7KH4XU૟čQDQG,WV/HJDO(QYLURQPHQW
David S. Powers
$
,QWHUQDO3HUVSHFWLYH
ቈዧᇖኂዼᇀᇖቨኂዧ႐ቈ႐ጪᄽኂኂሳVWULFWO\VSHDNLQJWKH4XU૟čQGRHVFRQ
WDLQDSSUR[LPDWHO\YHUVHVWKDWWUHDWLPSRUWDQWOHJDOPRUDODQG
HWKLFDOPDWWHUV7KHVHLQFOXGHULWXDOSUDFWLFH²SUD\HUDOPVJLYLQJ
IDVWLQJDQGSLOJULPDJHPDUULDJHGLYRUFHLQKHULWDQFHDQGDGRSWLRQWUDGH
DQGFRPPHUFHGUHVVIRRGDQGGULQNVH[XDOUHODWLRQVDQGFULPHDQGSXQ
LVKPHQW7KHWH[WIUHTXHQWO\WDNHVWKHIRUPRIDYHUEDOH[FKDQJHEHWZHHQ
WZR ϮJXUHV DQ DXWKRULDO YRLFH DQG DQ XQLGHQWLϮHG DGGUHVVHH ,Q VRPH
LQVWDQFHV WKH DXWKRULDO YRLFH VSHDNV LQ WKH ϮUVW SHUVRQ SOXUDO ´ZHµ DQG
DGGUHVVHVKLVKHULWVSURQRXQFHPHQWVWRDVLQJOHPDOHDGGUHVVHH ´\RXµ IRUH[DPSOH´:HJDYHKHUWR\RXLQPDUULDJHµ 4 ,QRWKHULQVWDQF
HV WKH DXWKRULDO YRLFH SRVVHVVHV NQRZOHGJH RI TXHVWLRQV SUHVHQWHG E\ DQ
XQLGHQWLϮHGJURXSRISHRSOHWRWKHPDOHDGGUHVVHHDQGLWSURYLGHVLQVWUXF
WLRQRQWKHSURSHUUHVSRQVHWRWKRVHTXHVWLRQVIRUH[DPSOH´7KH\DVN\RX
DERXWZLQHDQGJDPHVRIFKDQFH6D\«µ 4 ,QVWLOORWKHULQVWDQFHV
WKHDXWKRULDOYRLFHUHIHUVLQWKHWKLUGSHUVRQVLQJXODUWRSURQRXQFHPHQWV
E\ D GLYLQH ϮJXUH WR D JURXS RI PHQ IRU H[DPSOH ´$OOčK FRPPDQGV \RX
>PDVFSO@FRQFHUQLQJ\RXUFKLOGUHQ«µ 4 7KHIRUPXODWLRQRIVXFK
VWDWHPHQWVUHDVRQDEO\PD\EHXQGHUVWRRGDVLQGLFDWLQJWKDWWKHFRQWHQWVRI
WKH4XU૟čQZHUHWUDQVPLWWHGE\*RGWRDSURSKHW²XQLYHUVDOO\XQGHUVWRRG
E\ 0XVOLPV WR EH D PDQ QDPHG 0XєDPPDG ,Q WKDW FDVH WKH 4XU૟čQ LV D
ZULWWHQ UHFRUG RI DQ RQJRLQJ VHULHV RI FRPPXQLFDWLRQV EHWZHHQ *RG DQG
0XєDPPDG2QHFRQVHTXHQFHRIWKLVDVVXPSWLRQLVWKHWUDQVIRUPDWLRQRI
ZKDWDQRQEHOLHYHUPLJKWUHJDUGDVPXQGDQHFLYLOPDWWHUV²IRULQVWDQFH
PDUULDJHLQKHULWDQFHDQGGLHW²LQWRPDWWHUVRIVDFUHGLPSRUW
,QDQXPEHURILQVWDQFHVWKHUHDSSHDUVWREHDWHQVLRQ²SHUKDSVHYHQD
FRQWUDGLFWLRQ²EHWZHHQWZRRUPRUHYHUVHVRIWKHVHUHYHODWLRQV)RUH[DP
SOHRQHUHYHODWLRQVWDWHVWKDWkhamrRUUHGZLQHKDVERWKQHJDWLYHTXDOLWLHV
DQGSRVLWLYHTXDOLWLHV ´JUHDWVLQµDQG´EHQHϮWVµ4 DQRWKHULQVWUXFWV
David S. Powers
EHOLHYHUVQRWWRDSSURDFKSUD\HUZKLOHLQWR[LFDWHG²OHDYLQJRSHQWKHSRV
VLELOLW\RIFRQVXPSWLRQDWRWKHUWLPHV 4 ZKLOHDWKLUGFKDUDFWHUL]HV
ZLQHDVDQDERPLQDWLRQWREHDYRLGHGLQDOOFLUFXPVWDQFHV 4 :KLFK
RIWKHVHWKUHHLQVWUXFWLRQVVKRXOGDEHOLHYHUIROORZ"7KHWHQVLRQEHWZHHQ
WKHVHWKUHHSURQRXQFHPHQWVZDVUHVROYHGE\LQYRNLQJWKHGRFWULQHRInaskh
RUDEURJDWLRQ VHH4DQG 0XVOLPVFKRODUVWHDFKWKDW4
DQGZHUHUHYHDOHGbefore4DQGWKDWWKHWZRearlierYHUVHVZHUHDE
URJDWHGE\WKHFKURQRORJLFDOO\laterRQH
7KLVLQWHUHVWLQUHODWLYHFKURQRORJ\QDWXUDOO\GHYHORSHGLQWRDQLQWHU
HVW LQ DEVROXWH FKURQRORJ\ 2YHU WLPH WKH 0XVOLP FRPPXQLW\ SURGXFHG
GHWDLOHGLQIRUPDWLRQDERXWWKHWLPLQJDQGFLUFXPVWDQFHVRILQGLYLGXDOUHY
HODWLRQV7KLVLQIRUPDWLRQLVHQFRGHGLQUHSRUWVNQRZQDVDVEčEQX]ࡃODOč\čW
RU´RFFDVLRQVRIWKHUHYHODWLRQVµ7KHUHSRUWVLQFOXGHGZLWKLQWKLVOLWHUDU\
JHQUHJHQHUDOO\VWDWHWKDWRQHRUDQRWKHUUHYHODWLRQZDVVHQWGRZQDERXW
WKLVRUWKDW&RPSDQLRQDWDVSHFLϮFPRPHQWLQWLPHDQGLQFRQQHFWLRQZLWK
DVSHFLϮFHSLVRGHWKDWRFFXUUHGLQWKH+LMD]GXULQJWKHSHULRGRIUHYHODWLRQ
² &( )RU H[DPSOH D ZRPDQ ZKRVH KXVEDQG GLHG DV D PDUW\U LQ D
FHUWDLQEDWWOHDQGZKRKDGQRUHVRXUFHVWRVXSSRUWKHUFKLOGUHQDSSURDFKHG
WKHSURSKHWDQGDSSULVHGKLPRIKHUVLWXDWLRQ7KHSURSKHWFRQVXOWHGZLWK
WKHGLYLQLW\ZKRWKHQVHQWGRZQDUHYHODWLRQWKDWDGGUHVVHGWKLVZRPDQ·V
SUHGLFDPHQW,QLWLDOO\WKHUHYHODWLRQDVVRFLDWHGZLWKWKHHSLVRGHZDVLQVHUW
HGLQWRDURXJKFKURQRORJLFDOJULGIRUH[DPSOHRQHYHUVHZDVUHYHDOHG´DW
WKHEHJLQQLQJRI,VODPµDQRWKHUZDVUHYHDOHGEHIRUH²RUDIWHU²WKHKLMUD
DQGDWKLUGZDV´WKHODVWYHUVHUHYHDOHGWR0XєDPPDGµ6XEVHTXHQWO\ZLWK
WKHLQWURGXFWLRQRIWKH,VODPLFFDOHQGDULWEHFDPHSRVVLEOHWRDVVLJQDVSH
FLϮFGDWHWRHDFKUHYHODWLRQIRUH[DPSOH$+RU
,WIROORZVIURPZKDWSUHFHGHVWKDWWKH4XU૟čQHPHUJHGLQDORFDO+LMD]L
HQYLURQPHQW5HYHODWLRQV´FDPHGRZQµRU´ZHUHVHQWGRZQµWRWKH3URSK
HW 0XєDPPDG RYHU D SHULRG RI WZHQW\WKUHH \HDUV EHJLQQLQJ LQ 0HFFD
² DQGFRQWLQXLQJLQ<DWKULE0DGLQD ² ,IVRWKHQWKHODZV
FRQWDLQHG LQ WKH 4XU૟čQ UHDVRQDEO\ PD\ EH XQGHUVWRRG LQ WKH FRQWH[W RI
$UDELDQFXVWRPDU\ODZZKLFKSUHVXPDEO\ZDVHLWKHUFRQϮUPHGPRGLϮHG
RUUHMHFWHGE\WKH4XU૟čQ,QWKHLUHϸRUWVWRHVWDEOLVKWKHFKURQRORJ\DQG
FLUFXPVWDQFHVRIUHYHODWLRQ0XVOLPVFKRODUVKDYH²SHUKDSVXQZLWWLQJO\²
JHQHUDWHGDFRQVLGHUDEOHERG\RILQIRUPDWLRQDERXW$UDELDQFXVWRPDU\ODZ
/HWXVFRQVLGHUWKUHHH[DPSOHV
,Q0HGLQD6D૛GEDO5DEҸ૛DQGKLVZLIH҇DEҸEDEW=D\GERWK+HOS
HUVZHUHH[SHULHQFLQJPDULWDOSUREOHPV7RUHVROYHWKHVHSUREOHPV
*RGVHQWGRZQDUHYHODWLRQWKDWHVWDEOLVKHGDJHQHUDOSURFHGXUHIRU
GHDOLQJZLWKPDULWDOGLVSXWHVLWDGYLVHVWKHIDPLOLHVRIDKXVEDQGDQG
ዅዼወ૟Ⴢቨ೉_೉7KH4XU૟čQDQG,WV/HJDO(QYLURQPHQW
ZLIHZKRDUHFRQVLGHULQJGLYRUFHWRFKRRVHWZRєDNDPVRUDUELWHUV
ZKRPLJKWUHFRQFLOHWKHFRXSOH²RQHIURPWKHIDPLO\RIWKHKXVEDQG
DQGRQHIURPWKDWRIWKHZLIH 7KLVUHYHODWLRQEHFDPHYRI6ࡃUDW
DO1LVč૟ 3UHVXPDEO\WKHєDNDPPHQWLRQHGLQWKLVUHYHODWLRQZDVD
ϮJXUHIDPLOLDUWRWKH4XU૟čQ·VDXGLHQFH,IVRWKHQRQHPD\FRQFOXGH
WKDWLQ$UDELDQFXVWRPDU\ODZPDULWDOGLVSXWHV²DQGSHUKDSVRWKHU
GLVSXWHVDVZHOO²ZHUHUHVROYHGE\DϮJXUHNQRZQDVDєDNDP,QWKLV
LQVWDQFHWKH4XU૟čQDSSHDUVWRFRQϮUPDQHVWDEOLVKHG$UDELDQFXV
WRPDU\SUDFWLFH
,VODPLFVRXUFHVUHSRUWWKDWSULRUWRWKHHPHUJHQFHRI,VODPZRPHQLQ
WKH+LMD]GLGQRWKDYHWKHULJKWWRLQKHULW7KLVVLWXDWLRQLVH[HPSOL
ϮHGE\DFDVHUHODWLQJWRD&RPSDQLRQQDPHG$ZVE7KčELWDO$QߙčUҸ
ZKRVKRUWO\EHIRUHKLVGHDWKDW8єXGLQDSSRLQWHGWZRRIKLV
SDWHUQDO FRXVLQV DV FRH[HFXWRUV RI KLV HVWDWH )ROORZLQJ WKH &RP
SDQLRQ·VGHDWKWKHWZRFRH[HFXWRUVUHIXVHGWRVKDUHKLVHVWDWHZLWK
KLV ZLIH 8PP .XєєD DQG KLV WKUHH GDXJKWHUV 8PP .XєєD QRZ
DSSURDFKHG WKH 3URSKHW DQG DSSHDOHG WR KLV VHQVH RI MXVWLFH 7KH
3URSKHWLQVWUXFWHGKHUWRUHWXUQKRPHVRWKDWKHPLJKWFRQVXOWZLWK
WKHGLYLQLW\2QWKHPRUURZ*RGVHQWGRZQDUHYHODWLRQWKDWDZDUGV
VSHFLϮF IUDFWLRQDO VKDUHV RI WKH HVWDWH WR IHPDOHV LQ WKHLU FDSDFLW\
DVGDXJKWHUVPRWKHUVVLVWHUVDQGZLYHV WKLVUHYHODWLRQEHFDPHYY
²RI6ࡃUDWDO1LVč૟ ,QWKLVLQVWDQFHWKH4XU૟čQDSSHDUVWRPRGLI\
RUUHIRUP$UDELDQFXVWRPDU\ODZE\UDLVLQJWKHVWDWXVRIZRPHQDO
EHLWIRUUHDVRQVQRWVSHFLϮHGLQWKHWH[W
6KRUWO\EHIRUHRUDIWHUWKH%DWWOHRIWKH7UHQFKLQ$+0XєDPPDG
IHOO LQ ORYH ZLWK WKH ZLIH RI KLV DGRSWHG VRQ D PDQ QDPHG =D\G
$FFRUGLQJWRORFDOFXVWRPDU\ODZKRZHYHULWZDVIRUELGGHQIRUD
PDQWRKDYHVH[XDOUHODWLRQVZLWKWKHZLIH²RUIRUPHUZLIH²RIKLV
VRQ ,Q RUGHU WR IDFLOLWDWH WKH 3URSKHW·V PDUULDJH WR WKLV ZRPDQ
*RG VHQW GRZQ D UHYHODWLRQ LQ ZKLFK +H LQWURGXFHG D GLVWLQFWLRQ
EHWZHHQ WKH ZLIH RI D ELRORJLFDO VRQ DQG WKDW RI DQ DGRSWHG VRQ
´VR WKDW WKHUH VKRXOG EH QR VLQ IRU WKH EHOLHYHUV FRQFHUQLQJ WKH
ZLYHVRIWKHLUDGRSWHGVRQVµ 7KLVUHYHODWLRQEHFDPHYRI6ࡃUDW
DO$є]čE $OPRVW LPPHGLDWHO\ KRZHYHU *RG VHQW GRZQ DQRWKHU
UHYHODWLRQLQZKLFK+HDEROLVKHGWKHLQVWLWXWLRQRIDGRSWLRQ ´FDOO
WKHPDIWHUWKHLU>WUXH@IDWKHUVµ 7KLVUHYHODWLRQEHFDPHYRI6ࡃUDW
DO$є]čE,QWKLVLQVWDQFHWKH4XU૟čQLQLWLDOO\HQGRUVHVWKHLQVWLWX
WLRQRIDGRSWLRQDVUHJXODWHGE\$UDELDQFXVWRPDU\ODZEXWVKRUWO\
WKHUHDIWHUDEROLVKHVWKHLQVWLWXWLRQ
David S. Powers
