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S. N. AFRIAT<br />
<strong>NONPLUS</strong><br />
— fragments<br />
an accident in biography
Sketch on cover:<br />
the River Cam<br />
Summer 1948<br />
The 4-dimensional<br />
hypercube Logo<br />
and other graphics<br />
are outputs from<br />
QuickBASIC programs<br />
Tentative hardly begun project
<strong>NONPLUS</strong>—fragments
By S. N. Afriat<br />
Production Duality and the von Neumann Theory of Growth and Interest. Meisenheim<br />
am Glan: Verlag Anton Hain, 1974. Pp 86. Mathematical Systems in Economics, 11.<br />
STUDIES IN CORRELATION: Multivariate Analysis and Econometrics (with Gerhard<br />
Tintner and M. V. Rama Sastry). Göttingen: Vandenhoeck and Ruprecht, 1975. Pp<br />
150. (Contributing Part I: The Algebra and Geometry of Statistical Correlation. Pp<br />
100). Angewandte Statistik und Ökonometrie.<br />
Combinatorial Theory of Demand. London: Input-Output Publishing Co., 1976.<br />
Occasional Paper No. 1.<br />
THE PRICE INDEX. Cambridge University Press, 1977. Pp xvi + 187<br />
Demand Functions and the Slutsky Matrix. Princeton University Press, 1980. Pp xii +<br />
269. Princeton Studies in Mathematical Economics, 7.<br />
The Ring of Linked Rings. London: Gerald Duckworth & Co Ltd, 1982. Pp xviii + 126.<br />
(Mathematical and computer recreations, theory and history of Chinese Rings, and its<br />
various manifestations, binary dividers, Lucas’s Tower problem, error correcting<br />
code, Dragon Curves, &c.)<br />
Logic of Choice and Economic Theory. Oxford Clarendon Press 1987. Pp 591.<br />
LINEAR DEPENDENCE : Theory and Computation. Kluwer Academic / Plenum<br />
Publishers, 2000. Pp xiii + 169.<br />
The Market : equilibrium, stability, mythology. Foreword by Michael Allingham.<br />
London & New York: Routledge, 2002. Pp xv +128. Routledge Frontiers of Political<br />
Economy, 44.<br />
The Price Index and its Extension—A chapter in economic measurement. Foreword by<br />
Angus Deaton. London & New York: Routledge, 2004. Pp xxx + 421 Routledge<br />
Frontiers of Political Economy, 65.<br />
On the River Non. Foreword by Paolo Vivante. Empoli: Ibiskos di A. Ulivieri, 2006. Pp.<br />
xvi + 33. (Twenty-four poems, a watercolour, graphic outputs from QuickBASIC<br />
programs, and other items.)<br />
Economics and the Price Index. With Carlo Milana. Foreword by Angus Deaton.<br />
London & New York: Routledge, 2008. Pp xx + 263<br />
sul fiume Non / on the River Non. Second edition with translation into Italian by Anna<br />
Maria Cipriani (Italian Embassy, London), translator of Charles Van Doren A<br />
history of knowledge, Past, Present, and Future / Storia della conoscenza. Gli<br />
eventi, le persone e le conquiste fondamentali, Roma: Armando 2006. Siena:<br />
SATOR Siena, 2008. Pp. xxvi + 94.<br />
On the latent vectors and characteristic values of products of pairs of symmetric<br />
idempotents. Quart.J. Math. Oxford 2, 7 (1956), 76-8.<br />
The Cube. In Art Has Many Facets, edited by J. MacAgy, Fine Arts Department,<br />
University of St. Thomas, Houston, Texas, 1963.<br />
People and Population. World Politics 17, 3 (1965), 431-9. Japanese translation, with<br />
foreword by Ambassador Edwin O. Reischauer: Japan-America Forum 11, 10<br />
(October 1965), 1-28.<br />
Graphic A-Mazes. Creative Computing 6, 6 (June 1980), 124-7.<br />
On the constructibility of consistent price indices between several periods<br />
simultaneously. In Essays in Theory and Measurement of Demand: in honour of Sir<br />
Richard Stone, edited by Angus Deaton. Cambridge University Press, 1981, 133-61
<strong>NONPLUS</strong><br />
— fragments<br />
an accident in biography<br />
S. N. AFRIAT
© S. N. Afriat 20??<br />
Piazza dell’Abbadia, 4 53100 Siena, Italy<br />
+39 0577 289322 +39 339 417 8518<br />
s.afriat@gmail.com www.econ-pol.unisi.it/~afriat
Siena , 24 April 20??<br />
BookShop, Galleria S. Pietro 19<br />
tel: 0577 226 594<br />
fax: 0577 219 686<br />
info@bookshopsiena.com<br />
www.bookshopsiena.com<br />
The 4-dimensional hypercube Logo and other graphics<br />
are outputs from QuickBASIC programs by the author
For<br />
Pilù<br />
In her memory<br />
W<br />
e met Summer 1963 in Siena<br />
married 26 November 1965<br />
Pilù died 24 April 2004
Foreword<br />
?<br />
ix
A<br />
late time may be good for<br />
going back to the early time,<br />
and to even before . . .<br />
x
Preface<br />
T<br />
his book may deserve explanation. The original Non—<br />
from on the River Non published by Ibiskos di A.<br />
Ulivieri, 2006—24 poems, a watercolour, graphic outputs from<br />
QuickBASIC programs and other items—has been joined with<br />
a fragmentary Plus, to make <strong>NONPLUS</strong>—meaning “state<br />
of perplexity, standstill”, according to OED—as puts it all in<br />
perspective in the simplest way to be elaborated now and later<br />
to some extent.<br />
“Impossible!” I always said to recurring suggestions about<br />
doing a biography subsequent to observation about my<br />
scattered life, though I may some time have allowed doing<br />
fragments—something of the sort is what we have now.<br />
People and places are a main stuff of biography, beside<br />
doings that here also have some scatter.<br />
For the additional Plus, the original one watercolour of<br />
Solaia of early 1950s is joined by works starting from time at<br />
school followed by fairly recent products with a Math or<br />
Computer connection.<br />
Then writings representative of different branches of<br />
interests, Math, Econ and Math/Econ, are dealt with. These are<br />
selected for reason of being short, or favourite in some way, in<br />
the case of two.<br />
The third is unfortunately neither short nor a singular<br />
favourite, but declarations for its subject—the “Afriat’s<br />
Theorem” of the recent “Two New Proofs …”—make it<br />
“celebrated”. A celebrated theorem—that’s pretty good! Is<br />
xi
Euclid actually celebrated, or Pythagoras, and how do you<br />
celebrate a theorem? Here we have a go.<br />
For the Math, an early paper in my original concentration<br />
Linear Algebra is included for being elegantly short, and<br />
complete,<br />
Serving for Econ is my favourite “Market & Myth”, also<br />
included in The Market: Equilibrium, Stability, Mythology,<br />
Routledge 2002, representing a chapter of economic teaching<br />
as a hangover from prehistoric culture..<br />
I am aware of several persons who collectively somehow<br />
influenced or brought about the present project. First there is<br />
Marisa Casale who had a new book lying in her workshop and<br />
mentioned another to do with Spannocchia. That touched<br />
familiarity going back decades, to a visit with Pilu to Nando<br />
Cinelli in Detroit in 1965 just after we had married, and visits<br />
to Spannocchia seemingly almost every year after that.<br />
Going to the publisher’s studio and meeting Jennifer<br />
Storey, I bought the book written and illustrated by Pascale<br />
Quiviger then living at Spannocchia, so that prompted a call to<br />
Francesca and Randall and a visit. At which point, I forget<br />
exactly how it happened, I acquired the status, and stimulus, of<br />
being one of Jennifer’s authors—at least for a while! This book<br />
is a descendant of what I started then.<br />
The mentioned poems are the starting point for this<br />
project. These go back to schooldays and about twenty years<br />
after. Nothing was done with them except they were looked at<br />
occasionally from an ever increasing distance. They were not<br />
thrown away and one may wonder why not. Now the distance<br />
is such that, though I once knew the author quite well he has<br />
become a bit of a stranger, like a friend or an enemy one has<br />
not seen for a long time.<br />
The last addition was made in Houston, Texas, in the<br />
1960’s. Stirred by this and thought of the dedication, I put them<br />
together much as in the recent publication. My old friend Paolo<br />
xii
Vivante—the dedication inscribed in the publication of 2000 is<br />
to his mother—was in Austin at the time and wrote the<br />
foreword. Then it all joined a heap packed for travel, from<br />
which it hardly came out of since.<br />
A cause of excavation was arrival of one of those early<br />
PCs, the Exidy Sorcerer, 1979. That computers are useful has<br />
an ordinary acceptance, and for some they are just that. But<br />
there is another community in which a different government<br />
prevails, where means have some confusion with ends.<br />
Working with the gadget is self-sustaining and needs no other<br />
purpose. After having discovered that the Sorcerer can write, a<br />
project was needed and here one was. That was the result. WP<br />
is commonplace now but then it seemed amazing that a single<br />
‘command’ could cause everything to be printed from first<br />
page to last—surely the command of the Sorcerer!<br />
In a further excavation the title used previously is replaced<br />
by On the River Non, which may stand well, even best, without<br />
comment or explanation. However, though this is not to limit it<br />
in any way, it does have one of sorts. It could be from the<br />
sticker that occurs on apples in Italy that says “Val di Non”,<br />
and if there is a valley quite likely there is a river. Or it could<br />
be rather from a certain memory of Wad’Noun in the Anti-<br />
Atlas to be expanded here.<br />
The fragments were then joined with graphic items, in a way<br />
counterparts, arbitrary survivors located in, or on, odd<br />
envelopes, the back of a bus ticket, or propped up somewhere.<br />
The edition which included sketches disappeared, and was<br />
replaced by another without them, done with new printing<br />
facilities. Then came another, with a reproduction in colour of<br />
the watercolour sketch done at Villa Solaia.<br />
The encounter with Jennifer Storey brought forth yet<br />
another edition where poems were joined with the main of<br />
everything in view in the present work. My first pause came<br />
when I understood that—somewhat related to her main<br />
xiii
specialization as a restorer of antique books—her books were<br />
on the side of luxury and splendour, numered, signed, on<br />
special paper, &c, which I felt (and perhaps she felt) did not<br />
suit the freakish disjointed idiosyncratic character of my<br />
material. Also I gathered I would be expected to assist in the<br />
distribution—entirely inconsistent with the view of publication<br />
as abandonment. So the project became put aside. Then the<br />
material was split in two parts, the original poems, with which<br />
it all started and which have now finally been published, and<br />
the remainder, originating the present work. A significant<br />
addition is the section with Memory as heading, perhaps most<br />
interesting for some.<br />
I have to thank Jennifer Storey, of SATOR SIENA, who was<br />
to publish the poems but her printer could not bind a work so<br />
slim, on the model of a similarly slim work I had from<br />
