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The 10 Principles of Open Business Building success in
today s open economy 1st Edition David Cushman Digital
Instant Download
Author(s): David Cushman, Jamie Burke (auth.)
ISBN(s): 9781349467235, 1349467235
Edition: 1
File Details: PDF, 1.11 MB
Year: 2014
Language: english
 The 10 Principles of Open Business

9781137347039_01_prexii.indd i 08-01-2014 18:12:02

This page intentionally left blank
 s
y’
da
to
y in
om ess
on cc
ec su
en ing
op ild
The 10 Principles of Bu

Open Business
By
David Cushman
with
Jamie Burke

9781137347039_01_prexii.indd iii 08-01-2014 18:12:04

 © David Cushman and Jamie Burke 2014
Foreword © Matt Atkinson 2014
Softcover reprint of the hardcover 1st edition 2014 978-1-137-34703-9

All rights reserved. No reproduction, copy or transmission of this publication

may be made without written permission.
No portion of this publication may be reproduced, copied or transmitted
save with written permission or in accordance with the provisions of the
Copyright, Designs and Patents Act 1988, or under the terms of any licence
permitting limited copying issued by the Copyright Licensing Agency, Saffron
House, 6–10 Kirby Street, London EC1N 8TS.
Any person who does any unauthorized act in relation to this publication
may be liable to criminal prosecution and civil claims for damages.
The authors have asserted their rights to be identified as the authors of this
work in accordance with the Copyright, Designs and Patents Act 1988.
First published 2014 by
PALGRAVE MACMILLAN
Palgrave Macmillan in the UK is an imprint of Macmillan Publishers Limited,
registered in England, company number 785998, of Houndmills,
Basingstoke, Hampshire RG21 6XS.
Palgrave Macmillan in the US is a division of St Martin’s Press LLC,
175 Fifth Avenue, New York, NY 10010.
Palgrave Macmillan is the global academic imprint of the above companies
and has companies and representatives throughout the world.
Palgrave® and Macmillan® are registered trademarks in the United States,
the United Kingdom, Europe and other countries.
ISBN 978-1-349-46723-5 ISBN 978-1-137-34704-6 (eBook)
DOI 10.1057/9781137347046

This book is printed on paper suitable for recycling and made from fully
managed and sustained forest sources. Logging, pulping and manufacturing
processes are expected to conform to the environmental regulations of the
country of origin.
A catalogue record for this book is available from the British Library.
A catalog record for this book is available from the Library of Congress.

Typeset by MPS Limited, Chennai, India.

9781137347039_01_prexii.indd iv 08-01-2014 18:12:05

 For Suzanne and Freya

9781137347039_01_prexii.indd v 08-01-2014 18:12:06

This page intentionally left blank
 Contents

List of Figures and Tables ix

Foreword x
Acknowledgments xii

Introduction: Starting from a Different Place 1

Introduction: Defining
Open Business – and Its Benefits 5

Introduction: Tesco PLC – an Open Business 10

1 Purpose 24

2 Open Capital 44

3 Networked Organization 64

4 Shareability 75

5 Connectedness 90

6 Open Innovation 106

7 Open Data 135

8 Transparency 168
i
vi

9781137347039_01_prexii.indd vii 08-01-2014 18:12:06

 ii
vi Contents

9 Member Led/Customer Led 186

10 Trust 207

Summary 222

Index 227

9781137347039_01_prexii.indd viii 08-01-2014 18:12:06

 List of Figures and Tables

Figure

1 Co-IP: Sharing risk, reward, effort, and

rights. Illustration by Jamie Burke and Steffen Hück 110

Table

1 The 10 Principles and your first steps for each 223

ix

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 Foreword

Right time, right book. There is no doubt that the world is in transition.
Technology, customers, and economics are driving that change. At the
center of that change is the demand from customers, for transparency,
trust, and collaboration. The connected nature of these technologies,
and the shift in power to customers is creating new businesses and new
business models.

These demands will not cease, and why should they? The question is how
businesses react to these changes, resist or embrace, control or collaborate.
I would argue that there has never been a more important time for
businesses to open up and partner with all. By ‘all’ I mean, businesses
will find new partnerships with other businesses, create new services in
collaboration with customers, and share their assets in a way that creates
new innovation.

Open networks are more collaborative, more creative, and more

generative. David’s book sets out an important action plan, a set of
components that any business should consider if it is to make the most of
what is a very exciting revolution in business. Perhaps by embracing the
principles of Open Business, we can all create a more sustainable model
for growth, something the world really needs.

It’s clear that this disruption will lead to new models for business growth.
That’s exciting, but also challenges much of what defined business in the
last decade. This book is an exciting rallying cry for the future business;
one that is a productive collaboration between customers and the
x

9781137347039_01_prexii.indd x 08-01-2014 18:12:06

 Foreword

xi
businesses which seek to earn their loyalty. Many of us are on that road to
the future already. I would urge you to read and act.

Matt Atkinson
Chief Marketing Officer
Tesco PLC

9781137347039_01_prexii.indd xi 08-01-2014 18:12:06

 Acknowledgments

With sincere thanks to: Sarah Du Heame and Jeremy Hicks, Steffen
Hück, Jason Fashade, Ilkut Terzioglu, Lidia Miras Martinez, Kevin
Hanney, Marc God, Franz Patzig, Stephan Junghanns, Dinis Guarda,
Gianluigi Cuccureddu, Francesco Cuccureddu, Ruben Miras Martinez,
Elise Vermersch, Andrea Colaianni, Michael Litman, Sophie Warren, Giulio
Vaiuso and everyone else who worked with 90:10 Group (for sharing our
purpose).