)URP H[DPSOHV OLNH WKHVH FHUWDLQ NH\ IHDWXUHV RI $UDELDQ FXVWRPDU\
ODZ LQ WKH +LMD] LQ WKH ϮUVW KDOI RI WKH ϮUVW FHQWXU\ $+ EHJLQ WR HPHUJH
)RUH[DPSOHDUELWHUVSOD\HGDQLPSRUWDQWUROHLQWKHUHVROXWLRQRIGLVSXWHV
ZRPHQGLGQRWKDYHWKHULJKWWRLQKHULWDQGDGRSWLRQZDVDFRPPRQSUDF
WLFH7KHVHDUH´IDFWVµWKDWQR0XVOLPVFKRODULQP\YLHZZRXOGGLVSXWH
([WHUQDO3HUVSHFWLYH
,WPXVWEHQRWHGWKDWWKHDERYHPHQWLRQHGNH\IHDWXUHVRI$UDELDQFXVWRP
DU\ODZKDYHEHHQ´UHFRYHUHGµIURPH[HJHWLFDOH[SDQVLRQVRIRQHRUDQRWKHU
YHUVHRIWKH4XU૟čQRYHUWKHFRXUVHRIWKHVHFRQGDQGWKLUGFHQWXULHV$+
(ϸRUWVE\WKH0XVOLPFRPPXQLW\WRHVWDEOLVKWKHFKURQRORJ\RIUHYHODWLRQ
DQGWKHKLVWRULFDOFLUFXPVWDQFHVLQZKLFKLQGLYLGXDOUHYHODWLRQVZHUHVHQW
GRZQDUJXDEO\ZHUHSDUWRIDSURFHVVRIKLVWRULFL]DWLRQWKDWXQIROGHGRYHU
VHYHUDOFHQWXULHV7KHUHVXOWLQJKLVWRULFDOQDUUDWLYHLVSODXVLEOHEXWPD\QRW
EHDFFXUDWH2QHFKDUDFWHULVWLFRIWKLVKLVWRULFDOQDUUDWLYHLVWKDWLWV\VWHP
DWLFDOO\H[FOXGHVWKHSRVVLELOLW\RIDQ\FRQQHFWLRQEHWZHHQTXU૟čQLFODZDQG
WKHOHJDOV\VWHPVLQSODFHLQWKH0LGGOH(DVWRQWKHHYHRIWKHHPHUJHQFHRI
,VODP
$UDELDLVDQLQWHJUDOSDUWRIWKH0RXQWDLQ$UHQDWKHVHULHVRIPRXQ
WDLQUDQJHV²7DXUXV3RQWXV&DXFDVXV=DJURVDO-DZO5HG6HD+LOOV6LQDL
1XVD\ULDQG$PDQXV²WKDWFLUFXPVFULEH$QDWROLD0HVRSRWDPLDDQG$UD
ELD7KHDUHQDFUHDWHGE\WKLVULQJRIPRXQWDLQUDQJHVLQFOXGHVWKH+LMD]
ZKLFKLVVWUDWHJLFDOO\ORFDWHGRQWKHQRUWKVRXWKD[LVWKDWFRQQHFWV$UDELD
WR0HVRSRWDPLDDQG,UDQDQGWRWKH<HPHQDQG(WKLRSLDDQGRQWKHHDVW
ZHVWD[LVWKDWFRQQHFWV(J\SWDQGWKH3HUVLDQ*XOI)RUPLOOHQQLDPHUFKDQWV
VROGLHUVQRPDGVDQGRWKHUVKDYHWUDYHOHGEDFNDQGIRUWKEHWZHHQWKHVHUH
JLRQVEULQJLQJWKHLQKDELWDQWVRI$UDELDLQWRFRQWDFWZLWKWKHLQKDELWDQWV
RI(J\SWWKH)HUWLOH&UHVFHQWDQG,UDQ%\FD&(PDQ\RIWKHVHSHRSOH
ZRXOGKDYHEHHQPRQRWKHLVWVRIRQHDϲOLDWLRQRUDQRWKHU²UDEELQLFRUQRQ
UDEELQLF-HZV(DVWRU:HVW6\ULDQ&KULVWLDQV0DQLFKHDQV0DQGDHDQVDQG
RU=RURDVWULDQV7KHVHFRQWDFWVZRXOGKDYHH[SRVHGWKHLQKDELWDQWVRIWKH
+LMD]QRWRQO\WR1HDU(DVWHUQVRFLDOHFRQRPLFSROLWLFDODQGUHOLJLRXVLGHDV
DQGSUDFWLFHVEXWDOVRWROHJDOSUDFWLFHVDQGLQVWLWXWLRQVDVZHOO
$QRQEHOLHYLQJKLVWRULDQPLJKWDVNWKHIROORZLQJTXHVWLRQV:KDWZDV
WKH ODUJHU OHJDO ODQGVFDSH RU HQYLURQPHQW LQ ZKLFK WKH 4XU૟čQ HPHUJHG"
:KDWLVWKHUHODWLRQVKLSEHWZHHQWKDWOHJDOHQYLURQPHQWDQGWKHODZVDQG
UXOHVLQWKH4XU૟čQ":KDWOLWHUDU\RUGRFXPHQWDU\WH[WVPD\KDYHVHUYHGDV
WKHVRXUFHVRIWKHUXOHVDQGUHJXODWLRQVIRXQGLQWKH4XU૟čQ"
,IZHVKLIWWKHIRFXVRIVFKRODUO\DWWHQWLRQDZD\IURPWKH+LMD]DQGWR
ዅዼወ૟Ⴢቨ೉_೉7KH4XU૟čQDQG,WV/HJDO(QYLURQPHQW
ZDUGVWKH0RXQWDLQ$UHQDWKHϮHOGRILQYHVWLJDWLRQUHOHYDQWWRWKHOHJDO
HQYLURQPHQW RI WKH 4XU૟čQ EHFRPHV PXFK ZLGHU :H PD\ QRZ MX[WDSRVH
DQGFRPSDUHTXU૟čQLFODZQRWRQO\ZLWK$UDELDQFXVWRPDU\ODZEXWDOVRZLWK
%\]DQWLQHODZ6DVDQLDQODZ5RPDQSURYLQFLDOODZ-HZLVKODZDQG&KULVWLDQ
ODZNHHSLQJLQPLQGWKDWWKLVOLVWLVQRWH[KDXVWLYH,QZKDWIROORZV,ZLOO
DWWHPSWDEULHIVXPPDU\RIWKHOHJDOHQYLURQPHQWLQWKH0RXQWDLQ$UHQD
RQWKHHYHRIWKHHPHUJHQFHRI,VODPLQWKHVHYHQWKFHQWXU\&(DQGGLVFXVVD
KDQGIXORIH[DPSOHVWKDWVXJJHVWSRLQWVRIFRQWDFWEHWZHHQWKH4XU૟čQDQG
WKHZLGHU1HDU(DVWHUQOHJDOHQYLURQPHQW
/HJDO(QYLURQPHQW
%\]DQWLQH/DZ
%\]DQWLQHODZLVEDVHGODUJHO\RQHDUOLHU5RPDQSROLWLFDOFXOWXUDODQGVR
FLDOLQVWLWXWLRQVDQG5RPDQODZVHUYHGDVWKHEDVLVRIWKH%\]DQWLQHOHJDO
V\VWHP/DZWRRNWKHIRUPRILPSHULDOHQDFWPHQWVDQGPDQ\´QHZODZVµ
novellae GHDOLQJZLWKSXEOLFSULYDWHHFRQRPLFDQGVRFLDOOLIHZHUHLVVXHG
E\ HPSHURUV VXFK DV 7KHRGRVLXV U ² &( DQG -XVWLQLDQ U ²
&( 6KRUWO\DIWHUKLVDFFHVVLRQLQ-XVWLQLDQDSSRLQWHGDFRPPLVVLRQRI
MXULVWVWRFRPSLOHDOOH[LVWLQJ5RPDQODZLQWRRQHFRUSXVWKDWPLJKWEHXVHG
WKURXJKRXWWKHHPSLUH²LQFOXGLQJWKH*UHHN6\ULDFDQG$UDPDLFVSHDN
LQJSURYLQFHVRIWKH0RXQWDLQ$UHQD7KHUHVXOWLQJFRPSLODWLRQVRPHWLPHV
UHIHUUHGWRDVWKH&RGH[RI-XVWLQLDQLQFOXGHGWKUHHFRPSRQHQWVWKH'LJHVW
WKH&RGH DQGWKH,QVWLWXWHV 7KH'LJHVWZDVDFROOHFWLRQDQG
VXPPDU\RIWKHZULWLQJVRIFODVVLFDO5RPDQMXULVWVRQODZDQGMXVWLFHWKH
&RGHVSHFLϮHGWKHODZVRIWKHHPSLUHEDVHGRQHDUOLHULPSHULDOSURQRXQFH
PHQWV FDOOHG´FRQVWLWXWLRQVµ DQGVRPHRI-XVWLQLDQ·VRZQOHJLVODWLRQDQG
WKH ,QVWLWXWHV ZKLFK FRQWDLQV D VXPPDU\ RI WKH 'LJHVW ZDV SUREDEO\ GH
VLJQHG WR VHUYH DV D WH[WERRN IRU ODZ VWXGHQWV ,Q WRZDUG WKH HQG RI
WKHHPSHURU·VUHLJQDJURXSRIOHJDOVFKRODUVSURGXFHGDVXSSOHPHQWWRWKH
&RGHWKDWLQFOXGHGODZVHQDFWHGDIWHUDVZHOODVDVXPPDU\RI-XVWLQLDQ·V
LPSHULDOSURQRXQFHPHQWV7KLVWH[WLVNQRZQDVWKHNovellae ConstitutionesRU
Novels7RJHWKHUWKHVHIRXUWH[WVDUHNQRZQDVWKHCorpus Iuris Civilis &,& 0DQ\RIWKHMXULVWVZKRFRQWULEXWHGWRWKH&,&ZHUHWHDFKHUVDWWKHODZ
VFKRRORI%HLUXWHVWDEOLVKHGFD&(%\WKHϮIWKFHQWXU\WKH%HLUXWODZ
VFKRROKDGGHYHORSHGDUHSXWDWLRQDVDSUHHPLQHQWFHQWHURI5RPDQMXULV
SUXGHQFHDQGLQWKHVL[WKFHQWXU\WKHFHQWHUSLHFHRILWVFXUULFXOXPZDVWKH
&,&0DQ\RIWKHVWXGHQWVZKRFRPSOHWHGWKHIRXU\HDUSURJUDPRIVWXG\
ZHQWRQWRVHUYHDVODZ\HUVDQGPDJLVWUDWHVLQWKHHDVWHUQSURYLQFHVRIWKH
HPSLUHZKHUHWKH\ZRXOGKDYHEHHQUHVSRQVLEOHIRUWKHUHJXODWLRQRIZKDW
David S. Powers
KDVEHHQFDOOHG1HDU(DVWHUQSURYLQFLDOODZ7KHVFKRROZDVGHVWUR\HGE\D
PDVVLYHHDUWKTXDNHWVXQDPLDQGϮUHVWKDWOHYHOHG%HLUXWLQ²DSSUR[L
PDWHO\WZHQW\\HDUVEHIRUHWKHELUWKRI0XєDPPDG,WQHYHUUHRSHQHG
6DVDQLDQ/DZ
7KH6DVDQLDQ(PSLUH ²&( FDOOHGÈUčQVKDKUE\LWVLQKDELWDQWVZDV
WKH ODVW ,UDQLDQ HPSLUH EHIRUH WKH ULVH RI ,VODP ,Q WKH WKLUG FHQWXU\ WKH
NLQJ RI NLQJV LQYHVWHG MXGLFLDO DXWKRULW\ LQ WKH =RURDVWULDQ KLJK SULHVW RU
VXSUHPH MXGJH mowbedan mowbed DQG VXERUGLQDWH SULHVWVFKRODUV ZKR
H[HUFLVHG DXWKRULW\ RYHU DOO DVSHFWV RI OLIH ERWK UHOLJLRXV DQG VHFXODU LQ
FOXGLQJWKHVHDOLQJRIFRQWUDFWVUHJXODWLRQRIGLVSXWHVDQGSXQLVKPHQWRI
FULPLQDOV7KHVHVFKRODUVSURGXFHGDFRPSOH[DQGVRSKLVWLFDWHGERG\RIODZ
WKDWZDVEDVHGRQWKHAvestaFRVPRORJLFDOWKRXJKWDQGRWKHUDVSHFWVRIWKH
=RURDVWULDQWUDGLWLRQ2QHLPSRUWDQWVRXUFHIRUWKH,UDQLDQOHJDOWUDGLWLRQ
LVWKH0čGD\čQҸ+D]čU'čGHVWčQRU%RRNRIDThousand JudgmentsFRPSLOHGWR
ZDUGWKHHQGRIWKHUHLJQRI+XVUDZ,, ² DQGVKRUWO\EHIRUHWKH$UDE
LQYDVLRQRI,UDQ:ULWWHQIRUMXULVSUXGHQWVZKRKDGH[SHUWNQRZOHGJHRIWKH
6DVDQLDQOHJDOV\VWHPWKLVWH[WDUJXDEO\HPHUJHGGXULQJDSHULRGLQZKLFK
6DVDQLDQODZZDVVWLOOSUDFWLFHGDQGMXGJHVKDGWKHDXWKRULW\WRSURQRXQFH
MXGJPHQWLQDOOϮHOGVRIODZ,WLVDIXQGDPHQWDOVRXUFHIRUWKHVRFLDODQG
LQVWLWXWLRQDOKLVWRU\RI6DVDQLDQ,UDQ
6\ULDQ2UWKRGR[&KXUFK
7KHHDUO\-HVXVPRYHPHQWZDVVSUHDGE\WKH$SRVWOHVZKRWUDYHOHGH[WHQ
VLYHO\WKURXJKRXWWKH5RPDQ(PSLUHHVWDEOLVKLQJFRPPXQLWLHVLQLWVPDMRU
FLWLHVDQGUHJLRQV,QDGGLWLRQVROGLHUVPHUFKDQWVDQGSUHDFKHUVIRXQGHG
FKXUFKFRPPXQLWLHVLQ1RUWK$IULFD$VLD0LQRU$UPHQLD&DXFDVLDQ$OED
QLD $UDELD DQG *UHHFH %\ WKH WXUQ RI WKH VHFRQG FHQWXU\ &( WKHUH ZHUH
PRUHWKDQIRUW\VXFKFRPPXQLWLHVLQ$VLD0LQRU*UHHFH,WDO\DQG,QGLD
$FFRUGLQJWR$FWV´>,@WZDVLQ$QWLRFKWKDWWKHGLVFLSOHVZHUHϮUVW
FDOOHG¶&KULVWLDQV·µDQG$QWLRFKFODLPVWKHKRQRURIEHLQJWKHPRVWDQFLHQW
&KULVWLDQFKXUFKLQWKHZRUOG7KH3DWULDUFKDWHRI$QWLRFK²RUWKH6\ULDQ
2UWKRGR[&KXUFK²ZDVHVWDEOLVKHGLQWKH\HDUZLWK3HWHUDVLWVϮUVW%LVK