Margherita Sergardi, who now also is thanked for leading us to<br />
her publisher, and now also very much is Alessandra Ulivieri,<br />
who published the poems book, and now perhaps this<br />
successor.<br />
F<br />
or a fragment about the author, instead of ramble<br />
without obvious limit unless it be another volume, what<br />
better than the Acknowledgements statement in my<br />
book The Price Index and its Extension: A chapter in<br />
economic measurement, Routledge, 2004, which gives the<br />
thread of a story? Here it is, following added preliminaries.<br />
The uninitiated need to be warned that ‘the true index’ is a<br />
central thing in the subject, theoretically at least. It was at first<br />
to give a name for the book to make it different from “The<br />
Price Index” which I had already published, Cambridge 1977.<br />
Hence the start represents effort at wit not readily appreciated<br />
by the unwarned and uninitiated.<br />
What is that subject that had attention stretched over a<br />
century? Kurt Gödel, whose notorious Theorem nonplussed the<br />
mathematical world—a subject for mourning more than<br />
xiv
celebration—would drop in at the house where I lived when<br />
first in Princeton and once asked me what I was doing. After<br />
my attempt to give an answer he said “That must be awfully<br />
difficult.”<br />
Another attempt is supplied on the half-title page:<br />
“A theft amounting to £1 was a capital offence in 1260,<br />
and a judge in 1610 affirmed the law could not then be<br />
applied since £1 was no longer what it was. Such<br />
association of money with a date is well recognized for its<br />
importance in very many different connections. Thus arises<br />
the need to know how to convert an amount at one date<br />
into an equivalent amount at another date. In other words, a<br />
price index.”<br />
Extensive thought and theory about price indices has<br />
expanded (inflated, one may think) over the decades and a<br />
great number of economists have each contributed a word, or<br />
volume.<br />
To continue with the Acknowledgements quotation:<br />
“For a true index of debts accumulated over half a<br />
century I should make a start at the beginning, with several<br />
persons I should blame for the initiation that has lead to<br />
this volume.<br />
At the very start is J. R. Bellerby, at the Agricultural<br />
Economics Research Institute, Oxford, during 1950-53,<br />
when I had been awarded a Studentship to be his research<br />
assistant in work related to the Agriculture and Industry<br />
Enquiry. I had been a student in mathematics and this was<br />
my first encounter with the economics profession.<br />
A next encounter was with Bob Clower, who came to<br />
see me where I lived in the corner of Wellington Square<br />
the sun never reached with some problem about a matrix.<br />
My thesis was on Matrix Theory and economists were<br />
beginning to have problems with matrices. He said then he<br />
xv
hoped he was not disturbing me and when he turned up<br />
again recently in Siena, more than half a century later, I<br />
told him he had. After that I got to know other students in<br />
economics. About to leave Oxford, I went to say goodbye<br />
to Dr Burckhardt at the Institute of Statistics and, expecting<br />
to take a job in mathematics, mentioned I would be sorry to<br />
give up economics altogether, whereupon he drew my<br />
attention to advertisement of a position at the Department<br />
of Applied Economics (DAE), Cambridge, three days<br />
before closing date.<br />
So the scene changed again to Cambridge where I had<br />
been an undergraduate, and work with Richard Stone, Alan<br />
Brown, and Robin Marris at DAE put me on a path going<br />
towards this book, as also have associations with Angus<br />
Deaton, Terence Gorman and Amartya Sen which began<br />
about that time.<br />
I should also mention Sir Roy Allen for a contact which<br />
though infrequent has been many-sided, including<br />
reviewing each other’s books. I am indebted to him for<br />
getting together with Nuri Jazairi, who had been his<br />
student at LSE and was brought up on my early index<br />
number papers.<br />
Despite that any data I may actually use is more a matter<br />
of form taken out of the air than any record of historical or<br />
other statistics, J. S. G. Simmonds, Codrington Librarian at<br />
All Souls, beside kindness and conviviality during 1981-82<br />
for which I thank him, also provided me with Bishop<br />
William Fleetwood’s Chronicon Preciosum Or, An<br />
Account of English Money, the Price of Corn, and Other<br />
Commodities for the Last 600 Years.<br />
I acknowledge with enduring gratitude friendship with<br />
Oscar Morgenstern begun in 1956 and marked by a<br />
productivity of Research Memoranda of the Econometric<br />
xvi
Research Program in Princeton 1958-62, in evidence in this<br />
book and all its material.”<br />
Most important is the acknowledgement to my wife Pilù<br />
(Pia Luisa) who saved me from falling off the edge of the<br />
world.<br />
xvii
Fragments<br />
Memory —Morocco and earlier<br />
The Sultan and Queen Victoria<br />
On the River Non<br />
Azharoth<br />
The Burnt Ones<br />
Merchants of the Sultan<br />
Encounter in Marrakesh<br />
Deaf and Dumb<br />
Concerning ‘Afriat’<br />
Bibliography<br />
London and Mogador<br />
Cambridge 1<br />
NPL<br />
Cambridge 2<br />
ARL<br />
Oxford<br />
xi
Cambridge DAE<br />
Jerusalem<br />
Princeton<br />
and North America<br />
Bilkent<br />
Ankara, Buyukada and other<br />
Siena<br />
and Italy …<br />
Math / Econ<br />
Market & Myth<br />
— prehistotic hangover<br />
The Celebrated Theorem<br />
A Tale, and Comment<br />
—Early Pioneer in Citation Analysis<br />
Strange stories<br />
…<br />
…<br />
Story of the Computer<br />
—the Mysterious Word Problem<br />
Story of the Book<br />
—Convoluted Story in<br />
Three Painful Chapters<br />
Finally<br />
xi
<strong>NONPLUS</strong>—fragments
Memory
A<br />
late time may be good for going back to the early time,<br />
and to even before. In this case the early time was in<br />
Mogador, as we called it, though since departure of the<br />
French it has come to be known more as Essaouira, which is its<br />
Berber or Arab name, meaning “Picture City”. And it was, and still<br />
is, truly a picture city.<br />
Now we are in Siena, no doubt another picture city. And in<br />
between, London and a chain of intermediate locations, ending<br />
lately in an abandoned goat pasture, Bilkent, somewhere outside<br />
Ankara.<br />
And before: on the one hand Spain (rather mother’s side) up to<br />
time of the expulsion by Ferdinand and Isabella, and on the other<br />
hand the legendary Ifrane (or Oufrane) on the River Non<br />
(Wad’Noun) in the Anti-Atlas; before which is Babylon—which is<br />
back far enough.<br />
To tell all that may be encountered in following this thread<br />
one could get extremely confused. Instead, with Mogador as the<br />
unalterable fixed point, we take opportunity for digressions, as<br />
suits the mentality of this writer and perhaps this reader also.<br />
14
The Sultan and Queen Victoria<br />
T<br />
A certain foreign gentleman wanted, ironically, to know if<br />
Mogador belonged to the Sultan or to Queen Victoria. The<br />
response, with hand on heart, was ‘Bijujhum ya señor’—‘To<br />
both, sir’.<br />
R. I. N. Johnston<br />
Morocco: The Land of the Setting Sun<br />
London, 1912. P. 40<br />
hat there has been a French presence in Morocco is well<br />
known. Much less common is awareness of any British<br />
connection, let alone the particular connection celebrated in<br />
Johnston’s story.<br />
To my knowledge this connection is largely a Mogador<br />
phenomenon. And this writer comes out of the heart of it, with<br />
family a pillar of Victorian British civilization on the Barbary<br />
coast throughout the nineteenth century and into the twentieth.<br />
For a start close to home, my mother's mother Miriam<br />
(Corcos) Anahory had her own English school, the only school of<br />
my mother. Her cousin Stella Corcos had another, sponsored by<br />
the Anglo-Jewish association. That English was spoken so much in<br />
Mogador is without doubt connected with the existence of these<br />
two schools.<br />
It happens my father went to neither but to the Rabinical<br />
school, so his English was not so good. My parents always spoke<br />
Arabic together, or perhaps more precisely I suppose, what might<br />
be called Judeo-Arabic, a version that included Hebrew and<br />
Spanish elements, a counterpart of the Ladino spoken by many<br />
Sephardis related to mediaeval Spanish, or the Yiddish of the<br />
Ashkanazis related to mediaeval German. Moreover, I never<br />
learnt that language. And not knowing the language of my parents<br />
was a good start to coming to Italy for over half a century and<br />
being married to an Italian for nearly forty years and not learning<br />
Italian.<br />
15
I share a pattern with grandmother Miriam Anahory, since she<br />
had in fact been born in England of Maghrebi parents. Her mother<br />
a Corcos, and her father a Rabbi imported to England to minister<br />
to the Spanish and Portuguese community. Visiting the ancestral<br />
lands she married a merchant of Mogador, reputed Kabbalisitc<br />
mystic, Moses Anahory whose notable achievement was with the<br />
guitar. Perhaps for support of family she started her own school.<br />
She was well educated in the usual English girls boarding school<br />
fashion, and something of a musician as was transmitted to my<br />
mother. Her old age was spent in Jerusalem, together with her<br />
sister Aida, and I used to have communications from there, though<br />
I never met her. She seemed to be remembered as a distinctly<br />
venerable person by everyone.<br />
The name Anahory, for more recent cases in the last 500<br />
years, is known from pre-Inquisition Spain, and Morocco. The<br />
origins go back 2000 years, to what was then Babylon. It is<br />
Aramaic, not Hebrew, and so unusual in the wider Jewish<br />
community. Rabbis of the Talmud who were considered erudite<br />
were given the name “Anahory” or “Nehorai”, meaning “to<br />
illuminate”.<br />
England used to have interests and be well represented in<br />
Morocco. There was even an issue of stamps from the English Post<br />
Office in Tangier. But there was a withdrawal as a result of the<br />
Treaty of Algeceiras of 1912. By this treaty France gave up<br />
interests in Egypt and in exchange England gave up interests in<br />
Morocco. However, some elements of England got left behind,<br />
especially in Mogador.<br />
There had been pressure on Morocco from colonial powers in<br />
about the middle of the nineteenth century. The granting of<br />
consular protection to individuals served to expand influence and<br />
promote trade. It may also have been meant to promote divisions<br />
in preparation for conquest—but no need now to dwell on politics.<br />
Beside such cases, and additionally picturesque, we have the<br />
