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A gladiator (Latin: gladiator, "swordsman", from gladius, "sword") was an armed combatant who entertained audiences in the Roman Republic and Roman Empire in violent confrontations with other gladiators, wild animals, and condemned criminals. Some gladiators were volunteers who risked their lives and their legal and social standing by appearing in the arena. Most were despised as slaves, schooled under harsh conditions, socially marginalized, and segregated even in death.
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Irrespective of their origin, gladiators offered spectators an example of Rome's martial ethics and, in fighting or dying well, they could inspire admiration and popular acclaim. They were celebrated in high and low art, and their value as entertainers was commemorated in precious and commonplace objects throughout the Roman world.
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The origin of gladiatorial combat is open to debate. There is evidence of it in funeral rites during the Punic Wars of the 3rd century BC, and thereafter it rapidly became an essential feature of politics and social life in the Roman world. Its popularity led to its use in ever more lavish and costly games.
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The gladiator games lasted for nearly a thousand years, reaching their peak between the 1st century BC and the 2nd century AD. The games finally declined during the early 5th century after the adoption of Christianity as state church of the Roman Empire in 380, although beast hunts (venationes) continued into the 6th century.
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Early literary sources seldom agree on the origins of gladiators and the gladiator games.[1] In the late 1st century BC, Nicolaus of Damascus believed they were Etruscan.[2] A generation later, Livy wrote that they were first held in 310 BC by the Campanians in celebration of their victory over the Samnites.[3] Long after the games had ceased, the 7th century AD writer Isidore of Seville derived Latin lanista (manager of gladiators) from the Etruscan word for "executioner," and the title of Charon (an official who accompanied the dead from the Roman gladiatorial arena) from Charun, psychopomp of the Etruscan underworld.[4] This was accepted and repeated in most early modern, standard histories of the games.[5]
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Reappraisal of pictorial evidence supports a Campanian origin, or at least a borrowing, for the games and gladiators.[6] Campania hosted the earliest known gladiator schools (ludi).[7] Tomb frescoes from the Campanian city of Paestum (4th century BC) show paired fighters, with helmets, spears and shields, in a propitiatory funeral blood-rite that anticipates early Roman gladiator games.[8] Compared to these images, supporting evidence from Etruscan tomb-paintings is tentative and late. The Paestum frescoes may represent the continuation of a much older tradition, acquired or inherited from Greek colonists of the 8th century BC.[9]
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Livy places the first Roman gladiator games (264 BC) in the early stage of Rome's First Punic War against Carthage, when Decimus Junius Brutus Scaeva had three gladiator pairs fight to the death in Rome's "cattle market" Forum (Forum Boarium) to honor his dead father, Brutus Pera. This is described as a munus (plural: munera), a commemorative duty owed the manes of a dead ancestor by his descendants.[10][11] The development of the munus and its gladiator types was most strongly influenced by Samnium's support for Hannibal and the subsequent punitive expeditions against the Samnites by Rome and her Campanian allies; the earliest and most frequently mentioned type was the Samnite.[12]
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The war in Samnium, immediately afterwards, was attended with equal danger and an equally glorious conclusion. The enemy, besides their other warlike preparation, had made their battle-line to glitter with new and splendid arms. There were two corps: the shields of the one were inlaid with gold, of the other with silver ... The Romans had already heard of these splendid accoutrements, but their generals had taught them that a soldier should be rough to look on, not adorned with gold and silver but putting his trust in iron and in courage ... The Dictator, as decreed by the senate, celebrated a triumph, in which by far the finest show was afforded by the captured armour. So the Romans made use of the splendid armour of their enemies to do honour to their gods; while the Campanians, in consequence of their pride and in hatred of the Samnites, equipped after this fashion the gladiators who furnished them entertainment at their feasts, and bestowed on them the name Samnites.[13]
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Livy's account skirts the funereal, sacrificial function of early Roman gladiator combats and reflects the later theatrical ethos of the Roman gladiator show: splendidly, exotically armed and armoured barbarians, treacherous and degenerate, are dominated by Roman iron and native courage.[14] His plain Romans virtuously dedicate the magnificent spoils of war to the Gods. Their Campanian allies stage a dinner entertainment using gladiators who may not be Samnites, but play the Samnite role. Other groups and tribes would join the cast list as Roman territories expanded. Most gladiators were armed and armoured in the manner of the enemies of Rome.[15] The munus became a morally instructive form of historic enactment in which the only honourable option for the gladiator was to fight well, or else die well.[16]
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In 216 BC, Marcus Aemilius Lepidus, late consul and augur, was honoured by his sons with three days of gladiatora munera in the Forum Romanum, using twenty-two pairs of gladiators.[17] Ten years later, Scipio Africanus gave a commemorative munus in Iberia for his father and uncle, casualties in the Punic Wars. High status non-Romans, and possibly Romans too, volunteered as his gladiators.[18] The context of the Punic Wars and Rome's near-disastrous defeat at the Battle of Cannae (216 BC) link these early games to munificence, the celebration of military victory and the religious expiation of military disaster; these munera appear to serve a morale-raising agenda in an era of military threat and expansion.[19] The next recorded munus, held for the funeral of Publius Licinius in 183 BC, was more extravagant. It involved three days of funeral games, 120 gladiators, and public distribution of meat (visceratio data)[20] – a practice that reflected the gladiatorial fights at Campanian banquets described by Livy and later deplored by Silius Italicus.[21]
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The enthusiastic adoption of gladiatoria munera by Rome's Iberian allies shows how easily, and how early, the culture of the gladiator munus permeated places far from Rome itself. By 174 BC, "small" Roman munera (private or public), provided by an editor of relatively low importance, may have been so commonplace and unremarkable they were not considered worth recording:[22]
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Many gladiatorial games were given in that year, some unimportant, one noteworthy beyond the rest — that of Titus Flamininus which he gave to commemorate the death of his father, which lasted four days, and was accompanied by a public distribution of meats, a banquet, and scenic performances. The climax of the show which was big for the time was that in three days seventy four gladiators fought.[23]
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In 105 BC, the ruling consuls offered Rome its first taste of state-sponsored "barbarian combat" demonstrated by gladiators from Capua, as part of a training program for the military. It proved immensely popular.[24] Thereafter, the gladiator contests formerly restricted to private munera were often included in the state games (ludi)[25] that accompanied the major religious festivals. Where traditional ludi had been dedicated to a deity, such as Jupiter, the munera could be dedicated to an aristocratic sponsor's divine or heroic ancestor.[26]
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Gladiator games offered their sponsors extravagantly expensive but effective opportunities for self-promotion, and gave their clients and potential voters exciting entertainment at little or no cost to themselves.[27] Gladiators became big business for trainers and owners, for politicians on the make and those who had reached the top and wished to stay there. A politically ambitious privatus (private citizen) might postpone his deceased father's munus to the election season, when a generous show might drum up votes; those in power and those seeking it needed the support of the plebeians and their tribunes, whose votes might be won with the mere promise of an exceptionally good show.[28] Sulla, during his term as praetor, showed his usual acumen in breaking his own sumptuary laws to give the most lavish munus yet seen in Rome, on occasion of his wife's funeral.[29]
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In the closing years of the politically and socially unstable Late Republic, any aristocratic owner of gladiators had political muscle at his disposal.[30][31][32] In 65 BC, newly elected curule aedile Julius Caesar held games that he justified as munus to his father, who had been dead for 20 years. Despite an already enormous personal debt, he used 320 gladiator pairs in silvered armour.[33] He had more available in Capua but the Senate, mindful of the recent Spartacus revolt and fearful of Caesar's burgeoning private armies and rising popularity, imposed a limit of 320 pairs as the maximum number of gladiators any citizen could keep in Rome.[34] Caesar's showmanship was unprecedented in scale and expense;[35] he had staged a munus as memorial rather than funeral rite, eroding any practical or meaningful distinction between munus and ludi.[36]
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Gladiatorial games, usually linked with beast shows, spread throughout the Republic and beyond.[37] Anti-corruption laws of 65 and 63 BC attempted but failed to curb the political usefulness of the games to their sponsors.[38] Following Caesar's assassination and the Roman Civil War, Augustus assumed Imperial authority over the games, including munera, and formalised their provision as a civic and religious duty.[39] His revision of sumptuary law capped private and public expenditure on munera, claiming to save the Roman elite from the bankruptcies they would otherwise suffer, and restricted their performance to the festivals of Saturnalia and Quinquatria.[40] Henceforth, the ceiling cost for a praetor's "economical" official munus employing a maximum 120 gladiators was to be 25,000 denarii; a "generous" Imperial ludi might cost no less than 180,000 denarii.[41] Throughout the Empire, the greatest and most celebrated games would now be identified with the state-sponsored Imperial cult, which furthered public recognition, respect and approval for the Emperor's divine numen, his laws, and his agents.[42][26] Between 108 and 109 AD, Trajan celebrated his Dacian victories using a reported 10,000 gladiators and 11,000 animals over 123 days.[43] The cost of gladiators and munera continued to spiral out of control. Legislation of 177 AD by Marcus Aurelius did little to stop it, and was completely ignored by his son, Commodus.[44]
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The decline of the munus was a far from straightforward process.[45] The crisis of the 3rd century imposed increasing military demands on the imperial purse, from which the Roman Empire never quite recovered, and lesser magistrates found the obligatory munera an increasingly unrewarding tax on the doubtful privileges of office. Still, emperors continued to subsidize the games as a matter of undiminished public interest.[46] In the early 3rd century AD, the Christian writer Tertullian had acknowledged their power over the Christian flock, and was compelled to be blunt: the combats were murder, their witnessing spiritually and morally harmful and the gladiator an instrument of pagan human sacrifice.[47] In the next century, Augustine of Hippo deplored the youthful fascination of his friend (and later fellow-convert and Bishop) Alypius of Thagaste, with the munera spectacle as inimical to a Christian life and salvation.[48] Amphitheatres continued to host the spectacular administration of Imperial justice: in 315 Constantine the Great condemned child-snatchers ad bestias in the arena. Ten years later, he forbade criminals being forced to fight to the death as gladiators:
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Bloody spectacles do not please us in civil ease and domestic quiet. For that reason we forbid those people to be gladiators who by reason of some criminal act were accustomed to deserve this condition and sentence. You shall rather sentence them to serve in the mines so that they may acknowledge the penalties of their crimes with blood[49]
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This has been interpreted as a ban on gladiatorial combat. Yet, in the last year of his life, Constantine wrote a letter to the citizens of Hispellum, granting its people the right to celebrate his rule with gladiatorial games.[50]
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In 365, Valentinian I (r. 364–375) threatened to fine a judge who sentenced Christians to the arena and in 384 attempted, like most of his predecessors, to limit the expenses of munera.[51][52][53]
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In 393, Theodosius I (r. 379–395) adopted Nicene Christianity as the state religion of the Roman Empire and banned pagan festivals.[54] The ludi continued, very gradually shorn of their stubbornly pagan munera. Honorius (r. 395–423) legally ended munera in 399, and again in 404, at least in the Western Roman Empire. According to Theodoret, the ban was in consequence of Saint Telemachus' martyrdom by spectators at a munus.[55] Valentinian III (r. 425–455) repeated the ban in 438, perhaps effectively, though venationes continued beyond 536.[56] By this time, interest in munera had waned throughout the Roman world. In the Byzantine Empire, theatrical shows and chariot races continued to attract the crowds, and drew a generous Imperial subsidy.
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It is not known how many gladiatoria munera were given throughout the Roman period. Many, if not most, involved venationes, and in the later Empire some may have been only that. In 165 BC, at least one munus was held during April's Megalesia. In the early Imperial era, munera in Pompeii and neighbouring towns were dispersed from March through November. They included a provincial magnate's five-day munus of thirty pairs, plus beast-hunts.[57] A single late primary source, the Calendar of Furius Dionysius Philocalus for 354, shows how seldom gladiators featured among a multitude of official festivals. Of 176 days reserved for spectacles of various kinds, 102 were for theatrical shows, 64 for chariot races and just 10 in December for gladiator games and venationes. A century before this, the emperor Alexander Severus (r. 222–235) may have intended a more even redistribution of munera throughout the year; but this would have broken with what had become the traditional positioning of the major gladiator games, at the year's ending. As Wiedemann points out, December was also the month for the Saturnalia, Saturn's festival, in which death was linked to renewal, and the lowest were honoured as the highest.[58]
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The earliest munera took place at or near the tomb of the deceased and these were organised by their munerator (who made the offering). Later games were held by an editor, either identical with the munerator or an official employed by him. As time passed, these titles and meanings may have merged.[59] In the Republican era, private citizens could own and train gladiators, or lease them from a lanista (owner of a gladiator training school). From the Principate onwards, private citizens could hold munera and own gladiators only under Imperial permission, and the role of editor was increasingly tied to state officialdom. Legislation by Claudius required that quaestors, the lowest rank of Roman magistrate, personally subsidise two-thirds of the costs of games for their small-town communities – in effect, both an advertisement of their personal generosity and a part-purchase of their office. Bigger games were put on by senior magistrates, who could better afford them. The largest and most lavish of all were paid for by the emperor himself.[60][61]
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The earliest types of gladiator were named after Rome's enemies of that time: the Samnite, Thracian and Gaul. The Samnite, heavily armed, elegantly helmed and probably the most popular type,[citation needed] was renamed secutor and the Gaul renamed murmillo, once these former enemies had been conquered then absorbed into Rome's Empire. In the mid-republican munus, each type seems to have fought against a similar or identical type. In the later Republic and early Empire, various "fantasy" types were introduced, and were set against dissimilar but complementary types. For example, the bareheaded, nimble retiarius ("net-man"), armoured only at the left arm and shoulder, pitted his net, trident and dagger against the more heavily armoured, helmeted Secutor.[62] Most depictions of gladiators show the most common and popular types. Passing literary references to others has allowed their tentative reconstruction. Other novelties introduced around this time included gladiators who fought from chariots or carts, or from horseback.
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The trade in gladiators was empire-wide, and subjected to official supervision. Rome's military success produced a supply of soldier-prisoners who were redistributed for use in State mines or amphitheatres and for sale on the open market. For example, in the aftermath of the Jewish Revolt, the gladiator schools received an influx of Jews – those rejected for training would have been sent straight to the arenas as noxii (lit. "hurtful ones").[63] The best – the most robust – were sent to Rome. In Rome's military ethos, enemy soldiers who had surrendered or allowed their own capture and enslavement had been granted an unmerited gift of life. Their training as gladiators would give them opportunity to redeem their honour in the munus.[64]
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Two other sources of gladiators, found increasingly during the Principate and the relatively low military activity of the Pax Romana, were slaves condemned to the arena (damnati), to gladiator schools or games (ad ludum gladiatorium)[65] as punishment for crimes, and the paid volunteers (auctorati) who by the late Republic may have comprised approximately half – and possibly the most capable half – of all gladiators.[66] The use of volunteers had a precedent in the Iberian munus of Scipio Africanus; but none of those had been paid.[18]
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For the poor, and for non-citizens, enrollment in a gladiator school offered a trade, regular food, housing of sorts and a fighting chance of fame and fortune. Mark Antony chose a troupe of gladiators to be his personal bodyguard.[67] Gladiators customarily kept their prize money and any gifts they received, and these could be substantial. Tiberius offered several retired gladiators 100,000 sesterces each to return to the arena.[68] Nero gave the gladiator Spiculus property and residence "equal to those of men who had celebrated triumphs."[69]
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From the 60s AD female gladiators appear as rare and "exotic markers of exceptionally lavish spectacle".[70] In 66 AD, Nero had Ethiopian women, men and children fight at a munus to impress the King Tiridates I of Armenia.[71] Romans seem to have found the idea of a female gladiator novel and entertaining, or downright absurd; Juvenal titillates his readers with a woman named "Mevia", hunting boars in the arena "with spear in hand and breasts exposed",[72] and Petronius mocks the pretensions of a rich, low-class citizen, whose munus includes a woman fighting from a cart or chariot.[73] A munus of 89 AD, during Domitian's reign, featured a battle between female gladiators, described as "Amazons".[74] In Halicarnassus, a 2nd-century AD relief depicts two female combatants named "Amazon" and "Achillia"; their match ended in a draw.[75] In the same century, an epigraph praises one of Ostia's local elite as the first to "arm women" in the history of its games.[75] Female gladiators probably submitted to the same regulations and training as their male counterparts.[76] Roman morality required that all gladiators be of the lowest social classes, and emperors who failed to respect this distinction earned the scorn of posterity. Cassius Dio takes pains to point out that when the much admired emperor Titus used female gladiators, they were of acceptably low class.[70]
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Some regarded female gladiators of any type or class as a symptom of corrupted Roman appetites, morals and womanhood. Before he became emperor, Septimius Severus may have attended the Antiochene Olympic Games, which had been revived by the emperor Commodus and included traditional Greek female athletics. His attempt to give Rome a similarly dignified display of female athletics was met by the crowd with ribald chants and cat-calls.[77] Probably as a result, he banned the use of female gladiators in 200 AD.[78][79]
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Caligula, Titus, Hadrian, Lucius Verus, Caracalla, Geta and Didius Julianus were all said to have performed in the arena, either in public or private, but risks to themselves were minimal.[80] Claudius, characterised by his historians as morbidly cruel and boorish, fought a whale trapped in the harbor in front of a group of spectators.[81] Commentators invariably disapproved of such performances.[82]
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Commodus was a fanatical participant at the ludi, and compelled Rome's elite to attend his performances as gladiator, bestiarius or venator. Most of his performances as a gladiator were bloodless affairs, fought with wooden swords; he invariably won. He was said to have restyled Nero's colossal statue in his own image as "Hercules Reborn", dedicated to himself as "Champion of secutores; only left-handed fighter to conquer twelve times one thousand men."[83] He was said to have killed 100 lions in one day, almost certainly from an elevated platform surrounding the arena perimeter, which allowed him to safely demonstrate his marksmanship. On another occasion, he decapitated a running ostrich with a specially designed dart, carried the bloodied head and his sword over to the Senatorial seats and gesticulated as though they were next.[84] As reward for these services, he drew a gigantic stipend from the public purse.[85]
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Gladiator games were advertised well beforehand, on billboards that gave the reason for the game, its editor, venue, date and the number of paired gladiators (ordinarii) to be used. Other highlighted features could include details of venationes, executions, music and any luxuries to be provided for the spectators, such as an awning against the sun, water sprinklers, food, drink, sweets and occasionally "door prizes". For enthusiasts and gamblers, a more detailed program (libellus) was distributed on the day of the munus, showing the names, types and match records of gladiator pairs, and their order of appearance.[86] Left-handed gladiators were advertised as a rarity; they were trained to fight right-handers, which gave them an advantage over most opponents and produced an interestingly unorthodox combination.[87]
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67 |
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The night before the munus, the gladiators were given a banquet and opportunity to order their personal and private affairs; Futrell notes its similarity to a ritualistic or sacramental "last meal".[88] These were probably both family and public events which included even the noxii, sentenced to die in the arena the following day; and the damnati, who would have at least a slender chance of survival. The event may also have been used to drum up more publicity for the imminent game.[89][90]
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Official munera of the early Imperial era seem to have followed a standard form (munus legitimum).[91] A procession (pompa) entered the arena, led by lictors who bore the fasces that signified the magistrate-editor's power over life and death. They were followed by a small band of trumpeters (tubicines) playing a fanfare. Images of the gods were carried in to "witness" the proceedings, followed by a scribe to record the outcome, and a man carrying the palm branch used to honour victors. The magistrate editor entered among a retinue who carried the arms and armour to be used; the gladiators presumably came in last.[92]
|
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The entertainments often began with venationes (beast hunts) and bestiarii (beast fighters).[93] Next came the ludi meridiani, which were of variable content but usually involved executions of noxii, some of whom were condemned to be subjects of fatal re-enactments, based on Greek or Roman myths.[94] Gladiators may have been involved in these as executioners, though most of the crowd, and the gladiators themselves, preferred the "dignity" of an even contest.[95] There were also comedy fights; some may have been lethal. A crude Pompeian graffito suggests a burlesque of musicians, dressed as animals named Ursus tibicen (flute-playing bear) and Pullus cornicen (horn-blowing chicken), perhaps as accompaniment to clowning by paegniarii during a "mock" contest of the ludi meridiani.[96]
|
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The gladiators may have held informal warm-up matches, using blunted or dummy weapons – some munera, however, may have used blunted weapons throughout.[97] The editor, his representative or an honoured guest would check the weapons (probatio armorum) for the scheduled matches.[98] These were the highlight of the day, and were as inventive, varied and novel as the editor could afford. Armatures could be very costly – some were flamboyantly decorated with exotic feathers, jewels and precious metals. Increasingly the munus was the editor's gift to spectators who had come to expect the best as their due.[99]
|
74 |
+
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Lightly armed and armoured fighters, such as the retiarius, would tire less rapidly than their heavily armed opponents; most bouts would have lasted 10 to 15 minutes, or 20 minutes at most.[100] In late Republican munera, between 10 and 13 matches could have been fought on one day; this assumes one match at a time in the course of an afternoon.[89]
|
76 |
+
|
77 |
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Spectators preferred to watch highly skilled, well matched ordinarii with complementary fighting styles; these were the most costly to train and to hire. A general melee of several, lower-skilled gladiators was far less costly, but also less popular. Even among the ordinarii, match winners might have to fight a new, well-rested opponent, either a tertiarius ("third choice gladiator") by prearrangement; or a "substitute" gladiator (suppositicius) who fought at the whim of the editor as an unadvertised, unexpected "extra".[101] This yielded two combats for the cost of three gladiators, rather than four; such contests were prolonged, and in some cases, more bloody. Most were probably of poor quality,[102] but the emperor Caracalla chose to test a notably skilled and successful fighter named Bato against first one supposicitius, whom he beat, and then another, who killed him.[103] At the opposite level of the profession, a gladiator reluctant to confront his opponent might be whipped, or goaded with hot irons, until he engaged through sheer desperation.[104]
|
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Combats between experienced, well trained gladiators demonstrated a considerable degree of stagecraft. Among the cognoscenti, bravado and skill in combat were esteemed over mere hacking and bloodshed; some gladiators made their careers and reputation from bloodless victories. Suetonius describes an exceptional munus by Nero, in which no-one was killed, "not even noxii (enemies of the state)."[105]
|
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Trained gladiators were expected to observe professional rules of combat. Most matches employed a senior referee (summa rudis) and an assistant, shown in mosaics with long staffs (rudes) to caution or separate opponents at some crucial point in the match. Referees were usually retired gladiators whose decisions, judgement and discretion were, for the most part, respected;[106] they could stop bouts entirely, or pause them to allow the combatants rest, refreshment and a rub-down.[107]
|
82 |
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|
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Ludi and munera were accompanied by music, played as interludes, or building to a "frenzied crescendo" during combats, perhaps to heighten the suspense during a gladiator's appeal; blows may have been accompanied by trumpet-blasts.[108][87] The Zliten mosaic in Libya (circa 80–100 AD) shows musicians playing an accompaniment to provincial games (with gladiators, bestiarii, or venatores and prisoners attacked by beasts). Their instruments are a long straight trumpet (tubicen), a large curved horn (Cornu) and a water organ (hydraulis).[109] Similar representations (musicians, gladiators and bestiari) are found on a tomb relief in Pompeii.[110]
|
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|
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A match was won by the gladiator who overcame his opponent, or killed him outright. Victors received the palm branch and an award from the editor. An outstanding fighter might receive a laurel crown and money from an appreciative crowd but for anyone originally condemned ad ludum the greatest reward was manumission (emancipation), symbolised by the gift of a wooden training sword or staff (rudis) from the editor. Martial describes a match between Priscus and Verus, who fought so evenly and bravely for so long that when both acknowledged defeat at the same instant, Titus awarded victory and a rudis to each.[111] Flamma was awarded the rudis four times, but chose to remain a gladiator. His gravestone in Sicily includes his record: "Flamma, secutor, lived 30 years, fought 34 times, won 21 times, fought to a draw 9 times, defeated 4 times, a Syrian by nationality. Delicatus made this for his deserving comrade-in-arms."[112]
|
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|
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A gladiator could acknowledge defeat by raising a finger (ad digitum), in appeal to the referee to stop the combat and refer to the editor, whose decision would usually rest on the crowd's response.[113] In the earliest munera, death was considered a righteous penalty for defeat; later, those who fought well might be granted remission at the whim of the crowd or the editor. During the Imperial era, matches advertised as sine missione (without remission from the sentence of death) suggest that missio (the sparing of a defeated gladiator's life) had become common practice. The contract between editor and his lanista could include compensation for unexpected deaths;[114] this could be "some fifty times higher than the lease price" of the gladiator.[115]
|
88 |
+
|
89 |
+
Under Augustus' rule, the demand for gladiators began to exceed supply, and matches sine missione were officially banned; an economical, pragmatic development that happened to match popular notions of "natural justice". When Caligula and Claudius refused to spare defeated but popular fighters, their own popularity suffered. In general, gladiators who fought well were likely to survive.[116] At a Pompeian match between chariot-fighters, Publius Ostorius, with previous 51 wins to his credit, was granted missio after losing to Scylax, with 26 victories.[117] By common custom, the spectators decided whether or not a losing gladiator should be spared, and chose the winner in the rare event of a standing tie.[118] Even more rarely, perhaps uniquely, one stalemate ended in the killing of one gladiator by the editor himself.[119][120] In any event, the final decision of death or life belonged to the editor, who signalled his choice with a gesture described by Roman sources as pollice verso meaning "with a turned thumb"; a description too imprecise for reconstruction of the gesture or its symbolism. Whether victorious or defeated, a gladiator was bound by oath to accept or implement his editor's decision, "the victor being nothing but the instrument of his [editor's] will."[120] Not all editors chose to go with the crowd, and not all those condemned to death for putting on a poor show chose to submit:
|
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|
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+
Once a band of five retiarii in tunics, matched against the same number of secutores, yielded without a struggle; but when their death was ordered, one of them caught up his trident and slew all the victors. Caligula bewailed this in a public proclamation as a most cruel murder.[121]
|
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A gladiator who was refused missio was despatched by his opponent. To die well, a gladiator should never ask for mercy, nor cry out.[122] A "good death" redeemed the gladiator from the dishonourable weakness and passivity of defeat, and provided a noble example to those who watched:[123]
|
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|
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For death, when it stands near us, gives even to inexperienced men the courage not to seek to avoid the inevitable. So the gladiator, no matter how faint-hearted he has been throughout the fight, offers his throat to his opponent and directs the wavering blade to the vital spot. (Seneca. Epistles, 30.8)
|
96 |
+
|
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Some mosaics show defeated gladiators kneeling in preparation for the moment of death. Seneca's "vital spot" seems to have meant the neck.[124] Gladiator remains from Ephesus confirm this.[125]
|
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The body of a gladiator who had died well was placed on a couch of Libitina and removed with dignity to the arena morgue, where the corpse was stripped of armour, and probably had its throat cut to prove that dead was dead. The Christian author Tertullian, commenting on ludi meridiani in Roman Carthage during the peak era of the games, describes a more humiliating method of removal. One arena official, dressed as the "brother of Jove", Dis Pater (god of the underworld) strikes the corpse with a mallet. Another, dressed as Mercury, tests for life-signs with a heated "wand"; once confirmed as dead, the body is dragged from the arena.[126]
|
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Whether these victims were gladiators or noxii is unknown. Modern pathological examination confirms the probably fatal use of a mallet on some, but not all the gladiator skulls found in a gladiators' cemetery.[127] Kyle (1998) proposes that gladiators who disgraced themselves might have been subjected to the same indignities as noxii, denied the relative mercies of a quick death and dragged from the arena as carrion. Whether the corpse of such a gladiator could be redeemed from further ignominy by friends or familia is not known.[128]
|
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|
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The bodies of noxii, and possibly some damnati, were thrown into rivers or dumped unburied;[129] Denial of funeral rites and memorial condemned the shade (manes) of the deceased to restless wandering upon the earth as a dreadful larva or lemur.[130] Ordinary citizens, slaves and freedmen were usually buried beyond the town or city limits, to avoid the ritual and physical pollution of the living; professional gladiators had their own, separate cemeteries. The taint of infamia was perpetual.[131]
|
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Gladiators could subscribe to a union (collegia), which ensured their proper burial, and sometimes a pension or compensation for wives and children. Otherwise, the gladiator's familia, which included his lanista, comrades and blood-kin, might fund his funeral and memorial costs, and use the memorial to assert their moral reputation as responsible, respectful colleagues or family members. Some monuments record the gladiator's career in some detail, including the number of appearances, victories — sometimes represented by an engraved crown or wreath — defeats, career duration, and age at death. Some include the gladiator's type, in words or direct representation: for example, the memorial of a retiarius at Verona included an engraved trident and sword.[132][133] A wealthy editor might commission artwork to celebrate a particularly successful or memorable show, and include named portraits of winners and losers in action; the Borghese Gladiator Mosaic is a notable example. According to Cassius Dio, the emperor Caracalla gave the gladiator Bato a magnificent memorial and State funeral;[103] more typical are the simple gladiator tombs of the Eastern Roman Empire, whose brief inscriptions include the following:
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"The familia set this up in memory of Saturnilos."
|
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"For Nikepharos, son of Synetos, Lakedaimonian, and for Narcissus the secutor. Titus Flavius Satyrus set up this monument in his memory from his own money."
|
109 |
+
"For Hermes. Paitraeites with his cell-mates set this up in memory".[134]
|
110 |
+
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111 |
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Very little evidence survives of the religious beliefs of gladiators as a class, or their expectations of an afterlife. Modern scholarship offers little support for the once-prevalent notion that gladiators, venatores and bestiarii were personally or professionally dedicated to the cult of the Graeco-Roman goddess Nemesis. Rather, she seems to have represented a kind of "Imperial Fortuna" who dispensed Imperial retribution on the one hand, and Imperially subsidised gifts on the other – including the munera. One gladiator's tomb dedication clearly states that her decisions are not to be trusted.[135] Many gladiator epitaphs claim Nemesis, fate, deception or treachery as the instrument of their death, never the superior skills of the flesh-and-blood adversary who defeated and killed them. Having no personal responsibility for his own defeat and death, the losing gladiator remains the better man, worth avenging.[136]
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"I, Victor, left-handed, lie here, but my homeland was in Thessalonica. Doom killed me, not the liar Pinnas. No longer let him boast. I had a fellow gladiator, Polyneikes, who killed Pinnas and avenged me. Claudius Thallus set up this memorial from what I left behind as a legacy."[137]
|
114 |
+
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A gladiator might expect to fight in two or three munera annually, and an unknown number would have died in their first match. Few gladiators survived more than 10 contests, though one survived an extraordinary 150 bouts;[138] and another died at 90 years of age, presumably long after retirement.[139] A natural death following retirement is also likely for three individuals who died at 38, 45, and 48 years respectively.[132] George Ville, using evidence from 1st century gladiator headstones, calculated an average age at death of 27, and mortality "among all who entered the arena" at 19/100.[140] Marcus Junkelmann disputes Ville's calculation for average age at death; the majority would have received no headstone, and would have died early in their careers, at 18–25 years of age.[141] Between the early and later Imperial periods the risk of death for defeated gladiators rose from 1/5 to 1/4, perhaps because missio was granted less often.[140] Hopkins and Beard tentatively estimate a total of 400 arenas throughout the Roman Empire at its greatest extent, with a combined total of 8,000 deaths per annum from executions, combats and accidents.[142]
|
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The earliest named gladiator school (singular: ludus; plural: ludi) is that of Aurelius Scaurus at Capua. He was lanista of the gladiators employed by the state circa 105 BC to instruct the legions and simultaneously entertain the public.[143] Few other lanistae are known by name: they headed their familia gladiatoria, and had lawful power over life and death of every family member, including servi poenae, auctorati and ancillaries. Socially, they were infames, on a footing with pimps and butchers and despised as price gougers.[144] No such stigma was attached to a gladiator owner (munerarius or editor) of good family, high status and independent means;[145] Cicero congratulated his friend Atticus on buying a splendid troop – if he rented them out, he might recover their entire cost after two performances.[146]
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The Spartacus revolt had originated in a gladiator school privately owned by Lentulus Batiatus, and had been suppressed only after a protracted series of costly, sometimes disastrous campaigns by regular Roman troops. In the late Republican era, a fear of similar uprisings, the usefulness of gladiator schools in creating private armies, and the exploitation of munera for political gain led to increased restrictions on gladiator school ownership, siting and organisation. By Domitian's time, many had been more or less absorbed by the State, including those at Pergamum, Alexandria, Praeneste and Capua.[147] The city of Rome itself had four; the Ludus Magnus (the largest and most important, housing up to about 2,000 gladiators), Ludus Dacicus, Ludus Gallicus, and the Ludus Matutinus, which trained bestiarii.[59]
|
120 |
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121 |
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Roman myrmillones gladiator helmet with relief depicting scenes from the Trojan War from Herculaneum
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helmet with scenes from the Trojan War
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helmet with scenes from the Trojan War
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helmet with relief including an eagle and Priapus
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128 |
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129 |
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helmet with relief including an eagle and Priapus
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131 |
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Helmet found in the gladiator barracks in Pompeii
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132 |
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iron gladiator helmet from Herculaneum
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Gladiator helmet found in Pompeii
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136 |
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Helmet from 1st - 3rd century
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Helmet of a murmillo
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140 |
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Ornate gladiator shin guards from Pompeii
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142 |
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Closeup of Silenus on shin guard
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Shin guard depicting the goddess Athena
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Shin guard depicting Venus Euploia on a ship shaped like a dolphin
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Shin guard with relief of Hercules
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Shin guard with relief of Hercules
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Bronze spear head found in the gladiator barracks in Pompeii
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Heart-shaped spear head found in the gladiator barracks in Pompeii
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In the Imperial era, volunteers required a magistrate's permission to join a school as auctorati.[148] If this was granted, the school's physician assessed their suitability. Their contract (auctoramentum) stipulated how often they were to perform, their fighting style and earnings. A condemned bankrupt or debtor accepted as novice (novicius) could negotiate with his lanista or editor for the partial or complete payment of his debt. Faced with runaway re-enlistment fees for skilled auctorati, Marcus Aurelius set their upper limit at 12,000 sesterces.[149]
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All prospective gladiators, whether volunteer or condemned, were bound to service by a sacred oath (sacramentum).[150] Novices (novicii) trained under teachers of particular fighting styles, probably retired gladiators.[151] They could ascend through a hierarchy of grades (singular: palus) in which primus palus was the highest.[152] Lethal weapons were prohibited in the schools – weighted, blunt wooden versions were probably used. Fighting styles were probably learned through constant rehearsal as choreographed "numbers". An elegant, economical style was preferred. Training included preparation for a stoical, unflinching death. Successful training required intense commitment.[153]
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Those condemned ad ludum were probably branded or marked with a tattoo (stigma, plural stigmata) on the face, legs and/or hands. These stigmata may have been text – slaves were sometimes thus marked on the forehead until Constantine banned the use of facial stigmata in 325 AD. Soldiers were routinely marked on the hand.[154]
|
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Gladiators were typically accommodated in cells, arranged in barrack formation around a central practice arena. Juvenal describes the segregation of gladiators according to type and status, suggestive of rigid hierarchies within the schools: "even the lowest scum of the arena observe this rule; even in prison they're separate". Retiarii were kept away from damnati, and "fag targeteers" from "armoured heavies". As most ordinarii at games were from the same school, this kept potential opponents separate and safe from each other until the lawful munus.[155] Discipline could be extreme, even lethal.[156] Remains of a Pompeian ludus site attest to developments in supply, demand and discipline; in its earliest phase, the building could accommodate 15–20 gladiators. Its replacement could have housed about 100 and included a very small cell, probably for lesser punishments and so low that standing was impossible.[157]
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Despite the harsh discipline, gladiators represented a substantial investment for their lanista and were otherwise well fed and cared for. Their daily, high-energy, vegetarian diet consisted of barley, boiled beans, oatmeal, ash and dried fruit.[158][159] Gladiators were sometimes called hordearii (eaters of barley). Romans considered barley inferior to wheat — a punishment for legionaries replaced their wheat ration with it — but it was thought to strengthen the body.[160] Regular massage and high quality medical care helped mitigate an otherwise very severe training regimen. Part of Galen's medical training was at a gladiator school in Pergamum where he saw (and would later criticise) the training, diet, and long-term health prospects of the gladiators.[161]
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"He vows to endure to be burned, to be bound, to be beaten, and to be killed by the sword." The gladiator's oath as cited by Petronius (Satyricon, 117).
|
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Modern customs and institutions offer few useful parallels to the legal and social context of the gladiatoria munera.[162] In Roman law, anyone condemned to the arena or the gladiator schools (damnati ad ludum) was a servus poenae (slave of the penalty), and was considered to be under sentence of death unless manumitted.[163] A rescript of Hadrian reminded magistrates that "those sentenced to the sword" (execution) should be despatched immediately "or at least within the year", and those sentenced to the ludi should not be discharged before five years, or three years if granted manumission.[164] Only slaves found guilty of specific offences could be sentenced to the arena; however, citizens found guilty of particular offenses could be stripped of citizenship, formally enslaved, then sentenced; and slaves, once freed, could be legally reverted to slavery for certain offences.[165] Arena punishment could be given for banditry, theft and arson, and for treasons such as rebellion, census evasion to avoid paying due taxes and refusal to swear lawful oaths.[166]
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Offenders seen as particularly obnoxious to the state (noxii) received the most humiliating punishments.[167] By the 1st century BC, noxii were being condemned to the beasts (damnati ad bestias) in the arena, with almost no chance of survival, or were made to kill each other.[168] From the early Imperial era, some were forced to participate in humiliating and novel forms of mythological or historical enactment, culminating in their execution.[169] Those judged less harshly might be condemned ad ludum venatorium or ad gladiatorium – combat with animals or gladiators – and armed as thought appropriate. These damnati at least might put on a good show and retrieve some respect, and very rarely, survive to fight another day. Some may even have become "proper" gladiators.[170]
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Among the most admired and skilled auctorati were those who, having been granted manumission, volunteered to fight in the arena.[171] Some of these highly trained and experienced specialists may have had no other practical choice open to them. Their legal status – slave or free – is uncertain. Under Roman law, a freed gladiator could not "offer such services [as those of a gladiator] after manumission, because they cannot be performed without endangering [his] life."[172] All contracted volunteers, including those of equestrian and senatorial class, were legally enslaved by their auctoratio because it involved their potentially lethal submission to a master.[173] All arenarii (those who appeared in the arena) were "infames by reputation", a form of social dishonour which excluded them from most of the advantages and rights of citizenship. Payment for such appearances compounded their infamia.[174] The legal and social status of even the most popular and wealthy auctorati was thus marginal at best. They could not vote, plead in court nor leave a will; and unless they were manumitted, their lives and property belonged to their masters.[175] Nevertheless, there is evidence of informal if not entirely lawful practices to the contrary. Some "unfree" gladiators bequeathed money and personal property to wives and children, possibly via a sympathetic owner or familia; some had their own slaves and gave them their freedom.[176] One gladiator was even granted "citizenship" to several Greek cities of the Eastern Roman world.[177]
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Caesar's munus of 46 BC included at least one equestrian, son of a Praetor, and two volunteers of possible senatorial rank.[178] Augustus, who enjoyed watching the games, forbade the participation of senators, equestrians and their descendants as fighters or arenarii, but in 11 AD he bent his own rules and allowed equestrians to volunteer because "the prohibition was no use".[179] Under Tiberius, the Larinum decree[180] (19AD) reiterated Augustus' original prohibitions. Thereafter, Caligula flouted them and Claudius strengthened them.[181] Nero and Commodus ignored them. Even after the adoption of Christianity as Rome's official religion, legislation forbade the involvement of Rome's upper social classes in the games, though not the games themselves.[182] Throughout Rome's history, some volunteers were prepared to risk loss of status or reputation by appearing in the arena, whether for payment, glory or, as in one recorded case, to revenge an affront to their personal honour.[183][184] In one extraordinary episode, an aristocratic descendant of the Gracchi, already infamous for his marriage, as a bride, to a male horn player, appeared in what may have been a non-lethal or farcical match. His motives are unknown, but his voluntary and "shameless" arena appearance combined the "womanly attire" of a lowly retiarius tunicatus, adorned with golden ribbons, with the apex headdress that marked him out as a priest of Mars. In Juvenal's account, he seems to have relished the scandalous self-display, applause and the disgrace he inflicted on his more sturdy opponent by repeatedly skipping away from the confrontation.[185][186]
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As munera grew larger and more popular, open spaces such as the Forum Romanum were adapted (as the Forum Boarium had been) as venues in Rome and elsewhere, with temporary, elevated seating for the patron and high status spectators; they were popular but not truly public events:
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178 |
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A show of gladiators was to be exhibited before the people in the market-place, and most of the magistrates erected scaffolds round about, with an intention of letting them for advantage. Caius commanded them to take down their scaffolds, that the poor people might see the sport without paying anything. But nobody obeying these orders of his, he gathered together a body of labourers, who worked for him, and overthrew all the scaffolds the very night before the contest was to take place. So that by the next morning the market-place was cleared, and the common people had an opportunity of seeing the pastime. In this, the populace thought he had acted the part of a man; but he much disobliged the tribunes his colleagues, who regarded it as a piece of violent and presumptuous interference.[187][188]
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Towards the end of the Republic, Cicero (Murena, 72–3) still describes gladiator shows as ticketed — their political usefulness was served by inviting the rural tribunes of the plebs, not the people of Rome en masse – but in Imperial times, poor citizens in receipt of the corn dole were allocated at least some free seating, possibly by lottery.[189] Others had to pay. Ticket scalpers (Locarii) sometimes sold or let out seats at inflated prices. Martial wrote that "Hermes [a gladiator who always drew the crowds] means riches for the ticket scalpers".[190]
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The earliest known Roman amphitheatre was built at Pompeii by Sullan colonists, around 70 BC.[191] The first in the city of Rome was the extraordinary wooden amphitheatre of Gaius Scribonius Curio (built in 53 BC).[192] The first part-stone amphitheatre in Rome was inaugurated in 29–30 BC, in time for the triple triumph of Octavian (later Augustus).[193] Shortly after it burned down in 64 AD, Vespasian began its replacement, later known as the Amphitheatrum Flavium (Colosseum), which seated 50,000 spectators and would remain the largest in the Empire. It was inaugurated by Titus in 80 AD as the personal gift of the Emperor to the people of Rome, paid for by the imperial share of booty after the Jewish Revolt.[194]
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Amphitheatres were usually oval in plan. Their seating tiers surrounded the arena below, where the community's judgments were meted out, in full public view. From across the stands, crowd and editor could assess each other's character and temperament. For the crowd, amphitheatres afforded unique opportunities for free expression and free speech (theatralis licentia). Petitions could be submitted to the editor (as magistrate) in full view of the community. Factiones and claques could vent their spleen on each other, and occasionally on Emperors. The emperor Titus's dignified yet confident ease in his management of an amphitheatre crowd and its factions were taken as a measure of his enormous popularity and the rightness of his imperium. The amphitheatre munus thus served the Roman community as living theatre and a court in miniature, in which judgement could be served not only on those in the arena below, but on their judges.[195][196][197] Amphitheatres also provided a means of social control. Their seating was "disorderly and indiscriminate" until Augustus prescribed its arrangement in his Social Reforms. To persuade the Senate, he expressed his distress on behalf of a Senator who could not find seating at a crowded games in Puteoli:
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In consequence of this the senate decreed that, whenever any public show was given anywhere, the first row of seats should be reserved for senators; and at Rome he would not allow the envoys of the free and allied nations to sit in the orchestra, since he was informed that even freedmen were sometimes appointed. He separated the soldiery from the people. He assigned special seats to the married men of the commons, to boys under age their own section and the adjoining one to their preceptors; and he decreed that no one wearing a dark cloak should sit in the middle of the house. He would not allow women to view even the gladiators except from the upper seats, though it had been the custom for men and women to sit together at such shows. Only the Vestal virgins were assigned a place to themselves, opposite the praetor's tribunal.[198]
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These arrangements do not seem to have been strongly enforced.[199]
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Popular factions supported favourite gladiators and gladiator types.[200] Under Augustan legislation, the Samnite type was renamed Secutor ("chaser", or "pursuer"). The secutor was equipped with a long, heavy "large" shield called a scutum; Secutores, their supporters and any heavyweight secutor-based types such as the Murmillo were secutarii.[201] Lighter types, such as the Thraex, were equipped with a smaller, lighter shield called a parma, from which they and their supporters were named parmularii ("small shields"). Titus and Trajan preferred the parmularii and Domitian the secutarii; Marcus Aurelius took neither side. Nero seems to have enjoyed the brawls between rowdy, enthusiastic and sometimes violent factions, but called in the troops if they went too far.[202][203]
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There were also local rivalries. At Pompeii's amphitheatre, during Nero's reign, the trading of insults between Pompeians and Nucerian spectators during public ludi led to stone throwing and riot. Many were killed or wounded. Nero banned gladiator munera (though not the games) at Pompeii for ten years as punishment. The story is told in Pompeian graffiti and high quality wall painting, with much boasting of Pompeii's "victory" over Nuceria.[204]
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A man who knows how to conquer in war is a man who knows how to arrange a banquet and put on a show.[205]
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Rome was essentially a landowning military aristocracy. From the early days of the Republic, ten years of military service were a citizen's duty and a prerequisite for election to public office. Devotio (willingness to sacrifice one's life to the greater good) was central to the Roman military ideal, and was the core of the Roman military oath. It applied from highest to lowest alike in the chain of command.[206] As a soldier committed his life (voluntarily, at least in theory) to the greater cause of Rome's victory, he was not expected to survive defeat.[207]
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The Punic Wars of the late 3rd century BC – in particular the near-catastrophic defeat of Roman arms at Cannae – had long-lasting effects on the Republic, its citizen armies, and the development of the gladiatorial munera. In the aftermath of Cannae, Scipio Africanus crucified Roman deserters and had non-Roman deserters thrown to the beasts.[208] The Senate refused to ransom Hannibal's Roman captives: instead, they consulted the Sibylline books, then made drastic preparations:
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In obedience to the Books of Destiny, some strange and unusual sacrifices were made, human sacrifices amongst them. A Gaulish man and a Gaulish woman and a Greek man and a Greek woman were buried alive under the Forum Boarium ... They were lowered into a stone vault, which had on a previous occasion also been polluted by human victims, a practice most repulsive to Roman feelings. When the gods were believed to be duly propitiated ... Armour, weapons, and other things of the kind were ordered to be in readiness, and the ancient spoils gathered from the enemy were taken down from the temples and colonnades. The dearth of freemen necessitated a new kind of enlistment; 8,000 sturdy youths from amongst the slaves were armed at the public cost, after they had each been asked whether they were willing to serve or no. These soldiers were preferred, as there would be an opportunity of ransoming them when taken prisoners at a lower price.[209]
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The account notes, uncomfortably, the bloodless human sacrifices performed to help turn the tide of the war in Rome's favour. While the Senate mustered their willing slaves, Hannibal offered his dishonoured Roman captives a chance for honourable death, in what Livy describes as something very like the Roman munus. The munus thus represented an essentially military, self-sacrificial ideal, taken to extreme fulfillment in the gladiator's oath.[197] By the devotio of a voluntary oath, a slave might achieve the quality of a Roman (Romanitas), become the embodiment of true virtus (manliness, or manly virtue), and paradoxically, be granted missio while remaining a slave.[150] The gladiator as a specialist fighter, and the ethos and organization of the gladiator schools, would inform the development of the Roman military as the most effective force of its time.[210] In 107 BC, the Marian Reforms established the Roman army as a professional body. Two years later, following its defeat at the Battle of Arausio:
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...weapons training was given to soldiers by P. Rutilius, consul with C. Mallis. For he, following the example of no previous general, with teachers summoned from the gladiatorial training school of C. Aurelus Scaurus, implanted in the legions a more sophisticated method of avoiding and dealing a blow and mixed bravery with skill and skill back again with virtue so that skill became stronger by bravery's passion and passion became more wary with the knowledge of this art.[24]
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The military were great aficionados of the games, and supervised the schools. Many schools and amphitheatres were sited at or near military barracks, and some provincial army units owned gladiator troupes.[211] As the Republic wore on, the term of military service increased from ten to the sixteen years formalised by Augustus in the Principate. It would rise to twenty, and later, to twenty-five years. Roman military discipline was ferocious; severe enough to provoke mutiny, despite the consequences. A career as a volunteer gladiator may have seemed an attractive option for some.[212]
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In AD 69, the Year of the Four Emperors, Otho's troops at Bedriacum included 2000 gladiators. Opposite him on the field, Vitellius's army was swollen by levies of slaves, plebs and gladiators.[213] In 167 AD, troop depletions by plague and desertion may have prompted Marcus Aurelius to draft gladiators at his own expense.[214] During the Civil Wars that led to the Principate, Octavian (later Augustus) acquired the personal gladiator troop of his erstwhile opponent, Mark Antony. They had served their late master with exemplary loyalty but thereafter, they disappear from the record.[67]
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Roman writing as a whole demonstrates a deep ambivalence towards the gladiatoria munera. Even the most complex and sophisticated munera of the Imperial era evoked the ancient, ancestral dii manes of the underworld and were framed by the protective, lawful rites of sacrificium. Their popularity made their co-option by the state inevitable; Cicero acknowledged their sponsorship as a political imperative.[215] Despite the popular adulation of gladiators, they were set apart, despised; and despite Cicero's contempt for the mob, he shared their admiration: "Even when [gladiators] have been felled, let alone when they are standing and fighting, they never disgrace themselves. And suppose a gladiator has been brought to the ground, when do you ever see one twist his neck away after he has been ordered to extend it for the death blow?" His own death would later emulate this example.[216][217] Yet, Cicero could also refer to his popularist opponent Clodius, publicly and scathingly, as a bustuarius – literally, a "funeral-man", implying that Clodius has shown the moral temperament of the lowest sort of gladiator. "Gladiator" could be (and was) used as an insult throughout the Roman period, and "Samnite" doubled the insult, despite the popularity of the Samnite type.[218] Silius Italicus wrote, as the games approached their peak, that the degenerate Campanians had devised the very worst of precedents, which now threatened the moral fabric of Rome: "It was their custom to enliven their banquets with bloodshed and to combine with their feasting the horrid sight of armed men [(Samnites)] fighting; often the combatants fell dead above the very cups of the revelers, and the tables were stained with streams of blood. Thus demoralised was Capua."[219] Death could be rightly meted out as punishment, or met with equanimity in peace or war, as a gift of fate; but when inflicted as entertainment, with no underlying moral or religious purpose, it could only pollute and demean those who witnessed it.[220]
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The munus itself could be interpreted as pious necessity, but its increasing luxury corroded Roman virtue, and created an un-Roman appetite for profligacy and self-indulgence.[221] Caesar's 46 BC ludi were mere entertainment for political gain, a waste of lives and of money that would have been better doled out to his legionary veterans.[222] Yet for Seneca, and for Marcus Aurelius – both professed Stoics – the degradation of gladiators in the munus highlighted their Stoic virtues: their unconditional obedience to their master and to fate, and equanimity in the face of death. Having "neither hope nor illusions", the gladiator could transcend his own debased nature, and disempower death itself by meeting it face to face. Courage, dignity, altruism and loyalty were morally redemptive; Lucian idealised this principle in his story of Sisinnes, who voluntarily fought as a gladiator, earned 10,000 drachmas and used it to buy freedom for his friend, Toxaris.[223] Seneca had a lower opinion of the mob's un-Stoical appetite for ludi meridiani: "Man [is]...now slaughtered for jest and sport; and those whom it used to be unholy to train for the purpose of inflicting and enduring wounds are thrust forth exposed and defenceless."[197]
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These accounts seek a higher moral meaning from the munus, but Ovid's very detailed (though satirical) instructions for seduction in the amphitheatre suggest that the spectacles could generate a potent and dangerously sexual atmosphere.[199] Augustan seating prescriptions placed women – excepting the Vestals, who were legally inviolate – as far as possible from the action of the arena floor; or tried to. There remained the thrilling possibility of clandestine sexual transgression by high-caste spectators and their heroes of the arena. Such assignations were a source for gossip and satire but some became unforgivably public:[224]
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What was the youthful charm that so fired Eppia? What hooked her? What did she see in him to make her put up with being called "the gladiator's moll"? Her poppet, her Sergius, was no chicken, with a dud arm that prompted hope of early retirement. Besides his face looked a proper mess, helmet-scarred, a great wart on his nose, an unpleasant discharge always trickling from one eye. But he was a gladiator. That word makes the whole breed seem handsome, and made her prefer him to her children and country, her sister, her husband. Steel is what they fall in love with.[225]
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Eppia – a senator's wife – and her Sergius eloped to Egypt, where he deserted her. Most gladiators would have aimed lower. Two wall graffiti in Pompeii describe Celadus the Thraex as "the sigh of the girls" and "the glory of the girls" – which may or may not have been Celadus' own wishful thinking.[226]
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In the later Imperial era, Servius Maurus Honoratus uses the same disparaging term as Cicero – bustuarius – for gladiators.[227] Tertullian used it somewhat differently – all victims of the arena were sacrificial in his eyes – and expressed the paradox of the arenarii as a class, from a Christian viewpoint:
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On the one and the same account they glorify them and they degrade and diminish them; yes, further, they openly condemn them to disgrace and civil degradation; they keep them religiously excluded from council chamber, rostrum, senate, knighthood, and every other kind of office and a good many distinctions. The perversity of it! They love whom they lower; they despise whom they approve; the art they glorify, the artist they disgrace.[228]
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In this new Play, I attempted to follow the old custom of mine, of making a fresh trial; I brought it on again. In the first Act I pleased; when in the meantime a rumor spread that gladiators were about to be exhibited; the populace flock together, make a tumult, clamor aloud, and fight for their places: meantime, I was unable to maintain my place.[229]
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Images of gladiators could be found throughout the Republic and Empire, among all classes. Walls in the 2nd century BC "Italian Agora" at Delos were decorated with paintings of gladiators. Mosaics dating from the 2nd through 4th centuries AD have been invaluable in the reconstruction of combat and its rules, gladiator types and the development of the munus. Throughout the Roman world, ceramics, lamps, gems and jewellery, mosaics, reliefs, wall paintings and statuary offer evidence, sometimes the best evidence, of the clothing, props, equipment, names, events, prevalence and rules of gladiatorial combat. Earlier periods provide only occasional, perhaps exceptional examples.[230][231] The Gladiator Mosaic in the Galleria Borghese displays several gladiator types, and the Bignor Roman Villa mosaic from Provincial Britain shows Cupids as gladiators. Souvenir ceramics were produced depicting named gladiators in combat; similar images of higher quality, were available on more expensive articles in high quality ceramic, glass or silver.
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Pliny the Elder gives vivid examples of the popularity of gladiator portraiture in Antium and an artistic treat laid on by an adoptive aristocrat for the solidly plebeian citizens of the Roman Aventine:
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When a freedman of Nero was giving a gladiatorial show at Antium, the public porticoes were covered with paintings, so we are told, containing life-like portraits of all the gladiators and assistants. This portraiture of gladiators has been the highest interest in art for many centuries now, but it was Gaius Terentius who began the practice of having pictures made of gladiatorial shows and exhibited in public; in honour of his grandfather who had adopted him he provided thirty pairs of Gladiators in the Forum for three consecutive days, and exhibited a picture of the matches in the Grove of Diana.[232]
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Some Roman reenactors attempt to recreate Roman gladiator troupes. Some of these groups are part of larger Roman reenactment groups, and others are wholly independent, though they might participate in larger demonstrations of Roman reenacting or historical reenacting in general. These groups usually focus on portraying mock gladiatorial combat in as accurate a manner as possible.
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Gladiator show fight in Trier in 2005.
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Nimes, 2005.
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Carnuntum, Austria, 2007.
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Video of a show fight at the Roman Villa Borg, Germany, in 2011 (Retiarius vs. Secutor, Thraex vs. Murmillo).
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Books of fiction in which Roman gladiators play the main or an important supporting role.
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Gladiator fights have been depicted in a number of peplum films (also known as "sword-and-sandal" movies). This is a genre of largely Italian-made historical epics (costume dramas) that dominated the Italian film industry from 1958 to 1965. They can be immediately differentiated from the competing Hollywood product by their use of dubbing. The pepla attempted to emulate the big-budget Hollywood historical epics of the time, such as Spartacus. Inspired by the success of Spartacus, there were a number of Italian peplums that emphasized the gladiatorial arena fights in their plots, with it becoming almost a peplum subgenre in itself; One group of supermen known as "The Ten Gladiators" appeared in a trilogy, all three films starring Dan Vadis in the lead role.
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The Arena (also known as the Naked Warriors) is a 1974 gladiator exploitation film, starring Margaret Markov and Pam Grier, and directed by Steve Carver and an uncredited Joe D'Amato. Grier and Markov portray female gladiators in ancient Rome, who have been enslaved and must fight for their freedom. Gladiator is a 2000 British-American epic historical drama film directed by Ridley Scott, and starring Russell Crowe and Joaquin Phoenix. Crowe portrays a fictional Roman general who is reduced to slavery and then rises through the ranks of the gladiatorial arena to avenge the murder of his family. Amazons and Gladiators is a 2001 drama action adventure film directed and written by Zachary Weintraub starring Patrick Bergin and Jennifer Rubin.[233]
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A fossil fuel is a fuel formed by natural processes, such as anaerobic decomposition of buried dead organisms, containing organic molecules originating in ancient photosynthesis[1] that release energy in combustion.[2]
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Such organisms and their resulting fossil fuels typically have an age of millions of years, and sometimes more than 650 million years.[3]
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Fossil fuels contain high percentages of carbon and include petroleum, coal, and natural gas.[4] Peat is also sometimes considered a fossil fuel.[5]
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Commonly used derivatives of fossil fuels include kerosene and propane.
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Fossil fuels range from volatile materials with low carbon-to-hydrogen ratios (like methane), to liquids (like petroleum), to nonvolatile materials composed of almost pure carbon, like anthracite coal.
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Methane can be found in hydrocarbon fields alone, associated with oil, or in the form of methane clathrates.
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As of 2018, the world's main primary energy sources consisted of petroleum (34%), coal (27%), and natural gas (24%), amounting to an 85% share for fossil fuels in primary energy consumption in the world.
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Non-fossil sources included nuclear (4.4%), hydroelectric (6.8%), and other renewables (4.0%, including geothermal, solar, tidal, wind, wood, and waste).[6]
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The share of renewables (including traditional biomass) in the world's total final energy consumption was 18% in 2018.[7] Compared with 2017, world energy-consumption grew at a rate of 2.9%, almost double its 10-year average of 1.5% per year, and the fastest since 2010.[8]
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Although fossil fuels are continually formed by natural processes, they are generally classified as non-renewable resources because they take millions of years to form and known viable reserves are being depleted much faster than new ones are generated.[9][10]
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Most air pollution deaths are due to fossil fuel combustion products, it is estimated to cost over 3% of global GDP,[11] and fossil fuel phase-out would save 3.6 million lives each year.[12]
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The use of fossil fuels raises serious environmental concerns.
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The burning of fossil fuels produces around 35 billion tonnes (35 gigatonnes) of carbon dioxide (CO2) per year.[13]
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It is estimated that natural processes can only absorb a small part of that amount, so there is a net increase of many billion tonnes of atmospheric carbon dioxide per year.[14]
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CO2 is a greenhouse gas that increases radiative forcing and contributes to global warming and ocean acidification.
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A global movement towards the generation of low-carbon renewable energy is underway to help reduce global greenhouse-gas emissions.
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The theory that fossil fuels formed from the fossilized remains of dead plants by exposure to heat and pressure in the Earth's crust over millions of years was first introduced by Andreas Libavius "in his 1597 Alchemia [Alchymia]" and later by Mikhail Lomonosov "as early as 1757 and certainly by 1763".[16] The first use of the term "fossil fuel" occurs in the work of the German chemist Caspar Neumann, in English translation in 1759.[17] The Oxford English Dictionary notes that in the phrase "fossil fuel" the adjective "fossil" means "[o]btained by digging; found buried in the earth", which dates to at least 1652,[18] before the English noun "fossil" came to refer primarily to long-dead organisms in the early 18th century.[19]
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Aquatic phytoplankton and zooplankton that died and sedimented in large quantities under anoxic conditions millions of years ago began forming petroleum and natural gas as a result of anaerobic decomposition. Over geological time this organic matter, mixed with mud, became buried under further heavy layers of inorganic sediment. The resulting high temperature and pressure caused the organic matter to chemically alter, first into a waxy material known as kerogen, which is found in oil shales, and then with more heat into liquid and gaseous hydrocarbons in a process known as catagenesis. Despite these heat driven transformations (which increase the energy density compared to typical organic matter by removal of oxygen atoms)[2], the energy released in combustion is still photosynthetic in origin.[1]
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Terrestrial plants, on the other hand, tended to form coal and methane. Many of the coal fields date to the Carboniferous period of Earth's history. Terrestrial plants also form type III kerogen, a source of natural gas.
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There is a wide range of organic compounds in any given fuel. The specific mixture of hydrocarbons gives a fuel its characteristic properties, such as density, viscosity, boiling point, melting point, etc. Some fuels like natural gas, for instance, contain only very low boiling, gaseous components. Others such as gasoline or diesel contain much higher boiling components.
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Fossil fuels are of great importance because they can be burned (oxidized to carbon dioxide and water), producing significant amounts of energy per unit mass. The use of coal as a fuel predates recorded history. Coal was used to run furnaces for the smelting of metal ore. While semi-solid hydrocarbons from seeps were also burned in ancient times,[20] they were mostly used for waterproofing and embalming.[21]
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Commercial exploitation of petroleum began in the 19th century, largely to replace oils from animal sources (notably whale oil) for use in oil lamps.[22]
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Natural gas, once flared-off as an unneeded byproduct of petroleum production, is now considered a very valuable resource.[23] Natural gas deposits are also the main source of helium.
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Heavy crude oil, which is much more viscous than conventional crude oil, and oil sands, where bitumen is found mixed with sand and clay, began to become more important as sources of fossil fuel in the early 2000s.[24] Oil shale and similar materials are sedimentary rocks containing kerogen, a complex mixture of high-molecular weight organic compounds, which yield synthetic crude oil when heated (pyrolyzed). With additional processing, they can be employed in lieu of other established fossil fuels. More recently, there has been disinvestment from exploitation of such resources due to their high carbon cost relative to more easily processed reserves.[25]
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Prior to the latter half of the 18th century, windmills and watermills provided the energy needed for industry such as milling flour, sawing wood or pumping water, while burning wood or peat provided domestic heat. The wide-scale use of fossil fuels, coal at first and petroleum later, in steam engines enabled the Industrial Revolution. At the same time, gas lights using natural gas or coal gas were coming into wide use. The invention of the internal combustion engine and its use in automobiles and trucks greatly increased the demand for gasoline and diesel oil, both made from fossil fuels. Other forms of transportation, railways and aircraft, also require fossil fuels. The other major use for fossil fuels is in generating electricity and as feedstock for the petrochemical industry. Tar, a leftover of petroleum extraction, is used in construction of roads.
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Levels of primary energy sources are the reserves in the ground. Flows are production of fossil fuels from these reserves. The most important primary energy sources are carbon-based fossil energy sources.
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P. E. Hodgson, a senior research fellow emeritus in physics at Corpus Christi College, Oxford, expects the world energy use to double every fourteen years and the need to increase faster still, and he insisted in 2008 that the world oil production, a main resource of fossil fuel, was expected to peak in ten years and thereafter fall.[26]
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The principle of supply and demand holds that as hydrocarbon supplies diminish, prices will rise. Therefore, higher prices will lead to increased alternative, renewable energy supplies as previously uneconomic sources become sufficiently economical to exploit. Artificial gasolines and other renewable energy sources currently require more expensive production and processing technologies than conventional petroleum reserves, but may become economically viable in the near future.
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Different alternative sources of energy include nuclear, hydroelectric, solar, wind, and geothermal.
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One of the more promising energy alternatives is the use of inedible feed stocks and biomass for carbon dioxide capture as well as biofuel production. While these processes are not without problems, they are currently in practice around the world. Biodiesels are being produced by several companies and are the subject of research at several universities. Processes for converting renewable lipids into usable fuels include hydrotreating and decarboxylation.
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The United States holds less than 5% of the world's population, but due to large houses and private cars, uses more than 25% of the world's supply of fossil fuels.[27] As the largest source of U.S. greenhouse gas emissions, CO2 from fossil fuel combustion accounted for 80 percent of weighted emissions in 1998.[28] Combustion of fossil fuels also produces other air pollutants, such as nitrogen oxides, sulfur dioxide, volatile organic compounds and heavy metals.
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According to Environment Canada:
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"The electricity sector is unique among industrial sectors in its very large contribution to emissions associated with nearly all air issues. Electricity generation produces a large share of Canadian nitrogen oxides and sulphur dioxide emissions, which contribute to smog and acid rain and the formation of fine particulate matter. It is the largest uncontrolled industrial source of mercury emissions in Canada. Fossil fuel-fired electric power plants also emit carbon dioxide, which may contribute to climate change. In addition, the sector has significant impacts on water and habitat and species. In particular, hydropower dams and transmission lines have significant effects on water and biodiversity."[29]
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According to U.S. scientist Jerry Mahlman, who crafted the IPCC language used to define levels of scientific certainty, the new report will blame fossil fuels for global warming with "virtual certainty," meaning 99% sure. That's a significant jump from "likely," or 66% sure, in the group's last report in 2001. More than 1,600 pages of research went into the new assessment.[30]
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Combustion of fossil fuels generates sulfuric and nitric acids, which fall to Earth as acid rain, impacting both natural areas and the built environment. Monuments and sculptures made from marble and limestone are particularly vulnerable, as the acids dissolve calcium carbonate.
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Fossil fuels also contain radioactive materials, mainly uranium and thorium, which are released into the atmosphere. In 2000, about 12,000 tonnes of thorium and 5,000 tonnes of uranium were released worldwide from burning coal.[31] It is estimated that during 1982, US coal burning released 155 times as much radioactivity into the atmosphere as the Three Mile Island accident.[32]
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Burning coal also generates large amounts of bottom ash and fly ash. These materials are used in a wide variety of applications, utilizing, for example, about 40% of the US production.[33]
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Harvesting, processing, and distributing fossil fuels can also create environmental concerns. Coal mining methods, particularly mountaintop removal and strip mining, have negative environmental impacts, and offshore oil drilling poses a hazard to aquatic organisms. Fossil fuel wells can contribute to methane release via fugitive gas emissions. Oil refineries also have negative environmental impacts, including air and water pollution. Transportation of coal requires the use of diesel-powered locomotives, while crude oil is typically transported by tanker ships, requiring the combustion of additional fossil fuels.
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Environmental regulation uses a variety of approaches to limit these emissions, such as command-and-control (which mandates the amount of pollution or the technology used), economic incentives, or voluntary programs.
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An example of such regulation in the USA is the "EPA is implementing policies to reduce airborne mercury emissions. Under regulations issued in 2005, coal-fired power plants will need to reduce their emissions by 70 percent by 2018.".[34]
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In economic terms, pollution from fossil fuels is regarded as a negative externality. Taxation is considered as one way to make societal costs explicit, in order to 'internalize' the cost of pollution. This aims to make fossil fuels more expensive, thereby reducing their use and the amount of associated pollution, along with raising the funds necessary to counteract these effects.[citation needed]
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According to Rodman D. Griffin, "The burning of coal and oil have saved inestimable amounts of time and labor while substantially raising living standards around the world".[35] Although the use of fossil fuels may seem beneficial to our lives, it plays a role in global warming and it is said to be dangerous for the future.[35]
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Moreover, this environmental pollution impacts humans because particulates and other air pollution from fossil fuel combustion cause illness and death when inhaled by people. These health effects include premature death, acute respiratory illness, aggravated asthma, chronic bronchitis and decreased lung function. The poor, undernourished, very young and very old, and people with preexisting respiratory disease and other ill health, are more at risk.[36]
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In 2014, the global energy industry revenue was about US$8 trillion,[37] with about 84% fossil fuel, 4% nuclear, and 12% renewable (including hydroelectric).[38]
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In 2014, there were 1,469 oil and gas firms listed on stock exchanges around the world, with a combined market capitalization of US$4.65 trillion.[39] In 2019, Saudi Aramco was listed and it touched a US$2 trillion valuation on its second day of trading,[40] after the world's largest initial public offering.[41]
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Air pollution from fossil fuels in 2018 has been estimated to cost US$2.9 trillion, or 3.3% of global GDP.[11]
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The International Energy Agency estimated 2017 global government fossil fuel subsidies to have been $300 billion.[42]
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A 2015 report studied 20 fossil fuel companies and found that, while highly profitable, the hidden economic cost to society was also large.[43][44] The report spans the period 2008–2012 and notes that: "For all companies and all years, the economic cost to society of their CO2 emissions was greater than their after‐tax profit, with the single exception of ExxonMobil in 2008."[43]:4 Pure coal companies fare even worse: "the economic cost to society exceeds total revenue in all years, with this cost varying between nearly $2 and nearly $9 per $1 of revenue."[43]:5 In this case, total revenue includes "employment, taxes, supply purchases, and indirect employment."[43]:4
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Fossil fuel prices generally are below their actual costs, or their "efficient prices," when economic externalities, such as the costs of air pollution and global climate destruction, are taken into account. Fossil fuels are subsidized in the amount of $4.7 trillion in 2015, which is equivalent to 6.3% of the 2015 global GDP and are estimated to grow to $5.2 trillion in 2017, which is equivalent to 6.5% of global GDP. The largest five subsidizers in 2015 were the following: China with $1.4 trillion in fossil fuel subsidies, United States with $649 billion, Russia with $551 billion, the European Union with $289 billion, and India with $209 billion. Had there been no subsidies for fossil fuels, global carbon emissions would have been lowered by an estimated 28% in 2015, air-pollution related deaths reduced by 46%, and government revenue increased by $2.8 trillion or 3.8% of GDP.[45]
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In a modern sense, comedy (from the Greek: κωμῳδία, kōmōidía) is a genre of fiction that refers to any discourse or work generally intended to be humorous or amusing by inducing laughter, especially in theatre, television, film, stand-up comedy, books or any other medium of entertainment. The origins of the term are found in Ancient Greece. In the Athenian democracy, the public opinion of voters was influenced by the political satire performed by the comic poets at the theaters.[1] The theatrical genre of Greek comedy can be described as a dramatic performance which pits two groups or societies against each other in an amusing agon or conflict. Northrop Frye depicted these two opposing sides as a "Society of Youth" and a "Society of the Old."[2] A revised view characterizes the essential agon of comedy as a struggle between a relatively powerless youth and the societal conventions that pose obstacles to his hopes. In this struggle, the youth is understood to be constrained by his lack of social authority, and is left with little choice but to take recourse in ruses which engender very dramatic irony which provokes laughter.[3]
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Satire and political satire use comedy to portray persons or social institutions as ridiculous or corrupt, thus alienating their audience from the object of their humor. Parody subverts popular genres and forms, critiquing those forms without necessarily condemning them.
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Other forms of comedy include screwball comedy, which derives its humor largely from bizarre, surprising (and improbable) situations or characters, and black comedy, which is characterized by a form of humor that includes darker aspects of human behavior or human nature. Similarly scatological humor, sexual humor, and race humor create comedy by violating social conventions or taboos in comic ways. A comedy of manners typically takes as its subject a particular part of society (usually upper-class society) and uses humor to parody or satirize the behavior and mannerisms of its members. Romantic comedy is a popular genre that depicts burgeoning romance in humorous terms and focuses on the foibles of those who are falling in love.
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The word "comedy" is derived from the Classical Greek κωμῳδία kōmōidía, which is a compound of κῶμος kômos (revel) and ᾠδή ōidḗ (singing; ode).[4] The adjective "comic" (Greek κωμικός kōmikós), which strictly means that which relates to comedy is, in modern usage, generally confined to the sense of "laughter-provoking".[5] Of this, the word came into modern usage through the Latin comoedia and Italian commedia and has, over time, passed through various shades of meaning.[6]
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The Greeks and Romans confined their use of the word "comedy" to descriptions of stage-plays with happy endings. Aristotle defined comedy as an imitation of men worse than the average (where tragedy was an imitation of men better than the average). However, the characters portrayed in comedies were not worse than average in every way, only insofar as they are Ridiculous, which is a species of the Ugly. The Ridiculous may be defined as a mistake or deformity not productive of pain or harm to others; the mask, for instance, that excites laughter is something ugly and distorted without causing pain.[7] In the Middle Ages, the term expanded to include narrative poems with happy endings. It is in this sense that Dante used the term in the title of his poem, La Commedia.
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As time progressed, the word came more and more to be associated with any sort of performance intended to cause laughter.[6] During the Middle Ages, the term "comedy" became synonymous with satire, and later with humour in general.
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Aristotle's Poetics was translated into Arabic in the medieval Islamic world, where it was elaborated upon by Arabic writers and Islamic philosophers, such as Abu Bishr, and his pupils Al-Farabi, Avicenna, and Averroes. They disassociated comedy from Greek dramatic representation and instead identified it with Arabic poetic themes and forms, such as hija (satirical poetry). They viewed comedy as simply the "art of reprehension", and made no reference to light and cheerful events, or to the troubling beginnings and happy endings associated with classical Greek comedy.
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After the Latin translations of the 12th century, the term "comedy" gained a more general meaning in medieval literature.[8]
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In the late 20th century, many scholars preferred to use the term laughter to refer to the whole gamut of the comic, in order to avoid the use of ambiguous and problematically defined genres such as the grotesque, irony, and satire.[9][10]
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Starting from 425 BCE, Aristophanes, a comic playwright and satirical author of the Ancient Greek Theater, wrote 40 comedies, 11 of which survive. Aristophanes developed his type of comedy from the earlier satyr plays, which were often highly obscene.[11] The only surviving examples of the satyr plays are by Euripides, which are much later examples and not representative of the genre.[12] In ancient Greece, comedy originated in bawdy and ribald songs or recitations apropos of phallic processions and fertility festivals or gatherings.[13]
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Around 335 BCE, Aristotle, in his work Poetics, stated that comedy originated in phallic processions and the light treatment of the otherwise base and ugly. He also adds that the origins of comedy are obscure because it was not treated seriously from its inception.[14] However, comedy had its own Muse: Thalia.
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Aristotle taught that comedy was generally positive for society, since it brings forth happiness, which for Aristotle was the ideal state, the final goal in any activity. For Aristotle, a comedy did not need to involve sexual humor. A comedy is about the fortunate rise of a sympathetic character. Aristotle divides comedy into three categories or subgenres: farce, romantic comedy, and satire. On the contrary, Plato taught that comedy is a destruction to the self. He believed that it produces an emotion that overrides rational self-control and learning. In The Republic, he says that the guardians of the state should avoid laughter, "for ordinarily when one abandons himself to violent laughter, his condition provokes a violent reaction." Plato says comedy should be tightly controlled if one wants to achieve the ideal state.
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Also in Poetics, Aristotle defined comedy as one of the original four genres of literature. The other three genres are tragedy, epic poetry, and lyric poetry. Literature, in general, is defined by Aristotle as a mimesis, or imitation of life. Comedy is the third form of literature, being the most divorced from a true mimesis. Tragedy is the truest mimesis, followed by epic poetry, comedy, and lyric poetry. The genre of comedy is defined by a certain pattern according to Aristotle's definition. Comedies begin with low or base characters seeking insignificant aims and end with some accomplishment of the aims which either lightens the initial baseness or reveals the insignificance of the aims.
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The Divine Comedy (Italian: Divina Commedia [diˈviːna komˈmɛːdja]) is a long narrative poem by Dante Alighieri, begun c. 1308 and completed in 1320, a year before his death in 1321. It is widely considered to be the preeminent work in Italian literature[15] and one of the greatest works of world literature.[16] The poem's imaginative vision of the afterlife is representative of the medieval world-view as it had developed in the Western Church by the 14th century. It helped establish the Tuscan language, in which it is written, as the standardized Italian language.[17] It is divided into three parts: Inferno, Purgatorio, and Paradiso.
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The narrative describes Dante's travels through Hell, Purgatory, and Paradise or Heaven,[18] while allegorically the poem represents the soul's journey towards God.[19] Dante draws on medieval Christian theology and philosophy, especially Thomistic philosophy and the Summa Theologica of Thomas Aquinas.[20] Consequently, the Divine Comedy has been called "the Summa in verse".[21] In Dante's work, Virgil is presented as human reason and Beatrice is presented as divine knowledge.[22]
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The work was originally simply titled Comedia (so also in the first printed edition, published in 1472). The adjective Divina was added by Giovanni Boccaccio, and the first edition to name the poem Divina Comedia in the title was that of the Venetian humanist Lodovico Dolce,[23] published in 1555 by Gabriele Giolito de' Ferrari.
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The Divine Comedy is composed of 14,233 lines that are divided into three cantiche (singular cantica) – Inferno (Hell), Purgatorio (Purgatory), and Paradiso (Paradise) – each consisting of 33 cantos (Italian plural canti). An initial canto, serving as an introduction to the poem and generally considered to be part of the first cantica, brings the total number of cantos to 100. It is generally accepted, however, that the first two cantos serve as a unitary prologue to the entire epic, and that the opening two cantos of each cantica serve as prologues to each of the three cantiche.[24][25][26]
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"Comedy", in its Elizabethan usage, had a very different meaning from modern comedy. A Shakespearean comedy is one that has a happy ending, usually involving marriages between the unmarried characters, and a tone and style that is more light-hearted than Shakespeare's other plays.[27]
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The Punch and Judy show has roots in the 16th-century Italian commedia dell'arte. The figure of Punch derives from the Neapolitan stock character of Pulcinella.[28] The figure who later became Mr. Punch made his first recorded appearance in England in 1662.[29] Punch and Judy are performed in the spirit of outrageous comedy — often provoking shocked laughter — and are dominated by the anarchic clowning of Mr. Punch.[30] Appearing at a significant period in British history, professor Glyn Edwards states: "[Pulcinella] went down particularly well with Restoration British audiences, fun-starved after years of Puritanism. We soon changed Punch's name, transformed him from a marionette to a hand puppet, and he became, really, a spirit of Britain — a subversive maverick who defies authority, a kind of puppet equivalent to our political cartoons."[29]
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In early 19th century England, pantomime acquired its present form which includes slapstick comedy and featured the first mainstream clown Joseph Grimaldi, while comedy routines also featured heavily in British music hall theatre which became popular in the 1850s.[31] British comedians who honed their skills in music hall sketches include Charlie Chaplin, Stan Laurel and Dan Leno.[32] English music hall comedian and theatre impresario Fred Karno developed a form of sketch comedy without dialogue in the 1890s, and Chaplin and Laurel were among the comedians who worked for his company.[32] Karno was a pioneer of slapstick, and in his biography, Laurel stated, "Fred Karno didn't teach Charlie [Chaplin] and me all we know about comedy. He just taught us most of it".[33] Film producer Hal Roach stated: "Fred Karno is not only a genius, he is the man who originated slapstick comedy. We in Hollywood owe much to him."[34] American vaudeville emerged in the 1880s and remained popular until the 1930s, and featured comedians such as W. C. Fields, Buster Keaton and the Marx Brothers.
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Surreal humour (also known as 'absurdist humour'), or 'surreal comedy', is a form of humour predicated on deliberate violations of causal reasoning, producing events and behaviours that are obviously illogical. Constructions of surreal humour tend to involve bizarre juxtapositions, incongruity, non-sequiturs, irrational or absurd situations and expressions of nonsense.[35] The humour arises from a subversion of audience's expectations, so that amusement is founded on unpredictability, separate from a logical analysis of the situation. The humour derived gets its appeal from the ridiculousness and unlikeliness of the situation. The genre has roots in Surrealism in the arts.[35]
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Surreal humour is the effect of illogic and absurdity being used for humorous effect. Under such premises, people can identify precursors and early examples of surreal humour at least since the 19th century, such as Lewis Carroll's Alice's Adventures in Wonderland and Through the Looking-Glass, which both use illogic and absurdity (hookah-smoking caterpillars, croquet matches using live flamingos as mallets, etc.) for humorous effect. Many of Edward Lear's children stories and poems contain nonsense and are basically surreal in approach. For example, The Story of the Four Little Children Who Went Round the World (1871) is filled with contradictory statements and odd images intended to provoke amusement, such as the following:
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After a time they saw some land at a distance; and when they came to it, they found it was an island made of water quite surrounded by earth. Besides that, it was bordered by evanescent isthmuses with a great Gulf-stream running about all over it, so that it was perfectly beautiful, and contained only a single tree, 503 feet high.[36]
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In the early 20th century, several avant-garde movements, including the dadaists, surrealists, and futurists, began to argue for an art that was random, jarring and illogical.[37] The goals of these movements were in some sense serious, and they were committed to undermining the solemnity and self-satisfaction of the contemporary artistic establishment. As a result, much of their art was intentionally amusing.
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A famous example is Marcel Duchamp's Fountain (1917), an inverted urinal signed "R. Mutt". This became one of the most famous and influential pieces of art in history, and one of the earliest examples of the found object movement. It is also a joke, relying on the inversion of the item's function as expressed by its title as well as its incongruous presence in an art exhibition.[38]
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The advent of cinema in the late 19th century, and later radio and television in the 20th century broadened the access of comedians to the general public. Charlie Chaplin, through silent film, became one of the best-known faces on Earth. The silent tradition lived on well into the 20th century through mime artists like Marcel Marceau, and the physical comedy of artists like Rowan Atkinson as Mr. Bean. The tradition of the circus clown also continued, with such as Bozo the Clown in the United States and Oleg Popov in Russia. Radio provided new possibilities — with Britain producing the influential surreal humour of the Goon Show after the Second World War. The Goons' influence spread to the American radio and recording troupe the Firesign Theatre. American cinema has produced a great number of globally renowned comedy artists, from Laurel and Hardy, the Three Stooges, Abbott and Costello, Dean Martin and Jerry Lewis, as well as Bob Hope during the mid-20th century, to performers like George Carlin, Robin Williams, and Eddie Murphy at the end of the century. Hollywood attracted many international talents like the British comics Peter Sellers, Dudley Moore and Sacha Baron Cohen, Canadian comics Dan Aykroyd, Jim Carrey, and Mike Myers, and the Australian comedian Paul Hogan, famous for Crocodile Dundee. Other centres of creative comic activity have been the cinema of Hong Kong, Bollywood, and French farce.
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American television has also been an influential force in world comedy: with American series like M*A*S*H, Seinfeld and The Simpsons achieving large followings around the world. British television comedy also remains influential, with quintessential works including Fawlty Towers, Monty Python, Dad's Army, Blackadder, and The Office. Australian satirist Barry Humphries, whose comic creations include the housewife and "gigastar" Dame Edna Everage, for his delivery of Dadaist and absurdist humour to millions, was described by biographer Anne Pender in 2010 as not only "the most significant theatrical figure of our time ... [but] the most significant comedian to emerge since Charlie Chaplin".[39]
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By 200 BC,[40] in ancient Sanskrit drama, Bharata Muni's Natya Shastra defined humour (hāsyam) as one of the nine nava rasas, or principle rasas (emotional responses), which can be inspired in the audience by bhavas, the imitations of emotions that the actors perform. Each rasa was associated with a specific bhavas portrayed on stage. In the case of humour, it was associated with mirth (hasya).
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The phenomena connected with laughter and that which provokes it have been carefully investigated by psychologists. They agree the predominant characteristics are incongruity or contrast in the object and shock or emotional seizure on the part of the subject. It has also been held that the feeling of superiority is an essential factor: thus Thomas Hobbes speaks of laughter as a "sudden glory". Modern investigators have paid much attention to the origin both of laughter and of smiling, as well as the development of the "play instinct" and its emotional expression.
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George Meredith said that "One excellent test of the civilization of a country ... I take to be the flourishing of the Comic idea and Comedy, and the test of true Comedy is that it shall awaken thoughtful laughter." Laughter is said to be the cure for being sick. Studies show that people who laugh more often get sick less.[41][42]
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American literary theorist Kenneth Burke writes that the "comic frame" in rhetoric is "neither wholly euphemistic, nor wholly debunking—hence it provides the charitable attitude towards people that is required for purposes of persuasion and co-operation, but at the same time maintains our shrewdness concerning the simplicities of ‘cashing in.’" [43] The purpose of the comic frame is to satirize a given circumstance and promote change by doing so. The comic frame makes fun of situations and people, while simultaneously provoking thought.[44] The comic frame does not aim to vilify in its analysis, but rather, rebuke the stupidity and foolery of those involved in the circumstances.[45] For example, on The Daily Show, Jon Stewart uses the "comic frame" to intervene in political arguments, often offering crude humor in sudden contrast to serious news. In a segment on President Obama's trip to China Stewart remarks on America's debt to the Chinese government while also having a weak relationship with the country. After depicting this dismal situation, Stewart shifts to speak directly to President Obama, calling upon him to "shine that turd up."[46] For Stewart and his audience, introducing coarse language into what is otherwise a serious commentary on the state of foreign relations serves to frame the segment comically, creating a serious tone underlying the comedic agenda presented by Stewart.
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Comedy may be divided into multiple genres based on the source of humor, the method of delivery, and the context in which it is delivered. The different forms of comedy often overlap, and most comedy can fit into multiple genres. Some of the subgenres of comedy are farce, comedy of manners, burlesque, and satire.
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Some comedy apes certain cultural forms: for instance, parody and satire often imitate the conventions of the genre they are parodying or satirizing. For example, in the United States, parodies of newspapers and television news include The Onion, and The Colbert Report; in Australia, shows such as Kath & Kim, Utopia, and Shaun Micallef's Mad As Hell perform the same role.
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Self-deprecation is a technique of comedy used by many comedians who focus on their misfortunes and foibles in order to entertain.
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Stand-up comedy is a mode of comic performance in which the performer addresses the audience directly, usually speaking in their own person rather than as a dramatic character.
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The deliberate use by Menard of the term 'le rire' rather than 'l'humour' reflects accurately the current evidency to incorporate all instances of the comic in the analysis, while the classification in genres and fields such as grotesque, humour and even irony or satire always poses problems. The terms humour and laughter are therefore pragmatically used in recent historiography to cover the entire spectrum.
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That Comedy sprang up and took shape in connection with Dionysiac or Phallic ritual has never been doubted.
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An actor is a person who portrays a character in a performance (also actress; see below).[1] The actor performs "in the flesh" in the traditional medium of the theatre or in modern media such as film, radio, and television. The analogous Greek term is ὑποκριτής (hupokritḗs), literally "one who answers".[2] The actor's interpretation of their role—the art of acting—pertains to the role played, whether based on a real person or fictional character. This can also be considered an "actor's role," which was called this due to scrolls being used in the theaters. Interpretation occurs even when the actor is "playing themselves", as in some forms of experimental performance art.
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Formerly, in ancient Greece and Rome, the medieval world, and the time of William Shakespeare, only men could become actors, and women's roles were generally played by men or boys.[3] While Ancient Rome did allow female stage performers, only a small minority of them were given speaking parts. The commedia dell’arte of Italy, however, allowed professional women to perform early on: Lucrezia Di Siena, whose name is on a contract of actors from 10 October 1564, has been referred to as the first Italian actress known by name, with Vincenza Armani and Barbara Flaminia as the first primadonna's and the first well documented actresses in Italy (and Europe). [4] After the English Restoration of 1660, women began to appear on stage in England. In modern times, particularly in pantomime and some operas, women occasionally play the roles of boys or young men.[5]
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The first recorded case of a performing actor occurred in 534 BC (though the changes in calendar over the years make it hard to determine exactly) when the Greek performer Thespis stepped onto the stage at the Theatre Dionysus to become the first known person to speak words as a character in a play or story. Before Thespis' act, Grecian stories were only expressed in song, dance, and in third person narrative. In honor of Thespis, actors are commonly called Thespians. The exclusively male actors in the theatre of ancient Greece performed in three types of drama: tragedy, comedy, and the satyr play.[6] Western theatre developed and expanded considerably under the Romans. The theatre of ancient Rome was a thriving and diverse art form, ranging from festival performances of street theatre, nude dancing, and acrobatics, to the staging of situation comedies, to high-style, verbally elaborate tragedies.
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As the Western Roman Empire fell into decay through the 4th and 5th centuries, the seat of Roman power shifted to Constantinople and the Byzantine Empire. Records show that mime, pantomime, scenes or recitations from tragedies and comedies, dances, and other entertainments were very popular. From the 5th century, Western Europe was plunged into a period of general disorder. Small nomadic bands of actors traveled around Europe throughout the period, performing wherever they could find an audience; there is no evidence that they produced anything but crude scenes.[7] Traditionally, actors were not of high status; therefore, in the Early Middle Ages, traveling acting troupes were often viewed with distrust. Early Middle Ages actors were denounced by the Church during the Dark Ages, as they were viewed as dangerous, immoral, and pagan. In many parts of Europe, traditional beliefs of the region and time meant actors could not receive a Christian burial.
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+
In the Early Middle Ages, churches in Europe began staging dramatized versions of biblical events. By the middle of the 11th century, liturgical drama had spread from Russia to Scandinavia to Italy. The Feast of Fools encouraged the development of comedy. In the Late Middle Ages, plays were produced in 127 towns. These vernacular Mystery plays often contained comedy, with actors playing devils, villains, and clowns.[8] The majority of actors in these plays were drawn from the local population. Amateur performers in England were exclusively male, but other countries had female performers.
|
10 |
+
|
11 |
+
There were several secular plays staged in the Middle Ages, the earliest of which is The Play of the Greenwood by Adam de la Halle in 1276. It contains satirical scenes and folk material such as faeries and other supernatural occurrences. Farces also rose dramatically in popularity after the 13th century. At the end of the Late Middle Ages, professional actors began to appear in England and Europe. Richard III and Henry VII both maintained small companies of professional actors. Beginning in the mid-16th century, Commedia dell'arte troupes performed lively improvisational playlets across Europe for centuries. Commedia dell'arte was an actor-centred theatre, requiring little scenery and very few props. Plays were loose frameworks that provided situations, complications, and outcome of the action, around which the actors improvised. The plays used stock characters. A troupe typically consisted of 13 to 14 members. Most actors were paid a share of the play's profits roughly equivalent to the sizes of their roles.
|
12 |
+
|
13 |
+
Renaissance theatre derived from several medieval theatre traditions, such as the mystery plays, "morality plays", and the "university drama" that attempted to recreate Athenian tragedy. The Italian tradition of Commedia dell'arte, as well as the elaborate masques frequently presented at court, also contributed to the shaping of public theatre. Since before the reign of Elizabeth I, companies of players were attached to households of leading aristocrats and performed seasonally in various locations. These became the foundation for the professional players that performed on the Elizabethan stage.
|
14 |
+
|
15 |
+
The development of the theatre and opportunities for acting ceased when Puritan opposition to the stage banned the performance of all plays within London. Puritans viewed the theatre as immoral. The re-opening of the theatres in 1660 signaled a renaissance of English drama. English comedies written and performed in the Restoration period from 1660 to 1710 are collectively called "Restoration comedy". Restoration comedy is notorious for its sexual explicitness. At this point, women were allowed for the first time to appear on the English stage, exclusively in female roles. This period saw the introduction of the first professional actresses and the rise of the first celebrity actors.
|
16 |
+
|
17 |
+
In the 19th century, the negative reputation of actors was largely reversed, and acting became an honored, popular profession and art.[9] The rise of the actor as celebrity provided the transition, as audiences flocked to their favorite "stars". A new role emerged for the actor-managers, who formed their own companies and controlled the actors, the productions, and the financing.[10] When successful, they built up a permanent clientele that flocked to their productions. They could enlarge their audience by going on tour across the country, performing a repertoire of well-known plays, such as those by Shakespeare. The newspapers, private clubs, pubs, and coffee shops rang with lively debates evaluating the relative merits of the stars and the productions. Henry Irving (1838-1905) was the most successful of the British actor-managers.[11] Irving was renowned for his Shakespearean roles, and for such innovations as turning out the house lights so that attention could focus more on the stage and less on the audience. His company toured across Britain, as well as Europe and the United States, demonstrating the power of star actors and celebrated roles to attract enthusiastic audiences. His knighthood in 1895 indicated full acceptance into the higher circles of British society.[12]
|
18 |
+
|
19 |
+
By the early 20th century, the economics of large-scale productions displaced the actor-manager model. It was too hard to find people who combined a genius at acting as well as management, so specialization divided the roles as stage managers and later theatre directors emerged. Financially, much larger capital was required to operate out of a major city. The solution was corporate ownership of chains of theatres, such as by the Theatrical Syndicate, Edward Laurillard, and especially The Shubert Organization. By catering to tourists, theaters in large cities increasingly favored long runs of highly popular plays, especially musicals. Big name stars became even more essential.[13]
|
20 |
+
|
21 |
+
Formerly, in some societies, only men could become actors. In ancient Greece and ancient Rome[15] and the medieval world, it was considered disgraceful for a woman to go on stage; this belief persisted until the 17th century in Venice. In the time of William Shakespeare, women's roles were generally played by men or boys.[3]
|
22 |
+
|
23 |
+
When an eighteen-year Puritan prohibition of drama was lifted after the English Restoration of 1660, women began to appear on stage in England. Margaret Hughes is oft credited as the first professional actress on the English stage.[16] This prohibition ended during the reign of Charles II in part because he enjoyed watching actresses on stage.[17] Specifically, Charles II issued letters patent to Thomas Killigrew and William Davenant, granting them the monopoly right to form two London theatre companies to perform "serious" drama, and the letters patent were reissued in 1662 with revisions allowing actresses to perform for the first time.[18]
|
24 |
+
|
25 |
+
The first occurrence of the term actress was in 1608 according to the OED and is ascribed to Middleton. In the 19th century, many viewed women in acting negatively, as actresses were often courtesans and associated with promiscuity. Despite these prejudices, the 19th century also saw the first female acting "stars", most notably Sarah Bernhardt.[19]
|
26 |
+
|
27 |
+
In Japan, onnagata, or men taking on female roles, were used in kabuki theatre when women were banned from performing on stage during the Edo period; this convention continues. In some forms of Chinese drama such as Beijing opera, men traditionally performed all the roles, including female roles, while in Shaoxing opera women often play all roles, including male ones.[20]
|
28 |
+
|
29 |
+
In modern times, women occasionally played the roles of boys or young men. For example, the stage role of Peter Pan is traditionally played by a woman, as are most principal boys in British pantomime. Opera has several "breeches roles" traditionally sung by women, usually mezzo-sopranos. Examples are Hansel in Hänsel und Gretel, Cherubino in The Marriage of Figaro and Octavian in Der Rosenkavalier.
|
30 |
+
|
31 |
+
Women playing male roles are uncommon in film, with notable exceptions. In 1982, Stina Ekblad played the mysterious Ismael Retzinsky in Fanny and Alexander, and Linda Hunt received the Academy Award for Best Supporting Actress for playing Billy Kwan in The Year of Living Dangerously. In 2007, Cate Blanchett was nominated for the Academy Award for Best Supporting Actress for playing Jude Quinn, a fictionalized representation of Bob Dylan in the 1960s, in I'm Not There.
|
32 |
+
|
33 |
+
In the 2000s, women playing men in live theatre is particularly common in presentations of older plays, such as Shakespearean works with large numbers of male characters in roles where gender is inconsequential.[5]
|
34 |
+
|
35 |
+
Having an actor dress as the opposite sex for comic effect is also a long-standing tradition in comic theatre and film. Most of Shakespeare's comedies include instances of overt cross-dressing, such as Francis Flute in A Midsummer Night's Dream. The movie A Funny Thing Happened on the Way to the Forum stars Jack Gilford dressing as a young bride. Tony Curtis and Jack Lemmon famously posed as women to escape gangsters in the Billy Wilder film Some Like It Hot. Cross-dressing for comic effect was a frequently used device in most of the Carry On films. Dustin Hoffman and Robin Williams have each appeared in a hit comedy film (Tootsie and Mrs. Doubtfire, respectively) in which they played most scenes dressed as a woman.
|
36 |
+
|
37 |
+
Occasionally, the issue is further complicated, for example, by a woman playing a woman acting as a man—who then pretends to be a woman, such as Julie Andrews in Victor/Victoria, or Gwyneth Paltrow in Shakespeare in Love. In It's Pat: The Movie, film-watchers never learn the gender of the androgynous main characters Pat and Chris (played by Julia Sweeney and Dave Foley). Similarly, in the aforementioned example of The Marriage of Figaro, there is a scene in which Cherubino (a male character portrayed by a woman) dresses up and acts like woman; the other characters in the scene are aware of a single level of gender role obfuscation, while the audience is aware of two levels.
|
38 |
+
|
39 |
+
A few modern roles are played by a member of the opposite sex to emphasize the gender fluidity of the role. Edna Turnblad in Hairspray was played by Divine in the 1988 original film, Harvey Fierstein in the Broadway musical, and John Travolta in the 2007 movie musical. Eddie Redmayne was nominated for an Academy Award for playing Lili Elbe (a trans woman) in 2015's The Danish Girl.[21]
|
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+
|
41 |
+
In contrast to Ancient Greek theatre, Ancient Roman theatre did allow female performers. While the majority of them were seldom employed in speaking roles but rather for dancing, there were a minority of actresses in Rome employed in speaking roles, and also those who achieved wealth, fame and recognition for their art, such as Eucharis, Dionysia, Galeria Copiola and Fabia Arete, and they also formed their own acting guild, the Sociae Mimae, which was evidently quite wealthy. [22] The profession seemingly died out in late antiquity.
|
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+
|
43 |
+
While women did not begin to perform onstage in England until the second half of the 17th-century, they did appear in Italy, Spain and France from the late 16th-century onward. Lucrezia Di Siena, whose name is on an acting contract in Rome from 10 October 1564, has been referred to as the first Italian actress known by name, with Vincenza Armani and Barbara Flaminia as the first primadonnas and the first well documented actresses in Italy (and Europe). [4]
|
44 |
+
|
45 |
+
After 1660 in England, when women first started to appear on stage, the terms actor or actress were initially used interchangeably for female performers, but later, influenced by the French actrice, actress became the commonly used term for women in theater and film. The etymology is a simple derivation from actor with -ess added.[23] When referring to groups of performers of both sexes, actors is preferred.[24] Actor is also used before the full name of a performer as a gender-specific term.[citation needed]
|
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+
|
47 |
+
Within the profession, the re-adoption of the neutral term dates to the post-war period of the 1950 and '60s, when the contributions of women to cultural life in general were being reviewed.[25] When The Observer and The Guardian published their new joint style guide in 2010, it stated "Use ['actor'] for both male and female actors; do not use actress except when in name of award, e.g. Oscar for best actress".[24] The guide's authors stated that "actress comes into the same category as authoress, comedienne, manageress, 'lady doctor', 'male nurse' and similar obsolete terms that date from a time when professions were largely the preserve of one sex (usually men)." (See male as norm.) "As Whoopi Goldberg put it in an interview with the paper: 'An actress can only play a woman. I'm an actor – I can play anything.'"[24] The UK performers' union Equity has no policy on the use of "actor" or "actress". An Equity spokesperson said that the union does not believe that there is a consensus on the matter and stated that the "...subject divides the profession".[24] In 2009, the Los Angeles Times stated that "Actress" remains the common term used in major acting awards given to female recipients[26] (e.g., Academy Award for Best Actress).
|
48 |
+
|
49 |
+
With regard to the cinema of the United States, the gender-neutral term "player" was common in film in the silent film era and the early days of the Motion Picture Production Code, but in the 2000s in a film context, it is generally deemed archaic.[citation needed] However, "player" remains in use in the theatre, often incorporated into the name of a theatre group or company, such as the American Players, the East West Players, etc. Also, actors in improvisational theatre may be referred to as "players".[27]
|
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+
|
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+
In 2015, Forbes reported that "...just 21 of the 100 top-grossing films of 2014 featured a female lead or co-lead, while only 28.1% of characters in 100 top-grossing films were female...".[28] "In the U.S., there is an "industry-wide [gap] in salaries of all scales. On average, white women get paid 78 cents to every dollar a white man makes, while Hispanic women earn 56 cents to a white male's dollar, Black women 64 cents and Native American women just 59 cents to that."[28] Forbes' analysis of US acting salaries in 2013 determined that the "...men on Forbes' list of top-paid actors for that year made 21/2 times as much money as the top-paid actresses. That means that Hollywood's best-compensated actresses made just 40 cents for every dollar that the best-compensated men made."[29][30][31]
|
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+
|
53 |
+
Actors working in theatre, film, television, and radio have to learn specific skills. Techniques that work well in one type of acting may not work well in another type of acting.
|
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+
|
55 |
+
To act on stage, actors need to learn the stage directions that appear in the script, such as "Stage Left" and "Stage Right". These directions are based on the actor's point of view as he or she stands on the stage facing the audience. Actors also have to learn the meaning of the stage directions "Upstage" (away from the audience) and "Downstage" (towards the audience)[32] Theatre actors need to learn blocking, which is "...where and how an actor moves on the stage during a play". Most scripts specify some blocking. The Director also gives instructions on blocking, such as crossing the stage or picking up and using a prop.[32]
|
56 |
+
|
57 |
+
Some theater actors need to learn stage combat, which is simulated fighting on stage. Actors may have to simulate hand-to-hand [fighting] or sword[-fighting]. Actors are coached by fight directors, who help them learn the choreographed sequence of fight actions.
|
58 |
+
[32]
|
59 |
+
|
60 |
+
From 1894 to the late 1920s, movies were silent films. Silent film actors emphasized body language and facial expression, so that the audience could better understand what an actor was feeling and portraying on screen. Much silent film acting is apt to strike modern-day audiences as simplistic or campy. The melodramatic acting style was in some cases a habit actors transferred from their former stage experience. Vaudeville theatre was an especially popular origin for many American silent film actors.[33] The pervading presence of stage actors in film was the cause of this outburst from director Marshall Neilan in 1917: "The sooner the stage people who have come into pictures get out, the better for the pictures." In other cases, directors such as John Griffith Wray required their actors to deliver larger-than-life expressions for emphasis. As early as 1914, American viewers had begun to make known their preference for greater naturalness on screen.[34]
|
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+
|
62 |
+
Pioneering film directors in Europe and the United States recognized the different limitations and freedoms of the mediums of stage and screen by the early 1910s. Silent films became less vaudevillian in the mid-1910s, as the differences between stage and screen became apparent. Due to the work of directors such as D W Griffith, cinematography became less stage-like, and the then-revolutionary close-up shot allowed subtle and naturalistic acting. In America, D.W. Griffith's company Biograph Studios, became known for its innovative direction and acting, conducted suit the cinema rather than the stage. Griffith realized that theatrical acting did not look good on film and required his actors and actresses to go through weeks of film acting training.[35]
|
63 |
+
|
64 |
+
Lillian Gish has been called film's "first true actress" for her work in the period, as she pioneered new film performing techniques, recognizing the crucial differences between stage and screen acting. Directors such as Albert Capellani and Maurice Tourneur began to insist on naturalism in their films. By the mid-1920s many American silent films had adopted a more naturalistic acting style, though not all actors and directors accepted naturalistic, low-key acting straight away; as late as 1927, films featuring expressionistic acting styles, such as Metropolis, were still being released. [36]
|
65 |
+
|
66 |
+
According to Anton Kaes, a silent film scholar from the University of Wisconsin, American silent cinema began to see a shift in acting techniques between 1913 and 1921, influenced by techniques found in German silent film. This is mainly attributed to the influx of emigrants from the Weimar Republic, "including film directors, producers, cameramen, lighting and stage technicians, as well as actors and actresses".[37]
|
67 |
+
|
68 |
+
Film actors have to learn to get used to and be comfortable with a camera being in front of them.[38]
|
69 |
+
Film actors need to learn to find and stay on their "mark." This is a position on the floor marked with tape. This position is where the lights and camera focus are optimized. Film actors also need to learn how to prepare well and perform well on-screen tests. Screen tests are a filmed audition of part of the script.
|
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+
|
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+
Unlike theater actors, who develop characters for repeat performances, film actors lack continuity, forcing them to come to all scenes (sometimes shot in reverse of the order in which they ultimately appear) with a fully developed character already.[35]
|
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+
|
73 |
+
"Since film captures even the smallest gesture and magnifies it..., cinema demands a less flamboyant and stylized bodily performance from the actor than does the theater." "The performance of emotion is the most difficult aspect of film acting to master: ...the film actor must rely on subtle facial ticks, quivers, and tiny lifts of the eyebrow to create a believable character."[35] Some theatre stars "...have made the theater-to-cinema transition quite successfully (Laurence Olivier, Glenn Close, and Julie Andrews, for instance), others have not..."[35]
|
74 |
+
|
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+
"On a television set, there are typically several cameras angled at the set. Actors who are new to on-screen acting can get confused about which camera to look into."[32] TV actors need to learn to use lav mics (Lavaliere microphones).[32] TV actors need to understand the concept of "frame". "The term frame refers to the area that the camera's lens is capturing."[32]
|
76 |
+
Within the acting industry, there are four types of television roles one could land on a show. Each type varies in prominence, frequency of appearance, and pay. The first is known as a series regular—the main actors on the show as part of the permanent cast. Actors in recurring roles are under contract to appear in multiple episodes of a series. A co-star role is a small speaking role that usually only appears in one episode. A guest star is a larger role than a co-star role, and the character is often the central focus of the episode or integral to the plot.
|
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+
|
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+
Radio drama is a dramatized, purely acoustic performance, broadcast on radio or published on audio media, such as tape or CD. With no visual component, radio drama depends on dialogue, music and sound effects to help the listener imagine the characters and story: "It is auditory in the physical dimension but equally powerful as a visual force in the psychological dimension."[39]
|
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+
|
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+
Radio drama achieved widespread popularity within a decade of its initial development in the 1920s. By the 1940s, it was a leading international popular entertainment. With the advent of television in the 1950s, however, radio drama lost some of its popularity, and in some countries has never regained large audiences. However, recordings of OTR (old-time radio) survive today in the audio archives of collectors and museums, as well as several online sites such as Internet Archive.
|
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+
|
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+
As of 2011[update], radio drama has a minimal presence on terrestrial radio in the United States. Much of American radio drama is restricted to rebroadcasts or podcasts of programs from previous decades. However, other nations still have thriving traditions of radio drama. In the United Kingdom, for example, the BBC produces and broadcasts hundreds of new radio plays each year on Radio 3, Radio 4, and Radio 4 Extra. Podcasting has also offered the means of creating new radio dramas, in addition to the distribution of vintage programs.
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+
|
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+
The terms "audio drama"[40] or "audio theatre" are sometimes used synonymously with "radio drama" with one possible distinction: audio drama or audio theatre may not necessarily be intended specifically for broadcast on radio. Audio drama, whether newly produced or OTR classics, can be found on CDs, cassette tapes, podcasts, webcasts, and conventional broadcast radio.
|
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+
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+
Thanks to advances in digital recording and Internet distribution, radio drama is experiencing a revival.[41]
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1 |
+
An actor is a person who portrays a character in a performance (also actress; see below).[1] The actor performs "in the flesh" in the traditional medium of the theatre or in modern media such as film, radio, and television. The analogous Greek term is ὑποκριτής (hupokritḗs), literally "one who answers".[2] The actor's interpretation of their role—the art of acting—pertains to the role played, whether based on a real person or fictional character. This can also be considered an "actor's role," which was called this due to scrolls being used in the theaters. Interpretation occurs even when the actor is "playing themselves", as in some forms of experimental performance art.
|
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+
|
3 |
+
Formerly, in ancient Greece and Rome, the medieval world, and the time of William Shakespeare, only men could become actors, and women's roles were generally played by men or boys.[3] While Ancient Rome did allow female stage performers, only a small minority of them were given speaking parts. The commedia dell’arte of Italy, however, allowed professional women to perform early on: Lucrezia Di Siena, whose name is on a contract of actors from 10 October 1564, has been referred to as the first Italian actress known by name, with Vincenza Armani and Barbara Flaminia as the first primadonna's and the first well documented actresses in Italy (and Europe). [4] After the English Restoration of 1660, women began to appear on stage in England. In modern times, particularly in pantomime and some operas, women occasionally play the roles of boys or young men.[5]
|
4 |
+
|
5 |
+
The first recorded case of a performing actor occurred in 534 BC (though the changes in calendar over the years make it hard to determine exactly) when the Greek performer Thespis stepped onto the stage at the Theatre Dionysus to become the first known person to speak words as a character in a play or story. Before Thespis' act, Grecian stories were only expressed in song, dance, and in third person narrative. In honor of Thespis, actors are commonly called Thespians. The exclusively male actors in the theatre of ancient Greece performed in three types of drama: tragedy, comedy, and the satyr play.[6] Western theatre developed and expanded considerably under the Romans. The theatre of ancient Rome was a thriving and diverse art form, ranging from festival performances of street theatre, nude dancing, and acrobatics, to the staging of situation comedies, to high-style, verbally elaborate tragedies.
|
6 |
+
|
7 |
+
As the Western Roman Empire fell into decay through the 4th and 5th centuries, the seat of Roman power shifted to Constantinople and the Byzantine Empire. Records show that mime, pantomime, scenes or recitations from tragedies and comedies, dances, and other entertainments were very popular. From the 5th century, Western Europe was plunged into a period of general disorder. Small nomadic bands of actors traveled around Europe throughout the period, performing wherever they could find an audience; there is no evidence that they produced anything but crude scenes.[7] Traditionally, actors were not of high status; therefore, in the Early Middle Ages, traveling acting troupes were often viewed with distrust. Early Middle Ages actors were denounced by the Church during the Dark Ages, as they were viewed as dangerous, immoral, and pagan. In many parts of Europe, traditional beliefs of the region and time meant actors could not receive a Christian burial.
|
8 |
+
|
9 |
+
In the Early Middle Ages, churches in Europe began staging dramatized versions of biblical events. By the middle of the 11th century, liturgical drama had spread from Russia to Scandinavia to Italy. The Feast of Fools encouraged the development of comedy. In the Late Middle Ages, plays were produced in 127 towns. These vernacular Mystery plays often contained comedy, with actors playing devils, villains, and clowns.[8] The majority of actors in these plays were drawn from the local population. Amateur performers in England were exclusively male, but other countries had female performers.
|
10 |
+
|
11 |
+
There were several secular plays staged in the Middle Ages, the earliest of which is The Play of the Greenwood by Adam de la Halle in 1276. It contains satirical scenes and folk material such as faeries and other supernatural occurrences. Farces also rose dramatically in popularity after the 13th century. At the end of the Late Middle Ages, professional actors began to appear in England and Europe. Richard III and Henry VII both maintained small companies of professional actors. Beginning in the mid-16th century, Commedia dell'arte troupes performed lively improvisational playlets across Europe for centuries. Commedia dell'arte was an actor-centred theatre, requiring little scenery and very few props. Plays were loose frameworks that provided situations, complications, and outcome of the action, around which the actors improvised. The plays used stock characters. A troupe typically consisted of 13 to 14 members. Most actors were paid a share of the play's profits roughly equivalent to the sizes of their roles.
|
12 |
+
|
13 |
+
Renaissance theatre derived from several medieval theatre traditions, such as the mystery plays, "morality plays", and the "university drama" that attempted to recreate Athenian tragedy. The Italian tradition of Commedia dell'arte, as well as the elaborate masques frequently presented at court, also contributed to the shaping of public theatre. Since before the reign of Elizabeth I, companies of players were attached to households of leading aristocrats and performed seasonally in various locations. These became the foundation for the professional players that performed on the Elizabethan stage.
|
14 |
+
|
15 |
+
The development of the theatre and opportunities for acting ceased when Puritan opposition to the stage banned the performance of all plays within London. Puritans viewed the theatre as immoral. The re-opening of the theatres in 1660 signaled a renaissance of English drama. English comedies written and performed in the Restoration period from 1660 to 1710 are collectively called "Restoration comedy". Restoration comedy is notorious for its sexual explicitness. At this point, women were allowed for the first time to appear on the English stage, exclusively in female roles. This period saw the introduction of the first professional actresses and the rise of the first celebrity actors.
|
16 |
+
|
17 |
+
In the 19th century, the negative reputation of actors was largely reversed, and acting became an honored, popular profession and art.[9] The rise of the actor as celebrity provided the transition, as audiences flocked to their favorite "stars". A new role emerged for the actor-managers, who formed their own companies and controlled the actors, the productions, and the financing.[10] When successful, they built up a permanent clientele that flocked to their productions. They could enlarge their audience by going on tour across the country, performing a repertoire of well-known plays, such as those by Shakespeare. The newspapers, private clubs, pubs, and coffee shops rang with lively debates evaluating the relative merits of the stars and the productions. Henry Irving (1838-1905) was the most successful of the British actor-managers.[11] Irving was renowned for his Shakespearean roles, and for such innovations as turning out the house lights so that attention could focus more on the stage and less on the audience. His company toured across Britain, as well as Europe and the United States, demonstrating the power of star actors and celebrated roles to attract enthusiastic audiences. His knighthood in 1895 indicated full acceptance into the higher circles of British society.[12]
|
18 |
+
|
19 |
+
By the early 20th century, the economics of large-scale productions displaced the actor-manager model. It was too hard to find people who combined a genius at acting as well as management, so specialization divided the roles as stage managers and later theatre directors emerged. Financially, much larger capital was required to operate out of a major city. The solution was corporate ownership of chains of theatres, such as by the Theatrical Syndicate, Edward Laurillard, and especially The Shubert Organization. By catering to tourists, theaters in large cities increasingly favored long runs of highly popular plays, especially musicals. Big name stars became even more essential.[13]
|
20 |
+
|
21 |
+
Formerly, in some societies, only men could become actors. In ancient Greece and ancient Rome[15] and the medieval world, it was considered disgraceful for a woman to go on stage; this belief persisted until the 17th century in Venice. In the time of William Shakespeare, women's roles were generally played by men or boys.[3]
|
22 |
+
|
23 |
+
When an eighteen-year Puritan prohibition of drama was lifted after the English Restoration of 1660, women began to appear on stage in England. Margaret Hughes is oft credited as the first professional actress on the English stage.[16] This prohibition ended during the reign of Charles II in part because he enjoyed watching actresses on stage.[17] Specifically, Charles II issued letters patent to Thomas Killigrew and William Davenant, granting them the monopoly right to form two London theatre companies to perform "serious" drama, and the letters patent were reissued in 1662 with revisions allowing actresses to perform for the first time.[18]
|
24 |
+
|
25 |
+
The first occurrence of the term actress was in 1608 according to the OED and is ascribed to Middleton. In the 19th century, many viewed women in acting negatively, as actresses were often courtesans and associated with promiscuity. Despite these prejudices, the 19th century also saw the first female acting "stars", most notably Sarah Bernhardt.[19]
|
26 |
+
|
27 |
+
In Japan, onnagata, or men taking on female roles, were used in kabuki theatre when women were banned from performing on stage during the Edo period; this convention continues. In some forms of Chinese drama such as Beijing opera, men traditionally performed all the roles, including female roles, while in Shaoxing opera women often play all roles, including male ones.[20]
|
28 |
+
|
29 |
+
In modern times, women occasionally played the roles of boys or young men. For example, the stage role of Peter Pan is traditionally played by a woman, as are most principal boys in British pantomime. Opera has several "breeches roles" traditionally sung by women, usually mezzo-sopranos. Examples are Hansel in Hänsel und Gretel, Cherubino in The Marriage of Figaro and Octavian in Der Rosenkavalier.
|
30 |
+
|
31 |
+
Women playing male roles are uncommon in film, with notable exceptions. In 1982, Stina Ekblad played the mysterious Ismael Retzinsky in Fanny and Alexander, and Linda Hunt received the Academy Award for Best Supporting Actress for playing Billy Kwan in The Year of Living Dangerously. In 2007, Cate Blanchett was nominated for the Academy Award for Best Supporting Actress for playing Jude Quinn, a fictionalized representation of Bob Dylan in the 1960s, in I'm Not There.
|
32 |
+
|
33 |
+
In the 2000s, women playing men in live theatre is particularly common in presentations of older plays, such as Shakespearean works with large numbers of male characters in roles where gender is inconsequential.[5]
|
34 |
+
|
35 |
+
Having an actor dress as the opposite sex for comic effect is also a long-standing tradition in comic theatre and film. Most of Shakespeare's comedies include instances of overt cross-dressing, such as Francis Flute in A Midsummer Night's Dream. The movie A Funny Thing Happened on the Way to the Forum stars Jack Gilford dressing as a young bride. Tony Curtis and Jack Lemmon famously posed as women to escape gangsters in the Billy Wilder film Some Like It Hot. Cross-dressing for comic effect was a frequently used device in most of the Carry On films. Dustin Hoffman and Robin Williams have each appeared in a hit comedy film (Tootsie and Mrs. Doubtfire, respectively) in which they played most scenes dressed as a woman.
|
36 |
+
|
37 |
+
Occasionally, the issue is further complicated, for example, by a woman playing a woman acting as a man—who then pretends to be a woman, such as Julie Andrews in Victor/Victoria, or Gwyneth Paltrow in Shakespeare in Love. In It's Pat: The Movie, film-watchers never learn the gender of the androgynous main characters Pat and Chris (played by Julia Sweeney and Dave Foley). Similarly, in the aforementioned example of The Marriage of Figaro, there is a scene in which Cherubino (a male character portrayed by a woman) dresses up and acts like woman; the other characters in the scene are aware of a single level of gender role obfuscation, while the audience is aware of two levels.
|
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|
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+
A few modern roles are played by a member of the opposite sex to emphasize the gender fluidity of the role. Edna Turnblad in Hairspray was played by Divine in the 1988 original film, Harvey Fierstein in the Broadway musical, and John Travolta in the 2007 movie musical. Eddie Redmayne was nominated for an Academy Award for playing Lili Elbe (a trans woman) in 2015's The Danish Girl.[21]
|
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|
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In contrast to Ancient Greek theatre, Ancient Roman theatre did allow female performers. While the majority of them were seldom employed in speaking roles but rather for dancing, there were a minority of actresses in Rome employed in speaking roles, and also those who achieved wealth, fame and recognition for their art, such as Eucharis, Dionysia, Galeria Copiola and Fabia Arete, and they also formed their own acting guild, the Sociae Mimae, which was evidently quite wealthy. [22] The profession seemingly died out in late antiquity.
|
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|
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While women did not begin to perform onstage in England until the second half of the 17th-century, they did appear in Italy, Spain and France from the late 16th-century onward. Lucrezia Di Siena, whose name is on an acting contract in Rome from 10 October 1564, has been referred to as the first Italian actress known by name, with Vincenza Armani and Barbara Flaminia as the first primadonnas and the first well documented actresses in Italy (and Europe). [4]
|
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After 1660 in England, when women first started to appear on stage, the terms actor or actress were initially used interchangeably for female performers, but later, influenced by the French actrice, actress became the commonly used term for women in theater and film. The etymology is a simple derivation from actor with -ess added.[23] When referring to groups of performers of both sexes, actors is preferred.[24] Actor is also used before the full name of a performer as a gender-specific term.[citation needed]
|
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|
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Within the profession, the re-adoption of the neutral term dates to the post-war period of the 1950 and '60s, when the contributions of women to cultural life in general were being reviewed.[25] When The Observer and The Guardian published their new joint style guide in 2010, it stated "Use ['actor'] for both male and female actors; do not use actress except when in name of award, e.g. Oscar for best actress".[24] The guide's authors stated that "actress comes into the same category as authoress, comedienne, manageress, 'lady doctor', 'male nurse' and similar obsolete terms that date from a time when professions were largely the preserve of one sex (usually men)." (See male as norm.) "As Whoopi Goldberg put it in an interview with the paper: 'An actress can only play a woman. I'm an actor – I can play anything.'"[24] The UK performers' union Equity has no policy on the use of "actor" or "actress". An Equity spokesperson said that the union does not believe that there is a consensus on the matter and stated that the "...subject divides the profession".[24] In 2009, the Los Angeles Times stated that "Actress" remains the common term used in major acting awards given to female recipients[26] (e.g., Academy Award for Best Actress).
|
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|
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With regard to the cinema of the United States, the gender-neutral term "player" was common in film in the silent film era and the early days of the Motion Picture Production Code, but in the 2000s in a film context, it is generally deemed archaic.[citation needed] However, "player" remains in use in the theatre, often incorporated into the name of a theatre group or company, such as the American Players, the East West Players, etc. Also, actors in improvisational theatre may be referred to as "players".[27]
|
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In 2015, Forbes reported that "...just 21 of the 100 top-grossing films of 2014 featured a female lead or co-lead, while only 28.1% of characters in 100 top-grossing films were female...".[28] "In the U.S., there is an "industry-wide [gap] in salaries of all scales. On average, white women get paid 78 cents to every dollar a white man makes, while Hispanic women earn 56 cents to a white male's dollar, Black women 64 cents and Native American women just 59 cents to that."[28] Forbes' analysis of US acting salaries in 2013 determined that the "...men on Forbes' list of top-paid actors for that year made 21/2 times as much money as the top-paid actresses. That means that Hollywood's best-compensated actresses made just 40 cents for every dollar that the best-compensated men made."[29][30][31]
|
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|
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Actors working in theatre, film, television, and radio have to learn specific skills. Techniques that work well in one type of acting may not work well in another type of acting.
|
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+
|
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+
To act on stage, actors need to learn the stage directions that appear in the script, such as "Stage Left" and "Stage Right". These directions are based on the actor's point of view as he or she stands on the stage facing the audience. Actors also have to learn the meaning of the stage directions "Upstage" (away from the audience) and "Downstage" (towards the audience)[32] Theatre actors need to learn blocking, which is "...where and how an actor moves on the stage during a play". Most scripts specify some blocking. The Director also gives instructions on blocking, such as crossing the stage or picking up and using a prop.[32]
|
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|
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+
Some theater actors need to learn stage combat, which is simulated fighting on stage. Actors may have to simulate hand-to-hand [fighting] or sword[-fighting]. Actors are coached by fight directors, who help them learn the choreographed sequence of fight actions.
|
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+
[32]
|
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+
From 1894 to the late 1920s, movies were silent films. Silent film actors emphasized body language and facial expression, so that the audience could better understand what an actor was feeling and portraying on screen. Much silent film acting is apt to strike modern-day audiences as simplistic or campy. The melodramatic acting style was in some cases a habit actors transferred from their former stage experience. Vaudeville theatre was an especially popular origin for many American silent film actors.[33] The pervading presence of stage actors in film was the cause of this outburst from director Marshall Neilan in 1917: "The sooner the stage people who have come into pictures get out, the better for the pictures." In other cases, directors such as John Griffith Wray required their actors to deliver larger-than-life expressions for emphasis. As early as 1914, American viewers had begun to make known their preference for greater naturalness on screen.[34]
|
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|
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Pioneering film directors in Europe and the United States recognized the different limitations and freedoms of the mediums of stage and screen by the early 1910s. Silent films became less vaudevillian in the mid-1910s, as the differences between stage and screen became apparent. Due to the work of directors such as D W Griffith, cinematography became less stage-like, and the then-revolutionary close-up shot allowed subtle and naturalistic acting. In America, D.W. Griffith's company Biograph Studios, became known for its innovative direction and acting, conducted suit the cinema rather than the stage. Griffith realized that theatrical acting did not look good on film and required his actors and actresses to go through weeks of film acting training.[35]
|
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|
64 |
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Lillian Gish has been called film's "first true actress" for her work in the period, as she pioneered new film performing techniques, recognizing the crucial differences between stage and screen acting. Directors such as Albert Capellani and Maurice Tourneur began to insist on naturalism in their films. By the mid-1920s many American silent films had adopted a more naturalistic acting style, though not all actors and directors accepted naturalistic, low-key acting straight away; as late as 1927, films featuring expressionistic acting styles, such as Metropolis, were still being released. [36]
|
65 |
+
|
66 |
+
According to Anton Kaes, a silent film scholar from the University of Wisconsin, American silent cinema began to see a shift in acting techniques between 1913 and 1921, influenced by techniques found in German silent film. This is mainly attributed to the influx of emigrants from the Weimar Republic, "including film directors, producers, cameramen, lighting and stage technicians, as well as actors and actresses".[37]
|
67 |
+
|
68 |
+
Film actors have to learn to get used to and be comfortable with a camera being in front of them.[38]
|
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+
Film actors need to learn to find and stay on their "mark." This is a position on the floor marked with tape. This position is where the lights and camera focus are optimized. Film actors also need to learn how to prepare well and perform well on-screen tests. Screen tests are a filmed audition of part of the script.
|
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|
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+
Unlike theater actors, who develop characters for repeat performances, film actors lack continuity, forcing them to come to all scenes (sometimes shot in reverse of the order in which they ultimately appear) with a fully developed character already.[35]
|
72 |
+
|
73 |
+
"Since film captures even the smallest gesture and magnifies it..., cinema demands a less flamboyant and stylized bodily performance from the actor than does the theater." "The performance of emotion is the most difficult aspect of film acting to master: ...the film actor must rely on subtle facial ticks, quivers, and tiny lifts of the eyebrow to create a believable character."[35] Some theatre stars "...have made the theater-to-cinema transition quite successfully (Laurence Olivier, Glenn Close, and Julie Andrews, for instance), others have not..."[35]
|
74 |
+
|
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+
"On a television set, there are typically several cameras angled at the set. Actors who are new to on-screen acting can get confused about which camera to look into."[32] TV actors need to learn to use lav mics (Lavaliere microphones).[32] TV actors need to understand the concept of "frame". "The term frame refers to the area that the camera's lens is capturing."[32]
|
76 |
+
Within the acting industry, there are four types of television roles one could land on a show. Each type varies in prominence, frequency of appearance, and pay. The first is known as a series regular—the main actors on the show as part of the permanent cast. Actors in recurring roles are under contract to appear in multiple episodes of a series. A co-star role is a small speaking role that usually only appears in one episode. A guest star is a larger role than a co-star role, and the character is often the central focus of the episode or integral to the plot.
|
77 |
+
|
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+
Radio drama is a dramatized, purely acoustic performance, broadcast on radio or published on audio media, such as tape or CD. With no visual component, radio drama depends on dialogue, music and sound effects to help the listener imagine the characters and story: "It is auditory in the physical dimension but equally powerful as a visual force in the psychological dimension."[39]
|
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+
|
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+
Radio drama achieved widespread popularity within a decade of its initial development in the 1920s. By the 1940s, it was a leading international popular entertainment. With the advent of television in the 1950s, however, radio drama lost some of its popularity, and in some countries has never regained large audiences. However, recordings of OTR (old-time radio) survive today in the audio archives of collectors and museums, as well as several online sites such as Internet Archive.
|
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|
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+
As of 2011[update], radio drama has a minimal presence on terrestrial radio in the United States. Much of American radio drama is restricted to rebroadcasts or podcasts of programs from previous decades. However, other nations still have thriving traditions of radio drama. In the United Kingdom, for example, the BBC produces and broadcasts hundreds of new radio plays each year on Radio 3, Radio 4, and Radio 4 Extra. Podcasting has also offered the means of creating new radio dramas, in addition to the distribution of vintage programs.
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|
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The terms "audio drama"[40] or "audio theatre" are sometimes used synonymously with "radio drama" with one possible distinction: audio drama or audio theatre may not necessarily be intended specifically for broadcast on radio. Audio drama, whether newly produced or OTR classics, can be found on CDs, cassette tapes, podcasts, webcasts, and conventional broadcast radio.
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Thanks to advances in digital recording and Internet distribution, radio drama is experiencing a revival.[41]
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1 |
+
|
2 |
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|
3 |
+
Food is any substance[1] consumed to provide nutritional support for an organism. Food is usually of plant or animal origin, and contains essential nutrients, such as carbohydrates, fats, proteins, vitamins, or minerals. The substance is ingested by an organism and assimilated by the organism's cells to provide energy, maintain life, or stimulate growth.
|
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+
|
5 |
+
Historically, humans secured food through two methods: hunting and gathering and agriculture, which gave modern humans a mainly omnivorous diet. Worldwide, humanity has created numerous cuisines and culinary arts, including a wide array of ingredients, herbs, spices, techniques, and dishes.
|
6 |
+
|
7 |
+
Today, the majority of the food energy required by the ever-increasing population of the world is supplied by the food industry. Food safety and food security are monitored by agencies like the International Association for Food Protection, World Resources Institute, World Food Programme, Food and Agriculture Organization, and International Food Information Council. They address issues such as sustainability, biological diversity, climate change, nutritional economics, population growth, water supply, and access to food.
|
8 |
+
|
9 |
+
The right to food is a human right derived from the International Covenant on Economic, Social and Cultural Rights (ICESCR), recognizing the "right to an adequate standard of living, including adequate food", as well as the "fundamental right to be free from hunger".
|
10 |
+
|
11 |
+
Most food has its origin in plants. Some food is obtained directly from plants; but even animals that are used as food sources are raised by feeding them food derived from plants. Cereal grain is a staple food that provides more food energy worldwide than any other type of crop.[2] Corn (maize), wheat, and rice – in all of their varieties – account for 87% of all grain production worldwide.[3][4][5] Most of the grain that is produced worldwide is fed to livestock.
|
12 |
+
|
13 |
+
Some foods not from animal or plant sources include various edible fungi, especially mushrooms. Fungi and ambient bacteria are used in the preparation of fermented and pickled foods like leavened bread, alcoholic drinks, cheese, pickles, kombucha, and yogurt. Another example is blue-green algae such as Spirulina.[6] Inorganic substances such as salt, baking soda and cream of tartar are used to preserve or chemically alter an ingredient.
|
14 |
+
|
15 |
+
Many plants and plant parts are eaten as food and around 2,000 plant species are cultivated for food. Many of these plant species have several distinct cultivars.[7]
|
16 |
+
|
17 |
+
Seeds of plants are a good source of food for animals, including humans, because they contain the nutrients necessary for the plant's initial growth, including many healthful fats, such as omega fats. In fact, the majority of food consumed by human beings are seed-based foods. Edible seeds include cereals (corn, wheat, rice, et cetera), legumes (beans, peas, lentils, et cetera), and nuts. Oilseeds are often pressed to produce rich oils - sunflower, flaxseed, rapeseed (including canola oil), sesame, et cetera.[8]
|
18 |
+
|
19 |
+
Seeds are typically high in unsaturated fats and, in moderation, are considered a health food. However, not all seeds are edible. Large seeds, such as those from a lemon, pose a choking hazard, while seeds from cherries and apples contain cyanide which could be poisonous only if consumed in large volumes.[9]
|
20 |
+
|
21 |
+
Fruits are the ripened ovaries of plants, including the seeds within. Many plants and animals have coevolved such that the fruits of the former are an attractive food source to the latter, because animals that eat the fruits may excrete the seeds some distance away. Fruits, therefore, make up a significant part of the diets of most cultures. Some botanical fruits, such as tomatoes, pumpkins, and eggplants, are eaten as vegetables.[10] (For more information, see list of fruits.)
|
22 |
+
|
23 |
+
Vegetables are a second type of plant matter that is commonly eaten as food. These include root vegetables (potatoes and carrots), bulbs (onion family), leaf vegetables (spinach and lettuce), stem vegetables (bamboo shoots and asparagus), and inflorescence vegetables (globe artichokes and broccoli and other vegetables such as cabbage or cauliflower).[11]
|
24 |
+
|
25 |
+
Animals are used as food either directly or indirectly by the products they produce. Meat is an example of a direct product taken from an animal, which comes from muscle systems or from organs (offal).
|
26 |
+
|
27 |
+
Food products produced by animals include milk produced by mammary glands, which in many cultures is drunk or processed into dairy products (cheese, butter, etc.). In addition, birds and other animals lay eggs, which are often eaten, and bees produce honey, a reduced nectar from flowers, which is a popular sweetener in many cultures. Some cultures consume blood, sometimes in the form of blood sausage, as a thickener for sauces, or in a cured, salted form for times of food scarcity, and others use blood in stews such as jugged hare.[12]
|
28 |
+
|
29 |
+
Some cultures and people do not consume meat or animal food products for cultural, dietary, health, ethical, or ideological reasons. Vegetarians choose to forgo food from animal sources to varying degrees. Vegans do not consume any foods that are or contain ingredients from an animal source.
|
30 |
+
|
31 |
+
Adulteration is a legal term meaning that a food product fails to meet the legal standards. One form of adulteration is an addition of another substance to a food item in order to increase the quantity of the food item in raw form or prepared form, which may result in the loss of actual quality of food item. These substances may be either available food items or non-food items. Among meat and meat products some of the items used to adulterate are water or ice, carcasses, or carcasses of animals other than the animal meant to be consumed.[13]
|
32 |
+
|
33 |
+
Camping food includes ingredients used to prepare food suitable for backcountry camping and backpacking. The foods differ substantially from the ingredients found in a typical home kitchen. The primary differences relate to campers' and backpackers' special needs for foods that have appropriate cooking time, perishability, weight, and nutritional content.
|
34 |
+
|
35 |
+
To address these needs, camping food is often made up of either freeze-dried, precooked or dehydrated ingredients. Many campers use a combination of these foods.
|
36 |
+
|
37 |
+
Freeze-drying requires the use of heavy machinery and is not something that most campers are able to do on their own. Freeze-dried ingredients are often considered superior to dehydrated ingredients however because they rehydrate at camp faster and retain more flavor than their dehydrated counterparts. Freeze-dried ingredients take so little time to rehydrate that they can often be eaten without cooking them first and have a texture similar to a crunchy chip.
|
38 |
+
|
39 |
+
Dehydration can reduce the weight of the food by sixty to ninety percent by removing water through evaporation. Some foods dehydrate well, such as onions, peppers, and tomatoes.[14][15] Dehydration often produces a more compact, albeit slightly heavier, end result than freeze-drying.
|
40 |
+
|
41 |
+
Surplus precooked military Meals, Meals, Ready-to-Eat (MREs) are sometimes used by campers. These meals contain pre-cooked foods in retort pouches. A retort pouch is a plastic and metal foil laminate pouch that is used as an alternative to traditional industrial canning methods.
|
42 |
+
|
43 |
+
Diet food (or "dietetic food") refers to any food or beverage whose recipe is altered to reduce fat, carbohydrates, abhor/adhore sugar in order to make it part of a weight loss program or diet. Such foods are usually intended to assist in weight loss or a change in body type, although bodybuilding supplements are designed to aid in gaining weight or muscle.
|
44 |
+
|
45 |
+
The process of making a diet version of a food usually requires finding an acceptable low-food-energy substitute for some high-food-energy ingredient.[16] This can be as simple as replacing some or all of the food's sugar with a sugar substitute as is common with diet soft drinks such as Coca-Cola (for example Diet Coke). In some snacks, the food may be baked instead of fried thus reducing the food energy. In other cases, low-fat ingredients may be used as replacements.
|
46 |
+
|
47 |
+
In whole grain foods, the higher fiber content effectively displaces some of the starch components of the flour. Since certain fibers have no food energy, this results in a modest energy reduction. Another technique relies on the intentional addition of other reduced-food-energy ingredients, such as resistant starch or dietary fiber, to replace part of the flour and achieve a more significant energy reduction.
|
48 |
+
|
49 |
+
Finger food is food meant to be eaten directly using the hands, in contrast to food eaten with a knife and fork, spoon, chopsticks, or other utensils.[17] In some cultures, food is almost always eaten with the hands; for example, Ethiopian cuisine is eaten by rolling various dishes up in injera bread.[18] Foods considered street foods are frequently, though not exclusively, finger foods.
|
50 |
+
|
51 |
+
In the western world, finger foods are often either appetizers (hors d'œuvres) or entree/main course items. Examples of these are miniature meat pies, sausage rolls, sausages on sticks, cheese and olives on sticks, chicken drumsticks or wings, spring rolls, miniature quiches, samosas, sandwiches, Merenda or other such based foods, such as pitas or items in buns, bhajjis, potato wedges, vol au vents, several other such small items and risotto balls (arancini). Other well-known foods that are generally eaten with the hands include hamburgers, pizza, Chips, hot dogs, fruit and bread.
|
52 |
+
|
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In East Asia, foods like pancakes or flatbreads (bing 饼) and street foods such as chuan (串, also pronounced chuan) are often eaten with the hands.
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Fresh food is food which has not been preserved and has not spoiled yet. For vegetables and fruits, this means that they have been recently harvested and treated properly postharvest; for meat, it has recently been slaughtered and butchered; for fish, it has been recently caught or harvested and kept cold.
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Dairy products are fresh and will spoil quickly. Thus, fresh cheese is cheese which has not been dried or salted for aging. Soured cream may be considered "fresh" (crème fraîche).
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Fresh food has not been dried, smoked, salted, frozen, canned, pickled, or otherwise preserved.[19]
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Freezing food preserves it from the time it is prepared to the time it is eaten. Since early times, farmers, fishermen, and trappers have preserved grains and produce in unheated buildings during the winter season.[20] Freezing food slows down decomposition by turning residual moisture into ice, inhibiting the growth of most bacterial species. In the food commodity industry, there are two processes: mechanical and cryogenic (or flash freezing). The kinetics of the freezing is important to preserve food quality and texture. Quicker freezing generates smaller ice crystals and maintains cellular structure. Cryogenic freezing is the quickest freezing technology available utilizing the extremely low temperature of liquid nitrogen −196 °C (−320 °F).[21]
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Preserving food in domestic kitchens during modern times is achieved using household freezers. Accepted advice to householders was to freeze food on the day of purchase. An initiative by a supermarket group in 2012 (backed by the UK's Waste & Resources Action Programme) promotes the freezing of food "as soon as possible up to the product's 'use by' date". The Food Standards Agency was reported as supporting the change, providing the food had been stored correctly up to that time.[22]
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A functional food is a food given an additional function (often one related to health-promotion or disease prevention) by adding new ingredients or more of existing ingredients.[23] The term may also apply to traits purposely bred into existing edible plants, such as purple or gold potatoes having enriched anthocyanin or carotenoid contents, respectively.[24] Functional foods may be "designed to have physiological benefits and/or reduce the risk of chronic disease beyond basic nutritional functions, and may be similar in appearance to conventional food and consumed as part of a regular diet".[25]
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The term was first used in Japan in the 1980s where there is a government approval process for functional foods called Foods for Specified Health Use (FOSHU).[26]
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Health food is food marketed to provide human health effects beyond a normal healthy diet required for human nutrition. Foods marketed as health foods may be part of one or more categories, such as natural foods, organic foods, whole foods, vegetarian foods or dietary supplements. These products may be sold in health food stores or in the health food or organic sections of grocery stores.
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A healthy diet is a diet that helps to maintain or improve overall health. A healthy diet provides the body with essential nutrition: fluid, macronutrients, micronutrients, and adequate calories.[27][28]
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For people who are healthy, a healthy diet is not complicated and contains mostly fruits, vegetables, and whole grains, and includes little to no processed food and sweetened beverages. The requirements for a healthy diet can be met from a variety of plant-based and animal-based foods, although a non-animal source of vitamin B12 is needed for those following a vegan diet.[29] Various nutrition guides are published by medical and governmental institutions to educate individuals on what they should be eating to be healthy. Nutrition facts labels are also mandatory in some countries to allow consumers to choose between foods based on the components relevant to health.[30]
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A healthy lifestyle includes getting exercise every day along with eating a healthy diet. A healthy lifestyle may lower disease risks, such as obesity, heart disease, type 2 diabetes, hypertension and cancer.[27][31]
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There are specialized healthy diets, called medical nutrition therapy, for people with various diseases or conditions. There are also prescientific ideas about such specialized diets, as in dietary therapy in traditional Chinese medicine.
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The World Health Organization (WHO) makes the following 5 recommendations with respect to both populations and individuals:[32]
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Live food is living food for carnivorous or omnivorous animals kept in captivity; in other words, small animals such as insects or mice fed to larger carnivorous or omnivorous species kept either in a zoo or as a pet.
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Live food is commonly used as feed for a variety of species of exotic pets and zoo animals, ranging from alligators to various snakes, frogs and lizards, but also including other, non-reptile, non-amphibian carnivores and omnivores (for instance, skunks, which are omnivorous mammals, can technically be fed a limited amount of live food, though this is not a common practice). Common live food ranges from crickets (used as an inexpensive form of feed for carnivorous and omnivorous reptiles such as bearded dragons and commonly available in pet stores for this reason), waxworms, mealworms and to a lesser extent cockroaches and locusts, to small birds and mammals such as mice or chickens.
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Medical foods are foods that are specially formulated and intended for the dietary management of a disease that has distinctive nutritional needs that cannot be met by normal diet alone. In the United States they were defined in the Food and Drug Administration's 1988 Orphan Drug Act Amendments[35] and are subject to the general food and safety labeling requirements of the Federal Food, Drug, and Cosmetic Act. In Europe the European Food Safety Authority established definitions for "foods for special medical purposes" (FSMPs) in 2015.[36]
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Medical foods, called "food for special medical purposes" in Europe,[37] are distinct from the broader category of foods for special dietary use, from traditional foods that bear a health claim, and from dietary supplements. In order to be considered a medical food the product must, at a minimum:[38][39]
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Medical foods can be classified into the following categories:
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Natural foods and "all-natural foods" are widely used terms in food labeling and marketing with a variety of definitions, most of which are vague. The term is often assumed to imply foods that are not processed and whose ingredients are all natural products (in the chemist's sense of that term), thus conveying an appeal to nature. But the lack of standards in most jurisdictions means that the term assures nothing. In some countries, the term "natural" is defined and enforced. In others, such as the United States, it is not enforced.
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“Natural foods” are often assumed to be foods that are not processed, or do not contain any food additives, or do not contain particular additives such as hormones, antibiotics, sweeteners, food colors, or flavorings that were not originally in the food.[40] In fact, many people (63%) when surveyed showed a preference for products labeled "natural" compared to the unmarked counterparts, based on the common belief (86% of polled consumers) that the term "natural" indicated that the food does not contain any artificial ingredients.[41] The terms are variously used and misused on labels and in advertisements.[42]
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The international Food and Agriculture Organization’s Codex Alimentarius does not recognize the term “natural” but does have a standard for organic foods.[43]
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A negative-calorie food is food that supposedly requires more food energy to be digested than the food provides. Its thermic effect or specific dynamic action – the caloric "cost" of digesting the food – would be greater than its food energy content. Despite its recurring popularity in dieting guides, there is no scientific evidence supporting the idea that any food is calorically negative. While some chilled beverages are calorically negative, the effect is minimal[44] and drinking large amounts of water can be dangerous.
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Organic food is food produced by methods that comply with the standards of organic farming. Standards vary worldwide, but organic farming in general features practices that strive to cycle resources, promote ecological balance, and conserve biodiversity. Organizations regulating organic products may restrict the use of certain pesticides and fertilizers in farming. In general, organic foods are also usually not processed using irradiation, industrial solvents or synthetic food additives.[45]
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Currently, the European Union, the United States, Canada, Mexico, Japan, and many other countries require producers to obtain special certification in order to market food as organic within their borders. In the context of these regulations, organic food is produced in a way that complies with organic standards set by regional organizations, national governments, and international organizations. Although the produce of kitchen gardens may be organic, selling food with an organic label is regulated by governmental food safety authorities, such as the US Department of Agriculture (USDA) or European Commission (EC).[46]
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Fertilizing and the use of pesticides in conventional farming has caused, and is causing, enormous damage worldwide to local ecosystems, biodiversity, groundwater and drinking water supplies, and sometimes farmer health and fertility. These environmental, economic and health issues are intended to be minimized or avoided in organic farming. From a consumers perspective, there is not sufficient evidence in scientific and medical literature to support claims that organic food is safer or healthier to eat than conventionally grown food. While there may be some differences in the nutrient and antinutrient contents of organically- and conventionally-produced food, the variable nature of food production and handling makes it difficult to generalize results.[47][48][49][50][51] Claims that organic food tastes better are generally not supported by tests.[48][52]
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Peasant foods are dishes specific to a particular culture, made from accessible and inexpensive ingredients, and usually prepared and seasoned to make them more palatable. They often form a significant part of the diets of people who live in poverty, or have a lower income compared to the average for their society or country.
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Peasant foods have been described as being the diet of peasants, that is, tenant or poorer farmers and their farm workers,[53] and by extension, of other cash-poor people. They may use ingredients, such as offal and less-tender cuts of meat, which are not as marketable as a cash crop. Characteristic recipes often consist of hearty one-dish meals, in which chunks of meat and various vegetables are eaten in a savory broth, with bread or other staple food. Sausages are also amenable to varied readily available ingredients, and they themselves tend to contain offal and grains.
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Peasant foods often involve skilled preparation by knowledgeable cooks using inventiveness and skills passed down from earlier generations. Such dishes are often prized as ethnic foods by other cultures and by descendants of the native culture who still desire these traditional dishes.[citation needed]
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Prison food is the term for meals served to prisoners while incarcerated in correctional institutions. While some prisons prepare their own food, many use staff from on-site catering companies. Many prisons today support the requirements of specific religions, as well as vegetarianism.[54] It is said that prison food of many developed countries is adequate to maintain health and dieting.[55][unreliable source?]
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"Seasonal" here refers to the times of the year when the harvest or the flavor of a given type of food is at its peak. This is usually the time when the item is harvested, with some exceptions; an example being sweet potatoes which are best eaten quite a while after harvest. It also appeals to people who prefer a low carbon diet that reduces the greenhouse gas emissions resulting from food consumption (Food miles).
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Shelf-stable food (sometimes ambient food) is food of a type that can be safely stored at room temperature in a sealed container. This includes foods that would normally be stored refrigerated but which have been processed so that they can be safely stored at room or ambient temperature for a usefully long shelf life.
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Various food preservation and packaging techniques are used to extend a food's shelf life. Decreasing the amount of available water in a product, increasing its acidity, or irradiating[56] or otherwise sterilizing the food and then sealing it in an air-tight container are all ways of depriving bacteria of suitable conditions in which to thrive. All of these approaches can all extend a food's shelf life without unacceptably changing its taste or texture.
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For some foods, alternative ingredients can be used. Common oils and fats become rancid relatively quickly if not refrigerated; replacing them with hydrogenated oils delays the onset of rancidity, increasing shelf life. This is a common approach in industrial food production, but recent concerns about health hazards associated with trans fats have led to their strict control in several jurisdictions.[57] Even where trans fats are not prohibited, in many places there are new labeling laws (or rules), which require information to be printed on packages, or to be published elsewhere, about the amount of trans fat contained in certain products.
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Space food is a type of food product created and processed for consumption by astronauts in outer space. The food has specific requirements of providing balanced nutrition for individuals working in space while being easy and safe to store, prepare and consume in the machinery-filled weightless environments of crewed spacecraft.
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In recent years, space food has been used by various nations engaging in space programs as a way to share and show off their cultural identity and facilitate intercultural communication. Although astronauts consume a wide variety of foods and beverages in space, the initial idea from The Man in Space Committee of the Space Science Board in 1963 was to supply astronauts with a formula diet that would supply all the needed vitamins and nutrients.[58]
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Traditional foods are foods and dishes that are passed through generations[59] or which have been consumed many generations.[60] Traditional foods and dishes are traditional in nature, and may have a historic precedent in a national dish, regional cuisine[59] or local cuisine. Traditional foods and beverages may be produced as homemade, by restaurants and small manufacturers, and by large food processing plant facilities.[61]
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Some traditional foods have geographical indications and traditional specialities in the European Union designations per European Union schemes of geographical indications and traditional specialties: Protected designation of origin (PDO), Protected geographical indication (PGI) and Traditional specialities guaranteed (TSG). These standards serve to promote and protect names of quality agricultural products and foodstuffs.[62]
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This article also includes information about traditional beverages.
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Whole foods are plant foods that are unprocessed and unrefined, or processed and refined as little as possible, before being consumed.[63] Examples of whole foods include whole grains, tubers, legumes, fruits, vegetables.[64]
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There is some confusion over the usage of the term surrounding the inclusion of certain foods, in particular animal foods. The modern usage of the term whole foods diet is now widely synonymous with "whole foods plant-based diet" with animal products, oil and salt no longer constituting whole foods.[65]
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The earliest use of the term in the post-industrial age appears to be in 1946 in The Farmer, a quarterly magazine published and edited from his farm by F. Newman Turner, a writer and pioneering organic farmer. The magazine sponsored the establishment of the Producer-Consumer Whole Food Society Ltd, with Newman Turner as president and Derek Randal as vice-president.[66] Whole food was defined as "mature produce of field, orchard, or garden without subtraction, addition, or alteration grown from seed without chemical dressing, in fertile soil manured solely with animal and vegetable wastes, and composts therefrom, and ground, raw rock and without chemical manures, sprays, or insecticides," having intent to connect suppliers and the growing public demand for such food.[66] Such diets are rich in whole and unrefined foods, like whole grains, dark green and yellow/orange-fleshed vegetables and fruits, legumes, nuts and seeds.[63]
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Most food has always been obtained through agriculture. With increasing concern over both the methods and products of modern industrial agriculture, there has been a growing trend toward sustainable agricultural practices. This approach, partly fueled by consumer demand, encourages biodiversity, local self-reliance and organic farming methods.[67] Major influences on food production include international organizations (e.g. the World Trade Organization and Common Agricultural Policy), national government policy (or law), and war.[68]
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Several organisations have begun calling for a new kind of agriculture in which agroecosystems provide food but also support vital ecosystem services so that soil fertility and biodiversity are maintained rather than compromised. According to the International Water Management Institute and UNEP, well-managed agroecosystems not only provide food, fiber and animal products, they also provide services such as flood mitigation, groundwater recharge, erosion control and habitats for plants, birds, fish and other animals.[69]
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Animals, specifically humans, have five different types of tastes: sweet, sour, salty, bitter, and umami. As animals have evolved, the tastes that provide the most energy (sugar and fats) are the most pleasant to eat while others, such as bitter, are not enjoyable.[70] Water, while important for survival, has no taste.[71] Fats, on the other hand, especially saturated fats, are thicker and rich and are thus considered more enjoyable to eat.
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Generally regarded as the most pleasant taste, sweetness is almost always caused by a type of simple sugar such as glucose or fructose, or disaccharides such as sucrose, a molecule combining glucose and fructose.[72] Complex carbohydrates are long chains and thus do not have the sweet taste. Artificial sweeteners such as sucralose are used to mimic the sugar molecule, creating the sensation of sweet, without the calories. Other types of sugar include raw sugar, which is known for its amber color, as it is unprocessed. As sugar is vital for energy and survival, the taste of sugar is pleasant.
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The stevia plant contains a compound known as steviol which, when extracted, has 300 times the sweetness of sugar while having minimal impact on blood sugar.[73]
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Sourness is caused by the taste of acids, such as vinegar in alcoholic beverages. Sour foods include citrus, specifically lemons, limes, and to a lesser degree oranges. Sour is evolutionarily significant as it is a sign for a food that may have gone rancid due to bacteria.[74] Many foods, however, are slightly acidic, and help stimulate the taste buds and enhance flavor.
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Saltiness is the taste of alkali metal ions such as sodium and potassium. It is found in almost every food in low to moderate proportions to enhance flavor, although to eat pure salt is regarded as highly unpleasant. There are many different types of salt, with each having a different degree of saltiness, including sea salt, fleur de sel, kosher salt, mined salt, and grey salt. Other than enhancing flavor, its significance is that the body needs and maintains a delicate electrolyte balance, which is the kidney's function. Salt may be iodized, meaning iodine has been added to it, a necessary nutrient that promotes thyroid function. Some canned foods, notably soups or packaged broths, tend to be high in salt as a means of preserving the food longer. Historically salt has long been used as a meat preservative as salt promotes water excretion. Similarly, dried foods also promote food safety.[75]
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Bitterness is a sensation often considered unpleasant characterized by having a sharp, pungent taste. Unsweetened dark chocolate, caffeine, lemon rind, and some types of fruit are known to be bitter.
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Umami, the Japanese word for delicious, is the least known in Western popular culture but has a long tradition in Asian cuisine. Umami is the taste of glutamates, especially monosodium glutamate (MSG).[72] It is characterized as savory, meaty, and rich in flavor.[76] Salmon and mushrooms are foods high in umami.[77]
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Many scholars claim that the rhetorical function of food is to represent the culture of a country, and that it can be used as a form of communication. According to Goode, Curtis and Theophano, food "is the last aspect of an ethnic culture to be lost".[78]
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Many cultures have a recognizable cuisine, a specific set of cooking traditions using various spices or a combination of flavors unique to that culture, which evolves over time. Other differences include preferences (hot or cold, spicy, etc.) and practices, the study of which is known as gastronomy. Many cultures have diversified their foods by means of preparation, cooking methods, and manufacturing. This also includes a complex food trade which helps the cultures to economically survive by way of food, not just by consumption.
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Some popular types of ethnic foods include Italian, French, Japanese, Chinese, American, Cajun, Thai, African, Indian and Nepalese. Various cultures throughout the world study the dietary analysis of food habits. While evolutionarily speaking, as opposed to culturally, humans are omnivores, religion and social constructs such as morality, activism, or environmentalism will often affect which foods they will consume. Food is eaten and typically enjoyed through the sense of taste, the perception of flavor from eating and drinking. Certain tastes are more enjoyable than others, for evolutionary purposes.
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Aesthetically pleasing and eye-appealing food presentations can encourage people to consume foods. A common saying is that people "eat with their eyes". Food presented in a clean and appetizing way will encourage a good flavor, even if unsatisfactory.[79][80]
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Texture plays a crucial role in the enjoyment of eating foods. Contrasts in textures, such as something crunchy in an otherwise smooth dish, may increase the appeal of eating it. Common examples include adding granola to yogurt, adding croutons to a salad or soup, and toasting bread to enhance its crunchiness for a smooth topping, such as jam or butter.[81]
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Another universal phenomenon regarding food is the appeal of contrast in taste and presentation. For example, such opposite flavors as sweetness and saltiness tend to go well together, as in kettle corn and nuts.
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While many foods can be eaten raw, many also undergo some form of preparation for reasons of safety, palatability, texture, or flavor. At the simplest level this may involve washing, cutting, trimming, or adding other foods or ingredients, such as spices. It may also involve mixing, heating or cooling, pressure cooking, fermentation, or combination with other food. In a home, most food preparation takes place in a kitchen. Some preparation is done to enhance the taste or aesthetic appeal; other preparation may help to preserve the food; others may be involved in cultural identity. A meal is made up of food which is prepared to be eaten at a specific time and place.[82]
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The preparation of animal-based food usually involves slaughter, evisceration, hanging, portioning, and rendering. In developed countries, this is usually done outside the home in slaughterhouses, which are used to process animals en masse for meat production. Many countries regulate their slaughterhouses by law. For example, the United States has established the Humane Slaughter Act of 1958, which requires that an animal be stunned before killing. This act, like those in many countries, exempts slaughter in accordance with religious law, such as kosher, shechita, and dhabīḥah halal. Strict interpretations of kashrut require the animal to be fully aware when its carotid artery is cut.[83]
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On the local level, a butcher may commonly break down larger animal meat into smaller manageable cuts, and pre-wrap them for commercial sale or wrap them to order in butcher paper. In addition, fish and seafood may be fabricated into smaller cuts by a fishmonger. However, fish butchery may be done onboard a fishing vessel and quick-frozen for the preservation of quality.[84]
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The term "cooking" encompasses a vast range of methods, tools, and combinations of ingredients to improve the flavor or digestibility of food. Cooking technique, known as culinary art, generally requires the selection, measurement, and combining of ingredients in an ordered procedure in an effort to achieve the desired result. Constraints on success include the variability of ingredients, ambient conditions, tools, and the skill of the individual cook.[85] The diversity of cooking worldwide is a reflection of the myriad nutritional, aesthetic, agricultural, economic, cultural, and religious considerations that affect it.[86]
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Cooking requires applying heat to a food which usually, though not always, chemically changes the molecules, thus changing its flavor, texture, appearance, and nutritional properties.[87] Cooking certain proteins, such as egg whites, meats, and fish, denatures the protein, causing it to firm. There is archaeological evidence of roasted foodstuffs at Homo erectus campsites dating from 420,000 years ago.[88] Boiling as a means of cooking requires a container, and has been practiced at least since the 10th millennium BC with the introduction of pottery.[89]
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There are many different types of equipment used for cooking.
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Ovens are mostly hollow devices that get very hot (up to 500 °F (260 °C)) and are used for baking or roasting and offer a dry-heat cooking method. Different cuisines will use different types of ovens. For example, Indian culture uses a tandoor oven, which is a cylindrical clay oven which operates at a single high temperature.[90] Western kitchens use variable temperature convection ovens, conventional ovens, toaster ovens, or non-radiant heat ovens like the microwave oven. Classic Italian cuisine includes the use of a brick oven containing burning wood. Ovens may be wood-fired, coal-fired, gas, electric, or oil-fired.[91]
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Various types of cook-tops are used as well. They carry the same variations of fuel types as the ovens mentioned above. Cook-tops are used to heat vessels placed on top of the heat source, such as a sauté pan, sauce pot, frying pan, or pressure cooker. These pieces of equipment can use either a moist or dry cooking method and include methods such as steaming, simmering, boiling, and poaching for moist methods, while the dry methods include sautéing, pan frying, and deep-frying.[92]
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In addition, many cultures use grills for cooking. A grill operates with a radiant heat source from below, usually covered with a metal grid and sometimes a cover. An open-pit barbecue in the American south is one example along with the American style outdoor grill fueled by wood, liquid propane, or charcoal along with soaked wood chips for smoking.[93] A Mexican style of barbecue is called barbacoa, which involves the cooking of meats such as whole sheep over an open fire. In Argentina, an asado (Spanish for "grilled") is prepared on a grill held over an open pit or fire made upon the ground, on which a whole animal or smaller cuts are grilled.[94]
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Certain cultures highlight animal and vegetable foods in a raw state. Salads consisting of raw vegetables or fruits are common in many cuisines. Sashimi in Japanese cuisine consists of raw sliced fish or other meat, and sushi often incorporates raw fish or seafood. Steak tartare and salmon tartare are dishes made from diced or ground raw beef or salmon, mixed with various ingredients and served with baguettes, brioche, or frites.[95] In Italy, carpaccio is a dish of very thinly sliced raw beef, drizzled with a vinaigrette made with olive oil.[96] The health food movement known as raw foodism promotes a mostly vegan diet of raw fruits, vegetables, and grains prepared in various ways, including juicing, food dehydration, sprouting, and other methods of preparation that do not heat the food above 118 °F (47.8 °C).[97] An example of a raw meat dish is ceviche, a Latin American dish made with raw meat that is "cooked" from the highly acidic citric juice from lemons and limes along with other aromatics such as garlic.
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Restaurants employ chefs to prepare the food, and waiters to serve customers at the table.[98] The term restaurant comes from an old term for a restorative meat broth; this broth (or bouillon) was served in elegant outlets in Paris from the mid 18th century.[99][100] These refined "restaurants" were a marked change from the usual basic eateries such as inns and taverns,[100] and some had developed from early Parisian cafés, such as Café Procope, by first serving bouillon, then adding other cooked food to their menus.[101]
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Commercial eateries existed during the Roman period, with evidence of 150 "thermopolia", a form of fast food restaurant, found in Pompeii,[102] and urban sales of prepared foods may have existed in China during the Song dynasty.[103]
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In 2005, the population of the United States spent $496 billion on out-of-home dining. Expenditures by type of out-of-home dining were as follows: 40% in full-service restaurants, 37.2% in limited service restaurants (fast food), 6.6% in schools or colleges, 5.4% in bars and vending machines, 4.7% in hotels and motels, 4.0% in recreational places, and 2.2% in others, which includes military bases.[104][better source needed][relevant? – discuss]
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Packaged foods are manufactured outside the home for purchase. This can be as simple as a butcher preparing meat, or as complex as a modern international food industry. Early food processing techniques were limited by available food preservation, packaging, and transportation. This mainly involved salting, curing, curdling, drying, pickling, fermenting, and smoking.[105] Food manufacturing arose during the industrial revolution in the 19th century.[106] This development took advantage of new mass markets and emerging technology, such as milling, preservation, packaging and labeling, and transportation. It brought the advantages of pre-prepared time-saving food to the bulk of ordinary people who did not employ domestic servants.[107]
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At the start of the 21st century, a two-tier structure has arisen, with a few international food processing giants controlling a wide range of well-known food brands. There also exists a wide array of small local or national food processing companies.[108] Advanced technologies have also come to change food manufacture. Computer-based control systems, sophisticated processing and packaging methods, and logistics and distribution advances can enhance product quality, improve food safety, and reduce costs.[107]
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The World Bank reported that the European Union was the top food importer in 2005, followed at a distance by the US and Japan. Britain's need for food was especially well-illustrated in World War II. Despite the implementation of food rationing, Britain remained dependent on food imports and the result was a long term engagement in the Battle of the Atlantic.
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Food is traded and marketed on a global basis. The variety and availability of food is no longer restricted by the diversity of locally grown food or the limitations of the local growing season.[109] Between 1961 and 1999, there was a 400% increase in worldwide food exports.[110] Some countries are now economically dependent on food exports, which in some cases account for over 80% of all exports.[111]
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In 1994, over 100 countries became signatories to the Uruguay Round of the General Agreement on Tariffs and Trade in a dramatic increase in trade liberalization. This included an agreement to reduce subsidies paid to farmers, underpinned by the WTO enforcement of agricultural subsidy, tariffs, import quotas, and settlement of trade disputes that cannot be bilaterally resolved.[112] Where trade barriers are raised on the disputed grounds of public health and safety, the WTO refer the dispute to the Codex Alimentarius Commission, which was founded in 1962 by the United Nations Food and Agriculture Organization and the World Health Organization. Trade liberalization has greatly affected world food trade.[113]
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Food marketing brings together the producer and the consumer. The marketing of even a single food product can be a complicated process involving many producers and companies. For example, fifty-six companies are involved in making one can of chicken noodle soup. These businesses include not only chicken and vegetable processors but also the companies that transport the ingredients and those who print labels and manufacture cans.[114] The food marketing system is the largest direct and indirect non-government employer in the United States.
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In the pre-modern era, the sale of surplus food took place once a week when farmers took their wares on market day into the local village marketplace. Here food was sold to grocers for sale in their local shops for purchase by local consumers.[86][107] With the onset of industrialization and the development of the food processing industry, a wider range of food could be sold and distributed in distant locations. Typically early grocery shops would be counter-based shops, in which purchasers told the shop-keeper what they wanted, so that the shop-keeper could get it for them.[86][115]
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In the 20th century, supermarkets were born. Supermarkets brought with them a self service approach to shopping using shopping carts, and were able to offer quality food at lower cost through economies of scale and reduced staffing costs. In the latter part of the 20th century, this has been further revolutionized by the development of vast warehouse-sized, out-of-town supermarkets, selling a wide range of food from around the world.[116]
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Unlike food processors, food retailing is a two-tier market in which a small number of very large companies control a large proportion of supermarkets. The supermarket giants wield great purchasing power over farmers and processors, and strong influence over consumers. Nevertheless, less than 10% of consumer spending on food goes to farmers, with larger percentages going to advertising, transportation, and intermediate corporations.[117]
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It is rare for price spikes to hit all major foods in most countries at once, but food prices suffered all-time peaks in 2008 and 2011, posting a 15% and 12% deflated increase year-over-year, representing prices higher than any data collected.[119] One reason for the increase in food prices may be the increase in oil prices at the same time.[120][121]
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In December 2007, 37 countries faced food crises, and 20 had imposed some sort of food-price controls. In China, the price of pork jumped 58% in 2007. In the 1980s and 1990s, farm subsidies and support programs allowed major grain exporting countries to hold large surpluses, which could be tapped during food shortages to keep prices down. However, new trade policies had made agricultural production much more responsive to market demands, putting global food reserves at their lowest since 1983.[122]
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Rising food prices in those years have been linked with social unrest around the world, including rioting in Bangladesh and Mexico,[123] and the Arab Spring.[124]
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Food prices worldwide increased in 2008.[125][126]
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One cause of rising food prices is wealthier Asian consumers are westernizing their diets, and farmers and nations of the third world are struggling to keep up the pace. The past five years have seen rapid growth in the contribution of Asian nations to the global fluid and powdered milk manufacturing industry, which in 2008 accounted for more than 30% of production, while China alone accounts for more than 10% of both production and consumption in the global fruit and vegetable processing and preserving industry.[127]
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In 2013 Overseas Development Institute researchers showed that rice has more than doubled in price since 2000, rising by 120% in real terms. This was as a result of shifts in trade policy and restocking by major producers. More fundamental drivers of increased prices are the higher costs of fertilizer, diesel, and labor. Parts of Asia see rural wages rise with potential large benefits for the 1.3 billion (2008 estimate) of Asia's poor in reducing the poverty they face. However, this negatively impacts more vulnerable groups who don't share in the economic boom, especially in Asian and African coastal cities. The researchers said the threat means social-protection policies are needed to guard against price shocks. The research proposed that in the longer run, the rises present opportunities to export for Western African farmers with high potential for rice production to replace imports with domestic production.[128]
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Most recently, global food prices have been more stable and relatively low, after a sizable increase in late 2017, they are back under 75% of the nominal value seen during the all-time high in the 2011 food crisis.
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Institutions such as hedge funds, pension funds and investment banks like Barclays Capital, Goldman Sachs and Morgan Stanley[123] have been instrumental in pushing up prices in the last five years, with investment in food commodities rising from $65bn to $126bn (£41bn to £79bn) between 2007 and 2012, contributing to 30-year highs. This has caused price fluctuations which are not strongly related to the actual supply of food, according to the United Nations.[123] Financial institutions now make up 61% of all investment in wheat futures. According to Olivier De Schutter, the UN special rapporteur on food, there was a rush by institutions to enter the food market following George W. Bush's Commodities Futures Modernization Act of 2000.[123] De Schutter told the Independent in March 2012: "What we are seeing now is that these financial markets have developed massively with the arrival of these new financial investors, who are purely interested in the short-term monetary gain and are not really interested in the physical thing – they never actually buy the ton of wheat or maize; they only buy a promise to buy or to sell. The result of this financialization of the commodities market is that the prices of the products respond increasingly to a purely speculative logic. This explains why in very short periods of time we see prices spiking or bubbles exploding because prices are less and less determined by the real match between supply and demand."[123] In 2011, 450 economists from around the world called on the G20 to regulate the commodities market more.[123]
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Some experts have said that speculation has merely aggravated other factors, such as climate change, competition with bio-fuels and overall rising demand.[123] However, some such as Jayati Ghosh, professor of economics at Jawaharlal Nehru University in New Delhi, have pointed out that prices have increased irrespective of supply and demand issues: Ghosh points to world wheat prices, which doubled in the period from June to December 2010, despite there being no fall in global supply.[123]
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Food deprivation leads to malnutrition and ultimately starvation. This is often connected with famine, which involves the absence of food in entire communities. This can have a devastating and widespread effect on human health and mortality. Rationing is sometimes used to distribute food in times of shortage, most notably during times of war.[68]
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Starvation is a significant international problem. Approximately 815 million people are undernourished, and over 16,000 children die per day from hunger-related causes.[129] Food deprivation is regarded as a deficit need in Maslow's hierarchy of needs and is measured using famine scales.[130]
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Food aid can benefit people suffering from a shortage of food. It can be used to improve peoples' lives in the short term, so that a society can increase its standard of living to the point that food aid is no longer required.[131] Conversely, badly managed food aid can create problems by disrupting local markets, depressing crop prices, and discouraging food production. Sometimes a cycle of food aid dependence can develop.[132] Its provision, or threatened withdrawal, is sometimes used as a political tool to influence the policies of the destination country, a strategy known as food politics. Sometimes, food aid provisions will require certain types of food be purchased from certain sellers, and food aid can be misused to enhance the markets of donor countries.[133] International efforts to distribute food to the neediest countries are often coordinated by the World Food Programme.[134]
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Foodborne illness, commonly called "food poisoning", is caused by bacteria, toxins, viruses, parasites, and prions. Roughly 7 million people die of food poisoning each year, with about 10 times as many suffering from a non-fatal version.[135] The two most common factors leading to cases of bacterial foodborne illness are cross-contamination of ready-to-eat food from other uncooked foods and improper temperature control. Less commonly, acute adverse reactions can also occur if chemical contamination of food occurs, for example from improper storage, or use of non-food grade soaps and disinfectants. Food can also be adulterated by a very wide range of articles (known as "foreign bodies") during farming, manufacture, cooking, packaging, distribution, or sale. These foreign bodies can include pests or their droppings, hairs, cigarette butts, wood chips, and all manner of other contaminants. It is possible for certain types of food to become contaminated if stored or presented in an unsafe container, such as a ceramic pot with lead-based glaze.[135]
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Food poisoning has been recognized as a disease since as early as Hippocrates.[136] The sale of rancid, contaminated, or adulterated food was commonplace until the introduction of hygiene, refrigeration, and vermin controls in the 19th century. Discovery of techniques for killing bacteria using heat, and other microbiological studies by scientists such as Louis Pasteur, contributed to the modern sanitation standards that are ubiquitous in developed nations today. This was further underpinned by the work of Justus von Liebig, which led to the development of modern food storage and food preservation methods.[137] In more recent years, a greater understanding of the causes of food-borne illnesses has led to the development of more systematic approaches such as the Hazard Analysis and Critical Control Points (HACCP), which can identify and eliminate many risks.[138]
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Recommended measures for ensuring food safety include maintaining a clean preparation area with foods of different types kept separate, ensuring an adequate cooking temperature, and refrigerating foods promptly after cooking.[139]
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Foods that spoil easily, such as meats, dairy, and seafood, must be prepared a certain way to avoid contaminating the people for whom they are prepared. As such, the rule of thumb is that cold foods (such as dairy products) should be kept cold and hot foods (such as soup) should be kept hot until storage. Cold meats, such as chicken, that are to be cooked should not be placed at room temperature for thawing, at the risk of dangerous bacterial growth, such as Salmonella or E. coli.[140]
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Some people have allergies or sensitivities to foods that are not problematic to most people. This occurs when a person's immune system mistakes a certain food protein for a harmful foreign agent and attacks it. About 2% of adults and 8% of children have a food allergy.[141] The amount of the food substance required to provoke a reaction in a particularly susceptible individual can be quite small. In some instances, traces of food in the air, too minute to be perceived through smell, have been known to provoke lethal reactions in extremely sensitive individuals. Common food allergens are gluten, corn, shellfish (mollusks), peanuts, and soy.[141] Allergens frequently produce symptoms such as diarrhea, rashes, bloating, vomiting, and regurgitation. The digestive complaints usually develop within half an hour of ingesting the allergen.[141]
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Rarely, food allergies can lead to a medical emergency, such as anaphylactic shock, hypotension (low blood pressure), and loss of consciousness. An allergen associated with this type of reaction is peanut, although latex products can induce similar reactions.[141] Initial treatment is with epinephrine (adrenaline), often carried by known patients in the form of an Epi-pen or Twinject.[142][143]
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Human diet was estimated to cause perhaps around 35% of cancers in a human epidemiological analysis by Richard Doll and Richard Peto in 1981.[144] These cancer may be caused by carcinogens that are present in food naturally or as contaminants. Food contaminated with fungal growth may contain mycotoxins such as aflatoxins which may be found in contaminated corn and peanuts. Other carcinogens identified in food include heterocyclic amines generated in meat when cooked at high temperature, polyaromatic hydrocarbons in charred meat and smoked fish, and nitrosamines generated from nitrites used as food preservatives in cured meat such as bacon.[145]
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Anticarcinogens that may help prevent cancer can also be found in many food especially fruit and vegetables. Antioxidants are important groups of compounds that may help remove potentially harmful chemicals. It is however often difficult to identify the specific components in diet that serve to increase or decrease cancer risk since many food, such as beef steak and broccoli, contain low concentrations of both carcinogens and anticarcinogens.[145]
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There are many international certifications in the cooking field, such as Monde Selection, A.A. Certification, iTQi. They use high-quality evaluation methods to make the food become safer.
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Many cultures hold some food preferences and some food taboos. Dietary choices can also define cultures and play a role in religion. For example, only kosher foods are permitted by Judaism, halal foods by Islam, and in Hinduism beef is restricted.[149] In addition, the dietary choices of different countries or regions have different characteristics. This is highly related to a culture's cuisine.
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Dietary habits play a significant role in the health and mortality of all humans. Imbalances between the consumed fuels and expended energy results in either starvation or excessive reserves of adipose tissue, known as body fat.[150] Poor intake of various vitamins and minerals can lead to diseases that can have far-reaching effects on health. For instance, 30% of the world's population either has, or is at risk for developing, iodine deficiency.[151] It is estimated that at least 3 million children are blind due to vitamin A deficiency.[152] Vitamin C deficiency results in scurvy.[153] Calcium, Vitamin D, and phosphorus are inter-related; the consumption of each may affect the absorption of the others. Kwashiorkor and marasmus are childhood disorders caused by lack of dietary protein.[154]
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Many individuals limit what foods they eat for reasons of morality or other habits. For instance, vegetarians choose to forgo food from animal sources to varying degrees. Others choose a healthier diet, avoiding sugars or animal fats and increasing consumption of dietary fiber and antioxidants.[155] Obesity, a serious problem in the western world, leads to higher chances of developing heart disease, diabetes, cancer and many other diseases.[156] More recently, dietary habits have been influenced by the concerns that some people have about possible impacts on health or the environment from genetically modified food.[157] Further concerns about the impact of industrial farming (grains) on animal welfare, human health, and the environment are also having an effect on contemporary human dietary habits. This has led to the emergence of a movement with a preference for organic and local food.[158]
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Between the extremes of optimal health and death from starvation or malnutrition, there is an array of disease states that can be caused or alleviated by changes in diet. Deficiencies, excesses, and imbalances in diet can produce negative impacts on health, which may lead to various health problems such as scurvy, obesity, or osteoporosis, diabetes, cardiovascular diseases as well as psychological and behavioral problems. The science of nutrition attempts to understand how and why specific dietary aspects influence health.
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Nutrients in food are grouped into several categories. Macronutrients are fat, protein, and carbohydrates. Micronutrients are the minerals and vitamins. Additionally, food contains water and dietary fiber.
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As previously discussed, the body is designed by natural selection to enjoy sweet and fattening foods for evolutionary diets, ideal for hunters and gatherers. Thus, sweet and fattening foods in nature are typically rare and are very pleasurable to eat. In modern times, with advanced technology, enjoyable foods are easily available to consumers. Unfortunately, this promotes obesity in adults and children alike.
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Some countries list a legal definition of food, often referring them with the word foodstuff. These countries list food as any item that is to be processed, partially processed, or unprocessed for consumption. The listing of items included as food includes any substance intended to be, or reasonably expected to be, ingested by humans. In addition to these foodstuffs, drink, chewing gum, water, or other items processed into said food items are part of the legal definition of food. Items not included in the legal definition of food include animal feed, live animals (unless being prepared for sale in a market), plants prior to harvesting, medicinal products, cosmetics, tobacco and tobacco products, narcotic or psychotropic substances, and residues and contaminants.[159]
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Halley's Comet or Comet Halley, officially designated 1P/Halley,[2] is a short-period comet visible from Earth every 75–76 years.[2][10][11][12] Halley is the only known short-period comet that is regularly visible to the naked eye from Earth, and the only naked-eye comet that can appear twice in a human lifetime.[13] Halley last appeared in the inner parts of the Solar System in 1986 and will next appear in mid-2061 to 2062.[14]
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Halley's returns to the inner Solar System have been observed and recorded by astronomers since at least 240 BC. Clear records of the comet's appearances were made by Chinese, Greeks, Babylonian, and medieval European chroniclers, but, at those times, were not recognized as reappearances of the same object. The comet's periodicity was first determined in 1705 by English astronomer Edmond Halley, after whom it is now named.[15]
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During its 1986 apparition, Halley's Comet became the first comet to be observed in detail by spacecraft, providing the first observational data on the structure of a comet nucleus and the mechanism of coma and tail formation.[16][17] These observations supported a number of longstanding hypotheses about comet construction, particularly Fred Whipple's "dirty snowball" model, which correctly predicted that Halley would be composed of a mixture of volatile ices—such as water, carbon dioxide, and ammonia—and dust. The missions also provided data that substantially reformed and reconfigured these ideas; for instance, it is now understood that the surface of Halley is largely composed of dusty, non-volatile materials, and that only a small portion of it is icy.
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Comet Halley is commonly pronounced /ˈhæli/, rhyming with valley, or /ˈheɪli/, rhyming with daily.[18][19] Colin Ronan, one of Edmond Halley's biographers, preferred /ˈhɔːli/, rhyming with crawly.[20] Spellings of Halley's name during his lifetime included Hailey, Haley, Hayley, Halley, Hawley, and Hawly, so its contemporary pronunciation is uncertain, but current bearers of this last name appear to prefer the version that rhymes with "valley".[21]
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Halley was the first comet to be recognized as periodic. Until the Renaissance, the philosophical consensus on the nature of comets, promoted by Aristotle, was that they were disturbances in Earth's atmosphere. This idea was disproved in 1577 by Tycho Brahe, who used parallax measurements to show that comets must lie beyond the Moon. Many were still unconvinced that comets orbited the Sun, and assumed instead that they must follow straight paths through the Solar System.[22]
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In 1687, Sir Isaac Newton published his Philosophiæ Naturalis Principia Mathematica, in which he outlined his laws of gravity and motion. His work on comets was decidedly incomplete. Although he had suspected that two comets that had appeared in succession in 1680 and 1681 were the same comet before and after passing behind the Sun (he was later found to be correct; see Newton's Comet),[23] he was unable to completely reconcile comets into his model.
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Ultimately, it was Newton's friend, editor and publisher, Edmond Halley, who, in his 1705 Synopsis of the Astronomy of Comets, used Newton's new laws to calculate the gravitational effects of Jupiter and Saturn on cometary orbits.[24] Having compiled a list of 24 comet observations, he calculated that the orbital elements of a second comet that had appeared in 1682 were nearly the same as those of two comets that had appeared in 1531 (observed by Petrus Apianus) and 1607 (observed by Johannes Kepler).[24][25] Halley thus concluded that all three comets were, in fact, the same object returning about every 76 years, a period that has since been found to vary between 74 and 79 years. After a rough estimate of the perturbations the comet would sustain from the gravitational attraction of the planets, he predicted its return for 1758.[26] While he had personally observed the comet around perihelion in September 1682,[27] Halley died in 1742 before he could observe its predicted return.[28]
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Halley's prediction of the comet's return proved to be correct, although it was not seen until 25 December 1758, by Johann Georg Palitzsch, a German farmer and amateur astronomer. It did not pass through its perihelion until 13 March 1759, the attraction of Jupiter and Saturn having caused a retardation of 618 days.[29] This effect was computed prior to its return (with a one-month error to 13 April)[30] by a team of three French mathematicians, Alexis Clairaut, Joseph Lalande, and Nicole-Reine Lepaute.[31] The confirmation of the comet's return was the first time anything other than planets had been shown to orbit the Sun. It was also one of the earliest successful tests of Newtonian physics, and a clear demonstration of its explanatory power.[32] The comet was first named in Halley's honour by French astronomer Nicolas-Louis de Lacaille in 1759.[32]
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Some scholars have proposed that first-century Mesopotamian astronomers already had recognized Halley's Comet as periodic.[33] This theory notes a passage in the Bavli Talmud[34] that refers to "a star which appears once in seventy years that makes the captains of the ships err."[35]
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Researchers in 1981 attempting to calculate the past orbits of Halley by numerical integration starting from accurate observations in the seventeenth and eighteenth centuries could not produce accurate results further back than 837 due to a close approach to Earth in that year. It was necessary to use ancient Chinese comet observations to constrain their calculations.[36]
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Halley's orbital period has varied between 74–79 years since 240 BC.[32][11] Its orbit around the Sun is highly elliptical, with an orbital eccentricity of 0.967 (with 0 being a circle and 1 being a parabolic trajectory). The perihelion, the point in the comet's orbit when it is nearest the Sun, is just 0.6 AU.[37] This is between the orbits of Mercury and Venus. Its aphelion, or farthest distance from the Sun, is 35 AU (roughly the distance of Pluto). Unusual for an object in the Solar System, Halley's orbit is retrograde; it orbits the Sun in the opposite direction to the planets, or, clockwise from above the Sun's north pole. The orbit is inclined by 18° to the ecliptic, with much of it lying south of the ecliptic. (Because it is retrograde, the true inclination is 162°.)[38] Due to the retrograde orbit, it has one of the highest velocities relative to the Earth of any object in the Solar System. The 1910 passage was at a relative velocity of 70.56 km/s (157,838 mph or 254,016 km/h).[39] Because its orbit comes close to Earth's in two places, Halley is associated with two meteor showers: the Eta Aquariids in early May, and the Orionids in late October.[40] Halley is the parent body to the Orionids. Observations conducted around the time of Halley's appearance in 1986 suggested that the comet could additionally perturb the Eta Aquariids meteor shower, although it might not be the parent of that shower.[41]
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Halley is classified as a periodic or short-period comet; one with an orbit lasting 200 years or less.[42] This contrasts it with long-period comets, whose orbits last for thousands of years. Periodic comets have an average inclination to the ecliptic of only ten degrees, and an orbital period of just 6.5 years, so Halley's orbit is atypical.[32] Most short-period comets (those with orbital periods shorter than 20 years and inclinations of 20–30 degrees or less) are called Jupiter-family comets. Those resembling Halley, with orbital periods of between 20 and 200 years and inclinations extending from zero to more than 90 degrees, are called Halley-type comets.[42][43] As of 2015[update], only 75 Halley-type comets have been observed, compared with 511 identified Jupiter-family comets.[44]
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The orbits of the Halley-type comets suggest that they were originally long-period comets whose orbits were perturbed by the gravity of the giant planets and directed into the inner Solar System.[42] If Halley was once a long-period comet, it is likely to have originated in the Oort cloud,[43] a sphere of cometary bodies that has an inner edge of 20,000–50,000 AU. Conversely the Jupiter-family comets are generally believed to originate in the Kuiper belt,[43] a flat disc of icy debris between 30 AU (Neptune's orbit) and 50 AU from the Sun (in the scattered disc). Another point of origin for the Halley-type comets was proposed in 2008, when a trans-Neptunian object with a retrograde orbit similar to Halley's was discovered, 2008 KV42, whose orbit takes it from just outside that of Uranus to twice the distance of Pluto. It may be a member of a new population of small Solar System bodies that serves as the source of Halley-type comets.[45]
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Halley has probably been in its current orbit for 16,000–200,000 years, although it is not possible to numerically integrate its orbit for more than a few tens of apparitions, and close approaches before 837 AD can only be verified from recorded observations.[46] The non-gravitational effects can be crucial;[46] as Halley approaches the Sun, it expels jets of sublimating gas from its surface, which knock it very slightly off its orbital path. These orbital changes cause delays in its perihelion of four days, average.[47]
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In 1989, Boris Chirikov and Vitold Vecheslavov performed an analysis of 46 apparitions of Halley's Comet taken from historical records and computer simulations. These studies showed that its dynamics were chaotic and unpredictable on long timescales.[48] Halley's projected lifetime could be as long as 10 million years. These studies also showed that many physical properties of Halley's Comet dynamics can be approximately described by a simple symplectic map, known as the Kepler map.[49] More recent work suggests that Halley will evaporate, or split in two, within the next few tens of thousands of years, or will be ejected from the Solar System within a few hundred thousand years.[50][43] Observations by D. W. Hughes suggest that Halley's nucleus has been reduced in mass by 80 to 90% over the last 2,000 to 3,000 revolutions.[17]
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The Giotto and Vega missions gave planetary scientists their first view of Halley's surface and structure. Like all comets, as Halley nears the Sun, its volatile compounds (those with low boiling points, such as water, carbon monoxide, carbon dioxide and other ices) begin to sublimate from the surface of its nucleus.[51] This causes the comet to develop a coma, or atmosphere, up to 100,000 km across.[3] Evaporation of this dirty ice releases dust particles, which travel with the gas away from the nucleus. Gas molecules in the coma absorb solar light and then re-radiate it at different wavelengths, a phenomenon known as fluorescence, whereas dust particles scatter the solar light. Both processes are responsible for making the coma visible.[13] As a fraction of the gas molecules in the coma are ionized by the solar ultraviolet radiation,[13] pressure from the solar wind, a stream of charged particles emitted by the Sun, pulls the coma's ions out into a long tail, which may extend more than 100 million kilometres into space.[51][52] Changes in the flow of the solar wind can cause disconnection events, in which the tail completely breaks off from the nucleus.[16]
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Despite the vast size of its coma, Halley's nucleus is relatively small: barely 15 kilometres long, 8 kilometres wide and perhaps 8 kilometres thick.[b] Its shape vaguely resembles that of a peanut shell.[3] Its mass is relatively low (roughly 2.2 × 1014 kg)[4] and its average density is about 0.6 g/cm3, indicating that it is made of a large number of small pieces, held together very loosely, forming a structure known as a rubble pile.[5] Ground-based observations of coma brightness suggested that Halley's rotation period was about 7.4 days. Images taken by the various spacecraft, along with observations of the jets and shell, suggested a period of 52 hours.[17] Given the irregular shape of the nucleus, Halley's rotation is likely to be complex.[51] Although only 25% of Halley's surface was imaged in detail during the flyby missions, the images revealed an extremely varied topography, with hills, mountains, ridges, depressions, and at least one crater.[17]
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Halley is the most active of all the periodic comets, with others, such as Comet Encke and Comet Holmes, being one or two orders of magnitude less active.[17] Its day side (the side facing the Sun) is far more active than the night side. Spacecraft observations showed that the gases ejected from the nucleus were 80% water vapour, 17% carbon monoxide and 3–4% carbon dioxide,[53] with traces of hydrocarbons[54] although more-recent sources give a value of 10% for carbon monoxide and also include traces of methane and ammonia.[55] The dust particles were found to be primarily a mixture of carbon–hydrogen–oxygen–nitrogen (CHON) compounds common in the outer Solar System, and silicates, such as are found in terrestrial rocks.[51] The dust particles decreased in size down to the limits of detection (~0.001 µm).[16] The ratio of deuterium to hydrogen in the water released by Halley was initially thought to be similar to that found in Earth's ocean water, suggesting that Halley-type comets may have delivered water to Earth in the distant past. Subsequent observations showed Halley's deuterium ratio to be far higher than that found in Earth's oceans, making such comets unlikely sources for Earth's water.[51]
|
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Giotto provided the first evidence in support of Fred Whipple's "dirty snowball" hypothesis for comet construction; Whipple postulated that comets are icy objects warmed by the Sun as they approach the inner Solar System, causing ices on their surfaces to sublimate (change directly from a solid to a gas), and jets of volatile material to burst outward, creating the coma. Giotto showed that this model was broadly correct,[51] though with modifications. Halley's albedo, for instance, is about 4%, meaning that it reflects only 4% of the sunlight hitting it; about what one would expect for coal.[56] Thus, despite appearing brilliant white to observers on Earth, Halley's Comet is in fact pitch black. The surface temperature of evaporating "dirty ice" ranges from 170 K (−103 °C) at higher albedo to 220 K (−53 °C) at low albedo; Vega 1 found Halley's surface temperature to be in the range 300–400 K (27–127 °C). This suggested that only 10% of Halley's surface was active, and that large portions of it were coated in a layer of dark dust that retained heat.[16] Together, these observations suggested that Halley was in fact predominantly composed of non-volatile materials, and thus more closely resembled a "snowy dirtball" than a "dirty snowball".[17][57]
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Halley may have been recorded as early as 467 BC, but this is uncertain. A comet was recorded in ancient Greece between 468 and 466 BC; its timing, location, duration, and associated meteor shower all suggest it was Halley.[58] According to Pliny the Elder, that same year a meteorite fell in the town of Aegospotami, in Thrace. He described it as brown in colour and the size of a wagon load.[59] Chinese chroniclers also mention a comet in that year.[60]
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The first certain appearance of Halley's Comet in the historical record is a description from 240 BC, in the Chinese chronicle Records of the Grand Historian or Shiji, which describes a comet that appeared in the east and moved north.[61] The only surviving record of the 164 BC apparition is found on two fragmentary Babylonian tablets, now owned by the British Museum.[61]
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The apparition of 87 BC was recorded in Babylonian tablets which state that the comet was seen "day beyond day" for a month.[62] This appearance may be recalled in the representation of Tigranes the Great, an Armenian king who is depicted on coins with a crown that features, according to Vahe Gurzadyan and R. Vardanyan, "a star with a curved tail [that] may represent the passage of Halley's Comet in 87 BC." Gurzadyan and Vardanyan argue that "Tigranes could have seen Halley's Comet when it passed closest to the Sun on August 6 in 87 BC" as the comet would have been a "most recordable event"; for ancient Armenians it could have heralded the New Era of the brilliant King of Kings.[63]
|
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The apparition of 12 BC was recorded in the Book of Han by Chinese astronomers of the Han Dynasty who tracked it from August through October.[10] It passed within 0.16 AU of Earth.[64] According to the Roman historian Cassius Dio, a comet appeared suspended over Rome for several days portending the death of Marcus Vipsanius Agrippa in that year.[65] Halley's appearance in 12 BC, only a few years distant from the conventionally assigned date of the birth of Jesus Christ, has led some theologians and astronomers to suggest that it might explain the biblical story of the Star of Bethlehem. There are other explanations for the phenomenon, such as planetary conjunctions, and there are also records of other comets that appeared closer to the date of Jesus' birth.[66]
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If, as has been suggested, the reference in the Talmud to "a star which appears once in seventy years that makes the captains of the ships err"[67] (see above) refers to Halley's Comet, it may be a reference to the 66 AD appearance, because this passage is attributed to the Rabbi Yehoshua ben Hananiah. This apparition was the only one to occur during ben Hananiah's lifetime.[68]
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The 141 AD apparition was recorded in Chinese chronicles.[69] It was also recorded in the Tamil work Purananuru, in connection with the death of the south Indian Chera king Yanaikatchai Mantaran Cheral Irumporai.[70]
|
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The 374 AD and 607 approaches each came within 0.09 AU of Earth.[64] The 451 AD apparition was said to herald the defeat of Attila the Hun at the Battle of Chalons.[71] The 684 AD apparition was recorded in Europe in one of the sources used by the compiler of the 1493 Nuremberg Chronicles; which contains an image 8 centuries after the event.[72] Chinese records also report it as the "broom star".[73][25] In 837, Halley's Comet may have passed as close as 0.03 AU (3.2 million miles; 5.1 million kilometres) from Earth, by far its closest approach.[64] Its tail may have stretched 60 degrees across the sky. It was recorded by astronomers in China, Japan, Germany, the Byzantine Empire, and the Middle East;[10] Emperor Louis the Pious observed this appearance and devoted himself to prayer and penance, fearing that "by this token a change in the realm and the death of a prince are made known."[74] In 912, Halley is recorded in the Annals of Ulster, which state "A dark and rainy year. A comet appeared."[75]
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In 1066, the comet was seen in England and thought to be an omen: later that year Harold II of England died at the Battle of Hastings; it was a bad omen for Harold, but a good omen for the man who defeated him, William the Conqueror. The comet is represented on the Bayeux Tapestry and described in the tituli as a star. Surviving accounts from the period describe it as appearing to be four times the size of Venus and shining with a light equal to a quarter of that of the Moon. Halley came within 0.10 AU of Earth at that time.[64]
|
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This appearance of the comet is also noted in the Anglo-Saxon Chronicle. Eilmer of Malmesbury may have seen Halley previously in 989, as he wrote of it in 1066: "You've come, have you? ... You've come, you source of tears to many mothers, you evil. I hate you! It is long since I saw you; but as I see you now you are much more terrible, for I see you brandishing the downfall of my country. I hate you!"[76]
|
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The Irish Annals of the Four Masters recorded the comet as "A star [that] appeared on the seventh of the Calends of May, on Tuesday after Little Easter, than whose light the brilliance or light of The Moon was not greater; and it was visible to all in this manner till the end of four nights afterwards."[75] Chaco Native Americans in New Mexico may have recorded the 1066 apparition in their petroglyphs.[77]
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The 1145 apparition was recorded by the monk Eadwine. The 1986 apparition exhibited a fan tail similar to Eadwine's drawing.[73] Some claim that Genghis Khan was inspired to turn his conquests toward Europe by the 1222 apparition.[78] The 1301 apparition may have been seen by the artist Giotto di Bondone, who represented the Star of Bethlehem as a fire-colored comet in the Nativity section of his Arena Chapel cycle, completed in 1305.[73] Its 1378 appearance is recorded in the Annales Mediolanenses[79] as well as in East Asian sources.[80]
|
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In 1456, the year of Halley's next apparition, the Ottoman Empire invaded the Kingdom of Hungary, culminating in the Siege of Belgrade in July of that year. In a papal bull, Pope Callixtus III ordered special prayers be said for the city's protection. In 1470, the humanist scholar Bartolomeo Platina wrote in his Lives of the Popes that,[81]
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64 |
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A hairy and fiery star having then made its appearance for several days, the mathematicians declared that there would follow grievous pestilence, dearth and some great calamity. Calixtus, to avert the wrath of God, ordered supplications that if evils were impending for the human race He would turn all upon the Turks, the enemies of the Christian name. He likewise ordered, to move God by continual entreaty, that notice should be given by the bells to call the faithful at midday to aid by their prayers those engaged in battle with the Turk.
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Platina's account is not mentioned in official records. In the 18th century, a Frenchman further embellished the story, in anger at the Church, by claiming that the Pope had "excommunicated" the comet, though this story was most likely his own invention.[82]
|
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Halley's apparition of 1456 was also witnessed in Kashmir and depicted in great detail by Śrīvara, a Sanskrit poet and biographer to the Sultans of Kashmir. He read the apparition as a cometary portent of doom foreshadowing the imminent fall of Sultan Zayn al-Abidin (AD 1418/1420–1470).[83]
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After witnessing a bright light in the sky which most historians have identified as Halley's Comet, Zara Yaqob, Emperor of Ethiopia from 1434 to 1468, founded the city of Debre Berhan (tr. City of Light) and made it his capital for the remainder of his reign.[84]
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Halley, 1695[85]
|
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Halley's periodic returns have been subject to scientific investigation since the 16th century. The three apparitions from 1531 to 1682 were noted by Edmond Halley, enabling him to predict it would return.[86] One key breakthrough occurred when Halley talked with Newton about his ideas of the laws of motion. Newton also helped Halley get Flamsteed's data on the 1682 apparition.[85] By studying data on the 1531, 1607, and 1682 comets, he came to the conclusion these were the same Comet, and presented his findings in 1696.[85]
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One difficulty was accounting for the effect of the planets, and Jupiter would delay Halley somewhat for 1759.[85] In the decades that followed, more refined mathematics would be worked on, notable by Paris Observatory; the work on Halley also provided a boost to Newton and Kepler's rules for celestial motions.[85] (See also #Computation of orbit)
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At Markree Observatory in Ireland, a E. J. Cooper used a Cauchoix of Paris lens telescope with an aperture of 13.3 (~34 cm) inches to sketch Halley's comet in 1835.[87]
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The comet was also sketched by F.W. Bessel.[88] Streams of vapour observed during the comet's 1835 apparition prompted astronomer Friedrich Wilhelm Bessel to propose that the jet forces of evaporating material could be great enough to significantly alter a comet's orbit.[89]
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An interview in 1910, of someone who was a teenager at the time of the 1835 apparition had this to say:[90]
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When the comet was first seen, it appeared in the western sky, its head toward the north and tail towards the south, about horizontal and considerably above the horizon and quite a distance south of the Sun. It could be plainly seen directly after sunset every day, and was visible for a long time, perhaps a month ...
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They go on to describe the comet's tail as being more broad and not as long as the comet of 1843 they had also witnessed.[90]
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Famous astronomers across the world made observations starting August 1835, including Struve at Dorpat observatory, and Sir John Herschel, who made of observations from the Cape of Good Hope.[91] In the United States telescopic observations were made from Yale college.[91] The new observations helped confirm early appearances of this comet including its 1456 and 1378 apparitions.[91]
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At Yale college in Connecticut, the comet was first reported on 31 August 1835 by astronomers D. Olmstead and E. Loomis.[92] In Canada reports were made from Newfoundland and also Quebec.[92] Reports came in from all over by later 1835, and often reported in newspapers of this time in Canada.[92]
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A number of accounts of the 1835 apparition were made by those that survived until the 1910 return, where increased interest in the comet lead to them being interviewed.[92]
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Astrophotography was not known to have been attempted until 1839 as photography was still being invented in the 1830s, too late to photograph the apparition of 1P/Halley in 1835.[93]
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The time to Halley's return in 1910 would be only 74.42 years, which is one of the shortest known periods of its return, which is calculated to be as long as 79 years due to the effects of the planets.[94]
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At Paris Observatory Halley's Comet 1835 apparition was observed with a Lerebours telescope of 24.4 cm (9.6 in) aperture by the astronomer François Arago.[95] Arago recorded polimetric observations of Halley, and suggested that the tail may be sunlight reflecting off a sparsely distributed material; he had earlier made similar observations of Comet Tralles of 1819.[96]
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The 1910 approach, which came into naked-eye view around 10 April[64] and came to perihelion on 20 April,[64] was notable for several reasons: it was the first approach of which photographs exist, and the first for which spectroscopic data were obtained.[16] Furthermore, the comet made a relatively close approach of 0.15 AU,[64] making it a spectacular sight. Indeed, on 19 May, Earth actually passed through the tail of the comet.[97][98] One of the substances discovered in the tail by spectroscopic analysis was the toxic gas cyanogen,[99] which led astronomer Camille Flammarion to claim that, when Earth passed through the tail, the gas "would impregnate the atmosphere and possibly snuff out all life on the planet."[100] His pronouncement led to panicked buying of gas masks and quack "anti-comet pills" and "anti-comet umbrellas" by the public.[101] In reality, as other astronomers were quick to point out, the gas is so diffused that the world suffered no ill effects from the passage through the tail.[100]
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The comet added to the unrest in China on the eve of the Xinhai Revolution that would end the last dynasty in 1911. As James Hutson, a missionary in Sichuan Province at the time, recorded,
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The people believe that it indicates calamity such as war, fire, pestilence, and a change of dynasty. In some places on certain days the doors were unopened for half a day, no water was carried and many did not even drink water as it was rumoured that pestilential vapour was being poured down upon the earth from the comet."[102]
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The 1910 visitation is also recorded as being the travelling companion of Hedley Churchward, the first known English Muslim to make the Haj pilgrimage to Mecca. However, his explanation of its scientific predictability did not meet with favour in the Holy City.[103]
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The comet was also fertile ground for hoaxes. One that reached major newspapers claimed that the Sacred Followers, a supposed Oklahoma religious group, attempted to sacrifice a virgin to ward off the impending disaster, but were stopped by the police.[104]
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American satirist and writer Mark Twain was born on 30 November 1835, exactly two weeks after the comet's perihelion. In his autobiography, published in 1909, he said,
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I came in with Halley's comet in 1835. It is coming again next year, and I expect to go out with it. It will be the greatest disappointment of my life if I don't go out with Halley's comet. The Almighty has said, no doubt: 'Now here are these two unaccountable freaks; they came in together, they must go out together.'[105][106]
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Twain died on 21 April 1910, the day following the comet's subsequent perihelion.[107] The 1985 fantasy film The Adventures of Mark Twain was inspired by the quotation.
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Halley's 1910 apparition is distinct from the Great Daylight Comet of 1910, which surpassed Halley in brilliance and was actually visible in broad daylight for a short period, approximately four months before Halley made its appearance.[108][109]
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Halley's 1986 apparition was the least favourable on record. The comet and Earth were on opposite sides of the Sun in February 1986, creating the worst viewing circumstances for Earth observers for the last 2,000 years.[110] Halley's closest approach was 0.42 AU.[111] Additionally, with increased light pollution from urbanization, many people failed to even see the comet. It was possible to observe it in areas outside of cities with the help of binoculars.[112] Further, the comet appeared brightest when it was almost invisible from the northern hemisphere in March and April 1986.[113]
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Halley's approach was first detected by astronomers David C. Jewitt and G. Edward Danielson on 16 October 1982 using the 5.1 m Hale telescope at Mount Palomar and a CCD camera.[114] The first person to visually observe the comet on its 1986 return was amateur astronomer Stephen James O'Meara on 24 January 1985. O'Meara used a home-built 24-inch telescope on top of Mauna Kea to detect the magnitude 19.6 comet.[115] On 8 November 1985, Stephen Edberg (then serving as the Coordinator for Amateur Observations at NASA's Jet Propulsion Laboratory) and Charles Morris were the first to observe Halley's Comet with the naked eye in its 1986 apparition.[116][117]
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Although Halley's Comet's retrograde orbit and high inclination make it difficult to send a space probe to it,[118] the 1986 apparition gave scientists the opportunity to closely study the comet, and several probes were launched to do so. The Soviet Vega 1 started returning images of Halley on 4 March 1986, and the first ever of its nucleus,[17] and made its flyby on 6 March, followed by Vega 2 making its flyby on 9 March. On 14 March, the Giotto space probe, launched by the European Space Agency, made the closest pass of the comet's nucleus.[17] There were also two Japanese probes, Suisei and Sakigake. The probes were unofficially known as the Halley Armada.[119]
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Based on data retrieved by Astron, the largest ultraviolet space telescope of the time, during its Halley's Comet observations in December 1985, a group of Soviet scientists developed a model of the comet's coma.[120] The comet was also observed from space by the International Cometary Explorer (ICE). Originally International Sun-Earth Explorer 3, the probe was renamed and freed from its L1 Lagrangian point location in Earth's orbit to intercept comets 21P/Giacobini-Zinner and Halley.[121] ICE made its closest approach on 28 March 1986.