Luis Suarez (the IBM one, not the football one …), Rebecca Caroe, Euan
Semple, Ted Shelton, Mark Adams, Lee Bryant, Tomi Ahonen, Jonathan
MacDonald, Chris Thorpe, Sandrine Desbarbieux, Roland Harwood, Ollie
Worsfold, Paul Askew, Gregory Lent, Jon Williams, Stephen Waddington,
Violetta Ihalainen, Professor Malcolm McDonald, the team at The Social
Partners and at Grey London and everyone who joined in the journey as
clients, challengers, or supporters – for opening doors.

Finally, thank you to the team at Palgrave Macmillan and in particular to

Eleanor Davey-Corrigan, Anna Keville, Briar Towers, Jamie Forrest, and
Tamsine O’Riordan for their enthusiasm, belief, and encouragement.
i
xi

9781137347039_01_prexii.indd xii 08-01-2014 18:12:06

 Introduction: Starting from a
Different Place

If you were starting out in business today, would you recreate your
business along traditional lines?

Knowing what we now know about how new technologies have disrupted
traditional business processes (from marketing to customer service, from
raising capital to delivering innovation) would you choose to rebuild it as
you find it around you?

If you’re not quite sure how to answer that, JP Rangaswami – accidental

economist, turned accidental technologist – has a straightforward and
stark answer for you: “Trying to create an industrial era firm in a network
age is plain, blind, stupidity.”

Which is all very well. But what to do about it?

The 10 Principles of Open Business laid out in the chapters that follow are
intended to be a serious, challenging, wide-ranging but ultimately practical
guide to how your organization can reconfigure itself for the 21st century.

This is organizational design which takes account of the world as it

actually is, rather than as it once was; that is – the world in which we now
find ourselves.

The Principles are founded on hands-on experience built on the facts

of today’s economy – one which demands ever greater connectedness,
1

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 The 10 Principles of Open Business
2

openness, and meaning from the relationships organizations have with

their stakeholders.

Through the 10 Principles of Open Business we will define how businesses

and other institutions must adapt to both survive and thrive. We provide
a simple and practical way to assess your own organization and offer hard-
won expertise from practitioners to help you take the first steps toward
becoming an Open Business, providing case studies and interviews with
leading proponents along the way.

Massive change is ripping through our world. You will have noticed. The
web changes the business of organization, and the organization of business.

You will have noticed that old media isn’t what it was. A Pew survey at
the end of 2010 found the number of people getting their news online
had surpassed newspapers for the first time. In Britain, Twitter is now
read by more people each morning than the total circulation of all of the
nation’s daily newspapers. YouTube attracts greater viewing figures, and
for longer, than anything mainstream broadcast can produce.

You will have noticed massive new companies mushrooming out of virtually
nothing, while seemingly immutable giants crumble and fall. Kodak’s
demise in the same week of April 2012 that Instagram (a photo app for
your smartphone) was sold to Facebook for $1bn offers an ironic illustration.

You will have noticed that trust in politicians and policemen, in banks
and in brands, has tumbled. No organization has any sustainable future
without trust.

The 10 Principles acknowledge the epoch-making shift happening

around us and deliver a way in which its impact needs no longer be dealt
with on an issue-by-issue basis. Reactive piecemeal tactics in too many
organizations have created a permanent state of panic-ridden catch-up for
many, in which learnings are lost in silos and failures swept under carpets.

The 10 Principles of Open Business offer an holistic strategic solution,

leap-frogging the tick-box exercise of simple implementation of social
technologies. They make organizations future-ready like never before.

9781137347039_02_intro01.indd 2 08-01-2014 17:25:28

 Introduction: Starting from a Different Place

3
Why is this important and why now?

Many of the greatest success stories of the 21st century are built on
multiple Open Business principles: Google, Apple, and Amazon among
the more famous. Many of its biggest failures aren’t and won’t be.

According to IBM’s CEO survey in May 2012, companies that outperform

their sector are 30% more likely to identify “Openness” as a key factor
in their success, with particular benefits for collaboration and innovation.
Companies are 50% more likely to outperform their rivals and grow
sustainable profit following this approach, according to McKinsey.

Businesses unwilling to respond face increasing

disruption and competition

Businesses starting today build on the 10 Principles from the word go.
They do so because the principles are self-evident to those growing up in
our networked world. They know they are simply the most effective way
of taking greatest advantage of the world as it exists today. This places
them at significant competitive advantage over those who are not seeking
to apply the principles for legacy or other reasons.
If Open is the new normal – as UK Deputy Prime Minister Nick Clegg
stated at the 2013 G8 summit in London – then so is disruption.

Theory from practice

Your author and his Open Business partner learnt from doing.

Long, hard experience in media, advertising, PR, social media, and

business led us to a shared belief in Open Business as the natural next step
in, and best fit with, an ever more connected and collaborative world.
We understood that there was much more than Facebook Likes and
Twitter Followers to be acquired from the fact that we had all become

9781137347039_02_intro01.indd 3 08-01-2014 17:25:28

 The 10 Principles of Open Business
4

publishers, marketers, participants (and would-be partners) in making the

things that matter most to us.

That is what led us to founding 90:10 Group – a consultancy built to

inspire Open Business. In a little over three years we grew to more than
50 employees in eight countries with revenues of £3.5m. We did it,
developing the market, the products, and the skills as we went, in the
toughest economic climate since World War II.

In those three short years, with a diverse array of often brave and wise
clients, including Honda Europe, First Capital Connect, Bupa, Carlson
Wagonlit, Citrix, Tesco, MasterCard Europe, Visit Britain, The Guardian,
Microsoft Advertising, City & Guilds, France Televisions, AgeUK, and
more, we pushed boundaries, challenged orthodoxies, and continuously
reinvented approaches.

And at the end of the journey we arrived at the 10 Principles.

In the spirit of Open Business they are now yours to use. We urge you to
create value for all with them.

Don’t wait a single moment …

9781137347039_02_intro01.indd 4 08-01-2014 17:25:28

 Introduction: Defining Open
Business – and Its Benefits

An Open Business is one which uses its available resources to discover

people who care about the same Purpose it does, brings those people
together, and joins with them to achieve that Purpose.