RSDQGWKHϮUVW3DWULDUFKRIWKH&KXUFK)URP$QWLRFK&KULVWLDQLW\VSUHDG
WRRWKHU6\ULDQFLWLHVDQGSURYLQFHVDWWUDFWLQJERWKJHQWLOHVDQG-HZV7KH
%LVKRSULF RI $QWLRFK ² WRJHWKHU ZLWK WKH %LVKRSULFV RI 5RPH $OH[DQGULD
DQG -HUXVDOHP ² ZDV UHFRJQL]HG DV D 3DWULDUFKDWH E\ WKH )LUVW &RXQFLO RI
1LFDHDLQ
6HH&URQH
ዅዼወ૟Ⴢቨ೉_೉7KH4XU૟čQDQG,WV/HJDO(QYLURQPHQW
5HOLJLRXVWUHDWLVHVZULWWHQE\PHPEHUVRIWKH6\ULDF&KXUFKDUJXDEO\
ZHUH FLUFXODWLQJ LQ WKH UHOLJLRXV DQG OHJDO ]RQH LQ ZKLFK WKH 4XU૟čQ ZDV
SURGXFHG 2QH VXFK WH[W LV WKH Didascalia Apostolorum RU 7HDFKLQJ RI WKH
$SRVWOHVDWUHDWLVHWKDWSXUSRUWHGO\ZDVFRPSRVHGE\WKH7ZHOYH$SRVWOHV
DWWKHWLPHRIWKH&RXQFLORI-HUXVDOHPLQWKH\HDUEXWOLNHO\ZDVZULW
WHQFD.LQ*UHHNE\DELVKRSLQ1RUWKHUQ6\ULDSHUKDSVQHDU$QWLRFK
,QWKHODWHIRXUWKFHQWXU\WKHDidascaliaZDVUHYLVHGDQGLQFRUSRUDWHGLQWR
WKH*UHHNApostolic Constitutions$/DWLQSDOLPSVHVWIURPWKHϮIWKFHQWXU\
LVH[WDQWDQGWKHWH[WZDVODWHUWUDQVODWHGLQWHUDOLD LQWR6\ULDF$OWKRXJK
WKHHDUOLHVWPDQXVFULSWHYLGHQFHIRUWKH6\ULDFDidascaliaGDWHVRQO\WR
LWLVOLNHO\WKDWWKHWH[WZDVLQFLUFXODWLRQRQWKHPDUJLQVRI$UDELD²LIQRW
LQ$UDELDLWVHOI²RQWKHHYHRIWKHHPHUJHQFHRI,VODPDQGWKDWLWLVD´GRFX
PHQWRISODXVLEOHUHOHYDQFHIRUWKH4XU૟čQ·VRULJLQDODXGLHQFHµ
&KXUFKRIWKH(DVW
%\WKHHQGRIWKHIRXUWKFHQWXU\&($UDPDLFVSHDNLQJ&KULVWLDQVKDGHVWDE
OLVKHGDQH[WHQVLYHQHWZRUNRIFRPPXQLWLHVWKDWVWUHWFKHGDFURVVWKH,UDQLDQ
(PSLUHIURP$UDELDWR$IJKDQLVWDQ7KHVHFRPPXQLWLHVDUHNQRZQFROOHF
WLYHO\DVWKH&KXUFKRIWKH(DVWDQGLWVPHPEHUVDUHFDOOHG(DVW6\ULDQVWR
GLVWLQJXLVKWKHPIURP&KULVWLDQFRPPXQLWLHVLQ%\]DQWLXPRU:HVW6\ULDQV
,QDFKXUFKV\QRGDQQRXQFHGWRPHPEHUVRIWKH(DVW6\ULDQ&KXUFK
WKDWWKH6DVDQLDQNLQJRINLQJV<D]GDJLUG, U² KDGLVVXHGDQ(GLFWRI
7ROHUDWLRQLQZKLFKKHIRUPDOO\UHFRJQL]HGWKHELVKRSRI6HOHXFLD&WHVLSKRQ
DVWKHOHDGHURIWKH&KXUFKRIWKH(DVWJUDQWHG&KULVWLDQVDXWRQRP\ZLWKLQ
WKHHPSLUHDQGSURPLVHGWRHQIRUFHMXGLFLDOGHFLVLRQVPDGHE\HFFOHVLDVWL
FDODXWKRULWLHV7KLVELVKRS²QRZFDOOHGFDWKROLFRV²H[HUFLVHGMXULVGLFWLRQ
RYHU&KULVWLDQFRPPXQLWLHVLQ0HVRSRWDPLDHDVWHUQ$UDELDDQGWKH,UDQLDQ
SODWHDXDQGWKHERXQGDULHVRIWKHFKXUFKZHUHQHDUO\LGHQWLFDOWRWKRVHRI
ÈUčQVKDKU&KULVWLDQUHOLJLRXVϮJXUHVZKROLYHGLQWKHHDUO\,VODPLFSHULRG
SURGXFHGVHYHUDOFRPSUHKHQVLYHOHJDOFRPSHQGLDIRUH[DPSOHWKHSyndi
con OrientaleZKLFKSUHVHUYHVFDQRQV qanone DQGFXVWRPDU\ODZV namose LVVXHGDWV\QRGVKHOGGXULQJWKH6DVDQLDQSHULRG DOWKRXJKWKHWH[WLWVHOI
ZDVHGLWHGRQO\LQWKHHOHYHQWKFHQWXU\ 7KHVHFDQRQVDQGFXVWRPDU\ODZV
UHJXODWHGWKHEHOLHIVULWXDOVDQGVRFLDODQGHFRQRPLFDFWLYLWLHVRI&KULVWLDQ
ELVKRSVSULHVWVDQGDVFHWLFV
=HOOHQWLQ YLLL $QRWKHU WH[W RI ´SODXVLEOHµ ² DOEHLW LQGLUHFW ² UHOHYDQFH WR WKH
4XU૟čQ·VLQLWLDODXGLHQFHLVWKH ¶3VHXGR· &OHPHQWLQH+RPLOLHVDIRXUWKFHQWXU\*UHHNWH[W
WKDWZDVODWHUWUDQVODWHGLQWR/DWLQ6\ULDFDQG$UDELF7KLVWH[WHQGRUVHVPDQ\ULWXDOSUDF
WLFHVIRUJHQWLOHIROORZHUVRI-HVXVWKDWDUHUHMHFWHGE\WKHDidascalia6HH=HOOHQWLQLQGH[
VY&OHPHQWLQH+RPLOLHV
David S. Powers
5DEELQLF/DZ
7KHZRUG halakha OLWHUDOO\´ZD\WRZDONµRU´SDWKµ LVXVHGWRLGHQWLI\WKH
FRUSXVRIUDEELQLFOHJDOWH[WVDQGE\H[WHQVLRQWKHRYHUDOOV\VWHPRI-HZLVK
ODZ7KHVWDUWLQJSRLQWRIhalakhaDUHFRPPDQGPHQWV mitzvoth ²
SRVLWLYHDQGQHJDWLYH²IRXQGLQWKH+HEUHZ%LEOH7KHPDQQHULQZKLFK
WKHVH FRPPDQGPHQWV DUH WR EH REVHUYHG LQ GDLO\ SUDFWLFH ZDV GHYHORSHG
E\UDEELQLFDXWKRULWLHVRQWKHEDVLVRIGLVFXVVLRQDQGGHEDWHDVUHFRUGHGLQ
WZRWH[WVWKH0LVKQDKDUHGDFWLRQRI-HZLVKRUDOWUDGLWLRQVXQGHUWDNHQE\
-XGDKWKH3ULQFHDWWKHEHJLQQLQJRIWKHWKLUGFHQWXU\DQGWKH*HPDUDD
UHFRUGRIUDEELQLFDODQDO\VLVRIDQGFRPPHQWDU\RQWKH0LVKQDK7RJHWKHU
WKHVHWZRWH[WVFRQVWLWXWHWKH7DOPXGDPDVVLYHFRUSXVRIUDEELQLFRSLQ
LRQV OHJLVODWLRQ FXVWRPV DQG UHFRPPHQGDWLRQV ,Q ODWH DQWLTXLW\ WKHUH
ZHUHWZRPDMRUFHQWHUVRI-HZLVKVFKRODUVKLSLQWKH0RXQWDLQ$UHQDRQHLQ
*DOLOHHWKHRWKHULQ%DE\ORQLD(DFKFHQWHUSURGXFHGLWVRZQ7DOPXG7KH
-HUXVDOHP7DOPXGZDVFRPSLOHGLQWKHIRXUWKFHQWXU\DQGWKH%DE\ORQLDQ
7DOPXGZDVFRPSLOHGFDDOWKRXJKWKHWH[WGLGQRWUHDFKLWVϮQDOIRUP
XQWLODWWKHHDUOLHVW
-HZLVK FRPPXQLWLHV OLYLQJ LQ %\]DQWLXP DQG ,UDQ ZHUH LQFRUSRUDWHG
LQWRWKHOHJDOV\VWHPVRIWKHVHWZRHPSLUHV%HJLQQLQJLQWKHWKLUGFHQWXU\
-HZVOLYLQJLQWKH3DOHVWLQHDQGWKH/HYDQWEHFDPH´FLWL]HQVRI5RPHµZKR
ZHUHVXEMHFWWR5RPDQFLYLOODZ-HZVKDGWKHLURZQFRXUWVEXWWKH\DOVR
KDG WKH ULJKW WR EULQJ ODZVXLWV EHIRUH LPSHULDO MXGJHV ,QGHHG -XVWLQLDQ·V
&RGHSUHVFULEHGWKDW-HZVPXVWEULQJERWKFLYLODQGUHOLJLRXVPDWWHUVEHIRUH
LPSHULDOMXGJHVDQGWKDWFHUWDLQGLVSXWHVPLJKWEHEURXJKWEHIRUHD-HZLVK
FRXUWRQO\LIERWKOLWLJDQWVDJUHHGWRGRVR7KH-HZLVKFRPPXQLW\ZDVOHG
E\Dnasi OLWHUDOO\´SULQFHµ RUSDWULDUFKZKRKDGWKHSRZHUWRDSSRLQWDQG
VXVSHQGFRPPXQDOOHDGHUVLQVLGHDQGRXWVLGHRI3DOHVWLQHDQGE\amoraim
UDEELQLFVDJHVZKRZHUHDFWLYHEHWZHHQFDDQGDQGZKRVHUYHGLQ
WHUDOLDDVOHJDOVSHFLDOLVWVDQGMXGJHV
7KHUHZDVDVXEVWDQWLDO-HZLVKFRPPXQLW\LQ6DVDQLDQWHUULWRULHV$OH
JDOPD[LPWKDWDSSHDUVIRXUWLPHVLQWKH%DE\ORQLDQ7DOPXG²´7KHODZRI
WKHODQGLVWKHODZµ²DFNQRZOHGJHV-HZLVKUHFRJQLWLRQRIWKHOHJDODXWKRULW\
RIWKH6DVDQLDQNLQJRINLQJV7KHPD[LPZDVXQGHUVWRRGDVVLJQLI\LQJWKDW
6DVDQLDQODZZDVELQGLQJRQ-HZVDQGLQFHUWDLQFDVHVSUHIHUDEOHWR-HZ
LVKODZ7KHOHDGHUVRIWKH-HZLVKFRPPXQLW\LQ,UDQZHUHWKH([LODUFKRU
KHDGRIWKHH[LOHVDQGWKHamoraimRUUDEELQLFVDJHV/LNHWKHLU(DVW6\ULDQ
&KULVWLDQFRXQWHUSDUWV3HUVLDQ-HZVXVHG=RURDVWULDQOHJDOUXOHVWRVHWWOH
GLVSXWHV WUDQVIHU ZHDOWK DQG SURSHUW\ FRQWUDFW PDUULDJHV DQG PDNH DU
UDQJHPHQWVIRULQKHULWDQFH
ዅዼወ૟Ⴢቨ೉_೉7KH4XU૟čQDQG,WV/HJDO(QYLURQPHQW
$UDPDLF&RPPRQ/DZ
0DQ\RIWKHOHJDOWUDGLWLRQVDQGLQVWLWXWLRQVDVVRFLDWHGZLWKWKHDQFLHQW$V
V\ULDQDQG%DE\ORQLDQHPSLUHVFRQWLQXHGWREHSUDFWLFHGLQWKH0RXQWDLQ
$UHQDIROORZLQJWKHIDOORIWKRVHHPSLUHVDOEHLWQRZDVORFDOSURYLQFLDOODZ
7KHLQKDELWDQWVRI(J\SW6\ULD0HVRSRWDPLDDQG$UDELDVKDUHGDVXEVWDQ
WLDOERG\RIOHJDOSUDFWLFHVDQGOHJDOIRUPXODH7KLVVKDUHGOHJDOWUDGLWLRQ
KDVEHHQFDOOHG$UDPDLF&RPPRQ/DZ(YLGHQFHIRU$UDPDLF&RPPRQ/DZ
KDVEHHQIRXQGRQWRPELQVFULSWLRQVSURGXFHGEHWZHHQDQGLQFLWLHV
VFDWWHUHGDFURVVWKH0RXQWDLQ$UHQDLQFOXGLQJ(OHSKDQWLQH3HWUD3DOP\UD
+DWUDDQG(GHVVD7KHVHLQVFULSWLRQVZHUHZULWWHQLQ0LGGOH$UDPDLFXVLQJ
WKH1DEDWDHDQFXUVLYHVFULSW
, VKDOO QRZ SUHVHQW VHOHFW H[DPSOHV RI ODZV IRXQG LQ WKH 4XU૟čQ WKDW
PDQLIHVWDWKHPDWLFDQGRUOLQJXLVWLFFRQQHFWLRQWRODZVIRXQGLQWKHIRO
ORZLQJWH[WVSURQRXQFHPHQWVRULQVFULSWLRQV7KH+HEUHZ%LEOH7DOPXG
6\ULDQSURYLQFLDOODZDQ,UDQLDQ&KXUFKFDQRQ6\ULDFDidascalia Apostolorum
1DEDWDHDQWRPELQVFULSWLRQVDQGCorpus Iuris Civilis7KHOHJDOVXEMHFWVWREH
DGGUHVVHGEHORZLQFOXGHWKH7HQ&RPPDQGPHQWVDQHWKLFDOOHJDOPD[LP
ORDQ DJUHHPHQWV SURKLELWHG PDUULDJHV SURKLELWHG IRRGV VH[XDO PRGHVW\
DQGLQKHULWDQFHSUDFWLFHV
([DPSOHV
7KH+HEUHZ%LEOH
7KH 4XU૟čQ UHSHDWHGO\ DVVHUWV WKDW LW FRQϮUPV WKH PHVVDJH RI HDUOLHU
6FULSWXUHV -XVW DV -HVXV SUHYLRXVO\ FRQϮUPHG WKH 7RUDK 4 VR WRR
0XєDPPDG FRQϮUPHG ERWK WKH 7RUDK DQG WKH 1HZ 7HVWDPHQW 6HYHUDO