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Two Space Shuttle missions—the ill-fated STS-51-L (ended by the Challenger disaster)[122] and STS-61-E—were scheduled to observe Halley's Comet from low Earth orbit. STS-51-L carried the Shuttle-Pointed Tool for Astronomy (SPARTAN-203) satellite, also called the Halley's Comet Experiment Deployable (HCED).[123] STS-61-E was a Columbia mission scheduled for March 1986, carrying the ASTRO-1 platform to study the comet.[124] Due to the suspension of America's manned space program after the Challenger explosion, the mission was canceled, and ASTRO-1 would not fly until late 1990 on STS-35.[125]
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On 12 February 1991, at a distance of 14.4 AU (2.15×109 km) from the Sun, Halley displayed an outburst that lasted for several months, releasing a cloud of dust 300,000 km (190,000 mi) across.[51] The outburst likely started in December 1990, and then the comet brightened from magnitude 24.3 to magnitude 18.9.[126] Halley was most recently observed in 2003 by three of the Very Large Telescopes at Paranal, Chile, when Halley's magnitude was 28.2. The telescopes observed Halley, at the faintest and farthest any comet has ever been imaged, in order to verify a method for finding very faint trans-Neptunian objects.[9] Astronomers are now able to observe the comet at any point in its orbit.[9]
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In December 2023, Halley's Comet is calculated to reach the farthest point in its orbit from Sun.[127]
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The next predicted perihelion of Halley's Comet is 28 July 2061 to 28 July 2062,[1] when it is expected to be better positioned for observation than during the 1985–1986 apparition, as it will be on the same side of the Sun as Earth.[11] It is expected to have an apparent magnitude of −0.3, compared with only +2.1 for the 1986 apparition.[128] It has been calculated that on 9 September 2060, Halley will pass within 0.98 AU (147,000,000 km) of Jupiter, and then on 20 August 2061 will pass within 0.0543 AU (8,120,000 km) of Venus.[129]
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In 2134, Halley is expected to pass within 0.09 AU (13,000,000 km) of Earth.[129] Its apparent magnitude is expected to be −2.0.[128]
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Halley's calculations enabled the comet's earlier appearances to be found in the historical record. The following table sets out the astronomical designations for every apparition of Halley's Comet from 240 BC, the earliest documented widespread sighting.[2][130] For example, "1P/1982 U1, 1986 III, 1982i" indicates that for the perihelion in 1986, Halley was the first period comet known (designated 1P) and this apparition was the first seen in half-month U (the second half of October)[131] in 1982 (giving 1P/1982 U1); it was the third comet past perihelion in 1986 (1986 III); and it was the ninth comet spotted in 1982 (provisional designation 1982i). The perihelion dates of each apparition are shown.[132] The perihelion dates farther from the present are approximate, mainly because of uncertainties in the modelling of non-gravitational effects. Perihelion dates of 1531 and earlier are in the Julian calendar, while perihelion dates 1607 and after are in the Gregorian calendar.[133]
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Halley's Comet is visible from Earth every 74–79 years.[2][10][11]
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Alexandre Dumas (UK: /ˈdjuːmɑː, dʊˈmɑː/, US: /duːˈmɑː/; French: [alɛksɑ̃dʁ dyma]; born Dumas Davy de la Pailleterie [dyma davi də la pajətʁi]; 24 July 1802 – 5 December 1870),[1][2] also known as Alexandre Dumas père (French for 'father'), was a French writer. His works have been translated into many languages, and he is one of the most widely read French authors. Many of his historical novels of high adventure were originally published as serials, including The Count of Monte Cristo, The Three Musketeers, Twenty Years After, and The Vicomte of Bragelonne: Ten Years Later. His novels have been adapted since the early twentieth century into nearly 200 films.
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Prolific in several genres, Dumas began his career by writing plays, which were successfully produced from the first. He also wrote numerous magazine articles and travel books; his published works totalled 100,000 pages.[3] In the 1840s, Dumas founded the Théâtre Historique in Paris.
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His father, General Thomas-Alexandre Dumas Davy de la Pailleterie, was born in the French colony of Saint-Domingue (present-day Haiti) to Alexandre Antoine Davy de la Pailleterie, a French nobleman, and Marie-Cessette Dumas, a black slave.[4][5] At age 14, Thomas-Alexandre was taken by his father to France, where he was educated in a military academy and entered the military for what became an illustrious career.
|
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Dumas's father's aristocratic rank helped young Alexandre acquire work with Louis-Philippe, Duke of Orléans, then as a writer, a career which led to early success. Decades later, after the election of Louis-Napoléon Bonaparte in 1851, Dumas fell from favour and left France for Belgium, where he stayed for several years, then moved to Russia for a few years before going to Italy. In 1861, he founded and published the newspaper L'Indépendent, which supported Italian unification, before returning to Paris in 1864.
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Though married, in the tradition of Frenchmen of higher social class, Dumas had numerous affairs (allegedly as many as forty). In his lifetime, he was known to have at least four illegitimate children, although twentieth-century scholars found that Dumas fathered three other children out of wedlock. He acknowledged and assisted his son, Alexandre Dumas, to become a successful novelist and playwright. They are known as Alexandre Dumas père ('father') and Alexandre Dumas fils ('son'). Among his affairs, in 1866, Dumas had one with Adah Isaacs Menken, an American actress then less than half his age and at the height of her career.
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The English playwright Watts Phillips, who knew Dumas in his later life, described him as "the most generous, large-hearted being in the world. He also was the most delightfully amusing and egotistical creature on the face of the earth. His tongue was like a windmill – once set in motion, you never knew when he would stop, especially if the theme was himself."[6]
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Dumas Davy de la Pailleterie (later known as Alexandre Dumas) was born in 1802 in Villers-Cotterêts in the department of Aisne, in Picardy, France. He had two older sisters, Marie-Alexandrine (born 1794) and Louise-Alexandrine (born 1796, died 1797).[7] Their parents were Marie-Louise Élisabeth Labouret, the daughter of an innkeeper, and Thomas-Alexandre Dumas.
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Thomas-Alexandre had been born in the French colony of Saint-Domingue (now Haiti), the mixed-race, natural son of the marquis Alexandre Antoine Davy de la Pailleterie, a French nobleman and général commissaire in the artillery of the colony, and Marie-Cessette Dumas, a slave of Afro-Caribbean ancestry. At the time of Thomas-Alexandre's birth, his father was impoverished. It is not known whether his mother was born in Saint-Domingue or in Africa, nor is it known from which African people her ancestors came.[8][9][10]
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Brought as a boy to France by his father and legally freed there, Thomas-Alexandre Dumas Davy was educated in a military school and joined the army as a young man. As an adult, Thomas-Alexandre used his mother's name, Dumas, as his surname after a break with his father. Dumas was promoted to general by the age of 31, the first soldier of Afro-Antilles origin to reach that rank in the French army.[11]
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While working for Louis-Philippe, Dumas began writing articles for magazines and plays for the theatre. As an adult, he used his slave grandmother's surname of Dumas, as his father had done as an adult.[12] His first play, Henry III and His Courts, produced in 1829 when he was 27 years old, met with acclaim. The next year, his second play, Christine, was equally popular. These successes gave him sufficient income to write full-time.
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In 1830, Dumas participated in the Revolution that ousted Charles X and replaced him with Dumas's former employer, the Duke of Orléans, who ruled as Louis-Philippe, the Citizen King. Until the mid-1830s, life in France remained unsettled, with sporadic riots by disgruntled Republicans and impoverished urban workers seeking change. As life slowly returned to normal, the nation began to industrialise. An improving economy combined with the end of press censorship made the times rewarding for Alexandre Dumas's literary skills.
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After writing additional successful plays, Dumas switched to writing novels. Although attracted to an extravagant lifestyle and always spending more than he earned, Dumas proved to be an astute marketer. As newspapers were publishing many serial novels, in 1838, Dumas rewrote one of his plays as his first serial novel, Le Capitaine Paul. He founded a production studio, staffed with writers who turned out hundreds of stories, all subject to his personal direction, editing, and additions.
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From 1839 to 1841, Dumas, with the assistance of several friends, compiled Celebrated Crimes, an eight-volume collection of essays on famous criminals and crimes from European history. He featured Beatrice Cenci, Martin Guerre, Cesare and Lucrezia Borgia, as well as more recent events and criminals, including the cases of the alleged murderers Karl Ludwig Sand and Antoine François Desrues, who were executed.
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Dumas collaborated with Augustin Grisier, his fencing master, in his 1840 novel, The Fencing Master. The story is written as Grisier's account of how he came to witness the events of the Decembrist revolt in Russia. The novel was eventually banned in Russia by Czar Nicholas I, and Dumas was prohibited from visiting the country until after the Czar's death. Dumas refers to Grisier with great respect in The Count of Monte Cristo, The Corsican Brothers, and in his memoirs.
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Dumas depended on numerous assistants and collaborators, of whom Auguste Maquet was the best known. It was not until the late twentieth century that his role was fully understood.[13] Dumas wrote the short novel Georges (1843), which uses ideas and plots later repeated in The Count of Monte Cristo. Maquet took Dumas to court to try to get authorial recognition and a higher rate of payment for his work. He was successful in getting more money, but not a by-line.[13][14]
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Dumas's novels were so popular that they were soon translated into English and other languages. His writing earned him a great deal of money, but he was frequently insolvent, as he spent lavishly on women and sumptuous living. (Scholars have found that he had a total of 40 mistresses.[15]) In 1846, he had built a country house outside Paris at Le Port-Marly, the large Château de Monte-Cristo, with an additional building for his writing studio. It was often filled with strangers and acquaintances who stayed for lengthy visits and took advantage of his generosity. Two years later, faced with financial difficulties, he sold the entire property.
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Dumas wrote in a wide variety of genres and published a total of 100,000 pages in his lifetime.[3] He also made use of his experience, writing travel books after taking journeys, including those motivated by reasons other than pleasure. Dumas traveled to Spain, Italy, Germany, England and French Algeria. After King Louis-Philippe was ousted in a revolt, Louis-Napoléon Bonaparte was elected president. As Bonaparte disapproved of the author, Dumas fled in 1851 to Brussels, Belgium, which was also an effort to escape his creditors. About 1859, he moved to Russia, where French was the second language of the elite and his writings were enormously popular. Dumas spent two years in Russia and visited St. Petersburg, Moscow, Kazan, Astrakhan and Tbilisi, before leaving to seek different adventures. He published travel books about Russia.
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In March 1861, the kingdom of Italy was proclaimed, with Victor Emmanuel II as its king. Dumas travelled there and for the next three years participated in the movement for Italian unification. He founded and led a newspaper, Indipendente. While there, he befriended Giuseppe Garibaldi, whom he had long admired and with whom he shared a commitment to liberal republican principles as well as membership within Freemasonry.[16][17] Returning to Paris in 1864, he published travel books about Italy.
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Despite Dumas's aristocratic background and personal success, he had to deal with discrimination related to his mixed-race ancestry. In 1843, he wrote a short novel, Georges, that addressed some of the issues of race and the effects of colonialism. His response to a man who insulted him about his partial African ancestry has become famous. Dumas said:
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My father was a mulatto, my grandfather was a Negro, and my great-grandfather a monkey. You see, Sir, my family starts where yours ends.[18][19]
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On 1 February 1840, Dumas married actress Ida Ferrier (born Marguerite-Joséphine Ferrand) (1811–1859).[20] He had numerous liaisons with other women and was known to have fathered at least four children by them:
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About 1866, Dumas had an affair with Adah Isaacs Menken, a well-known American actress. She had performed her sensational role in Mazeppa in London. In Paris, she had a sold-out run of Les Pirates de la Savanne and was at the peak of her success.[21]
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These women were among Dumas's nearly 40 mistresses found by scholar Claude Schopp, in addition to three natural children.[15]
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Along with Victor Hugo, Charles Baudelaire, Gérard de Nerval, Eugène Delacroix and Honoré de Balzac, Dumas was a member of the Club des Hashischins, which met monthly to take hashish at a hotel in Paris. Dumas's "The Count of Monte Cristo" contains several references to hashish.[22]
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At his death in December 1870, Dumas was buried at his birthplace of Villers-Cotterêts in the department of Aisne. His death was overshadowed by the Franco-Prussian War. Changing literary fashions decreased his popularity. In the late twentieth century, scholars such as Reginald Hamel and Claude Schopp have caused a critical reappraisal and new appreciation of his art, as well as finding lost works.[3]
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In 1970, the Alexandre Dumas Paris Métro station was named in his honour. His country home outside Paris, the Château de Monte-Cristo, has been restored and is open to the public as a museum.[23]
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Researchers have continued to find Dumas works in archives, including the five-act play, The Gold Thieves, found in 2002 by the scholar Réginald Hamel [fr] in the Bibliothèque Nationale de France. It was published in France in 2004 by Honoré-Champion.[3]
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Frank Wild Reed (1874–1953), the older brother of Dunedin publisher A. H. Reed, was a busy Whangarei pharmacist who never visited France, yet he amassed the greatest collection of books and manuscripts relating to Dumas outside France. It contains about 3350 volumes, including some 2000 sheets in Dumas's handwriting and dozens of French, Belgian and English first editions. This collection was donated to Auckland Libraries after his death.[24] Reed wrote the most comprehensive bibliography of Dumas.[25][26]
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In 2002, for the bicentennial of Dumas's birth, French President Jacques Chirac had a ceremony honouring the author by having his ashes re-interred at the mausoleum of the Panthéon of Paris, where many French luminaries were buried.[3][15] The proceedings were televised: the new coffin was draped in a blue velvet cloth and carried on a caisson flanked by four mounted Republican Guards costumed as the four Musketeers. It was transported through Paris to the Panthéon.[12] In his speech, President Chirac said:
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With you, we were D'Artagnan, Monte Cristo, or Balsamo, riding along the roads of France, touring battlefields, visiting palaces and castles—with you, we dream.[27]
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Chirac acknowledged the racism that had existed in France and said that the re-interment in the Pantheon had been a way of correcting that wrong, as Alexandre Dumas was enshrined alongside fellow great authors Victor Hugo and Émile Zola.[27][28] Chirac noted that although France has produced many great writers, none has been so widely read as Dumas. His novels have been translated into nearly 100 languages. In addition, they have inspired more than 200 motion pictures.
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In June 2005, Dumas's last novel, The Knight of Sainte-Hermine, was published in France featuring the Battle of Trafalgar. Dumas described a fictional character killing Lord Nelson (Nelson was shot and killed by an unknown sniper). Writing and publishing the novel serially in 1869, Dumas had nearly finished it before his death. It was the third part of the Sainte-Hermine trilogy.
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Claude Schopp, a Dumas scholar, noticed a letter in an archive in 1990 that led him to discover the unfinished work. It took him years to research it, edit the completed portions, and decide how to treat the unfinished part. Schopp finally wrote the final two-and-a-half chapters, based on the author's notes, to complete the story.[15] Published by Éditions Phébus, it sold 60,000 copies, making it a best seller. Translated into English, it was released in 2006 as The Last Cavalier, and has been translated into other languages.[15]
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Schopp has since found additional material related to the Sainte-Hermine saga. Schopp combined them to publish the sequel Le Salut de l'Empire in 2008.[15]
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Alexandre Dumas wrote numerous stories and historical chronicles of high adventure. They included the following:
|
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In addition, Dumas wrote many series of novels:
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The d'Artagnan Romances:
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The Valois were the royal house of France from 1328 to 1589, and many of Dumas romances cover their reign. Traditionally, the so-called "Valois Romances" are the three that portray the Reign of Queen Marguerite, the last of the Valois. Dumas, however, later wrote four more novels that cover this family and portray similar characters, starting with François or Francis I, his son Henry II, and Marguerite and François II, sons of Henry II and Catherine de' Medici.
|
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The Marie Antoinette romances comprise eight novels. The unabridged versions (normally 100 chapters or more) comprise only five books (numbers 1,3,4,7 and 8); the short versions (50 chapters or less) number eight in total:
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Although best known now as a novelist, Dumas first earned fame as a dramatist. His Henri III et sa cour (1829) was the first of the great Romantic historical dramas produced on the Paris stage, preceding Victor Hugo's more famous Hernani (1830). Produced at the Comédie-Française and starring the famous Mademoiselle Mars, Dumas's play was an enormous success and launched him on his career. It had fifty performances over the next year, extraordinary at the time.
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Other hits followed.
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Dumas wrote many plays and adapted several of his novels as dramas. In the 1840s, he founded the Théâtre Historique, located on the Boulevard du Temple in Paris. The building was used after 1852 by the Opéra National (established by Adolphe Adam in 1847). It was renamed the Théâtre Lyrique in 1851.
|
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Dumas was a prolific writer of nonfiction. He wrote journal articles on politics and culture and books on French history.
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His lengthy Grand Dictionnaire de cuisine (Great Dictionary of Cuisine) was published posthumously in 1873. A combination of encyclopaedia and cookbook, it reflects Dumas's interests as both a gourmet and an expert cook. An abridged version (the Petit Dictionnaire de cuisine, or Small Dictionary of Cuisine) was published in 1883.
|
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|
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He was also known for his travel writing. These books included:
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French historian Alain Decaux founded the "Société des Amis d'Alexandre Dumas" (The Society of Friends of Alexandre Dumas) in 1971. As of August 2017[update] its president is Claude Schopp.[33] The purpose in creating this society was to preserve the Château de Monte-Cristo, where the society is currently located. The other objectives of the Society are to bring together fans of Dumas, to develop cultural activities of the Château de Monte-Cristo, and to collect books, manuscripts, autographs and other materials on Dumas.
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Alexandre Dumas about 1832
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Alexandre Dumas
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Alexandre Dumas in his library, by Maurice Leloir
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Alexandre Dumas in 1860
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Alexandre Dumas, cliché by Charles Reutlinger
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Alexandre Dumas by Gill
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Alexandre Dumas and Adah Isaacs Menken, 1866
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A comet is an icy, small Solar System body that, when passing close to the Sun, warms and begins to release gases, a process called outgassing. This produces a visible atmosphere or coma, and sometimes also a tail. These phenomena are due to the effects of solar radiation and the solar wind acting upon the nucleus of the comet. Comet nuclei range from a few hundred meters to tens of kilometers across and are composed of loose collections of ice, dust, and small rocky particles. The coma may be up to 15 times Earth's diameter, while the tail may stretch one astronomical unit. If sufficiently bright, a comet may be seen from Earth without the aid of a telescope and may subtend an arc of 30° (60 Moons) across the sky. Comets have been observed and recorded since ancient times by many cultures.
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Comets usually have highly eccentric elliptical orbits, and they have a wide range of orbital periods, ranging from several years to potentially several millions of years. Short-period comets originate in the Kuiper belt or its associated scattered disc, which lie beyond the orbit of Neptune. Long-period comets are thought to originate in the Oort cloud, a spherical cloud of icy bodies extending from outside the Kuiper belt to halfway to the nearest star.[1] Long-period comets are set in motion towards the Sun from the Oort cloud by gravitational perturbations caused by passing stars and the galactic tide. Hyperbolic comets may pass once through the inner Solar System before being flung to interstellar space. The appearance of a comet is called an apparition.
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Comets are distinguished from asteroids by the presence of an extended, gravitationally unbound atmosphere surrounding their central nucleus. This atmosphere has parts termed the coma (the central part immediately surrounding the nucleus) and the tail (a typically linear section consisting of dust or gas blown out from the coma by the Sun's light pressure or outstreaming solar wind plasma). However, extinct comets that have passed close to the Sun many times have lost nearly all of their volatile ices and dust and may come to resemble small asteroids.[2] Asteroids are thought to have a different origin from comets, having formed inside the orbit of Jupiter rather than in the outer Solar System.[3][4] The discovery of main-belt comets and active centaur minor planets has blurred the distinction between asteroids and comets. In the early 21st century, the discovery of some minor bodies with long-period comet orbits, but characteristics of inner solar system asteroids, were called Manx comets. They are still classified as comets, such as C/2014 S3 (PANSTARRS).[5] 27 Manx comets were found from 2013 to 2017.[6]
|
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As of July 2019[update] there are 6,619 known comets,[7] a number that is steadily increasing as more are discovered. However, this represents only a tiny fraction of the total potential comet population, as the reservoir of comet-like bodies in the outer Solar System (in the Oort cloud) is estimated to be one trillion.[8][9] Roughly one comet per year is visible to the naked eye, though many of those are faint and unspectacular.[10] Particularly bright examples are called "great comets". Comets have been visited by unmanned probes such as the European Space Agency's Rosetta, which became the first to land a robotic spacecraft on a comet,[11] and NASA's Deep Impact, which blasted a crater on Comet Tempel 1 to study its interior.
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The word comet derives from the Old English cometa from the Latin comēta or comētēs. That, in turn, is a latinization of the Greek κομήτης ("wearing long hair"), and the Oxford English Dictionary notes that the term (ἀστὴρ) κομήτης already meant "long-haired star, comet" in Greek. Κομήτης was derived from κομᾶν ("to wear the hair long"), which was itself derived from κόμη ("the hair of the head") and was used to mean "the tail of a comet".[12][13]
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The astronomical symbol for comets is (in Unicode ☄ U+2604), consisting of a small disc with three hairlike extensions.[14]
|
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The solid, core structure of a comet is known as the nucleus. Cometary nuclei are composed of an amalgamation of rock, dust, water ice, and frozen carbon dioxide, carbon monoxide, methane, and ammonia.[15] As such, they are popularly described as "dirty snowballs" after Fred Whipple's model.[16] However, many comets have a higher dust content, leading them to be called "icy dirtballs".[17] The term "icy dirtballs" arose after observation of Comet 9P/Tempel 1 collision with an "impactor" probe sent by NASA Deep Impact mission in July 2005. Research conducted in 2014 suggests that comets are like "deep fried ice cream", in that their surfaces are formed of dense crystalline ice mixed with organic compounds, while the interior ice is colder and less dense.[18]
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The surface of the nucleus is generally dry, dusty or rocky, suggesting that the ices are hidden beneath a surface crust several metres thick. In addition to the gases already mentioned, the nuclei contain a variety of organic compounds, which may include methanol, hydrogen cyanide, formaldehyde, ethanol, ethane, and perhaps more complex molecules such as long-chain hydrocarbons and amino acids.[19][20] In 2009, it was confirmed that the amino acid glycine had been found in the comet dust recovered by NASA's Stardust mission.[21] In August 2011, a report, based on NASA studies of meteorites found on Earth, was published suggesting DNA and RNA components (adenine, guanine, and related organic molecules) may have been formed on asteroids and comets.[22][23]
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+
The outer surfaces of cometary nuclei have a very low albedo, making them among the least reflective objects found in the Solar System. The Giotto space probe found that the nucleus of Halley's Comet reflects about four percent of the light that falls on it,[24] and Deep Space 1 discovered that Comet Borrelly's surface reflects less than 3.0%;[24] by comparison, asphalt reflects seven percent. The dark surface material of the nucleus may consist of complex organic compounds. Solar heating drives off lighter volatile compounds, leaving behind larger organic compounds that tend to be very dark, like tar or crude oil. The low reflectivity of cometary surfaces causes them to absorb the heat that drives their outgassing processes.[25]
|
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Comet nuclei with radii of up to 30 kilometers (19 mi) have been observed,[26] but ascertaining their exact size is difficult.[27] The nucleus of 322P/SOHO is probably only 100–200 meters (330–660 ft) in diameter.[28] A lack of smaller comets being detected despite the increased sensitivity of instruments has led some to suggest that there is a real lack of comets smaller than 100 meters (330 ft) across.[29] Known comets have been estimated to have an average density of 0.6 g/cm3 (0.35 oz/cu in).[30] Because of their low mass, comet nuclei do not become spherical under their own gravity and therefore have irregular shapes.[31]
|
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Roughly six percent of the near-Earth asteroids are thought to be extinct nuclei of comets that no longer experience outgassing,[32] including 14827 Hypnos and 3552 Don Quixote.
|
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+
|
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+
Results from the Rosetta and Philae spacecraft show that the nucleus of 67P/Churyumov–Gerasimenko has no magnetic field, which suggests that magnetism may not have played a role in the early formation of planetesimals.[33][34] Further, the ALICE spectrograph on Rosetta determined that electrons (within 1 km (0.62 mi) above the comet nucleus) produced from photoionization of water molecules by solar radiation, and not photons from the Sun as thought earlier, are responsible for the degradation of water and carbon dioxide molecules released from the comet nucleus into its coma.[35][36] Instruments on the Philae lander found at least sixteen organic compounds at the comet's surface, four of which (acetamide, acetone, methyl isocyanate and propionaldehyde) have been detected for the first time on a comet.[37][38][39]
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The streams of dust and gas thus released form a huge and extremely thin atmosphere around the comet called the "coma". The force exerted on the coma by the Sun's radiation pressure and solar wind cause an enormous "tail" to form pointing away from the Sun.[48]
|
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The coma is generally made of water and dust, with water making up to 90% of the volatiles that outflow from the nucleus when the comet is within 3 to 4 astronomical units (450,000,000 to 600,000,000 km; 280,000,000 to 370,000,000 mi) of the Sun.[49] The H2O parent molecule is destroyed primarily through photodissociation and to a much smaller extent photoionization, with the solar wind playing a minor role in the destruction of water compared to photochemistry.[49] Larger dust particles are left along the comet's orbital path whereas smaller particles are pushed away from the Sun into the comet's tail by light pressure.[50]
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Although the solid nucleus of comets is generally less than 60 kilometers (37 mi) across, the coma may be thousands or millions of kilometers across, sometimes becoming larger than the Sun.[51] For example, about a month after an outburst in October 2007, comet 17P/Holmes briefly had a tenuous dust atmosphere larger than the Sun.[52] The Great Comet of 1811 also had a coma roughly the diameter of the Sun.[53] Even though the coma can become quite large, its size can decrease about the time it crosses the orbit of Mars around 1.5 astronomical units (220,000,000 km; 140,000,000 mi) from the Sun.[53] At this distance the solar wind becomes strong enough to blow the gas and dust away from the coma, and in doing so enlarging the tail.[53] Ion tails have been observed to extend one astronomical unit (150 million km) or more.[52]
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Both the coma and tail are illuminated by the Sun and may become visible when a comet passes through the inner Solar System, the dust reflects sunlight directly while the gases glow from ionisation.[54] Most comets are too faint to be visible without the aid of a telescope, but a few each decade become bright enough to be visible to the naked eye.[55] Occasionally a comet may experience a huge and sudden outburst of gas and dust, during which the size of the coma greatly increases for a period of time. This happened in 2007 to Comet Holmes.[56]
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In 1996, comets were found to emit X-rays.[57] This greatly surprised astronomers because X-ray emission is usually associated with very high-temperature bodies. The X-rays are generated by the interaction between comets and the solar wind: when highly charged solar wind ions fly through a cometary atmosphere, they collide with cometary atoms and molecules, "stealing" one or more electrons from the atom in a process called "charge exchange". This exchange or transfer of an electron to the solar wind ion is followed by its de-excitation into the ground state of the ion by the emission of X-rays and far ultraviolet photons.[58]
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Bow shocks form as a result of the interaction between the solar wind and the cometary ionosphere, which is created by ionization of gases in the coma. As the comet approaches the Sun, increasing outgassing rates cause the coma to expand, and the sunlight ionizes gases in the coma. When the solar wind passes through this ion coma, the bow shock appears.
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The first observations were made in the 1980s and 90s as several spacecraft flew by comets 21P/Giacobini–Zinner,[59] 1P/Halley,[60] and 26P/Grigg–Skjellerup.[61] It was then found that the bow shocks at comets are wider and more gradual than the sharp planetary bow shocks seen at, for example, Earth. These observations were all made near perihelion when the bow shocks already were fully developed.
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The Rosetta spacecraft observed the bow shock at comet 67P/Churyumov–Gerasimenko at an early stage of bow shock development when the outgassing increased during the comet's journey toward the Sun. This young bow shock was called the "infant bow shock". The infant bow shock is asymmetric and, relative to the distance to the nucleus, wider than fully developed bow shocks.[62]
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In the outer Solar System, comets remain frozen and inactive and are extremely difficult or impossible to detect from Earth due to their small size. Statistical detections of inactive comet nuclei in the Kuiper belt have been reported from observations by the Hubble Space Telescope[63][64] but these detections have been questioned.[65][66] As a comet approaches the inner Solar System, solar radiation causes the volatile materials within the comet to vaporize and stream out of the nucleus, carrying dust away with them.
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The streams of dust and gas each form their own distinct tail, pointing in slightly different directions. The tail of dust is left behind in the comet's orbit in such a manner that it often forms a curved tail called the type II or dust tail.[54] At the same time, the ion or type I tail, made of gases, always points directly away from the Sun because this gas is more strongly affected by the solar wind than is dust, following magnetic field lines rather than an orbital trajectory.[67] On occasions—such as when Earth passes through a comet's orbital plane, the antitail, pointing in the opposite direction to the ion and dust tails, may be seen.[68]
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The observation of antitails contributed significantly to the discovery of solar wind.[69] The ion tail is formed as a result of the ionization by solar ultra-violet radiation of particles in the coma. Once the particles have been ionized, they attain a net positive electrical charge, which in turn gives rise to an "induced magnetosphere" around the comet. The comet and its induced magnetic field form an obstacle to outward flowing solar wind particles. Because the relative orbital speed of the comet and the solar wind is supersonic, a bow shock is formed upstream of the comet in the flow direction of the solar wind. In this bow shock, large concentrations of cometary ions (called "pick-up ions") congregate and act to "load" the solar magnetic field with plasma, such that the field lines "drape" around the comet forming the ion tail.[70]
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If the ion tail loading is sufficient, the magnetic field lines are squeezed together to the point where, at some distance along the ion tail, magnetic reconnection occurs. This leads to a "tail disconnection event".[70] This has been observed on a number of occasions, one notable event being recorded on 20 April 2007, when the ion tail of Encke's Comet was completely severed while the comet passed through a coronal mass ejection. This event was observed by the STEREO space probe.[71]
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In 2013, ESA scientists reported that the ionosphere of the planet Venus streams outwards in a manner similar to the ion tail seen streaming from a comet under similar conditions."[72][73]
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Uneven heating can cause newly generated gases to break out of a weak spot on the surface of comet's nucleus, like a geyser.[74] These streams of gas and dust can cause the nucleus to spin, and even split apart.[74] In 2010 it was revealed dry ice (frozen carbon dioxide) can power jets of material flowing out of a comet nucleus.[75] Infrared imaging of Hartley 2 shows such jets exiting and carrying with it dust grains into the coma.[76]
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Most comets are small Solar System bodies with elongated elliptical orbits that take them close to the Sun for a part of their orbit and then out into the further reaches of the Solar System for the remainder.[77] Comets are often classified according to the length of their orbital periods: The longer the period the more elongated the ellipse.
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Periodic comets or short-period comets are generally defined as those having orbital periods of less than 200 years.[78] They usually orbit more-or-less in the ecliptic plane in the same direction as the planets.[79] Their orbits typically take them out to the region of the outer planets (Jupiter and beyond) at aphelion; for example, the aphelion of Halley's Comet is a little beyond the orbit of Neptune. Comets whose aphelia are near a major planet's orbit are called its "family".[80] Such families are thought to arise from the planet capturing formerly long-period comets into shorter orbits.[81]
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At the shorter orbital period extreme, Encke's Comet has an orbit that does not reach the orbit of Jupiter, and is known as an Encke-type comet. Short-period comets with orbital periods less than 20 years and low inclinations (up to 30 degrees) to the ecliptic are called traditional Jupiter-family comets (JFCs).[82][83] Those like Halley, with orbital periods of between 20 and 200 years and inclinations extending from zero to more than 90 degrees, are called Halley-type comets (HTCs).[84][85] As of 2020[update], 91 HTCs have been observed,[86] compared with 685 identified JFCs.[87]
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Recently discovered main-belt comets form a distinct class, orbiting in more circular orbits within the asteroid belt.[88]
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Because their elliptical orbits frequently take them close to the giant planets, comets are subject to further gravitational perturbations.[89] Short-period comets have a tendency for their aphelia to coincide with a giant planet's semi-major axis, with the JFCs being the largest group.[83] It is clear that comets coming in from the Oort cloud often have their orbits strongly influenced by the gravity of giant planets as a result of a close encounter. Jupiter is the source of the greatest perturbations, being more than twice as massive as all the other planets combined. These perturbations can deflect long-period comets into shorter orbital periods.[90][91]
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Based on their orbital characteristics, short-period comets are thought to originate from the centaurs and the Kuiper belt/scattered disc[92] —a disk of objects in the trans-Neptunian region—whereas the source of long-period comets is thought to be the far more distant spherical Oort cloud (after the Dutch astronomer Jan Hendrik Oort who hypothesized its existence).[93] Vast swarms of comet-like bodies are thought to orbit the Sun in these distant regions in roughly circular orbits. Occasionally the gravitational influence of the outer planets (in the case of Kuiper belt objects) or nearby stars (in the case of Oort cloud objects) may throw one of these bodies into an elliptical orbit that takes it inwards toward the Sun to form a visible comet. Unlike the return of periodic comets, whose orbits have been established by previous observations, the appearance of new comets by this mechanism is unpredictable.[94] When flung into the orbit of the sun, and being continuously dragged towards it, tons of matter are stripped from the comets which greatly influence their lifetime; the more stripped, the shorter they live and vice versa.[95]
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Long-period comets have highly eccentric orbits and periods ranging from 200 years to thousands of years.[96] An eccentricity greater than 1 when near perihelion does not necessarily mean that a comet will leave the Solar System.[97] For example, Comet McNaught had a heliocentric osculating eccentricity of 1.000019 near its perihelion passage epoch in January 2007 but is bound to the Sun with roughly a 92,600-year orbit because the eccentricity drops below 1 as it moves farther from the Sun. The future orbit of a long-period comet is properly obtained when the osculating orbit is computed at an epoch after leaving the planetary region and is calculated with respect to the center of mass of the Solar System. By definition long-period comets remain gravitationally bound to the Sun; those comets that are ejected from the Solar System due to close passes by major planets are no longer properly considered as having "periods". The orbits of long-period comets take them far beyond the outer planets at aphelia, and the plane of their orbits need not lie near the ecliptic. Long-period comets such as Comet West and C/1999 F1 can have aphelion distances of nearly 70,000 AU (0.34 pc; 1.1 ly) with orbital periods estimated around 6 million years.
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Single-apparition or non-periodic comets are similar to long-period comets because they also have parabolic or slightly hyperbolic trajectories[96] when near perihelion in the inner Solar System. However, gravitational perturbations from giant planets cause their orbits to change. Single-apparition comets have a hyperbolic or parabolic osculating orbit which allows them to permanently exit the Solar System after a single pass of the Sun.[98] The Sun's Hill sphere has an unstable maximum boundary of 230,000 AU (1.1 pc; 3.6 ly).[99] Only a few hundred comets have been seen to reach a hyperbolic orbit (e > 1) when near perihelion[100] that using a heliocentric unperturbed two-body best-fit suggests they may escape the Solar System.
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As of 2019[update], only two objects have been discovered with an eccentricity significantly greater than one: 1I/ʻOumuamua and 2I/Borisov, indicating an origin outside the Solar System. While ʻOumuamua, with an eccentricity of about 1.2, showed no optical signs of cometary activity during its passage through the inner Solar System in October 2017, changes to its trajectory—which suggests outgassing—indicate that it is probably a comet.[101] On the other hand, 2I/Borisov, with an estimated eccentricity of about 3.36, has been observed to have the coma feature of comets, and is considered the first detected interstellar comet.[102][103] Comet C/1980 E1 had an orbital period of roughly 7.1 million years before the 1982 perihelion passage, but a 1980 encounter with Jupiter accelerated the comet giving it the largest eccentricity (1.057) of any known hyperbolic comet.[104] Comets not expected to return to the inner Solar System include C/1980 E1, C/2000 U5, C/2001 Q4 (NEAT), C/2009 R1, C/1956 R1, and C/2007 F1 (LONEOS).
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Some authorities use the term "periodic comet" to refer to any comet with a periodic orbit (that is, all short-period comets plus all long-period comets),[105] whereas others use it to mean exclusively short-period comets.[96] Similarly, although the literal meaning of "non-periodic comet" is the same as "single-apparition comet", some use it to mean all comets that are not "periodic" in the second sense (that is, to also include all comets with a period greater than 200 years).
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Early observations have revealed a few genuinely hyperbolic (i.e. non-periodic) trajectories, but no more than could be accounted for by perturbations from Jupiter. If comets pervaded interstellar space, they would be moving with velocities of the same order as the relative velocities of stars near the Sun (a few tens of km per second). If such objects entered the Solar System, they would have positive specific orbital energy and would be observed to have genuinely hyperbolic trajectories. A rough calculation shows that there might be four hyperbolic comets per century within Jupiter's orbit, give or take one and perhaps two orders of magnitude.[106]
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The Oort cloud is thought to occupy a vast space starting from between 2,000 and 5,000 AU (0.03 and 0.08 ly)[108] to as far as 50,000 AU (0.79 ly)[84] from the Sun. This cloud encases the celestial bodies that start at the middle of our solar system—the sun, all the way to outer limits of the Kuiper Belt. The Oort cloud consists of viable materials necessary for the creation of celestial bodies. The planets we have today, exist only because of the planetesimals (chunks of leftover space that assisted in the creation of planets) that were condensed and formed by the gravity of the sun. The eccentric made from these trapped planetesimals is why the Oort Cloud even exists.[109] Some estimates place the outer edge at between 100,000 and 200,000 AU (1.58 and 3.16 ly).[108] The region can be subdivided into a spherical outer Oort cloud of 20,000–50,000 AU (0.32–0.79 ly), and a doughnut-shaped inner cloud, the Hills cloud, of 2,000–20,000 AU (0.03–0.32 ly).[110] The outer cloud is only weakly bound to the Sun and supplies the long-period (and possibly Halley-type) comets that fall to inside the orbit of Neptune.[84] The inner Oort cloud is also known as the Hills cloud, named after J. G. Hills, who proposed its existence in 1981.[111] Models predict that the inner cloud should have tens or hundreds of times as many cometary nuclei as the outer halo;[111][112][113] it is seen as a possible source of new comets that resupply the relatively tenuous outer cloud as the latter's numbers are gradually depleted. The Hills cloud explains the continued existence of the Oort cloud after billions of years.[114]
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Exocomets beyond the Solar System have also been detected and may be common in the Milky Way.[115] The first exocomet system detected was around Beta Pictoris, a very young A-type main-sequence star, in 1987.[116][117] A total of 11 such exocomet systems have been identified as of 2013[update], using the absorption spectrum caused by the large clouds of gas emitted by comets when passing close to their star.[115][116] For ten years the Kepler Space Telescope was responsible for searching for planets and other forms outside of the solar system. The first transiting exocomets were found in February 2018 by a group consisting of professional astronomers and citizen scientists in light curves recorded by the Kepler Space Telescope.[118][119] After Kepler Space Telescope retired in October 2018, a new telescope called TESS Telescope has taken over Kepler's mission. Since the launch of TESS, astronomers have discovered the transits of comets around the star Beta Pictoris using a light curve from TESS.[120][121] Since TESS has taken over, astronomers have since been able to better distinguish exocomets with the spectroscopic method. New planets are detected by the white light curve method which is viewed as a symmetrical dip in the charts readings when a planet overshadows its parent star. However, after further evaluation of these light curves, it has been discovered that the asymmetrical patterns of the dips presented are caused by the tail of a comet or of hundreds of comets.[122]
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As a comet is heated during close passes to the Sun, outgassing of its icy components also releases solid debris too large to be swept away by radiation pressure and the solar wind.[123] If Earth's orbit sends it through that trail of debris, which is composed mostly of fine grains of rocky material, there is likely to be a meteor shower as Earth passes through. Denser trails of debris produce quick but intense meteor showers and less dense trails create longer but less intense showers. Typically, the density of the debris trail is related to how long ago the parent comet released the material.[124][125] The Perseid meteor shower, for example, occurs every year between 9 and 13 August, when Earth passes through the orbit of Comet Swift–Tuttle. Halley's Comet is the source of the Orionid shower in October.[126][127]
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Many comets and asteroids collided with Earth in its early stages. Many scientists think that comets bombarding the young Earth about 4 billion years ago brought the vast quantities of water that now fill Earth's oceans, or at least a significant portion of it. Others have cast doubt on this idea.[128] The detection of organic molecules, including polycyclic aromatic hydrocarbons,[18] in significant quantities in comets has led to speculation that comets or meteorites may have brought the precursors of life—or even life itself—to Earth.[129] In 2013 it was suggested that impacts between rocky and icy surfaces, such as comets, had the potential to create the amino acids that make up proteins through shock synthesis.[130] The speed at which the comets entered the atmosphere, combined with the magnitude of energy created after initial contact, allowed smaller molecules to condense into the larger macro-molecules that served as the foundation for life.[131] In 2015, scientists found significant amounts of molecular oxygen in the outgassings of comet 67P, suggesting that the molecule may occur more often than had been thought, and thus less an indicator of life as has been supposed.[132]
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It is suspected that comet impacts have, over long timescales, also delivered significant quantities of water to Earth's Moon, some of which may have survived as lunar ice.[133] Comet and meteoroid impacts are also thought to be responsible for the existence of tektites and australites.[134]
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Fear of comets as acts of God and signs of impending doom was highest in Europe from AD 1200 to 1650.[135] The year after the Great Comet of 1618, for example, Gotthard Arthusius published a pamphlet stating that it was a sign that the Day of Judgment was near.[136] He listed ten pages of comet-related disasters, including "earthquakes, floods, changes in river courses, hail storms, hot and dry weather, poor harvests, epidemics, war and treason and high prices". By 1700 most scholars concluded that such events occurred whether a comet was seen or not. Using Edmund Halley's records of comet sightings, however, William Whiston in 1711 wrote that the Great Comet of 1680 had a periodicity of 574 years and was responsible for the worldwide flood in the Book of Genesis, by pouring water on Earth. His announcement revived for another century fear of comets, now as direct threats to the world instead of signs of disasters.[135] Spectroscopic analysis in 1910 found the toxic gas cyanogen in the tail of Halley's Comet,[137] causing panicked buying of gas masks and quack "anti-comet pills" and "anti-comet umbrellas" by the public.[138]
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If a comet is traveling fast enough, it may leave the Solar System. Such comets follow the open path of a hyperbola, and as such they are called hyperbolic comets. To date, comets are only known to be ejected by interacting with another object in the Solar System, such as Jupiter.[139] An example of this is thought to be Comet C/1980 E1, which was shifted from a predicted orbit of 7.1 million years around the Sun, to a hyperbolic trajectory, after a 1980 close pass by the planet Jupiter.[140]
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Jupiter-family comets and long-period comets appear to follow very different fading laws. The JFCs are active over a lifetime of about 10,000 years or ~1,000 orbits whereas long-period comets fade much faster. Only 10% of the long-period comets survive more than 50 passages to small perihelion and only 1% of them survive more than 2,000 passages.[32] Eventually most of the volatile material contained in a comet nucleus evaporates, and the comet becomes a small, dark, inert lump of rock or rubble that can resemble an asteroid.[141] Some asteroids in elliptical orbits are now identified as extinct comets.[142][143][144][145] Roughly six percent of the near-Earth asteroids are thought to be extinct comet nuclei.[32]
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The nucleus of some comets may be fragile, a conclusion supported by the observation of comets splitting apart.[146] A significant cometary disruption was that of Comet Shoemaker–Levy 9, which was discovered in 1993. A close encounter in July 1992 had broken it into pieces, and over a period of six days in July 1994, these pieces fell into Jupiter's atmosphere—the first time astronomers had observed a collision between two objects in the Solar System.[147][148] Other splitting comets include 3D/Biela in 1846 and 73P/Schwassmann–Wachmann from 1995 to 2006.[149] Greek historian Ephorus reported that a comet split apart as far back as the winter of 372–373 BC.[150] Comets are suspected of splitting due to thermal stress, internal gas pressure, or impact.[151]
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Comets 42P/Neujmin and 53P/Van Biesbroeck appear to be fragments of a parent comet. Numerical integrations have shown that both comets had a rather close approach to Jupiter in January 1850, and that, before 1850, the two orbits were nearly identical.[152]
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Some comets have been observed to break up during their perihelion passage, including great comets West and Ikeya–Seki. Biela's Comet was one significant example, when it broke into two pieces during its passage through the perihelion in 1846. These two comets were seen separately in 1852, but never again afterward. Instead, spectacular meteor showers were seen in 1872 and 1885 when the comet should have been visible. A minor meteor shower, the Andromedids, occurs annually in November, and it is caused when Earth crosses the orbit of Biela's Comet.[153]
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Some comets meet a more spectacular end – either falling into the Sun[154] or smashing into a planet or other body. Collisions between comets and planets or moons were common in the early Solar System: some of the many craters on the Moon, for example, may have been caused by comets. A recent collision of a comet with a planet occurred in July 1994 when Comet Shoemaker–Levy 9 broke up into pieces and collided with Jupiter.[155]
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The names given to comets have followed several different conventions over the past two centuries. Prior to the early 20th century, most comets were simply referred to by the year when they appeared, sometimes with additional adjectives for particularly bright comets; thus, the "Great Comet of 1680", the "Great Comet of 1882", and the "Great January Comet of 1910".
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After Edmund Halley demonstrated that the comets of 1531, 1607, and 1682 were the same body and successfully predicted its return in 1759 by calculating its orbit, that comet became known as Halley's Comet.[157] Similarly, the second and third known periodic comets, Encke's Comet[158] and Biela's Comet,[159] were named after the astronomers who calculated their orbits rather than their original discoverers. Later, periodic comets were usually named after their discoverers, but comets that had appeared only once continued to be referred to by the year of their appearance.[160]
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In the early 20th century, the convention of naming comets after their discoverers became common, and this remains so today. A comet can be named after its discoverers, or an instrument or program that helped to find it.[160] For example, in 2019, astronomer Gennady Borisov observed a comet that appeared to have originated outside of the solar system, the comet was named C/2019 Q4 (Borisov) after him.
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From ancient sources, such as Chinese oracle bones, it is known that comets have been noticed by humans for millennia.[161] Until the sixteenth century, comets were usually considered bad omens of deaths of kings or noble men, or coming catastrophes, or even interpreted as attacks by heavenly beings against terrestrial inhabitants.[162][163] In the 11th century Bayeux Tapestry, Halley's Comet is depicted portending the death of Harold and the triumph of the Normans at the Battle of Hastings.[164]
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According to Norse Mythology, comets were actually a part of the Giant Ymir's skull. According to the tale, Odin and his brothers slew Ymir and set about constructing the world (Earth) from his corpse. They fashioned the oceans from his blood, the soil from his skin and muscles, vegetation from his hair, clouds from his brains, and the sky from his skull. Four dwarves, corresponding to the four cardinal points, held Ymir's skull aloft above the earth. Following this tale, comets in the sky, as believed by the Norse, were flakes of Ymir's skull falling from the sky and then disintegrating.[165]
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In India, by the 6th century astronomers believed that comets were celestial bodies that re-appeared periodically. This was the view expressed in the 6th century by the astronomers Varāhamihira and Bhadrabahu, and the 10th-century astronomer Bhaṭṭotpala listed the names and estimated periods of certain comets, but it is not known how these figures were calculated or how accurate they were.[166]
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In 1301, the Italian painter Giotto was the first person to accurately and anatomically portray a comet. In his work Adoration of the Magi, Giotto's depiction of Halley's Comet in the place of the Star of Bethlehem would go unmatched in accuracy until the 19th century and be bested only with the invention of photography.[164]
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Aristotle was the first known scientist to utilize various theories and observational facts to employ a consistent, structured cosmological theory of comets. He believed that comets were atmospheric phenomena, due to the fact that they could appear outside of the Zodiac and vary in brightness over the course of a few days. Aristotle's cometary theory arose from his observations and cosmological theory that everything in the cosmos is arranged in a distinct configuration.[167] Part of this configuration was a clear separation between the celestial and terrestrial, believing comets to be strictly associated with the latter. According to Aristotle comets must be within the sphere of the moon and clearly separated from the heavens. His theory on comets was widely accepted throughout the Middle Ages, despite several discoveries from various individuals challenging aspects of his work.[168] One notable challenger was Seneca, who questioned the logic of his predecessors sparking much debate among Aristotle's critics in the 16th and 17th centuries. Seneca thought comets to be more permanent than suggested by their brief flashes across the sky and provided thought provoking evidence of the celestial nature of comets .[168] He posed many questions regarding the validity of contemporary theories on comets, however, he did not author a substantial theory of his own.[169] Pliny the Elder believed that comets were connected with political unrest and death.[170] Pliny observed comets as "human like", often describing their tails with "long hair" or "long beard".[171] His system for classifying comets according to their color and shape was used for centuries.[172]
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Astrological interpretations of comets proceeded to take precedence clear into the 15th century, despite the presence of modern scientific astronomy beginning to take root. In the 1400s, comets continue to forewarn disaster as seen in the Luzerner Schilling chronicles and in the warnings of Pope Callixtus III.[164] Regiomontanus was the first to attempt to calculate Diurnal parallax by observing the great comet of 1472. His predictions were not very accurate, but they were conducted in the hopes of estimating the distance of a comet from the Earth.[172]
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In the 16th century, Tycho Brahe and Michael Maestlin demonstrated that comets must exist outside Earth's atmosphere by measuring the parallax of the Great Comet of 1577.[173] Within the precision of the measurements, this implied the comet must be at least four times more distant than from Earth to the Moon.[174][175] Based on observations in 1664, Giovanni Borelli recorded the longitudes and latitudes of comets that he observed, and suggested that cometary orbits may be parabolic.[176] Galileo Galilei one of the most renowned astronomers to date, even attempted writings on comets in The Assayer. He rejected Tycho Brahe's theories on the parallax of comets and claimed that they may be a mere optical illusion. Intrigued as early scientists were about the nature of comets, Galileo could not help but throw about his own theories despite little personal observation.[172] Kepler responded to these unjust criticisms in his work Hyperaspistes.
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Also occurring in the Early modern period was the study of comets and their astrological significance in medical disciplines. Many healers of this time considered medicine and astronomy to be inter-disciplinary, and employed their knowledge of comets and other astrological signs for diagnosing and treating patients.[177]
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Isaac Newton, in his Principia Mathematica of 1687, proved that an object moving under the influence of gravity must trace out an orbit shaped like one of the conic sections, and he demonstrated how to fit a comet's path through the sky to a parabolic orbit, using the comet of 1680 as an example.[178] Newton was one of the first to contribute to the physical understanding of the nature of comets.
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In 1705, Edmond Halley (1656–1742) applied Newton's method to twenty-three cometary apparitions that had occurred between 1337 and 1698. He noted that three of these, the comets of 1531, 1607, and 1682, had very similar orbital elements, and he was further able to account for the slight differences in their orbits in terms of gravitational perturbation caused by Jupiter and Saturn. Confident that these three apparitions had been three appearances of the same comet, he predicted that it would appear again in 1758–9.[179] Halley's predicted return date was later refined by a team of three French mathematicians: Alexis Clairaut, Joseph Lalande, and Nicole-Reine Lepaute, who predicted the date of the comet's 1759 perihelion to within one month's accuracy.[180][181] When the comet returned as predicted, it became known as Halley's Comet (with the modern designation of 1P/Halley). It will next appear in 2061.[182]
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In the 19th century, the Astronomical Observatory of Padova, was an epicenter in the observational study of comets. Led by Giovanni Santini (1787-1877) and followed by Giuseppe Lorenzoni (1843-1914), this observatory was devoted to classical astronomy, mainly to the new comets and planets orbit calculation, with the goal of compiling of a catalog of almost ten thousand stars. Situated in the Northern portion of Italy, observations from this observatory were key in establishing important geodetic, geographic, and astronomical calculations, such as the difference of longitude between Milan and Padua as well as Padua to Fiume.[183] In addition to these geographic observations, correspondence within the observatory, particularly between Santini and another astronomer Giuseppe Toaldo, about the importance of comet and planetary orbital observations.[184]
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Isaac Newton described comets as compact and durable solid bodies moving in oblique orbit and their tails as thin streams of vapor emitted by their nuclei, ignited or heated by the Sun. Newton suspected that comets were the origin of the life-supporting component of air.[185]
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James Thomson The Seasons (1730; 1748)[186]
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As early as the 18th century, some scientists had made correct hypotheses as to comets' physical composition. In 1755, Immanuel Kant hypothesized that comets are composed of some volatile substance, whose vaporization gives rise to their brilliant displays near perihelion.[187] In 1836, the German mathematician Friedrich Wilhelm Bessel, after observing streams of vapor during the appearance of Halley's Comet in 1835, proposed that the jet forces of evaporating material could be great enough to significantly alter a comet's orbit, and he argued that the non-gravitational movements of Encke's Comet resulted from this phenomenon.[188]
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In 1950, Fred Lawrence Whipple proposed that rather than being rocky objects containing some ice, comets were icy objects containing some dust and rock.[189] This "dirty snowball" model soon became accepted and appeared to be supported by the observations of an armada of spacecraft (including the European Space Agency's Giotto probe and the Soviet Union's Vega 1 and Vega 2) that flew through the coma of Halley's Comet in 1986, photographed the nucleus, and observed jets of evaporating material.[190]
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On 22 January 2014, ESA scientists reported the detection, for the first definitive time, of water vapor on the dwarf planet Ceres, the largest object in the asteroid belt.[191] The detection was made by using the far-infrared abilities of the Herschel Space Observatory.[192] The finding is unexpected because comets, not asteroids, are typically considered to "sprout jets and plumes". According to one of the scientists, "The lines are becoming more and more blurred between comets and asteroids."[192] On 11 August 2014, astronomers released studies, using the Atacama Large Millimeter/Submillimeter Array (ALMA) for the first time, that detailed the distribution of HCN, HNC, H2CO, and dust inside the comae of comets C/2012 F6 (Lemmon) and C/2012 S1 (ISON).[193][194]
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Approximately once a decade, a comet becomes bright enough to be noticed by a casual observer, leading such comets to be designated as great comets.[150] Predicting whether a comet will become a great comet is notoriously difficult, as many factors may cause a comet's brightness to depart drastically from predictions.[203] Broadly speaking, if a comet has a large and active nucleus, will pass close to the Sun, and is not obscured by the Sun as seen from Earth when at its brightest, it has a chance of becoming a great comet. However, Comet Kohoutek in 1973 fulfilled all the criteria and was expected to become spectacular but failed to do so.[204] Comet West, which appeared three years later, had much lower expectations but became an extremely impressive comet.[205]
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The Great Comet of 1577 is a well known example of a great comet. The Great Comet of 1577 passed near Earth as a non-periodic comet and was seen by many, including well-known astronomers Tycho Brahe and Taqi ad-Din. Observations of this comet led to several significant findings regarding cometary science, especially for Brahe.
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The late 20th century saw a lengthy gap without the appearance of any great comets, followed by the arrival of two in quick succession—Comet Hyakutake in 1996, followed by Hale–Bopp, which reached maximum brightness in 1997 having been discovered two years earlier. The first great comet of the 21st century was C/2006 P1 (McNaught), which became visible to naked eye observers in January 2007. It was the brightest in over 40 years.[206]
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A sungrazing comet is a comet that passes extremely close to the Sun at perihelion, generally within a few million kilometers.[207] Although small sungrazers can be completely evaporated during such a close approach to the Sun, larger sungrazers can survive many perihelion passages. However, the strong tidal forces they experience often lead to their fragmentation.[208]
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About 90% of the sungrazers observed with SOHO are members of the Kreutz group, which all originate from one giant comet that broke up into many smaller comets during its first passage through the inner Solar System.[209] The remainder contains some sporadic sungrazers, but four other related groups of comets have been identified among them: the Kracht, Kracht 2a, Marsden, and Meyer groups. The Marsden and Kracht groups both appear to be related to Comet 96P/Machholz, which is also the parent of two meteor streams, the Quadrantids and the Arietids.[210]
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Of the thousands of known comets, some exhibit unusual properties. Comet Encke (2P/Encke) orbits from outside the asteroid belt to just inside the orbit of the planet Mercury whereas the Comet 29P/Schwassmann–Wachmann currently travels in a nearly circular orbit entirely between the orbits of Jupiter and Saturn.[211] 2060 Chiron, whose unstable orbit is between Saturn and Uranus, was originally classified as an asteroid until a faint coma was noticed.[212] Similarly, Comet Shoemaker–Levy 2 was originally designated asteroid 1990 UL3.[213] (See also Fate of comets, above)
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Centaurs typically behave with characteristics of both asteroids and comets.[214] Centaurs can be classified as comets such as 60558 Echeclus, and 166P/NEAT. 166P/NEAT was discovered while it exhibited a coma, and so is classified as a comet despite its orbit, and 60558 Echeclus was discovered without a coma but later became active,[215] and was then classified as both a comet and an asteroid (174P/Echeclus). One plan for Cassini involved sending it to a centaur, but NASA decided to destroy it instead.[216]
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A comet may be discovered photographically using a wide-field telescope or visually with binoculars. However, even without access to optical equipment, it is still possible for the amateur astronomer to discover a sungrazing comet online by downloading images accumulated by some satellite observatories such as SOHO.[217] SOHO's 2000th comet was discovered by Polish amateur astronomer Michał Kusiak on 26 December 2010[218] and both discoverers of Hale–Bopp used amateur equipment (although Hale was not an amateur).
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A number of periodic comets discovered in earlier decades or previous centuries are now lost comets. Their orbits were never known well enough to predict future appearances or the comets have disintegrated. However, occasionally a "new" comet is discovered, and calculation of its orbit shows it to be an old "lost" comet. An example is Comet 11P/Tempel–Swift–LINEAR, discovered in 1869 but unobservable after 1908 because of perturbations by Jupiter. It was not found again until accidentally rediscovered by LINEAR in 2001.[219] There are at least 18 comets that fit this category.[220]
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The depiction of comets in popular culture is firmly rooted in the long Western tradition of seeing comets as harbingers of doom and as omens of world-altering change.[221] Halley's Comet alone has caused a slew of sensationalist publications of all sorts at each of its reappearances. It was especially noted that the birth and death of some notable persons coincided with separate appearances of the comet, such as with writers Mark Twain (who correctly speculated that he'd "go out with the comet" in 1910)[221] and Eudora Welty, to whose life Mary Chapin Carpenter dedicated the song "Halley Came to Jackson".[221]
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In times past, bright comets often inspired panic and hysteria in the general population, being thought of as bad omens. More recently, during the passage of Halley's Comet in 1910, Earth passed through the comet's tail, and erroneous newspaper reports inspired a fear that cyanogen in the tail might poison millions,[222] whereas the appearance of Comet Hale–Bopp in 1997 triggered the mass suicide of the Heaven's Gate cult.[223]
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In science fiction, the impact of comets has been depicted as a threat overcome by technology and heroism (as in the 1998 films Deep Impact and Armageddon), or as a trigger of global apocalypse (Lucifer's Hammer, 1979) or zombies (Night of the Comet, 1984).[221] In Jules Verne's Off on a Comet a group of people are stranded on a comet orbiting the Sun, while a large manned space expedition visits Halley's Comet in Sir Arthur C. Clarke's novel 2061: Odyssey Three.[224]
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Comet C2020F3 NEOWISE
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Comet C/2006 P1 (McNaught) taken from Victoria, Australia 2007
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The Great Comet of 1882 is a member of the Kreutz group
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Great Comet 1861
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Comet Hyakutake (X-ray, ROSAT satellite)
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"Active asteroid" 311P/PANSTARRS with several tails[225]
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Comet Siding Spring (Hubble; 11 March 2014)
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Mosaic of 20 comets discovered by the WISE space telescope
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NEOWISE – first four years of data starting in December 2013
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C/2011 W3 (Lovejoy) heads towards the Sun
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View from the impactor in its last moments before hitting Comet Tempel 1 during the Deep Impact mission
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NASA is developing a comet harpoon for returning samples to Earth
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Comet Encke loses its tail
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Solar System → Local Interstellar Cloud → Local Bubble → Gould Belt → Orion Arm → Milky Way → Milky Way subgroup → Local Group → Local Sheet → Virgo Supercluster → Laniakea Supercluster → Observable universe → UniverseEach arrow (→) may be read as "within" or "part of".
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A comet is an icy, small Solar System body that, when passing close to the Sun, warms and begins to release gases, a process called outgassing. This produces a visible atmosphere or coma, and sometimes also a tail. These phenomena are due to the effects of solar radiation and the solar wind acting upon the nucleus of the comet. Comet nuclei range from a few hundred meters to tens of kilometers across and are composed of loose collections of ice, dust, and small rocky particles. The coma may be up to 15 times Earth's diameter, while the tail may stretch one astronomical unit. If sufficiently bright, a comet may be seen from Earth without the aid of a telescope and may subtend an arc of 30° (60 Moons) across the sky. Comets have been observed and recorded since ancient times by many cultures.
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Comets usually have highly eccentric elliptical orbits, and they have a wide range of orbital periods, ranging from several years to potentially several millions of years. Short-period comets originate in the Kuiper belt or its associated scattered disc, which lie beyond the orbit of Neptune. Long-period comets are thought to originate in the Oort cloud, a spherical cloud of icy bodies extending from outside the Kuiper belt to halfway to the nearest star.[1] Long-period comets are set in motion towards the Sun from the Oort cloud by gravitational perturbations caused by passing stars and the galactic tide. Hyperbolic comets may pass once through the inner Solar System before being flung to interstellar space. The appearance of a comet is called an apparition.
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Comets are distinguished from asteroids by the presence of an extended, gravitationally unbound atmosphere surrounding their central nucleus. This atmosphere has parts termed the coma (the central part immediately surrounding the nucleus) and the tail (a typically linear section consisting of dust or gas blown out from the coma by the Sun's light pressure or outstreaming solar wind plasma). However, extinct comets that have passed close to the Sun many times have lost nearly all of their volatile ices and dust and may come to resemble small asteroids.[2] Asteroids are thought to have a different origin from comets, having formed inside the orbit of Jupiter rather than in the outer Solar System.[3][4] The discovery of main-belt comets and active centaur minor planets has blurred the distinction between asteroids and comets. In the early 21st century, the discovery of some minor bodies with long-period comet orbits, but characteristics of inner solar system asteroids, were called Manx comets. They are still classified as comets, such as C/2014 S3 (PANSTARRS).[5] 27 Manx comets were found from 2013 to 2017.[6]
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As of July 2019[update] there are 6,619 known comets,[7] a number that is steadily increasing as more are discovered. However, this represents only a tiny fraction of the total potential comet population, as the reservoir of comet-like bodies in the outer Solar System (in the Oort cloud) is estimated to be one trillion.[8][9] Roughly one comet per year is visible to the naked eye, though many of those are faint and unspectacular.[10] Particularly bright examples are called "great comets". Comets have been visited by unmanned probes such as the European Space Agency's Rosetta, which became the first to land a robotic spacecraft on a comet,[11] and NASA's Deep Impact, which blasted a crater on Comet Tempel 1 to study its interior.
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The word comet derives from the Old English cometa from the Latin comēta or comētēs. That, in turn, is a latinization of the Greek κομήτης ("wearing long hair"), and the Oxford English Dictionary notes that the term (ἀστὴρ) κομήτης already meant "long-haired star, comet" in Greek. Κομήτης was derived from κομᾶν ("to wear the hair long"), which was itself derived from κόμη ("the hair of the head") and was used to mean "the tail of a comet".[12][13]
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The astronomical symbol for comets is (in Unicode ☄ U+2604), consisting of a small disc with three hairlike extensions.[14]
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The solid, core structure of a comet is known as the nucleus. Cometary nuclei are composed of an amalgamation of rock, dust, water ice, and frozen carbon dioxide, carbon monoxide, methane, and ammonia.[15] As such, they are popularly described as "dirty snowballs" after Fred Whipple's model.[16] However, many comets have a higher dust content, leading them to be called "icy dirtballs".[17] The term "icy dirtballs" arose after observation of Comet 9P/Tempel 1 collision with an "impactor" probe sent by NASA Deep Impact mission in July 2005. Research conducted in 2014 suggests that comets are like "deep fried ice cream", in that their surfaces are formed of dense crystalline ice mixed with organic compounds, while the interior ice is colder and less dense.[18]
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The surface of the nucleus is generally dry, dusty or rocky, suggesting that the ices are hidden beneath a surface crust several metres thick. In addition to the gases already mentioned, the nuclei contain a variety of organic compounds, which may include methanol, hydrogen cyanide, formaldehyde, ethanol, ethane, and perhaps more complex molecules such as long-chain hydrocarbons and amino acids.[19][20] In 2009, it was confirmed that the amino acid glycine had been found in the comet dust recovered by NASA's Stardust mission.[21] In August 2011, a report, based on NASA studies of meteorites found on Earth, was published suggesting DNA and RNA components (adenine, guanine, and related organic molecules) may have been formed on asteroids and comets.[22][23]
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The outer surfaces of cometary nuclei have a very low albedo, making them among the least reflective objects found in the Solar System. The Giotto space probe found that the nucleus of Halley's Comet reflects about four percent of the light that falls on it,[24] and Deep Space 1 discovered that Comet Borrelly's surface reflects less than 3.0%;[24] by comparison, asphalt reflects seven percent. The dark surface material of the nucleus may consist of complex organic compounds. Solar heating drives off lighter volatile compounds, leaving behind larger organic compounds that tend to be very dark, like tar or crude oil. The low reflectivity of cometary surfaces causes them to absorb the heat that drives their outgassing processes.[25]
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Comet nuclei with radii of up to 30 kilometers (19 mi) have been observed,[26] but ascertaining their exact size is difficult.[27] The nucleus of 322P/SOHO is probably only 100–200 meters (330–660 ft) in diameter.[28] A lack of smaller comets being detected despite the increased sensitivity of instruments has led some to suggest that there is a real lack of comets smaller than 100 meters (330 ft) across.[29] Known comets have been estimated to have an average density of 0.6 g/cm3 (0.35 oz/cu in).[30] Because of their low mass, comet nuclei do not become spherical under their own gravity and therefore have irregular shapes.[31]
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Roughly six percent of the near-Earth asteroids are thought to be extinct nuclei of comets that no longer experience outgassing,[32] including 14827 Hypnos and 3552 Don Quixote.
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Results from the Rosetta and Philae spacecraft show that the nucleus of 67P/Churyumov–Gerasimenko has no magnetic field, which suggests that magnetism may not have played a role in the early formation of planetesimals.[33][34] Further, the ALICE spectrograph on Rosetta determined that electrons (within 1 km (0.62 mi) above the comet nucleus) produced from photoionization of water molecules by solar radiation, and not photons from the Sun as thought earlier, are responsible for the degradation of water and carbon dioxide molecules released from the comet nucleus into its coma.[35][36] Instruments on the Philae lander found at least sixteen organic compounds at the comet's surface, four of which (acetamide, acetone, methyl isocyanate and propionaldehyde) have been detected for the first time on a comet.[37][38][39]
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The streams of dust and gas thus released form a huge and extremely thin atmosphere around the comet called the "coma". The force exerted on the coma by the Sun's radiation pressure and solar wind cause an enormous "tail" to form pointing away from the Sun.[48]
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The coma is generally made of water and dust, with water making up to 90% of the volatiles that outflow from the nucleus when the comet is within 3 to 4 astronomical units (450,000,000 to 600,000,000 km; 280,000,000 to 370,000,000 mi) of the Sun.[49] The H2O parent molecule is destroyed primarily through photodissociation and to a much smaller extent photoionization, with the solar wind playing a minor role in the destruction of water compared to photochemistry.[49] Larger dust particles are left along the comet's orbital path whereas smaller particles are pushed away from the Sun into the comet's tail by light pressure.[50]
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Although the solid nucleus of comets is generally less than 60 kilometers (37 mi) across, the coma may be thousands or millions of kilometers across, sometimes becoming larger than the Sun.[51] For example, about a month after an outburst in October 2007, comet 17P/Holmes briefly had a tenuous dust atmosphere larger than the Sun.[52] The Great Comet of 1811 also had a coma roughly the diameter of the Sun.[53] Even though the coma can become quite large, its size can decrease about the time it crosses the orbit of Mars around 1.5 astronomical units (220,000,000 km; 140,000,000 mi) from the Sun.[53] At this distance the solar wind becomes strong enough to blow the gas and dust away from the coma, and in doing so enlarging the tail.[53] Ion tails have been observed to extend one astronomical unit (150 million km) or more.[52]
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Both the coma and tail are illuminated by the Sun and may become visible when a comet passes through the inner Solar System, the dust reflects sunlight directly while the gases glow from ionisation.[54] Most comets are too faint to be visible without the aid of a telescope, but a few each decade become bright enough to be visible to the naked eye.[55] Occasionally a comet may experience a huge and sudden outburst of gas and dust, during which the size of the coma greatly increases for a period of time. This happened in 2007 to Comet Holmes.[56]
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In 1996, comets were found to emit X-rays.[57] This greatly surprised astronomers because X-ray emission is usually associated with very high-temperature bodies. The X-rays are generated by the interaction between comets and the solar wind: when highly charged solar wind ions fly through a cometary atmosphere, they collide with cometary atoms and molecules, "stealing" one or more electrons from the atom in a process called "charge exchange". This exchange or transfer of an electron to the solar wind ion is followed by its de-excitation into the ground state of the ion by the emission of X-rays and far ultraviolet photons.[58]
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Bow shocks form as a result of the interaction between the solar wind and the cometary ionosphere, which is created by ionization of gases in the coma. As the comet approaches the Sun, increasing outgassing rates cause the coma to expand, and the sunlight ionizes gases in the coma. When the solar wind passes through this ion coma, the bow shock appears.
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The first observations were made in the 1980s and 90s as several spacecraft flew by comets 21P/Giacobini–Zinner,[59] 1P/Halley,[60] and 26P/Grigg–Skjellerup.[61] It was then found that the bow shocks at comets are wider and more gradual than the sharp planetary bow shocks seen at, for example, Earth. These observations were all made near perihelion when the bow shocks already were fully developed.
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The Rosetta spacecraft observed the bow shock at comet 67P/Churyumov–Gerasimenko at an early stage of bow shock development when the outgassing increased during the comet's journey toward the Sun. This young bow shock was called the "infant bow shock". The infant bow shock is asymmetric and, relative to the distance to the nucleus, wider than fully developed bow shocks.[62]
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In the outer Solar System, comets remain frozen and inactive and are extremely difficult or impossible to detect from Earth due to their small size. Statistical detections of inactive comet nuclei in the Kuiper belt have been reported from observations by the Hubble Space Telescope[63][64] but these detections have been questioned.[65][66] As a comet approaches the inner Solar System, solar radiation causes the volatile materials within the comet to vaporize and stream out of the nucleus, carrying dust away with them.
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The streams of dust and gas each form their own distinct tail, pointing in slightly different directions. The tail of dust is left behind in the comet's orbit in such a manner that it often forms a curved tail called the type II or dust tail.[54] At the same time, the ion or type I tail, made of gases, always points directly away from the Sun because this gas is more strongly affected by the solar wind than is dust, following magnetic field lines rather than an orbital trajectory.[67] On occasions—such as when Earth passes through a comet's orbital plane, the antitail, pointing in the opposite direction to the ion and dust tails, may be seen.[68]
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The observation of antitails contributed significantly to the discovery of solar wind.[69] The ion tail is formed as a result of the ionization by solar ultra-violet radiation of particles in the coma. Once the particles have been ionized, they attain a net positive electrical charge, which in turn gives rise to an "induced magnetosphere" around the comet. The comet and its induced magnetic field form an obstacle to outward flowing solar wind particles. Because the relative orbital speed of the comet and the solar wind is supersonic, a bow shock is formed upstream of the comet in the flow direction of the solar wind. In this bow shock, large concentrations of cometary ions (called "pick-up ions") congregate and act to "load" the solar magnetic field with plasma, such that the field lines "drape" around the comet forming the ion tail.[70]
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If the ion tail loading is sufficient, the magnetic field lines are squeezed together to the point where, at some distance along the ion tail, magnetic reconnection occurs. This leads to a "tail disconnection event".[70] This has been observed on a number of occasions, one notable event being recorded on 20 April 2007, when the ion tail of Encke's Comet was completely severed while the comet passed through a coronal mass ejection. This event was observed by the STEREO space probe.[71]
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In 2013, ESA scientists reported that the ionosphere of the planet Venus streams outwards in a manner similar to the ion tail seen streaming from a comet under similar conditions."[72][73]
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Uneven heating can cause newly generated gases to break out of a weak spot on the surface of comet's nucleus, like a geyser.[74] These streams of gas and dust can cause the nucleus to spin, and even split apart.[74] In 2010 it was revealed dry ice (frozen carbon dioxide) can power jets of material flowing out of a comet nucleus.[75] Infrared imaging of Hartley 2 shows such jets exiting and carrying with it dust grains into the coma.[76]
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Most comets are small Solar System bodies with elongated elliptical orbits that take them close to the Sun for a part of their orbit and then out into the further reaches of the Solar System for the remainder.[77] Comets are often classified according to the length of their orbital periods: The longer the period the more elongated the ellipse.
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Periodic comets or short-period comets are generally defined as those having orbital periods of less than 200 years.[78] They usually orbit more-or-less in the ecliptic plane in the same direction as the planets.[79] Their orbits typically take them out to the region of the outer planets (Jupiter and beyond) at aphelion; for example, the aphelion of Halley's Comet is a little beyond the orbit of Neptune. Comets whose aphelia are near a major planet's orbit are called its "family".[80] Such families are thought to arise from the planet capturing formerly long-period comets into shorter orbits.[81]
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At the shorter orbital period extreme, Encke's Comet has an orbit that does not reach the orbit of Jupiter, and is known as an Encke-type comet. Short-period comets with orbital periods less than 20 years and low inclinations (up to 30 degrees) to the ecliptic are called traditional Jupiter-family comets (JFCs).[82][83] Those like Halley, with orbital periods of between 20 and 200 years and inclinations extending from zero to more than 90 degrees, are called Halley-type comets (HTCs).[84][85] As of 2020[update], 91 HTCs have been observed,[86] compared with 685 identified JFCs.[87]
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Recently discovered main-belt comets form a distinct class, orbiting in more circular orbits within the asteroid belt.[88]
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Because their elliptical orbits frequently take them close to the giant planets, comets are subject to further gravitational perturbations.[89] Short-period comets have a tendency for their aphelia to coincide with a giant planet's semi-major axis, with the JFCs being the largest group.[83] It is clear that comets coming in from the Oort cloud often have their orbits strongly influenced by the gravity of giant planets as a result of a close encounter. Jupiter is the source of the greatest perturbations, being more than twice as massive as all the other planets combined. These perturbations can deflect long-period comets into shorter orbital periods.[90][91]
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Based on their orbital characteristics, short-period comets are thought to originate from the centaurs and the Kuiper belt/scattered disc[92] —a disk of objects in the trans-Neptunian region—whereas the source of long-period comets is thought to be the far more distant spherical Oort cloud (after the Dutch astronomer Jan Hendrik Oort who hypothesized its existence).[93] Vast swarms of comet-like bodies are thought to orbit the Sun in these distant regions in roughly circular orbits. Occasionally the gravitational influence of the outer planets (in the case of Kuiper belt objects) or nearby stars (in the case of Oort cloud objects) may throw one of these bodies into an elliptical orbit that takes it inwards toward the Sun to form a visible comet. Unlike the return of periodic comets, whose orbits have been established by previous observations, the appearance of new comets by this mechanism is unpredictable.[94] When flung into the orbit of the sun, and being continuously dragged towards it, tons of matter are stripped from the comets which greatly influence their lifetime; the more stripped, the shorter they live and vice versa.[95]
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Long-period comets have highly eccentric orbits and periods ranging from 200 years to thousands of years.[96] An eccentricity greater than 1 when near perihelion does not necessarily mean that a comet will leave the Solar System.[97] For example, Comet McNaught had a heliocentric osculating eccentricity of 1.000019 near its perihelion passage epoch in January 2007 but is bound to the Sun with roughly a 92,600-year orbit because the eccentricity drops below 1 as it moves farther from the Sun. The future orbit of a long-period comet is properly obtained when the osculating orbit is computed at an epoch after leaving the planetary region and is calculated with respect to the center of mass of the Solar System. By definition long-period comets remain gravitationally bound to the Sun; those comets that are ejected from the Solar System due to close passes by major planets are no longer properly considered as having "periods". The orbits of long-period comets take them far beyond the outer planets at aphelia, and the plane of their orbits need not lie near the ecliptic. Long-period comets such as Comet West and C/1999 F1 can have aphelion distances of nearly 70,000 AU (0.34 pc; 1.1 ly) with orbital periods estimated around 6 million years.
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Single-apparition or non-periodic comets are similar to long-period comets because they also have parabolic or slightly hyperbolic trajectories[96] when near perihelion in the inner Solar System. However, gravitational perturbations from giant planets cause their orbits to change. Single-apparition comets have a hyperbolic or parabolic osculating orbit which allows them to permanently exit the Solar System after a single pass of the Sun.[98] The Sun's Hill sphere has an unstable maximum boundary of 230,000 AU (1.1 pc; 3.6 ly).[99] Only a few hundred comets have been seen to reach a hyperbolic orbit (e > 1) when near perihelion[100] that using a heliocentric unperturbed two-body best-fit suggests they may escape the Solar System.
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As of 2019[update], only two objects have been discovered with an eccentricity significantly greater than one: 1I/ʻOumuamua and 2I/Borisov, indicating an origin outside the Solar System. While ʻOumuamua, with an eccentricity of about 1.2, showed no optical signs of cometary activity during its passage through the inner Solar System in October 2017, changes to its trajectory—which suggests outgassing—indicate that it is probably a comet.[101] On the other hand, 2I/Borisov, with an estimated eccentricity of about 3.36, has been observed to have the coma feature of comets, and is considered the first detected interstellar comet.[102][103] Comet C/1980 E1 had an orbital period of roughly 7.1 million years before the 1982 perihelion passage, but a 1980 encounter with Jupiter accelerated the comet giving it the largest eccentricity (1.057) of any known hyperbolic comet.[104] Comets not expected to return to the inner Solar System include C/1980 E1, C/2000 U5, C/2001 Q4 (NEAT), C/2009 R1, C/1956 R1, and C/2007 F1 (LONEOS).
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Some authorities use the term "periodic comet" to refer to any comet with a periodic orbit (that is, all short-period comets plus all long-period comets),[105] whereas others use it to mean exclusively short-period comets.[96] Similarly, although the literal meaning of "non-periodic comet" is the same as "single-apparition comet", some use it to mean all comets that are not "periodic" in the second sense (that is, to also include all comets with a period greater than 200 years).
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Early observations have revealed a few genuinely hyperbolic (i.e. non-periodic) trajectories, but no more than could be accounted for by perturbations from Jupiter. If comets pervaded interstellar space, they would be moving with velocities of the same order as the relative velocities of stars near the Sun (a few tens of km per second). If such objects entered the Solar System, they would have positive specific orbital energy and would be observed to have genuinely hyperbolic trajectories. A rough calculation shows that there might be four hyperbolic comets per century within Jupiter's orbit, give or take one and perhaps two orders of magnitude.[106]
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The Oort cloud is thought to occupy a vast space starting from between 2,000 and 5,000 AU (0.03 and 0.08 ly)[108] to as far as 50,000 AU (0.79 ly)[84] from the Sun. This cloud encases the celestial bodies that start at the middle of our solar system—the sun, all the way to outer limits of the Kuiper Belt. The Oort cloud consists of viable materials necessary for the creation of celestial bodies. The planets we have today, exist only because of the planetesimals (chunks of leftover space that assisted in the creation of planets) that were condensed and formed by the gravity of the sun. The eccentric made from these trapped planetesimals is why the Oort Cloud even exists.[109] Some estimates place the outer edge at between 100,000 and 200,000 AU (1.58 and 3.16 ly).[108] The region can be subdivided into a spherical outer Oort cloud of 20,000–50,000 AU (0.32–0.79 ly), and a doughnut-shaped inner cloud, the Hills cloud, of 2,000–20,000 AU (0.03–0.32 ly).[110] The outer cloud is only weakly bound to the Sun and supplies the long-period (and possibly Halley-type) comets that fall to inside the orbit of Neptune.[84] The inner Oort cloud is also known as the Hills cloud, named after J. G. Hills, who proposed its existence in 1981.[111] Models predict that the inner cloud should have tens or hundreds of times as many cometary nuclei as the outer halo;[111][112][113] it is seen as a possible source of new comets that resupply the relatively tenuous outer cloud as the latter's numbers are gradually depleted. The Hills cloud explains the continued existence of the Oort cloud after billions of years.[114]
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Exocomets beyond the Solar System have also been detected and may be common in the Milky Way.[115] The first exocomet system detected was around Beta Pictoris, a very young A-type main-sequence star, in 1987.[116][117] A total of 11 such exocomet systems have been identified as of 2013[update], using the absorption spectrum caused by the large clouds of gas emitted by comets when passing close to their star.[115][116] For ten years the Kepler Space Telescope was responsible for searching for planets and other forms outside of the solar system. The first transiting exocomets were found in February 2018 by a group consisting of professional astronomers and citizen scientists in light curves recorded by the Kepler Space Telescope.[118][119] After Kepler Space Telescope retired in October 2018, a new telescope called TESS Telescope has taken over Kepler's mission. Since the launch of TESS, astronomers have discovered the transits of comets around the star Beta Pictoris using a light curve from TESS.[120][121] Since TESS has taken over, astronomers have since been able to better distinguish exocomets with the spectroscopic method. New planets are detected by the white light curve method which is viewed as a symmetrical dip in the charts readings when a planet overshadows its parent star. However, after further evaluation of these light curves, it has been discovered that the asymmetrical patterns of the dips presented are caused by the tail of a comet or of hundreds of comets.[122]
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As a comet is heated during close passes to the Sun, outgassing of its icy components also releases solid debris too large to be swept away by radiation pressure and the solar wind.[123] If Earth's orbit sends it through that trail of debris, which is composed mostly of fine grains of rocky material, there is likely to be a meteor shower as Earth passes through. Denser trails of debris produce quick but intense meteor showers and less dense trails create longer but less intense showers. Typically, the density of the debris trail is related to how long ago the parent comet released the material.[124][125] The Perseid meteor shower, for example, occurs every year between 9 and 13 August, when Earth passes through the orbit of Comet Swift–Tuttle. Halley's Comet is the source of the Orionid shower in October.[126][127]
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Many comets and asteroids collided with Earth in its early stages. Many scientists think that comets bombarding the young Earth about 4 billion years ago brought the vast quantities of water that now fill Earth's oceans, or at least a significant portion of it. Others have cast doubt on this idea.[128] The detection of organic molecules, including polycyclic aromatic hydrocarbons,[18] in significant quantities in comets has led to speculation that comets or meteorites may have brought the precursors of life—or even life itself—to Earth.[129] In 2013 it was suggested that impacts between rocky and icy surfaces, such as comets, had the potential to create the amino acids that make up proteins through shock synthesis.[130] The speed at which the comets entered the atmosphere, combined with the magnitude of energy created after initial contact, allowed smaller molecules to condense into the larger macro-molecules that served as the foundation for life.[131] In 2015, scientists found significant amounts of molecular oxygen in the outgassings of comet 67P, suggesting that the molecule may occur more often than had been thought, and thus less an indicator of life as has been supposed.[132]
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It is suspected that comet impacts have, over long timescales, also delivered significant quantities of water to Earth's Moon, some of which may have survived as lunar ice.[133] Comet and meteoroid impacts are also thought to be responsible for the existence of tektites and australites.[134]
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Fear of comets as acts of God and signs of impending doom was highest in Europe from AD 1200 to 1650.[135] The year after the Great Comet of 1618, for example, Gotthard Arthusius published a pamphlet stating that it was a sign that the Day of Judgment was near.[136] He listed ten pages of comet-related disasters, including "earthquakes, floods, changes in river courses, hail storms, hot and dry weather, poor harvests, epidemics, war and treason and high prices". By 1700 most scholars concluded that such events occurred whether a comet was seen or not. Using Edmund Halley's records of comet sightings, however, William Whiston in 1711 wrote that the Great Comet of 1680 had a periodicity of 574 years and was responsible for the worldwide flood in the Book of Genesis, by pouring water on Earth. His announcement revived for another century fear of comets, now as direct threats to the world instead of signs of disasters.[135] Spectroscopic analysis in 1910 found the toxic gas cyanogen in the tail of Halley's Comet,[137] causing panicked buying of gas masks and quack "anti-comet pills" and "anti-comet umbrellas" by the public.[138]
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If a comet is traveling fast enough, it may leave the Solar System. Such comets follow the open path of a hyperbola, and as such they are called hyperbolic comets. To date, comets are only known to be ejected by interacting with another object in the Solar System, such as Jupiter.[139] An example of this is thought to be Comet C/1980 E1, which was shifted from a predicted orbit of 7.1 million years around the Sun, to a hyperbolic trajectory, after a 1980 close pass by the planet Jupiter.[140]
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Jupiter-family comets and long-period comets appear to follow very different fading laws. The JFCs are active over a lifetime of about 10,000 years or ~1,000 orbits whereas long-period comets fade much faster. Only 10% of the long-period comets survive more than 50 passages to small perihelion and only 1% of them survive more than 2,000 passages.[32] Eventually most of the volatile material contained in a comet nucleus evaporates, and the comet becomes a small, dark, inert lump of rock or rubble that can resemble an asteroid.[141] Some asteroids in elliptical orbits are now identified as extinct comets.[142][143][144][145] Roughly six percent of the near-Earth asteroids are thought to be extinct comet nuclei.[32]
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The nucleus of some comets may be fragile, a conclusion supported by the observation of comets splitting apart.[146] A significant cometary disruption was that of Comet Shoemaker–Levy 9, which was discovered in 1993. A close encounter in July 1992 had broken it into pieces, and over a period of six days in July 1994, these pieces fell into Jupiter's atmosphere—the first time astronomers had observed a collision between two objects in the Solar System.[147][148] Other splitting comets include 3D/Biela in 1846 and 73P/Schwassmann–Wachmann from 1995 to 2006.[149] Greek historian Ephorus reported that a comet split apart as far back as the winter of 372–373 BC.[150] Comets are suspected of splitting due to thermal stress, internal gas pressure, or impact.[151]
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Comets 42P/Neujmin and 53P/Van Biesbroeck appear to be fragments of a parent comet. Numerical integrations have shown that both comets had a rather close approach to Jupiter in January 1850, and that, before 1850, the two orbits were nearly identical.[152]
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Some comets have been observed to break up during their perihelion passage, including great comets West and Ikeya–Seki. Biela's Comet was one significant example, when it broke into two pieces during its passage through the perihelion in 1846. These two comets were seen separately in 1852, but never again afterward. Instead, spectacular meteor showers were seen in 1872 and 1885 when the comet should have been visible. A minor meteor shower, the Andromedids, occurs annually in November, and it is caused when Earth crosses the orbit of Biela's Comet.[153]
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Some comets meet a more spectacular end – either falling into the Sun[154] or smashing into a planet or other body. Collisions between comets and planets or moons were common in the early Solar System: some of the many craters on the Moon, for example, may have been caused by comets. A recent collision of a comet with a planet occurred in July 1994 when Comet Shoemaker–Levy 9 broke up into pieces and collided with Jupiter.[155]
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The names given to comets have followed several different conventions over the past two centuries. Prior to the early 20th century, most comets were simply referred to by the year when they appeared, sometimes with additional adjectives for particularly bright comets; thus, the "Great Comet of 1680", the "Great Comet of 1882", and the "Great January Comet of 1910".
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After Edmund Halley demonstrated that the comets of 1531, 1607, and 1682 were the same body and successfully predicted its return in 1759 by calculating its orbit, that comet became known as Halley's Comet.[157] Similarly, the second and third known periodic comets, Encke's Comet[158] and Biela's Comet,[159] were named after the astronomers who calculated their orbits rather than their original discoverers. Later, periodic comets were usually named after their discoverers, but comets that had appeared only once continued to be referred to by the year of their appearance.[160]
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In the early 20th century, the convention of naming comets after their discoverers became common, and this remains so today. A comet can be named after its discoverers, or an instrument or program that helped to find it.[160] For example, in 2019, astronomer Gennady Borisov observed a comet that appeared to have originated outside of the solar system, the comet was named C/2019 Q4 (Borisov) after him.
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From ancient sources, such as Chinese oracle bones, it is known that comets have been noticed by humans for millennia.[161] Until the sixteenth century, comets were usually considered bad omens of deaths of kings or noble men, or coming catastrophes, or even interpreted as attacks by heavenly beings against terrestrial inhabitants.[162][163] In the 11th century Bayeux Tapestry, Halley's Comet is depicted portending the death of Harold and the triumph of the Normans at the Battle of Hastings.[164]
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According to Norse Mythology, comets were actually a part of the Giant Ymir's skull. According to the tale, Odin and his brothers slew Ymir and set about constructing the world (Earth) from his corpse. They fashioned the oceans from his blood, the soil from his skin and muscles, vegetation from his hair, clouds from his brains, and the sky from his skull. Four dwarves, corresponding to the four cardinal points, held Ymir's skull aloft above the earth. Following this tale, comets in the sky, as believed by the Norse, were flakes of Ymir's skull falling from the sky and then disintegrating.[165]
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In India, by the 6th century astronomers believed that comets were celestial bodies that re-appeared periodically. This was the view expressed in the 6th century by the astronomers Varāhamihira and Bhadrabahu, and the 10th-century astronomer Bhaṭṭotpala listed the names and estimated periods of certain comets, but it is not known how these figures were calculated or how accurate they were.[166]
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In 1301, the Italian painter Giotto was the first person to accurately and anatomically portray a comet. In his work Adoration of the Magi, Giotto's depiction of Halley's Comet in the place of the Star of Bethlehem would go unmatched in accuracy until the 19th century and be bested only with the invention of photography.[164]
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Aristotle was the first known scientist to utilize various theories and observational facts to employ a consistent, structured cosmological theory of comets. He believed that comets were atmospheric phenomena, due to the fact that they could appear outside of the Zodiac and vary in brightness over the course of a few days. Aristotle's cometary theory arose from his observations and cosmological theory that everything in the cosmos is arranged in a distinct configuration.[167] Part of this configuration was a clear separation between the celestial and terrestrial, believing comets to be strictly associated with the latter. According to Aristotle comets must be within the sphere of the moon and clearly separated from the heavens. His theory on comets was widely accepted throughout the Middle Ages, despite several discoveries from various individuals challenging aspects of his work.[168] One notable challenger was Seneca, who questioned the logic of his predecessors sparking much debate among Aristotle's critics in the 16th and 17th centuries. Seneca thought comets to be more permanent than suggested by their brief flashes across the sky and provided thought provoking evidence of the celestial nature of comets .[168] He posed many questions regarding the validity of contemporary theories on comets, however, he did not author a substantial theory of his own.[169] Pliny the Elder believed that comets were connected with political unrest and death.[170] Pliny observed comets as "human like", often describing their tails with "long hair" or "long beard".[171] His system for classifying comets according to their color and shape was used for centuries.[172]
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Astrological interpretations of comets proceeded to take precedence clear into the 15th century, despite the presence of modern scientific astronomy beginning to take root. In the 1400s, comets continue to forewarn disaster as seen in the Luzerner Schilling chronicles and in the warnings of Pope Callixtus III.[164] Regiomontanus was the first to attempt to calculate Diurnal parallax by observing the great comet of 1472. His predictions were not very accurate, but they were conducted in the hopes of estimating the distance of a comet from the Earth.[172]
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In the 16th century, Tycho Brahe and Michael Maestlin demonstrated that comets must exist outside Earth's atmosphere by measuring the parallax of the Great Comet of 1577.[173] Within the precision of the measurements, this implied the comet must be at least four times more distant than from Earth to the Moon.[174][175] Based on observations in 1664, Giovanni Borelli recorded the longitudes and latitudes of comets that he observed, and suggested that cometary orbits may be parabolic.[176] Galileo Galilei one of the most renowned astronomers to date, even attempted writings on comets in The Assayer. He rejected Tycho Brahe's theories on the parallax of comets and claimed that they may be a mere optical illusion. Intrigued as early scientists were about the nature of comets, Galileo could not help but throw about his own theories despite little personal observation.[172] Kepler responded to these unjust criticisms in his work Hyperaspistes.
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Also occurring in the Early modern period was the study of comets and their astrological significance in medical disciplines. Many healers of this time considered medicine and astronomy to be inter-disciplinary, and employed their knowledge of comets and other astrological signs for diagnosing and treating patients.[177]
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Isaac Newton, in his Principia Mathematica of 1687, proved that an object moving under the influence of gravity must trace out an orbit shaped like one of the conic sections, and he demonstrated how to fit a comet's path through the sky to a parabolic orbit, using the comet of 1680 as an example.[178] Newton was one of the first to contribute to the physical understanding of the nature of comets.
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In 1705, Edmond Halley (1656–1742) applied Newton's method to twenty-three cometary apparitions that had occurred between 1337 and 1698. He noted that three of these, the comets of 1531, 1607, and 1682, had very similar orbital elements, and he was further able to account for the slight differences in their orbits in terms of gravitational perturbation caused by Jupiter and Saturn. Confident that these three apparitions had been three appearances of the same comet, he predicted that it would appear again in 1758–9.[179] Halley's predicted return date was later refined by a team of three French mathematicians: Alexis Clairaut, Joseph Lalande, and Nicole-Reine Lepaute, who predicted the date of the comet's 1759 perihelion to within one month's accuracy.[180][181] When the comet returned as predicted, it became known as Halley's Comet (with the modern designation of 1P/Halley). It will next appear in 2061.[182]
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In the 19th century, the Astronomical Observatory of Padova, was an epicenter in the observational study of comets. Led by Giovanni Santini (1787-1877) and followed by Giuseppe Lorenzoni (1843-1914), this observatory was devoted to classical astronomy, mainly to the new comets and planets orbit calculation, with the goal of compiling of a catalog of almost ten thousand stars. Situated in the Northern portion of Italy, observations from this observatory were key in establishing important geodetic, geographic, and astronomical calculations, such as the difference of longitude between Milan and Padua as well as Padua to Fiume.[183] In addition to these geographic observations, correspondence within the observatory, particularly between Santini and another astronomer Giuseppe Toaldo, about the importance of comet and planetary orbital observations.[184]
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Isaac Newton described comets as compact and durable solid bodies moving in oblique orbit and their tails as thin streams of vapor emitted by their nuclei, ignited or heated by the Sun. Newton suspected that comets were the origin of the life-supporting component of air.[185]
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James Thomson The Seasons (1730; 1748)[186]
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As early as the 18th century, some scientists had made correct hypotheses as to comets' physical composition. In 1755, Immanuel Kant hypothesized that comets are composed of some volatile substance, whose vaporization gives rise to their brilliant displays near perihelion.[187] In 1836, the German mathematician Friedrich Wilhelm Bessel, after observing streams of vapor during the appearance of Halley's Comet in 1835, proposed that the jet forces of evaporating material could be great enough to significantly alter a comet's orbit, and he argued that the non-gravitational movements of Encke's Comet resulted from this phenomenon.[188]
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In 1950, Fred Lawrence Whipple proposed that rather than being rocky objects containing some ice, comets were icy objects containing some dust and rock.[189] This "dirty snowball" model soon became accepted and appeared to be supported by the observations of an armada of spacecraft (including the European Space Agency's Giotto probe and the Soviet Union's Vega 1 and Vega 2) that flew through the coma of Halley's Comet in 1986, photographed the nucleus, and observed jets of evaporating material.[190]
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On 22 January 2014, ESA scientists reported the detection, for the first definitive time, of water vapor on the dwarf planet Ceres, the largest object in the asteroid belt.[191] The detection was made by using the far-infrared abilities of the Herschel Space Observatory.[192] The finding is unexpected because comets, not asteroids, are typically considered to "sprout jets and plumes". According to one of the scientists, "The lines are becoming more and more blurred between comets and asteroids."[192] On 11 August 2014, astronomers released studies, using the Atacama Large Millimeter/Submillimeter Array (ALMA) for the first time, that detailed the distribution of HCN, HNC, H2CO, and dust inside the comae of comets C/2012 F6 (Lemmon) and C/2012 S1 (ISON).[193][194]
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Approximately once a decade, a comet becomes bright enough to be noticed by a casual observer, leading such comets to be designated as great comets.[150] Predicting whether a comet will become a great comet is notoriously difficult, as many factors may cause a comet's brightness to depart drastically from predictions.[203] Broadly speaking, if a comet has a large and active nucleus, will pass close to the Sun, and is not obscured by the Sun as seen from Earth when at its brightest, it has a chance of becoming a great comet. However, Comet Kohoutek in 1973 fulfilled all the criteria and was expected to become spectacular but failed to do so.[204] Comet West, which appeared three years later, had much lower expectations but became an extremely impressive comet.[205]
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The Great Comet of 1577 is a well known example of a great comet. The Great Comet of 1577 passed near Earth as a non-periodic comet and was seen by many, including well-known astronomers Tycho Brahe and Taqi ad-Din. Observations of this comet led to several significant findings regarding cometary science, especially for Brahe.
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The late 20th century saw a lengthy gap without the appearance of any great comets, followed by the arrival of two in quick succession—Comet Hyakutake in 1996, followed by Hale–Bopp, which reached maximum brightness in 1997 having been discovered two years earlier. The first great comet of the 21st century was C/2006 P1 (McNaught), which became visible to naked eye observers in January 2007. It was the brightest in over 40 years.[206]
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A sungrazing comet is a comet that passes extremely close to the Sun at perihelion, generally within a few million kilometers.[207] Although small sungrazers can be completely evaporated during such a close approach to the Sun, larger sungrazers can survive many perihelion passages. However, the strong tidal forces they experience often lead to their fragmentation.[208]
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About 90% of the sungrazers observed with SOHO are members of the Kreutz group, which all originate from one giant comet that broke up into many smaller comets during its first passage through the inner Solar System.[209] The remainder contains some sporadic sungrazers, but four other related groups of comets have been identified among them: the Kracht, Kracht 2a, Marsden, and Meyer groups. The Marsden and Kracht groups both appear to be related to Comet 96P/Machholz, which is also the parent of two meteor streams, the Quadrantids and the Arietids.[210]
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Of the thousands of known comets, some exhibit unusual properties. Comet Encke (2P/Encke) orbits from outside the asteroid belt to just inside the orbit of the planet Mercury whereas the Comet 29P/Schwassmann–Wachmann currently travels in a nearly circular orbit entirely between the orbits of Jupiter and Saturn.[211] 2060 Chiron, whose unstable orbit is between Saturn and Uranus, was originally classified as an asteroid until a faint coma was noticed.[212] Similarly, Comet Shoemaker–Levy 2 was originally designated asteroid 1990 UL3.[213] (See also Fate of comets, above)
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Centaurs typically behave with characteristics of both asteroids and comets.[214] Centaurs can be classified as comets such as 60558 Echeclus, and 166P/NEAT. 166P/NEAT was discovered while it exhibited a coma, and so is classified as a comet despite its orbit, and 60558 Echeclus was discovered without a coma but later became active,[215] and was then classified as both a comet and an asteroid (174P/Echeclus). One plan for Cassini involved sending it to a centaur, but NASA decided to destroy it instead.[216]
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A comet may be discovered photographically using a wide-field telescope or visually with binoculars. However, even without access to optical equipment, it is still possible for the amateur astronomer to discover a sungrazing comet online by downloading images accumulated by some satellite observatories such as SOHO.[217] SOHO's 2000th comet was discovered by Polish amateur astronomer Michał Kusiak on 26 December 2010[218] and both discoverers of Hale–Bopp used amateur equipment (although Hale was not an amateur).
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A number of periodic comets discovered in earlier decades or previous centuries are now lost comets. Their orbits were never known well enough to predict future appearances or the comets have disintegrated. However, occasionally a "new" comet is discovered, and calculation of its orbit shows it to be an old "lost" comet. An example is Comet 11P/Tempel–Swift–LINEAR, discovered in 1869 but unobservable after 1908 because of perturbations by Jupiter. It was not found again until accidentally rediscovered by LINEAR in 2001.[219] There are at least 18 comets that fit this category.[220]
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The depiction of comets in popular culture is firmly rooted in the long Western tradition of seeing comets as harbingers of doom and as omens of world-altering change.[221] Halley's Comet alone has caused a slew of sensationalist publications of all sorts at each of its reappearances. It was especially noted that the birth and death of some notable persons coincided with separate appearances of the comet, such as with writers Mark Twain (who correctly speculated that he'd "go out with the comet" in 1910)[221] and Eudora Welty, to whose life Mary Chapin Carpenter dedicated the song "Halley Came to Jackson".[221]
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In times past, bright comets often inspired panic and hysteria in the general population, being thought of as bad omens. More recently, during the passage of Halley's Comet in 1910, Earth passed through the comet's tail, and erroneous newspaper reports inspired a fear that cyanogen in the tail might poison millions,[222] whereas the appearance of Comet Hale–Bopp in 1997 triggered the mass suicide of the Heaven's Gate cult.[223]
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In science fiction, the impact of comets has been depicted as a threat overcome by technology and heroism (as in the 1998 films Deep Impact and Armageddon), or as a trigger of global apocalypse (Lucifer's Hammer, 1979) or zombies (Night of the Comet, 1984).[221] In Jules Verne's Off on a Comet a group of people are stranded on a comet orbiting the Sun, while a large manned space expedition visits Halley's Comet in Sir Arthur C. Clarke's novel 2061: Odyssey Three.[224]
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Comet C2020F3 NEOWISE
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Comet C/2006 P1 (McNaught) taken from Victoria, Australia 2007
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The Great Comet of 1882 is a member of the Kreutz group
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Great Comet 1861
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Comet Hyakutake (X-ray, ROSAT satellite)
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"Active asteroid" 311P/PANSTARRS with several tails[225]
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Comet Siding Spring (Hubble; 11 March 2014)
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Mosaic of 20 comets discovered by the WISE space telescope
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NEOWISE – first four years of data starting in December 2013
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C/2011 W3 (Lovejoy) heads towards the Sun
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View from the impactor in its last moments before hitting Comet Tempel 1 during the Deep Impact mission
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NASA is developing a comet harpoon for returning samples to Earth
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Comet Encke loses its tail
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Solar System → Local Interstellar Cloud → Local Bubble → Gould Belt → Orion Arm → Milky Way → Milky Way subgroup → Local Group → Local Sheet → Virgo Supercluster → Laniakea Supercluster → Observable universe → UniverseEach arrow (→) may be read as "within" or "part of".
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A comet is an icy, small Solar System body that, when passing close to the Sun, warms and begins to release gases, a process called outgassing. This produces a visible atmosphere or coma, and sometimes also a tail. These phenomena are due to the effects of solar radiation and the solar wind acting upon the nucleus of the comet. Comet nuclei range from a few hundred meters to tens of kilometers across and are composed of loose collections of ice, dust, and small rocky particles. The coma may be up to 15 times Earth's diameter, while the tail may stretch one astronomical unit. If sufficiently bright, a comet may be seen from Earth without the aid of a telescope and may subtend an arc of 30° (60 Moons) across the sky. Comets have been observed and recorded since ancient times by many cultures.
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Comets usually have highly eccentric elliptical orbits, and they have a wide range of orbital periods, ranging from several years to potentially several millions of years. Short-period comets originate in the Kuiper belt or its associated scattered disc, which lie beyond the orbit of Neptune. Long-period comets are thought to originate in the Oort cloud, a spherical cloud of icy bodies extending from outside the Kuiper belt to halfway to the nearest star.[1] Long-period comets are set in motion towards the Sun from the Oort cloud by gravitational perturbations caused by passing stars and the galactic tide. Hyperbolic comets may pass once through the inner Solar System before being flung to interstellar space. The appearance of a comet is called an apparition.
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Comets are distinguished from asteroids by the presence of an extended, gravitationally unbound atmosphere surrounding their central nucleus. This atmosphere has parts termed the coma (the central part immediately surrounding the nucleus) and the tail (a typically linear section consisting of dust or gas blown out from the coma by the Sun's light pressure or outstreaming solar wind plasma). However, extinct comets that have passed close to the Sun many times have lost nearly all of their volatile ices and dust and may come to resemble small asteroids.[2] Asteroids are thought to have a different origin from comets, having formed inside the orbit of Jupiter rather than in the outer Solar System.[3][4] The discovery of main-belt comets and active centaur minor planets has blurred the distinction between asteroids and comets. In the early 21st century, the discovery of some minor bodies with long-period comet orbits, but characteristics of inner solar system asteroids, were called Manx comets. They are still classified as comets, such as C/2014 S3 (PANSTARRS).[5] 27 Manx comets were found from 2013 to 2017.[6]
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As of July 2019[update] there are 6,619 known comets,[7] a number that is steadily increasing as more are discovered. However, this represents only a tiny fraction of the total potential comet population, as the reservoir of comet-like bodies in the outer Solar System (in the Oort cloud) is estimated to be one trillion.[8][9] Roughly one comet per year is visible to the naked eye, though many of those are faint and unspectacular.[10] Particularly bright examples are called "great comets". Comets have been visited by unmanned probes such as the European Space Agency's Rosetta, which became the first to land a robotic spacecraft on a comet,[11] and NASA's Deep Impact, which blasted a crater on Comet Tempel 1 to study its interior.
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The word comet derives from the Old English cometa from the Latin comēta or comētēs. That, in turn, is a latinization of the Greek κομήτης ("wearing long hair"), and the Oxford English Dictionary notes that the term (ἀστὴρ) κομήτης already meant "long-haired star, comet" in Greek. Κομήτης was derived from κομᾶν ("to wear the hair long"), which was itself derived from κόμη ("the hair of the head") and was used to mean "the tail of a comet".[12][13]
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The astronomical symbol for comets is (in Unicode ☄ U+2604), consisting of a small disc with three hairlike extensions.[14]
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The solid, core structure of a comet is known as the nucleus. Cometary nuclei are composed of an amalgamation of rock, dust, water ice, and frozen carbon dioxide, carbon monoxide, methane, and ammonia.[15] As such, they are popularly described as "dirty snowballs" after Fred Whipple's model.[16] However, many comets have a higher dust content, leading them to be called "icy dirtballs".[17] The term "icy dirtballs" arose after observation of Comet 9P/Tempel 1 collision with an "impactor" probe sent by NASA Deep Impact mission in July 2005. Research conducted in 2014 suggests that comets are like "deep fried ice cream", in that their surfaces are formed of dense crystalline ice mixed with organic compounds, while the interior ice is colder and less dense.[18]
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The surface of the nucleus is generally dry, dusty or rocky, suggesting that the ices are hidden beneath a surface crust several metres thick. In addition to the gases already mentioned, the nuclei contain a variety of organic compounds, which may include methanol, hydrogen cyanide, formaldehyde, ethanol, ethane, and perhaps more complex molecules such as long-chain hydrocarbons and amino acids.[19][20] In 2009, it was confirmed that the amino acid glycine had been found in the comet dust recovered by NASA's Stardust mission.[21] In August 2011, a report, based on NASA studies of meteorites found on Earth, was published suggesting DNA and RNA components (adenine, guanine, and related organic molecules) may have been formed on asteroids and comets.[22][23]
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The outer surfaces of cometary nuclei have a very low albedo, making them among the least reflective objects found in the Solar System. The Giotto space probe found that the nucleus of Halley's Comet reflects about four percent of the light that falls on it,[24] and Deep Space 1 discovered that Comet Borrelly's surface reflects less than 3.0%;[24] by comparison, asphalt reflects seven percent. The dark surface material of the nucleus may consist of complex organic compounds. Solar heating drives off lighter volatile compounds, leaving behind larger organic compounds that tend to be very dark, like tar or crude oil. The low reflectivity of cometary surfaces causes them to absorb the heat that drives their outgassing processes.[25]
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Comet nuclei with radii of up to 30 kilometers (19 mi) have been observed,[26] but ascertaining their exact size is difficult.[27] The nucleus of 322P/SOHO is probably only 100–200 meters (330–660 ft) in diameter.[28] A lack of smaller comets being detected despite the increased sensitivity of instruments has led some to suggest that there is a real lack of comets smaller than 100 meters (330 ft) across.[29] Known comets have been estimated to have an average density of 0.6 g/cm3 (0.35 oz/cu in).[30] Because of their low mass, comet nuclei do not become spherical under their own gravity and therefore have irregular shapes.[31]
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Roughly six percent of the near-Earth asteroids are thought to be extinct nuclei of comets that no longer experience outgassing,[32] including 14827 Hypnos and 3552 Don Quixote.
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Results from the Rosetta and Philae spacecraft show that the nucleus of 67P/Churyumov–Gerasimenko has no magnetic field, which suggests that magnetism may not have played a role in the early formation of planetesimals.[33][34] Further, the ALICE spectrograph on Rosetta determined that electrons (within 1 km (0.62 mi) above the comet nucleus) produced from photoionization of water molecules by solar radiation, and not photons from the Sun as thought earlier, are responsible for the degradation of water and carbon dioxide molecules released from the comet nucleus into its coma.[35][36] Instruments on the Philae lander found at least sixteen organic compounds at the comet's surface, four of which (acetamide, acetone, methyl isocyanate and propionaldehyde) have been detected for the first time on a comet.[37][38][39]
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The streams of dust and gas thus released form a huge and extremely thin atmosphere around the comet called the "coma". The force exerted on the coma by the Sun's radiation pressure and solar wind cause an enormous "tail" to form pointing away from the Sun.[48]
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The coma is generally made of water and dust, with water making up to 90% of the volatiles that outflow from the nucleus when the comet is within 3 to 4 astronomical units (450,000,000 to 600,000,000 km; 280,000,000 to 370,000,000 mi) of the Sun.[49] The H2O parent molecule is destroyed primarily through photodissociation and to a much smaller extent photoionization, with the solar wind playing a minor role in the destruction of water compared to photochemistry.[49] Larger dust particles are left along the comet's orbital path whereas smaller particles are pushed away from the Sun into the comet's tail by light pressure.[50]
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Although the solid nucleus of comets is generally less than 60 kilometers (37 mi) across, the coma may be thousands or millions of kilometers across, sometimes becoming larger than the Sun.[51] For example, about a month after an outburst in October 2007, comet 17P/Holmes briefly had a tenuous dust atmosphere larger than the Sun.[52] The Great Comet of 1811 also had a coma roughly the diameter of the Sun.[53] Even though the coma can become quite large, its size can decrease about the time it crosses the orbit of Mars around 1.5 astronomical units (220,000,000 km; 140,000,000 mi) from the Sun.[53] At this distance the solar wind becomes strong enough to blow the gas and dust away from the coma, and in doing so enlarging the tail.[53] Ion tails have been observed to extend one astronomical unit (150 million km) or more.[52]
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Both the coma and tail are illuminated by the Sun and may become visible when a comet passes through the inner Solar System, the dust reflects sunlight directly while the gases glow from ionisation.[54] Most comets are too faint to be visible without the aid of a telescope, but a few each decade become bright enough to be visible to the naked eye.[55] Occasionally a comet may experience a huge and sudden outburst of gas and dust, during which the size of the coma greatly increases for a period of time. This happened in 2007 to Comet Holmes.[56]
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In 1996, comets were found to emit X-rays.[57] This greatly surprised astronomers because X-ray emission is usually associated with very high-temperature bodies. The X-rays are generated by the interaction between comets and the solar wind: when highly charged solar wind ions fly through a cometary atmosphere, they collide with cometary atoms and molecules, "stealing" one or more electrons from the atom in a process called "charge exchange". This exchange or transfer of an electron to the solar wind ion is followed by its de-excitation into the ground state of the ion by the emission of X-rays and far ultraviolet photons.[58]
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Bow shocks form as a result of the interaction between the solar wind and the cometary ionosphere, which is created by ionization of gases in the coma. As the comet approaches the Sun, increasing outgassing rates cause the coma to expand, and the sunlight ionizes gases in the coma. When the solar wind passes through this ion coma, the bow shock appears.
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The first observations were made in the 1980s and 90s as several spacecraft flew by comets 21P/Giacobini–Zinner,[59] 1P/Halley,[60] and 26P/Grigg–Skjellerup.[61] It was then found that the bow shocks at comets are wider and more gradual than the sharp planetary bow shocks seen at, for example, Earth. These observations were all made near perihelion when the bow shocks already were fully developed.
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The Rosetta spacecraft observed the bow shock at comet 67P/Churyumov–Gerasimenko at an early stage of bow shock development when the outgassing increased during the comet's journey toward the Sun. This young bow shock was called the "infant bow shock". The infant bow shock is asymmetric and, relative to the distance to the nucleus, wider than fully developed bow shocks.[62]
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In the outer Solar System, comets remain frozen and inactive and are extremely difficult or impossible to detect from Earth due to their small size. Statistical detections of inactive comet nuclei in the Kuiper belt have been reported from observations by the Hubble Space Telescope[63][64] but these detections have been questioned.[65][66] As a comet approaches the inner Solar System, solar radiation causes the volatile materials within the comet to vaporize and stream out of the nucleus, carrying dust away with them.
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The streams of dust and gas each form their own distinct tail, pointing in slightly different directions. The tail of dust is left behind in the comet's orbit in such a manner that it often forms a curved tail called the type II or dust tail.[54] At the same time, the ion or type I tail, made of gases, always points directly away from the Sun because this gas is more strongly affected by the solar wind than is dust, following magnetic field lines rather than an orbital trajectory.[67] On occasions—such as when Earth passes through a comet's orbital plane, the antitail, pointing in the opposite direction to the ion and dust tails, may be seen.[68]
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The observation of antitails contributed significantly to the discovery of solar wind.[69] The ion tail is formed as a result of the ionization by solar ultra-violet radiation of particles in the coma. Once the particles have been ionized, they attain a net positive electrical charge, which in turn gives rise to an "induced magnetosphere" around the comet. The comet and its induced magnetic field form an obstacle to outward flowing solar wind particles. Because the relative orbital speed of the comet and the solar wind is supersonic, a bow shock is formed upstream of the comet in the flow direction of the solar wind. In this bow shock, large concentrations of cometary ions (called "pick-up ions") congregate and act to "load" the solar magnetic field with plasma, such that the field lines "drape" around the comet forming the ion tail.[70]
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If the ion tail loading is sufficient, the magnetic field lines are squeezed together to the point where, at some distance along the ion tail, magnetic reconnection occurs. This leads to a "tail disconnection event".[70] This has been observed on a number of occasions, one notable event being recorded on 20 April 2007, when the ion tail of Encke's Comet was completely severed while the comet passed through a coronal mass ejection. This event was observed by the STEREO space probe.[71]
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In 2013, ESA scientists reported that the ionosphere of the planet Venus streams outwards in a manner similar to the ion tail seen streaming from a comet under similar conditions."[72][73]
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Uneven heating can cause newly generated gases to break out of a weak spot on the surface of comet's nucleus, like a geyser.[74] These streams of gas and dust can cause the nucleus to spin, and even split apart.[74] In 2010 it was revealed dry ice (frozen carbon dioxide) can power jets of material flowing out of a comet nucleus.[75] Infrared imaging of Hartley 2 shows such jets exiting and carrying with it dust grains into the coma.[76]
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Most comets are small Solar System bodies with elongated elliptical orbits that take them close to the Sun for a part of their orbit and then out into the further reaches of the Solar System for the remainder.[77] Comets are often classified according to the length of their orbital periods: The longer the period the more elongated the ellipse.
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Periodic comets or short-period comets are generally defined as those having orbital periods of less than 200 years.[78] They usually orbit more-or-less in the ecliptic plane in the same direction as the planets.[79] Their orbits typically take them out to the region of the outer planets (Jupiter and beyond) at aphelion; for example, the aphelion of Halley's Comet is a little beyond the orbit of Neptune. Comets whose aphelia are near a major planet's orbit are called its "family".[80] Such families are thought to arise from the planet capturing formerly long-period comets into shorter orbits.[81]
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At the shorter orbital period extreme, Encke's Comet has an orbit that does not reach the orbit of Jupiter, and is known as an Encke-type comet. Short-period comets with orbital periods less than 20 years and low inclinations (up to 30 degrees) to the ecliptic are called traditional Jupiter-family comets (JFCs).[82][83] Those like Halley, with orbital periods of between 20 and 200 years and inclinations extending from zero to more than 90 degrees, are called Halley-type comets (HTCs).[84][85] As of 2020[update], 91 HTCs have been observed,[86] compared with 685 identified JFCs.[87]
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Recently discovered main-belt comets form a distinct class, orbiting in more circular orbits within the asteroid belt.[88]
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Because their elliptical orbits frequently take them close to the giant planets, comets are subject to further gravitational perturbations.[89] Short-period comets have a tendency for their aphelia to coincide with a giant planet's semi-major axis, with the JFCs being the largest group.[83] It is clear that comets coming in from the Oort cloud often have their orbits strongly influenced by the gravity of giant planets as a result of a close encounter. Jupiter is the source of the greatest perturbations, being more than twice as massive as all the other planets combined. These perturbations can deflect long-period comets into shorter orbital periods.[90][91]
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Based on their orbital characteristics, short-period comets are thought to originate from the centaurs and the Kuiper belt/scattered disc[92] —a disk of objects in the trans-Neptunian region—whereas the source of long-period comets is thought to be the far more distant spherical Oort cloud (after the Dutch astronomer Jan Hendrik Oort who hypothesized its existence).[93] Vast swarms of comet-like bodies are thought to orbit the Sun in these distant regions in roughly circular orbits. Occasionally the gravitational influence of the outer planets (in the case of Kuiper belt objects) or nearby stars (in the case of Oort cloud objects) may throw one of these bodies into an elliptical orbit that takes it inwards toward the Sun to form a visible comet. Unlike the return of periodic comets, whose orbits have been established by previous observations, the appearance of new comets by this mechanism is unpredictable.[94] When flung into the orbit of the sun, and being continuously dragged towards it, tons of matter are stripped from the comets which greatly influence their lifetime; the more stripped, the shorter they live and vice versa.[95]
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Long-period comets have highly eccentric orbits and periods ranging from 200 years to thousands of years.[96] An eccentricity greater than 1 when near perihelion does not necessarily mean that a comet will leave the Solar System.[97] For example, Comet McNaught had a heliocentric osculating eccentricity of 1.000019 near its perihelion passage epoch in January 2007 but is bound to the Sun with roughly a 92,600-year orbit because the eccentricity drops below 1 as it moves farther from the Sun. The future orbit of a long-period comet is properly obtained when the osculating orbit is computed at an epoch after leaving the planetary region and is calculated with respect to the center of mass of the Solar System. By definition long-period comets remain gravitationally bound to the Sun; those comets that are ejected from the Solar System due to close passes by major planets are no longer properly considered as having "periods". The orbits of long-period comets take them far beyond the outer planets at aphelia, and the plane of their orbits need not lie near the ecliptic. Long-period comets such as Comet West and C/1999 F1 can have aphelion distances of nearly 70,000 AU (0.34 pc; 1.1 ly) with orbital periods estimated around 6 million years.
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Single-apparition or non-periodic comets are similar to long-period comets because they also have parabolic or slightly hyperbolic trajectories[96] when near perihelion in the inner Solar System. However, gravitational perturbations from giant planets cause their orbits to change. Single-apparition comets have a hyperbolic or parabolic osculating orbit which allows them to permanently exit the Solar System after a single pass of the Sun.[98] The Sun's Hill sphere has an unstable maximum boundary of 230,000 AU (1.1 pc; 3.6 ly).[99] Only a few hundred comets have been seen to reach a hyperbolic orbit (e > 1) when near perihelion[100] that using a heliocentric unperturbed two-body best-fit suggests they may escape the Solar System.
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As of 2019[update], only two objects have been discovered with an eccentricity significantly greater than one: 1I/ʻOumuamua and 2I/Borisov, indicating an origin outside the Solar System. While ʻOumuamua, with an eccentricity of about 1.2, showed no optical signs of cometary activity during its passage through the inner Solar System in October 2017, changes to its trajectory—which suggests outgassing—indicate that it is probably a comet.[101] On the other hand, 2I/Borisov, with an estimated eccentricity of about 3.36, has been observed to have the coma feature of comets, and is considered the first detected interstellar comet.[102][103] Comet C/1980 E1 had an orbital period of roughly 7.1 million years before the 1982 perihelion passage, but a 1980 encounter with Jupiter accelerated the comet giving it the largest eccentricity (1.057) of any known hyperbolic comet.[104] Comets not expected to return to the inner Solar System include C/1980 E1, C/2000 U5, C/2001 Q4 (NEAT), C/2009 R1, C/1956 R1, and C/2007 F1 (LONEOS).
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Some authorities use the term "periodic comet" to refer to any comet with a periodic orbit (that is, all short-period comets plus all long-period comets),[105] whereas others use it to mean exclusively short-period comets.[96] Similarly, although the literal meaning of "non-periodic comet" is the same as "single-apparition comet", some use it to mean all comets that are not "periodic" in the second sense (that is, to also include all comets with a period greater than 200 years).
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Early observations have revealed a few genuinely hyperbolic (i.e. non-periodic) trajectories, but no more than could be accounted for by perturbations from Jupiter. If comets pervaded interstellar space, they would be moving with velocities of the same order as the relative velocities of stars near the Sun (a few tens of km per second). If such objects entered the Solar System, they would have positive specific orbital energy and would be observed to have genuinely hyperbolic trajectories. A rough calculation shows that there might be four hyperbolic comets per century within Jupiter's orbit, give or take one and perhaps two orders of magnitude.[106]
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The Oort cloud is thought to occupy a vast space starting from between 2,000 and 5,000 AU (0.03 and 0.08 ly)[108] to as far as 50,000 AU (0.79 ly)[84] from the Sun. This cloud encases the celestial bodies that start at the middle of our solar system—the sun, all the way to outer limits of the Kuiper Belt. The Oort cloud consists of viable materials necessary for the creation of celestial bodies. The planets we have today, exist only because of the planetesimals (chunks of leftover space that assisted in the creation of planets) that were condensed and formed by the gravity of the sun. The eccentric made from these trapped planetesimals is why the Oort Cloud even exists.[109] Some estimates place the outer edge at between 100,000 and 200,000 AU (1.58 and 3.16 ly).[108] The region can be subdivided into a spherical outer Oort cloud of 20,000–50,000 AU (0.32–0.79 ly), and a doughnut-shaped inner cloud, the Hills cloud, of 2,000–20,000 AU (0.03–0.32 ly).[110] The outer cloud is only weakly bound to the Sun and supplies the long-period (and possibly Halley-type) comets that fall to inside the orbit of Neptune.[84] The inner Oort cloud is also known as the Hills cloud, named after J. G. Hills, who proposed its existence in 1981.[111] Models predict that the inner cloud should have tens or hundreds of times as many cometary nuclei as the outer halo;[111][112][113] it is seen as a possible source of new comets that resupply the relatively tenuous outer cloud as the latter's numbers are gradually depleted. The Hills cloud explains the continued existence of the Oort cloud after billions of years.[114]
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Exocomets beyond the Solar System have also been detected and may be common in the Milky Way.[115] The first exocomet system detected was around Beta Pictoris, a very young A-type main-sequence star, in 1987.[116][117] A total of 11 such exocomet systems have been identified as of 2013[update], using the absorption spectrum caused by the large clouds of gas emitted by comets when passing close to their star.[115][116] For ten years the Kepler Space Telescope was responsible for searching for planets and other forms outside of the solar system. The first transiting exocomets were found in February 2018 by a group consisting of professional astronomers and citizen scientists in light curves recorded by the Kepler Space Telescope.[118][119] After Kepler Space Telescope retired in October 2018, a new telescope called TESS Telescope has taken over Kepler's mission. Since the launch of TESS, astronomers have discovered the transits of comets around the star Beta Pictoris using a light curve from TESS.[120][121] Since TESS has taken over, astronomers have since been able to better distinguish exocomets with the spectroscopic method. New planets are detected by the white light curve method which is viewed as a symmetrical dip in the charts readings when a planet overshadows its parent star. However, after further evaluation of these light curves, it has been discovered that the asymmetrical patterns of the dips presented are caused by the tail of a comet or of hundreds of comets.[122]
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As a comet is heated during close passes to the Sun, outgassing of its icy components also releases solid debris too large to be swept away by radiation pressure and the solar wind.[123] If Earth's orbit sends it through that trail of debris, which is composed mostly of fine grains of rocky material, there is likely to be a meteor shower as Earth passes through. Denser trails of debris produce quick but intense meteor showers and less dense trails create longer but less intense showers. Typically, the density of the debris trail is related to how long ago the parent comet released the material.[124][125] The Perseid meteor shower, for example, occurs every year between 9 and 13 August, when Earth passes through the orbit of Comet Swift–Tuttle. Halley's Comet is the source of the Orionid shower in October.[126][127]
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Many comets and asteroids collided with Earth in its early stages. Many scientists think that comets bombarding the young Earth about 4 billion years ago brought the vast quantities of water that now fill Earth's oceans, or at least a significant portion of it. Others have cast doubt on this idea.[128] The detection of organic molecules, including polycyclic aromatic hydrocarbons,[18] in significant quantities in comets has led to speculation that comets or meteorites may have brought the precursors of life—or even life itself—to Earth.[129] In 2013 it was suggested that impacts between rocky and icy surfaces, such as comets, had the potential to create the amino acids that make up proteins through shock synthesis.[130] The speed at which the comets entered the atmosphere, combined with the magnitude of energy created after initial contact, allowed smaller molecules to condense into the larger macro-molecules that served as the foundation for life.[131] In 2015, scientists found significant amounts of molecular oxygen in the outgassings of comet 67P, suggesting that the molecule may occur more often than had been thought, and thus less an indicator of life as has been supposed.[132]
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It is suspected that comet impacts have, over long timescales, also delivered significant quantities of water to Earth's Moon, some of which may have survived as lunar ice.[133] Comet and meteoroid impacts are also thought to be responsible for the existence of tektites and australites.[134]
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Fear of comets as acts of God and signs of impending doom was highest in Europe from AD 1200 to 1650.[135] The year after the Great Comet of 1618, for example, Gotthard Arthusius published a pamphlet stating that it was a sign that the Day of Judgment was near.[136] He listed ten pages of comet-related disasters, including "earthquakes, floods, changes in river courses, hail storms, hot and dry weather, poor harvests, epidemics, war and treason and high prices". By 1700 most scholars concluded that such events occurred whether a comet was seen or not. Using Edmund Halley's records of comet sightings, however, William Whiston in 1711 wrote that the Great Comet of 1680 had a periodicity of 574 years and was responsible for the worldwide flood in the Book of Genesis, by pouring water on Earth. His announcement revived for another century fear of comets, now as direct threats to the world instead of signs of disasters.[135] Spectroscopic analysis in 1910 found the toxic gas cyanogen in the tail of Halley's Comet,[137] causing panicked buying of gas masks and quack "anti-comet pills" and "anti-comet umbrellas" by the public.[138]
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If a comet is traveling fast enough, it may leave the Solar System. Such comets follow the open path of a hyperbola, and as such they are called hyperbolic comets. To date, comets are only known to be ejected by interacting with another object in the Solar System, such as Jupiter.[139] An example of this is thought to be Comet C/1980 E1, which was shifted from a predicted orbit of 7.1 million years around the Sun, to a hyperbolic trajectory, after a 1980 close pass by the planet Jupiter.[140]
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Jupiter-family comets and long-period comets appear to follow very different fading laws. The JFCs are active over a lifetime of about 10,000 years or ~1,000 orbits whereas long-period comets fade much faster. Only 10% of the long-period comets survive more than 50 passages to small perihelion and only 1% of them survive more than 2,000 passages.[32] Eventually most of the volatile material contained in a comet nucleus evaporates, and the comet becomes a small, dark, inert lump of rock or rubble that can resemble an asteroid.[141] Some asteroids in elliptical orbits are now identified as extinct comets.[142][143][144][145] Roughly six percent of the near-Earth asteroids are thought to be extinct comet nuclei.[32]
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The nucleus of some comets may be fragile, a conclusion supported by the observation of comets splitting apart.[146] A significant cometary disruption was that of Comet Shoemaker–Levy 9, which was discovered in 1993. A close encounter in July 1992 had broken it into pieces, and over a period of six days in July 1994, these pieces fell into Jupiter's atmosphere—the first time astronomers had observed a collision between two objects in the Solar System.[147][148] Other splitting comets include 3D/Biela in 1846 and 73P/Schwassmann–Wachmann from 1995 to 2006.[149] Greek historian Ephorus reported that a comet split apart as far back as the winter of 372–373 BC.[150] Comets are suspected of splitting due to thermal stress, internal gas pressure, or impact.[151]
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Comets 42P/Neujmin and 53P/Van Biesbroeck appear to be fragments of a parent comet. Numerical integrations have shown that both comets had a rather close approach to Jupiter in January 1850, and that, before 1850, the two orbits were nearly identical.[152]
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Some comets have been observed to break up during their perihelion passage, including great comets West and Ikeya–Seki. Biela's Comet was one significant example, when it broke into two pieces during its passage through the perihelion in 1846. These two comets were seen separately in 1852, but never again afterward. Instead, spectacular meteor showers were seen in 1872 and 1885 when the comet should have been visible. A minor meteor shower, the Andromedids, occurs annually in November, and it is caused when Earth crosses the orbit of Biela's Comet.[153]
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Some comets meet a more spectacular end – either falling into the Sun[154] or smashing into a planet or other body. Collisions between comets and planets or moons were common in the early Solar System: some of the many craters on the Moon, for example, may have been caused by comets. A recent collision of a comet with a planet occurred in July 1994 when Comet Shoemaker–Levy 9 broke up into pieces and collided with Jupiter.[155]
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The names given to comets have followed several different conventions over the past two centuries. Prior to the early 20th century, most comets were simply referred to by the year when they appeared, sometimes with additional adjectives for particularly bright comets; thus, the "Great Comet of 1680", the "Great Comet of 1882", and the "Great January Comet of 1910".
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After Edmund Halley demonstrated that the comets of 1531, 1607, and 1682 were the same body and successfully predicted its return in 1759 by calculating its orbit, that comet became known as Halley's Comet.[157] Similarly, the second and third known periodic comets, Encke's Comet[158] and Biela's Comet,[159] were named after the astronomers who calculated their orbits rather than their original discoverers. Later, periodic comets were usually named after their discoverers, but comets that had appeared only once continued to be referred to by the year of their appearance.[160]
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In the early 20th century, the convention of naming comets after their discoverers became common, and this remains so today. A comet can be named after its discoverers, or an instrument or program that helped to find it.[160] For example, in 2019, astronomer Gennady Borisov observed a comet that appeared to have originated outside of the solar system, the comet was named C/2019 Q4 (Borisov) after him.
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From ancient sources, such as Chinese oracle bones, it is known that comets have been noticed by humans for millennia.[161] Until the sixteenth century, comets were usually considered bad omens of deaths of kings or noble men, or coming catastrophes, or even interpreted as attacks by heavenly beings against terrestrial inhabitants.[162][163] In the 11th century Bayeux Tapestry, Halley's Comet is depicted portending the death of Harold and the triumph of the Normans at the Battle of Hastings.[164]
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According to Norse Mythology, comets were actually a part of the Giant Ymir's skull. According to the tale, Odin and his brothers slew Ymir and set about constructing the world (Earth) from his corpse. They fashioned the oceans from his blood, the soil from his skin and muscles, vegetation from his hair, clouds from his brains, and the sky from his skull. Four dwarves, corresponding to the four cardinal points, held Ymir's skull aloft above the earth. Following this tale, comets in the sky, as believed by the Norse, were flakes of Ymir's skull falling from the sky and then disintegrating.[165]
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In India, by the 6th century astronomers believed that comets were celestial bodies that re-appeared periodically. This was the view expressed in the 6th century by the astronomers Varāhamihira and Bhadrabahu, and the 10th-century astronomer Bhaṭṭotpala listed the names and estimated periods of certain comets, but it is not known how these figures were calculated or how accurate they were.[166]
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In 1301, the Italian painter Giotto was the first person to accurately and anatomically portray a comet. In his work Adoration of the Magi, Giotto's depiction of Halley's Comet in the place of the Star of Bethlehem would go unmatched in accuracy until the 19th century and be bested only with the invention of photography.[164]
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Aristotle was the first known scientist to utilize various theories and observational facts to employ a consistent, structured cosmological theory of comets. He believed that comets were atmospheric phenomena, due to the fact that they could appear outside of the Zodiac and vary in brightness over the course of a few days. Aristotle's cometary theory arose from his observations and cosmological theory that everything in the cosmos is arranged in a distinct configuration.[167] Part of this configuration was a clear separation between the celestial and terrestrial, believing comets to be strictly associated with the latter. According to Aristotle comets must be within the sphere of the moon and clearly separated from the heavens. His theory on comets was widely accepted throughout the Middle Ages, despite several discoveries from various individuals challenging aspects of his work.[168] One notable challenger was Seneca, who questioned the logic of his predecessors sparking much debate among Aristotle's critics in the 16th and 17th centuries. Seneca thought comets to be more permanent than suggested by their brief flashes across the sky and provided thought provoking evidence of the celestial nature of comets .[168] He posed many questions regarding the validity of contemporary theories on comets, however, he did not author a substantial theory of his own.[169] Pliny the Elder believed that comets were connected with political unrest and death.[170] Pliny observed comets as "human like", often describing their tails with "long hair" or "long beard".[171] His system for classifying comets according to their color and shape was used for centuries.[172]
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Astrological interpretations of comets proceeded to take precedence clear into the 15th century, despite the presence of modern scientific astronomy beginning to take root. In the 1400s, comets continue to forewarn disaster as seen in the Luzerner Schilling chronicles and in the warnings of Pope Callixtus III.[164] Regiomontanus was the first to attempt to calculate Diurnal parallax by observing the great comet of 1472. His predictions were not very accurate, but they were conducted in the hopes of estimating the distance of a comet from the Earth.[172]
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In the 16th century, Tycho Brahe and Michael Maestlin demonstrated that comets must exist outside Earth's atmosphere by measuring the parallax of the Great Comet of 1577.[173] Within the precision of the measurements, this implied the comet must be at least four times more distant than from Earth to the Moon.[174][175] Based on observations in 1664, Giovanni Borelli recorded the longitudes and latitudes of comets that he observed, and suggested that cometary orbits may be parabolic.[176] Galileo Galilei one of the most renowned astronomers to date, even attempted writings on comets in The Assayer. He rejected Tycho Brahe's theories on the parallax of comets and claimed that they may be a mere optical illusion. Intrigued as early scientists were about the nature of comets, Galileo could not help but throw about his own theories despite little personal observation.[172] Kepler responded to these unjust criticisms in his work Hyperaspistes.
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Also occurring in the Early modern period was the study of comets and their astrological significance in medical disciplines. Many healers of this time considered medicine and astronomy to be inter-disciplinary, and employed their knowledge of comets and other astrological signs for diagnosing and treating patients.[177]
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Isaac Newton, in his Principia Mathematica of 1687, proved that an object moving under the influence of gravity must trace out an orbit shaped like one of the conic sections, and he demonstrated how to fit a comet's path through the sky to a parabolic orbit, using the comet of 1680 as an example.[178] Newton was one of the first to contribute to the physical understanding of the nature of comets.
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In 1705, Edmond Halley (1656–1742) applied Newton's method to twenty-three cometary apparitions that had occurred between 1337 and 1698. He noted that three of these, the comets of 1531, 1607, and 1682, had very similar orbital elements, and he was further able to account for the slight differences in their orbits in terms of gravitational perturbation caused by Jupiter and Saturn. Confident that these three apparitions had been three appearances of the same comet, he predicted that it would appear again in 1758–9.[179] Halley's predicted return date was later refined by a team of three French mathematicians: Alexis Clairaut, Joseph Lalande, and Nicole-Reine Lepaute, who predicted the date of the comet's 1759 perihelion to within one month's accuracy.[180][181] When the comet returned as predicted, it became known as Halley's Comet (with the modern designation of 1P/Halley). It will next appear in 2061.[182]
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In the 19th century, the Astronomical Observatory of Padova, was an epicenter in the observational study of comets. Led by Giovanni Santini (1787-1877) and followed by Giuseppe Lorenzoni (1843-1914), this observatory was devoted to classical astronomy, mainly to the new comets and planets orbit calculation, with the goal of compiling of a catalog of almost ten thousand stars. Situated in the Northern portion of Italy, observations from this observatory were key in establishing important geodetic, geographic, and astronomical calculations, such as the difference of longitude between Milan and Padua as well as Padua to Fiume.[183] In addition to these geographic observations, correspondence within the observatory, particularly between Santini and another astronomer Giuseppe Toaldo, about the importance of comet and planetary orbital observations.[184]
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Isaac Newton described comets as compact and durable solid bodies moving in oblique orbit and their tails as thin streams of vapor emitted by their nuclei, ignited or heated by the Sun. Newton suspected that comets were the origin of the life-supporting component of air.[185]
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James Thomson The Seasons (1730; 1748)[186]
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As early as the 18th century, some scientists had made correct hypotheses as to comets' physical composition. In 1755, Immanuel Kant hypothesized that comets are composed of some volatile substance, whose vaporization gives rise to their brilliant displays near perihelion.[187] In 1836, the German mathematician Friedrich Wilhelm Bessel, after observing streams of vapor during the appearance of Halley's Comet in 1835, proposed that the jet forces of evaporating material could be great enough to significantly alter a comet's orbit, and he argued that the non-gravitational movements of Encke's Comet resulted from this phenomenon.[188]
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In 1950, Fred Lawrence Whipple proposed that rather than being rocky objects containing some ice, comets were icy objects containing some dust and rock.[189] This "dirty snowball" model soon became accepted and appeared to be supported by the observations of an armada of spacecraft (including the European Space Agency's Giotto probe and the Soviet Union's Vega 1 and Vega 2) that flew through the coma of Halley's Comet in 1986, photographed the nucleus, and observed jets of evaporating material.[190]
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On 22 January 2014, ESA scientists reported the detection, for the first definitive time, of water vapor on the dwarf planet Ceres, the largest object in the asteroid belt.[191] The detection was made by using the far-infrared abilities of the Herschel Space Observatory.[192] The finding is unexpected because comets, not asteroids, are typically considered to "sprout jets and plumes". According to one of the scientists, "The lines are becoming more and more blurred between comets and asteroids."[192] On 11 August 2014, astronomers released studies, using the Atacama Large Millimeter/Submillimeter Array (ALMA) for the first time, that detailed the distribution of HCN, HNC, H2CO, and dust inside the comae of comets C/2012 F6 (Lemmon) and C/2012 S1 (ISON).[193][194]
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Approximately once a decade, a comet becomes bright enough to be noticed by a casual observer, leading such comets to be designated as great comets.[150] Predicting whether a comet will become a great comet is notoriously difficult, as many factors may cause a comet's brightness to depart drastically from predictions.[203] Broadly speaking, if a comet has a large and active nucleus, will pass close to the Sun, and is not obscured by the Sun as seen from Earth when at its brightest, it has a chance of becoming a great comet. However, Comet Kohoutek in 1973 fulfilled all the criteria and was expected to become spectacular but failed to do so.[204] Comet West, which appeared three years later, had much lower expectations but became an extremely impressive comet.[205]
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The Great Comet of 1577 is a well known example of a great comet. The Great Comet of 1577 passed near Earth as a non-periodic comet and was seen by many, including well-known astronomers Tycho Brahe and Taqi ad-Din. Observations of this comet led to several significant findings regarding cometary science, especially for Brahe.
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The late 20th century saw a lengthy gap without the appearance of any great comets, followed by the arrival of two in quick succession—Comet Hyakutake in 1996, followed by Hale–Bopp, which reached maximum brightness in 1997 having been discovered two years earlier. The first great comet of the 21st century was C/2006 P1 (McNaught), which became visible to naked eye observers in January 2007. It was the brightest in over 40 years.[206]
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A sungrazing comet is a comet that passes extremely close to the Sun at perihelion, generally within a few million kilometers.[207] Although small sungrazers can be completely evaporated during such a close approach to the Sun, larger sungrazers can survive many perihelion passages. However, the strong tidal forces they experience often lead to their fragmentation.[208]
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About 90% of the sungrazers observed with SOHO are members of the Kreutz group, which all originate from one giant comet that broke up into many smaller comets during its first passage through the inner Solar System.[209] The remainder contains some sporadic sungrazers, but four other related groups of comets have been identified among them: the Kracht, Kracht 2a, Marsden, and Meyer groups. The Marsden and Kracht groups both appear to be related to Comet 96P/Machholz, which is also the parent of two meteor streams, the Quadrantids and the Arietids.[210]
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Of the thousands of known comets, some exhibit unusual properties. Comet Encke (2P/Encke) orbits from outside the asteroid belt to just inside the orbit of the planet Mercury whereas the Comet 29P/Schwassmann–Wachmann currently travels in a nearly circular orbit entirely between the orbits of Jupiter and Saturn.[211] 2060 Chiron, whose unstable orbit is between Saturn and Uranus, was originally classified as an asteroid until a faint coma was noticed.[212] Similarly, Comet Shoemaker–Levy 2 was originally designated asteroid 1990 UL3.[213] (See also Fate of comets, above)
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Centaurs typically behave with characteristics of both asteroids and comets.[214] Centaurs can be classified as comets such as 60558 Echeclus, and 166P/NEAT. 166P/NEAT was discovered while it exhibited a coma, and so is classified as a comet despite its orbit, and 60558 Echeclus was discovered without a coma but later became active,[215] and was then classified as both a comet and an asteroid (174P/Echeclus). One plan for Cassini involved sending it to a centaur, but NASA decided to destroy it instead.[216]
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A comet may be discovered photographically using a wide-field telescope or visually with binoculars. However, even without access to optical equipment, it is still possible for the amateur astronomer to discover a sungrazing comet online by downloading images accumulated by some satellite observatories such as SOHO.[217] SOHO's 2000th comet was discovered by Polish amateur astronomer Michał Kusiak on 26 December 2010[218] and both discoverers of Hale–Bopp used amateur equipment (although Hale was not an amateur).
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A number of periodic comets discovered in earlier decades or previous centuries are now lost comets. Their orbits were never known well enough to predict future appearances or the comets have disintegrated. However, occasionally a "new" comet is discovered, and calculation of its orbit shows it to be an old "lost" comet. An example is Comet 11P/Tempel–Swift–LINEAR, discovered in 1869 but unobservable after 1908 because of perturbations by Jupiter. It was not found again until accidentally rediscovered by LINEAR in 2001.[219] There are at least 18 comets that fit this category.[220]
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The depiction of comets in popular culture is firmly rooted in the long Western tradition of seeing comets as harbingers of doom and as omens of world-altering change.[221] Halley's Comet alone has caused a slew of sensationalist publications of all sorts at each of its reappearances. It was especially noted that the birth and death of some notable persons coincided with separate appearances of the comet, such as with writers Mark Twain (who correctly speculated that he'd "go out with the comet" in 1910)[221] and Eudora Welty, to whose life Mary Chapin Carpenter dedicated the song "Halley Came to Jackson".[221]
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In times past, bright comets often inspired panic and hysteria in the general population, being thought of as bad omens. More recently, during the passage of Halley's Comet in 1910, Earth passed through the comet's tail, and erroneous newspaper reports inspired a fear that cyanogen in the tail might poison millions,[222] whereas the appearance of Comet Hale–Bopp in 1997 triggered the mass suicide of the Heaven's Gate cult.[223]
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In science fiction, the impact of comets has been depicted as a threat overcome by technology and heroism (as in the 1998 films Deep Impact and Armageddon), or as a trigger of global apocalypse (Lucifer's Hammer, 1979) or zombies (Night of the Comet, 1984).[221] In Jules Verne's Off on a Comet a group of people are stranded on a comet orbiting the Sun, while a large manned space expedition visits Halley's Comet in Sir Arthur C. Clarke's novel 2061: Odyssey Three.[224]
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Comet C2020F3 NEOWISE
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Comet C/2006 P1 (McNaught) taken from Victoria, Australia 2007
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The Great Comet of 1882 is a member of the Kreutz group
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Great Comet 1861
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Comet Hyakutake (X-ray, ROSAT satellite)
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"Active asteroid" 311P/PANSTARRS with several tails[225]
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Comet Siding Spring (Hubble; 11 March 2014)
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Mosaic of 20 comets discovered by the WISE space telescope
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NEOWISE – first four years of data starting in December 2013
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C/2011 W3 (Lovejoy) heads towards the Sun
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View from the impactor in its last moments before hitting Comet Tempel 1 during the Deep Impact mission
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NASA is developing a comet harpoon for returning samples to Earth
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Comet Encke loses its tail
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Solar System → Local Interstellar Cloud → Local Bubble → Gould Belt → Orion Arm → Milky Way → Milky Way subgroup → Local Group → Local Sheet → Virgo Supercluster → Laniakea Supercluster → Observable universe → UniverseEach arrow (→) may be read as "within" or "part of".
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A comet is an icy, small Solar System body that, when passing close to the Sun, warms and begins to release gases, a process called outgassing. This produces a visible atmosphere or coma, and sometimes also a tail. These phenomena are due to the effects of solar radiation and the solar wind acting upon the nucleus of the comet. Comet nuclei range from a few hundred meters to tens of kilometers across and are composed of loose collections of ice, dust, and small rocky particles. The coma may be up to 15 times Earth's diameter, while the tail may stretch one astronomical unit. If sufficiently bright, a comet may be seen from Earth without the aid of a telescope and may subtend an arc of 30° (60 Moons) across the sky. Comets have been observed and recorded since ancient times by many cultures.
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Comets usually have highly eccentric elliptical orbits, and they have a wide range of orbital periods, ranging from several years to potentially several millions of years. Short-period comets originate in the Kuiper belt or its associated scattered disc, which lie beyond the orbit of Neptune. Long-period comets are thought to originate in the Oort cloud, a spherical cloud of icy bodies extending from outside the Kuiper belt to halfway to the nearest star.[1] Long-period comets are set in motion towards the Sun from the Oort cloud by gravitational perturbations caused by passing stars and the galactic tide. Hyperbolic comets may pass once through the inner Solar System before being flung to interstellar space. The appearance of a comet is called an apparition.
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Comets are distinguished from asteroids by the presence of an extended, gravitationally unbound atmosphere surrounding their central nucleus. This atmosphere has parts termed the coma (the central part immediately surrounding the nucleus) and the tail (a typically linear section consisting of dust or gas blown out from the coma by the Sun's light pressure or outstreaming solar wind plasma). However, extinct comets that have passed close to the Sun many times have lost nearly all of their volatile ices and dust and may come to resemble small asteroids.[2] Asteroids are thought to have a different origin from comets, having formed inside the orbit of Jupiter rather than in the outer Solar System.[3][4] The discovery of main-belt comets and active centaur minor planets has blurred the distinction between asteroids and comets. In the early 21st century, the discovery of some minor bodies with long-period comet orbits, but characteristics of inner solar system asteroids, were called Manx comets. They are still classified as comets, such as C/2014 S3 (PANSTARRS).[5] 27 Manx comets were found from 2013 to 2017.[6]
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As of July 2019[update] there are 6,619 known comets,[7] a number that is steadily increasing as more are discovered. However, this represents only a tiny fraction of the total potential comet population, as the reservoir of comet-like bodies in the outer Solar System (in the Oort cloud) is estimated to be one trillion.[8][9] Roughly one comet per year is visible to the naked eye, though many of those are faint and unspectacular.[10] Particularly bright examples are called "great comets". Comets have been visited by unmanned probes such as the European Space Agency's Rosetta, which became the first to land a robotic spacecraft on a comet,[11] and NASA's Deep Impact, which blasted a crater on Comet Tempel 1 to study its interior.
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The word comet derives from the Old English cometa from the Latin comēta or comētēs. That, in turn, is a latinization of the Greek κομήτης ("wearing long hair"), and the Oxford English Dictionary notes that the term (ἀστὴρ) κομήτης already meant "long-haired star, comet" in Greek. Κομήτης was derived from κομᾶν ("to wear the hair long"), which was itself derived from κόμη ("the hair of the head") and was used to mean "the tail of a comet".[12][13]
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The astronomical symbol for comets is (in Unicode ☄ U+2604), consisting of a small disc with three hairlike extensions.[14]
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The solid, core structure of a comet is known as the nucleus. Cometary nuclei are composed of an amalgamation of rock, dust, water ice, and frozen carbon dioxide, carbon monoxide, methane, and ammonia.[15] As such, they are popularly described as "dirty snowballs" after Fred Whipple's model.[16] However, many comets have a higher dust content, leading them to be called "icy dirtballs".[17] The term "icy dirtballs" arose after observation of Comet 9P/Tempel 1 collision with an "impactor" probe sent by NASA Deep Impact mission in July 2005. Research conducted in 2014 suggests that comets are like "deep fried ice cream", in that their surfaces are formed of dense crystalline ice mixed with organic compounds, while the interior ice is colder and less dense.[18]
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The surface of the nucleus is generally dry, dusty or rocky, suggesting that the ices are hidden beneath a surface crust several metres thick. In addition to the gases already mentioned, the nuclei contain a variety of organic compounds, which may include methanol, hydrogen cyanide, formaldehyde, ethanol, ethane, and perhaps more complex molecules such as long-chain hydrocarbons and amino acids.[19][20] In 2009, it was confirmed that the amino acid glycine had been found in the comet dust recovered by NASA's Stardust mission.[21] In August 2011, a report, based on NASA studies of meteorites found on Earth, was published suggesting DNA and RNA components (adenine, guanine, and related organic molecules) may have been formed on asteroids and comets.[22][23]
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The outer surfaces of cometary nuclei have a very low albedo, making them among the least reflective objects found in the Solar System. The Giotto space probe found that the nucleus of Halley's Comet reflects about four percent of the light that falls on it,[24] and Deep Space 1 discovered that Comet Borrelly's surface reflects less than 3.0%;[24] by comparison, asphalt reflects seven percent. The dark surface material of the nucleus may consist of complex organic compounds. Solar heating drives off lighter volatile compounds, leaving behind larger organic compounds that tend to be very dark, like tar or crude oil. The low reflectivity of cometary surfaces causes them to absorb the heat that drives their outgassing processes.[25]
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Comet nuclei with radii of up to 30 kilometers (19 mi) have been observed,[26] but ascertaining their exact size is difficult.[27] The nucleus of 322P/SOHO is probably only 100–200 meters (330–660 ft) in diameter.[28] A lack of smaller comets being detected despite the increased sensitivity of instruments has led some to suggest that there is a real lack of comets smaller than 100 meters (330 ft) across.[29] Known comets have been estimated to have an average density of 0.6 g/cm3 (0.35 oz/cu in).[30] Because of their low mass, comet nuclei do not become spherical under their own gravity and therefore have irregular shapes.[31]
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Roughly six percent of the near-Earth asteroids are thought to be extinct nuclei of comets that no longer experience outgassing,[32] including 14827 Hypnos and 3552 Don Quixote.
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Results from the Rosetta and Philae spacecraft show that the nucleus of 67P/Churyumov–Gerasimenko has no magnetic field, which suggests that magnetism may not have played a role in the early formation of planetesimals.[33][34] Further, the ALICE spectrograph on Rosetta determined that electrons (within 1 km (0.62 mi) above the comet nucleus) produced from photoionization of water molecules by solar radiation, and not photons from the Sun as thought earlier, are responsible for the degradation of water and carbon dioxide molecules released from the comet nucleus into its coma.[35][36] Instruments on the Philae lander found at least sixteen organic compounds at the comet's surface, four of which (acetamide, acetone, methyl isocyanate and propionaldehyde) have been detected for the first time on a comet.[37][38][39]
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The streams of dust and gas thus released form a huge and extremely thin atmosphere around the comet called the "coma". The force exerted on the coma by the Sun's radiation pressure and solar wind cause an enormous "tail" to form pointing away from the Sun.[48]
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The coma is generally made of water and dust, with water making up to 90% of the volatiles that outflow from the nucleus when the comet is within 3 to 4 astronomical units (450,000,000 to 600,000,000 km; 280,000,000 to 370,000,000 mi) of the Sun.[49] The H2O parent molecule is destroyed primarily through photodissociation and to a much smaller extent photoionization, with the solar wind playing a minor role in the destruction of water compared to photochemistry.[49] Larger dust particles are left along the comet's orbital path whereas smaller particles are pushed away from the Sun into the comet's tail by light pressure.[50]
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Although the solid nucleus of comets is generally less than 60 kilometers (37 mi) across, the coma may be thousands or millions of kilometers across, sometimes becoming larger than the Sun.[51] For example, about a month after an outburst in October 2007, comet 17P/Holmes briefly had a tenuous dust atmosphere larger than the Sun.[52] The Great Comet of 1811 also had a coma roughly the diameter of the Sun.[53] Even though the coma can become quite large, its size can decrease about the time it crosses the orbit of Mars around 1.5 astronomical units (220,000,000 km; 140,000,000 mi) from the Sun.[53] At this distance the solar wind becomes strong enough to blow the gas and dust away from the coma, and in doing so enlarging the tail.[53] Ion tails have been observed to extend one astronomical unit (150 million km) or more.[52]
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Both the coma and tail are illuminated by the Sun and may become visible when a comet passes through the inner Solar System, the dust reflects sunlight directly while the gases glow from ionisation.[54] Most comets are too faint to be visible without the aid of a telescope, but a few each decade become bright enough to be visible to the naked eye.[55] Occasionally a comet may experience a huge and sudden outburst of gas and dust, during which the size of the coma greatly increases for a period of time. This happened in 2007 to Comet Holmes.[56]
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In 1996, comets were found to emit X-rays.[57] This greatly surprised astronomers because X-ray emission is usually associated with very high-temperature bodies. The X-rays are generated by the interaction between comets and the solar wind: when highly charged solar wind ions fly through a cometary atmosphere, they collide with cometary atoms and molecules, "stealing" one or more electrons from the atom in a process called "charge exchange". This exchange or transfer of an electron to the solar wind ion is followed by its de-excitation into the ground state of the ion by the emission of X-rays and far ultraviolet photons.[58]
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Bow shocks form as a result of the interaction between the solar wind and the cometary ionosphere, which is created by ionization of gases in the coma. As the comet approaches the Sun, increasing outgassing rates cause the coma to expand, and the sunlight ionizes gases in the coma. When the solar wind passes through this ion coma, the bow shock appears.
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The first observations were made in the 1980s and 90s as several spacecraft flew by comets 21P/Giacobini–Zinner,[59] 1P/Halley,[60] and 26P/Grigg–Skjellerup.[61] It was then found that the bow shocks at comets are wider and more gradual than the sharp planetary bow shocks seen at, for example, Earth. These observations were all made near perihelion when the bow shocks already were fully developed.
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The Rosetta spacecraft observed the bow shock at comet 67P/Churyumov–Gerasimenko at an early stage of bow shock development when the outgassing increased during the comet's journey toward the Sun. This young bow shock was called the "infant bow shock". The infant bow shock is asymmetric and, relative to the distance to the nucleus, wider than fully developed bow shocks.[62]
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In the outer Solar System, comets remain frozen and inactive and are extremely difficult or impossible to detect from Earth due to their small size. Statistical detections of inactive comet nuclei in the Kuiper belt have been reported from observations by the Hubble Space Telescope[63][64] but these detections have been questioned.[65][66] As a comet approaches the inner Solar System, solar radiation causes the volatile materials within the comet to vaporize and stream out of the nucleus, carrying dust away with them.
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The streams of dust and gas each form their own distinct tail, pointing in slightly different directions. The tail of dust is left behind in the comet's orbit in such a manner that it often forms a curved tail called the type II or dust tail.[54] At the same time, the ion or type I tail, made of gases, always points directly away from the Sun because this gas is more strongly affected by the solar wind than is dust, following magnetic field lines rather than an orbital trajectory.[67] On occasions—such as when Earth passes through a comet's orbital plane, the antitail, pointing in the opposite direction to the ion and dust tails, may be seen.[68]
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The observation of antitails contributed significantly to the discovery of solar wind.[69] The ion tail is formed as a result of the ionization by solar ultra-violet radiation of particles in the coma. Once the particles have been ionized, they attain a net positive electrical charge, which in turn gives rise to an "induced magnetosphere" around the comet. The comet and its induced magnetic field form an obstacle to outward flowing solar wind particles. Because the relative orbital speed of the comet and the solar wind is supersonic, a bow shock is formed upstream of the comet in the flow direction of the solar wind. In this bow shock, large concentrations of cometary ions (called "pick-up ions") congregate and act to "load" the solar magnetic field with plasma, such that the field lines "drape" around the comet forming the ion tail.[70]
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If the ion tail loading is sufficient, the magnetic field lines are squeezed together to the point where, at some distance along the ion tail, magnetic reconnection occurs. This leads to a "tail disconnection event".[70] This has been observed on a number of occasions, one notable event being recorded on 20 April 2007, when the ion tail of Encke's Comet was completely severed while the comet passed through a coronal mass ejection. This event was observed by the STEREO space probe.[71]
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In 2013, ESA scientists reported that the ionosphere of the planet Venus streams outwards in a manner similar to the ion tail seen streaming from a comet under similar conditions."[72][73]
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Uneven heating can cause newly generated gases to break out of a weak spot on the surface of comet's nucleus, like a geyser.[74] These streams of gas and dust can cause the nucleus to spin, and even split apart.[74] In 2010 it was revealed dry ice (frozen carbon dioxide) can power jets of material flowing out of a comet nucleus.[75] Infrared imaging of Hartley 2 shows such jets exiting and carrying with it dust grains into the coma.[76]
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Most comets are small Solar System bodies with elongated elliptical orbits that take them close to the Sun for a part of their orbit and then out into the further reaches of the Solar System for the remainder.[77] Comets are often classified according to the length of their orbital periods: The longer the period the more elongated the ellipse.
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Periodic comets or short-period comets are generally defined as those having orbital periods of less than 200 years.[78] They usually orbit more-or-less in the ecliptic plane in the same direction as the planets.[79] Their orbits typically take them out to the region of the outer planets (Jupiter and beyond) at aphelion; for example, the aphelion of Halley's Comet is a little beyond the orbit of Neptune. Comets whose aphelia are near a major planet's orbit are called its "family".[80] Such families are thought to arise from the planet capturing formerly long-period comets into shorter orbits.[81]
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At the shorter orbital period extreme, Encke's Comet has an orbit that does not reach the orbit of Jupiter, and is known as an Encke-type comet. Short-period comets with orbital periods less than 20 years and low inclinations (up to 30 degrees) to the ecliptic are called traditional Jupiter-family comets (JFCs).[82][83] Those like Halley, with orbital periods of between 20 and 200 years and inclinations extending from zero to more than 90 degrees, are called Halley-type comets (HTCs).[84][85] As of 2020[update], 91 HTCs have been observed,[86] compared with 685 identified JFCs.[87]
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Recently discovered main-belt comets form a distinct class, orbiting in more circular orbits within the asteroid belt.[88]
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Because their elliptical orbits frequently take them close to the giant planets, comets are subject to further gravitational perturbations.[89] Short-period comets have a tendency for their aphelia to coincide with a giant planet's semi-major axis, with the JFCs being the largest group.[83] It is clear that comets coming in from the Oort cloud often have their orbits strongly influenced by the gravity of giant planets as a result of a close encounter. Jupiter is the source of the greatest perturbations, being more than twice as massive as all the other planets combined. These perturbations can deflect long-period comets into shorter orbital periods.[90][91]
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Based on their orbital characteristics, short-period comets are thought to originate from the centaurs and the Kuiper belt/scattered disc[92] —a disk of objects in the trans-Neptunian region—whereas the source of long-period comets is thought to be the far more distant spherical Oort cloud (after the Dutch astronomer Jan Hendrik Oort who hypothesized its existence).[93] Vast swarms of comet-like bodies are thought to orbit the Sun in these distant regions in roughly circular orbits. Occasionally the gravitational influence of the outer planets (in the case of Kuiper belt objects) or nearby stars (in the case of Oort cloud objects) may throw one of these bodies into an elliptical orbit that takes it inwards toward the Sun to form a visible comet. Unlike the return of periodic comets, whose orbits have been established by previous observations, the appearance of new comets by this mechanism is unpredictable.[94] When flung into the orbit of the sun, and being continuously dragged towards it, tons of matter are stripped from the comets which greatly influence their lifetime; the more stripped, the shorter they live and vice versa.[95]
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Long-period comets have highly eccentric orbits and periods ranging from 200 years to thousands of years.[96] An eccentricity greater than 1 when near perihelion does not necessarily mean that a comet will leave the Solar System.[97] For example, Comet McNaught had a heliocentric osculating eccentricity of 1.000019 near its perihelion passage epoch in January 2007 but is bound to the Sun with roughly a 92,600-year orbit because the eccentricity drops below 1 as it moves farther from the Sun. The future orbit of a long-period comet is properly obtained when the osculating orbit is computed at an epoch after leaving the planetary region and is calculated with respect to the center of mass of the Solar System. By definition long-period comets remain gravitationally bound to the Sun; those comets that are ejected from the Solar System due to close passes by major planets are no longer properly considered as having "periods". The orbits of long-period comets take them far beyond the outer planets at aphelia, and the plane of their orbits need not lie near the ecliptic. Long-period comets such as Comet West and C/1999 F1 can have aphelion distances of nearly 70,000 AU (0.34 pc; 1.1 ly) with orbital periods estimated around 6 million years.
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Single-apparition or non-periodic comets are similar to long-period comets because they also have parabolic or slightly hyperbolic trajectories[96] when near perihelion in the inner Solar System. However, gravitational perturbations from giant planets cause their orbits to change. Single-apparition comets have a hyperbolic or parabolic osculating orbit which allows them to permanently exit the Solar System after a single pass of the Sun.[98] The Sun's Hill sphere has an unstable maximum boundary of 230,000 AU (1.1 pc; 3.6 ly).[99] Only a few hundred comets have been seen to reach a hyperbolic orbit (e > 1) when near perihelion[100] that using a heliocentric unperturbed two-body best-fit suggests they may escape the Solar System.
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As of 2019[update], only two objects have been discovered with an eccentricity significantly greater than one: 1I/ʻOumuamua and 2I/Borisov, indicating an origin outside the Solar System. While ʻOumuamua, with an eccentricity of about 1.2, showed no optical signs of cometary activity during its passage through the inner Solar System in October 2017, changes to its trajectory—which suggests outgassing—indicate that it is probably a comet.[101] On the other hand, 2I/Borisov, with an estimated eccentricity of about 3.36, has been observed to have the coma feature of comets, and is considered the first detected interstellar comet.[102][103] Comet C/1980 E1 had an orbital period of roughly 7.1 million years before the 1982 perihelion passage, but a 1980 encounter with Jupiter accelerated the comet giving it the largest eccentricity (1.057) of any known hyperbolic comet.[104] Comets not expected to return to the inner Solar System include C/1980 E1, C/2000 U5, C/2001 Q4 (NEAT), C/2009 R1, C/1956 R1, and C/2007 F1 (LONEOS).
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Some authorities use the term "periodic comet" to refer to any comet with a periodic orbit (that is, all short-period comets plus all long-period comets),[105] whereas others use it to mean exclusively short-period comets.[96] Similarly, although the literal meaning of "non-periodic comet" is the same as "single-apparition comet", some use it to mean all comets that are not "periodic" in the second sense (that is, to also include all comets with a period greater than 200 years).
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Early observations have revealed a few genuinely hyperbolic (i.e. non-periodic) trajectories, but no more than could be accounted for by perturbations from Jupiter. If comets pervaded interstellar space, they would be moving with velocities of the same order as the relative velocities of stars near the Sun (a few tens of km per second). If such objects entered the Solar System, they would have positive specific orbital energy and would be observed to have genuinely hyperbolic trajectories. A rough calculation shows that there might be four hyperbolic comets per century within Jupiter's orbit, give or take one and perhaps two orders of magnitude.[106]
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The Oort cloud is thought to occupy a vast space starting from between 2,000 and 5,000 AU (0.03 and 0.08 ly)[108] to as far as 50,000 AU (0.79 ly)[84] from the Sun. This cloud encases the celestial bodies that start at the middle of our solar system—the sun, all the way to outer limits of the Kuiper Belt. The Oort cloud consists of viable materials necessary for the creation of celestial bodies. The planets we have today, exist only because of the planetesimals (chunks of leftover space that assisted in the creation of planets) that were condensed and formed by the gravity of the sun. The eccentric made from these trapped planetesimals is why the Oort Cloud even exists.[109] Some estimates place the outer edge at between 100,000 and 200,000 AU (1.58 and 3.16 ly).[108] The region can be subdivided into a spherical outer Oort cloud of 20,000–50,000 AU (0.32–0.79 ly), and a doughnut-shaped inner cloud, the Hills cloud, of 2,000–20,000 AU (0.03–0.32 ly).[110] The outer cloud is only weakly bound to the Sun and supplies the long-period (and possibly Halley-type) comets that fall to inside the orbit of Neptune.[84] The inner Oort cloud is also known as the Hills cloud, named after J. G. Hills, who proposed its existence in 1981.[111] Models predict that the inner cloud should have tens or hundreds of times as many cometary nuclei as the outer halo;[111][112][113] it is seen as a possible source of new comets that resupply the relatively tenuous outer cloud as the latter's numbers are gradually depleted. The Hills cloud explains the continued existence of the Oort cloud after billions of years.[114]
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Exocomets beyond the Solar System have also been detected and may be common in the Milky Way.[115] The first exocomet system detected was around Beta Pictoris, a very young A-type main-sequence star, in 1987.[116][117] A total of 11 such exocomet systems have been identified as of 2013[update], using the absorption spectrum caused by the large clouds of gas emitted by comets when passing close to their star.[115][116] For ten years the Kepler Space Telescope was responsible for searching for planets and other forms outside of the solar system. The first transiting exocomets were found in February 2018 by a group consisting of professional astronomers and citizen scientists in light curves recorded by the Kepler Space Telescope.[118][119] After Kepler Space Telescope retired in October 2018, a new telescope called TESS Telescope has taken over Kepler's mission. Since the launch of TESS, astronomers have discovered the transits of comets around the star Beta Pictoris using a light curve from TESS.[120][121] Since TESS has taken over, astronomers have since been able to better distinguish exocomets with the spectroscopic method. New planets are detected by the white light curve method which is viewed as a symmetrical dip in the charts readings when a planet overshadows its parent star. However, after further evaluation of these light curves, it has been discovered that the asymmetrical patterns of the dips presented are caused by the tail of a comet or of hundreds of comets.[122]
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As a comet is heated during close passes to the Sun, outgassing of its icy components also releases solid debris too large to be swept away by radiation pressure and the solar wind.[123] If Earth's orbit sends it through that trail of debris, which is composed mostly of fine grains of rocky material, there is likely to be a meteor shower as Earth passes through. Denser trails of debris produce quick but intense meteor showers and less dense trails create longer but less intense showers. Typically, the density of the debris trail is related to how long ago the parent comet released the material.[124][125] The Perseid meteor shower, for example, occurs every year between 9 and 13 August, when Earth passes through the orbit of Comet Swift–Tuttle. Halley's Comet is the source of the Orionid shower in October.[126][127]
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Many comets and asteroids collided with Earth in its early stages. Many scientists think that comets bombarding the young Earth about 4 billion years ago brought the vast quantities of water that now fill Earth's oceans, or at least a significant portion of it. Others have cast doubt on this idea.[128] The detection of organic molecules, including polycyclic aromatic hydrocarbons,[18] in significant quantities in comets has led to speculation that comets or meteorites may have brought the precursors of life—or even life itself—to Earth.[129] In 2013 it was suggested that impacts between rocky and icy surfaces, such as comets, had the potential to create the amino acids that make up proteins through shock synthesis.[130] The speed at which the comets entered the atmosphere, combined with the magnitude of energy created after initial contact, allowed smaller molecules to condense into the larger macro-molecules that served as the foundation for life.[131] In 2015, scientists found significant amounts of molecular oxygen in the outgassings of comet 67P, suggesting that the molecule may occur more often than had been thought, and thus less an indicator of life as has been supposed.[132]
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It is suspected that comet impacts have, over long timescales, also delivered significant quantities of water to Earth's Moon, some of which may have survived as lunar ice.[133] Comet and meteoroid impacts are also thought to be responsible for the existence of tektites and australites.[134]
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Fear of comets as acts of God and signs of impending doom was highest in Europe from AD 1200 to 1650.[135] The year after the Great Comet of 1618, for example, Gotthard Arthusius published a pamphlet stating that it was a sign that the Day of Judgment was near.[136] He listed ten pages of comet-related disasters, including "earthquakes, floods, changes in river courses, hail storms, hot and dry weather, poor harvests, epidemics, war and treason and high prices". By 1700 most scholars concluded that such events occurred whether a comet was seen or not. Using Edmund Halley's records of comet sightings, however, William Whiston in 1711 wrote that the Great Comet of 1680 had a periodicity of 574 years and was responsible for the worldwide flood in the Book of Genesis, by pouring water on Earth. His announcement revived for another century fear of comets, now as direct threats to the world instead of signs of disasters.[135] Spectroscopic analysis in 1910 found the toxic gas cyanogen in the tail of Halley's Comet,[137] causing panicked buying of gas masks and quack "anti-comet pills" and "anti-comet umbrellas" by the public.[138]
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If a comet is traveling fast enough, it may leave the Solar System. Such comets follow the open path of a hyperbola, and as such they are called hyperbolic comets. To date, comets are only known to be ejected by interacting with another object in the Solar System, such as Jupiter.[139] An example of this is thought to be Comet C/1980 E1, which was shifted from a predicted orbit of 7.1 million years around the Sun, to a hyperbolic trajectory, after a 1980 close pass by the planet Jupiter.[140]
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Jupiter-family comets and long-period comets appear to follow very different fading laws. The JFCs are active over a lifetime of about 10,000 years or ~1,000 orbits whereas long-period comets fade much faster. Only 10% of the long-period comets survive more than 50 passages to small perihelion and only 1% of them survive more than 2,000 passages.[32] Eventually most of the volatile material contained in a comet nucleus evaporates, and the comet becomes a small, dark, inert lump of rock or rubble that can resemble an asteroid.[141] Some asteroids in elliptical orbits are now identified as extinct comets.[142][143][144][145] Roughly six percent of the near-Earth asteroids are thought to be extinct comet nuclei.[32]
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The nucleus of some comets may be fragile, a conclusion supported by the observation of comets splitting apart.[146] A significant cometary disruption was that of Comet Shoemaker–Levy 9, which was discovered in 1993. A close encounter in July 1992 had broken it into pieces, and over a period of six days in July 1994, these pieces fell into Jupiter's atmosphere—the first time astronomers had observed a collision between two objects in the Solar System.[147][148] Other splitting comets include 3D/Biela in 1846 and 73P/Schwassmann–Wachmann from 1995 to 2006.[149] Greek historian Ephorus reported that a comet split apart as far back as the winter of 372–373 BC.[150] Comets are suspected of splitting due to thermal stress, internal gas pressure, or impact.[151]
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Comets 42P/Neujmin and 53P/Van Biesbroeck appear to be fragments of a parent comet. Numerical integrations have shown that both comets had a rather close approach to Jupiter in January 1850, and that, before 1850, the two orbits were nearly identical.[152]
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Some comets have been observed to break up during their perihelion passage, including great comets West and Ikeya–Seki. Biela's Comet was one significant example, when it broke into two pieces during its passage through the perihelion in 1846. These two comets were seen separately in 1852, but never again afterward. Instead, spectacular meteor showers were seen in 1872 and 1885 when the comet should have been visible. A minor meteor shower, the Andromedids, occurs annually in November, and it is caused when Earth crosses the orbit of Biela's Comet.[153]
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Some comets meet a more spectacular end – either falling into the Sun[154] or smashing into a planet or other body. Collisions between comets and planets or moons were common in the early Solar System: some of the many craters on the Moon, for example, may have been caused by comets. A recent collision of a comet with a planet occurred in July 1994 when Comet Shoemaker–Levy 9 broke up into pieces and collided with Jupiter.[155]
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The names given to comets have followed several different conventions over the past two centuries. Prior to the early 20th century, most comets were simply referred to by the year when they appeared, sometimes with additional adjectives for particularly bright comets; thus, the "Great Comet of 1680", the "Great Comet of 1882", and the "Great January Comet of 1910".
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After Edmund Halley demonstrated that the comets of 1531, 1607, and 1682 were the same body and successfully predicted its return in 1759 by calculating its orbit, that comet became known as Halley's Comet.[157] Similarly, the second and third known periodic comets, Encke's Comet[158] and Biela's Comet,[159] were named after the astronomers who calculated their orbits rather than their original discoverers. Later, periodic comets were usually named after their discoverers, but comets that had appeared only once continued to be referred to by the year of their appearance.[160]
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In the early 20th century, the convention of naming comets after their discoverers became common, and this remains so today. A comet can be named after its discoverers, or an instrument or program that helped to find it.[160] For example, in 2019, astronomer Gennady Borisov observed a comet that appeared to have originated outside of the solar system, the comet was named C/2019 Q4 (Borisov) after him.
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From ancient sources, such as Chinese oracle bones, it is known that comets have been noticed by humans for millennia.[161] Until the sixteenth century, comets were usually considered bad omens of deaths of kings or noble men, or coming catastrophes, or even interpreted as attacks by heavenly beings against terrestrial inhabitants.[162][163] In the 11th century Bayeux Tapestry, Halley's Comet is depicted portending the death of Harold and the triumph of the Normans at the Battle of Hastings.[164]
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According to Norse Mythology, comets were actually a part of the Giant Ymir's skull. According to the tale, Odin and his brothers slew Ymir and set about constructing the world (Earth) from his corpse. They fashioned the oceans from his blood, the soil from his skin and muscles, vegetation from his hair, clouds from his brains, and the sky from his skull. Four dwarves, corresponding to the four cardinal points, held Ymir's skull aloft above the earth. Following this tale, comets in the sky, as believed by the Norse, were flakes of Ymir's skull falling from the sky and then disintegrating.[165]
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In India, by the 6th century astronomers believed that comets were celestial bodies that re-appeared periodically. This was the view expressed in the 6th century by the astronomers Varāhamihira and Bhadrabahu, and the 10th-century astronomer Bhaṭṭotpala listed the names and estimated periods of certain comets, but it is not known how these figures were calculated or how accurate they were.[166]
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In 1301, the Italian painter Giotto was the first person to accurately and anatomically portray a comet. In his work Adoration of the Magi, Giotto's depiction of Halley's Comet in the place of the Star of Bethlehem would go unmatched in accuracy until the 19th century and be bested only with the invention of photography.[164]
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Aristotle was the first known scientist to utilize various theories and observational facts to employ a consistent, structured cosmological theory of comets. He believed that comets were atmospheric phenomena, due to the fact that they could appear outside of the Zodiac and vary in brightness over the course of a few days. Aristotle's cometary theory arose from his observations and cosmological theory that everything in the cosmos is arranged in a distinct configuration.[167] Part of this configuration was a clear separation between the celestial and terrestrial, believing comets to be strictly associated with the latter. According to Aristotle comets must be within the sphere of the moon and clearly separated from the heavens. His theory on comets was widely accepted throughout the Middle Ages, despite several discoveries from various individuals challenging aspects of his work.[168] One notable challenger was Seneca, who questioned the logic of his predecessors sparking much debate among Aristotle's critics in the 16th and 17th centuries. Seneca thought comets to be more permanent than suggested by their brief flashes across the sky and provided thought provoking evidence of the celestial nature of comets .[168] He posed many questions regarding the validity of contemporary theories on comets, however, he did not author a substantial theory of his own.[169] Pliny the Elder believed that comets were connected with political unrest and death.[170] Pliny observed comets as "human like", often describing their tails with "long hair" or "long beard".[171] His system for classifying comets according to their color and shape was used for centuries.[172]
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Astrological interpretations of comets proceeded to take precedence clear into the 15th century, despite the presence of modern scientific astronomy beginning to take root. In the 1400s, comets continue to forewarn disaster as seen in the Luzerner Schilling chronicles and in the warnings of Pope Callixtus III.[164] Regiomontanus was the first to attempt to calculate Diurnal parallax by observing the great comet of 1472. His predictions were not very accurate, but they were conducted in the hopes of estimating the distance of a comet from the Earth.[172]
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In the 16th century, Tycho Brahe and Michael Maestlin demonstrated that comets must exist outside Earth's atmosphere by measuring the parallax of the Great Comet of 1577.[173] Within the precision of the measurements, this implied the comet must be at least four times more distant than from Earth to the Moon.[174][175] Based on observations in 1664, Giovanni Borelli recorded the longitudes and latitudes of comets that he observed, and suggested that cometary orbits may be parabolic.[176] Galileo Galilei one of the most renowned astronomers to date, even attempted writings on comets in The Assayer. He rejected Tycho Brahe's theories on the parallax of comets and claimed that they may be a mere optical illusion. Intrigued as early scientists were about the nature of comets, Galileo could not help but throw about his own theories despite little personal observation.[172] Kepler responded to these unjust criticisms in his work Hyperaspistes.
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Also occurring in the Early modern period was the study of comets and their astrological significance in medical disciplines. Many healers of this time considered medicine and astronomy to be inter-disciplinary, and employed their knowledge of comets and other astrological signs for diagnosing and treating patients.[177]
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Isaac Newton, in his Principia Mathematica of 1687, proved that an object moving under the influence of gravity must trace out an orbit shaped like one of the conic sections, and he demonstrated how to fit a comet's path through the sky to a parabolic orbit, using the comet of 1680 as an example.[178] Newton was one of the first to contribute to the physical understanding of the nature of comets.
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In 1705, Edmond Halley (1656–1742) applied Newton's method to twenty-three cometary apparitions that had occurred between 1337 and 1698. He noted that three of these, the comets of 1531, 1607, and 1682, had very similar orbital elements, and he was further able to account for the slight differences in their orbits in terms of gravitational perturbation caused by Jupiter and Saturn. Confident that these three apparitions had been three appearances of the same comet, he predicted that it would appear again in 1758–9.[179] Halley's predicted return date was later refined by a team of three French mathematicians: Alexis Clairaut, Joseph Lalande, and Nicole-Reine Lepaute, who predicted the date of the comet's 1759 perihelion to within one month's accuracy.[180][181] When the comet returned as predicted, it became known as Halley's Comet (with the modern designation of 1P/Halley). It will next appear in 2061.[182]
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In the 19th century, the Astronomical Observatory of Padova, was an epicenter in the observational study of comets. Led by Giovanni Santini (1787-1877) and followed by Giuseppe Lorenzoni (1843-1914), this observatory was devoted to classical astronomy, mainly to the new comets and planets orbit calculation, with the goal of compiling of a catalog of almost ten thousand stars. Situated in the Northern portion of Italy, observations from this observatory were key in establishing important geodetic, geographic, and astronomical calculations, such as the difference of longitude between Milan and Padua as well as Padua to Fiume.[183] In addition to these geographic observations, correspondence within the observatory, particularly between Santini and another astronomer Giuseppe Toaldo, about the importance of comet and planetary orbital observations.[184]
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Isaac Newton described comets as compact and durable solid bodies moving in oblique orbit and their tails as thin streams of vapor emitted by their nuclei, ignited or heated by the Sun. Newton suspected that comets were the origin of the life-supporting component of air.[185]
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James Thomson The Seasons (1730; 1748)[186]
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As early as the 18th century, some scientists had made correct hypotheses as to comets' physical composition. In 1755, Immanuel Kant hypothesized that comets are composed of some volatile substance, whose vaporization gives rise to their brilliant displays near perihelion.[187] In 1836, the German mathematician Friedrich Wilhelm Bessel, after observing streams of vapor during the appearance of Halley's Comet in 1835, proposed that the jet forces of evaporating material could be great enough to significantly alter a comet's orbit, and he argued that the non-gravitational movements of Encke's Comet resulted from this phenomenon.[188]
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In 1950, Fred Lawrence Whipple proposed that rather than being rocky objects containing some ice, comets were icy objects containing some dust and rock.[189] This "dirty snowball" model soon became accepted and appeared to be supported by the observations of an armada of spacecraft (including the European Space Agency's Giotto probe and the Soviet Union's Vega 1 and Vega 2) that flew through the coma of Halley's Comet in 1986, photographed the nucleus, and observed jets of evaporating material.[190]
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On 22 January 2014, ESA scientists reported the detection, for the first definitive time, of water vapor on the dwarf planet Ceres, the largest object in the asteroid belt.[191] The detection was made by using the far-infrared abilities of the Herschel Space Observatory.[192] The finding is unexpected because comets, not asteroids, are typically considered to "sprout jets and plumes". According to one of the scientists, "The lines are becoming more and more blurred between comets and asteroids."[192] On 11 August 2014, astronomers released studies, using the Atacama Large Millimeter/Submillimeter Array (ALMA) for the first time, that detailed the distribution of HCN, HNC, H2CO, and dust inside the comae of comets C/2012 F6 (Lemmon) and C/2012 S1 (ISON).[193][194]
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Approximately once a decade, a comet becomes bright enough to be noticed by a casual observer, leading such comets to be designated as great comets.[150] Predicting whether a comet will become a great comet is notoriously difficult, as many factors may cause a comet's brightness to depart drastically from predictions.[203] Broadly speaking, if a comet has a large and active nucleus, will pass close to the Sun, and is not obscured by the Sun as seen from Earth when at its brightest, it has a chance of becoming a great comet. However, Comet Kohoutek in 1973 fulfilled all the criteria and was expected to become spectacular but failed to do so.[204] Comet West, which appeared three years later, had much lower expectations but became an extremely impressive comet.[205]
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The Great Comet of 1577 is a well known example of a great comet. The Great Comet of 1577 passed near Earth as a non-periodic comet and was seen by many, including well-known astronomers Tycho Brahe and Taqi ad-Din. Observations of this comet led to several significant findings regarding cometary science, especially for Brahe.
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The late 20th century saw a lengthy gap without the appearance of any great comets, followed by the arrival of two in quick succession—Comet Hyakutake in 1996, followed by Hale–Bopp, which reached maximum brightness in 1997 having been discovered two years earlier. The first great comet of the 21st century was C/2006 P1 (McNaught), which became visible to naked eye observers in January 2007. It was the brightest in over 40 years.[206]
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A sungrazing comet is a comet that passes extremely close to the Sun at perihelion, generally within a few million kilometers.[207] Although small sungrazers can be completely evaporated during such a close approach to the Sun, larger sungrazers can survive many perihelion passages. However, the strong tidal forces they experience often lead to their fragmentation.[208]
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About 90% of the sungrazers observed with SOHO are members of the Kreutz group, which all originate from one giant comet that broke up into many smaller comets during its first passage through the inner Solar System.[209] The remainder contains some sporadic sungrazers, but four other related groups of comets have been identified among them: the Kracht, Kracht 2a, Marsden, and Meyer groups. The Marsden and Kracht groups both appear to be related to Comet 96P/Machholz, which is also the parent of two meteor streams, the Quadrantids and the Arietids.[210]
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Of the thousands of known comets, some exhibit unusual properties. Comet Encke (2P/Encke) orbits from outside the asteroid belt to just inside the orbit of the planet Mercury whereas the Comet 29P/Schwassmann–Wachmann currently travels in a nearly circular orbit entirely between the orbits of Jupiter and Saturn.[211] 2060 Chiron, whose unstable orbit is between Saturn and Uranus, was originally classified as an asteroid until a faint coma was noticed.[212] Similarly, Comet Shoemaker–Levy 2 was originally designated asteroid 1990 UL3.[213] (See also Fate of comets, above)
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Centaurs typically behave with characteristics of both asteroids and comets.[214] Centaurs can be classified as comets such as 60558 Echeclus, and 166P/NEAT. 166P/NEAT was discovered while it exhibited a coma, and so is classified as a comet despite its orbit, and 60558 Echeclus was discovered without a coma but later became active,[215] and was then classified as both a comet and an asteroid (174P/Echeclus). One plan for Cassini involved sending it to a centaur, but NASA decided to destroy it instead.[216]
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A comet may be discovered photographically using a wide-field telescope or visually with binoculars. However, even without access to optical equipment, it is still possible for the amateur astronomer to discover a sungrazing comet online by downloading images accumulated by some satellite observatories such as SOHO.[217] SOHO's 2000th comet was discovered by Polish amateur astronomer Michał Kusiak on 26 December 2010[218] and both discoverers of Hale–Bopp used amateur equipment (although Hale was not an amateur).
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A number of periodic comets discovered in earlier decades or previous centuries are now lost comets. Their orbits were never known well enough to predict future appearances or the comets have disintegrated. However, occasionally a "new" comet is discovered, and calculation of its orbit shows it to be an old "lost" comet. An example is Comet 11P/Tempel–Swift–LINEAR, discovered in 1869 but unobservable after 1908 because of perturbations by Jupiter. It was not found again until accidentally rediscovered by LINEAR in 2001.[219] There are at least 18 comets that fit this category.[220]
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The depiction of comets in popular culture is firmly rooted in the long Western tradition of seeing comets as harbingers of doom and as omens of world-altering change.[221] Halley's Comet alone has caused a slew of sensationalist publications of all sorts at each of its reappearances. It was especially noted that the birth and death of some notable persons coincided with separate appearances of the comet, such as with writers Mark Twain (who correctly speculated that he'd "go out with the comet" in 1910)[221] and Eudora Welty, to whose life Mary Chapin Carpenter dedicated the song "Halley Came to Jackson".[221]
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In times past, bright comets often inspired panic and hysteria in the general population, being thought of as bad omens. More recently, during the passage of Halley's Comet in 1910, Earth passed through the comet's tail, and erroneous newspaper reports inspired a fear that cyanogen in the tail might poison millions,[222] whereas the appearance of Comet Hale–Bopp in 1997 triggered the mass suicide of the Heaven's Gate cult.[223]
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In science fiction, the impact of comets has been depicted as a threat overcome by technology and heroism (as in the 1998 films Deep Impact and Armageddon), or as a trigger of global apocalypse (Lucifer's Hammer, 1979) or zombies (Night of the Comet, 1984).[221] In Jules Verne's Off on a Comet a group of people are stranded on a comet orbiting the Sun, while a large manned space expedition visits Halley's Comet in Sir Arthur C. Clarke's novel 2061: Odyssey Three.[224]
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Comet C2020F3 NEOWISE
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Comet C/2006 P1 (McNaught) taken from Victoria, Australia 2007
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The Great Comet of 1882 is a member of the Kreutz group
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Great Comet 1861
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Comet Hyakutake (X-ray, ROSAT satellite)
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"Active asteroid" 311P/PANSTARRS with several tails[225]
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Comet Siding Spring (Hubble; 11 March 2014)
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Mosaic of 20 comets discovered by the WISE space telescope
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NEOWISE – first four years of data starting in December 2013
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C/2011 W3 (Lovejoy) heads towards the Sun
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View from the impactor in its last moments before hitting Comet Tempel 1 during the Deep Impact mission
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NASA is developing a comet harpoon for returning samples to Earth
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Comet Encke loses its tail
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Solar System → Local Interstellar Cloud → Local Bubble → Gould Belt → Orion Arm → Milky Way → Milky Way subgroup → Local Group → Local Sheet → Virgo Supercluster → Laniakea Supercluster → Observable universe → UniverseEach arrow (→) may be read as "within" or "part of".
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en/1234.html.txt
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Comics is a medium used to express narratives or other ideas through images, usually combined with text. It typically takes the form of a sequence of panels of images. Textual devices such as speech balloons, captions, and onomatopoeia can indicate dialogue, narration, sound effects, or other information. The size and arrangement of panels contribute to narrative pacing. Cartooning and other forms of illustration are the most common image-making means in comics; fumetti is a form which uses photographic images. Common forms include comic strips, editorial and gag cartoons, and comic books. Since the late 20th century, bound volumes such as graphic novels, comic albums, and tankōbon have become increasingly common, while online webcomics have proliferated in the 21st century.
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The history of comics has followed different paths in different cultures. Scholars have posited a pre-history as far back as the Lascaux cave paintings in France. By the mid-20th century, comics flourished, particularly in the United States, western Europe (especially France and Belgium), and Japan. The history of European comics is often traced to Rodolphe Töpffer's cartoon strips of the 1830s, but the medium truly became popular in the 1930s following the success of strips and books such as The Adventures of Tintin. American comics emerged as a mass medium in the early 20th century with the advent of newspaper comic strips; magazine-style comic books followed in the 1930s, in which the superhero genre became prominent after Superman appeared in 1938. Histories of Japanese comics and cartooning (manga) propose origins as early as the 12th century. Modern comic strips emerged in Japan in the early 20th century, and the output of comics magazines and books rapidly expanded in the post-World War II era (1945–) with the popularity of cartoonists such as Osamu Tezuka (Astro Boy, et al.). Comics has had a lowbrow reputation for much of its history, but towards the end of the 20th century began to find greater acceptance with the public and academics.
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The term comics is used as a singular noun when it refers to the medium itself (e.g. "Comics is a visual art form"), but becomes plural when referring to works collectively (e.g. "Comics are popular reading material"). Though the term derives from the humorous (comic) work that predominated in early American newspaper comic strips, it has become standard for non-humorous works too. The alternate spelling comix – coined by the underground comix movement – is sometimes used to address these ambiguities.[1] In English, it is common to refer to the comics of different cultures by the terms used in their original languages, such as manga for Japanese comics, or bandes dessinées/B.D. for French-language comics.
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There is no consensus among theorists and historians on a definition of comics; some emphasize the combination of images and text, some sequentiality or other image relations, and others historical aspects, such as mass reproduction or the use of recurring characters. Increasing cross-pollination of concepts from different comics cultures and eras has only made definition more difficult.
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MangaHokusai, early 19th century
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Histoire de Monsieur CryptogameRodolphe Töpffer, 1830
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Ally Sloper in Some of the Mysteries of Loan and DiscountCharles Henry Ross, 1867
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The Yellow KidR.F. Outcault, 1898
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The European, American, and Japanese comics traditions have followed different paths.[2] Europeans have seen their tradition as beginning with the Swiss Rodolphe Töpffer from as early as 1827 and Americans have seen the origin of theirs in Richard F. Outcault's 1890s newspaper strip The Yellow Kid, though many Americans have come to recognize Töpffer's precedence.[3] Japan has a long history of satirical cartoons and comics leading up to the World War II era. The ukiyo-e artist Hokusai popularized the Japanese term for comics and cartooning, manga, in the early 19th century.[4] In the 1930s Harry "A" Chesler started a comics studio, which eventually at its height employed 40 artists working for 50 different publishers who helped make the comics medium flourish in "the Golden Age of Comics" after World War II.[5] In the post-war era modern Japanese comics began to flourish when Osamu Tezuka produced a prolific body of work.[6]Towards the close of the 20th century, these three traditions converged in a trend towards book-length comics: the comic album in Europe, the tankōbon[a] in Japan, and the graphic novel in the English-speaking countries.[2]
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Outside of these genealogies, comics theorists and historians have seen precedents for comics in the Lascaux cave paintings[7] in France (some of which appear to be chronological sequences of images), Egyptian hieroglyphs, Trajan's Column in Rome,[8] the 11th-century Norman Bayeux Tapestry,[9] the 1370 bois Protat woodcut, the 15th-century Ars moriendi and block books, Michelangelo's The Last Judgment in the Sistine Chapel,[8] and William Hogarth's 18th-century sequential engravings,[10] amongst others.[8][b]
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Illustrated humour periodicals were popular in 19th-century Britain, the earliest of which was the short-lived The Glasgow Looking Glass in 1825. The most popular was Punch,[12] which popularized the term cartoon for its humorous caricatures.[13] On occasion the cartoons in these magazines appeared in sequences;[12] the character Ally Sloper featured in the earliest serialized comic strip when the character began to feature in its own weekly magazine in 1884.[14]
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American comics developed out of such magazines as Puck, Judge, and Life. The success of illustrated humour supplements in the New York World and later the New York American, particularly Outcault's The Yellow Kid, led to the development of newspaper comic strips. Early Sunday strips were full-page[15] and often in colour. Between 1896 and 1901 cartoonists experimented with sequentiality, movement, and speech balloons.[16] A northworthy example is Gustave Verbeek, who wrote his comic series "The UpsideDowns of Old Man Muffaroo and Little Lady Lovekins" between 1903 and 1905. These comics were made in such a way that one could read the 6 panel comic, flip the book and keep reading. He made 64 such comics in total. In 2012 a remake of a selection of the comics was made by Marcus Ivarsson in the book 'In Uppåner med Lilla Lisen & Gamle Muppen'. (ISBN 978-91-7089-524-1)
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Shorter, black-and-white daily strips began to appear early in the 20th century, and became established in newspapers after the success in 1907 of Bud Fisher's Mutt and Jeff.[17] In Britain, the Amalgamated Press established a popular style of a sequence of images with text beneath them, including Illustrated Chips and Comic Cuts.[18] Humour strips predominated at first, and in the 1920s and 1930s strips with continuing stories in genres such as adventure and drama also became popular.[17]
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Thin periodicals called comic books appeared in the 1930s, at first reprinting newspaper comic strips; by the end of the decade, original content began to dominate.[19] The success in 1938 of Action Comics and its lead hero Superman marked the beginning of the Golden Age of Comic Books, in which the superhero genre was prominent.[20] In the UK and the Commonwealth, the DC Thomson-created Dandy (1937) and Beano (1938) became successful humor-based titles, with a combined circulation of over 2 million copies by the 1950s. Their characters, including "Dennis the Menace", "Desperate Dan" and "The Bash Street Kids" have been read by generations of British schoolboys.[21] The comics originally experimented with superheroes and action stories before settling on humorous strips featuring a mix of the Amalgamated Press and US comic book styles.[22]
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The popularity of superhero comic books declined following World War II,[23] while comic book sales continued to increase as other genres proliferated, such as romance, westerns, crime, horror, and humour.[24] Following a sales peak in the early 1950s, the content of comic books (particularly crime and horror) was subjected to scrutiny from parent groups and government agencies, which culminated in Senate hearings that led to the establishment of the Comics Code Authority self-censoring body.[25] The Code has been blamed for stunting the growth of American comics and maintaining its low status in American society for much of the remainder of the century.[26] Superheroes re-established themselves as the most prominent comic book genre by the early 1960s.[27] Underground comix challenged the Code and readers with adult, countercultural content in the late 1960s and early 1970s.[28] The underground gave birth to the alternative comics movement in the 1980s and its mature, often experimental content in non-superhero genres.[29]
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Comics in the US has had a lowbrow reputation stemming from its roots in mass culture; cultural elites sometimes saw popular culture as threatening culture and society. In the latter half of the 20th century, popular culture won greater acceptance, and the lines between high and low culture began to blur. Comics nevertheless continued to be stigmatized, as the medium was seen as entertainment for children and illiterates.[30]
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The graphic novel—book-length comics—began to gain attention after Will Eisner popularized the term with his book A Contract with God (1978).[31] The term became widely known with the public after the commercial success of Maus, Watchmen, and The Dark Knight Returns in the mid-1980s.[32] In the 21st century graphic novels became established in mainstream bookstores[33] and libraries[34] and webcomics became common.[35]
|
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The francophone Swiss Rodolphe Töpffer produced comic strips beginning in 1827,[8] and published theories behind the form.[36] Cartoons appeared widely in newspapers and magazines from the 19th century.[37] The success of Zig et Puce in 1925 popularized the use of speech balloons in European comics, after which Franco-Belgian comics began to dominate.[38] The Adventures of Tintin, with its signature clear line style,[39] was first serialized in newspaper comics supplements beginning in 1929,[40] and became an icon of Franco-Belgian comics.[41]
|
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Following the success of Le Journal de Mickey (1934–44),[42] dedicated comics magazines[43] and full-colour comic albums became the primary outlet for comics in the mid-20th century.[44] As in the US, at the time comics were seen as infantile and a threat to culture and literacy; commentators stated that "none bear up to the slightest serious analysis",[c] and that comics were "the sabotage of all art and all literature".[46][d]
|
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In the 1960s, the term bandes dessinées ("drawn strips") came into wide use in French to denote the medium.[47] Cartoonists began creating comics for mature audiences,[48] and the term "Ninth Art"[e] was coined, as comics began to attract public and academic attention as an artform.[49] A group including René Goscinny and Albert Uderzo founded the magazine Pilote in 1959 to give artists greater freedom over their work. Goscinny and Uderzo's The Adventures of Asterix appeared in it[50] and went on to become the best-selling French-language comics series.[51] From 1960, the satirical and taboo-breaking Hara-Kiri defied censorship laws in the countercultural spirit that led to the May 1968 events.[52]
|
44 |
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Frustration with censorship and editorial interference led to a group of Pilote cartoonists to found the adults-only L'Écho des savanes in 1972. Adult-oriented and experimental comics flourished in the 1970s, such as in the experimental science fiction of Mœbius and others in Métal hurlant, even mainstream publishers took to publishing prestige-format adult comics.[53]
|
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From the 1980s, mainstream sensibilities were reasserted and serialization became less common as the number of comics magazines decreased and many comics began to be published directly as albums.[54] Smaller publishers such as L'Association[55] that published longer works[56] in non-traditional formats[57] by auteur-istic creators also became common. Since the 1990s, mergers resulted in fewer large publishers, while smaller publishers proliferated. Sales overall continued to grow despite the trend towards a shrinking print market.[58]
|
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Japanese comics and cartooning (manga),[g] have a history that has been seen as far back as the anthropomorphic characters in the 12th-to-13th-century Chōjū-jinbutsu-giga, 17th-century toba-e and kibyōshi picture books,[62] and woodblock prints such as ukiyo-e which were popular between the 17th and 20th centuries. The kibyōshi contained examples of sequential images, movement lines,[63] and sound effects.[64]
|
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Illustrated magazines for Western expatriates introduced Western-style satirical cartoons to Japan in the late 19th century. New publications in both the Western and Japanese styles became popular, and at the end of the 1890s, American-style newspaper comics supplements began to appear in Japan,[65] as well as some American comic strips.[62] 1900 saw the debut of the Jiji Manga in the Jiji Shinpō newspaper—the first use of the word "manga" in its modern sense,[61] and where, in 1902, Rakuten Kitazawa began the first modern Japanese comic strip.[66] By the 1930s, comic strips were serialized in large-circulation monthly girls' and boys' magazine and collected into hardback volumes.[67]
|
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The modern era of comics in Japan began after World War II, propelled by the success of the serialized comics of the prolific Osamu Tezuka[68] and the comic strip Sazae-san.[69] Genres and audiences diversified over the following decades. Stories are usually first serialized in magazines which are often hundreds of pages thick and may contain over a dozen stories;[70] they are later compiled in tankōbon-format books.[71] At the turn of the 20th and 21st centuries, nearly a quarter of all printed material in Japan was comics.[72] Translations became extremely popular in foreign markets—in some cases equaling or surpassing the sales of domestic comics.[73]
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Comic strips are generally short, multipanel comics that traditionally most commonly appeared in newspapers. In the US, daily strips have normally occupied a single tier, while Sunday strips have been given multiple tiers. In the early 20th century, daily strips were typically in black-and-white and Sundays were usually in colour and often occupied a full page.[74]
|
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|
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Specialized comics periodicals formats vary greatly in different cultures. Comic books, primarily an American format, are thin periodicals[75] usually published in colour.[76] European and Japanese comics are frequently serialized in magazines—monthly or weekly in Europe,[61] and usually black-and-white and weekly in Japan.[77] Japanese comics magazine typically run to hundreds of pages.[78]
|
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|
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Book-length comics take different forms in different cultures. European comic albums are most commonly printed in A4-size[79] colour volumes.[44] In English-speaking countries, the trade paperback format originating from collected comic books have also been chosen for original material. Otherwise, bound volumes of comics are called graphic novels and are available in various formats. Despite incorporating the term "novel"—a term normally associated with fiction—"graphic novel" also refers to non-fiction and collections of short works.[80] Japanese comics are collected in volumes called tankōbon following magazine serialization.[81]
|
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Gag and editorial cartoons usually consist of a single panel, often incorporating a caption or speech balloon. Definitions of comics which emphasize sequence usually exclude gag, editorial, and other single-panel cartoons; they can be included in definitions that emphasize the combination of word and image.[82] Gag cartoons first began to proliferate in broadsheets published in Europe in the 18th and 19th centuries, and the term "cartoon"[h] was first used to describe them in 1843 in the British humour magazine Punch.[13]
|
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|
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Webcomics are comics that are available on the internet. They are able to reach large audiences, and new readers usually can access archived installments.[83] Webcomics can make use of an infinite canvas—meaning they are not constrained by size or dimensions of a page.[84]
|
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|
65 |
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Some consider storyboards[85] and wordless novels to be comics.[86] Film studios, especially in animation, often use sequences of images as guides for film sequences. These storyboards are not intended as an end product and are rarely seen by the public.[85] Wordless novels are books which use sequences of captionless images to deliver a narrative.[87]
|
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While almost all comics art is in some sense abbreviated, and also while every artist who has produced comics work brings their own individual approach to bear, some broader art styles have been identified. Comic strip artists Cliff Sterrett, Frank King, and Gus Arriola often used unusual, colorful backgrounds, sometimes veering into abstract art.
|
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The basic styles have been identified as realistic and cartoony, with a huge middle ground for which R. Fiore has coined the phrase liberal. Fiore has also expressed distaste with the terms realistic and cartoony, preferring the terms literal and freestyle, respectively.[88]
|
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Scott McCloud has created "The Big Triangle"[89] as a tool for thinking about comics art. He places the realistic representation in the bottom left corner, with iconic representation, or cartoony art, in the bottom right, and a third identifier, abstraction of image, at the apex of the triangle. This allows placement and grouping of artists by triangulation.
|
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McCloud also notes that in several traditions, there is a tendency to have the main characters drawn rather simplistic and cartoony, while the backgrounds and environment are depicted realistically. Thus, he argues, the reader easily identifies with the characters, (as they are similar to one's idea of self), whilst being immersed into a world, that's three-dimensional and textured.[91] Good examples of this phenomenon include Hergé's The Adventures of Tintin (in his "personal trademark" Ligne claire style), Will Eisner's Spirit and Osamu Tezuka's Buddha, among many others.
|
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|
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R. C. Harvey, 2001[82]
|
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Similar to the problems of defining literature and film,[92] no consensus has been reached on a definition of the comics medium,[93] and attempted definitions and descriptions have fallen prey to numerous exceptions.[94] Theorists such as Töpffer,[95] R.C. Harvey, Will Eisner,[96] David Carrier,[97] Alain Rey,[93] and Lawrence Grove emphasize the combination of text and images,[98] though there are prominent examples of pantomime comics throughout its history.[94] Other critics, such as Thierry Groensteen[98] and Scott McCloud, have emphasized the primacy of sequences of images.[99] Towards the close of the 20th century, different cultures' discoveries of each other's comics traditions, the rediscovery of forgotten early comics forms, and the rise of new forms made defining comics a more complicated task.[100]
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European comics studies began with Töpffer's theories of his own work in the 1840s, which emphasized panel transitions and the visual–verbal combination. No further progress was made until the 1970s.[101] Pierre Fresnault-Deruelle then took a semiotics approach to the study of comics, analyzing text–image relations, page-level image relations, and image discontinuities, or what Scott McCloud later dubbed "closure".[102] In 1987, Henri Vanlier introduced the term multicadre, or "multiframe", to refer to the comics page as a semantic unit.[103] By the 1990s, theorists such as Benoît Peeters and Thierry Groensteen turned attention to artists' poïetic creative choices.[102] Thierry Smolderen and Harry Morgan have held relativistic views of the definition of comics, a medium that has taken various, equally valid forms over its history. Morgan sees comics as a subset of "les littératures dessinées" (or "drawn literatures").[100] French theory has come to give special attention to the page, in distinction from American theories such as McCloud's which focus on panel-to-panel transitions.[103] Since the mid-2000s, Neil Cohn has begun analyzing how comics are understood using tools from cognitive science, extending beyond theory by using actual psychological and neuroscience experiments. This work has argued that sequential images and page layouts both use separate rule-bound "grammars" to be understood that extend beyond panel-to-panel transitions and categorical distinctions of types of layouts, and that the brain's comprehension of comics is similar to comprehending other domains, such as language and music.[104]
|
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Historical narratives of manga tend to focus either on its recent, post-WWII history, or on attempts to demonstrate deep roots in the past, such as to the Chōjū-jinbutsu-giga picture scroll of the 12th and 13th centuries, or the early 19th-century Hokusai Manga.[105] The first historical overview of Japanese comics was Seiki Hosokibara's Nihon Manga-Shi[i] in 1924.[106] Early post-war Japanese criticism was mostly of a left-wing political nature until the 1986 publication of Tomofusa Kure's Modern Manga: The Complete Picture,[j] which de-emphasized politics in favour of formal aspects, such as structure and a "grammar" of comics. The field of manga studies increased rapidly, with numerous books on the subject appearing in the 1990s.[107] Formal theories of manga have focused on developing a "manga expression theory",[k] with emphasis on spatial relationships in the structure of images on the page, distinguishing the medium from film or literature, in which the flow of time is the basic organizing element.[108] Comics studies courses have proliferated at Japanese universities, and Japan Society for Studies in Cartoon and Comics [ja][l] was established in 2001 to promote comics scholarship.[109] The publication of Frederik L. Schodt's Manga! Manga! The World of Japanese Comics in 1983 led to the spread of use of the word manga outside Japan to mean "Japanese comics" or "Japanese-style comics".[110]
|
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Coulton Waugh attempted the first comprehensive history of American comics with The Comics (1947).[111] Will Eisner's Comics and Sequential Art (1985) and Scott McCloud's Understanding Comics (1993) were early attempts in English to formalize the study of comics. David Carrier's The Aesthetics of Comics (2000) was the first full-length treatment of comics from a philosophical perspective.[112] Prominent American attempts at definitions of comics include Eisner's, McCloud's, and Harvey's. Eisner described what he called "sequential art" as "the arrangement of pictures or images and words to narrate a story or dramatize an idea";[113] Scott McCloud defined comics as "juxtaposed pictorial and other images in deliberate sequence, intended to convey information and/or to produce an aesthetic response in the viewer",[114] a strictly formal definition which detached comics from its historical and cultural trappings.[115] R.C. Harvey defined comics as "pictorial narratives or expositions in which words (often lettered into the picture area within speech balloons) usually contribute to the meaning of the pictures and vice versa".[116] Each definition has had its detractors. Harvey saw McCloud's definition as excluding single-panel cartoons,[117] and objected to McCloud's de-emphasizing verbal elements, insisting "the essential characteristic of comics is the incorporation of verbal content".[103] Aaron Meskin saw McCloud's theories as an artificial attempt to legitimize the place of comics in art history.[96]
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Cross-cultural study of comics is complicated by the great difference in meaning and scope of the words for "comics" in different languages.[118] The French term for comics, bandes dessinées ("drawn strip") emphasizes the juxtaposition of drawn images as a defining factor,[119] which can imply the exclusion of even photographic comics.[120] The term manga is used in Japanese to indicate all forms of comics, cartooning,[121] and caricature.[122]
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The term comics refers to the comics medium when used as an uncountable noun and thus takes the singular: "comics is a medium" rather than "comics are a medium". When comic appears as a countable noun it refers to instances of the medium, such as individual comic strips or comic books: "Tom's comics are in the basement."[123]
|
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Panels are individual images containing a segment of action,[124] often surrounded by a border.[125] Prime moments in a narrative are broken down into panels via a process called encapsulation.[126] The reader puts the pieces together via the process of closure by using background knowledge and an understanding of panel relations to combine panels mentally into events.[127] The size, shape, and arrangement of panels each affect the timing and pacing of the narrative.[128] The contents of a panel may be asynchronous, with events depicted in the same image not necessarily occurring at the same time.[129]
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Text is frequently incorporated into comics via speech balloons, captions, and sound effects. Speech balloons indicate dialogue (or thought, in the case of thought balloons), with tails pointing at their respective speakers.[130] Captions can give voice to a narrator, convey characters' dialogue or thoughts,[131] or indicate place or time.[132] Speech balloons themselves are strongly associated with comics, such that the addition of one to an image is sufficient to turn the image into comics.[133] Sound effects mimic non-vocal sounds textually using onomatopoeia sound-words.[134]
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Cartooning is most frequently used in making comics, traditionally using ink (especially India ink) with dip pens or ink brushes;[135] mixed media and digital technology have become common. Cartooning techniques such as motion lines[136] and abstract symbols are often employed.[137]
|
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While comics are often the work of a single creator, the labour of making them is frequently divided between a number of specialists. There may be separate writers and artists, and artists may specialize in parts of the artwork such as characters or backgrounds, as is common in Japan.[138] Particularly in American superhero comic books,[139] the art may be divided between a penciller, who lays out the artwork in pencil;[140] an inker, who finishes the artwork in ink;[141] a colourist;[142] and a letterer, who adds the captions and speech balloons.[143]
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The English-language term comics derives from the humorous (or "comic") work which predominated in early American newspaper comic strips; usage of the term has become standard for non-humorous works as well. The term "comic book" has a similarly confusing history: they are most often not humorous; nor are they regular books, but rather periodicals.[144] It is common in English to refer to the comics of different cultures by the terms used in their original languages, such as manga for Japanese comics, or bandes dessinées for French-language Franco-Belgian comics.[145]
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Many cultures have taken their words for comics from English, including Russian (Комикс, komiks)[146] and German (comic).[147] Similarly, the Chinese term manhua[148] and the Korean manhwa[149] derive from the Chinese characters with which the Japanese term manga is written.[150]
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Academic journals
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Comics is a medium used to express narratives or other ideas through images, usually combined with text. It typically takes the form of a sequence of panels of images. Textual devices such as speech balloons, captions, and onomatopoeia can indicate dialogue, narration, sound effects, or other information. The size and arrangement of panels contribute to narrative pacing. Cartooning and other forms of illustration are the most common image-making means in comics; fumetti is a form which uses photographic images. Common forms include comic strips, editorial and gag cartoons, and comic books. Since the late 20th century, bound volumes such as graphic novels, comic albums, and tankōbon have become increasingly common, while online webcomics have proliferated in the 21st century.