children of the British Consul who who had never been elsewhere,<br />
and when he died they got left behind in Mogador, to remain there<br />
all their lives. Beside my visits to her earlier, I remember Emily<br />
16
Broom’s interview on BBC radio just after the war. A particular<br />
interest of it had been that, since she had never been anywhere else<br />
to disturb her from the timewarp, she remained a most perfect<br />
Edwardian.<br />
Mogador is the old port of Morocco and used to be important.<br />
But when Casablanca grew up to the North and Agadir to the<br />
South, it lost its status. That is, were one to forget its rebounding<br />
significance as a station on the Hippy Circuit, like Katmandu and a<br />
few other places. When our house on Rue du Rif was last visited, it<br />
was taken over by a group of hippies. This is the house given us by<br />
the Sultan in the nineteenth century, with the appointment as Royal<br />
Merchants to develop foreign trade, especially with England.<br />
Also, it is celebrated as a mythical city by the once quite well<br />
known song “The Mad Maharaja of Mogador”. And again, as the<br />
setting of the play “Captain Brassbound’s Conversion” by Bernard<br />
Shaw, who got his inspiration from R. B. Cunningham Graham's<br />
Magreb-el-Acksa. Then there is the film of Shakespeare’s<br />
“Othello” made by Orson Wells exploiting the ready-made film<br />
props provided by the city, on the ramparts of the port, among<br />
fortifications with rows of old cannon, and such features.<br />
Though it does have earlier history, Mogador was founded in<br />
1764 by Sultan Sidi Muhammed ben Abdallah, on the Atlantic<br />
coast west of Marrakesh, intended to be Morocco’s main seaport<br />
for trade with Europe.<br />
The name Mogador has a foreign character, is mostly used by<br />
foreigners, and since departure of the French has been largely<br />
given up in favour of the more indigenous name Essaouira,<br />
meaning Picture City, in Berber, or Arabic, or both. There is more<br />
to be said about that, but to continue the pursuit of Mogador, it<br />
could be taken to be just another of the fairly frequent Portuguese<br />
colonial relics found up and down the coast. Along the wide sandy<br />
beach to the South going towards Agadir, after a few kilometers<br />
one comes to a broken up rocky ruin washed around by the sea,<br />
which everyone calls “The Portuguese Fort”. It makes the obvious<br />
turn around point in any excursion on foot, or a horse, along the<br />
beach in that direction, beyond which would seem to go on for<br />
17
ever, and it is very familiar. That contributes to making the<br />
Portuguese idea stick. Possibly there is some place in Portugal<br />
called Mogador, or something like that, and colonials are always<br />
giving the hometown name to places they take over. However,<br />
there is quite another view about how the name happened—more<br />
to do with Scotland than with Portugal!<br />
A familiar landmark of Mogador is the tomb of Sidi Mogdoul,<br />
the local saint. It is said he was a Scottish mariner with name<br />
MacDougal who got wrecked on the coast some centuries ago and<br />
acquired the status—and pronunciation of his name—by which he<br />
is now respected And from Mogdoul to Mogador is just one step!<br />
I am indebted to J. S. G. Simmons, Codrington Librarian at<br />
All Souls, for telling me of Danial Schroeter’s delivery, “Anglo-<br />
Jewry and Essaouira (Mogador), 1860-1900”, that I knew nothing<br />
about though it happened when I was at the College, and<br />
incidentally on Codrington Day. I met Schroeter later in Istanbul,<br />
at the Symposium marking the 500 years since the Ottomans<br />
admitted Jews leaving Spain, and even sent boats to pick them up.<br />
18
On the River Non<br />
The Jews of Oufrane have conserved, up to the present,<br />
another old tradition in support of the belief that their<br />
ancestors had come at the time of the deportation of the ten<br />
tribes and established themselves in the country. After many<br />
generations they founded a kingdom of their own and subdued<br />
all the native peoples of the said region. Their first monarch<br />
was called Abraham Ha-Ephrati, of the tribe of Ephraim, from<br />
whom are descended all the succeeding kings who bore the<br />
name of the Ephratim. And it happened that when they were<br />
invited by Esdras the scribe to return to Jerusalem, they<br />
refused to respond to his call. Due to this transgression his<br />
kingdom declined, until the enemy took it over and dispersed<br />
his people. And henceforth they were obliged to change the<br />
name of their family, Ephrati, for that of Afriat, which is the<br />
name held by the family living in the said town today.<br />
Rabbi Jacob Moshe Toledano<br />
Sepher Ner-Ha-Ma’arav<br />
Jerusalem, 1910<br />
W<br />
hen the conquering Arabs reached “Al Maghreb Al<br />
Aksa”—the Land of the Farthest West—in the 7th<br />
century, Jews had been there many centuries. Some had<br />
arrived after the first destruction of the temple in Jerusalem by the<br />
Babylonian King, Nebuchadnezzar II, in 586 BC. There they met<br />
the other early inhabitants of Morocco, the Berbers, whose origins<br />
are unknown.<br />
From evidence of discoveries in the Anti-Atlas and the Draah<br />
valley, it appears that Jews had come to Morocco still earlier. And<br />
there is the legend of Ifrane, on “Wad’Noun”, or River Non, in the<br />
province of Tiznit in the Anti-Atlas—told by Rabbi Toledano in<br />
the passage quoted above. This is in the South of Morocco, in the<br />
Souss region, near Goulamime on the edge of the Sahara, where<br />
one meets the Touaregs, the Blue Men of the Atlas. Their<br />
characteristic flowing blue robes might in the more recent times<br />
20
have been spun in Manchester, dyed with indigo brought from<br />
Pondicherry in India, and imported to Morocco by A Afriat & Co<br />
of London and Mogador.<br />
According to the tradition, Ifrane was populated at the time of<br />
deportation of the ten tribes by the Assyrians around 715 BC.<br />
These are the fabled ‘Lost Ten Tribes’, which included the tribe of<br />
Ephraim. The community on the island of Djerba off the coast of<br />
Tunisia has a similar history, at least going back to the Babylonian<br />
dispersion, if not to the Assyrian. These must be among the oldest<br />
communities in the World.<br />
21
Azharoth<br />
Azharoth of the 11th century poet, talmudist, and dayyan Isaac<br />
b. Reuben al-Barceloni at Denia. He was one of the ancestors<br />
of Nachmanides and much praised by Moses b. Ezra and<br />
Alcharisi.<br />
The ‘azharoth’ were used in most North-African liturgies.<br />
A commentary was written by Moses Mnatti, which was<br />
published, Zimron, 1655. The date is on the title-page [… ] …<br />
… , psalm VI, 7, which should be read … . That date agrees<br />
with one given on the last folio: Monday, 1st Iyyar 5423 =<br />
1663.<br />
On the title-page an “explanation of the words” by ‘Amram<br />
b. Mas‘od of Ophran (Morocco) is mentioned.<br />
My learned neighbour<br />
Wellington Square, Oxford, 1953<br />
T<br />
he antique manuscript book shown in the illustrations was<br />
found, with other materials, in an old cardboard box in the<br />
house in Mogador. No one there knew anything about it; I<br />
took charge of it and brought it to England.<br />
The quotation above transcribes the report on the book given<br />
me by a learned Rabbi who was my neighbour in Wellington<br />
Square, Oxford, during 1950-53, whose name I forget. I was in<br />
No. 42, the corner the sun never reached, next to Peat’s lodging<br />
house at the end of St John's street, where lived Ricardo Caminos,<br />
Egyptologist of my college, near Geach and Anscombe where<br />
Wittgenstein stayed, as did, for that matter, George Kreisal and<br />
Teddy Goldsmith. I thought that was where Wittgenstein died, on<br />
testimony I believe from Goldsmith, though Brian McGuinness<br />
assures me he had returned to Cambridge. I had heard him before<br />
in Cambridge, at meetings of the Moral Science Club in Kings<br />
College, which he dominated. I was told he had been asked to<br />
leave because no one could get a word in, but then no one had<br />
anything to say so he was asked to come back. An expression of<br />
22
agony accompanied anything he said even when it seemed, to<br />
more ordinary minds, rather simple.<br />
In those days the Salvation Army band would play in the<br />
Square every Sunday morning. My landlady was Mrs De Arteaga,<br />
widow of the Professor of Spanish whose famous library had been<br />
kept in the room I occupied, quite unchanged with labels still on<br />
the shelves, Cervantes, Lopez de Vega, Calderon de la Barca, …,<br />
except that the books themselves were no longer there. As also<br />
was the distinguished Sherry they had at one time gone to provide.<br />
“I'm no ordinary landlady” she had explained to me in reference to<br />
the refined taste which had been one bequest and had consumed<br />
the distinguished collection which was the only other, so that<br />
giving rooms for rent became necessary.<br />
The other tennant was Bruce M. Goldie, tutor in Latin, on the<br />
top floor, who seldom appeared in person though flocks of<br />
students would clatter up the stairs.<br />
Robin Chanter came sometimes, not to see me personally but<br />
to show my room to someone—he said it reminded him of “Great<br />
Expectations”.<br />
The learned Rabbi was on the side of the square diametrically<br />
opposite. On short notice, after a quick look through the book, he<br />
scribbled out the report I have transcribed, which is reproduced on<br />
the next page.<br />
23
The Burnt Ones—Nesrafim<br />
Rabbi Ichia Ben Rab Jacob Sabat<br />
Mogador, October 20, 1953.<br />
Translation from the Hebrew:<br />
Story of the Afriat Family—Oufrane<br />
THE ALLIANCE ISRAELITE of Paris requested of the Jews of<br />
Mogador to find out from the children of JACOB AFRIAT..<br />
SOLOMON NAFTALI.. and SALAM living in Mogador, to give<br />
them a copy of any information they had about the cemetery in<br />
OUFRANE who is buried there... The following is the record of<br />
information:<br />
Rabbi Joseph Baibison<br />
..... buried in 1158<br />
Rabbi Eli Galilee<br />
..... it was said that he came from France<br />
and that he quarrelled with Solomon Ezaby.<br />
The 50 Tombs of those who were burned to death<br />
..... 202 years ago<br />
Rabbi Jacob Ben Sabat<br />
..... original name was Levi... he is<br />
supposed to have gone to the Sahara with a company.. and<br />
when he refused to travel on the Sabbath.. they changed his<br />
name to Levi He remained alone in the Sahara, observing<br />
the Sabbath .. an angel came, and said that he would no<br />
longer be called Levi .. but BEN SABAT.. this happened<br />
333 years ago .. and the proof of it is, that in TETUAN<br />
they have the family Levi Ben Sabat.<br />
Rabbi Joseph Ben Sabat<br />