YHUVHVDQQRXQFHWKDWWKHQHZ$UDELFUHYHODWLRQFRQϮUPV´ZKDWZDVEHIRUH
LWµ HJ4DQG ´WKH%RRNRI0RVHVµ 4 RU´DOOWKH6FULSWXUHVEHIRUHLWµ 4 2WKHUYHUVHVVSHFLI\WKDWWKHQHZ
UHYHODWLRQFRQϮUPVWKH6FULSWXUHVVHQWSUHYLRXVO\WRWKH-HZVDQGWKH&KULV
WLDQV 4 ZKRDUHFRPPDQGHGWREHOLHYHLQWKHQHZUHYHODWLRQSUHFLVHO\
EHFDXVHRIWKHLGHQWLW\EHWZHHQLWDQGWKHHDUOLHU6FULSWXUHV 4
&RQYHUVHO\PHPEHUVRIWKHQHZFRPPXQLW\RIEHOLHYHUVDUHLQVWUXFW
HGWREHOLHYHLQWKHQHZUHYHODWLRQEHFDXVHLWFRQϮUPVWKHUHYHODWLRQVVHQW
SUHYLRXVO\WRWKH-HZVDQG&KULVWLDQV 4 7KH+HEUHZ%LEOH1HZ7HVWD
PHQWDQG4XU૟čQDUHVXFFHVVLYHOLQNVLQDFKDLQRIGLYLQHUHYHODWLRQVWKDWDOO
EHDUWKHVDPHPHVVDJH
,WVKRXOGFRPHDVQRVXUSULVHWKDWWKH4XU૟čQFRQWDLQVHFKRHVRIDQG
UHIHUHQFHVWR0RVDLF/DZ&RQVLGHUIRUH[DPSOHWKH7HQ&RPPDQGPHQWV
David S. Powers
RU'HFDORJXHDVHWRIELEOLFDOSULQFLSOHVUHODWLQJWRHWKLFVDQGZRUVKLSLQ
FOXGLQJSRVLWLYHLQVWUXFWLRQVWRZRUVKLSRQO\*RGKRQRURQH·VSDUHQWVDQG
NHHSWKH6DEEDWKDVZHOODVWKHSURKLELWLRQRILGRODWU\EODVSKHP\PXUGHU
DGXOWHU\WKHIWGLVKRQHVW\DQGFRYHWLQJ7KH7HQ&RPPDQGPHQWVDUHOLVWHG
WZLFHLQWKH+HEUHZ%LEOHϮUVWDW([²DQGDJDLQDW'HXW²%RWK
YHUVLRQVVWDWHWKDW*RGLQVFULEHGWKHFRPPDQGPHQWVRQWZRVWRQHWDEOHWV
ZKLFKKHJDYHWR0RVHVRQ0RXQW6LQDL
7KH4XU૟čQLQWURGXFHVDOLVWRIPRUDODQGHWKLFDOLQMXQFWLRQVWKDWLVVLP
LODUWRWKH'HFDORJXHZKLOHGLϸHULQJLQFHUWDLQGHWDLOV7KLVOLVWLVIRXQGLQ
4²DQGLQ4²7KHFRQWHQWVW\OHDQGIRUPRIWKHTXU૟čQLF
LQMXQFWLRQVEHDUDFOHDUUHVHPEODQFHWRWKHLUFRXQWHUSDUWVLQWKH+HEUHZ
%LEOH%RWKWH[WVEHJLQZLWKPHQWLRQRIWKHRQHQHVVRI*RGERWKLQFOXGHD
FRPPDQGWRKRQRURQH·VSDUHQWVDQGERWKSURKLELWPXUGHUVH[XDOPLVFRQ
GXFWWKHIWEHDULQJIDOVHZLWQHVVDQGFRYHWLQJWKHSURSHUW\RIRWKHUV6RPH
%LEOLFDOLQMXQFWLRQVKRZHYHUDUHQRWIRXQGLQWKH4XU૟čQIRUH[DPSOHWKH
FRPPDQG WR REVHUYH WKH 6DEEDWK &RQYHUVHO\ WKH 4XU૟čQ LQFOXGHV VHYHU
DOLQMXQFWLRQVQRWIRXQGLQWKH+HEUHZ%LEOHIRUH[DPSOHJLYHDNLQVPDQ
KLVGXHGRQRWNLOO\RXUFKLOGUHQDVDFRQVHTXHQFHRISRYHUW\SUDFWLFHIDLU
WUDGHDQGGRQRWIROORZRWKHUVEOLQGO\&OHDUO\0RVDLFODZDQGWKHELEOLFDO
'HFDORJXHZHUHSDUWRIWKH4XU૟čQ·VOHJDOHQYLURQPHQWHYHQLIWKH4XU૟čQ
DSSHDUVWRKDYHPRGLϮHGWKH'HFDORJXHVRDVWRPDNHLWPRUHVXLWDEOHIRUDQ
$UDELDQHQYLURQPHQW
7KH7DOPXG
$/HJDO0D[LP
7KH 4XU૟čQ DOVR PDQLIHVWV IDPLOLDULW\ ZLWK WKH 7DOPXG $ IDPRXV PD[LP
IRXQG LQ ERWK WKH -HUXVDOHP DQG %DE\ORQLDQ 7DOPXGV -7 DQG %7 UHVSHF
WLYHO\ UHDGVDVIROORZV´:KRHYHUGHVWUR\VDVRXOLWLVFRQVLGHUHGDVLIKH
GHVWUR\HGDQHQWLUHZRUOG$QGZKRHYHUVDYHVDOLIHLWLVFRQVLGHUHGDVLIKH
VDYHGDQHQWLUHZRUOGµ -7%76DQKHGULQD ,Q4WKHDXWKRULDO
YRLFHRIWKH4XU૟čQDVVHUWVWKDW+HKDGJLYHQWKLVLQVWUXFWLRQWRWKH,VUDHO
LWHVUHIHUULQJWRWKHPD[LPZLWKRXWFLWLQJWKHH[DFW7DOPXGLFIRUPXODWLRQ
´)URPWKHWLPH:HSUHVFULEHGIRUWKH6RQVRI,VUDHOWKDWZKRHYHUNLOOVDSHU
VRQH[FHSW>LQUHWDOLDWLRQ@IRUDQRWKHURU>IRU@IRPHQWLQJFRUUXSWLRQRQWKH
HDUWK>LWLV@DVLIKHKDGNLOOHGDOOWKHSHRSOH$QGZKRHYHUJLYHV>DSHUVRQ@
OLIH>LWLV@DVLIKHKDGJLYHQDOOWKHSHRSOHOLIHµ1RWHϮUVWWKDWWKHRUGHURI
WKHWZRFODXVHVLQWKHWZRWH[WVLVLGHQWLFDOZKRHYHUGHVWUR\VNLOOVIROORZHG
E\ZKRHYHUVDYHVJLYHVOLIH+RZHYHUWKH4XU૟čQPRGLϮHVWKHJHQHUDOUXOH
WKDWLWLVIRUELGGHQWRWDNHDKXPDQOLIHE\DGGLQJWZRH[FHSWLRQVRQHPD\
ዅዼወ૟Ⴢቨ೉_೉7KH4XU૟čQDQG,WV/HJDO(QYLURQPHQW
WDNHWKHOLIHRIDPXUGHUHULQUHWDOLDWLRQDQGRQHPD\WDNHWKHOLIHRIDSHU
VRQZKRIRPHQWVFRUUXSWLRQRQWKHHDUWK
/LNHWKH+HEUHZ%LEOHWKH7DOPXGZDVSDUWRIWKH4XU૟čQ·VOHJDOHQYL
URQPHQW-XVWDVWKH4XU૟čQPRGLϮHGWKH'HFDORJXHWRPDNHLWVXLWDEOHIRU
DQ$UDELDQHQYLURQPHQWVRWRRLWPRGLϮHGD7DOPXGLFPD[LPWRPDNHLW
VXLWDEOHIRUDQ$UDELDQHQYLURQPHQW
:ULWLQJ'RZQ/RDQ$JUHHPHQWV
$ ORQJ YHUVH LQ 6ࡃUDW DO%DTDUD 4 UHJXODWHV ϮQDQFLDO WUDQVDFWLRQV
LQFOXGLQJORDQV7KHYHUVHUHDGVDVIROORZV
<RXZKREHOLHYH:KHQ\RXFRQWUDFWDGHEWZLWKRQHDQRWKHUIRUD
Ϯ[HGWHUPZULWHLWGRZQ/HWDVFULEHZULWHLWGRZQIDLUO\EHWZHHQ
\RXDQGOHWWKHVFULEHQRWUHIXVHWRZULWHLWGRZQVHHLQJWKDW*RG
KDVWDXJKWKLP6ROHWKLPZULWHDQGOHWWKHRQHZKRRZHVWKHGHEW
GLFWDWHDQGOHWKLPJXDUG>KLPVHOI@DJDLQVW*RGKLV/RUGDQGQRW
GLPLQLVKDQ\WKLQJIURPLW,IWKHRQHZKRRZHVWKHGHEWLVZHDNRI
PLQGRUERG\RUXQDEOHWRGLFWDWHKLPVHOIOHWKLVFORVHDVVRFLDWH
GLFWDWHIDLUO\$QGFDOOLQWZRRI\RXUPHQDVZLWQHVVHVRULIWKHUH
DUHQRWWZRPHQWKHQRQHPDQDQGWZRZRPHQIURPWKRVHSUHVHQW
ZKRP\RXDSSURYHRIDVZLWQHVVHVVRWKDWLIRQHRIWKHWZRZRPHQ
JRHVDVWUD\WKHRWKHUZLOOUHPLQGKHU$QGOHWWKHZLWQHVVHVQRW
UHIXVHZKHQWKH\DUHFDOOHGRQ'RQRWGLVGDLQWRZULWHLWGRZQ
>KRZHYHU@VPDOORUODUJHZLWKLWVGXHGDWH7KDWLVPRUHXSULJKWLQ
WKHVLJKWRI*RGPRUHUHOLDEOHIRUZLWQHVVLQJ>LW@DQG>PDNHVLW@PRUH
OLNHO\WKDW\RXZLOOQRWEHLQGRXEW>DIWHUZDUGV@²XQOHVVLWLVDQDFWXDO
WUDQVDFWLRQ\RXH[FKDQJHDPRQJ\RXUVHOYHVDQGWKHQ>WKHUHLV@QR
EODPHRQ\RXLI\RXGRQRWZULWHLWGRZQ%XWWDNHZLWQHVVHVZKHQ
\RXGREXVLQHVVZLWKHDFKRWKHU2QO\OHWWKHVFULEHRUWKHZLWQHVV
QRWLQMXUHHLWKHUSDUW\RULI\RXGRWKDWLVZLFNHGQHVVRQ\RXUSDUW
6RJXDUG>\RXUVHOYHV@DJDLQVW*RG*RGWHDFKHV\RXDQG*RGKDV
NQRZOHGJHRIHYHU\WKLQJ
7KLV YHUVH LQVWUXFWV EHOLHYHUV WR UHFRUG WKH WHUPV RI D ORDQ DJUHHPHQW LQ
ZULWLQJ&XULRXVO\WKLVLQVWUXFWLRQLVDWYDULDQFHZLWKZKDWZRXOGEHFRPH
FODVVLFDO,VODPLFOHJDOGRFWULQHDFFRUGLQJWRZKLFKZULWWHQGRFXPHQWVKDYH
QROHJDOYDOXHDQGDUHPHUHO\DLGVWRPHPRU\0XVOLPMXULVWVUHVROYHGWKH
DSSDUHQWWHQVLRQEHWZHHQWKHTXU૟čQLFSUHVFULSWLRQDQGFODVVLFDOOHJDOGRF
WULQHE\WHDFKLQJWKDWWKHOLQJXLVWLFFRPPDQGDWWKHEHJLQQLQJRI4
´ZULWHLWGRZQµ VKRXOGEHXQGHUVWRRGPHUHO\DVDUHFRPPHQGDWLRQ
,W KDV UHFHQWO\ EHHQ VXJJHVWHG WKDW WKH RULJLQDO PHDQLQJ RI 4 David S. Powers
FRPHVLQWREHWWHUIRFXVZKHQLWLVSODFHGLQWKHFRQWH[WRIODWHDQWLTXHODZ
DVSUDFWLFHGE\-HZVDQGRWKHUV7KHDUJXPHQWUXQVDVIROORZV/HY
FRQWDLQVWKHIROORZLQJFRPPDQG´<RXVKDOOQRW«SODFHDVWXPEOLQJEORFN
EHIRUH WKH EOLQG«µ ,Q WKHLU GLVFXVVLRQV RI WKLV ELEOLFDO YHUVH WKH UDEELV
DVNHG:KRDUHWKHEOLQG"7RWKLVWKH\UHVSRQGHGWKDWWKHZRUG´EOLQGµLV
DPHWDSKRUIRUDSHUVRQZKRLVQRWYLUWXRXVDQGODZDELGLQJ,QRUGHUWR
SUHYHQWVXFKDSHUVRQIURPFRPPLWWLQJDVLQWKH\H[SODLQHGLWLVQHFHVVDU\
WRSODFH´DVWXPEOLQJEORFNµLQIURQWRIKLP%XWZKDWVLQGLGWKH\KDYHLQ
PLQG"$QGZKDWZDVWKHVWXPEOLQJEORFN"
7KHUDEELVOLQNHGWKHLUGLVFXVVLRQRI/HYWRORDQWUDQVDFWLRQV,Q
ODWHDQWLTXLW\LWZDVFXVWRPDU\IRUDSHUVRQZKRERUURZHGPRQH\RUSURS
HUW\WRunilaterallyGHFODUHKLVGHEWWRWKHFUHGLWRUDQGDVVXPHUHVSRQVLELOLW\
IRUWKHPRQH\ERUURZHG7KHRQO\ZULWWHQUHFRUGRIWKHWUDQVDFWLRQWRRN
WKH IRUP RI D KRPRORJ\ RU KDQGZULWWHQ QRWH *U cheirographon LQ ZKLFK
WKHGHEWRUDFNQRZOHGJHGKDYLQJUHFHLYHGWKHPRQH\DQGDJUHHGWRUHWXUQ
LWDWWKHDSSRLQWHGWLPH7KHQRWHZDVZULWWHQE\WKHGHEWRUKLPVHOIRUE\
DVFULEH7KLVOHJDOIRUPZDVZLGHO\XVHGDIWHUWKH\HDU1RWHKRZHYHU
WKDWWKHUHZHUHQRZLWQHVVHVWRWKHWUDQVDFWLRQ7KXVWKHERUURZHUVXEVH
TXHQWO\PLJKWGHQ\KDYLQJUHFHLYHGWKHORDQDQGWKXVDYRLGUHSD\PHQWRI
WKHGHEW$FFRUGLQJWRWKHUDEELVWKLVZDVWKH´VLQµPHQWLRQHGLQ/HY
7KH\ZHUHFRQFHUQHGWKDWDGHEWRUZKRZDVQRWYLUWXRXVDQGODZDELGLQJ
LH´EOLQGµ PLJKWGHQ\KDYLQJUHFHLYHGWKHORDQLQRUGHUWRDYRLGUHSD\
PHQWRIWKHGHEW %DED0HW]LDE 7RSUHYHQWWKLVXQVFUXSXORXVSUDFWLFH
WKH UDEELV SURSRVHG SXWWLQJ D VWXPEOLQJ EORFN LQ IURQW RI WKH EOLQG 7KH