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The history of comics has followed different paths in different cultures. Scholars have posited a pre-history as far back as the Lascaux cave paintings in France. By the mid-20th century, comics flourished, particularly in the United States, western Europe (especially France and Belgium), and Japan. The history of European comics is often traced to Rodolphe Töpffer's cartoon strips of the 1830s, but the medium truly became popular in the 1930s following the success of strips and books such as The Adventures of Tintin. American comics emerged as a mass medium in the early 20th century with the advent of newspaper comic strips; magazine-style comic books followed in the 1930s, in which the superhero genre became prominent after Superman appeared in 1938. Histories of Japanese comics and cartooning (manga) propose origins as early as the 12th century. Modern comic strips emerged in Japan in the early 20th century, and the output of comics magazines and books rapidly expanded in the post-World War II era (1945–) with the popularity of cartoonists such as Osamu Tezuka (Astro Boy, et al.). Comics has had a lowbrow reputation for much of its history, but towards the end of the 20th century began to find greater acceptance with the public and academics.
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The term comics is used as a singular noun when it refers to the medium itself (e.g. "Comics is a visual art form"), but becomes plural when referring to works collectively (e.g. "Comics are popular reading material"). Though the term derives from the humorous (comic) work that predominated in early American newspaper comic strips, it has become standard for non-humorous works too. The alternate spelling comix – coined by the underground comix movement – is sometimes used to address these ambiguities.[1] In English, it is common to refer to the comics of different cultures by the terms used in their original languages, such as manga for Japanese comics, or bandes dessinées/B.D. for French-language comics.
|
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9 |
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There is no consensus among theorists and historians on a definition of comics; some emphasize the combination of images and text, some sequentiality or other image relations, and others historical aspects, such as mass reproduction or the use of recurring characters. Increasing cross-pollination of concepts from different comics cultures and eras has only made definition more difficult.
|
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MangaHokusai, early 19th century
|
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Histoire de Monsieur CryptogameRodolphe Töpffer, 1830
|
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Ally Sloper in Some of the Mysteries of Loan and DiscountCharles Henry Ross, 1867
|
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|
17 |
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The Yellow KidR.F. Outcault, 1898
|
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The European, American, and Japanese comics traditions have followed different paths.[2] Europeans have seen their tradition as beginning with the Swiss Rodolphe Töpffer from as early as 1827 and Americans have seen the origin of theirs in Richard F. Outcault's 1890s newspaper strip The Yellow Kid, though many Americans have come to recognize Töpffer's precedence.[3] Japan has a long history of satirical cartoons and comics leading up to the World War II era. The ukiyo-e artist Hokusai popularized the Japanese term for comics and cartooning, manga, in the early 19th century.[4] In the 1930s Harry "A" Chesler started a comics studio, which eventually at its height employed 40 artists working for 50 different publishers who helped make the comics medium flourish in "the Golden Age of Comics" after World War II.[5] In the post-war era modern Japanese comics began to flourish when Osamu Tezuka produced a prolific body of work.[6]Towards the close of the 20th century, these three traditions converged in a trend towards book-length comics: the comic album in Europe, the tankōbon[a] in Japan, and the graphic novel in the English-speaking countries.[2]
|
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Outside of these genealogies, comics theorists and historians have seen precedents for comics in the Lascaux cave paintings[7] in France (some of which appear to be chronological sequences of images), Egyptian hieroglyphs, Trajan's Column in Rome,[8] the 11th-century Norman Bayeux Tapestry,[9] the 1370 bois Protat woodcut, the 15th-century Ars moriendi and block books, Michelangelo's The Last Judgment in the Sistine Chapel,[8] and William Hogarth's 18th-century sequential engravings,[10] amongst others.[8][b]
|
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Illustrated humour periodicals were popular in 19th-century Britain, the earliest of which was the short-lived The Glasgow Looking Glass in 1825. The most popular was Punch,[12] which popularized the term cartoon for its humorous caricatures.[13] On occasion the cartoons in these magazines appeared in sequences;[12] the character Ally Sloper featured in the earliest serialized comic strip when the character began to feature in its own weekly magazine in 1884.[14]
|
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American comics developed out of such magazines as Puck, Judge, and Life. The success of illustrated humour supplements in the New York World and later the New York American, particularly Outcault's The Yellow Kid, led to the development of newspaper comic strips. Early Sunday strips were full-page[15] and often in colour. Between 1896 and 1901 cartoonists experimented with sequentiality, movement, and speech balloons.[16] A northworthy example is Gustave Verbeek, who wrote his comic series "The UpsideDowns of Old Man Muffaroo and Little Lady Lovekins" between 1903 and 1905. These comics were made in such a way that one could read the 6 panel comic, flip the book and keep reading. He made 64 such comics in total. In 2012 a remake of a selection of the comics was made by Marcus Ivarsson in the book 'In Uppåner med Lilla Lisen & Gamle Muppen'. (ISBN 978-91-7089-524-1)
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|
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Shorter, black-and-white daily strips began to appear early in the 20th century, and became established in newspapers after the success in 1907 of Bud Fisher's Mutt and Jeff.[17] In Britain, the Amalgamated Press established a popular style of a sequence of images with text beneath them, including Illustrated Chips and Comic Cuts.[18] Humour strips predominated at first, and in the 1920s and 1930s strips with continuing stories in genres such as adventure and drama also became popular.[17]
|
30 |
+
|
31 |
+
Thin periodicals called comic books appeared in the 1930s, at first reprinting newspaper comic strips; by the end of the decade, original content began to dominate.[19] The success in 1938 of Action Comics and its lead hero Superman marked the beginning of the Golden Age of Comic Books, in which the superhero genre was prominent.[20] In the UK and the Commonwealth, the DC Thomson-created Dandy (1937) and Beano (1938) became successful humor-based titles, with a combined circulation of over 2 million copies by the 1950s. Their characters, including "Dennis the Menace", "Desperate Dan" and "The Bash Street Kids" have been read by generations of British schoolboys.[21] The comics originally experimented with superheroes and action stories before settling on humorous strips featuring a mix of the Amalgamated Press and US comic book styles.[22]
|
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The popularity of superhero comic books declined following World War II,[23] while comic book sales continued to increase as other genres proliferated, such as romance, westerns, crime, horror, and humour.[24] Following a sales peak in the early 1950s, the content of comic books (particularly crime and horror) was subjected to scrutiny from parent groups and government agencies, which culminated in Senate hearings that led to the establishment of the Comics Code Authority self-censoring body.[25] The Code has been blamed for stunting the growth of American comics and maintaining its low status in American society for much of the remainder of the century.[26] Superheroes re-established themselves as the most prominent comic book genre by the early 1960s.[27] Underground comix challenged the Code and readers with adult, countercultural content in the late 1960s and early 1970s.[28] The underground gave birth to the alternative comics movement in the 1980s and its mature, often experimental content in non-superhero genres.[29]
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Comics in the US has had a lowbrow reputation stemming from its roots in mass culture; cultural elites sometimes saw popular culture as threatening culture and society. In the latter half of the 20th century, popular culture won greater acceptance, and the lines between high and low culture began to blur. Comics nevertheless continued to be stigmatized, as the medium was seen as entertainment for children and illiterates.[30]
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The graphic novel—book-length comics—began to gain attention after Will Eisner popularized the term with his book A Contract with God (1978).[31] The term became widely known with the public after the commercial success of Maus, Watchmen, and The Dark Knight Returns in the mid-1980s.[32] In the 21st century graphic novels became established in mainstream bookstores[33] and libraries[34] and webcomics became common.[35]
|
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The francophone Swiss Rodolphe Töpffer produced comic strips beginning in 1827,[8] and published theories behind the form.[36] Cartoons appeared widely in newspapers and magazines from the 19th century.[37] The success of Zig et Puce in 1925 popularized the use of speech balloons in European comics, after which Franco-Belgian comics began to dominate.[38] The Adventures of Tintin, with its signature clear line style,[39] was first serialized in newspaper comics supplements beginning in 1929,[40] and became an icon of Franco-Belgian comics.[41]
|
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Following the success of Le Journal de Mickey (1934–44),[42] dedicated comics magazines[43] and full-colour comic albums became the primary outlet for comics in the mid-20th century.[44] As in the US, at the time comics were seen as infantile and a threat to culture and literacy; commentators stated that "none bear up to the slightest serious analysis",[c] and that comics were "the sabotage of all art and all literature".[46][d]
|
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In the 1960s, the term bandes dessinées ("drawn strips") came into wide use in French to denote the medium.[47] Cartoonists began creating comics for mature audiences,[48] and the term "Ninth Art"[e] was coined, as comics began to attract public and academic attention as an artform.[49] A group including René Goscinny and Albert Uderzo founded the magazine Pilote in 1959 to give artists greater freedom over their work. Goscinny and Uderzo's The Adventures of Asterix appeared in it[50] and went on to become the best-selling French-language comics series.[51] From 1960, the satirical and taboo-breaking Hara-Kiri defied censorship laws in the countercultural spirit that led to the May 1968 events.[52]
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Frustration with censorship and editorial interference led to a group of Pilote cartoonists to found the adults-only L'Écho des savanes in 1972. Adult-oriented and experimental comics flourished in the 1970s, such as in the experimental science fiction of Mœbius and others in Métal hurlant, even mainstream publishers took to publishing prestige-format adult comics.[53]
|
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From the 1980s, mainstream sensibilities were reasserted and serialization became less common as the number of comics magazines decreased and many comics began to be published directly as albums.[54] Smaller publishers such as L'Association[55] that published longer works[56] in non-traditional formats[57] by auteur-istic creators also became common. Since the 1990s, mergers resulted in fewer large publishers, while smaller publishers proliferated. Sales overall continued to grow despite the trend towards a shrinking print market.[58]
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Japanese comics and cartooning (manga),[g] have a history that has been seen as far back as the anthropomorphic characters in the 12th-to-13th-century Chōjū-jinbutsu-giga, 17th-century toba-e and kibyōshi picture books,[62] and woodblock prints such as ukiyo-e which were popular between the 17th and 20th centuries. The kibyōshi contained examples of sequential images, movement lines,[63] and sound effects.[64]
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Illustrated magazines for Western expatriates introduced Western-style satirical cartoons to Japan in the late 19th century. New publications in both the Western and Japanese styles became popular, and at the end of the 1890s, American-style newspaper comics supplements began to appear in Japan,[65] as well as some American comic strips.[62] 1900 saw the debut of the Jiji Manga in the Jiji Shinpō newspaper—the first use of the word "manga" in its modern sense,[61] and where, in 1902, Rakuten Kitazawa began the first modern Japanese comic strip.[66] By the 1930s, comic strips were serialized in large-circulation monthly girls' and boys' magazine and collected into hardback volumes.[67]
|
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The modern era of comics in Japan began after World War II, propelled by the success of the serialized comics of the prolific Osamu Tezuka[68] and the comic strip Sazae-san.[69] Genres and audiences diversified over the following decades. Stories are usually first serialized in magazines which are often hundreds of pages thick and may contain over a dozen stories;[70] they are later compiled in tankōbon-format books.[71] At the turn of the 20th and 21st centuries, nearly a quarter of all printed material in Japan was comics.[72] Translations became extremely popular in foreign markets—in some cases equaling or surpassing the sales of domestic comics.[73]
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Comic strips are generally short, multipanel comics that traditionally most commonly appeared in newspapers. In the US, daily strips have normally occupied a single tier, while Sunday strips have been given multiple tiers. In the early 20th century, daily strips were typically in black-and-white and Sundays were usually in colour and often occupied a full page.[74]
|
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Specialized comics periodicals formats vary greatly in different cultures. Comic books, primarily an American format, are thin periodicals[75] usually published in colour.[76] European and Japanese comics are frequently serialized in magazines—monthly or weekly in Europe,[61] and usually black-and-white and weekly in Japan.[77] Japanese comics magazine typically run to hundreds of pages.[78]
|
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Book-length comics take different forms in different cultures. European comic albums are most commonly printed in A4-size[79] colour volumes.[44] In English-speaking countries, the trade paperback format originating from collected comic books have also been chosen for original material. Otherwise, bound volumes of comics are called graphic novels and are available in various formats. Despite incorporating the term "novel"—a term normally associated with fiction—"graphic novel" also refers to non-fiction and collections of short works.[80] Japanese comics are collected in volumes called tankōbon following magazine serialization.[81]
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Gag and editorial cartoons usually consist of a single panel, often incorporating a caption or speech balloon. Definitions of comics which emphasize sequence usually exclude gag, editorial, and other single-panel cartoons; they can be included in definitions that emphasize the combination of word and image.[82] Gag cartoons first began to proliferate in broadsheets published in Europe in the 18th and 19th centuries, and the term "cartoon"[h] was first used to describe them in 1843 in the British humour magazine Punch.[13]
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Webcomics are comics that are available on the internet. They are able to reach large audiences, and new readers usually can access archived installments.[83] Webcomics can make use of an infinite canvas—meaning they are not constrained by size or dimensions of a page.[84]
|
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Some consider storyboards[85] and wordless novels to be comics.[86] Film studios, especially in animation, often use sequences of images as guides for film sequences. These storyboards are not intended as an end product and are rarely seen by the public.[85] Wordless novels are books which use sequences of captionless images to deliver a narrative.[87]
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While almost all comics art is in some sense abbreviated, and also while every artist who has produced comics work brings their own individual approach to bear, some broader art styles have been identified. Comic strip artists Cliff Sterrett, Frank King, and Gus Arriola often used unusual, colorful backgrounds, sometimes veering into abstract art.
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The basic styles have been identified as realistic and cartoony, with a huge middle ground for which R. Fiore has coined the phrase liberal. Fiore has also expressed distaste with the terms realistic and cartoony, preferring the terms literal and freestyle, respectively.[88]
|
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Scott McCloud has created "The Big Triangle"[89] as a tool for thinking about comics art. He places the realistic representation in the bottom left corner, with iconic representation, or cartoony art, in the bottom right, and a third identifier, abstraction of image, at the apex of the triangle. This allows placement and grouping of artists by triangulation.
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McCloud also notes that in several traditions, there is a tendency to have the main characters drawn rather simplistic and cartoony, while the backgrounds and environment are depicted realistically. Thus, he argues, the reader easily identifies with the characters, (as they are similar to one's idea of self), whilst being immersed into a world, that's three-dimensional and textured.[91] Good examples of this phenomenon include Hergé's The Adventures of Tintin (in his "personal trademark" Ligne claire style), Will Eisner's Spirit and Osamu Tezuka's Buddha, among many others.
|
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R. C. Harvey, 2001[82]
|
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Similar to the problems of defining literature and film,[92] no consensus has been reached on a definition of the comics medium,[93] and attempted definitions and descriptions have fallen prey to numerous exceptions.[94] Theorists such as Töpffer,[95] R.C. Harvey, Will Eisner,[96] David Carrier,[97] Alain Rey,[93] and Lawrence Grove emphasize the combination of text and images,[98] though there are prominent examples of pantomime comics throughout its history.[94] Other critics, such as Thierry Groensteen[98] and Scott McCloud, have emphasized the primacy of sequences of images.[99] Towards the close of the 20th century, different cultures' discoveries of each other's comics traditions, the rediscovery of forgotten early comics forms, and the rise of new forms made defining comics a more complicated task.[100]
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European comics studies began with Töpffer's theories of his own work in the 1840s, which emphasized panel transitions and the visual–verbal combination. No further progress was made until the 1970s.[101] Pierre Fresnault-Deruelle then took a semiotics approach to the study of comics, analyzing text–image relations, page-level image relations, and image discontinuities, or what Scott McCloud later dubbed "closure".[102] In 1987, Henri Vanlier introduced the term multicadre, or "multiframe", to refer to the comics page as a semantic unit.[103] By the 1990s, theorists such as Benoît Peeters and Thierry Groensteen turned attention to artists' poïetic creative choices.[102] Thierry Smolderen and Harry Morgan have held relativistic views of the definition of comics, a medium that has taken various, equally valid forms over its history. Morgan sees comics as a subset of "les littératures dessinées" (or "drawn literatures").[100] French theory has come to give special attention to the page, in distinction from American theories such as McCloud's which focus on panel-to-panel transitions.[103] Since the mid-2000s, Neil Cohn has begun analyzing how comics are understood using tools from cognitive science, extending beyond theory by using actual psychological and neuroscience experiments. This work has argued that sequential images and page layouts both use separate rule-bound "grammars" to be understood that extend beyond panel-to-panel transitions and categorical distinctions of types of layouts, and that the brain's comprehension of comics is similar to comprehending other domains, such as language and music.[104]
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Historical narratives of manga tend to focus either on its recent, post-WWII history, or on attempts to demonstrate deep roots in the past, such as to the Chōjū-jinbutsu-giga picture scroll of the 12th and 13th centuries, or the early 19th-century Hokusai Manga.[105] The first historical overview of Japanese comics was Seiki Hosokibara's Nihon Manga-Shi[i] in 1924.[106] Early post-war Japanese criticism was mostly of a left-wing political nature until the 1986 publication of Tomofusa Kure's Modern Manga: The Complete Picture,[j] which de-emphasized politics in favour of formal aspects, such as structure and a "grammar" of comics. The field of manga studies increased rapidly, with numerous books on the subject appearing in the 1990s.[107] Formal theories of manga have focused on developing a "manga expression theory",[k] with emphasis on spatial relationships in the structure of images on the page, distinguishing the medium from film or literature, in which the flow of time is the basic organizing element.[108] Comics studies courses have proliferated at Japanese universities, and Japan Society for Studies in Cartoon and Comics [ja][l] was established in 2001 to promote comics scholarship.[109] The publication of Frederik L. Schodt's Manga! Manga! The World of Japanese Comics in 1983 led to the spread of use of the word manga outside Japan to mean "Japanese comics" or "Japanese-style comics".[110]
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Coulton Waugh attempted the first comprehensive history of American comics with The Comics (1947).[111] Will Eisner's Comics and Sequential Art (1985) and Scott McCloud's Understanding Comics (1993) were early attempts in English to formalize the study of comics. David Carrier's The Aesthetics of Comics (2000) was the first full-length treatment of comics from a philosophical perspective.[112] Prominent American attempts at definitions of comics include Eisner's, McCloud's, and Harvey's. Eisner described what he called "sequential art" as "the arrangement of pictures or images and words to narrate a story or dramatize an idea";[113] Scott McCloud defined comics as "juxtaposed pictorial and other images in deliberate sequence, intended to convey information and/or to produce an aesthetic response in the viewer",[114] a strictly formal definition which detached comics from its historical and cultural trappings.[115] R.C. Harvey defined comics as "pictorial narratives or expositions in which words (often lettered into the picture area within speech balloons) usually contribute to the meaning of the pictures and vice versa".[116] Each definition has had its detractors. Harvey saw McCloud's definition as excluding single-panel cartoons,[117] and objected to McCloud's de-emphasizing verbal elements, insisting "the essential characteristic of comics is the incorporation of verbal content".[103] Aaron Meskin saw McCloud's theories as an artificial attempt to legitimize the place of comics in art history.[96]
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Cross-cultural study of comics is complicated by the great difference in meaning and scope of the words for "comics" in different languages.[118] The French term for comics, bandes dessinées ("drawn strip") emphasizes the juxtaposition of drawn images as a defining factor,[119] which can imply the exclusion of even photographic comics.[120] The term manga is used in Japanese to indicate all forms of comics, cartooning,[121] and caricature.[122]
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The term comics refers to the comics medium when used as an uncountable noun and thus takes the singular: "comics is a medium" rather than "comics are a medium". When comic appears as a countable noun it refers to instances of the medium, such as individual comic strips or comic books: "Tom's comics are in the basement."[123]
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Panels are individual images containing a segment of action,[124] often surrounded by a border.[125] Prime moments in a narrative are broken down into panels via a process called encapsulation.[126] The reader puts the pieces together via the process of closure by using background knowledge and an understanding of panel relations to combine panels mentally into events.[127] The size, shape, and arrangement of panels each affect the timing and pacing of the narrative.[128] The contents of a panel may be asynchronous, with events depicted in the same image not necessarily occurring at the same time.[129]
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Text is frequently incorporated into comics via speech balloons, captions, and sound effects. Speech balloons indicate dialogue (or thought, in the case of thought balloons), with tails pointing at their respective speakers.[130] Captions can give voice to a narrator, convey characters' dialogue or thoughts,[131] or indicate place or time.[132] Speech balloons themselves are strongly associated with comics, such that the addition of one to an image is sufficient to turn the image into comics.[133] Sound effects mimic non-vocal sounds textually using onomatopoeia sound-words.[134]
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Cartooning is most frequently used in making comics, traditionally using ink (especially India ink) with dip pens or ink brushes;[135] mixed media and digital technology have become common. Cartooning techniques such as motion lines[136] and abstract symbols are often employed.[137]
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While comics are often the work of a single creator, the labour of making them is frequently divided between a number of specialists. There may be separate writers and artists, and artists may specialize in parts of the artwork such as characters or backgrounds, as is common in Japan.[138] Particularly in American superhero comic books,[139] the art may be divided between a penciller, who lays out the artwork in pencil;[140] an inker, who finishes the artwork in ink;[141] a colourist;[142] and a letterer, who adds the captions and speech balloons.[143]
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The English-language term comics derives from the humorous (or "comic") work which predominated in early American newspaper comic strips; usage of the term has become standard for non-humorous works as well. The term "comic book" has a similarly confusing history: they are most often not humorous; nor are they regular books, but rather periodicals.[144] It is common in English to refer to the comics of different cultures by the terms used in their original languages, such as manga for Japanese comics, or bandes dessinées for French-language Franco-Belgian comics.[145]
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Many cultures have taken their words for comics from English, including Russian (Комикс, komiks)[146] and German (comic).[147] Similarly, the Chinese term manhua[148] and the Korean manhwa[149] derive from the Chinese characters with which the Japanese term manga is written.[150]
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Academic journals
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Comics is a medium used to express narratives or other ideas through images, usually combined with text. It typically takes the form of a sequence of panels of images. Textual devices such as speech balloons, captions, and onomatopoeia can indicate dialogue, narration, sound effects, or other information. The size and arrangement of panels contribute to narrative pacing. Cartooning and other forms of illustration are the most common image-making means in comics; fumetti is a form which uses photographic images. Common forms include comic strips, editorial and gag cartoons, and comic books. Since the late 20th century, bound volumes such as graphic novels, comic albums, and tankōbon have become increasingly common, while online webcomics have proliferated in the 21st century.
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The history of comics has followed different paths in different cultures. Scholars have posited a pre-history as far back as the Lascaux cave paintings in France. By the mid-20th century, comics flourished, particularly in the United States, western Europe (especially France and Belgium), and Japan. The history of European comics is often traced to Rodolphe Töpffer's cartoon strips of the 1830s, but the medium truly became popular in the 1930s following the success of strips and books such as The Adventures of Tintin. American comics emerged as a mass medium in the early 20th century with the advent of newspaper comic strips; magazine-style comic books followed in the 1930s, in which the superhero genre became prominent after Superman appeared in 1938. Histories of Japanese comics and cartooning (manga) propose origins as early as the 12th century. Modern comic strips emerged in Japan in the early 20th century, and the output of comics magazines and books rapidly expanded in the post-World War II era (1945–) with the popularity of cartoonists such as Osamu Tezuka (Astro Boy, et al.). Comics has had a lowbrow reputation for much of its history, but towards the end of the 20th century began to find greater acceptance with the public and academics.
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The term comics is used as a singular noun when it refers to the medium itself (e.g. "Comics is a visual art form"), but becomes plural when referring to works collectively (e.g. "Comics are popular reading material"). Though the term derives from the humorous (comic) work that predominated in early American newspaper comic strips, it has become standard for non-humorous works too. The alternate spelling comix – coined by the underground comix movement – is sometimes used to address these ambiguities.[1] In English, it is common to refer to the comics of different cultures by the terms used in their original languages, such as manga for Japanese comics, or bandes dessinées/B.D. for French-language comics.
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There is no consensus among theorists and historians on a definition of comics; some emphasize the combination of images and text, some sequentiality or other image relations, and others historical aspects, such as mass reproduction or the use of recurring characters. Increasing cross-pollination of concepts from different comics cultures and eras has only made definition more difficult.
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MangaHokusai, early 19th century
|
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Histoire de Monsieur CryptogameRodolphe Töpffer, 1830
|
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Ally Sloper in Some of the Mysteries of Loan and DiscountCharles Henry Ross, 1867
|
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The Yellow KidR.F. Outcault, 1898
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The European, American, and Japanese comics traditions have followed different paths.[2] Europeans have seen their tradition as beginning with the Swiss Rodolphe Töpffer from as early as 1827 and Americans have seen the origin of theirs in Richard F. Outcault's 1890s newspaper strip The Yellow Kid, though many Americans have come to recognize Töpffer's precedence.[3] Japan has a long history of satirical cartoons and comics leading up to the World War II era. The ukiyo-e artist Hokusai popularized the Japanese term for comics and cartooning, manga, in the early 19th century.[4] In the 1930s Harry "A" Chesler started a comics studio, which eventually at its height employed 40 artists working for 50 different publishers who helped make the comics medium flourish in "the Golden Age of Comics" after World War II.[5] In the post-war era modern Japanese comics began to flourish when Osamu Tezuka produced a prolific body of work.[6]Towards the close of the 20th century, these three traditions converged in a trend towards book-length comics: the comic album in Europe, the tankōbon[a] in Japan, and the graphic novel in the English-speaking countries.[2]
|
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Outside of these genealogies, comics theorists and historians have seen precedents for comics in the Lascaux cave paintings[7] in France (some of which appear to be chronological sequences of images), Egyptian hieroglyphs, Trajan's Column in Rome,[8] the 11th-century Norman Bayeux Tapestry,[9] the 1370 bois Protat woodcut, the 15th-century Ars moriendi and block books, Michelangelo's The Last Judgment in the Sistine Chapel,[8] and William Hogarth's 18th-century sequential engravings,[10] amongst others.[8][b]
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Illustrated humour periodicals were popular in 19th-century Britain, the earliest of which was the short-lived The Glasgow Looking Glass in 1825. The most popular was Punch,[12] which popularized the term cartoon for its humorous caricatures.[13] On occasion the cartoons in these magazines appeared in sequences;[12] the character Ally Sloper featured in the earliest serialized comic strip when the character began to feature in its own weekly magazine in 1884.[14]
|
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American comics developed out of such magazines as Puck, Judge, and Life. The success of illustrated humour supplements in the New York World and later the New York American, particularly Outcault's The Yellow Kid, led to the development of newspaper comic strips. Early Sunday strips were full-page[15] and often in colour. Between 1896 and 1901 cartoonists experimented with sequentiality, movement, and speech balloons.[16] A northworthy example is Gustave Verbeek, who wrote his comic series "The UpsideDowns of Old Man Muffaroo and Little Lady Lovekins" between 1903 and 1905. These comics were made in such a way that one could read the 6 panel comic, flip the book and keep reading. He made 64 such comics in total. In 2012 a remake of a selection of the comics was made by Marcus Ivarsson in the book 'In Uppåner med Lilla Lisen & Gamle Muppen'. (ISBN 978-91-7089-524-1)
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Shorter, black-and-white daily strips began to appear early in the 20th century, and became established in newspapers after the success in 1907 of Bud Fisher's Mutt and Jeff.[17] In Britain, the Amalgamated Press established a popular style of a sequence of images with text beneath them, including Illustrated Chips and Comic Cuts.[18] Humour strips predominated at first, and in the 1920s and 1930s strips with continuing stories in genres such as adventure and drama also became popular.[17]
|
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Thin periodicals called comic books appeared in the 1930s, at first reprinting newspaper comic strips; by the end of the decade, original content began to dominate.[19] The success in 1938 of Action Comics and its lead hero Superman marked the beginning of the Golden Age of Comic Books, in which the superhero genre was prominent.[20] In the UK and the Commonwealth, the DC Thomson-created Dandy (1937) and Beano (1938) became successful humor-based titles, with a combined circulation of over 2 million copies by the 1950s. Their characters, including "Dennis the Menace", "Desperate Dan" and "The Bash Street Kids" have been read by generations of British schoolboys.[21] The comics originally experimented with superheroes and action stories before settling on humorous strips featuring a mix of the Amalgamated Press and US comic book styles.[22]
|
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The popularity of superhero comic books declined following World War II,[23] while comic book sales continued to increase as other genres proliferated, such as romance, westerns, crime, horror, and humour.[24] Following a sales peak in the early 1950s, the content of comic books (particularly crime and horror) was subjected to scrutiny from parent groups and government agencies, which culminated in Senate hearings that led to the establishment of the Comics Code Authority self-censoring body.[25] The Code has been blamed for stunting the growth of American comics and maintaining its low status in American society for much of the remainder of the century.[26] Superheroes re-established themselves as the most prominent comic book genre by the early 1960s.[27] Underground comix challenged the Code and readers with adult, countercultural content in the late 1960s and early 1970s.[28] The underground gave birth to the alternative comics movement in the 1980s and its mature, often experimental content in non-superhero genres.[29]
|
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Comics in the US has had a lowbrow reputation stemming from its roots in mass culture; cultural elites sometimes saw popular culture as threatening culture and society. In the latter half of the 20th century, popular culture won greater acceptance, and the lines between high and low culture began to blur. Comics nevertheless continued to be stigmatized, as the medium was seen as entertainment for children and illiterates.[30]
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The graphic novel—book-length comics—began to gain attention after Will Eisner popularized the term with his book A Contract with God (1978).[31] The term became widely known with the public after the commercial success of Maus, Watchmen, and The Dark Knight Returns in the mid-1980s.[32] In the 21st century graphic novels became established in mainstream bookstores[33] and libraries[34] and webcomics became common.[35]
|
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+
|
39 |
+
The francophone Swiss Rodolphe Töpffer produced comic strips beginning in 1827,[8] and published theories behind the form.[36] Cartoons appeared widely in newspapers and magazines from the 19th century.[37] The success of Zig et Puce in 1925 popularized the use of speech balloons in European comics, after which Franco-Belgian comics began to dominate.[38] The Adventures of Tintin, with its signature clear line style,[39] was first serialized in newspaper comics supplements beginning in 1929,[40] and became an icon of Franco-Belgian comics.[41]
|
40 |
+
|
41 |
+
Following the success of Le Journal de Mickey (1934–44),[42] dedicated comics magazines[43] and full-colour comic albums became the primary outlet for comics in the mid-20th century.[44] As in the US, at the time comics were seen as infantile and a threat to culture and literacy; commentators stated that "none bear up to the slightest serious analysis",[c] and that comics were "the sabotage of all art and all literature".[46][d]
|
42 |
+
|
43 |
+
In the 1960s, the term bandes dessinées ("drawn strips") came into wide use in French to denote the medium.[47] Cartoonists began creating comics for mature audiences,[48] and the term "Ninth Art"[e] was coined, as comics began to attract public and academic attention as an artform.[49] A group including René Goscinny and Albert Uderzo founded the magazine Pilote in 1959 to give artists greater freedom over their work. Goscinny and Uderzo's The Adventures of Asterix appeared in it[50] and went on to become the best-selling French-language comics series.[51] From 1960, the satirical and taboo-breaking Hara-Kiri defied censorship laws in the countercultural spirit that led to the May 1968 events.[52]
|
44 |
+
|
45 |
+
Frustration with censorship and editorial interference led to a group of Pilote cartoonists to found the adults-only L'Écho des savanes in 1972. Adult-oriented and experimental comics flourished in the 1970s, such as in the experimental science fiction of Mœbius and others in Métal hurlant, even mainstream publishers took to publishing prestige-format adult comics.[53]
|
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+
|
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+
From the 1980s, mainstream sensibilities were reasserted and serialization became less common as the number of comics magazines decreased and many comics began to be published directly as albums.[54] Smaller publishers such as L'Association[55] that published longer works[56] in non-traditional formats[57] by auteur-istic creators also became common. Since the 1990s, mergers resulted in fewer large publishers, while smaller publishers proliferated. Sales overall continued to grow despite the trend towards a shrinking print market.[58]
|
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+
Japanese comics and cartooning (manga),[g] have a history that has been seen as far back as the anthropomorphic characters in the 12th-to-13th-century Chōjū-jinbutsu-giga, 17th-century toba-e and kibyōshi picture books,[62] and woodblock prints such as ukiyo-e which were popular between the 17th and 20th centuries. The kibyōshi contained examples of sequential images, movement lines,[63] and sound effects.[64]
|
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Illustrated magazines for Western expatriates introduced Western-style satirical cartoons to Japan in the late 19th century. New publications in both the Western and Japanese styles became popular, and at the end of the 1890s, American-style newspaper comics supplements began to appear in Japan,[65] as well as some American comic strips.[62] 1900 saw the debut of the Jiji Manga in the Jiji Shinpō newspaper—the first use of the word "manga" in its modern sense,[61] and where, in 1902, Rakuten Kitazawa began the first modern Japanese comic strip.[66] By the 1930s, comic strips were serialized in large-circulation monthly girls' and boys' magazine and collected into hardback volumes.[67]
|
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+
|
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The modern era of comics in Japan began after World War II, propelled by the success of the serialized comics of the prolific Osamu Tezuka[68] and the comic strip Sazae-san.[69] Genres and audiences diversified over the following decades. Stories are usually first serialized in magazines which are often hundreds of pages thick and may contain over a dozen stories;[70] they are later compiled in tankōbon-format books.[71] At the turn of the 20th and 21st centuries, nearly a quarter of all printed material in Japan was comics.[72] Translations became extremely popular in foreign markets—in some cases equaling or surpassing the sales of domestic comics.[73]
|
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+
|
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Comic strips are generally short, multipanel comics that traditionally most commonly appeared in newspapers. In the US, daily strips have normally occupied a single tier, while Sunday strips have been given multiple tiers. In the early 20th century, daily strips were typically in black-and-white and Sundays were usually in colour and often occupied a full page.[74]
|
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+
|
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Specialized comics periodicals formats vary greatly in different cultures. Comic books, primarily an American format, are thin periodicals[75] usually published in colour.[76] European and Japanese comics are frequently serialized in magazines—monthly or weekly in Europe,[61] and usually black-and-white and weekly in Japan.[77] Japanese comics magazine typically run to hundreds of pages.[78]
|
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+
|
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Book-length comics take different forms in different cultures. European comic albums are most commonly printed in A4-size[79] colour volumes.[44] In English-speaking countries, the trade paperback format originating from collected comic books have also been chosen for original material. Otherwise, bound volumes of comics are called graphic novels and are available in various formats. Despite incorporating the term "novel"—a term normally associated with fiction—"graphic novel" also refers to non-fiction and collections of short works.[80] Japanese comics are collected in volumes called tankōbon following magazine serialization.[81]
|
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+
|
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+
Gag and editorial cartoons usually consist of a single panel, often incorporating a caption or speech balloon. Definitions of comics which emphasize sequence usually exclude gag, editorial, and other single-panel cartoons; they can be included in definitions that emphasize the combination of word and image.[82] Gag cartoons first began to proliferate in broadsheets published in Europe in the 18th and 19th centuries, and the term "cartoon"[h] was first used to describe them in 1843 in the British humour magazine Punch.[13]
|
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+
|
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Webcomics are comics that are available on the internet. They are able to reach large audiences, and new readers usually can access archived installments.[83] Webcomics can make use of an infinite canvas—meaning they are not constrained by size or dimensions of a page.[84]
|
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+
|
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Some consider storyboards[85] and wordless novels to be comics.[86] Film studios, especially in animation, often use sequences of images as guides for film sequences. These storyboards are not intended as an end product and are rarely seen by the public.[85] Wordless novels are books which use sequences of captionless images to deliver a narrative.[87]
|
66 |
+
|
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+
While almost all comics art is in some sense abbreviated, and also while every artist who has produced comics work brings their own individual approach to bear, some broader art styles have been identified. Comic strip artists Cliff Sterrett, Frank King, and Gus Arriola often used unusual, colorful backgrounds, sometimes veering into abstract art.
|
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+
|
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The basic styles have been identified as realistic and cartoony, with a huge middle ground for which R. Fiore has coined the phrase liberal. Fiore has also expressed distaste with the terms realistic and cartoony, preferring the terms literal and freestyle, respectively.[88]
|
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|
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Scott McCloud has created "The Big Triangle"[89] as a tool for thinking about comics art. He places the realistic representation in the bottom left corner, with iconic representation, or cartoony art, in the bottom right, and a third identifier, abstraction of image, at the apex of the triangle. This allows placement and grouping of artists by triangulation.
|
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McCloud also notes that in several traditions, there is a tendency to have the main characters drawn rather simplistic and cartoony, while the backgrounds and environment are depicted realistically. Thus, he argues, the reader easily identifies with the characters, (as they are similar to one's idea of self), whilst being immersed into a world, that's three-dimensional and textured.[91] Good examples of this phenomenon include Hergé's The Adventures of Tintin (in his "personal trademark" Ligne claire style), Will Eisner's Spirit and Osamu Tezuka's Buddha, among many others.
|
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R. C. Harvey, 2001[82]
|
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Similar to the problems of defining literature and film,[92] no consensus has been reached on a definition of the comics medium,[93] and attempted definitions and descriptions have fallen prey to numerous exceptions.[94] Theorists such as Töpffer,[95] R.C. Harvey, Will Eisner,[96] David Carrier,[97] Alain Rey,[93] and Lawrence Grove emphasize the combination of text and images,[98] though there are prominent examples of pantomime comics throughout its history.[94] Other critics, such as Thierry Groensteen[98] and Scott McCloud, have emphasized the primacy of sequences of images.[99] Towards the close of the 20th century, different cultures' discoveries of each other's comics traditions, the rediscovery of forgotten early comics forms, and the rise of new forms made defining comics a more complicated task.[100]
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European comics studies began with Töpffer's theories of his own work in the 1840s, which emphasized panel transitions and the visual–verbal combination. No further progress was made until the 1970s.[101] Pierre Fresnault-Deruelle then took a semiotics approach to the study of comics, analyzing text–image relations, page-level image relations, and image discontinuities, or what Scott McCloud later dubbed "closure".[102] In 1987, Henri Vanlier introduced the term multicadre, or "multiframe", to refer to the comics page as a semantic unit.[103] By the 1990s, theorists such as Benoît Peeters and Thierry Groensteen turned attention to artists' poïetic creative choices.[102] Thierry Smolderen and Harry Morgan have held relativistic views of the definition of comics, a medium that has taken various, equally valid forms over its history. Morgan sees comics as a subset of "les littératures dessinées" (or "drawn literatures").[100] French theory has come to give special attention to the page, in distinction from American theories such as McCloud's which focus on panel-to-panel transitions.[103] Since the mid-2000s, Neil Cohn has begun analyzing how comics are understood using tools from cognitive science, extending beyond theory by using actual psychological and neuroscience experiments. This work has argued that sequential images and page layouts both use separate rule-bound "grammars" to be understood that extend beyond panel-to-panel transitions and categorical distinctions of types of layouts, and that the brain's comprehension of comics is similar to comprehending other domains, such as language and music.[104]
|
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Historical narratives of manga tend to focus either on its recent, post-WWII history, or on attempts to demonstrate deep roots in the past, such as to the Chōjū-jinbutsu-giga picture scroll of the 12th and 13th centuries, or the early 19th-century Hokusai Manga.[105] The first historical overview of Japanese comics was Seiki Hosokibara's Nihon Manga-Shi[i] in 1924.[106] Early post-war Japanese criticism was mostly of a left-wing political nature until the 1986 publication of Tomofusa Kure's Modern Manga: The Complete Picture,[j] which de-emphasized politics in favour of formal aspects, such as structure and a "grammar" of comics. The field of manga studies increased rapidly, with numerous books on the subject appearing in the 1990s.[107] Formal theories of manga have focused on developing a "manga expression theory",[k] with emphasis on spatial relationships in the structure of images on the page, distinguishing the medium from film or literature, in which the flow of time is the basic organizing element.[108] Comics studies courses have proliferated at Japanese universities, and Japan Society for Studies in Cartoon and Comics [ja][l] was established in 2001 to promote comics scholarship.[109] The publication of Frederik L. Schodt's Manga! Manga! The World of Japanese Comics in 1983 led to the spread of use of the word manga outside Japan to mean "Japanese comics" or "Japanese-style comics".[110]
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Coulton Waugh attempted the first comprehensive history of American comics with The Comics (1947).[111] Will Eisner's Comics and Sequential Art (1985) and Scott McCloud's Understanding Comics (1993) were early attempts in English to formalize the study of comics. David Carrier's The Aesthetics of Comics (2000) was the first full-length treatment of comics from a philosophical perspective.[112] Prominent American attempts at definitions of comics include Eisner's, McCloud's, and Harvey's. Eisner described what he called "sequential art" as "the arrangement of pictures or images and words to narrate a story or dramatize an idea";[113] Scott McCloud defined comics as "juxtaposed pictorial and other images in deliberate sequence, intended to convey information and/or to produce an aesthetic response in the viewer",[114] a strictly formal definition which detached comics from its historical and cultural trappings.[115] R.C. Harvey defined comics as "pictorial narratives or expositions in which words (often lettered into the picture area within speech balloons) usually contribute to the meaning of the pictures and vice versa".[116] Each definition has had its detractors. Harvey saw McCloud's definition as excluding single-panel cartoons,[117] and objected to McCloud's de-emphasizing verbal elements, insisting "the essential characteristic of comics is the incorporation of verbal content".[103] Aaron Meskin saw McCloud's theories as an artificial attempt to legitimize the place of comics in art history.[96]
|
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|
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Cross-cultural study of comics is complicated by the great difference in meaning and scope of the words for "comics" in different languages.[118] The French term for comics, bandes dessinées ("drawn strip") emphasizes the juxtaposition of drawn images as a defining factor,[119] which can imply the exclusion of even photographic comics.[120] The term manga is used in Japanese to indicate all forms of comics, cartooning,[121] and caricature.[122]
|
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|
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+
The term comics refers to the comics medium when used as an uncountable noun and thus takes the singular: "comics is a medium" rather than "comics are a medium". When comic appears as a countable noun it refers to instances of the medium, such as individual comic strips or comic books: "Tom's comics are in the basement."[123]
|
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Panels are individual images containing a segment of action,[124] often surrounded by a border.[125] Prime moments in a narrative are broken down into panels via a process called encapsulation.[126] The reader puts the pieces together via the process of closure by using background knowledge and an understanding of panel relations to combine panels mentally into events.[127] The size, shape, and arrangement of panels each affect the timing and pacing of the narrative.[128] The contents of a panel may be asynchronous, with events depicted in the same image not necessarily occurring at the same time.[129]
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Text is frequently incorporated into comics via speech balloons, captions, and sound effects. Speech balloons indicate dialogue (or thought, in the case of thought balloons), with tails pointing at their respective speakers.[130] Captions can give voice to a narrator, convey characters' dialogue or thoughts,[131] or indicate place or time.[132] Speech balloons themselves are strongly associated with comics, such that the addition of one to an image is sufficient to turn the image into comics.[133] Sound effects mimic non-vocal sounds textually using onomatopoeia sound-words.[134]
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Cartooning is most frequently used in making comics, traditionally using ink (especially India ink) with dip pens or ink brushes;[135] mixed media and digital technology have become common. Cartooning techniques such as motion lines[136] and abstract symbols are often employed.[137]
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While comics are often the work of a single creator, the labour of making them is frequently divided between a number of specialists. There may be separate writers and artists, and artists may specialize in parts of the artwork such as characters or backgrounds, as is common in Japan.[138] Particularly in American superhero comic books,[139] the art may be divided between a penciller, who lays out the artwork in pencil;[140] an inker, who finishes the artwork in ink;[141] a colourist;[142] and a letterer, who adds the captions and speech balloons.[143]
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The English-language term comics derives from the humorous (or "comic") work which predominated in early American newspaper comic strips; usage of the term has become standard for non-humorous works as well. The term "comic book" has a similarly confusing history: they are most often not humorous; nor are they regular books, but rather periodicals.[144] It is common in English to refer to the comics of different cultures by the terms used in their original languages, such as manga for Japanese comics, or bandes dessinées for French-language Franco-Belgian comics.[145]
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|
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Many cultures have taken their words for comics from English, including Russian (Комикс, komiks)[146] and German (comic).[147] Similarly, the Chinese term manhua[148] and the Korean manhwa[149] derive from the Chinese characters with which the Japanese term manga is written.[150]
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Academic journals
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Archives
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Databases
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1 |
+
Trade involves the transfer of goods or services from one person or entity to another, often in exchange for money. Economists refer to a system or network that allows trade as a market.
|
2 |
+
|
3 |
+
An early form of trade, barter, saw the direct exchange of goods and services for other goods and services.[1][need quotation to verify] Barter involves trading things without the use of money.[1] When either bartering party started to involve precious metals, these gained symbolic as well as practical importance.[citation needed] Modern traders generally negotiate through a medium of exchange, such as money. As a result, buying can be separated from selling, or earning. The invention of money (and later of credit, paper money and non-physical money) greatly simplified and promoted trade. Trade between two traders is called bilateral trade, while trade involving more than two traders is called multilateral trade.
|
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|
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+
In one modern view, trade exists due to specialization and the division of labor, a predominant form of economic activity in which individuals and groups concentrate on a small aspect of production, but use their output in trades for other products and needs.[2] Trade exists between regions because different regions may have a comparative advantage (perceived or real) in the production of some trade-able commodity—including production of natural resources scarce or limited elsewhere. For example: different regions' sizes may encourage mass production. In such circumstances, trade at market prices between locations can benefit both locations.
|
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|
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+
Retail trade consists of the sale of goods or merchandise from a very fixed location[3] (such as a department store, boutique or kiosk), online or by mail, in small or individual lots for direct consumption or use by the purchaser.[4] Wholesale trade is defined[by whom?] as traffic in goods that are sold as merchandise to retailers, or to industrial, commercial, institutional, or other professional business users, or to other wholesalers and related subordinated services.
|
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|
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+
Historically, openness to free trade substantially increased in some areas from 1815 to the outbreak of World War I[citation needed] in 1914. Trade openness increased again during the 1920s, but collapsed (in particular in Europe and North America) during the Great Depression of the 1930s. Trade openness increased substantially again from the 1950s onwards (albeit with a slowdown during the oil crisis of the 1970s). Economists and economic historians[which?] contend that current levels of trade openness are the highest they have ever been.[5][6][7]
|
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|
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+
Trade is from Middle English trade ("path, course of conduct"), introduced into English by Hanseatic merchants, from Middle Low German trade ("track, course"), from Old Saxon trada ("spoor, track"), from Proto-Germanic *tradō ("track, way"), and cognate with Old English tredan ("to tread").
|
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|
13 |
+
Commerce is derived from the Latin commercium, from cum "together" and merx, "merchandise."[8]
|
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+
|
15 |
+
Trade originated with human communication in prehistoric times. Trading was the main facility of prehistoric people,[citation needed] who bartered goods and services from each other before the innovation of modern-day currency. Peter Watson dates the history of long-distance commerce from circa 150,000 years ago.[9]
|
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|
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In the Mediterranean region the earliest contact between cultures involved members of the species Homo sapiens, principally using the Danube river, at a time beginning 35,000–30,000 BP.[10][11][12][13][need quotation to verify]
|
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|
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+
Some[who?] trace the origins of commerce to the very start of transactions in prehistoric times. Apart from traditional self-sufficiency, trading became a principal facility of prehistoric people, who bartered what they had for goods and services from each other.
|
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|
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+
Trade is believed[by whom?] to have taken place throughout much[quantify] of recorded human history. There is evidence of the exchange of obsidian and flint during the Stone Age. Trade in obsidian is believed[by whom?] to have taken place in New Guinea from 17,000 BCE.[15][16]
|
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+
|
23 |
+
The earliest use of obsidian in the Near East dates to the Lower and Middle paleolithic.[17]
|
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+
|
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+
Robert Carr Bosanquet investigated trade in the Stone Age by excavations in 1901.[18][19] Trade is believed[by whom?] to have first begun in south west Asia.[20][21]
|
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+
|
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+
Archaeological evidence of obsidian use provides data on how this material was increasingly the preferred choice rather than chert from the late Mesolithic to Neolithic, requiring exchange as deposits of obsidian are rare in the Mediterranean region.[22][23][24]
|
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+
|
29 |
+
Obsidian is thought[by whom?] to have provided the material to make cutting utensils or tools, although since other more easily obtainable materials were available, use was found[by whom?] exclusive to the higher status of the tribe using "the rich man's flint".[25]
|
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+
|
31 |
+
Obsidian was traded at distances of 900 kilometres within the Mediterranean region.[26]
|
32 |
+
|
33 |
+
Trade in the Mediterranean during the Neolithic of Europe was greatest in this material.[22][27] Networks were in existence at around 12,000 BCE[28] Anatolia was the source primarily for trade with the Levant, Iran and Egypt according to Zarins study of 1990.[29][30][31] Melos and Lipari sources produced among the most widespread trading in the Mediterranean region as known to archaeology.[32]
|
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+
|
35 |
+
The Sari-i-Sang mine in the mountains of Afghanistan was the largest source for trade of lapis lazuli.[33][34] The material was most largely traded during the Kassite period of Babylonia beginning 1595 BCE.[35][36]
|
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+
|
37 |
+
Ebla was a prominent trading centre during the third millennia, with a network reaching into Anatolia and north Mesopotamia.[32][37][38][39]
|
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+
|
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+
Materials used for creating jewelry were traded with Egypt since 3000 BCE. Long-range trade routes first appeared in the 3rd millennium BCE, when Sumerians in Mesopotamia traded with the Harappan civilization of the Indus Valley. The Phoenicians were noted sea traders, traveling across the Mediterranean Sea, and as far north as Britain for sources of tin to manufacture bronze. For this purpose they established trade colonies the Greeks called emporia.[40]
|
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+
|
41 |
+
From the beginning of Greek civilization until the fall of the Roman Empire in the 5th century, a financially lucrative trade brought valuable spice to Europe from the far east, including India and China. Roman commerce allowed its empire to flourish and endure. The latter Roman Republic and the Pax Romana of the Roman empire produced a stable and secure transportation network that enabled the shipment of trade goods without fear of significant piracy, as Rome had become the sole effective sea power in the Mediterranean with the conquest of Egypt and the near east.[41]
|
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+
|
43 |
+
In ancient Greece Hermes was the god of trade[42][43] (commerce) and weights and measures,[44] for Romans Mercurius also the god of merchants, whose festival was celebrated by traders on the 25th day of the fifth month.[45][46] The concept of free trade was an antithesis to the will and economic direction of the sovereigns of the ancient Greek states. Free trade between states was stifled by the need for strict internal controls (via taxation) to maintain security within the treasury of the sovereign, which nevertheless enabled the maintenance of a modicum of civility within the structures of functional community life.[47][48]
|
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+
|
45 |
+
The fall of the Roman empire and the succeeding Dark Ages brought instability to Western Europe and a near-collapse of the trade network in the western world. Trade, however, continued to flourish among the kingdoms of Africa, the Middle East, India, China, and Southeast Asia. Some trade did occur in the west. For instance, Radhanites were a medieval guild or group (the precise meaning of the word is lost to history) of Jewish merchants who traded between the Christians in Europe and the Muslims of the Near East.[49]
|
46 |
+
|
47 |
+
The first true maritime trade network in the Indian Ocean was by the Austronesian peoples of Island Southeast Asia,[50] who built the first ocean-going ships.[51] They established trade routes with Southern India and Sri Lanka as early as 1500 BC, ushering an exchange of material culture (like catamarans, outrigger boats, sewn-plank boats, and paan) and cultigens (like coconuts, sandalwood, bananas, and sugarcane); as well as connecting the material cultures of India and China. Indonesians, in particular were trading in spices (mainly cinnamon and cassia) with East Africa using catamaran and outrigger boats and sailing with the help of the Westerlies in the Indian Ocean. This trade network expanded to reach as far as Africa and the Arabian Peninsula, resulting in the Austronesian colonization of Madagascar by the first half of the first millennium AD. It continued up to historic times, later becoming the Maritime Silk Road.[50][52][53][54][55]
|
48 |
+
|
49 |
+
The emergence of exchange networks in the Pre-Columbian societies of and near to Mexico are known to have occurred within recent years before and after 1500 BCE.[57]
|
50 |
+
|
51 |
+
Trade networks reached north to Oasisamerica. There is evidence of established maritime trade with the cultures of northwestern South America and the Caribbean.
|
52 |
+
|
53 |
+
Middle Ages
|
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+
|
55 |
+
During the Middle Ages, commerce developed in Europe by trading luxury goods at trade fairs. Wealth became converted into movable wealth or capital. Banking systems developed where money on account was transferred across national boundaries. Hand to hand markets became a feature of town life, and were regulated by town authorities.
|
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+
|
57 |
+
Western Europe established a complex and expansive trade network with cargo ships being the main workhorse for the movement of goods, Cogs and Hulks are two examples of such cargo ships.[58] Many ports would develop their own extensive trade networks. The English port city of Bristol traded with peoples from what is modern day Iceland, all along the western coast of France, and down to what is now Spain.[59]
|
58 |
+
|
59 |
+
During the Middle Ages, Central Asia was the economic center of the world.[60] The Sogdians dominated the East-West trade route known as the Silk Road after the 4th century CE up to the 8th century CE, with Suyab and Talas ranking among their main centers in the north. They were the main caravan merchants of Central Asia.
|
60 |
+
|
61 |
+
From the 8th to the 11th century, the Vikings and Varangians traded as they sailed from and to Scandinavia. Vikings sailed to Western Europe, while Varangians to Russia. The Hanseatic League was an alliance of trading cities that maintained a trade monopoly over most of Northern Europe and the Baltic, between the 13th and 17th centuries.
|
62 |
+
|
63 |
+
Vasco da Gama pioneered the European Spice trade in 1498 when he reached Calicut after sailing around the Cape of Good Hope at the southern tip of the African continent. Prior to this, the flow of spice into Europe from India was controlled by Islamic powers, especially Egypt. The spice trade was of major economic importance and helped spur the Age of Discovery in Europe. Spices brought to Europe from the Eastern world were some of the most valuable commodities for their weight, sometimes rivaling gold.
|
64 |
+
|
65 |
+
From 1070 onward, kingdoms in West Africa became significant members of global trade.[61] This came initially through the movement of gold and other resources sent out by Muslim traders on the Trans-Saharan trading network.[61] Later, West Africa exported gold, spices, cloth, and slaves to European traders such as the Portuguese, Dutch, and English.[61] This was often in exchange for cloth, iron, or cowrie shells which were used locally as currency.[61]
|
66 |
+
|
67 |
+
Founded in 1352, the Bengal Sultanate was a major trading nation in the world and often referred to by the Europeans as the richest country to trade with.[62]
|
68 |
+
|
69 |
+
In the 16th and 17th centuries, the Portuguese gained an economic advantage in the Kingdom of Kongo due to different philosophies of trade.[61] Whereas Portuguese traders concentrated on the accumulation of capital, in Kongo spiritual meaning was attached to many objects of trade. According to economic historian Toby Green, in Kongo "giving more than receiving was a symbol of spiritual and political power and privilege."[61]
|
70 |
+
|
71 |
+
In the 16th century, the Seventeen Provinces were the center of free trade, imposing no exchange controls, and advocating the free movement of goods. Trade in the East Indies was dominated by Portugal in the 16th century, the Dutch Republic in the 17th century, and the British in the 18th century. The Spanish Empire developed regular trade links across both the Atlantic and the Pacific Oceans.
|
72 |
+
|
73 |
+
In 1776, Adam Smith published the paper An Inquiry into the Nature and Causes of the Wealth of Nations. It criticized Mercantilism, and argued that economic specialization could benefit nations just as much as firms. Since the division of labour was restricted by the size of the market, he said that countries having access to larger markets would be able to divide labour more efficiently and thereby become more productive. Smith said that he considered all rationalizations of import and export controls "dupery", which hurt the trading nation as a whole for the benefit of specific industries.
|
74 |
+
|
75 |
+
In 1799, the Dutch East India Company, formerly the world's largest company, became bankrupt, partly due to the rise of competitive free trade.
|
76 |
+
|
77 |
+
In 1817, David Ricardo, James Mill and Robert Torrens showed that free trade would benefit the industrially weak as well as the strong, in the famous theory of comparative advantage. In Principles of Political Economy and Taxation Ricardo advanced the doctrine still considered the most counterintuitive in economics:
|
78 |
+
|
79 |
+
The ascendancy of free trade was primarily based on national advantage in the mid 19th century. That is, the calculation made was whether it was in any particular country's self-interest to open its borders to imports.
|
80 |
+
|
81 |
+
John Stuart Mill proved that a country with monopoly pricing power on the international market could manipulate the terms of trade through maintaining tariffs, and that the response to this might be reciprocity in trade policy. Ricardo and others had suggested this earlier. This was taken as evidence against the universal doctrine of free trade, as it was believed that more of the economic surplus of trade would accrue to a country following reciprocal, rather than completely free, trade policies. This was followed within a few years by the infant industry scenario developed by Mill promoting the theory that the government had the duty to protect young industries, although only for a time necessary for them to develop full capacity. This became the policy in many countries attempting to industrialize and out-compete English exporters. Milton Friedman later continued this vein of thought, showing that in a few circumstances tariffs might be beneficial to the host country; but never for the world at large.[63]
|
82 |
+
|
83 |
+
The Great Depression was a major economic recession that ran from 1929 to the late 1930s. During this period, there was a great drop in trade and other economic indicators.
|
84 |
+
|
85 |
+
The lack of free trade was considered by many as a principal cause of the depression causing stagnation and inflation.[64] Only during the World War II the recession ended in the United States. Also during the war, in 1944, 44 countries signed the Bretton Woods Agreement, intended to prevent national trade barriers, to avoid depressions. It set up rules and institutions to regulate the international political economy: the International Monetary Fund and the International Bank for Reconstruction and Development (later divided into the World Bank and Bank for International Settlements). These organizations became operational in 1946 after enough countries ratified the agreement. In 1947, 23 countries agreed to the General Agreement on Tariffs and Trade to promote free trade.[65]
|
86 |
+
|
87 |
+
The European Union became the world's largest exporter of manufactured goods and services, the biggest export market for around 80 countries.[66]
|
88 |
+
|
89 |
+
Today, trade is merely a subset within a complex system of companies which try to maximize their profits by offering products and services to the market (which consists both of individuals and other companies) at the lowest production cost. A system of international trade has helped to develop the world economy but, in combination with bilateral or multilateral agreements to lower tariffs or to achieve free trade, has sometimes harmed third-world markets for local products.
|
90 |
+
|
91 |
+
Free trade advanced further in the late 20th century and early 2000s:
|
92 |
+
|
93 |
+
Protectionism is the policy of restraining and discouraging trade between states and contrasts with the policy of free trade. This policy often takes the form of tariffs and restrictive quotas. Protectionist policies were particularly prevalent in the 1930s, between the Great Depression and the onset of World War II.
|
94 |
+
|
95 |
+
Islamic teachings encourage trading (and condemn usury or interest).[67][68]
|
96 |
+
|
97 |
+
Judeao-Christian teachings prohibit fraud and dishonest measures, and historically also forbade the charging of interest on loans.[69][70]
|
98 |
+
|
99 |
+
The first instances of money were objects with intrinsic value. This is called commodity money and includes any commonly available commodity that has intrinsic value; historical examples include pigs, rare seashells, whale's teeth, and (often) cattle. In medieval Iraq, bread was used as an early form of money. In Mexico under Montezuma, cocoa beans were money.[71]
|
100 |
+
|
101 |
+
Currency was introduced as standardised money to facilitate a wider exchange of goods and services. This first stage of currency, where metals were used to represent stored value, and symbols to represent commodities, formed the basis of trade in the Fertile Crescent for over 1500 years.
|
102 |
+
|
103 |
+
Numismatists have examples of coins from the earliest large-scale societies, although these were initially unmarked lumps of precious metal.[72]
|
104 |
+
|
105 |
+
The Doha round of World Trade Organization negotiations aimed to lower barriers to trade around the world, with a focus on making trade fairer for developing countries. Talks have been hung over a divide between the rich developed countries, represented by the G20, and the major developing countries. Agricultural subsidies are the most significant issue upon which agreement has been the hardest to negotiate. By contrast, there was much agreement on trade facilitation and capacity building. The Doha round began in Doha, Qatar, and negotiations were continued in: Cancún, Mexico; Geneva, Switzerland; and Paris, France and Hong Kong.[citation needed]
|
106 |
+
|
107 |
+
Beginning around 1978, the government of the People's Republic of China (PRC) began an experiment in economic reform. In contrast to the previous Soviet-style centrally planned economy, the new measures progressively relaxed restrictions on farming, agricultural distribution and, several years later, urban enterprises and labor. The more market-oriented approach reduced inefficiencies and stimulated private investment, particularly by farmers, which led to increased productivity and output. One feature was the establishment of four (later five) Special Economic Zones located along the South-east coast.[73]
|
108 |
+
|
109 |
+
The reforms proved spectacularly successful in terms of increased output, variety, quality, price and demand. In real terms, the economy doubled in size between 1978 and 1986, doubled again by 1994, and again by 2003. On a real per capita basis, doubling from the 1978 base took place in 1987, 1996 and 2006. By 2008, the economy was 16.7 times the size it was in 1978, and 12.1 times its previous per capita levels. International trade progressed even more rapidly, doubling on average every 4.5 years. Total two-way trade in January 1998 exceeded that for all of 1978; in the first quarter of 2009, trade exceeded the full-year 1998 level. In 2008, China's two-way trade totaled US$2.56 trillion.[74]
|
110 |
+
|
111 |
+
In 1991 China joined the Asia-Pacific Economic Cooperation group, a trade-promotion forum.
|
112 |
+
[75] In 2001, it also joined the World Trade Organization.[76]
|
113 |
+
|
114 |
+
International trade is the exchange of goods and services across national borders. In most countries, it represents a significant part of GDP. While international trade has been present throughout much of history (see Silk Road, Amber Road), its economic, social, and political importance have increased in recent centuries, mainly because of Industrialization, advanced transportation, globalization, multinational corporations, and outsourcing.[citation needed]
|
115 |
+
|
116 |
+
Empirical evidence for the success of trade can be seen in the contrast between countries such as South Korea, which adopted a policy of export-oriented industrialization, and India, which historically had a more closed policy. South Korea has done much better by economic criteria than India over the past fifty years, though its success also has to do with effective state institutions.[citation needed]
|
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+
|
118 |
+
Trade sanctions against a specific country are sometimes imposed, in order to punish that country for some action. An embargo, a severe form of externally imposed isolation, is a blockade of all trade by one country on another. For example, the United States has had an embargo against Cuba for over 40 years.[77]
|
119 |
+
|
120 |
+
The "fair trade" movement, also known as the "trade justice" movement, promotes the use of labour, environmental and social standards for the production of commodities, particularly those exported from the Third and Second Worlds to the First World. Such ideas have also sparked a debate on whether trade itself should be codified as a human right.[78].
|
121 |
+
|
122 |
+
Importing firms voluntarily adhere to fair trade standards or governments may enforce them through a combination of employment and commercial law. Proposed and practiced fair trade policies vary widely, ranging from the common prohibition of goods made using slave labour to minimum price support schemes such as those for coffee in the 1980s. Non-governmental organizations also play a role in promoting fair trade standards by serving as independent monitors of compliance with labeling requirements.[79][80] As such, it is a form of Protectionism.
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1 |
+
Trade involves the transfer of goods or services from one person or entity to another, often in exchange for money. Economists refer to a system or network that allows trade as a market.
|
2 |
+
|
3 |
+
An early form of trade, barter, saw the direct exchange of goods and services for other goods and services.[1][need quotation to verify] Barter involves trading things without the use of money.[1] When either bartering party started to involve precious metals, these gained symbolic as well as practical importance.[citation needed] Modern traders generally negotiate through a medium of exchange, such as money. As a result, buying can be separated from selling, or earning. The invention of money (and later of credit, paper money and non-physical money) greatly simplified and promoted trade. Trade between two traders is called bilateral trade, while trade involving more than two traders is called multilateral trade.
|
4 |
+
|
5 |
+
In one modern view, trade exists due to specialization and the division of labor, a predominant form of economic activity in which individuals and groups concentrate on a small aspect of production, but use their output in trades for other products and needs.[2] Trade exists between regions because different regions may have a comparative advantage (perceived or real) in the production of some trade-able commodity—including production of natural resources scarce or limited elsewhere. For example: different regions' sizes may encourage mass production. In such circumstances, trade at market prices between locations can benefit both locations.
|
6 |
+
|
7 |
+
Retail trade consists of the sale of goods or merchandise from a very fixed location[3] (such as a department store, boutique or kiosk), online or by mail, in small or individual lots for direct consumption or use by the purchaser.[4] Wholesale trade is defined[by whom?] as traffic in goods that are sold as merchandise to retailers, or to industrial, commercial, institutional, or other professional business users, or to other wholesalers and related subordinated services.
|
8 |
+
|
9 |
+
Historically, openness to free trade substantially increased in some areas from 1815 to the outbreak of World War I[citation needed] in 1914. Trade openness increased again during the 1920s, but collapsed (in particular in Europe and North America) during the Great Depression of the 1930s. Trade openness increased substantially again from the 1950s onwards (albeit with a slowdown during the oil crisis of the 1970s). Economists and economic historians[which?] contend that current levels of trade openness are the highest they have ever been.[5][6][7]
|
10 |
+
|
11 |
+
Trade is from Middle English trade ("path, course of conduct"), introduced into English by Hanseatic merchants, from Middle Low German trade ("track, course"), from Old Saxon trada ("spoor, track"), from Proto-Germanic *tradō ("track, way"), and cognate with Old English tredan ("to tread").
|
12 |
+
|
13 |
+
Commerce is derived from the Latin commercium, from cum "together" and merx, "merchandise."[8]
|
14 |
+
|
15 |
+
Trade originated with human communication in prehistoric times. Trading was the main facility of prehistoric people,[citation needed] who bartered goods and services from each other before the innovation of modern-day currency. Peter Watson dates the history of long-distance commerce from circa 150,000 years ago.[9]
|
16 |
+
|
17 |
+
In the Mediterranean region the earliest contact between cultures involved members of the species Homo sapiens, principally using the Danube river, at a time beginning 35,000–30,000 BP.[10][11][12][13][need quotation to verify]
|
18 |
+
|
19 |
+
Some[who?] trace the origins of commerce to the very start of transactions in prehistoric times. Apart from traditional self-sufficiency, trading became a principal facility of prehistoric people, who bartered what they had for goods and services from each other.
|
20 |
+
|
21 |
+
Trade is believed[by whom?] to have taken place throughout much[quantify] of recorded human history. There is evidence of the exchange of obsidian and flint during the Stone Age. Trade in obsidian is believed[by whom?] to have taken place in New Guinea from 17,000 BCE.[15][16]
|
22 |
+
|
23 |
+
The earliest use of obsidian in the Near East dates to the Lower and Middle paleolithic.[17]
|
24 |
+
|
25 |
+
Robert Carr Bosanquet investigated trade in the Stone Age by excavations in 1901.[18][19] Trade is believed[by whom?] to have first begun in south west Asia.[20][21]
|
26 |
+
|
27 |
+
Archaeological evidence of obsidian use provides data on how this material was increasingly the preferred choice rather than chert from the late Mesolithic to Neolithic, requiring exchange as deposits of obsidian are rare in the Mediterranean region.[22][23][24]
|
28 |
+
|
29 |
+
Obsidian is thought[by whom?] to have provided the material to make cutting utensils or tools, although since other more easily obtainable materials were available, use was found[by whom?] exclusive to the higher status of the tribe using "the rich man's flint".[25]
|
30 |
+
|
31 |
+
Obsidian was traded at distances of 900 kilometres within the Mediterranean region.[26]
|
32 |
+
|
33 |
+
Trade in the Mediterranean during the Neolithic of Europe was greatest in this material.[22][27] Networks were in existence at around 12,000 BCE[28] Anatolia was the source primarily for trade with the Levant, Iran and Egypt according to Zarins study of 1990.[29][30][31] Melos and Lipari sources produced among the most widespread trading in the Mediterranean region as known to archaeology.[32]
|
34 |
+
|
35 |
+
The Sari-i-Sang mine in the mountains of Afghanistan was the largest source for trade of lapis lazuli.[33][34] The material was most largely traded during the Kassite period of Babylonia beginning 1595 BCE.[35][36]
|
36 |
+
|
37 |
+
Ebla was a prominent trading centre during the third millennia, with a network reaching into Anatolia and north Mesopotamia.[32][37][38][39]
|
38 |
+
|
39 |
+
Materials used for creating jewelry were traded with Egypt since 3000 BCE. Long-range trade routes first appeared in the 3rd millennium BCE, when Sumerians in Mesopotamia traded with the Harappan civilization of the Indus Valley. The Phoenicians were noted sea traders, traveling across the Mediterranean Sea, and as far north as Britain for sources of tin to manufacture bronze. For this purpose they established trade colonies the Greeks called emporia.[40]
|
40 |
+
|
41 |
+
From the beginning of Greek civilization until the fall of the Roman Empire in the 5th century, a financially lucrative trade brought valuable spice to Europe from the far east, including India and China. Roman commerce allowed its empire to flourish and endure. The latter Roman Republic and the Pax Romana of the Roman empire produced a stable and secure transportation network that enabled the shipment of trade goods without fear of significant piracy, as Rome had become the sole effective sea power in the Mediterranean with the conquest of Egypt and the near east.[41]
|
42 |
+
|
43 |
+
In ancient Greece Hermes was the god of trade[42][43] (commerce) and weights and measures,[44] for Romans Mercurius also the god of merchants, whose festival was celebrated by traders on the 25th day of the fifth month.[45][46] The concept of free trade was an antithesis to the will and economic direction of the sovereigns of the ancient Greek states. Free trade between states was stifled by the need for strict internal controls (via taxation) to maintain security within the treasury of the sovereign, which nevertheless enabled the maintenance of a modicum of civility within the structures of functional community life.[47][48]
|
44 |
+
|
45 |
+
The fall of the Roman empire and the succeeding Dark Ages brought instability to Western Europe and a near-collapse of the trade network in the western world. Trade, however, continued to flourish among the kingdoms of Africa, the Middle East, India, China, and Southeast Asia. Some trade did occur in the west. For instance, Radhanites were a medieval guild or group (the precise meaning of the word is lost to history) of Jewish merchants who traded between the Christians in Europe and the Muslims of the Near East.[49]
|
46 |
+
|
47 |
+
The first true maritime trade network in the Indian Ocean was by the Austronesian peoples of Island Southeast Asia,[50] who built the first ocean-going ships.[51] They established trade routes with Southern India and Sri Lanka as early as 1500 BC, ushering an exchange of material culture (like catamarans, outrigger boats, sewn-plank boats, and paan) and cultigens (like coconuts, sandalwood, bananas, and sugarcane); as well as connecting the material cultures of India and China. Indonesians, in particular were trading in spices (mainly cinnamon and cassia) with East Africa using catamaran and outrigger boats and sailing with the help of the Westerlies in the Indian Ocean. This trade network expanded to reach as far as Africa and the Arabian Peninsula, resulting in the Austronesian colonization of Madagascar by the first half of the first millennium AD. It continued up to historic times, later becoming the Maritime Silk Road.[50][52][53][54][55]
|
48 |
+
|
49 |
+
The emergence of exchange networks in the Pre-Columbian societies of and near to Mexico are known to have occurred within recent years before and after 1500 BCE.[57]
|
50 |
+
|
51 |
+
Trade networks reached north to Oasisamerica. There is evidence of established maritime trade with the cultures of northwestern South America and the Caribbean.
|
52 |
+
|
53 |
+
Middle Ages
|
54 |
+
|
55 |
+
During the Middle Ages, commerce developed in Europe by trading luxury goods at trade fairs. Wealth became converted into movable wealth or capital. Banking systems developed where money on account was transferred across national boundaries. Hand to hand markets became a feature of town life, and were regulated by town authorities.
|
56 |
+
|
57 |
+
Western Europe established a complex and expansive trade network with cargo ships being the main workhorse for the movement of goods, Cogs and Hulks are two examples of such cargo ships.[58] Many ports would develop their own extensive trade networks. The English port city of Bristol traded with peoples from what is modern day Iceland, all along the western coast of France, and down to what is now Spain.[59]
|
58 |
+
|
59 |
+
During the Middle Ages, Central Asia was the economic center of the world.[60] The Sogdians dominated the East-West trade route known as the Silk Road after the 4th century CE up to the 8th century CE, with Suyab and Talas ranking among their main centers in the north. They were the main caravan merchants of Central Asia.
|
60 |
+
|
61 |
+
From the 8th to the 11th century, the Vikings and Varangians traded as they sailed from and to Scandinavia. Vikings sailed to Western Europe, while Varangians to Russia. The Hanseatic League was an alliance of trading cities that maintained a trade monopoly over most of Northern Europe and the Baltic, between the 13th and 17th centuries.
|
62 |
+
|
63 |
+
Vasco da Gama pioneered the European Spice trade in 1498 when he reached Calicut after sailing around the Cape of Good Hope at the southern tip of the African continent. Prior to this, the flow of spice into Europe from India was controlled by Islamic powers, especially Egypt. The spice trade was of major economic importance and helped spur the Age of Discovery in Europe. Spices brought to Europe from the Eastern world were some of the most valuable commodities for their weight, sometimes rivaling gold.
|
64 |
+
|
65 |
+
From 1070 onward, kingdoms in West Africa became significant members of global trade.[61] This came initially through the movement of gold and other resources sent out by Muslim traders on the Trans-Saharan trading network.[61] Later, West Africa exported gold, spices, cloth, and slaves to European traders such as the Portuguese, Dutch, and English.[61] This was often in exchange for cloth, iron, or cowrie shells which were used locally as currency.[61]
|
66 |
+
|
67 |
+
Founded in 1352, the Bengal Sultanate was a major trading nation in the world and often referred to by the Europeans as the richest country to trade with.[62]
|
68 |
+
|
69 |
+
In the 16th and 17th centuries, the Portuguese gained an economic advantage in the Kingdom of Kongo due to different philosophies of trade.[61] Whereas Portuguese traders concentrated on the accumulation of capital, in Kongo spiritual meaning was attached to many objects of trade. According to economic historian Toby Green, in Kongo "giving more than receiving was a symbol of spiritual and political power and privilege."[61]
|
70 |
+
|
71 |
+
In the 16th century, the Seventeen Provinces were the center of free trade, imposing no exchange controls, and advocating the free movement of goods. Trade in the East Indies was dominated by Portugal in the 16th century, the Dutch Republic in the 17th century, and the British in the 18th century. The Spanish Empire developed regular trade links across both the Atlantic and the Pacific Oceans.
|
72 |
+
|
73 |
+
In 1776, Adam Smith published the paper An Inquiry into the Nature and Causes of the Wealth of Nations. It criticized Mercantilism, and argued that economic specialization could benefit nations just as much as firms. Since the division of labour was restricted by the size of the market, he said that countries having access to larger markets would be able to divide labour more efficiently and thereby become more productive. Smith said that he considered all rationalizations of import and export controls "dupery", which hurt the trading nation as a whole for the benefit of specific industries.
|
74 |
+
|
75 |
+
In 1799, the Dutch East India Company, formerly the world's largest company, became bankrupt, partly due to the rise of competitive free trade.
|
76 |
+
|
77 |
+
In 1817, David Ricardo, James Mill and Robert Torrens showed that free trade would benefit the industrially weak as well as the strong, in the famous theory of comparative advantage. In Principles of Political Economy and Taxation Ricardo advanced the doctrine still considered the most counterintuitive in economics:
|
78 |
+
|
79 |
+
The ascendancy of free trade was primarily based on national advantage in the mid 19th century. That is, the calculation made was whether it was in any particular country's self-interest to open its borders to imports.
|
80 |
+
|
81 |
+
John Stuart Mill proved that a country with monopoly pricing power on the international market could manipulate the terms of trade through maintaining tariffs, and that the response to this might be reciprocity in trade policy. Ricardo and others had suggested this earlier. This was taken as evidence against the universal doctrine of free trade, as it was believed that more of the economic surplus of trade would accrue to a country following reciprocal, rather than completely free, trade policies. This was followed within a few years by the infant industry scenario developed by Mill promoting the theory that the government had the duty to protect young industries, although only for a time necessary for them to develop full capacity. This became the policy in many countries attempting to industrialize and out-compete English exporters. Milton Friedman later continued this vein of thought, showing that in a few circumstances tariffs might be beneficial to the host country; but never for the world at large.[63]
|
82 |
+
|
83 |
+
The Great Depression was a major economic recession that ran from 1929 to the late 1930s. During this period, there was a great drop in trade and other economic indicators.
|
84 |
+
|
85 |
+
The lack of free trade was considered by many as a principal cause of the depression causing stagnation and inflation.[64] Only during the World War II the recession ended in the United States. Also during the war, in 1944, 44 countries signed the Bretton Woods Agreement, intended to prevent national trade barriers, to avoid depressions. It set up rules and institutions to regulate the international political economy: the International Monetary Fund and the International Bank for Reconstruction and Development (later divided into the World Bank and Bank for International Settlements). These organizations became operational in 1946 after enough countries ratified the agreement. In 1947, 23 countries agreed to the General Agreement on Tariffs and Trade to promote free trade.[65]
|
86 |
+
|
87 |
+
The European Union became the world's largest exporter of manufactured goods and services, the biggest export market for around 80 countries.[66]
|
88 |
+
|
89 |
+
Today, trade is merely a subset within a complex system of companies which try to maximize their profits by offering products and services to the market (which consists both of individuals and other companies) at the lowest production cost. A system of international trade has helped to develop the world economy but, in combination with bilateral or multilateral agreements to lower tariffs or to achieve free trade, has sometimes harmed third-world markets for local products.
|
90 |
+
|
91 |
+
Free trade advanced further in the late 20th century and early 2000s:
|
92 |
+
|
93 |
+
Protectionism is the policy of restraining and discouraging trade between states and contrasts with the policy of free trade. This policy often takes the form of tariffs and restrictive quotas. Protectionist policies were particularly prevalent in the 1930s, between the Great Depression and the onset of World War II.
|
94 |
+
|
95 |
+
Islamic teachings encourage trading (and condemn usury or interest).[67][68]
|
96 |
+
|
97 |
+
Judeao-Christian teachings prohibit fraud and dishonest measures, and historically also forbade the charging of interest on loans.[69][70]
|
98 |
+
|
99 |
+
The first instances of money were objects with intrinsic value. This is called commodity money and includes any commonly available commodity that has intrinsic value; historical examples include pigs, rare seashells, whale's teeth, and (often) cattle. In medieval Iraq, bread was used as an early form of money. In Mexico under Montezuma, cocoa beans were money.[71]
|
100 |
+
|
101 |
+
Currency was introduced as standardised money to facilitate a wider exchange of goods and services. This first stage of currency, where metals were used to represent stored value, and symbols to represent commodities, formed the basis of trade in the Fertile Crescent for over 1500 years.
|
102 |
+
|
103 |
+
Numismatists have examples of coins from the earliest large-scale societies, although these were initially unmarked lumps of precious metal.[72]
|
104 |
+
|
105 |
+
The Doha round of World Trade Organization negotiations aimed to lower barriers to trade around the world, with a focus on making trade fairer for developing countries. Talks have been hung over a divide between the rich developed countries, represented by the G20, and the major developing countries. Agricultural subsidies are the most significant issue upon which agreement has been the hardest to negotiate. By contrast, there was much agreement on trade facilitation and capacity building. The Doha round began in Doha, Qatar, and negotiations were continued in: Cancún, Mexico; Geneva, Switzerland; and Paris, France and Hong Kong.[citation needed]
|
106 |
+
|
107 |
+
Beginning around 1978, the government of the People's Republic of China (PRC) began an experiment in economic reform. In contrast to the previous Soviet-style centrally planned economy, the new measures progressively relaxed restrictions on farming, agricultural distribution and, several years later, urban enterprises and labor. The more market-oriented approach reduced inefficiencies and stimulated private investment, particularly by farmers, which led to increased productivity and output. One feature was the establishment of four (later five) Special Economic Zones located along the South-east coast.[73]
|
108 |
+
|
109 |
+
The reforms proved spectacularly successful in terms of increased output, variety, quality, price and demand. In real terms, the economy doubled in size between 1978 and 1986, doubled again by 1994, and again by 2003. On a real per capita basis, doubling from the 1978 base took place in 1987, 1996 and 2006. By 2008, the economy was 16.7 times the size it was in 1978, and 12.1 times its previous per capita levels. International trade progressed even more rapidly, doubling on average every 4.5 years. Total two-way trade in January 1998 exceeded that for all of 1978; in the first quarter of 2009, trade exceeded the full-year 1998 level. In 2008, China's two-way trade totaled US$2.56 trillion.[74]
|
110 |
+
|
111 |
+
In 1991 China joined the Asia-Pacific Economic Cooperation group, a trade-promotion forum.
|
112 |
+
[75] In 2001, it also joined the World Trade Organization.[76]
|
113 |
+
|
114 |
+
International trade is the exchange of goods and services across national borders. In most countries, it represents a significant part of GDP. While international trade has been present throughout much of history (see Silk Road, Amber Road), its economic, social, and political importance have increased in recent centuries, mainly because of Industrialization, advanced transportation, globalization, multinational corporations, and outsourcing.[citation needed]
|
115 |
+
|
116 |
+
Empirical evidence for the success of trade can be seen in the contrast between countries such as South Korea, which adopted a policy of export-oriented industrialization, and India, which historically had a more closed policy. South Korea has done much better by economic criteria than India over the past fifty years, though its success also has to do with effective state institutions.[citation needed]
|
117 |
+
|
118 |
+
Trade sanctions against a specific country are sometimes imposed, in order to punish that country for some action. An embargo, a severe form of externally imposed isolation, is a blockade of all trade by one country on another. For example, the United States has had an embargo against Cuba for over 40 years.[77]
|
119 |
+
|
120 |
+
The "fair trade" movement, also known as the "trade justice" movement, promotes the use of labour, environmental and social standards for the production of commodities, particularly those exported from the Third and Second Worlds to the First World. Such ideas have also sparked a debate on whether trade itself should be codified as a human right.[78].
|
121 |
+
|
122 |
+
Importing firms voluntarily adhere to fair trade standards or governments may enforce them through a combination of employment and commercial law. Proposed and practiced fair trade policies vary widely, ranging from the common prohibition of goods made using slave labour to minimum price support schemes such as those for coffee in the 1980s. Non-governmental organizations also play a role in promoting fair trade standards by serving as independent monitors of compliance with labeling requirements.[79][80] As such, it is a form of Protectionism.
|
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1 |
+
Trade involves the transfer of goods or services from one person or entity to another, often in exchange for money. Economists refer to a system or network that allows trade as a market.
|
2 |
+
|
3 |
+
An early form of trade, barter, saw the direct exchange of goods and services for other goods and services.[1][need quotation to verify] Barter involves trading things without the use of money.[1] When either bartering party started to involve precious metals, these gained symbolic as well as practical importance.[citation needed] Modern traders generally negotiate through a medium of exchange, such as money. As a result, buying can be separated from selling, or earning. The invention of money (and later of credit, paper money and non-physical money) greatly simplified and promoted trade. Trade between two traders is called bilateral trade, while trade involving more than two traders is called multilateral trade.
|
4 |
+
|
5 |
+
In one modern view, trade exists due to specialization and the division of labor, a predominant form of economic activity in which individuals and groups concentrate on a small aspect of production, but use their output in trades for other products and needs.[2] Trade exists between regions because different regions may have a comparative advantage (perceived or real) in the production of some trade-able commodity—including production of natural resources scarce or limited elsewhere. For example: different regions' sizes may encourage mass production. In such circumstances, trade at market prices between locations can benefit both locations.
|
6 |
+
|
7 |
+
Retail trade consists of the sale of goods or merchandise from a very fixed location[3] (such as a department store, boutique or kiosk), online or by mail, in small or individual lots for direct consumption or use by the purchaser.[4] Wholesale trade is defined[by whom?] as traffic in goods that are sold as merchandise to retailers, or to industrial, commercial, institutional, or other professional business users, or to other wholesalers and related subordinated services.
|
8 |
+
|
9 |
+
Historically, openness to free trade substantially increased in some areas from 1815 to the outbreak of World War I[citation needed] in 1914. Trade openness increased again during the 1920s, but collapsed (in particular in Europe and North America) during the Great Depression of the 1930s. Trade openness increased substantially again from the 1950s onwards (albeit with a slowdown during the oil crisis of the 1970s). Economists and economic historians[which?] contend that current levels of trade openness are the highest they have ever been.[5][6][7]
|
10 |
+
|
11 |
+
Trade is from Middle English trade ("path, course of conduct"), introduced into English by Hanseatic merchants, from Middle Low German trade ("track, course"), from Old Saxon trada ("spoor, track"), from Proto-Germanic *tradō ("track, way"), and cognate with Old English tredan ("to tread").
|
12 |
+
|
13 |
+
Commerce is derived from the Latin commercium, from cum "together" and merx, "merchandise."[8]
|
14 |
+
|
15 |
+
Trade originated with human communication in prehistoric times. Trading was the main facility of prehistoric people,[citation needed] who bartered goods and services from each other before the innovation of modern-day currency. Peter Watson dates the history of long-distance commerce from circa 150,000 years ago.[9]
|
16 |
+
|
17 |
+
In the Mediterranean region the earliest contact between cultures involved members of the species Homo sapiens, principally using the Danube river, at a time beginning 35,000–30,000 BP.[10][11][12][13][need quotation to verify]
|
18 |
+
|
19 |
+
Some[who?] trace the origins of commerce to the very start of transactions in prehistoric times. Apart from traditional self-sufficiency, trading became a principal facility of prehistoric people, who bartered what they had for goods and services from each other.
|
20 |
+
|
21 |
+
Trade is believed[by whom?] to have taken place throughout much[quantify] of recorded human history. There is evidence of the exchange of obsidian and flint during the Stone Age. Trade in obsidian is believed[by whom?] to have taken place in New Guinea from 17,000 BCE.[15][16]
|
22 |
+
|
23 |
+
The earliest use of obsidian in the Near East dates to the Lower and Middle paleolithic.[17]
|
24 |
+
|
25 |
+
Robert Carr Bosanquet investigated trade in the Stone Age by excavations in 1901.[18][19] Trade is believed[by whom?] to have first begun in south west Asia.[20][21]
|
26 |
+
|
27 |
+
Archaeological evidence of obsidian use provides data on how this material was increasingly the preferred choice rather than chert from the late Mesolithic to Neolithic, requiring exchange as deposits of obsidian are rare in the Mediterranean region.[22][23][24]
|
28 |
+
|
29 |
+
Obsidian is thought[by whom?] to have provided the material to make cutting utensils or tools, although since other more easily obtainable materials were available, use was found[by whom?] exclusive to the higher status of the tribe using "the rich man's flint".[25]
|
30 |
+
|
31 |
+
Obsidian was traded at distances of 900 kilometres within the Mediterranean region.[26]
|
32 |
+
|
33 |
+
Trade in the Mediterranean during the Neolithic of Europe was greatest in this material.[22][27] Networks were in existence at around 12,000 BCE[28] Anatolia was the source primarily for trade with the Levant, Iran and Egypt according to Zarins study of 1990.[29][30][31] Melos and Lipari sources produced among the most widespread trading in the Mediterranean region as known to archaeology.[32]
|
34 |
+
|
35 |
+
The Sari-i-Sang mine in the mountains of Afghanistan was the largest source for trade of lapis lazuli.[33][34] The material was most largely traded during the Kassite period of Babylonia beginning 1595 BCE.[35][36]
|
36 |
+
|
37 |
+
Ebla was a prominent trading centre during the third millennia, with a network reaching into Anatolia and north Mesopotamia.[32][37][38][39]
|
38 |
+
|
39 |
+
Materials used for creating jewelry were traded with Egypt since 3000 BCE. Long-range trade routes first appeared in the 3rd millennium BCE, when Sumerians in Mesopotamia traded with the Harappan civilization of the Indus Valley. The Phoenicians were noted sea traders, traveling across the Mediterranean Sea, and as far north as Britain for sources of tin to manufacture bronze. For this purpose they established trade colonies the Greeks called emporia.[40]
|
40 |
+
|
41 |
+
From the beginning of Greek civilization until the fall of the Roman Empire in the 5th century, a financially lucrative trade brought valuable spice to Europe from the far east, including India and China. Roman commerce allowed its empire to flourish and endure. The latter Roman Republic and the Pax Romana of the Roman empire produced a stable and secure transportation network that enabled the shipment of trade goods without fear of significant piracy, as Rome had become the sole effective sea power in the Mediterranean with the conquest of Egypt and the near east.[41]
|
42 |
+
|
43 |
+
In ancient Greece Hermes was the god of trade[42][43] (commerce) and weights and measures,[44] for Romans Mercurius also the god of merchants, whose festival was celebrated by traders on the 25th day of the fifth month.[45][46] The concept of free trade was an antithesis to the will and economic direction of the sovereigns of the ancient Greek states. Free trade between states was stifled by the need for strict internal controls (via taxation) to maintain security within the treasury of the sovereign, which nevertheless enabled the maintenance of a modicum of civility within the structures of functional community life.[47][48]
|
44 |
+
|
45 |
+
The fall of the Roman empire and the succeeding Dark Ages brought instability to Western Europe and a near-collapse of the trade network in the western world. Trade, however, continued to flourish among the kingdoms of Africa, the Middle East, India, China, and Southeast Asia. Some trade did occur in the west. For instance, Radhanites were a medieval guild or group (the precise meaning of the word is lost to history) of Jewish merchants who traded between the Christians in Europe and the Muslims of the Near East.[49]
|
46 |
+
|
47 |
+
The first true maritime trade network in the Indian Ocean was by the Austronesian peoples of Island Southeast Asia,[50] who built the first ocean-going ships.[51] They established trade routes with Southern India and Sri Lanka as early as 1500 BC, ushering an exchange of material culture (like catamarans, outrigger boats, sewn-plank boats, and paan) and cultigens (like coconuts, sandalwood, bananas, and sugarcane); as well as connecting the material cultures of India and China. Indonesians, in particular were trading in spices (mainly cinnamon and cassia) with East Africa using catamaran and outrigger boats and sailing with the help of the Westerlies in the Indian Ocean. This trade network expanded to reach as far as Africa and the Arabian Peninsula, resulting in the Austronesian colonization of Madagascar by the first half of the first millennium AD. It continued up to historic times, later becoming the Maritime Silk Road.[50][52][53][54][55]
|
48 |
+
|
49 |
+
The emergence of exchange networks in the Pre-Columbian societies of and near to Mexico are known to have occurred within recent years before and after 1500 BCE.[57]
|
50 |
+
|
51 |
+
Trade networks reached north to Oasisamerica. There is evidence of established maritime trade with the cultures of northwestern South America and the Caribbean.
|
52 |
+
|
53 |
+
Middle Ages
|
54 |
+
|
55 |
+
During the Middle Ages, commerce developed in Europe by trading luxury goods at trade fairs. Wealth became converted into movable wealth or capital. Banking systems developed where money on account was transferred across national boundaries. Hand to hand markets became a feature of town life, and were regulated by town authorities.
|
56 |
+
|
57 |
+
Western Europe established a complex and expansive trade network with cargo ships being the main workhorse for the movement of goods, Cogs and Hulks are two examples of such cargo ships.[58] Many ports would develop their own extensive trade networks. The English port city of Bristol traded with peoples from what is modern day Iceland, all along the western coast of France, and down to what is now Spain.[59]
|
58 |
+
|
59 |
+
During the Middle Ages, Central Asia was the economic center of the world.[60] The Sogdians dominated the East-West trade route known as the Silk Road after the 4th century CE up to the 8th century CE, with Suyab and Talas ranking among their main centers in the north. They were the main caravan merchants of Central Asia.
|
60 |
+
|
61 |
+
From the 8th to the 11th century, the Vikings and Varangians traded as they sailed from and to Scandinavia. Vikings sailed to Western Europe, while Varangians to Russia. The Hanseatic League was an alliance of trading cities that maintained a trade monopoly over most of Northern Europe and the Baltic, between the 13th and 17th centuries.
|
62 |
+
|
63 |
+
Vasco da Gama pioneered the European Spice trade in 1498 when he reached Calicut after sailing around the Cape of Good Hope at the southern tip of the African continent. Prior to this, the flow of spice into Europe from India was controlled by Islamic powers, especially Egypt. The spice trade was of major economic importance and helped spur the Age of Discovery in Europe. Spices brought to Europe from the Eastern world were some of the most valuable commodities for their weight, sometimes rivaling gold.
|
64 |
+
|
65 |
+
From 1070 onward, kingdoms in West Africa became significant members of global trade.[61] This came initially through the movement of gold and other resources sent out by Muslim traders on the Trans-Saharan trading network.[61] Later, West Africa exported gold, spices, cloth, and slaves to European traders such as the Portuguese, Dutch, and English.[61] This was often in exchange for cloth, iron, or cowrie shells which were used locally as currency.[61]
|
66 |
+
|
67 |
+
Founded in 1352, the Bengal Sultanate was a major trading nation in the world and often referred to by the Europeans as the richest country to trade with.[62]
|
68 |
+
|
69 |
+
In the 16th and 17th centuries, the Portuguese gained an economic advantage in the Kingdom of Kongo due to different philosophies of trade.[61] Whereas Portuguese traders concentrated on the accumulation of capital, in Kongo spiritual meaning was attached to many objects of trade. According to economic historian Toby Green, in Kongo "giving more than receiving was a symbol of spiritual and political power and privilege."[61]
|
70 |
+
|
71 |
+
In the 16th century, the Seventeen Provinces were the center of free trade, imposing no exchange controls, and advocating the free movement of goods. Trade in the East Indies was dominated by Portugal in the 16th century, the Dutch Republic in the 17th century, and the British in the 18th century. The Spanish Empire developed regular trade links across both the Atlantic and the Pacific Oceans.
|
72 |
+
|
73 |
+
In 1776, Adam Smith published the paper An Inquiry into the Nature and Causes of the Wealth of Nations. It criticized Mercantilism, and argued that economic specialization could benefit nations just as much as firms. Since the division of labour was restricted by the size of the market, he said that countries having access to larger markets would be able to divide labour more efficiently and thereby become more productive. Smith said that he considered all rationalizations of import and export controls "dupery", which hurt the trading nation as a whole for the benefit of specific industries.
|
74 |
+
|
75 |
+
In 1799, the Dutch East India Company, formerly the world's largest company, became bankrupt, partly due to the rise of competitive free trade.
|
76 |
+
|
77 |
+
In 1817, David Ricardo, James Mill and Robert Torrens showed that free trade would benefit the industrially weak as well as the strong, in the famous theory of comparative advantage. In Principles of Political Economy and Taxation Ricardo advanced the doctrine still considered the most counterintuitive in economics:
|
78 |
+
|
79 |
+
The ascendancy of free trade was primarily based on national advantage in the mid 19th century. That is, the calculation made was whether it was in any particular country's self-interest to open its borders to imports.
|
80 |
+
|
81 |
+
John Stuart Mill proved that a country with monopoly pricing power on the international market could manipulate the terms of trade through maintaining tariffs, and that the response to this might be reciprocity in trade policy. Ricardo and others had suggested this earlier. This was taken as evidence against the universal doctrine of free trade, as it was believed that more of the economic surplus of trade would accrue to a country following reciprocal, rather than completely free, trade policies. This was followed within a few years by the infant industry scenario developed by Mill promoting the theory that the government had the duty to protect young industries, although only for a time necessary for them to develop full capacity. This became the policy in many countries attempting to industrialize and out-compete English exporters. Milton Friedman later continued this vein of thought, showing that in a few circumstances tariffs might be beneficial to the host country; but never for the world at large.[63]
|
82 |
+
|
83 |
+
The Great Depression was a major economic recession that ran from 1929 to the late 1930s. During this period, there was a great drop in trade and other economic indicators.
|
84 |
+
|
85 |
+
The lack of free trade was considered by many as a principal cause of the depression causing stagnation and inflation.[64] Only during the World War II the recession ended in the United States. Also during the war, in 1944, 44 countries signed the Bretton Woods Agreement, intended to prevent national trade barriers, to avoid depressions. It set up rules and institutions to regulate the international political economy: the International Monetary Fund and the International Bank for Reconstruction and Development (later divided into the World Bank and Bank for International Settlements). These organizations became operational in 1946 after enough countries ratified the agreement. In 1947, 23 countries agreed to the General Agreement on Tariffs and Trade to promote free trade.[65]
|
86 |
+
|
87 |
+
The European Union became the world's largest exporter of manufactured goods and services, the biggest export market for around 80 countries.[66]
|
88 |
+
|
89 |
+
Today, trade is merely a subset within a complex system of companies which try to maximize their profits by offering products and services to the market (which consists both of individuals and other companies) at the lowest production cost. A system of international trade has helped to develop the world economy but, in combination with bilateral or multilateral agreements to lower tariffs or to achieve free trade, has sometimes harmed third-world markets for local products.
|
90 |
+
|
91 |
+
Free trade advanced further in the late 20th century and early 2000s:
|
92 |
+
|
93 |
+
Protectionism is the policy of restraining and discouraging trade between states and contrasts with the policy of free trade. This policy often takes the form of tariffs and restrictive quotas. Protectionist policies were particularly prevalent in the 1930s, between the Great Depression and the onset of World War II.
|
94 |
+
|
95 |
+
Islamic teachings encourage trading (and condemn usury or interest).[67][68]
|
96 |
+
|
97 |
+
Judeao-Christian teachings prohibit fraud and dishonest measures, and historically also forbade the charging of interest on loans.[69][70]
|
98 |
+
|
99 |
+
The first instances of money were objects with intrinsic value. This is called commodity money and includes any commonly available commodity that has intrinsic value; historical examples include pigs, rare seashells, whale's teeth, and (often) cattle. In medieval Iraq, bread was used as an early form of money. In Mexico under Montezuma, cocoa beans were money.[71]
|
100 |
+
|
101 |
+
Currency was introduced as standardised money to facilitate a wider exchange of goods and services. This first stage of currency, where metals were used to represent stored value, and symbols to represent commodities, formed the basis of trade in the Fertile Crescent for over 1500 years.
|
102 |
+
|
103 |
+
Numismatists have examples of coins from the earliest large-scale societies, although these were initially unmarked lumps of precious metal.[72]
|
104 |
+
|
105 |
+
The Doha round of World Trade Organization negotiations aimed to lower barriers to trade around the world, with a focus on making trade fairer for developing countries. Talks have been hung over a divide between the rich developed countries, represented by the G20, and the major developing countries. Agricultural subsidies are the most significant issue upon which agreement has been the hardest to negotiate. By contrast, there was much agreement on trade facilitation and capacity building. The Doha round began in Doha, Qatar, and negotiations were continued in: Cancún, Mexico; Geneva, Switzerland; and Paris, France and Hong Kong.[citation needed]
|
106 |
+
|
107 |
+
Beginning around 1978, the government of the People's Republic of China (PRC) began an experiment in economic reform. In contrast to the previous Soviet-style centrally planned economy, the new measures progressively relaxed restrictions on farming, agricultural distribution and, several years later, urban enterprises and labor. The more market-oriented approach reduced inefficiencies and stimulated private investment, particularly by farmers, which led to increased productivity and output. One feature was the establishment of four (later five) Special Economic Zones located along the South-east coast.[73]
|
108 |
+
|
109 |
+
The reforms proved spectacularly successful in terms of increased output, variety, quality, price and demand. In real terms, the economy doubled in size between 1978 and 1986, doubled again by 1994, and again by 2003. On a real per capita basis, doubling from the 1978 base took place in 1987, 1996 and 2006. By 2008, the economy was 16.7 times the size it was in 1978, and 12.1 times its previous per capita levels. International trade progressed even more rapidly, doubling on average every 4.5 years. Total two-way trade in January 1998 exceeded that for all of 1978; in the first quarter of 2009, trade exceeded the full-year 1998 level. In 2008, China's two-way trade totaled US$2.56 trillion.[74]
|
110 |
+
|
111 |
+
In 1991 China joined the Asia-Pacific Economic Cooperation group, a trade-promotion forum.
|
112 |
+
[75] In 2001, it also joined the World Trade Organization.[76]
|
113 |
+
|
114 |
+
International trade is the exchange of goods and services across national borders. In most countries, it represents a significant part of GDP. While international trade has been present throughout much of history (see Silk Road, Amber Road), its economic, social, and political importance have increased in recent centuries, mainly because of Industrialization, advanced transportation, globalization, multinational corporations, and outsourcing.[citation needed]
|
115 |
+
|
116 |
+
Empirical evidence for the success of trade can be seen in the contrast between countries such as South Korea, which adopted a policy of export-oriented industrialization, and India, which historically had a more closed policy. South Korea has done much better by economic criteria than India over the past fifty years, though its success also has to do with effective state institutions.[citation needed]
|
117 |
+
|
118 |
+
Trade sanctions against a specific country are sometimes imposed, in order to punish that country for some action. An embargo, a severe form of externally imposed isolation, is a blockade of all trade by one country on another. For example, the United States has had an embargo against Cuba for over 40 years.[77]
|
119 |
+
|
120 |
+
The "fair trade" movement, also known as the "trade justice" movement, promotes the use of labour, environmental and social standards for the production of commodities, particularly those exported from the Third and Second Worlds to the First World. Such ideas have also sparked a debate on whether trade itself should be codified as a human right.[78].
|
121 |
+
|
122 |
+
Importing firms voluntarily adhere to fair trade standards or governments may enforce them through a combination of employment and commercial law. Proposed and practiced fair trade policies vary widely, ranging from the common prohibition of goods made using slave labour to minimum price support schemes such as those for coffee in the 1980s. Non-governmental organizations also play a role in promoting fair trade standards by serving as independent monitors of compliance with labeling requirements.[79][80] As such, it is a form of Protectionism.
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Alexander Graham Bell (/ˈɡreɪ.əm/; March 3, 1847 – August 2, 1922)[3] was a Scottish-born[N 2] inventor, scientist, and engineer who is credited with inventing and patenting the first practical telephone. He also co-founded the American Telephone and Telegraph Company (AT&T) in 1885.[6]
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Bell's father, grandfather, and brother had all been associated with work on elocution and speech and both his mother and wife were deaf, profoundly influencing Bell's life's work.[7] His research on hearing and speech further led him to experiment with hearing devices which eventually culminated in Bell being awarded the first U.S. patent for the telephone, on March 7, 1876.[N 3] Bell considered his invention an intrusion on his real work as a scientist and refused to have a telephone in his study.[8][N 4]
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Many other inventions marked Bell's later life, including groundbreaking work in optical telecommunications, hydrofoils, and aeronautics. Although Bell was not one of the 33 founders[10] of the National Geographic Society, he had a strong influence on the magazine while serving as the second president from January 7, 1898, until 1903.[11]
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Beyond his scientific work, Bell was an advocate of compulsory sterilization, and served as chairman or president of several eugenics organizations.[12]
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Alexander Bell was born in Edinburgh, Scotland, on March 3, 1847.[13] The family home was at South Charlotte Street, and has a stone inscription marking it as Alexander Graham Bell's birthplace. He had two brothers: Melville James Bell (1845–1870) and Edward Charles Bell (1848–1867), both of whom would die of tuberculosis.[14] His father was Professor Alexander Melville Bell, a phonetician, and his mother was Eliza Grace (née Symonds).[15] Born as just "Alexander Bell", at age 10, he made a plea to his father to have a middle name like his two brothers.[16][N 5] For his 11th birthday, his father acquiesced and allowed him to adopt the name "Graham", chosen out of respect for Alexander Graham, a Canadian being treated by his father who had become a family friend.[17] To close relatives and friends he remained "Aleck".[18]
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As a child, young Bell displayed a curiosity about his world; he gathered botanical specimens and ran experiments at an early age. His best friend was Ben Herdman, a neighbour whose family operated a flour mill. At the age of 12, Bell built a homemade device that combined rotating paddles with sets of nail brushes, creating a simple dehusking machine that was put into operation at the mill and used steadily for a number of years.[19] In return, Ben's father John Herdman gave both boys the run of a small workshop in which to "invent".[19]
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From his early years, Bell showed a sensitive nature and a talent for art, poetry, and music that was encouraged by his mother. With no formal training, he mastered the piano and became the family's pianist.[20] Despite being normally quiet and introspective, he revelled in mimicry and "voice tricks" akin to ventriloquism that continually entertained family guests during their occasional visits.[20] Bell was also deeply affected by his mother's gradual deafness (she began to lose her hearing when he was 12), and learned a manual finger language so he could sit at her side and tap out silently the conversations swirling around the family parlour.[21] He also developed a technique of speaking in clear, modulated tones directly into his mother's forehead wherein she would hear him with reasonable clarity.[22] Bell's preoccupation with his mother's deafness led him to study acoustics.
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His family was long associated with the teaching of elocution: his grandfather, Alexander Bell, in London, his uncle in Dublin, and his father, in Edinburgh, were all elocutionists. His father published a variety of works on the subject, several of which are still well known, especially his The Standard Elocutionist (1860),[20] which appeared in Edinburgh in 1868. The Standard Elocutionist appeared in 168 British editions and sold over a quarter of a million copies in the United States alone. In this treatise, his father explains his methods of how to instruct deaf-mutes (as they were then known) to articulate words and read other people's lip movements to decipher meaning. Bell's father taught him and his brothers not only to write Visible Speech but to identify any symbol and its accompanying sound.[23] Bell became so proficient that he became a part of his father's public demonstrations and astounded audiences with his abilities. He could decipher Visible Speech representing virtually every language, including Latin, Scottish Gaelic, and even Sanskrit, accurately reciting written tracts without any prior knowledge of their pronunciation.[23]
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As a young child, Bell, like his brothers, received his early schooling at home from his father. At an early age, he was enrolled at the Royal High School, Edinburgh, Scotland, which he left at the age of 15, having completed only the first four forms.[24] His school record was undistinguished, marked by absenteeism and lacklustre grades. His main interest remained in the sciences, especially biology, while he treated other school subjects with indifference, to the dismay of his father.[25] Upon leaving school, Bell travelled to London to live with his grandfather, Alexander Bell, on Harrington Square. During the year he spent with his grandfather, a love of learning was born, with long hours spent in serious discussion and study. The elder Bell took great efforts to have his young pupil learn to speak clearly and with conviction, the attributes that his pupil would need to become a teacher himself.[26] At the age of 16, Bell secured a position as a "pupil-teacher" of elocution and music, in Weston House Academy at Elgin, Moray, Scotland. Although he was enrolled as a student in Latin and Greek, he instructed classes himself in return for board and £10 per session.[27] The following year, he attended the University of Edinburgh; joining his older brother Melville who had enrolled there the previous year. In 1868, not long before he departed for Canada with his family, Bell completed his matriculation exams and was accepted for admission to University College London.[28]
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His father encouraged Bell's interest in speech and, in 1863, took his sons to see a unique automaton developed by Sir Charles Wheatstone based on the earlier work of Baron Wolfgang von Kempelen.[29] The rudimentary "mechanical man" simulated a human voice. Bell was fascinated by the machine and after he obtained a copy of von Kempelen's book, published in German, and had laboriously translated it, he and his older brother Melville built their own automaton head. Their father, highly interested in their project, offered to pay for any supplies and spurred the boys on with the enticement of a "big prize" if they were successful.[29] While his brother constructed the throat and larynx, Bell tackled the more difficult task of recreating a realistic skull. His efforts resulted in a remarkably lifelike head that could "speak", albeit only a few words.[29] The boys would carefully adjust the "lips" and when a bellows forced air through the windpipe, a very recognizable "Mama" ensued, to the delight of neighbours who came to see the Bell invention.[30]
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Intrigued by the results of the automaton, Bell continued to experiment with a live subject, the family's Skye Terrier, "Trouve".[31] After he taught it to growl continuously, Bell would reach into its mouth and manipulate the dog's lips and vocal cords to produce a crude-sounding "Ow ah oo ga ma ma". With little convincing, visitors believed his dog could articulate "How are you, grandma?" Indicative of his playful nature, his experiments convinced onlookers that they saw a "talking dog".[32] These initial forays into experimentation with sound led Bell to undertake his first serious work on the transmission of sound, using tuning forks to explore resonance.
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At age 19, Bell wrote a report on his work and sent it to philologist Alexander Ellis, a colleague of his father (who would later be portrayed as Professor Henry Higgins in Pygmalion).[32] Ellis immediately wrote back indicating that the experiments were similar to existing work in Germany, and also lent Bell a copy of Hermann von Helmholtz's work, The Sensations of Tone as a Physiological Basis for the Theory of Music.[33]
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Dismayed to find that groundbreaking work had already been undertaken by Helmholtz who had conveyed vowel sounds by means of a similar tuning fork "contraption", Bell pored over the German scientist's book. Working from his own erroneous mistranslation of a French edition,[34] Bell fortuitously then made a deduction that would be the underpinning of all his future work on transmitting sound, reporting: "Without knowing much about the subject, it seemed to me that if vowel sounds could be produced by electrical means, so could consonants, so could articulate speech." He also later remarked: "I thought that Helmholtz had done it ... and that my failure was due only to my ignorance of electricity. It was a valuable blunder ... If I had been able to read German in those days, I might never have commenced my experiments!"[35][36][37][N 6]
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In 1865, when the Bell family moved to London,[38] Bell returned to Weston House as an assistant master and, in his spare hours, continued experiments on sound using a minimum of laboratory equipment. Bell concentrated on experimenting with electricity to convey sound and later installed a telegraph wire from his room in Somerset College to that of a friend.[39] Throughout late 1867, his health faltered mainly through exhaustion. His younger brother, Edward "Ted," was similarly bed-ridden, suffering from tuberculosis. While Bell recovered (by then referring to himself in correspondence as "A. G. Bell") and served the next year as an instructor at Somerset College, Bath, England, his brother's condition deteriorated. Edward would never recover. Upon his brother's death, Bell returned home in 1867. His older brother Melville had married and moved out. With aspirations to obtain a degree at University College London, Bell considered his next years as preparation for the degree examinations, devoting his spare time at his family's residence to studying.
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Helping his father in Visible Speech demonstrations and lectures brought Bell to Susanna E. Hull's private school for the deaf in South Kensington, London. His first two pupils were deaf-mute girls who made remarkable progress under his tutelage. While his older brother seemed to achieve success on many fronts including opening his own elocution school, applying for a patent on an invention, and starting a family, Bell continued as a teacher. However, in May 1870, Melville died from complications due to tuberculosis, causing a family crisis. His father had also suffered a debilitating illness earlier in life and had been restored to health by a convalescence in Newfoundland. Bell's parents embarked upon a long-planned move when they realized that their remaining son was also sickly. Acting decisively, Alexander Melville Bell asked Bell to arrange for the sale of all the family property,[40][N 7] conclude all of his brother's affairs (Bell took over his last student, curing a pronounced lisp),[41] and join his father and mother in setting out for the "New World". Reluctantly, Bell also had to conclude a relationship with Marie Eccleston, who, as he had surmised, was not prepared to leave England with him.[42]
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In 1870, 23-year-old Bell travelled with his parents and his brother's widow, Caroline Margaret Ottaway,[43] to Paris, Ontario,[44] to stay with the Reverend Thomas Henderson, a family friend. The Bell family soon purchased a farm of 10.5 acres (42,000 m2) at Tutelo Heights (now called Tutela Heights), near Brantford, Ontario. The property consisted of an orchard, large farmhouse, stable, pigsty, hen-house, and a carriage house, which bordered the Grand River.[45][N 8]
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At the homestead, Bell set up his own workshop in the converted carriage house near to what he called his "dreaming place",[47] a large hollow nestled in trees at the back of the property above the river.[48] Despite his frail condition upon arriving in Canada, Bell found the climate and environs to his liking, and rapidly improved.[49][N 9] He continued his interest in the study of the human voice and when he discovered the Six Nations Reserve across the river at Onondaga, he learned the Mohawk language and translated its unwritten vocabulary into Visible Speech symbols. For his work, Bell was awarded the title of Honorary Chief and participated in a ceremony where he donned a Mohawk headdress and danced traditional dances.[50][N 10]
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After setting up his workshop, Bell continued experiments based on Helmholtz's work with electricity and sound.[51] He also modified a melodeon (a type of pump organ) so that it could transmit its music electrically over a distance.[52] Once the family was settled in, both Bell and his father made plans to establish a teaching practice and in 1871, he accompanied his father to Montreal, where Melville was offered a position to teach his System of Visible Speech.
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Bell's father was invited by Sarah Fuller, principal of the Boston School for Deaf Mutes (which continues today as the public Horace Mann School for the Deaf),[53] in Boston, Massachusetts, United States, to introduce the Visible Speech System by providing training for Fuller's instructors, but he declined the post in favour of his son. Travelling to Boston in April 1871, Bell proved successful in training the school's instructors.[54] He was subsequently asked to repeat the programme at the American Asylum for Deaf-mutes in Hartford, Connecticut, and the Clarke School for the Deaf in Northampton, Massachusetts.
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Returning home to Brantford after six months abroad, Bell continued his experiments with his "harmonic telegraph".[55][N 11] The basic concept behind his device was that messages could be sent through a single wire if each message was transmitted at a different pitch, but work on both the transmitter and receiver was needed.[56]
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Unsure of his future, he first contemplated returning to London to complete his studies, but decided to return to Boston as a teacher.[57] His father helped him set up his private practice by contacting Gardiner Greene Hubbard, the president of the Clarke School for the Deaf for a recommendation. Teaching his father's system, in October 1872, Alexander Bell opened his "School of Vocal Physiology and Mechanics of Speech" in Boston, which attracted a large number of deaf pupils, with his first class numbering 30 students.[58][59] While he was working as a private tutor, one of his pupils was Helen Keller, who came to him as a young child unable to see, hear, or speak. She was later to say that Bell dedicated his life to the penetration of that "inhuman silence which separates and estranges".[60] In 1893, Keller performed the sod-breaking ceremony for the construction of Bell's new Volta Bureau, dedicated to "the increase and diffusion of knowledge relating to the deaf".[61][62]
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Several influential people of the time, including Bell, viewed deafness as something that should be eradicated, and also believed that with resources and effort, they could teach the deaf to speak and avoid the use of sign language, thus enabling their integration within the wider society from which many were often being excluded.[63] Owing to his efforts to suppress the teaching of sign language, Bell is often viewed negatively by those embracing Deaf culture.[64]
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In 1872, Bell became professor of Vocal Physiology and Elocution at the Boston University School of Oratory. During this period, he alternated between Boston and Brantford, spending summers in his Canadian home. At Boston University, Bell was "swept up" by the excitement engendered by the many scientists and inventors residing in the city. He continued his research in sound and endeavored to find a way to transmit musical notes and articulate speech, but although absorbed by his experiments, he found it difficult to devote enough time to experimentation. While days and evenings were occupied by his teaching and private classes, Bell began to stay awake late into the night, running experiment after experiment in rented facilities at his boarding house. Keeping "night owl" hours, he worried that his work would be discovered and took great pains to lock up his notebooks and laboratory equipment. Bell had a specially made table where he could place his notes and equipment inside a locking cover.[65] Worse still, his health deteriorated as he suffered severe headaches.[56] Returning to Boston in fall 1873, Bell made a fateful decision to concentrate on his experiments in sound.
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Deciding to give up his lucrative private Boston practice, Bell retained only two students, six-year-old "Georgie" Sanders, deaf from birth, and 15-year-old Mabel Hubbard. Each pupil would play an important role in the next developments. George's father, Thomas Sanders, a wealthy businessman, offered Bell a place to stay in nearby Salem with Georgie's grandmother, complete with a room to "experiment". Although the offer was made by George's mother and followed the year-long arrangement in 1872 where her son and his nurse had moved to quarters next to Bell's boarding house, it was clear that Mr. Sanders was backing the proposal. The arrangement was for teacher and student to continue their work together, with free room and board thrown in.[66] Mabel was a bright, attractive girl who was ten years Bell's junior but became the object of his affection. Having lost her hearing after a near-fatal bout of scarlet fever close to her fifth birthday,[67][68][N 12] she had learned to read lips but her father, Gardiner Greene Hubbard, Bell's benefactor and personal friend, wanted her to work directly with her teacher.[69]
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By 1874, Bell's initial work on the harmonic telegraph had entered a formative stage, with progress made both at his new Boston "laboratory" (a rented facility) and at his family home in Canada a big success.[N 13] While working that summer in Brantford, Bell experimented with a "phonautograph", a pen-like machine that could draw shapes of sound waves on smoked glass by tracing their vibrations. Bell thought it might be possible to generate undulating electrical currents that corresponded to sound waves.[71] Bell also thought that multiple metal reeds tuned to different frequencies like a harp would be able to convert the undulating currents back into sound. But he had no working model to demonstrate the feasibility of these ideas.[72]
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In 1874, telegraph message traffic was rapidly expanding and in the words of Western Union President William Orton, had become "the nervous system of commerce". Antonio Meucci sent a telephone model and technical details to the Western Union telegraph company but failed to win a meeting with executives. When he asked for his materials to be returned, in 1874, he was told they had been lost. Two years later Bell, who shared a laboratory with Meucci, filed a patent for a telephone, became a celebrity and made a lucrative deal with Western Union. Meucci sued and was nearing victory—the supreme court agreed to hear the case and fraud charges were initiated against Bell—when the Florentine died in 1889. The legal action died with him.[73] Orton had contracted with inventors Thomas Edison and Elisha Gray to find a way to send multiple telegraph messages on each telegraph line to avoid the great cost of constructing new lines.[74] When Bell mentioned to Gardiner Hubbard and Thomas Sanders that he was working on a method of sending multiple tones on a telegraph wire using a multi-reed device, the two wealthy patrons began to financially support Bell's experiments.[75] Patent matters would be handled by Hubbard's patent attorney, Anthony Pollok.[76]
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In March 1875, Bell and Pollok visited the scientist Joseph Henry, who was then director of the Smithsonian Institution, and asked Henry's advice on the electrical multi-reed apparatus that Bell hoped would transmit the human voice by telegraph. Henry replied that Bell had "the germ of a great invention". When Bell said that he did not have the necessary knowledge, Henry replied, "Get it!" That declaration greatly encouraged Bell to keep trying, even though he did not have the equipment needed to continue his experiments, nor the ability to create a working model of his ideas. However, a chance meeting in 1874 between Bell and Thomas A. Watson, an experienced electrical designer and mechanic at the electrical machine shop of Charles Williams, changed all that.
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With financial support from Sanders and Hubbard, Bell hired Thomas Watson as his assistant,[N 14] and the two of them experimented with acoustic telegraphy. On June 2, 1875, Watson accidentally plucked one of the reeds and Bell, at the receiving end of the wire, heard the overtones of the reed; overtones that would be necessary for transmitting speech. That demonstrated to Bell that only one reed or armature was necessary, not multiple reeds. This led to the "gallows" sound-powered telephone, which could transmit indistinct, voice-like sounds, but not clear speech.
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In 1875, Bell developed an acoustic telegraph and drew up a patent application for it. Since he had agreed to share U.S. profits with his investors Gardiner Hubbard and Thomas Sanders, Bell requested that an associate in Ontario, George Brown, attempt to patent it in Britain, instructing his lawyers to apply for a patent in the U.S. only after they received word from Britain (Britain would issue patents only for discoveries not previously patented elsewhere).[78]
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Meanwhile, Elisha Gray was also experimenting with acoustic telegraphy and thought of a way to transmit speech using a water transmitter. On February 14, 1876, Gray filed a caveat with the U.S. Patent Office for a telephone design that used a water transmitter. That same morning, Bell's lawyer filed Bell's application with the patent office. There is considerable debate about who arrived first and Gray later challenged the primacy of Bell's patent. Bell was in Boston on February 14 and did not arrive in Washington until February 26.
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Bell's patent 174,465, was issued to Bell on March 7, 1876, by the U.S. Patent Office. Bell's patent covered "the method of, and apparatus for, transmitting vocal or other sounds telegraphically ... by causing electrical undulations, similar in form to the vibrations of the air accompanying the said vocal or other sound"[80][N 15] Bell returned to Boston the same day and the next day resumed work, drawing in his notebook a diagram similar to that in Gray's patent caveat.
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On March 10, 1876, three days after his patent was issued, Bell succeeded in getting his telephone to work, using a liquid transmitter similar to Gray's design. Vibration of the diaphragm caused a needle to vibrate in the water, varying the electrical resistance in the circuit. When Bell spoke the sentence "Mr. Watson—Come here—I want to see you" into the liquid transmitter,[81] Watson, listening at the receiving end in an adjoining room, heard the words clearly.[82]
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Although Bell was, and still is, accused of stealing the telephone from Gray,[83] Bell used Gray's water transmitter design only after Bell's patent had been granted, and only as a proof of concept scientific experiment,[84] to prove to his own satisfaction that intelligible "articulate speech" (Bell's words) could be electrically transmitted.[85] After March 1876, Bell focused on improving the electromagnetic telephone and never used Gray's liquid transmitter in public demonstrations or commercial use.[86]
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The question of priority for the variable resistance feature of the telephone was raised by the examiner before he approved Bell's patent application. He told Bell that his claim for the variable resistance feature was also described in Gray's caveat. Bell pointed to a variable resistance device in his previous application in which he described a cup of mercury, not water. He had filed the mercury application at the patent office a year earlier on February 25, 1875, long before Elisha Gray described the water device. In addition, Gray abandoned his caveat, and because he did not contest Bell's priority, the examiner approved Bell's patent on March 3, 1876. Gray had reinvented the variable resistance telephone, but Bell was the first to write down the idea and the first to test it in a telephone.[87]
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The patent examiner, Zenas Fisk Wilber, later stated in an affidavit that he was an alcoholic who was much in debt to Bell's lawyer, Marcellus Bailey, with whom he had served in the Civil War. He claimed he showed Gray's patent caveat to Bailey. Wilber also claimed (after Bell arrived in Washington D.C. from Boston) that he showed Gray's caveat to Bell and that Bell paid him $100 (equivalent to $2,300 in 2019). Bell claimed they discussed the patent only in general terms, although in a letter to Gray, Bell admitted that he learned some of the technical details. Bell denied in an affidavit that he ever gave Wilber any money.[88]
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On March 10, 1876 Bell used "the instrument" in Boston to call Thomas Watson who was in another room but out of earshot. He said, "Mr. Watson, come here – I want to see you" and Watson soon appeared at his side.[89]
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Continuing his experiments in Brantford, Bell brought home a working model of his telephone. On August 3, 1876, from the telegraph office in Brantford, Ontario, Bell sent a tentative telegram to the village of Mount Pleasant four miles (six kilometres) distant, indicating that he was ready. He made a telephone call via telegraph wires and faint voices were heard replying. The following night, he amazed guests as well as his family with a call between the Bell Homestead and the office of the Dominion Telegraph Company in Brantford along an improvised wire strung up along telegraph lines and fences, and laid through a tunnel. This time, guests at the household distinctly heard people in Brantford reading and singing. The third test on August 10, 1876, was made via the telegraph line between Brantford and Paris, Ontario, eight miles (thirteen kilometres) distant. This test was said by many sources to be the "world's first long-distance call".[90][91] The final test certainly proved that the telephone could work over long distances, at least as a one-way call.
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[92]
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The first two-way (reciprocal) conversation over a line occurred between Cambridge and Boston (roughly 2.5 miles) on October 9, 1876.[93] During that conversation, Bell was on Kilby Street in Boston and Watson was at the offices of the Walworth Manufacturing Company.[94]
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Bell and his partners, Hubbard and Sanders, offered to sell the patent outright to Western Union for $100,000. The president of Western Union balked, countering that the telephone was nothing but a toy. Two years later, he told colleagues that if he could get the patent for $25 million he would consider it a bargain. By then, the Bell company no longer wanted to sell the patent.[95] Bell's investors would become millionaires while he fared well from residuals and at one point had assets of nearly one million dollars.[96]
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Bell began a series of public demonstrations and lectures to introduce the new invention to the scientific community as well as the general public. A short time later, his demonstration of an early telephone prototype at the 1876 Centennial Exposition in Philadelphia brought the telephone to international attention.[97] Influential visitors to the exhibition included Emperor Pedro II of Brazil. One of the judges at the Exhibition, Sir William Thomson (later, Lord Kelvin), a renowned Scottish scientist, described the telephone as "the greatest by far of all the marvels of the electric telegraph".[98]
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On January 14, 1878, at Osborne House, on the Isle of Wight, Bell demonstrated the device to Queen Victoria,[99] placing calls to Cowes, Southampton and London. These were the first publicly witnessed long-distance telephone calls in the UK. The queen considered the process to be "quite extraordinary" although the sound was "rather faint".[100] She later asked to buy the equipment that was used, but Bell offered to make "a set of telephones" specifically for her.[101][102]
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The Bell Telephone Company was created in 1877, and by 1886, more than 150,000 people in the U.S. owned telephones. Bell Company engineers made numerous other improvements to the telephone, which emerged as one of the most successful products ever. In 1879, the Bell company acquired Edison's patents for the carbon microphone from Western Union. This made the telephone practical for longer distances, and it was no longer necessary to shout to be heard at the receiving telephone.
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Emperor Pedro II of Brazil was the first person to buy stock in Bell's company, the Bell Telephone Company. One of the first telephones in a private residence was installed in his palace in Petrópolis, his summer retreat forty miles (sixty-four kilometres) from Rio de Janeiro.[103]
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In January 1915, Bell made the first ceremonial transcontinental telephone call. Calling from the AT&T head office at 15 Dey Street in New York City, Bell was heard by Thomas Watson at 333 Grant Avenue in San Francisco. The New York Times reported:
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On October 9, 1876, Alexander Graham Bell and Thomas A. Watson talked by telephone to each other over a two-mile wire stretched between Cambridge and Boston. It was the first wire conversation ever held. Yesterday afternoon [on January 25, 1915], the same two men talked by telephone to each other over a 3,400-mile wire between New York and San Francisco. Dr. Bell, the veteran inventor of the telephone, was in New York, and Mr. Watson, his former associate, was on the other side of the continent.[104]
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As is sometimes common in scientific discoveries, simultaneous developments can occur, as evidenced by a number of inventors who were at work on the telephone.[105] Over a period of 18 years, the Bell Telephone Company faced 587 court challenges to its patents, including five that went to the U.S. Supreme Court,[106] but none was successful in establishing priority over the original Bell patent[107][108] and the Bell Telephone Company never lost a case that had proceeded to a final trial stage.[107] Bell's laboratory notes and family letters were the key to establishing a long lineage to his experiments.[107] The Bell company lawyers successfully fought off myriad lawsuits generated initially around the challenges by Elisha Gray and Amos Dolbear. In personal correspondence to Bell, both Gray and Dolbear had acknowledged his prior work, which considerably weakened their later claims.[109]
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On January 13, 1887, the U.S. Government moved to annul the patent issued to Bell on the grounds of fraud and misrepresentation. After a series of decisions and reversals, the Bell company won a decision in the Supreme Court, though a couple of the original claims from the lower court cases were left undecided.[110][111] By the time that the trial wound its way through nine years of legal battles, the U.S. prosecuting attorney had died and the two Bell patents (No. 174,465 dated March 7, 1876, and No. 186,787 dated January 30, 1877) were no longer in effect, although the presiding judges agreed to continue the proceedings due to the case's importance as a precedent. With a change in administration and charges of conflict of interest (on both sides) arising from the original trial, the US Attorney General dropped the lawsuit on November 30, 1897, leaving several issues undecided on the merits.[112]
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During a deposition filed for the 1887 trial, Italian inventor Antonio Meucci also claimed to have created the first working model of a telephone in Italy in 1834. In 1886, in the first of three cases in which he was involved,[N 16] Meucci took the stand as a witness in the hope of establishing his invention's priority. Meucci's testimony in this case was disputed due to a lack of material evidence for his inventions, as his working models were purportedly lost at the laboratory of American District Telegraph (ADT) of New York, which was later incorporated as a subsidiary of Western Union in 1901.[113][114] Meucci's work, like many other inventors of the period, was based on earlier acoustic principles and despite evidence of earlier experiments, the final case involving Meucci was eventually dropped upon Meucci's death.[115] However, due to the efforts of Congressman Vito Fossella, the U.S. House of Representatives on June 11, 2002, stated that Meucci's "work in the invention of the telephone should be acknowledged".[116][117][118] This did not put an end to the still-contentious issue.[119] Some modern scholars do not agree with the claims that Bell's work on the telephone was influenced by Meucci's inventions.[120][N 17]
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The value of the Bell patent was acknowledged throughout the world, and patent applications were made in most major countries, but when Bell delayed the German patent application, the electrical firm of Siemens & Halske (S&H) set up a rival manufacturer of Bell telephones under their own patent. The Siemens company produced near-identical copies of the Bell telephone without having to pay royalties.[121] The establishment of the International Bell Telephone Company in Brussels, Belgium in 1880, as well as a series of agreements in other countries eventually consolidated a global telephone operation. The strain put on Bell by his constant appearances in court, necessitated by the legal battles, eventually resulted in his resignation from the company.[122][N 18]
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On July 11, 1877, a few days after the Bell Telephone Company was established, Bell married Mabel Hubbard (1857–1923) at the Hubbard estate in Cambridge, Massachusetts. His wedding present to his bride was to turn over 1,487 of his 1,497 shares in the newly formed Bell Telephone Company.[124] Shortly thereafter, the newlyweds embarked on a year-long honeymoon in Europe. During that excursion, Bell took a handmade model of his telephone with him, making it a "working holiday". The courtship had begun years earlier; however, Bell waited until he was more financially secure before marrying. Although the telephone appeared to be an "instant" success, it was not initially a profitable venture and Bell's main sources of income were from lectures until after 1897.[125] One unusual request exacted by his fiancée was that he use "Alec" rather than the family's earlier familiar name of "Aleck". From 1876, he would sign his name "Alec Bell".[126][127] They had four children:
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The Bell family home was in Cambridge, Massachusetts, until 1880 when Bell's father-in-law bought a house in Washington, D.C.; in 1882 he bought a home in the same city for Bell's family, so they could be with him while he attended to the numerous court cases involving patent disputes.[134]
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Bell was a British subject throughout his early life in Scotland and later in Canada until 1882 when he became a naturalized citizen of the United States. In 1915, he characterized his status as: "I am not one of those hyphenated Americans who claim allegiance to two countries."[135] Despite this declaration, Bell has been proudly claimed as a "native son" by all three countries he resided in: the United States, Canada, and the United Kingdom.[136]
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By 1885, a new summer retreat was contemplated. That summer, the Bells had a vacation on Cape Breton Island in Nova Scotia, spending time at the small village of Baddeck.[137] Returning in 1886, Bell started building an estate on a point across from Baddeck, overlooking Bras d'Or Lake.[138] By 1889, a large house, christened The Lodge was completed and two years later, a larger complex of buildings, including a new laboratory,[139] were begun that the Bells would name Beinn Bhreagh (Gaelic: beautiful mountain) after Bell's ancestral Scottish highlands.[140][N 20] Bell also built the Bell Boatyard on the estate, employing up to 40 people building experimental craft as well as wartime lifeboats and workboats for the Royal Canadian Navy and pleasure craft for the Bell family. He was an enthusiastic boater, and Bell and his family sailed or rowed a long series of vessels on Bras d'Or Lake, ordering additional vessels from the H.W. Embree and Sons boatyard in Port Hawkesbury, Nova Scotia. In his final, and some of his most productive years, Bell split his residency between Washington, D.C., where he and his family initially resided for most of the year, and Beinn Bhreagh, where they spent increasing amounts of time.[141]
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Until the end of his life, Bell and his family would alternate between the two homes, but Beinn Bhreagh would, over the next 30 years, become more than a summer home as Bell became so absorbed in his experiments that his annual stays lengthened. Both Mabel and Bell became immersed in the Baddeck community and were accepted by the villagers as "their own".[139][N 21] The Bells were still in residence at Beinn Bhreagh when the Halifax Explosion occurred on December 6, 1917. Mabel and Bell mobilized the community to help victims in Halifax.[142]
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Although Alexander Graham Bell is most often associated with the invention of the telephone, his interests were extremely varied. According to one of his biographers, Charlotte Gray, Bell's work ranged "unfettered across the scientific landscape" and he often went to bed voraciously reading the Encyclopædia Britannica, scouring it for new areas of interest.[143] The range of Bell's inventive genius is represented only in part by the 18 patents granted in his name alone and the 12 he shared with his collaborators. These included 14 for the telephone and telegraph, four for the photophone, one for the phonograph, five for aerial vehicles, four for "hydroairplanes", and two for selenium cells. Bell's inventions spanned a wide range of interests and included a metal jacket to assist in breathing, the audiometer to detect minor hearing problems, a device to locate icebergs, investigations on how to separate salt from seawater, and work on finding alternative fuels.
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Bell worked extensively in medical research and invented techniques for teaching speech to the deaf. During his Volta Laboratory period, Bell and his associates considered impressing a magnetic field on a record as a means of reproducing sound. Although the trio briefly experimented with the concept, they could not develop a workable prototype. They abandoned the idea, never realizing they had glimpsed a basic principle which would one day find its application in the tape recorder, the hard disc and floppy disc drive, and other magnetic media.
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Bell's own home used a primitive form of air conditioning, in which fans blew currents of air across great blocks of ice. He also anticipated modern concerns with fuel shortages and industrial pollution. Methane gas, he reasoned, could be produced from the waste of farms and factories. At his Canadian estate in Nova Scotia, he experimented with composting toilets and devices to capture water from the atmosphere. In a magazine interview published shortly before his death, he reflected on the possibility of using solar panels to heat houses.
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Bell and his assistant Charles Sumner Tainter jointly invented a wireless telephone, named a photophone, which allowed for the transmission of both sounds and normal human conversations on a beam of light.[144][145] Both men later became full associates in the Volta Laboratory Association.
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On June 21, 1880, Bell's assistant transmitted a wireless voice telephone message a considerable distance, from the roof of the Franklin School in Washington, D.C., to Bell at the window of his laboratory, some 700 feet (213 m) away, 19 years before the first voice radio transmissions.[146][147][148][149]
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Bell believed the photophone's principles were his life's "greatest achievement", telling a reporter shortly before his death that the photophone was "the greatest invention [I have] ever made, greater than the telephone".[150] The photophone was a precursor to the fiber-optic communication systems which achieved popular worldwide usage in the 1980s.[151][152] Its master patent was issued in December 1880, many decades before the photophone's principles came into popular use.
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Bell is also credited with developing one of the early versions of a metal detector through the use of an induction balance, after the shooting of U.S. President James A. Garfield in 1881. According to some accounts, the metal detector worked flawlessly in tests but did not find Guiteau's bullet, partly because the metal bed frame on which the President was lying disturbed the instrument, resulting in static.[153] Garfield's surgeons, led by self-appointed chief physician Doctor Willard Bliss, were skeptical of the device, and ignored Bell's requests to move the President to a bed not fitted with metal springs.[153] Alternatively, although Bell had detected a slight sound on his first test, the bullet may have been lodged too deeply to be detected by the crude apparatus.[153]
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Bell's own detailed account, presented to the American Association for the Advancement of Science in 1882, differs in several particulars from most of the many and varied versions now in circulation, by concluding that extraneous metal was not to blame for failure to locate the bullet. Perplexed by the peculiar results he had obtained during an examination of Garfield, Bell "proceeded to the Executive Mansion the next morning ... to ascertain from the surgeons whether they were perfectly sure that all metal had been removed from the neighborhood of the bed. It was then recollected that underneath the horse-hair mattress on which the President lay was another mattress composed of steel wires. Upon obtaining a duplicate, the mattress was found to consist of a sort of net of woven steel wires, with large meshes. The extent of the [area that produced a response from the detector] having been so small, as compared with the area of the bed, it seemed reasonable to conclude that the steel mattress had produced no detrimental effect." In a footnote, Bell adds, "The death of President Garfield and the subsequent post-mortem examination, however, proved that the bullet was at too great a distance from the surface to have affected our apparatus."[154]
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The March 1906 Scientific American article by American pioneer William E. Meacham explained the basic principle of hydrofoils and hydroplanes. Bell considered the invention of the hydroplane as a very significant achievement. Based on information gained from that article, he began to sketch concepts of what is now called a hydrofoil boat. Bell and assistant Frederick W. "Casey" Baldwin began hydrofoil experimentation in the summer of 1908 as a possible aid to airplane takeoff from water. Baldwin studied the work of the Italian inventor Enrico Forlanini and began testing models. This led him and Bell to the development of practical hydrofoil watercraft.
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During his world tour of 1910–11, Bell and Baldwin met with Forlanini in France. They had rides in the Forlanini hydrofoil boat over Lake Maggiore. Baldwin described it as being as smooth as flying. On returning to Baddeck, a number of initial concepts were built as experimental models, including the Dhonnas Beag (Scottish Gaelic for little devil), the first self-propelled Bell-Baldwin hydrofoil.[155] The experimental boats were essentially proof-of-concept prototypes that culminated in the more substantial HD-4, powered by Renault engines. A top speed of 54 miles per hour (87 km/h) was achieved, with the hydrofoil exhibiting rapid acceleration, good stability, and steering, along with the ability to take waves without difficulty.[156] In 1913, Dr. Bell hired Walter Pinaud, a Sydney yacht designer and builder as well as the proprietor of Pinaud's Yacht Yard in Westmount, Nova Scotia, to work on the pontoons of the HD-4. Pinaud soon took over the boatyard at Bell Laboratories on Beinn Bhreagh, Bell's estate near Baddeck, Nova Scotia. Pinaud's experience in boat-building enabled him to make useful design changes to the HD-4. After the First World War, work began again on the HD-4. Bell's report to the U.S. Navy permitted him to obtain two 350 horsepower (260 kilowatts) engines in July 1919. On September 9, 1919, the HD-4 set a world marine speed record of 70.86 miles per hour (114.04 kilometres per hour),[157] a record which stood for ten years.
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In 1891, Bell had begun experiments to develop motor-powered heavier-than-air aircraft. The AEA was first formed as Bell shared the vision to fly with his wife, who advised him to seek "young" help as Bell was at the age of 60.
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In 1898, Bell experimented with tetrahedral box kites and wings constructed of multiple compound tetrahedral kites covered in maroon silk.[N 22] The tetrahedral wings were named Cygnet I, II, and III, and were flown both unmanned and manned (Cygnet I crashed during a flight carrying Selfridge) in the period from 1907–1912. Some of Bell's kites are on display at the Alexander Graham Bell National Historic Site.[159]
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Bell was a supporter of aerospace engineering research through the Aerial Experiment Association (AEA), officially formed at Baddeck, Nova Scotia, in October 1907 at the suggestion of his wife Mabel and with her financial support after the sale of some of her real estate.[160] The AEA was headed by Bell and the founding members were four young men: American Glenn H. Curtiss, a motorcycle manufacturer at the time and who held the title "world's fastest man", having ridden his self-constructed motor bicycle around in the shortest time, and who was later awarded the Scientific American Trophy for the first official one-kilometre flight in the Western hemisphere, and who later became a world-renowned airplane manufacturer; Lieutenant Thomas Selfridge, an official observer from the U.S. Federal government and one of the few people in the army who believed that aviation was the future; Frederick W. Baldwin, the first Canadian and first British subject to pilot a public flight in Hammondsport, New York; and J. A. D. McCurdy–Baldwin and McCurdy being new engineering graduates from the University of Toronto.[161]
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The AEA's work progressed to heavier-than-air machines, applying their knowledge of kites to gliders. Moving to Hammondsport, the group then designed and built the Red Wing, framed in bamboo and covered in red silk and powered by a small air-cooled engine.[162] On March 12, 1908, over Keuka Lake, the biplane lifted off on the first public flight in North America.[N 23][N 24] The innovations that were incorporated into this design included a cockpit enclosure and tail rudder (later variations on the original design would add ailerons as a means of control). One of the AEA's inventions, a practical wingtip form of the aileron, was to become a standard component on all aircraft.[N 25] The White Wing and June Bug were to follow and by the end of 1908, over 150 flights without mishap had been accomplished. However, the AEA had depleted its initial reserves and only a $15,000 grant from Mrs. Bell allowed it to continue with experiments.[163] Lt. Selfridge had also become the first person killed in a powered heavier-than-air flight in a crash of the Wright Flyer at Fort Myer, Virginia, on September 17, 1908.
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Their final aircraft design, the Silver Dart, embodied all of the advancements found in the earlier machines. On February 23, 1909, Bell was present as the Silver Dart flown by J. A. D. McCurdy from the frozen ice of Bras d'Or made the first aircraft flight in Canada.[164] Bell had worried that the flight was too dangerous and had arranged for a doctor to be on hand. With the successful flight, the AEA disbanded and the Silver Dart would revert to Baldwin and McCurdy, who began the Canadian Aerodrome Company and would later demonstrate the aircraft to the Canadian Army.[165]
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Bell was connected with the eugenics movement in the United States. In his lecture Memoir upon the formation of a deaf variety of the human race presented to the National Academy of Sciences on November 13, 1883 (the year of his election as a Member of the National Academy of Sciences), he noted that congenitally deaf parents were more likely to produce deaf children and tentatively suggested that couples where both parties were deaf should not marry.[12] However, it was his hobby of livestock breeding which led to his appointment to biologist David Starr Jordan's Committee on Eugenics, under the auspices of the American Breeders' Association. The committee unequivocally extended the principle to humans.[166] From 1912 until 1918, he was the chairman of the board of scientific advisers to the Eugenics Record Office associated with Cold Spring Harbor Laboratory in New York, and regularly attended meetings. In 1921, he was the honorary president of the Second International Congress of Eugenics held under the auspices of the American Museum of Natural History in New York. Organizations such as these advocated passing laws (with success in some states) that established the compulsory sterilization of people deemed to be, as Bell called them, a "defective variety of the human race". By the late 1930s, about half the states in the U.S. had eugenics laws, and California's compulsory sterilization law was used as a model for that of Nazi Germany.[citation needed][167]
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Honors and tributes flowed to Bell in increasing numbers as his invention became ubiquitous and his personal fame grew. Bell received numerous honorary degrees from colleges and universities to the point that the requests almost became burdensome.[170] During his life, he also received dozens of major awards, medals, and other tributes. These included statuary monuments to both him and the new form of communication his telephone created, including the Bell Telephone Memorial erected in his honor in Alexander Graham Bell Gardens in Brantford, Ontario, in 1917.[171]
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A large number of Bell's writings, personal correspondence, notebooks, papers, and other documents reside in both the United States Library of Congress Manuscript Division (as the Alexander Graham Bell Family Papers),[170] and at the Alexander Graham Bell Institute, Cape Breton University, Nova Scotia; major portions of which are available for online viewing.
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A number of historic sites and other marks commemorate Bell in North America and Europe, including the first telephone companies in the United States and Canada. Among the major sites are:
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In 1880, Bell received the Volta Prize with a purse of 50,000 French francs (approximately US$270,000 in today's dollars[175]) for the invention of the telephone from the French government.[176][177][178][179][180][181] Among the luminaries who judged were Victor Hugo and Alexandre Dumas, fils.[182][better source needed] The Volta Prize was conceived by Napoleon III in 1852, and named in honor of Alessandro Volta, with Bell becoming the second recipient of the grand prize in its history.[183][184] Since Bell was becoming increasingly affluent, he used his prize money to create endowment funds (the 'Volta Fund') and institutions in and around the United States capital of Washington, D.C.. These included the prestigious 'Volta Laboratory Association' (1880), also known as the Volta Laboratory and as the 'Alexander Graham Bell Laboratory', and which eventually led to the Volta Bureau (1887) as a center for studies on deafness which is still in operation in Georgetown, Washington, D.C. The Volta Laboratory became an experimental facility devoted to scientific discovery, and the very next year it improved Edison's phonograph by substituting wax for tinfoil as the recording medium and incising the recording rather than indenting it, key upgrades that Edison himself later adopted.[185] The laboratory was also the site where he and his associate invented his "proudest achievement", "the photophone", the "optical telephone" which presaged fibre optical telecommunications while the Volta Bureau would later evolve into the Alexander Graham Bell Association for the Deaf and Hard of Hearing (the AG Bell), a leading center for the research and pedagogy of deafness.
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In partnership with Gardiner Greene Hubbard, Bell helped establish the publication Science during the early 1880s. In 1898, Bell was elected as the second president of the National Geographic Society, serving until 1903, and was primarily responsible for the extensive use of illustrations, including photography, in the magazine.[186] He also served for many years as a Regent of the Smithsonian Institution (1898–1922).[187] The French government conferred on him the decoration of the Légion d'honneur (Legion of Honor); the Royal Society of Arts in London awarded him the Albert Medal in 1902; the University of Würzburg, Bavaria, granted him a PhD, and he was awarded the Franklin Institute's Elliott Cresson Medal in 1912. He was one of the founders of the American Institute of Electrical Engineers in 1884 and served as its president from 1891–92. Bell was later awarded the AIEE's Edison Medal in 1914 "For meritorious achievement in the invention of the telephone".[188]
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The bel (B) and the smaller decibel (dB) are units of measurement of sound pressure level (SPL) invented by Bell Labs and named after him.[189] [N 27][190] Since 1976, the IEEE's Alexander Graham Bell Medal has been awarded to honor outstanding contributions in the field of telecommunications.
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In 1936, the US Patent Office declared Bell first on its list of the country's greatest inventors,[191] leading to the US Post Office issuing a commemorative stamp honoring Bell in 1940 as part of its 'Famous Americans Series'. The First Day of Issue ceremony was held on October 28 in Boston, Massachusetts, the city where Bell spent considerable time on research and working with the deaf. The Bell stamp became very popular and sold out in little time. The stamp became, and remains to this day, the most valuable one of the series.[192]
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The 150th anniversary of Bell's birth in 1997 was marked by a special issue of commemorative £1 banknotes from the Royal Bank of Scotland. The illustrations on the reverse of the note include Bell's face in profile, his signature, and objects from Bell's life and career: users of the telephone over the ages; an audio wave signal; a diagram of a telephone receiver; geometric shapes from engineering structures; representations of sign language and the phonetic alphabet; the geese which helped him to understand flight; and the sheep which he studied to understand genetics.[193] Additionally, the Government of Canada honored Bell in 1997 with a C$100 gold coin, in tribute also to the 150th anniversary of his birth, and with a silver dollar coin in 2009 in honor of the 100th anniversary of flight in Canada. That first flight was made by an airplane designed under Dr. Bell's tutelage, named the Silver Dart.[194] Bell's image, and also those of his many inventions have graced paper money, coinage, and postal stamps in numerous countries worldwide for many dozens of years.
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Alexander Graham Bell was ranked 57th among the 100 Greatest Britons (2002) in an official BBC nationwide poll,[195] and among the Top Ten Greatest Canadians (2004), and the 100 Greatest Americans (2005). In 2006, Bell was also named as one of the 10 greatest Scottish scientists in history after having been listed in the National Library of Scotland's 'Scottish Science Hall of Fame'.[196] Bell's name is still widely known and used as part of the names of dozens of educational institutes, corporate namesakes, street and place names around the world.
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Alexander Graham Bell, who could not complete the university program of his youth, received at least a dozen honorary degrees from academic institutions, including eight honorary LL.D.s (Doctorate of Laws), two Ph.D.s, a D.Sc., and an M.D.:[197]
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Bell died of complications arising from diabetes on August 2, 1922, at his private estate in Cape Breton, Nova Scotia, at age 75.[204] Bell had also been afflicted with pernicious anemia.[205] His last view of the land he had inhabited was by moonlight on his mountain estate at 2:00 a.m.[N 28][208][N 29] While tending to him after his long illness, Mabel, his wife, whispered, "Don't leave me." By way of reply, Bell signed "no...", lost consciousness, and died shortly after.[176][209]
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On learning of Bell's death, the Canadian Prime Minister, Mackenzie King, cabled Mrs. Bell, saying:[176]
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My colleagues in the Government join with me in expressing to you our sense of the world's loss in the death of your distinguished husband. It will ever be a source of pride to our country that the great invention, with which his name is immortally associated, is a part of its history. On the behalf of the citizens of Canada, may I extend to you an expression of our combined gratitude and sympathy.
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Bell's coffin was constructed of Beinn Bhreagh pine by his laboratory staff, lined with the same red silk fabric used in his tetrahedral kite experiments. To help celebrate his life, his wife asked guests not to wear black (the traditional funeral color) while attending his service, during which soloist Jean MacDonald sang a verse of Robert Louis Stevenson's "Requiem":[210]
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Upon the conclusion of Bell's funeral, "every phone on the continent of North America was silenced in honor of the man who had given to mankind the means for direct communication at a distance".[139][211]
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Alexander Graham Bell was buried atop Beinn Bhreagh mountain, on his estate where he had resided increasingly for the last 35 years of his life, overlooking Bras d'Or Lake.[176] He was survived by his wife Mabel, his two daughters, Elsie May and Marian, and nine of his grandchildren.[176][212][213]
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The European Commission (EC) is the executive branch of the European Union, responsible for proposing legislation, implementing decisions, upholding the EU treaties and managing the day-to-day business of the EU.[2] Commissioners swear an oath at the European Court of Justice in Luxembourg City, pledging to respect the treaties and to be completely independent in carrying out their duties during their mandate.[3] The Commissioners are proposed by the Council of the European Union, on the basis of suggestions made by the national governments, and then appointed by the European Council after the approval of the European Parliament. It is common, although not a formal requirement, that the commissioners have previously held senior political positions, such as being a member of the European Parliament or a government minister.[4]
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This EU institution operates as a cabinet government, with 27 members of the Commission (informally known as "commissioners").[5][6] There is one member per member state, but members are bound by their oath of office to represent the general interest of the EU as a whole rather than their home state.[3] One of the 27 is the Commission President (currently Ursula von der Leyen) proposed by the European Council[7] and elected by the European Parliament.[8] The Council of the European Union then nominates the other members of the Commission in agreement with the nominated President, and the 27 members as a single body are then subject to a vote of approval by the European Parliament.[9] The current Commission is the Von der Leyen Commission, which took office in December 2019, following the European Parliament elections in May of the same year.
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The term Commission is variously used, either in the narrow sense of the 27-member College of Commissioners (or College) or to also include the administrative body of about 32,000 European civil servants who are split into departments called directorates-general and services.[10][11][12] The procedural languages of the Commission are English, French and German.[13]
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The Members of the Commission and their "cabinets" (immediate teams) are based in the Berlaymont building in Brussels.
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The European Commission derives from one of the five key institutions created in the supranational European Community system, following the proposal of Robert Schuman, French Foreign Minister, on 9 May 1950. Originating in 1951 as the High Authority in the European Coal and Steel Community, the Commission has undergone numerous changes in power and composition under various presidents, involving three Communities.[14]
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The first Commission originated in 1951 as the nine-member "High Authority" under President Jean Monnet (see Monnet Authority). The High Authority was the supranational administrative executive of the new European Coal and Steel Community (ECSC). It took office first on 10 August 1952 in Luxembourg City. In 1958, the Treaties of Rome had established two new communities alongside the ECSC: the European Economic Community (EEC) and the European Atomic Energy Community (Euratom). However their executives were called "Commissions" rather than "High Authorities".[14] The reason for the change in name was the new relationship between the executives and the Council. Some states, such as France, expressed reservations over the power of the High Authority, and wished to limit it by giving more power to the Council rather than the new executives.[15]
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Louis Armand led the first Commission of Euratom. Walter Hallstein led the first Commission of the EEC, holding the first formal meeting on 16 January 1958 at the Château of Val-Duchesse. It achieved agreement on a contentious cereal price accord, as well as making a positive impression upon third countries when it made its international debut at the Kennedy Round of General Agreement on Tariffs and Trade (GATT) negotiations.[16] Hallstein notably began the consolidation of European law and started to have a notable impact on national legislation. Little heed was taken of his administration at first but, with help from the European Court of Justice, his Commission stamped its authority solidly enough to allow future Commissions to be taken more seriously.[17] in 1965, however, accumulating differences between the French government of Charles de Gaulle and the other member states on various subjects (British entry, direct elections to Parliament, the Fouchet Plan and the budget) triggered the "empty chair" crisis, ostensibly over proposals for the Common Agricultural Policy. Although the institutional crisis was solved the following year, it cost Etienne Hirsch his presidency of Euratom and later Walter Hallstein the EEC presidency, despite his otherwise being viewed as the most 'dynamic' leader until Jacques Delors.[16]
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The three bodies, collectively named the European Executives, co-existed until 1 July 1967 when, under the Merger Treaty, they were combined into a single administration under President Jean Rey.[14] Owing to the merger, the Rey Commission saw a temporary increase to 14 members—although subsequent Commissions were reduced back to nine, following the formula of one member for small states and two for larger states.[18] The Rey Commission completed the Community's customs union in 1968, and campaigned for a more powerful, elected, European Parliament.[19] Despite Rey being the first President of the combined communities, Hallstein is seen as the first President of the modern Commission.[14]
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The Malfatti and Mansholt Commissions followed with work on monetary co-operation and the first enlargement to the north in 1973.[20][21] With that enlargement, the Commission's membership increased to thirteen under the Ortoli Commission (the United Kingdom as a large member was granted two Commissioners), which dealt with the enlarged community during economic and international instability at that time.[18][22] The external representation of the Community took a step forward when President Roy Jenkins, recruited to the presidency in January 1977 from his role as Home Secretary of the United Kingdom's Labour government,[23] became the first President to attend a G8 summit on behalf of the Community.[24] Following the Jenkins Commission, Gaston Thorn's Commission oversaw the Community's enlargement to the south, in addition to beginning work on the Single European Act.[25]
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The Commission headed by Jacques Delors was seen as giving the Community a sense of direction and dynamism.[26] Delors and his team are also considered as the "founding fathers of the euro".[27] The International Herald Tribune noted the work of Delors at the end of his second term in 1992: "Mr. Delors rescued the European Community from the doldrums. He arrived when Europessimism was at its worst. Although he was a little-known former French finance minister, he breathed life and hope into the EC and into the dispirited Brussels Commission. In his first term, from 1985 to 1988, he rallied Europe to the call of the single market, and when appointed to a second term he began urging Europeans toward the far more ambitious goals of economic, monetary and political union".[28]
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The successor to Delors was Jacques Santer. As a result of a fraud and corruption scandal, the entire Santer Commission was forced by the Parliament to resign in 1999; a central role was played by Édith Cresson. These frauds were revealed by an internal auditor, Paul van Buitenen.[29][30]
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That was the first time a Commission had been forced to resign en masse, and represented a shift of power towards the Parliament.[31] However, the Santer Commission did carry out work on the Treaty of Amsterdam and the euro.[32] In response to the scandal, the European Anti-Fraud Office (OLAF) was created.
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Following Santer, Romano Prodi took office. The Amsterdam Treaty had increased the Commission's powers and Prodi was dubbed by the press as something akin to a Prime Minister.[33][34] Powers were strengthened again; the Treaty of Nice, signed in 2001, gave the Presidents more power over the composition of their Commissions.[14]
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José Manuel Barroso became President in 2004: the Parliament once again asserted itself in objecting to the proposed membership of the Barroso Commission. Owing to this opposition, Barroso was forced to reshuffle his team before taking office.[35] The Barroso Commission was also the first full Commission since the enlargement in 2004 to 25 members; hence, the number of Commissioners at the end of the Prodi Commission had reached 30. As a result of the increase in the number of states, the Amsterdam Treaty triggered a reduction in the number of Commissioners to one per state, rather than two for the larger states.[18]
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Allegations of fraud and corruption were again raised in 2004 by former chief auditor Jules Muis.[36] A Commission officer, Guido Strack, reported alleged fraud and abuses in his department in the years 2002–2004 to OLAF, and was fired as a result.[37] In 2008, Paul van Buitenen (the former auditor known from the Santer Commission scandal) accused the European Anti-Fraud Office (OLAF) of a lack of independence and effectiveness.[38]
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Barroso's first Commission term expired on 31 October 2009. Under the Treaty of Nice, the first Commission to be appointed after the number of member states reached 27 would have to be reduced to "less than the number of Member States". The exact number of Commissioners was to be decided by a unanimous vote of the European Council, and membership would rotate equally between member states. Following the accession of Romania and Bulgaria in January 2007, this clause took effect for the next Commission.[39] The Treaty of Lisbon, which came into force on 1 December 2009, mandated a reduction of the number of commissioners to two-thirds of member-states from 2014 unless the Council decided otherwise. Membership would rotate equally and no member state would have more than one Commissioner. However, the treaty was rejected by voters in Ireland in 2008 with one main concern being the loss of their Commissioner. Hence a guarantee given for a rerun of the vote was that the Council would use its power to amend the number of Commissioners upwards. However, according to the treaties it still has to be fewer than the total number of members, thus it was proposed that the member state that does not get a Commissioner would get the post of High Representative – the so-called 26+1 formula.[40][41] This guarantee (which may find its way into the next treaty amendment, probably in an accession treaty) contributed to the Irish approving the treaty in a second referendum in 2009.
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Lisbon also combined the posts of European Commissioner for External Relations with the Council's High Representative for the Common Foreign and Security Policy. This post, also a Vice-President of the Commission, would chair the Council of the European Union's foreign affairs meetings as well as the Commission's external relations duties.[42][43] The treaty further provides that the most recent European elections should be "taken into account" when appointing the Commission, although the President is still proposed by the European Council; the European Parliament "elects" the Commission, rather than "approves" it as under the Treaty of Nice.[42]
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In 2014, Jean-Claude Juncker became President of the European Commission.
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Juncker appointed his previous campaign director and head of the transition team, Martin Selmayr, as his chief of cabinet. During the Juncker presidency Selmayr has been described as "the most powerful EU chief of staff ever."[44]
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In 2019, Ursula von der Leyen was appointed as the next President of the European Commission. She submitted the guidelines of her policy for 2019–2024 to the European Parliament on 16 July 2019, following her confirmation. She had not been considered a likely candidate (in general, the elected candidate is determined, according to the results of the European election, as winner of internal election into the dominant European party known as "spitzenkandidat"). Her appointment was consensual between European Council Members (Manfred Weber was not considered the most suitable candidate). On 9 September, the European Council declared a list of candidate-commissioners which has to be officially approved by the parliament.[45]
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The Commission was set up from the start to act as an independent supranational authority separate from governments; it has been described as "the only body paid to think European".[46] The members are proposed by their member state governments, one from each. However, they are bound to act independently – free from other influences such as those governments which appointed them. This is in contrast to the Council of the European Union, which represents governments, the European Parliament, which represents citizens, the Economic and Social Committee, which represents organised civil society, and the Committee of the Regions, which represents local and regional authorities.[2]
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Through Article 17 of the Treaty on European Union the Commission has several responsibilities: to develop medium-term strategies; to draft legislation and arbitrate in the legislative process; to represent the EU in trade negotiations; to make rules and regulations, for example in competition policy; to draw up the budget of the European Union; and to scrutinise the implementation of the treaties and legislation.[47] The rules of procedure of the European Commission set out the Commission's operation and organisation.[10]
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Before the Treaty of Lisbon came into force, the executive power of the EU was held by the Council: it conferred on the Commission such powers for it to exercise. However, the Council was allowed to withdraw these powers, exercise them directly, or impose conditions on their use.[48][49] This aspect has been changed by the Treaty of Lisbon, after which the Commission exercises its powers just by virtue of the treaties. Powers are more restricted than most national executives, in part due to the Commission's lack of power over areas like foreign policy – that power is held by the European Council, which some analysts have described as another executive.[50]
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Considering that under the Treaty of Lisbon, the European Council has become a formal institution with the power of appointing the Commission, it could be said that the two bodies hold the executive power of the EU (the European Council also holds individual national executive powers). However, it is the Commission that currently holds executive powers over the European Union.[50][51] The governmental powers of the Commission have been such that some, including former Belgian Prime Minister Guy Verhofstadt, have suggested changing its name to the "European Government", calling the present name of the Commission "ridiculous".[52]
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The Commission differs from the other institutions in that it alone has legislative initiative in the EU. Only the Commission can make formal proposals for legislation: they cannot originate in the legislative branches. Under the Treaty of Lisbon, no legislative act is allowed in the field of the Common Foreign and Security Policy. In the other fields, the Council and Parliament are able to request legislation; in most cases the Commission initiates on the basis of these proposals. This monopoly is designed to ensure coordinated and coherent drafting of EU law.[53][54] This monopoly has been challenged by some who claim the Parliament should also have the right, with most national parliaments holding the right in some respects.[55] However, the Council and Parliament may request the Commission to draft legislation, though the Commission does have the power to refuse to do so[56] as it did in 2008 over transnational collective conventions.[57] Under the Lisbon Treaty, EU citizens are also able to request the Commission to legislate in an area via a petition carrying one million signatures, but this is not binding.[58]
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The Commission's powers in proposing law have usually centred on economic regulation. It has put forward a large number of regulations based on a "precautionary principle". This means that pre-emptive regulation takes place if there is a credible hazard to the environment or human health: for example on tackling climate change and restricting genetically modified organisms. This is opposed to weighting regulations for their effect on the economy. Thus, the Commission often proposes stricter legislation than other countries. Owing to the size of the European market, this has made EU legislation an important influence in the global market.[59]
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Recently the Commission has moved into creating European criminal law. In 2006, a toxic waste spill off the coast of Côte d'Ivoire, from a European ship, prompted the Commission to look into legislation against toxic waste. Some EU states at that time did not even have a crime against shipping toxic waste; this led the Commissioners Franco Frattini and Stavros Dimas to put forward the idea of "ecological crimes". Their right to propose criminal law was challenged in the European Court of Justice but upheld. As of 2007, the only other criminal law proposals which have been brought forward are on the intellectual property rights directive,[60] and on an amendment to the 2002 counter-terrorism framework decision, outlawing terrorism‑related incitement, recruitment (especially via the internet) and training.[61]
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Once legislation is passed by the Council and Parliament, it is the Commission's responsibility to ensure it is implemented. It does this through the member states or through its agencies. In adopting the necessary technical measures, the Commission is assisted by committees made up of representatives of member states and of the public and private lobbies[62] (a process known in jargon as "comitology").[63] Furthermore, the Commission is responsible for the implementation of the EU budget, ensuring, along with the Court of Auditors, that EU funds are correctly spent.
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In particular the Commission has a duty to ensure the treaties and law are upheld, potentially by taking member states or other institutions to the Court of Justice in a dispute. In this role it is known informally as the "guardian of the treaties".[64] Finally, the Commission provides some external representation for the Union, alongside the member states and the Common Foreign and Security Policy, representing the Union in bodies such as the World Trade Organization. It is also usual for the President to attend meetings of the G8.[64]
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The Commission is composed of a college of "Commissioners" of 27 members, including the President and vice-presidents. Even though each member is nominated on the basis of the suggestions made by the national governments, one per state, they do not represent their state in the Commission.[65] In practice, however, they do occasionally press for their national interest.[66] Once proposed, the President delegates portfolios among each of the members. The power of a Commissioner largely depends upon their portfolio, and can vary over time. For example, the Education Commissioner has been growing in importance, in line with the rise in the importance of education and culture in European policy-making.[67] Another example is the Competition Commissioner, who holds a highly visible position with global reach.[65] Before the Commission can assume office, the college as a whole must be approved by the Parliament.[2] Commissioners are supported by their personal cabinet who give them political guidance, while the Civil Service (the DGs, see below) deal with technical preparation.[68]
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The President of the Commission is selected by consensus by the European Council[69] and confirmed by the European Parliament or not. If not, the European Council shall propose another candidate within one month.[8]
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The candidate has often been a leading national politician, but this is not a requirement. In 2009 (as with 2004), the Lisbon Treaty was not in force and Barroso was not "elected" by the Parliament, but rather nominated by the European Council; in any case, the centre-right parties of the EU pressured for a candidate from their own ranks. In the end, a centre-right candidate was chosen: José Manuel Barroso of the European People's Party.[70]
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There are further criteria influencing the choice of the candidate, including: which area of Europe the candidate comes from, favoured as Southern Europe in 2004; the candidate's political influence, credible yet not overpowering members; language, proficiency in French considered necessary by France; and degree of integration, their state being a member of both the eurozone and the Schengen Agreement.[71][72][73] In 2004, this system produced a number of candidates[74] and was thus criticised by some MEPs: following the drawn-out selection, the ALDE group leader Graham Watson described the procedure as a "Justus Lipsius carpet market" producing only the "lowest common denominator"; while Green-EFA co-leader Daniel Cohn-Bendit asked Barroso after his first speech "If you are the best candidate, why were you not the first?"[75][76]
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Following the selection of the President, and the appointment of the High Representative by the European Council, each Commissioner is nominated by their member state (except for those states who provided the President and High Representative) in consultation with the Commission President, although he holds no hard power to force a change in candidate. However the more capable the candidate is, the more likely the Commission President will assign them a powerful portfolio, the distribution of which is entirely at his discretion. The President's team is then subject to hearings at the European Parliament which will question them and then vote on their suitability as a whole. If members of the team are found to be too inappropriate, the President must then reshuffle the team or request a new candidate from the member state or risk the whole Commission being voted down. As Parliament cannot vote against individual Commissioners there is usually a compromise whereby the worst candidates are removed but minor objections are put aside so the Commission can take office. Once the team is approved by parliament, it is formally put into office by the European Council (TEU Article 17:7).
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Following their appointment, the President appoints a number of Vice-Presidents (the High Representative is mandated to be one of them) from among the commissioners. For the most part, the position grants little extra power to Vice-Presidents, except the first Vice-President who stands in for the President when he or she is away.[65]
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The European Parliament can dissolve the Commission as a whole following a vote of no-confidence but only the President can request the resignation of an individual Commissioner. However, individual Commissioners, by request of the Council or Commission, can be compelled to retire on account of a breach of obligation(s) and if so ruled by the European Court of Justice (Art. 245 and 247, Treaty on the Functioning of the European Union).
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The Barroso Commission took office in late 2004 after being delayed by objections from the Parliament, which forced a reshuffle. In 2007 the Commission increased from 25 to 27 members with the accession of Romania and Bulgaria who each appointed their own Commissioners. With the increasing size of the Commission, Barroso adopted a more presidential style of control over the college, which earned him some criticism.[77]
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However, under Barroso, the Commission began to lose ground to the larger member states as countries such as France, the UK and Germany sought to sideline its role. This has increased with the creation of the President of the European Council under the Treaty of Lisbon.[78] There has also been a greater degree of politicisation within the Commission.
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The Commission is divided into departments known as Directorates-General (DGs) that can be likened to departments or ministries. Each covers a specific policy area such as agriculture or justice and citizens' rights or internal services such as human resources and translation and is headed by a director-general who is responsible to a commissioner. A commissioner's portfolio can be supported by numerous DGs; they prepare proposals for them and if approved by a majority of commissioners proposals go forward to the Parliament and Council for consideration.[2][79] The Commission's civil service is headed by a Secretary General. The position is currently held by Ilze Juhansone.[80] The rules of procedure of the European Commission set out the Commission's operation and organisation.[10]
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There has been criticism from a number of people that the highly fragmented DG structure wastes a considerable amount of time in turf wars as the different departments and Commissioners compete with each other. Furthermore, the DGs can exercise considerable control over a Commissioner with the Commissioner having little time to learn to assert control over their staff.[81][82]
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According to figures published by the Commission, 23,803 persons were employed by the Commission as officials and temporary agents in September 2012. In addition to these, 9230 "external staff" (e.g. Contractual agents, detached national experts, young experts, trainees etc.) were employed. The single largest DG is the Directorate-General for Translation, with a 2309-strong staff, while the largest group by nationality is Belgian (18.7%), probably due to a majority (17,664) of staff being based in the country.[83]
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Communication with the press is handled by the Directorate-General Communication. The Commission's chief spokesperson is Pia Ahrenkilde Hansen who takes the midday press briefings, commonly known as the "Midday Presser". It takes place every weekday in the Commission's press room at the Berlaymont where journalists may ask questions of Commission officials on any topic and legitimately expect to get an "on the record" answer for live TV. Such a situation is unique in the world.[84]
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It has been noted by one researcher that the press releases issued by the Commission are uniquely political. A release often goes through several stages of drafting which emphasises the role of the Commission and is used "for justifying the EU and the commission" increasing their length and complexity. Where there are multiple departments involved a press release can also be a source of competition between areas of the Commission and Commissioners themselves. This also leads to an unusually high number of press releases, 1907 for 2006, and is seen as a unique product of the EU's political set-up.[82] The number of Commission press releases shows a decreasing trend. 1768 press releases were published in 2010 and 1589 in 2011.[85]
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There is a larger press corps in Brussels than Washington, D.C.; in 2007, media outlets in every Union member-state had a Brussels correspondent.[86] However, following the global downturn, the press corps in Brussels shrunk by a third by 2010. There is one journalist covering EU news for Latvia and none for Lithuania. Although there has been a worldwide cut in journalists, the considerable press releases and operations such as Europe by Satellite and EuroparlTV leads many news organisations to believe they can cover the EU from these source and news agencies.[87] In the face of high-level criticism,[88] the Commission shut down Presseurop on 20 December 2013.[89]
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As the commission is the executive branch, candidates are chosen individually by the 27 national governments. Within the EU, the legitimacy of the commission is mainly drawn from the vote of approval that is required from the European Parliament, along with its power to dismiss the body. Eurosceptics have therefore raised the concern of the relatively low turnout (often less than 50%) in elections for the European Parliament since 1999. While that figure may be higher than that of some national elections, including the off-year elections of the United States Congress, the fact that there are no direct elections for the position of commission president calls the position's legitimacy into question in the eyes of some Eurosceptics.[90] The fact that the commission can directly decide (albeit with oversight from specially formed 'comitology committees') on the shape and character of implementing legislation further raises concerns about democratic legitimacy.[91]
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Even though democratic structures and methods are changing there is not such a mirror in creating a European civil society.[92] The Treaty of Lisbon may go some way to resolving the perceived deficit in creating greater democratic controls on the Commission, including enshrining the procedure of linking elections to the selection of the Commission president. Historically, the commission had indeed been seen as a technocratic expert body which, akin with institutions such as independent central banks, deals with technical areas of policy and therefore ought to be removed from party politics.[93] From this viewpoint, electoral pressures would undermine the Commission's role as an independent regulator.[94] Defenders of the Commission point out that legislation must be approved by the Council in all areas (the ministers of member states) and the European Parliament in most areas before it can be adopted, thus the amount of legislation which is adopted in any one country without the approval of its government is limited.[94]
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In 2009 the European ombudsman published statistics of citizens' complaints against EU institutions, with most of them filed against the Commission (66%) and concerning lack of transparency (36%).[95] In 2010 the Commission was sued for blocking access to documents on EU biofuel policy.[96] This happened after media accused the Commission of blocking scientific evidence against biofuel subsidies.[97] Lack of transparency, unclear lobbyist relations, conflicts of interests and excessive spending of the Commission was highlighted in a number of reports by internal and independent auditing organisations.[98][99][100][101] It has also been criticised on IT-related issues, particularly with regard to Microsoft.[102]
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The European Commission has an Action Plan to enhance preparedness against chemical, biological, radiological and nuclear (CBRN) security risks as part of its anti-terrorism package released in October 2017. In recent times Europe has seen an increased threat level of CBRN attacks. As such, the European Commission's preparedness plan is important, said Steven Neville Chatfield, a director for the Centre for Emergency Preparedness and Response in the United Kingdom's Health Protection Agency. For the first time, the European Commission proposed that medical preparedness for CBRN attack threats is a high priority. “The European Commission’s (EC) Action Plan to enhance preparedness against CBRN security risks is part of its anti-terrorism package released in October 2017, a strategy aimed at better protecting the more than 511 million citizens across the 27 member states of the European Union (EU).”[103]
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The European Commission organized a video conference of world leaders on May 4, 2020 to raise funds for coronavirus vaccine development. US $8 billion was raised. (The United States declined to join this video conference or to contribute funds.)[104]
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The Commission is primarily based in Brussels, with the President's office and the Commission's meeting room on the 13th floor of the Berlaymont building. The Commission also operates out of numerous other buildings in Brussels and Luxembourg.[105][106] When the Parliament is meeting in Strasbourg, the Commissioners also meet there in the Winston Churchill building to attend the Parliament's debates.[107] Additionally, the European Commission has facilities that support it in Alicante, Spain; Munich, Germany; and Varese, Italy.
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Coordinates: 50°50′37″N 4°22′58″E / 50.84361°N 4.38278°E / 50.84361; 4.38278
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Coordinates: 24°15′N 76°00′W / 24.250°N 76.000°W / 24.250; -76.000
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The Bahamas (/bəˈhɑːməz/ (listen)), known officially as the Commonwealth of The Bahamas,[11] is a country within the Lucayan Archipelago of the West Indies in the Caribbean. It takes up 97% of the Lucayan Archipelago's land area and is home to 88% of the archipelago's population. The archipelagic state consists of fewer than 700 islands, cays, and islets in the Atlantic Ocean, and is located north of Cuba and Hispaniola Island (Haiti and the Dominican Republic), northwest of the Turks and Caicos Islands, southeast of the US state of Florida, and east of the Florida Keys. The capital is Nassau on the island of New Providence. The Royal Bahamas Defence Force describes The Bahamas' territory as encompassing 470,000 km2 (180,000 sq mi) of ocean space.
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The Bahamas were inhabited by the Lucayans, a branch of the Arawakan-speaking Taíno people, for many centuries.[12] Columbus was the first European to see the islands, making his first landfall in the 'New World' in 1492. Later, the Spanish shipped the native Lucayans to slavery on Hispaniola, after which the Bahama islands were mostly deserted from 1513 until 1648, when English colonists from Bermuda settled on the island of Eleuthera.
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The Bahamas became a British crown colony in 1718, when the British clamped down on piracy. After the American Revolutionary War, the Crown resettled thousands of American Loyalists to The Bahamas; they took their slaves with them and established plantations on land grants. African slaves and their descendants constituted the majority of the population from this period on. The slave trade was abolished by the British in 1807; slavery in The Bahamas was abolished in 1834. Subsequently, The Bahamas became a haven for freed African slaves. Africans liberated from illegal slave ships were resettled on the islands by the Royal Navy, while some North American slaves and Seminoles escaped to The Bahamas from Florida. Bahamians were even known to recognise the freedom of slaves carried by the ships of other nations which reached The Bahamas. Today Afro-Bahamians make up 90% of the population of 332,634.[12]
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The country gained governmental independence in 1973 led by Sir Lynden O. Pindling, with Elizabeth II as its queen.[12] In terms of gross domestic product per capita, The Bahamas is one of the richest countries in the Americas (following the United States and Canada), with an economy based on tourism and offshore finance.[13]
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The name Bahamas is most likely derived from either the Taíno ba ha ma ("big upper middle land"), which was a term for the region used by the indigenous people,[14] or possibly from the Spanish baja mar ("shallow water or sea" or "low tide") reflecting the shallow waters of the area. Alternatively, it may originate from Guanahani, a local name of unclear meaning.[15]
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The word The constitutes an integral part of the short form of the name and is, therefore, capitalised.[citation needed] The Constitution of the Commonwealth of The Bahamas, the country's fundamental law, capitalises the "T" in "The Bahamas".[16]
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The first inhabitants of The Bahamas were the Taino people, who moved into the uninhabited southern islands from Hispaniola and Cuba around the 800s–1000s AD, having migrated there from South America; they came to be known as the Lucayan people.[17] An estimated 30,000 Lucayans inhabited The Bahamas at the time of Christopher Columbus's arrival in 1492.[18]
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Columbus's first landfall in what was to Europeans a 'New World' was on an island he named San Salvador (known to the Lucayans as Guanahani). Whilst there is a general consensus that this island lay within The Bahamas, precisely which island Columbus landed on is a matter of scholarly debate. Some researchers believe the site to be present-day San Salvador Island (formerly known as Watling's Island), situated in the southeastern Bahamas, whilst an alternative theory holds that Columbus landed to the southeast on Samana Cay, according to calculations made in 1986 by National Geographic writer and editor Joseph Judge, based on Columbus's log. On the landfall island, Columbus made first contact with the Lucayans and exchanged goods with them, claiming the islands for the Crown of Castile, before proceeding to explore the larger isles of the Greater Antilles.[17]
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The 1494 Treaty of Tordesillas theoretically divided the new territories between the Kingdom of Castile and the Kingdom of Portugal, placing The Bahamas in the Spanish sphere; however they did little to press their claim on the ground. The Spanish did however make use of the native Lucayan peoples, many of whom were enslaved and sent to Hispaniola for use as forced labour.[17] The slaves suffered from harsh conditions and most died from contracting diseases to which they had no immunity; half of the Taino died from smallpox alone.[20] As a result of these depredations the population of The Bahamas was severely diminished.[21]
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The English had expressed an interest in The Bahamas as early as 1629. However, it was not until 1648 that the first English settlers arrived on the islands. Known as the Eleutherian Adventurers and led by William Sayle, they migrated to Bermuda seeking greater religious freedom. These English Puritans established the first permanent European settlement on an island which they named 'Eleuthera', Greek for 'freedom'. They later settled New Providence, naming it Sayle's Island. Life proved harder than envisaged however, and many – including Sayle – chose to return to Bermuda.[17] To survive, the remaining settlers salvaged goods from wrecks.
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In 1670, King Charles II granted the islands to the Lords Proprietors of the Carolinas in North America. They rented the islands from the king with rights of trading, tax, appointing governors, and administering the country from their base on New Providence.[22][17] Piracy and attacks from hostile foreign powers were a constant threat. In 1684, Spanish corsair Juan de Alcon raided the capital Charles Town (later renamed Nassau),[23] and in 1703, a joint Franco-Spanish expedition briefly occupied Nassau during the War of the Spanish Succession.[24][25]
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During proprietary rule, The Bahamas became a haven for pirates, including Blackbeard (circa 1680–1718).[26] To put an end to the 'Pirates' republic' and restore orderly government, Great Britain made The Bahamas a crown colony in 1718 under the royal governorship of Woodes Rogers.[17] After a difficult struggle, he succeeded in suppressing piracy.[27] In 1720, the Spanish attacked Nassau during the War of the Quadruple Alliance. In 1729, a local assembly was established giving a degree of self-governance for the English settlers.[17][28] The reforms had been planned by the previous Governor George Phenney and authorised in July 1728.[29]
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During the American War of Independence in the late 18th century, the islands became a target for US naval forces. Under the command of Commodore Esek Hopkins; US Marines, the US Navy occupied Nassau in 1776, before being evacuated a few days later. In 1782 a Spanish fleet appeared off the coast of Nassau, and the city surrendered without a fight. Spain returned possession of The Bahamas to Great Britain the following year, under the terms of the Treaty of Paris. Before the news was received however, the islands were recaptured by a small British force led by Andrew Deveaux.[17]
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After US independence, the British resettled some 7,300 Loyalists with their African slaves in The Bahamas, including 2,000 from New York[30] and at least 1,033 whites, 2,214 blacks and a few Native American Creeks from East Florida. Most of the refugees resettled from New York had fled from other colonies, including West Florida, which the Spanish captured during the war.[31] The government granted land to the planters to help compensate for losses on the continent. These Loyalists, who included Deveaux and also Lord Dunmore, established plantations on several islands and became a political force in the capital.[17] European Americans were outnumbered by the African-American slaves they brought with them, and ethnic Europeans remained a minority in the territory.[citation needed]
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In 1807, the British abolished the slave trade.[17] During the following decades, the Royal Navy intercepted the trade. They resettled in The Bahamas thousands of Africans liberated from slave ships.
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In the 1820s during the period of the Seminole Wars in Florida, hundreds of North American slaves and African Seminoles escaped from Cape Florida to The Bahamas. They settled mostly on northwest Andros Island, where they developed the village of Red Bays. From eyewitness accounts, 300 escaped in a mass flight in 1823, aided by Bahamians in 27 sloops, with others using canoes for the journey. This was commemorated in 2004 by a large sign at Bill Baggs Cape Florida State Park.[32][33] Some of their descendants in Red Bays continue African Seminole traditions in basket making and grave marking.[34]
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In 1818,[35] the Home Office in London had ruled that "any slave brought to The Bahamas from outside the British West Indies would be manumitted." This led to a total of nearly 300 slaves owned by US nationals being freed from 1830 to 1835.[36] The American slave ships Comet and Encomium used in the United States domestic coastwise slave trade, were wrecked off Abaco Island in December 1830 and February 1834, respectively. When wreckers took the masters, passengers and slaves into Nassau, customs officers seized the slaves and British colonial officials freed them, over the protests of the Americans. There were 165 slaves on the Comet and 48 on the Encomium. The United Kingdom finally paid an indemnity to the United States in those two cases in 1855, under the Treaty of Claims of 1853, which settled several compensation cases between the two countries.[37][38]
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Slavery was abolished in the British Empire on 1 August 1834.[17] After that British colonial officials freed 78 North American slaves from the Enterprise, which went into Bermuda in 1835; and 38 from the Hermosa, which wrecked off Abaco Island in 1840.[39] The most notable case was that of the Creole in 1841: as a result of a slave revolt on board, the leaders ordered the US brig to Nassau. It was carrying 135 slaves from Virginia destined for sale in New Orleans. The Bahamian officials freed the 128 slaves who chose to stay in the islands. The Creole case has been described as the "most successful slave revolt in U.S. history".[40]
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These incidents, in which a total of 447 slaves belonging to US nationals were freed from 1830 to 1842, increased tension between the United States and the United Kingdom. They had been co-operating in patrols to suppress the international slave trade. However, worried about the stability of its large domestic slave trade and its value, the United States argued that the United Kingdom should not treat its domestic ships that came to its colonial ports under duress as part of the international trade.[citation needed] The United States worried that the success of the Creole slaves in gaining freedom would encourage more slave revolts on merchant ships.[citation needed]
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During the American Civil War of the 1860s, the islands briefly prospered as a focus for blockade runners aiding the Confederate States.[41][42]
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The early decades of the 20th century were ones of hardship for many Bahamians, characterised by a stagnant economy and widespread poverty. Many eked out a living via subsistence agriculture or fishing.[17]
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In August 1940, the Duke of Windsor was appointed Governor of The Bahamas. He arrived in the colony with his wife. Although disheartened at the condition of Government House, they "tried to make the best of a bad situation".[43] He did not enjoy the position, and referred to the islands as "a third-class British colony".[44] He opened the small local parliament on 29 October 1940. The couple visited the "Out Islands" that November, on Axel Wenner-Gren's yacht, which caused controversy;[45] the British Foreign Office strenuously objected because they had been advised by United States intelligence that Wenner-Gren was a close friend of the Luftwaffe commander Hermann Göring of Nazi Germany.[45][46]
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The Duke was praised at the time for his efforts to combat poverty on the islands. A 1991 biography by Philip Ziegler, however, described him as contemptuous of the Bahamians and other non-European peoples of the Empire. He was praised for his resolution of civil unrest over low wages in Nassau in June 1942, when there was a "full-scale riot".[47] Ziegler said that the Duke blamed the trouble on "mischief makers – communists" and "men of Central European Jewish descent, who had secured jobs as a pretext for obtaining a deferment of draft".[48] The Duke resigned from the post on 16 March 1945.[49][50]
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Modern political development began after the Second World War. The first political parties were formed in the 1950s, split broadly along ethnic lines – the United Bahamian Party (UBP) representing the English-descended Bahamians (known informally as the 'Bay Street Boys'),[51] and the Progressive Liberal Party (PLP) representing the Afro-Bahamian majority.[17]
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A new constitution granting The Bahamas internal autonomy went into effect on 7 January 1964, with Chief Minister Sir Roland Symonette of the UBP becoming the first Premier.[52]:p.73[53] In 1967, Lynden Pindling of the PLP became the first black Premier of the Bahamian colony; in 1968, the title of the position was changed to Prime Minister. In 1968, Pindling announced that The Bahamas would seek full independence.[54] A new constitution giving The Bahamas increased control over its own affairs was adopted in 1968.[55] In 1971, the UBP merged with a disaffected faction of the PLP to form a new party, the Free National Movement (FNM), a de-racialised, centre-right party which aimed to counter the growing power of Pindling's PLP.[56]
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The British House of Lords voted to give The Bahamas its independence on 22 June 1973.[57] Prince Charles delivered the official documents to Prime Minister Lynden Pindling, officially declaring The Bahamas a fully independent nation on 10 July 1973,[58] and this date is now celebrated as the country's Independence Day.[59] It joined the Commonwealth of Nations on the same day.[60] Sir Milo Butler was appointed the first governor-general of The Bahamas (the official representative of Queen Elizabeth II) shortly after independence.[61]
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Shortly after independence, The Bahamas joined the International Monetary Fund and the World Bank on 22 August 1973,[62] and later the United Nations on 18 September 1973.[63]
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Politically, the first two decades were dominated by Pindling's PLP, who went on to win a string of electoral victories. Allegations of corruption, links with drug cartels and financial malfeasance within the Bahamian government failed to dent Pindling's popularity. Meanwhile, the economy underwent a dramatic growth period fueled by the twin pillars of tourism and offshore finance, significantly raising the standard of living on the islands. The Bahamas' booming economy led to it becoming a beacon for immigrants, most notably from Haiti.[17]
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In 1992, Pindling was unseated by Hubert Ingraham of the FNM.[52]:p.78 Ingraham went on to win the 1997 Bahamian general election, before being defeated in 2002, when the PLP returned to power under Perry Christie.[52]:p.82 Ingraham returned to power from 2007–2012, followed by Christie again from 2012–17. With economic growth faltering, Bahamians re-elected the FNM in 2017, with Hubert Minnis becoming the fourth prime minister.[17]
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In September 2019, Hurricane Dorian struck the Abaco Islands and Grand Bahama at Category 5 intensity, devastating the northwestern Bahamas. The storm inflicted at least US$7 billion in damages and killed more than 50 people,[64][65] with 1,300 people still missing.[66]
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The Bahamas consists of a chain of islands spread out over some 800 kilometres (500 mi) in the Atlantic Ocean, located to the east of Florida in the United States, north of Cuba and Hispaniola and west of the British Overseas Territory of the Turks and Caicos Islands (with which it forms the Lucayan archipelago). It lies between latitudes 20° and 28°N, and longitudes 72° and 80°W and straddles the Tropic of Cancer.[12] There are some 700 islands and cays in total (of which 30 are inhabited) with a total land area of 10,010 km2 (3,860 sq mi).[12][17]
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Nassau, capital city of The Bahamas, lies on the island of New Providence; the other main inhabited islands are Grand Bahama, Eleuthera, Cat Island, Rum Cay, Long Island, San Salvador Island, Ragged Island, Acklins, Crooked Island, Exuma, Berry Islands, Mayaguana, the Bimini islands, Great Abaco and Great Inagua. The largest island is Andros.[17]
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All the islands are low and flat, with ridges that usually rise no more than 15 to 20 m (49 to 66 ft). The highest point in the country is Mount Alvernia (formerly Como Hill) on Cat Island at 64 m (210 ft).[12]
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According to the Köppen climate classification, the climate of The Bahamas is mostly tropical savannah climate or Aw, with a hot and wet season and a warm and dry season. The low latitude, warm tropical Gulf Stream, and low elevation give The Bahamas a warm and winterless climate.[67]
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As with most tropical climates, seasonal rainfall follows the sun, and summer is the wettest season. There is only a 7 °C (13 °F) difference between the warmest month and coolest month in most of the Bahama islands. Every few decades low temperatures can fall below 10 °C (50 °F) for a few hours when a severe cold outbreak comes down from the North American mainland, however there has never been a frost or freeze recorded in the Bahama islands. Only once in recorded history has snow been seen in the air anywhere in The Bahamas, this occurred in Freeport on 19 January 1977, when snow mixed with rain was seen in the air for a short time.[68] The Bahamas are often sunny and dry for long periods of time, and average more than 3,000 hours or 340 days of sunlight annually. Much of the natural vegetation is tropical scrub and cactus and succulents are common in landscapes.[69]
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Tropical storms and hurricanes occasionally impact The Bahamas. In 1992, Hurricane Andrew passed over the northern portions of the islands, and Hurricane Floyd passed near the eastern portions of the islands in 1999. Hurricane Dorian of 2019 passed over the archipelago at destructive Category 5 strength with sustained winds of 298 km/h (185 mph) and wind gusts up to 350 km/h (220 mph), becoming the strongest tropical cyclone on record to impact the northwestern islands of Grand Bahama and Great Abaco.[70]
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The Bahamas is part of the Lucayan Archipelago, which continues into the Turks and Caicos Islands, the Mouchoir Bank, the Silver Bank, and the Navidad Bank.[73]
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The Bahamas Platform, which includes The Bahamas, Southern Florida, Northern Cuba, the Turks and Caicos, and the Blake Plateau, formed about 150 Ma, not long after the formation of the North Atlantic. The 6.4 km (4.0 mi) thick limestones, which predominate in The Bahamas, date back to the Cretaceous. These limestones would have been deposited in shallow seas, assumed to be a stretched and thinned portion of the North American continental crust. Sediments were forming at about the same rate as the crust below was sinking due to the added weight. Thus, the entire area consisted of a large marine plain with some islands. Then, at about 80 Ma, the area became flooded by the Gulf Stream. This resulted in the drowning of the Blake Plateau, the separation of The Bahamas from Cuba and Florida, the separation of the southeastern Bahamas into separate banks, the creation of the Cay Sal Bank, plus the Little and Great Bahama Banks. Sedimentation from the "carbonate factory" of each bank, or atoll, continues today at the rate of about 20 mm (0.79 in) per kyr. Coral reefs form the "retaining walls" of these atolls, within which oolites and pellets form.[74]
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Coral growth was greater through the Tertiary, until the start of the ice ages, and hence those deposits are more abundant below a depth of 36 m (118 ft). In fact, an ancient extinct reef exists half a km seaward of the present one, 30 m (98 ft) below sea level. Oolites form when oceanic water penetrate the shallow banks, increasing the temperature about 3 °C (5.4 °F) and the salinity by 0.5 per cent. Cemented ooids are referred to as grapestone. Additionally, giant stromatolites are found off the Exuma Cays.[74]:22,29–30
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Sea level changes resulted in a drop in sea level, causing wind blown oolite to form sand dunes with distinct cross-bedding. Overlapping dunes form oolitic ridges, which become rapidly lithified through the action of rainwater, called eolianite. Most islands have ridges ranging from 30 to 45 m (98 to 148 ft), though Cat Island has a ridge 60 m (200 ft) in height. The land between ridges is conducive to the formation of lakes and swamps.[74]:41–59,61–64
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Solution weathering of the limestone results in a "Bahamian Karst" topography. This includes potholes, blue holes such as Dean's Blue Hole, sinkholes, beachrock such as the Bimini Road ("pavements of Atlantis"), limestone crust, caves due to the lack of rivers, and sea caves. Several blue holes are aligned along the South Andros Fault line. Tidal flats and tidal creeks are common, but the more impressive drainage patterns are formed by troughs and canyons such as Great Bahama Canyon with the evidence of turbidity currents and turbidite deposition.[74]:33–40,65,72–84,86
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The stratigraphy of the islands consists of the Middle Pleistocene Owl's Hole Formation, overlain by the Late Pleistocene Grotto Beach Formation, and then the Holocene Rice Bay Formation. However, these units are not necessarily stacked on top of each other but can be located laterally. The oldest formation, Owl's Hole, is capped by a terra rosa paleosoil, as is the Grotto Beach, unless eroded. The Grotto Beach Formation is the most widespread.[73]
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The Bahamas is a parliamentary constitutional monarchy, with the queen of the Bahamas (Elizabeth II) as head of state represented locally by a governor-general.[12] Political and legal traditions closely follow those of the United Kingdom and the Westminster system.[17] The Bahamas is a member of the Commonwealth of Nations and shares its head of state with other Commonwealth realms.[citation needed]
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The prime minister is the head of government and is the leader of the party with the most seats in the House of Assembly.[12][17] Executive power is exercised by the Cabinet, selected by the prime minister and drawn from his supporters in the House of Assembly. The current governor-general is The Honourable Cornelius A. Smith, and the current prime minister is The Rt. Hon. Hubert Minnis MP.[12]
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Legislative power is vested In a bicameral parliament, which consists of a 38-member House of Assembly (the lower house), with members elected from single-member districts, and a 16-member Senate, with members appointed by the governor-general, including nine on the advice of the Prime Minister, four on the advice of the leader of Her Majesty's Loyal Opposition, and three on the advice of the prime minister after consultation with the Leader of the Opposition. As under the Westminster system, the prime minister may dissolve Parliament and call a general election at any time within a five-year term.[75]
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Constitutional safeguards include freedom of speech, press, worship, movement and association. The Judiciary of the Bahamas is independent of the executive and the legislature. Jurisprudence is based on English law.[12]
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The Bahamas has a two-party system dominated by the centre-left Progressive Liberal Party and the centre-right Free National Movement. A handful of other political parties have been unable to win election to parliament; these have included the Bahamas Democratic Movement, the Coalition for Democratic Reform, Bahamian Nationalist Party and the Democratic National Alliance.[citation needed]
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The Bahamas has strong bilateral relationships with the United States and the United Kingdom, represented by an ambassador in Washington and High Commissioner in London. The Bahamas also associates closely with other nations of the Caribbean Community (CARICOM).[citation needed]
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The Bahamanian military is the Royal Bahamas Defence Force (RBDF),[12] the navy of The Bahamas which includes a land unit called Commando Squadron (Regiment) and an Air Wing (Air Force). Under the Defence Act, the RBDF has been mandated, in the name of the queen, to defend The Bahamas, protect its territorial integrity, patrol its waters, provide assistance and relief in times of disaster, maintain order in conjunction with the law enforcement agencies of The Bahamas, and carry out any such duties as determined by the National Security Council. The Defence Force is also a member of the Caribbean Community (CARICOM)'s Regional Security Task Force.[citation needed]
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The RBDF came into existence on 31 March 1980. Its duties include defending The Bahamas, stopping drug smuggling, illegal immigration and poaching, and providing assistance to mariners. The Defence Force has a fleet of 26 coastal and inshore patrol craft along with 3 aircraft and over 1,100 personnel including 65 officers and 74 women.[citation needed]
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The districts of The Bahamas provide a system of local government everywhere except New Providence (which holds 70 percent of the national population), whose affairs are handled directly by the central government. In 1996, the Bahamian Parliament passed the "Local Government Act" to facilitate the establishment of family island administrators, local government districts, local district councillors and local town committees for the various island communities. The overall goal of this act is to allow the various elected leaders to govern and oversee the affairs of their respective districts without the interference of the central government. In total, there are 32 districts, with elections being held every five years. There are 110 councillors and 281 town committee members elected to represent the various districts.[76]
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Each councillor or town committee member is responsible for the proper use of public funds for the maintenance and development of their constituency.[citation needed]
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The districts other than New Providence are:[citation needed]
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The Bahamian flag was adopted in 1973. Its colours symbolise the strength of the Bahamian people; its design reflects aspects of the natural environment (sun and sea) and economic and social development.[12] The flag is a black equilateral triangle against the mast, superimposed on a horizontal background made up of three equal stripes of aquamarine, gold and aquamarine.[12]
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The coat of arms of The Bahamas contains a shield with the national symbols as its focal point. The shield is supported by a marlin and a flamingo, which are the national animals of The Bahamas. The flamingo is located on the land, and the marlin on the sea, indicating the geography of the islands.[citation needed]
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On top of the shield is a conch shell, which represents the varied marine life of the island chain. The conch shell rests on a helmet. Below this is the actual shield, the main symbol of which is a ship representing the Santa María of Christopher Columbus, shown sailing beneath the sun. Along the bottom, below the shield appears a banner upon which is the national motto:[77]
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"Forward, Upward, Onward Together."
