性科研成果
第58句：包括发表代表作、申请专利、获得显著性科研成果、参与科研项目情况以及解决的行业或产业实际问题等。
第59句：（13）外国语水平证明材料
第60句：外国语水平证书或留学经历证明等。
第61句：（14）各类获奖证书、工程获奖证明
第62句：（15）以同等学力身份报考的考生
第63句：须提供相关证明材料（见本招生简章第一（二）（3）款）。
第64句：（16）报考学院（部）要求的其他材料以及能力证明材料，请仔细阅读附录中各学院（部）招生办法。
第65句：（17）专家推荐书（两封）
第66句：须下载空白《专家推荐书》（模版点击此处下载），按照学院要求请2位专家填写推荐理由和意见（专家职称应为副教授及以上；签名手写，其他内容手写、打印均可），由推荐人签字密封并在信封封口处骑缝签字，现场确认时提交。
第67句：（二）资格审查
第68句：考生在博士招生管理系统中自主选择和申请专业学位博士导师；学院组成“申请材料初审小组”，对考生申请材料进行审查、筛选。
第69句：审查结果将通过报名系统向考生反馈，同时资格审查通过的考生将进行集中公示（具体时间参考附录）。
第70句：考生应及时关注报名系统个人状态。
第71句：状态为“具备资格”的考生代表资格审查通过，考生应在规定时间内登录博士报名系统缴纳博士报名考试费、复试费共计230元人民币，未成功支付的报名无效。
第72句：状态为“不具备资格”的视为未通过资格审查，不能进入到该类别后续考核环节。
第73句：（三）现场确认
第74句：通过资格审查的考生，应于2025年4月下旬携带全部申请材料的原件和复印件到报考学院指定地点办理现场确认手续，具体时间地点等工作安排由报考学院另行通知。
第75句：所提交审查的材料中，身份证件、毕业和学位证书以及外国语水平证明的原件用于查验，报考登记表、成绩单以及专家推荐书原件等将根据当年归档政策归入个人档案，申请材料须用A4纸规格或用A4纸复印，封面采用《2025年报考攻读天津大学专业学位博士研究生申请材料》（模版点击此处下载），每份材料按照申请材料清单顺序整合，现场资格审查合格后由报考学院收取。
第76句：B审核阶段
第77句：（四）综合考核
第78句：通过资格审查的申请人应在规定时间内携带有效居民身份证件参加由报考学院组织的综合考核。
第79句：综合考核内容请查看报考学院专业学位博士研究生招生办法（见附录）。
第80句：综合考核具体安排将在2025年5月上旬前由学校研招网统一汇总后发布。
第81句：考生应按报考学院要求和安排参加考核，否则报考无效。
第82句：以硕士毕业同等学力身份报考的人员，通过综合考核后，报考学院还将安排组织加试政治理论课和两门专业课，满分均为100分，成绩须达到合格线。
第83句：C录取阶段
第84句：根据教育部下达的专业学位博士招生计划和各学院的综合考核结果，坚持“全面衡量、择优录取、保证质量、宁缺毋滥”原则，依照考生报考的志愿，按总成绩从高到低择优录取。
第85句：拟录取信息统一公示10个工作日。
第86句：公示期满，原则上拟录取信息不再变更。
第87句：录取类别：
第88句：（一）全日制非定向博士研究生：考生须将人事档案、工资关系等转入天津大学，否则将取消录取资格，毕业后双向选择、自主择业。
第89句：（二）非全日制定向博士研究生：考生将人事档案、户口、工资关系等留在定向单位，且与天津大学研究生院签订协议书（随录取通知书邮寄），毕业后考生按协议书就业。
第90句：期间，考生与签约单位之间由合同产生的各类责任关系，由考生本人与签约单位协商处理，与招生单位无关。
第91句：风景园林专业学位博士只招收全日制非定向类型。