VWXPEOLQJEORFNWRRNWKHIRUPRIDWZRZLWQHVVUXOH´$KRPRORJ\PXVWEH
PDGHLQWKHSUHVHQFHRIWZRSHUVRQVRQHRIZKRPPXVWVD\¶:ULWH·µ %DED
%DWUDD 7KHWZRZLWQHVVUXOHZDVGHVLJQHGWRGHWHURUSUHYHQWDGHEWRU
IURPFRPPLWWLQJDVLQ7KHWZRZLWQHVVKRPRORJ\ZDVSUDFWLFHGLQWKH6\U
LDQSURYLQFHVRI%\]DQWLXP
,Q4WKH4XU૟čQDUJXDEO\LVUHIHUULQJWRWKHUDEELQLFWZRZLWQHVV
KRPRORJ\²RUWRDSURYLQFLDOYDULDQWWKHUHRI7KHYHUVHHQYLVDJHVDVLWX
DWLRQ LQ ZKLFK WKH FUHGLWRU LV QRW KLPVHOI SUHVHQW DW WKH UHFRUGLQJ RI WKH
GHEW REOLJDWLRQ DQG WKHUHIRUH PD\ QRW EH DEOH WR YHULI\ WKH WHUPV RI WKH
ORDQ XSRQ UHFHLYLQJ WKH KDQGZULWWHQ QRWH 7KLV LV ZK\ WZR ZLWQHVVHV DUH
UHTXLUHG1RWHKRZHYHUWKDWWKHYHUVHLQWURGXFHVDORFDOPRGLϮFDWLRQRI
WKHWZRZLWQHVVUXOHE\DOORZLQJIRUZLWQHVVLQJE\RQHPDQDQGWZRZRPHQ
ZKLOHDWWKHVDPHWLPHWUDQVIRUPLQJZKDWZDVQRGRXEWDFRQYHQWLRQDOOHJDO
SUDFWLFHLQWRDVDFUHGLQMXQFWLRQLWZDV*RGZKRWDXJKWWKHVFULEHWKHDUWRI
ZULWLQJWKHGHEWRUVKRXOG´JXDUGKLPVHOIDJDLQVW*RGKLV/RUGµE\VSHFLI\
/HLFKW
ዅዼወ૟Ⴢቨ೉_೉7KH4XU૟čQDQG,WV/HJDO(QYLURQPHQW
LQJWKHIXOODPRXQWRIWKHORDQWKHSURSHUUHFRUGLQJRIWKHORDQDQGLWVGXH
GDWH´LVPRUHXSULJKWLQWKHVLJKWRI*RGµDQGDOORIWKLVLVDPDWWHURIGLYLQH
LQVWUXFWLRQDQGRPQLVFLHQFH ´*RGWHDFKHV\RXDQG*RGKDVNQRZOHGJHRI
HYHU\WKLQJµ ,Q WKLV PDQQHU WKH WZRZLWQHVV KRPRORJ\ RI ODWH DQWLTXLW\
EHFDPHDGLYLQHFRPPDQGPHQWWRSXWDORDQDJUHHPHQWLQZULWLQJ7KHWKH
PDWLFSDUDOOHOVEHWZHHQWKH6\ULDQSURYLQFLDOKRPRORJ\²DVGLVFXVVHGE\
WKHUDEELV²DQG4SRLQWFOHDUO\WRDVKDUHGOHJDOHQYLURQPHQW
(DVW6\ULDQ&KXUFK&DQRQV
,Q WKH VL[WK FHQWXU\ PDQ\ HOLWH &KULVWLDQV SUDFWLFHG FHUWDLQ =RURDVWULDQ
LQVWLWXWLRQVDQGVRXJKWWRKDYHWKHVHSUDFWLFHVDXWKRUL]HGE\=RURDVWULDQ
FRXUWV7KHEHKDYLRURIWKHVHHOLWHVZDVFULWLFL]HGE\OHDGHUVRIWKH&KXUFK
RIWKH(DVWZKRLVVXHGUXOHVWKDWZHUHGHVLJQHGWRGHWHUPHPEHUVRIWKH
FRPPXQLW\IURPIROORZLQJ=RURDVWULDQODZDQGJRLQJWR=RURDVWULDQFRXUWV
,QIRUH[DPSOHWKHFDWKROLFRV0čU$Eč U² IRUPXODWHGDFDQRQ
LQZKLFKKHDWWHPSWHGWRSUHYHQW(DVW6\ULDQHOLWHVIURPHQJDJLQJLQWKH
SUDFWLFHRIVXEVWLWXWHVXFFHVVRUVKLS,WLVSURKLELWHG0čU$EčGHFODUHGIRU
D&KULVWLDQPDQWRPDUU\WKHZLIHRIKLVIDWKHURUKLVXQFOHKLVDXQWKLV
VLVWHUKLVGDXJKWHURUKLVJUDQGGDXJKWHU²DVWKH´0DJLDQVGRµVLPLODUO\
LWLVSURKLELWHGIRUD&KULVWLDQPDQWRPDUU\WKHZLIHRIKLVEURWKHU²DVWKH
-HZVGR0čU$Eč·VHϸRUWVZHUHXQVXFFHVVIXOKRZHYHUDQGHOLWH&KULVWLDQV
FRQWLQXHGWRHQJDJHLQWKH=RURDVWULDQSUDFWLFH
2QHϮQGVVLPLODUSURKLELWLRQVLQ4´'RQRWPDUU\ZRPHQZKRP
\RXUIDWKHUVKDYHPDUULHGXQOHVVLWLVDWKLQJRIWKHSDVW6XUHO\LWLVDQLP
PRUDOLW\DQDEKRUUHQWWKLQJDQGDQHYLOZD\µ4FRQWLQXHVWKLVOLQHRI
WKRXJKWE\SURKLELWLQJPDUULDJHZLWK´\RXUPRWKHUV\RXUGDXJKWHUV\RXU
VLVWHUV\RXUSDWHUQDODXQWV>RU@\RXUPDWHUQDODXQWVµ7KH4XU૟čQLFSUR
KLELWLRQVZHUHLQWURGXFHG²\HDUVDIWHU0čU$Eč·VFDQRQDQGOLNHWKDW
FDQRQPD\KDYHEHHQDUHVSRQVHWRWKHZLGHVSUHDGSUDFWLFHRIVXEVWLWXWH
VXFFHVVRUVKLS
2QH LPSRUWDQW JRDO RI =RURDVWULDQ DULVWRFUDWLF KRXVHKROGV ZDV WKH WUDQVPLVVLRQ RI
ZHDOWKVWDWXVDQGQREOHLGHQWLW\IURPRQHJHQHUDWLRQWRWKHQH[W7KHVXFFHVVIXODFKLHYH
PHQWRIWKLVJRDOZDVIDFLOLWDWHGE\6DVDQLDQMXULVWVZKRFUHDWHGOHJDOLQVWLWXWLRQVWKDWUHJX
ODWHGPDUULDJHLQKHULWDQFHDQGDGRSWLRQ6HH3D\QH
$JHQHUDWLRQODWHULQWKHFDWKROLFRV,VKR\DKE, ² LVVXHGWZRFDQRQVRQ
FLYLOPDWWHUVERWKRIZKLFKWUHDWHGWKHVXEMHFWRILQKHULWDQFH$QRWKHUFDWKROLFRVਖ,VK{ਖERNW
GHDWKGDWHXQNQRZQ ZDVWKHDXWKRURI0DNWEkQ€WčGਖDO'LQrLQZKLFKKHDWWHPSWHGWRFUH
DWHDXQLϮHGFRUSXVRIHFFOHVLDVWLFDOUHJXODWLRQV²UHOLJLRXVDQGFLYLO²IRUWKH&KXUFKRIWKH
(DVW7KLVWH[WZKLFKZDVFRPSRVHGRQO\LQWKHHLJKWKFHQWXU\QHYHUWKHOHVVLQFOXGHVOHJDO
PDWHULDOIURPWKH\HDUVSUHFHGLQJWKH$UDEFRQTXHVWRI,UDQDQGLVWKXVUHOHYDQWWRWKHOHJDO
HQYLURQPHQWRIWKH4XU૟čQ
David S. Powers
The'LGDVFDOLD$SRVWRORUXP
$VQRWHGLWKDVUHFHQWO\EHHQDUJXHGWKDWWKH6\ULDFDidascalia Apostolorum
'$ ZDVFLUFXODWLQJLQRUQHDU$UDELDSULRUWRWKHHPHUJHQFHRI,VODPDQGLV
D´GRFXPHQWRISODXVLEOHUHOHYDQFHIRUWKH4XU૟čQ·VRULJLQDODXGLHQFHµ/HW
XVFRQVLGHUWZRH[DPSOHVGLVFXVVHGE\=HOOHQWLQ
1. Veiling Practices
7KH 6\ULDF Didascalia PDNHV WKH IROORZLQJ VWDWHPHQW DERXW WKH YHLOLQJ RI
ZRPHQ
,I\RXZDQWWREHFRPHDEHOLHYLQJZRPDQ PK\PQW· EHEHDXWLIXOIRU
\RXUKXVEDQG OEਖON\ RQO\$QGZKHQ\RXZDONLQWKHVWUHHWFRYHU
\RXUKHDGZLWK\RXUJDUPHQWWKDWEHFDXVHRI\RXUYHLO\RXUJUHDW
EHDXW\PD\EHFRYHUHG$QGSDLQWQRWWKHFRXQWHQDQFHRI\RXUH\HV
EXWKDYHGRZQFDVWORRNV$QGZDONEHLQJYHLOHG '$,,,² 7KHWH[WLVDGGUHVVHGGLUHFWO\WRDEHOLHYLQJZRPDQ PK\PQW· ZKRVHEHDXW\
LVUHVHUYHGVROHO\IRUKHUKXVEDQG7KXVZKHQDEHOLHYLQJZRPDQYHQWXUHV
RXWLQSXEOLFVKHVKRXOGZHDUDYHLOVKRXOGQRWDSSO\PDNHXSWRKHUH\HV
DQGVKRXOGFDVWKHUJODQFHGRZQZDUGV7KHSXUSRVHRIWKLVLQVWUXFWLRQLVWR
FKDQQHOVH[XDODWWUDFWLRQLQWRWKHDSSURYHGUHDOPRIPDUULDJH
,Q4²*RGLQVWUXFWV+LVSURSKHWWRDGGUHVVEHOLHYHUV²ERWKPHQ
DQGZRPHQ²DVIROORZV
6D\WRWKHEHOLHYLQJPHQ PX૟PLQҸQ >WKDW@WKH\>VKRXOG@ORZHUWKHLU
VLJKWDQGJXDUGWKHLUSULYDWHSDUWV7KDWLVSXUHUIRUWKHP6XUHO\*RG
LVDZDUHRIZKDWWKH\GR
$QGVD\WRWKHEHOLHYLQJZRPHQ PX૟PLQčW >WKDW@WKH\>VKRXOG@ORZHU
WKHLUVLJKWDQGJXDUGWKHLUSULYDWHSDUWVDQGQRWVKRZWKHLUFKDUPV
H[FHSWIRUZKDW>QRUPDOO\@DSSHDUVRIWKHP$QGOHWWKHPGUDZWKHLU
KHDGFRYHULQJVRYHUWKHLUEUHDVWVDQGQRWVKRZWKHLUFKDUPVH[FHSW
WRWKHLUKXVEDQGV OLEXਖࡃODWLKLQQD RUWKHLUIDWKHUVRUWKHLUKXVEDQGV·
IDWKHUVRUWKHLUVRQVRUWKHLUKXVEDQGV·VRQVRUWKHLUEURWKHUVRU
WKHLUEURWKHUV·VRQVRUWKHLUVLVWHUV·VRQVRUWKHLUZRPHQRUZKDW
WKHLUULJKW>KDQGV@RZQRUVXFKPHQDVDWWHQG>WKHPZKR@KDYHQR
>VH[XDO@GHVLUHRUFKLOGUHQ>ZKRDUH@QRW>\HW@DZDUHRIZRPHQ·V
QDNHGQHVV$QGOHWWKHPQRWVWDPSWKHLUIHHWWRPDNHNQRZQZKDW
WKH\KLGHRIWKHLUFKDUPV7XUQWR*RGDOO>RI\RX@²EHOLHYHUVVRWKDW
\RXPD\SURVSHU
=HOOHQWLQ
ዅዼወ૟Ⴢቨ೉_೉7KH4XU૟čQDQG,WV/HJDO(QYLURQPHQW
:KHUHDVWKH6\ULDFDidascaliaDGGUHVVHVRQO\ZRPHQ PK\PQW· WKH4XU૟čQ
DGGUHVVHVERWKPHQ PX૟PLQҸQ DQGZRPHQ PX૟PLQčW %HOLHYLQJPHQDUHLQ
VWUXFWHGWRORZHUWKHLUJODQFHV SUHVXPDEO\QRWWRORRNDWZRPHQZKHQWKH\
YHQWXUHRXWLQWRSXEOLF DQGWRSURWHFWWKHLUSULYDWHSDUWVEHOLHYLQJZRPHQ
UHFHLYHWKHVDPHLQVWUXFWLRQWRZKLFKWKH4XU૟čQDGGVWKDWWKH\PXVWJXDUG
WKHLUFKDUPVDQGFRYHUWKHLUKHDGVDQGEUHDVWV:KHUHDVLQWKH6\ULDFDidas
caliaWKHEHDXW\RIDEHOLHYLQJZRPDQLVUHVHUYHGH[FOXVLYHO\IRUKHUKXVEDQG
WKH4XU૟čQPDNHVH[FHSWLRQVIRUϮYHJURXSV FORVHEORRGUHODWLYHV UHOD
WLYHVE\PDUULDJH FRQFXELQHVRZQHGE\PDOHUHODWLYHV PHQZKRKDYH
QRVH[XDOGHVLUHDQG \RXQJFKLOGUHQ/LNHWKH6\ULDFDidascaliaWKH4XU૟čQ
VHHNVWRFKDQQHOVH[XDODWWUDFWLRQLQWRWKHUHDOPRIPDUULDJH,QDGGLWLRQWR
WKHFOHDUWKHPDWLFSDUDOOHOVEHWZHHQWKHWZRWH[WVWKHUHDUHDOVRFOHDUOLQ
JXLVWLFSDUDOOHOVIRUH[DPSOHPK\PQW·YPX·PLQčWDQGOEਖON\YOLEXਖࡃODWLKLQQD
$JDLQWKHVHWKHPDWLFDQGOLQJXLVWLFSDUDOOHOVDUHHYLGHQFHRIDVKDUHGOHJDO
HQYLURQPHQW DQG WKH\ VXJJHVW WKDW WKH 4XU૟čQ·V LPPHGLDWH DXGLHQFH ZDV
IDPLOLDUZLWKWKH6\ULDFDidascalia$VLWGLGZLWKWKH+HEUHZ%LEOHDQGWKH
7DOPXGWKH4XU૟čQPRGLϮHVVRPHRIWKHUXOHVIRXQGLQWKH6\ULDFDidascalia
WRPDNHWKHPPRUHVXLWDEOHIRUDQ$UDELDQHQYLURQPHQW
2. Prohibited Foods