It is designed from the outset to scale through participation. It makes

partners of customers.

Open Businesses think of themselves as platforms to deliver a shared

purpose – one which inspires and drives those inside the organization
while attracting and enabling crowds of supporters outside. In so doing
they access a wealth of resource that closed businesses have put up
barriers to.

They are Purpose-led, platform-thinking organizations.

By bringing together people to surface their concerns, and working with

them to support them in resolving the things that matter to them, they
are able to create products and services which are a better fit with the real
needs of those for whom they are intended.

You may have heard the term “social business” referenced. Many technology
vendors point to it as the application of social technologies within the
organization. Some think a little more grandly about it, as genuinely
transformative.

There’s little wrong with social business and much that is good. But we
find it rarely inspires business leaders. Few CEOs will feel comfortable with
5

9781137347039_03_intro02.indd 5 08-01-2014 17:27:00

 The 10 Principles of Open Business
6

the thought of turning their business into a social one. The term creates
unhelpful left-leaning mental blocks.

But which CEO doesn’t want to put the customer at the heart of what
they do and drive more innovation?

Opening up to customers and stakeholders and their networks of peers,

and their thoughts, and their creative energy, and their passion, and their
time, offers an opportunity for something more sensibly owned by the
senior team than the IT department.

So what are the differences between Social and Open Business?

Here are three, each of which is critical in transforming the way you do
business: tools vs behaviors; messages vs products; customers vs partners.

1 Social is about the tools – Open about behaviors:

Often social business conversations focus on implementing software.

Open Business urges you to think behaviors first. What are people
doing, what can and will they do? If you are starting with tools you are
likely starting in the wrong place.

2 Social is more about messages – Open is more about production:

Open Business urges you to consider ways of making things with the
people for whom they are intended; for the best possible fit with real
need; for efficiency; for results people care about. Messages are an
outcome of this process – not its purpose. Talk “social” and all roads will
lead you back to messages.

3 Social is customer-centric – Open makes partners of customers:

Stop thinking about customers. Customers are people you intend to do

things to. Open Business urges you to think about the long-suffering
customer as a partner to work with, instead. It pushes those people
deep into the production process – right to the start, to join with and
be supported by the organization in delivering the things all parties
want – all partners want.

9781137347039_03_intro02.indd 6 08-01-2014 17:27:01

 Introduction: Defining Open Business – and Its Benefits

7
To become an Open Business is not as easy as starting as one.

The new competitors for established business – and those who are yet to
emerge – will find it easier to scale, react to, and meet customer need as a
result of launching with the 10 Principles as their start point.

But by following the 10 Principles leaders of established businesses have

the opportunity to reconfigure their organizations to take on their new
competitors, with the same advantages as the new would seek to turn
against the old.

The 10 Principles considered in depth in the following chapters are:

1 Purpose:

Purpose is the why, it is the belief which all your stakeholders share
and to which all your organization’s actions are aligned. Your products/
services are proof of that shared purpose.

2 Open Capital:

Using crowd-funding platforms or principles to raise capital through

micro-investments.

3 Networked organization:

The organization functions as a platform connecting internal networks

to the external for a common purpose.

4 Shareability:

Packaging knowledge for easy and open internal and external sharing.

5 Connectedness

Connecting all employees to one another and externally through open

social media.

6 Open Innovation:

Innovating with partners, and sharing risk and reward in the develop-
ment of products, services, and marketing.

9781137347039_03_intro02.indd 7 08-01-2014 17:27:01

 The 10 Principles of Open Business
8

7 Open Data:

Making your data freely available to those outside your organization

who can make best use of it.

8 Transparency:

Decisions, and the criteria on which they are based, are shared
openly.

9 Member/Partner-led:

Your organization is structured around the formal co-operation of

employees, customers, and partners for their mutual social, economic,
and cultural benefit.

10 Trust:

Mutually assured reliance on the character, ability, strength, or truth of

the partnership.

In each chapter we define and describe one principle and set a “goal
state” and “worst case” scenario. We also provide practical first steps
you can take to move your organization toward the goal state for that
principle.

Taken together you will be on firm foundations for becoming an Open

Business with all the benefits that delivers, including:
A greater sense of doing business that benefits the society in which you
operate
More attraction and retention of the right talent and customers
Better market and customer knowledge
Better fit with customer need
Accelerated and more successful innovation
Evidence-based decision-making
New access to capital
More effective knowledge management

9781137347039_03_intro02.indd 8 08-01-2014 17:27:01

 Introduction: Defining Open Business – and Its Benefits

9
Improved internal and external collaboration and idea generation
Lower (distributed) risk through networks of partners
A greater sense of customer and employee “ownership” through the
democratization of business
Raised levels of trust – and the customer and employee loyalty and
satisfaction which derives from this.

9781137347039_03_intro02.indd 9 08-01-2014 17:27:01

Another Random Scribd Document
with Unrelated Content
The Project Gutenberg eBook of The works of
Francis Maitland Balfour, Volume 1 (of 4)
This ebook is for the use of anyone anywhere in the United States
and most other parts of the world at no cost and with almost no
restrictions whatsoever. You may copy it, give it away or re-use it
under the terms of the Project Gutenberg License included with this
ebook or online at www.gutenberg.org. If you are not located in the
United States, you will have to check the laws of the country where
you are located before using this eBook.

Title: The works of Francis Maitland Balfour, Volume 1 (of 4)

Separate memoirs

Author: Francis M. Balfour

Editor: Sir M. Foster

Adam Sedgwick

Release date: November 12, 2012 [eBook #41357]

Most recently updated: October 23, 2024

Language: English

Credits: Produced by Bryan Ness, Carol Brown, and the Online

Distributed Proofreading Team at http://www.pgdp.net
(This
file was produced from images generously made available
by The Internet Archive/Canadian Libraries)

*** START OF THE PROJECT GUTENBERG EBOOK THE WORKS OF

FRANCIS MAITLAND BALFOUR, VOLUME 1 (OF 4) ***
 Transcriber's note:
This book contains many abbreviations.
Abbreviations of words have been expanded using
the title attribute; screenreader users may wish to
set their computer to read only the title attribute.
Abbreviations used to identify parts of illustrations
are spelled out.