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The yellow elder was chosen as the national flower of The Bahamas because it is native to the Bahama islands, and it blooms throughout the year.[citation needed]
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Selection of the yellow elder over many other flowers was made through the combined popular vote of members of all four of New Providence's garden clubs of the 1970s—the Nassau Garden Club, the Carver Garden Club, the International Garden Club and the YWCA Garden Club. They reasoned that other flowers grown there—such as the bougainvillea, hibiscus and poinciana—had already been chosen as the national flowers of other countries. The yellow elder, on the other hand, was unclaimed by other countries (although it is now also the national flower of the United States Virgin Islands) and also the yellow elder is native to the family islands.[78]
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By the terms of GDP per capita, The Bahamas is one of the richest countries in the Americas.[79] Its currency (the Bahamian dollar) is kept at a 1-to-1 peg with the US dollar.[13] It was revealed in the Panama Papers that The Bahamas is the jurisdiction with the most offshore entities or companies.[80]
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The Bahamas relies heavily on tourism to generate most of its economic activity. Tourism as an industry not only accounts for about 50% of the Bahamian GDP, but also provides jobs for about half of the country's workforce.[13][81] The Bahamas attracted 5.8 million visitors in 2012, more than 70% of whom were cruise visitors.[82]
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After tourism, the next most important economic sector is banking and offshore international financial services, accounting for some 15% of GDP.[13]
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The government has adopted incentives to encourage foreign financial business, and further banking and finance reforms are in progress. The government plans to merge the regulatory functions of key financial institutions, including the Central Bank of the Bahamas (CBB) and the Securities and Exchange Commission.[citation needed] The Central Bank administers restrictions and controls on capital and money market instruments. The Bahamas International Securities Exchange consists of 19 listed public companies. Reflecting the relative soundness of the banking system (mostly populated by Canadian banks), the impact of the global financial crisis on the financial sector was limited.[citation needed]
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The economy has a very competitive tax regime (classified by some as a tax haven). The government derives its revenue from import tariffs, VAT, licence fees, property and stamp taxes, but there is no income tax, corporate tax, capital gains tax, or wealth tax. Payroll taxes fund social insurance benefits and amount to 3.9% paid by the employee and 5.9% paid by the employer.[83] In 2010, overall tax revenue as a percentage of GDP was 17.2%.[1]
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Agriculture and manufacturing form the third largest sector of the Bahamian economy, representing 5–7% of total GDP.[13] An estimated 80% of the Bahamian food supply is imported. Major crops include onions, okra, tomatoes, oranges, grapefruit, cucumbers, sugar cane, lemons, limes, and sweet potatoes.[84]
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Access to biocapacity in the Bahamas is much higher than world average. In 2016, the Bahamas had 9.2 global hectares [85] of biocapacity per person within its territory, much more than the world average of 1.6 global hectares per person.[86] In 2016 the Bahamas used 3.7 global hectares of biocapacity per person - their ecological footprint of consumption. This means they use less biocapacity than the Bahamas contains. As a result, the Bahamas is running a biocapacity reserve.[85]
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The Bahamas has an estimated population of 385,637, of which 25.9% are 14 or under, 67.2% 15 to 64 and 6.9% over 65. It has a population growth rate of 0.925% (2010), with a birth rate of 17.81/1,000 population, death rate of 9.35/1,000, and net migration rate of −2.13 migrant(s)/1,000 population.[87] The infant mortality rate is 23.21 deaths/1,000 live births. Residents have a life expectancy at birth of 69.87 years: 73.49 years for females, 66.32 years for males. The total fertility rate is 2.0 children born/woman (2010).[1]
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The most populous islands are New Providence, where Nassau, the capital and largest city, is located;[88] and Grand Bahama, home to the second largest city of Freeport.[89]
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According to the 99% response rate obtained from the race question on the 2010 Census questionnaire, 90.6% of the population identified themselves as being Black, 4.7% White and 2.1% of a mixed race (African and European).[90] Three centuries prior, in 1722 when the first official census of The Bahamas was taken, 74% of the population was native European and 26% native African.[90]
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Since the colonial era of plantations, Africans or Afro-Bahamians have been the largest ethnic group in The Bahamas, whose primary ancestry was based in West Africa. The first Africans to arrive to The Bahamas were freed slaves from Bermuda; they arrived with the Eleutheran Adventurers looking for new lives.[citation needed]
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The Haitian community in The Bahamas is also largely of African descent and numbers about 80,000. Due to an extremely high immigration of Haitians to The Bahamas, the Bahamian government started deporting illegal Haitian immigrants to their homeland in late 2014.[91]
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The white Bahamian population are mainly the descendants of the English Puritans and American Loyalists escaping the American Revolution who arrived in 1649 and 1783, respectively.[92] Many Southern Loyalists went to the Abaco Islands, half of whose population was of European descent as of 1985.[93] The term white is usually used to identify Bahamians with Anglo ancestry, as well as "light-skinned" Afro-Bahamians. Sometimes Bahamians use the term Conchy Joe to describe people of Anglo descent.[94]
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A small portion of the Euro-Bahamian population are Greek Bahamians, descended from Greek labourers who came to help develop the sponging industry in the 1900s.[95] They make up less than 2% of the nation's population, but have still preserved their distinct Greek Bahamian culture.[96][97]
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Bahamians typically identify themselves simply as either black or white.[94]
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Religion in The Bahamas (2010)[98]
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The islands' population is predominantly Christian.[13][17] Protestant denominations collectively account for more than 70% of the population, with Baptists representing 35% of the population, Anglicans 15%, Pentecostals 8%, Church of God 5%, Seventh-day Adventists 5% and Methodists 4%. There is also a significant Roman Catholic community accounting for about 14%.[99] There are also smaller communities of Jews, Muslims, Baha'is, Hindus, Rastafarians and practitioners of traditional African religions such as Obeah.
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The official language of The Bahamas is English. Many people speak an English-based creole language called Bahamian dialect (known simply as "dialect") or "Bahamianese".[100] Laurente Gibbs, a Bahamian writer and actor, was the first to coin the latter name in a poem and has since promoted its usage.[101][102] Both are used as autoglossonyms.[103] Haitian Creole, a French-based creole language is spoken by Haitians and their descendants, who make up of about 25% of the total population. It is known simply as Creole[1] to differentiate it from Bahamian English.[104]
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The culture of the islands is a mixture of African (Afro-Bahamians being the largest ethnicity), British (as the former colonial power) and American (as the dominant country in the region and source of most tourists).[17]
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A form of African-based folk magic (obeah) is practised by some Bahamians, mainly in the Family Islands (out-islands) of The Bahamas.[105] The practice of obeah is illegal in The Bahamas and punishable by law.[106]
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In the less developed outer islands (or Family Islands), handicrafts include basketry made from palm fronds. This material, commonly called "straw", is plaited into hats and bags that are popular tourist items. Another use is for so-called "Voodoo dolls", even though such dolls are the result of foreign influences and not based in historic fact.[107]
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Junkanoo is a traditional Afro-Bahamian street parade of 'rushing', music, dance and art held in Nassau (and a few other settlements) every Boxing Day and New Year's Day. Junkanoo is also used to celebrate other holidays and events such as Emancipation Day.[17]
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Regattas are important social events in many family island settlements. They usually feature one or more days of sailing by old-fashioned work boats, as well as an onshore festival.[citation needed]
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Many dishes are associated with Bahamian cuisine, which reflects Caribbean, African and European influences. Some settlements have festivals associated with the traditional crop or food of that area, such as the "Pineapple Fest" in Gregory Town, Eleuthera or the "Crab Fest" on Andros. Other significant traditions include story telling.[citation needed]
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Bahamians have created a rich literature of poetry, short stories, plays and short fictional works. Common themes in these works are (1) an awareness of change, (2) a striving for sophistication, (3) a search for identity, (4) nostalgia for the old ways and (5) an appreciation of beauty. Some major writers are Susan Wallace, Percival Miller, Robert Johnson, Raymond Brown, O.M. Smith, William Johnson, Eddie Minnis and Winston Saunders.[108][109]
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Bahamas culture is rich with beliefs, traditions, folklore and legend. The best-known folklore and legends in The Bahamas include the lusca and chickcharney creatures of Andros, Pretty Molly on Exuma Bahamas and the Lost City of Atlantis on Bimini Bahamas.[citation needed]
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Sport is a significant part of Bahamian culture. The national sport is cricket. Cricket has been played in The Bahamas from 1846,[110] the oldest sport being played in the country today. The Bahamas Cricket Association was formed in 1936, and from the 1940s to the 1970s, cricket was played amongst many Bahamians. Bahamas is not a part of the West Indies Cricket Board, so players are not eligible to play for the West Indies cricket team. The late 1970s saw the game begin to decline in the country as teachers, who had previously come from the United Kingdom with a passion for cricket, were replaced by teachers who had been trained in the United States. The Bahamian physical education teachers had no knowledge of the game and instead taught track and field, basketball, baseball, softball,[111] volleyball[112] and Association football[113] where primary and high schools compete against each other. Today cricket is still enjoyed by a few locals and immigrants in the country, usually from Jamaica, Guyana, Haiti and Barbados. Cricket is played on Saturdays and Sundays at Windsor Park and Haynes Oval.[citation needed]
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The only other sporting event that began before cricket was horse racing, which started in 1796. The most popular spectator sports are those imported from the United States, such as basketball,[114] American football,[115] and baseball,[116] rather than from the British Isles, due to the country's close proximity to the United States, unlike their other Caribbean counterparts, where cricket, rugby, and netball have proven to be more popular.[citation needed]
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Dexter Cambridge, Rick Fox, Ian Lockhart, Magnum Rolle, Buddy Hield and Deandre Ayton are a few Bahamians who joined Bahamian Mychal Thompson of the Los Angeles Lakers in the NBA ranks.[117][118] Over the years American football has become much more popular than soccer, though not implemented in the high school system yet. Leagues for teens and adults have been developed by the Bahamas American Football Federation.[119] However soccer, as it is commonly known in the country, is still a very popular sport amongst high school pupils. Leagues are governed by the Bahamas Football Association. Recently,[when?] the Bahamian government has been working closely with Tottenham Hotspur of London to promote the sport in the country as well as promoting The Bahamas in the European market. In 2013, 'Spurs' became the first Premier League club to play an exhibition match in The Bahamas, facing the Jamaican national team. Joe Lewis, the owner of the club, is based in The Bahamas.[120][121][122]
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Other popular sports are swimming,[123] tennis[124] and boxing,[125] where Bahamians have enjoyed some degree of success at the international level. Other sports such as golf,[126] rugby league,[127] rugby union,[128] beach soccer,[129] and netball are considered growing sports. Athletics, commonly known as 'track and field' in the country, is the most successful sport by far amongst Bahamians. Bahamians have a strong tradition in the sprints and jumps. Track and field is probably the most popular spectator sport in the country next to basketball due to their success over the years. Triathlons are gaining popularity in Nassau and the Family Islands.
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Durward Knowles was a sailor and Olympic champion from The Bahamas. He won the gold medal in the Star class at the 1964 Summer Olympics in Tokyo, together with Cecil Cooke. He won the bronze medal in the same class at the 1956 Summer Olympics in Melbourne along with Sloane Elmo Farrington.He had previously competed for the United Kingdom in the 1948 Olympics, finishing in 4th place in the Star class again with Sloane Elmo Farrington. Representing The Bahamas, Knowles won gold in the 1959 Pan American Games star class (with Farrington). He is one of only five athletes who have competed in the Olympics over a span of 40 years.[citation needed]
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Bahamians have gone on to win numerous track and field medals at the Olympic Games, IAAF World Championships in Athletics, Commonwealth Games and Pan American Games. Frank Rutherford is the first athletics Olympic medallist for the country. He won a bronze medal for triple jump during the 1992 Summer Olympics.[130] Pauline Davis-Thompson, Debbie Ferguson, Chandra Sturrup, Savatheda Fynes and Eldece Clarke-Lewis teamed up for the first athletics Olympic gold medal for the country when they won the 4 × 100 m relay at the 2000 Summer Olympics. They are affectionately known as the "Golden Girls".[131] Tonique Williams-Darling became the first athletics individual Olympic gold medallist when she won the 400-metre sprint in 2004 Summer Olympics.[132] In 2007, with the disqualification of Marion Jones, Pauline Davis-Thompson was advanced to the gold medal position in the 200 metres at the 2000 Olympics, predating William-Darling.[citation needed]
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The Bahamas were hosts of the first men's senior FIFA tournament to be staged in the Caribbean, the 2017 FIFA Beach Soccer World Cup.[133] The Bahamas also hosted the first 3 editions of the IAAF World Relays.[citation needed]
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According to 1995 estimates, 98.2% of the Bahamian adult population are literate.[citation needed]
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The University of the Bahamas (UB) is the national higher education/tertiary system. Offering baccalaureate, masters and associate degrees, UB has three campuses, and teaching and research centres throughout The Bahamas. The University of the Bahamas was chartered on 10 November 2016.[134]
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The Bahamas contains about 1,620 km (1,010 mi) of paved roads.[12] Inter-island transport is conducted primarily via ship and air. The country has 61 airports, the chief of which are Lynden Pindling International Airport on New Providence, Grand Bahama International Airport on Grand Bahama Island and Leonard M. Thompson International Airport (formerly Marsh Harbour Airport) on Abaco Island.
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The Commonwealth of Nations, generally known simply as the Commonwealth,[3] is a political association of 54 member states, nearly all former territories of the British Empire.[4] The chief institutions of the organisation are the Commonwealth Secretariat, which focuses on intergovernmental aspects, and the Commonwealth Foundation, which focuses on non-governmental relations between member states.[5]
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The Commonwealth dates back to the first half of the 20th century with the decolonisation of the British Empire through increased self-governance of its territories. It was originally created as the British Commonwealth of Nations[6] through the Balfour Declaration at the 1926 Imperial Conference, and formalised by the United Kingdom through the Statute of Westminster in 1931. The current Commonwealth of Nations was formally constituted by the London Declaration in 1949, which modernised the community and established the member states as "free and equal".[7]
|
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The human symbol of this free association is the Head of the Commonwealth, currently Queen Elizabeth II; the 2018 Commonwealth Heads of Government Meeting appointed Charles, Prince of Wales to be her designated successor, although the position is not hereditary. The Queen is the head of state of 16 member states, known as the Commonwealth realms, while 33 other members are republics and five others have different monarchs.
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Member states have no legal obligations to one another, but are connected through their use of the English language and historical ties. Their stated shared values of democracy, human rights and the rule of law are enshrined in the Commonwealth Charter[8] and promoted by the quadrennial Commonwealth Games.
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The countries of the Commonwealth cover more than 29,958,050 km2 (11,566,870 sq mi), equivalent to 20 per cent of the world's land area. The total population is estimated to be 2,418,964,000 as of 2016, equivalent to nearly a third of the global population, making it the second largest intergovernmental organisation by population behind the United Nations.
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Queen Elizabeth II, in her address to Canada on Dominion Day in 1959, pointed out that the Confederation of Canada on 1 July 1867 had been the birth of the "first independent country within the British Empire". She declared: "So, it also marks the beginning of that free association of independent states which is now known as the Commonwealth of Nations."[9] As long ago as 1884 Lord Rosebery, while visiting Australia, had described the changing British Empire, as some of its colonies became more independent, as a "Commonwealth of Nations".[10] Conferences of British and colonial prime ministers occurred periodically from the first one in 1887, leading to the creation of the Imperial Conferences in 1911.[11]
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The Commonwealth developed from the imperial conferences. A specific proposal was presented by Jan Smuts in 1917 when he coined the term "the British Commonwealth of Nations" and envisioned the "future constitutional relations and readjustments in essence" at the Paris Peace Conference of 1919, attended by delegates from the Dominions as well as Britain.[12][13] The term first received imperial statutory recognition in the Anglo-Irish Treaty of 1921, when the term British Commonwealth of Nations was substituted for British Empire in the wording of the oath taken by members of parliament of the Irish Free State.[14]
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In the Balfour Declaration at the 1926 Imperial Conference, Britain and its dominions agreed they were "equal in status, in no way subordinate one to another in any aspect of their domestic or external affairs, though united by common allegiance to the Crown, and freely associated as members of the British Commonwealth of Nations". The term "Commonwealth" was officially adopted to describe the community.[15]
|
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|
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These aspects to the relationship were formalised by the Statute of Westminster in 1931, which applied to Canada without the need for ratification, but Australia, New Zealand, and Newfoundland had to ratify the statute for it to take effect. Newfoundland never did, as on 16 February 1934, with the consent of its parliament, the government of Newfoundland voluntarily ended and governance reverted to direct control from London. Newfoundland later joined Canada as its 10th province in 1949.[16] Australia and New Zealand ratified the Statute in 1942 and 1947 respectively.[17][18]
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Although the Union of South Africa was not among the Dominions that needed to adopt the Statute of Westminster for it to take effect, two laws—the Status of the Union Act, 1934, and the Royal Executive Functions and Seals Act of 1934—were passed to confirm South Africa's status as a sovereign state.[19]
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After the Second World War ended, the British Empire was gradually dismantled. Most of its components have become independent countries, whether Commonwealth realms or republics, and members of the Commonwealth. There remain the 14 mainly self-governing British overseas territories which retain some political association with the United Kingdom. In April 1949, following the London Declaration, the word "British" was dropped from the title of the Commonwealth to reflect its changing nature.[20]
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Burma (also known as Myanmar) and Aden (now part of the Republic of Yemen) are the only states that were British colonies at the time of the war not to have joined the Commonwealth upon independence. Former British protectorates and mandates that did not become members of the Commonwealth are Egypt (independent in 1922), Iraq (1932), Transjordan (1946), Palestine (part of which became the state of Israel in 1948), Sudan (1956), British Somaliland (which united with the former Italian Somaliland in 1960 to form the Somali Republic), Kuwait (1961), Bahrain (1971), Oman (1971), Qatar (1971), and the United Arab Emirates (1971).[21]
|
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The postwar Commonwealth was given a fresh mission by Queen Elizabeth in her Christmas Day 1953 broadcast, in which she envisioned the Commonwealth as "an entirely new conception – built on the highest qualities of the Spirit of Man: friendship, loyalty, and the desire for freedom and peace".[22] Hoped-for success was reinforced by such achievements as climbing Mount Everest in 1953, breaking the four-minute mile in 1954, and a solo circumnavigation of the globe in 1966.[23] However, the humiliation of the Suez Crisis of 1956 badly hurt the morale of Britain and of the Commonwealth as a whole. More broadly, there was the loss of a central role of the British Empire: the defence of the Empire. That role was no longer militarily or financially feasible, as Britain's withdrawal from Greece in 1947 had painfully demonstrated. Britain itself was now just one part of the NATO military alliance in which the Commonwealth had no role apart from Canada. The ANZUS treaty of 1955 linked Australia, New Zealand, and the United States in a defensive alliance, with Britain and the Commonwealth left out. The second major function of the Empire made London the financial centre of the system. After the Second World War, the British treasury was so weak that it could not operate independently of the United States. The loss of defence and financial roles, furthermore, undermined Joseph Chamberlain's early 20th-century vision of a world empire that could combine Imperial preference, mutual defence, and social growth. Furthermore, Britain's cosmopolitan role in world affairs became increasingly limited, especially with the losses of India and Singapore.[24] While British politicians at first hoped the Commonwealth would preserve and project British influence, they gradually lost their enthusiasm, argues Krishnan Srinivasan. Early enthusiasm waned as British policies came under fire at Commonwealth meetings. Public opinion became troubled as immigration from non-white member states became large-scale.[25]
|
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On 18 April 1949, Ireland formally became a republic in accordance with the Irish Republic of Ireland Act 1948; in doing so, it also formally left the Commonwealth.[26] While Ireland had not actively participated in the Commonwealth since the early 1930s, other dominions wished to become republics without losing Commonwealth ties. The issue came to a head in April 1949 at a Commonwealth prime ministers' meeting in London. Under the London Declaration, India agreed that, when it became a republic in January 1950, it would accept the British Sovereign as a "symbol of the free association of its independent member nations and as such the Head of the Commonwealth". Upon hearing this, King George VI told the Indian politician Krishna Menon: "So, I've become 'as such'".[27] The other Commonwealth countries recognised India's continuing membership of the association. At Pakistan's insistence, India was not regarded as an exceptional case and it was assumed that other states would be accorded the same treatment as India.[citation needed]
|
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|
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+
The London Declaration is often seen as marking the beginning of the modern Commonwealth. Following India's precedent, other nations became republics, or constitutional monarchies with their own monarchs. While some countries retained the same monarch as the United Kingdom, their monarchies developed differently and soon became essentially independent of the British monarchy. The monarch is regarded as a separate legal personality in each realm, even though the same person is monarch of each realm.[28][29][30][31]
|
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+
Planners in the interwar period, like Lord Davies, who had also taken "a prominent part in building up the League of Nations Union" in the United Kingdom, in 1932 founded the New Commonwealth Society, of whose British section Winston Churchill became the president.[32] This new society was aimed at the creation of an international air force to be an arm of the League of Nations, to allow nations to disarm and safeguard the peace.[citation needed]
|
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The term New Commonwealth has been used in the UK (especially in the 1960s and 1970s) to refer to recently decolonised countries, predominantly non-white and developing. It was often used in debates about immigration from these countries.[33] Britain and the pre-1945 dominions became informally known as the Old Commonwealth, or more pointedly as the white Commonwealth[34], in reference to the so-called White Dominions.
|
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At a time when Germany and France, together with Belgium, Italy, Luxembourg, and the Netherlands, were planning what later became the European Union, and newly independent African countries were joining the Commonwealth, new ideas were floated to prevent Britain from becoming isolated in economic affairs. British trade with the Commonwealth was four times larger than its trade with Europe. In 1956 and 1957 the British government under Prime Minister Anthony Eden considered a "Plan G" to create a European free trade zone while also protecting the favoured status of the Commonwealth.[35][36][37] Britain also considered inviting Scandinavian and other European countries to join the Commonwealth, so that it would become a major economic common market. At one point in October 1956 Eden and French Prime Minister Guy Mollet discussed having France join the Commonwealth.[38] Nothing came of any of the proposals.[39]
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Under the formula of the London Declaration, Queen Elizabeth II is the Head of the Commonwealth, a title that is by law a part of Elizabeth's royal titles in each of the Commonwealth realms,[40] the 16 members of the Commonwealth that recognise the Queen as their monarch. When the monarch dies, the successor to the crown does not automatically become Head of the Commonwealth.[41] However, at their meeting in April 2018, Commonwealth leaders agreed that Prince Charles should succeed his mother as head.[42] The position is symbolic, representing the free association of independent members,[40] the majority of which (33) are republics, and five have monarchs of different royal houses (Brunei, Eswatini, Lesotho, Malaysia, and Tonga).
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The main decision-making forum of the organisation is the biennial Commonwealth Heads of Government Meeting (CHOGM), where Commonwealth heads of government, including (amongst others) prime ministers and presidents, assemble for several days to discuss matters of mutual interest. CHOGM is the successor to the Meetings of Commonwealth Prime Ministers and, earlier, the Imperial Conferences and Colonial Conferences, dating back to 1887. There are also regular meetings of finance ministers, law ministers, health ministers, etc. Members in arrears, as special members before them, are not invited to send representatives to either ministerial meetings or CHOGMs.[40]
|
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|
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The head of government hosting the CHOGM is called the Commonwealth Chairperson-in-Office and retains the position until the following CHOGM.[43] After the most recent CHOGM, the Prime Minister of the United Kingdom became the Chairperson-in-Office, and will continue to hold the title until the next CHOGM, scheduled to take place in Rwanda in 2020. Currently, this position is held by Boris Johnson.
|
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The Commonwealth Secretariat, established in 1965, is the main intergovernmental agency of the Commonwealth, facilitating consultation and co-operation among member governments and countries. It is responsible to member governments collectively. The Commonwealth of Nations is represented in the United Nations General Assembly by the secretariat as an observer. The secretariat organises Commonwealth summits, meetings of ministers, consultative meetings and technical discussions; it assists policy development and provides policy advice, and facilitates multilateral communication among the member governments. It also provides technical assistance to help governments in the social and economic development of their countries and in support of the Commonwealth's fundamental political values.[44]
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The secretariat is headed by the Commonwealth Secretary-General who is elected by Commonwealth heads of government for no more than two four-year terms. The secretary-general and two deputy secretaries-general direct the divisions of the Secretariat. The present secretary-general is Patricia Scotland, Baroness Scotland of Asthal, from Dominica, who took office on 1 April 2016, succeeding Kamalesh Sharma of India (2008–2016). The first secretary-general was Arnold Smith of Canada (1965–75), followed by Sir Shridath Ramphal of Guyana (1975–90), Chief Emeka Anyaoku of Nigeria (1990–99), and Don McKinnon of New Zealand (2000–2008).[44]
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In recognition of their shared heritage and culture, Commonwealth countries are not considered to be "foreign" to each other,[45][46][47] although the technical extent of this concept varies in different countries. For example, in Australia, for the purpose of considering certain constitutional and legal provisions no distinction is made between Commonwealth and foreign countries: in the High Court case of Sue v Hill, other Commonwealth countries were held to be foreign powers; similarly, in Nolan v Minister for Immigration and Ethnic Affairs, the nationals of other Commonwealth realms were held to be 'aliens'. Nevertheless, the closer association amongst Commonwealth countries is reflected at least in the diplomatic protocols of the Commonwealth countries. For example, when engaging bilaterally with one another, Commonwealth governments exchange high commissioners instead of ambassadors.[48]
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In addition, some members treat resident citizens of other Commonwealth countries preferentially to citizens of non-Commonwealth countries. Britain and several others, mostly in the Caribbean, grant the right to vote to Commonwealth citizens who reside in those countries. In non-Commonwealth countries in which their own country is not represented, Commonwealth citizens may seek consular assistance at the British embassy although it is for the embassy to decide, in its discretion, whether to provide any.[49] Other alternatives can also occur such as an emergency consular services agreement between Canada and Australia that began in 1986.[50]
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The criteria for membership of the Commonwealth of Nations have developed over time from a series of separate documents. The Statute of Westminster 1931, as a fundamental founding document of the organisation, laid out that membership required dominionhood. The 1949 London Declaration ended this, allowing republican and indigenous monarchic members on the condition that they recognised the British monarch as "Head of the Commonwealth".[51] In the wake of the wave of decolonisation in the 1960s, these constitutional principles were augmented by political, economic, and social principles. The first of these was set out in 1961, when it was decided that respect for racial equality would be a requirement for membership, leading directly to the withdrawal of South Africa's re-application (which they were required to make under the formula of the London Declaration upon becoming a republic). The 14 points of the 1971 Singapore Declaration dedicated all members to the principles of world peace, liberty, human rights, equality, and free trade.[52]
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These criteria were unenforceable for two decades,[53] until, in 1991, the Harare Declaration was issued, dedicating the leaders to applying the Singapore principles to the completion of decolonisation, the end of the Cold War, and the end of apartheid in South Africa.[54] The mechanisms by which these principles would be applied were created, and the manner clarified, by the 1995 Millbrook Commonwealth Action Programme, which created the Commonwealth Ministerial Action Group (CMAG), which has the power to rule on whether members meet the requirements for membership under the Harare Declaration.[55] Also in 1995, an Inter-Governmental Group was created to finalise and codify the full requirements for membership. Upon reporting in 1997, as adopted under the Edinburgh Declaration, the Inter-Governmental Group ruled that any future members would have to have a direct constitutional link with an existing member.[56]
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In addition to this new rule, the former rules were consolidated into a single document. These requirements are that members must accept and comply with the Harare principles, be fully sovereign states, recognise the monarch of the Commonwealth realms as the Head of the Commonwealth, accept the English language as the means of Commonwealth communication, and respect the wishes of the general population with regard to Commonwealth membership.[56] These requirements had undergone review, and a report on potential amendments was presented by the Committee on Commonwealth Membership at the 2007 Commonwealth Heads of Government Meeting.[57] New members were not admitted at this meeting, though applications for admission were considered at the 2009 CHOGM.[58]
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New members must "as a general rule" have a direct constitutional link to an existing member. In most cases, this is due to being a former colony of the United Kingdom, but some have links to other countries, either exclusively or more directly (e.g. Samoa to New Zealand, Papua New Guinea to Australia, and Namibia to South Africa). The first member to be admitted without having any constitutional link to the British Empire or a Commonwealth member was Mozambique, a former Portuguese colony, in 1995 following its first democratic elections and South Africa's re-admission in 1994. Mozambique's controversial entry led to the Edinburgh Declaration and the current membership guidelines.[59] In 2009, Rwanda became the second Commonwealth member admitted not to have any such constitutional links. It was a Belgian trust territory that had been a German colony until World War I.[60] Consideration for its admission was considered an "exceptional circumstance" by the Commonwealth Secretariat.[61]
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The Commonwealth comprises 54 countries, across all continents. The members have a combined population of 2.4 billion people, almost a third of the world population, of whom 1.37 billion live in India or 94% live in Asia and Africa combined.[62] After India, the next-largest Commonwealth countries by population are Pakistan (220 million), Nigeria (170 million), Bangladesh (156 million), and the United Kingdom (65 million). Tuvalu is the smallest member, with about 10,000 people.[63]
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The land area of the Commonwealth nations is about 31,500,000 km2 (12,200,000 sq mi), or about 21% of the total world land area. The three largest Commonwealth nations by area are Canada at 9,984,670 km2 (3,855,100 sq mi), Australia at 7,617,930 km2 (2,941,300 sq mi), and India at 3,287,263 km2 (1,269,219 sq mi).[64]
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The status of "Member in Arrears" is used to denote those that are in arrears in paying subscription dues. The status was originally known as "special membership", but was renamed on the Committee on Commonwealth Membership's recommendation.[65] There are currently no Members in Arrears. The most recent Member in Arrears, Nauru, returned to full membership in June 2011.[66] Nauru has alternated between special and full membership since joining the Commonwealth, depending on its financial situation.[67]
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In 2019, the Commonwealth members had a combined gross domestic product of over $9 trillion, 78% of which is accounted for by the four largest economies: India ($3.010 trillion), United Kingdom ($2.743 trillion), Canada ($1.652 trillion), and Australia ($1.379 trillion).[68]
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In 1997 the Commonwealth Heads of Government agreed that, to become a member of the Commonwealth, an applicant country should, as a rule, have had a constitutional association with an existing Commonwealth member; that it should comply with Commonwealth values, principles and priorities as set out in the Harare Declaration; and that it should accept Commonwealth norms and conventions.[69]
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South Sudanese politicians have expressed interest in joining the Commonwealth.[70] A senior Commonwealth source stated in 2006 that "many people have assumed an interest from Israel, but there has been no formal approach".[71] The State of Palestine is also a potential candidate for membership.[71]
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President Yahya Jammeh unilaterally withdrew The Gambia from the Commonwealth in October 2013.[72] However, newly elected president Adama Barrow returned the country to the organisation in February 2018.[73]
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Other eligible applicants could be any of the remaining inhabited British overseas territories, Crown dependencies, Australian external territories and the Associated States of New Zealand if they become fully independent.[74] Many such jurisdictions are already directly represented within the Commonwealth, particularly through the Commonwealth Family.[75] There are also former British possessions that have not become independent, for example, Hong Kong, which still participates in some of the institutions within the Commonwealth Family. All three Crown dependencies regard the existing situation as unsatisfactory and have lobbied for change. The States of Jersey have called on the UK Foreign Secretary to request that the Commonwealth Heads of Government "consider granting associate membership to Jersey and the other Crown Dependencies as well as any other territories at a similarly advanced stage of autonomy". Jersey has proposed that it be accorded "self-representation in all Commonwealth meetings; full participation in debates and procedures, with a right to speak where relevant and the opportunity to enter into discussions with those who are full members; and no right to vote in the Ministerial or Heads of Government meetings, which is reserved for full members".[76] The States of Guernsey and the Government of the Isle of Man have made calls of a similar nature for a more integrated relationship with the Commonwealth,[77] including more direct representation and enhanced participation in Commonwealth organisations and meetings, including Commonwealth Heads of Government Meetings.[78] The Chief Minister of the Isle of Man has said: "A closer connection with the Commonwealth itself would be a welcome further development of the Island's international relationships".[79]
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At the time of the Suez Crisis in 1956, in the face of colonial unrest and international tensions, French Premier Guy Mollet proposed to British Prime Minister Anthony Eden that their two countries be joined in a "union". When that proposal was turned down, Mollet suggested that France join the Commonwealth, possibly with "a common citizenship arrangement on the Irish basis". Talks regarding a form of union faded away with the end of the Suez crisis.[80]
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In recent years, the Commonwealth has suspended several members "from the Councils of the Commonwealth" for "serious or persistent violations" of the Harare Declaration, particularly in abrogating their responsibility to have democratic government.[81] This is done by the Commonwealth Ministerial Action Group (CMAG), which meets regularly to address potential breaches of the Harare Declaration. Suspended members are not represented at meetings of Commonwealth leaders and ministers, although they remain members of the organisation. Currently, there are no suspended members.[citation needed]
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Nigeria was suspended between 11 November 1995 and 29 May 1999,[82] following its execution of Ken Saro-Wiwa on the eve of the 1995 CHOGM.[83] Pakistan was the second country to be suspended, on 18 October 1999, following the military coup by Pervez Musharraf.[84] The Commonwealth's longest suspension came to an end on 22 May 2004, when Pakistan's suspension was lifted following the restoration of the country's constitution.[85] Pakistan was suspended for a second time, far more briefly, for six months from 22 November 2007, when Musharraf called a state of emergency.[86] Zimbabwe was suspended in 2002 over concerns regarding the electoral and land reform policies of Robert Mugabe's ZANU-PF government,[87] before it withdrew from the organisation in 2003.[88] On 15 May 2018, Zimbabwe applied to rejoin the Commonwealth.[89]
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The declaration of a Republic in Fiji in 1987, after military coups designed to deny Indo-Fijians political power, was not accompanied by an application to remain. Commonwealth membership was held to have lapsed until 1997, after discriminatory provisions in the republican constitution were repealed and reapplication for membership made.[90][91] Fiji has since been suspended twice, with the first imposed from 6 June 2000[92] to 20 December 2001 after another coup.[87] Fiji was suspended yet again in December 2006, following the most recent coup. At first, the suspension applied only to membership on the Councils of the Commonwealth.[90][93] After failing to meet a Commonwealth deadline for setting a date for national elections by 2010, Fiji was "fully suspended" on 1 September 2009.[90][93] The Secretary-General of the Commonwealth, Kamalesh Sharma, confirmed that full suspension meant that Fiji would be excluded from Commonwealth meetings, sporting events and the technical assistance programme (with an exception for assistance in re-establishing democracy). Sharma stated that Fiji would remain a member of the Commonwealth during its suspension, but would be excluded from emblematic representation by the secretariat.[90] On 19 March 2014 Fiji's full suspension was amended to a suspension from councils of the Commonwealth by the Commonwealth Ministerial Action Group, permitting Fiji to join a number of Commonwealth activities, including the Commonwealth Games.[94] Fiji's suspension was lifted in September 2014.[95] The Commonwealth Ministerial Action Group fully reinstated Fiji as a member following elections in September 2014.[96]
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Most recently, during 2013 and 2014, international pressure mounted to suspend Sri Lanka from the Commonwealth, citing grave human rights violations by the government of President Mahinda Rajapaksa. There were also calls to change the Commonwealth Heads of Government Meeting 2013 from Sri Lanka to another member country. Canadian prime minister Stephen Harper threatened to boycott the event, but was instead represented at the meeting by Deepak Obhrai. UK Prime Minister David Cameron also chose to attend.[97][98] These concerns were rendered moot by the election of opposition leader Maithripala Sirisena as president in 2015.
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As membership is purely voluntary, member governments can choose at any time to leave the Commonwealth. Pakistan left on 30 January 1972 in protest at the Commonwealth's recognition of breakaway Bangladesh, but rejoined on 2 August 1989. Zimbabwe's membership was suspended in 2002 on the grounds of alleged human rights violations and deliberate misgovernment, and Zimbabwe's government terminated its membership in 2003.[99] The Gambia left the Commonwealth on 3 October 2013,[72] and rejoined on 8 February 2018.[73] The Maldives withdrew from the Commonwealth on 13 October 2016.[100] The Maldivian Ministry of Foreign Affairs stated that "the Commonwealth has not recognised [...] the progress and achievements that the Maldives accomplished in cultivating a culture of democracy in the country and in building and strengthening democratic institutions".[101] The Ministry also cited the Commonwealth's "punitive actions against the Maldives since 2012" after the allegedly forced resignation of Maldivian President Mohamed Nasheed among the reasons for withdrawal.[101] The Ministry characterized the decision to withdraw as "difficult, but inevitable".[101] Following the election of Ibrahim Mohamed Solih as president in November 2018, the Maldives announced its intention to reapply to join the Commonwealth.[102] They rejoined on 1 February 2020.
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Although heads of government have the power to suspend member states from active participation, the Commonwealth has no provision for the expulsion of members.
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Until 1948, there was a consensus among the existing half-dozen Commonwealth members that Commonwealth realms that became a republic would cease to be members but the situation changed in 1948 when newly independent India announced its intention to become a republic on 1 January 1950 although it wished to remain in the Commonwealth. This was granted. Now, the majority of the Commonwealth members, including all those from Africa, are republics or have their own native monarch.
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Ireland withdrew from participation in the Commonwealth in the 1930s, attending its last Commonwealth governmental heads' meeting in 1932. For some years Ireland considered itself to be a republic outside the Commonwealth but the Commonwealth considered Ireland to still be a Commonwealth member. Its treatment as a member ended on 18 April 1949 when Irish legislation that the Commonwealth chose to regard as having caused Ireland to become a republic became law. It is the only country whose membership terminated without any declaration withdrawing from the organisation. Instead, it was (with its own tacit support) excluded from the organisation.
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South Africa was barred from continuing as a member after it became a republic in 1961, due to hostility from many members, particularly those in Africa and Asia as well as Canada, to its policy of racial apartheid. The South African government withdrew its application to remain in the organisation as a republic when it became clear at the 1961 Commonwealth Prime Ministers' Conference that any such application would be rejected. South Africa was re-admitted to the Commonwealth in 1994, following its first multiracial elections that year.[103]
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The transfer of sovereignty over Hong Kong in 1997 ended the colony's status as a part of the Commonwealth through the United Kingdom. Non-sovereign states or regions are not permitted to become members of the Commonwealth. The government of the People's Republic of China has not pursued membership. Hong Kong has nevertheless continued to participate in some of the organisations of the Commonwealth family, such as the Commonwealth Lawyers Association (hosted the Commonwealth Lawyers Conference in 1983 and 2009), the Commonwealth Parliamentary Association (and the Westminster Seminar on Parliamentary Practice and Procedures), the Association of Commonwealth Universities and the Commonwealth Association of Legislative Counsel.[104][105]
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The Commonwealth's objectives were first outlined in the 1971 Singapore Declaration, which committed the Commonwealth to the institution of world peace; promotion of representative democracy and individual liberty; the pursuit of equality and opposition to racism; the fight against poverty, ignorance, and disease; and free trade.[106] To these were added opposition to discrimination on the basis of gender by the Lusaka Declaration of 1979,[52] and environmental sustainability by the Langkawi Declaration of 1989.[107] These objectives were reinforced by the Harare Declaration in 1991.[108]
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The Commonwealth's current highest-priority aims are on the promotion of democracy and development, as outlined in the 2003 Aso Rock Declaration,[109] which built on those in Singapore and Harare and clarified their terms of reference, stating, "We are committed to democracy, good governance, human rights, gender equality, and a more equitable sharing of the benefits of globalisation."[110] The Commonwealth website lists its areas of work as: democracy, economics, education, gender, governance, human rights, law, small states, sport, sustainability, and youth.[111]
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Through a separate voluntary fund, Commonwealth governments support the Commonwealth Youth Programme, a division of the Secretariat with offices in Gulu (Uganda), Lusaka (Zambia), Chandigarh (India), Georgetown (Guyana) and Honiara (Solomon Islands).[citation needed]
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In recent years, the Commonwealth has been accused of not being vocal enough on its core values. Allegations of a leaked memo from the Secretary General instructing staff not to speak out on human rights were published in October 2010.[112]
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The Commonwealth Heads of Government Meeting 2011 considered a report by a Commonwealth Eminent Persons Group (EPG) panel which asserted that the organisation had lost its relevance and was decaying due to the lack of a mechanism to censure member countries when they violated human rights or democratic norms.[113] The panel made 106 "urgent" recommendations including the adoption of a Charter of the Commonwealth, the creation of a new commissioner on the rule of law, democracy and human rights to track persistent human rights abuses and allegations of political repression by Commonwealth member states, recommendations for the repeal of laws against homosexuality in 41 Commonwealth states and a ban on forced marriage.[114][115] The failure to release the report, or accept its recommendations for reforms in the area of human rights, democracy and the rule of law, was decried as a "disgrace" by former British Foreign Secretary Sir Malcolm Rifkind, a member of the EPG, who told a press conference: "The Commonwealth faces a very significant problem. It's not a problem of hostility or antagonism, it's more of a problem of indifference. Its purpose is being questioned, its relevance is being questioned and part of that is because its commitment to enforce the values for which it stands is becoming ambiguous in the eyes of many member states. The Commonwealth is not a private club of the governments or the secretariat. It belongs to the people of the Commonwealth."[115]
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In the end, two-thirds of the EPG's 106 urgently recommended reforms were referred to study groups, an act described by one EPG member as having them "kicked into the long grass". There was no agreement to create the recommended position of human rights commissioner, instead a ministerial management group was empowered with enforcement: the group includes alleged human rights offenders. It was agreed to develop a charter of values for the Commonwealth without any decision on how compliance with its principles would be enforced.[113]
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The result of the effort was that a new Charter of the Commonwealth was signed by Queen Elizabeth on 11 March 2013 at Marlborough House, which opposes "all forms of discrimination, whether rooted in gender, race, colour, creed, political belief or other grounds".[116][117]
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During the Second World War, the Commonwealth played a major role in helping British finances. Foreign exchange reserves were pooled in London, to be used to fight the war. In effect Britain procured £2.3 billion, of which £1.3 billion was from India. The debt was held in the form of British government securities and became known as "sterling balances". By 1950, India, Pakistan and Ceylon had spent much of their sterling, while other countries accumulated more. The sterling area that included all of the Commonwealth except for Canada, together with some smaller countries especially in the Persian Gulf. They held their foreign-exchange in sterling, protecting that currency from runs, and facilitating trade and investment inside the Commonwealth. It was a formal relationship with fixed exchange rates, and periodic meetings at Commonwealth summits to coordinate trade policy, and domestic economic policies. Britain ran a trade surplus, and the other countries were mostly producers of raw materials sold to Britain. However the commercial rationale was gradually less attractive to the Commonwealth. Access to the growing London capital market, however, remained an important advantage to the newly independent nations. As Britain moved increasingly close to Europe, however, the long-term ties began to be in doubt.[124]
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Britain had focused on the Commonwealth after the war, and largely ignored links with Europe. By the 1960s with a sluggish economy Britain tried repeatedly to join the European Economic Community, but this was repeatedly vetoed by Charles de Gaulle.[125] After his death, entry was finally achieved in 1972. Queen Elizabeth was one of the few remaining links between the UK and the Commonwealth. She tried to reassure the other countries that the Commonwealth family was joining forces with the Europeans, and that the new links would not replace the old Commonwealth ties based on historical attachments, which were too sacred to break. Historian Ben Pimlott argues that she was mistaken, for joining Europe, "constituted the most decisive step yet in the progress of severance of familial ties between Britain and its former Empire....It reduced the remaining links to sentimental and cultural ones, and legal niceties."[126]
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The newly independent countries of Africa and Asia concentrated on their own internal political and economic development, and sometimes with their role in the Cold War. The United States, international agencies, and the Soviet Union became important players, and the British role receded. Indeed, the British considered them burdensome and were themselves alienated from traditional imperialism. Many former colonies saw Britain as a declining loner and would rather have a prosperous Britain linked to a prosperous Europe.[127] The dominions saw their historic ties with Britain were rapidly fraying. The Canadian economy increasingly focused on trade with the United States, and had less to do with Britain or other Commonwealth nations. Internal Canadian disputes revolved around the growing American cultural economic presence, and the strong force of Quebec nationalism. In 1964 the Maple Leaf flag replaced the Canadian Ensign to the sorrow of many Anglophiles—it was "the last gasp of empire".[128] Australia and New Zealand were in deep shock but kept a low profile not wanting to alienate London.[129][130] Nevertheless, the implications of British entry into Europe:
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Although the Commonwealth does not have a multilateral trade agreement, research by the Royal Commonwealth Society has shown that trade with another Commonwealth member is up to 50% more than with a non-member on average, with smaller and less wealthy states having a higher propensity to trade within the Commonwealth.[132] At the 2005 Summit in Malta, the heads of government endorsed pursuing free trade among Commonwealth members on a bilateral basis.[133]
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Following its vote in June 2016 to leave the EU, some politicians in the United Kingdom have suggested the idea as an alternative to its membership in the European Union,[134][135] however it is far from clear that this would either offer sufficient economic benefit to replace the impact of leaving the EU or be acceptable to other member states[136] Although the EU is already in the process of negotiating free trade agreements with many Commonwealth countries such as India and Canada, it took the EU almost ten years to come to an agreement with Canada,[137][138] due to the challenge associated with achieving the necessary EU-wide approvals.
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Commonwealth countries share many links outside government, with over a hundred Commonwealth-wide non-governmental organisations, notably for sport, culture, education, law and charity. The Association of Commonwealth Universities is an important vehicle for academic links, particularly through scholarships, principally the Commonwealth Scholarship, for students to study in universities in other Commonwealth countries. There are also many non-official associations that bring together individuals who work within the spheres of law and government, such as the Commonwealth Lawyers Association and the Commonwealth Parliamentary Association.
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The Commonwealth Foundation is an intergovernmental organisation, resourced by and reporting to Commonwealth governments, and guided by Commonwealth values and priorities. Its mandate is to strengthen civil society in the achievement of Commonwealth priorities: democracy and good governance, respect for human rights and gender equality, poverty eradication, people-centred and sustainable development, and to promote arts and culture.[citation needed]
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The Foundation was established in 1965 by the Heads of Government. Admittance is open to all members of the Commonwealth, and in December 2008, stood at 46 out of the 53 member countries. Associate Membership, which is open to associated states or overseas territories of member governments, has been granted to Gibraltar. 2005 saw celebrations for the Foundation's 40th Anniversary. The Foundation is headquartered in Marlborough House, Pall Mall, London. Regular liaison and co-operation between the Secretariat and the Foundation is in place. The Foundation continues to serve the broad purposes for which it was established as written in the Memorandum of Understanding.[139]
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The Commonwealth Games, a multi-sport event, is held every four years; the 2014 Commonwealth Games were held in Glasgow, Scotland, and the 2018 Commonwealth Games in Gold Coast, Australia. Birmingham is set to be the host for 2022 Commonwealth Games. As well as the usual athletic disciplines, as at the Summer Olympic Games, the games include sports particularly popular in the Commonwealth, such as bowls, netball, and rugby sevens. Started in 1930 as the Empire Games, the games were founded on the Olympic model of amateurism, but were deliberately designed to be "the Friendly Games",[140] with the goal of promoting relations between Commonwealth countries and celebrating their shared sporting and cultural heritage.[141]
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The games are the Commonwealth's most visible activity[140] and interest in the operation of the Commonwealth increases greatly when the Games are held.[142] There is controversy over whether the games—and sport generally—should be involved in the Commonwealth's wider political concerns.[141] The 1977 Gleneagles Agreement was signed to commit Commonwealth countries to combat apartheid through discouraging sporting contact with South Africa (which was not then a member), whilst the 1986 games were boycotted by most African, Asian, and Caribbean countries for the failure of other countries to enforce the Gleneagles Agreement.[143]
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The Commonwealth War Graves Commission (CWGC) is responsible for maintaining the war graves of 1.7 million service personnel that died in the First and Second World Wars fighting for Commonwealth member states. Founded in 1917 (as the Imperial War Graves Commission), the commission has constructed 2,500 war cemeteries, and maintains individual graves at another 20,000 sites around the world.[144] The vast majority of the latter are civilian cemeteries in Britain. In 1998, the CWGC made the records of its buried online to facilitate easier searching.[145]
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Commonwealth war cemeteries often feature similar horticulture and architecture, with larger cemeteries being home to a Cross of Sacrifice and Stone of Remembrance. The CWGC is notable for marking the graves identically, regardless of the rank, country of origin, race, or religion of the buried.[145][note 1] It is funded by voluntary agreement by six Commonwealth members, in proportion to the nationality of the casualties in the graves maintained,[144] with 75% of the funding coming from Britain.[145]
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The Commonwealth of Learning (COL) is an intergovernmental organisation created by the Heads of Government to encourage the development and sharing of open learning/distance education knowledge, resources and technologies. COL is helping developing nations improve access to quality education and training.[citation needed]
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The Commonwealth Local Government Forum (CLGF) is a global local government organisation, bringing together local authorities, their national associations and the ministries responsible for local government in the member countries of the Commonwealth. CLGF works with national and local governments to support the development of democratic values and good local governance and is the associated organisation officially recognised by Commonwealth Heads of Government as the representative body for local government in the Commonwealth.[147]
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CLGF is unique in bringing together central, provincial and local spheres of government involved in local government policy and decision-making. CLGF members include local government associations, individual local authorities, ministries dealing with local government, and research and professional organisations who work with local government. Practitioner to practitioner support is at the core of CLGF's work across the Commonwealth and within the region, using CLGF's own members to support others both within and between regions. CLGF is a member of the Global Taskforce of Local and Regional Governments, the formal partner of the UN Major Group of Local Authorities.[148]
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Many Commonwealth nations possess traditions and customs that are elements of a shared Commonwealth culture. Examples include common sports such as cricket and rugby, driving on the left, the Westminster system of parliamentary democracy, common law, widespread use of the English language, designation of English as an official language, military and naval ranks, and the use of British rather than American spelling conventions (see English in the Commonwealth of Nations).[citation needed]
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Many Commonwealth nations play similar sports that are considered quintessentially British in character, rooted in and developed under British rule or hegemony, including cricket, soccer, rugby and netball.[149] This has led to the development of friendly national rivalries between the main sporting nations that have often defined their relations with each other. Indeed, said rivalries preserved close ties by providing a constant in international relationships, even as the Empire transformed into the Commonwealth.[150] Externally, playing these sports is seen to be a sign of sharing a certain Commonwealth culture; the adoption of cricket at schools in Rwanda is seen as symbolic of the country's move towards Commonwealth membership.[151][152]
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Besides the Commonwealth Games, other sporting competitions are organised on a Commonwealth basis, through championship tournaments such as the Commonwealth Taekwondo Championships, Commonwealth Fencing Championships, Commonwealth Judo Championships, Commonwealth Rowing Championships, Commonwealth Sailing Championships, Commonwealth Shooting Championships and Commonwealth Pool Lifesaving Championships. The Commonwealth Boxing Council has long maintained Commonwealth titles for the best boxers in the Commonwealth.[citation needed]
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The shared history of British presence has produced a substantial body of writing in many languages, known as Commonwealth literature.[153][154] The Association for Commonwealth Literature and Language Studies has 11 branches worldwide and holds an international conference every three years.[155]
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In 1987, the Commonwealth Foundation established the annual Commonwealth Writers' Prize "to encourage and reward the upsurge of new Commonwealth fiction and ensure that works of merit reach a wider audience outside their country of origin". Prizes are awarded for the best book and best first book in the Commonwealth; there are also regional prizes for the best book and best first book in each of four regions. Although not officially affiliated with the Commonwealth, the prestigious annual Man Booker Prize, one of the highest honours in literature,[156] used to be awarded only to authors from Commonwealth countries or former members such as Ireland and Zimbabwe. Since 2014, however, writers of any nationality have been eligible for the prize providing that they write originally in English and their novels are published by established publishers in the United Kingdom.[157]
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There had been a few important works in English prior to 1950 from the then British Empire. From 1950 on, a significant number of writers from the countries of the Commonwealth began gaining international recognition, including some who migrated to the United Kingdom.
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The South African writer Olive Schreiner's famous novel The Story of an African Farm was published in 1883 and New Zealander Katherine Mansfield published her first collection of short stories, In a German Pension, in 1911. The first major novelist, writing in English, from the Indian sub-continent, R. K. Narayan, began publishing in England in the 1930s, thanks to the encouragement of English novelist Graham Greene.[158] Caribbean writer Jean Rhys's writing career began as early as 1928, though her most famous work, Wide Sargasso Sea, was not published until 1966. South Africa's Alan Paton's famous Cry, the Beloved Country dates from 1948. Doris Lessing from Southern Rhodesia, now Zimbabwe, was a dominant presence in the English literary scene, frequently publishing from 1950 on throughout the 20th century. She won the Nobel Prize in Literature in 2007.[159]
|
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Salman Rushdie is another post-Second World War writer from the former British colonies who permanently settled in Britain. Rushdie achieved fame with Midnight's Children (1981). His most controversial novel, The Satanic Verses (1989), was inspired in part by the life of Muhammad. V. S. Naipaul (born 1932), born in Trinidad, was another immigrant, who wrote among other things A Bend in the River (1979). Naipaul won the Nobel Prize in Literature in 2001.[160]
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Many other Commonwealth writers have achieved an international reputation for works in English, including Nigerian novelist Chinua Achebe, and playwright Wole Soyinka. Soyinka won the Nobel Prize in Literature in 1986, as did South African novelist Nadine Gordimer in 1995. Other South African writers in English are novelist J. M. Coetzee (Nobel Prize 2003) and playwright Athol Fugard. Kenya's most internationally renowned author is Ngũgĩ wa Thiong'o, who has written novels, plays and short stories in English. Poet Derek Walcott, from Saint Lucia in the Caribbean, was another Nobel Prize winner in 1992. An Australian, Patrick White, a major novelist in this period, whose first work was published in 1939, won in 1973. Other noteworthy Australian writers at the end of this period are poet Les Murray, and novelist Peter Carey, who is one of only four writers to have won the Booker Prize twice.[161]
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Due to their shared constitutional histories, several countries in the Commonwealth have similar legal and political systems. The Commonwealth requires its members to be functioning democracies that respect human rights and the rule of law. Most Commonwealth countries have the bicameral Westminster system of parliamentary democracy. The Commonwealth Parliamentary Association facilitates co-operation between legislatures across the Commonwealth, and the Commonwealth Local Government Forum promotes good governance amongst local government officials. Most Commonwealth members use common law, modelled on English law. The Judicial Committee of the Privy Council is the supreme court of 14 Commonwealth members.[162]
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The Commonwealth has adopted a number of symbols that represent the association of its members. The English language is recognised as a symbol of the members' heritage; as well as being considered a symbol of the Commonwealth, recognition of it as "the means of Commonwealth communication" is a prerequisite for Commonwealth membership. The flag of the Commonwealth consists of the symbol of the Commonwealth Secretariat, a gold globe surrounded by emanating rays, on a dark blue field; it was designed for the second CHOGM in 1973, and officially adopted on 26 March 1976. 1976 also saw the organisation agree to a common date on which to commemorate Commonwealth Day, the second Monday in March, having developed separately on different dates from Empire Day celebrations.[163]
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In 2009, to mark the 60th anniversary of the founding of the Commonwealth, the Royal Commonwealth Society commissioned a poll of public opinion in seven of the member states: Australia, Canada, India, Jamaica, Malaysia, South Africa and the United Kingdom. It found that most people in these countries were largely ignorant of the Commonwealth's activities, aside from the Commonwealth Games, and indifferent toward its future. Support for the Commonwealth was twice as high in developing countries as in developed countries; it was lowest in Britain.[164][165][166][167]
|
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Also to mark the 60th anniversary (Diamond Jubilee) of the Commonwealth in 2009, the Commonwealth Secretariat commissioned Paul Carroll to compose "The Commonwealth Anthem". The lyrics of the Anthem are taken from the 1948 Universal Declaration of Human Rights.[168] The Commonwealth has published the Anthem, performed by the Commonwealth Youth Orchestra, with and without an introductory narrative.[169][170]
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Culture:Anglosphere
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en/1243.html.txt
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1 |
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The Community of Madrid (English: /məˈdrɪd/;[3] Spanish: Comunidad de Madrid Spanish pronunciation: [komuniˈðað ðe maˈðɾið] (listen)) is one of the seventeen autonomous communities of Spain. It is located in the centre of the Iberian Peninsula, and of the Central Plateau (Meseta Central). Its capital is the city of Madrid, which is also the capital of the country. The Community of Madrid is bounded to the south and east by Castilla–La Mancha and to the north and west by Castile and León. It was formally created in 1983, based on the limits of the province of Madrid, which was until then conventionally included in the historical region of New Castile.
|
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The Community of Madrid is the third most populous in Spain with 6,549,979 (2018) inhabitants mostly concentrated in the metropolitan area of Madrid.[4] It is also the most densely populated autonomous community. In absolute terms, Madrid's economy is, since 2018, slightly bigger in size to that of Catalonia.[5] Madrid has the highest GDP per capita in the country.[6]
|
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The region contains three World Heritage Sites: the Monastery and Royal Site of El Escorial, the University and historic centre of Alcalá de Henares, and the cultural landscape of Aranjuez. In addition, the Montejo Beech Forest [es] is part of the transnational Ancient and Primeval Beech Forests of the Carpathians and Other Regions of Europe world heritage site.
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Despite the existence of a large city of 5 million people, the Community of Madrid still retains some remarkably unspoiled and diverse habitats and landscapes. Madrid is home to mountain peaks rising above 2,000 m, holm oak dehesas and low-lying plains. The slopes of the Guadarrama mountain range are cloaked in dense forests of Scots pine and Pyrenean oak. The Lozoya Valley supports a large black (monk) vulture colony, and one of the last bastions of the Spanish imperial eagle in the world is found in the Park Regional del Suroeste in dehesa hills between the Gredos and Guadarrama ranges. The recent possible detection of the existence of Iberian lynx in the area between the Cofio and Alberche rivers is testament to the biodiversity of the area. Taking advantage of the orography, there are several reservoirs and dams in the region, with the Santillana reservoir being the largest.
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When looking at a map of the Province of Madrid, it can be seen that it is almost an equilateral triangle, in whose center would be the city. First, by the western side, the region borders the "Sistema Central" (the Guadarrama mountain range), the southern border features a protrusion following the Tagus River in order to include the royal site of Aranjuez in the region; the eastern edge of the triangle comes from the rupture of the fluvial river basins. The region is located in the basin of the Tagus River. The Tagus passes through the southern border of the region in its path west toward the Atlantic Ocean, draining the waters of the Jarama River (collecting in turn the waters of the Lozoya, the Guadalix, the Manzanares, the Henares and the Tajuña), the Alberche and the Guadarrama in the region.[7]
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The region also includes the exclave of Dehesa de la Cepeda (part of the municipality of Santa María de la Alameda), a mostly open-area geographically located between the provinces of Ávila and Segovia in the autonomous community of Castile and León.
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Province of Madrid occupies a surface area of approximately 8,028 km2 (3,100 sq mi) (1.6% of all Spanish territory). More specifically, the exact position of Madrid is 3° 40´ of longitude west of Greenwich, England, and 40° 23´ north of the equator.
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Most of province lies between 600 and 1,000 m above sea level. However, there the altitude ranges from the 2,428 metres of Peñalara and the 430 metres of the Alberche river when it leaves Villa del Prado into the province of Toledo.[8] Other considerable heights, as well as being famous, are the Bola del Mundo ("Ball of the World") in Navacerrada, at a height of 2,258 m, the Siete Picos ("Seven Peaks") in Cercedilla, at 2,138 m, and the Peña Cebollera (2,129 m) at the northernmost end of the province, a tripoint between the Madrid region and the provinces of Segovia and Guadalajara.
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Among the protected species of birds nesting in the region stand out the Spanish imperial eagle, the golden eagle, the Bonelli's eagle, the cinereous vulture, the peregrine falcon and the black stork.[9]
|
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+
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Exotic invasive species of birds and mammals in the region include the red-eared slider, the monk parakeet, the common snapping turtle, the rose-ringed parakeet, the American mink and the raccoon.[10] Species described as "out of place" and with an increasing population include the black-headed gull, the lesser black-backed gull, the great cormorant and Eurasian collared dove,[11] while the emblematic iberian ibex is presented as a case of a species "gone out of control" in La Pedriza following its re-introduction in the region in 1990 after roughly a century disappeared from the Madrilenian mountains.[12]
|
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The mountain amphibians living at a high altitude include the fire salamander, the narbled newt, the alpine newt, the iberian frog, the European tree frog or the common midwife toad.[13] At a middle elevation in the mountain reaches close to water streams there are species such as the Bosca's newt, the southern marbled newt, the mediterranean tree frog or the iberian midwife toad.[14] The common parsley frog and the Alytes obstetricans pertinax dwell in the limestone lowlands near the Tagus in the south-east of the region.[14] Among the all-around amphibians adaptable to different heights stand out the natterjack toad, the common toad and the iberian green frog.[14] Other species with a wide distribution range (although in this case restricted by altitude) are the gallipato, the iberian spadefoot toad, the iberian painted frog, and the Spanish painted frog.[14]
|
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|
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+
Regarding the reptiles, species such as the Cyren's rock lizard, the European wall lizard, the iberian emerald lizard, the deaf adder or snakes such as the smooth snake or the Vipera latastei dwell in the mountain heights.[15] At the lower reaches of the mountains the European pond turtle and the Brediaga's skink can be found, while the western false smooth snake is restricted to areas in the south of the region.[16] Among the species of all-around reptiles, adaptable to different biomes stand out the Spanish pond turtle, the salamanquesa, the western three-toed skink, the spiny-footed lizard, the ocellated lizard, the Algerian sand racer, Spanish psammodromus, the ubiquous iberian wall lizard, the iberian worm lizard, the Coronella girondica, the Montpellier snake; grass snake and the viperine snake.[17]
|
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|
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The fish species are affected by the high number of reservoirs in the region.[7] Among the threatened species in the rivers stand out the European eel, the iberian barbel, the Squalius alburnoides, the Cobitis calderoni and, potentially, the Chondrostoma lemmingii.[18] Conversely the set of invasive species of fish includes pike, black bullhead catfish, pumpkinseed, zander, common bleak and black-bass.[18]
|
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In the vicinity of the mountain peaks, oromediterranean vegetation such as Agrostis truncatula, Armeria caespitosa [es], Festuca indigesta [es], Jasione crispa [es], Jurinea humilis [es], Minuartia recurva, Pilosella vahlii, Plantago holosteum and the Thymus praecox is common.[19] Below the summit line, shrubby species such as the Cytisus oromediterraneus [es] and the common juniper as well as the Scots pine take over.[20] There are also masses of black pine and the pyrenean oak situated above the domain of the holm oak.[21]
|
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+
Eurosiberian flora is not common in the region, and species such as the moor birch and the silver birch are restricted to very specific humid valley areas with special climate conditions.[22]
|
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+
The climax vegetation in the campiña is the holly oak. Some of the species that take over when the holly oak forest degrades are the "sticky shrub", the Retama sphaerocarpa [es], the French lavender, the Thymus mastichina and the Thymus zygis.[23]
|
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+
The lower reaches of Guadarrama Mountain Range are populated by species such as the Juniperus thurifera, the maritime pine, the Portuguese oak, the stone pine; only in the somewhat more humid westernmost end of the region, near the Alto del Mirlo [es], there are forests of chestnut tree.[24]
|
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+
54,4% of the surface of the region is soil categorised as forest areas of which the 51.4% (27.7 % of the total of the region) it is already covered by forests, so there is room for tree re-population.[25] The first modest efforts towards tree re-population were taken in the Lozoya Valley in the late 19th century intending to achieve a purer water from the river,[26] that provided the capital with water for consumption. However the bulk of the process took place after the Spanish Civil War, with a largely successful repopulation with several species of conifers.[27]
|
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+
The Madrid region features a climate marked by dry summers, while average temperature varies with altitude, marking different climate subtypes. Most of the region (including the capital) has a climate intermediate between a hot-summer mediterranean climate (Köppen Csa) and a cold semi-arid climate (Köppen BSk), with a dry summer and a moderate to low amount of rain primarily distributed throughout the rest of the year (in the case of the capital, roughly an equinoctial pattern of precipitation maximums), as well as summer temperature averages over 22 °C (with daily maximums consistently surpassing 30 °C in July and August). The areas at a higher altitude close to the Sierra de Guadarrama feature a colder climate, also generally with more precipitation (particularly in the winter), with climate subtypes ranging from the Csa to the warm-summer mediterranean climate (Köppen: Csb) and the dry summer continental climate (Köppen: Dsb) on the peaks of the mountain range, with temperature averages below freezing point during January and February in the later case.
|
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The territory of the Community of Madrid has been populated since the Lower Paleolithic, mainly in the valleys between the rivers of Manzanares, Jarama, and Henares, where several archaeological findings have been made. Some notable discoveries of the region the bell-shaped vase of Ciempozuelos (between 1970 and 1470 BCE).[28]
|
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During the Roman Empire, the region was part of the Citerior Tarraconese province, except for the south-west portion of it, which belonged to Lusitania. It was crossed by two important Roman roads, the via xxiv-xxix (joining Astorga to laminium and via xxv (which joined Emerita Augusta and Caesaraugusta), and contained some important conurbations. The city of Complutum (today Alcalá de Henares) became an important metropolis, whereas Titulcia and Miaccum were important crossroad communities.
|
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During the period of the Visigothic Kingdom, the region lost its importance. The population was scattered amongst several small towns. Complutum was designated the bishopric seat in the 5th century by orders of Asturio, archbishop of Toledo, but this event was not enough to bring back the lost splendor of the city.
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The centre of the peninsula (the Middle Mark of Al-Andalus or aṯ-Ṯaḡr al-Awsaṭ) became a strategic military post in the 11th century. The Muslim rulers created a defensive system of fortresses and towers all across the region with which they tried to stop the advance of the Christian kingdoms of the north.
|
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The fortress of Mayrit (Madrid) was built somewhere between 860 and 880 AD, as a walled precinct where a military and religious community lived, and which constituted the foundation of the city. It soon became the most strategic fortress in defense of the city of Toledo above the fortresses of Talamanca and Qal'-at'-Abd-Al-Salam (Alcalá de Henares). In 1083 (or 1085) Alfonso VI took the city of Madrid in the context of his wider campaign to conquer Toledo.[29] Alcalá de Henares fell in 1118 in a new period of Castilian annexation.
|
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The recently conquered lands by the Christian kingdoms were desegregated into several constituencies, as a consequence of a long process of repopulation that took place over the course of four centuries. The feudal and ecclesiastical lords came into constant conflict with the different councils that had been granted the authority to repopulate.
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In the 13th century, Madrid was the only city of the region that preserved its own juridical personality, at first with the Old Fuero (Charter) and later with the Royal Fuero, granted by Alfonso X of Castile in 1262 and ratified by Alfonso XI in 1339. On the other hand, the town of Buitrago del Lozoya, Alcalá de Henares and Talamanca de Jarama, which were rapidly repopulated until that century, were under the dominion of the feudal or ecclesiastical lords. Specifically, Alcalá de Henares was under the hands of the archbishopric of Toledo and remained so until the 19th century.
|
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Around the town of Madrid, an administrative territory was created known as Tierra de Madrid (Land of Madrid), the origin of the province that included the areas of the current municipalities of San Sebastián de los Reyes, Corbeña, Las Rozas de Madrid, Rivas-Vaciamadrid, Torrejón de Velasco, Alcorcón, San Fernando de Henares, and Griñón.
|
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Madrid was in constant strife with the powerful council of Segovia, whose jurisdiction extended south of the Guadarrama Mountains; they both fought for the control of the Real de Manzanares, a large comarca (shire) that was finally given to the House of Mendoza.
|
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Castilian monarchs showed a predilection for the center of the peninsula, with abundant forests and game. El Pardo was a region visited frequently by kings since the time of Henry III, in the 14th century. The Catholic Monarchs started the construction of the Royal Palace of Aranjuez.[dubious – discuss][30] In the 16th century, San Lorenzo de El Escorial was built and became another royal site of the province.
|
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The town of Madrid, which was one of the eighteen cities with the right to vote in the Cortes of Castile, was seat of the Courts themselves on several occasions and was the residence of several monarchs, amongst them the emperor Charles I who reformed and expanded the Alcázar or Castle of the city. Alcalá de Henares grew in importance as cultural center since the foundation by the Cardinal Cisneros of its university.
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In 1561, King Philip II made Madrid the capital of the Hispanic Monarchy. The surrounding territories became economically subordinated to the town itself, even beyond the present day limits of the Community of Madrid. But it was not a unified region as several lords and churches had jurisdiction over their own autonomous territories.
|
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During the 18th century, the fragmented administration of the region was not solved despite several attempts. During the reign of Philip V, the intendencia was created as a political and administrative division. Nonetheless, the intendencia of Madrid did not fully solve the problem, and the region was still fragmented into several small dominions even though some processes were centralized. This territorial dispersion had a negative effect on its economic growth; while the town of Madrid received economic resources from the entire country as the capital, the surrounding territories—in hands of noblemen or the clergy—became impoverished.
|
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During the eighteenth century, the town of Madrid was transformed through several grandiose buildings and monuments as well as through the creation of many social, economic, and cultural institutions, some of which are still operating. Madrid grew to a population of 156,672 inhabitants by the end of the eighteenth century.
|
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The current territory of the region was roughly defined with the 1833 reorganization of Spain into provinces promoted by Javier de Burgos, in which the province of Madrid was classified in the region of New Castile (lacking the later any sort of administrative institution at the regional level nonetheless). The government institution at the provincial level was the deputation (diputación). In addition to the former body, another provincial political authority was the civil governor discretionarily designated by the central government. A modest change to the 1833 provincial boundaries that concerned Madrid took place in 1850, when the small municipality of Valdeavero (19 km2), until then part of the province of Guadalajara, joined the province of Madrid.[31]
|
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One of the limits so far for the growth of the capital, water supply, experienced a substantial change in 1858 following the arrival to the city of Madrid of water from the Lozoya River with the inauguration of the bringing of the Canal de Isabel II.[32]
|
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In decadence since the middle 18th century, the city of Alcalá de Henares, experienced a relative demographic and economic upturn in the second half of the 19th century, based on its newly acquired condition of military outpost, to which an embrionary industrial nucleus was also added.[33]
|
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|
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During the reign of Ferdinand VII the south of the province was made up of small agricultural settlements of limited population. Among them, Getafe stood out in population,[34] and became the seat of a judicial district in 1834,[35] with the main economic activity of the former jurisdiction still being non-irrigated agriculture.[35] Rail transport arrived in 1851, with the Strawberry train, the railway connecting Madrid and Aranjuez.
|
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|
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During the Spanish Civil War (1936–1939), the territory was divided by the battlefront, with the southwest of the province controlled by the rebel faction, and the capital as well as a great part of the rest of the province by the side loyal to the Republic. The city of Madrid was target of many bombings during the conflict, becoming the first big city in Europe to suffer such systematic and massive air attacks.[36]
|
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|
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Since the 1970s, a process of a population transfer from the capital to the rest of municipalities of the metropolitan area emerged. This process accelerated when the autonomous community was founded, and it took placed along a strong decrease of birth rates.[37]
|
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|
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The creation of the contemporary Community of Madrid was preceded by an intense political debate. Autonomous communities were to be created by one or more provinces with a distinct regional identity. Since the 1833 provincial organization, Madrid was part of the historical region of New Castile along with the provinces of Guadalajara, Toledo, Cuenca and Ciudad Real. Thus, it was first planned that the province of Madrid would be part of the future community of Castile–La Mancha (which was roughly similar to New Castile, with the addition of Albacete) but with some special considerations as the home of the national capital.[38] The other provinces that were to become part of the autonomous community of Castile–La Mancha expressed fears of inequality if Madrid were associated with them. These provinces opposed such a special status, and after considering other options for Madrid—like its inclusion in the community of Castile and León or its constitution as an entity similar to a federal district.[38]—it was decided that the province of Madrid would become a single-province autonomous community by virtue of Article 144 of the Constitution, which empowers the Cortes to create an autonomous community in the "nation's interest" even if it did not satisfy the requirement of having a distinct historical identity. Thus, in 1983, the Community of Madrid was constituted and a Statute of Autonomy was approved taking over all the competences of the old "Diputación Provincial" and the new ones the Statute considered.
|
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|
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During the first 25 years of the "autonomic" period, the region accounted for the biggest economic growth in Spain, becoming a platform for the internationalisation of the Spanish economy,[39] featuring a marked preponderance of the service sector.[40] By the turn of the 21st century, a strong boost to the construction sub-sector also took place.[41] During this period the region stood out due to its role as centre for welcoming immigration,[42] due to its condition as transport node vis-à-vis the Spanish geography,[43] and due to its condition as scientific and cultural centre of the country.[44]
|
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Like the rest of autonomous communities, the Community of Madrid is organized politically within a parliamentary system; that is, the head of government—known as the "president"—is dependent on the direct support from the regional legislature, whose members elect him by a majority.
|
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The Statute of Autonomy of the Madrid Autonomous Community is the fundamental organic law in conjunction with (and subordinated to) the Spanish constitution. The Statute of Autonomy establishes that the powers through which the self-government of the autonomous community is exercised are the following institutions:
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Since the creation of autonomous communities, the Government of Spain appoints a special representative to each region, the Government Delegate, part of the Peripheral State Administration. Unlike other single-province autonomous communities, the Government also appoints the Government Sub-delegate, the successor office to the provincial civil governor. The seats of both the delegation and the subdelegation are located at the Borghetto Palace [es] in Madrid.[48][49]
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The Community of Madrid, following the long-standing form of local government in Spain, is divided administratively into 179 municipalities (featuring 801 towns and entities). Its municipalities comprise 2.2% of the Spanish territory (8110). It is ranked 23rd amongst Spanish provinces in number of municipalities, which is slightly above average.[n. 2]
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The average is 165 municipalities by province. The ayuntamiento, presided by its alcalde (Mayor) is the formal institution charged with the government and administration of most municipalities. The municipal councillors forming the deliberative assembly of the ayuntamiento are directly elected through proportional representation with closed party lists and a 5% electoral threshold. In turn, the councillors are charged with electing from among themselves (by default candidates are the head of each electoral list) the Mayor presiding over the ayuntamiento.
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There are twenty judicial districts (partidos judiciales), whose seats correspond to the municipalities of Alcalá de Henares, Alcobendas, Alcorcón, Aranjuez, Arganda del Rey, Collado Villalba, Colmenar Viejo, Coslada, Fuenlabrada, Getafe, Leganés, Madrid, Majadahonda, Móstoles, Navalcarnero, Parla, San Lorenzo de El Escorial, Torrejón de Ardoz, Torrelaguna, Valdemoro and Valdaracete (the historical judicial district of San Martín de Valdeiglesias is no longer a judicial district as of 1985). These jurisdictions relate to the judicial administration, with their seat having at least one court of first instance.
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Madrid is the autonomous community with the highest income per capita in Spain at €31,004 in 2014 - significantly above the national average and ahead of the Basque Country (€29,683), Navarra (€28,124) and Catalonia (€26,996).[50] In that year, the GDP growth was 1.0%.[50] Madrid has a GDP of €230.8 billion as of 2018; this is first in Spain, ahead of Catalonia, where regional GDP amounted to €228.7 billion and the largest Spanish region, Andalusia (€160.6 billion).[51][52]
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In 2005, the Community of Madrid was the main receptor of foreign investment in the country, at 34.3% of the total. The community ranks 34th amongst all European regions (evaluated in 2002), and 50th amongst the most competitive cities-regions worldwide,[53] ahead of Barcelona and Valencia, the other two largest metropolitan areas of Spain. The strengths of the economy of the community are its low unemployment rate, its high investment in research, its high development, and the added-value services therein performed. Its weaknesses include the low penetration of broadband and new technologies of information and an unequal male to female occupation.[54]
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The service, construction, and industry sectors are prominent in Madrid's commercial productive structure. According to the Directorio Central de Empresas (Central Companies Directory of the INE), Madrid's active businesses stand in third place nationally in terms of numbers as at 1 January 2006. The branches of activity with most active businesses are other business activities, retail trade, construction, wholesale trade, hospitality, property activities, land transport, and pipeline transport.
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Madrid's levels of industrial activity set it at fourth place in Spain. The following areas predominate in terms of business numbers: publishing and graphic arts, manufacture of metal products (except machinery and equipment), manufacture of furniture and other manufacturing industries, wearing apparel and fur industry, and food product industry. The province also boasts a higher concentration of high and medium technology activities and services than the rest of Spain. This is the case in the following areas: manufacture of office machinery and IT equipment; manufacture of electronic products, manufacture of radio equipment, and devices; manufacture of medical and surgical, precision, optical and timekeeping equipment and instruments; post and telecommunications; IT activities; and research and development.[55]
|
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Regional authorities have put a notable effort in the development of logistics infrastructures in both the region of Madrid and the city proper. These include the Coslada Dry Port, the freight zone of the Madrid-Barajas Airport, Mercamadrid, the Madrid-Abroñigal [es] logistics centre, the Villaverde's Logistics Centre and the Vicálvaro's Logistics Centre to name a few.[56] Overall, logistics companies has greatly developed along the A-2 highway (Coslada, San Fernando de Henares, Torrejón de Ardoz) in the eastern part of the region, the so-called "Henares Corridor" to become what has come to be termed as the "golden mile" of logistics and e-commerce in Spain.[57][58]
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The unemployment rate stood at 13.3% in 2017 and was lower than the national average.[59]
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The Community of Madrid is the third most populous region in Spain, after Andalusia and Catalonia, and the most populous province, with 6,369,167 inhabitants. Population density is 779.36 hab/km2, much higher than the national average of 91.3 hab/km2. Population density varies with the community itself; the municipality of Madrid has a density of 5,160.57 hab/km2, whereas the Sierra Norte has a population density of less than 9.9 hab/km2. The vast majority of the population lives in the capital and its metropolitan area, which is the most populated in Spain.
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Madrid also has the greatest population density in Spain. Its inhabitants are mainly concentrated in the capital (which is the Spanish city with the highest resident population) and in a series of municipalities (Móstoles, Alcalá de Henares, Fuenlabrada, Leganés, Alcorcón, Getafe, Torrejón de Ardoz, and Alcobendas), as opposed to in rural areas with low population density. Its citizens have diverse origins, and Madrid is the province with the highest number of residents born outside its territory and with the largest foreign population (13.32%).[dubious – discuss] It is a focus of attraction for those migrating for reasons of employment. Population growth in Madrid is mainly due to the arrival of foreigners.[60]
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For most of its history, the Community of Madrid has been overwhelmingly Catholic,[61] with minority Jewish and Muslim populations.
|
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|
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The Community of Madrid is the EU-Region with the highest average life expectancy at birth. The average life expectancy was 82.2 years for males and 87.8 for females in 2016.[62]
|
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As of 2018, the region had a foreign population of 826,456.[63] The largest groups of foreigners were those of Romanian, Moroccan, Chinese, Colombian, Ecuadorian, Venezuelan and Italian citizenship.[63]
|
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State Education in Spain is free and compulsory from six to sixteen years of age. The current education system is called LOGSE (Ley de Ordenación General del Sistema Educativo).[64]
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Children from three to five years old in Spain have the option of attending the pre-school stage, which is non-compulsory and free for all students. It is regarded as an integral part of the education system with infantil classes in almost every primary school. There are some separate Colegios Infantiles or nursery schools.
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Spanish students aged six to sixteen undergo primary and secondary school education, which are compulsory and free of charge. Successful students are awarded a Secondary Education Certificate, which is necessary for entering further (optional) education as is Bachillerato for their University or Formacion Professional (vocational studies).
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Once students have finished their Bachillerato, they can take their University Entrance Exam (Pruebas de Acceso a la Universidad, popularly called Selectividad) which differs greatly from region to region.
|
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The secondary stage of education is normally referred to by its initials, e.g. ESO or Educación Secundaria Obligatoria for secondary education.
|
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|
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Madrid is home to a large number of public and private universities.
|
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|
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The Complutense University of Madrid is one of the most prestigious, and the largest, university in Spain and one of the oldest universities in the world. It has 10,000 staff members and a student population of 117,000. Nearly all academic staff are Spanish. It is located on two campuses, in the university quarter Ciudad Universitaria at Moncloa in Madrid, and in Somosaguas.[65] The Complutense University of Madrid was founded in Alcalá de Henares, old Complutum, by Cardinal Cisneros in 1499. Nevertherless, its real origin dates back from 1293, when King Sancho IV of Castile built the General Schools of Alcalá, which would give rise to Cisnero's Complutense University. During the course of 1509-1510 five schools were already operative: Artes y Filosofía (Arts & Philosophy), Teología (Theology), Derecho Canónico (Canonical Laws), Letras (Liberal Arts) and Medicina (Medicine). In 1836, during the reign of Isabel II, the University was moved to Madrid, where it took the name of Central University and was located at San Bernardo Street. Subsequently, in 1927, a new University City ("Ciudad Universitaria") was planned to be built in the district of Moncloa-Aravaca. The Spanish Civil War turned the University City into a war zone, with several faculties sustaining severe damage during the conflict. By 1943 the Central University started to be known as the University of Madrid.[66]
|
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|
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In 1970 the University of Madrid was renamed to Complutense University of Madrid. It was then when the new campus at Somosaguas was created in order to house the new School of Social Sciences. The old Alcalá campus was reopened as the independent University of Alcalá in 1977.[67]
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Another important university is the Autonoma, perhaps Spain's best university for research along with the Complutense, was instituted under the leadership of the famous physicist, Nicolás Cabrera. The Autonoma is widely recognised for its research strengths in theoretical physics. Known simply as la Autónoma in Madrid, its main site is the Cantoblanco Campus, situated 15 kilometers to the north of the capital (M-607) and close to the municipal areas of Madrid, namely Alcobendas, San Sebastián de los Reyes, Tres Cantos and Colmenar Viejo.
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Located on the main site are the Rectorate building and the Faculties of Science, Philosophy and Fine Arts, Law, Economic Science and Business Studies, Psychology, Higher School of Computing Science and Engineering, and the Faculty of Teacher Training and Education. The Medical School is located outside the main site and beside the Hospital Universitario La Paz.[68]
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Other local universities, among many others, are the Technical University of Madrid, as the result of merging the different Technical Schools of Engineering; the Universidad de Alcalá de Henares, founded in 1499; the Carlos III, whose philosophy is to create responsible free-thinking people with a sensitivity to social problems and an involvement in the concept of progress based on freedom, justice and tolerance and the Universidad Pontificia Comillas, involved in a number of academic exchange programmes, work practice schemes and international projects with over 200 Higher Education Institutions in Europe, South America, North America, and Asia.
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|
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Other universities in Madrid: Rey Juan Carlos University (public), Alfonso X El Sabio University, Universidad Antonio de Nebrija, Universidad Camilo José Cela, Universidad Francisco de Vitoria, Universidad Europea de Madrid, and Universidad San Pablo (all of them private).
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Madrid is also home to the Escuela Superior de Música Reina Sofía, the Real Conservatorio Superior de Música de Madrid, and many other private educational institutions.
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Madrid is served by Barajas International Airport. Barajas is the main hub of Iberia Airlines and consequently serves as the main gateway to the Iberian peninsula from Europe, the Americas, and the rest of the world. Current passenger volumes range upwards of 52 million passengers per year, putting it in the top 10 busiest airports in the world.[69] Given annual increases close to 10%, a new fourth terminal has been constructed. It has significantly reduced delays and doubled the capacity of the airport to more than 70 million passengers per year. Two additional runways have also been constructed, making Barajas a fully operational four-runway airport.
|
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Cercanías Madrid is the commuter rail service that serves Madrid, the capital of Spain, and its metropolitan area. It is operated by Cercanías Renfe, the commuter rail division of RENFE, the former monopoly of rail services in Spain. The system is infamous for being the target of 11 March 2004 Madrid train bombings. The attacks triggered a small reduction in the ridership of the system, but it is still the most used and most profitable[70] (by 2004) of the commuter rail services in Spain. The total length spans 339.1 km (210.7 mi).
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Spain's railway system, the Red Nacional de Ferrocarriles Españoles (Renfe), operates the vast majority of Spain's railways. In Madrid, the main rail terminals are Atocha in the south and Chamartín in the north.
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The crown jewel of Spain's next decade of infrastructure construction is the Spanish high-speed rail network, Alta Velocidad Española AVE. Currently, an ambitious plan includes the construction of a 7,000-kilometre (4,300 mi) network, centered on Madrid. The overall goal is to have all important provincial cities be no more than four hours away from Madrid and no more than six hours away from Barcelona. As of 2008, AVE high-speed trains link Madrid-Atocha station to Seville, Málaga, and Toledo in the south, Valencia, Albacete, Cuenca and Alicante in the east, and to Zaragoza, Tarragona, Girona, Leida, Huesca and Barcelona in the north-east. AVE trains also arrive to Segovia, Valladolid, Zamora and León.
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Already connected by tunnels used by conventional rail lines, a tunnel link connecting the Atocha and Chamartín stations with high-speed rail services is finished but, as of August 2019, yet to be inaugurated.[71]
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Serving the city's population of some six million, the Madrid Metro is one of the most extensive and fastest-growing metro networks in the world.[72] With the addition of a loop serving suburbs to Madrid's south-west "Metrosur", it is now the second largest metro system in Western Europe, second only to London's Underground. In 2007, Madrid's metro system was expanded, and it currently runs over 322 kilometers (200 mi) of line. The province of Madrid is also served by an extensive commuter rail network called Cercanías.
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Metro fees are regulated by the Consorcio Regional de Transportes de Madrid (CRTM) jointly with fees for commuter rail, bus transport and light-rail.
|
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The flag, coat of arms and hymn of the Community of Madrid were set through the regional Law 2/1983 published in the official regional gazette on 24 December 1983:[73]
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The flag is described as follows: "the flag of the Community of Madrid is crimson red, with seven silver five-pointed stars, arranged 4 and 3 on the centre of the canvas".[73] According to the law, the flag should wave both at the outdoors (occupying a preferential place next to the flag of Spain) and at the indoors of every public building of the autonomous administration as well as every public building of the municipal administrations located within the territory of the autonomous community.
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The arms are described as follows:
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"The coat of arms of the Community of Madrid features just one partition gules, and on it, two paired, embattled, turreted, castles or, with port and windows tinctured azure, masoned sable, surmounted by seven five-pointed stars argent arranged four and three on chief."[74] The crest describes the heraldic representation of the royal crown of Spain.
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The official anthem was defined along the flag and coat of arms.[73] However it has very limited institutional use, and thus, it is barely known.
|
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Although the region does not produce enough food to be self-sufficient, the varied territory of the region outside the urbanised centre provides enough food commodities to create its own cuisine: cheese of Campo Real, vine with Vinos de Madrid DO, strawberries and aspargus from Aranjuez, muskmelons from Villaconejos, artichokes from Ciempozuelos, judiones from Montejo de la Sierra, garlic from Chinchón, chickpeas from Navalcarnero, lentils from Colmenar de Oreja, cauliflower from Griñón or a number of vegetables from the Alberche Valley.[75]
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In addition, due to the rich restaurant business in the region, "all the regional cuisines of Spain are represented in Madrid" according to José del Corral Raya [es].[76] As the madrilenian cuisine has absorbed much from the rest of regional cuisines of Spain, there is ambiguity when it comes to define the former; however, dishes such as the cocido madrileño, the potaje de garbanzos, the callos a la madrileña [es], the sopa de ajo or the tortilla de patatas are considered part of the madrilenian cuisine regardless of their geographical specificity.[77] By April 2011 the region had over 40,0000 bars, 2,700 coffee shops and nearly 10,000 restaurants.[78]
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The majority of the religious population is Catholic. The most important religious minorities are evangelicals, Jews and Muslims.[79]
|
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Among the evangelical denominations the following denominations stand out:
|
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Spanish Evangelical Church (IEE), several Presbiterian or Reformed Churches, the Spanish Reformed Episcopal Church (IERE), Baptist and Free churches (Unión Evangélica Bautista Española, Federación de las Iglesias Evangélicas Independientes de España), the Asambleas de Hermanos), Pentecostal Churches (Asambleas de Dios, Iglesia de la Biblia Abierta, Iglesia Filadelfia, Iglesia Cuadrangular), Charismatic churches (Iglesias de Buenas Noticias, Asamblea Cristiana, Asamblea para la Evangelización Mundial para Cristo), minor churches such as The Salvation Army, Mennonite Churches and Hermanos en Cristo), non-grouped evangelical churches, and adventist churches.[80] Pentecostal churches have lately experienced a notable growth due to the arrival of immigrants from Latin-America.[81] Evangelicals also have a notable following among the Romani population.[82] The Muslim population includes the first contemporary Muslims in Spain (who came from Middle East and had middle class university background), converts (chiefly sunni Muslims) and representatives of a second arrival of Muslim economic migrants (with more of an economic migrant profile than the first wave).[83]
|
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Since the second half of the 20th century the Jewish population in the region grew due to both Sephardi Jews that came from the MENA, as well as exiles from Latin America (mostly Argentinians) primordially Ashkenazim.[84]
|
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There are also Greek, Romanian and Russian orthodox Christians, Jehovah Witnesses (15,031 according to 2001 estimations) and Mormons (6,700 according to 2007 estimations).[85] There are some buddhists (the majority of which have Spanish citizenship and are from the middle to uppermiddle class),[86] and small minorities of believers of religions of vedic origin: hinduism (primordially Sindhis),[87] sikhism, Hare Krishna and Brahma Kumaris. There are a scarce amount of believers of the Bahá'í Faith. Other confessions, often derided as "cults" (sectas) in the country, such as the Unification movement and Scientology, have a marginal presence.[88]
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The regional day is the 2 May, commemorating the Dos de Mayo Uprising of the citizens of Madrid against the French occupation in 1808 that triggered the wave of insurrections marking the beginning of the Peninsular War. It is a public holiday in the Community of Madrid since 1984, when it was approved by the regional legislature and sanctioned as law.[89]
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A floral tribute is traditionally offered to the fallen "heroes" by the regional authorities. The ceremony of presentation of commemorative medals to stand out individuals also take place on this day in the Royal House of the Post Office.[90]
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According to a 2010 study by the National Sports Council (CSD), madrilenians led the country in terms of grassroots sports practice.[91]
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|
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Roughly a 52% of the regional population between 15 and 75 years old practised one sports modality, while a 10 % of the population between 15 and 75 years old practised two or more sports.[91] The most practised sports modalities were: fitness gymnastics (43.6%), football (22.1%), swimming (20.7%), cycling (19.6%), jogging/running (16.2%), padel (9.9%), athletics (8.3%), basketball (6.9%), other football modalities (6.6%), hiking (6.1 %), martial arts (4.5%), body-building (3.5%), shooting/hunting (0.9%) and recreational fishing (0.2%).[91]
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Association football is the most popular sport in Spain in terms of passive following. The Madrid Football Federation is the governing body of the sport of football in region. The Community of Madrid has its own regional team, the Madrid autonomous football team, taking part in friendly fixtures. The region currently has 2 top flight men's football teams: Real Madrid and Atlético Madrid. The first of them, Real Madrid, has become one of the most valuable sports teams in the planet.[92]
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The regional administration had its own big track and field stadium, "La Peineta", inaugurated in 1994. It was later transferred to the Madrid City Council, becoming the center of two unsuccessful bids of the city of Madrid to the Summer Olympics.
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The Community of Madrid (English: /məˈdrɪd/;[3] Spanish: Comunidad de Madrid Spanish pronunciation: [komuniˈðað ðe maˈðɾið] (listen)) is one of the seventeen autonomous communities of Spain. It is located in the centre of the Iberian Peninsula, and of the Central Plateau (Meseta Central). Its capital is the city of Madrid, which is also the capital of the country. The Community of Madrid is bounded to the south and east by Castilla–La Mancha and to the north and west by Castile and León. It was formally created in 1983, based on the limits of the province of Madrid, which was until then conventionally included in the historical region of New Castile.
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The Community of Madrid is the third most populous in Spain with 6,549,979 (2018) inhabitants mostly concentrated in the metropolitan area of Madrid.[4] It is also the most densely populated autonomous community. In absolute terms, Madrid's economy is, since 2018, slightly bigger in size to that of Catalonia.[5] Madrid has the highest GDP per capita in the country.[6]
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The region contains three World Heritage Sites: the Monastery and Royal Site of El Escorial, the University and historic centre of Alcalá de Henares, and the cultural landscape of Aranjuez. In addition, the Montejo Beech Forest [es] is part of the transnational Ancient and Primeval Beech Forests of the Carpathians and Other Regions of Europe world heritage site.
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Despite the existence of a large city of 5 million people, the Community of Madrid still retains some remarkably unspoiled and diverse habitats and landscapes. Madrid is home to mountain peaks rising above 2,000 m, holm oak dehesas and low-lying plains. The slopes of the Guadarrama mountain range are cloaked in dense forests of Scots pine and Pyrenean oak. The Lozoya Valley supports a large black (monk) vulture colony, and one of the last bastions of the Spanish imperial eagle in the world is found in the Park Regional del Suroeste in dehesa hills between the Gredos and Guadarrama ranges. The recent possible detection of the existence of Iberian lynx in the area between the Cofio and Alberche rivers is testament to the biodiversity of the area. Taking advantage of the orography, there are several reservoirs and dams in the region, with the Santillana reservoir being the largest.
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When looking at a map of the Province of Madrid, it can be seen that it is almost an equilateral triangle, in whose center would be the city. First, by the western side, the region borders the "Sistema Central" (the Guadarrama mountain range), the southern border features a protrusion following the Tagus River in order to include the royal site of Aranjuez in the region; the eastern edge of the triangle comes from the rupture of the fluvial river basins. The region is located in the basin of the Tagus River. The Tagus passes through the southern border of the region in its path west toward the Atlantic Ocean, draining the waters of the Jarama River (collecting in turn the waters of the Lozoya, the Guadalix, the Manzanares, the Henares and the Tajuña), the Alberche and the Guadarrama in the region.[7]
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The region also includes the exclave of Dehesa de la Cepeda (part of the municipality of Santa María de la Alameda), a mostly open-area geographically located between the provinces of Ávila and Segovia in the autonomous community of Castile and León.
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Province of Madrid occupies a surface area of approximately 8,028 km2 (3,100 sq mi) (1.6% of all Spanish territory). More specifically, the exact position of Madrid is 3° 40´ of longitude west of Greenwich, England, and 40° 23´ north of the equator.
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Most of province lies between 600 and 1,000 m above sea level. However, there the altitude ranges from the 2,428 metres of Peñalara and the 430 metres of the Alberche river when it leaves Villa del Prado into the province of Toledo.[8] Other considerable heights, as well as being famous, are the Bola del Mundo ("Ball of the World") in Navacerrada, at a height of 2,258 m, the Siete Picos ("Seven Peaks") in Cercedilla, at 2,138 m, and the Peña Cebollera (2,129 m) at the northernmost end of the province, a tripoint between the Madrid region and the provinces of Segovia and Guadalajara.
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Among the protected species of birds nesting in the region stand out the Spanish imperial eagle, the golden eagle, the Bonelli's eagle, the cinereous vulture, the peregrine falcon and the black stork.[9]
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Exotic invasive species of birds and mammals in the region include the red-eared slider, the monk parakeet, the common snapping turtle, the rose-ringed parakeet, the American mink and the raccoon.[10] Species described as "out of place" and with an increasing population include the black-headed gull, the lesser black-backed gull, the great cormorant and Eurasian collared dove,[11] while the emblematic iberian ibex is presented as a case of a species "gone out of control" in La Pedriza following its re-introduction in the region in 1990 after roughly a century disappeared from the Madrilenian mountains.[12]
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The mountain amphibians living at a high altitude include the fire salamander, the narbled newt, the alpine newt, the iberian frog, the European tree frog or the common midwife toad.[13] At a middle elevation in the mountain reaches close to water streams there are species such as the Bosca's newt, the southern marbled newt, the mediterranean tree frog or the iberian midwife toad.[14] The common parsley frog and the Alytes obstetricans pertinax dwell in the limestone lowlands near the Tagus in the south-east of the region.[14] Among the all-around amphibians adaptable to different heights stand out the natterjack toad, the common toad and the iberian green frog.[14] Other species with a wide distribution range (although in this case restricted by altitude) are the gallipato, the iberian spadefoot toad, the iberian painted frog, and the Spanish painted frog.[14]
|
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Regarding the reptiles, species such as the Cyren's rock lizard, the European wall lizard, the iberian emerald lizard, the deaf adder or snakes such as the smooth snake or the Vipera latastei dwell in the mountain heights.[15] At the lower reaches of the mountains the European pond turtle and the Brediaga's skink can be found, while the western false smooth snake is restricted to areas in the south of the region.[16] Among the species of all-around reptiles, adaptable to different biomes stand out the Spanish pond turtle, the salamanquesa, the western three-toed skink, the spiny-footed lizard, the ocellated lizard, the Algerian sand racer, Spanish psammodromus, the ubiquous iberian wall lizard, the iberian worm lizard, the Coronella girondica, the Montpellier snake; grass snake and the viperine snake.[17]
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The fish species are affected by the high number of reservoirs in the region.[7] Among the threatened species in the rivers stand out the European eel, the iberian barbel, the Squalius alburnoides, the Cobitis calderoni and, potentially, the Chondrostoma lemmingii.[18] Conversely the set of invasive species of fish includes pike, black bullhead catfish, pumpkinseed, zander, common bleak and black-bass.[18]
|
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In the vicinity of the mountain peaks, oromediterranean vegetation such as Agrostis truncatula, Armeria caespitosa [es], Festuca indigesta [es], Jasione crispa [es], Jurinea humilis [es], Minuartia recurva, Pilosella vahlii, Plantago holosteum and the Thymus praecox is common.[19] Below the summit line, shrubby species such as the Cytisus oromediterraneus [es] and the common juniper as well as the Scots pine take over.[20] There are also masses of black pine and the pyrenean oak situated above the domain of the holm oak.[21]
|
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Eurosiberian flora is not common in the region, and species such as the moor birch and the silver birch are restricted to very specific humid valley areas with special climate conditions.[22]
|
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The climax vegetation in the campiña is the holly oak. Some of the species that take over when the holly oak forest degrades are the "sticky shrub", the Retama sphaerocarpa [es], the French lavender, the Thymus mastichina and the Thymus zygis.[23]
|
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The lower reaches of Guadarrama Mountain Range are populated by species such as the Juniperus thurifera, the maritime pine, the Portuguese oak, the stone pine; only in the somewhat more humid westernmost end of the region, near the Alto del Mirlo [es], there are forests of chestnut tree.[24]
|
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54,4% of the surface of the region is soil categorised as forest areas of which the 51.4% (27.7 % of the total of the region) it is already covered by forests, so there is room for tree re-population.[25] The first modest efforts towards tree re-population were taken in the Lozoya Valley in the late 19th century intending to achieve a purer water from the river,[26] that provided the capital with water for consumption. However the bulk of the process took place after the Spanish Civil War, with a largely successful repopulation with several species of conifers.[27]
|
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The Madrid region features a climate marked by dry summers, while average temperature varies with altitude, marking different climate subtypes. Most of the region (including the capital) has a climate intermediate between a hot-summer mediterranean climate (Köppen Csa) and a cold semi-arid climate (Köppen BSk), with a dry summer and a moderate to low amount of rain primarily distributed throughout the rest of the year (in the case of the capital, roughly an equinoctial pattern of precipitation maximums), as well as summer temperature averages over 22 °C (with daily maximums consistently surpassing 30 °C in July and August). The areas at a higher altitude close to the Sierra de Guadarrama feature a colder climate, also generally with more precipitation (particularly in the winter), with climate subtypes ranging from the Csa to the warm-summer mediterranean climate (Köppen: Csb) and the dry summer continental climate (Köppen: Dsb) on the peaks of the mountain range, with temperature averages below freezing point during January and February in the later case.
|
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The territory of the Community of Madrid has been populated since the Lower Paleolithic, mainly in the valleys between the rivers of Manzanares, Jarama, and Henares, where several archaeological findings have been made. Some notable discoveries of the region the bell-shaped vase of Ciempozuelos (between 1970 and 1470 BCE).[28]
|
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During the Roman Empire, the region was part of the Citerior Tarraconese province, except for the south-west portion of it, which belonged to Lusitania. It was crossed by two important Roman roads, the via xxiv-xxix (joining Astorga to laminium and via xxv (which joined Emerita Augusta and Caesaraugusta), and contained some important conurbations. The city of Complutum (today Alcalá de Henares) became an important metropolis, whereas Titulcia and Miaccum were important crossroad communities.
|
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+
|
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During the period of the Visigothic Kingdom, the region lost its importance. The population was scattered amongst several small towns. Complutum was designated the bishopric seat in the 5th century by orders of Asturio, archbishop of Toledo, but this event was not enough to bring back the lost splendor of the city.
|
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+
|
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The centre of the peninsula (the Middle Mark of Al-Andalus or aṯ-Ṯaḡr al-Awsaṭ) became a strategic military post in the 11th century. The Muslim rulers created a defensive system of fortresses and towers all across the region with which they tried to stop the advance of the Christian kingdoms of the north.
|
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+
|
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The fortress of Mayrit (Madrid) was built somewhere between 860 and 880 AD, as a walled precinct where a military and religious community lived, and which constituted the foundation of the city. It soon became the most strategic fortress in defense of the city of Toledo above the fortresses of Talamanca and Qal'-at'-Abd-Al-Salam (Alcalá de Henares). In 1083 (or 1085) Alfonso VI took the city of Madrid in the context of his wider campaign to conquer Toledo.[29] Alcalá de Henares fell in 1118 in a new period of Castilian annexation.
|
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+
|
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The recently conquered lands by the Christian kingdoms were desegregated into several constituencies, as a consequence of a long process of repopulation that took place over the course of four centuries. The feudal and ecclesiastical lords came into constant conflict with the different councils that had been granted the authority to repopulate.
|
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+
|
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In the 13th century, Madrid was the only city of the region that preserved its own juridical personality, at first with the Old Fuero (Charter) and later with the Royal Fuero, granted by Alfonso X of Castile in 1262 and ratified by Alfonso XI in 1339. On the other hand, the town of Buitrago del Lozoya, Alcalá de Henares and Talamanca de Jarama, which were rapidly repopulated until that century, were under the dominion of the feudal or ecclesiastical lords. Specifically, Alcalá de Henares was under the hands of the archbishopric of Toledo and remained so until the 19th century.
|
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+
|
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Around the town of Madrid, an administrative territory was created known as Tierra de Madrid (Land of Madrid), the origin of the province that included the areas of the current municipalities of San Sebastián de los Reyes, Corbeña, Las Rozas de Madrid, Rivas-Vaciamadrid, Torrejón de Velasco, Alcorcón, San Fernando de Henares, and Griñón.
|
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+
|
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Madrid was in constant strife with the powerful council of Segovia, whose jurisdiction extended south of the Guadarrama Mountains; they both fought for the control of the Real de Manzanares, a large comarca (shire) that was finally given to the House of Mendoza.
|
57 |
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|
58 |
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Castilian monarchs showed a predilection for the center of the peninsula, with abundant forests and game. El Pardo was a region visited frequently by kings since the time of Henry III, in the 14th century. The Catholic Monarchs started the construction of the Royal Palace of Aranjuez.[dubious – discuss][30] In the 16th century, San Lorenzo de El Escorial was built and became another royal site of the province.
|
59 |
+
|
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The town of Madrid, which was one of the eighteen cities with the right to vote in the Cortes of Castile, was seat of the Courts themselves on several occasions and was the residence of several monarchs, amongst them the emperor Charles I who reformed and expanded the Alcázar or Castle of the city. Alcalá de Henares grew in importance as cultural center since the foundation by the Cardinal Cisneros of its university.
|
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|
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In 1561, King Philip II made Madrid the capital of the Hispanic Monarchy. The surrounding territories became economically subordinated to the town itself, even beyond the present day limits of the Community of Madrid. But it was not a unified region as several lords and churches had jurisdiction over their own autonomous territories.
|
63 |
+
|
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During the 18th century, the fragmented administration of the region was not solved despite several attempts. During the reign of Philip V, the intendencia was created as a political and administrative division. Nonetheless, the intendencia of Madrid did not fully solve the problem, and the region was still fragmented into several small dominions even though some processes were centralized. This territorial dispersion had a negative effect on its economic growth; while the town of Madrid received economic resources from the entire country as the capital, the surrounding territories—in hands of noblemen or the clergy—became impoverished.
|
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+
|
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+
During the eighteenth century, the town of Madrid was transformed through several grandiose buildings and monuments as well as through the creation of many social, economic, and cultural institutions, some of which are still operating. Madrid grew to a population of 156,672 inhabitants by the end of the eighteenth century.
|
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|
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The current territory of the region was roughly defined with the 1833 reorganization of Spain into provinces promoted by Javier de Burgos, in which the province of Madrid was classified in the region of New Castile (lacking the later any sort of administrative institution at the regional level nonetheless). The government institution at the provincial level was the deputation (diputación). In addition to the former body, another provincial political authority was the civil governor discretionarily designated by the central government. A modest change to the 1833 provincial boundaries that concerned Madrid took place in 1850, when the small municipality of Valdeavero (19 km2), until then part of the province of Guadalajara, joined the province of Madrid.[31]
|
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One of the limits so far for the growth of the capital, water supply, experienced a substantial change in 1858 following the arrival to the city of Madrid of water from the Lozoya River with the inauguration of the bringing of the Canal de Isabel II.[32]
|
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|
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In decadence since the middle 18th century, the city of Alcalá de Henares, experienced a relative demographic and economic upturn in the second half of the 19th century, based on its newly acquired condition of military outpost, to which an embrionary industrial nucleus was also added.[33]
|
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+
|
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During the reign of Ferdinand VII the south of the province was made up of small agricultural settlements of limited population. Among them, Getafe stood out in population,[34] and became the seat of a judicial district in 1834,[35] with the main economic activity of the former jurisdiction still being non-irrigated agriculture.[35] Rail transport arrived in 1851, with the Strawberry train, the railway connecting Madrid and Aranjuez.
|
75 |
+
|
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+
During the Spanish Civil War (1936–1939), the territory was divided by the battlefront, with the southwest of the province controlled by the rebel faction, and the capital as well as a great part of the rest of the province by the side loyal to the Republic. The city of Madrid was target of many bombings during the conflict, becoming the first big city in Europe to suffer such systematic and massive air attacks.[36]
|
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+
|
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+
Since the 1970s, a process of a population transfer from the capital to the rest of municipalities of the metropolitan area emerged. This process accelerated when the autonomous community was founded, and it took placed along a strong decrease of birth rates.[37]
|
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+
|
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+
The creation of the contemporary Community of Madrid was preceded by an intense political debate. Autonomous communities were to be created by one or more provinces with a distinct regional identity. Since the 1833 provincial organization, Madrid was part of the historical region of New Castile along with the provinces of Guadalajara, Toledo, Cuenca and Ciudad Real. Thus, it was first planned that the province of Madrid would be part of the future community of Castile–La Mancha (which was roughly similar to New Castile, with the addition of Albacete) but with some special considerations as the home of the national capital.[38] The other provinces that were to become part of the autonomous community of Castile–La Mancha expressed fears of inequality if Madrid were associated with them. These provinces opposed such a special status, and after considering other options for Madrid—like its inclusion in the community of Castile and León or its constitution as an entity similar to a federal district.[38]—it was decided that the province of Madrid would become a single-province autonomous community by virtue of Article 144 of the Constitution, which empowers the Cortes to create an autonomous community in the "nation's interest" even if it did not satisfy the requirement of having a distinct historical identity. Thus, in 1983, the Community of Madrid was constituted and a Statute of Autonomy was approved taking over all the competences of the old "Diputación Provincial" and the new ones the Statute considered.
|
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+
|
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+
During the first 25 years of the "autonomic" period, the region accounted for the biggest economic growth in Spain, becoming a platform for the internationalisation of the Spanish economy,[39] featuring a marked preponderance of the service sector.[40] By the turn of the 21st century, a strong boost to the construction sub-sector also took place.[41] During this period the region stood out due to its role as centre for welcoming immigration,[42] due to its condition as transport node vis-à-vis the Spanish geography,[43] and due to its condition as scientific and cultural centre of the country.[44]
|
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+
|
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Like the rest of autonomous communities, the Community of Madrid is organized politically within a parliamentary system; that is, the head of government—known as the "president"—is dependent on the direct support from the regional legislature, whose members elect him by a majority.
|
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+
|
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The Statute of Autonomy of the Madrid Autonomous Community is the fundamental organic law in conjunction with (and subordinated to) the Spanish constitution. The Statute of Autonomy establishes that the powers through which the self-government of the autonomous community is exercised are the following institutions:
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|
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Since the creation of autonomous communities, the Government of Spain appoints a special representative to each region, the Government Delegate, part of the Peripheral State Administration. Unlike other single-province autonomous communities, the Government also appoints the Government Sub-delegate, the successor office to the provincial civil governor. The seats of both the delegation and the subdelegation are located at the Borghetto Palace [es] in Madrid.[48][49]
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|
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+
The Community of Madrid, following the long-standing form of local government in Spain, is divided administratively into 179 municipalities (featuring 801 towns and entities). Its municipalities comprise 2.2% of the Spanish territory (8110). It is ranked 23rd amongst Spanish provinces in number of municipalities, which is slightly above average.[n. 2]
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The average is 165 municipalities by province. The ayuntamiento, presided by its alcalde (Mayor) is the formal institution charged with the government and administration of most municipalities. The municipal councillors forming the deliberative assembly of the ayuntamiento are directly elected through proportional representation with closed party lists and a 5% electoral threshold. In turn, the councillors are charged with electing from among themselves (by default candidates are the head of each electoral list) the Mayor presiding over the ayuntamiento.
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|
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There are twenty judicial districts (partidos judiciales), whose seats correspond to the municipalities of Alcalá de Henares, Alcobendas, Alcorcón, Aranjuez, Arganda del Rey, Collado Villalba, Colmenar Viejo, Coslada, Fuenlabrada, Getafe, Leganés, Madrid, Majadahonda, Móstoles, Navalcarnero, Parla, San Lorenzo de El Escorial, Torrejón de Ardoz, Torrelaguna, Valdemoro and Valdaracete (the historical judicial district of San Martín de Valdeiglesias is no longer a judicial district as of 1985). These jurisdictions relate to the judicial administration, with their seat having at least one court of first instance.
|
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+
|
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+
Madrid is the autonomous community with the highest income per capita in Spain at €31,004 in 2014 - significantly above the national average and ahead of the Basque Country (€29,683), Navarra (€28,124) and Catalonia (€26,996).[50] In that year, the GDP growth was 1.0%.[50] Madrid has a GDP of €230.8 billion as of 2018; this is first in Spain, ahead of Catalonia, where regional GDP amounted to €228.7 billion and the largest Spanish region, Andalusia (€160.6 billion).[51][52]
|
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|
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+
In 2005, the Community of Madrid was the main receptor of foreign investment in the country, at 34.3% of the total. The community ranks 34th amongst all European regions (evaluated in 2002), and 50th amongst the most competitive cities-regions worldwide,[53] ahead of Barcelona and Valencia, the other two largest metropolitan areas of Spain. The strengths of the economy of the community are its low unemployment rate, its high investment in research, its high development, and the added-value services therein performed. Its weaknesses include the low penetration of broadband and new technologies of information and an unequal male to female occupation.[54]
|
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+
|
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+
The service, construction, and industry sectors are prominent in Madrid's commercial productive structure. According to the Directorio Central de Empresas (Central Companies Directory of the INE), Madrid's active businesses stand in third place nationally in terms of numbers as at 1 January 2006. The branches of activity with most active businesses are other business activities, retail trade, construction, wholesale trade, hospitality, property activities, land transport, and pipeline transport.
|
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+
|
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+
Madrid's levels of industrial activity set it at fourth place in Spain. The following areas predominate in terms of business numbers: publishing and graphic arts, manufacture of metal products (except machinery and equipment), manufacture of furniture and other manufacturing industries, wearing apparel and fur industry, and food product industry. The province also boasts a higher concentration of high and medium technology activities and services than the rest of Spain. This is the case in the following areas: manufacture of office machinery and IT equipment; manufacture of electronic products, manufacture of radio equipment, and devices; manufacture of medical and surgical, precision, optical and timekeeping equipment and instruments; post and telecommunications; IT activities; and research and development.[55]
|
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+
|
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Regional authorities have put a notable effort in the development of logistics infrastructures in both the region of Madrid and the city proper. These include the Coslada Dry Port, the freight zone of the Madrid-Barajas Airport, Mercamadrid, the Madrid-Abroñigal [es] logistics centre, the Villaverde's Logistics Centre and the Vicálvaro's Logistics Centre to name a few.[56] Overall, logistics companies has greatly developed along the A-2 highway (Coslada, San Fernando de Henares, Torrejón de Ardoz) in the eastern part of the region, the so-called "Henares Corridor" to become what has come to be termed as the "golden mile" of logistics and e-commerce in Spain.[57][58]
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+
|
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+
The unemployment rate stood at 13.3% in 2017 and was lower than the national average.[59]
|
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+
|
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+
The Community of Madrid is the third most populous region in Spain, after Andalusia and Catalonia, and the most populous province, with 6,369,167 inhabitants. Population density is 779.36 hab/km2, much higher than the national average of 91.3 hab/km2. Population density varies with the community itself; the municipality of Madrid has a density of 5,160.57 hab/km2, whereas the Sierra Norte has a population density of less than 9.9 hab/km2. The vast majority of the population lives in the capital and its metropolitan area, which is the most populated in Spain.
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Madrid also has the greatest population density in Spain. Its inhabitants are mainly concentrated in the capital (which is the Spanish city with the highest resident population) and in a series of municipalities (Móstoles, Alcalá de Henares, Fuenlabrada, Leganés, Alcorcón, Getafe, Torrejón de Ardoz, and Alcobendas), as opposed to in rural areas with low population density. Its citizens have diverse origins, and Madrid is the province with the highest number of residents born outside its territory and with the largest foreign population (13.32%).[dubious – discuss] It is a focus of attraction for those migrating for reasons of employment. Population growth in Madrid is mainly due to the arrival of foreigners.[60]
|
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For most of its history, the Community of Madrid has been overwhelmingly Catholic,[61] with minority Jewish and Muslim populations.
|
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+
|
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+
The Community of Madrid is the EU-Region with the highest average life expectancy at birth. The average life expectancy was 82.2 years for males and 87.8 for females in 2016.[62]
|
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+
|
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+
As of 2018, the region had a foreign population of 826,456.[63] The largest groups of foreigners were those of Romanian, Moroccan, Chinese, Colombian, Ecuadorian, Venezuelan and Italian citizenship.[63]
|
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+
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+
State Education in Spain is free and compulsory from six to sixteen years of age. The current education system is called LOGSE (Ley de Ordenación General del Sistema Educativo).[64]
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|
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Children from three to five years old in Spain have the option of attending the pre-school stage, which is non-compulsory and free for all students. It is regarded as an integral part of the education system with infantil classes in almost every primary school. There are some separate Colegios Infantiles or nursery schools.
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Spanish students aged six to sixteen undergo primary and secondary school education, which are compulsory and free of charge. Successful students are awarded a Secondary Education Certificate, which is necessary for entering further (optional) education as is Bachillerato for their University or Formacion Professional (vocational studies).
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Once students have finished their Bachillerato, they can take their University Entrance Exam (Pruebas de Acceso a la Universidad, popularly called Selectividad) which differs greatly from region to region.
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|
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The secondary stage of education is normally referred to by its initials, e.g. ESO or Educación Secundaria Obligatoria for secondary education.
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+
|
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+
Madrid is home to a large number of public and private universities.
|
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+
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+
The Complutense University of Madrid is one of the most prestigious, and the largest, university in Spain and one of the oldest universities in the world. It has 10,000 staff members and a student population of 117,000. Nearly all academic staff are Spanish. It is located on two campuses, in the university quarter Ciudad Universitaria at Moncloa in Madrid, and in Somosaguas.[65] The Complutense University of Madrid was founded in Alcalá de Henares, old Complutum, by Cardinal Cisneros in 1499. Nevertherless, its real origin dates back from 1293, when King Sancho IV of Castile built the General Schools of Alcalá, which would give rise to Cisnero's Complutense University. During the course of 1509-1510 five schools were already operative: Artes y Filosofía (Arts & Philosophy), Teología (Theology), Derecho Canónico (Canonical Laws), Letras (Liberal Arts) and Medicina (Medicine). In 1836, during the reign of Isabel II, the University was moved to Madrid, where it took the name of Central University and was located at San Bernardo Street. Subsequently, in 1927, a new University City ("Ciudad Universitaria") was planned to be built in the district of Moncloa-Aravaca. The Spanish Civil War turned the University City into a war zone, with several faculties sustaining severe damage during the conflict. By 1943 the Central University started to be known as the University of Madrid.[66]
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In 1970 the University of Madrid was renamed to Complutense University of Madrid. It was then when the new campus at Somosaguas was created in order to house the new School of Social Sciences. The old Alcalá campus was reopened as the independent University of Alcalá in 1977.[67]
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Another important university is the Autonoma, perhaps Spain's best university for research along with the Complutense, was instituted under the leadership of the famous physicist, Nicolás Cabrera. The Autonoma is widely recognised for its research strengths in theoretical physics. Known simply as la Autónoma in Madrid, its main site is the Cantoblanco Campus, situated 15 kilometers to the north of the capital (M-607) and close to the municipal areas of Madrid, namely Alcobendas, San Sebastián de los Reyes, Tres Cantos and Colmenar Viejo.
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Located on the main site are the Rectorate building and the Faculties of Science, Philosophy and Fine Arts, Law, Economic Science and Business Studies, Psychology, Higher School of Computing Science and Engineering, and the Faculty of Teacher Training and Education. The Medical School is located outside the main site and beside the Hospital Universitario La Paz.[68]
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Other local universities, among many others, are the Technical University of Madrid, as the result of merging the different Technical Schools of Engineering; the Universidad de Alcalá de Henares, founded in 1499; the Carlos III, whose philosophy is to create responsible free-thinking people with a sensitivity to social problems and an involvement in the concept of progress based on freedom, justice and tolerance and the Universidad Pontificia Comillas, involved in a number of academic exchange programmes, work practice schemes and international projects with over 200 Higher Education Institutions in Europe, South America, North America, and Asia.
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Other universities in Madrid: Rey Juan Carlos University (public), Alfonso X El Sabio University, Universidad Antonio de Nebrija, Universidad Camilo José Cela, Universidad Francisco de Vitoria, Universidad Europea de Madrid, and Universidad San Pablo (all of them private).
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Madrid is also home to the Escuela Superior de Música Reina Sofía, the Real Conservatorio Superior de Música de Madrid, and many other private educational institutions.
|
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+
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+
Madrid is served by Barajas International Airport. Barajas is the main hub of Iberia Airlines and consequently serves as the main gateway to the Iberian peninsula from Europe, the Americas, and the rest of the world. Current passenger volumes range upwards of 52 million passengers per year, putting it in the top 10 busiest airports in the world.[69] Given annual increases close to 10%, a new fourth terminal has been constructed. It has significantly reduced delays and doubled the capacity of the airport to more than 70 million passengers per year. Two additional runways have also been constructed, making Barajas a fully operational four-runway airport.
|
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+
Cercanías Madrid is the commuter rail service that serves Madrid, the capital of Spain, and its metropolitan area. It is operated by Cercanías Renfe, the commuter rail division of RENFE, the former monopoly of rail services in Spain. The system is infamous for being the target of 11 March 2004 Madrid train bombings. The attacks triggered a small reduction in the ridership of the system, but it is still the most used and most profitable[70] (by 2004) of the commuter rail services in Spain. The total length spans 339.1 km (210.7 mi).
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Spain's railway system, the Red Nacional de Ferrocarriles Españoles (Renfe), operates the vast majority of Spain's railways. In Madrid, the main rail terminals are Atocha in the south and Chamartín in the north.
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The crown jewel of Spain's next decade of infrastructure construction is the Spanish high-speed rail network, Alta Velocidad Española AVE. Currently, an ambitious plan includes the construction of a 7,000-kilometre (4,300 mi) network, centered on Madrid. The overall goal is to have all important provincial cities be no more than four hours away from Madrid and no more than six hours away from Barcelona. As of 2008, AVE high-speed trains link Madrid-Atocha station to Seville, Málaga, and Toledo in the south, Valencia, Albacete, Cuenca and Alicante in the east, and to Zaragoza, Tarragona, Girona, Leida, Huesca and Barcelona in the north-east. AVE trains also arrive to Segovia, Valladolid, Zamora and León.
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Already connected by tunnels used by conventional rail lines, a tunnel link connecting the Atocha and Chamartín stations with high-speed rail services is finished but, as of August 2019, yet to be inaugurated.[71]
|
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Serving the city's population of some six million, the Madrid Metro is one of the most extensive and fastest-growing metro networks in the world.[72] With the addition of a loop serving suburbs to Madrid's south-west "Metrosur", it is now the second largest metro system in Western Europe, second only to London's Underground. In 2007, Madrid's metro system was expanded, and it currently runs over 322 kilometers (200 mi) of line. The province of Madrid is also served by an extensive commuter rail network called Cercanías.
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Metro fees are regulated by the Consorcio Regional de Transportes de Madrid (CRTM) jointly with fees for commuter rail, bus transport and light-rail.
|
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The flag, coat of arms and hymn of the Community of Madrid were set through the regional Law 2/1983 published in the official regional gazette on 24 December 1983:[73]
|
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The flag is described as follows: "the flag of the Community of Madrid is crimson red, with seven silver five-pointed stars, arranged 4 and 3 on the centre of the canvas".[73] According to the law, the flag should wave both at the outdoors (occupying a preferential place next to the flag of Spain) and at the indoors of every public building of the autonomous administration as well as every public building of the municipal administrations located within the territory of the autonomous community.
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The arms are described as follows:
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"The coat of arms of the Community of Madrid features just one partition gules, and on it, two paired, embattled, turreted, castles or, with port and windows tinctured azure, masoned sable, surmounted by seven five-pointed stars argent arranged four and three on chief."[74] The crest describes the heraldic representation of the royal crown of Spain.
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The official anthem was defined along the flag and coat of arms.[73] However it has very limited institutional use, and thus, it is barely known.
|
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|
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Although the region does not produce enough food to be self-sufficient, the varied territory of the region outside the urbanised centre provides enough food commodities to create its own cuisine: cheese of Campo Real, vine with Vinos de Madrid DO, strawberries and aspargus from Aranjuez, muskmelons from Villaconejos, artichokes from Ciempozuelos, judiones from Montejo de la Sierra, garlic from Chinchón, chickpeas from Navalcarnero, lentils from Colmenar de Oreja, cauliflower from Griñón or a number of vegetables from the Alberche Valley.[75]
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In addition, due to the rich restaurant business in the region, "all the regional cuisines of Spain are represented in Madrid" according to José del Corral Raya [es].[76] As the madrilenian cuisine has absorbed much from the rest of regional cuisines of Spain, there is ambiguity when it comes to define the former; however, dishes such as the cocido madrileño, the potaje de garbanzos, the callos a la madrileña [es], the sopa de ajo or the tortilla de patatas are considered part of the madrilenian cuisine regardless of their geographical specificity.[77] By April 2011 the region had over 40,0000 bars, 2,700 coffee shops and nearly 10,000 restaurants.[78]
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The majority of the religious population is Catholic. The most important religious minorities are evangelicals, Jews and Muslims.[79]
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Among the evangelical denominations the following denominations stand out:
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Spanish Evangelical Church (IEE), several Presbiterian or Reformed Churches, the Spanish Reformed Episcopal Church (IERE), Baptist and Free churches (Unión Evangélica Bautista Española, Federación de las Iglesias Evangélicas Independientes de España), the Asambleas de Hermanos), Pentecostal Churches (Asambleas de Dios, Iglesia de la Biblia Abierta, Iglesia Filadelfia, Iglesia Cuadrangular), Charismatic churches (Iglesias de Buenas Noticias, Asamblea Cristiana, Asamblea para la Evangelización Mundial para Cristo), minor churches such as The Salvation Army, Mennonite Churches and Hermanos en Cristo), non-grouped evangelical churches, and adventist churches.[80] Pentecostal churches have lately experienced a notable growth due to the arrival of immigrants from Latin-America.[81] Evangelicals also have a notable following among the Romani population.[82] The Muslim population includes the first contemporary Muslims in Spain (who came from Middle East and had middle class university background), converts (chiefly sunni Muslims) and representatives of a second arrival of Muslim economic migrants (with more of an economic migrant profile than the first wave).[83]
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Since the second half of the 20th century the Jewish population in the region grew due to both Sephardi Jews that came from the MENA, as well as exiles from Latin America (mostly Argentinians) primordially Ashkenazim.[84]
|
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|
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There are also Greek, Romanian and Russian orthodox Christians, Jehovah Witnesses (15,031 according to 2001 estimations) and Mormons (6,700 according to 2007 estimations).[85] There are some buddhists (the majority of which have Spanish citizenship and are from the middle to uppermiddle class),[86] and small minorities of believers of religions of vedic origin: hinduism (primordially Sindhis),[87] sikhism, Hare Krishna and Brahma Kumaris. There are a scarce amount of believers of the Bahá'í Faith. Other confessions, often derided as "cults" (sectas) in the country, such as the Unification movement and Scientology, have a marginal presence.[88]
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|
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The regional day is the 2 May, commemorating the Dos de Mayo Uprising of the citizens of Madrid against the French occupation in 1808 that triggered the wave of insurrections marking the beginning of the Peninsular War. It is a public holiday in the Community of Madrid since 1984, when it was approved by the regional legislature and sanctioned as law.[89]
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|
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A floral tribute is traditionally offered to the fallen "heroes" by the regional authorities. The ceremony of presentation of commemorative medals to stand out individuals also take place on this day in the Royal House of the Post Office.[90]
|
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|
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According to a 2010 study by the National Sports Council (CSD), madrilenians led the country in terms of grassroots sports practice.[91]
|
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+
|
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Roughly a 52% of the regional population between 15 and 75 years old practised one sports modality, while a 10 % of the population between 15 and 75 years old practised two or more sports.[91] The most practised sports modalities were: fitness gymnastics (43.6%), football (22.1%), swimming (20.7%), cycling (19.6%), jogging/running (16.2%), padel (9.9%), athletics (8.3%), basketball (6.9%), other football modalities (6.6%), hiking (6.1 %), martial arts (4.5%), body-building (3.5%), shooting/hunting (0.9%) and recreational fishing (0.2%).[91]
|
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|
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Association football is the most popular sport in Spain in terms of passive following. The Madrid Football Federation is the governing body of the sport of football in region. The Community of Madrid has its own regional team, the Madrid autonomous football team, taking part in friendly fixtures. The region currently has 2 top flight men's football teams: Real Madrid and Atlético Madrid. The first of them, Real Madrid, has become one of the most valuable sports teams in the planet.[92]
|
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|
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The regional administration had its own big track and field stadium, "La Peineta", inaugurated in 1994. It was later transferred to the Madrid City Council, becoming the center of two unsuccessful bids of the city of Madrid to the Summer Olympics.
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1 |
+
Communication (from Latin communicare, meaning "to share")[1] is the act of conveying meanings from one entity or group to another through the use of mutually understood signs, symbols, and semiotic rules.
|
2 |
+
|
3 |
+
The main steps inherent to all communication are:[2]
|
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+
|
5 |
+
The scientific study of communication can be divided into:
|
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+
|
7 |
+
The channel of communication can be visual, auditory, tactile/haptic (e.g. Braille or other physical means), olfactory, electromagnetic, or biochemical.
|
8 |
+
|
9 |
+
Human communication is unique for its extensive use of abstract language. Development of civilization has been closely linked with progress in telecommunication.
|
10 |
+
|
11 |
+
Nonverbal communication describes the processes of conveying a type of information in a form of non-linguistic representations. Examples of nonverbal communication include haptic communication, chronemic communication, gestures, body language, facial expressions, eye contact etc. Nonverbal communication also relates to the intent of a message. Examples of intent are voluntary, intentional movements like shaking a hand or winking, as well as involuntary, such as sweating.[3] Speech also contains nonverbal elements known as paralanguage, e.g. rhythm, intonation, tempo, and stress. It affects communication most at the subconscious level and establishes trust. Likewise, written texts include nonverbal elements such as handwriting style, the spatial arrangement of words and the use of emoticons to convey emotion.
|
12 |
+
|
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+
Nonverbal communication demonstrates one of Paul Watzlawick's laws: you cannot not communicate. Once proximity has formed awareness, living creatures begin interpreting any signals received.[4] Some of the functions of nonverbal communication in humans are to complement and illustrate, to reinforce and emphasize, to replace and substitute, to control and regulate, and to contradict the denotative message.
|
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+
|
15 |
+
Nonverbal cues are heavily relied on to express communication and to interpret others' communication and can replace or substitute verbal messages. However, non-verbal communication is ambiguous. When verbal messages contradict non-verbal messages, observation of non-verbal behaviour is relied on to judge another's attitudes and feelings, rather than assuming the truth of the verbal message alone.
|
16 |
+
|
17 |
+
There are several reasons as to why non-verbal communication plays a vital role in communication:
|
18 |
+
|
19 |
+
"Non-verbal communication is omnipresent." [5] They are included in every single communication act. To have total communication, all non-verbal channels such as the body, face, voice, appearance, touch, distance, timing, and other environmental forces must be engaged during face-to-face interaction. Written communication can also have non-verbal attributes. E-mails, web chats, and the social media have options to change text font colours, stationary, add emoticons, capitalization, and pictures in order to capture non-verbal cues into a verbal medium[6].
|
20 |
+
|
21 |
+
"Non-verbal behaviours are multifunctional." [7] Many different non-verbal channels are engaged at the same time in communication acts and allow the chance for simultaneous messages to be sent and received.
|
22 |
+
|
23 |
+
"Non-verbal behaviours may form a universal language system." [7] Smiling, crying, pointing, caressing, and glaring are non-verbal behaviours that are used and understood by people regardless of nationality. Such non-verbal signals allow the most basic form of communication when verbal communication is not effective due to language barriers.
|
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+
|
25 |
+
Verbal communication is the spoken or written conveyance of a message. Human language can be defined as a system of symbols (sometimes known as lexemes) and the grammars (rules) by which the symbols are manipulated. The word "language" also refers to common properties of languages. Language learning normally occurs most intensively during human childhood. Most of the large number of human languages use patterns of sound or gesture for symbols which enable communication with others around them. Languages tend to share certain properties, although there are exceptions. There is no defined line between a language and a dialect. Constructed languages such as Esperanto, programming languages, and various mathematical formalisms are not necessarily restricted to the properties shared by human languages.
|
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+
|
27 |
+
As previously mentioned, language can be characterized as symbolic. Charles Ogden and I.A Richards developed The Triangle of Meaning model to explain the symbol (the relationship between a word), the referent (the thing it describes), and the meaning (the thought associated with the word and the thing).
|
28 |
+
|
29 |
+
The properties of language are governed by rules. Language follows phonological rules (sounds that appear in a language), syntactic rules (arrangement of words and punctuation in a sentence), semantic rules (the agreed upon meaning of words), and pragmatic rules (meaning derived upon context).
|
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+
|
31 |
+
The meanings that are attached to words can be literal, or otherwise known as denotative; relating to the topic being discussed, or, the meanings take context and relationships into account, otherwise known as connotative; relating to the feelings, history, and power dynamics of the communicators.[8]
|
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+
|
33 |
+
Contrary to popular belief, signed languages of the world (e.g., American Sign Language) are considered to be verbal communication because their sign vocabulary, grammar, and other linguistic structures abide by all the necessary classifications as spoken languages. There are however, nonverbal elements to signed languages, such as the speed, intensity, and size of signs that are made. A signer might sign "yes" in response to a question, or they might sign a sarcastic-large slow yes to convey a different nonverbal meaning. The sign yes is the verbal message while the other movements add nonverbal meaning to the message.
|
34 |
+
|
35 |
+
Over time the forms of and ideas about communication have evolved through the continuing progression of technology. Advances include communications psychology and media psychology, an emerging field of study.
|
36 |
+
|
37 |
+
The progression of written communication can be divided into three "information communication revolutions":[9]
|
38 |
+
|
39 |
+
Communication is thus a process by which meaning is assigned and conveyed in an attempt to create shared understanding. Gregory Bateson called it "the replication of tautologies in the universe.[10] This process, which requires a vast repertoire of skills in interpersonal processing, listening, observing, speaking, questioning, analyzing, gestures, and evaluating enables collaboration and cooperation.[11]
|
40 |
+
|
41 |
+
Business communication is used for a wide variety of activities including, but not limited to: strategic communications planning, media relations, internal communications, public relations (which can include social media, broadcast and written communications, and more), brand management, reputation management, speech-writing, customer-client relations, and internal/employee communications.
|
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+
|
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+
Companies with limited resources may choose to engage in only a few of these activities, while larger organizations may employ a full spectrum of communications. Since it is relatively difficult to develop such a broad range of skills, communications professionals often specialize in one or two of these areas but usually have at least a working knowledge of most of them. By far, the most important qualifications communications professionals must possess are excellent writing ability, good 'people' skills, and the capacity to think critically and strategically.
|
44 |
+
|
45 |
+
Business communication could also refer to the style of communication within a given corporate entity, i.e. email conversation styles, or internal communication styles.
|
46 |
+
|
47 |
+
Communication is one of the most relevant tools in political strategies, including persuasion and propaganda. In mass media research and online media research, the effort of the strategist is that of getting a precise decoding, avoiding "message reactance", that is, message refusal. The reaction to a message is referred also in terms of approach to a message, as follows:
|
48 |
+
|
49 |
+
Holistic approaches are used by communication campaign leaders and communication strategists in order to examine all the options, "actors" and channels that can generate change in the semiotic landscape, that is, change in perceptions, change in credibility, change in the "memetic background", change in the image of movements, of candidates, players and managers as perceived by key influencers that can have a role in generating the desired "end-state".
|
50 |
+
|
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+
The modern political communication field is highly influenced by the framework and practices of "information operations" doctrines that derive their nature from strategic and military studies. According to this view, what is really relevant is the concept of acting on the Information Environment. The information environment is the aggregate of individuals, organizations, and systems that collect, process, disseminate, or act on information. This environment consists of three interrelated dimensions, which continuously interact with individuals, organizations, and systems. These dimensions are known as physical, informational, and cognitive.[13]
|
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+
|
53 |
+
Family communication is the study of the communication perspective in a broadly defined family, with intimacy and trusting relationship.[14] The main goal of family communication is to understand the interactions of family and the pattern of behaviors of family members in different circumstances. Open and honest communication creates an atmosphere that allows family members to express their differences as well as love and admiration for one another. It also helps to understand the feelings of one another.
|
54 |
+
|
55 |
+
Family communication study looks at topics such as family rules, family roles or family dialectics and how those factors could affect the communication between family members. Researchers develop theories to understand communication behaviors. Family communication study also digs deep into certain time periods of family life such as marriage, parenthood or divorce and how communication stands in those situations. It is important for family members to understand communication as a trusted way which leads to a well constructed family.
|
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+
|
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+
In simple terms, interpersonal communication is the communication between one person and another (or others). It is often referred to as face-to-face communication between two (or more) people. Both verbal and nonverbal communication, or body language, play a part in how one person understands another. In verbal interpersonal communication there are two types of messages being sent: a content message and a relational message. Content messages are messages about the topic at hand and relational messages are messages about the relationship itself.[15] This means that relational messages come across in how one says something and it demonstrates a person's feelings, whether positive or negative, towards the individual they are talking to, indicating not only how they feel about the topic at hand, but also how they feel about their relationship with the other individual.[15]
|
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+
|
59 |
+
There are many different aspects of interpersonal communication including:
|
60 |
+
|
61 |
+
Barriers to effective communication can retard or distort the message or intention of the message being conveyed. This may result in failure of the communication process or cause an effect that is undesirable. These include filtering, selective perception, information overload, emotions, language, silence, communication apprehension, gender differences and political correctness.[24]
|
62 |
+
|
63 |
+
This also includes a lack of expressing "knowledge-appropriate" communication, which occurs when a person uses ambiguous or complex legal words, medical jargon, or descriptions of a situation or environment that is not understood by the recipient.
|
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+
|
65 |
+
Cultural differences exist within countries (tribal/regional differences, dialects etc.), between religious groups and in organisations or at an organisational level – where companies, teams and units may have different expectations, norms and idiolects. Families and family groups may also experience the effect of cultural barriers to communication within and between different family members or groups. For example: words, colours and symbols have different meanings in different cultures. In most parts of the world, nodding your head means agreement, shaking your head means no, except in some parts of the world.[29]
|
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+
|
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+
Communication to a great extent is influenced by culture and cultural variables.[30][31][32][33] Understanding cultural aspects of communication refers to having knowledge of different cultures in order to communicate effectively with cross culture people. Cultural aspects of communication are of great relevance in today's world which is now a global village, thanks to globalisation. Cultural aspects of communication are the cultural differences which influences communication across borders. Impact of cultural differences on communication components are explained below:
|
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|
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+
So in order to have an effective communication across the world it is desirable to have a knowledge of cultural variables effecting communication.
|
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+
|
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+
According to Michael Walsh and Ghil'ad Zuckermann, Western conversational interaction is typically "dyadic", between two particular people, where eye contact is important and the speaker controls the interaction; and "contained" in a relatively short, defined time frame. However, traditional Aboriginal conversational interaction is "communal", broadcast to many people, eye contact is not important, the listener controls the interaction; and "continuous", spread over a longer, indefinite time frame.[34][35]
|
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+
|
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+
Every information exchange between living organisms — i.e. transmission of signals that involve a living sender and receiver can be considered a form of communication; and even primitive creatures such as corals are competent to communicate. Nonhuman communication also include cell signaling, cellular communication, and chemical transmissions between primitive organisms like bacteria and within the plant and fungal kingdoms.
|
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+
|
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+
The broad field of animal communication encompasses most of the issues in ethology. Animal communication can be defined as any behavior of one animal that affects the current or future behavior of another animal. The study of animal communication, called zoo semiotics (distinguishable from anthroposemiotics, the study of human communication) has played an important part in the development of ethology, sociobiology, and the study of animal cognition. Animal communication, and indeed the understanding of the animal world in general, is a rapidly growing field, and even in the 21st century so far, a great share of prior understanding related to diverse fields such as personal symbolic name use, animal emotions, animal culture and learning, and even sexual conduct, long thought to be well understood, has been revolutionized.
|
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+
|
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+
Communication is observed within the plant organism, i.e. within plant cells and between plant cells, between plants of the same or related species, and between plants and non-plant organisms, especially in the root zone. Plant roots communicate with rhizome bacteria, fungi, and insects within the soil. Recent research has shown that most of the microorganism plant communication processes are neuron-like.[36] Plants also communicate via volatiles when exposed to herbivory attack behavior, thus warning neighboring plants.[37] In parallel they produce other volatiles to attract parasites which attack these herbivores.
|
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+
|
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+
Fungi communicate to coordinate and organize their growth and development such as the formation of Marcelia and fruiting bodies. Fungi communicate with their own and related species as well as with non fungal organisms in a great variety of symbiotic interactions, especially with bacteria, unicellular eukaryote, plants and insects through biochemicals of biotic origin. The biochemicals trigger the fungal organism to react in a specific manner, while if the same chemical molecules are not part of biotic messages, they do not trigger the fungal organism to react. This implies that fungal organisms can differentiate between molecules taking part in biotic messages and similar molecules being irrelevant in the situation. So far five different primary signalling molecules are known to coordinate different behavioral patterns such as filamentation, mating, growth, and pathogenicity. Behavioral coordination and production of signaling substances is achieved through interpretation processes that enables the organism to differ between self or non-self, a biotic indicator, biotic message from similar, related, or non-related species, and even filter out "noise", i.e. similar molecules without biotic content.
|
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+
|
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Communication is not a tool used only by humans, plants and animals, but it is also used by microorganisms like bacteria. The process is called quorum sensing. Through quorum sensing, bacteria can sense the density of cells, and regulate gene expression accordingly. This can be seen in both gram positive and gram negative bacteria.
|
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+
This was first observed by Fuqua et al. in marine microorganisms like V. harveyi and V. fischeri.[38]
|
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+
|
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+
The first major model for communication was introduced by Claude Shannon and Warren Weaver for Bell Laboratories in 1949[39] The original model was designed to mirror the functioning of radio and telephone technologies. Their initial model consisted of three primary parts: sender, channel, and receiver. The sender was the part of a telephone a person spoke into, the channel was the telephone itself, and the receiver was the part of the phone where one could hear the other person. Shannon and Weaver also recognized that often there is static that interferes with one listening to a telephone conversation, which they deemed noise.
|
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|
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In a simple model, often referred to as the transmission model or standard view of communication, information or content (e.g. a message in natural language) is sent in some form (as spoken language) from an emitter (emisor in the picture)/sender/encoder to a destination/receiver/decoder. This common conception of communication simply views communication as a means of sending and receiving information. The strengths of this model are simplicity, generality, and quantifiability. Claude Shannon and Warren Weaver structured this model based on the following elements:
|
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+
|
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+
Shannon and Weaver argued that there were three levels of problems for communication within this theory.
|
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+
|
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+
Daniel Chandler[40] critiques the transmission model by stating:
|
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+
|
92 |
+
In 1960, David Berlo expanded on Shannon and Weaver's (1949) linear model of communication and created the SMCR Model of Communication.[41] The Sender-Message-Channel-Receiver Model of communication separated the model into clear parts and has been expanded upon by other scholars.
|
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+
|
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+
Communication is usually described along a few major dimensions: message (what type of things are communicated), source/emisor/sender/encoder (from whom), form (in which form), channel (through which medium), destination/receiver/target/decoder (to whom). Wilbur Schram (1954) also indicated that we should also examine the impact that a message has (both desired and undesired) on the target of the message.[42] Between parties, communication includes acts that confer knowledge and experiences, give advice and commands, and ask questions. These acts may take many forms, in one of the various manners of communication. The form depends on the abilities of the group communicating. Together, communication content and form make messages that are sent towards a destination. The target can be oneself, another person or being, another entity (such as a corporation or group of beings).
|
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+
|
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+
Communication can be seen as processes of information transmission with three levels of semiotic rules:
|
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+
|
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+
Therefore, communication is social interaction where at least two interacting agents share a common set of signs and a common set of semiotic rules. This commonly held rule in some sense ignores autocommunication, including intrapersonal communication via diaries or self-talk, both secondary phenomena that followed the primary acquisition of communicative competences within social interactions.
|
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|
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In light of these weaknesses, Barnlund (2008) proposed a transactional model of communication.[43] The basic premise of the transactional model of communication is that individuals are simultaneously engaging in the sending and receiving of messages.
|
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+
|
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In a slightly more complex form a sender and a receiver are linked reciprocally. This second attitude of communication, referred to as the constitutive model or constructionist view, focuses on how an individual communicates as the determining factor of the way the message will be interpreted. Communication is viewed as a conduit; a passage in which information travels from one individual to another and this information becomes separate from the communication itself. A particular instance of communication is called a speech act. The sender's personal filters and the receiver's personal filters may vary depending upon different regional traditions, cultures, or gender; which may alter the intended meaning of message contents. In the presence of "communication noise" on the transmission channel (air, in this case), reception and decoding of content may be faulty, and thus the speech act may not achieve the desired effect. One problem with this encode-transmit-receive-decode model is that the processes of encoding and decoding imply that the sender and receiver each possess something that functions as a codebook, and that these two code books are, at the very least, similar if not identical. Although something like code books is implied by the model, they are nowhere represented in the model, which creates many conceptual difficulties.
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Theories of coregulation describe communication as a creative and dynamic continuous process, rather than a discrete exchange of information. Canadian media scholar Harold Innis had the theory that people use different types of media to communicate and which one they choose to use will offer different possibilities for the shape and durability of society.[44][page needed] His famous example of this is using ancient Egypt and looking at the ways they built themselves out of media with very different properties stone and papyrus. Papyrus is what he called 'Space Binding'. it made possible the transmission of written orders across space, empires and enables the waging of distant military campaigns and colonial administration. The other is stone and 'Time Binding', through the construction of temples and the pyramids can sustain their authority generation to generation, through this media they can change and shape communication in their society.[44][page needed]
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In any communication model, noise is interference with the decoding of messages sent over the channel by an encoder. There are many examples of noise:
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To face communication noise, redundancy and acknowledgement must often be used. Acknowledgements are messages from the addressee informing the originator that his/her communication has been received and is understood.[46] Message repetition and feedback about message received are necessary in the presence of noise to reduce the probability of misunderstanding.
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The act of disambiguation regards the attempt of reducing noise and wrong interpretations, when the semantic value or meaning of a sign can be subject to noise, or in presence of multiple meanings, which makes the sense-making difficult. Disambiguation attempts to decrease the likelihood of misunderstanding. This is also a fundamental skill in communication processes activated by counselors, psychotherapists, interpreters, and in coaching sessions based on colloquium. In Information Technology, the disambiguation process and the automatic disambiguation of meanings of words and sentences has also been an interest and concern since the earliest days of computer treatment of language.[47]
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The academic discipline that deals with processes of human communication is communication studies. The discipline encompasses a range of topics, from face-to-face conversation to mass media outlets such as television broadcasting. Communication studies also examines how messages are interpreted through the political, cultural, economic, semiotic, hermeneutic, and social dimensions of their contexts. Statistics, as a quantitative approach to communication science, has also been incorporated into research on communication science in order to help substantiate claims.[48]
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1 |
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The Soviet Union,[d] officially the Union of Soviet Socialist Republics[e] (USSR),[f] was a federal socialist state in Northern Eurasia that existed from 1922 to 1991. Nominally a union of multiple national Soviet republics,[g] in practice its government and economy were highly centralized until its final years. It was a one-party state governed by the Communist Party, with Moscow as its capital in its largest republic, the Russian SFSR. Other major urban centers were Leningrad, Kiev, Minsk, Tashkent, Alma-Ata and Novosibirsk. It was the largest country in the world by surface area,[16] spanning over 10,000 kilometers (6,200 mi) east to west across 11 time zones and over 7,200 kilometers (4,500 mi) north to south. Its territory included much of Eastern Europe as well as part of Northern Europe and all of Northern and Central Asia. It had five climate zones such as tundra, taiga, steppes, desert, and mountains. Its diverse population was collectively known as Soviet people.
|
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The Soviet Union had its roots in the October Revolution of 1917, when the Bolsheviks, headed by Vladimir Lenin, overthrew the Provisional Government that had earlier replaced the monarchy. They established the Russian Soviet Republic[h], beginning a civil war between the Bolshevik Red Army and many anti-Bolshevik forces across the former Empire, among whom the largest faction was the White Guard. The disastrous distractive effect of the war and the Bolshevik policies led to 5 million deaths during the 1921–1922 famine in the region of Povolzhye. The Red Army expanded and helped local Communists take power, establishing soviets, repressing their political opponents and rebellious peasants through the policies of Red Terror and War Communism. In 1922, the Communists were victorious, forming the Soviet Union with the unification of the Russian, Transcaucasian, Ukrainian and Byelorussian republics. The New Economic Policy (NEP) which was introduced by Lenin led to a partial return of a free market and private property, resulting in a period of economic recovery.
|
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|
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Following Lenin's death in 1924, a troika and a brief power struggle, Joseph Stalin came to power in the mid-1920s. Stalin suppressed all political opposition to his rule inside the Communist Party, committed the state ideology to Marxism–Leninism, ended the NEP, initiating a centrally planned economy. As a result, the country underwent a period of rapid industrialization and forced collectivization, which led to a significant economic growth, but also created a man-made famine of 1932–1933 and expanded the Gulag labour camp system founded back in 1918. Stalin also fomented political paranoia and conducted the Great Purge to remove opponents of his from the Party through the mass arbitrary arrest of many people (military leaders, Communist Party members and ordinary citizens alike) who were then sent to correctional labor camps or sentenced to death.
|
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|
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On 23 August 1939, after unsuccessful efforts to form an anti-fascist alliance with Western powers, the Soviets signed the non-aggression agreement with Nazi Germany. After the start of World War II, the formally neutral Soviets invaded and annexed territories of several Eastern European states, including eastern Poland and the Baltic states. In June 1941 the Germans invaded, opening the largest and bloodiest theater of war in history. Soviet war casualties accounted for the highest proportion of the conflict in the cost of acquiring the upper hand over Axis forces at intense battles such as Stalingrad. Soviet forces eventually captured Berlin and won World War II in Europe on 9 May 1945. The territory overtaken by the Red Army became satellite states of the Eastern Bloc. The Cold War emerged in 1947 as a result of a post-war Soviet dominance in Eastern Europe, where the Eastern Bloc confronted the Western Bloc that united in the North Atlantic Treaty Organization in 1949.
|
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|
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Following Stalin's death in 1953, a period known as de-Stalinization and Khrushchev Thaw occurred under the leadership of Nikita Khrushchev. The country developed rapidly, as millions of peasants were moved into industrialized cities. The USSR took an early lead in the Space Race with the first ever satellite and the first human spaceflight. In the 1970s, there was a brief détente of relations with the United States, but tensions resumed when the Soviet Union deployed troops in Afghanistan in 1979. The war drained economic resources and was matched by an escalation of American military aid to Mujahideen fighters.
|
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|
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In the mid-1980s, the last Soviet leader, Mikhail Gorbachev, sought to further reform and liberalize the economy through his policies of glasnost and perestroika. The goal was to preserve the Communist Party while reversing economic stagnation. The Cold War ended during his tenure, and in 1989 Soviet satellite countries in Eastern Europe overthrew their respective communist regimes. This led to the rise of strong nationalist and separatist movements inside the USSR as well. Central authorities initiated a referendum—boycotted by the Baltic republics, Armenia, Georgia, and Moldova—which resulted in the majority of participating citizens voting in favor of preserving the Union as a renewed federation. In August 1991, a coup d'état was attempted by Communist Party hardliners. It failed, with Russian President Boris Yeltsin playing a high-profile role in facing down the coup, resulting in the banning of the Communist Party. On 25 December 1991, Gorbachev resigned and the remaining twelve constituent republics emerged from the dissolution of the Soviet Union as independent post-Soviet states. The Russian Federation (formerly the Russian SFSR) assumed the Soviet Union's rights and obligations and is recognized as its continued legal personality.
|
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|
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The USSR produced many significant social and technological achievements and innovations of the 20th century, including the world's first ministry of health, first human-made satellite, the first humans in space and the first probe to land on another planet, Venus. The country had the world's second-largest economy and the largest standing military in the world.[17][18][19] The USSR was recognized as one of the five nuclear weapons states. It was a founding permanent member of the United Nations Security Council as well as a member of the Organization for Security and Co-operation in Europe, the World Federation of Trade Unions and the leading member of the Council for Mutual Economic Assistance and the Warsaw Pact.
|
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|
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The word soviet is derived from the Russian word sovet (Russian: совет), meaning "council", "assembly", "advice", "harmony", "concord",[note 1] ultimately deriving from the proto-Slavic verbal stem of vět-iti ("to inform"), related to Slavic věst ("news"), English "wise", the root in "ad-vis-or" (which came to English through French), or the Dutch weten ("to know"; cf. wetenschap meaning "science"). The word sovietnik means "councillor".[20]
|
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Some organizations in Russian history were called council (Russian: совет). In the Russian Empire, the State Council which functioned from 1810 to 1917 was referred to as a Council of Ministers after the revolt of 1905.[20]
|
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+
|
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During the Georgian Affair, Vladimir Lenin envisioned an expression of Great Russian ethnic chauvinism by Joseph Stalin and his supporters, calling for these nation-states to join Russia as semi-independent parts of a greater union which he initially named as the Union of Soviet Republics of Europe and Asia (Russian: Союз Советских Республик Европы и Азии, tr. Soyuz Sovetskikh Respublik Evropy i Azii).[21] Stalin initially resisted the proposal but ultimately accepted it, although with Lenin's agreement changed the name to the Union of Soviet Socialist Republics (USSR), albeit all the republics began as socialist soviet and did not change to the other order until 1936. In addition, in the national languages of several republics, the word council or conciliar in the respective language was only quite late changed to an adaptation of the Russian soviet and never in others, e.g. Ukraine.
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|
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СССР (in Latin alphabet: SSSR) is the abbreviation of USSR in Russian. It is written in Cyrillic alphabets. The Soviets used the Cyrillic abbreviation so frequently that audiences worldwide became familiar with its meaning. Notably, both Cyrillic letters used have orthographically-similar (but transliterally distinct) letters in Latin alphabets. Because of widespread familiarity with the Cyrillic abbreviation, Latin alphabet users in particular almost always use the orthographically-similar Latin letters C and P (as opposed to the transliteral Latin letters S and R) when rendering the USSR's native abbreviation.
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|
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After СССР, the most common short form names for the Soviet state in Russian were Советский Союз (transliteration: Sovetskiy Soyuz) which literally means Soviet Union, and also Союз ССР (transliteration: Soyuz SSR) which, after compensating for grammatical differences, essentially translates to Union of SSR's in English.
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|
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In the English language media, the state was referred to as the Soviet Union or the USSR. In other European languages, the locally translated short forms and abbreviations are usually used such as Union soviétique and URSS in French, or Sowjetunion and UdSSR in German. In the English-speaking world, the Soviet Union was also informally called Russia and its citizens Russians,[22] although that was technically incorrect since Russia was only one of the republics.[23] Such misapplications of the linguistic equivalents to the term Russia and its derivatives were frequent in other languages as well.
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With an area of 22,402,200 square kilometres (8,649,500 sq mi), the Soviet Union was the world's largest country, a status that is retained by the Russian Federation.[24] Covering a sixth of Earth's land surface, its size was comparable to that of North America.[25] Two other successor states, Kazakhstan and Ukraine, rank among the top 10 countries by land area, and the largest country entirely in Europe, respectively. The European portion accounted for a quarter of the country's area and was the cultural and economic center. The eastern part in Asia extended to the Pacific Ocean to the east and Afghanistan to the south, and, except some areas in Central Asia, was much less populous. It spanned over 10,000 kilometres (6,200 mi) east to west across 11 time zones, and over 7,200 kilometres (4,500 mi) north to south. It had five climate zones: tundra, taiga, steppes, desert and mountains.
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The USSR had the world's longest border, like Russia, measuring over 60,000 kilometres (37,000 mi), or 1 1⁄2 circumferences of Earth. Two-thirds of it was a coastline. Across the Bering Strait was the United States. The country bordered Afghanistan, China, Czechoslovakia, Finland, Hungary, Iran, Mongolia, North Korea, Norway, Poland, Romania, and Turkey from 1945 to 1991.
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The country's highest mountain was Communism Peak (now Ismoil Somoni Peak) in Tajikistan, at 7,495 metres (24,590 ft). The USSR also included most of the world's largest lakes; the Caspian Sea (shared with Iran), and Lake Baikal, the world's largest (by volume) and deepest freshwater lake that is also an internal body of water in Russia.
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Modern revolutionary activity in the Russian Empire began with the 1825 Decembrist revolt. Although serfdom was abolished in 1861, it was done on terms unfavorable to the peasants and served to encourage revolutionaries. A parliament—the State Duma—was established in 1906 after the Russian Revolution of 1905, but Tsar Nicholas II resisted attempts to move from absolute to a constitutional monarchy. Social unrest continued and was aggravated during World War I by military defeat and food shortages in major cities.
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A spontaneous popular uprising in Petrograd, in response to the wartime decay of Russia's economy and morale, culminated in the February Revolution and the toppling of Nicholas II and the imperial government in March 1917. The tsarist autocracy was replaced by the Russian Provisional Government, which intended to conduct elections to the Russian Constituent Assembly and to continue fighting on the side of the Entente in World War I.
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At the same time, workers' councils, known in Russian as "Soviets", sprang up across the country. The Bolsheviks, led by Vladimir Lenin, pushed for socialist revolution in the Soviets and on the streets. On 7 November 1917, the Red Guards stormed the Winter Palace in Petrograd, ending the rule of the Provisional Government and leaving all political power to the Soviets.[28] This event would later be officially known in Soviet bibliographies as the Great October Socialist Revolution. In December, the Bolsheviks signed an armistice with the Central Powers, though by February 1918, fighting had resumed. In March, the Soviets ended involvement in the war and signed the Treaty of Brest-Litovsk.
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A long and bloody Civil War ensued between the Reds and the Whites, starting in 1917 and ending in 1923 with the Reds' victory. It included foreign intervention, the execution of the former tsar and his family, and the famine of 1921, which killed about five million people.[29] In March 1921, during a related conflict with Poland, the Peace of Riga was signed, splitting disputed territories in Belarus and Ukraine between the Republic of Poland and Soviet Russia. Soviet Russia had to resolve similar conflicts with the newly established republics of Finland, Estonia, Latvia, and Lithuania.
|
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|
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On 28 December 1922, a conference of plenipotentiary delegations from the Russian SFSR, the Transcaucasian SFSR, the Ukrainian SSR and the Byelorussian SSR approved the Treaty on the Creation of the USSR[30] and the Declaration of the Creation of the USSR, forming the Union of Soviet Socialist Republics.[31] These two documents were confirmed by the first Congress of Soviets of the USSR and signed by the heads of the delegations,[32] Mikhail Kalinin, Mikhail Tskhakaya, Mikhail Frunze, Grigory Petrovsky, and Alexander Chervyakov,[33] on 30 December 1922. The formal proclamation was made from the stage of the Bolshoi Theatre.
|
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|
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An intensive restructuring of the economy, industry and politics of the country began in the early days of Soviet power in 1917. A large part of this was done according to the Bolshevik Initial Decrees, government documents signed by Vladimir Lenin. One of the most prominent breakthroughs was the GOELRO plan, which envisioned a major restructuring of the Soviet economy based on total electrification of the country.[34] The plan became the prototype for subsequent Five-Year Plans and was fulfilled by 1931.[35] After the economic policy of "War communism" during the Russian Civil War, as a prelude to fully developing socialism in the country, the Soviet government permitted some private enterprise to coexist alongside nationalized industry in the 1920s, and total food requisition in the countryside was replaced by a food tax.
|
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|
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From its creation, the government in the Soviet Union was based on the one-party rule of the Communist Party (Bolsheviks).[36] The stated purpose was to prevent the return of capitalist exploitation, and that the principles of democratic centralism would be the most effective in representing the people's will in a practical manner. The debate over the future of the economy provided the background for a power struggle in the years after Lenin's death in 1924. Initially, Lenin was to be replaced by a "troika" consisting of Grigory Zinoviev of the Ukrainian SSR, Lev Kamenev of the Russian SFSR, and Joseph Stalin of the Transcaucasian SFSR.
|
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|
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On 1 February 1924, the USSR was recognized by the United Kingdom. The same year, a Soviet Constitution was approved, legitimizing the December 1922 union. Despite the foundation of the Soviet state as a federative entity of many constituent republics, each with its own political and administrative entities, the term "Soviet Russia" – strictly applicable only to the Russian Federative Socialist Republic – was often applied to the entire country by non-Soviet writers and politicians.
|
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|
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On 3 April 1922, Stalin was named the General Secretary of the Communist Party of the Soviet Union. Lenin had appointed Stalin the head of the Workers' and Peasants' Inspectorate, which gave Stalin considerable power. By gradually consolidating his influence and isolating and outmanoeuvring his rivals within the party, Stalin became the undisputed leader of the country and, by the end of the 1920s, established a totalitarian rule. In October 1927, Zinoviev and Leon Trotsky were expelled from the Central Committee and forced into exile.
|
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|
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In 1928, Stalin introduced the first five-year plan for building a socialist economy. In place of the internationalism expressed by Lenin throughout the Revolution, it aimed to build Socialism in One Country. In industry, the state assumed control over all existing enterprises and undertook an intensive program of industrialization. In agriculture, rather than adhering to the "lead by example" policy advocated by Lenin,[37] forced collectivization of farms was implemented all over the country.
|
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|
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Famines ensued as a result, causing deaths estimated at three to seven million; surviving kulaks were persecuted, and many were sent to Gulags to do forced labor.[38][39] Social upheaval continued in the mid-1930s. Despite the turmoil of the mid-to-late 1930s, the country developed a robust industrial economy in the years preceding World War II.
|
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Closer cooperation between the USSR and the West developed in the early 1930s. From 1932 to 1934, the country participated in the World Disarmament Conference. In 1933, diplomatic relations between the United States and the USSR were established when in November, the newly elected President of the United States, Franklin D. Roosevelt, chose to recognize Stalin's Communist government formally and negotiated a new trade agreement between the two countries.[40] In September 1934, the country joined the League of Nations. After the Spanish Civil War broke out in 1936, the USSR actively supported the Republican forces against the Nationalists, who were supported by Fascist Italy and Nazi Germany.[41]
|
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In December 1936, Stalin unveiled a new constitution that was praised by supporters around the world as the most democratic constitution imaginable, though there was some skepticism.[i] Stalin's Great Purge resulted in the detainment or execution of many "Old Bolsheviks" who had participated in the October Revolution with Lenin. According to declassified Soviet archives, the NKVD arrested more than one and a half million people in 1937 and 1938, of whom 681,692 were shot.[43] Over those two years, there were an average of over one thousand executions a day.[44][j]
|
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In 1939, the Soviet Union made a dramatic shift toward Nazi Germany. Almost a year after Britain and France had concluded the Munich Agreement with Germany, the Soviet Union made agreements with Germany as well, both militarily and economically during extensive talks. The two countries concluded the Molotov–Ribbentrop Pact and the German–Soviet Commercial Agreement in August 1939. The former made possible the Soviet occupation of Lithuania, Latvia, Estonia, Bessarabia, northern Bukovina, and eastern Poland. In late November, unable to coerce the Republic of Finland by diplomatic means into moving its border 25 kilometres (16 mi) back from Leningrad, Stalin ordered the invasion of Finland. In the east, the Soviet military won several decisive victories during border clashes with the Empire of Japan in 1938 and 1939. However, in April 1941, the USSR signed the Soviet–Japanese Neutrality Pact with Japan, recognizing the territorial integrity of Manchukuo, a Japanese puppet state.
|
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Germany broke the Molotov–Ribbentrop Pact and invaded the Soviet Union on 22 June 1941 starting what was known in the USSR as the Great Patriotic War. The Red Army stopped the seemingly invincible German Army at the Battle of Moscow, aided by an unusually harsh winter. The Battle of Stalingrad, which lasted from late 1942 to early 1943, dealt a severe blow to Germany from which they never fully recovered and became a turning point in the war. After Stalingrad, Soviet forces drove through Eastern Europe to Berlin before Germany surrendered in 1945. The German Army suffered 80% of its military deaths in the Eastern Front.[48] Harry Hopkins, a close foreign policy advisor to Franklin D. Roosevelt, spoke on 10 August 1943 of the USSR's decisive role in the war.[k]
|
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In the same year, the USSR, in fulfilment of its agreement with the Allies at the Yalta Conference, denounced the Soviet–Japanese Neutrality Pact in April 1945[50] and invaded Manchukuo and other Japan-controlled territories on 9 August 1945.[51] This conflict ended with a decisive Soviet victory, contributing to the unconditional surrender of Japan and the end of World War II.
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The USSR suffered greatly in the war, losing around 27 million people.[52] Approximately 2.8 million Soviet POWs died of starvation, mistreatment, or executions in just eight months of 1941–42.[53][54] During the war, the country together with the United States, the United Kingdom and China were considered the Big Four Allied powers,[55] and later became the Four Policemen that formed the basis of the United Nations Security Council.[56] It emerged as a superpower in the post-war period. Once denied diplomatic recognition by the Western world, the USSR had official relations with practically every country by the late 1940s. A member of the United Nations at its foundation in 1945, the country became one of the five permanent members of the United Nations Security Council, which gave it the right to veto any of its resolutions.
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During the immediate post-war period, the Soviet Union rebuilt and expanded its economy, while maintaining its strictly centralized control. It took effective control over most of the countries of Eastern Europe (except Yugoslavia and later Albania), turning them into satellite states. The USSR bound its satellite states in a military alliance, the Warsaw Pact, in 1955, and an economic organization, Council for Mutual Economic Assistance or Comecon, a counterpart to the European Economic Community (EEC), from 1949 to 1991.[57] The USSR concentrated on its own recovery, seizing and transferring most of Germany's industrial plants, and it exacted war reparations from East Germany, Hungary, Romania, and Bulgaria using Soviet-dominated joint enterprises. It also instituted trading arrangements deliberately designed to favor the country. Moscow controlled the Communist parties that ruled the satellite states, and they followed orders from the Kremlin.[m] Later, the Comecon supplied aid to the eventually victorious Communist Party of China, and its influence grew elsewhere in the world. Fearing its ambitions, the Soviet Union's wartime allies, the United Kingdom and the United States, became its enemies. In the ensuing Cold War, the two sides clashed indirectly in proxy wars.
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Stalin died on 5 March 1953. Without a mutually agreeable successor, the highest Communist Party officials initially opted to rule the Soviet Union jointly through a troika headed by Georgy Malenkov. This did not last, however, and Nikita Khrushchev eventually won the ensuing power struggle by the mid-1950s. In 1956, he denounced Stalin's use of repression and proceeded to ease controls over the party and society. This was known as de-Stalinization.
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Moscow considered Eastern Europe to be a critically vital buffer zone for the forward defence of its western borders, in case of another major invasion such as the German invasion of 1941. For this reason, the USSR sought to cement its control of the region by transforming the Eastern European countries into satellite states, dependent upon and subservient to its leadership. Soviet military force was used to suppress anti-Stalinist uprisings in Hungary and Poland in 1956.
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In the late 1950s, a confrontation with China regarding the Soviet rapprochement with the West, and what Mao Zedong perceived as Khrushchev's revisionism, led to the Sino–Soviet split. This resulted in a break throughout the global Marxist–Leninist movement, with the governments in Albania, Cambodia and Somalia choosing to ally with China.
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+
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During this period of the late 1950s and early 1960s, the USSR continued to realize scientific and technological exploits in the Space Race, rivaling the United States: launching the first artificial satellite, Sputnik 1 in 1957; a living dog named Laika in 1957; the first human being, Yuri Gagarin in 1961; the first woman in space, Valentina Tereshkova in 1963; Alexei Leonov, the first person to walk in space in 1965; the first soft landing on the Moon by spacecraft Luna 9 in 1966; and the first Moon rovers, Lunokhod 1 and Lunokhod 2.[59]
|
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Khrushchev initiated "The Thaw", a complex shift in political, cultural and economic life in the country. This included some openness and contact with other nations and new social and economic policies with more emphasis on commodity goods, allowing a dramatic rise in living standards while maintaining high levels of economic growth. Censorship was relaxed as well. Khrushchev's reforms in agriculture and administration, however, were generally unproductive. In 1962, he precipitated a crisis with the United States over the Soviet deployment of nuclear missiles in Cuba. An agreement was made with the United States to remove nuclear missiles from both Cuba and Turkey, concluding the crisis. This event caused Khrushchev much embarrassment and loss of prestige, resulting in his removal from power in 1964.
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Following the ousting of Khrushchev, another period of collective leadership ensued, consisting of Leonid Brezhnev as General Secretary, Alexei Kosygin as Premier and Nikolai Podgorny as Chairman of the Presidium, lasting until Brezhnev established himself in the early 1970s as the preeminent Soviet leader.
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84 |
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In 1968, the Soviet Union and Warsaw Pact allies invaded Czechoslovakia to halt the Prague Spring reforms. In the aftermath, Brezhnev justified the invasion along with the earlier invasions of Eastern European states by introducing the Brezhnev Doctrine, which claimed the right of the Soviet Union to violate the sovereignty of any country that attempted to replace Marxism–Leninism with capitalism.
|
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+
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87 |
+
Brezhnev presided throughout détente with the West that resulted in treaties on armament control (SALT I, SALT II, Anti-Ballistic Missile Treaty) while at the same time building up Soviet military might.
|
88 |
+
|
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+
In October 1977, the third Soviet Constitution was unanimously adopted. The prevailing mood of the Soviet leadership at the time of Brezhnev's death in 1982 was one of aversion to change. The long period of Brezhnev's rule had come to be dubbed one of "standstill", with an ageing and ossified top political leadership. This period is also known as the Era of Stagnation, a period of adverse economic, political, and social effects in the country, which began during the rule of Brezhnev and continued under his successors Yuri Andropov and Konstantin Chernenko.
|
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+
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+
In late 1979, the Soviet Union's military intervened in the ongoing civil war in neighboring Afghanistan, effectively ending a détente with the West.
|
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+
Two developments dominated the decade that followed: the increasingly apparent crumbling of the Soviet Union's economic and political structures, and the patchwork attempts at reforms to reverse that process. Kenneth S. Deffeyes argued in Beyond Oil that the Reagan administration encouraged Saudi Arabia to lower the price of oil to the point where the Soviets could not make a profit selling their oil, and resulted in the depletion of the country's hard currency reserves.[60]
|
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|
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Brezhnev's next two successors, transitional figures with deep roots in his tradition, did not last long. Yuri Andropov was 68 years old and Konstantin Chernenko 72 when they assumed power; both died in less than two years. In an attempt to avoid a third short-lived leader, in 1985, the Soviets turned to the next generation and selected Mikhail Gorbachev. He made significant changes in the economy and party leadership, called perestroika. His policy of glasnost freed public access to information after decades of heavy government censorship. Gorbachev also moved to end the Cold War. In 1988, the USSR abandoned its war in Afghanistan and began to withdraw its forces. In the following year, Gorbachev refused to interfere in the internal affairs of the Soviet satellite states, which paved the way for the Revolutions of 1989. With the tearing down of the Berlin Wall and with East and West Germany pursuing unification, the Iron Curtain between the West and Soviet-controlled regions came down.
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At the same time, the Soviet republics started legal moves towards potentially declaring sovereignty over their territories, citing the freedom to secede in Article 72 of the USSR constitution.[61] On 7 April 1990, a law was passed allowing a republic to secede if more than two-thirds of its residents voted for it in a referendum.[62] Many held their first free elections in the Soviet era for their own national legislatures in 1990. Many of these legislatures proceeded to produce legislation contradicting the Union laws in what was known as the "War of Laws". In 1989, the Russian SFSR convened a newly elected Congress of People's Deputies. Boris Yeltsin was elected its chairman. On 12 June 1990, the Congress declared Russia's sovereignty over its territory and proceeded to pass laws that attempted to supersede some of the Soviet laws. After a landslide victory of Sąjūdis in Lithuania, that country declared its independence restored on 11 March 1990.
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+
A referendum for the preservation of the USSR was held on 17 March 1991 in nine republics (the remainder having boycotted the vote), with the majority of the population in those republics voting for preservation of the Union. The referendum gave Gorbachev a minor boost. In the summer of 1991, the New Union Treaty, which would have turned the country into a much looser Union, was agreed upon by eight republics. The signing of the treaty, however, was interrupted by the August Coup—an attempted coup d'état by hardline members of the government and the KGB who sought to reverse Gorbachev's reforms and reassert the central government's control over the republics. After the coup collapsed, Yeltsin was seen as a hero for his decisive actions, while Gorbachev's power was effectively ended. The balance of power tipped significantly towards the republics. In August 1991, Latvia and Estonia immediately declared the restoration of their full independence (following Lithuania's 1990 example). Gorbachev resigned as general secretary in late August, and soon afterwards, the party's activities were indefinitely suspended—effectively ending its rule. By the fall, Gorbachev could no longer influence events outside Moscow, and he was being challenged even there by Yeltsin, who had been elected President of Russia in July 1991.
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The remaining 12 republics continued discussing new, increasingly looser, models of the Union. However, by December all except Russia and Kazakhstan had formally declared independence. During this time, Yeltsin took over what remained of the Soviet government, including the Moscow Kremlin. The final blow was struck on 1 December when Ukraine, the second-most powerful republic, voted overwhelmingly for independence. Ukraine's secession ended any realistic chance of the country staying together even on a limited scale.
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+
On 8 December 1991, the presidents of Russia, Ukraine and Belarus (formerly Byelorussia), signed the Belavezha Accords, which declared the Soviet Union dissolved and established the Commonwealth of Independent States (CIS) in its place. While doubts remained over the authority of the accords to do this, on 21 December 1991, the representatives of all Soviet republics except Georgia signed the Alma-Ata Protocol, which confirmed the accords. On 25 December 1991, Gorbachev resigned as the President of the USSR, declaring the office extinct. He turned the powers that had been vested in the presidency over to Yeltsin. That night, the Soviet flag was lowered for the last time, and the Russian tricolor was raised in its place.
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The following day, the Supreme Soviet, the highest governmental body, voted both itself and the country out of existence. This is generally recognized as marking the official, final dissolution of the Soviet Union as a functioning state, and the end of the Cold War.[63] The Soviet Army initially remained under overall CIS command but was soon absorbed into the different military forces of the newly independent states. The few remaining Soviet institutions that had not been taken over by Russia ceased to function by the end of 1991.
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Following the dissolution, Russia was internationally recognized[64] as its legal successor on the international stage. To that end, Russia voluntarily accepted all Soviet foreign debt and claimed Soviet overseas properties as its own. Under the 1992 Lisbon Protocol, Russia also agreed to receive all nuclear weapons remaining in the territory of other former Soviet republics. Since then, the Russian Federation has assumed the Soviet Union's rights and obligations. Ukraine has refused to recognize exclusive Russian claims to succession of the USSR and claimed such status for Ukraine as well, which was codified in Articles 7 and 8 of its 1991 law On Legal Succession of Ukraine. Since its independence in 1991, Ukraine has continued to pursue claims against Russia in foreign courts, seeking to recover its share of the foreign property that was owned by the USSR.
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+
The dissolution was followed by a severe drop in economic and social conditions in post-Soviet states,[65][66] including a rapid increase in poverty,[67][68][69][70] crime,[71][72] corruption,[73][74] unemployment,[75] homelessness,[76][77] rates of disease,[78][79][80] demographic losses,[81] income inequality and the rise of an oligarchical class,[82][67] along with decreases in calorie intake, life expectancy, adult literacy, and income.[83] Between 1988/1989 and 1993/1995, the Gini ratio increased by an average of 9 points for all former socialist countries.[67] The economic shocks that accompanied wholesale privatization were associated with sharp increases in mortality. Data shows Russia, Kazakhstan, Latvia, Lithuania and Estonia saw a tripling of unemployment and a 42% increase in male death rates between 1991 and 1994.[84][85] In the following decades, only five or six of the post-communist states are on a path to joining the wealthy capitalist West while most are falling behind, some to such an extent that it will take over fifty years to catch up to where they were before the fall of the Soviet Bloc.[86][87]
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In summing up the international ramifications of these events, Vladislav Zubok stated: "The collapse of the Soviet empire was an event of epochal geopolitical, military, ideological, and economic significance."[88] Before the dissolution, the country had maintained its status as one of the world's two superpowers for four decades after World War II through its hegemony in Eastern Europe, military strength, economic strength, aid to developing countries, and scientific research, especially in space technology and weaponry.[89]
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The analysis of the succession of states for the 15 post-Soviet states is complex. The Russian Federation is seen as the legal continuator state and is for most purposes the heir to the Soviet Union. It retained ownership of all former Soviet embassy properties, as well as the old Soviet UN membership and permanent membership on the Security Council.
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Of the two other co-founding states of the USSR at the time of the dissolution, Ukraine was the only one that had passed similar to Russia's laws that it is a state-successor of both the Ukrainian SSR and the USSR.[90] Soviet treaties laid groundwork for Ukraine's future foreign agreements as well as they led to Ukraine agreeing to undertake 16.37% of debts of the Soviet Union for which it was going to receive its share of USSR's foreign property. Although it had a tough position at the time, due to Russia's position as a "single continuation of the USSR" that became widely accepted in the West as well as a constant pressure from the Western countries, allowed Russia to dispose state property of USSR abroad and conceal information about it. Due to that Ukraine never ratified "zero option" agreement that Russian Federation had signed with other former Soviet republics, as it denied disclosing of information about Soviet Gold Reserves and its Diamond Fund.[91][92] Dispute over former Soviet property and assets between two former republics is still ongoing:
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+
The conflict is unsolvable. We can continue to poke Kiev handouts in the calculation of "solve the problem", only it won't be solved. Going to a trial is also pointless: for a number of European countries this is a political issue, and they will make a decision clearly in whose favor. What to do in this situation is an open question. Search for non-trivial solutions. But we must remember that in 2014, with the filing of the then Ukrainian Prime Minister Yatsenyuk, litigation with Russia resumed in 32 countries.
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|
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+
Similar situation occurred with restitution of cultural property. Although on 14 February 1992 Russia and other former Soviet republics signed agreement "On the return of cultural and historic property to the origin states" in Minsk, it was halted by Russian State Duma that had eventually passed "Federal Law on Cultural Valuables Displaced to the USSR as a Result of the Second World War and Located on the Territory of the Russian Federation" which made restitution currently impossible.[94]
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+
There are additionally four states that claim independence from the other internationally recognised post-Soviet states but possess limited international recognition: Abkhazia, Nagorno-Karabakh, South Ossetia and Transnistria. The Chechen separatist movement of the Chechen Republic of Ichkeria lacks any international recognition.
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+
During his rule, Stalin always made the final policy decisions. Otherwise, Soviet foreign policy was set by the Commission on the Foreign Policy of the Central Committee of the Communist Party of the Soviet Union, or by the party's highest body the Politburo. Operations were handled by the separate Ministry of Foreign Affairs. It was known as the People's Commissariat for Foreign Affairs (or Narkomindel), until 1946. The most influential spokesmen were Georgy Chicherin (1872–1936), Maxim Litvinov (1876–1951), Vyacheslav Molotov (1890–1986), Andrey Vyshinsky (1883–1954) and Andrei Gromyko (1909–1989). Intellectuals were based in the Moscow State Institute of International Relations.[95]
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The Communist leadership of the Soviet Union intensely debated foreign policy issues and change directions several times. Even after Stalin assumed dictatorial control in the late 1920s, there were debates, and he frequently changed positions.[104]
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During the country's early period, it was assumed that Communist revolutions would break out soon in every major industrial country, and it was the Soviet responsibility to assist them. The Comintern was the weapon of choice. A few revolutions did break out, but they were quickly suppressed (the longest lasting one was in Hungary)—the Hungarian Soviet Republic—lasted only from 21 March 1919 to 1 August 1919. The Russian Bolsheviks were in no position to give any help.
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By 1921, Lenin, Trotsky, and Stalin realized that capitalism had stabilized itself in Europe and there would not be any widespread revolutions anytime soon. It became the duty of the Russian Bolsheviks to protect what they had in Russia, and avoid military confrontations that might destroy their bridgehead. Russia was now a pariah state, along with Germany. The two came to terms in 1922 with the Treaty of Rapallo that settled long-standing grievances. At the same time, the two countries secretly set up training programs for the illegal German army and air force operations at hidden camps in the USSR.[105]
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Moscow eventually stopped threatening other states, and instead worked to open peaceful relationships in terms of trade, and diplomatic recognition. The United Kingdom dismissed the warnings of Winston Churchill and a few others about a continuing communist threat, and opened trade relations and de facto diplomatic recognition in 1922. There was hope for a settlement of the pre-war tsarist debts, but it was repeatedly postponed. Formal recognition came when the new Labour Party came to power in 1924.[106] All the other countries followed suit in opening trade relations. Henry Ford opened large-scale business relations with the Soviets in the late 1920s, hoping that it would lead to long-term peace. Finally, in 1933, the United States officially recognized the USSR, a decision backed by the public opinion and especially by US business interests that expected an opening of a new profitable market.[107]
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In the late 1920s and early 1930s, Stalin ordered Communist parties across the world to strongly oppose non-communist political parties, labor unions or other organizations on the left. Stalin reversed himself in 1934 with the Popular Front program that called on all Communist parties to join together with all anti-Fascist political, labor, and organizational forces that were opposed to fascism, especially of the Nazi variety.[108][109]
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In 1939, half a year after the Munich Agreement, the USSR attempted to form an anti-Nazi alliance with France and Britain.[110] Adolf Hitler proposed a better deal, which would give the USSR control over much of Eastern Europe through the Molotov–Ribbentrop Pact. In September, Germany invaded Poland, and the USSR also invaded later that month, resulting in the partition of Poland. In response, Britain and France declared war on Germany, marking the beginning of World War II.[111]
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There were three power hierarchies in the Soviet Union: the legislature represented by the Supreme Soviet of the Soviet Union, the government represented by the Council of Ministers, and the Communist Party of the Soviet Union (CPSU), the only legal party and the final policymaker in the country.[112]
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At the top of the Communist Party was the Central Committee, elected at Party Congresses and Conferences. In turn, the Central Committee voted for a Politburo (called the Presidium between 1952–1966), Secretariat and the General Secretary (First Secretary from 1953 to 1966), the de facto highest office in the Soviet Union.[113] Depending on the degree of power consolidation, it was either the Politburo as a collective body or the General Secretary, who always was one of the Politburo members, that effectively led the party and the country[114] (except for the period of the highly personalized authority of Stalin, exercised directly through his position in the Council of Ministers rather than the Politburo after 1941).[115] They were not controlled by the general party membership, as the key principle of the party organization was democratic centralism, demanding strict subordination to higher bodies, and elections went uncontested, endorsing the candidates proposed from above.[116]
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The Communist Party maintained its dominance over the state mainly through its control over the system of appointments. All senior government officials and most deputies of the Supreme Soviet were members of the CPSU. Of the party heads themselves, Stalin (1941–1953) and Khrushchev (1958–1964) were Premiers. Upon the forced retirement of Khrushchev, the party leader was prohibited from this kind of double membership,[117] but the later General Secretaries for at least some part of their tenure occupied the mostly ceremonial position of Chairman of the Presidium of the Supreme Soviet, the nominal head of state. The institutions at lower levels were overseen and at times supplanted by primary party organizations.[118]
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However, in practice the degree of control the party was able to exercise over the state bureaucracy, particularly after the death of Stalin, was far from total, with the bureaucracy pursuing different interests that were at times in conflict with the party.[119] Nor was the party itself monolithic from top to bottom, although factions were officially banned.[120]
|
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The Supreme Soviet (successor of the Congress of Soviets and Central Executive Committee) was nominally the highest state body for most of the Soviet history,[121] at first acting as a rubber stamp institution, approving and implementing all decisions made by the party. However, its powers and functions were extended in the late 1950s, 1960s and 1970s, including the creation of new state commissions and committees. It gained additional powers relating to the approval of the Five-Year Plans and the government budget.[122] The Supreme Soviet elected a Presidium to wield its power between plenary sessions,[123] ordinarily held twice a year, and appointed the Supreme Court,[124] the Procurator General[125] and the Council of Ministers (known before 1946 as the Council of People's Commissars), headed by the Chairman (Premier) and managing an enormous bureaucracy responsible for the administration of the economy and society.[123] State and party structures of the constituent republics largely emulated the structure of the central institutions, although the Russian SFSR, unlike the other constituent republics, for most of its history had no republican branch of the CPSU, being ruled directly by the union-wide party until 1990. Local authorities were organized likewise into party committees, local Soviets and executive committees. While the state system was nominally federal, the party was unitary.[126]
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The state security police (the KGB and its predecessor agencies) played an important role in Soviet politics. It was instrumental in the Great Purge,[127] but was brought under strict party control after Stalin's death. Under Yuri Andropov, the KGB engaged in the suppression of political dissent and maintained an extensive network of informers, reasserting itself as a political actor to some extent independent of the party-state structure,[128] culminating in the anti-corruption campaign targeting high-ranking party officials in the late 1970s and early 1980s.[129]
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The constitution, which was promulgated in 1918, 1924, 1936 and 1977,[130] did not limit state power. No formal separation of powers existed between the Party, Supreme Soviet and Council of Ministers[131] that represented executive and legislative branches of the government. The system was governed less by statute than by informal conventions, and no settled mechanism of leadership succession existed. Bitter and at times deadly power struggles took place in the Politburo after the deaths of Lenin[132] and Stalin,[133] as well as after Khrushchev's dismissal,[134] itself due to a decision by both the Politburo and the Central Committee.[135] All leaders of the Communist Party before Gorbachev died in office, except Georgy Malenkov[136] and Khrushchev, both dismissed from the party leadership amid internal struggle within the party.[135]
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Between 1988 and 1990, facing considerable opposition, Mikhail Gorbachev enacted reforms shifting power away from the highest bodies of the party and making the Supreme Soviet less dependent on them. The Congress of People's Deputies was established, the majority of whose members were directly elected in competitive elections held in March 1989. The Congress now elected the Supreme Soviet, which became a full-time parliament, and much stronger than before. For the first time since the 1920s, it refused to rubber stamp proposals from the party and Council of Ministers.[137] In 1990, Gorbachev introduced and assumed the position of the President of the Soviet Union, concentrated power in his executive office, independent of the party, and subordinated the government,[138] now renamed the Cabinet of Ministers of the USSR, to himself.[139]
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Tensions grew between the Union-wide authorities under Gorbachev, reformists led in Russia by Boris Yeltsin and controlling the newly elected Supreme Soviet of the Russian SFSR, and communist hardliners. On 19–21 August 1991, a group of hardliners staged a coup attempt. The coup failed, and the State Council of the Soviet Union became the highest organ of state power "in the period of transition".[140] Gorbachev resigned as General Secretary, only remaining President for the final months of the existence of the USSR.[141]
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The judiciary was not independent of the other branches of government. The Supreme Court supervised the lower courts (People's Court) and applied the law as established by the constitution or as interpreted by the Supreme Soviet. The Constitutional Oversight Committee reviewed the constitutionality of laws and acts. The Soviet Union used the inquisitorial system of Roman law, where the judge, procurator, and defence attorney collaborate to establish the truth.[142]
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Constitutionally, the USSR was a federation of constituent Union Republics, which were either unitary states, such as Ukraine or Byelorussia (SSRs), or federations, such as Russia or Transcaucasia (SFSRs),[112] all four being the founding republics who signed the Treaty on the Creation of the USSR in December 1922. In 1924, during the national delimitation in Central Asia, Uzbekistan and Turkmenistan were formed from parts of Russia's Turkestan ASSR and two Soviet dependencies, the Khorezm and Bukharan SSRs. In 1929, Tajikistan was split off from the Uzbekistan SSR. With the constitution of 1936, the Transcaucasian SFSR was dissolved, resulting in its constituent republics of Armenia, Georgia and Azerbaijan being elevated to Union Republics, while Kazakhstan and Kirghizia were split off from Russian SFSR, resulting in the same status.[143] In August 1940, Moldavia was formed from parts of Ukraine and Bessarabia and northern Bukovina. Estonia, Latvia and Lithuania (SSRs) were also admitted into the union which was not recognized by most of the international community and was considered an illegal occupation. Karelia was split off from Russia as a Union Republic in March 1940 and was reabsorbed in 1956. Between July 1956 and September 1991, there were 15 union republics (see map below).[144]
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While nominally a union of equals, in practice the Soviet Union was dominated by Russians. The domination was so absolute that for most of its existence, the country was commonly (but incorrectly) referred to as "Russia". While the RSFSR was technically only one republic within the larger union, it was by far the largest (both in terms of population and area), most powerful, most developed, and the industrial center of the Soviet Union. Historian Matthew White wrote that it was an open secret that the country's federal structure was "window dressing" for Russian dominance. For that reason, the people of the USSR were usually called "Russians", not "Soviets", since "everyone knew who really ran the show".[145]
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Under the Military Law of September 1925, the Soviet Armed Forces consisted of three components, namely the Land Forces, the Air Force, the Navy, Joint State Political Directorate (OGPU), and the Internal Troops.[146] The OGPU later became independent and in 1934 joined the NKVD, and so its internal troops were under the joint leadership of the defense and internal commissariats. After World War II, Strategic Missile Forces (1959), Air Defense Forces (1948) and National Civil Defense Forces (1970) were formed, which ranked first, third, and sixth in the official Soviet system of importance (ground forces were second, Air Force Fourth, and Navy Fifth).
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The army had the greatest political influence. In 1989, there served two million soldiers divided between 150 motorized and 52 armored divisions. Until the early 1960s, the Soviet navy was a rather small military branch, but after the Caribbean crisis, under the leadership of Sergei Gorshkov, it expanded significantly. It became known for battlecruisers and submarines. In 1989 there served 500 000 men. The Soviet Air Force focused on a fleet of strategic bombers and during war situation was to eradicate enemy infrastructure and nuclear capacity. The air force also had a number of fighters and tactical bombers to support the army in the war. Strategic missile forces had more than 1,400 intercontinental ballistic missiles (ICBMs), deployed between 28 bases and 300 command centers.
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In the post-war period, the Soviet Army was directly involved in several military operations abroad. These included the suppression of the uprising in East Germany (1953), Hungarian revolution (1956) and the invasion of Czechoslovakia (1968). The Soviet Union also participated in the war in Afghanistan between 1979 and 1989.
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In the Soviet Union, general conscription applied.
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At the end of the 1950s, with the help of engineers and technologies captured and imported from defeated Nazi Germany, the Soviets constructed the first satellite - Sputnik 1 and thus overtook the United States. This was followed by other successful satellites and experimental dogs were sent. On April 12, 1961, the first cosmonaut, Yuri Gagarin, was sent to the space. He once flew around the Earth and successfully landed in the Kazakh steppe. At that time, the first plans for space shuttles and orbital stations were drawn up in Soviet design offices, but in the end personal disputes between designers and management prevented this.
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The first big fiasco for the USSR was the landing on the moon by the Americans, when the Russians were not able to respond to the Americans in time with the same project. In the 1970s, more specific proposals for the design of the space shuttle began to emerge, but shortcomings, especially in the electronics industry (rapid overheating of electronics), postponed the program until the end of the 1980s. The first shuttle, the Buran, flew in 1988, but without a human crew. Another shuttle, Ptichka, eventually ended up under construction, as the shuttle project was canceled in 1991. For their launch into space, there is today an unused superpower rocket, Energia, which is the most powerful in the world.
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In the late 1980s, the Soviet Union managed to build the Mir orbital station. It was built on the construction of Salyut stations and its tasks were purely civilian and research. In the 1990s, when the US Skylab was shut down due to lack of funds, it was the only orbital station in operation. Gradually, other modules were added to it, including American ones. However, the technical condition of the station deteriorated rapidly, especially after the fire, so in 2001 it was decided to bring it into the atmosphere where it burned down.
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The Soviet Union adopted a command economy, whereby production and distribution of goods were centralized and directed by the government. The first Bolshevik experience with a command economy was the policy of War communism, which involved the nationalization of industry, centralized distribution of output, coercive requisition of agricultural production, and attempts to eliminate money circulation, private enterprises and free trade. After the severe economic collapse, Lenin replaced war communism by the New Economic Policy (NEP) in 1921, legalizing free trade and private ownership of small businesses. The economy quickly recovered as a result.[147]
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After a long debate among the members of Politburo about the course of economic development, by 1928–1929, upon gaining control of the country, Stalin abandoned the NEP and pushed for full central planning, starting forced collectivization of agriculture and enacting draconian labor legislation. Resources were mobilized for rapid industrialization, which significantly expanded Soviet capacity in heavy industry and capital goods during the 1930s.[147] The primary motivation for industrialization was preparation for war, mostly due to distrust of the outside capitalist world.[148] As a result, the USSR was transformed from a largely agrarian economy into a great industrial power, leading the way for its emergence as a superpower after World War II.[149] The war caused extensive devastation of the Soviet economy and infrastructure, which required massive reconstruction.[150]
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By the early 1940s, the Soviet economy had become relatively self-sufficient; for most of the period until the creation of Comecon, only a tiny share of domestic products was traded internationally.[151] After the creation of the Eastern Bloc, external trade rose rapidly. However, the influence of the world economy on the USSR was limited by fixed domestic prices and a state monopoly on foreign trade.[152] Grain and sophisticated consumer manufactures became major import articles from around the 1960s.[151] During the arms race of the Cold War, the Soviet economy was burdened by military expenditures, heavily lobbied for by a powerful bureaucracy dependent on the arms industry. At the same time, the USSR became the largest arms exporter to the Third World. Significant amounts of Soviet resources during the Cold War were allocated in aid to the other socialist states.[151]
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From the 1930s until its dissolution in late 1991, the way the Soviet economy operated remained essentially unchanged. The economy was formally directed by central planning, carried out by Gosplan and organized in five-year plans. However, in practice, the plans were highly aggregated and provisional, subject to ad hoc intervention by superiors. All critical economic decisions were taken by the political leadership. Allocated resources and plan targets were usually denominated in rubles rather than in physical goods. Credit was discouraged, but widespread. The final allocation of output was achieved through relatively decentralized, unplanned contracting. Although in theory prices were legally set from above, in practice they were often negotiated, and informal horizontal links (e.g. between producer factories) were widespread.[147]
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A number of basic services were state-funded, such as education and health care. In the manufacturing sector, heavy industry and defence were prioritized over consumer goods.[153] Consumer goods, particularly outside large cities, were often scarce, of poor quality and limited variety. Under the command economy, consumers had almost no influence on production, and the changing demands of a population with growing incomes could not be satisfied by supplies at rigidly fixed prices.[154] A massive unplanned second economy grew up at low levels alongside the planned one, providing some of the goods and services that the planners could not. The legalization of some elements of the decentralized economy was attempted with the reform of 1965.[147]
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Although statistics of the Soviet economy are notoriously unreliable and its economic growth difficult to estimate precisely,[155][156] by most accounts, the economy continued to expand until the mid-1980s. During the 1950s and 1960s, it had comparatively high growth and was catching up to the West.[157] However, after 1970, the growth, while still positive, steadily declined much more quickly and consistently than in other countries, despite a rapid increase in the capital stock (the rate of capital increase was only surpassed by Japan).[147]
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Overall, the growth rate of per capita income in the Soviet Union between 1960 and 1989 was slightly above the world average (based on 102 countries).[citation needed] According to Stanley Fischer and William Easterly, growth could have been faster. By their calculation, per capita income in 1989 should have been twice higher than it was, considering the amount of investment, education and population. The authors attribute this poor performance to the low productivity of capital.[158] Steven Rosenfielde states that the standard of living declined due to Stalin's despotism. While there was a brief improvement after his death, it lapsed into stagnation.[159]
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In 1987, Mikhail Gorbachev attempted to reform and revitalize the economy with his program of perestroika. His policies relaxed state control over enterprises but did not replace it by market incentives, resulting in a sharp decline in output. The economy, already suffering from reduced petroleum export revenues, started to collapse. Prices were still fixed, and the property was still largely state-owned until after the country's dissolution.[147][154] For most of the period after World War II until its collapse, Soviet GDP (PPP) was the second-largest in the world, and third during the second half of the 1980s,[160] although on a per-capita basis, it was behind that of First World countries.[161] Compared to countries with similar per-capita GDP in 1928, the Soviet Union experienced significant growth.[162]
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In 1990, the country had a Human Development Index of 0.920, placing it in the "high" category of human development. It was the third-highest in the Eastern Bloc, behind Czechoslovakia and East Germany, and the 25th in the world of 130 countries.[163]
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The need for fuel declined in the Soviet Union from the 1970s to the 1980s,[164] both per ruble of gross social product and per ruble of industrial product. At the start, this decline grew very rapidly but gradually slowed down between 1970 and 1975. From 1975 and 1980, it grew even slower,[clarification needed] only 2.6%.[165] David Wilson, a historian, believed that the gas industry would account for 40% of Soviet fuel production by the end of the century. His theory did not come to fruition because of the USSR's collapse.[166] The USSR, in theory, would have continued to have an economic growth rate of 2–2.5% during the 1990s because of Soviet energy fields.[clarification needed][167] However, the energy sector faced many difficulties, among them the country's high military expenditure and hostile relations with the First World.[168]
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In 1991, the Soviet Union had a pipeline network of 82,000 kilometres (51,000 mi) for crude oil and another 206,500 kilometres (128,300 mi) for natural gas.[169] Petroleum and petroleum-based products, natural gas, metals, wood, agricultural products, and a variety of manufactured goods, primarily machinery, arms and military equipment, were exported.[170] In the 1970s and 1980s, the USSR heavily relied on fossil fuel exports to earn hard currency.[151] At its peak in 1988, it was the largest producer and second-largest exporter of crude oil, surpassed only by Saudi Arabia.[171]
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The Soviet Union placed great emphasis on science and technology within its economy,[172] however, the most remarkable Soviet successes in technology, such as producing the world's first space satellite, typically were the responsibility of the military.[153] Lenin believed that the USSR would never overtake the developed world if it remained as technologically backward as it was upon its founding. Soviet authorities proved their commitment to Lenin's belief by developing massive networks, research and development organizations. In the early 1960s, the Soviets awarded 40% of chemistry PhDs to women, compared to only 5% in the United States.[173] By 1989, Soviet scientists were among the world's best-trained specialists in several areas, such as energy physics, selected areas of medicine, mathematics, welding and military technologies. Due to rigid state planning and bureaucracy, the Soviets remained far behind technologically in chemistry, biology, and computers when compared to the First World.
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Under the Reagan administration, Project Socrates determined that the Soviet Union addressed the acquisition of science and technology in a manner that was radically different from what the US was using. In the case of the US, economic prioritization was being used for indigenous research and development as the means to acquire science and technology in both the private and public sectors. In contrast, the USSR was offensively and defensively maneuvering in the acquisition and utilization of the worldwide technology, to increase the competitive advantage that they acquired from the technology while preventing the US from acquiring a competitive advantage. However, technology-based planning was executed in a centralized, government-centric manner that greatly hindered its flexibility. This was exploited by the US to undermine the strength of the Soviet Union and thus foster its reform.[174][175][176]
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Transport was a vital component of the country's economy. The economic centralization of the late 1920s and 1930s led to the development of infrastructure on a massive scale, most notably the establishment of Aeroflot, an aviation enterprise.[177] The country had a wide variety of modes of transport by land, water and air.[169] However, due to inadequate maintenance, much of the road, water and Soviet civil aviation transport were outdated and technologically backward compared to the First World.[178]
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Soviet rail transport was the largest and most intensively used in the world;[178] it was also better developed than most of its Western counterparts.[179] By the late 1970s and early 1980s, Soviet economists were calling for the construction of more roads to alleviate some of the burdens from the railways and to improve the Soviet government budget.[180] The street network and automotive industry[181] remained underdeveloped,[182] and dirt roads were common outside major cities.[183] Soviet maintenance projects proved unable to take care of even the few roads the country had. By the early-to-mid-1980s, the Soviet authorities tried to solve the road problem by ordering the construction of new ones.[183] Meanwhile, the automobile industry was growing at a faster rate than road construction.[184] The underdeveloped road network led to a growing demand for public transport.[185]
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Despite improvements, several aspects of the transport sector were still[when?] riddled with problems due to outdated infrastructure, lack of investment, corruption and bad decision-making. Soviet authorities were unable to meet the growing demand for transport infrastructure and services.
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The Soviet merchant navy was one of the largest in the world.[169]
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Excess deaths throughout World War I and the Russian Civil War (including the postwar famine) amounted to a combined total of 18 million,[186] some 10 million in the 1930s,[45] and more than 26 million in 1941–5. The postwar Soviet population was 45 to 50 million smaller than it would have been if pre-war demographic growth had continued.[52] According to Catherine Merridale, "... reasonable estimate would place the total number of excess deaths for the whole period somewhere around 60 million."[187]
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The birth rate of the USSR decreased from 44.0 per thousand in 1926 to 18.0 in 1974, mainly due to increasing urbanization and the rising average age of marriages. The mortality rate demonstrated a gradual decrease as well – from 23.7 per thousand in 1926 to 8.7 in 1974. In general, the birth rates of the southern republics in Transcaucasia and Central Asia were considerably higher than those in the northern parts of the Soviet Union, and in some cases even increased in the post–World War II period, a phenomenon partly attributed to slower rates of urbanistion and traditionally earlier marriages in the southern republics.[188] Soviet Europe moved towards sub-replacement fertility, while Soviet Central Asia continued to exhibit population growth well above replacement-level fertility.[189]
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The late 1960s and the 1970s witnessed a reversal of the declining trajectory of the rate of mortality in the USSR, and was especially notable among men of working age, but was also prevalent in Russia and other predominantly Slavic areas of the country.[190] An analysis of the official data from the late 1980s showed that after worsening in the late-1970s and the early 1980s, adult mortality began to improve again.[191] The infant mortality rate increased from 24.7 in 1970 to 27.9 in 1974. Some researchers regarded the rise as mostly real, a consequence of worsening health conditions and services.[192] The rises in both adult and infant mortality were not explained or defended by Soviet officials, and the Soviet government stopped publishing all mortality statistics for ten years. Soviet demographers and health specialists remained silent about the mortality increases until the late-1980s, when the publication of mortality data resumed, and researchers could delve into the real causes.[193]
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Under Lenin, the state made explicit commitments to promote the equality of men and women. Many early Russian feminists and ordinary Russian working women actively participated in the Revolution, and many more were affected by the events of that period and the new policies. Beginning in October 1918, the Lenin's government liberalized divorce and abortion laws, decriminalized homosexuality (re-criminalized in the 1930s), permitted cohabitation, and ushered in a host of reforms.[194] However, without birth control, the new system produced many broken marriages, as well as countless out-of-wedlock children.[195] The epidemic of divorces and extramarital affairs created social hardships when Soviet leaders wanted people to concentrate their efforts on growing the economy. Giving women control over their fertility also led to a precipitous decline in the birth rate, perceived as a threat to their country's military power. By 1936, Stalin reversed most of the liberal laws, ushering in a pronatalist era that lasted for decades.[196]
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By 1917, Russia became the first great power to grant women the right to vote.[197] After heavy casualties in World War I and II, women outnumbered men in Russia by a 4:3 ratio.[198] This contributed to the larger role women played in Russian society compared to other great powers at the time.