,QWKHϮUVWFHQWXU\VRPHPHPEHUVRIWKH-HVXVPRYHPHQWLQVLVWHGWKDWJHQ
WLOHEHOLHYHUVZHUHUHTXLUHGWRREVHUYHWKHODZRI0RVHV $FWV ZKLOH
RWKHUV LQFOXGLQJ 3HWHU DQG 3DXO DUJXHG WKDW WKLV EXUGHQ VKRXOG QRW EH
SODFHGRQWKH´QHFNVµRIWKHJHQWLOHV $FWV 7KHWZRRSSRVLQJJURXSV
UHDFKHGDFRPSURPLVH7KHDSRVWOHVDQGHOGHUVVHQWWZRUHSUHVHQWDWLYHV²
-XGDV DQG 6LODV ² WR $QWLRFK ZLWK D OHWWHU LQVWUXFWLQJ JHQWLOH EHOLHYHUV LQ
&KULVWWKDWWKH\DUHUHTXLUHGWRDEVWDLQIURPRQO\IRXUSUDFWLFHV7KHOHWWHU
LVTXRWHGLQ$FWV²7KHUHOHYDQWVHFWLRQUHDGVDVIROORZV´,WVHHPHG
JRRGWRWKH+RO\6SLULWDQGWRXVQRWWREXUGHQ\RXZLWKDQ\WKLQJEH\RQG
WKHIROORZLQJUHTXLUHPHQWV<RXDUHWRDEVWDLQIURPIRRGVDFULϮFHGWRLGROV
IURPEORRGIURPWKHPHDWRIVWUDQJOHGDQLPDOVDQGIURPVH[XDOLPPRUDOLW\
<RXZLOOGRZHOOWRDYRLGWKHVHWKLQJV)DUHZHOOµ
,Q²WKH'HFUHHRIWKH$SRVWOHVLQ$FWVZDVTXRWHGDOPRVWYHUED
WLPE\$WKDQDVLXVRI%čOčGWKH-DFRELWH3DWULDUFKRI$QWLRFKLQDQHQF\FOLFDO
OHWWHUZULWWHQLQ6\ULDFLQZKLFKDPRQJRWKHUWKLQJVKHLQYRNHVWKHZRUGV
RIWKHDSRVWOHVZKRKDGLQVWUXFWHGJHQWLOHEHOLHYHUVWR´GLVWDQFHWKHPVHOYHV
IURPIRUQLFDWLRQ ]Q\ZW· µ7RWKLVLQVWUXFWLRQKHDGGVWKDWJHQWLOHEHOLHYHUV
DOVRVKRXOGGLVWDQFHWKHPVHOYHV´IURPZKDWLVVWUDQJOHG єQ\T· DQGIURP
EORRG GP· DQGIURPWKHIRRGRISDJDQVODXJKWHU GEєєQS· OHVWWKH\EHE\
WKLVDVVRFLDWHVRIWKHGHPRQVDQGRIWKHLUXQFOHDQWDEOHµ
David S. Powers
4²UHDGVDVIROORZV
)RUELGGHQWR\RX>WRHDW@DUHFDUULRQEORRG DOGDP DQGWKHϰHVK
RIVZLQH NKLQ]ҸU DQGZKDWKDVEHHQGHGLFDWHGWR>DJRG@RWKHUWKDQ
*RG$QGWKHDQLPDOVWUDQJOHG ZDਘOPXQNKDQLTDWu RUEHDWHQWR
GHDWKWKDWZKLFKGLHVE\IDOOLQJRULVJRUHGWRGHDWKDQGWKDWZKLFK
LVPDQJOHGE\DEHDVWRISUH\²H[FHSWZKDW\RXKDYHVODXJKWHUHG
PčGKXELєa DQGZKDWLVVDFULϮFHGRQVWRQHDOWDUV><RXDUHDOVR
IRUELGGHQ@WRGLYLGH WDVWDTVLPࡃ ZLWKGLYLQDWLRQDUURZV²DOOWKDWLV
WUDQVJUHVVLRQ
/LNH$FWVDQG$WKDQDVLXVWKH4XU૟čQSURKLELWVEHOLHYHUVIURPFRQVXP
LQJWKHϰHVKRIDQDQLPDOWKDWKDVEHHQVWUDQJOHG єQ\T·YDOPXQNKDQLTDWu EORRG GP·YDOGDP DQGIRRGVODXJKWHUHGE\SDJDQV GEєєQS·YPčGKXELєD ²DOWKRXJKLQWKH4XU૟čQWKHRUGHURISUHVHQWDWLRQLVGLϸHUHQWIURPWKDWRI
WKHRWKHUWZRWH[WV$JDLQWKHWKHPDWLFDQGOLQJXLVWLFSDUDOOHOVSRLQWWRD
VKDUHGOHJDOHQYLURQPHQW
$UDPDLF&RPPRQ/DZ
(YLGHQFHIRU$UDPDLF&RPPRQ/DZLVIRXQGIRUH[DPSOHRQWRPELQVFULS
WLRQVORFDWHGLQ0DGč·LQ߳čOLє +HJUD DODUJHVHWWOHPHQWDWWKHVRXWKHUQ
HQGRIWKH1DEDWDHDQNLQJGRPDSSUR[LPDWHO\PLOHVQRUWKZHVWRI<DWK
ULE 7KHVH LQVFULSWLRQV FRQWDLQ OHJDO WHUPV WKDW DUH UHODWHG OLQJXLVWLFDOO\
WR$UDELFIRUH[DPSOH$UDPDLFrhn´WRJLYHLQSOHGJHµ FI$UDELFrahana
ZLWKWKHVDPHPHDQLQJ 2QHLQVFULSWLRQUHDGVDVIROORZV´7KLVLVWKHWRPE
WKDW҇DODIXVRQRI4{VQDWDQPDGHIRUKLPVHOIDQGIRU6XਖD\GXKLVVRQDQG
KLV EURWKHUV IRU ZKDWHYHU PDOH FKLOGUHQ PD\ EH ERUQ WR WKLV ҇DODIX DQG
IRUWKHLUVRQVDQGWKHLUGHVFHQGDQWVE\KHUHGLWDU\WLWOHIRUHYHU«µ7KHLQ
VFULSWLRQLGHQWLϮHVWKHSHRSOHZKRPD\EHEXULHGLQWKHWRPEDQGSURKLE
LWVPHPEHUVRIWKHIDPLO\IURPVHOOLQJWKHWRPERUJLYLQJLWDZD\DVDJLIW
ZDUQLQJWKDWDQ\RQHZKRYLRODWHVWKLVLQVWUXFWLRQZLOOEHVXEMHFWWRDϮQH
$QRWKHULQVFULSWLRQLGHQWLϮHVWKHEXLOGHURIWKHWRPEDQGKLVKHLUVDVWKH
RZQHUVRIWKHVWUXFWXUHOHYLHVDFXUVHRQDQ\RQHZKRPLJKWVHOOSXUFKDVH
RUDVVLJQWKHWRPEWRVRPHRQHDVDSOHGJHDQGZDUQVWKDWDϮQHZLOOEHLP
SRVHGRQDQ\RQHZKRYLRODWHVWKHVHLQVWUXFWLRQV
+HDOH\QR
7RPE LQVFULSWLRQV DOVR SRLQW WR FRQQHFWLRQV EHWZHHQ 6RXWK $UDELDQ ODZ DQG WKH
4XU૟čQ)RUH[DPSOHLQDQLQVFULSWLRQIRXQGLQ+DUDPWKHDXWKRUVDVNWKH*RG҇DOIčQIRU
IRUJLYHQHVVIRUKDYLQJSRVWSRQHG QDVKD·DZ WKHSHUIRUPDQFHRIDQXQVSHFLϮHGULWXDOE\WZR
PRQWKV7KHODQJXDJHRISRVWSRQHPHQWKHUHDSSHDUVWRDQWLFLSDWHWKDWRI4ZKLFKFULWL
FL]HVXQEHOLHYHUVZKRDWWHPSWWRDOLJQWKHFDOHQGDUZLWKWKHVHDVRQVDQGFKDQJHVRUPRGLϮHV
ዅዼወ૟Ⴢቨ೉_೉7KH4XU૟čQDQG,WV/HJDO(QYLURQPHQW
$QRWKHUVRXUFHIRU$UDPDLF&RPPRQ/DZDUHOHJDOWH[WVZULWWHQLQ1D
EDWDHDQFXUVLYHVFULSWDQGUHFRUGHGRQSDS\ULDQGRWKHUPDWHULDOV$FDFKH
RI VXFK GRFXPHQWV ZDV GLVFRYHUHG LQ D OHDWKHU SRXFK LQ D FDYH LQ 1DKDO
+HYHURQWKHZHVWHUQVKRUHRIWKH'HDG6HD7KHVHGRFXPHQWVZKLFKEH
ORQJHGWRD-HZLVKZRPDQQDPHG%DEDWKDKDGEHHQGUDZQXSDQGUHFRUGHG
LQ D 1DEDWDHDQ FRXUW 7KH GRFXPHQWV ZHUH LVVXHG RYHU D SHULRG RI IRUW\
\HDUVEHWZHHQDQGDQGWKH\LQFOXGHFRQWUDFWVUHODWLQJWRPDUULDJH
SURSHUW\WUDQVIHUVDQGJXDUGLDQVKLS6RPHRIWKHGRFXPHQWVIRUH[DPSOH
LQGLFDWHWKDWDVXUYLYLQJGDXJKWHUGRHVQRWDXWRPDWLFDOO\LQKHULWIURPKHU
IDWKHULQFRPSHWLWLRQZLWKKHUPDOHSDWHUQDOXQFOHVDQGFRXVLQV DVQRWHG
WKH LQKHULWDQFH ULJKWV RI GDXJKWHUV LV D VXEMHFW WR ZKLFK WKH 4XU૟čQ SD\V
FORVHDWWHQWLRQ 7KHGRFXPHQWVVKHGFRQVLGHUDEOHOLJKWRQWKHSURYLQFLDO
OHJDOV\VWHPLQWKLVDUHDDWWKHWXUQRIWKHVHFRQGFHQWXU\&OHDUO\1DED
WDHDQSURYLQFLDOODZFRQWLQXHGWREHSUDFWLFHGLQ-XGHDDIWHUWKHDQQH[DWLRQ
RIWKLVSURYLQFHE\WKH5RPDQVLQ$QGWKHUHLVUHDVRQWREHOLHYHWKDW
WKH $UDELFVSHDNLQJ LQKDELWDQWV RI QRUWKHUQ $UDELD FRQWLQXHG WR SUDFWLFH
WKLVFRPPRQODZLQWRWKH%\]DQWLQHDQGHDUO\,VODPLFSHULRGV,IVRWKHQ
WKLVPDWHULDOLVSDUWRIWKHOHJDOHQYLURQPHQWLQZKLFKWKH4XU૟čQZDVSUR
GXFHG
&RUSXV,XULV&LYLOLV
4LVDORQJYHUVHWKDWWUHDWVWKHVXEMHFWRILQKHULWDQFH,WLVFRPSRVHG
RIWZRGLVWLQFWVHFWLRQVWKHϮUVWGHDOLQJZLWKDVXUYLYLQJKXVEDQGRUZLIH
WKHVHFRQGZLWKVLEOLQJV7KHϮUVWVHFWLRQ²KHUHLQDIWHU4D²UHDGVDV
IROORZV
$QGWR\RXDKDOIRIZKDW\RXUZLYHVOHDYHLIWKH\KDYHQRFKLOGUHQ
%XWLIWKH\KDYHFKLOGUHQWKHQWR\RXWKHIRXUWKRIZKDWWKH\OHDYH
DIWHUDQ\EHTXHVWWKH\PD\KDYHPDGHRUDQ\GHEW$QGWRWKHPWKH
IRXUWKRIZKDW\RXOHDYHLI\RXKDYHQRFKLOGUHQ%XWLI\RXKDYH
FKLOGUHQWKHQWRWKHPWKHHLJKWKRIZKDW\RXOHDYHDIWHUDQ\EHTXHVW
\RXPD\KDYHPDGHRUGHEW
4DDZDUGVDVXUYLYLQJKXVEDQGRQHKDOIRURQHIRXUWKRIKLVGHFHDVHG
ZLIH·VHVWDWHDQGLWDZDUGVDVXUYLYLQJZLIHRQHIRXUWKRURQHHLJKWKRIKHU
GHFHDVHG KXVEDQG·V HVWDWH LQ ERWK FDVHV WKH GLϸHUHQFH LQ WKH VL]H RI WKH
DZDUGGHSHQGVRQZKHWKHURUQRWWKHUHDUHDQ\FKLOGUHQ,QERWKLQVWDQFHV
WKHVXUYLYLQJVSRXVHUHFHLYHVWKHODUJHUIUDFWLRQDOVKDUHZKHQWKHFRXSOH
WKHHDUOLHUSUDFWLFH´7KHSRVWSRQHPHQW DOQDVv·X LVDQLQFUHDVHRIGLVEHOLHIE\ZKLFKWKRVH
ZKRGLVEHOLHYHJRDVWUD\«µ6HHGH%ORLV
David S. Powers
KDVQRFKLOGUHQWKHVPDOOHUZKHQWKH\KDYHFKLOGUHQ7KHVKDUHRIWKHKXV
EDQGLVDZDUGHG´DIWHUDQ\EHTXHVWWKH\ ISO PD\KDYHPDGHRUGHEWµDQG
WKHVKDUHRIWKHZLIHLVDZDUGHG´DIWHUDQ\EHTXHVW\RX PSO PD\KDYH
PDGHRUGHEWµLQERWKLQVWDQFHVWKLVSKUDVHDSSHDUVWRUHIHUWRWKHRUGHULQ
ZKLFKFODLPVDJDLQVWDQHVWDWHDUHWREHVHWWOHG EHTXHVWV GHEWVIRO
ORZHGE\ WKHLQKHULWDQFHVKDUHV
7KH4XU૟čQWUHDWVDZLGRZDVDQKHLUZKRKDVWKHVDPHVWDWXVDVWKH
GHFHDVHG·VFKLOGUHQSDUHQWVDQGVLEOLQJV²HYHQLIKHUVKDUHLVVPDOOHUWKDQ
WKDWRIEORRGUHODWLYHV7KLVLVXQXVXDO,QDQFLHQW%DE\ORQLDDZLIHGLGQRW
LQKHULWXQOHVVKHUKXVEDQGH[SUHVVO\GHVLJQDWHGKHUDVDQKHLULQDODVWZLOO
DQGWHVWDPHQW,Q-HZLVKODZDKXVEDQGLVKHLUWRKLVZLIHEXWDZLIHLVQRW
D OHJDO KHLU WR KHU KXVEDQG DOWKRXJK VKH GRHV HQMR\ D QXPEHU RI ULJKWV
WKDWDϸRUGKHUDVKDUHLQKHUKXVEDQG·VHVWDWHDQGWKDWHQVXUHSURYLVLRQIRU
KHUVXVWHQDQFHDQGHVVHQWLDOQHHGVXQWLOKHUUHPDUULDJHRUGHDWK,Q(J\SW
DKXVEDQGDQGZLIHLQKHULWHGIURPWKHLUUHVSHFWLYHIDPLOLHVEXWQRWIURP