第92句：各类专项计划招收的专业学位博士生以及面向本校以硕博连读招收的专业学位博士生均计入各学院该类别博士总招生计划。
第七段落：
第1句：六、毕业及学位
第2句：在学校规定学习年限内，完成规定培养任务并通过学位论文答辩者，按照国家有关规定发给相应的、注明学习方式（全日制、非全日制）的毕业证书。
第3句：符合学位授予规定的，经校学位评定委员会审议通过后，授予相应的机械、资源与环境、能源动力、土木水利、生物与医药、电子信息、材料与化工等博士专业学位以及风景园林博士专业学位。
第八段落：
第1句：七、监督机制
第2句：成立校院两级监察小组等监督小组，对博士研究生的招生选拔进行全过程监察督导。
第3句：对于申请和审核过程中出现徇私舞弊、滥用职权的人员，一经查实将按国家和学校有关规定严肃处理。
第4句：对在博士招生过程中弄虚作假，存在考试作弊、论文抄袭、虚报获奖或科研成果等学术不端行为的，或有其他影响招生过程和结果公平公正的考生，一经查实，取消其录取资格或学籍，并报所在地省级教育招生考试机构，按规定将相关违规或作弊事实记入《国家教育考试考生诚信档案》。
第5句：同时将考生的违规违纪等情况通报其所在学校或工作单位，记入考生学籍或人事档案。
第6句：凡对录取结果持有异议的考生或导师，可在公示期间进行申诉。
第7句：申诉人应首先向报考学院提交申诉书及有关证明材料，由报考学院处理并存档备案；如对院级处理结果不服，可在院级处理结果下达后5个工作日内向天津大学研究生院和纪检监察部门进行申诉，按要求如实、客观提交证明材料。
第8句：匿名、冒名或超出期限的异议不予受理。
第9句：学校受理邮箱：[email protected]（优先）；
第10句：受理电话：022-27409520；022-27401195。
第九段落：
第1句：八、特别说明
第2句：1.本招生简章为普通招考类专业学位博士研究生招生简章，非学术学位博士研究生招生简章。
第3句：本招生简章及学院招生办法中表述的“工程博士”为工程类专业学位博士统称。
第4句：2.按照国家有关规定，录取全日制非定向考生的户口迁移实行自愿原则。
第5句：3.现为定向应届毕业硕士生、拟报考定向培养的考生、原为定向硕士生和现正在履行合同中服务年限的在职人员考生，须征得培养单位或工作单位的同意，否则报考无效或取消录取资格。
第6句：4.应届硕士研究生在博士生入学之前必须获得硕士学位证或硕士毕业证，届时不能提供证书者将被取消录取资格。
第7句：5.凡被我校录取的全日制非定向培养的博士研究生，入学后可申请宿舍；录取为非全日制或者定向类型的专业学位博士原则上不提供住宿。
第8句：学校视住宿资源情况进行具体分配。
第9句：6.境外学位获得者须在录取当年入学报到前出具“教育部留学人员服务中心”的认证证书，否则将取消录取资格。
第10句：7.我校不允许研究生同时具有两个及以上研究生学籍。
第11句：8.为保障招生计划落实以及维护招生的严肃性，拟录取后如放弃拟录取资格请在公示期内提出，公示期结束后学校将整理数据并制作有关拟录取材料。
第12句：公示期结束后提出放弃拟录取资格不予受理，务请慎重。
第13句：招生录取数据具有原始性、凭证性，录取信息报送“中国研究生招生信息网”并经主管部门审核后无法修改（招生主管部门另有规定的除外）。
第14句：9.网上支付报名考试费、复试费前请再次确认。
第15句：因个人原因取消报名或不能参加考核的，已支付的报考费用不予退还。
第16句：10.各学院招生办法中涉及全校政策的报考条件、学费、奖助学金、毕业以及学位等规定如有与本招生简章不一致的，应以本招生简章为准。
第17句：11.我校不举办考前辅导班。
第18句：未授权任何单位和个人进行招生辅导活动，如咨询可联系附录中各院级单位招生咨询电话。