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Anatoly Lunacharsky became the first People's Commissar for Education of Soviet Russia. In the beginning, the Soviet authorities placed great emphasis on the elimination of illiteracy. All left-handed kids were forced to write with their right hand in the Soviet school system.[199][200][201][202] Literate people were automatically hired as teachers.[citation needed] For a short period, quality was sacrificed for quantity. By 1940, Stalin could announce that illiteracy had been eliminated. Throughout the 1930s, social mobility rose sharply, which has been attributed to reforms in education.[203] In the aftermath of World War II, the country's educational system expanded dramatically, which had a tremendous effect. In the 1960s, nearly all children had access to education, the only exception being those living in remote areas. Nikita Khrushchev tried to make education more accessible, making it clear to children that education was closely linked to the needs of society. Education also became important in giving rise to the New Man.[204] Citizens directly entering the workforce had the constitutional right to a job and to free vocational training.
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The education system was highly centralized and universally accessible to all citizens, with affirmative action for applicants from nations associated with cultural backwardness. However, as part of the general antisemitic policy, an unofficial Jewish quota was applied[when?] in the leading institutions of higher education by subjecting Jewish applicants to harsher entrance examinations.[205][206][207][208] The Brezhnev era also introduced a rule that required all university applicants to present a reference from the local Komsomol party secretary.[209] According to statistics from 1986, the number of higher education students per the population of 10,000 was 181 for the USSR, compared to 517 for the US.[210]
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The Soviet Union was an ethnically diverse country, with more than 100 distinct ethnic groups. The total population was estimated at 293 million in 1991. According to a 1990 estimate, the majority were Russians (50.78%), followed by Ukrainians (15.45%) and Uzbeks (5.84%).[211]
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All citizens of the USSR had their own ethnic affiliation. The ethnicity of a person was chosen at the age of sixteen[212] by the child's parents. If the parents did not agree, the child was automatically assigned the ethnicity of the father. Partly due to Soviet policies, some of the smaller minority ethnic groups were considered part of larger ones, such as the Mingrelians of Georgia, who were classified with the linguistically related Georgians.[213] Some ethnic groups voluntarily assimilated, while others were brought in by force. Russians, Belarusians, and Ukrainians shared close cultural ties, while other groups did not. With multiple nationalities living in the same territory, ethnic antagonisms developed over the years.[214][neutrality is disputed]
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Members of various ethnicities participated in legislative bodies. Organs of power like the Politburo, the Secretariat of the Central Committee etc., were formally ethnically neutral, but in reality, ethnic Russians were overrepresented, although there were also non-Russian leaders in the Soviet leadership, such as Joseph Stalin, Grigory Zinoviev, Nikolai Podgorny or Andrei Gromyko. During the Soviet era, a significant number of ethnic Russians and Ukrainians migrated to other Soviet republics, and many of them settled there. According to the last census in 1989, the Russian "diaspora" in the Soviet republics had reached 25 million.[215]
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Ethnographic map of the Soviet Union, 1941
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Number and share of Ukrainians in the population of the regions of the RSFSR (1926 census)
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Number and share of Ukrainians in the population of the regions of the RSFSR (1979 census)
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In 1917, before the revolution, health conditions were significantly behind those of developed countries. As Lenin later noted, "Either the lice will defeat socialism, or socialism will defeat the lice".[216] The Soviet principle of health care was conceived by the People's Commissariat for Health in 1918. Health care was to be controlled by the state and would be provided to its citizens free of charge, a revolutionary concept at the time. Article 42 of the 1977 Soviet Constitution gave all citizens the right to health protection and free access to any health institutions in the USSR. Before Leonid Brezhnev became General Secretary, the Soviet healthcare system was held in high esteem by many foreign specialists. This changed, however, from Brezhnev's accession and Mikhail Gorbachev's tenure as leader, during which the health care system was heavily criticized for many basic faults, such as the quality of service and the unevenness in its provision.[217] Minister of Health Yevgeniy Chazov, during the 19th Congress of the Communist Party of the Soviet Union, while highlighting such successes as having the most doctors and hospitals in the world, recognized the system's areas for improvement and felt that billions of Soviet rubles were squandered.[218]
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After the revolution, life expectancy for all age groups went up. This statistic in itself was seen by some that the socialist system was superior to the capitalist system. These improvements continued into the 1960s when statistics indicated that the life expectancy briefly surpassed that of the United States. Life expectancy started to decline in the 1970s, possibly because of alcohol abuse. At the same time, infant mortality began to rise. After 1974, the government stopped publishing statistics on the matter. This trend can be partly explained by the number of pregnancies rising drastically in the Asian part of the country where infant mortality was the highest while declining markedly in the more developed European part of the Soviet Union.[219]
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Under Lenin, the government gave small language groups their own writing systems.[220] The development of these writing systems was highly successful, even though some flaws were detected. During the later days of the USSR, countries with the same multilingual situation implemented similar policies. A serious problem when creating these writing systems was that the languages differed dialectally greatly from each other.[221] When a language had been given a writing system and appeared in a notable publication, it would attain "official language" status. There were many minority languages which never received their own writing system; therefore, their speakers were forced to have a second language.[222] There are examples where the government retreated from this policy, most notably under Stalin where education was discontinued in languages that were not widespread. These languages were then assimilated into another language, mostly Russian.[223] During World War II, some minority languages were banned, and their speakers accused of collaborating with the enemy.[224]
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As the most widely spoken of the Soviet Union's many languages, Russian de facto functioned as an official language, as the "language of interethnic communication" (Russian: язык межнационального общения), but only assumed the de jure status as the official national language in 1990.[225]
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Christianity and Islam had the highest number of adherents among the religious citizens.[226] Eastern Christianity predominated among Christians, with Russia's traditional Russian Orthodox Church being the largest Christian denomination. About 90% of the Soviet Union's Muslims were Sunnis, with Shias being concentrated in the Azerbaijan SSR.[226] Smaller groups included Roman Catholics, Jews, Buddhists, and a variety of Protestant denominations (especially Baptists and Lutherans).[226]
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Religious influence had been strong in the Russian Empire. The Russian Orthodox Church enjoyed a privileged status as the church of the monarchy and took part in carrying out official state functions.[227] The immediate period following the establishment of the Soviet state included a struggle against the Orthodox Church, which the revolutionaries considered an ally of the former ruling classes.[228]
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In Soviet law, the "freedom to hold religious services" was constitutionally guaranteed, although the ruling Communist Party regarded religion as incompatible with the Marxist spirit of scientific materialism.[228] In practice, the Soviet system subscribed to a narrow interpretation of this right, and in fact utilized a range of official measures to discourage religion and curb the activities of religious groups.[228]
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The 1918 Council of People's Commissars decree establishing the Russian SFSR as a secular state also decreed that "the teaching of religion in all [places] where subjects of general instruction are taught, is forbidden. Citizens may teach and may be taught religion privately."[229] Among further restrictions, those adopted in 1929 included express prohibitions on a range of church activities, including meetings for organized Bible study.[228] Both Christian and non-Christian establishments were shut down by the thousands in the 1920s and 1930s. By 1940, as many as 90% of the churches, synagogues, and mosques that had been operating in 1917 were closed.[230]
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Under the doctrine of state atheism, there was a "government-sponsored program of forced conversion to atheism" conducted by the Communists.[231][232][233] The regime targeted religions based on state interests, and while most organized religions were never outlawed, religious property was confiscated, believers were harassed, and religion was ridiculed while atheism was propagated in schools.[234] In 1925, the government founded the League of Militant Atheists to intensify the propaganda campaign.[235] Accordingly, although personal expressions of religious faith were not explicitly banned, a strong sense of social stigma was imposed on them by the formal structures and mass media, and it was generally considered unacceptable for members of certain professions (teachers, state bureaucrats, soldiers) to be openly religious. As for the Russian Orthodox Church, Soviet authorities sought to control it and, in times of national crisis, to exploit it for the regime's own purposes; but their ultimate goal was to eliminate it. During the first five years of Soviet power, the Bolsheviks executed 28 Russian Orthodox bishops and over 1,200 Russian Orthodox priests. Many others were imprisoned or exiled. Believers were harassed and persecuted. Most seminaries were closed, and the publication of most religious material was prohibited. By 1941, only 500 churches remained open out of about 54,000 in existence before World War I.
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Convinced that religious anti-Sovietism had become a thing of the past, and with the looming threat of war, the Stalin regime began shifting to a more moderate religion policy in the late 1930s.[236] Soviet religious establishments overwhelmingly rallied to support the war effort during World War II. Amid other accommodations to religious faith after the German invasion, churches were reopened. Radio Moscow began broadcasting a religious hour, and a historic meeting between Stalin and Orthodox Church leader Patriarch Sergius of Moscow was held in 1943. Stalin had the support of the majority of the religious people in the USSR even through the late 1980s.[236] The general tendency of this period was an increase in religious activity among believers of all faiths.[237]
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Under Nikita Khrushchev, the state leadership clashed with the churches in 1958–1964, a period when atheism was emphasized in the educational curriculum, and numerous state publications promoted atheistic views.[236] During this period, the number of churches fell from 20,000 to 10,000 from 1959 to 1965, and the number of synagogues dropped from 500 to 97.[238] The number of working mosques also declined, falling from 1,500 to 500 within a decade.[238]
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Religious institutions remained monitored by the Soviet government, but churches, synagogues, temples, and mosques were all given more leeway in the Brezhnev era.[239] Official relations between the Orthodox Church and the government again warmed to the point that the Brezhnev government twice honored Orthodox Patriarch Alexy I with the Order of the Red Banner of Labour.[240] A poll conducted by Soviet authorities in 1982 recorded 20% of the Soviet population as "active religious believers."[241]
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The culture of the Soviet Union passed through several stages during the USSR's existence. During the first decade following the revolution, there was relative freedom and artists experimented with several different styles to find a distinctive Soviet style of art. Lenin wanted art to be accessible to the Russian people. On the other hand, hundreds of intellectuals, writers, and artists were exiled or executed, and their work banned, such as Nikolay Gumilyov who was shot for alleged conspiring against the Bolshevik regime, and Yevgeny Zamyatin.[242]
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The government encouraged a variety of trends. In art and literature, numerous schools, some traditional and others radically experimental, proliferated. Communist writers Maxim Gorky and Vladimir Mayakovsky were active during this time. As a means of influencing a largely illiterate society, films received encouragement from the state, and much of director Sergei Eisenstein's best work dates from this period.
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During Stalin's rule, the Soviet culture was characterized by the rise and domination of the government-imposed style of socialist realism, with all other trends being severely repressed, with rare exceptions, such as Mikhail Bulgakov's works. Many writers were imprisoned and killed.[243]
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Following the Khrushchev Thaw, censorship was diminished. During this time, a distinctive period of Soviet culture developed, characterized by conformist public life and an intense focus on personal life. Greater experimentation in art forms was again permissible, resulting in the production of more sophisticated and subtly critical work. The regime loosened its emphasis on socialist realism; thus, for instance, many protagonists of the novels of author Yury Trifonov concerned themselves with problems of daily life rather than with building socialism. Underground dissident literature, known as samizdat, developed during this late period. In architecture, the Khrushchev era mostly focused on functional design as opposed to the highly decorated style of Stalin's epoch.
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In the second half of the 1980s, Gorbachev's policies of perestroika and glasnost significantly expanded freedom of expression throughout the country in the media and the press.[244]
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Founded on 20 July 1924 in Moscow, Sovetsky Sport was the first sports newspaper of the Soviet Union.
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The Soviet Olympic Committee formed on 21 April 1951, and the IOC recognized the new body in its 45th session. In the same year, when the Soviet representative Konstantin Andrianov became an IOC member, the USSR officially joined the Olympic Movement. The 1952 Summer Olympics in Helsinki thus became first Olympic Games for Soviet athletes.
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The Soviet Union national ice hockey team won nearly every world championship and Olympic tournament between 1954 and 1991 and never failed to medal in any International Ice Hockey Federation (IIHF) tournament in which they competed.
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The advent[when?] of the state-sponsored "full-time amateur athlete" of the Eastern Bloc countries further eroded the ideology of the pure amateur, as it put the self-financed amateurs of the Western countries at a disadvantage. The Soviet Union entered teams of athletes who were all nominally students, soldiers, or working in a profession – in reality, the state paid many of these competitors to train on a full-time basis.[245] Nevertheless, the IOC held to the traditional rules regarding amateurism.[246]
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A 1989 report by a committee of the Australian Senate claimed that "there is hardly a medal winner at the Moscow Games, certainly not a gold medal winner...who is not on one sort of drug or another: usually several kinds. The Moscow Games might well have been called the Chemists' Games".[247]
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A member of the IOC Medical Commission, Manfred Donike, privately ran additional tests with a new technique for identifying abnormal levels of testosterone by measuring its ratio to epitestosterone in urine. Twenty percent of the specimens he tested, including those from sixteen gold medalists, would have resulted in disciplinary proceedings had the tests been official. The results of Donike's unofficial tests later convinced the IOC to add his new technique to their testing protocols.[248] The first documented case of "blood doping" occurred at the 1980 Summer Olympics when a runner[who?] was transfused with two pints of blood before winning medals in the 5000 m and 10,000 m.[249]
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Documentation obtained in 2016 revealed the Soviet Union's plans for a statewide doping system in track and field in preparation for the 1984 Summer Olympics in Los Angeles. Dated before the decision to boycott the 1984 Games, the document detailed the existing steroids operations of the program, along with suggestions for further enhancements. Dr. Sergei Portugalov of the Institute for Physical Culture prepared the communication, directed to the Soviet Union's head of track and field. Portugalov later became one of the leading figures involved in the implementation of Russian doping before the 2016 Summer Olympics.[250]
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Official Soviet environmental policy has always attached great importance to actions in which human beings actively improve nature. Lenin's quote "Communism is Soviet power and electrification of the country!" in many respects it summarizes the focus on modernization and industrial development. During the first five-year plan in 1928, Stalin proceeded to industrialize the country at all costs. Values such as environmental and nature protection have been completely ignored in the struggle to create a modern industrial society. After Stalin's death, they focused more on environmental issues, but the basic perception of the value of environmental protection remained the same.[251]
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The Soviet media has always focused on the vast expanse of land and the virtually indestructible natural resources. This made it feel that contamination and looting of nature were not a problem. The Soviet state also firmly believed that scientific and technological progress would solve all the problems. Official ideology said that under socialism environmental problems could easily be overcome, unlike capitalist countries, where they seemingly could not be solved. The Soviet authorities had an almost unwavering belief that man could transcend nature. However, when the authorities had to admit that there were environmental problems in the USSR in the 1980s, they explained the problems in such a way that socialism had not yet been fully developed; pollution in socialist society was only a temporary anomaly that would have been resolved if socialism had developed.[citation needed]
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The Chernobyl disaster in 1986 was the first major accident at a civilian nuclear power plant, unparalleled in the world, when a large number of radioactive isotopes were released into the atmosphere. Radioactive doses have scattered relatively far. The main health problem after the accident was 4,000 new cases of thyroid cancer, but this led to a relatively low number of deaths (WHO data, 2005). However, the long-term effects of the accident are unknown. Another major accident is the Kyshtym disaster.[252]
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After the fall of the USSR, it was discovered that the environmental problems were greater than what the Soviet authorities admitted. The Kola Peninsula was one of the places with clear problems. Around the industrial cities of Monchegorsk and Norilsk, where nickel, for example, is mined, all forests have been killed by contamination, while the northern and other parts of Russia have been affected by emissions. During the 1990s, people in the West were also interested in the radioactive hazards of nuclear facilities, decommissioned nuclear submarines, and the processing of nuclear waste or spent nuclear fuel. It was also known in the early 1990s that the USSR had transported radioactive material to the Barents Sea and Kara Sea, which was later confirmed by the Russian parliament. The crash of the K-141 Kursk submarine in 2000 in the west further raised concerns.[253] In the past, there were accidents involving submarines K-19, K-8 or K-129.[citation needed]
|
290 |
+
|
291 |
+
1918–1924 Turkestan3
|
292 |
+
1918–1941 Volga German4
|
293 |
+
1919–1990 Bashkir
|
294 |
+
1920–1925 Kirghiz2
|
295 |
+
1920–1990 Tatar
|
296 |
+
1921–1990 Adjar
|
297 |
+
1921–1945 Crimean
|
298 |
+
1921–1991 Dagestan
|
299 |
+
1921–1924 Mountain
|
300 |
+
|
301 |
+
1921–1990 Nakhchivan
|
302 |
+
1922–1991 Yakut
|
303 |
+
1923–1990 Buryat1
|
304 |
+
1923–1940 Karelian
|
305 |
+
1924–1940 Moldavian
|
306 |
+
1924–1929 Tajik
|
307 |
+
1925–1992 Chuvash
|
308 |
+
1925–1936 Kazak2
|
309 |
+
1926–1936 Kirghiz
|
310 |
+
|
311 |
+
1931–1991 Abkhaz
|
312 |
+
1932–1992 Karakalpak
|
313 |
+
1934–1990 Mordovian
|
314 |
+
1934–1990 Udmurt
|
315 |
+
1935–1943 Kalmyk
|
316 |
+
1936–1944 Checheno-Ingush
|
317 |
+
1936–1944 Kabardino-Balkar
|
318 |
+
1936–1990 Komi
|
319 |
+
1936–1990 Mari
|
320 |
+
|
321 |
+
1936–1990 North Ossetian
|
322 |
+
1944–1957 Kabardin
|
323 |
+
1956–1991 Karelian
|
324 |
+
1957–1990 Checheno-Ingush
|
325 |
+
1957–1991 Kabardino-Balkar
|
326 |
+
1958–1990 Kalmyk
|
327 |
+
1961–1992 Tuva
|
328 |
+
1990–1991 Gorno-Altai
|
329 |
+
1991–1992 Crimean
|
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1 |
+
|
2 |
+
|
3 |
+
|
4 |
+
|
5 |
+
Communism (from Latin communis, 'common, universal')[1][2] is a philosophical, social, political, economic ideology and movement whose ultimate goal is the establishment of a communist society, namely a socioeconomic order structured upon the ideas of common ownership of the means of production and the absence of social classes, money[3][4] and the state.[5][6]
|
6 |
+
|
7 |
+
Communism includes a variety of schools of thought which broadly include Marxism and anarcho-communism as well as the political ideologies grouped around both, all of which share the analysis that the current order of society stems from capitalism, its economic system and mode of production; that in this system there are two major social classes; that conflict between these two classes is the root of all problems in society;[7] and that this situation will ultimately be resolved through a social revolution.
|
8 |
+
|
9 |
+
The two classes are the proletariat (the working class), who make up the majority of the population within society, and who must work to survive; and the bourgeoisie (the capitalist class)—a small minority who derives profit from employing the working class through private ownership of the means of production. According to this analysis, revolution would put the working class in power and in turn establish social ownership of the means of production which is the primary element in the transformation of society towards communism.
|
10 |
+
|
11 |
+
Along with social democracy, communism became the dominant political tendency within the international socialist movement by the 1920s.[8] While the emergence of the Soviet Union as the world's first nominally communist state led to communism's widespread association with the Soviet economic model and Marxism–Leninism,[1][a][9] some economists and intellectuals argued that in practice the model functioned as a form of state capitalism,[10][11][12] or a non-planned administrative or command economy.[13][14]
|
12 |
+
|
13 |
+
Communism derives from the French communisme which developed out of the Latin roots communis and the suffix isme.[15]
|
14 |
+
|
15 |
+
Semantically, communis can be translated to "of or for the community" while isme is a suffix that indicates the abstraction into a state, condition, action, or doctrine. Communism may be interpreted as "the state of being of or for the community". This semantic constitution has led to numerous usages of the word in its evolution. Prior to becoming associated with its more modern conception of an economic and political organization, the term was initially used in designating various social situations. The term ultimately came to be primarily associated with Marxism, most specifically embodied in The Communist Manifesto which proposed a particular type of communism.
|
16 |
+
|
17 |
+
One of the first uses of the word in its modern sense is in a letter sent by Victor d'Hupay to Restif de la Bretonne around 1785, in which d'Hupay describes himself as an auteur communiste ("communist author").[16] Years later, Restif would go on to use the term frequently in his writing and was the first to describe communism as a form of government.[17] John Goodwyn Barmby is credited with the first use of the term in English, around 1840.[15]
|
18 |
+
|
19 |
+
Since the 1840s, communism has usually been distinguished from socialism. The modern definition and usage of the latter would be settled by the 1860s, becoming the predominant term over the words associationist, co-operative and mutualist which had previously been used as synonyms. Instead, communism fell out of use during this period.[18]
|
20 |
+
|
21 |
+
An early distinction between communism and socialism was that the latter aimed to only socialise production, whereas the former aimed to socialise both production and consumption (in the form of free access to final goods).[19] By 1888, Marxists employed socialism in place of communism which had come to be considered an old-fashioned synonym for the former. It was not until 1917, with the Bolshevik Revolution, that socialism came to refer to a distinct stage between capitalism and communism, introduced by Vladimir Lenin as a means to defend the Bolshevik seizure of power against traditional Marxist criticism that Russia's productive forces were not sufficiently developed for socialist revolution.[20] A distinction between communist and socialist as descriptors of political ideologies arose in 1918 after the Russian Social-Democratic Labour Party renamed itself to the All-Russian Communist Party, where communist came to specifically refer to socialists who supported the politics and theories of Bolshevism, Leninism and later in the 1920s of Marxism–Leninism,[21] although communist parties continued to describe themselves as socialists dedicated to socialism.[18]
|
22 |
+
|
23 |
+
Both communism and socialism eventually accorded with the cultural attitude of adherents and opponents towards religion. In Christian Europe, communism was believed to be the atheist way of life. In Protestant England, communism was too culturally and aurally close to the Roman Catholic communion rite, hence English atheists denoted themselves socialists.[22] Friedrich Engels argued that in 1848, at the time when The Communist Manifesto was first published, "socialism was respectable on the continent, while communism was not". The Owenites in England and the Fourierists in France were considered respectable socialists while working-class movements that "proclaimed the necessity of total social change" denoted themselves communists. This latter branch of socialism produced the communist work of Étienne Cabet in France and Wilhelm Weitling in Germany.[23] While democrats looked to the Revolutions of 1848 as a democratic revolution which in the long run ensured liberty, equality and fraternity, Marxists denounced 1848 as a betrayal of working-class ideals by a bourgeoisie indifferent to the legitimate demands of the proletariat.[24]
|
24 |
+
|
25 |
+
According to The Oxford Handbook of Karl Marx, "Marx used many terms to refer to a post-capitalist society—positive humanism, socialism, Communism, realm of free individuality, free association of producers, etc. He used these terms completely interchangeably. The notion that "socialism" and "Communism" are distinct historical stages is alien to his work and only entered the lexicon of Marxism after his death".[25]
|
26 |
+
|
27 |
+
According to Richard Pipes, the idea of a classless, egalitarian society first emerged in Ancient Greece.[26] The 5th-century Mazdak movement in Persia (modern-day Iran) has been described as "communistic" for challenging the enormous privileges of the noble classes and the clergy; for criticizing the institution of private property; and for striving to create an egalitarian society.[27][28] At one time or another, various small communist communities existed, generally under the inspiration of Scripture.[29] In the medieval Christian Church, some monastic communities and religious orders shared their land and their other property.
|
28 |
+
|
29 |
+
Communist thought has also been traced back to the works of the 16th-century English writer Thomas More. In his 1516 treatise Utopia, More portrayed a society based on common ownership of property, whose rulers administered it through the application of reason. In the 17th century, communist thought surfaced again in England, where a Puritan religious group known as the Diggers advocated the abolition of private ownership of land.[30] In his 1895 Cromwell and Communism,[31] Eduard Bernstein argued that several groups during the English Civil War (especially the Diggers) espoused clear communistic, agrarian ideals and that Oliver Cromwell's attitude towards these groups was at best ambivalent and often hostile.[31] Criticism of the idea of private property continued into the Age of Enlightenment of the 18th century through such thinkers as Jean-Jacques Rousseau in France. Following the upheaval of the French Revolution, communism later emerged as a political doctrine.[32]
|
30 |
+
|
31 |
+
In the early 19th century, various social reformers founded communities based on common ownership. Unlike many previous communist communities, they replaced the religious emphasis with a rational and philanthropic basis.[33] Notable among them were Robert Owen, who founded New Harmony, Indiana, in 1825; and Charles Fourier, whose followers organized other settlements in the United States such as Brook Farm in 1841.[1]
|
32 |
+
|
33 |
+
In its modern form, communism grew out of the socialist movement in 19th-century Europe. As the Industrial Revolution advanced, socialist critics blamed capitalism for the misery of the proletariat—a new class of urban factory workers who labored under often-hazardous conditions. Foremost among these critics were Karl Marx and his associate Friedrich Engels. In 1848, Marx and Engels offered a new definition of communism and popularized the term in their famous pamphlet The Communist Manifesto.[1]
|
34 |
+
|
35 |
+
The 1917 October Revolution in Russia set the conditions for the rise to state power of Vladimir Lenin's Bolsheviks which was the first time any avowedly communist party reached that position. The revolution transferred power to the All-Russian Congress of Soviets in which the Bolsheviks had a majority.[34][35][36] The event generated a great deal of practical and theoretical debate within the Marxist movement. Marx predicted that socialism and communism would be built upon foundations laid by the most advanced capitalist development. However, Russia was one of the poorest countries in Europe with an enormous, largely illiterate peasantry and a minority of industrial workers. Marx had explicitly stated that Russia might be able to skip the stage of bourgeois rule.[37]
|
36 |
+
|
37 |
+
The moderate Mensheviks (minority) opposed Lenin's Bolsheviks (majority) plan for socialist revolution before capitalism was more fully developed. The Bolsheviks' successful rise to power was based upon the slogans such as "Peace, bread and land" which tapped into the massive public desire for an end to Russian involvement in World War I, the peasants' demand for land reform and popular support for the soviets.[38] The Soviet Union was established in 1922.
|
38 |
+
|
39 |
+
Following Lenin's democratic centralism, the Leninist parties were organized on a hierarchical basis, with active cells of members as the broad base. They were made up only of elite cadres approved by higher members of the party as being reliable and completely subject to party discipline.[39] In the Moscow Trials, many old Bolsheviks who had played prominent roles during the Russian Revolution of 1917 or in Lenin's Soviet government afterwards, including Lev Kamenev, Grigory Zinoviev, Alexei Rykov and Nikolai Bukharin, were accused, pleaded guilty of conspiracy against the Soviet Union, and were executed.[40]
|
40 |
+
|
41 |
+
Its leading role in World War II saw the emergence of the Soviet Union as an industrialized superpower, with strong influence over Eastern Europe and parts of Asia. The European and Japanese empires were shattered and communist parties played a leading role in many independence movements. Marxist–Leninist governments modeled on the Soviet Union took power with Soviet assistance in Bulgaria, Czechoslovakia, East Germany, Poland, Hungary and Romania. A Marxist–Leninist government was also created under Josip Broz Tito in Yugoslavia, but Tito's independent policies led to the expulsion of Yugoslavia from the Cominform which had replaced the Comintern and Titoism was branded "deviationist". Albania also became an independent Marxist–Leninist state after World War II.[41] Communism was seen as a rival of and a threat to western capitalism for most of the 20th century.[42]
|
42 |
+
|
43 |
+
The Soviet Union was dissolved on December 26, 1991. It was a result of the declaration number 142-Н of the Soviet of the Republics of the Supreme Soviet of the Soviet Union.[43]
|
44 |
+
|
45 |
+
The declaration acknowledged the independence of the former Soviet republics and created the Commonwealth of Independent States, although five of the signatories ratified it much later or did not do it at all. On the previous day, Soviet President Mikhail Gorbachev (the eighth and final leader of the Soviet Union) resigned, declared his office extinct and handed over its powers, including control of the Soviet nuclear missile launching codes, to Russian President Boris Yeltsin. That evening at 7:32, the Soviet flag was lowered from the Kremlin for the last time and replaced with the pre-revolutionary Russian flag.[44]
|
46 |
+
|
47 |
+
Previously from August to December 1991, all the individual republics, including Russia itself, had seceded from the union. The week before the union's formal dissolution, eleven republics signed the Alma-Ata Protocol, formally establishing the Commonwealth of Independent States and declaring that the Soviet Union had ceased to exist.[45][46]
|
48 |
+
|
49 |
+
At present, states controlled by Marxist–Leninist parties under a single-party system include the People's Republic of China, the Republic of Cuba, the Lao People's Democratic Republic and the Socialist Republic of Vietnam. The Democratic People's Republic of Korea currently refers to its leading ideology as Juche which is portrayed as a development of Marxism–Leninism.
|
50 |
+
|
51 |
+
Communist parties, or their descendant parties, remain politically important in several other countries. The South African Communist Party is a partner in the African National Congress-led government. In India as of March 2018[update], communists lead the government of Kerala. In Nepal, communists hold a majority in the parliament.[47] The Communist Party of Brazil was a part of the parliamentary coalition led by the ruling democratic socialist Workers' Party until August 2016.
|
52 |
+
|
53 |
+
The People's Republic of China has reassessed many aspects of the Maoist legacy, and along with Laos, Vietnam and to a lesser degree Cuba, has decentralized state control of the economy in order to stimulate growth. Chinese economic reforms were started in 1978 under the leadership of Deng Xiaoping, and since then China has managed to bring down the poverty rate from 53% in the Mao era to just 6% in 2001.[48] These reforms are sometimes described by outside commentators as a regression to capitalism, but the communist parties describe it as a necessary adjustment to existing realities in the post-Soviet world in order to maximize industrial productive capacity. In these countries, the land is a universal public monopoly administered by the state and so are natural resources and vital industries and services. The public sector is the dominant sector in these economies and the state plays a central role in coordinating economic development.
|
54 |
+
|
55 |
+
Marxism is a method of socioeconomic analysis that frames capitalism through a paradigm of exploitation, analyzes class relations and social conflict using a materialist interpretation of historical development and takes a dialectical view of social transformation. Marxism uses a materialist methodology, referred to by Marx and Engels as the materialist conception of history and now better known as historical materialism, to analyze and critique the development of class society and especially of capitalism as well as the role of class struggles in systemic economic, social and political change. First developed by Karl Marx and Friedrich Engels in the mid-19th century, it has been the foremost ideology of the communist movement. Marxism does not lay out a blueprint of a communist society per se and it merely presents an analysis that concludes the means by which its implementation will be triggered, distinguishing its fundamental characteristics as based on the derivation of real-life conditions. Marxism considers itself to be the embodiment of scientific socialism, but it does not model an ideal society based on the design of intellectuals, whereby communism is seen as a state of affairs to be established based on any intelligent design. Rather, it is a non-idealist attempt at the understanding of material history and society, whereby communism is the expression of a real movement, with parameters that are derived from actual life.[49]
|
56 |
+
|
57 |
+
According to Marxist theory, class conflict arises in capitalist societies due to contradictions between the material interests of the oppressed and exploited proletariat—a class of wage labourers employed to produce goods and services—and the bourgeoisie—the ruling class that owns the means of production and extracts its wealth through appropriation of the surplus product produced by the proletariat in the form of profit. This class struggle that is commonly expressed as the revolt of a society's productive forces against its relations of production, results in a period of short-term crises as the bourgeoisie struggle to manage the intensifying alienation of labor experienced by the proletariat, albeit with varying degrees of class consciousness. In periods of deep crisis, the resistance of the oppressed can culminate in a proletarian revolution which, if victorious, leads to the establishment of socialism—a socioeconomic system based on social ownership of the means of production, distribution based on one's contribution and production organized directly for use. As the productive forces continued to advance, socialism would be transformed into a communist society, i.e. a classless, stateless, humane society based on common ownership and distribution based on one's needs.
|
58 |
+
|
59 |
+
While it originates from the works of Marx and Engels, Marxism has developed into many different branches and schools of thought, with the result that there is now no single definitive Marxist theory.[50] Different Marxian schools place a greater emphasis on certain aspects of classical Marxism while rejecting or modifying other aspects. Many schools of thought have sought to combine Marxian concepts and non-Marxian concepts which has then led to contradictory conclusions.[51] However, there is a movement toward the recognition that historical materialism and dialectical materialism remains the fundamental aspect of all Marxist schools of thought.[52] Marxism–Leninism and its offshoots are the most well-known of these and have been a driving force in international relations during most of the 20th century.[53]
|
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+
|
61 |
+
Classical Marxism is the economic, philosophical and sociological theories expounded by Marx and Engels as contrasted with later developments in Marxism, especially Leninism and Marxism–Leninism.[54] Orthodox Marxism is the body of Marxism thought that emerged after the death of Marx and which became the official philosophy of the socialist movement as represented in the Second International until World War I in 1914. Orthodox Marxism aims to simplify, codify and systematize Marxist method and theory by clarifying the perceived ambiguities and contradictions of classical Marxism. The philosophy of orthodox Marxism includes the understanding that material development (advances in technology in the productive forces) is the primary agent of change in the structure of society and of human social relations and that social systems and their relations (e.g. feudalism, capitalism and so on) become contradictory and inefficient as the productive forces develop, which results in some form of social revolution arising in response to the mounting contradictions. This revolutionary change is the vehicle for fundamental society-wide changes and ultimately leads to the emergence of new economic systems.[55] As a term, orthodox Marxism represents the methods of historical materialism and of dialectical materialism and not the normative aspects inherent to classical Marxism, without implying dogmatic adherence to the results of Marx's investigations.[56]
|
62 |
+
|
63 |
+
At the root of Marxism is historical materialism, the materialist conception of history which holds that the key characteristic of economic systems through history has been the mode of production and that the change between modes of production has been triggered by class struggle. According to this analysis, the Industrial Revolution ushered the world into capitalism as a new mode of production. Before capitalism, certain working classes had ownership of instruments utilized in production. However, because machinery was much more efficient, this property became worthless and the mass majority of workers could only survive by selling their labor to make use of someone else's machinery, thus making someone else profit. Accordingly, capitalism divided the world between two major classes, namely that of the proletariat and the bourgeoisie.[57] These classes are directly antagonistic as the latter possesses private ownership of the means of production, earning profit via the surplus value generated by the proletariat, who have no ownership of the means of production and therefore no option but to sell its labor to the bourgeoisie.
|
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+
|
65 |
+
According to the materialist conception of history, it is through the furtherance of its own material interests that the rising bourgeoisie within feudalism captured power and abolished, of all relations of private property, only the feudal privilege, thereby taking the feudal ruling class out of existence. Such was another key element behind the consolidation of capitalism as the new mode of production, the final expression of class and property relations that has led to a massive expansion of production. It is only in capitalism that private property in itself can be abolished.[58] Similarly, the proletariat would capture political power, abolish bourgeois property through the common ownership of the means of production, therefore abolishing the bourgeoisie, ultimately abolishing the proletariat itself and ushering the world into communism as a new mode of production. In between capitalism and communism, there is the dictatorship of the proletariat, a democratic state where the whole of the public authority is elected and recallable under the basis of universal suffrage.[59] It is the defeat of the bourgeois state, but not yet of the capitalist mode of production and at the same time the only element which places into the realm of possibility moving on from this mode of production.
|
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+
|
67 |
+
Marxian economics and its proponents view capitalism as economically unsustainable and incapable of improving the living standards of the population due to its need to compensate for falling rates of profit by cutting employee's wages, social benefits and pursuing military aggression. The communist system would succeed capitalism as humanity's mode of production through workers' revolution. According to Marxian crisis theory, communism is not an inevitability, but an economic necessity.[60]
|
68 |
+
|
69 |
+
An important concept in Marxism is socialization versus nationalization. Nationalization is state ownership of property whereas socialization is control and management of property by society. Marxism considers the latter as its goal and considers nationalization a tactical issue, as state ownership is still in the realm of the capitalist mode of production. In the words of Friedrich Engels, "the transformation [...] into State-ownership does not do away with the capitalistic nature of the productive forces. [...] State-ownership of the productive forces is not the solution of the conflict, but concealed within it are the technical conditions that form the elements of that solution".[b][61] This has led some Marxist groups and tendencies to label states based on nationalization such as the Soviet Union as state capitalist.[10][11][12][13][14]
|
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+
|
71 |
+
We want to achieve a new and better order of society: in this new and better society there must be neither rich nor poor; all will have to work. Not a handful of rich people, but all the working people must enjoy the fruits of their common labour. Machines and other improvements must serve to ease the work of all and not to enable a few to grow rich at the expense of millions and tens of millions of people. This new and better society is called socialist society. The teachings about this society are called 'socialism'.
|
72 |
+
|
73 |
+
Leninism is the body of political theory, developed by and named after the Russian revolutionary and later-Soviet premier Vladimir Lenin, for the democratic organisation of a revolutionary vanguard party and the achievement of a dictatorship of the proletariat as political prelude to the establishment of socialism. Leninism comprises socialist political and economic theories developed from orthodox Marxism as well as Lenin's interpretations of Marxist theory for practical application to the socio-political conditions of the agrarian, early-20th-century Russian Empire.
|
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+
|
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+
Leninism was composed for revolutionary praxis and originally was neither a rigorously proper philosophy nor a discrete political theory. After the Russian Revolution and in History and Class Consciousness: Studies in Marxist Dialectics (1923), György Lukács developed and organised Lenin's pragmatic revolutionary practices and ideology into the formal philosophy of vanguard-party revolution. As a political-science term, Leninism entered common usage in 1922 after infirmity ended Lenin's participation in governing the Russian Communist Party. At the Fifth Congress of the Communist International in July 1924, Grigory Zinoviev popularized the term Leninism to denote "vanguard-party revolution".
|
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+
|
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+
Within Leninism, democratic centralism is a practice in which political decisions reached by voting processes are binding upon all members of the communist party. The party's political vanguard is composed of professional revolutionaries that elect leaders and officers as well as to determine policy through free discussion, then this is decisively realized through united action. In the context of the theory of Leninist revolutionary struggle, vanguardism is a strategy whereby the most class-conscious and politically advanced sections of the proletariat or working class, described as the revolutionary vanguard, form organizations in order to draw larger sections of the working class towards revolutionary politics and serve as manifestations of proletarian political power against its class enemies.
|
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+
|
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+
From 1917 to 1922, Leninism was the Russian application of Marxian economics and political philosophy, effected and realised by the Bolsheviks, the vanguard party who led the fight for the political independence of the working class. In the 1925–1929 period, Joseph Stalin established his interpretation of Leninism as the official and only legitimate form of Marxism in Russia by amalgamating the political philosophies as Marxism–Leninism which then became the state ideology of the Soviet Union.
|
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|
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+
Marxism–Leninism is a political ideology developed by Joseph Stalin.[63] According to its proponents, it is based in Marxism and Leninism. It describes the specific political ideology which Stalin implemented in the Communist Party of the Soviet Union and in a global scale in the Comintern. There is no definite agreement between historians of about whether Stalin actually followed the principles of Marx and Lenin.[64] It also contains aspects which according to some are deviations from Marxism such as socialism in one country.[65][66]
|
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|
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+
Social fascism was a theory supported by the Comintern and affiliated communist parties during the early 1930s which held that social democracy was a variant of fascism because it stood in the way of a dictatorship of the proletariat, in addition to a shared corporatist economic model.[67] At the time, leaders of the Comintern such as Stalin and Rajani Palme Dutt argued that capitalist society had entered the Third Period in which a working-class revolution was imminent, but it could be prevented by social democrats and other fascist forces.[67][68] The term social fascist was used pejoratively to describe social-democratic parties, anti-Comintern and progressive socialist parties and dissenters within Comintern affiliates throughout the interwar period. The social fascism theory was advocated vociferously by the Communist Party of Germany which was largely controlled and funded by the Soviet leadership from 1928.[68]
|
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During the Cold War, Marxism–Leninism was the ideology of the most clearly visible communist movement and is the most prominent ideology associated with communism.[53] According to their proponents, Marxist–Leninist ideologies have been adapted to the material conditions of their respective countries and include Castroism (Cuba), Ceaușism (Romania), Gonzalo Thought (Peru), Guevarism (Cuba), Ho Chi Minh Thought (Vietnam), Hoxhaism (anti-revisionist Albania), Husakism (Czechoslovakia), Juche (North Korea), Kadarism (Hungary), Khmer Rouge (Cambodia), Khrushchevism (Soviet Union), Prachanda Path (Nepal), Shining Path (Peru) and Titoism (anti-Stalinist Yugoslavia).
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Within Marxism–Leninism, anti-revisionism is a position which emerged in the 1950s in opposition to the reforms of Soviet leader Nikita Khrushchev. Where Khrushchev pursued an interpretation that differed from Stalin, the anti-revisionists within the international communist movement remained dedicated to Stalin's ideological legacy and criticized the Soviet Union under Khrushchev and his successors as state capitalist and social imperialist due to its hopes of achieving peace with the United States. The term Stalinism is also used to describe these positions, but it is often not used by its supporters who opine that Stalin simply synthesized and practiced orthodox Marxism and Leninism. Because different political trends trace the historical roots of revisionism to different eras and leaders, there is significant disagreement today as to what constitutes anti-revisionism. Modern groups which describe themselves as anti-revisionist fall into several categories. Some uphold the works of Stalin and Mao Zedong and some the works of Stalin while rejecting Mao and universally tend to oppose Trotskyism. Others reject both Stalin and Mao, tracing their ideological roots back to Marx and Lenin. In addition, other groups uphold various less-well-known historical leaders such as Enver Hoxha, who also broke with Mao during the Sino-Albanian split.
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Within Marxism–Leninism, social imperialism was a term used by Mao to criticize the Soviet Union post-Stalin. Mao argued that the Soviet Union had itself become an imperialist power while maintaining a socialist façade.[69] Hoxha agreed with Mao in this analysis, before later using the expression to also condemn Mao's Three Worlds Theory.[70]
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Stalinism represents Stalin's style of governance as opposed to Marxism–Leninism, the socioeconomic system and political ideology implemented by Stalin in the Soviet Union and later copied by other states based on the Soviet model such as central planning, nationalization and one-party state, along with public ownership of the means of production, accelerated industrialization, pro-active development of society's productive forces (research and development) and nationalised natural resources. Marxism–Leninism remained after de-Stalinization whereas Stalinism did not. In the last letters before his death, Lenin warned against the danger of Stalin's personality and urged the Soviet government to replace him.[71]
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Marxism–Leninism has been criticized by other communist and Marxist tendencies. They argue that Marxist–Leninist states did not establish socialism, but rather state capitalism.[10][11][12][13][14] According to Marxism, the dictatorship of the proletariat represents the rule of the majority (democracy) rather than of one party, to the extent that co-founder of Marxism Friedrich Engels described its "specific form" as the democratic republic.[72] Additionally, according to Engels state property by itself is private property of capitalist nature[b] unless the proletariat has control of political power, in which case it forms public property.[c][61] Whether the proletariat was actually in control of the Marxist–Leninist states is a matter of debate between Marxism–Leninism and other communist tendencies. To these tendencies, Marxism–Leninism is neither Marxism nor Leninism nor the union of both, but rather an artificial term created to justify Stalin's ideological distortion,[73] forced into the Communist Party of the Soviet Union and the Comintern. In the Soviet Union, this struggle against Marxism–Leninism was represented by Trotskyism which describes itself as a Marxist and Leninist tendency.
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Maoism is the theory derived from the teachings of the Chinese political leader Mao Zedong. Developed from the 1950s until the Deng Xiaoping Chinese economic reform in the 1970s, it was widely applied as the guiding political and military ideology of the Communist Party of China and as the theory guiding revolutionary movements around the world. A key difference between Maoism and other forms of Marxism–Leninism is that peasants should be the bulwark of the revolutionary energy which is led by the working class.[74]
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The synthesis of Marxism–Leninism–Maoism which builds upon the two individual theories as the Chinese adaption of Marxism–Leninism did not occur during the life of Mao. After de-Stalinization, Marxism–Leninism was kept in the Soviet Union while certain anti-revisionist tendencies such as Hoxhaism and Maoism argued that such had deviated from its original concept. Different policies were applied in Albania and China which became more distanced from the Soviet Union. From the 1960s, groups who called themselves Maoists, or those who upheld Maoism, were not unified around a common understanding of Maoism, instead having their own particular interpretations of the political, philosophical, economical and military works of Mao. Its adherents claims that as a unified, coherent higher stage of Marxism, it was not consolidated until the 1980s, first being formalized by the Peruvian communist party Shining Path in 1982.[75] Through the experience of the people's war waged by the party, the Shining Path were able to posit Maoism as the newest development of Marxism.[75]
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Proponents of Marxism–Leninism–Maoism refer to the theory as Maoism itself whereas Maoism is referred to as either Mao Zedong Thought or Marxism–Leninism–Mao Zedong Thought. Maoism–Third Worldism is concerned with the infusion and synthesis of Marxism–Leninism–Maoism with concepts of non-Marxist Third-Worldism such dependency theory and world-systems theory.
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Trotskyism, developed by Leon Trotsky in opposition to Stalinism, is a Marxist and Leninist tendency that supports the theory of permanent revolution and world revolution rather than the two-stage theory and Joseph Stalin's socialism in one country. It supported proletarian internationalism and another communist revolution in the Soviet Union. Rather than represeting the dictatorship of the proletariat, Trotsky claimed that the Soviet Union had become a degenerated workers' state under the leadership of Stalin in which class relations had re-emerged in a new form. Trotsky's politics differed sharply from those of Stalin and Mao Zedong, most importantly in declaring the need for an international proletarian revolution—rather than socialism in one country—and support for a true dictatorship of the proletariat based on democratic principles.
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Struggling against Stalin for power in the Soviet Union, Trotsky and his supporters organized into the Left Opposition, the platform of which became known as Trotskyism. Stalin eventually succeeded in gaining control of the Soviet regime and Trotskyist attempts to remove Stalin from power resulted in Trotsky's exile from the Soviet Union in 1929. While in exile, Trotsky continued his campaign against Stalin, founding in 1938 the Fourth International, a Trotskyist rival to the Comintern. In August 1940, Trotsky was assassinated in Mexico City upon Stalin's orders. Trotskyist currents include orthodox Trotskyism, third camp, Posadism, Pabloism and neo-Trotskyism.
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In Trotskyist political theory, a degenerated workers' state is a dictatorship of the proletariat in which the working class's democratic control over the state has given way to control by a bureaucratic clique. The term was developed by Trotsky in The Revolution Betrayed and in other works. Deformed workers' states are states where the capitalist class has been overthrown, the economy is largely state-owned and planned, but there is no internal democracy or workers' control of industry. In a deformed workers' state, the working class has never held political power like it did in Russia shortly after the Bolshevik Revolution. These states are considered deformed because their political and economic structures have been imposed from the top (or from outside) and because revolutionary working class organizations are crushed. Like a degenerated workers' state, a deformed workers' state cannot be said to be a state that is transitioning to socialism. Most Trotskyists cite examples of deformed workers' states today as including Cuba, the People's Republic of China, North Korea and Vietnam. The Committee for a Workers' International has also included states such as Burma and Syria at times when they have had a nationalized economy.
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Eurocommunism was a revisionist trend in the 1970s and 1980s within various Western European communist parties, claiming to develop a theory and practice of social transformation more relevant to their region. Especially prominent in France, Italy and Spain, communists of this nature sought to undermine the influence of the Soviet Union and its communist party during the Cold War.[76]
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Libertarian Marxism is a broad range of economic and political philosophies that emphasize the anti-authoritarian aspects of Marxism. Early currents of libertarian Marxism, known as left communism,[77] emerged in opposition to Marxism–Leninism[78] and its derivatives such as Stalinism, Trotskyism and Maoism.[79]
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Libertarian Marxism is also critical of reformist positions such as those held by social democrats.[80] Libertarian Marxist currents often draw from Marx and Engels' later works, specifically the Grundrisse and The Civil War in France,[81] emphasizing the Marxist belief in the ability of the working class to forge its own destiny without the need for a revolutionary party or state to mediate or aid its liberation.[82] Along with anarchism, libertarian Marxism is one of the main derivatives of libertarian socialism.[83]
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Aside from left communism, libertarian Marxism includes such currents as autonomism, communization, council communism, De Leonism, the Johnson–Forest Tendency, Lettrism, Luxemburgism Situationism, Socialisme ou Barbarie, Solidarity, the World Socialist Movement, workerism as well as parts of Freudo-Marxism and the New Left.[84] Moreover, libertarian Marxism has often had a strong influence on both post-left and social anarchists. Notable theorists of libertarian Marxism have included Antonie Pannekoek, Raya Dunayevskaya, C. L. R. James, Antonio Negri, Cornelius Castoriadis, Maurice Brinton, Guy Debord, Daniel Guérin, Ernesto Screpanti, Raoul Vaneigem and Yanis Varoufakis,[85] who claims that Marx himself was a libertarian Marxist.[86]
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Council communism is a movement originating in Germany and the Netherlands in the 1920s, whose primary organization was the Communist Workers Party of Germany. Council communism continues today as a theoretical and activist position within both libertarian Marxism and libertarian socialism.
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The core principle of council communism is that the government and the economy should be managed by Workers' councils which are composed of delegates elected at workplaces and recallable at any moment. As such, council communists oppose state-run authoritarian state socialism and state capitalism. They also oppose the idea of a revolutionary party since council communists believe that a revolution led by a party will necessarily produce a party dictatorship. Council communists support a workers' democracy, produced through a federation of workers' councils.
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Accordingly, the central argument of council communism in contrast to those of social democracy and Leninist communism is that democratic workers' councils arising in the factories and municipalities are the natural form of working-class organization and governmental power. This view is opposed to both the reformist and the Leninism ideologies which respectively stress parliamentary and institutional government by applying social reforms on the one hand and vanguard parties and participative democratic centralism on the other.
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Left communism is the range of communist viewpoints held by the communist left which criticizes the political ideas and practices espoused, particularly following the series of revolutions that brought World War to an end by Bolsheviks and social democrats. Left communists assert positions which they regard as more authentically Marxist and proletarian than the views of Marxism–Leninism espoused by the Communist International after its first congress (March 1919) and during its second congress (July–August 1920).[87]
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Left communists represent a range of political movements distinct from Marxist–Leninists, whom they largely view as merely the left-wing of capital; from anarcho-communists, some of whom they consider to be internationalist socialists; and from various other revolutionary socialist tendencies such as De Leonists, whom they tend to see as being internationalist socialists only in limited instances.[88]
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Bordigism is a Leninist left-communist current named after Amadeo Bordiga, who did consider himself a Leninist and has been described as being "more Leninist than Lenin".[89]
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The dominant forms of communism are based on Marxism, but non-Marxist versions of communism such as Christian communism and anarcho-communism also exist.
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Anarcho-communism is a libertarian theory of anarchism and communism which advocates the abolition of the state, private property and capitalism in favor of common ownership of the means of production;[90][91] direct democracy; and a horizontal network of voluntary associations and workers' councils with production and consumption based on the guiding principle "From each according to his ability, to each according to his need".[92][93]
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Anarcho-communism differs from Marxism in that it rejects its view about the need for a state socialism phase prior to establishing communism. Peter Kropotkin, the main theorist of anarcho-communism, argued that a revolutionary society should "transform itself immediately into a communist society", that it should go immediately into what Marx had regarded as the "more advanced, completed, phase of communism".[94] In this way, it tries to avoid the reappearance of "class divisions and the need for a state to oversee everything".[94]
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Some forms of anarcho-communism such as insurrectionary anarchism are egoist and strongly influenced by radical individualism,[95][96][97] believing that anarchist communism does not require a communitarian nature at all. Most anarcho-communists view anarchist communism as a way of reconciling the opposition between the individual and society.[d][98][99] In human history to date, the best-known examples of an anarcho-communist society, i.e. established around the ideas as they exist today and that received worldwide attention and knowledge in the historical canon, are the anarchist territories during the Free Territory during the Russian Revolution, the Korean People's Association in Manchuria and the Spanish Revolution of 1936.
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During the Russian Civil War, anarchists such as Nestor Makhno worked through the Revolutionary Insurrectionary Army of Ukraine to create and defend anarcho-communism in the Free Territory of the Ukraine from 1919 before being conquered by the Bolsheviks in 1921. In 1929, anarcho-communism was achieved in Korea by the Korean Anarchist Federation in Manchuria (KAFM) and the Korean Anarcho-Communist Federation (KACF), with help from anarchist general and independence activist Kim Chwa-chin, lasting until 1931, when Imperial Japan assassinated Kim and invaded from the south while the Chinese Nationalists invaded from the north, resulting in the creation of Manchukuo, a puppet state of the Empire of Japan. Through the efforts and influence of the Spanish anarchists during the Spanish Revolution within the Spanish Civil War, starting in 1936 anarcho-communism existed in most of Aragon; parts of the Levante and Andalusia; and in the stronghold of Revolutionary Catalonia, before being brutally crushed.
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Christian communism is a form of religious communism based on Christianity. It is a theological and political theory based upon the view that the teachings of Jesus Christ compel Christians to support communism as the ideal social system. Although there is no universal agreement on the exact date when Christian communism was founded, many Christian communists assert that evidence from the Bible suggests that the first Christians, including the Apostles, established their own small communist society in the years following Jesus' death and resurrection. Many advocates of Christian communism argue that it was taught by Jesus and practiced by the Apostles themselves.
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Christian communism can be seen as a radical form of Christian socialism. Christian communists may or may not agree with various aspects of Marxism. They do not agree with the atheist and anti-religious views held by secular Marxists, but they do agree with many of the economic and existential aspects of Marxist theory, such as the idea that capitalism exploits the working class by extracting surplus value from the workers in the form of profits and the idea that wage labor is a tool of human alienation that promotes arbitrary and unjust authority. Christian communism holds that capitalism encourages the negative aspects of humans, supplanting values such as mercy, kindness, justice and compassion in favor of greed, selfishness and blind ambition.
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Criticism of communism can be divided into two broad categories, namely that which concerns itself with the practical aspects of 20th century communist states;[100] and that which concerns itself with communist principles and theory.[101]
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Marxism is also subject to general criticism such as that historical materialism is a type of historical determinism;[dubious – discuss] that it requires necessary suppression of liberal democratic rights; that there are issues with the implementation of communism; and that there are economic issues such as the distortion or absence of price signals. In addition, empirical and epistemological problems are frequently cited.[102][103][104]
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Communism (from Latin communis, 'common, universal')[1][2] is a philosophical, social, political, economic ideology and movement whose ultimate goal is the establishment of a communist society, namely a socioeconomic order structured upon the ideas of common ownership of the means of production and the absence of social classes, money[3][4] and the state.[5][6]
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Communism includes a variety of schools of thought which broadly include Marxism and anarcho-communism as well as the political ideologies grouped around both, all of which share the analysis that the current order of society stems from capitalism, its economic system and mode of production; that in this system there are two major social classes; that conflict between these two classes is the root of all problems in society;[7] and that this situation will ultimately be resolved through a social revolution.
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The two classes are the proletariat (the working class), who make up the majority of the population within society, and who must work to survive; and the bourgeoisie (the capitalist class)—a small minority who derives profit from employing the working class through private ownership of the means of production. According to this analysis, revolution would put the working class in power and in turn establish social ownership of the means of production which is the primary element in the transformation of society towards communism.
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Along with social democracy, communism became the dominant political tendency within the international socialist movement by the 1920s.[8] While the emergence of the Soviet Union as the world's first nominally communist state led to communism's widespread association with the Soviet economic model and Marxism–Leninism,[1][a][9] some economists and intellectuals argued that in practice the model functioned as a form of state capitalism,[10][11][12] or a non-planned administrative or command economy.[13][14]
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Communism derives from the French communisme which developed out of the Latin roots communis and the suffix isme.[15]
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Semantically, communis can be translated to "of or for the community" while isme is a suffix that indicates the abstraction into a state, condition, action, or doctrine. Communism may be interpreted as "the state of being of or for the community". This semantic constitution has led to numerous usages of the word in its evolution. Prior to becoming associated with its more modern conception of an economic and political organization, the term was initially used in designating various social situations. The term ultimately came to be primarily associated with Marxism, most specifically embodied in The Communist Manifesto which proposed a particular type of communism.
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One of the first uses of the word in its modern sense is in a letter sent by Victor d'Hupay to Restif de la Bretonne around 1785, in which d'Hupay describes himself as an auteur communiste ("communist author").[16] Years later, Restif would go on to use the term frequently in his writing and was the first to describe communism as a form of government.[17] John Goodwyn Barmby is credited with the first use of the term in English, around 1840.[15]
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Since the 1840s, communism has usually been distinguished from socialism. The modern definition and usage of the latter would be settled by the 1860s, becoming the predominant term over the words associationist, co-operative and mutualist which had previously been used as synonyms. Instead, communism fell out of use during this period.[18]
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An early distinction between communism and socialism was that the latter aimed to only socialise production, whereas the former aimed to socialise both production and consumption (in the form of free access to final goods).[19] By 1888, Marxists employed socialism in place of communism which had come to be considered an old-fashioned synonym for the former. It was not until 1917, with the Bolshevik Revolution, that socialism came to refer to a distinct stage between capitalism and communism, introduced by Vladimir Lenin as a means to defend the Bolshevik seizure of power against traditional Marxist criticism that Russia's productive forces were not sufficiently developed for socialist revolution.[20] A distinction between communist and socialist as descriptors of political ideologies arose in 1918 after the Russian Social-Democratic Labour Party renamed itself to the All-Russian Communist Party, where communist came to specifically refer to socialists who supported the politics and theories of Bolshevism, Leninism and later in the 1920s of Marxism–Leninism,[21] although communist parties continued to describe themselves as socialists dedicated to socialism.[18]
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Both communism and socialism eventually accorded with the cultural attitude of adherents and opponents towards religion. In Christian Europe, communism was believed to be the atheist way of life. In Protestant England, communism was too culturally and aurally close to the Roman Catholic communion rite, hence English atheists denoted themselves socialists.[22] Friedrich Engels argued that in 1848, at the time when The Communist Manifesto was first published, "socialism was respectable on the continent, while communism was not". The Owenites in England and the Fourierists in France were considered respectable socialists while working-class movements that "proclaimed the necessity of total social change" denoted themselves communists. This latter branch of socialism produced the communist work of Étienne Cabet in France and Wilhelm Weitling in Germany.[23] While democrats looked to the Revolutions of 1848 as a democratic revolution which in the long run ensured liberty, equality and fraternity, Marxists denounced 1848 as a betrayal of working-class ideals by a bourgeoisie indifferent to the legitimate demands of the proletariat.[24]
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According to The Oxford Handbook of Karl Marx, "Marx used many terms to refer to a post-capitalist society—positive humanism, socialism, Communism, realm of free individuality, free association of producers, etc. He used these terms completely interchangeably. The notion that "socialism" and "Communism" are distinct historical stages is alien to his work and only entered the lexicon of Marxism after his death".[25]
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According to Richard Pipes, the idea of a classless, egalitarian society first emerged in Ancient Greece.[26] The 5th-century Mazdak movement in Persia (modern-day Iran) has been described as "communistic" for challenging the enormous privileges of the noble classes and the clergy; for criticizing the institution of private property; and for striving to create an egalitarian society.[27][28] At one time or another, various small communist communities existed, generally under the inspiration of Scripture.[29] In the medieval Christian Church, some monastic communities and religious orders shared their land and their other property.
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Communist thought has also been traced back to the works of the 16th-century English writer Thomas More. In his 1516 treatise Utopia, More portrayed a society based on common ownership of property, whose rulers administered it through the application of reason. In the 17th century, communist thought surfaced again in England, where a Puritan religious group known as the Diggers advocated the abolition of private ownership of land.[30] In his 1895 Cromwell and Communism,[31] Eduard Bernstein argued that several groups during the English Civil War (especially the Diggers) espoused clear communistic, agrarian ideals and that Oliver Cromwell's attitude towards these groups was at best ambivalent and often hostile.[31] Criticism of the idea of private property continued into the Age of Enlightenment of the 18th century through such thinkers as Jean-Jacques Rousseau in France. Following the upheaval of the French Revolution, communism later emerged as a political doctrine.[32]
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In the early 19th century, various social reformers founded communities based on common ownership. Unlike many previous communist communities, they replaced the religious emphasis with a rational and philanthropic basis.[33] Notable among them were Robert Owen, who founded New Harmony, Indiana, in 1825; and Charles Fourier, whose followers organized other settlements in the United States such as Brook Farm in 1841.[1]
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In its modern form, communism grew out of the socialist movement in 19th-century Europe. As the Industrial Revolution advanced, socialist critics blamed capitalism for the misery of the proletariat—a new class of urban factory workers who labored under often-hazardous conditions. Foremost among these critics were Karl Marx and his associate Friedrich Engels. In 1848, Marx and Engels offered a new definition of communism and popularized the term in their famous pamphlet The Communist Manifesto.[1]
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The 1917 October Revolution in Russia set the conditions for the rise to state power of Vladimir Lenin's Bolsheviks which was the first time any avowedly communist party reached that position. The revolution transferred power to the All-Russian Congress of Soviets in which the Bolsheviks had a majority.[34][35][36] The event generated a great deal of practical and theoretical debate within the Marxist movement. Marx predicted that socialism and communism would be built upon foundations laid by the most advanced capitalist development. However, Russia was one of the poorest countries in Europe with an enormous, largely illiterate peasantry and a minority of industrial workers. Marx had explicitly stated that Russia might be able to skip the stage of bourgeois rule.[37]
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The moderate Mensheviks (minority) opposed Lenin's Bolsheviks (majority) plan for socialist revolution before capitalism was more fully developed. The Bolsheviks' successful rise to power was based upon the slogans such as "Peace, bread and land" which tapped into the massive public desire for an end to Russian involvement in World War I, the peasants' demand for land reform and popular support for the soviets.[38] The Soviet Union was established in 1922.
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Following Lenin's democratic centralism, the Leninist parties were organized on a hierarchical basis, with active cells of members as the broad base. They were made up only of elite cadres approved by higher members of the party as being reliable and completely subject to party discipline.[39] In the Moscow Trials, many old Bolsheviks who had played prominent roles during the Russian Revolution of 1917 or in Lenin's Soviet government afterwards, including Lev Kamenev, Grigory Zinoviev, Alexei Rykov and Nikolai Bukharin, were accused, pleaded guilty of conspiracy against the Soviet Union, and were executed.[40]
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Its leading role in World War II saw the emergence of the Soviet Union as an industrialized superpower, with strong influence over Eastern Europe and parts of Asia. The European and Japanese empires were shattered and communist parties played a leading role in many independence movements. Marxist–Leninist governments modeled on the Soviet Union took power with Soviet assistance in Bulgaria, Czechoslovakia, East Germany, Poland, Hungary and Romania. A Marxist–Leninist government was also created under Josip Broz Tito in Yugoslavia, but Tito's independent policies led to the expulsion of Yugoslavia from the Cominform which had replaced the Comintern and Titoism was branded "deviationist". Albania also became an independent Marxist–Leninist state after World War II.[41] Communism was seen as a rival of and a threat to western capitalism for most of the 20th century.[42]
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The Soviet Union was dissolved on December 26, 1991. It was a result of the declaration number 142-Н of the Soviet of the Republics of the Supreme Soviet of the Soviet Union.[43]
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The declaration acknowledged the independence of the former Soviet republics and created the Commonwealth of Independent States, although five of the signatories ratified it much later or did not do it at all. On the previous day, Soviet President Mikhail Gorbachev (the eighth and final leader of the Soviet Union) resigned, declared his office extinct and handed over its powers, including control of the Soviet nuclear missile launching codes, to Russian President Boris Yeltsin. That evening at 7:32, the Soviet flag was lowered from the Kremlin for the last time and replaced with the pre-revolutionary Russian flag.[44]
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Previously from August to December 1991, all the individual republics, including Russia itself, had seceded from the union. The week before the union's formal dissolution, eleven republics signed the Alma-Ata Protocol, formally establishing the Commonwealth of Independent States and declaring that the Soviet Union had ceased to exist.[45][46]
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At present, states controlled by Marxist–Leninist parties under a single-party system include the People's Republic of China, the Republic of Cuba, the Lao People's Democratic Republic and the Socialist Republic of Vietnam. The Democratic People's Republic of Korea currently refers to its leading ideology as Juche which is portrayed as a development of Marxism–Leninism.
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Communist parties, or their descendant parties, remain politically important in several other countries. The South African Communist Party is a partner in the African National Congress-led government. In India as of March 2018[update], communists lead the government of Kerala. In Nepal, communists hold a majority in the parliament.[47] The Communist Party of Brazil was a part of the parliamentary coalition led by the ruling democratic socialist Workers' Party until August 2016.
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The People's Republic of China has reassessed many aspects of the Maoist legacy, and along with Laos, Vietnam and to a lesser degree Cuba, has decentralized state control of the economy in order to stimulate growth. Chinese economic reforms were started in 1978 under the leadership of Deng Xiaoping, and since then China has managed to bring down the poverty rate from 53% in the Mao era to just 6% in 2001.[48] These reforms are sometimes described by outside commentators as a regression to capitalism, but the communist parties describe it as a necessary adjustment to existing realities in the post-Soviet world in order to maximize industrial productive capacity. In these countries, the land is a universal public monopoly administered by the state and so are natural resources and vital industries and services. The public sector is the dominant sector in these economies and the state plays a central role in coordinating economic development.
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Marxism is a method of socioeconomic analysis that frames capitalism through a paradigm of exploitation, analyzes class relations and social conflict using a materialist interpretation of historical development and takes a dialectical view of social transformation. Marxism uses a materialist methodology, referred to by Marx and Engels as the materialist conception of history and now better known as historical materialism, to analyze and critique the development of class society and especially of capitalism as well as the role of class struggles in systemic economic, social and political change. First developed by Karl Marx and Friedrich Engels in the mid-19th century, it has been the foremost ideology of the communist movement. Marxism does not lay out a blueprint of a communist society per se and it merely presents an analysis that concludes the means by which its implementation will be triggered, distinguishing its fundamental characteristics as based on the derivation of real-life conditions. Marxism considers itself to be the embodiment of scientific socialism, but it does not model an ideal society based on the design of intellectuals, whereby communism is seen as a state of affairs to be established based on any intelligent design. Rather, it is a non-idealist attempt at the understanding of material history and society, whereby communism is the expression of a real movement, with parameters that are derived from actual life.[49]
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According to Marxist theory, class conflict arises in capitalist societies due to contradictions between the material interests of the oppressed and exploited proletariat—a class of wage labourers employed to produce goods and services—and the bourgeoisie—the ruling class that owns the means of production and extracts its wealth through appropriation of the surplus product produced by the proletariat in the form of profit. This class struggle that is commonly expressed as the revolt of a society's productive forces against its relations of production, results in a period of short-term crises as the bourgeoisie struggle to manage the intensifying alienation of labor experienced by the proletariat, albeit with varying degrees of class consciousness. In periods of deep crisis, the resistance of the oppressed can culminate in a proletarian revolution which, if victorious, leads to the establishment of socialism—a socioeconomic system based on social ownership of the means of production, distribution based on one's contribution and production organized directly for use. As the productive forces continued to advance, socialism would be transformed into a communist society, i.e. a classless, stateless, humane society based on common ownership and distribution based on one's needs.
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While it originates from the works of Marx and Engels, Marxism has developed into many different branches and schools of thought, with the result that there is now no single definitive Marxist theory.[50] Different Marxian schools place a greater emphasis on certain aspects of classical Marxism while rejecting or modifying other aspects. Many schools of thought have sought to combine Marxian concepts and non-Marxian concepts which has then led to contradictory conclusions.[51] However, there is a movement toward the recognition that historical materialism and dialectical materialism remains the fundamental aspect of all Marxist schools of thought.[52] Marxism–Leninism and its offshoots are the most well-known of these and have been a driving force in international relations during most of the 20th century.[53]
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Classical Marxism is the economic, philosophical and sociological theories expounded by Marx and Engels as contrasted with later developments in Marxism, especially Leninism and Marxism–Leninism.[54] Orthodox Marxism is the body of Marxism thought that emerged after the death of Marx and which became the official philosophy of the socialist movement as represented in the Second International until World War I in 1914. Orthodox Marxism aims to simplify, codify and systematize Marxist method and theory by clarifying the perceived ambiguities and contradictions of classical Marxism. The philosophy of orthodox Marxism includes the understanding that material development (advances in technology in the productive forces) is the primary agent of change in the structure of society and of human social relations and that social systems and their relations (e.g. feudalism, capitalism and so on) become contradictory and inefficient as the productive forces develop, which results in some form of social revolution arising in response to the mounting contradictions. This revolutionary change is the vehicle for fundamental society-wide changes and ultimately leads to the emergence of new economic systems.[55] As a term, orthodox Marxism represents the methods of historical materialism and of dialectical materialism and not the normative aspects inherent to classical Marxism, without implying dogmatic adherence to the results of Marx's investigations.[56]
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At the root of Marxism is historical materialism, the materialist conception of history which holds that the key characteristic of economic systems through history has been the mode of production and that the change between modes of production has been triggered by class struggle. According to this analysis, the Industrial Revolution ushered the world into capitalism as a new mode of production. Before capitalism, certain working classes had ownership of instruments utilized in production. However, because machinery was much more efficient, this property became worthless and the mass majority of workers could only survive by selling their labor to make use of someone else's machinery, thus making someone else profit. Accordingly, capitalism divided the world between two major classes, namely that of the proletariat and the bourgeoisie.[57] These classes are directly antagonistic as the latter possesses private ownership of the means of production, earning profit via the surplus value generated by the proletariat, who have no ownership of the means of production and therefore no option but to sell its labor to the bourgeoisie.
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According to the materialist conception of history, it is through the furtherance of its own material interests that the rising bourgeoisie within feudalism captured power and abolished, of all relations of private property, only the feudal privilege, thereby taking the feudal ruling class out of existence. Such was another key element behind the consolidation of capitalism as the new mode of production, the final expression of class and property relations that has led to a massive expansion of production. It is only in capitalism that private property in itself can be abolished.[58] Similarly, the proletariat would capture political power, abolish bourgeois property through the common ownership of the means of production, therefore abolishing the bourgeoisie, ultimately abolishing the proletariat itself and ushering the world into communism as a new mode of production. In between capitalism and communism, there is the dictatorship of the proletariat, a democratic state where the whole of the public authority is elected and recallable under the basis of universal suffrage.[59] It is the defeat of the bourgeois state, but not yet of the capitalist mode of production and at the same time the only element which places into the realm of possibility moving on from this mode of production.
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Marxian economics and its proponents view capitalism as economically unsustainable and incapable of improving the living standards of the population due to its need to compensate for falling rates of profit by cutting employee's wages, social benefits and pursuing military aggression. The communist system would succeed capitalism as humanity's mode of production through workers' revolution. According to Marxian crisis theory, communism is not an inevitability, but an economic necessity.[60]
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An important concept in Marxism is socialization versus nationalization. Nationalization is state ownership of property whereas socialization is control and management of property by society. Marxism considers the latter as its goal and considers nationalization a tactical issue, as state ownership is still in the realm of the capitalist mode of production. In the words of Friedrich Engels, "the transformation [...] into State-ownership does not do away with the capitalistic nature of the productive forces. [...] State-ownership of the productive forces is not the solution of the conflict, but concealed within it are the technical conditions that form the elements of that solution".[b][61] This has led some Marxist groups and tendencies to label states based on nationalization such as the Soviet Union as state capitalist.[10][11][12][13][14]
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We want to achieve a new and better order of society: in this new and better society there must be neither rich nor poor; all will have to work. Not a handful of rich people, but all the working people must enjoy the fruits of their common labour. Machines and other improvements must serve to ease the work of all and not to enable a few to grow rich at the expense of millions and tens of millions of people. This new and better society is called socialist society. The teachings about this society are called 'socialism'.
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Leninism is the body of political theory, developed by and named after the Russian revolutionary and later-Soviet premier Vladimir Lenin, for the democratic organisation of a revolutionary vanguard party and the achievement of a dictatorship of the proletariat as political prelude to the establishment of socialism. Leninism comprises socialist political and economic theories developed from orthodox Marxism as well as Lenin's interpretations of Marxist theory for practical application to the socio-political conditions of the agrarian, early-20th-century Russian Empire.
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Leninism was composed for revolutionary praxis and originally was neither a rigorously proper philosophy nor a discrete political theory. After the Russian Revolution and in History and Class Consciousness: Studies in Marxist Dialectics (1923), György Lukács developed and organised Lenin's pragmatic revolutionary practices and ideology into the formal philosophy of vanguard-party revolution. As a political-science term, Leninism entered common usage in 1922 after infirmity ended Lenin's participation in governing the Russian Communist Party. At the Fifth Congress of the Communist International in July 1924, Grigory Zinoviev popularized the term Leninism to denote "vanguard-party revolution".
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Within Leninism, democratic centralism is a practice in which political decisions reached by voting processes are binding upon all members of the communist party. The party's political vanguard is composed of professional revolutionaries that elect leaders and officers as well as to determine policy through free discussion, then this is decisively realized through united action. In the context of the theory of Leninist revolutionary struggle, vanguardism is a strategy whereby the most class-conscious and politically advanced sections of the proletariat or working class, described as the revolutionary vanguard, form organizations in order to draw larger sections of the working class towards revolutionary politics and serve as manifestations of proletarian political power against its class enemies.
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From 1917 to 1922, Leninism was the Russian application of Marxian economics and political philosophy, effected and realised by the Bolsheviks, the vanguard party who led the fight for the political independence of the working class. In the 1925–1929 period, Joseph Stalin established his interpretation of Leninism as the official and only legitimate form of Marxism in Russia by amalgamating the political philosophies as Marxism–Leninism which then became the state ideology of the Soviet Union.
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Marxism–Leninism is a political ideology developed by Joseph Stalin.[63] According to its proponents, it is based in Marxism and Leninism. It describes the specific political ideology which Stalin implemented in the Communist Party of the Soviet Union and in a global scale in the Comintern. There is no definite agreement between historians of about whether Stalin actually followed the principles of Marx and Lenin.[64] It also contains aspects which according to some are deviations from Marxism such as socialism in one country.[65][66]
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Social fascism was a theory supported by the Comintern and affiliated communist parties during the early 1930s which held that social democracy was a variant of fascism because it stood in the way of a dictatorship of the proletariat, in addition to a shared corporatist economic model.[67] At the time, leaders of the Comintern such as Stalin and Rajani Palme Dutt argued that capitalist society had entered the Third Period in which a working-class revolution was imminent, but it could be prevented by social democrats and other fascist forces.[67][68] The term social fascist was used pejoratively to describe social-democratic parties, anti-Comintern and progressive socialist parties and dissenters within Comintern affiliates throughout the interwar period. The social fascism theory was advocated vociferously by the Communist Party of Germany which was largely controlled and funded by the Soviet leadership from 1928.[68]
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During the Cold War, Marxism–Leninism was the ideology of the most clearly visible communist movement and is the most prominent ideology associated with communism.[53] According to their proponents, Marxist–Leninist ideologies have been adapted to the material conditions of their respective countries and include Castroism (Cuba), Ceaușism (Romania), Gonzalo Thought (Peru), Guevarism (Cuba), Ho Chi Minh Thought (Vietnam), Hoxhaism (anti-revisionist Albania), Husakism (Czechoslovakia), Juche (North Korea), Kadarism (Hungary), Khmer Rouge (Cambodia), Khrushchevism (Soviet Union), Prachanda Path (Nepal), Shining Path (Peru) and Titoism (anti-Stalinist Yugoslavia).
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Within Marxism–Leninism, anti-revisionism is a position which emerged in the 1950s in opposition to the reforms of Soviet leader Nikita Khrushchev. Where Khrushchev pursued an interpretation that differed from Stalin, the anti-revisionists within the international communist movement remained dedicated to Stalin's ideological legacy and criticized the Soviet Union under Khrushchev and his successors as state capitalist and social imperialist due to its hopes of achieving peace with the United States. The term Stalinism is also used to describe these positions, but it is often not used by its supporters who opine that Stalin simply synthesized and practiced orthodox Marxism and Leninism. Because different political trends trace the historical roots of revisionism to different eras and leaders, there is significant disagreement today as to what constitutes anti-revisionism. Modern groups which describe themselves as anti-revisionist fall into several categories. Some uphold the works of Stalin and Mao Zedong and some the works of Stalin while rejecting Mao and universally tend to oppose Trotskyism. Others reject both Stalin and Mao, tracing their ideological roots back to Marx and Lenin. In addition, other groups uphold various less-well-known historical leaders such as Enver Hoxha, who also broke with Mao during the Sino-Albanian split.
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Within Marxism–Leninism, social imperialism was a term used by Mao to criticize the Soviet Union post-Stalin. Mao argued that the Soviet Union had itself become an imperialist power while maintaining a socialist façade.[69] Hoxha agreed with Mao in this analysis, before later using the expression to also condemn Mao's Three Worlds Theory.[70]
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Stalinism represents Stalin's style of governance as opposed to Marxism–Leninism, the socioeconomic system and political ideology implemented by Stalin in the Soviet Union and later copied by other states based on the Soviet model such as central planning, nationalization and one-party state, along with public ownership of the means of production, accelerated industrialization, pro-active development of society's productive forces (research and development) and nationalised natural resources. Marxism–Leninism remained after de-Stalinization whereas Stalinism did not. In the last letters before his death, Lenin warned against the danger of Stalin's personality and urged the Soviet government to replace him.[71]
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Marxism–Leninism has been criticized by other communist and Marxist tendencies. They argue that Marxist–Leninist states did not establish socialism, but rather state capitalism.[10][11][12][13][14] According to Marxism, the dictatorship of the proletariat represents the rule of the majority (democracy) rather than of one party, to the extent that co-founder of Marxism Friedrich Engels described its "specific form" as the democratic republic.[72] Additionally, according to Engels state property by itself is private property of capitalist nature[b] unless the proletariat has control of political power, in which case it forms public property.[c][61] Whether the proletariat was actually in control of the Marxist–Leninist states is a matter of debate between Marxism–Leninism and other communist tendencies. To these tendencies, Marxism–Leninism is neither Marxism nor Leninism nor the union of both, but rather an artificial term created to justify Stalin's ideological distortion,[73] forced into the Communist Party of the Soviet Union and the Comintern. In the Soviet Union, this struggle against Marxism–Leninism was represented by Trotskyism which describes itself as a Marxist and Leninist tendency.
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Maoism is the theory derived from the teachings of the Chinese political leader Mao Zedong. Developed from the 1950s until the Deng Xiaoping Chinese economic reform in the 1970s, it was widely applied as the guiding political and military ideology of the Communist Party of China and as the theory guiding revolutionary movements around the world. A key difference between Maoism and other forms of Marxism–Leninism is that peasants should be the bulwark of the revolutionary energy which is led by the working class.[74]
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The synthesis of Marxism–Leninism–Maoism which builds upon the two individual theories as the Chinese adaption of Marxism–Leninism did not occur during the life of Mao. After de-Stalinization, Marxism–Leninism was kept in the Soviet Union while certain anti-revisionist tendencies such as Hoxhaism and Maoism argued that such had deviated from its original concept. Different policies were applied in Albania and China which became more distanced from the Soviet Union. From the 1960s, groups who called themselves Maoists, or those who upheld Maoism, were not unified around a common understanding of Maoism, instead having their own particular interpretations of the political, philosophical, economical and military works of Mao. Its adherents claims that as a unified, coherent higher stage of Marxism, it was not consolidated until the 1980s, first being formalized by the Peruvian communist party Shining Path in 1982.[75] Through the experience of the people's war waged by the party, the Shining Path were able to posit Maoism as the newest development of Marxism.[75]
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Proponents of Marxism–Leninism–Maoism refer to the theory as Maoism itself whereas Maoism is referred to as either Mao Zedong Thought or Marxism–Leninism–Mao Zedong Thought. Maoism–Third Worldism is concerned with the infusion and synthesis of Marxism–Leninism–Maoism with concepts of non-Marxist Third-Worldism such dependency theory and world-systems theory.
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Trotskyism, developed by Leon Trotsky in opposition to Stalinism, is a Marxist and Leninist tendency that supports the theory of permanent revolution and world revolution rather than the two-stage theory and Joseph Stalin's socialism in one country. It supported proletarian internationalism and another communist revolution in the Soviet Union. Rather than represeting the dictatorship of the proletariat, Trotsky claimed that the Soviet Union had become a degenerated workers' state under the leadership of Stalin in which class relations had re-emerged in a new form. Trotsky's politics differed sharply from those of Stalin and Mao Zedong, most importantly in declaring the need for an international proletarian revolution—rather than socialism in one country—and support for a true dictatorship of the proletariat based on democratic principles.
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Struggling against Stalin for power in the Soviet Union, Trotsky and his supporters organized into the Left Opposition, the platform of which became known as Trotskyism. Stalin eventually succeeded in gaining control of the Soviet regime and Trotskyist attempts to remove Stalin from power resulted in Trotsky's exile from the Soviet Union in 1929. While in exile, Trotsky continued his campaign against Stalin, founding in 1938 the Fourth International, a Trotskyist rival to the Comintern. In August 1940, Trotsky was assassinated in Mexico City upon Stalin's orders. Trotskyist currents include orthodox Trotskyism, third camp, Posadism, Pabloism and neo-Trotskyism.
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In Trotskyist political theory, a degenerated workers' state is a dictatorship of the proletariat in which the working class's democratic control over the state has given way to control by a bureaucratic clique. The term was developed by Trotsky in The Revolution Betrayed and in other works. Deformed workers' states are states where the capitalist class has been overthrown, the economy is largely state-owned and planned, but there is no internal democracy or workers' control of industry. In a deformed workers' state, the working class has never held political power like it did in Russia shortly after the Bolshevik Revolution. These states are considered deformed because their political and economic structures have been imposed from the top (or from outside) and because revolutionary working class organizations are crushed. Like a degenerated workers' state, a deformed workers' state cannot be said to be a state that is transitioning to socialism. Most Trotskyists cite examples of deformed workers' states today as including Cuba, the People's Republic of China, North Korea and Vietnam. The Committee for a Workers' International has also included states such as Burma and Syria at times when they have had a nationalized economy.
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Eurocommunism was a revisionist trend in the 1970s and 1980s within various Western European communist parties, claiming to develop a theory and practice of social transformation more relevant to their region. Especially prominent in France, Italy and Spain, communists of this nature sought to undermine the influence of the Soviet Union and its communist party during the Cold War.[76]
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Libertarian Marxism is a broad range of economic and political philosophies that emphasize the anti-authoritarian aspects of Marxism. Early currents of libertarian Marxism, known as left communism,[77] emerged in opposition to Marxism–Leninism[78] and its derivatives such as Stalinism, Trotskyism and Maoism.[79]
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Libertarian Marxism is also critical of reformist positions such as those held by social democrats.[80] Libertarian Marxist currents often draw from Marx and Engels' later works, specifically the Grundrisse and The Civil War in France,[81] emphasizing the Marxist belief in the ability of the working class to forge its own destiny without the need for a revolutionary party or state to mediate or aid its liberation.[82] Along with anarchism, libertarian Marxism is one of the main derivatives of libertarian socialism.[83]
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Aside from left communism, libertarian Marxism includes such currents as autonomism, communization, council communism, De Leonism, the Johnson–Forest Tendency, Lettrism, Luxemburgism Situationism, Socialisme ou Barbarie, Solidarity, the World Socialist Movement, workerism as well as parts of Freudo-Marxism and the New Left.[84] Moreover, libertarian Marxism has often had a strong influence on both post-left and social anarchists. Notable theorists of libertarian Marxism have included Antonie Pannekoek, Raya Dunayevskaya, C. L. R. James, Antonio Negri, Cornelius Castoriadis, Maurice Brinton, Guy Debord, Daniel Guérin, Ernesto Screpanti, Raoul Vaneigem and Yanis Varoufakis,[85] who claims that Marx himself was a libertarian Marxist.[86]
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Council communism is a movement originating in Germany and the Netherlands in the 1920s, whose primary organization was the Communist Workers Party of Germany. Council communism continues today as a theoretical and activist position within both libertarian Marxism and libertarian socialism.
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The core principle of council communism is that the government and the economy should be managed by Workers' councils which are composed of delegates elected at workplaces and recallable at any moment. As such, council communists oppose state-run authoritarian state socialism and state capitalism. They also oppose the idea of a revolutionary party since council communists believe that a revolution led by a party will necessarily produce a party dictatorship. Council communists support a workers' democracy, produced through a federation of workers' councils.
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Accordingly, the central argument of council communism in contrast to those of social democracy and Leninist communism is that democratic workers' councils arising in the factories and municipalities are the natural form of working-class organization and governmental power. This view is opposed to both the reformist and the Leninism ideologies which respectively stress parliamentary and institutional government by applying social reforms on the one hand and vanguard parties and participative democratic centralism on the other.
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Left communism is the range of communist viewpoints held by the communist left which criticizes the political ideas and practices espoused, particularly following the series of revolutions that brought World War to an end by Bolsheviks and social democrats. Left communists assert positions which they regard as more authentically Marxist and proletarian than the views of Marxism–Leninism espoused by the Communist International after its first congress (March 1919) and during its second congress (July–August 1920).[87]
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Left communists represent a range of political movements distinct from Marxist–Leninists, whom they largely view as merely the left-wing of capital; from anarcho-communists, some of whom they consider to be internationalist socialists; and from various other revolutionary socialist tendencies such as De Leonists, whom they tend to see as being internationalist socialists only in limited instances.[88]
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Bordigism is a Leninist left-communist current named after Amadeo Bordiga, who did consider himself a Leninist and has been described as being "more Leninist than Lenin".[89]
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The dominant forms of communism are based on Marxism, but non-Marxist versions of communism such as Christian communism and anarcho-communism also exist.
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Anarcho-communism is a libertarian theory of anarchism and communism which advocates the abolition of the state, private property and capitalism in favor of common ownership of the means of production;[90][91] direct democracy; and a horizontal network of voluntary associations and workers' councils with production and consumption based on the guiding principle "From each according to his ability, to each according to his need".[92][93]
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Anarcho-communism differs from Marxism in that it rejects its view about the need for a state socialism phase prior to establishing communism. Peter Kropotkin, the main theorist of anarcho-communism, argued that a revolutionary society should "transform itself immediately into a communist society", that it should go immediately into what Marx had regarded as the "more advanced, completed, phase of communism".[94] In this way, it tries to avoid the reappearance of "class divisions and the need for a state to oversee everything".[94]
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Some forms of anarcho-communism such as insurrectionary anarchism are egoist and strongly influenced by radical individualism,[95][96][97] believing that anarchist communism does not require a communitarian nature at all. Most anarcho-communists view anarchist communism as a way of reconciling the opposition between the individual and society.[d][98][99] In human history to date, the best-known examples of an anarcho-communist society, i.e. established around the ideas as they exist today and that received worldwide attention and knowledge in the historical canon, are the anarchist territories during the Free Territory during the Russian Revolution, the Korean People's Association in Manchuria and the Spanish Revolution of 1936.
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During the Russian Civil War, anarchists such as Nestor Makhno worked through the Revolutionary Insurrectionary Army of Ukraine to create and defend anarcho-communism in the Free Territory of the Ukraine from 1919 before being conquered by the Bolsheviks in 1921. In 1929, anarcho-communism was achieved in Korea by the Korean Anarchist Federation in Manchuria (KAFM) and the Korean Anarcho-Communist Federation (KACF), with help from anarchist general and independence activist Kim Chwa-chin, lasting until 1931, when Imperial Japan assassinated Kim and invaded from the south while the Chinese Nationalists invaded from the north, resulting in the creation of Manchukuo, a puppet state of the Empire of Japan. Through the efforts and influence of the Spanish anarchists during the Spanish Revolution within the Spanish Civil War, starting in 1936 anarcho-communism existed in most of Aragon; parts of the Levante and Andalusia; and in the stronghold of Revolutionary Catalonia, before being brutally crushed.
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Christian communism is a form of religious communism based on Christianity. It is a theological and political theory based upon the view that the teachings of Jesus Christ compel Christians to support communism as the ideal social system. Although there is no universal agreement on the exact date when Christian communism was founded, many Christian communists assert that evidence from the Bible suggests that the first Christians, including the Apostles, established their own small communist society in the years following Jesus' death and resurrection. Many advocates of Christian communism argue that it was taught by Jesus and practiced by the Apostles themselves.
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Christian communism can be seen as a radical form of Christian socialism. Christian communists may or may not agree with various aspects of Marxism. They do not agree with the atheist and anti-religious views held by secular Marxists, but they do agree with many of the economic and existential aspects of Marxist theory, such as the idea that capitalism exploits the working class by extracting surplus value from the workers in the form of profits and the idea that wage labor is a tool of human alienation that promotes arbitrary and unjust authority. Christian communism holds that capitalism encourages the negative aspects of humans, supplanting values such as mercy, kindness, justice and compassion in favor of greed, selfishness and blind ambition.
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Criticism of communism can be divided into two broad categories, namely that which concerns itself with the practical aspects of 20th century communist states;[100] and that which concerns itself with communist principles and theory.[101]
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Marxism is also subject to general criticism such as that historical materialism is a type of historical determinism;[dubious – discuss] that it requires necessary suppression of liberal democratic rights; that there are issues with the implementation of communism; and that there are economic issues such as the distortion or absence of price signals. In addition, empirical and epistemological problems are frequently cited.[102][103][104]
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Communism (from Latin communis, 'common, universal')[1][2] is a philosophical, social, political, economic ideology and movement whose ultimate goal is the establishment of a communist society, namely a socioeconomic order structured upon the ideas of common ownership of the means of production and the absence of social classes, money[3][4] and the state.[5][6]
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Communism includes a variety of schools of thought which broadly include Marxism and anarcho-communism as well as the political ideologies grouped around both, all of which share the analysis that the current order of society stems from capitalism, its economic system and mode of production; that in this system there are two major social classes; that conflict between these two classes is the root of all problems in society;[7] and that this situation will ultimately be resolved through a social revolution.
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The two classes are the proletariat (the working class), who make up the majority of the population within society, and who must work to survive; and the bourgeoisie (the capitalist class)—a small minority who derives profit from employing the working class through private ownership of the means of production. According to this analysis, revolution would put the working class in power and in turn establish social ownership of the means of production which is the primary element in the transformation of society towards communism.
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Along with social democracy, communism became the dominant political tendency within the international socialist movement by the 1920s.[8] While the emergence of the Soviet Union as the world's first nominally communist state led to communism's widespread association with the Soviet economic model and Marxism–Leninism,[1][a][9] some economists and intellectuals argued that in practice the model functioned as a form of state capitalism,[10][11][12] or a non-planned administrative or command economy.[13][14]
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Communism derives from the French communisme which developed out of the Latin roots communis and the suffix isme.[15]
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Semantically, communis can be translated to "of or for the community" while isme is a suffix that indicates the abstraction into a state, condition, action, or doctrine. Communism may be interpreted as "the state of being of or for the community". This semantic constitution has led to numerous usages of the word in its evolution. Prior to becoming associated with its more modern conception of an economic and political organization, the term was initially used in designating various social situations. The term ultimately came to be primarily associated with Marxism, most specifically embodied in The Communist Manifesto which proposed a particular type of communism.
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One of the first uses of the word in its modern sense is in a letter sent by Victor d'Hupay to Restif de la Bretonne around 1785, in which d'Hupay describes himself as an auteur communiste ("communist author").[16] Years later, Restif would go on to use the term frequently in his writing and was the first to describe communism as a form of government.[17] John Goodwyn Barmby is credited with the first use of the term in English, around 1840.[15]
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Since the 1840s, communism has usually been distinguished from socialism. The modern definition and usage of the latter would be settled by the 1860s, becoming the predominant term over the words associationist, co-operative and mutualist which had previously been used as synonyms. Instead, communism fell out of use during this period.[18]
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An early distinction between communism and socialism was that the latter aimed to only socialise production, whereas the former aimed to socialise both production and consumption (in the form of free access to final goods).[19] By 1888, Marxists employed socialism in place of communism which had come to be considered an old-fashioned synonym for the former. It was not until 1917, with the Bolshevik Revolution, that socialism came to refer to a distinct stage between capitalism and communism, introduced by Vladimir Lenin as a means to defend the Bolshevik seizure of power against traditional Marxist criticism that Russia's productive forces were not sufficiently developed for socialist revolution.[20] A distinction between communist and socialist as descriptors of political ideologies arose in 1918 after the Russian Social-Democratic Labour Party renamed itself to the All-Russian Communist Party, where communist came to specifically refer to socialists who supported the politics and theories of Bolshevism, Leninism and later in the 1920s of Marxism–Leninism,[21] although communist parties continued to describe themselves as socialists dedicated to socialism.[18]
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Both communism and socialism eventually accorded with the cultural attitude of adherents and opponents towards religion. In Christian Europe, communism was believed to be the atheist way of life. In Protestant England, communism was too culturally and aurally close to the Roman Catholic communion rite, hence English atheists denoted themselves socialists.[22] Friedrich Engels argued that in 1848, at the time when The Communist Manifesto was first published, "socialism was respectable on the continent, while communism was not". The Owenites in England and the Fourierists in France were considered respectable socialists while working-class movements that "proclaimed the necessity of total social change" denoted themselves communists. This latter branch of socialism produced the communist work of Étienne Cabet in France and Wilhelm Weitling in Germany.[23] While democrats looked to the Revolutions of 1848 as a democratic revolution which in the long run ensured liberty, equality and fraternity, Marxists denounced 1848 as a betrayal of working-class ideals by a bourgeoisie indifferent to the legitimate demands of the proletariat.[24]
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According to The Oxford Handbook of Karl Marx, "Marx used many terms to refer to a post-capitalist society—positive humanism, socialism, Communism, realm of free individuality, free association of producers, etc. He used these terms completely interchangeably. The notion that "socialism" and "Communism" are distinct historical stages is alien to his work and only entered the lexicon of Marxism after his death".[25]
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According to Richard Pipes, the idea of a classless, egalitarian society first emerged in Ancient Greece.[26] The 5th-century Mazdak movement in Persia (modern-day Iran) has been described as "communistic" for challenging the enormous privileges of the noble classes and the clergy; for criticizing the institution of private property; and for striving to create an egalitarian society.[27][28] At one time or another, various small communist communities existed, generally under the inspiration of Scripture.[29] In the medieval Christian Church, some monastic communities and religious orders shared their land and their other property.
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Communist thought has also been traced back to the works of the 16th-century English writer Thomas More. In his 1516 treatise Utopia, More portrayed a society based on common ownership of property, whose rulers administered it through the application of reason. In the 17th century, communist thought surfaced again in England, where a Puritan religious group known as the Diggers advocated the abolition of private ownership of land.[30] In his 1895 Cromwell and Communism,[31] Eduard Bernstein argued that several groups during the English Civil War (especially the Diggers) espoused clear communistic, agrarian ideals and that Oliver Cromwell's attitude towards these groups was at best ambivalent and often hostile.[31] Criticism of the idea of private property continued into the Age of Enlightenment of the 18th century through such thinkers as Jean-Jacques Rousseau in France. Following the upheaval of the French Revolution, communism later emerged as a political doctrine.[32]
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In the early 19th century, various social reformers founded communities based on common ownership. Unlike many previous communist communities, they replaced the religious emphasis with a rational and philanthropic basis.[33] Notable among them were Robert Owen, who founded New Harmony, Indiana, in 1825; and Charles Fourier, whose followers organized other settlements in the United States such as Brook Farm in 1841.[1]
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In its modern form, communism grew out of the socialist movement in 19th-century Europe. As the Industrial Revolution advanced, socialist critics blamed capitalism for the misery of the proletariat—a new class of urban factory workers who labored under often-hazardous conditions. Foremost among these critics were Karl Marx and his associate Friedrich Engels. In 1848, Marx and Engels offered a new definition of communism and popularized the term in their famous pamphlet The Communist Manifesto.[1]
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The 1917 October Revolution in Russia set the conditions for the rise to state power of Vladimir Lenin's Bolsheviks which was the first time any avowedly communist party reached that position. The revolution transferred power to the All-Russian Congress of Soviets in which the Bolsheviks had a majority.[34][35][36] The event generated a great deal of practical and theoretical debate within the Marxist movement. Marx predicted that socialism and communism would be built upon foundations laid by the most advanced capitalist development. However, Russia was one of the poorest countries in Europe with an enormous, largely illiterate peasantry and a minority of industrial workers. Marx had explicitly stated that Russia might be able to skip the stage of bourgeois rule.[37]
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The moderate Mensheviks (minority) opposed Lenin's Bolsheviks (majority) plan for socialist revolution before capitalism was more fully developed. The Bolsheviks' successful rise to power was based upon the slogans such as "Peace, bread and land" which tapped into the massive public desire for an end to Russian involvement in World War I, the peasants' demand for land reform and popular support for the soviets.[38] The Soviet Union was established in 1922.
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Following Lenin's democratic centralism, the Leninist parties were organized on a hierarchical basis, with active cells of members as the broad base. They were made up only of elite cadres approved by higher members of the party as being reliable and completely subject to party discipline.[39] In the Moscow Trials, many old Bolsheviks who had played prominent roles during the Russian Revolution of 1917 or in Lenin's Soviet government afterwards, including Lev Kamenev, Grigory Zinoviev, Alexei Rykov and Nikolai Bukharin, were accused, pleaded guilty of conspiracy against the Soviet Union, and were executed.[40]
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Its leading role in World War II saw the emergence of the Soviet Union as an industrialized superpower, with strong influence over Eastern Europe and parts of Asia. The European and Japanese empires were shattered and communist parties played a leading role in many independence movements. Marxist–Leninist governments modeled on the Soviet Union took power with Soviet assistance in Bulgaria, Czechoslovakia, East Germany, Poland, Hungary and Romania. A Marxist–Leninist government was also created under Josip Broz Tito in Yugoslavia, but Tito's independent policies led to the expulsion of Yugoslavia from the Cominform which had replaced the Comintern and Titoism was branded "deviationist". Albania also became an independent Marxist–Leninist state after World War II.[41] Communism was seen as a rival of and a threat to western capitalism for most of the 20th century.[42]
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The Soviet Union was dissolved on December 26, 1991. It was a result of the declaration number 142-Н of the Soviet of the Republics of the Supreme Soviet of the Soviet Union.[43]
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The declaration acknowledged the independence of the former Soviet republics and created the Commonwealth of Independent States, although five of the signatories ratified it much later or did not do it at all. On the previous day, Soviet President Mikhail Gorbachev (the eighth and final leader of the Soviet Union) resigned, declared his office extinct and handed over its powers, including control of the Soviet nuclear missile launching codes, to Russian President Boris Yeltsin. That evening at 7:32, the Soviet flag was lowered from the Kremlin for the last time and replaced with the pre-revolutionary Russian flag.[44]
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Previously from August to December 1991, all the individual republics, including Russia itself, had seceded from the union. The week before the union's formal dissolution, eleven republics signed the Alma-Ata Protocol, formally establishing the Commonwealth of Independent States and declaring that the Soviet Union had ceased to exist.[45][46]
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At present, states controlled by Marxist–Leninist parties under a single-party system include the People's Republic of China, the Republic of Cuba, the Lao People's Democratic Republic and the Socialist Republic of Vietnam. The Democratic People's Republic of Korea currently refers to its leading ideology as Juche which is portrayed as a development of Marxism–Leninism.
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Communist parties, or their descendant parties, remain politically important in several other countries. The South African Communist Party is a partner in the African National Congress-led government. In India as of March 2018[update], communists lead the government of Kerala. In Nepal, communists hold a majority in the parliament.[47] The Communist Party of Brazil was a part of the parliamentary coalition led by the ruling democratic socialist Workers' Party until August 2016.
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The People's Republic of China has reassessed many aspects of the Maoist legacy, and along with Laos, Vietnam and to a lesser degree Cuba, has decentralized state control of the economy in order to stimulate growth. Chinese economic reforms were started in 1978 under the leadership of Deng Xiaoping, and since then China has managed to bring down the poverty rate from 53% in the Mao era to just 6% in 2001.[48] These reforms are sometimes described by outside commentators as a regression to capitalism, but the communist parties describe it as a necessary adjustment to existing realities in the post-Soviet world in order to maximize industrial productive capacity. In these countries, the land is a universal public monopoly administered by the state and so are natural resources and vital industries and services. The public sector is the dominant sector in these economies and the state plays a central role in coordinating economic development.
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Marxism is a method of socioeconomic analysis that frames capitalism through a paradigm of exploitation, analyzes class relations and social conflict using a materialist interpretation of historical development and takes a dialectical view of social transformation. Marxism uses a materialist methodology, referred to by Marx and Engels as the materialist conception of history and now better known as historical materialism, to analyze and critique the development of class society and especially of capitalism as well as the role of class struggles in systemic economic, social and political change. First developed by Karl Marx and Friedrich Engels in the mid-19th century, it has been the foremost ideology of the communist movement. Marxism does not lay out a blueprint of a communist society per se and it merely presents an analysis that concludes the means by which its implementation will be triggered, distinguishing its fundamental characteristics as based on the derivation of real-life conditions. Marxism considers itself to be the embodiment of scientific socialism, but it does not model an ideal society based on the design of intellectuals, whereby communism is seen as a state of affairs to be established based on any intelligent design. Rather, it is a non-idealist attempt at the understanding of material history and society, whereby communism is the expression of a real movement, with parameters that are derived from actual life.[49]
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According to Marxist theory, class conflict arises in capitalist societies due to contradictions between the material interests of the oppressed and exploited proletariat—a class of wage labourers employed to produce goods and services—and the bourgeoisie—the ruling class that owns the means of production and extracts its wealth through appropriation of the surplus product produced by the proletariat in the form of profit. This class struggle that is commonly expressed as the revolt of a society's productive forces against its relations of production, results in a period of short-term crises as the bourgeoisie struggle to manage the intensifying alienation of labor experienced by the proletariat, albeit with varying degrees of class consciousness. In periods of deep crisis, the resistance of the oppressed can culminate in a proletarian revolution which, if victorious, leads to the establishment of socialism—a socioeconomic system based on social ownership of the means of production, distribution based on one's contribution and production organized directly for use. As the productive forces continued to advance, socialism would be transformed into a communist society, i.e. a classless, stateless, humane society based on common ownership and distribution based on one's needs.
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While it originates from the works of Marx and Engels, Marxism has developed into many different branches and schools of thought, with the result that there is now no single definitive Marxist theory.[50] Different Marxian schools place a greater emphasis on certain aspects of classical Marxism while rejecting or modifying other aspects. Many schools of thought have sought to combine Marxian concepts and non-Marxian concepts which has then led to contradictory conclusions.[51] However, there is a movement toward the recognition that historical materialism and dialectical materialism remains the fundamental aspect of all Marxist schools of thought.[52] Marxism–Leninism and its offshoots are the most well-known of these and have been a driving force in international relations during most of the 20th century.[53]
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Classical Marxism is the economic, philosophical and sociological theories expounded by Marx and Engels as contrasted with later developments in Marxism, especially Leninism and Marxism–Leninism.[54] Orthodox Marxism is the body of Marxism thought that emerged after the death of Marx and which became the official philosophy of the socialist movement as represented in the Second International until World War I in 1914. Orthodox Marxism aims to simplify, codify and systematize Marxist method and theory by clarifying the perceived ambiguities and contradictions of classical Marxism. The philosophy of orthodox Marxism includes the understanding that material development (advances in technology in the productive forces) is the primary agent of change in the structure of society and of human social relations and that social systems and their relations (e.g. feudalism, capitalism and so on) become contradictory and inefficient as the productive forces develop, which results in some form of social revolution arising in response to the mounting contradictions. This revolutionary change is the vehicle for fundamental society-wide changes and ultimately leads to the emergence of new economic systems.[55] As a term, orthodox Marxism represents the methods of historical materialism and of dialectical materialism and not the normative aspects inherent to classical Marxism, without implying dogmatic adherence to the results of Marx's investigations.[56]
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At the root of Marxism is historical materialism, the materialist conception of history which holds that the key characteristic of economic systems through history has been the mode of production and that the change between modes of production has been triggered by class struggle. According to this analysis, the Industrial Revolution ushered the world into capitalism as a new mode of production. Before capitalism, certain working classes had ownership of instruments utilized in production. However, because machinery was much more efficient, this property became worthless and the mass majority of workers could only survive by selling their labor to make use of someone else's machinery, thus making someone else profit. Accordingly, capitalism divided the world between two major classes, namely that of the proletariat and the bourgeoisie.[57] These classes are directly antagonistic as the latter possesses private ownership of the means of production, earning profit via the surplus value generated by the proletariat, who have no ownership of the means of production and therefore no option but to sell its labor to the bourgeoisie.
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According to the materialist conception of history, it is through the furtherance of its own material interests that the rising bourgeoisie within feudalism captured power and abolished, of all relations of private property, only the feudal privilege, thereby taking the feudal ruling class out of existence. Such was another key element behind the consolidation of capitalism as the new mode of production, the final expression of class and property relations that has led to a massive expansion of production. It is only in capitalism that private property in itself can be abolished.[58] Similarly, the proletariat would capture political power, abolish bourgeois property through the common ownership of the means of production, therefore abolishing the bourgeoisie, ultimately abolishing the proletariat itself and ushering the world into communism as a new mode of production. In between capitalism and communism, there is the dictatorship of the proletariat, a democratic state where the whole of the public authority is elected and recallable under the basis of universal suffrage.[59] It is the defeat of the bourgeois state, but not yet of the capitalist mode of production and at the same time the only element which places into the realm of possibility moving on from this mode of production.
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Marxian economics and its proponents view capitalism as economically unsustainable and incapable of improving the living standards of the population due to its need to compensate for falling rates of profit by cutting employee's wages, social benefits and pursuing military aggression. The communist system would succeed capitalism as humanity's mode of production through workers' revolution. According to Marxian crisis theory, communism is not an inevitability, but an economic necessity.[60]
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An important concept in Marxism is socialization versus nationalization. Nationalization is state ownership of property whereas socialization is control and management of property by society. Marxism considers the latter as its goal and considers nationalization a tactical issue, as state ownership is still in the realm of the capitalist mode of production. In the words of Friedrich Engels, "the transformation [...] into State-ownership does not do away with the capitalistic nature of the productive forces. [...] State-ownership of the productive forces is not the solution of the conflict, but concealed within it are the technical conditions that form the elements of that solution".[b][61] This has led some Marxist groups and tendencies to label states based on nationalization such as the Soviet Union as state capitalist.[10][11][12][13][14]
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We want to achieve a new and better order of society: in this new and better society there must be neither rich nor poor; all will have to work. Not a handful of rich people, but all the working people must enjoy the fruits of their common labour. Machines and other improvements must serve to ease the work of all and not to enable a few to grow rich at the expense of millions and tens of millions of people. This new and better society is called socialist society. The teachings about this society are called 'socialism'.
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Leninism is the body of political theory, developed by and named after the Russian revolutionary and later-Soviet premier Vladimir Lenin, for the democratic organisation of a revolutionary vanguard party and the achievement of a dictatorship of the proletariat as political prelude to the establishment of socialism. Leninism comprises socialist political and economic theories developed from orthodox Marxism as well as Lenin's interpretations of Marxist theory for practical application to the socio-political conditions of the agrarian, early-20th-century Russian Empire.
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Leninism was composed for revolutionary praxis and originally was neither a rigorously proper philosophy nor a discrete political theory. After the Russian Revolution and in History and Class Consciousness: Studies in Marxist Dialectics (1923), György Lukács developed and organised Lenin's pragmatic revolutionary practices and ideology into the formal philosophy of vanguard-party revolution. As a political-science term, Leninism entered common usage in 1922 after infirmity ended Lenin's participation in governing the Russian Communist Party. At the Fifth Congress of the Communist International in July 1924, Grigory Zinoviev popularized the term Leninism to denote "vanguard-party revolution".
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Within Leninism, democratic centralism is a practice in which political decisions reached by voting processes are binding upon all members of the communist party. The party's political vanguard is composed of professional revolutionaries that elect leaders and officers as well as to determine policy through free discussion, then this is decisively realized through united action. In the context of the theory of Leninist revolutionary struggle, vanguardism is a strategy whereby the most class-conscious and politically advanced sections of the proletariat or working class, described as the revolutionary vanguard, form organizations in order to draw larger sections of the working class towards revolutionary politics and serve as manifestations of proletarian political power against its class enemies.
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From 1917 to 1922, Leninism was the Russian application of Marxian economics and political philosophy, effected and realised by the Bolsheviks, the vanguard party who led the fight for the political independence of the working class. In the 1925–1929 period, Joseph Stalin established his interpretation of Leninism as the official and only legitimate form of Marxism in Russia by amalgamating the political philosophies as Marxism–Leninism which then became the state ideology of the Soviet Union.
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Marxism–Leninism is a political ideology developed by Joseph Stalin.[63] According to its proponents, it is based in Marxism and Leninism. It describes the specific political ideology which Stalin implemented in the Communist Party of the Soviet Union and in a global scale in the Comintern. There is no definite agreement between historians of about whether Stalin actually followed the principles of Marx and Lenin.[64] It also contains aspects which according to some are deviations from Marxism such as socialism in one country.[65][66]
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Social fascism was a theory supported by the Comintern and affiliated communist parties during the early 1930s which held that social democracy was a variant of fascism because it stood in the way of a dictatorship of the proletariat, in addition to a shared corporatist economic model.[67] At the time, leaders of the Comintern such as Stalin and Rajani Palme Dutt argued that capitalist society had entered the Third Period in which a working-class revolution was imminent, but it could be prevented by social democrats and other fascist forces.[67][68] The term social fascist was used pejoratively to describe social-democratic parties, anti-Comintern and progressive socialist parties and dissenters within Comintern affiliates throughout the interwar period. The social fascism theory was advocated vociferously by the Communist Party of Germany which was largely controlled and funded by the Soviet leadership from 1928.[68]
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During the Cold War, Marxism–Leninism was the ideology of the most clearly visible communist movement and is the most prominent ideology associated with communism.[53] According to their proponents, Marxist–Leninist ideologies have been adapted to the material conditions of their respective countries and include Castroism (Cuba), Ceaușism (Romania), Gonzalo Thought (Peru), Guevarism (Cuba), Ho Chi Minh Thought (Vietnam), Hoxhaism (anti-revisionist Albania), Husakism (Czechoslovakia), Juche (North Korea), Kadarism (Hungary), Khmer Rouge (Cambodia), Khrushchevism (Soviet Union), Prachanda Path (Nepal), Shining Path (Peru) and Titoism (anti-Stalinist Yugoslavia).
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Within Marxism–Leninism, anti-revisionism is a position which emerged in the 1950s in opposition to the reforms of Soviet leader Nikita Khrushchev. Where Khrushchev pursued an interpretation that differed from Stalin, the anti-revisionists within the international communist movement remained dedicated to Stalin's ideological legacy and criticized the Soviet Union under Khrushchev and his successors as state capitalist and social imperialist due to its hopes of achieving peace with the United States. The term Stalinism is also used to describe these positions, but it is often not used by its supporters who opine that Stalin simply synthesized and practiced orthodox Marxism and Leninism. Because different political trends trace the historical roots of revisionism to different eras and leaders, there is significant disagreement today as to what constitutes anti-revisionism. Modern groups which describe themselves as anti-revisionist fall into several categories. Some uphold the works of Stalin and Mao Zedong and some the works of Stalin while rejecting Mao and universally tend to oppose Trotskyism. Others reject both Stalin and Mao, tracing their ideological roots back to Marx and Lenin. In addition, other groups uphold various less-well-known historical leaders such as Enver Hoxha, who also broke with Mao during the Sino-Albanian split.
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Within Marxism–Leninism, social imperialism was a term used by Mao to criticize the Soviet Union post-Stalin. Mao argued that the Soviet Union had itself become an imperialist power while maintaining a socialist façade.[69] Hoxha agreed with Mao in this analysis, before later using the expression to also condemn Mao's Three Worlds Theory.[70]
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Stalinism represents Stalin's style of governance as opposed to Marxism–Leninism, the socioeconomic system and political ideology implemented by Stalin in the Soviet Union and later copied by other states based on the Soviet model such as central planning, nationalization and one-party state, along with public ownership of the means of production, accelerated industrialization, pro-active development of society's productive forces (research and development) and nationalised natural resources. Marxism–Leninism remained after de-Stalinization whereas Stalinism did not. In the last letters before his death, Lenin warned against the danger of Stalin's personality and urged the Soviet government to replace him.[71]
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Marxism–Leninism has been criticized by other communist and Marxist tendencies. They argue that Marxist–Leninist states did not establish socialism, but rather state capitalism.[10][11][12][13][14] According to Marxism, the dictatorship of the proletariat represents the rule of the majority (democracy) rather than of one party, to the extent that co-founder of Marxism Friedrich Engels described its "specific form" as the democratic republic.[72] Additionally, according to Engels state property by itself is private property of capitalist nature[b] unless the proletariat has control of political power, in which case it forms public property.[c][61] Whether the proletariat was actually in control of the Marxist–Leninist states is a matter of debate between Marxism–Leninism and other communist tendencies. To these tendencies, Marxism–Leninism is neither Marxism nor Leninism nor the union of both, but rather an artificial term created to justify Stalin's ideological distortion,[73] forced into the Communist Party of the Soviet Union and the Comintern. In the Soviet Union, this struggle against Marxism–Leninism was represented by Trotskyism which describes itself as a Marxist and Leninist tendency.
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Maoism is the theory derived from the teachings of the Chinese political leader Mao Zedong. Developed from the 1950s until the Deng Xiaoping Chinese economic reform in the 1970s, it was widely applied as the guiding political and military ideology of the Communist Party of China and as the theory guiding revolutionary movements around the world. A key difference between Maoism and other forms of Marxism–Leninism is that peasants should be the bulwark of the revolutionary energy which is led by the working class.[74]
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The synthesis of Marxism–Leninism–Maoism which builds upon the two individual theories as the Chinese adaption of Marxism–Leninism did not occur during the life of Mao. After de-Stalinization, Marxism–Leninism was kept in the Soviet Union while certain anti-revisionist tendencies such as Hoxhaism and Maoism argued that such had deviated from its original concept. Different policies were applied in Albania and China which became more distanced from the Soviet Union. From the 1960s, groups who called themselves Maoists, or those who upheld Maoism, were not unified around a common understanding of Maoism, instead having their own particular interpretations of the political, philosophical, economical and military works of Mao. Its adherents claims that as a unified, coherent higher stage of Marxism, it was not consolidated until the 1980s, first being formalized by the Peruvian communist party Shining Path in 1982.[75] Through the experience of the people's war waged by the party, the Shining Path were able to posit Maoism as the newest development of Marxism.[75]
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Proponents of Marxism–Leninism–Maoism refer to the theory as Maoism itself whereas Maoism is referred to as either Mao Zedong Thought or Marxism–Leninism–Mao Zedong Thought. Maoism–Third Worldism is concerned with the infusion and synthesis of Marxism–Leninism–Maoism with concepts of non-Marxist Third-Worldism such dependency theory and world-systems theory.
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Trotskyism, developed by Leon Trotsky in opposition to Stalinism, is a Marxist and Leninist tendency that supports the theory of permanent revolution and world revolution rather than the two-stage theory and Joseph Stalin's socialism in one country. It supported proletarian internationalism and another communist revolution in the Soviet Union. Rather than represeting the dictatorship of the proletariat, Trotsky claimed that the Soviet Union had become a degenerated workers' state under the leadership of Stalin in which class relations had re-emerged in a new form. Trotsky's politics differed sharply from those of Stalin and Mao Zedong, most importantly in declaring the need for an international proletarian revolution—rather than socialism in one country—and support for a true dictatorship of the proletariat based on democratic principles.
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Struggling against Stalin for power in the Soviet Union, Trotsky and his supporters organized into the Left Opposition, the platform of which became known as Trotskyism. Stalin eventually succeeded in gaining control of the Soviet regime and Trotskyist attempts to remove Stalin from power resulted in Trotsky's exile from the Soviet Union in 1929. While in exile, Trotsky continued his campaign against Stalin, founding in 1938 the Fourth International, a Trotskyist rival to the Comintern. In August 1940, Trotsky was assassinated in Mexico City upon Stalin's orders. Trotskyist currents include orthodox Trotskyism, third camp, Posadism, Pabloism and neo-Trotskyism.
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In Trotskyist political theory, a degenerated workers' state is a dictatorship of the proletariat in which the working class's democratic control over the state has given way to control by a bureaucratic clique. The term was developed by Trotsky in The Revolution Betrayed and in other works. Deformed workers' states are states where the capitalist class has been overthrown, the economy is largely state-owned and planned, but there is no internal democracy or workers' control of industry. In a deformed workers' state, the working class has never held political power like it did in Russia shortly after the Bolshevik Revolution. These states are considered deformed because their political and economic structures have been imposed from the top (or from outside) and because revolutionary working class organizations are crushed. Like a degenerated workers' state, a deformed workers' state cannot be said to be a state that is transitioning to socialism. Most Trotskyists cite examples of deformed workers' states today as including Cuba, the People's Republic of China, North Korea and Vietnam. The Committee for a Workers' International has also included states such as Burma and Syria at times when they have had a nationalized economy.
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Eurocommunism was a revisionist trend in the 1970s and 1980s within various Western European communist parties, claiming to develop a theory and practice of social transformation more relevant to their region. Especially prominent in France, Italy and Spain, communists of this nature sought to undermine the influence of the Soviet Union and its communist party during the Cold War.[76]
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Libertarian Marxism is a broad range of economic and political philosophies that emphasize the anti-authoritarian aspects of Marxism. Early currents of libertarian Marxism, known as left communism,[77] emerged in opposition to Marxism–Leninism[78] and its derivatives such as Stalinism, Trotskyism and Maoism.[79]
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Libertarian Marxism is also critical of reformist positions such as those held by social democrats.[80] Libertarian Marxist currents often draw from Marx and Engels' later works, specifically the Grundrisse and The Civil War in France,[81] emphasizing the Marxist belief in the ability of the working class to forge its own destiny without the need for a revolutionary party or state to mediate or aid its liberation.[82] Along with anarchism, libertarian Marxism is one of the main derivatives of libertarian socialism.[83]
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Aside from left communism, libertarian Marxism includes such currents as autonomism, communization, council communism, De Leonism, the Johnson–Forest Tendency, Lettrism, Luxemburgism Situationism, Socialisme ou Barbarie, Solidarity, the World Socialist Movement, workerism as well as parts of Freudo-Marxism and the New Left.[84] Moreover, libertarian Marxism has often had a strong influence on both post-left and social anarchists. Notable theorists of libertarian Marxism have included Antonie Pannekoek, Raya Dunayevskaya, C. L. R. James, Antonio Negri, Cornelius Castoriadis, Maurice Brinton, Guy Debord, Daniel Guérin, Ernesto Screpanti, Raoul Vaneigem and Yanis Varoufakis,[85] who claims that Marx himself was a libertarian Marxist.[86]
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Council communism is a movement originating in Germany and the Netherlands in the 1920s, whose primary organization was the Communist Workers Party of Germany. Council communism continues today as a theoretical and activist position within both libertarian Marxism and libertarian socialism.
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The core principle of council communism is that the government and the economy should be managed by Workers' councils which are composed of delegates elected at workplaces and recallable at any moment. As such, council communists oppose state-run authoritarian state socialism and state capitalism. They also oppose the idea of a revolutionary party since council communists believe that a revolution led by a party will necessarily produce a party dictatorship. Council communists support a workers' democracy, produced through a federation of workers' councils.
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Accordingly, the central argument of council communism in contrast to those of social democracy and Leninist communism is that democratic workers' councils arising in the factories and municipalities are the natural form of working-class organization and governmental power. This view is opposed to both the reformist and the Leninism ideologies which respectively stress parliamentary and institutional government by applying social reforms on the one hand and vanguard parties and participative democratic centralism on the other.
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Left communism is the range of communist viewpoints held by the communist left which criticizes the political ideas and practices espoused, particularly following the series of revolutions that brought World War to an end by Bolsheviks and social democrats. Left communists assert positions which they regard as more authentically Marxist and proletarian than the views of Marxism–Leninism espoused by the Communist International after its first congress (March 1919) and during its second congress (July–August 1920).[87]
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Left communists represent a range of political movements distinct from Marxist–Leninists, whom they largely view as merely the left-wing of capital; from anarcho-communists, some of whom they consider to be internationalist socialists; and from various other revolutionary socialist tendencies such as De Leonists, whom they tend to see as being internationalist socialists only in limited instances.[88]
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Bordigism is a Leninist left-communist current named after Amadeo Bordiga, who did consider himself a Leninist and has been described as being "more Leninist than Lenin".[89]
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The dominant forms of communism are based on Marxism, but non-Marxist versions of communism such as Christian communism and anarcho-communism also exist.
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Anarcho-communism is a libertarian theory of anarchism and communism which advocates the abolition of the state, private property and capitalism in favor of common ownership of the means of production;[90][91] direct democracy; and a horizontal network of voluntary associations and workers' councils with production and consumption based on the guiding principle "From each according to his ability, to each according to his need".[92][93]
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Anarcho-communism differs from Marxism in that it rejects its view about the need for a state socialism phase prior to establishing communism. Peter Kropotkin, the main theorist of anarcho-communism, argued that a revolutionary society should "transform itself immediately into a communist society", that it should go immediately into what Marx had regarded as the "more advanced, completed, phase of communism".[94] In this way, it tries to avoid the reappearance of "class divisions and the need for a state to oversee everything".[94]
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Some forms of anarcho-communism such as insurrectionary anarchism are egoist and strongly influenced by radical individualism,[95][96][97] believing that anarchist communism does not require a communitarian nature at all. Most anarcho-communists view anarchist communism as a way of reconciling the opposition between the individual and society.[d][98][99] In human history to date, the best-known examples of an anarcho-communist society, i.e. established around the ideas as they exist today and that received worldwide attention and knowledge in the historical canon, are the anarchist territories during the Free Territory during the Russian Revolution, the Korean People's Association in Manchuria and the Spanish Revolution of 1936.
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During the Russian Civil War, anarchists such as Nestor Makhno worked through the Revolutionary Insurrectionary Army of Ukraine to create and defend anarcho-communism in the Free Territory of the Ukraine from 1919 before being conquered by the Bolsheviks in 1921. In 1929, anarcho-communism was achieved in Korea by the Korean Anarchist Federation in Manchuria (KAFM) and the Korean Anarcho-Communist Federation (KACF), with help from anarchist general and independence activist Kim Chwa-chin, lasting until 1931, when Imperial Japan assassinated Kim and invaded from the south while the Chinese Nationalists invaded from the north, resulting in the creation of Manchukuo, a puppet state of the Empire of Japan. Through the efforts and influence of the Spanish anarchists during the Spanish Revolution within the Spanish Civil War, starting in 1936 anarcho-communism existed in most of Aragon; parts of the Levante and Andalusia; and in the stronghold of Revolutionary Catalonia, before being brutally crushed.
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Christian communism is a form of religious communism based on Christianity. It is a theological and political theory based upon the view that the teachings of Jesus Christ compel Christians to support communism as the ideal social system. Although there is no universal agreement on the exact date when Christian communism was founded, many Christian communists assert that evidence from the Bible suggests that the first Christians, including the Apostles, established their own small communist society in the years following Jesus' death and resurrection. Many advocates of Christian communism argue that it was taught by Jesus and practiced by the Apostles themselves.
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Christian communism can be seen as a radical form of Christian socialism. Christian communists may or may not agree with various aspects of Marxism. They do not agree with the atheist and anti-religious views held by secular Marxists, but they do agree with many of the economic and existential aspects of Marxist theory, such as the idea that capitalism exploits the working class by extracting surplus value from the workers in the form of profits and the idea that wage labor is a tool of human alienation that promotes arbitrary and unjust authority. Christian communism holds that capitalism encourages the negative aspects of humans, supplanting values such as mercy, kindness, justice and compassion in favor of greed, selfishness and blind ambition.
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Criticism of communism can be divided into two broad categories, namely that which concerns itself with the practical aspects of 20th century communist states;[100] and that which concerns itself with communist principles and theory.[101]
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Marxism is also subject to general criticism such as that historical materialism is a type of historical determinism;[dubious – discuss] that it requires necessary suppression of liberal democratic rights; that there are issues with the implementation of communism; and that there are economic issues such as the distortion or absence of price signals. In addition, empirical and epistemological problems are frequently cited.[102][103][104]
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Alexander III of Macedon (Greek: Αλέξανδρος Γʹ ὁ Μακεδών, Aléxandros III ho Makedȏn; 20/21 July 356 BC – 10/11 June 323 BC), commonly known as Alexander the Great (Greek: Ἀλέξανδρος ὁ Μέγας, Aléxandros ho Mégas), was a king (basileus) of the ancient Greek kingdom of Macedon[a] and a member of the Argead dynasty. He was born in Pella in 356 BC and succeeded his father Philip II to the throne at the age of 20. He spent most of his ruling years on an unprecedented military campaign through western Asia and northeast Africa, and by the age of thirty, he had created one of the largest empires of the ancient world, stretching from Greece to northwestern India.[1][2] He was undefeated in battle and is widely considered one of history's most successful military commanders.[3]
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During his youth, Alexander was tutored by Aristotle until age 16. After Philip's assassination in 336 BC, he succeeded his father to the throne and inherited a strong kingdom and an experienced army. Alexander was awarded the generalship of Greece and used this authority to launch his father's pan-Hellenic project to lead the Greeks in the conquest of Persia.[4][5] In 334 BC, he invaded the Achaemenid Empire (Persian Empire) and began a series of campaigns that lasted 10 years. Following the conquest of Anatolia, Alexander broke the power of Persia in a series of decisive battles, most notably the battles of Issus and Gaugamela. He subsequently overthrew Persian King Darius III and conquered the Achaemenid Empire in its entirety.[b] At that point, his empire stretched from the Adriatic Sea to the Beas River.
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Alexander endeavoured to reach the "ends of the world and the Great Outer Sea" and invaded India in 326 BC, winning an important victory over the Pauravas at the Battle of the Hydaspes. He eventually turned back at the demand of his homesick troops, dying in Babylon in 323 BC, the city that he planned to establish as his capital, without executing a series of planned campaigns that would have begun with an invasion of Arabia. In the years following his death, a series of civil wars tore his empire apart, resulting in the establishment of several states ruled by the Diadochi, Alexander's surviving generals and heirs.
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Alexander's legacy includes the cultural diffusion and syncretism which his conquests engendered, such as Greco-Buddhism. He founded some twenty cities that bore his name, most notably Alexandria in Egypt. Alexander's settlement of Greek colonists and the resulting spread of Greek culture in the east resulted in a new Hellenistic civilization, aspects of which were still evident in the traditions of the Byzantine Empire in the mid-15th century AD and the presence of Greek speakers in central and far eastern Anatolia until the Greek genocide by the Turks in the 1920s. Alexander became legendary as a classical hero in the mould of Achilles, and he features prominently in the history and mythic traditions of both Greek and non-Greek cultures. He was undefeated in battle and became the measure against which military leaders compared themselves. Military academies throughout the world still teach his tactics.[6][c] He is often ranked among the most influential people in history.[7]
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Alexander was born in Pella, the capital of the Kingdom of Macedon,[8] on the sixth day of the ancient Greek month of Hekatombaion, which probably corresponds to 20 July 356 BC, although the exact date is uncertain.[9] He was the son of the king of Macedon, Philip II, and his fourth wife, Olympias, the daughter of Neoptolemus I, king of Epirus.[10] Although Philip had seven or eight wives, Olympias was his principal wife for some time, likely because she gave birth to Alexander.[11]
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Several legends surround Alexander's birth and childhood.[12] According to the ancient Greek biographer Plutarch, on the eve of the consummation of her marriage to Philip, Olympias dreamed that her womb was struck by a thunderbolt that caused a flame to spread "far and wide" before dying away. Sometime after the wedding, Philip is said to have seen himself, in a dream, securing his wife's womb with a seal engraved with a lion's image.[13] Plutarch offered a variety of interpretations of these dreams: that Olympias was pregnant before her marriage, indicated by the sealing of her womb; or that Alexander's father was Zeus. Ancient commentators were divided about whether the ambitious Olympias promulgated the story of Alexander's divine parentage, variously claiming that she had told Alexander, or that she dismissed the suggestion as impious.[13]
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On the day Alexander was born, Philip was preparing a siege on the city of Potidea on the peninsula of Chalcidice. That same day, Philip received news that his general Parmenion had defeated the combined Illyrian and Paeonian armies and that his horses had won at the Olympic Games. It was also said that on this day, the Temple of Artemis in Ephesus, one of the Seven Wonders of the World, burnt down. This led Hegesias of Magnesia to say that it had burnt down because Artemis was away, attending the birth of Alexander.[14] Such legends may have emerged when Alexander was king, and possibly at his instigation, to show that he was superhuman and destined for greatness from conception.[12]
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In his early years, Alexander was raised by a nurse, Lanike, sister of Alexander's future general Cleitus the Black. Later in his childhood, Alexander was tutored by the strict Leonidas, a relative of his mother, and by Lysimachus of Acarnania.[15] Alexander was raised in the manner of noble Macedonian youths, learning to read, play the lyre, ride, fight, and hunt.[16]
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When Alexander was ten years old, a trader from Thessaly brought Philip a horse, which he offered to sell for thirteen talents. The horse refused to be mounted, and Philip ordered it away. Alexander, however, detecting the horse's fear of its own shadow, asked to tame the horse, which he eventually managed.[12] Plutarch stated that Philip, overjoyed at this display of courage and ambition, kissed his son tearfully, declaring: "My boy, you must find a kingdom big enough for your ambitions. Macedon is too small for you", and bought the horse for him.[17] Alexander named it Bucephalas, meaning "ox-head". Bucephalas carried Alexander as far as India. When the animal died (because of old age, according to Plutarch, at age thirty), Alexander named a city after him, Bucephala.[18]
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When Alexander was 13, Philip began to search for a tutor, and considered such academics as Isocrates and Speusippus, the latter offering to resign from his stewardship of the Academy to take up the post. In the end, Philip chose Aristotle and provided the Temple of the Nymphs at Mieza as a classroom. In return for teaching Alexander, Philip agreed to rebuild Aristotle's hometown of Stageira, which Philip had razed, and to repopulate it by buying and freeing the ex-citizens who were slaves, or pardoning those who were in exile.[19]
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Mieza was like a boarding school for Alexander and the children of Macedonian nobles, such as Ptolemy, Hephaistion, and Cassander. Many of these students would become his friends and future generals, and are often known as the 'Companions'. Aristotle taught Alexander and his companions about medicine, philosophy, morals, religion, logic, and art. Under Aristotle's tutelage, Alexander developed a passion for the works of Homer, and in particular the Iliad; Aristotle gave him an annotated copy, which Alexander later carried on his campaigns.[20]
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During his youth, Alexander was also acquainted with Persian exiles at the Macedonian court, who received the protection of Philip II for several years as they opposed Artaxerxes III.[21][22][23] Among them were Artabazos II and his daughter Barsine, future mistress of Alexander, who resided at the Macedonian court from 352 to 342 BC, as well as Amminapes, future satrap of Alexander, or a Persian nobleman named Sisines.[21][24][25][26] This gave the Macedonian court a good knowledge of Persian issues, and may even have influenced some of the innovations in the management of the Macedonian state.[24]
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Suda writes that, also, Anaximenes of Lampsacus was one of his teachers. Anaximenes, also accompanied him on his campaigns.[27]
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At age 16, Alexander's education under Aristotle ended. Philip waged war against Byzantion, leaving Alexander in charge as regent and heir apparent.[12] During Philip's absence, the Thracian Maedi revolted against Macedonia. Alexander responded quickly, driving them from their territory. He colonized it with Greeks, and founded a city named Alexandropolis.[28]
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Upon Philip's return, he dispatched Alexander with a small force to subdue revolts in southern Thrace. Campaigning against the Greek city of Perinthus, Alexander is reported to have saved his father's life. Meanwhile, the city of Amphissa began to work lands that were sacred to Apollo near Delphi, a sacrilege that gave Philip the opportunity to further intervene in Greek affairs. Still occupied in Thrace, he ordered Alexander to muster an army for a campaign in southern Greece. Concerned that other Greek states might intervene, Alexander made it look as though he was preparing to attack Illyria instead. During this turmoil, the Illyrians invaded Macedonia, only to be repelled by Alexander.[29]
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Philip and his army joined his son in 338 BC, and they marched south through Thermopylae, taking it after stubborn resistance from its Theban garrison. They went on to occupy the city of Elatea, only a few days' march from both Athens and Thebes. The Athenians, led by Demosthenes, voted to seek alliance with Thebes against Macedonia. Both Athens and Philip sent embassies to win Thebes' favour, but Athens won the contest.[30] Philip marched on Amphissa (ostensibly acting on the request of the Amphictyonic League), capturing the mercenaries sent there by Demosthenes and accepting the city's surrender. Philip then returned to Elatea, sending a final offer of peace to Athens and Thebes, who both rejected it.[31]
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As Philip marched south, his opponents blocked him near Chaeronea, Boeotia. During the ensuing Battle of Chaeronea, Philip commanded the right wing and Alexander the left, accompanied by a group of Philip's trusted generals. According to the ancient sources, the two sides fought bitterly for some time. Philip deliberately commanded his troops to retreat, counting on the untested Athenian hoplites to follow, thus breaking their line. Alexander was the first to break the Theban lines, followed by Philip's generals. Having damaged the enemy's cohesion, Philip ordered his troops to press forward and quickly routed them. With the Athenians lost, the Thebans were surrounded. Left to fight alone, they were defeated.[32]
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After the victory at Chaeronea, Philip and Alexander marched unopposed into the Peloponnese, welcomed by all cities; however, when they reached Sparta, they were refused, but did not resort to war.[33] At Corinth, Philip established a "Hellenic Alliance" (modelled on the old anti-Persian alliance of the Greco-Persian Wars), which included most Greek city-states except Sparta. Philip was then named Hegemon (often translated as "Supreme Commander") of this league (known by modern scholars as the League of Corinth), and announced his plans to attack the Persian Empire.[34][35]
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40 |
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41 |
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When Philip returned to Pella, he fell in love with and married Cleopatra Eurydice in 338 BC,[36] the niece of his general Attalus.[37] The marriage made Alexander's position as heir less secure, since any son of Cleopatra Eurydice would be a fully Macedonian heir, while Alexander was only half-Macedonian.[38] During the wedding banquet, a drunken Attalus publicly prayed to the gods that the union would produce a legitimate heir.[37]
|
42 |
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At the wedding of Cleopatra, whom Philip fell in love with and married, she being much too young for him, her uncle Attalus in his drink desired the Macedonians would implore the gods to give them a lawful successor to the kingdom by his niece. This so irritated Alexander, that throwing one of the cups at his head, "You villain," said he, "what, am I then a bastard?" Then Philip, taking Attalus's part, rose up and would have run his son through; but by good fortune for them both, either his over-hasty rage, or the wine he had drunk, made his foot slip, so that he fell down on the floor. At which Alexander reproachfully insulted over him: "See there," said he, "the man who makes preparations to pass out of Europe into Asia, overturned in passing from one seat to another."
|
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+
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+
In 337 BC, Alexander fled Macedon with his mother, dropping her off with her brother, King Alexander I of Epirus in Dodona, capital of the Molossians.[40] He continued to Illyria,[40] where he sought refuge with one or more Illyrian kings, perhaps with Glaukias, and was treated as a guest, despite having defeated them in battle a few years before.[41] However, it appears Philip never intended to disown his politically and militarily trained son.[40] Accordingly, Alexander returned to Macedon after six months due to the efforts of a family friend, Demaratus, who mediated between the two parties.[42]
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In the following year, the Persian satrap (governor) of Caria, Pixodarus, offered his eldest daughter to Alexander's half-brother, Philip Arrhidaeus.[40] Olympias and several of Alexander's friends suggested this showed Philip intended to make Arrhidaeus his heir.[40] Alexander reacted by sending an actor, Thessalus of Corinth, to tell Pixodarus that he should not offer his daughter's hand to an illegitimate son, but instead to Alexander. When Philip heard of this, he stopped the negotiations and scolded Alexander for wishing to marry the daughter of a Carian, explaining that he wanted a better bride for him.[40] Philip exiled four of Alexander's friends, Harpalus, Nearchus, Ptolemy and Erigyius, and had the Corinthians bring Thessalus to him in chains.[43]
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48 |
+
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In summer 336 BC, while at Aegae attending the wedding of his daughter Cleopatra to Olympias's brother, Alexander I of Epirus, Philip was assassinated by the captain of his bodyguards, Pausanias.[e] As Pausanias tried to escape, he tripped over a vine and was killed by his pursuers, including two of Alexander's companions, Perdiccas and Leonnatus. Alexander was proclaimed king on the spot by the nobles and army at the age of 20.[45][46][47]
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Alexander began his reign by eliminating potential rivals to the throne. He had his cousin, the former Amyntas IV, executed.[48] He also had two Macedonian princes from the region of Lyncestis killed, but spared a third, Alexander Lyncestes. Olympias had Cleopatra Eurydice and Europa, her daughter by Philip, burned alive. When Alexander learned about this, he was furious. Alexander also ordered the murder of Attalus,[48] who was in command of the advance guard of the army in Asia Minor and Cleopatra's uncle.[49]
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+
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Attalus was at that time corresponding with Demosthenes, regarding the possibility of defecting to Athens. Attalus also had severely insulted Alexander, and following Cleopatra's murder, Alexander may have considered him too dangerous to leave alive.[49] Alexander spared Arrhidaeus, who was by all accounts mentally disabled, possibly as a result of poisoning by Olympias.[45][47][50]
|
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+
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News of Philip's death roused many states into revolt, including Thebes, Athens, Thessaly, and the Thracian tribes north of Macedon. When news of the revolts reached Alexander, he responded quickly. Though advised to use diplomacy, Alexander mustered 3,000 Macedonian cavalry and rode south towards Thessaly. He found the Thessalian army occupying the pass between Mount Olympus and Mount Ossa, and ordered his men to ride over Mount Ossa. When the Thessalians awoke the next day, they found Alexander in their rear and promptly surrendered, adding their cavalry to Alexander's force. He then continued south towards the Peloponnese.[51]
|
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+
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Alexander stopped at Thermopylae, where he was recognized as the leader of the Amphictyonic League before heading south to Corinth. Athens sued for peace and Alexander pardoned the rebels. The famous encounter between Alexander and Diogenes the Cynic occurred during Alexander's stay in Corinth. When Alexander asked Diogenes what he could do for him, the philosopher disdainfully asked Alexander to stand a little to the side, as he was blocking the sunlight.[52] This reply apparently delighted Alexander, who is reported to have said "But verily, if I were not Alexander, I would like to be Diogenes."[53] At Corinth, Alexander took the title of Hegemon ("leader") and, like Philip, was appointed commander for the coming war against Persia. He also received news of a Thracian uprising.[54]
|
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+
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+
Before crossing to Asia, Alexander wanted to safeguard his northern borders. In the spring of 335 BC, he advanced to suppress several revolts. Starting from Amphipolis, he travelled east into the country of the "Independent Thracians"; and at Mount Haemus, the Macedonian army attacked and defeated the Thracian forces manning the heights.[55] The Macedonians marched into the country of the Triballi, and defeated their army near the Lyginus river[56] (a tributary of the Danube). Alexander then marched for three days to the Danube, encountering the Getae tribe on the opposite shore. Crossing the river at night, he surprised them and forced their army to retreat after the first cavalry skirmish.[57]
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+
News then reached Alexander that Cleitus, King of Illyria, and King Glaukias of the Taulantii were in open revolt against his authority. Marching west into Illyria, Alexander defeated each in turn, forcing the two rulers to flee with their troops. With these victories, he secured his northern frontier.[58]
|
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+
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+
While Alexander campaigned north, the Thebans and Athenians rebelled once again. Alexander immediately headed south.[59] While the other cities again hesitated, Thebes decided to fight. The Theban resistance was ineffective, and Alexander razed the city and divided its territory between the other Boeotian cities. The end of Thebes cowed Athens, leaving all of Greece temporarily at peace.[59] Alexander then set out on his Asian campaign, leaving Antipater as regent.[60]
|
64 |
+
|
65 |
+
According to ancient writers Demosthenes called Alexander "Margites" (Greek: Μαργίτης)[61][62][63] and a boy.[63] Greeks used the word Margites to describe fool and useless people, on account of the Margites.[62][64]
|
66 |
+
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67 |
+
Ionia 336 BC
|
68 |
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69 |
+
Media and Egypt 333 BC
|
70 |
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71 |
+
Persia 331 BC
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72 |
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+
India 326 BC
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In 336 BC Philip II had already sent Parmenion, with Amyntas, Andromenes and Attalus, and an army of 10,000 men into Anatolia to make preparations for an invasion to free the Greeks living on the western coast and islands from Achaemenid rule.[65][66] At first, all went well. The Greek cities on the western coast of Anatolia revolted until the news arrived that Philip had been murdered and had been succeeded by his young son Alexander. The Macedonians were demoralized by Philip's death and were subsequently defeated near Magnesia by the Achaemenids under the command of the mercenary Memnon of Rhodes.[65][66]
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Taking over the invasion project of Philip II, Alexander's army crossed the Hellespont in 334 BC with approximately 48,100 soldiers, 6,100 cavalry and a fleet of 120 ships with crews numbering 38,000,[59] drawn from Macedon and various Greek city-states, mercenaries, and feudally raised soldiers from Thrace, Paionia, and Illyria.[67][f] He showed his intent to conquer the entirety of the Persian Empire by throwing a spear into Asian soil and saying he accepted Asia as a gift from the gods. This also showed Alexander's eagerness to fight, in contrast to his father's preference for diplomacy.[59]
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After an initial victory against Persian forces at the Battle of the Granicus, Alexander accepted the surrender of the Persian provincial capital and treasury of Sardis; he then proceeded along the Ionian coast, granting autonomy and democracy to the cities. Miletus, held by Achaemenid forces, required a delicate siege operation, with Persian naval forces nearby. Further south, at Halicarnassus, in Caria, Alexander successfully waged his first large-scale siege, eventually forcing his opponents, the mercenary captain Memnon of Rhodes and the Persian satrap of Caria, Orontobates, to withdraw by sea.[68] Alexander left the government of Caria to a member of the Hecatomnid dynasty, Ada, who adopted Alexander.[69]
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From Halicarnassus, Alexander proceeded into mountainous Lycia and the Pamphylian plain, asserting control over all coastal cities to deny the Persians naval bases. From Pamphylia onwards the coast held no major ports and Alexander moved inland. At Termessos, Alexander humbled but did not storm the Pisidian city.[70] At the ancient Phrygian capital of Gordium, Alexander "undid" the hitherto unsolvable Gordian Knot, a feat said to await the future "king of Asia".[71] According to the story, Alexander proclaimed that it did not matter how the knot was undone and hacked it apart with his sword.[72]
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+
In spring 333 BC, Alexander crossed the Taurus into Cilicia. After a long pause due to an illness, he marched on towards Syria. Though outmanoeuvered by Darius' significantly larger army, he marched back to Cilicia, where he defeated Darius at Issus. Darius fled the battle, causing his army to collapse, and left behind his wife, his two daughters, his mother Sisygambis, and a fabulous treasure.[73] He offered a peace treaty that included the lands he had already lost, and a ransom of 10,000 talents for his family. Alexander replied that since he was now king of Asia, it was he alone who decided territorial divisions.[74]
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Alexander proceeded to take possession of Syria, and most of the coast of the Levant.[69] In the following year, 332 BC, he was forced to attack Tyre, which he captured after a long and difficult siege.[75][76] The men of military age were massacred and the women and children sold into slavery.[77]
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When Alexander destroyed Tyre, most of the towns on the route to Egypt quickly capitulated. However, Alexander met with resistance at Gaza. The stronghold was heavily fortified and built on a hill, requiring a siege. When "his engineers pointed out to him that because of the height of the mound it would be impossible... this encouraged Alexander all the more to make the
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attempt".[78] After three unsuccessful assaults, the stronghold fell, but not before Alexander had received a serious shoulder wound. As in Tyre, men of military age were put to the sword and the women and children were sold into slavery.[79]
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Alexander advanced on Egypt in later 332 BC, where he was regarded as a liberator.[80] He was pronounced son of the deity Amun at the Oracle of Siwa Oasis in the Libyan desert.[81] Henceforth, Alexander often referred to Zeus-Ammon as his true father, and after his death, currency depicted him adorned with the Horns of Ammon as a symbol of his divinity.[82] During his stay in Egypt, he founded Alexandria-by-Egypt, which would become the prosperous capital of the Ptolemaic Kingdom after his death.[83]
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Leaving Egypt in 331 BCE, Alexander marched eastward into Achaemenid Assyria in Upper Mesopotamia (now northern Iraq) and defeated Darius again at the Battle of Gaugamela.[84] Darius once more fled the field, and Alexander chased him as far as Arbela. Gaugamela would be the final and decisive encounter between the two. Darius fled over the mountains to Ecbatana (modern Hamadan) while Alexander captured Babylon.[85]
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From Babylon, Alexander went to Susa, one of the Achaemenid capitals, and captured its treasury.[85] He sent the bulk of his army to the Persian ceremonial capital of Persepolis via the Persian Royal Road. Alexander himself took selected troops on the direct route to the city. He then stormed the pass of the Persian Gates (in the modern Zagros Mountains) which had been blocked by a Persian army under Ariobarzanes and then hurried to Persepolis before its garrison could loot the treasury.[86]
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On entering Persepolis, Alexander allowed his troops to loot the city for several days.[87] Alexander stayed in Persepolis for five months.[88] During his stay a fire broke out in the eastern palace of Xerxes I and spread to the rest of the city. Possible causes include a drunken accident or deliberate revenge for the burning of the Acropolis of Athens during the Second Persian War by Xerxes;[89] Plutarch and Diodorus allege that Alexander's companion, the hetaera Thaïs, instigated and started the fire. Even as he watched the city burn, Alexander immediately began to regret his decision.[90][91][92] Plutarch claims that he ordered his men to put out the fires,[90] but that the flames had already spread to most of the city.[90] Curtius claims that Alexander did not regret his decision until the next morning.[90] Plutarch recounts an anecdote in which Alexander pauses and talks to a fallen statue of Xerxes as if it were a live person:
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Shall I pass by and leave you lying there because of the expeditions you led against Greece, or shall I set you up again because of your magnanimity and your virtues in other respects?[93]
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+
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Alexander then chased Darius, first into Media, and then Parthia.[95] The Persian king no longer controlled his own destiny, and was taken prisoner by Bessus, his Bactrian satrap and kinsman.[96] As Alexander approached, Bessus had his men fatally stab the Great King and then declared himself Darius' successor as Artaxerxes V, before retreating into Central Asia to launch a guerrilla campaign against Alexander.[97] Alexander buried Darius' remains next to his Achaemenid predecessors in a regal funeral.[98] He claimed that, while dying, Darius had named him as his successor to the Achaemenid throne.[99] The Achaemenid Empire is normally considered to have fallen with Darius.[100]
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Alexander viewed Bessus as a usurper and set out to defeat him. This campaign, initially against Bessus, turned into a grand tour of central Asia. Alexander founded a series of new cities, all called Alexandria, including modern Kandahar in Afghanistan, and Alexandria Eschate ("The Furthest") in modern Tajikistan. The campaign took Alexander through Media, Parthia, Aria (West Afghanistan), Drangiana, Arachosia (South and Central Afghanistan), Bactria (North and Central Afghanistan), and Scythia.[101]
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In 329 BC, Spitamenes, who held an undefined position in the satrapy of Sogdiana, betrayed Bessus to Ptolemy, one of Alexander's trusted companions, and Bessus was executed.[102] However, when, at some point later, Alexander was on the Jaxartes dealing with an incursion by a horse nomad army, Spitamenes raised Sogdiana in revolt. Alexander personally defeated the Scythians at the Battle of Jaxartes and immediately launched a campaign against Spitamenes, defeating him in the Battle of Gabai. After the defeat, Spitamenes was killed by his own men, who then sued for peace.[103]
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During this time, Alexander adopted some elements of Persian dress and customs at his court, notably the custom of proskynesis, either a symbolic kissing of the hand, or prostration on the ground, that Persians showed to their social superiors.[104] The Greeks regarded the gesture as the province of deities and believed that Alexander meant to deify himself by requiring it. This cost him the sympathies of many of his countrymen, and he eventually abandoned it.[105]
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A plot against his life was revealed, and one of his officers, Philotas, was executed for failing to alert Alexander. The death of the son necessitated the death of the father, and thus Parmenion, who had been charged with guarding the treasury at Ecbatana, was assassinated at Alexander's command, to prevent attempts at vengeance. Most infamously, Alexander personally killed the man who had saved his life at Granicus, Cleitus the Black, during a violent drunken altercation at Maracanda (modern day Samarkand in Uzbekistan), in which Cleitus accused Alexander of several judgmental mistakes and most especially, of having forgotten the Macedonian ways in favour of a corrupt oriental lifestyle.[106]
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Later, in the Central Asian campaign, a second plot against his life was revealed, this one instigated by his own royal pages. His official historian, Callisthenes of Olynthus, was implicated in the plot, and in the Anabasis of Alexander, Arrian states that Callisthenes and the pages were then tortured on the rack as punishment, and likely died soon after.[107] It remains unclear if Callisthenes was actually involved in the plot, for prior to his accusation he had fallen out of favour by leading the opposition to the attempt to introduce proskynesis.[108]
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When Alexander set out for Asia, he left his general Antipater, an experienced military and political leader and part of Philip II's "Old Guard", in charge of Macedon.[60] Alexander's sacking of Thebes ensured that Greece remained quiet during his absence.[60] The one exception was a call to arms by Spartan king Agis III in 331 BC, whom Antipater defeated and killed in the battle of Megalopolis.[60] Antipater referred the Spartans' punishment to the League of Corinth, which then deferred to Alexander, who chose to pardon them.[109] There was also considerable friction between Antipater and Olympias, and each complained to Alexander about the other.[110]
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In general, Greece enjoyed a period of peace and prosperity during Alexander's campaign in Asia.[111] Alexander sent back vast sums from his conquest, which stimulated the economy and increased trade across his empire.[112] However, Alexander's constant demands for troops and the migration of Macedonians throughout his empire depleted Macedon's strength, greatly weakening it in the years after Alexander, and ultimately led to its subjugation by Rome after the Third Macedonian War (171–168 BC).[16]
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After the death of Spitamenes and his marriage to Roxana (Raoxshna in Old Iranian) to cement relations with his new satrapies, Alexander turned to the Indian subcontinent. He invited the chieftains of the former satrapy of Gandhara (a region presently straddling eastern Afghanistan and northern Pakistan), to come to him and submit to his authority. Omphis (Indian name Ambhi), the ruler of Taxila, whose kingdom extended from the Indus to the Hydaspes (Jhelum), complied, but the chieftains of some hill clans, including the Aspasioi and Assakenoi sections of the Kambojas (known in Indian texts also as Ashvayanas and Ashvakayanas), refused to submit.[113] Ambhi hastened to relieve Alexander of his apprehension and met him with valuable presents, placing himself and all his forces at his disposal. Alexander not only returned Ambhi his title and the gifts but he also presented him with a wardrobe of "Persian robes, gold and silver ornaments, 30 horses and 1,000 talents in gold". Alexander was emboldened to divide his forces, and Ambhi assisted Hephaestion and Perdiccas in constructing a bridge over the Indus where it bends at Hund,[114] supplied their troops with provisions, and received Alexander himself, and his whole army, in his capital city of Taxila, with every demonstration of friendship and the most liberal hospitality.
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On the subsequent advance of the Macedonian king, Taxiles accompanied him with a force of 5,000 men and took part in the battle of the Hydaspes River. After that victory he was sent by Alexander in pursuit of Porus (Indian name Puru), to whom he was charged to offer favourable terms, but narrowly escaped losing his life at the hands of his old enemy. Subsequently, however, the two rivals were reconciled by the personal mediation of Alexander; and Taxiles, after having contributed zealously to the equipment of the fleet on the Hydaspes, was entrusted by the king with the government of the whole territory between that river and the Indus. A considerable accession of power was granted him after the death of Philip, son of Machatas; and he was allowed to retain his authority at the death of Alexander himself (323 BC), as well as in the subsequent partition of the provinces at Triparadisus, 321 BC.
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In the winter of 327/326 BC, Alexander personally led a campaign against the Aspasioi of Kunar valleys, the Guraeans of the Guraeus valley, and the Assakenoi of the Swat and Buner valleys.[115] A fierce contest ensued with the Aspasioi in which Alexander was wounded in the shoulder by a dart, but eventually the Aspasioi lost. Alexander then faced the Assakenoi, who fought against him from the strongholds of Massaga, Ora and Aornos.[113]
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The fort of Massaga was reduced only after days of bloody fighting, in which Alexander was wounded seriously in the ankle. According to Curtius, "Not only did Alexander slaughter the entire population of Massaga, but also did he reduce its buildings to rubble."[116] A similar slaughter followed at Ora. In the aftermath of Massaga and Ora, numerous Assakenians fled to the fortress of Aornos. Alexander followed close behind and captured the strategic hill-fort after four bloody days.[113]
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After Aornos, Alexander crossed the Indus and fought and won an epic battle against King Porus, who ruled a region lying between the Hydaspes and the Acesines (Chenab), in what is now the Punjab, in the Battle of the Hydaspes in 326 BC.[117] Alexander was impressed by Porus' bravery, and made him an ally. He appointed Porus as satrap, and added to Porus' territory land that he did not previously own, towards the south-east, up to the Hyphasis (Beas).[118][119] Choosing a local helped him control these lands so distant from Greece.[120] Alexander founded two cities on opposite sides of the Hydaspes river, naming one Bucephala, in honour of his horse, who died around this time.[121] The other was Nicaea (Victory), thought to be located at the site of modern-day Mong, Punjab.[122] Philostratus the Elder in the Life of Apollonius of Tyana writes that in the army of Porus there was an elephant who fought brave against Alexander's army and Alexander dedicated it to the Helios (Sun) and named it Ajax, because he thought that a so great animal deserved a great name. The elephant had gold rings around its tusks and an inscription was on them written in Greek: "Alexander the son of Zeus dedicates Ajax to the Helios" (ΑΛΕΞΑΝΔΡΟΣ Ο ΔΙΟΣ ΤΟΝ ΑΙΑΝΤΑ ΤΩΙ ΗΛΙΩΙ).[123]
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East of Porus' kingdom, near the Ganges River, was the Nanda Empire of Magadha, and further east, the Gangaridai Empire of Bengal region of the Indian subcontinent. Fearing the prospect of facing other large armies and exhausted by years of campaigning, Alexander's army mutinied at the Hyphasis River (Beas), refusing to march farther east.[124] This river thus marks the easternmost extent of Alexander's conquests.[125]
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As for the Macedonians, however, their struggle with Porus blunted their courage and stayed their further advance into India. For having had all they could do to repulse an enemy who mustered only twenty thousand infantry and two thousand horse, they violently opposed Alexander when he insisted on crossing the river Ganges also, the width of which, as they learned, was thirty-two furlongs, its depth a hundred fathoms, while its banks on the further side were covered with multitudes of men-at-arms and horsemen and elephants. For they were told that the kings of the Ganderites and Praesii were awaiting them with eighty thousand horsemen, two hundred thousand footmen, eight thousand chariots, and six thousand war elephants.[126]
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Alexander tried to persuade his soldiers to march farther, but his general Coenus pleaded with him to change his opinion and return; the men, he said, "longed to again see their parents, their wives and children, their homeland". Alexander eventually agreed and turned south, marching along the Indus. Along the way his army conquered the Malhi (in modern-day Multan) and other Indian tribes and Alexander sustained an injury during the siege.[127]
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Alexander sent much of his army to Carmania (modern southern Iran) with general Craterus, and commissioned a fleet to explore the Persian Gulf shore under his admiral Nearchus, while he led the rest back to Persia through the more difficult southern route along the Gedrosian Desert and Makran.[128] Alexander reached Susa in 324 BC, but not before losing many men to the harsh desert.[129]
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Discovering that many of his satraps and military governors had misbehaved in his absence, Alexander executed several of them as examples on his way to Susa.[131][132] As a gesture of thanks, he paid off the debts of his soldiers, and announced that he would send over-aged and disabled veterans back to Macedon, led by Craterus. His troops misunderstood his intention and mutinied at the town of Opis. They refused to be sent away and criticized his adoption of Persian customs and dress and the introduction of Persian officers and soldiers into Macedonian units.[133]
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After three days, unable to persuade his men to back down, Alexander gave Persians command posts in the army and conferred Macedonian military titles upon Persian units. The Macedonians quickly begged forgiveness, which Alexander accepted, and held a great banquet for several thousand of his men at which he and they ate together.[134] In an attempt to craft a lasting harmony between his Macedonian and Persian subjects, Alexander held a mass marriage of his senior officers to Persian and other noblewomen at Susa, but few of those marriages seem to have lasted much beyond a year.[132] Meanwhile, upon his return to Persia, Alexander learned that guards of the tomb of Cyrus the Great in Pasargadae had desecrated it, and swiftly executed them.[135] Alexander admired Cyrus the Great, from an early age reading Xenophon's Cyropaedia, which described Cyrus's heroism in battle and governance as a king and legislator.[136] During his visit to Pasargadae Alexander ordered his architect Aristobulus to decorate the interior of the sepulchral chamber of Cyrus' tomb.[136]
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Afterwards, Alexander travelled to Ecbatana to retrieve the bulk of the Persian treasure. There, his closest friend and possible lover, Hephaestion, died of illness or poisoning.[137][138] Hephaestion's death devastated Alexander, and he ordered the preparation of an expensive funeral pyre in Babylon, as well as a decree for public mourning.[137] Back in Babylon, Alexander planned a series of new campaigns, beginning with an invasion of Arabia, but he would not have a chance to realize them, as he died shortly after Hephaestion.[139]
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On either 10 or 11 June 323 BC, Alexander died in the palace of Nebuchadnezzar II, in Babylon, at age 32.[140] There are two different versions of Alexander's death and details of the death differ slightly in each. Plutarch's account is that roughly 14 days before his death, Alexander entertained admiral Nearchus, and spent the night and next day drinking with Medius of Larissa.[141] He developed a fever, which worsened until he was unable to speak. The common soldiers, anxious about his health, were granted the right to file past him as he silently waved at them.[142] In the second account, Diodorus recounts that Alexander was struck with pain after downing a large bowl of unmixed wine in honour of Heracles, followed by 11 days of weakness; he did not develop a fever and died after some agony.[143] Arrian also mentioned this as an alternative, but Plutarch specifically denied this claim.[141]
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Given the propensity of the Macedonian aristocracy to assassination,[144] foul play featured in multiple accounts of his death. Diodorus, Plutarch, Arrian and Justin all mentioned the theory that Alexander was poisoned. Justin stated that Alexander was the victim of a poisoning conspiracy, Plutarch dismissed it as a fabrication,[145] while both Diodorus and Arrian noted that they mentioned it only for the sake of completeness.[143][146] The accounts were nevertheless fairly consistent in designating Antipater, recently removed as Macedonian viceroy, and at odds with Olympias, as the head of the alleged plot. Perhaps taking his summons to Babylon as a death sentence,[147] and having seen the fate of Parmenion and Philotas,[148] Antipater purportedly arranged for Alexander to be poisoned by his son Iollas, who was Alexander's wine-pourer.[146][148] There was even a suggestion that Aristotle may have participated.[146]
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The strongest argument against the poison theory is the fact that twelve days passed between the start of his illness and his death; such long-acting poisons were probably not available.[149] However, in a 2003 BBC documentary investigating the death of Alexander, Leo Schep from the New Zealand National Poisons Centre proposed that the plant white hellebore (Veratrum album), which was known in antiquity, may have been used to poison Alexander.[150][151][152] In a 2014 manuscript in the journal Clinical Toxicology, Schep suggested Alexander's wine was spiked with Veratrum album, and that this would produce poisoning symptoms that match the course of events described in the Alexander Romance.[153] Veratrum album poisoning can have a prolonged course and it was suggested that if Alexander was poisoned, Veratrum album offers the most plausible cause.[153][154] Another poisoning explanation put forward in 2010 proposed that the circumstances of his death were compatible with poisoning by water of the river Styx (modern-day Mavroneri in Arcadia, Greece) that contained calicheamicin, a dangerous compound produced by bacteria.[155]
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Several natural causes (diseases) have been suggested, including malaria and typhoid fever. A 1998 article in the New England Journal of Medicine attributed his death to typhoid fever complicated by bowel perforation and ascending paralysis.[156] Another recent analysis suggested pyogenic (infectious) spondylitis or meningitis.[157] Other illnesses fit the symptoms, including acute pancreatitis and West Nile virus.[158][159] Natural-cause theories also tend to emphasize that Alexander's health may have been in general decline after years of heavy drinking and severe wounds. The anguish that Alexander felt after Hephaestion's death may also have contributed to his declining health.[156]
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Alexander's body was laid in a gold anthropoid sarcophagus that was filled with honey, which was in turn placed in a gold casket.[160][161] According to Aelian, a seer called Aristander foretold that the land where Alexander was laid to rest "would be happy and unvanquishable forever".[162] Perhaps more likely, the successors may have seen possession of the body as a symbol of legitimacy, since burying the prior king was a royal prerogative.[163]
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While Alexander's funeral cortege was on its way to Macedon, Ptolemy seized it and took it temporarily to Memphis.[160][162] His successor, Ptolemy II Philadelphus, transferred the sarcophagus to Alexandria, where it remained until at least late Antiquity. Ptolemy IX Lathyros, one of Ptolemy's final successors, replaced Alexander's sarcophagus with a glass one so he could convert the original to coinage.[164] The recent discovery of an enormous tomb in northern Greece, at Amphipolis, dating from the time of Alexander the Great[165] has given rise to speculation that its original intent was to be the burial place of Alexander. This would fit with the intended destination of Alexander's funeral cortege. However, the memorial was found to be dedicated to the dearest friend of Alexander the Great, Hephaestion.[166][167]
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Pompey, Julius Caesar and Augustus all visited the tomb in Alexandria, where Augustus, allegedly, accidentally knocked the nose off. Caligula was said to have taken Alexander's breastplate from the tomb for his own use. Around AD 200, Emperor Septimius Severus closed Alexander's tomb to the public. His son and successor, Caracalla, a great admirer, visited the tomb during his own reign. After this, details on the fate of the tomb are hazy.[164]
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The so-called "Alexander Sarcophagus", discovered near Sidon and now in the Istanbul Archaeology Museum, is so named not because it was thought to have contained Alexander's remains, but because its bas-reliefs depict Alexander and his companions fighting the Persians and hunting. It was originally thought to have been the sarcophagus of Abdalonymus (died 311 BC), the king of Sidon appointed by Alexander immediately following the battle of Issus in 331.[168][169] However, more recently, it has been suggested that it may date from earlier than Abdalonymus' death.
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Demades likened the Macedonian army, after the death of Alexander, to the blinded Cyclop, due to the many random and disorderly movements that it made.[170][171][172] In addition, Leosthenes, also, likened the anarchy between the generals, after Alexander's death, to the blinded Cyclop "who after he had lost his eye went feeling and groping about with his hands before him, not knowing where to lay them".[173]
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Alexander's death was so sudden that when reports of his death reached Greece, they were not immediately believed.[60] Alexander had no obvious or legitimate heir, his son Alexander IV by Roxane being born after Alexander's death.[174] According to Diodorus, Alexander's companions asked him on his deathbed to whom he bequeathed his kingdom; his laconic reply was "tôi kratistôi"—"to the strongest".[143] Another theory is that his successors willfully or erroneously misheard "tôi Kraterôi"—"to Craterus", the general leading his Macedonian troops home and newly entrusted with the regency of Macedonia.[175]
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Arrian and Plutarch claimed that Alexander was speechless by this point, implying that this was an apocryphal story.[176] Diodorus, Curtius and Justin offered the more plausible story that Alexander passed his signet ring to Perdiccas, a bodyguard and leader of the companion cavalry, in front of witnesses, thereby nominating him.[143][174]
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Perdiccas initially did not claim power, instead suggesting that Roxane's baby would be king, if male; with himself, Craterus, Leonnatus, and Antipater as guardians. However, the infantry, under the command of Meleager, rejected this arrangement since they had been excluded from the discussion. Instead, they supported Alexander's half-brother Philip Arrhidaeus. Eventually, the two sides reconciled, and after the birth of Alexander IV, he and Philip III were appointed joint kings, albeit in name only.[177]
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Dissension and rivalry soon afflicted the Macedonians, however. The satrapies handed out by Perdiccas at the Partition of Babylon became power bases each general used to bid for power. After the assassination of Perdiccas in 321 BC, Macedonian unity collapsed, and 40 years of war between "The Successors" (Diadochi) ensued before the Hellenistic world settled into four stable power blocs: Ptolemaic Egypt, Seleucid Mesopotamia and Central Asia, Attalid Anatolia, and Antigonid Macedon. In the process, both Alexander IV and Philip III were murdered.[178]
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Diodorus stated that Alexander had given detailed written instructions to Craterus some time before his death.[179] Craterus started to carry out Alexander's commands, but the successors chose not to further implement them, on the grounds they were impractical and extravagant.[179] Nevertheless, Perdiccas read Alexander's will to his troops.[60]
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Alexander's will called for military expansion into the southern and western Mediterranean, monumental constructions, and the intermixing of Eastern and Western populations. It included:
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Alexander earned the epithet "the Great" due to his unparalleled success as a military commander. He never lost a battle, despite typically being outnumbered.[59] This was due to use of terrain, phalanx and cavalry tactics, bold strategy, and the fierce loyalty of his troops.[181] The Macedonian phalanx, armed with the sarissa, a spear 6 metres (20 ft) long, had been developed and perfected by Philip II through rigorous training, and Alexander used its speed and maneuverability to great effect against larger but more disparate[clarification needed] Persian forces.[182] Alexander also recognized the potential for disunity among his diverse army, which employed various languages and weapons. He overcame this by being personally involved in battle,[88] in the manner of a Macedonian king.[181]
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In his first battle in Asia, at Granicus, Alexander used only a small part of his forces, perhaps 13,000 infantry with 5,000 cavalry, against a much larger Persian force of 40,000.[183] Alexander placed the phalanx at the center and cavalry and archers on the wings, so that his line matched the length of the Persian cavalry line, about 3 km (1.86 mi). By contrast, the Persian infantry was stationed behind its cavalry. This ensured that Alexander would not be outflanked, while his phalanx, armed with long pikes, had a considerable advantage over the Persians' scimitars and javelins. Macedonian losses were negligible compared to those of the Persians.[184]
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At Issus in 333 BC, his first confrontation with Darius, he used the same deployment, and again the central phalanx pushed through.[184] Alexander personally led the charge in the center, routing the opposing army.[185] At the decisive encounter with Darius at Gaugamela, Darius equipped his chariots with scythes on the wheels to break up the phalanx and equipped his cavalry with pikes. Alexander arranged a double phalanx, with the center advancing at an angle, parting when the chariots bore down and then reforming. The advance was successful and broke Darius' center, causing the latter to flee once again.[184]
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When faced with opponents who used unfamiliar fighting techniques, such as in Central Asia and India, Alexander adapted his forces to his opponents' style. Thus, in Bactria and Sogdiana, Alexander successfully used his javelin throwers and archers to prevent outflanking movements, while massing his cavalry at the center.[185] In India, confronted by Porus' elephant corps, the Macedonians opened their ranks to envelop the elephants and used their sarissas to strike upwards and dislodge the elephants' handlers.[134]
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Greek biographer Plutarch (c. 45 – c. 120 AD) describes Alexander's appearance as:
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The outward appearance of Alexander is best represented by the statues of him which Lysippus made, and it was by this artist alone that Alexander himself thought it fit that he should be modelled. For those peculiarities which many of his successors and friends afterwards tried to imitate, namely, the poise of the neck, which was bent slightly to the left, and the melting glance of his eyes, this artist has accurately observed. Apelles, however, in painting him as wielder of the thunder-bolt, did not reproduce his complexion, but made it too dark and swarthy. Whereas he was of a fair colour, as they say, and his fairness passed into ruddiness on his breast particularly, and in his face. Moreover, that a very pleasant odour exhaled from his skin and that there was a fragrance about his mouth and all his flesh, so that his garments were filled with it, this we have read in the Memoirs of Aristoxenus.[186]
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The semi-legendary Alexander Romance also suggests that Alexander exhibited heterochromia iridum: that one eye was dark and the other light.[187]
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British historian Peter Green provided a description of Alexander's appearance, based on his review of statues and some ancient documents:
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Physically, Alexander was not prepossessing. Even by Macedonian standards he was very short, though stocky and tough. His beard was scanty, and he stood out against his hirsute Macedonian barons by going clean-shaven. His neck was in some way twisted, so that he appeared to be gazing upward at an angle. His eyes (one blue, one brown) revealed a dewy, feminine quality. He had a high complexion and a harsh voice.[188]
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Historian and Egyptologist Joann Fletcher has said that the Macedonian ruler Alexander the Great had blond hair.[189]
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Ancient authors recorded that Alexander was so pleased with portraits of himself created by Lysippos that he forbade other sculptors from crafting his image.[190] Lysippos had often used the contrapposto sculptural scheme to portray Alexander and other characters such as Apoxyomenos, Hermes and Eros.[191] Lysippos' sculpture, famous for its naturalism, as opposed to a stiffer, more static pose, is thought to be the most faithful depiction.[192]
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Some of Alexander's strongest personality traits formed in response to his parents. His mother had huge ambitions, and encouraged him to believe it was his destiny to conquer the Persian Empire.[188] Olympias' influence instilled a sense of destiny in him,[194] and Plutarch tells how his ambition "kept his spirit serious and lofty in advance of his years".[195] However, his father Philip was Alexander's most immediate and influential role model, as the young Alexander watched him campaign practically every year, winning victory after victory while ignoring severe wounds.[48] Alexander's relationship with his father forged the competitive side of his personality; he had a need to outdo his father, illustrated by his reckless behaviour in battle.[188] While Alexander worried that his father would leave him "no great or brilliant achievement to be displayed to the world",[196] he also downplayed his father's achievements to his companions.[188]
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According to Plutarch, among Alexander's traits were a violent temper and rash, impulsive nature,[197] which undoubtedly contributed to some of his decisions.[188] Although Alexander was stubborn and did not respond well to orders from his father, he was open to reasoned debate.[198] He had a calmer side—perceptive, logical, and calculating. He had a great desire for knowledge, a love for philosophy, and was an avid reader.[199] This was no doubt in part due to Aristotle's tutelage; Alexander was intelligent and quick to learn.[188] His intelligent and rational side was amply demonstrated by his ability and success as a general.[197] He had great self-restraint in "pleasures of the body", in contrast with his lack of self-control with alcohol.[200]
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Alexander was erudite and patronized both arts and sciences.[195][199] However, he had little interest in sports or the Olympic games (unlike his father), seeking only the Homeric ideals of honour (timê) and glory (kudos).[201] He had great charisma and force of personality, characteristics which made him a great leader.[174][197] His unique abilities were further demonstrated by the inability of any of his generals to unite Macedonia and retain the Empire after his death—only Alexander had the ability to do so.[174]
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During his final years, and especially after the death of Hephaestion, Alexander began to exhibit signs of megalomania and paranoia.[147] His extraordinary achievements, coupled with his own ineffable sense of destiny and the flattery of his companions, may have combined to produce this effect.[202] His delusions of grandeur are readily visible in his will and in his desire to conquer the world,[147] in as much as he is by various sources described as having boundless ambition,[203][204] an epithet, the meaning of which has descended into an historical cliché.[205][206]
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He appears to have believed himself a deity, or at least sought to deify himself.[147] Olympias always insisted to him that he was the son of Zeus,[207] a theory apparently confirmed to him by the oracle of Amun at Siwa.[208] He began to identify himself as the son of Zeus-Ammon.[208] Alexander adopted elements of Persian dress and customs at court, notably proskynesis, a practice of which Macedonians disapproved, and were loath to perform.[104] This behaviour cost him the sympathies of many of his countrymen.[209] However, Alexander also was a pragmatic ruler who understood the difficulties of ruling culturally disparate peoples, many of whom lived in kingdoms where the king was divine.[210] Thus, rather than megalomania, his behaviour may simply have been a practical attempt at strengthening his rule and keeping his empire together.[211]
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Alexander married three times: Roxana, daughter of the Sogdian nobleman Oxyartes of Bactria,[212][213][214] out of love;[215] and the Persian princesses Stateira II and Parysatis II, the former a daughter of Darius III and latter a daughter of Artaxerxes III, for political reasons.[216][217] He apparently had two sons, Alexander IV of Macedon by Roxana and, possibly, Heracles of Macedon from his mistress Barsine. He lost another child when Roxana miscarried at Babylon.[218][219]
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Alexander also had a close relationship with his friend, general, and bodyguard Hephaestion, the son of a Macedonian noble.[137][188][220] Hephaestion's death devastated Alexander.[137][221] This event may have contributed to Alexander's failing health and detached mental state during his final months.[147][156]
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Alexander's sexuality has been the subject of speculation and controversy in modern times.[222] The Roman era writer Athenaeus says, based on the scholar Dicaearchus, who was Alexander's contemporary, that the king "was quite excessively keen on boys", and that Alexander sexually embraced his eunuch Bagoas in public.[223] This episode is also told by Plutarch, probably based on the same source. None of Alexander's contemporaries, however, are known to have explicitly described Alexander's relationship with Hephaestion as sexual, though the pair was often compared to Achilles and Patroclus, whom classical Greek culture painted as a couple. Aelian writes of Alexander's visit to Troy where "Alexander garlanded the tomb of Achilles, and Hephaestion that of Patroclus, the latter hinting that he was a beloved of Alexander, in just the same way as Patroclus was of Achilles."[224] Some modern historians (e.g., Robin Lane Fox) believe not only that Alexander's youthful relationship with Hephaestion was sexual, but that their sexual contacts may have continued into adulthood, which went against the social norms of at least some Greek cities, such as Athens,[225][226] though some modern researchers have tentatively proposed that Macedonia (or at least the Macedonian court) may have been more tolerant of homosexuality between adults.[227]
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Green argues that there is little evidence in ancient sources that Alexander had much carnal interest in women; he did not produce an heir until the very end of his life.[188] However, Ogden calculates that Alexander, who impregnated his partners thrice in eight years, had a higher matrimonial record than his father at the same age.[228] Two of these pregnancies — Stateira's and Barsine's — are of dubious legitimacy.[229]
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According to Diodorus Siculus, Alexander accumulated a harem in the style of Persian kings, but he used it rather sparingly,[230] showing great self-control in "pleasures of the body".[200] Nevertheless, Plutarch described how Alexander was infatuated by Roxana while complimenting him on not forcing himself on her.[231] Green suggested that, in the context of the period, Alexander formed quite strong friendships with women, including Ada of Caria, who adopted him, and even Darius' mother Sisygambis, who supposedly died from grief upon hearing of Alexander's death.[188]
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Alexander's legacy extended beyond his military conquests. His campaigns greatly increased contacts and trade between East and West, and vast areas to the east were significantly exposed to Greek civilization and influence.[16] Some of the cities he founded became major cultural centers, many surviving into the 21st century. His chroniclers recorded valuable information about the areas through which he marched, while the Greeks themselves got a sense of belonging to a world beyond the Mediterranean.[16]
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Alexander's most immediate legacy was the introduction of Macedonian rule to huge new swathes of Asia. At the time of his death, Alexander's empire covered some 5,200,000 km2 (2,000,000 sq mi),[233] and was the largest state of its time. Many of these areas remained in Macedonian hands or under Greek influence for the next 200–300 years. The successor states that emerged were, at least initially, dominant forces, and these 300 years are often referred to as the Hellenistic period.[234]
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The eastern borders of Alexander's empire began to collapse even during his lifetime.[174] However, the power vacuum he left in the northwest of the Indian subcontinent directly gave rise to one of the most powerful Indian dynasties in history, the Maurya Empire. Taking advantage of this power vacuum, Chandragupta Maurya (referred to in Greek sources as "Sandrokottos"), of relatively humble origin, took control of the Punjab, and with that power base proceeded to conquer the Nanda Empire.[235]
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Over the course of his conquests, Alexander founded some twenty cities that bore his name, most of them east of the Tigris.[105][236] The first, and greatest, was Alexandria in Egypt, which would become one of the leading Mediterranean cities.[105] The cities' locations reflected trade routes as well as defensive positions. At first, the cities must have been inhospitable, little more than defensive garrisons.[105] Following Alexander's death, many Greeks who had settled there tried to return to Greece.[105][236] However, a century or so after Alexander's death, many of the Alexandrias were thriving, with elaborate public buildings and substantial populations that included both Greek and local peoples.[105]
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In 334 BC, Alexander the Great donated funds for the completion of the new temple of Athena Polias in Priene, in modern-day western Turkey.[238][239] An inscription from the temple, now housed in the British Museum, declares: "King Alexander dedicated [this temple] to Athena Polias."[237] This inscription is one of the few independent archaeological discoveries confirming an episode from Alexander's life.[237] The temple was designed by Pytheos, one of the architects of the Mausoleum at Halicarnassus.[237][238][239][240]
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Libanius wrote that Alexander founded the temple of Zeus Bottiaios (Ancient Greek: Βοττιαίου Δῖός), in the place where later the city of Antioch was built.[241][242]
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Hellenization was coined by the German historian Johann Gustav Droysen to denote the spread of Greek language, culture, and population into the former Persian empire after Alexander's conquest.[234] That this export took place is undoubted, and can be seen in the great Hellenistic cities of, for instance, Alexandria, Antioch[243] and Seleucia (south of modern Baghdad).[244] Alexander sought to insert Greek elements into Persian culture and attempted to hybridize Greek and Persian culture. This culminated in his aspiration to homogenize the populations of Asia and Europe. However, his successors explicitly rejected such policies. Nevertheless, Hellenization occurred throughout the region, accompanied by a distinct and opposite 'Orientalization' of the successor states.[245]
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The core of the Hellenistic culture promulgated by the conquests was essentially Athenian.[246] The close association of men from across Greece in Alexander's army directly led to the emergence of the largely Attic-based "koine", or "common" Greek dialect.[247] Koine spread throughout the Hellenistic world, becoming the lingua franca of Hellenistic lands and eventually the ancestor of modern Greek.[247] Furthermore, town planning, education, local government, and art current in the Hellenistic period were all based on Classical Greek ideals, evolving into distinct new forms commonly grouped as Hellenistic.[243] Aspects of Hellenistic culture were still evident in the traditions of the Byzantine Empire in the mid-15th century.[248]
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Some of the most pronounced effects of Hellenization can be seen in Afghanistan and India, in the region of the relatively late-rising Greco-Bactrian Kingdom (250–125 BC) (in modern Afghanistan, Pakistan, and Tajikistan) and the Indo-Greek Kingdom (180 BC – 10 AD) in modern Afghanistan and India.[249] On the Silk Road trade routes, Hellenistic culture hybridized with Iranian and Buddhist cultures. The cosmopolitan art and mythology of Gandhara (a region spanning the upper confluence of the Indus, Swat and Kabul rivers in modern Pakistan) of the ~3rd century BC to the ~5th century AD are most evident of the direct contact between Hellenistic civilization and South Asia, as are the Edicts of Ashoka, which directly mention the Greeks within Ashoka's dominion as converting to Buddhism and the reception of Buddhist emissaries by Ashoka's contemporaries in the Hellenistic world.[250] The resulting syncretism known as Greco-Buddhism influenced the development of Buddhism[citation needed] and created a culture of Greco-Buddhist art. These Greco-Buddhist kingdoms sent some of the first Buddhist missionaries to China, Sri Lanka and Hellenistic Asia and Europe (Greco-Buddhist monasticism).
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Some of the first and most influential figurative portrayals of the Buddha appeared at this time, perhaps modeled on Greek statues of Apollo in the Greco-Buddhist style.[249] Several Buddhist traditions may have been influenced by the ancient Greek religion: the concept of Boddhisatvas is reminiscent of Greek divine heroes,[251] and some Mahayana ceremonial practices (burning incense, gifts of flowers, and food placed on altars) are similar to those practiced by the ancient Greeks; however, similar practices were also observed amongst the native Indic culture. One Greek king, Menander I, probably became Buddhist, and was immortalized in Buddhist literature as 'Milinda'.[249] The process of Hellenization also spurred trade between the east and west.[252] For example, Greek astronomical instruments dating to the 3rd century BC were found in the Greco-Bactrian city of Ai Khanoum in modern-day Afghanistan,[253] while the Greek concept of a spherical earth surrounded by the spheres of planets eventually supplanted the long-standing Indian cosmological belief of a disc consisting of four continents grouped around a central mountain (Mount Meru) like the petals of a flower.[252][254][255] The Yavanajataka (lit. Greek astronomical treatise) and Paulisa Siddhanta texts depict the influence of Greek astronomical ideas on Indian astronomy.
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Following the conquests of Alexander the Great in the east, Hellenistic influence on Indian art was far-ranging. In the area of architecture, a few examples of the Ionic order can be found as far as Pakistan with the Jandial temple near Taxila. Several examples of capitals displaying Ionic influences can be seen as far as Patna, especially with the Pataliputra capital, dated to the 3rd century BC.[256] The Corinthian order is also heavily represented in the art of Gandhara, especially through Indo-Corinthian capitals.
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Alexander and his exploits were admired by many Romans, especially generals, who wanted to associate themselves with his achievements.[257] Polybius began his Histories by reminding Romans of Alexander's achievements, and thereafter Roman leaders saw him as a role model. Pompey the Great adopted the epithet "Magnus" and even Alexander's anastole-type haircut, and searched the conquered lands of the east for Alexander's 260-year-old cloak, which he then wore as a sign of greatness.[257] Julius Caesar dedicated a Lysippean equestrian bronze statue but replaced Alexander's head with his own, while Octavian visited Alexander's tomb in Alexandria and temporarily changed his seal from a sphinx to Alexander's profile.[257] The emperor Trajan also admired Alexander, as did Nero and Caracalla.[257] The Macriani, a Roman family that in the person of Macrinus briefly ascended to the imperial throne, kept images of Alexander on their persons, either on jewelry, or embroidered into their clothes.[258]
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On the other hand, some Roman writers, particularly Republican figures, used Alexander as a cautionary tale of how autocratic tendencies can be kept in check by republican values.[259] Alexander was used by these writers as an example of ruler values such as amicita (friendship) and clementia (clemency), but also iracundia (anger) and cupiditas gloriae (over-desire for glory).[259]
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Emperor Julian in his satire called "The Caesars", describes a contest between the previous Roman emperors, with Alexander the Great called in as an extra contestant, in the presence of the assembled gods.[260]
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Pausanias writes that Alexander wanted to dig the Mimas mountain (today at the Karaburun area), but he didn't succeed. He also mentions that this was the only unsuccessful project of Alexander.[261] In addition, Pliny the Elder writes about this unsuccessful plan adding that the distance was 12 kilometres (7 1⁄2 mi), and the purpose was to cut a canal through the isthmus, so as to connect the Caystrian and Hermaean bays.[262][263]
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Arrian wrote that Aristobulus said that the Icarus island (modern Failaka Island) in the Persian Gulf had this name because Alexander ordered the island to be named like this, after the Icarus island in the Aegean Sea.[264][265]
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Legendary accounts surround the life of Alexander the Great, many deriving from his own lifetime, probably encouraged by Alexander himself.[266] His court historian Callisthenes portrayed the sea in Cilicia as drawing back from him in proskynesis. Writing shortly after Alexander's death, another participant, Onesicritus, invented a tryst between Alexander and Thalestris, queen of the mythical Amazons. When Onesicritus read this passage to his patron, Alexander's general and later King Lysimachus reportedly quipped, "I wonder where I was at the time."[267]
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In the first centuries after Alexander's death, probably in Alexandria, a quantity of the legendary material coalesced into a text known as the Alexander Romance, later falsely ascribed to Callisthenes and therefore known as Pseudo-Callisthenes. This text underwent numerous expansions and revisions throughout Antiquity and the Middle Ages,[268] containing many dubious stories,[266] and was translated into numerous languages.[269]
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Alexander the Great's accomplishments and legacy have been depicted in many cultures. Alexander has figured in both high and popular culture beginning in his own era to the present day. The Alexander Romance, in particular, has had a significant impact on portrayals of Alexander in later cultures, from Persian to medieval European to modern Greek.[269]
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Alexander features prominently in modern Greek folklore, more so than any other ancient figure.[270] The colloquial form of his name in modern Greek ("O Megalexandros") is a household name, and he is the only ancient hero to appear in the Karagiozis shadow play.[270] One well-known fable among Greek seamen involves a solitary mermaid who would grasp a ship's prow during a storm and ask the captain "Is King Alexander alive?" The correct answer is "He is alive and well and rules the world!" causing the mermaid to vanish and the sea to calm. Any other answer would cause the mermaid to turn into a raging Gorgon who would drag the ship to the bottom of the sea, all hands aboard.[270]
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In pre-Islamic Middle Persian (Zoroastrian) literature, Alexander is referred to by the epithet gujastak, meaning "accursed", and is accused of destroying temples and burning the sacred texts of Zoroastrianism.[271] In Sunni Islamic Persia, under the influence of the Alexander Romance (in Persian: اسکندرنامه Iskandarnamah), a more positive portrayal of Alexander emerges.[272] Firdausi's Shahnameh ("The Book of Kings") includes Alexander in a line of legitimate Persian shahs, a mythical figure who explored the far reaches of the world in search of the Fountain of Youth.[273] Later Persian writers associate him with philosophy, portraying him at a symposium with figures such as Socrates, Plato and Aristotle, in search of immortality.[272]
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The figure of Dhul-Qarnayn (literally "the Two-Horned One") mentioned in the Quran is believed by scholars to be based on later legends of Alexander.[272] In this tradition, he was a heroic figure who built a wall to defend against the nations of Gog and Magog.[274] He then travelled the known world in search of the Water of Life and Immortality, eventually becoming a prophet.[274]
|
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The Syriac version of the Alexander Romance portrays him as an ideal Christian world conqueror who prayed to "the one true God".[272] In Egypt, Alexander was portrayed as the son of Nectanebo II, the last pharaoh before the Persian conquest.[274] His defeat of Darius was depicted as Egypt's salvation, "proving" Egypt was still ruled by an Egyptian.[272]
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According to Josephus, Alexander was shown the Book of Daniel when he entered Jerusalem, which described a mighty Greek king who would conquer the Persian Empire. This is cited as a reason for sparing Jerusalem.[275]
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In Hindi and Urdu, the name "Sikandar", derived from the Persian name for Alexander, denotes a rising young talent, and the Delhi Sultanate ruler Aladdin Khajli stylized himself as "Sikandar-i-Sani" (the Second Alexander the Great).[276] In medieval India, Turkic and Afghan sovereigns from the Iranian-cultured region of Central Asia brought positive cultural connotations of Alexander to the Indian subcontinent, resulting in the efflorescence of Sikandernameh (Alexander Romances) written by Indo-Persian poets such as Amir Khusrow and the prominence of Alexander the Great as a popular subject in Mughal-era Persian miniatures.[277] In medieval Europe, Alexander the Great was revered as a member of the Nine Worthies, a group of heroes whose lives were believed to encapsulate all the ideal qualities of chivalry.[278]
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In Greek Anthology there are poems referring to Alexander.[279][280]
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Irish playwright Aubrey Thomas de Vere wrote Alexander the Great, a Dramatic Poem.
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In popular culture, the British heavy metal band Iron Maiden included a song titled "Alexander the Great" on their 1986 album Somewhere in Time. Written by bass player Steve Harris, the song retells Alexander's life.
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Apart from a few inscriptions and fragments, texts written by people who actually knew Alexander or who gathered information from men who served with Alexander were all lost.[16] Contemporaries who wrote accounts of his life included Alexander's campaign historian Callisthenes; Alexander's generals Ptolemy and Nearchus; Aristobulus, a junior officer on the campaigns; and Onesicritus, Alexander's chief helmsman. Their works are lost, but later works based on these original sources have survived. The earliest of these is Diodorus Siculus (1st century BC), followed by Quintus Curtius Rufus (mid-to-late 1st century AD), Arrian (1st to 2nd century AD), the biographer Plutarch (1st to 2nd century AD), and finally Justin, whose work dated as late as the 4th century.[16] Of these, Arrian is generally considered the most reliable, given that he used Ptolemy and Aristobulus as his sources, closely followed by Diodorus.[16]
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Coordinates: 12°10′S 44°15′E / 12.167°S 44.250°E / -12.167; 44.250
|
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– in Africa (light blue & dark grey)– in the African Union (light blue)
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The Comoros (/ˈkɒməroʊz/ (listen); Arabic: جزر القمر, Juzur al-Qumur / Qamar), officially the Union of the Comoros (Comorian: Udzima wa Komori, French: Union des Comores, Arabic: الاتحاد القمري al-Ittiḥād al-Qumurī / Qamarī), is an island country in the Indian Ocean located at the northern end of the Mozambique Channel off the eastern coast of Africa. It shares maritime borders with Madagascar and the French region of Mayotte to the southeast, Tanzania to the northwest, Mozambique to the west, and the Seychelles to the northeast. The capital and largest city in Comoros is Moroni. The religion of the majority of the population, and the official state religion, is Sunni Islam. As a member of the Arab League, the Comoros is the only country in the Arab world which is entirely in the Southern Hemisphere. It is also a member state of the African Union, the Organisation internationale de la Francophonie, the Organisation of Islamic Cooperation, and the Indian Ocean Commission. The Union of the Comoros has three official languages—Comorian, French, and Arabic.
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At 1,660 km2 (640 sq mi), excluding the contested island of Mayotte, the Comoros is the fourth-smallest African nation by area. The population, excluding Mayotte, is estimated at 832,322 as of 2018.[4][5] As a nation formed at a crossroads of different civilisations, the archipelago is noted for its diverse culture and history.
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The sovereign state is an archipelago consisting of three major islands and numerous smaller islands, all in the volcanic Comoro Islands. The major islands are commonly known by their French names: northwestern-most Grande Comore (Ngazidja), Mohéli (Mwali), and Anjouan (Ndzuani). In addition, the country has a claim on a fourth major island, southeastern-most Mayotte (Maore), though Mayotte voted against independence from France in 1974, has never been administered by an independent Comoros government, and continues to be administered by France (currently as an overseas department). France has vetoed United Nations Security Council resolutions that would affirm Comorian sovereignty over the island.[6][7][8][9] In addition, Mayotte became an overseas department and a region of France in 2011 following a referendum passed overwhelmingly.
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The archipelago was first settled by Bantu speakers who came from East Africa, Arabs and Austronesians. It then became part of the French colonial empire during the 19th century, before becoming independent in 1975. Since declaring independence, the country has experienced more than 20 coups d'état or attempted coups, with various heads of state assassinated.[10][11] Along with this constant political instability, the population of the Comoros lives with the worst income inequality of any nation, with a Gini coefficient over 60%, while also ranking in the worst quartile on the Human Development Index. As of 2008[update] about half the population lived below the international poverty line of US$1.25 a day.[12] The French insular region of Mayotte, which is the most prosperous territory in the Mozambique Channel, is a major destination for migrants from the independent islands.
|
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|
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The name "Comoros" derives from the Arabic word قمر qamar ("moon").[13]
|
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According to mythology, a jinni (spirit) dropped a jewel, which formed a great circular inferno. This became the Karthala volcano, which created the island of Grande Comoro. King Solomon is also said to have visited the island.
|
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The first attested human inhabitants of the Comoro Islands are now thought to have been Austronesian settlers travelling by boat from islands in Southeast Asia.[14][15] These people arrived no later than the eighth century AD, the date of the earliest known archaeological site, found on Mayotte, although settlement beginning as early as the first century has been postulated.[16]
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Subsequent settlers came from the east coast of Africa, the Arabian Peninsula and the Persian Gulf, the Malay Archipelago, and Madagascar. Bantu-speaking settlers were present on the islands from the beginnings of settlement, probably brought to the islands as slaves.[17]
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Development of the Comoros is divided into phases. The earliest reliably recorded phase is the Dembeni phase (eighth to tenth centuries), during which there were several small settlements on each island.[18] From the eleventh to the fifteenth centuries, trade with the island of Madagascar and merchants from the Swahili coast and the Middle East flourished, more villages were founded and existing villages grew. Many Comorians can trace their genealogies to ancestors from the Arabian peninsula, particularly Hadhramaut, who arrived during this period.
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According to legend, in 632, upon hearing of Islam, islanders are said to have dispatched an emissary, Mtswa-Mwindza, to Mecca—but by the time he arrived there, the Prophet Muhammad had died. Nonetheless, after a stay in Mecca, he returned to Ngazidja and led the gradual conversion of his islanders to Islam.[19]
|
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Among the earliest accounts of East Africa, the works of Al-Masudi describe early Islamic trade routes, and how the coast and islands were frequently visited by Muslims including Persian and Arab merchants and sailors in search of coral, ambergris, ivory, tortoiseshell, gold and slaves. They also brought Islam to the people of the Zanj including the Comoros. As the importance of the Comoros grew along the East African coast, both small and large mosques were constructed. The Comoros are part of the Swahili cultural and economic complex and the islands became a major hub of trade and an important location in a network of trading towns that included Kilwa, in present-day Tanzania, Sofala (an outlet for Zimbabwean gold), in Mozambique, and Mombasa in Kenya.[18]
|
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|
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The Portuguese arrived in the Indian Ocean at the end of the 15th century and the first Portuguese visit to the islands seems to have been that of Vasco da Gama's second fleet in 1503.[20] For much of the 16th century the islands provided provisions to the Portuguese fort at Mozambique and although there was no formal attempt by the Portuguese crown to take possession, a number of Portuguese traders settled.
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By the end of the 16th century the local rulers were beginning to push back and, with the support of the Omani Sultan Saif bin Sultan they began to defeat the Dutch and the Portuguese. His successor Said bin Sultan increased Omani Arab influence in the region, moving his administration to nearby Zanzibar, which came under Omani rule. Nevertheless, the Comoros remained independent, and although the three smaller islands were usually politically unified, the largest island, Ngazidja, was divided into a number of autonomous kingdoms (ntsi).[21]
|
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By the time Europeans showed interest in the Comoros, the islanders were well placed to take advantage of their needs, initially supplying ships of the route to India, particularly the English and, later, slaves to the plantation islands in the Mascarenes.[22][21]
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In the last decade of the 18th century, Malagasy warriors, mostly Betsimisaraka and Sakalava, started raiding the Comoros for slaves and the islands were devastated as crops were destroyed and the people were slaughtered, taken into captivity or fled to the African mainland: it is said that by the time the raids finally ended in the second decade of the 19th century only one man remained on Mwali.[23] The islands were repopulated by slaves from the mainland, who were traded to the French in Mayotte and the Mascarenes. On the Comoros, it was estimated in 1865 that as much as 40% of the population consisted of slaves.[24]
|
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|
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France first established colonial rule in the Comoros by taking possession of Mayotte in 1841 when the Sakalava usurper sultan Andriantsoly (also known as Tsy Levalo) signed the Treaty of April 1841,[25] which ceded the island to the French authorities.[26]
|
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|
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Meanwhile, Ndzuani (or Johanna as it was know to the British) continued to serve as a way station for English merchants sailing to India and the Far East, as well as American whalers, although the British gradually abandoned it following their possession of Mauritius in 1814 and by the time the Suez Canal opened in 1869 there was no longer any significant supply trade at Ndzuani. Local commodities exported by the Comoros were, in addition to slaves, coconuts, timber, cattle and tortoiseshell. French settlers, French-owned companies, and wealthy Arab merchants established a plantation-based economy that used about one-third of the land for export crops. After its annexation, France converted Mayotte into a sugar plantation colony. The other islands were soon transformed as well, and the major crops of ylang-ylang, vanilla, cloves, perfume plants, coffee, cocoa beans, and sisal were introduced.[27]
|
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In 1886, Mwali was placed under French protection by its Sultan Mardjani Abdou Cheikh. That same year, despite having no authority to do so, Sultan Said Ali of Bambao, one of the sultanates on Ngazidja, placed the island under French protection in exchange for French support of his claim to the entire island, which he retained until his abdication in 1910. In 1908 the islands were unified under a single administration (Colonie de Mayotte et dépendances) and placed under the authority of the French colonial governor general of Madagascar. In 1909, Sultan Said Muhamed of Ndzuani abdicated in favour of French rule. In 1912 the colony and the protectorates were abolished and the islands became a province of the colony of Madagascar.[28]
|
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Agreement was reached with France in 1973 for the Comoros to become independent in 1978, despite the deputies of Mayotte voting for increased integration with France. A referendum was held on all four of the islands. Three voted for independence by large margins, while Mayotte voted against, and remains under French administration. On 6 July 1975, however, the Comorian parliament passed a unilateral resolution declaring independence. Ahmed Abdallah proclaimed the independence of the Comorian State (État comorien; دولة القمر) and became its first president.
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The next 30 years were a period of political turmoil. On 3 August 1975, less than one month after independence, president Ahmed Abdallah was removed from office in an armed coup and replaced with United National Front of the Comoros (FNUK) member Prince Said Mohamed Jaffar. Months later, in January 1976, Jaffar was ousted in favour of his Minister of Defense Ali Soilih.[29]
|
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The population of Mayotte voted against independence from France in three referenda during this period. The first, held on all the islands on 22 December 1974, won 63.8% support for maintaining ties with France on Mayotte; the second, held in February 1976, confirmed that vote with an overwhelming 99.4%, while the third, in April 1976, confirmed that the people of Mayotte wished to remain a French territory. The three remaining islands, ruled by President Soilih, instituted a number of socialist and isolationist policies that soon strained relations with France. On 13 May 1978, Bob Denard returned to overthrow President Soilih and reinstate Abdallah with the support of the French, Rhodesian and South African governments. During Soilih's brief rule, he faced seven additional coup attempts until he was finally forced from office and killed.[29][30]
|
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In contrast to Soilih, Abdallah's presidency was marked by authoritarian rule and increased adherence to traditional Islam[31] and the country was renamed the Federal Islamic Republic of the Comoros (République Fédérale Islamique des Comores; جمهورية القمر الإتحادية الإسلامية). Abdallah continued as president until 1989 when, fearing a probable coup d'état, he signed a decree ordering the Presidential Guard, led by Bob Denard, to disarm the armed forces. Shortly after the signing of the decree, Abdallah was allegedly shot dead in his office by a disgruntled military officer, though later sources claim an antitank missile was launched into his bedroom and killed him.[32] Although Denard was also injured, it is suspected that Abdallah's killer was a soldier under his command.[33]
|
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A few days later, Bob Denard was evacuated to South Africa by French paratroopers. Said Mohamed Djohar, Soilih's older half-brother, then became president, and served until September 1995, when Bob Denard returned and attempted another coup. This time France intervened with paratroopers and forced Denard to surrender.[34][35] The French removed Djohar to Reunion, and the Paris-backed Mohamed Taki Abdoulkarim became president by election. He led the country from 1996, during a time of labour crises, government suppression, and secessionist conflicts, until his death November 1998. He was succeeded by Interim President Tadjidine Ben Said Massounde.[36]
|
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The islands of Ndzuani and Mwali declared their independence from the Comoros in 1997, in an attempt to restore French rule. But France rejected their request, leading to bloody confrontations between federal troops and rebels.[37] In April 1999, Colonel Azali Assoumani, Army Chief of Staff, seized power in a bloodless coup, overthrowing the Interim President Massounde, citing weak leadership in the face of the crisis. This was the Comoros' 18th coup, or attempted coup d'état since independence in 1975.[38]
|
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Azali failed to consolidate power and reestablish control over the islands, which was the subject of international criticism. The African Union, under the auspices of President Thabo Mbeki of South Africa, imposed sanctions on Ndzuani to help broker negotiations and effect reconciliation.[39][40] Under the terms of the Fomboni Accords, signed in December 2001 by the leaders of all three islands, the official name of the country was changed to the Union of the Comoros; the new state was to be highly decentralised and the central union government would devolve most powers to the new island governments, each lead by a president. The Union president, although elected by national elections, would be chosen in rotation from each of the islands every five years.
|
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Azali stepped down in 2002 to run in the democratic election of the President of the Comoros, which he won. Under ongoing international pressure, as a military ruler who had originally come to power by force, and was not always democratic while in office, Azali led the Comoros through constitutional changes that enabled new elections.[41] A Loi des compétences law was passed in early 2005 that defines the responsibilities of each governmental body, and is in the process of implementation. The elections in 2006 were won by Ahmed Abdallah Mohamed Sambi, a Sunni Muslim cleric nicknamed the "Ayatollah" for his time spent studying Islam in Iran. Azali honoured the election results, thus allowing the first peaceful and democratic exchange of power for the archipelago.[42]
|
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Colonel Mohammed Bacar, a French-trained former gendarme elected President of Ndzuani in 2001, refused to step down at the end of his five-year mandate. He staged a vote in June 2007 to confirm his leadership that was rejected as illegal by the Comoros federal government and the African Union. On 25 March 2008 hundreds of soldiers from the African Union and the Comoros seized rebel-held Ndzuani, generally welcomed by the population: there have been reports of hundreds, if not thousands, of people tortured during Bacar's tenure.[43]
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Some rebels were killed and injured, but there are no official figures. At least 11 civilians were wounded. Some officials were imprisoned. Bacar fled in a speedboat to the French Indian Ocean territory of Mayotte to seek asylum. Anti-French protests followed in the Comoros (see 2008 invasion of Anjouan). Bacar was eventually granted asylum in Benin.