... buried 301 years ago<br />
Rabbi Solomon Aflalo<br />
... buried 208 years ago<br />
27
Rabbi Samuel Ben Jacob ben Sabat<br />
... buried 351 years ago<br />
Rabbi Yahesh Ben Mosche<br />
... buried 274 years ago<br />
Rabbi Solomon Ben Abo<br />
... no date<br />
… They say that one day he was passing,<br />
and as he was a very handsome man, a Moorish woman<br />
called to him from her window, and asked him to come up<br />
to her. When he refused, she spat upon him, at which<br />
moment two great horns sprung from her head so that she<br />
could not get back out of the window. A great crowd<br />
gathered before her window … and she related what had<br />
happened to her. They begged the Rabbi to forgive her and<br />
remove the horns. The Rabbi said a prayer, the horns<br />
disappeared..and from that day on, the Moors were in awe<br />
of the Rabbi … and held him in high estimation ..<br />
Rabbi Shushan Ben Amram … family Siboni<br />
..... no date<br />
Rabbi Judah Ben Naftali Afriat<br />
.....it was he who stood by to see that the<br />
family of 50 persons, who, with his encouragement had<br />
made the decision to be burned alive rather than accept<br />
conversion to Moslemism.....did not waver from their<br />
decision. He decided to see them all burned first, since he<br />
thought that some..fearing..might change their minds. After<br />
the 50 were burned..he made ready for his own death in the<br />
same way...He asked a negro who was standing nearby, to<br />
bring him a pail of water so that he could wash himself.<br />
The negro asked for money before he would bring it. As he<br />
had no money he tore from his ear the gold earing, and<br />
gave it to the negro instead of money..the Rabbi washed<br />
himself..said his prayers..and then burned himself.<br />
28
After all of the Afriat family were burned, the people<br />
standing by, saw a pidgeon fly out of the fire. Later, that<br />
night, a fire sprung out of another place..and the Moors<br />
thought it was an act of God, and were frightened, and<br />
refused to burn the rest who had been brought to suffer the<br />
same fate of being burned alive. And that explains how<br />
these were saved.<br />
Rabbi Salom Ohayon...his son named Rabbi Maklond<br />
.... no date<br />
No one has the right to enter the cemetery as it is a<br />
sanctified place. Anyone who goes near the place, and tries<br />
to enter starts to tremble. They only look at it from afar..<br />
And it is said that anyone who did enter the Cemetery to<br />
see what was there, did not live to the end of the year<br />
The final statement of the record by the writer of the account<br />
above<br />
The righteousness which the Israelites earned by this great<br />
sacrifice for their religion, is shared by others as Rabbi Rabbino<br />
Shlomo Ishahi (renowned all over the world..who was called<br />
Rachi..came from Paris) Rabbi Chaim Joseph David Azulai..also<br />
called Chida..and Rabbi Jacob Ben Sabat of Mogador..and Rabbi<br />
Ben Walid..of Tetuan<br />
These Rabbis agree with what Rabbi Afriat did … and the others<br />
who sacrificed their lives for the sake of their religion. These<br />
Rabbis say, that the page which tells the story of the great sacrifice<br />
which these people made by being burned to death, should be<br />
written and hung in every home so that everyone in the family,<br />
from the smallest on will know the story and be reminded of the<br />
meaning of their religion.. and be guided by it.<br />
Signed by<br />
ICHIA BEN RAB JACOB SABAT du MOGADOR<br />
This is the Rabbi who recorded these events as above<br />
October 20, 1953<br />
29
Merchants of the Sultan<br />
Afriats — first capitalists<br />
This is the heading on a page of Daniel Schroeter’s Merchants of<br />
Essaouira (1988), the chapter on “Merchants of the Sultan”<br />
We touched the subject already, and the book gives a full and<br />
authoritative account, not now to be repeated beyond this simple<br />
line.<br />
The photograph is part of Schroeter’s 1982 delivery in<br />
London.<br />
30
Encounter in Marrakesh<br />
It was 1937 or 38, when I was at a prepschool, Downsend in<br />
Leatherhead near Ashstead, Surrey, at the beginning of<br />
Summer holidays, when as usual we went to the house in<br />
Mogador. I had been having trouble with my chronic asthma<br />
problem and my father decided to take me to Marrakesh for the<br />
dry air. We went to stay at the Hotel Mamounia, then new though<br />
already famous.<br />
Going round the large and dense garden we encountered an<br />
Indian alone seated on a bench, who spoke to us in English. He<br />
said immediately, though we had said nothing, that we were there<br />
for my health, and prescribed some rigmarole involving flowers.<br />
Returning to the hotel, arriving at the clearing in front, I heard<br />
a voice say “There’s Churchill!”, and saw someone standing not<br />
far away, dressed in riding clothes and carrying a crop, and<br />
speaking with others, in a way that made a marked impression on<br />
me as being not ordinary at all. At that time I knew nothing about<br />
Churchill. I was told he frequently went to Marrakesh, and<br />
painting was one of his pursuits there.<br />
Later I learnt that El Glaoui, Pasha of Marrakesh, was staying<br />
at the hotel and, becoming aware of my father’s presence there,<br />
had been in touch and we were to meet<br />
The meeting took place that afternoon and included El<br />
Glaoui’s companions at the hotel: Churchill, Lloyd George, and<br />
Thompson, Lloyd George’s secretary. For an extra dimension of<br />
coincidence, Malcolm Thompson immediately told us he already<br />
knew we were in Morocco—from his son who was at my school!<br />
31
That might have been a link that woke up El Glaoui to our being at<br />
the hotel.<br />
Lloyd George was more my size and I was seated next to him<br />
on one of the benches so, though still slight, I had more<br />
communication with him than the others.<br />
It needs to be appreciated that the Marrakesh region is almost<br />
a separate country, more Berber than Arab. It is among tribal<br />
territories that had been governed by war lords without allegiance<br />
to the Sultan.<br />
Without comparison with the hereditary right and Chereefian<br />
(title for a descendant of the Prophet) Majesty of the Sultan, the<br />
Glaoui had effectively eliminated opposition and ruled by no other<br />
right.<br />
Another observation is that Berbers and Jews had lived<br />
together in Morocco since long before arrival of the Arabs, they<br />
knew each other very well. When Thami El Glaoui, mindful of<br />
political compromising ambiguities, removed himself from<br />
Morocco during the Rif War and took himself to London, he spent,<br />
I gather, just about every day with my father, who gave him the<br />
latest news. Hence this encounter in Marrakesh was animated by<br />
old friendship.<br />
An anecdote I recall is that one day a secretary of El Glaoui<br />
came to my father’s office (I suppose 21 Mincing Lane in the City<br />
where I used to be dragged, near Tate and Lyle), and asked if care<br />
could be taken of a parcel he had with him. It was some time,<br />
perhaps years, later a secretary turned up again and, stirring up<br />
recollection of the parcel, asked if he could be permitted to take<br />
charge of it. He was about to leave in possession of the parcel<br />
when my father asked, out of understandable curiosity, what was<br />
the nature of the contents. It was explained that the parcel<br />
contained valuables that could be useful for incidental needs while<br />
on a journey, as it were like travellers checks, which of course at<br />
that time had not been invented. In other words, gold, silver,<br />
precious stones … imagination is in overload to picture the<br />
contents.<br />
32
Gavin Maxwell, Lords of the Atlas: Adventure, Mystery, and<br />
Intrigue in Morocco, 1893-1956; The Rise and Fall of the<br />
House of Glaoua. The Lyons Press, New York, 2000.<br />
Marvin Rintala, Lloyd George and Churchill: How Friendship<br />
Changed Politics. Madison Books, 1995 (I came across this<br />
interesting book at the same time as my search for the Lloyd<br />
George biography by Thomson.)<br />
Daniel J. Schroeter, “The Jews of Essaouira (Mogador) and the<br />
Trade of Southern Morocco.” In M. Abitbol (1982), pp. 365-<br />
90.<br />
— , “Anglo-Jewry and Essaouira (Mogador), 1860-1900: the<br />
social implications of philanthropy.” Transactions of the<br />
Jewish Historical Society of England, sessions 1981-1982,<br />
Volume XXVIII & Miscellanies Part XIII, 1984. Paper<br />
presented to the Society on 28 April 1982 (see earlier<br />
reference).<br />
— , Merchants of Essaouira: Urban society and imperialism in<br />
southwestern Morocco, 1844-1886. Cambridge University<br />
Press, 1988. Cambridge Middle East Library.<br />
Malcolm Thomson, with the collaboration of Frances, Countess<br />
Lloyd-George of Dwyfor, David Lloyd George: The Official<br />
Biography. London, Hutchinson. (Thomson was his secretary<br />
1925 to 1940, I met both in Marrakesh 1937 or 38, I recently<br />
got this together with the Rintala 1995 book about Lloyd<br />
George and Churchill.)<br />
33
Concerning “Afriat”<br />
Provided by Dina Binyamin, Tel Aviv, concerning ‘Afriat’,<br />
obtained from:<br />
Beth Hatefutsoth – Communities and Family Names – Tel Aviv<br />
Afriat is a toponymic surname (i.e. derived from a place of origin<br />
or residence), associated with the King of Ifrane, Sous, in<br />
Morocco, and of the Sous tribe descended from his family.<br />
According to the Jewish inhabitants of the fertile alluvial region of<br />
Ifrane, Sous, in Morocco, their ancestors came to this area after the<br />
deportation of the ten tribes from Eretz Israel.<br />
Their first king was “Abraham the Ephramite”/“Abraham<br />
Hephrati”, a descendant of the tribe of Ephraim, and all his<br />
successors were called “Ephrati”. Following the fall of their<br />
powerful kingdom, the Ephrati changed their name to<br />
“Afriat/Aferiat” [written without vowels in Hebrew or Arabic it<br />
could be pronounced either way]<br />
Rabbi Yudah ben Naftali Afriat was the leader of a group martyrs<br />
burned alive at Oufran, Morocco, in 1775.<br />
Afriat is recorded as a Jewish family name in the following cases:<br />
At the end of the 18 th century, Messod Afriat was Chief Rabbi of<br />
Marrakech, Morocco.<br />
The merchant Joseph Afriat was born in Oufran, settled in<br />
Mogador, Morocco in 1792, and moved to London in 1809. His<br />
nephews, Jacob Aron and Sellam Afriat, opened in London the<br />
most important Moroccan commercial enterprise of the City<br />
dealing in tea, the “Atay Afriat” tea [the second brought my<br />
Father, the junior nephew, to London]<br />
Other distinguished bearers of the Jewish surname Afriat include<br />
Frank Afriat, a 20<br />
34<br />
th century leader of the Sephardi community in<br />
London, England, elected several times member of the “Maamad”.