第19句：12.请仔细阅读本招生简章，报名成功即视同已知悉并遵守本招生简章的相关规定。
第20句：13.本招生简章由天津大学研究生招生办公室负责解释；各学院的制订的招生办法由相关学院负责解释。
第21句：14.如遇主管部门政策变化，我校招生简章各环节、流程将做相应调整，请务必关注我校研招网。
第22句：咨询邮箱：[email protected]
第23句：咨询电话：022-27409520，022-27401195
第十段落：
第1句：九、通讯方式
第2句：1.各学院咨询电话详见附录，涉及招生办法、申请材料审核以及考核安排等优先咨询报考学院。
第3句：通讯地址详询各学院。
第4句：2.天津大学研究生招生办公室地址：
第5句：卫津路校区：天津市南开区卫津路92号 天津大学第九教学楼217室；邮编：300072。
第6句：北洋园校区：天津市海河教育园区雅观路135号 天津大学1895行政服务中心（杏荪楼）A305室；邮编：300350。
第7句：电子邮箱：[email protected]
第8句：联系电话：022-27409520
第十一段落：
第1句：十、附录
第2句：1.各学院工程博士专业学位研究生招生办法（点击查阅）
第3句：机械工程学院2025年工程博士专业学位研究生招生办法
第4句：精密仪器与光电子工程学院2025年工程博士专业学位研究生招生办法
第5句：建筑工程学院2025年工程博士专业学位研究生招生办法
第6句：建筑学院2025年工程博士专业学位研究生招生办法
第7句：化工学院2025年工程博士专业学位研究生招生办法
第8句：材料科学与工程学院2025年工程博士专业学位研究生招生办法
第9句：管理与经济学部2025年工程博士专业学位研究生招生办法
第10句：理学院2025年工程博士专业学位研究生招生办法
第11句：药物科学与技术学院2025年工程博士专业学位研究生招生办法
第12句：环境科学与工程学院2025年工程博士专业学位研究生招生办法
第13句：生命科学学院2025年工程博士专业学位研究生招生办法
第14句：海洋科学与技术学院2025年工程博士专业学位研究生招生办法
第15句：微电子学院2025年工程博士专业学位研究生招生办法
第16句：电气自动化与信息工程学院2025年工程博士专业学位研究生招生办法
第17句：智能与计算学部2025年工程博士专业学位研究生招生办法
第18句：天津大学医学院2025年工程博士专业学位研究生招生办法
第19句：注：我校新媒体与传播学院（咨询电话022-27405272）、分子+研究院（咨询电话022-87371889）、分子聚集态科学研究院（咨询电话：022-27893326）、国家卓越工程师学院以及天津大学福州国际联合学院（咨询电话0591-62602689）等单位挂靠有关主体学院招生，具体可咨询相关学院。
第20句：2.相关学院风景园林专业学位博士招生办法（点击查阅）
第21句：建筑学院2025年风景园林专业学位博士招生办法
第22句：3.天津大学2025年专业学位博士招生专业目录（报名系统中查询）
第23句：天津大学博士生招生管理系统
中新社北京8月26日电 (记者 阮煜琳)《中共中央办公厅 国务院办公厅关于推进绿色低碳转型加强全国碳市场建设的意见》(下称《意见》)日前对外公布。中国生态环境部新闻发言人裴晓菲26日介绍，这是中国碳市场领域第一份中央文件，明确了全国碳市场中长期发展的时间表、路线图、任务书。
国家应对气候变化战略研究和国际合作中心总经济师张昕认为，《意见》为建设全国温室气体自愿减排交易市场建设勾画了路线图，围绕建成更加有效、更有活力、更具国际影响力的碳市场的目标，将全国温室气体自愿减排交易市场建设要求具象化。