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Since independence from France, the Comoros experienced more than 20 coups or attempted coups.[10]
|
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Following elections in late 2010, former Vice-President Ikililou Dhoinine was inaugurated as president on 26 May 2011. A member of the ruling party, Dhoinine was supported in the election by the incumbent President Ahmed Abdallah Mohamed Sambi. Dhoinine, a pharmacist by training, is the first President of the Comoros from the island of Mwali. Following the 2016 elections, Azali Assoumani, from Ngazidja, became president for a third term. In 2018 Azali held a referendum on constitutional reform that would permit a president to serve two terms. The amdendments passed, although the vote was widely contested and boycotted by the opposition, and in April 2019, and to widespread opposition, Azali was re-elected president to serve the first of potentially two five-year terms.
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The Comoros is formed by Ngazidja (Grande Comore), Mwali (Mohéli) and Ndzuani (Anjouan), three major islands in the Comoros Archipelago, as well as many minor islets. The islands are officially known by their Comorian language names, though international sources still use their French names (given in parentheses above). The capital and largest city, Moroni, is located on Ngazidja. The archipelago is situated in the Indian Ocean, in the Mozambique Channel, between the African coast (nearest to Mozambique and Tanzania) and Madagascar, with no land borders.
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At 1,660 km2 (640 sq mi), it is one of the smallest countries in the world. The Comoros also has claim to 320 km2 (120 sq mi) of territorial seas. The interiors of the islands vary from steep mountains to low hills.
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Ngazidja is the largest of the Comoros Archipelago, approximately equal in area to the other islands combined. It is also the most recent island, and therefore has rocky soil. The island's two volcanoes, Karthala (active) and La Grille (dormant), and the lack of good harbours are distinctive characteristics of its terrain. Mwali, with its capital at Fomboni, is the smallest of the four major islands. Ndzuani, whose capital is Mutsamudu, has a distinctive triangular shape caused by three mountain chains – Shisiwani, Nioumakele and Jimilime – emanating from a central peak, Mount Ntingui (1,575 m or 5,167 ft).
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The islands of the Comoros Archipelago were formed by volcanic activity. Mount Karthala, an active shield volcano located on Ngazidja, is the country's highest point, at 2,361 metres (7,746 feet). It contains the Comoros' largest patch of disappearing rainforest. Karthala is currently one of the most active volcanoes in the world, with a minor eruption in May 2006, and prior eruptions as recently as April 2005 and 1991. In the 2005 eruption, which lasted from 17 to 19 April, 40,000 citizens were evacuated, and the crater lake in the volcano's 3 by 4 kilometres (1.9 by 2.5 miles) caldera was destroyed.
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The Comoros also lays claim to the Îles Éparses or Îles éparses de l'océan indien (Scattered Islands in the Indian Ocean) – Glorioso Islands, comprising Grande Glorieuse, Île du Lys, Wreck Rock, South Rock, Verte Rocks (three islets) and three unnamed islets – one of France's overseas districts. The Glorioso Islands were administered by the colonial Comoros before 1975, and are therefore sometimes considered part of the Comoros Archipelago. Banc du Geyser, a former island in the Comoros Archipelago, now submerged, is geographically located in the Îles Éparses, but was annexed by Madagascar in 1976 as an unclaimed territory. The Comoros and France each still view the Banc du Geyser as part of the Glorioso Islands and, thus, part of its particular exclusive economic zone.
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The climate is generally tropical and mild, and the two major seasons are distinguishable by their raininess. The temperature reaches an average of 29–30 °C (84–86 °F) in March, the hottest month in the rainy season (called kashkazi/kaskazi [meaning north monsoon], which runs from December to April), and an average low of 19 °C (66 °F) in the cool, dry season (kusi (meaning south monsoon), which proceeds from May to November).[44] The islands are rarely subject to cyclones.
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The Comoros constitute an ecoregion in their own right, Comoros forests.[45]
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In December 1952 a specimen of the coelacanth fish was re-discovered off the Comoros coast. The 66 million-year-old species was thought to have been long extinct until its first recorded appearance in 1938 off the South African coast.[46] Between 1938 and 1975, 84 specimens were caught and recorded.[47]
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Politics of the Comoros takes place in a framework of a federal presidential republic, whereby the President of the Comoros is both head of state and head of government, and of a multi-party system. The Constitution of the Union of the Comoros was ratified by referendum on 23 December 2001, and the islands' constitutions and executives were elected in the following months. It had previously been considered a military dictatorship, and the transfer of power from Azali Assoumani to Ahmed Abdallah Mohamed Sambi in May 2006 was a watershed moment as it was the first peaceful transfer in Comorian history.
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Executive power is exercised by the government. Federal legislative power is vested in both the government and parliament. The preamble of the constitution guarantees an Islamic inspiration in governance, a commitment to human rights, and several specific enumerated rights, democracy, "a common destiny" for all Comorians.[48] Each of the islands (according to Title II of the Constitution) has a great amount of autonomy in the Union, including having their own constitutions (or Fundamental Law), president, and Parliament. The presidency and Assembly of the Union are distinct from each of the islands' governments. The presidency of the Union rotates between the islands.[49] Despite widespread misgivings about the durability of the system of presidential rotation, Ngazidja holds the current presidency rotation, and Azali is President of the Union; Ndzuani is in theory to provide the next president.[50]
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The Comorian legal system rests on Islamic law, an inherited French (Napoleonic Code) legal code, and customary law (mila na ntsi). Village elders, kadis or civilian courts settle most disputes. The judiciary is independent of the legislative and the executive. The Supreme Court acts as a Constitutional Council in resolving constitutional questions and supervising presidential elections. As High Court of Justice, the Supreme Court also arbitrates in cases where the government is accused of malpractice. The Supreme Court consists of two members selected by the president, two elected by the Federal Assembly, and one by the council of each island.[49]
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Around 80 percent of the central government's annual budget is spent on the country's complex electoral system which provides for a semi-autonomous government and president for each of the three islands and a rotating presidency for the overarching Union government.[51] A referendum took place on 16 May 2009 to decide whether to cut down the government's unwieldy political bureaucracy. 52.7% of those eligible voted, and 93.8% of votes were cast in approval of the referendum. Following the implementation of the changes, each island's president became a governor and the ministers became councillors.[52]
|
89 |
+
|
90 |
+
In November 1975, the Comoros became the 143rd member of the United Nations. The new nation was defined as comprising the entire archipelago, although the citizens of Mayotte chose to become French citizens and keep their island as a French territory.[53]
|
91 |
+
|
92 |
+
The Comoros has repeatedly pressed its claim to Mayotte before the United Nations General Assembly, which adopted a series of resolutions under the caption "Question of the Comorian Island of Mayotte", opining that Mayotte belongs to the Comoros under the principle that the territorial integrity of colonial territories should be preserved upon independence. As a practical matter, however, these resolutions have little effect and there is no foreseeable likelihood that Mayotte will become de facto part of the Comoros without its people's consent. More recently, the Assembly has maintained this item on its agenda but deferred it from year to year without taking action. Other bodies, including the Organization of African Unity, the Movement of Non-Aligned Countries and the Organisation of Islamic Cooperation, have similarly questioned French sovereignty over Mayotte.[6][54] To close the debate and to avoid being integrated by force in the Union of the Comoros, the population of Mayotte overwhelmingly chose to become an overseas department and a region of France in a 2009 referendum. The new status was effective on 31 March 2011 and Mayotte has been recognised as an outermost region by the European Union on 1 January 2014. This decision legally integrates Mayotte in the French Republic.
|
93 |
+
|
94 |
+
The Comoros is a member of the African Union, the Arab League, the European Development Fund, the World Bank, the International Monetary Fund, the Indian Ocean Commission and the African Development Bank. On 10 April 2008, the Comoros became the 179th nation to accept the Kyoto Protocol to the United Nations Framework Convention on Climate Change.[55] The Comoros signed the UN treaty on the Prohibition of Nuclear Weapons.[56]
|
95 |
+
|
96 |
+
In May 2013 the Union of the Comoros became known for filing a referral to the Office of the Prosecutor of the International Criminal Court (ICC) regarding the events of "the 31 May 2010 Israeli raid on the Humanitarian Aid Flotilla bound for [the] Gaza Strip". In November 2014 the ICC Prosecutor eventually decided[57] that the events did constitute war crimes but did not meet the gravity standards of bringing the case before ICC.[58]
|
97 |
+
|
98 |
+
The emigration rate of skilled workers was about 21.2% in 2000.[59]
|
99 |
+
|
100 |
+
The military resources of the Comoros consist of a small standing army and a 500-member police force, as well as a 500-member defence force. A defence treaty with France provides naval resources for protection of territorial waters, training of Comorian military personnel, and air surveillance. France maintains a few senior officers presence in the Comoros at government request. France maintains a small maritime base and a Foreign Legion Detachment (DLEM) on Mayotte.
|
101 |
+
|
102 |
+
Once the new government was installed in May–June 2011, an expert mission from UNREC (Lomé) came to the Comoros and produced guidelines for the elaboration of a national security policy, which were discussed by different actors, notably the national defence authorities and civil society.[60] By the end of the programme in end March 2012, a normative framework agreed upon by all entities involved in SSR will have been established. This will then have to be adopted by Parliament and implemented by the authorities.
|
103 |
+
|
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+
Both male and female same-sex sexual acts are illegal in Comoros.[61] Such acts are punished with up to five years imprisonment.[62]
|
105 |
+
|
106 |
+
The level of poverty in the Comoros is high, but "judging by the international poverty threshold of $1.9 per person per day, only two out of every ten Comorians could be classified as poor, a rate that places the Comoros ahead of other low-income countries and 30 percentage points ahead of other countries in Sub-Saharan Africa."[63] Poverty declined by about 10% between 2014 and 2018, and living conditions generally improved.[63] Economic inequality remains widespread, with a major gap between rural and urban areas.[63] Remittances through the sizable Comorian diaspora form a substantial part of the country's GDP[64] and have contributed to decreases in poverty and increases in living standards.[63]
|
107 |
+
|
108 |
+
According to ILO's ILOSTAT statistical database, between 1991 and 2019 the unemployment rate as a percent of the total labor force ranged from 4.38% to 4.3%.[65] An October 2005 paper by the Comoros Ministry of Planning and Regional Development, however, reported that "registered unemployment rate is 14.3 percent, distributed very unevenly among and within the islands, but with marked incidence in urban areas."[66]
|
109 |
+
|
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+
In 2019, more than 56% of the labor force was employed in agriculture, with 29% employed in industry and 14% employed in services.[67] The islands' agricultural sector is based on the export of spices, including vanilla, cinnamon, and cloves, and thus susceptible to price fluctuations in the volatile world commodity market for these goods.[64] The Comoros is the world's largest producer of ylang-ylang, a plant whose extracted essential oil is used in the perfume industry; some 80% of the world's supply comes from the Comoros.[68]
|
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+
|
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+
High population densities, as much as 1000 per square kilometre in the densest agricultural zones, for what is still a mostly rural, agricultural economy may lead to an environmental crisis in the near future, especially considering the high rate of population growth. In 2004 the Comoros' real GDP growth was a low 1.9% and real GDP per capita continued to decline. These declines are explained by factors including declining investment, drops in consumption, rising inflation, and an increase in trade imbalance due in part to lowered cash crop prices, especially vanilla.[66]
|
113 |
+
|
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+
Fiscal policy is constrained by erratic fiscal revenues, a bloated civil service wage bill, and an external debt that is far above the HIPC threshold. Membership in the franc zone, the main anchor of stability, has nevertheless helped contain pressures on domestic prices.[69]
|
115 |
+
|
116 |
+
The Comoros has an inadequate transportation system, a young and rapidly increasing population, and few natural resources. The low educational level of the labour force contributes to a subsistence level of economic activity, high unemployment, and a heavy dependence on foreign grants and technical assistance. Agriculture contributes 40% to GDP and provides most of the exports.
|
117 |
+
|
118 |
+
The government is struggling to upgrade education and technical training, to privatise commercial and industrial enterprises, to improve health services, to diversify exports, to promote tourism, and to reduce the high population growth rate.[70]
|
119 |
+
|
120 |
+
The Comoros is a member of the Organization for the Harmonization of Business Law in Africa (OHADA).[71]
|
121 |
+
|
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+
With fewer than a million people, the Comoros is one of the least populous countries in the world, but is also one of the most densely populated, with an average of 275 inhabitants per square kilometre (710/sq mi). In 2001, 34% of the population was considered urban, but that is expected to grow, since rural population growth is negative, while overall population growth is still relatively high.[72]
|
123 |
+
|
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+
Almost half the population of the Comoros is under the age of 15.[73] Major urban centres include Moroni, Mitsamihuli, Fumbuni, Mutsamudu, Domoni, and Fomboni. There are between 200,000 and 350,000 Comorians in France.[74]
|
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+
|
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+
The islands of the Comoros share mostly African-Arab origins. Minorities include Malagasy (Christian) and Indian (mostly Ismaili). There are recent immigrants of Chinese origin in Grande Comore (especially Moroni). Although most French left after independence in 1975, a small Creole community, descended from settlers from France, Madagascar and Réunion, lives in the Comoros.[citation needed]
|
127 |
+
|
128 |
+
The most common languages in the Comoros are the Comorian languages, collectively known Shikomori. They are related to Swahili, and the four different variants (Shingazidja, Shimwali, Shindzuani and Shimaore) are spoken on each of the four islands. Arabic and Latin scripts are both used, Arabic being the more widely used, and an official orthography has recently been developed for the Latin script.[75]
|
129 |
+
|
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+
Arabic and French are also official languages, along with Comorian. Arabic is widely known as a second language, being the language of Quranic teaching. French is the administrative language and the language of most non-Quranic formal education.
|
131 |
+
|
132 |
+
Sunni Islam is the dominant religion, followed by as much as 99% of the population.[76] Comoros is the only Muslim-majority country in Southern Africa and the second southernmost Muslim-majority territory after the French territory of Mayotte.
|
133 |
+
|
134 |
+
A minority of the population of the Comoros are Christian, both Catholic and Protestant denominations are represented, and most Malagasy residents are also Christian. Expatriates from metropolitan France are mostly Catholic.[77]
|
135 |
+
|
136 |
+
There are 15 physicians per 100,000 people. The fertility rate was 4.7 per adult woman in 2004. Life expectancy at birth is 67 for females and 62 for males.[78]
|
137 |
+
|
138 |
+
Almost all children attend Quranic schools, usually before, although increasingly in tandem with regular schooling. Children are taught about the Qur'an, and memorise it, and learn the Arabic script. Most parents prefer their children to attend Koran schools before moving on to the French-based schooling system. Although the state sector is plagued by a lack of resources, and the teachers by unpaid salaries, there are numerous private and community schools of relatively good standard. The national curriculum, apart from a few years during the revolutionary period immediately post-independence, has been very much based on the French system, both because resources are French and most Comorians hope to go on to further education in France. There have recently been moves to Comorianise the syllabus and integrate the two systems, the formal and the Quran schools, into one, thus moving away from the secular educational system inherited from France.[79]
|
139 |
+
|
140 |
+
Pre-colonization education systems in Comoros focused on necessary skills such as agriculture, caring for livestock and completing household tasks. Religious education also taught children the virtues of Islam. The education system underwent a transformation during colonization in the early 1900s which brought secular education based on the French system. This was mainly for children of the elite. After Comoros gained independence in 1975, the education system changed again. Funding for teachers' salaries was lost, and many went on strike. Thus, the public education system was not functioning between 1997 and 2001. Since gaining independence, the education system has also undergone a democratization and options exist for those other than the elite. Enrollment has also grown.
|
141 |
+
|
142 |
+
In 2000, 44.2% of children ages 5 to 14 years were attending school. There is a general lack of facilities, equipment, qualified teachers, textbooks and other resources. Salaries for teachers are often so far in arrears that many refuse to work.[80]
|
143 |
+
|
144 |
+
Prior to 2000, students seeking a university education had to attend school outside of the country, however in the early 2000s a university was created in the country. This served to help economic growth and to fight the "flight" of many educated people who were not returning to the islands to work.[81]
|
145 |
+
|
146 |
+
About fifty-seven percent of the population is literate in the Latin script while more than 90% are literate in the Arabic script.[82] Comorian has no native script, but both Arabic and Latin scripts are used.
|
147 |
+
|
148 |
+
Traditionally, women on Ndzuani wear red and white patterned garments called shiromani, while on Ngazidja and Mwali colourful shawls called leso are worn. Many women apply a paste of ground sandalwood and coral called msinzano to their faces.[83] Traditional male clothing is a long white shirt known as a nkandu, and a bonnet called a kofia.[84]
|
149 |
+
|
150 |
+
There are two types of marriages in Comoros, the little marriage (known as Mna daho on Ngazidja) and the customary marriage (known as ada on Ngazidja, harusi on the other islands). The little marriage is a simple legal marriage. It is small, intimate, and inexpensive and the bride's dowry is nominal. A man may undertake a number of Mna daho marriages in his lifetime, often at the same time, a woman fewer; but both men and women will usually only undertake one ada, or grand marriage, and this must generally be within the village. The hallmarks of the grand marriage are dazzling gold jewelry, two weeks of celebration and an enormous bridal dowry. Although the expenses are shared between both families as well as with a wider social circle, an ada wedding on Ngazidja can cost up to €50,000 (74,000 US dollars). Many couples take a lifetime to save for their ada, and it is not uncommon for a marriage to be attended by a couple's adult children.[85]
|
151 |
+
|
152 |
+
The ada marriage marks a man's transition in the Ngazidja age system from youth to elder. His status in the social hierarchy greatly increases, and he will henceforth be entitled to speak in public and participate in the political process, both in his village and more widely across the island. He will be entitled to display his status by wearing a mharuma, a type of shawl, across his shoulders, and he can enter the mosque by the door reserved for elders, and sit at the front. A woman's status also changes, although less formally, as she becomes a "mother" and moves into her own house. The system is less formalised on the other islands, but the marriage is nevertheless a significant and costly event across the archipelago.
|
153 |
+
|
154 |
+
The ada is often criticized because of its great expense, but at the same time it is a source of social cohesion and the main reason why migrants in France and elsewhere continue to send money home. Increasingly, marriages are also being taxed for the purposes of village development, so the effects are not entirely negative.[86]
|
155 |
+
|
156 |
+
Comorian society has a bilateral descent system. Lineage membership and inheritance of immovable goods (land, housing) is matrilineal, passed in the maternal line, similar to many Bantu peoples who are also matrilineal, while other goods and patronymics are passed in the male line. However, there are differences between the islands, the matrilineal element being stronger on Ngazidja.[87]
|
157 |
+
|
158 |
+
Twarab music, imported from Zanzibar in the early 20th century, remains the most influential genre on the islands and is popular at ada marriages.[88]
|
159 |
+
|
160 |
+
There are two daily national newspapers published in the Comoros, the government-owned Al-Watwan,[89] and the privately owned La Gazette des Comores, both published in Moroni. There are a number of smaller newsletters published on an irregular basis as well as a variety of news websites. The government-owned ORTC provides national radio and television service and there are a number of privately owned stations broadcasting locally in the larger towns.[citation needed]
|
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|
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+
This article incorporates text from the Library of Congress Country Studies, which is in the public domain.
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The koala or, inaccurately, koala bear[a] (Phascolarctos cinereus) is an arboreal herbivorous marsupial native to Australia. It is the only extant representative of the family Phascolarctidae and its closest living relatives are the wombats, which are members of the family Vombatidae. The koala is found in coastal areas of the mainland's eastern and southern regions, inhabiting Queensland, New South Wales, Victoria, and South Australia. It is easily recognisable by its stout, tailless body and large head with round, fluffy ears and large, spoon-shaped nose. The koala has a body length of 60–85 cm (24–33 in) and weighs 4–15 kg (9–33 lb). Fur colour ranges from silver grey to chocolate brown. Koalas from the northern populations are typically smaller and lighter in colour than their counterparts further south. These populations possibly are separate subspecies, but this is disputed.
|
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9 |
+
Koalas typically inhabit open eucalypt woodlands, and the leaves of these trees make up most of their diet. Because this eucalypt diet has limited nutritional and caloric content, koalas are largely sedentary and sleep up to 20 hours a day. They are asocial animals, and bonding exists only between mothers and dependent offspring. Adult males communicate with loud bellows that intimidate rivals and attract mates. Males mark their presence with secretions from scent glands located on their chests. Being marsupials, koalas give birth to underdeveloped young that crawl into their mothers' pouches, where they stay for the first six to seven months of their lives. These young koalas, known as joeys, are fully weaned around a year old. Koalas have few natural predators and parasites, but are threatened by various pathogens, such as Chlamydiaceae bacteria and the koala retrovirus.
|
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+
|
11 |
+
Koalas were hunted by Indigenous Australians and depicted in myths and cave art for millennia. The first recorded encounter between a European and a koala was in 1798, and an image of the animal was published in 1810 by naturalist George Perry. Botanist Robert Brown wrote the first detailed scientific description of the koala in 1814, although his work remained unpublished for 180 years. Popular artist John Gould illustrated and described the koala, introducing the species to the general British public. Further details about the animal's biology were revealed in the 19th century by several English scientists. Because of its distinctive appearance, the koala is recognised worldwide as a symbol of Australia. Koalas are listed as Vulnerable by the International Union for Conservation of Nature. The animal was hunted heavily in the early 20th century for its fur, and large-scale cullings in Queensland resulted in a public outcry that initiated a movement to protect the species. Sanctuaries were established, and translocation efforts moved to new regions koalas whose habitat had become fragmented or reduced. Among the many threats to their existence are habitat destruction caused by agriculture, urbanisation, droughts and associated bushfires, some related to climate change.[4] Increased habitat loss may also increase risks from vehicle traffic, dog attacks, pesticides in waterways, and increased food competition.[5][6][7]
|
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+
|
13 |
+
The word koala comes from the Dharug gula, meaning no water. It was at one time thought, since the animals were not observed to come down from trees often, that they were able to survive without drinking. The leaves of the eucalyptus tree have a high water content, so the koala does not need to drink often.[8] But the notion that they do not need to drink water at all was shown to be a myth.[9] Although the vowel 'u' was originally written in the English orthography as "oo" (in spellings such as coola or koolah), it was changed to "oa", possibly in error.[10] Because of the koala's supposed resemblance to a bear, it was often miscalled the koala bear, particularly by early settlers.[11] The generic name, Phascolarctos, is derived from the Greek words phaskolos "pouch" and arktos "bear". The specific name, cinereus, is Latin for "ash coloured".[12]
|
14 |
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|
15 |
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Peramelidae
|
16 |
+
|
17 |
+
Dasyuridae
|
18 |
+
|
19 |
+
Dromiciops
|
20 |
+
|
21 |
+
Petauroidea
|
22 |
+
|
23 |
+
Phalangeroidea
|
24 |
+
|
25 |
+
Hypsiprymnodon moschatus
|
26 |
+
|
27 |
+
Potoroinae
|
28 |
+
|
29 |
+
Macropodinae
|
30 |
+
|
31 |
+
Phascolarctos cinereus
|
32 |
+
|
33 |
+
Thylacoleo carnifex
|
34 |
+
|
35 |
+
Ngapakaldia
|
36 |
+
|
37 |
+
Diprotodon optatum
|
38 |
+
|
39 |
+
Zygomaturus trilobus
|
40 |
+
|
41 |
+
Nimbadon lavarackorum
|
42 |
+
|
43 |
+
Muramura williamsi
|
44 |
+
|
45 |
+
Ilaria illumidens
|
46 |
+
|
47 |
+
Vombatidae
|
48 |
+
|
49 |
+
The koala was given its generic name Phascolarctos in 1816 by French zoologist Henri Marie Ducrotay de Blainville,[14] who would not give it a specific name until further review. In 1819, German zoologist Georg August Goldfuss gave it the binomial Lipurus cinereus. Because Phascolarctos was published first, according to the International Code of Zoological Nomenclature, it has priority as the official name of the genus.[15] French naturalist Anselme Gaëtan Desmarest proposed the name Phascolarctos fuscus in 1820, suggesting that the brown-coloured versions were a different species than the grey ones. Other names suggested by European authors included Marodactylus cinereus by Goldfuss in 1820, P. flindersii by René Primevère Lesson in 1827, and P. koala by John Edward Gray in 1827.[2]
|
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+
|
51 |
+
The koala is classified with wombats (family Vombatidae) and several extinct families (including marsupial tapirs, marsupial lions and giant wombats) in the suborder Vombatiformes within the order Diprotodontia.[16] The Vombatiformes are a sister group to a clade that includes macropods (kangaroos and wallabies) and possums.[17] The ancestors of vombatiforms were likely arboreal,[13] and the koala's lineage was possibly the first to branch off around 40 million years ago during the Eocene.[18]
|
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+
|
53 |
+
The modern koala is the only extant member of Phascolarctidae, a family that once included several genera and species. During the Oligocene and Miocene, koalas lived in rainforests and had less specialised diets.[19] Some species, such as the Riversleigh rainforest koala (Nimiokoala greystanesi) and some species of Perikoala, were around the same size as the modern koala, while others, such as species of Litokoala, were one-half to two-thirds its size.[20] Like the modern species, prehistoric koalas had well developed ear structures which suggests that long-distance vocalising and sedentism developed early.[19] During the Miocene, the Australian continent began drying out, leading to the decline of rainforests and the spread of open Eucalyptus woodlands. The genus Phascolarctos split from Litokoala in the late Miocene[19][21] and had several adaptations that allowed it to live on a specialised eucalyptus diet: a shifting of the palate towards the front of the skull; larger molars and premolars; smaller pterygoid fossa;[19] and a larger gap between the molar and the incisor teeth.[22]
|
54 |
+
|
55 |
+
During the Pliocene and Pleistocene, when Australia experienced changes in climate and vegetation, koala species grew larger.[20] P. cinereus may have emerged as a dwarf form of the giant koala (P. stirtoni). The reduction in the size of large mammals has been seen as a common phenomenon worldwide during the late Pleistocene, and several Australian mammals, such as the agile wallaby, are traditionally believed to have resulted from this dwarfing. A 2008 study questions this hypothesis, noting that P. cinereus and P. stirtoni were sympatric during the middle to late Pleistocene, and possibly as early as the Pliocene.[23] The fossil record of the modern koala extends back at least to the middle Pleistocene.[24]
|
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+
|
57 |
+
Traditionally, three distinct subspecies have been recognised: the Queensland koala (P. c. adustus, Thomas 1923), the New South Wales koala (P. c. cinereus, Goldfuss 1817), and the Victorian koala (P. c. victor, Troughton 1935). These forms are distinguished by pelage colour and thickness, body size, and skull shape. The Queensland koala is the smallest of the three, with shorter, silver fur and a shorter skull. The Victorian koala is the largest, with shaggier, brown fur and a wider skull.[25][26] The boundaries of these variations are based on state borders, and their status as subspecies is disputed. A 1999 genetic study suggests that the variations represent differentiated populations with limited gene flow between them, and that the three subspecies comprise a single evolutionarily significant unit.[26] Other studies have found that koala populations have high levels of inbreeding and low genetic variation.[27][28] Such low genetic diversity may have been a characteristic of koala populations since the late Pleistocene.[29] Rivers and roads have been shown to limit gene flow and contribute to the genetic differentiation of southeast Queensland populations.[30] In April 2013, scientists from the Australian Museum and Queensland University of Technology announced they had fully sequenced the koala genome.[31]
|
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+
|
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+
The koala is a stocky animal with a large head and vestigial or non-existent tail.[32][33] It has a body length of 60–85 cm (24–33 in) and a weight of 4–15 kg (9–33 lb),[33] making it among the largest arboreal marsupials.[34] Koalas from Victoria are twice as heavy as those from Queensland.[25] The species is sexually dimorphic, with males 50% larger than females. Males are further distinguished from females by their more curved noses[34] and the presence of chest glands, which are visible as hairless patches.[35] As in most marsupials, the male koala has a bifurcated penis,[36] and the female has two lateral vaginas and two separate uteri.[32] The male's penile sheath contains naturally occurring bacteria that play an important role in fertilisation.[37] The female's pouch opening is tightened by a sphincter that keeps the young from falling out.[38]
|
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+
|
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The pelage of the koala is thicker and longer on the back, and shorter on the belly. The ears have thick fur on both the inside and outside.[34] The back fur colour varies from light grey to chocolate brown.[32] The belly fur is whitish; on the rump it is dappled whitish, and darker at the back.[33] The koala has the most effective insulating back fur of any marsupial and is highly resilient to wind and rain, while the belly fur can reflect solar radiation.[39] The koala's curved, sharp claws are well adapted for climbing trees. The large forepaws have two opposable digits (the first and second, which are opposable to the other three) that allow them to grasp small branches. On the hindpaws, the second and third digits are fused, a typical condition for members of the Diprotodontia, and the attached claws (which are still separate) are used for grooming.[40] As in humans and other primates, koalas have friction ridges on their paws.[41] The animal has a sturdy skeleton and a short, muscular upper body with proportionately long upper limbs that contribute to its climbing and grasping abilities. Additional climbing strength is achieved with thigh muscles that attach to the shinbone lower than other animals.[42] The koala has a cartilaginous pad at the end of the spine that may make it more comfortable when it perches in the fork of a tree.[38]
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The koala has one of the smallest brains in proportion to body weight of any mammal,[43] being 60% smaller than that of a typical diprotodont, weighing only 19.2 g (0.68 oz) on average.[44] The brain's surface is fairly smooth, typical for a "primitive" animal.[45] It occupies only 61% of the cranial cavity[43] and is pressed against the inside surface by cerebrospinal fluid. The function of this relatively large amount of fluid is not known, although one possibility is that it acts as a shock absorber, cushioning the brain if the animal falls from a tree.[45] The koala's small brain size may be an adaptation to the energy restrictions imposed by its diet, which is insufficient to sustain a larger brain.[43] Because of its small brain, the koala has a limited ability to perform complex, unfamiliar behaviours. For example, when presented with plucked leaves on a flat surface, the animal cannot adapt to the change in its normal feeding routine and will not eat the leaves.[46] The koala's olfactory senses are normal, and it is known to sniff the oils of individual branchlets to assess their edibility.[43] Its nose is fairly large and covered in leathery skin. Its round ears provide it with good hearing,[38] and it has a well-developed middle ear.[19] A koala's vision is not well developed,[38] and its relatively small eyes are unusual among marsupials in that the pupils have vertical slits.[34] Koalas make use of a novel vocal organ to produce low-pitched sounds (see social spacing, below). Unlike typical mammalian vocal cords, which are folds in the larynx, these organs are placed in the velum (soft palate) and are called velar vocal cords.[47]
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The koala has several adaptations for its eucalypt diet, which is of low nutritive value, of high toxicity, and high in dietary fibre.[48] The animal's dentition consists of the incisors and cheek teeth (a single premolar and four molars on each jaw), which are separated by a large gap (a characteristic feature of herbivorous mammals). The incisors are used for grasping leaves, which are then passed to the premolars to be snipped at the petiole before being passed to the highly cusped molars, where they are shredded into small pieces.[49] Koalas may also store food in their cheek pouches before it is ready to be chewed.[50] The partially worn molars of middle-aged koalas are optimal for breaking the leaves into small particles, resulting in more efficient stomach digestion and nutrient absorption in the small intestine,[51] which digests the eucalyptus leaves to provide most of the animal's energy.[49] A koala sometimes regurgitates the food into the mouth to be chewed a second time.[52]
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Unlike kangaroos and eucalyptus-eating possums, koalas are hindgut fermenters, and their digestive retention can last for up to 100 hours in the wild, or up to 200 hours in captivity.[49] This is made possible by the extraordinary length of their caecum—200 cm (80 in) long and 10 cm (4 in) in diameter—the largest proportionally of any animal.[53] Koalas can select which food particles to retain for longer fermentation and which to pass through. Large particles typically pass through more quickly, as they would take more time to digest.[49] While the hindgut is proportionally larger in the koala than in other herbivores, only 10% of the animal's energy is obtained from fermentation. Since the koala gains a low amount of energy from its diet, its metabolic rate is half that of a typical mammal,[48] although this can vary between seasons and sexes.[49] They are able to digest the toxins present in eucalyptus leaves due to their production of cytochrome P450, which breaks down these poisons in the liver.[54][55] The koala conserves water by passing relatively dry faecal pellets high in undigested fibre, and by storing water in the caecum.[51]
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The koala's geographic range covers roughly 1,000,000 km2 (390,000 sq mi), and 30 ecoregions.[56] It extends throughout eastern and southeastern Australia, encompassing northeastern, central and southeastern Queensland, eastern New South Wales, Victoria, and southeastern South Australia. The koala was introduced near Adelaide and on several islands, including Kangaroo Island and French Island.[1] The population on Magnetic Island represents the northern limit of its range.[56] Fossil evidence shows that the koala's range stretched as far west as southwestern Western Australia during the late Pleistocene. They were likely driven to extinction in these areas by environmental changes and hunting by Indigenous Australians.[57]
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In Queensland, koalas are unevenly distributed and uncommon except in the southeast, where they are numerous. In New South Wales, they are abundant only in Pilliga, while in Victoria they are common nearly everywhere. In South Australia, koalas were extirpated by 1920 and subsequently reintroduced.[1] Koalas can be found in habitats ranging from relatively open forests to woodlands, and in climates ranging from tropical to cool temperate.[34] In semi-arid climates, they prefer riparian habitats, where nearby streams and creeks provide refuge during times of drought and extreme heat.[58]
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Koalas are herbivorous, and while most of their diet consists of eucalypt leaves, they can be found in trees of other genera, such as Acacia, Allocasuarina, Callitris, Leptospermum, and Melaleuca.[59] Though the foliage of over 600 species of Eucalyptus is available, the koala shows a strong preference for around 30.[60] They tend to choose species that have a high protein content and low proportions of fibre and lignin.[51] The most favoured species are Eucalyptus microcorys, E. tereticornis, and E. camaldulensis, which, on average, make up more than 20% of their diet.[61] Despite its reputation as a fussy eater, the koala is more generalist than some other marsupial species, such as the greater glider. Since eucalypt leaves have a high water content, the koala does not need to drink often;[59] its daily water turnover rate ranges from 71 to 91 ml/kg of body weight. Although females can meet their water requirements from eating leaves, larger males require additional water found on the ground or in tree hollows.[51] When feeding, a koala holds onto a branch with hindpaws and one forepaw while the other forepaw grasps foliage. Small koalas can move close to the end of a branch, but larger ones stay near the thicker bases.[62] Koalas consume up to 400 grams (14 oz) of leaves a day, spread over four to six feeding sessions.[63] Despite their adaptations to a low-energy lifestyle, they have meagre fat reserves and need to feed often.[64]
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Because they get so little energy from their diet, koalas must limit their energy use and sleep or rest 20 hours a day;[65][66] They are predominantly active at night and spend most of their waking hours feeding. They typically eat and sleep in the same tree, possibly for as long as a day.[67] On very hot days, a koala may climb down to the coolest part of the tree which is cooler than the surrounding air. The koala hugs the tree to lose heat without panting.[68][69] On warm days, a koala may rest with its back against a branch or lie on its stomach or back with its limbs dangling.[65] During cold, wet periods, it curls itself into a tight ball to conserve energy.[67] On windy days, a koala finds a lower, thicker branch on which to rest. While it spends most of the time in the tree, the animal descends to the ground to move to another tree, walking on all fours.[65] The koala usually grooms itself with its hindpaws, but sometimes uses its forepaws or mouth.[70]
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Koalas are asocial animals and spend just 15 minutes a day on social behaviours. In Victoria, home ranges are small and have extensive overlap, while in central Queensland they are larger and overlap less.[71] Koala society appears to consist of "residents" and "transients", the former being mostly adult females and the latter males. Resident males appear to be territorial and dominate others with their larger body size.[72] Alpha males tend to establish their territories close to breeding females, while younger males are subordinate until they mature and reach full size.[73] Adult males occasionally venture outside their home ranges; when they do so, dominant ones retain their status.[71] When a male enters a new tree, he marks it by rubbing his chest gland against the trunk or a branch; males have occasionally been observed to dribble urine on the trunk. This scent-marking behaviour probably serves as communication, and individuals are known to sniff the base of a tree before climbing.[74] Scent marking is common during aggressive encounters.[75] Chest gland secretions are complex chemical mixtures—about 40 compounds were identified in one analysis—that vary in composition and concentration with the season and the age of the individual.[76]
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Adult males communicate with loud bellows—low pitched sounds that consist of snore-like inhalations and resonant exhalations that sound like growls.[77] These sounds are thought to be generated by unique vocal organs found in koalas.[47] Because of their low frequency, these bellows can travel far through air and vegetation.[78] Koalas may bellow at any time of the year, particularly during the breeding season, when it serves to attract females and possibly intimidate other males.[79] They also bellow to advertise their presence to their neighbours when they enter a new tree.[78] These sounds signal the male's actual body size, as well as exaggerate it;[80] females pay more attention to bellows that originate from larger males.[81] Female koalas bellow, though more softly, in addition to making snarls, wails, and screams. These calls are produced when in distress and when making defensive threats.[77] Young koalas squeak when in distress. As they get older, the squeak develops into a "squawk" produced both when in distress and to show aggression. When another individual climbs over it, a koala makes a low grunt with its mouth closed. Koalas make numerous facial expressions. When snarling, wailing, or squawking, the animal curls the upper lip and points its ears forward. During screams, the lips retract and the ears are drawn back. Females bring their lips forward and raise their ears when agitated.[82]
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Agonistic behaviour typically consists of squabbles between individuals climbing over or passing each other. This occasionally involves biting. Males that are strangers may wrestle, chase, and bite each other.[83] In extreme situations, a male may try to displace a smaller rival from a tree. This involves the larger aggressor climbing up and attempting to corner the victim, which tries either to rush past him and climb down or to move to the end of a branch. The aggressor attacks by grasping the target by the shoulders and repeatedly biting him. Once the weaker individual is driven away, the victor bellows and marks the tree.[84] Pregnant and lactating females are particularly aggressive and attack individuals that come too close.[83] In general, however, koalas tend to avoid energy-wasting aggressive behaviour.[73]
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Koalas are seasonal breeders, and births take place from the middle of spring through the summer to early autumn, from October to May. Females in oestrus tend to hold their heads further back than usual and commonly display tremors and spasms. However, males do not appear to recognise these signs, and have been observed to mount non-oestrous females. Because of his much larger size, a male can usually force himself on a female, mounting her from behind, and in extreme cases, the male may pull the female out of the tree. A female may scream and vigorously fight off her suitors, but will submit to one that is dominant or is more familiar. The bellows and screams that accompany matings can attract other males to the scene, obliging the incumbent to delay mating and fight off the intruders. These fights may allow the female to assess which is dominant.[85] Older males usually have accumulated scratches, scars, and cuts on the exposed parts of their noses and on their eyelids.[86]
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The koala's gestation period lasts 33–35 days,[87] and a female gives birth to a single joey (although twins occur on occasion). As with all marsupials, the young are born while at the embryonic stage, weighing only 0.5 g (0.02 oz). However, they have relatively well-developed lips, forelimbs, and shoulders, as well as functioning respiratory, digestive, and urinary systems. The joey crawls into its mother's pouch to continue the rest of its development.[88] Unlike most other marsupials, the koala does not clean her pouch.[89]
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A female koala has two teats; the joey attaches itself to one of them and suckles for the rest of its pouch life.[88] The koala has one of the lowest milk energy production rates in relation to body size of any mammal. The female makes up for this by lactating for as long as 12 months.[90] At seven weeks of age, the joey's head grows longer and becomes proportionally large, pigmentation begins to develop, and its sex can be determined (the scrotum appears in males and the pouch begins to develop in females). At 13 weeks, the joey weighs around 50 g (1.8 oz) and its head has doubled in size. The eyes begin to open and fine fur grows on the forehead, nape, shoulders, and arms. At 26 weeks, the fully furred animal resembles an adult, and begins to poke its head out of the pouch.[91]
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As the young koala approaches six months, the mother begins to prepare it for its eucalyptus diet by predigesting the leaves, producing a faecal pap that the joey eats from her cloaca. The pap is quite different in composition from regular faeces, resembling instead the contents of the caecum, which has a high concentration of bacteria. Eaten for about a month, the pap provides a supplementary source of protein at a transition time from a milk to a leaf diet.[92] The joey fully emerges from the pouch for the first time at six or seven months of age, when it weighs 300–500 g (11–18 oz). It explores its new surroundings cautiously, clinging to its mother for support. By nine months, it weighs over 1 kg (2.2 lb) and develops its adult fur colour. Having permanently left the pouch, it rides on its mother's back for transportation, learning to climb by grasping branches.[93] Gradually, it spends more time away from its mother, and at 12 months it is fully weaned, weighing around 2.5 kg (5.5 lb). When the mother becomes pregnant again, her bond with her previous offspring is permanently severed. Newly weaned young are encouraged to disperse by their mothers' aggressive behaviour towards them.[94]
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Females become sexually mature at about three years of age and can then become pregnant; in comparison, males reach sexual maturity when they are about four years old,[95] although they can produce sperm as early as two years.[94] While the chest glands can be functional as early as 18 months of age, males do not begin scent-marking behaviours until they reach sexual maturity.[76] Because the offspring have a long dependent period, female koalas usually breed in alternate years. Favourable environmental factors, such as a plentiful supply of high-quality food trees, allow them to reproduce every year.[96]
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Koalas may live from 13 to 18 years in the wild. While female koalas usually live this long, males may die sooner because of their more hazardous lives.[97] Koalas usually survive falls from trees and immediately climb back up, but injuries and deaths from falls do occur, particularly in inexperienced young and fighting males.[98] Around six years of age, the koala's chewing teeth begin to wear down and their chewing efficiency decreases. Eventually, the cusps disappear completely and the animal will die of starvation.[99]
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Koalas have few predators; dingos and large pythons may prey on them; birds of prey (such as powerful owls and wedge-tailed eagles) are threats to young. Koalas are generally not subject to external parasites, other than ticks in coastal areas. Koalas may also suffer mange from the mite Sarcoptes scabiei, and skin ulcers from the bacterium Mycobacterium ulcerans, but neither is common. Internal parasites are few and largely harmless.[98] These include the tapeworm Bertiella obesa, commonly found in the intestine, and the nematodes Marsupostrongylus longilarvatus and Durikainema phascolarcti, which are infrequently found in the lungs.[100] In a three-year study of almost 600 koalas admitted to the Australian Zoo Wildlife Hospital in Queensland, 73.8% of the animals were infected with at least one species of the parasitic protozoal genus Trypanosoma, the most common of which was T. irwini.[101]
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Koalas can be subject to pathogens such as Chlamydiaceae bacteria,[98] which can cause keratoconjunctivitis, urinary tract infection, and reproductive tract infection.[102] Such infections are widespread on the mainland, but absent in some island populations.[103] The koala retrovirus (KoRV) may cause koala immune deficiency syndrome (KIDS) which is similar to AIDS in humans. Prevalence of KoRV in koala populations suggests a trend spreading from the north to the south of Australia. Northern populations are completely infected, while some southern populations (including Kangaroo Island) are free.[104]
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The animals are vulnerable to bushfires due to their slow movements and the flammability of eucalypt trees.[105] The koala instinctively seeks refuge in the higher branches, where it is vulnerable to intense heat and flames. Bushfires also fragment the animal's habitat, which restricts their movement and leads to population decline and loss of genetic diversity.[106] Dehydration and overheating can also prove fatal.[107] Consequently, the koala is vulnerable to the effects of climate change. Models of climate change in Australia predict warmer and drier climates, suggesting that the koala's range will shrink in the east and south to more mesic habitats.[108] Droughts also affect the koala's well-being. For example, a severe drought in 1980 caused many Eucalyptus trees to lose their leaves. Subsequently, 63% of the population in southwestern Queensland died, especially young animals that were excluded from prime feeding sites by older, dominant koalas, and recovery of the population was slow.[46] Later, this population declined from an estimated mean population of 59,000 in 1995 to 11,600 in 2009, a reduction attributed largely to hotter and drier conditions resulting from droughts in most years between 2002 and 2007.[109]
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According to Australian health minister Sussan Ley, the 2019–20 Australian bushfire season, and especially fires in NSW, resulted in the death of up to 8,400 koalas (30% of the local population) on New South Wales's mid-north coast.[110] A local veterinarian estimated as many as 30,000 may have died in the Kangaroo Island fires[111], out of an estimated population of 50,000.[112]
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Another predicted negative outcome of climate change is the effect of elevations in atmospheric CO2 levels on the koala's food supply: increases in CO2 cause Eucalyptus trees to reduce protein and increase tannin concentrations in their leaves, reducing the quality of the food source.[113][114]
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The first written reference of the koala was recorded by John Price, servant of John Hunter, the Governor of New South Wales. Price encountered the "cullawine" on 26 January 1798, during an expedition to the Blue Mountains,[115] although his account was not published until nearly a century later in Historical Records of Australia.[116] In 1802, French-born explorer Francis Louis Barrallier encountered the animal when his two Aboriginal guides, returning from a hunt, brought back two koala feet they were intending to eat. Barrallier preserved the appendages and sent them and his notes to Hunter's successor, Philip Gidley King, who forwarded them to Joseph Banks. Similar to Price, Barrallier's notes were not published until 1897.[117] Reports of the first capture of a live "koolah" appeared in The Sydney Gazette in August 1803.[118] Within a few weeks Flinders' astronomer, James Inman, purchased a specimen pair for live shipment to Joseph Banks in England. They were described as 'somewhat larger than the Waumbut (Wombat)'. These encounters helped provide the impetus for King to commission the artist John Lewin to paint watercolours of the animal. Lewin painted three pictures, one of which was subsequently made into a print that was reproduced in Georges Cuvier's Le Règne Animal (The Animal Kingdom) (first published in 1817) and several European works on natural history.[119]
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Botanist Robert Brown was the first to write a detailed scientific description of the koala in 1803, based on a female specimen captured near what is now Mount Kembla in the Illawarra region of New South Wales. Austrian botanical illustrator Ferdinand Bauer drew the animal's skull, throat, feet, and paws. Brown's work remained unpublished and largely unnoticed, however, as his field books and notes remained in his possession until his death, when they were bequeathed to the British Museum (Natural History) in London. They were not identified until 1994, while Bauer's koala watercolours were not published until 1989.[120] British surgeon Everard Home included details of the koala based on eyewitness accounts of William Paterson, who had befriended Brown and Bauer during their stay in New South Wales.[121] Home, who in 1808 published his report in the journal Philosophical Transactions of the Royal Society,[122] gave the animal the scientific name Didelphis coola.[123]
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The first published image of the koala appeared in George Perry's (1810) natural history work Arcana.[124] Perry called it the "New Holland Sloth" on account of its perceived similarities to the Central and South American tree-living mammals of genus Bradypus. His disdain for the koala, evident in his description of the animal, was typical of the prevailing early 19th-century British attitude about the primitiveness and oddity of Australian fauna:[125]
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"... the eye is placed like that of the Sloth, very close to the mouth and nose, which gives it a clumsy awkward appearance, and void of elegance in the combination ... they have little either in their character or appearance to interest the Naturalist or Philosopher. As Nature however provides nothing in vain, we may suppose that even these torpid, senseless creatures are wisely intended to fill up one of the great links of the chain of animated nature ...".[126]
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Naturalist and popular artist John Gould illustrated and described the koala in his three-volume work The Mammals of Australia (1845–63) and introduced the species, as well as other members of Australia's little-known faunal community, to the general British public.[127] Comparative anatomist Richard Owen, in a series of publications on the physiology and anatomy of Australian mammals, presented a paper on the anatomy of the koala to the Zoological Society of London.[128] In this widely cited publication, he provided the first careful description of its internal anatomy, and noted its general structural similarity to the wombat.[129] English naturalist George Robert Waterhouse, curator of the Zoological Society of London, was the first to correctly classify the koala as a marsupial in the 1840s. He identified similarities between it and its fossil relatives Diprotodon and Nototherium, which had been discovered just a few years before.[130] Similarly, Gerard Krefft, curator of the Australian Museum in Sydney, noted evolutionary mechanisms at work when comparing the koala to its ancestral relatives in his 1871 The Mammals of Australia.[131]
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The first living koala in Britain arrived in 1881, purchased by the Zoological Society of London. As related by prosecutor to the society, William Alexander Forbes, the animal suffered an accidental demise when the heavy lid of a washstand fell on it and it was unable to free itself. Forbes used the opportunity to dissect the fresh female specimen, thus was able to provide explicit anatomical details on the female reproductive system, the brain, and the liver—parts not previously described by Owen, who had access only to preserved specimens.[132] Scottish embryologist William Caldwell—well known in scientific circles for determining the reproductive mechanism of the platypus—described the uterine development of the koala in 1884,[133] and used the new information to convincingly place the koala and the monotremes into an evolutionary time frame.[134]
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Prince Henry, Duke of Gloucester, visited the Koala Park Sanctuary in Sydney in 1934[135] and was "intensely interested in the bears". His photograph, with Noel Burnet, the founder of the park, and a koala, appeared in The Sydney Morning Herald. After World War II, when tourism to Australia increased and the animals were exported to zoos overseas, the koala's international popularity rose. Several political leaders and members of royal families had their pictures taken with koalas, including Queen Elizabeth II, Prince Harry, Crown Prince Naruhito, Crown Princess Masako, Pope John Paul II, US President Bill Clinton, Soviet premier Mikhail Gorbachev, South African President Nelson Mandela,[136] Prime Minister Tony Abbott, and Russian President Vladimir Putin.[137]
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The koala is well known worldwide and is a major draw for Australian zoos and wildlife parks. It has been featured in advertisements, games, cartoons, and as soft toys.[138] It benefited the national tourism industry by over an estimated billion Australian dollars in 1998, a figure that has since grown.[139] In 1997, half of visitors to Australia, especially those from Korea, Japan, and Taiwan, sought out zoos and wildlife parks; about 75% of European and Japanese tourists placed the koala at the top of their list of animals to see.[140] According to biologist Stephen Jackson: "If you were to take a straw poll of the animal most closely associated with Australia, it's a fair bet that the koala would come out marginally in front of the kangaroo".[138] Factors that contribute to the koala's enduring popularity include its childlike body proportions and Teddy bear-like face.[141]
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The koala is featured in the Dreamtime stories and mythology of Indigenous Australians. The Tharawal people believed that the animal helped row the boat that brought them to the continent.[142] Another myth tells of how a tribe killed a koala and used its long intestines to create a bridge for people from other parts of the world. This narrative highlights the koala's status as a game animal and the length of its intestines.[143] Several stories tell of how the koala lost its tail. In one, a kangaroo cuts it off to punish the koala for being lazy and greedy.[144] Tribes in both Queensland and Victoria regarded the koala as a wise animal and sought its advice. Bidjara-speaking people credited the koala for turning barren lands into lush forests.[145] The animal is also depicted in rock carvings, though not as much as some other species.[146]
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Early European settlers in Australia considered the koala to be a prowling sloth-like animal with a "fierce and menacing look".[147] At the beginning of the 20th century, the koala's reputation took a more positive turn, largely due to its growing popularity and depiction in several widely circulated children's stories.[148] It is featured in Ethel Pedley's 1899 book Dot and the Kangaroo, in which it is portrayed as the "funny native bear".[147] Artist Norman Lindsay depicted a more anthropomorphic koala in The Bulletin cartoons, starting in 1904. This character also appeared as Bunyip Bluegum in Lindsay's 1918 book The Magic Pudding.[149] Perhaps the most famous fictional koala is Blinky Bill. Created by Dorothy Wall in 1933, the character appeared in several books and has been the subject of films, TV series, merchandise, and a 1986 environmental song by John Williamson.[150] The first Australian stamp featuring a koala was issued by the Commonwealth in 1930.[151] A television ad campaign for Australia's national airline Qantas, starting in 1967 and running for several decades, featured a live koala (voiced by Howard Morris), who complained that too many tourists were coming to Australia and concluded "I hate Qantas".[152] The series has been ranked among the greatest commercials of all time.[153]
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The song "Ode to a Koala Bear" appears on the B-side of the 1983 Paul McCartney/Michael Jackson duet single Say Say Say.[150] A koala is the main character in Hanna-Barbera's The Kwicky Koala Show and Nippon Animation's Noozles, both of which were animated cartoons of the early 1980s. Food products shaped like the koala include the Caramello Koala chocolate bar and the bite-sized cookie snack Koala's March. Dadswells Bridge in Victoria features a tourist complex shaped like a giant koala,[136] and the Queensland Reds rugby team has a koala as its mascot.[154] The Platinum Koala coin features the animal on the reverse and Elizabeth II on the obverse.[155]
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The drop bear is an imaginary creature in contemporary Australian folklore featuring a predatory, carnivorous version of the koala. This hoax animal is commonly spoken about in tall tales designed to scare tourists. While koalas are typically docile herbivores, drop bears are described as unusually large and vicious marsupials that inhabit treetops and attack unsuspecting people (or other prey) that walk beneath them by dropping onto their heads from above.[156][157][158]
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While the koala was previously classified as Least Concern on the Red List, it was uplisted to Vulnerable in 2016.[1] Australian policy makers declined a 2009 proposal to include the koala in the Environment Protection and Biodiversity Conservation Act 1999.[24] In 2012, the Australian government listed koala populations in Queensland and New South Wales as Vulnerable, because of a 40% population decline in the former and a 33% decline in the latter. A 2017 WWF report found a 53% decline per generation in Queensland, and a 26% decline in New South Wales.[159] Populations in Victoria and South Australia appear to be abundant; however, the Australian Koala Foundation argues that the exclusion of Victorian populations from protective measures is based on a misconception that the total koala population is 200,000, whereas they believe it is probably less than 100,000.[160]
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Koalas were hunted for food by Aboriginals. A common technique used to capture the animals was to attach a loop of ropey bark to the end of a long, thin pole, so as to form a noose. This would be used to snare an animal high in a tree, beyond the reach of a climbing hunter; an animal brought down this way would then be killed with a stone hand axe or hunting stick (waddy).[161] According to the customs of some tribes, it was considered taboo to skin the animal, while other tribes thought the animal's head had a special status, and saved them for burial.[162]
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The koala was heavily hunted by European settlers in the early 20th century,[163] largely for its thick, soft fur. More than two million pelts are estimated to have left Australia by 1924. Pelts were in demand for use in rugs, coat linings, muffs, and as trimming on women's garments.[164] Extensive cullings occurred in Queensland in 1915, 1917, and again in 1919, when over one million koalas were killed with guns, poisons, and nooses. The public outcry over these cullings was probably the first wide-scale environmental issue that rallied Australians. Novelist and social critic Vance Palmer, writing in a letter to The Courier-Mail, expressed the popular sentiment:
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"The shooting of our harmless and lovable native bear is nothing less than barbarous ... No one has ever accused him of spoiling the farmer's wheat, eating the squatter's grass, or even the spreading of the prickly pear. There is no social vice that can be put down to his account ... He affords no sport to the gun-man ... And he has been almost blotted out already from some areas."[165]
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Despite the growing movement to protect native species, the poverty brought about by the drought of 1926–28 led to the killing of another 600,000 koalas during a one-month open season in August 1927.[166] In 1934, Frederick Lewis, the Chief Inspector of Game in Victoria, said that the once-abundant animal had been brought to near extinction in that state, suggesting that only 500–1000 remained.[167] · [168]
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The first successful efforts at conserving the species were initiated by the establishment of Brisbane's Lone Pine Koala Sanctuary and Sydney's Koala Park Sanctuary in the 1920s and 1930s. The owner of the latter park, Noel Burnet, became the first to successfully breed koalas and earned a reputation as the foremost contemporary authority on the marsupial.[169] In 1934, David Fleay, curator of Australian mammals at the Melbourne Zoo, established the first Australian faunal enclosure at an Australian zoo, and featured the koala. This arrangement allowed him to undertake a detailed study of its diet in captivity. Fleay later continued his conservation efforts at Healesville Sanctuary and the David Fleay Wildlife Park.[170]
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Since 1870, koalas have been introduced to several coastal and offshore islands, including Kangaroo Island and French Island. Their numbers have significantly increased,[171] and since the islands are not large enough to sustain such high koala numbers, overbrowsing has become a problem.[172] In the 1920s, Lewis initiated a program of large-scale relocation and rehabilitation programs to transfer koalas whose habitat had become fragmented or reduced to new regions, with the intent of eventually returning them to their former range. For example, in 1930–31, 165 koalas were translocated to Quail Island. After a period of population growth, and subsequent overbrowsing of gum trees on the island, about 1,300 animals were released into mainland areas in 1944. The practice of translocating koalas became commonplace; Victorian State manager Peter Menkorst estimated that from 1923 to 2006, about 25,000 animals were translocated to more than 250 release sites across Victoria.[173] Since the 1990s, government agencies have tried to control their numbers by culling, but public and international outcry has forced the use of translocation and sterilisation, instead.[174]
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One of the biggest anthropogenic threats to the koala is habitat destruction and fragmentation. In coastal areas, the main cause of this is urbanisation, while in rural areas, habitat is cleared for agriculture. Native forest trees are also taken down to be made into wood products.[175] In 2000, Australia ranked fifth in the world by deforestation rates, having cleared 564,800 hectares (1,396,000 acres).[176] The distribution of the koala has shrunk by more than 50% since European arrival, largely due to fragmentation of habitat in Queensland.[56] The koala's "vulnerable" status in Queensland and New South Wales means that developers in these states must consider the impacts on this species when making building applications.[160] In addition, koalas live in many protected areas.[1]
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While urbanisation can pose a threat to koala populations, the animals can survive in urban areas provided enough trees are present.[177] Urban populations have distinct vulnerabilities: collisions with vehicles and attacks by domestic dogs kill about 4,000 animals every year.[178] Injured koalas are often taken to wildlife hospitals and rehabilitation centres.[177] In a 30-year retrospective study performed at a New South Wales koala rehabilitation centre, trauma (usually resulting from a motor vehicle accident or dog attack) was found to be the most frequent cause of admission, followed by symptoms of Chlamydia infection.[179] Wildlife caretakers are issued special permits, but must release the animals back into the wild when they are either well enough or, in the case of joeys, old enough. As with most native animals, the koala cannot legally be kept as a pet in Australia or anywhere else.[180]
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One virtually unknown risk to koalas is that of water in the lungs (aspiration pneumonia), which can happen when drinking water from a bottle, as seen in numerous viral videos of well-meaning, but uninformed, people giving thirsty koalas water bottles to drink. The safer way to provide a koala drinking water is via a bowl, cup, helmet or hat from which the koala can lap up the water it needs.[181][182][183]
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Koala populations and habitat were impacted by the 2020 bushfires. In June 2020, a New South Wales parliamentary committee released a report stating that koalas could be extirpated from the state by 2050. Recommendations included establishing national parks on the George's River and Mid-North coast.[184][185]
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en/1252.html.txt
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A composer (Latin compōnō; literally "one who puts together") is a musician who is an author of music in any form, including vocal music (for a singer or choir), instrumental music, electronic music, and music which combines multiple forms. A composer may create music in any music genre, including, for example, classical music, musical theatre, blues, folk music, jazz, and popular music. Composers often express their works in a written musical score using musical notation.
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Many composers are, or were, also skilled performers of music.
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Musical notation serves as a set of directions for a performer, but there is a whole continuum of possibilities concerning how much the performer determines the final form of the rendered work in performance.
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Even in a conventional Western piece of instrumental music, in which all of the melodies, chords, and basslines are written out in musical notation, the performer has a degree of latitude to add artistic interpretation to the work, by such means as by varying his or her articulation and phrasing, choosing how long to make fermatas (held notes) or pauses, and — in the case of bowed string instruments, woodwinds or brass instruments — deciding whether to use expressive effects such as vibrato or portamento. For a singer or instrumental performer, the process of deciding how to perform music that has been previously composed and notated is termed "interpretation". Different performers' interpretations of the same work of music can vary widely, in terms of the tempos that are chosen and the playing or singing style or phrasing of the melodies. Composers and songwriters who present their own music are interpreting, just as much as those who perform the music of others. The standard body of choices and techniques present at a given time and a given place is referred to as performance practice, whereas interpretation is generally used to mean the individual choices of a performer.[citation needed]
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Although a musical composition often has a single author, this is not always the case. A work of music can have multiple composers, which often occurs in popular music when a band collaborates to write a song, or in musical theatre, where the songs may be written by one person, the orchestration of the accompaniment parts and writing of the overture is done by an orchestrator, and the words may be written by a third person.
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A piece of music can also be composed with words, images, or, in the 20th and 21st century, computer programs that explain or notate how the singer or musician should create musical sounds. Examples of this range from wind chimes jingling in a breeze, to avant-garde music from the 20th century that uses graphic notation, to text compositions such as Aus den sieben Tagen, to computer programs that select sounds for musical pieces. Music that makes heavy use of randomness and chance is called aleatoric music, and is associated with contemporary composers active in the 20th century, such as John Cage, Morton Feldman, and Witold Lutosławski.
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The nature and means of individual variation of the music is varied, depending on the musical culture in the country and time period it was written. For instance, music composed in the Baroque era, particularly in slow tempos, often was written in bare outline, with the expectation that the performer would add improvised ornaments to the melody line during a performance. Such freedom generally diminished in later eras, correlating with the increased use by composers of more detailed scoring in the form of dynamics, articulation et cetera; composers becoming uniformly more explicit in how they wished their music to be interpreted, although how strictly and minutely these are dictated varies from one composer to another. Because of this trend of composers becoming increasingly specific and detailed in their instructions to the performer, a culture eventually developed whereby faithfulness to the composer's written intention came to be highly valued (see, for example, Urtext edition). This musical culture is almost certainly related to the high esteem (bordering on veneration) in which the leading classical composers are often held by performers.
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The historically informed performance movement has revived to some extent the possibility of the performer elaborating in a serious way the music as given in the score, particularly for Baroque music and music from the early Classical period. The movement might be considered a way of creating greater faithfulness to the original in works composed at a time that expected performers to improvise. In genres other than classical music, the performer generally has more freedom; thus for instance when a performer of Western popular music creates a "cover" of an earlier song, there is little expectation of exact rendition of the original; nor is exact faithfulness necessarily highly valued (with the possible exception of "note-for-note" transcriptions of famous guitar solos).
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In Western art music, the composer typically orchestrates his or her own compositions, but in musical theatre and in pop music, songwriters may hire an arranger to do the orchestration. In some cases, a pop songwriter may not use notation at all, and instead compose the song in his or her mind and then play or record it from memory. In jazz and popular music, notable recordings by influential performers are given the weight that written scores play in classical music. The study of composition has traditionally been dominated by examination of methods and practice of Western classical music, but the definition of composition is broad enough the creation of popular and traditional music songs and instrumental pieces and to include spontaneously improvised works like those of free jazz performers and African percussionists such as Ewe drummers.
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The level of distinction between composers and other musicians varies, which affects issues such as copyright[specify] and the deference given to individual interpretations of a particular piece of music.[citation needed] In the development of European classical music, the function of composing music initially did not have much greater importance than that of performing it.[citation needed] The preservation of individual compositions did not receive enormous attention and musicians generally had no qualms about modifying compositions for performance. In as much as the role of the composer in western art music has seen continued solidification, in alternative idioms (i.e. jazz, experimental music) it has in some ways become increasingly complex or vague. For instance, in certain contexts the line between composer and performer, sound designer, arranger, producer, and other roles, can be quite blurred.
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The term "composer" is often used to refer to composers of instrumental music, such as those found in classical, jazz or other forms of art and traditional music. In popular and folk music, the composer is usually called a songwriter, since the music generally takes the form of a song. Since the mid-20th century, the term has expanded to accommodate creators of electroacoustic music, in which composers directly create sonic material in any of the various electronic media, such as reel-to-reel tape and electronic effects units, which may be presented to an audience by replaying a tape or other sound recording, or by having live instrumentalists and singers perform with prerecorded material. This is distinct from a 19th-century conception of instrumental composition, where the work was represented solely by a musical score to be interpreted by performers.
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Music was an important part of social and cultural life in Ancient Greece. We know that composers wrote notated music during the Ancient Greek era because scholars have found the Seikilos epitaph. The epitaph, written sometime between 200 BC and 100 AD,[1] is the oldest surviving example of a complete musical composition, including musical notation, in the world. The song, the melody of which is recorded, alongside its lyrics, in the ancient Greek musical notation, was found engraved on a tombstone, a stele, near Aydın, Turkey (not far from Ephesus). It is a Hellenistic Ionic song in either the Phrygian octave species or Iastian tonos.
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During the Medieval music era (476 to 1400), composers wrote monophonic (single melodic line) chanting into Roman Catholic Church services. Western Music then started becoming more of an art form with the advances in music notation. The only European Medieval repertory that survives from before about 800 is the monophonic liturgical plainsong of the Roman Catholic Church, the central tradition of which was called Gregorian chant. Alongside these traditions of sacred and church music there existed a vibrant tradition of secular song (non-religious songs). Examples of composers from this period are Léonin, Pérotin and Guillaume de Machaut.
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During the Renaissance music era (c. 1400 to 1600) composers tended to focus more on writing songs about secular (non-religious) themes, such as courtly love. Around 1450, the printing press was invented, which made printed sheet music much less expensive and easier to mass-produce (prior to the invention of the printing press, all notated music was hand-copied). The increased availability of sheet music helped to spread composers' musical styles more quickly and across a larger area. By the middle of the 15th century, composers were writing richly polyphonic sacred music, in which different melody lines were interwoven simultaneously. Prominent composers from this era include Guillaume Dufay, Giovanni Pierluigi da Palestrina, Thomas Morley, and Orlande de Lassus. As musical activity shifted from the church to the aristocratic courts, kings, queens and princes competed for the finest composers. Many leading important composers came from the Netherlands, Belgium, and northern France. They are called the Franco-Flemish composers. They held important positions throughout Europe, especially in Italy. Other countries with vibrant musical activity included Germany, England, and Spain.
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During the Baroque era of music (1600 to 1750), composers expanded the range and complexity of the music they were writing. The Baroque music era began when composers looked back to Ancient Greek music for the inspiration to create operas (dramatic vocal music accompanied by orchestra). Another key style of music composers used during this era was contrapuntal music. This style of writing required composers to have an advanced knowledge of music theory, as contrapuntal music involves multiple, independent melody lines played by instruments or sung by voices. There were strict counterpoint rules that composers had to learn. German Baroque composers wrote for small ensembles including strings, brass, and woodwinds, as well as choirs and for keyboard instruments such as pipe organ, harpsichord, and clavichord. During this period, composers developed several major music forms that lasted into later periods when they were expanded and evolved further, including the fugue, the invention, the sonata, and the concerto.[2] The late Baroque style was polyphonically complex and richly ornamented. Some of the best-known composers from the Baroque era include Claudio Monteverdi, Heinrich Schütz, Jean-Baptiste Lully, Dieterich Buxtehude, Arcangelo Corelli, Henry Purcell, François Couperin, Antonio Vivaldi, Georg Philipp Telemann, Jean-Philippe Rameau, Johann Sebastian Bach and George Frideric Handel.
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Composers of music of the Classical Period (1750 to 1830) looked to the art and philosophy of Ancient Greece and Rome, to the ideals of balance, proportion and disciplined expression. Apart from when writing religious works, composers moved towards writing in a lighter, clearer and considerably simpler texture, using instrumental melodies that tended to be almost voicelike and singable. New genres were developed by composers. The main style was homophony,[3] where a prominent melody and a subordinate chordal accompaniment part are clearly distinct.
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Composers focused on instrumental music. It was dominated by further development of musical forms initially defined in the Baroque period: the sonata, the concerto, and the symphony. Others main kinds were the trio, string quartet, serenade and divertimento. The sonata was the most important and developed form. Although Baroque composers also wrote sonatas, the Classical style of sonata is completely distinct. All of the main instrumental forms of the Classical era, from string quartets to symphonies and concertos, were based on the structure of the sonata.
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One of the most important changes made in the Classical period was the development of public concerts. The aristocracy still played a significant role in the sponsorship of concerts and compositions, but it was now possible for composers to survive without being permanent employees of queens or princes. The increasing popularity of classical music led to a growth in the number and types of orchestras. The expansion of orchestral concerts necessitated the building of large public performance spaces. Symphonic music including symphonies, musical accompaniment to ballet and mixed vocal/instrumental genres such as opera and oratorio became more popular.
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The best known composers of Classicism are Joseph Haydn, Wolfgang Amadeus Mozart, Ludwig van Beethoven and Franz Schubert. Beethoven and Schubert are also considered to be composers in the later part of the Classical era, as it began to move towards Romanticism.
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During the Romantic music era (c. 1810 to 1900), composers turned the rigid styles and forms of the Classical era into more passionate, dramatic expressive pieces. Composers attempted to increase emotional expression and power of their music, and they tried to describe deeper truths or human feelings. With symphonic tone poems, composers tried to tell stories and evoke images or landscapes using instrumental music. Some composers promoted nationalistic pride with patriotic orchestral music inspired by folk music. For composers, the emotional and expressive qualities of music came to take precedence over following textbooks and tradition. Romantic composers grew in idiosyncrasy, and went further in the syncretism of exploring different art-forms in a musical context, (such as literature), history (historical figures and legends), or nature itself. Romantic love or longing was a prevalent theme in many works composed during this period. In some cases the formal structures from the classical period continued to be used (e.g., the sonata form used in string quartets and symphonies), but these forms were expanded and altered. In many cases, composers explored new approaches to use for existing genres, forms, and functions. Also, composers created new forms that were deemed better suited to the new subject matter. Opera and ballet continued to develop.[4]
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In the years after 1800, the music developed by Ludwig van Beethoven and Franz Schubert introduced a more dramatic, expressive style. In Beethoven's case, short motifs, developed organically, came to replace melody as the most significant compositional unit (an example is the distinctive four note figure used in his Fifth Symphony). Later Romantic composers such as Pyotr Ilyich Tchaikovsky, Antonín Dvořák, and Gustav Mahler used more unusual chords and more dissonance to create dramatic tension. They generated complex and often much longer musical works. During the late Romantic period, composers explored dramatic chromatic alterations of tonality, such as extended chords and altered chords, which created new sound "colours". Composers in the Romantic era increased the size of the orchestra by adding players and using new instruments, creating a more powerful sound. Some Wagnerian orchestras included multiple harps, massive string sections and Wagner tubas.
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In the 19th century, one of the key ways that new compositions became known to the public was by the sales of sheet music, which amateur music lovers would perform at home on their piano or other instruments. With 20th-century music, there was a vast increase in music listening as the radio gained popularity and phonographs were used to replay and distribute music. In the 20th century, contemporary classical composers were also influenced by the African-American improvisation-based jazz music. The jazz influence can be seen in Third Stream music and in the compositions of Leonard Bernstein. The focus of art music was characterized by exploration of new rhythms, styles, and sounds. Igor Stravinsky, Arnold Schoenberg, and John Cage were all influential composers in 20th-century art music. Cage wrote compositions for traditional classical instruments and unusual sound-producing devices not normally thought of as instruments, such as radios. The invention of sound recording and the ability to edit music on tape gave rise to new subgenre of classical music, including the acousmatic[5] and Musique concrète schools of electronic composition, in which composers made pieces using reel-to-reel tape recorders and electronic equipment.
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In 1993, American musicologist Marcia Citron asked "[w]hy is music composed by women so marginal to the standard 'classical' repertoire?"[6] Citron "examines the practices and attitudes that have led to the exclusion of women composers from the received 'canon' of performed musical works." She argues that in the 1800s, women composers typically wrote art songs for performance in small recitals rather than symphonies intended for performance with an orchestra in a large hall, with the latter works being seen as the most important genre for composers; since women composers did not write many symphonies, they were deemed to be not notable as composers.[6]
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According to Abbey Philips, "women musicians have had a very difficult time breaking through and getting the credit they deserve."[7] During the Medieval eras, most of the art music was created for liturgical (religious) purposes and due to the views about the roles of women that were held by religious leaders, few women composed this type of music, with the nun Hildegard von Bingen being among the exceptions. Most university textbooks on the history of music discuss almost exclusively the role of male composers. As well, very few works by women composers are part of the standard repertoire of classical music. In Concise Oxford History of Music, "Clara Shumann [sic] is one of the only female composers mentioned",[7] but other notable women composers of the common practice period include Fanny Mendelssohn and Cécile Chaminade, and arguably the most influential teacher of composers during the mid-20th century was Nadia Boulanger.[citation needed] Philips states that "[d]uring the 20th century the women who were composing/playing gained far less attention than their male counterparts."[7]
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Women today are being taken more seriously in the realm of concert music, though the statistics of recognition, prizes, employment, and overall opportunities are still biased toward men.[8]
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Famous composers have a tendency to cluster in specific cities throughout history. Based on over 12,000 prominent composers listed in Grove Music Online and using word count measurement techniques, the most important cities for classical music can be quantitatively identified.[9]
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Paris has been the main hub for classical music in all periods. It was ranked fifth in the 15th and 16th centuries but first in the 17th to 20th centuries inclusive. London was the second most meaningful city: eighth in the 15th century, seventh in the 16th, fifth in the 17th, second in the 18th and 19th centuries, and fourth in the 20th century. Rome topped the rankings in the 15th century, dropped to second in the 16th and 17th centuries, eighth in the 18th century, ninth in the 19th century but back at sixth in the 20th century. Berlin appears in the top ten ranking only in the 18th century, and was ranked third most important city in both the 19th and 20th centuries. New York City entered the rankings in the 19th century (at fifth place) and stood at second rank in the 20th century. The patterns are very similar for a sample of 522 top composers.[10]
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Professional classical composers often have a background in performing classical music during their childhood and teens, either as a singer in a choir, as a player in a youth orchestra, or as a performer on a solo instrument (e.g., piano, pipe organ, or violin). Teens aspiring to be composers can continue their postsecondary studies in a variety of formal training settings, including colleges, conservatories, and universities. Conservatories, which are the standard musical training system in France and in Quebec (Canada) provide lessons and amateur orchestral and choral singing experience for composition students. Universities offer a range of composition programs, including bachelor's degrees, Master of Music degrees, and Doctor of Musical Arts degrees. As well, there are a variety of other training programs such as classical summer camps and festivals, which give students the opportunity to get coaching from composers.
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Bachelor's degrees in composition (referred to as B.Mus. or B.M) are four-year programs that include individual composition lessons, amateur orchestra/choral experience, and a sequence of courses in music history, music theory, and liberal arts courses (e.g., English literature), which give the student a more well-rounded education. Usually, composition students must complete significant pieces or songs before graduating. Not all composers hold a B.Mus. in composition; composers may also hold a B.Mus. in music performance or music theory.
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Master of music degrees (M.mus.) in composition consist of private lessons with a composition professor, ensemble experience, and graduate courses in music history and music theory, along with one or two concerts featuring the composition student's pieces. A Master's degree in music (referred to as an M.Mus. or M.M.) is often a required minimum credential for people who wish to teach composition at a university or conservatory. A composer with an M.Mus. could be an adjunct professor or instructor at a university, but it would be difficult in the 2010s to obtain a tenure track professor position with this degree.
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To become a tenure track professor, many universities require a doctoral degree. In composition, the key doctoral degree is the Doctor of Musical Arts, rather than the PhD; the PhD is awarded in music, but typically for subjects such as musicology and music theory.
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Doctor of Musical Arts (referred to as D.M.A., DMA, D.Mus.A. or A.Mus.D) degrees in composition provide an opportunity for advanced study at the highest artistic and pedagogical level, requiring usually an additional 54+ credit hours beyond a master's degree (which is about 30+ credits beyond a bachelor's degree). For this reason, admission is highly selective. Students must submit examples of their compositions. If available, some schools will also accept video or audio recordings of performances of the student's pieces. Examinations in music history, music theory, ear training/dictation, and an entrance examination are required.
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Students must prepare significant compositions under the guidance of faculty composition professors. Some schools require DMA composition students to present concerts of their works, which are typically performed by singers or musicians from the school. The completion of advanced coursework and a minimum B average are other typical requirements of a D.M.A program. During a D.M.A. program, a composition student may get experience teaching undergraduate music students.
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Some classical composers did not complete composition programs, but focused their studies on performance of voice or an instrument or on music theory, and developed their compositional skills over the course of a career in another musical occupation.
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During the Middle Ages, most composers worked for the Catholic church and composed music for religious services such as plainchant melodies. During the Renaissance music era, composers typically worked for aristocratic employers. While aristocrats typically required composers to produce a significant amount of religious music, such as Masses, composers also penned many non-religious songs on the topic of courtly love: the respectful, reverential love of a great woman from afar. Courtly love songs were very popular during the Renaissance era. During the Baroque music era, many composers were employed by aristocrats or as church employees. During the Classical period, composers began to organize more public concerts for profit, which helped composers to be less dependent on aristocratic or church jobs. This trend continued in the Romantic music era in the 19th century. In the 20th century, composers began to seek employment as professors in universities and conservatories. In the 20th century, composers also earned money from the sales of their works, such sheet music publications of their songs or pieces or as sound recordings of their works.
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A composer (Latin compōnō; literally "one who puts together") is a musician who is an author of music in any form, including vocal music (for a singer or choir), instrumental music, electronic music, and music which combines multiple forms. A composer may create music in any music genre, including, for example, classical music, musical theatre, blues, folk music, jazz, and popular music. Composers often express their works in a written musical score using musical notation.
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Many composers are, or were, also skilled performers of music.
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Musical notation serves as a set of directions for a performer, but there is a whole continuum of possibilities concerning how much the performer determines the final form of the rendered work in performance.
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Even in a conventional Western piece of instrumental music, in which all of the melodies, chords, and basslines are written out in musical notation, the performer has a degree of latitude to add artistic interpretation to the work, by such means as by varying his or her articulation and phrasing, choosing how long to make fermatas (held notes) or pauses, and — in the case of bowed string instruments, woodwinds or brass instruments — deciding whether to use expressive effects such as vibrato or portamento. For a singer or instrumental performer, the process of deciding how to perform music that has been previously composed and notated is termed "interpretation". Different performers' interpretations of the same work of music can vary widely, in terms of the tempos that are chosen and the playing or singing style or phrasing of the melodies. Composers and songwriters who present their own music are interpreting, just as much as those who perform the music of others. The standard body of choices and techniques present at a given time and a given place is referred to as performance practice, whereas interpretation is generally used to mean the individual choices of a performer.[citation needed]
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Although a musical composition often has a single author, this is not always the case. A work of music can have multiple composers, which often occurs in popular music when a band collaborates to write a song, or in musical theatre, where the songs may be written by one person, the orchestration of the accompaniment parts and writing of the overture is done by an orchestrator, and the words may be written by a third person.
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A piece of music can also be composed with words, images, or, in the 20th and 21st century, computer programs that explain or notate how the singer or musician should create musical sounds. Examples of this range from wind chimes jingling in a breeze, to avant-garde music from the 20th century that uses graphic notation, to text compositions such as Aus den sieben Tagen, to computer programs that select sounds for musical pieces. Music that makes heavy use of randomness and chance is called aleatoric music, and is associated with contemporary composers active in the 20th century, such as John Cage, Morton Feldman, and Witold Lutosławski.
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The nature and means of individual variation of the music is varied, depending on the musical culture in the country and time period it was written. For instance, music composed in the Baroque era, particularly in slow tempos, often was written in bare outline, with the expectation that the performer would add improvised ornaments to the melody line during a performance. Such freedom generally diminished in later eras, correlating with the increased use by composers of more detailed scoring in the form of dynamics, articulation et cetera; composers becoming uniformly more explicit in how they wished their music to be interpreted, although how strictly and minutely these are dictated varies from one composer to another. Because of this trend of composers becoming increasingly specific and detailed in their instructions to the performer, a culture eventually developed whereby faithfulness to the composer's written intention came to be highly valued (see, for example, Urtext edition). This musical culture is almost certainly related to the high esteem (bordering on veneration) in which the leading classical composers are often held by performers.
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The historically informed performance movement has revived to some extent the possibility of the performer elaborating in a serious way the music as given in the score, particularly for Baroque music and music from the early Classical period. The movement might be considered a way of creating greater faithfulness to the original in works composed at a time that expected performers to improvise. In genres other than classical music, the performer generally has more freedom; thus for instance when a performer of Western popular music creates a "cover" of an earlier song, there is little expectation of exact rendition of the original; nor is exact faithfulness necessarily highly valued (with the possible exception of "note-for-note" transcriptions of famous guitar solos).
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In Western art music, the composer typically orchestrates his or her own compositions, but in musical theatre and in pop music, songwriters may hire an arranger to do the orchestration. In some cases, a pop songwriter may not use notation at all, and instead compose the song in his or her mind and then play or record it from memory. In jazz and popular music, notable recordings by influential performers are given the weight that written scores play in classical music. The study of composition has traditionally been dominated by examination of methods and practice of Western classical music, but the definition of composition is broad enough the creation of popular and traditional music songs and instrumental pieces and to include spontaneously improvised works like those of free jazz performers and African percussionists such as Ewe drummers.
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The level of distinction between composers and other musicians varies, which affects issues such as copyright[specify] and the deference given to individual interpretations of a particular piece of music.[citation needed] In the development of European classical music, the function of composing music initially did not have much greater importance than that of performing it.[citation needed] The preservation of individual compositions did not receive enormous attention and musicians generally had no qualms about modifying compositions for performance. In as much as the role of the composer in western art music has seen continued solidification, in alternative idioms (i.e. jazz, experimental music) it has in some ways become increasingly complex or vague. For instance, in certain contexts the line between composer and performer, sound designer, arranger, producer, and other roles, can be quite blurred.
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The term "composer" is often used to refer to composers of instrumental music, such as those found in classical, jazz or other forms of art and traditional music. In popular and folk music, the composer is usually called a songwriter, since the music generally takes the form of a song. Since the mid-20th century, the term has expanded to accommodate creators of electroacoustic music, in which composers directly create sonic material in any of the various electronic media, such as reel-to-reel tape and electronic effects units, which may be presented to an audience by replaying a tape or other sound recording, or by having live instrumentalists and singers perform with prerecorded material. This is distinct from a 19th-century conception of instrumental composition, where the work was represented solely by a musical score to be interpreted by performers.
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Music was an important part of social and cultural life in Ancient Greece. We know that composers wrote notated music during the Ancient Greek era because scholars have found the Seikilos epitaph. The epitaph, written sometime between 200 BC and 100 AD,[1] is the oldest surviving example of a complete musical composition, including musical notation, in the world. The song, the melody of which is recorded, alongside its lyrics, in the ancient Greek musical notation, was found engraved on a tombstone, a stele, near Aydın, Turkey (not far from Ephesus). It is a Hellenistic Ionic song in either the Phrygian octave species or Iastian tonos.
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During the Medieval music era (476 to 1400), composers wrote monophonic (single melodic line) chanting into Roman Catholic Church services. Western Music then started becoming more of an art form with the advances in music notation. The only European Medieval repertory that survives from before about 800 is the monophonic liturgical plainsong of the Roman Catholic Church, the central tradition of which was called Gregorian chant. Alongside these traditions of sacred and church music there existed a vibrant tradition of secular song (non-religious songs). Examples of composers from this period are Léonin, Pérotin and Guillaume de Machaut.
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During the Renaissance music era (c. 1400 to 1600) composers tended to focus more on writing songs about secular (non-religious) themes, such as courtly love. Around 1450, the printing press was invented, which made printed sheet music much less expensive and easier to mass-produce (prior to the invention of the printing press, all notated music was hand-copied). The increased availability of sheet music helped to spread composers' musical styles more quickly and across a larger area. By the middle of the 15th century, composers were writing richly polyphonic sacred music, in which different melody lines were interwoven simultaneously. Prominent composers from this era include Guillaume Dufay, Giovanni Pierluigi da Palestrina, Thomas Morley, and Orlande de Lassus. As musical activity shifted from the church to the aristocratic courts, kings, queens and princes competed for the finest composers. Many leading important composers came from the Netherlands, Belgium, and northern France. They are called the Franco-Flemish composers. They held important positions throughout Europe, especially in Italy. Other countries with vibrant musical activity included Germany, England, and Spain.
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During the Baroque era of music (1600 to 1750), composers expanded the range and complexity of the music they were writing. The Baroque music era began when composers looked back to Ancient Greek music for the inspiration to create operas (dramatic vocal music accompanied by orchestra). Another key style of music composers used during this era was contrapuntal music. This style of writing required composers to have an advanced knowledge of music theory, as contrapuntal music involves multiple, independent melody lines played by instruments or sung by voices. There were strict counterpoint rules that composers had to learn. German Baroque composers wrote for small ensembles including strings, brass, and woodwinds, as well as choirs and for keyboard instruments such as pipe organ, harpsichord, and clavichord. During this period, composers developed several major music forms that lasted into later periods when they were expanded and evolved further, including the fugue, the invention, the sonata, and the concerto.[2] The late Baroque style was polyphonically complex and richly ornamented. Some of the best-known composers from the Baroque era include Claudio Monteverdi, Heinrich Schütz, Jean-Baptiste Lully, Dieterich Buxtehude, Arcangelo Corelli, Henry Purcell, François Couperin, Antonio Vivaldi, Georg Philipp Telemann, Jean-Philippe Rameau, Johann Sebastian Bach and George Frideric Handel.
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Composers of music of the Classical Period (1750 to 1830) looked to the art and philosophy of Ancient Greece and Rome, to the ideals of balance, proportion and disciplined expression. Apart from when writing religious works, composers moved towards writing in a lighter, clearer and considerably simpler texture, using instrumental melodies that tended to be almost voicelike and singable. New genres were developed by composers. The main style was homophony,[3] where a prominent melody and a subordinate chordal accompaniment part are clearly distinct.
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Composers focused on instrumental music. It was dominated by further development of musical forms initially defined in the Baroque period: the sonata, the concerto, and the symphony. Others main kinds were the trio, string quartet, serenade and divertimento. The sonata was the most important and developed form. Although Baroque composers also wrote sonatas, the Classical style of sonata is completely distinct. All of the main instrumental forms of the Classical era, from string quartets to symphonies and concertos, were based on the structure of the sonata.
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One of the most important changes made in the Classical period was the development of public concerts. The aristocracy still played a significant role in the sponsorship of concerts and compositions, but it was now possible for composers to survive without being permanent employees of queens or princes. The increasing popularity of classical music led to a growth in the number and types of orchestras. The expansion of orchestral concerts necessitated the building of large public performance spaces. Symphonic music including symphonies, musical accompaniment to ballet and mixed vocal/instrumental genres such as opera and oratorio became more popular.
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The best known composers of Classicism are Joseph Haydn, Wolfgang Amadeus Mozart, Ludwig van Beethoven and Franz Schubert. Beethoven and Schubert are also considered to be composers in the later part of the Classical era, as it began to move towards Romanticism.
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During the Romantic music era (c. 1810 to 1900), composers turned the rigid styles and forms of the Classical era into more passionate, dramatic expressive pieces. Composers attempted to increase emotional expression and power of their music, and they tried to describe deeper truths or human feelings. With symphonic tone poems, composers tried to tell stories and evoke images or landscapes using instrumental music. Some composers promoted nationalistic pride with patriotic orchestral music inspired by folk music. For composers, the emotional and expressive qualities of music came to take precedence over following textbooks and tradition. Romantic composers grew in idiosyncrasy, and went further in the syncretism of exploring different art-forms in a musical context, (such as literature), history (historical figures and legends), or nature itself. Romantic love or longing was a prevalent theme in many works composed during this period. In some cases the formal structures from the classical period continued to be used (e.g., the sonata form used in string quartets and symphonies), but these forms were expanded and altered. In many cases, composers explored new approaches to use for existing genres, forms, and functions. Also, composers created new forms that were deemed better suited to the new subject matter. Opera and ballet continued to develop.[4]
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In the years after 1800, the music developed by Ludwig van Beethoven and Franz Schubert introduced a more dramatic, expressive style. In Beethoven's case, short motifs, developed organically, came to replace melody as the most significant compositional unit (an example is the distinctive four note figure used in his Fifth Symphony). Later Romantic composers such as Pyotr Ilyich Tchaikovsky, Antonín Dvořák, and Gustav Mahler used more unusual chords and more dissonance to create dramatic tension. They generated complex and often much longer musical works. During the late Romantic period, composers explored dramatic chromatic alterations of tonality, such as extended chords and altered chords, which created new sound "colours". Composers in the Romantic era increased the size of the orchestra by adding players and using new instruments, creating a more powerful sound. Some Wagnerian orchestras included multiple harps, massive string sections and Wagner tubas.
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In the 19th century, one of the key ways that new compositions became known to the public was by the sales of sheet music, which amateur music lovers would perform at home on their piano or other instruments. With 20th-century music, there was a vast increase in music listening as the radio gained popularity and phonographs were used to replay and distribute music. In the 20th century, contemporary classical composers were also influenced by the African-American improvisation-based jazz music. The jazz influence can be seen in Third Stream music and in the compositions of Leonard Bernstein. The focus of art music was characterized by exploration of new rhythms, styles, and sounds. Igor Stravinsky, Arnold Schoenberg, and John Cage were all influential composers in 20th-century art music. Cage wrote compositions for traditional classical instruments and unusual sound-producing devices not normally thought of as instruments, such as radios. The invention of sound recording and the ability to edit music on tape gave rise to new subgenre of classical music, including the acousmatic[5] and Musique concrète schools of electronic composition, in which composers made pieces using reel-to-reel tape recorders and electronic equipment.
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In 1993, American musicologist Marcia Citron asked "[w]hy is music composed by women so marginal to the standard 'classical' repertoire?"[6] Citron "examines the practices and attitudes that have led to the exclusion of women composers from the received 'canon' of performed musical works." She argues that in the 1800s, women composers typically wrote art songs for performance in small recitals rather than symphonies intended for performance with an orchestra in a large hall, with the latter works being seen as the most important genre for composers; since women composers did not write many symphonies, they were deemed to be not notable as composers.[6]
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According to Abbey Philips, "women musicians have had a very difficult time breaking through and getting the credit they deserve."[7] During the Medieval eras, most of the art music was created for liturgical (religious) purposes and due to the views about the roles of women that were held by religious leaders, few women composed this type of music, with the nun Hildegard von Bingen being among the exceptions. Most university textbooks on the history of music discuss almost exclusively the role of male composers. As well, very few works by women composers are part of the standard repertoire of classical music. In Concise Oxford History of Music, "Clara Shumann [sic] is one of the only female composers mentioned",[7] but other notable women composers of the common practice period include Fanny Mendelssohn and Cécile Chaminade, and arguably the most influential teacher of composers during the mid-20th century was Nadia Boulanger.[citation needed] Philips states that "[d]uring the 20th century the women who were composing/playing gained far less attention than their male counterparts."[7]
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Women today are being taken more seriously in the realm of concert music, though the statistics of recognition, prizes, employment, and overall opportunities are still biased toward men.[8]
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Famous composers have a tendency to cluster in specific cities throughout history. Based on over 12,000 prominent composers listed in Grove Music Online and using word count measurement techniques, the most important cities for classical music can be quantitatively identified.[9]
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Paris has been the main hub for classical music in all periods. It was ranked fifth in the 15th and 16th centuries but first in the 17th to 20th centuries inclusive. London was the second most meaningful city: eighth in the 15th century, seventh in the 16th, fifth in the 17th, second in the 18th and 19th centuries, and fourth in the 20th century. Rome topped the rankings in the 15th century, dropped to second in the 16th and 17th centuries, eighth in the 18th century, ninth in the 19th century but back at sixth in the 20th century. Berlin appears in the top ten ranking only in the 18th century, and was ranked third most important city in both the 19th and 20th centuries. New York City entered the rankings in the 19th century (at fifth place) and stood at second rank in the 20th century. The patterns are very similar for a sample of 522 top composers.[10]
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Professional classical composers often have a background in performing classical music during their childhood and teens, either as a singer in a choir, as a player in a youth orchestra, or as a performer on a solo instrument (e.g., piano, pipe organ, or violin). Teens aspiring to be composers can continue their postsecondary studies in a variety of formal training settings, including colleges, conservatories, and universities. Conservatories, which are the standard musical training system in France and in Quebec (Canada) provide lessons and amateur orchestral and choral singing experience for composition students. Universities offer a range of composition programs, including bachelor's degrees, Master of Music degrees, and Doctor of Musical Arts degrees. As well, there are a variety of other training programs such as classical summer camps and festivals, which give students the opportunity to get coaching from composers.
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Bachelor's degrees in composition (referred to as B.Mus. or B.M) are four-year programs that include individual composition lessons, amateur orchestra/choral experience, and a sequence of courses in music history, music theory, and liberal arts courses (e.g., English literature), which give the student a more well-rounded education. Usually, composition students must complete significant pieces or songs before graduating. Not all composers hold a B.Mus. in composition; composers may also hold a B.Mus. in music performance or music theory.
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Master of music degrees (M.mus.) in composition consist of private lessons with a composition professor, ensemble experience, and graduate courses in music history and music theory, along with one or two concerts featuring the composition student's pieces. A Master's degree in music (referred to as an M.Mus. or M.M.) is often a required minimum credential for people who wish to teach composition at a university or conservatory. A composer with an M.Mus. could be an adjunct professor or instructor at a university, but it would be difficult in the 2010s to obtain a tenure track professor position with this degree.
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To become a tenure track professor, many universities require a doctoral degree. In composition, the key doctoral degree is the Doctor of Musical Arts, rather than the PhD; the PhD is awarded in music, but typically for subjects such as musicology and music theory.
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Doctor of Musical Arts (referred to as D.M.A., DMA, D.Mus.A. or A.Mus.D) degrees in composition provide an opportunity for advanced study at the highest artistic and pedagogical level, requiring usually an additional 54+ credit hours beyond a master's degree (which is about 30+ credits beyond a bachelor's degree). For this reason, admission is highly selective. Students must submit examples of their compositions. If available, some schools will also accept video or audio recordings of performances of the student's pieces. Examinations in music history, music theory, ear training/dictation, and an entrance examination are required.
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Students must prepare significant compositions under the guidance of faculty composition professors. Some schools require DMA composition students to present concerts of their works, which are typically performed by singers or musicians from the school. The completion of advanced coursework and a minimum B average are other typical requirements of a D.M.A program. During a D.M.A. program, a composition student may get experience teaching undergraduate music students.
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Some classical composers did not complete composition programs, but focused their studies on performance of voice or an instrument or on music theory, and developed their compositional skills over the course of a career in another musical occupation.
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During the Middle Ages, most composers worked for the Catholic church and composed music for religious services such as plainchant melodies. During the Renaissance music era, composers typically worked for aristocratic employers. While aristocrats typically required composers to produce a significant amount of religious music, such as Masses, composers also penned many non-religious songs on the topic of courtly love: the respectful, reverential love of a great woman from afar. Courtly love songs were very popular during the Renaissance era. During the Baroque music era, many composers were employed by aristocrats or as church employees. During the Classical period, composers began to organize more public concerts for profit, which helped composers to be less dependent on aristocratic or church jobs. This trend continued in the Romantic music era in the 19th century. In the 20th century, composers began to seek employment as professors in universities and conservatories. In the 20th century, composers also earned money from the sales of their works, such sheet music publications of their songs or pieces or as sound recordings of their works.
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Compost (/ˈkɒmpɒst/ or /ˈkɒmpoʊst/) is organic matter that has been decomposed in a process called composting. This process recycles various organic materials otherwise regarded as waste products and produces a soil conditioner (the compost).
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Compost is rich in nutrients. It is used, for example, in gardens, landscaping, horticulture, urban agriculture and organic farming. The compost itself is beneficial for the land in many ways, including as a soil conditioner, a fertilizer, addition of vital humus or humic acids, and as a natural pesticide for soil. Compost is useful for erosion control, land and stream reclamation, wetland construction, and as landfill cover.
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At the simplest level, the process of composting requires making a heap of wet organic matter (also called green waste), such as leaves, grass, and food scraps, and waiting for the materials to break down into humus after a period of months. However, composting can also take place as a multi-step, closely monitored process with measured inputs of water, air, and carbon- and nitrogen-rich materials. The decomposition process is aided by shredding the plant matter, adding water and ensuring proper aeration by regularly turning the mixture when open piles or "windrows" are used. Fungi, earthworms and other detritivores further break up the material. Aerobic bacteria and fungi manage the chemical process by converting the inputs into heat, carbon dioxide, and ammonium.
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Composting is an aerobic method (meaning that it requires the presence of air) of decomposing organic solid wastes.[1] It can therefore be used to recycle organic material. The process involves decomposition of organic material into a humus-like material, known as compost, which is a good fertilizer for plants. Composting requires the following three components: human management, aerobic conditions, and development of internal biological heat.
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Composting organisms require four equally important ingredients to work effectively:
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Certain ratios of these materials will provide microorganisms to work at a rate that will heat up the pile. Active management of the pile (e.g. turning) is needed to maintain sufficient supply of oxygen and the right moisture level. The air/water balance is critical to maintaining high temperatures 130–160 °F (54–71 °C) until the materials are broken down.[4]
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The most efficient composting occurs with an optimal carbon:nitrogen ratio of about 25:1.[5] Hot container composting focuses on retaining the heat to increase decomposition rate and produce compost more quickly. Rapid composting is favored by having a C/N ratio of ~30 or less. Above 30 the substrate is nitrogen starved, below 15 it is likely to outgas a portion of nitrogen as ammonia.[6]
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Nearly all plant and animal materials have both carbon and nitrogen, but amounts vary widely, with characteristics noted above (dry/wet, brown/green).[7] Fresh grass clippings have an average ratio of about 15:1 and dry autumn leaves about 50:1 depending on species. Mixing equal parts by volume approximates the ideal C:N range. Few individual situations will provide the ideal mix of materials at any point. Observation of amounts, and consideration of different materials as a pile is built over time, can quickly achieve a workable technique for the individual situation.
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With the proper mixture of water, oxygen, carbon, and nitrogen, micro-organisms are able to break down organic matter to produce compost.[8][9] The composting process is dependent on micro-organisms to break down organic matter into compost. There are many types of microorganisms found in active compost of which the most common are:[10]
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In addition, earthworms not only ingest partly composted material, but also continually re-create aeration and drainage tunnels as they move through the compost.
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Under ideal conditions, composting proceeds through three major phases:[10]
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There are many proponents of rapid composting that attempt to correct some of the perceived problems associated with traditional, slow composting. Many advocate that compost can be made in 2 to 3 weeks.[11] Many such short processes involve a few changes to traditional methods, including smaller, more homogenized pieces in the compost, controlling carbon-to-nitrogen ratio (C:N) at 30 to 1 or less, and monitoring the moisture level more carefully. However, none of these parameters differ significantly from the early writings of compost researchers, suggesting that, in fact, modern composting has not made significant advances over the traditional methods that take a few months to work. For this reason and others, many scientists who deal with carbon transformations are skeptical that there is a "super-charged" way to get nature to make compost rapidly.[citation needed]
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Both sides may be right to some extent. The bacterial activity in rapid high heat methods breaks down the material to the extent that pathogens and seeds are destroyed, and the original feedstock is unrecognizable. At this stage, the compost can be used to prepare fields or other planting areas. However, most professionals recommend that the compost be given time to cure before using in a nursery for starting seeds or growing young plants. The curing time allows fungi to continue the decomposition process and eliminating phytotoxic substances.[citation needed]
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An alternative approach is anaerobic fermentation, known as bokashi. It retains carbon bonds, is faster than decomposition, and for application to soil requires only rapid but thorough aeration rather than curing. It depends on sufficient carbohydrates in the treated material.
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Composting can destroy pathogens or unwanted seeds. Unwanted living plants (or weeds) can be discouraged by covering with mulch/compost. The "microbial pesticides" in compost may include thermophiles and mesophiles.
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Thermophilic (high-temperature) composting is well known to destroy many seeds and nearly all types of pathogens (exceptions may include prions). The sanitizing qualities of (thermophilic) composting are desirable where there is a high likelihood of pathogens, such as with manure.
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Composting is a process used for resource recovery. It can recycle an unwanted by-product from another process (a waste) into a useful new product.
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Composting is a process for converting decomposable organic materials into useful stable products. Therefore, valuable landfill space can be used for other wastes by composting these materials rather than dumping them on landfills. It may however be difficult to control inert and plastics contamination from municipal solid waste.
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Co-composting is a technique that processes organic solid waste together with other input materials such as dewatered fecal sludge or sewage sludge.[5]
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Industrial composting systems are being installed to treat organic solid waste and recycle it rather than landfilling it. It is one example of an advanced waste processing system. Mechanical sorting of mixed waste streams combined with anaerobic digestion or in-vessel composting is called mechanical biological treatment. It is increasingly being used in developed countries due to regulations controlling the amount of organic matter allowed in landfills. Treating biodegradable waste before it enters a landfill reduces global warming from fugitive methane; untreated waste breaks down anaerobically in a landfill, producing landfill gas that contains methane, a potent greenhouse gas.
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|
43 |
+
On many farms, the basic composting ingredients are animal manure generated on the farm and bedding. Straw and sawdust are common bedding materials. Non-traditional bedding materials are also used, including newspaper and chopped cardboard. The amount of manure composted on a livestock farm is often determined by cleaning schedules, land availability, and weather conditions. Each type of manure has its own physical, chemical, and biological characteristics. Cattle and horse manures, when mixed with bedding, possess good qualities for composting. Swine manure, which is very wet and usually not mixed with bedding material, must be mixed with straw or similar raw materials. Poultry manure also must be blended with carbonaceous materials - those low in nitrogen preferred, such as sawdust or straw.[12]
|
44 |
+
|
45 |
+
Human waste can be added as an input to the composting process since human excreta is a nitrogen-rich organic material. It can be either composted directly, as in composting toilets, or indirectly (as sewage sludge), after it has undergone treatment in a sewage treatment plant. Feces contain a wide range of microorganisms including bacteria, viruses and parasitic worms and its use in home composting can pose significant health risks.[13]
|
46 |
+
|
47 |
+
Urine can be put on compost piles or directly used as fertilizer.[14] Adding urine to compost can increase temperatures and therefore increase its ability to destroy pathogens and unwanted seeds. Unlike feces, urine does not attract disease-spreading flies (such as houseflies or blowflies), and it does not contain the most hardy of pathogens, such as parasitic worm eggs.
|
48 |
+
|
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+
Compost can be used as an additive to soil, or other matrices such as coir and peat, as a tilth improver, supplying humus and nutrients. It provides a rich growing medium as absorbent material (porous). This material contains moisture and soluble minerals, which provides support and nutrients. Although it is rarely used alone, plants can flourish from mixed soil, sand, grit, bark chips, vermiculite, perlite, or clay granules to produce loam. Compost can be tilled directly into the soil or growing medium to boost the level of organic matter and the overall fertility of the soil. Compost that is ready to be used as an additive is dark brown or even black with an earthy smell.[15]
|
50 |
+
|
51 |
+
Generally, direct seeding into a compost is not recommended due to the speed with which it may dry and the possible presence of phytotoxins in immature compost that may inhibit germination,[16][17][18] and the possible tie up of nitrogen by incompletely decomposed lignin.[19] It is very common to see blends of 20–30% compost used for transplanting seedlings at cotyledon stage or later.
|
52 |
+
|
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+
Compost can be used to increase plant immunity to diseases and pests.[20]
|
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+
|
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+
Various approaches have been developed to handle different ingredients, locations, throughput and applications for the composted product.
|
56 |
+
|
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+
Industrial-scale composting can be carried out in the form of in-vessel composting, aerated static pile composting, vermicomposting, or windrow composting.[citation needed]
|
58 |
+
|
59 |
+
Vermicompost is the product or process of organic material degradation using various species of worms, usually red wigglers, white worms, and earthworms, to create a heterogeneous mixture of decomposing vegetable or food waste (excluding nitrogen-rich meat or dairy and fats or oils), bedding materials, and vermicast. Vermicast, also known as worm castings, worm humus or worm manure, is the end-product of the breakdown of organic matter by species of earthworm.[21]
|
60 |
+
|
61 |
+
Vermicomposting can also be applied for treatment of sewage sludge.[citation needed]
|
62 |
+
|
63 |
+
A composting toilet collects human excreta. These are added to a compost heap that can be located in a chamber below the toilet seat. Sawdust and straw or other carbon rich materials are usually added as well. Some composting toilets do not require water or electricity; others may. If they do not use water for flushing they fall into the category of dry toilets. Some composting toilet designs use urine diversion, others do not. When properly managed, they do not smell. The composting process in these toilets destroys pathogens to some extent. The amount of pathogen destruction depends on the temperature (mesophilic or thermophilic conditions) and composting time.[22]
|
64 |
+
|
65 |
+
Composting toilets with a large composting container (of the type Clivus Multrum and derivations of it) are popular in United States, Canada, Australia, New Zealand and Sweden. They are available as commercial products, as designs for self builders or as "design derivatives" which are marketed under various names.
|
66 |
+
|
67 |
+
Black soldier fly (Hermetia illucens) larvae are able to rapidly consume large amounts of organic material when kept at around 30 °C.[23][24] Black soldier fly larvae can reduce the dry matter of the organic waste by 73% and convert 16–22% of the dry matter in the waste to biomass.[25][26] The resulting compost still contains nutrients and can be used for biogas production, or further traditional composting or vermicomposting [27] The larvae are rich in fat and protein, and can be used as, for example, animal feed or biodiesel production.[28] Enthusiasts have experimented with a large number of different waste products.[29]
|
68 |
+
|
69 |
+
Bokashi is not composting as defined earlier, rather an alternative technology. It ferments (rather than decomposes) the input organic matter and feeds the result to the soil food web (rather than producing a soil conditioner). The process involves adding Lactobacilli to the input in an airtight container kept at normal room temperature. These bacteria ferment carbohydrates to lactic acid, which preserves the input. After this is complete the preserve is mixed into soil, converting the lactic acid to pyruvate, which enables soil life to consume the result.
|
70 |
+
|
71 |
+
Bokashi is typically applied to food waste from households, workplaces and catering establishments, because such waste normally holds a good proportion of carbohydrates; it is also applied to other organic waste by supplementing carbohydrates. Household containers ("bokashi bins") typically give a batch size of 5–10 kilograms (11–22 lb), accumulated over a few weeks. In horticultural settings batches can be orders of magnitude greater.
|
72 |
+
|
73 |
+
Bokashi offers several advantages:
|
74 |
+
|
75 |
+
The importance of the first advantage should not be underestimated: the mass of any ecosystem depends on the energy it captures. Plants depend upon the soil ecosystem making nutrients available within soil water. Therefore, the richer the ecosystem, the richer the plants. (Plants can also take up nutrients from added chemicals, but these are at odds with the purpose of composting).
|
76 |
+
|
77 |
+
The practice of making raised garden beds or mounds filled with rotting wood is also called hügelkultur in German.[31][32] It is in effect creating a nurse log that is covered with soil.
|
78 |
+
|
79 |
+
Benefits of hügelkultur garden beds include water retention and warming of soil.[31][33] Buried wood acts like a sponge as it decomposes, able to capture water and store it for later use by crops planted on top of the hügelkultur bed.[31][34]
|
80 |
+
|
81 |
+
Compost teas are defined as water extracts leached from composted materials.[35] Compost teas are generally produced from adding one volume of compost to 4–10 volumes of water, but there has also been debate about the benefits of aerating the mixture.[35] Field studies have shown the benefits of adding compost teas to crops due to the adding of organic matter, increased nutrient availability and increased microbial activity.[35] They have also been shown to have an effect on plant pathogens.[36]
|
82 |
+
|
83 |
+
Worm Hotels accommodate useful worm in ideal conditions.
|
84 |
+
|
85 |
+
Organic ingredients intended for composting can also be used to generate biogas through anaerobic digestion. This process stabilizes organic material. The residual material, sometimes in combination with sewage sludge can be treated by a composting process before selling or giving away the compost.[37]
|
86 |
+
|
87 |
+
There are process and product guidelines in Europe that date to the early 1980s (Germany, the Netherlands, Switzerland) and only more recently in the UK and the US. In both these countries, private trade associations within the industry have established loose standards, some say as a stop-gap measure to discourage independent government agencies from establishing tougher consumer-friendly standards.[38]
|
88 |
+
|
89 |
+
The USA is the only Western country that does not distinguish sludge-source compost from green-composts, and by default in the USA 50% of states expect composts to comply in some manner with the federal EPA 503 rule promulgated in 1984 for sludge products.[39]
|
90 |
+
|
91 |
+
Compost is regulated in Canada[40] and Australia[41] as well.
|
92 |
+
|
93 |
+
Many countries such as Wales[42][43] and some individual cities such as Seattle and San Francisco require food and yard waste to be sorted for composting (San Francisco Mandatory Recycling and Composting Ordinance).[44][45]
|
94 |
+
|
95 |
+
Large-scale composting systems are used by many urban areas around the world.
|
96 |
+
|
97 |
+
Composting as a recognized practice dates to at least the early Roman Empire, and was mentioned as early as Cato the Elder's 160 BCE piece De Agri Cultura.[48] Traditionally, composting involved piling organic materials until the next planting season, at which time the materials would have decayed enough to be ready for use in the soil. The advantage of this method is that little working time or effort is required from the composter and it fits in naturally with agricultural practices in temperate climates. Disadvantages (from the modern perspective) are that space is used for a whole year, some nutrients might be leached due to exposure to rainfall, and disease-producing organisms and insects may not be adequately controlled.
|
98 |
+
|
99 |
+
Composting was somewhat modernized beginning in the 1920s in Europe as a tool for organic farming.[49] The first industrial station for the transformation of urban organic materials into compost was set up in Wels, Austria in the year 1921.[50] Early frequent citations for propounding composting within farming are for the German-speaking world Rudolf Steiner, founder of a farming method called biodynamics, and Annie Francé-Harrar, who was appointed on behalf of the government in Mexico and supported the country 1950–1958 to set up a large humus organization in the fight against erosion and soil degradation.[51]
|
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+
|
101 |
+
In the English-speaking world it was Sir Albert Howard who worked extensively in India on sustainable practices and Lady Eve Balfour who was a huge proponent of composting. Composting was imported to America by various followers of these early European movements by the likes of J.I. Rodale (founder of Rodale Organic Gardening), E.E. Pfeiffer (who developed scientific practices in biodynamic farming), Paul Keene (founder of Walnut Acres in Pennsylvania), and Scott and Helen Nearing (who inspired the back-to-the-land movement of the 1960s). Coincidentally, some of the above met briefly in India - all were quite influential in the U.S. from the 1960s into the 1980s.
|
102 |
+
|
103 |
+
The term "composting" is used worldwide with differing meanings.
|
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+
|
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+
"Humanure" is a portmanteau of human and manure, designating human excrement (feces and urine) that is recycled via composting for agricultural purposes. The term was first used in 1994 in a book by Joseph Jenkins that advocates the use of this organic soil amendment.[52] The term humanure is used by compost enthusiasts in the United States but not widely used elsewhere.[5] Because the term "humanure" has no authoritative definition it is subject to various uses. News reporters may use the term also for sewage sludge or biosolids.[53]
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1 |
+
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2 |
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3 |
+
Compost (/ˈkɒmpɒst/ or /ˈkɒmpoʊst/) is organic matter that has been decomposed in a process called composting. This process recycles various organic materials otherwise regarded as waste products and produces a soil conditioner (the compost).
|
4 |
+
|
5 |
+
Compost is rich in nutrients. It is used, for example, in gardens, landscaping, horticulture, urban agriculture and organic farming. The compost itself is beneficial for the land in many ways, including as a soil conditioner, a fertilizer, addition of vital humus or humic acids, and as a natural pesticide for soil. Compost is useful for erosion control, land and stream reclamation, wetland construction, and as landfill cover.
|
6 |
+
|
7 |
+
At the simplest level, the process of composting requires making a heap of wet organic matter (also called green waste), such as leaves, grass, and food scraps, and waiting for the materials to break down into humus after a period of months. However, composting can also take place as a multi-step, closely monitored process with measured inputs of water, air, and carbon- and nitrogen-rich materials. The decomposition process is aided by shredding the plant matter, adding water and ensuring proper aeration by regularly turning the mixture when open piles or "windrows" are used. Fungi, earthworms and other detritivores further break up the material. Aerobic bacteria and fungi manage the chemical process by converting the inputs into heat, carbon dioxide, and ammonium.
|
8 |
+
|
9 |
+
Composting is an aerobic method (meaning that it requires the presence of air) of decomposing organic solid wastes.[1] It can therefore be used to recycle organic material. The process involves decomposition of organic material into a humus-like material, known as compost, which is a good fertilizer for plants. Composting requires the following three components: human management, aerobic conditions, and development of internal biological heat.
|
10 |
+
|
11 |
+
Composting organisms require four equally important ingredients to work effectively:
|
12 |
+
|
13 |
+
Certain ratios of these materials will provide microorganisms to work at a rate that will heat up the pile. Active management of the pile (e.g. turning) is needed to maintain sufficient supply of oxygen and the right moisture level. The air/water balance is critical to maintaining high temperatures 130–160 °F (54–71 °C) until the materials are broken down.[4]
|
14 |
+
|
15 |
+
The most efficient composting occurs with an optimal carbon:nitrogen ratio of about 25:1.[5] Hot container composting focuses on retaining the heat to increase decomposition rate and produce compost more quickly. Rapid composting is favored by having a C/N ratio of ~30 or less. Above 30 the substrate is nitrogen starved, below 15 it is likely to outgas a portion of nitrogen as ammonia.[6]
|
16 |
+
|
17 |
+
Nearly all plant and animal materials have both carbon and nitrogen, but amounts vary widely, with characteristics noted above (dry/wet, brown/green).[7] Fresh grass clippings have an average ratio of about 15:1 and dry autumn leaves about 50:1 depending on species. Mixing equal parts by volume approximates the ideal C:N range. Few individual situations will provide the ideal mix of materials at any point. Observation of amounts, and consideration of different materials as a pile is built over time, can quickly achieve a workable technique for the individual situation.
|
18 |
+
|
19 |
+
With the proper mixture of water, oxygen, carbon, and nitrogen, micro-organisms are able to break down organic matter to produce compost.[8][9] The composting process is dependent on micro-organisms to break down organic matter into compost. There are many types of microorganisms found in active compost of which the most common are:[10]
|
20 |
+
|
21 |
+
In addition, earthworms not only ingest partly composted material, but also continually re-create aeration and drainage tunnels as they move through the compost.
|
22 |
+
|
23 |
+
Under ideal conditions, composting proceeds through three major phases:[10]
|
24 |
+
|
25 |
+
There are many proponents of rapid composting that attempt to correct some of the perceived problems associated with traditional, slow composting. Many advocate that compost can be made in 2 to 3 weeks.[11] Many such short processes involve a few changes to traditional methods, including smaller, more homogenized pieces in the compost, controlling carbon-to-nitrogen ratio (C:N) at 30 to 1 or less, and monitoring the moisture level more carefully. However, none of these parameters differ significantly from the early writings of compost researchers, suggesting that, in fact, modern composting has not made significant advances over the traditional methods that take a few months to work. For this reason and others, many scientists who deal with carbon transformations are skeptical that there is a "super-charged" way to get nature to make compost rapidly.[citation needed]
|
26 |
+
|
27 |
+
Both sides may be right to some extent. The bacterial activity in rapid high heat methods breaks down the material to the extent that pathogens and seeds are destroyed, and the original feedstock is unrecognizable. At this stage, the compost can be used to prepare fields or other planting areas. However, most professionals recommend that the compost be given time to cure before using in a nursery for starting seeds or growing young plants. The curing time allows fungi to continue the decomposition process and eliminating phytotoxic substances.[citation needed]
|
28 |
+
|
29 |
+
An alternative approach is anaerobic fermentation, known as bokashi. It retains carbon bonds, is faster than decomposition, and for application to soil requires only rapid but thorough aeration rather than curing. It depends on sufficient carbohydrates in the treated material.
|
30 |
+
|
31 |
+
Composting can destroy pathogens or unwanted seeds. Unwanted living plants (or weeds) can be discouraged by covering with mulch/compost. The "microbial pesticides" in compost may include thermophiles and mesophiles.
|
32 |
+
|
33 |
+
Thermophilic (high-temperature) composting is well known to destroy many seeds and nearly all types of pathogens (exceptions may include prions). The sanitizing qualities of (thermophilic) composting are desirable where there is a high likelihood of pathogens, such as with manure.
|
34 |
+
|
35 |
+
Composting is a process used for resource recovery. It can recycle an unwanted by-product from another process (a waste) into a useful new product.
|
36 |
+
|
37 |
+
Composting is a process for converting decomposable organic materials into useful stable products. Therefore, valuable landfill space can be used for other wastes by composting these materials rather than dumping them on landfills. It may however be difficult to control inert and plastics contamination from municipal solid waste.
|
38 |
+
|
39 |
+
Co-composting is a technique that processes organic solid waste together with other input materials such as dewatered fecal sludge or sewage sludge.[5]
|
40 |
+
|
41 |
+
Industrial composting systems are being installed to treat organic solid waste and recycle it rather than landfilling it. It is one example of an advanced waste processing system. Mechanical sorting of mixed waste streams combined with anaerobic digestion or in-vessel composting is called mechanical biological treatment. It is increasingly being used in developed countries due to regulations controlling the amount of organic matter allowed in landfills. Treating biodegradable waste before it enters a landfill reduces global warming from fugitive methane; untreated waste breaks down anaerobically in a landfill, producing landfill gas that contains methane, a potent greenhouse gas.
|
42 |
+
|
43 |
+
On many farms, the basic composting ingredients are animal manure generated on the farm and bedding. Straw and sawdust are common bedding materials. Non-traditional bedding materials are also used, including newspaper and chopped cardboard. The amount of manure composted on a livestock farm is often determined by cleaning schedules, land availability, and weather conditions. Each type of manure has its own physical, chemical, and biological characteristics. Cattle and horse manures, when mixed with bedding, possess good qualities for composting. Swine manure, which is very wet and usually not mixed with bedding material, must be mixed with straw or similar raw materials. Poultry manure also must be blended with carbonaceous materials - those low in nitrogen preferred, such as sawdust or straw.[12]
|
44 |
+
|
45 |
+
Human waste can be added as an input to the composting process since human excreta is a nitrogen-rich organic material. It can be either composted directly, as in composting toilets, or indirectly (as sewage sludge), after it has undergone treatment in a sewage treatment plant. Feces contain a wide range of microorganisms including bacteria, viruses and parasitic worms and its use in home composting can pose significant health risks.[13]
|
46 |
+
|
47 |
+
Urine can be put on compost piles or directly used as fertilizer.[14] Adding urine to compost can increase temperatures and therefore increase its ability to destroy pathogens and unwanted seeds. Unlike feces, urine does not attract disease-spreading flies (such as houseflies or blowflies), and it does not contain the most hardy of pathogens, such as parasitic worm eggs.
|
48 |
+
|
49 |
+
Compost can be used as an additive to soil, or other matrices such as coir and peat, as a tilth improver, supplying humus and nutrients. It provides a rich growing medium as absorbent material (porous). This material contains moisture and soluble minerals, which provides support and nutrients. Although it is rarely used alone, plants can flourish from mixed soil, sand, grit, bark chips, vermiculite, perlite, or clay granules to produce loam. Compost can be tilled directly into the soil or growing medium to boost the level of organic matter and the overall fertility of the soil. Compost that is ready to be used as an additive is dark brown or even black with an earthy smell.[15]
|
50 |
+
|
51 |
+
Generally, direct seeding into a compost is not recommended due to the speed with which it may dry and the possible presence of phytotoxins in immature compost that may inhibit germination,[16][17][18] and the possible tie up of nitrogen by incompletely decomposed lignin.[19] It is very common to see blends of 20–30% compost used for transplanting seedlings at cotyledon stage or later.
|
52 |
+
|
53 |
+
Compost can be used to increase plant immunity to diseases and pests.[20]
|
54 |
+
|
55 |
+
Various approaches have been developed to handle different ingredients, locations, throughput and applications for the composted product.
|
56 |
+
|
57 |
+
Industrial-scale composting can be carried out in the form of in-vessel composting, aerated static pile composting, vermicomposting, or windrow composting.[citation needed]
|
58 |
+
|
59 |
+
Vermicompost is the product or process of organic material degradation using various species of worms, usually red wigglers, white worms, and earthworms, to create a heterogeneous mixture of decomposing vegetable or food waste (excluding nitrogen-rich meat or dairy and fats or oils), bedding materials, and vermicast. Vermicast, also known as worm castings, worm humus or worm manure, is the end-product of the breakdown of organic matter by species of earthworm.[21]
|
60 |
+
|
61 |
+
Vermicomposting can also be applied for treatment of sewage sludge.[citation needed]
|
62 |
+
|
63 |
+
A composting toilet collects human excreta. These are added to a compost heap that can be located in a chamber below the toilet seat. Sawdust and straw or other carbon rich materials are usually added as well. Some composting toilets do not require water or electricity; others may. If they do not use water for flushing they fall into the category of dry toilets. Some composting toilet designs use urine diversion, others do not. When properly managed, they do not smell. The composting process in these toilets destroys pathogens to some extent. The amount of pathogen destruction depends on the temperature (mesophilic or thermophilic conditions) and composting time.[22]
|
64 |
+
|
65 |
+
Composting toilets with a large composting container (of the type Clivus Multrum and derivations of it) are popular in United States, Canada, Australia, New Zealand and Sweden. They are available as commercial products, as designs for self builders or as "design derivatives" which are marketed under various names.
|
66 |
+
|
67 |
+
Black soldier fly (Hermetia illucens) larvae are able to rapidly consume large amounts of organic material when kept at around 30 °C.[23][24] Black soldier fly larvae can reduce the dry matter of the organic waste by 73% and convert 16–22% of the dry matter in the waste to biomass.[25][26] The resulting compost still contains nutrients and can be used for biogas production, or further traditional composting or vermicomposting [27] The larvae are rich in fat and protein, and can be used as, for example, animal feed or biodiesel production.[28] Enthusiasts have experimented with a large number of different waste products.[29]
|
68 |
+
|
69 |
+
Bokashi is not composting as defined earlier, rather an alternative technology. It ferments (rather than decomposes) the input organic matter and feeds the result to the soil food web (rather than producing a soil conditioner). The process involves adding Lactobacilli to the input in an airtight container kept at normal room temperature. These bacteria ferment carbohydrates to lactic acid, which preserves the input. After this is complete the preserve is mixed into soil, converting the lactic acid to pyruvate, which enables soil life to consume the result.
|
70 |
+
|
71 |
+
Bokashi is typically applied to food waste from households, workplaces and catering establishments, because such waste normally holds a good proportion of carbohydrates; it is also applied to other organic waste by supplementing carbohydrates. Household containers ("bokashi bins") typically give a batch size of 5–10 kilograms (11–22 lb), accumulated over a few weeks. In horticultural settings batches can be orders of magnitude greater.
|
72 |
+
|
73 |
+
Bokashi offers several advantages:
|
74 |
+
|
75 |
+
The importance of the first advantage should not be underestimated: the mass of any ecosystem depends on the energy it captures. Plants depend upon the soil ecosystem making nutrients available within soil water. Therefore, the richer the ecosystem, the richer the plants. (Plants can also take up nutrients from added chemicals, but these are at odds with the purpose of composting).
|
76 |
+
|
77 |
+
The practice of making raised garden beds or mounds filled with rotting wood is also called hügelkultur in German.[31][32] It is in effect creating a nurse log that is covered with soil.
|
78 |
+
|
79 |
+
Benefits of hügelkultur garden beds include water retention and warming of soil.[31][33] Buried wood acts like a sponge as it decomposes, able to capture water and store it for later use by crops planted on top of the hügelkultur bed.[31][34]
|
80 |
+
|
81 |
+
Compost teas are defined as water extracts leached from composted materials.[35] Compost teas are generally produced from adding one volume of compost to 4–10 volumes of water, but there has also been debate about the benefits of aerating the mixture.[35] Field studies have shown the benefits of adding compost teas to crops due to the adding of organic matter, increased nutrient availability and increased microbial activity.[35] They have also been shown to have an effect on plant pathogens.[36]
|
82 |
+
|
83 |
+
Worm Hotels accommodate useful worm in ideal conditions.
|
84 |
+
|
85 |
+
Organic ingredients intended for composting can also be used to generate biogas through anaerobic digestion. This process stabilizes organic material. The residual material, sometimes in combination with sewage sludge can be treated by a composting process before selling or giving away the compost.[37]
|
86 |
+
|
87 |
+
There are process and product guidelines in Europe that date to the early 1980s (Germany, the Netherlands, Switzerland) and only more recently in the UK and the US. In both these countries, private trade associations within the industry have established loose standards, some say as a stop-gap measure to discourage independent government agencies from establishing tougher consumer-friendly standards.[38]
|
88 |
+
|
89 |
+
The USA is the only Western country that does not distinguish sludge-source compost from green-composts, and by default in the USA 50% of states expect composts to comply in some manner with the federal EPA 503 rule promulgated in 1984 for sludge products.[39]
|
90 |
+
|
91 |
+
Compost is regulated in Canada[40] and Australia[41] as well.
|
92 |
+
|
93 |
+
Many countries such as Wales[42][43] and some individual cities such as Seattle and San Francisco require food and yard waste to be sorted for composting (San Francisco Mandatory Recycling and Composting Ordinance).[44][45]
|
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|
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Large-scale composting systems are used by many urban areas around the world.
|
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Composting as a recognized practice dates to at least the early Roman Empire, and was mentioned as early as Cato the Elder's 160 BCE piece De Agri Cultura.[48] Traditionally, composting involved piling organic materials until the next planting season, at which time the materials would have decayed enough to be ready for use in the soil. The advantage of this method is that little working time or effort is required from the composter and it fits in naturally with agricultural practices in temperate climates. Disadvantages (from the modern perspective) are that space is used for a whole year, some nutrients might be leached due to exposure to rainfall, and disease-producing organisms and insects may not be adequately controlled.
|
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Composting was somewhat modernized beginning in the 1920s in Europe as a tool for organic farming.[49] The first industrial station for the transformation of urban organic materials into compost was set up in Wels, Austria in the year 1921.[50] Early frequent citations for propounding composting within farming are for the German-speaking world Rudolf Steiner, founder of a farming method called biodynamics, and Annie Francé-Harrar, who was appointed on behalf of the government in Mexico and supported the country 1950–1958 to set up a large humus organization in the fight against erosion and soil degradation.[51]
|
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+
|
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+
In the English-speaking world it was Sir Albert Howard who worked extensively in India on sustainable practices and Lady Eve Balfour who was a huge proponent of composting. Composting was imported to America by various followers of these early European movements by the likes of J.I. Rodale (founder of Rodale Organic Gardening), E.E. Pfeiffer (who developed scientific practices in biodynamic farming), Paul Keene (founder of Walnut Acres in Pennsylvania), and Scott and Helen Nearing (who inspired the back-to-the-land movement of the 1960s). Coincidentally, some of the above met briefly in India - all were quite influential in the U.S. from the 1960s into the 1980s.
|
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|
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+
The term "composting" is used worldwide with differing meanings.
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"Humanure" is a portmanteau of human and manure, designating human excrement (feces and urine) that is recycled via composting for agricultural purposes. The term was first used in 1994 in a book by Joseph Jenkins that advocates the use of this organic soil amendment.[52] The term humanure is used by compost enthusiasts in the United States but not widely used elsewhere.[5] Because the term "humanure" has no authoritative definition it is subject to various uses. News reporters may use the term also for sewage sludge or biosolids.[53]
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Compost (/ˈkɒmpɒst/ or /ˈkɒmpoʊst/) is organic matter that has been decomposed in a process called composting. This process recycles various organic materials otherwise regarded as waste products and produces a soil conditioner (the compost).
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Compost is rich in nutrients. It is used, for example, in gardens, landscaping, horticulture, urban agriculture and organic farming. The compost itself is beneficial for the land in many ways, including as a soil conditioner, a fertilizer, addition of vital humus or humic acids, and as a natural pesticide for soil. Compost is useful for erosion control, land and stream reclamation, wetland construction, and as landfill cover.
|
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|
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At the simplest level, the process of composting requires making a heap of wet organic matter (also called green waste), such as leaves, grass, and food scraps, and waiting for the materials to break down into humus after a period of months. However, composting can also take place as a multi-step, closely monitored process with measured inputs of water, air, and carbon- and nitrogen-rich materials. The decomposition process is aided by shredding the plant matter, adding water and ensuring proper aeration by regularly turning the mixture when open piles or "windrows" are used. Fungi, earthworms and other detritivores further break up the material. Aerobic bacteria and fungi manage the chemical process by converting the inputs into heat, carbon dioxide, and ammonium.
|
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|
9 |
+
Composting is an aerobic method (meaning that it requires the presence of air) of decomposing organic solid wastes.[1] It can therefore be used to recycle organic material. The process involves decomposition of organic material into a humus-like material, known as compost, which is a good fertilizer for plants. Composting requires the following three components: human management, aerobic conditions, and development of internal biological heat.
|
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|
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Composting organisms require four equally important ingredients to work effectively:
|
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|
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Certain ratios of these materials will provide microorganisms to work at a rate that will heat up the pile. Active management of the pile (e.g. turning) is needed to maintain sufficient supply of oxygen and the right moisture level. The air/water balance is critical to maintaining high temperatures 130–160 °F (54–71 °C) until the materials are broken down.[4]
|
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|
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+
The most efficient composting occurs with an optimal carbon:nitrogen ratio of about 25:1.[5] Hot container composting focuses on retaining the heat to increase decomposition rate and produce compost more quickly. Rapid composting is favored by having a C/N ratio of ~30 or less. Above 30 the substrate is nitrogen starved, below 15 it is likely to outgas a portion of nitrogen as ammonia.[6]
|
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Nearly all plant and animal materials have both carbon and nitrogen, but amounts vary widely, with characteristics noted above (dry/wet, brown/green).[7] Fresh grass clippings have an average ratio of about 15:1 and dry autumn leaves about 50:1 depending on species. Mixing equal parts by volume approximates the ideal C:N range. Few individual situations will provide the ideal mix of materials at any point. Observation of amounts, and consideration of different materials as a pile is built over time, can quickly achieve a workable technique for the individual situation.
|
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|
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+
With the proper mixture of water, oxygen, carbon, and nitrogen, micro-organisms are able to break down organic matter to produce compost.[8][9] The composting process is dependent on micro-organisms to break down organic matter into compost. There are many types of microorganisms found in active compost of which the most common are:[10]
|
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|
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+
In addition, earthworms not only ingest partly composted material, but also continually re-create aeration and drainage tunnels as they move through the compost.
|
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+
|
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+
Under ideal conditions, composting proceeds through three major phases:[10]
|
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+
|
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+
There are many proponents of rapid composting that attempt to correct some of the perceived problems associated with traditional, slow composting. Many advocate that compost can be made in 2 to 3 weeks.[11] Many such short processes involve a few changes to traditional methods, including smaller, more homogenized pieces in the compost, controlling carbon-to-nitrogen ratio (C:N) at 30 to 1 or less, and monitoring the moisture level more carefully. However, none of these parameters differ significantly from the early writings of compost researchers, suggesting that, in fact, modern composting has not made significant advances over the traditional methods that take a few months to work. For this reason and others, many scientists who deal with carbon transformations are skeptical that there is a "super-charged" way to get nature to make compost rapidly.[citation needed]
|
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+
|
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+
Both sides may be right to some extent. The bacterial activity in rapid high heat methods breaks down the material to the extent that pathogens and seeds are destroyed, and the original feedstock is unrecognizable. At this stage, the compost can be used to prepare fields or other planting areas. However, most professionals recommend that the compost be given time to cure before using in a nursery for starting seeds or growing young plants. The curing time allows fungi to continue the decomposition process and eliminating phytotoxic substances.[citation needed]
|
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+
|
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+
An alternative approach is anaerobic fermentation, known as bokashi. It retains carbon bonds, is faster than decomposition, and for application to soil requires only rapid but thorough aeration rather than curing. It depends on sufficient carbohydrates in the treated material.
|
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+
|
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+
Composting can destroy pathogens or unwanted seeds. Unwanted living plants (or weeds) can be discouraged by covering with mulch/compost. The "microbial pesticides" in compost may include thermophiles and mesophiles.
|
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+
|
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+
Thermophilic (high-temperature) composting is well known to destroy many seeds and nearly all types of pathogens (exceptions may include prions). The sanitizing qualities of (thermophilic) composting are desirable where there is a high likelihood of pathogens, such as with manure.
|
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+
|
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+
Composting is a process used for resource recovery. It can recycle an unwanted by-product from another process (a waste) into a useful new product.
|
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+
|
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+
Composting is a process for converting decomposable organic materials into useful stable products. Therefore, valuable landfill space can be used for other wastes by composting these materials rather than dumping them on landfills. It may however be difficult to control inert and plastics contamination from municipal solid waste.
|
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+
|
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+
Co-composting is a technique that processes organic solid waste together with other input materials such as dewatered fecal sludge or sewage sludge.[5]
|
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+
|
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+
Industrial composting systems are being installed to treat organic solid waste and recycle it rather than landfilling it. It is one example of an advanced waste processing system. Mechanical sorting of mixed waste streams combined with anaerobic digestion or in-vessel composting is called mechanical biological treatment. It is increasingly being used in developed countries due to regulations controlling the amount of organic matter allowed in landfills. Treating biodegradable waste before it enters a landfill reduces global warming from fugitive methane; untreated waste breaks down anaerobically in a landfill, producing landfill gas that contains methane, a potent greenhouse gas.
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|
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+
On many farms, the basic composting ingredients are animal manure generated on the farm and bedding. Straw and sawdust are common bedding materials. Non-traditional bedding materials are also used, including newspaper and chopped cardboard. The amount of manure composted on a livestock farm is often determined by cleaning schedules, land availability, and weather conditions. Each type of manure has its own physical, chemical, and biological characteristics. Cattle and horse manures, when mixed with bedding, possess good qualities for composting. Swine manure, which is very wet and usually not mixed with bedding material, must be mixed with straw or similar raw materials. Poultry manure also must be blended with carbonaceous materials - those low in nitrogen preferred, such as sawdust or straw.[12]
|
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|
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+
Human waste can be added as an input to the composting process since human excreta is a nitrogen-rich organic material. It can be either composted directly, as in composting toilets, or indirectly (as sewage sludge), after it has undergone treatment in a sewage treatment plant. Feces contain a wide range of microorganisms including bacteria, viruses and parasitic worms and its use in home composting can pose significant health risks.[13]
|
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+
|
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+
Urine can be put on compost piles or directly used as fertilizer.[14] Adding urine to compost can increase temperatures and therefore increase its ability to destroy pathogens and unwanted seeds. Unlike feces, urine does not attract disease-spreading flies (such as houseflies or blowflies), and it does not contain the most hardy of pathogens, such as parasitic worm eggs.
|
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|
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+
Compost can be used as an additive to soil, or other matrices such as coir and peat, as a tilth improver, supplying humus and nutrients. It provides a rich growing medium as absorbent material (porous). This material contains moisture and soluble minerals, which provides support and nutrients. Although it is rarely used alone, plants can flourish from mixed soil, sand, grit, bark chips, vermiculite, perlite, or clay granules to produce loam. Compost can be tilled directly into the soil or growing medium to boost the level of organic matter and the overall fertility of the soil. Compost that is ready to be used as an additive is dark brown or even black with an earthy smell.[15]
|
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|
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+
Generally, direct seeding into a compost is not recommended due to the speed with which it may dry and the possible presence of phytotoxins in immature compost that may inhibit germination,[16][17][18] and the possible tie up of nitrogen by incompletely decomposed lignin.[19] It is very common to see blends of 20–30% compost used for transplanting seedlings at cotyledon stage or later.
|
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|
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+
Compost can be used to increase plant immunity to diseases and pests.[20]
|
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|
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+
Various approaches have been developed to handle different ingredients, locations, throughput and applications for the composted product.
|
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|
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Industrial-scale composting can be carried out in the form of in-vessel composting, aerated static pile composting, vermicomposting, or windrow composting.[citation needed]
|
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|
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+
Vermicompost is the product or process of organic material degradation using various species of worms, usually red wigglers, white worms, and earthworms, to create a heterogeneous mixture of decomposing vegetable or food waste (excluding nitrogen-rich meat or dairy and fats or oils), bedding materials, and vermicast. Vermicast, also known as worm castings, worm humus or worm manure, is the end-product of the breakdown of organic matter by species of earthworm.[21]
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|
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Vermicomposting can also be applied for treatment of sewage sludge.[citation needed]
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A composting toilet collects human excreta. These are added to a compost heap that can be located in a chamber below the toilet seat. Sawdust and straw or other carbon rich materials are usually added as well. Some composting toilets do not require water or electricity; others may. If they do not use water for flushing they fall into the category of dry toilets. Some composting toilet designs use urine diversion, others do not. When properly managed, they do not smell. The composting process in these toilets destroys pathogens to some extent. The amount of pathogen destruction depends on the temperature (mesophilic or thermophilic conditions) and composting time.[22]
|
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|
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Composting toilets with a large composting container (of the type Clivus Multrum and derivations of it) are popular in United States, Canada, Australia, New Zealand and Sweden. They are available as commercial products, as designs for self builders or as "design derivatives" which are marketed under various names.
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Black soldier fly (Hermetia illucens) larvae are able to rapidly consume large amounts of organic material when kept at around 30 °C.[23][24] Black soldier fly larvae can reduce the dry matter of the organic waste by 73% and convert 16–22% of the dry matter in the waste to biomass.[25][26] The resulting compost still contains nutrients and can be used for biogas production, or further traditional composting or vermicomposting [27] The larvae are rich in fat and protein, and can be used as, for example, animal feed or biodiesel production.[28] Enthusiasts have experimented with a large number of different waste products.[29]
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Bokashi is not composting as defined earlier, rather an alternative technology. It ferments (rather than decomposes) the input organic matter and feeds the result to the soil food web (rather than producing a soil conditioner). The process involves adding Lactobacilli to the input in an airtight container kept at normal room temperature. These bacteria ferment carbohydrates to lactic acid, which preserves the input. After this is complete the preserve is mixed into soil, converting the lactic acid to pyruvate, which enables soil life to consume the result.
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Bokashi is typically applied to food waste from households, workplaces and catering establishments, because such waste normally holds a good proportion of carbohydrates; it is also applied to other organic waste by supplementing carbohydrates. Household containers ("bokashi bins") typically give a batch size of 5–10 kilograms (11–22 lb), accumulated over a few weeks. In horticultural settings batches can be orders of magnitude greater.
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Bokashi offers several advantages:
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The importance of the first advantage should not be underestimated: the mass of any ecosystem depends on the energy it captures. Plants depend upon the soil ecosystem making nutrients available within soil water. Therefore, the richer the ecosystem, the richer the plants. (Plants can also take up nutrients from added chemicals, but these are at odds with the purpose of composting).
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The practice of making raised garden beds or mounds filled with rotting wood is also called hügelkultur in German.[31][32] It is in effect creating a nurse log that is covered with soil.
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Benefits of hügelkultur garden beds include water retention and warming of soil.[31][33] Buried wood acts like a sponge as it decomposes, able to capture water and store it for later use by crops planted on top of the hügelkultur bed.[31][34]
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Compost teas are defined as water extracts leached from composted materials.[35] Compost teas are generally produced from adding one volume of compost to 4–10 volumes of water, but there has also been debate about the benefits of aerating the mixture.[35] Field studies have shown the benefits of adding compost teas to crops due to the adding of organic matter, increased nutrient availability and increased microbial activity.[35] They have also been shown to have an effect on plant pathogens.[36]
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Worm Hotels accommodate useful worm in ideal conditions.
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Organic ingredients intended for composting can also be used to generate biogas through anaerobic digestion. This process stabilizes organic material. The residual material, sometimes in combination with sewage sludge can be treated by a composting process before selling or giving away the compost.[37]
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There are process and product guidelines in Europe that date to the early 1980s (Germany, the Netherlands, Switzerland) and only more recently in the UK and the US. In both these countries, private trade associations within the industry have established loose standards, some say as a stop-gap measure to discourage independent government agencies from establishing tougher consumer-friendly standards.[38]
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The USA is the only Western country that does not distinguish sludge-source compost from green-composts, and by default in the USA 50% of states expect composts to comply in some manner with the federal EPA 503 rule promulgated in 1984 for sludge products.[39]
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Compost is regulated in Canada[40] and Australia[41] as well.
|
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Many countries such as Wales[42][43] and some individual cities such as Seattle and San Francisco require food and yard waste to be sorted for composting (San Francisco Mandatory Recycling and Composting Ordinance).[44][45]
|
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+
|
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+
Large-scale composting systems are used by many urban areas around the world.
|
96 |
+
|
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+
Composting as a recognized practice dates to at least the early Roman Empire, and was mentioned as early as Cato the Elder's 160 BCE piece De Agri Cultura.[48] Traditionally, composting involved piling organic materials until the next planting season, at which time the materials would have decayed enough to be ready for use in the soil. The advantage of this method is that little working time or effort is required from the composter and it fits in naturally with agricultural practices in temperate climates. Disadvantages (from the modern perspective) are that space is used for a whole year, some nutrients might be leached due to exposure to rainfall, and disease-producing organisms and insects may not be adequately controlled.
|
98 |
+
|
99 |
+
Composting was somewhat modernized beginning in the 1920s in Europe as a tool for organic farming.[49] The first industrial station for the transformation of urban organic materials into compost was set up in Wels, Austria in the year 1921.[50] Early frequent citations for propounding composting within farming are for the German-speaking world Rudolf Steiner, founder of a farming method called biodynamics, and Annie Francé-Harrar, who was appointed on behalf of the government in Mexico and supported the country 1950–1958 to set up a large humus organization in the fight against erosion and soil degradation.[51]
|
100 |
+
|
101 |
+
In the English-speaking world it was Sir Albert Howard who worked extensively in India on sustainable practices and Lady Eve Balfour who was a huge proponent of composting. Composting was imported to America by various followers of these early European movements by the likes of J.I. Rodale (founder of Rodale Organic Gardening), E.E. Pfeiffer (who developed scientific practices in biodynamic farming), Paul Keene (founder of Walnut Acres in Pennsylvania), and Scott and Helen Nearing (who inspired the back-to-the-land movement of the 1960s). Coincidentally, some of the above met briefly in India - all were quite influential in the U.S. from the 1960s into the 1980s.
|
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+
|
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+
The term "composting" is used worldwide with differing meanings.
|
104 |
+
|
105 |
+
"Humanure" is a portmanteau of human and manure, designating human excrement (feces and urine) that is recycled via composting for agricultural purposes. The term was first used in 1994 in a book by Joseph Jenkins that advocates the use of this organic soil amendment.[52] The term humanure is used by compost enthusiasts in the United States but not widely used elsewhere.[5] Because the term "humanure" has no authoritative definition it is subject to various uses. News reporters may use the term also for sewage sludge or biosolids.[53]
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Operation or Operations may refer to:
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Sir Arthur Ignatius Conan Doyle KStJ DL (22 May 1859 – 7 July 1930) was a British writer and medical doctor. He created the character Sherlock Holmes in 1887 when he published A Study in Scarlet, the first of four novels and more than fifty short stories about Holmes and Dr. Watson. The Sherlock Holmes stories are generally considered milestones in the field of crime fiction.
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Doyle was a prolific writer; other than Holmes stories, his works include fantasy and science fiction stories about Professor Challenger and humorous stories about the Napoleonic soldier Brigadier Gerard, as well as plays, romances, poetry, non-fiction and historical novels. One of Doyle's early short stories, "J. Habakuk Jephson's Statement" (1884), helped to popularise the mystery of the Mary Celeste.
|
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|
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Doyle is often referred to as "Sir Arthur Conan Doyle" or "Conan Doyle", implying that "Conan" is part of a compound surname rather than a middle name. His baptism entry in the register of St Mary's Cathedral, Edinburgh, gives "Arthur Ignatius Conan" as his given names and "Doyle" as his surname. It also names Michael Conan as his godfather.[1] The catalogues of the British Library and the Library of Congress treat "Doyle" alone as his surname.[2]
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|
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Steven Doyle, editor of The Baker Street Journal, wrote, "Conan was Arthur's middle name. Shortly after he graduated from high school he began using Conan as a sort of surname. But technically his last name is simply 'Doyle'."[3] When knighted, he was gazetted as Doyle, not under the compound Conan Doyle.[4]
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|
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Doyle was born on 22 May 1859 at 11 Picardy Place, Edinburgh, Scotland.[5][6] His father, Charles Altamont Doyle, was English, of Irish Catholic descent, and his mother, Mary (née Foley), was Irish Catholic. His parents married in 1855.[7] In 1864 the family scattered because of Charles's growing alcoholism, and the children were temporarily housed across Edinburgh. Arthur lodged with Mary Burton, the aunt of a friend, at Liberton Bank House on Gilmerton Road, while studying at Newington Academy.[8]
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|
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In 1867, the family came together again and lived in squalid tenement flats at 3 Sciennes Place.[9] Doyle's father died in 1893, in the Crichton Royal, Dumfries, after many years of psychiatric illness.[10][11] Beginning at an early age, throughout his life, Doyle wrote letters to his mother, and many of them were preserved.[12]
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Supported by wealthy uncles, Doyle was sent to England, at the Jesuit preparatory school Hodder Place, Stonyhurst in Lancashire at the age of nine (1868–70). He then went on to Stonyhurst College, which he attended until 1875. While Doyle was not unhappy at Stonyhurst, he said he did not have any fond memories of it because the school was run on medieval principles: the only subjects covered were rudiments, rhetoric, Euclidean geometry, algebra and the classics.[13] Doyle commented later in his life that this academic system could only be excused "on the plea that any exercise, however stupid in itself, forms a sort of mental dumbbell by which one can improve one's mind."[13] He also found the school harsh, noting that, instead of compassion and warmth, it favoured the threat of corporal punishment and ritual humiliation.[14]
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From 1875 to 1876, he was educated at the Jesuit school Stella Matutina in Feldkirch, Austria.[9] His family decided that he would spend a year there in order to perfect his German and broaden his academic horizons.[15] He later rejected the Catholic faith and became an agnostic.[16] One source attributed his drift away from religion to the time he spent in the less strict Austrian school.[14] He also later became a spiritualist mystic.[17]
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From 1876 to 1881, Doyle studied medicine at the University of Edinburgh Medical School; during this period he spent time working in Aston (then a town in Warwickshire, now part of Birmingham), Sheffield and Ruyton-XI-Towns, Shropshire.[18] Also during this period, he studied practical botany at the Royal Botanic Garden in Edinburgh.[19] While studying, Doyle began writing short stories. His earliest extant fiction, "The Haunted Grange of Goresthorpe", was unsuccessfully submitted to Blackwood's Magazine.[9] His first published piece, "The Mystery of Sasassa Valley", a story set in South Africa, was printed in Chambers's Edinburgh Journal on 6 September 1879.[9][20] On 20 September 1879, he published his first academic article, "Gelsemium as a Poison" in the British Medical Journal,[9][21][22] a study which The Daily Telegraph regarded as potentially useful in a 21st-century murder investigation.[23]
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Doyle was the doctor on the Greenland whaler Hope of Peterhead in 1880.[24] On 11 July 1880 John Gray's Hope and David Gray's Eclipse met up with the Eira and Leigh Smith. The photographer W.J.A. Grant took a photograph aboard the Eira of Doyle along with Smith, the Gray brothers, and ship's surgeon William Neale, who were members of the Smith expedition. That expedition explored Franz Josef Land, and led to the naming, on 18 August, of Cape Flora, Bell Island, Nightingale Sound, Gratton ("Uncle Joe") Island, and Mabel Island.[25]
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After graduating with Bachelor of Medicine and Master of Surgery (M.B. C.M.) degrees from the University of Edinburgh in 1881, he was ship's surgeon on the SS Mayumba during a voyage to the West African coast.[9] He completed his Doctor of Medicine (M.D.) degree (an advanced degree beyond the basic medical qualification in the UK) with a dissertation on tabes dorsalis in 1885.[26]
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In 1882, Doyle partnered with his former classmate George Turnavine Budd in a medical practice in Plymouth, but their relationship proved difficult, and Doyle soon left to set up an independent practice.[9][27] Arriving in Portsmouth in June 1882, with less than £10 (£1000 today[28]) to his name, he set up a medical practice at 1 Bush Villas in Elm Grove, Southsea.[29] The practice was not successful. While waiting for patients, Doyle returned to writing fiction.
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Doyle was a staunch supporter of compulsory vaccination and wrote several articles advocating the practice and denouncing the views of anti-vaccinators.[30][31]
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In early 1891, Doyle embarked on the study of ophthalmology in Vienna. He had previously studied at the Portsmouth Eye Hospital in order to qualify to perform eye tests and prescribe glasses. Vienna has been suggested by his friend Vernon Morris as a place to spend six months and train to be an eye surgeon. But Doyle found it too difficult to understand the German medical terms being used in his classes in Vienna, and soon quit his studies there. For the rest of his two-month stay in Vienna, he pursued other activities, such as ice skating with his wife Louisa and drinking with Brinsley Richards of the London Times. He also wrote The Doings of Raffles Haw.
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After visiting Venice and Milan, he spent a few days in Paris observing Edmund Landolt, an expert on diseases of the eye. Within three months of his departure for Vienna, Doyle returned to London. He opened a small office and consulting room at 2 Upper Wimpole Street, or 2 Devonshire Place as it was then. (There is today a Westminster City Council commemorative plaque over the front door.) He had no patients, according to his autobiography, and his efforts as an ophthalmologist were a failure.[32][33][34]
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Doyle struggled to find a publisher for his work. His first work featuring Sherlock Holmes and Dr. Watson, A Study in Scarlet, was written in 3 weeks when he was 27 and was accepted for publication by Ward Lock & Co on 20 November 1886, which gave Doyle £25 (equivalent to £2,700 in 2019) in exchange for all rights to the story. The piece appeared a year later in the Beeton's Christmas Annual and received good reviews in The Scotsman and the Glasgow Herald.[9]
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Holmes was partially modelled on his former university teacher Joseph Bell. In 1892, in a letter to Bell, Doyle wrote, "It is most certainly to you that I owe Sherlock Holmes ... round the centre of deduction and inference and observation which I have heard you inculcate I have tried to build up a man",[35] and in his 1924 autobiography he remarked, "It is no wonder that after the study of such a character [viz., Bell] I used and amplified his methods when in later life I tried to build up a scientific detective who solved cases on his own merits and not through the folly of the criminal."[36] Robert Louis Stevenson was able, even in faraway Samoa, to recognise the strong similarity between Joseph Bell and Sherlock Holmes: "My compliments on your very ingenious and very interesting adventures of Sherlock Holmes. ... can this be my old friend Joe Bell?"[37] Other authors sometimes suggest additional influences—for instance, the famous Edgar Allan Poe character C. Auguste Dupin.[38] Dr. (John) Watson owes his surname, but not any other obvious characteristic, to a Portsmouth medical colleague of Doyle's, Dr. James Watson.[39]
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A sequel to A Study in Scarlet was commissioned, and The Sign of the Four appeared in Lippincott's Magazine in February 1890, under agreement with the Ward Lock company. Doyle felt grievously exploited by Ward Lock as an author new to the publishing world, and so, after this, he left them.[9] Short stories featuring Sherlock Holmes were published in the Strand Magazine. Doyle wrote the first five Holmes short stories from his office at 2 Upper Wimpole Street (then known as Devonshire Place), which is now marked by a memorial plaque.[40]
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Doyle's attitude towards his most famous creation was ambivalent.[39] In November 1891 he wrote to his mother: "I think of slaying Holmes, ... and winding him up for good and all. He takes my mind from better things." His mother responded, "You won't! You can't! You mustn't!"[41] In an attempt to deflect publishers' demands for more Holmes stories, he raised his price to a level intended to discourage them, but found they were willing to pay even the large sums he asked.[39] As a result, he became one of the best-paid authors of his time.
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In December 1893, to dedicate more of his time to his historical novels, Doyle had Holmes and Professor Moriarty plunge to their deaths together down the Reichenbach Falls in the story "The Final Problem". Public outcry, however, led him to feature Holmes in 1901 in the novel The Hound of the Baskervilles. Holmes' fictional connection with the Reichenbach Falls is celebrated in the nearby town of Meiringen.
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In 1903, Doyle published his first Holmes short story in ten years, "The Adventure of the Empty House", in which it was explained that only Moriarty had fallen, but since Holmes had other dangerous enemies—especially Colonel Sebastian Moran—he had arranged to make it look like he too was dead. Holmes was ultimately featured in a total of 56 short stories—the last published in 1927—and four novels by Doyle, and has since appeared in many novels and stories by other authors.
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Jane Stanford compares some of Moriarty's characteristics to those of the Fenian John O'Connor Power. "The Final Problem" was published the year the Second Home Rule Bill passed through the House of Commons. "The Valley of Fear" was serialised in 1914, the year Home Rule, the Government of Ireland Act (18 September) was placed on the Statute Book.[42]
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Doyle's first novels were The Mystery of Cloomber, not published until 1888, and the unfinished Narrative of John Smith, published only posthumously, in 2011.[43] He amassed a portfolio of short stories, including "The Captain of the Pole-Star" and "J. Habakuk Jephson's Statement", both inspired by Doyle's time at sea. The latter popularised the mystery of the Mary Celeste[44] and added fictional details such as that the ship was found in perfect condition (it had actually taken on water by the time it was discovered), and that its boats remained on board (the single boat was in fact missing). These fictional details have come to dominate popular accounts of the incident,[9][44] and Doyle's alternate spelling of the ship's name as the Marie Celeste has become more commonly used than the original spelling.[45]
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Between 1888 and 1906, Doyle wrote seven historical novels, which he and many critics regarded as his best work.[39] He also authored nine other novels, and—later in his career (1912–29)— five narratives (two of novel length) featuring the irascible scientist Professor Challenger. The Challenger stories include what is probably his best-known work after the Holmes oeuvre, The Lost World. His historical novels include The White Company and its prequel Sir Nigel, set in the Middle Ages. He was a prolific author of short stories, including two collections set in Napoleonic times and featuring the French character Brigadier Gerard.
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Doyle's works for the stage include: Waterloo, which centres on the reminiscences of an English veteran of the Napoleonic Wars, and features a character, Gregory Brewster, that was written for Henry Irving; The House of Temperley, the plot of which reflects his abiding interest in boxing; The Speckled Band, adapted from his earlier short story "The Adventure of the Speckled Band"; and an 1893 collaboration with J.M. Barrie on the libretto of Jane Annie.[46]
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While living in Southsea, the seaside resort of Portsmouth, Doyle played football as a goalkeeper for Portsmouth Association Football Club, an amateur side, under the pseudonym A. C. Smith.[47]
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Doyle was a keen cricketer, and between 1899 and 1907 he played 10 first-class matches for the Marylebone Cricket Club (MCC).[48] He also played for the amateur cricket teams the Allahakbarries and the Authors XI alongside fellow writers J. M. Barrie, P. G. Wodehouse and A. A. Milne.[49][50] His highest score, in 1902 against London County, was 43. He was an occasional bowler who took just one first-class wicket, although one of the highest pedigree as it was W. G. Grace.[51]
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Doyle was an amateur boxer.[52] In 1909, he was invited to referee the James Jeffries–Jack Johnson heavyweight championship fight in Reno, Nevada. Doyle wrote, "I was much inclined to accept...though my friends pictured me as winding up with a revolver at one ear and a razor at the other. However, the distance and my engagements presented a final bar."[52]
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Also a keen golfer, Doyle was elected captain of the Crowborough Beacon Golf Club in Sussex for 1910. He had moved to Little Windlesham house in Crowborough with Jean Leckie, his second wife, and resided there with his family from 1907 until his death in July 1930.[53]
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He entered the English Amateur billiards championship in 1913.[54]
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In 1885 Doyle married Louisa (sometimes called "Touie") Hawkins (1857–1906). She was the youngest daughter of J. Hawkins, of Minsterworth, Gloucestershire, and the sister of one of Doyle's patients. Louisa suffered from tuberculosis.[55] In 1907, the year after Louisa's death, he married Jean Elizabeth Leckie (1874–1940). He had met and fallen in love with Jean in 1897, but had maintained a platonic relationship with her while his first wife was still alive, out of loyalty to her.[56] Jean survived him by ten years, and died in London.[57]
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Doyle fathered five children. He had two with his first wife: Mary Louise (1889–1976) and Arthur Alleyne Kingsley, known as Kingsley (1892–1918). He had an additional three with his second wife: Denis Percy Stewart (1909–1955), who became the second husband of Georgian Princess Nina Mdivani; Adrian Malcolm (1910–1970); and Jean Lena Annette (1912–1997).[58] All of Doyle's five children died without issue, so he has no direct descendants.[59][60]
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Doyle served as a volunteer doctor in the Langman Field Hospital at Bloemfontein between March and June 1900,[61] during the Second Boer War in South Africa (1899–1902). Later that same year, he wrote a book on the war, The Great Boer War, as well as a short work titled The War in South Africa: Its Cause and Conduct, in which he responded to critics of the United Kingdom's role in that war, and argued that its role was justified. The latter work was widely translated, and Doyle believed it was the reason he was knighted (given the rank of Knight Bachelor) by King Edward VII in the 1902 Coronation Honours.[62] (He received the accolade from the King in person at Buckingham Palace on 24 October of that year.)[63]
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He stood for Parliament twice as a Liberal Unionist: in 1900 in Edinburgh Central; and in 1906 in the Hawick Burghs. He received a respectable share of the vote, but was not elected.[64] He served as a Deputy-Lieutenant of Surrey beginning in 1902,[65] and was appointed a Knight of Grace of the Order of the Hospital of Saint John of Jerusalem in 1903.[66]
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Doyle was a supporter of the campaign for the reform of the Congo Free State that was led by the journalist E. D. Morel and diplomat Roger Casement. In 1909 he wrote The Crime of the Congo, a long pamphlet in which he denounced the horrors of that colony. He became acquainted with Morel and Casement, and it is possible that, together with Bertram Fletcher Robinson, they inspired several characters that appear in his 1912 novel The Lost World.[67] Later, after the Easter Rising, Casement was found guilty of treason against the Crown, and was sentenced to death. Doyle tried, unsuccessfully, to save him, arguing that Casement had been driven mad, and therefore should not be held responsible for his actions.[68]
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Doyle was also a fervent advocate of justice and personally investigated two closed cases, which led to two men being exonerated of the crimes of which they were accused. The first case, in 1906, involved a shy half-British, half-Indian lawyer named George Edalji who had allegedly penned threatening letters and mutilated animals in Great Wyrley. Police were set on Edalji's conviction, even though the mutilations continued after their suspect was jailed.[69] Apart from helping George Edalji, Doyle's work helped establish a way to correct other miscarriages of justice, as it was partially as a result of this case that the Court of Criminal Appeal was established in 1907.[70]
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The story of Doyle and Edalji was dramatised in an episode of the 1972 BBC television series, The Edwardians. In Nicholas Meyer's pastiche The West End Horror (1976), Holmes manages to help clear the name of a shy Parsi Indian character wronged by the English justice system. Edalji was of Parsi heritage on his father's side. The story was fictionalised in Julian Barnes's 2005 novel Arthur and George, which was adapted into a three-part drama by ITV in 2015.
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The second case, that of Oscar Slater—a Jew of German origin who operated a gambling den and was convicted of bludgeoning an 82-year-old woman in Glasgow in 1908–excited Doyle's curiosity because of inconsistencies in the prosecution's case and a general sense that Slater was not guilty. He ended up paying most of the costs for Slater's successful 1928 appeal.[71]
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Doyle had a longstanding interest in mystical subjects, and remained fascinated by the idea of paranormal phenomena, even though the strength of his belief in their reality waxed and waned periodically over the years.
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In 1887, in Southsea, influenced by Major-General Alfred Wilks Drayson, a member of the Portsmouth Literary and Philosophical Society, Doyle began a series of investigations into the possibility of psychic phenomena, and attended about 20 seances, experiments in telepathy, and sittings with mediums. Writing to Spiritualist journal Light that year, he declared himself to be a Spiritualist, describing one particular event that had convinced him psychic phenomena were real.[72] Also in 1887 (on 26 January), he was initiated as a Freemason at the Phoenix Lodge No. 257 in Southsea. (He resigned from the Lodge in 1889, returned to it in 1902, and resigned again in 1911.)[73]
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In 1889, he became a founding member of the Hampshire Society for Psychical Research; in 1893, he joined the London-based Society for Psychical Research; and in 1894, he collaborated with Sir Sidney Scott and Frank Podmore in a search for poltergeists in Devon.[74]
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In 1916, during the height of World War I, Doyle's belief in psychic phenomena was strengthened by what he took to be the psychic abilities of his children's nanny, Lily Loder Symonds.[75] This and the constant drumbeat of wartime deaths inspired him with the idea that Spiritualism was what he called a "New Revelation"[76] sent by God to bring solace to the bereaved. He wrote a piece in Light magazine about his faith and began lecturing frequently on Spiritualism. In 1918, he published his first Spiritualist work, The New Revelation.
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Some have mistakenly assumed that Doyle's turn to Spiritualism was prompted by the death of his son Kingsley, but Doyle began presenting himself publicly as a Spiritualist in 1916, and Kingsley died on 28 October 1918 (of pneumonia contracted during his convalescence after being seriously wounded in the 1916 Battle of the Somme).[76]
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Nevertheless, the war-related deaths of many people who were close to him appears to have even further strengthened his long-held belief in life after death and spirit communication. Doyle's brother Brigadier-general Innes Doyle died, also from pneumonia, in February 1919. His two brothers-in-law (one of whom was E. W. Hornung, creator of the literary character Raffles), as well as his two nephews, also died shortly after the war. His second book on Spiritualism, The Vital Message, appeared in 1919.
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Doyle found solace in supporting Spiritualism's ideas and the attempts of Spiritualists to find proof of an existence beyond the grave. In particular, according to some,[77] he favoured Christian Spiritualism and encouraged the Spiritualists' National Union to accept an eighth precept – that of following the teachings and example of Jesus of Nazareth. He was a member of the renowned supernaturalist organisation The Ghost Club.[78]
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In 1919, the magician P. T. Selbit staged a séance at his flat in Bloomsbury, which Doyle attended. Although some later claimed that Doyle had endorsed the apparent instances of clairvoyance at that séance as genuine,[79][80] a contemporaneous report by the Sunday Express quoted Doyle as saying, "I should have to see it again before passing a definite opinion on it," and, "I have my doubts about the whole thing".[81] In 1920, Doyle and the noted sceptic Joseph McCabe held a public debate at Queen's Hall in London, with Doyle taking the position that the claims of Spiritualism were true. After the debate, McCabe published a booklet, entitled Is Spiritualism Based on Fraud?, in which he laid out evidence refuting Doyle's arguments and claimed that Doyle had been duped into believing in Spiritualism through deliberate mediumship trickery.[82]
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Doyle also debated the psychiatrist Harold Dearden, who vehemently disagreed with Doyle's belief that many cases of diagnosed mental illness were the result of spirit possession.[83]
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In 1920, Doyle travelled to Australia and New Zealand on Spiritualist missionary work, and over the next several years, until his death, he continued his mission, giving talks about his Spiritualist conviction in Britain, Europe, and the United States.[74]
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Doyle wrote a novel centered on Spiritualist themes, The Land of Mist, featuring the character Professor Challenger. He also wrote many non-fiction Spiritualist works. Perhaps his most famous of these was The Coming of the Fairies (1922),[84] in which Doyle described his beliefs about the nature and existence of fairies and spirits, reproduced the five Cottingley Fairies photographs, asserted that those who suspected they were faked were wrong, and expressed his conviction that they were authentic. Decades later, the photos were definitively shown to have been faked, and their creators admitted to the fakery.
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Doyle was friends for a time with the American magician Harry Houdini. Even though Houdini explained that his feats were based on illusion and trickery, Doyle was convinced that Houdini had supernatural powers, and said as much in his work, The Edge of the Unknown. Houdini's friend Bernard M. L. Ernst, recounted a time when Houdini had performed an impressive trick at his home in Doyle's presence. Houdini had assured Doyle that the trick was pure illusion, and had expressed the hope that this demonstration would persuade Doyle not to go around "endorsing phenomena" simply because he could think of no explanation for what he had seen other than supernatural power. But, according to Ernst, Doyle simply refused to believe it had been a trick.[85]
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Houdini became a prominent opponent of the Spiritualist movement in the 1920s, after the death of his beloved mother. He insisted that Spiritualist mediums employed trickery, and consistently exposed them as frauds. These differences between Houdini and Doyle eventually led to a bitter, public falling-out between them.[86]
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In 1922, the psychical researcher Harry Price accused the "spirit photographer" William Hope of fraud. Doyle defended Hope, but further evidence of trickery was obtained from other researchers.[87] Doyle threatened to have Price evicted from the National Laboratory of Psychical Research and predicted that, if he persisted in writing what he called "sewage" about Spiritualists, he would meet the same fate as Harry Houdini.[88] Price wrote "Arthur Conan Doyle and his friends abused me for years for exposing Hope."[89] In response to the exposure of frauds that had been perpetrated by Hope and other Spiritualists, Doyle led eighty-four members of the Society for Psychical Research to resign in protest from the society on the ground that they believed it was opposed to Spiritualism.[90]
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In another instance, Doyle and the Spiritualist William Thomas Stead were led to believe that Julius and Agnes Zancig had genuine psychic powers, and they claimed publicly that the Zancigs used telepathy. However, in 1924, the Zancigs confessed that their mind reading act had been a trick; they published the secret code and all other details of the trick method they had used under the title "Our Secrets!!" in a London newspaper.[91] Doyle also praised the psychic phenomena and spirit materializations that he believed had been produced by Eusapia Palladino and Mina Crandon, both of whom were also later exposed as frauds.[92]
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Doyle's two-volume book, The History of Spiritualism was published in 1926. W. Leslie Curnow, a Spiritualist, contributed much research to the book.[93][94] Later that year, Robert John Tillyard wrote a predominantly supportive review of it in the journal Nature.[95] This review provoked controversy: Several other critics, notably A. A. Campbell Swinton, pointed out the evidence of fraud in mediumship as well as Doyle's non-scientific approach to the subject.[96][97][98] In 1927, Doyle gave a filmed interview, in which he spoke about Sherlock Holmes and Spiritualism.[99]
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Richard Milner, an American historian of science, has presented a case that Doyle may have been the perpetrator of the Piltdown Man hoax of 1912, creating the counterfeit hominid fossil that fooled the scientific world for over 40 years. Milner noted that Doyle had a plausible motive—namely, revenge on the scientific establishment for debunking one of his favourite psychics—and said that The Lost World appeared to contain several clues referring cryptically to his having been involved in the hoax.[100][101] Samuel Rosenberg's 1974 book Naked is the Best Disguise purports to explain how, throughout his writings, Doyle had provided overt clues to otherwise hidden or suppressed aspects of his way of thinking that seemed to support the idea Doyle would be involved in such a hoax.[102]
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However, more recent research suggests that Doyle was not involved. In 2016, researchers at the Natural History Museum and Liverpool John Moores University analyzed DNA evidence showing that responsibility for the hoax lay with the amateur archaeologist Charles Dawson, who had originally "found" the remains. He had initially not been considered the likely perpetrator, because the hoax was seen as being too elaborate for him to have devised. However, the DNA evidence showed that a supposedly ancient tooth he had "discovered" in 1915 (at a different site) came from the same jaw as that of the Piltdown Man, suggesting he had planted them both. That tooth, too, was later proven to have been planted as part of a hoax.[103]
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Dr Chris Stringer, an anthropologist from the Natural History Museum, was quoted as saying: "Conan Doyle was known to play golf at the Piltdown site and had even given Dawson a lift in his car to the area, but he was a public man and very busy and it is very unlikely that he would have had the time [to create the hoax]. So there are some coincidences, but I think they are just coincidences. When you look at the fossil evidence you can only associate Dawson with all the finds, and Dawson was known to be personally ambitious. He wanted professional recognition. He wanted to be a member of the Royal Society and he was after an MBE. He wanted people to stop seeing him as an amateur".[104]
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Another of Doyle's longstanding interests was architectural design. In 1895, when he commissioned an architect friend of his, Joseph Henry Ball, to build him a home, he played an active part in the design process.[105][106] The home in which he lived from October 1897 to September 1907, known as Undershaw (near Hindhead, in Surrey),[107] was used as a hotel and restaurant from 1924 until 2004, when it was bought by a developer and then stood empty while conservationists and Doyle fans fought to preserve it.[55] In 2012, the High Court in London ruled in favor of those seeking to preserve the historic building, ordering that the redevelopment permission be quashed on the ground that it had not been obtained through proper procedures.[108] The building was later approved to become part of Stepping Stones, a school for children with disabilities and special needs.
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Doyle made his most ambitious foray into architecture in March 1912, while he was staying at the Lyndhurst Grand Hotel: He sketched the original designs for a third storey extension and for an alteration of the front facade of the building.[109] Work began later that year, and when it was finished, the building was a nearly exact manifestation of the plans Doyle had sketched. Superficial alterations have been subsequently made, but the essential structure is still clearly Doyle's.[110]
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In 1914, on a family trip to the Jasper National Park in Canada, he designed a golf course and ancillary buildings for a hotel. The plans were realised in full, but neither the golf course nor the buildings have survived.[111]
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In 1926, Doyle laid the foundation stone for a Spiritualist temple in Camden, London. Of the building's total £600 construction costs, he provided £500.[112]
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Doyle was found clutching his chest in the hall of Windlesham Manor, his house in Crowborough, East Sussex, on 7 July 1930. He died of a heart attack at the age of 71. His last words were directed toward his wife: "You are wonderful."[113] At the time of his death, there was some controversy concerning his burial place, as he was avowedly not a Christian, considering himself a Spiritualist. He was first buried on 11 July 1930 in Windlesham rose garden.
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He was later reinterred together with his wife in Minstead churchyard in the New Forest, Hampshire.[9] Carved wooden tablets to his memory and to the memory of his wife, originally from the church at Minstead, are on display as part of a Sherlock Holmes exhibition at Portsmouth Museum.[114][115] The epitaph on his gravestone in the churchyard reads, in part: "Steel true/Blade straight/Arthur Conan Doyle/Knight/Patriot, Physician and man of letters".[116]
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A statue honours Doyle at Crowborough Cross in Crowborough, where he lived for 23 years.[117] There is a statue of Sherlock Holmes in Picardy Place, Edinburgh, close to the house where Doyle was born.[118]
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Cucumber (Cucumis sativus) is a widely-cultivated creeping vine plant in the Cucurbitaceae gourd family that bears cucumiform fruits, which are used as vegetables.[1] There are three main varieties of cucumber—slicing, pickling, and burpless/seedless—within which several cultivars have been created. The cucumber originates from South Asia, but now grows on most continents, as many different types of cucumber are traded on the global market. In North America, the term wild cucumber refers to plants in the genera Echinocystis and Marah, though the two are not closely related.
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|
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The cucumber is a creeping vine that roots in the ground and grows up trellises or other supporting frames, wrapping around supports with thin, spiraling tendrils.[2] The plant may also root in a soilless medium, whereby it will sprawl along the ground in lieu of a supporting structure. The vine has large leaves that form a canopy over the fruits.
|
6 |
+
|
7 |
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The fruit of typical cultivars of cucumber is roughly cylindrical, but elongated with tapered ends, and may be as large as 62 centimeters (24 in) long and 10 centimeters (4 in) in diameter.[3]
|
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+
|
9 |
+
Cucumber fruits consist of 95% water (see nutrition table). In botanical terms, the cucumber is classified as a pepo, a type of botanical berry with a hard outer rind and no internal divisions. However, much like tomatoes and squashes, it is often perceived, prepared, and eaten as a vegetable.[4]
|
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|
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A tendril emerges from cucumber vines to facilitate climbing
|
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+
|
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A string lattice supports vine growth
|
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+
|
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+
A bulb-shaped cucumber hanging on the vine
|
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+
|
17 |
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Organic gardener holding a fresh salad cucumber
|
18 |
+
|
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A few cultivars of cucumber are parthenocarpic, the blossoms of which create seedless fruit without pollination, which degrades the eating quality of these cultivar. In the United States, these are usually grown in greenhouses, where bees are excluded. In Europe, they are grown outdoors in some regions, where bees are likewise excluded.
|
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+
|
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+
Most cucumber cultivars, however, are seeded and require pollination. For this purpose, thousands of honey beehives are annually carried to cucumber fields just before bloom. Cucumbers may also be pollinated via bumblebees and several other bee species. Most cucumbers that require pollination are self-incompatible, thus requiring the pollen of another plant in order to form seeds and fruit.[5] Some self-compatible cultivars exist that are related to the 'Lemon' cultivar.[5] Symptoms of inadequate pollination include fruit abortion and misshapen fruit. Partially-pollinated flowers may develop fruit that are green and develop normally near the stem end, but are pale yellow and withered at the blossom end.
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|
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Traditional cultivars produce male blossoms first, then female, in about equivalent numbers. Newer gynoecious hybrid cultivars produce almost all female blossoms. They may have a pollenizer cultivar interplanted, and the number of beehives per unit area is increased, but temperature changes induce male flowers even on these plants, which may be sufficient for pollination to occur.[5]
|
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+
|
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In a 100-gram (3 1⁄2-ounce) serving, raw cucumber (with peel) is 95% water, provides 67 kilojoules (16 kilocalories) of food energy, and supplies low content of essential nutrients, as it is notable only for vitamin K at 16% of the Daily Value (table).
|
26 |
+
|
27 |
+
Depending on variety, cucumbers may have a mild melon aroma and flavor, in part resulting from unsaturated aldehydes, such as (E,Z)-nona-2,6-dienal, and the cis- and trans- isomers of 2-nonenal.[6] The slightly bitter taste of cucumber rind results from cucurbitacins.[7]
|
28 |
+
|
29 |
+
In 2009, an international team of researchers announced they had sequenced the cucumber genome.[8]
|
30 |
+
|
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In general cultivation, cucumbers are classified into three main cultivar groups: sliced, pickled, and seedless/burpless.
|
32 |
+
|
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+
Cucumbers grown to eat fresh are called slicing cucumbers. The main varieties of slicers mature on vines with large leaves that provide shading.[9] They are mainly eaten in the unripe green form, as the ripe yellow form normally becomes bitter and sour. Smaller slicing cucumbers can also be pickled.
|
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|
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Slicers grown commercially for the North American market are generally longer, smoother, more uniform in color, and have much tougher skin. In contrast, those in other countries, often called European cucumbers, are smaller and have thinner, more delicate skin, often with fewer seeds, thus being sold in plastic skin for protection. This variety may also be called a telegraph cucumber, particularly in Australasia.[10]
|
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+
|
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Pickling with brine, sugar, vinegar, and spices creates various flavored products from cucumbers and other foods.[11] Although any cucumber can be pickled, commercial pickles are made from cucumbers specially bred for uniformity of length-to-diameter ratio and lack of voids in the flesh. Those cucumbers intended for pickling, called picklers, grow to about 7 to 10 cm (3 to 4 in) long and 2.5 cm (1 in) wide. Compared to slicers, picklers tend to be shorter, thicker, less-regularly shaped, and have bumpy skin with tiny white or black-dotted spines. Color can vary from creamy yellow to pale or dark green.
|
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+
|
39 |
+
Gherkins, also called cornichons,[12] or baby pickles, are small cucumbers, typically those 2.5 to 12.5 centimetres (1 to 5 in) in length, often with bumpy skin, which are typically used for pickling.[13][14][15] The word gherkin comes from the early modern Dutch gurken or augurken ('small pickled cucumber').[16] The term is also used in the name for Cucumis anguria, the West Indian gherkin, a closely related species.[17]
|
40 |
+
|
41 |
+
Burpless cucumbers are sweeter and have a thinner skin than other varieties of cucumber. They are reputed to be easy to digest and to have a pleasant taste. They can grow as long as 60 centimeters (2 ft), are nearly seedless, and have a delicate skin. Most commonly grown in greenhouses, these parthenocarpic cucumbers are often found in grocery markets, shrink-wrapped in plastic. They are marketed as either burpless or seedless, as the seeds and skin of other varieties of cucumbers are said to give some people gas.[18]
|
42 |
+
|
43 |
+
Several other cultivars are sold commercially:
|
44 |
+
|
45 |
+
Cultivated for at least 3,000 years, the cucumber originated from in India, where a great many varieties have been observed, along with its closest living relative, Cucumis hystrix.[20] and was probably introduced to other parts of Europe by the Greeks or Romans. Records of cucumber cultivation appear in France in the 9th century, England in the 14th century, and in North America by the mid-16th century.[1][21][22][23]
|
46 |
+
|
47 |
+
According to Pliny the Elder, the Emperor Tiberius had the cucumber on his table daily during summer and winter. In order to have it available for his table every day of the year, the Romans reportedly used artificial methods of growing (similar to the greenhouse system), whereby mirrorstone refers to Pliny's lapis specularis, believed to have been sheet mica:[24][25]
|
48 |
+
|
49 |
+
Indeed, he was never without it; for he had raised beds made in frames upon wheels, by means of which the cucumbers were moved and exposed to the full heat of the sun; while, in winter, they were withdrawn, and placed under the protection of frames glazed with mirrorstone.
|
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+
|
51 |
+
Reportedly, they were also cultivated in specularia, cucumber houses glazed with oiled cloth.[24] Pliny describes the Italian fruit as very small, probably like a gherkin. He also describes the preparation of a medication known as elaterium. However, some scholars[who?] believe that he was instead referring to Ecballium elaterium, known in pre-Linnean times as Cucumis silvestris or Cucumis asininus ('wild cucumber' or 'donkey cucumber'), a species different from the common cucumber.[26] Pliny also writes about several other varieties of cucumber, including the cultivated cucumber,[27] and remedies from the different types (9 from the cultivated; 5 from the "anguine;" and 26 from the "wild"). The Romans are reported to have used cucumbers to treat scorpion bites and bad eyesight, and to scare away mice. Wives wishing for children wore them around their waists. They were also carried by midwives, and thrown away when the child was born.[citation needed]
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+
|
53 |
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Charlemagne had cucumbers grown in his gardens in the 8th/9th century. They were reportedly introduced into England in the early 14th century, lost, then reintroduced approximately 250 years later.
|
54 |
+
The Spaniards (through the Italian Christopher Columbus) brought cucumbers to Haiti in 1494. In 1535, Jacques Cartier, a French explorer, found “very great cucumbers” grown on the site of what is now Montreal.
|
55 |
+
|
56 |
+
Throughout the 16th century, European trappers, traders, bison hunters, and explorers bartered for the products of American Indian agriculture. The tribes of the Great Plains and the Rocky Mountains learned from the Spanish how to grow European crops. The farmers on the Great Plains included the Mandan and Abenaki. They obtained cucumbers and watermelons from the Spanish, and added them to the crops they were already growing, including several varieties of corn and beans, pumpkins, squash, and gourd plants.[29] The Iroquois were also growing them when the first Europeans visited them.[30]
|
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|
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+
In 1630, the Reverend Francis Higginson produced a book called New-Englands Plantation in which, describing a garden on Conant’s Island in Boston Harbor known as The Governor’s Garden, he states:[31]
|
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+
|
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The countrie aboundeth naturally with store of roots of great varietie [sic] and good to eat. Our turnips, parsnips, and carrots are here both bigger and sweeter than is ordinary to be found in England. Here are store of pompions, cowcumbers, and other things of that nature which I know not…
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61 |
+
|
62 |
+
In New England Prospect (1633, England), William Wood published observations he made in 1629 in America:[32]
|
63 |
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|
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+
The ground affords very good kitchin gardens, for Turneps, Parsnips, Carrots, Radishes, and Pompions, Muskmillons, Isquoter-squashes, coucumbars, Onyons, and whatever grows well in England grows as well there, many things being better and larger. [sic]
|
65 |
+
|
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+
In the later 17th century, a prejudice developed against uncooked vegetables and fruits. A number of articles in contemporary health publications stated that uncooked plants brought on summer diseases and should be forbidden to children. The cucumber kept this reputation for an inordinate period of time, "fit only for consumption by cows," which some believe is why it gained the name, cowcumber.
|
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+
|
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A copper etching made by Maddalena Bouchard between 1772 and 1793 shows this plant to have smaller, almost bean-shaped fruits, and small yellow flowers. The small form of the cucumber is figured in Herbals of the 16th century, however stating that "[i]f hung in a tube while in blossom, the Cucumber will grow to a most surprising length."
|
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+
|
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+
Samuel Pepys wrote in his diary on 22 August 1663:[33] "[T]his day Sir W. Batten tells me that Mr. Newburne is dead of eating cowcumbers, of which the other day I heard of another, I think." In The Greenstone Door, William Satchell notes that "Te Moanaroa was dead – of a surfeit of cucumbers," having eaten four of the "prickly" melons. (Chapter XX, "The Storm Cloud").
|
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+
|
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+
In May 2011, cucumbers infected with E. coli were claimed to have caused the deaths of at least ten people, leading to some retailers withdrawing cucumbers from sale in Germany, Austria and the Czech Republic.[34] The cucumbers were initially thought to have come from Spain. However, subsequent testing failed to show contamination in imported Spanish cucumbers, which led to the Spanish Government demanding compensation for Spanish farmers who had been forced to destroy huge quantities of cucumbers.[35]
|
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|
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After the outbreak, the World Health Organization stated that it was a completely new strain of the bacterium involved.[36] In 2016, world production of cucumbers and gherkins was 80.6 million tonnes, led by China with nearly 77% of the total.[28]
|
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|
76 |
+
Cucumis sativus flower
|
77 |
+
|
78 |
+
An Indian yellow cucumber
|
79 |
+
|
80 |
+
Komkommer (Cucumis sativus 'Gele Tros')
|
81 |
+
|
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+
A varietal grown by the Hmong people with textured skin and large seeds
|
83 |
+
|
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+
Lemon cucumber
|
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+
|
86 |
+
A Scandinavian cucumber in slices
|
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+
|
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+
Grated cucumber
|
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+
|
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+
Dish with cucumber cut pieces
|
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Alexander III of Macedon (Greek: Αλέξανδρος Γʹ ὁ Μακεδών, Aléxandros III ho Makedȏn; 20/21 July 356 BC – 10/11 June 323 BC), commonly known as Alexander the Great (Greek: Ἀλέξανδρος ὁ Μέγας, Aléxandros ho Mégas), was a king (basileus) of the ancient Greek kingdom of Macedon[a] and a member of the Argead dynasty. He was born in Pella in 356 BC and succeeded his father Philip II to the throne at the age of 20. He spent most of his ruling years on an unprecedented military campaign through western Asia and northeast Africa, and by the age of thirty, he had created one of the largest empires of the ancient world, stretching from Greece to northwestern India.[1][2] He was undefeated in battle and is widely considered one of history's most successful military commanders.[3]
|
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+
|
7 |
+
During his youth, Alexander was tutored by Aristotle until age 16. After Philip's assassination in 336 BC, he succeeded his father to the throne and inherited a strong kingdom and an experienced army. Alexander was awarded the generalship of Greece and used this authority to launch his father's pan-Hellenic project to lead the Greeks in the conquest of Persia.[4][5] In 334 BC, he invaded the Achaemenid Empire (Persian Empire) and began a series of campaigns that lasted 10 years. Following the conquest of Anatolia, Alexander broke the power of Persia in a series of decisive battles, most notably the battles of Issus and Gaugamela. He subsequently overthrew Persian King Darius III and conquered the Achaemenid Empire in its entirety.[b] At that point, his empire stretched from the Adriatic Sea to the Beas River.
|
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+
|
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+
Alexander endeavoured to reach the "ends of the world and the Great Outer Sea" and invaded India in 326 BC, winning an important victory over the Pauravas at the Battle of the Hydaspes. He eventually turned back at the demand of his homesick troops, dying in Babylon in 323 BC, the city that he planned to establish as his capital, without executing a series of planned campaigns that would have begun with an invasion of Arabia. In the years following his death, a series of civil wars tore his empire apart, resulting in the establishment of several states ruled by the Diadochi, Alexander's surviving generals and heirs.
|
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|
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+
Alexander's legacy includes the cultural diffusion and syncretism which his conquests engendered, such as Greco-Buddhism. He founded some twenty cities that bore his name, most notably Alexandria in Egypt. Alexander's settlement of Greek colonists and the resulting spread of Greek culture in the east resulted in a new Hellenistic civilization, aspects of which were still evident in the traditions of the Byzantine Empire in the mid-15th century AD and the presence of Greek speakers in central and far eastern Anatolia until the Greek genocide by the Turks in the 1920s. Alexander became legendary as a classical hero in the mould of Achilles, and he features prominently in the history and mythic traditions of both Greek and non-Greek cultures. He was undefeated in battle and became the measure against which military leaders compared themselves. Military academies throughout the world still teach his tactics.[6][c] He is often ranked among the most influential people in history.[7]
|
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+
|
13 |
+
Alexander was born in Pella, the capital of the Kingdom of Macedon,[8] on the sixth day of the ancient Greek month of Hekatombaion, which probably corresponds to 20 July 356 BC, although the exact date is uncertain.[9] He was the son of the king of Macedon, Philip II, and his fourth wife, Olympias, the daughter of Neoptolemus I, king of Epirus.[10] Although Philip had seven or eight wives, Olympias was his principal wife for some time, likely because she gave birth to Alexander.[11]
|
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+
|
15 |
+
Several legends surround Alexander's birth and childhood.[12] According to the ancient Greek biographer Plutarch, on the eve of the consummation of her marriage to Philip, Olympias dreamed that her womb was struck by a thunderbolt that caused a flame to spread "far and wide" before dying away. Sometime after the wedding, Philip is said to have seen himself, in a dream, securing his wife's womb with a seal engraved with a lion's image.[13] Plutarch offered a variety of interpretations of these dreams: that Olympias was pregnant before her marriage, indicated by the sealing of her womb; or that Alexander's father was Zeus. Ancient commentators were divided about whether the ambitious Olympias promulgated the story of Alexander's divine parentage, variously claiming that she had told Alexander, or that she dismissed the suggestion as impious.[13]
|
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+
|
17 |
+
On the day Alexander was born, Philip was preparing a siege on the city of Potidea on the peninsula of Chalcidice. That same day, Philip received news that his general Parmenion had defeated the combined Illyrian and Paeonian armies and that his horses had won at the Olympic Games. It was also said that on this day, the Temple of Artemis in Ephesus, one of the Seven Wonders of the World, burnt down. This led Hegesias of Magnesia to say that it had burnt down because Artemis was away, attending the birth of Alexander.[14] Such legends may have emerged when Alexander was king, and possibly at his instigation, to show that he was superhuman and destined for greatness from conception.[12]
|
18 |
+
|
19 |
+
In his early years, Alexander was raised by a nurse, Lanike, sister of Alexander's future general Cleitus the Black. Later in his childhood, Alexander was tutored by the strict Leonidas, a relative of his mother, and by Lysimachus of Acarnania.[15] Alexander was raised in the manner of noble Macedonian youths, learning to read, play the lyre, ride, fight, and hunt.[16]
|
20 |
+
|
21 |
+
When Alexander was ten years old, a trader from Thessaly brought Philip a horse, which he offered to sell for thirteen talents. The horse refused to be mounted, and Philip ordered it away. Alexander, however, detecting the horse's fear of its own shadow, asked to tame the horse, which he eventually managed.[12] Plutarch stated that Philip, overjoyed at this display of courage and ambition, kissed his son tearfully, declaring: "My boy, you must find a kingdom big enough for your ambitions. Macedon is too small for you", and bought the horse for him.[17] Alexander named it Bucephalas, meaning "ox-head". Bucephalas carried Alexander as far as India. When the animal died (because of old age, according to Plutarch, at age thirty), Alexander named a city after him, Bucephala.[18]
|
22 |
+
|
23 |
+
When Alexander was 13, Philip began to search for a tutor, and considered such academics as Isocrates and Speusippus, the latter offering to resign from his stewardship of the Academy to take up the post. In the end, Philip chose Aristotle and provided the Temple of the Nymphs at Mieza as a classroom. In return for teaching Alexander, Philip agreed to rebuild Aristotle's hometown of Stageira, which Philip had razed, and to repopulate it by buying and freeing the ex-citizens who were slaves, or pardoning those who were in exile.[19]
|
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+
|
25 |
+
Mieza was like a boarding school for Alexander and the children of Macedonian nobles, such as Ptolemy, Hephaistion, and Cassander. Many of these students would become his friends and future generals, and are often known as the 'Companions'. Aristotle taught Alexander and his companions about medicine, philosophy, morals, religion, logic, and art. Under Aristotle's tutelage, Alexander developed a passion for the works of Homer, and in particular the Iliad; Aristotle gave him an annotated copy, which Alexander later carried on his campaigns.[20]
|
26 |
+
|
27 |
+
During his youth, Alexander was also acquainted with Persian exiles at the Macedonian court, who received the protection of Philip II for several years as they opposed Artaxerxes III.[21][22][23] Among them were Artabazos II and his daughter Barsine, future mistress of Alexander, who resided at the Macedonian court from 352 to 342 BC, as well as Amminapes, future satrap of Alexander, or a Persian nobleman named Sisines.[21][24][25][26] This gave the Macedonian court a good knowledge of Persian issues, and may even have influenced some of the innovations in the management of the Macedonian state.[24]
|
28 |
+
|
29 |
+
Suda writes that, also, Anaximenes of Lampsacus was one of his teachers. Anaximenes, also accompanied him on his campaigns.[27]
|
30 |
+
|
31 |
+
At age 16, Alexander's education under Aristotle ended. Philip waged war against Byzantion, leaving Alexander in charge as regent and heir apparent.[12] During Philip's absence, the Thracian Maedi revolted against Macedonia. Alexander responded quickly, driving them from their territory. He colonized it with Greeks, and founded a city named Alexandropolis.[28]
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32 |
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33 |
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Upon Philip's return, he dispatched Alexander with a small force to subdue revolts in southern Thrace. Campaigning against the Greek city of Perinthus, Alexander is reported to have saved his father's life. Meanwhile, the city of Amphissa began to work lands that were sacred to Apollo near Delphi, a sacrilege that gave Philip the opportunity to further intervene in Greek affairs. Still occupied in Thrace, he ordered Alexander to muster an army for a campaign in southern Greece. Concerned that other Greek states might intervene, Alexander made it look as though he was preparing to attack Illyria instead. During this turmoil, the Illyrians invaded Macedonia, only to be repelled by Alexander.[29]
|
34 |
+
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+
Philip and his army joined his son in 338 BC, and they marched south through Thermopylae, taking it after stubborn resistance from its Theban garrison. They went on to occupy the city of Elatea, only a few days' march from both Athens and Thebes. The Athenians, led by Demosthenes, voted to seek alliance with Thebes against Macedonia. Both Athens and Philip sent embassies to win Thebes' favour, but Athens won the contest.[30] Philip marched on Amphissa (ostensibly acting on the request of the Amphictyonic League), capturing the mercenaries sent there by Demosthenes and accepting the city's surrender. Philip then returned to Elatea, sending a final offer of peace to Athens and Thebes, who both rejected it.[31]
|
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As Philip marched south, his opponents blocked him near Chaeronea, Boeotia. During the ensuing Battle of Chaeronea, Philip commanded the right wing and Alexander the left, accompanied by a group of Philip's trusted generals. According to the ancient sources, the two sides fought bitterly for some time. Philip deliberately commanded his troops to retreat, counting on the untested Athenian hoplites to follow, thus breaking their line. Alexander was the first to break the Theban lines, followed by Philip's generals. Having damaged the enemy's cohesion, Philip ordered his troops to press forward and quickly routed them. With the Athenians lost, the Thebans were surrounded. Left to fight alone, they were defeated.[32]
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+
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After the victory at Chaeronea, Philip and Alexander marched unopposed into the Peloponnese, welcomed by all cities; however, when they reached Sparta, they were refused, but did not resort to war.[33] At Corinth, Philip established a "Hellenic Alliance" (modelled on the old anti-Persian alliance of the Greco-Persian Wars), which included most Greek city-states except Sparta. Philip was then named Hegemon (often translated as "Supreme Commander") of this league (known by modern scholars as the League of Corinth), and announced his plans to attack the Persian Empire.[34][35]
|
40 |
+
|
41 |
+
When Philip returned to Pella, he fell in love with and married Cleopatra Eurydice in 338 BC,[36] the niece of his general Attalus.[37] The marriage made Alexander's position as heir less secure, since any son of Cleopatra Eurydice would be a fully Macedonian heir, while Alexander was only half-Macedonian.[38] During the wedding banquet, a drunken Attalus publicly prayed to the gods that the union would produce a legitimate heir.[37]
|
42 |
+
|
43 |
+
At the wedding of Cleopatra, whom Philip fell in love with and married, she being much too young for him, her uncle Attalus in his drink desired the Macedonians would implore the gods to give them a lawful successor to the kingdom by his niece. This so irritated Alexander, that throwing one of the cups at his head, "You villain," said he, "what, am I then a bastard?" Then Philip, taking Attalus's part, rose up and would have run his son through; but by good fortune for them both, either his over-hasty rage, or the wine he had drunk, made his foot slip, so that he fell down on the floor. At which Alexander reproachfully insulted over him: "See there," said he, "the man who makes preparations to pass out of Europe into Asia, overturned in passing from one seat to another."
|
44 |
+
|
45 |
+
In 337 BC, Alexander fled Macedon with his mother, dropping her off with her brother, King Alexander I of Epirus in Dodona, capital of the Molossians.[40] He continued to Illyria,[40] where he sought refuge with one or more Illyrian kings, perhaps with Glaukias, and was treated as a guest, despite having defeated them in battle a few years before.[41] However, it appears Philip never intended to disown his politically and militarily trained son.[40] Accordingly, Alexander returned to Macedon after six months due to the efforts of a family friend, Demaratus, who mediated between the two parties.[42]
|
46 |
+
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47 |
+
In the following year, the Persian satrap (governor) of Caria, Pixodarus, offered his eldest daughter to Alexander's half-brother, Philip Arrhidaeus.[40] Olympias and several of Alexander's friends suggested this showed Philip intended to make Arrhidaeus his heir.[40] Alexander reacted by sending an actor, Thessalus of Corinth, to tell Pixodarus that he should not offer his daughter's hand to an illegitimate son, but instead to Alexander. When Philip heard of this, he stopped the negotiations and scolded Alexander for wishing to marry the daughter of a Carian, explaining that he wanted a better bride for him.[40] Philip exiled four of Alexander's friends, Harpalus, Nearchus, Ptolemy and Erigyius, and had the Corinthians bring Thessalus to him in chains.[43]
|
48 |
+
|
49 |
+
In summer 336 BC, while at Aegae attending the wedding of his daughter Cleopatra to Olympias's brother, Alexander I of Epirus, Philip was assassinated by the captain of his bodyguards, Pausanias.[e] As Pausanias tried to escape, he tripped over a vine and was killed by his pursuers, including two of Alexander's companions, Perdiccas and Leonnatus. Alexander was proclaimed king on the spot by the nobles and army at the age of 20.[45][46][47]
|
50 |
+
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51 |
+
Alexander began his reign by eliminating potential rivals to the throne. He had his cousin, the former Amyntas IV, executed.[48] He also had two Macedonian princes from the region of Lyncestis killed, but spared a third, Alexander Lyncestes. Olympias had Cleopatra Eurydice and Europa, her daughter by Philip, burned alive. When Alexander learned about this, he was furious. Alexander also ordered the murder of Attalus,[48] who was in command of the advance guard of the army in Asia Minor and Cleopatra's uncle.[49]
|
52 |
+
|
53 |
+
Attalus was at that time corresponding with Demosthenes, regarding the possibility of defecting to Athens. Attalus also had severely insulted Alexander, and following Cleopatra's murder, Alexander may have considered him too dangerous to leave alive.[49] Alexander spared Arrhidaeus, who was by all accounts mentally disabled, possibly as a result of poisoning by Olympias.[45][47][50]
|
54 |
+
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55 |
+
News of Philip's death roused many states into revolt, including Thebes, Athens, Thessaly, and the Thracian tribes north of Macedon. When news of the revolts reached Alexander, he responded quickly. Though advised to use diplomacy, Alexander mustered 3,000 Macedonian cavalry and rode south towards Thessaly. He found the Thessalian army occupying the pass between Mount Olympus and Mount Ossa, and ordered his men to ride over Mount Ossa. When the Thessalians awoke the next day, they found Alexander in their rear and promptly surrendered, adding their cavalry to Alexander's force. He then continued south towards the Peloponnese.[51]
|
56 |
+
|
57 |
+
Alexander stopped at Thermopylae, where he was recognized as the leader of the Amphictyonic League before heading south to Corinth. Athens sued for peace and Alexander pardoned the rebels. The famous encounter between Alexander and Diogenes the Cynic occurred during Alexander's stay in Corinth. When Alexander asked Diogenes what he could do for him, the philosopher disdainfully asked Alexander to stand a little to the side, as he was blocking the sunlight.[52] This reply apparently delighted Alexander, who is reported to have said "But verily, if I were not Alexander, I would like to be Diogenes."[53] At Corinth, Alexander took the title of Hegemon ("leader") and, like Philip, was appointed commander for the coming war against Persia. He also received news of a Thracian uprising.[54]
|
58 |
+
|
59 |
+
Before crossing to Asia, Alexander wanted to safeguard his northern borders. In the spring of 335 BC, he advanced to suppress several revolts. Starting from Amphipolis, he travelled east into the country of the "Independent Thracians"; and at Mount Haemus, the Macedonian army attacked and defeated the Thracian forces manning the heights.[55] The Macedonians marched into the country of the Triballi, and defeated their army near the Lyginus river[56] (a tributary of the Danube). Alexander then marched for three days to the Danube, encountering the Getae tribe on the opposite shore. Crossing the river at night, he surprised them and forced their army to retreat after the first cavalry skirmish.[57]
|
60 |
+
|
61 |
+
News then reached Alexander that Cleitus, King of Illyria, and King Glaukias of the Taulantii were in open revolt against his authority. Marching west into Illyria, Alexander defeated each in turn, forcing the two rulers to flee with their troops. With these victories, he secured his northern frontier.[58]
|
62 |
+
|
63 |
+
While Alexander campaigned north, the Thebans and Athenians rebelled once again. Alexander immediately headed south.[59] While the other cities again hesitated, Thebes decided to fight. The Theban resistance was ineffective, and Alexander razed the city and divided its territory between the other Boeotian cities. The end of Thebes cowed Athens, leaving all of Greece temporarily at peace.[59] Alexander then set out on his Asian campaign, leaving Antipater as regent.[60]
|
64 |
+
|
65 |
+
According to ancient writers Demosthenes called Alexander "Margites" (Greek: Μαργίτης)[61][62][63] and a boy.[63] Greeks used the word Margites to describe fool and useless people, on account of the Margites.[62][64]
|
66 |
+
|
67 |
+
Ionia 336 BC
|
68 |
+
|
69 |
+
Media and Egypt 333 BC
|
70 |
+
|
71 |
+
Persia 331 BC
|
72 |
+
|
73 |
+
India 326 BC
|
74 |
+
|
75 |
+
In 336 BC Philip II had already sent Parmenion, with Amyntas, Andromenes and Attalus, and an army of 10,000 men into Anatolia to make preparations for an invasion to free the Greeks living on the western coast and islands from Achaemenid rule.[65][66] At first, all went well. The Greek cities on the western coast of Anatolia revolted until the news arrived that Philip had been murdered and had been succeeded by his young son Alexander. The Macedonians were demoralized by Philip's death and were subsequently defeated near Magnesia by the Achaemenids under the command of the mercenary Memnon of Rhodes.[65][66]
|
76 |
+
|
77 |
+
Taking over the invasion project of Philip II, Alexander's army crossed the Hellespont in 334 BC with approximately 48,100 soldiers, 6,100 cavalry and a fleet of 120 ships with crews numbering 38,000,[59] drawn from Macedon and various Greek city-states, mercenaries, and feudally raised soldiers from Thrace, Paionia, and Illyria.[67][f] He showed his intent to conquer the entirety of the Persian Empire by throwing a spear into Asian soil and saying he accepted Asia as a gift from the gods. This also showed Alexander's eagerness to fight, in contrast to his father's preference for diplomacy.[59]
|
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+
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After an initial victory against Persian forces at the Battle of the Granicus, Alexander accepted the surrender of the Persian provincial capital and treasury of Sardis; he then proceeded along the Ionian coast, granting autonomy and democracy to the cities. Miletus, held by Achaemenid forces, required a delicate siege operation, with Persian naval forces nearby. Further south, at Halicarnassus, in Caria, Alexander successfully waged his first large-scale siege, eventually forcing his opponents, the mercenary captain Memnon of Rhodes and the Persian satrap of Caria, Orontobates, to withdraw by sea.[68] Alexander left the government of Caria to a member of the Hecatomnid dynasty, Ada, who adopted Alexander.[69]
|
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+
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81 |
+
From Halicarnassus, Alexander proceeded into mountainous Lycia and the Pamphylian plain, asserting control over all coastal cities to deny the Persians naval bases. From Pamphylia onwards the coast held no major ports and Alexander moved inland. At Termessos, Alexander humbled but did not storm the Pisidian city.[70] At the ancient Phrygian capital of Gordium, Alexander "undid" the hitherto unsolvable Gordian Knot, a feat said to await the future "king of Asia".[71] According to the story, Alexander proclaimed that it did not matter how the knot was undone and hacked it apart with his sword.[72]
|
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+
In spring 333 BC, Alexander crossed the Taurus into Cilicia. After a long pause due to an illness, he marched on towards Syria. Though outmanoeuvered by Darius' significantly larger army, he marched back to Cilicia, where he defeated Darius at Issus. Darius fled the battle, causing his army to collapse, and left behind his wife, his two daughters, his mother Sisygambis, and a fabulous treasure.[73] He offered a peace treaty that included the lands he had already lost, and a ransom of 10,000 talents for his family. Alexander replied that since he was now king of Asia, it was he alone who decided territorial divisions.[74]
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+
Alexander proceeded to take possession of Syria, and most of the coast of the Levant.[69] In the following year, 332 BC, he was forced to attack Tyre, which he captured after a long and difficult siege.[75][76] The men of military age were massacred and the women and children sold into slavery.[77]
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+
When Alexander destroyed Tyre, most of the towns on the route to Egypt quickly capitulated. However, Alexander met with resistance at Gaza. The stronghold was heavily fortified and built on a hill, requiring a siege. When "his engineers pointed out to him that because of the height of the mound it would be impossible... this encouraged Alexander all the more to make the
|
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+
attempt".[78] After three unsuccessful assaults, the stronghold fell, but not before Alexander had received a serious shoulder wound. As in Tyre, men of military age were put to the sword and the women and children were sold into slavery.[79]
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+
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Alexander advanced on Egypt in later 332 BC, where he was regarded as a liberator.[80] He was pronounced son of the deity Amun at the Oracle of Siwa Oasis in the Libyan desert.[81] Henceforth, Alexander often referred to Zeus-Ammon as his true father, and after his death, currency depicted him adorned with the Horns of Ammon as a symbol of his divinity.[82] During his stay in Egypt, he founded Alexandria-by-Egypt, which would become the prosperous capital of the Ptolemaic Kingdom after his death.[83]
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+
Leaving Egypt in 331 BCE, Alexander marched eastward into Achaemenid Assyria in Upper Mesopotamia (now northern Iraq) and defeated Darius again at the Battle of Gaugamela.[84] Darius once more fled the field, and Alexander chased him as far as Arbela. Gaugamela would be the final and decisive encounter between the two. Darius fled over the mountains to Ecbatana (modern Hamadan) while Alexander captured Babylon.[85]
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+
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From Babylon, Alexander went to Susa, one of the Achaemenid capitals, and captured its treasury.[85] He sent the bulk of his army to the Persian ceremonial capital of Persepolis via the Persian Royal Road. Alexander himself took selected troops on the direct route to the city. He then stormed the pass of the Persian Gates (in the modern Zagros Mountains) which had been blocked by a Persian army under Ariobarzanes and then hurried to Persepolis before its garrison could loot the treasury.[86]
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On entering Persepolis, Alexander allowed his troops to loot the city for several days.[87] Alexander stayed in Persepolis for five months.[88] During his stay a fire broke out in the eastern palace of Xerxes I and spread to the rest of the city. Possible causes include a drunken accident or deliberate revenge for the burning of the Acropolis of Athens during the Second Persian War by Xerxes;[89] Plutarch and Diodorus allege that Alexander's companion, the hetaera Thaïs, instigated and started the fire. Even as he watched the city burn, Alexander immediately began to regret his decision.[90][91][92] Plutarch claims that he ordered his men to put out the fires,[90] but that the flames had already spread to most of the city.[90] Curtius claims that Alexander did not regret his decision until the next morning.[90] Plutarch recounts an anecdote in which Alexander pauses and talks to a fallen statue of Xerxes as if it were a live person:
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Shall I pass by and leave you lying there because of the expeditions you led against Greece, or shall I set you up again because of your magnanimity and your virtues in other respects?[93]
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+
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+
Alexander then chased Darius, first into Media, and then Parthia.[95] The Persian king no longer controlled his own destiny, and was taken prisoner by Bessus, his Bactrian satrap and kinsman.[96] As Alexander approached, Bessus had his men fatally stab the Great King and then declared himself Darius' successor as Artaxerxes V, before retreating into Central Asia to launch a guerrilla campaign against Alexander.[97] Alexander buried Darius' remains next to his Achaemenid predecessors in a regal funeral.[98] He claimed that, while dying, Darius had named him as his successor to the Achaemenid throne.[99] The Achaemenid Empire is normally considered to have fallen with Darius.[100]
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+
Alexander viewed Bessus as a usurper and set out to defeat him. This campaign, initially against Bessus, turned into a grand tour of central Asia. Alexander founded a series of new cities, all called Alexandria, including modern Kandahar in Afghanistan, and Alexandria Eschate ("The Furthest") in modern Tajikistan. The campaign took Alexander through Media, Parthia, Aria (West Afghanistan), Drangiana, Arachosia (South and Central Afghanistan), Bactria (North and Central Afghanistan), and Scythia.[101]
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+
In 329 BC, Spitamenes, who held an undefined position in the satrapy of Sogdiana, betrayed Bessus to Ptolemy, one of Alexander's trusted companions, and Bessus was executed.[102] However, when, at some point later, Alexander was on the Jaxartes dealing with an incursion by a horse nomad army, Spitamenes raised Sogdiana in revolt. Alexander personally defeated the Scythians at the Battle of Jaxartes and immediately launched a campaign against Spitamenes, defeating him in the Battle of Gabai. After the defeat, Spitamenes was killed by his own men, who then sued for peace.[103]
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+
During this time, Alexander adopted some elements of Persian dress and customs at his court, notably the custom of proskynesis, either a symbolic kissing of the hand, or prostration on the ground, that Persians showed to their social superiors.[104] The Greeks regarded the gesture as the province of deities and believed that Alexander meant to deify himself by requiring it. This cost him the sympathies of many of his countrymen, and he eventually abandoned it.[105]
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+
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+
A plot against his life was revealed, and one of his officers, Philotas, was executed for failing to alert Alexander. The death of the son necessitated the death of the father, and thus Parmenion, who had been charged with guarding the treasury at Ecbatana, was assassinated at Alexander's command, to prevent attempts at vengeance. Most infamously, Alexander personally killed the man who had saved his life at Granicus, Cleitus the Black, during a violent drunken altercation at Maracanda (modern day Samarkand in Uzbekistan), in which Cleitus accused Alexander of several judgmental mistakes and most especially, of having forgotten the Macedonian ways in favour of a corrupt oriental lifestyle.[106]
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Later, in the Central Asian campaign, a second plot against his life was revealed, this one instigated by his own royal pages. His official historian, Callisthenes of Olynthus, was implicated in the plot, and in the Anabasis of Alexander, Arrian states that Callisthenes and the pages were then tortured on the rack as punishment, and likely died soon after.[107] It remains unclear if Callisthenes was actually involved in the plot, for prior to his accusation he had fallen out of favour by leading the opposition to the attempt to introduce proskynesis.[108]
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+
When Alexander set out for Asia, he left his general Antipater, an experienced military and political leader and part of Philip II's "Old Guard", in charge of Macedon.[60] Alexander's sacking of Thebes ensured that Greece remained quiet during his absence.[60] The one exception was a call to arms by Spartan king Agis III in 331 BC, whom Antipater defeated and killed in the battle of Megalopolis.[60] Antipater referred the Spartans' punishment to the League of Corinth, which then deferred to Alexander, who chose to pardon them.[109] There was also considerable friction between Antipater and Olympias, and each complained to Alexander about the other.[110]
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+
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+
In general, Greece enjoyed a period of peace and prosperity during Alexander's campaign in Asia.[111] Alexander sent back vast sums from his conquest, which stimulated the economy and increased trade across his empire.[112] However, Alexander's constant demands for troops and the migration of Macedonians throughout his empire depleted Macedon's strength, greatly weakening it in the years after Alexander, and ultimately led to its subjugation by Rome after the Third Macedonian War (171–168 BC).[16]
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+
After the death of Spitamenes and his marriage to Roxana (Raoxshna in Old Iranian) to cement relations with his new satrapies, Alexander turned to the Indian subcontinent. He invited the chieftains of the former satrapy of Gandhara (a region presently straddling eastern Afghanistan and northern Pakistan), to come to him and submit to his authority. Omphis (Indian name Ambhi), the ruler of Taxila, whose kingdom extended from the Indus to the Hydaspes (Jhelum), complied, but the chieftains of some hill clans, including the Aspasioi and Assakenoi sections of the Kambojas (known in Indian texts also as Ashvayanas and Ashvakayanas), refused to submit.[113] Ambhi hastened to relieve Alexander of his apprehension and met him with valuable presents, placing himself and all his forces at his disposal. Alexander not only returned Ambhi his title and the gifts but he also presented him with a wardrobe of "Persian robes, gold and silver ornaments, 30 horses and 1,000 talents in gold". Alexander was emboldened to divide his forces, and Ambhi assisted Hephaestion and Perdiccas in constructing a bridge over the Indus where it bends at Hund,[114] supplied their troops with provisions, and received Alexander himself, and his whole army, in his capital city of Taxila, with every demonstration of friendship and the most liberal hospitality.