Comment by S. N. (Sydney Naftali) Afriat, Siena, Italy<br />
Sellam, uncle of my father M. N. (Messod Naftali) Afriat, adopted<br />
the name Sydney in place of Sellam when he was in England. It<br />
was he who brought my father, his junior nephew, to<br />
England.(needed for his knowledge of Morocco, the languages,<br />
and communication with different elements) who later inherited<br />
from him the family company A. Afriat & Co.<br />
With my names I was named after him, and also, like my father,<br />
after the Rabbi of Oufrane/Ifrane, on the River Non (Wad’Noun)<br />
in the Sous region of Morocco, in the Anti-Atlas.<br />
35
I came across the following note, without statement of source:<br />
Ofran (Ifran) in the Anti-Atlas region of S. W. Morocco, according<br />
to Judeo-African tradition, is regarded as the first site of Jewish<br />
settlement in Morocco. Many legends have been created about the<br />
ancient community of Ofran, whose first members are said to have<br />
arrived from Erez Israel before the destruction of the first Temple<br />
in Jerusalem.<br />
A Jewish kingdom was set up there which was governed by<br />
the Afriat family—then named Efrati. The Jews of this kingdom<br />
are said to have belonged to the tribe of Ephraim—one of the lost<br />
Ten Tribes of Israel. Indeed.in the modern era the Afriat family<br />
administered the affairs of the community of Ofran and of all the<br />
communities of the region.<br />
The Jewish cemetery of Ofran is very old, and there are many<br />
tombstone inscriptions dating from the Middle Ages. Local<br />
tradition ascribes some of them to thc first century B.C.E.<br />
Pilgrimages were made from every part of Morocco to this<br />
cemetery, which contains the remains of revered rabbis and<br />
martyrs.<br />
According to local traditions there was a terrible persecution<br />
following the destruction of the community by thc Byzantine<br />
Christians (sic). Other persecutions have been historically proven,<br />
the last of which took place in 1792 when the pretender<br />
Bou-Hallais, who sought to be proclaimcd sultan, arrived in Ofran.<br />
He seized 50 Jewish notables and gave them the alternative of<br />
converting to Islam or death by fire. Under the guidance of their<br />
leader Judah Afriat, they jumped one after the other into the huge<br />
furnace which had been lit for the occasion. Judah Afriat remained<br />
to the end in order to encourage those who faltered. The remains of<br />
these martyrs, known as the Nisrafim (“Burnt Ones”), were piously<br />
gathered and interred in the cemetery of Ofran.<br />
The account of their martyrdom was copied on parchment and<br />
circulated throughout the country. A popular etymology explains<br />
the name Ofran as a combination of efer (“the ashes of ”) and the<br />
letter nun (= 50). Their descendants were greatly esteemed and to<br />
36
the present day they commemorate the anniversary of the event<br />
(the 17th of Tishri) by refraining from lighting fires in their homes.<br />
The community of Ofran was prominent and wealthy and a<br />
large part of thc trans-Sahara trade passed through its hands. After<br />
1792 its members dispersed. They played an important role in the<br />
community of. Mogador, especially the members of the Afriat<br />
family, and during the 19th century they established a commercial<br />
house in London. For more than 50 years the Afriat house was the<br />
most important family in Anglo-Moroccan trade. …<br />
Mogador (Souirah), Moroccan port on the Atlantic Ocean, a<br />
kilometer distant from the island of Cerne which in antiquity was a<br />
commercia! base of the Phoenicians and Carthagenians and where,<br />
under King Juba II (23 C.E.) thc famous purple of Getulia was<br />
manufactured. From the Middle Ages until the 17th century there<br />
were sugarcane refineries in thc vicinity of Mogador, and the sugar<br />
trade was concentrated in the hands of the Jews. The activity of<br />
Mogador, which was brought to a halt between 1650 and 1760,<br />
started anew when Sultan MuhAmmad ibn Abdallah decided to<br />
build a city and a port through which the greater part of the<br />
international commerce of his kingdom would bc conveyed. The<br />
most important Jewish families of the country sent some of their<br />
members there. The sultan chose ten of them; and conferred upon<br />
them the title of tâjir al-sultân (“merchant of the king”), together<br />
with the duties and prerogatives attached to it. …<br />
37
I should add the following from my old friend J. R. T. Hughes,<br />
Economic History, Queen’s College, Oxford, and Northwestern<br />
University, USA<br />
10 December,1969<br />
Dear Sidney<br />
In Volume I, of Henry Mayhew’s book (recently issued again in<br />
paperback and hardcover), London Labour and the London Poor,<br />
first published in 1851 there is, beginning.page 452 an account of<br />
street sellers of rhubarb and spices. They come from Mogadore.<br />
There is a picture of one. The account runs like this (exerpts from<br />
p.453)<br />
“De people were Mahomedans in Mogadore, but we were Jews,<br />
just like here, you see ……… All de rhubarb-sellers was Jews.<br />
Dere was anoder called Ben Aforiat, and two broders; and anoder,<br />
his name was Azuli. One of Aforiat's broders used to stand in<br />
St Paul’s …… ”<br />
Interested? I’ve been meaning to write this for a year but never got<br />
around to it. I ran onto this when I was reading Mahew for a<br />
review.<br />
The man being interviewed is not an "Aforiat'. He tells how things<br />
were in Marocco for the Jews, in Gibralter, Portugal, London. It is<br />
a very touching account. But he must be talking about Afriats. His<br />
language is taken down as it sounded to Mayhew..<br />
38
Bibliography<br />
Michel Abitbol (ed.), Communautés juives des marges<br />
sahariennes du Maghreb. Jerusalem, 1982.<br />
— , Temoins et acteurs: Les Corcos et l’histoire du Maroc<br />
contemporaine. Jerusalem:, Institut Ben Zvi, 1977<br />
Tahar Ben Jelloun, “Haïm Zafrani, souvenir d'une culture judéomusulmane.”<br />
Le Monde, Vendredi 7 Juin 1996.<br />
Robert Boutet, “Notes sur le Judaism dans l’extreme-sud<br />
Marocain” L’Avenir Illustre 1930, 30/4/1936, 31/3/1936<br />
David Corcos, Studies in the History of the Jews of Morocco.<br />
Jerusalem, 1976. (My mother’s cousin)<br />
Sidney S. Corcos, “The Corcos family: Spain-Morocco-<br />
Jerusalem”, Sharsheret Hadorot—Journal of Jewish<br />
Genealogy Vol. 14 No. 2 (Winter 2000), The Israel<br />
Genealogical Society. (Son of David Corcos and main<br />
historian of the Corcos family)<br />
R. B. Cunninghame Graham, Mogreb-el-Acksa: A Journey in<br />
Morocco. London, 1898. Reprinted by the Viking Press, NY,<br />
1930, and the Marlboro Press, Vermont, 1985.<br />
Elias Canetti, Die Stimmen von Marrakesh.<br />
Ernest Gellner, Saints of the Atlas. Chicago and London, 1969.<br />
— and C. Micaud (eds.), Arabs and Berbers. London, 1972.<br />
Walter B. Harris, France, Spain and the Rif. London: Edward<br />
Arnold & Co., 1927<br />
Ibn Khaldun, The Muqaddimah, trans. by F. Rosenthal, 3 vols.<br />
New York, 1958.<br />
39
James Grey Jackson, Esq., An Account of the Empire of<br />
Morocco, and the District of the Suse; compiled from<br />
miscellaneous observations made during a long residence in,<br />
and various journeys through, these countries. To which is<br />
added, an accurate and interesting account of Timbuctoo, the<br />
great emporium of Central Africa. London, 1809. (Original<br />
edition presented to me and inscribed by Elias Canetti.)<br />
R. I. N. Johnston, Morocco: The Land of the Setting Sun. London,<br />
1912.<br />
Mourad Kusserow, “Erbe und Zukunft von Marokkos Juden.”<br />
Neue Zürcher Zeitung, 15/16 February 1997.<br />
Abraham Laredo, Les Noms des Juifs du Maroc. Madrid, 1978.<br />
Bernard Lewis, The Jews of Islam. Princeton, 1984.<br />
Stephen Lister, By the Waters of Babylon. Peter Davies, London,<br />
1944. (a novel)<br />
Gavin Maxwell, Lords of the Atlas: Adventure, Mystery, and<br />
Intrigue in Morocco, 1893-1956; The Rise and Fall of the<br />
House of Glaoua. The Lyons Press, New York, 2000.<br />
Henry Mayhew, London Labour and the London Poor, first<br />
published 1851, recently issued again in paperback and<br />
hardcover. P. 452 ff.<br />
Marvin Rintala, Lloyd George and Churchill: How Friendship<br />
Changed Politics. Madison Books, 1995 (I came across this<br />
interesting book at the same time as my search for the Lloyd<br />
George biography by Thomson.)<br />
Daniel J. Schroeter, “The Jews of Essaouira (Mogador) and the<br />
Trade of Southern Morocco.” In M. Abitbol (1982), pp. 365-<br />
90.<br />
— , “Anglo-Jewry and Essaouira (Mogador), 1860-1900: the<br />
social implications of philanthropy.” Transactions of the<br />
Jewish Historical Society of England, sessions 1981-1982,<br />
Volume XXVIII & Miscellanies Part XIII, 1984. Paper<br />
40
presented to the Society on 28 April 1982 (see earlier<br />
reference).<br />
— , Merchants of Essaouira: Urban society and imperialism in<br />
southwestern Morocco, 1844-1886. Cambridge University<br />
Press, 1988. Cambridge Middle East Library.<br />
Henri Terrasse, History of Morocco, trans. by Hilary Tee.<br />
Editions Atlantides, Casablanca, 1952.<br />
Malcolm Thomson, with the collaboration of Frances, Countess<br />
Lloyd-George of Dwyfor, David Lloyd George: The Official<br />
Biography. London, Hutchinson. (Thomson was his secretary<br />
1925 to 1940, I met both in Marrakesh 1937 or 38, I recently<br />
got this together with the Rintala 1995 book about Lloyd<br />
George and Churchill.)<br />
Rabbi Jacob Moshe Toledano, Sepher Ner-Ha-Ma’arav.<br />
Jerusalem, 1910.<br />
Joseph Toledano, Une histoire de familles; les noms de famille<br />
Juifs d’Afrique du Nord. Jerusalem, 1998.<br />
Edward Westermarck, Ritual and Belief in Morocco, 2 vols.<br />
London, 1926.<br />
Haïm Zafrani, Les Juifs du Maroc. Paris, 1969.<br />
— , Juifs d'Andalousie et du Maghreb. Ed. Maisonneuve et<br />
Larose, 1996.<br />
41
Econ<br />
Market & Myth<br />
F<br />
or an Econ item without Math my favourite is the essay<br />
“Market & Myth” included as a chapter in my book The<br />
Market: Equilibrium, Stability, Mythology, Routledge 2002, and<br />
suits this situation for an exhibition.<br />
42
Market & Myth<br />
In speech of today a single being, the Market, is at the centre of<br />
existence. It is the self-created, self-regulated, unquestioned<br />
measure of everything. The textbooks teach that, but for<br />
objectionable intrusions, or ‘imperfections’, its rule would be<br />
optimal!<br />
It has been remarked that every age has its myth, proclaimed as<br />
the higher truth; here we have ours. It permeates every sphere—<br />
which could perhaps interfere with visibility. As a movement in the<br />
immediate present it is on a gallop with fresh energy, commanding<br />
submission everywhere.<br />
In history this myth, and the reality which would go with it<br />
where the human factor is something like an accident, seems in some<br />
way new. Now it is propagated by endlessly repeated teaching, and<br />
bolstered by interests, and inertia. A first impulse for present<br />
objections came simply from encounter with the textbook teaching,<br />
and being struck by its thorough absurdity, and deceptive use of<br />
language. This is unaltered by the mathematical dress given to it, and<br />
enunciation of portentous theorems. While such presentation may<br />
give it all an aura of lofty science and unassailable truth, it is<br />
anything but that.<br />
Such a concern might appear simply scholastic, a field of sport<br />
for any with the training and inclination and otherwise of no account,<br />