THE WORKS
OF

FRANCIS MAITLAND
BALFOUR.
VOL. I.
Memorial Edition.

Cambridge:
PRINTED BY C. J. CLAY, M.A. AND SON,
AT THE UNIVERSITY PRESS.

Memorial Edition.

THE WORKS
OF
 FRANCIS MAITLAND
BALFOUR.
M.A., LL.D., F.R.S.,
FELLOW OF TRINITY COLLEGE,
AND PROFESSOR OF ANIMAL MORPHOLOGY IN THE UNIVERSITY OF
CAMBRIDGE.

EDITED BY

M. FOSTER, F.R.S.,
PROFESSOR OF PHYSIOLOGY IN THE UNIVERSITY OF CAMBRIDGE;

AND

ADAM SEDGWICK, M.A.,

FELLOW AND LECTURER OF TRINITY COLLEGE, CAMBRIDGE.

VOL. I.
SEPARATE MEMOIRS.
 London:
MACMILLAN AND CO.
1885

[The Right of Translation is reserved.]

PREFACE.

Upon the death of Francis Maitland Balfour, a desire very naturally

arose among his friends and admirers to provide some memorial of
him. And, at a public meeting held at Cambridge in October 1882,
the Vice-Chancellor presiding, and many distinguished men of
science being present, it was decided to establish a 'Balfour Fund'
the proceeds of which should be applied: firstly to maintain a
studentship, the holder of which should devote himself to original
research in Biology, especially in Animal Morphology, and secondly,
'by occasional grants of money, to further in other ways original
research in the same subject'. The sum of £8446 was subsequently
raised; this was, under certain conditions, entrusted to and accepted
by the University of Cambridge; and the first 'Balfour student' was
appointed in October 1883.
The publication of Balfour's works in a collected form was not
proposed as an object on which part of the fund should be
expended, since his family had expressed their wish to take upon
themselves the charge of arranging for a memorial edition of their
brother's scientific writings. That edition, with no more delay than
circumstances have rendered necessary, is now laid before the
public. It comprises four volumes.
The first volume contains, in chronological order, all Balfour's
scattered original papers, including those published by him in
conjunction with his pupils, as well as the Monograph on the
Elasmobranch Fishes. The last memoir in the volume, that on the
Anatomy and Development of Peripatus Capensis, was published
after his death, from his notes and drawings, with additions by Prof.
Moseley and Mr Adam Sedgwick, who prepared the manuscript for
publication. To the volume is prefixed an introductory biographical
notice.
The second and third volumes are the two volumes of the
Comparative Embryology reprinted from the original edition without
alteration, save the correction of obvious misprints and omissions.
The fourth volume contains the plates illustrating the memoirs
contained in Vol. 1. We believe that we are consulting the
convenience of readers in adopting this plan, rather than in
distributing the plates among the memoirs to which they belong. To
assist the reader the explanations of these plates have been given
twice: at the end of the memoir to which they belong (in the case of
the Monograph on Elasmobranch Fishes at the end of each separate
chapter), and in the volume of plates.
All the figures of these plates had to be redrawn on the stone, and
our best thanks are due to the Cambridge Scientific Instrument
Company for the pains which they have taken in executing this work.
We are also indebted to the Committee of Publication of the
Zoological Society for the gift of electrotypes of the woodcuts
illustrating memoir no. XX. of Vol. 1.
Several photographs of Balfour, taken at different times of his life,
the last shortly before his death, are in the possession of his
relatives and friends; but these, in the opinion of many, leave much
to be desired.
There is also a portrait of him in oils painted since his death by Mr
John Collier, A.R.A., and Herr Hildebrand of Florence has executed a
posthumous bust in bronze[1]. The portrait which forms the
frontispiece of Vol. 1. has been drawn on stone by Mr E. Wilson of
the Cambridge Scientific Instrument Company, after the latest
photograph. Should it fail, in the eyes of those who knew Balfour
well, to have reproduced with complete success his features and
expression, we would venture to ask them to bear in mind the
acknowledged difficulties of posthumous portraiture.

[1] In possession of the family. Copies also exist in the Library of

Trinity College, and in the Morphological Laboratory, at Cambridge.