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On the subsequent advance of the Macedonian king, Taxiles accompanied him with a force of 5,000 men and took part in the battle of the Hydaspes River. After that victory he was sent by Alexander in pursuit of Porus (Indian name Puru), to whom he was charged to offer favourable terms, but narrowly escaped losing his life at the hands of his old enemy. Subsequently, however, the two rivals were reconciled by the personal mediation of Alexander; and Taxiles, after having contributed zealously to the equipment of the fleet on the Hydaspes, was entrusted by the king with the government of the whole territory between that river and the Indus. A considerable accession of power was granted him after the death of Philip, son of Machatas; and he was allowed to retain his authority at the death of Alexander himself (323 BC), as well as in the subsequent partition of the provinces at Triparadisus, 321 BC.
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In the winter of 327/326 BC, Alexander personally led a campaign against the Aspasioi of Kunar valleys, the Guraeans of the Guraeus valley, and the Assakenoi of the Swat and Buner valleys.[115] A fierce contest ensued with the Aspasioi in which Alexander was wounded in the shoulder by a dart, but eventually the Aspasioi lost. Alexander then faced the Assakenoi, who fought against him from the strongholds of Massaga, Ora and Aornos.[113]
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The fort of Massaga was reduced only after days of bloody fighting, in which Alexander was wounded seriously in the ankle. According to Curtius, "Not only did Alexander slaughter the entire population of Massaga, but also did he reduce its buildings to rubble."[116] A similar slaughter followed at Ora. In the aftermath of Massaga and Ora, numerous Assakenians fled to the fortress of Aornos. Alexander followed close behind and captured the strategic hill-fort after four bloody days.[113]
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After Aornos, Alexander crossed the Indus and fought and won an epic battle against King Porus, who ruled a region lying between the Hydaspes and the Acesines (Chenab), in what is now the Punjab, in the Battle of the Hydaspes in 326 BC.[117] Alexander was impressed by Porus' bravery, and made him an ally. He appointed Porus as satrap, and added to Porus' territory land that he did not previously own, towards the south-east, up to the Hyphasis (Beas).[118][119] Choosing a local helped him control these lands so distant from Greece.[120] Alexander founded two cities on opposite sides of the Hydaspes river, naming one Bucephala, in honour of his horse, who died around this time.[121] The other was Nicaea (Victory), thought to be located at the site of modern-day Mong, Punjab.[122] Philostratus the Elder in the Life of Apollonius of Tyana writes that in the army of Porus there was an elephant who fought brave against Alexander's army and Alexander dedicated it to the Helios (Sun) and named it Ajax, because he thought that a so great animal deserved a great name. The elephant had gold rings around its tusks and an inscription was on them written in Greek: "Alexander the son of Zeus dedicates Ajax to the Helios" (ΑΛΕΞΑΝΔΡΟΣ Ο ΔΙΟΣ ΤΟΝ ΑΙΑΝΤΑ ΤΩΙ ΗΛΙΩΙ).[123]
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East of Porus' kingdom, near the Ganges River, was the Nanda Empire of Magadha, and further east, the Gangaridai Empire of Bengal region of the Indian subcontinent. Fearing the prospect of facing other large armies and exhausted by years of campaigning, Alexander's army mutinied at the Hyphasis River (Beas), refusing to march farther east.[124] This river thus marks the easternmost extent of Alexander's conquests.[125]
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As for the Macedonians, however, their struggle with Porus blunted their courage and stayed their further advance into India. For having had all they could do to repulse an enemy who mustered only twenty thousand infantry and two thousand horse, they violently opposed Alexander when he insisted on crossing the river Ganges also, the width of which, as they learned, was thirty-two furlongs, its depth a hundred fathoms, while its banks on the further side were covered with multitudes of men-at-arms and horsemen and elephants. For they were told that the kings of the Ganderites and Praesii were awaiting them with eighty thousand horsemen, two hundred thousand footmen, eight thousand chariots, and six thousand war elephants.[126]
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Alexander tried to persuade his soldiers to march farther, but his general Coenus pleaded with him to change his opinion and return; the men, he said, "longed to again see their parents, their wives and children, their homeland". Alexander eventually agreed and turned south, marching along the Indus. Along the way his army conquered the Malhi (in modern-day Multan) and other Indian tribes and Alexander sustained an injury during the siege.[127]
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Alexander sent much of his army to Carmania (modern southern Iran) with general Craterus, and commissioned a fleet to explore the Persian Gulf shore under his admiral Nearchus, while he led the rest back to Persia through the more difficult southern route along the Gedrosian Desert and Makran.[128] Alexander reached Susa in 324 BC, but not before losing many men to the harsh desert.[129]
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Discovering that many of his satraps and military governors had misbehaved in his absence, Alexander executed several of them as examples on his way to Susa.[131][132] As a gesture of thanks, he paid off the debts of his soldiers, and announced that he would send over-aged and disabled veterans back to Macedon, led by Craterus. His troops misunderstood his intention and mutinied at the town of Opis. They refused to be sent away and criticized his adoption of Persian customs and dress and the introduction of Persian officers and soldiers into Macedonian units.[133]
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After three days, unable to persuade his men to back down, Alexander gave Persians command posts in the army and conferred Macedonian military titles upon Persian units. The Macedonians quickly begged forgiveness, which Alexander accepted, and held a great banquet for several thousand of his men at which he and they ate together.[134] In an attempt to craft a lasting harmony between his Macedonian and Persian subjects, Alexander held a mass marriage of his senior officers to Persian and other noblewomen at Susa, but few of those marriages seem to have lasted much beyond a year.[132] Meanwhile, upon his return to Persia, Alexander learned that guards of the tomb of Cyrus the Great in Pasargadae had desecrated it, and swiftly executed them.[135] Alexander admired Cyrus the Great, from an early age reading Xenophon's Cyropaedia, which described Cyrus's heroism in battle and governance as a king and legislator.[136] During his visit to Pasargadae Alexander ordered his architect Aristobulus to decorate the interior of the sepulchral chamber of Cyrus' tomb.[136]
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Afterwards, Alexander travelled to Ecbatana to retrieve the bulk of the Persian treasure. There, his closest friend and possible lover, Hephaestion, died of illness or poisoning.[137][138] Hephaestion's death devastated Alexander, and he ordered the preparation of an expensive funeral pyre in Babylon, as well as a decree for public mourning.[137] Back in Babylon, Alexander planned a series of new campaigns, beginning with an invasion of Arabia, but he would not have a chance to realize them, as he died shortly after Hephaestion.[139]
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On either 10 or 11 June 323 BC, Alexander died in the palace of Nebuchadnezzar II, in Babylon, at age 32.[140] There are two different versions of Alexander's death and details of the death differ slightly in each. Plutarch's account is that roughly 14 days before his death, Alexander entertained admiral Nearchus, and spent the night and next day drinking with Medius of Larissa.[141] He developed a fever, which worsened until he was unable to speak. The common soldiers, anxious about his health, were granted the right to file past him as he silently waved at them.[142] In the second account, Diodorus recounts that Alexander was struck with pain after downing a large bowl of unmixed wine in honour of Heracles, followed by 11 days of weakness; he did not develop a fever and died after some agony.[143] Arrian also mentioned this as an alternative, but Plutarch specifically denied this claim.[141]
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Given the propensity of the Macedonian aristocracy to assassination,[144] foul play featured in multiple accounts of his death. Diodorus, Plutarch, Arrian and Justin all mentioned the theory that Alexander was poisoned. Justin stated that Alexander was the victim of a poisoning conspiracy, Plutarch dismissed it as a fabrication,[145] while both Diodorus and Arrian noted that they mentioned it only for the sake of completeness.[143][146] The accounts were nevertheless fairly consistent in designating Antipater, recently removed as Macedonian viceroy, and at odds with Olympias, as the head of the alleged plot. Perhaps taking his summons to Babylon as a death sentence,[147] and having seen the fate of Parmenion and Philotas,[148] Antipater purportedly arranged for Alexander to be poisoned by his son Iollas, who was Alexander's wine-pourer.[146][148] There was even a suggestion that Aristotle may have participated.[146]
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The strongest argument against the poison theory is the fact that twelve days passed between the start of his illness and his death; such long-acting poisons were probably not available.[149] However, in a 2003 BBC documentary investigating the death of Alexander, Leo Schep from the New Zealand National Poisons Centre proposed that the plant white hellebore (Veratrum album), which was known in antiquity, may have been used to poison Alexander.[150][151][152] In a 2014 manuscript in the journal Clinical Toxicology, Schep suggested Alexander's wine was spiked with Veratrum album, and that this would produce poisoning symptoms that match the course of events described in the Alexander Romance.[153] Veratrum album poisoning can have a prolonged course and it was suggested that if Alexander was poisoned, Veratrum album offers the most plausible cause.[153][154] Another poisoning explanation put forward in 2010 proposed that the circumstances of his death were compatible with poisoning by water of the river Styx (modern-day Mavroneri in Arcadia, Greece) that contained calicheamicin, a dangerous compound produced by bacteria.[155]
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Several natural causes (diseases) have been suggested, including malaria and typhoid fever. A 1998 article in the New England Journal of Medicine attributed his death to typhoid fever complicated by bowel perforation and ascending paralysis.[156] Another recent analysis suggested pyogenic (infectious) spondylitis or meningitis.[157] Other illnesses fit the symptoms, including acute pancreatitis and West Nile virus.[158][159] Natural-cause theories also tend to emphasize that Alexander's health may have been in general decline after years of heavy drinking and severe wounds. The anguish that Alexander felt after Hephaestion's death may also have contributed to his declining health.[156]
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Alexander's body was laid in a gold anthropoid sarcophagus that was filled with honey, which was in turn placed in a gold casket.[160][161] According to Aelian, a seer called Aristander foretold that the land where Alexander was laid to rest "would be happy and unvanquishable forever".[162] Perhaps more likely, the successors may have seen possession of the body as a symbol of legitimacy, since burying the prior king was a royal prerogative.[163]
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While Alexander's funeral cortege was on its way to Macedon, Ptolemy seized it and took it temporarily to Memphis.[160][162] His successor, Ptolemy II Philadelphus, transferred the sarcophagus to Alexandria, where it remained until at least late Antiquity. Ptolemy IX Lathyros, one of Ptolemy's final successors, replaced Alexander's sarcophagus with a glass one so he could convert the original to coinage.[164] The recent discovery of an enormous tomb in northern Greece, at Amphipolis, dating from the time of Alexander the Great[165] has given rise to speculation that its original intent was to be the burial place of Alexander. This would fit with the intended destination of Alexander's funeral cortege. However, the memorial was found to be dedicated to the dearest friend of Alexander the Great, Hephaestion.[166][167]
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Pompey, Julius Caesar and Augustus all visited the tomb in Alexandria, where Augustus, allegedly, accidentally knocked the nose off. Caligula was said to have taken Alexander's breastplate from the tomb for his own use. Around AD 200, Emperor Septimius Severus closed Alexander's tomb to the public. His son and successor, Caracalla, a great admirer, visited the tomb during his own reign. After this, details on the fate of the tomb are hazy.[164]
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The so-called "Alexander Sarcophagus", discovered near Sidon and now in the Istanbul Archaeology Museum, is so named not because it was thought to have contained Alexander's remains, but because its bas-reliefs depict Alexander and his companions fighting the Persians and hunting. It was originally thought to have been the sarcophagus of Abdalonymus (died 311 BC), the king of Sidon appointed by Alexander immediately following the battle of Issus in 331.[168][169] However, more recently, it has been suggested that it may date from earlier than Abdalonymus' death.
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Demades likened the Macedonian army, after the death of Alexander, to the blinded Cyclop, due to the many random and disorderly movements that it made.[170][171][172] In addition, Leosthenes, also, likened the anarchy between the generals, after Alexander's death, to the blinded Cyclop "who after he had lost his eye went feeling and groping about with his hands before him, not knowing where to lay them".[173]
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Alexander's death was so sudden that when reports of his death reached Greece, they were not immediately believed.[60] Alexander had no obvious or legitimate heir, his son Alexander IV by Roxane being born after Alexander's death.[174] According to Diodorus, Alexander's companions asked him on his deathbed to whom he bequeathed his kingdom; his laconic reply was "tôi kratistôi"—"to the strongest".[143] Another theory is that his successors willfully or erroneously misheard "tôi Kraterôi"—"to Craterus", the general leading his Macedonian troops home and newly entrusted with the regency of Macedonia.[175]
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Arrian and Plutarch claimed that Alexander was speechless by this point, implying that this was an apocryphal story.[176] Diodorus, Curtius and Justin offered the more plausible story that Alexander passed his signet ring to Perdiccas, a bodyguard and leader of the companion cavalry, in front of witnesses, thereby nominating him.[143][174]
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Perdiccas initially did not claim power, instead suggesting that Roxane's baby would be king, if male; with himself, Craterus, Leonnatus, and Antipater as guardians. However, the infantry, under the command of Meleager, rejected this arrangement since they had been excluded from the discussion. Instead, they supported Alexander's half-brother Philip Arrhidaeus. Eventually, the two sides reconciled, and after the birth of Alexander IV, he and Philip III were appointed joint kings, albeit in name only.[177]
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Dissension and rivalry soon afflicted the Macedonians, however. The satrapies handed out by Perdiccas at the Partition of Babylon became power bases each general used to bid for power. After the assassination of Perdiccas in 321 BC, Macedonian unity collapsed, and 40 years of war between "The Successors" (Diadochi) ensued before the Hellenistic world settled into four stable power blocs: Ptolemaic Egypt, Seleucid Mesopotamia and Central Asia, Attalid Anatolia, and Antigonid Macedon. In the process, both Alexander IV and Philip III were murdered.[178]
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Diodorus stated that Alexander had given detailed written instructions to Craterus some time before his death.[179] Craterus started to carry out Alexander's commands, but the successors chose not to further implement them, on the grounds they were impractical and extravagant.[179] Nevertheless, Perdiccas read Alexander's will to his troops.[60]
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Alexander's will called for military expansion into the southern and western Mediterranean, monumental constructions, and the intermixing of Eastern and Western populations. It included:
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Alexander earned the epithet "the Great" due to his unparalleled success as a military commander. He never lost a battle, despite typically being outnumbered.[59] This was due to use of terrain, phalanx and cavalry tactics, bold strategy, and the fierce loyalty of his troops.[181] The Macedonian phalanx, armed with the sarissa, a spear 6 metres (20 ft) long, had been developed and perfected by Philip II through rigorous training, and Alexander used its speed and maneuverability to great effect against larger but more disparate[clarification needed] Persian forces.[182] Alexander also recognized the potential for disunity among his diverse army, which employed various languages and weapons. He overcame this by being personally involved in battle,[88] in the manner of a Macedonian king.[181]
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In his first battle in Asia, at Granicus, Alexander used only a small part of his forces, perhaps 13,000 infantry with 5,000 cavalry, against a much larger Persian force of 40,000.[183] Alexander placed the phalanx at the center and cavalry and archers on the wings, so that his line matched the length of the Persian cavalry line, about 3 km (1.86 mi). By contrast, the Persian infantry was stationed behind its cavalry. This ensured that Alexander would not be outflanked, while his phalanx, armed with long pikes, had a considerable advantage over the Persians' scimitars and javelins. Macedonian losses were negligible compared to those of the Persians.[184]
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At Issus in 333 BC, his first confrontation with Darius, he used the same deployment, and again the central phalanx pushed through.[184] Alexander personally led the charge in the center, routing the opposing army.[185] At the decisive encounter with Darius at Gaugamela, Darius equipped his chariots with scythes on the wheels to break up the phalanx and equipped his cavalry with pikes. Alexander arranged a double phalanx, with the center advancing at an angle, parting when the chariots bore down and then reforming. The advance was successful and broke Darius' center, causing the latter to flee once again.[184]
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When faced with opponents who used unfamiliar fighting techniques, such as in Central Asia and India, Alexander adapted his forces to his opponents' style. Thus, in Bactria and Sogdiana, Alexander successfully used his javelin throwers and archers to prevent outflanking movements, while massing his cavalry at the center.[185] In India, confronted by Porus' elephant corps, the Macedonians opened their ranks to envelop the elephants and used their sarissas to strike upwards and dislodge the elephants' handlers.[134]
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Greek biographer Plutarch (c. 45 – c. 120 AD) describes Alexander's appearance as:
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The outward appearance of Alexander is best represented by the statues of him which Lysippus made, and it was by this artist alone that Alexander himself thought it fit that he should be modelled. For those peculiarities which many of his successors and friends afterwards tried to imitate, namely, the poise of the neck, which was bent slightly to the left, and the melting glance of his eyes, this artist has accurately observed. Apelles, however, in painting him as wielder of the thunder-bolt, did not reproduce his complexion, but made it too dark and swarthy. Whereas he was of a fair colour, as they say, and his fairness passed into ruddiness on his breast particularly, and in his face. Moreover, that a very pleasant odour exhaled from his skin and that there was a fragrance about his mouth and all his flesh, so that his garments were filled with it, this we have read in the Memoirs of Aristoxenus.[186]
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The semi-legendary Alexander Romance also suggests that Alexander exhibited heterochromia iridum: that one eye was dark and the other light.[187]
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British historian Peter Green provided a description of Alexander's appearance, based on his review of statues and some ancient documents:
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Physically, Alexander was not prepossessing. Even by Macedonian standards he was very short, though stocky and tough. His beard was scanty, and he stood out against his hirsute Macedonian barons by going clean-shaven. His neck was in some way twisted, so that he appeared to be gazing upward at an angle. His eyes (one blue, one brown) revealed a dewy, feminine quality. He had a high complexion and a harsh voice.[188]
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Historian and Egyptologist Joann Fletcher has said that the Macedonian ruler Alexander the Great had blond hair.[189]
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Ancient authors recorded that Alexander was so pleased with portraits of himself created by Lysippos that he forbade other sculptors from crafting his image.[190] Lysippos had often used the contrapposto sculptural scheme to portray Alexander and other characters such as Apoxyomenos, Hermes and Eros.[191] Lysippos' sculpture, famous for its naturalism, as opposed to a stiffer, more static pose, is thought to be the most faithful depiction.[192]
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Some of Alexander's strongest personality traits formed in response to his parents. His mother had huge ambitions, and encouraged him to believe it was his destiny to conquer the Persian Empire.[188] Olympias' influence instilled a sense of destiny in him,[194] and Plutarch tells how his ambition "kept his spirit serious and lofty in advance of his years".[195] However, his father Philip was Alexander's most immediate and influential role model, as the young Alexander watched him campaign practically every year, winning victory after victory while ignoring severe wounds.[48] Alexander's relationship with his father forged the competitive side of his personality; he had a need to outdo his father, illustrated by his reckless behaviour in battle.[188] While Alexander worried that his father would leave him "no great or brilliant achievement to be displayed to the world",[196] he also downplayed his father's achievements to his companions.[188]
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According to Plutarch, among Alexander's traits were a violent temper and rash, impulsive nature,[197] which undoubtedly contributed to some of his decisions.[188] Although Alexander was stubborn and did not respond well to orders from his father, he was open to reasoned debate.[198] He had a calmer side—perceptive, logical, and calculating. He had a great desire for knowledge, a love for philosophy, and was an avid reader.[199] This was no doubt in part due to Aristotle's tutelage; Alexander was intelligent and quick to learn.[188] His intelligent and rational side was amply demonstrated by his ability and success as a general.[197] He had great self-restraint in "pleasures of the body", in contrast with his lack of self-control with alcohol.[200]
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Alexander was erudite and patronized both arts and sciences.[195][199] However, he had little interest in sports or the Olympic games (unlike his father), seeking only the Homeric ideals of honour (timê) and glory (kudos).[201] He had great charisma and force of personality, characteristics which made him a great leader.[174][197] His unique abilities were further demonstrated by the inability of any of his generals to unite Macedonia and retain the Empire after his death—only Alexander had the ability to do so.[174]
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During his final years, and especially after the death of Hephaestion, Alexander began to exhibit signs of megalomania and paranoia.[147] His extraordinary achievements, coupled with his own ineffable sense of destiny and the flattery of his companions, may have combined to produce this effect.[202] His delusions of grandeur are readily visible in his will and in his desire to conquer the world,[147] in as much as he is by various sources described as having boundless ambition,[203][204] an epithet, the meaning of which has descended into an historical cliché.[205][206]
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He appears to have believed himself a deity, or at least sought to deify himself.[147] Olympias always insisted to him that he was the son of Zeus,[207] a theory apparently confirmed to him by the oracle of Amun at Siwa.[208] He began to identify himself as the son of Zeus-Ammon.[208] Alexander adopted elements of Persian dress and customs at court, notably proskynesis, a practice of which Macedonians disapproved, and were loath to perform.[104] This behaviour cost him the sympathies of many of his countrymen.[209] However, Alexander also was a pragmatic ruler who understood the difficulties of ruling culturally disparate peoples, many of whom lived in kingdoms where the king was divine.[210] Thus, rather than megalomania, his behaviour may simply have been a practical attempt at strengthening his rule and keeping his empire together.[211]
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Alexander married three times: Roxana, daughter of the Sogdian nobleman Oxyartes of Bactria,[212][213][214] out of love;[215] and the Persian princesses Stateira II and Parysatis II, the former a daughter of Darius III and latter a daughter of Artaxerxes III, for political reasons.[216][217] He apparently had two sons, Alexander IV of Macedon by Roxana and, possibly, Heracles of Macedon from his mistress Barsine. He lost another child when Roxana miscarried at Babylon.[218][219]
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Alexander also had a close relationship with his friend, general, and bodyguard Hephaestion, the son of a Macedonian noble.[137][188][220] Hephaestion's death devastated Alexander.[137][221] This event may have contributed to Alexander's failing health and detached mental state during his final months.[147][156]
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Alexander's sexuality has been the subject of speculation and controversy in modern times.[222] The Roman era writer Athenaeus says, based on the scholar Dicaearchus, who was Alexander's contemporary, that the king "was quite excessively keen on boys", and that Alexander sexually embraced his eunuch Bagoas in public.[223] This episode is also told by Plutarch, probably based on the same source. None of Alexander's contemporaries, however, are known to have explicitly described Alexander's relationship with Hephaestion as sexual, though the pair was often compared to Achilles and Patroclus, whom classical Greek culture painted as a couple. Aelian writes of Alexander's visit to Troy where "Alexander garlanded the tomb of Achilles, and Hephaestion that of Patroclus, the latter hinting that he was a beloved of Alexander, in just the same way as Patroclus was of Achilles."[224] Some modern historians (e.g., Robin Lane Fox) believe not only that Alexander's youthful relationship with Hephaestion was sexual, but that their sexual contacts may have continued into adulthood, which went against the social norms of at least some Greek cities, such as Athens,[225][226] though some modern researchers have tentatively proposed that Macedonia (or at least the Macedonian court) may have been more tolerant of homosexuality between adults.[227]
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Green argues that there is little evidence in ancient sources that Alexander had much carnal interest in women; he did not produce an heir until the very end of his life.[188] However, Ogden calculates that Alexander, who impregnated his partners thrice in eight years, had a higher matrimonial record than his father at the same age.[228] Two of these pregnancies — Stateira's and Barsine's — are of dubious legitimacy.[229]
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According to Diodorus Siculus, Alexander accumulated a harem in the style of Persian kings, but he used it rather sparingly,[230] showing great self-control in "pleasures of the body".[200] Nevertheless, Plutarch described how Alexander was infatuated by Roxana while complimenting him on not forcing himself on her.[231] Green suggested that, in the context of the period, Alexander formed quite strong friendships with women, including Ada of Caria, who adopted him, and even Darius' mother Sisygambis, who supposedly died from grief upon hearing of Alexander's death.[188]
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Alexander's legacy extended beyond his military conquests. His campaigns greatly increased contacts and trade between East and West, and vast areas to the east were significantly exposed to Greek civilization and influence.[16] Some of the cities he founded became major cultural centers, many surviving into the 21st century. His chroniclers recorded valuable information about the areas through which he marched, while the Greeks themselves got a sense of belonging to a world beyond the Mediterranean.[16]
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Alexander's most immediate legacy was the introduction of Macedonian rule to huge new swathes of Asia. At the time of his death, Alexander's empire covered some 5,200,000 km2 (2,000,000 sq mi),[233] and was the largest state of its time. Many of these areas remained in Macedonian hands or under Greek influence for the next 200–300 years. The successor states that emerged were, at least initially, dominant forces, and these 300 years are often referred to as the Hellenistic period.[234]
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The eastern borders of Alexander's empire began to collapse even during his lifetime.[174] However, the power vacuum he left in the northwest of the Indian subcontinent directly gave rise to one of the most powerful Indian dynasties in history, the Maurya Empire. Taking advantage of this power vacuum, Chandragupta Maurya (referred to in Greek sources as "Sandrokottos"), of relatively humble origin, took control of the Punjab, and with that power base proceeded to conquer the Nanda Empire.[235]
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Over the course of his conquests, Alexander founded some twenty cities that bore his name, most of them east of the Tigris.[105][236] The first, and greatest, was Alexandria in Egypt, which would become one of the leading Mediterranean cities.[105] The cities' locations reflected trade routes as well as defensive positions. At first, the cities must have been inhospitable, little more than defensive garrisons.[105] Following Alexander's death, many Greeks who had settled there tried to return to Greece.[105][236] However, a century or so after Alexander's death, many of the Alexandrias were thriving, with elaborate public buildings and substantial populations that included both Greek and local peoples.[105]
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In 334 BC, Alexander the Great donated funds for the completion of the new temple of Athena Polias in Priene, in modern-day western Turkey.[238][239] An inscription from the temple, now housed in the British Museum, declares: "King Alexander dedicated [this temple] to Athena Polias."[237] This inscription is one of the few independent archaeological discoveries confirming an episode from Alexander's life.[237] The temple was designed by Pytheos, one of the architects of the Mausoleum at Halicarnassus.[237][238][239][240]
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Libanius wrote that Alexander founded the temple of Zeus Bottiaios (Ancient Greek: Βοττιαίου Δῖός), in the place where later the city of Antioch was built.[241][242]
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Hellenization was coined by the German historian Johann Gustav Droysen to denote the spread of Greek language, culture, and population into the former Persian empire after Alexander's conquest.[234] That this export took place is undoubted, and can be seen in the great Hellenistic cities of, for instance, Alexandria, Antioch[243] and Seleucia (south of modern Baghdad).[244] Alexander sought to insert Greek elements into Persian culture and attempted to hybridize Greek and Persian culture. This culminated in his aspiration to homogenize the populations of Asia and Europe. However, his successors explicitly rejected such policies. Nevertheless, Hellenization occurred throughout the region, accompanied by a distinct and opposite 'Orientalization' of the successor states.[245]
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The core of the Hellenistic culture promulgated by the conquests was essentially Athenian.[246] The close association of men from across Greece in Alexander's army directly led to the emergence of the largely Attic-based "koine", or "common" Greek dialect.[247] Koine spread throughout the Hellenistic world, becoming the lingua franca of Hellenistic lands and eventually the ancestor of modern Greek.[247] Furthermore, town planning, education, local government, and art current in the Hellenistic period were all based on Classical Greek ideals, evolving into distinct new forms commonly grouped as Hellenistic.[243] Aspects of Hellenistic culture were still evident in the traditions of the Byzantine Empire in the mid-15th century.[248]
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Some of the most pronounced effects of Hellenization can be seen in Afghanistan and India, in the region of the relatively late-rising Greco-Bactrian Kingdom (250–125 BC) (in modern Afghanistan, Pakistan, and Tajikistan) and the Indo-Greek Kingdom (180 BC – 10 AD) in modern Afghanistan and India.[249] On the Silk Road trade routes, Hellenistic culture hybridized with Iranian and Buddhist cultures. The cosmopolitan art and mythology of Gandhara (a region spanning the upper confluence of the Indus, Swat and Kabul rivers in modern Pakistan) of the ~3rd century BC to the ~5th century AD are most evident of the direct contact between Hellenistic civilization and South Asia, as are the Edicts of Ashoka, which directly mention the Greeks within Ashoka's dominion as converting to Buddhism and the reception of Buddhist emissaries by Ashoka's contemporaries in the Hellenistic world.[250] The resulting syncretism known as Greco-Buddhism influenced the development of Buddhism[citation needed] and created a culture of Greco-Buddhist art. These Greco-Buddhist kingdoms sent some of the first Buddhist missionaries to China, Sri Lanka and Hellenistic Asia and Europe (Greco-Buddhist monasticism).
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Some of the first and most influential figurative portrayals of the Buddha appeared at this time, perhaps modeled on Greek statues of Apollo in the Greco-Buddhist style.[249] Several Buddhist traditions may have been influenced by the ancient Greek religion: the concept of Boddhisatvas is reminiscent of Greek divine heroes,[251] and some Mahayana ceremonial practices (burning incense, gifts of flowers, and food placed on altars) are similar to those practiced by the ancient Greeks; however, similar practices were also observed amongst the native Indic culture. One Greek king, Menander I, probably became Buddhist, and was immortalized in Buddhist literature as 'Milinda'.[249] The process of Hellenization also spurred trade between the east and west.[252] For example, Greek astronomical instruments dating to the 3rd century BC were found in the Greco-Bactrian city of Ai Khanoum in modern-day Afghanistan,[253] while the Greek concept of a spherical earth surrounded by the spheres of planets eventually supplanted the long-standing Indian cosmological belief of a disc consisting of four continents grouped around a central mountain (Mount Meru) like the petals of a flower.[252][254][255] The Yavanajataka (lit. Greek astronomical treatise) and Paulisa Siddhanta texts depict the influence of Greek astronomical ideas on Indian astronomy.
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Following the conquests of Alexander the Great in the east, Hellenistic influence on Indian art was far-ranging. In the area of architecture, a few examples of the Ionic order can be found as far as Pakistan with the Jandial temple near Taxila. Several examples of capitals displaying Ionic influences can be seen as far as Patna, especially with the Pataliputra capital, dated to the 3rd century BC.[256] The Corinthian order is also heavily represented in the art of Gandhara, especially through Indo-Corinthian capitals.
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Alexander and his exploits were admired by many Romans, especially generals, who wanted to associate themselves with his achievements.[257] Polybius began his Histories by reminding Romans of Alexander's achievements, and thereafter Roman leaders saw him as a role model. Pompey the Great adopted the epithet "Magnus" and even Alexander's anastole-type haircut, and searched the conquered lands of the east for Alexander's 260-year-old cloak, which he then wore as a sign of greatness.[257] Julius Caesar dedicated a Lysippean equestrian bronze statue but replaced Alexander's head with his own, while Octavian visited Alexander's tomb in Alexandria and temporarily changed his seal from a sphinx to Alexander's profile.[257] The emperor Trajan also admired Alexander, as did Nero and Caracalla.[257] The Macriani, a Roman family that in the person of Macrinus briefly ascended to the imperial throne, kept images of Alexander on their persons, either on jewelry, or embroidered into their clothes.[258]
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On the other hand, some Roman writers, particularly Republican figures, used Alexander as a cautionary tale of how autocratic tendencies can be kept in check by republican values.[259] Alexander was used by these writers as an example of ruler values such as amicita (friendship) and clementia (clemency), but also iracundia (anger) and cupiditas gloriae (over-desire for glory).[259]
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Emperor Julian in his satire called "The Caesars", describes a contest between the previous Roman emperors, with Alexander the Great called in as an extra contestant, in the presence of the assembled gods.[260]
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Pausanias writes that Alexander wanted to dig the Mimas mountain (today at the Karaburun area), but he didn't succeed. He also mentions that this was the only unsuccessful project of Alexander.[261] In addition, Pliny the Elder writes about this unsuccessful plan adding that the distance was 12 kilometres (7 1⁄2 mi), and the purpose was to cut a canal through the isthmus, so as to connect the Caystrian and Hermaean bays.[262][263]
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Arrian wrote that Aristobulus said that the Icarus island (modern Failaka Island) in the Persian Gulf had this name because Alexander ordered the island to be named like this, after the Icarus island in the Aegean Sea.[264][265]
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Legendary accounts surround the life of Alexander the Great, many deriving from his own lifetime, probably encouraged by Alexander himself.[266] His court historian Callisthenes portrayed the sea in Cilicia as drawing back from him in proskynesis. Writing shortly after Alexander's death, another participant, Onesicritus, invented a tryst between Alexander and Thalestris, queen of the mythical Amazons. When Onesicritus read this passage to his patron, Alexander's general and later King Lysimachus reportedly quipped, "I wonder where I was at the time."[267]
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In the first centuries after Alexander's death, probably in Alexandria, a quantity of the legendary material coalesced into a text known as the Alexander Romance, later falsely ascribed to Callisthenes and therefore known as Pseudo-Callisthenes. This text underwent numerous expansions and revisions throughout Antiquity and the Middle Ages,[268] containing many dubious stories,[266] and was translated into numerous languages.[269]
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Alexander the Great's accomplishments and legacy have been depicted in many cultures. Alexander has figured in both high and popular culture beginning in his own era to the present day. The Alexander Romance, in particular, has had a significant impact on portrayals of Alexander in later cultures, from Persian to medieval European to modern Greek.[269]
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Alexander features prominently in modern Greek folklore, more so than any other ancient figure.[270] The colloquial form of his name in modern Greek ("O Megalexandros") is a household name, and he is the only ancient hero to appear in the Karagiozis shadow play.[270] One well-known fable among Greek seamen involves a solitary mermaid who would grasp a ship's prow during a storm and ask the captain "Is King Alexander alive?" The correct answer is "He is alive and well and rules the world!" causing the mermaid to vanish and the sea to calm. Any other answer would cause the mermaid to turn into a raging Gorgon who would drag the ship to the bottom of the sea, all hands aboard.[270]
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In pre-Islamic Middle Persian (Zoroastrian) literature, Alexander is referred to by the epithet gujastak, meaning "accursed", and is accused of destroying temples and burning the sacred texts of Zoroastrianism.[271] In Sunni Islamic Persia, under the influence of the Alexander Romance (in Persian: اسکندرنامه Iskandarnamah), a more positive portrayal of Alexander emerges.[272] Firdausi's Shahnameh ("The Book of Kings") includes Alexander in a line of legitimate Persian shahs, a mythical figure who explored the far reaches of the world in search of the Fountain of Youth.[273] Later Persian writers associate him with philosophy, portraying him at a symposium with figures such as Socrates, Plato and Aristotle, in search of immortality.[272]
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The figure of Dhul-Qarnayn (literally "the Two-Horned One") mentioned in the Quran is believed by scholars to be based on later legends of Alexander.[272] In this tradition, he was a heroic figure who built a wall to defend against the nations of Gog and Magog.[274] He then travelled the known world in search of the Water of Life and Immortality, eventually becoming a prophet.[274]
|
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The Syriac version of the Alexander Romance portrays him as an ideal Christian world conqueror who prayed to "the one true God".[272] In Egypt, Alexander was portrayed as the son of Nectanebo II, the last pharaoh before the Persian conquest.[274] His defeat of Darius was depicted as Egypt's salvation, "proving" Egypt was still ruled by an Egyptian.[272]
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|
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According to Josephus, Alexander was shown the Book of Daniel when he entered Jerusalem, which described a mighty Greek king who would conquer the Persian Empire. This is cited as a reason for sparing Jerusalem.[275]
|
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|
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In Hindi and Urdu, the name "Sikandar", derived from the Persian name for Alexander, denotes a rising young talent, and the Delhi Sultanate ruler Aladdin Khajli stylized himself as "Sikandar-i-Sani" (the Second Alexander the Great).[276] In medieval India, Turkic and Afghan sovereigns from the Iranian-cultured region of Central Asia brought positive cultural connotations of Alexander to the Indian subcontinent, resulting in the efflorescence of Sikandernameh (Alexander Romances) written by Indo-Persian poets such as Amir Khusrow and the prominence of Alexander the Great as a popular subject in Mughal-era Persian miniatures.[277] In medieval Europe, Alexander the Great was revered as a member of the Nine Worthies, a group of heroes whose lives were believed to encapsulate all the ideal qualities of chivalry.[278]
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In Greek Anthology there are poems referring to Alexander.[279][280]
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Irish playwright Aubrey Thomas de Vere wrote Alexander the Great, a Dramatic Poem.
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In popular culture, the British heavy metal band Iron Maiden included a song titled "Alexander the Great" on their 1986 album Somewhere in Time. Written by bass player Steve Harris, the song retells Alexander's life.
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Apart from a few inscriptions and fragments, texts written by people who actually knew Alexander or who gathered information from men who served with Alexander were all lost.[16] Contemporaries who wrote accounts of his life included Alexander's campaign historian Callisthenes; Alexander's generals Ptolemy and Nearchus; Aristobulus, a junior officer on the campaigns; and Onesicritus, Alexander's chief helmsman. Their works are lost, but later works based on these original sources have survived. The earliest of these is Diodorus Siculus (1st century BC), followed by Quintus Curtius Rufus (mid-to-late 1st century AD), Arrian (1st to 2nd century AD), the biographer Plutarch (1st to 2nd century AD), and finally Justin, whose work dated as late as the 4th century.[16] Of these, Arrian is generally considered the most reliable, given that he used Ptolemy and Aristobulus as his sources, closely followed by Diodorus.[16]
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in Europe (green and dark grey)
|
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Switzerland, officially the Swiss Confederation, is a country situated in the confluence of Western, Central, and Southern Europe.[10][note 4] It is a federal republic composed of 26 cantons, with federal authorities based in Bern.[1][2][note 1] Switzerland is a landlocked country bordered by Italy to the south, France to the west, Germany to the north, and Austria and Liechtenstein to the east. It is geographically divided among the Swiss Plateau, the Alps, and the Jura, spanning a total area of 41,285 km2 (15,940 sq mi), and land area of 39,997 km2 (15,443 sq mi). While the Alps occupy the greater part of the territory, the Swiss population of approximately 8.5 million is concentrated mostly on the plateau, where the largest cities and economic centres are located, among them Zürich, Geneva and Basel, where multiple international organisations are domiciled (such as FIFA, the UN's second-largest Office, and the Bank for International Settlements) and where the main international airports of Switzerland are.
|
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|
9 |
+
The establishment of the Old Swiss Confederacy dates to the late medieval period, resulting from a series of military successes against Austria and Burgundy. Swiss independence from the Holy Roman Empire was formally recognized in the Peace of Westphalia in 1648. The Federal Charter of 1291 is considered the founding document of Switzerland which is celebrated on Swiss National Day. Since the Reformation of the 16th century, Switzerland has maintained a strong policy of armed neutrality; it has not fought an international war since 1815 and did not join the United Nations until 2002. Nevertheless, it pursues an active foreign policy and is frequently involved in peace-building processes around the world.[11] Switzerland is the birthplace of the Red Cross, one of the world's oldest and best known humanitarian organisations, and is home to numerous international organisations, including the United Nations Office at Geneva, which is its second-largest in the world. It is a founding member of the European Free Trade Association, but notably not part of the European Union, the European Economic Area or the Eurozone. However, it participates in the Schengen Area and the European Single Market through bilateral treaties.
|
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|
11 |
+
Switzerland occupies the crossroads of Germanic and Romance Europe, as reflected in its four main linguistic and cultural regions: German, French, Italian and Romansh. Although the majority of the population are German-speaking, Swiss national identity is rooted in a common historical background, shared values such as federalism and direct democracy,[12] and Alpine symbolism.[13][14] Due to its linguistic diversity, Switzerland is known by a variety of native names: Schweiz [ˈʃvaɪts] (German);[note 5] Suisse [sɥis(ə)] (French); Svizzera [ˈzvittsera] (Italian); and Svizra [ˈʒviːtsrɐ, ˈʒviːtsʁɐ] (Romansh).[note 6] On coins and stamps, the Latin name, Confoederatio Helvetica – frequently shortened to "Helvetia" – is used instead of the four national languages.
|
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+
|
13 |
+
The sovereign state is one of the most developed countries in the world, with the highest nominal wealth per adult[15] and the eighth-highest per capita gross domestic product.[16][17] It ranks at or near the top in several international metrics, including economic competitiveness and human development. Zürich, Geneva and Basel have been ranked among the top ten cities in the world in terms of quality of life, with Zürich ranked second globally.[18] In 2019, IMD placed Switzerland first in attracting skilled workers.[19] World Economic Forum ranks it the 5th most competitive country globally.[20]
|
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|
15 |
+
The English name Switzerland is a compound containing Switzer, an obsolete term for the Swiss, which was in use during the 16th to 19th centuries.[21] The English adjective Swiss is a loan from French Suisse, also in use since the 16th century. The name Switzer is from the Alemannic Schwiizer, in origin an inhabitant of Schwyz and its associated territory, one of the Waldstätte cantons which formed the nucleus of the Old Swiss Confederacy. The Swiss began to adopt the name for themselves after the Swabian War of 1499, used alongside the term for "Confederates", Eidgenossen (literally: comrades by oath), used since the 14th century. The data code for Switzerland, CH, is derived from Latin Confoederatio Helvetica (English: Helvetic Confederation).
|
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|
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The toponym Schwyz itself was first attested in 972, as Old High German Suittes, ultimately perhaps related to swedan ‘to burn’ (cf. Old Norse svíða ‘to singe, burn’), referring to the area of forest that was burned and cleared to build.[22] The name was extended to the area dominated by the canton, and after the Swabian War of 1499 gradually came to be used for the entire Confederation.[23][24]
|
18 |
+
The Swiss German name of the country, Schwiiz, is homophonous to that of the canton and the settlement, but distinguished by the use of the definite article (d'Schwiiz for the Confederation,[25] but simply Schwyz for the canton and the town).[26] The long [iː] of Swiss German is historically and still often today spelled ⟨y⟩ rather than ⟨ii⟩, preserving the original identity of the two names even in writing.
|
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|
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The Latin name Confoederatio Helvetica was neologized and introduced gradually after the formation of the federal state in 1848, harking back to the Napoleonic Helvetic Republic, appearing on coins from 1879, inscribed on the Federal Palace in 1902 and after 1948 used in the official seal.[27] (for example, the ISO banking code "CHF" for the Swiss franc, and the country top-level domain ".ch", are both taken from the state's Latin name). Helvetica is derived from the Helvetii, a Gaulish tribe living on the Swiss plateau before the Roman era.
|
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+
|
22 |
+
Helvetia appears as a national personification of the Swiss confederacy in the 17th century with a 1672 play by Johann Caspar Weissenbach.[28]
|
23 |
+
|
24 |
+
Switzerland has existed as a state in its present form since the adoption of the Swiss Federal Constitution in 1848. The precursors of Switzerland established a protective alliance at the end of the 13th century (1291), forming a loose confederation of states which persisted for centuries.
|
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+
|
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The oldest traces of hominid existence in Switzerland date back about 150,000 years.[29] The oldest known farming settlements in Switzerland, which were found at Gächlingen, have been dated to around 5300 BC.[29]
|
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|
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+
The earliest known cultural tribes of the area were members of the Hallstatt and La Tène cultures, named after the archaeological site of La Tène on the north side of Lake Neuchâtel. La Tène culture developed and flourished during the late Iron Age from around 450 BC,[29] possibly under some influence from the Greek and Etruscan civilisations. One of the most important tribal groups in the Swiss region was the Helvetii. Steadily harassed by the Germanic tribes, in 58 BC the Helvetii decided to abandon the Swiss plateau and migrate to western Gallia, but Julius Caesar's armies pursued and defeated them at the Battle of Bibracte, in today's eastern France, forcing the tribe to move back to its original homeland.[29] In 15 BC, Tiberius, who would one day become the second Roman emperor, and his brother Drusus, conquered the Alps, integrating them into the Roman Empire. The area occupied by the Helvetii—the namesakes of the later Confoederatio Helvetica—first became part of Rome's Gallia Belgica province and then of its Germania Superior province, while the eastern portion of modern Switzerland was integrated into the Roman province of Raetia. Sometime around the start of the Common Era, the Romans maintained a large legionary camp called Vindonissa, now a ruin at the confluence of the Aare and Reuss rivers, near the town of Windisch, an outskirt of Brugg.
|
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|
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The first and second century AD was an age of prosperity for the population living on the Swiss plateau. Several towns, like Aventicum, Iulia Equestris and Augusta Raurica, reached a remarkable size, while hundreds of agricultural estates (Villae rusticae) were founded in the countryside.
|
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Around 260 AD, the fall of the Agri Decumates territory north of the Rhine transformed today's Switzerland into a frontier land of the Empire. Repeated raids by the Alamanni tribes provoked the ruin of the Roman towns and economy, forcing the population to find shelter near Roman fortresses, like the Castrum Rauracense near Augusta Raurica. The Empire built another line of defence at the north border (the so-called Donau-Iller-Rhine-Limes), but at the end of the fourth century the increased Germanic pressure forced the Romans to abandon the linear defence concept, and the Swiss plateau was finally open to the settlement of Germanic tribes.
|
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In the Early Middle Ages, from the end of the 4th century, the western extent of modern-day Switzerland was part of the territory of the Kings of the Burgundians. The Alemanni settled the Swiss plateau in the 5th century and the valleys of the Alps in the 8th century, forming Alemannia. Modern-day Switzerland was therefore then divided between the kingdoms of Alemannia and Burgundy.[29] The entire region became part of the expanding Frankish Empire in the 6th century, following Clovis I's victory over the Alemanni at Tolbiac in 504 AD, and later Frankish domination of the Burgundians.[31][32]
|
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Throughout the rest of the 6th, 7th and 8th centuries the Swiss regions continued under Frankish hegemony (Merovingian and Carolingian dynasties). But after its extension under Charlemagne, the Frankish Empire was divided by the Treaty of Verdun in 843.[29] The territories of present-day Switzerland became divided into Middle Francia and East Francia until they were reunified under the Holy Roman Empire around 1000 AD.[29]
|
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|
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By 1200, the Swiss plateau comprised the dominions of the houses of Savoy, Zähringer, Habsburg, and Kyburg.[29] Some regions (Uri, Schwyz, Unterwalden, later known as Waldstätten) were accorded the Imperial immediacy to grant the empire direct control over the mountain passes. With the extinction of its male line in 1263 the Kyburg dynasty fell in AD 1264; then the Habsburgs under King Rudolph I (Holy Roman Emperor in 1273) laid claim to the Kyburg lands and annexed them extending their territory to the eastern Swiss plateau.[31]
|
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|
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A female who died in about 200 BC was found buried in a carved tree trunk during a construction project at the Kern school complex in March 2017 in Aussersihl. Archaeologists revealed that she was approximately 40 years old when she died and likely carried out little physical labor when she was alive. A sheepskin coat, a belt chain, a fancy wool dress, a scarf and a pendant made of glass and amber beads were also discovered with the woman.[33][34][35][36][37]
|
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|
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The Old Swiss Confederacy was an alliance among the valley communities of the central Alps. The Confederacy, governed by nobles and patricians of various cantons, facilitated management of common interests and ensured peace on the important mountain trade routes. The Federal Charter of 1291 agreed between the rural communes of Uri, Schwyz, and Unterwalden is considered the confederacy's founding document, even though similar alliances are likely to have existed decades earlier.[38][39]
|
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|
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By 1353, the three original cantons had joined with the cantons of Glarus and Zug and the Lucerne, Zürich and Bern city states to form the "Old Confederacy" of eight states that existed until the end of the 15th century. The expansion led to increased power and wealth for the confederation.[39] By 1460, the confederates controlled most of the territory south and west of the Rhine to the Alps and the Jura mountains, particularly after victories against the Habsburgs (Battle of Sempach, Battle of Näfels), over Charles the Bold of Burgundy during the 1470s, and the success of the Swiss mercenaries. The Swiss victory in the Swabian War against the Swabian League of Emperor Maximilian I in 1499 amounted to de facto independence within the Holy Roman Empire.[39] In 1501, Basel and Schaffhausen joined the Old Swiss Confederacy.
|
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|
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The Old Swiss Confederacy had acquired a reputation of invincibility during these earlier wars, but expansion of the confederation suffered a setback in 1515 with the Swiss defeat in the Battle of Marignano. This ended the so-called "heroic" epoch of Swiss history.[39] The success of Zwingli's Reformation in some cantons led to inter-cantonal religious conflicts in 1529 and 1531 (Wars of Kappel). It was not until more than one hundred years after these internal wars that, in 1648, under the Peace of Westphalia, European countries recognised Switzerland's independence from the Holy Roman Empire and its neutrality.[31][32]
|
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|
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During the Early Modern period of Swiss history, the growing authoritarianism of the patriciate families combined with a financial crisis in the wake of the Thirty Years' War led to the Swiss peasant war of 1653. In the background to this struggle, the conflict between Catholic and Protestant cantons persisted, erupting in further violence at the First War of Villmergen, in 1656, and the Toggenburg War (or Second War of Villmergen), in 1712.[39]
|
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|
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In 1798, the revolutionary French government conquered Switzerland and imposed a new unified constitution.[39] This centralised the government of the country, effectively abolishing the cantons: moreover, Mülhausen joined France and the Valtellina valley became part of the Cisalpine Republic, separating from Switzerland. The new regime, known as the Helvetic Republic, was highly unpopular. It had been imposed by a foreign invading army and destroyed centuries of tradition, making Switzerland nothing more than a French satellite state. The fierce French suppression of the Nidwalden Revolt in September 1798 was an example of the oppressive presence of the French Army and the local population's resistance to the occupation.
|
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|
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When war broke out between France and its rivals, Russian and Austrian forces invaded Switzerland. The Swiss refused to fight alongside the French in the name of the Helvetic Republic. In 1803 Napoleon organised a meeting of the leading Swiss politicians from both sides in Paris. The result was the Act of Mediation which largely restored Swiss autonomy and introduced a Confederation of 19 cantons.[39] Henceforth, much of Swiss politics would concern balancing the cantons' tradition of self-rule with the need for a central government.
|
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|
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In 1815 the Congress of Vienna fully re-established Swiss independence and the European powers agreed to permanently recognise Swiss neutrality.[31][32][39] Swiss troops still served foreign governments until 1860 when they fought in the Siege of Gaeta. The treaty also allowed Switzerland to increase its territory, with the admission of the cantons of Valais, Neuchâtel and Geneva. Switzerland's borders have not changed since, except for some minor adjustments.[40]
|
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|
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The restoration of power to the patriciate was only temporary. After a period of unrest with repeated violent clashes, such as the Züriputsch of 1839, civil war (the Sonderbundskrieg) broke out in 1847 when some Catholic cantons tried to set up a separate alliance (the Sonderbund).[39] The war lasted for less than a month, causing fewer than 100 casualties, most of which were through friendly fire. Yet however minor the Sonderbundskrieg appears compared with other European riots and wars in the 19th century, it nevertheless had a major impact on both the psychology and the society of the Swiss and of Switzerland.
|
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|
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The war convinced most Swiss of the need for unity and strength towards its European neighbours. Swiss people from all strata of society, whether Catholic or Protestant, from the liberal or conservative current, realised that the cantons would profit more if their economic and religious interests were merged.
|
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|
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Thus, while the rest of Europe saw revolutionary uprisings, the Swiss drew up a constitution which provided for a federal layout, much of it inspired by the American example. This constitution provided for a central authority while leaving the cantons the right to self-government on local issues. Giving credit to those who favoured the power of the cantons (the Sonderbund Kantone), the national assembly was divided between an upper house (the Council of States, two representatives per canton) and a lower house (the National Council, with representatives elected from across the country). Referendums were made mandatory for any amendment of this constitution.[32] This new constitution also brought a legal end to nobility in Switzerland.[41]
|
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|
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A system of single weights and measures was introduced and in 1850 the Swiss franc became the Swiss single currency. Article 11 of the constitution forbade sending troops to serve abroad, with the exception of serving the Holy See, though the Swiss were still obliged to serve Francis II of the Two Sicilies with Swiss Guards present at the Siege of Gaeta in 1860, marking the end of foreign service.
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An important clause of the constitution was that it could be re-written completely if this was deemed necessary, thus enabling it to evolve as a whole rather than being modified one amendment at a time.[42]
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This need soon proved itself when the rise in population and the Industrial Revolution that followed led to calls to modify the constitution accordingly. An early draft was rejected by the population in 1872 but modifications led to its acceptance in 1874.[39] It introduced the facultative referendum for laws at the federal level. It also established federal responsibility for defence, trade, and legal matters.
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In 1891, the constitution was revised with unusually strong elements of direct democracy, which remain unique even today.[39]
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Switzerland was not invaded during either of the world wars. During World War I, Switzerland was home to Vladimir Illych Ulyanov (Vladimir Lenin) and he remained there until 1917.[43] Swiss neutrality was seriously questioned by the Grimm–Hoffmann Affair in 1917, but it was short-lived. In 1920, Switzerland joined the League of Nations, which was based in Geneva, on condition that it was exempt from any military requirements.
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During World War II, detailed invasion plans were drawn up by the Germans,[44] but Switzerland was never attacked.[39] Switzerland was able to remain independent through a combination of military deterrence, concessions to Germany, and good fortune as larger events during the war delayed an invasion.[32][45] Under General Henri Guisan, appointed the commander-in-chief for the duration of the war, a general mobilisation of the armed forces was ordered. The Swiss military strategy was changed from one of static defence at the borders to protect the economic heartland, to one of organised long-term attrition and withdrawal to strong, well-stockpiled positions high in the Alps known as the Reduit. Switzerland was an important base for espionage by both sides in the conflict and often mediated communications between the Axis and Allied powers.[45]
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Switzerland's trade was blockaded by both the Allies and by the Axis. Economic cooperation and extension of credit to the Third Reich varied according to the perceived likelihood of invasion and the availability of other trading partners. Concessions reached a peak after a crucial rail link through Vichy France was severed in 1942, leaving Switzerland (together with Liechtenstein) entirely isolated from the wider world by Axis controlled territory. Over the course of the war, Switzerland interned over 300,000 refugees[46] and the International Red Cross, based in Geneva, played an important part during the conflict. Strict immigration and asylum policies as well as the financial relationships with Nazi Germany raised controversy, but not until the end of the 20th century.[47]
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During the war, the Swiss Air Force engaged aircraft of both sides, shooting down 11 intruding Luftwaffe planes in May and June 1940, then forcing down other intruders after a change of policy following threats from Germany. Over 100 Allied bombers and their crews were interned during the war. Between 1940 and 1945, Switzerland was bombed by the Allies causing fatalities and property damage.[45] Among the cities and towns bombed were Basel, Brusio, Chiasso, Cornol, Geneva, Koblenz, Niederweningen, Rafz, Renens, Samedan, Schaffhausen, Stein am Rhein, Tägerwilen, Thayngen, Vals, and Zürich. Allied forces explained the bombings, which violated the 96th Article of War, resulted from navigation errors, equipment failure, weather conditions, and errors made by bomber pilots. The Swiss expressed fear and concern that the bombings were intended to put pressure on Switzerland to end economic cooperation and neutrality with Nazi Germany.[48] Court-martial proceedings took place in England and the U.S. Government paid 62,176,433.06 in Swiss francs for reparations of the bombings.
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Switzerland's attitude towards refugees was complicated and controversial; over the course of the war it admitted as many as 300,000 refugees[46] while refusing tens of thousands more,[49] including Jews who were severely persecuted by the Nazis.
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After the war, the Swiss government exported credits through the charitable fund known as the Schweizerspende and also donated to the Marshall Plan to help Europe's recovery, efforts that ultimately benefited the Swiss economy.[50]
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During the Cold War, Swiss authorities considered the construction of a Swiss nuclear bomb.[51] Leading nuclear physicists at the Federal Institute of Technology Zürich such as Paul Scherrer made this a realistic possibility. In 1988, the Paul Scherrer Institute was founded in his name to explore the therapeutic uses of neutron scattering technologies. Financial problems with the defence budget and ethical considerations prevented the substantial funds from being allocated, and the Nuclear Non-Proliferation Treaty of 1968 was seen as a valid alternative. All remaining plans for building nuclear weapons were dropped by 1988.[52]
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Switzerland was the last Western republic to grant women the right to vote. Some Swiss cantons approved this in 1959, while at the federal level it was achieved in 1971[39][53] and, after resistance, in the last canton Appenzell Innerrhoden (one of only two remaining Landsgemeinde, along with Glarus) in 1990. After obtaining suffrage at the federal level, women quickly rose in political significance, with the first woman on the seven member Federal Council executive being Elisabeth Kopp, who served from 1984 to 1989,[39] and the first female president being Ruth Dreifuss in 1999.
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Switzerland joined the Council of Europe in 1963.[32] In 1979 areas from the canton of Bern attained independence from the Bernese, forming the new canton of Jura. On 18 April 1999 the Swiss population and the cantons voted in favour of a completely revised federal constitution.[39]
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In 2002 Switzerland became a full member of the United Nations, leaving the Vatican City as the last widely recognised state without full UN membership. Switzerland is a founding member of the EFTA, but is not a member of the European Economic Area. An application for membership in the European Union was sent in May 1992, but not advanced since the EEA was rejected in December 1992[39] when Switzerland was the only country to launch a referendum on the EEA. There have since been several referendums on the EU issue; due to opposition from the citizens, the membership application has been withdrawn. Nonetheless, Swiss law is gradually being adjusted to conform with that of the EU, and the government has signed a number of bilateral agreements with the European Union. Switzerland, together with Liechtenstein, has been completely surrounded by the EU since Austria's entry in 1995. On 5 June 2005, Swiss voters agreed by a 55% majority to join the Schengen treaty, a result that was regarded by EU commentators as a sign of support by Switzerland, a country that is traditionally perceived as independent and reluctant to enter supranational bodies.[32]
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Extending across the north and south side of the Alps in west-central Europe, Switzerland encompasses a great diversity of landscapes and climates on a limited area of 41,285 square kilometres (15,940 sq mi).[54] The population is about 8 million, resulting in an average population density of around 195 people per square kilometre (500/sq mi).[54][55] The more mountainous southern half of the country is far more sparsely populated than the northern half.[54] In the largest Canton of Graubünden, lying entirely in the Alps, population density falls to 27 /km² (70 /sq mi).[56]
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Switzerland lies between latitudes 45° and 48° N, and longitudes 5° and 11° E. It contains three basic topographical areas: the Swiss Alps to the south, the Swiss Plateau or Central Plateau, and the Jura mountains on the west. The Alps are a high mountain range running across the central-south of the country, constituting about 60% of the country's total area. The majority of the Swiss population live in the Swiss Plateau. Among the high valleys of the Swiss Alps many glaciers are found, totalling an area of 1,063 square kilometres (410 sq mi). From these originate the headwaters of several major rivers, such as the Rhine, Inn, Ticino and Rhône, which flow in the four cardinal directions into the whole of Europe. The hydrographic network includes several of the largest bodies of freshwater in Central and Western Europe, among which are included Lake Geneva (also called le Lac Léman in French), Lake Constance (known as Bodensee in German) and Lake Maggiore. Switzerland has more than 1500 lakes, and contains 6% of Europe's stock of fresh water. Lakes and glaciers cover about 6% of the national territory. The largest lake is Lake Geneva, in western Switzerland shared with France. The Rhône is both the main source and outflow of Lake Geneva. Lake Constance is the second largest Swiss lake and, like the Lake Geneva, an intermediate step by the Rhine at the border to Austria and Germany. While the Rhône flows into the Mediterranean Sea at the French Camargue region and the Rhine flows into the North Sea at Rotterdam in the Netherlands, about 1,000 kilometres (620 miles) apart, both springs are only about 22 kilometres (14 miles) apart from each other in the Swiss Alps.[54][57]
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Forty-eight of Switzerland's mountains are 4,000 metres (13,000 ft) above sea in altitude or higher.[54] At 4,634 m (15,203 ft), Monte Rosa is the highest, although the Matterhorn (4,478 m or 14,692 ft) is often regarded as the most famous. Both are located within the Pennine Alps in the canton of Valais, on the border with Italy. The section of the Bernese Alps above the deep glacial Lauterbrunnen valley, containing 72 waterfalls, is well known for the Jungfrau (4,158 m or 13,642 ft) Eiger and Mönch, and the many picturesque valleys in the region. In the southeast the long Engadin Valley, encompassing the St. Moritz area in canton of Graubünden, is also well known; the highest peak in the neighbouring Bernina Alps is Piz Bernina (4,049 m or 13,284 ft).[54]
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The more populous northern part of the country, constituting about 30% of the country's total area, is called the Swiss Plateau. It has greater open and hilly landscapes, partly forested, partly open pastures, usually with grazing herds, or vegetables and fruit fields, but it is still hilly. There are large lakes found here and the biggest Swiss cities are in this area of the country.[54]
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Within Switzerland there are two small enclaves: Büsingen belongs to Germany, Campione d'Italia belongs to Italy.[58] Switzerland has no exclaves in other countries.
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The Swiss climate is generally temperate, but can vary greatly between the localities,[59] from glacial conditions on the mountaintops to the often pleasant near Mediterranean climate at Switzerland's southern tip. There are some valley areas in the southern part of Switzerland where some cold-hardy palm trees are found. Summers tend to be warm and humid at times with periodic rainfall so they are ideal for pastures and grazing. The less humid winters in the mountains may see long intervals of stable conditions for weeks, while the lower lands tend to suffer from inversion, during these periods, thus seeing no sun for weeks.
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A weather phenomenon known as the föhn (with an identical effect to the chinook wind) can occur at all times of the year and is characterised by an unexpectedly warm wind, bringing air of very low relative humidity to the north of the Alps during rainfall periods on the southern face of the Alps. This works both ways across the alps but is more efficient if blowing from the south due to the steeper step for oncoming wind from the south. Valleys running south to north trigger the best effect.
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The driest conditions persist in all inner alpine valleys that receive less rain because arriving clouds lose a lot of their content while crossing the mountains before reaching these areas. Large alpine areas such as Graubünden remain drier than pre-alpine areas and as in the main valley of the Valais wine grapes are grown there.[60]
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The wettest conditions persist in the high Alps and in the Ticino canton which has much sun yet heavy bursts of rain from time to time.[60] Precipitation tends to be spread moderately throughout the year with a peak in summer. Autumn is the driest season, winter receives less precipitation than summer, yet the weather patterns in Switzerland are not in a stable climate system and can be variable from year to year with no strict and predictable periods.
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Switzerland's ecosystems can be particularly fragile, because the many delicate valleys separated by high mountains often form unique ecologies. The mountainous regions themselves are also vulnerable, with a rich range of plants not found at other altitudes, and experience some pressure from visitors and grazing. The climatic, geological and topographical conditions of the alpine region make for a very fragile ecosystem that is particularly sensitive to climate change.[59][62] Nevertheless, according to the 2014 Environmental Performance Index, Switzerland ranks first among 132 nations in safeguarding the environment, due to its high scores on environmental public health, its heavy reliance on renewable sources of energy (hydropower and geothermal energy), and its control of greenhouse gas emissions.[63]
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However, access to biocapacity in Switzerland is far lower than world average. In 2016, Switzerland had 1.0 global hectares[64] of biocapacity per person within its territory, 40 percent less than world average of 1.6 global hectares per person. In contrast, in 2016, they used 4.6 global hectares of biocapacity - their ecological footprint of consumption. This means they used about 4.6 times as much biocapacity as Switzerland contains. The remainder comes from imports and overusing the global commons (such as the atmosphere through greenhouse gas emissions). As a result, Switzerland is running a biocapacity deficit.[64]
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The Federal Constitution adopted in 1848 is the legal foundation of the modern federal state.[65] A new Swiss Constitution was adopted in 1999, but did not introduce notable changes to the federal structure. It outlines basic and political rights of individuals and citizen participation in public affairs, divides the powers between the Confederation and the cantons and defines federal jurisdiction and authority. There are three main governing bodies on the federal level:[66] the bicameral parliament (legislative), the Federal Council (executive) and the Federal Court (judicial).
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The Swiss Parliament consists of two houses: the Council of States which has 46 representatives (two from each canton and one from each half-canton) who are elected under a system determined by each canton, and the National Council, which consists of 200 members who are elected under a system of proportional representation, depending on the population of each canton. Members of both houses serve for 4 years and only serve as members of parliament part-time (so-called Milizsystem or citizen legislature).[67] When both houses are in joint session, they are known collectively as the Federal Assembly. Through referendums, citizens may challenge any law passed by parliament and through initiatives, introduce amendments to the federal constitution, thus making Switzerland a direct democracy.[65]
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The Federal Council constitutes the federal government, directs the federal administration and serves as collective Head of State. It is a collegial body of seven members, elected for a four-year mandate by the Federal Assembly which also exercises oversight over the Council. The President of the Confederation is elected by the Assembly from among the seven members, traditionally in rotation and for a one-year term; the President chairs the government and assumes representative functions. However, the president is a primus inter pares with no additional powers, and remains the head of a department within the administration.[65]
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The Swiss government has been a coalition of the four major political parties since 1959, each party having a number of seats that roughly reflects its share of electorate and representation in the federal parliament.
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The classic distribution of 2 CVP/PDC, 2 SPS/PSS, 2 FDP/PRD and 1 SVP/UDC as it stood from 1959 to 2003 was known as the "magic formula". Following the 2015 Federal Council elections, the seven seats in the Federal Council were distributed as follows:
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The function of the Federal Supreme Court is to hear appeals against rulings of cantonal or federal courts. The judges are elected by the Federal Assembly for six-year terms.[68]
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Direct democracy and federalism are hallmarks of the Swiss political system.[69] Swiss citizens are subject to three legal jurisdictions: the municipality, canton and federal levels. The 1848 and 1999 Swiss Constitutions define a system of direct democracy (sometimes called half-direct or representative direct democracy because it is aided by the more commonplace institutions of a representative democracy). The instruments of this system at the federal level, known as popular rights (German: Volksrechte, French: droits populaires, Italian: diritti popolari),[70] include the right to submit a federal initiative and a referendum, both of which may overturn parliamentary decisions.[65][71]
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By calling a federal referendum, a group of citizens may challenge a law passed by parliament, if they gather 50,000 signatures against the law within 100 days. If so, a national vote is scheduled where voters decide by a simple majority whether to accept or reject the law. Any 8 cantons together can also call a constitutional referendum on a federal law.[65]
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Similarly, the federal constitutional initiative allows citizens to put a constitutional amendment to a national vote, if 100,000 voters sign the proposed amendment within 18 months.[note 8] The Federal Council and the Federal Assembly can supplement the proposed amendment with a counter-proposal, and then voters must indicate a preference on the ballot in case both proposals are accepted. Constitutional amendments, whether introduced by initiative or in parliament, must be accepted by a double majority of the national popular vote and the cantonal popular votes.[note 9][69]
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The Swiss Confederation consists of 26 cantons:[65][72]
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*These cantons are known as half-cantons.
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The cantons are federated states, have a permanent constitutional status and, in comparison with the situation in other countries, a high degree of independence. Under the Federal Constitution, all 26 cantons are equal in status, except that 6 (referred to often as the half-cantons) are represented by only one councillor (instead of two) in the Council of States and have only half a cantonal vote with respect to the required cantonal majority in referendums on constitutional amendments. Each canton has its own constitution, and its own parliament, government, police and courts.[72] However, there are considerable differences between the individual cantons, most particularly in terms of population and geographical area. Their populations vary between 16,003 (Appenzell Innerrhoden) and 1,487,969 (Zürich), and their area between 37 km2 (14 sq mi) (Basel-Stadt) and 7,105 km2 (2,743 sq mi) (Grisons).
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The cantons comprise a total of 2,222 municipalities as of 2018.
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Traditionally, Switzerland avoids alliances that might entail military, political, or direct economic action and has been neutral since the end of its expansion in 1515. Its policy of neutrality was internationally recognised at the Congress of Vienna in 1815.[73][74] Only in 2002 did Switzerland become a full member of the United Nations[73] and it was the first state to join it by referendum. Switzerland maintains diplomatic relations with almost all countries and historically has served as an intermediary between other states.[73] Switzerland is not a member of the European Union; the Swiss people have consistently rejected membership since the early 1990s.[73] However, Switzerland does participate in the Schengen Area.[75] Swiss neutrality has been questioned at times.[76][77][78][79][80]
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Many international institutions have their seats in Switzerland, in part because of its policy of neutrality. Geneva is the birthplace of the Red Cross and Red Crescent Movement, the Geneva Conventions and, since 2006, hosts the United Nations Human Rights Council. Even though Switzerland is one of the most recent countries to have joined the United Nations, the Palace of Nations in Geneva is the second biggest centre for the United Nations after New York, and Switzerland was a founding member and home to the League of Nations.
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Apart from the United Nations headquarters, the Swiss Confederation is host to many UN agencies, like the World Health Organization (WHO), the International Labour Organization (ILO), the International Telecommunication Union (ITU), the United Nations High Commissioner for Refugees (UNHCR) and about 200 other international organisations, including the World Trade Organization and the World Intellectual Property Organization.[73] The annual meetings of the World Economic Forum in Davos bring together top international business and political leaders from Switzerland and foreign countries to discuss important issues facing the world, including health and the environment. Additionally the headquarters of the Bank for International Settlements (BIS) are located in Basel since 1930.
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Furthermore, many sport federations and organisations are located throughout the country, such as the International Handball Federation in Basel, the
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International Basketball Federation in Geneva, the Union of European Football Associations (UEFA) in Nyon, the International Federation of Association Football (FIFA) and the International Ice Hockey Federation both in Zürich, the International Cycling Union in Aigle, and the International Olympic Committee in Lausanne.[82]
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The Swiss Armed Forces, including the Land Forces and the Air Force, are composed mostly of conscripts, male citizens aged from 20 to 34 (in special cases up to 50) years. Being a landlocked country, Switzerland has no navy; however, on lakes bordering neighbouring countries, armed military patrol boats are used. Swiss citizens are prohibited from serving in foreign armies, except for the Swiss Guards of the Vatican, or if they are dual citizens of a foreign country and reside there.
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The structure of the Swiss militia system stipulates that the soldiers keep their Army issued equipment, including all personal weapons, at home. Some organisations and political parties find this practice controversial.[83] Women can serve voluntarily. Men usually receive military conscription orders for training at the age of 18.[84] About two thirds of the young Swiss are found suited for service; for those found unsuited, various forms of alternative service exist.[85] Annually, approximately 20,000 persons are trained in recruit centres for a duration from 18 to 21 weeks. The reform "Army XXI" was adopted by popular vote in 2003, it replaced the previous model "Army 95", reducing the effectives from 400,000 to about 200,000. Of those, 120,000 are active in periodic Army training and 80,000 are non-training reserves.[86]
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Overall, three general mobilisations have been declared to ensure the integrity and neutrality of Switzerland. The first one was held on the occasion of the Franco-Prussian War of 1870–71. The second was in response to the outbreak of the First World War in August 1914. The third mobilisation of the army took place in September 1939 in response to the German attack on Poland; Henri Guisan was elected as the General-in-Chief.
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Because of its neutrality policy, the Swiss army does not currently take part in armed conflicts in other countries, but is part of some peacekeeping missions around the world. Since 2000 the armed force department has also maintained the Onyx intelligence gathering system to monitor satellite communications.[87] Switzerland decided not to sign the Nuclear Weapon Ban Treaty.[88]
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Following the end of the Cold War there have been a number of attempts to curb military activity or even abolish the armed forces altogether. A notable referendum on the subject, launched by an anti-militarist group, was held on 26 November 1989. It was defeated with about two thirds of the voters against the proposal.[89][90] A similar referendum, called for before, but held shortly after the 11 September attacks in the US, was defeated by over 78% of voters.[91]
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Gun politics in Switzerland are unique in Europe in that 29% of citizens are legally armed. The large majority of firearms kept at home are issued by the Swiss army, but ammunition is no longer issued.[92][93]
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Until 1848 the rather loosely coupled Confederation did not know a central political organisation, but representatives, mayors, and Landammänner met several times a year at the capital of the Lieu presiding the Confederal Diet for one year.
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Until 1500 the legates met most of the time in Lucerne, but also in Zürich, Baden, Bern, Schwyz etc., but sometimes also at places outside of the confederation, such as Constance. From the Swabian War in 1499 onwards until Reformation, most conferences met in Zurich. Afterwards the town hall at Baden, where the annual accounts of the common people had been held regularly since 1426, became the most frequent, but not the sole place of assembly. After 1712 Frauenfeld gradually dissolved Baden. From 1526, the Catholic conferences were held mostly in Lucerne, the Protestant conferences from 1528 mostly in Aarau, the one for the legitimation of the French Ambassador in Solothurn. At the same time the syndicate for the Ennetbirgischen Vogteien located in the present Ticino met from 1513 in Lugano and Locarno.[94]
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After the Helvetic Republic and during the Mediation from 1803 until 1815 the Confederal Diet of the 19 Lieus met at the capitals of the directoral cantons Fribourg, Berne, Basel, Zurich, Lucerne and Solothurn.[94]
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After the Long Diet from 6 April 1814 to 31 August 1815 took place in Zurich to replace the constitution and the enhancement of the Confederation to 22 cantons by the admission of the cantons of Valais, Neuchâtel and Geneva to full members, the directoral cantons of Lucerne, Zurich and Berne took over the diet in two-year turns.[94]
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In 1848, the federal constitution provided that details concerning the federal institutions, such as their locations, should be taken care of by the Federal Assembly (BV 1848 Art. 108). Thus on 28 November 1848, the Federal Assembly voted in majority to locate the seat of government in Berne. And, as a prototypical federal compromise, to assign other federal institutions, such as the Federal Polytechnical School (1854, the later ETH) to Zurich, and other institutions to Lucerne, such as the later SUVA (1912) and the Federal Insurance Court (1917). In 1875, a law (RS 112) fixed the compensations owed by the city of Bern for the federal seat.[1] According to these living fundamental federalistic feelings further federal institutions were subsequently attributed to Lausanne (Federal Supreme Court in 1872, and EPFL in 1969), Bellinzona (Federal Criminal Court, 2004), and St. Gallen (Federal Administrative Court and Federal Patent Court, 2012).
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The 1999 new constitution, however, does not contain anything concerning any Federal City. In 2002 a tripartite committee has been asked by the Swiss Federal Council to prepare the "creation of a federal law on the status of Bern as a Federal City", and to evaluate the positive and negative aspects for the city and the canton of Bern if this status were awarded. After a first report the work of this committee was suspended in 2004 by the Swiss Federal Council, and work on this subject has not resumed since.[95]
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Thus as of today, no city in Switzerland has the official status either of capital or of Federal City, nevertheless Berne is commonly referred to as "Federal City" (German: Bundesstadt, French: ville fédérale, Italian: città federale).
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Switzerland has a stable, prosperous and high-tech economy and enjoys great wealth, being ranked as the wealthiest country in the world per capita in multiple rankings, while at the same time being one the least corrupt countries in the world.[97][98][99] It has the world's twentieth largest economy by nominal GDP and the thirty-eighth largest by purchasing power parity. It is the seventeenth largest exporter. Zürich and Geneva are regarded as global cities, ranked as Alpha and Beta respectively. Switzerland has the highest European rating in the Index of Economic Freedom 2010, while also providing large coverage through public services.[100] The nominal per capita GDP is higher than those of the larger Western and Central European economies and Japan.[101] In terms of GDP per capita adjusted for purchasing power, Switzerland was ranked 5th in the world in 2018 by World Bank[102] and estimated at 9th by the IMF in 2020[103], as well as 11th by the CIA World Factbook in 2017[104].
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The World Economic Forum's Global Competitiveness Report currently ranks Switzerland's economy as the most competitive in the world,[106] while ranked by the European Union as Europe's most innovative country.[107][108] It is a relatively easy place to do business, currently ranking 20th of 189 countries in the Ease of Doing Business Index. The slow growth Switzerland experienced in the 1990s and the early 2000s has brought greater support for economic reforms and harmonisation with the European Union.[109][110]
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For much of the 20th century, Switzerland was the wealthiest country in Europe by a considerable margin (by GDP – per capita).[111] Switzerland also has one of the world's largest account balances as a percentage of GDP.[112] In 2018, the canton of Basel-City had the highest GDP per capita in the country, ahead of the cantons of Zug and Geneva.[113] According to Credit Suisse, only about 37% of residents own their own homes, one of the lowest rates of home ownership in Europe. Housing and food price levels were 171% and 145% of the EU-25 index in 2007, compared to 113% and 104% in Germany.[114]
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Origin of the capital at the 30 biggest Swiss corporations, 2018[115]
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Switzerland is home to several large multinational corporations. The largest Swiss companies by revenue are Glencore, Gunvor, Nestlé, Novartis, Hoffmann-La Roche, ABB, Mercuria Energy Group and Adecco.[116] Also, notable are UBS AG, Zurich Financial Services, Credit Suisse, Barry Callebaut, Swiss Re, Tetra Pak, The Swatch Group and Swiss International Air Lines. Switzerland is ranked as having one of the most powerful economies in the world.[111]
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Switzerland's most important economic sector is manufacturing. Manufacturing consists largely of the production of specialist chemicals, health and pharmaceutical goods, scientific and precision measuring instruments and musical instruments. The largest exported goods are chemicals (34% of exported goods), machines/electronics (20.9%), and precision instruments/watches (16.9%).[114] Exported services amount to a third of exports.[114] The service sector – especially banking and insurance, tourism, and international organisations – is another important industry for Switzerland.
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Agricultural protectionism—a rare exception to Switzerland's free trade policies—has contributed to high food prices. Product market liberalisation is lagging behind many EU countries according to the OECD.[109] Nevertheless, domestic purchasing power is one of the best in the world.[117][118][119] Apart from agriculture, economic and trade barriers between the European Union and Switzerland are minimal and Switzerland has free trade agreements worldwide. Switzerland is a member of the European Free Trade Association (EFTA).
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Switzerland has an overwhelmingly private sector economy and low tax rates by Western World standards; overall taxation is one of the smallest of developed countries. The Swiss Federal budget had a size of 62.8 billion Swiss francs in 2010, which is an equivalent 11.35% of the country's GDP in that year; however, the regional (canton) budgets and the budgets of the municipalities are not counted as part of the federal budget and the total rate of government spending is closer to 33.8% of GDP. The main sources of income for the federal government are the value-added tax (33%) and the direct federal tax (29%) and the main expenditure is located in the areas of social welfare and finance & tax. The expenditures of the Swiss Confederation have been growing from 7% of GDP in 1960 to 9.7% in 1990 and to 10.7% in 2010. While the sectors social welfare and finance & tax have been growing from 35% in 1990 to 48.2% in 2010, a significant reduction of expenditures has been occurring in the sectors of agriculture and national defence; from 26.5% in to 12.4% (estimation for the year 2015).[120][121]
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Slightly more than 5 million people work in Switzerland;[122] about 25% of employees belonged to a trade union in 2004.[123] Switzerland has a more flexible job market than neighbouring countries and the unemployment rate is very low. The unemployment rate increased from a low of 1.7% in June 2000 to a peak of 4.4% in December 2009.[124] The unemployment rate decreased to 3.2% in 2014 and held steady at that level for several years,[125] before further dropping to 2.5% in 2018 and 2.3% in 2019.[126] Population growth from net immigration is quite high, at 0.52% of population in 2004, increased in the following years before falling to 0.54% again in 2017.[114][127] The foreign citizen population was 28.9% in 2015, about the same as in Australia. GDP per hour worked is the world's 16th highest, at 49.46 international dollars in 2012.[128]
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In 2016, median monthly gross salary in Switzerland was 6,502 francs per month (equivalent to US$6,597 per month), is just enough to cover the high cost of living. After rent, taxes and social security contributions, plus spending on goods and services, the average household has about 15% of its gross income left for savings. Though 61% of the population made less than the average income, income inequality is relatively low with a Gini coefficient of 29.7, placing Switzerland among the top 20 countries for income equality.
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About 8.2% of the population live below the national poverty line, defined in Switzerland as earning less than CHF3,990 per month for a household of two adults and two children, and a further 15% are at risk of poverty. Single-parent families, those with no post-compulsory education and those who are out of work are among the most likely to be living below the poverty line. Although getting a job is considered a way out of poverty, among the gainfully employed, some 4.3% are considered working poor. One in ten jobs in Switzerland is considered low-paid and roughly 12% of Swiss workers hold such jobs, many of them women and foreigners.
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Education in Switzerland is very diverse because the constitution of Switzerland delegates the authority for the school system to the cantons.[129] There are both public and private schools, including many private international schools. The minimum age for primary school is about six years in all cantons, but most cantons provide a free "children's school" starting at four or five years old.[129] Primary school continues until grade four, five or six, depending on the school. Traditionally, the first foreign language in school was always one of the other national languages, although recently (2000) English was introduced first in a few cantons.[129]
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At the end of primary school (or at the beginning of secondary school), pupils are separated according to their capacities in several (often three) sections. The fastest learners are taught advanced classes to be prepared for further studies and the matura,[129] while students who assimilate a little more slowly receive an education more adapted to their needs.
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There are 12 universities in Switzerland, ten of which are maintained at cantonal level and usually offer a range of non-technical subjects. The first university in Switzerland was founded in 1460 in Basel (with a faculty of medicine) and has a tradition of chemical and medical research in Switzerland. It is listed 87th on the 2019 Academic Ranking of World Universities.[130] The largest university in Switzerland is the University of Zurich with nearly 25,000 students.[citation needed]The Swiss Federal Institute of Technology Zurich (ETHZ) and the University of Zurich are listed 20th and 54th respectively, on the 2015 Academic Ranking of World Universities.[131][132][133]
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The two institutes sponsored by the federal government are the Swiss Federal Institute of Technology Zurich (ETHZ) in Zürich, founded 1855 and the EPFL in Lausanne, founded 1969 as such, which was formerly an institute associated with the University of Lausanne.[note 10][134][135]
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In addition, there are various Universities of Applied Sciences. In business and management studies, the University of St. Gallen, (HSG) is ranked 329th in the world according to QS World University Rankings[136] and the International Institute for Management Development (IMD), was ranked first in open programmes worldwide by the Financial Times.[137] Switzerland has the second highest rate (almost 18% in 2003) of foreign students in tertiary education, after Australia (slightly over 18%).[138][139]
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As might befit a country that plays home to innumerable international organisations, the Graduate Institute of International and Development Studies, located in Geneva, is not only continental Europe's oldest graduate school of international and development studies, but also widely believed to be one of its most prestigious.[140][141]
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Many Nobel Prize laureates have been Swiss scientists. They include the world-famous physicist Albert Einstein[142] in the field of physics, who developed his special relativity while working in Bern. More recently Vladimir Prelog, Heinrich Rohrer, Richard Ernst, Edmond Fischer, Rolf Zinkernagel, Kurt Wüthrich and Jacques Dubochet received Nobel Prizes in the sciences. In total, 114 Nobel Prize winners in all fields stand in relation to Switzerland[143][note 11] and the Nobel Peace Prize has been awarded nine times to organisations residing in Switzerland.[144]
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Geneva and the nearby French department of Ain co-host the world's largest laboratory, CERN,[146] dedicated to particle physics research. Another important research centre is the Paul Scherrer Institute. Notable inventions include lysergic acid diethylamide (LSD), diazepam (Valium), the scanning tunnelling microscope (Nobel prize) and Velcro. Some technologies enabled the exploration of new worlds such as the pressurised balloon of Auguste Piccard and the Bathyscaphe which permitted Jacques Piccard to reach the deepest point of the world's oceans.
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Switzerland Space Agency, the Swiss Space Office, has been involved in various space technologies and programmes. In addition it was one of the 10 founders of the European Space Agency in 1975 and is the seventh largest contributor to the ESA budget. In the private sector, several companies are implicated in the space industry such as Oerlikon Space[147] or Maxon Motors[148] who provide spacecraft structures.
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Switzerland voted against membership in the European Economic Area in a referendum in December 1992 and has since maintained and developed its relationships with the European Union (EU) and European countries through bilateral agreements. In March 2001, the Swiss people refused in a popular vote to start accession negotiations with the EU.[149] In recent years, the Swiss have brought their economic practices largely into conformity with those of the EU in many ways, in an effort to enhance their international competitiveness. The economy grew at 3% in 2010, 1.9% in 2011, and 1% in 2012.[150] EU membership was a long-term objective of the Swiss government, but there was and remains considerable popular sentiment against membership, which is opposed by the conservative SVP party, the largest party in the National Council, and not currently supported or proposed by several other political parties. The application for membership of the EU was formally withdrawn in 2016, having long been frozen. The western French-speaking areas and the urban regions of the rest of the country tend to be more pro-EU, nonetheless with far from a significant share of the population.[151][152]
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The government has established an Integration Office under the Department of Foreign Affairs and the Department of Economic Affairs. To minimise the negative consequences of Switzerland's isolation from the rest of Europe, Bern and Brussels signed seven bilateral agreements to further liberalise trade ties. These agreements were signed in 1999 and took effect in 2001. This first series of bilateral agreements included the free movement of persons. A second series covering nine areas was signed in 2004 and has since been ratified, which includes the Schengen Treaty and the Dublin Convention besides others.[153] They continue to discuss further areas for cooperation.[154]
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In 2006, Switzerland approved 1 billion francs of supportive investment in the poorer Southern and Central European countries in support of cooperation and positive ties to the EU as a whole. A further referendum will be needed to approve 300 million francs to support Romania and Bulgaria and their recent admission. The Swiss have also been under EU and sometimes international pressure to reduce banking secrecy and to raise tax rates to parity with the EU. Preparatory discussions are being opened in four new areas: opening up the electricity market, participation in the European GNSS project Galileo, cooperating with the European centre for disease prevention and recognising certificates of origin for food products.[155]
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On 27 November 2008, the interior and justice ministers of European Union in Brussels announced Switzerland's accession to the Schengen passport-free zone from 12 December 2008. The land border checkpoints will remain in place only for goods movements, but should not run controls on people, though people entering the country had their passports checked until 29 March 2009 if they originated from a Schengen nation.[156]
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On 9 February 2014, Swiss voters narrowly approved by 50.3% a ballot initiative launched by the national conservative Swiss People's Party (SVP/UDC) to restrict immigration, and thus reintroducing a quota system on the influx of foreigners. This initiative was mostly backed by rural (57.6% approvals) and suburban agglomerations (51.2% approvals), and isolated towns (51.3% approvals) of Switzerland as well as by a strong majority (69.2% approval) in the canton of Ticino, while metropolitan centres (58.5% rejection) and the French-speaking part (58.5% rejection) of Switzerland rather rejected it.[157] Some news commentators claim that this proposal de facto contradicts the bilateral agreements on the free movement of persons from these respective countries.[158][159]
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In December 2016, a compromise with the European Union was attained effectively canceling quotas on EU citizens but still allowing for favourable treatment of Swiss-based job applicants.[160]
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Electricity generated in Switzerland is 56% from hydroelectricity and 39% from nuclear power, resulting in a nearly CO2-free electricity-generating network. On 18 May 2003, two anti-nuclear initiatives were turned down: Moratorium Plus, aimed at forbidding the building of new nuclear power plants (41.6% supported and 58.4% opposed),[161] and Electricity Without Nuclear (33.7% supported and 66.3% opposed) after a previous moratorium expired in 2000.[162] However, as a reaction to the Fukushima nuclear disaster, the Swiss government announced in 2011 that it plans to end its use of nuclear energy in the next 2 or 3 decades.[163] In November 2016, Swiss voters rejected a proposal by the Green Party to accelerate the phaseout of nuclear power (45.8% supported and 54.2% opposed).[164] The Swiss Federal Office of Energy (SFOE) is the office responsible for all questions relating to energy supply and energy use within the Federal Department of Environment, Transport, Energy and Communications (DETEC). The agency is supporting the 2000-watt society initiative to cut the nation's energy use by more than half by the year 2050.[165]
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The most dense rail network in Europe[53] of 5,250 kilometres (3,260 mi) carries over 596 million passengers annually (as of 2015).[166] In 2015, each Swiss resident travelled on average 2,550 kilometres (1,580 mi) by rail, which makes them the keenest rail users.[166] Virtually 100% of the network is electrified. The vast majority (60%) of the network is operated by the Swiss Federal Railways (SBB CFF FFS). Besides the second largest standard gauge railway company BLS AG two railways companies operating on narrow gauge networks are the Rhaetian Railway (RhB) in the southeastern canton of Graubünden, which includes some World Heritage lines,[167] and the Matterhorn Gotthard Bahn (MGB), which co-operates together with RhB the Glacier Express between Zermatt and St. Moritz/Davos. On 31 May 2016 the world's longest and deepest railway tunnel and the first flat, low-level route through the Alps, the 57.1-kilometre long (35.5 mi) Gotthard Base Tunnel, opened as the largest part of the New Railway Link through the Alps (NRLA) project after 17 years of realization. It started its daily business for passenger transport on 11 December 2016 replacing the old, mountainous, scenic route over and through the St Gotthard Massif.
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Switzerland has a publicly managed road network without road tolls that is financed by highway permits as well as vehicle and gasoline taxes. The Swiss autobahn/autoroute system requires the purchase of a vignette (toll sticker)—which costs 40 Swiss francs—for one calendar year in order to use its roadways, for both passenger cars and trucks. The Swiss autobahn/autoroute network has a total length of 1,638 km (1,018 mi) (as of 2000) and has, by an area of 41,290 km2 (15,940 sq mi), also one of the highest motorway densities in the world.[168] Zurich Airport is Switzerland's largest international flight gateway, which handled 22.8 million passengers in 2012.[169] The other international airports are Geneva Airport (13.9 million passengers in 2012),[170] EuroAirport Basel Mulhouse Freiburg which is located in France, Bern Airport, Lugano Airport, St. Gallen-Altenrhein Airport and Sion Airport. Swiss International Air Lines is the flag carrier of Switzerland. Its main hub is Zürich, but it is legally domiciled in Basel.
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Switzerland has one of the best environmental records among nations in the developed world;[171] it was one of the countries to sign the Kyoto Protocol in 1998 and ratified it in 2003. With Mexico and the Republic of Korea it forms the Environmental Integrity Group (EIG).[172] The country is heavily active in recycling and anti-littering regulations and is one of the top recyclers in the world, with 66% to 96% of recyclable materials being recycled, depending on the area of the country.[173] The 2014 Global Green Economy Index ranked Switzerland among the top 10 green economies in the world.[174]
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Switzerland developed an efficient system to recycle most recyclable materials.[175] Publicly organised collection by volunteers and economical railway transport logistics started as early as 1865 under the leadership of the notable industrialist Hans Caspar Escher (Escher Wyss AG) when the first modern Swiss paper manufacturing plant was built in Biberist.[176]
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Switzerland also has an economic system for garbage disposal, which is based mostly on recycling and energy-producing incinerators due to a strong political will to protect the environment.[177] As in other European countries, the illegal disposal of garbage is not tolerated at all and heavily fined. In almost all Swiss municipalities, stickers or dedicated garbage bags need to be purchased that allow for identification of disposable garbage.[178]
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In 2018, Switzerland's population slightly exceeded 8.5 million. In common with other developed countries, the Swiss population increased rapidly during the industrial era, quadrupling between 1800 and 1990 and has continued to grow. Like most of Europe, Switzerland faces an ageing population, albeit with consistent annual growth projected into 2035, due mostly to immigration and a fertility rate close to replacement level.[179] Switzerland subsequently has one of the oldest populations in the world, with the average age of 42.5 years.[180]
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As of 2019[update], resident foreigners make up 25.2% of the population, one of the largest proportions in the developed world.[5] Most of these (64%) were from European Union or EFTA countries.[181] Italians were the largest single group of foreigners, with 15.6% of total foreign population, followed closely by Germans (15.2%), immigrants from Portugal (12.7%), France (5.6%), Serbia (5.3%), Turkey (3.8%), Spain (3.7%), and Austria (2%). Immigrants from Sri Lanka, most of them former Tamil refugees, were the largest group among people of Asian origin (6.3%).[181]
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Additionally, the figures from 2012 show that 34.7% of the permanent resident population aged 15 or over in Switzerland (around 2.33 million), had an immigrant background. A third of this population (853,000) held Swiss citizenship. Four fifths of persons with an immigration background were themselves immigrants (first generation foreigners and native-born and naturalised Swiss citizens), whereas one fifth were born in Switzerland (second generation foreigners and native-born and naturalised Swiss citizens).[182]
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In the 2000s, domestic and international institutions expressed concern about what was perceived as an increase in xenophobia, particularly in some political campaigns. In reply to one critical report, the Federal Council noted that "racism unfortunately is present in Switzerland", but stated that the high proportion of foreign citizens in the country, as well as the generally unproblematic integration of foreigners, underlined Switzerland's openness.[183]
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Follow-up study conducted in 2018 found that 59% considered racism a serious problem in Switzerland.
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[184]
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The proportion of the population that has reported being targeted by racial discrimination has increased in recent years, from 10% in 2014 to almost 17% in 2018, according to the Federal Statistical Office. [185]
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Switzerland has four national languages: mainly German (spoken by 62.8% of the population in 2016); French (22.9%) in the west; and Italian (8.2%) in the south.[187][186] The fourth national language, Romansh (0.5%), is a Romance language spoken locally in the southeastern trilingual canton of Grisons, and is designated by Article 4 of the Federal Constitution as a national language along with German, French, and Italian, and in Article 70 as an official language if the authorities communicate with persons who speak Romansh. However, federal laws and other official acts do not need to be decreed in Romansh.
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In 2016, the languages most spoken at home among permanent residents aged 15 and older were Swiss German (59.4%), French (23.5%), Standard German (10.6%), and Italian (8.5%). Other languages spoken at home included English (5.0%), Portuguese (3.8%), Albanian (3.0%), Spanish (2.6%) and Serbian and Croatian (2.5%). 6.9% reported speaking another language at home.[188] In 2014 almost two-thirds (64.4%) of the permanent resident population indicated speaking more than one language regularly.[189]
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The federal government is obliged to communicate in the official languages, and in the federal parliament simultaneous translation is provided from and into German, French and Italian.[190]
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Aside from the official forms of their respective languages, the four linguistic regions of Switzerland also have their local dialectal forms. The role played by dialects in each linguistic region varies dramatically: in the German-speaking regions, Swiss German dialects have become ever more prevalent since the second half of the 20th century, especially in the media, such as radio and television, and are used as an everyday language for many, while the Swiss variety of Standard German is almost always used instead of dialect for written communication (c.f. diglossic usage of a language).[191] Conversely, in the French-speaking regions the local dialects have almost disappeared (only 6.3% of the population of Valais, 3.9% of Fribourg, and 3.1% of Jura still spoke dialects at the end of the 20th century), while in the Italian-speaking regions dialects are mostly limited to family settings and casual conversation.[191]
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The principal official languages (German, French, and Italian) have terms, not used outside of Switzerland, known as Helvetisms. German Helvetisms are, roughly speaking, a large group of words typical of Swiss Standard German, which do not appear either in Standard German, nor in other German dialects. These include terms from Switzerland's surrounding language cultures (German Billett[192] from French), from similar terms in another language (Italian azione used not only as act but also as discount from German Aktion).[193] The French spoken in Switzerland has similar terms, which are equally known as Helvetisms. The most frequent characteristics of Helvetisms are in vocabulary, phrases, and pronunciation, but certain Helvetisms denote themselves as special in syntax and orthography likewise. Duden, the comprehensive German dictionary, contains about 3000 Helvetisms.[193] Current French dictionaries, such as the Petit Larousse, include several hundred Helvetisms.[194]
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Learning one of the other national languages at school is compulsory for all Swiss pupils, so many Swiss are supposed to be at least bilingual, especially those belonging to linguistic minority groups.[195]
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Swiss residents are universally required to buy health insurance from private insurance companies, which in turn are required to accept every applicant. While the cost of the system is among the highest, it compares well with other European countries in terms of health outcomes; patients have been reported as being, in general, highly satisfied with it.[196][197][198] In 2012, life expectancy at birth was 80.4 years for men and 84.7 years for women[199] — the highest in the world.[200][201] However, spending on health is particularly high at 11.4% of GDP (2010), on par with Germany and France (11.6%) and other European countries, but notably less than spending in the USA (17.6%).[202] From 1990, a steady increase can be observed, reflecting the high costs of the services provided.[203] With an ageing population and new healthcare technologies, health spending will likely continue to rise.[203] Drug use is comparable to other developed countries with 14% of men and 6.5% of women between 20-24 saying they had consumed cannabis in the past 30 days[204] and 5 Swiss cities were listed among the top 10 European cities for cocaine use as measured in wastewater.[205][206]
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Between two thirds and three quarters of the population live in urban areas.[207][208] Switzerland has gone from a largely rural country to an urban one in just 70 years. Since 1935 urban development has claimed as much of the Swiss landscape as it did during the previous 2,000 years. This urban sprawl does not only affect the plateau but also the Jura and the Alpine foothills[209] and there are growing concerns about land use.[210] However, from the beginning of the 21st century, the population growth in urban areas is higher than in the countryside.[208]
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Switzerland has a dense network of towns, where large, medium and small towns are complementary.[208] The plateau is very densely populated with about 450 people per km2 and the landscape continually shows signs of human presence.[211] The weight of the largest metropolitan areas, which are Zürich, Geneva–Lausanne, Basel and Bern tend to increase.[208] In international comparison the importance of these urban areas is stronger than their number of inhabitants suggests.[208] In addition the three main centres of Zürich, Geneva and Basel are recognised for their particularly great quality of life.[212]
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Switzerland has no official state religion, though most of the cantons (except Geneva and Neuchâtel) recognise official churches, which are either the Roman Catholic Church or the Swiss Reformed Church. These churches, and in some cantons also the Old Catholic Church and Jewish congregations, are financed by official taxation of adherents.[214]
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Christianity is the predominant religion of Switzerland (about 67% of resident population in 2016-2018[3] and 75% of Swiss citizens[215]), divided between the Roman Catholic Church (35.8% of the population), the Swiss Reformed Church (23.8%), further Protestant churches (2.2%), Eastern Orthodoxy (2.5%), and other Christian denominations (2.2%).[3] Immigration has established Islam (5.3%) as a sizeable minority religion.[3]
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26.3% of Swiss permanent residents are not affiliated with any religious community (Atheism, Agnosticism, and others).[3]
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As of the 2000 census other Christian minority communities included Neo-Pietism (0.44%), Pentecostalism (0.28%, mostly incorporated in the Schweizer Pfingstmission), Methodism (0.13%), the New Apostolic Church (0.45%), Jehovah's Witnesses (0.28%), other Protestant denominations (0.20%), the Old Catholic Church (0.18%), other Christian denominations (0.20%). Non-Christian religions are Hinduism (0.38%), Buddhism (0.29%), Judaism (0.25%) and others (0.11%); 4.3% did not make a statement.[216]
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The country was historically about evenly balanced between Catholic and Protestant, with a complex patchwork of majorities over most of the country. Switzerland played an exceptional role during the Reformation as it became home to many reformers. Geneva converted to Protestantism in 1536, just before John Calvin arrived there. In 1541, he founded the Republic of Geneva on his own ideals. It became known internationally as the Protestant Rome, and housed such reformers as Theodore Beza, William Farel or Pierre Viret. Zürich became another stronghold around the same time, with Huldrych Zwingli and Heinrich Bullinger taking the lead there. Anabaptists Felix Manz and Conrad Grebel also operated there. They were later joined by the fleeing Peter Martyr Vermigli and Hans Denck. Other centres included Basel (Andreas Karlstadt and Johannes Oecolampadius), Berne (Berchtold Haller and Niklaus Manuel), and St. Gallen (Joachim Vadian). One canton, Appenzell, was officially divided into Catholic and Protestant sections in 1597. The larger cities and their cantons (Bern, Geneva, Lausanne, Zürich and Basel) used to be predominantly Protestant. Central Switzerland, the Valais, the Ticino, Appenzell Innerrhodes, the Jura, and Fribourg are traditionally Catholic. The Swiss Constitution of 1848, under the recent impression of the clashes of Catholic vs. Protestant cantons that culminated in the Sonderbundskrieg, consciously defines a consociational state, allowing the peaceful co-existence of Catholics and Protestants. A 1980 initiative calling for the complete separation of church and state was rejected by 78.9% of the voters.[217] Some traditionally Protestant cantons and cities nowadays have a slight Catholic majority, not because they were growing in members, quite the contrary, but only because since about 1970 a steadily growing minority became not affiliated with any church or other religious body (21.4% in Switzerland, 2012) especially in traditionally Protestant regions, such as Basel-City (42%), canton of Neuchâtel (38%), canton of Geneva (35%), canton of Vaud (26%), or Zürich city (city: >25%; canton: 23%).[218]
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Three of Europe's major languages are official in Switzerland. Swiss culture is characterised by diversity, which is reflected in a wide range of traditional customs.[219] A region may be in some ways strongly culturally connected to the neighbouring country that shares its language, the country itself being rooted in western European culture.[220] The linguistically isolated Romansh culture in Graubünden in eastern Switzerland constitutes an exception, it survives only in the upper valleys of the Rhine and the Inn and strives to maintain its rare linguistic tradition.
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Switzerland is home to many notable contributors to literature, art, architecture, music and sciences. In addition the country attracted a number of creative persons during time of unrest or war in Europe.[221]
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Some 1000 museums are distributed through the country; the number has more than tripled since 1950.[222] Among the most important cultural performances held annually are the Paléo Festival, Lucerne Festival,[223] the Montreux Jazz Festival,[224] the Locarno International Film Festival and the Art Basel.[225]
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Alpine symbolism has played an essential role in shaping the history of the country and the Swiss national identity.[13][226] Nowadays some concentrated mountain areas have a strong highly energetic ski resort culture in winter, and a hiking (German: das Wandern) or Mountain biking culture in summer. Other areas throughout the year have a recreational culture that caters to tourism, yet the quieter seasons are spring and autumn when there are fewer visitors. A traditional farmer and herder culture also predominates in many areas and small farms are omnipresent outside the towns. Folk art is kept alive in organisations all over the country. In Switzerland it is mostly expressed in music, dance, poetry, wood carving and embroidery. The alphorn, a trumpet-like musical instrument made of wood, has become alongside yodeling and the accordion an epitome of traditional Swiss music.[227][228]
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As the Confederation, from its foundation in 1291, was almost exclusively composed of German-speaking regions, the earliest forms of literature are in German. In the 18th century, French became the fashionable language in Bern and elsewhere, while the influence of the French-speaking allies and subject lands was more marked than before.[230]
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Among the classic authors of Swiss German literature are Jeremias Gotthelf (1797–1854) and Gottfried Keller (1819–1890). The undisputed giants of 20th-century Swiss literature are Max Frisch (1911–91) and Friedrich Dürrenmatt (1921–90), whose repertoire includes Die Physiker (The Physicists) and Das Versprechen (The Pledge), released in 2001 as a Hollywood film.[231]
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Famous French-speaking writers were Jean-Jacques Rousseau (1712–1778) and Germaine de Staël (1766–1817). More recent authors include Charles Ferdinand Ramuz (1878–1947), whose novels describe the lives of peasants and mountain dwellers, set in a harsh environment and Blaise Cendrars (born Frédéric Sauser, 1887–1961).[231] Italian and Romansh-speaking authors also contributed to the Swiss literary landscape, but generally in more modest ways given their small number.
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Probably the most famous Swiss literary creation, Heidi, the story of an orphan girl who lives with her grandfather in the Alps, is one of the most popular children's books ever and has come to be a symbol of Switzerland. Her creator, Johanna Spyri (1827–1901), wrote a number of other books on similar themes.[231]
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The freedom of the press and the right to free expression is guaranteed in the federal constitution of Switzerland.[232] The Swiss News Agency (SNA) broadcasts information around-the-clock in three of the four national languages—on politics, economics, society and culture. The SNA supplies almost all Swiss media and a couple dozen foreign media services with its news.[232]
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Switzerland has historically boasted the greatest number of newspaper titles published in proportion to its population and size.[233] The most influential newspapers are the German-language Tages-Anzeiger and Neue Zürcher Zeitung NZZ, and the French-language Le Temps, but almost every city has at least one local newspaper. The cultural diversity accounts for a variety of newspapers.[233]
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The government exerts greater control over broadcast media than print media, especially due to finance and licensing.[233] The Swiss Broadcasting Corporation, whose name was recently changed to SRG SSR, is charged with the production and broadcast of radio and television programmes. SRG SSR studios are distributed throughout the various language regions. Radio content is produced in six central and four regional studios while the television programmes are produced in Geneva, Zürich, and Lugano. An extensive cable network also allows most Swiss to access the programmes from neighbouring countries.[233]
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Skiing, snowboarding and mountaineering are among the most popular sports in Switzerland, the nature of the country being particularly suited for such activities.[234] Winter sports are practised by the natives and tourists since the second half of the 19th century with the invention of bobsleigh in St. Moritz.[235] The first world ski championships were held in Mürren (1931) and St. Moritz (1934). The latter town hosted the second Winter Olympic Games in 1928 and the fifth edition in 1948. Among the most successful skiers and world champions are Pirmin Zurbriggen and Didier Cuche.
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The most prominently watched sports in Switzerland are football, ice hockey, Alpine skiing, "Schwingen", and tennis.[236]
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The headquarters of the international football's and ice hockey's governing bodies, the International Federation of Association Football (FIFA) and International Ice Hockey Federation (IIHF), are located in Zürich. Actually many other headquarters of international sports federations are located in Switzerland. For example, the International Olympic Committee (IOC), IOC's Olympic Museum and the Court of Arbitration for Sport (CAS) are located in Lausanne.
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Switzerland hosted the 1954 FIFA World Cup, and was the joint host, with Austria, of the UEFA Euro 2008 tournament. The Swiss Super League is the nation's professional football club league. Europe's highest football pitch, at 2,000 metres (6,600 ft) above sea level, is located in Switzerland and is named the Ottmar Hitzfeld Stadium.[237]
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Many Swiss also follow ice hockey and support one of the 12 teams of the National League, which is the most attended league in Europe.[239] In 2009, Switzerland hosted the IIHF World Championship for the 10th time.[240] It also became World Vice-Champion in 2013 and 2018. The numerous lakes make Switzerland an attractive place for sailing. The largest, Lake Geneva, is the home of the sailing team Alinghi which was the first European team to win the America's Cup in 2003 and which successfully defended the title in 2007. Tennis has become an increasingly popular sport, and Swiss players such as Martina Hingis, Roger Federer, and Stanislas Wawrinka have won multiple Grand Slams.
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Motorsport racecourses and events were banned in Switzerland following the 1955 Le Mans disaster with exception to events such as Hillclimbing. During this period, the country still produced successful racing drivers such as Clay Regazzoni, Sébastien Buemi, Jo Siffert, Dominique Aegerter, successful World Touring Car Championship driver Alain Menu, 2014 24 Hours of Le Mans winner Marcel Fässler and 2015 24 Hours Nürburgring winner Nico Müller. Switzerland also won the A1GP World Cup of Motorsport in 2007–08 with driver Neel Jani. Swiss motorcycle racer Thomas Lüthi won the 2005 MotoGP World Championship in the 125cc category. In June 2007 the Swiss National Council, one house of the Federal Assembly of Switzerland, voted to overturn the ban, however the other house, the Swiss Council of States rejected the change and the ban remains in place.[241][242]
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Traditional sports include Swiss wrestling or "Schwingen". It is an old tradition from the rural central cantons and considered the national sport by some. Hornussen is another indigenous Swiss sport, which is like a cross between baseball and golf.[243] Steinstossen is the Swiss variant of stone put, a competition in throwing a heavy stone. Practised only among the alpine population since prehistoric times, it is recorded to have taken place in Basel in the 13th century. It is also central to the Unspunnenfest, first held in 1805, with its symbol the 83.5 stone named Unspunnenstein.[244]
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The cuisine of Switzerland is multifaceted. While some dishes such as fondue, raclette or rösti are omnipresent through the country, each region developed its own gastronomy according to the differences of climate and languages.[245][246] Traditional Swiss cuisine uses ingredients similar to those in other European countries, as well as unique dairy products and cheeses such as Gruyère or Emmental, produced in the valleys of Gruyères and Emmental. The number of fine-dining establishments is high, particularly in western Switzerland.[247][248]
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Chocolate has been made in Switzerland since the 18th century but it gained its reputation at the end of the 19th century with the invention of modern techniques such as conching and tempering which enabled its production on a high quality level. Also a breakthrough was the invention of solid milk chocolate in 1875 by Daniel Peter. The Swiss are the world's largest consumers of chocolate.[249][250]
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Due to the popularisation of processed foods at the end of the 19th century, Swiss health food pioneer Maximilian Bircher-Benner created the first nutrition-based therapy in form of the well-known rolled oats cereal dish, called Birchermüesli.
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The most popular alcoholic drink in Switzerland is wine. Switzerland is notable for the variety of grapes grown because of the large variations in terroirs, with their specific mixes of soil, air, altitude and light. Swiss wine is produced mainly in Valais, Vaud (Lavaux), Geneva and Ticino, with a small majority of white wines. Vineyards have been cultivated in Switzerland since the Roman era, even though certain traces can be found of a more ancient origin. The most widespread varieties are the Chasselas (called Fendant in Valais) and Pinot noir. The Merlot is the main variety produced in Ticino.[251][252]
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Coordinates: 46°50′N 8°20′E / 46.833°N 8.333°E / 46.833; 8.333
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in Europe (green and dark grey)
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Switzerland, officially the Swiss Confederation, is a country situated in the confluence of Western, Central, and Southern Europe.[10][note 4] It is a federal republic composed of 26 cantons, with federal authorities based in Bern.[1][2][note 1] Switzerland is a landlocked country bordered by Italy to the south, France to the west, Germany to the north, and Austria and Liechtenstein to the east. It is geographically divided among the Swiss Plateau, the Alps, and the Jura, spanning a total area of 41,285 km2 (15,940 sq mi), and land area of 39,997 km2 (15,443 sq mi). While the Alps occupy the greater part of the territory, the Swiss population of approximately 8.5 million is concentrated mostly on the plateau, where the largest cities and economic centres are located, among them Zürich, Geneva and Basel, where multiple international organisations are domiciled (such as FIFA, the UN's second-largest Office, and the Bank for International Settlements) and where the main international airports of Switzerland are.
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The establishment of the Old Swiss Confederacy dates to the late medieval period, resulting from a series of military successes against Austria and Burgundy. Swiss independence from the Holy Roman Empire was formally recognized in the Peace of Westphalia in 1648. The Federal Charter of 1291 is considered the founding document of Switzerland which is celebrated on Swiss National Day. Since the Reformation of the 16th century, Switzerland has maintained a strong policy of armed neutrality; it has not fought an international war since 1815 and did not join the United Nations until 2002. Nevertheless, it pursues an active foreign policy and is frequently involved in peace-building processes around the world.[11] Switzerland is the birthplace of the Red Cross, one of the world's oldest and best known humanitarian organisations, and is home to numerous international organisations, including the United Nations Office at Geneva, which is its second-largest in the world. It is a founding member of the European Free Trade Association, but notably not part of the European Union, the European Economic Area or the Eurozone. However, it participates in the Schengen Area and the European Single Market through bilateral treaties.
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Switzerland occupies the crossroads of Germanic and Romance Europe, as reflected in its four main linguistic and cultural regions: German, French, Italian and Romansh. Although the majority of the population are German-speaking, Swiss national identity is rooted in a common historical background, shared values such as federalism and direct democracy,[12] and Alpine symbolism.[13][14] Due to its linguistic diversity, Switzerland is known by a variety of native names: Schweiz [ˈʃvaɪts] (German);[note 5] Suisse [sɥis(ə)] (French); Svizzera [ˈzvittsera] (Italian); and Svizra [ˈʒviːtsrɐ, ˈʒviːtsʁɐ] (Romansh).[note 6] On coins and stamps, the Latin name, Confoederatio Helvetica – frequently shortened to "Helvetia" – is used instead of the four national languages.
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The sovereign state is one of the most developed countries in the world, with the highest nominal wealth per adult[15] and the eighth-highest per capita gross domestic product.[16][17] It ranks at or near the top in several international metrics, including economic competitiveness and human development. Zürich, Geneva and Basel have been ranked among the top ten cities in the world in terms of quality of life, with Zürich ranked second globally.[18] In 2019, IMD placed Switzerland first in attracting skilled workers.[19] World Economic Forum ranks it the 5th most competitive country globally.[20]
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The English name Switzerland is a compound containing Switzer, an obsolete term for the Swiss, which was in use during the 16th to 19th centuries.[21] The English adjective Swiss is a loan from French Suisse, also in use since the 16th century. The name Switzer is from the Alemannic Schwiizer, in origin an inhabitant of Schwyz and its associated territory, one of the Waldstätte cantons which formed the nucleus of the Old Swiss Confederacy. The Swiss began to adopt the name for themselves after the Swabian War of 1499, used alongside the term for "Confederates", Eidgenossen (literally: comrades by oath), used since the 14th century. The data code for Switzerland, CH, is derived from Latin Confoederatio Helvetica (English: Helvetic Confederation).
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The toponym Schwyz itself was first attested in 972, as Old High German Suittes, ultimately perhaps related to swedan ‘to burn’ (cf. Old Norse svíða ‘to singe, burn’), referring to the area of forest that was burned and cleared to build.[22] The name was extended to the area dominated by the canton, and after the Swabian War of 1499 gradually came to be used for the entire Confederation.[23][24]
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The Swiss German name of the country, Schwiiz, is homophonous to that of the canton and the settlement, but distinguished by the use of the definite article (d'Schwiiz for the Confederation,[25] but simply Schwyz for the canton and the town).[26] The long [iː] of Swiss German is historically and still often today spelled ⟨y⟩ rather than ⟨ii⟩, preserving the original identity of the two names even in writing.
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The Latin name Confoederatio Helvetica was neologized and introduced gradually after the formation of the federal state in 1848, harking back to the Napoleonic Helvetic Republic, appearing on coins from 1879, inscribed on the Federal Palace in 1902 and after 1948 used in the official seal.[27] (for example, the ISO banking code "CHF" for the Swiss franc, and the country top-level domain ".ch", are both taken from the state's Latin name). Helvetica is derived from the Helvetii, a Gaulish tribe living on the Swiss plateau before the Roman era.
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Helvetia appears as a national personification of the Swiss confederacy in the 17th century with a 1672 play by Johann Caspar Weissenbach.[28]
|
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Switzerland has existed as a state in its present form since the adoption of the Swiss Federal Constitution in 1848. The precursors of Switzerland established a protective alliance at the end of the 13th century (1291), forming a loose confederation of states which persisted for centuries.
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The oldest traces of hominid existence in Switzerland date back about 150,000 years.[29] The oldest known farming settlements in Switzerland, which were found at Gächlingen, have been dated to around 5300 BC.[29]
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The earliest known cultural tribes of the area were members of the Hallstatt and La Tène cultures, named after the archaeological site of La Tène on the north side of Lake Neuchâtel. La Tène culture developed and flourished during the late Iron Age from around 450 BC,[29] possibly under some influence from the Greek and Etruscan civilisations. One of the most important tribal groups in the Swiss region was the Helvetii. Steadily harassed by the Germanic tribes, in 58 BC the Helvetii decided to abandon the Swiss plateau and migrate to western Gallia, but Julius Caesar's armies pursued and defeated them at the Battle of Bibracte, in today's eastern France, forcing the tribe to move back to its original homeland.[29] In 15 BC, Tiberius, who would one day become the second Roman emperor, and his brother Drusus, conquered the Alps, integrating them into the Roman Empire. The area occupied by the Helvetii—the namesakes of the later Confoederatio Helvetica—first became part of Rome's Gallia Belgica province and then of its Germania Superior province, while the eastern portion of modern Switzerland was integrated into the Roman province of Raetia. Sometime around the start of the Common Era, the Romans maintained a large legionary camp called Vindonissa, now a ruin at the confluence of the Aare and Reuss rivers, near the town of Windisch, an outskirt of Brugg.
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The first and second century AD was an age of prosperity for the population living on the Swiss plateau. Several towns, like Aventicum, Iulia Equestris and Augusta Raurica, reached a remarkable size, while hundreds of agricultural estates (Villae rusticae) were founded in the countryside.
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Around 260 AD, the fall of the Agri Decumates territory north of the Rhine transformed today's Switzerland into a frontier land of the Empire. Repeated raids by the Alamanni tribes provoked the ruin of the Roman towns and economy, forcing the population to find shelter near Roman fortresses, like the Castrum Rauracense near Augusta Raurica. The Empire built another line of defence at the north border (the so-called Donau-Iller-Rhine-Limes), but at the end of the fourth century the increased Germanic pressure forced the Romans to abandon the linear defence concept, and the Swiss plateau was finally open to the settlement of Germanic tribes.
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In the Early Middle Ages, from the end of the 4th century, the western extent of modern-day Switzerland was part of the territory of the Kings of the Burgundians. The Alemanni settled the Swiss plateau in the 5th century and the valleys of the Alps in the 8th century, forming Alemannia. Modern-day Switzerland was therefore then divided between the kingdoms of Alemannia and Burgundy.[29] The entire region became part of the expanding Frankish Empire in the 6th century, following Clovis I's victory over the Alemanni at Tolbiac in 504 AD, and later Frankish domination of the Burgundians.[31][32]
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Throughout the rest of the 6th, 7th and 8th centuries the Swiss regions continued under Frankish hegemony (Merovingian and Carolingian dynasties). But after its extension under Charlemagne, the Frankish Empire was divided by the Treaty of Verdun in 843.[29] The territories of present-day Switzerland became divided into Middle Francia and East Francia until they were reunified under the Holy Roman Empire around 1000 AD.[29]
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By 1200, the Swiss plateau comprised the dominions of the houses of Savoy, Zähringer, Habsburg, and Kyburg.[29] Some regions (Uri, Schwyz, Unterwalden, later known as Waldstätten) were accorded the Imperial immediacy to grant the empire direct control over the mountain passes. With the extinction of its male line in 1263 the Kyburg dynasty fell in AD 1264; then the Habsburgs under King Rudolph I (Holy Roman Emperor in 1273) laid claim to the Kyburg lands and annexed them extending their territory to the eastern Swiss plateau.[31]
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A female who died in about 200 BC was found buried in a carved tree trunk during a construction project at the Kern school complex in March 2017 in Aussersihl. Archaeologists revealed that she was approximately 40 years old when she died and likely carried out little physical labor when she was alive. A sheepskin coat, a belt chain, a fancy wool dress, a scarf and a pendant made of glass and amber beads were also discovered with the woman.[33][34][35][36][37]
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The Old Swiss Confederacy was an alliance among the valley communities of the central Alps. The Confederacy, governed by nobles and patricians of various cantons, facilitated management of common interests and ensured peace on the important mountain trade routes. The Federal Charter of 1291 agreed between the rural communes of Uri, Schwyz, and Unterwalden is considered the confederacy's founding document, even though similar alliances are likely to have existed decades earlier.[38][39]
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By 1353, the three original cantons had joined with the cantons of Glarus and Zug and the Lucerne, Zürich and Bern city states to form the "Old Confederacy" of eight states that existed until the end of the 15th century. The expansion led to increased power and wealth for the confederation.[39] By 1460, the confederates controlled most of the territory south and west of the Rhine to the Alps and the Jura mountains, particularly after victories against the Habsburgs (Battle of Sempach, Battle of Näfels), over Charles the Bold of Burgundy during the 1470s, and the success of the Swiss mercenaries. The Swiss victory in the Swabian War against the Swabian League of Emperor Maximilian I in 1499 amounted to de facto independence within the Holy Roman Empire.[39] In 1501, Basel and Schaffhausen joined the Old Swiss Confederacy.
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The Old Swiss Confederacy had acquired a reputation of invincibility during these earlier wars, but expansion of the confederation suffered a setback in 1515 with the Swiss defeat in the Battle of Marignano. This ended the so-called "heroic" epoch of Swiss history.[39] The success of Zwingli's Reformation in some cantons led to inter-cantonal religious conflicts in 1529 and 1531 (Wars of Kappel). It was not until more than one hundred years after these internal wars that, in 1648, under the Peace of Westphalia, European countries recognised Switzerland's independence from the Holy Roman Empire and its neutrality.[31][32]
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During the Early Modern period of Swiss history, the growing authoritarianism of the patriciate families combined with a financial crisis in the wake of the Thirty Years' War led to the Swiss peasant war of 1653. In the background to this struggle, the conflict between Catholic and Protestant cantons persisted, erupting in further violence at the First War of Villmergen, in 1656, and the Toggenburg War (or Second War of Villmergen), in 1712.[39]
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In 1798, the revolutionary French government conquered Switzerland and imposed a new unified constitution.[39] This centralised the government of the country, effectively abolishing the cantons: moreover, Mülhausen joined France and the Valtellina valley became part of the Cisalpine Republic, separating from Switzerland. The new regime, known as the Helvetic Republic, was highly unpopular. It had been imposed by a foreign invading army and destroyed centuries of tradition, making Switzerland nothing more than a French satellite state. The fierce French suppression of the Nidwalden Revolt in September 1798 was an example of the oppressive presence of the French Army and the local population's resistance to the occupation.
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When war broke out between France and its rivals, Russian and Austrian forces invaded Switzerland. The Swiss refused to fight alongside the French in the name of the Helvetic Republic. In 1803 Napoleon organised a meeting of the leading Swiss politicians from both sides in Paris. The result was the Act of Mediation which largely restored Swiss autonomy and introduced a Confederation of 19 cantons.[39] Henceforth, much of Swiss politics would concern balancing the cantons' tradition of self-rule with the need for a central government.
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In 1815 the Congress of Vienna fully re-established Swiss independence and the European powers agreed to permanently recognise Swiss neutrality.[31][32][39] Swiss troops still served foreign governments until 1860 when they fought in the Siege of Gaeta. The treaty also allowed Switzerland to increase its territory, with the admission of the cantons of Valais, Neuchâtel and Geneva. Switzerland's borders have not changed since, except for some minor adjustments.[40]
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The restoration of power to the patriciate was only temporary. After a period of unrest with repeated violent clashes, such as the Züriputsch of 1839, civil war (the Sonderbundskrieg) broke out in 1847 when some Catholic cantons tried to set up a separate alliance (the Sonderbund).[39] The war lasted for less than a month, causing fewer than 100 casualties, most of which were through friendly fire. Yet however minor the Sonderbundskrieg appears compared with other European riots and wars in the 19th century, it nevertheless had a major impact on both the psychology and the society of the Swiss and of Switzerland.
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The war convinced most Swiss of the need for unity and strength towards its European neighbours. Swiss people from all strata of society, whether Catholic or Protestant, from the liberal or conservative current, realised that the cantons would profit more if their economic and religious interests were merged.
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Thus, while the rest of Europe saw revolutionary uprisings, the Swiss drew up a constitution which provided for a federal layout, much of it inspired by the American example. This constitution provided for a central authority while leaving the cantons the right to self-government on local issues. Giving credit to those who favoured the power of the cantons (the Sonderbund Kantone), the national assembly was divided between an upper house (the Council of States, two representatives per canton) and a lower house (the National Council, with representatives elected from across the country). Referendums were made mandatory for any amendment of this constitution.[32] This new constitution also brought a legal end to nobility in Switzerland.[41]
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A system of single weights and measures was introduced and in 1850 the Swiss franc became the Swiss single currency. Article 11 of the constitution forbade sending troops to serve abroad, with the exception of serving the Holy See, though the Swiss were still obliged to serve Francis II of the Two Sicilies with Swiss Guards present at the Siege of Gaeta in 1860, marking the end of foreign service.
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An important clause of the constitution was that it could be re-written completely if this was deemed necessary, thus enabling it to evolve as a whole rather than being modified one amendment at a time.[42]
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This need soon proved itself when the rise in population and the Industrial Revolution that followed led to calls to modify the constitution accordingly. An early draft was rejected by the population in 1872 but modifications led to its acceptance in 1874.[39] It introduced the facultative referendum for laws at the federal level. It also established federal responsibility for defence, trade, and legal matters.
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In 1891, the constitution was revised with unusually strong elements of direct democracy, which remain unique even today.[39]
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Switzerland was not invaded during either of the world wars. During World War I, Switzerland was home to Vladimir Illych Ulyanov (Vladimir Lenin) and he remained there until 1917.[43] Swiss neutrality was seriously questioned by the Grimm–Hoffmann Affair in 1917, but it was short-lived. In 1920, Switzerland joined the League of Nations, which was based in Geneva, on condition that it was exempt from any military requirements.
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During World War II, detailed invasion plans were drawn up by the Germans,[44] but Switzerland was never attacked.[39] Switzerland was able to remain independent through a combination of military deterrence, concessions to Germany, and good fortune as larger events during the war delayed an invasion.[32][45] Under General Henri Guisan, appointed the commander-in-chief for the duration of the war, a general mobilisation of the armed forces was ordered. The Swiss military strategy was changed from one of static defence at the borders to protect the economic heartland, to one of organised long-term attrition and withdrawal to strong, well-stockpiled positions high in the Alps known as the Reduit. Switzerland was an important base for espionage by both sides in the conflict and often mediated communications between the Axis and Allied powers.[45]
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Switzerland's trade was blockaded by both the Allies and by the Axis. Economic cooperation and extension of credit to the Third Reich varied according to the perceived likelihood of invasion and the availability of other trading partners. Concessions reached a peak after a crucial rail link through Vichy France was severed in 1942, leaving Switzerland (together with Liechtenstein) entirely isolated from the wider world by Axis controlled territory. Over the course of the war, Switzerland interned over 300,000 refugees[46] and the International Red Cross, based in Geneva, played an important part during the conflict. Strict immigration and asylum policies as well as the financial relationships with Nazi Germany raised controversy, but not until the end of the 20th century.[47]
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During the war, the Swiss Air Force engaged aircraft of both sides, shooting down 11 intruding Luftwaffe planes in May and June 1940, then forcing down other intruders after a change of policy following threats from Germany. Over 100 Allied bombers and their crews were interned during the war. Between 1940 and 1945, Switzerland was bombed by the Allies causing fatalities and property damage.[45] Among the cities and towns bombed were Basel, Brusio, Chiasso, Cornol, Geneva, Koblenz, Niederweningen, Rafz, Renens, Samedan, Schaffhausen, Stein am Rhein, Tägerwilen, Thayngen, Vals, and Zürich. Allied forces explained the bombings, which violated the 96th Article of War, resulted from navigation errors, equipment failure, weather conditions, and errors made by bomber pilots. The Swiss expressed fear and concern that the bombings were intended to put pressure on Switzerland to end economic cooperation and neutrality with Nazi Germany.[48] Court-martial proceedings took place in England and the U.S. Government paid 62,176,433.06 in Swiss francs for reparations of the bombings.
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Switzerland's attitude towards refugees was complicated and controversial; over the course of the war it admitted as many as 300,000 refugees[46] while refusing tens of thousands more,[49] including Jews who were severely persecuted by the Nazis.
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After the war, the Swiss government exported credits through the charitable fund known as the Schweizerspende and also donated to the Marshall Plan to help Europe's recovery, efforts that ultimately benefited the Swiss economy.[50]
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During the Cold War, Swiss authorities considered the construction of a Swiss nuclear bomb.[51] Leading nuclear physicists at the Federal Institute of Technology Zürich such as Paul Scherrer made this a realistic possibility. In 1988, the Paul Scherrer Institute was founded in his name to explore the therapeutic uses of neutron scattering technologies. Financial problems with the defence budget and ethical considerations prevented the substantial funds from being allocated, and the Nuclear Non-Proliferation Treaty of 1968 was seen as a valid alternative. All remaining plans for building nuclear weapons were dropped by 1988.[52]
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Switzerland was the last Western republic to grant women the right to vote. Some Swiss cantons approved this in 1959, while at the federal level it was achieved in 1971[39][53] and, after resistance, in the last canton Appenzell Innerrhoden (one of only two remaining Landsgemeinde, along with Glarus) in 1990. After obtaining suffrage at the federal level, women quickly rose in political significance, with the first woman on the seven member Federal Council executive being Elisabeth Kopp, who served from 1984 to 1989,[39] and the first female president being Ruth Dreifuss in 1999.
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Switzerland joined the Council of Europe in 1963.[32] In 1979 areas from the canton of Bern attained independence from the Bernese, forming the new canton of Jura. On 18 April 1999 the Swiss population and the cantons voted in favour of a completely revised federal constitution.[39]
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In 2002 Switzerland became a full member of the United Nations, leaving the Vatican City as the last widely recognised state without full UN membership. Switzerland is a founding member of the EFTA, but is not a member of the European Economic Area. An application for membership in the European Union was sent in May 1992, but not advanced since the EEA was rejected in December 1992[39] when Switzerland was the only country to launch a referendum on the EEA. There have since been several referendums on the EU issue; due to opposition from the citizens, the membership application has been withdrawn. Nonetheless, Swiss law is gradually being adjusted to conform with that of the EU, and the government has signed a number of bilateral agreements with the European Union. Switzerland, together with Liechtenstein, has been completely surrounded by the EU since Austria's entry in 1995. On 5 June 2005, Swiss voters agreed by a 55% majority to join the Schengen treaty, a result that was regarded by EU commentators as a sign of support by Switzerland, a country that is traditionally perceived as independent and reluctant to enter supranational bodies.[32]
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Extending across the north and south side of the Alps in west-central Europe, Switzerland encompasses a great diversity of landscapes and climates on a limited area of 41,285 square kilometres (15,940 sq mi).[54] The population is about 8 million, resulting in an average population density of around 195 people per square kilometre (500/sq mi).[54][55] The more mountainous southern half of the country is far more sparsely populated than the northern half.[54] In the largest Canton of Graubünden, lying entirely in the Alps, population density falls to 27 /km² (70 /sq mi).[56]
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Switzerland lies between latitudes 45° and 48° N, and longitudes 5° and 11° E. It contains three basic topographical areas: the Swiss Alps to the south, the Swiss Plateau or Central Plateau, and the Jura mountains on the west. The Alps are a high mountain range running across the central-south of the country, constituting about 60% of the country's total area. The majority of the Swiss population live in the Swiss Plateau. Among the high valleys of the Swiss Alps many glaciers are found, totalling an area of 1,063 square kilometres (410 sq mi). From these originate the headwaters of several major rivers, such as the Rhine, Inn, Ticino and Rhône, which flow in the four cardinal directions into the whole of Europe. The hydrographic network includes several of the largest bodies of freshwater in Central and Western Europe, among which are included Lake Geneva (also called le Lac Léman in French), Lake Constance (known as Bodensee in German) and Lake Maggiore. Switzerland has more than 1500 lakes, and contains 6% of Europe's stock of fresh water. Lakes and glaciers cover about 6% of the national territory. The largest lake is Lake Geneva, in western Switzerland shared with France. The Rhône is both the main source and outflow of Lake Geneva. Lake Constance is the second largest Swiss lake and, like the Lake Geneva, an intermediate step by the Rhine at the border to Austria and Germany. While the Rhône flows into the Mediterranean Sea at the French Camargue region and the Rhine flows into the North Sea at Rotterdam in the Netherlands, about 1,000 kilometres (620 miles) apart, both springs are only about 22 kilometres (14 miles) apart from each other in the Swiss Alps.[54][57]
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Forty-eight of Switzerland's mountains are 4,000 metres (13,000 ft) above sea in altitude or higher.[54] At 4,634 m (15,203 ft), Monte Rosa is the highest, although the Matterhorn (4,478 m or 14,692 ft) is often regarded as the most famous. Both are located within the Pennine Alps in the canton of Valais, on the border with Italy. The section of the Bernese Alps above the deep glacial Lauterbrunnen valley, containing 72 waterfalls, is well known for the Jungfrau (4,158 m or 13,642 ft) Eiger and Mönch, and the many picturesque valleys in the region. In the southeast the long Engadin Valley, encompassing the St. Moritz area in canton of Graubünden, is also well known; the highest peak in the neighbouring Bernina Alps is Piz Bernina (4,049 m or 13,284 ft).[54]
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The more populous northern part of the country, constituting about 30% of the country's total area, is called the Swiss Plateau. It has greater open and hilly landscapes, partly forested, partly open pastures, usually with grazing herds, or vegetables and fruit fields, but it is still hilly. There are large lakes found here and the biggest Swiss cities are in this area of the country.[54]
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Within Switzerland there are two small enclaves: Büsingen belongs to Germany, Campione d'Italia belongs to Italy.[58] Switzerland has no exclaves in other countries.
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The Swiss climate is generally temperate, but can vary greatly between the localities,[59] from glacial conditions on the mountaintops to the often pleasant near Mediterranean climate at Switzerland's southern tip. There are some valley areas in the southern part of Switzerland where some cold-hardy palm trees are found. Summers tend to be warm and humid at times with periodic rainfall so they are ideal for pastures and grazing. The less humid winters in the mountains may see long intervals of stable conditions for weeks, while the lower lands tend to suffer from inversion, during these periods, thus seeing no sun for weeks.
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A weather phenomenon known as the föhn (with an identical effect to the chinook wind) can occur at all times of the year and is characterised by an unexpectedly warm wind, bringing air of very low relative humidity to the north of the Alps during rainfall periods on the southern face of the Alps. This works both ways across the alps but is more efficient if blowing from the south due to the steeper step for oncoming wind from the south. Valleys running south to north trigger the best effect.
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The driest conditions persist in all inner alpine valleys that receive less rain because arriving clouds lose a lot of their content while crossing the mountains before reaching these areas. Large alpine areas such as Graubünden remain drier than pre-alpine areas and as in the main valley of the Valais wine grapes are grown there.[60]
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The wettest conditions persist in the high Alps and in the Ticino canton which has much sun yet heavy bursts of rain from time to time.[60] Precipitation tends to be spread moderately throughout the year with a peak in summer. Autumn is the driest season, winter receives less precipitation than summer, yet the weather patterns in Switzerland are not in a stable climate system and can be variable from year to year with no strict and predictable periods.
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Switzerland's ecosystems can be particularly fragile, because the many delicate valleys separated by high mountains often form unique ecologies. The mountainous regions themselves are also vulnerable, with a rich range of plants not found at other altitudes, and experience some pressure from visitors and grazing. The climatic, geological and topographical conditions of the alpine region make for a very fragile ecosystem that is particularly sensitive to climate change.[59][62] Nevertheless, according to the 2014 Environmental Performance Index, Switzerland ranks first among 132 nations in safeguarding the environment, due to its high scores on environmental public health, its heavy reliance on renewable sources of energy (hydropower and geothermal energy), and its control of greenhouse gas emissions.[63]
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However, access to biocapacity in Switzerland is far lower than world average. In 2016, Switzerland had 1.0 global hectares[64] of biocapacity per person within its territory, 40 percent less than world average of 1.6 global hectares per person. In contrast, in 2016, they used 4.6 global hectares of biocapacity - their ecological footprint of consumption. This means they used about 4.6 times as much biocapacity as Switzerland contains. The remainder comes from imports and overusing the global commons (such as the atmosphere through greenhouse gas emissions). As a result, Switzerland is running a biocapacity deficit.[64]
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The Federal Constitution adopted in 1848 is the legal foundation of the modern federal state.[65] A new Swiss Constitution was adopted in 1999, but did not introduce notable changes to the federal structure. It outlines basic and political rights of individuals and citizen participation in public affairs, divides the powers between the Confederation and the cantons and defines federal jurisdiction and authority. There are three main governing bodies on the federal level:[66] the bicameral parliament (legislative), the Federal Council (executive) and the Federal Court (judicial).
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The Swiss Parliament consists of two houses: the Council of States which has 46 representatives (two from each canton and one from each half-canton) who are elected under a system determined by each canton, and the National Council, which consists of 200 members who are elected under a system of proportional representation, depending on the population of each canton. Members of both houses serve for 4 years and only serve as members of parliament part-time (so-called Milizsystem or citizen legislature).[67] When both houses are in joint session, they are known collectively as the Federal Assembly. Through referendums, citizens may challenge any law passed by parliament and through initiatives, introduce amendments to the federal constitution, thus making Switzerland a direct democracy.[65]
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The Federal Council constitutes the federal government, directs the federal administration and serves as collective Head of State. It is a collegial body of seven members, elected for a four-year mandate by the Federal Assembly which also exercises oversight over the Council. The President of the Confederation is elected by the Assembly from among the seven members, traditionally in rotation and for a one-year term; the President chairs the government and assumes representative functions. However, the president is a primus inter pares with no additional powers, and remains the head of a department within the administration.[65]
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The Swiss government has been a coalition of the four major political parties since 1959, each party having a number of seats that roughly reflects its share of electorate and representation in the federal parliament.
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The classic distribution of 2 CVP/PDC, 2 SPS/PSS, 2 FDP/PRD and 1 SVP/UDC as it stood from 1959 to 2003 was known as the "magic formula". Following the 2015 Federal Council elections, the seven seats in the Federal Council were distributed as follows:
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The function of the Federal Supreme Court is to hear appeals against rulings of cantonal or federal courts. The judges are elected by the Federal Assembly for six-year terms.[68]
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Direct democracy and federalism are hallmarks of the Swiss political system.[69] Swiss citizens are subject to three legal jurisdictions: the municipality, canton and federal levels. The 1848 and 1999 Swiss Constitutions define a system of direct democracy (sometimes called half-direct or representative direct democracy because it is aided by the more commonplace institutions of a representative democracy). The instruments of this system at the federal level, known as popular rights (German: Volksrechte, French: droits populaires, Italian: diritti popolari),[70] include the right to submit a federal initiative and a referendum, both of which may overturn parliamentary decisions.[65][71]
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By calling a federal referendum, a group of citizens may challenge a law passed by parliament, if they gather 50,000 signatures against the law within 100 days. If so, a national vote is scheduled where voters decide by a simple majority whether to accept or reject the law. Any 8 cantons together can also call a constitutional referendum on a federal law.[65]
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Similarly, the federal constitutional initiative allows citizens to put a constitutional amendment to a national vote, if 100,000 voters sign the proposed amendment within 18 months.[note 8] The Federal Council and the Federal Assembly can supplement the proposed amendment with a counter-proposal, and then voters must indicate a preference on the ballot in case both proposals are accepted. Constitutional amendments, whether introduced by initiative or in parliament, must be accepted by a double majority of the national popular vote and the cantonal popular votes.[note 9][69]
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The Swiss Confederation consists of 26 cantons:[65][72]
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*These cantons are known as half-cantons.
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The cantons are federated states, have a permanent constitutional status and, in comparison with the situation in other countries, a high degree of independence. Under the Federal Constitution, all 26 cantons are equal in status, except that 6 (referred to often as the half-cantons) are represented by only one councillor (instead of two) in the Council of States and have only half a cantonal vote with respect to the required cantonal majority in referendums on constitutional amendments. Each canton has its own constitution, and its own parliament, government, police and courts.[72] However, there are considerable differences between the individual cantons, most particularly in terms of population and geographical area. Their populations vary between 16,003 (Appenzell Innerrhoden) and 1,487,969 (Zürich), and their area between 37 km2 (14 sq mi) (Basel-Stadt) and 7,105 km2 (2,743 sq mi) (Grisons).
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The cantons comprise a total of 2,222 municipalities as of 2018.
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Traditionally, Switzerland avoids alliances that might entail military, political, or direct economic action and has been neutral since the end of its expansion in 1515. Its policy of neutrality was internationally recognised at the Congress of Vienna in 1815.[73][74] Only in 2002 did Switzerland become a full member of the United Nations[73] and it was the first state to join it by referendum. Switzerland maintains diplomatic relations with almost all countries and historically has served as an intermediary between other states.[73] Switzerland is not a member of the European Union; the Swiss people have consistently rejected membership since the early 1990s.[73] However, Switzerland does participate in the Schengen Area.[75] Swiss neutrality has been questioned at times.[76][77][78][79][80]
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Many international institutions have their seats in Switzerland, in part because of its policy of neutrality. Geneva is the birthplace of the Red Cross and Red Crescent Movement, the Geneva Conventions and, since 2006, hosts the United Nations Human Rights Council. Even though Switzerland is one of the most recent countries to have joined the United Nations, the Palace of Nations in Geneva is the second biggest centre for the United Nations after New York, and Switzerland was a founding member and home to the League of Nations.
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Apart from the United Nations headquarters, the Swiss Confederation is host to many UN agencies, like the World Health Organization (WHO), the International Labour Organization (ILO), the International Telecommunication Union (ITU), the United Nations High Commissioner for Refugees (UNHCR) and about 200 other international organisations, including the World Trade Organization and the World Intellectual Property Organization.[73] The annual meetings of the World Economic Forum in Davos bring together top international business and political leaders from Switzerland and foreign countries to discuss important issues facing the world, including health and the environment. Additionally the headquarters of the Bank for International Settlements (BIS) are located in Basel since 1930.
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Furthermore, many sport federations and organisations are located throughout the country, such as the International Handball Federation in Basel, the
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International Basketball Federation in Geneva, the Union of European Football Associations (UEFA) in Nyon, the International Federation of Association Football (FIFA) and the International Ice Hockey Federation both in Zürich, the International Cycling Union in Aigle, and the International Olympic Committee in Lausanne.[82]
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The Swiss Armed Forces, including the Land Forces and the Air Force, are composed mostly of conscripts, male citizens aged from 20 to 34 (in special cases up to 50) years. Being a landlocked country, Switzerland has no navy; however, on lakes bordering neighbouring countries, armed military patrol boats are used. Swiss citizens are prohibited from serving in foreign armies, except for the Swiss Guards of the Vatican, or if they are dual citizens of a foreign country and reside there.
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The structure of the Swiss militia system stipulates that the soldiers keep their Army issued equipment, including all personal weapons, at home. Some organisations and political parties find this practice controversial.[83] Women can serve voluntarily. Men usually receive military conscription orders for training at the age of 18.[84] About two thirds of the young Swiss are found suited for service; for those found unsuited, various forms of alternative service exist.[85] Annually, approximately 20,000 persons are trained in recruit centres for a duration from 18 to 21 weeks. The reform "Army XXI" was adopted by popular vote in 2003, it replaced the previous model "Army 95", reducing the effectives from 400,000 to about 200,000. Of those, 120,000 are active in periodic Army training and 80,000 are non-training reserves.[86]
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Overall, three general mobilisations have been declared to ensure the integrity and neutrality of Switzerland. The first one was held on the occasion of the Franco-Prussian War of 1870–71. The second was in response to the outbreak of the First World War in August 1914. The third mobilisation of the army took place in September 1939 in response to the German attack on Poland; Henri Guisan was elected as the General-in-Chief.
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Because of its neutrality policy, the Swiss army does not currently take part in armed conflicts in other countries, but is part of some peacekeeping missions around the world. Since 2000 the armed force department has also maintained the Onyx intelligence gathering system to monitor satellite communications.[87] Switzerland decided not to sign the Nuclear Weapon Ban Treaty.[88]
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Following the end of the Cold War there have been a number of attempts to curb military activity or even abolish the armed forces altogether. A notable referendum on the subject, launched by an anti-militarist group, was held on 26 November 1989. It was defeated with about two thirds of the voters against the proposal.[89][90] A similar referendum, called for before, but held shortly after the 11 September attacks in the US, was defeated by over 78% of voters.[91]
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Gun politics in Switzerland are unique in Europe in that 29% of citizens are legally armed. The large majority of firearms kept at home are issued by the Swiss army, but ammunition is no longer issued.[92][93]
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Until 1848 the rather loosely coupled Confederation did not know a central political organisation, but representatives, mayors, and Landammänner met several times a year at the capital of the Lieu presiding the Confederal Diet for one year.
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Until 1500 the legates met most of the time in Lucerne, but also in Zürich, Baden, Bern, Schwyz etc., but sometimes also at places outside of the confederation, such as Constance. From the Swabian War in 1499 onwards until Reformation, most conferences met in Zurich. Afterwards the town hall at Baden, where the annual accounts of the common people had been held regularly since 1426, became the most frequent, but not the sole place of assembly. After 1712 Frauenfeld gradually dissolved Baden. From 1526, the Catholic conferences were held mostly in Lucerne, the Protestant conferences from 1528 mostly in Aarau, the one for the legitimation of the French Ambassador in Solothurn. At the same time the syndicate for the Ennetbirgischen Vogteien located in the present Ticino met from 1513 in Lugano and Locarno.[94]
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After the Helvetic Republic and during the Mediation from 1803 until 1815 the Confederal Diet of the 19 Lieus met at the capitals of the directoral cantons Fribourg, Berne, Basel, Zurich, Lucerne and Solothurn.[94]
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After the Long Diet from 6 April 1814 to 31 August 1815 took place in Zurich to replace the constitution and the enhancement of the Confederation to 22 cantons by the admission of the cantons of Valais, Neuchâtel and Geneva to full members, the directoral cantons of Lucerne, Zurich and Berne took over the diet in two-year turns.[94]
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In 1848, the federal constitution provided that details concerning the federal institutions, such as their locations, should be taken care of by the Federal Assembly (BV 1848 Art. 108). Thus on 28 November 1848, the Federal Assembly voted in majority to locate the seat of government in Berne. And, as a prototypical federal compromise, to assign other federal institutions, such as the Federal Polytechnical School (1854, the later ETH) to Zurich, and other institutions to Lucerne, such as the later SUVA (1912) and the Federal Insurance Court (1917). In 1875, a law (RS 112) fixed the compensations owed by the city of Bern for the federal seat.[1] According to these living fundamental federalistic feelings further federal institutions were subsequently attributed to Lausanne (Federal Supreme Court in 1872, and EPFL in 1969), Bellinzona (Federal Criminal Court, 2004), and St. Gallen (Federal Administrative Court and Federal Patent Court, 2012).
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The 1999 new constitution, however, does not contain anything concerning any Federal City. In 2002 a tripartite committee has been asked by the Swiss Federal Council to prepare the "creation of a federal law on the status of Bern as a Federal City", and to evaluate the positive and negative aspects for the city and the canton of Bern if this status were awarded. After a first report the work of this committee was suspended in 2004 by the Swiss Federal Council, and work on this subject has not resumed since.[95]
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Thus as of today, no city in Switzerland has the official status either of capital or of Federal City, nevertheless Berne is commonly referred to as "Federal City" (German: Bundesstadt, French: ville fédérale, Italian: città federale).
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Switzerland has a stable, prosperous and high-tech economy and enjoys great wealth, being ranked as the wealthiest country in the world per capita in multiple rankings, while at the same time being one the least corrupt countries in the world.[97][98][99] It has the world's twentieth largest economy by nominal GDP and the thirty-eighth largest by purchasing power parity. It is the seventeenth largest exporter. Zürich and Geneva are regarded as global cities, ranked as Alpha and Beta respectively. Switzerland has the highest European rating in the Index of Economic Freedom 2010, while also providing large coverage through public services.[100] The nominal per capita GDP is higher than those of the larger Western and Central European economies and Japan.[101] In terms of GDP per capita adjusted for purchasing power, Switzerland was ranked 5th in the world in 2018 by World Bank[102] and estimated at 9th by the IMF in 2020[103], as well as 11th by the CIA World Factbook in 2017[104].
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The World Economic Forum's Global Competitiveness Report currently ranks Switzerland's economy as the most competitive in the world,[106] while ranked by the European Union as Europe's most innovative country.[107][108] It is a relatively easy place to do business, currently ranking 20th of 189 countries in the Ease of Doing Business Index. The slow growth Switzerland experienced in the 1990s and the early 2000s has brought greater support for economic reforms and harmonisation with the European Union.[109][110]
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For much of the 20th century, Switzerland was the wealthiest country in Europe by a considerable margin (by GDP – per capita).[111] Switzerland also has one of the world's largest account balances as a percentage of GDP.[112] In 2018, the canton of Basel-City had the highest GDP per capita in the country, ahead of the cantons of Zug and Geneva.[113] According to Credit Suisse, only about 37% of residents own their own homes, one of the lowest rates of home ownership in Europe. Housing and food price levels were 171% and 145% of the EU-25 index in 2007, compared to 113% and 104% in Germany.[114]
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Origin of the capital at the 30 biggest Swiss corporations, 2018[115]
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Switzerland is home to several large multinational corporations. The largest Swiss companies by revenue are Glencore, Gunvor, Nestlé, Novartis, Hoffmann-La Roche, ABB, Mercuria Energy Group and Adecco.[116] Also, notable are UBS AG, Zurich Financial Services, Credit Suisse, Barry Callebaut, Swiss Re, Tetra Pak, The Swatch Group and Swiss International Air Lines. Switzerland is ranked as having one of the most powerful economies in the world.[111]
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Switzerland's most important economic sector is manufacturing. Manufacturing consists largely of the production of specialist chemicals, health and pharmaceutical goods, scientific and precision measuring instruments and musical instruments. The largest exported goods are chemicals (34% of exported goods), machines/electronics (20.9%), and precision instruments/watches (16.9%).[114] Exported services amount to a third of exports.[114] The service sector – especially banking and insurance, tourism, and international organisations – is another important industry for Switzerland.
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Agricultural protectionism—a rare exception to Switzerland's free trade policies—has contributed to high food prices. Product market liberalisation is lagging behind many EU countries according to the OECD.[109] Nevertheless, domestic purchasing power is one of the best in the world.[117][118][119] Apart from agriculture, economic and trade barriers between the European Union and Switzerland are minimal and Switzerland has free trade agreements worldwide. Switzerland is a member of the European Free Trade Association (EFTA).
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Switzerland has an overwhelmingly private sector economy and low tax rates by Western World standards; overall taxation is one of the smallest of developed countries. The Swiss Federal budget had a size of 62.8 billion Swiss francs in 2010, which is an equivalent 11.35% of the country's GDP in that year; however, the regional (canton) budgets and the budgets of the municipalities are not counted as part of the federal budget and the total rate of government spending is closer to 33.8% of GDP. The main sources of income for the federal government are the value-added tax (33%) and the direct federal tax (29%) and the main expenditure is located in the areas of social welfare and finance & tax. The expenditures of the Swiss Confederation have been growing from 7% of GDP in 1960 to 9.7% in 1990 and to 10.7% in 2010. While the sectors social welfare and finance & tax have been growing from 35% in 1990 to 48.2% in 2010, a significant reduction of expenditures has been occurring in the sectors of agriculture and national defence; from 26.5% in to 12.4% (estimation for the year 2015).[120][121]
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Slightly more than 5 million people work in Switzerland;[122] about 25% of employees belonged to a trade union in 2004.[123] Switzerland has a more flexible job market than neighbouring countries and the unemployment rate is very low. The unemployment rate increased from a low of 1.7% in June 2000 to a peak of 4.4% in December 2009.[124] The unemployment rate decreased to 3.2% in 2014 and held steady at that level for several years,[125] before further dropping to 2.5% in 2018 and 2.3% in 2019.[126] Population growth from net immigration is quite high, at 0.52% of population in 2004, increased in the following years before falling to 0.54% again in 2017.[114][127] The foreign citizen population was 28.9% in 2015, about the same as in Australia. GDP per hour worked is the world's 16th highest, at 49.46 international dollars in 2012.[128]
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In 2016, median monthly gross salary in Switzerland was 6,502 francs per month (equivalent to US$6,597 per month), is just enough to cover the high cost of living. After rent, taxes and social security contributions, plus spending on goods and services, the average household has about 15% of its gross income left for savings. Though 61% of the population made less than the average income, income inequality is relatively low with a Gini coefficient of 29.7, placing Switzerland among the top 20 countries for income equality.
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About 8.2% of the population live below the national poverty line, defined in Switzerland as earning less than CHF3,990 per month for a household of two adults and two children, and a further 15% are at risk of poverty. Single-parent families, those with no post-compulsory education and those who are out of work are among the most likely to be living below the poverty line. Although getting a job is considered a way out of poverty, among the gainfully employed, some 4.3% are considered working poor. One in ten jobs in Switzerland is considered low-paid and roughly 12% of Swiss workers hold such jobs, many of them women and foreigners.
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Education in Switzerland is very diverse because the constitution of Switzerland delegates the authority for the school system to the cantons.[129] There are both public and private schools, including many private international schools. The minimum age for primary school is about six years in all cantons, but most cantons provide a free "children's school" starting at four or five years old.[129] Primary school continues until grade four, five or six, depending on the school. Traditionally, the first foreign language in school was always one of the other national languages, although recently (2000) English was introduced first in a few cantons.[129]
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At the end of primary school (or at the beginning of secondary school), pupils are separated according to their capacities in several (often three) sections. The fastest learners are taught advanced classes to be prepared for further studies and the matura,[129] while students who assimilate a little more slowly receive an education more adapted to their needs.
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There are 12 universities in Switzerland, ten of which are maintained at cantonal level and usually offer a range of non-technical subjects. The first university in Switzerland was founded in 1460 in Basel (with a faculty of medicine) and has a tradition of chemical and medical research in Switzerland. It is listed 87th on the 2019 Academic Ranking of World Universities.[130] The largest university in Switzerland is the University of Zurich with nearly 25,000 students.[citation needed]The Swiss Federal Institute of Technology Zurich (ETHZ) and the University of Zurich are listed 20th and 54th respectively, on the 2015 Academic Ranking of World Universities.[131][132][133]
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The two institutes sponsored by the federal government are the Swiss Federal Institute of Technology Zurich (ETHZ) in Zürich, founded 1855 and the EPFL in Lausanne, founded 1969 as such, which was formerly an institute associated with the University of Lausanne.[note 10][134][135]
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In addition, there are various Universities of Applied Sciences. In business and management studies, the University of St. Gallen, (HSG) is ranked 329th in the world according to QS World University Rankings[136] and the International Institute for Management Development (IMD), was ranked first in open programmes worldwide by the Financial Times.[137] Switzerland has the second highest rate (almost 18% in 2003) of foreign students in tertiary education, after Australia (slightly over 18%).[138][139]
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As might befit a country that plays home to innumerable international organisations, the Graduate Institute of International and Development Studies, located in Geneva, is not only continental Europe's oldest graduate school of international and development studies, but also widely believed to be one of its most prestigious.[140][141]
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Many Nobel Prize laureates have been Swiss scientists. They include the world-famous physicist Albert Einstein[142] in the field of physics, who developed his special relativity while working in Bern. More recently Vladimir Prelog, Heinrich Rohrer, Richard Ernst, Edmond Fischer, Rolf Zinkernagel, Kurt Wüthrich and Jacques Dubochet received Nobel Prizes in the sciences. In total, 114 Nobel Prize winners in all fields stand in relation to Switzerland[143][note 11] and the Nobel Peace Prize has been awarded nine times to organisations residing in Switzerland.[144]
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Geneva and the nearby French department of Ain co-host the world's largest laboratory, CERN,[146] dedicated to particle physics research. Another important research centre is the Paul Scherrer Institute. Notable inventions include lysergic acid diethylamide (LSD), diazepam (Valium), the scanning tunnelling microscope (Nobel prize) and Velcro. Some technologies enabled the exploration of new worlds such as the pressurised balloon of Auguste Piccard and the Bathyscaphe which permitted Jacques Piccard to reach the deepest point of the world's oceans.
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Switzerland Space Agency, the Swiss Space Office, has been involved in various space technologies and programmes. In addition it was one of the 10 founders of the European Space Agency in 1975 and is the seventh largest contributor to the ESA budget. In the private sector, several companies are implicated in the space industry such as Oerlikon Space[147] or Maxon Motors[148] who provide spacecraft structures.
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Switzerland voted against membership in the European Economic Area in a referendum in December 1992 and has since maintained and developed its relationships with the European Union (EU) and European countries through bilateral agreements. In March 2001, the Swiss people refused in a popular vote to start accession negotiations with the EU.[149] In recent years, the Swiss have brought their economic practices largely into conformity with those of the EU in many ways, in an effort to enhance their international competitiveness. The economy grew at 3% in 2010, 1.9% in 2011, and 1% in 2012.[150] EU membership was a long-term objective of the Swiss government, but there was and remains considerable popular sentiment against membership, which is opposed by the conservative SVP party, the largest party in the National Council, and not currently supported or proposed by several other political parties. The application for membership of the EU was formally withdrawn in 2016, having long been frozen. The western French-speaking areas and the urban regions of the rest of the country tend to be more pro-EU, nonetheless with far from a significant share of the population.[151][152]
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The government has established an Integration Office under the Department of Foreign Affairs and the Department of Economic Affairs. To minimise the negative consequences of Switzerland's isolation from the rest of Europe, Bern and Brussels signed seven bilateral agreements to further liberalise trade ties. These agreements were signed in 1999 and took effect in 2001. This first series of bilateral agreements included the free movement of persons. A second series covering nine areas was signed in 2004 and has since been ratified, which includes the Schengen Treaty and the Dublin Convention besides others.[153] They continue to discuss further areas for cooperation.[154]
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In 2006, Switzerland approved 1 billion francs of supportive investment in the poorer Southern and Central European countries in support of cooperation and positive ties to the EU as a whole. A further referendum will be needed to approve 300 million francs to support Romania and Bulgaria and their recent admission. The Swiss have also been under EU and sometimes international pressure to reduce banking secrecy and to raise tax rates to parity with the EU. Preparatory discussions are being opened in four new areas: opening up the electricity market, participation in the European GNSS project Galileo, cooperating with the European centre for disease prevention and recognising certificates of origin for food products.[155]
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On 27 November 2008, the interior and justice ministers of European Union in Brussels announced Switzerland's accession to the Schengen passport-free zone from 12 December 2008. The land border checkpoints will remain in place only for goods movements, but should not run controls on people, though people entering the country had their passports checked until 29 March 2009 if they originated from a Schengen nation.[156]
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On 9 February 2014, Swiss voters narrowly approved by 50.3% a ballot initiative launched by the national conservative Swiss People's Party (SVP/UDC) to restrict immigration, and thus reintroducing a quota system on the influx of foreigners. This initiative was mostly backed by rural (57.6% approvals) and suburban agglomerations (51.2% approvals), and isolated towns (51.3% approvals) of Switzerland as well as by a strong majority (69.2% approval) in the canton of Ticino, while metropolitan centres (58.5% rejection) and the French-speaking part (58.5% rejection) of Switzerland rather rejected it.[157] Some news commentators claim that this proposal de facto contradicts the bilateral agreements on the free movement of persons from these respective countries.[158][159]
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In December 2016, a compromise with the European Union was attained effectively canceling quotas on EU citizens but still allowing for favourable treatment of Swiss-based job applicants.[160]
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Electricity generated in Switzerland is 56% from hydroelectricity and 39% from nuclear power, resulting in a nearly CO2-free electricity-generating network. On 18 May 2003, two anti-nuclear initiatives were turned down: Moratorium Plus, aimed at forbidding the building of new nuclear power plants (41.6% supported and 58.4% opposed),[161] and Electricity Without Nuclear (33.7% supported and 66.3% opposed) after a previous moratorium expired in 2000.[162] However, as a reaction to the Fukushima nuclear disaster, the Swiss government announced in 2011 that it plans to end its use of nuclear energy in the next 2 or 3 decades.[163] In November 2016, Swiss voters rejected a proposal by the Green Party to accelerate the phaseout of nuclear power (45.8% supported and 54.2% opposed).[164] The Swiss Federal Office of Energy (SFOE) is the office responsible for all questions relating to energy supply and energy use within the Federal Department of Environment, Transport, Energy and Communications (DETEC). The agency is supporting the 2000-watt society initiative to cut the nation's energy use by more than half by the year 2050.[165]
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The most dense rail network in Europe[53] of 5,250 kilometres (3,260 mi) carries over 596 million passengers annually (as of 2015).[166] In 2015, each Swiss resident travelled on average 2,550 kilometres (1,580 mi) by rail, which makes them the keenest rail users.[166] Virtually 100% of the network is electrified. The vast majority (60%) of the network is operated by the Swiss Federal Railways (SBB CFF FFS). Besides the second largest standard gauge railway company BLS AG two railways companies operating on narrow gauge networks are the Rhaetian Railway (RhB) in the southeastern canton of Graubünden, which includes some World Heritage lines,[167] and the Matterhorn Gotthard Bahn (MGB), which co-operates together with RhB the Glacier Express between Zermatt and St. Moritz/Davos. On 31 May 2016 the world's longest and deepest railway tunnel and the first flat, low-level route through the Alps, the 57.1-kilometre long (35.5 mi) Gotthard Base Tunnel, opened as the largest part of the New Railway Link through the Alps (NRLA) project after 17 years of realization. It started its daily business for passenger transport on 11 December 2016 replacing the old, mountainous, scenic route over and through the St Gotthard Massif.
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Switzerland has a publicly managed road network without road tolls that is financed by highway permits as well as vehicle and gasoline taxes. The Swiss autobahn/autoroute system requires the purchase of a vignette (toll sticker)—which costs 40 Swiss francs—for one calendar year in order to use its roadways, for both passenger cars and trucks. The Swiss autobahn/autoroute network has a total length of 1,638 km (1,018 mi) (as of 2000) and has, by an area of 41,290 km2 (15,940 sq mi), also one of the highest motorway densities in the world.[168] Zurich Airport is Switzerland's largest international flight gateway, which handled 22.8 million passengers in 2012.[169] The other international airports are Geneva Airport (13.9 million passengers in 2012),[170] EuroAirport Basel Mulhouse Freiburg which is located in France, Bern Airport, Lugano Airport, St. Gallen-Altenrhein Airport and Sion Airport. Swiss International Air Lines is the flag carrier of Switzerland. Its main hub is Zürich, but it is legally domiciled in Basel.
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Switzerland has one of the best environmental records among nations in the developed world;[171] it was one of the countries to sign the Kyoto Protocol in 1998 and ratified it in 2003. With Mexico and the Republic of Korea it forms the Environmental Integrity Group (EIG).[172] The country is heavily active in recycling and anti-littering regulations and is one of the top recyclers in the world, with 66% to 96% of recyclable materials being recycled, depending on the area of the country.[173] The 2014 Global Green Economy Index ranked Switzerland among the top 10 green economies in the world.[174]
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Switzerland developed an efficient system to recycle most recyclable materials.[175] Publicly organised collection by volunteers and economical railway transport logistics started as early as 1865 under the leadership of the notable industrialist Hans Caspar Escher (Escher Wyss AG) when the first modern Swiss paper manufacturing plant was built in Biberist.[176]
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Switzerland also has an economic system for garbage disposal, which is based mostly on recycling and energy-producing incinerators due to a strong political will to protect the environment.[177] As in other European countries, the illegal disposal of garbage is not tolerated at all and heavily fined. In almost all Swiss municipalities, stickers or dedicated garbage bags need to be purchased that allow for identification of disposable garbage.[178]
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In 2018, Switzerland's population slightly exceeded 8.5 million. In common with other developed countries, the Swiss population increased rapidly during the industrial era, quadrupling between 1800 and 1990 and has continued to grow. Like most of Europe, Switzerland faces an ageing population, albeit with consistent annual growth projected into 2035, due mostly to immigration and a fertility rate close to replacement level.[179] Switzerland subsequently has one of the oldest populations in the world, with the average age of 42.5 years.[180]
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As of 2019[update], resident foreigners make up 25.2% of the population, one of the largest proportions in the developed world.[5] Most of these (64%) were from European Union or EFTA countries.[181] Italians were the largest single group of foreigners, with 15.6% of total foreign population, followed closely by Germans (15.2%), immigrants from Portugal (12.7%), France (5.6%), Serbia (5.3%), Turkey (3.8%), Spain (3.7%), and Austria (2%). Immigrants from Sri Lanka, most of them former Tamil refugees, were the largest group among people of Asian origin (6.3%).[181]
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Additionally, the figures from 2012 show that 34.7% of the permanent resident population aged 15 or over in Switzerland (around 2.33 million), had an immigrant background. A third of this population (853,000) held Swiss citizenship. Four fifths of persons with an immigration background were themselves immigrants (first generation foreigners and native-born and naturalised Swiss citizens), whereas one fifth were born in Switzerland (second generation foreigners and native-born and naturalised Swiss citizens).[182]
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In the 2000s, domestic and international institutions expressed concern about what was perceived as an increase in xenophobia, particularly in some political campaigns. In reply to one critical report, the Federal Council noted that "racism unfortunately is present in Switzerland", but stated that the high proportion of foreign citizens in the country, as well as the generally unproblematic integration of foreigners, underlined Switzerland's openness.[183]
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Follow-up study conducted in 2018 found that 59% considered racism a serious problem in Switzerland.
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[184]
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The proportion of the population that has reported being targeted by racial discrimination has increased in recent years, from 10% in 2014 to almost 17% in 2018, according to the Federal Statistical Office. [185]
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Switzerland has four national languages: mainly German (spoken by 62.8% of the population in 2016); French (22.9%) in the west; and Italian (8.2%) in the south.[187][186] The fourth national language, Romansh (0.5%), is a Romance language spoken locally in the southeastern trilingual canton of Grisons, and is designated by Article 4 of the Federal Constitution as a national language along with German, French, and Italian, and in Article 70 as an official language if the authorities communicate with persons who speak Romansh. However, federal laws and other official acts do not need to be decreed in Romansh.
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In 2016, the languages most spoken at home among permanent residents aged 15 and older were Swiss German (59.4%), French (23.5%), Standard German (10.6%), and Italian (8.5%). Other languages spoken at home included English (5.0%), Portuguese (3.8%), Albanian (3.0%), Spanish (2.6%) and Serbian and Croatian (2.5%). 6.9% reported speaking another language at home.[188] In 2014 almost two-thirds (64.4%) of the permanent resident population indicated speaking more than one language regularly.[189]
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The federal government is obliged to communicate in the official languages, and in the federal parliament simultaneous translation is provided from and into German, French and Italian.[190]
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Aside from the official forms of their respective languages, the four linguistic regions of Switzerland also have their local dialectal forms. The role played by dialects in each linguistic region varies dramatically: in the German-speaking regions, Swiss German dialects have become ever more prevalent since the second half of the 20th century, especially in the media, such as radio and television, and are used as an everyday language for many, while the Swiss variety of Standard German is almost always used instead of dialect for written communication (c.f. diglossic usage of a language).[191] Conversely, in the French-speaking regions the local dialects have almost disappeared (only 6.3% of the population of Valais, 3.9% of Fribourg, and 3.1% of Jura still spoke dialects at the end of the 20th century), while in the Italian-speaking regions dialects are mostly limited to family settings and casual conversation.[191]
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The principal official languages (German, French, and Italian) have terms, not used outside of Switzerland, known as Helvetisms. German Helvetisms are, roughly speaking, a large group of words typical of Swiss Standard German, which do not appear either in Standard German, nor in other German dialects. These include terms from Switzerland's surrounding language cultures (German Billett[192] from French), from similar terms in another language (Italian azione used not only as act but also as discount from German Aktion).[193] The French spoken in Switzerland has similar terms, which are equally known as Helvetisms. The most frequent characteristics of Helvetisms are in vocabulary, phrases, and pronunciation, but certain Helvetisms denote themselves as special in syntax and orthography likewise. Duden, the comprehensive German dictionary, contains about 3000 Helvetisms.[193] Current French dictionaries, such as the Petit Larousse, include several hundred Helvetisms.[194]
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Learning one of the other national languages at school is compulsory for all Swiss pupils, so many Swiss are supposed to be at least bilingual, especially those belonging to linguistic minority groups.[195]
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Swiss residents are universally required to buy health insurance from private insurance companies, which in turn are required to accept every applicant. While the cost of the system is among the highest, it compares well with other European countries in terms of health outcomes; patients have been reported as being, in general, highly satisfied with it.[196][197][198] In 2012, life expectancy at birth was 80.4 years for men and 84.7 years for women[199] — the highest in the world.[200][201] However, spending on health is particularly high at 11.4% of GDP (2010), on par with Germany and France (11.6%) and other European countries, but notably less than spending in the USA (17.6%).[202] From 1990, a steady increase can be observed, reflecting the high costs of the services provided.[203] With an ageing population and new healthcare technologies, health spending will likely continue to rise.[203] Drug use is comparable to other developed countries with 14% of men and 6.5% of women between 20-24 saying they had consumed cannabis in the past 30 days[204] and 5 Swiss cities were listed among the top 10 European cities for cocaine use as measured in wastewater.[205][206]
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Between two thirds and three quarters of the population live in urban areas.[207][208] Switzerland has gone from a largely rural country to an urban one in just 70 years. Since 1935 urban development has claimed as much of the Swiss landscape as it did during the previous 2,000 years. This urban sprawl does not only affect the plateau but also the Jura and the Alpine foothills[209] and there are growing concerns about land use.[210] However, from the beginning of the 21st century, the population growth in urban areas is higher than in the countryside.[208]
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Switzerland has a dense network of towns, where large, medium and small towns are complementary.[208] The plateau is very densely populated with about 450 people per km2 and the landscape continually shows signs of human presence.[211] The weight of the largest metropolitan areas, which are Zürich, Geneva–Lausanne, Basel and Bern tend to increase.[208] In international comparison the importance of these urban areas is stronger than their number of inhabitants suggests.[208] In addition the three main centres of Zürich, Geneva and Basel are recognised for their particularly great quality of life.[212]
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Switzerland has no official state religion, though most of the cantons (except Geneva and Neuchâtel) recognise official churches, which are either the Roman Catholic Church or the Swiss Reformed Church. These churches, and in some cantons also the Old Catholic Church and Jewish congregations, are financed by official taxation of adherents.[214]
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Christianity is the predominant religion of Switzerland (about 67% of resident population in 2016-2018[3] and 75% of Swiss citizens[215]), divided between the Roman Catholic Church (35.8% of the population), the Swiss Reformed Church (23.8%), further Protestant churches (2.2%), Eastern Orthodoxy (2.5%), and other Christian denominations (2.2%).[3] Immigration has established Islam (5.3%) as a sizeable minority religion.[3]
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26.3% of Swiss permanent residents are not affiliated with any religious community (Atheism, Agnosticism, and others).[3]
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As of the 2000 census other Christian minority communities included Neo-Pietism (0.44%), Pentecostalism (0.28%, mostly incorporated in the Schweizer Pfingstmission), Methodism (0.13%), the New Apostolic Church (0.45%), Jehovah's Witnesses (0.28%), other Protestant denominations (0.20%), the Old Catholic Church (0.18%), other Christian denominations (0.20%). Non-Christian religions are Hinduism (0.38%), Buddhism (0.29%), Judaism (0.25%) and others (0.11%); 4.3% did not make a statement.[216]
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The country was historically about evenly balanced between Catholic and Protestant, with a complex patchwork of majorities over most of the country. Switzerland played an exceptional role during the Reformation as it became home to many reformers. Geneva converted to Protestantism in 1536, just before John Calvin arrived there. In 1541, he founded the Republic of Geneva on his own ideals. It became known internationally as the Protestant Rome, and housed such reformers as Theodore Beza, William Farel or Pierre Viret. Zürich became another stronghold around the same time, with Huldrych Zwingli and Heinrich Bullinger taking the lead there. Anabaptists Felix Manz and Conrad Grebel also operated there. They were later joined by the fleeing Peter Martyr Vermigli and Hans Denck. Other centres included Basel (Andreas Karlstadt and Johannes Oecolampadius), Berne (Berchtold Haller and Niklaus Manuel), and St. Gallen (Joachim Vadian). One canton, Appenzell, was officially divided into Catholic and Protestant sections in 1597. The larger cities and their cantons (Bern, Geneva, Lausanne, Zürich and Basel) used to be predominantly Protestant. Central Switzerland, the Valais, the Ticino, Appenzell Innerrhodes, the Jura, and Fribourg are traditionally Catholic. The Swiss Constitution of 1848, under the recent impression of the clashes of Catholic vs. Protestant cantons that culminated in the Sonderbundskrieg, consciously defines a consociational state, allowing the peaceful co-existence of Catholics and Protestants. A 1980 initiative calling for the complete separation of church and state was rejected by 78.9% of the voters.[217] Some traditionally Protestant cantons and cities nowadays have a slight Catholic majority, not because they were growing in members, quite the contrary, but only because since about 1970 a steadily growing minority became not affiliated with any church or other religious body (21.4% in Switzerland, 2012) especially in traditionally Protestant regions, such as Basel-City (42%), canton of Neuchâtel (38%), canton of Geneva (35%), canton of Vaud (26%), or Zürich city (city: >25%; canton: 23%).[218]
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Three of Europe's major languages are official in Switzerland. Swiss culture is characterised by diversity, which is reflected in a wide range of traditional customs.[219] A region may be in some ways strongly culturally connected to the neighbouring country that shares its language, the country itself being rooted in western European culture.[220] The linguistically isolated Romansh culture in Graubünden in eastern Switzerland constitutes an exception, it survives only in the upper valleys of the Rhine and the Inn and strives to maintain its rare linguistic tradition.
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Switzerland is home to many notable contributors to literature, art, architecture, music and sciences. In addition the country attracted a number of creative persons during time of unrest or war in Europe.[221]
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Some 1000 museums are distributed through the country; the number has more than tripled since 1950.[222] Among the most important cultural performances held annually are the Paléo Festival, Lucerne Festival,[223] the Montreux Jazz Festival,[224] the Locarno International Film Festival and the Art Basel.[225]
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Alpine symbolism has played an essential role in shaping the history of the country and the Swiss national identity.[13][226] Nowadays some concentrated mountain areas have a strong highly energetic ski resort culture in winter, and a hiking (German: das Wandern) or Mountain biking culture in summer. Other areas throughout the year have a recreational culture that caters to tourism, yet the quieter seasons are spring and autumn when there are fewer visitors. A traditional farmer and herder culture also predominates in many areas and small farms are omnipresent outside the towns. Folk art is kept alive in organisations all over the country. In Switzerland it is mostly expressed in music, dance, poetry, wood carving and embroidery. The alphorn, a trumpet-like musical instrument made of wood, has become alongside yodeling and the accordion an epitome of traditional Swiss music.[227][228]
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As the Confederation, from its foundation in 1291, was almost exclusively composed of German-speaking regions, the earliest forms of literature are in German. In the 18th century, French became the fashionable language in Bern and elsewhere, while the influence of the French-speaking allies and subject lands was more marked than before.[230]
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Among the classic authors of Swiss German literature are Jeremias Gotthelf (1797–1854) and Gottfried Keller (1819–1890). The undisputed giants of 20th-century Swiss literature are Max Frisch (1911–91) and Friedrich Dürrenmatt (1921–90), whose repertoire includes Die Physiker (The Physicists) and Das Versprechen (The Pledge), released in 2001 as a Hollywood film.[231]
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Famous French-speaking writers were Jean-Jacques Rousseau (1712–1778) and Germaine de Staël (1766–1817). More recent authors include Charles Ferdinand Ramuz (1878–1947), whose novels describe the lives of peasants and mountain dwellers, set in a harsh environment and Blaise Cendrars (born Frédéric Sauser, 1887–1961).[231] Italian and Romansh-speaking authors also contributed to the Swiss literary landscape, but generally in more modest ways given their small number.
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Probably the most famous Swiss literary creation, Heidi, the story of an orphan girl who lives with her grandfather in the Alps, is one of the most popular children's books ever and has come to be a symbol of Switzerland. Her creator, Johanna Spyri (1827–1901), wrote a number of other books on similar themes.[231]
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The freedom of the press and the right to free expression is guaranteed in the federal constitution of Switzerland.[232] The Swiss News Agency (SNA) broadcasts information around-the-clock in three of the four national languages—on politics, economics, society and culture. The SNA supplies almost all Swiss media and a couple dozen foreign media services with its news.[232]
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Switzerland has historically boasted the greatest number of newspaper titles published in proportion to its population and size.[233] The most influential newspapers are the German-language Tages-Anzeiger and Neue Zürcher Zeitung NZZ, and the French-language Le Temps, but almost every city has at least one local newspaper. The cultural diversity accounts for a variety of newspapers.[233]
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The government exerts greater control over broadcast media than print media, especially due to finance and licensing.[233] The Swiss Broadcasting Corporation, whose name was recently changed to SRG SSR, is charged with the production and broadcast of radio and television programmes. SRG SSR studios are distributed throughout the various language regions. Radio content is produced in six central and four regional studios while the television programmes are produced in Geneva, Zürich, and Lugano. An extensive cable network also allows most Swiss to access the programmes from neighbouring countries.[233]
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Skiing, snowboarding and mountaineering are among the most popular sports in Switzerland, the nature of the country being particularly suited for such activities.[234] Winter sports are practised by the natives and tourists since the second half of the 19th century with the invention of bobsleigh in St. Moritz.[235] The first world ski championships were held in Mürren (1931) and St. Moritz (1934). The latter town hosted the second Winter Olympic Games in 1928 and the fifth edition in 1948. Among the most successful skiers and world champions are Pirmin Zurbriggen and Didier Cuche.
|
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+
|
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The most prominently watched sports in Switzerland are football, ice hockey, Alpine skiing, "Schwingen", and tennis.[236]
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The headquarters of the international football's and ice hockey's governing bodies, the International Federation of Association Football (FIFA) and International Ice Hockey Federation (IIHF), are located in Zürich. Actually many other headquarters of international sports federations are located in Switzerland. For example, the International Olympic Committee (IOC), IOC's Olympic Museum and the Court of Arbitration for Sport (CAS) are located in Lausanne.
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|
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Switzerland hosted the 1954 FIFA World Cup, and was the joint host, with Austria, of the UEFA Euro 2008 tournament. The Swiss Super League is the nation's professional football club league. Europe's highest football pitch, at 2,000 metres (6,600 ft) above sea level, is located in Switzerland and is named the Ottmar Hitzfeld Stadium.[237]
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Many Swiss also follow ice hockey and support one of the 12 teams of the National League, which is the most attended league in Europe.[239] In 2009, Switzerland hosted the IIHF World Championship for the 10th time.[240] It also became World Vice-Champion in 2013 and 2018. The numerous lakes make Switzerland an attractive place for sailing. The largest, Lake Geneva, is the home of the sailing team Alinghi which was the first European team to win the America's Cup in 2003 and which successfully defended the title in 2007. Tennis has become an increasingly popular sport, and Swiss players such as Martina Hingis, Roger Federer, and Stanislas Wawrinka have won multiple Grand Slams.
|
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|
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Motorsport racecourses and events were banned in Switzerland following the 1955 Le Mans disaster with exception to events such as Hillclimbing. During this period, the country still produced successful racing drivers such as Clay Regazzoni, Sébastien Buemi, Jo Siffert, Dominique Aegerter, successful World Touring Car Championship driver Alain Menu, 2014 24 Hours of Le Mans winner Marcel Fässler and 2015 24 Hours Nürburgring winner Nico Müller. Switzerland also won the A1GP World Cup of Motorsport in 2007–08 with driver Neel Jani. Swiss motorcycle racer Thomas Lüthi won the 2005 MotoGP World Championship in the 125cc category. In June 2007 the Swiss National Council, one house of the Federal Assembly of Switzerland, voted to overturn the ban, however the other house, the Swiss Council of States rejected the change and the ban remains in place.[241][242]
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|
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Traditional sports include Swiss wrestling or "Schwingen". It is an old tradition from the rural central cantons and considered the national sport by some. Hornussen is another indigenous Swiss sport, which is like a cross between baseball and golf.[243] Steinstossen is the Swiss variant of stone put, a competition in throwing a heavy stone. Practised only among the alpine population since prehistoric times, it is recorded to have taken place in Basel in the 13th century. It is also central to the Unspunnenfest, first held in 1805, with its symbol the 83.5 stone named Unspunnenstein.[244]
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+
The cuisine of Switzerland is multifaceted. While some dishes such as fondue, raclette or rösti are omnipresent through the country, each region developed its own gastronomy according to the differences of climate and languages.[245][246] Traditional Swiss cuisine uses ingredients similar to those in other European countries, as well as unique dairy products and cheeses such as Gruyère or Emmental, produced in the valleys of Gruyères and Emmental. The number of fine-dining establishments is high, particularly in western Switzerland.[247][248]
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|
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+
Chocolate has been made in Switzerland since the 18th century but it gained its reputation at the end of the 19th century with the invention of modern techniques such as conching and tempering which enabled its production on a high quality level. Also a breakthrough was the invention of solid milk chocolate in 1875 by Daniel Peter. The Swiss are the world's largest consumers of chocolate.[249][250]
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|
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Due to the popularisation of processed foods at the end of the 19th century, Swiss health food pioneer Maximilian Bircher-Benner created the first nutrition-based therapy in form of the well-known rolled oats cereal dish, called Birchermüesli.
|
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|
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+
The most popular alcoholic drink in Switzerland is wine. Switzerland is notable for the variety of grapes grown because of the large variations in terroirs, with their specific mixes of soil, air, altitude and light. Swiss wine is produced mainly in Valais, Vaud (Lavaux), Geneva and Ticino, with a small majority of white wines. Vineyards have been cultivated in Switzerland since the Roman era, even though certain traces can be found of a more ancient origin. The most widespread varieties are the Chasselas (called Fendant in Valais) and Pinot noir. The Merlot is the main variety produced in Ticino.[251][252]
|
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|
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+
Coordinates: 46°50′N 8°20′E / 46.833°N 8.333°E / 46.833; 8.333
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1 |
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3 |
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Fruit preserves are preparations of fruits, vegetables and sugar, often stored in glass jam jars and Mason jars.
|
4 |
+
|
5 |
+
Many varieties of fruit preserves are made globally, including sweet fruit preserves, such as those made from strawberry or apricot, and savory preserves, such as those made from tomatoes or squash. The ingredients used and how they are prepared determine the type of preserves; jams, jellies, and marmalades are all examples of different styles of fruit preserves that vary based upon the fruit used. In English, the word, in plural form, "preserves" is used to describe all types of jams and jellies.
|
6 |
+
|
7 |
+
The term preserves is usually interchangeable with jams even though preserves contain chunks or pieces of the fruit whereas jams in some regions do not. Other names include: chutney, confit, conserve, fruit butter, fruit curd, fruit spread, jelly, and marmalade.
|
8 |
+
|
9 |
+
Some cookbooks define preserves as cooked and gelled whole fruit (or vegetable), which includes a significant portion of the fruit.[1] In the English speaking world, the two terms are more strictly differentiated and, when this is not the case, the more usual generic term is 'jam'.[2]
|
10 |
+
|
11 |
+
The singular preserve or conserve is used as a collective noun for high fruit content jam, often for marketing purposes. Additionally, the name of the type of fruit preserves will also vary depending on the regional variant of English being used.
|
12 |
+
|
13 |
+
Cheong is a name for various sweetened foods in the form of syrups, marmalades, and fruit preserves in Korean cuisine. It is used as a tea base, as a honey-or-sugar-substitute in cooking, and as a condiment.
|
14 |
+
|
15 |
+
Liquid varieties such as maesil-cheong (plum syrup), jam-like varieties such as yuja-cheong (yuja marmalade), and conserve-like varieties such as mogwa-cheong (preserved quince) exist.
|
16 |
+
|
17 |
+
A chutney is a relish of Indian origin made of fruit, spices and herbs. Although originally intended to be eaten soon after production, modern chutneys are often made to be sold, so require preservatives – often sugar and vinegar – to ensure they have a suitable shelf life. Mango chutney, for example, is mangoes reduced with sugar.
|
18 |
+
|
19 |
+
While confit, the past participle of the French verb confire, "to preserve", is most often applied to preservation of meats,[3] it is also used for fruits or vegetables seasoned and cooked with honey or sugar till jam-like.[4] Savory confits, such as ones made with garlic or fennel, may call for a savory oil, such as virgin olive oil, as the preserving agent.[5][6]
|
20 |
+
|
21 |
+
Konfyt (Afrikaans: "jam" or "fruit preserve"[7]) is a type of jam eaten in Southern Africa.[clarification needed] It is made by boiling selected fruit or fruits (such as strawberries, apricots, oranges, lemons, water melons, berries, peaches, prickly pears or others) and sugar, and optionally adding a small quantity of ginger to enhance the flavour. The origins of the jam is obscure but it is theorized that it came from the French. The word is also based on the French term confiture via the Dutch confijt (meaning candied fruit).[8]
|
22 |
+
|
23 |
+
A conserve, or whole fruit jam,[9] is a preserve made of fruit stewed in sugar. Traditional whole fruit preserves are particularly popular in Eastern Europe (Russia, Ukraine, Belarus) where they are called varenye, the Baltic region where they are known by a native name in each of the countries (Lithuanian: uogienė, Latvian: ievārījums, Estonian: moos, Romanian: dulceață), as well as in many regions of Western, Central and Southern Asia, where they are referred to as murabba. In Southeast Europe, another version called slatko is made. It is common to offer a spoonful to guests, along with a glass of water.
|
24 |
+
|
25 |
+
Often the making of conserves can be trickier than making a standard jam; it requires cooking or sometimes steeping in the hot sugar mixture for just enough time to allow the flavour to be extracted from the fruit,[10] and sugar to penetrate the fruit; and not cooking too long such that the fruit will break down and liquify. This process can also be achieved by spreading the dry sugar over raw fruit in layers, and leaving for several hours to steep into the fruit, then just heating the resulting mixture only to bring to the setting point.[9][11] As a result of this minimal cooking, some fruits are not particularly suitable for making into conserves, because they require cooking for longer periods to avoid issues such as tough skins.[10] Currants and gooseberries, and a number of plums are among these fruits.
|
26 |
+
|
27 |
+
Because of this shorter cooking period, not as much pectin will be released from the fruit, and as such, conserves (particularly home-made conserves) will sometimes be slightly softer set than some jams.[11]
|
28 |
+
|
29 |
+
An alternative definition holds that conserves are preserves made from a mixture of fruits or vegetables. Conserves may also include dried fruit or nuts.[12]
|
30 |
+
|
31 |
+
Fruit butter, in this context, refers to a process where the whole fruit is forced through a sieve or blended after the heating process.
|
32 |
+
|
33 |
+
Fruit butters are generally made from larger fruits, such as apples, plums, peaches or grapes. Cook until softened and run through a sieve to give a smooth consistency. After sieving, cook the pulp ... add sugar and cook as rapidly as possible with constant stirring.… The finished product should mound up when dropped from a spoon, but should not cut like jelly. Nor should there be any free liquid.
|
34 |
+
|
35 |
+
Fruit curd is a dessert topping and spread usually made with lemon, lime, orange, or raspberry.[14] The basic ingredients are beaten egg yolks, sugar, fruit juice and zest which are gently cooked together until thick and then allowed to cool, forming a soft, smooth, intensely flavored spread. Some recipes also include egg whites or butter.[15]
|
36 |
+
|
37 |
+
Although the FDA has Requirements for Specific Standardized Fruit Butters, Jellies, Preserves, and Related Products,[16] there is no specification of the meaning of the term fruit spread. Although some assert it refers to a jam or preserve with no added sugar,[17][18] there are many "fruit spreads" by leading manufacturers that do contain added sugar.
|
38 |
+
|
39 |
+
Jam typically contains both the juice and flesh of a fruit or vegetable,[19] although one cookbook defines it as a cooked and jelled puree.[1] The term "jam" refers to a product made of whole fruit cut into pieces or crushed, then heated with water and sugar to activate its pectin before being put into containers:
|
40 |
+
|
41 |
+
Pectin is mainly D-galacturonic acid connected by α (1–4) glycosidic linkages. The side chains of pectin may contain small amounts of other sugars such as L-fructose, D-glucose, D-mannose, and D-xylose. In jams, pectin thickens the final product via cross-linking of the large polymer chains.[20]
|
42 |
+
|
43 |
+
Freezer jam is uncooked (or cooked less than 5 minutes), then stored frozen. It is popular in parts of North America for its very fresh taste.
|
44 |
+
|
45 |
+
Recipes without added pectin use the natural pectin in the fruit to set. Tart apples, sour blackberries, cranberries, currants, gooseberries, Concord grapes, soft plums, and quinces work well in recipes without added pectin.[21]
|
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+
|
47 |
+
Other fruits, such as apricots, blueberries, cherries, peaches, pineapple, raspberries, rhubarb, and strawberries are low in pectin. In order to set, or gel, they must be combined with one of the higher pectin fruits or used with commercially produced or homemade pectin.[22][23] Use of added pectin decreases cooking time.
|
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+
|
49 |
+
In Canada, fruit jam is categorized into two types: fruit jam and fruit jam with pectin. Both types contain fruit, fruit pulp or canned fruit and are boiled with water and a sweetening ingredient. Both must have 66% water-soluble solids. Fruit jam and fruit jam with pectin may contain a class II preservative, a pH adjusting agent or an antifoaming agent. Both types cannot contain apple or rhubarb fruit.[24]
|
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+
|
51 |
+
Though both types of jam are very similar, there are some differences in fruit percent, added pectin and added acidity. Fruit jam must have at least 45% fruit and may contain added pectin to compensate for the natural pectin level found in the fruit. Fruit jam with pectin need only contain 27% fruit and is allowed to contain added acidity to compensate for the natural acidity of the fruit.[24][25]
|
52 |
+
|
53 |
+
Jam is created by boiling fruit, fruit pulp or canned fruit with water to and adding a sweetening ingredient. In Canada, jam must contain at least 45% of the named fruit and 66% water-soluble solids. Jam may contain small amounts of pectin, pectinous preparation or acid ingredients if there is a deficiency in natural pectin.
|
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+
|
55 |
+
In some parts of Russia and Georgia, immature pine cones are harvested in late spring and boiled to make a sweet, pungent jam.[26]
|
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+
|
57 |
+
In North America, jelly (from the French gelée)[27] refers exclusively to a clear or translucent fruit spread made from sweetened fruit (or vegetable) juice—thus differing from jam by excluding the fruit's flesh—and is set by using its naturally occurring pectin, whereas outside North America jelly more often refers to a gelatin-based dessert,[28][29][30] though the term is also used to refer to clear jams such as blackcurrant and apple. In the United Kingdom, redcurrant jelly is a condiment often served with lamb, game meat including venison, turkey and goose in a festive or Sunday roast. It is a clear jam, set with pectin from the fruit, and is made in the same way, by adding the redcurrants to sugar, boiling, and straining.
|
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+
|
59 |
+
Pectin is essential to the formation of jelly because it acts as a gelling agent, meaning when the pectin chains combine, they create a network that results in a gel. The strength and effectiveness of the side chains and the bonds they form depend on the pH of the pectin, the optimal pH is between 2.8 and 3.2.[31]
|
60 |
+
|
61 |
+
Additional pectin may be added where the original fruit does not supply enough, for example with grapes.[19]
|
62 |
+
Jelly can be made from sweet, savory or hot ingredients. It is made by a process similar to that used for making jam, with the additional step of filtering out the fruit pulp after the initial heating. A muslin or stockinette "jelly bag" is traditionally used as a filter, suspended by string over a bowl to allow the straining to occur gently under gravity. It is important not to attempt to force the straining process, for example by squeezing the mass of fruit in the muslin, or the clarity of the resulting jelly will be compromised. Jelly can come in a variety of flavors such as grape jelly, strawberry jelly, hot chile pepper, and others. It is typically eaten with a variety of foods. This includes jelly with toast, or a peanut butter and jelly sandwich.
|
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+
|
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+
Good jelly is clear and sparkling and has a fresh flavor of the fruit from which it is made. It is tender enough to quiver when moved, but holds angles when cut... Pectin is best extracted from the fruit by heat, therefore cook the fruit until soft before straining to obtain the juice ... Pour cooked fruit into a jelly bag which has been wrung out of cold water. Hang up and let drain. When dripping has ceased the bag may be squeezed to remove remaining juice, but this may cause cloudy jelly.[32][notes 2]
|
65 |
+
|
66 |
+
In Canada, the Food and Drug Regulations of the Food and Drugs Act of Canada categorizes jelly into two types: jelly, and jelly with pectin.[33] Jelly may be made from the fruit, the fruit juice, or a fruit juice concentrate, and must contain at least 62% water-soluble solids.[33] Jelly may contain an acid ingredient that makes up for any lack in the natural acidity of the fruit, a chemical to adjust the pH, and/or an antifoaming agent.[33] Jelly with pectin must be made with a minimum of 62% water-soluble solids and a minimum of 32% juice of the named fruit, and may contain an acid ingredient that compensates for the lack in the natural acidity of the fruit; the additional juice of another fruit; a gelling agent; food colour; a Class II preservative (such as benzoates, sorbates, or nitrites); a chemical to adjust the pH; and/or an antifoaming agent.[33]
|
67 |
+
|
68 |
+
Marmalade is a fruit preserve made from the juice and peel of citrus fruits boiled with sugar and water. It can be produced from lemons, limes, grapefruits, mandarins, sweet oranges, bergamots and other citrus fruits, or any combination thereof. Marmalade is generally distinguished from jam by its inclusion of fruit peel.
|
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+
|
70 |
+
The benchmark citrus fruit for marmalade production in Britain is the Spanish Seville orange, Citrus aurantium var. aurantium, prized for its high pectin content, which gives a good set. The peel has a distinctive bitter taste which it imparts to the preserve. In America, marmalade is sweet.
|
71 |
+
|
72 |
+
In general, jam is produced by taking mashed or chopped fruit or vegetable pulp and boiling it with sugar and water. The proportion of sugar and fruit varies according to the type of fruit and its ripeness, but a rough starting point is equal weights of each. When the mixture reaches a temperature of 104 °C (219 °F),[34] the acid and the pectin in the fruit react with the sugar, and the jam will set on cooling. However, most cooks work by trial and error, bringing the mixture to a "fast rolling boil", watching to see if the seething mass changes texture, and dropping small samples on a plate to see if they run or set.[35]
|
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+
|
74 |
+
Commercially produced jams are usually produced using one of two methods. The first is the open pan method, which is essentially a larger scale version of the method a home jam maker would use. This gives a traditional flavor, with some caramelization of the sugars. The second commercial process involves the use of a vacuum vessel, where the jam is placed under a vacuum, which has the effect of reducing its boiling temperature to anywhere between 65 and 80 °C depending on the recipe and the end result desired. The lower boiling temperature enables the water to be driven off as it would be when using the traditional open pan method, but with the added benefit of retaining more of the volatile flavor compounds from the fruit, preventing caramelization of the sugars, and of course reducing the overall energy required to make the product. However, once the desired amount of water has been driven off, the jam still needs to be heated briefly to 95 to 100 °C (203 to 212 °F) to kill off any micro-organisms that may be present; the vacuum pan method does not kill them all.
|
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+
|
76 |
+
During commercial filling it is common to use a flame to sterilize the rim and lid of jars to destroy any yeasts and molds which may cause spoilage during storage. Steam is commonly injected immediately prior to lidding to create a vacuum, which both helps prevent spoilage and pulls down tamper-evident safety button when used.
|
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+
|
78 |
+
Glass or plastic jars are an efficient method of storing and preserving jam. Though sugar can keep for exceedingly long times, containing it in a jar is far more useful than older methods. Other methods of packaging jam, especially for industrially produced products, include cans and plastic packets, especially used in the food service industry for individual servings. Fruit preserves typically are of low water activity and can be stored at room temperature after opening, if used within a short period of time.
|
79 |
+
|
80 |
+
The U.S. Food and Drug Administration (FDA) published standards of identity in 21 CFR 150, and treats jam and preserves as synonymous, but distinguishes jelly from jams and preserves. All of these are cooked and pectin-gelled fruit products, but jellies are based entirely on fruit juice or other liquids, while jams and preserves are gelled fruit that may include the seeds and pulp. The United States Department of Agriculture offers grading service based on these standards.[19]
|
81 |
+
|
82 |
+
Under the Processed Products Regulations (C.R.C., c. 291), jams, jellies, citrus marmalade and preserves are defined. Each must contain a minimum percentage of the named fruit and a minimum percentage of water-soluble solids. Jams "shall be the product made by boiling fruit, fruit pulp or canned fruit to a suitable consistency with water and a sweetening ingredient", jellies "shall be the product made by boiling fruit juice or concentrated fruit juice that is free from seeds and pulp with water and a sweetening ingredient until it acquires a gelatinous consistency."[36]
|
83 |
+
|
84 |
+
In the European Union, the jam directive (Council Directive 79/693/EEC, 24 July 1979)[37] set minimum standards for the amount of "fruit" in jam, but the definition of fruit was expanded to take account of several unusual kinds of jam made in the EU. For this purpose, "fruit" is considered to include fruits that are not usually treated in a culinary sense as fruits, such as tomatoes, cucumbers, and pumpkins; fruits that are not normally made into jams; and vegetables that are sometimes made into jams, such as rhubarb (the edible part of the stalks), carrots, and sweet potatoes. This definition continues to apply in the new directive, Council Directive 2001/113/EC of 20 December 2001 relating to fruit jams, jellies and marmalades and sweetened chestnut purée intended for human consumption.[38]
|
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+
|
86 |
+
Extra jam is subject to somewhat stricter rules that set higher standards for the minimum fruit content (45% instead of 35% as a general rule, but lower for some fruits such as redcurrants and blackcurrants), as well specifying as the use of unconcentrated fruit pulp, and forbidding the mixture of certain fruits and vegetables with others.[38]
|
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+
|
88 |
+
Extra jelly similarly specifies that the quantity of fruit juice or aqueous extracts used to make 1,000 grams of finished product must not be less than that laid down for the manufacture of extra jam.[39]
|
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+
|
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+
This article incorporates public domain material from websites or documents of the United States Department of Agriculture.
|
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|
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This article incorporates public domain material from websites or documents of the U.S. Government Publishing Office.