HDFKRWKHU7KHVDPHZDVWUXHLQ5RPDQODZDQGQRGRXEWLQ6\ULDQSURYLQ
FLDOODZDVZHOO&RPSDUHGWRRWKHU1HDU(DVWHUQOHJDOV\VWHPVLQDQWLTXLW\
DQGODWHDQWLTXLW\WKH4XU૟čQ·VWUHDWPHQWRIZLYHVDVKHLUVLVDQRPDORXV
,Q ODWH DQWLTXLW\ LW ZDV FXVWRPDU\ IRU D KXVEDQG WR VSHFLI\ D VXP RI
PRQH\IRUKLVZLIH·VVXSSRUWDQGPDLQWHQDQFHLQWKHHYHQWWKDWKHGLYRUFHG
KHURUSUHGHFHDVHGKHU7KLVSURYLVLRQPLJKWEHPDGHHLWKHUSULRUWRWKH
PDUULDJHDVSDUWRIDSUHQXSWLDODJUHHPHQWRUDWWKHWLPHRIWKHPDUULDJH
DVSDUWRIDGRZHUDJUHHPHQWDOWHUQDWLYHO\DKXVEDQGPLJKWOHDYHDEHTXHVW
IRUKLVVSRXVHLQDODVWZLOODQGWHVWDPHQW,IKRZHYHUDPDQPDGHQRSURYL
VLRQIRUKLVZLIHLQWKHIRUPRIDSUHQXSWLDODJUHHPHQWGRZHURUEHTXHVW
WKHQWKHZLGRZZRXOGKDYHQRFODLPZKDWVRHYHUDJDLQVWWKHHVWDWHRIKHU
GHFHDVHGKXVEDQG%\]DQWLQHODZUHFRJQL]HVWZRIRUPVRIPDUULDJHDQRU
PDOIRUPLQZKLFKWKHKXVEDQGSD\VDGRZHUDQGDFTXLUHVPDULWDOSRZHU
RYHUKLVZLIHDQGDQH[FHSWLRQDOIRUPLQZKLFKQRGRZHULVSDLG,QDPDU
ULDJHRIWKHH[FHSWLRQDOW\SHWKHVXUYLYLQJVSRXVHKDVQROHJDOFODLPDJDLQVW
WKHGHFHDVHG·VHVWDWHDQGKHU RUKLV HFRQRPLFSRVLWLRQPD\EHSUHFDULRXV
2Q 2FWREHU &( DSSUR[LPDWHO\ WKLUW\ \HDUV EHIRUH WKH ELUWK RI
0XєDPPDGWKH(PSHURU-XVWLQLDQHQDFWHGDnovellaRUQHZODZWKDWZDV
GHVLJQHG WR DOOHYLDWH WKH SUHGLFDPHQW RI ZLYHV ZKRVH KXVEDQGV KDG QRW
VSHFLϮHGDGRZHUIRUWKHP7KLVODZNovellaLVHQWLWOHG´&RQFHUQLQJD
3RRU:RPDQ:KRLV8QHQGRZHGµ7KHϮUVWVHFWLRQRIWKHODZWUHDWVWKHFDVH
LQZKLFKWKHUHZDVQRSUHQXSWLDODJUHHPHQWRUGRZHUSURYLVLRQ
$VHYHU\ODZHQDFWHGE\8VLVEDVHGXSRQFOHPHQF\DQG:HVHHWKDW
ZKHQPHQPDUULHGWRZRPHQZKRKDYHEURXJKWQRGRZU\GLHWKH
FKLOGUHQDORQHDUHOHJDOO\FDOOHGWRWKHVXFFHVVLRQRIWKHLUIDWKHUV·
ዅዼወ૟Ⴢቨ೉_೉7KH4XU૟čQDQG,WV/HJDO(QYLURQPHQW
HVWDWHVZKLOHWKHLUZLGRZVHYHQWKRXJKWKH\PD\UHPDLQLQWKH
FRQGLWLRQRIODZIXOZLYHVIRUWKHUHDVRQWKDWWKH\KDYHQRWEURXJKW
DQ\GRZU\DQGQRDQWHQXSWLDOGRQDWLRQKDVEHHQJLYHQWKHPFDQ
REWDLQQRWKLQJIURPWKHHVWDWHVRIWKHLUGHFHDVHGKXVEDQGVDQGDUH
FRPSHOOHGWROLYHLQWKHJUHDWHVWSRYHUW\:HZLVKWRSURYLGHIRUWKHLU
PDLQWHQDQFHE\HQDEOLQJWKHPWRVXFFHHGWRWKHPDQGEHFDOOHG
WRVKDUHWKHLUHVWDWHVFRQMRLQWO\ZLWKWKHFKLOGUHQ%XWDV:HKDYH
DOUHDG\HQDFWHGDODZZKLFKSURYLGHVWKDWZKHQDKXVEDQGGLYRUFHV
KLVZLIHZKRPKHPDUULHGZLWKRXWDQ\GRZU\VKHVKDOOUHFHLYHWKH
IRXUWKRIKLVHVWDWHMXVWDVLQWKHSUHVHQWLQVWDQFHZKHWKHUWKHUHDUH
IHZRUPDQ\FKLOGUHQWKHZLIHVKDOOEHHQWLWOHGWRWKHIRXUWKRIWKH
SURSHUW\RIWKHGHFHDVHG
$WWKLVSRLQWWKHODZVSHFLϮHVDZLGRZ·VHQWLWOHPHQWLQWKHFDVHLQZKLFK
VKHGRHVUHFHLYHDOHJDF\IURPKHUKXVEDQG
,IKRZHYHUDKXVEDQGKDVOHIWDOHJDF\WRKLVZLIHDQGWKLVDPRXQWV
WROHVVWKDQDIRXUWKRIKLVHVWDWHWKLVDPRXQWVKDOOEHPDGHXSRXW
RIWKHVDPH+HQFHDV:HFRPHWRWKHUHOLHIRIZRPHQZKRKDYH
QRWEHHQHQGRZHGRUGLYRUFHGE\WKHLUKXVEDQGVVR:HDVVLVWWKHP
ZKHUHWKH\KDYHFRQVWDQWO\OLYHGZLWKWKHPDQG:HJUDQWWKHPWKH
VDPHSULYLOHJH
7KHVWDWXWHHQGVZLWKDFODXVHLQGLFDWLQJWKDWWKHQHZUXOHDSSOLHVQRWRQO\
WRSRRUZLYHVEXWDOVRWRSRRUKXVEDQGV
$JDLQHYHU\WKLQJWKDW:HKDYHVWDWHGLQWKHSUHVHQWODZZLWK
UHIHUHQFHWRWKHIRXUWKWRZKLFKDZRPDQLVHQWLWOHGVKDOOHTXDOO\
DSSO\WRDKXVEDQGIRUOLNHWKHIRUPHU:HPDNHWKLVODZDSSOLFDEOHWR
ERWK
/HWXVFRPSDUH4DDQGNovella4DLVIRUPXODWHGDVDFRQ
WLQXDWLRQRIDGLYLQHLQVWUXFWLRQLQ ´*RGFRPPDQGV\RXµ ZKLOHNovella
LVIRUPXODWHGDVDQLPSHULDOGHFUHH ´:HµDQG´8Vµ %RWKWH[WVDZDUG
DIUDFWLRQDOVKDUHRIWKHHVWDWHWRDVXUYLYLQJKXVEDQGRUZLIH,Q4DD
ZLGRZLVDZDUGHGDQLQGHIHDVLEOHVKDUHRIWKHHVWDWHLUUHVSHFWLYHRIKHUHFR
QRPLFFLUFXPVWDQFHVDQGZLWKRXWDQ\UHIHUHQFHWRDSUHQXSWLDODJUHHPHQW
RUGRZHUNovellaE\FRQWUDVWGHDOVZLWKDQH[FHSWLRQDOFDVH²WKDWRI
DSRRUDQGXQHQGRZHGVSRXVH7KHHQWLWOHPHQWRIDKXVEDQGFRPSDUHGWR
WKDWRIDZLIHDOVRGLϸHUVLQWKHWZRWH[WVLQ4DWKHVKDUHRIDVXUYLYLQJ
KXVEDQGLVWZLFHWKDWRIDZLIHLQNovellaDVXUYLYLQJKXVEDQGRUZLIH
UHFHLYHVDQHTXDOVKDUHRIWKHHVWDWH RQHIRXUWK %RWKWH[WVGUDZDFRQQHF
Corpus Iuris CivilisHGLWHGE\56FKRHOO²
David S. Powers
WLRQEHWZHHQWKHDZDUGDQGWKHH[LVWHQFHRIFKLOGUHQ4DUHGXFHVWKH
VKDUHRIDVXUYLYLQJVSRXVHE\KDOILIWKHFRXSOHKDVFKLOGUHQNovella
DZDUGVDVXUYLYLQJVSRXVHDIUDFWLRQDODZDUGRIWKHHVWDWH´ZKHWKHUWKHUH
DUHIHZRUPDQ\FKLOGUHQµ)LQDOO\ERWKWH[WVPHQWLRQEHTXHVWVRUOHJDFLHV
4DVWDWHVWKDWWKHDZDUGWRDVXUYLYLQJKXVEDQGRUZLIHVKRXOGEHPDGH
DIWHUDQ\EHTXHVW²RUGHEWNovellaVSHFLϮHVWKDWLIRQHVSRXVHKDVOHIW
DOHJDF\IRUWKHRWKHUWKHVXUYLYRULVHQWLWOHGWRWKHGLϸHUHQFHEHWZHHQWKH
OHJDF\DQGRQHIRXUWKRIWKHHVWDWH
7KHSURYLVLRQVRI4DDQGNovellaDUHFOHDUO\GLϸHUHQW%XWWKH
SUR[LPLW\ LQ ERWK WLPH OHVV WKDQ VHYHQW\ \HDUV DQG VSDFH %HLUXW Y WKH
+LMD] VXJJHVWV WKDW WKH %\]DQWLQH OHJLVODWLRQ ZDV FLUFXODWLQJ LQ WKH OHJDO
HQYLURQPHQWLQZKLFKWKH4XU૟čQHPHUJHG7KLVDVVXPSWLRQϮQGVVXSSRUW
LQWKHVHFRQGKDOIRI4²KHUHLQDIWHU4E²ZKLFKDZDUGVDVPDOOIUDF
WLRQDOVKDUHRIWKHHVWDWHWRVLEOLQJVDQGPD\EHWUDQVODWHGDVIROORZV
,IDPDQLVLQKHULWHGE\UHODWLYHVRWKHUWKDQDSDUHQWRUFKLOG \ࡃUDWKX
NDOčODWan ²RUDZRPDQ>LVLQKHULWHGE\UHODWLYHVRWKHUWKDQDSDUHQW
RUFKLOG@DQGKH>RUVKH@KDVDEURWKHURUVLVWHUHDFKRQHRIWKHPLV
HQWLWOHGWRRQHVL[WK,IWKH\DUHPRUHWKDQWKDWWKH\DUHSDUWQHUV
ZLWKUHVSHFWWRRQHWKLUGDIWHUDQ\EHTXHVWWKDWLVEHTXHDWKHGRU
GHEWZLWKRXWLQMXU\$FRPPDQGPHQWIURP*RG*RGLVDOONQRZLQJ
IRUEHDULQJ 0\WUDQVODWLRQ
4EGHDOVZLWKDVLWXDWLRQLQZKLFKDPDQRUZRPDQGLHVZLWKRXWOHDYLQJ
HLWKHUDSDUHQWRUDFKLOGDQGKLVRUKHUFORVHVWVXUYLYLQJUHODWLYHLVRQHRU
PRUHVLEOLQJV$EURWKHUDQGVLVWHULQKHULWDQHTXDOVKDUHRIWKHHVWDWH²RQH
VL[WKWKUHHRUPRUHVLEOLQJVVKDUHRQHWKLUGRIWKHHVWDWHSUHVXPDEO\RQ
DSHUFDSLWDEDVLV ´WKH\DUHSDUWQHUVZLWKUHVSHFWWRRQHWKLUGµ /LNHWKH
DZDUGWRWKHVXUYLYLQJVSRXVHLQ4DWKHDZDUGWRVLEOLQJVLQ4ELV
PDGH´DIWHUDQ\EHTXHVWWKDWLVEHTXHDWKHGRUGHEWµ²WRZKLFKWKHSKUDVH
´ZLWKRXWLQMXU\µLVDGGHG7KH4XU૟čQFKDUDFWHUL]HVWKHDZDUGDVD´FRP
PDQGPHQWIURP*RGµZKRLV´DOONQRZLQJIRUEHDULQJµWKXVWUDQVIRUPLQJ
DFLYLOPDWWHULQWRDVDFUHGLQMXQFWLRQ
0XVOLP VFKRODUV KDYH GHYRWHG FRQVLGHUDEOH WLPH DQG HQHUJ\ WR WKH
RSHQLQJFODXVHRI4EZLWKVSHFLDODWWHQWLRQWRWKHZRUGNDOčODZKLFK
RFFXUVRQO\WZLFHLQWKH4XU૟čQKHUHDQGDJDLQLQ4DQRWKHUYHUVH
WKDWGHDOVZLWKLQKHULWDQFH,QWKHODVWTXDUWHURIWKHϮUVWFHQWXU\$+ FD
²&( WKH.XIDQMXULVW,EUčKҸPDO1DNKDਖҸFLUFXODWHGDVKRUWWUDGLWLRQ
LQZKLFKਖ8PDUEDO.KDࠃࠃčEDFNQRZOHGJHGWKDWKHGLGQRWNQRZWKHPHDQ
LQJRINDOčOD2YHUWKHFRXUVHRIWKHVHFRQGFHQWXU\$+DGGLWLRQDOUHSRUWV
IRFXVLQJRQਖ8PDUZHUHSXWLQWRFLUFXODWLRQ,QVRPHKHGRHVQRWNQRZWKH
ዅዼወ૟Ⴢቨ೉_೉7KH4XU૟čQDQG,WV/HJDO(QYLURQPHQW
PHDQLQJRIWKHZRUG,QRWKHUVKHFODLPVWRNQRZLWVPHDQLQJEXWHLWKHU
ZLWKKROGV WKLV LQIRUPDWLRQ IURP WKH FRPPXQLW\ RU VXSSUHVVHV LW ,Q RWK
HUV ਖ8PDU GHϮQHV NDOčOD DV D SHUVRQ ZKR GLHV ZLWKRXW D SDUHQW RU FKLOG
,QDGGLWLRQWRWKHPHDQLQJRIWKHZRUG0XVOLPVFKRODUVDOVRGLVFXVVHGLWV
JUDPPDWLFDOIXQFWLRQ LWRFFXUVLQWKHDFFXVDWLYHFDVH $QGWKH\ZRQGHUHG
ZK\WKHSKUDVH\ࡃUDWKXNDOčODWanLVLQVHUWHGEHWZHHQWKHWZRHOHPHQWVRIWKH
FRPSRXQGVXEMHFW ´DPDQ\ࡃUDWKXNDOčODWanRUDZRPDQµ 7KHUHDUHRWKHU
SUREOHPVDVZHOO
(OVHZKHUH,KDYHDUJXHGWKDWWKHFXUUHQWXQGHUVWDQGLQJRI4ELV
QRWLGHQWLFDOWRZKDWPD\KDYHEHHQWKHRULJLQDOWH[W,EDVHWKLVDUJXPHQW
RQWKHHYLGHQFHRIDQHDUO\4XU૟čQPDQXVFULSWDPRQJRWKHUWKLQJV%LEOLR