TABLE OF CONTENTS.
PAGE
Preface i
Introduction 1
1872
I. On some points in the Geology of the East Lothian
Coast. By G. W. and F. M. Balfour 25
1873
II. The development and growth of the layers of the
blastoderm. With Plate 1 29
III. On the disappearance of the Primitive Groove in the
Embryo Chick. With Plate 1 41
IV. The development of the blood-vessels of the Chick.
With Plate 2 47
1874
 V. A preliminary account of the development of the
Elasmobranch Fishes. With Plates 3 and 4 60
1875
VI. A comparison of the early stages in the
development of Vertebrates. With Plate 5 112
VII. On the origin and history of the urinogenital organs
of Vertebrates 135
VIII. On the development of the spinal nerves in
Elasmobranch Fishes. With Plates 22 and 23 168
1876
IX. On the spinal nerves of Amphioxus 197
1876-78
X. A Monograph on the development of Elasmobranch
Fishes. With Plates 6-21 203
1878
XI. On the phenomena accompanying the maturation
and impregnation of the ovum 521
XII. On the structure and development of the vertebrate
ovary. With Plates 24, 25, 26 549
1879
XIII. On the existence of a Head-kidney in the Embryo
Chick, and on certain points in the development of
the Müllerian duct. By F. M. Balfour and A. Sedgwick.
With Plates 27 and 28 618
XIV. On the early development of the Lacertilia, together
with some observations on the nature and relations
of the primitive Streak. With Plate 29 644
 XV. On certain points in the Anatomy of Peripatus
Capensis 657
XVI. On the morphology and systematic position of the
Spongida 661
1880
XVII. Notes on the development of the Araneina. With
Plates 30, 31, 32 668
XVIII. On the spinal nerves of Amphioxus 696
XIX. Address to the Department of Anatomy and
Physiology of the British Association for the
Advancement of Science 698
1881
XX. On the development of the skeleton of the paired
fins of Elasmobranchii, considered in relation to its
bearings on the nature of the limbs of the
Vertebrata. With Plate 33 714
XXI. On the evolution of the Placenta, and on the
possibility of employing the characters of the
Placenta in the classification of the Mammalia 734
1882
XXII. On the structure and development of Lepidosteus.
By F. M. Balfour and W. N. Parker. With Plates 34-42 738
XXIII. On the nature of the organ in Adult Teleosteans and
Ganoids which is usually regarded as the Head-
kidney or Pronephros 848
XXIV. A renewed study of the germinal layers of the Chick.
By F. M. Balfour and F. Deighton. With Plates 43, 44,
45 854
Posthumous, 1883
 XXV. The Anatomy and Development of Peripatus
Capensis. Edited by H. N. Moseley and A. Sedgwick.
With Plates 46-53 871