like many another. Faults with the teaching have been pointed out<br />
many times, but this appears to make no difference. As<br />
indoctrination it has a now ominous persistence. With inheritance<br />
from the 19th century based on inchoate notions from France in the<br />
17th, we are approaching the 21st. Instead of being rudely awakened,<br />
as happened lately on another side, it could still be asked whether<br />
43
this is the way to face the now well recognized and already well<br />
advanced, developing and encircling realities.<br />
The question requires a regard for the market teaching which has<br />
importance from its influence, and apart from that is an exhibition of<br />
self-deception—a spectacle to make the power of reason as much of<br />
a myth as what it pretends to offer. Of course we know reason has its<br />
intermittences; and F. A. Hayek has spoken well about authority in<br />
economics and the transmission of mistakes, how they are handed<br />
down with uncritical acceptance simply because of the prestige of<br />
their perpetrators.<br />
Without the barriers that not long ago always prevailed, when<br />
markets were auxiliaries, subordinate to life in a locality, the market<br />
dictatorship would most likely impose itself anyway, by its own law,<br />
regardless of what anyone should say or think about it. As well<br />
accepted, liberty requires a constant defense. Now the absolute rule<br />
is fostered by absurd reasoning of scholastics, joined with zealous<br />
belief of creatures of the days of innocence which are no longer with<br />
us.<br />
We have a concern with the Maximum Doctrine of Perfect<br />
Competition which is central to the dominant ‘neoclassical’<br />
economics. It appears to have originated in the seventeenth century<br />
with François Quesnay and the Physiocrats, and was imported from<br />
France into the United States by Dupont. For perfect competition<br />
there are the well known conditions, and the conclusion—which for<br />
the Physiocrats was nothing but self-evident—is that under these<br />
conditions the economy achieves an optimum. This is the “social<br />
maximum” alluded to by Kenneth J. Arrow in motivating his theory<br />
of Social Choice and Individual Values:<br />
“If we continue the traditional identification of rationality with<br />
a maximization of some sort, then the problem of achieving a<br />
social maximum derived from individual desires is precisely<br />
the problem which has been central to the field of welfare<br />
economics.”<br />
What is the criterion by which one can know the better and the<br />
worse and hence what is best, or the optimum? Nobody knows.<br />
Without a knowledge of this what we have been told must be quite<br />
44
empty. There could be cause for an abandonment of the whole idea,<br />
and surprise at how it is accepted without a tremor by the multitude<br />
of the faithful.<br />
To be free, and yet a good slave—put that way it sounds<br />
ridiculous, though it should strike one the teaching is just like that.<br />
First there is the individual freedom in the self-regulated order, the<br />
market. Then as if here is not enough to the system, and in further<br />
praise of it, it is submitted that the overall result is efficient, as an<br />
obedient slave performing some precise duty to the utmost. It is a<br />
relief one never is told what the duty is. The social objective it is<br />
taken to exist and to govern because it is talked about. With more<br />
known about it there would be a better position to verify whether or<br />
not it is at a maximum. For some the loose end is put out of the way<br />
as the Aggregation Problem, but should anyone ever get to that<br />
problem they would not know what it is.<br />
We are faced with a phenomenon appreciated in another case,<br />
the famous “happiness” formula, known as a Marxist slogan though<br />
it has an earlier origin. P. P. Wiener attributes it to Frances<br />
Hutchison, the teacher of Adam Smith. Its classic attribution is to the<br />
Utilitarians, and Marxists must have borrowed it from them.<br />
According to I. Philips:<br />
“John Bowring says in his Deontology [1834, p.100] that<br />
Jeremy Bentham recalled how on a visit to Oxford in 1768 he<br />
had first come across the phrase ‘the greatest happiness of the<br />
greatest number’, in Joseph Priestley’s Essay on the first<br />
principles of Government, published in that year, 1768. “It was<br />
from that pamphlet [Bentham said] … that I drew the phrase,<br />
the words and import of which have been so widely diffused<br />
over the civilized world. At the sight of it, I cried out, as it<br />
were in an inward ecstasy like Archimedes on the discovery of<br />
the fundamental principle of hydrostatics, Eurhka”.<br />
We should try to find out what the stirring formula could<br />
possibly mean. Since “widely diffused” without any qualification, we<br />
may look for its import in a simple possible world, one where a cake<br />
is distributed over a number n and happiness is the size h of the slice<br />
45
anyone gets. Then the greatest h for the greatest n is wanted. To put<br />
all this mathematically, with the size of a slice measured by its angle<br />
in radians, so the whole cake is 2p we have the constraint hn £ 2p<br />
and have to maximize h and n simultaneously. Let anyone try!<br />
Economics students receive the notion that if no one can have<br />
more, unless someone has less, then we have an “optimum”. It is<br />
tagged with Pareto’s name. It is just like with the cake, so apparently<br />
you can distribute it around to everyone any way you please, it’s<br />
always optimal. Good news for the party host as for the economics<br />
catechism. Since everyone wants more, this would have to be a case<br />
of “Multi-objective Optimization”—the title of a lecture I once saw<br />
announced. But there can be no such thing. If you have one objective<br />
then you cannot at the same time also have another—you just have to<br />
make up your mind!<br />
Impressive absurdities on the same model had occurred<br />
previously, for instance Quesnay’s Economic Principle “greatest<br />
satisfaction with the least labour-pain”, and he must have drawn<br />
inspiration from Leibniz whose “best of all possible worlds”<br />
provided the greatest good at the cost of the least evil. The<br />
precedents give a reminder of Hayek’s remark about the transmission<br />
of mistakes.<br />
Obviously if you choose to maximize one thing, then you cannot<br />
at the same time make a free choice of another. You may be lucky,<br />
for instance if (x, y) is subject to x £ 1, y £ 1 and you want to<br />
simultaneously maximize x and y, this is provided by (1, 1). But we<br />
do not have a case like this in dealing with the “happiness” formula,<br />
or the cake; for when n is made large h is forced to be small, and vice<br />
versa.<br />
It may be wondered how anyone, whose respected output is<br />
supposed to be rational (in an ordinary sense), can make such<br />
remarks, and how they can then have acceptance, even be awarded<br />
prizes. On submitting about wrong reasons to Chalongphob<br />
Sussangkarn, on a visit with a Thai trade delegation, he gave a<br />
healthy answer: “We have the right thing—never mind those<br />
reasons!”<br />
46
Here is another thought bright with free market devotion, from<br />
Robert Heilbroner in The Worldly Philosophers:<br />
“Edgeworth's pleasure machine assumption bore wonderful<br />
intellectual fruit … it could be shown—with all the<br />
irrefutability of the differential calculus—that in a world of<br />
perfect competition each pleasure machine would achieve the<br />
highest amount of pleasure that could be meted out by society.”<br />
Enjoyment of the wonderful fruit should in this case be spoilt by<br />
a suspicion of worms. What is “all the irrefutability of the differential<br />
calculus”? Is it irresistible authority of the Chain Rule; or final truth<br />
in the Infinitesimal unphased by digital diversions; or the<br />
incomprehension and boredom of all those readers who give a<br />
passing glance at the exhibition of machinery and then get on with<br />
the text?<br />
We should do that first since the outer skin of this fruit is not<br />
without blemishes. We are faced once more with the Leibnizian<br />
nonsense, expanded into n dimensions. That ought to be a relief since<br />
now there should really be no need to go back to that skipped-over<br />
calculus after all. However, belief that there is complete relief is<br />
feeble optimism—a dream of rationality. The particular calculus<br />
turns up in countless textbooks—at least now we may perhaps know<br />
where it started.<br />
For a separate matter where there is a striking inconsistency,<br />
something like in the “happiness” formula, Mr. James Baker the<br />
erstwhile U.S. Secretary of State toured the newly independent<br />
republics of Central Asia, speaking with their leaders and submitting<br />
what is expected of them: “democratic government and free-market<br />
economics”. The principle of such government must include some<br />
independence. In allowing that, how can it also be laid down what<br />
they should decide? A people could wish to maintain competition<br />
internally to brace up performance and exploit local capacities,<br />
perhaps on the side of basics for people and territory, without putting<br />
these at the mercy of a noisy global competition for which they are<br />
thoroughly ill-prepared—in other words, settle for living happily<br />
with their comparative disadvantage. Instead of doubling their<br />
population in thirty years or so they might even choose to limit<br />
47
themselves—and pursue “greatest happiness” for their steady<br />
number! After all, if one couple have three children its an appalling<br />
50% expansion in one generation, draining away surplus for<br />
improvements, if any. Human rights which get eager attention and<br />
have been listed at Helsinki are no doubt good. Nonetheless it is not<br />
always clear where the rights come from, and whether people in a<br />
chaotically crowded world have any rights at all. How about<br />
obligations, and shouldn’t they come first? The signatories of the<br />
accord could then form a truly well-considered trading block.<br />
There is a strong tide in favor of knocking down trade barriers<br />
and fostering growth, but also a rising opposition coming out of<br />
concerns with ecology, resources, demographics, environment and<br />
the like, and deteriorations throughout the world. At an earlier time<br />
the collision was rather between economic and social factors. Karl<br />
Polanyi (1944) gives an account. Now a completely new era has<br />
arrived in which hanging over everything are broad questions of<br />
survival with a rather short time horizon. Near the threshold of<br />
subsistence there are no margins, and with a tight global competition,<br />
in a great part divorced from local attachments, there are none either.<br />
That covers the most numerous and also the most rich and powerful<br />
elements. So where is the will or strength to alter the current course?<br />
This is the question dealt with provocatively by Richard Falk in his<br />
Explorations at the Edge of Time.<br />
J. M. Keynes reviewed the accounts and gave a reconsideration<br />
of usual wisdom about trade in his 1933 article on “National Selfsufficiency”.<br />
He was perhaps thinking about other things, but what<br />
he had to say may cut better now than it could at that time.<br />
The Earth is not a remote abstraction but a patchwork of<br />
localities, each quite immediate to whoever happens to be there. Nor<br />
is humanity, which consists of actual people all living somewhere.<br />