WKqTXH1DWLRQDOHGH)UDQFH$UDEH2QIROLRERIWKLVPDQXVFULSWWKHUH
DUHFOHDUVLJQVRIWH[WXDOPDQLSXODWLRQ²HUDVXUHVDQGUHZULWLQJ²LQWKHLP
PHGLDWHYLFLQLW\RIWKHZRUGNDOčOD7KLVHYLGHQFHVXJJHVWVWKDWWKHRULJLQDO
FRQVRQDQWDOVNHOHWRQRIWKLVZRUGZDVQRWNDOčOD²ZLWKWZROčPVEXWUDWKHU
DK\SRWKHWLFDO kalla²ZLWKRQHOčP,QRWKHU6HPLWLFODQJXDJHVQRXQVGH
ULYHGIURPWKHURRWNOO HJ$NNkallatu+HENDOOčK6\UNDOOWč DOO VLJQLI\D
´GDXJKWHULQODZµ,IRQHUHDGV kallaLQ EWKHPHDQLQJRIWKHRSHQLQJ
FODXVHFKDQJHVGUDPDWLFDOO\DVIROORZV
,IDPDQGHVLJQDWHVDGDXJKWHULQODZRUZLIHDVKHLU \ࡃULWKXNDOODWan
DZLPUD·Wan DQGKHKDVDEURWKHURUVLVWHUHDFKRQHRIWKHPLVHQWLWOHG
WRRQHVL[WK«
7KHRSHQLQJFODXVHQRZWUHDWVWKHFDVHRIDPDQZKRVHFORVHVWVXUYLYLQJ
EORRGUHODWLYHVDUHDEURWKHUDQGRUVLVWHUEXWZKRLQDODVWZLOODQGWHVWD
PHQWGHVLJQDWHVHLWKHUKLVGDXJKWHULQODZRUKLVZLIHDVWKHWHVWDPHQWDU\
KHLU,QWKHDEVHQFHRIWKHZLOOWKHVLEOLQJVDVWKHGHFHDVHG·VFORVHVWVXUYLY
LQJEORRGUHODWLYHVZRXOGKDYHLQKHULWHGWKHHQWLUHHVWDWH7KHSXUSRVHRI
WKHQHZUXOHIRUPXODWHGLQ 4EDUJXDEO\ZDVWRSUHYHQWDWHVWDWRUIURP
WRWDOO\ GLVLQKHULWLQJ KLV FORVHVW VXUYLYLQJ EORRG UHODWLYHV 3UHVXPDEO\ WKH
ZLOOUHPDLQHGYDOLGEXWWKHVLEOLQJVKDGDOHJDOFODLPDJDLQVWWKHHVWDWHIRU
XSWRRQHWKLUGRILWVYDOXH7KHUXOHVWULNHVDEDODQFHEHWZHHQWKHSHUVRQDO
ZLVKHVRIWKHGHFHDVHGRQWKHRQHKDQGDQGWKHULJKWVRIKLVFORVHVWVXUYLY
LQJEORRGUHODWLYHVRQWKHRWKHU
1RWHWKDWP\UHUHDGLQJRIWKHRSHQLQJFODXVHRI4EKDVQRFRQQHF
WLRQZKDWVRHYHUWRZKDWZRXOGEHFRPHWKHVRFDOOHG´VFLHQFHRIWKHVKDUHVµ
RU,VODPLFODZRILQKHULWDQFH,QWKDWV\VWHPRIODZDSHUVRQFRQWHPSODWLQJ
GHDWKGRHVQRWKDYHWKHFDSDFLW\WRGHVLJQDWHDQKHLULQDODVWZLOODQGWHVWD
PHQW,QDGGLWLRQDEHTXHVWPD\QRWH[FHHGRQHWKLUGRIWKHHVWDWHDQGPD\
QRWEHPDGHLQIDYRURIDQ\SHUVRQZKRUHFHLYHVDIUDFWLRQDOVKDUHRIWKH
David S. Powers
HVWDWHDFFRUGLQJWRWKH4XU૟čQ+RZHYHUP\UHUHDGLQJRI4EGRHVEHDUD
VWULNLQJUHVHPEODQFHWRDUHIRUPRIWKH5RPDQODZRIWHVWDPHQWDU\VXFFHV
VLRQLQWURGXFHGE\-XVWLQLDQ,QP\YLHZRXUXQGHUVWDQGLQJRIWKHRULJLQDO
PHDQLQJRI4EFRPHVLQWREHWWHUIRFXVZKHQZHVLWXDWHWKH4XU૟čQLQ
WKHOHJDOHQYLURQPHQWRIODWHDQWLTXLW\
,Q5RPDQODZDWHVWDWRUZDVIUHHWRGLVSRVHRIKLVHVWDWHDVKHZLVKHG
DQGFRXOGHYHQGLVLQKHULWFORVHEORRGUHODWLYHVIRUFDXVH$VDFRQVHTXHQFH
RIWKHPDQ\DEXVHVWKDWUHVXOWHGIURPWKLVH[HUFLVHRIIUHHGRPGXULQJWKH
ODWH5HSXEOLFDVSHFLDOUHPHG\ZDVLQWURGXFHGWRSURWHFWWKHULJKWVRIWKH
WHVWDWRU·V LPPHGLDWH IDPLO\ 7KLV UHPHG\ ZDV NQRZQ DV WKH TXHUHOD LQRϲ
ciosi testamenti REMHFWLRQDJDLQVWDQXQGXWHRXVZLOO 7KHSULQFLSOHZDVWKDW
DWHVWDWRUZKRIDYRUHGVWUDQJHUVRYHUKLVFORVHEORRGUHODWLYHVZDVDFWLQJ
XQIDLUO\DQGIDLOLQJLQKLVQDWXUDOGXW\WRSURYLGHIRUKLVIDPLO\6XFKDZLOO
FRXOGEHFKDOOHQJHGLQDVSHFLDOFRXUWLIWKHFKDOOHQJHZDVDFFHSWHGWKHZLOO
ZDVGHFODUHGLQYDOLGDQGWKHHVWDWHSDVVHGWRWKHGHFHDVHG·VKHLUVLQDFFRU
GDQFHZLWKWKHUXOHVRILQWHVWDF\
2ULJLQDOO\WKHTXHUHODLQRϲFLRVLWHVWDPHQWLFRXOGEHEURXJKWRQO\E\GH
VFHQGDQWVRIWKHWHVWDWRURULQWKHDEVHQFHRIGHVFHQGDQWVE\DVFHQGDQWV
/DWHFODVVLFDOODZRSHQHGWKHUHPHG\WRVLEOLQJVRIWKHGHFHDVHGZKRKDG
EHHQGLVLQKHULWHGE\EDVHSHUVRQVRUSHUVRQVRILOOUHSXWH6XEVHTXHQWO\VLE
OLQJVZHUHDOORZHGWRXVHWKLVUHPHG\LIWKH\UHFHLYHGOHVVWKDQRQHIRXUWK
RIWKHDPRXQWWKH\ZRXOGKDYHUHFHLYHGLIWKHGHFHDVHGKDGGLHGLQWHVWDWH
7KLVRQHTXDUWHUZDVNQRZQDVWKHpars legitimaRUportio legitima,QSRVW
FODVVLFDOODZDQDOWHUQDWLYHWRWKHquerelaZDVLQWURGXFHGDFFRUGLQJWRZKLFK
DWHVWDPHQWDU\KHLUZDVFRPSHOOHGWRSD\WKHVWDWXWRU\VKDUHLQIXOO actio ad
supplendam legitimam WKHUHE\UHGXFLQJWKHLULQKHULWDQFH²ZLWKRXWKRZ
HYHU LQYDOLGDWLQJ WKH ZLOO ,Q WKH VL[WK FHQWXU\ -XVWLQLDQ UDLVHG WKH portio
legitimaWRRQHWKLUGRIWKHLQWHVWDWHSRUWLRQLQWKRVHFDVHVLQZKLFKWKHWHV
WDWRUOHIWRQHWRIRXUFKLOGUHQDQGWRRQHKDOIRIWKHLQWHVWDWHSRUWLRQLQ
WKRVHFDVHVLQZKLFKWKHWHVWDWRUOHIWϮYHRUPRUHFKLOGUHQ
-XVWLQLDQ·VUHIRUPRIWKHTXHUHODLQRϲFLRVLWHVWDPHQWLEHDUVDVWULNLQJUH
VHPEODQFHWRP\UHUHDGLQJRIDK\SRWKHWLFDO 4E%RWKODZVUHIHUWRDQ
DFWLRQWDNHQE\WKHVLEOLQJVRIDWHVWDWRUZKRKDGGLVLQKHULWHGWKHPERWK
OHDYH WKH ODVW ZLOO DQG WHVWDPHQW YDOLG DQG LQWDFW ZKLOH DZDUGLQJ WKH GLV
LQKHULWHGVLEOLQJVWKHVDPHIUDFWLRQDOVKDUHRIWKHHVWDWH²RQHWKLUGDQG
ERWKVWULNHDEDODQFHEHWZHHQWKHZLVKHVRIWKHWHVWDWRURQWKHRQHKDQG
DQGKLVREOLJDWLRQWRFORVHEORRGUHODWLYHVRQWKHRWKHU:KHUHDVWKHUHLV
QR EDVLV IRU D FRPSDULVRQ EHWZHHQ 4 E DV WUDGLWLRQDOO\ XQGHUVWRRG
DQG%\]DQWLQHODZRXUK\SRWKHWLFDO 4EPDNHVH[FHOOHQWVHQVHZKHQ
YLHZHGLQWKHFRQWH[WRI-XVWLQLDQ·VUHIRUP²MXVWDV4DPDNHVH[FHOOHQW
ዅዼወ૟Ⴢቨ೉_೉7KH4XU૟čQDQG,WV/HJDO(QYLURQPHQW
VHQVHZKHQYLHZHGLQWKHFRQWH[WRI1RYHOOD,VLWDFRLQFLGHQFHWKDWWZR
%\]DQWLQHOHJDOUHIRUPVIRUPXODWHGE\MXULVWVDVVRFLDWHGZLWKWKHODZVFKRRO
RI%HLUXWDSSUR[LPDWHO\WZHQW\\HDUVEHIRUHWKHELUWKRI0XєDPPDG²RQH
GHDOLQJZLWKWKHLQKHULWDQFHULJKWVRIDVXUYLYLQJVSRXVHWKHRWKHUZLWKWKH
LQKHULWDQFHULJKWVRIVLEOLQJV²VKRXOGϮQGWKHLUZD\DOEHLWPRGLϮHGRULQ
GLVJXLVHGIRUPLQWRDVLQJOHYHUVHRIWKH4XU૟čQ",IQRWWKHQWZRSRVVLEOH
H[SODQDWLRQVFRPHWRPLQG(LWKHUWKHUHVHPEODQFHEHWZHHQWKHTXU૟čQLF
LQVWUXFWLRQVDQG%\]DQWLQHODZLV\HWDQRWKHUH[DPSOHRIGLYLQHSURYLGHQFH
RUZKDWWKH4XU૟čQFDOOVVXQQDWDOOčK2UWKHWKHPDWLFSDUDOOHOVLQWKLVFDVH²
DVLQWKHFDVHVGLVFXVVHGHOVHZKHUHLQWKLVHVVD\²DUH\HWDQRWKHULQGLFDWLRQ
WKDW WKH 4XU૟čQ·V LQLWLDO DXGLHQFH LQKDELWHG D OHJDO HQYLURQPHQW WKDW ZDV
FORVHO\FRQQHFWHGWRWKHOHJDOHQYLURQPHQWRIWKH0RXQWDLQ$UHQDDWODUJH
%LEOLRJUDSK\
%ULQQHU:0´$Q,VODPLF'HFDORJXHµ,QStudies in Islamic and Judaic
7UDGLWLRQV3DSHUV3UHVHQWHGDWWKH,QVWLWXWHIRU,VODPLF-XGDLF6WXGLHVHGLWHG
E\:LOOLDP0%ULQQHUDQG6WHSKHQ'5LFNV²$WODQWD
6FKRHOO5HGCorpus Iuris CivilisYRONovellae%HUROLQL
&URQH35RPDQ3URYLQFLDODQG,VODPLF/DZ7KH2ULJLQVRIWKH,VODPLF3D
tronate&DPEULGJH
'H%ORLV)´4XU૟čQDQG&,+µProceedings of the Seminar for
Arabian Studies ²
*LEVRQ0'HG7KH Didascalia Apostolorum in Syriac&DPEULGJH>'LJ
LWDOO\UHSULQWHG@
*QWKHU6´23HRSOHRIWKH6FULSWXUH&RPHWRD:RUG&RPPRQWR
<RXDQG8V 4 7KH7HQ&RPPDQGPHQWVDQGWKH4XU૟čQµJournal
RI4XU૟čQLF6WXGLHV²
+HDOH\-7KH1DEDWDHDQ7RPE,QVFULSWLRQVRI0DGD·LQ6DOLK2[IRUG
/HLFKW5´7KH4XU·DQLF&RPPDQGPHQWRI:ULWLQJ'RZQ/RDQ$JUHH
PHQWV 4 ²3HUVSHFWLYHVRID&RPSDULVRQZLWK5DEELQLFDO/DZµ
,Q7KH4XU૟čQLQ&RQWH[W+LVWRULFDODQG/LWHUDU\,QYHVWLJDWLRQVLQWRWKH
4XU·DQLF0LOLHXHGLWHGE\$QJHOLND1HXZLUWK1LFRODL6LQDL0LFKDHO
0DU[²/HLGHQDQG%RVWRQ
3D\QH5(´6H['HDWKDQG$ULVWRFUDWLF(PSLUH,UDQLDQ-XULV
SUXGHQFHLQ/DWH$QWLTXLW\µComparative Studies in Society and History
²
³³³A State of Mixture: Christians, Zoroastrians, and Iranian Political Cul
WXUHLQ/DWH$QWLTXLW\%HUNHOH\
3RZHUV'66WXGLHVLQ4XU૟čQDQG҇DGҸWK7KH)RUPDWLRQRIWKH,VODPLF
/DZRI,QKHULWDQFH%HUNHOH\
David S. Powers
³³³0XєDPPDGLV1RWWKH)DWKHURI$Q\RI<RXU0HQ7KH0DNLQJRIWKH
/DVW3URSKHW3KLODGHOSKLD
6LPRQVRKQ8,$&RPPRQ-XVWLFH7KH/HJDO$OOHJLDQFHVRI&KULVWLDQVDQG
Jews under Early Islam3KLODGHOSKLD
=HOOHQWLQ+07KH4XU૟čQ·V/HJDO&XOWXUH7KH'LGDVFDOLD$SRVWRORUXPDV
a Point of Departure+HLGHOEHUJ