Francis Maitland Balfour, the sixth child and third son of James
Maitland Balfour of Whittinghame, East Lothian, and Lady Blanche,
daughter of the second Marquis of Salisbury, was born at Edinburgh,
during a temporary stay of his parents there, on the 10th November,
1851. He can hardly be said to have known his father, who died of
consumption in 1856, at the early age of thirty-six, and who spent
the greater part of the last two years of his life at Madeira,
separated from the younger children who remained at home. He
fancied at one time that he had inherited his father's constitution;
and this idea seems to have spurred him on to achieve early what he
had to do. But, though there was a period soon after he went to
College, during which he seemed delicate, and the state of his
health caused considerable anxiety to his friends, he eventually
became fairly robust, and that in spite of labours which greatly taxed
his strength.
The early years of his life were spent chiefly at Whittinghame under
the loving care of his mother. She made it a point to attempt to
cultivate in all her children some taste for natural science, especially
for natural history, and in this she was greatly helped by the boys'
tutor, Mr J. W. Kitto. They were encouraged to make collections and
to form a museum, and the fossils found in the gravel spread in front
of the house served as the nucleus of a geological series. Frank soon
became greatly interested in these things, and indeed they may be
said to have formed the beginnings of his scientific career. At all
events there was thus awakened in him a love for geology, which
science continued to be his favorite study all through his boyhood,
and interested him to the last. He was most assiduous in searching
for fossils in the gravel and elsewhere, and so great was his love for
his collections that while as yet quite a little boy the most delightful
birthday present he could think of was a box with trays and divisions
to hold his fossils and specimens. His mother, thinking that his
fondness for fossils was a passing fancy and that he might soon
regret the purchase of the box, purposely delayed the present. But
he remained constant to his wish and in time received his box. He
must at this time have been about seven or eight years old. In the
children's museum, which has been preserved, there are specimens
labelled with his childish round-hand, such as a piece of stone with
the label “marks of some shels;” and his sister Alice, who was at that
time his chief companion, remembers discussing with him one day
after the nursery dinner, when he was about nine years old, whether
it were better to be a geologist or a naturalist, he deciding for the
former on the ground that it was better to do one thing thoroughly
than to attempt many branches of science and do them imperfectly.
Besides fossils, he collected not only butterflies, as do most boys at
some time or other, but also birds; and he with his sister Alice, being
instructed in the art of preparing and preserving skins, succeeded in
making a very considerable collection. He thus acquired before long
not only a very large but a very exact knowledge of British birds.
In the more ordinary work of the school-room he was somewhat
backward. This may have been partly due to the great difficulty he
had in learning to write, for he was not only left-handed but, in his
early years, singularly inapt in acquiring particular muscular
movements, learning to dance being a great trouble to him. Probably
however the chief reason was that he failed to find any interest in
the ordinary school studies. He fancied that the family thought him
stupid, but this does not appear to have been the case.
In character he was at this time quick tempered, sometimes even
violent, and the energy which he shewed in after life even thus early
manifested itself as perseverance, which, when he was crossed,
often took on the form of obstinacy, causing at times no little trouble
to his nurses and tutors. But he was at the same time warm-hearted
and affectionate; full of strong impulses, he disliked heartily and
loved much, and in his affections was wonderfully unselfish, wholly
forgetting himself in his thought for others, and ready to do things
which he disliked to please those whom he loved. Though, as we
have said, somewhat clumsy, he was nevertheless active and
courageous; in learning to ride he shewed no signs of fear, and
boldly put his pony to every jump which was practicable.
In 1861 he was sent to the Rev. C. G. Chittenden's preparatory
school at Hoddesden in Hertfordshire, and here the qualities which
had been already visible at home became still more obvious. He
found difficulty not only in writing but also in spelling, and in the
ordinary school-work he took but little interest and made but little
progress.
In 1865 he was moved to Harrow and placed in the house of the
Rev. F. Rendall. Here, as at Hoddesden, he did not show any great
ability in the ordinary school studies, though as he grew older his
progress became more marked. But happily he found at Harrow an
opportunity for cultivating that love of scientific studies which was
yearly growing stronger in him. Under the care of one of the
Masters, Mr G. Griffith, the boys at Harrow were even then taught
the elements of natural science. The lessons were at that time, so to
speak, extra-academical, carried on out of school hours;
nevertheless, many of the boys worked at them with diligence and
even enthusiasm, and among these Balfour became conspicuous,
not only by his zeal but by his ability. Griffith was soon able to
recognize the power of his new pupil, and thus early began to see
that the pale, earnest, somewhat clumsy-handed lad, though he
gave no promise of being a scholar in the narrower sense of the
word, had in him the makings of a man of science. Griffith chiefly
confined his teaching to elementary physics and chemistry with
some little geology, but he also encouraged natural history studies
and began the formation of a museum of comparative anatomy.
Balfour soon began to be very zealous in dissecting animals, and
was especially delighted when the Rev. A. C. Eaton, the well-known
entomologist, on a visit to Harrow, initiated Griffith's pupils in the art
of dissecting under water. The dissection of a caterpillar in this way
was probably an epoch in Balfour's life. Up to that time his rough
examination of such bodies had revealed to him nothing more than
what in school-boy language he spoke of as “squash;” but when
under Eaton's deft hands the intricate organs of the larval Arthropod
floated out under water and displayed themselves as a labyrinth of
threads and sheets of silvery whiteness a new world of observation
opened itself up to Balfour, and we may probably date from this the
beginning of his exact morphological knowledge.
While thus learning the art of observing, he was at the same time
developing his power of thinking. He was by nature fond of
argument, and defended with earnestness any opinions which he
had been led to adopt. He was very active in the Harrow Scientific
Society, reading papers, taking part in the discussions, and exhibiting
specimens. He gained in 1867 a prize for an essay on coal, and
when, in 1868, Mr Leaf offered a prize (a microscope) “for the best
account of some locality visited by the writer during the Easter
Holidays,” two essays sent in, one by Balfour, the other by his close
friend, Mr Arthur Evans, since well known for his researches in
Illyria, were found to be of such unusual merit that Prof. Huxley was
specially requested to adjudicate between them. He judged them to
be of equal merit, and a prize was given to each. The subject of
Balfour's essay was “The Geology and Natural History of East
Lothian.” When biological subjects were discussed at the Scientific
Society, Balfour appears to have spoken as a most uncompromising
opponent of the views of Mr Charles Darwin, little thinking that in
after life his chief work would be to develop and illustrate the
doctrine of evolution.
The years at Harrow passed quickly away, Balfour making fair, but
perhaps not more than fair, progress in the ordinary school learning.
In due course however he reached the upper sixth form, and in his
last year, became a monitor. At the same time his exact scientific
knowledge was rapidly increasing. Geology still continued to be his
favorite study, and in this he made no mean progress. During his last
years at Harrow he and his brother Gerald worked out together
some views concerning the geology of their native county. These
views they ultimately embodied in a paper, which was published in
their joint names in the Geological Magazine for 1872, under the title
of “Some Points in the Geology of the East Lothian Coast,” and which
was in itself a work of considerable promise. Geology however was
beginning to find a rival in natural history. Much of his holiday time
was now spent in dredging for marine animals along the coast off
Dunbar. Each specimen thus obtained was carefully determined and
exact records were kept of the various 'finds,' so that the dredgings
(which were zealously continued after he had left Harrow and gone
to Cambridge) really constituted a serious study of the fauna of this
part of the coast. They also enabled him to make a not