Beside the currently topical global outlook, if there is a relationship<br />
that has priority it is that between people and where they live. The<br />
place is a first base for life and sustenance of inhabitants, who are its<br />
custodians; all that goes with it is their care and responsibility, and if<br />
they make a disaster of it, it is mainly their hardship and their own<br />
fault. Such a severe view seems in harmony with remarks of Keynes,<br />
48
and invites consideration as a response to ruinations that take place.<br />
In any case, there is unrest in being dependent for vital needs on<br />
trade with others with whom no steadier bond exists.<br />
Since every era has something like its own economics,<br />
dissatisfaction with what we now have may reflect a transition. But<br />
to what? Some say a “new paradigm” without suggestion of its<br />
nature or what should be done about it. Propensities in the<br />
neoclassical and Marxist phases give visions of another heady round<br />
of ‘theory’. The neoclassical outlook originated from the time of<br />
Newton and the euphoria over his mechanics, and the ‘Optimism’ of<br />
Leibniz. The economy had then to be approached as a machine, not<br />
well understood because nobody around had made it or had the plan.<br />
Hence the models economists play with, and the cult of the<br />
optimum—“the best is enemy of the good” may be recalled at this<br />
point. Marx under the spell of fashionable Hegel took on his notions<br />
helplessly, and adopted Ricardo’s theory of value without noticing<br />
the actual arithmetic is impossible. What could be next?<br />
Documentation of happenings to the globe such as State of the World<br />
reports of the Worldwatch Institute, or The Ecologist, suggest things<br />
are going to be different. They cannot be the better—let alone<br />
optimal, if that myth can be dispelled—simply by submitting to<br />
government by the self-regulating machine and giving anxious<br />
attention to its ups and downs that dominate the news. There must no<br />
doubt be withdrawal from that foolishness, though there cannot be a<br />
ready-made design for an era with unprecedented features—and<br />
touch of finality.<br />
BIBLIOGRAPHY<br />
Afriat, S. N. (1965). People and Population. World Politics 17, 3, 431-9.<br />
Japanese translation, with foreword by Edwin O. Reischauer: Japan-<br />
America Forum 11, 10 (October), 1-28.<br />
— (1972). Reservations about Market Sovereignty: four notes. In Mundell<br />
(1972).<br />
49
— (1980). Demand Functions and the Slutsky Matrix. Princeton University<br />
Press, Princeton Studies in Mathematical Economics, 7.<br />
— (1987a). Economic Optimism. Economics Department, Stanford<br />
University, 21 April.<br />
— (1987b). Logic of Choice and Economic Theory. Oxford: Clarendon<br />
Press.<br />
— (1988). Optimism from Leibniz to Modern Economics. Sophia<br />
University, Tokyo, 27 April.<br />
— (1994). On Trade, and Self-sufficiency. Institute of Economics and<br />
Management Science, Kobe University, 22 April 1988. Research<br />
Paper No. 326 (April 1989), School of Economic and Financial<br />
Studies, Macquarie University, New South Wales.<br />
Arrow, K. J. (1951). Social Choice and Individual Values. New York: John<br />
Wiley. 2nd edition 1963.<br />
Brecher, Irving and Donald J. Savoie (Eds.) (1993). Equity and Efficiency<br />
in Economic Development: Symposium in honour of Benjamin<br />
Higgins. Montreal: McGill-Queen's University Press.<br />
Bell, Daniel and Irving Kristol (1982). The Crisis in Economic Theory.<br />
New York: Basic Books.<br />
Braudel, Fernand (1981). Civilization and Capitalism. New York: Harper<br />
and Rowe.<br />
Cassidy, John (1996). The Decline of Economics. The New Yorker,<br />
December 2. Pp 50-60.<br />
Deane, Phyllis (1978). The Evolution of Economic Ideas. Cambridge<br />
University Press.<br />
Falk, Richard (1992). Explorations at the Edge of Time: The Prospects for<br />
World Order. United Nations University Press, Tokyo, and Temple<br />
University Press, Philadelphia.<br />
Goldsmith, Edward (1992). The Way: An Ecological World View. London:<br />
Rider.<br />
Hansen, Bent and Girgis A. Marzouk (1965). Development and Economic<br />
Policy in the UAR (Egypt). Amsterdam: North-Holland.<br />
50
Hayek, F. A. (1974). The Pretence of Knowledge. Nobel Memorial<br />
Lecture, Stockholm, 11 December. In Hayek (1978), Chapter 2.<br />
— (1978). New Studies in Philosophy, Politics, Economics and the History<br />
of Ideas. University of Chicago Press.<br />
Heilbroner, Robert (1972). The Worldly Philosophers. New York: Simon<br />
and Schuster.<br />
Higgins, Benjamin (1989). Equity and Efficiency in Development: basic<br />
concepts. In Brecher and Savoie (1992), Chapter 1.<br />
Hutchison,T. W. (1977). Knowledge and Ignorance in Economics.<br />
University of Chicago Press.<br />
Keynes, J. M. (1933). National Self-Sufficiency. The New Statesman and<br />
Nation, 8 and 15 July; The Yale Review, Summer; Collected Writings<br />
edited by D. Moggridge. London: Macmillan (1982), Vol. XXI, 233-<br />
246.<br />
Leijonhufvud, Axel (1968). Keynesian Economics and the Economics of<br />
Keynes. New York: Oxford University Press.<br />
— (1973). Life among the Econ. Western Economic Journal 11, 3<br />
(September).<br />
Morowitz, Harold (1981). Entropy, a New World View by Jeremy Rivkin<br />
and Ted Howland. Discover, January, 83-5.<br />
Mundell, R. A. (Ed.) (1972). Policy Formation in an Open Economy.<br />
Proceedings of the conference at the University of Waterloo.<br />
Waterloo, Ontario: Waterloo Research Institute.<br />
Polanyi, Karl (1944). The Great Transformation: the political and<br />
economic origins of our time. New York: Rinehart & Co. Inc. (and<br />
Boston: Beacon Press, 1957).<br />
Samuelson, Paul A. (1970). Maximum Principles in Analytical Economics.<br />
Nobel Memorial Lecture, Stockholm, 11 December. In Les Prix Nobel<br />
en 1970. Amsterdam and New York: Elsevier.<br />
Shubik, Martin (1970). A Curmudgeon's Guide to Microeconomics.<br />
Journal of Economic Literature 18, 2.<br />
Soros, George (1997). The Capitalist Threat. The Atlantic Monthly,<br />
February, 45-58.<br />
51
Symons, Michael (1987). In Adelaide, the collapse of the free market.<br />
Sydney, NSW: Times on Sunday, 3 May, p. 35.<br />
Tarascio, Vincent J. (1986). The Crisis in Economic Theory: a Sociological<br />
Perspective. Research in the History of Economic Thought and<br />
Methodology 4, 283-95.<br />
Ukai, Yasuharu (1987). Cycles of Isolationism and Foreign Trade—a case<br />
study of Japan. Kansai University Review of Economics and Business<br />
16, 1 (September), 61-74.<br />
Worldwatch Institute (2000). State of the World 2000. New York and<br />
London: W. W. Norton & Co.<br />
52
Math-Econ<br />
The Celebrated Theorem<br />
It is impressive to find three distinguished senior professors at<br />
leading American Universities with grants from NSF and ONR<br />
have published a paper on “Two new proofs of Afriat’s<br />
theorem”. Moreover, from the Abstract, it’s “celebrated”!<br />
A “celebrated theorem”—that’s pretty good! Is Euclid actually<br />
celebrated, or Pythagoras, and how do you celebrate a theorem? Here<br />
we have a go.<br />
I remember Herbert Scarf, one of the three authors, getting me to<br />
give a talk at Cowles in 1964 when I was Visiting Fellow there. I<br />
thank him for the appreciation and attention to the theorem which he<br />
has taught generations of students since then.<br />
Instead of my own paper “The construction of utility functions<br />
from expenditure data”, Cowles Foundation Discussion Paper No.<br />
144 (October 1964) delivered at First World Congress of the<br />
Econometric Society, Rome, September 1965 and published in<br />
International Economic Review, 8 (1) (1967), 67-77, which is of<br />
some length and is in any case provided as an appendix to my book<br />
just now published by Routledge, I reproduce the Introduction of the<br />
“Two new proofs …” paper, Cowles Foundation Discussion Paper<br />
No. 1415 (May 2003) now published in Economic Theory 24, 1 (July<br />
2004), 211-9.<br />
I thank Paul Streeten who was the first to tell me about the “Two<br />
new proofs …”, and Martin Shubik who was the second.
The Tale, and Comment<br />
Ihesitated dealing with this item for its objectionable features. But then<br />
it is itself a further tale where I had particular satisfaction in the<br />
outcome, and in my contributed comment. Hence I have been rough<br />
enough, with the inclusion of due treatment for presumed villains, to want<br />
to include it. I just hope it is not too boring for others.<br />
PS<br />
I included this item on my page, and confess to satisfaction<br />
having it there, but then removed it because my son repeatedly<br />
expressed disapproval at the advertisement of academic<br />
organized crime (experienced by many and no joke), and making a festival<br />
out of it.<br />
But then a visitor came from Rome, with family, to talk about<br />
something. At mention of the removal there came an expression of surprise<br />
and regret, and of euphoric enthusiasm for the piece, on the part of all,<br />
including the assistant who had got left behind in Rome and sent a<br />
message..<br />
I was somewhat—though not altogether—surprised at the change of<br />
atmosphere giving comfort to conscience, and promptly—now without<br />
interference from son—promised restoration, which I have already carried<br />
out as anyone now acessing the Page will notice.<br />
I may as well mention that the visitor, who I never had met before,<br />
became moreover a collaborator, and we are now writing a paper together,<br />
not unrelated to a not entirely dissimilar issue.<br />
I can add—I can only assume it is because of the astronomical “black<br />
hole” treatment—I am invited to contribute (should it be this actual piece?)<br />
to SkyWatcher, magazine of Unione Astrofili Senesi (UAS), also noted<br />
especially for Gastronomy—whose Webmaster, or Webmistress, got me<br />
started with my Home Page.
The Tale of Two Research Communities: The Diffusion of Research on<br />
Productive Efficiency. By Finn R. Førsund, Department of Economics,<br />
University of Oslo, Norway, and Nikias Sarafoglou, Department of<br />
Economics, Mid-Sweden University, Sweden. April 2004.<br />
Abstract. The field of theoretical and applied efficiency analysis is<br />
pursued both by economists and people from operational research and<br />
management science. Each group tends to cite a different paper as the<br />
seminal one. Recent availability of extensive electronically accessible<br />
databases of journal articles makes studies of the diffusion of papers<br />
through citations possible. Research strands inspired by the seminal paper<br />
within economics are identified and followed by citation analysis during<br />
the 20 year period before the operations research paper was published. The<br />
first decade of the operations research paper is studied in a similar way and<br />
emerging differences in diffusion patterns are pointed out. Main factors<br />
influencing citations apart from the quality of the research contribution are<br />
reputation of journal, reputation of author, number of close followers;<br />
colleagues, “cadres of protégés”, Ph.D. students, and extent of network<br />
(“invisible college”). Such factors are revealed by the citing papers. In<br />
spite of increasing cross contacts between economics and operations<br />
research the last decades co-citation analysis reveals a relative constant<br />
tendency to stick to “own camp” references.<br />
(The above is included only for reference in the present document.)<br />
Attachment to the Quaderno starts here.