生态环境部华南环境科学研究所所长严刚表示，《意见》作为全国碳市场建设部署的纲领性文件，是落实中共二十届三中全会健全绿色低碳发展机制、更好发挥市场机制作用、构建全国统一大市场的具体举措，标志着中国碳市场建设进入新征程。
2021年和2024年，中国先后建成启动了全国碳排放权交易市场(强制碳市场)和全国温室气体自愿减排交易市场(自愿碳市场)。这两个市场既各有侧重又相互衔接，共同构成了全国碳市场体系。裴晓菲说，经过四年多的发展，全国碳市场建设实现了起步稳、运行稳，取得了较为显著的成效。
截至2025年8月22日，全国碳市场碳排放配额(CEA)累计成交量6.8亿吨，总成交额达474.1亿元(人民币，下同)。全国温室气体自愿减排交易市场，累计成交核证自愿减排量249万吨，成交额达2.1亿元。
“我们建章立制，会同有关部门制定了30余项制度和技术规范，初步形成了多层级、较完备的碳市场法规制度体系。”裴晓菲说，同时，还不断扩大重点行业覆盖范围，在发电行业基础上，今年将钢铁、水泥、铝冶炼行业纳入强制碳市场，对全国60%以上碳排放量实现了有效管控。
对于如何深入推进全国碳市场建设，裴晓菲表示，首先，将根据行业发展状况、降碳减污贡献、数据质量基础、碳排放特征等，有序扩大强制碳市场的覆盖行业范围。建立预期明确、公开透明的碳排放配额管理制度，明确市场中长期碳排放配额控制目标，逐步由强度控制转向总量控制。配额分配方式由免费转向免费和有偿相结合，有序提高有偿分配比例。
同时，着力提升碳市场活力。将联合金融机构，探索开发与碳排放权和核证自愿减排量相关的绿色金融产品和服务，建立碳质押、碳回购等政策制度。
“碳质押就是企业将政府分配的碳配额或核证自愿减排量等碳资产作为质押物，向金融机构申请贷款。碳回购则是配额持有者将碳资产出售给第三方机构，并约定在未来以约定价格回购，从而获得短期资金融通。这两项制度都有利于拓展重点排放单位的融资渠道，盘活碳资产，降低融资成本，提升节能减碳积极性和主动性。”裴晓菲说，同时，将稳妥推进符合要求的金融机构在依法合规、风险可控前提下参与全国碳市场交易，适时引入其他非履约主体参与强制碳市场交易、符合条件的自然人参与自愿碳市场交易。
裴晓菲表示，生态环境部将不断夯实碳市场建设制度基础，为加快建设更加有效、更有活力、更具国际影响力的全国碳市场提供有力保障。(完)
|
Chinese
|
32k
|
T2. Sequencing & Structure Reconstruction
|
T2.2 Local Causal Chain Sorting
|
Partial
|
所提供的文档是多篇新闻构成的文本内容，其中只有**第二篇**的**第七段落**被打乱为句子级片段。其余篇章、段落语序完好，作为背景，可忽略。任务：仅重建第二篇的第七段落内部的句级顺序（因果/步骤链）。先输出“[答案]”标识符，再按行输出排序后的句子序号，不要输出任何其他内容。
输出示例：
[答案]
2
5
4
6
1
3
7
|
所提供的文档是多篇新闻构成的文本内容，其中只有**第二篇**的**第七段落**被打乱为句子级片段。其余篇章、段落语序完好，作为背景，可忽略。任务：仅重建第二篇的第七段落内部的句级顺序（因果/步骤链）。进行逐步思考，在你的思考过程后，输出“[答案]”标识符，再按行输出排序后的句子序号，不要输出任何其他内容。
输出示例：
<你的思考过程>
[答案]
2
5
4
6
1
3
7
|
[
"7",
"3",
"1",
"6",
"4",
"5",
"2"
] |
Moderate
|
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