inconsiderable collection of shells, in the arrangement of which he
was assisted by his sister Evelyn, of crustacea and of other animals.
Both to the masters and to his schoolfellows he became known as a
boy of great force of character. Among the latter his scrupulous and
unwavering conscientiousness made him less popular perhaps than
might have been expected from his bright kindly manner and his
unselfish warmheartedness. In the incidents of school life a too strict
conscience is often an inconvenience, and the sternness and energy
with which Balfour denounced acts of meanness and falsehood were
thought by some to be unnecessarily great. He thus came to be
feared rather than liked by many, and comparatively few grew to be
sufficiently intimate with him to appreciate the warmth of his
affections and the charm of his playful moments.
At the Easter of 1870 he passed the entrance examination at Trinity
College, Cambridge, and entered into residence in the following
October. His college tutor was Mr J. Prior, but he was from the first
assisted and guided in his studies by his friend, Mr Marlborough
Pryor, an old Harrow boy, who in the same October had been, on
account of his distinction in Natural Science, elected a Fellow of the
College, in accordance with certain new regulations which then came
into action for the first time, and which provided that every three
years one of the College Fellowships should be awarded for
excellence in some branch or branches of Natural Science, as
distinguished from mathematics, pure or mixed. During the whole of
that year and part of the next Mr Marlborough Pryor remained in
residence, and his influence in wisely directing Balfour's studies had
a most beneficial effect on the latter's progress.
During his first term Balfour was occupied in preparation for the
Previous Examination; and this he successfully passed at Christmas.
After that he devoted himself entirely to Natural Science, attending
lectures on several branches. During the Lent term he was a very
diligent hearer of the lectures on Physiology which I was then giving
as Trinity Prælector, having been appointed to that post in the same
October that Balfour came into residence. At this time he was not
very strong, and I remember very well noticing among my scanty
audience, a pale retiring student, whose mind seemed at times
divided between a desire to hear the lecture and a feeling that his
frequent coughing was growing an annoyance to myself and the
class. This delicate-looking student, I soon learnt, was named
Balfour, and when the Rev. Coutts Trotter, Mr Pryor and myself came
to examine the candidates for the Natural Science Scholarships
which were awarded at Easter, we had no difficulty in giving the first
place to him. In point of knowledge, and especially in the
thoughtfulness and exactitude displayed in his papers and work, he
was very clearly ahead of his competitors.
During the succeeding Easter term and the following winter he
appears to have studied physics, chemistry, geology and
comparative anatomy, both under Mr Marlborough Pryor and by
means of lectures. He also continued to attend my lectures, but
though I gradually got to know him more and more we did not
become intimate until the Lent term of 1872. He had been very
much interested in some lectures on embryology which I had given,
and, since Marlborough Pryor had left or was about to leave
Cambridge, he soon began to consult me a good deal about his
studies. He commenced practical histological and embryological work
under me, and I remember very vividly that one day when we were
making a little excursion in search of nests and eggs of the
stickleback in order that he might study the embryology of fishes, he
definitely asked my opinion as to whether he might take up a
scientific career with a fair chance of success. I had by this time
formed a very high opinion of his abilities, and learning then for the
first time that he had an income independent of his own exertions,
my answer was very decidedly a positive one. Soon after, feeling
more and more impressed with his power and increasingly satisfied
both with his progress in biological studies and his sound general
knowledge of other sciences, anxious also, it may be, at the same
time that as much original inquiry as possible should be carried on at
Cambridge in my department, I either suggested to him or
acquiesced in his own suggestion that he should at once set to work
on some distinct research; and as far as I remember the task which
I first proposed to him was an investigation of the layers of the
blastoderm in the chick. It must have been about the same time that
I proposed to him to join me in preparing for publication a small
work on Embryology, the materials for this I had ready to hand in a
rough form as lectures which I had previously given. To this proposal
he enthusiastically assented, and while the lighter task of writing
what was to be written fell to me, he undertook to work over as far
as was possible the many undetermined points and unsatisfactory
statements across which we were continually coming.
During his two years at College his health had improved; though still
hardly robust and always in danger of overworking himself, he
obviously grew stronger. He rejoiced exceedingly in his work, never
tiring of it, and was also making his worth felt among his fellow
students, and especially perhaps among those of his own college
whose studies did not lie in the same direction as his own. At this
time he must have been altogether happy, but a sorrow now came
upon him. His mother, to whom he was passionately attached, and
to whose judicious care in his early days not only the right
development of his strong character but even his scientific leanings
were due, had for some time past been failing in health, though her
condition caused no immediate alarm. In May 1872, however, she
died quite suddenly from unsuspected heart disease. Her loss was a
great blow to him, and for some time afterward I feared his health
would give way; but he bore his grief quietly and manfully and threw
himself with even increased vigour into his work.
During the academic session of 1872-3, he continued steadily at
work at his investigations, and soon began to make rapid progress.
At the beginning he had complained to me about what he
considered his natural clumsiness, and expressed a fear that he
should never be able to make satisfactory microscopic sections; as to
his being able to make drawings of his dissections and microscopical
preparations, he looked upon that at first as wholly impossible. I
need hardly say that in time he acquired great skill in the details of
microscopical technique, and that his drawings, if wanting in so-
called artistic finish, were always singularly true and instructive.
While thus struggling with the details which I could teach him, he
soon began to manifest qualities which no teacher could give him. I
remember calling his attention to Dursy's paper on the Primitive
Streak, and suggesting that he should work the matter over, since if
such a structure really existed, it must, most probably, have great
morphological significance. I am free to confess that I myself rather
doubted the matter, and a weaker student might have been
influenced by my preconceptions. Balfour, however, thus early had
the power of seeing what existed and of refusing to see what did not
exist. He was soon able to convince me that Dursy's streak was a
reality, and the complete working out of its significance occupied his
thoughts to the end of his days.
The results of these early studies were made known in three papers
which appeared in the Quarterly Journal of Microscopical Science for
July 1873, and will be found in the beginning of this volume. The
summer and autumn of that year were spent partly in a visit to
Finland, in company with his friend and old school-fellow Mr Arthur
Evans, and partly in formal preparation for the approaching Tripos
examination. Into this preparation Balfour threw himself with
characteristic energy, and fully justified my having encouraged his
spending so much of the preceding time in original research, not
only by the rapidity with which he accumulated the stock of
knowledge of various kinds necessary for the examination but also
by the manner in which he acquitted himself at the trial itself. At that
time the position of the candidates in the Natural Sciences Tripos
was determined by the total number of marks, and Balfour was
placed second, the first place being gained by H. Newell Martin of
Christ's College, now Professor at Baltimore, U.S.A. In the
examination, in which I took part, Balfour did not write much, and
he had not yet learnt the art of putting his statements in the best
possible form; he won his position chiefly by the firm thought and
clear insight which was present in almost all his answers.
The examination was over in the early days of Dec. 1873 and Balfour
was now free to devote himself wholly to his original work. Happily,
the University had not long before secured the use of two of the
tables at the then recently founded Stazione Zoologica at Naples.
And upon the nomination of the University, Balfour, about Christmas,
started for Naples in company with his friend Mr A. G. Dew-Smith,
also of Trinity College. The latter was about to carry on some