This paper by Finn R. Førsund and Nikias Sarafoglou is a<br />
development of one presented at the IFORS conference, Athens,<br />
1999, and is to be published in the International Journal of<br />
Production Economics.<br />
Professor Sarafoglou gave a lecture based on it at the University of<br />
Siena, 25 November 2004, at which time he conferred with several<br />
members. Sydney Afriat had communication with him before and was<br />
already familiar with the paper. The paper has been offered for the<br />
Quaderno (Working Paper) series, in conjunction with a Comment<br />
prepared by Afriat.<br />
Comment by Sydney Afriat. At about the time of the lecture I was able to<br />
supply Nikias Sarafoglou with a copy of the 1971 paper of Charles Geiss,<br />
which he had requested but after a lapse of over three decades had proved<br />
hard to find. I added that this key paper and the one of J. Richmond<br />
(1974), both of which are linked to my own of 1971, are without citations<br />
that are due to them in the subsequent literature. I asked that attention be<br />
drawn to these papers, and to the statement that involves them in my book<br />
of 2002 listed below.<br />
Geiss, Charles (1971). Computations of critical efficiencies and the<br />
extension of Farrell’s method in production analysis. Department of<br />
Economics, University of North Carolina at Chapel Hill, mimeograph.<br />
Presented at Summer Meeting of the Econometric Society, Boulder,<br />
Colorado, September.<br />
Richmond, J. (1974). Estimating the efficiency of production. International<br />
Economic Review 15, 515-21.<br />
Afriat, S. N. (1971). Efficiency Estimation of Production Functions.<br />
Presented at Summer Meeting of the Econometric Society, Boulder,<br />
Colorado, September. International Economic Review 13, 3 (October<br />
1972), 568-98.
—— (2002). The Market: equilibrium, stability, mythology. London &<br />
New York: Routledge, 2002. Routledge Frontiers of Political<br />
Economy No. 44. Remark on p. xiv and then Note 4, Historical note<br />
on “Data Envelope Analysis”: Frontier and stochastic-frontier<br />
production functions, pp. 119-22.<br />
The unsuitability of submitting to investigators of citation statistics<br />
two items which each have citation frequency zero then occurred to me.<br />
There must be many such items that do not figure among the ones that get<br />
cited and can be picked up by investigators using the newly available<br />
computer resources.<br />
It therefore seemed reasonable that these two papers should not feature<br />
in the statistical work. But that left the outstanding question: Considering<br />
their demonstrable importance derived from positions of priority on key<br />
issues, why had they not been cited? It occurred to me (with an image from<br />
astronomy) that bright stars had fallen into a black hole so that others could<br />
shine.<br />
In ordinary language, credit that was due to them had been taken by<br />
others. That is certainly true, as will be elaborated—though there can still<br />
be curiosity about the black hole!<br />
At this point I will deal with Geiss, Richmond, Afriat and Farrell (and<br />
then some others) and their relationships, by quoting from the above<br />
mentioned Note 4.<br />
In giving account of the frontier production function to an economics<br />
graduate student class at UNC Chapel Hill, when dealing with the case<br />
where there is imposition of constant-returns, Charles Geiss, a member of<br />
the class, declared that obtaining production efficiences by such means was<br />
another way of representing the method proposed by M. J. Farrell (1957).<br />
That was confirmed, and Geiss (1971) recomputed and extended Farrell’s<br />
results, using the same data. He developed computer programs for carrying<br />
out test of various production models, defined by restrictive properties, and<br />
the corresponding efficiency determinations.
A constant returns function is determined by a single isoquant, and<br />
Farrell dealt with the unit isoquant instead of the function graph. However,<br />
when dealing with the function graph, instead of taking the monotone<br />
convex conical closure—a kind of “envelope”— of the data points,<br />
yielding an equivalent of Farrell, one can just as well drop the conical, or<br />
constant-returns, imposition, to get something different from Farrell, with<br />
which we had started, these procedures being among those proposed in<br />
Afriat (1971). Since the values of a ‘frontier’ function were immediately<br />
given by a linear programming (LP) formula, there was no issue about<br />
computational procedure.<br />
So with reference to Farrell, Afriat and Geiss we have the early history<br />
of the frontier production function, which comprises the main ideas of<br />
what is now called ‘data envelopment analysis’. My entry to the subject<br />
came directly from demand analysis, and Geiss introduced me to Farrell’s<br />
work.<br />
The stochastic-frontier production function is something completely<br />
different, the idea having been proposed by Afriat (1971). Computations<br />
with data were first carried out by J. Richmond (1974).<br />
Credits for first computations, or basic ideas, due to Geiss, Richmond,<br />
or Afriat, have all been given to or claimed by others. After all, we have<br />
been told:<br />
If we should ever encounter a case where a theory is named for the<br />
correct man, it will be noted.<br />
George J. Stigler<br />
The Theory of Price (3rd edition), 1966, p.77<br />
Stigler may have marked, if not just ignorance, a prevalence of ritual<br />
citations by separate individuals that amount to nothing more than<br />
greetings to friends. Such a phenomenon is consistent with “The Tale of<br />
Two Research Communities” and the tendency observed there to “stick to<br />
‘own camp’ references”. But still, he need not have touched a matter as<br />
dreaful as we now have, where collaborating individuals have acted
together to mislead everyone, serving their own interests while damaging<br />
others, and with full awareness about it all.<br />
Førsund and Sarafoglou deal most especially with statistics of citation<br />
occurrences, but they do sometimes deal with citations also for their<br />
absence:<br />
“… the special form of a ... model set up in Banker, Charnes and<br />
Cooper was actually introduced already in Afriat … ”<br />
“But Afriat … also contributed ... [to Farrell’s model]… by<br />
formulating the model with variable returns to scale. This was later<br />
referred to as the BCC model (Banker, Charnes and Cooper, 1984)<br />
by the OR/MS community (without reference to Afriat).”<br />
I suppose the Charnes, Cooper and Rhodes (1978) (CCR model) paper<br />
has a similar significance.<br />
After-conference drinks found Cooper and myself by chance in a<br />
proximity, and Cooper said “Do you mind?”, as if I should know what he<br />
was talking about. I raised my glass slightly and moved attention<br />
elsewhere. 2000 citations later more can be said, and quite likely will be.<br />
At the time of my paper I was puzzled by the interest shown in it. For<br />
want of an appropriate communication environment, or absorption in other<br />
things, I had been not aware, or concerned, that a promising application<br />
field was undergoing expansion. It was promising in financial terms, to be<br />
an abundant provider of well-funded projects. It certainly turned out to be<br />
that, on a great scale. A “scientific revolution” affecting efficiency<br />
measurement has been proclaimed. It was valuable for a consultant to be a<br />
much cited authority, and even better, to be an acknowledged originator<br />
and pioneer of the revolution. For profit, the control of publications, and<br />
with that the control of citations, was important. Hence the seizure of a<br />
journal that had, from that point of view, been in unreliable hands.<br />
Concerning the Journal of Productivity Analysis, the obvious target,<br />
Ali Dogramaci had been founder and first Editor-in-Chief; and I was a<br />
Member of the original Advisory Board. It was taken over (hijacked)<br />
forcibly, that is, without agreement or consultation with the management,<br />
by individuals who must have made a direct approach to the publisher with
appearance of good-faith so they would be accepted without question.<br />
There followed a ‘purge’ or ‘cleansing’ of unwanted elements, in which<br />
the Editor-in-Chief was replaced; and I was ejected from the Advisory<br />
Board. Since I no longer received copies of the journal, I have been unable<br />
to follow what happened thereafter. I always thought that Members of the<br />
Advisory Board of a journal were, ordinarily, fixtures. However, the new<br />
management were serious and determined people, not to be deterred by<br />
custom.<br />
That journal take-over always has in my mind something to do with<br />
the black hole I spoke about.<br />
In contemplation of production efficiency measurement history I go<br />
back to Richmond, and to Charles Geiss, like Richmond an absolute first<br />
for a most important type of computation. Our papers were presented at the<br />
same meeting in 1971. When I left UNC Chapel Hill I thought Geiss was<br />
the only person there who had anything to do with efficiency measurement.<br />
I had not been aware that any Professor shared the interest at all. However,<br />
Geiss, the Student, completely disappeared (into the black hole), and a<br />
Professor emerged as a new shining star (Editor-in-Chief-to-be and black<br />
hole manager) with priority claims belonging properly to Geiss, Richmond<br />
or myself (more specifically, Richmond and myself; Cooper took over<br />
credits due to Geiss and myself in the division of black hole spoils).<br />
.<br />
Attachment to the Quaderno ends here.<br />
The Quaderno consisting of the paper with this attachment should be<br />
available on-line at http://www.econ-pol.unisi.it/quaderni.html.
Finally
Sydney Afriat graduated in Mathematics from<br />
Pembroke College, Cambridge, with a period at<br />
the National Physical Laboratory, Teddington,<br />
during World War II, after which he did a<br />
D.Phil. at Queen’s College, Oxford. Work with Richard<br />
Stone in the Department of Applied Economics,<br />
Cambridge, 1953-56, initiated his activity in Economics.<br />
Following time as Lecturer and Research Fellow in<br />
Mathematics at the Hebrew University, Jerusalem, 1956-<br />
58, the years 1958-62 were in Princeton. He then taught<br />
in Economics and Mathematics at Rice University,<br />
Houston, and was Visiting Fellow in Economics at Yale.<br />
Beside teaching spells at Purdue, North Carolina,<br />
Waterloo and Ottawa, subsequent years include intervals<br />
as Member of the Mathematical Sciences Research<br />
Institute, Berkeley, Visiting Fellow at All Souls College,<br />
Oxford, Izaak Walton Killam Memorial Fellow, Canada,<br />
Academic Visitor at the London School of Economics,<br />
Visiting Fellow at Macquarie University, NSW, Visiting<br />
Professor at the Institute of Social and Economic<br />
Research, Osaka, and Jean Monnet Fellow at the<br />
European University Institute, San Domenico di<br />
Fiesole/Firenze. Most recently he was at Bilkent<br />
University, Ankara, before becoming associated with the<br />
University of Siena. He is author of several books and<br />
many articles to do with Mathematics and Economics,<br />
beside scattered accidentals for computer programmer,<br />
painter, and poet.<br />
112
“… his work is a classic illustration of how much<br />
we learn from new ways of thinking.”<br />
Angus Deaton<br />
Dwight D. Eisenhower Professor<br />
of International Relations<br />
Professor of Economics<br />
Princeton University, USA<br />
“Sydney Afriat belongs to that select group of<br />
economic theorists who have become a legend in<br />
their own times. There is such a thing as “Afriat’s<br />
Theorem”, which has become part of the staple for<br />
students of microeconomic theory. … Moreover, he<br />
may belong to another select group of prose stylists<br />
who are also masters of some aspects of the<br />
mathematical method and its philosophy.”<br />
K. Vela Velupillai<br />
Journal of Economics<br />
March 2004
“… his work is a classic illustration<br />
of how much we learn from new<br />
ways of thinking.”<br />
Angus Deaton<br />
Dwight D. Eisenhower Professor<br />
of International Relations<br />
Professor of Economics<br />
Princeton University, USA<br />
“Sydney Afriat belongs to that select<br />
group of economic theorists who<br />
have become a legend in their own<br />
times. There is such a thing as<br />
“Afriat’s Theorem”, which has<br />
become part of the staple for<br />
students of microeconomic theory…<br />
Moreover, he may belong to another<br />
select group of prose stylists who are<br />
also masters of some aspects of the<br />
mathematical method and its<br />
philosophy.”<br />
K. Vela Velupillai<br />
Journal of Economics<br />
March 2004<br />
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