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1 |
+
|
2 |
+
|
3 |
+
Water is an inorganic, transparent, tasteless, odorless, and nearly colorless chemical substance, which is the main constituent of Earth's hydrosphere and the fluids of all known living organisms. It is vital for all known forms of life, even though it provides no calories or organic nutrients. Its chemical formula is H2O, meaning that each of its molecules contains one oxygen and two hydrogen atoms, connected by covalent bonds.
|
4 |
+
|
5 |
+
"Water" is the name of the liquid state of H2O at standard ambient temperature and pressure. It forms precipitation in the form of rain and aerosols in the form of fog. Clouds are formed from suspended droplets of water and ice, its solid state. When finely divided, crystalline ice may precipitate in the form of snow. The gaseous state of water is steam or water vapor. Water moves continually through the water cycle of evaporation, transpiration (evapotranspiration), condensation, precipitation, and runoff, usually reaching the sea.
|
6 |
+
|
7 |
+
Water covers 71% of the Earth's surface, mostly in seas and oceans.[1] Small portions of water occur as groundwater (1.7%), in the glaciers and the ice caps of Antarctica and Greenland (1.7%), and in the air as vapor, clouds (formed of ice and liquid water suspended in air), and precipitation (0.001%).[2][3]
|
8 |
+
|
9 |
+
Water plays an important role in the world economy. Approximately 70% of the freshwater used by humans goes to agriculture.[4] Fishing in salt and fresh water bodies is a major source of food for many parts of the world. Much of the long-distance trade of commodities (such as oil, natural gas, and manufactured products) is transported by boats through seas, rivers, lakes, and canals. Large quantities of water, ice, and steam are used for cooling and heating, in industry and homes. Water is an excellent solvent for a wide variety of substances both mineral and organic; as such it is widely used in industrial processes, and in cooking and washing. Water, ice and snow are also central to many sports and other forms of entertainment, such as swimming, pleasure boating, boat racing, surfing, sport fishing, diving, ice skating and skiing.
|
10 |
+
|
11 |
+
The word water comes from Old English wæter, from Proto-Germanic *watar (source also of Old Saxon watar, Old Frisian wetir, Dutch water, Old High German wazzar, German Wasser, Old Norse vatn, Gothic wato), from Proto-Indo-European *wod-or, suffixed form of root *wed- ("water"; "wet").[5] Also cognate, through the Indo-European root, with Greek ύδωρ (ýdor), Russian вода́ (vodá), Irish uisce, Albanian ujë.
|
12 |
+
|
13 |
+
Water (H2O) is a polar inorganic compound that is at room temperature a tasteless and odorless liquid, nearly colorless with a hint of blue. This simplest hydrogen chalcogenide is by far the most studied chemical compound and is described as the "universal solvent" for its ability to dissolve many substances.[6][7] This allows it to be the "solvent of life":[8] indeed, water as found in nature almost always includes various dissolved substances, and special steps are required to obtain chemically pure water. Water is the only common substance to exist as a solid, liquid, and gas in normal terrestrial conditions.[9]
|
14 |
+
|
15 |
+
Along with oxidane, water is one of the two official names for the chemical compound H2O;[10] it is also the liquid phase of H2O.[11] The other two common states of matter of water are the solid phase, ice, and the gaseous phase, water vapor or steam. The addition or removal of heat can cause phase transitions: freezing (water to ice), melting (ice to water), vaporization (water to vapor), condensation (vapor to water), sublimation (ice to vapor) and deposition (vapor to ice).[12]
|
16 |
+
|
17 |
+
Water differs from most liquids in that it becomes less dense as it freezes.[14] In 1 atm pressure, it reaches its maximum density of 1,000 kg/m3 (62.43 lb/cu ft) at 3.98 °C (39.16 °F).[15] The density of ice is 917 kg/m3 (57.25 lb/cu ft), an expansion of 9%.[16][17] This expansion can exert enormous pressure, bursting pipes and cracking rocks (see Frost weathering).[18]
|
18 |
+
|
19 |
+
In a lake or ocean, water at 4 °C sinks to the bottom and ice forms on the surface, floating on the liquid water. This ice insulates the water below, preventing it from freezing solid. Without this protection, most aquatic organisms would perish during the winter.[19]
|
20 |
+
|
21 |
+
At a pressure of one atmosphere (atm), ice melts or water freezes at 0 °C (32 °F) and water boils or vapor condenses at 100 °C (212 °F). However, even below the boiling point, water can change to vapor at its surface by evaporation (vaporization throughout the liquid is known as boiling). Sublimation and deposition also occur on surfaces.[12] For example, frost is deposited on cold surfaces while snowflakes form by deposition on an aerosol particle or ice nucleus.[20] In the process of freeze-drying, a food is frozen and then stored at low pressure so the ice on its surface sublimates.[21]
|
22 |
+
|
23 |
+
The melting and boiling points depend on pressure. A good approximation for the rate of change of the melting temperature with pressure is given by the Clausius–Clapeyron relation:
|
24 |
+
|
25 |
+
where
|
26 |
+
|
27 |
+
|
28 |
+
|
29 |
+
|
30 |
+
v
|
31 |
+
|
32 |
+
L
|
33 |
+
|
34 |
+
|
35 |
+
|
36 |
+
|
37 |
+
{\displaystyle v_{\text{L}}}
|
38 |
+
|
39 |
+
and
|
40 |
+
|
41 |
+
|
42 |
+
|
43 |
+
|
44 |
+
v
|
45 |
+
|
46 |
+
G
|
47 |
+
|
48 |
+
|
49 |
+
|
50 |
+
|
51 |
+
{\displaystyle v_{\text{G}}}
|
52 |
+
|
53 |
+
are the molar volumes of the liquid and gas phases, and
|
54 |
+
|
55 |
+
|
56 |
+
|
57 |
+
|
58 |
+
L
|
59 |
+
|
60 |
+
f
|
61 |
+
|
62 |
+
|
63 |
+
|
64 |
+
|
65 |
+
{\displaystyle L_{\text{f}}}
|
66 |
+
|
67 |
+
is the molar latent heat of melting. In most substances, the volume increases when melting occurs, so the melting temperature increases with pressure. However, because ice is less dense than water, the melting temperature decreases.[13] In glaciers, pressure melting can occur under sufficiently thick volumes of ice, resulting in subglacial lakes.[22][23]
|
68 |
+
|
69 |
+
The Clausius-Clapeyron relation also applies to the boiling point, except now the vapor phase has a much lower density than the liquid phase, so the boiling point increases with pressure.[24] Water can remain in a liquid state at high temperatures in the deep ocean or underground. For example, temperatures exceed 205 °C (401 °F) in Old Faithful, a geyser in Yellowstone National Park.[25] In hydrothermal vents, the temperature can exceed 400 °C (752 °F).[26]
|
70 |
+
|
71 |
+
At sea level, the boiling point of water is 100 °C (212 °F). As atmospheric pressure decreases with altitude, the boiling point decreases by 1 °C every 274 meters. High-altitude cooking takes longer than sea-level cooking. For example, at 1,524 metres (5,000 ft), cooking time must be increased by a fourth to achieve the desired result.[27] (Conversely, a pressure cooker can be used to decrease cooking times by raising the boiling temperature.[28])
|
72 |
+
In a vacuum, water will boil at room temperature.[29]
|
73 |
+
|
74 |
+
On a pressure/temperature phase diagram (see figure), there are curves separating solid from vapor, vapor from liquid, and liquid from solid. These meet at a single point called the triple point, where all three phases can coexist. The triple point is at a temperature of 273.16 K (0.01 °C) and a pressure of 611.657 pascals (0.00604 atm);[30] it is the lowest pressure at which liquid water can exist. Until 2019, the triple point was used to define the Kelvin temperature scale.[31][32]
|
75 |
+
|
76 |
+
The water/vapor phase curve terminates at 647.096 K (373.946 °C; 705.103 °F) and 22.064 megapascals (3,200.1 psi; 217.75 atm).[33] This is known as the critical point. At higher temperatures and pressures the liquid and vapor phases form a continuous phase called a supercritical fluid. It can be gradually compressed or expanded between gas-like and liquid-like densities, its properties (which are quite different from those of ambient water) are sensitive to density. For example, for suitable pressures and temperatures it can mix freely with nonpolar compounds, including most organic compounds. This makes it useful in a variety of applications including high-temperature electrochemistry and as an ecologically benign solvent or catalyst in chemical reactions involving organic compounds. In Earth's mantle, it acts as a solvent during mineral formation, dissolution and deposition.[34][35]
|
77 |
+
|
78 |
+
The normal form of ice on the surface of Earth is Ice Ih, a phase that forms crystals with hexagonal symmetry. Another with cubic crystalline symmetry, Ice Ic, can occur in the upper atmosphere.[36] As the pressure increases, ice forms other crystal structures. As of 2019, 17 have been experimentally confirmed and several more are predicted theoretically.[37] When sandwiched between layers of graphene, ice forms a square lattice.[38]
|
79 |
+
|
80 |
+
The details of the chemical nature of liquid water are not well understood; some theories suggest that its unusual behaviour is due to the existence of 2 liquid states.[15][39][40][41]
|
81 |
+
|
82 |
+
Pure water is usually described as tasteless and odorless, although humans have specific sensors that can feel the presence of water in their mouths,[42] and frogs are known to be able to smell it.[43] However, water from ordinary sources (including bottled mineral water) usually has many dissolved substances, that may give it varying tastes and odors. Humans and other animals have developed senses that enable them to evaluate the potability of water by avoiding water that is too salty or putrid.[44]
|
83 |
+
|
84 |
+
Pure water is visibly blue due to absorption of light in the region ca. 600 nm - 800 nm.[45] The color can be easily observed in a glass of tap-water placed against a pure white background, in daylight.The principal absorption bands responsible for the color are overtones of the O-H stretching vibrations. The apparent intensity of the color increases with the depth of the water column, following Beer's law. This also applies, for example, with a swimming pool when the light source is sunlight reflected from the pool's white tiles.
|
85 |
+
|
86 |
+
In nature, the color may also be modified from blue to green due to the presence of suspended solids or algae.
|
87 |
+
|
88 |
+
In industry, near-infrared spectroscopy is used with aqueous solutions as the greater intensity of the lower overtones of water means that glass cuvettes with short path-length may be employed. To observe the fundamental stretching absorption spectrum of water or of an aqueous solution in the region around 3500 cm−1 (2.85 μm)[46] a path length of about 25 μm is needed. Also, the cuvette must be both transparent around 3500 cm−1 and insoluble in water; calcium fluoride is one material that is in common use for the cuvette windows with aqueous solutions.
|
89 |
+
|
90 |
+
The Raman-active fundamental vibrations may be observed with, for example, a 1 cm sample cell.
|
91 |
+
|
92 |
+
Aquatic plants, algae, and other photosynthetic organisms can live in water up to hundreds of meters deep, because sunlight can reach them.
|
93 |
+
Practically no sunlight reaches the parts of the oceans below 1,000 meters (3,300 ft) of depth.
|
94 |
+
|
95 |
+
The refractive index of liquid water (1.333 at 20 °C (68 °F)) is much higher than that of air (1.0), similar to those of alkanes and ethanol, but lower than those of glycerol (1.473), benzene (1.501), carbon disulfide (1.627), and common types of glass (1.4 to 1.6). The refraction index of ice (1.31) is lower than that of liquid water.
|
96 |
+
|
97 |
+
In a water molecule, the hydrogen atoms form a 104.5° angle with the oxygen atom. The hydrogen atoms are close to two corners of a tetrahedron centered on the oxygen. At the other two corners are lone pairs of valence electrons that do not participate in the bonding. In a perfect tetrahedron, the atoms would form a 109.5° angle, but the repulsion between the lone pairs is greater than the repulsion between the hydrogen atoms.[47][48]
|
98 |
+
|
99 |
+
Other substances have a tetrahedral molecular structure, for example, methane (CH4) and hydrogen sulfide (H2S). However, oxygen is more electronegative (holds on to its electrons more tightly) than most other elements, so the oxygen atom retains a negative charge while the hydrogen atoms are positively charged. Along with the bent structure, this gives the molecule an electrical dipole moment and it is classified as a polar molecule.[49]
|
100 |
+
|
101 |
+
Water is a good polar solvent, that dissolves many salts and hydrophilic organic molecules such as sugars and simple alcohols such as ethanol. Water also dissolves many gases, such as oxygen and carbon dioxide—the latter giving the fizz of carbonated beverages, sparkling wines and beers. In addition, many substances in living organisms, such as proteins, DNA and polysaccharides, are dissolved in water. The interactions between water and the subunits of these biomacromolecules shape protein folding, DNA base pairing, and other phenomena crucial to life (hydrophobic effect).
|
102 |
+
|
103 |
+
Many organic substances (such as fats and oils and alkanes) are hydrophobic, that is, insoluble in water. Many inorganic substances are insoluble too, including most metal oxides, sulfides, and silicates.
|
104 |
+
|
105 |
+
Because of its polarity, a molecule of water in the liquid or solid state can form up to four hydrogen bonds with neighboring molecules. Hydrogen bonds are about ten times as strong as the Van der Waals force that attracts molecules to each other in most liquids. This is the reason why the melting and boiling points of water are much higher than those of other analogous compounds like hydrogen sulfide. They also explain its exceptionally high specific heat capacity (about 4.2 J/g/K), heat of fusion (about 333 J/g), heat of vaporization (2257 J/g), and thermal conductivity (between 0.561 and 0.679 W/m/K). These properties make water more effective at moderating Earth's climate, by storing heat and transporting it between the oceans and the atmosphere. The hydrogen bonds of water are around 23 kJ/mol (compared to a covalent O-H bond at 492 kJ/mol). Of this, it is estimated that 90% is attributable to electrostatics, while the remaining 10% is partially covalent.[50]
|
106 |
+
|
107 |
+
These bonds are the cause of water's high surface tension[51] and capillary forces. The capillary action refers to the tendency of water to move up a narrow tube against the force of gravity. This property is relied upon by all vascular plants, such as trees.[52]
|
108 |
+
|
109 |
+
Water is a weak solution of hydronium hydroxide - there is an equilibrium 2H2O ⇔ H3O+ + OH−, in combination with solvation of the resulting hydronium ions.
|
110 |
+
|
111 |
+
Pure water has a low electrical conductivity, which increases with the dissolution of a small amount of ionic material such as common salt.
|
112 |
+
|
113 |
+
Liquid water can be split into the elements hydrogen and oxygen by passing an electric current through it—a process called electrolysis. The decomposition requires more energy input than the heat released by the inverse process (285.8 kJ/mol, or 15.9 MJ/kg).[53]
|
114 |
+
|
115 |
+
Liquid water can be assumed to be incompressible for most purposes: its compressibility ranges from 4.4 to 5.1×10−10 Pa−1 in ordinary conditions.[54] Even in oceans at 4 km depth, where the pressure is 400 atm, water suffers only a 1.8% decrease in volume.[55]
|
116 |
+
|
117 |
+
The viscosity of water is about 10−3 Pa·s or 0.01 poise at 20 °C (68 °F), and the speed of sound in liquid water ranges between 1,400 and 1,540 meters per second (4,600 and 5,100 ft/s) depending on temperature. Sound travels long distances in water with little attenuation, especially at low frequencies (roughly 0.03 dB/km for 1 kHz), a property that is exploited by cetaceans and humans for communication and environment sensing (sonar).[56]
|
118 |
+
|
119 |
+
Metallic elements which are more electropositive than hydrogen, particularly the alkali metals and alkaline earth metals such as lithium, sodium, calcium, potassium and cesium displace hydrogen from water, forming hydroxides and releasing hydrogen. At high temperatures, carbon reacts with steam to form carbon monoxide and hydrogen.
|
120 |
+
|
121 |
+
Hydrology is the study of the movement, distribution, and quality of water throughout the Earth. The study of the distribution of water is hydrography. The study of the distribution and movement of groundwater is hydrogeology, of glaciers is glaciology, of inland waters is limnology and distribution of oceans is oceanography. Ecological processes with hydrology are in focus of ecohydrology.
|
122 |
+
|
123 |
+
The collective mass of water found on, under, and over the surface of a planet is called the hydrosphere. Earth's approximate water volume (the total water supply of the world) is 1.386 × 109 cubic kilometers (3.33 × 108 cubic miles).[2]
|
124 |
+
|
125 |
+
Liquid water is found in bodies of water, such as an ocean, sea, lake, river, stream, canal, pond, or puddle. The majority of water on Earth is sea water. Water is also present in the atmosphere in solid, liquid, and vapor states. It also exists as groundwater in aquifers.
|
126 |
+
|
127 |
+
Water is important in many geological processes. Groundwater is present in most rocks, and the pressure of this groundwater affects patterns of faulting. Water in the mantle is responsible for the melt that produces volcanoes at subduction zones. On the surface of the Earth, water is important in both chemical and physical weathering processes. Water, and to a lesser but still significant extent, ice, are also responsible for a large amount of sediment transport that occurs on the surface of the earth. Deposition of transported sediment forms many types of sedimentary rocks, which make up the geologic record of Earth history.
|
128 |
+
|
129 |
+
The water cycle (known scientifically as the hydrologic cycle) refers to the continuous exchange of water within the hydrosphere, between the atmosphere, soil water, surface water, groundwater, and plants.
|
130 |
+
|
131 |
+
Water moves perpetually through each of these regions in the water cycle consisting of the following transfer processes:
|
132 |
+
|
133 |
+
Most water vapor over the oceans returns to the oceans, but winds carry water vapor over land at the same rate as runoff into the sea, about 47 Tt per year. Over land, evaporation and transpiration contribute another 72 Tt per year. Precipitation, at a rate of 119 Tt per year over land, has several forms: most commonly rain, snow, and hail, with some contribution from fog and dew.[57] Dew is small drops of water that are condensed when a high density of water vapor meets a cool surface. Dew usually forms in the morning when the temperature is the lowest, just before sunrise and when the temperature of the earth's surface starts to increase.[58] Condensed water in the air may also refract sunlight to produce rainbows.
|
134 |
+
|
135 |
+
Water runoff often collects over watersheds flowing into rivers. A mathematical model used to simulate river or stream flow and calculate water quality parameters is a hydrological transport model. Some water is diverted to irrigation for agriculture. Rivers and seas offer opportunity for travel and commerce. Through erosion, runoff shapes the environment creating river valleys and deltas which provide rich soil and level ground for the establishment of population centers. A flood occurs when an area of land, usually low-lying, is covered with water. It is when a river overflows its banks or flood comes from the sea. A drought is an extended period of months or years when a region notes a deficiency in its water supply. This occurs when a region receives consistently below average precipitation.
|
136 |
+
|
137 |
+
Water occurs as both "stocks" and "flows." Water can be stored as lakes, water vapor, groundwater or "aquifers," and ice and snow. Of the total volume of global freshwater, an estimated 69 percent is stored in glaciers and permanent snow cover; 30 percent is in groundwater; and the remaining 1 percent in lakes, rivers, the atmosphere, and biota.[59] The length of time water remains in storage is highly variable: some aquifers consist of water stored over thousands of years but lake volumes may fluctuate on a seasonal basis, decreasing during dry periods and increasing during wet ones. A substantial fraction of the water supply for some regions consists of water extracted from water stored in stocks, and when withdrawals exceed recharge, stocks decrease. By some estimates, as much as 30 percent of total water used for irrigation comes from unsustainable withdrawals of groundwater, causing groundwater depletion.[60]
|
138 |
+
|
139 |
+
Sea water contains about 3.5% sodium chloride on average, plus smaller amounts of other substances. The physical properties of sea water differ from fresh water in some important respects. It freezes at a lower temperature (about −1.9 °C (28.6 °F)) and its density increases with decreasing temperature to the freezing point, instead of reaching maximum density at a temperature above freezing. The salinity of water in major seas varies from about 0.7% in the Baltic Sea to 4.0% in the Red Sea. (The Dead Sea, known for its ultra-high salinity levels of between 30–40%, is really a salt lake.)
|
140 |
+
|
141 |
+
Tides are the cyclic rising and falling of local sea levels caused by the tidal forces of the Moon and the Sun acting on the oceans. Tides cause changes in the depth of the marine and estuarine water bodies and produce oscillating currents known as tidal streams. The changing tide produced at a given location is the result of the changing positions of the Moon and Sun relative to the Earth coupled with the effects of Earth rotation and the local bathymetry. The strip of seashore that is submerged at high tide and exposed at low tide, the intertidal zone, is an important ecological product of ocean tides.
|
142 |
+
|
143 |
+
High tide
|
144 |
+
|
145 |
+
Low tide
|
146 |
+
|
147 |
+
From a biological standpoint, water has many distinct properties that are critical for the proliferation of life. It carries out this role by allowing organic compounds to react in ways that ultimately allow replication. All known forms of life depend on water. Water is vital both as a solvent in which many of the body's solutes dissolve and as an essential part of many metabolic processes within the body. Metabolism is the sum total of anabolism and catabolism. In anabolism, water is removed from molecules (through energy requiring enzymatic chemical reactions) in order to grow larger molecules (e.g., starches, triglycerides and proteins for storage of fuels and information). In catabolism, water is used to break bonds in order to generate smaller molecules (e.g., glucose, fatty acids and amino acids to be used for fuels for energy use or other purposes). Without water, these particular metabolic processes could not exist.
|
148 |
+
|
149 |
+
Water is fundamental to photosynthesis and respiration. Photosynthetic cells use the sun's energy to split off water's hydrogen from oxygen.[citation needed] Hydrogen is combined with CO2 (absorbed from air or water) to form glucose and release oxygen.[citation needed] All living cells use such fuels and oxidize the hydrogen and carbon to capture the sun's energy and reform water and CO2 in the process (cellular respiration).
|
150 |
+
|
151 |
+
Water is also central to acid-base neutrality and enzyme function. An acid, a hydrogen ion (H+, that is, a proton) donor, can be neutralized by a base, a proton acceptor such as a hydroxide ion (OH−) to form water. Water is considered to be neutral, with a pH (the negative log of the hydrogen ion concentration) of 7. Acids have pH values less than 7 while bases have values greater than 7.
|
152 |
+
|
153 |
+
Earth surface waters are filled with life. The earliest life forms appeared in water; nearly all fish live exclusively in water, and there are many types of marine mammals, such as dolphins and whales. Some kinds of animals, such as amphibians, spend portions of their lives in water and portions on land. Plants such as kelp and algae grow in the water and are the basis for some underwater ecosystems. Plankton is generally the foundation of the ocean food chain.
|
154 |
+
|
155 |
+
Aquatic vertebrates must obtain oxygen to survive, and they do so in various ways. Fish have gills instead of lungs, although some species of fish, such as the lungfish, have both. Marine mammals, such as dolphins, whales, otters, and seals need to surface periodically to breathe air. Some amphibians are able to absorb oxygen through their skin. Invertebrates exhibit a wide range of modifications to survive in poorly oxygenated waters including breathing tubes (see insect and mollusc siphons) and gills (Carcinus). However as invertebrate life evolved in an aquatic habitat most have little or no specialization for respiration in water.
|
156 |
+
|
157 |
+
Some of the biodiversity of a coral reef
|
158 |
+
|
159 |
+
Some marine diatoms – a key phytoplankton group
|
160 |
+
|
161 |
+
Squat lobster and Alvinocarididae shrimp at the Von Damm hydrothermal field survive by altered water chemistry
|
162 |
+
|
163 |
+
Civilization has historically flourished around rivers and major waterways; Mesopotamia, the so-called cradle of civilization, was situated between the major rivers Tigris and Euphrates; the ancient society of the Egyptians depended entirely upon the Nile. Rome was also founded on the banks of the Italian river Tiber. Large metropolises like Rotterdam, London, Montreal, Paris, New York City, Buenos Aires, Shanghai, Tokyo, Chicago, and Hong Kong owe their success in part to their easy accessibility via water and the resultant expansion of trade. Islands with safe water ports, like Singapore, have flourished for the same reason. In places such as North Africa and the Middle East, where water is more scarce, access to clean drinking water was and is a major factor in human development.
|
164 |
+
|
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Water fit for human consumption is called drinking water or potable water. Water that is not potable may be made potable by filtration or distillation, or by a range of other methods.
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Water that is not fit for drinking but is not harmful to humans when used for swimming or bathing is called by various names other than potable or drinking water, and is sometimes called safe water, or "safe for bathing". Chlorine is a skin and mucous membrane irritant that is used to make water safe for bathing or drinking. Its use is highly technical and is usually monitored by government regulations (typically 1 part per million (ppm) for drinking water, and 1–2 ppm of chlorine not yet reacted with impurities for bathing water). Water for bathing may be maintained in satisfactory microbiological condition using chemical disinfectants such as chlorine or ozone or by the use of ultraviolet light.
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In the US, non-potable forms of wastewater generated by humans may be referred to as grey water, which is treatable and thus easily able to be made potable again, and blackwater, which generally contains sewage and other forms of waste which require further treatment in order to be made reusable. Greywater composes 50–80% of residential wastewater generated by a household's sanitation equipment (sinks, showers and kitchen runoff, but not toilets, which generate blackwater.) These terms may have different meanings in other countries and cultures.
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This natural resource is becoming scarcer in certain places, and its availability is a major social and economic concern. Currently, about a billion people around the world routinely drink unhealthy water. In 2000, the United Nations established the Millennium Development Goals for water to halve by 2015 the proportion of people worldwide without access to safe water and sanitation. Progress toward that goal was uneven, and in 2015 the UN committed to the following targets set by the Sustainable Development Goals of achieving universal access to safe and affordable water and sanitation by 2030. Poor water quality and bad sanitation are deadly; some five million deaths a year are caused by water-related diseases. The World Health Organization estimates that safe water could prevent 1.4 million child deaths from diarrhoea each year.[61]
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Water is not an infinite resource (meaning the availability of water is limited), but rather re-circulated as potable water in precipitation.[62]
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In the developing world, 90% of all wastewater still goes untreated into local rivers and streams.[63] Some 50 countries, with roughly a third of the world's population, also suffer from medium or high water stress, and 17 of these extract more water annually than is recharged through their natural water cycles.[64] The strain not only affects surface freshwater bodies like rivers and lakes, but it also degrades groundwater resources.
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The most important use of water in agriculture is for irrigation, which is a key component to produce enough food. Irrigation takes up to 90% of water withdrawn in some developing countries[66] and significant proportions in more economically developed countries (in the United States, 42% of freshwater withdrawn for use is for irrigation).[67]
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Fifty years ago, the common perception was that water was an infinite resource. At the time, there were fewer than half the current number of people on the planet. People were not as wealthy as today, consumed fewer calories and ate less meat, so less water was needed to produce their food. They required a third of the volume of water we presently take from rivers. Today, the competition for the fixed amount of water resources is much more intense, giving rise to the concept of peak water.[68] This is because there are now nearly eight billion people on the planet, their consumption of water-thirsty meat and vegetables is rising, and there is increasing competition for water from industry, urbanization and biofuel crops. In future, even more, water will be needed to produce food because the Earth's population is forecast to rise to 9 billion by 2050.[69]
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An assessment of water management in agriculture was conducted in 2007 by the International Water Management Institute in Sri Lanka to see if the world had sufficient water to provide food for its growing population.[70] It assessed the current availability of water for agriculture on a global scale and mapped out locations suffering from water scarcity. It found that a fifth of the world's people, more than 1.2 billion, live in areas of physical water scarcity, where there is not enough water to meet all demands. A further 1.6 billion people live in areas experiencing economic water scarcity, where the lack of investment in water or insufficient human capacity make it impossible for authorities to satisfy the demand for water. The report found that it would be possible to produce the food required in future, but that continuation of today's food production and environmental trends would lead to crises in many parts of the world. To avoid a global water crisis, farmers will have to strive to increase productivity to meet growing demands for food, while industry and cities find ways to use water more efficiently.[71]
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Water scarcity is also caused by production of cotton: 1 kg of cotton—equivalent of a pair of jeans—requires 10.9 cubic meters (380 cu ft) water to produce. While cotton accounts for 2.4% of world water use, the water is consumed in regions which are already at a risk of water shortage. Significant environmental damage has been caused, such as disappearance of the Aral Sea.[72]
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Water requirement per tonne of food product
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Water distribution in subsurface drip irrigation
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Irrigation of field crops
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On 7 April 1795, the gram was defined in France to be equal to "the absolute weight of a volume of pure water equal to a cube of one hundredth of a meter, and at the temperature of melting ice".[73] For practical purposes though, a metallic reference standard was required, one thousand times more massive, the kilogram. Work was therefore commissioned to determine precisely the mass of one liter of water. In spite of the fact that the decreed definition of the gram specified water at 0 °C (32 °F)—a highly reproducible temperature—the scientists chose to redefine the standard and to perform their measurements at the temperature of highest water density, which was measured at the time as 4 °C (39 °F).[74]
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The Kelvin temperature scale of the SI system was based on the triple point of water, defined as exactly 273.16 K (0.01 °C; 32.02 °F), but as of May 2019 is based on the Boltzmann constant instead. The scale is an absolute temperature scale with the same increment as the Celsius temperature scale, which was originally defined according to the boiling point (set to 100 °C (212 °F)) and melting point (set to 0 °C (32 °F)) of water.
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Natural water consists mainly of the isotopes hydrogen-1 and oxygen-16, but there is also a small quantity of heavier isotopes oxygen-18, oxygen-17, and hydrogen-2 (deuterium). The percentage of the heavier isotopes is very small, but it still affects the properties of water. Water from rivers and lakes tends to contain less heavy isotopes than seawater. Therefore, standard water is defined in the Vienna Standard Mean Ocean Water specification.
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The human body contains from 55% to 78% water, depending on body size.[75] To function properly, the body requires between one and seven liters (0.22 and 1.54 imp gal; 0.26 and 1.85 U.S. gal)[citation needed] of water per day to avoid dehydration; the precise amount depends on the level of activity, temperature, humidity, and other factors. Most of this is ingested through foods or beverages other than drinking straight water. It is not clear how much water intake is needed by healthy people, though the British Dietetic Association advises that 2.5 liters of total water daily is the minimum to maintain proper hydration, including 1.8 liters (6 to 7 glasses) obtained directly from beverages.[76] Medical literature favors a lower consumption, typically 1 liter of water for an average male, excluding extra requirements due to fluid loss from exercise or warm weather.[77]
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Healthy kidneys can excrete 0.8 to 1 liter of water per hour, but stress such as exercise can reduce this amount. People can drink far more water than necessary while exercising, putting them at risk of water intoxication (hyperhydration), which can be fatal.[78][79] The popular claim that "a person should consume eight glasses of water per day" seems to have no real basis in science.[80] Studies have shown that extra water intake, especially up to 500 milliliters (18 imp fl oz; 17 U.S. fl oz) at mealtime was conducive to weight loss.[81][82][83][84][85][86] Adequate fluid intake is helpful in preventing constipation.[87]
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An original recommendation for water intake in 1945 by the Food and Nutrition Board of the United States National Research Council read: "An ordinary standard for diverse persons is 1 milliliter for each calorie of food. Most of this quantity is contained in prepared foods."[88] The latest dietary reference intake report by the United States National Research Council in general recommended, based on the median total water intake from US survey data (including food sources): 3.7 liters (0.81 imp gal; 0.98 U.S. gal) for men and 2.7 liters (0.59 imp gal; 0.71 U.S. gal) of water total for women, noting that water contained in food provided approximately 19% of total water intake in the survey.[89]
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Specifically, pregnant and breastfeeding women need additional fluids to stay hydrated. The Institute of Medicine (US) recommends that, on average, men consume 3 liters (0.66 imp gal; 0.79 U.S. gal) and women 2.2 liters (0.48 imp gal; 0.58 U.S. gal); pregnant women should increase intake to 2.4 liters (0.53 imp gal; 0.63 U.S. gal) and breastfeeding women should get 3 liters (12 cups), since an especially large amount of fluid is lost during nursing.[90] Also noted is that normally, about 20% of water intake comes from food, while the rest comes from drinking water and beverages (caffeinated included). Water is excreted from the body in multiple forms; through urine and feces, through sweating, and by exhalation of water vapor in the breath. With physical exertion and heat exposure, water loss will increase and daily fluid needs may increase as well.
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Humans require water with few impurities. Common impurities include metal salts and oxides, including copper, iron, calcium and lead,[91] and/or harmful bacteria, such as Vibrio. Some solutes are acceptable and even desirable for taste enhancement and to provide needed electrolytes.[92]
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The single largest (by volume) freshwater resource suitable for drinking is Lake Baikal in Siberia.[93]
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The propensity of water to form solutions and emulsions is useful in various washing processes. Washing is also an important component of several aspects of personal body hygiene. Most of personal water use is due to showering, doing the laundry and dishwashing, reaching hundreds of liters per day per person in developed countries.
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The use of water for transportation of materials through rivers and canals as well as the international shipping lanes is an important part of the world economy.
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Water is widely used in chemical reactions as a solvent or reactant and less commonly as a solute or catalyst. In inorganic reactions, water is a common solvent, dissolving many ionic compounds, as well as other polar compounds such as ammonia and compounds closely related to water. In organic reactions, it is not usually used as a reaction solvent, because it does not dissolve the reactants well and is amphoteric (acidic and basic) and nucleophilic. Nevertheless, these properties are sometimes desirable. Also, acceleration of Diels-Alder reactions by water has been observed. Supercritical water has recently been a topic of research. Oxygen-saturated supercritical water combusts organic pollutants efficiently. Water vapor is used for some processes in the chemical industry. An example is the production of acrylic acid from acrolein, propylene and propane.[94][95][96][97] The possible effect of water in these reactions includes the physical-, chemical interaction of water with the catalyst and the chemical reaction of water with the reaction intermediates.
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Water and steam are a common fluid used for heat exchange, due to its availability and high heat capacity, both for cooling and heating. Cool water may even be naturally available from a lake or the sea. It's especially effective to transport heat through vaporization and condensation of water because of its large latent heat of vaporization. A disadvantage is that metals commonly found in industries such as steel and copper are oxidized faster by untreated water and steam. In almost all thermal power stations, water is used as the working fluid (used in a closed loop between boiler, steam turbine and condenser), and the coolant (used to exchange the waste heat to a water body or carry it away by evaporation in a cooling tower). In the United States, cooling power plants is the largest use of water.[98]
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In the nuclear power industry, water can also be used as a neutron moderator. In most nuclear reactors, water is both a coolant and a moderator. This provides something of a passive safety measure, as removing the water from the reactor also slows the nuclear reaction down. However other methods are favored for stopping a reaction and it is preferred to keep the nuclear core covered with water so as to ensure adequate cooling.
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Water has a high heat of vaporization and is relatively inert, which makes it a good fire extinguishing fluid. The evaporation of water carries heat away from the fire. It is dangerous to use water on fires involving oils and organic solvents, because many organic materials float on water and the water tends to spread the burning liquid.
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Use of water in fire fighting should also take into account the hazards of a steam explosion, which may occur when water is used on very hot fires in confined spaces, and of a hydrogen explosion, when substances which react with water, such as certain metals or hot carbon such as coal, charcoal, or coke graphite, decompose the water, producing water gas.
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The power of such explosions was seen in the Chernobyl disaster, although the water involved did not come from fire-fighting at that time but the reactor's own water cooling system. A steam explosion occurred when the extreme overheating of the core caused water to flash into steam. A hydrogen explosion may have occurred as a result of reaction between steam and hot zirconium.
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Some metallic oxides, most notably those of alkali metals and alkaline earth metals, produce so much heat on reaction with water that a fire hazard can develop. The alkaline earth oxide quicklime is a mass-produced substance which is often transported in paper bags. If these are soaked through, they may ignite as their contents react with water.[99]
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Humans use water for many recreational purposes, as well as for exercising and for sports. Some of these include swimming, waterskiing, boating, surfing and diving. In addition, some sports, like ice hockey and ice skating, are played on ice. Lakesides, beaches and water parks are popular places for people to go to relax and enjoy recreation. Many find the sound and appearance of flowing water to be calming, and fountains and other water features are popular decorations. Some keep fish and other life in aquariums or ponds for show, fun, and companionship. Humans also use water for snow sports i.e. skiing, sledding, snowmobiling or snowboarding, which require the water to be frozen.
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The water industry provides drinking water and wastewater services (including sewage treatment) to households and industry. Water supply facilities include water wells, cisterns for rainwater harvesting, water supply networks, and water purification facilities, water tanks, water towers, water pipes including old aqueducts. Atmospheric water generators are in development.
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Drinking water is often collected at springs, extracted from artificial borings (wells) in the ground, or pumped from lakes and rivers. Building more wells in adequate places is thus a possible way to produce more water, assuming the aquifers can supply an adequate flow. Other water sources include rainwater collection. Water may require purification for human consumption. This may involve removal of undissolved substances, dissolved substances and harmful microbes. Popular methods are filtering with sand which only removes undissolved material, while chlorination and boiling kill harmful microbes. Distillation does all three functions. More advanced techniques exist, such as reverse osmosis. Desalination of abundant seawater is a more expensive solution used in coastal arid climates.
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The distribution of drinking water is done through municipal water systems, tanker delivery or as bottled water. Governments in many countries have programs to distribute water to the needy at no charge.
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Reducing usage by using drinking (potable) water only for human consumption is another option. In some cities such as Hong Kong, sea water is extensively used for flushing toilets citywide in order to conserve fresh water resources.
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Polluting water may be the biggest single misuse of water; to the extent that a pollutant limits other uses of the water, it becomes a waste of the resource, regardless of benefits to the polluter. Like other types of pollution, this does not enter standard accounting of market costs, being conceived as externalities for which the market cannot account. Thus other people pay the price of water pollution, while the private firms' profits are not redistributed to the local population, victims of this pollution. Pharmaceuticals consumed by humans often end up in the waterways and can have detrimental effects on aquatic life if they bioaccumulate and if they are not biodegradable.
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Municipal and industrial wastewater are typically treated at wastewater treatment plants. Mitigation of polluted surface runoff is addressed through a variety of prevention and treatment techniques. (See Surface runoff#Mitigation and treatment.)
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A water-carrier in India, 1882. In many places where running water is not available, water has to be transported by people.
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A manual water pump in China
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Water purification facility
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Reverse osmosis (RO) desalination plant in Barcelona, Spain
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Many industrial processes rely on reactions using chemicals dissolved in water, suspension of solids in water slurries or using water to dissolve and extract substances, or to wash products or process equipment. Processes such as mining, chemical pulping, pulp bleaching, paper manufacturing, textile production, dyeing, printing, and cooling of power plants use large amounts of water, requiring a dedicated water source, and often cause significant water pollution.
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Water is used in power generation. Hydroelectricity is electricity obtained from hydropower. Hydroelectric power comes from water driving a water turbine connected to a generator. Hydroelectricity is a low-cost, non-polluting, renewable energy source. The energy is supplied by the motion of water. Typically a dam is constructed on a river, creating an artificial lake behind it. Water flowing out of the lake is forced through turbines that turn generators.
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Pressurized water is used in water blasting and water jet cutters. Also, very high pressure water guns are used for precise cutting. It works very well, is relatively safe, and is not harmful to the environment. It is also used in the cooling of machinery to prevent overheating, or prevent saw blades from overheating.
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Water is also used in many industrial processes and machines, such as the steam turbine and heat exchanger, in addition to its use as a chemical solvent. Discharge of untreated water from industrial uses is pollution. Pollution includes discharged solutes (chemical pollution) and discharged coolant water (thermal pollution). Industry requires pure water for many applications and utilizes a variety of purification techniques both in water supply and discharge.
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Boiling, steaming, and simmering are popular cooking methods that often require immersing food in water or its gaseous state, steam.[100] Water is also used for dishwashing. Water also plays many critical roles within the field of food science.
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Solutes such as salts and sugars found in water affect the physical properties of water. The boiling and freezing points of water are affected by solutes, as well as air pressure, which is in turn affected by altitude. Water boils at lower temperatures with the lower air pressure that occurs at higher elevations. One mole of sucrose (sugar) per kilogram of water raises the boiling point of water by 0.51 °C (0.918 °F), and one mole of salt per kg raises the boiling point by 1.02 °C (1.836 °F); similarly, increasing the number of dissolved particles lowers water's freezing point.[101]
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Solutes in water also affect water activity that affects many chemical reactions and the growth of microbes in food.[102] Water activity can be described as a ratio of the vapor pressure of water in a solution to the vapor pressure of pure water.[101] Solutes in water lower water activity—this is important to know because most bacterial growth ceases at low levels of water activity.[102] Not only does microbial growth affect the safety of food, but also the preservation and shelf life of food.
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Water hardness is also a critical factor in food processing and may be altered or treated by using a chemical ion exchange system. It can dramatically affect the quality of a product, as well as playing a role in sanitation. Water hardness is classified based on concentration of calcium carbonate the water contains. Water is classified as soft if it contains less than 100 mg/l (UK)[103] or less than 60 mg/l (US).[104]
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According to a report published by the Water Footprint organization in 2010, a single kilogram of beef requires 15 thousand liters (3.3×10^3 imp gal; 4.0×10^3 U.S. gal) of water; however, the authors also make clear that this is a global average and circumstantial factors determine the amount of water used in beef production.[105]
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Water for injection is on the World Health Organization's list of essential medicines.[106]
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Much of the universe's water is produced as a byproduct of star formation. The formation of stars is accompanied by a strong outward wind of gas and dust. When this outflow of material eventually impacts the surrounding gas, the shock waves that are created compress and heat the gas. The water observed is quickly produced in this warm dense gas.[108]
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On 22 July 2011, a report described the discovery of a gigantic cloud of water vapor containing "140 trillion times more water than all of Earth's oceans combined" around a quasar located 12 billion light years from Earth. According to the researchers, the "discovery shows that water has been prevalent in the universe for nearly its entire existence".[109][110]
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Water has been detected in interstellar clouds within our galaxy, the Milky Way.[111] Water probably exists in abundance in other galaxies, too, because its components, hydrogen and oxygen, are among the most abundant elements in the universe. Based on models of the formation and evolution of the Solar System and that of other star systems, most other planetary systems are likely to have similar ingredients.
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Water is present as vapor in:
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Liquid water is present on Earth, covering 71% of its surface.[1] Liquid water is also occasionally present in small amounts on Mars.[132] Scientists believe liquid water is present in the Saturnian moons of Enceladus, as a 10-kilometre thick ocean approximately 30–40 kilometres below Enceladus' south polar surface,[133][134] and Titan, as a subsurface layer, possibly mixed with ammonia.[135] Jupiter's moon Europa has surface characteristics which suggest a subsurface liquid water ocean.[136] Liquid water may also exist on Jupiter's moon Ganymede as a layer sandwiched between high pressure ice and rock.[137]
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Water is present as ice on:
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And is also likely present on:
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Water and other volatiles probably comprise much of the internal structures of Uranus and Neptune and the water in the deeper layers may be in the form of ionic water in which the molecules break down into a soup of hydrogen and oxygen ions, and deeper still as superionic water in which the oxygen crystallises but the hydrogen ions float about freely within the oxygen lattice.[156]
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The existence of liquid water, and to a lesser extent its gaseous and solid forms, on Earth are vital to the existence of life on Earth as we know it. The Earth is located in the habitable zone of the Solar System; if it were slightly closer to or farther from the Sun (about 5%, or about 8 million kilometers), the conditions which allow the three forms to be present simultaneously would be far less likely to exist.[157][158]
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Earth's gravity allows it to hold an atmosphere. Water vapor and carbon dioxide in the atmosphere provide a temperature buffer (greenhouse effect) which helps maintain a relatively steady surface temperature. If Earth were smaller, a thinner atmosphere would allow temperature extremes, thus preventing the accumulation of water except in polar ice caps (as on Mars).[citation needed]
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The surface temperature of Earth has been relatively constant through geologic time despite varying levels of incoming solar radiation (insolation), indicating that a dynamic process governs Earth's temperature via a combination of greenhouse gases and surface or atmospheric albedo. This proposal is known as the Gaia hypothesis.[citation needed]
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The state of water on a planet depends on ambient pressure, which is determined by the planet's gravity. If a planet is sufficiently massive, the water on it may be solid even at high temperatures, because of the high pressure caused by gravity, as it was observed on exoplanets Gliese 436 b[159] and GJ 1214 b.[160]
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Water politics is politics affected by water and water resources. For this reason, water is a strategic resource in the globe and an important element in many political conflicts. It causes health impacts and damage to biodiversity.
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Access to safe drinking water has improved over the last decades in almost every part of the world, but approximately one billion people still lack access to safe water and over 2.5 billion lack access to adequate sanitation.[161] However, some observers have estimated that by 2025 more than half of the world population will be facing water-based vulnerability.[162] A report, issued in November 2009, suggests that by 2030, in some developing regions of the world, water demand will exceed supply by 50%.[163]
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1.6 billion people have gained access to a safe water source since 1990.[164] The proportion of people in developing countries with access to safe water is calculated to have improved from 30% in 1970[165] to 71% in 1990, 79% in 2000 and 84% in 2004.[161]
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A 2006 United Nations report stated that "there is enough water for everyone", but that access to it is hampered by mismanagement and corruption.[166] In addition, global initiatives to improve the efficiency of aid delivery, such as the Paris Declaration on Aid Effectiveness, have not been taken up by water sector donors as effectively as they have in education and health, potentially leaving multiple donors working on overlapping projects and recipient governments without empowerment to act.[167]
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The authors of the 2007 Comprehensive Assessment of Water Management in Agriculture cited poor governance as one reason for some forms of water scarcity. Water governance is the set of formal and informal processes through which decisions related to water management are made. Good water governance is primarily about knowing what processes work best in a particular physical and socioeconomic context. Mistakes have sometimes been made by trying to apply 'blueprints' that work in the developed world to developing world locations and contexts. The Mekong river is one example; a review by the International Water Management Institute of policies in six countries that rely on the Mekong river for water found that thorough and transparent cost-benefit analyses and environmental impact assessments were rarely undertaken. They also discovered that Cambodia's draft water law was much more complex than it needed to be.[168]
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The UN World Water Development Report (WWDR, 2003) from the World Water Assessment Program indicates that, in the next 20 years, the quantity of water available to everyone is predicted to decrease by 30%. 40% of the world's inhabitants currently have insufficient fresh water for minimal hygiene. More than 2.2 million people died in 2000 from waterborne diseases (related to the consumption of contaminated water) or drought. In 2004, the UK charity WaterAid reported that a child dies every 15 seconds from easily preventable water-related diseases; often this means lack of sewage disposal.[citation needed]
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Organizations concerned with water protection include the International Water Association (IWA), WaterAid, Water 1st, and the American Water Resources Association. The International Water Management Institute undertakes projects with the aim of using effective water management to reduce poverty. Water related conventions are United Nations Convention to Combat Desertification (UNCCD), International Convention for the Prevention of Pollution from Ships, United Nations Convention on the Law of the Sea and Ramsar Convention. World Day for Water takes place on 22 March and World Oceans Day on 8 June.[citation needed]
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Water is considered a purifier in most religions. Faiths that incorporate ritual washing (ablution) include Christianity, Hinduism, Islam, Judaism, the Rastafari movement, Shinto, Taoism, and Wicca. Immersion (or aspersion or affusion) of a person in water is a central sacrament of Christianity (where it is called baptism); it is also a part of the practice of other religions, including Islam (Ghusl), Judaism (mikvah) and Sikhism (Amrit Sanskar). In addition, a ritual bath in pure water is performed for the dead in many religions including Islam and Judaism. In Islam, the five daily prayers can be done in most cases after completing washing certain parts of the body using clean water (wudu), unless water is unavailable (see Tayammum). In Shinto, water is used in almost all rituals to cleanse a person or an area (e.g., in the ritual of misogi).
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In Christianity, holy water is water that has been sanctified by a priest for the purpose of baptism, the blessing of persons, places, and objects, or as a means of repelling evil.[169][170]
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In Zoroastrianism, water (āb) is respected as the source of life.[171]
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The Ancient Greek philosopher Empedocles held that water is one of the four classical elements along with fire, earth and air, and was regarded as the ylem, or basic substance of the universe. Thales, who was portrayed by Aristotle as an astronomer and an engineer, theorized that the earth, which is denser than water, emerged from the water. Thales, a monist, believed further that all things are made from water. Plato believed the shape of water is an icosahedron which accounts for why it is able to flow easily compared to the cube-shaped earth.[172]
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In the theory of the four bodily humors, water was associated with phlegm, as being cold and moist. The classical element of water was also one of the five elements in traditional Chinese philosophy, along with earth, fire, wood, and metal.
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Water is also taken as a role model in some parts of traditional and popular Asian philosophy. James Legge's 1891 translation of the Dao De Jing states, "The highest excellence is like (that of) water. The excellence of water appears in its benefiting all things, and in its occupying, without striving (to the contrary), the low place which all men dislike. Hence (its way) is near to (that of) the Tao" and "There is nothing in the world more soft and weak than water, and yet for attacking things that are firm and strong there is nothing that can take precedence of it—for there is nothing (so effectual) for which it can be changed."[173] Guanzi in the "Shui di" 水地 chapter further elaborates on the symbolism of water, proclaiming that "man is water" and attributing natural qualities of the people of different Chinese regions to the character of local water resources.[174]
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Water's technically correct but rarely used chemical name, "dihydrogen monoxide", has been used in a series of hoaxes and pranks that mock scientific illiteracy. This began in 1983, when an April Fools' Day article appeared in a newspaper in Durand, Michigan. The false story consisted of safety concerns about the substance.[175]
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War is an intense armed conflict between states, governments, societies, or paramilitary groups such as mercenaries, insurgents and militias. It is generally characterized by extreme violence, aggression, destruction, and mortality, using regular or irregular military forces. Warfare refers to the common activities and characteristics of types of war, or of wars in general.[1] Total war is warfare that is not restricted to purely legitimate military targets, and can result in massive civilian or other non-combatant suffering and casualties.
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The scholarly study of war is sometimes called polemology (/ˌpɒləˈmɒlədʒi/ POL-ə-MOL-ə-jee), from the Greek polemos, meaning "war", and -logy, meaning "the study of".
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While some scholars see war as a universal and ancestral aspect of human nature,[2] others argue it is a result of specific socio-cultural, economic or ecological circumstances.[3]
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The English word war derives from the 11th-century Old English words wyrre and werre, from Old French werre (also guerre as in modern French), in turn from the Frankish *werra, ultimately deriving from the Proto-Germanic *werzō 'mixture, confusion'. The word is related to the Old Saxon werran, Old High German werran, and the German verwirren, meaning “to confuse”, “to perplex”, and “to bring into confusion”.[4]
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The earliest evidence of prehistoric warfare is a Mesolithic cemetery in Jebel Sahaba, which has been determined to be approximately 14,000 years old. About forty-five percent of the skeletons there displayed signs of violent death.[7] Since the rise of the state some 5,000 years ago,[8] military activity has occurred over much of the globe. The advent of gunpowder and the acceleration of technological advances led to modern warfare. According to Conway W. Henderson, "One source claims that 14,500 wars have taken place between 3500 BC and the late 20th century, costing 3.5 billion lives, leaving only 300 years of peace (Beer 1981: 20)."[9] An unfavorable review of this estimate[10] mentions the following regarding one of the proponents of this estimate: "In addition, perhaps feeling that the war casualties figure was improbably high, he changed "approximately 3,640,000,000 human beings have been killed by war or the diseases produced by war" to "approximately 1,240,000,000 human beings...&c."" The lower figure is more plausible,[11] but could also be on the high side, considering that the 100 deadliest acts of mass violence between 480 BC and 2002 AD (wars and other man-made disasters with at least 300,000 and up to 66 million victims) claimed about 455 million human lives in total.[12] Primitive warfare is estimated to have accounted for 15.1 % of deaths and claimed 400 million victims.[13] Added to the aforementioned (and perhaps too high) figure of 1,240 million between 3500 BC and the late 20th century, this would mean a total of 1,640,000,000 people killed by war (including deaths from famine and disease caused by war) throughout the history and pre-history of mankind. For comparison, an estimated 1,680,000,000 people died from infectious diseases in the 20th century.[14] Nuclear warfare breaking out in August 1988, when nuclear arsenals were at peak level, and the aftermath thereof, could have reduced human population from 5,150,000,000 by 1,850,000,000 to 3,300,000,000 within a period of about one year, according to a projection that did not consider "the most severe predictions concerning nuclear winter".[15] This would have been a proportional reduction of the world's population exceeding the reduction caused in the 14th century by the Black Death, and comparable in proportional terms with the plague's impact on Europe's population in 1346–53.
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In War Before Civilization, Lawrence H. Keeley, a professor at the University of Illinois, says approximately 90–95% of known societies throughout history engaged in at least occasional warfare,[16] and many fought constantly.[17]
|
18 |
+
|
19 |
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Keeley describes several styles of primitive combat such as small raids, large raids, and massacres. All of these forms of warfare were used by primitive societies, a finding supported by other researchers.[18] Keeley explains that early war raids were not well organized, as the participants did not have any formal training. Scarcity of resources meant defensive works were not a cost-effective way to protect the society against enemy raids.[19]
|
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+
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William Rubinstein wrote "Pre-literate societies, even those organised in a relatively advanced way, were renowned for their studied cruelty...'archaeology yields evidence of prehistoric massacres more severe than any recounted in ethnography [i.e., after the coming of the Europeans].'"[20]
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In Western Europe, since the late 18th century, more than 150 conflicts and about 600 battles have taken place.[21] During the 20th century, war resulted in a dramatic intensification of the pace of social changes, and was a crucial catalyst for the emergence of the Left as a force to be reckoned with.[22]
|
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|
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+
In 1947, in view of the rapidly increasingly destructive consequences of modern warfare, and with a particular concern for the consequences and costs of the newly developed atom bomb, Albert Einstein famously stated, "I know not with what weapons World War III will be fought, but World War IV will be fought with sticks and stones."[24]
|
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+
|
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+
Mao Zedong urged the socialist camp not to fear nuclear war with the United States since, even if "half of mankind died, the other half would remain while imperialism would be razed to the ground and the whole world would become socialist."[25]
|
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+
|
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+
A distinctive feature since 1945 is the absence of wars between major powers—indeed the near absence of any traditional wars between established countries. The major exceptions were the Indo-Pakistani War of 1971, the Iran–Iraq War 1980–1988, and the Gulf War of 1990–91. Instead actual fighting has largely been a matter of civil wars and insurgencies.[26]
|
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+
|
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+
The Human Security Report 2005 documented a significant decline in the number and severity of armed conflicts since the end of the Cold War in the early 1990s. However, the evidence examined in the 2008 edition of the Center for International Development and Conflict Management's "Peace and Conflict" study indicated the overall decline in conflicts had stalled.[27]
|
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+
|
33 |
+
Throughout the course of human history, the average number of people dying from war has fluctuated relatively little, being about 1 to 10 people dying per 100,000. However, major wars over shorter periods have resulted in much higher casualty rates, with 100-200 casualties per 100,000 over a few years. While conventional wisdom holds that casualties have increased in recent times due to technological improvements in warfare, this is not generally true. For instance, the Thirty Years' War (1618-1648) had about the same number of casualties per capita as World War I, although it was higher during World War II (WWII). That said, overall the number of casualties from war has not significantly increased in recent times. Quite to the contrary, on a global scale the time since WWII has been unusually peaceful.[30]
|
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|
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The deadliest war in history, in terms of the cumulative number of deaths since its start, is World War II, from 1939 to 1945, with 60–85 million deaths, followed by the Mongol conquests[31] at up to 60 million. As concerns a belligerent's losses in proportion to its prewar population, the most destructive war in modern history may have been the Paraguayan War (see Paraguayan War casualties). In 2013 war resulted in 31,000 deaths, down from 72,000 deaths in 1990.[32] In 2003, Richard Smalley identified war as the sixth biggest problem (out of ten) facing humanity for the next fifty years.[33] War usually results in significant deterioration of infrastructure and the ecosystem, a decrease in social spending, famine, large-scale emigration from the war zone, and often the mistreatment of prisoners of war or civilians.[34][35][36] For instance, of the nine million people who were on the territory of the Byelorussian SSR in 1941, some 1.6 million were killed by the Germans in actions away from battlefields, including about 700,000 prisoners of war, 500,000 Jews, and 320,000 people counted as partisans (the vast majority of whom were unarmed civilians).[37] Another byproduct of some wars is the prevalence of propaganda by some or all parties in the conflict,[38] and increased revenues by weapons manufacturers.[39]
|
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+
|
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+
Three of the ten most costly wars, in terms of loss of life, have been waged in the last century. These are the two World Wars, followed by the Second Sino-Japanese War (which is sometimes considered part of World War II, or as overlapping). Most of the others involved China or neighboring peoples. The death toll of World War II, being over 60 million, surpasses all other war-death-tolls.[40]
|
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|
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+
Military personnel subject to combat in war often suffer mental and physical injuries, including depression, posttraumatic stress disorder, disease, injury, and death.
|
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+
|
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+
In every war in which American soldiers have fought in, the chances of becoming a psychiatric casualty – of being debilitated for some period of time as a consequence of the stresses of military life – were greater than the chances of being killed by enemy fire.
|
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+
|
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During World War II, research conducted by US Army Brigadier General S.L.A. Marshall found, on average, 15% to 20% of American riflemen in WWII combat fired at the enemy.[55] In Civil War Collector's Encyclopedia, F.A. Lord notes that of the 27,574 discarded muskets found on the Gettysburg battlefield, nearly 90% were loaded, with 12,000 loaded more than once and 6,000 loaded 3 to 10 times. These studies suggest most military personnel resist firing their weapons in combat, that – as some theorists argue – human beings have an inherent resistance to killing their fellow human beings.[55] Swank and Marchand's WWII study found that after sixty days of continuous combat, 98% of all surviving military personnel will become psychiatric casualties. Psychiatric casualties manifest themselves in fatigue cases, confusional states, conversion hysteria, anxiety, obsessional and compulsive states, and character disorders.[55]
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One-tenth of mobilised American men were hospitalised for mental disturbances between 1942 and 1945, and after thirty-five days of uninterrupted combat, 98% of them manifested psychiatric disturbances in varying degrees.
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|
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+
Additionally, it has been estimated anywhere from 18% to 54% of Vietnam war veterans suffered from posttraumatic stress disorder.[55]
|
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+
|
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Based on 1860 census figures, 8% of all white American males aged 13 to 43 died in the American Civil War, including about 6% in the North and approximately 18% in the South.[56] The war remains the deadliest conflict in American history, resulting in the deaths of 620,000 military personnel. United States military casualties of war since 1775 have totaled over two million. Of the 60 million European military personnel who were mobilized in World War I, 8 million were killed, 7 million were permanently disabled, and 15 million were seriously injured.[57]
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During Napoleon's retreat from Moscow, more French military personnel died of typhus than were killed by the Russians.[58] Of the 450,000 soldiers who crossed the Neman on 25 June 1812, less than 40,000 returned. More military personnel were killed from 1500–1914 by typhus than from military action.[59] In addition, if it were not for modern medical advances there would be thousands more dead from disease and infection. For instance, during the Seven Years' War, the Royal Navy reported it conscripted 184,899 sailors, of whom 133,708 (72%) died of disease or were 'missing'.[60]
|
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|
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It is estimated that between 1985 and 1994, 378,000 people per year died due to war.[61]
|
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+
|
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+
Most wars have resulted in significant loss of life, along with destruction of infrastructure and resources (which may lead to famine, disease, and death in the civilian population). During the Thirty Years' War in Europe, the population of the Holy Roman Empire was reduced by 15 to 40 percent.[62][63] Civilians in war zones may also be subject to war atrocities such as genocide, while survivors may suffer the psychological aftereffects of witnessing the destruction of war.
|
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|
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Most estimates of World War II casualties indicate around 60 million people died, 40 million of which were civilians.[64] Deaths in the Soviet Union were around 27 million.[65] Since a high proportion of those killed were young men who had not yet fathered any children, population growth in the postwar Soviet Union was much lower than it otherwise would have been.[66]
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Once a war has ended, losing nations are sometimes required to pay war reparations to the victorious nations. In certain cases, land is ceded to the victorious nations. For example, the territory of Alsace-Lorraine has been traded between France and Germany on three different occasions.[citation needed]
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Typically, war becomes intertwined with the economy and many wars are partially or entirely based on economic reasons. Some economists[who?] believe war can stimulate a country's economy (high government spending for World War II is often credited with bringing the U.S. out of the Great Depression by most Keynesian economists), but in many cases, such as the wars of Louis XIV, the Franco-Prussian War, and World War I, warfare primarily results in damage to the economy of the countries involved. For example, Russia's involvement in World War I took such a toll on the Russian economy that it almost collapsed and greatly contributed to the start of the Russian Revolution of 1917.[67]
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World War II was the most financially costly conflict in history; its belligerents cumulatively spent about a trillion U.S. dollars on the war effort (as adjusted to 1940 prices).[68][69]
|
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The Great Depression of the 1930s ended as nations increased their production of war materials.[70]
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By the end of the war, 70% of European industrial infrastructure was destroyed.[71] Property damage in the Soviet Union inflicted by the Axis invasion was estimated at a value of 679 billion rubles. The combined damage consisted of complete or partial destruction of 1,710 cities and towns, 70,000 villages/hamlets, 2,508 church buildings, 31,850 industrial establishments, 40,000 mi (64,374 km) of railroad, 4100 railroad stations, 40,000 hospitals, 84,000 schools, and 43,000 public libraries.[72]
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War leads to forced migration causing potentially large displacements of population. Among forced migrants there are usually relatively large shares of artists and other types of creative people, causing so the war effects to be particularly harmful for the country's creative potential in the long-run.[73] War also has a negative effect on an artists’ individual life-cycle output.[74]
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In war, cultural institutions, such as libraries, can become "targets in themselves; their elimination was a way to denigrate and demoralize the enemy population." The impact such destruction can have on a society is important because "in an era in which competing ideologies fuel internal and international conflict, the destruction of libraries and other items of cultural significance is neither random nor irrelevant. Preserving the world’s repositories of knowledge is crucial to ensuring that the darkest moments of history do not endlessly repeat themselves."[75]
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Entities deliberately contemplating going to war and entities considering whether to end a war may formulate war aims as an evaluation/propaganda tool. War aims may stand as a proxy for national-military resolve.[76]
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Fried defines war aims as "the desired territorial, economic, military or other benefits expected following successful conclusion of a war".[77]
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Tangible/intangible aims:
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Explicit/implicit aims:
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Positive/negative aims:
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War aims can change in the course of conflict and may eventually morph into "peace conditions"[83] – the minimal conditions under which a state may cease to wage a particular war.
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Religious groups have long formally opposed or sought to limit war as in the Second Vatican Council document Gaudiem et Spes: "Any act of war aimed indiscriminately at the destruction of entire cities of extensive areas along with their population is a crime against God and man himself. It merits unequivocal and unhesitating condemnation."[84]
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Anti-war movements have existed for every major war in the 20th century, including, most prominently, World War I, World War II, and the Vietnam War. In the 21st century, worldwide anti-war movements occurred in response to the United States invasion of Afghanistan and Iraq. Protests opposing the War in Afghanistan occurred in Europe, Asia, and the United States. Organizations like Stop the War Coalition, based in the United Kingdom, worked on campaigning against the war.[85]
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The Mexican Drug War, with estimated casualties of 40,000 since December 2006, has recently faced fundamental opposition.[86] In 2011, the movement for peace and justice has started a popular middle-class movement against the war. It won the recognition of President Calderon, who began the war.[87]
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There are many theories about the motivations for war, but no consensus about which are most common.[88] Carl von Clausewitz said, 'Every age has its own kind of war, its own limiting conditions, and its own peculiar preconceptions.'[89]
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Dutch psychoanalyst Joost Meerloo held that, "War is often...a mass discharge of accumulated internal rage (where)...the inner fears of mankind are discharged in mass destruction."[90]
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Other psychoanalysts such as E.F.M. Durban and John Bowlby have argued human beings are inherently violent.[91] This aggressiveness is fueled by displacement and projection where a person transfers his or her grievances into bias and hatred against other races, religions, nations or ideologies. By this theory, the nation state preserves order in the local society while creating an outlet for aggression through warfare.
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The Italian psychoanalyst Franco Fornari, a follower of Melanie Klein, thought war was the paranoid or projective “elaboration” of mourning.[92] Fornari thought war and violence develop out of our “love need”: our wish to preserve and defend the sacred object to which we are attached, namely our early mother and our fusion with her. For the adult, nations are the sacred objects that generate warfare. Fornari focused upon sacrifice as the essence of war: the astonishing willingness of human beings to die for their country, to give over their bodies to their nation.
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Despite Fornari's theory that man's altruistic desire for self-sacrifice for a noble cause is a contributing factor towards war, few wars have originated from a desire for war among the general populace.[93] Far more often the general population has been reluctantly drawn into war by its rulers. One psychological theory that looks at the leaders is advanced by Maurice Walsh.[94] He argues the general populace is more neutral towards war and wars occur when leaders with a psychologically abnormal disregard for human life are placed into power. War is caused by leaders who seek war such as Napoleon and Hitler. Such leaders most often come to power in times of crisis when the populace opts for a decisive leader, who then leads the nation to war.
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Naturally, the common people don't want war; neither in Russia nor in England nor in America, nor for that matter in Germany. That is understood. But, after all, it is the leaders of the country who determine the policy and it is always a simple matter to drag the people along, whether it is a democracy or a fascist dictatorship or a Parliament or a Communist dictatorship. ... the people can always be brought to the bidding of the leaders. That is easy. All you have to do is tell them they are being attacked and denounce the pacifists for lack of patriotism and exposing the country to danger. It works the same way in any country.
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Several theories concern the evolutionary origins of warfare. There are two main schools: One sees organized warfare as emerging in or after the Mesolithic as a result of complex social organization and greater population density and competition over resources; the other sees human warfare as a more ancient practice derived from common animal tendencies, such as territoriality and sexual competition.[96]
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The latter school argues that since warlike behavior patterns are found in many primate species such as chimpanzees,[97] as well as in many ant species,[98] group conflict may be a general feature of animal social behavior. Some proponents of the idea argue that war, while innate, has been intensified greatly by developments of technology and social organization such as weaponry and states.[99]
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Psychologist and linguist Steven Pinker argued that war-related behaviors may have been naturally selected in the ancestral environment due to the benefits of victory.[100][failed verification] He also argued that in order to have credible deterrence against other groups (as well as on an individual level), it was important to have a reputation for retaliation, causing humans to develop instincts for revenge as well as for protecting a group's (or an individual's) reputation ("honor").[citation needed]
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Crofoot and Wrangham have argued that warfare, if defined as group interactions in which "coalitions attempt to aggressively dominate or kill members of other groups", is a characteristic of most human societies. Those in which it has been lacking "tend to be societies that were politically dominated by their neighbors".[101]
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Ashley Montagu strongly denied universalistic instinctual arguments, arguing that social factors and childhood socialization are important in determining the nature and presence of warfare. Thus, he argues, warfare is not a universal human occurrence and appears to have been a historical invention, associated with certain types of human societies.[102] Montagu's argument is supported by ethnographic research conducted in societies where the concept of aggression seems to be entirely absent, e.g. the Chewong and Semai of the Malay peninsula.[103] Bobbi S. Low has observed correlation between warfare and education, noting societies where warfare is commonplace encourage their children to be more aggressive.[104]
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War can be seen as a growth of economic competition in a competitive international system. In this view wars begin as a pursuit of markets for natural resources and for wealth. War has also been linked to economic development by economic historians and development economists studying state-building and fiscal capacity.[105] While this theory has been applied to many conflicts, such counter arguments become less valid as the increasing mobility of capital and information level the distributions of wealth worldwide, or when considering that it is relative, not absolute, wealth differences that may fuel wars. There are those on the extreme right of the political spectrum who provide support, fascists in particular, by asserting a natural right of a strong nation to whatever the weak cannot hold by force.[106][107] Some centrist, capitalist, world leaders, including Presidents of the United States and U.S. Generals, expressed support for an economic view of war.
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The Marxist theory of war is quasi-economic in that it states all modern wars are caused by competition for resources and markets between great (imperialist) powers, claiming these wars are a natural result of the free market and class system. Part of the theory is that war will disappear once a world revolution, over-throwing free markets and class systems, has occurred. Marxist philosopher Rosa Luxemburg theorized that imperialism was the result of capitalist countries needing new markets. Expansion of the means of production is only possible if there is a corresponding growth in consumer demand. Since the workers in a capitalist economy would be unable to fill the demand, producers must expand into non-capitalist markets to find consumers for their goods, hence driving imperialism.[108]
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Demographic theories can be grouped into two classes, Malthusian and youth bulge theories:
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Malthusian theories see expanding population and scarce resources as a source of violent conflict.
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Pope Urban II in 1095, on the eve of the First Crusade, advocating Crusade as a solution to European overpopulation, said:
|
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For this land which you now inhabit, shut in on all sides by the sea and the mountain peaks, is too narrow for your large population; it scarcely furnishes food enough for its cultivators. Hence it is that you murder and devour one another, that you wage wars, and that many among you perish in civil strife. Let hatred, therefore, depart from among you; let your quarrels end. Enter upon the road to the Holy Sepulchre; wrest that land from a wicked race, and subject it to yourselves.[109]
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This is one of the earliest expressions of what has come to be called the Malthusian theory of war, in which wars are caused by expanding populations and limited resources. Thomas Malthus (1766–1834) wrote that populations always increase until they are limited by war, disease, or famine.[110]
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The violent herder–farmer conflicts in Nigeria, Mali, Sudan and other countries in the Sahel region have been exacerbated by land degradation and population growth.[111][112][113]
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According to Heinsohn, who proposed youth bulge theory in its most generalized form, a youth bulge occurs when 30 to 40 percent of the males of a nation belong to the "fighting age" cohorts from 15 to 29 years of age. It will follow periods with total fertility rates as high as 4–8 children per woman with a 15–29-year delay.[114][115]
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Heinsohn saw both past "Christianist" European colonialism and imperialism, as well as today's Islamist civil unrest and terrorism as results of high birth rates producing youth bulges.[116] Among prominent historical events that have been attributed to youth bulges are the role played by the historically large youth cohorts in the rebellion and revolution waves of early modern Europe, including the French Revolution of 1789,[117] and the effect of economic depression upon the largest German youth cohorts ever in explaining the rise of Nazism in Germany in the 1930s.[118] The 1994 Rwandan genocide has also been analyzed as following a massive youth bulge.[119]
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Youth bulge theory has been subjected to statistical analysis by the World Bank,[120] Population Action International,[121] and the Berlin Institute for Population and Development.[122] Youth bulge theories have been criticized as leading to racial, gender and age discrimination.[123]
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Rationalism is an international relations theory or framework. Rationalism (and Neorealism (international relations)) operate under the assumption that states or international actors are rational, seek the best possible outcomes for themselves, and desire to avoid the costs of war.[124] Under one game theory approach, rationalist theories posit all actors can bargain, would be better off if war did not occur, and likewise seek to understand why war nonetheless reoccurs. Under another rationalist game theory without bargaining, the peace war game, optimal strategies can still be found that depend upon number of iterations played. In "Rationalist Explanations for War", James Fearon examined three rationalist explanations for why some countries engage in war:
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"Issue indivisibility" occurs when the two parties cannot avoid war by bargaining, because the thing over which they are fighting cannot be shared between them, but only owned entirely by one side or the other.
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"Information asymmetry with incentives to misrepresent" occurs when two countries have secrets about their individual capabilities, and do not agree on either: who would win a war between them, or the magnitude of state's victory or loss. For instance, Geoffrey Blainey argues that war is a result of miscalculation of strength. He cites historical examples of war and demonstrates, "war is usually the outcome of a diplomatic crisis which cannot be solved because both sides have conflicting estimates of their bargaining power."[125] Thirdly, bargaining may fail due to the states' inability to make credible commitments.[126]
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Within the rationalist tradition, some theorists have suggested that individuals engaged in war suffer a normal level of cognitive bias,[127] but are still "as rational as you and me".[128] According to philosopher Iain King, "Most instigators of conflict overrate their chances of success, while most participants underrate their chances of injury...."[129] King asserts that "Most catastrophic military decisions are rooted in GroupThink" which is faulty, but still rational.[130]
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The rationalist theory focused around bargaining is currently under debate. The Iraq War proved to be an anomaly that undercuts the validity of applying rationalist theory to some wars.[131]
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The statistical analysis of war was pioneered by Lewis Fry Richardson following World War I. More recent databases of wars and armed conflict have been assembled by the Correlates of War Project, Peter Brecke and the Uppsala Conflict Data Program.[citation needed]
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The following subsections consider causes of war from system, societal, and individual levels of analysis. This kind of division was first proposed by Kenneth Waltz in Man, the State, and War and has been often used by political scientists since then.[132]:143
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There are several different international relations theory schools. Supporters of realism in international relations argue that the motivation of states is the quest for security, and conflicts can arise from the inability to distinguish defense from offense, which is called the security dilemma.[132]:145
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Within the realist school as represented by scholars such as Henry Kissinger and Hans Morgenthau, and the neorealist school represented by scholars such as Kenneth Waltz and John Mearsheimer, two main sub-theories are:
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The two theories are not mutually exclusive and may be used to explain disparate events according to the circumstance.[132]:148
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Liberalism as it relates to international relations emphasizes factors such as trade, and its role in disincentivizing conflict which will damage economic relations. Realists[who?] respond that military force may sometimes be at least as effective as trade at achieving economic benefits, especially historically if not as much today.[132]:149 Furthermore, trade relations which result in a high level of dependency may escalate tensions and lead to conflict.[132]:150 Empirical data on the relationship of trade to peace are mixed, and moreover, some evidence suggests countries at war don't necessarily trade less with each other.[132]:150
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These theories suggest differences in people's personalities, decision-making, emotions, belief systems, and biases are important in determining whether conflicts get out of hand.[132]:157 For instance, it has been proposed that conflict is modulated by bounded rationality and various cognitive biases,[132]:157 such as prospect theory.[134]
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The morality of war has been the subject of debate for thousands of years.[135]
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The two principal aspects of ethics in war, according to the just war theory, are jus ad bellum and Jus in bello.[136]
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Jus ad bellum (right to war), dictates which unfriendly acts and circumstances justify a proper authority in declaring war on another nation. There are six main criteria for the declaration of a just war: first, any just war must be declared by a lawful authority; second, it must be a just and righteous cause, with sufficient gravity to merit large-scale violence; third, the just belligerent must have rightful intentions – namely, that they seek to advance good and curtail evil; fourth, a just belligerent must have a reasonable chance of success; fifth, the war must be a last resort; and sixth, the ends being sought must be proportional to means being used.[137][138]
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Jus in bello (right in war), is the set of ethical rules when conducting war. The two main principles are proportionality and discrimination. Proportionality regards how much force is necessary and morally appropriate to the ends being sought and the injustice suffered.[139] The principle of discrimination determines who are the legitimate targets in a war, and specifically makes a separation between combatants, who it is permissible to kill, and non-combatants, who it is not.[139] Failure to follow these rules can result in the loss of legitimacy for the just-war-belligerent.[140]
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The just war theory was foundational in the creation of the United Nations and in International Law's regulations on legitimate war.[135]
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Fascism, and the ideals it encompasses, such as Pragmatism, racism, and social Darwinism, hold that violence is good.[142][143] Pragmatism holds that war and violence can be good if it serves the ends of the people, without regard for universal morality. Racism holds that violence is good so that a master race can be established, or to purge an inferior race from the earth, or both. Social Darwinism asserts that violence is sometimes necessary to weed the unfit from society so civilization can flourish. These are broad archetypes for the general position that the ends justify the means. Lewis Coser, U.S. conflict theorist and sociologist, argued conflict provides a function and a process whereby a succession of new equilibriums are created. Thus, the struggle of opposing forces, rather than being disruptive, may be a means of balancing and maintaining a social structure or society.[144]
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General reference
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War-related lists
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Confucius (/kənˈfjuːʃəs/ kən-FEW-shəs; (Chinese: 孔夫子; pinyin: Kǒng Fūzǐ, English: Master Kǒng) 551 BC–479 BC)[1][2] was a Chinese philosopher and politician of the Spring and Autumn period.
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The philosophy of Confucius, also known as Confucianism, emphasized personal and governmental morality, correctness of social relationships, justice, kindness, and sincerity. His followers competed successfully with many other schools during the Hundred Schools of Thought era only to be suppressed in favor of the Legalists during the Qin dynasty. Following the victory of Han over Chu after the collapse of Qin, Confucius's thoughts received official sanction in the new government and were further developed into a system known in the West as Neo-Confucianism, and later New Confucianism (Modern Neo-Confucianism).
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Confucius is traditionally credited with having authored or edited many of the Chinese classic texts including all of the Five Classics, but modern scholars are cautious of attributing specific assertions to Confucius himself. Aphorisms concerning his teachings were compiled in the Analects, but only many years after his death.
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Confucius's principles have commonality with Chinese tradition and belief. He championed strong family loyalty, ancestor veneration, and respect of elders by their children and of husbands by their wives, recommending family as a basis for ideal government. He espoused the well-known principle "Do not do unto others what you do not want done to yourself", the Golden Rule. He is also a traditional deity in Daoism.
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Confucius is widely considered as one of the most important and influential individuals in human history. His teaching and philosophy greatly impacted people around the world and remain influential today.[3][4]
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The name "Confucius" is a Latinized form of 孔夫子; Kǒng Fūzǐ (Master Kǒng), and was coined in the late 16th century by the early Jesuit missionaries to China.[5] Confucius's clan name was 孔, OC:*kʰˤoŋʔ, mod. Kǒng and his given name was 丘, OC:*[k]ʷʰə, mod. Qiū. His "capping name", given upon reaching adulthood and by which he would have been known to all but his older family members, was 仲尼, OC:*N-truŋ-s nr[əj], mod. Zhòngní, the "Zhòng" indicating that he was the second son in his family.[5][6]
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It is thought that Confucius was born on September 28, 551 BC,[1][7] in Zou (鄒, in modern Shandong province).[7][8] The area was notionally controlled by the kings of Zhou but effectively independent under the local lords of Lu, who ruled from the nearby city of Qufu. His father Kong He (or Shuliang He) was an elderly commandant of the local Lu garrison.[9] His ancestry traced back through the dukes of Song to the Shang dynasty which had preceded the Zhou.[10][11][12][13] Traditional accounts of Confucius's life relate that Kong He's grandfather had migrated the family from Song to Lu.[14]
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Kong He died when Confucius was three years old, and Confucius was raised by his mother Yan Zhengzai (顏徵在) in poverty.[15] His mother would later die at less than 40 years of age.[15] At age 19 he married Qiguan (亓官), and a year later the couple had their first child, Kong Li (孔鯉).[15] Qiguan and Confucius would later have two daughters together, one of whom is thought to have died as a child.[16]
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Confucius was educated at schools for commoners, where he studied and learned the Six Arts.[17]
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Confucius was born into the class of shi (士), between the aristocracy and the common people. He is said to have worked in various government jobs during his early 20s, and as a bookkeeper and a caretaker of sheep and horses, using the proceeds to give his mother a proper burial.[15][18] When his mother died, Confucius (aged 23) is said to have mourned for three years, as was the tradition.[18]
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In Confucius's time, the state of Lu was headed by a ruling ducal house.[19] Under the duke were three aristocratic families, whose heads bore the title of viscount and held hereditary positions in the Lu bureaucracy.[20] The Ji family held the position "Minister over the Masses", who was also the "Prime Minister"; the Meng family held the position "Minister of Works"; and the Shu family held the position "Minister of War".[20] In the winter of 505 BC, Yang Hu—a retainer of the Ji family—rose up in rebellion and seized power from the Ji family.[20] However, by the summer of 501 BC, the three hereditary families had succeeded in expelling Yang Hu from Lu.[20] By then, Confucius had built up a considerable reputation through his teachings, while the families came to see the value of proper conduct and righteousness, so they could achieve loyalty to a legitimate government.[21] Thus, that year (501 BC), Confucius came to be appointed to the minor position of governor of a town.[21] Eventually, he rose to the position of Minister of Crime.[21]
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Confucius desired to return the authority of the state to the duke by dismantling the fortifications of the city—strongholds belonging to the three families.[22] This way, he could establish a centralized government.[22] However, Confucius relied solely on diplomacy as he had no military authority himself.[22] In 500 BC, Hou Fan—the governor of Hou—revolted against his lord of the Shu family.[22] Although the Meng and Shu families unsuccessfully besieged Hou, a loyalist official rose up with the people of Hou and forced Hou Fan to flee to the Qi state.[22] The situation may have been in favor for Confucius as this likely made it possible for Confucius and his disciples to convince the aristocratic families to dismantle the fortifications of their cities.[22] Eventually, after a year and a half, Confucius and his disciples succeeded in convincing the Shu family to raze the walls of Hou, the Ji family in razing the walls of Bi, and the Meng family in razing the walls of Cheng.[22] First, the Shu family led an army towards their city Hou and tore down its walls in 498 BC.[22]
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Soon thereafter, Gongshan Furao (also known as Gongshan Buniu), a retainer of the Ji family, revolted and took control of the forces at Bi.[23][24] He immediately launched an attack and entered the capital Lu.[22] Earlier, Gongshan had approached Confucius to join him, which Confucius considered as he wanted the opportunity to put his principles into practice but he gave up on the idea in the end.[23] Confucius disapproved the use of a violent revolution by principle, even though the Ji family dominated the Lu state by force for generations and had exiled the previous duke.[23] Creel (1949) states that, unlike the rebel Yang Hu before him, Gongshan may have sought to destroy the three hereditary families and restore the power of the duke.[25] However, Dubs (1946) is of the view that Gongshan was encouraged by Viscount Ji Huan to invade the Lu capital in an attempt to avoid dismantling the Bi fortified walls.[24] Whatever the situation may have been, Gongshan was considered an upright man who continued to defend the state of Lu, even after he was forced to flee.[25][26]
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During the revolt by Gongshan, Zhong You had managed to keep the duke and the three viscounts together at the court.[26] Zhong You was one of the disciples of Confucius and Confucius had arranged for him to be given the position of governor by the Ji family.[27] When Confucius heard of the raid, he requested that Viscount Ji Huan allow the duke and his court to retreat to a stronghold on his palace grounds.[28] Thereafter, the heads of the three families and the duke retreated to the Ji's palace complex and ascended the Wuzi Terrace.[29] Confucius ordered two officers to lead an assault against the rebels.[29] At least one of the two officers was a retainer of the Ji family, but they were unable to refuse the orders while in the presence of the duke, viscounts, and court.[28] The rebels were pursued and defeated at Gu.[29] Immediately after the revolt was defeated, the Ji family razed the Bi city walls to the ground.[29]
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The attackers retreated after realizing that they would have to become rebels against the state and their lord.[28] Through Confucius' actions, the Bi officials had inadvertently revolted against their own lord, thus forcing Viscount Ji Huan's hand in having to dismantle the walls of Bi (as it could have harbored such rebels) or confess to instigating the event by going against proper conduct and righteousness as an official.[28] Dubs (1949) suggests that the incident brought to light Confucius' foresight, practical political ability, and insight into human character.[28]
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When it was time to dismantle the city walls of the Meng family, the governor was reluctant to have his city walls torn down and convinced the head of the Meng family not to do so.[29] The Zuozhuan recalls that the governor advised against razing the walls to the ground as he said that it made Cheng vulnerable to the Qi state and cause the destruction of the Meng family.[28] Even though Viscount Meng Yi gave his word not to interfere with an attempt, he went back on his earlier promise to dismantle the walls.[28]
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Later in 498 BC, Duke Ding personally went with an army to lay siege to Cheng in an attempt to raze its walls to the ground, but he did not succeed.[30] Thus, Confucius could not achieve the idealistic reforms that he wanted including restoration of the legitimate rule of the duke.[31] He had made powerful enemies within the state, especially with Viscount Ji Huan, due to his successes so far.[32] According to accounts in the Zuozhuan and Shiji, Confucius departed his homeland in 497 BC after his support for the failed attempt of dismantling the fortified city walls of the powerful Ji, Meng, and Shu families.[33] He left the state of Lu without resigning, remaining in self-exile and unable to return as long as Viscount Ji Huan was alive.[32]
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The Shiji stated that the neighboring Qi state was worried that Lu was becoming too powerful while Confucius was involved in the government of the Lu state. According to this account, Qi decided to sabotage Lu's reforms by sending 100 good horses and 80 beautiful dancing girls to the duke of Lu. The duke indulged himself in pleasure and did not attend to official duties for three days. Confucius was disappointed and resolved to leave Lu and seek better opportunities, yet to leave at once would expose the misbehavior of the duke and therefore bring public humiliation to the ruler Confucius was serving. Confucius therefore waited for the duke to make a lesser mistake. Soon after, the duke neglected to send to Confucius a portion of the sacrificial meat that was his due according to custom, and Confucius seized upon this pretext to leave both his post and the Lu state.
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After Confucius's resignation, he began a long journey or set of journeys around the principality states of north-east and central China including Wey, Song, Zheng, Cao, Chu, Qi, Chen, and Cai (and a failed attempt to go to Jin). At the courts of these states, he expounded his political beliefs but did not see them implemented.
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According to the Zuozhuan, Confucius returned home to his native Lu when he was 68, after he was invited to do so by Ji Kangzi, the chief minister of Lu.[34] The Analects depict him spending his last years teaching 72 or 77 disciples and transmitting the old wisdom via a set of texts called the Five Classics.
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During his return, Confucius sometimes acted as an advisor to several government officials in Lu, including Ji Kangzi, on matters including governance and crime.[34]
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Burdened by the loss of both his son and his favorite disciples, he died at the age of 71 or 72. He died from natural causes. Confucius was buried in Kong Lin cemetery which lies in the historical part of Qufu in the Shandong Province.[35] The original tomb erected there in memory of Confucius on the bank of the Sishui River had the shape of an axe. In addition, it has a raised brick platform at the front of the memorial for offerings such as sandalwood incense and fruit.
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Although Confucianism is often followed in a religious manner by the Chinese, many argue that its values are secular and that it is, therefore, less a religion than a secular morality. Proponents argue, however, that despite the secular nature of Confucianism's teachings, it is based on a worldview that is religious.[36] Confucianism discusses elements of the afterlife and views concerning Heaven, but it is relatively unconcerned with some spiritual matters often considered essential to religious thought, such as the nature of souls. However, Confucius is said to have believed in astrology, saying: "Heaven sends down its good or evil symbols and wise men act accordingly".[37]
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In the Analects, Confucius presents himself as a "transmitter who invented nothing". He puts the greatest emphasis on the importance of study, and it is the Chinese character for study (學) that opens the text. Far from trying to build a systematic or formalist theory, he wanted his disciples to master and internalize older classics, so that their deep thought and thorough study would allow them to relate the moral problems of the present to past political events (as recorded in the Annals) or the past expressions of commoners' feelings and noblemen's reflections (as in the poems of the Book of Odes).
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One of the deepest teachings of Confucius may have been the superiority of personal exemplification over explicit rules of behavior. His moral teachings emphasized self-cultivation, emulation of moral exemplars, and the attainment of skilled judgment rather than knowledge of rules. Confucian ethics may, therefore, be considered a type of virtue ethics. His teachings rarely rely on reasoned argument, and ethical ideals and methods are conveyed indirectly, through allusion, innuendo, and even tautology. His teachings require examination and context to be understood. A good example is found in this famous anecdote:
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By not asking about the horses, Confucius demonstrates that the sage values human beings over property; readers are led to reflect on whether their response would follow Confucius's and to pursue self-improvement if it would not have. Confucius serves not as an all-powerful deity or a universally true set of abstract principles, but rather the ultimate model for others. For these reasons, according to many commentators, Confucius's teachings may be considered a Chinese example of humanism.
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One of his teachings was a variant of the Golden Rule, sometimes called the "Silver Rule" owing to its negative form:
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Often overlooked in Confucian ethics are the virtues to the self: sincerity and the cultivation of knowledge. Virtuous action towards others begins with virtuous and sincere thought, which begins with knowledge. A virtuous disposition without knowledge is susceptible to corruption, and virtuous action without sincerity is not true righteousness. Cultivating knowledge and sincerity is also important for one's own sake; the superior person loves learning for the sake of learning and righteousness for the sake of righteousness.
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The Confucian theory of ethics as exemplified in lǐ (禮) is based on three important conceptual aspects of life: (a) ceremonies associated with sacrifice to ancestors and deities of various types, (b) social and political institutions, and (c) the etiquette of daily behavior. It was believed by some that lǐ originated from the heavens, but Confucius stressed the development of lǐ through the actions of sage leaders in human history. His discussions of lǐ seem to redefine the term to refer to all actions committed by a person to build the ideal society, rather than those simply conforming with canonical standards of ceremony.
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In the early Confucian tradition, lǐ was doing the proper thing at the proper time, balancing between maintaining existing norms to perpetuate an ethical social fabric, and violating them in order to accomplish ethical good. Training in the lǐ of past sages cultivates in people virtues that include ethical judgment about when lǐ must be adapted in light of situational contexts.
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In Confucianism, the concept of li is closely related to yì (義), which is based upon the idea of reciprocity. Yì can be translated as righteousness, though it may simply mean what is ethically best to do in a certain context. The term contrasts with action done out of self-interest. While pursuing one's own self-interest is not necessarily bad, one would be a better, more righteous person if one's life was based upon following a path designed to enhance the greater good. Thus an outcome of yì is doing the right thing for the right reason.
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Just as action according to lǐ should be adapted to conform to the aspiration of adhering to yì, so yì is linked to the core value of rén (仁).Rén consists of five basic virtues: seriousness, generosity, sincerity, diligence and kindness.[38] Rén is the virtue of perfectly fulfilling one's responsibilities toward others, most often translated as "benevolence" or "humaneness"; translator Arthur Waley calls it "Goodness" (with a capital G), and other translations that have been put forth include "authoritativeness" and "selflessness." Confucius's moral system was based upon empathy and understanding others, rather than divinely ordained rules. To develop one's spontaneous responses of rén so that these could guide action intuitively was even better than living by the rules of yì. Confucius asserts that virtue is a mean between extremes. For example, the properly generous person gives the right amount—not too much and not too little.[38]
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Confucius's political thought is based upon his ethical thought. He argued that the best government is one that rules through "rites" (lǐ) and people's natural morality, and not by using bribery and coercion. He explained that this is one of the most important analects: "If the people be led by laws, and uniformity sought to be given them by punishments, they will try to avoid the punishment, but have no sense of shame. If they be led by virtue, and uniformity sought to be given them by the rules of propriety, they will have the sense of the shame, and moreover will become good." (Translated by James Legge) in the Great Learning (大學). This "sense of shame" is an internalisation of duty, where the punishment precedes the evil action, instead of following it in the form of laws as in Legalism.
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Confucius looked nostalgically upon earlier days, and urged the Chinese, particularly those with political power, to model themselves on earlier examples. In times of division, chaos, and endless wars between feudal states, he wanted to restore the Mandate of Heaven (天命) that could unify the "world" (天下, "all under Heaven") and bestow peace and prosperity on the people. Because his vision of personal and social perfections was framed as a revival of the ordered society of earlier times, Confucius is often considered a great proponent of conservatism, but a closer look at what he proposes often shows that he used (and perhaps twisted) past institutions and rites to push a new political agenda of his own: a revival of a unified royal state, whose rulers would succeed to power on the basis of their moral merits instead of lineage. These would be rulers devoted to their people, striving for personal and social perfection, and such a ruler would spread his own virtues to the people instead of imposing proper behavior with laws and rules.
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Confucius did not believe in the concept of "democracy", which is itself an Athenian concept unknown in ancient China, but could be interpreted by Confucius's principles recommending against individuals electing their own political leaders to govern them, or that anyone is capable of self-government. He expressed fears that the masses lacked the intellect to make decisions for themselves, and that, in his view, since not everyone is created equal, not everyone has a right of self-government.[39]
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While he supported the idea of government ruling by a virtuous king, his ideas contained a number of elements to limit the power of rulers. He argued for representing truth in language, and honesty was of paramount importance. Even in facial expression, truth must always be represented. Confucius believed that if a ruler is to lead correctly, by action, that orders would be unnecessary in that others will follow the proper actions of their ruler. In discussing the relationship between a king and his subject (or a father and his son), he underlined the need to give due respect to superiors. This demanded that the subordinates must advise their superiors if the superiors are considered to be taking a course of action that is wrong. Confucius believed in ruling by example, if you lead correctly, orders by force or punishment are not necessary.[40]
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Confucius's teachings were later turned into an elaborate set of rules and practices by his numerous disciples and followers, who organized his teachings into the Analects.[41][42] Confucius's disciples and his only grandson, Zisi, continued his philosophical school after his death.[43] These efforts spread Confucian ideals to students who then became officials in many of the royal courts in China, thereby giving Confucianism the first wide-scale test of its dogma.
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Two of Confucius's most famous later followers emphasized radically different aspects of his teachings. In the centuries after his death, Mencius (孟子) and Xun Zi (荀子) both composed important teachings elaborating in different ways on the fundamental ideas associated with Confucius. Mencius (4th century BC) articulated the innate goodness in human beings as a source of the ethical intuitions that guide people towards rén, yì, and lǐ, while Xun Zi (3rd century BC) underscored the realistic and materialistic aspects of Confucian thought, stressing that morality was inculcated in society through tradition and in individuals through training. In time, their writings, together with the Analects and other core texts came to constitute the philosophical corpus of Confucianism.
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This realignment in Confucian thought was parallel to the development of Legalism, which saw filial piety as self-interest and not a useful tool for a ruler to create an effective state. A disagreement between these two political philosophies came to a head in 223 BC when the Qin state conquered all of China. Li Si, Prime Minister of the Qin dynasty, convinced Qin Shi Huang to abandon the Confucians' recommendation of awarding fiefs akin to the Zhou Dynasty before them which he saw as being against to the Legalist idea of centralizing the state around the ruler. When the Confucian advisers pressed their point, Li Si had many Confucian scholars killed and their books burned—considered a huge blow to the philosophy and Chinese scholarship.
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Under the succeeding Han and Tang dynasties, Confucian ideas gained even more widespread prominence. Under Wudi, the works of Confucius were made the official imperial philosophy and required reading for civil service examinations in 140 BC which was continued nearly unbroken until the end of the 19th century. As Mohism lost support by the time of the Han, the main philosophical contenders were Legalism, which Confucian thought somewhat absorbed, the teachings of Laozi, whose focus on more spiritual ideas kept it from direct conflict with Confucianism, and the new Buddhist religion, which gained acceptance during the Southern and Northern Dynasties era. Both Confucian ideas and Confucian-trained officials were relied upon in the Ming Dynasty and even the Yuan Dynasty, although Kublai Khan distrusted handing over provincial control to them.
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During the Song dynasty, the scholar Zhu Xi (AD 1130–1200) added ideas from Daoism and Buddhism into Confucianism. In his life, Zhu Xi was largely ignored, but not long after his death, his ideas became the new orthodox view of what Confucian texts actually meant. Modern historians view Zhu Xi as having created something rather different and call his way of thinking Neo-Confucianism. Neo-Confucianism held sway in China, Japan, Korea, and Vietnam until the 19th century.
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The works of Confucius were first translated into European languages by Jesuit missionaries in the 16th century during the late Ming dynasty. The first known effort was by Michele Ruggieri, who returned to Italy in 1588 and carried on his translations while residing in Salerno. Matteo Ricci started to report on the thoughts of Confucius, and a team of Jesuits—Prospero Intorcetta, Philippe Couplet, and two others—published a translation of several Confucian works and an overview of Chinese history in Paris in 1687.[44][45] François Noël, after failing to persuade Clement XI that Chinese veneration of ancestors and Confucius did not constitute idolatry, completed the Confucian canon at Prague in 1711, with more scholarly treatments of the other works and the first translation of the collected works of Mencius.[46] It is thought that such works had considerable importance on European thinkers of the period, particularly among the Deists and other philosophical groups of the Enlightenment who were interested by the integration of the system of morality of Confucius into Western civilization.[45][47]
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In the modern era Confucian movements, such as New Confucianism, still exist, but during the Cultural Revolution, Confucianism was frequently attacked by leading figures in the Communist Party of China. This was partially a continuation of the condemnations of Confucianism by intellectuals and activists in the early 20th century as a cause of the ethnocentric close-mindedness and refusal of the Qing Dynasty to modernize that led to the tragedies that befell China in the 19th century.
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Confucius's works are studied by scholars in many other Asian countries, particularly those in the Chinese cultural sphere, such as Korea, Japan, and Vietnam. Many of those countries still hold the traditional memorial ceremony every year.
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Among Tibetans, Confucius is often worshipped as a holy king and master of magic, divination and astrology. Tibetan Buddhists see him as learning divination from the buddha Manjushri (and that knowledge subsequently reaching Tibet through Princess Wencheng), while Bon practitioners see him as being a reincarnation of Tonpa Shenrab Miwoche, the legendary founder of Bon.[48]
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The Ahmadiyya Muslim Community believes Confucius was a Divine Prophet of God, as were Lao-Tzu and other eminent Chinese personages.[49]
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In modern times, Asteroid 7853, "Confucius", was named after the Chinese thinker.[50]
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Confucius began teaching after he turned 30, and taught more than 3,000 students in his life, about 70 of whom were considered outstanding. His disciples and the early Confucian community they formed became the most influential intellectual force in the Warring States period.[51] The Han dynasty historian Sima Qian dedicated a chapter in his Records of the Grand Historian to the biographies of Confucius's disciples, accounting for the influence they exerted in their time and afterward. Sima Qian recorded the names of 77 disciples in his collective biography, while Kongzi Jiayu, another early source, records 76, not completely overlapping. The two sources together yield the names of 96 disciples.[52] 22 of them are mentioned in the Analects, while the Mencius records 24.[53]
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Confucius did not charge any tuition, and only requested a symbolic gift of a bundle of dried meat from any prospective student. According to his disciple Zigong, his master treated students like doctors treated patients and did not turn anybody away.[52] Most of them came from Lu, Confucius's home state, with 43 recorded, but he accepted students from all over China, with six from the state of Wey (such as Zigong), three from Qin, two each from Chen and Qi, and one each from Cai, Chu, and Song.[52] Confucius considered his students' personal background irrelevant, and accepted noblemen, commoners, and even former criminals such as Yan Zhuoju and Gongye Chang.[54] His disciples from richer families would pay a sum commensurate with their wealth which was considered a ritual donation.[52]
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Confucius's favorite disciple was Yan Hui, most probably one of the most impoverished of them all.[53] Sima Niu, in contrast to Yan Hui, was from a hereditary noble family hailing from the Song state.[53] Under Confucius's teachings, the disciples became well-learned in the principles and methods of government.[55] He often engaged in discussion and debate with his students and gave high importance to their studies in history, poetry, and ritual.[55] Confucius advocated loyalty to principle rather than to individual acumen, in which reform was to be achieved by persuasion rather than violence.[55] Even though Confucius denounced them for their practices, the aristocracy was likely attracted to the idea of having trustworthy officials who were studied in morals as the circumstances of the time made it desirable.[55] In fact, the disciple Zilu even died defending his ruler in Wey.[55]
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Yang Hu, who was a subordinate of the Ji family, had dominated the Lu government from 505 to 502 and even attempted a coup, which narrowly failed.[55] As a likely consequence, it was after this that the first disciples of Confucius were appointed to government positions.[55] A few of Confucius's disciples went on to attain official positions of some importance, some of which were arranged by Confucius.[56] By the time Confucius was 50 years old, the Ji family had consolidated their power in the Lu state over the ruling ducal house.[57] Even though the Ji family had practices with which Confucius disagreed and disapproved, they nonetheless gave Confucius's disciples many opportunities for employment.[57] Confucius continued to remind his disciples to stay true to their principles and renounced those who did not, all the while being openly critical of the Ji family.[58]
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No contemporary painting or sculpture of Confucius survives, and it was only during the Han Dynasty that he was portrayed visually. Carvings often depict his legendary meeting with Laozi. Since that time there have been many portraits of Confucius as the ideal philosopher. The oldest known portrait of Confucius has been unearthed in the tomb of the Han dynasty ruler Marquis of Haihun (died 59 BC). The picture was painted on the wooden frame to a polished bronze mirror.[59]
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In former times, it was customary to have a portrait in Confucius Temples; however, during the reign of Hongwu Emperor (Taizu) of the Ming dynasty, it was decided that the only proper portrait of Confucius should be in the temple in his home town, Qufu in Shandong. In other temples, Confucius is represented by a memorial tablet. In 2006, the China Confucius Foundation commissioned a standard portrait of Confucius based on the Tang dynasty portrait by Wu Daozi.
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The South Wall Frieze in the courtroom of the Supreme Court of the United States depicts Confucius as a teacher of harmony, learning, and virtue.[60]
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There have been two film adaptations of Confucius' life: Confucius (1940) starring Tang Huaiqiu, and Confucius (2010) starring Chow Yun-fat.
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In music, Tori Amos imagines Confucius as working on a crossword puzzle in her 1992 song "Happy Phantom."
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Soon after Confucius's death, Qufu, his home town, became a place of devotion and remembrance. The Han dynasty Records of the Grand Historian records that it had already become a place of pilgrimage for ministers. It is still a major destination for cultural tourism, and many people visit his grave and the surrounding temples. In Sinic cultures, there are many temples where representations of the Buddha, Laozi, and Confucius are found together. There are also many temples dedicated to him, which have been used for Confucian ceremonies.
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Followers of Confucianism have a tradition of holding spectacular memorial ceremonies of Confucius (祭孔) every year, using ceremonies that supposedly derived from Zhou Li (周禮) as recorded by Confucius, on the date of Confucius's birth. In the 20th century, this tradition was interrupted for several decades in mainland China, where the official stance of the Communist Party and the State was that Confucius and Confucianism represented reactionary feudalist beliefs which held that the subservience of the people to the aristocracy is a part of the natural order. All such ceremonies and rites were therefore banned. Only after the 1990s did the ceremony resume. As it is now considered a veneration of Chinese history and tradition, even Communist Party members may be found in attendance.
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In Taiwan, where the Nationalist Party (Kuomintang) strongly promoted Confucian beliefs in ethics and behavior, the tradition of the memorial ceremony of Confucius (祭孔) is supported by the government and has continued without interruption. While not a national holiday, it does appear on all printed calendars, much as Father's Day or Christmas Day do in the Western world.
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In South Korea, a grand-scale memorial ceremony called Seokjeon Daeje is held twice a year on Confucius's birthday and the anniversary of his death, at Confucian academies across the country and Sungkyunkwan in Seoul.
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Confucius's descendants were repeatedly identified and honored by successive imperial governments with titles of nobility and official posts. They were honored with the rank of a marquis 35 times since Gaozu of the Han dynasty, and they were promoted to the rank of duke 42 times from the Tang dynasty to the Qing dynasty. Emperor Xuanzong of Tang first bestowed the title of "Duke Wenxuan" on Kong Suizhi of the 35th generation. In 1055, Emperor Renzong of Song first bestowed the title of "Duke Yansheng" on Kong Zongyuan of the 46th generation.
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During the Southern Song dynasty, the Duke Yansheng Kong Duanyou fled south with the Song Emperor to Quzhou in Zhejiang, while the newly established Jin dynasty (1115–1234) in the north appointed Kong Duanyou's brother Kong Duancao who remained in Qufu as Duke Yansheng.[61][62][63][64][65][66][67][68][69][70] From that time up until the Yuan dynasty, there were two Duke Yanshengs, one in the north in Qufu and the other in the south at Quzhou. An invitation to come back to Qufu was extended to the southern Duke Yansheng Kong Zhu by the Yuan-dynasty Emperor Kublai Khan. The title was taken away from the southern branch after Kong Zhu rejected the invitation,[71] so the northern branch of the family kept the title of Duke Yansheng. The southern branch remained in Quzhou where they live to this day. Confucius's descendants in Quzhou alone number 30,000.[72][73] The Hanlin Academy rank of Wujing boshi 五經博士 was awarded to the southern branch at Quzhou by a Ming Emperor while the northern branch at Qufu held the title Duke Yansheng.[74][75] The leader of the southern branch is 孔祥楷 Kong Xiangkai.[76]
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In 1351, during the reign of Emperor Toghon Temür of the Yuan dynasty, 53rd-generation descendant Kong Huan (孔浣)'s 2nd son Kong Shao (孔昭) moved from China to Korea during the Goryeo Dynasty, and was received courteously by Princess Noguk (the Mongolian-born wife of the future king Gongmin). After being naturalized as a Korean citizen, he changed the hanja of his name from "昭" to "紹" (both pronounced so in Korean),[77] married a Korean woman and bore a son (Gong Yeo (Korean: 공여; Hanja: 孔帤), 1329–1397), therefore establishing the Changwon Gong clan (Korean: 창원 공씨; Hanja: 昌原 孔氏), whose ancestral seat was located in Changwon, South Gyeongsang Province.
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The clan then received an aristocratic rank during the succeeding Joseon Dynasty.[78][79][80][81][82] In 1794, during the reign of King Jeongjo, the clan then changed its name to Gokbu Gong clan (Korean: 곡부 공씨; Hanja: 曲阜 孔氏) in honor of Confucius's birthplace Qufu (Korean: 곡부; Hanja: 曲阜; RR: Gokbu).[83]Famous descendants include actors such as Gong Yoo (real name Gong Ji-cheol (공지철)) & Gong Hyo-jin (공효진); and artists such as male idol group B1A4 member Gongchan (real name Gong Chan-sik (공찬식)), singer-songwriter Minzy (real name Gong Min-ji (공민지)), as well as her great-aunt traditional folk dancer Gong Ok-jin (공옥진).
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Despite repeated dynastic change in China, the title of Duke Yansheng was bestowed upon successive generations of descendants until it was abolished by the Nationalist Government in 1935. The last holder of the title, Kung Te-cheng of the 77th generation, was appointed Sacrificial Official to Confucius. Kung Te-cheng died in October 2008, and his son, Kung Wei-yi, the 78th lineal descendant, had died in 1989. Kung Te-cheng's grandson, Kung Tsui-chang, the 79th lineal descendant, was born in 1975; his great-grandson, Kung Yu-jen, the 80th lineal descendant, was born in Taipei on January 1, 2006. Te-cheng's sister, Kong Demao, lives in mainland China and has written a book about her experiences growing up at the family estate in Qufu. Another sister, Kong Deqi, died as a young woman.[84] Many descendants of Confucius still live in Qufu today.
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A descendant of Confucius, H. H. Kung was the Premier of the Republic of China. One of his sons, Kong Lingjie 孔令傑 married Debra Paget[85] who gave birth to Gregory Kung (孔德基).
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Confucius's family, the Kongs, have the longest recorded extant pedigree in the world today. The father-to-son family tree, now in its 83rd generation,[86] has been recorded since the death of Confucius. According to the Confucius Genealogy Compilation Committee (CGCC), he has two million known and registered descendants, and there are an estimated three million in all.[87] Of these, several tens of thousands live outside of China.[87] In the 14th century, a Kong descendant went to Korea, where an estimated 34,000 descendants of Confucius live today.[87] One of the main lineages fled from the Kong ancestral home in Qufu during the Chinese Civil War in the 1940s and eventually settled in Taiwan.[84] There are also branches of the Kong family who have converted to Islam after marrying Muslim women, in Dachuan in Gansu province in the 1800s,[88] and in 1715 in Xuanwei in Yunnan province.[89] Many of the Muslim Confucius descendants are descended from the marriage of Ma Jiaga (馬甲尕), a Muslim woman, and Kong Yanrong (孔彥嶸), 59th generation descendant of Confucius in the year 1480 and are found among the Hui and Dongxiang peoples.[90][91][92][93] The new genealogy includes the Muslims.[94] Kong Dejun (孔德軍) is a prominent Islamic scholar and Arabist from Qinghai province and a 77th generation descendant of Confucius.
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Because of the huge interest in the Confucius family tree, there was a project in China to test the DNA of known family members of the collateral branches in mainland China.[95] Among other things, this would allow scientists to identify a common Y chromosome in male descendants of Confucius. If the descent were truly unbroken, father-to-son, since Confucius's lifetime, the males in the family would all have the same Y chromosome as their direct male ancestor, with slight mutations due to the passage of time.[96] The aim of the genetic test was the help members of collateral branches in China who lost their genealogical records to prove their descent. However, in 2009, many of the collateral branches decided not to agree to DNA testing.[97] Bryan Sykes, professor of genetics at Oxford University, understands this decision: "The Confucius family tree has an enormous cultural significance," he said. "It's not just a scientific question."[97] The DNA testing was originally proposed to add new members, many of whose family record books were lost during 20th-century upheavals, to the Confucian family tree.[98] The main branch of the family which fled to Taiwan was never involved in the proposed DNA test at all.
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In 2013 a DNA test performed on multiple different families who claimed descent from Confucius found that they shared the same Y chromosome as reported by Fudan University.[99]
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The fifth and most recent edition of the Confucius genealogy was printed by the CGCC.[100][101] It was unveiled in a ceremony at Qufu on September 24, 2009.[100][101] Women are now included for the first time.[102]
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See also: Nine Schools of Thought and Hundred Schools of Thought
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Coordinates: 1°26′24″S 15°33′22″E / 1.44°S 15.556°E / -1.44; 15.556
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The Republic of the Congo (pronunciation (help·info) French: République du Congo, Kongo: Repubilika ya Kôngo), also known as Congo-Brazzaville, the Congo Republic,[6][7] RDC (the official abbreviation from French),[7] or simply the Congo, is a country located in the western coast of Central Africa. It is bordered by five countries: Gabon to its west; Cameroon to its northwest and the Central African Republic to its northeast; the Democratic Republic of the Congo to the southeast and the Angolan exclave of Cabinda to its south; and the Atlantic Ocean to its southwest. The official language is French.
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The region was dominated by Bantu-speaking tribes at least 3,000 years ago, who built trade links leading into the Congo River basin. Congo was formerly part of the French colony of Equatorial Africa.[8] The Republic of the Congo was established on 28 November 1958 and gained independence from France in 1960. It was a Marxist–Leninist state from 1969 to 1992, under the name People's Republic of the Congo. The sovereign state has had multi-party elections since 1992, although a democratically elected government was ousted in the 1997 Republic of the Congo Civil War, and President Denis Sassou Nguesso, who first came to power in 1979, has ruled for 35 of the past 40 years.
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The Republic of the Congo has become the fourth-largest oil producer in the Gulf of Guinea, providing the country with a degree of prosperity despite political and economic instability in some areas and unequal distribution of oil revenue nationwide. Congo's economy is heavily dependent on the oil sector, and economic growth has slowed considerably since the post-2015 drop in oil prices.
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Bantu-speaking peoples who founded tribes during the Bantu expansions largely displaced and absorbed the earliest inhabitants of the region, the Pygmy people, about 1500 BC. The Bakongo, a Bantu ethnic group that also occupied parts of present-day Angola, Gabon, and the Democratic Republic of the Congo, formed the basis for ethnic affinities and rivalries among those countries. Several Bantu kingdoms—notably those of the Kongo, the Loango, and the Teke—built trade links leading into the Congo River basin.[9]
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The Portuguese explorer Diogo Cão reached the mouth of the Congo in 1484.[10] Commercial relationships quickly grew between the inland Bantu kingdoms and European merchants who traded various commodities, manufactured goods, and people captured from the hinterlands. After centuries as a major hub for transatlantic trade, direct European colonization of the Congo river delta began in the late 19th century, subsequently eroding the power of the Bantu societies in the region.[11]
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The area north of the Congo River came under French sovereignty in 1880 as a result of Pierre de Brazza's treaty with King Makoko[12] of the Bateke.[10] This Congo Colony became known first as French Congo, then as Middle Congo in 1903. In 1908, France organized French Equatorial Africa (AEF), comprising Middle Congo, Gabon, Chad, and Oubangui-Chari (the modern Central African Republic). The French designated Brazzaville as the federal capital. Economic development during the first 50 years of colonial rule in Congo centered on natural-resource extraction. The methods were often brutal: construction of the Congo–Ocean Railroad following World War I has been estimated to have cost at least 14,000 lives.[10]
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During the Nazi occupation of France during World War II, Brazzaville functioned as the symbolic capital of Free France between 1940 and 1943.[13] The Brazzaville Conference of 1944 heralded a period of major reform in French colonial policy. Congo benefited from the postwar expansion of colonial administrative and infrastructure spending as a result of its central geographic location within AEF and the federal capital at Brazzaville.[9] It also received a local legislature after the adoption of the 1946 constitution that established the Fourth Republic.
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Following the revision of the French constitution that established the Fifth Republic in 1958, the AEF dissolved into its constituent parts, each of which became an autonomous colony within the French Community. During these reforms, Middle Congo became known as the Republic of the Congo in 1958[14] and published its first constitution in 1959.[15] Antagonism between the Mbochis (who favored Jacques Opangault) and the Laris and Kongos (who favored Fulbert Youlou, the first black mayor elected in French Equatorial Africa) resulted in a series of riots in Brazzaville in February 1959, which the French Army subdued.[16]
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New elections took place in April 1959. By the time the Congo became independent in August 1960, Opangault, the former opponent of Youlou, agreed to serve under him. Youlou became the first President of the Republic of the Congo.[17] Since the political tension was so high in Pointe-Noire, Youlou moved the capital to Brazzaville.
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The Republic of the Congo received full independence from France on 15 August 1960. Youlou ruled as the country's first president until labour elements and rival political parties instigated a three-day uprising that ousted him.[18] The Congolese military briefly took charge of the country, and installed a civilian provisional government headed by Alphonse Massamba-Débat.
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Under the 1963 constitution, Massamba-Débat was elected President for a five-year term.[9] During Massamba-Débat's term in office the regime adopted "scientific socialism" as the country's constitutional ideology.[19] In 1965, Congo established relations with the Soviet Union, the People's Republic of China, North Korea and North Vietnam.[19] On the night between February 14 and 15, 1965, three prominent public officials in the Republic of the Congo were kidnapped; Lazare Matsocota (prosecutor of the Republic), Joseph Pouabou (president of the Supreme Court) and Massouémé Anselme (director of the Congolese Information Agency). The bodies of two of them were later found, mutilated, by the Congo River.[20][21] Massamba-Débat's regime also invited several hundred Cuban army troops into the country to train his party's militia units and these troops helped his government survive a coup d'état in 1966 led by paratroopers loyal to future President Marien Ngouabi. Nevertheless, Massamba-Débat was unable to reconcile various institutional, tribal and ideological factions within the country[19] and his regime ended abruptly with a bloodless coup in September 1968.
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Ngouabi, who had participated in the coup, assumed the presidency on 31 December 1968. One year later, President Ngouabi proclaimed Congo Africa's first "people's republic", the People's Republic of the Congo, and announced the decision of the National Revolutionary Movement to change its name to the Congolese Labour Party (PCT). He survived an attempted coup in 1972 but was assassinated on 16 March 1977. An 11-member Military Committee of the Party (CMP) was then named to head an interim government, with Joachim Yhombi-Opango to serve as President of the Republic. Two years later, Yhombi-Opango was forced from power and Denis Sassou Nguesso become the new president.[9]
|
28 |
+
|
29 |
+
Sassou Nguesso aligned the country with the Eastern Bloc and signed a twenty-year friendship pact with the Soviet Union. Over the years, Sassou had to rely more on political repression and less on patronage to maintain his dictatorship.[22]
|
30 |
+
|
31 |
+
Pascal Lissouba, who became Congo's first elected president (1992–1997) during the period of multi-party democracy, attempted to implement economic reforms with IMF backing to liberalize the economy. In June 1996, the IMF approved a three-year SDR69.5m (US$100m) enhanced structural adjustment facility (ESAF) and was on the verge of announcing a renewed annual agreement when civil war broke out in Congo in mid-1997.[23]
|
32 |
+
|
33 |
+
Congo's democratic progress was derailed in 1997, when Lissouba and Sassou started to fight for power in the civil war. As presidential elections scheduled for July 1997 approached, tensions between the Lissouba and Sassou camps mounted. On 5 June, President Lissouba's government forces surrounded Sassou's compound in Brazzaville and Sassou ordered members of his private militia (known as "Cobras") to resist. Thus began a four-month conflict that destroyed or damaged much of Brazzaville and caused tens of thousands of civilian deaths. In early October, the Angolan régime began an invasion of Congo to install Sassou in power. In mid-October, the Lissouba government fell. Soon thereafter, Sassou declared himself president.[9]
|
34 |
+
|
35 |
+
In the controversial elections in 2002, Sassou won with almost 90% of the vote cast. His two main rivals, Lissouba and Bernard Kolelas, were prevented from competing and the only remaining credible rival, André Milongo, advised his supporters to boycott the elections and then withdrew from the race.[24] A new constitution, agreed upon by referendum in January 2002, granted the president new powers, extended his term to seven years, and introduced a new bicameral assembly. International observers took issue with the organization of the presidential election and the constitutional referendum, both of which were reminiscent in their organization of Congo's era of the one-party state.[25] Following the presidential elections, fighting restarted in the Pool region between government forces and rebels led by Pastor Ntumi; a peace treaty to end the conflict was signed in April 2003.[26]
|
36 |
+
|
37 |
+
Sassou also won the following presidential election in July 2009.[27] According to the Congolese Observatory of Human Rights, a non-governmental organization, the election was marked by "very low" turnout and "fraud and irregularities".[28] In March 2015 Sassou announced that he wanted to run for yet another term in office and a constitutional referendum in October resulted in a changed constitution which allowed him to run during the 2016 presidential election. He won the election believed by many to be fraudulent. After violent protests in the capital, Sassou attacked the Pool region, where the Ninja rebels of the civil war used to be based, in what was believed to be a distraction. This led to a revival of the Ninja rebels who launched attacks against the army in April 2016, leading 80,000 people to flee their homes. A ceasefire deal was signed in December 2017.[29]
|
38 |
+
|
39 |
+
Congo-Brazzaville has had a multi-party political system since the early 1990s, although the system is heavily dominated by President Denis Sassou Nguesso; he has lacked serious competition in the presidential elections held under his rule. Sassou Nguesso is backed by his own Congolese Labour Party (French: Parti Congolais du Travail) as well as a range of smaller parties.
|
40 |
+
|
41 |
+
Sassou's regime has been hit by corruption revelations despite attempts to censor them. One French investigation found over 110 bank accounts and dozens of lavish properties in France; Sassou denounced embezzlement investigations as "racist" and "colonial".[30][31][32] Denis Christel Sassou-Nguesso, son of Denis Sassou Nguesso, has been named in association with the Panama Papers.[33]
|
42 |
+
|
43 |
+
On 27 March 2015, Sassou Nguesso announced that his government would hold a referendum on changing the country's 2002 constitution to allow him to run for a third consecutive term in office.[34] On 25 October the government held a referendum to allow Sassou Nguesso to run in the next election. The government claimed that the proposal was approved by 92% of voters with 72% of eligible voters participating. The opposition, who boycotted the referendum, said that the government's statistics were false and the vote was a fake one.[35]
|
44 |
+
|
45 |
+
The election raised questions and was accompanied by civil unrest and police shootings of protesters;[36] at least 18 people were killed by security forces during opposition rallies leading up to the referendum held in October.
|
46 |
+
|
47 |
+
In 2008, the main media were owned by the government, but much more privately run forms of media were being created. There is one government-owned television station and around 10 small private television channels.
|
48 |
+
|
49 |
+
Many Pygmies belong from birth to Bantus in a relationship many refer to as slavery.[37][38] The Congolese Human Rights Observatory says that the Pygmies are treated as property the same way "pets" are.[37] On 30 December 2010, the Congolese parliament adopted a law for the promotion and protection of the rights of indigenous peoples.[clarification needed] This law is the first of its kind in Africa, and its adoption is a historic development for indigenous peoples on the continent.[39][needs update]
|
50 |
+
|
51 |
+
The Republic of the Congo is divided into 12 départements (departments). Departments are divided into communes and districts.[40]
|
52 |
+
These are:
|
53 |
+
|
54 |
+
Congo is located in the central-western part of sub-Saharan Africa, along the Equator, lying between latitudes 4°N and 5°S, and longitudes 11° and 19°E. To the south and east of it is the Democratic Republic of the Congo. It is also bounded by Gabon to the west, Cameroon and the Central African Republic to the north, and Cabinda (Angola) to the southwest. It has a short coast on the Atlantic Ocean.
|
55 |
+
|
56 |
+
The capital, Brazzaville, is located on the Congo River, in the south of the country, immediately across from Kinshasa, the capital of the Democratic Republic of the Congo.
|
57 |
+
|
58 |
+
The southwest of the country is a coastal plain for which the primary drainage is the Kouilou-Niari River; the interior of the country consists of a central plateau between two basins to the south and north. Forests are under increasing exploitation pressure.[41]
|
59 |
+
|
60 |
+
Since the country is located on the Equator, the climate is consistent year-round, with the average day temperature a humid 24 °C (75 °F) and nights generally between 16 °C (61 °F) and 21 °C (70 °F). The average yearly rainfall ranges from 1,100 millimetres (43 in) in the Niari Valley in the south to over 2,000 millimetres (79 in) in central parts of the country. The dry season is from June to August, while in the majority of the country the wet season has two rainfall maxima: one in March–May and another in September–November.[42]
|
61 |
+
|
62 |
+
In 2006–07, researchers from the Wildlife Conservation Society studied gorillas in heavily forested regions centered on the Ouesso district of the Sangha Region. They suggest a population on the order of 125,000 western lowland gorillas, whose isolation from humans has been largely preserved by inhospitable swamps.[43]
|
63 |
+
|
64 |
+
The economy is a mixture of village agriculture and handicrafts, an industrial sector based largely on petroleum,[44] support services, and a government characterized by budget problems and overstaffing. Petroleum extraction has supplanted forestry as the mainstay of the economy. In 2008, oil sector accounted for 65% of the GDP, 85% of government revenue, and 92% of exports.[45] The country also has large untapped mineral wealth.
|
65 |
+
|
66 |
+
In the early 1980s, rapidly rising oil revenues enabled the government to finance large-scale development projects with GDP growth averaging 5% annually, one of the highest rates in Africa. The government has mortgaged a substantial portion of its petroleum earnings, contributing to a shortage of revenues. 12 January 1994 devaluation of Franc Zone currencies by 50% resulted in inflation of 46% in 1994, but inflation has subsided since.[46]
|
67 |
+
|
68 |
+
Economic reform efforts continued with the support of international organizations, notably the World Bank and the International Monetary Fund. The reform program came to a halt in June 1997 when civil war erupted. When Sassou Nguesso returned to power at the end of the war in October 1997, he publicly expressed interest in moving forward on economic reforms and privatization and in renewing cooperation with international financial institutions. However, economic progress was badly hurt by slumping oil prices and the resumption of armed conflict in December 1998, which worsened the republic's budget deficit.
|
69 |
+
|
70 |
+
The current administration presides over an uneasy internal peace and faces difficult economic problems of stimulating recovery and reducing poverty, despite record-high oil prices since 2003. Natural gas and diamonds are also recent major Congolese exports, although Congo was excluded from the Kimberley Process in 2004 amid allegations that most of its diamond exports were in fact being smuggled out of the neighboring Democratic Republic of the Congo; it was re-admitted to the group in 2007.[47][48]
|
71 |
+
|
72 |
+
The Republic of the Congo also has large untapped base metal, gold, iron and phosphate deposits.[49] The country is a member of the Organization for the Harmonization of Business Law in Africa (OHADA).[50] The Congolese government signed an agreement in 2009 to lease 200,000 hectares of land to South African farmers to reduce its dependence on imports.[51][52]
|
73 |
+
|
74 |
+
The GDP of the Republic of the Congo grew by 6% in 2014 and is expected to have grown by 7.5% in 2015.[53][54]
|
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+
|
76 |
+
In 2018, the Republic of the Congo joined the Organization of Petroleum Exporting Countries.[55]
|
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+
|
78 |
+
Transport in the Republic of the Congo includes land, air and water transportation. The country's rail system was built by forced laborers during the 1930s and largely remains in operation. There are also over 1000 km of paved roads and two major international airports (Maya-Maya Airport and Pointe-Noire Airport) which have flights to destinations in Europe, Africa, and the Middle East. The country also has a large port on the Atlantic Ocean at Pointe-Noire and others along the Congo River at Brazzaville and Impfondo.
|
79 |
+
|
80 |
+
Religion in the Republic of the Congo by the Association of Religion Data Archives (2015)[56]
|
81 |
+
|
82 |
+
The Republic of the Congo's sparse population is concentrated in the southwestern portion of the country, leaving the vast areas of tropical jungle in the north virtually uninhabited. Thus, Congo is one of the most urbanized countries in Africa, with 70% of its total population living in a few urban areas, namely in Brazzaville, Pointe-Noire or one of the small cities or villages lining the 534-kilometre (332 mi) railway which connects the two cities. In rural areas, industrial and commercial activity has declined rapidly in recent years, leaving rural economies dependent on the government for support and subsistence.[57]
|
83 |
+
|
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+
Ethnically and linguistically the population of the Republic of the Congo is diverse—Ethnologue recognises 62 spoken languages in the country[58]—but can be grouped into three categories. The Kongo are the largest ethnic group and form roughly half of the population. The most significant subgroups of the Kongo are Laari, in Brazzaville and Pool regions, and the Vili, around Pointe-Noire and along the Atlantic coast. The second largest group are the Teke, who live to the north of Brazzaville, with 17% of the population. Boulangui (M’Boshi) live in the northwest and in Brazzaville and form 12% of the population.[59][60] Pygmies make up 2% of Congo's population.[61]
|
85 |
+
|
86 |
+
Before the 1997 war, about 9,000 Europeans and other non-Africans lived in Congo, most of whom were French; only a fraction of this number remains.[57] Around 300 American expatriates reside in the Congo.[57]
|
87 |
+
|
88 |
+
According to CIA World Factbook, the people of the Republic of the Congo are largely a mix of Catholics (33.1%), Awakening Lutherans (22.3%) and other Protestants (19.9%). Followers of Islam make up 1.6%; this is primarily due to an influx of foreign workers into the urban centers.[8]
|
89 |
+
|
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+
According to a 2011–12 survey, total fertility rate was 5.1 children born per woman, with 4.5 in urban areas and 6.5 in rural areas.[62]
|
91 |
+
|
92 |
+
Public expenditure health was at 8.9% of the GDP in 2004, whereas private expenditure was at 1.3%.[63]
|
93 |
+
As of 2012[update], the HIV/AIDS prevalence was at 2.8% among 15- to 49-year-olds.[8] Health expenditure was at US$30 per capita in 2004.[63] A large proportion of the population is undernourished,[63] with malnutrition being a problem in Congo-Brazzaville.[64] There were 20 physicians per 100,000 persons in the early 2000s (decade).[63]
|
94 |
+
|
95 |
+
As of 2010[update], the maternal mortality rate was 560 deaths/100,000 live births, and the infant mortality rate was 59.34 deaths/1,000 live births.[8] Female genital mutilation (FGM) is rare in the country, being confined to limited geographic areas of the country.[65]
|
96 |
+
|
97 |
+
The Republic of the Congo has a wide variety of natural landscapes, ranging from the savannah plains in the North Niari flooded forests, to the vast Congo River, to rugged mountains and forest of Mayombe, and including 170 km of beaches along the Atlantic coast.[66] The numerous ethnic groups and various political structures express a rich cultural diversity and forms of art.
|
98 |
+
|
99 |
+
Among the best known are Vili nail fetishes, Beembe statuettes that are full of expression; the masks of the Punu and Kwele, Kota reliquaries, Teke fetishes, and cemeteries with monumental tombs are examples of this variety. The Lari people also have unique artifacts.
|
100 |
+
|
101 |
+
The Republic of the Congo also has considerable colonial architectural heritage, which they are preserving as part of their history. Restoration of architectural works is underway in Brazzaville, such as the Basilica of Sainte-Anne du Congo, which was completed in 2011.[67]
|
102 |
+
|
103 |
+
Because of problems with the communication network, the country is not ready to build on heritage tourism. It is working to improve the network that supports its hotels and related tourism facilities in Pointe Noire and Brazzaville. Many sites are difficult to reach in overland visits. Some of the South's most populous and developed locations are often the least accessible. For example, the massive Chaillu Mountains are almost impossible to visit.
|
104 |
+
|
105 |
+
Congolese singers have become known internationally: the Franco-Congolese rapper Passi's work is broadcast in France, and he has released several hit albums, such as Temptations, with the famous song "I zap and I mate." M'Passi, singer of the former group Melgroove; rappers Calbo of Arsenik group, Ben J of Neg Marrons, Mystic, and RCFA are also increasingly known. The group Bisso Na Bisso and Casimir Zao are also notable.
|
106 |
+
|
107 |
+
The Republic of Congo has several writers recognised in Africa and the French-speaking world: Alain Mabanckou, Jean-Baptiste Tati Loutard, Jeannette Balou Tchichelle, Henri Lopes, Lassy Mbouity, and Tchicaya U Tam'si.
|
108 |
+
|
109 |
+
Artists have struggled to build a film industry. After their promising start in the 1970s, the troubled political situation and the closure of cinemas made production of films difficult. Rather than seeking to make a feature film for distribution, generally filmmakers directly broadcast their productions as videos on the internet. Congolese culture, art, and media have suffered from a lack of investment due to the unstable political conditions and warfare.
|
110 |
+
|
111 |
+
Public expenditure of the GDP was less in 2002–05 than in 1991.[63] Public education is theoretically free and mandatory for under-16-year-olds[68] but, in practice, expenses exist.[68] In 2005 net primary enrollment rate was 44%, a significant drop from the 79% in 1991.[63] Education between ages six and sixteen is compulsory. Pupils who complete six years of primary school and seven years of secondary school obtain a baccalaureate.
|
112 |
+
|
113 |
+
The country has universities. At university, students can obtain a bachelor's degree in three years and a master's after five. Marien Ngouabi University—which offers courses in medicine, law, and other fields—is the country's only public university.
|
114 |
+
|
115 |
+
Instruction at all levels is in French, and the educational system as a whole models the French system.
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en/1267.html.txt
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Congo may refer to either of two countries that border the Congo River in central Africa:
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|
3 |
+
Congo or Kongo may also refer to:
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en/1268.html.txt
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1 |
+
Coordinates: 3°S 24°E / 3°S 24°E / -3; 24
|
2 |
+
|
3 |
+
The Democratic Republic of the Congo (pronunciation (help·info) French: République démocratique du Congo [kɔ̃ɡo]), also known as Congo-Kinshasa, DR Congo, DRC (the official acronym), the DROC,[5] or simply the Congo, is a country located in Central Africa. It was formerly called Zaire (1971–1997). It is, by area, the largest country in sub-Saharan Africa, the second-largest in all of Africa (after Algeria), and the 11th-largest in the world. With a population of over 84 million,[6][7] the Democratic Republic of the Congo is the most populous officially Francophone country in the world, as well as the fourth-most-populous in Africa, and the 16th-most-populous country in the world. Since 2015, the Eastern DR Congo has been the scene of an ongoing military conflict in Kivu.
|
4 |
+
|
5 |
+
Centred on the Congo Basin, the territory of the DRC was first inhabited by Central African foragers around 90,000 years ago and was reached by the Bantu expansion about 3,000 years ago. In the west, the Kingdom of Kongo ruled around the mouth of the Congo River from the 14th to 19th centuries. In the centre and east, the kingdoms of Luba and Lunda ruled from the 16th and 17th centuries to the 19th century.
|
6 |
+
|
7 |
+
In the 1870s, just before the onset of the Scramble for Africa, European exploration of the Congo Basin was carried out, first led by Henry Morton Stanley under the sponsorship of Leopold II of Belgium. Leopold formally acquired rights to the Congo territory at the Berlin Conference in 1885 and made the land his private property, naming it the Congo Free State. During the Free State, his colonial military unit, the Force Publique, forced the local population to produce rubber. From 1885 to 1908, millions of the Congolese people died as a consequence of disease and exploitation. In 1908, Leopold, despite his initial reluctance, ceded the so-called Free State to Belgium, thus it became known as the Belgian Congo.
|
8 |
+
|
9 |
+
Congo achieved independence from Belgium on 30 June 1960 under the name Republic of the Congo. Congolese nationalist Patrice Lumumba was elected the first Prime Minister, while Joseph Kasa-Vubu became the first President. Conflict arose over the administration of the territory, which became known as the Congo Crisis. The provinces of Katanga, under Moïse Tshombe, and South Kasai attempted to secede. After the UN and Western governments refused his requests for aid and Lumumba stated that he was open to any country, including the Soviet Union, for assistance in the crisis, the US and Belgium became wary and oversaw his removal from office by Kasa-Vubu on 5 September and ultimate execution by Belgian-led Katangese troops on 17 January 1961.
|
10 |
+
|
11 |
+
On 25 November 1965, Army Chief of Staff Joseph-Désiré Mobutu, who later renamed himself Mobutu Sese Seko, officially came into power through a coup d'état. In 1971, he renamed the country Zaire. The country was run as a dictatorial one-party state, with his Popular Movement of the Revolution as the sole legal party. Mobutu's government received considerable support from the United States, due to its anti-communist stance during the Cold War. By the early 1990s, Mobutu's government began to weaken. Destabilisation in the east resulting from the 1994 Rwandan genocide and disenfranchisement among the eastern Banyamulenge (Congolese Tutsi) population led to a 1996 invasion led by Tutsi FPR-ruled Rwanda, which began the First Congo War.[1]
|
12 |
+
|
13 |
+
On 17 May 1997, Laurent-Désiré Kabila, a leader of Tutsi forces from the province of South Kivu, became President after Mobutu fled to Morocco, reverting the country's name to the Democratic Republic of the Congo. Tensions between President Kabila and the Rwandan and Tutsi presence in the country led to the Second Congo War from 1998 to 2003. Ultimately, nine African countries and around twenty armed groups became involved in the war,[8] which resulted in the deaths of 5.4 million people.[9][10][11][12] The two wars devastated the country. President Laurent-Désiré Kabila was assassinated by one of his bodyguards on 16 January 2001 and was succeeded eight days later by his son Joseph, under whom human rights in the country remained poor and included frequent abuses such as forced disappearances, torture, arbitrary imprisonment and restrictions on civil liberties according to NGOs.
|
14 |
+
|
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The Democratic Republic of the Congo is extremely rich in natural resources but has suffered from political instability, a lack of infrastructure, corruption, and centuries of both commercial and colonial extraction and exploitation with little widespread development. Besides the capital Kinshasa, the two next largest cities, Lubumbashi and Mbuji-Mayi are both mining communities. DR Congo's largest export is raw minerals, with China accepting over 50% of DRC's exports in 2012. In 2016, DR Congo's level of human development was ranked 176th out of 187 countries by the Human Development Index.[13] As of 2018[update], around 600,000 Congolese have fled to neighbouring countries from conflicts in the centre and east of the DRC.[14] Two million children risk starvation, and the fighting has displaced 4.5 million people.[15] The sovereign state is a member of the United Nations, Non-Aligned Movement, African Union, and COMESA.
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The Democratic Republic of the Congo is named after the Congo River, which flows throughout the country. The Congo River is the world's deepest river and the world's second-largest river by discharge. The Comité d'études du haut Congo ("Committee for the Study of the Upper Congo"), established by King Leopold II of Belgium in 1876, and the International Association of the Congo, established by him in 1879, were also named after the river.[16]
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The Congo River itself was named by early European sailors after the Kingdom of Kongo and its Bantu inhabitants, the Kongo people, when they encountered them in the 16th century.[17][18] The word Kongo comes from the Kongo language (also called Kikongo). According to American writer Samuel Henry Nelson: "It is probable that the word 'Kongo' itself implies a public gathering and that it is based on the root konga, 'to gather' (trans[itive])."[19] The modern name of the Kongo people, Bakongo was introduced in the early 20th century.
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The Democratic Republic of the Congo has been known in the past as, in chronological order, the Congo Free State, Belgian Congo, the Republic of Congo-Léopoldville, the Democratic Republic of the Congo and the Republic of Zaire, before returning to its current name the Democratic Republic of the Congo.[1]
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At the time of independence, the country was named the Republic of Congo-Léopoldville to distinguish it from its neighbour the Republic of the Congo-Brazzaville. With the promulgation of the Luluabourg Constitution on 1 August 1964, the country became the DRC, but was renamed to Zaire (a past name for the Congo River) on 27 October 1971 by President Mobutu Sese Seko as part of his Authenticité initiative.[20]
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The word Zaire is from a Portuguese adaptation of a Kikongo word nzere ("river"), a truncation of nzadi o nzere ("river swallowing rivers").[21] The river was known as Zaire during the 16th and 17th centuries; Congo seems to have replaced Zaire gradually in English usage during the 18th century, and Congo is the preferred English name in 19th-century literature, although references to Zaire as the name used by the natives (i.e. derived from Portuguese usage) remained common.[22]
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In 1992, the Sovereign National Conference voted to change the name of the country to the "Democratic Republic of the Congo", but the change was not made.[23] The country's name was restored by President Laurent-Désiré Kabila following the fall of Mobutu in 1997.[24]
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The geographical area now known as the Democratic Republic of the Congo was populated as early as 90,000 years ago, as shown by the 1988 discovery of the Semliki harpoon at Katanda, one of the oldest barbed harpoons ever found, believed to have been used to catch giant river catfish.[25][26]
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Bantu peoples reached Central Africa at some point during the first millennium BC, then gradually started to expand southward. Their propagation was accelerated by the adoption of pastoralism and of Iron Age techniques.
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The people living in the south and southwest were foraging groups, whose technology involved only minimal use of metal technologies. The development of metal tools during this time period revolutionized agriculture. This led to the displacement of the hunter-gatherer groups in the east and southeast.
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The final wave of the Bantu expansion was complete by the 10th century, followed by the establishment of the Bantu kingdoms, whose rising populations soon made possible intricate local, regional and foreign commercial networks that traded mostly in slaves, salt, iron and copper.
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Belgian exploration and administration took place from the 1870s until the 1920s. It was first led by Sir Henry Morton Stanley, who undertook his explorations under the sponsorship of King Leopold II of Belgium. The eastern regions of the precolonial Congo were heavily disrupted by constant slave raiding, mainly from Arab–Swahili slave traders such as the infamous Tippu Tip, who was well known to Stanley.[27]
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Leopold had designs on what was to become the Congo as a colony.[28] In a succession of negotiations, Leopold, professing humanitarian objectives in his capacity as chairman of the front organization Association Internationale Africaine, actually played one European rival against another.[citation needed]
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Leopold formally acquired rights to the Congo territory at the Conference of Berlin in 1885 and made the land his private property. He named it the Congo Free State.[28] Leopold's regime began various infrastructure projects, such as the construction of the railway that ran from the coast to the capital of Leopoldville (now Kinshasa), which took eight years to complete. Nearly all such infrastructure projects were aimed at making it easier to increase the assets which Leopold and his associates could extract from the colony.[29]
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In the Free State, colonists coerced the local population into producing rubber, for which the spread of automobiles and development of rubber tires created a growing international market. Rubber sales made a fortune for Leopold, who built several buildings in Brussels and Ostend to honor himself and his country. To enforce the rubber quotas, the army, the Force Publique, was called in and made the practice of cutting off the limbs of the natives a matter of policy.[30]
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During the period of 1885–1908, millions of Congolese died as a consequence of exploitation and disease. In some areas the population declined dramatically – it has been estimated that sleeping sickness and smallpox killed nearly half the population in the areas surrounding the lower Congo River.[30]
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News of the abuses began to circulate. In 1904, the British consul at Boma in the Congo, Roger Casement was instructed by the British government to investigate. His report, called the Casement Report, confirmed the accusations of humanitarian abuses. The Belgian Parliament forced Leopold II to set up an independent commission of inquiry. Its findings confirmed Casement's report of abuses, concluding that the population of the Congo had been "reduced by half" during this period.[29] Determining precisely how many people died is impossible, as no accurate records exist.
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In 1908, the Belgian parliament, in spite of initial reluctance, bowed to international pressure (especially from the United Kingdom) and took over the Free State from King Leopold II.[31]
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On 18 October 1908, the Belgian parliament voted in favour of annexing the Congo as a Belgian colony. Executive power went to the Belgian minister of colonial affairs, assisted by a Colonial Council (Conseil Colonial) (both located in Brussels). The Belgian parliament exercised legislative authority over the Belgian Congo. In 1926 the colonial capital moved from Boma to Léopoldville, some 300 kilometres (190 mi) further upstream into the interior.
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The transition from the Congo Free State to the Belgian Congo was a break but it also featured a large degree of continuity. The last Governor-general of the Congo Free State, Baron Théophile Wahis, remained in office in the Belgian Congo and the majority of Leopold II's administration with him.[32] Opening up the Congo and its natural and mineral riches to the Belgian economy remained the main motive for colonial expansion – however, other priorities, such as healthcare and basic education, slowly gained in importance.
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Colonial administrators ruled the territory and a dual legal system existed (a system of European courts and another one of indigenous courts, tribunaux indigènes). Indigenous courts had only limited powers and remained under the firm control of the colonial administration.
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Records show that in 1936, 728 Belgian administrators ran the colony.[citation needed] The Belgian authorities permitted no political activity in the Congo whatsoever,[33] and the Force Publique, a locally-recruited army under Belgian command, put down any attempts at rebellion.
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The Belgian population of the colony increased from 1,928 in 1910 to nearly 89,000 in 1959.[citation needed]
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The Belgian Congo was directly involved in the two world wars. During World War I (1914–1918), an initial stand-off between the Force Publique and the German colonial army in German East Africa (Tanganyika) turned into open warfare with a joint Anglo-Belgian-Portuguese invasion of German colonial territory in 1916 and 1917 during the East African Campaign. The Force Publique gained a notable victory when it marched into Tabora in September 1916 under the command of General Charles Tombeur after heavy fighting.
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After 1918, Belgium was rewarded for the participation of the Force Publique in the East African campaign with a League of Nations mandate over the previously German colony of Ruanda-Urundi. During World War II, the Belgian Congo provided a crucial source of income for the Belgian government-in-exile in London, and the Force Publique again participated in Allied campaigns in Africa. Belgian Congolese forces under the command of Belgian officers notably fought against the Italian colonial army in Ethiopia in Asosa, Bortaï[34] and Saïo under Major-General Auguste-Eduard Gilliaert during the second East African Campaign.[35]
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In May 1960, a growing nationalist movement, the Mouvement National Congolais (MNC) led by Patrice Lumumba, won the parliamentary elections. Patrice Lumumba thus became the first Prime Minister of the Democratic Republic of the Congo, then known as the Republic of the Congo, on 24 June 1960. The parliament elected Joseph Kasavubu as President, of the Alliance des Bakongo (ABAKO) party. Other parties that emerged included the Parti Solidaire Africain (PSA) led by Antoine Gizenga, and the Parti National du Peuple (PNP) led by Albert Delvaux and Laurent Mbariko.[36]
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The Belgian Congo achieved independence on 30 June 1960 under the name "République du Congo" ("Republic of Congo" or "Republic of the Congo" in English). As the neighboring French colony of Middle Congo (Moyen Congo) also chose the name "Republic of Congo" upon achieving its independence, the two countries were more commonly known as "Congo-Léopoldville" and "Congo-Brazzaville", after their capital cities.
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Shortly after independence the Force Publique mutinied, and on 11 July the province of Katanga (led by Moïse Tshombe) and South Kasai engaged in secessionist struggles against the new leadership.[37][38] Most of the 100,000 Europeans who had remained behind after independence fled the country,[39] opening the way for Congolese to replace the European military and administrative elite.[40]
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On 5 September 1960, Kasavubu dismissed Lumumba from office. Lumumba declared Kasavubu's action unconstitutional and a crisis between the two leaders developed.[41]
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Events set in motion by the U.S. and Belgium on 14 September removed Lumumba from office with forces loyal to Joseph Mobutu. On 17 January 1961, he was handed over to Katangan authorities and executed by Belgian-led Katangese troops.[42] An investigation by the Belgium's Parliament in 2001 found Belgium "morally responsible" for the murder of Lumumba, and the country has since officially apologised for its role in his death.[43]
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Amidst widespread confusion and chaos, a temporary government was led by technicians (the Collège des commissaires généraux). The secession ended in January 1963 with the assistance of UN forces. Several short-lived governments, of Joseph Ileo, Cyrille Adoula and Moise Tshombe, took over in quick succession.
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Lumumba had previously appointed Joseph Mobutu chief of staff of the new Congo army, Armée Nationale Congolaise (ANC).[citation needed] Taking advantage of the leadership crisis between Kasavubu and Tshombe, Mobutu garnered enough support within the army to launch a coup. With financial support from the United States and Belgium, Mobutu paid his soldiers privately.[citation needed] The aversion of Western powers to communism and leftist ideology influenced their decision to finance Mobutu's quest to neutralize Kasavubu and Lumumba in a coup by proxy.[citation needed] A constitutional referendum the year before Mobutu's coup of 1965 resulted in the country's official name being changed to the "Democratic Republic of the Congo."[1] In 1971 Mobutu changed the name again, this time to "Republic of Zaire".[44][20]
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The new president had the staunch support of the United States because of his opposition to Communism; the US believed that his administration would serve as an effective counter to communist movements in Africa.[45] A single-party system was established, and Mobutu declared himself head of state. He periodically held elections in which he was the only candidate. Although relative peace and stability were achieved, Mobutu's government was guilty of severe human rights violations, political repression, a cult of personality and corruption.
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By late 1967 Mobutu had successfully neutralized his political opponents and rivals, either through co-opting them into his regime, arresting them, or rendering them otherwise politically impotent.[46] Throughout the late 1960s, Mobutu continued to shuffle his governments and cycle officials in and out of the office to maintain control. Kasa-Vubu's death in April 1969 ensured that no person with First Republic credentials could challenge his rule.[47] By the early 1970s, Mobutu was attempting to assert Zaire as a leading African nation. He traveled frequently across the continent while the government became more vocal about African issues, particularly those relating to the southern region. Zaire established semi-clientelist relationships with several smaller African states, especially Burundi, Chad, and Togo.[48]
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Corruption became so common the term "le mal Zairois" or "Zairian Sickness",[49] meaning gross corruption, theft and mismanagement, was coined, reportedly by Mobutu himself.[50] International aid, most often in the form of loans, enriched Mobutu while he allowed national infrastructure such as roads to deteriorate to as little as one-quarter of what had existed in 1960. Zaire became a kleptocracy as Mobutu and his associates embezzled government funds.
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In a campaign to identify himself with African nationalism, starting on 1 June 1966, Mobutu renamed the nation's cities: Léopoldville became Kinshasa (the country was now Congo-Kinshasa), Stanleyville became Kisangani, Elisabethville became Lubumbashi, and Coquilhatville became Mbandaka. This renaming campaign was completed in the 1970s.
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In 1971, Mobutu renamed the country the Republic of Zaire,[20] its fourth name change in eleven years and its sixth overall. The Congo River was renamed the Zaire River.
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During the 1970s and 1980s, he was invited to visit the United States on several occasions, meeting with U.S. Presidents Richard Nixon, Ronald Reagan and George H. W. Bush.[51] Following the dissolution of the Soviet Union U.S. relations with Mobutu cooled, as he was no longer deemed necessary as a Cold War ally. Opponents within Zaire stepped up demands for reform. This atmosphere contributed to Mobutu's declaring the Third Republic in 1990, whose constitution was supposed to pave the way for democratic reform. The reforms turned out to be largely cosmetic. Mobutu continued in power until armed forces forced him to flee in 1997. "From 1990 to 1993, the United States facilitated Mobutu's attempts to hijack political change", one academic wrote, and "also assisted the rebellion of Laurent-Desire Kabila that overthrew the Mobutu regime."[52]
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By 1996, following the Rwandan Civil War and genocide and the ascension of a Tutsi-led government in Rwanda, Rwandan Hutu militia forces (Interahamwe) fled to eastern Zaire and used refugee camps as a base for incursions against Rwanda. They allied with the Zairian Armed Forces (FAZ) to launch a campaign against Congolese ethnic Tutsis in eastern Zaire.[53]
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A coalition of Rwandan and Ugandan armies invaded Zaire to overthrow the government of Mobutu, and ultimately to control the mineral resources of Zaire,[citation needed] launching the First Congo War. The coalition allied with some opposition figures, led by Laurent-Désiré Kabila, becoming the Alliance of Democratic Forces for the Liberation of Congo (AFDL). In 1997 Mobutu fled and Kabila marched into Kinshasa, named himself president, and reverted the name of the country to the Democratic Republic of the Congo.
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Kabila later requested that foreign military forces return to their own countries. He had concerns that the Rwandan officers running his army were plotting to give the presidency to a Tutsi who would report directly to Rwandan president, Paul Kagame.[citation needed] Rwandan troops retreated to Goma and launched a new Tutsi-led rebel military movement called the Rassemblement Congolais pour la Democratie (RCD) to fight Kabila, while Uganda instigated the creation of new rebel movement called the Movement for the Liberation of Congo (MLC), led by Congolese warlord Jean-Pierre Bemba.[citation needed] The two rebel movements, along with Rwandan and Ugandan troops, started the Second Congo War by attacking the DRC army in 1998. Angolan, Zimbabwean, and Namibian militaries entered the hostilities on the side of the government.
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Kabila was assassinated in 2001. His son Joseph Kabila succeeded him and called for multilateral peace talks. UN peacekeepers, MONUC, now known as MONUSCO, arrived in April 2001. In 2002 and 2003 Bemba intervened in the Central African Republic on behalf of its former president, Ange-Félix Patassé.[54] Talks led to a peace accord under which Kabila would share power with former rebels. By June 2003 all foreign armies except those of Rwanda had pulled out of Congo. A transitional government was set up until after the election. A constitution was approved by voters, and on 30 July 2006 DRC held its first multi-party elections. An election-result dispute between Kabila and Jean-Pierre Bemba turned into an all-out battle between their supporters in the streets of Kinshasa. MONUC took control of the city. A new election took place in October 2006, which Kabila won, and in December 2006 he was sworn in as President.
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Laurent Nkunda, a member of RCD-Goma, an RCD branch integrated to the army, defected along with troops loyal to him and formed the National Congress for the Defence of the People (CNDP), which began an armed rebellion against the government, starting the Kivu conflict. They were believed[by whom?] to be again backed by Rwanda as a way to tackle the Hutu group, Democratic Forces for the Liberation of Rwanda (FDLR). In March 2009, after a deal between the DRC and Rwanda, Rwandan troops entered the DRC and arrested Nkunda and were allowed to pursue FDLR militants. The CNDP signed a peace treaty with the government in which it agreed to become a political party and to have its soldiers integrated into the national army in exchange for the release of its imprisoned members.[55] In 2012 Bosco Ntaganda, the leader of the CNDP, and troops loyal to him, mutinied and formed the rebel military March 23 Movement, claiming the government violated the treaty.[56]
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In the resulting M23 rebellion, M23 briefly captured the provincial capital of Goma in November 2012.[57][58] Neighboring countries, particularly Rwanda, have been accused of arming rebels groups and using them as proxies to gain control of the resource-rich country, an accusation they deny.[59][60] In March 2013, the United Nations Security Council authorized the United Nations Force Intervention Brigade, the first offensive United Nations peacekeeping unit, to neutralize armed groups.[61] On 5 November 2013, M23 declared an end to its insurgency.[62]
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Additionally, in northern Katanga, the Mai-Mai created by Laurent Kabila slipped out of the control of Kinshasa with Gédéon Kyungu Mutanga's Mai Mai Kata Katanga briefly invading the provincial capital of Lubumbashi in 2013 and 400,000 persons displaced in the province as of 2013[update].[63] On and off fighting in the Ituri conflict occurred between the Nationalist and Integrationist Front (FNI) and the Union of Congolese Patriots (UPC) who claimed to represent the Lendu and Hema ethnic groups, respectively. In the northeast, Joseph Kony's LRA moved from their original bases in Uganda and South Sudan to DR Congo in 2005 and set up camps in the Garamba National Park.[64][65]
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In 2009, The New York Times reported that people in the Congo continued to die at a rate of an estimated 45,000 per month[66] – estimates of the number who have died from the long conflict range from 900,000 to 5,400,000.[67] The death toll is due to widespread disease and famine; reports indicate that almost half of the individuals who have died are children under five years of age.[68] There have been frequent reports of weapon bearers killing civilians, of the destruction of property, of widespread sexual violence,[69] causing hundreds of thousands of people to flee their homes, and of other breaches of humanitarian and human rights law. One study found that more than 400,000 women are raped in the Democratic Republic of Congo every year.[70]
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The war in the Congo has been described as the bloodiest war since World War II.[71] On 8 December 2017, fourteen UN soldiers and five Congolese regular soldiers were killed in a rebel attack at Semuliki in Beni territory. The rebels were thought to be Allied Democratic Forces.[72] UN investigations confirmed that aggressor in the December attack.[73]
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According to the Human Rights Watch and the New York University-based Congo Research Group, armed troops in DRC’s eastern Kivu region have killed over 1,900 civilians and kidnapped at least 3,300 people since June 2017 to June 2019.[74]
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In 2015, major protests broke out across the country and protesters demanded that Joseph Kabila step down as President. The protests began after the passage of a law by the Congolese lower house that, if also passed by the Congolese upper house, would keep Kabila in power at least until a national census was conducted (a process which would likely take several years and therefore keep him in power past the planned 2016 elections, which he is constitutionally barred from participating in).
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This bill passed; however, it was gutted of the provision that would keep Kabila in power until a census took place. A census is supposed to take place, but it is no longer tied to when the elections take place. In 2015, elections were scheduled for late 2016 and a tenuous peace held in the Congo.[75]
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On 27 November Congolese foreign minister Raymond Tshibanda told the press no elections would be held in 2016, after 20 December, the end of president Kabila's term. In a conference in Madagascar, Tshibanda said that Kabila's government had "consulted election experts" from Congo, the United Nations and elsewhere, and that "it has been decided that the voter registration operation will end on July 31, 2017, and that election will take place in April 2018."[76] Protests broke out in the country on 20 December when Kabila's term in office ended. Across the country, dozens of protesters were killed and hundreds were arrested.
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According to Jan Egeland, presently Secretary-General of the Norwegian Refugee Council, the situation in the DRC became much worse in 2016 and 2017 and is a major moral and humanitarian challenge comparable to the wars in Syria and Yemen, which receive much more attention. Women and children are abused sexually and "abused in all possible manners". Besides the conflict in North Kivu, violence has gone up in the Kasai region. The armed groups are after gold, diamonds, oil, and cobalt to line the pockets of rich men both in the region and internationally. There are also ethnic and cultural rivalries at play, as well as religious motives and the political crisis with postponed elections. He says people believe the situation in the DRC is "stably bad" but in fact, it has become much, much worse. "The big wars of the Congo that were really on top of the agenda 15 years ago are back and worsening".[77] Due to disruption of planting and harvesting caused by the conflict, the UN estimated in March 2018 that two million children risk starvation.[78]
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Human Rights Watch said in 2017 that Joseph Kabila recruited former M23 fighters to put down country-wide protests over his refusal to step down from office at the end of his term. "M23 fighters patrolled the streets of Congo’s main cities, firing on or arresting protesters or anyone else deemed to be a threat to the president," they said.[79]
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Fierce fighting has erupted in Masisi between government forces and a powerful local warlord, General Delta. The United Nations mission in the DRC is its largest and most expensive peacekeeping effort, but it shut down five UN bases near Masisi in 2017, after the US led a push to cut costs.[80]
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A tribal conflict erupted on 16–17 December 2018 at Yumbi in Mai-Ndombe Province, 400 km (250 miles) north of Kinshasa. Nearly 900 Banunu people from four villages were slaughtered by members of the Batende community in a deep-rooted rivalry over monthly tribal duties, land, fields and water resources. Some 100 Banunus fled to Moniende island in the Congo River, and another 16,000 to Makotimpoko District in the Republic of Congo. Military-style tactics were employed in the bloodbath, and some assailants were clothed in army uniforms. Local authorities and elements within the security forces were suspected of lending them support.[81]
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On 30 December the Democratic Republic of the Congo general election, 2018 was held. On 10 January 2019, the electoral commission announced opposition candidate Félix Tshisekedi as the winner of the presidential vote.[82] He was officially sworn in as President on 24 January 2019.[83] However, there were widespread suspicions that the results were rigged and that a deal had been made between Tshisekedi and Kabila. The Catholic Church said that the official results did not correspond to the information its election monitors had collected.[84] The government had also "delayed" the vote until March in some areas, citing the Ebola outbreak in Kivu as well as the ongoing military conflict. This was criticized as these regions are known as opposition strongholds.[85][86][87] In August 2019, six months after the inauguration of Félix Tshisekedi, a coalition government was announced.[88]
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A major measles outbreak in the country left nearly 5,000 dead in 2019.[89]
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The Democratic Republic of the Congo (DRC) is located in central sub-Saharan Africa, bordered to the northwest by the Republic of the Congo, to the north by the Central African Republic, to the northeast by South Sudan, to the east by Uganda, Rwanda and Burundi, and by Tanzania (across Lake Tanganyika), to the south and southeast by Zambia, to the southwest by Angola, and to the west by the South Atlantic Ocean and the Cabinda Province exclave of Angola. The country lies between latitudes 6°N and 14°S, and longitudes 12° and 32°E. It straddles the Equator, with one-third to the North and two-thirds to the South. The size of Congo, 2,345,408 square kilometres (905,567 sq mi), is slightly greater than the combined areas of Spain, France, Germany, Sweden, and Norway. It is the second-largest country in Africa by area, after Algeria.
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As a result of its equatorial location, the DRC experiences high precipitation and has the highest frequency of thunderstorms in the world. The annual rainfall can total upwards of 2,000 millimetres (80 in) in some places, and the area sustains the Congo Rainforest, the second-largest rain forest in the world after the Amazon. This massive expanse of lush jungle covers most of the vast, low-lying central basin of the river, which slopes toward the Atlantic Ocean in the west. This area is surrounded by plateaus merging into savannas in the south and southwest, by mountainous terraces in the west, and dense grasslands extending beyond the Congo River in the north. High, glaciated mountains (Rwenzori Mountains) are found in the extreme eastern region.[citation needed]
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The tropical climate also produced the Congo River system which dominates the region topographically along with the rainforest it flows through, though they are not mutually exclusive. The name for the Congo state is derived in part from the river. The river basin (meaning the Congo River and all of its myriad tributaries) occupies nearly the entire country and an area of nearly 1,000,000 km2 (390,000 sq mi). The river and its tributaries form the backbone of Congolese economics and transportation. Major tributaries include the Kasai, Sangha, Ubangi, Ruzizi, Aruwimi, and Lulonga.
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The sources of the Congo are in the Albertine Rift Mountains that flank the western branch of the East African Rift, as well as Lake Tanganyika and Lake Mweru. The river flows generally west from Kisangani just below Boyoma Falls, then gradually bends southwest, passing by Mbandaka, joining with the Ubangi River, and running into the Pool Malebo (Stanley Pool). Kinshasa and Brazzaville are on opposite sides of the river at the Pool. Then the river narrows and falls through a number of cataracts in deep canyons, collectively known as the Livingstone Falls, and runs past Boma into the Atlantic Ocean. The river also has the second-largest flow and the second-largest watershed of any river in the world (trailing the Amazon in both respects). The river and a 37 kilometres (23 mi) wide strip of coastline on its north bank provide the country's only outlet to the Atlantic.[citation needed]
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The Albertine Rift plays a key role in shaping the Congo's geography. Not only is the northeastern section of the country much more mountainous, but due to the rift's tectonic activity, this area also experiences volcanic activity, occasionally with loss of life. The geologic activity in this area also created the African Great Lakes, three of which lie on the Congo's eastern frontier: Lake Albert (known during the Mobutu era as Lake Mobutu Sese Seko), Lake Kivu (Unknown until late 1712), Lake Edward (known during the Amin era as Lake Idi Amin Dada), and Lake Tanganyika. Lake Edward and Lake Albert are connected by the Semliki River.[citation needed]
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The Rift valley has exposed an enormous amount of mineral wealth throughout the south and east of the Congo, making it accessible to mining. Cobalt, copper, cadmium, industrial and gem-quality diamonds, gold, silver, zinc, manganese, tin, germanium, uranium, radium, bauxite, iron ore, and coal are all found in plentiful supply, especially in the Congo's southeastern Katanga region.[90]
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On 17 January 2002 Mount Nyiragongo erupted in Congo, with the lava running out at 64 km/h (40 mph) and 46 m (50 yd) wide. One of the three streams of extremely fluid lava flowed through the nearby city of Goma, killing 45 and leaving 120,000 homeless. Four hundred thousand people were evacuated from the city during the eruption. The lava poisoned the water of Lake Kivu, killing fish. Only two planes left the local airport because of the possibility of the explosion of stored petrol. The lava passed the airport but ruined the runway, trapping several airplanes. Six months after the 2002 eruption, nearby Mount Nyamuragira also erupted. Mount Nyamuragira then erupted in 2006 and again in January 2010.[91]
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World Wide Fund for Nature ecoregions located in the Congo include:
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World Heritage Sites located in Democratic Republic of Congo are:
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Virunga National Park (1979),
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Garamba National Park (1980),
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Kahuzi-Biega National Park (1980),
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Salonga National Park (1984) and
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Okapi Wildlife Reserve (1996).
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The country is currently divided into the city-province of Kinshasa and 25 other provinces.[1] The provinces are subdivided into 145 territories and 32 cities. Before 2015, the country had 11 provinces.[92]
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The rainforests of the Democratic Republic of the Congo contain great biodiversity, including many rare and endemic species, such as the common chimpanzee and the bonobo, the African forest elephant, the mountain gorilla, the okapi and the white rhino. Five of the country's national parks are listed as World Heritage Sites: the Garumba, Kahuzi-Biega, Salonga and Virunga National Parks, and the Okapi Wildlife Reserve.
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The Democratic Republic of the Congo is the most biodiverse African country.[93]
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The civil war and resulting in poor economic conditions have endangered much of this biodiversity. Many park wardens were either killed or could not afford to continue their work. All five sites are listed by UNESCO as World Heritage in Danger.
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Conservationists have particularly worried about primates. The Congo is inhabited by several great ape species: the common chimpanzee (Pan troglodytes), the bonobo (Pan paniscus), the eastern gorilla (Gorilla beringei), and possibly the western gorilla (Gorilla gorilla).[94] It is the only country in the world in which bonobos are found in the wild. Much concern has been raised about great ape extinction. Because of hunting and habitat destruction, the chimpanzee, the bonobo and the gorilla, each of whose populations once numbered in the millions, have now dwindled down to only about 200,000 gorillas, 100,000 chimpanzees and possibly only about 10,000 bonobos.[95][96] Gorillas, chimpanzees, and bonobos are all classified as endangered by the World Conservation Union, as well as the okapi, which is also native to the area.
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Poaching for the exotic animal or ivory trade has been a persistent problem for species loss in the DRC, it has been made a necessity for some trying to escape poverty and a means of continuing the civil war for some rebel groups including the Lords Resistance army (LRA).[97] The Forest Elephant is particularly at risk due to the high cost of its ivory, especially in the Far East, due to this its population has reduced by 62% in 2002–2011[98] The main way this poaching for ivory can be reduced is through the hampering of the international demand for ivory, as this drives the trade.[98]
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The introduction of park guards and the implementation of eco-tourism in Virunga National park, a primary habitat for great apes, has allowed the endangered mountain gorilla population to jump over 1000, a 25% rise on 2010 numbers.[99] However, the study indicated that poaching is still an existing problem, with researchers finding 380 snares and park guards continually being ambushed and killed by poachers.[99]
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After a four-year interlude between two constitutions, with new political institutions established at the various levels of government, as well as new administrative divisions for the provinces throughout the country, a new constitution came into effect in 2006 and politics in the Democratic Republic of the Congo finally settled into a stable presidential democratic republic.
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The 2003 transitional constitution[100] had established a parliament with a bicameral legislature, consisting of a Senate and a National Assembly.
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The Senate had, among other things, the charge of drafting the new constitution of the country. The executive branch was vested in a 60-member cabinet, headed by a President and four vice presidents. The President was also the Commander-in-Chief of the armed forces. The transitional constitution also established a relatively independent judiciary, headed by a Supreme Court with constitutional interpretation powers.[101]
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The 2006 constitution, also known as the Constitution of the Third Republic, came into effect in February 2006. It had concurrent authority, however, with the transitional constitution until the inauguration of the elected officials who emerged from the July 2006 elections. Under the new constitution, the legislature remained bicameral; the executive was concomitantly undertaken by a President and the government, led by a Prime Minister, appointed from the party able to secure a majority in the National Assembly.
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The government – not the President – is responsible to the Parliament. The new constitution also granted new powers to the provincial governments, creating provincial parliaments which have oversight of the Governor and the head of the provincial government, whom they elect. The new constitution also saw the disappearance of the Supreme Court, which was divided into three new institutions. The constitutional interpretation prerogative of the Supreme Court is now held by the Constitutional Court.[102]
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Although located in the Central African UN subregion, the nation is also economically and regionally affiliated with Southern Africa as a member of the Southern African Development Community (SADC).[103]
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Mobutu Sese Seko ruled the DRC, which he renamed Zaire, from 1965 to 1997. A relative explained how the government illicitly collected revenue: "Mobutu would ask one of us to go to the bank and take out a million. We'd go to an intermediary and tell him to get five million. He would go to the bank with Mobutu's authority and take out ten. Mobutu got one, and we took the other nine."[104] Mobutu institutionalized corruption to prevent political rivals from challenging his control, leading to an economic collapse in 1996.[105]
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Mobutu allegedly stole as much as US$4–5 billion while in office.[106] He was not the first corrupt Congolese leader by any means: "Government as a system of organized theft goes back to King Leopold II," noted Adam Hochschild in 2009.[107] In July 2009, a Swiss court determined that the statute of limitations had run out on an international asset recovery case of about $6.7 million of deposits of Mobutu's in a Swiss bank, and therefore the assets should be returned to Mobutu's family.[108]
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President Joseph Kabila established the Commission of Repression of Economic Crimes upon his ascension to power in 2001.[109] However, in 2016 the Enough Project issued a report claiming that the Congo is run as a violent kleptocracy.[110]
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The International Criminal Court investigation in the Democratic Republic of the Congo was initiated by Joseph Kabila in April 2004. The International Criminal Court prosecutor opened the case in June 2004.
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Child soldiers have been used on a large scale in DRC, and in 2011 it was estimated that 30,000 children were still operating with armed groups.[111]
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Instances of child labor and forced labor have been observed and reported in the U.S. Department of Labor's Findings on the Worst Forms of Child Labor in the DRC in 2013[112] and six goods produced by the country's mining industry appear on the department's December 2014 List of Goods Produced by Child Labor or Forced Labor.
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Violence against women seems to be perceived by large sectors of society to be normal.[113] The 2013–2014 DHS survey (pp. 299) found that 74.8% of women agreed that a husband is justified in beating his wife in certain circumstances.[114]
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The United Nations Committee on the Elimination of Discrimination against Women in 2006 expressed concern that in the post-war transition period, the promotion of women's human rights and gender equality is not seen as a priority.[115][116] Mass rapes, sexual violence and sexual slavery are used as a weapon of war by the Armed Forces of the Democratic Republic of the Congo and armed groups in the eastern part of the country.[117] The eastern part of the country in particular has been described as the "rape capital of the world" and the prevalence of sexual violence there described as the worst in the world.[118][119]
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Female genital mutilation (FGM) is also practiced in DRC, although not on a large scale. The prevalence of FGM is estimated at about 5% of women.[120][121] FGM is illegal: the law imposes a penalty of two to five years of prison and a fine of 200,000 Congolese francs on any person who violates the "physical or functional integrity" of the genital organs.[122][123]
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In July 2007, the International Committee of the Red Cross expressed concern about the situation in eastern DRC.[124] A phenomenon of "pendulum displacement" has developed, where people hasten at night to safety. According to Yakin Ertürk, the UN Special Rapporteur on Violence against Women who toured eastern Congo in July 2007, violence against women in North and South Kivu included "unimaginable brutality". Ertürk added that "Armed groups attack local communities, loot, rape, kidnap women and children, and make them work as sexual slaves".[125] In December 2008, GuardianFilms of The Guardian released a film documenting the testimony of over 400 women and girls who had been abused by marauding militia.[126]
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In June 2010, Oxfam reported a dramatic increase in the number of rapes in the Democratic Republic of the Congo, and researchers from Harvard discovered that rapes committed by civilians had increased seventeenfold.[127] In June 2014, Freedom from Torture published reported rape and sexual violence being used routinely by state officials in Congolese prisons as punishment for politically active women.[128] The women included in the report were abused in several locations across the country including the capital Kinshasa and other areas away from the conflict zones.[128]
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In 2015, figures both inside and outside of the country, such as Filimbi and Emmanuel Weyi, spoke out about the need to curb violence and instability as the 2016 elections approached.[129][130]
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The global growth in demand for scarce raw materials and the industrial surges in China, India, Russia, Brazil and other developing countries require that developed countries employ new, integrated and responsive strategies for identifying and ensuring, on a continual basis, an adequate supply of strategic and critical materials required for their security needs.[131] Highlighting the DR Congo's importance to United States national security, the effort to establish an elite Congolese unit is the latest push by the U.S. to professionalize armed forces in this strategically important region.[132]
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There are economic and strategic incentives to bring more security to the Congo, which is rich in natural resources such as cobalt, a strategic and critical metal used in many industrial and military applications.[131] The largest use of cobalt is in superalloys, used to make jet engine parts. Cobalt is also used in magnetic alloys and in cutting and wear-resistant materials such as cemented carbides. The chemical industry consumes significant quantities of cobalt in a variety of applications including catalysts for petroleum and chemical processing; drying agents for paints and inks; ground coats for porcelain enamels; decolorant for ceramics and glass; and pigments for ceramics, paints, and plastics. The country possesses 80% of the world's cobalt reserves.[133]
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It is thought that due to the importance of cobalt for batteries for electric vehicles and stabilization of electric grids with large proportions of intermittent renewables in the electricity mix, the DRC could become an object of increased geopolitical competition.[131]
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In the 21st century, Chinese investment in the DRC and Congolese exports to China have grown rapidly. In July 2019, UN ambassadors of 37 countries, including DRC, have signed a joint letter to the UNHRC defending China's treatment of Uyghurs and other Muslim ethnic minorities.[134]
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The Forces Armées de la République Démocratique du Congo (FARDC) consist of about 144,000 personnel, the majority of whom are part of the land forces, also with a small air force and an even smaller navy. The FARDC was established in 2003 after the end of the Second Congo War and integrated many former rebel groups into its ranks. Due to the presence of undisciplined and poorly trained ex-rebels, as well as a lack of funding and having spent years fighting against different militias, the FARDC suffers from rampant corruption and inefficiency. The agreements signed at the end of the Second Congo War called for a new "national, restructured and integrated" army that would be made up of Kabila's government forces (the FAC), the RCD, and the MLC. Also stipulated was that rebels like the RCD-N, RCD-ML, and the Mai-Mai would become part of the new armed forces. It also provided for the creation of a Conseil Superieur de la Defense (Superior Defence Council) which would declare states of siege or war and give advice on security sector reform, disarmament/demobilisation, and national defence policy. The FARDC is organised on the basis of brigades, which are dispersed throughout the provinces of the Democratic Republic of the Congo. Congolese troops have been fighting the Kivu conflict in the eastern North Kivu region, the Ituri conflict in the Ituri region, and other rebellions since the Second Congo War. Besides the FARDC, the largest peacekeeping mission of the United Nations, known as MONUSCO, is also present in the country with about 18,000 peacekeepers.
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The Democratic Republic of Congo signed the UN treaty on the Prohibition of Nuclear Weapons.[135]
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The Central Bank of the Congo is responsible for developing and maintaining the Congolese franc, which serves as the primary form of currency in the Democratic Republic of the Congo. In 2007, The World Bank decided to grant the Democratic Republic of Congo up to $1.3 billion in assistance funds over the following three years.[136] The Congolese government started negotiating membership in the Organization for the Harmonization of Business Law in Africa (OHADA), in 2009.[137]
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The Democratic Republic of Congo is widely considered one of the world's richest countries in natural resources; its untapped deposits of raw minerals are estimated to be worth in excess of US$24 trillion.[138][139][140] The Congo has 70% of the world's coltan, a third of its cobalt, more than 30% of its diamond reserves, and a tenth of its copper.[141][142]
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Despite such vast mineral wealth, the economy of the Democratic Republic of the Congo has declined drastically since the mid-1980s. The African country generated up to 70% of its export revenue from minerals in the 1970s and 1980s and was particularly hit when resource prices deteriorated at that time. By 2005, 90% of the DRC's revenues derived from its minerals (Exenberger and Hartmann 2007:10).[143] Congolese citizens are among the poorest people on Earth. DR Congo consistently has the lowest, or nearly the lowest, nominal GDP per capita in the world. The DRC is also one of the twenty lowest-ranked countries on the Corruption Perception Index.
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The Democratic Republic of the Congo (DRC) is the world's largest producer of cobalt ore, and a major producer of copper and diamonds.[144] The latter come from Kasai province in the west. By far the largest mines in the DRC are located in southern Katanga province (formerly Shaba), and are highly mechanized, with a capacity of several million tons per year of copper and cobalt ore, and refining capability for metal ore. The DRC is the second-largest diamond-producing nation in the world,[145] and artisanal and small-scale miners account for most of its production.
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At independence in 1960, DRC was the second-most industrialized country in Africa after South Africa; it boasted a thriving mining sector and a relatively productive agriculture sector.[146] The First and Second Congo Wars began in 1996. These conflicts have dramatically reduced national output and government revenue, increased external debt, and resulted in deaths of more than five million people from war and associated famine and disease. Malnutrition affects approximately two-thirds of the country's population.[citation needed]
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Foreign businesses have curtailed operations due to uncertainty about the outcome of the conflict, lack of infrastructure, and the difficult operating environment. The war intensified the impact of such basic problems as an uncertain legal framework, corruption, inflation, and lack of openness in government economic policy and financial operations.
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Conditions improved in late 2002, when a large portion of the invading foreign troops withdrew. A number of International Monetary Fund and World Bank missions met with the government to help it develop a coherent economic plan, and President Joseph Kabila began implementing reforms. Much economic activity still lies outside the GDP data. A United Nations Human Development Index report shows that the human development index of DRC is one of the worst the country has had in decades. Through 2011 the DRC had the lowest Human Development Index of the 187 ranked countries. It ranked lower than Niger, despite a higher margin of improvement than the latter country over 2010's numbers.[citation needed]
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The economy of DRC relies heavily on mining. However, the smaller-scale economic activity from artisanal mining occurs in the informal sector and is not reflected in GDP data.[147] A third of the DRC's diamonds are believed to be smuggled out of the country, making it difficult to quantify diamond production levels.[148] In 2002, tin was discovered in the east of the country, but to date has only been mined on a small scale.[149] Smuggling of conflict minerals such as coltan and cassiterite, ores of tantalum and tin, respectively, helped to fuel the war in the Eastern Congo.[150]
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In September 2004, state-owned Gécamines signed an agreement with Global Enterprises Corporate (GEC), a company formed by the merger of Dan Gertler International (DGI) with Beny Steinmetz Global, to rehabilitate and operate the Kananga and Tilwezembe copper mines. The deal was ratified by presidential decree. In 2007, a World Bank report reviewed DR Congo's three biggest mining contracts, finding that the 2005 deals, including one with Global Enterprises Company, were approved with "a complete lack of transparency" (Mahtani, 3 January 2007).[151][152][153] Gertler and Steinmetz put GEC's 75% share in Komoto Oliveira Virgule (KOV), the project made of up of Tilwezembe and Kananga, along with the Kolwesi concentrator, into Nikanor plc. Registered in the Isle of Man, reached a market capitalization of $1.5 billion by 2007.[152] In February 2007, 22% of the Nikanor Mining company was owned by the Gertner Family Trust and 14% by Dan Gertler.[154] In January 2008 Katanga Mining acquired Nikanor for $452 million.[153]
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In April 2006, Gertler's DGI took a major stake in DEM Mining, a cobalt-copper mining, and services company based in Katanga.[152] In June 2006, Gertler bought Tremalt from the Zimbabwean businessman John Bredenkamp for about $60 million. Tremalt had a half share in the Mukondo Mine. In 2007, Tremalt was owned by Prairie International Ltd, of which Dan Gertler's family trust was a major shareholder. Tremalt owned 80% of Savannah Mining, which held concessions C17 and C18 in Katanga Province and 50% of the Mukondo project. The other 50% of Mukondo was held by Boss Mining, which in turn was 80% owned by Central African Mining & Exploration Company (CAMEC). Boss Mining had rented and operated Bredenkamp's half of Mukondo. Gertler terminated this arrangement.[152]
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Katanga Mining Limited, a Swiss-owned company, owns the Luilu Metallurgical Plant, which has a capacity of 175,000 tonnes of copper and 8,000 tonnes of cobalt per year, making it the largest cobalt refinery in the world. After a major rehabilitation program, the company resumed copper production operations in December 2007 and cobalt production in May 2008.[155]
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In April 2013, anti-corruption NGOs revealed that Congolese tax authorities had failed to account for $88 million from the mining sector, despite booming production and positive industrial performance. The missing funds date from 2010 and tax bodies should have paid them into the central bank.[156] Later in 2013, the Extractive Industries Transparency Initiative suspended the country's candidacy for membership due to insufficient reporting, monitoring and independent audits, but in July 2013 the country improved its accounting and transparency practices to the point where the EITI gave the country full membership.
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In February 2018, global asset management firm AllianceBernstein[157] defined the DRC as economically "the Saudi Arabia of the electric vehicle age," due to its cobalt resources, as essential to the lithium-ion batteries that drive electric vehicles.[158]
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Ground transport in the Democratic Republic of Congo has always been difficult. The terrain and climate of the Congo Basin present serious barriers to road and rail construction, and the distances are enormous across this vast country. The DRC has more navigable rivers and moves more passengers and goods by boat and ferry than any other country in Africa, but air transport remains the only effective means of moving goods and people between many places within the country, especially in rural areas. Chronic economic mismanagement, political corruption and internal conflicts have led to long-term under-investment of infrastructure.
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Rail transportation is provided by the Congo Railroad Company (Société Nationale des Chemins de Fer du Congo) and the Office National des Transports (Congo) (ONATRA) and the Office of the Uele Railways (Office des Chemins de fer des Ueles, CFU). Like much of the infrastructure in the Congo, the railways are poorly maintained, dirty, crowded and dangerous.
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The Democratic Republic of the Congo has fewer all-weather paved highways than any country of its population and size in Africa — a total of 2,250 km (1,400 mi), of which only 1,226 km (762 mi) is in good condition (see below). To put this in perspective, the road distance across the country in any direction is more than 2,500 km (1,600 mi) (e.g. Matadi to Lubumbashi, 2,700 km (1,700 mi) by road). The figure of 2,250 km (1,400 mi) converts to 35 km (22 mi) of paved road per 1,000,000 of population. Comparative figures for Zambia and Botswana are 721 km (448 mi) and 3,427 km (2,129 mi) respectively.[159]
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Three routes in the Trans-African Highway network pass through DR Congo:
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The Democratic Republic of Congo has thousands of kilometres of navigable waterways. Traditionally water transport has been the dominant means of moving around in approximately two-thirds of the country.
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As of June 2016[update], DR Congo had one major national airline (Congo Airways) that offered flights inside DR Congo. Congo Airways was based at Kinshasa's international airport. All air carriers certified by the DRC have been banned from European Union airports by the European Commission, due to inadequate safety standards.[160]
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Several international airlines service Kinshasa's international airport and a few also offer international flights to Lubumbashi International Airport.
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In the Democratic Republic of the Congo, there are both coal and crude oil resources that were mainly used domestically in 2008. The Democratic Republic of Congo has the infrastructure for hydro-electricity from the Congo River at the Inga dams.[161] The Democratic Republic of Congo also possesses 50% of Africa's forests and a river system that could provide hydro-electric power to the entire continent, according to a UN report on the country's strategic significance and its potential role as an economic power in central Africa.[162]
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The generation and distribution of electricity are controlled by Société nationale d'électricité (SNEL), but only 15% of the country has access to electricity.[163] The DRC is a member of three electrical power pools. These are SAPP (Southern African Power Pool), EAPP (East African Power Pool), CAPP (Central African Power Pool).
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Because of abundant sunlight, the potential for solar development is very high in the DRC. There are already about 836 solar power systems in the DRC, with a total power of 83 kW, located in Équateur (167), Katanga (159), Nord-Kivu (170), the two Kasaï provinces (170), and Bas-Congo (170). Also, the 148 Caritas network system has a total power of 6.31 kW.[164]
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In 2014, the literacy rate for the population between the ages of 15 and 49 was estimated to be 75.9% (88.1% male and 63.8% female) according to a DHS nationwide survey.[165] The education system in the Democratic Republic of the Congo is governed by three government ministries: the Ministère de l'Enseignement Primaire, Secondaire et Professionnel (MEPSP), the Ministère de l'Enseignement Supérieur et Universitaire (MESU) and the Ministère des Affaires Sociales (MAS). Primary education in the Democratic Republic of the Congo is not free or compulsory,[citation needed] even though the Congolese constitution says it should be (Article 43 of the 2005 Congolese Constitution).[166]
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As a result of the six-year civil war in the late 1990s—early 2000s, over 5.2 million children in the country did not receive any education.[167] Since the end of the civil war, the situation has improved tremendously, with the number of children enrolled in primary schools rising from 5.5 million in 2002 to 13.8 million in 2015, and the number of children enrolled in secondary schools rising from 2.8 million in 2007 to 4.6 million in 2015 according to UNESCO.[168]
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Actual school attendance has also improved greatly in recent years, with primary school net attendance estimated to be 82.4% in 2014 (82.4% of children ages 6–11 attended school; 83.4% for boys, 80.6% for girls).[169]
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The hospitals in the Democratic Republic of the Congo include the General Hospital of Kinshasa. DRC has the world's second-highest rate of infant mortality (after Chad). In April 2011, through aid from Global Alliance for Vaccines, a new vaccine to prevent pneumococcal disease was introduced around Kinshasa.[170]
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In 2012, it was estimated that about 1.1% of adults aged 15–49 were living with HIV/AIDS.[171] Malaria is also a problem.[172][173] Yellow fever also affects DRC.[174]
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Maternal health is poor in DRC. According to 2010 estimates, DRC has the 17th highest maternal mortality rate in the world.[175] According to UNICEF, 43.5% of children under five are stunted.[176]
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In May 2019, the death toll from the Ebola outbreak in DRC surpassed 1,000.[177]
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The Congolese National Police (PNC) are the primary police force in the Democratic Republic of the Congo.[178]
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Over 200 ethnic groups populate the Democratic Republic of the Congo, of which the majority are Bantu peoples. Together, Mongo, Luba and Kongo peoples (Bantu) and Mangbetu-Azande peoples constitute around 45% of the population. The Kongo people are the largest ethnic group in the Democratic Republic of Congo.[183]
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In 2018, the United Nations estimated the country's population to be 84 million people,[6][7] a rapid increase from 39.1 million in 1992 despite the ongoing war.[184] As many as 250 ethnic groups have been identified and named. The most numerous people are the Kongo, Luba, and Mongo. About 600,000 Pygmies are the aboriginal people of the DR Congo.[185] Although several hundred local languages and dialects are spoken, the linguistic variety is bridged both by widespread use of French and the national intermediary languages Kituba, Tshiluba, Swahili, and Lingala.
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Given the situation in the country and the condition of state structures, it is extremely difficult to obtain reliable migration data. However, evidence suggests that DRC continues to be a destination country for immigrants, in spite of recent declines in their numbers. Immigration is very diverse in nature; refugees and asylum-seekers – products of the numerous and violent conflicts in the Great Lakes Region – constitute an important subset of the population. Additionally, the country's large mine operations attract migrant workers from Africa and beyond. There is also considerable migration for commercial activities from other African countries and the rest of the world, but these movements are not well studied.[186] Transit migration towards South Africa and Europe also plays a role.
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Immigration to the DRC has decreased steadily over the past two decades, most likely as a result of the armed violence that the country has experienced. According to the International Organization for Migration, the number of immigrants in the DRC has fallen from just over one million in 1960, to 754,000 in 1990, to 480,000 in 2005, to an estimated 445,000 in 2010. Official figures are unavailable, partly due to the predominance of the informal economy in the DRC. Data are also lacking on irregular immigrants, however given neighbouring countries' ethnic links to DRC nationals, irregular migration is assumed to be a significant phenomenon.[186]
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Figures for Congolese nationals abroad vary greatly depending on the source, from three to six million. This discrepancy is due to a lack of official, reliable data. Emigrants from the DRC are above all long-term emigrants, the majority of whom live in Africa and to a lesser extent in Europe; 79.7% and 15.3% respectively, according to estimated 2000 data. New destination countries include South Africa and various points en route to Europe. The DRC has produced a considerable number of refugees and asylum-seekers located in the region and beyond. These numbers peaked in 2004 when, according to UNHCR, there were more than 460,000 refugees from the DRC; in 2008, Congolese refugees numbered 367,995 in total, 68% of whom were living in other African countries.[186]
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Since 2003, more than 400,000 Congolese migrants have been expelled from Angola.[187]
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Christianity is the majority religion in the Democratic Republic of the Congo. The most recent survey, conducted by the Demographic and Health Surveys Program in 2013-2014 indicated that Christians constituted 93.7% of the population (with Catholics making up 29.7%, Protestants 26.8%, and other Christians 37.2%). An indigenous religion, Kimbanguism, has the adherence of only 2.8%, while Muslims make up 1.2%.[188] Other recent estimates have found Christianity the majority religion, followed by 95.8% of the population according to a 2010 Pew Research Center[189] estimate, while the CIA World Factbook reports this figure to be 95.9%.[190] The proportion of followers of Islam is variously estimated from 1%[191] to 12% [192]
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There are about 35 million Catholics in the country[1] with six archdioceses and 41 dioceses.[193] The impact of the Catholic Church in the Democratic Republic of Congo is difficult to overestimate. Schatzberg has called it the country's "only truly national institution apart from the state."[194] Its schools have educated over 60% of the nation's primary school students and more than 40% of its secondary students. The church owns and manages an extensive network of hospitals, schools, and clinics, as well as many diocesan economic enterprises, including farms, ranches, stores, and artisans' shops.[citation needed]
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Sixty-two Protestant denominations are federated under the umbrella of the Church of Christ in Congo. It is often simply referred to as the Protestant Church, since it covers most of the DRC Protestants. With more than 25 million members, it constitutes one of the largest Protestant bodies in the world.
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Kimbanguism was seen as a threat to the colonial regime and was banned by the Belgians. Kimbanguism, officially "the church of Christ on Earth by the prophet Simon Kimbangu", now has about three million members,[195] primarily among the Bakongo of Bas-Congo and Kinshasa.
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Islam has been present in the Democratic Republic of the Congo since the 18th century, when Arab traders from East Africa pushed into the interior for ivory- and slave-trading purposes. Today, Muslims constitute approximately 1% of the Congolese population according to Pew research center. The majority are Sunni Muslims.
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The first members of the Baha'i Faith to live in the country came from Uganda in 1953. Four years later the first local administrative council was elected. In 1970 the National Spiritual Assembly (national administrative council) was first elected. Though the religion was banned in the 1970s and 1980s, due to misrepresentations of foreign governments, the ban was lifted by the end of the 1980s. In 2012 plans were announced to build a national Baha'i House of Worship in the country.[196]
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Traditional religions embody such concepts as monotheism, animism, vitalism, spirit and ancestor worship, witchcraft, and sorcery and vary widely among ethnic groups. The syncretic sects often merge elements of Christianity with traditional beliefs and rituals and are not recognized by mainstream churches as part of Christianity. New variants of ancient beliefs have become widespread, led by US-inspired Pentecostal churches which have been in the forefront of witchcraft accusations, particularly against children and the elderly.[clarification needed][197] Children accused of witchcraft are sent away from homes and family, often to live on the street, which can lead to physical violence against these children.[198][clarification needed][199] There are charities supporting street children such as the Congo Children Trust.[200] The Congo Children Trust's flagship project is Kimbilio,[201] which works to reunite street children in Lubumbashi. The usual term for these children is enfants sorciers (child witches) or enfants dits sorciers (children accused of witchcraft). Non-denominational church organizations have been formed to capitalize on this belief by charging exorbitant fees for exorcisms. Though recently outlawed, children have been subjected in these exorcisms to often-violent abuse at the hands of self-proclaimed prophets and priests.[202]
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French is the official language of the Democratic Republic of the Congo. It is culturally accepted as the lingua franca facilitating communication among the many different ethnic groups of the Congo. According to a 2014 OIF report, 33 million Congolese people (47% of the population) could read and write in French.[203] In the capital city Kinshasa, 67% of the population could read and write French, and 68.5% could speak and understand it.[204]
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Approximately 242 languages are spoken in the country, but only four have the status of national languages: Kituba ("Kikongo ya leta"), Lingala, Tshiluba, and Swahili. Although some people speak these regional, or trade languages as first languages, most of the population speak them as a second language after their own tribal language. Lingala was the official language of the colonial army, the "Force Publique", under Belgian colonial rule, and remains to this day the predominant language in the armed forces. Since the recent rebellions, a good part of the army in the East also uses Swahili where it is prevalent.
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When the country was a Belgian colony, the Belgian colonizers instituted teaching and use of the four national languages in primary schools, making it one of the few African nations to have had literacy in local languages during the European colonial period. This trend was reversed after independence, when French became the sole language of education at all levels.[205] Since 1975, the four national languages have been reintroduced in the first two years of primary education, with French becoming the sole language of education from the third year onward, but in practice many primary schools in urban areas solely use French from the first year of school onward.[205]
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The culture of the Democratic Republic of the Congo reflects the diversity of its hundreds of ethnic groups and their differing ways of life throughout the country — from the mouth of the River Congo on the coast, upriver through the rainforest and savanna in its centre, to the more densely populated mountains in the far east. Since the late 19th century, traditional ways of life have undergone changes brought about by colonialism, the struggle for independence, the stagnation of the Mobutu era, and most recently, the First and Second Congo Wars. Despite these pressures, the customs and cultures of the Congo have retained much of their individuality. The country's 81 million inhabitants (2016) are mainly rural. The 30% who live in urban areas have been the most open to Western influences.
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Another feature in Congo culture is its music. The DRC has its influences on Cuban music rumba,originally kumba from Congo and merengue. And those two later give birth to soukous.[206] Other African nations produce music genres derived from Congolese soukous. Some of the African bands sing in Lingala, one of the main languages in the DRC. The same Congolese soukous, under the guidance of "le sapeur", Papa Wemba, have set the tone for a generation of young men always dressed up in expensive designer clothes. They came to be known as the fourth generation of Congolese music and mostly come from the former well-known band Wenge Musica [fr].
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Many sports are played in the Democratic Republic of the Congo, including football, basketball, and rugby. The sports are played in numerous stadiums throughout the country, including the Stade Frederic Kibassa Maliba.[207]
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As Zaire they have participated in the World Cup Football (Final stage) in 1974.
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Internationally, the country is especially famous for its professional basketball NBA and football players. Dikembe Mutombo is one of the best African basketball players to ever play the game. Mutombo is well known for humanitarian projects in his home country. Bismack Biyombo, Christian Eyenga, and Emmanuel Mudiay are others who gained significant international attention in basketball. Several Congolese players and players of Congolese descent—including strikers Romelu Lukaku, Yannick Bolasie, and Dieumerci Mbokani—have gained prominence in world football. DR Congo has twice won the African Cup of Nations football tournament.
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Newspapers of the DRC include L'Avenir, Radion Télévision Mwangaza, La Conscience [fr], L'Observateur [fr], Le Phare, Le Potentiel, Le Soft and LeCongolais.CD,[208] a web-based daily.[209] Radio Télévision Nationale Congolaise (RTNC) is the national broadcaster of the Democratic Republic of the Congo. RTNC currently broadcasts in Lingala, French, and English.
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Congolese authors use literature as a way to develop a sense of national consciousness amongst the Congo people. The tragic history of colonialism and war lead the Congolese people to settle in a place of complacency, accepting the culture that was forced upon them by Belgium.
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Modern Congolese literature began to emerge in the late 1950s. There are a few rare pieces of literature dated back to before WWI, but it was not until about 1954 that literature written in French made its appearance in the Congo. After gaining their independence from Belgium in the 1960s, new authors, such as Guy Menga and Jean Pierre Makouta-Mboukou, were inspired by older authors, such as Jean Malonga from Congo-Brazzaville, and used writing to bring attention to new issues affecting the Congo. The rise of female authors began in the 1970s introducing diversity to Congolese literature and support for gender empowerment. Many authors who have contributed to the success of Congolese literature are now living abroad due to economic and political issues.[210]
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Frederick Kambemba Yamusangie writes literature for the between generations of those who grew up in the Congo, during the time when they were colonised, fighting for independence and after. Yamusangie in an interview[211] said he felt the distance in literature and wanted to remedy that he wrote the novel, Full Circle, which is a story of a boy named Emanuel who in the beginning of the book feels a difference in culture among the different groups in the Congo and elsewhere.[212]
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Rais Neza Boneza, an author from the Katanga province of the Democratic Republic of Congo, wrote novels and poems to promote artistic expressions as a way to address and deal with conflicts.[213]
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These authors, along with others, used their platforms to bring awareness to the crises and conflicts that took place in the Congo.
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A dense tropical rainforest in the DRC's central river basin and eastern highlands is bordered on the east by the Albertine Rift (the western branch of Africa's Great Rift System). It includes several of Africa's Great Lakes.
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Major environmental issues
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DR Congo's major environmental issues include:
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Displaced refugees cause or are otherwise responsible for significant deforestation, soil erosion and wildlife poaching. Another significant issue is environmental damage from the mining of minerals, especially diamonds, gold, and coltan – a mineral used to manufacture capacitors.
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The environmental problems associated with The Democratic Republic of Congo (DRC) affect its many endemic species of flora and fauna. The DRC has the world's second largest contiguous rain forest after the Amazon as well as other ecosystems including Savanna, swamps and flood plains. According to the World Wildlife Fund, these unique habitats and species make the DRC one of the most valuable yet vulnerable areas in the world for biodiversity, wildlife protection and rainforest sustainability.[215]
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Species loss has been cited as a problem in the DRC, brought about or exacerbated by reasons that include deforestation for mining, wood fuel, infrastructure or agriculture, war, illegal poaching and increased consumption of bush meat due to overpopulation and lack of food security.[216] Some attempts to combat species loss in countries such as the DRC are actions such as the UN's Sustainable Development Goals (SDG), specifically SDG 15 Life on Land, the primary goals of which is to increase reforestation and biodiversity and reduce species loss, desertification, and illegal poaching.[217] One of the primary defences for species and habitat protection in the DRC is its system of national parks and reserves, which gives protected status to nearly 12% of the DRC's rainforest.[218] Five of these parks and reserves are UNESCO world heritage sites, including Africa’s first national park Virunga national park. All of these parks have been put on the World Heritage in Danger List.[219] Poor governance and low economic conditions have reduced the effectiveness of these protections, especially during war times.[218] The human cost of protecting these parks has also been high with 200 park ranger deaths in the past 20 years.[220] Virunga national park and Salongo National Park, both of which are UNESCO world heritage sites are currently being looked at for mining and oil exploration. The move would open 21.5% of the Virunga park for exploitation, this is highly criticised by animal rights activists as it would threaten the habitat of Mountain Gorillas and other endangered species.
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Between 2000 and 2014 the DRC lost an average of 570,000 hectares (0.2%) of rainforest to deforestation per year, with the highest amount of deforestation coming between 2011 and 2014.[221] Deforestation is the primary cause of biodiversity reduction and species loss globally, through habitat loss and fragmentation.[222] One of the goals of the SDG 15 is to reduce deforestation and encourage reforestation by 2020.
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The DRC has Africa’s largest rainforest, which is under the threat of deforestation through mining operations, agriculture, infrastructure and wood fuel. In the DRC 94% of wood taken from the rainforest is used for wood fuel, mainly due to poverty, lack of energy infrastructure and the decentralised nature of its population. To mitigate this aid agencies have tried to promote agro-forestry with fast growing trees to avoid over exploitation of the rainforests.[223] Other large drivers of deforestation include mining and conflict, during the Congo conflict deforestation by militia groups was high for wood fuel, small mining operations and illegal logging to fund their operations. However, conversely conflict reduced deforestation for large scale mining due to security instability.[218]
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One policy being attempted to reduce the deforestation and increase biodiversity in the DRC is the UN-REDD program, which uses emissions trading system so that developed nations can offset their carbon emissions by paying developing nations with rainforest to manage and conserve their forest.[224]
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Bush meat refers to any meat that is procured from the wild. Overpopulation and continual conflicts in the DRC have led to food shortages, which have therefore increased the use of bush meat. Although, data on bush meat use is not extensive, studies estimate 6 million tonnes of animals are taken for bush meat globally each year.[225] What animals are hunted are done so indiscriminately without thought of the importance of certain species that could be eco-system engineers or keystone species.[225]
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Bush meat is an important source of protein for millions in the DRC, especially in rural areas where it makes up 50-70% of meals. For some who cannot afford farmed produce it is a free meal.[226] A recent study in the DRC revealed that almost all of the animals are taken from the Congo each year, at 93% of all live animals there are in the forest are extracted for bush meat, whereas a sustainable rate would be 20%.[227] This is a huge amount compared to the Amazon where bush meat is hunted at only 3% the rate of the Congo.[227] the study reveals the only way to solve this is to find other food sources to feed people in the Congo Basin as bush meat is their only means of eating.[227] Another study showed that the species of bush meat in the meat markets of the DRC's third largest city Kisangani were primarily Artiodactyla at 40.06% of the carcasses sold then primates at 37.79% of carcasses sold.[228]
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Recently the prevalence of hunting for bush meat has declined because of the risk to hunters and butchers from the Ebola virus from specifically ape and bat meat.[229] Even though when the meat is cooked smoked or dried it kills the virus, business has dropped significantly with some hunters reporting as much of a reduction in sales of 80%.[229]
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There has been a war in the DRC in different levels of intensity since 1994 when the country was called Zaire.[230] Although what was known as Africa's World War had ended in 2003 the eastern part of the country still has ongoing skirmishes between rebel groups and government forces.[230] No other method has reduced species population so dramatically than conflict, when a militia reached the Garamba National Park in 1997, within three months half of the park's elephants, two thirds of the buffalo, and three quarters of its hippos vanished.[231] The reason conflict is so damaging to wildlife is the increased use of bush meat to feed soldiers, the prevalence of weapons, the lucrative industry of selling exotic animals and ivory as well as the general failure of law and order.[231] According to another study which was taken during the time of the civil war in the Okapi Faunal Reserve, there was a 50% reduction in the abundance of elephants and a vast change in the distribution of them to the more secluded areas of the park.[232]
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