physiological observations; Balfour had set himself to work out as
completely as he could the embryology of Elasmobranch fishes,
about which little was at that time known, but which, from the
striking characters of the adult animals could not help proving of
interest and importance.
From his arrival there at Christmas 1873 until he left in June 1874,
he worked assiduously, and with such success, that as the result of
the half-year's work he had made a whole series of observations of
the greatest importance. Of these perhaps the most striking were
those on the development of the urogenital organs, on the
neurenteric canal, on the development of the spinal nerves, on the
formation of the layers and on the phenomena of segmentation,
including a history of the behaviour of nuclei in cell division. He
returned home laden with facts and views both novel and destined
to influence largely the progress of embryology.
In August of the same year he attended the meeting of the British
Association for the Advancement of Science at Belfast; and the
account he then gave of his researches formed one of the most
important incidents at the Biological Section on that occasion.
In the September of that year the triennial fellowship for Natural
Science was to be awarded at Trinity College, and Balfour naturally
was a candidate. The election was, according to the regulations, to
be determined partly by the result of an examination in various
branches of science, and partly by such evidence of ability and
promise as might be afforded by original work, published or in
manuscript. He spent the remainder of the autumn in preparation for
this examination. But when the examination was concluded it was
found that in his written answers he had not been very successful;
he had not even acquitted himself so well as in the Tripos of the
year before, and had the election been determined by the results of
the examination alone, the examiners would have been led to
choose the gentleman who was Balfour's only competitor. The
original work however which Balfour sent in, including a preliminary
account of the discoveries made at Naples, was obviously of so high
a merit and was spoken of in such enthusiastic terms by the External
Referee Prof. Huxley, that the examiners did not hesitate for a
moment to neglect altogether the formal written answers (and
indeed the papers of questions were only introduced as a safeguard,
or as a resource in case evidence of original power should be
wanted) and unanimously recommended him for election.
Accordingly he was elected Fellow in the early days of October.
Almost immediately after, the little book on Embryology appeared,
on which he and I had been at work, he doing his share even while
his hands and mind were full of the Elasmobranch inquiry. The title-
page was kept back some little time in order that his name might
appear on it with the addition of Fellow of Trinity, a title of which he
was then, and indeed always continued to be, proud. He also
published in the October number of the Quarterly Journal of
Microscopical Science a preliminary account of his Elasmobranch
researches.
He and his friends thought that after these almost incessant labours,
and the excitement necessarily contingent upon the fellowship
election, he needed rest and change. Accordingly on the 17th of
October he started with his friend Marlborough Pryor on a voyage to
the west coast of South America. They travelled thither by the
Isthmus of Panama, visited Peru and Chili, and returned home along
the usual route by the Horn; reaching England some time in Feb.
1875.
Refreshed by this holiday, he now felt anxious to complete as far as
possible his Elasmobranch work, and very soon after his return
home, in fact in March, made his way again to Naples, where he
remained till the hot weather set in in May. On his return to
Cambridge, he still continued working on the Elasmobranchii,
receiving material partly from Naples, partly from the Brighton
Aquarium, the then director of which, Mr Henry Lee, spared no pains
to provide him both with embryo and adult fishes. While at Naples,
he communicated to the Philosophical Society at Cambridge a
remarkable paper on “The Early Stages of Vertebrates,” which was
published in full in the Quarterly Journal of Microscopical Science,
July, 1875; he also sent me a paper on “The Development of the
Spinal Nerves”, which I communicated to the Royal Society, and
which was subsequently published in the Philosophical Transactions
of 1876. He further wrote in the course of the summer and
published in the Journal of Anatomy and Physiology in October,
1875, a detailed account of his “Observations and Views on the
Development of the Urogenital Organs.”
Some time in August of the same year he started in company with
Mr Arthur Evans and Mr J. F. Bullar for a second trip to Finland, the
travellers on this occasion making their way into regions very seldom
visited, and having to subsist largely on the preserved provisions
which they carried with them, and on the produce of their rods and
guns. From a rough diary which Balfour kept during this trip it would
appear that while enjoying heartily the fun of the rough travelling,
he occupied himself continually with observations on the geology
and physical phenomena of the country, as well as on the manners,
antiquities, and even language of the people. It was one of his
characteristic traits, a mark of the truly scientific bent of his mind, of
his having, as Dohrn soon after Balfour's first arrival at Naples said,
'a real scientific head,' that every thing around him wherever he
was, incited him to careful exact observation, and stimulated him to
thought.
In the early part of the Long Vacation of the same year he had made
his first essay in lecturing, having given a short course on
Embryology in a room at the New Museums, which I then occupied
as a laboratory. Though he afterwards learnt to lecture with great
clearness he was not by nature a fluent speaker, and on this
occasion he was exceedingly nervous. But those who listened to him
soon forgot these small defects as they began to perceive the
knowledge and power which lay in their new teacher.
Encouraged by the result of this experiment, he threw himself, in
spite of the heavy work which the Elasmobranch investigation was
entailing, with great zeal into an arrangement which Prof. Newton,
Mr J. W. Clark and myself had in course of the summer brought
about, that he and Mr A. Milnes Marshall, since Professor at Owens
College, Manchester, should between them give a course on Animal
Morphology, with practical instruction, Prof. Newton giving up a room
in the New Museums for the purpose.
In the following October (1875) upon Balfour's return from Finland,
these lectures were accordingly begun and carried on by the two
lecturers during the Michaelmas and Lent Terms. The number of
students attending this first course, conducted on a novel plan, was,
as might be expected, small, but the Lent Term did not come to an
end before an enthusiasm for morphological studies had been
kindled in the members of the class.
The ensuing Easter term (1876) was spent by Balfour at Naples, in
order that he might carry on towards completion his Elasmobranch
work. He had by this time determined to write as complete a
monograph as he could of the development of these fishes,
proposing to publish it in instalments in the Journal of Anatomy and
Physiology, and subsequently to gather together the several papers
into one volume. The first of these papers, dealing with the ovum,
appeared in Jan. 1876; most of the numbers of the Journal during
that and the succeeding year contained further portions; but the
complete monograph did not leave the publisher's hands until 1878.
He returned to England with his pupil and friend Mr J. F. Bullar some
time in the summer; on their way home they passed through
Switzerland, and it was during the few days which he then spent in
sight of the snow-clad hills that the beginnings of a desire for that
Alpine climbing, which was destined to be so disastrous, seem to
have been kindled in him.
In October, 1876, he resumed the lectures on Morphology, taking the
whole course himself, his colleague, Mr Marshall, having meanwhile
left Cambridge. Indeed, from this time onward, he may be said to
have made these lectures, in a certain sense, the chief business of
his life. He lectured all three terms, devoting the Michaelmas and
Lent terms to a systematic course of Animal Morphology, and the
Easter term to a more elementary course of Embryology. These
lectures were given under the auspices of Prof. Newton; but
Balfour's position was before long confirmed by his being made a
Lecturer of Trinity College, the lectures which he gave at the New
Museums, and which were open to all students of the University,
being accepted in a liberal spirit by the College as equivalent to
College Lectures. He very soon found it desirable to divide the
morphological course into an elementary and an advanced course,
and to increase the number of his lectures from three to four a
week. Each lecture was followed by practical work, the students
dissecting and examining microscopically, an animal or some animals
chosen as types to illustrate the subject-matter of the lecture; and
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